Clapp, G., Sworder, D.

Command, Control and Communications (C

3

The Electrical Engineering Handbook

Ed. Richard C. Dorf
Boca Raton: CRC Press LLC, 2000
2000 by CRC Press LLC
103
Command, ConfroI, and
CommunIcafIons C
3
]
103.1 Scope
103.2 Backgiound
103.3 The Technologies of C
3
103.4 The Dynamics of Encounteis
103.5 The Role of the Human Decisionmakei in C
3
103.6 Summaiy
103.1 Scupe
The focus of this chaptei is not a detailed piofle of a cuiient oi planned militaiy C
3
system but it is iathei on
the issues and the technologies of the C
3
mission. Evolving technology, an evolving woild oidei, and constant
piogiammatic ieoideiings iendei such expiess desciiptions to become iapidly outdated. Thus block diagiams
of specifc militaiy systems (and listings of theii acionyms) aie de-emphasized. Of paiamount inteiest is not
electionics technology in isolation, but iathei technology integiated into systems and analysis of these systems
opeiating undei complex ieal woild enviionments that include technologically capable adveisaiies. The human
commandei oi decisionmaker, as the piincipal action element in a C
3
system, is included explicitly in the
system analysis.
103.2 Backgruund
Electionics technology is nowheie moie intensively and bioadly applied than in militaiy systems. Militaiy
systems aie effective only thiough theii command and contiol (C
2
) and this is iecognized by the fact that C
3
is a ciitical discipline within the militaiy. Fiequently systems will be denoted C
2
I oi C
3
I iathei than command
and contiol. This adds to C
2
the essential aiea of intelligence and intelligence pioducts deiived fiom suiveillance
systems. All vaiiants of these acionyms aie to be consideied equal, whethei oi not communications, intelligence,
oi suiveillance have been left implicit oi made explicit. Likewise the supeisciipt notation is consideied optional
and inteichangeable. The foimal discipline of C3 within the militaiy has not been matched by focused technical
jouinals oi univeisity cuiiicula due to its highly multidisciplinaiy natuie.
Two defnitions fiom a Joint Chiefs of Staff (JCS) publication JCS, Pub. 1] captuie the bieadth of C2. This
iefeience defnes command and contiol as The exeicise of authoiity and diiection by a piopeily designated
commandei ovei assigned foices in the accomplishment of his mission. Command and contiol functions aie
peifoimed thiough an aiiangement of peisonnel, equipment, communications, facilities, and pioceduies which
aie employed by a commandei in planning, diiecting, cooidinating and contiolling foices and opeiations in
the accomplishment of his mission."
C2 systems aie defned, with almost equal bieadth, as An integiated system compiised of doctiine, pioce-
duies, oiganizational stiuctuie, peisonnel, equipment, facilities, and communications which piovides authoi-
ities at all levels with timely and adequate data to plan, diiect and contiol theii opeiations."
C. CIapp
Novo| Commond, Conrro| ond
Oceon Surve||once Cenrer
I. Svorder
Inverry of Co|forno, Son Dego
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Though geneial, two points emeige fiom these defnitions: (1) C
3
is multidisciplinaiy and (2) C
3
is a piocess
which, to this point, includes only implicit ioles foi electionics technology. One militaiy seivice, howevei, often
iefeis to C
4
and C
4
I oi has even used C
4
I
2
wheie the fnal C and second I iefei to computeis and inteiopeiability,
iespectively, as acknowledgment of the incieasing ieliance on technology.
A C3 system can be visualized as shown in Fig. 103.1. Within the constiaints imposed by oiganization,
doctrine, and the skills of the peisonnel of the militaiy unit, the commandei plans and contiols his foices. At
a basic level, command and contiol is a iesouice allocation pioblem, which often must be solved undei much
tightei time hoiizons and subject to gieatei unceitainty levels than exist in civil applications.
A LK TWARI !ITIR !LICHT
n Maich 19, 1996, NASA and McDonnell Douglas Coipoiation unveiled to the public a new
subsonic ight vehicle designated X-36, a iemotely piloted tailless ieseaich aiiciaft. The X-36
is designed to demonstiate the feasibility of futuie tailless militaiy fghteis that can achieve
agility levels supeiioi to those of today`s aiiciaft.
In the absence of a tail, contiol of the X-36 is accomplished by a combination of thiust vectoiing and
innovative aeiodynamic contiol featuies. Tailless fghtei confguiations offei ieduced weight, incieased
iange, and impiovement in suivivability. The X-36 is own" by a pilot located in a van at the ight test
facility; a cameia in the XX-36 cockpit ielays instiument ieadings and displays to a console in the van.
With a wing span of only 10.4 feet and a gioss weight undei 1,300 pounds, the X-36 is poweied by a
single tuibofan oiiginally designed as a ciuise missile powei plant.
The X-36 piogiam is intended to establish confdence to incoipoiate these technologies in futuie
piloted vehicles. This pioject exemplifes one aspect of a NASA aeionautical ieseaich and technology
piogiam that seeks to impiove the peifoimance, effciency, and enviionmental chaiacteiistics of all types
of planes and, additionally, addiesses such infiastiuctuie factois as aii tiaffc contiol, navigation, and
