2- SMCS Operational Requirements.pdf

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Defense Spectrum Organization

Strategic Planning Division

Annapolis, Maryland 21402

Software Document

Spectrum Management Coordination System (SMCS) Capability

Operational Requirements Document (ORD) Version 1.0

DSO-SD-18-030

June 2019

Prepared for:

Strategic Planning Division

2004 Turbot Landing Annapolis, MD 21402-5064

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The MITRE Corporation 300 Sentinel Drive, Suite 600

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Distribution authorized to the Department of Defense and US DoD contractors only: Software

Documentation; June 2019 Other requests shall be referred to the DSO/OS52.

SMCS Operational Requirements Document

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Distribution authorized to the Department of Defense and US DoD contractors only: Software Documentation; June 2019. Other requests shall be referred to the DSO/OS52.

13. SUPPLEMENTARY NOTES

14. ABSTRACT

The purpose of this operational requirements document is to provide an overview of the SMCS in terms of the main business process flow and describe SMCS operational requirements and their relationships. This will facilitate SMCS development efforts by Defense Spectrum Organization (DSO).

15. SUBJECT TERMS

Advanced Wireless Services-3 , AWS-3, Spectrum Management Coordination System, SMCS, 2025-2110 MHz band

16. SECURITY CLASSIFICATION OF: 17. LIMITATION

OF ABSTRACT

18. NUMBER

OF PAGES

19a. NAME OF RESPONSIBLE DSO PERSON

a. REPORT b. ABSTRACT c. THIS PAGE Josephine M Cantalupo

U U U SAR 36

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410-919-2827

Standard Form 298 (Rev. 8-98) Prescribed by ANSI Std. Z39.18

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RECORD OF CHANGES

Version Number

Date Description

1.0 Draft 28 May 2019 Final MITRE draft to DSO

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TABLE OF CONTENTS

1 INTRODUCTION

1.1 BACKGROUND

1.2 PURPOSE

1.3 MISSION NEED STATEMENT (FROM MOU)

1.4 CONCEPT OF OPERATIONS

1.5 SCOPE

1.6 SMCS OBJECTIVES

1.7 SMCS Operational concept graphic (DoDAF ov-1)

2 SMCS CAPABILITY EVOLUTION

2.1 INITIAL OPERATIONAL CAPABILITY

2.2 INCREMENTAL OPERATIONAL CAPABILITY DATE(S)

2.3 FULL OPERATIONAL CAPABILITY DATE

2.4 OTHER KEY DATES (AS REQUIRED BY THE USER)

3 2025-2110 MHZ BAND FREQUENCY COORDINATION BUSINESS PROCESS

3.1 ROLES OF THE PROCESS PARTICIPANTS

3.2 DESCRIPTION OF THE PROCESS

3.2.1 Introduction – Overall, Top-Level Process

3.2.2 Scope

3.2.3 Purpose

3.2.4 SMCS Process Definitions

3.2.5 Top-Level Phases

3.2.6 Coordination/Notification Development Phase (Phase 1)

3.2.7 Analysis Phase (Phase 2)

3.2.8 AFC-SBE Coordination Phase (Phase 3)

3.2.9 DoD Use Phase (Phase 4)

4 OPERATIONAL REQUIREMENTS

4.1 REQUIREMENTS OVERVIEW

4.1.1 DoD User/Local ISM Operational Requirements

4.1.2 AFC Operational Requirements

4.1.3 SMO Operational Requirements

4.1.4 SBE Operational Requirements

4.1.5 FCC FAS Representative Operational Requirements

4.1.6 Un-Allocated Operational Requirements

5 SMCS CONCEPT OF OPERATIONS SCENARIOS

5.1 DATA ACCESS-RELATED USE CASES

5.2 FREQUENCY COORDINATION REQUEST / NOTIFICATION

5.3 AUTHENTICATION AND AUTHORIZATION

5.4 DETAILED USE CASE

6 REFERENCES

7 ACRONYMS

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List of Figures

Figure 1. SMCS Operational Concept Diagram (OV-1) Figure 2. SMCS Evolution Figure 3. 2025-2110 MHz Band Frequency Coordination Request Process Flow Figure 4. Detail of Phase 1: Coordination Request/Notification DevelopmentPhase Figure 5. Detail of Phase 2: Analysis Phase Figure 6. Detail of Phase 3: DoD SBE Coordination Phase Figure 7. Detail of Phase 4: DoD Use Phase Figure 8. Data Access Operational Use Case Figure 9. Overall Use Case for Frequency Collaboration or Request Figure 10. Top-Level Use Case for User Account Request, Creation/Deletion and Login/Logoff. . 24 Figure 11. Use Case for User Account Creation/Deletion Figure 12. Overall Use Case Diagram, with Notations

List of Tables

Table 1. 2025-2110 MHz Band Frequency Coordination Request / Notification Process Phase Starting and Ending Conditions Table 2. List of Roles and Responsibilities Table 3. DoD User/Local ISM Operational Requirements Table 4. Contents of the Frequency Coordination Request Table 5. Contents of the Notification Request Table 6. AFC Operational Requirement Table 7. SMO Operational Requirements Table 8. SBE Operational Requirements Table 9. FCC FAS Representative Operational Requirements Table 10. Un-Allocated Operational Requirements

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1 INTRODUCTION 1

This is the operational requirements document for the Spectrum Management Coordination 2 System (SMCS) Capability. This is the requirements document for the SMCS capability – the 3 actual software SMCS will be described in more technical detail later through SMCS User 4 Groups within industry standard agile development methodologies. 5

