U.S. Department of Justice

Office of Community Oriented Policing Services

LAW ENFORCEMENT TECH GUIDE FOR

Communications

Interoperability

A Guide for Interagency Communications Projects
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U.S. Department of Justice

Office of Community Oriented Policing Services

By Dan Hawkins

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Communications

Interoperability

A Guide for Interagency Communications Projects

LAW ENFORCEMENT TECH GUIDE FOR
Office of the Director

1100 Vermont Avenue, NW

Washington, D.C. 20005

U.S. Department of Justice

Office of Community Oriented Policing Services

Dear Colleague:

The basis of any successful community policing program is establishing collaborative partnerships that help to reduce crime and enhance public safety. Collaboration is also the key 

to successful interoperable communications. The same practices that pertain to planning, 

purchasing, and managing traditional information technology systems apply to interoperable communications systems. What makes interoperability projects inherently more 

difficult are the various needs, capabilities, and operational practices of the participating 

agencies. Interagency collaboration is as important to achieving interoperability as developing the appropriate technological infrastructure. 

Having awarded millions of dollars to help metropolitan regions throughout the nation 

establish and enhance their interoperable communications systems, the Office of Community Oriented Policing Services (the COPS Office) is keenly aware of the challenges that 

confront agencies as they work toward interoperability. Therefore, we have developed this 

publication to share what we have learned and to assist you with the process of planning, 

procuring, and implementing your new system.

This guide, which is one of many resources that the COPS Office offers to law enforcement, is intended to provide you with practical information that supports your effort to 

successfully establish interagency, interdisciplinary, and interjurisdictional voice and data 

communications systems. By increasing interoperability and information sharing among 

the nation’s law enforcement, fire service, and emergency medical service communities, officer safety and the safety of the citizens they serve can be secured. 

I trust that you will find this guide helpful, and encourage you to visit www.cops.usdoj.gov

to learn about the other numerous resources offered by the COPS Office.

Carl R. Peed

Director
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#ONTENTS

About the Guide

Part I:

What Is Communications 

Interoperability?
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Part II:

How Is Interoperability 

Achieved?
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Part III:

Exploring the Technologies

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Appendixes

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HOW TO USE THIS GUIDE

This Communications Interoperability Tech Guide is intended to provide background information, 

strategies, best practices, and recommendations for public safety radio projects. This Guide should 

not be construed as specific legal advice for any particular factual situation. This publication is meant 

to serve as a guideline for situations generally encountered in radio planning and implementation 

environments. It does not replace or supersede any policies, procedures, rules, and ordinances 

applicable to your jurisdiction’s procurement and contract negotiations. This Guide is not legal 

counsel and should not be interpreted as a legal service.

!BOUTTHE'UIDE
About the Guide 

FYI:

We tell you how to 

get your own copy 

of the original Tech 

Guide on Page 8.

!SSUMPTIONS ̈

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Part I What Is Communications Interoperability?

Part I takes a look at what interoperability is and where we are today, as of the printing of 

this Guide. While we talk briefly about how and why interoperability has become a national 

issue, our focus is on what it means for local public safety agencies that have to talk with their 

neighbors.

Part II How Is Interoperability Achieved?

Part II delves into how to achieve interoperability within your jurisdiction or region. It 

addresses steps to successful projects that were first introduced in the original Law

Enforcement Tech Guide. The original Tech Guide dedicated multiple chapters to each step, so 

in this Guide we’ll focus on additional aspects of interoperability projects or ones that require 

a bit more attention. The final chapter of this part takes a look at how we can measure our level 

of interoperability.

Part III Exploring the Technologies

Part III examines the different technological approaches to interoperability and specific types 

of communications equipment used in each. Since security plays an increasingly important 

role in public safety technology, we’ll examine it with both voice and data systems.
About the Guide 

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TECH GUIDE

ORIGINAL V
About the Guide 

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7HATIS

#OMMUNICATIONS

)NTEROPERABILITY
CHAPTER 1

INTRODUCTION—

A CHANGING ENVIRONMENT
#HAPTER

)NTRODUCTION°

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Interoperability

is the ability of 

agencies to work 

together toward 

common ends.
Part I: What Is Communications Interoperability? 

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Communications

interoperability

is critical for 

information

sharing.
Chapter 1: Introduction—A Changing Environment 

Cooperators:

Any agency, 

organization,

or person that 

operates jointly 

or cooperates 

with your agency 

and with which 

you need to 

communicate by 

radio.

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Figure 1-1: Detroit Police Department

Station KOP (1928) 
Part I: What Is Communications Interoperability? 

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 4FFIUUQXXXTBGFDPNQSPHSBNHPW

An electronic 

government

initiative housed 

within the U.S. 

Department of 

Homeland Security 

(DHS) designated 

as the umbrella 

program to 

coordinate Federal 

Government

efforts to improve 

communications

interoperability.
Chapter 1: Introduction—A Changing Environment 

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Part I: What Is Communications Interoperability? 

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CHAPTER 2

KEY CHALLENGES AND

CRITICAL ELEMENTS
#HAPTER

+EY#HALLENGESAND

#RITICAL%LEMENTS

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Part I: What Is Communications Interoperability? 

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Chapter 2: Key Challenges and Critical Elements 

60 percent of 

state and local 

law enforcement 

agencies report 

that aging radio 

communications

equipment is a 

problem.

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Options for police, 

fire, and EMS radio 

have blossomed 

in relatively recent 

history.

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Part I: What Is Communications Interoperability? 

The value of 

America’s public 

safety radio 

infrastructure is

staggering.

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Chapter 2: Key Challenges and Critical Elements 

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Part I: What Is Communications Interoperability? 

MHz

25-50 150-174 220-222

450-470

470-512

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794-806*

806-824

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4940

4990 Microwave

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Radios on 

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incapable of being 

tuned from one to 

the other.

More than half of all 

agencies operate in 

VHF-high band.

Figure 2-1: Radio Spectrum

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Chapter 2: Key Challenges and Critical Elements 

The highest 

frequency bands 

are unsuited for 

voice systems as 

we know them 

today.

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Part I: What Is Communications Interoperability? 

#RITICAL%LEMENTSTO!CHIEVING)NTEROPERABILITY

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The National Incident Management System (NIMS)

[A] consistent nationwide approach for Federal, State, and local governments to work 

effectively and efficiently together to prepare for, respond to, and recover from domestic 

incidents, regardless of cause, size, or complexity.

Homeland Security Presidential Directive (HSPD)-5

February 28, 2003

The level of 

interoperability

between agencies 

increases as 

they create joint 

SOPs, typically 

first for planned 

events, then for 

emergencies.
Chapter 2: Key Challenges and Critical Elements 

Technological 

Means to 

Interoperability

Swap radios

Use gateways

Share channels

Share proprietary 

systems

Share standardsbased systems

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Part I: What Is Communications Interoperability? 

No communications 

system can make 

up for inadequate 

operational plans.

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Chapter 2: Key Challenges and Critical Elements 

The McKinsey

Reports were 

prepared for 

New York City’s 

police and fire 

departments in 

the year following 

the World Trade 

Center attacks on 

September 11, 

2001. They include 

detailed analyses 

of response to 

the disaster and 

recommendations

for improving 

preparedness in the 

future.

We’ll refer 

elsewhere to 

these reports on 

matters important 

to agencies of all 

sizes.

McKINSEY REPORT

... [T]o be fully prepared to face the threats posed by terrorism and other major incidents, 

the city or state governments must establish a much broader, detailed and more formalized 

interagency planning and coordination process. The process would include:

– Establishment of common command and control structures and terminology, 

and agreement on the roles and responsibilities of each agency for managing the 

response to any incident.

– Deployment of interoperable communications infrastructures and protocols to 

improve response coordination and exchange of information.

– Implementation of joint training exercises to ensure that agencies can and will 

cooperate effectively during incidents, e.g., by operating under a unified command 

and control structure.

“Increasing FDNY’s Preparedness,” McKinsey & Company

August 19, 2002, Executive Summary, p. 21.

Available at http://www.nyc.gov/html/fdny/html/mck_report/toc.shtml
CHAPTER 3

OPERABILITY—JOB #1
#HAPTER

/PERABILITY°*OB

Command and Control within First Responder Agencies. 

For a unified incident management system to succeed, each 

participant must have command and control of its own units and 

adequate internal communications.

— The 9/11 Commission Report

(Page 319)

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Part I: What Is Communications Interoperability? 

The interoperability 

puzzle is solved 

by first resolving 

operational

communications

needs.

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Interoperability

Operability

Operability

Operability

Figure 3-1: Operations Drive Interoperability Needs
Part I: What Is Communications Interoperability? 



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Chapter 3: Operability—Job #1 

Procedures for dayto-day interagency 

operations are 

usually wellestablished.

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Part I: What Is Communications Interoperability? 

How we play at 

the occasional 

“big one” will be 

determined mostly 

by how we play at 

the frequent little 

ones that occur 

every day in our 

local place.

— Fire Command

Chief Alan 

Brunacini,

Phoenix (Arizona) 

Fire Department

Interoperability is 

built upon common 

terminology.

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Chapter 3: Operability—Job #1 

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Figure 3-2: Interoperability Built on Separately Operable Systems

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CHAPTER 4

INTEROPERABILITY IN THE

INTEGRATED ENTERPRISE
#HAPTER

)NTEROPERABILITYINTHE

)NTEGRATED%NTERPRISE

An enterprise

is a collection 

of agencies or 

organizations

created to provide 

related services to 

a common set of 

customers.

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Q

Readers may 

be interested 

in Chicago’s 

burgeoning

enterprise

criminal justice 

information system. 

See Policing

Smarter Through 

IT: Lessons 

in Enterprise 

Implementation,

Northwestern

University, U.S. 

Department of 

Justice Office of

Community

Oriented Policing 

Services, 2004. 

See

http://www.cops.

usdoj.gov/default.

asp?Item=1331.
Part I: What Is Communications Interoperability? 

All the policies, 

procedures, skills, 

and technologies 

that go into 

delivering effective 

emergency

response need to 

come together at 

that moment, at 

that spot.

FACTS:

• Interoperability is achieved when services are delivered seamlessly across 

organizational subdivisions and between jurisdictions.

• An enterprise view of public safety services—for example, across a city, county, 

or metropolitan region—uses a citizen-centered, results-focused definition of 

services provided to define, among other things, necessary interagency information 

exchanges.

• With services and these interagency junction points defined, a technological 

framework can be built that leverages existing investments and capabilities, reduces 

redundancies, and establishes de facto standards for future systems.

• Both services and supporting systems have to be integrated for the public safety 

enterprise to have communications interoperability.

!#OMPLEX3YSTEMOF3YSTEMS

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These acronyms 

and others are 

defined in

Appendix F.
Chapter 4: Interoperability in the Integrated Enterprise 

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Part I: What Is Communications Interoperability? 

When

communications

break down, who 

are you going to 

call? 9-1-1?

%NTERPRISE)NTEGRATION

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Chapter 4: Interoperability in the Integrated Enterprise 

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Part I: What Is Communications Interoperability? 

Sample Vision Statement

Emergency responders can access the information they need to do their jobs, 

at the time they need it, in a form that is useful, regardless of its location.15

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Part I: What Is Communications Interoperability? 

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Service-oriented 

architecture (SOA) 

is a collection 

of services that 

communicate with 

one another.

 4FFIUUQXXXEPKTUBUFXJVTMFT5*.&F5*.&IUN
Chapter 4: Interoperability in the Integrated Enterprise 

When information 

sharing works, it is 

a powerful tool.

—The 9/11 

Commission Report

(Page 419)

3TATING2EQUIREMENTSFOR)NFORMATION3HARING

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Our success 

in creating 

communications

interoperability

is directly related 

to our ability 

to describe the 

operational

requirements

for interagency 

exchange of 

information.
Part I: What Is Communications Interoperability? 

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Despite the 

problems that 

technology creates, 

Americans’ love 

affair with it leads 

them to also regard 

it as the solution. 

But technology 

produces its best 

results when an organization has the 

doctrine, structure, 

and incentives to 

exploit it.

— The 9/11

Commission Report

(Page 88)

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Chapter 4: Interoperability in the Integrated Enterprise 

67

TECH GUIDE

ORIGINAL V

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Chapter 15, 

Measuring

Interoperability,

delves into 

performance 

measures.
Part I: What Is Communications Interoperability? 

The devastating 2002 wildfire season in the 

western United States included the largest 

in Colorado history, a blaze that threatened 

Denver suburbs and seriously damaged the 

primary watershed providing its municipal 

supply. The Hayman Fire* originated in the 

mountains west of Colorado Springs near 

Lake George. It burned actively for 20 days, 

involved 138,000 acres, burned 132 homes, 

cost an estimated $28 million to suppress, and 

an additional $13.3 million for rehabilitation 

of the burn area in efforts to save the critical 

watershed. A U.S. Forest Service employee was 

implicated and later pled guilty to arson for starting the fire.

Geographic information systems (GIS) played an 

important part in this emergency, as the technology 

has in many wildland fires of recent years. Managers

of these large and often dramatic incidents rely on 

the graphic and analytic power of GIS for many facets 

of their work, from pre-incident response planning 

through initial and sustained attacks, and on to burn 

area rehabilitation.

The Hayman Fire was large and threatening enough 

to bring a well-equipped GIS crew in a camp trailer 

that operated from 18 to 24 hours a day, every day for 

more than 2 months. Two analysts typically worked 

long hours collecting data from and distributing data 

to field units, the incident command team, and then 

to outside cooperators who kept the public and key 

external decision makers informed through web sites 

and more traditional media. A great deal of time was 

Photo courtesy of NetWest Communications Group, Inc.

Satellite links to the Internet enabled the 

wireless transfer of field and planning data.

Integrated Systems at Work in 2002 Wildfire Disaster

*Note: The author of this Guide was lead GIS specialist for 2 weeks on the Hayman Fire.

©2002 Kenneth Wyatt, www.wyattphoto.com 

A variety of cooperators were involved 

in providing operational support to the 

Hayman Fire.
Chapter 4: Interoperability in the Integrated Enterprise 

spent with more uncommon cooperators 

in wildland fire response, such as arson 

investigators, public water supply 

authorities, wildlife management teams, 

and burn area rehabilitation contractors.

The 2002 fire season may have been the 

first to see bidirectional transfer of GIS 

data wirelessly for continuous operational 

purposes. According to Burn Area 

Evaluation and Rehabilitation (BAER)

teams that worked the Hayman Fire, this 

was the first time that information was 

transferred back and forth on a daily 

basis to contractors for management 

of reseeding efforts. The fire severely 

damaged Denver’s primary watershed, 

putting it at great risk from post-fire 

erosion sedimentation. Consequently, 

scarification of the incinerated watershed 

and reseeding was critical.

Aerial reseeding is an intensive and 

expensive process. The Hayman GIS trailer used its satellite link to the Internet to transfer field 

and planning information wirelessly to contractors who were immediately able to incorporate 

it into their own navigational systems for subsequent passes through the area. The power of 

GIS analysis, combined with an ability to transmit large amounts of information wirelessly 

over wideband links, allowed BAER teams to communicate in intricate detail where they 

needed different types of reseeding. This would not have been possible through traditional 

means of information sharing from remote locations.

©2002 Kenneth Wyatt, www.wyattphoto.com 

A well-equipped GIS crew supported critical 

information sharing between field units, the 

incident command team, and others.
Part I: What Is Communications Interoperability? 

CALL-TAKING

SYSTEM

FIRE

COMPUTERAIDED

DISPATCH 

(CAD)

SYSTEM

VOICE RADIO

SYSTEM

VOICE RADIO

SYSTEM

RECORDS

MANAGEMENT

SYSTEM

(RMS)

CRIME MAPPING

SYSTEM

GEOGRAPHIC

INFORMATION

SYSTEM

(GIS)

PAGING

SYSTEM

ANOTHER

AGENCY

CAD

MOBILE

DATA

SYSTEM

REGIONAL, STATE, AND 

NATIONAL INFORMATION 

SYSTEMS

PAGED

ALERT

CALL

ACKNOWLEDGEMENT

REMOTE

RUN CARD

PRINTING

RESPONSE

COORDINATION

AUTOMATIC

VEHICLE LOCATION

(AVL)

DATA DISPATCH

RECORDS QUERY

MDT

Figure 4-1: Systems Galore

Landline calls with automatic location information (ALI)

INCIDENT

Cellular calls with/without automatic location information (ALI)
0ART))

(OWIS

)NTEROPERABILITY

!CHIEVED

If you have built castles in the air, your work 

need not be lost; that is where they should 

be. Now put the foundations under them.

— Henry David Thoreau
CHAPTER 5

BUILD AN INTERAGENCY FOUNDATION
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Part II: How Is Interoperability Achieved? 

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He who has 

not first laid his 

foundations may 

be able with great 

ability to lay them 

afterwards, but 

they will be laid 

with trouble to 

the architect and 

danger to the 

building.

—Niccolo

Machiavelli

Interoperability is 

co-operating.

Men often oppose 

a thing merely 

because they have 

had no agency 

in planning it, or 

because it may 

have been planned 

by those whom 

they dislike. 

—Alexander

Hamilton
Chapter 5: Build an Interagency Foundation 

PROCESS – PROJECT – PROCESS

The term “governance” is sometimes used to describe a decision-making structure. 

Most appropriately, governance is the body or organizational structure guiding a 

larger interoperability process, as opposed to a specific project. For example, a 

multijurisdictional region may have an overarching initiative to improve communications 

interoperability. Or a state may have an interoperability executive committee (SIEC). 

Within those processes, there may be multiple projects being undertaken by a variety of 

involved partners.

We use the term “decision-making structure” here specifically for projects that have an 

identifiable beginning and end. Governance bodies generally serve ongoing initiatives or 

oversee management of multiagency systems after implementation.

Processes to improve interoperability lead to projects and back to processes for 

managing underlying systems—organizational and technical —over their lifecycles. As 

systems become long in the tooth, processes to improve them arise again.

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Part II: How Is Interoperability Achieved? 

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Identify three or 

fewer sponsors.

Executive sponsors 

communicate

vision.
Chapter 5: Build an Interagency Foundation 

INTEROPERABILITY SUMMIT

In early May 2005, the U.S. Department of Justice (DOJ) convened a summit 

on communications interoperability. Representatives from major projects and 

initiatives around the country came together for 2 days in Seattle to share 

lessons learned. Through discussion and consensus, some best practices 

were developed.

Sponsorship

 Get the right project sponsors by showing the public policy and political 

impact of problems to be solved. 

(See http://www.cops.usdoj.gov/Default.asp?Item=1495.)

3TEP

)DENTIFY3TAKEHOLDERS

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24

TECH GUIDE

ORIGINAL V

Know thy 

stakeholders.
Part II: How Is Interoperability Achieved? 

THE RELUCTANT STAKEHOLDER

All stakeholders are going to be equally enthusiastic about this initiative to 

improve their interagency communications, right? Wrong. Most projects of any 

size “enjoy” a range of buy-in across the wide variety of stakeholders discussed 

here. From the comfortably noncommunicative to the incurably cynical to the 

painfully frugal, interoperability projects have their share of stakeholders who 

won’t wildly embrace change.

It’s a big mistake to proceed by simply labeling these folks, pigeonholing them, and 

stacking committees with cheerleaders. We see this most frequently where a “solution” 

arises before problems are well understood.

By bringing dissenters to the table, issues get aired and the group—as a whole— can 

make the commitment to move forward. Even those whose ideas or objections were 

considered and decided against have to acknowledge that a deliberative, consensual 

process delivered the results. Often enough, these folks understand real challenges that 

need to be faced.

A good project manager can use the art of facilitation to move stakeholders from simply 

reacting, to problem solving, and on to creative choices.

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Plan to 

communicate with 

the public and 

media.

If two men agree 

on everything, you 

may be sure that 

one of them is 

doing the thinking.

—Lyndon B. 

Johnson

We’ve heard 

from more 

than one region 

where organized 

labor groups 

were ignored as 

stakeholders—to

the great detriment 

of the project. By 

contrast, we’ve 

also heard success 

stories where labor 

has been central in 

identifying needs 

and managing 

expectations—both

of which are 

definite keys to 

project success!
Chapter 5: Build an Interagency Foundation 

3TEP

#REATETHE3TRUCTURE

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28

TECH GUIDE

ORIGINAL V

Steering Committee 

missteps with 

vendors can be 

costly—or worse.

29

TECH GUIDE

ORIGINAL V

Users know

best.
Part II: How Is Interoperability Achieved? 

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PXOSPMF A classic sign of 

attention creep 

in radio projects 

is technology 

debates in the User 

Committee—or

worse yet, in 

the Steering 

Committee. The 

former body 

should be focused 

on defining 

the project’s 

operational and 

business needs, 

and the latter on 

executing a shared 

vision, committing 

resources, and topdown management.

Figure 5-1: Sample Decision-Making Structure

USER COMMITTEE

Subject-matter/business process experts

Line supervisors for field operations and 

dispatch

TECHNICAL COMMITTEE

Communications and IT support staff of 

participating agencies

AD HOC

WORKING GROUP

Focused on particular 

tasks, e.g.,

standard operating 

procedures, training 

plans, exercises

AD HOC

WORKING GROUP

Focused on particular 

tasks, e.g.,

identifying coverage 

needs, final acceptance 

testing

AD HOC

WORKING GROUP

Focused on particular 

tasks, e.g.,

documenting current 

radio environment

AD HOC

WORKING GROUP

Focused on particular 

tasks, e.g.,

mapping coverage 

needs, initial field 

testing

EXECUTIVE SPONSORS

Ultimate decision-making authority

Provide leadership and accountability

STEERING COMMITTEE

Provides leadership

Adopts a shared vision

Removes obstacles

PROJECT MANAGER

Responsible for all project-related

tasks and deliverables

Directs working committees

Avoid attention 

creep!
Chapter 5: Build an Interagency Foundation 

INTEROPERABILITY SUMMIT

More notes from the U.S. DOJ Interoperability Summit

Decision-Making Structure

 Ensure committee members have authority to speak for their agencies.

 Get buy-in from labor unions and ask them to recommend their own 

representatives.

 Manage competing stakeholder demands between larger and smaller agencies by 

creating a balanced decision-making structure with documented conflict-resolution 

processes.

3TEP

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Use free technical 

assistance

resources.
Part II: How Is Interoperability Achieved? 

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Network

with peers.

35

TECH GUIDE

ORIGINAL V

Use a trained 

facilitator early on.

37

TECH GUIDE

ORIGINAL V
Chapter 5: Build an Interagency Foundation 

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“Management”

means, in the 

last analysis, the 

substitution of 

thought for brawn 

and muscle, 

of knowledge 

for folklore and 

superstition, and 

of cooperation for 

force. . .

—Peter F. Drucker

43

TECH GUIDE

ORIGINAL V
Part II: How Is Interoperability Achieved? 

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Smaller

jurisdictions, as a 

group, are slowest 

to hire or assign 

full-time project 

management. While 

other technology 

projects are often 

proportional to the 

size of the agency, 

radio projects 

generally aren’t. 

For example, a 

computer-aided 

dispatch system is 

simpler for a small 

agency than larger 

ones, requiring 

less project 

management. Radio

projects, on the 

other hand, are 

generally large and 

expensive—even

for smaller 

jurisdictions. For 

specific guidance 

on small and 

rural agencies, 

you may want to 

refer to the Law

Enforcement Tech 

Guide for Small 

and Rural Police 

Agencies (http://

www.cops.usdoj.

gov/mime/open.

pdf?Item=1619).

51

TECH GUIDE

ORIGINAL V
Chapter 5: Build an Interagency Foundation 

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Interoperability

is all about 

relationships and 

working toward a 

common vision. 

Perhaps the first 

step in ‘breaking 

the ice’ might be 

to collectively 

develop a catchy 

acronym, such 

as DIRT (Disaster 

Interoperable

Response Technocommunications).

—Chief Charles 

Werner

Charlottesville

(Virginia)

Fire Department

Plan in

context.
Part II: How Is Interoperability Achieved? 

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Explain the 

operational benefits 

to be achieved in 

specific terms.

Scope:

What’s in, what’s 

out?

Focus on 

operational

outcomes, not 

technology.
Chapter 5: Build an Interagency Foundation 

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Everyone wants 

to know how long 

it’s going to take 

and how much it’s 

going to cost.

A good home 

must be made, not 

bought.

—Joyce Maynard
CHAPTER 6

CONDUCT A NEEDS ANALYSIS
TECH GUIDE

ORIGINAL V

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#HAPTER

#ONDUCTA.EEDS!NALYSIS

7HAT

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Part II: How Is Interoperability Achieved? 

Needs analysis 

details what has to 

be accomplished 

to achieve 

interoperability.

Development and design of shared systems follow the same 

interagency processes described here, though necessarily with 

more time spent in understanding each agency’s internal processes, 

collecting their needs, and finding common requirements. User and 

technical committees for such development efforts should use ad hoc 

work groups from each participating agency to develop requirements that can be rolled 

up for systemwide needs analysis.

Whether your project is simply to improve interoperability among users of existing 

systems or to build a broad, new shared system, understanding communications needs 

between agencies requires the specially focused efforts detailed here.

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Chapter 6: Conduct a Needs Analysis 

It is impossible to 

design a system so 

perfect that no one 

needs to be good.

—T.S. Eliot

Working 

committees are 

key to a good 

assessment.

Figure 6-1: Business Process Assessment Steps

.EEDS!NALYSIS

!SSESS#URRENT"USINESS0ROCESSES

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Assess

Interoperability

Baseline

Draft Business

Process Baseline

Report

Create

Technology

Baseline Report

Finalize Business

Process Baseline

Report

Fix

Obvious

Problems!
Part II: How Is Interoperability Achieved? 

Use a stake in 

the sand to draw 

feedback.

Unwritten business 

processes are 

important to 

document.

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Chapter 6: Conduct a Needs Analysis 

69

TECH GUIDE

ORIGINAL V

Use diagrams to 

make work models 

clear.

71

TECH GUIDE

ORIGINAL V

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Part II: How Is Interoperability Achieved? 

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Chapter 6: Conduct a Needs Analysis 

Simple explanations 

of “how” are 

indispensable.

Take advantage 

of quick fixes for 

momentum.

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Part II: How Is Interoperability Achieved? 

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This is your as-is

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Chapter 6: Conduct a Needs Analysis 

.EEDS!NALYSIS

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Goal #1:

Capture operational 

needs.

Goal #2:

Open lines of 

communications.

A human being has 

a natural desire 

to have more of a 

good thing than he 

needs.

—Mark Twain
Part II: How Is Interoperability Achieved? 

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Goal #3:

Get invested 

stakeholders.
Chapter 6: Conduct a Needs Analysis 

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79

TECH GUIDE

ORIGINAL V
Part II: How Is Interoperability Achieved? 

.EEDS!NALYSIS

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Life was simple 

before World War 

II. After that, we 

had systems.

—Admiral Grace 

Hopper
Chapter 6: Conduct a Needs Analysis 

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Type

Dispatch

Command

Operational

Tactical

Support or Logistical

Scale

One-to-One

One-to-Many

One-to-All

One-to-Any

System Administration

Operational Mode

Routine

Planned Events

Large Emergencies

Technological Mode

Voice—Interactive

Voice—Noninteractive

Data—Interactive

Data—Noninteractive

Priority

Extreme Emergency

Urgent, Safety of LIfe

Urgent, Safety of Property

Planned Events

Exercises

Training

Categories and Terminology to Use for

Stating Requirements

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Figure 6-2: Categories and Terminology
Part II: How Is Interoperability Achieved? 

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Chapter 6: Conduct a Needs Analysis 

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Use terms of quality 

to state technical 

requirements.
Part II: How Is Interoperability Achieved? 

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Regulatory 

mandates often 

spur system 

upgrades and 

replacements.
Chapter 6: Conduct a Needs Analysis 

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Part II: How Is Interoperability Achieved? 

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This is your to-be

report.

Don’t buy the 

house; buy the 

neighborhood.

