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1 Effects-based Operations: An Overview Dr. Maris “Buster” McCrabb (757) 508-8735

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Presentation on theme: "1 Effects-based Operations: An Overview Dr. Maris “Buster” McCrabb (757) 508-8735"— Presentation transcript:


2 1 Effects-based Operations: An Overview Dr. Maris “Buster” McCrabb (757)

3 2 Overview Introduction Definitions Models ATD Technologies EBO in Operation ALLIED FORCE

4 3 Effects-Based Operations Bridge 4 Destroyed Destroy Bridge 4 Disrupt Delivery of POL Effect Tasks Destroy Bridge 6 Plan Indicators Bridge 6 Destroyed Physical effects that lead to… …desired behavioral outcomes.

5 4 Effects-Based Operations The challenge is predicting & assessing what physical actions produce the desired behavioral effects over some period of time EBO … is an approach, a way of thinking supports all missions from HUMRO to MTW utilizes lethal and nonlethal force offers an approach that models an “Enemy as a System” offers Economy-of-Force offers an approach to Effects-based Dynamic ISR Management EBO … is an approach, a way of thinking supports all missions from HUMRO to MTW utilizes lethal and nonlethal force offers an approach that models an “Enemy as a System” offers Economy-of-Force offers an approach to Effects-based Dynamic ISR Management "Effects based operations is a methodology for planning, executing and assessing operations to attain the effects required to achieve desired national security objectives.“ AFDD 1

6 5 Comparison of Effects-Based, Objectives-Based and Targets-Based Operations Effects-Based Target-Based Objectives-Based (Strategies-To Task) Target-Based (TBO) ID enemy entities, destroy them Focus: physical effects at target level Looks at 1st and 2nd order effects only No dynamic assessment No explicit timing considerations Objectives-Based (OBO) (Strategies-to-Task) Strategies at one level become objectives for next Focus: objectives at every level Considers linkages between objectives and strategies to achieve those objectives No dynamic assessment No explicit timing considerations Effects-Based (EBO) Address causality between actions and effects Focus: desired effects (physical and behavioral) Encompass both target and objective-based methods Models the enemy-as-a-system w/adversary reaction Considers Direct, Indirect, Complex (synergistic), Cumulative & Cascading effects Timing explicitly considered “Overcoming” mechanism stated & assessed

7 6 Definitions No doctrinal template in approved Joint doctrine – USAF Doctrine has rudimentary definitions Physical => Behavioral – destroy (damage), disrupt (Kosovo), degrade, dislocate, decapitate, divert, delay (isolate), deny (halt), deceive, defend, deter (D 11 ) – coerce: punish, threaten (George, Schelling) Historically and theoretically behavioral most important but hardest – therefore, traditionally military operations focus on physical effects Major problems with behavioral effects: – causality between action & effect – observability of effect – uncertainty of intervening variables

8 7 AFDD 2-1 Definitions Direct Effect Indirect Effect “Effects” described Limitations: – Precise definitions of “effects” – Effects versus Objectives – Conflating Mechanism – Connections between Direct & Indirect Effects – Complex or Cascading Effects

9 8 AFDD 2-1 Definitions Direct Effect: “Result of actions with no intervening effect or mechanism between act and outcome. Direct effects are usually immediate and easily recognizable.” (AKA 1st order effect) Indirect Effect: “Result created through an intermediate effect or mechanism to produce the final outcome,which may be physical or psychological in nature. Indirect effects tend to be delayed,and may be difficult to recognize.” (AKA 2nd, 3rd,…, n-order effects)

10 9 Effect A result from some action – Assumes a causal connection – “IF x THEN y” is a statement of (direct) effect Point of View dependent Action Cause Action Effect AFDD 2-1 EBO CONOPS

11 10 Mechanism Actions Cause Results (Effects) Mechanism explains cause – Rationale explains purpose (Commander’s Intent) IF (x; action) THEN (y; result) BECAUSE (a, b, … ; mechanism) – Uncertainty in action, result and cause suggest a probability- based approach (Bayes) Clausewitz: if you defeat an enemy’s fielded force, then a rational leader will submit because his country is undefended. Douhet: if you terrorize the population, then a rational leader will submit because the populace will rise up, rebel, and force submission.

