## Instruction


ASD(NII) SUBJECT: Policy and Procedures for Management and Use of the Electromagnetic Spectrum References: See Enclosure 1
1.  PURPOSE.  This Instruction:
a.  Reissues DoD Directive (DoDD) 4650.1 (Reference (a)) as a DoD Instruction in accordance with the guidance in DoD Instruction (DoDI) 5025.01 (Reference (b)) and the authority in DoDD 5144.1 (Reference (c)).

b.  Establishes policy, assigns responsibilities, and provides instructions for management and use of the electromagnetic spectrum in accordance with Reference (c).

c.  Implements section 305 and chapter 8 of title 47, United States Code (Reference (d));
Office of Management and Budget (OMB) Circular A-11, Part 2, Sec. 33.4 (Reference (e)); and the Manual of Regulations and Procedures for Radio Frequency Management (Reference (f)).

2.  APPLICABILITY.  This Instruction applies to OSD, the Military Departments, the Office of the Chairman of the Joint Chiefs of Staff and the Joint Staff, the Combatant Commands, the Office of the Inspector General of the Department of Defense, the Defense Agencies, the DoD Field Activities, and all other organizational entities within the Department of Defense (hereafter referred to collectively as the "DoD Components").

3.  DEFINITIONS.  See Glossary.

4.  POLICY.  It is DoD policy that:
a.  The electromagnetic spectrum (hereafter referred to as "spectrum") is a critical resource, and access to the spectrum is vital to the support of military operations.  Proper management and use of the spectrum available to the Department of Defense shall be an integral part of military planning, research, development, testing, and operations involving spectrum-dependent (S-D)
systems.

b.  Spectrum policy and spectrum management functions shall be guided by the following core principles:

(1)  Ensure the U.S. warfighter has sufficient spectrum access to support military capabilities.


(2)  Support a U.S. spectrum policy that balances national and economic security, with national security as the first priority.


(3)  Use the spectrum as efficiently and effectively as practical to provide the greatest overall benefit to warfighting capability.


(4)  Pursue spectrum-efficient technologies to support the increasing warfighter demand for spectrum access and encourage development of S-D systems that can operate in diverse electromagnetic environments (EMEs).


(5)  Actively support U.S. policies and interests in international spectrum bodies and in international and bilateral negotiations for spectrum allocation and use.

c.  DoD Components shall comply with U.S. (Reference (f)) and host nation (HN) spectrum regulations and obtain applicable authorizations before operating S-D systems.

d.  DoD Components shall obtain U.S. Government (USG) certification of spectrum support, as required by Reference (f), prior to authorization to operate for experimental testing, developmental testing, or operations of S-D systems in the United States and its possessions (US&P).  As required by Reference (e), USG certification of spectrum support shall be obtained prior to submission of cost estimates (i.e., prior to Defense Acquisition System Milestone B (Reference (i)) for development or procurement of major S-D systems and for all space and satellite systems.  In addition, some HNs require their own certification before providing authorization to operate.

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. (2)  Review these assessments at acquisition milestones. (3)  Manage the risks throughout the system's lifecycle.



f.  To facilitate planning, DoD Components shall ensure current and complete technical performance (parametric) data on S-D systems is captured in DoD spectrum management databases.


g.  In accordance with Reference (f), DoD Components shall consider sharing the spectrum with other Federal agencies and with commercial spectrum users.  Sharing of spectrum shall be accomplished:
(1)  Without degradation to the DoD mission. (2)  In a manner that provides current and future DoD users with sufficient regulatory protection.


(3)  With minimal risk that such sharing will result in loss of access to the spectrum necessary to perform the DoD mission.

5.  RESPONSIBILITIES.  See Enclosure 2.

6.  PROCEDURES.  See Enclosure 3.

7.  RELEASABILITY.  UNLIMITED.  This Instruction is approved for public release and is available on the Internet from the DoD Issuances Web Site at http://www.dtic.mil/whs/directives.