—Russian proverb
Chapter 6: Conduct a Needs Analysis 

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Public safety 

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traditionally rolled 

their own radio 

systems.

Commercial 

networks are 

increasingly used 

in mobile data 

systems.

Shared systems 

bring high levels 

of technological 

compatibility.
CHAPTER 7

SCOPE THE WORK TO BE DONE
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3COPETHE7ORK4O"E$ONE

7HAT

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Part II: How Is Interoperability Achieved? 

Do you need further 

system design at 

this point?

Don’t limit your 

choices by overdesigning technical 

elements.

#OMMONLY#ONTRACTED3ERVICES

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Chapter 7: Scope the Work to Be Done 

3YSTEM)NSTALLATIONAND/PTIMIZATION

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Turnkey 

procurement:

One in which 

a general 

system vendor 

or equipment 

manufacturer

designs and 

integrates the 

system, and 

provides the 

equipment.

Acceptance testing 

is dealt with 

in more detail 

in Chapter 10, 

Implement the 

System.
Part II: How Is Interoperability Achieved? 

/THER7ORKTO"E$ONE

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Training is the key 

to your successful 

system of systems.

Dispatchers are 

professional

systems

integrators.

No technology is so 

simple that training 

is unnecessary 

for people who 

will use it during 

emergencies.
Chapter 7: Scope the Work to Be Done 

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Include staff on 

the Technical 

Committee who 

know what’s in 

use—and why.

The overriding 

consideration

for sites is the 

coverage they will 

provide.

Public safety 

radio sites are 

considered critical 

infrastructure for 

homeland security.

Federal Aviation 

Administration

(FAA) permits 

often require tower 

lighting. Not only 

are tower owners 

liable for lighting 

inadequacies

or failures, but 

tenants’ leasing 

space have been 

fined, as well.
Part II: How Is Interoperability Achieved? 

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Be aware of grant 

limitations on 

purchasing sites 

or permanent 

construction! Many

won’t cover them 

outright, but will 

accept the costs as 

an allowable match.

One jurisdiction 

had to resort to 

condemning private 

property for rightof-way access to 

an important radio 

site.
Chapter 7: Scope the Work to Be Done 

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One jurisdiction ran head-first into a “Save Our Mountain” committee 

when trying to site a new tower. They ended up compromising on the 

location—going with a marginal bench on the side of the mountain 

rather than the top to avoid tower lighting requirements—and ended up 

suffering coverage problems in critical areas for more than 20 years.

Increasing use 

of “mesh” radio 

networks for data 

requires many 

more sites, though 

generally simpler 

ones.
Part II: How Is Interoperability Achieved? 

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Vendors look 

for adherence 

to commercial 

and public safety 

standards in 

evaluating existing 

sites.

For new or existing 

sites, adequate 

floor space has 

to be available 

for expected 

equipment.

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Chapter 7: Scope the Work to Be Done 

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&REQUENCY#OORDINATIONAND,ICENSING

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Most public safety 

transmitters have 

to be licensed with 

the FCC.

Spectrum

congestion forces 

agencies to move 

to new frequency 

bands to get new 

capabilities.
Part II: How Is Interoperability Achieved? 

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A couple of certified 

coordinators use 

local advisors,

people within the 

state or region who 

typically work in a 

technical capacity 

for a public safety 

agency that 

volunteers their 

time.

GATEWAYS AND FREQUENCY LICENSING

Gateways that interconnect multiple radio systems bring additional licensing 

requirements when used to directly control transmitters. Requirements vary based on 

whether the device is used to connect fixed radios or is deployed as a mobile device.

Check with the FCC-certified frequency coordinators on what additional licensing will 

be required for transmitters connected to your gateway.
Chapter 7: Scope the Work to Be Done 

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Don’t rely on 

vendors’ measures 

of “interoperability.”

Consulting for 

major systems 

design and 

implementation

can be expensive 

because there’s 

a lot of work 

involved.
Part II: How Is Interoperability Achieved? 

2ECOMMENDATIONS

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Independent

integrators can 

be more objective 

in advising 

you of needed 

organizational,

operational, and 

management

changes.
CHAPTER 8

CREATE A PROJECT PLAN
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TECH GUIDE

ORIGINAL V
Part II: How Is Interoperability Achieved? 

The project plan 

is a working 

document.

Project planning 

improves odds of 

success.

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Chapter 8: Create a Project Plan 

PREPARING FOR CHANGE

Technology projects generally accompany and lead to lots of organizational change. 

Communications interoperability projects can lead to even more upheaval because they 

affect not only internal processes, but also relations between organizations. Voice and 

data radio communications are such critical tools for emergency responders that any 

disruption of current capabilities, in particular, threatens to cause some serious pushback on the project from the field.

Executive sponsors: Change management is an integral part of project 

management. Prepare your organizations for change by requiring a formal plan that 

controls the project scope, budget, and timeline to achieve the interoperability goals 

and objectives you have set out. It should include a section on how the risks inherent in 

large projects, in general, and your project, in particular, will be managed. It should also 

include a plan for communicating progress realistically to all stakeholders, including 

line staff, supervisors, management, and any stakeholders beyond your organizations. 

Manage the expectations of your employees and make sure they have reason to share 

ownership of the project’s success.

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Part II: How Is Interoperability Achieved? 

Figure 8-1: Sample Work Breakdown Structure

System Design

Equipment Procurement

Equipment Installation

Communications Technician Training

Responder Training

Tabletop Exercises

Full-function Exercises

Project Management

INTEROPERABILITY PROJECT

EXAMPLE SCOPE STATEMENT

The communications interoperability project will establish one interagency 

voice channel for all police, fire, and EMS agencies in the county for onscene command coordination. Interagency command communications are 

necessary only within a 1-mile radius of an incident command post, which 

may be established anywhere in the county. Funding limitations suggest that 

complete replacement of all disparate systems in use will not be possible.

Console patching of agency dispatch channels will not be an acceptable 

means of meeting this need. Use of gateway devices linking existing channels 

or systems may be acceptable if specifically designated agency tactical 

channels or talkgroups are used. No new radio frequencies will be licensed.

Training and exercises for county communications technicians and all 

responders will be conducted.
Chapter 8: Create a Project Plan 

124

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ORIGINAL V

125

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ORIGINAL V

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Part II: How Is Interoperability Achieved? 

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PERFORMANCE MEASURES

For interoperability projects, performance measures may include such things as the 

availability of interagency channels, the speed with which gateways are activated or 

deployed, the required coverage of systems linked together, and much more.

Focus on operational measures of success: The observable effects of good interagency 

communications. We’ll have more to say about measurable improvements to 

interoperability in Chapter 15, Measuring Interoperability. Just remember: 

Performance measures are a key part of your project plan and must be contemplated at 

the earliest stages of a project.
Chapter 8: Create a Project Plan 

129

TECH GUIDE

ORIGINAL V

Costs are initial and 

recurring, internal 

and external.

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Part II: How Is Interoperability Achieved? 

The inherently multiagency character of communications interoperability 

projects requires that additional time be built into schedules for all aspects 

that involve formal approvals, such as memoranda of understanding and 

cost-sharing agreements. Agreements can take an extended amount of time, 

particularly as more legal review across affected agencies takes place.

Manage this time aspect by ensuring that Steering Committee members 

have delegated decision-making authority. Use a regular meeting scheduling 

process where issues requiring further internal agency review are announced 

prior to a meeting, presented for consideration during it, and scheduled for 

decision at a subsequent one. Regularly used, this structured process will 

help your project move steadily forward.

Voice and data communications projects, alike, are often expensive, 

span multiple budget and grant years, and require time-consuming 

competitive procurements.

Create an ad hoc committee of agency fiscal, grant management, and 

procurement specialists to make sure your timeline takes into account 

the cyclical and often time-critical aspects faced by these important 

partners. Their buy-in to the project can yield benefits long after the 

timeline is in place!

Radio projects often involve civil construction, public hearings, zoning 

variances, environmental assessments, permits, and licenses. In many areas 

of the country, seasonal weather even determines when building can occur. 

Every one of these aspects can throw a monkey wrench into the gears of a 

finely tuned timeline.

Manage these schedule killers by building in plenty of time for their 

completion. Start the related tasks early and pad the timeline with 

contingency activities that can be moved in to take advantage of delays. 

Carefully analyze and define dependencies between activities in the work 

breakdown structure to compress the timeline where possible by carrying 

out tasks in parallel. These techniques are all tools in the project manager’s 

kit for dealing with such monkey wrenches.

Take into Account the Following Special Time Aspects for 

Interoperability Projects:

Figure 8-2: Special Time Aspects for Interoperability Projects
Chapter 8: Create a Project Plan 

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Figure 8-3: Example Cost Identification Chart

COST

COST SOURCE

INTERNAL EXTERNAL

COST TIMEFRAME

INITIAL

Project workspace Property

Project management labor Radio site infrastructure

Remodeling of central facilities Network infrastructure electronics

New intranet drops User radios

Overtime for training Network management software

Mobile radio installer labor Controller computers and software

Acceptance testing costs System engineering

Internal cost recovery fees Construction services

Integration services

RECURRING

Physical infrastructure maintenance Maintenance contracts and updates

Internal network cost recovery fees Radio site and tower leases

Refresher training and exercise costs Software license fees

Technical support labor Electrical service to radio sites

Radio reprogramming Backbone network services

New fleet installation costs Tower inspections

Infrastructure repair 

User radio repairs and replacement
Part II: How Is Interoperability Achieved? 

Most grant 

programs being 

tapped today for 

communications

interoperability

projects require 

that local funds 

be used for 

property, towers, 

and permanent 

construction. 

Remember that 

many grant funding 

programs for 

technology will 

pay for up-front 

start-up costs, but 

will not pay for 

recurring costs. 

Protect your budget 

by thoroughly 

understanding all 

grant limitations!

141

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ORIGINAL V

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Chapter 8: Create a Project Plan 

Common first- and second-level budget

categories for initial costs

Personnel services

Project management

Technical support

Training and exercises

Professional services

Project management

Needs analysis

Conceptual design and engineering

Procurement management

Systems integration

Construction management

Radio license application

 preparation and coordination

Acceptance testing

Training

Physical infrastructure

Real estate

Site construction

Site heating, ventilation, and air

 conditioning (HVAC)

Primary and emergency power

 systems

Tower erection

Backbone network 

infrastructure

Microwave radios

Multiplexers and channel banks

Gateway systems

Leased-line installation

Installation and optimization

Radio frequency (RF) 

infrastructure

Antenna and combining systems

Site voice and/or data radios

Supervisory control and monitoring

 systems

Central electronic banks and network

 hub equipment

Control station radios

Installation and optimization

End-user hardware and software

Portable radios

Mobile radios

Mobile computers

Vehicular modems

Dispatcher console equipment and

 software

Application software

Other

Contingency

Bonding

Figure 8-4: Common First- and Second-Level Budget Categories for Initial Costs
Part II: How Is Interoperability Achieved? 

145

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ORIGINAL V

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A BUNDLE OF COSTS

Large radio system vendors will prefer to act as your systems integrator, bringing all 

the complex pieces of a modern radio system together. They’re very capable of doing so 

and generally can better guarantee that their own products will perform if they do. The 

downside is that the service doesn’t come free and you’ll probably pay a premium for 

commodity items that you could buy “off the shelf.”

Prepare yourself to be a good consumer. Take the time early in your budgetary planning 

to break out cost estimates for services and subsystems. This will give you needed 

detail later on for the procurement process and beyond to contract negotiations.

Information is your primary tool in managing vendor relationships. Don’t give 

away the farm by ignoring costs that can be buried in system integration and 

implementation services.
Chapter 8: Create a Project Plan 

0ROJECT0LANNING

#REATEA2ISK-ANAGEMENT0LAN

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Loss of key staff or participants

Loss of an executive sponsor or the project manager has the greatest 

impact on projects.

Loss of funding

Given the expense of communications projects, several funding 

sources usually have to come together to make them 

possible. Loss of a key funding stream or the inability to 

match a grant can require huge scope changes.

Bid protests

In a competitive field for high-stakes contracts, vendors 

are often willing to play hard for business. Bid protests can 

result in significant time delays.

Construction delays

Any number of events can delay necessary building. Given narrow funding windows, delays can put 

funding at risk.

Frequency licensing problems

Radio frequency spectrum may be one of the most scarce resources that has to be managed in the 

project. Licensing delays or disputes can have a serious impact on schedules.

Public protests

There’s nothing like a new radio tower going up in someone’s backyard to cause public protests.

150

TECH GUIDE

ORIGINAL V

Figure 8-5: Common Risks in Interoperability Projects
Part II: How Is Interoperability Achieved? 

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161

TECH GUIDE

ORIGINAL V
Chapter 8: Create a Project Plan 

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Think like a 

wise man but 

communicate in 

the language of the 

people.

—William Butler 

Yeats

INTEROPERABILITY SUMMIT

More notes from the U.S. DOJ Interoperability Summit

Communications

 Establish a communication plan that creates a reporting structure with and between 

committees and uses graphic depictions to show reporting responsibilities.

 Use daily briefings between key project team members to manage information flow.

 Keep agency public information officers informed about the project.

 Limit who communicates with vendors.
Part II: How Is Interoperability Achieved? 

#OMMUNICATING!CROSS!GENCIES

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Figure 8-6: Louisville (Kentucky) MetroSafe Web Site
Chapter 8: Create a Project Plan 

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Hosted web sites 

can be costeffective and simple 

to manage.

Freely available 

web services 

can help with 

interagency project 

communications.
Part II: How Is Interoperability Achieved? 

'RAPHICALLY#OMMUNICATING2OLES

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R Responsible Who does the work or owns the problem?

A Accountable Who signs off on or approves the work?

C Consulted Who has information needed to do the work?

I Informed Who needs to be notified of the results?

ActivityExecutiveSponsorsSteeringCommitteeProject ManagerUser CommitteeTechnical CommitteeOther Subject Matter ExpertsAgency LegalStaffAgencyProcurement StaffAgency Grant Managers

Create a decision-making structure A R

Create a project charter I A R I

Assess current business processes A, R C I C

Determine stakeholder needs A A, R C C C

Develop general system requirements I A, C R C I I

Evaluate buy versus build options I A, R C C

Set the project scope A C R C C

Develop the timeline A, C R C C I

Estimate and deliver a budget I A, C A, R C C C I C

Create a risk management plan A A, C A, R C C I

Communicate plans and progress I A R I I I I I

To be prepared is 

half the victory.

—Miguel De 

Cervantes

With these 

five pieces in 

place—the scope

statement,

timeline,

budget, risk

management, and 

communications

plans—your

project plan is 

complete...for

now! While it will 

surely be a good 

plan with all these 

elements, a great 

plan is the one that 

is up to date.

Figure 8-7: RACI Matrix Example

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CHAPTER 9

ACQUIRE THE SYSTEM COMPONENTS
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TECH GUIDE

ORIGINAL V
Part II: How Is Interoperability Achieved? 

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TZTUFNEFWFMPQNFOU
Chapter 9: Acquire the System Components 

Figure 9-1: Design and Acquisition Processes

Buy services

or

Build a system?

Charter

Conception

Vision

Business Case

Needs Analysis

Interoperability

Baseline

Assessment

Business Process

Baseline Report

“As-Is”

Technology

Baseline Report

“As-Is”

Interface &

Integration

Requirements

Conceptual Design

“To-Be”

Organizational

Operational

Technical

Functional

Requirements

Turnkey?

Build

Hire an

integrator? No Yes Acquire anintegrator

Yes

Develop functional specifications

for procurement

Procure the

technology

Buy

No

Needs

Analysis

Process

Foundation

Building

Process

Acquisition

Process

Design and

engineer

Engineering

Construction

Implementation

Acceptance Testing

Acquire the

services and

design products

Quality Assurance
Part II: How Is Interoperability Achieved? 

Any sufficiently 

advanced

technology is 

indistinguishable

from a rigged 

demo.

—James Klass

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Chapter 9: Acquire the System Components 

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Don’t work yourself 

into an acquisition 

corner by failing 

to understand 

your agency’s 

purchasing and 

contracting rules, 

as well as those of 

your partners.

Today’s competitive 

procurements are 

so technologically 

and administratively 

complex that they 

require advice from 

a multiplicity of 

sources, including 

legal counsel and 

financial advisors. 

There are very 

real costs for this, 

too—as much as 

five percent of the 

procurement, in our 

experience.

—Steve Proctor

Executive Director

Utah

Communications

Agency Network

A suitable proposal 

evaluation team 

for a turnkey 

procurement would 

comprise the same 

members, but 

include fewer of 

them.
Part II: How Is Interoperability Achieved? 

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How agencies will 

work together 

drives many 

procurement

functional

specifications.

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	/*.4

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MAKE A NOTE OF IT!

In order to keep your project focused on improvements in operations, 

limit vendor access to team members. If necessary, use an agreement for 

individual team members that requires them to direct all vendor inquiries 

through the project manager or designee. Don’t risk team members 

becoming advocates for particular technologies!
Chapter 9: Acquire the System Components 

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Look elsewhere in 

the participating 

jurisdictions for 

civil engineering 

and construction 

expertise.

SELECT TEAM MEMBERS CAREFULLY

In our experience, one key quality of a good project manager is the ability to pick the 

right people for the right teams. Not all potential project participants have the people 

skills necessary for good teamwork. Be careful with the engineering team; some of 

the most technically adept technicians struggle in teams. Select members for the 

engineering team who have no preconceived notions of the “best” technology and 

who work well with their peers in other agencies. Avoid dogmatic members of the 

engineering team—or of any team for that matter!
Part II: How Is Interoperability Achieved? 

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Quality

management

is a distinct 

responsibility of 

project managers 

and is sometimes 

outsourced in large 

projects.

Use key members 

of other project 

teams for the 

acceptance

process.
Chapter 9: Acquire the System Components 

3YSTEM!CQUISITION

4HE!RTOF0ROCUREMENT

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THE HEAD COACH’S CHALLENGE

If you’re the project manager of a sizeable interagency communications 

project, you may be looking at this list of potential teams beneath the carefully 

crafted decision-making structure you’ve already created and think the project 

might drown in a sea of organization charts. Don’t despair! While formal and 

ad hoc working teams are brought together to do specific, task-level work, 

they’re often composed of the same project participants—often most from the 

project’s standing committees.

Your project management challenge here is to help team members understand 

that they’ll wear different hats while working in separate teams, but the team’s 

purpose is to take a focused task and carry it to completion. Distinguishing 

specific teams emphasizes distinct areas of work to be done and helps 

participants navigate the maze of tasks involved in large technology projects.

Manage the project’s timeline by carefully having these teams work in parallel to 

one another. Clearly, the amount of overlap between members is going to affect 

how much can be accomplished by them, but good project managers compress 

timelines by having work done in parallel as much as possible.
Part II: How Is Interoperability Achieved? 

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176

TECH GUIDE

ORIGINAL V

179

TECH GUIDE

ORIGINAL V
Chapter 9: Acquire the System Components 

SOLE-SOURCE PROCUREMENT

While it’s often tempting to go straight to a single source based on what you already 

know about radio systems, recognize that there’s great value in maintaining competition 

and options in any procurement. Use them to your advantage. Don’t rely on expected 

goodwill alone to deliver your agencies the best options at the best prices. Recognize 

that grants place significant additional procurement burdens on any sole-source 

purchases they are used for. See the original Law Enforcement Tech Guide, Page 178, 

and/or the Law Enforcement Tech Guide for Small and Rural Police Agencies: A Guide 

for Executives, Managers, and Technologists, Chapter 5, Understanding Procurement 

and Contracting http://www.search.org/files/pdf/SmallRuralTechGuide.pdf.

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181

TECH GUIDE

ORIGINAL V
Part II: How Is Interoperability Achieved? 

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182

TECH GUIDE

ORIGINAL V
Chapter 9: Acquire the System Components 

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187

TECH GUIDE

ORIGINAL V

Know your vendors’ 

marketing and sales 

cycles.

Vendors prefer 

penalty clauses 

to bonding 

requirements that 

increase costs 

even for successful 

projects.
Part II: How Is Interoperability Achieved? 

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The best deals 

can be negotiated 

in December. 

Equipment prices 

can vary by 5 

percent based on 

the time of year.

Vendor-provided 

training can be very 

expensive—check

quotes carefully.
Chapter 9: Acquire the System Components 

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To avoid invocation 

of penalty clauses, 

vendors may 

provide additional 

equipment at cost.
CHAPTER 10

IMPLEMENT THE SYSTEM
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7HAT

7HY

7HO

7HEN

TECH GUIDE

ORIGINAL V
Part II: How Is Interoperability Achieved? 

Vendors become 

stakeholders once 

contracts are 

signed.

0ROLOGUETOAN)MPLEMENTATION

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Chapter 10: Implement the System 

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Training is the 

key to successful 

implementation.

Details of vendor 

work will be set 

primarily by your 

contracts.
Part II: How Is Interoperability Achieved? 

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207

TECH GUIDE

ORIGINAL V

207

TECH GUIDE

ORIGINAL V
Chapter 10: Implement the System 

Chapter 1

Project Summary

Chapter 2

Project

Organization

Chapter 3

Management

Process

Chapter 4

Work, Schedule, 

and Budget Tools

Overview

Definitions

Deliverables

Audit trail

Plan approval process

Organizational structure

Responsibilities

Relationships between 

vendors

System management 

transition

Project objectives

Assumptions/

Constraints

Risk management plan

Staffing plan

Select contract exhibits

Logistical

considerations

Q0ROJECT3UMMARY

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Figure 10-1: Implementation Plan Outline

Clearly describe the 

approval process 

for change orders! 
Part II: How Is Interoperability Achieved? 

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Chapter 10: Implement the System 

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BUDGET TIP: BENEFICIAL USE

Contractors will also appropriately expect to be paid when you put the technology 

to the work it was intended for. This doctrine—probably a contractual element—of 

beneficial use is used to trigger payment milestones, as well as to start the warranty 

and maintenance cycle clocks ticking. The trouble is that it’s rare with complex systems 

to just “flip a switch” and make everything come live.

Implementation more often proceeds in fits and starts. Some functionality exists before 

the complete system you contracted for is available. Obviously, you don’t want warranty 

clocks ticking for 100 percent of your equipment when only 10 percent of it is in use.

Careful definition of “beneficial use” during contract negotiations 

will provide leverage during implementation and better value from 

your equipment.

Budget Tip: The

Final Payment

Contractors will 

appropriately

expect to be paid 

for labor and 

materials as parts 

of the system 

are accepted. 

Part of your duty 

during contract 

negotiations was 

to arrange fair 

compensation

for work while 

protecting the 

agencies from 

paying for an 

incomplete

product. Payment 

milestones should 

be linked to 

acceptance and at 

least 10 percent of 

the contract should 

be held until after 

final acceptance. 

This prevents 

implementations

from dragging on 

when there is only 

a bit more work 

necessary to have a 

functional system, 

as specified by the 

contract.

Use of multiple 

vendors requires 

additional hand-off 

milestones in the 

project timeline.
Part II: How Is Interoperability Achieved? 

3IGN3EALAND$ELIVER

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Chapter 10: Implement the System 

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SOP development 

and management is 

covered in

Chapter 12.
Part II: How Is Interoperability Achieved? 

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Rely on the 

project working 

committees

for training 

documentation.

213

TECH GUIDE

ORIGINAL V

Make acceptance 

plans as early 

vendor deliverables.

Adapt canned 

test plans to your 

project.
Chapter 10: Implement the System 

4ESTING

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214

TECH GUIDE

ORIGINAL V

Staged testing 

helps minimize 

costs for large 

systems.
Part II: How Is Interoperability Achieved? 

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Chapter 10: Implement the System 

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It’s not a matter 

of simply driving 

around saying, 

“Can you hear me 

now?”
Part II: How Is Interoperability Achieved? 

Sample Functional Acceptance Tests

While this incremental process of testing should be understandable, there’s nothing like 

examples to make them real. Figure 10-2 shows a few of the functional acceptance test procedures used by the City of Mesa (Arizona) in implementing its trunked radio system. Many 

more in each category were used, as were yet more categories of procedures. Each procedure was accompanied with the required setup process to assure that resources needed for 

the test were prepared. This plan was provided in draft by the vendor and worked out in 

detail with the agency through implementation planning.

As each test was successfully completed, team representatives from the agency and the 

vendor signed off on it with any additional notes memorializing the test.

Site Trunking 

Feature Description Test Site Trunking Talkgroup Call

When a site goes into site trunking, 

radios with talkgroup call capability 

will be able to communicate with 

other members of the same talkgroup at that same site. Members 

of the same talkgroup at other sites 

will not be able to monitor those 

conversations.

Step 1. Place Site 1 into the site trunking mode.

Step 2. Initiate a talkgroup call with RADIO-1 on Test TG 1 at Site 1.

Step 3. Observe that only RADIO-2 will be able to monitor and respond to 

the call.

Step 4. Initiate a talkgroup call with RADIO-3 on Test TG 1 at Site 2.

Step 5. Observe that only RADIO-4 will be able to monitor and respond to 

the call.

Call Alert

Call alert is a tone page that allows 

a user to selectively alert another 

radio unit. When a site is in site 

trunking, Radios at the site will 

only be able to call alert other radios at the same site. The initiating 

radio will receive notification from 

the trunked system as to whether 

or not the page was received by the 

target radio.

Step 1. Place Site 1 into the site trunking mode.

Step 2. Using RADIO-1, press the alert button.

Step 3. Enter the Unit ID of RADIO-2 with the keypad, or scroll to the 

location where this ID is stored.

Step 4. Press the PTT to initiate the call alert.

Step 5. Verify that RADIO-2 received the call alert.

Step 6. Exit the call alert mode and return to normal talkgroup mode.

Figure 10-2: Excerpts from City of Mesa (Arizona) Acceptance Test Plan
Chapter 10: Implement the System 

Wide Area Trunking 

Feature Description Test Talkgroup Call

Radios with talkgroup call capability will be able to communicate 

with other members of the same 

talkgroup. This provides the 

effect of a private channel down 

to the talkgroup level. This test 

will demonstrate that a talkgroup 

transmission initiated by a radio 

user will only be heard by system 

users who have the same talkgroup 

selected. As with other types of 

calls, talkgroup calls can take place 

from anywhere in the system.

Step 1. Initiate a wide area call with RADIO-1 in Test TG 1.

Step 2. Observe that only RADIO-2 will be able to monitor and respond to 

the call.

Step 3. Initiate a wide area call with RADIO-3 in Test TG 2.

Step 4. Observe that only RADIO-4 will be able to monitor and respond to 

the call.

Secure Operations

Digital encryption is used to 

scramble a transmission so only 

properly equipped radios can 

monitor the conversation. A “Key” 

is used to encrypt the transmit 

audio. Only radios with the same 

“Key” can decrypt the audio and 

listen to it.

Step 1. Initiate a secure wide area call with RADIO-1 on Test TG 1. Keep 

this call in progress until instructed to end the call.

Step 2. Observe that RADIO-2 will be able to monitor and respond to the 

call.

Step 3. Observe that RADIO-3 does not receive the call.

Step 4. Observe that RADIO-4 will also receive the call even with the 

secure switch set to the nonsecure mode of operation.

Step 5. End the call from RADIO-1.

Step 6. For radios equipped with dual algorithm encryption modules, 

select a talkgroup using the second algorithm and repeat Steps 1-5.

Call Alert

Call alert is a tone page that allows 

a user to selectively alert another 

radio unit. The initiating radio 

will receive notification from the 

trunked system as to whether or 

not the page was received by the 

target radio. Units receiving a call 

alert will sound an alert tone. As 

with other types of calls, call alerts 

can take place from anywhere in 

the system.

Step 1. Using RADIO-1, press the page button.

Step 2. Enter the unit ID of RADIO-2 with the keypad, or scroll to the 

location where this ID is stored.

Step 3. Press the PTT to initiate the call alert. Verify that the RADIO-1 user 

receives audible indication that the call alert was sent.