12 11 Mechanism continued Slessor: if you interdict infrastructure or supply, then fielded forces will be less combat capable, making them easier to defeat which leads to…an undefended country. Schelling: if you threaten things leadership value, then they will submit rather than lose those things. Warden: if you isolate leadership, then they are prevented from doing something which would thwart our will. They submit because the imposed paralysis prevents them from doing otherwise.

13 12 Mechanism finished In reality these are few, if any, single mechanisms at work. – Direct and indirect effects combine to form complex and cumulative effects – Effects cascade for good or ill Predicting, then assessing, how physical actions spawn behavioral effects (I.e., results from actions) is the major challenge.

14 13 Actions & Tasks Tasks are work (actions) to be done – Operationally, tasks are normally assigned to tactical units (squadrons, brigades, CVBGs, etc.) EBO theory is agnostic to the originator of action Mechanism (Cause) Action (Tasks) Effect (Result)

15 14 Direct & Indirect Effects Direct Effects result from (caused by) direct actions. Indirect Effects result from (caused by) indirect actions. Indirect actions may be the result of a (previous) direct effect. Mechanism (Cause) Direct Action (Tasks) Direct Effect (Result) Mechanism (Cause) Direct Effect (Result) & Indirect Action Indirect Effect (Result)

16 15 Complex & Cumulative Effects Complex Effects are a combination of effects, either direct or indirect, at an instant in time & space. – Mechanism explains how these effect combine Cumulative effects are complex effects as viewed over some time interval. – Effects do have persistence, though that generally varies Direct Effect (Result) Indirect Effect (Result) Complex/Cumulative Effect (Result) Mechanism (Cause)

17 16 Cascading Effects Cascading effects are direct, indirect, complex or cumulative effects that ripple through a system – Captures the notions of an acceleration or a multiplier effect (from economics) – Requires a systems perspective: relationships, dependencies, or connections between elements Cascading effects can be vicious or virtuous but which they are is point of view (POV) dependent – What’s bad for the bad guys is good from our POV but bad from theirs – In a HUMRO, what’s good for the object of our attention is good from our POV and theirs

18 17 Effects-Based Plan Representation Objective Indicator Effect Desired direct effect indirect effect complex effect cumulative effect EBO Terms Task/Activity (Isolate the Battlefield) (Deny Access) (Mechanism)

19 18 Indicators Are not effects Better to be observable then not but “not seen” does not mean “not there” Win the War Destroy Will Stop Second Echelon (Isolate the Battlefield) Prevent River Crossing (Deny Access) Destroy Fuel Res. Carpet BombDrop Leaflets Destroy Br1 Destroy Br2 DMPI 1DMPI 2 Acceleration of Straggler Count River Clear Units in Bivouac Traffic Density Objective/Task/Activity Effect Desired Indicator

20 19 Strategy: Definitions The art & science of employing the armed forces…to secure the objectives of national policy by the application of force or the threat of force. [JP 1-02] A means 1 to accomplish an end. [AFDD 2-1] The use of engagements for the object of the war. [Clausewitz] The art of distributing & applying military means 2 to fulfill the ends of policy. [B.H. Liddell Hart] A plan of action designed in order to achieve some end; a purpose together with a system of measures for its accomplishment. [RADM J.C. Wylie] 1 tool, implement 2 resources

21 20 Strategy, Objectives & Effects Goal, Strategic Aim, End-State: the realm of policy—the decisive results – An end-state is the set of required conditions that achieve the strategic objectives. [JP 3-0] Operational Art: determines where, when & for what purposes [why 2 ]…forces will be employed – Use resources efficiently & effectively to achieve strategic objectives [JP 3-0] – Defines the parameters of operations (restraints & constraints) [FMFM 1-1] Effects: the result (outcomes) of direct actions (e.g., missions) and “indirect” actions (e.g., functions) [AFDD 2-1] 2 rationale

