oversight

Spectrum Management in Defense Acquisitions

Published by the Government Accountability Office on 2003-04-30.

Below is a raw (and likely hideous) rendition of the original report. (PDF)

United States General Accounting Office
Washington, DC 20548



          April 30, 2003

          The Honorable John Warner
          Chairman
          The Honorable Carl Levin
          Ranking Minority Member
          Committee on Armed Services
          United States Senate

          The Honorable Duncan L. Hunter
          Chairman
          The Honorable Ike Skelton
          Ranking Minority Member
          Committee on Armed Services
          House of Representatives

          Subject: Spectrum Management in Defense Acquisitions

          The electromagnetic radio frequency spectrum is critical to the development and
          operation of a variety of military systems such as radios, radars, and satellites. Due
          to the changing nature of warfighting, more and more military systems depend on the
          spectrum to guide precision weapons and obtain information superiority. In recent
          years, demand for the spectrum increased with advances in commercial technology.
          This demand has led to competition between government and nongovernment users,
          making spectrum management vital to prevent harmful interference and to promote
          spectrum efficiency.

          With these goals in mind, DOD has long-standing policies and procedures that require
          system developers and acquirers to consider and deal with spectrum supportability
          knowledge early in the development and acquisition of systems. Early assessment of
          spectrum needs provides DOD the opportunity to identify, and therefore, better
          manage program and operational risks. DOD policy requires developers of spectrum
          dependent systems to obtain certification before assumption of contractual
          obligations for the full-scale development, production, or procurement of those
          systems.




                                                         GAO-03-617R Defense Spectrum Management
Senate Report 107-151 and House Report 106-945 required us to assess the
                                                                1
Department of Defense’s (DOD) spectrum management process. We focused our
assessment on (1) the results of the DOD spectrum certification processes and (2) the
reasons for those results. To determine the results of DOD’s spectrum certification
processes and the reasons for those results, we reviewed relevant program
documents and interviewed key officials. We also sent out a data collection
instrument to selected research and development and user commands to further
identify and gather information on spectrum-dependent systems currently being
developed or acquired. We conducted our work from April 2002 through March 2003
in accordance with generally accepted government auditing standards and relied
upon agency-provided data. This report transmits the information provided in earlier
briefings. (See enc. I)

We found that DOD’s weapons programs have often failed to obtain, consider, or act
upon adequate spectrum supportability knowledge during the early stages of
acquisition. A majority of programs try to gain this knowledge at later stages, after
key system development decisions may have been made. As a result, some programs
experience significant delays, reduced operational capabilities, or the need for
expensive redesign. More importantly, these programs missed opportunities to
improve program results and avoid problems that are more costly to resolve late in
development or fielding.

Also, in a review of selected programs still under development, we found that
consideration of spectrum supportability continues to be a problem. DOD is still
entering into contracts, starting full-scale development, and sometimes fielding
systems before obtaining certification of spectrum supportability.

The reasons for this late attention include program managers’ lack of awareness of
spectrum certification requirements, dated and unclear spectrum management
guidance that is not aligned with current acquisition models, the competing demands
of program managers, and a lack of effective enforcement mechanisms for existing
spectrum certification requirements. Additional challenges to DOD implementing the
spectrum certification process include the lengthy spectrum certification process,
increased reliance on commercial communications services and cutting-edge
technologies that challenge the traditional allocation of spectrum frequencies.

Recommendations for Executive Action

To avoid delays, reduced operational capabilities, and costly redesign of weapon
systems, we are making recommendations to ensure that spectrum supportability
considerations are appropriately addressed in the development and acquisition of
weapon systems. We recommend that the Secretary of Defense

         •   Direct the Under Secretary of Defense for Acquisition, Technology and
             Logistics; the Assistant Secretary of Defense for Command, Control,
1
 Senate Report 107-151, "National Defense Authorization Act for Fiscal Year 2003" [To accompany S.
2514]; and House Report 106-945 "Enactment of Provisions of H.R. 5408, The Floyd D. Spence National
Defense Authorization Act for Fiscal Year 2001," Conference Report to Accompany H.R. 4205;
October 6, 2000.