Step 4. Verify that RADIO-2 user receives an audible indication of an 

incoming call alert that was sent but RADIO-3 does not.

Step 5. Verify that RADIO-1 gets an audible indication that the call alert 

was successfully received at the target radio.

Step 6. Turn off RADIO-2. Send a call alert from RADIO-1 to RADIO-2.

Step 7. Verify that the RADIO-1 user receives audible indication that the 

call alert was sent.

Step 8. Verify that RADIO-1 receives an indication that the call alert was 

not successfully received at the target radio.

Figure 10-2, continued
Part II: How Is Interoperability Achieved? 

Console

Feature Description Test Talkgroup Selection and Call

Dispatchers with talkgroup call 

capability will be able to communicate with other members of 

the same talkgroup. This provides 

the effect of an assigned channel 

down to the talkgroup level. When 

a talkgroup call is initiated from a 

subscriber unit, the call is indicated 

on each dispatch operator position 

that has a channel control resource 

associated with the unit’s channel/talkgroup.

Step 1. Initiate a wide area call from any operator position on Test TG 1.

Step 2. Observe that RADIO-1 and RADIO-3 will be able to monitor the 

call. De-key the console and have either radio respond to the call.

Step 3. Observe that all consoles with Test TG 1 can monitor both sides of 

the conversation.

Step 4. Initiate a wide area call from any operator position on Test TG 2.

Step 5. Observe that RADIO-2 and RADIO-4 will be able to monitor the 

call. De-key the console and have either radio respond to the call.

Step 6. Observe that all consoles with Test TG 2 can monitor both sides of 

the conversation.

Talkgroup Patch

Talkgroup patch allows a dispatcher to merge several talkgroups 

together on one voice channel to 

participate in a single conversation. 

This can be used for situations 

involving two or more channels or 

talkgroups that need to communicate with each other.

Using the patch feature, the 

console operator can talk and listen 

to all of the selected talkgroups 

grouped; in addition, the members 

of the individual talkgroups can 

also talk or listen to members 

of other talkgroups. Patched 

talkgroups can communicate with 

the console dispatcher and other 

members of different talkgroups 

because of the “supergroup” nature 

of the patch feature.

Step 1. Select an operator position for testing which contains Test TG 1 

and Test TG 2.

Step 2. At the desired operator position, select the patch tab in the patch 

window.

Step 3. Click the button on the patch that allows an operator to set up and 

edit a patch (note patch window turns blue).

Step 4. Add Test TG 1 and Test TG 2 to the patch by selecting each 

resource tile.

Step 5. Once the talkgroups are added, click the patch setup button again 

to complete the patch setup.

Step 6. Initiate several talkgroup calls between radios.

Step 7. Observe that all radios are able to communicate with one another. 

Also via subsystem viewer screen, observe that only one station is 

assigned at each of the two sites.

Step 8. Initiate a call from the operator position using the patch transmit 

button and observe that all radios are able to receive the call and only one 

station is assigned at each of the two sites.

Step 9. Remove Test TG 1 and Test TG 2 from the patch.

Figure 10-2, continued
Chapter 10: Implement the System 

Report Generation 

Feature Description Test Historical Reports

Performance reports can be 

created automatically for dynamic 

statistical information about the 

air traffic activity on the system. 

These reports provide assistance 

with system management, resource 

planning, usage allocation, and 

monitoring. All reports are preformatted and summarize air traffic 

activity for a configured time span.

Step 1. From the application launcher, select a subsystem.

Step 2. From that subsystem’s menu, choose subsystem historical reports.

Step 3. From the historical reports window that opens, select a report.

Step 4. Using the left mouse button, click on the view button.

Step 5. Observe a window opens, allowing a user to enter report 

parameters.

Step 6. Enter all desired data for the report and generate report.

Step 7. Observe a window appears showing the requested report.

Step 8. Close the report window.

Step 9. Run the following reports during testing: Talkgroup at Subsystem 

Summary; Radio User at Subsystem Summary; Site Summary.

System Reliability 

Simulcast Essential Site Operation

This test verifies the essential 

site operation within a simulcast 

system. An essential simulcast 

remote site is one that must have 

at least one control channel and 

one traffic channel for the simulcast 

subsystem to remain in trunking 

mode. If all control channels or all 

traffic channels have experienced 

faults at an essential simulcast 

remote site, then the entire simulcast subsystem is put into failsoft 

mode to ensure communication 

can continue in the area covered by 

the essential simulcast remote site. 

When all of the wide area failsoft 

channels at an essential simulcast 

remote site have experienced faults, 

the essential simulcast remote site 

is malfunctioned.

Step 1. Power down one of the control channel capable stations at the 

non-essential site and note that configuration software shows the channel 

is disabled at all the other sites.

Step 2. Repeat Step 1 for each of the other control channel capable 

stations or until 50% or more of the stations have been malfunctioned.

Step 3. Verify that configuration software shows that the disabled channels 

have been enabled at all other sites in the simulcast subsystem and that 

RADIO- 1 can communicate with RADIO-3.

Step 4. Repower all of the control channel capable stations at the nonessential site.

Step 5. Power down all of the control channel capable stations at the 

essential site.

Step 6. Verify that the simulcast subsystem is now in the failsoft mode.

Step 7. Re-power all of the control channel capable stations at the 

essential site and verify the simulcast subsystem is back in wide-area 

trunking.

Base Station Identification

This test verifies that the repeaters programmed for base station identification at every site 

broadcasts the FCC identifier every 

30 minutes. To accomplish this, a 

service monitor will be set up to 

monitor the identification channel 

of a random site and note that the 

Morse code is heard.

Step 1. Choose one site to test for base station identification.

Step 2. Set up the service monitor to receive the frequency of the 

identification channel for the particular site.

Step 3. Monitor the service monitor until the system ID is broadcast.

Figure 10-2, continued
Part II: How Is Interoperability Achieved? 

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Initial training may 

be contracted out.

Use train-thetrainer courses 

to build selfsustaining

expertise.
Chapter 10: Implement the System 

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Train in the 

context of how the 

technology will 

actually be used.
Part II: How Is Interoperability Achieved? 

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Chapter 10: Implement the System 

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Part II: How Is Interoperability Achieved? 

$ELTA2IVER#OUNTY4HE)MPLEMENTATION

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Initiate changes 

to policies, 

procedures, and 

agreements early 

on.

Integrate expected 

changes to incident 

response into the 

new system of 

systems.

208

TECH GUIDE

ORIGINAL V
Chapter 10: Implement the System 

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Use outside 

resources for help 

managing project 

construction.

Functional,

reliability, and 

performance tests 

were conducted.

Reliability testing 

takes time.

Adapt existing tests 

from other agencies 

and sources.

216

TECH GUIDE

ORIGINAL V
Part II: How Is Interoperability Achieved? 

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Adjust the schedule 

by shuffling 

work internally, if 

possible.

Anticipate that 

training will be a 

perpetual process.

Use exercises 

for performance 

testing.

Use successful 

final tests to 

congratulate the 

team and set the 

stage for future 

interagency

collaboration.
Chapter 10: Implement the System 

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The system 

of systems is 

the functional 

collection of 

people, technology, 

and business 

processes.
CHAPTER 11

TRANSITION TO LONG-TERM

GOVERNANCE
#HAPTER

4RANSITIONTO,ONG
4ERM

'OVERNANCE

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TPPO$FMFCSBUF

TECH GUIDE

ORIGINAL V
Part II: How Is Interoperability Achieved? 

All communications 

systems have 

boundaries.

!3YSTEMOF3YSTEMS

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SAFECOM Twenty-year Vision

Established 2003

There is an integrated system-of-systems, in regular use, that allows public safety 

personnel to communicate (voice, data, and video) with whom they need on demand, in 

real time, as authorized.

40

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Chapter 11: Transition to Long-Term Governance 

Hold a meeting to 

hand over the keys.

Use the opportunity 

to publicly declare 

success.

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Part II: How Is Interoperability Achieved? 

Contribute lessons 

learned in your 

final report for the 

benefit of others.

A cardinal principle 

of Total Quality 

escapes too 

many managers: 

You cannot 

continuously

improve

interdependent

systems and 

processes until 

you progressively 

perfect 

interdependent,

interpersonal

relationships.

—Stephen Covey

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Chapter 11: Transition to Long-Term Governance 

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Ongoing processes 

need champions, 

but not executive 

sponsors.

Adapt your project 

governance

structure for 

ongoing needs.

Figure 11-1: Sample Ongoing Governance Structure

REGIONAL

INTEROPERABILITY BOARD

EXECUTIVE

COMMITTEE

SYSTEM MANAGER(S)

TECHNICAL COMMITTEE

STATEWIDE

INTEROPERABILITY

COMMITTEE

USER COMMITTEE
Part II: How Is Interoperability Achieved? 

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SIECs are state 

or statewide 

interoperability

executive

committees.

STATEWIDE INTEROPERABILITY

COMMITTEE RESOURCES

Federal Communications Commission (FCC):

http://wireless.fcc.gov/publicsafety/700MHz/interop.html

National Public Safety Telecommunications Council (NPSTC):

http://www.npstc.org/siec/siec.jsp

Association of Public-Safety Communications Officials International, Inc. (APCO):

http://www.apcointl.org/frequency/siec/documents/documents.htm
Chapter 11: Transition to Long-Term Governance 

Q&ORMALIZE!GREEMENTS

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MOUs are suitable 

for small initiatives.

Study your 

local and state 

regulations

covering

interagency

agreements.

GOVERNANCE RESOURCES

To find more information on governance structures for large, shared systems, 

see the supplemental resources that were produced by the National Task Force 

on Interoperability (NTFI):

http://www.justnet.org/pdffiles/ntfi_supplemental.pdf (~3.0 MB)
Part II: How Is Interoperability Achieved? 

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GRANT FUNDING RESOURCES

The SAFECOM Program maintains a web page listing potential sources 

of funding for communications interoperability projects:

 http://www.safecomprogram.gov/SAFECOM/grant/default.

htm

“Where do we get 

the money?”

235

TECH GUIDE

ORIGINAL V

The total cost of 

system ownership 

can be double its 

purchase price.
Chapter 11: Transition to Long-Term Governance 

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QEG

Estimate a 10-

year lifecycle for 

modern voice radio 

technology.

WLAN lifecycles are 

estimated as 3 to 5 

years.

Ongoing costs 

are commonly 

10 percent of the 

original technology 

cost.
Part II: How Is Interoperability Achieved? 

SHARED SYSTEM COSTS

Consider the following costs and responsibilities for shared systems.

 Infrastructure purchase – Apportioned to the jurisdiction where located.

 Mandatory system upgrades – “Must have” upgrades or system additions are paid 

for by the jurisdiction whose subsystem must be upgraded to coexist with the larger 

system; systemwide upgrades are apportioned across all jurisdictions.

 Optional system upgrades – “Nice to have” feature costs are shared between 

jurisdictions desiring the upgrade.

 Infrastructure maintenance costs – Apportioned across all jurisdictions.

 End-user equipment purchase – Covered individually by jurisdictions.

 End-user equipment maintenance – Covered individually by jurisdictions.

Adapted from Wake County (North Carolina) Interlocal Agreement for its 800 MHz 

trunked radio and CAD systems

Ultimately, 

taxpayers bear 

the cost of 

communications

interoperability.

Use 5- and 10-year 

projections.

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Chapter 11: Transition to Long-Term Governance 

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The pursuit 

of perfection 

often impedes 

improvement.

—George Will

Periodically review 

the governance and 

financial structures, 

as well as policies 

and procedures.

Have a wish list for 

surprise year-end 

opportunities.

Spread reviews 

through the year 

and responsibility 

across the 

participants.
CHAPTER 12

DEVELOP POLICIES AND PROCEDURES
#HAPTER

$EVELOP0OLICIESAND0ROCEDURES

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Part II: How Is Interoperability Achieved? 

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NIMS-integrated

SOPs lead to 

interoperability.

National Priorities:

–NIMS

–Information

sharing

–Communications

interoperability

People perform as 

trained—for better 

and worse.

Tactics and tools 

used daily will 

be most reliable 

during unusual 

emergencies.
Chapter 12: Develop Policies and Procedures 

Interoperable

communications

is one of four 

capabilities

common to all 

mission areas.

Emergency

operations plans 

are to be built upon 

SOPs consistent 

with NIMS.

4ARGETED#APABILITIES

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Part II: How Is Interoperability Achieved? 

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A standard method 

for procedures 

simplifies their 

creation and 

maintenance.
Chapter 12: Develop Policies and Procedures 

The Montana

shared channels 

plan includes 

policies,

procedures, and 

practical use 

examples.

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Part II: How Is Interoperability Achieved? 

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Under ICS, the 

Communications

Unit is under the 

Logistics Section.
Chapter 12: Develop Policies and Procedures 

The

Communications

Unit includes a 

leader, technicians, 

radio operators, 

and ICC managers.

Almost all aspects 

of communications 

continue to be 

problematic, from 

initial notification to 

tactical operations.

—Arlington County, 

Virginia

9/11 After-Action 

Report

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ZPVS$PNNVOJDBUJPOT6OJU

INCIDENT DISPATCH RESOURCES

At least two organizations exist for the benefit of incident dispatch.

The California Tactical Dispatcher Association is focused primarily on police operations:

http://www.tacticaldispatch.com/

Incidentdispatch.net, also based in California, is more broadly focused on all-risk 

incident communications:

http://www.incidentdispatch.net/

%MERGENCY4RAF1⁄2C

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Part II: How Is Interoperability Achieved? 

Communications

often becomes 

the ‘fall guy’ for 

organizational

problems. An 

excessive number 

of responders 

attempting to talk to 

the IC* (generally 

all at once), 

compressed time, 

getting behind and 

chasing the incident 

problem, playing 

‘catch up,’ and 

general operational 

confusion can 

quickly beat up and 

overwhelm any 

incident commo 

[communications]

plan/system. ... 

Any part of the 

system operating 

beyond their 

effective span of 

control (five to 

six) will almost 

instantly develop 

commo problems. 

The way to fix the 

commo problem is 

to fix the span-ofcontrol problem, 

and (bingo!) the 

commo settles 

down and becomes 

normal.

—Fire Command

Chief Alan 

Brunacini,

Phoenix (Arizona)

Fire Department

* Incident 

Commander

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PSHBOJ[BUJPOBMTUSVDUVSF
Chapter 12: Develop Policies and Procedures 

Common

terminology, 

resources 

definitions, and 

plain language 

are crucial for 

communications

interoperability.

3TANDARD,ANGUAGE

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#OMMUNICATIONS
/RDER-ODEL

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NFTTBHF
Part II: How Is Interoperability Achieved? 

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/PERATIONAL5NIT2EPORTING

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Positive message 

acknowledgment

is good 

communications.

Development of 

unit reporting 

procedures gets 

operations folks 

talking about 

operational needs 

and uses of the 

system.
Chapter 12: Develop Policies and Procedures 

Templates are 

useful, but 

communications

plans have to be 

customized for 

large events.

Branch directors, 

group supervisors, 

and team leaders 

are standard ICS 

position titles.

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Part II: How Is Interoperability Achieved? 

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Figure 12-1: Sample Improvised Explosive Device (IED)

Scenario Organizational Chart
Chapter 12: Develop Policies and Procedures 

 4FFIUUQXXXPKQVTEPKHPWPEQEPDTGZITHQQEG

Tactical 

interoperable

communications

plans are a 

requirement of 

some homeland 

security grant 

funding.

4ACTICAL)NTEROPERABLE#OMMUNICATIONS0LANS

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CHAPTER 13

TRAIN AND EXERCISE
Not every difficult 

and dangerous 

thing is suitable 

for training, but 

only that which 

is conducive 

to success in 

achieving the object 

of our effort.

—Epictetus

A good plan today 

is better than 

a perfect plan 

tomorrow.

—General George 

S. Patton

#HAPTER

4RAINAND%XERCISE

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Part II: How Is Interoperability Achieved? 

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I hear and I 

forget. I see and I 

remember. I do and 

I understand.

—Confucius

Exercises provide 

the means to 

stress-test the 

entire system of 

systems.
Chapter 13: Train and Exercise 

Tabletop exercises 

provide the means 

to master script for 

operations-based

exercises.

Operations-based

exercises provide 

training in context.

Drills are limited 

exercises.

Full-scale exercises 

stress-test entire 

systems.

$ISCUSSION
"ASED%XERCISES

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/PERATIONS
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Part II: How Is Interoperability Achieved? 

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Exercise 

evaluations

are necessary 

for a process 

of continuous 

improvement.
CHAPTER 14

MAINTAIN THE TECHNOLOGY
Use a matrix 

to chart 

responsibilities.

#HAPTER

-AINTAINTHE4ECHNOLOGY

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Part II: How Is Interoperability Achieved? 

#REATEA4ECHNICAL#ONTINUITYOF/PERATIONS

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Chapter 14: Maintain the Technology 

!

The Los Angeles 

Tactical Radio

Communications

System (LARTCS)

is a joint effort of 

city, county, and 

state agencies in 

Los Angeles County. 

It is tested by user 

agencies twice a week. 

LARTCS connects 

together different 

radio systems through 

a gateway. See:

http://www.lartcs.org

Security is 

necessary for 

mission-critical

systems.

One large jurisdiction with a P25 trunked radio system had to replace all of 

its new portable radios, numbering many thousands, not once, but twice. 

Technicians first found the radios unacceptably susceptible to other nearby 

portable transmissions, rendering them effectively deaf to the much weaker 

system signals from towers. 

After the portables had been replaced with great effort, another design problem was 

found in the push-to-talk (PTT) switches, which weakened over time, causing multiple 

erroneous system requests each time the button was pressed. These problems were 

discovered through agency testing and documented to prove the problem.

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Part II: How Is Interoperability Achieved? 

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Use working 

committees to 

actively investigate, 

analyze, and make 

recommendations

on potential system 

upgrades.

As another 

companion to 

the original Law

Enforcement Tech 

Guide, SEARCH

has developed the 

Law Enforcement 

Tech Guide on 

Information

Technology 

Security: How to 

Assess Risk and 

Establish Effective 

Policies funded by 

the COPS Office.

 (Publication 

pending, 2006.)

Intrusion detection 

and prevention 

systems can be 

used with central 

parts of digital 

radio systems.
Chapter 14: Maintain the Technology 

Rely on 

professional

organizations to 

help manage the 

effects of regulatory 

change.

Rebanding of 800 

MHz is expected to 

cost $2.5 billion.

Narrowbanding will 

affect the majority 

of public safety 

agencies in the 

country over the 

next 5 to 7 years.

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Part II: How Is Interoperability Achieved? 

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REGULATORY RESOURCES

The 800 MHz rebanding is addressed in detail on the FCC web site: http://wireless.

fcc.gov/publicsafety/800MHz/bandreconfiguration/index2.html.

The FCC has designated a “transition administrator” to manage the tremendous change 

and cost associated with relocating 800 MHz users within the band. The transition 

administration web site is: http://www.800ta.org/.

The FCC’s web site on 700 MHz spectrum contains the most up-to-date information on 

efforts across the country to put this spectrum to use:

http://wireless.fcc.gov/publicsafety/700MHz/.

Efforts to “refarm” spectrum use below 512 MHz have been under way since 1992. 

The most recent regulations require reductions in the amount of spectral space used, 

referred to as “narrowbanding.” See the FCC web site:

http://wireless.fcc.gov/services/plmrs/refarming/.
CHAPTER 15

MEASURING INTEROPERABILITY
Interoperability isn’t 

a destination; it’s a 

waypoint.

#HAPTER

-EASURING)NTEROPERABILITY

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Part II: How Is Interoperability Achieved? 

7HY-EASURE)NTEROPERABILITY

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You get what you 

measure.

Measures

communicate.

Measures reflect 

objectives on 

course to achieving 

goals.

A strong conviction 

that something 

must be done is the 

parent of many bad 

measures.

—Daniel Webster
Chapter 15: Measuring Interoperability 

3!&%#/-)NTEROPERABILITY"ASELINE!SSESSMENT

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Interoperability Continuum Element Baseline Assessment Subelement

Governance

Leadership

Decision-Making Groups

Agreements

Interoperability Funding

Strategic Planning

Standard Operating Procedures Policy, Practices, and Procedures

Command and Control

Technology

Approaches

Implementation

Maintenance and Support

Training and Exercises Operator Training

Exercises

Usage Frequency of Use and Familiarity

Figure 15-1: SAFECOM Baseline Assessment Elements (2005)

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Part II: How Is Interoperability Achieved? 

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!SSESSMENT

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Chapter 15: Measuring Interoperability 

EXAMPLE

Governance: Strategic Planning

Strategic Planning

How would you best describe the 

planning efforts to make decisions, 

take actions, and create processes that 

ensure interoperability?

- No interoperability strategic 

plan in place; some preliminary 

planning may have begun

- Strategic planning process 

in place and plan under 

development

- Strategic plan in place and 

accepted by all participating 

organizations

- Strategic plans reviewed annually 

and after system upgrades 

and events that test your 

organization’s capabilities

Consider the question and how 

this measure varies across 

organizations, then choose one of 

these stages of development

Early Development

No interoperability 

strategic plan or strategy 

in place

Figure 15-2: Interoperability Self-Assessment Scorecard Example

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Moderate Development

Strategic planning process 

in place and plan under 

development

Full Development

Formal strategic plan in 

place and accepted by all 

participating stakeholders

Advanced Development

Institutionalized processes 

to review strategic plans 

on an annual basis and 

after significant events or 

upgrades
Part II: How Is Interoperability Achieved? 

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Chapter 15: Measuring Interoperability 

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Stage of Development

Element Subelement Early Moderate Full Advanced

Governance

Leadership   

Decision-making

Groups    

Agreements   

Interoperability

Funding  

Strategic Planning   

Standard

Operating

Procedures

Policy, Practices, 

and Procedures   

Command and 

Control    

Technology

Approaches    

Implementation   

Maintenance and 

Support   

Training and 

Exercises

Operator Training   

Exercises   

Usage Frequency of Use 

and Familiarity   

Figure 15-3: Interoperability Self-Assessment Scorecard Example
Part II: How Is Interoperability Achieved? 

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Performance 

measurement, in 

simplest terms, is 

the comparison 

of actual levels 

of performance 

to preestablished 

target levels of 

performance. 

To be effective, 

performance must 

be linked to the 

organizational

strategic plan. 

—The

PerformanceBased

Management

Handbook,

U.S. Department 

of Energy

Early

Development

First responders 

seldom use solutions 

unless advanced 

planning is possible 

(e.g., special event)

Moderate

Development

First responders use 

solutions regularly 

for emergency 

events, and in a 

limited fashion 

for day-to-day 

communications

Full

Development

First responders use 

solutions regularly 

and easily for all 

day-to-day, task 

force, and mutual aid 

events

Advanced

Development

Regular use of 

seamless solutions 

has expanded 

to include state, 

federal, and private 

responders

Usage: Frequency of Use and Familiarity

/NTHE(ORIZON0ERFORMANCE-EASURES

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Figure 15-4: Interoperability Self-Assessment Scorecard

Development Definitions
Chapter 15: Measuring Interoperability 

Interoperability

performance 

measures are 

inseparable from 

measures of 

mutual business 

processes.

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Part II: How Is Interoperability Achieved? 

0ERFORMANCE-EASUREMENT)MPROVES

#OMMUNICATIONS

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GAO CONGRESSIONAL TESTIMONY

In 2003 Congressional testimony, the General 

Accounting Office (GAO—now Government 

Accountability Office) identified performance 

goals and technical standards as the second 

of three most pressing challenges in achieving 

interoperability, following definition of what 

interoperability is and preceding definition of 

intergovernmental roles.

.

“When the interoperability problem has 

been sufficiently defined and bounded, the 

next challenge will be to develop national 

interoperability performance goals and 

technical standards that balance consistency 

with the need for flexibility in adapting 

them to state and regional needs and 

circumstances.”

—U.S. General Accounting Office, Homeland Security: Challenges in Achieving 

Interoperable Communications for First Responders, GAO 04-231T (Washington, D.C.: 

Nov. 6, 2003). See http://www.gao.gov/new.items/d04231t.pdf.
Chapter 15: Measuring Interoperability 

#ONCLUSION

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0ART)))

%XPLORINGTHE

4ECHNOLOGIES

Any sufficiently advanced technology is 

indistinguishable from magic.

— Arthur C. Clarke
CHAPTER 16

VOICE COMMUNICATIONS
#HAPTER

6OICE#OMMUNICATIONS

'UIDEPOSTS%XPLORINGTHE4ECHNOLOGIES

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Part III: Exploring the Technologies 

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Figure 16-1: Future Interoperability Needs Between Wireless Devices

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5FDIOPMPHZ
©0DUPCFS

Any radio or mobile 

data system will 

only perform as 

well as it is funded 

and engineered.

—Steve Proctor,

Executive Director,

Utah

Communications

Agency Network
Chapter 16: Voice Communications 

SAFECOM Library

The SAFECOM

online library is 

a prime source 

for technical 

information

about voice 

communications

systems. It includes 

documents from 

multiple sources, 

including the past 

Public Safety 

Wireless Network

(PSWN) Program.

See http://www.

safecomprogram.

gov/SAFECOM/

library/technology/.

The FCC 

distinguishes radio 

types and services.

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TVDIBT7)'
6)'
PS.)[

The FCC classifies 

most public safety 

radio systems as 

private radio.

More than 300 

agencies in South 

Carolina use the 

Palmetto 800 

System, an 800 

MHz system shared 

with power utility 

companies.

For further 

information, see:

http://www.cio.

sc.gov/cioContent.

asp?pageID=756&

menuID=411.
Chapter 16: Voice Communications 

Public safety 

frequency

bands for voice 

communications

are typically 

described in 

megahertz, while 

channel bandwidths 

are described in 

kilohertz.

The FCC requires 

that public safety 

operations move to 

12.5 kHz channels 

or the equivalent by 

January 1, 2013.

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Figure 16-2: Public Safety UHF Frequency Band, 450-470 MHz
Part III: Exploring the Technologies 

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A vocoder converts 

analog sound to 

digital bits.

The P25 vocoder 

standard carefully 

balances efficiency, 

robustness, and 

fidelity.
Chapter 16: Voice Communications 

Radio

transmissions are 

weakened over 

distance and by the 

environment.

The P25 Common 

Air Interface is 

the public safety 

standard for digital, 

RF transmissions.

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Overlapping radio 

signals cause 

interference in 

receivers.
Part III: Exploring the Technologies 

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NFBTVSFPG 4FFIUUQXXXJUTCMESEPDHPWQVCOUJBSQU Audio Quality

Signal Strength

Analog

Signal

Digital

Signal

Figure 16-3: Recovered Audio Quality by 

Signal Type
Chapter 16: Voice Communications 

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Figure 16-4: Simplex Radio Example
Part III: Exploring the Technologies 

A repeater 

retransmits on one 

frequency what it 

receives on another, 

well separated from 

one another to 

reduce interference.

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Telephones 

provide duplex 

communications.

Few radio systems 

are designed to 

do so.
Chapter 16: Voice Communications 

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Figure 16-5: Half-duplex (Repeater) Radio Example

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Part III: Exploring the Technologies 

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Coverage needs 

lead to use of 

simulcast systems 

where multiple 

sites transmit 

the same signal 

simultaneously to 

cover an area.
Chapter 16: Voice Communications 

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Figure 16-6: Simulcast Simplex Radio Example
Part III: Exploring the Technologies 

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Remote receivers 

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signals to get into 

the system. 

Figure 16-7: Simulcast Repeaters with Remote Receivers

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Chapter 16: Voice Communications 

The primary value 

of trunking is 

channel efficiency.

Trunking 

provides multiple 

virtual channels 

for separate 

conversations.

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A trunked channel 

is called a 

talkgroup.
Part III: Exploring the Technologies 

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Trunked channels 

(talkgroups) can be 

collapsed into one 

to bring otherwise 

separate users 

together.
Chapter 16: Voice Communications 

Trunked System 

Policies

The complexity and 

configurability of 

trunked systems 

require great care 

in implementation 

and ongoing 

management.