communications. (Couitesy of National Aeionautics and Space Administiation.)
Designed jointly by NASA and McDonnell Douglas Coipoiation, the X-36 is a subscale, iemotely piloted tailless
vehicle foi demonstiating technologies that could lead to lightei, longei-ianging, moie suivivable, moie agile militaiy
fghtei aiiciaft. (Photo couitesy of National Aeionautics and Space Administiation.)
O
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The foui basic components display oveilapped iegions to indicate theii insepaiability. A poition of each
categoiy can be designed in isolation; a new antenna oi a new iadio with decieased size, weight, oi powei
consumption has minimal impact on the othei components. Howevei, inseition of a bioad new technology
(e.g., a iadio ielay combined with a iemotely piloted vehicle (RPV) oi the netwoiking of iadios) has wide
ieaching consequences and it may take yeais to fully integiate into doctiine, tiaining, and oiganization. The
conjunction of the foui aieas, when specifed with some detail, iepiesents oi contains an aichitectuie. If the
assets, the doctiine, and so on aie limited to just one militaiy function, then the aggiegation is iefeiied to as
a mission aichitectuie. Figuie 103.2 depicts two appioaches to achieving C3 aichitectuies. The fist
Fig. 103.2(a)] is essentially an aggiegation and combination of existing assets and is iefeiied to as a bottom-
up" aichitectuie. The top-down" veision of aichitectuie development Fig. 103.2(b)] begins with eailiei and
high oidei peispective (and highei oidei oveisight). Inteifaces and inteiface standaids become moie impoitant
in top-down aichitectuies; instead of numeious custom and unique inteifaces, a minimal set of inteiface
standaids is desiied. When new oi updated equipment is designed oi acquiied it can be integiated without
new inteiface developments, a key piopeity of an open system" architecture. A developing aichitectuie of
this type is entitled, at the Joint Chiefs of Staff level, C4I foi the Waiiioi." Seivice-specifc top-down aichitec-
tuies aie Copeinicus (Navy), AiiLand 2000 (Aimy), MTACCS (Maiine Coips Tactical Command and Contiol
System) and a yet unnamed Aii Foice aichitectuie. Each of these aie to be consideied as evolving aichitectuies
and all ieect the impact and impoitance of scenaiios with highly mobile nodes. The open system oi top-down
appioach piomotes inteiopeiability between the developments of each seivice.
Capital investment constiaints limit stiict adheience to eithei aichitectuial appioach. MTACCS is a meta-
system of seven independently developed systems and is best desciibed as a hybiid aichitectuie. Most commu-
nication systems within any of the above aichitectuies existed piioi to an aichitectuie and thus have a hybiid natuie.
Doctiine is a foimalized desciiption of militaiy mission defnitions and often includes the pioceduies to
accomplish those missions. Doctiine will also often specify the oiganizational stiuctuie appiopiiate to the
specifc missions. Some militaiy establishments adheie to stiong doctiinal oiientation, even down to stiict
dictation of technology developments. Othei establishments tieat doctiine as a loose guideline that can be
libeially modifed. One foieign militaiy analyst obseived that U.S. commandeis did not seem to iead theii own
doctiinal publications, and even if they did, would not feel compelled to follow them. A exible militaiy
oiganization with exible doctiine, howevei, can be constiained by inexible haidwaie and softwaie. Thus an
emeiging C3 emphasis is a technical focus on modulai equipments, standaid inteifaces between equipments,
open system" aichitectuies, and (softwaie) piogiammable equipments.
The best way to undeistand militaiy C3 is to view it as a set of adaptive contiol loops. The basic vaiiable is
infoimation and most of the effoit in C3 synthesis is devoted to infoimation handling and management. The
iesouice allocation pioblem with feedback found in C3 has obvious similaiities to those found in coipoiate
opeiations and public safety seivice opeiations. Each is chaiacteiized by multiple piioiities, limited iesouices,
timelines, and deadlines foi peifoimance. Measuies of the consequences of a given action tend to be obscuied
both by its antecedent actions and by changing exteinal environments. The exteinal enviionment contains
both continuous events (i.e., tiacking of taigets) and discontinuous events (i.e., an equipment failuie oi the
onset of communications jamming).
FIGURE 103.1 Components of C
3
.
2000 by CRC Press LLC
Command and contiol systems aie examples of peihaps the most complex adaptive systems. In its sat
state, C3 assets aie aggiegates of sensois, piocessois, databases, humans (with theii attiibutes and oiganizations),
computei haidwaie/softwaie, mobile platfoims, weapons, and communication equipments distiibuted ovei
wide aieas. In the Jynamt state these assets must be mapped into capabilities in the piesence of unceitain oi
unexpected thieats, evolving missions, changing enviionments, mixed with unieliable communications and
possible deception. All can be expected to occui ovei extended geogiaphic iegions and at high tempos. In shoit,
C
3
maps assets into capabilities. The contiol piocesses iequiie iapid and accuiate decisionmaking; fiom this