1.1 BACKGROUND 6

In March 2014, the Federal Communications Commission (FCC), in collaboration with the 7 National Telecommunications and Information Administration (NTIA), developed rules for 8 auction and reallocation of the 1695-1710 MHz, 1755-1780 MHz, and 2155-2180 MHz 9 frequency bands, collectively known as Advanced Wireless Services 3 (AWS-3).[1] The 10 1695-1710 MHz and 1755-1780 MHz bands were, at that time, allocated exclusively for 11 Federal use, with DoD assets occupying the 1755-1780 MHz band. On July 18, 2014, the FCC 12 and NTIA issued a joint Public Notice (PN) DA 14-1023, GN Docket #13-185.[2] The PN 13 provided: (i) information for potential bidders in the AWS-3 auction; and (ii) guidance to the 14 ultimate AWS-3 licensees and the affected Federal incumbents regarding coordination between 15 Federal and non-Federal for shared use of the 1695-1710 MHz and 1755-1780 MHz bands. On 16 November 13, 2014, the FCC initiated the AWS-3 Auction (“Auction 97”). Auction 97 17 provided for new licenses in the 1695-1710 MHz, 1755-1780 MHz, and 2155-2180 MHz 18 bands for AWS-3. Most of the federal systems using the 1755-1780 MHz band will relocate 19 out of the band. The Military Departments and DISA DSO developed transition plans which 20 provide a timetable for systems to transition out of the band. 21 On 16 January 2015, in accordance with the National Defense Authorization Act (NDAA) for 22 Fiscal Year 2000, the Secretary of Defense, the Secretary of Commerce and the Chairman of 23 the Joint Chiefs of Staff certified in a letter to Congress “that the alternative bands of 24 frequencies (including 2025-2110 MHz)…provided comparable technical characteristics to 25 restore essential military capability that will be lost as a result of DOD surrendering certain use 26 of frequencies in the 1755-1780 MHz band.” [3] 27 To implement the comparable spectrum provision, DoD and FCC/NTIA collaborated to draft a 28 footnote in the US Table of Allocations. This footnote US92 calls for the development of a 29 Memorandum of Understanding (MOU) to govern coordination requirements between DoD 30 and the Electronic News Gathering (ENG) community. [4] 31 Four DoD systems moving out of the 1755-1780 MHz band will gain access to the 2025-2110 32 MHz band, to share with the incumbent ENG community (Television Broadcast Auxiliary 33 Service (BAS), the Cable Television Relay Service (CARS) and the Local Television 34 Transmission Service (LTTS)): tactical radio relay (TRR), small unmanned aerial systems 35 (SUAS), high resolution video (HRV), tactical targeting network technology (TTNT), and 36 other DoD capabilities to be determined. 37 Task 4 of the DISA Transition Plan, known as DISA4, focuses on the development of the 38 SMCS to automate the business process mandated by the MOU.[5] DISA4 includes business 39

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process development and automation; enhanced interference analysis models; visualization; 40 and data management functions to support this sharing arrangement. The system will facilitate 41 sharing of the 2025-2110 MHz band between the incumbent ENG community and DoD TRR, 42 SUAS, HRV, TTNT, and other DoD capabilities to be determined and will accommodate a 43 wide range of sharing scenarios. 44

1.2 PURPOSE 45

The purpose of this document is to provide an overview of the SMCS in terms of the main 46 business process flow and describe SMCS operational requirements and their relationships. 47 This will facilitate SMCS development efforts by Defense Spectrum Organization (DSO). 48

1.3 MISSION NEED STATEMENT (FROM MOU) 49

“The Department of Defense, the Federal Communications Commission, and licensees of the 50 Federal Communications Commission (FCC) in the Television Broadcast Auxiliary Service 51 (“BAS”), the Local Television Transmission Service (“LTTS”), and the Cable Television 52 Relay Service (CARS) (the “2 GHz licensees”) pursuant to the FCC’s Report and Order 53 (“R&O”) in ET Docket No. 13-185, released March 31, 2014 (FCC 14-31, 29 FCC Rcd. 54 4610) endeavor to implement a radio frequency sharing arrangement that shall achieve the 55 following missions: 56

1. Federal use, limited to military operations, shall not cause harmful interference to, 57 nor constrain the deployment and use of the band by, the 2 GHz licensees. To 58 facilitate compatible operations, coordination is required in accordance with a 59 MOU between Federal and non-Federal fixed and mobile operations. Non-Federal 60 licensees are entitled to interference protection, but shall make all reasonable 61 efforts to accommodate military mobile and fixed operations; however, the use of 62 the 2 GHz Band by the non-Federal fixed and mobile services has priority over 63 military fixed and mobile operations. 64

2. Military stations should, to the extent practicable, employ frequency agile 66 technologies and techniques, including the capability to tune to other frequencies 67 and the use of a modular retrofit capability, to facilitate sharing of this band with 68 incumbent Federal and non-Federal operations.” 69

1.4 CONCEPT OF OPERATIONS 70

The SMCS shall provide a mechanism that will automate and facilitate coordination of 71 frequency sharing between DoD users1 employing TRR, SUAS, HRV, TTNT, and other DoD 72 capabilities to be determined, and the incumbent ENG operations (BAS, CARS, LTTS). 73 Through the use of common data sets and associated functions, DoD and Society of Broadcast 74 Engineers (SBE) will be able to identify currently used frequencies; DoD will be able to 75