Design such 

complex systems 

through careful 

needs analysis 

(Chapter 6), 

implement them 

using functional 

acceptance tests 

mapped to user 

requirements

(Chapter 10), 

and manage their 

flexibility through 

strict adherence to 

both technical and 

operational policies 

and procedures 

(Chapter 12).

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SAFECOM LIBRARY:

TRUNKED SYSTEM RESOURCES

Several useful reports on trunked radio can be found on the SAFECOM web site, 

including these:

Comparisons of Conventional and Trunked Systems (1999):

http://www.safecomprogram.gov/SAFECOM/library/technology/1179_

conventionaland.htm

Operational Best Practices for Managing Trunked Land Mobile Radio Systems

(2003):

http://www.safecomprogram.gov/SAFECOM/library/systems/1049_

OperationalBest.htm

How 2 Guide for Establishing and Managing Talkgroups:

http://www.safecomprogram.gov/SAFECOM/library/systems/1047_

HowTo.htm

Radio system 

coverage in 

buildings and 

tunnels requires 

additional

infrastructure.
Part III: Exploring the Technologies 

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Chapter 16: Voice Communications 

Donor

Antenna

Coverage

Antenna

Subscriber

Unit

Bi-Directional

Amplifier (BDA)

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Figure 16-8: Bi-Directional Amplifier Example

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Part III: Exploring the Technologies 

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Figure 16-9: Plaquemines Parish (Louisiana) Radio Tower – August 29, 2005

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Chapter 16: Voice Communications 

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Part III: Exploring the Technologies 

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Chapter 16: Voice Communications 

VoIP is a 

fundamental tool, 

but not a silver 

bullet.

Critical systems 

need dedicated 

network services.

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Part III: Exploring the Technologies 

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Chapter 16: Voice Communications 

Swapping radios or 

maintaining a cache 

of standby radios is 

an age-old solution 

that provides 

results but is often 

time-consuming,

managementintensive,

expensive, and may 

only provide limited 

results due to 

channel availability.

—SAFECOM

Interoperability

Continuum

4ECHNOLOGY!PPROACH3WAP2ADIOS

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Part III: Exploring the Technologies 

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The NIICD radio 

cache is jointly 

maintained by the 

U.S. Departments 

of Agriculture and 

the Interior.

Montgomery 

County (MD) had 

a supply of new, 

unused radios that 

was pressed into 

interagency service.

Q.ATIONAL)NTERAGENCY)NCIDENT#OMMUNICATIONS$IVISION

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Chapter 16: Voice Communications 

Gateways (or 

audio bridges) 

retransmit across 

multiple frequency 

bands, providing 

an interim 

interoperability

solution as 

agencies move 

toward shared 

systems. However, 

gateways are 

inefficient in that 

they require twice 

as much spectrum 

because each 

participating agency 

must use at least 

one channel in each 

band per common 

talk path and they 

are tailored for 

communications

within the 

geographic

coverage area 

common to all 

participating

systems.

—SAFECOM

Interoperability

Continuum

Gateways patch 

transmitted and 

received audio 

from one source to 

another.

4ECHNOLOGY!PPROACH'ATEWAYS

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Part III: Exploring the Technologies 

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VoIP is being used 

to connect systems 

across data 

networks using 

gateways.
Chapter 16: Voice Communications 

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TMI: HOW MUCH DO YOU WANT TO

COMMUNICATE?

In the wide world of communications, the term “signal-to-noise ratio” is used in talking 

about the eventual intelligibility of exchanges. The principle is that a signal has to 

be significantly stronger than any background noise for effective communications to 

occur. Anyone who has ever observed the volume level of conversation rise at a party 

as attendees increasingly struggle to be heard over one another has witnessed how the 

signal (conversation) can be lost amid background noise.

Back in the field, first responders often struggle to catch transmissions relevant to their 

jobs during incidents as radio transmissions multiply many times over. The challenge of 

too much information, of the signal being lost among “noise,” is equally as disabling as 

not getting enough information.

System

A

System

B

System

C

Figure 16-10: Overlapping 

Coverage of Systems

Area of Overlapping 

Coverage

Gateways can 

easily lead to 

asymmetrical radio 

coverage.
Part III: Exploring the Technologies 

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Most transmitters 

are licensed for 

a limited area of 

operations.

Rely on FCCcertified frequency 

coordinators

for guidance on 

gateway licensing.

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Chapter 16: Voice Communications 

Q'ATEWAY)SSUE4HE±0ING0ONG2%FFECTAND/THER

#OMPLEXITIES

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FCC rules and regulations governing public safety radio systems (Part 90 – Private 

Land Mobile Radio Services) provide latitude for alternate use of licensed radio stations 

during emergencies that have disrupted communications facilities.

FCC Rules and Regulations

47 C.F.R. §90.407 Emergency Communications

The licensee of any station authorized under this part may, during a period of 

emergency in which the normal communication facilities are disrupted as a 

result of hurricane, flood, earthquake or similar disaster, utilize such station 

for emergency communications in a manner other than that specified in the 

station authorization or in the rules and regulations governing the operation 

of such stations. The Commission may at any time order the discontinuance 

of such special use of the authorized facilities.

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Part III: Exploring the Technologies 

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DUELING RADIOS

“By far the most challenging technical aspect of the deployment of the 

[gateway] was in interfacing with the repeater systems of the participating 

agencies. In systems in which a radio interfaced to the [gateway] is 

transmitting to a receiver site through a repeater, due to the length of 

the squelch tail, a repeater could stay up long enough to bring the radio 

connected to the [gateway] back up before the repeater goes down. Then 

because the radio is back up, the repeater could come back up, bringing the 

radio back up; and so on. This effect is referred to as the ‘ping pong’ effect.”

Advanced Generation of Interoperability for Law Enforcement (AGILE)

Report No. TE-00-04, 23 July 2001

http://www.ojp.usdoj.gov/nij/topics/commtech/Gateway_Subsystem_Op_Test.pdf

Interoperability is 

promoted when 

agencies share a 

common frequency 

band and are 

able to agree on 

common channels. 

However, the 

general frequency 

congestion that 

exists across the 

United States 

typically places 

severe restrictions 

on the number 

of independent 

interoperability

talk paths that are 

possible.

—SAFECOM

Interoperability

Continuum
Chapter 16: Voice Communications 

Putting Shared 

Channels to Work

Use your radio 

technical resources 

and frequency 

coordinators to 

learn if there are 

FCC-designated

shared channels 

available for use. 

There may be 

existing shared 

channel plans 

that you can 

take advantage 

of, but know 

the limitations 

and licensing 

requirements

before putting them 

to use.

PALMETTO 800 SYSTEM GATEWAY

GUIDELINES

The state of South Carolina maintains guidelines for using gateways to interconnect 

other systems and users to the Palmetto 800 System. The purpose, objectives, and 

benefits of the guidelines are clearly stated: 

Purpose: To maintain the availability and functionally of the Palmetto 

800 System for the primary system users.

Objectives:

a) Ensure the integrity of the Palmetto 800 System

b) Provide interoperability options

c) Manage system loading

d) Establish a guideline for the use of interconnects.

Benefits:

a) Improve safety

b) Reduce interference and interconnect technical problems

c) Provide alternate 800 MHz service for special events and 

emergencies.

For more information, see: http://www.cio.sc.gov/cioContent.asp?pageID=772

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Part III: Exploring the Technologies 

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Regional shared 

systems are the 

optimal solution 

to interoperability. 

While proprietary 

systems limit 

the user’s choice 

of product and 

manufacturer, 

standardsbased shared 

systems promote 

competitive

procurement and 

a wide selection 

of products to 

meet specific user 

needs. With proper 

planning of the talk 

group architecture, 

interoperability

is provided as 

a byproduct of 

system design, 

creating an 

optimal technology 

solution.

—SAFECOM

Interoperability

Continuum
Chapter 16: Voice Communications 

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Shared systems 

offer economies 

of scale, less 

redundancy, 

and inherent 

technological

compatibility.

P25 is the public 

safety standard for 

digital radio.

DEPARTMENT OF HOMELAND SECURITY

TECHNICAL ASSISTANCE

The U.S. Department of Homeland Security offers help to recipients of its grants 

to improve interagency communications. As part of the Preparedness Directorate’s 

Office of Grants and Training, the Interoperable Communications Technical Assistance 

Program (ICTAP) provides policy, operational, and technical help to projects funded 

under DHS programs.

See http://www.ojp.usdoj.gov/odp/ta_ictap.htm
Part III: Exploring the Technologies 

3ECURITY

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All radio system 

managers should 

follow established 

IT security 

practices.

SEARCH received 

funding from 

the COPS Office 

to produce a 

companion

Tech Guide, Law

Enforcement 

Tech Guide on 

Information

Technology 

Security: How to 

Assess Risk and 

Establish Effective 

Policies. This 

guide provides 

more information 

on NIST security 

processes.
Chapter 16: Voice Communications 

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NIST points out 

that security is built 

into systems from 

the ground up.

Modern radio 

systems allow 

radios to be 

disabled remotely.

Confidentiality, 

integrity, and 

availability are the 

three objectives 

of information 

security.
Part III: Exploring the Technologies 

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Encrypted 

interagency

communications

require greater 

efforts to ensure 

interoperability.

Digital

communications

naturally support 

encryption.
Chapter 16: Voice Communications 

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OTAR is over-theair re-keying, or 

updating encryption 

keys wirelessly. 

Encryption is 

managed as a 

piece of the larger 

interoperability

project.
Part III: Exploring the Technologies 

ON THE HORIZON – VOICE

COMMUNICATIONS TECHNOLOGY

The most promising technology on the horizon for improving interoperability is 

software defined radios (SDR). Much like other electronics throughout the 

technology universe, radios are increasingly designed with internal functionality 

provided through software. 

Thirty years ago, public safety radios were limited to just a few frequencies spread over 

a narrow slice of RF spectrum. Twenty years ago, early “programmable” radios were in 

use that allowed frequencies available in the radio to be changed electronically, rather 

than by substituting internal hardware. These radios also allowed use of a greater range 

of frequencies.

During the past 20 years, more and more radio functionality has been moved from 

hardware to software. Software defined radios are the next evolution that will allow even 

greater agility not only across bands, but also with varying channel bandwidths and 

across different modes of transmission. For example, the U.S. Department of Defense 

is developing the Joint Tactical Radio System that will operate across multiple bands, 

use various analog and digital transmission modes, and provide a combined platform to 

eliminate a plethora of different systems.

For public safety interoperability, the technology promises greater ability to span the 

chasm between different frequency bands in use. Today, radios using VHF aren’t able 

to communicate with those using 800 MHz. In the future, this fundamental technical 

challenge to interoperability will be overcome.

Similarly, different means of getting information through radio channels will become 

more flexible. Narrow and wider bandwidths will be accommodated through software, as 

will analog and a variety of digital transmission modes. 

Today, Project 25 radios provide analog and digital, narrow and wider band capabilities 

largely through software. SDR technologies will gradually be integrated into mainstream 

public safety radios, eliminating some of the technological barriers preventing direct 

interagency communications.

Much like artificial intelligence in computer systems, SDR techniques will be embedded 

in technology and largely unobserved by the end user. The effects will be significant, 

however.

Technology marches on, bringing new capabilities and overcoming the old.
CHAPTER 17

DATA COMMUNICATIONS
#HAPTER

$ATA#OMMUNICATIONS

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SAFECOM

Technology Library

The SAFECOM

technology library 

is a prime source 

for information 

about data 

communications

systems. It includes 

documents from 

multiple sources, 

including the past 

Public Safety 

Wireless Network

(PSWN) Program.

See http://www.

safecomprogram.

gov/SAFECOM/

library/technology/.

Common protocols 

and standards are 

the building blocks 

of interoperability.
Part III: Exploring the Technologies 

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Chapter 17: Data Communications 

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Part III: Exploring the Technologies 

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$0140G2DF

There’s no shortage 

of acronyms in the 

world of Internet 

protocols—even

ones with others 

embedded!
Chapter 17: Data Communications 

The Global JXDM is an XML standard designed specifically for criminal 

justice information exchanges, providing law enforcement, public safety 

agencies, prosecutors, public defenders, and the judicial branch with a tool 

to effectively share data and information in a timely manner. The Global 

JXDM removes the burden from agencies to independently create exchange 

standards, and because of its extensibility, there is more flexibility to deal 

with unique agency requirements and changes. Through the use of a 

common vocabulary that is understood system to system, Global JXDM 

enables access from multiple sources and reuse in multiple applications. 

—U.S. DOJ OJP web site, http://www.it.ojp.gov/gjxdm.

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Implementing

Interoperable

Systems using 

GJXDM

The standard 

reference for 

implementing

GJXDM was 

produced by 

SEARCH for the 

Office of Justice 

Programs,

Bureau of Justice 

Assistance.

Building Exchange 

Content Using 

the Global Justice 

XML Data Model: 

A User Guide for 

Practitioners and 

Developers was 

published in June 

2005.

See http://it.ojp.

gov/documents/

GJXDMUserGuide.

pdf.
Part III: Exploring the Technologies 

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The LEITSC

web site offers 

emerging CAD/

RMS standards 

information: http://

www.leitsc.org/.

The Disaster 

Management

Interoperability

Services (DMIS)

are part of a 

Presidential

e-government

initiative to advance 

U.S. disaster 

management

response

capabilities.

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Chapter 17: Data Communications 

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Part III: Exploring the Technologies 

"UILDING"LOCKSFOR)NTEROPERABILITY

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It’s becoming 

increasingly difficult 

to separate wired 

and wireless modes 

of communications.
Chapter 17: Data Communications 

Q3TANDARD.ETWORK4YPES

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Statewide networks 

connect local, 

campus, and 

metropolitan area 

networks to create 

the technical basis 

for law enforcement 

information

sharing.

The FBI’s CJIS 

WAN connects 

law enforcement 

agencies

nationwide.
Part III: Exploring the Technologies 

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How many 

acronyms can fit on 

the head of a PAN?
Chapter 17: Data Communications 

Q3PEED-ATTERS

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Today, NCIC

and NLETS rely 

primarily on packetswitched circuits.

VoIP applications 

need “fast” 

networks.
Part III: Exploring the Technologies 

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affects duplex 

(simultaneous

two-way)

communications.
Chapter 17: Data Communications 

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Part III: Exploring the Technologies 

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Wideband

standards for public 

safety use are 

rapidly developing. 

We’ll take a look 

at the prognosis 

for them in the 

final section of this 

chapter, “On the 

Horizon.”
Chapter 17: Data Communications 

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MICROWAVE SUBSYSTEMS

Many public safety voice and data systems have private microwave backbones 

linking together facilities and radio sites. While unlicensed microwave technology is 

widely available, most agencies prefer to build backbone networks using microwave 

channels assigned by certified frequency coordinators and licensed through the Federal 

Communications Commission (FCC). As with voice frequencies, coordination and FCC 

licensing offers much better assurances that agencies won’t suddenly find other users 

interfering with their operations.

Microwave backbone networks are popular because they offer high-speed, highbandwidth connections without requirements for intervening infrastructure or recurring 

payments to network carriers for leased lines. Properly engineered, they are also 

considered more resilient to accidental and intentional disruptions.

(More than one public safety network has been subject to “backhoe fade,” the tonguein-cheek term for accidental breaks of buried wire and fiber circuits. Anyone involved 

in telecommunications for long has a horror story to tell of losing network access, 

receiving a call from a network carrier, and eventually gasping in awe at the sight of 

thousands of wires ripped apart by an errant backhoe operator.)

Shared microwave backbones are increasingly popular among public safety agencies 

looking to leverage funds and take advantage of the tremendous capacity of today’s 

microwave systems. They are a natural adjunct to other shared systems, offering 

great potential to interconnect parts of participating agencies’ data, voice radio, and 

telephone systems.
Part III: Exploring the Technologies 

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Chapter 17: Data Communications 

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Figure 17-1: Wireless Data Rates and Availability

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Satellite Services

Commercial 

satellite services 

are the only means 

for U.S. public 

safety agencies to 

gain the advantages 

of space-based 

communications.

As addressed in 

Chapter 16, Voice 

Communications,

satellites have 

a definite niche 

for emergency 

response. They also 

have technical and 

cost drawbacks that 

keep terrestrial data 

networks as the 

first choice, where 

available.

1440

1320

1200

1080

960

840

720

600

480

360

240

120

0

2000 2005 2010 2015

Wi-Fi

(802.11)

GPRS 1XRTT

EDGE

EVDO HSDPA

Fixed

WiMax

(802.16d)/

OFDM

Mobile

WiMax

(802.16c)

Real-world throughput range in Kbps

Likely date for broad availability
Part III: Exploring the Technologies 

7IRELESS,OCAL!REA.ETWORKS

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The Wi-Fi Alliance 

brought a standard 

implementation to 

802.11 wireless 

networks.
Chapter 17: Data Communications 

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FREQUENCY HOPPING SPREAD SPECTRUM

In the midst of World War II, communications security was paramount. A little-known 

patent was filed in 1941 by “H. K. Markey et al”—Hedy K. Markey, better known to 

the world as the actress Hedy Lamarr—for a system using frequency hopping spread 

spectrum techniques to code transmissions for radio-guided torpedoes.

Now known to be a particularly robust transmission mode and effective encoding 

method, spread spectrum techniques never found popularity until long after Patent 

No. 2,292,387, “Secret Communications System,” expired. Lamarr lived to see their 

popularization in military and commercial technologies.

802.11a networks 

use 5.8 GHz 

frequencies, while 

802.11b networks 

use 2.4 GHz.

Hedy Lamarr
Part III: Exploring the Technologies 

WIRELESS DATA NETWORKING

STANDARDS

The world of wireless standards is wide. Primary data networking standards are 

established by the IEEE in its 802 series, including:

802.11 – The ubiquitous wireless LAN standards. Wi-Fi equipment and networks 

are a particular, popular implementation of the IEEE 802.11 standards. Actual TCP/IP 

throughput is about half of the raw channel rate, which itself is stepped down to 

maintain connections in weaker coverage areas.

u 802.11a – Operating at 5.8 GHz, offering up to 54 Mbps raw data rates

u 802.11b – Operating at 2.4 GHz, offering up to 11 Mbps raw data rates

u 802.11g – Operating at 2.4 GHz, offering up to 54 Mbps raw data rates and 

backwardly compatible with 802.11b.

Other 802.11 standards define further implementation details, such as:

u 802.11i – A 2004 amendment correcting early security vulnerabilities in the 

Wired Equivalent Privacy (WEP) specification. A subset of this standard was 

adopted by industry and entitled Wi-Fi Protected AccessTM (WPATM).

And next generation technologies are on the horizon here, as well.

u 802.11n – A developing IEEE standard, occasionally referred to as Next-Gen 

Wi-Fi, promising higher data rates and greater range with 802.11 backwards 

compatibility.

802.15 – Standards under development for personal area networks (PANs).

802.16d and e – Developing wireless metropolitan area network (WMAN) standards 

for faster wireless networks promising greater range and security. Where 802.11 

equipment is technically related to its Ethernet forebears, 802.16 is different at a low 

level, so fundamentally incompatible with WLAN technologies. 802.16e is intended to 

bring enhancements for mobile access to the networks. The interoperable standard for 

802.16 implementations is referred to as WiMAX.

802.20 – Another WMAN standards effort intended to provide broadband wireless 

access for true vehicular speeds. Formally known as the Mobile Broadband Wireless 

Access, this standards process is in its early stages and it’s expected to be years before 

compliant equipment is commercially available.
Chapter 17: Data Communications 

Q7,!.)NTEROPERABILITY

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Part III: Exploring the Technologies 

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802.11b (Wi-Fi) 

technologies

are preferred for 

citywide broadband 

wireless access 

projects.

Spokane, Newark,

and many other 

jurisdictions

across the country 

are using WLAN

technologies to 

provide broadband 

data to emergency 

responders.
Chapter 17: Data Communications 

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Multiagency Wi-Fi 

networks provide 

standards-based,

shared data 

communications

systems.

A mesh network 

is made up of 

many nodes, each 

communicating

with two or more 

others.

Figure 17-2: Mesh Networking of WLAN Access Points
Part III: Exploring the Technologies 

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Tempe is building 

an expansive mesh 

network to cover 

more than 40 

square miles using 

approximately 400 

access points.

Mesh networks 

commonly use 

proprietary 

technologies to link 

Wi-Fi access points 

into a common 

network.
Chapter 17: Data Communications 

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Part III: Exploring the Technologies 

SPEED AVAILABILITY RELIABILITY

Rating Pro Con Rating Pro Con Rating Pro Con

Build Using 

Specialized

Public Safety 

Technologies

¦

No nosebleeds Data speeds 

at 1% to 5% 

of alternatives; 

improved

coding

techniques and 

software yield 

little relative 

improvement



Coverage

designed

for agency 

requirements

Design,

construction,

and

implementation

of networks 

takes time



Stable,

dependable

technologies

built for the 

rigors of public 

safety use

Capacity is very 

low relative to 

alternatives

and difficult 

to increase 

significantly

Lease

Commercial

Services



The fastest 

wide-area

alternatives

are available 

soonest

Technology 

turnover brings 

new user 

equipment and 

installation

costs

¦

Existing

networks

means systems 

can be brought 

up more 

quickly

Coverage is 

designed for 

broader market 

needs; reduced 

coverage

in rural and 

isolated urban 

areas ¦

Highest

capacity, 

typically, due 

to sharing with 

other users

Capacity is 

designed for 

broader market 

needs; reduced 

capacity in 

rural and 

isolated

urban areas; 

ruggedized

user equipment 

may be 

required at 

higher cost

Build Using 

Broadly

Available 

Technologies



Much faster 

than traditional, 

specialized

public safety 

technologies

Turnover of 

consumer

and industry 

technologies

is faster than 

specialized

technologies

traditionally

used by public 

safety



Coverage

designed

for agency 

requirements

Design,

construction,

and

implementation

of networks 

takes time; 

coverage is 

typically spotty 

compared

to traditional 

networks; wide 

area coverage 

is expensive



Capacity

designed

for agency 

requirements

that can be 

increased

relatively easily

High capacity 

to meet surge 

needs requires 

overbuilding;

ruggedized

user equipment 

may be 

required at 

higher cost

Wireless Data Communications

Rent or Own Decision Factors

Figure 17-3: Rent or Own Alternatives and Factors
Chapter 17: Data Communications 

SECURITY SUPPORT COSTS

Rating Pro Con Rating Pro Con Rating Pro Con



Relatively

obscure

technologies

lead to a bit 

more security

Staples of 

modern

network

security, 

such as 

Virtual Private 

Networks

(VPNs) and 

advanced

authentication,

are difficult 

or impossible 

to use

¦

Relative

reliability of 

equipment

leads to 

reduced

support needs

Heavy reliance 

on vendors for 

information,

even with 

internal

support

Easily

predictable

initial costs; 

long product 

lifecycles

Limited

market for the 

technology

increases initial 

costs; ongoing 

maintenance

costs can be 

high, mainly 

for vendor 

maintenance

contracts,

licenses,

internal labor, 

and contracted 

services



Broadband

provides IP 

and other 

standards

supporting

modern

network

security

measures

Common use 

and widely 

available

information on 

technologies

used increases 

vulnerabilities



Least amount 

of internal 

support

required;

broad usage 

means there is 

widely available 

community

support

Lack of internal 

expertise and 

support leads 

to vendor 

dependence

Predictable

costs that may 

be negotiated 

and contracted; 

lowest internal 

labor costs; 

other markets 

find wide-area 

commercial 

services costeffective

Recurring

costs, typically 

monthly;

shortest

lifecycles

for user 

equipment;

most rapid 

migration of 

technologies,

adding to costs



Broadband

provides IP 

and other 

standards

supporting

modern

network

security

measures

Widely

available

information on 

technologies

used increases 

vulnerabilities



Wide range 

of community 

support

Internal

expertise

requires

continuous

study;

commercial 

user

technologies

are less ruggeE

Wide

availability of 

technology

reduces

purchase, 

operations, and 

maintenance

costs

Ongoing

maintenance

costs can be 

high, mainly 

for labor or 

services; 

relatively rapid 

equipment

lifecycles

Cost factors vary by 

implementation. Initial and 

ongoing costs should be 

evaluated over comparable system 

lifecycles and assessed based 

on requirements met. Absolute 

dependence on any one or 

more requirements may lead to 

acceptance of higher costs.

$

– = Detracting

 Factors

+ = Attractive

 Factors

 = Acceptable

 Compromises

Figure 17-3, continued
Part III: Exploring the Technologies 

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Ubiquitous,

broadband

wireless coverage 

is economically 

unfeasible in many 

jurisdictions.

Narrowband, slowspeed data is often 

the only means 

to fill in gaps left 

in higher speed, 

higher bandwidth, 

shorter range 

WLANs.
Chapter 17: Data Communications 

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Interoperability

requires the 

technical

capability to share 

information within 

the legitimate 

constraints of each 

partner’s security 

needs.

The CJIS Security 

Policy covers a 

number of security 

areas. Those related 

to interagency data 

communications

are addressed here.
Part III: Exploring the Technologies 

Q3COPE

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The CJIS Security 

Policy affects all 

agencies using FBI 

systems managed 

by its CJIS Division.
Chapter 17: Data Communications 

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Part III: Exploring the Technologies 

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Wireless data 

networks are given 

special treatment 

by the CJIS 

Security Policy.

Securing

interagency data 

networks is more 

of a management 

than a technical 

challenge.
Chapter 17: Data Communications 

Q6IRTUAL0RIVATE.ETWORKS

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Figure 17-4: VPN Tunnel Between Agency LANs.

VPNs can be 

implemented

in hardware, in 

software, or most 

commonly through 

a combination of 

both.
Part III: Exploring the Technologies 

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Firewalls can 

vary greatly in 

complexity and 

cost. They also 

can provide an 

end point for VPN

connections.

Firewalls are 

typically configured 

to deny all traffic 

passing from the 

“untrusted” outside 

network to the 

“trusted” inside.
Chapter 17: Data Communications 

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WiMAX is the 

popular name for 

802.16 wireless 

metropolitan

area network 

implementations

standards.

Security has to be 

carefully managed 

to avoid it acting 

as a barrier to 

interoperability.
Part III: Exploring the Technologies 

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The first WiMAX

standard is for 

fixed point-to-point 

wireless networks.

The 4.9 GHz 

frequency band was 

allocated by the 

FCC for exclusive 

public safety use.

WLANs in the 

4.9 GHz band 

will require more 

access points for 

the same coverage 

as 802.11b Wi-Fi 

networks.
Chapter 17: Data Communications 

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The public safety 

700 MHz band will 

have 120 paired 

wideband channels 

and another 

18 designated 

exclusively for 

interoperability.

The TIA-902 

standard has been 

recommended for 

adoption by the 

FCC for use on the 

700 MHz wideband 

interoperability

channels.
Part III: Exploring the Technologies 

0ROJECT-%3!

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SBUIFSUIBOUFDIOPMPHZTUBOEBSET

Project MESA

seeks to address 

both operability 

and interoperability 

aspects of 

broadband wireless 

data for public 

safety.

4FFIUUQXXXQSPKFDUNFTBPSH

NATIONAL PUBLIC SAFETY

TELECOMMUNICATIONS COUNCIL

(NPSTC)

The NPSTC is a federation of public safety organizations. It is very active in 

wireless regulatory matters, standards development, and support for statewide 

interoperability committees.
Chapter 17: Data Communications 

3TANDARDS!.ECESSARY"UT)NSUF1⁄2CIENT#ONDITION

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Rich technical 

standards provide 

enough options 

that divergent 

implementations

can preclude 

interoperability.

Wireless LANs

didn’t take off until 

a subset of 802.11 

standards was 

settled on.

P25 (TIA/EIA-102) 

is a rich set of 

standards that can 

be interpreted and 

implemented in 

different ways.


