Notes on Intelligence Analysis ATP 2-33.4

Notes on Intelligence Analysis ATP 2-33.4

Preface

ATP 2-33.4 provides fundamental information to a broad audience, including commanders, staffs, and leaders, on how intelligence personnel conduct analysis to support Army operations. It describes the intelligence analysis process and specific analytic techniques and information on the conduct of intelligence analysis performed by intelligence personnel, especially all-source analysts, across all intelligence disciplines. Additionally, ATP 2-33.4 describes how intelligence analysis facilitates the commander’s decision making and understanding of complex environments.

The principal audience for ATP 2-33.4 is junior to midgrade intelligence analysts conducting intelligence analysis. This publication provides basic information on intelligence analysis for commanders, staffs, and other senior military members.

ATP 2-33.4 readers must have an understanding of the following:

  • Intelligence doctrine described in ADP2-0 and FM2-0.
  • Collection management described in ATP 2-01.
  • Intelligence preparation of the battlefield (IPB) described in ATP2-01.3.
  • Operational doctrine described in ADP3-0 and FM3-0.
  • Joint targeting described in JP 3-60.

Introduction

ATP 2-33.4 discusses doctrinal techniques—descriptive methods for performing missions, functions, or tasks as they apply to intelligence analysis. ATP 2-33.4—

  • Describes the intelligence analysis process.
  • Discusses structured analytic techniques and the methods for implementing them.
  • Describes unique considerations related to intelligence analysis.

Intelligence analysis is central to intelligence. It is the basis for many staff activities, including planning, and occurs across the entire Army. Among other results, analysis facilitates commanders and other decision makers’ ability to visualize the operational environment (OE), organize their forces, and control operations to achieve their objectives. To understand the role of intelligence analysis, intelligence professionals must understand how intelligence analysis corresponds with other staff processes, especially the military decision- making process and information collection (including collection management).

  1. The introductory figure on pages xii and xiii displays the intelligence analysis process and shows how intelligence analysis fits with the other staff processes to facilitate the commander’s understanding:
    • The commander’s initial intent, planning guidance, and priority intelligence requirements (PIRs) drive the collection management plan.
    • The entire staff, led by the intelligence and operations staffs, develops the information collection plan that results in reporting.
    • All-source intelligence is based on information from all intelligence disciplines, complementary intelligence capabilities, and other available sources, such as reconnaissance missions, patrol debriefs, and security operations.
    • Information collected from multiple sources moves through the intelligence analysis process, resulting in intelligence.
    • The intelligence staff conducts all-source analysis and produces timely, accurate, relevant, predictive, and tailored intelligence that satisfies the commander’s requirements and facilitates the commander’s situational understanding and the staff’s situational awareness.

Chapter 9 discusses managing long-term analytical assessments, also referred to as analytic design, to ensure the analytical effort is properly focused and carefully planned and executed, and analytical results are communicated effectively to the requestor.

PART ONE

Fundamentals

Chapter 1

Understanding Intelligence Analysis

INTELLIGENCE ANALYSIS OVERVIEW

1-1. Analysis is the compilation, filtering, and detailed evaluation of information to focus and understand that information better and to develop knowledge or conclusions. In accordance with ADP 6-0, information is, in the context of decision making, data that has been organized and processed in order to provide context for further analysis. Information generally provides some of the answers to the who, what, where, when, why, and how questions. Knowledge is, in the context of decision making, information that has been analyzed and evaluated for operational implications (ADP 6-0). Knowledge assists in ascribing meaning and value to the conditions or events within an operation. Analysis performed by intelligence personnel assists in building the commander’s knowledge and understanding. ADP 6-0 provides an in-depth discussion on how commanders and staffs process data to progressively develop their knowledge to build and maintain their situational awareness and understanding.

1-3. Intelligence analysis is a form of analysis specific to the intelligence warfighting function. It is continuous and occurs throughout the intelligence and operations processes. Intelligence analysis is the process by which collected information is evaluated and integrated with existing information to facilitate intelligence production. Analysts conduct intelligence analysis to produce timely, accurate, relevant, and predictive intelligence for dissemination to the commander and staff. The purpose of intelligence analysis is to describe past, current, and attempt to predict future threat capabilities, activities, and tactics; terrain and weather conditions; and civil considerations.

1-4. Army forces compete with an adaptive enemy; therefore, perfect information collection, intelligence planning, intelligence production, and staff planning seldom occur. Information collection is not easy, and a single collection capability is not persistent and accurate enough to provide all of the answers. Intelligence analysts will be challenged to identify erroneous information and enemy deception, and commanders and staffs will sometimes have to accept the risk associated with incomplete analysis based on time and information collection constraints.

  1. 1-5.  Some unique aspects of intelligence analysis include—
    • The significant demand on analysts to compile and filter vast amounts of information in order to identify information relevant to the operation.
    • The need for analysts to clearly separate confirmed facts from analytical determinations and assessments.
    • Insight into how the physical environment (terrain, weather, and civil considerations) may affect operations.
    • The ability to assess complex situations across all domains and the information environment.

 

1-7. Intelligence analysis comprises single-source analysis and all-source analysis.

Single-source and all-source intelligence capabilities include but are not limited to—

  • Single-source analytical elements:
    • Brigade combat team (BCT) human intelligence (HUMINT) analysis cell.
    • Division signals intelligence cell.
    • Corps counterintelligence analysis cell.
    • Brigade through corps geospatial intelligence cells.
  • All-source analytical elements:
    • Battalion intelligence cell.
    • Brigade intelligence support element (also known as BISE).
    • Division analysis and control element (ACE).
    • Corps ACE.
    • Theater army ACE.
    • National Ground Intelligence Center (NGIC).

SINGLE-SOURCE ANALYSIS

1-8. Single-source collection is reported to single-source analytical elements. Single-source analytical elements conduct continuous analysis of the information provided by single-source operations. Following single-source analysis, analytical results are disseminated to all-source analytical elements for corroboration, to update the common operational picture, and to refine all-source intelligence products. A continuous analytical feedback loop occurs between all-source analytical elements, single-source analytical elements, and collectors to ensure effective intelligence analysis.

1-9. Several portions of this publication apply to single-source analysis, especially the intelligence analysis process in chapter 2 and the analytic techniques in chapters 4 through 6. Specific doctrine on single-source analysis is contained in the following publications:

Intelligence disciplines:

  • For counterintelligence analysis, see ATP 2-22.2-1, Counterintelligence Volume I: Investigations, Analysis and Production, and Technical Services and Support Activities, chapter 4.
  • For HUMINT analysis, see FM 2-22.3, Human Intelligence Collector Operations, chapter 12.
  • For open-source intelligence analysis, see ATP 2-22.9, Open-Source Intelligence, chapters 1, 2, and 3.
  • For signals intelligence analysis, see ATP 2-22.6-2, Signals Intelligence Volume II: Reference Guide, appendix G.

 

 

ALL-SOURCE ANALYSIS AND PRODUCTION

1-10. Various all-source analytical elements integrate intelligence and information from all relevant sources (both single-source and other information collection sources) to provide the most timely, accurate, relevant, and comprehensive intelligence possible and to overcome threat camouflage, counterreconnaissance, and deception.

The intelligence staff is integrated with the rest of the staff to ensure they have a thorough understanding of the overall operation, the current situation, and future operations. Additionally, all-source analytical elements often corroborate their analytical determinations and intelligence products through access to and collaboration with higher, lower, and adjacent all-source analytical elements.

1-11. All-source intelligence analysts use an array of automation and other systems to perform their mission. (See appendix A.) From a technical perspective, all-source analysis is accomplished through the fusion of single-source information with existing intelligence in order to produce intelligence. For Army purposes, fusion is consolidating, combining, and correlating information together (ADP 2-0). Fusion occurs as an iterative activity to refine information as an integral part of all-source analysis and production.

1-12. With the vast amounts of information and broad array of all-source intelligence capabilities, the G-2/S-2 provides the commander and staff with all-source intelligence. All-source intelligence products inform the commander and staff by facilitating situational understanding, supporting the development of plans and orders, and answering priority intelligence requirements (PIRs), high-payoff targets (HPTs), and other information requirements.

1-13. The G-2/S-2 can use single-source intelligence to support the commander and staff. In those instances, it is best to first send that single-source intelligence to the all-source analytical element to attempt to quickly corroborate the information. Corroboration reduces the risk associated with using that single-source intelligence by comparing it to other information reporting and existing intelligence products. Following corroboration and dissemination of the intelligence to the commander and staff, the all-source analytical element incorporates the single-source intelligence into the various all-source intelligence products and the threat portion of the common operational picture.

CONDUCTING INTELLIGENCE ANALYSIS

1-15. The goal of intelligence analysis is to provide timely and relevant intelligence to commanders and leaders to support their decision making. Intelligence analysis requires the continuous examination of information and intelligence about the threat and significant aspects of the OE. To be effective, an intelligence analyst must—

  • Understand and keep abreast of intelligence doctrine.
    Maintain complete familiarity on all aspects of the threat, including threat capabilities, doctrine, and operations.
  • Have knowledge on how to account for the effects of the mission variables (mission, enemy, terrain and weather, troops and support available, time available, and civil considerations [METT-TC]) and operational variables (political, military, economic, social, information, infrastructure, physical environment, and time [PMESII-PT]) on operations.
  • Thoroughly understand operational doctrine (especially FM 3-0, Operations), operational and targeting terminology, and operational symbology.

1-16. Analysts conduct intelligence analysis to ultimately develop effective intelligence. They do this by applying the basic thinking abilities (information ordering, pattern recognition, and reasoning) and critical and creative thinking, all described in appendix B. FM 2-0 describes the characteristics of effective intelligence as accurate, timely, usable, complete, precise, reliable, relevant, predictive, and tailored. Beyond those characteristics, intelligence analysts must also understand the six aspects of effective analysis:

  • Embracing ambiguity.
  • Understanding intelligence analysis is imperfect.
  • Meeting analytical deadlines with the best intelligence possible.
  • Thinking critically.
  • Striving to collaborate closely with other analysts.
  • Adhering to analytic standards as much as possible.

EMBRACING AMBIGUITY

1-17. Intelligence personnel must accept and embrace ambiguity in conducting analysis as they will never have all the information necessary to make certain analytical determinations. Intelligence analysts will be challenged due to the constantly changing nature of the OE and the threat and to the fog of war—all imposed during large-scale ground combat operations, creating complex, chaotic, and uncertain conditions.

1-18. Analysts operate within a time-constrained environment and with limited information. Therefore, they may sometimes produce intelligence that is not as accurate and detailed as they would prefer. Having both an adequate amount of information and extensive subject matter expertise does not guarantee the development of logical or accurate determinations. To be effective, analysts must have—

  • A detailed awareness of their commander’s requirements and priorities.
  • An understanding of the limitations in information collection and intelligence analysis.
  • A thorough knowledge of the OE and all aspects of the threat.
  • Expertise in applying the intelligence analysis process and analytic techniques.

1-19. The effective combination of the aforementioned bullets provides intelligence analysts with the best chance to produce accurate and predictive intelligence and also to detect threat denial and deception efforts. To adequately account for complexity and ambiguity, intelligence analysts should continually identify gaps in their understanding of the OE and the threat, and factor in those gaps when conducting intelligence analysis.

ANALYTICAL IMPERFECTION

1-20. Given the ambiguity, fog of war, and time-constraints, intelligence analysts must accept imperfection. As much as possible, analysts should attempt to use validated facts, advanced analytic techniques, and objective analytical means. However, using them and providing completely objective and detailed analytical determinations may be challenging, especially during tactical operations. Analysts should also consider that logical determinations are not necessarily facts.

1-21. When presenting analytical determinations to the commander and staff, intelligence personnel must ensure they can answer the so what question from the commander’s perspective. Additionally, they should clearly differentiate between what is relatively certain, what are reasonable assumptions, and what is unknown, and then provide the degree of confidence they have in their determination as well as any significant issues associated with their analysis. This confidence level is normally subjective and based on—

  • The collection asset’s capability (reliability and accuracy).
  • Evaluation criteria.
  • The confidence in the collected data.
  • The analyst’s expertise and experience.
  • Intelligence gaps.
  • The possibility of threat deception.

 

1-22. Intelligence analysts should be prepared to explain and justify their conclusions to the commander and staff. Over time, the all-source analytical element should learn the most effective way to present analytical determinations to the commander and staff. A deliberate and honest statement of what is relatively certain and what is unknown assists the commander and staff in weighing some of the risks inherent in the operation and in creating mitigation measures.

MEETING ANALYTICAL DEADLINES

1-23. Analysts must gear their efforts to the time available and provide the best possible intelligence within the deadline.

CRITICAL THINKING

1-24. Intelligence analysts must know how to arrive at logical, well-reasoned, and unbiased conclusions as a part of their analysis. Analysts strive to reach determinations based on facts and reasonable assumptions. Therefore, critical thinking is essential to analysis. Using critical thinking, which is disciplined and self- reflective, provides more holistic, logical, ethical, and unbiased analyses and determinations. Applying critical thinking assists analysts in fully accounting for the elements of thought, the intellectual standards, and the traits of a critical thinker.

COLLABORATION

1-25. Commanders, intelligence and other staffs, and intelligence analysts must collaborate. They should actively share and question information, perceptions, and ideas to better understand situations and produce intelligence. Collaboration is essential to analysis; it ensures analysts work together to achieve a common goal effectively and efficiently.

1-26. Through collaboration, analysts develop and enhance professional relationships, access each other’s expertise, enhance their understanding of the issues, and expand their perspectives on critical analytical issues. Collaboration is another means, besides critical thinking, by which intelligence analysts avoid potential pitfalls, such as mindsets and biases, and detect threat denial and deception efforts.

ADHERING TO ANALYTIC STANDARDS

1-27. As much as possible, the conclusions reached during intelligence analysis should adhere to analytic standards, such as those established by the Director of National Intelligence in Intelligence Community Directive (ICD) 203, to determine the relevance and value of the information before updating existing assessments.

INTELLIGENCE ANALYSIS AND COLLECTION MANAGEMENT

1-28. While collection management is not part of intelligence analysis, it is closely related. Analysis occurs inherently throughout collection management, and intelligence analysts must understand the information collection plan.

1-29. Collection management is a part of the larger information collection effort. Information collection is an integrated intelligence and operations function.

The collection management process comprises the following tasks:

  • Develop requirements.
  • Develop the collection management plan.
  • Support tasking and directing.
  • Assess collection.
  • Update the collection management plan.

1-30. The intelligence warfighting function focuses on answering commander and staff requirements, especially PIRs, which are part of the commander’s critical information requirements. Intelligence analysis for a particular mission begins with information collected based on commander and staff requirements (which are part of collection management); those requirements are usually developed within the context of existing intelligence analysis.

Together, these two activities form a continuous cycle—intelligence analysis supports collection management and collection management supports intelligence analysis.

1-31. Intelligence analysis and collection management overlap or intersect in several areas. While not all inclusive, the following includes some of these areas:

  • The all-source intelligence architecture and analysis across the echelons are important aspects of planning effective information collection. To answer the PIR and present the commander and staff with a tailored intelligence product, there must be adequate time. Collection management personnel must understand the all-source intelligence architecture and analysis across the echelons and consider those timelines.
  • Collection management personnel depend on the intelligence analysis of threats, terrain and weather, and civil considerations in order to perform the collection management process. Intelligence preparation of the battlefield (IPB) often sets the context for collection management:
    • Intelligence analytical gaps are the start points for developing requirements.
    • All-source analysts and collection management personnel must understand the threat COAs and how to execute those COAs as reflected in the situation templates.
    • Event templates and event matrices are the start points for developing subsequent collection management tools.
  • All-source analysts and collection management personnel—
    • Use and refine threat indicators during the course of an operation.
    • Mutually support and track threat activities relative to the decide, detect, deliver, and assess (also called D3A) functions of the targeting methodology.
    • Must confer before answering and closing a PIR.
  • The effectiveness of intelligence analysis is an integral part of assessing the effectiveness of the information collection plan during collection management.

1-32. A disconnect between intelligence analysis and collection management can cause significant issues, including a degradation in the overall effectiveness of intelligence support to the commander and staff. Therefore, intelligence analysts and collection management personnel must collaborate closely to ensure they understand PIRs, targeting and information operations requirements (when not expressed as PIRs), threat COAs and other IPB outputs, the current situation, and the context/determinations surrounding current threat activities.

THE ALL-SOURCE INTELLIGENCE ARCHITECTURE AND ANALYSIS ACROSS THE ECHELONS

1-33. All-source analysis, collaboration, and intelligence production occur both within and between echelons. Intelligence analysts not only integrate the broad array of information collected and intelligence produced at their echelon, but they also collaborate across the various echelons and the intelligence community to benefit from the different knowledge, judgments, experience, expertise, and perceptions—all invaluable to the analytical effort.

1-34. At the different echelons, based on a number of factors, the intelligence staff and supporting all-source analytical element are divided into teams to support the various command posts and to perform the various all-source analytical tasks. There is no standard template on how best to structure the all-source analytical effort.

1-37. While the fundamentals of intelligence analysis remain constant across the Army’s strategic roles, large-scale ground combat operations create some unique challenges for the intelligence analyst. (See table 1-1.) The fluid and chaotic nature of large-scale ground combat operations will cause the greatest degree of fog, friction, uncertainty, and stress on the intelligence analysis effort. Army forces will have to fight for intelligence as peer threats will counter information collection efforts, forcing commanders to make decisions with incomplete and imperfect intelligence. These realities will strain all-source analysis.

1-38. Over the past 20 years, the Nation’s peer threats have increased their capabilities and gained an understanding of United States (U.S.) and allied operations. According to ADP 3-0, a peer threat is an adversary or enemy able to effectively oppose U.S. forces worldwide while enjoying a position of relative advantage in a specific region. Peer threats—

  • Can generate equal or temporarily superior combat power in geographical proximity to a conflict area with U.S. forces.
  • May have a cultural affinity to specific regions, providing them relative advantages in terms of time, space, and sanctuary.
  • Generate tactical, operational, and strategic challenges in order of magnitude more challenging militarily than other adversaries.
  • Can employ resources across multiple domains to create lethal and nonlethal effects with operational significance throughout an OE.
  • Seek to delay deployment of U.S. forces and inflict significant damage across multiple domains in a short period to achieve their goals before culminating.

1-40. As in all operations, intelligence drives operations and operations support intelligence; this relationship is continuous. The commander and staff need effective intelligence in order to understand threat centers of gravity, goals and objectives, and COAs. Precise intelligence is also critical to target threat capabilities at the right time and place and to open windows of opportunity across domains. Commanders and staffs must have detailed knowledge of threat strengths, weaknesses, equipment, and tactics to plan for and execute friendly operations.

1-42. One of the ultimate goals of intelligence analysis is to assist the unit in identifying and opening an operational window of opportunity to eventually achieve a position of relative advantage. Opening a window of opportunity often requires a significant amount of intelligence analysis in order to achieve a high degree of situational understanding. This will be difficult as friendly forces are often at a disadvantage in conducting information collection against the threat.

1-43. The staff must thoroughly plan, find creative solutions, and collaborate across echelons to overcome information collection challenges. Once friendly forces have an open window of opportunity to execute information collection, intelligence analysts will receive more information and should be able to provide timely and accurate intelligence products, updates, and predictive assessments. This timely and accurate intelligence can then assist friendly forces in opening subsequent windows of opportunity to reach positions of relative advantage.

1-44. Facilitating the commander and staff’s situational understanding of the various significant aspects of the OE is challenging. Intelligence analysis must address important considerations across all domains and the information environment as well as support multi-domain operations. Intelligence analysis must include all significant operational aspects of the interrelationship of the air, land, maritime, space, and cyberspace domains; the information environment; and the electromagnetic spectrum. Intelligence analysts use information and intelligence from the joint force, U.S. Government, the intelligence community, and allies to better understand and analyze the various domains and peer threat capabilities.

INTELLIGENCE ANALYSIS DURING THE ARMY’S OTHER STRATEGIC ROLES

1-45. As part of a joint force, the Army operates across the strategic roles (shape OEs, prevent conflict, prevail in large-scale ground combat, and consolidate gains) to accomplish its mission to organize, equip, and train its forces to conduct sustained land combat to defeat enemy ground forces and to seize, occupy, and defend land areas.

 

Chapter 2
The Intelligence Analysis Process

2-1. Both all-source and single-source intelligence analysts use the intelligence analysis process. The process supports the continuous examination of information, intelligence, and knowledge about the OE and the threat to generate intelligence and reach one or more conclusions. The application of the analytic skills and techniques assist analysts in evaluating specific situations, conditions, entities, areas, devices, or problems.

2-2. The intelligence analysis process includes the continuous evaluation and integration of new and existing information to produce intelligence. It ensures all information undergoes a criterion-based logical process, such as the analytic tradecraft standards established by ICD 203, to determine the relevance and value of the information before updating existing assessments.

2-3. The intelligence analysis process is flexible and applies to any intelligence discipline. Analysts may execute the intelligence analysis process meticulously by thoroughly screening information and applying analytic techniques, or they may truncate the process by quickly screening collected information using only basic structured analytic techniques. The process becomes intuitive as analysts become more proficient at analysis and understanding their assigned OE. The intelligence analyst uses collected information to formulate reliable and accurate assessments.

THE PHASES OF THE INTELLIGENCE ANALYSIS PROCESS

2-4. The phases of the intelligence analysis process are interdependent. (See figure 2-1 on page 2-2.) Through time and experience, analysts become more aware of this interdependence. The phases of the intelligence analysis process are—

  • Screen (collected information): Determining the relevance of the information collected.
  • Analyze: Examining relevant information.
  • Integrate: Combining new information with current intelligence holdings to begin the effort of developing a conclusion or assessment.
  • Produce: Making a determination or assessment that can be disseminated to consumers.

2-5. To successfully execute the intelligence analysis process, it is critical for analysts to understand the PIRs and other requirements related to the current OE and mission. This understanding assists analysts in framing the analytic problem and enables them to separate facts and analytical judgments.

Analytical judgments form by generating hypotheses—preliminary explanations meant to be tested to gain insight and find the best answer to a question of judgment.

SCREEN COLLECTED INFORMATION

2-7. During the execution of single-source intelligence or all-source analysis, analysts continuously filter the volume of information or intelligence received through the continuous push and pull of information. It is during the screen phase that analysts sort information based on relevancy and how it ties to the analytical questions or hypotheses they developed to fill information gaps. They do this by conducting research and accessing only the information that is relevant to their PIRs, mission, or time.

2-8. Time permitting, analysts research by accessing information and intelligence from databases, the internet (attributed to open-source information), collaborative tools, broadcast services, and other sources such as automated systems. This screening enables analysts to focus their analytical efforts on only the information that is pertinent to their specific analytic problem.

ANALYZE

2-9. Analysts examine relevant information or intelligence using reasoning and analytic techniques, which enable them to see information in different ways and to reveal something new or unexpected. It may be necessary to gain more information or apply a different technique, time permitting, until a conclusion is reached or a determination is made.

2-10. Analysts also analyze the volume of information based on the information source’s reliability and the information accuracy, as screening information is continuous. This occurs when analysts receive information they immediately recognize as untrue or inaccurate based on their knowledge or familiarity with the analytic problem. Analysts should not proceed with the analysis when there is a high likelihood that the information is false or part of a deception, as this may lead to inaccurate conclusions. False information and deception are more prevalent today with the proliferation of misinformation commonly found in social media readily available on the internet.

2-11. Analysts may decide to retain or exclude information based on results from the screen phase. While the excluded information may not be pertinent to the current analytical question, the information is maintained in a unit repository as it may answer a follow-on question from a new analytical question.

2-12. During operations, intelligence analysts must consider information relevancy, reliability, and accuracy to perform analysis:

  • Relevancy: Analysts examine the information to determine its pertinence about the threat or OE. Once the information is assessed as relevant, analysts continue with the analysis process.
  • Reliability: The source of the information is scrutinized for reliability. If the source of the information is unknown, the level of reliability decreases significantly.
  • Accuracy: Unlike reliability, accuracy is based on other information that can corroborate (or not) the available information. When possible, analysts should obtain information that confirms or denies a conclusion in order to detect deception, misconstrued information, or bad data or information. Additionally, when possible, analysts should characterize their level of confidence in that conclusion.

2-13. There are marked differences in evaluating the accuracy of information between higher and lower echelons. Higher (strategic) echelons have more sources of information and intelligence than lower (tactical) echelons, giving higher echelons more opportunities to confirm, corroborate, or refute the accuracy of the reported data. The role of higher echelons in evaluating the credibility (or probable truth) of information differs from its role in evaluating the reliability of the source (usually performed best by the echelon closest to the source).

2-14. Information is evaluated for source reliability and accuracy based on a standard system of evaluation ratings for each piece of information, as indicated in table 2-1; reliability is represented by a letter and accuracy by a number. Single-source intelligence personnel assign the rating, and it is essential for all-source personnel to understand the evaluation of validated intelligence sources.

2-15. Reliable and accurate information is integrated into the analytical production. Data that is less reliable or accurate is not discarded; it is retained for possible additional screening with other established information or if new requirements arise that are relevant to existing data.

INTEGRATE

2-16. As analysts reach new conclusions about the threat activities during the analyze phase, they should corroborate and correlate this information with prior intelligence holdings using reasoning and analytic techniques. Analysts determine how new information relates to previous analytical conclusions. New information may require analysts to alter or validate initial conclusions. Analysts must continue to evaluate and integrate reliable and accurate information relevant to their mission.

2-17. Analysts resume the analysis based on questions (hypotheses) they established during the screen and analyze phases. At this point, analysts begin to draw conclusions that translate into an initial determination that is likely to require additional analysis and, in certain instances, additional collection. They employ the analytic tradecraft standards to assess probabilities and confidence levels; they employ the action-metrics associated with analytical rigor to draw accurate conclusions. However, some of these conclusions may present alternative COAs not previously considered during IPB. These COAs must be presented to the commander and staff because they might have operational implications.

2-18. Hypotheses are tested and often validated during the integrate phase and become the basis for analytical production. To properly validate the hypotheses, analysts must demonstrate analytical rigor to determine the analytical sufficiency of their conclusions and be willing to present those points that prove the accuracy of their assessment.

PRODUCE

2-19. Intelligence and operational products are mutually supportive and enhance the commander and staff’s situational understanding. Intelligence products are generally categorized by the purpose for which the intelligence was produced. The categories can and do overlap, and the same intelligence and information can be used in each of the categories. JP 2-0 provides an explanation for each of the categories:

  • Warning intelligence.
  • Current intelligence.
  • General military intelligence.
  • Target intelligence.
  • Scientific and technical intelligence.
  • Counterintelligence.
  • Estimative intelligence.
  • Identity intelligence.

2-20. Intelligence analysis results in the production and dissemination of intelligence to the commander and staff. Intelligence analysts produce and maintain a variety of products tailored to the commander and staff and dictated by the current situation, standard operating procedures (SOPs), and battle rhythms.

Note. When disseminating intelligence products, intelligence analysts must recognize when intelligence information at a higher classification is essential for the commander’s awareness. Intelligence analysts and the intelligence staff must adhere to all appropriate U.S. laws, DOD regulations, classification guidelines, and security protocols.

The classification of U.S. intelligence presents a challenge in releasing information during multinational operations although sharing information and intelligence as much as possible improves interoperability and trust. Commanders and staffs should understand U.S. and other nations’ policies about information sharing, since the early sharing of information (during planning) ensures effective multinational operations.

2-21. An analyst’s ultimate goal is finding threat vulnerabilities and assisting the commander and staff in exploiting those vulnerabilities—despite having answered the commander’s PIR. If the intelligence analysis does not answer the commander’s PIR, the analyst should reexamine the guidance, consider recommending different collection strategies, and review information previously discarded as nonessential.

2-22. In tactical units, analysts must understand that their adjacent and especially their subordinate units may have degraded communications. In those cases, analysts at each echelon must develop their own conclusions and assessments and should use their unit’s primary, alternate, contingency, and emergency (known as PACE) plan to facilitate continuous dissemination of their products and assessments.

Chapter 3

All-Source Analytical Tasks

3-1. Through the application of the all-source analytical tasks, intelligence analysis facilitates commanders and other decision makers’ ability to visualize the OE, organize their forces, and control operations to achieve their objectives. The all-source analytical tasks are—

  • Generate intelligence knowledge.
  • Perform IPB.
  • Provide warnings.
  • Perform situation development.
  • Provide intelligence support to targeting and information operations.

3-2. In any operation, both friendly and threat forces will endeavor to set conditions to develop a position of relative advantage. Setting these conditions begins with generate intelligence knowledge, which provides relevant knowledge about the OE that is incorporated into the Army design methodology and used later during other analytical tasks.

3-3. The continuous assessment of collected information also mitigates risk to friendly forces while identifying opportunities to leverage friendly capabilities to open a window of opportunity. Analysis presents the commander with options for employing multiple capabilities and gaining a position of relative advantage over the threat.

3-4. For each all-source analytical task, the challenge for the intelligence analyst is understanding the unique requirements and considerations based on the situation, operational echelon, and specific mission.

3-5. There are many forms of analysis associated with unique operational activities. One important example of these types of activities is identity activities, which result in identity intelligence. Identity intelligence is the intelligence resulting from the processing of identity attributes concerning individuals, groups, networks, or populations of interest (JP 2-0). Identity activities are described as a collection of functions and actions conducted by maneuver, intelligence, and law enforcement components. Identity activities recognize and differentiate one person from another to support decision making. Identity activities include—

  • The collection of identity attributes and physical materials.
  • The processing and exploitation of identity attributes and physical materials.
  • All-source analytical efforts.
  • The production of identity intelligence and DOD law enforcement criminal intelligence products.
  • The dissemination of those intelligence products to inform policy and strategy development,

operational planning and assessment, and the appropriate action at the point of encounter.

GENERATE INTELLIGENCE KNOWLEDGE (ART 2.1.4)

3-6. Generate intelligence knowledge is a continuous task driven by the commander. It begins before receipt of mission and enables the analyst to acquire as much relevant knowledge as possible about the OE for the conduct of operations. Information is obtained through intelligence reach, research, data mining, database access, academic studies, intelligence archives, publicly available information, and other information sources, such as biometrics, forensics, and DOMEX.

 

3-7. Generate intelligence knowledge includes the following five tasks, which facilitate creating a foundation for performing IPB and mission analysis:

  • Develop the foundation to define threat characteristics: Analysts create a database of known hostile threats and define their characteristics in a general location. Analysts can refine and highlight important threats through functional analysis that can be prioritized later during steps 3 and 4 of the IPB process.
  • Obtain detailed terrain information and intelligence: Analysts describe the terrain of a general location and categorize it by environment type. For example, desert and jungle environments have distinguishing characteristics that can assist in analyzing terrain during step 2 of the IPB process.
  • Obtain detailed weather and weather effects information and intelligence: Analysts describe the climatology of a general location and forecast how it would affect future operations. Analysts should rely on the Air Force staff weather officer of their respective echelons to assist in acquiring weather support products, information, and knowledge. If the staff weather officer is not readily available, analysts should use publicly available information and resources. Information regarding climatology characteristics can assist in analyzing weather effects during step 2 of the IPB process.
  • Obtain detailed civil considerations information and intelligence: Analysts identify civil considerations (areas, structures, capabilities, organizations, people, and events [ASCOPE]) within a general location. Analysts can refine this information further when they receive a designated area of interest and can assist in determining how civil considerations will affect friendly and threat operations during step 2 of the IPB process.
  • Complete studies: Although analysts do not have a specific operation, mission, or area of responsibility when generating intelligence knowledge, they can compile information into products based on the commander’s guidance. This supports the commander’s visualization and completes studies for dissemination. Completed studies or products include country briefs, written assessments, or graphics. These products inform the commander and staff on current and historic situations that may affect future operations when a mission is received.

PERFORM INTELLIGENCE PREPARATION OF THE BATTLEFIELD (ART 2.2.1)

3-8. Analytical support begins during the MDMP. The military decision-making process is an iterative planning methodology to understand the situation and mission, develop a course of action, and produce an operation plan or order. Commanders use the MDMP to visualize the OE and the threat, build plans and orders for extended operations, and develop orders for short-term operations within the framework of a long-range plan. During the mission analysis step of the MDMP, intelligence analysts lead the IPB effort; however, they cannot provide all of the information the commander requires for situational understanding. Other staff sections or supporting elements assist in producing and continuously refining intelligence products tailored to the commander’s requirements and the operation.

