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7.6.3. Spectrum Management and E3 in the Acquisition Life Cycle

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DEFENSE ACQUISITION GUIDEBOOK
Chapter 7 - Acquiring Information Technology

7.6.3. Spectrum Supportability and E3 in the Acquisition Life Cycle

7.6.3.1. Before Milestone A

7.6.3.2. Before Milestone B (or before the first Milestone that authorizes contract award)

7.6.3.3. Before Milestone C

7.6.3.4. After Milestone C

7.6.3.5. Spectrum Supportability and E3 Control Requirements in the Joint Capabilities Integration and Development System

7.6.3.6. Spectrum and E3 Control Requirements in the Information Support Plan (ISP)

7.6.3.7. Spectrum Supportability and E3 Control Requirements in the Test and Evaluation Master Plan (TEMP)

7.6.3.8. Spectrum and E3 Control Requirements in Performance Specifications

7.6.3.9. Spectrum and E3 Control Requirements in the Statement of Work (SOW)

7.6.3.10. Spectrum and E3 Control Requirements in the Contract Data Requirements List (CDRL)

7.6.3. Spectrum Supportability and E3 in the Acquisition Life Cycle

PMs shall take the following actions to mitigate spectrum-related risks for spectrum-dependent equipment, and minimize the E3 on all military forces, equipment, systems, and platforms (both non- and spectrum-dependent). Consideration of these critical elements throughout the acquisition process will help to ensure successful delivery of capability to the warfighter.

The PM shall include the funding to cover Spectrum Supportability Risk Assessments (SSRAs), required certification processes, and control of E3 as part of the overall program budget. Section 7.6.4.1 addresses SSRAs; Section 7.6.4.4 addresses E3.

7.6.3.1. Before Milestone A

Develop initial spectrum supportability and E3 control requirements for the materiel solutions being considered.

Perform initial regulatory SSRA to identify and refine spectrum issues. See Section 7.6.4.1 for details.

For systems that will be operated in the U.S. and its possessions, complete a Stage 1 (Conceptual) Certification of Spectrum Support through the National Telecommunications and Information Administration (NTIA). Contact your sponsoring military department frequency management office (MILDEP FMO) for details on the process. The process can take several months, so start as early as practical. See Section 7.6.4.2 for details.

7.6.3.2. Before Milestone B (or before the first Milestone that authorizes contract award)

Update the spectrum supportability and E3 control requirements and ensure they are addressed in the Capability Development Document.
Perform initial technical and initial operational SSRAs to identify spectrum issues. See Section 7.6.4.1 for details.
For systems that will be operated in the U.S. and its possessions, complete a Stage 2 (Experimental) Certification of Spectrum Support through the NTIA. Contact your sponsoring MILDEP FMO for details on the process. The process can take several months so start as early as practical. See Section 7.6.4.2 for details.
For systems that will be operated outside the U.S. and its possessions, initial discussions with host nations should be conducted to determine if there may be significant obstacles to obtaining authorization to operate. MILDEP frequency managers in conjunction with the Joint Staff will assist the PM in initiating discussions with regional combatant command frequency management offices. Discussion should concentrate on host nations where the systems will be permanently deployed.
Obtain applicable U.S. and/or host nation authorizations before testing spectrum-dependent systems or components.
Provide initial technical performance data to Defense Information Systems Agency (DISA) via supporting MILDEP FMOs.
Discuss spectrum and E3 control requirements and any associated issues in the initial ISP .
Define, in the TEMP, those spectrum-related and E3 control requirements that must be tested during Developmental Test and Evaluation and Operational Test and Evaluation. TEMPs shall include, within the scope of critical operational issues and sub-issues, the requirement to demonstrate the effective E3 control of systems, subsystems, and equipment.
Address SSRA, certification of spectrum support, and E3 control requirements in the Government's Statement of Work, Performance Specifications, and contract data requirements to be provided to the contractor.