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%PILOGUE
!PPENDIX!

3AMPLE

!GREEMENTS
These sample agreements are provided here courtesy of

Q The North Central Texas Council of Governments

Q The Los Angeles (California) Regional Tactical 

Communications System

Q The New Orleans (Louisiana) Maritime

Intercommunications Committee
.ORTH#ENTRAL4EXAS

#OUNCILOF'OVERNMENTS

%XAMPLE-EMORANDUMOF5NDERSTANDING

MEMORANDUM OF UNDERSTANDING

*/5&3+63*4%*$5*0/"-3"%*0.656"-"*%$0..6/*$"5*0/4

*/5)&/$5$0("3&"

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!PPENDIX!

3AMPLE!GREEMENTS
Appendix A 

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Sample Agreements 

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Appendix A 

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Sample Agreements 

,OS!NGELES2EGIONAL

4ACTICAL#OMMUNICATIONS3YSTEM

-EMORANDUMOF5NDERSTANDING

-04"/(&-&43&(*0/"-

5"$5*$"-$0..6/*$"5*0/4:45&.

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Appendix A 

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Sample Agreements 

.EW/RLEANS

-ARITIME)NTERCOMMUNICATIONS#OMMITTEE

/PERATIONAL'UIDELINES

Operational Guidelines

 Rev. 8/24/03

NEW ORLEANS MARITIME

INTERCOMMUNICATIONS COMMITTEE (NOMIC) 

Definition The New Orleans Maritime Intercommunications Committee (NOMIC) is a 

collaboration of local, state and federal agencies working in concert to build a 

seamless interoperability communications network linking port control and first 

response agencies.

Purpose The purpose of this committee is to:

Provide rapid and reliable means by which to exercise command, control 

and coordination of mobile assets between participating agencies.

Identify roles and responsibilities of those participating agencies to 

guarantee continued success of the program within the region.

Insure participating agencies are aware of the capabilities, limitations and 

equipment maintenance responsibility of the network.

Controlling

authority a) NOMIC shall act as the sole controlling authority for the program and provide 

updated information to all agency participants as changes dictate. Furthermore 

the committee shall coordinate necessary upgrades or repairs with each 

participating agency.

b) The New Orleans Fire Department communications facility shall house the 

ACU-1000 audio matrix switch and act as the primary Network Control Station 

(NECOS) executing requested patches as necessary.

c) Where situations preclude the primary NECOS from performing requested 

functions, U.S. Coast Guard Group New Orleans shall act as secondary 

NECOS.

Policy Interoperability telecommunications patches shall be conducted in accordance 

with;

This Operational Guideline

International Telecommunication Union (ITU) regulations

Federal Communications Commission (FCC) regulations

Other instructions and directives issued by proper authority and so 

distributed by NOMIC. 
Appendix A 

Operational Guidelines

Interoperability

COMM-SYS

This list illustrates the connectivity of the original Interoperability 

Communications System.

New Orleans Fire Dept. New Orleans Police Dept. U. S. Coast Guard

New Orleans EMS Jefferson Parish Sheriff Causeway Police 

Crescent City Conn. LA. State Police Harbor Police Dept. Fed. 

Bureau of Invst. U. S. Customs U. S. Border Patrl.

Drug Enforcement Adm.

 OTHER SYSTEM PORTS BEING USED

VHS Progr., UHF Progr., 2 Teleco. Circuits, ITAC, ICALL, Remote

Agency

responsibility a) Each participating agency shall be responsible for maintaining equipment 

provided and attached to the JPS Communications ACU-1000 audio switch.

b) Each participating agency shall provide continual administrative and 

operational contact information to the NOMIC.

c) Continual operational oversight shall be provided to the NOMIC in an effort 

to better refine these Operating Guidelines.

Operational

Notification Operational notification to the NOMIC is required for the following situations 

involving communications equipment.

Modifications

Removal

Installations

Changes in capabilities

Changing frequencies

Other modifications which would alter the mode or method on which 

the equipment was designed to operate.

Communications Equipment Includes (And Not limited To)

ACU-1000 Switch or equipment

Transmitters

Receivers

Transceivers

Telephones (both land line and cellular)

Other telecommunications equipment

Antennas and Cables

Accessories
Sample Agreements 

Operational Guidelines

3 DRAFT

Equipment

Failure Any agency detecting equipment failures, whether their own or another agency,

must notify the primary and secondary NECOS points of contacts via voice and

e-mail at the addresses provided in the POC enclosure to this document.

Step Action

1 Identify the failure

2 Notify NECOS units

3 Your Agency: Notify your appropriate maintenance entity

Other Agency: Notify point of contact per POC enclosure

4 Notify NECOS units of repair personnel & arrival time for access

and possible estimate time of repair (ETR).

Comms

Security

(COMSEC)

This interoperability solution is unclassified. Wherever possible, do not divulge 

information sensitive to any mission.

These circuits offer no communications security. The general public and 

possible hostile sources will be able to obtain information about multi-agency

operations easily by monitor these working frequencies. If joining a patch, any

agency may be recorded by another participating agency.

Testing &

Training The NOMIC shall coordinate all testing and training. Individual agency training

is encouraged but the NOMIC members should be notified in advance of nonscheduled training between agencies.

Testing and training should be coordinated and scheduled by the NOMIC for all 

participating agencies.

Testing and training will be scheduled during the last week of each month.

OPERATIONAL COMMUNICATIONS

Guidelines a) NECOS shall never be requested to coordinate between the requesting and 

receiving agencies.

b) A single agency’s participation on multiple patched circuits can only be

accomplished by having more than one radio attached to the ACU-1000 audio

matrix switch. Since all participating agencies only have one radio attached,

any agency can only participate in one interoperability patch at a time.
Appendix A 

Operational Guidelines

Voice Call 

Signs Agencies will always identify themselves by agency name and number. 

Communications personnel shall provide mobile units with appropriate call 

signs of other government agency units as obtained from other communications

watch personnel.

In example: NOPD vehicle 728 has requested communications with FBI 455. 

NOPD will coordinate through FBI Comm. Center and request NOPD 728 to 

call “FBI 455” on the designated working frequency.

 Example: “ NOPD 728 to FBI 455 ”

Acronyms & 

brevity codes

System

Purpose

ACU-1000

Incident

Commander

NOMIC Patch: 

Requesting

Agent

Request for 

NOMIC Patch: 

Authority to 

Patch:

To reduce confusion or misinterpretations between agencies, the use of 

agency specific acronyms and brevity codes should not be used. Common 

acronyms are acceptable if it is reasonably sure definitions are universal from 

agency to agency (i.e. roger for yes or affirmative). Use clear text when 

possible.

“Official Use Only” Special incidents. Not to be used as a “talk channel”.

The audio switch used to allow interoperability between agencies with 

disparate radio systems.

(I/C) The individual directly responsible for command and control of any given 

incident.

The joining of one agency’s radio system to another agency’s radio system, 

using the ACU-1000.

The individual(s) or agency requesting to have their communications channel 

added to an in-progress incidents communications path. 

This is made by individual or agency wishing to be added into the 

communications. The request is made to the incident commander.

Authority to add any agency to an existing incident communications is granted 

to the Incident Commander.
Sample Agreements 

Standard Operating Procedure

Request for

Release

Contact

Person to 

Initiate a 

Patch:

Authority of an 

Incident

Authority to 

add Agency 

to Patch

Request for 

Inclusion into 

a Patch

Contact Point 

for NECOS

Release from 

a NOMIC 

Patch

Pre-planning

of likely 

Incidents

Once an agent or agency has been relieved and no longer wishes to be part of 

the Incident Communications Path, the agent or agency will notify NECOS to 

remove his/her agency from the patch. 

The I/C shall contact the NECOS to authorize NOMIC patches. The I/C has the 

authority to request that any agency be removed from a particular Incident 

Communications Path.

The I/C is the individual directly responsible for command and control of any 

given incident. The I/C will authorize any interoperability patches as needed to 

effectively command and control a given incident. 

The authority to add any agency to an existing incident communications is 

granted to the I/C or his designee.

The agency requesting to be patched into an ongoing incident should contact 

the I/C for authorization. The I/C should be contacted by contacting the I/C’s 

communications center. The I/C should send his request through his 

communications center. The requesting agency shall notify their dispatch of the 

intended patch and obtain clearance from their agency for the patch.

The contact point to establish patches within the New Orleans area is NECOS. 

**REFER TO POC DOCUMENT FOR NAMES AND NUMBERS** A log will be 

kept, with the following: Date, Time, and Agencies on a given patch, and I/C’s 

name and agency.

The agency requiring release from the NOMIC patch should contact the 

NECOS upon conclusion of that agency’s participation in the incident. The I/C 

may elect to disengage any agency he deems appropriate during the incident. 

NECOS will log who requested the release and the date and time of the 

release. Any agency participating in a patch may choose at any time to stop 

participating in a patch without any additional authority. If a participating 

agency wants to be released from a patch, the agency should notify the I/C.

Any agency participating in the MOU can request a pre-plan of a likely incident. 

This agency should identify who the agency would like to be able to 

communicate with during a given incident and those patches can be preset. 

The preplanned patches would then be authorized by the I/C of an incident. 

Each agency in the preplan would authorize his agency’s participation.
!PPENDIX"

3/0%XAMPLE
$PVSUFTZPG UIF.FUSPQPMJUBO&NFSHFODZ4FSWJDFT#PBSE
4U1BVM
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,17(5,0  ,17(5,0

3.1f Metro Emergency 1 Section 3.1f 

0+]7UXQNHG5HJLRQDO3XEOLF6DIHW\5DGLR6\VWHP

6WDQGDUGV3URWRFROV3URFHGXUHV

Document Section: ,QWHURSHUDELOLW\*XLGHOLQHV TOC Recommended 

Sub-Section: I

Procedure Title: 8VHRI5HJLRQDO0+]WR0HWUR

(PHUJHQF\,QWHURSHUDELOLW\

Date: 5/24/01 

Date Established: 

Replaces Document Dated:  MESB Approval 

Date Revised:  Date: 06/06/03 

3XUSRVHRU2EMHFWLYH

Establish procedures for use of patched regional 800 MHz to Metro Emergency UHF (METEMRG-UHF) channel interoperability radio facilities for interagency communications when 

coordination is required between law enforcement users of UHF radio systems and law 

enforcement users of the regional 800 MHz trunked radio system. 

7HFKQLFDO%DFNJURXQG

 &DSDELOLWLHV

A UHF radio system covering the City of St. Paul, the University of Minnesota and Minneapolis-St. 

Paul International Airport is available for use by personnel of government entities using UHF radio 

systems that need interagency communications to coordinate activity with personnel of entities that 

use the new regional 800 MHz trunked radio system. This UHF interoperability radio system 

includes an UHF infrastructure on the State of Minnesota Metro Emergency UHF radio channel that 

can be hard patched to a regional 800 MHz trunked radio system talk group. 

 &RQVWUDLQWV

One regional 800 MHz talk group can only be in one patch. 

2SHUDWLRQDO&RQWH[W

The patch between the Metro Emergency UHF channel and the corresponding regional 

800 MHz radio system talk group should only be used when there is a significant need for 

communications to support coordinated activities between personnel of entities that are on UHF 

radio systems and personnel of entities that are users of the regional 800 MHz radio system. 

The Metro Emergency channel and the associated patched regional 800 MHz talk group may be 

used for short-term high intensity events, and for long-term extraordinary events. 

!PPENDIX"

3/0%XAMPLE
Appendix B 

,17(5,0  ,17(5,0

3.1f Metro Emergency 2 Section 3.1f 

The Metro Emergency UHF channel patched to a regional 800 MHz talk group should be used 

only if other suitable means for interagency communicating are unavailable or if the other 

available means for coordination communications are insufficient for the needs. Other means 

may include use of radio to radio cross band repeaters (6HH ,QWHURSHUDELOLW\ *XLGHOLQHV

6XEVHFWLRQ F) between tactical channels at the scene, and radio console soft patching of a 

preauthorized agency UHF tactical channel to a RF control station on a talk group on the 

regional 800 MHz radio system (6HH,QWHURSHUDELOLW\*XLGHOLQHV6XEVHFWLRQE).

5HFRPPHQGHG3URWRFRO6WDQGDUG 

It is recommended that there be a regional 800 MHz pool talk group, METEMERG, hard 

patched to the Metro Emergency UHF channel. 

The regional 800 MHz METEMERG talk group shall not be part of any multi-group. 

No personnel in any dispatch center shall soft patch the UHF metro emergency channel to a RF 

control station on a regional 800 MHz trunked talk group (6HH6HFWLRQE5)&RQWURO6WDWLRQV

DQG3RUWDEOHV).

It is recommended that the regional 800 MHz METEMERG talk group be included in scan lists 

of all law enforcement radios on the regional 800 MHz radio system. 

The METEMERG talk group on the regional 800 MHz radio system shall be recorded 6HH

6HFWLRQK

7*5HTXLUHPHQWV    )RU:KRP"

Highly Recommended None 

Recommended Metro Law Enforcement 

Optional None 

Not Allowed None 

&URVV3DWFK6WDQGDUG   <(612  7R7DON*URXSV

Soft Patch No NA 

Hard Patch Yes MET-EMRG-UHF 

5HFRPPHQGHG3URFHGXUH

Most of the time, an event that requires interagency coordination will begin on a main dispatch radio 

channel of one of the public safety dispatch centers. When it becomes apparent that interagency 

coordination of law enforcement agencies will be needed (and possibly fire and EMS), and 

coordinating participants are on UHF and on the regional 800 MHz systems, a dispatch center 

operator should advise the UHF radio users to switch to the Metro Emergency UHF channel. 
SOP Example 

,17(5,0  ,17(5,0

3.1f Metro Emergency 3 Section 3.1f 

Dispatch center operator support, and the decision to use the Metro Emergency UHF channel patch 

to the METEMERG talk group, shall be performed by a dispatch center operator in the center 

responsible for the agency that started the event. 

0DQDJHPHQW

The dispatch center managers for agencies on the regional 800 MHz radio system shall insure 

that there is a procedure for use of the Metro Emergency UHF channel to METEMERG talk 

group patch in the dispatch center for which they are responsible. 

Dispatch center operators shall receive initial and continuing training on the use of this 

procedure.

Responsibility for monitoring performance and for modifying this procedure shall be a function 

of the Technical Operations Committee of the Metropolitan Emergency Services Board. 

The development of and the management of statewide rules for use of the Metro Emergency 

UHF radio channel shall continue to be the responsibility of the Metro Emergency Channel 

Users Committee. All users of the Metro Emergency Channel and the regional 800 MHz radio 

system METEMERG talk group shall comply with the Metro Emergency Channel operation 

rules; and with the MINSEF rules when the Metro Emergency channel is patched to the 

MINSEF VHF frequency. 
!PPENDIX#

)#3

#OMMUNICATIONS

0OSITION$UTIES
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!PPENDIX#

)#3#OMMUNICATIONS

0OSITION$UTIES
Appendix C 

#OMMUNICATIONS5NIT,EADER#/-,	

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OPJTF
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Appendix C 

)NCIDENT#OMMUNICATIONS4ECHNICIAN#/-4	

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FH
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ICS Communications Position Duties 

)NCIDENT#OMMUNICATIONS#ENTER-ANAGER).#-	

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Appendix C 

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ICS Communications Position Duties 

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Appendix C 

¦ *$44UBUVT$IBOHF

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!PPENDIX$

)NTEROPERABILITY

3ELF
!SSESSMENT

3CORECARD
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!PPENDIX$

)NTEROPERABILITY

3ELF
!SSESSMENT3CORECARD

Interoperability Continuum Element Baseline Assessment Subelement

Governance

Leadership

Decision-Making Groups

Agreements

Interoperability Funding

Strategic Planning

Standard Operating Procedures Policy, Practices, and Procedures

Command and Control

Technology

Approaches

Implementation

Maintenance and Support

Training and Exercises Operator Training

Exercises

Usage Frequency of Use and Familiarity

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Stage of Development

Element Subelement Early Moderate Full Advanced

Governance

Leadership

Decision-Making

Groups

Agreements

Interoperability

Funding

Strategic Planning

Standard

Operating

Procedures

Policy, Practices, 

and Procedures

Command and 

Control

Technology

Approaches

Implementation

Maintenance and 

Support

Training and 

Exercises

Operator Training

Exercises

Usage Frequency of Use 

and Familiarity

Self-Assessment Scorecard
Interoperability Self-Assessment Scorecard 

Governance: Leadership

Public Safety Leadership

How would you best describe the fiscal and 

political support that public safety leaders provide 

to improve your organization’s interoperability?

- The leadership within your public safety 

organization may understand the importance 

of interoperability and its role, but has not yet 

taken any political or fiscal action

- The leadership within your public safety 

organization has begun to seek political or 

fiscal support for interoperability

- The leadership within your public safety 

organization pursues multiple avenues of 

political and fiscal support for interoperability 

and makes it an organization priority 

- The leadership within your public safety 

organization has successfully ingrained 

interoperability as an organizational value 

such that future leaders are expected to be 

champions for interoperability support

Political Leadership

How would you best describe the fiscal and 

political influence that political leaders have 

on the progress of public safety organizations’ 

interoperability?

- Political leader(s) have not yet provided 

political or fiscal support for interoperability

- Political leader(s) have begun to provide 

political support (e.g., attending discussions 

and/or summits on interoperability, including 

it on the platform) or fiscal support

- Political leader(s) have demonstrated that 

interoperability is a political and fiscal priority 

by taking concrete actions (e.g., establishing 

funding mechanisms, regional or statewide 

planning efforts) to improve interoperability 

- Political leader(s) act to ensure that 

interoperability remains a priority across 

future administrations (e.g., legislation, 

dedicated appropriations)

Consider the questions to the left 

and how this measure varies across 

organizations, then choose one of 

these stages of development

Early Development

Government leaders are 

aware of interoperability 

needs to support 

protection of citizens and 

safety of first responders

Moderate Development

Government leaders 

understand the importance 

of interoperability and 

provide some political and 

fiscal support

Full Development

Government leaders 

demonstrate that 

interoperability is a 

political and fiscal priority 

and begin to coordinate 

across jurisdictions

Advanced Development

Government leaders 

serve as interoperability 

advocates and act to 

ensure long-term political 

and fiscal support
Appendix D 

Governance: Decision-Making Groups

Decision-Making Groups

How would you best describe your organization’s 

involvement in groups of public safety 

practitioners and leaders that apply operational, 

technical, and management expertise to remove 

barriers to interoperability?

- Your organization may or may not participate 

in informal interorganization partnership(s) 

or forum(s) 

- Your organization participates in a mix 

of informal and formal partnership(s) or 

forum(s). A formal partnership has a 

published agreement that designates the 

group’s authority

- Your organization participates exclusively 

in formal interoperability planning and 

governing bodies (e.g., bodies with defined 

missions, responsibilities, and authorities) 

- Your organization’s formal groups proactively 

recruit new participants, including 

responders beyond first responders

Does your key interoperability decision-making 

group:

- Meet regularly?

- Have consistent membership?

- Have governance rules?

- Disseminate information to all members?

- Disseminate information to public safety 

leaders (as appropriate)?

- Disseminate information to political leaders 

(as appropriate)?

- Have the capacity to make recommendations 

concerning interoperability?

- Have the capacity to implement its own 

decisions?

Consider the questions to the left 

and how this measure varies across 

organizations, then choose one of 

these stages of development

Early Development

No interagency 

partnerships or forums 

in place

Moderate Development

Informal partnerships 

or forums to address 

common interests, 

operations, and technology

Full Development

Formal interoperability 

planning and governing 

bodies with defined 

missions, responsibilities, 

and authorities in place

Advanced Development

Proactive recruiting of new 

participants to include 

cross-governmental

membership and type of 

responder
Interoperability Self-Assessment Scorecard 

Governance: Agreements

Agreements

How would you best describe the informal 

practices and formal documentation that establish 

agreed-upon means to ensure interoperability?

- There may be informal, undocumented 

agreements that enable interoperability in 

practice

- Published agreements (e.g., MOU/MOA/

MAA, Ordinance, Executive Order, IGA) are 

enforced with some of the organizations with 

whom you provide incident response

- Published agreements are enforced with all 

of the organizations with whom you provide 

incident response

- There are institutionalized processes to 

develop and review agreements at least every 

3 to 5 years, and after system upgrades 

and events that test your organization’s 

capabilities

Consider the questions to the left 

and how this measure varies across 

organizations, then choose one of 

these stages of development

Early Development

Unofficial, informal 

agreements in practice

Moderate Development

Some of the necessary 

agreements (e.g., MOU/

MOA/ MAA, Ordinance, 

Executive Order, IGA, and 

Legislation) in place to 

address multi-organization 

communications

Full Development

All necessary agreements 

(e.g., MOU/MOA/MAA,

Ordinance, Executive 

Order, IGA, and 

Legislation) in place to 

address multi-organization 

communications

Advanced Development

Institutionalized processes 

to develop and review 

agreements at least 

every 3-5 years and after 

significant events and 

upgrades
Appendix D 

Governance: Interoperability Funding

Funding for Capital Investments

How would you best describe how well your 

funding meets needs for capital investments in 

interoperability?

- Your organization either does not have 

funding dedicated to interoperability capital 

investments (e.g., equipment and other onetime costs), or some funds may be cobbled 

together

- Your funding does not meet all requirements 

for interoperability capital investments; 

difficult allocation decisions may be required

- Your organization has funding for capital 

investments such that interoperability 

requirements can be met

- Your organization is working to ensure 

funding of future interoperability capital 

investments

Funding for Operating Costs

How would you best describe how well your 

funding meets needs for operating costs that 

support interoperability?

- Your organization either has no funding 

dedicated to operating costs (O&M, leases, 

staffing), or some funds may be cobbled 

together

- Your organization has dedicated funding 

for operating costs in the current budget 

cycle; source of funding beyond that may be 

undetermined

- Your organization has dedicated funding 

beyond the current budget cycle for operating 

costs

- Your organization is working to ensure 

funding for interoperability operating costs 

beyond the time that current sources expire 

Does your organization have joint interoperability 

funding with other public safety disciplines, 

political entities, and levels of government?

Consider the questions to the left 

and how this measure varies across 

organizations, then choose one of 

these stages of development

Early Development

Limited and fragmented 

funding dedicated to 

multi-organization

communications

Moderate Development

Long-Term planning 

begins for partially 

funded multi-organization 

communications

Full Development

Acquisition of longterm funding for 

multi-organization

communications

Advanced Development

Multiple organizations 

and standing committees 

working to strategically 

acquire and manage 

sustained interoperability 

and maintenance funding
Interoperability Self-Assessment Scorecard 

Governance: Strategic Planning

Strategic Planning

How would you best describe the planning efforts 

to make decisions, take actions, and create 

processes that ensure interoperability?

- No interoperability strategic plan in place; 

some preliminary planning may have begun

- Strategic planning process in place and plan 

under development

- Strategic plan in place and accepted by all 

participating organizations

- Strategic plans reviewed annually and after 

system upgrades and events that test your 

organization’s capabilities 

Consider the questions to the left 

and how this measure varies across 

organizations, then choose one of 

these stages of development

Early Development

No interoperability 

strategic plan or strategy 

in place

Moderate Development

Strategic planning process 

in place and plan under 

development

Full Development

Formal strategic plan in 

place and accepted by all 

participating stakeholders

Advanced Development

Institutionalized processes 

to review strategic plans 

on an annual basis and 

after significant events or 

upgrades
Appendix D 

Standard Operating Procedures: Policies, 

Practices, and Procedures

Policies, Practices, and Procedures

How would you best describe the direction 

provided to first responders to implement 

interoperable communications?

- Informal policies, practices, and procedures 

may be in place to address interoperable 

communications with designated types of 

responders; none are formal. “Formal” means 

published and enforced

- Formal polices, practices, and procedures 

are in place to ensure interoperable 

communications during planned and dayto-day events (e.g., vehicle pursuit, multiple 

station response) with designated types of 

responders

- Formal policies, practices, and procedures 

are in place to ensure interoperable 

communications during emergency or outof-the-ordinary events (e.g., mass casualties, 

flipped tanker that closed a major highway) 

with designated types of responders

- Processes exist to develop and annually 

review policies, practices, and procedures 

for consistency across designated types of 

responders

Consider the questions to the left 

and how this measure varies across 

organizations, then choose one of 

these stages of development

Early Development

Informal policies, 

practices, or procedures

Moderate Development

Some formal policies, 

practices, or procedures

Full Development

All necessary formal 

policies, practices, and 

procedures

Advanced Development

Processes to develop and 

regularly review policies, 

practices, and procedures 

for consistency across 

participants
Interoperability Self-Assessment Scorecard 

Standard Operating Procedures: Command and 

Control

Command and Control

How would you best describe the direction 

provided to first responders to implement 

interoperable communications?

- Informal command and control SOPs 

concerning interoperability may be in 

place; no formal policies. “Formal” means 

command and control policies are published 

and enforced

- Formal command and control SOPs address 

interoperability in planned and day-to-day 

events (e.g., vehicle pursuit, multiple station 

response) for agencies with which you 

provide joint incident response

- Formal command and control SOPs 

address interoperability during day-to-day, 

emergency, and out-of-the-ordinary events 

(e.g., mass casualties, flipped tanker that 

closes major highway) for agencies with 

which you provide joint incident response

- There is a review of interoperability command 

and control policies annually and after events 

that test organization capabilities

Are your agency’s interoperability command and 

control policies NIMS-compliant?

Consider the questions to the left 

and how this measure varies across 

organizations, then choose one of 

these stages of development

Early Development

Some elements of formal 

command and control 

policies in practice

Moderate Development

Formal command and 

control policies in practice, 

but not consistent with 

command and control 

policies of all other 

necessary organizations

Full Development

NIMS-compliant

command and control 

policies in practice 

consistent with all 

necessary organizations

Advanced Development

Annual review of

command and control 

policies to assure 

continued compliance with 

NIMS and evaluation of 

command and control after 

significant events
Appendix D 

Technology: Approaches

Approaches

How would you best describe the solutions first 

responders employ for interoperability?

- Portable, mobile, or temporary solutions 

developed in the field by first responders 

using resources/equipment on hand (e.g., 

radio swaps)

- Planned solution(s) are readily deployable, 

but do not employ mutually accepted 

equipment standards (e.g., communications 

vehicle)

- Permanent infrastructure-based solution(s) 

using mutually accepted equipment 

standards (e.g., shared system)

- Continuous technical improvements are 

planned that will develop networks that are 

completely transparent to responders 

Consider the questions to the left 

and how this measure varies across 

organizations, then choose one of 

these stages of development

Early Development

Implementation of 

portable, mobile, or 

temporary solutions (ad 

hoc or COTS)

Moderate Development

Communications

requirements exceed ad 

hoc capabilities, steps 

being taken toward 

permanent solutions

Full Development

Permanent infrastructurebased solutions using 

mutually accepted 

standards

Advanced Development

Strategic, coordinated 

communications plans in 

place to guide technical 

improvements that lead to 

seamless networks
Interoperability Self-Assessment Scorecard 

Technology: Implementation

Implementation

How would you best describe the methods used by 

first responders to achieve interoperability?

- No consistent approach to solutions; first 

responders must improvise a solution

- Planned solution(s) require human 

intervention by someone other than first 

responders (e.g., must get patch through 

dispatcher)

- Solution(s) available to all first responders as 

authorized, without any intervention

- Piloting of advanced solution(s), 

technologies, and processes

 

Consider the questions to the left 

and how this measure varies across 

organizations, then choose one of 

these stages of development

Early Development

Ad hoc solutions

Moderate Development

Planned solutions that 

require human intervention

Full Development

Solutions available 24x7 

without any intervention

Advanced Development

Research and testing 

of advanced solutions, 

technologies, and 

processes
Appendix D 

Technology: Maintenance and Support

Maintenance and Support

How would you best describe the frequency and 

approach taken in communications equipment 

care, maintenance, repair, and systems lifecycle 

planning?

