UNCLASSIFIED Chief of the Defence Staff National Defence Headquarters Ottawa, Ontario KI A OK2 Quartler general de la Defense nationale Ottawa (Ontario) K1AOK2 Chef d'etat-major de la Defense..// January 2017 General Lori Robinson Commander North American Aerospace Defence Command & US Northern Command 250:Vandenberg St, Ste. 8106 Peterson AFB, CO, USA 80914-3801 DearGene~nson,,,{""~) I have completed a full review of the 2016 NORAD Terms of Reference (TOR) (enclosed). This primary guidance document is approved for implementation by both the US CJCS and I. The increasing significance of cyberspace activity and cyberspace operations in support of NORAD, in order to protect its networks and mission systems, is reflected in this new version of the TOR. The 2016 TOR also further clarify information sharing requirements and the command relationships, both of which are crucial for mission success. The strength of the bi-national NORAD relationship is essential for the continued security of North America. I thank you and your staff for maintaining a superior operational focus on the defence of North America. Sincerely, J.H. Vance General Enclosure: 1 l+i c.c. Joseph F. Dunford, Jr. General, Chairman of the Joint Chiefs of Staff National Defense Defence nationale UNCLASSIFIED Canada
TERMS OF REFERENCE NORTH AMERICAN AEROSPACE DEFENSE COMMAND (NORAD) As Required by the NORAD AGREEMENT dated 28 April 2006 24 August 2016
Purpose and Authority 1. The North American Aerospace Defense Command (NORAD) was established as a binational command by the governments of Canada and the United States in 1958. The most recent Agreement Between the Government of the United States of America and the Government of Canada on the North American Aerospace Defense Command (NORAD Agreement) was signed on 28 April 2006 and entered into force on 12 May 2006. 2. The purpose of these Terms of Reference (TOR) is to provide guidance from the Chief of the Defence Staff (CDS) of Canada and the Chairman of the Joint Chiefs of Staff (CJCS) of the United States to the Commander, NORAD (CDRNORAD), pursuant to the NORAD Agreement, Article II (Governing Principles), paragraph I. NORAD Missions 3. CDRNORAD, or Deputy CDRNORAD (DCDRNORAD), in CDRNORAD's absence, will be responsible to the Government of Canada, through the CDS, and to the Government of the United States, communicating through the CJCS, for the execution of missions assigned to NORAD. CDRNORAD and DCDRNORAD will each remain subject to their respective national laws, policies, and directives. 4. The NORAD Agreement establishes three primary missions for NORAD: a. Aerospace warning for North America; b. Aerospace control for North America; and c. Maritime warning for North America. 5. In the context of NORAD's missions, "North America" means Alaska, Canada, the continental United States (CONUS), Puerto Rico and the U.S. Virgin Islands, including the Air Defense Identification Zones, the air approaches, maritime areas, internal navigable waterways, and the maritime approaches thereto. The responsibility for aerospace warning, aerospace control, and maritime warning of U.S. territory outside this definition of North America (e.g., Hawaii and Guam) lies with the appropriate U.S. Combatant Commander. Aerospace Warning for North America 6. As stated in the NORAD Agreement, "'[a]erospace warning' consists of processing, assessing, and disseminating intelligence and information related to manmade objects in the aerospace domain and the detection, validation. and warning of attack against North America whether by aircraft, missiles or space vehicles, utilizing mutual support arrangements with other commands and agencies. An integral part of aerospace warning shall continue to entail monitoring of global aerospace activities and 2
related developments. NORAD's aerospace warning mission for North America shall include aerospace warning, as defined in this paragraph, in support of United States national commands responsible for missile defense." 7. Aerospace warning includes binational capabilities for awareness of the aerospace domain and aerospace attack. Binational awareness of the aerospace domain means having an effective understanding, through persistent surveillance, of anything in the aerospace domain that could adversely affect the security of North America or the safety of its citizens. 8. Binational awareness of the aerospace domain also includes air and space situational awareness. This requires the gathering of information on aerospace developments worldwide, including that gained through the intelligence, surveillance, and reconnaissance capabilities of Canada and the United States. NORAD will integrate, fuse, and display this information on a common binational operating picture. NORAD will share this operating picture with its subordinate organizations and the national military command centers of Canada and the United States as well as with Canadian Joint Operations Command (CJOC}, U.S. Northern Command (USNORTHCOM), and other commands and departments and agencies as required. Such information sharing supports the requirement in the NORAD Agreement that "[a]rrangements shall be maintained to ensure effective sharing, between the Parties, of information and intelligence relevant to the NORAD missions". 