8.  EFFECTIVE DATE.  This Instruction is effective immediately. Enclosures
1.  References

2.  Responsibilities

3.  Procedures

Glossary

ENCLOSURE 1

REFERENCES (a) DoD Directive 4650.1, "Policy for Management and Use of the Electromagnetic
Spectrum," June 8, 2004 (hereby canceled)
(b) DoD Instruction 5025.01, "DoD Directives Program," October 28, 2007 (c) DoD Directive 5144.1, "Assistant Secretary of Defense for Networks and Information
Integration/DoD Chief Information Officer (ASD(NII)/DoD CIO)," May 2, 2005
(d) Section 305 and Chapter 8 of title 47, United States Code (e) Part 2, Section 33.4 of Office of Management and Budget Circular A-11, "Preparing and
Submitting Budget Estimates," as amended
(f)
National Telecommunications and Information Administration, "Manual of Regulations
and Procedures for Federal Radio Frequency Management," as amended
(g) DoD Directive 3222.3, "DoD Electromagnetic Environmental Effects (E3) Program,"
September 8, 2004
(h) DoD Directive 5000.01, "The Defense Acquisition System," May 12, 2003 (i)
DoD Instruction 5000.2, "Operation of the Defense Acquisition System," December 2,
2008
(j)
National Security Space Acquisition Policy 03-01, "Guidance for DoD Space System
Acquisition Process," December 27, 2004
(k) DoD Directive 5100.35, "Military Communications-Electronics Board (MCEB),"

March 10, 1998
(l)
DoD Directive 5100.1, "Functions of the Department of Defense and Its Major
Components," August 1, 2002
(m) International Telecommunication Union (ITU) Radio Regulations, as amended
(n) DoD Directive 5100.03, "Support of the Headquarters of Combatant and Subordinate Joint
Commands," March 24, 2004
(o) DoD Directive 4630.05, "Interoperability and Supportability of Information Technology
(IT) and National Security Systems (NSS)," April 23, 2007
(p) DoD Instruction 4630.8, "Procedures for Interoperability and Supportability of Information
Technology (IT) and National Security Systems (NSS)," June 30, 2004
(q) Joint Publication 1-02, "Department of Defense Dictionary of Military and Associated
Terms," as amended
ENCLOSURE 2

RESPONSIBILITIES 1.  ASSISTANT SECRETARY OF DEFENSE FOR NETWORKS AND INFORMATION INTEGRATION/DoD CHIEF INFORMATION OFFICER (ASD(NII)/DoD CIO).  The ASD(NII)/DoD CIO, as the Principal Staff Assistant on spectrum matters within the Department of Defense, nationally, and internationally, and in addition to the responsibilities in paragraph 5
of this enclosure, shall:
a.  Establish policy, oversee its implementation, and provide direction and guidance for all DoD matters related to the electromagnetic spectrum in accordance with Reference (c).



b.  Provide direction and guidance for DoD implementation of USG spectrum management policies (References (d) and (f)) and applicable international spectrum management policies.

c.  Provide, in coordination with the Under Secretary of Defense for Intelligence, guidance with respect to spectrum management and use by intelligence, surveillance and reconnaissance sites, platforms, and activities.

d.  Provide direction for the development of DoD positions for, and DoD participation in, international and regional spectrum forums, including national, regional, and international preparatory activities for the International Telecommunication Union World Radio Communication Conferences.

2.  DIRECTOR, DEFENSE INFORMATION SYSTEM AGENCY (DISA).  The Director, DISA, under the authority, direction, and control of the ASD(NII)/DoD CIO and in addition to the responsibilities in paragraph 5 of this enclosure, shall:

a.  Provide for the development of integrated spectrum plans and long-term strategies to address current and future needs for DoD spectrum access.

b.  Provide spectrum management support to the ASD(NII)/DoD CIO, the Chairman of the Joint Chiefs of Staff, Combatant Commanders (CCDRs), Secretaries of Military Departments, and Directors of Defense Agencies.

c.  Provide support to the ASD(NII)/DoD CIO on national and international spectrum issues and in the pursuit of emerging spectrum technologies in DoD acquisitions.

d.  Establish and maintain a capability to perform required electromagnetic compatibility
(EMC) analyses and studies to support effective use of spectrum-dependent systems in EMEs and accomplish national security and military objectives in accordance with DoDD 3222.3
(Reference (g)).


e.  Develop and maintain a Defense Spectrum Management Architecture, a key component of the Global Information Grid Architecture.

f.  Develop, maintain, and enhance DoD joint standard spectrum management information systems and components, to include DoD spectrum management-related databases and analytical tools and capabilities.

g.  Provide, when requested or authorized by the ASD(NII)/DoD CIO, representation to non-
IRAC national and/or international spectrum-related forums.

h.  Provide members to Military Communications-Electronics Board (MCEB) and its panels and working groups per DoDD 5100.35 (Reference (k)).


