NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance.
Support for this project was provided by the Department of Defense. Any opinions, findings, conclusions, or recommendations expressed in this material are those of the authors and do not necessarily reflect the views of the sponsor.
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COMMITTEE TO REVIEW DOD C4I PLANS AND PROGRAMS
JAMES C. McGRODDY,
IBM (retired),
Chair
CHARLES HERZFELD, Private Consultant, Vice Chair
NORMAN ABRAMSON,
ALOHA Networks
EDWARD BALKOVICH,
Bell Atlantic
JORDAN BARUCH,
Jordan Baruch Associates
RICHARD BASEIL,
Telcordia Technologies (formerly Bellcore)
THOMAS A. BERSON,
Anagram Laboratories
RICHARD KEMMERER,
University of California at Santa Barbara
BUTLER LAMPSON,
Microsoft Corporation
DAVID M. MADDOX, Gen USA (retired), Private Consultant
PAUL D. MILLER, ADM USN (retired),
Alliant Technology Systems
CARL G. O'BERRY, Lt Gen USAF (retired)
JOHN H. QUILTY,
MITRE Corporation
ROBERT H. REED, Gen USAF (retired),
Lear Astronics Corporation
H. GREGORY TORNATORE,
Applied Physics Laboratory, Johns Hopkins University
Staff
HERBERT S. LIN, Senior Scientist and Study Director
JON EISENBERG, Program Officer
JULIE ESANU, Research Associate
MARK BALKOVICH, Research Associate
MICKELLE RODGERS, Project Assistant
NICCI T. DOWD, Project Assistant
DAVID PADGHAM, Project Assistant
COMPUTER SCIENCE AND TELECOMMUNICATIONS BOARD
DAVID D. CLARK,
Massachusetts Institute of Technology,
Chair
FRANCES E. ALLEN,
IBM T.J. Watson Research Center
JAMES CHIDDIX,
Time Warner Cable
JOHN M. CIOFFI,
Stanford University
W. BRUCE CROFT,
University of Massachusetts at Amherst
A.G. (SANDY) FRASER,
AT&T
SUSAN L. GRAHAM,
University of California at Berkeley
JAMES GRAY,
Microsoft Corporation
PATRICK M. HANRAHAN,
Stanford University
JUDITH HEMPEL,
University of California at San Francisco
BUTLER W. LAMPSON,
Microsoft Corporation
EDWARD D. LAZOWSKA,
University of Washington
DAVID LIDDLE,
Interval Research
JOHN MAJOR,
Wireless Knowledge
TOM M. MITCHELL,
Carnegie Mellon University
DONALD NORMAN,
Nielsen Norman Group
RAYMOND OZZIE,
Groove Networks
DAVID A. PATTERSON,
University of California at Berkeley
LEE SPROULL,
Boston University
LESLIE L. VADASZ,
Intel Corporation
Staff
MARJORY S. BLUMENTHAL, Director
HERBERT S. LIN, Senior Scientist
JERRY R. SHEEHAN, Senior Program Officer
ALAN S. INOUYE, Program Officer
JON EISENBERG, Program Officer
JANET D. BRISCOE, Administrative Associate
RITA GASKINS, Project Assistant
NICCI T. DOWD, Project Assistant
DAVID PADGHAM, Project Assistant
MARGARET MARSH, Project Assistant
COMMISSION ON PHYSICAL SCIENCES, MATHEMATICS, AND APPLICATIONS
PETER M. BANKS,
ERIM International, Inc.,
Co-chair
W. CARL LINEBERGER,
University of Colorado,
Co-chair
WILLIAM BROWDER,
Princeton University
LAWRENCE D. BROWN,
University of Pennsylvania
MARSHALL H. COHEN,
California Institute of Technology
RONALD G. DOUGLAS,
Texas A&M University
JOHN E. ESTES,
University of California at Santa Barbara
JERRY P. GOLLUB,
Haverford College
MARTHA P. HAYNES,
Cornell University
JOHN L. HENNESSY,
Stanford University
CAROL M. JANTZEN,
Westinghouse Savannah River Company
PAUL G. KAMINSKI,
Technovation, Inc.
KENNETH H. KELLER,
University of Minnesota
MARGARET G. KIVELSON,
University of California at Los Angeles
DANIEL KLEPPNER,
Massachusetts Institute of Technology
JOHN KREICK,
Sanders, a Lockheed Martin Company
MARSHA I. LESTER,
University of Pennsylvania
M. ELISABETH PATÉ-CORNELL,
Stanford University
NICHOLAS P. SAMIOS,
Brookhaven National Laboratory
CHANG-LIN TIEN,
University of California at Berkeley
NORMAN METZGER, Executive Director
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Preface
The Defense Authorization Act for Fiscal Year 1996 requested that the National Research Council (NRC) undertake a review of current and planned service and defense-wide programs for command, control, communications, computers, and intelligence (C4I) with a special focus on cross-service and inter-service issues (Box P.1). Programs for C4I account for some of the most complex systems, technologies, and functions in the military. Expenditures on C4I represent a significant fraction of the defense budget. C4I programs provide an interrelated group of capabilities that are distributed horizontally across the military services and vertically within each defense function.