Page 2                                            GAO-03-617R Defense Spectrum Management
             Communications and Intelligence; and appropriate service officials to
             update the spectrum supportability guidance contained in their respective
             spectrum management and acquisition policy directives and instructions to
             • Ensure program managers develop spectrum supportability knowledge,
                apply for spectrum certification, and consider spectrum operational
                risks at the earliest points possible,
             • Provide uniformity of spectrum management policies across the
                services, and
             • Provide a spectrum certification process with the flexibility to align
                with current acquisition models.

         •   Measure spectrum management compliance and process performance to
             determine how well spectrum supportability considerations are addressed
             in the acquisition process.

         •   Establish and ensure appropriate funding for a program of record to
             develop a spectrum management automation architecture and to
             implement current and future spectrum management automation
             development efforts.

We also recommend that the Secretary of Defense identify an official or officials
within the Office of the Under Secretary of Defense for Acquisition, Technology and
Logistics to

         •   Be accountable for oversight and enforcement of spectrum management in
             the acquisition process,

         •   Establish a mechanism to identify to the spectrum management community
             new systems that may ultimately require spectrum certification,

         •   Establish a mechanism that provides the spectrum management
             community program schedule data for systems that may require spectrum
             certification both to facilitate its prioritization of work effort and enable
             measurement of process enforcement and responsiveness, and

         •   Establish a mechanism to ensure—in line with DOD Directive 4650.1—that
             programs requiring spectrum certification do not proceed beyond
             Milestone B of the acquisition process without approved spectrum
             certification. In order to allow acquisition flexibility when required,
             waivers may be allowed by the official or officials identified within the
             Office of the Under Secretary based on appropriate cause, risk mitigation
             strategy, and compliance deadline.

Agency Comments and Our Evaluation

In providing oral comments on a draft of our report, DOD agreed with our findings
and concurred or partially concurred with our recommendations. Specifically, in our
first set of recommendations, DOD concurred with our recommendation to update
the spectrum supportability guidance in its spectrum management and acquisition


Page 3                                         GAO-03-617R Defense Spectrum Management
policy directives and instructions, but stated that it would like GAO to clarify whether
our recommendation applies to the previous DOD 5000-series acquisition
publications or the current versions. We believe that the current and future versions
of those publications need to address the issues identified in our recommendation.
DOD also concurred with our recommendation regarding the need to measure
spectrum management compliance and process performance, but indicated that the
resources to be expended implementing this recommendation could be better
directed towards improving oversight and enforcement mechanisms in the
acquisition process. While we believe that improved oversight and enforcement are
important, it will be difficult for DOD to determine effective actions for improving
oversight and enforcement without performance measures.

DOD partially concurred with our recommendation to establish and ensure
appropriate funding for a program of record to develop a spectrum automation
architecture and to implement future spectrum automation development efforts.
DOD correctly understood the intent of the recommendation, but suggested that we
clarify it by adding the word management to describe the covered activities. We
agreed and have made that change. DOD also stated that implementation of this
recommendation for other than current, on-going efforts, will be subject to the
availability of funds. We believe that adequate funding needs to be ensured so that
efforts to develop spectrum automation tools proceed in a coordinated, logical
manner and provide managers with effective tools to address spectrum supportability
considerations.

DOD also partially concurred with our second set of recommendations. DOD
commented that it has a process in place for oversight and enforcement of spectrum
management in the acquisition process that includes mechanisms to minimize
programs proceeding beyond Milestone B without spectrum certification. DOD also
indicated that the absence of certification should not preclude moving past that
milestone. While we agree with DOD that a process does exist, our review confirms
that the process is not being effectively followed and weapon programs do not
address spectrum supportability issues until the later stages of development when
addressing those issues can be much more costly. Without stronger enforcement and
accountability, it is unlikely defense program managers will change their behaviors,
which are motivated by the need to move through program milestones in order to
achieve the next funding increment. Stronger enforcement and oversight would
ensure the program obtains spectrum knowledge early in product development and
increase the likelihood of success.

DOD also provided technical comments to a draft of this report that we incorporated
where appropriate.
                                            -----
Unless you publicly announce the contents of this report earlier, we plan no further
distribution of this letter until 30 days after the date of this letter. At that time, we will
send copies of this letter to the Secretary of Defense; Secretary of the Air Force;
Secretary of the Army; Secretary of the Navy; Commandant of the Marine Corps;
Director, Office of Management and Budget; and interested congressional
committees. We will also make copies available to other interested parties upon
request. In addition, the report will be available at no charge on the GAO Web site at
http://www.gao.gov.