3.  UNDER SECRETARY OF DEFENSE FOR ACQUISITION, TECHNOLOGY, AND
LOGISTICS (USD(AT&L)).  The USD(AT&L), in addition to the responsibilities in paragraph 5
of this enclosure, shall:
a.  As the DoD Acquisition Executive, ensure the policies outlined in section 4 of the front matter of this Instruction are:

(1)  Incorporated into the DoD 5000 series acquisition documents (DoDD 5000.01 and DoDI 5000.2 (References (h) and (i)) and National Security Space Acquisition Policy 03-01
(Reference (j))).


(2)  Adequately addressed during system acquisitions.

b.  Promote innovative, spectrum-efficient technologies to optimize use and effectiveness of available spectrum resources in all acquisitions including advanced concept development, international cooperative programs, and evolutionary acquisitions.


4.  DIRECTOR, OPERATIONAL TEST AND EVALUATION (DOT&E).  The DOT&E, in addition to the responsibilities in paragraph 5 of this enclosure, shall ensure spectrum requirements are considered during evaluations and assessments of acquisition programs under test and evaluation oversight.

5.  HEADS OF THE DoD COMPONENTS.  The Heads of the DoD Components shall:
a.  Implement applicable provisions of References (e), (f), and (g) regarding spectrum management.

b.  Develop procedures to implement the policies in section 4 of the front matter of this Instruction to include:


(1)  Procedures to obtain USG and HN government authorization to operate S-D systems.


(2)  Procedures to obtain USG and HN certification of spectrum support.



(3)  Procedures to determine if there will be sufficient spectrum to support operation of the S-D system during its life cycle.


(4)  Procedures to identify and mitigate, as early as possible, spectrum supportability risks using spectrum supportability risk assessments.


(5)  Procedures to ensure current and complete technical performance (parametric) data on their S-D systems are captured in DoD spectrum management databases.


c.  Promote the use of innovative spectrum-efficient technologies and development of systems that can operate in diverse EMEs.

d.  Use DoD joint standard spectrum management information systems, databases, analytical tools and information exchange formats; and develop, maintain, and enhance spectrum-related analytical tools to support unique Component capabilities.

6.  SECRETARIES OF THE MILITARY DEPARTMENTS.  The Secretaries of the Military Departments, in addition to the responsibilities in paragraph 5 of this enclosure, shall:
a.  Implement spectrum management policies in accordance with this and other applicable DoD issuances by issuing guidance within their respective Military Departments.

b.  Provide representatives to the Interdepartment Radio Advisory Committee (IRAC) and its substructure, per Reference (f), to represent respective departmental interests.

c.  Provide, when requested or authorized by the ASD(NII)/DoD CIO, representation at non-
IRAC national and/or international spectrum-related forums.

d.  Ensure their respective Department's spectrum management interests are represented on the Military Communications-Electronics Board (MCEB) and its panels and working groups per DoDD 5100.35 (Reference (k)).

e.  Develop and maintain a cadre of qualified spectrum management personnel to support planning and warfighting efforts.

7.  CHAIRMAN OF THE JOINT CHIEFS OF STAFF.  The Chairman of the Joint Chiefs of Staff, in addition to the responsibilities in paragraph 5 of this enclosure, shall:
a.  Represent the interests of the CCDRs related to spectrum management matters per DoDD
5100.1 (Reference (l)).

b.  Authorize the Chair of the MCEB to recommend spectrum management policies and procedures to the ASD(NII)/DoD CIO in accordance with  Reference (k).


c.  Provide, on behalf of the CCDRs and in coordination with ASD(NII)/DoD CIO, operational direction related to spectrum management matters to the Director, DISA.

