7- SMCS User Procedures Guide.pdf

Spectrum Management Coordination System (SMCS)-Related DoD-SBE Frequency Coordination/Notification Request Procedures (Draft, V 0.5)

26 July 2018

1 Introduction – Overall, Top-Level Process This document presents a set of procedures involving frequency coordination requests and/or notifications within the scope of the Spectrum Management / Coordination System (SMCS).

These procedures are designed to present stepwise processes for parties to follow in conducting interactions. All steps are labeled with the responsible party(ies), and clear outputs. Textual step descriptions are illustrated with figures.

1.1 Scope

The scope of these procedures is limited to SMCS supported operations only. Other procedures (for example, development and/or modification of the DoD/NAB/SBE MOU precoordinated access channels) are not within the scope of this document and will be addressed elsewhere.

1.2 Revision History

Table 1. Revision History

Version Number

Version Date Major Changes

0.1 June 2018 Initial draft

0.2 06 June Draft version submitted to DISA for comment

0.3 10 July Draft version with DISA comments incorporated, as well as modified diagrams from DISA comments on the Powerpoint briefing

0.4 23 July Updated process diagrams after latest round of comments on those.

0.5 05 Oct 2018 Final submission to DSO

1.3 Purpose

These procedures are intended to serve as reference material for both DoD and SBE personnel involved in executing these procedures within the scope of the SMCS capability. The procedures should instantiate the interaction principles and priorities stated in the MOU, should be understandable, feasible, and executable, and should lead to consistent results.

1.4 List of Acronyms

Table 2. List of Acronyms

Acronym Definition AFC Area Frequency Coordinator DISA Defense Information Systems Agency DoD Department of Defense DSO Defense Spectrum Organization ENG Electronic News Gathering ISM Installation Spectrum Manager

MOU Memorandum of Understanding NAB National Association of Broadcasters SBE Society of Broadcast Engineers (used to indicate their dedicated representative for DoD interactions) SMCS Spectrum Management Coordination System SMO Spectrum Management Office

2 SMCS Process Definitions These processes are based on several sources:

• Process models developed by DoD in conjunction with SBE,

• Process models developed by the individual DoD Services, and

• Discussions of processes, constraints, and objectives garnered from the series of Table Top

Exercises (TTX) events hosted by DISA DSO during 2018.

2.1 Top-Level Phases

The overall process is partitioned into 4 major sub-processes or Phases, as illustrated in Figure 1. Each of these sub-processes is described in more detail in the following sections. Briefly, the starting and ending conditions of each of the sub-processes are described in the table below:

Table 3. Definitions of the Top-Level Phases

Major Sub-process (Phase)

Initial Condition (Begins with)

Ending Condition(s) (Ends with)

Development • User perceives need for a frequency coordination

• Validated coordination/notification request is ready for analysis

Analysis • Request is ready for the Analysis process.

Notification proceeds directly to coordination.

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

• Request returned, with comments, for revision

Coordination • Request shared with SBE • Request is approved, scheduled or denied.

• Request returned, with comments, for revision Operations • Request is approved and scheduled

• DoD Frequency use is completed successfully or is terminated before or during operations

Figure 1 Graphic representation of the top level phases and their interactions

2.2 Development Phase

The details of the Notification/Request Development Phase are shown in Figure 2. Note the process boxes are labeled by name and function code (A.1, A.2, etc.). Note also that the processes are color coded by performer.

Figure 2 Detail of Phase 1 – Notification Development

The development phase begins when the user in coordination with their local ISM decides that a coordination/notification request needs to be generated (A.1). When this is complete, the request is passed to the AFC for review (A.2). If the request is valid (all necessary fields are present, accurate and consistent) (A.3), then the AFC submits the request to the SMO for analysis (A.4)

Step A.1 (User/ISM): Complete the Coordination Request /Notification Template, and submit to the AFC (Note: On re-entry to this process, due to the request being returned for revision, the User/ISM may, if they choose, abandon the request effort.)

Step A.2 (AFC): Review the completeness of the request.

Step A.3 (AFC): The AFC adjudicates the completeness of the validation. If insufficient, the request is returned to the User, with comments, for revision. If sufficient, proceed to Step A.4.

Step A.4 (AFC): The AFC submits the request to the SMO for the Analysis Phase (A.4). Note that this is done for pre-coordinated frequencies (where a notification request is prepared to use pre-coordinated frequencies) as well as non-pre-coordinated requests (where a coordination request is prepared containing the results of an analysis to use frequencies that have not previously been coordinated) – the difference is handled within the Analysis Phase.

2.3 Analysis Phase:

The goal of the Analysis Phase is to demonstrate that the current request will not cause interference with ENG operations. The phase begins when Step A.4 is completed and the request is received by the SMO. Please refer to Figure 3 below.

Step B.1 (ISM): The initial step is to determine whether the request is a notification request or a coordination request. A notification request refers to the use of a pre-coordinated channel and that DoD is simply notifying the SBE that there is an intention to use the pre-coordinated channel. Note that a notification request may have been specified in the request / notification (R/N) by the originator. If the (R/N) is for a pre-coordinated channel, then proceed to Step B.2. Otherwise (a non-pre-coordinated channel), proceed to Step B.3.

Step B.2 (ISM): Since, with pre-coordinated channels, the interference analysis has already been performed and the results documented in the MOU, the rest of this phase can be by-passed. At this point, the notification is submitted to the AFC. Go to Step C.1 in the Coordination Phase.

