7.6.4. Spectrum Supportability Risk Assessments (SSRAs), Certification of Spectrum Support, Authorizations to Operate, and Electromagnetic Environmental Effects (E3) Control Summaries
7.6.4.1. Spectrum Supportability Risk Assessments (SSRAs)
7.6.4.2. U.S. Government (USG) and Host Nation (HN) Certification of Spectrum Support
7.6.4.2.1. U.S. Government (USG) Certification of Spectrum Support
7.6.4.2.2. Host Nation (HN) Certification of Spectrum Support
7.6.4.3. Authorization to Operate (Frequency Assignment)
7.6.4.4. E3 Control (DoD Directive 3222.3)
7.6.4.4.1. Objective for E3 Control
7.6.4.4.2. Impacts When E3 Control Is Not Considered
7.6.4.5. Additional Resources
7.6.5. Definitions
7.6.4.1. Spectrum Supportability Risk Assessments (SSRAs)
Spectrum-dependent system developers shall identify and mitigate regulatory, technical, and operational spectrum supportability risks using suggested tasks in Table 7.6.4.1.T1. DoD Components' spectrum-dependent system developers shall increase the detail of these risk assessments as the S-D systems design matures.
Spectrum-dependent system developers shall assess the risk for harmful interference with other spectrum-dependent systems and/or harmful radiation-related effects. At a minimum, electromagnetic interference (EMI) and electromagnetic compatibility (EMC) assessments shall be made.
Spectrum-dependent system developers shall manage spectrum supportability risks with other developmental risks through systems engineering processes.
Spectrum-dependent system developers are encouraged to initiate the SSRA in order to help identify regulatory, technical, and operational risks while completing the appropriate stage of certification of spectrum support.
Complex "family of systems" or "system-of-systems" may require more than one SSRA.
Table 7.6.4.1.T1. SSRA Suggested Tasks (from DoDI 4650.01)
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Regulatory
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Initial Regulatory Spectrum Supportability Risk Assessment (SSRA) Tasks
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- Determine countries for likely operational deployment within each Combatant Commander area of responsibility.
- Determine the internationally recognized radio service of all spectrum-dependent sub-systems.
- Identify portions of the system's tuning range supported by each host nation's (HN's) table of frequency allocation.
- Determine the relative regulatory status, for example, co-primary or secondary, assigned to the radio service by the HN's table of frequency allocations.
- Obtain international comments on U.S. military systems of the same radio service and with similar technical characteristics submitted for HN spectrum certification (available via the DoD Host-Nation Spectrum Worldwide Database Online).
- Identify other U.S. military, U.S. civil, and non-U.S. co-band and adjacent-band and harmonically-related systems likely to be co-site or in close proximity by querying DoD system databases or the appropriate National Telecommunications and Information Administration (NTIA) database.
- Identify risks and develop recommendations for mitigation of regulatory issues.
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Detailed Regulatory SSRA Tasks
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- Address Military Communications-Electronics Board (MCEB), NTIA and other guidance resulting from the certification of spectrum support process.
- Consult with the DoD Component spectrum management office regarding changes to U.S. Federal or civil telecommunication regulations impacting the system's frequency bands.
- Determine if the system meets appropriate military, U.S. national, and international spectrum standards for radiated bandwidth and transmitter characteristics.
- Quantify the impacts of any changes to U.S. Government or international spectrum regulations or technical sharing criteria.
- Identify risks and develop recommendations for mitigation of regulatory issues.
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Updated Regulatory SSRA Tasks
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- Address MCEB, NTIA and other guidance resulting from the certification of spectrum support process.
- Consult with the DoD Component spectrum management office regarding changes to U.S. Federal or civil telecommunication regulations impacting the system's frequency bands.
- Identify risks and develop recommendations for mitigation of regulatory issues.