22 21 Ends, Ways, Means, Risk Ends: What military conditions must be produced…to achieve the strategic goal? Ways: What sequence of actions is most likely to produce [those] condition(s)? Means 2 : How should resources…be applied to accomplish that sequence of actions? Risk: What is the likely cost…in performing that sequence of actions [JP 3-0]

23 22 Strategy, CONOPS & COA A verbal or graphic statement, in broad outline, of a commander’s assumptions or intent in regard to an operation….It is included primarily for additional clarity of purpose. [JP 1-02] – Commander’s Intent: end-state, purpose, method & risk A plan that would accomplish a mission. Includes CONOPS. Basis for the development of an OPLAN or OPORD. [JP 1-02] – Tasks—work to be done—given to tactical (engagement level) units to accomplish.

24 23 Models

25 24 Basic Model Actions cause.. …direct effects and.....indirect effects Attack Fielded Forces & Selected Infrastructure Fielded Forces Isolated; Supply & Logistics Reduced BSA Losses Advantage Over BiH MECHANISM Mechanism explains Cause.. Bosnian Serbs Accede to NATO’s Demands MECHANISM Key Requirements: 1.Predictive Models (e.g., IPB, Adversarial) 2.Common Ontology 3.Robust MS&A (e.g., Wargaming)

26 25 MonitorAssessPlanExecute Entities (Shallow Extraction) Relationships (Intermediate Extraction) Discovered & Inferred Knowledge Events (Intermediate, Deep Extraction) Level 0 Sub-object Data Assoc. & Estimation Level 1 Object Refinement Level 2 Situation Refinement Level 3 Impact Assessment Level 4 Process Refinement JIPB, ONA, PBA & EBO Define Environment Describe Environment’s Effects Evaluate Adversary Determine Adversary COAs OER Databases & Sensors Effects-based operations is the ‘engine’ that drives IPB, dynamic C2, and ISR management. Supports JP Stage I: Operational Environment Research AF/XO IPB White Paper ONA: JIPB + COA Options (JFHQ Con. Of Employment) PBA: JIPB + ISR Planning + ISR Management (PBA CONOPS) Increased Emphasis On PMESI SofS Analysis Increased Emphasis On Predicting Behaviors FUNCTIONS SUPPORTED BY EBO FUNCTIONS SUPPORTED BY DATA FUSION

27 26 Working Together JBI Fusion EBO EBO Requests Actionable Information JBI Finds What’s Known and Tasks Generation of New Information Fusion Engines & Fuselets Generate New Information & Pass to EBO While the IPB process is sequential, it is also continuous and cyclical.

28 27 Combat Campaign 2. Operations & Anticipated Responses Plan Predicted Effects Observed Effects Combat Campaign 3. Actual Operations (Target Set / Target / DMPI Level) 4. Actual Responses (COG/Target System Level) Assess 1. Desired Behavior (COG/TS Level) EBO Macro Model

29 28 Semantic Network

30 Approach to Modeling EBO Size = Importance of NEV to National Leadership Thickness = Importance of Connection to other NEV Leadership, 2. Industry, 3. Armed Forces, 4. Population, 5. Transportation, 6. Communications, 7. Alliances JP Campaign Planning Model Barlow’s “National Elements of Value” Model McCrabb’s “Enemy Reactions” Model ”Target" ” Internal Model & Library Internal Model & Library Sensory Boundary Adaptation Space Input Process Output Outcome Intervening Variables Could Should Can COGs Leadership System Essentials Infrastructure Population Forces Leadership System Essentials Infrastructure Population Forces Leadership System Essentials Infrastructure Population Forces Infrastructure’s COGs The System Essentials of Infrastructure’s COGs Warden’s “Enemy As A System” Model Target Systems Target Sets Effects Based Operations (DTO IS.71)

31 30 Campaign Model Modified from JP Stage I: OER (IPB)

32 31 Barlow’s NEVs Stage III: COG Identification

33 32 COGs Leadership System Essentials Infrastructure Population Forces Leadership System Essentials Infrastructure Population Forces Leadership System Essentials Infrastructure Population Forces Infrastructure’s COGs The System Essentials of Infrastructure’s COGs Warden’s “Rings” (Stage III)