Recognizing the potential leverage that enhanced C4I capabilities can provide to the various defense functions (e.g., battlespace situational awareness at all levels of the military command structure, tactical communications, target identification and acquisition, logistics, and so on), the Department of Defense (DOD) has begun major efforts to integrate the various C4I systems into a system of systems. This vision of a defense-wide rationalization of C4I architectures and systems—articulated in Joint Vision 20101—is highly ambitious, and one that will undoubtedly stress traditional DOD ways of doing business.
In response to the legislative mandate, the Computer Science and Telecommunications Board (CSTB) of the NRC formed the Committee to
BOX P.1 Legislative Charge to the National Research Council Public Law 104-106 Defense Authorization Act for Fiscal Year 1996 SEC. 262. REVIEW OF C4I BY NATIONAL RESEARCH COUNCIL.
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Review DOD C4I Plans and Programs. Unlike the groups responsible for many other studies of C4I (some of which are listed in Appendix B), the membership of the committee was about evenly divided between information technology experts from the commercial, non-defense sector and individuals with significant experience in military operations, either as senior commanders or as defense technologists (Appendix C). The motivation for this balance was that the civilian experts would bring perspective and insights from the commercial world that are relevant to the DOD, while the military experts would provide context and a sense of history and operational experience on what is, after all, a unique organization with a unique mission.
In the course of its work, the committee received briefings from DOD officials and others and conducted a number of site visits (Appendix A provides a list), reviewed recent reports described in Appendix B, and met seven times to discuss the input from these sources as well as the independent observations and findings drawn from the experience of the committee members themselves. With the limited resources and time available, the committee chose an approach in which it examined selected field exercises and various C4I programs, rather than attempting to conduct an exhaustive review of all C4I programs within DOD. The committee selected the particular programs and exercises it visited, although its DOD liaisons provided valuable input on possible subjects for examination. As a result of this approach, the findings and conclusions in this report are based on judgments resulting from the "on the ground" sense the committee developed through its sampling process, as well as the experience and knowledge of committee members. Sampling is by definition not comprehensive. However, the sampled data points are most likely to reflect the modal state of practice, and thus conclusions drawn on the basis of sampling are likely to be valid in some "average" sense.
One critical question faced by the committee during the course of its project was whether to interpret its legislative charge broadly or narrowly. The narrowest interpretation would have led to a detailed technical review of current DOD efforts in C4I architecture and standards to promote interoperability. The broadest interpretation would have led to an examination of all of the elements needed to sustain a revolution in military affairs based on C4I and information technology, including but not limited to technical considerations of interoperability. Taking the narrowest interpretation risked focusing only on the current state of affairs without taking into account future possibilities. Taking the broadest interpretation risked undertaking an assessment too large to be doable in any meaningful way given the time and resources available to the committee. After considerable discussion, the committee decided that a broad—but not the broadest—interpretation was appropriate. Interoperability would remain
a central part of the report, but other issues as they emerged in the context of the interoperability problem would also be addressed.
Finally, it is appropriate to point out what this report does not cover:
- The report accepts as a given the proposition that C4I and information technologies will be central to the vision for the nation's fighting forces in the future. The committee recognizes some controversy over the validity of this proposition but, given the legislative charge, believes that it was a reasonable presumption. The committee believes that C4I has been and will continue to be a critical factor in any imaginable evolutionary path for U.S. forces; the argument in this area is one of degree rather than kind.
- The report focuses on three key areas—interoperability, information systems security, and DOD process and culture—that demand serious attention if the military promise of C4I is to be realized. Though issues in these areas were regarded as the most critical problems for DOD, this focus does not mean that other issues are not important as well. For example, issues related to data overload (a user of a C4I system being inundated with information that may be nice to have but is not critical) and data quality (knowing that the data entered into the system, such as a sensor input, is in fact valid) are acknowledged but not addressed explicitly, except as they interact with the critical issues of interoperability and information systems security.
