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Suggested Citation:"Front Matter." National Research Council. 2004. The Role of Experimentation in Building Future Naval Forces. Washington, DC: The National Academies Press. doi: 10.17226/11125.
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The Role of Experimentation in Building Future Naval Forces

Committee for the Role of Experimentation in Building Future Naval Forces

Naval Studies Board

Division on Engineering and Physical Sciences

NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS
Washington, D.C.
www.nap.edu

Suggested Citation:"Front Matter." National Research Council. 2004. The Role of Experimentation in Building Future Naval Forces. Washington, DC: The National Academies Press. doi: 10.17226/11125.
×

THE NATIONAL ACADEMIES PRESS
500 Fifth Street, N.W. Washington, DC 20001

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.

This study was supported by Contract No. N00014-00-G-0230, DO #12, between the National Academy of Sciences and the Department of the Navy. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project.

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Suggested Citation:"Front Matter." National Research Council. 2004. The Role of Experimentation in Building Future Naval Forces. Washington, DC: The National Academies Press. doi: 10.17226/11125.
×

THE NATIONAL ACADEMIES

Advisers to the Nation on Science, Engineering, and Medicine

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences.

The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of Engineering.

The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine.

The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council.

www.national-academies.org

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COMMITTEE FOR THE ROLE OF EXPERIMENTATION IN BUILDING FUTURE NAVAL FORCES

ANNETTE J. KRYGIEL,

Great Falls, Virginia,

Chair

RUZENA K. BAJCSY,

Center for Information Technology Research in the Interest of Society, University of California, Berkeley

ALAN BERMAN,

Applied Research Laboratory, Pennsylvania State University

DUNCAN A. BROWN,

Applied Physics Laboratory, Johns Hopkins University

MARION R. BRYSON,

North Tree Management

JOHN D. CHRISTIE,

Logistics Management Institute

JOHN A. CORDER,

Colleyville, Texas

PAUL K. DAVIS,

RAND and RAND Graduate School of Policy Studies

BRIG “CHIP” ELLIOTT,

BBN Technologies

J. DEXTER FLETCHER,

Institute for Defense Analyses

RICHARD J. IVANETICH,

Institute for Defense Analyses

L. DAVID MONTAGUE,

Menlo Park, California

WILLIAM B. MORGAN,

Rockville, Maryland

JASON PROVIDAKES,

MITRE Corporation

JOHN E. RHODES,

Balboa, California

WILLIAM D. SMITH,

Fayetteville, Pennsylvania

MICHAEL G. SOVEREIGN,

Monterey, California

MITZI M. WERTHEIM,

Center for Naval Analyses

CINDY WILLIAMS,

Massachusetts Institute of Technology

JOSEPH ZEIDNER,

Bethesda, Maryland

Staff

RONALD D. TAYLOR, Director (on leave as of July 12, 2003)

CHARLES F. DRAPER, Acting Director (as of July 12, 2003)

MARY G. GORDON, Information Officer

SUSAN G. CAMPBELL, Administrative Assistant

IAN M. CAMERON, Project Assistant

SEYMOUR J. DEITCHMAN, Consultant

SIDNEY G. REED, JR., Consultant

JAMES G. WILSON, Consultant

Suggested Citation:"Front Matter." National Research Council. 2004. The Role of Experimentation in Building Future Naval Forces. Washington, DC: The National Academies Press. doi: 10.17226/11125.
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NAVAL STUDIES BOARD

VINCENT VITTO,

Charles S. Draper Laboratory, Inc.,

Chair

JOSEPH B. REAGAN,

Saratoga, California,

Vice Chair

ARTHUR B. BAGGEROER,

Massachusetts Institute of Technology

ALAN BERMAN,

Applied Research Laboratory, Pennsylvania State University,

Special Advisor

JAMES P. BROOKS,

Litton/Ingalls Shipbuilding, Inc.

JOHN D. CHRISTIE,

Logistics Management Institute

RUTH A. DAVID,

Analytic Services, Inc.