34 33 Agent Internal Model & Library Internal Model & Library Sensory Boundary Adaptation Space Input Process Output Outcome Intervening Variables McCrabb’s Agent Adaptation Space (Stage I-V)

35 34 The (Almost) Complete Puzzle (Stage I-V) Commander’s Intent Objectives/ Desired Effects (Stage II) IPB Tools & Processes EBO/DTT T&Ps Enemy COA vs. Friendly COA (Stage IV) COA Selected Branch Stage V Wargaming

36 35 Effects-Based Planning Identify Potential Strategic COGs Identify Linked Operational Systems Identify “Targets” Identify Specific Desired Effects Generate COA Modified from Dave Deptula’s “Firing for Effect” Supports JP Stages II-V Everything Starts from Commander’s Intent….

37 36 Cause (Mechanism)Events Tasks Conditions (End-States) Indicators Results (Effects) Actions (Direct and/or Indirect) = = Strategy (Ways, How): A Plan of Actions (Tasks) that employ resources (means, with) To accomplish Ends (What) What Why How + With, Who, Where, When = COA Effects & Operational Art

38 37 Cause (Mechanism)Events Tasks Conditions (End-States) Indicators (Measures Of Success) Results (Effects) Actions (Direct and/or Indirect) = = What Why How + With, Who, Where, When = COA Planning (Stage V)

39 38 Direct EffectsIndirect Effects Direct ActionsPrevious Effects Cause Complex EffectsCascading Effects Cause Other & Previous Actions Effect Achieved Effect Desired? Yes No Problem?Opportunity? Re-Plan Execution & Assessment Indicators

40 39 Adversarial Models Display Solutions Model Components, Links, Processing to Validate Improved Information Representations & Multimodal Displays Selection of Application Area Integration Requirements for Optimal Design & Employment of DF-based DAs Prototype Development & Tests Characteristics of Improved Human Performance Dependencies & Vulnerabilities of Human Aiding System Potential Countermeasures Dependencies & Vulnerabilities of Human Aiding System Potential Countermeasures Characterization of Application Environment Research Specifications Necessary Characteristics for Investigations Dependencies & Vulnerabilities Needing Support Candidate Displays Characteristics of the Systems Improved Understanding of Cultural Differences & Effects Applications of Human-in-the-Loop Investigations Vulnerable Process Components MOPs Theoretical Understanding to Support Displays Characterizations of Human Dependencies & Vulnerabilities Advanced Models of Complex, Dynamic Decision Making in AADM/IO Environment Measures of Validation Candidate Displays MOPs Enhanced Operational Understanding to Improve Subsequent Design

41 40 Effects Physical damage (Enemy’s Available Military Worth) Resolve of Enemy’s population Enemy’s Will (Leadership) Enemy Military CR’s, CV’s & CC’s Enemy Political Resolve Enemy Military Will National infrastructure Enemy Coalition Unity Enemy Regional and International Support Limited Occurrences of Collateral Damage Compounding environmental factors Each vector needs a consistent scale or traceable relationship Big Picture EBO ATD seeks an integrated set of strategy, wargaming, COG analysis, and campaign assessment tools. Doctrinally sound; not dogmatically rigid Support EBO planning & assessment plus objectives-based or targets-based assessment Major Theater War => Humanitarian Relief; lethal & nonlethal; kinetic & non- kinetic (e.g., Info Ops)

42 41 EBO Toolkit of the Future for Dynamic Tasking Campaign Planning & Assessment Execution Planning Combat Execution & Assessment Strategy Development: - COA Develop - COG Analysis - Templates Targeting (JTT) Wargaming MIDB Asset Pairing Asset Sourcing AODB Target Set Analysis ISR Assistant Campaign Assessment Blue COAs Indicators EIPB Commander’s Intent Blue COAs Combat Assessment: Advanced Sensor Fusion Observations * Reference AFRL/AC2ISRC CONOPS for Effects-Based Operations Dynamic Aerospace Execution Order Special Instructions Executing Units Operations Controller Offensive Controller Defensive Controller TACS Controller