Page 4                                          GAO-03-617R Defense Spectrum Management
Please contact me at (202) 512-4841 or John Oppenheim at (202) 512-3111 if you or
your staff have any questions concerning this report. Other major contributors to this
report were Julie Leetch, Gary Middleton, Jay Tallon, and Bruce Thomas.




Katherine V. Schinasi
Director
Acquisition and Sourcing Management




Page 5                                     GAO-03-617R Defense Spectrum Management
         ENCLOSURE I                         \            ENCLOSURE I




                       Defense Spectrum Issues


                         Briefing for House and Senate
                        Armed Services Committee Staff




                 Defense Spectrum Issues
                       Outline


                 • Key Questions

                 • Background

                 • Findings

                 • Recommendations

                                                                  2




Page 6                                           GAO-03-617R Defense Spectrum Management
         ENCLOSURE I                                                     \                    ENCLOSURE I




                 Defense Spectrum Issues
                         Key Questions

                     How Effectively Are Spectrum Supportability
                       Considerations Being Addressed in Weapon System
                       Acquisitions?
                        1.   What Are the Results of the DOD Spectrum Certification
                             Processes and Procedures?

                        2.   Why Were Those Results Experienced?

                        3.   What Are the Barriers to Improving the Consideration of
                             Spectrum Supportability?




                                                                                                             3




                 Defense Spectrum Issues
                         Background: The Spectrum Basics

                 • Radio Frequency Spectrum Is a Finite Resource
                     ¾ Runs from 3 KHz to 300 GHz
                     ¾ Divided in the U.S. & Possessions into Segments for Government
                       Exclusive, Nongovernment Exclusive, and Shared Use
                        ƒ Divided into Segments (Bands) for Specific Types of Services, e.g., Aeronautical
                          Radionavigation. Some Segments Better Suited for Particular Uses Than
                          Others.
                        ƒ Bands May be Designated for More Than One Type of Service with Some
                          Services Being Designated Primary Use and Others Secondary (i.e., to Occur on
                          a Noninterference Basis)
                     ¾ Spectrum Standards Set Technical Restrictions on Operation within a
                       Given Frequency Band
                 • Demand and Competition for Radio Frequency Spectrum Are Growing
                   Due to New Technologies and Increased Uses of Spectrum
                 • Spectrum Is a Resource that Is Critical to the Development and
                   Operation of Many Types of Military Systems

                                                                                                             4




Page 7                                                                          GAO-03-617R Defense Spectrum Management
         ENCLOSURE I                                                                   \                         ENCLOSURE I




                 Defense Spectrum Issues
                            Background: International and National Spectrum Management

                 •   Spectrum Is Managed through Different International and National Policies and
                     Organizations

                      •   International Spectrum Management
                            ¾ Regions and Countries Define Segments and Uses Differently
                            ¾ International Telecommunication Union Provides a Forum for International
                              Coordination
                            ¾ World Radiocommunication Conferences Are Held Every 2 to 3 Years to Address
                              International Spectrum Allocations
                            ¾ U.S. Must Receive Host Nation Approval to Operate Communication-Electronics
                              Systems in Foreign Nations
                      •   National Spectrum Management
                           ¾ National Telecommunications and Information Administration (NTIA) Manual of
                              Regulations and Procedures for Federal Radio Frequency Management
                           ¾ OMB Circular A-11
                               •   Systems Deemed to be “Major” Are Required to be Submitted to the NTIA for Coordination with
                                   Other Existing Government and Commercial Spectrum Users
                           ¾ Federal Communications Commission
                               •   An Independent Government Agency to Control and Manage Civilian Use of the Spectrum



                                                                                                                                 5




                 Defense Spectrum Issues
                            Background: The DOD Spectrum Certification Process

                 • Various DOD Directives, Instructions, and Requirements
                   Further Define the Spectrum Certification Process for Weapon
                   System Development and Acquisitions