ANTONIO L. ELIAS,

Orbital Sciences Corporation

BRIG “CHIP” ELLIOTT,

BBN Technologies

FRANK A. HORRIGAN,

Bedford, Massachusetts

JOHN W. HUTCHINSON,

Harvard University

RICHARD J. IVANETICH,

Institute for Defense Analyses

HARRY W. JENKINS,

ITT Industries

MIRIAM E. JOHN,

Sandia National Laboratories

DAVID V. KALBAUGH,

Applied Physics Laboratory, Johns Hopkins University

ANNETTE J. KRYGIEL,

Great Falls, Virginia

L. DAVID MONTAGUE,

Menlo Park, California

WILLIAM B. MORGAN,

Rockville, Maryland

JOHN H. MOXLEY III,

Korn/Ferry International

ROBERT B. OAKLEY,

National Defense University

NILS R. SANDELL, JR.,

ALPHATECH, Inc.

JAMES M. SINNETT,

Ballwin, Missouri

WILLIAM D. SMITH,

Fayetteville, Pennsylvania

RICHARD L. WADE,

Risk Management Sciences

MITZI M. WERTHEIM,

Center for Naval Analyses

CINDY WILLIAMS,

Massachusetts Institute of Technology

Navy Liaison Representatives

RADM LEWIS W. CRENSHAW,

USN, Office of the Chief of Naval Operations, N81 (through June 6, 2003)

RADM JOSEPH A. SESTAK, JR.,

USN, Office of the Chief of Naval Operations, N81 (as of July 15, 2003)

RADM JAY M. COHEN,

USN, Office of the Chief of Naval Operations, N91

Marine Corps Liaison Representative

LTGEN EDWARD HANLON, JR.,

USMC, Commanding General,

Marine Corps Combat Development Command

Suggested Citation:"Front Matter." National Research Council. 2004. The Role of Experimentation in Building Future Naval Forces. Washington, DC: The National Academies Press. doi: 10.17226/11125.
×

Staff

RONALD D. TAYLOR, Director (on leave as of July 12, 2003)

CHARLES F. DRAPER, Acting Director (as of July 12, 2003)

MICHAEL L. WILSON, Program Officer

MARY G. GORDON, Information Officer

SUSAN G. CAMPBELL, Administrative Assistant

IAN M. CAMERON, Project Assistant

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Preface

As we enter the 21st century, the Department of Defense (DOD) seeks to transform the nation’s armed forces to meet the military challenges of the future. The absence of a threatening major power in today’s world offers the DOD a rare opportunity to experiment, change, innovate, and transform its forces to meet tomorrow’s needs while at the same time addressing today’s missions. Various reviews currently under way are seeking to establish strategic guidelines for building tomorrow’s joint military forces. In addition, activities such as the DOD’s fiscal year 2001 Quadrennial Defense Review help to ensure that Navy and Marine Corps programs, processes, and organizations, and the capabilities that they create, are integral to realizing the objectives of joint forces. In this context, the development of joint warfighting capabilities is among the most important of the future issues facing the Department of Defense (and the Department of the Navy), and the recent war with Iraq has accelerated recognition of future requirements and the development of concepts to address them.1

During the past decade, experimentation has taken on increased importance in building naval force capabilities. Through its fleet battle experiments, the Navy has attempted to explore and use emerging systems and technologies in order to develop new operational concepts. The Marine Corps Warfighting

1  

The present study concluded at the end of Operation Iraqi Freedom, just as assessments of lessons learned were being initiated. The U.S. Joint Forces Command, for instance, was assigned to meet with assessment teams from all of the Services to collect their respective observations on the war. See Malina Brown, 2003, “Thornberry Questions Services’ Objectivity: USJFCOM Team to Meet with Services on Lessons Learned from Iraq War,” Inside the Navy, Vol. 16, No. 18, May 5, p. 1.