3-9. As analysts begin the IPB process, they should have a general understanding of their OE based on intelligence produced and acquired when generating intelligence knowledge. IPB is a four-step process:

  • Step 1—Define the OE. The intelligence staff identifies those significant characteristics related to the mission variables of enemy, terrain and weather, and civil considerations that are relevant to the mission. The intelligence staff evaluates significant characteristics to identify gaps and initiate information collection. During step 1, the AO, area of interest, and area of influence must also be identified and established.
  • Step 2—Describe environmental effects on operations. The intelligence staff describes how significant characteristics affect friendly operations. The intelligence staff also describes how terrain, weather, civil considerations, and friendly forces affect threat forces. The entire staff determines the effects of friendly and threat force actions on the population.
  • Step 3—Evaluate the threat. Evaluating the threat is understanding how a threat can affect friendly operations. Step 3 determines threat force capabilities and the doctrinal principles and tactics, techniques, and procedures that threat forces prefer to employ.
  • Step 4—Determine threat COAs. The intelligence staff identifies and develops possible threat COAs that can affect accomplishing the friendly mission. The staff uses the products associated with determining threat COAs to assist in developing and selecting friendly COAs during the COA steps of the MDMP. Identifying and developing all valid threat COAs minimize the potential of surprise to the commander by an unanticipated threat action.

PROVIDE WARNINGS (ART 2.1.1.1)

3-10. Across the range of military operations, various collection assets provide early warning of threat action. As analysts screen incoming information and message traffic, they provide the commander with advanced warning of threat activities or intentions that may change the basic nature of the operation. These warnings enable the commander and staff to quickly reorient the force to unexpected contingencies and to shape the OE.

3-11. Analysts can use analytic techniques and their current knowledge databases to project multiple scenarios and develop indicators as guidelines for providing warning intelligence. An indicator is, in intelligence usage, an item of information which reflects the intention or capability of an adversary to adopt or reject a course of action (JP 2-0). Analysts project future events and identify event characteristics that can be manipulated or affected. Characteristics that cannot be manipulated or affected should be incorporated into unit SOPs as warning intelligence criteria.

PERFORM SITUATION DEVELOPMENT (ART 2.2.2)

3-12. Intelligence analysis is central to situation development, as it is a process for analyzing information and producing current intelligence concerning the relevant aspects of the OE within the AO before and during operations. Analysts continually produce current intelligence to answer the commander’s requirements, update and refine IPB products, and support transitions to the next phase of an operation.

3-13. Analysts continually analyze the current situation and information to predict the threat’s next objective or intention. During step 3 of the IPB process, analysts compare the current situation with their threat evaluations to project multiple scenarios and develop indicators.

Understanding how the threat will react supports the planning of branches and sequels, affording the commander multiple COAs and flexibility on the battlefield during current operations. For example, observing a threat unit in a defensive posture may indicate an offensive operation within a matter of hours.

Providing this information to the commander enables the staff to pursue a different COA that can place friendly units in a better position of relative advantage. The commander may use a flanking maneuver on the threat since it is in a relatively stationary position, hindering the future offensive operation.

PROVIDE INTELLIGENCE SUPPORT TO TARGETING AND INFORMATION OPERATIONS (ART 2.4)

3-14. Targeting is the process of selecting and prioritizing targets and matching the appropriate response to them, considering operational requirements and capabilities.

 

 

 

 

  1. 3-15.  Intelligence analysis, starting with the IPB effort, supports target development and target detection:
    • l  Intelligence analysis support to target development: Target development involves the systematic analysis of threat forces and operations to determine high-value targets (HVTs) (people, organizations, or military units the threat commander requires for successful completion of the mission), HPTs (equipment, military units, organizations, groups, or specific individuals whose loss to the threat contributes significantly to the success of the friendly COA), and systems and system components for potential engagement through maneuver, fires, electronic warfare, or information operations.
    • l  Intelligenceanalysissupporttotargetdetection:Intelligenceanalystsestablishproceduresfor disseminating targeting information. The targeting team develops the sensor and attack guidance matrix to determine the sensors required to detect and locate targets. Intelligence analysts incorporate these requirements into the collection management tools, which assist the operations staff in developing the information collection plan.
  2. 3-16.  Information operations is the integrated employment, during military operations, of information-

related capabilities in concert with other lines of operation to influence, disrupt, corrupt, or usurp the decision- making of adversaries and potential adversaries while protecting our own (JP 3-13). Intelligence support to military information operations pertains to the collection of information essential to define the information environment, understand the threat’s information capabilities, and assess or adjust information-related effects. Continuous and timely intelligence is required to accurately identify the information environment across the physical, informational, and cognitive dimensions, including the operational variables (PMESII-PT). Intelligence support to military information operations focuses on the following:

  • Aspects of the information environment that influence, or are influenced by, the threat.
  • Understanding threat information capabilities.
  • Understanding the methods by which messages are transmitted and received in order to assess the cognitive reception and processing of information within the target audience.
  • Assessing information-related effects (target audience motivation and behavior, measure of effectiveness, and information indicators of success or failure).

PART TWO

Task Techniques

Chapter 4

Analytic Techniques

OVERVIEW

 

4-1. Intelligence analysts use cognitive processes and analytic techniques and tools to solve intelligence problems and limit analytical errors. The specific number of techniques and tools applied depends on the mission and situation.

4-2. The following distinguishes between a technique, tool, and method:

  • Technique is a way of doing something by using a special knowledge or skill. An analytic technique is a way of looking at a problem, which results in a conclusion, assessment, or both. A technique usually guides analysts in thinking about a problem instead of providing them with a definitive answer as typically expected from a method.
  • Tool is a component of an analytic technique that facilitates the execution of the technique but does not provide a conclusion or assessment in and of itself. Tools facilitate techniques by allowing analysts to display or arrange information in a way that enables analysis of the information. An example of a tool is a link diagram or a matrix. Not all techniques have an associated tool.
  • Method is a set of principles and procedures for conducting qualitative analysis.

 

APPLYING STRUCTURED ANALYTIC TECHNIQUES

4-3. Structured analysis assists analysts in ensuring their analytic framework—the foundation upon which they form their analytical judgments—is as solid as possible. It entails separating and organizing the elements of a problem and reviewing the information systematically. Structured analytic techniques provide ways for analysts to separate the information into subsets and assess it until they generate a hypothesis found to be either feasible or untrue. Structured analytic techniques—

  • Assist analysts in making sense of complex problems.
  • Allow analysts to compare and weigh pieces of information against each other.
  • Ensure analysts focus on the issue under study.
  • Force analysts to consider one element at a time systematically.
  • Assist analysts in overcoming their logical fallacies and biases.
  • Ensure analysts see the elements of information. This enhances their ability to identify correlations and patterns that would not appear if not depicted outside the mind.
  • Enhance analysts’ ability to collect and review data. This facilitates thinking with a better base to derive alternatives and solutions.

4-4. Applying the appropriate structured analytic technique assists commanders in better understanding and shaping the OE. One technique may not be sufficient to assist in answering PIRs; therefore, analysts should use multiple techniques, time permitting. For example, determining the disposition and composition of the threat in the OE is like attempting to put the pieces of a puzzle together. Employing multiple analytic techniques facilitates the piecing of the puzzle, thus creating a clearer picture.

4-5. For thorough analysis, analysts should incorporate as many appropriate techniques as possible into their workflow. Although this may be more time consuming, analysts become more proficient at using these techniques, ultimately reducing the amount of time required to conduct analysis. The exact techniques and tools incorporated, as well as the order in which to execute them, are mission- and situation-dependent. There is no one correct way to apply these techniques as each analyst’s experience, preference, and situation are influencing factors.

4-6. Analysts can apply structured analytic techniques in the analyze and integrate phases of the intelligence analysis process to assist them in solving analytic problems. The analytic problem can vary depending on the echelon or mission.

4-7. The vast amount of information that analysts must process can negatively affect their ability to complete intelligence assessments timely and accurately; therefore, analysts should be proficient at using both manual and automated methods to conduct structured analysis. Additionally, analysts conduct analysis from varying environments and echelons in which the availability of automation and network connectivity may not be fully mission capable.

 

 

Chapter 5
Basic and Diagnostic Structured Analytic Techniques

SECTION I – BASIC STRUCTURED ANALYTIC TECHNIQUES

5-1. Basic structured analytic techniques are the building blocks upon which further analysis is performed. They are typically executed early in the intelligence effort to obtain an initial diagnosis of the intelligence problem through revealing patterns. The basic structured analytic techniques described in this publication are—

  • Sorting technique: Organizing large bodies of data to reveal new insights.
  • Chronologies technique:
    • Displaying data over time.
    • Placing events or actions in order of occurrence.
    • Linearly depicting events or actions.
  • Matrices technique:
    • Organizing data in rows and columns.
    • Comparing items through visual representation.
  • Weighted ranking technique:
    • Facilitating the application of objectivity.
    • Mitigating common cognitive pitfalls.
  • Link analysis technique: Mapping and measuring relationships or links between entities.
  • Event tree and event mapping techniques: Diagramming hypotheses-based scenarios.

5-2. These techniques—
Improve assessments by making them more rigorous.
Improve the presentation of the finished intelligence in a persuasive manner.

Provide ways to measure progress.
Identify information gaps.
Provide information and intelligence.

SORTING

5-3. Sorting is a basic structured analytic technique used for grouping information in order to develop insights and facilitate analysis. This technique is useful for reviewing massive data stores pertaining to an intelligence challenge. Sorting vast amounts of data can provide insights into trends or abnormalities that warrant further analysis and that otherwise would go unnoticed. Sorting also assists in reviewing multiple categories of information that when divided into components presents possible trends, similarities, differences, or other insights not readily identifiable.

5-4.  Method. The following steps outline the process of sorting:

Step1: Arrange the information into categories to determine which categories or combination of categories might show trends or abnormalities that would provide insight into the problem being studied.

Step 2: Review the listed facts, information, or hypotheses in the database to identify key fields that may assist in uncovering possible patterns or groupings.

Step 3: Group those items according to the schema of the categories defined in step 1.

Step 4: Choose a category and sort the information within that category. Look for any insights, trends, or oddities.

Step 5: Review (and re-review) the sorted facts, information, or hypotheses to determine alternative ways to sort them. List any alternative sorting schema for the problem. One of the most useful applications of this technique is sorting according to multiple schemas and examining results for correlations between data and categories. For example, analysts identify from the sorted information that most attacks occurring on the main supply route also occur at a specific time.

5-5.  A pattern analysis plot sheet is a common analysis tool for sorting information. It can be configured to determine threat activity as it occurs within a specified time. The pattern analysis plot sheet is a circular matrix and calendar. Each concentric circle represents one day and each wedge in the circle is one hour of the day.

CHRONOLOGIES

5-7. A chronology is a list that places events or actions in the order they occurred; a timeline is a graphical depiction of those events. Analysts must consider factors that may influence the timing of events. For example, the chronological time of events may be correlated to the lunar cycle (moonset), religious events, or friendly patrol patterns. Timelines assist analysts in making these types of determinations.

  1. 5-8.  Method. Creating a chronology or timeline involves three steps:
    • Step 1: List relevant events by the date or in order each occurred. Analysts should ensure they properly reference the data.
    • Step 2: Review the chronology or timeline by asking the following questions:
      • What are the temporal distances between key events? If lengthy, what caused the delay? Are there missing pieces of data that may fill those gaps that should be collected?
      • Did analysts overlook pieces of intelligence information that may have had an impact on the events?
      • Conversely, if events seem to happen more rapidly than expected, is it possible that analysts have information related to multiple-event timelines?
      • Are all critical events necessary and shown for the outcome to occur?
      • What are the intelligence gaps?
      • What are indicators for those intelligence gaps?
      • What are the vulnerabilities in the timeline for collection activities?
      • What events outside the timeline could have influenced the activities?
    • Step 3: Summarize the data along the line. Sort each side of the line by distinguishing between types of data. For example, depict intelligence reports above the timeline and depict significant activities below the timeline. Multiple timelines may be used and should depict how and where they converge.

5-9.  Timelines are depicted linearly and typically relate to a single situation or COA. Multilevel timelines allow analysts to track concurrent COAs that may affect each other. Analysts use timelines to postulate about events that may have occurred between known events. They become sensitized to search for indicators, so the missing events are found and charted. Timelines may be used in conjunction with other structured analytic techniques, such as the event tree technique (see paragraph 5-22), to analyze complex networks and associations.

5-10. Figure 5-3 illustrates a time event chart, which is a variation of a timeline using symbols to represent events, dates, and the flow of time. While there is great latitude in creating time event charts, the following should be considered when creating them:

  • Depict the first event as a triangle.
  • Depict successive events as rectangles.
  • Mark noteworthy events with an X across the rectangles.
  • Display the date on the symbol.
  • Display a description below the symbol.
  • If using multiple rows, begin each row from left to right.

MATRICES

5-11. A matrix is a grid with as many cells as required to sort data and gain insight. Whenever information can be incorporated into a matrix, it can provide analytic insight. A matrix can be rectangular, square, or triangular; it depends on the number of rows and columns required to enter the data. Three commonly used matrices are the—

  • Threat intentions matrix—assists in efficiently analyzing information from the threat’s point of view based on the threat’s motivation, goals, and objectives. (See paragraph 5-14.)
  • Association matrix—identifies the existence and type of relationships between individuals as determined by direct contact.
  • Activities matrix—determines connections between individuals and any organization, event, entity, address, activity, or anything other than persons.

5-12. A key feature of the matrices analytic technique is the formulation of ideas of what may occur when one element of a row interacts with the corresponding element of a column. This differs from other matrices, such as the event matrix (described in ATP 2-01.3), in which the elements of the columns and rows do not interact to formulate outcomes; the matrix is primarily used to organize information. Table 5-3 briefly describes when to use the matrices technique, as well as the value added and potential pitfalls associated with using this technique.

5-13. Method. The following steps outline the process for constructing a matrix (see figure 5-4):

  • Step1: Draw a matrix with enough columns and rows to enter the two sets of data being compared.
  • Step 2: Enter the range of data or criteria along the uppermost horizontal row and the farthest left vertical column leaving a space in the upper left corner of the matrix.
  • Step3: In the grid squares in between, annotate the relationships, or lack thereof, in the cell at the intersection between two associated data points.
  • Step 4: Review the hypotheses developed about the issue considering the relationships shown in the matrix; if appropriate, develop new hypotheses based on the insight gained from the matrix.

5-14. The following steps pertain to the threat intentions matrix technique (see figure 5-4): column.

Step1: Enter the decision options believed to be reasonable from the threat’s viewpoint along the farthest left vertical column.

 

Step 2: Enter the objectives for each option from the threat’s viewpoint in the objectives column.

Step 3: Enter the benefits for each option from the threat’s viewpoint in the benefits column.

Step 4: Enter the risks for each option from the threat’s viewpoint in the risks column.

Step 5: Fill in the implications column, which transitions the analyst from the threat’s viewpoint to the analyst’s viewpoint. Enter the implications from the threat’s viewpoint and then add a slash (/) and enter the implications from the analyst’s viewpoint.

Step 6: Enter the indicators from the analyst’s viewpoint in the indications column. This provides a basis for generating collection to determine as early as possible which option the threat selected.

WEIGHTED RANKING

5-15. The weighted ranking technique is a systematic approach that provides transparency in the derivation and logic of an assessment. This facilitates the application of objectivity to an analytic problem. To simplify the weighted ranking technique, this publication introduces subjective judgments instead of dealing strictly with hard numbers; however, objectivity is still realized. This technique requires analysts to select and give each criterion a weighted importance from the threat’s viewpoint. Analysts use the criticality, accessibility, recuperability, vulnerability, effect, and recognizability (also called CARVER) matrix tool to employ this technique to support targeting prioritization. (See ATP 3-60.) The insight gained from how each criterion affects the outcome allows for a clear and persuasive presentation and argumentation of the assessment.

5-16. Weighted ranking assists in mitigating common cognitive pitfalls by converting the intelligence problem into a type of mathematical solution. The validity of weighting criteria is enhanced through group discussions, as group members share insights into the threat’s purpose and viewpoint; red hat/team analysis can augment this technique. Weighted ranking uses matrices to compute and organize information.

 

5-17. Method. The following steps describe how to accomplish a simplified weighted ranking review of alternative options:

  • Step1: Create a matrix and develop all options and criteria related to the analytical issue. Figure5-5 depicts the options as types of operations and the criteria as the five military aspects of terrain (observation and fields of fire, avenues of approach, key terrain, obstacles, and cover and concealment [OAKOC]).
  • Step2: Label the left, upper most column/row of the matrix as options and fill the column with the types of operations generated in step 1.
  • Step3: List the criteria (OAKOC) generated in step1in the top row with one criterion per column.
  • Step 4: Assign weights and list them in parentheses next to each criterion. Depending on the number of criteria, use either 10 or 100 points and divide them based on the analyst’s judgment of each criterion’s relative importance. Figure 5-5 shows how the analyst assigned the weights from the threat’s perspective to the OAKOC factors using 10 points.
  • Step 5: Work across the matrix one option (type of operation) at a time to evaluate the relative ability of the option to satisfy the corresponding criterion from the threat’s perspective. Using the 10-point rating scale, assign 1 as low and 10 as high to rate each option separately. (See figure 5-5 for steps 1 through 5.)
  • Step 6: Work across the matrix again, one option at a time, and multiply the criterion weight by the option rating and record this number in each cell. (See figure 5-6.)

 

LINK ANALYSIS

5-18. Link analysis, often known as network analysis, is a technique used to evaluate the relationships between several types of entities such as organizations, individuals, objects, or activities. Visualization tools augment this technique by organizing and displaying data and assisting in identifying associations within complex networks. Although analysts can perform link analysis manually, they often use software to aid this technique.

5-19. Analysts may use link analysis to focus on leaders and other prominent individuals, who are sometimes critical factors in the AO. Analysts use personality files—often obtained from conducting identity activities using reporting and biometrics, forensics, and DOMEX data—to build organizational diagrams that assist them in determining relationships between critical personalities and their associations to various groups or activities. This analysis is critical in determining the roles and relationships of many different people and organizations and assessing their loyalties, political significance, and interests.

5-20. Method. The following steps describe how to construct a simple link analysis diagram:

Step 1: Extract entities and the information about their relationships from intelligence holdings that include but are not limited to biometrics, forensics, and DOMEX information.

Step 2: Place entity associations into a link chart using link analysis software or a spreadsheet or by drawing them manually:

    • Use separate shapes for different types of entities, for example, circles for people, rectangles for activities, and triangles for facilities. (See figure 5-7 on page 5-10.)
    • Use colored and varying types of lines to show different activities, for example, green solid lines for money transfers, blue dotted lines for communications, and solid black lines for activities. This differentiation typically requires a legend. (See figure 5-7 on page 5-10.)

Step 3: Analyze the entities and links in the link chart.

Step 4: Review the chart for gaps, significant relationships, and the meaning of the relationships based on the activity occurring. Ask critical questions of the data such as—

  • Which entity is central or key to the network?
  • Who or what is the initiator of interactions?
  • What role does each entity play in the network?
  • Who or what forms a bridge or liaison between groups or subgroups?
  • How have the interactions changed over time?
  • Which nodes should be targeted for collection or defeat?

Step 5: Summarize what is observed in the chart and draw interim hypotheses about the relationships.

5-21. The three types of visualization tools used in link analysis to record and visualize information are—

  • Link diagram.
  • Association matrix.
  • Activities matrix.

 

EVENT TREE

5-22. The event tree is a structured analytic technique that enables analysts to depict a possible sequence of events, including the potential branches of that sequence in a graphical format. An event tree works best when there are multiple, mutually exclusive options that cover the spectrum of reasonable alternatives. It clarifies the presumed sequence of events or decisions between an initiating event and an outcome. Table 5-6 briefly describes when to use the event tree technique, as well as the value added and potential pitfalls associated with this using technique. The following are pointers for analysts using the event tree technique:

  • Use this technique in conjunction with weighted ranking, hypothesis-review techniques, and subjective probability to gain added insights.
  • Leverage the expertise of a group of analysts during the construction of an event tree to ensure all events, factors, and decision options are considered.

5-23. Method. The following outlines the steps for creating event trees (see figure 5-10):

  • Step 1: Identify the intelligence issue/problem (antigovernment protest in Egypt).
    Step 2: Identify the mutually exclusive and complete set of hypotheses that pertain to the intelligence issue/problem (Mubarak resigns or Mubarak stays).
    Step 3: Decide which events, factors, or decisions (such as variables) will have the greatest influence on the hypotheses identified in step 2.
  • Step 4: Decide on the sequencing for when these factors are expected to occur or affect one another.
  • Step 5: Determine the event options (Mubarak stays—hardline, reforms, some reforms) within each hypothesis and establish clear definitions for each event option to ensure collection strategies to monitor events are effective.
  • Step6: Construct the event tree from left to right. Each hypothesis is a separate main branch. Start with the first hypothesis and have one branch from this node for each realistic path the first event can take. Proceed down each event option node until the end state for that subbranch is reached. Then move to the next hypothesis and repeat the process.
  • Step7: Determine what would indicate a decision has been made at each decision point for each option to use in generating an integrated collection plan.
    Step 8: Assess the implications of each hypothesis on the intelligence problem.

 

 

 

 

 

 

THE BASICS OF ANALYTIC DESIGN

9-4. Managing long-term analytical assessments is accomplished by performing seven analytic design steps, as shown in figure 9-1 on page 9-2:

  • Step 1: Frame the question/issue.
  • Step 2: Review and assess knowledge.
  • Step 3: Review resources.
  • Step 4: Select the analytic approach/methodology and plan project.
  • Step 5: Develop knowledge.
  • Step 6: Perform analysis.
  • Step 7: Evaluate analysis.

EVENT MAPPING

5-24. The event mapping technique uses brainstorming to assist in diagraming scenarios/elements stemming from analyst-derived hypotheses. Scenarios/Elements are linked around a central word or short phrase representing the issue/problem to be analyzed.

5-25. Event mapping scenarios/elements are arranged intuitively based on the importance of the concepts, and they are organized into groups, branches, or areas. Using the radial diagram format in event mapping assists in mitigating some bias, such as implied prioritization, anchoring, or other cognitive biases derived from hierarchy or sequential arrangements.

5-26. Method. The following outlines the steps for applying event maps (see figure 5-11):

Step 1: Place the word or symbol representing the issue/problem to be analyzed in the center of the medium from which the event map will be constructed.

Step 2: Add symbols/words to represent possible actions/outcomes around the central issue/problem.

Step 3: Link the possible actions/outcomes to the central issue or problem. If desired, use colors to indicate the major influence the link represents. For example, use green for economic links, red for opposition groups, or purple for military forces. Colors may also be used to differentiate paths for ease of reference.

Step4: Continue working outward, building the scenario of events into branches and sub branches for each hypothesis in detail.

Step 5: If ideas end, move to another area or hypothesis.
Step 6: When creativity wanes, stop and take a break. After the break, return and review the map and make additions and changes as desired.

Step7: As an option, number the links or decision points for each hypothesis. On a separate piece of paper, write down the evidence for each number to be collected that would disprove that link or decision. Use the lists for each number to develop an integrated collection strategy for the issue/problem.

SECTION II – DIAGNOSTIC STRUCTURED ANALYTIC TECHNIQUES

5-27. Diagnostic structured analytic techniques make analytical arguments, assumptions, and/or intelligence gaps more transparent. They are often used in association with most other analytic techniques to strengthen analytical assessments and conclusions. The most commonly used diagnostic techniques are—

  • Key assumptions check technique: Reviewing assumptions that form the analytical judgments of the problem.
  • Quality of information check technique:
    • Source credibility and access.
    • Plausibility of activity.
    • Imminence of activity.
    • Specificity of activity.
  • Indicators/Signposts of change technique:
    • Identifying a set of competing hypotheses.
    • Creating lists of potential or expected events.
    • Reviewing/Updating indicator lists.
    • Identifying most likely hypotheses.

 

5-30. Method. Checking for key assumptions requires analysts to consider how their analysis depends on the validity of certain evidence. The following four-step process assists analysts in checking key assumptions:

  • Step 1: Review what the current analytic line of thinking on the issue appears to be:
    • What do analysts think they know?
    • What key details assist analysts in accepting that the assumption is true?
  • Step 2: Articulate the evidence, both stated and implied in finished intelligence, accepted as true.
  • Step 3: Challenge the assumption by asking why it must be true and is it valid under all conditions. What is the degree of confidence in those initial answers?
  • Step 4: Refine the list of key assumptions to contain only those that must be true in order to sustain the analytic line of thinking. Consider under what circumstances or based on what information these assumptions might not be true.

5-31. Analysts should ask the following questions during this process:

    • What is the degree of confidence that this assumption is true?
    • What explains the degree of confidence in the assumption?
    • What circumstances or information might undermine this assumption?
    • Is a key assumption more likely a key uncertainty or key factor?
    • If the assumption proves to be wrong, would it significantly alter the analytic line of thinking? How?
    • Has this process identified new factors that require further analysis?

QUALITY OF INFORMATION CHECK

5-32. Weighing the validity of sources is a key feature of any analytical assessment. Establishing how much confidence analysts have in their analytical judgments should be based on the information’s reliability and accuracy. Analysts should perform periodic checks of the information for their analytical judgments; otherwise, important analytical judgments may become anchored to poor-quality information.

5-33. Determining the quality of information independent of the source of the information is important in ensuring that neither duly influences the other. Not understanding the context in which critical information has been provided makes it difficult for analysts to assess the information’s validity and establish a confidence level in the intelligence assessment. A typically reliable source can knowingly report inaccurate information, and a typically unreliable source can sometimes report high-quality information. Therefore, it is important to keep the two reviews—source and information—separate.

This technique—

  • Provides the foundation for determining the confidence level of an assessment and clarity to an analyst’s confidence level in the assessment.
  • Provides an opportunity to catch interpretation errors and mitigate assimilation or confirmation bias based on the source:
    • Assimilation bias is the modification and elaboration of new information to fit prior conceptions or hypotheses. The bias is toward confirming a preconceived answer.
    • Confirmation bias is the conditions that cause analysts to undervalue or ignore evidence that contradicts an early judgment and value evidence that tends to confirm already held assessments.
  • Identifies intelligence gaps and potential denial and deception efforts

5-34. Method. For an information review to be fully effective, analysts need as much background information on sources as is possible. At a minimum, analysts should perform the following steps:

  • Step 1: Review all sources of information for accuracy; identify any of the more critical or compelling sources. (For example, a human source with direct knowledge is compelling.)
  • Step 2: Determine if analysts have sufficient and/or strong collaboration between the information sources.
  • Step 3: Reexamine previously dismissed information considering new facts or circumstances.
  • Step 4: Ensure any circular reporting is identified and properly flagged for other analysts; analysis based on circular reporting should also be reviewed to determine if the reporting was essential to the judgments made. (For example, a human source’s purpose for providing information may be to deceive.)
  • Step 5: Consider whether ambiguous information has been interpreted and qualified properly.(For example, a signals intelligence transcript may be incomplete.)
  • Step 6: Indicate a level of confidence analysts can place on sources that may likely figure into future analytical assessments.

Note. Analysts should consciously avoid relating the source to the information until the quality of information check is complete. If relating the source to the quality of information changes the opinion of the information, analysts must ensure they can articulate why. Analysts should develop and employ a spreadsheet to track the information and record their confidence levels in the quality of information as a constant reminder of the findings.

INDICATORS/SIGNPOSTS OF CHANGE

5-36. The indicators/signposts of change technique is primarily a diagnostic tool that assists analysts in identifying persons, activities, developments, or trends of interest. Indicators/Signposts of change are often tied to specific scenarios created by analysts to help them identify which scenario is unfolding. Indicators/Signposts of change are a preestablished set of observable phenomena periodically reviewed to help track events, spot emerging trends, and warn of unanticipated change. These observable phenomena are events expected to occur if a postulated situation is developing. For example, some of the observable events of a potential protest include—

  • The massive gathering of people at a specific location.
  • People’s rallying cries posted as messages on social media.
  • An adjacent country’s aggressive national training and mobilization drills outside of normal patterns.

5-37. Analysts and other staff members create a list of these observable events and the detection and confirmation of these indicators enable analysts to answer specific information requirements that answer PIRs. Collection managers often use these lists to help create an intelligence collection plan.

5-38. This technique aids other structured analytic techniques that require hypotheses generation as analysts create indicators that can confirm or deny these hypotheses. Analysts may use indicators/signposts of change to support analysis during all operations of the Army’s strategic roles and to assist them in identifying a change in the operations.

5-39. Method. Whether used alone or in combination with other structured analysis, the process is the same. When developing indicators, analysts start from the event, work backwards, and include as many indicators as possible. The following outlines the steps to the indicators/signposts of change technique:

  • Step 1: Identify a set of competing hypotheses or scenarios.
  • Step 2: Create separate lists of potential activities, statements, or events expected for each hypothesis or scenario.
  • Step 3: Regularly review and update the indicator lists to see which are changing.
  • Step 4: Identify the most likely or most correct hypothesis or scenario based on the number of changed indicators observed.

 

Chapter 6
Advanced Structured Analytic Techniques

SECTION I – CONTRARIAN STRUCTURED ANALYTIC TECHNIQUES

6-1. Contrarian structured analytic techniques challenge ongoing assumptions and broaden possible outcomes. They assist analysts in understanding threat intentions, especially when not clearly stated or known. Contrarian techniques explore the problem from different (often multiple) perspectives. This allows analysts to better accept analytic critique and grant greater avenues to explore and challenge analytical arguments and mindsets. Proper technique application assists analysts in ensuring preconceptions and assumptions are thoroughly examined and tested for relevance, implication, and consequence.

6-2. The contrarian structured analytic techniques described in this publication are—

  • Analysis of competing hypotheses (ACH) technique: Evaluating multiple hypotheses through a competitive process in order to reach unbiased conclusions and attempting to corroborate results.
  • Devil’s advocacy technique: Challenging a single, strongly held view or consensus by building the best possible case for an alternative explanation.
  • Team A/Team B technique: Using separate analytic teams that contrast two (or more) strongly held views or competing hypotheses.
  • High-impact/Low-probability analysis technique: Highlighting an unlikely event that would have major consequences if it happened.
  • What if? analysis technique: Assuming an event has occurred with potential (negative or positive) impacts and explaining how it might happen.

ANALYSIS OF COMPETING HYPOTHESES

6-3. Analysts use ACH to evaluate multiple competing hypotheses in order to foster unbiased conclusions. Analysts identify alternative explanations (hypotheses) and evaluate all evidence that will disconfirm rather than confirm hypotheses. While a single analyst can use ACH, it is most effective with a small team of analysts who can challenge each other’s evaluation of the evidence.

6-4. ACH requires analysts to explicitly identify all reasonable alternatives and evaluate them against each other rather than evaluate their plausibility one at a time. ACH involves seeking evidence to refute hypotheses. The most probable hypothesis is usually the one with the least evidence against it, not the one with the most evidence for it. Conventional analysis generally entails looking for evidence to confirm a favored hypothesis.

6-5. Method. Simultaneous evaluation of multiple competing hypotheses is difficult to accomplish without using tools. Retaining these hypotheses in working memory and then assessing how each piece of evidence interacts with each hypothesis is beyond the mental capabilities of most individuals. To manage the volume of information, analysts use a matrix as a tool to complete ACH. (See figure 6-1.) The following outlines the steps used to complete ACH:

 

Step 1: Identify the intelligence problem.

Step 2: Identify all possible hypotheses related to the intelligence problem.

Step 3: Gather and make a list of all information related to the intelligence problem.

Step 4: Prepare a matrix with each hypothesis across the top and each piece of information down the left side.

Step 5: Determine if each piece of information is consistent or inconsistent with each hypothesis.

Step 6: Refine the matrix. Reconsider the hypotheses and remove information that has no diagnostic value.

Step 7: Draw tentative conclusions about the relative likelihood of each hypothesis.

Step 8: Analyze if conclusions rely primarily on a few critical pieces of information.

Step 9: Report conclusions.

Step 10: Identify milestones for future observation that may indicate events are taking a different course than expected.

 

DEVIL’S ADVOCACY

6-6. Analysts use the devil’s advocacy technique for reviewing proposed analytical conclusions. They are usually not involved in the deliberations that led to the proposed analytical conclusion. Devil’s advocacy is most effective when used to challenge an analytic consensus or a key assumption about a critically important intelligence question. In some cases, analysts can review a key assumption and present a product that depicts the arguments and data that support a contrary assessment. Devil’s advocacy can provide further confidence that the current analytic line of thought will endure close scrutiny.