1 Note: “DoD Use” is the term used in this document for the period of usage by the DoD of a frequency/channel.

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submit requests for frequency usage, and negotiate frequency usage in situations of conflicting 76 needs. 77 Authorized users with specified permissions will be able to: 78

• Query a common database for current and planned spectrum usage, including location and 79 time span 80

• Submit requests for reservation of future spectrum channels 81

• Determine 2025-2110 MHz spectrum access opportunities 82

• Display status logs, with timestamps, of current notifications and coordination requests 83

• Other tasks (TBD) 84

1.5 SCOPE 85

The scope of this document is to provide operational requirements for the SMCS. It is 86 envisioned that this document will be further refined and updated as detailed requirements for 87 the SMCS are coordinated with stakeholders and agreed to by the DSO using industry standard 88 agile development methodologies. The key stakeholders include the Military Departments, 89 DSO, SBE, and the ENG community. 90 The scope does not include MOU-related activities, such as periodic review and modification 91 of the MOU (which will need to include DoD and the NAB/SBE). Those activities are being 92 conducted through other means. 93

1.6 SMCS OBJECTIVES 94

The following are key SMCS objectives: 95

• OJ0001: The SMCS shall provide automation of end-to-end business process 96 coordination workflow between DoD and SBE to provide access to the 2025-2110 MHz 97 for DoD operations involving TRR, SUAS, HRV, TTNT and other DoD capabilities to be 98 determined. 99

• OJ0002: The SMCS shall provide a database containing detailed operational and 100 equipment characteristics configurations of all FCC-licensed Non-Federal users in the 101 2025 – 2100 MHz band, a repository of pre-coordinated access frequencies and locations 102 and coordinated access data including a history of workflow between DoD and the 103 broadcasters in the development of coordinated access data. 104

• OJ003: The SMCS shall provide an analysis capability to assess the potential for 105 interference between DoD operations involving TRR, SUAS, HRV, TTNT, other DoD 106 capabilities to be determined, and electronic news gathering operations. This analysis will 107 include the identification of spectrum access opportunities for TRR, SUAS, HRV, other 108 DoD capabilities to be determined and TTNT operations. 109

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1.7 SMCS OPERATIONAL CONCEPT GRAPHIC (DODAF OV-1) 110

Figure 1 shows a summary of the SMCS operational concept. On the left, the various DoD 112 organizations involved in spectrum management develop a Coordination Request ( or Notification) 113 and, via the SMCS, coordinate the approval of the request with the SBE Coordinator on the right. 114

Figure 1. SMCS Operational Concept Diagram (OV-1) 116

Figure 1 also illustrates a number of other important features of the operational concept: 117

• The SMCS is composed of three primary components: 118 o the SMCS Portal component, which allows web access via the internet for users and 119 administrators 120 o the SMCS Analytics component, which supports analytical functions such as 121 interference calculations, and 122 o the SMCS databases, which holds both ENG and DoD transmitter and receiver 123 information, operational areas, usage schedules, and other information necessary to 124 support coordination. 125

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• DoD Users using multiple types of DoD systems: TRR, SUAS, HRV, and TTNT will use the 126 SMCS to coordinate spectrum usage with the commercial ENG services. 127

• The SMCS will support a multi-faceted commercial community of Electronic News 128 Gathering (ENG) broadcasters, including the Broadcast Auxiliary Service, the Cable 129 Television Relay Service, and the local television transmission services. 130

• The SMCS will be developed in a series of 4-phased sprints (Define, Build, Release, Repeat). 131

• SMCS Requirements have been gathered from a number of different sources, all of which 132 have proved invaluable, and have been reflected in the structure and content of the SMCS 133 documentation. 134

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2 SMCS CAPABILITY EVOLUTION 162

The evolution of the SMCS is shown in Figure 2. The dates on the figure are estimates only, 163 and should not be interpreted as indicating definitive plans with hard milestones. The major 164 functional objectives are shown just above the arc with the date bubbles, and descriptions are 165 shown in the figure. 166

Figure 2. SMCS Evolution. 168

2.1 INITIAL OPERATIONAL CAPABILITY 170

The initial operational capability (IOC) is only partially defined at this point, and is likely to be 171 a partially automated solution relying on operational procedures to be implemented by both the 172 DoD point of contact (POC) and the SBE POC, and utilizing standard, existing 173 communications systems (e.g., email and telephone). Later increments will add automation to 174 the coordination functions (such as automatic notification). IOC expects to focus on 175 coordination of TRR access to the 2025-2110 MHz band. 176

2.2 INCREMENTAL OPERATIONAL CAPABILITY DATE(S) 177

Future incremental operational capability dates have not yet been specified. Industry standard 178 agile development methodologies will be used to build incremental capabilities based on 179 requirements defined within user groups. The DSO will manage the SMCS product backlog of 180

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unaddressed requirements, with participation from SMCS stakeholders. The approach to be 181 used by the DSO will follow industry standard agile development methodologies, with the 182 specific approach to be determined after SMCS development contract award. 183

2.3 FULL OPERATIONAL CAPABILITY DATE 184

A full operational capability (FOC) date has not been established. The date will be based on 185 the outcome of the agile software development effort. 186

2.4 OTHER KEY DATES (AS REQUIRED BY THE USER) 187

No other key dates have been specified as of the date of publication of this initial version of the 188