Suggested Citation:"Front Matter." National Research Council. 2004. The Role of Experimentation in Building Future Naval Forces. Washington, DC: The National Academies Press. doi: 10.17226/11125.
×

Laboratory has conducted experiments designed in part to identify new operational concepts and the capabilities that would be needed to support such concepts as Expeditionary Maneuver Warfare, Operational Maneuver From the Sea, and Ship to Objective Maneuver. The U.S. Joint Forces Command is now charged with leading the transformation of the armed forces and meeting the national security challenges of the 21st century, in addition to being the primary catalyst for joint force integration, training, experimentation, doctrine development, and testing.

Fertile areas for potential gain and progress are found in all three operational domains—land, sea, and air (including space). For example, the military effectiveness of ground forces (Marine Corps and Army) could be increased and cost savings realized if there were agreement on common requirements for command, control, communications, computers, intelligence, surveillance, and reconnaissance (C4ISR) equipment and products, common and complementary operational concepts, and common training technology. Similar gains could be achieved for air operations through the adoption of common Navy and Air Force approaches to conducting such operations. Used to implement and evaluate the networking of joint forces and the development of joint operational architectures as well as interoperability across the Services’ systems, experimentation could play a significant role among all Service components in enhancing naval (and joint) force development.

Indeed, experimentation serves as a critical underpinning for the Navy’s strategy of transitioning to a network-centric naval force. It is through well-conceived and well-designed experiments (namely, technical demonstrations) that the naval forces will identify new command relationships for conducting military operations, discover information requirements necessary to support various concepts of operation, and learn how to operate in the face of degraded levels of service when under information attack.

In the near term, experimentation allows for operational and technical improvements to current force capabilities and, in some cases, for additional exercising and training of forces, thereby helping to maintain readiness. Near-term experimentation will also greatly affect long-term force development, by identifying areas in which investment will be necessary to support future operational concepts, as well as by introducing emerging technologies to meet the evolving challenges presented to naval (and joint) warfighters.

TERMS OF REFERENCE

At the request of the Chief of Naval Operations (CNO), the Naval Studies Board of the National Research Council conducted a study to examine the role of experimentation in building future naval forces to operate in the joint environment. The study addresses the opportunities offered by experimentation, the implications of experimentation, and the following questions:

Suggested Citation:"Front Matter." National Research Council. 2004. The Role of Experimentation in Building Future Naval Forces. Washington, DC: The National Academies Press. doi: 10.17226/11125.
×
  • What has been learned from the experiments thus far about future naval force operations and about joint operations involving the fleet and Marines?

  • How has spiral development been involved and has it improved timelines and affordability? How does new technology or equipment improve naval force performance and how is spiral development best implemented to achieve desired objectives?

  • How successful has been the transitioning of the results of experimentation to the field?

  • How adequate are the tools and environments for experimentation (e.g., Navy’s modeling and simulation capabilities, integration facilities, etc.)?

  • What important questions remain or have been raised or are being raised that are amenable to experimentation and that may or may not be on the agenda? What should be added, and how should such questions be approached (battle laboratories, fleet experiments, joint experiments, and such)?

  • What process and method improvements for coherent experiment planning are needed?

  • How can and should joint experimentation leverage Service experiments? How successful have Navy and Marine Corps experimentation programs been at preparing for joint operations?

COMMITTEE MEETINGS

  • April 4-5, 2002, in Washington, D.C. Organizational meeting: Office of the Chief of Naval Operations (OPNAV), N70, overview of naval experimentation and the Naval Transformation Plan; U.S. Joint Forces Command (USJFCOM), J9, briefing on experimentation organization and management; Office of Naval Research (ONR) briefing on naval science and technology programs, implementation, progress, and examples; Marine Corps Warfighting Laboratory overview of experimentation efforts; Navy Warfare Development Command (NWDC) overview of U.S. Navy experimentation and experimentation organization; and Office of the Assistant Secretary of Defense for Command, Control, Communications, and Intelligence overview of previous studies and reviews covering experimentation.