                      ¾ DOD’s Acquisition Guidance (DOD 5000 Series) Incorporates
                        Consideration of Spectrum Supportability into the Acquisition Process
                           • Recently Revised Guidance Maintains Spectrum Supportability Requirements, Though
                             Much of the Language Regarding Spectrum Has Been Removed

                      ¾ Defense Spectrum Certification Guidance
                           • DOD Directive 4650.1 – Developers Shall Obtain Military Communications and
                             Electronics Board (MCEB) Guidance as Early as Possible during the Acquisition
                             Process. . . Required Prior to Contract for Full-Scale Development

                      ¾ Service Spectrum Certification Guidance
                           • To Address Their Individual and Specialized Missions, Each of the Services Has Its
                             Own Spectrum Supportability Guidance Implementing DOD Directive 4650.1


                                                                                                                                 6




Page 8                                                                                          GAO-03-617R Defense Spectrum Management
         ENCLOSURE I                                                           \                      ENCLOSURE I




                 Defense Spectrum Issues
                           Background: The DOD Spectrum Certification Process

                 •   Program Developers and Acquirers Are to Submit Requests for Spectrum
                     Approval (DD Form 1494) for Review/Certification by the Service Frequency
                     Management Offices and the MCEB
                          ¾ Review Is Intended to Determine Whether Adequate Spectrum Will Be Available to
                            Support System Operation and Whether Systems Comply with the Spectrum
                            Standards for their Chosen Bands

                          ¾ Certification Is Generally Required to Operate System in a Designated Portion of the
                            Radio Frequency Spectrum

                 •   Applications for Spectrum Certification Can Be Made at Four Stages
                          ¾   Stage 1: Conceptual
                          ¾   Stage 2: Experimentation
                          ¾   Stage 3: Developmental
                          ¾   Stage 4: Operational

                 •   A Goal of Early Stage Assessments Is to Provide Feedback That Can Be
                     Factored into Development


                                                                                                                   7




                 Defense Spectrum Issues
                           Background: The DOD Spectrum Certification Process

                 • The Spectrum Certification Assessment Is Intended to Provide
                   Knowledge of Spectrum Supportability and Enable:
                          ¾ Feedback to Developers on Planned Spectrum Usage and Proposed
                            Equipment’s Technical Characteristics and Compliance with Spectrum
                            Standards

                          ¾ Mitigation or Resolution of Electromagnetic Interference Problems

                          ¾ Siting of New DOD or Commercial Systems on Ships, Aircraft, in Space, and at
                            Shore Sites

                          ¾ Integration of Commercial Items into the Intense Electromagnetic Environment
                            Found on Military Platforms and Installations

                          ¾ Frequency Assignments for DOD Operations, Exercises, and Training

                          ¾ Coordination with Foreign (Host) Nations for Use of DOD Systems Overseas


                                                                                                                   8




Page 9                                                                                 GAO-03-617R Defense Spectrum Management
          ENCLOSURE I                                                                        \                           ENCLOSURE I




                  DefenseDO D Spectrum Certification
                          Spectrum      Issues Process
                                  SPON SORING
                                  Background: The DOD  Spectrum
                                                   PR OGRAM
                        M ilitary Department (M ILDEP)      OFFICECertification Process
                                                                              CONTRA CTOR
                           / Frequency M anagement               (Review s and/or subm its
                                                                 technical inform ation on               (Provides technical
                                   Office (FM O)                                                     inform ation on equipm ent)
                         (R eviews, Approves & Subm its         Governm ent DD Form 1494)
                                 DD Form 1494)

                                               Coordination within the U.S.
                                                 and its “Possessions”                           Coordination Outside the
                                                                                                 U.S. and its“Possessions”
                                           NTIA
                                     Interdepartm ent
                                      Radio Advisory           M CEB Equipment                     Joint Spectrum C enter
                                    Com mittee (IR AC)        Spectrum Guidance                    (Distributes R eleasable DD
                                    Spectrum Planning         Perm anent W orking                   FM 1494 Technical D ata)
                                   Subcomm ittee (SPS)         Group (ESG PW G)
                                    (Review & Com m ent)
                                                                                                    Combatant Comm and
                                                                  Comments & Feedback                   (CO CO M )
                                                                                                      (C om m ent /A pprove)
                                             Distribution of Final Forms
                                                     MCEB ESG PW G                                 response             submittal
                      Status          ( Assem blesM CEB Guidance; e.g., com m ents
                                       from M ILD EPs , SPS, C O CO M s , DO D A rea          H ost & other nations w ithin
                  Comments
                                      Frequency Coordinators, Host Nations, etc)             COCOM A rea Of Responsibility
                                                                                                     (Com m ent/Approve)