- There is either no maintenance or no 

consistent approach for preventive 

maintenance and interoperability equipment 

repair, replacement

- Plans guarantee minimum level of reliability 

and availability

- Plans guarantee capability to interoperate 

24X7

- Near-term and long-term lifecycle planning 

(e.g., planning, acquisition, implementation, 

maintenance) of next solution

Consider the questions to the left 

and how this measure varies across 

organizations, then choose one of 

these stages of development

Early Development

Ad hoc maintenance and 

equipment support

Moderate Development

Plans developed plus staff 

and funding available to 

address maintenance 

and equipment support 

requirements

Full Development

Multiple organizations’ 

staff share maintenance 

and equipment support 

roles for jointly funded 

infrastructure through 

formal agreements

Advanced Development

Near-term and long-term 

system lifecycle planning 

(e.g., planning, acquisition, 

implementation) and 

staffing
Interoperability Self-Assessment Scorecard 

Training and Exercises: Operator Training

Training for Support Personnel

How would you best describe the nature of the 

education given to support personnel regarding 

interoperability?

- Support personnel (e.g., administrators, 

dispatchers, maintenance personnel) may 

have some awareness of interoperability, and 

some may have received informal education 

or training. Informal training has no lesson 

plans, may be on-the-job, and provides no 

assessment of student performance/change 

of behavior

- Some support personnel have received 

formal interoperability training (uses a 

lesson plan in a classroom or OJT setting, 

and includes an assessment of student 

performance/change of behavior either at the 

time of training or shortly thereafter)

- Substantially all support personnel have 

received formal interoperability training (as 

defined above)

- Organizations evaluate after-action reports, 

along with the changing operational 

environment, to adapt future training to 

address gaps and needs

Training for Field Personnel

How would you best describe the nature of the 

education given to field personnel regarding 

interoperability?

- Field personnel (e.g., law enforcement 

officers, firefighters, EMTs) may have some 

awareness of interoperability, and some may 

have received informal education or training. 

Informal training has no lesson plans, may be 

on-the-job, and provides no assessment of 

student performance/change of behavior

- Some field personnel have received formal 

Consider the questions to the left 

and how this measure varies across 

organizations, then choose one of 

these stages of development

Early Development

No formal training in 

achieving interoperability

Moderate Development

Some organizations 

train regularly in using 

equipment and applying 

policies, practices, and 

procedures

Full Development

All necessary organizations 

participate in planned, 

regular training using 

equipment, policies, 

practices, and procedures, 

command and control, and 

NIMS

Advanced Development

Organizations evaluate 

training after-action 

reports and the changing 

operational environment 

to adapt future training to 

address gaps and needs

interoperability training (uses a lesson plan in a classroom or OJT setting, and includes an 

assessment of student performance/change of behavior either at the time of training or shortly 

thereafter)

- Substantially all field personnel have received formal interoperability training (as defined 

above)

- Organizations evaluate after-action reports, along with the changing operational environment, 

to adapt future training to address gaps and needs

 
Appendix D 

Training and Exercises: Exercises

Exercises

How would you best describe the simulated or 

in-field activities conducted to prepare responders 

for situations that would require interoperable 

communications?

- Your organization may have participated 

in planning workshops oriented toward 

interoperability

- Your organization participates in tabletop 

exercises, which incorporate interoperable 

communications, on a regular cycle

- Your organization participates in fully 

functional operational exercises, including 

interoperable communications, on a regular 

cycle

- Organizations evaluate after-action reports 

from fully functional exercises and in the 

changing operational environment to adapt 

exercises to address gaps and operational 

needs

Are your agency’s interoperability exercises 

National Incident Management System (NIMS)-

compliant?

Consider the questions to the left 

and how this measure varies across 

organizations, then choose one of 

these stages of development

Early Development

Some command and 

staff across organizations 

participate in workshops 

oriented to interoperability

Moderate Development

All necessary organizations 

participate in tabletop 

exercises; including NIMS;

planned and on a regular 

cycle

Full Development

All necessary organizations 

participate in fullyfunctional operational 

exercises, including NIMS,

on a planned and regular 

cycle

Advanced Development

Organizations evaluate 

after-action reports from 

the exercises and the 

changing operational 

environment to adapt 

exercises to address gaps 

and operational needs
Interoperability Self-Assessment Scorecard 

Usage: Frequency of Use and Familiarity

Frequency of Use and Familiarity

How would you best describe how frequently and 

easily your first responders use interoperability?

- First responders seldom use interoperability 

solutions, except for events that can be 

planned ahead of time

- First responders use solutions regularly for 

emergency events and to a limited extent for 

day-to-day communications

- First responders use solutions regularly 

and easily for all day-to-day, task force, and 

mutual aid events 

- Regular use of completely transparent 

solutions has expanded to all potentially 

involved responders

Consider the questions to the left 

and how this measure varies across 

organizations, then choose one of 

these stages of development

Early Development

First responders seldom 

use solutions unless 

advanced planning is 

possible (e.g., special 

event)

Moderate Development

First responders use 

solutions regularly for 

emergency events, and in a 

limited fashion for day-today communications

Full Development

First responders use 

solutions regularly and 

easily for all day-to-day, 

task force, and mutual aid 

events

Advanced Development

Regular use of seamless 

solutions has expanded to 

include state, federal, and 

private responders
!PPENDIX%

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Bibliography and Resources 

/BUJPOBM&NFSHFODZ/VNCFS"TTPDJBUJPO
/&/".BTUFS(MPTTBSZPG5FSNJOPMPHZ
/&/"

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/*04)"MFSU1SFWFOUJOH*OKVSJFTBOE%FBUIGSPN'BMMTEVSJOH$POTUSVDUJPOBOE

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/*04)1VCMJDBUJPO/P	$JODJOOBUJ
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Appendix E 

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Bibliography and Resources 

4XBOTPO
.BSJBOOF
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Appendix E 

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Bibliography and Resources 

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Appendix E 

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Bibliography and Resources 

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NBOBHFTQSPKFDUT3FRVJSFTQBSUJDJQBUJPOGSPNUISFFLFZSFQSFTFOUBUJWFHSPVQTXJUIJOBO

BHFODZFYFDVUJWF
CVTJOFTTPSPQFSBUJPOBM
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%FMJWFSBCMF	$014-BX&OGPSDFNFOU5FDI(VJEF


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	/5'*(VJEF¦(MPTTBSZPG 5FSNT


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&%(&

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OFUXPSLT&%(&TFSWJDFT

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CVU

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&*"JTBOBUJPOBM	64
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Glossary 

&OWJSPONFOUBMTDBO	&4
	$014-BX&OGPSDFNFOU5FDI(VJEF


"OJOJUJBMTUFQJOUIFQMBOOJOHQSPDFTTUIBUIFMQTUIFQSPKFDUUFBNHBJOQFSTQFDUJWFPOUIF

JOJUJBUJWFCZBMMPXJOHUIFUFBNUPTZTUFNBUJDBMMZBTTFTTGBDUPSTUIBUQSFTFOUPQQPSUVOJUJFT

PSUISFBUTUPUIFTVDDFTTPG UIFQSPKFDU4PNFUJNFTSFGFSSFEUPBTBTJUVBUJPOPS ̈4805©

BTTFTTNFOU
BO&4DPOUBJOTBOJOUFSOBMTDBOUIBUJEFOUJ2FTTUSFOHUIT	4
BOEXFBLOFTTFT	8


PG UIFBHFODZBOEBOFYUFSOBMTDBOUIBUJEFOUJ2FTFYUFSOBMPQQPSUVOJUJFT	0
BOEUISFBUT	5


UPUIFBHFODZ

&W%0

4FFY&W%0

&YFDVUJWFTQPOTPS	$014-BX&OGPSDFNFOU5FDI(VJEF


5IFJOEJWJEVBMXIPIBTUIFVMUJNBUFBDDPVOUBCJMJUZGPSUIFQSPKFDU
IBWJOHBVUIPSJUZ

UPTBODUJPOUIFQSPKFDUBOENBLFJUBQSJPSJUZ4FSWFTBTUIFQSPKFDU«TVMUJNBUFEFDJTJPO

NBLJOHBVUIPSJUZ

&YUFOEFE"SFB/FUXPSL	&"/


"CBTJDDPNNVOJDBUJPOTOFUXPSLJOHUZQFVTFEUPEFTDSJCFWPJDFBOEPSEBUBOFUXPSLT

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TJOHMFPSTFUPG OFUXPSLTQSPWJEJOHDPNNVOJDBUJPOTCFUXFFOBHFODJFTPWFSBOFYUFOEFE

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BSFBOFUXPSL	8"/
PSFYUSBOFU

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	/5'*(VJEF¦(MPTTBSZPG 5FSNT


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'FEFSBM-BX&OGPSDFNFOU8JSFMFTT6TFST(SPVQ	'-&86(


	/5'*(VJEF¦(MPTTBSZPG 5FSNT


'-&86(CFHBOBTBOBEIPDHSPVQPG GFEFSBMSBEJPTQFDUSVNVTFSTUIBUNFUUPBEESFTT

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NBOEBUF

GPSEJHJUBMOBSSPXCBOEJOHCZ5IF'-&86(XBTGPSNBMJ[FEBTBNFDIBOJTNUP

BEESFTTJOUFSPQFSBCJMJUZBOEPUIFSDIBMMFOHFTSFMBUFEUPQVCMJDTBGFUZDPNNVOJDBUJPOT5IF

'-&86(JTTVFEUIF1VCMJD4BGFUZ8JSFMFTT/FUXPSL	148/
1SPHSBN.BOBHFNFOUBOE

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XIJDIMFEUPUIFDSFBUJPOPG UIF148/1SPHSBN

'FFGPSTFSWJDF	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"OBSSBOHFNFOUJOXIJDIBWFOEPSIBTFYQFOEFEJUTPXODBQJUBMUPCVJME
JOTUBMM
BENJOJTUFS


BOENBJOUBJOJUTPXOTZTUFNGPSMFBTFUPQVCMJDTBGFUZPSHBOJ[BUJPOT
Appendix F 

'PDVTHSPVQT	$014-BX&OGPSDFNFOU5FDI(VJEF


"TPNFXIBUJOGPSNBMUFDIOJRVFUIBUDBOIFMQUPBTTFTTVTFSOFFETXIJMFEFTJHOJOHUIF

TZTUFN6TVBMMZTJYUPOJOFVTFSTHBUIFSUPEJTDVTTJTTVFTBOEDPODFSOTBCPVUUIFGFBUVSFTPG 

UIFOFXTZTUFN

'SFRVFODZ	/5'*(VJEF¦(MPTTBSZPG 5FSNT


'PSBQFSJPEJDGVODUJPO
UIFOVNCFSPG DZDMFTPSFWFOUTQFSVOJUUJNF

'SFRVFODZCBOET	/5'*(VJEF¦(MPTTBSZPG 5FSNT


'SFRVFODZCBOETXIFSFMBOENPCJMFSBEJPTZTUFNTPQFSBUFJOUIF6OJUFE4UBUFT
JODMVEJOH

UIFGPMMPXJOH)JHI)'	.)[

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NPEVMBUJOHTJHOBM

'VODUJPOBMTQFDJ2DBUJPOT	$014-BX&OGPSDFNFOU5FDI(VJEF


1SFDJTFEFTDSJQUJPOTPG IPXBQSPEVDUTIPVMEPQFSBUF5IFTFTUBUFNFOUTTIPVMECFTVDDJODU

"QSPKFDUQMBOBOEQSPDVSFNFOUEPDVNFOUPGUFODPOUBJOTOVNFSPVTTVDIGVODUJPOBM

SFRVJSFNFOUT%VSJOHQSPDVSFNFOU
WFOEPSTTIPVMECFSFRVJSFEUPEJWVMHFIPXDMPTFMZUIFJS

QSPEVDUNBUDIFTBOBHFODZ«TGVODUJPOBMTQFDJ2DBUJPOT

'VODUJPOBMJUZUFTUJOH	$014-BX&OGPSDFNFOU5FDI(VJEF


"UZQFPG BDDFQUBODFUFTUJOHEFTJHOFEUPFOTVSFUIBUUIFWFOEPS«TTPGUXBSFJTGVODUJPOJOHBT

EFTDSJCFEJOQSPEVDUMJUFSBUVSFBOE
QPTTJCMZ
JOSFTQPOTFUPUIFBHFODZ«T3'1

(134

(FOFSBM1BDLFU3BEJP4ZTUFN"EJHJUBMXJSFMFTTUFDIOPMPHZQSPWJEJOHIJHITQFFEEBUBPO

(4.BOEPUIFS5%."OFUXPSLT$BSSJFSSFQPSUFEEBUBSBUFTBSFJOUIFUP,CQTSBOHF

$POTJEFSFEUPCFB(XJSFMFTTTFSWJDF

(4.

(MPCBM4ZTUFNGPS.PCJMF$PNNVOJDBUJPOT"XPSMEXJEFTUBOEBSEGPSNPCJMFEJHJUBM

UFMFQIPOZVTJOH5%."DIBOOFMBDDFTTNFBOTGPSFJHIUWPJDFDIBOOFMTBDSPTTXJEF	

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SBEJPDIBOOFMT$POTJEFSFEUPCFB(XJSFMFTTTFSWJDF

(BUFXBZ

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BHBUFXBZJTBEFWJDFUIBUDPOOFDUTUXPPSNPSFEJGGFSFOU

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PG BO
Glossary 

BHFODZ«TTZTUFNJTEVQMJDBUFEPOBOPUIFSBHFODZ«TDIBOOFM5IJTJTDPNNPOMZEPOFCZ

FMFDUSPOJDQBUDIJOHPG USBOTNJUBOESFDFJWFBVEJPPG POFDIBOOFMUPBOPUIFS
FJUIFSBUB

EJTQBUDIDPOTPMF
TFQBSBUFSBEJPTJUFT
PSJOBNPCJMFDPNNVOJDBUJPOTWFIJDMF

(JHBCJUTTFDPOE	(CQT


"NFBTVSFPG EBUBUSBOTGFSSBUFTFRVBMUPPOFUIPVTBOENFHBCJUTPSPOFCJMMJPOCJUT

QFSTFDPOE

(+9%.

(MPCBM+VTUJDF9.-%BUB.PEFM"EBUBSFGFSFODFNPEFMGPSVTFXJUI9.-CBTFE

JOGPSNBUJPOFYDIBOHFJOKVTUJDFBOEQVCMJDTBGFUZBQQMJDBUJPOT

(MPCBM1PTJUJPOJOH4ZTUFN	(14
	'$$(MPTTBSZPG 5FMFDPNNVOJDBUJPOT5FSNT


"64TBUFMMJUFTZTUFNUIBUMFUTUIPTFPOUIFHSPVOE
POUIFXBUFS
PSJOUIFBJSEFUFSNJOF

UIFJSQPTJUJPOXJUIFYUSFNFBDDVSBDZVTJOH(14SFDFJWFST

)FSU[	)[
	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"VOJUPG GSFRVFODZJODZDMFTQFSTFDPOE"IFSU[JTPOFDZDMFQFSTFDPOE

)PMECBDLT	$014-BX&OGPSDFNFOU5FDI(VJEF


"DPOUSBDUQSPWJTJPOUIBUBMMPXTBOBHFODZUPLFFQBQFSDFOUBHFPG BWFOEPS«TQBZNFOUVOUJM

BGUFSUIFWFOEPSTVDDFTTGVMMZDPNQMFUFTDFSUBJONJMFTUPOFT6TFGVMGPSLFFQJOHUIFWFOEPS

JOUFSFTUFEJODPNQMFUJOHBMMPG UIFUBTLTBTTPDJBUFEXJUIBQSPKFDU
FWFOUIPTFUIBUBSFMFTT

QSP2UBCMFUIBOPUIFST

)PUTQPU

*OEBUBOFUXPSLJOHVTBHF
BXJSFMFTTMPDBMBSFBOFUXPSL	8-"/
BDDFTTQPJOUPGGFSJOH

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*$4

4FF*ODJEFOU$PNNBOE4ZTUFN

J%&/

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JO
XIJDIVTFT5%."DIBOOFMBDDFTTNFBOTUPQSPWJEFVQUPTJYWPJDFDIBOOFMTBDSPTT

L)[SBEJPDIBOOFMT$POTJEFSFEUPCFB(XJSFMFTTTFSWJDFJ%&/JTBUSBEFNBSLPG 

.PUPSPMB
*OD

*NQMFNFOUBUJPOQMBO	$014-BX&OGPSDFNFOU5FDI(VJEF


5IFCMVFQSJOUUIBUFOBCMFTQSPKFDUNBOBHFNFOUUPEF2OFUIFSVMFTUIBUHPWFSOIPX

UFDIOPMPHZXJMMCFJOTUBMMFE
UFTUFE
BOENBOBHFE
Appendix F 

*ODJEFOU"SFB/FUXPSL	*"/


"CBTJDDPNNVOJDBUJPOTOFUXPSLJOHUZQFVTFEUPEFTDSJCFWPJDFBOEPSEBUBOFUXPSLT

VTFECZQVCMJDTBGFUZBHFODJFTGPSFNFSHFODZJODJEFOUTPSFWFOUT"O*"/JTUIFTJOHMFPS

TFUPG OFUXPSLTQSPWJEJOHDPNNVOJDBUJPOTGPSSFTQPOEFSTBDSPTTUIFFOUJSFPSHBOJ[BUJPO

BOEHFPHSBQIJDTDPQFPG BOJODJEFOUPSFWFOU.PTUDPNNPOMZ
BO*"/JTDPOTJEFSFEUIF

DPMMFDUJPOPG TVCOFUXPSLTVTFEGPSBQBSUJDVMBSJODJEFOU

*ODJEFOU$PNNBOE4ZTUFN	*$4


"OPSHBOJ[BUJPOBMNBOBHFNFOUTZTUFNBEBQUFEGSPNNJMJUBSZUFDIOJRVFTGPSQVCMJDTBGFUZ

FNFSHFODZSFTQPOTF*UQSPWJEFTDPNNPOUFSNJOPMPHZ
NPEVMBSPSHBOJ[BUJPOBMTUSVDUVSFT


BOEPCKFDUJWFTCBTFENBOBHFNFOUQSJODJQMFTBNPOHJUTCBTJDQSJODJQMFT

*OGSBTUSVDUVSF	/5'*(VJEF¦(MPTTBSZPG 5FSNT


8IFOSFMBUJOHUPSBEJPDPNNVOJDBUJPOTTZTUFNT
UIFIBSEXBSFBOETPGUXBSFOFFEFEUP

DPNQMFUFBOENBJOUBJOUIFTZTUFN

*OJUJBMDPTUT	$014-BX&OGPSDFNFOU5FDI(VJEF


0OFUJNFFYQFOTFTUPQVSDIBTFUFDIOPMPHZBOETFSWJDFTGPSBQSPKFDU.VTUCFDPOTJEFSFEJO

DPOKVODUJPOXJUISFDVSSJOHDPTUT	TFF3FDVSSJOH$PTUT


*OUFHSBUJPO

5IFBCJMJUZUPBDDFTTBOEFYDIBOHFDSJUJDBMJOGPSNBUJPOBULFZEFDJTJPOQPJOUTUISPVHIPVU

UIFFOUFSQSJTF

*OUFSGFSFODF	/5'*(VJEF¦(MPTTBSZPG 5FSNT


*OHFOFSBM
FYUSBOFPVTFOFSHZ
GSPNOBUVSBMPSNBONBEFTPVSDFT
UIBUJNQFEFTUIFSFDFQUJPO

PG EFTJSFETJHOBMT

*OUFSOBMDPTUT	$014-BX&OGPSDFNFOU5FDI(VJEF


5IPTFDPTUTPWFSXIJDIZPVSBHFODZIBTEJSFDU2OBODJBMSFTQPOTJCJMJUZBOEDPOUSPM
JODMVEJOH

QFSTPOOFMDPTUT
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DPTUSFDPWFSZGFFT
FUD

*OUFSOFU1SPUPDPM	*1


0OFPG BTVJUFPG QSPUPDPMTVTFEUPDPOUSPMFYDIBOHFPG EBUBBDSPTTTZTUFNTBOEOFUXPSLT

*1BOEBTTPDJBUFEQSPUPDPMTBSFUIFDPNNPOQSPUPDPMTUIBUBMMPXFETUBOEBSEJ[BUJPO

PG DPNQVUFSOFUXPSLT
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DPNNPOMZVTFEBDSPTTUIF*OUFSOFUBOEQSJWBUFEBUBOFUXPSLT

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4FF(BUFXBZ
Glossary 

*OUFSHPWFSONFOUBM"HSFFNFOU	*("


"XSJUUFOBHSFFNFOUFOUFSFEJOUPCFUXFFOUXPPSNPSFQVCMJDBHFODJFTUIBUNBZCFNPSF

PSMFTTGPSNBMEFQFOEJOHPOMFHBMSFRVJSFNFOUTPOUIFBHFODJFT"MTPLOPXOBTBOJOUFSMPDBM

BHSFFNFOU	*-"
BOEVTFEJOTPNFSFHJPOTTZOPOZNPVTMZXJUIUIFUFSNTNFNPSBOEVNPG

BHSFFNFOU	.0"
PSVOEFSTUBOEJOH	.06


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DPNNVOJDBUJPOTTZTUFNTPOEFNBOE
JOSFBMUJNF
XIFOOFFEFE
BOEBTBVUIPSJ[FE

*OUFSTUBUF$PNQBDU"HSFFNFOU	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"XSJUUFODPOUSBDUCFUXFFOTUBUFTUPDPPQFSBUFPOBQPMJDZJTTVFPSQSPHSBNUIBUFYUFOET

BDSPTTBOEUISPVHITUBUFCPVOEBSJFT

+PJOU1PXFST"DU	 +1"
	/5'*(VJEF¦(MPTTBSZPG 5FSNT


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BHFODJFT

+VSJTEJDUJPO"SFB/FUXPSL	 +"/


"CBTJDDPNNVOJDBUJPOTOFUXPSLJOHUZQFVTFEUPEFTDSJCFWPJDFBOEPSEBUBOFUXPSLTVTFE

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PSTFUPG OFUXPSLTQSPWJEJOHDPNNVOJDBUJPOTGPSBOBHFODZBDSPTTUIFPSHBOJ[BUJPOBMBOE

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,JMPCJUTTFDPOE	,CQTPSLCQT


"NFBTVSFPG EBUBUSBOTGFSSBUFTFRVBMUPPOFUIPVTBOECJUTQFSTFDPOE

,JMPIFSU[	L)[
	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"VOJUPG GSFRVFODZEFOPUJOHPOFUIPVTBOE)[

-BOE.PCJMF3BEJP	-.3
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"SBEJPTZTUFNUIBUBMMPXTGPSXJSFMFTTDPNNVOJDBUJPOTCFUXFFOCBTFTUBUJPOTBOEMBOE

NPCJMFTUBUJPOT	NPCJMFPSQPSUBCMFSBEJPT
PSCFUXFFOMBOENPCJMFTUBUJPOT

-BOEMJOF	'$$(MPTTBSZPG 5FMFDPNNVOJDBUJPOT5FSNT


5SBEJUJPOBMXJSFEUFMFQIPOFTFSWJDF

-JGFDZDMFDPTUJOHNFUIPET	$014-BX&OGPSDFNFOU5FDI(VJEF


.FUIPETUPEFUFSNJOFUIFUPUBMDPTUPG PXOJOHUIFUFDIOPMPHZ
GSPNQSPDVSFNFOUUISPVHI

VQHSBEFBOEPSSFQMBDFNFOU
Appendix F 

-PDBM"SFB/FUXPSL	-"/


"HFPHSBQIJDBMMZBOEGVODUJPOBMMZDPOTUSBJOFEOFUXPSLDPOOFDUJOHQFSTPOBMDPNQVUFST


TFSWFST
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	/&/".BTUFS(MPTTBSZ


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EF2OJOH&NFSHFODZ4FSWJDF;POFT	&4;T
BOEUIFJSBTTPDJBUFE&NFSHFODZ4FSWJDF/VNCFST

	&4/T
UPFOBCMFQSPQFSSPVUJOHPG DBMMT

.FHBCJUTTFDPOE	.CQT


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TFDPOE

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	/5'*(VJEF¦(MPTTBSZPG 5FSNT


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.FNPSBOEVNPG 6OEFSTUBOEJOH	.06
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.FTIOFUXPSL

"DPNNVOJDBUJPOTOFUXPSLJOXIJDIOPEFTDPOOFDUUPUXPPSNPSFPUIFSOPEFT"OPEF

NBZCFBOFOEVTFSEFWJDF
TVDIBTBDPNQVUFS
PSBKVODUJPOQPJOUCFUXFFOPUIFSQJFDFTPG 

UIFOFUXPSL.FTIOFUXPSLTBSFVTFEGPSSFEVOEBODZ
SFTJMJFODZ
BOEUSBG2DCBMBODJOH5IFZ

DBOCFXJSFEPSXJSFMFTT

.FUSPQPMJUBO"SFB/FUXPSL	."/


"OPSHBOJ[FEDPMMFDUJPOPG MPDBMBSFBOFUXPSLT	-"/
BDSPTTTFWFSBMMPDBUJPOTJOBNVOJDJQBM

PSNFUSPQPMJUBOBSFBDPOOFDUFECZIJHITQFFEMJOLTUPGPSNBMBSHFSMPHJDBMOFUXPSL

.JMFTUPOF	$014-BX&OGPSDFNFOU5FDI(VJEF


"TJHOJ2DBOUFWFOUJOUIFQSPKFDU
VTVBMMZDPNQMFUJPOPG BNBKPSEFMJWFSBCMF

.PCJMFEBUBDPNQVUFS	.%$


"DPNQVUFSJOTUBMMFEJOBWFIJDMFUPQSPWJEFVTFSTXJUIEBUBDPNNVOJDBUJPOTPWFSBXJSFMFTT

OFUXPSL5IFDPNQVUFSJTQBSUPG BTZTUFNJOUIFWFIJDMF
XIJDIUZQJDBMMZBMTPJODMVEFTPOF

PSNPSFTPGUXBSFBQQMJDBUJPOTSVOOJOHPOUIFDPNQVUFSBOEBSBEJPUPTFOEBOESFDFJWF

EBUB"OBMPHSBEJPTZTUFNTBMTPSFRVJSFBNPEFNUPDPOWFSUEBUBUPBOEGSPNBVEJP

USBOTGFSSFEPWFSUIFSBEJPDIBOOFM
XIJMFEJHJUBMTZTUFNT
DPNNFSDJBMPSBHFODZPXOFE
QBTT

EBUBXJUIPVUDPOWFSTJPO
Glossary 

.PCJMFEBUBUFSNJOBM	.%5


"OFBSMZUZQFPG NPCJMFDPNQVUJOHEFWJDFEFEJDBUFEUPEJTQMBZJOHEBUBSFDFJWFEBDSPTT

BSBEJPOFUXPSLBOEVOBCMFUPSVOTPGUXBSFBQQMJDBUJPOT5IFUFSN ̈.%5©JTPGUFOVTFE

TZOPOZNPVTMZUPEBZBTDPNQVUFSTIBWFSFQMBDFEEVNCUFSNJOBMT

.VUVBMBJEJOUFSPQFSBCJMJUZ	'$$148"$'JOBM3FQPSU


5IJTJOWPMWFTNVMUJQMFBHFODJFTVTJOHSBEJPTJO ̈POUIFTDFOF©JODJEFOUTUIBUBSFPGUFO

PVUTJEFUIFSBOHFPG 2YFEJOGSBTUSVDUVSF5IFSFJTPGUFOMJUUMFPQQPSUVOJUZGPSQSJPSQMBOOJOH

PG EJGGFSFOUBHFODJFTUPDPPSEJOBUFUIFOFDFTTBSZUBMLHSPVQTBOEGSFRVFODZBTTJHONFOUT

/BUJPOBM$PPSEJOBUJPO$PNNJUUFF	/$$
	/5'*(VJEF¦(MPTTBSZPG 5FSNT


5IF/$$XBTFTUBCMJTIFECZUIF'$$UPTPMJDJUJOQVUGSPNUIFQVCMJDTBGFUZDPNNVOJUZ

JOUIFGVSUIFSEFWFMPQNFOUPG SVMFTHPWFSOJOHUIFOFX.)[QVCMJDTBGFUZCBOE


QBSUJDVMBSMZJOSFHBSEUPJOUFSPQFSBCJMJUZ

/BUJPOBM*OTUJUVUFPG +VTUJDF	/5'*(VJEF¦(MPTTBSZPG 5FSNT


/*+JTUIFSFTFBSDIBOEEFWFMPQNFOUBHFODZPG UIF64%FQBSUNFOUPG +VTUJDF

/BUJPOBM5BTL'PSDFPO*OUFSPQFSBCJMJUZ

5IF/BUJPOBM5BTL'PSDFPO*OUFSPQFSBCJMJUZ	/5'*
XBTDSFBUFECZ/*+JO*UDPOTJTUFE

PG OBUJPOBMBTTPDJBUJPOTSFQSFTFOUJOHTUBUFBOEMPDBMFMFDUFEBOEBQQPJOUFEPG2DJBMTBOE

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UIF5BTL'PSDFQSPEVDFE8IZ$BO«U8F5BML 8PSLJOH