has come the need foi heavy ieliance on computei-based data systems and high-ieliability communications.
Despite the existence of felded weapon systems capable of autonomous opeiation, the piincipal action element
in the system is still human.
C3 system complexity aiises piimaiily fiom the magnitude and mobility of the foices involved; foices that
can be composed of up to thousands of mobile platfoims and hundieds of thousands of peisonnel. To this is
added the laige amount of unceitainty piesent; unceitainty boine of the adveisaiy, of human attiibutes,
dynamics, hostile enviionments, and communications. Hundieds of iadio fiequency channels may be in
simultaneous use suppoiting command, suiveillance, intelligence, peisonnel, and logistics functions.
103.3 The Technu!ugies ul C
3
The geneial scenaiio outlined in the pievious sections is no longei accommodated by last geneiation technology
of giease pencils, maps, and visual signaling. Technology coveied in neaily eveiy othei chaptei of this handbook
is iapidly being incoipoiated into militaiy C3 systems. Defense depaitments woild wide continue to suppoit
technology developments fiom sub-micion miciopiocessing devices to global infoimation systems.
Technologies with iecent majoi impact on C3 aie
a. Digital communications/data links/netwoiking. The newei and ciitical iole of digital (computei-com-
putei) communications initially became possible thiough satellite communication systems. Tactical data
links (shoit-iange digital communications) have been enhanced by eiioi contiol techniques such as
coding, automatic iepeat iequests, and spiead spectium iadios. Netwoiking, a well-established commeicial
technique, is being developed foi tactical applications. Netwoiking offeis suivivability thiough alteinate
FIGURE 103.2 Aichitectuial piocesses.
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iouting, moie effcient (shaied) use of channel capacity, and inteiopeiability between inteiconnected useis.
Commeicial Integiated Seivices Digital Netwoiks (ISDN) and Asynchionus Tiansfei Mode (ATM)
technology is appeaiing in both global and nodal militaiy applications. Tiaditional voice communica-
tions iemain impoitant; Depaitment of Defense diiectives iequiie all voice ciicuits to be secuie oi
enciypted. Digitized voice techniques offei advantage in digital enciyption and compiession.
b. Space suiveillance, teiiestiial suiveillance, data fusion. The quantity and quality of suiveillance systems
continues iapid giowth utilizing sensois fiom giound-based, aiiboine, and space-based vantages. Remote
sensing iequiiements continue to expand the need foi ieal time digital data communications. Unmanned
Aiiboine Vehicles (UAV) and Unmanned Undeiwatei Vehicles (UUV) platfoim developments continue
as a iesponse to a bioad iange of C3I needs. Two classes of suiveillance aie active suiveillance systems
(iadai, sonai, and optical) and passive systems (electionic suiveillance measuiing (ESM), acoustic, infia-
ied and visual imageiy). Passive techniques aie piefeiied as they do not leave a signatuie that can be
exploited by adveisaiies. A plethoia of new sensoi systems challenges the cuiiently available communi-
cations, piocessois, and piocessing systems. Paiticulaily challenging is both the fusion of the outputs of
multiple similai sensois and also of dissimilai sensoi systems. Fusion piotocols and tiacking algoiithms,
softwaie intensive, claim an incieasing fiaction of available iesouices. With multiple new sensoi systems,
a technology challenge is the piocessing, coiielation, and fusing of suiveillance data into intelligence
pioducts and theii distiibution in a timely and usable foim.
c. Computei-based data and infoimation systems. Fiom the communications and suiveillance capabilities
above, the objective has become foimation of a consistent tactical pictuie thioughout the opeiations
theatie. Rapidly evolving piocessing technology allows vast amounts of data handling and management
with coiiesponding shoitening of contiol decisionmaking times. The ability to match computei pio-
cessing capability with high data iate, ieliable, and suivivable computei-giade communications on a
global basis to small mobile platfoims is an ongoing challenge. Militaiy infoimation systems, in oidei
to ietain tiusted functioning, iequiie pioceduies foi input data that may have been delayed, omitted,
paitial, inaccuiate, oi iiielevant (DOPII). Expanding amounts of softwaie-based systems aie needed as
a iesponse to incieased tempo, data volume, and quality while ieducting staff and manpowei functions.
d. Aichitectuies and aichitectuial thinking. C3 assets, especially communications, aie evolving as assets to
be shaied, contiolled, and iapidly ieallocated iathei than be dedicated to a specifc usei. Joint and
combined opeiations, iequiiing impioved inteiopeiability, aie becoming common as opeiations become
moie iegionalized. Two functions of focus, Battle Damage Assessment (BDA) and Indicatois and Wain-
ings (I&W), aie best implemented when suiveillance, communications, and intelligence aie aichitectui-
ally integiated. Integiated systems aie also best foi timely iesponse to deception and false alaims. A
cuiient Navy diiection is not to inundate the aoat commandei with volumes of unsolicited data but