                                                                                                  C om bined Com m unications
                                              Joint Spectrum Center                                Electronics Board (CC EB)
                                            (A ssem bles Final Technical
                                                                                                             Nations
                                   Docum ents w ith com m ents, U pdates D atabase,
                                                                                                      (C om m ent /Approve)
                                      and M akes W orldwide D O D Distribution)


                                                                                                                                    9




                  Defense Spectrum Issues
                                  Findings: DOD Spectrum Certification Process Results

                  •     The DOD Has a Long-Standing Spectrum Certification Process. Failures to
                        Follow the Process Have Led to Problems in Weapon System Development
                        and Operations. These Problems are Due to Factors Both Inherent and
                        External to the Process.

                  •     In the Past, System Developers Have Failed to Acquire Knowledge of Spectrum
                        Supportability or Act Upon It Early in the Process Resulting in:
                           ¾   Significant Delays and Limitations
                           ¾   Degraded System Performance
                           ¾   Increased Acquisition Risk
                           ¾   Higher Cost

                  •     Consequences of Such Failures Have Been Documented in the Following Reports:
                           ¾ 1987 GAO Report (GAO/NSIAD-87-42, February 9, 1987)
                           ¾ 1993 DOD CIM Modeling Study of DOD Management and Use of the Electromagnetic Spectrum
                             Interim Report (August 1993)
                           ¾ 1998 DOD Inspector General Report (Report No. 99-009, October 9, 1998)
                           ¾ DOD Comptroller’s Fiscal Year 2000 Annual Statement of Assurance
                           ¾ Defense Science Board Task Force Report Coping with Change: Managing RF Spectrum to Meet
                             DOD Needs (November 2000)


                                                                                                                                    10




Page 10                                                                                                GAO-03-617R Defense Spectrum Management
          ENCLOSURE I                                                            \                      ENCLOSURE I




                  Defense Spectrum Issues
                            Findings: DOD Spectrum Certification Process Results

                  • Some Examples of Systems That Failed to Adequately Develop, Consider,
                    or Act on Spectrum Supportability Knowledge – Resulting in Recent
                    Operational Delays and Limitations or the Need for System Redesign –
                    Include:

                      ¾ B-2 Radar - The B-2 Radar Is Being Redesigned Due to High Probability of Interference
                        with Primary Users in the Fielded Radar System’s Frequency Band
                      ¾ Enhanced Position Location Reporting System (EPLRS) / Situational Awareness Data Link
                        (SADL) - EPLRS/SADL Operates in a Band Not Authorized for Such Equipment Resulting
                        in Significant Spectrum Supportability Issues Both in the U.S. and in Host Nations.
                        Currently, Not Allowed to be Used in Germany or Korea
                      ¾ Global Hawk/Commercial SATCOM Data Links – Under Current U.S. Regulations, Global
                        Hawk’s Commercial SATCOM Data Links, Which Operate in Exclusive Nongovernment
                        Fixed Satellite Service Bands, Cannot be Certified and Must Operate on a Noninterference
                        Basis
                      ¾ Remote Ordinance Neutralization System (RONS) - Procurement Proceeded without
                        Operational Certification Resulting in Systems Being Fielded with Significant Limitations
                        Before System Reconfiguration



                                                                                                                11




                  Defense Spectrum Issues
                            Findings: DOD Spectrum Certification Process Results

                  • Based on Our Review of Recent Acquisitions, Timely
                    Consideration of Spectrum Supportability Continues to Be a
                    Problem
                          ¾ Majority of Initial Filings Come in at Later Stages of System Development
                          ¾ Filings Made Significantly After Frequency Bands Identified by Developers
                          ¾ Filings Not Approved by Time of Research & Development (R&D) Contract
                            Award
                               •   Navy’s AN/APG-79 Active Electronically Scanned Array (AESA) Radar
                               •   Air Force’s PICOSat Mission