9. Binational aerospace warning requires having the capability to validate, characterize, assess, and warn the governments of Canada and the United States of any aerospace event that threatens or has the potential to threaten North America. Aerospace Control for North America 10. Consistent with the NORAD Agreement, "aerospace control" consists of providing surveillance and exercising operational control (OPCON) of forces assigned, attached, or otherwise made available to NORAD within the airspace of North America. OPCON is the authority to direct, coordinate, and control the operational activities of such forces, including the conduct of cross-border operations. The authority of NORAD under the NORAD Agreement does not supersede or alter in any other way the authority of any department or agency of the governments of Canada or the United States under their respective domestic laws. This includes, but is not limited to, the authorities of the Federal Aviation Administration (FAA) of the United States, the Department of Transport of Canada (Transport Canada), or NAV CANADA for managing the navigable airspace of Canada and the United States and providing air navigation services in other airspace in which Canada and the United States, respectively, have accepted responsibility for providing such services under international arrangements. Where necessary for the defense of North America, NORAD's responsibility for aerospace control, as defined above, extends to the approaches to the airspace of Canada and those portions of the United States included within the definition of North America in paragraph 5 of these Terms of Reference. 3
11. Aerospace control involves a continuum of combined air operations that includes air sovereignty operations aimed at controlling access to and activities approaching or within the sovereign airspace of North America. It also involves air defense operations aimed at defending against air attack. Conducting these operations effectively requires a range of surveillance and command and control (C2) capabilities that enable the detection, tracking, interception, identification, monitoring, shadowing, and destruction of manned or unmanned airborne objects (e.g., aircraft, cruise missiles, unmanned aircraft systems (UASs)) operating in that airspace. 12. In the context of aerospace control, a track of interest approaching or operating in North American airspace is inherently a defense matter, and it is NORAD's responsibility to investigate and characterize its intent. NORAD will monitor and, if lawful and appropriate, take action against all unwanted and unauthorized activity approaching or operating within the airspace over North America. NORAD will coordinate closely with other appropriate departments and agencies within the governments of Canada and the United States on the response to a track of interest, particularly when an aircraft must be diverted. In addition, CJOC and USNORTHCOM may have specific equities in the air domain that are separate from NORAD responsibilities. In this case, they will coordinate with the appropriate departments and agencies as specified by their respective chains of command. Maritime Warning for North America 13. As stated in the NORAD Agreement, "'Maritime warning' consists of processing, assessing, and disseminating intelligence and information related to the respective maritime areas and internal waterways of, and the maritime approaches to, the United States and Canada, and warning of maritime threats to, or attacks against North America utilizing mutual support arrangements with other commands and agencies, to enable identification, validation, and response by national commands and agencies responsible for maritime defense and security. Through these tasks NORAD shall develop a comprehensive shared understanding of maritime activities to better identify potential maritime threats to North American security. Maritime surveillance and control shall continue to be exercised by national commands and, as appropriate, coordinated bilaterally." To accomplish this mission, NORAD will: a. Participate in the overall maritime information-sharing network. Using existing support arrangements, formalize existing data-sharing relationships; identify and address information-/intelligence-sharing seams, gaps, and barriers; and/or develop new mutual support arrangements to facilitate sharing information with appropriate departments and agencies to improve maritime domain awareness. b. Develop a comprehensive shared understanding of maritime activities. Process and disseminate intelligence data and information, operational information, and situational awareness, enabling the validation, characterization, and assessment of an attack or potential attack against North America by 4