  • May 2-3, 2002, in Washington, D.C. Office of the Chief of Naval Operations, N79, briefing on Navy education and training in the context of experimentation; Marine Corps Systems Command (SYSCOM) briefing on Marine Corps systems engineering efforts and the SYSCOM’s role in spiral development; Marine Corps Combat Development Command briefing on Marine Corps concepts and doctrine development and education and on training efforts; Office of Naval Research briefing on extending the littoral battlespace; Naval Sea Systems Command (NAVSEA) briefing on the Navy’s systems engineering efforts and the SYSCOM’s role in spiral development; Office of the Assistant Secretary of the Navy for Research, Development, and Acquisition (ASN (RDA)) and NAVSEA

Suggested Citation:"Front Matter." National Research Council. 2004. The Role of Experimentation in Building Future Naval Forces. Washington, DC: The National Academies Press. doi: 10.17226/11125.
×

briefings on the status of ASN (RDA) chief engineer; and retired leaders’ perspectives on Army and Navy experimentation.

  • July 9-11, 2002, in Newport, Rhode Island. Site visit to NWDC for an overview of NWDC and briefings from NWDC Concept Development Department, Technology Department, Operations Department, Modeling and Simulation Department, Doctrine Department, and the Maritime Battle Center, as well as an overview of NWDC Assured Access Warfighter Innovation Development Team (WIDT), Forward Sea-Based Forces WIDT, Anti-Terrorism/Force Protection WIDT, Information Knowledge Advantage WIDT, and Effects Based Operations WIDT; and CNO Strategic Studies Group briefing on FORCEnet.

  • July 30-August 1, 2002, in Hampton Roads, Virginia. Site visit to USJFCOM for an overview of USJFCOM activities, past and present, and briefings on Millennium Challenge ’02; video discussion with Commander, Second Fleet, U.S. Navy, on the fleet perspective on naval and joint experimentation; Joint Warfare Fighting Center briefings and demonstrations of the ongoing Millennium Challenge ’02; Submarine Force, U.S. Atlantic Fleet and Submarine Development Squadron 12 overview and perspective on experimentation; U.S. Atlantic Fleet perspective on naval and joint experimentation; Operational Test and Evaluation Force overview of responsibilities and perspectives on experimentation; U.S. Air Force (USAF) briefings on environments and tools supporting USAF experimentation and transitioning USAF requirements into acquisition through experimentation; Carrier Group Four/Carrier Strike Force perspective on experimentation and training of East Coast battle groups; Navy Network Warfare Command overview and briefings on its role in experimentation; and discussion with First Marine Expeditionary Force/First Marine Expeditionary Brigade on recent experiences during Operation Enduring Freedom in Kandahar, Afghanistan, and how experimentation might have played a role.

  • August 15-16, 2002, in Washington, D.C. Marine Corps Combat Development Command overview and briefings on Expeditionary Force Development System, Transformation and Concepts, Joint Concept Development Experimentation, and the Marine Corps Warfighting Laboratory; MITRE Corporation briefings on recent assessments of naval experimentation; and Army Director of Information Operations, Networks, and Space and Director of Information Systems for Command, Control, Communications, and Computers insights into Army experimentation efforts.

  • September 5-6, 2002, in Washington, D.C. Planning meeting for report chapter captains and briefing by U.S. Navy on alternative acquisition process.

  • September 9, 2002, in Washington, D.C. Subcommittee meeting; briefings by Air Force Experimentation Office.

  • October 23-24, 2002, in San Diego, California. Subcommittee site visits to the USS Coronado, then the flagship of the U.S. Third Fleet, and the Marine Corps Tactical Systems Support Activity.

Page xiii Cite
Suggested Citation:"Front Matter." National Research Council. 2004. The Role of Experimentation in Building Future Naval Forces. Washington, DC: The National Academies Press. doi: 10.17226/11125.
×
  • September 16-20, 2002, in Woods Hole, Massachusetts. Committee deliberations and report drafting.