5PHFUIFSUP#SJEHFUIF$PNNVOJDBUJPOT(BQUP4BWF-JWFT
"(VJEFGPS1VCMJD0G2DJBMT

/&1"

5IF/BUJPOBM&OWJSPONFOUBM1PMJDZ"DU5IJTGFEFSBMMBXFOBDUFEJOBQQMJFTUP

QSPHSBNTBOEQSPKFDUTMJDFOTFEQFSNJUUFEPSGVOEFE
JODMVEJOHHSBOUTJOBJE
CZUIF

GFEFSBMHPWFSONFOUUIBUNJHIUIBWFBTJHOJ2DBOUJNQBDUPOUIFRVBMJUZPG UIFIVNBO

FOWJSPONFOU.BKPSGFEFSBMBDUJPOTBGGFDUJOHUIFIVNBOFOWJSPONFOUSFRVJSFDPNQMFUJPO

PG BOFOWJSPONFOUBMJNQBDUTUBUFNFOU	&*4
PSQPTTJCMZBOFOWJSPONFOUBMBTTFTTNFOU	&"


3BEJPDPNNVOJDBUJPOTQSPKFDUT2OBODFEJOXIPMFPSQBSUCZGFEFSBMGVOETBSFPGUFOTVCKFDU

UP/&1"
QBSUJDVMBSMZJG BOZCVJMEJOHPSUPXFSDPOTUSVDUJPOJTJOWPMWFE

/FUXPSL	'$$(MPTTBSZPG 5FMFDPNNVOJDBUJPOT5FSNT


"OZDPOOFDUJPOPG UXPPSNPSFDPNQVUFSTUIBUFOBCMFTUIFNUPDPNNVOJDBUF/FUXPSLT

NBZJODMVEFUSBOTNJTTJPOEFWJDFT
TFSWFST
DBCMFT
SPVUFST
BOETBUFMMJUFT5IFQIPOFOFUXPSL

JTUIFUPUBMJOGSBTUSVDUVSFGPSUSBOTNJUUJOHQIPOFNFTTBHFT

1BHFS	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"DPNNVOJDBUJPOTEFWJDFJOXIJDIUIFJOUFOEFESFDFJWFSJTBMFSUFEUPSFDFJWFBNFTTBHFPS

SFUVSOBDBMM
Appendix F 

1BHJOHTZTUFN	'$$(MPTTBSZPG 5FMFDPNNVOJDBUJPOT5FSNT


"POFXBZNPCJMFSBEJPTFSWJDFXIFSFBVTFSDBSSJFTBTNBMM
MJHIUXFJHIUNJOJBUVSFSBEJP

SFDFJWFSDBQBCMFPG SFTQPOEJOHUPDPEFETJHOBMT5IFTFEFWJDFT
DBMMFE ̈QBHFST
©FNJUBO

BVEJCMFTJHOBM
WJCSBUF
PSEPCPUIXIFOBDUJWBUFECZBOJODPNJOHNFTTBHF

1BUDI	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"DPOUSPMDFOUFSTVCTZTUFNUIBUQFSNJUTBNPCJMFPSQPSUBCMFSBEJPPOPOFDIBOOFM

UPDPNNVOJDBUFXJUIPOFPSNPSFSBEJPTPOBEJGGFSFOUDIBOOFMUISPVHIUIFDPOUSPM

DFOUFSDPOTPMF

1FSGPSNBODFSFQPSUT	$014-BX&OGPSDFNFOU5FDI(VJEF


1SPWJEFTEFUBJMTBCPVUQSPKFDUTUBUVT
JODMVEJOHXIJDIEFBEMJOFTIBWFCFFONFUBOEXIJDI

IBWFOPU8IFUIFSQSFQBSFECZUIFWFOEPSPSJOUFSOBMTUBGG
QFSGPSNBODFSFQPSUTTIPVMECF

QSPWJEFEXFFLMZPSCJXFFLMZ

1FSGPSNBODFUFTUJOH	$014-BX&OGPSDFNFOU5FDI(VJEF


"UZQFPG BDDFQUBODFUFTUJOHUIBUJTEFTJHOFEUPEFUFSNJOFUIFTQFFEPG UIFDPNCJOFE

IBSEXBSFBOETPGUXBSFQBDLBHFEVSJOHWBSJPVTUSBOTBDUJPOT

1FSTPOBM"SFB/FUXPSL	1"/


"CBTJDDPNNVOJDBUJPOTOFUXPSLJOHUZQFVTFEUPEFTDSJCFWPJDFBOEPSEBUBOFUXPSLTVTFE

CZQVCMJDTBGFUZBHFODJFTGPSCPUISPVUJOFPQFSBUJPOTBOEFNFSHFODJFT"1"/JTBTIPSU

SBOHFOFUXPSLGPSDPNNVOJDBUJPOTBNPOHDPNQVUFSBOEUFMFDPNNVOJDBUJPOTEFWJDFTJO

UIFJNNFEJBUFWJDJOJUZPG POFQFSTPO

1FSTPOBM$PNNVOJDBUJPOT4FSWJDFT	1$4
	'$$(MPTTBSZPG 5FMFDPNNVOJDBUJPOT5FSNT


"OZPG TFWFSBMUZQFTPG XJSFMFTT
WPJDF
BOEPSEBUBDPNNVOJDBUJPOTTZTUFNT
UZQJDBMMZ

JODPSQPSBUJOHEJHJUBMUFDIOPMPHZ1$4MJDFOTFTBSFNPTUPGUFOVTFEUPQSPWJEFTFSWJDFT

TJNJMBSUPBEWBODFEDFMMVMBSNPCJMFPSQBHJOHTFSWJDFT)PXFWFS
1$4DBOBMTPCFVTFEUP

QSPWJEFPUIFSXJSFMFTTDPNNVOJDBUJPOTTFSWJDFT
JODMVEJOHTFSWJDFTUIBUBMMPXQFPQMFUP

QMBDFBOESFDFJWFDPNNVOJDBUJPOTXIJMFBXBZGSPNUIFJSIPNFPSPG2DF
BTXFMMBTXJSFMFTT

DPNNVOJDBUJPOTUPIPNFT
PG2DFCVJMEJOHT
BOEPUIFS2YFEMPDBUJPOT

1SPKFDU	1
4UBOEBSET	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"KPJOUHPWFSONFOUJOEVTUSZTUBOEBSETTFUUJOHFGGPSUUPEFWFMPQUFDIOJDBMTUBOEBSETGPSUIF

OFYUHFOFSBUJPOPG QVCMJDTBGFUZSBEJPT
CPUIWPJDFBOEEBUB

1SPKFDUDIBSUFS	$014-BX&OGPSDFNFOU5FDI(VJEF


"EPDVNFOUEFWFMPQFEFBSMZJOUIFQSPDFTT	QSJPSUPUIFGVMMQSPKFDUQMBO
UIBUDPOUBJOTBO*5

QSPKFDUEFTDSJQUJPO
DPNQMFUFXJUITDPQF
PCKFDUJWFT
PSHBOJ[BUJPO
BOETUBG2OH
BEFDJTJPO

NBLJOHTUSVDUVSF
UIFQSPKFDUNBOBHFNFOUBQQSPBDI
BOEJOJUJBMSFTPVSDFEPDVNFOUT

1SPWJEFTHVJEBODFUPQSPKFDUTUBGG JOQMBOOJOHBOEEFTJHOJOHBTZTUFN
Glossary 

1SPKFDUNBOBHFNFOU	$014-BX&OGPSDFNFOU5FDI(VJEF


5IFBQQMJDBUJPOPG LOPXMFEHF
TLJMMT
UPPMT
BOEUFDIOJRVFTUPQSPKFDUBDUJWJUJFTJOPSEFS

UPNPWFUIFQSPKFDUGPSXBSEUPDPNQMFUJPOBOEUPNFFUPSFYDFFETUBLFIPMEFSOFFETBOE

FYQFDUBUJPOTGSPNBQSPKFDU

1SPKFDUNBOBHFS	$014-BX&OGPSDFNFOU5FDI(VJEF


"OJOEJWJEVBMEFEJDBUFEUPBOEBDDPVOUBCMFGPSBMMQSPKFDUSFMBUFEBDUJWJUJFTBOETPMFMZ

SFTQPOTJCMFGPSUIFQSPKFDU«TTDPQF
RVBMJUZ
BOECVEHFU3FTQPOTJCMFGPSWJSUVBMMZBMMBTQFDUT

PG UIFJOJUJBUJWFBOEJTGPSNBMMZBDDPVOUBCMFUPUIFTUFFSJOHDPNNJUUFFBOEUIFFYFDVUJWF

TQPOTPS

1SPKFDUPCKFDUJWFT	$014-BX&OGPSDFNFOU5FDI(VJEF


2VBOUJ2BCMFDSJUFSJBUIBUNVTUCFNFUGPSUIFQSPKFDUUPCFDPOTJEFSFETVDDFTTGVM"DSJUJDBM

QBSUPG TDPQF
PCKFDUJWFTNVTUJODMVEFNFBTVSFTPG RVBMJUZ
UJNF
DPTU
QFSGPSNBODF


SFMJBCJMJUZ
BOEGVODUJPOBMJUZ

1SPKFDUQMBOOJOH	$014-BX&OGPSDFNFOU5FDI(VJEF


"EZOBNJDQSPDFTTUIBUSFTVMUTJOBEPDVNFOUUIBUHVJEFTUIFFOUJSF*5QSPKFDUEFTJHO


QSPDVSFNFOU
JNQMFNFOUBUJPO
BOEGVUVSFFOIBODFNFOUT5IFQMBOJTUIFSFQPTJUPSZGPSBMM

QSPKFDUSFMBUFESFTFBSDI
EFDJTJPOT
EFMJWFSBCMFT
BOEEPDVNFOUT

1SPKFDUTDPQF	$014-BX&OGPSDFNFOU5FDI(VJEF


$MFBSMZEF2OFTUIFCPVOEBSJFTGPSUIFQSPKFDU4DPQFBEESFTTFTXIBUVTFSTXBOU	GVODUJPOT


IPXXFMMUIFVTFSSFRVJSFNFOUTBSFNFU	RVBMJUZPG 
XIFOBOEIPXJUNVTUCFEFWFMPQFE

	DPOTUSBJOUT
BOEXIZ	UIFWBMVFJOUIFQSPKFDU


1SPKFDUUJNFMJOF	$014-BX&OGPSDFNFOU5FDI(VJEF


"NFDIBOJTNUPFOTVSFUIBUUIFQSPKFDUJTBDDVSBUFMZBOESFBMJTUJDBMMZTDIFEVMFETPUIBUJUDBO

CFDPNQMFUFEPOUJNFXJUIJOUIFSFTPVSDFTBWBJMBCMF5IFUJNFMJOFJTDSJUJDBMUPIFMQQSFWFOU

EFMBZTBOEBTTPDJBUFEDPTUPWFSSVOT*ODMVEFTBDUJWJUJFT
EFMJWFSBCMFT
BOENJMFTUPOFT

1SPQSJFUBSZTPGUXBSF	/5'*(VJEF¦(MPTTBSZPG 5FSNT


4JHOBMJOHQSPUPDPMPSTPGUXBSFUIBUJTVOJRVFUPBNBOVGBDUVSFSBOEJODPNQBUJCMFXJUIPUIFS

NBOVGBDUVSFETZTUFNT

1SPQSJFUBSZTZTUFNTSPBNJOH

"NFBOTPG JOUFSBHFODZDPNNVOJDBUJPOTJOXIJDIDPPQFSBUJOHBHFODJFTVTJOHTJNJMBS


CVUQSPQSJFUBSZ
TZTUFNTBSFBCMFUPDPNNVOJDBUFXJUIFBDIPUIFSBOEVTFUIFFYUFOEFE

HFPHSBQIJDDPWFSBHFBGGPSEFECZOFJHICPSJOHTZTUFNT

1SPUPDPM	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"TFUPG VOJRVFSVMFTTQFDJGZJOHBTFRVFODFPG BDUJPOTOFDFTTBSZUPQFSGPSNB

DPNNVOJDBUJPOTGVODUJPO
Appendix F 

1VCMJDTBGFUZTFSWJDFQSPWJEFST	/5'*(VJEF¦(MPTTBSZPG 5FSNT


1FSTPOTXIPQFSGPSNFNFSHFODZ2STUSFTQPOTFNJTTJPOTUPQSPUFDUBOEQSFTFSWFMJGF


QSPQFSUZ
BOEOBUVSBMSFTPVSDFTBOEUPTFSWFUIFQVCMJDXFMGBSFUISPVHIGFEFSBM
TUBUF


PSMPDBMHPWFSONFOUTBTQSFTDSJCFECZMBX1VCMJDTBGFUZTFSWJDFQSPWJEFSTBMTPJODMVEF

OPOHPWFSONFOUPSHBOJ[BUJPOTUIBUQFSGPSNQVCMJDTBGFUZGVODUJPOTPOCFIBMG PG UIF

HPWFSONFOU'PSFYBNQMF
BOVNCFSPG MPDBMHPWFSONFOUTDPOUSBDUXJUIQSJWBUFHSPVQTGPS

FNFSHFODZNFEJDBMTFSWJDFT

1VCMJDTBGFUZTVQQPSUQSPWJEFST	/5'*(VJEF¦(MPTTBSZPG 5FSNT


*ODMVEFTUIPTFXIPTFQSJNBSZNJTTJPONJHIUOPUGBMMXJUIJOUIFDMBTTJDQVCMJDTBGFUZ

EF2OJUJPO
CVUXIPTFNJTTJPONBZQSPWJEFWJUBMTVQQPSUUPUIFHFOFSBMQVCMJDBOEPSUIF

QVCMJDTBGFUZPG2DJBM-BXFOGPSDFNFOU
2SF
BOE&.4XPVME2UUIF2STUDBUFHPSZ
XIJMF

USBOTQPSUBUJPOPSQVCMJDVUJMJUZXPSLFSTXPVME2UUIFTFDPOE

1VCMJD4BGFUZ8JSFMFTT"EWJTPSZ$PNNJUUFF	148"$
	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"KPJOUBEWJTPSZDPNNJUUFFPG UIF'$$BOE/5*"UIBUQSPWJEFESFDPNNFOEBUJPOTPOUIF

TQFDJ2DXJSFMFTTDPNNVOJDBUJPOTSFRVJSFNFOUTPG QVCMJDTBGFUZBHFODJFTUISPVHI

1VCMJDQSJWBUFQBSUOFSTIJQ	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"QBSUOFSJOHCFUXFFOQVCMJDBOEQSJWBUFFOUJUJFTJOEFWFMPQJOHBOEDPOTUSVDUJOHB

TZTUFNPSBCVJMEJOHQSPKFDU*OUIFDBTFPG BTUBUFXJEFDPNNVOJDBUJPOTJOGSBTUSVDUVSF


BTUBUFNBZFOUFSJOUPBOBHSFFNFOUXJUIBUIJSEQBSUZUIBUXJMMBTTVNFSFTQPOTJCJMJUZ

GPSDPNNVOJDBUJPOTDPWFSBHF
DBQBDJUZ
HSPXUI
BOEJOUFSPQFSBCJMJUZ5IFTUBUFXJMMQBZ

BOBDDFTTGFFGPSVTFBOETFSWJDFTBOETIBSFJOSFWFOVFTGSPNBEEJUJPOBMVTFST5IFTUBUF

XJMMBMTPCFGSFFEGSPNUIFOFFEGPSGVSUIFSBQQSPQSJBUJPOT
BTXFMMBTDPTUTBWJOHTPO

NBJOUFOBODF
VQHSBEFT
BOEUSBJOJOH

2VBMJUZBTTVSBODFT	2"
	$014-BX&OGPSDFNFOU5FDI(VJEF


5FTUTUPFOTVSFUIBUUIFWFOEPS«TIBSEXBSFBOETPGUXBSFQFSGPSNBDDPSEJOHUPTQFDJ2DBUJPO

3BEJPDBDIF	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"QPSUBCMFPSQFSNBOFOUTUPSBHFGBDJMJUZGPSSBEJPT

3BEJPDIBOOFM	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"OBTTJHOFECBOEPG GSFRVFODJFTTVG2DJFOUGPSSBEJPDPNNVOJDBUJPO/PUF5IF

CBOEXJEUIPG BSBEJPDIBOOFMEFQFOETVQPOUIFUZQFPG USBOTNJTTJPOBOEUIFGSFRVFODZ

UPMFSBODF/PUF"DIBOOFMJTVTVBMMZBTTJHOFEGPSBTQFDJ2FESBEJPTFSWJDFUPCFQSPWJEFE

CZBTQFDJ2FEUSBOTNJUUFS

3BEJPDPNNVOJDBUJPOT	/5'*(VJEF¦(MPTTBSZPG 5FSNT


5FMFDPNNVOJDBUJPOCZNFBOTPG SBEJPXBWFT
Glossary 

3BEJPFRVJQNFOU	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"TEF2OFEJO'FEFSBM*OGPSNBUJPO.BOBHFNFOU3FHVMBUJPOT
BOZFRVJQNFOUPS

JOUFSDPOOFDUFETZTUFNPSTVCTZTUFNPG FRVJQNFOU	CPUIUSBOTNJTTJPOBOESFDFQUJPO
UIBUJT

VTFEUPDPNNVOJDBUFPWFSBEJTUBODFCZNPEVMBUJOHBOESBEJBUJOHFMFDUSPNBHOFUJDXBWFTJO

TQBDFXJUIPVUBOBSUJ2DJBMHVJEF5IJTEPFTOPUJODMVEFTVDIJUFNTBTNJDSPXBWF
TBUFMMJUF
PS

DFMMVMBSUFMFQIPOFFRVJQNFOU

3BEJP'SFRVFODZ	3'
	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"OZGSFRVFODZXJUIJOUIFFMFDUSPNBHOFUJDTQFDUSVNOPSNBMMZBTTPDJBUFEXJUISBEJP

XBWFQSPQBHBUJPO

3FDVSSJOHDPTUT	$014-BX&OGPSDFNFOU5FDI(VJEF


$POUJOVJOHDPTUTUIBUNVTUCFDPOTJEFSFEUPTVQQPSU
NBJOUBJO
BOEFOIBODFIBSEXBSFBOE

TPGUXBSFBOEVTFSTLJMMT%FUFSNJOFJODPODFSUXJUIJOJUJBMDPTUT	EF2OFEBCPWF


3JTLNBOBHFNFOU	$014-BX&OGPSDFNFOU5FDI(VJEF


"QMBOOJOHQSPDFTTUIBUQSFQBSFTUIFBHFODZGPSEFBMJOHXJUIQPUFOUJBMMZIBSNGVMFWFOUT

UIBUDPVMEIBQQFOJOBUFDIOPMPHZJOJUJBUJWF5IFSJTLNBOBHFNFOUQMBOJTQSFQBSFECZUIF

QSPKFDUNBOBHFSBOETUFFSJOH
VTFS
BOEUFDIOJDBMDPNNJUUFFT

4BUFMMJUF	'$$(MPTTBSZPG 5FMFDPNNVOJDBUJPOT5FSNT


"SBEJPSFMBZTUBUJPOUIBUPSCJUTUIFFBSUI"DPNQMFUFTBUFMMJUFDPNNVOJDBUJPOTTZTUFN

BMTPJODMVEFTFBSUITUBUJPOTUIBUDPNNVOJDBUFXJUIFBDIPUIFSWJBUIFTBUFMMJUF5IFTBUFMMJUF

SFDFJWFTBTJHOBMUSBOTNJUUFECZBOPSJHJOBUJOHFBSUITUBUJPOBOESFUSBOTNJUTUIBUTJHOBMUP

UIFEFTUJOBUJPOFBSUITUBUJPO	T


4DBOOFS	'$$(MPTTBSZPG 5FMFDPNNVOJDBUJPOT5FSNT


"SBEJPSFDFJWFSUIBUNPWFTBDSPTTBXJEFSBOHFPG SBEJPGSFRVFODJFTBOEBMMPXTBVEJFODFTUP

MJTUFOUPBOZPG UIFGSFRVFODJFT

4DIFEVMFNBOBHFNFOUQMBO	$014-BX&OGPSDFNFOU5FDI(VJEF


1SPWJEFTBTUSVDUVSFEQSPDFTTGPSEPDVNFOUJOH
BOBMZ[JOH
BOEBQQSPWJOHDIBOHFTJO

UIFQSPKFDUTDIFEVMF5IFTDIFEVMFNBOBHFNFOUQMBOTIPVMECFBGPSNBMQSPDFTTUIBUJT

EPDVNFOUFEJOUIFQSPKFDUQMBO

4DPQFNBOBHFNFOUQMBO	$014-BX&OGPSDFNFOU5FDI(VJEF


1SPWJEFTBTUSVDUVSFEQSPDFTTGPSEPDVNFOUJOH
BOBMZ[JOH
BOEBQQSPWJOHDIBOHFTJOQSPKFDU

TDPQF5IFTDPQFNBOBHFNFOUQMBOTIPVMECFBGPSNBMQSPDFTTUIBUJTEPDVNFOUFEJOUIF

QSPKFDUQMBO
Appendix F 

4DPQFQMBOOJOH	$014-BX&OGPSDFNFOU5FDI(VJEF


"QSPDFTTUPQSFDJTFMZEF2OFBOEEPDVNFOUTQFDJ2DBDUJWJUJFTBOEEFMJWFSBCMFTGPSB

QBSUJDVMBSQSPKFDU$MBSJ2FTBOEEF2OFTUIFQSPKFDUGPDVTBOELFFQTBDUJWJUJFTJODPOUSPMBOE

XJUIJOBHSFFEVQPOCPVOEBSJFT&TUBCMJTIFTBGPSNBMQSPDFTTGPSQSPBDUJWFMZNBOBHJOH

DIBOHFTJOQSPKFDUTDPQF

4DPQFTUBUFNFOU	$014-BX&OGPSDFNFOU5FDI(VJEF


%F2OFTXIBUJTUPCFJODMVEFEJOUIFQSPKFDU
BTXFMMBTXIBUJTUPCFFYDMVEFE%FWFMPQFECZ

UIFQSPKFDUNBOBHFSBOEVTFSDPNNJUUFF

4DPQFUJNFDPTUSFMBUJPOTIJQ	$014-BX&OGPSDFNFOU5FDI(VJEF


5IFQSPKFDUFMFNFOUTPG TDPQF
UJNF
BOEDPTUBSFJOFYUSJDBCMZMJOLFEBOEIBWFB

QSPQPSUJPOBMSFMBUJPOTIJQ4IPVMEBOZPOFPG UIFTFFMFNFOUTHSPXPSSFEVDF
UIFPUIFSUXP

FMFNFOUTHSPXPSSFEVDFQSPQPSUJPOBMMZ

4FSWJDFQSPWJEFS	'$$(MPTTBSZPG 5FMFDPNNVOJDBUJPOT5FSNT


"UFMFDPNNVOJDBUJPOTQSPWJEFSUIBUPXOTDJSDVJUTXJUDIJOHFRVJQNFOU

4IBSFEDIBOOFMT

0OFPG TFWFSBMNFBOTPG BDIJFWJOHUFDIOJDBMJOUFSPQFSBCJMJUZJOXIJDIDPPQFSBUJOHBHFODJFT

EFTJHOBUFTQFDJ2D
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SBEJPDIBOOFMTGPSJOUFSBHFODZVTF.PTUQVCMJDTBGFUZ

SBEJPCBOETIBWFEFTJHOBUFETIBSFEGSFRVFODJFTUIBUBSFPGUFOVTFE
UIPVHIUIFUFSNBQQMJFT

HFOFSBMMZUPBOZDIBOOFMTBEPQUFEGPSJOUFSBHFODZDPNNVOJDBUJPOT

4IBSFETZTUFN	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"DPNNVOJDBUJPOTTZTUFNEFWFMPQFECZUXPPSNPSFEJGGFSFOUFOUJUJFT	FH
MPDBMBOETUBUF

MBXFOGPSDFNFOUBHFODJFT
UPTIBSFUIFFGGPSUPG TZTUFNEFWFMPQNFOU
NBJOUFOBODF
BOE

PQFSBUJPOT#FOF2UTPG TIBSFETZTUFNTJODMVEFMPXFSDPTUT
XJEFTQSFBEJOUFSPQFSBCJMJUZ


DPNNVOJUZJOUFSBDUJPO
BOETIBSFENBOBHFNFOUBOEDPOUSPM

4JHOBM	/5'*(VJEF¦(MPTTBSZPG 5FSNT


5IFEFUFDUBCMFUSBOTNJUUFEFOFSHZUIBUDBSSJFTJOGPSNBUJPOGSPNBUSBOTNJUUFSUPBSFDFJWFS

4PMFTPVSDF	$014-BX&OGPSDFNFOU5FDI(VJEF


"QSPDVSFNFOUUPPMVTFEXIFOBOBHFODZDBOTIPXUIBUUIFDIPTFOWFOEPSJTUIFPOMZ

WFOEPSDBQBCMFPG TVQQMZJOHUIFSFRVJSFEIBSEXBSF
TPGUXBSF
BOETFSWJDFTJOUIFCFTU

JOUFSFTUPG UIFBHFODZ

4QFDUSVN	/5'*(VJEF¦(MPTTBSZPG 5FSNT


5IFVTBCMFSBEJPGSFRVFODJFTJOUIFFMFDUSPNBHOFUJDEJTUSJCVUJPO4QFDJ2DGSFRVFODJFTIBWF

CFFOBMMPDBUFEUPUIFQVCMJDTBGFUZDPNNVOJUZ
Glossary 

4UBLFIPMEFST	$014-BX&OGPSDFNFOU5FDI(VJEF


*OEJWJEVBMTBOEPSHBOJ[BUJPOTXIPBSFBDUJWFMZJOWPMWFEJOUIFQSPKFDU
PSXIPTFJOUFSFTUT

NBZCFQPTJUJWFMZPSOFHBUJWFMZBGGFDUFEBTBSFTVMUPG QSPKFDUFYFDVUJPOPSTVDDFTTGVM

QSPKFDUDPNQMFUJPO

4UBOEBSETCBTFETIBSFETZTUFN

0OFPG TFWFSBMNFBOTPG BDIJFWJOHUFDIOJDBMJOUFSPQFSBCJMJUZJOXIJDIBSBEJPTZTUFNCBTFE

POPQFOTUBOEBSETTFSWFTNVMUJQMFBHFODJFT

4UBUFNFOUPG 8PSL	408
	$014-BX&OGPSDFNFOU5FDI(VJEF


*ODMVEFEBTBOFYIJCJUJOBDPOUSBDU
UIF408EF2OFTFBDIUBTLJOWPMWFEJOUIFFOUJSF

QSPKFDU*UJTUIFCMVFQSJOUGPSJNQMFNFOUBUJPO

4UFFSJOHDPNNJUUFF	$014-BX&OGPSDFNFOU5FDI(VJEF


.FNCFSTBSFHFOFSBMMZIJHIMFWFMNBOBHFSTBOEPSTVQFSWJTPSTXJUIJOUIFBHFODZ5IJT

HSPVQXJMMFOTVSFUIBUBTUSVDUVSFEQSPKFDUNBOBHFNFOUQSPDFTTJTBEPQUFEBOEGPMMPXFE

1SPWJEFTDPOTUBOUHVJEBODFBOEPWFSTJHIUUPUIFQSPKFDU
JUTQSPHSFTTBOEEFMJWFSBCMFT
BOE

XJMMNBLFNPTUEFDJTJPOTSFMBUFEUPUIFQSPKFDU

4805	$014-BX&OGPSDFNFOU5FDI(VJEF


"OBDSPOZNTPNFUJNFTVTFEJOSFGFSSJOHUPBTJUVBUJPOBTTFTTNFOU
4805TUBOETGPS

4USFOHUIT
8FBLOFTTFT
0QQPSUVOJUJFT
5ISFBUT	TFF&OWJSPONFOUBM4DBO


4ZTUFN	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"OZPSHBOJ[FEBTTFNCMZPG SFTPVSDFTBOEQSPDFEVSFTVOJUFEBOESFHVMBUFECZJOUFSBDUJPOPG 