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Technical
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Initial Technical SSRA Tasks
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- Determine candidate technologies and their technical parameters:
- Application: fixed, transportable, mobile
- Host platform (dismounted soldier, airborne, tactical operations center, etc.)
- Frequency range of operation
- Required data throughput
- Receiver selectivity
- Receiver criteria required for desired operation
- Required radiated bandwidth
- Transmitter power output
- Antenna performance characteristics
- Anticipated HNs for deployment
- Perform an initial electromagnetic compatibility (EMC) analysis to identify electromagnetic interactions that require further study. The analysis should use, as a minimum, technical parameters for the candidate system and the technical parameters of spectrum-dependent systems expected to be in the candidate's operational environment.
- Evaluate the initial system parameters with respect to U.S. and appropriate international spectrum standards; develop plans to address non-compliant systems.
- Identify risks and develop recommendations for mitigation of technical issues.
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Detailed Technical SSRA Tasks
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- Evaluate systems performance and effect on other spectrum-dependent system that operates co-frequency or adjacent frequency expected to be found in the intended operational environment.
- Determine the acceptable received interference level between the system being analyzed and other spectrum-dependent systems to ensure neither is significantly degraded and that coexistence is feasible.
- Use measured performance of the system's receiver, transmitter, antenna, and appropriate propagation models whenever feasible.
- Use propagation models developed specifically for mobile communications systems to determine potential link degradation and blockage due to atmospheric conditions or terrain and building obstructions within intended deployments areas.
- Consider overall system performance to include link availability with and without interference, while taking into account the effects of the environment (e.g., considering path loss, rain attenuation, humidity, climate, temperature, and water and oxygen absorption).
- For non-communications systems (radar, passive sensors, etc.), determine the appropriate operational degradation as a function of the level of received environmental and co-site interference.
- Quantify intra-platform EMC among co-sited emitters and receivers for complex "system-of-systems" platforms in terms of the possibility and influence of:
- Inter-modulation
- Transmitter Harmonic Interference
- Transmitter Spurious Output Interference
- Transmitter Noise Interference
- Receiver Desensitization Interference
- Compare the measured system parameters with U.S. national and appropriate international spectrum standards.
- Generate technical recommendations regarding mitigating potential interference by implementing channelization plans, advanced narrow-beam antennas, (active, spot and contoured-beam, etc.), as well as use of passive radio frequency components (filters, diplexers, couplers, etc.).
- Identify risks and develop recommendations for mitigation of technical issues.
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Updated Technical SSRA Tasks
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- Quantify impact of changes to the operational "signals-in-space" radio frequency parameters to co-site EMC and E3.
- Identify risks and develop recommendations for mitigation of technical issues.
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Operational
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Initial Operational SSRA Tasks
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- Determine the expected complement of spectrum-dependent systems anticipated to be in the systems operating environment. The system should operate without experiencing or causing interference as part of the DoD response to conventional and non-conventional (disaster relief) missions.
- Perform a more extensive EMC analysis quantifying the potential interference between the candidate system and the spectrum-dependent systems used by other DoD unit’s in the operational environment. Express the results in operational terms, e.g., the frequency-distance separation requirements between a transmitter and a receiver that must be maintained to achieve compatibility.
- Identify risks and develop recommendations for mitigation of technical issues.
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Updated Operational SSRA Tasks
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- Refine the expected complement of spectrum-dependent systems anticipated to be in the systems operating environments.
- Refine the EMC analysis quantifying the mutual interference between the candidate system and the spectrum-dependent systems used by other DoD unit’s in the operational environment.
- Identify risks and develop recommendations for mitigation of technical issues.
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7.6.4.2. U.S. Government (USG) and Host Nation (HN) Certification of Spectrum Support
7.6.4.2.1. U.S. Government (USG) Certification of Spectrum Support
Certification of spectrum support shall be obtained as required National Telecommunications and Information Administration (NTIA) "Manual of Regulations and Procedures for Federal Radio Frequency Management" prior to authorization to operate for experimental testing (Stage 2), developmental testing (Stage 3), or operations (Stage 4) of spectrum-dependent systems. (See Chapter 10 of NTIA "Manual of Regulations and Procedures for Federal Radio Frequency Management" for descriptions of the Stages of Certification.)