ENCLOSURE 3

PROCEDURES 1.  USG AND HN REQUIREMENTS
a.  USG Certification of Spectrum Support

(1)  Certification of spectrum support shall be obtained as required (Reference f) prior to authorization to operate for experimental testing (Stage 2), developmental testing (Stage 3), or operations (Stage 4) of S-D systems.  (See Chapter 10 of Reference (f) for descriptions of the Stages of Certification.)  Electronic attack systems, while S-D, are excluded from this requirement within the US&P (Reference (f)), but are not excluded from other requirements in this Instruction.


(2)  DoD Components shall request certification of spectrum support using procedures in References (f) and (k).


(3)  Additionally, as required by Reference (e), this certification must be completed prior to submission of cost estimates for development or procurement of major S-D systems and for all space and satellite systems.


(4)  Additional coordination is required for satellite systems per References (f), (k), and
(m).  Information required for requesting either an exemption from the International Telecommunication Union (ITU) registration or advanced publication, coordination, and notification of a particular space system must be submitted to the National Telecommunications and Information Administration (NTIA).

b.  HN Certification of Spectrum Support.  DoD Components shall request HN certification of spectrum support for S-D systems using procedures established  CCDR agreements with HNs and Reference (k).  Requirements for certification vary by HN.

c.  USG Authorization to Operate (Frequency Assignment)

(1)  DoD Components shall request authorization to operate S-D systems in the US&P
using procedures in Reference (f).


(2) Military Departments shall support Combatant Commands' requests for authorization to operate as outlined in DoDD 5100.3 (Reference (n)).

d.  HN Authorization to Operate (Frequency Assignment).  DoD Components shall request HN authorization to operate S-D systems using procedures established in CCDR agreements with HNs.  Requirements for authorizations to operate vary by HN.

2.  SPECTRUM SUPPORTABILITY RISK ASSESSMENTS (SSRAs)
a.  DoD Components' S-D system developers shall identify and mitigate regulatory, technical, and operational 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 the S-D system's design matures.

b.  DoD Components' S-D system developers shall assess the risk for harmful interference with other S-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 other developmental risks through systems engineering processes (Reference (i)).



d.  DoD Components' S-D system developers are encouraged to initiate the SSRA in order to help identify regulatory, technical, and operational risks while completing the appropriate stage of certification of spectrum support.

e.  Complex "family of systems" or "system-of-systems" may require more than one SSRA.

3.  ACQUISITION OVERSIGHT OF SPECTRUM SUPPORTABILITY RISKS
a.  Prior to acquisition milestones, DoD Components' S-D system developers shall provide their SSRAs to their Chief Information Officers (CIOs) or another office designated by their Component Head.

b.  DoD Component CIOs or other designated office shall review the SSRAs and provide recommendations to inform Milestone Decision Authority decisions (see Table 1).

c.  In addition, DoD Components' S-D system developers shall update their SSRAs prior to requesting authorization to operate (for other than testing) in the United States or in HNs.

d.  For information technology and national security systems subject to DoDD 4630.5
(Reference (o)), DoD Components shall include SSRAs in the Information Support Plan in accordance with DoDI 4630.8 (Reference (p)).

##

TECHNOLOGY
DEVELOPMENT
DEFENSE
ACQUISITION
SYSTEM PHASE
MATERIEL
SOLUTION
ANALYSIS
PRODUCTION
AND
DEPLOYMENT
OPERATIONS
AND
SUPPORT
ENGINEERING
AND
MANUFACTURING
DEVELOPMENT
AND
DEMONSTRATION
EVENT
MS A
MS B
MS C

REQUEST
AUTHORIZATION
TO OPERATE -
OTHER THAN
TESTING
Stage 1:
Conceptual
Stage 2:
Experimental
Stage 3:
Developmental
Stage 4:
Operational

REQUIRED USG
STAGE OF
CERTIFICATION
OF SPECTRUM
SUPPORT FOR
EACH EVENT
Initial
Regulatory
SSRA

Detailed Regulatory
SSRA
Updated Regulatory
SSRA


Initial Technical
SSRA
Updated Technical
SSRA

Detailed
Technical
SSRA
REQUIRED
SSRA
COMPONENTS
FOR EACH
EVENT (SEE
APPENDIX TO
THIS
ENCLOSURE
FOR
DESCRIPTIONS)