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4ZTUFNTEFWFMPQNFOUMJGFDZDMF	4%-$
	$014-BX&OGPSDFNFOU5FDI(VJEF


"DZDMJDBMQSPDFTTSFHBSEJOH*5
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BOENBOBHFNFOU

5$1*1

4FF5SBOTNJTTJPO$POUSPM1SPUPDPMBOE*OUFSOFU1SPUPDPM

5BTLGPSDFJOUFSPQFSBCJMJUZ	'$$148"$'JOBM3FQPSU


5IJTJOWPMWFTGFEFSBM
TUBUF
BOEPSMPDBMBHFODJFTVTJOHQPSUBCMFBOEPSDPWFSUSBEJPT


SFRVJSJOHFYUFOTJWFDMPTFSBOHFDPNNVOJDBUJPOT
BOESPBNJOHJOBOEPVUPG JOGSBTUSVDUVSF

DPWFSBHF/PSNBMMZ
QSJPSQMBOOJOHPQQPSUVOJUZFYJTUT

5FDIOJDBMDPNNJUUFF	$014-BX&OGPSDFNFOU5FDI(VJEF


*ODMVEFTUFDIOJDBMTUBGG GSPNUIFBHFODZ
BTXFMMBTPUIFSTGSPNUIFBHFODZ«TQBSFOU

PSHBOJ[BUJPO	FH
DJUZ
DPVOUZ
PSTUBUF

JG TVDITVQQPSUJTQSPWJEFE5IJTDPNNJUUFF«T

SPMFJTUPBOBMZ[FUIFBHFODZ«TFYJTUJOHUFDIOJDBMFOWJSPONFOUBOEUPSFTFBSDIBOEQSPQPTF

TPMVUJPOTUPUIFBHFODZ«TCVTJOFTTOFFETBOEQSPCMFNT
Appendix F 

5FDIOPMPHZCBTFMJOFSFQPSU	$014-BX&OGPSDFNFOU5FDI(VJEF


"SFQPSUUIBUEPDVNFOUTBOPSHBOJ[BUJPO«TDVSSFOUUFDIOPMPHZFOWJSPONFOU$SFBUFECZ

UIFQSPKFDUNBOBHFSXJUIBTTJTUBODFGSPNUIFUFDIOJDBMDPNNJUUFF
JUJTVTFEUPTIPXIPX

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BTXFMMBTUPEFUFSNJOFIPXOFXUFDIOPMPHZDPVMEJNQSPWF

FG2DJFODZ5IFUFDIOPMPHZCBTFMJOFSFQPSUJTBMTPVTFEJOUIFQSPDVSFNFOUQSPDFTT

5FMFDPNNVOJDBUJPOT*OEVTUSZ"TTPDJBUJPO	5*"


5*"JTBOPOQSP2UUSBEFBTTPDJBUJPOUIBUIBTQSPEVDFEBOVNCFSPG OFUXPSLJOHTUBOEBSET

5FMFQIPOZ	'$$(MPTTBSZPG 5FMFDPNNVOJDBUJPOT5FSNT


5IFXPSEVTFEUPEFTDSJCFUIFTDJFODFPG USBOTNJUUJOHWPJDFPWFSBUFMFDPNNVOJDBUJPOT

OFUXPSL

5PUBM$PTUPG 0XOFSTIJQ	5$0
	$014-BX&OGPSDFNFOU5FDI(VJEF


6TFEJOCVEHFUQMBOOJOH
5$0SFGFSTUPUIFUPUBMDPTUTBTTPDJBUFEXJUIPXOFSTIJQ
VTBHF
BOE

NBJOUFOBODFPG UIFTZTUFNPWFSUJNF

5SBOTNJTTJPO$POUSPM1SPUPDPM	5$1


1BSUPG UIF*OUFSOFU1SPUPDPMTVJUFSFTQPOTJCMFGPSFOTVSJOHUIBUEBUBQBDLFUTBSFTFOU


SFDFJWFE
BOESFBTTFNCMFEJOUIFDPSSFDUPSEFSGPSUIFBQQSPQSJBUFBQQMJDBUJPOVTJOHUIF

EBUB4FFBMTP*OUFSOFU1SPUPDPM

5SVOLFESBEJPTZTUFN	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"TZTUFNUIBUJOUFHSBUFTNVMUJQMFDIBOOFMQBJSTJOUPBTJOHMFTZTUFN8IFOBVTFSXBOUTUP

USBOTNJUBNFTTBHF
UIFUSVOLFETZTUFNBVUPNBUJDBMMZTFMFDUTBDVSSFOUMZVOVTFEDIBOOFM

QBJSBOEBTTJHOTJUUPUIFVTFS
EFDSFBTJOHUIFQSPCBCJMJUZPG IBWJOHUPXBJUGPSBGSFFDIBOOFM

GPSBHJWFODIBOOFMMPBEJOH

6.54

6OJWFSTBM.PCJMF5FMFDPNNVOJDBUJPOT4ZTUFN"XJEFCBOE$%."UFDIOPMPHZGPSNPCJMF

EJHJUBMUFMFQIPOZBOEEBUBJOUFOEFEBTUIFTVDDFTTPSGPS(4.OFUXPSLT*UQSPNJTFTEBUB

SBUFTBQQSPBDIJOH.CQT"MTPLOPXOBT(4.

6TFSDPNNJUUFF	$014-BX&OGPSDFNFOU5FDI(VJEF


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DPNNJUUFF«TSPMFJTUPBTTJTUBOETVQQPSUJODSFBUJOHBQSPKFDUDIBSUFSBOEVMUJNBUFMZUIF

QSPKFDUQMBO5IJTDPNNJUUFFXJMMBOBMZ[FFYJTUJOHXPSL3PXT
EF2OFCVTJOFTTQSPDFTTFT


MPPLGPSFG2DJFODJFT
BOEFTUBCMJTIUIFSFRVJSFNFOUTPG BOZOFXTZTUFN

7FSZ)JHI'SFRVFODZ	7)'
	'$$(MPTTBSZPG 5FMFDPNNVOJDBUJPOT5FSNT


5IFQBSUPG UIFSBEJPTQFDUSVNGSPNUPNFHBIFSU[
XIJDIJODMVEFT57$IBOOFMT


UIF'.CSPBEDBTUCBOEBOETPNFNBSJOF
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BOEMBOENPCJMFTFSWJDFT
Glossary 

7JTJPOTUBUFNFOU	$014-BX&OGPSDFNFOU5FDI(VJEF


8SJUUFOCZUIFTUFFSJOHDPNNJUUFF
UIFWJTJPOCSJOHTBUBOHJCMFSFBMJUZUPXIBUUIFBHFODZ

XJMMBEESFTTXJUIUIFOFXTZTUFN

7P*1

7PJDFPWFS*OUFSOFU1SPUPDPM"QSPUPDPMGPSWPJDFUFMFQIPOZPWFSDPNNPOEBUBOFUXPSLT

8J%&/

8JEF*OUFHSBUFE%JHJUBM&OIBODFE/FUXPSL"OFOIBODFEWFSTJPOPG J%&/DPNCJOJOH

GPVSTUBOEBSEDIBOOFMTUPDSFBUFL)[SBEJPDIBOOFMTGPSNPEFSBUFTQFFEEBUB

DPNNVOJDBUJPOT$POTJEFSFEUPCFB(XJSFMFTTTFSWJDFJ%&/JTBUSBEFNBSLPG 

.PUPSPMB
*OD

8JEF"SFB/FUXPSL	8"/


"UFMFDPNNVOJDBUJPOTOFUXPSLDPOOFDUJOHTFQBSBUFMPDBMBSFBOFUXPSLTBOEJOEJWJEVBM

VTFST5IF*OUFSOFUJTDPOTJEFSFEBXJEFBSFBOFUXPSL

8J'J

5IFJOUFSPQFSBCMFTUBOEBSEGPS*&&&XJSFMFTTMPDBMBSFBOFUXPSLJNQMFNFOUBUJPOT

$POGPSNBODFUFTUJOHJTDBSSJFEPVUCZUIF8J'J"MMJBODF
BOJOEVTUSZHSPVQ8J'JJTB

SFHJTUFSFEUSBEFNBSLPG UIF8J'J"MMJBODF

8J."9

5IFJOUFSPQFSBCMFTUBOEBSEGPS*&&&XJSFMFTTNFUSPQPMJUBOBSFBOFUXPSL	."/


JNQMFNFOUBUJPOT$POGPSNBODFUFTUJOHJTDBSSJFEPVUCZUIF8J."9'PSVN
BOJOEVTUSZ

HSPVQ

8JSFMFTT-"/	8-"/
	/5'*(VJEF¦(MPTTBSZPG 5FSNT


"MPDBMBSFBOFUXPSLUIBUVTFTSBEJPGSFRVFODZUFDIOPMPHZUPUSBOTNJUOFUXPSLNFTTBHFT

UISPVHIUIFBJSGPSSFMBUJWFMZTIPSUEJTUBODFT
TVDIBTBDSPTTBOPG2DFCVJMEJOHPSDPMMFHF

DBNQVT"XJSFMFTT-"/DBOTFSWFBTBSFQMBDFNFOUGPSPSFYUFOTJPOUPBXJSFE-"/

8PSLCSFBLEPXOTUSVDUVSF	8#4
	$014-BX&OGPSDFNFOU5FDI(VJEF


"DPNQPOFOUPG UIFTDPQFTUBUFNFOU%JTTFDUJOHTDPQFCZCSFBLJOHJUEPXOJOUPTNBMMFS

FMFNFOUTPSQSPKFDUTQSPEVDFTTQFDJ2DEFMJWFSBCMFTBOEJOEJDBUFTXIPJTSFTQPOTJCMFGPS

FOBDUJOHUIFN5IJTVMUJNBUFMZEF2OFTBDUJWJUJFTBOENJMFTUPOFTPG UIFGVMMQSPKFDUTDPQF

9.-	8PSME8JEF8FC$POTPSUJVN¦8$


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9.-

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UIFXFCBOEFMTFXIFSF
!PPENDIX'

3!&%#/-

)NTEROPERABILITY

#ONTINUUM
!PPENDIX'

3!&%#/-)NTEROPERABILITY

#ONTINUUM

5IFGPMMPXJOHJTQSPWJEFECZUIF64%FQBSUNFOUPG )PNFMBOE4FDVSJUZ	%)4

4DJFODFBOE

5FDIOPMPHZ%JSFDUPSBUF«T0G2DFGPS*OUFSPQFSBCJMJUZBOE$PNQBUJCJMJUZ«T4"'&$0.1SPHSBN

*OUFSPQFSBCJMJUZ$POUJOVVN"UPPMGPSJNQSPWJOHQVCMJDTBGFUZDPNNVOJDBUJPOTBOE

JOUFSPQFSBCJMJUZ

/VERVIEW

5IF*OUFSPQFSBCJMJUZ$POUJOVVNJTEFTJHOFEUPIFMQUIFQVCMJDTBGFUZDPNNVOJUZBOEMPDBM


USJCBM
TUBUF
BOEGFEFSBMQPMJDZNBLFSTBEESFTTDSJUJDBMFMFNFOUTGPSTVDDFTTBTUIFZQMBOBOE

JNQMFNFOUJOUFSPQFSBCJMJUZTPMVUJPOT5IF2WFFMFNFOUTPG UIFDPOUJOVVNBSFUIFGPMMPXJOH

 (PWFSOBODF

 4UBOEBSEPQFSBUJOHQSPDFEVSFT	401T


 5FDIOPMPHZ

 5SBJOJOHBOEFYFSDJTFT

 'SFRVFODZPG VTFPG JOUFSPQFSBCMFDPNNVOJDBUJPOT

5IF*OUFSPQFSBCJMJUZ$POUJOVVNXBTEFWFMPQFEJOBDDPSEBODFXJUIUIF4"'&$0.

1SPHSBN«TMPDBMMZESJWFOQIJMPTPQIZBOEJUTQSBDUJDBMFYQFSJFODFJOXPSLJOHXJUIMPDBM

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PG JOUFSPQFSBCJMJUZBDDPSEJOHUPUIFTUBUFEOFFETBOEDIBMMFOHFTPG UIFQVCMJDTBGFUZ

DPNNVOJUZBOEXJMMBJEQVCMJDTBGFUZQSBDUJUJPOFSTBOEQPMJDZNBLFSTJOUIFJSTIPSUBOE

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$PNNVOJDBUJPOTJOUFSPQFSBCJMJUZSFGFSTUPUIFBCJMJUZPG QVCMJDTBGFUZBHFODJFTUPUBMLBDSPTT

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FYDIBOHJOHWPJDFBOEPSEBUB

XJUIPOFBOPUIFSPOEFNBOE
JOSFBMUJNF
XIFOOFFEFE
BOEBTBVUIPSJ[FE

.BLJOHQSPHSFTTJOBMMBTQFDUTPG JOUFSPQFSBCJMJUZJTFTTFOUJBM
TJODFUIFFMFNFOUTBSF

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QSPHSFTTBMPOH

BMM2WFFMFNFOUTPG UIFDPOUJOVVNNVTUCFDPOTJEFSFEUPHFUIFS'PSFYBNQMF
XIFOBSFHJPO

QSPDVSFTOFXFRVJQNFOU
UIBUSFHJPOTIPVMEQMBOUSBJOJOHBOEDPOEVDUFYFSDJTFTUPNBLFUIF

CFTUVTFPG UIBUFRVJQNFOU
Appendix G 

,EADERSHIP0LANNINGAND#OLLABORATION

*OBEEJUJPOUPQSPHSFTTJPOBMPOHUIF2WFFMFNFOUTPG UIFDPOUJOVVN
SFHJPOTTIPVMEGPDVT

POQMBOOJOH
FEVDBUJPO
BOEPVUSFBDI
BOENBJOUBJOBOBXBSFOFTTPG UIFTQFDJ2DJTTVFT

BOECBSSJFSTUIBUBGGFDUBQBSUJDVMBSBSFB«TNPWFNFOUUPXBSEJODSFBTFEJOUFSPQFSBCJMJUZ'PS

FYBNQMF
NBOZSFHJPOTGBDFEJG2DVMUJFTSFMBUFEUPQPMJUJDBMJTTVFTBOEUIFSFMBUJPOTIJQTXJUIJO

BOEBDSPTTKVSJTEJDUJPOTBOEEJTDJQMJOFT	FH
&.4
'JSF
-BX&OGPSDFNFOU
-FBEFSTIJQDBO

IFMQUPXPSLUISPVHIUIFTFDIBMMFOHJOHJOUFSOBMBOEKVSJTEJDUJPOBMDPO3JDUTBTXFMMBTTFUUIF

TUBHFGPSBSFHJPO«TDPNNJUNFOUUPUIFJOUFSPQFSBCJMJUZFGGPSU"EEJUJPOBMMZ
MFBEFSTNVTUCF

XJMMJOHUPDPNNJUUIFUJNFBOESFTPVSDFTOFDFTTBSZUPFOTVSFUIFTVDDFTTPG BOZJOUFSPQFSBCJMJUZ

FGGPSU'PSFYBNQMF
POHPJOHNBJOUFOBODFBOETVQQPSUPG UIFTZTUFNNVTUCFQMBOOFEGPSBOE

JODPSQPSBUFEJOUPUIFCVEHFU

3USTAINABILITY

$PNNVOJDBUJPOTJOUFSPQFSBCJMJUZJTBOPOHPJOHQSPDFTT
OPUBPOFUJNFJOWFTUNFOU0ODFB

HPWFSOJOHCPEZJTTFUVQ
JUNVTUCFQSFQBSFEUPNFFUPOBSFHVMBSCBTJT
ESBXJOHPOPQFSBUJPOBM

BOEUFDIOJDBMFYQFSUJTFUPQMBOBOECVEHFUGPSDPOUJOVBMVQEBUFTUPTZTUFNT
QSPDFEVSFT
BOE

USBJOJOHBOEFYFSDJTFQSPHSBNT*G SFHJPOTFYQFDU2STUSFTQPOEFSTUPVTFJOUFSPQFSBCMFFRVJQNFOU

POBEBJMZCBTJT
TVQQPSUJOHEPDVNFOUBUJPOBOEUIFJOTUBMMFEUFDIOPMPHZNVTUCFXFMMNBJOUBJOFE

XJUIBMPOHUFSNDPNNJUNFOUUPVQHSBEFTBOEFWFOUVBMSFQMBDFNFOUPG FRVJQNFOU

-BTUMZ
BOJOUFSPQFSBCJMJUZQSPHSBNTIPVMEJODMVEFCPUITIPSUBOEMPOHUFSNTPMVUJPOT&BSMZ

TVDDFTTFTDBOIFMQNPUJWBUFSFHJPOTUPUBDLMFNPSFUJNFDPOTVNJOHBOEEJG2DVMUDIBMMFOHFT*UJT

DSJUJDBM
IPXFWFS
UIBUTIPSUUFSNTPMVUJPOTOPUJOBQQSPQSJBUFMZESJWFUIFQMBOOJOHQSPDFTT
CVU

GVODUJPOJOTVQQPSUPG MPOHFSUFSNJNQSPWFNFOUT

5PESJWFQSPHSFTTBMPOHUIF2WFFMFNFOUTPG UIFDPOUJOVVNBOEJNQSPWFJOUFSPQFSBCJMJUZ


QVCMJDTBGFUZQSBDUJUJPOFSTTIPVMEPCTFSWFUIFGPMMPXJOHQSJODJQMFT

 (BJOMFBEFSTIJQDPNNJUNFOUGSPNBMMEJTDJQMJOFT	&NFSHFODZ.FEJDBM4FSWJDFT	&.4



'JSF
-BX&OGPSDFNFOU


 'PTUFSDPMMBCPSBUJPOBDSPTTEJTDJQMJOFTUISPVHIMFBEFSTIJQTVQQPSU

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 6TFJOUFSPQFSBCJMJUZTPMVUJPOTPOBSFHVMBSCBTJT

 1MBOBOECVEHFUGPSPOHPJOHVQEBUFTUPTZTUFNT
QSPDFEVSFT
BOEEPDVNFOUBUJPO

 &OTVSFDPMMBCPSBUJPOBOEDPPSEJOBUJPOBDSPTTBMMFMFNFOUT	(PWFSOBODF
401T


5FDIOPMPHZ
5SBJOJOH&YFSDJTFT
6TBHF

Interoperability Continuum 

)NTEROPERABILITY#ONTINUUM%LEMENTS

'OVERNANCE

"DPNNPOHPWFSOJOHTUSVDUVSFGPSTPMWJOHJOUFSPQFSBCJMJUZJTTVFTXJMMJNQSPWFUIFQPMJDJFT


QSPDFTTFT
BOEQSPDFEVSFTPG BOZNBKPSQSPKFDUCZFOIBODJOHDPNNVOJDBUJPO
DPPSEJOBUJPO


BOEDPPQFSBUJPO
FTUBCMJTIJOHHVJEFMJOFTBOEQSJODJQMFT
BOESFEVDJOHBOZJOUFSOBMKVSJTEJDUJPOBM

DPO3JDUT5IJTHSPVQTIPVMEDPOTJTUPG MPDBM
USJCBM
TUBUF
BOEGFEFSBMFOUJUJFT
BTXFMMBT

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HPWFSOBODFTUSVDUVSFJTDSJUJDBMUPUIFTVDDFTTPG JOUFSPQFSBCJMJUZQMBOOJOH

*OEJWJEVBM"HFODJFT8PSLJOH*OEFQFOEFOUMZ¦"MBDLPG DPPSEJOBUJPOBNPOH

SFTQPOEJOHPSHBOJ[BUJPOT

*OGPSNBM$PPSEJOBUJPO#FUXFFO"HFODJFT¦-PPTFMJOFMFWFMPSBHFODZBHSFFNFOUTUIBU

QSPWJEFNJOJNBMJODJEFOUJOUFSPQFSBCJMJUZ

,FZ.VMUJEJTDJQMJOF4UBGG $PMMBCPSBUJPOPOB3FHVMBS#BTJT¦"OVNCFSPG BHFODJFTBOE

EJTDJQMJOFTXPSLJOHUPHFUIFSJOBMPDBMBSFBUPQSPNPUFJOUFSPQFSBCJMJUZ

3FHJPOBM$PNNJUUFF8PSLJOHXJUIB4UBUFXJEF*OUFSPQFSBCJMJUZ$PNNJUUFF

¦.VMUJEJTDJQMJOBSZBHFODJFTXPSLJOHUPHFUIFSBDSPTTBSFHJPOQVSTVBOUUPGPSNBMXSJUUFO

BHSFFNFOUTBTEF2OFEXJUIJOUIFMBSHFSTDPQFPG BTUBUFQMBO4VDIBOBSSBOHFNFOUQSPNPUFT

PQUJNBMJOUFSPQFSBCJMJUZ

3TANDARD/PERATING0ROCEDURES

4UBOEBSEPQFSBUJOHQSPDFEVSFTBSFGPSNBMXSJUUFOHVJEFMJOFTPSJOTUSVDUJPOTGPSJODJEFOUSFTQPOTF

401TUZQJDBMMZIBWFCPUIPQFSBUJPOBMBOEUFDIOJDBMDPNQPOFOUT

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+PJOU401TGPS1MBOOFE&WFOUT¦5IFEFWFMPQNFOUPG 401TGPSQMBOOFEFWFOUT5IJTUZQJDBMMZ

SFQSFTFOUTUIF2STUQIBTFBTBHFODJFTCFHJOUPXPSLUPHFUIFSUPEFWFMPQJOUFSPQFSBCJMJUZ

+PJOU401TGPS&NFSHFODJFT¦401TGPSFNFSHFODZMFWFMSFTQPOTFUIBUBSFEFWFMPQFEBT

BHFODJFTDPOUJOVFUPQSPNPUFJOUFSPQFSBCJMJUZ

3FHJPOBM4FUPG $PNNVOJDBUJPOT401T¦3FHJPOXJEFDPNNVOJDBUJPOT401T

GPSNVMUJBHFODZNVMUJEJTDJQMJOFNVMUJIB[BSESFTQPOTFTBOJOUFHSBMTUFQUPXBSE

PQUJNBMJOUFSPQFSBCJMJUZ

/BUJPOBM*ODJEFOU.BOBHFNFOU4ZTUFN*OUFHSBUFE401T¦3FHJPOBM401TNPMEFEUP

DPOGPSNUPUIFFMFNFOUTPG UIF/BUJPOBM*ODJEFOU.BOBHFNFOU4ZTUFN
Appendix G 

5FDIOPMPHZ

"MUIPVHIUFDIOPMPHZJTBDSJUJDBMUPPMGPSJNQSPWJOHJOUFSPQFSBCJMJUZ
JUJTOPUUIFTPMFESJWFS

PG BOPQUJNBMTPMVUJPO4VDDFTTJOFBDIPG UIFPUIFSFMFNFOUTJTFTTFOUJBMUPJUTQSPQFSVTFBOE

JNQMFNFOUBUJPO
BOETIPVMEESJWFUFDIOPMPHZQSPDVSFNFOU

5FDIOPMPHZJTIJHIMZEFQFOEFOUVQPOFYJTUJOHJOGSBTUSVDUVSFXJUIJOBSFHJPO.VMUJQMFUFDIOPMPHZ

TPMVUJPOTNBZCFSFRVJSFEUPTVQQPSUMBSHFFWFOUT

4XBQ3BEJPT¦4XBQQJOHSBEJPT
PSNBJOUBJOJOHBDBDIFPG TUBOECZSBEJPT
JTBOBHFPME

TPMVUJPOUIBUJTUJNFDPOTVNJOH
NBOBHFNFOUJOUFOTJWF
BOENBZPOMZQSPWJEFMJNJUFESFTVMUT

EVFUPDIBOOFMBWBJMBCJMJUZ

(BUFXBZ¦(BUFXBZTSFUSBOTNJUBDSPTTNVMUJQMFGSFRVFODZCBOET
QSPWJEJOHBOJOUFSJN

JOUFSPQFSBCJMJUZTPMVUJPOBTBHFODJFTNPWFUPXBSETIBSFETZTUFNT)PXFWFS
HBUFXBZTBSF

JOFG2DJFOUJOUIBUUIFZSFRVJSFUXJDFBTNVDITQFDUSVNCFDBVTFFBDIQBSUJDJQBUJOHBHFODZNVTU

VTFBUMFBTUPOFDIBOOFMJOFBDICBOEQFSDPNNPOUBMLQBUI
BOECFDBVTFUIFZBSFUBJMPSFEGPS

DPNNVOJDBUJPOTXJUIJOUIFHFPHSBQIJDDPWFSBHFBSFBDPNNPOUPBMMQBSUJDJQBUJOHTZTUFNT

4IBSFE$IBOOFMT¦*OUFSPQFSBCJMJUZJTQSPNPUFEXIFOBHFODJFTTIBSFBDPNNPOGSFRVFODZ

CBOE
BJSJOUFSGBDF	BOBMPHPSEJHJUBM

BOEBSFBCMFUPBHSFFPODPNNPODIBOOFMT)PXFWFS
UIF

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POUIFOVNCFSPG JOEFQFOEFOUJOUFSPQFSBCJMJUZUBMLQBUITBWBJMBCMFJOTPNFCBOET

1SPQSJFUBSZ4IBSFE4ZTUFNTBOE4UBOEBSETCBTFE4IBSFE4ZTUFNT¦3FHJPOBMTIBSFE

TZTUFNTBSFUIFPQUJNBMTPMVUJPOUPJOUFSPQFSBCJMJUZ8IJMFQSPQSJFUBSZTZTUFNTMJNJUUIFVTFS«T

DIPJDFPG QSPEVDUXJUISFHBSEUPNBOVGBDUVSFSBOEDPNQFUJUJWFQSPDVSFNFOU
TUBOEBSETCBTFE

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TQFDJ2DVTFSOFFET8JUIQSPQFSQMBOOJOHPG UIFUBMLHSPVQBSDIJUFDUVSF
JOUFSPQFSBCJMJUZJT

QSPWJEFEBTBCZQSPEVDUPG TZTUFNEFTJHO
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4RAININGAND%XERCISES

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Appendix G 
Interoperability Continuum 
 FOR MORE INFORMATION:

U.S. Department of Justice

Office of Community Oriented Policing Services

1100 Vermont Avenue, N.W.

Washington, DC 20530

To obtain details on COPS programs, call the

COPS Office Response Center at 800.421.6770

Visit COPS Online at www.cops.usdoj.gov