ORD. 189

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3 2025-2110 MHZ BAND FREQUENCY COORDINATION BUSINESS 191

PROCESS 192

Between November 2017 and May 2018, four (4) Table Top Exercises (TTXs) were conducted 193 in an effort to help define and refine the business process for coordinating Army and Navy 194 TRR access to the 2025-2110 MHz band in order to provide the initial basis for SMCS 195 requirements. The TTXs gathered key stakeholders from DSO, SBE, and different service 196 branches (e.g., Army, Navy, Air Force) to discuss the needs of potential SMCS users by 197 conducting different scenarios. The different hypothetical scenarios were intended to identify 198 the key players for coordinated spectrum access, notification procedures for pre-coordinated 199 spectrum access, establish the information required and the time needed for a response, and 200 determine the process and information required for negotiating mitigation if the DoD or SBE 201 analysis were to show harmful interference. These TTXs also allowed the participants to share 202 valuable user input and express issues identified with the current processes. This information 203 was essential to help refine the requirements for the SMCS and determine the most appropriate 204 SMCS architecture. 205 Based on the TTXs, the overall frequency coordination process was partitioned into four (4) 206 major sub-processes or phases, as illustrated in Figure 3. Each of these sub-processes is 207 described in more detail in the following sections. 208

Figure 3. 2025-2110 MHz Band Frequency Coordination Request Process Flow. 2 211

Briefly, the starting and ending conditions of each of the phases are summarized in Table 1 and 212 further detailed in Section 3.2. 213

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Table 1. 2025-2110 MHz Band Frequency Coordination Request / Notification Process Phase 215 Starting and Ending Conditions. 216

Phase Initial Condition (Begins with)

Ending Condition(s) (Ends with)

Coordination Request / Notification Development Phase

• User perceives need for a frequency coordination

• Validated coordination request is ready for analysis.

• Validated notification is ready for submission to SBE.

Analysis Phase • Coordination Request is ready for the Analysis process.

• Notification does not undergo this phase and proceeds directly to negotiation.

• Analysis is complete, and request is ready for submission to SBE/Commercial partners

• Request returned, with comments, for revision

Area Frequency Coordinator (AFC)- SBE Coordination Phase

• Coordination Request/Notification shared with SBE/ Commercial partners

• Coordination Request / Notification is approved and scheduled, or denied

• Request returned, with comments, for revision

DoD Use Phase • Request is approved and scheduled • DoD Use completes successfully; or

• DoD Use is terminated before planned completion

3.1 ROLES OF THE PROCESS PARTICIPANTS 218

The major roles of each of the 2025-2110 MHz band frequency Coordination Request / 219 Notification (CR/N) process participants are shown in Table 2. 220

Table 2. List of Roles and Responsibilities 222

Role Responsibilities Submitter (DoD User) Has knowledge of the spectrum requirement. Able to specify the equipment as well as the location of each DoD transmitter and receiver. Provides spectrum requirement data to the Installation Spectrum Manager (ISM).

Installation Spectrum Manager

Has situational awareness of base/installation spectrum use. Knows coordination history related to access of 2025-2110 MHz. Provides coordination requirements to the Service Spectrum Management Office for analysis as required. Sends coordination requests to the DoD AFC.

Service Spectrum Management Office

Represents the Service requirements in discussions with DoD CIO and DSO when determining the overall DoD coordination process. Provides analysis for coordination requests as needed.

DoD AFC Provides DoD coordination data and analysis results to the SBE frequency coordinator. Provides coordination outcome to ISM. If SBE determines interference, works with SMO or ISM to identify mitigation and attempts resolution.

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SBE Coordinator Has knowledge of ENG operations in respective AOR. Analyzes DoD coordination requests and provides response to the DoD AFC/SMO.

3.2 DESCRIPTION OF THE PROCESS 223

The following sections describe the details of the frequency coordination process between the 224 DoD and SBE for TRR access to the 2025-2110 MHz band. Future versions of the ORD will 225 address any new requirements generated by SUAS, HRV, TTNT and other DoD capabilities to 226 be determined. 227

3.2.1 Introduction – Overall, Top-Level Process 228

These procedures are designed to present the stepwise processes that parties will follow in 229 conducting interactions. The procedures were distilled from the TRR TTXs. All steps are 230 labeled with the responsible party (ies), and clear outputs. Textual step descriptions are 231 illustrated with figures. 232

3.2.2 Scope 233

The scope of these procedures is limited to SMCS supported operations only. Other procedures 234 (for example, development and/or modification of the DoD/SBE MOU) are not within the 235 scope of this document and are addressed elsewhere. 236

3.2.3 Purpose 237

These procedures are intended to serve as reference material for both DoD and SBE personnel 238 involved in executing these procedures within the scope of the SMCS functionality. The 239 procedures instantiate the interaction principles and priorities stated in the MOU and as 240 exercised during the TRR TTXs. The procedures are intended to be understandable, feasible, 241 and executable, and should lead to consistent results. 242

3.2.4 SMCS Process Definitions 243

These processes are based on several sources: 244

• Process models developed by DoD in conjunction with SBE 245

• Process models developed by the individual DoD Services 246

• Discussions of processes, constraints, and objectives garnered from the series of TRR 247 TTXs hosted by DSO during 2018 248

3.2.5 Top-Level Phases 249

The overall process is partitioned into four (4) major sub-processes or Phases, as illustrated 250 earlier in Figure 3 and summarized in Table 1. Each of these sub-processes is described in 251 more detail in the following sections. 252

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3.2.6 Coordination/Notification Development Phase (Phase 1) 253

The details of Phase 1, Coordination Request/Notification Development, are shown in Figure 254

4. Note the process boxes are labeled by name and function code (A.1, A.2, etc.). Note also 255 that the processes are color coded by performer. 256

Figure 4. Detail of Phase 1: Coordination Request/Notification DevelopmentPhase. 258