traditional or asymmetric maritime threats, consistent with the NORAD Agreement. c. Communicate maritime warnings to the governments of Canada and the United States for response by the appropriate national commands and/or departments and agencies. 14. As used in the NORAD Agreement and consistent with the North Atlantic Treaty Organization definition, "processing" refers to the collation, evaluation, analysis, integration, and interpretation of information into intelligence. Achieving binational awareness of the maritime domain requires the gathering of information through the national capabilities of Canada and the United States on maritime developments worldwide. NORAD will integrate, display, and share this operating picture within the overall maritime information-sharing network. NORAD will not duplicate Maritime Domain Awareness initiatives already underway in Canada and the United States and will strive to use existing systems, policies, procedures, structures, and personnel to accomplish the maritime warning mission. Integrated Tactical Warni ng and Attack Assessment (ITW/AA) for Aerospace Warning and Aerospace Control 15. Integrated Tactical Warning (ITW) is defined as warning after initiation of a strategic or tactical aerospace threat event based on an evaluation of information from all available sources. Attack assessment (AA) is defined as an evaluation of information to determine the potential or actual nature and objectives of an aerospace attack for the purpose of providing information for timely decisions. ITW/AA methodology involves the validation, characterization, and assessment of hostile military events to provide accurate, timely, and unambiguous warning of aerospace attack to decision makers who must decide how to respond to such events. 16. CDRNORAD, or a designated representative, will provide an assessment of an aerospace attack or potential aerospace attack against North America from missile, air, and space objects using ITW/AA methodology and ITW/AA-certified systems. The NORAD aerospace warning mission is currently supported by ITW/AA-certified systems that include Atmospheric Surveillance and Warning Systems; Ballistic Missile and Space Attack Surveillance and Warning Systems; Nuclear Detonation Detection Systems; and Command, Control, Communications, and Intelligence Systems. The C2 architecture will be detailed in NORAD plans, which will be approved by appropriate national authorities. Support to ITW/AA 17. ITW/AA of an aerospace attack on North America will be accomplished as follows: NORAD, as a supported command, will correlate and integrate relevant information. Space surveillance, nuclear detonation detection, and ballistic missile warning information will be provided by U.S. Strategic Command (USSTRATCOM) for 5
NORAD to execute its aerospace warning mission for North America. Commander, USSTRATCOM (CDRUSSTRATCOM), as a supporting commander, will retain U.S. defined OPCON over USSTRA TC OM-assigned Ballistic Missile and Space Attack Surveillance and Warning Systems, Nuclear Detonation Detection Systems, and Command, Control, Communications, and Intelligence Systems. CDRNORAD will establish operational support requirements and priorities for NORAD-assigned missions and submit them to CDRUSSTRATCOM for sensor management. CDRUSSTRATCOM will use this list as the basis for supporting CDRNORAD missions and will consult with CDRNORAD should fulfillment of those support requirements and collection priorities be in question. Information and Intelligence Sharing 18. NORAD aerospace warning, aerospace control, and maritime warning missions require effective information and intelligence sharing by many organizations and departments and agencies within Canada and the United States. A "need to share" philosophy facilitates the effective execution of these NORAD missions on behalf of the governments of Canada and the United States. Under these TOR, CDRNORAD has the authority to direct the processing, disseminating, and sharing of information and intelligence relevant to NORAD missions, subject to respective national laws, policies, and directives. NORAD will document critical information-sharing requirements, processes, and products with national military command centers, USNORTHCOM, CJOC, and NORAD regions to enable all centers and regions to build and sustain situational awareness capabilities. Further, each center and region will document and exchange their information-sharing requirements and methods of sharing operational information. lnteragency Cooperation 19. The effective execution of the NORAD aerospace warning, aerospace control, and maritime warning missions requires significant cooperation with departments and agencies outside the Department of National Defence in Canada and the U.S. Department of Defense. NORAD is authorized direct liaison with these departments and agencies to solicit and share information, while keeping appropriate national commands and authorities informed. Information Sharing Between Strategic Commands 20. NORAD is supported by CJOC, USNORTHCOM, U.S. Pacific Command (USPACOM), U.S. Southern Command (USSOUTHCOM), U.S. European Command (USEUCOM), U.S. Africa Command (USAFRICOM), and USSTRATCOM in the conduct of its assigned missions. NORAD's maritime warning mission supports CJOC, USNORTHCOM, USPACOM, USSOUTHCOM, USEUCOM, USAFRICOM, and USSTRATCOM in their assigned national missions. Close cooperation, liaison, and intelligence and information sharing among these commands will ensure the ability of our armed forces to act-in a timely and coordinated fashion-to deter, identify, disrupt, 6