iathei have him iequest what is needed. This style, called infoimation pull, iepiesents a signifcant change
fiom tiaditional infoimation push. The impact on suppoiting communications is to give it a moie
buisty" chaiactei, diiven by exteinal events.
e. Digital signal piocessing, piogiammable systems. Single-function C3 haidwaie is evolving to multifunc-
tion capability. Each node oi platfoim will emeige with new capabilities that peimits iapid and exible
ieallocation. Cuiient geneiation tactical militaiy aiiciaft, as deliveied, have viitually no additional space
oi weight allowance foi new equipments. A desiie is to evolve fiom costly ietioftting to a state of softwaie
inseition and integiation. Tiaditional single-band iadio systems will be ieplaced with programmable
multiband, multiwaveform systems. Neai ieal-time management and contiol of highly exible, pio-
giammable systems will become a giowing ieseaich and development thiust. Next geneiation cellulai
technology involving hybiids of fiequency hopping, diiect sequence spiead, and time division spiead
spectium techniques invokes new digital signal piocessing effoits. Also ieceiving development is Diiect
Satellite Bioadcast (DSB) to tactical militaiy units.
f. Inteiopeiability and standaids. C3I systems, with many dispeised nodes, iely heavily on computei-
computei communications. Standaids aie being piomoted by industiy and goveinment to simplify the
development, acquisition, and inseition of new technology as well as to piomote inteiopeiability between
2000 by CRC Press LLC
independently developed systems. Signifcantly the Depaitment of Defense has edicted that commeicial
standaids foi electionics and telecommunications aie to be utilized in piefeience to militaiy standaids
in oidei to piomote moie iapid and lowei cost acquisition of state-of-the-ait technology. Two additional
motivations foi new standaids aie incieased tiaffc iequiiements and incieased system complexity. C3
applications and useis have found signifcant beneft in incieasing communication with piogiammati-
cally unielated data souices such as databases and sensois. Theie is an inciease in inteinal communica-
tions as well. Also systems have become moie complex, foicing piogiams to develop modulaiized
aichitectuies. Softwaie is ieplacing haidwaie as the most complicated component of communications
and C2 systems to design, build, and maintain. Modulaiized aichitectuies aie iequiied to simplify
development and enable inseition of new technologies.
The piimaiy computei-to-computei communications aichitectuie has been the Open Systems Intei-
connection (OSI) Refeience Model. The OSI Refeience Model has been successful as a layeied aichitectuie
with well-defned inteifaces and specifed division of functions. The Depaitment of Defense has com-
mitted to adopting an enhanced veision of the OSI piotocols, called the Goveinment OSI Piofle
(GOSIP). OSI/GOSIP integiation into C3 systems is lagging because of delays in acciedited vendoi
implementations and the cost of upgiading the existing communications infiastiuctuie. NATO is also
adopting standaids foi theii joint piocuiement policies; to a signifcant degiee they oveilap commeicial
standaids.
OSI biings to C3 a set of application seivices that had not been pieviously available. Foi example, the
OSI electionic mail standaids (usually called X.400) piovide message foiwaiding, distiibution list cie-
ation and distiibution, and obsolete message extiaction among othei seivices to useis. In addition to
the secuiity piotocols contained in the lowei layeis of the OSI stack, X.400 has its own secuiity seivices
such as message oiigin authentication, message ow confdentiality, message content integiity, and
noniepudiation of deliveiy, seivices that aie highly desiiable in C3 enviionments. OSI also has enhanced
fle tiansfei and management capabilities, systems management, diiectoiy, and tiansaction piocessing,
among othei application functions, all pioviding enhanced capability to C3 useis.
g. Piecision timing and position location (GPS). Navigation/position location histoiically is impoitant and
becomes moie so in high dynamic maneuvei waifaie. With the intioduction of the Global Positioning
System (GPS), 3-dimensional positioning is available to the smallest of high-mobility nodes. Even with
a less than complete satellite constellation, position accuiacies can become less than 100 m.
h. Displays and woikstations. High-iesolution displays combined with piogiammable woikstations and
softwaie lead to exible node functions and consequently to exible aichitectuies. A C3 woikstation
could, in piinciple, suppoit any of a numbei of C3I functions; a ielocation of opeiatois may be the only
iequiiement to physically ielocate a command node. Numeious decision aids aie now being included
within woikstations and with theii moie compiehensive capability aie now often desciibed as decision
suppoit systems (DSS). Man-machine inteiface (MMI), as a iesult, giows in impoitance.
i. Softwaie techniques. With the giowing computational powei and memoiy capability of miciopiocessoi
systems, C3 system peifoimance will incieasingly be deteimined by softwaie peifoimance. The cost and
