Spectrum Management in Defense Acquisitions

GAO-03-617R Published: Apr 30, 2003. Publicly Released: May 30, 2003.

Highlights

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.

Recommendations

Recommendations for Executive Action

Agency Affected	Recommendation	Status
Department of Defense	To ensure that spectrum supportability considerations are appropriately addressed in the development and acquisition of weapons systems, the Secretary of Defense should 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 ensure program managers develop spectrum supportability knowledge, apply for spectrum certification, and consider spectrum operational risks at the earliest points possible.	Closed – Implemented In June 2004, in response to this GAO recommendation and Congressional direction that resulted from GAO-03-617R, DOD revised and reissued DOD Directive 4650.1, "Policy for Management and Use of the Electromagnetic Spectrum." Revisions to this directive require DOD Components that are developing or acquiring spectrum-dependent equipment or systems to make a written determination, with the concurrence of the DOD or Component Chief Information Officer (CIO), that there is reasonable assurance of spectrum supportability (including spectrum certification) for these systems as early as possible during the Technology Development Phase. Also, in May 2003, the DOD 5000-series acquisition... View More
Department of Defense	To ensure that spectrum supportability considerations are appropriately addressed in the development and acquisition of weapons systems, the Secretary of Defense should 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 provide uniformity of spectrum management policies across services.	Closed – Implemented In June 2004, in response to this GAO recommendation and Congressional direction that resulted from GAO-03-617R, DOD revised and reissued DOD Directive 4650.1, "Policy for Management and Use of the Electromagnetic Spectrum." Revisions to this directive require DOD Components that are developing or acquiring spectrum-dependent equipment or systems to make a written determination, with the concurrence of the DOD or Component Chief Information Officer (CIO), that there is reasonable assurance of spectrum supportability (including spectrum certification) for these systems as early as possible during the Technology Development Phase. Also, in May 2003, the DOD 5000-series acquisition... View More
Department of Defense	To ensure that spectrum supportability considerations are appropriately addressed in the development and acquisition of weapons systems, the Secretary of Defense should 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 provide a spectrum certification process with the flexibility to align with current acquisition models.	Closed – Implemented In June 2004, in response to this GAO recommendation and Congressional direction that resulted from GAO-03-617R, DOD revised and reissued DOD Directive 4650.1, "Policy for Management and Use of the Electromagnetic Spectrum." Revisions to this directive require DOD Components that are developing or acquiring spectrum-dependent equipment or systems to make a written determination, with the concurrence of the DOD or Component Chief Information Officer (CIO), that there is reasonable assurance of spectrum supportability (including spectrum certification) for these systems as early as possible during the Technology Development Phase. Also, in May 2003, the DOD 5000-series acquisition... View More
Department of Defense	To ensure that spectrum supportability considerations are appropriately addressed in the development and acquisition of weapons systems, the Secretary of Defense should measure spectrum management compliance and process performance to determine how well spectrum supportability considerations are addressed in the acquisition process.	Closed – Not Implemented DOD has taken initial steps to address this recommendation. In June 2004, in response to GAO's recommendations and subsequent Congressional direction, DOD revised and reissued DOD Directive 4650.1, "Policy for Management and Use of the Electromagnetic Spectrum." This directive requires that the Assistant Secretary of Defense for Networks and Information Integration (ASD/NII) develop and maintain a Strategic Plan for management and use of the spectrum that establishes goals, objectives, measures, and responsibilities to ensure DOD spectrum needs are met and that the Department is making the most efficient and effective use of available spectrum. In July 2004, the Deputy Secretary of... View More
Department of Defense	To ensure that spectrum supportability considerations are appropriately addressed in the development and acquisition of weapons systems, the Secretary of Defense should 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.	Closed – Implemented DOD has taken significant steps toward addressing this recommendation. In June 2004, in response to GAO's recommendations and subsequent Congressional direction, DOD revised and reissued DOD Directive 4650.1, "Policy for Management and Use of the Electromagnetic Spectrum." This directive requires that the Assistant Secretary of Defense for Networks and Information Integration (ASD/NII) direct the establishment and maintenance of a capability to analyze and make recommendations concerning whether spectrum-dependent systems, either being acquired or procured, have, or will have, spectrum supportability. The directive also requires that the ASD/NII direct the establishment and maintenance... View More
Department of Defense	To ensure that spectrum supportability considerations are appropriately addressed in the development and acquisition of weapons systems, the Secretary of Defense should 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.	Closed – Not Implemented In its final response to GAO's report, DOD partially concurred with GAO's recommendation that DOD should identify an official or officials within the Office of the Under Secretary of Defense for Acquisition, Technology and Logistics (OUSD/AT&L) to be accountable for oversight and enforcement of spectrum management in the acquisition process. DOD agreed with the need to ensure spectrum supportability for all systems in the acquisition process, but noted that it believed expanding OUSD/AT&L's direct oversight function was not required. Rather, it believed that existing organizational responsibilities and mechanisms could be leveraged to accomplish the goals of GAO's recommendation.... View More
Department of Defense	To ensure that spectrum supportability considerations are appropriately addressed in the development and acquisition of weapons systems, the Secretary of Defense should identify an official or officials within the Office of the Under Secretary of Defense for Acquisition, Technology and Logistics to establish a mechanism to identify to the spectrum management community new systems that may ultimately require spectrum certification.	Closed – Not Implemented In its final response to GAO's report, DOD partially concurred with GAO's recommendation that DOD should identify an official or officials within the Office of the Under Secretary of Defense for Acquisition, Technology and Logistics (OUSD/AT&L) to establish a mechanism to identify to the spectrum management community new systems that may ultimately require spectrum certification. DOD agreed with the need to ensure spectrum supportability for all systems in the acquisition process, but noted that it believed expanding OUSD/AT&L's direct oversight function was not required. Rather, it believed that existing organizational responsibilities and mechanisms could be leveraged to accomplish the... View More
Department of Defense	To ensure that spectrum supportability considerations are appropriately addressed in the development and acquisition of weapons systems, the Secretary of Defense should identify an official or officials within the Office of the Under Secretary of Defense for Acquisition, Technology and Logistics to 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.	Closed – Not Implemented In its final response to GAO's report, DOD partially concurred with GAO's recommendation that DOD should identify an official or officials within the Office of the Under Secretary of Defense for Acquisition, Technology and Logistics (OUSD/AT&L) to 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. DOD agreed with the need to ensure spectrum supportability for all appropriate systems in the acquisition process, but noted that an expanded OUSD/AT&L direct oversight function was... View More
Department of Defense	To ensure that spectrum supportability considerations are appropriately addressed in the development and acquisition of weapons systems, the Secretary of Defense should identify an official or officials within the Office of the Under Secretary of Defense for Acquisition, Technology and Logistics to 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.	Closed – Not Implemented In its final response to GAO's report, DOD partially concurred with GAO's recommendation that DOD should identify an official or officials within the Office of the Under Secretary of Defense for Acquisition, Technology and Logistics (OUSD/AT&L) to 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 unless the designated official (or officials) has granted the program a waiver based upon appropriate cause, risk mitigation strategy, and compliance deadline. DOD stated that it agreed with the need to ensure spectrum... View More

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