7.6.3.3. Before Milestone C

Update the spectrum and E3 control requirements and ensure they are addressed in the Capability Production Document.
Perform a detailed regulatory and a detailed technical SSRA to ensure all issues have been identified and are being mitigated. See Section 7.6.4.1 for details.
For systems that will be operated in the U.S. and it’s possessions, complete a Stage 3 (Developmental) Certification of Spectrum Support through the NTIA. Contact your sponsoring MILDEP FMO for details on the process. The process can take several months so start as early as practical. See Section 7.6.4.2 for details.
For systems that will be operated overseas, more detailed discussions with host nations may be required to resolve any significant obstacles to obtaining authorization to operate. MILDEP frequency managers in conjunction with the Joint Staff will assist the PM in initiating discussions with regional combatant command frequency management offices. Discussion should concentrate on host nations where the systems will be permanently deployed.
Obtain applicable U.S. and/or host nation authorizations before testing spectrum-dependent systems or components.
Provide updated technical performance data to DISA via supporting MILDEP FMOs.
Refine the discussion of spectrum and E3 control requirements and any associated issues in the ISP for record.
Refine discussion of spectrum-related and E3 control requirements to be tested in the revised TEMP.
Address SSRA, certification of spectrum support, and E3 control requirements in the Government's Statement of Work, Performance Specifications, and contract data requirements to be provided to the contractor.

7.6.3.4. After Milestone C

Update regulatory, technical, and operational SSRAs as needed prior to requesting authorization to operate for other than testing. See Section 7.6.4.1 for details.
For systems that will be operated in the U.S. and it’s possessions, complete a Stage 4 (Operational) Certification of Spectrum Support through the NTIA prior to requesting authorization to operate for other than testing. The process can take several months so start as early as possible. See Section 7.6.4.2 for details.
Obtain applicable U.S. and/or host nation authorizations before testing or operating spectrum-dependent systems or components.
Changes to operational parameters (e.g., tuning range, bandwidth, emission characteristics, antenna gain and/or height, or output power, etc.) or proposed operational locations will likely require additional spectrum certification actions or require additional E3 analysis or tests.

Continue to provide updated technical performance data to DISA via supporting military department frequency management offices.

7.6.3.5. Spectrum Supportability and E3 Control Requirements in the Joint Capabilities Integration and Development System

The JCIDS Manual and CJCS Instruction 6212.01 reference other spectrum-related policies and restate some of the requirements. However, CJCSI 6212.01 was published prior to implementation of DoD Instruction 4650.01 and needs revision. In cases of conflicting policy, DoD Instruction 4650.01 takes precedence for spectrum-related requirements.

CJCSM 3170.01 requires the Capability Development Document and Capability Production Document to address spectrum supportability and E3 control. It also requires spectrum requirements be included in the Net Ready Key Performance Parameter (NR KPP).

CJCSI 6212.01 includes spectrum and E3 requirements in the NR KPP under the heading of Supportability Requirements.

Per CJCSI 6212.01, the Joint Staff will use the following assessment criteria when reviewing documents for interoperability:

If applicable, does the document identify a requirement for spectrum supportability?
If applicable, does the document address E3?
If applicable, does the document address host nation approval?
If applicable, has a DD Form 1494 been submitted to the military department Frequency Management Office?
Does the document include a spectrum supportability compliance statement or outline a plan to obtain spectrum supportability?
Does the document address spectrum supportability as a separate requirement in a paragraph?

Does the document reference the Spectrum Supportability Risk Assessment (SSRA)?

Sample Language. The sample statements shown below should be included, as applicable, as THRESHOLD requirements. The first is used to denote compliance with applicable DoD, national, and international spectrum policies and regulations. The second is used to require compatible operation and includes an additional statement for ordnance safety.

Spectrum. The XXX System will comply with the applicable DoD, National, and International spectrum management policies and regulations. Required performance data will be submitted to the supporting MILDEP Frequency Management Office. (Threshold)

Electromagnetic Environmental Effects (E3). The XXX System shall be mutually compatible and operate compatibly in the EM Environment. It shall not be operationally degraded or fail due to exposure to electromagnetic environmental effects, including high intensity radio frequency (HIRF) transmissions or high-altitude electromagnetic pulse (HEMP). All ordnance items shall be integrated into the system in such a manner as to preclude all safety problems and performance degradation when exposed to its operational EM Environment (HERO). (Threshold)

7.6.3.6. Spectrum Supportability and E3 Control Requirements in the Information Support Plan (ISP)

DoD Instruction 4630.8 references other spectrum-related policies and restates some of the requirements. However, it was published prior to implementation of DoD Instruction 4650.01 and it needs revision. In cases of conflicting policy, DoD Instruction 4650.01 takes precedence for spectrum-related requirements.