Devil’s advocacy can lead analysts to draw one of three conclusions:

  • Analysts ignored data or key lines of argument that undermine their analysis and should restart the analysis process.
  • The analysis is sound, but more research is warranted in select areas.
  • Key judgments are valid, but a higher level of confidence in the bottom-line judgments is warranted.

6-7.  Method. The following outlines the steps for the devil’s advocacy technique:

    • Step 1: Present the main analytical conclusion.
    • Step 2: Outlinethemainpointsandkeyassumptionsandcharacterizetheevidencesupportingthe current analytical view.
    • Step 3: Select one or more assumptions that appear the most susceptible to challenge.
    • Step 4: Review the data used to determine questionable validity, possible deception, and the existence of gaps.
    • Step 5: Highlight evidence that supports an alternative hypothesis or contradicts current thinking.
    • Step 6: Present findings that demonstrate flawed assumptions, poor evidence, or possible deception.

6-8.  Analysts should consider the following when conducting the devil’s advocacy technique:

  • Sources of uncertainty.
  • Diagnosticity of evidence.
  • Anomalous evidence.
  • Changes in the broad environment.
  • Alternative decision models.
  • Availability of cultural expertise.
  • Indicators of possible deception.
  • Information gaps.

TEAM A/TEAM B

6-9. Team A/Team B is a process for comparing, contrasting, and clarifying two (or more) equally valid analytical assessments. Multiple teams of analysts perform this process, each working along different lines of analysis. Team A/Team B involves separate analytic teams that analyze two (or more) views or competing hypotheses. Team A/Team B is different from devil’s advocacy, which challenges a single dominant mindset instead of comparing two (or more) strongly held views. Team A/Team B recognizes that there may be competing, and possibly equally strong, mindsets on an issue that needs to be clarified. A key requirement to ensure technique success is equally experienced competing mindsets. This mitigates unbalanced arguments.

6-10. Method. The following steps outlines the steps of the team A/team B technique (see figure 6-2):

Step 1: Identify the two (or more) competing hypotheses.
Step 2: Form teams and designate individuals to develop the best case for each hypothesis.

Step 3: Review information that supports each respective position.
Step 4: Identify missing information that would support or bolster the hypotheses.
Step 5: Prepare a structured argument with an explicit discussion of—

  • Key assumptions.
  • Key evidence.
  • The logic behind the argument.

Step 6: Set aside the time for a formal debate or an informal brainstorming session.

Step 7: Have an independent jury of peers listen to the oral presentation and be prepared to question the teams about their assumptions, evidence, and/or logic.

Step 8: Allow each team to present its case, challenge the other team’s argument, and rebut the opponent’s critique of its case.

Step 9: The jury considers the strength of each presentation and recommends possible next steps for further research and collection efforts.

 

HIGH-IMPACT/LOW-PROBABILITY ANALYSIS

6-11. The high-impact/low-probability analysis technique sensitizes analysts to the potential impact that seemingly low-probability events could have on U.S. forces. New and often fragmentary data suggesting that a previously unanticipated event might occur is a trigger for applying this technique.

6-12. Mapping out the course of an unlikely, yet plausible event may uncover hidden relationships between key factors and assumptions; it may also alert analysts to oversights in the analytic line of thought. This technique can augment hypotheses-generating analytic techniques.

6-13. The objective of high-impact/low-probability analysis is exploring whether an increasingly credible case can be made for an unlikely event occurring that could pose a major danger or open a window of opportunity.

6-14. Method. An effective high-impact/low-probability analysis involves the following steps:

  • Step1: Define the high-impact outcome clearly. This will justify examining what may be deemed a very unlikely development.
  • Step 2: Devise one or more plausible pathways to the low-probability outcome. Be precise, as it may aid in developing indicators for later monitoring.
  • Step 3: Insert possible triggers or changes in momentum if appropriate (such as natural disasters, sudden key leader health problems, or economic or political turmoil).
  • Step 4: Brainstorm plausible but unpredictable triggers of sudden change.
  • Step 5: Identify a set of indicators for each pathway that help anticipate how events are likely to develop and periodically review those indicators.
  • Step 6: Identify factors that could deflect a bad outcome or encourage a positive one.

“WHAT IF?” ANALYSIS

6-15. “What if?” analysis is a technique for challenging a strong mindset that an event will not occur or that a confidently made forecast may not be entirely justified. “What if?” analysis is similar to high-impact/low- probability analysis; however, it does not focus on the consequences of an unlikely event. “What if” analysis attempts to explain how the unlikely event might transpire. It also creates an awareness that prepares analysts to recognize early signs of a significant change.

6-16. “What if” analysis can also shift focus from asking whether an event will occur to working from the premise that it has occurred. This allows analysts to determine how the event might have happened. This technique can augment hypotheses-generating analytic techniques using multiple scenario generation or ACH. “What if?” analysis shifts the question from “How likely is the event?” to the following:

    • How could the event possibly occur?
    • What would be the impact of the event?
    • Has the possibility of the event happening increased?

6-17. Like other contrarian techniques, “what if?” analysis must begin by stating the conventional analytic line of thought and then stepping back to consider alternative outcomes that are too important to dismiss no matter how unlikely.

6-18. Method. The “what if?” analysis steps are similar to the high-impact/low-probability analysis steps once analysts have established the event itself:

  • Step 1: Assume the event has happened.
  • Step2: Select some triggering events that permitted the scenario to unfold to help make the “what if?” more plausible (for example, the death of key leader, a natural disaster, an economic or political event that might start a chain of other events).
  • Step 3: Develop a chain of reasoning based on logic and evidence to explain how this outcome could have occurred.
  • Step 4: Think backwards from the event in concrete ways, specifying what must occur at each stage of the scenario.
  • Step 5: Identify one or more plausible pathways to the event; it is likely that more than one will appear possible.
  • Step 6: Generate an indicators/signposts of change list to detect the beginnings of the event.
  • Step 7: Consider the scope of positive and negative consequences and their relative impact.
  • Step 8: Monitor the indicators developed periodically.

SECTION II – IMAGINATIVE STRUCTURED ANALYTIC TECHNIQUES

6-19. Imaginative structured analytic techniques assist analysts in approaching an analytic problem from different and multiple perspectives. This technique also broadens analysts’ selection of potential COAs, thus reducing the chance of missing unforeseen outcomes. Imaginative techniques facilitate analysts’ ability to forecast events and generate ideas creatively. Additionally, the proper application of imaginative techniques can assist in identifying differences in perspectives and different assumptions among analytic team members. The most commonly used imaginative techniques are—

  • Brainstorming technique: Generating new ideas and concepts through unconstrained groupings.
  • Functional analysis technique:
  • Identifying threat vulnerabilities through knowledge of threat capabilities.
  • Identifying windows of opportunity and threat vulnerabilities.
  • Outside-in thinking technique: Identifying the full range of basic factors and trends that indirectly shape an issue.
  • Red hat/team analysis technique: Modeling the behavior of an individual or group by trying to replicate how a threat would think about an issue.

BRAINSTORMING

6-20. Brainstorming is a widely used technique for stimulating new thinking; it can be applied to most other structured analytic techniques as an aid to thinking. Brainstorming is most effective when analysts have a degree of subject matter expertise on the topic of focus.

6-21. Brainstorming should be a very structured process to be most productive. An unconstrained, informal discussion might produce some interesting ideas, but usually a more systematic process is the most effective way to break down mindsets and produce new insights. The process involves a divergent thinking phase to generate and collect new ideas and insights, followed by a convergent thinking phase for grouping and organizing ideas around key concepts.

 

6-22. Method. As a two-phase process, brainstorming elicits the most information from brainstorming participants:

Phase1—Divergent thinking phase:

  • Step 1: Distribute a piece of stationery with adhesive and pens/markers to all participants. Typically, a group of 10 to 12 people works best.
  • Step 2: Pose the problem in terms of a focal question. Display it in one sentence on a large easel or whiteboard.
  • Step 3: Ask the group to write down responses to the question, using key words that will fit on the small piece of stationery.
  • Step 4: Stick all of the notes on a wall for all to see—treat all ideas the same.
  • Step 5: When a pause follows the initial flow of ideas, the group is reaching the end of its collective conventional thinking, and new divergent ideas are then likely to emerge. End phase 1 of the brainstorming after two or three pauses.

Phase2—Convergent thinking phase:

Step 6: Ask group participants to rearrange the notes on the wall according to their commonalities or similar concepts. Discourage talking. Some notes may be moved several times as they begin to cluster. Copying some notes is permitted to allow ideas to be included in more than one group.

Step 7: Select a word or phrase that characterizes each grouping or cluster once all of the notes have been arranged.

Step 8: Identify any notes that do not easily fit with others and consider them as either isolated thoughts or the beginning of an idea that deserves further attention.

Step 9: Assess what the group has accomplished in terms of new ideas or concepts identified or new areas that require more work or further brainstorming.

Step 10: Instruct each participant to select one or two areas that deserve the most attention. Tabulate the votes.

Step 11: Set the brainstorming group’s priorities based on the voting and decide on the next steps for analysis.

 

FUNCTIONAL ANALYSIS USING CRITICAL FACTORS ANALYSIS

6-23. Critical factors analysis (CFA) is an overarching analytic framework that assists analysts in identifying threat critical capabilities, threat critical requirements, and threat critical vulnerabilities that they can integrate into other structured analytic techniques. This assists friendly forces in effectively identifying windows of opportunity and threat vulnerabilities. At echelons above corps, CFA assists in identifying threat centers of gravity that friendly forces can use for operational planning:

    • Critical capability is a means that is considered a crucial enabler for a center of gravity to function as such and is essential to the accomplishment of the specified or assumed objective(s) (JP 5-0).
    • Critical requirement is an essential condition, resource, or means for a critical capability to be fully operational (JP 5-0).
    • Critical vulnerability is an aspect of a critical requirement which is deficient or vulnerable to direct or indirect attack that will create decisive or significant effects

6-24. To conduct CFA successfully, identify threat critical capabilities. The more specific the threat critical capability, the more specificity analysts can apply to threat critical capabilities, requirements, and vulnerabilities. CFA is more effective when conducted by a team of experienced analysts. Additionally, structured brainstorming can amplify this technique. Analysts can determine windows of opportunity by identifying the common denominator or entity that encompasses those identified threat critical capabilities, requirements, and vulnerabilities.

6-25. Method. The following outlines those steps necessary to conduct CFA (see figure 6-3 on page 6-10):

  • Step 1: Create a quad-chart. Identify a specific threat mission objective.
  • Step 2: Identify all threat critical capabilities that are essential to achieve the threat mission objective and input in the top-right quadrant of the chart. (Threat must be able to achieve X.)
  • Step 3: Identify all threat critical requirements—conditions or resources integral to critical capabilities developed in step 1—and input in the bottom-right quadrant of the chart. (To achieve X, the threat needs Y.)
  • Step 4: Identify all threat critical vulnerabilities—elements related to threat critical requirements developed in step 2 that appear exposed or susceptible (at risk)—and input in the bottom-left quadrant of the chart. (The threat cannot lose Z.)
  • Step 5: Analyze the chart to determine the windows of opportunity by identifying the common denominator (or entity) that encompasses those identified threat critical capabilities, requirements, and vulnerabilities and input in the top-left quadrant of the chart.
  • Step 6: Identify all listed critical factors that friendly forces can directly affect to identify potential targets or topics for further collection.

OUTSIDE-IN THINKING

6-26. The outside-in thinking technique assists analysts in identifying the broad range of factors, forces, and trends that may indirectly shape an issue—such as global, political, environmental, technological, economic, or social forces—outside their area of expertise, but that may profoundly affect the issue of concern. This technique is useful for encouraging analysts to think critically because they tend to think from inside out, focusing on factors most familiar in their specific area of responsibility.

6-27. Outside-in thinking reduces the risk of missing important variables early in the analysis process; it should be the standard process for any project that analyzes potential future outcomes. This technique works well for a group of analysts responsible for a range of functional and/or regional issues.

 

6-28. Method. The following outlines those steps of outside-in thinking (see figure 6-4):

  • Step 1: Identify the topic of study.
  • Step 2: Brainstorm all key factors (operational variables [PMESII-PT]) that could impact the topic.
  • Step 3: Employ the mission variables (METT-TC) to trigger new ideas.
  • Step 4: Focus on those key factors over which a commander can exert some influence.
  • Step 5: Assess how each of those factors could affect the analytic problem.
  • Step 6: Determine whether those factors can impact the issue based on the available evidence.

 

RED HAT/TEAM ANALYSIS

6-29. The red hat/team analysis technique facilitates analysts’ modeling of threat behavior by attempting to formulate ideas on how the threat would think about an issue. Red hat/team analysis is also a type of reframing technique performed by analysts attempting to solve an intelligence problem by using a different perspective. They attempt to perceive threats and opportunities as would the threat in order to categorize the threat. Categories include but are not limited—

  • Command and control.
  • Movement and maneuver.

6-31. Method. The following outlines the steps to conduct red hat/team analysis:

  • Step 1: Identify the situation and ask how the threat would respond to the situation.
  • Step 2: Emphasize the need to avoid mirror imaging. Define the cultural and personal norms that would influence the threat’s behavior (use operational variables [PMESII-PT]/civil considerations [ASCOPE] and threat characteristics, threat doctrine, and threat intentions matrices as aids).
  • Step 3: Develop first-person questions that the threat would ask about the situation.
  • Step 4: Present results and describe alternative COAs the threat would pursue.

Note. Some publications differentiate between red hat analysis and red team analysis, while others describe them as being the same. When differentiated, red team analysis is categorized as a contrarian technique. For this publication, the two techniques are synonymous.

PART THREE
Intelligence Analysis Considerations

Chapter 7
Analytic Support to Army Forces and Operations

OVERVIEW

7-1. Although the intelligence analysis process does not change, the tasks performed by intelligence analysts differ significantly based on the echelon, the supported functional element, the Army strategic role, and the specific mission. As with many tasks, the most significant factor affecting analysis is time. Time includes both the amount of time to analyze a problem and the timeliness of the final analytical assessment to the decision maker.

ANALYSIS ACROSS THE ECHELONS

7-3. Intelligence analysts conduct analysis during combat operations to support Army forces at all echelons. The commander’s need for the continuous assessment of enemy forces focuses intelligence analysis. The analytical output of the intelligence warfighting function assists commanders in making sound and timely decisions. Analysts must understand at which points in an operation the commander needs specific PIRs answered in order to support upcoming decision points. This understanding assists analysts in creating a timeline for conducting analysis and identifying when information is no longer of value to the commander’s decision making.

7-4. Analytical elements at NGIC and at echelons above corps focus primarily on strategic- to operational- level analytic problems, analytical elements at the corps level focus on both tactical- and operational-level analytic problems, and analytical elements at echelons below corps focus on tactical-level analytic problems. The strategic, operational, and tactical levels of warfare assist commanders—informed by the conditions of their OEs—in visualizing a logical arrangement of forces, allocating resources, and assigning tasks based on a strategic purpose:

  • Strategic level of warfare is the level of warfare at which a nation, often as a member of a group of nations, determines national or multinational (alliance or coalition) strategic security objectives and guidance, then develops and uses national resources to achieve those objectives (JP 3-0). At the strategic level, leaders develop an idea or set of ideas for employing the instruments of national power (diplomatic, informational, military, and economic) in a synchronized and integrated fashion to achieve national objectives.
  • Operational level of warfare is the level of warfare at which campaigns and major operations are planned, conducted, and sustained to achieve strategic objectives within theaters or other operational areas (JP 3-0). The operational level links the tactical employment of forces to national and military strategic objectives, focusing on the design, planning, and execution of operations using operational art. (See ADP 3-0 for a discussion of operational art.)
  • Tactical level of warfare is the level of warfare at which battles and engagements are planned and executed to achieve military objectives assigned to tactical units or task forces (JP 3-0). The tactical level of warfare involves the employment and ordered arrangement of forces in relation to each other.

NATIONAL AND JOINT ANALYTIC SUPPORT

7-5. Intelligence analysis support to national organizations and the joint force focuses on threats, events, and other worldwide intelligence requirements.

THEATER ARMY

7-6. At the theater army level, intelligence analysis supports the combatant commander’s operational mission requirements by enabling the theater command to apply capabilities to shape and prevent potential threat action. Theater army-level analytical activities include but are not limited to—

  • Supporting theater campaign plans.
  • Developing expertise to analyze threat characteristics within a region.
  • Long-term analysis of a region and/or country that enables warning intelligence of imminent threat ground operations.
  • Detailed analysis of multi-domain specific requirements.
  • Serving as the Army’s interface to national and joint support for operational and tactical forces.

7-7. Analysts assigned to the theater army-level all-source intelligence cell can expect to work with other Services as well as other nations. Analytical assessment support to future operations focuses on threat activities, intent, and capabilities beyond 168 hours within a designated global region assigned to the combatant commander.

SUPPORT TO FUNCTIONAL ELEMENTS

7-12. The Army is committed to providing intelligence support across most unique functional elements. Although all of these elements perform IPB and collection management, the intelligence analysis requirements for these elements vary significantly based on the commander’s designated mission; therefore, when assigned, intelligence analysts must learn the mission-specific intelligence analysis requirements for their functional element.

ANALYSIS ACROSS THE ARMY’S STRATEGIC ROLES

7-13. Intelligence analysts must consider all intelligence requirements for operations to shape, prevent, prevail in large-scale ground combat, and consolidate gains.

  • SHAPE OPERATIONAL ENVIRONMENTS
  • PREVENT CONFLICT
  • PREVAIL IN LARGE-SCALE GROUND COMBAT
  • OFFENSIVE AND DEFENSIVE OPERATIONS IN LARGE-SCALE GROUND COMBAT
  • CONSOLIDATE GAINS
    • Consolidate Gains Through Stability Operations

7-23. A stability operation is an operation conducted outside the United States in coordination with other instruments of national power to establish or maintain a secure environment and provide essential governmental services, emergency infrastructure reconstruction, and humanitarian relief (ADP 3-0). In stability operations, success is measured differently from offensive and defensive operations. Time may be the ultimate arbiter of success: time to bring safety and security to an embattled populace; time to provide for the essential, immediate humanitarian needs of the people; time to restore basic public order and a semblance of normalcy to life; and time to rebuild the institutions of government and market economy that provide the foundations for enduring peace and stability. (See ADP 3-07 for information on stability operations.)

7-24. The main difference between stability operations and other decisive action is the focus and degree level of analysis required for the civil aspects of the environment. Unlike major combat—an environment dominated by offensive and defensive operations directed against an enemy force—stability operations encompass various military missions, tasks, and activities that are not enemy-centric.

7-25. Constant awareness and shared understanding of civil considerations (ASCOPE) about the environment are crucial to long-term operational success in stability operations. Analysts should classify civil considerations into logical groups (tribal, political, religious, ethnic, and governmental). Intelligence analysis during operations that focus on the civil population requires a different mindset and different techniques than an effort that focuses on defeating an adversary militarily.

7-26. Some situations (particularly crisis-response operations) may require analysts to focus primarily on the effects of terrain and weather, as in the case of natural disasters, including potential human-caused catastrophes resulting from natural disasters.

Chapter 8
Analysis and Large-Scale Ground Combat Operations

OVERVIEW

8-1. In future operations, intelligence analysis considerations should include a combination of factors (or elements) that analysts must understand to support the commander. Multi-domain operation considerations differ by echelon. These considerations have their greatest impact on Army operations during large-scale ground combat.

8-2. Situation development enables commanders to see and understand the battlefield in enough time and detail to make sound tactical decisions. Situation development assists in locating and identifying threat forces; determining threat forces’ strength, capabilities, and significant activities; and predicting threat COAs. Situation development assists commanders in effectively employing available combat resources where and when decisive battles will be fought, preventing commanders from being surprised.

8-3. Commanders and staffs require timely, accurate, relevant, and predictive intelligence to successfully execute offensive and defensive operations in large-scale ground combat operations. The challenges of fighting for intelligence during large-scale ground operations emphasize a close interaction between the commander and staff, since the entire staff supports unit planning and preparation to achieve situational understanding against a peer threat.

Since each echelon has a different situational understanding of the overarching intelligence picture, the analytical focus differs from one echelon to another.

Since each echelon has a different situational understanding of the overarching intelligence picture, the analytical focus differs from one echelon to another.

9-3. Long-term analytical assessments are produced using a deliberate and specific execution of the intelligence analysis process over a longer period of time that closely complies with the Intelligence Community Analytic Standards (to include the analytic tradecraft standards) established in ICD 203. This form of analysis includes the careful management of the overall effort, dedicating significant resources to the effort (for example, analysis is conducted by an analytic team), executing various iterations of analysis, and applying advanced structured analytic techniques within the effort.

THE BASICS OF ANALYTIC DESIGN

9-4. Managing long-term analytical assessments is accomplished by performing seven analytic design steps, as shown in figure 9-1 on page 9-2:

  • Step 1: Frame the question/issue.
  • Step 2: Review and assess knowledge.
  • Step 3: Review resources.
  • Step 4: Select the analytic approach/methodology and plan project.
  • Step 5: Develop knowledge.
  • Step 6: Perform analysis.
  • Step 7: Evaluate analysis.

FRAME THE QUESTION/ISSUE

9-5. Properly framing the question greatly increases the chance of successful long-term analysis. The analytic team starts with understanding the requestor’s requirement by identifying relevant topics and issues that break down into a primary question that can be analyzed. Framing the question includes refining and scoping the question to carefully capture the requestor’s expectations, mitigate bias, craft an objective analytic question, and develop subquestions. This step results in an initial draft of the primary intelligence question and is followed by reviewing and assessing existing knowledge.

REVIEW AND ASSESS KNOWLEDGE

9-6. Reviewing and assessing knowledge involves an overlap of the analytical effort with collection management. Step 2 includes reviewing available information and intelligence, the collection management plan, and results of on-going intelligence collection, as well as identifying information gaps.

REVIEW RESOURCES

9-7. After understanding what knowledge is available and identifying information gaps, the next step is reviewing available resources, such as tools, personnel, and time.

SELECT THE ANALYTIC APPROACH/METHODOLOGY AND PLAN PROJECT

9-8. Using the results of steps 1 through 3, the analytic team finalizes the primary intelligence question and subquestions, selects the analytic approach/methodology, and develops a project plan. The analytic approach/methodology includes the specific analytic techniques, who will perform each technique, and the sequence of those techniques to ensure analytic insight and mitigate bias.

DEVELOP KNOWLEDGE

9-9. Developing knowledge is the last step before performing analysis. Although discussed as a separate step in the process, developing knowledge occurs continually throughout the process. The analytic team gathers all relevant intelligence and information through ongoing collection, intelligence reach, and internal research.

PERFORM ANALYSIS

9-10. Steps 1 through 5 set the stage for the deliberate execution of analytic techniques, to include adjusting the project plan, if necessary, and assessing the analytical results using the context that was developed while framing the question/issue.

EVALUATE ANALYSIS

9-11. Evaluating analysis, the final step of the process, results in the final analytical results and associated information necessary to make a presentation to the requestor. Evaluating analysis includes assessing the analytical results and the impact of analytic gaps and unconfirmed assumptions, performing analysis of alternatives, and assigning a confidence level to the analytic answer.

COLLABORATION DURING ANALYTIC DESIGN

9-12. Collaboration is critical to long-term analytical assessments and occurs between different stakeholders across the intelligence community. This collaboration ensures a diversity of perspective and depth in expertise that is impossible through any other means. Four specific areas in which collaboration is invaluable are—

  • Bias mitigation: Analytic teams with diverse backgrounds and different perspectives can effectively identify and check assumptions, interpret new information, and determine the quality of various types of information.
  • Framing/Knowledge review: Analytic teams can engage early in the process to build context, craft analytic questions, share information sources, and develop analytical issues.
  • Methodology building: Analytic teams assess the credibility of the analytic approach and clarity of the argument through various means, including peer reviews.
  • Perform analysis: Analytic teams can perform various analytic techniques, identify hypotheses, and analyze alternatives as a group to improve the quality of the analytical effort.

TRANSITIONING FROM THE ANALYTIC DESIGN PROCESS TO PRESENTING THE RESULTS

9-13. Managing long-term analytical assessments includes not only presenting an analytic answer but also a confidence level to the answer and alternative hypotheses or explanations for gaps and uncertainty. During evaluate analysis, the last step of the process, the analytic team decides whether the question requires more analysis, and therefore, whether the assessment is exploratory or authoritative and ready to present to the requestor. If the results are ready for presentation, the analytic team deliberately prepares to present those results. Transitioning from long-term analysis to presenting the analytic answer includes stepping back from that analysis, reviewing the assessment, and clarifying the relevance of the analytical results. Then the analytic team determines—

  • What is the message: The message characterizes whether the assessment is authoritative or exploratory and includes the “bottom line” of the assessment. Additionally, the assessment includes any shifts in analysis that occurred over time, any impacts on the requestor (decisions and future focus areas), the confidence level, alternative hypotheses, and indicators.
  • What is the analytical argument: The analytic team develops an outline for logically progressing through the analytical assessment. An argument map is a useful tool to ensure a logical analytical flow during the presentation and to ensure the message is easily understood. The team may use basic interrogatives (who, what, when, where, why, and how) or a similar tool to capture the critical elements of the message to present to the requestor.
  • What are critical gaps and assumptions: Gaps and assumptions identified during the evaluate analysis step become limitations to the certainty of the analytical assessment, and, in some cases, drive future analytical efforts. The analytic team may insert gaps and assumptions within the message and clearly discuss the level of impact on the assessment (for example, in the source summary statement or in the “bottom line” statement).
  • What reasonable analytical alternatives remain: For authoritative assessments, answering the questions “what if I am wrong” and “what could change my assessment” provides analysis of alternatives that should be included in the assessment to explain what remains uncertain.
  • What product or products should be presented: Determine the best format for the presentation that facilitates the discussion of the argument. If it is exploratory analysis, the format should allow the analytic team to effectively describe the new understanding of the topic and its relevance to the requestor. The team should consider the following when choosing the format: requestor preference, specific tasking/requirement, complexity of the argument, urgency/time constraints, and potential interest of others.

 

CROSSWALKING ANALYTIC DESIGN WITH TACTICAL INTELLIGENCE ANALYSIS

9-14. Tactical intelligence analysis and analytic design have similarities but also differ in a number of ways. Tactical operations are often chaotic and time-constrained, and therefore, driven by specific commander-centric requirements (for example, PIRs and targeting requirements). The commander and staff plan and control operations by employing several standard Army planning methodologies, including but not limited to the Army design methodology, the MDMP, and Army problem solving.

Analytic design to tactical intelligence analysis crosswalk

Step 1: Frame the question/ issue

Step 2: Review and assess knowledge

Step 3: Review resources

Step 4: Select analytic approach/methodology and plan project

Step 5: Develop knowledge

Step 6: Perform analysis

Step 7: Evaluate analysis

 

Appendix A

Automation Support to Intelligence Analysis

AUTOMATION ENABLERS

A-1. Many different automation and communications systems are vital to intelligence analysis; they facilitate real-time collaboration, detailed operational planning, and support to collection management. Software updates and emerging technologies continue to improve current intelligence analysis systems to operate more effectively in garrison and in deployed environments.

A-2. Automation processing capabilities and tools readily available on today’s computers enable the intelligence analysis process. The software or related programs in current automation systems allow intelligence analysts to screen and analyze significantly more data than in previous years. The development of analytical queries, data management tools, and production and dissemination software enhances the intelligence analysis process, facilitating the commander’s situational understanding and timely decision making across all echelons.

A-3. Automation is crucial to intelligence analysis; there are four aspects for analysts to consider:

  • Automation is a key enabler to the processing and fusion of compatible information and intelligence, but the individual analyst remains essential in the validation of any assessment.
  • The analyst must still be heavily involved in building specific queries, analyzing the final assessment, and releasing intelligence.
  • Automation relies on the cyberspace domain, which requires extensive defensive actions to ensure data is not corrupted from collection to dissemination. Deception and corruption within the cyberspace domain are likely occurrences; therefore, they require monitoring by both cyberspace experts and intelligence analysts.
  • Automation relies on available communications to receive, assess, and disseminate information across the command at all echelons. During periods of disrupted or degraded communications, the intelligence analyst must understand and may have to execute intelligence analysis without the aid of automation.

 

DISTRIBUTED COMMON GROUND SYSTEM-ARMY

A-4. All communications, collaboration, and intelligence analysis within the intelligence warfighting function are facilitated by the DCGS-A—the intelligence element of Army command and control systems and an Army program of record.

The following highlights some of the most significant tools across the phases of the intelligence analysis process:

Screen:

  • Axis Pro/Link Diagram is a software product used for data analysis and investigations that assists in mapping and understanding threat networks comprising threat equipment, units, facilities, personnel, activities, and events.
  • Threat Characteristics Workstation provides tools to develop and manage threat characteristics, track battle damage assessments (BDAs), and create doctrinal and dynamic situation templates. The workstation also allows analysts to create graphic and written comparisons of threat capabilities and vulnerabilities, which are included in the intelligence estimate.
  • MovINT Client provides an integrated, temporal view of the battlefield, and aggregates air- and ground-force locations, moving target intelligence, aircraft videos, sensor points of interest, and target locations.

Analyze:

  • SOCET GXP (also known as Softcopy Exploitation Toolkit Geospatial Exploitation Product), an advanced geospatial intelligence software solution, uses imagery from satellite and aerial sources to identify, analyze, and extract ground features, allowing for rapid product creation.
  • Terra Builder/Explorer provides professional-grade tools for manipulating and merging imagery and elevation data of different sizes and resolutions into a geographically accurate terrain database. It also allows analysts to view, query, analyze, edit, present, and publish geospatial data.
  • Text Extraction allows analysts to quickly extract information from reports, associate elements with relationships, and identify existing matches in the database.
  • ArcGIS (also known as Arc Geographic Information System) allows analysts to visualize, edit, and analyze geographic data in both two- and three-dimensional images and has several options for sharing with others.

Integrate:

  • Multifunction workstation interface, a customizable interface that streamlines workflow, supports the commander’s operations by providing accurate and timely intelligence and analysis to support Army forces.
  • ArcGIS. (See description under Analyze.)
  • Google Earth, a geo-browser that accesses satellite and aerial imagery, ocean bathymetry, and other geographic data of a network, represents the Earth as a three-dimensional globe.

Produce:

  • Office 2013 is a suite of productivity applications that includes Microsoft Word, Excel, PowerPoint, Outlook, OneNote, Publisher, Access, InfoPath, and Link.
  • Multifunction workstation interface. (See description under Integrate.)
  • i2 Analyst Notebook is a software product used for data analysis and investigation. It is part of the Human Terrain System, an Army program that embeds social scientists with combat brigades.

A-5. DCGS-A, like any automation system, is subject to software updates, including changes to the current hardware as well as lifecycle replacements. As such, future versions may include greater analytical cross discipline and domain collaboration and improved interoperability with command and control systems and knowledge management components.

Appendix B
Cognitive Considerations for Intelligence Analysts

OVERVIEW

Analytic skills are the ability to collect, visualize, and examine information in detail to make accurate analytical conclusions. Analytic skills enable Army Soldiers to complete simple and complex tasks; they enable intelligence analysts to use deliberate thought processes to examine a situation critically and without bias.

THE INTELLIGENCE ANALYST

Intelligence analysis support to any operation involves separating useful information from misleading information, using experience and reasoning, and reaching an assessment or conclusion based on fact and/or sound judgment. The conclusion is based on the intelligence analyst’s—

  • Experience, skill, knowledge, and understanding of the operation.
  • Knowledge of the various intelligence disciplines.
  • Knowledge of information collection.
  • Understanding of the threats within an OE.
  • In-depth understanding of the threat’s military and political structure.

The intelligence personnel conducting the analysis of information and intelligence use basic to advanced tradecraft skills and tools and integrated automated programs to sort raw forms of data and information and apply research skills to formulate an assessment. Analysts are responsible for the timely dissemination and/or presentation (proper writing and presentation techniques) of known facts and assumptions regarding the OE to the commander and staff. There are established tradecraft standards that direct the individual or group of analysts to ensure the analysis meets a common ethic to achieve analytical excellence.

Intelligence analysts follow guidelines, such as the ICD 203 Intelligence Community Analytic Standards, that promote a common ethic for achieving analytical rigor and excellence and personal integrity in analytical practices. (See appendix C.) Additionally, they must build their foundational understandings and integrate their learned skills—critical thinking and embracing ambiguity. Intelligence analysts must be willing to change their determinations over time. Training, knowledge, and experience further develop analysts’ expertise, as these aspects are essential in helping analysts deal with the uncertain and complex environments.