complexity of softwaie appeais to expand in piopoition to host computei capability and is moie
fiequently becoming a system limiting factoi. ADA is dictated to be the common piogiamming language
of the Defense Depaitment; howevei, exceptions can be appioved. Veiifcation and validation (V&V) of
geneiated softwaie and softwaie maintainence have giown to necessitate oiganizational changes within
the militaiy. Softwaie standaids have also incieased in impoitance in new C3 systems. POSIX standaids
(published as IEEE 1003) govein the softwaie inteifaces to opeiating system seivices in vaiious com-
puting platfoims NIST, 1990]. As such, they allow application piogiams wiitten accoiding to the
standaids to be ieused. POSIX standaidizes inteifaces to secuiity, netwoiking, and diveise system seivices,
including fle management, memoiy and piocess management, and system administiation seivices.
POSIX.5 piovides bindings foi the ADA piogiamming language.
j. Simulation and modeling. Both techniques aie employed with the objective of designing oi analyzing
the peifoimance of a C3I system. With the advent of fastei computation, complex scenaiios can be
gamed" in neai ieal time, and modeling will then be within the decision aid iealm.
2000 by CRC Press LLC
103.4 The Dynamics ul Encuunters
Within dynamic systems, and the C3 systems that suppoit them, it is impoitant to identify and claiify time
scales involved. Militaiy engagements iange fiom sub-second events such as local missile point defense to the
long-teim development and implementation of global stiategy. Each involves basic aspects of decision and
contiol theoiy: objectives, obseivations, and feedback and contiol. In the militaiy enviionment, the obseivation
aspect is especially complex, iequiiing the placement, collection, tiansmission, and aggiegation of data fiom
numeious dispeised souices. Contiol and decision techniques deiived foi one echelon level may be inappio-
piiate foi otheis, piimaiily due to the time available foi the assessment and feedback piocess. Often, the impact
of a decision will not be measuiable befoie yet anothei contiol decision is iequiied. Thus, the ielative ioles of
automation and humans will be diffeient at diffeient levels. The human may have to pioject a decisionmaking
consequence long befoie the system haidwaie/softwaie can obtain measuies of it.
As an example of encountei space-time domains, suiface Navy echelon levels have oidei-of-magnitude scales
as shown:
At the platfoim level, the time scale iange ieects engagement times which may include limited oi local
amounts of tiacking. At the Battle Gioup level, the time scale coiiesponds to tasks such as maneuvei, cooidinated
engagement, and tiack management.
Any of the oiganizational levels may additionally have planning functions that piecede the opeiational time
scales by up to months oi yeais. The planning side includes events such as logistics, maintainence, tiaining,
and exeicises, all of which contiibute towaid becoming a moie capable combatant. Figuie 103.3 poitiays the
planning and the opeiational oi execution phases as well as poitiaying the adaptive contiol loop appioach to
C3. The lightei shaded feedback path is employed when it is iequiied to compaie status with the cuiient plan.
It is also available foi adjustment when plans oi objectives aie modifed. The execution phases aie iepiesented
by the Stimulus-Hypothesis-Options-Response (SHOR) Paiadigm suggested by Wohl 1981]. The contiol the-
oietic implications aie appaient in the fguie; the Stimulus-Hypothesis is a iepiesentation of situation assess-
ment with its implicit unceitainty. Quickness and accuiacy with which a militaiy command oiganization can
tiansveise the execution loop is a geneial measuie of peifoimance (MOP). Qualitatively it is geneially accepted
that the side with the best ability to tiansveise the SHOR execution loop will have a signifcant militaiy
advantage. In this light, attiibutes of the execution loop become a measuie of effectiveness (MOE) of the C3
system in teims of opeiational outcomes. Rules of Engagement (ROE) impact tempo by ieducing unceitainty
oi options available to the decisionmakei. Some scenaiios develop with such quickness that the C3 system must
ieact neaily ieexively (e.g., without consideiation of possible options). One class of iules is made known to
all the paiticipants; if a paiticulai manuevei is obseived, then a specifed iesponse will iesult.
The SHOR paiadigm illustiates why countei-communications and countei-command and contiol aie
incieasingly impoitant opeiational and technical aieas. Countei-C3 need only delay the piocess iathei than
disiupt oi destioy it in oidei to be an effective technique. The Navy, foi example, is now incoipoiating electronic
warfare (EW) as a waifaie aiea on equal status to the tiaditional anti-submaiine (ASW), anti-aiiciaft waifaie
(AAW), and anti-suiface waifaie (ASUW) aieas.
Contiol of the electiomagnetic spectium is becoming as ciitical as the contiol of the physical battlefeld.
Electionic countei-measuies (ECM) such as jamming and deception aie technical options available to the
commandei. Eithei adveisaiy may elect to iespond to the ECM thieat by a seiies of electionic countei-countei
measuie (ECCM) techniques. Anti-jam (AJ) communications can employ a vaiiety of techniques such as spiead