and defeat threats to Canada and the United States. If necessary to accomplish the maritime warning mission, NORAD may request surveillance or reconnaissance effects from supporting commands. NORAD will provide binational situational awareness of the aerospace and maritime domains to CJOC, USNORTHCOM, USPACOM, USSOUTHCOM, USEUCOM. USAFRICOM, and USSTRATCOM. NORAD Organization 21. There is a distinct and identifiable NORAD Headquarters consisting of CDRNORAD, DCDRNORAD. and appropriate staff elements located in Colorado Springs, Colorado. 22. Subordinate NORAD organizations include the Canadian NORAD Region, the CONUS NORAD Region. and the Alaskan NORAD Region. 23. The NORAD-USNORTHCOM Current Operations Center (N2C2) is the primary correlation center of the ITW/AA system. The N2C2 is directly responsible to CDRNORAD (through DCDRNORAD) on NORAD matters, including the day-to-day operation of the ITW/AA system. The N2C2 provides warning of ballistic missile and air attacks against North America, and serves as the focal point for aerospace control operations. The N2C2 is responsible for the NORAD maritime warning mission. Headquarters, NORAD-USNORTHCOM, maintains a fully functioning N2C2 backup facility and capability in Cheyenne Mountain. 24. The Joint Intelligence Operations Center-North, in coordination with NORAD regional intelligence staffs and in conjunction with the NORAD staff, conducts intelligence activities that support NORAD mission execution. 25. Canada and the United States will assign personnel to each of the organizations identified in paragraphs 21 through 24. Other commands and centers providing support to NORAD missions may include NORAD personnel, as appropriate. to perform duties in support of NORAD missions. NORAD personnel may be called upon to perform duties related to NORAD missions in support of a national command. CDRNORAD will coordinate with appropriate officials of Canada and the United States on approving NORAD personnel to perform duties that are beyond those related to NORAD missions. 26. The NORAD-USNORTHCOM Joint Cyber Center (JCC) provides CDRNORAD with focused situational awareness, indications and warning of cyberspace activity, and planning for cyberspace operations in support of NORAD. The JCC is also responsible for the planning and execution of Defensive Cyberspace Operations Internal Defensive Measures (DCO-IDM) on NORAD-operated networks and mission systems. In coordination with U.S. Cyber Command (via USSTRATCOM), the U.S. Department of Homeland Security, CJOC, Canadian Forces Information Operations Group, the Department of Public Safety and Emergency Preparedness of Canada, and other Canadian and U.S. Government departments, agencies, Regions, and Sectors, the JCC 7
provides timely and accurate assessments of the cyberspace activities in support of the NORAD missions. 27. All NORAD personnel will be listed on the appropriate NORAD Joint Table of Distribution. 28. CDRNORAD will: CDRNORAD Responsibilities and Authority a. Execute command missions, responsibilities, and functions outlined in the NORAD Agreement, Basic Defense Document, and these Terms of Reference. b. Develop and submit plans consistent with the national policies of Canada and the United States for steady-state activities and the deployment and operational use of all forces made available to NORAD for approval as specified by the CDS and the Secretary of Defense. These plans will be coordinated with the appropriate commanders not under CDRNORAD OPCON. c. Coordinate with appropriate Canadian and U.S. civilian authorities on matters related to NORAD missions through the appropriate channels. d. Exercise OPCON, as defined in the NORAD Agreement, of forces assigned, attached, or otherwise made available to NORAD through appropriate national authorities. These authorities may place restrictions on the deployment of these additional forces to prevent conflict with other missions. CDRNORAD will exercise OPCON of these forces, as defined in the NORAD Agreement, at the discretion of the CDS or Secretary of Defense, as appropriate. e. Develop and submit recommendations concerning present and proposed concepts, capabilities, and force structure requirements to support NORAD missions to the CDS and CJCS. Articulate NORAD's capability requirements to the appropriate force development communities in both countries. f. With the approval of the CDS and Secretary of Defense, determine and announce NORAD Defense Readiness Conditions to the appropriate Canadian and U.S. military and civil defense authorities. g. Plan and conduct aerospace warning and aerospace control exercises that include all forces made available to NORAD. For forces over which NORAD does not have OPCON, such exercises will be coordinated with commanders having OPCON of those forces. When appropriate, such exercises should be coordinated with adjacent commanders. Additionally, NORAD will coordinate with other commands and departments and agencies to exercise its maritime warning mission in conjunction with their exercises. 8
