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UNCLASSIFIEDSpectrum SupportabilityRisk Assessment (SSRA)ENGAGEMENT THEATERSSRA RequirementsFor Spectrum Dependent SystemsUNCLASSIFIED

UNCLASSIFIEDBottom Line Up Front SSRAs and Equipment Spectrum Certification (ESC) aretwo separate processes. The Requirements are established in Department ofDefense Instruction (DODI) 4650.01, January 9, 2009 The SSRA form and format are provided in the DataItem Description (DID) DI-EMCS-81543; dtd 20120120 The SC form and format are provided by El-Cid,Stepstone, and SCS Additional Content guidance is provided in the JointServices SSRA Guide and service specific documents2UNCLASSIFIED

UNCLASSIFIEDUNCLASSIFIEDSpectrum Supportability Risk AssessmentA Process, Not an EventRisk IdentificationRisk TrackingRisk AnalysisRisk MitigationPlanningRisk ManagementImplementation3UNCLASSIFIEDUNCLASSIFIED

UNCLASSIFIEDSSRA Requirements and Guidance Equipment Certification and SSRA Requirements are drawn from: DoD Instruction 4650.01,Policy and Procedures for Management and Use of the Electromagnetic Spectrum–– Establishes policy, assigns responsibilities, and provides instructions for management and use of theelectromagnetic spectrumRequires the submittal of an SSRA Enclosure 3, 2.b: “At a minimum, electromagnetic interference (EMI) and electromagneticcompatibility assessments shall be made ” Enclosure 3, 2.d: “ DoD Components' S-D system developers are encouraged to initiate the SSRAin order to help identify regulatory, technical, and operational risks while completing theappropriate stage of certification of spectrum support.” Each SSRA submission requires ALL 4 Components; an increase in what is depicted in DoDI4650.01, Enclosure 3, Table 1.Acquisition Milestone requirements for SSRA and Frequency Allocation are specified in theDefense Acquisition System– DoD Instruction 5000.02 “Operation of the Defense Acquisition System,” Table 2Guidance on the preparation of an SSRA is provided in the “Joint Services Guide forDevelopment of an SSRA” Suggests format and content for an SSRA Expands on E3 assessment for an SSRA Expands on risk management Service Specific Requirements and GuidanceUNCLASSIFIED

UNCLASSIFIEDUNCLASSIFIEDE3/SS PolicyDoDD 5000.01:E1.1.10. Information Superiority. Acquisition managers shallprovide U.S. Forces with systems and families of systemsthat are secure, reliable, interoperable, compatible with theelectromagnetic spectrum environment, .[Encl 12] 11. SPECTRUM SUPPORTABILITY. For allelectromagnetic spectrum-dependent systems, PMs shallcomply with U.S. and host nation spectrum regulations Law and AssociatedRegulations–––OMB Circular A-11NTIA ManualDFARS 235.071DoD Policy–––––CJCSI 3170.01, CJCSI 6212.01DoDD 5000.01 Enclosure 1, Para.E1.1.10DoDI 5000.02DoD Instruction 3222.03,25 Aug 2014, DoD E3 ProgramDoD Instruction 4650.01,09 Jan 2009, Managementand Use of RadioFrequency SpectrumDoDI 5000.02: Relevant E3/SS Changes: Policies Table 3, Regulatory Requirements Applicable at Milestone (MS) Band CEnclosure 4, Table 2-1/2-2: Spectrum Supportability required forMajor and ACAT II and lower programsAll electric or electronic systems shall be designedto be mutually compatible with other equipmentin the expected operational EM environment(DoDD 5000.01, DoDI 3222.03)E3 Control shall be planned for and incorporated inall DoD acquisitions (DoDI 3222.03)Estimates or obligation of funds for thedevelopment or procurement of C-E systemsshould be withheld pending assurance of theavailability of frequency support by the NTIA(OMB Circular A-11, NTIA Manual)DD Form 1494 (Application for FrequencyAllocation) shall be used to initiate and obtainspectrum certification (DoDI 4650.01, DFARS235.071)5UNCLASSIFIEDUNCLASSIFIED

