It is clear that spectrum is a keycomponent in achievinginformation dominance forfuture U.S. military operations.The DON spectrummanagement process, if adheredto, will greatly enhance thewarfighter’s ability to haveseamless and transparent accessto spectrum’s extraordinarycapabilities for transmittinginformation.The 22-screen multiplex cinema down thestreet from Ray Willis’ <strong>of</strong>fice in Alexandria,Va.,does a brisk business on most days,butRay rarely has time to catch Hollywood’shottest new flicks. He and his colleaguesare too busy working on a blockbuster <strong>of</strong>their own that has real-world implicationsfor <strong>Department</strong> <strong>of</strong> the <strong>Navy</strong> (DON)warfighters afloat and ashore.Ray is part <strong>of</strong> a team <strong>of</strong> dedicated pr<strong>of</strong>essionalsat the <strong>Navy</strong> and Marine Corps SpectrumCenter (NMSC), formerly NAVEMSCEN, focusedon managing the DON’s use <strong>of</strong> theelectromagnetic spectrum — a class <strong>of</strong> radiowaves propagated by a system <strong>of</strong> electricand magnetic fields that include the fullrange <strong>of</strong> radiant energy from radio andlight waves to gamma and cosmic rays. Atmosphericinteraction with these wavesprovides characteristics that can be harnessed,using electronic systems and devices,totransmit information.Supporting the management and use <strong>of</strong>the radio spectrum from the NMSC perspectivemeans planning and coordinatingjoint use <strong>of</strong> required frequencies throughoperational, engineering and administrativeprocedures. The objective is to enableDON spectrum-dependent systems anddevices, such as radios that support voicecommunications or digital data links, GlobalPositioning Systems, and systems fordetecting and suppressing enemy radarand communication sites,to perform theirfunctions in the intended environmentswithout causing or suffering,unacceptableinterference.Spectrum management is a high-stakesproposition. DON command and controlcenters are afloat assets with no direct accessto commercial or military communicationssystems via landline, which putscommanders in the position <strong>of</strong> beingsolely dependent upon wireless technologiesthat use spectrum to perform missionessentialtasks. Comprehensive spectrumcoordination in this environment is morethan just good policy — it is crucial to theDON’s ability to remain highly maneuverable,flexible and tactically effective.Spectrum’s CrowdedNeighborhoodAn NMSC spectrum certification engineer,Ray Willis has devoted more than 15 years<strong>of</strong> his career to managing and supportingUnited States military spectrum activities.In that time, he has seen up-close the extraordinarygrowth in the number <strong>of</strong> militaryand commercial systems and devicesusing spectrum, from high-powered mobileradar and ship/air early warning systemsto cellular telephones and personalcommunication system (PCS) devices suchas Blackberries.“The biggest change I’ve seen is that, coincidentwith the rapid technological advancesin spectrum usage, the critical importance<strong>of</strong> spectrum in mission performancehas become more and more evident,”said Willis. “You see it talked abouteverywhere. At congressional levels,at theFCC.”Like rapidly expanding suburbs near largecities, however, the crowded spectrumneighborhood is vulnerable to its own trafficjams. When individuals and organizationsforget or ignore the necessary basicsfor operating a piece <strong>of</strong> equipment harmoniouslyin the electromagnetic spectrumwith its finite number <strong>of</strong> frequencies,therecan be serious consequences.“The fact is you want the piece <strong>of</strong> equipmentto successfully operate to achieve the34 CHIPS Dedicated to Sharing <strong>Information</strong>*Technology*Experience
desired mission. You want to be able toturn it on,”said Willis. “But there have beencases where people purchased somethingand we determined later on it couldn’t beused in that [frequency] band. Whenequipment is acquired without consideringthe rules and regulations governing itsuse, or the necessary process for securingthe required authorization, then the userhas just bought himself a big paperweightbecause he cannot legally use the equipment.”The NMSC-led“process” is a key part <strong>of</strong> theDON’s approach to managing the electromagneticspectrum and ensuring its spectrum-dependentequipment can operatesuccessfully and without interference inland,air and sea-based environments. Thisspectrum management process consists <strong>of</strong>three basic phases: equipment certification,frequency assignment and host nationapproval.Phase 1: Equipment CertificationBefore a unit decides to purchase or developequipment that requires use <strong>of</strong> thespectrum, it must obtain an equipmentcertification,a“permit to operate,”from theNational Telecommunications and <strong>Information</strong>Administration (NTIA) — coordinatedthrough NMSC. The Center reviewsthe equipment application to ensure it iscompliant with spectrum managementpolicy, allocations, regulations and technicalstandards,and determines whether theradio-frequency spectrum it requires isavailable. When granted, a certificationprovides a unit the authority to conceptualize,experiment, develop or operate (andthen procure) new spectrum-dependentequipment.Equipment certification is also where a unitgets its first exposure to the DD Form 1494,Application for Equipment Frequency Allocation.The DD 1494 is the vehiclethrough which units provide specific technicalinformation to NMSC regarding theirspectrum-dependent equipment across allthree phases <strong>of</strong> the spectrum managementprocess.An increasing number <strong>of</strong> DD 1494s are arrivingat NMSC from units seeking certificationto operate commercial-<strong>of</strong>f-the-shelf(COTS) equipment, which is not surprisingsince more units are purchasing ready-touseCOTS products with military capabilitiesthat can be more cost-effective for theDON. This was the case, for example, withthe Naval Oceanographic Office Network’s(NAVO Net) Stennis Space Center headquartersin 1999 when it submitted its DD1494 for the SmartLink C-Band SATCOMTerminal, a system that proposed usingspectrum to provide ship-to-shore connectivityin support <strong>of</strong> oceanographic surveyoperations for T-AGS 51 and 60 class ships.Phase 2: Frequency AssignmentOnce a system or device has completed theequipment certification process, and a letteris produced confirming that the equipmenthas been certified, the next phase inthe spectrum management process begins:obtaining a frequency assignment. Inthis phase, a unit must submit a frequencyassignment proposal. When NMSC receivesa frequency proposal request, itmust include the nomenclature <strong>of</strong> the certifiedequipment that will be used. Thegranting <strong>of</strong> a frequency assignment, a licenseto operate, gives a unit the authorityto operate a piece <strong>of</strong> equipment on aspecified frequency, frequencies or frequencyband at a specific location and undera specific set <strong>of</strong> conditions.The spectrum management process isn’ta one-way street, <strong>of</strong> course. NMSC engineersand telecommunications specialistswho are responsible for shepherding DD1494s through Phase 1 (equipment certification)and Phase 2 (frequency assignment)<strong>of</strong>ten contact manufacturers, in thecase <strong>of</strong> COTS products from outside vendorsor the units themselves to clarify outstandingquestions and issues.Ray Willis recalls how a back-and-forth consultationbetween NMSC and one unithelped to resolve a potential pre-assignmentfrequency interference issue. TheDON wanted to install a Dry Dock FloodAlarm System at the Pearl Harbor NavalShipyard to guard against floods by measuringthe harbor water levels.“This alarm system had the potential forinterfering with some systems already operatingat the same location,” said Willis.“We suggested the unit do an on-site studyto confirm whether the new system wouldcreate interference. They determined thepower was low enough, so it would not.Sometimes we have to do things like that— to assist frequency managers at unitswhen a new frequency is being introducedand encourage them to ask,‘Have we doneeverything that is necessary to ensure electromagneticcompatibility?’”Phase 3: Host Nation ApprovalSpectrum management doesn’t stop atUnited States borders. While the DON missionis worldwide, host nations have sovereignrights over the spectrum withintheir borders. The use <strong>of</strong> U.S.spectrum-dependentcommercial and military systemsabroad requires careful coordination andnegotiation.The Host Nation Approval (HNA) phaseapplies to spectrum-dependent equipmentthat could be used in a foreign countryor its territorial waters. The DD 1494requires a unit to indicate the geographicalarea in which a system will operate. Thisdiscloses, for example, that systems likeNAVO Net’s SmartLink C-Band SATCOM Terminal,usedin worldwide ocean areas,havethe potential for interacting with a foreigngovernment’s spectrum policies and regulations.NMSC takes the lead on HNA coordination.Working with the cognizantCombatant Command (COCOM) and/orother U.S.government agencies,it securesapproval for the DON to operate its spectrum-dependentequipment outside theUnited States, which entails obtaining approvalsand certifications from host nations.Coordinating HNA can be time consuming;it can take over a year to receive authorizationfrom a country. Issues that affect theamount <strong>of</strong> time required include: how thehost nation uses the frequencies being requested,equipment certification, outputpower,and in-country locations and length<strong>of</strong> time in which equipment will be used.It is clear that spectrum is a key componentin achieving information dominancefor future U.S.military operations. The DONspectrum management process,if adheredto, will greatly enhance the warfighter’sability to have seamless and transparentaccess to spectrum’s extraordinary capabilitiesfor transmitting information. ForRay Willis and his NMSC colleagues, thatwill be better than the best Hollywoodending.You can contact the DON Spectrum Teamat DONSpectrumTeam@navy.mil.CHIPS Winter 2004 35