The OE is complex, and the threat attempts to hide its objectives, intent, and capabilities when possible. Therefore, intelligence analysts embrace ambiguity, recognize and mitigate their own or others’ biases, challenge their assumptions, and continually learn during analysis. To assist in mitigating some of the uncertainty associated with conducting intelligence analysis, analysts should increase their proficiency in using analytic techniques and tools, including automated analytic tools and systems, to identify gaps in their understanding of the OE. Furthermore, to be effective, intelligence analysts must have a thorough understanding of their commanders’ requirements and the intelligence analysis process (see chapter 2), which directly contributes to satisfying those requirements.

BASIC THINKING ABILITIES

Army intelligence personnel are required to use basic thinking abilities and complex skills to analyze information. These skills relate to an analyst’s ability to think. Intelligence analysis focuses primarily on thinking. Intelligence analysts must continually strive to improve the quality of their thinking to support the commander’s requirements. The three basic thinking abilities for intelligence analysis are

  • Information ordering.
  • Pattern recognition.

INFORMATION ORDERING

Information ordering is the ability to follow previously defined rules or sets of rules to arrange data in a meaningful order. In the context of intelligence analysis, this ability allows analysts, often with technology’s assistance, to arrange information in ways that permit analysis, synthesis, and a higher level of understanding. The arrangement of information according to certain learned rules leads analysts to make conclusions and disseminate the information as intelligence. However, such ordering can be inherently limiting—analysts may not seek alternative explanations because the known rules lead to an easy conclusion.

PATTERN RECOGNITION

Humans detect and impose patterns on apparently random entities and events in order to understand them, often doing this without awareness. Intelligence analysts impose or detect patterns to identify relationships, and often to infer what they will do in the future. Pattern recognition lets analysts separate the important from the less important, even the trivial, and conceptualize a degree of order out of apparent chaos. However, imposing or seeking patterns can introduce bias. Analysts may impose culturally defined patterns on random aggregates rather than recognize inherent patterns, thereby misinterpreting events or situations.

REASONING

Reasoning is what allows humans to process information and formulate explanations in order to assign meaning to observed actions and events. The quality of any type of reasoning is based on how well analysts’ analytic skills have been developed, which occurs through practice and application. Improving analytic skills occurs by implementing individual courses of study and organizational training strategies.

There are four types of reasoning that guide analysts in transforming information into intelligence:

  • Deductive reasoning is using given factual information or data to infer other facts through logical thinking. It rearranges only the given information or data into new statements or truths; it does not provide new information. Therefore, deductive reasoning is, “If this is true, then this is also true.”
  • Inductive reasoning is looking at given factual information or data for a pattern or trend and inferring the trend will continue. Although there is no certainty the trend will continue, the assumption is it will. Therefore, inductive reasoning is, “Based on this trend, this is probably true.”
  • Abductive reasoning is similar to inductive reasoning since conclusions are based on probabilities or “guessing.” Therefore, abductive reasoning is, “Because this is probably true, then this may also be true.”
  • Analogical reasoningisamethodofprocessinginformationthatreliesonananalogytocompare the similarities between two specific entities; those similarities are then used to draw a conclusion—the more similarities between the entities, the stronger the argument.

Note. Of the four types of reasoning, only deductive reasoning results in a conclusion that is always true. However, during the conduct of intelligence analysis, this statement can be misleading. During operations, there are few situations in which both a rule is always true and there is adequate collection on the threat to apply deductive reasoning with certainty.

Even in the best of circumstances, inductive, abductive, and analogical reasonings cannot produce conclusions that are certain. All of the types of reasoning rely on accurate information, clear thinking, and freedom from personal bias and group thinking.

CRITICAL AND CREATIVE THINKING

Combining good analytic techniques with an understanding of the requirements, area knowledge, and experience is the best way of providing accurate, meaningful assessments to commanders and leaders. However, subject matter expertise alone does not guarantee the development of logical or accurate conclusions. Intelligence analysts apply critical thinking skills to provide more holistic, logical, ethical, and unbiased analysis and conclusions. Critical thinking ensures analysts fully account for the elements of thought, the intellectual standards of thought, and the traits of a critical thinker.

Critical thinking is a deliberate process of analyzing and evaluating thought with a view to improve it. The elements of thought (the parts of a person’s thinking) and the standards of thought (the quality of a person’s thinking) support critical thinking. Key critical thinking attributes include human traits such as intellectual courage, integrity, and humility. Creative thinking involves creating something new or original.

Analysts use thinking to transform information into intelligence. Critical thinking can improve many tasks and processes across Army operations, especially the conduct of intelligence analysis. Critical thinking includes the intellectually disciplined activity of actively and skillfully analyzing and synthesizing information. The key distinction in critical thinking is a reflective and self-disciplined approach to thinking.

For the analyst, the first step in building critical thinking skills is to begin a course of personal study and practice with a goal of improving the ability to reason. This means moving outside the Army body of doctrine and other Army professional writing when beginning this study. Most of the body of thought concerning critical thinking extends throughout various civilian professions, particularly those in academia

ELEMENTS OF THOUGHT

Whenever people think, they think for a purpose within a point of view based on assumptions leading to implications and consequences. People use concepts, ideas, and theories to interpret data, facts, and experiences in order to answer questions, solve problems, and resolve issues. These eight elements of thought assist in describing how critical thinking works:

Element 1—Purpose. All thinking has a purpose. Critical thinkers will state the purpose clearly. Being able to distinguish the purpose from other related purposes is an important skill that critical thinkers possess. Checking periodically to ensure staying on target with the purpose is also important.

Element 2—Question at issue. All thinking is an attempt to figure something out, to settle some question, or to solve some problem. A critical thinker can state questions clearly and precisely, express the questions in several ways to clarify their meaning and scope, and break the questions into subquestions.

Element 3—Information. All thinking is based on data, information, and evidence. Critical thinkers should support their conclusions with relevant information and be open to actively searching for information that supports and contradicts a position. All information should be accurate, clear, and relevant to the situation being analyzed.

Element 4—Interpretation and inference. All thinking contains interpretations and inferences by which to draw conclusions and give meaning to data. Critical thinkers should be careful to infer only what the evidence implies and to crosscheck inferences with each other. They should clearly identify the assumptions and concepts that led to the inferences, as well as consider alternative inferences or conclusions. Developing and communicating well-reasoned inferences represent the most important parts of what intelligence analysts provide because they aid situational understanding and decision making.

Element 5—Concepts. All thinking is expressed through, and shaped by, concepts. A concept is a generalized idea of a thing or a class of things. People do not always share the same concept of a thing. For example, the concept of happiness means something different to each individual because happiness comes in many different forms. For a star athlete, happiness may be winning; for a mother, happiness may be seeing her children do well. To ensure effective communications, critical thinkers identify the meaning they ascribe to the key concepts used in their arguments and determine if others in their group ascribe different meanings to those concepts.

Element 6—Assumptions. All thinking is based, in part, on assumptions. In this context, an assumption is a proposition accepted to be true without the availability of fact to support it. Assumptions are layered throughout a person’s thinking and are a necessary part of critical thinking. The availability of fact determines the amount of assumption an analyst must use in analysis. Critical thinkers clearly identify their assumptions and work to determine if they are justifiable.

Element 7—Implications and consequences. All thinking leads somewhere or has implications and consequences. Analysts should take the time to think through the implications and consequences that follow from their reasoning. They should search for negative as well as positive implications.

Element 8—Point of view. All thinking is performed from some point of view. To think critically, analysts must recognize a point of view, seek other points of view, and look at them fair-mindedly for their strengths and vulnerabilities.

By applying the eight elements of thought, analysts can develop a checklist for reasoning. Developing and using a checklist, as shown in table B-1, can help analysts focus their efforts to a specific problem and avoid wasting time on irrelevant issues or distractions.

AVOIDING ANALYTICAL PITFALLS

Critical thinking is a mental process that is subject to numerous influences. Intelligence analysts involved in analyzing complex situations and making conclusions are prone to the influences that shape and mold their view of the world and their ability to reason. These influences are referred to as analytical pitfalls. The elements of thought, intelligence standards, and intellectual traits assist analysts in recognizing these pitfalls in their analysis and the analysis performed by others. Logic fallacies and biases are two general categories of analytical pitfalls.

Fallacies of Omission

Fallacies of omission occur when an analyst leaves out necessary material in a conclusion or inference. Some fallacies of omission include oversimplification, composition, division, post hoc, false dilemma, hasty generalization, and special pleading:

Oversimplification is a generality that fails to adequately account for all the complex conditions bearing on a problem. Oversimplification results when one or more of the complex conditions pertaining to a certain situation is omitted and includes ignoring facts, using generalities, and/or applying an inadequately qualified generalization to a specific case.

Fallacy of composition is committed when a conclusion is drawn about a whole based on the features of parts of that whole when, in fact, no justification is provided for that conclusion.

Fallacy of division is committed when a person infers that what is true of a whole must also be true of the parts of that whole.

False dilemma (also known as black-and-white thinking) is a fallacy in which a person omits consideration of more than two alternatives when in fact there are more than two alternatives.

Hasty generalizations are conclusions drawn from samples that are too few or from samples that are not truly representative of the population

Fallacies of Assumption

Fallacies of assumption implicitly or explicitly involve assumptions that may or may not be true. Some fallacies of assumption include begging the question, stating hypotheses contrary to fact, and misusing analogies:

    • Begging the question (also known as circular reasoning) is a fallacy in which the conclusion occurs as one of the premises.
      • It is an attempt to support a statement by simply repeating the statement in different and stronger terms. For example, a particular group wants democracy. America is a democratic nation. Therefore, that group will accept American-style democracy.
      • When asked why the enemy was not pinned down by fire, the platoon leader replied, “Our suppressive fire was inadequate.” The fallacy in this response is that by definition suppressive fire pins down the enemy or is intended to pin him down. Since the platoon failed to pin down the enemy, the inadequacy of this fire was self-evident.
    • Stating hypotheses contrary to fact occurs when someone states decisively what would have happened had circumstances been different. Such fallacies involve assumptions that are either faulty or simply cannot be proven. For example, the statement, “If we had not supported Castro in his revolutionary days, Cuba would be democratic today” is contrary to fact. Besides being a gross oversimplification, the assumption made in the statement cannot be verified.
    • Misusing analogies occurs when one generalizes indiscriminately from analogy to real world. One method for weakening an analogous argument is by citing a counter-analogy. Analogies are strong tools that can impart understanding in a complex issue. In the absence of other evidence, intelligence analysts may reason from analogy. Such reasoning assumes that the characteristics and circumstances of the object or event being looked at are similar to the object or event in the analogy.

The strength of a conclusion drawn from similar situations is proportional to the degree of similarity between the situations. The danger in reasoning from analogy is assuming that because objects, events, or situations are alike in certain aspects, they are alike in all aspects. Conclusions drawn from analogies are inappropriately used when they are accepted as evidence of proof. Situations may often be similar in certain aspects, but not in others. A counter-analogy weakens the original analogy by citing other comparisons that can be made on the same basis.

BIASES

A subjective viewpoint, bias indicates a preconceived notion about someone or something. Biases generally have a detrimental impact on intelligence analysis because they obscure the true nature of the information. Intelligence analysts must be able to recognize cultural, organizational, personal, and cognitive biases and be aware of the potential influence they can have on judgment.

Cultural Bias

Americans see the world in a certain way. The inability to see things through the eyes of someone from another country or culture is cultural bias. Biases interfere with the analyst’s ability to think the way a threat commander might think or to give policymakers informed advice on the likely reaction of foreign governments to U.S. policy. Also known as mirror imaging, cultural bias attributes someone else’s intentions, actions, or reactions to the same kind of logic, cultural values, and thought processes as the individual analyzing the situation. Although cultural bias is difficult to avoid, the following measures can lessen its impact:

l Locate individuals who understand the culture:

  • Include them in the intelligence analysis process.
  • Ask their opinion about likely responses to friendly actions.
  • Take care when using their opinions since they may be subject to biases regarding ethnic groups or cultures in the region and their knowledge may be dated or inaccurate.

Locate regional experts, such as foreign and regional area officers, who have lived or traveled through the area and are somewhat conversant regarding the culture. Assess the quality of the information provided against the level of knowledge and experience the individual has for that culture or region.

Organizational Bias

Most organizations have specific policy goals or preconceived ideas. Analysis conducted within these organizations may not be as objective as the same type of analysis done outside the organization. Groupthink and best case are organizational biases that can significantly skew internal analysis.

Groupthink. This bias occurs when a judgment is unconsciously altered because of exposure to selective information and common viewpoints held among individuals. Involving people outside the organization in the analysis can help identify and correct this bias.

Best case. This bias occurs when an analyst presents good news or bad news in the most optimistic light. The judgment is deliberately altered to provide only the information the commander wants to hear. Analysts can avoid this bias by having the moral courage to tell the commander the whole story, good and bad.

 

Cognitive Bias

The intelligence analyst evaluates information from a variety of sources. The degree of reliability, completeness, and consistency varies from source to source and even from report to report. This variance often creates doubt about the reliability of some sources. Cognitive biases that affect the analyst are—

Vividness.Clearandconciseorvividinformationhasagreaterimpactonanalyticalthinkingthan abstract and vague information. A clear piece of information is held in higher regard than a vague piece of information that may be more accurate. Analysts must consider that an enemy may use deception to portray vivid facts, situations, and capabilities that they want the friendly intelligence effort to believe.

Absence of evidence. Lack of information is the analyst’s most common problem, especially in the tactical environment. Analysts must do their best with limited information and avoid holding back intelligence because it is inconclusive. To avoid this bias, the analyst should—

  • Realize that information will be missing.
  • Identify areas where information is lacking and consider alternative conclusions.
  • Adapt or adjust judgments as more information becomes available.
  • Consider whether a lack of information is normal in those areas or whether the absence of information itself is an indicator.

Oversensitivity to consistency. Consistent evidence is a major factor for confidence in the analyst’s judgment. Information may be consistent because it is appropriate, or it may be consistent because it is redundant, is from a small or biased sample, or is the result of the enemy’s deception efforts. When making judgments based on consistent evidence, the analyst must—

  • Be receptive to information that comes in from other sources regardless of whether it supports the hypothesis or not.
  • Be alert for circular reporting, which is intelligence already obtained by the unit that is then reformatted by other units and intelligence organizations, modified slightly, and disseminated back to the unit. This is a common problem; particularly in digital units, where large volumes of information are being processed. It helps to know, to the degree possible, the original source for all intelligence to ensure that a circular report is not used as evidence to confirm an intelligence estimate or conclusion.

Persistence on impressions. When evidence is received, there is a tendency to think of connections that explain the evidence. Impressions are based on these connections. Although the evidence eventually may be discredited, the connection remains and so do the impressions.

Dependency on memory. The ability to recall past events influences judgment concerning future events. Since memory is more readily available, it is easy to rely on memory instead of seeking new information to support analysis.

Acceptance of new intelligence. Often new intelligence is viewed subjectively; either valued as having more value or less value than current intelligence.

Appendix C
Analytic Standards and Analysis Validation

INTELLIGENCE COMMUNITY ANALYTIC STANDARDS

C-1. During intelligence analysis, the conclusions reached should also adhere to analytic standards, such as those established by the Director of National Intelligence in ICD 203. This directive establishes the analytic standards that govern the production and evaluation of national intelligence analysis to meet the highest standards of integrity and rigorous analytic thinking.

The following identify and describe the five ICD 203 Intelligence Community Analytic Standards, including the nine analytic tradecraft standards:

  • Objective: Analysts must perform their functions with objectivity and awareness of their own assumptions and reasoning. They must employ reasoning techniques and practical mechanisms that reveal and mitigate bias. Analysts should be alert to the influences of existing analytical positions or judgments and must consider alternative perspectives and contrary information. Analysis should not be unduly constrained by previous judgments when new developments indicate a modification is necessary.
  • Independent of political consideration: Analytical assessments must not be distorted by, nor shaped for, advocacy of a particular audience, agenda, or policy viewpoint. Analytical judgments must not be influenced by the force of preference for a particular policy.
  • Timely: Analysis must be disseminated in time for it to be actionable. Analytical elements must be continually aware of events of intelligence interest and of intelligence requirements and priorities in order to provide useful analysis at the right time.
  • Based on all available sources of intelligence information: Analysis should be informed by all relevant information available. Analytical elements should identify and address critical information gaps and work with collection managers and data providers to develop access and collection strategies.
  • Implement and exhibit the analytic tradecraft standards: See paragraphs C-3 through C-14.

ANALYSIS VALIDATION

C-2. Intelligence analysis and the resultant judgments are incomplete without the estimative language that provides both the probability that an event will occur and the confidence level of the analyst making this assessment. Analysts employ the analytic tradecraft standards to assess probabilities and confidence levels and the actions associated with analytical rigor to draw accurate conclusions.

ANALYTIC TRADECRAFT STANDARDS

C-3. Intelligence analysts exhibit and implement the nine analytic tradecraft standards, one of the five ICD 203 Intelligence Community Analytic Standards. Specifically, they—

  • Properly describe the quality and credibility of all underlying sources, information, and methodologies.
  • Properlyexpressandexplainuncertaintiesassociatedwithmajoranalyticaljudgments.
  • Properly distinguish between underlying intelligence information and analysts’ assumptions and judgments.
  • Incorporate analysis of alternatives.
  • Demonstrate customer relevance and address implications.
  • Use clear and logical argumentation.
  • Explain change to or consistency of analytical judgments.
  • Make accurate judgments and assessments.
  • Incorporate effective visual information where appropriate.

Properly Describe the Quality and Credibility of All Underlying Sources, Information, and Methodologies

C-4. Analytical products should include all underlying sources, information, and methodologies from which analytical judgments are based. Factors affecting source quality and credibility should be described using source descriptors in accordance with ICD 206, Sourcing Requirements for Disseminated Analytic Products. Such factors can include accuracy and completeness, possible denial and deception, age and continued currency of information, and technical elements of collection, as well as source access, validation, motivation, possible bias, or expertise. Source summary statements, described in ICD 206, should be used to provide a holistic assessment of the strengths or vulnerabilities in the source base and explain which sources are most important to key analytical judgments.

Properly Express and Explain Uncertainties Associated with Major Analytical Judgments

C-5. Analysts must properly express and explain uncertainties associated with any major analytical judgment. When briefing their analytical results, analysts, at a basic level, must be able to assess the likelihood of an event happening, expressed by using estimative language. Then, they must express their confidence level—high, moderate, or low—in that assessment. (See figure C-1.) For intelligence analysts to reach a high level of confidence in the accuracy of their analytical assessment, they must apply the actions of high analytical rigor found in table C-1 on page C-5.

Assessing the Likelihood of an Event Happening

C-6. Phrases (such as we judge, we assess, and we estimate) commonly used to convey analytical assessments and judgments, are not facts, proofs, or knowledge. Intelligence analysts use estimative language, shown in figure C-1, to convey their assessment of the probability or likelihood of an event and the level of confidence ascribed to the judgment.

Expressing Confidence in Assessments

C-7. Confidence levels express the strength of the assessment given the reasoning, methodologies, gaps, and assumptions; the number, quality, and diversity of sources; and the potential for deception.

 

 

Properly Distinguish Between Underlying Intelligence Information and Analysts’ Assumptions and Judgments

C-8. Analytical products should clearly distinguish statements that convey underlying intelligence information used in analysis from statements that convey assumptions or judgments. Assumptions are suppositions used to frame or support an argument; assumptions affect analytical interpretation of underlying intelligence information. Judgments are conclusions based on underlying intelligence information, analysis, and assumptions. Products should state assumptions explicitly when they serve as the linchpin of an argument or when they bridge key information gaps. Products should explain the implications for judgments if assumptions prove to be incorrect. As appropriate, products should also identify indicators that, if detected, would alter judgments.

Incorporate Analysis of Alternatives

C-9. Analysis of alternatives is the systematic evaluation of differing hypotheses to explain events or phenomena, explore near-term outcomes, and imagine possible futures to mitigate surprise and risk. Analytical products should identify and assess plausible alternative hypotheses. This is particularly important when major judgments must contend with significant uncertainties, or complexity, such as forecasting future trends, or when low probability events could produce high-impact results. In discussing alternatives, products should address factors such as associated assumptions, likelihood, or implications related to Army forces. Products should also identify indicators that, if detected, would affect the likelihood of identified alternatives.

Demonstrate Relevance and Address Implications

C-10. Analytical products should provide information and insight on issues relevant to the commanders and address the implications of the information and analysis they provide. Products should add value by addressing prospects, context, threats, or factors affecting opportunities for action.

Use Clear and Logical Argumentation

C-11. Analytical products should present a clear main analytical conclusion up front. Products containing multiple judgments should have a main analytical conclusion that is drawn collectively from those judgments. All analytical judgments should be effectively supported by relevant intelligence information and coherent reasoning. Products should be internally consistent and acknowledge significant supporting and contrary information affecting judgments.

Explain Change To or Consistency Of Analytical Judgments

C-12. Analysts should state how their major judgments on a topic are consistent with or represent a change from those in previously published analysis or represent initial coverage of a topic. Products need not be lengthy or detailed in explaining change or consistency. They should avoid using reused or unoriginal language and should make clear how new information or different reasoning led to the judgments expressed in them. Recurrent products should note any changes in judgments; absent changes, recurrent products need not confirm consistency with previous editions. Significant differences in analytical judgment, such as between two intelligence community analytical elements, should be fully considered and brought to the attention of customers.

Make Accurate Judgments and Assessments

C-13. Analytical products should apply expertise and logic to make the most accurate judgments and assessments possible, based on the information available and known information gaps. In doing so, analytical products should present all judgments that would be useful to commanders and should include difficult judgments in order to minimize the risk of being wrong. Inherent to the concept of accuracy is that the analytical conclusion that the analyst presents to the commander should be the one the analyst intended to send. Therefore, analytical products should express judgments as clearly and precisely as possible, reducing ambiguity by addressing the likelihood, timing, and nature of the outcome or development.

Incorporate Effective Visual Presentations When Feasible

C-14. Analysts should present intelligence in a visual format to clarify an analytical conclusion and to complement or enhance the presentation of intelligence and analysis. In particular, visual presentations should be used when information or concepts, such as spatial or temporal relationships, can be conveyed better in graphic form, such as tables, flow charts, and images coupled with written text. Visual presentations may range from a plain display of intelligence information to interactive displays for complex issues and analytical concepts. Visual presentations should always be clear and pertinent to the product’s subject. Analytical content in a visual format should also adhere to other analytic tradecraft standards.

ANALYTICAL RIGOR

C-15. Analytical rigor is the application of precise and exacting standards to better understand and draw conclusions based on careful consideration or investigation. There are eight primary action-metrics that lead to analytical rigor. When analysts combine these action-metrics with the intelligence analysis process, they can determine the analytical sufficiency of their conclusions.

Consider alternative hypotheses: Hypothesis exploration describes the extent to which multiple hypotheses were considered in explaining data.

Evaluate depth of research: Information search relates to the depth and breadth of the search process used in collecting data.

Validate information accuracy: Information validation details the levels at which information sources are corroborated and cross-validated.

Examine source bias: Stance analysis is the evaluation of data with the goal of identifying the stance or perspective of the source and placing it into a broader context of understanding.

Scrutinize strength of analysis: Sensitivity analysis considers the extent to which the analyst considers and understands the assumptions and limitations of their analysis.

Amalgamate information: Information synthesis refers to how far beyond simply collecting and listing data an analyst went in their process.

Incorporate expert input: Specialist collaboration describes the degree to which an analyst incorporates the perspectives of domain experts into their assessments.

Assess breadth of collaboration: Explanation critique is a different form of collaboration that captures how many different perspectives were incorporated in examining the primary hypotheses.

 

 

Appendix E

Intelligence Production

E-1. The fundamental requirement of intelligence analysis is providing timely, accurate, reliable, and predictive intelligence assessments about the threat and OE to the commander and staff. Therefore, intelligence production requires the dissemination of reports and presentations to support operations. These reports involve various updates to IPB and collection management templates and matrices.

INTELLIGENCE PRODUCTS

E-2. The intelligence products described in this appendix are organized based on the following:

  • Threat and OE Analysis reports.
  • Current intelligence reports.
  • Supplemental analytical reports.
  • Analytical assessments that support orders and briefings.

THREAT AND OPERATIONAL ENVIRONMENT ANALYSIS REPORTS

E-3. The intelligence estimate, intelligence running estimate, and Annex B (Intelligence) to the operation order (OPORD) each maintain an analytical assessment of threat forces’ strengths, vulnerabilities, tactics, composition, disposition, training, equipment, and personnel, as well as other OE considerations before, during, and after operations (revision of the original estimate).

Intelligence Estimate

E-5. An intelligence estimate is the appraisal, expressed in writing or orally, of available intelligence relating to a specific situation or condition with a view of determining the courses of action open to the enemy or adversary and the order of probability of their adoption (JP 2-0). Since intelligence analysts will have performed IPB to support the commander’s MDMP effort and likely participated in a thorough staff war- gaming effort to validate friendly and threat COAs, the intelligence estimate is a version of the staff planning effort and part of the larger OPORD.

E-6. The intelligence staff develops and maintains the intelligence estimate to disseminate information and intelligence that define the threat COA along with the requirements to determine the adoption of a COA. The assessments in the intelligence estimate of COA development, including threat strengths, compositions, dispositions, and vulnerabilities, form the basis for future intelligence analytical requirements.

Intelligence Running Estimate

E-7. Effective plans and successful execution hinge on accurate and current running estimates. A running estimate is the continuous assessment of the current situation used to determine if the current operation is proceeding according to the commander’s intent and if the planned future operations are supportable (ADP 5-0). Failure to maintain accurate running estimates may lead to errors or omissions that result in flawed plans or bad decisions during execution. Each staff element is responsible for updating its portion of the running estimate as the operation unfolds.

E-8. The intelligence running estimate enables the intelligence operational officer/noncommissioned officer to continually update the commander on the mission execution from the intelligence perspective. Unlike other intelligence products, the intelligence running estimate combines both the analysis of friendly and allied forces’ intelligence activities to support current operations.

E-9. Figure E-3 illustrates an example intelligence running estimate. The analysis focuses on current threat activities, strengths, and assessed intent/objectives to provide the commander and associated reporting requirements with a consistent summary of the threat. As the operation progresses, the collaborative effort may involve further analysis of the terrain and weather, monitoring the flow of displaced persons on the battlefield as inhibitors to friendly force maneuverability, and, when necessary, additional security requirements.

CURRENT INTELLIGENCE REPORTS

E-10. Current intelligence reports address the current reporting of threat activities on the battlefield. The goal is to provide the commander with predictive analysis of the threat’s intentions for future operations based on what conditions occurred by either threat or friendly actions during the past reporting period. This requires extensive intelligence analytical rigor in assessing threat activities and vigilance to the friendly scheme of maneuver.

Intelligence Summary

E-11. The intelligence summary (also known as INTSUM) is a periodic publication of the G-2/S-2 assessment of the threat situation on the battlefield. It provides the commander with context to support decision making based on the G-2/S-2’s interpretation and conclusions about the threat, terrain and weather, and civil considerations over a designated period of time. This is typically identified in unit SOPs and in associated OPORD reporting instructions. The intelligence summary also provides COA updates based on the current situation. Unit SOPs designate the command’s format for preparing and disseminating an intelligence summary. At a minimum, the intelligence summary should contain the paragraphs and subparagraphs as shown in figure E-4.

Graphic Intelligence Summary

E-12. The graphic intelligence summary (also known as GRINTSUM) can be included with the intelligence summary or disseminated as a separate analytical report. It is a graphical representation of the intelligence summary, with emphasis on the threat forces location compared to friendly forces’ location. The graphic intelligence summary also includes current PIRs and a summary of threat activities. (See figure E-5 on page E-8.) Since the emphasis of a graphic intelligence summary is graphical, most of the written details should be captured in the intelligence summary or an accompanying report.

E-13. There are challenges with using the graphic intelligence summary:

  • The size of the graphical portrayal of the OE is often driven by critical facts about the threat that must be shown. Therefore, it is advisable to begin with a general OE map and zoom in on key areas. Ensure the written assessment includes the necessary details by either referencing the accompanying intelligence summary or other report or including the details in the Notes page of a PowerPoint slide.
  • The file size must follow the commander’s guidance or unit SOPs. Typically, the graphic intelligence summary is one or two graphics (PowerPoint slides) and limited in bit size for ease in emailing and posting on unit web portals.

Intelligence Report

E-14. The intelligence report (also known as INTREP) demonstrates the importance of intelligence analysis. It is a standardized report, typically one page, used to establish a near current-threat operational standpoint. It points to the threat’s responses to friendly actions and the battlefield environment. Intelligence reports may also highlight time-sensitive critical activities that require corroboration with other units and higher echelons.

SUPPLEMENTAL ANALYTICAL REPORTS

E-15. Supplemental analytical reports, such as the periodic intelligence and supplementary intelligence reports, do not fall into a predetermined dissemination timeline. Periodic intelligence reports and supplementary intelligence reports follow a similar format, designated by a senior operational intelligence officer and staff. These reports allow for expanded analytical efforts, providing assessments of a technical or historical comparative nature. However, once the analysis begins to shape an assessment of threat intentions or capabilities, the urgency for releasing these analytical reports may increase.

Periodic Intelligence Report

E-16. The periodic intelligence report (also known as PERINTREP) is a summary of the intelligence situation that covers a longer period than the intelligence summary. (See figure E-7.) It is a means of disseminating detailed information and intelligence, including threat losses, morale, assessed strength, tactics, equipment, and combat effectiveness.

E-17. The periodic intelligence report includes but is not limited to sketches, overlays, marked maps or graphics, and annexes, providing a written and visual representation of the information and/or intelligence. The report is disseminated through the most suitable means based on its volume and urgency.

Supplementary Intelligence Report

E-18. The supplementary intelligence report (also known as SUPINTREP) is a comprehensive analysis of one or more specific subjects, typically the result of a request or to support a particular operation. This report is formatted similarly to a periodic intelligence report, but it addresses analysis over an extended period of time. Typically, the detailed analysis is from an accumulation of national assessments of threat actions, tactics, and doctrine identified during combat—normally a post-combat review. Maximum use of sketches, photos, overlays, marked maps or graphics, and annexes provides a written and visual representation of the information and/or intelligence. The supplementary intelligence report is disseminated based on the intelligence it contains and the commander’s requirements.

E-19. Specific reports may pertain to but are not limited to the following:

  • Technical intelligence summary includes detailed analysis of captured military equipment, communications devices, and can include post-explosive reports.
  • Enemy prisoner of war interrogation reports from tactical to national sources.
  • Translation of captured enemy documents (DOMEX).
  • Cyberspace security updates.
    Medical or environmental hazards.
    Changes to civil political and other civilian authorities.

ANALYTICAL ASSESSMENTS THAT SUPPORT ORDERS AND BRIEFINGS

E-20. In addition to designated intelligence production requirements, the intelligence staff also provides analytical assessments to orders, briefings, and staff events, as described in FM 6-0. (See table E-1.) Normally, the intelligence analysis identifies the current threat situation and assessed threat capabilities (often tied to a threat COA); the same information exists in the intelligence summary, intelligence report, and intelligence running estimate. For intelligence analysts, the commander, and often the key staff officer, defines the requirement and may provide additional detailed requirements in unit SOPs.

Appendix F
Intelligence Support to Targeting

F-1. The targeting effort is cyclical and closely tied to combat assessments. Targeting is a complex and multidiscipline effort that requires coordinated interaction among many command and staff elements. The functional element necessary for effective collaboration is represented in the targeting working group. Intelligence analysts perform a number of critical tasks as part of this working group and the overall targeting effort. (See ATP 3-60 for more information on targeting.)

TARGETING GUIDELINES

F-2. The threat presents a large number of targets that must be engaged with available information collection assets and attack assets. The targeting process assesses the benefits and the costs of engaging various targets in order to achieve the desired end state. Adhering to the five targeting guidelines should increase the probability of creating desired effects while diminishing undesired or adverse collateral effects:

  • Targeting focuses on achieving the commander’s objectives.
  • Targeting seeks to create specific desired effects through lethal and nonlethal actions.
  • Targetingdirectslethalandnonlethalactionstocreatedesiredeffects.
  • Targeting is a fundamental task of the fires warfighting function that encompasses many disciplines and requires participation from many staff elements and components.
  • Targeting creates effects systematically.

TARGETING GUIDANCE AND CATEGORIES

F-3. The commander’s targeting guidance must be articulated clearly and simply to enhance understanding. The guidance must be clearly understood by all warfighting functions, especially by the intelligence staff. Targeting guidance must focus on essential threat capabilities and functions that interfere with the achievement of friendly objectives.