UNCLASSIFIEDAcquisition & Capabilities Regulations and DirectivesAll derived from Title 47 US Code (statutory requirement)DODD 5000.01DODI 5000.02DODI 3222.03DODI 4650.01Acquisition Managers shall provide systems that are secure, reliable, interoperable,and compatible with the electromagnetic spectrum environmentFor all electromagnetic spectrum-dependent systems, PMs shall comply with U.S.and host nation spectrum regulations.DOD Electromagnetic Environmental Effects ProgramPolicy for the Management and Use of the Electromagnetic SpectrumCJSCI 3170.01CJSCI 6212.01DOD 4630 seriesE3 and spectrum supportability must be addressed inCDD/CPD/TEMPs/ISPsM CEB ( ESG PW G )ProgramOf fi ceNTI A ( SPS)orActPri ocurvi t yingSpect r um( Pr ogr am of Support abi litmyentRecor d, COTS, Ri sk AssessNDI , NonPrRogrecoramd) ofServi ce Spect rumM anagem entO f f i ce( s)Spect r umSuppor t abi l i tyDet er m i nat ionAppr ovalJoi nt / Nat i onalSSD Pr ocess11/5/20156UNCLASSIFIEDProgramO f f i ce orPr ocur i ngAct i vi t y

UNCLASSIFIEDJCIDS /Acquisition SystemSpectrum Supportability (SS) Business ProcessesUNCLASSIFIED

UNCLASSIFIEDUNCLASSIFIEDDoDI 5000.02: Operation of theDefense Acquisition SystemFrequency Allocation8UNCLASSIFIEDUNCLASSIFIED

UNCLASSIFIEDUNCLASSIFIEDDoDI 5000.02: Operation of theDefense Acquisition SystemSpectrum Supportability Risk Assessment9UNCLASSIFIEDUNCLASSIFIED

UNCLASSIFIEDUNCLASSIFIEDDoD Instruction 4650.0109 January 2009“Policy andProcedures forManagement andUse of red foroperationsinvolving spectrumdependent systemsSpectrum Supportability Risk Assessments Required on all Spectrum-Dependent (S-D) systems. Includes increasingly detailed regulatory, technical,and operational assessments (to include EMC) Assessments and Mitigation Plans are Reviewed byCIO or designate at MS A, B, and C, to determinesupportability Procedures specified at high level, recommended riskassessment tasks included as attachment Certification in U.S. and Host Nations handledseparately – doesn’t hold up risk assessments PROBLEM: Format and Content requirements notspecified10UNCLASSIFIEDUNCLASSIFIEDI

UNCLASSIFIEDUNCLASSIFIEDDoD Instruction 4650.0109 January 2009Spectrum Supportability Risk AssessmentsPara 4 Policye. For all S-D systems, DoD Components shall determine if there will be sufficientspectrum to support operation of the system during its life cycle. In order to affectdesign and procurement decisions, DoD Components shall:(1) Identify spectrum-related risks as early as possible via spectrum supportability riskassessments.(2) Review these assessments at acquisition milestones.(3) Manage the risks throughout the system’s lifecycle.”Enclosure 2, ResponsibilitiesP5. HEADS OF THE DoD COMPONENTS. The Heads of the DoD Components shall:b. Develop procedures to implement the policies in section 4 of the front matter of thisInstruction to include:(4) Procedures to identify and mitigate, as early as possible, spectrum supportability risksusing spectrum supportability risk assessments.11UNCLASSIFIEDUNCLASSIFIEDI