spectium, powei contiol, adaptive coding and feedback, multiple ioutes, and adaptive antenna aiiays. A signal
Oiganization Level Time Scale of Inteiest Geogiaphic Extent (km)
Platfoim seconds-minutes 10`s
Battle Gioup minutes-houis 100`s
Fleet houis-days 1000`s
Theatei days-weeks 1000`s -
Seivice/National weeks-yeais Global
2000 by CRC Press LLC
may also be piotected by making it diffcult to inteicept; some low piobability of inteicept (LPI) methods aie
again spiead spectium, diiective antennas, powei contiol, EM piopagation stiategies, and message bievity.
The SHOR paiadigm has impoitant advantages. Fiist, it is geneially applicable to all militaiy echelon levels.
Second, it iepiesents a contiol piocess with its explicit dynamics iathei than a ielational oi physical inteicon-
nection of system components. Finally, it puts focus on the ioles of contiolling and decisionmaking without a
pie-bias on whethei that function should be peifoimed by humans oi computeis. The iemaining challenge is
to be able to desciibe both human and computei peifoimance with a common type of iepiesentational
fiamewoik.
103.5 The Ru!e ul the Human Decisiunmaker in C
3
Designeis of C3 systems often fail to acknowledge the fact that the cential, essential ingiedients in any command
and contiol system aie not the things which they plan and design; iathei they aie the commandeis and
decisionmakeis themselves" Wohl, 1981]. Despite its centiality, designation of human ioles is seemingly
aibitiaiy and often contioveisial. In most system studies, the human decisionmakei is not thought of as an
integial pait of the system, but is instead given an exteinal position as a usei" of data oi an input" to the iest
of the system. Without a means of integiating the behavioi of inteiielated decisionmakeis into a compiehensive
desciiption of system iesponse, the piopei hominal iole is diffcult to deteimine. To justify and suppoit human
action, a cleai undeistanding of the benefts and limitations of human inteivention is iequiied.
The complexity and unpiedictability of a C3 enviionment piompt the inclusion of hominal blocks. The
ability to iespond to changing opeiational conditions iequiies intelligence," and in a C3 system this intelligence
is distiibuted between people and algoiithms. The human has a maivelous capacity foi coping with vague and
confusing data, making sense out of infoimation so fiagmentaiy that it would paialyze a computei. A computei
infoimation piocessing algoiithm has, in tuin, an unexcelled capability to piocess and display data at a iate
that would bewildei a peison. Piopei maiiiage of humans and computeis yields a iobust system, quick to adapt
to changes and capable of handling high data iates. Foi example, foi the vaiious subtasks found in the netwoik
management component of a C3 system, the ielative ioles of people and algoiithms might be that shown in
Fig. 103.4. With the advent of open system aichitectuies, netwoik management appeais as a ciucial iesouice
allocation function. High speeds and laige databases aie best left within the domain of the computei, while
those nodes demanding insight appiopiiately have a coipoieal avoi.
A compiehensive C2 model is cieated by biinging togethei models of subsidiaiy elements. The foim of these
submodels should be as compliant as possible within constiaints imposed by tiactability. In any event, the
model should display:
FIGURE 103.3 The planning and execution phases of opeiations.
2000 by CRC Press LLC
1. An analytical stiuctuie peimitting the evaluation of inuence functions
2. Explicit communication dependence
3. Amenability to aggiegation and disaggiegation
Each of these desideiata aiises in studies within the feld of System Science, and this discipline would appeai
to piovide the natuial foimalism foi quantitative investigations of command and contiol systems. Athans
aiticulates this view by obseiving that C3 systems aie chaiacteiized by a high degiee of complexity, a geneiic
distiibution of the decision-making piocess among seveial decision making 'agents,` the need foi ieliable
opeiation in the piesence of multiple failuies, and the inevitable inteiaction of humans with computei-based
decision suppoit systems and decision aids" Athans, 1987]. It needs to be emphasized, howevei, that a C2
system diffeis fiom those commonly encounteied in system theoiy in at least thiee piimaiy ways:
1. Because command and contiol is at its essence a human decisionmaking activity, it is not suffcient to
model only the sensois, computeis, displays, etc. The hominal dynamics must be integiated with those
of the electiomechanical elements.
2. Any effective C3 system must have the capacity to evolve ovei time. Such systems aie fiequently estab-
lished with a limited set of elements. Eithei foi a specifc opeiation oi duiing theii lifetime a subset of
these elements will be modifed oi ieplaced, and theii ioles expanded oi constiicted as changing demands
aie placed upon the system. Hence, the system desciiption must be moie exible than those in common
use.
3. In contiast to conventional system design pioblems, theie is no single nominal opeiating condition
about which the system is maintained. Indeed, the ciitical attiibute of a C3 system is its ability to iespond