                          ¾ Initial or Accurate Filings Made After R&D Contract Award
                               •   Airport Surveillance and Precision Approach Radar Control System (ASPARCS)
                               •   Naval Space Surveillance System (NSSS)

                          ¾ Filings Not Made by Time of Equipment Purchase or Fielding
                               •   Global Positioning System Re-Radiating Kits
                               •   U.S. Army Pacific Command Tri-Band SAT COM C4ISR Tri-Band Terminals


                                                                                                                12




Page 11                                                                                  GAO-03-617R Defense Spectrum Management
          ENCLOSURE I                                             \                 ENCLOSURE I




                  Defense Spectrum Issues
                         Findings: DOD Spectrum Certification Results




                  • Even When Developers Seek Guidance – Feedback May Be
                    Ignored

                            ¾ Common Low Observable Verification System (CLOVerS)

                            ¾ Force Protection Airborne Surveillance System (FPASS) –
                              Force Protection Unmanned Aerial Vehicle

                            ¾ AN/SRC-59 Shipwide Interior Wireless Communications
                              System




                                                                                             13




                  Defense Spectrum Issues
                         Findings: Why Spectrum Consideration Problems Happen


                  • Reasons for Failing to Obtain Guidance Early Include:

                     ¾ A Lack of Clarity in the Guidance for Early Stage Filings and Alignment
                       with Current Acquisition Models

                     ¾ A Lack of an Enforcement Mechanism

                     ¾ A Lack of an Effective Means for the Spectrum Management
                       Community to Identify Spectrum-Dependent Programs

                     ¾ A Lack of Spectrum Supportability Awareness by Program Managers



                                                                                             14




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          ENCLOSURE I                                                     \               ENCLOSURE I




                  Defense Spectrum Issues
                         Findings: Why Spectrum Consideration Problems Happen


                  • Reasons for Failing to Obtain Guidance Early (cont.)
                     ¾ Due to Trade-offs in Program Decision-Making to Reach Program
                       Objectives Such As:
                         • A Function of Development Approach
                         • The Acquisition of Commercial-Off-the-Shelf (COTS) Equipment
                         • The Belief that Filings Should Be Made After Detailed System Technical
                           Parameters Can Be Defined
                         • A Function of Resource Constraints

                  • Reasons Developers May Ignore Feedback
                     ¾ Misguided Reliance on Prior History
                         • Shipwide Interior Wireless Communications System
                         • Force Protection Unmanned Aerial Vehicle



                                                                                                    15




                  Defense Spectrum Issues
                         Findings: Why Spectrum Consideration Problems Happen


                  • R&D Contracts Awarded without Approved Guidance
                    Reasons Include:
                     ¾ A Failure to File Early Enough to Meet Program Schedules
                     ¾ A Function of the Inability of the Certification Process to Provide
                       Timely Results
                     ¾ A Failure of Enforcement
                         • AF PICOSat
                         • AN/APG-79 AESA Radar


                  • R&D Contract Awarded without Accurate Filing
                     ¾ Revised Certification Applications Not Filed Until After Contract Award
                         • Naval Space Surveillance System


                                                                                                    16




Page 13                                                                       GAO-03-617R Defense Spectrum Management
          ENCLOSURE I                                                  \                   ENCLOSURE I




                  Defense Spectrum Issues
                         Findings: Barriers to Improvement


                  • DOD Faces a Number of Current and Future Challenges to the
                    Improvement of Spectrum Supportability Consideration

                  • Current Challenges Include:

                     ¾ DOD Doesn’t Keep Metrics Assessing Process Performance
                            • Number of Certifications Completed v. Number of R&D Contracts Awarded
                            • Timeliness of Filings
                            • Cycle Time

                     ¾ No Clear Focus Who within DOD Acquisition Community Provides
                       Oversight for the Execution of Spectrum Supportability in Acquisition
                       Process
                            • Spectrum Issues Viewed Solely As the Responsibility of the Command,
                              Control, Communications and Intelligence (C3I) Community


                                                                                                      17




                  Defense Spectrum Issues
                         Findings: Barriers to Improvement


                  • Current Challenges (cont.)
                     ¾ Push to Commercial Spectrum Challenges the Current Process
                            • Commercial SATCOM
                            • Tri-Band Terminals

                     ¾ Host Nation Approval Process
                            • Decisions Regarding Use of Spectrum Are Sovereign and Subject to
                              Change without Notice
                            • Some Nations Do Not Want to See Early Filings

                     ¾ A Lack of a Common Tool for Program Decision-Making
                         • Lack of a Spectrum Certification Automation Architecture and Funding



                                                                                                      18




Page 14                                                                       GAO-03-617R Defense Spectrum Management
          ENCLOSURE I                                                              \                        ENCLOSURE I




                  Defense Spectrum Issues
                           Findings: Barriers to Improvement


                  • Future Challenges
                     ¾ Current Spectrum Certification Process Not Seen As Supporting
                       Evolutionary Acquisition/Spiral Development Time Frames
                               •   Prior Studies – 1999 Air Force Scientific Advisory Board
                               •   Service Indicated Lead Times
                               •   Interviews
                               •   Examples

                     ¾ Current Processes May Not Support Certification of Cutting Edge
                       Technology
                               • Software Defined Radios
                               • Ultrawide Band Systems




                                                                                                                         19




                  Defense Spectrum Issues
                           DOD Actions Addressing These Issues

                     •   The DOD Spectrum Management Community Has Undertaken a Number of Efforts to
                         Address Some of the Identified Issues, but More Is Needed by Spectrum and
                         Acquisition Management Communities
                          ¾ DOD Strategic Plan for Department of Defense Spectrum Management, December 3, 2002,
                             which among other things established goal of improving spectrum management
                          ¾ Department of the Navy Chief Information Officer – Published Strategic Vision for Spectrum
                             which among other things establishes need to consider spectrum requirements in system
                             development
                          ¾ Defense Spectrum Office – Leading a spectrum supportability initiative to improve the
                             spectrum certification process
                          ¾ Army Spectrum Management Office – Contracted with SI International to Make
                             Recommendations on How to Improve the Army’s Spectrum Certification and Frequency
                             Assignment Request Processes
                          ¾ Air Force Air Combat Command – Created a Host Nation Spectrum Worldwide Database and
                             a Risk Assessment Tool for Program Managers
                          ¾ Joint Spectrum Center – Along with the Defense Spectrum Office, cooperatively working with
                             the Combatant Commands, Joint Staff, and Military Services to formally document
                             requirements for a Spectrum Supportability System (funding for development of the system
                             has not yet been identified)


                                                                                                                         20




Page 15                                                                                    GAO-03-617R Defense Spectrum Management
          ENCLOSURE I                                                                   \                         ENCLOSURE I




                  Defense Spectrum Issues
                            Summary Observations


                     •    Compliance With the Process Is No Assurance That Systems
                          Can Be Used to Full Capabilities
                             ¾ May Be Due to Technical Constraints, Host Nation Restrictions, etc.

                     •    Early Assessment Affords Opportunity to Better Manage
                          Programmatic and Operational Risks

                     •    Currently, Many Systems Do Not Consider Spectrum
                          Supportability Until Late in Development/Fielding When
                          Problems Are More Difficult to Deal with

                     •    Opportunities Exist to Improve Spectrum Supportability


                                                                                                                               21




                  Defense Spectrum Issues
                            Recommendations

                    To ensure that spectrum supportability considerations are appropriately addressed in the
                    development and acquisition of weapon systems, we recommend that the Secretary of Defense

                      •   Direct the Under Secretary of Defense for Acquisition, Technology and Logistics; the Assistant
                          Secretary of Defense for Command, Control, Communications and Intelligence; and appropriate
                          service officials to update the spectrum supportability guidance contained in their respective
                          spectrum management and acquisition policy directives and instructions to

                           ¾ Ensure program managers develop spectrum supportability knowledge, apply for spectrum
                             certification, and consider of spectrum operational risks at the earliest points possible,

                           ¾ Provide uniformity of spectrum management policies across the services, and

                           ¾ Provide a spectrum certification process with the flexibility to align with current acquisition
                             models.

                      •   Measure spectrum management compliance and process performance to determine how well
                          spectrum supportability considerations are addressed in the acquisition process.

                      •   Establish and ensure appropriate funding for a program of record to develop a spectrum
                          management automation architecture and to implement current and future spectrum management
                          automation development efforts.


                                                                                                                               22




Page 16                                                                                          GAO-03-617R Defense Spectrum Management
          ENCLOSURE I                                                                    \                          ENCLOSURE I




                  Defense Spectrum Issues
                            Recommendations

                    We also recommend that the Secretary of Defense identify an official or officials within the Office
                    of the Under Secretary of Defense for Acquisition, Technology and Logistics to

                      •   Be accountable for oversight and enforcement of spectrum management in the acquisition
                          process,

                      •   Establish a mechanism to identify to the spectrum management community new systems that
                          may ultimately require spectrum certification,

                      •   Establish a mechanism that provides the spectrum management community program schedule
                          data for systems that may require spectrum certification both to facilitate their prioritization of work
                          effort and enable measurement of process enforcement and responsiveness, and

                      •   Establish a mechanism to ensure—in line with DOD Directive 4650.1—that programs requiring
                          spectrum certification do not proceed beyond Milestone B of the acquisition process without
                          approved spectrum certification. In order to allow acquisition flexibility when required, waivers
                          may be allowed by the official or officials identified within the Office of the Under Secretary based
                          on appropriate cause, risk mitigation strategy, and compliance deadline.




                                                                                                                                23




                  Defense Spectrum Issues




                                                     Backup Slides




                                                                                                                                24




Page 17                                                                                           GAO-03-617R Defense Spectrum Management
          ENCLOSURE I                                                                                   \                             ENCLOSURE I




                  Defense Spectrum Issues
                              Recent Changes to DOD 5000 Series

                      ¾ Previous DOD Directive 5000.1

                      “Program managers shall give full consideration to all aspects of system
                         support, including … spectrum management and the operational
                         electromagnetic environment.”

                      ¾ Current Draft DOD Directive 5000.1

                      “Acquisition managers shall provide U.S. Forces with systems and
                        families of systems that are secure, reliable, interoperable, compatible
                        with the electromagnetic spectrum environment, and able to
                        communicate across a universal information technology infrastructure,
                        including ….”



                                                                                                                                             25




                  Defense Spectrum Issues
                              DOD 5000 Series (cont.)
                   ¾Previous DOD Instruction 5000.2
                   “All programs shall …be designed to be mutually compatible with other electric or electronic equipment and the operational
                   electromagnetic environment…be certified for spectrum supportability….”

                   “Prior to approving entry into System Development and Demonstration at Milestone B, the MDA shall consider … whether
                   an application for frequency allocation has been made (if the system will require utilization of the electromagnetic
                   spectrum)….”

                   “Prior to making the milestone [C] decision, the MDA shall consider…whether an application for frequency allocation has
                   been approved (for systems that require utilization of the electromagnetic spectrum)….”

                   “The PM shall ensure that a flexible, performance-oriented strategy to sustain systems is developed and executed. This
                   strategy will include consideration of the full scope of operational support, such as… spectrum supportability….”
                                Application for Frequency Allocation (DD     47 U.S.C.§305 (reference (ar))             MS B
                                Form 1494) (applicable to all                Pub. L. 102-538 §104 (reference (as))      MS C (if no MS B)
                   Table 1:     systems/equipment that require utilization
                                of the electromagnetic spectrum)             47 U.S.C. §901-904 (reference (at))

                   ¾Current Draft DOD Directive 5000.2 makes table reference only
                                Spectrum Certification Compliance (DD        47 U.S.C. 305, reference (y)               MS B
                                Form 1494) (applicable to all                Pub. L. 102-538, 104, reference (z)        MS C (if no MS B)
                                systems/equipment that require utilization
                                                                             47 U.S.C. 901-904, reference (aa)
                                of the electromagnetic spectrum)
                                                                             DOD Directive 4650.1, reference (aa)
                                                                             OMB Circular A-11, Part 2, reference (b)


                                                                                                                                             26




Page 18                                                                                                              GAO-03-617R Defense Spectrum Management
          ENCLOSURE I                                     \             ENCLOSURE I




                     Defense Spectrum Issues
                           DOD 5000 Series (cont.)




                     • Missile Defense and Space Communities Developing Their
                       Own Acquisition Processes Outside the DOD 5000 Series




                                                                                27




          (120144)




Page 19                                                        GAO-03-617R Defense Spectrum Management
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