Initial Operational
SSRA

Updated
Operational
SSRA


 4.  S-D SYSTEM TECHNICAL DATA.  S-D system technical data is required for tactical military planning, USG spectrum usage planning, and as input to radio frequency propagation and interference assessment tools.

a.  DoD Components shall provide current and complete technical performance (parametric)
data on their S-D systems to DISA throughout the system's lifecycle in accordance with MCEB procedures.

b.  DISA shall establish and maintain data standards and data collection procedures in coordination with DoD Components. Appendix Spectrum Supportability Risk Assessments - Suggested Tasks

## Appendix To Enclosure 3 Spectrum Supportability Risk Assessments - Suggested Tasks.


Regulatory
Initial
Regulatory
SSRA
Tasks
- Determine countries for likely operational deployment within each CCDR area
of responsibility.
- Determine the internationally recognized radio service of all S-D sub-systems.
- Identify portions of the system's tuning range supported by each HN's table of
frequency allocation.
- Determine the relative regulatory status, for example, co-primary or secondary,
assigned to the radio service by the HN's table of frequency allocations.
- Obtain international comments on U.S. military systems of the same radio
service and with similar technical characteristics submitted for HN spectrum
certification (available via the DoD Host-Nation Worldwide Database Online).
- Identify other U.S. military, U.S. civil, and non-U.S. co-band and adjacent-band
and harmonically-related systems likely to be co-site or in close proximity by
querying DoD system databases or the appropriate NTIA database.
- Identify risks and develop recommendations for mitigation of regulatory issues.
Detailed
Regulatory
SSRA
Tasks
- Address MCEB, NTIA and other guidance resulting from the certification of
spectrum support process.
- Consult with the DoD Component spectrum management office regarding
changes to U.S. Federal or civil telecommunication regulations impacting the
system's frequency bands.
- Determine if the system meets appropriate military, U.S. national, and
international spectrum standards for radiated bandwidth and transmitter characteristics.
- Quantify the impacts of any changes to USG or international spectrum
regulations or technical sharing criteria.
- Identify risks and develop recommendations for mitigation of regulatory issues.
Updated
Regulatory
SSRA
Tasks
- Address MCEB, NTIA and other guidance resulting from the certification of
spectrum support process.
- Consult with the DoD Component spectrum management office regarding
changes to U.S. Federal or civil telecommunication regulations impacting the
system's frequency bands.
- Identify risks and develop recommendations for mitigation of regulatory issues.

Technical
Initial
Technical
SSRA
Tasks
- Determine candidate technologies and their technical parameters:
o Application:  fixed, transportable, mobile o Host platform (dismounted soldier, airborne, tactical operations center,
etc.)
o Frequency range of operation
o Required data throughput o Receiver selectivity o Receiver criteria required for desired operation o Required radiated bandwidth o Transmitter power output
o Antenna performance characteristics o Anticipated HNs for deployment
- Perform an initial EMC analysis to identify electromagnetic interactions that
require further study.  The analysis should use, as a minimum, technical parameters for the candidate system and the technical parameters of S-D systems expected to be in the candidate's operational environment.
- Evaluate the initial system parameters with respect to U.S. and appropriate
international spectrum standards; develop plans to address non-compliant
systems.
- Identify risks and develop recommendations for mitigation of technical issues.
Detailed
Technical
SSRA
Tasks