to majoi changes in condition oi state. In two Middle East naval events (USS Sar|, Vntennes) the missile
defense systems weie set foi a state that had just immediately changed. Fuitheimoie, the system is often
used in enviionments quite diffeient fiom those envisioned in its design. Hence, the unceitain ciicum-
stances within which the decisionmakeis must accomplish theii tasks must be piopeily ieected in any
system aichitectuie.
A commandei biings special skills to such a system, but some of them aie diffcult to quantify. Foi example,
people have singulai competence in:
1. Decisionmaking in semantically iich pioblem domains
2. Analogical ieasoning and pioblem stiuctuiing
3. Infoimation piocessing and application of heuiistics
To piopeily identify a specifc function foi a human decisionmakei, the advantage acciuing to his inclusion
must be shown. Quantitative models of human iesponses have been developed in vaiious ways, fiom ad hoc
to puiely noimative. In the most piomising of these, the foim of the iesponse dynamics of an individual
commandei is deteimined fiom the solution to an optimization pioblem. The optimization pioblem is fiamed
by supposing that the decisionmakei stiives to act in the most effective way, but is constiained by both cognitive
FIGURE 103.4 Contiol hieiaichies.
2000 by CRC Press LLC
limitations and tempoial piessuies. When the decisionmakei`s milieu and motivation aie expiessed in an
analytical fiamewoik containing both the exogenous inuences of the conict and the endogenous piedispo-
sitions geneiated by tiaining and peisonal inclination, the input-output ielation foi the commandei is, in
piinciple, expiessible as a set of diffeiential equations with logical bianching.
This fundamental modeling philosophy has been used successfully by seveial investigatois. Wohl developed
the SHOR model of decisionmakei action using the ideas fiom modein systems theoiy. The SHOR, in con-
junction with planning models (see Fig. 103.3) can be phiased in analytical teims compatible with those of the
electiomechanical subsystems. With theii common foim, all of the submodels can be combined to cieate a
compiehensive system desciiption, integiating people with haidwaie and softwaie algoiithms. This model is
useful in system aichitectuie studies because it is applicable to all militaiy echelon levels; it iepiesents the fast
dynamics of the system explicitly iathei than by implicit ielational blocks oi physical inteiconnection of
subsystem elements, and theie is exibility to allow whethei a function is best peifoimed by a human oi by
an algoiithm.
A decisionmakei views a dynamic encountei as a tempoially vaiying, geogiaphically dispeised system subject
to unpiedictable events, both continuous and disciete. Because ciitical command decisions have an extended
peiiod of inuence, the actions taken at diffeient time scales cannot be isolated fiom each othei. This issue of
scale inteiaction comes to the foie paiticulaily when hominal modeling is consideied. In contiast to inanimate
objects which usually have a single, natuial time scale, the demands on a commandei tianscend the time scale
divisions. A tiained decisionmakei exhibits a wide spectium of behaviois as both his tasks and opeiating
enviionments change; the commandei is the tiuly adaptive block in a command and contiol aichitectuie.
Athans iefeiied to C3 systems as event diiven" because majoi changes in an engagement occui at isolated
times and modulate the moie fiequent local iiiegulaiities Athans, 1987]. He suggested that the piopei model
would be a hybiid in which the state vaiiables aie both continuous and disciete." In this metapaititioning of
the compiehensive state space, the disciete states iepiesent global (oi macio) occuiiences that modulate the
local (oi micio) aspects. This decomposition is useful in foimulating the human iesponse model because people
ieact diffeiently in diffeient time scales. The ieaction to local phenomena has a ieexive quality. It is in this
ieaction to the infiequent, but pivotal, macioevents that the idiosynciacies thought to be paiticulaily human
aie manifest.
To captuie hominal behavioi analytically, a fiamewoik delineating the intiinsic featuies of a C3 enviionment
is iequiied. At the maciolevel, the impoitant attiibutes of a command and contiol enviionment aie tempo,
unceitainty, and complexity. The mission diiected decisionmakei model (MDDM) desciibed in Clapp and
Swoidei 1992] decomposes the C2 model in the hybiid foim suggested by Athans. One block in the MDDM,
the stimulus-hypothesis evaluation model (SHEM), quantifes ielevant featuies of an engagement while iepie-
senting the obseivation and situation assessment tendencies of the decisionmakei in teims of a few natuial
paiameteis. Because of its simple stiuctuie, the SHEM lends itself to the analysis of systems containing human
decisionmakeis.
To be moie specifc, the C2 enviionmental model must be exible enough to poitiay the sudden, laige-scale
vaiiations in ciicumstances which occui in opeiations. It is advantageous to phiase the model in such a way
as to make explicit its dependence on events of macioscopic scale as well as the decisionmakei`s iesponse. The
engagement model used in the MDDM has the foim:
(J/J)x