Phase 1 begins when the DoD User decides that a Coordination Request/Notification (CR/N) 259 needs to be generated (A.1). When this is complete, the CR/N is passed to the AFC for review 260 (A.2). If the CR/N is valid (all necessary fields are present, accurate and consistent) (A.3), then 261 the AFC submits the CR/N to the SMO for analysis (A.4). 262 Step A.1 (User/ISM): Complete the Coordination Request /Notification Template, and submit 263 to the AFC (Note: On re-entry to this process, due to the CR/N being returned for revision, the 264 User/ISM may, if they choose, cancel the effort.). 265 Step A.2 (AFC): Review the completeness of the CR/N . 266 Step A.3 (AFC): The AFC validate the CR/N package. If insufficient, the CR/N is returned to 267 the User, with comments, for revision. If sufficient, proceed to Step A.4. 268 Step A.4 (AFC): The AFC submits the CR/N to the SMO for the Analysis Phase (A.4). Note 269 that this is done for pre-coordinated frequencies (where a Notification is prepared to use pre-270 coordinated frequencies) as well as non-pre-coordinated requests (where a Coordination 271 Request is prepared containing the results of an analysis to use frequencies that have not 272 previously been coordinated) – the difference is handled within the Analysis Phase. 273

3.2.7 Analysis Phase (Phase 2) 274

The details of Phase 2, Analysis, are shown in Figure 5. Phase 2 begins when Step A.4 is 275 completed and the CR/N is received by the SMO. 276

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Figure 5. Detail of Phase 2: Analysis Phase. 279

Step B.1 (ISM): The initial step is to determine whether the CR/N is a Notification or a 281 Coordination Request. A Notification refers to the use of a pre-coordinated channel and that 282 DoD is simply notifying the SBE that there is an intention to use the pre-coordinated channel. 283 Note that a Notification may have been specified in the CR/N by the originator. If the CR/N is 284 for a pre-coordinated channel, then proceed to Step B.2. Otherwise (a non-pre-coordinated 285 channel), proceed to Step B.3. 286 Step B.2 (ISM): Since, with pre-coordinated channels, the interference analysis has already 287 been performed and the results documented in the MOU, the rest of this phase can be by-288 passed. At this point, the Notification is submitted to the AFC. Go to Step C.1 in the 289 Coordination Phase. 290 Step B.3 (AFC): A Coordination Request is prepared when pre-coordinated channels are not 291 available to meet the DoD’s spectrum access requirements. An analysis of potential 292 interference is needed, so the AFC submits the Coordination Request to the SMO for the SMO 293 to conduct an interference analysis (Step B.4). 294 Step B.4 (SMO): The SMO performs the interference analysis. 295 Step B.5 (SMO): Based on the results of the interference analysis, a decision is made. If the 296 interference is below the interference protection criteria (IPC), then go to the Coordination 297 Phase (Step C.1). If the interference exceeds the IPC, go to Step B.6. 298 Step B.6 (AFC): Since the analysis has determined that the interference is likely to exceed the 299 IPC limits, the Coordination Request is returned to the users for revision. Additionally, the 300 AFC may need to coordinate with a neighboring AFC if the analysis shows interference with 301 another DoD installation’s use of 2025-2110 MHz. Go to the Development phase, at the point 302 labeled “Re-Entry”, which leads to Step A.1. The details of the interference analysis are also 303

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sent to the user so that they have guidance on how to revise their request. A revised 304 Coordination Request could be as simple as specifying a different channel. 305 Step B.7 (AFC): The AFC sends the notification/coordination request, with the associated 306 analysis, to the SBE. 307

3.2.8 AFC-SBE Coordination Phase (Phase 3) 308

The details of Phase 3, AFC-SBE Coordination, are shown in Figure 6. 309

Figure 6. Detail of Phase 3: DoD SBE Coordination Phase. 311

The DoD SBE coordination phase may be conducted, at least in part, via phone conversations 313 (or other media) between the AFC representative and the SBE representative. 314 Step C.1 (SBE): The CR/N is received by the SBE and is reviewed for completeness. 315 Step C.2 (SBE): If the CR/N is determined to be incomplete, return the CR/N to the AFC for 316 revision. If the CR/N is determined to be complete, proceed to step C.3. 317 Step C.3 (SBE): The SBE reviews the CR/N for technical acceptability. This includes 318 interference with commercial operations, as well as other factors. 319 Steps C.4 (SBE): If the CR/N is approved, go to Step C.6. If denied or requesting 320 modification, go to Step C.5. 321 Step C.5 (SBE + AFC): The AFC and the SBE work to develop an alternate solution to the 322 allow the CR/N to be modified so it can be approved. Proceed to Step C.6. 323 Step C.6 (SBE + AFC): If a mutually acceptable solution has been found in Step C.5, go to 324 Step C.7. Otherwise, go to Step C.8. 325

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Step C.7 (SBE): The CR/N has been approved by all parties. Go to Step C.9. 326 Step C.8 (SBE): No mutual solution has been found. The CR/N is denied, and should be 327 returned to the AFC , with explanation, for revision. Go to Step C.9. 328 Step C.9 (SBE): The CR/N, with the approval/deny decision and rationale, is distributed to the 329 DoD parties (AFC and User/ISM). If the result is deny, return to the Development Phase. If the 330 result is approval, proceed to the DoD Use Phase (Step D.1). 331