UNCLASSIFIEDUNCLASSIFIEDDoD Instruction 4650.0109 January 2009Spectrum Supportability Risk AssessmentsEnclosure 3, ProceduresP2. SPECTRUM SUPPORTABILITY RISK ASSESSMENTS (SSRAs)a. DoD Components’ S-D system developers shall identify and mitigate regulatory, technical, andoperational spectrum supportability risks using suggested tasks in the appendix to this enclosure.DoD Components’ S-D system developers shall increase the detail of these risk assessments as theS-D system’s design matures.b. DoD Components’ S-D system developers shall assess the risk for harmful interference with otherS-D systems and/or harmful radiation-related effects. At a minimum, electromagnetic interference(EMI) and electromagnetic compatibility assessments shall be made (Reference (g)).c. DoD Components’ S-D system developers shall manage spectrum supportability risks with otherdevelopmental risks through systems engineering processes (Reference (i)).d. DoD Components' S-D system developers are encouraged to initiate the SSRA in order to helpidentify regulatory, technical, and operational risks while completing the appropriate stage ofcertification of spectrum support.e. Complex “family of systems” or “system-of-systems” may require more than one SSRA.(but still one overarching SSRA for the FoS or SoS)12UNCLASSIFIEDUNCLASSIFIEDI

UNCLASSIFIEDUNCLASSIFIEDArmy Requirements/Guidance AR 5-12, Army Use of the Electromagnetic Spectrum, is theguiding requirements document– Update to include new SSRA input expected in late 2015 Contact ASMO for guidance and templateUNCLASSIFIEDUNCLASSIFIED

UNCLASSIFIEDUNCLASSIFIEDNavy Requirements/Guidance OPNAVINST 2400.2F, Electromagnetic Environmental Effectsand Spectrum Supportability Policy And Procedures– implements SSRA requirements per DoDI 4650.01.– Revision G expected late CY 2015 2400.2G will include expanded SSRA guidance Contact NSMC for process, format and template guidanceUNCLASSIFIEDUNCLASSIFIED

UNCLASSIFIEDUNCLASSIFIEDAir Force Requirements/GuidanceUNCLASSIFIEDUNCLASSIFIED

UNCLASSIFIEDMarine Corps Requirements/Guidance Engineering Policy Letter 01-13 Establishes Standard Operating Procedures(SOP) for Standard Spectrum RiskAssessment's (SSRA’s) Applicable to ACAT I-IV Encouraged for all levels in order to provide accurateE3 and spectrum support. Is in keeping with DoD/SECNAV policy and MCO2400.0UNCLASSIFIED16

UNCLASSIFIEDUNCLASSIFIEDDoDI 3222.03 – DoD ElectromagneticEnvironmental Effects (E3) Program (25 Aug 2014) Program objectives:– Operational EMC for all DoD systems– Built-in EMC vice after-the-fact remedies– Common DoD-wide philosophies, approaches, and TTPs to precludeunacceptable degradation from E3. Requires E3 control planning in all DoD acquisitions E3 and SS issues must be resolved to acceptable risk beforeproceeding to next phase of acquisition Assigns functional responsibility to OSD, Joint Staff, DISA,DSO, Services, DoD agencies, etc.17UNCLASSIFIEDUNCLASSIFIEDI

UNCLASSIFIEDSSRA Basics Identify Regulatory, Operational, and Technical spectrumsupportability (SS) and electromagnetic environmental effects (E3)Issues and assign risk level For each identified risk, there should be a risk mitigation measureidentified Submitted through channels identified by each service– Process typically includes Service Spectrum Management Office,with Chief Information Officer (CIO) review/approval andSpectrum Supportability Determination (SSD). SSRA required when the acquisition includes a S-D system orequipment, including commercial item (CI) and non-developmentalitem (NDI). Initiate the SSRA while completing the appropriate stage of equipmentspectrum certification (ESC) processUNCLASSIFIED

UNCLASSIFIEDSSRA Basics (Continued) Complex “system-of-systems” (SoS), “family-of-systems”(FoS), and/or Platforms require:– One SSRA for the SoS/FoS/Platform to include ALL, imbedded S-Dequipment– Individual SSRA’s are required for each S-D Equipment (Exception: S-Dequipments, with Stage 4 approval, are “Grandfathered” in; unless, the S-Dequipment is receiving an upgrade/modification that affects its EMcharacteristics.)– Regulatory, Technical, Operational, and E3 Components are REQUIRED foreach SSRA Contact Service, SMO early for guidance– What spectrum/frequency band(s) should be used– What SSRA(s) is/are required Detail and scope of each SSRA depends on:––––the item’s entry point into the Defense Acquisition System (DAS)its complexitythe intended operational environmentthe maturity of the designUNCLASSIFIED

