Spectrum Management in Defense Acquisitions (30-APR-03,
GAO-03-617R).
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, the
Department of Defense (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. Senate Report 107-151 and House Report 106-945
required us to assess DOD's spectrum management process. We
focused our assessment on (1) the results of the DOD spectrum
certification processes and (2) the reasons for those results.
-------------------------Indexing Terms-------------------------
REPORTNUM: GAO-03-617R
ACCNO: A06763
TITLE: Spectrum Management in Defense Acquisitions
DATE: 04/30/2003
SUBJECT: Internal controls
Military operations
Military policies
Radio frequency allocation
Weapons systems
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GAO-03-617R
GAO- 03- 617R Defense Spectrum Management 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 Page 2 Senate Report 107- 151
and House Report 106- 945 required us to assess the
Department of Defense*s (DOD) spectrum management process. 1 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.
GAO- 03- 617R Defense Spectrum Management Page 3 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
GAO- 03- 617R Defense Spectrum Management Page 4 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.
GAO- 03- 617R Defense Spectrum Management Page 5 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
Defense Spectrum Issues Briefing for House and Senate Armed Services
Committee Staff
2
Defense Spectrum Issues Outline
* Key Questions
Background
Findings
Recommendations
ENCLOSURE I ENCLOSURE I Page 6 GAO- 03- 617R Defense Spectrum Management
3
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?
4
Defense Spectrum Issues Background: The Spectrum Basics
Radio Frequency Spectrum Is a Finite Resource
5
Defense Spectrum Issues Background: International and National Spectrum
Management
Spectrum Is Managed through Different International and National
Policies and Organizations
International Spectrum Management
7
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
9
Defense Spectrum Issues Background: The DOD Spectrum Certification Process
CONTRACTOR CONTRACTOR CONTRACTOR CONTRACTOR
(Provides technical (Provides technical (Provides technical (Provides
technical information on equipment) information on equipment) information
on equipment) information on equipment) PROGRAM OFFICE PROGRAM OFFICE
PROGRAM OFFICE PROGRAM OFFICE
(Reviews and/ or submits (Reviews and/ or submits (Reviews and/ or submits
(Reviews and/ or submits technical information on technical information on
technical information on technical information on Government DD Form 1494)
Government DD Form 1494) Government DD Form 1494) Government DD Form 1494)
SPONSORING SPONSORING SPONSORING SPONSORING
Military Department (MILDEP) Military Department (MILDEP) Military
Department (MILDEP) Military Department (MILDEP) / Frequency Management /
Frequency Management / Frequency Management / Frequency Management Office
(FMO) Office (FMO) Office (FMO) Office (FMO) (Reviews, Approves & Submits
(Reviews, Approves & Submits (Reviews, Approves & Submits (Reviews,
Approves & Submits DD Form 1494) DD Form 1494) DD Form 1494) DD Form 1494)
MCEB ESG PWG MCEB ESG PWG MCEB ESG PWG MCEB ESG PWG ( (( ( Assembles MCEB
Guidance; e. g., comments Assembles MCEB Guidance; e. g., comments
Assembles MCEB Guidance; e. g., comments Assembles MCEB Guidance; e. g.,
comments from from from from MILDEPs MILDEPs MILDEPs MILDEPs, SPS, , SPS,
, SPS, , SPS, COCOMs COCOMs COCOMs COCOMs, DOD Area , DOD Area , DOD Area
, DOD Area Frequency Coordinators, Host Nations, etc) Frequency
Coordinators, Host Nations, etc) Frequency Coordinators, Host Nations,
etc) Frequency Coordinators, Host Nations, etc)
Joint Spectrum Center Joint Spectrum Center Joint Spectrum Center Joint
Spectrum Center (Distributes (Distributes (Distributes (Distributes