- Evaluate system's performance and effect on other S-D system that operates cofrequency or adjacent frequency expected to be found in the intended operational environment.
- Determine the acceptable received interference level between the system being
analyzed and other spectrum-dependent systems to ensure neither is significantly degraded and that coexistence is feasible.
- Use measured performance of the system's receiver, transmitter, antenna, and
appropriate propagation models whenever feasible.
- Use propagation models developed specifically for mobile communications
systems to determine any potential link degradation and blockage due to
atmospheric conditions or terrain and building obstructions within intended deployments areas.
- Consider overall system performance to include link availability, with and
without interference, while taking into account the effects of the environment (e.g., considering path loss, rain attenuation, humidity, climate, temperature,
and water and oxygen absorption).
- 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 interference.
- Quantify intra-platform EMC among co-sited emitters and receivers for
complex "system-of-systems" platforms in terms of the possibility and influence of:
o Inter-modulation o Transmitter Harmonic Interference o Transmitter Spurious Output Interference o Transmitter Noise Interference o Receiver Desensitization Interference
- Compare the measured system parameters with U.S. national and appropriate
international spectrum standards.
- Generate technical recommendations regarding mitigating potential interference
by implementing channelization plans, advanced narrow-beam antennas,

(active, spot and contoured-beam, etc.), as well as use of passive radio frequency components (filters, diplexers, couplers, etc.).
- Identify risks and develop recommendations for mitigation of technical issues. - Quantify impact of changes to the operational "signals-in-space" radio
frequency parameters to co-site EMC and E3.
- Identify risks and develop recommendations for mitigation of technical issues.
Updated
Technical
SSRA
Tasks

Operational
Initial
Operational
SSRA
Tasks
- Determine the expected complement of S-D systems anticipated to be in the
system's operating environment.  The system should operate without experiencing or causing interference as part of the DoD response to
conventional and non-conventional (disaster relief) missions.
- Perform a more extensive EMC analysis quantifying the potential interference
between the candidate system and the S-D systems used by other DoD units in the operational environment.  Express the results in operational terms, e.g., the frequency-distance separation requirements between a transmitter and a receiver that must be maintained to achieve compatibility.
- Identify risks and develop recommendations for mitigation of technical issues.
Updated
Operational
SSRA
Tasks
- Refine the expected complement of S-D systems anticipated to be in the
system's operating environments.
- Refine the EMC analysis quantifying the mutual interference between the
candidate system and the S-D systems used by other DoD units in the
operational environment.
- Identify risks and develop recommendations for mitigation of technical issues.
GLOSSARY

PART I.  ABBREVIATIONS AND ACRONYMS

ASD(NII)/DoD CIO
Assistant Secretary of Defense for Networks and Information
Integration/Department of Defense Chief Information Officer


CIO
chief information officer
CCDR
Combatant Commander


DISA
Defense Information Systems Agency
DoDD
Department of Defense Directive
DoDI
Department of Defense Instruction


E3
electromagnetic environmental effects
EMC
electromagnetic compatibility
EME
electromagnetic environment
EMI
electromagnetic interference


HN
host nation


IRAC
Interdepartment Radio Advisory Committee
ISP
Information Support Plan
ITU
International Telecommunication Union


MCEB
Military Communications-Electronics Board


MILDEP
Military Department


NTIA
National Telecommunications and Information Administration


OMB
Office of Management and Budget


S-D
spectrum-dependent
SSRA
spectrum supportability risk assessment


USG
United States Government
US&P
United States and its possessions

PART II.  DEFINITIONS Unless otherwise noted, these terms and their definitions are for the purpose of this Instruction. EMC.  Defined in Joint Publication 1-02 (Reference (q)).


EME.  Defined in Reference (q). E3.  Defined in Reference (q).

electromagnetic spectrum.  Defined in Reference (q).  The terms "electromagnetic spectrum" and
"spectrum" are synonymous.


certification of spectrum support.  Certification by the NTIA that a candidate system conforms to the US&P spectrum allocation scheme.  Requirements for obtaining spectrum support for new telecommunications systems or major modifications of an existing system are found in Chapter 10 of Reference (f).  Some HNs have similar certifications but requirements vary.


HN.  Defined in Reference (q).

S-D systems.  All electronic systems, subsystems, devices, and/or equipment that depend on the use of the spectrum to properly accomplish their function(s) without regard to how they were acquired (full acquisition, rapid acquisition, Joint Concept Technology Demonstration, etc.) or procured (commercial off-the-shelf, government off-the-shelf, non-developmental items, etc.).

SSRA.  Risk assessment performed by DoD Components for all S-D systems to identify risks as early as possible and affect design and procurement decisions.  These risks are reviewed at acquisition milestones and are managed throughout the system's lifecycle.