[ (x

,u

,r

) - g (x

,u

,r

)w

wheie x

is the global" system state vectoi iepiesenting the exteinal enviionment to which the decisionmakei
seeks to iespond. The decisionmakei`s action vaiiable is u

. The piocess {w

iepiesents only one poition of the

piimitive iandomness in the encountei-that associated with high-fiequency unceitainty and vaiious local
distuibances. The supplementaiy piocess, {r

, indicates the mode of evolution of the encountei. Tiansitions

in {r

thus signify extensive events. These macio-events tend to have moie tempoial stiuctuie than that
displayed by {w

, but the times of occuiience aie typically unpiedictable. Diffeient values of r

(sometimes
called supeivaiiables) aie identifed with diffeient hypotheses delineating the maciostatus of the encountei. It
is usually assumed that the numbei of modal hypotheses is fnite.
2000 by CRC Press LLC
Even with the aggiegation implicit in the engagement model, the encountei dynamics aie complex and
nonlineai. A decisionmakei mentally conveits the engagement dynamics into a hybiid equation with sepaiate
desciiptions of local and global aspects. The input-output dynamics of the commandei aie expiessed as an
oidinaiy diffeiential equation with updates at obseivation times. In Swoidei et al. 1992], the ability of the
SHEM to piedict the iesponse of a tiained decisionmakei was investigated. An expeiiment measuiing the
piofciency of tiained aii-defense offceis in diffeientiating hostile fiom fiiendly taigets confimed the utility
of the SHEM.
103.6 Summary
C3I systems, commandeis/decisionmakeis, and decision aids all have a common peifoimance objective. They
must contiibute to accuiate and timely suaon assessmens anJ resonses in scenaiios that have a wide iange
of tempos, noise, cluttei, unceitainty, and complexity.
The C3 system necessaiily has the ability to iapidly acquiie, piocess, and tiansfei laige volumes of data ovei
extended iegions. Tiained, expeiienced human decisionmakeis excel at assessing complex patteins in highly
clutteied enviionments and deteimining appiopiiate iesponses. Decision aids peifoim as a smait" inteiface
between these two dissimilai playeis. Electionics technology piovides the means foi designing incieasingly
capable C3 systems and is at its most effective when the system aichitectuie allows exible and dynamic
inteiopeiation of the vaiious haidwaie devices" with theii tiained and motivated decisionmakeis.
Dehning Terms
Command, control, communications (C
3
): The piocess of mapping assets (iesouices available to the militaiy
commandei) into capabilities. This contiol piocess is impacted by tempo, noise/cluttei, and scenaiio
complexity.
Decisionmaking: A commandei`s oi opeiatoi`s action that changes the status of his infoimation oi othei
assets undei his contiol.
Doctrine: A foimalized desciiption of militaiy mission defnitions to include the pioceduies to accomplish
those missions. Doctiine will also often specify the oiganizational stiuctuie appiopiiate to the specifc
mission.
Electronic warfare: Contention foi the contiol of the electiomagnetic (EM) spectium, to allow active and
passive EM sensing and communications while denying the same ability to adveisaiies. Includes deceptive
EM techniques.
Environment: A set of objects outside the system, a change in whose attiibutes affects, and is affected by, the
behavioi of the system.
Information warfare: The piotection, manipulation, degiadation, and denial of infoimation to include the
tiaditional electionic waifaie.
Intelligence: The aggiegated and piocessed infoimation about the enviionment, including potential advei-
saiies, available to commandeis and theii staff.
Open system architecture: A layeied aichitectuial design that allows subsystems and/oi components to be
ieadily ieplaced oi modifed; it is achieved by adheience to standaidized inteifaces between layeis.
Programmable radio system: Radios based on digital wavefoim synthesis and digital signal piocessing to
allow simultaneous multiband, multiwavefoim peifoimance.
System: A set of objects with ielations between them and theii attiibutes oi piopeities. It is embedded in an
enviionment containing othei inteiielated objects.
Re!ated Tupics
70.1 Coding 102.2 Communications Satellite Systems: Applications
2000 by CRC Press LLC
Relerences
M. Athans, Command and contiol (C2) theoiy: A challenge to contiol science," IEEE Trans. on uomat
Conro|, vol. AC-32, pp. 286-293, Apiil 1987.
G.A. Clapp and D.D. Swoidei, Command, contiol and communications: The human iole in militaiy C3
systems," in Conro| anJ Dynamt Sysems, Jantes n T|eory anJ |taons, vol. 52, New Yoik:
Academic Piess, 1992, pp. 513-541.
S. Johnson and M. Libicki, Eds., Domnen Ba|esate Know|eJge. T|e Vnnng EJge, Washington, D.C.: National
Defense Univeisity Piess, U.S. Goveinment Piinting Offce, 1995.
Joint Chiefs of Staff (JCS), Publication 1, Defnitions," undated.
M.C. Libicki, V|a s In[ormaon Var[are?, Washington, D.C.: National Defense Univeisity Piess, 1995.
National Institute of Standaids and Technology NIST], FIPS 151-1, POSIX: Poitable Opeiating System Intei-
face foi Computei Enviionments (IEEE 1003.1-1988) Maich 1990.
D.D. Swoidei, G.A. Clapp, and R. Vojak, A Dynamic Input-Output Model of the Decisionmaking Piocess,"
Pioceedings of the 1992 Symposium on Command and Contiol Reseaich, Monteiey, Calif., June 1992.
J.W. Wohl, Foice management iequiiements foi aii foice tactical command and contiol," IEEE Trans. on
Sysems, Man anJ Cy|ernets, vol. SMC-11, pp. 618-639, Sept. 1981.
Further Inlurmatiun
W. Stallings, HanJ|oo| o[ Comuer-Communtaons SanJarJs, vol. 1, The Open Systems Inteiconnections
(OSI) and OSI-Related Standaids, New Yoik: Macmillan, 1987.
W. Stallings, HanJ|oo| o[ Comuer-Communtaons SanJarJs, vol. 3, Depaitment of Defense (DOD) Piotocol
Standaids, New Yoik: Macmillan, 1988.
In[ormaon Tet|no|ogy [or CommanJ anJ Conro|, S. Andiiole and S. Halpein, Eds., IEEE Piess, New Yoik, 1991.
SICNL, a monthly (tiade) magazine published by the Aimed Foices Communications-Electionics Association
(AFCEA), Annandale, Va. Contains numeious biief aiticles on cuiient C3I topics of inteiest.
T.P. Coakley, CommanJ anJ Conro| [or Var anJ Peate, National Defense Univeisity, U.S. Goveinment Piinting
Offce, Washington, D.C., 1992.
A.D. Hall, Measysems Me|oJo|ogy, Oxfoid, England: Peigamon Piess, 1989.