3.2.9 DoD Use Phase (Phase 4) 332

The DoD Use Phase is described in Figure 7. 333

Figure 7. Detail of Phase 4: DoD Use Phase 336

The DoD Use Phase is defined to start when the CFR/N is approved, as opposed to when the 337 actual DoD Use begins. This is because the DoD Use Phase also includes the period between 338 when the CR/N is approved and when the DoD Use actually begins. Therefore, it includes the 339 30 day period before the DoD Use. 340 Step D.1: Once a CR/N is approved (in the Coordination Phase), the DoD Use is entered into 341 all schedule databases. This could occur as long as 30 days or more before the DoD use start 342 date. 343 Step D.2: At this point, the process enters a “waiting state”. The SBE representative monitors 344 for potential “rescind” conditions – conditions that could lead to the SBE requesting a revision 345 of the operation parameters (e.g., date, channel, etc.), due to some sort of emergent need for the 346 channel for an ENG operation. As long as those conditions are not detected, the DoD Use will 347 begin (go to Step D.3). If rescind conditions are detected, go to Step D.6. 348

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Step D.3: At the time of the start of the scheduled DoD Use, the DoD Use begins. At this point, 349 “Rescind” conditions are no longer monitored. Instead, the SBE monitors for “Cease Buzzer” 350 conditions. 351 Step D.4: At some point during the DoD Use, the SBE may detect “Cease Buzzer” conditions. 352 If these conditions are never detected, then the DoD Use will proceed to completion (Step 353 D.5). If the conditions are detected, go to Step D.8. 354 Step D.5: The DoD Use completes. The status is changed in the available databases to 355 “Completed”, with date and POC. This branch of the SMCS process ends here. 356 Step D.6: The SBE issues the “Rescind Approval” message to the AFC and the User. Proceed 357 to Step D.7. 358 Step D.7: The SBE and AFC (in collaboration with the DoD user and ISM) engage in direct 359 negotiations to develop an alternate plan that is acceptable to both sides. This may cause a 360 return to the Development, Analysis, or Coordination Phases if the planned coordination needs 361 to be changed significantly. Go to the Development, Analysis, or Coordination Phases, as 362 appropriate. 363 Step D.8: Issue the Cease Buzzer message to the AFC and the DoD user. This does not 364 necessarily cause an immediate cessation of the ongoing DoD Use, but does trigger efforts to 365 cease transmissions on the coordinated channels. Go to Step D.9. 366 Step D.9: The User and the SBE work to find a work-around to the situation that gave rise to 367 the Cease Buzzer conditions. This could involve an immediate modification to the operation 368 parameters (Go to Step D.3), or a more significant revision (Go to Development, Analysis or 369 Coordination Phases). SBE has expressed to DoD that they will make every effort to achieve a 370 situation where the DoD operation can be executed successfully. However, the uncertainty in 371 the conditions that might occur in real time make it difficult to encapsulate a resolution process 372 in a strict procedure diagram. 373

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4 OPERATIONAL REQUIREMENTS 376

The operational requirements presented in this section are tied to the operational activity 377 diagrams presented in Appendix B (TBD). Note that, per the DoDAF view descriptions, 378 operational requirements are associated with organizations and/or personnel roles, information 379 exchanges, and/or functionality. System and/or software requirements are addressed in the 380 SMCS Software Requirements Specification (SRS) document. 381

4.1 REQUIREMENTS OVERVIEW 382

The intent of the SMCS is to develop a web-accessible system that will automate and facilitate 383 the coordination process for the sharing of the 2025-2110 MHz band between the DoD and the 384 incumbent (BAS, CARS, and LTTS) licensees. This system will include a database of the 385 incumbent equipment and operations, a tracking system of the coordination efforts (including 386 the workflow and the data exchange between the process participants), and analytical tools to 387 determine interference-free (coexistence) operations between the DoD and the ENG operations 388 in the 2025-2110 MHz band. 389 Enhanced databases will contain DoD equipment characteristics and ENG operational and 390 equipment characteristics. Visualization tools include coverage maps and equipment density 391 plots. Algorithms will optimize run times and increase analysis fidelity. 392 Operational requirements have been assigned to organizations (within the scope of this version 393 of the ORD) and are summarized in the following subsections. Operational requirements 394 correlate to operational functions and/or activities and are not necessarily directly correlated 395 with specific SMCS System or Software requirements. More granular SMCS requirements will 396 be developed through industry standard agile development methodologies. 397

4.1.1 DoD User/Local ISM Operational Requirements 398

Table 3 presents the SMCS-relevant operational requirements for the DoD User and Local ISM. 399

Table 3. DoD User/Local ISM Operational Requirements 401

ID Requirement Responsible Function/Activity

User001 The DoD User, with their local ISM, shall be responsible for developing the frequency Coordination Request(see Table 6) or Notification. A Notification shall consist of location, frequency, bandwidth and time period of the event.

“User Develops Coordination / Notification Request” (A.1)

User002 The DoD User, and their local ISM, shall assure that the frequency CR/N is complete before forwarding to the

AFC.

“AFC validates completeness of request” (A.2)

User003 The DoD User shall either revise requests returned to them or terminate the request process.

“Pass validation review” (A.3)

User004 The DoD User shall execute the DoD Use per the specifications in the approved CR/N.

“Begin (restart) DoD Use” (D.3) & “Complete DoD Use” (D.5)

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ID Requirement Responsible Function/Activity

User005 The DoD User shall respond to “Cease Buzzer” notifications with an acknowledgement (to the AFC and the SBE Coordinator) within TBD time of receipt.