The months between the last meeting and publication of the report were spent preparing the draft manuscript, gathering additional information, reviewing and responding to the external review comments, editing the report, and subjecting the report to security review.

Suggested Citation:"Front Matter." National Research Council. 2004. The Role of Experimentation in Building Future Naval Forces. Washington, DC: The National Academies Press. doi: 10.17226/11125.
×

Acknowledgment of Reviewers

This report has been reviewed in draft form 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 institution in making its 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 review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report:

Herb Browne, Armed Forces Communications and Electronics Association,

Roy C. Evans, MITRE Corporation,

Paul G. Kaminski, Technovations, Inc.,

Bruce B. Knutson, LtGen, U.S. Marine Corps (retired),

John E. Morrison, Institute for Defense Analyses, and

Janos Sztipanovits, Vanderbilt University.

Although the reviewers listed above provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review of this report was overseen by Lee M. Hunt, Alexandria, Virginia. Appointed by the National Research Council, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution.

Suggested Citation:"Front Matter." National Research Council. 2004. The Role of Experimentation in Building Future Naval Forces. Washington, DC: The National Academies Press. doi: 10.17226/11125.
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 U.S. Marine Corps,

 

76

   

 Combined Experimentation of the Navy and Marine Corps,

 

86

   

 Experimentation by Other Services,

 

88

4

 

EMERGING ROLES IN EXPERIMENTATION—THE JOINT CONNECTION

 

107

   

 U.S. Joint Forces Command and Its Evolving Mission,

 

108

   

 Naval Linkages to U.S. Joint Forces Command Experimentation,

 

126

   

 Experimentation in the Combatant Commands,

 

134

   

 Cross-Service Experimentation,

 

138

   

 Enhancing Naval Participation in Joint Experiments,

 

139

5

 

EFFECTIVENESS OF EXPERIMENTATION FOR FUTURE NAVAL CAPABILITIES

 

141

   

 Assessment of Experimentation Results,

 

141

   

 Assessment of Transitioning,

 

143

   

 Assessment of Spiral Development,

 

149

   

 Assessment of the Naval Experimentation Program and Its Methods,

 

151

   

 Assessment of Environment, Infrastructure, and Tools for Experimentation,

 

162

   

 Experimentation for Building Naval Forces for Joint Operations,

 

174

6

 

RECOMMENDATIONS FOR IMPROVING THE OVERALL EFFECTIVENESS OF NAVAL EXPERIMENTATION

 

181

   

 Establish Senior Navy Oversight and Annual Review of Experimentation Efforts,

 

182

   

 Strengthen Transition Processes,

 

183

   

 Enhance the Naval Experimentation Programs,

 

187

   

 Enhance Navy Experimentation Processes,

 

189

   

 Sustain and Use Navy Experimentation Resources More Effectively,

 

191

   

 Enhance Infrastructure and Tools for Naval Experimentation,

 

193

   

 Balance Naval and Joint Experimentation,

 

195

   

 Specific Enhancements for the Naval Programs of Experimentation,

 

200

 

 

APPENDIXES

 

 

   

A   Biographies of Committee Members and Staff

 

209

   

B   Agendas for Meetings of the Committee

 

217

   

C   Acronyms and Abbreviations

 

227

   

D   Definitions of Experimentation Terms Used in This Report

 

233

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The Department of Defense is in the process of transforming the nation's armed forces to meet the military challenges of the 21st century. Currently, the opportunity exists to carry out experiments at individual and joint service levels to facilitate this transformation. Experimentation, which involves a spectrum of activities including analyses, war games, modeling and simulation, small focused experiments, and large field events among other things, provides the means to enhance naval and joint force development. To assist the Navy in this effort, the Chief of Naval Operations (CNO) asked the National Research Council (NRC) to conduct a study to examine the role of experimentation in building future naval forces to operate in the joint environment. The NRC formed the Committee for the Role of Experimentation in Building Future Naval Forces to perform the study.

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