F-4. The commander’s targeting guidance describes the desired effects to be generated by fires, physical attack, cyberspace electromagnetic activities, and other information-related capabilities against threat operations. Targeting enables the commander, through various lethal and nonlethal capabilities, the ability to produce the desired effects. Capabilities associated with one desired effect may also contribute to other effects. For example, delay can result from disrupting, diverting, or destroying threat capabilities or targets. Intelligence personnel should understand and only use the 14 terms used in ATP 3-60 to describe desired effects:

  • Deceive.
  • Defeat.
  • Degrade.
  • Delay.
  • Deny.
  • Destroy.
  • Destruction.
  • Disrupt.
  • Divert.
  • Exploitation.
  • Interdict.
  • Neutralize.
  • Neutralization.
  • Suppress.

F-5. To effectively target the threat, friendly forces use deliberate and dynamic targeting. Deliberate targeting prosecutes planned targets, while dynamic targeting prosecutes targets of opportunity and changes to planned targets. During both categories of targeting, friendly forces may prosecute normal, time-sensitive, and sensitive targets.

TARGETING METHODOLOGY

F-6. The targeting methodology organizes the efforts of the commander and staff to accomplish key targeting requirements. This methodology is referred to as the decide, detect, deliver, and assess methodology. The methodology assists the commander and staff in deciding which targets must be acquired and engaged and in developing options to engage those targets. Options can be lethal or nonlethal, organic, or supporting assets at all levels as listed—maneuver, electronic attack, psychological, attack aircraft, surface-to-surface fires, air to surface, other information-related capabilities, or a combination of these operations.

F-7. The decide, detect, deliver, and assess methodology is an integral part of the MDMP. During the MDMP, targeting becomes more focused based on the commander’s guidance and intent. A very important part of targeting is identifying potential fratricide situations and the necessary coordination measures to positively manage and control the attack of targets. These measures are incorporated in the coordinating instructions and appropriate annexes of the operation plan or OPORD.

DECIDE

F-8. The decide function of the targeting methodology provides the overall focus and sets priorities for information collection and attack planning. It is the most important targeting function and requires close interaction between the intelligence, plans, operations, and fires cells, and the servicing judge advocate. This step draws heavily on the staff’s knowledge of the threat, a detailed IPB (which occurs simultaneously), and a continuous assessment of the situation. Targeting priorities are addressed for each phase or critical event of an operation. The decisions made are reflected in visual products as follows:

  • HPT list. The high-payoff target list is a prioritized list of high-payoff targets by phase of the operation (FM 3-09). A high-payoff target is a target whose loss to the enemy will significantly contribute to the success of the friendly course of action (JP 3-60). An HPT is an HVT that must be acquired and successfully engaged for the success of the friendly commander’s mission. A high-value target is a target the enemy commander requires for the successful completion of the mission (JP 3-60).
  • Information collection plan. The information collection plan focuses the collection effort to answer PIRs and other significant requirements. If an HPT is not designated as a PIR, it must still be supported by collection. The information collection plan usually supports the acquisition of more HPTs. (See ATP 2-01.)
  • Target selection standard matrices. These matrices address accuracy or other specific criteria requiring compliance before targets can be attacked.
  • Attack guidance matrix. The attack guidance matrix is a targeting product approved by the commander, which addresses the how and when targets are engaged and the desired effects (ATP 3-60).

Intelligence Preparation of the Battlefield

F-9. In the same manner that targeting involves coordinated interactions among the commander and entire staff, IPB involves the active participation of the entire staff. The interactions between intelligence personnel and fires personnel are important during the IPB process. (For more information on staff collaboration during IPB, see ATP 2-01.3.) Many of the IPB products significantly influence or are brought forward into the targeting effort. These products assist in target value analysis and war gaming. Some examples of important IPB products include—

  • The modified combined obstacle overlay.
  • Civil considerations (ASCOPE) products.
  • Weather effects products.
  • Threat models with recommended HVTs.
  • Situation templates with threat time phase lines.
  • Event templates and matrices, which have named areas of interest (NAIs).

 

Target Value Analysis and War Gaming

F-10. From the coordination and work performed during the IPB effort, the targeting working group, especially the intelligence staff and targeting officer, perform target value analysis that yields HVT lists (which may include high-value individual lists) for a specific threat COA. Target value analysis continues the detailed analysis of relevant threat factors, including doctrine, tactics, equipment, capabilities, and expected actions for a specific threat COA. The target value analysis process identifies HVT sets associated with critical threat functions.

F-11. Target spreadsheets (or target folders, as appropriate) identify an HVT compared to a type of operation. Target spreadsheets give detailed targeting information for each HVT, which is used during IPB and war gaming. The intelligence staff and targeting officer collaborate to develop and maintain the target spreadsheet.

Target Development

F-30. Target development is the systematic examination of potential targets and their components, individual targets, and even elements of targets to determine the necessary type and duration of the action that must be exerted on each target to create an effect that is consistent with the commander’s specific objective (JP 3-60). This analysis includes deconfliction, aim point recommendations, target materials production, and collateral damage estimation. Target development generally results in products such as target folders, information collection requirements, and target briefs. Detailed analysis should characterize the function, criticality, and vulnerabilities of each target, linking targets back to targeting objectives and measures of effectiveness. Target development includes target vetting and target validation.

Note. Although target development is discussed under detect in ATP 3-60, for this publication, it is more useful to discuss this step under decide.

Target Vetting

F-31. Vetting is a part of target development that assesses the accuracy of the supporting intelligence to targeting (JP 3-60). Vetting establishes a reasonable level of confidence in a target’s designated functional characterization. The BCT intelligence cell accomplishes this by reviewing all target data for accuracy. At a minimum, the assessment includes at a review of target identification, significance, collateral damage estimation, geospatial or location issues, impact on the threat or friendly forces, impact of not conducting operations on the target, environmental sensitivity, and intelligence gain or loss concerns. Vetting does not include an assessment of compliance with the law of war or rules of engagement.

Target Validation

F-32. Validation is a part of target development that ensures all candidate targets meet the objectives and criteria outlined in the commander’s guidance and ensures compliance with the law of war and rules of engagement (JP 3-60). Targets are validated against multinational concerns during some operations. Target vetting and validation should recur as new intelligence is collected or the situation changes. Target validation is performed by targeting personnel, in coordination with planners, servicing judge advocate, and other experts, as required. (See ATP 3-60 for a list of useful target validation questions.)

DETECT

F-33. As much as possible, the procedures and supporting products that are used during the detect function should be developed during the decide function. However, the targeting team must periodically update decisions made during the decide function concerning IPB products, HPT lists, target synchronization matrices, attack guidance matrices, the information collection plan, and the OPORD. Updating these products can occur throughout the detect, deliver, and assess functions of the targeting methodology.

F-34. Based on targeting priorities, the targeting working group establishes target detection and tracking priorities. Target tracking is inherent in target detection. The fires cell provides the intelligence cell with the degree of accuracy required and dwell time for a target to be eligible for engagement. Then the collection manager can match those requirements to the target location error of the information collection asset.

DELIVER

F-39. The deliver function executes the target attack guidance and supports the commander’s plan once HPTs have been located and identified. Target engagement requires several decisions and actions, which are grouped into tactical and technical decisions.

Tactical Decisions

F-40. Tactical decisions are made based on the analysis that was accomplished during target development. Tactical decisions reconfirm or determine the—

  • Time of the engagement.
  • Desired effect, degree of damage, or both.
  • Delivery system to be used through weaponeering and collateral damage estimation.

Time of Engagement and Desired Effect

F-41. Time of engagement and the desired effect that will be achieved on the target are critical considerations. The commander needs to weigh the operational risk of tactical patience balanced against the immediacy of the planned action in the attack guidance matrix.

Delivery System

F-42. This step builds on the analysis performed during target development and includes weaponeering and collateral damage estimation. If the target was already planned, then this step starts with determining if the delivery means is available and still the best weapon or means for the engagement. When the target is a target of opportunity then some analysis is necessary to work through completion of a quick target development.

F-43. Weaponeering is the process of determining the specific means required to create a desired effect on a given target (JP 3-60). As much as possible, weaponeering should be planned during the plan function during target development. Weaponeering considers munitions delivery error and accuracy, damage mechanisms and criteria, probability of kill, weapon reliability, and trajectory.

Technical Decisions

F-45. Once the tactical decisions have been made, the G-3/S-3 directs the appropriate unit to engage the target. The fires cell provides the asset or system manager with selected time of engagement, desired effects, and any special restraints or requests for particular munitions types.

ASSESS

F-47. The assess function of the targeting methodology is nested in the overall continuous assessment of operations within the operations process. Assessment is directly tied to the commander’s decisions throughout the planning, preparation, and execution of operations. Planning for assessment identifies key aspects of the operation that the commander directs be closely monitored, and where the commander wants to make the decisions. Commanders and staffs consider assessment ways, means, and measures. ADP 5-0 discusses overall operational assessment, including measures of effectiveness, measures of performance, and indicators. Intelligence plays a major role in operational assessment.

F-48. Intelligence also plays a major role in assessment as a part of the targeting methodology. The assess function of the targeting methodology is performed through combat assessment. Combat assessment is the determination of the effectiveness of force employment during military operations (JP 3-60). Combat assessment comprises three elements:

  • Munitions effectiveness assessment.
  • Reengagement recommendation.

F-49. Together, BDA and munitions effectiveness assessment provide the commander and staff with an assessment of the effects achieved against targets and whether the targeting guidance was met. Based on this information, the staff can recommend reengagement when necessary.

Battle Damage Assessment

F-50. Battle damage assessment is the estimate of damage composed of physical and functional damage assessment, as well as target system assessment, resulting from the application of lethal or nonlethal military force (JP 3-0).

Producing BDA is primarily an intelligence cell responsibility but requires coordination across the staff, similarly to IPB and most steps of intelligence support to targeting. BDA requirements should be captured as PIRs or as similar high-priority information collection requirements. BDA provides—

  • Commanders with an assessment of the target’s mission effectiveness, overall lstatus, capabilities (whether full or partial), and likely reactions or any change to their intent. This assists the staff in determining if the engagement is meeting the targeting guidance and is critical to any recommendation to reengage the target.
  • Important analysis used to conduct quick target development and decide on the allocation or redirection of assets or weapon systems for any reengagement.

F-51. BDA has three components (see table F-1):

Physical damage assessment. The staff estimates the extent of physical damage to a target based on observed or interpreted damage. It is a post-attack target analysis coordinated among all units.

Functional damage assessment. All-source intelligence analysts assess the remaining functional or operational capability of the threat. The assessment focuses on measurable effects and estimates the threat’s ability to reorganize or find alternative means to continue operations. The targeting cell and staff integrate analysis with external sources to determine if the commander’s intent for fires has been met.

Target system assessment. The staff conducts a broad assessment of the overall impact and effectiveness of all types of engagement against an entire target system capability (for example, threat air defense artillery systems). All-source intelligence analysts assist the staff in assessing the threat’s combat effectiveness or major threat subordinate elements or capabilities needed to accomplish a threat mission. This is a relatively permanent assessment (compared to functional damage assessment) that can be used for more than one mission.

F-52. BDA requirements for specific HPTs are determined during the decide function. Often information collection assets can answer either target development and target acquisition requirements or BDA, but not both types of requirements. An asset used for BDA may be unavailable for target development and target acquisition requirements. The intelligence cell receives, processes, and disseminates results that are analyzed based on desired effects to the targeting team attack.

F-53.  The targeting team should consider the following BDA principles:

  • BDA should measure what is important to commanders, not make important what is easily measurable.
  • BDA should be objective. When receiving a BDA product from another echelon, the conclusions should be verified (time permitting) to identify and resolve discrepancies among BDA analysts at different headquarters.
  • The degree of reliability and credibility of BDA relies largely on information collection assets. The quantity and quality of information collection assets influence whether the assessment is highly reliable (concrete, quantifiable, and precise) or has low reliability (estimation). Effective BDA uses more than one source to verify each conclusion.

F-54.  BDA is more than determining the number of casualties or the amount of equipment destroyed. The targeting team can use other information such as—

  • Whether the targets are moving or hardening in response to the attack.
  • Changes in deception efforts and techniques.
  • Whether the damage achieved is affecting the threat’s combat effectiveness as expected.

Notes from Plan Requirements and Assess Collection ATP 2-01

Preface

ATP 2-01 establishes doctrine for the specific tasks under planning requirements and assessing collection. It expands on the principles in FM 3-55. ATP 2-01 should be used in conjunction with FM 3-55 and with FM 2-0. Readers should be familiar with fundamental doctrine contained in ADPs 2-0, 3-0, 5-0, and 6-0 and ADRPs 2-0, 3-0, 5-0, and 6-0.

This publication’s primary audience is the intelligence and operations staffs within the Army’s corps, divisions, brigade combat teams, and maneuver battalions. These staffs collaborate to develop the information collection plan. Commanders also must understand the importance of developing requirements and assessing collection as part of information collection planning and the operations process. Commanders and staffs of Army headquarters serving as a joint task force or multinational headquarters should refer joint doctrine contained in JP 2-01 or appropriate multinational doctrine. ATP 2-01 forms the foundation for instruction on planning requirements and assessing collection within the Army’s educational system.

Introduction

ATP 2-01 establishes doctrine for the specific functions under planning requirements and assessing collection. It expands on the principles in FM 3-55. ATP 2-01 should be used in conjunction with FM 3-55 and with FM 2-0. It outlines the preparation of planning requirements tools during the conduct (planning, preparation, execution, and assessment) of operations.

This publication provides details on the four continuing functions of planning requirements and assessing collection. It includes techniques for developing planning requirements tools and keeping them current throughout an operation. It addresses factors to consider when supporting offensive, defensive, and stability tasks. It also discusses considerations when operating in urban and nontemperate environments.

Although the discussions and descriptions in this manual may seem linear, planning requirements and assessing collection is a dynamic, continuous, and interactive process requiring constant interaction between the commander and staff. Depending on the mission, time available, ongoing operations, and standard operating procedures (SOPs), units may develop techniques for abbreviated information collection planning to meet the commander’s needs. The information presented is descriptive, not prescriptive or restrictive. However, it describes the optimal process. This manual complies with Doctrine 2015 guidelines.

 

PART ONE

Fundamentals

Chapter 1 Relationships

INFORMATION COLLECTION AND THE INTEGRATING TASKS

1-1. This chapter provides basic information regarding planning requirements and assessing collection. It starts with a brief discussion of information collection and its tasks, of which one is planning requirements and assessing collection. Then it discusses planning requirements and assessing collection across the echelons and the vital role of the commander and staff. Finally, it discusses the linkage between planning requirements and assessing collection, the MDMP, IPB, and targeting, all of which are executed to support current and future operations.

INFORMATION COLLECTION

1-2. The Army executes ISR (Intelligence, Surveillance, and Reconnaissance) through the operations and intelligence processes (with an emphasis on intelligence analysis and leveraging the larger intelligence enterprise) and information collection. Information collection is an activity that synchronizes and integrates the planning and employment of sensors and assets as well as the processing, exploitation, and dissemination systems in direct support of current and future operations

FM 3-55 describes an information collection capability as any human or automated sensor, asset, or processing, exploitation, and dissemination (PED) system that can be directed to collect information that enables better decisionmaking, expands understanding of the operational environment, and supports warfighting functions in decisive action.

INFORMATION COLLECTION TASKS

1-3. Information collection involves the acquisition of information and the provision of this information to processing elements and consists of the following tasks:

  • Plan requirements and assess collection.
  • Task and direct collection.
  • Execute collection.

PLAN REQUIREMENTS AND ASSESS COLLECTION

1-4. Plan requirements and assess collection is the task of analyzing requirements, evaluating available assets (internal and external), recommending to the operations staff taskings for information collection assets, submitting requests for information for adjacent and higher collection support, and assessing the effectiveness of the information collection plan. It is a commander-driven, coordinated staff effort led by the G-2/S-2. The continuous functions of planning requirements and assessing collection identify the best way to satisfy the requirements of the supported commander and staff. These functions are not necessarily sequential.

 

TASK AND DIRECT COLLECTION

1-5. The G-3/S-3 (based on recommendations from the staff) tasks, directs, and, when necessary, retasks the information collection assets. Tasking and directing of limited information collection assets is vital to their control and effective use. Staffs accomplish tasking information collection by issuing warning orders, fragmentary orders, and operation orders. They accomplish directing information collection assets by continuously monitoring the operation. Staffs conduct retasking to refine, update, or create new requirements.

EXECUTE COLLECTION

1-6. Executing collection focuses on requirements tied to the execution of tactical missions (normally reconnaissance, surveillance, security operations, and intelligence operations).

Information acquired during collection activities about the threat and the area of interest is provided to intelligence processing and exploitation elements. (For intelligence purposes, exploitation is defined as taking full advantage of any information that has come to hand for tactical, operational, or strategic purposes.

Typically, collection activities begin soon after receipt of mission and continue throughout preparation for and execution of the operation. They do not cease at the conclusion of the mission but continue as required. This allows the commander to focus combat power, execute current operations, and prepare for future operations simultaneously.

1-7. To provide effective support to execution, planning requirements and assessing collection must be linked to planned and ongoing operational activities. Plans and orders direct and coordinate information collection by providing information collection tasks based on validated requirements essential for mission accomplishment. Plans and orders help allocate scarce information collection assets effectively and efficiently. The intelligence staff must collaborate with higher, lower, and adjacent intelligence staffs to ensure the effectiveness of planning requirements and assessing collection.

COLLABORATION ACROSS ECHELONS

1-8. Planning requirements and assessing collection is integrated and layered across echelons. It is integrated with all other activities, systems, efforts, and capabilities associated with unified land operations to provide the information required to create intelligence. Integration occurs vertically and horizontally, with unified action partners and throughout the operations process. (See appendix A.) It also requires the intelligence staff to leverage the intelligence enterprise. (See ADRP 2-0.)

1-9. Requirements for information collection are arranged vertically and horizontally using a layered approach. Layering ensures the optimal use of limited information collection assets within a unit’s task organization. Layering allows for mutual supporting activities to share requirements. Sharing requirements across echelons helps to support commanders at all levels.

ROLES OF THE COMMANDER AND STAFF

1-10. Commanders drive information collection activities through their choice of critical information requirements and through mission command. Commanders provide planning guidance with their initial intent statement. Planning guidance conveys the essence of the commander’s visualization.

1-11. Effective planning requirements and assessing collection focuses information collection activities on obtaining the information required by commanders and staffs to influence decisions and operations. Planning requirements and assessing collection—

  • Includes commander and staff efforts to synchronize and integrate information collection tasks throughout the operations process.
  • Supports the commander’s situational understanding and visualization of the operation by—
    • Identifying information gaps.
    • Coordinating assets and resources against requirements for information to fill these gaps.
    • Assessing the collected information and intelligence to inform the commander’s decisions.
  • Supports the staff during all operations process activities, integrating processes, and continuing activities (for example, during IPB and the MDMP, as well as the targeting, operations, and intelligence processes).

1-12. The direct result of the intelligence and operations staffs’ efforts is a coordinated information collection plan. The information collection plan supports the operation with the necessary information collection assets and the required PED enablers to support collection and decisionmaking. As information and intelligence are assessed and refinements to the plan are made during execution, the operations staff issues fragmentary orders to retask or assign new missions to information collection assets.

ARMY PROCESSES

1-13. In addition to its relationship to information collection, planning requirements and assessing collection relates to each of the Army’s integrating processes and continuing activities, primarily to the MDMP, IPB and targeting process.

RELATIONSHIP WITH THE MILITARY DECISIONMAKING PROCESS

1-14. During mission analysis, the staff develops a list of initial information requirements. (See FM 6-0.)

These CCIRs identify information critical for planning. They usually result in information collection missions executed while planning for the overall operation is underway. Commanders decide what information is critical based on their experience, the mission, the higher commander’s specified and implied intent, and the input from the entire staff.

RELATIONSHIP WITH INTELLIGENCE PREPARATION OF THE BATTLEFIELD

1-17. Planning requirements and assessing collection relies on the results of IPB. The staff’s completion of IPB provides an analysis of the operational environment and the options it presents to friendly and threat forces. It also provides information required to plan information collection activities, such as—

  • Characteristics of the area of interest that will influence friendly and threat operations (including civil considerations).
  • Enemy event templates, including decision points and matrices critical to information collection planning.
  • Information collection assets’ sensitivities to weather and the effects of weather on planned or potential operations.
  • Threat characteristics, doctrine, tactics, techniques, and behavior.
  • Possible and likely threat courses of action.
  • High-value targets. s

RELATIONSHIP WITH TARGETING

1-19. The targeting process produces requirements that are incorporated into planning requirement tools and the unit’s information collection plan. The tools and plan contain tasks for target development, target detection, and combat assessment that support the scheme of fires.

1-20. To effectively target the threat, the staff develops named areas of interest (NAIs) and targeted areas of interest (TAIs). The staff also develops a high-value target list that can include geographic NAIs or TAIs as well as organizations, networks, or individuals identified as key or critical nodes. Targeting requirements must support the commander’s objectives and intent. In certain circumstances, some requirements may not be focused on a certain geographic area.

Chapter 2
Inputs and Functions

ROLES OF THE COMMANDER AND STAFF

2-1. The commander and staff interact to provide input to planning requirements and assessing collection throughout the overall operation. Based on this input, the staff performs the planning requirements and assessing functions.

This chapter discusses how the commander provides the staff with inputs necessary to perform planning requirements and assessing collection. It then describes how the staff, using the commander’s inputs, develops their respective running estimates, requests for information, and requirements. Finally, it outlines the functions of planning requirements and assessing collection, specifically why each is important and their successful results.

COMMANDER AND STAFF INPUT

2-2. The commander is the most important participant in planning requirements and assessing collection. The initial commander’s intent, planning guidance, and CCIRs form the foundation of the information collection plan and the basis for assessing its execution. During planning and preparation, the staff, primarily the operations and intelligence working group, develops the information collection plan and the staff products required to execute it. During execution, they oversee execution of the plan, keeping the staff products current and using them to keep information collection efforts synchronized with the overall operation. The staff updates planning requirements as operations unfold and modify the plan as necessary to satisfy new information requirements that emerge.

COMMANDER INPUT

2-3. During planning, the commander’s visualization provides the basis for developing the order, including the information collection plan. Commanders and staffs continuously assess the progress of operations toward the desired end state.

2-4. When providing guidance, commanders consider that military intelligence collection assets are distinct from other Army information collection capabilities. The distinction is required because intelligence collection is enabled by and must comply with all applicable U.S. laws and policy.

2-5. After commanders visualize an operation, they communicate their visualization to their staffs and subordinates. Through collaboration and dialog, commanders ensure subordinates understand the visualization well enough to begin planning. As it pertains to information collection activities, commanders express their initial visualization in terms of—

  • Initial commander’s intent.
  • Planning guidance, including an initial concept of operations.

Initial Commander’s Intent

2-6. The initial commander’s intent links the operation’s purpose with the conditions that define the desired end state. The staff uses the initial commander’s intent statement to develop and refine requirements and assess the information collection plan throughout the operation. Usually, the initial intent statement evolves as planning progresses and more information becomes available. The information collection plan evolves concurrently.

Planning Guidance

2-7. Commanders provide planning guidance with their initial intent statement. Planning guidance conveys the essence of the commander’s visualization. Effective planning guidance is essentially an initial concept of operations that prioritizes the information collection activities. Planning guidance—

  • Reflects how the commander sees the operation unfolding.
  • Broadly describes when, where, and how the commander intends to employ combat power to accomplish the mission within the higher commander’s intent.
  • For planning requirements, provides the staff information to begin the steps within the planning activity of the operations process, that is, to develop an initial information collection plan, which is refined into the final plan that is incorporated into the unit order.

Requirements

2-8. Commanders base their initial information requirements on the critical gaps identified during IPB in the mission analysis step of the MDMP. Refined and updated requirements result from staff wargaming and the commander’s selection of a particular friendly course of action that becomes the concept of operations. Commanders drive planning requirements and assessing collection through their choice of critical information requirements and through mission command throughout the operations process.

2-9. For requirements management, there are two types of requirements that result from planning requirements and assessing collection: priority intelligence requirements (PIRs) that are part of the CCIRs, and information requirements. PIRs and information requirements may focus on threat units or on capabilities the threat requires to complete missions and tasks. Each requirement is further refined into discrete pieces of information that together answer that requirement. These pieces are referred to as indicators and specific information requirements (SIRs). The indicators and SIRs are used to develop the information collection plan.

 

Information Requirements

2-10. An information requirement is any information element the commander and staff require to successfully conduct operations. They include all elements necessary to address the mission variables (mission, enemy, terrain and weather, troops and support available, time available, and civil considerations [also called METT-TC]). For the purposes of the intelligence warfighting function, validated information collection plan requirements are requirements that, when answered, will fill a gap in knowledge and understanding of the area of operations (AO) and the area of interest.

 

Commander’s Critical Information Requirements

2-11. A commander’s critical information requirement is an information requirement identified by the commander as being critical to facilitating timely decisionmaking (JP 3-0). The two CCIR categories are friendly force information requirements and PIRs. (See figure 2-3.) A CCIR directly influences decisionmaking and facilitates the successful execution of military operations. Commanders decide whether to designate an information requirement as a CCIR based on likely decisions and their visualization of the course of the operation. A CCIR may support more than one decision. During planning, staffs recommend information requirements for commanders to designate as CCIRs. During preparation and execution, they recommend changes to CCIRs based on assessment. A CCIR is—

  • Specified by a commander for a specific operation.
  • Applicable only to the commander who specifies it.
  • Situation-dependent—directly linked to a current or future mission.
  • Focused on predictable events or activities.
  • Time-sensitive—CCIR answers are reported to the commander immediately by any means available.

 

2-12. Priority Intelligence Requirements. A priority intelligence requirement is an intelligence requirement, stated as a priority for intelligence support, that the commander and staff need to understand the adversary or other aspects of the operational environment (JP 2-01). PIRs identify information about the enemy, terrain and weather, and civil considerations that the commander considers most important. The intelligence staff manages PIRs for the commander. Commanders limit the number of PIRs to focus the efforts of limited information collection assets. This helps staffs and subordinates identify information the commander needs immediately. A good staff expertly distills that information, identifying answers to PIRs and disseminating them to the commander immediately.

2-13. Friendly Force Information Requirements. A friendly force information requirement is information the commander and staff need to understand the status of friendly force and supporting capabilities (JP 3-0). Friendly force information requirements identify the information the commander considers most important about the mission, troops and support available, and time available for friendly forces. In coordination with the staff, the G-3/S-3 manages friendly force information requirements for the commander.

STAFF INPUT

2-14. Planning requirements and assessing collection consists of various staff functions designed to place collection assets and resources into a synchronized plan in order to leverage the various capabilities. The plan synchronizes and coordinates collection activities within the overall concept of operations. The information collection plan positions and tasks collection assets so they can collect the right information, sustain or reconstitute for branches or sequels, or shift priorities as the situation develops. Effective planning for information collection focuses on answering the commander’s requirements by translating information collection tasks into orders.

2-15. Planning requirements and assessing information collection requires full staff integration. The staff—

  • Prepares or updates their respective running estimates.
  • Develops requirements.
  • Participates in the operations and intelligence working group (if formed).
  • Develops technical channels (as required).

Running Estimates

2-16. A running estimate is the continuous assessment of the current situation used to determine if the current operation is proceeding according to the commander’s intent and if planned future operations are supportable (ADP 5-0). Intelligence staffs (or the operations and intelligence working group, if formed) use running estimates to assist with determining whether requirements have been satisfied, the need for additional requirements, and which assets are available for tasking. (See FM 6-0 for additional information on running estimates.)

Operations and Intelligence Working Group

2-17. Depending on the availability of personnel, the commander may designate an operations and intelligence working group. The primary staff officers for operations and intelligence (G-3/S-3 and G-2/S-2) should direct and manage the efforts of this working group to achieve a fully synchronized and integrated information collection plan.

2-18. The operations and intelligence working group is a temporary grouping of designated staff representatives who coordinate and integrate information collection, and provide recommendations to the commander. The purpose of the operations and intelligence working group is to bring together representatives from all command post cells to validate information requirements and deconflict the use of organic and attached assets. The operations and intelligence working group ensures maximum efficiency in information collection by carefully synchronizing all collection tasks within the information collection plan. Input is required from each member of the working group.

2-19. Unit SOPs and the operation’s tempo determine how frequently the operations and intelligence working group needs to meet. This working group should be closely aligned with both the current operations and integration cell and the future operations (or plans) cell to ensure information collection is properly integrated into the overall operation plan.

2-20.  The G-3/S-3 comes prepared to provide the following:

  • The current friendly situation.
  • Current CCIRs.
  • The status and availability of collection assets.
  • Requirements from higher headquarters (including recent fragmentary orders or taskings).
  • Changes to the commander’s intent.
  • Changes to the task organization.
  • Future operations.

2-21.  The G-2/S-2 comes prepared to provide the following:

  • The current enemy situation.
  • Current status of PIRs, and potential changes to PIRs.
  • The current information collection priorities and strategies.
  • The status and availability of intelligence operations assets.
  • Current planning requirements tools.
  • The situational template tailored to the time discussed.
  • Current status of the communication plan for information collection assets.
  • Support the G-2/S-2 must request from higher headquarters’ resources.
  • Weather and effects of weather on information collection assets.
  • Civil considerations (as applicable).

2-22.  Outputs of the working group include but are not limited to—

  • Priorities and recommendations for latest information collection plan.
  • Updated CCIRs for commander approval.
  • Information collection input for fragmentary orders.

Technical Channels

2-24. Information normally moves throughout a force along specific transmission paths, or channels. Establishing these channels directs the flow of reported information derived during intelligence operations. Channels help streamline information dissemination by ensuring the right information passes promptly to the right people. Commanders and staffs normally communicate through three channels—command, staff, and technical.

2-25. For intelligence operations, technical channels are the transmission paths between intelligence units (to include command post cells and staff elements) performing a technical function requiring special expertise. Technical channels are used to transmit required technical data used to focus the highly technical intelligence operations collection. Establishing intelligence technical channels facilitates adherence to existing policies or regulations for information collection tasks contained within the information collection plan. Technical channels do not interfere with command and staff channels. Technical channels are not used for conducting operations.

2-26. While planning requirements and assessing collection, the intelligence staff ensures that technical channels are used to focus intelligence collectors appropriately. These channels facilitate a collaborative environment and more efficient intelligence operations. The collector or lowest level management for the collector, in turn provides feedback of a technical nature to the intelligence staff. An example of this feedback is when a collector is tasked to collect on threat communications but does not possess the equipment capable of intercepting the signal.

PLANNING REQUIREMENTS AND ASSESSING COLLECTION FUNCTIONS

2-27. After receiving inputs from the commander and staff—intent, planning guidance, and requirements— the intelligence staff, in close coordination with the operations staff, performs the planning requirements and assessing collection functions. (See figure 2-4.) The planning requirements and assessing collection functions are the basis for creating an information collection plan that synchronizes activities of the information collection effort to enable the commander’s visualization and situational understanding. The intelligence staff, in coordination with the operations staff, monitors available collection assets and assesses their ability to provide the required information. They also recommend adjustments to new requirements or locations of information collection assets, if required. The planning requirements and assessing collection functions are—

  • Develop planning requirements.
  • Develop planning requirements tools.
  • Assess information collection.
  • Update planning requirement stools.

DEVELOP PLANNING REQUIREMENTS

2-28. Developing requirements involves identifying, prioritizing, and refining uncertainties concerning the threat and significant aspects of the operational environment that must be resolved to accomplish the mission. The purpose of the develop requirements function is to receive, analyze, and prioritize requirements appropriate to task to organic assets as part of the information collection plan.

2-29. An important element of developing requirements during execution is the constant collaboration between analytical personnel and staff elements of the various command post cells to refine information requirements and focus the information collection effort as the situation develops.

2-30. The result of requirements development is a prioritized list of validated requirements. Successful requirements development results in—

  • The information arriving in time for commanders to use.
  • Analysts receiving information that directly relates to the CCIRs.
  • Collection carried out only on requirements important to the operation.

DEVELOP PLANNING REQUIREMENTS TOOLS

2-31. The intelligence staff creates and uses planning requirements tools to track planned and ongoing information collection tactical tasks—reconnaissance, surveillance, security operations, and intelligence operations. These tools are not tasking documents or systems; they are products developed to facilitate the synchronization of collection and analytical efforts. The intelligence staff uses the tools to assist the operations staff in creating the information collection plan.