PMs shall request certification of spectrum support via the appropriate Service Frequency Management Office using procedures in Chapter 10 of NTIA "Manual of Regulations and Procedures for Federal Radio Frequency Management."
Additionally, as required by OMB Circular A-11, Section 31.12 (see section 7.6.2.3 ), this certification must be completed prior to submission of cost estimates for development or procurement of major spectrum-dependent systems and for all space and satellite systems.
Additional coordination is required for satellite systems per NTIA "Manual of Regulations and Procedures for Federal Radio Frequency Management". Information required for requesting either an exemption from the International Telecommunication Union registration or advanced publication, coordination, and notification of a particular space system must be submitted to the NTIA.
7.6.4.2.2. Host Nation (HN) Certification of Spectrum Support
DoD Components shall request HN certification of spectrum support for spectrum-dependent systems using procedures established in Combatant Commander agreements with HNs and by the Military Communications-Electronics Board. Requirements for certification vary by HN. PMs should contact their appropriate Service Frequency Management Office for details on process and procedures.
7.6.4.3. Authorization to Operate (Frequency Assignment)
Frequency assignments are issued by designated authorities of sovereign nations, such as telecommunications agencies within foreign countries, and the National Telecommunications and Information Administration (NTIA) for the U.S. and its Possessions. Under certain conditions, other designated authorities, such as DoD Area Frequency Coordinators or Unified and Specified Commanders may grant frequency assignments. Equipment that has not been previously granted some level of certification of spectrum support will not normally receive a frequency assignment. Procedures for obtaining frequency assignments, once the equipment, sub-system, or equipment has become operational, are delineated in regulations issued by the Regional and Functional Commands and/or Military Services.
In most cases, the operational frequency assignments are requested and received as a program is being fielded. However, if the PM has implemented guidance received in response to requests for certification of spectrum support and designed the system as described in the performance data provided, system operators have not historically encountered problems in obtaining operational frequency assignments.
Spectrum congestion, competing systems, and interoperability, all can contribute to encountering some operational limitations, such as geographical restrictions or limitations to transmitted power, antenna height and gain, bandwidth or total number of frequencies made available, etc. Certification to operate in a particular frequency band does not guarantee that the requested frequency(ies) will be available to satisfy the system's operational spectrum requirements over its life cycle.
7.6.4.4. Electromagnetic Environmental Effects (E3) Control (DoD Directive 3222.3)
7.6.4.4.1. Objective for E3 Control
The objective of establishing E3 control requirements in the acquisition process is to ensure that DoD equipment, subsystems, and systems are designed to be self-compatible and operate compatibly in the operational EM environment. To be effective, the PM should establish E3 control requirements early in the acquisition process to ensure compatibility with co-located equipment, subsystems, and equipment, and with the applicable external EM environment.
7.6.4.4.2. Impacts When E3 Control Is Not Considered
It is critical that all electrical and electronic equipment be designed to be fully compatible in the intended operational EM environment. The DoD has experience spectrum-dependent with items developed without adequately addressing E3 which resulted in poor performance, disrupted communications, reduced radar range, and loss of control of guided weapons. Failure to consider E3 can result in mission failure, damage to high-value assets, and loss of human life. Compounding the problem, there is increased competition for the use of the spectrum by DoD, non-DoD Government, and civilian sector users; and many portions of the EM spectrum are already congested with spectrum-dependent systems. Additionally, new spectrum-dependent platforms/systems and subsystems/equipment are technologically complex, highly sensitive, and often operate at higher power levels. All of these factors underscore the importance of addressing E3 control requirements early in the acquisition process.
7.6.4.5. Additional Resources
Defense Spectrum Organization (DSO) enables information dominance through effective spectrum operations; including EM battlespace planning, deconfliction, and joint spectrum interference resolution. DSO develops and implements spectrum management capabilities to enhance efficiency and effectiveness, and pursues emerging spectrum technologies. DSO advocates for current and future military spectrum requirements in national and international forums to protect DoD global operations.
A valuable source of spectrum and E3 compliance information, including current events, videos and links to related sites is found on the Acquisition Community Connection site at: https://acc.dau.mil/sc.
7.6.5. Definitions
Key terms pertaining to spectrum supportability and electromagnetic compatibility (EMC) processes are defined below.
Electromagnetic Compatibility (EMC). Defined in Joint Publication 1-02 as: The ability of systems, equipment, and devices that use the EM spectrum to operate in their intended operational environments without causing or suffering unacceptable or unintentional degradation because of EM radiation or response. It involves the application of sound EM spectrum management; system, equipment, and device design configuration that ensures interference-free operation; and clear concepts and doctrines that maximize operational effectiveness.
Electromagnetic Environment (EME). Defined in Joint Publication 1-02 as: The resulting product of the power and time distribution, in various frequency ranges, of the radiated or conducted electromagnetic emission levels encountered by a military force, system, or platform when performing it’s assigned mission in its intended operational environment. It is the sum of electromagnetic interference; electromagnetic pulse; hazards of electromagnetic radiation to personnel, ordnance, and volatile materials; and natural phenomena effects of lightning and precipitation static.
Electromagnetic Environmental Effects (E3). Defined in Joint Publication 1-02 as: The impact of the electromagnetic environment upon the operational capability of military forces, equipment, systems, and platforms. It encompasses all electromagnetic disciplines, including electromagnetic compatibility and electromagnetic interference; electromagnetic vulnerability; electromagnetic pulse; electronic protection, hazards of electromagnetic radiation to personnel, ordnance, and volatile materials; and natural phenomena effects of lightning and precipitation static.
Electromagnetic (EM) Spectrum. Defined in Joint Publication 1-02 as: The range of frequencies of EM radiation from zero to infinity. It is divided into 26 alphabetically designated bands. The terms "electromagnetic spectrum" and "spectrum" shall be synonymous.
Host Nations (HNs). Defined in Joint Publication 1-02 as: A nation which receives the forces and/or supplies of allied nations and/or NATO organizations to be located on, to operate in, or to transit through its territory.
Net-Centric. Defined in DoDI 8320.02 as: Relating to, or representing the attributes of net-centricity. Net-centricity is a robust, globally interconnected network environment (including infrastructure, systems, processes and people) in which data is shared timely and seamlessly among users, applications and platforms. Net-centricity enables substantially improved military situational awareness and significantly shortened decision making cycles. Net-Centric capabilities enable network-centric operations and network-centric warfare (NCW).
Spectrum Management. Defined in Joint Publication 1-02 as: Planning, coordinating, and managing joint use of the electromagnetic spectrum through operational, engineering, and administrative procedures. The objective of spectrum management is to enable electronic systems to perform their functions in the intended environment without causing or suffering unacceptable interference.
Spectrum-Dependent Systems. Defined in DoDI 4650.01 as: All electronic systems, subsystems, devices, and/or equipment that depend on the use of the spectrum to properly accomplish their function(s) without regard to how they were acquired (full acquisition, rapid acquisition, Joint Concept Technology Demonstration, etc.) or procured (commercial off-the-shelf, government off-the-shelf, non-developmental items, etc.).
Spectrum Supportability Risk Assessment (SSRA). Defined in DoDI 4650.01 as: Risk assessment performed by DoD Components for all spectrum-dependent systems to identify risks as early as possible and affect design and procurement decisions. These risks are reviewed at acquisition milestones and are managed throughout the system's life cycle.
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