43 42 EBO Key Products Strategy Development Tool – produces blue COAs – tightly integrates effects, center of gravity/target system analysis & strategy identification – cross center of gravity interactions – strategy & mission templates Campaign Assessment Tool – predicts the probability of achieving Commander’s intent for a blue COA – model plan’s cause/effects relations for a given campaign over time – tradeoff analysis/drill down capability Campaign Assessment Tool Objectives Determination and COG & Target Systems Analysis Objectives Determination and COG & Target Systems Analysis Strategy Development Tool Blue COA Probability of Blue COA success

44 43 Strategy Development Tool Overview File Edit Tools Templates Missions Show Help Legend Objective Effect Indicator Task Task/Activity Mechanism (Isolate the Battlefield) (Deny Access)

45 44 Campaign Assessment Tool Overview Build A Causal Model Compile to a Bayes Net Analyze Results (Isolate the Battlefield) (Deny Access)

46 Red Decides to Terminate Hostilities Red Decides to negotiate Red Decides to use WMD Probability Profiles GMU George Mason University Blue Actions Lead To Influence Net EXECUTABLE MODEL COAs (actions/ times) Indicator Red Decisions EBO Approach to Homeland Defense Military Action Diplomacy Financial

47 46 SDT: ATD vs. Objective System Anticipated Capabilities Limited coverage of strategies, JFC/JFACC missions; Limited IW Limited COG/TS analysis; no Mission Analysis/Situation Development No COA analysis/comparison capability No JAOP development support past COA option development No CS (e.g., Logistics, Mobility), TACS, or Space considerations/Risk Analysis Required Capabilities Covers all strategy options Covers all JFC missions (e.g., HUMRO, PK/PE, etc.) Covers all JFACC missions (e.g., CA, SA, CL, etc.) Incorporates lethal/nonlethal, kinetic/non-kinetic applications of force Supports Joint Air Estimate Process through JAOP development (JP 3-30) Supports JFACC Daily Guidance planning (JP 3-30)

48 47 Anticipated Capabilities Outcome assessment at Force and Campaign levels Limited ability to incorporate evidence Complete drilldown, predictive and reconstructive assessment Value-of-information ISO collection management and branch planning Required Capabilities Predictive assessment ISO COA development Assessment of outcomes ISO Engagement, Battle, Force and Campaign execution Reconstructive assessment of outcomes ISO plan refinement Incorporation of all-source information Drilldown to action, causes, and mechanism level CAT: ATD vs. Objective System

49 48 Summary Definitional issue only a start – No approved dictionary let alone glossary or encyclopedia Ontology common to all applications – A common task but a common ontology server – Basis for library Not just EBO: IPB (Fusion), JBI, IW, TUT, TST, etc. Shared language essential to shared understanding – Shared understanding alone insufficient

50 49 Operation ALLIED FORCE

51 50 Operation Allied Force EBO Example (1) (from DOD AAR) Milosevic accedes to NATO’s conditions (total Desired Effect) Air Attacks (Military Effect) Russian Diplomacy (Diplomatic Effect) Sanctions, etc. (Economic Effect) Kosovar Albanian Attacks (Military Effect) Buildup of NATO Ground Power (Military-Diplomatic Effect) Solidarity of NATO (Diplomatic Effect) Expanded on Next Slide

52 51 Operation Allied Force EBO Example (2) (from DOD AAR) Milosevic accedes to NATO’s conditions (total Desired Effect) Air Attacks on Strategic Targets Air Attacks on Fielded Forces Targets Air Attacks on National C2 Targets Air Attacks on Military-Industrial Targets Expanded on Next Slide

53 52 Operation Allied Force EBO Example (3) (from DOD AAR) Milosevic accedes to NATO’s conditions (total Desired Effect) Degraded National C2 Attacks on Infrastructure (e.g., bridges) Attacks on Electrical Power (e.g., plants) Degraded Ability to C2 FRY Forces Degraded Ability to Resupply Forces Desired Military Effects Physical Actions Degraded IADS Attack Serbian AF (e.g., aircraft, airbases) Avoid Serbian SHORAD (e.g., fly above) Freedom to Attack Desired Political Effects

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