2-32.  The subfunction tasks to develop planning requirements tools (see chapter 4) are—

  • Evaluate resources.
  • Develop a collection strategy.
      • Submit requests for support (collection).
      • Submit requests for information.
      • Match information collection asset capabilities to expected activity.
  • Develop SIRs.
      • Develop supporting tools.
      • Information collection matrix.
      • Information collection synchronization matrix.
      • Information collection overlay.

 

2-33.  The result of develop requirements planning tools is the creation of working aids that assist in the creation and execution of an information collection plan that answers the CCIRs. Success results in the synchronization of information collection with the overall operation through the effective use of the right collection assets at the right time and place. Successful requirements planning tools result in—

  • Selecting a collection asset with the appropriate capability.
  • Focusing the collection asset on the right area at the right time to answer the requirements.

ASSESSING COLLECTION

2-34. Assessing collection involves two concurrent tasks: assessing the information collection plan and assessing tactical task execution. Commanders and staffs continuously evaluate the information collection plan based on the assessment of results from tactical tasks. Collection assessment is particularly important during execution because situations change rapidly; evaluation identifies updates for information collection activities. Together, commanders and staffs determine if CCIRs have been satisfied or are still relevant.

2-35. The subfunction tasks of assess tactical task execution (see chapter 5) are—

  • Monitor the tactical situation.
  • Screen reporting to ensure task completion.
  • Correlate reports to requirements.
  • Provide feedback to assets.
  • Maintain synchronization with operations.
  • Cue assets to collection opportunities.
  • Recommend retasking of assets.

 

2-36. Monitoring information collection tasks aids in identifying the need to retask assets as the situation changes or cue assets to collection opportunities. Effective monitoring allows the intelligence and operations staffs to keep the information collection plan current. To support this goal, the rest of the staff also monitors the situation from the perspective of their command post cell to identify possible issues that need to be brought to the attention of the G-3/S-3.

UPDATE PLANNING REQUIREMENTS TOOLS

2-37. As the situation changes, adjustments to the planning requirements tools keep information collection synchronized with the overall operation, thus optimizing the force’s collection effort. Satisfied requirements are deleted, and collectors remain focused on unsatisfied and new requirements. Success results in the collection and reporting of information when needed to support the commander’s decisions.

2-38. The subfunctions of update planning requirements tools (see chapter 6) are—

  • Receive inputs from the commander and staff.
  • Eliminate satisfied requirements.
  • Develop and add new requirements.
  • Transition to the next operation.

2-39. The functions of planning requirements and assessing collection are continuous, collaborative, and interactive. Several outputs from the various MDMP steps require collaboration with the rest of the staff, especially between the intelligence and operations staffs. Keeping the planning tools current cannot be achieved without constant coordination among the entire staff.

 

PART TWO

Techniques

Chapter 3

Developing Requirements

ROLE OF DEVELOPING REQUIREMENTS

3-1. Requirements development forms the foundation of the information collection plan. This chapter describes how to perform the tasks associated with this function. Developing requirements includes the following subfunction tasks:

  • Participate in planning.
  • Anticipate requirements.
  • Analyze requirements.
  • Refine requirements.

PARTICIPATE IN PLANNING

3-2. Throughout planning, requirements are developed and refined; some are consolidated, others discarded. Commanders and staffs add and delete individual requirements throughout an operation based on the information needed for specific decisions.

3-3. Requirements development begins as early as possible—in some cases before receipt of mission, when only partial information about the general location or category of a mission is known. Development continues as the intelligence staff collects initial (baseline) information and intelligence from existing sources and databases and through intelligence reach to develop the initial intelligence estimate in support of planning. Other command post cells gather information as they prepare or update their running estimates to support planning.

3-4. Maximum efficiency in information collection is achieved when all the collection tasks are carefully synchronized throughout an operation. This appropriate mix of collection tasks helps satisfy as many different requirements as possible. It also reduces the likelihood of the operations and intelligence working group favoring or becoming too reliant on one particular unit, intelligence discipline, or system.

3-5. The intelligence staff and other staff members continue to develop and refine requirements as the commander receives the mission and presents initial guidance to the staff. The commander’s guidance includes the critical information for the AO and area of interest that the commander must know to successfully conduct operations, expressed in later steps of the MDMP as CCIRs

3-7. Because developing requirements is continuous, the function occurs throughout all activities of the operations process. Developing requirements results in the production of new requirements from ongoing operations that drive new operations, branches, and sequels. Effective requirements development depends on establishing the intelligence architecture and having effective network connectivity that provides situational understanding and input from the entire staff. Command post cells and staff elements use the following products to identify gaps that may result in information requirements:

  • Detailed and current IPB.
  • Current intelligence running estimate.
  • Current running estimates from other command post cells and staff elements.
  • Enemy situation templates and course of action statements.
  • Event templates and matrices.
  • Estimates and templates of anticipated civil responses to friendly and threat operations (as applicable).

3-8. Requirements management is not a one-time effort or the sole responsibility of the intelligence staff. Each staff element that develops requirements must follow the same development process.

ANTICIPATE REQUIREMENTS

3-9. The intelligence staff and other staff members identify new requirements or refine existing ones and present them to the commander for approval. The intelligence staff must recognize when and where to shift collection assets and make timely recommendations to the operations staff. Anticipating and developing new requirements requires a detailed understanding of the unit and its operational capabilities. It also requires a detailed situational understanding, a thorough understanding of IPB products and existing intelligence holdings, and an understanding of the concept of operations—including branches, sequels, and anticipated transitions to follow-on operations.

3-10. The ability to anticipate requirements gives intelligence staffs additional time to plan the use of information collection assets, including any joint or national assets available. It requires seamless involvement with the planners and operations staff. Anticipating upcoming requirements allows intelligence staffs to communicate with higher headquarters and plan future requests for information. The more time intelligence staffs give units that control Army, joint, and national systems, the more likely they are to obtain the required support for a specified time frame. A good example is forecasting additional support needed during critical events, such as national elections while conducting stability tasks, or during the initial phases of an attack.

ANALYZE REQUIREMENTS

3-11. The intelligence staff analyzes requirements to determine the most effective use of information collection assets. Each requirement is analyzed to determine how best to satisfy it. Sometimes this does not require tasking a unit, organization, or sensor for collection. Often, a newly received requirement can be satisfied by intelligence reach or by submitting a request for information. Analyzing requirements involves separating, recording, validating, consolidating, and prioritizing each recommended requirement.

SEPARATE

3-12. Intelligence staffs place intelligence gaps into one of three categories based on how best to answer them. These categories are—

  • Intelligence reach. Intelligence reach allows access to resources of national, joint, foreign, and other military organizations and units. Requesters can acquire information through push and pull of information, databases, homepages, collaborative tools, and broadcast services. Intelligence reach also supports distributed analysis. (See ADRP 2-0.)
  • Requests for information. Submitting a request for information to the next higher headquarters or adjacent units is the normal procedure for obtaining intelligence information that available information collection assets cannot collect. Users enter requests for information into a management system where every other system user can see them. Thus, an organization several echelons above the actual requester can become aware of the request and answer it.
  • Request for support (collection). When a gap cannot be answered by available sources and assets, intelligence staffs submit requests for support (collection) to higher and lateral organizations for incorporation into their information collection plans.

VALIDATE

3-14. Once recorded, the intelligence staff validates the requirements. Remember the commander provides the final validation of requirements when approving the operation order or fragmentary order. A valid requirement is necessary, feasible, and complete.

    • Necessity. Is this requirement really necessary? If yes, has it already been satisfied? If it has not, check databases to see if someone has already collected the information or produced the intelligence. If a product that satisfies the requirement already exists, provide the requester to the agency that produced it. If the requester does not have access to that agency’s database, then obtain and provide the product to the requester. Refer requests for production to the appropriate agency. In some cases, the intelligence already exists but not in the format the requester desires. For example, a unit may need a demographic map created from existing data. In those cases, ask the requester if the product on hand will answer the requirement. If so, provide it.
    • Feasibility. Does the unit have assets with capabilities able to execute the mission in time and with the detail required to support a decision? If not, can the unit submit a request for information to the echelon owning the information collection capability with a reasonable expectation of receiving a timely response?
    • Completeness. All requirements should specify—
      • Who (needs the results).
      • When (time the indicator is expected to occur and the latest time the commander needs to know).
      • What (activity or indicator).
      • Where (geolocation, NAI, or TAI).
      • Why (justification).
      • Other (specific instructions or information).

3-15. Once requirements are validated, existing information, such as a database, is examined to determine if requirements can be satisfied with existing information through either a request for information to higher or lateral units or through intelligence reach. If the requirement cannot be completely satisfied by either of these methods, the requirement is further refined and provided to the operations staff for incorporation into the information collection plan.

CONSOLIDATE

3-16. Requirements received as tasks and requests are often similar to those generated during planning. Consolidation involves identifying identical and similar requirements and combining them into a single requirement. Successful consolidation results in a smaller number of requirements to track and identification of subordinate elements that may be capable of collecting on a requirement.

3-17. Merging similar requirements simplifies the collection effort. For example, replace a poorly written requirement with the wording of the better justified or more specific requirement. However, exercise caution by—

  • Ensuring the intent of the original requirements is not lost when merging requirements.
  • Maintaining accountability of merged requirements through accurate record keeping.
  • Disseminating requirements to every requesting headquarters when requirements are satisfied or eliminated.

PRIORITIZE

3-18. Each requirement is prioritized based on its importance in supporting the concept of operations and anticipated decisions. Prioritization based on the commander’s guidance and the current situation ensures limited collection assets are directed towards the most critical requirements. Effective prioritization requires monitoring the operation to respond to changing situations.

3-19. When prioritizing, the significance of the requirement to the requester is considered more important than the echelon that generated the requirement. A subordinate commander’s requirement may well be more important to the success of the higher headquarters’ mission than all other requirements.

3-20. When prioritizing requirements over the course of the operation, intelligence staffs should consider their ability to meet requirements as well as the justification, specificity, significance, and time phasing of individual requirements.

Significance

3-21. Some tasks the force performs are more important to accomplishing the mission than others. During wargaming, commanders give guidance on what they consider most important. In any case, the commander’s intent is reflected in the priorities assigned to each phase of the operation. This is the basis for establishing a prioritized requirements list from which to make recommendations to the commander for approval.

3-22. After intelligence staffs prioritize the requirements and make recommendations, commanders designate some of the most important requirements as PIRs. Answering PIRs is mission-essential. In other words, failure to satisfy the PIRs endangers the command’s mission accomplishment. For maximum effectiveness, intelligence staffs and commanders should refine PIRs into specific questions. The significance of a requirement is often tied to the phase of the operation in which the information is required.

Time Phasing

3-23. Time phasing influences prioritization. Requirements time phasing, like synchronization, is a continuous process. The operation may progress more or less quickly than anticipated during wargaming. Consequently, expected timelines based on wargaming may change during the operation. Staffs monitor execution of the operation and remain alert for changes in the LTIOV based on other shifts in the operational timeline. Latest time information is of value is the time by which an intelligence organization or staff must deliver information to the requester in order to provide decisionmakers with timely intelligence. This must include the time anticipated for processing and disseminating that information as well as for making the decision. The most important requirement may have an LTIOV in a later phase of an operation.

these methods, the requirement is further refined and provided to the operations staff for incorporation into the information collection plan.

CONSOLIDATE

3-16. Requirements received as tasks and requests are often similar to those generated during planning. Consolidation involves identifying identical and similar requirements and combining them into a single requirement. Successful consolidation results in a smaller number of requirements to track and identification of subordinate elements that may be capable of collecting on a requirement.

3-17. Merging similar requirements simplifies the collection effort. For example, replace a poorly written requirement with the wording of the better justified or more specific requirement. However, exercise caution by—

  • Ensuring the intent of the original requirements is not lost when merging requirements.
  • Maintaining accountability of merged requirements through accurate record keeping.
  • Disseminating requirements to every requesting headquarters when requirements are satisfied or eliminated.

PRIORITIZE

3-18. Each requirement is prioritized based on its importance in supporting the concept of operations and anticipated decisions. Prioritization based on the commander’s guidance and the current situation ensures limited collection assets are directed towards the most critical requirements. Effective prioritization requires monitoring the operation to respond to changing situations.

3-19. When prioritizing, the significance of the requirement to the requester is considered more important than the echelon that generated the requirement. A subordinate commander’s requirement may well be more important to the success of the higher headquarters’ mission than all other requirements.

3-20. When prioritizing requirements over the course of the operation, intelligence staffs should consider their ability to meet requirements as well as the justification, specificity, significance, and time phasing of individual requirements.

Significance

3-21. Some tasks the force performs are more important to accomplishing the mission than others. During wargaming, commanders give guidance on what they consider most important. In any case, the commander’s intent is reflected in the priorities assigned to each phase of the operation. This is the basis for establishing a prioritized requirements list from which to make recommendations to the commander for approval.

3-22. After intelligence staffs prioritize the requirements and make recommendations, commanders designate some of the most important requirements as PIRs. Answering PIRs is mission-essential. In other words, failure to satisfy the PIRs endangers the command’s mission accomplishment. For maximum effectiveness, intelligence staffs and commanders should refine PIRs into specific questions. The significance of a requirement is often tied to the phase of the operation in which the information is required.

Time Phasing

3-23. Time phasing influences prioritization. Requirements time phasing, like synchronization, is a continuous process. The operation may progress more or less quickly than anticipated during wargaming. Consequently, expected timelines based on wargaming may change during the operation. Staffs monitor execution of the operation and remain alert for changes in the LTIOV based on other shifts in the operational timeline. Latest time information is of value is the time by which an intelligence organization or staff must deliver information to the requester in order to provide decisionmakers with timely intelligence. This must include the time anticipated for processing and disseminating that information as well as for making the decision. The most important requirement may have an LTIOV in a later phase of an operation.

INDICATORS

3-29. An indicator, in intelligence usage, is an item of information which reflects the intention or capability of an adversary to adopt or reject a course of action (JP 2-0). Indicators are positive or negative information regarding threat activity or any characteristic of the AO that—

  • Points toward threat capabilities and vulnerabilities.
  • Points toward the adoption or rejection by the threat of a particular course of action or activity.
  • May influence the commander’s selection of a course of action.

3-30. Indicators may result from previous actions or from threat failure to take action and usually do not stand alone. Indicators are typically not sent out as part of the information collection tasks but rather are used primarily by all-source intelligence analysts. All-source intelligence analysts develop indicators, integrating each one with other factors to detect patterns or signatures and establish threat intentions.

3-31.  Indicators corresponding to the PIRs and groups described in paragraphs 3-27 and 3-28 might be—

    • Identification of agitators, insurgents, or criminal organizations, their supporters, and sympathizers who suddenly appear in or move from an area.
    • Evidence of increased foot and vehicle traffic.
    • Increased travel within and into remote or isolated areas.
    • Apartments, houses, or buildings being rented but not lived in as homes.

3-32.  The mission statement, key tasks, and PIRs signify the initiation of developing requirements and the initial information collection plan. The G-2/S-2 identifies requirements appropriate to task to unit collection assets and recommends tasking those assets to the G-3/S-3.

3-33. After performing functional analysis and developing threat models, the intelligence staff is prepared to further refine PIRs into areas where information can be collected by collection assets and resources. For the major threat groups operating within the AO in a counterinsurgency environment, these groupings may include—

 

  • Leadership:
    • Who are cell leaders?
    • How do they operate within the urban areas of the AO?
  • Safe havens: Where are groups receiving passive and active support?
  • Movement: Where and how are cell members moving throughout the AO?
  • Logistics: Centered on weapons and weapon-making materials, how are materials obtained for offensive and defensive tasks?
  • Finance: How are group operations funded?
  • Intelligence collection: How are groups receiving information and conducting reconnaissance and surveillance of targets?
  • Personnel:
    • How are cells structured?
    • How are they receiving and incorporating new personnel?
  • Ideology: How are groups using the information environment?
  • Communication:
    • How do groups communicate internally within the group?
    • How do groups communicate externally with other groups?

3-34. Economic-based PIRs may have the following associated groupings:

  • How do telecommunications in the area of interest impact the economy?
  • How do natural resources in the area of interest impact the economy?
  • How do powerplants in the area of interest impact the economy?
  • How do marketplaces in the area of interest impact the economy?
  • What is normally traded within these markets?
  • What are the normal prices of food items?
  • What are the normal prices of clothing items?
  • Are new items being sold within the markets?

3-35. Economic-based PIRs based on the threat may have the following associated groupings:

  • What businesses are targeted by the threat?
  • What businesses support the threat?
  • What illegal products are produced, sold, or traded in the marketplace?

3-36. Information-based PIRs may have the following associated groupings:

  • What are the information sources, resource facilities, and organizations within the area of interest?
  • What are the official and unofficial information channels within the area of interest?
  • What are the means of communication within the civilian population?
  • What media representatives and organizations are in the area of interest?
  • Which authorities in the area of interest espouse anti-host-nation government rhetoric?

 

PRODUCTS

3-37. The conduct and results of initial and continuous IPB are important prerequisites to developing requirements. They provide—

  • Well-reasoned threat situation overlays, course of action statements, and event templates or matrices.
  • Thorough analysis of civil considerations (areas, structures, capabilities, organizations, people, events [often referred to as ASCOPE]) for inclusion in the information collection plan.
  • Continual and timely adjustment of the running estimate as the situation changes.
  • Information and intelligence that support the development of the commander’s decision points or actions (lines of operations or lines of effort).

3-38. The most useful product for developing requirements is the event template. A technique to better understand how the threat conducts operations is to use threat models to graphically depict their anticipated actions and related decisions.

The threat model is used to create an event template. The event template depicts the threat’s actions on a timeline showing the steps through which threat activities advance while preparing to execute a task and mission. This graphic provides the staff with ways to create requirements for collection and to possibly interdict threat operations. (See figures 7-2 on page 7-4, 7-5 on page 7-8, and 7-8 on page 7-12 for examples of event templates.)

3-39. Once developed, the event template is a key product in developing the information collection plan. Likely threat locations, avenues of approach, infiltration routes, support areas, and areas of activity become NAIs or TAIs on which information collection assets and resources focus their collection efforts.

3-40. During operations against irregular or hybrid threats, the event template must be modified to address more than the predicted threat activity. For example—

  • Within the AO, Army forces interact with additional organizations and the local population on a daily basis.
  • In addition to the tasks performed by Army units, multinational units, and the host-nation military in the AO, the commander and staff must be aware of events occurring within the area of interest.

3-41. If the commander and staff choose to expand the event template, they require input from outside of the staff. The activities of interagency partners should be considered whenever possible. The commander and staff determine the activities to depict. Activities may include—

  • Religious events.
  • Government meetings.
  • Reconstruction projects.
  • Openings of government facilities, markets, schools, and clinics.
  • Medical clinic activity(immunizations).
  • Transportation improvements (work on roads).

 

Chapter 4
Developing Planning Requirements Tools

ROLE OF PLANNING REQUIREMENTS TOOLS

4-1. The planning requirements tools developed by the intelligence staff begin the process of synchronizing the information collection plan with the concept of operations and are updated as the concept of operations changes. The tools are used by the operations staff (in close collaboration with the intelligence staff) to develop the information collection plan. Developing requirements tools includes evaluating resources, developing a collection strategy, and developing supporting tools.

 

EVALUATE RESOURCES

4-2. While reviewing collection assets during the MDMP, the staff also performs an evaluation of the collection assets using the following criteria: availability, capability, sustainability, and vulnerability.

AVAILABILITY

Corps and divisions allocate support from the apportioned assets to brigade combat teams (BCTs) and below. (See appendix B.) Staff members must understand the system of apportionment and allocation. They determine what joint assets are available by—

Conducting collaboration and coordination early in the planning process.
Analyzing the higher headquarters order and reviewing the various scheduling or tracking mechanisms.

 

CAPABILITY

4-4. The staff must know and consider practical capabilities and limitations of all unit organic assets. Capabilities include the following:

  • Range. Range deals with the collector’s ability to provide target coverage. When considering an asset’s range, it is important to consider mission range (duration and distance) and how close the collection asset must be to the target to collect against it. Additionally, intelligence staffs consider communication requirements from the asset to the command post. The staff determines—
    • Ability to maneuver, including travel and support times.
    • Transit and dwell times, if the best asset is an unmanned aircraft system (UAS).
  • Day and night effectiveness. Staffs consider factors such as available optics and any effects of thermal crossover.
  • Technical characteristics. Each asset has time factors (such as set-up and tear-down times) for task accomplishment that must be considered. Other technical characteristics include the following:
    • Whether the sensor can see through fog or smoke.
    • The effects of the environment on the collection asset (including factors such as urban or rural terrain and soil composition).
    • Whether the asset can continue despite electronic attack.
  • Reporting timeliness. Each asset is assigned an earliest time and a latest time information reporting is of value to the information collection plan, based on—
  • The established reporting criteria for each collection asset.
  • How long it takes to disseminate collected information to each requester.
  • Geolocation accuracy. Accuracy implies reliability and precision. The asset must be capable of locating a target accurately enough to engage it with precision-guided munitions.
  • Durability includes such factors as—
  • Whether the aircraft can launch in high winds or limited visibility.
  • Whether the prime mover can cross restricted terrain.
  • Threat activity. The staff considers whether the collection asset can detect the expected threat activity.
  • Performance history. Experienced staff officers know which information collection assets have been reliable in meeting different information requirements. Readiness rates, responsiveness, and accuracy over time may raise one collector’s reliability factor.
  • PED enablers. The staff considers whether the unit has the PED enablers required to support more flexible and responsive intelligence operations. (See ADRP 2-0.)

DEVELOP A COLLECTION STRATEGY

4-7. After thorough evaluation of availability, capability, sustainability, and vulnerability of collection assets, the operations and intelligence staffs develop a collection strategy. Although the strategy adopted will vary based on the mission and the information requirements to be satisfied, tasking organic assets should be considered first. The advantage to this is that the commander has the most control over these assets and they are generally more responsive than other supporting assets. If organic assets cannot satisfy a requirement, the staff may need to submit a request for support (collection) or request for information to higher or lateral headquarters. Layering collection assets is accomplished through cue, redundancy, and mix.

SUBMIT REQUESTS FOR SUPPORT (COLLECTION)

4-8. Information requirements generated during planning often require external resources to answer. When needed, requests for support (collection) from higher headquarters—such as for joint force, combatant command, or national assets—should be prepared and submitted through appropriate channels. Although external collection resources may be more capable than organic assets, those external assets may already be tasked against other information requirements, resulting in the requester’s requirements going unmet. Various tasking documents levy information on collection resources. Some tasking mechanisms are joint force- or intelligence system-unique. Various manuals specify procedures and formats for requesting support from national systems or agencies.

MATCH RESOURCES TO INDICATORS

4-13. After evaluating available assets, the operations and intelligence staffs match these assets to SIRs. Each requirement is associated with its corresponding decision points and timelines. Starting at the point in time the commander requires intelligence to make a decision, the intelligence staff reverse-plans to account for dissemination, analysis, processing, collection, and tasking time. An effective tool used to link and synchronize the collection strategy with the expected flow of the operation is the information collection synchronization matrix. As part of matching assets to SIRs, the staff also considers cueing, redundancy, and mix.

Cueing

4-14. Cueing involves the use of one or more information collection assets to provide data that directs collection by other assets. For example, sweeping the AO electronically with a surveillance system can reveal activity that triggers direct collection by a more accurate sensor system. Cueing maximizes the efficient use of limited collection assets in support of multiple, often competing, information collection priorities. An effective strategy includes plans to create opportunities for cued collection.

4-15. For example: A BCT may plan to use a human intelligence (HUMINT) source 24 hours prior to a UAS launch to confirm or deny activity along a key corridor. If the source reports the absence of activity, the UAS may be redirected to another mission or used to confirm the absence of activity, depending on the relative priority of requirements. If the HUMINT source reports significant activity earlier than anticipated, the UAS mission may be accelerated to collect supporting details or retasked to another collection mission.

Redundancy

4-16. Redundancy planning as part of collection strategy development involves the use of several same- discipline (or same-capability) assets to cover the same target. Redundant tasking is appropriate against high-payoff targets when the probability of success by any one system is low. For example, if several signals intelligence (SIGINT) collectors target a designated emitter at different times, the probability of intercept improves, even if the emitter operates intermittently. Using redundant collection assets also improves the chance of accurate geolocation.

Mix

4-17. Mix means planning for complementary coverage by a combination of assets from multiple intelligence disciplines. Sensor mix increases the probability of collection and reduces the risk of successful enemy deception. It also can facilitate cueing and provides more complete reporting. For example, if scouts report activity within a known assembly area, SIGINT intercept of the associated logistic net might provide unit identity, subordination, and indications of future activity.

DEVELOP SPECIFIC INFORMATION REQUIREMENTS

4-18. The intelligence staff develops SIRs for each PIR based on its group, the indicators, and related information requirements. (See paragraphs 3-27 through 3-28.) Developing SIRs requires the collection manager to be knowledgeable of the following:

  • Capabilities of the available collection assets.
  • Specificity of the information they provide.
  • Time it takes to collect and report the information in relation to the specificity and timeliness requirements the commander and staff articulated with the LTIOV.

4-19. SIRs help the intelligence staff determine the right combinations of collection assets to provide the timely, specific, and relevant information required. SIRs also ensure that information collection taskings correlate with the PIRs and priorities for information collection. In addition, SIRs allow collection assets to work in combinations timed to achieve efficient results and reduce the possibility of being fooled by threat denial and deception efforts.

4-20. SIRs are developed for each information collection asset based on the capabilities of the asset and the expected threat activity. SIRs provide specific information about specific threat activity (or lack thereof) at specific locations. SIRs help collection assets provide information specific and timely enough to make a difference in answering the PIRs.

DEVELOP SUPPORTING TOOLS

4-21. The supporting tools are developed by the intelligence staff to help the operations staff develop the information collection plan. Both staffs work closely together to ensure the collection plan is synchronized with the concept of operations and updated as the concept of operations changes. Chapter 7 contains sample information collection matrices and information collection overlays for offensive, defensive, and stability missions. Supporting tools are—

  • The information collection matrix.
  • The information collection synchronization matrix.
  • The information collection overlay.

INFORMATION COLLECTION MATRIX

4-22. The information collection matrix links PIRs with indicators, SIRs, NAIs, and TAIs. Constructed in a spreadsheet format and including individual work sheets as required, the matrix provides detailed collection and reporting requirements. The information collection matrix is not a tasking document. Although not published as part of the order, the matrix is a key tool used by both the intelligence staff and the operations staff in executing the information collection plan. It is maintained on the unit Web page and assists the intelligence staff in synchronizing internal information collection activities across echelons.

4-23. To create the information collection matrix, the intelligence staff requires several outputs from the MDMP. Initial and subsequent refinements to the following are required to complete the requirements matrix:

  • Concept of operations. The concept of operations is a statement that directs the manner in which subordinate units cooperate to accomplish the mission and establishes the sequence of actions the force uses to achieve the end state (ADRP 5-0).
  • Commander’s guidance for information collection. The concept of operations, coupled with the commander’s guidance for information collection, provides the intelligence staff with how the commander intends to use information collection to support the concept of operations.
  • Commander’s critical information requirements. CCIRs, mainly PIRs, are those requirements for which the information collection plan provides timely answers.
  • Initial task organization. The initial task organization depicts assets available that the intelligence staff may consider requesting for tasking by the operations staff.
  • Apportionment, allocation, and distribution of Army and joint aerial assets.
    • Apportionment. The joint force commander determines the apportionment of aerial assets. Apportionment, in the general sense, is distribution of forces and capabilities as the starting point

for planning, etc. (JP 5-0). Specific apportionments (such as, air sorties and forces) are described as apportionment of air sorties and forces for planning. (See JP 5-0.) Apportionment (air) is determination and assignment of the total expected effort by percentage and/or by priority that should be devoted to various air operations for a given period of time. (See JP 5-0.)

  • Allocation. The joint force air component commander takes that apportionment and turns it into sorties to support priority ground forces in accordance with the joint force commander’s intent. This process is called allocation, which is the distribution of limited forces and resources for employment among competing requirements (JP 5-0). Allocation (air) is the translation of the air apportionment decision into total numbers of sorties by aircraft type available for each operation or task. Thus, a corps or division is allocated joint ISR sorties.
  • Distribution. When the corps or division sends its allocated sorties to subordinate units, normally via the air support operations center or a tactical air control party, this process is called distribution. The distribution of joint assets provides additional information collection capabilities for inclusion into the information collection plan.

 

INFORMATION COLLECTION SYNCHRONIZATION MATRIX

4-24. The intelligence staff uses the information collection synchronization matrix to synchronize information collection tasks with the current threat assessment and friendly concept of operations. This product and process can synchronize and communicate information collection tasks horizontally and vertically across commands. However, it does not provide the detail needed to perform control of information collection assets through technical channels.

4-25. Figure 4-2 on pages 4-8 and 4-9 displays an example of an information collection synchronization matrix. The intelligence staff uses this matrix to accomplish the following:

  • Ensure collection tasks are tied to the concept of operations in time and space, effectively linking information collection to it. The matrix is typically constructed in spreadsheet format and accompanied by an information collection overlay that graphically depicts the information the matrix contains.
  • Synchronize information collection tasks the same way the operations staff uses the maneuver synchronization matrix to synchronize the overall unit scheme of maneuver.
  • When necessary, brief the information collection plan and overlay to specific information collection assets. (This usually is done during operations predominated by stability tasks.)

4-26. Intelligence staffs develop and modify the matrix based on the current intelligence running estimate, enemy situation overlay, stated requirements, and event template or matrix. The matrix generally has five parts:

  • Threat timeline.
  • Friendly timeline.
  • Information collection focus.
  • Collection assets.
  • Coverage timeline.

4-27. The information collection synchronization matrix coordinates the collection strategy with the planned friendly and predicted threat operations. The matrix depicts the NAIs from the event template and reflects timelines of expected threat activity from the event template and matrix. The matrix also provides the basic structure for completion of the information collection plan and is tied to a decision or decision points for the impending operation.

INFORMATION COLLECTION OVERLAY

4-28. The operations staff issues an information collection overlay depicting the information collection plan in graphic form as an appendix to annex L (Information Collection) to the operation order. (See figure 7-3 on page 7-5 and figure 7-6 on page 7-9.) Typical items on the overlay include—

  • Friendly boundaries and phase lines.
  • Reconnaissance handover lines.
  • NAIs and TAIs.
  • Limits of advance and limits of reconnaissance. (Limits of reconnaissance are constraints derived from higher headquarters orders that may designate a limit of advance affecting reconnaissance units. See FM 3-55.)
  • Counter reconnaissance areas.
  • Fire support coordination measures.
  • Graphics depicting zone, area, or route reconnaissance missions.
  • Route start points, release points, infiltration lanes, and checkpoints.
  • Primary and alternate observation post locations.
  • Ambulance exchange points and logistic release points.
  • Planned or existing obstacles.
  • Scan sectors for sensors.
  • UAS flight paths.
  • Retransmission locations.

 

PLANNING REQUIREMENTS BRIEFING TOOL

4-29. Many units create a graphic version of the planning requirements function for briefing purposes. The planning requirements briefing tool combines the information collection synchronization matrix, information collection overlay, and PIRs into one product.

WORKING AIDS FOR CREATING TOOLS

4-30. The intelligence staff uses several working aids that assist in creating planning requirements tools. Normally developed and refined during the MDMP, these working aids are not contained within the requirements planning tools or information collection plan.

NAMED AREA OF INTEREST MATRIX

4-31. The NAI matrix is used to synchronize information collection missions with NAIs or TAIs. The purpose of the NAI matrix is to ensure information collection assets are tasked to cover critical NAIs and TAIs during anticipated times of activity. (See figure 4-4 on page 4-12.)

NAMED AREA OF INTEREST WORK SHEET

4-32. For each NAI, the operations and intelligence staffs develop observation times and a task, a purpose, and SIRs for assets conducting information collection missions involving it. This information may be consolidated on an NAI work sheet. (See figure 4-5 on page 4-13.) It is crucial to focus the task on a clearly defined and achievable purpose.

NAMED AREA OF INTEREST OVERLAY

4-33. An NAI overlay visually depicts NAI locations. (See figure 4-6 on page 4-14.) The NAI overlay may also contain the task and purpose (what and why) of the NAI.

Chapter 5

Assessing Collection

5-1. Assessment is determination of the progress toward accomplishing a task, creating a condition, or achieving an objective (JP 3-0). Commanders, assisted by their staffs and subordinate commanders, continuously assess the operational environment, the progress of the operation, and the information collected by the assets executing the information collection plan. Based on their assessment, commanders direct adjustments to the information collection plan, thus ensuring the plan remains focused on providing information and intelligence products to assist in decisionmaking. Assessing collection involves assessing the information collection plan and assessing tactical task execution.