UNCLASSIFIEDJoint Services Guide SSRA Content Guidance Components–––––Regulatory ContentTechnical ContentsOperational ContentsE3 AssessmentRisk Assessment Submission Requirements Guidance on Risk Classification Format GuidanceUNCLASSIFIED

UNCLASSIFIEDSSRA Report FormatJoint Guidance Document Sept 2011/DI-EMCS-81543 Front CoverIntroductionExecutive SummaryRegulatory Component of SSRATechnical Component of SSRAOperational Component of SSRAE3 Assessment for ED

UNCLASSIFIEDJoint Services Guide for Development of an SSRAFinal Draft, Sept 2011Joint Services GuideUNCLASSIFIED

UNCLASSIFIEDSSRA Components OverviewRegulatory Addresses:– ESC stage and status applicable to the DAS phaseof the acquisition,– HNC (Host Nation Coordination) Status With respect to the radio services authorized withinthe tables of allocation (TOAs) of the U.S. and intendedHost Nation (HN) Responses in HNSWDO from the HNC processes.Joint Services GuideUNCLASSIFIED

UNCLASSIFIEDUNCLASSIFIEDData Requirements & SourcesRegulatory Component Service Spectrum Management Office J/F-12 Data from processed ESC Requests–––––Frequency Assignment data (JSC Databases)MCEB/SPS CommentsResident at Service Spectrum Management OfficeJDAWS at the Defense Spectrum OfficeStepstone/EL-CID/SCS searches NTIA Manual– ITU Tables– Other web based allocation table resources Host Nation Status available in HNSWD-O from the DSO– InternaInternational Comments – Normally requires a completed, Stage4, Spectrum Certification.– Check www.efis.dk for operations in EuropeUNCLASSIFIEDUNCLASSIFIED

UNCLASSIFIEDUNCLASSIFIEDLessons Learned ESC Request Submission does not ensure compliance with all regulatoryrequirements nor does it allow operation of systems discuss frequencyassignments versus ESC Requests. Make sure the planned spectrum use is allocated for the intendedfunction radio service and station class Look at all three ITU regions, not just US Allocations Be wary of the "age" of HSNWDO data (not real-time enough). For MS A look at existing systems with similar technical attributes Coordinate as early as possible with your service SMO Some of the Suggested Tasks for the Technical Component haveRegulatory implications and may be addressed in this section. Early and often discussions with the DoD Component SMO will save Timeand Money and reduce Risk.UNCLASSIFIEDUNCLASSIFIED

UNCLASSIFIEDSSRA Components OverviewTechnical Identify other military and civilian and non-U.S. systems likely to be co-site or inclose proximity by querying DoD or national system databases Identify undesired interactions that may require further study using initial andmeasured technical parameters for candidate system and the technical parametersof 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 cofrequency or adjacent frequency expected in the intended environment. Quantify, using tests or M&S, the impact of changes to the operational “signals-inspace” 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.Joint Services GuideUNCLASSIFIED

UNCLASSIFIEDSSRA Components OverviewTechnical Identify and quantify interactions with non-DoD, other Federal, andcommercial users in the environment. Identify/update spectrum risks and recommendations for mitigation oftechnical issues. For non-communications systems (radar, passive sensors, etc.), determinethe appropriate operational degradation as a function of the level ofreceived environmental and co-site EMI. Address how limitations or restrictions identified in the ESC/HNC processare being mitigated and/or resolved for each S-D equipment. Assessment:– Identify/update spectrum risks and recommend mitigation techniquesof Technical issues.Joint Services GuideUNCLASSIFIED

UNCLASSIFIEDUNCLASSIFIEDData Requirements & Sources System Technical Parameters– Parametric Data from Spectrum Certification, DD Form 1494’s, J/F-12s– Data Sheets from Developer(s)– Program Office/Systems EngineeringNote: Many technical parameters not available early in program RF Modeling––––PropagationInterference AnalysesSelectivity CurvesAntenna Coupling Co-site/Intersite data/modeling– Platform vs. EME at Key Locations Discuss with Program/Systems Engineering Personnel Detailed Modeling Data Likely not available for MS AUNCLASSIFIEDUNCLASSIFIED