Releasable Releasable Releasable Releasable DD DD DD DD FM 1494 Technical
Data) FM 1494 Technical Data) FM 1494 Technical Data) FM 1494 Technical
Data) NTIA NTIA NTIA NTIA Interdepartment Interdepartment Interdepartment
Interdepartment
Radio Advisory Radio Advisory Radio Advisory Radio Advisory Committee
(IRAC) Committee (IRAC) Committee (IRAC) Committee (IRAC) Spectrum
Planning Spectrum Planning Spectrum Planning Spectrum Planning
Subcommittee (SPS) Subcommittee (SPS) Subcommittee (SPS) Subcommittee
(SPS) (Review & Comment) (Review & Comment) (Review & Comment) (Review &
Comment) Joint Spectrum Center Joint Spectrum Center Joint Spectrum Center
Joint Spectrum Center
(Assembles Final Technical (Assembles Final Technical (Assembles Final
Technical (Assembles Final Technical Documents with comments, Updates
Database, Documents with comments, Updates Database, Documents with
comments, Updates Database, Documents with comments, Updates Database, and
Makes Worldwide DOD Distribution) and Makes Worldwide DOD Distribution)
and Makes Worldwide DOD Distribution) and Makes Worldwide DOD
Distribution) Combatant Command Combatant Command Combatant Command
Combatant Command (COCOM) (COCOM) (COCOM) (COCOM)
(Comment /Approve) (Comment /Approve) (Comment /Approve) (Comment
/Approve) Combined Communications Combined Communications Combined
Communications Combined Communications Electronics Board (CCEB)
Electronics Board (CCEB) Electronics Board (CCEB) Electronics Board (CCEB)
Nations Nations Nations Nations
(Comment /Approve) (Comment /Approve) (Comment /Approve) (Comment
/Approve) Host & other nations within Host & other nations within Host &
other nations within Host & other nations within COCOM Area Of
Responsibility COCOM Area Of Responsibility COCOM Area Of Responsibility
COCOM Area Of Responsibility
(Comment/ Approve) (Comment/ Approve) (Comment/ Approve) (Comment/
Approve)
Comments & Feedback submittal response
MCEB Equipment MCEB Equipment MCEB Equipment MCEB Equipment Spectrum
Guidance Spectrum Guidance Spectrum Guidance Spectrum Guidance Permanent
Working Permanent Working Permanent Working Permanent Working Group (ESG
PWG) Group (ESG PWG) Group (ESG PWG) Group (ESG PWG) Coordination within
the U. S. Coordination within the U. S. Coordination within the U. S.
Coordination within the U. S. and its *Possessions* and its *Possessions*
and its *Possessions* and its *Possessions*
Status Comments
Coordination Outside the Coordination Outside the Coordination Outside the
Coordination Outside the U. S. and its* Possessions* U. S. and its*
Possessions* U. S. and its* Possessions* U. S. and its* Possessions*
Distribution of Final Forms DOD Spectrum Certification Process
10
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:
11
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:
13
Defense Spectrum Issues Findings: DOD Spectrum Certification Results
Even When Developers Seek Guidance * Feedback May Be Ignored
15
Defense Spectrum Issues Findings: Why Spectrum Consideration Problems
Happen
Reasons for Failing to Obtain Guidance Early (cont.)
17
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:
19
Defense Spectrum Issues Findings: Barriers to Improvement Future
Challenges
21
Defense Spectrum Issues Summary Observations
Compliance With the Process Is No Assurance That Systems Can Be Used to
Full Capabilities
23
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.
24
Defense Spectrum Issues Backup Slides
ENCLOSURE I ENCLOSURE I Page 17 GAO- 03- 617R Defense Spectrum Management
25
Defense Spectrum Issues Recent Changes to DOD 5000 Series
27
Defense Spectrum Issues DOD 5000 Series (cont.)
Missile Defense and Space Communities Developing Their Own Acquisition
Processes Outside the DOD 5000 Series
ENCLOSURE I ENCLOSURE I Page 19 GAO- 03- 617R Defense Spectrum Management
(120144)
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