“Suspend/Revise/Cease DoD Use” (D.9)

Table 4 presents a draft of the contents of a Frequency Coordination Request, and Table 5 presents a 403 draft of the contents of the Notification message. The contents of both of these messages were 404 developed during the SMCS Tabletop Exercises. 405

Table 4. Contents of the Frequency Coordination Request 407 (See Table A-1 for message field definitions) 408

DoD 2025-2110 MHz Band Coordination Request

Request Item Description: Request Item Value: Comments:

Type of DoD Equipment:

Quantity of SBE Frequencies Requested (BW per channel & frequency separation

TX Power

Maximum Bandwidth (occupied BW)

Antenna Type, Height (m), polarization and azimuth

Requested Channel Access Start Date/Time:

Requested Channel Access Stop Date/Time:

Location City/State

Area of Operation (Lat/Long plus radius) & Polygon

Applicable Time of Use Factors (24/7; M-F, etc.)

24 Hour Cease Buzzer Contact: Name and Phone #

Summary of Potential Interference Analysis Results:

Table 5. Contents of the Notification Request 411 (See Table A-1 for message field definitions) 412

DoD 2025-2110 MHz Band Notification Message Notification Item Description Notification Item Value Comments:

DoD Installation Precoordinated Channel(s) DoD System Name and Nomenclature DoD Center Frequency DoD Bandwidth Date (Start/End) Cease Buzzer Point of Contact

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4.1.2 AFC Operational Requirements 415

Table 5 presents the SMCS-relevant operational requirements for the Area Frequency Coordinator 417

(AFC). 418

Table 6. AFC Operational Requirement 420

ID Requirement Responsible Function/Activity

AFC001 The AFC shall validate all requests received from DoD Users/ISM to assure format and completeness.

“AFC validates completeness of request” (A.2)

AFC002 The AFC shall return requests back to the originating DoD User/ISM if problems are found in the formatting or completeness and will include explanations so that the request can be revised successfully.

“Pass Validation Review?” (A.3)

AFC003 The AFC shall send notification requests to SBE. “Send to SBE” (B.7) AFC004 The AFC shall submit all Coordination Requests to the SMO for analysis prior to submitting those request to the SBE Coordinator.

“AFC submits to SMO” (B.3)

AFC005 The AFC shall interact with the SBE Coordinator to resolve potential problems with granting requests, to the end of having requests approved if at all possible.

“Assess Alternate Sharing Arrangements” (C.5)

AFC006 The AFC shall coordinate with an adjacent AFC while reviewing a Coordination Request if there is risk of interference between AFC operational areas and/or equipment.

Return to User for Data Revision (B.6).

4.1.3 SMO Operational Requirements 421

Table 6 presents the SMCS-relevant operational requirements for the Spectrum Management Office 422

(SMO). 423

Table 7. SMO Operational Requirements 425

ID Requirement Responsible Function/Activity

SMO001 The SMO shall conduct analyses for potential RF interference for all submitted requests.

“SMO Interference Analysis” (B.4)

SMO002 The SMO shall respond with reports of their analyses, with sufficient detail such that if excessive interference is predicted, the DoD User or AFC would be able to modify the request so as to mitigate the interference effects.

“Return to User for data revision (with analysis results)” (B.5)

SMO003 The SMO shall use published analysis tools and methods, to assure repeatability of results and consistency across all analyses.

“SMO Interference Analysis” (B.4)

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ID Requirement Responsible Function/Activity

SMO004 The SMO shall assist the AFC to resolve potential problems with granting requests, to the end of having requests approved if at all possible.

“Assess Alternate Sharing Arrangements” (C.5)

4.1.4 SBE Operational Requirements 427

The commercial entities consist of the SBE Coordinator and the SBE field coordinators. 428 Table 7presents the SMCS-relevant operational requirements for the Society of Broadcast Engineers 429 (SBE) Representative. Note that since the SBE is an independent commercial entity, the DoD cannot 430 actually levy requirements on them, so these should be considered as suggested operational rules. 431

Table 8. SBE Operational Requirements 433

ID Requirement Responsible Function/Activity

SBE001 The SBE shall assure that the shared database is up to date with regard to their equipment, equipment properties, locations and other data required for efficient spectrum coordination.

Not explicitly represented in the process diagrams. Implicit operational requirement that is essential for successful analysis within the process.

SBE002 The SBE will provide a list of events and locations known in advance which could impact DoD installations.

Not explicitly represented in the process diagrams but will be considered during Step A.3 “Pass Validation Review?"

4.1.5 FCC FAS Representative Operational Requirements 435

Table 8 presents the SMCS-relevant operational requirements for the FCC FAS Representative. It 437 must be noted that the DoD cannot levy operational requirements on the FCC – these should be 438 interpreted as roles and responsibilities that the FCC FAS Representative should assume in order for 439 their part of this overall process to function smoothly. 440

Table 9. FCC FAS Representative Operational Requirements 442

ID Requirement Responsible Function/Activity

FCC001 The FCC shall provide its “yes” vote for frequency assignment requests if the FCC is aware of an approved Coordination Request from SBE

SMCS contains the data necessary to indicate an approved Coordination Request.

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4.1.6 Un-Allocated Operational Requirements 444

The unallocated operational requirements are described in Table 9. These requirements are 445 necessary for the functioning of the overall SMCS Capability but have not been assigned to 446 specific DoD or Federal organizations at this time. 447

Table 10. Un-Allocated Operational Requirements 448

ID Requirement Responsible Function/Activity

UR001 All process participants shall track the status of notification and coordination requests under their purview

Not explicitly represented in the process diagrams. Implicit requirement since the SMCS will contain workflow data.