ASSESSING THE INFORMATION COLLECTION PLAN

5-2. The commander and staff continuously evaluate the information collection plan based on the assessment of results from reconnaissance missions, surveillance tasks, intelligence operations, and security operations. Collection assessment is particularly important during execution because situations change rapidly. Evaluation identifies updates required to keep the information collection plan synchronized with the overall operation. Together, commanders and staffs determine if CCIRs have been satisfied or are still relevant:

  • If CCIRs have been satisfied or are no longer relevant, they are eliminated from the information collection plan.
  • If CCIRs have not been satisfied but are still relevant, the intelligence staff coordinates with the operations staff during operations and intelligence working group meetings for additional assets and/or recommends adjustments to the current coverage.

5-3. The operations staff is deeply involved in assessing the operation as a whole and looks to the operations and intelligence working group’s assessment of the information collection effort to assist in that assessment. Assessment is one of the working group’s continuing activities to support directing and collecting. (See FM 3-55.) It is particularly important in enabling the evaluation of the information collection plan.

ASSESSING TACTICAL TASK EXECUTION

5-4. The staff performs the following steps when assessing the execution of tactical tasks:

  • Monitor the tactical situation.
  • Screen reporting to ensure the completion of tasks.
  • Correlate reporting to requirements.
  • Provide feedback to assets.
  • Maintain synchronization with operations.
  • Cue assets to other collection opportunities.
  • Recommend retasking of assets.

MONITOR THE TACTICAL SITUATION

5-5. Staffs track the progress of the operation against requirements and the information collection plan. The operation seldom progresses on the timelines assumed during planning and staff wargaming. The staff watches for changes in tempo that require changes in reporting times, such as LTIOVs. The intelligence and operations staffs coordinate any changes with all parties concerned, including commanders and appropriate staff elements.

SCREEN REPORTING TO ENSURE THE COMPLETION OF TASKS

5-6. The staff screens reporting to determine whether each collection task has been satisfied and screens each report for the following criteria:

  • Relevance. Does the collected information actually answer the requirements associated with the information collection task? If not, can this information be used to satisfy other requirements?
  • Completeness. Is essential information missing? (Refer to the original information collection task.)
  • Timeliness.HastheassetreportedbytheLTIOVestablishedintheoriginaltask?
  • Opportunities for cueing. Can this asset or another asset take advantage of new information to increase the effectiveness and efficiency of the overall information collection effort? If the report suggests an opportunity to cue other assets, the intelligence and operations staffs immediately cue them and record any new requirements in the appropriate planning requirements tool.

CORRELATE REPORTING TO REQUIREMENTS

5-7. The staff tracks which specific information collection task originates from which requirement to ensure the collected information is provided to the original requester and to all who need the information. For efficiency and timeliness, the staff ensures production tasks are linked to requirements. This allows the staff to determine which requirements have been satisfied and which require additional collection.

5-8.  The staff addresses the following potential challenges:

  • Large volumes of information that could inundate the intelligence analysis staff element. The intelligence staff may have trouble correlating each report to a requirement.
  • Routing information from reports that have nothing to do with the collection task to tasks the information might satisfy.
  • Reports that do not refer to the task that drove the collection mission.
    Circular reporting or unnecessary message traffic that wastes valuable time.

5-9.  Correlating information reporting to the original requirement and evaluating reports is key to

effective requirements management. This quality control effort helps the staff ensure timely satisfaction of requirements. Requirements management includes dissemination of reporting and related information to original requesters and other users.

PROVIDE FEEDBACK TO ASSETS

5-10. The staff provides feedback to all collection assets on their mission effectiveness and to analysis elements on their production. Normally this feedback is given to the military intelligence leader or commander of the asset or staff element. Feedback reinforces whether collection or production satisfies the original task or request and provides guidance if it does not. Feedback is essential to maintaining information collection effectiveness and alerting leaders of deficiencies to be corrected.

5-11. Running estimates are important tools for assessing the information collection plan. They inform the staff of the status of collection on the CCIRs. Running estimates are even more effective when compared with previous estimates that refer to the same time period. This rates the accuracy and relevancy of the prediction to what actually occurred.

MAINTAIN SYNCHRONIZATION WITH OPERATIONS

5-12. As execution progresses, the staff refines the estimate of when information is needed (the LTIOV, based on the decision point timeline in the order) with when the information is actually required. The staff stays alert to the need for recommending changes in the information collection plan because of these refinements. As the need for changes arises, the intelligence staff coordinates with the appropriate command post cells and staff elements to update products as required to refine the information collection plan. This may be as simple as updating timelines, or it may require that these products be completely redone. Sometimes it may require retasking information collection assets.

CUE ASSETS TO OTHER COLLECTION OPPORTUNITIES

5-13. The intelligence and operations staffs track the status of information collection assets, cueing them as necessary and teaming assets as appropriate. Cueing allows assets to take advantage of new information to increase the effectiveness and efficiency of their collection. For example, if a Soldier reports hearing tracked vehicles but cannot observe the vehicles due to the terrain, a UAS can be cued to observe the area for the presence of tracked vehicles.

RECOMMEND RETASKING OF ASSETS

5-14.  Retasking is assigning an information collection asset a new task and purpose. It is done—

  • Upon completion of its initial requirement.
  • After the LTIOV, if the original requirement has not been satisfied and the LTIOV cannot be adjusted.
  • On order to support a branch or sequel.
  • To respond to variances in the situation. (SeeADRP5-0.)

5-15.  The operations staff issues orders to retask assets, normally in consultation with the intelligence staff for assets controlled by the unit. In cases where the intelligence staff is coordinating with higher headquarters for additional assets, the intelligence staff may transmit the request for retasking resources, but the operations staff typically follows up through operations channels to the higher headquarters.

 

Chapter 6
Updating Planning Requirements Tools

STAFF ACTIONS DURING EXECUTION

6-1. Evaluation and assessment of collection reporting, production, and dissemination together identify updates required to keep information collection activities synchronized with the overall operation. As the tactical situation changes, the staff adjusts the planning requirements tools to effect this synchronization. This optimizes the collection and exploitation effort.

6-2. Determining satisfied requirements allows the staff to redirect assets to unfulfilled requirements. Whether modifying reporting requirements because of new reporting criteria, new or modified PIRs, loss of an asset, or changes in the mission, the staff recommends modifications to the information collection plan to fit the commander’s needs. During modification of the information collection plan, the following considerations should be addressed:

  • What assets need to be shifted?
  • What is the new collection requirement?
  • What is the target location?
  • Must the asset move to a new location?
  • What is the risk of moving the asset? Is the risk worth the potential gain of information?
  • Does the collector functionally match the collection requirement based on the collector’s capabilities?
  • What and when does the collector report?
  • How does the collector report?
  • To whom does the collector report?

6-3. Updated IPB products and running estimates can be used as a baseline for refocusing the information collection effort. Information collection assets are retasked as appropriate for subsequent missions. Requirements are constantly updated to ensure information collection efforts are synchronized with current operations while also supporting future operations planning. As requirements are answered, the information collection plan and planning requirements tools are updated.

6-4. After receiving input from the commander and staff, the intelligence staff synchronizes new requirements with ongoing information collection activities and recommends adjustments to the information collection plan to the operations staff. The following steps are performed when updating planning requirements tools:

  • Eliminate satisfied requirements.
  • Develop and add new requirements.
  • Transition to the next operation.

6-5. These steps are collaborative efforts by the intelligence and operations staffs. Some steps predominately engage the intelligence staff while others engage the operations staff. Steps may require coordination with other staff elements, and the entire intelligence and operations working group may be engaged, at times.

 

PART THREE

Considerations for Specific Tasks and Unique Environments

Chapter 7

Considerations for Offensive, Defensive, and Stability Tasks

SUCCESS AND DECISIONMAKING DURING EXECUTION

7-1. The techniques associated with information collection do not drastically differ whether conducting offensive, defensive, or stability tasks. The difference lies in the tempo at which offensive and defensive tasks are conducted versus the tempo at which stability tasks are conducted. In operations where offensive and defensive tasks predominate, the activities of the operations process and commander’s decisionmaking are accelerated to match the quickly changing conditions.

7-2. Commanders and staffs follow the rapid decisionmaking and synchronization process to make decisions during execution. It is routinely employed when the MDMP not timely enough for mission execution. This technique is used by leaders to focus on executing rather than planning. The rapid decisionmaking and synchronization process is based on an existing order and seeks an acceptable solution, while the MDMP seeks an optimal solution. (See FM 6-0.)

7-3. Success in stability tasks is measured in far different terms from success in the offense and defense. Time may be the ultimate arbiter of a stability mission’s success: time to bring safety and security to an embattled populace; time to provide for the essential, immediate humanitarian needs of the people; time to restore basic public order and a semblance of normalcy to life; and time to rebuild the institutions of government and market economy that provide the foundations for enduring peace and stability.

ECHELONED APPROACH AND INTELLIGENCE HANDOVER LINES

7-4. In the offense or defense, the commander attacks or defends in depth. Information collection adopts this principle by using a phased, echeloned approach to collecting information to satisfy requirements. Each echelon conducting information collection plays a critical role in the success of any military operation. There are interdependencies at each echelon for the horizontal and vertical integration of collected information and the resulting intelligence, sensor feeds, and reporting in support to commanders and staffs. Interdependent relationships exist from the lowest tactical echelon to the highest strategic-level agencies and centers; no one echelon can do it all. Commanders require intelligence operations to provide information that is timely, accurate, relevant, and in sufficient detail to enable situational understanding and effective decisionmaking.

7-5. In the offense and defense, units should use an intelligence handover line to effect the echeloned approach. The intelligence handover line is a control measure that establishes areas within which each echelon is responsible for collecting information. It is much like a limit of reconnaissance and based on the unit’s AO.

 

 

OFFENSIVE TASK CONSIDERATIONS

7-9. An offensive task is a task conducted to defeat or destroy enemy forces and seize terrain, resources, and population centers (ADRP 3-0). The purpose of the offense is to impose the commander’s will on the enemy. Figures 7-2 on page 7-4, 7-3 on page 7-5, and 7-4 on page 7-7 depict samples of an event template, an information collection overlay, and part of an information collection matrix associated with an offensive task. Conducting offensive tasks may—

  • Deprive the threat of resources.
  • Seize decisive terrain.
  • Deceive or divert the threat.
  • Develop intelligence.
  • Fix a threat in position.

7-10. Offensive tasks are either force-oriented or terrain-oriented. Force-oriented tasks focus on the threat. Terrain-oriented tasks focus on seizing and retaining control of the terrain and facilities. A commander’s information requirements for offensive tasks commonly include—

  • Locations, composition, equipment, strengths, and weaknesses of the defending enemy force, including high-payoff targets and enemy information collection capabilities.
  • Locations of possible enemy assembly areas.
  • Locations of enemy in direct-fire weapons systems and units.
  • Locations of gaps and assailable flanks.
  • Locations of landing zones for friendly and enemy air assaults.
  • Locations of enemy air defense gun and missile systems.
  • Locations of enemy electronic warfare systems.
  • Effects of weather and terrain on current and projected operations.
  • Numbers, routes, and direction of movement of dislocated civilians.
  • Withdrawal routes for enemy forces.
  • Anticipated timelines for the enemy’s most likely course of action and other probable courses of action.
  • Locations of enemy command posts, fire direction control centers, electronic warfare sites, and target acquisition sensor and target fusion sites and the frequencies they are using.

7-12. Figure 7-4 shows a sample information collection matrix for a PIR associated with an offensive task. Information collection matrices for all decisive action tasks display information as follows:

  • Column 1 states the PIR. Units may determine that the best way to manage the requirements matrix is for each sheet to contain one PIR. This technique provides a single page containing the collection strategy for each PIR.
  • Column2 contains indicators associated with the PIR. (See paragraphs 3-29 through 3-31.)
  • Column 3 contains SIRs associated with each indicator. Each requirement, coupled with the collection strategy, should contain all information needed by the intelligence staff to develop supporting SIRs. As the intelligence staff develops SIRs, the staff should coordinate the BCT, division, and corps intelligence and operations staffs, including supporting analysts, to gain an understanding of the specifics required to support planning. One technique is for intelligence staffs to develop SIR sets while operations staffs develop the collection strategy for each requirement and the general scheme of maneuver. (See paragraphs 3-29 through 3-31.)
  • Column 4 contains the NAIs or TAIs associated with each SIR. NAIs and TAIs each have an associated task and purpose statement explaining what is to be conducted by the observer and why it is essential for accomplishment. The staff may develop several types of NAIs based on the situation in the AO and the types of activity for observation. When conducting a counterinsurgency, the following types of NAIs may be appropriate:
  • Counter-improvised explosive device NAIs—NAIs at tier-1 locations where improvised explosive device emplacement typically occurs.
  • Support zones—NAIs (Names Areas of Interest) at locations where insurgent groups have unlimited freedom of movement and where caches, safe houses, and other supplies are located.
  • High-value individual NAIs—NAIs at targeted high-value individuals’ pattern of life locations.
    Infrastructure—NAIs at key infrastructure locations.
  • Column5 contains the starting time and ending time for collection. These times are based on the LTIOV and the capabilities and limitations of available information collection assets. Additionally, the time required to process and exploit the collected information (for example, translation of SIGINT intercepts, exploitation of imagery, drafting of HUMINT reports) is considered when developing the collection end time. The LTIOV is the absolute latest time the information can be used by the commander in making the decision the PIR supports. The LTIOV can be linked to time, an event, or a point in the operation.
  • Remaining columns contain organic resources available for the intelligence staff to recommend for tasking by the operations staff. Also included are requested collection resources whose support has been confirmed by higher headquarters.

 

STABILITY TASK CONSIDERATIONS

7-16. Stability is an overarching term encompassing various military missions, tasks, and activities conducted outside the United States in coordination with other instruments of national power to maintain or reestablish a safe and secure environment, provide essential government services, emergency infrastructure reconstruction, and humanitarian relief. (See JP 3-0.) Stability tasks address societal factors that may affect accomplishing a mission. In operations where these tasks predominate, these tasks are often key, if not essential, tasks. One example is when Army forces conduct stability tasks to support a host-nation or an interim government or as part of a transitional military authority when no government exists. Another is a mission where stability tasks help to establish or maintain a safe and secure environment by training or resourcing the host-nation security forces and facilitating reconciliation among local or regional adversaries. Figures 7-8 on page 7-12, 7-9 on page 7-13, and 7-10 on page 7-14 show a sample event template, information collection overlay, and information collection matrix associated with a stability task.

7-17. Information needed to accomplish stability tasks usually falls under the civil considerations mission variable. However the wide variety of societies and cultures Army forces may encounter precludes establishing a single checklist of factors to consider. That said, the following list provides a starting point for organizing this information into categories:

  • Culture and customs.
  • Threats and adversaries, such as criminals and insurgents.
  • Formal and informal leaders.
  • How people communicate.
  • Civil services.
  • Other aspects of a society.

 

 

 

7-18. The information collection effort provides information the entire staff uses to provide products and assessments to support situational understanding. For each stability mission, information collection is focused to provide the relevant information the commander and staff require to make decisions. The following is a basic (but not all-inclusive) description of what the information collection effort does to support conducting stability tasks:

  • Identify insurgents, threats, adversaries, and other impediments to the unit’s accomplishment of its mission.
  • Identify the natural or manmade hazards that exist with the unit’s AO.
  • Provide the foundational information needed to assess the establishment of a safe and secure environment.
  • Identify areas of conflict among social, religious, or ethnic groups within the AO. This must be done by city to be most effective.
  • Identify the areas of conflict among local, regional, and national organizations, groups, and factions, and how these are tied to political, social, and economic unrest.
  • Identify unofficial, religious, and political leaders locally, regionally, and nationally.
  • Provide the information needed to assess the effectiveness of civil-military operations projects.
  • Identify the newspaper, radio, and television services that service populations within the AO, including their ranges and any specific ethnic, religious, or political affiliation.
  • Provide the information needed to assess the establishment or rebuilding of political, legal, social, and economic institutions.
  • Provide the information needed to assess the ability of the legitimate civil authority to assume responsibility for governance.
  • Constant awareness and shared understanding of civil considerations are crucial to the long-term success of stability tasks. The intelligence staff classifies civil considerations into logical groups (such as, tribal, political, religious, ethnic, and government) based on the mission and situation. This information is refined further by the information collected during collection activities. These groups are evaluated, graphically portrayed, maintained, and updated. Because the populace is rarely homogeneous, sentiments exhibited by different population segments may vary in different geographical areas.
  • Commanders typically visualize stability tasks along lines of effort. A line of effort is a line that links multiple tasks using the logic of purpose rather than geographical reference to focus efforts toward establishing operational and strategic conditions (ADRP 3-0). For stability tasks, commanders may consider linking primary stability tasks to their corresponding line of effort.

DEFENSE SUPPORT OF CIVIL AUTHORITIES TASK CONSIDERATIONS

7-19. Army defense support of civil authorities operations encompass all support provided by the components of the Army to civil authorities within the United States and its possessions and territories. This includes support provided by the Regular Army, Army Reserve, and Army National Guard. Army forces frequently conduct defense support of civil authorities operations in response to requests from federal, state, local, and tribal authorities for domestic incidents, emergencies, disasters, designated law enforcement support, and other domestic activities. (See ADRP 3-28.)

7-20. When Army intelligence personnel, assets, or capabilities are needed to provide intelligence support to defense support of civil authorities operations, specific authorization from the Secretary of Defense is required for both the mission and use of those military intelligence resources. The Secretary of Defense authorization will stipulate that a military intelligence element supporting defense support of civil authorities operations is subject to Executive Order 12333, applicable Department of Defense and Service regulations and policies, and intelligence oversight rules, as well as any other mission-specific restrictions.

Chapter 8
Considerations for Unique Environments

SIGNIFICANCE OF ENVIRONMENTAL FACTORS

8-1. The geographic range of U.S. interests in the world today requires Army forces to be prepared to fight and win in all types of environments. Army tactical units may be committed to battle in areas where severe weather, climate, and terrain affect military operations, including the intelligence mission. In addition to the physical effects on the individual Soldier, environmental extremes limit information collection capabilities. Regardless of environmental conditions, commanders need information for decisionmaking. This chapter covers environments in which operations may require special tactics, techniques, or equipment.

SUPPORT IN URBAN ENVIRONMENTS

8-2. Urban operations are military operations conducted in a topographical complex and adjacent natural terrain where manmade construction and high population density are the dominant features.

INFORMATION SOURCES IN URBAN ENVIRONMENTS

8-3. As in any environment, every Soldier in an urban environment is an information collector. Soldiers conducting patrols, manning observation posts, manning checkpoints, or even convoying supplies along a main supply route can serve as the commander’s eyes and ears. The challenge for intelligence professionals is to understand what types of information Soldiers performing different tasks and missions can provide to an understanding of the overall situation, how to get them to report, and how to leverage that information into situational understanding.

8-4. This discussion briefly addresses some of the types of information Soldiers with different specialties can provide to the intelligence staff during urban operations. It is essential to properly brief Soldiers so they are aware of their information collection tasks prior to their missions and to debrief them immediately upon completion of their missions. Prompt debriefing captures information while it is still current in their minds. It also places the information into the intelligence system sooner, increasing the likelihood that it can be used for further action. Some examples of debriefing techniques are listed in FM 2-91.6. This cycle (brief- mission-debrief-intelligence/understanding of the current situation) is continuous throughout operations.

INTELLIGENCE OPERATIONS IN URBAN ENVIRONMENTS

8-6. The fluid nature of the urban environment creates a need for reliable and timely intelligence. Information needed to develop this intelligence is difficult to acquire. The effects of concentrations of buildings on information collection efforts, the complexity and difficulty of providing specific details on the urban threat, and the lack of cultural information can compound the challenges to the collection of information in an urban environment.

8-7. With knowledge of U.S. collection techniques, threats can use the environment to impede information collection efforts. The amount of detail that needs to be collected in the urban environment and constant attention to focusing on the details that are significant in urban analysis in a particular situation creates further challenges for intelligence professionals. Current analysis tools and methods must be appropriately focused and developed to the level of detail required for the urban environment.

Table 8-3. Considerations for intelligence operations in an urban environment (continued)

Open-source intelligence

  • Academia. Courseware, dissertations, lectures, presentations, research papers, and studies in both hardcopy and softcopy on economics, geography (physical, cultural, and political-military), international relations, regional security, science, and technology.
  • Governmental, intergovernmental, and nongovernmental organizations. Databases, posted information, and printed reports on a wide variety of economic, environmental, geographic, humanitarian, security, science, and technology issues.
  • Commercial and public information services. Broadcasted, posted, and printed news on current international, regional, and local topics.
  • Libraries and research centers. Printed documents and digital databases on a range of topics, as well as knowledge and skills in information retrieval.
  • Individuals and groups. Handwritten, painted, posted, printed, and broadcasted information (for example, art, graffiti, leaflets, posters, and Web sites).
  • The Internet offers quick access to numerous types of information on urban environments, such as Intelink.

Cyber-enabled intelligence is a complementary intelligence capability providing the ability to collect information and produce unique intelligence. Cyber-enabled intelligence is produced through the combination of intelligence analysis and the collaboration of information concerning activity in cyberspace and the electromagnetic spectrum. The use of cyber-enabled intelligence facilitates an understanding of the threat’s—

 

  • Potential actions.
  • Impact on the environment.

 

 

Appendix A
Joint, National, and Multinational Planning

JOINT INTELLIGENCE OPERATIONS

A-1. Joint intelligence supports joint operations by providing critical information and finished intelligence products to the combatant command, subordinate Service and functional component commands, and subordinate joint forces. Commanders at all levels depend on timely, accurate information and intelligence on a number of an adversary’s dispositions: among them, strategy, tactics, intent, objectives, strengths, weaknesses, values, capabilities, and critical vulnerabilities. Joint intelligence must focus on the commander’s mission and concept of operations.

A-2. An understanding of joint ISR is required to understand the relationship of Army intelligence operations and information collection to joint ISR.

JOINT INTELLIGENCE PROCESS

A-4. Joint doctrine defines intelligence operations differently from Army doctrine. Joint doctrine defines intelligence operations as the variety of intelligence and counterintelligence tasks that are carried out by various intelligence organizations and activities within the intelligence process (JP 2-0). The joint intelligence process describes how the various types of joint intelligence operations interact to meet the commander’s intelligence needs. The process includes the following intelligence operations:

  • Planning and direction.
  • Processing and exploitation.
  • Analysis and production.
  • Dissemination and integration.
  • Evaluation and feedback.

JOINT TERMINOLOGY

A-5. Service-specific and joint terms describing management of information collection may differ, based on the respective Service. In joint intelligence doctrine, collection management is the process of converting intelligence requirements into collection requirements, establishing priorities, tasking or coordinating with appropriate collection sources or agencies, monitoring results, and retasking as required (JP 2-0). In the joint lexicon, collection management has two distinct functions: collection requirements management and collection operations management.

A-6.  Collection requirements management—

    • Defines what intelligence systems must collect.
    • Focuses on the requirements of the customer.
    • Is all-source- (all-intelligence-discipline-) oriented and advocates (provides and supports) what information is necessary for collection.

A-7.  Collection operations management—

    • Specifies how to satisfy the requirement.
    • Focuses on the selection of specific intelligence disciplines and specific systems within a discipline to collect information addressing customers’ requirements.
    • Is conducted by organizations to determine which collection assets can best satisfy customers’ product requests.

A-8.  Collection requirements management and collection operations management are performed at all joint levels. Each level interacts with levels above and below, as well as among units, agencies, and organizations on the same level. The further up the chain of command, the broader the perspective and scope of responsibility; the lower the chain of command, the more specific the function and narrower the scope. Organizations possessing collection assets or resources perform collection operations management.

A-9. Tasking, processing, exploitation, and dissemination (also called TPED) is the joint expression used to describe associated activities that support a joint task force commander’s collection strategy and subsequent ISR operations. Similarly, Army intelligence officers consider the analysis, production, and dissemination effort as part of planning requirements and assessing collection. Much of tasking, processing, exploitation, and dissemination occurs outside the theater of operations via reachback (what the Army calls intelligence reach) and is distributed through the intelligence architecture so requirements do not overwhelm in-theater assets. Service organizations and joint organizations provide reachback capabilities to forward-deployed joint forces. Service organizations include the National Ground Intelligence Center, National Maritime Intelligence Center, Marine Corps Intelligence Agency, and the Air Force Intelligence, Surveillance, and Reconnaissance Agency (which includes the National Air and Space Intelligence Center). Joint organizations include the Defense Intelligence Agency and the National Center for Medical Intelligence.

A-10. Two other important joint terms are collection asset and collection resource. A collection asset is a collection system, platform, or capability that is supporting, assigned, or attached to a particular commander (JP 2-01). A collection resource is a collection system, platform, or capability that is not assigned or attached to a specific unit or echelon which must be requested and coordinated through the chain of command (JP 2-01). A collection asset is subordinate to the requesting unit or echelon, while a collection resource is not.

A-11. In joint collection management, all requests for support (collection) are referred to as target nominations. From the joint collection resource perspective, an NAI or TAI is a target for collection. Target nomination boards are responsible for prioritizing collection requests and allocating resources against those requirements.

JOINT COLLECTION MANAGEMENT PLANNING CONSIDERATIONS

A-18. In joint collection management operations, the collection manager, in coordination with the operations directorate, forwards collection requirements to the Service component commander exercising tactical control over joint force ISR assets. A mission tasking order is issued to the unit selected as responsible for the collection operation. The selected unit, sometimes called the mission manager, makes the final choice of specific platforms, equipment, and personnel required for the collection operation, based on operational considerations, such as, maintenance, schedules, training, and experience.

COLLECTION MANAGEMENT MISSION APPLICATIONS

A-19. Collection Management Mission Applications is a Web-centric information system architecture that incorporates existing programs and is sponsored by several commands, Services, and agencies. It provides tools for recording, gathering, organizing, and tracking intelligence collection requirements for all intelligence disciplines. It facilitates the rapid and secure exchange of collection management data and applications and provide

NATIONAL INTELLIGENCE SUPPORT TEAMS

A-23. National intelligence support teams are formed at the request of a deployed joint task force commander. These teams comprise intelligence and communication experts from the Defense Intelligence Agency, Central Intelligence Agency, National Geospatial-Intelligence Agency, National Security Agency, and other agencies, as required to support the joint force commander’s specific needs. The Joint Staff intelligence directorate is the executive agent for the national intelligence support team program and has delegated this mission to the Deputy Directorate for Crisis Operations (also called the J-2O). This office manages daily operations and interagency coordination for all teams. The Defense Intelligence Agency is the executive agent for all national intelligence support team operations. Once on station, a team supplies a steady stream of agency intelligence on local conditions and potential threats. Mission needs dictate the team’s size and composition.

A-24. National intelligence support team personnel are often sent to support corps- or division-level organizations. However, during recent operations, national agencies placed personnel at the BCT level.

NATIONAL PLANNING RESOURCES

A-25. The following national databases and Intelink sites contain information applicable to the IPB process and planning. They should be reviewed and evaluated to determine the availability of current data, information, and intelligence products that might answer intelligence or information requirements:

  • Modernized Integrated Data Base. Accessible via Intelink, this database contains current, worldwide and theater threat characteristics (previously order of battle factors). This data is organized by country, unit, facility, and equipment.
  • National Exploitation System. Managed by the National Geospatial-Intelligence Agency and accessible via Intelink, this resource permits users to—
    • Research the availability of imagery coverage over targets of interest.
    • Access historical national imagery archives and imagery intelligence reports.
  • Country knowledge bases and crisis home pages. Many combatant commands and joint force commands have Intelink Web sites containing the best and most up-to-date intelligence products available from the intelligence community.
  • SIGINT On-line Information System. This resource is a database containing current and historical finished SIGINT products.
  • Secure Analyst File Environment. This resource comprises structured data files. The following databases are accessible:
  • Intelligence Report Index Summary File. This resource contains index records and the full text of current and historical intelligence information reports.
  • All-Source Document Index. This resource contains index records and abstracts for hardcopy all-source intelligence documents produced by the Defense Intelligence Agency.
  • HUMINT collection requirements. This is a registry of all validated HUMINT requirements and tasking.
  • Modernized Defense Intelligence Threat Data System. This resource is a collection of analytical tools that support the retrieval and analysis of information and intelligence related to counterintelligence, indications and warning, and counterterrorism.
  • Community On-Line Intelligence System for End-users and Managers. This database application (also called COLISEUM), allows users to identify and track the status of all validated crisis and noncrisis intelligence production requirements.

ALLIANCES

A-34. Army units frequently perform intelligence operations in a multinational environment within the structure of an alliance, which presents many additional challenges for intelligence personnel. The North Atlantic Treaty Organization (also called NATO) and the United Nations Command in the Republic of Korea are examples of highly structured and enduring alliances. Intelligence architectures, organizations, and procedures are well defined in alliances. Therefore, Army staffs must learn to operate within the parameters of an alliance, maintaining SOPs and standards in accordance with their unit policies but also complying with the alliance’s standardized agreements.

A-35. An alliance’s existing international standardization agreements (for example, NATO standardization agreements [also called STANAGs]) establish rules and policies for conducting joint intelligence operations. Since each multinational operation has unique aspects, such standing agreements may have to be modified or amended based on the situation. However, these agreements provide a starting point for establishing policies for a specific operation.

Similarities and Differences

A-41. There are differences in intelligence doctrine and procedures among multinational partners. A key to effective multinational intelligence is extensive coordination, training, and liaison, beginning with the highest levels of command, to make the adjustments required to resolve these differences:

  • Major differences may include—
  • How intelligence is provided to the commander (jointly or by individual Services or agencies).
  • Procedures for sharing information among intelligence agencies.
  • The degree of security afforded by different communication systems and procedures.
  • Administrative differences that need to be addressed may include—
  • Classification levels.
  • Personnel security clearance standards.
  • Requirements for access to sensitive intelligence.
  • Translation requirements.

 

English Translation of Towards an Ethics for the Technological World

Towards an Ethics for the Technological World
by Jorge Linares
Universidad Nacional Autónoma de México lisjor@unam.mx
Download original PDF here.

Abstract

This article synthesizes and updates, in part, what I have developed in the book Ethics and the Technological World (2008). The central thesis is that the current technological world has become a global system of dominance over nature and society; It is a network of technical systems that interact by increasing the complexity of interrelations and their temporal and geographical effects, because it is governed by a uniform techno-scientific reason, based on the new “force majeure”. Therefore, it is necessary to analyze and rethink the conditions and structures of the technological world in which we live, as well as to question its rationality and technological imperative of transformation and domination of all natural or technical objects. Technological projects can be reoriented or modified if they involve greater risks to nature and human life. To do this, it is necessary and achievable to rebuild an ethics for the technological world. The four fundamental principles of that ethics that assesses the effects of technological power are briefly exposed: (1) social responsibility, (2) precaution, (3) distributive justice and (4) individual and communitarian autonomy.

Keywords: Ethics; Technological World; Technoscience; Techno-Scientific Reason; Technological Risks.

Introduction

What follows is a synthesis and update, in part, of what I have shared in my book Ethics and the Technological World (Linares, 2008). Contemporary technology has become the determining factor of social praxis, and in the horizon of cognitive and pragmatic relationships between the human being and his world, because it is much more than a set of instruments and technical systems; it is rather a global system in expansion, a network of technical systems (operating through computer mediations and a telecommunications and transport network) that interact increasing the complexity of technological interrelations and the global reach of their effects on the nature and society. The next level of interaction between artifacts, technical systems and human agents anticipates a fourth industrial revolution that will interconnect with the exchange of information, action and knowledge, through artificial intelligence, to artifacts and human agents (Schwab, 2016 ). Therefore, the extension of technological power has also transformed the self-understanding of the human being (both of its own nature and its relations with the natural world), making it the main object of this great project of ontological transformation of the world.

We do not, however, currently have adequate categories to carry out an exhaustive ethical evaluation of the technological world. A discrepancy has arisen between technological power and our ethical conscience, because that power has exceeded our capacity for control – and even understanding – of what we are now capable of producing. Therefore, it is necessary to reflect on the ends, means and circumstances that must guide the transforming capacity that humanity has displayed in this new era, as well as its interactions with the artifactual world.
The intrinsic purposes of the technological system are not an inexorable necessity. Technological projects and systems can be reoriented or modified if they involve greater risks for nature and for human life. Therefore, it is necessary to discuss the need and the possibility of an ethics for the technological world. And for this, I have proposed in Ethics and Technological World (Linares, 2008) four fundamental principles of an ethics that guides individuals and social institutions to analyze and evaluate the effects of technological power: social responsibility, precaution, distributive justice and individual and community autonomy.