Step B.3 (AFC): A coordination request is prepared when pre-coordinated channels are not available to meet the DoD’s spectrum access requirements. An analysis of potential interference is needed, so the AFC submits a coordination request to the SMO for the SMO to conduct an interference analysis (Step B.4)

Step B.4 (SMO): The SMO performs the interference analysis.

Step B.5 (SMO): Based on the results of the interference analysis, a decision is made. If the interference is below the interference protection criteria (IPC), then go to the Coordination Phase (Step C.1). If the interference exceeds the IPC, go to Step B.6.

Step B.6 (AFC): Since the analysis has determined that the interference is likely to exceed the IPC limits, the request is returned to the users for revision. Go to the Development phase, at the point labeled “Re- Entry”, which leads to Step A.1. The details of the interference analysis are also sent to the user so that they have guidance on how to revise their request. A revised request could be as simple as specifying a different channel.

Step B.7 (AFC): The AFC sends the notification/coordination request, with the associated analysis, to the

SBE.

Figure 3 Detail of Analysis Phase

2.4 Coordination Phase:

The Coordination Phase is illustrated in Figure 4. The Coordination Phase may be conducted, at least in part, via phone conversations (or other media) between the AFC representative and the SBE representative.

Step C.1 (SBE): The R/N is received by the SBE and is reviewed for completeness.

Step C.2 (SBE): If the R/N is determined to be incomplete, return the R/N to the AFC for revision. If the R/N is determined to be complete, proceed to step C.3.

Step C.3 (SBE): The SBE reviews the R/N for technical acceptability. This includes interference with ENG operations, as well as other factors.

Steps C.4 (SBE): If the R/N is determined to be acceptable, go to Step C.6. If not, go to Step C.5.

Step C.5 (SBE + AFC): The AFC and the SBE work to develop an alternate solution to the allow the R/N to be modified so it can be approved. Proceed to Step C.6.

Step C.6 (SBE + AFC): If a mutually acceptable solution has been found in Step C.5, go to Step C.7.

Otherwise, go to Step C.8.

Step C.7 (SBE): The R/N has been approved by all parties. Go to Step C.9.

Step C.8 (SBE): No mutual solution has been found. The R/N is denied, and should be returned to the AFC, with explanation, for revision. Go to Step C.9.

Step C.9 (SBE): The R/N, with the approval/deny decision and rationale, is distributed to the DoD parties (AFC and User/ISM). If the result is deny, return to the Development Phase. If the result is approval, proceed to the Operations Phase (Step D.1).

Figure 4 Detail of the Coordination Phase

2.5 Operations Phase:

The Operations Phase is described on Figure 5.

The Operations Phase is defined to start when the notification request or the coordination request is approved, as opposed to when the actual DoD operation begins. This is because the Operations Phase also includes the period between when the coordination is approved and when the DoD operation actually begins. Therefore, it includes the 30 day period before the DoD operation.

Step D.1: Once a request is approved (in the Coordination Phase), the operation is entered into all schedule databases. This could occur as long as 30 days before the DoD operation start date.

Step D.2: At this point, the process enters a “waiting state”. The SBE representative monitors for potential “rescind” conditions – conditions that could lead to the SBE requesting a revision of the operation parameters (e.g., date, channel, etc.), due to some sort of emergent need for the channel for an ENG operation. As long as those conditions are not detected, the operation will begin (go to Step D.3). If rescind conditions are detected, go to Step D.6.

Step D.3: At the time of the start of the scheduled DoD operation, the operation begins. At this point, “Rescind” conditions are no longer monitored. Instead, the SBE monitors for “Cease Buzzer” conditions.

Step D.4: At some point during the operation, the SBE may detect “Cease Buzzer” conditions. If these conditions are never detected, then the operation will proceed to completion (Step D.5). If the conditions are detected, go to Step D.8.

Step D.5: The DoD operation completes. The status is changed in the available databases to “Completed”, with date and POC. This branch of the SMCS process ends here.

Step D.6: The SBE issues the “Rescind Approval” message to the AFC and the User. Proceed to Step D.7.

Step D.7: The SBE and DoD user engage in direct negotiations to develop an alternate plan that is acceptable to both sides. This may cause a return to the Development, Analysis, or Coordination Phases if the planned coordination needs to be changed significantly. Go to the Development, Analysis, or Coordination Phases, as appropriate.

Step D.8: Issue the Cease Buzzer message to the AFC and the DoD user. This does not necessarily cause an immediate cessation of the ongoing DoD operation, but does trigger efforts to cease transmissions on the coordinated channels. . Go to Step D.9.

Step D.9: The User and the SBE work to find a work-around to the situation that gave rise to the Cease Buzzer conditions. This could involve an immediate modification to the operation parameters (Go to Step D.3), or a more significant revision (Go to Development, Analysis or Coordination Phases). SBE has expressed to DoD that they will make every effort to achieve a situation where the DoD operation can be executed successfully. However, the uncertainty in the conditions that might occur in real time make it difficult to encapsulate a resolution process in a strict procedure diagram.

Figure 5 Detail of the Operations Phase

3 Appendix: Prior Process Models Prior process models which contributed to the development of the process model presented here are shown in the sections below.

3.1 Initial DoD-SBE Process Model

This model was initially developed in 2017 in prior meetings among the participants.

Figure 6 Initial DoD-SBE Process Model (2017)

3.2 Navy Process Model

This model was provided by the Navy during the DISA-sponsored TTX events. It should not be considered an official Navy process, but simply their contribution to the process discussion.

Figure 7 USN Process Model provided to the SMCS TableTop Exercises (2018)

Figure 8