h. In accordance with NORAD directives, conduct evaluations of forces assigned, attached, or otherwise made available to NORAD to ensure operational readiness. Commanders of these forces, which are available or may be made available to CDRNORAD, will coordinate with NORAD to ensure readiness of their forces to support NORAD's missions. Report NORAD's readiness to meet both current and evolving threats to the CDS and CJCS. i. Coordinate operations with other Canadian and U.S. component commanders, and civilian department/agency heads as required. j. Integrate information operations (10) into NORAD operations on an ongoing basis to achieve and maintain information superiority while enhancing deterrence. NORAD will plan, coordinate, and direct 10 in accordance with each nation's respective 10 doctrine. NORAD headquarters and regions will deconflict 10 plans through mutually agreed processes to achieve maximum effect and mitigate the risk of jeopardizing each nation's operations and capabilities. 10 activities will primarily be defensive in nature; however, in consultation with applicable national authorities, actions can be directed to safeguard NORAD's freedom of action in the information environment to support the achievement of the NORAD mission. k. Direct DCO-IDM on NORAD operated networks and mission systems. Maintain awareness of current and emerging cyberspace threats and the means to protect NORAD systems to meet mission requirements. Develop agreements and processes with supporting commands and departments and agencies to analyze, characterize, assess, and share more effectively the effects of cyberspace events on NORAD operations and the steps taken to defend NORAD networks and mission systems on which NORAD depends against cyberspace attacks. I. Ensure that cyber considerations are incorporated into the planning and execution of NORAD missions to achieve mission assurance while enhancing deterrence. NORAD will plan and coordinate cyber operations in support of its missions as delineated in each nation's cyber doctrine. In order to do so, NORAD will seek support from appropriate supporting commands and departments and agencies. m. Ensure the integrity of the ITW/AA systems by working in conjunction with CDRUSSTRATCOM as co-approval authority for proposed ITW/AA system configuration changes affecting NORAD's missions. n. Produce a semiannual NORAD Intelligence Estimate. The estimate will inform operational, resource, readiness, and capability planning. 9
29. CDRNORAD is authorized direct communication with the CDS; CJCS; the Secretary of Defense; Commanders of CJOC, USNORTHCOM, USPACOM, USSTRATCOM, USSOUTHCOM, USEUCOM, and USAFRICOM; each nation's Service Chiefs; and other commanders on matters of Canadian and U.S. interest and single-service matters relative to NORAD's missions. This includes requests to appropriate departments and agencies to expedite the release of classified information to facilitate the accomplishment of NORAD's missions. DCDRNORAD Responsibilities and Authority 30. The DCDRNORAD is the second in command of NORAD. During a temporary absence of CDRNORAD (out of the local area), operational responsibility will pass to DCDRNORAD. During a vacancy of CDRNORAD, or in the case of CDRNORAD's incapacity, command will pass to DCDRNORAD. 31. Upon assumption of command by DCDRNORAD, the senior ranking officer assigned to Headquarters NORAD, not from the same nation as the acting CDRNORAD, will assume the responsibilities of the DCDRNORAD until a permanent DCDRNORAD is appointed by a competent authority. NORAD Region Commanders' Responsibilities and Authority 32. NORAD Region Commanders will: a. Exercise CDRNORAD delegated OPCON, as defined in the NORAD Agreement, over all NORAD forces in their respective regions. b. Serve as advisors to CDRNORAD on matters pertaining to their regions. c. Coordinate on matters of mutual interest, and refer matters of disagreement to DCDRNORAD for resolution. d. Advise NORAD Headquarters of changes to the operational readiness status of assigned forces. e. Staff packages to NORAD Headquarters that deal with operational, policy, or resource issues that affect more than a single region. 33. During a vacancy of CDRNORAD and DCDRNORAD, or in the case of incapacity of both CDRNORAD and DCDRNORAD, command will pass in rank order succession to the NORAD Region Commanders. Order of succession will be specified in NORAD Headquarters Instructions consistent with these TOR. 10
Entry into Force, Duration, and Amendment 34. These TOR will enter into force when signed by the CDS and CJCS. The Canada-United States Military Cooperation Committee (MCC) will review and update the TOR at least every 4 years or at the request of CDRNORAD or the appropriate national authorities. Recommended changes should be submitted to the MCC and must be in consonance with the principles set forth in the NORAD Agreement. 35. These TOR supersede all previous NORAD TOR. Jonathan H. Vance General Chief of the Defence Staff Canada Date: /<~,//Ioseph F. Dunford, Jr. General, U.S. Marine Corps Chairman of the Joint Chiefs of Staff United States Date: SEP 2 7 20I --- -'------ 11