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5 SMCS CONCEPT OF OPERATIONS SCENARIOS 451

The following scenarios (or “use cases”) illuminate detailed portions of the CONOPS for 452

SMCS. 453

5.1 DATA ACCESS-RELATED USE CASES 454

The data access operational use case for SMCS is shown in Figure 8. 455

Figure 8. Data Access Operational Use Case 457

5.2 FREQUENCY COORDINATION REQUEST / NOTIFICATION 458

The overall use case for frequency Collaboration Request or Notification for SMCS is shown in 459 Figure 9. 460

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Figure 9. Overall Use Case for Frequency Collaboration or Request. 462

5.3 AUTHENTICATION AND AUTHORIZATION 463

The diagram depicted in Figure 10 provides operational flows for the SMCS users’ registration 464 and login for accessing the portal services and management of users’ profiles. User’s profiles 465 may contain items such as users’ email addresses, organizations they belong to, their roles and 466 other private data. SMOs, AFCs, ISM and DSO portal administrator. DSO portal administrator 467 manage and maintain users’ profiles. This is a prerequisite for accessing the SMCS services. 468

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Figure 10. Top-Level Use Case for User Account Request, Creation/Deletion and Login/Logoff. 471

The diagram depicted in Figure 11 provides the operational flow for the SMCS user account creation 473 and deletion. 474

Figure 11. Use Case for User Account Creation/Deletion 477

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5.4 DETAILED USE CASE 478

The following diagram (Figure 12) presents the overall use case diagram with notations. It is 479 shown to provide additional details. 480

Figure 12. Overall Use Case Diagram, with Notations. 482

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6 REFERENCES 485

1. FCC Adopted Report and Order for Service, Licensing, and Technical Rules for the AWS-3 486 Bands, FCC-14-31, "Amendment of the Commission’s Rules with Regard to Commercial 487 Operations in the 1695-1710 MHz, 1755-1780 MHz, and 2155-2180 MHz Bands". 488 (https://apps.fcc.gov/edocs_public/attachmatch/FCC-14-31A1.pdf) 489

2. Joint FCC and NTIA Public Notice (PN) DA 14-1023, "Coordination Procedures in the 490 1695-1710 MHz and 2155-2180 MHz Bands". 491 (https://apps.fcc.gov/edocs_public/attachmatch/DA-14-1023A1_Rcd.pdf) 492

3. McCain, John, Letter from the Chairman of the Committee on Armed Services, US Senate, 493 16 January 2015. (https://ecfsapi.fcc.gov/file/60001046363.pdf) 494

4. National Telecommunications and Information Administration, “Manual of Regulations and 495 Procedures for Federal Radio Frequency Management” (Redbook), September 2017 Revision 496 of the September 2015 Edition. 497 (https://www.ntia.doc.gov/files/ntia/publications/redbook/2017-09/4c_17_9.pdf) 498

5. Defense Spectrum Organization Department of Defense (DOD) Chief Information Officer 499 (CIO) Transition Plan for the 1755-1780 MHz Band, 19 July 2014. 500 (https://www.ntia.doc.gov/files/ntia/publications/dod_disa_dso_1755-501 1780_mhz_releasable_plan.pdf) 502 https://apps.fcc.gov/edocs_public/attachmatch/FCC-14-31A1.pdf https://apps.fcc.gov/edocs_public/attachmatch/DA-14-1023A1_Rcd.pdf https://ecfsapi.fcc.gov/file/60001046363.pdf https://www.ntia.doc.gov/files/ntia/publications/redbook/2017-09/4c_17_9.pdf https://www.ntia.doc.gov/files/ntia/publications/dod_disa_dso_1755-1780_mhz_releasable_plan.pdf https://www.ntia.doc.gov/files/ntia/publications/dod_disa_dso_1755-1780_mhz_releasable_plan.pdf

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7 ACRONYMS 532

AFC Area Frequency Coordinator AWS-3 Advanced Wireless Services – 3 BAS Broadcast Auxiliary Service CARS Cable Television Relay Service DISA Defense Information Systems Agency DoD Department of Defense DSO Defense Spectrum Organization ENG Electronic News Gathering FAS Frequency Assignment Subcommittee FCC Federal Communications Commission FOC Full Operational Capability HRV High Resolution Video IOC Initial Operational Capability IPC Interference Protection Criteria ISM Installation Spectrum Manager LTTS Local Television Transmission Service MOU Memorandum of Understanding NAB National Association of Broadcasters NDAA National Defense Authorization Act NTIA National Telecommunications and Information Administration ORD Operational Requirements Document PN Public Notice POC Point of Contact R&O Report and Order SBE Society of Broadcast Engineers SMCS Spectrum Management Coordination System SMO Spectrum Management Office SUAS Small Unmanned Aerial System TRR Tactical Radio Relay TTNT Tactical Targeting Network Technology TTX Table Top Exercise

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APPENDIX A – MESSAGE DEFINITION TABLES 1

1 CONTENTS OF THE FREQUENCY COORDINATION REQUEST 2

Table 11. 3

Message Data Field Definition Type of DoD Equipment The type of DoD transmitter being used Quantity of SBE Frequencies Requested (BW per channel and frequency separation)

Number of frequencies requested, the bandwidth per channel and the frequency separation between them

TX Power Transmitter power Max. Bandwidth (occupied BW) Total maximum bandwidth occupied Antenna Type, Height (m), polarization and azimuth Antenna type, height (above mean sea level), polarization and azimuth

Requested Channel access Start…