Spectrum Supportability Risk Assessment (SSRA) ENGAGEMENT THEATER SSRA Requirements For Spectrum Dependent Systems

1. Spectrum Supportability Risk Assessment (SSRA) ENGAGEMENT THEATER SSRA Requirements For Spectrum Dependent Systems

2. E3/SS Policy • I DoDD 5000.01: E1.1.10. Information Superiority. Acquisition managers shall provide U.S. Forces with systems and families of systems that are secure, reliable, interoperable, compatible with the electromagnetic spectrum environment, ... [Encl 12] 11. SPECTRUM SUPPORTABILITY. For all electromagnetic spectrum-dependent systems, PMs shall comply with U.S. and host nation spectrum regulations… • Law and Associated Regulations • OMB Circular A-11 • NTIA Manual • DFARS 235.071 • DoD Policy • CJCSI 3170.01, CJCSI 6212.01 • DoDD 5000.01 Enclosure 1, Para. E1.1.10 • DoDI 5000.02 • DoD Directive 3222.3, 08 Sep 2004, DoD E3 Program • Draft DODI 3222.03 • DoD Instruction 4650.01, 09 Jan 2009, Management and Use of Radio Frequency Spectrum Policies Laws and Regulations DoDI 5000.02: Relevant E3/SS Changes: • Table 3, Regulatory Requirements Applicable at Milestone (MS) B and C • Enclosure 4, Table 2-1/2-2: Spectrum Supportability required for Major and ACAT II and lower programs Directives and Instructions All electric or electronic systems shall be designed to be mutually compatible with other equipment in the expected operational EM environment (DoDD 5000.01, DoDD 3222.3) E3 Control shall be planned for and incorporated in all DoD acquisitions (DoDD 3222.3) Estimates or obligation of funds for the development or procurement of C-E systems should be withheld pending assurance of the availability of frequency support by the NTIA (OMB Circular A-11, NTIA Manual) DD Form 1494 (Application for Frequency Allocation) shall be used to initiate and obtain spectrum certification (DoDI 4650.01, DFARS 235.071) Technical Standards Guides

3. DoD Instruction 4650.0109 January 2009 Spectrum Supportability Risk Assessments “DoDI 4650.01 - P4e. For all S-D systems, DoD Components shall determine if there will be sufficient spectrum to support operation of the system during its life cycle. In order to affect design and procurement decisions, DoD Components shall: (1) Identify spectrum-related risks as early as possible via spectrum supportability risk assessments. (2) Review these assessments at acquisition milestones. (3) Manage the risks throughout the system’s lifecycle.” • Includes increasingly detailed regulatory, technical, and operational assessments (to include EMC) • Reviewed by CIO or designate at MS A, B, and C, to determine supportability • Procedures specified at high level, recommended risk assessment tasks included as attachment • Managed with other risks • Certification in U.S. and Host Nations handled separately – doesn’t hold up risk assessments • I “Policy and Procedures for Management and Use of the Electromagnetic Spectrum” Proper management required for operations involving spectrum dependent systems

4. DoDD 3222.3 – DoD Electromagnetic Environmental Effects (E3) Program (08 Sept 2004) • I • Program objectives: • Operational EMC for all DoD systems • Built-in EMC vice after-the-fact remedies • Common DoD-wide philosophies, approaches, and TTPs to preclude unacceptable degradation from E3. • Requires E3 control planning in all DoD acquisitions • E3 and SC issues must be resolved to acceptable risk before proceeding to next phase of acquisition • Assigns functional responsibility to OSD, Joint Staff, DISA, JSC, Services, DoD agencies, etc.

5. SSRA Basics • Identify Regulatory, Operational, and Technical spectrum supportability (SS) and electromagnetic environmental effects (E3) Issues and assign risk level, as modified through/by mitigation measures • Submitted to Service, Chief Information Officer (CIO) for review/approval, Spectrum Supportability Determination (SSD). • SSRA required when the acquisition includes a S-D system or equipment, including commercial item (CI) and non-developmental item (NDI). • Initiate the SSRA while completing the appropriate stage of equipment spectrum certification (ESC) process