According to DoD Instruction 4630.8, the ISP must "discuss RF spectrum needs" in Chapter 2 (see details in Section 7.3.6.7.2). Spectrum-related and E3 control issues shall be described in the ISP Chapter 3 (see details in Section 7.3.6.7.3).

7.6.3.7. Spectrum Supportability and E3 Control Requirements in the Test and Evaluation Master Plan (TEMP)

Within the TEMP, the critical operational issues for suitability or survivability are usually appropriate to address spectrum supportability and E3 control requirements. The overall goals of the test program with respect to spectrum supportability and E3 control requirements are to ensure that appropriate evaluations are conducted during developmental test and evaluation, and that appropriate assessments are performed during operational test and evaluation. See Section 9.5.5 for details.

Sample Language. The following are four examples of critical operational issues statements in the TEMP:

Will the platform/system (or subsystem/equipment) detect the threat in a combat environment at adequate range to allow a successful mission? (Note: In this example, the "combat environment" includes the operational EM environment.)
Will the system be safe to operate in a combat environment? (Note: In this example, EM radiation hazards issues such as hazards of EM radiation to personnel, ordnance, and volatile materials and fuels can be addressed, as applicable.)
Can the platform/system (or subsystem/equipment) accomplish its critical missions? (Note: This example determines if the item can function properly without degradation to or from other items in the EM environment.)
Is the platform/system (or subsystem/equipment) ready for Joint and, if applicable, Combined operations? (Note: In this example, the item must be evaluated in the projected Joint and, if applicable, combined operational EM environments.)

7.6.3.8. Spectrum Supportability and E3 Control Requirements in Performance Specifications

Military Standards (MIL-STD) 461 and 464 and Military (MIL-HDBK) 237 provide crucial guidance that, if followed, should preclude E3 problems with the critical systems provided to the warfighter. (Note: MIL-HDBK 237D does not reflect new requirements in DoD Instruction 4650.01, published in January 09, and needs to be revised. DoD Instruction 4650.01 takes precedence.)

Performance specifications should invoke spectrum-related and E3 control requirements. MIL-STD-461, which defines E3 control (emission and susceptibility) requirements for equipment and subsystems, and MIL-STD-464, which defines E3 control requirements for airborne, sea, space, and land platforms/systems, including associated ordnance, can be used as references. Ordnance includes weapons, rockets, explosives, electrically initiated devices, electro-explosive devices, squibs, flares, igniters, explosive bolts, electric primed cartridges, destructive devices, and jet-assisted take-off bottles.

Sample Language. The following examples address E3 control in subsystem/equipment performance specifications:

Electromagnetic Interference (EMI) Control. The equipment shall comply with the applicable requirements of MIL-STD-461.

Electromagnetic Interference (EMI) Test. The equipment shall be tested in accordance with the applicable test procedures of MIL-STD-461.

As an alternative, the program manger can tailor E3 control requirements from MIL-STD-461 or MIL-STD-464. Both MIL-STD-461 and MIL-STD-464 are interface standards. See Section 9.5.2 for testing standards and guidance from Director, Operational Test & Evaluation and from Development Test and Evaluation. See the DoD ASSIST homepage for additional information on Military specs and standards.

7.6.3.9. Spectrum Supportability and E3 Control Requirements in the Statement of Work (SOW)

The following is an example SOW statement to address spectrum and E3 control requirements:

The contractor shall design, develop, integrate, and qualify the system such that it meets its Operational Performance Requirements and the applicable spectrum supportability and E3 control requirements in the system specification. The contractor shall perform analyses, studies, and testing to ensure the system is designed to comply with the applicable DoD, National, and International spectrum management and E3 control policies and regulations. The contractor shall perform inspections, analyses, and tests, as necessary, to verify that the system complies with the applicable DoD, National, and International spectrum management and E3 control policies and regulations. The contractor shall prepare and update spectrum-dependent system technical performance data throughout the development of the system and shall perform sufficient analysis and testing to characterize the equipment, where necessary. The contractor shall establish and support spectrum and E3 control requirements Working-level Integrated Product Team (WIPT) to accomplish these tasks.

7.6.3.10. Spectrum Supportability and E3 Control Requirements in the Contract Data Requirements List (CDRL)

The following are examples of data item requirements typically called out for spectrum supportability and E3 control requirements in the CDRL: