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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 of 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 ofthree basic phases: equipment certification,frequency assignment and host nationapproval.Phase 1: Equipment CertificationBefore a unit decides to purchase or developequipment that requires use of thespectrum, it must obtain an equipmentcertification,a“permit to operate,”from theNational Telecommunications and InformationAdministration (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 of the spectrum managementprocess.An increasing number of DD 1494s are arrivingat NMSC from units seeking certificationto operate commercial-off-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 of 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 of the certifiedequipment that will be used. Thegranting of a frequency assignment, a licenseto operate, gives a unit the authorityto operate a piece of equipment on aspecified frequency, frequencies or frequencyband at a specific location and undera specific set of conditions.The spectrum management process isn’ta one-way street, of course. NMSC engineersand telecommunications specialistswho are responsible for shepherding DD1494s through Phase 1 (equipment certification)and Phase 2 (frequency assignment)often contact manufacturers, in thecase of 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 of 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 of time required include: how thehost nation uses the frequencies being requested,equipment certification, outputpower,and in-country locations and lengthof 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