6. SSRA Basics (Continued) • Complex “system-of-systems” (SoS) may require more than one SSRA • Overarching System or Platform • Individual S-D Equipment • Regulatory, Technical,Operational, and E3 Components REQUIRED for each SSRA • Contact Service, SMO early for guidance • Detail and scope of each SSRA depends on: • the item’s entry point into the Defense Acquisition System (DAS) • its complexity • the intended operational environment • the maturity of the design

7. Joint Services Guide for Development of a Spectrum Supportability Risk Assessment (SSRA)Final Draft, Sept 2011 • CJCSI 6212.01E requires SSRA updates for IPRs

8. SSRA Submissions • Updated SSRAs - SSRAs are to be updated as follows: • System is ready for operational deployment • For production and fielded systems to reflect changes to the S-D system or equipment spectral output, its operational deployment, HN regulations, or modifications and upgrades of the integrated system, family of systems (FoS) or SoS. • For Readiness Reviews • Submissions must also adhere to individual Service DoDI 4650.01 implementation requirements/documents • Procurement and use of CI and NDI does not relieve the PM/MATDEV from complying with the requirements of DoDI 4650.01

9. SSRA Components - Regulatory • Addresses: • ESC stage and status applicable to the DAS phase of the acquisition, • HNC (Host Nation Coordination) • With respect to the radio services authorized within the tables of allocation (TOAs) of the U.S. and intended Host Nation (HN) • Responses in HNSWDO from the HNC processes.

10. SSRA Components – Technical • Identify other military and civilian and non-U.S. systems likely to be co-site or in close proximity by querying DoD or national system databases • Identify undesired interactions that may require further study using initial and measured technical parameters for candidate system and the technical parameters of S-D systems expected to be in operational environment. • Determine acceptable received EM levels to ensure that coexistence is feasible. • Evaluate system performance and effect on other S-D systems that may operate co-frequency or adjacent frequency expected in the intended environment. • Quantify, using tests or M&S, the impact of changes to the operational “signals-in-space” RF parameters to co-site EMC. • Determine potential link degradation and blockage due to atmospheric conditions, terrain and building obstructions within intended deployment areas • Generate recommendations to mitigate potential technical issues.

11. SSRA Components – Technical (Continued) • Identify and quantify interactions with non-DoD, other Federal, and commercial users in the environment. • Identify/update spectrum risks and recommendations for mitigation of technical issues. • 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 EMI. • Address how limitations or restrictions identified in the ESC/HNC process are being mitigated and/or resolved for each S-D equipment. • Assessment: • Identify/update spectrum risks and recommend mitigation techniques of Technical issues.

12. SSRA Components - Operational • Identify: • The S-D equipments that are incorporated, supported by the Acquisition, • The operational performance requirements, as specified in the Operational Needs Statement (ONS) or Joint Urgent Operational Needs Statement (JUONS) or, and the acquisition documents (e.g. ICD, CDD, CPD, or information support plan (ISP)), • The S-D systems anticipated to be in system’s operating environment, • Assess the capability to meet or exceed the requirements • List issues, assign risks and develop recommendations for mitigation measures. • Identify/update risks and develop tactics, techniques, and procedures (TTPs) to mitigate operational issues. • Assessment: Identify/update spectrum risks and recommend mitigation techniques of Operational issues.

13. SSRA Components – E3 Assessment • Determine the potential for EMC and EMI interactions between the proposed system, other systems, and its anticipated operational EME. • Quantify the potential EMI between the candidate system and S-D systems used by other DoD units in the operational environment. • Determine the effect on overall system performance as a result of any EM interaction. • Perform additional E3 analyses (e.g. EMP, HERP, HERF, HERO, lightning, etc) as required by the MILDEP SMO. • Assessment: Identify/update spectrum risks and recommend mitigation techniques of E3 issues.

14. Risk Management Sample Likelihood of Risk Occurrence Matrix Common method used to depict the likelihood of occurrence

15. Risk Categories • No certification or approved J/F-12 in the Military Communications Electronics Board (MCEB) archived database • Operating in the incorrect or non-allocated frequency band or significant SS issues are known to exist for this system/equipment • E3 or, as a minimum, EMC and EMI studies not completed, planned or anticipated; known mitigation measures will impact operational deployment and/or use in EME • HNC process not started; operational and/or developmental use may be extremely limited and/or not permitted at all • System will not likely receive HN spectrum support, or may be allowed to operate after lengthy bi-lateral negotiations with individual HNs. R • No certification or approved J/F-12 in the MCEB archived database, however similar equipment has been approved and is in the database • System is operating in properly allocated frequency spectrum and ESC can be anticipated Y • Requires minimal actions for ESC, i.e. Note-to-Holder or updated certification request • E3/EMC studies funded/planned or completed with mitigation measures identified that will not adversely impact operations • Minimum spectrum issues are known to exist for this equipment • Operational and/or developmental use is anticipated to be supportable • May receive HN spectrum support, but with numerous geographic, temporal, spectrum, or operational restrictions; spectrum use in a band may be restricted to a limited number of channels. Y • Approved J/F-12 exists in the MCEB archived database (minimum Stage 2 for MS B) G • Requires no actions for spectrum support • E3/EMC studies completed and compatible operations confirmed or acceptable mitigation measures identified that will not impact operations • No SS issues are known to exist for this equipment in the intended operational area • Operational and/or developmental use is or will be supportable • High likelihood of receiving HN spectrum support to operate with few, or a minimum number of, possible spectrum or operational restrictions. G

16. SSRA Report Format Data Item Description (DID) DI-EMCS-81543 “SPECTRUM SUPPORTABILITY RISK ASSESSMENT (SSRA)” CONTACT MILDEP SMO FOR GUIDANCE

17. SSRA Report FormatJoint Guidance Document Sept 2012 • Front Cover • Introduction • Executive Summary • Regulatory Component of SSRA • Technical Component of SSRA • Operational Component of SSRA • E3 Assessment for SSRA • Conclusions • Recommendations • References

18. SSRA Documentation • SSRA Supporting Document/Report, • SSRA Executive Summary of the SSRA Supporting Document/ Report approved by the PM/MATDEV and submitted to the MILDEP SMO, • Cover or Transmittal letter, signed by the PM/MATDEV, and used to transmit the SSRA Executive Summary to the MILDEP SMO, requesting a Spectrum Supportability Determination.

19. SSRA Report Format (Cont) • Front Cover • Title of the document • Month and year of publication • Acquisition milestone or readiness review it supports & date • Name(s) of the principal author(s) • Program office or sponsor’s name and address • Distribution statements, as required, and • Security classification markings, as required

20. Signature Page Issues: • Who Signs? • In What Order? • Can Contractors?

22. SSRA Report Format (Cont) • Introduction • A description of the purpose of the report and programmatic decision and/or readiness review it supports. • A detailed system description including the following: • Physical components (vehicle or platform mounted, stand alone, etc.) • Materiel readiness level (MRL), where applicable • Purpose of system and concept of operations • Subsystem description and block diagrams Army Only Legend: MRL = materiel readiness level VM = vehicle mounted SA = stand alone PM = personnel mounted

23. Could have a lot more System Description, but don’t go overboard!

24. Tables and pictures are always helpful

25. SSRA Report Format (Cont) 3. Executive Summary • Cover Page • Introduction • Summary of Spectrum and E3 Issues

26. Spectrum Supportability Risk Assessment for the Battle Force Tactical Network (BFTN) • Too much Acquisition Status and summary (IMHO) • Not focused on the Spectrum and/or EMI issues and mitigation

27. Spectrum Supportability Risk Assessment for the Battle Force Tactical Network (BFTN) Executive Summary (Cont) • EMC and EMV “well documented”, but no mention whether its good or bad! • Content is a bit thin

28. SSRA Report Format (Cont) 4. Regulatory Components • Include results of tasks described earlier (suggested summary table)

30. Essentially a listing of whether or not the system has an approved allocation in the countries in which it must operate • Hard to quantify the mitigation, ie, whether coordination will be done in time for operations

31. SSRA Report Format (Cont) 5. Technical Component • Describe technical parameters of system (suggested summary table)

33. SSRA Report Format (Cont) . Operational Component • Include a statement of the program requirements, how they are being met, and a description of the intended operational deployment of the system (see suggested table format) Legend: MRL = materiel readiness level VM = vehicle mounted SA = stand alone pm = personnel mounted HN = host nation • Include results of tasks described earlier along with a POA&M for cases of non-compliance where the likelihood of being able to perform the operational mission is at risk.

34. SSRA Report Format (Cont) 6. Operational Component (continued) • Identify and quantify system’s ability to perform satisfactorily in operational environment • Propagation considerations (jungle, urban, desert, at sea, space, etc.) • Kind and quality of data/information transmitted • Desired/required ranges • Operational scenarios considered • Include a POA&M for resolving non-compliance and risk if unable to perform operational missions because of: • Intra-system EMC • Inter-system EMC • Describe the mitigation measures and impact if: • Spectrum is unavailable • System is unavailable

35. SSRA Report Format (Cont) 7. E3 Assessment for SSRA - Include the results of the E3 tasks described earlier along with recommendations for mitigation of the E3 risks

37. Problem: Doesn’t describe mitigation measures!

38. SSRA Report Format (Cont) • Conclusions • Include a summary of risks, impact or potential degradation to • System’s operational requirements and mitigation measures

41. SSRA Report Format (Cont) 9. Recommendations - Provide recommendation as to whether the SSRA should be forwarded by the MILDEP SMO to their Service CIO for approval and forwarded to the MDA. • References - Copies of DD Form 1494 or information page for each S-D item in system/platform - Copies of E3 Assessment Reports, when requested. - Source documents for performance requirements - DoDI 4650.01 (latest version) - DoDD 3222.3 (latest version) - MILDEP Spectrum and E3 policy regulations

42. Summary • The SSRA Will Do, Provides: • A formally documented SS risk assessment, with mitigation measure(s) identified, to achieve a SS Determination from the FMO, CIO/G6, or OSD(NII) (depending on ACAT and/or level of Interest) • Details of the following, for each piece of S-D system: • J/F 12’s • Status of HN Coordination • Provide/discuss known SS and E3 issues and assigns RISK • Discuss potential operational impact of known SS and E3 deficiencies • Provide program risk (R/Y/G) for each system, a risk summary, and mitigation plans to reduce or eliminate YELLOW and RED issues • Provide an overall, Program assessment for acquisition Milestones

43. Summary (Cont) • What the SSRA will not do: • Not a substitute for the ESC process; the SSRA is separate from the ESC process and the resulting MCEB issuance of a J/F 12. • May not provide detailed E3 assessments but it will identify what EMC/EMI assessments are planned and/or have been conducted, identify risks, and the status of mitigation plans.

44. Points of Contact • ARMY Joe Reza (915) 593-6881 jose.reza@usaec.army.mil • NAVY/CNO Mark Johnson (703) 601-1414 david.m.johnson4@navy.mil • NAVAIR Mike Squires (301) 342-1660 mike.squires@navy.mil • NAVSEA Doug Knapman (202) 781-2049 douglas.knapman@navy.mill • SPAWAR PACIFIC Dave Hilton (619) 553-2666 david.r.hilton@navy.mil ATLANTIC Wayne Lutzen (843) 218-5723 wayne.lutzen@navy.mil • JSC • Training: • Matt Grenis • (410) 293-9264 • matthew.z.grenis.civ@mail.mil • Brian Farmer • (703) 864-7023 • bfarmer@emcmanagement.com • AFSMO • Colonel Donald Reese • (301) 225-3743 • afsmo.cc@pentagon.af.mil • ASMO • Richard DeSalvo • (301) 225-3763 • richard.desalvo@disa.mil • NMSC • Tom Downie • (703) 325-2750 • tom.downie@nmsc.navy.mil

45. The Acquisition Community Connection (ACC) https://acc.dau.mil/e3 https://acc.dau.mil/

46. “Spectrum & E3 Compliance” home page:acc.dau.mil/e3 or acc.dau.mil/spectrumSpectrum & E3 Training:acc.dau.mil/learn JSC Spectrum & E3 Document Library:acc.dau.mil/library Lessons Learned acc.dau.mil/LessonsLearned • Within the various Spectrum and E3 Compliance SIA web pages, you will find a variety of information on requirements, guidance, organizations, etc. associated with the proper consideration of E3 and spectrum management considerations for weapon systems and other DoD equipment in the acquisition cycle. If you are not presently a Spectrum and E3 SIA member, please feel free to sign-up! Sign up and be part of the Spectrum and E3 Compliance Community!