- The report does not evaluate specific C4I programs or systems. While such evaluations are useful from a programmatic standpoint, the enormous number of C4I programs within DOD made such a task impossible within the context of this study. Furthermore, agencies such as the General Accounting Office are better suited to undertaking the analysis of specific programs. In general, the committee did look at some programs and did discuss technology issues, but did not conduct a programmatic audit as GAO might do, believing that its primary efforts would be better spent on examining the overall systemic challenges in exploiting the leverage of C4I.
- The report does not address the special issues related to the ''online war" in which traditional media such as CNN and emerging online media such as Web sites and Internet relay chats help to influence public opinion, either directly or indirectly. This phenomenon is likely to become more important in the future as the United States conducts military operations in non-traditional venues, but the committee did not have the expertise to address these matters.
- The report does not address systems that are intended primarily to support strategic or national intelligence collection. The committee recognizes the fact that national intelligence assets may be used for tactical
- purposes, and to the extent that this is true, the report's analysis, findings, and recommendations are relevant. Nevertheless, an examination of national intelligence programs was beyond the scope of the committee's primary focus.
The committee wishes to thank the Department of Defense for providing liaison and logistical support. In particular, Mr. John Buchheister and Mr. Jack Zavin (both from the Office of the Assistant Secretary of Defense for C3I) were enormously helpful and provided valuable guidance in helping to find appropriate briefers and information the committee needed for its study. The committee also wishes to acknowledge the efforts of those listed in Appendix A. Those responsible for hosting the committee on its site visits provided access and support, while those presenting briefings to the committee answered a wide variety of questions. Finally, committee members spoke to a number of personnel on its site visits who were not part of any formal presentation. Nevertheless, these personnel helped to provide the committee with a measure of "ground truth" and in general impressed the committee with their dedication to duty and their technical sophistication.
A special note of appreciation is due the NRC staff on this project. Without the insights and capable efforts of Dr. Herb Lin, it would have been impossible to assemble the team whose breadth of experience and knowledge were essential to the creation of this report. In addition, the committee would like to acknowledge Dr. Lin's expert support in developing an overall plan and specific agendas for its meetings and site visits. The NRC team of Lin and Dr. Jon Eisenberg, working together with Mr. Buchheister and Mr. Zavin, developed a plan of briefings with key people and effective site visits that enabled the committee to focus on the relevant issues and rapidly develop a base of common knowledge in the complex area of C4I. The committee received major and capable help and support from Lin and Eisenberg, in both developing an effective process for the writing effort and ensuring a consistent style and, more important, finding a reasonable consensus on key issues and recommendations without diluting the directness and forcefulness of the committee's sentiments. As always, the committee, in its collective authorship, is responsible for the analysis, findings, and recommendations of this report.
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Acknowledgment of Reviewers
This report was reviewed by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council's (NRC's) Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the authors and the NRC in making the published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The contents of the review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their participation in the review of this report:
W. Earl Boebert, Sandia National Laboratories,
William Crowell, Cylink,
Gerald Dinneen, Honeywell, Inc. (retired),
Jack Donegan, San Diego Supercomputer Center,
Robert Everett, MITRE Corporation,
Louis Finch, STR,
Mike Frankel, SRI International,
Richard L. Hearney, The Boeing Company,
David Heebner, Private Consultant,
John C. Henderson, Boston University,
Anita Jones, University of Virginia,
Stephen Kent, BBN,
John B. LaPlante, Burdeshaw Associates, Limited,
Stephen Lukasik, Independent Consultant,
Larry Lynn, Private Consultant,
Stuart E. Madnick, Massachusetts Institute of Technology,
Noel D. Matchett, Information Security Incorporated,
James McCarthy, United States Air Force Academy,
Wesley L. McDonald, U.S. Navy (retired),
Robert Nesbit, MITRE Corporation,
Kumar Patel, University of California at Los Angeles,
Stu Personick, Bell Laboratories,
William H. Press, Harvard University,
Jeff Rulifson, Sun Microsystems,
Casmir S. Skrzypczak, Bellcore,
Harry Train II, SAIC,
Harry Van Trees, George Mason University,
Andrew Viterbi, QUALCOMM,
Willis H. Ware, RAND Corporation,
Larry D. Welch, Institute for Defense Analyses,
Albert D. Wheelon, Hughes Aircraft Company (retired),
Sheila Widnall, Massachusetts Institute of Technology,
Len Wishart, U.S. Army (retired), and
John Yeosock, U.S. Army (retired).
Although the individuals listed above provided many constructive comments and suggestions, responsibility for the final content of this report rests solely with the study committee and the NRC.
Contents
NOTE TO THE READER: The executive summary is an essential component of this report. In addition to collecting the findings and recommendations presented in Chapters 2 through 4, the executive summary distills the goals and principles described in the main text of the report as informing the effective use of C4I systems and technology for military operations. This distillation is not to be found elsewhere in the report.