UNCLASSIFIEDUNCLASSIFIEDLessons Learned Tends to overlap with the other DoDI 4650.01 defined Tasksas well as the E3 Assessment (AF, Navy) Understand what technical standards apply May also need to considered otherregional/national/international standards for systems looking tooperate outside the USUNCLASSIFIEDUNCLASSIFIED

UNCLASSIFIEDSSRA Components OverviewOperational Identify:– The S-D equipments that are incorporated, supported by theAcquisition,– The operational performance requirements, as specified in theOperational Needs Statement (ONS) or Joint Urgent OperationalNeeds 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 Assessment: Identify/update risks and develop tactics,techniques, and procedures (TTPs) to mitigate operationalissues.Joint Services GuideUNCLASSIFIED

UNCLASSIFIEDUNCLASSIFIEDData Requirements & Sources JCIDS Documents– ICD, CDD, CPD, ISP, CONOPs– Systems description information Facilities Requirements Documents (if applicable)– May Provide EME Discussion with Program/Engineering personnel on impact tooperations of identified EM issues Consider impact of identified regulatory issues– Operational impact if you can't radiate or have no approved HNC/ESCUNCLASSIFIEDUNCLASSIFIED

UNCLASSIFIEDUNCLASSIFIEDLessons Learned Understand the intent; not a CONOPs or simply a descriptionof how the system operates– What other systems will/are operating in the same physical/spectralspace?– Will geospatial separation be required for frequency use managementfor simultaneous operation with other systems? EX: Simultaneous employment of UAVs using common control frequencyband EX: Flying an aircraft with a new 225-400 MHz transmitter which plans toutilize four 5 MHz wide sub-bands within the 225-400 MHz band - what willbe the impact to operation of existing 225-400 MHz users?UNCLASSIFIEDUNCLASSIFIED

UNCLASSIFIEDSSRA Components – E3 AssessmentNote: Not specifically called out in 4650 Determine the potential for EMC and EMI interactionsbetween the proposed system, other systems, and itsanticipated operational EME. Quantify the potential EMI between the candidate systemand S-D systems used by other DoD units in theoperational environment. Determine the effect on overall system performance as aresult of any EM interaction. Perform additional E3 analyses (e.g. EMV, EMP, HERP,HERF, HERO, lightning, etc) as required by the MILDEPSMO. Assessment: Identify/update spectrum risks andrecommend mitigation techniques of E3 issues.Joint Services GuideUNCLASSIFIED

UNCLASSIFIEDData Requirements & Sources E3 Requirements – Program Office E3 Test Data – Program Office– EMI Test Plans/Reports– EMC Test Plans/Report Other E3 Analyses MIL-HDBK-237UNCLASSIFIED

UNCLASSIFIEDUNCLASSIFIEDLessons Learned Overlap between Regulatory, Technical, and OperationalComponents Section and the E3 Assessment See MIL-HDBK-237 for E3 Assessment GuidanceUNCLASSIFIEDUNCLASSIFIED

UNCLASSIFIEDSample Likelihood of Risk Occurrence MatrixLevel12345Likelihood ofOccurrenceProbability ofOccurrenceNot LikelyLow LikelihoodLikelyHighly LikelyNear Certainty 20%20-40%40-70%70-90% 90%Common method usedto depict the likelihoodof occurrenceLikelihood of OccurrenceRisk Management54321Impacts of Potential RisksJoint Services GuideUNCLASSIFIED

UNCLASSIFIEDRegulatory Component Risk CategoriesExamplesR No certification or approved J/F-12 in the Military Communications Electronics Board (MCEB) archiveddatabase HNC process not started; operational and/or developmental use may be extremely limited and/or notpermitted at all System will not likely receive HN spectrum support, or may be allowed to operate after lengthy bi-lateraln

e. 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.