2. The announcers of the greatest danger

During the twentieth century, the ends of technological development became a crucial issue of ethical and ontological reflection, even though technology was not one of the topics that most worried philosophers. Among diverse conceptions, a philosophical current emerged that questioned the course of technological progress. Some of the thinkers of this current undertook critical diagnoses very similar to the modern project that advocated a total control of the human being over nature. They also warned of the beginning of a historical crisis that shrouded the foundations of the contemporary world, jeopardizing the viability of many ecosystems, the sources of natural resources, as well as the fragile environmental balances between humanity and the entire planet. This skeptical reflection of different thinkers in the face of technological progress was motivated by a common feeling of fear about the possibility of a major disaster, which could be a direct consequence of the disproportionate and accelerated expansion of technological power, because it would endanger the permanence of the essential features of the human condition, and even the very survival of our species.

Among these thinkers I chose the five who represent in the most complete way a philosophy of “suspicion” about technological progress: Martin Heidegger, Jacques Ellul, Günther Anders, Hans Jonas and Eduardo Nicol1. They read the signs of the Apocalypse in the achievements of the techno-scientific reason, because they warned that the realization of the technological utopia implied the danger of a radical and irreparable deformation of the human condition: the human being would cease to be an agent of his own destiny, because of the imposition of a technological reason that constrains him to a single end. The loss of its diversity of life forms and self-projection capacity would be linked to the destruction of its environment and the imbalance between ethical reason and technological reason. Consequently, these thinkers argued the need to generate a moral reaction that criticized the foundations of the technological world, and that revealed the blindness and unconsciousness with which human beings had given themselves to the imperative of technological reason, without noticing that perhaps they were going towards the dissolution of his own historical being (“being a protean”, Nicol called him), of his inherent freedom to be, instead of heading towards a state of full well-being and overcoming all the restrictions and sufferings imposed on us by nature from our origins.

However, the diagnoses of these five thinkers lead to paradoxical conclusions and place us before the imminence of an inevitable future from which we can not escape, either due to environmental destruction and the depletion of vital resources for our survival, either because of the new technological wars that loom over a humanity that has overpopulated the planet, or because of the radical and irreversible transformation of human nature, the dissolution of its self-conscious reason, the irreparable alteration of the genome or of the human brain, and therefore, of our moral and self-reflective capacities. The analyzes of the five mentioned thinkers lead us to a final observation: our final hour is approaching.

So, I have called those five thinkers the announcers of the greatest danger. They raised their voices in the desert of a society that has been blinded by technological achievements (many of them beneficial and indispensable, without a doubt, but also irrevocable), and that has been blinded by the dangers caused by the expansive human domain over the nature and on its own natural condition. Now we even begin to think (with a certain naive enthusiasm) that the Anthropocene Era has begun, and that terrestrial nature will never be again like before: we have altered and transformed practically all its ecosystems (Mckibben, 2003). Other contemporary thinkers already announce the integration and fusion of the world of natural objects, artifacts and humans in a new “infosphere” in which all objects are integrated through the exchange and processing of digital information (Floridi, 2014).

The characteristic of the diagnoses of the advertisers of the danger inserted in the technological world consists in the anticipation and forecast of catastrophes that are beginning to take shape in the present. The catastrophes that these five thinkers announce are ecological, historical, political-social and even reach an ontological dimension; but, above all, man himself would be in danger as being free and self-conscious, capable of self-containment and of taking responsibility for the entire planet. But his warning calls are like voices of prophets in the desert. Few believe that they were right, few are affected by the “heuristic fear” advocated by Hans Jonas, because most of us remain prisoners of what Anders called the “Promethean mismatch”: we are no longer able to imagine what “We” are provoking. We have lost the moral sensitivity to become aware and responsible for many of the effects of the technological world. Therefore, the philosophical discourse of these announcers is not exempt from an apocalyptic tone and from a pessimistic view of the human condition.

However, behind this pessimism, a firm hope is revealed in the human capacity to recover and preserve the ethical sense of its existence2, while it is still possible.

In a more calm perspective, the central problem for the ethics of the technological world consists in preserving, on the one hand, the civilizing force of social emancipation and individual autonomy that technological systems still entail; but, on the other hand, it implies generating a new sense of collective responsibility (extended planetarily and with scope for the future) that reorients and restrains the negative excesses of technological power, both on the nature and on human life. We need to generate a new sense of collective prudence that is far-sighted and anticipatory, and for this it is possible to have the expanded cognitive capacities of the computer technologies themselves and of the systemic interrelation between artifacts and human agents. At the same time, we will have to distribute in a fairer manner both the benefits and the risks of the technological world, and that distributive justice must include many other living beings that we have affected.

But why? And why put limits to technological power, if it has reported such great general benefits? Is not its course inexorable, impassable? It is precisely the ontological features of the technological world and the particular form of rationality that governs it that denote the source of the greatest danger that advertisers envisioned: its accelerated expansion and its disproportion, its lack of limits, its hubris.

3. The technological world as a primary environment

The technique in its current state stopped being mere instrumentum to become a horizon of possibilities that shapes our primary environment. For the first time, we inhabit an environment of bio-artefactual and industrialized nature, which is full of artifactual objects, separate and -in part- confronted with the environment in which we evolved. Thus, contemporary technology has become a technological world. The return to a natural world would only be possible after a catastrophic destruction of technological civilization. Many of the negative utopias, Mad Max style, have anticipated this in literature and film. The radical transformation of our environment, which goes from the natural environment to the bio-artifactual, does not imply a simple transposition or a conversion in an artificial world that we can lead and govern fully. The technological world subsumes, of course, parts of an untransformed nature, living organisms and natural forces that we can not control or drive because we do not understand them at all.

The technological world is a more complex and entangled hybrid, a hybrid of physis and techne, which is being developed in a systemic and almost organic way, independently of our own designs. We do not yet know how the causes that produce many of the effects of the natural world that remain and articulate with the artifactual systems and the technical socio-systems act. Our current artifactual world is of greater complexity and has become so immediate and, at the same time, inaccessible.

As the authors of Next Nature (Van Mensvoort, 2011), coordinated by Koert Van Mensvoort and Hendrik-Jan Grievink point out, in our time we should reconsider the usual conceptual difference between nature and culture, or between born and grown naturally and what is produced or done technically; since, on the one hand, human intervention has managed to transform many natural entities and, on the other hand, the systems created by humans have become so autonomous that they seem to assimilate to the things that naturally arise without our intervention. Instead of continuing to think about the classical Aristotelian division between things produced by nature and those made by technique (Aristotle, 2001), the Next Nature authors propose to think now of the distinction between what we can dominate or control (technique) and what is not yet, or that is beyond the possibility of being controlled (the truly other). In this way, it should no longer be relevant, if living organisms (micro or macroscopic) are “natural” or have been bio-technologically intervened, but if we can control their design, production and operations, as we can do, to a certain extent, with conventional devices such as telephones, machines or robots3.

We have been able to achieve technical mastery of living beings through a long process of domestication that began thousands of years ago, which now reaches a new level thanks to genetic engineering and synthetic biology. We can extract and modify natural entities such as oil and many minerals; In a certain way we could say that we can “control” the nuclear energy coming from fission; but we can not yet technically control many viruses, microorganisms, climatic phenomena such as hurricanes or tornadoes, or anomalous biological processes such as cancer and other genetic mutations. In the same way, we can not fully anticipate the behavior of systems and things created by human technology: computer viruses, vehicle traffic in cities, or information traffic on the Internet. Thus, our notion of the “natural” must evolve to account for the multiple ways in which we now intervene and modify natural entities and create cultural hybrids, naturoids (Negrotti, 2012) and bioartefacts (Linares & Arriaga, 2016) that are of a different nature from the contemporary technological world. The distinction between what is controllable and what is not will change our old notions (of Aristotelian heritage) about physis and techne: a genetically modified tomato is part of the cultural field of what can be controlled by technology (at least that is what biotechnologists assume), whereas computer viruses or vehicular traffic in large cities would belong to the scope of a new modality of the “natural” or uncontrollable by technology, although its origin may be artifactual or cultural. So the essential distinction between the technical (artifactual or artificial) and the natural would slide towards what can be intervened and controlled and what is not, no matter what its origin. In this way, a new modality of nature is being developed, a next nature; and for that reason Mensvoort maintains that now “real nature is not green”.

Virtually no nature exists that has not been affected or touched by human technical action. Nature in its natural state is fading due to the expansive effect of intervention and technical mastery over all the entities and ecosystems of the Earth (Mckibben, 2003, Purdy, 2015). This implies that, from the epistemic and aesthetic point of view, the differences, previously ostensible, between the natural and the technical, also fade. This process is due to the growing capacity of biotechnologies to modify, alter, (re) design and control the operations of living organisms, tissues, microorganisms, biological molecules, but also all the technologies that have altered the chemical components and equilibria and physical ecosystems, for more than a century. This is due to the advancement of biotechnologies in their capacity to intervene in living matter, and to abiotic technologies, in their ability to transform matter and energy in general. The digital and computerized convergence seen now will be between abiotic artifacts, bioartefacts and human subjects, exchanging digital information and genetic information, combining their materials and structures through nanotechnologies and info-bio-technologies. Thus, in the technological world, the onto-technological transformation of matter, both inert and alive, in new forms of objects, materials and living organisms unprecedented in natural nature will most likely occur.

The underlying process, in any case, for this radical mutation in the contemporary world is the development of technoscience and technologies since the 20th century, as the last manifestation of the modern project of technical domination of the whole natural reality. The main objective of this global civilizatory project is the domain and technological intervention in nature, both biotic and abiotic. It has consisted in a colossal project of technical colonization of nature to adapt forces, entities and natural processes to human ends, to provide sufficient means for the material well-being of humanity, as pointed out by Ortega y Gasset in his Meditation on Technique (Ortega y Gasset, 2015). From the modern view of technoscience, every natural entity and, in general, nature as a whole system are shown as available to be raw material of very different kinds of productions; to be transformed, altered and adapted to the forms and functions that humans need, imagine or desire. This universal device of technical modification that compels all current societies is what Heidegger called the “essence of technique,” or Gestell (Heidegger, 1995).

Thus, every natural entity acquires only an instrumental value, while its inherent value is irrelevant to the techno-scientific vision. In this dichotomy between the instrumental and the natural, the onto-technical distinction between the natural and the artefactual emerges4. Following the classical Aristotelian conception between what is generated by physis and what is produced by techne, the natural is that which has not been intervened by the human agency in none of its four causes (material, formal, efficient and final). The artifact necessarily implies that something, however natural it may be, has been intentionally intervened in at least one of its causes. The artifactual only exists and remains because of the purposes, purposes and human designs, while the natural remains totally apart from these. The artefactual must contain an extrinsic purpose, assigned by human agents (in the future they could be IA agents); while natural entities (living organisms, typically) have intrinsic or immanent purposes (hence their “inherent value”, in addition to being manifestations of an evolutionary chain). However, as Keekok Lee points out:

The most radical and powerful technologies of the late twentieth and twenty-first century are able to produce artifacts with an increasing level of art-facticity. The challenge posed by the modern homo faber is the systematic elimination of nature, both on the empirical and the ontological levels, and in this way, generating a narcissistic civilization (Lee, 1999, 2).

Consequently, the project of the techno-scientific civilization intends to convert everything that exists in nature into an artifactual product; Within this purpose, radical transformation is included, in ontological, axiological and aesthetic terms of all living organism in an artefactual living organism, that is, in a bioartect, with different degrees of artifactuality or artifact, depending on the degree of scientific knowledge and technical control that has been achieved.
This is the work plan of biotechnologies, nanobiotechnology, genetic engineering and synthetic biology. Nature thus becomes, through these powerful biotechniques, a bio-artefactual hybrid, acquires a cultural, flexible, plastic form and evolves along with our cultural representations, ends, ideals or debates and social controversies. In this way, the philosophical challenge that disturbs and causes astonishment is whether this advancement of the technosciences can lead us to a situation in which the difference between the natural and the artefactual is completely diluted, that is, in which the artifactual replace everything natural irreversibly. This is the ultimate purpose in the Age of the Anthropocene. In this way, we would have a completely manufactured nature, nothing would be left of nature in its natural state. This is what we can call a bioartefactual revolution in progress.

The worrying thing about long-term modern technology might not be that it threatens life on Earth as we know, because of its polluting effects, but it could ultimately be the humanization of all nature. Nature, as “the Other”, would be eliminated (Lee, 1999, 4).

4. The Rationality of the Technological World

The rationality that governs this technological world is a new and powerful modality of pragmatic instrumentality whose goal is the achievement of maximum efficiency in the control and domination of natural entities and social systems. This rationality is characterized by its ability to reduce the entirety of nature – not just the human being itself- to act as a reserve available for manipulation or technical transformation. The danger to man’s being (which the five announcers envisioned) resides precisely in the illusion that everything that comes our way exists only insofar as it can be used or technically transformed. To this end, the technological reason has managed to subordinate scientific reason and has been able to displace the theoretical reason (scientific or philosophical) of the central position it occupied in the history of Western civilization.

Technology has become the necessary and indispensable environment for the pragmatic ends of human beings because they have become primary goals, displacing the theoretical and contemplative, the aesthetic or religious and any other modality that does not respond directly to the pressure of the need. The new technological reason is, as Nicol thought, a force majeure that predominates in all areas of social activity. The technological reason now configures the conditions of human experience: the way in which we represent the world, the way in which we act in it and the criteria we use to value it. It is no coincidence that we are obsessed with measuring, calculating, transforming, instrumentalizing, reifying, converting everything we find in the world into an object, commodity and economic value.

Now the technological rationality (uniform and universal pragmatic rationality) has become predominant and threatens to extinguish the theoretical rationality and all disinterested forms of relating to things. This is the phenomenon that Eduardo Nicol calls force majeure: it consists in the emergence of a unilateral reason that is imposed by necessity on free actions (hence its greater force), which does not run dialogically, which does not give reasons, that it is indifferent to the truth, that it is violent because it is based on force, that it subordinates individuals and institutions to a new form of unnatural necessity in a totally artifactual world. The two forms of reason are now confronted, theoretical reflection, detached from pragmatic and productive needs, struggles to survive, bearing witness to the emergence of reason of force majeure. If the theoretical reason declines until eclipsing itself (Nicol, 1972), the independence of human reason and the possibility of a free connection with the totality of being would be lost through the search for truth, beauty or simple shared reality. It is no coincidence that in the technological world of instantaneous communication networks, truth is no longer a social reference. In the technological world of digital virtuality, anything can seem true, real or current. Only the dialogical logos of reason that gives reasons is capable of recovering the world of objectivity and reality, both natural and social.

Technological rationality is imposed as a kind of imperative that places the human being to transform and exploit the natural reality. This “technological imperative” implies that everything that can be done technically is morally justified and that, at least, everything technically possible is in the process of being realized and must materialize. There again appears the greatest force of technological reason: our destiny is already defined by it. Of course, technology is conditioned by a series of social, economic and political factors, but the idea of ​​the “technological imperative” points to the foundation of technological rationality: a relentless collective will of power over all the objects that are or should arise in the world. The increase of power (maximum effectiveness and efficiency to convert every object into a commodity, and all value in exchange value for the world market) is the ultimate goal to which all other conditions and all the ends of human agents are subordinated.

5. Artifacts, Systems and Technological World

We usually think of technology only as an object or instrument “at-hand”6 that we can use and control at will. That was the general condition of the technique in past history, but it is not now. Until the beginnings of modernity, the technical world was composed of instruments, tools and simple systems. The present is a technological and techno-scientific world that concatenates multiple technical systems, artifacts, natural systems and human agents, and that gives them more and more agency to all artifacts and technical systems. The medium that has been developed to interconnect them is digitalization and computer systems, but this was only possible on the basis of a material interrelation of the industrial and productive systems that transformed matter and energy as a global base of new technological systems. The most serious problems in the technological world derive from this extractive and productive material base: they are still based on the extraction and exploitation of land and sea resources, the combustion of fossil energy and its transformation into materials of different nature, as well as in their conversion by combustion in electrical energy. This material world of high extraction is the base of the technological world of telecommunications networks and digitalization of all information.

Now, the concrete artifact is not, in general, the nucleus in which the problem of the ends and values ​​that determine the actions of the contemporary technological world is revealed, but precisely the place in which they are hidden. Before the instruments and devices of the technological world, the ends seem clear and explicit in the immediacy of the actions. The whole problem would be reduced to choosing between an appropriate use and an inappropriate use of the artifacts. It would seem that the relationship of ends and means is transparent and that it is easy to evaluate technologies and anticipate or prevent risks. This has been the thesis of the anthropological-instrumental conception -as Heidegger called it- that still predominates in our common sense. This conception supposes that the subject can always manage the instrument at will and determine its purpose, and that the technique is no more than an inert medium and without its own agency to do something, which is under our control, which is left to use as soon as you want and that has no own purposes or complexity. But it’s not like that. To a large extent, one of the primary objectives of an ethics for the technological world is to deconstruct this instrumental representation of technology and show its limitations. Artifacts and devices only exist, have function and agency in a network of multiagency interactions in the technological world. This is a “hyperobject” that does not already have an encompassable and manipulable dimension (neither fully comprehensible) as a thing or a conventional object and spatially and temporally delimited7 (Morton, 2013). But it is the most concrete, and in it unfold ends and causes that are not visible, nor easily predictable, nor do they depend on the intentionality and will of the human subjects. The system of the technological world has not come alive by itself, like a huge Frankenstein, but has reached a level of complexity and almost organic systematics that works by its own logic and impulse compelling human subjects to subordinate themselves to the technological world.

As we pointed out, the interconnection and communication between abiotic artefacts and human agents through computer technologies is already being seen as the next necessary step (Schwab, 2016), which will accelerate the systematic and organic action of the technological world. Therefore, contemporary technology is much more than a set of instruments and technical objects, it is rather a global system in expansion (as Ellul thought); it is a network of technical systems8 that interact by increasing the complexity of the interrelationships and the global reach of their effects on nature and society, both in the geographical space and in physical and historical time. Its effects and consequences are cumulative and entropic, some irreversible, but many of them practically unpredictable. For this reason, the epistemic complexity to understand, evaluate and calculate or measure the causes and effects of the technological world has increased beyond our natural cognitive capacities.

Much help is now required by the systems and computing devices that already carry out the massive data mining (big data) that generates and drives the technological systems. But that world that we have built with our actions and decisions is no longer within reach, neither in cognitive terms nor in practical terms. An ethics of the technological world must understand how technology acts in both the hyper-objective and the world-system, through an action imperative manifested in large technological systems, for example, in the telecommunications and information technology network, or in the industrial production chains, their distribution and global commercialization and their environmental waste or their incorporation into the human body.

Faced with this systemic dimension (not instrumental) of the technological world, which is not evident in the immediate technical objects, the philosophy of our time faces the challenge of discerning what is the meaning and ultimate goal of the technological world; that is, to clarify the purpose of the deployment of a will to power that compels the human being to carry out and develop everything technically possible, transcending the limits of culture, society and nature itself.9

The properties of the technological world that impel ethical limits

An ontological conception of the technological world must delimit what are the essential features and emergent properties of our current world, because these concepts constitute the basis for a more effective ethical inquiry that is not reduced to a personal or local dilemma, but that includes the planetary dimensions of what is at stake.

1. Artifactuality and artificiality. The technological world is not natural; nature has been subsumed, transformed into the technological environment and converted or subsumed into artifactual and artificial systems.10

2. Pragmatic and economic rationality. In the technological world any natural object can be converted into an artifact and any artifact into a commodity or object with exchange value, enhancing its use value. Its ultimate purpose is the search for maximum efficiency and operational efficiency in all orders of human praxis. However, in the technological world, values ​​and technical goals are often in conflict with the economic ones of the capitalist world. We must point out that the current technological world is completely subordinated to the world of globalized capitalism.

3. Artifactual location of nature and living beings (bioartefactuality). The technological world is based on a universal availability of every entity to be reduced to the object of transformation and technological manipulation, to convert all nature, in its parts and in its systems, to living organisms and their biochemical and cellular components, genetic and genomic, in an artifact or technological product, patentable and marketable, before being used effectively.

4. Progressive self-growth and global dimension of its scope, both in space and time. This self-growth entails a relative form of autonomy with respect to social systems (economic, political, ethical). Self-growth is the basis of the ideology of technological progress and the imperative of artifactual innovation. This imperative of innovation arises not only from social needs, but from the needs of growth of capital and markets. One consequence of this geographical expansion is the uniformity of values, ways of life and cultural criteria. The technological world is a homogenized and normalized world.

5. Complex, organic and systemic interconnection. The technological world is a system of increasing complexity due to the intentional or accidental interconnection between the different and different technological subsystems. The interconnection has advanced in two dimensions. First, by interconnecting abiotic devices with each other through computer devices; then to these with the human agents. A third level will be the computer interconnection between artifacts, humans and computerized bio-devices. In a first dimension, it is physical information, through electronic supports, what is communicated and processed. The second dimension is the exchange of genetic and biological information between living organisms (including, of course, humans). The third dimension of interconnection could be the combination of physical and biological information at a molecular or atomic level, at a bio-nanotechnological level. The interconnections build new technological systems of greater reach and penetration, both in the material structures of objects or organisms and in the global networks of interaction of the systems.

6. Generalized but diffuse risk and danger of systemic collapse. We now live in a “risk society” as characterized by Ulrich Beck (1998), because technological power can cause irreversible damage to nature, to living organisms and to human life. The systems can collapse and, nevertheless, remain functional, as long as the sources of energy or matter are not exhausted, this is already the case with ecosystems or urban systems. Risks increase, and are complicated by the effects of global climate change and biodiversity loss, but their social perception becomes diffuse and this is derived from the characters I mentioned previously -centralization and increasing dependence, self-growth, systemic interdependence. The possibility of catastrophic accidents occurring in technological systems is increasing due to interdependence, the global dimension, centralization and progressive chain-linking. Chernobyl was just one example of the major technological risk in the contemporary world. If technological catastrophes are possible (although they seem unlikely), this rationally obliges us to anticipate and foresee the worst. The risk has increased, in addition, to the extent that techno-political decisions are concentrated in a few people,11 because the technological systems are centralized and depend on artifactual monitoring systems and still on human agents who must make crucial decisions.

7. Relative autonomy of technological systems. The technological world seems to progress and grow in an autonomous way. Therefore, the challenge for the ethics and politics of our time is to establish bases for the control and social evaluation of technologies, through a new culture of ethical values ​​and co-responsible actions among scientists, technologists and the rest of the society. Technology and technoscience can not equip them themselves with ethical ends and criteria. It is the entire society that must evaluate, conduct and guide them according to principles and rules based on the vital interests of humanity, and through more open deliberation and decision processes involving all users and possible affected.

The autonomy of technological systems is not only ethical and political, it is in itself an epistemic challenge. As the power of intervention and action in the technological world grows, the effects and consequences (both planned and unforeseen) have spread geographically to the entire planet and temporarily to the remote future.

A new social power, arising from the ethical awareness of the traits that characterize the technological world, is necessary and possible to face the negative consequences of technological power, without having to renounce its undeniable achievements and without restricting the freedom of techno-scientific research.

7. The Principles of Ethics for the Technological World

Based on an ontological conception of the technological world, we can formulate a series of basic principles for an ethic that faces its consequences, unprecedented challenges and risks that are difficult to predict. But this implies the need to question and surpass certain limits of the western ethical tradition. According to Hans Jonas (1995), ethics hitherto were based on two premises that prevent fully face the new conditions of globalized technological action:

the human condition is fixed and immutable
b) the scope of the human action and, consequently, responsibility has short reach in space and time.

From my point of view, anthropocentrism, ethnocentrism and limited spatio-temporal scope12 are the three features that have aggravated the “Promethean mismatch” (Anders, 2011) that occurs between a technological power that expands in an unlimited way and our conceptions and institutions, as well as ethical and political decisions, which are disjointed and do not respond to new historical conditions. In particular we can point out:

Anthropocentrism. Our ethical tradition has not incorporated as objects of moral consideration other living beings, as well as the natural environment as a whole as “moral patients” that receive the effects of human action. In the purest Kantian tradition, only the human remains a source of moral duty for the majority. At the same time, we continue to think that human “nature” is fixed and invulnerable, that human beings can not be the object of radical technological transformation. However, one of the most challenging technological goals is the overcoming of the human condition, technological transhumanism.

Ethnocentrism. The Western ethical tradition has given priority in its moral consideration only to a cultural group that is supposed to be homogenous (the Western, Christian, “white” world, which uses technological reason and believes blindly in the benefits of the world capitalist market and in representative democracies, now tele-governed by technocratic elites). In this way, the illustrated project of technological reason has also involved the project of dominating one culture over the others, trying to impose “their” universal values. The result has been a violent and, at times, genocidal and ecocidal domain. Technological ethnocentrism – which has been fundamentally Eurocentric and Occidentalist – clad in techno-idolatry and blind faith in technological progress – has prevented humankind from reaching a truly universal vision of the elementary ethical principles that will be necessary to face the new global challenges.

Ethnocentric prejudices have been analogous and joint to the prejudices of “species” (which justified anthropocentric domination over other animals): racism, slavery, anti-Semitism, etc. Ethics for the technological world must be affirmed in a paradigm that recognizes the community (biocultural, genetic) and, at the same time, the diversity (historical and cultural) of the human condition. It must rescue and protect traditional knowledge and avoid the biopiracy of the technical and bio-cultural goods of many communities; it must avoid environmental destruction and the excessive extraction of natural resources or the plundering of territories where the ancestral communities live or that predate the technological modernity.13

The limited vision of the spatio-temporal reaches of human actions. Western ethical tradition has functioned as an ethic of proximity, both spatial and temporal. Hans Jonas (1995) points out that this conception can continue to apply to the sphere of interpersonal relationships, but not to the technological world in which human actions are integrated into a complex system and, therefore, have remote reaches, affecting the future generations of human beings and the entire biosphere. For the first time in history, the humans of the future must count on their survival interests, as well as those of the present. At the same time, “an ethic for the future” implies building an ethic that enforces the inheritance that our ancestors left us and that repairs the damages to those who have already been victims of the technological world. These victims have not been only human, thousands of species have become extinct or are seriously threatened by the relentless development of technological power.

Based on the thesis of the announcers of the greatest danger, ethics for the technological world can argue that signs already exist in the current situation that would imply the possibility of different catastrophic scenarios. If there is the possibility of this greater danger, then the new moral imperatives will enunciate the basic principles to ensure the continuity of the existence of a humanity capable of responsibility, a humanity that preserves its essential ethical condition. But this is only possible if what is left of the natural world is protected and preserved. The technological world can not end up engulfing all ecosystems or continue to deplete natural resources or accelerate the extinction of species and the loss of biodiversity. Water, land, sky, living organisms are the new objects of protection of collective responsibility, a precautionary responsibility and that is capable of acting with justice among humans, as well as between humans and the rest of living beings.

In particular, a task of ethics for the technological world focuses on the critique of the ontological and moral anthropocentrism of the Western tradition: the limits of the moral community are not identical with the limits of the human species. All the individual living beings and the collectives formed by them deserve moral consideration because they possess an intrinsic value (not instrumental, not technical), and are in charge of our responsibility precisely because our technological actions can endanger their existence. The critique of technological anthropocentrism does not imply denying the uniqueness and ethical irreducibility of our species: only human beings are moral agents, capable of obligation and ethical responsibility. On the contrary, it emphasizes our ontological singularity: as long as the technological reason of force majeure does not obliterate our ethical reason and our capacity for awareness and empathy with all that is alive, we are obliged to respond and react to save what remains of the natural world.

However, our ethical tradition requires a radical transformation that must go in the sense of extending the field of moral consideration beyond human beings, but without betting on a superficial and egalitarian biocentrism that advocates an identical value for all forms of life. It would be, rather, to look for an intermediate and perhaps provisional position (a moderate anthropocentrism and a hierarchical biocentrism), since it must be constantly revised by a global and intercultural dialogue. Among the most complicated decisions are how to intervene or act to protect other living beings and whole ecosystems, because any technical intervention will have effects. Furthermore, for living organisms that have been transformed into bioartefacts, different obligations are imposed than for living organisms (especially plants and animals) that have not been transformed, dominated or incorporated into the technological world, since they must be preserved in natural reserves. These are basic principles of environmental justice between living beings that must put ethics into practice for the technological world. As an ethic of self-containment of technological power (Riechmann, 2004), the enormous challenge in the technological world will be to limit the excesses of that power and to deactivate the rhythm of production, extraction, exploitation and destruction of nature. Much more problematic will be the necessary actions of remediation and ecological recovery of the ecosystems. In these actions, a technical intervention is necessary that must be prudential and with very limited objectives.14

The principles of an ethics for the technological world must be in correlation and in constant confrontation, but on the condition that they do not eliminate each other, maintaining a minimum level of individual and collective action. These principles will aim to revitalize a set of universalizable values ​​to reinforce the ethical links of humanity with its world, both natural and artifactual. The technological rationality can be contained and reoriented taking its own criteria of operational efficiency, as well as its resources and computing and cognitive, productive and reconstructive devices of the natural and social world.

My hypothesis is that it is possible to achieve the formulation of global and transcultural principles that support criteria of technoscientific action valid for all humanity, recognizing and respecting the historical-cultural plurality of existing moral conceptions and practices, as well as traditional knowledge and values local. And this is possible if the global, systematic and extended scope of actions and interconnections of the technological world are taken advantage of. The negative features that the critics of the technological world pointed out could be reversed, because they contain the potential to support a set of universal and differentiable values ​​that have practical efficacy, as long as it is possible to establish social and international agreements for the evaluation and effective regulation of technological systems.

8. Conclusion

To conclude this synthesis, I will comment on the principles of an ethics for a technological world.

A) Principle of responsibility that determines what we are obliged to care for and preserve the integrity and dignity of human life in the first place; that is, the primordial object of responsibility is a human life that preserves its characters of ethical conscience and free action, of finitude (birth-mortality), vulnerability, unity and biological-genetic community. The first moral obligation is, then, to ensure the existence of moral beings with responsibility. Therefore, the analysis and evaluation of eugenic or transhumanist anthropotechnologies is problematic.

Responsibility implies the development of scientific knowledge to prevent and anticipate the negative effects of technological intervention, as well as the widest possible dissemination of what is known about risks and harms, so that society can make decisions through democratic procedures that involve those directly affected. The principle of responsibility implies a profound questioning of our democratic institutions and practices, as well as the individualism and fragmentation of social life. If the danger that lurks is common (the global ecological crisis), the ethical response must be coordinated and the risks must be shared equally. If the technological world is systemic and global, the ethical-political response must also be systemic and globalized.

B) Principle of precaution that indicates that, in the event of a danger based on reasonable forecasts, although there is no conclusive scientific evidence, and if the possible damage is incalculable or greater than the expected benefit, it is necessary to review the technological action planned, stop it, modify it or inhibit it. The precautionary principle does not reject every risk and every type of damage that is the effect of a technological action, first of all, because many of the effects are unpredictable; but it indicates that the damage or badly expected, with well-founded reasons, can not be incalculable or ostensibly greater than the projected benefit. The damages and risks must be maintained at a rationally acceptable level, as long as they do not imply an unfair distribution among society.

C) Principle of protection of individual and community autonomy. Technological actions must protect, favor and strengthen individual autonomy so that each subject can decide in a responsible way about their body and their own life, without affecting or restricting the autonomy and freedom of others. Individual autonomy can collide against the principle of responsibility. The biotechnological possibilities of transformation of corporality would be an exemplary case. The biotechnological modification of the body would be an individual right, but at the same time, it could put at risk some trait of the human condition. Therefore, this technological intervention on the human body and mind must be very prudent, and advance first in negative eugenics actions to cure diseases and disabilities and equalize development opportunities. Likewise, the principle of community autonomy implies recognizing the right of different communities to use other means or to reject, with well-founded reasons, technological systems and innovations that affect their territories, natural resources or material cultures. The loss of bio-cultural diversity (such as sowing and cultivation methods or therapeutic and medicinal techniques that use natural resources) is also a serious decrease in natural and biological heritage.

D) Principle of distributive justice of technological benefits, but also of risks. Not only does it mean that more and more people benefit from technological development and that the gap in living standards between rich and poor countries is narrowing, but also that the risks are reasonable and socially and internationally shared. Ecological problems affect everyone, but the risks and harms increase for the most vulnerable in the socioeconomic scale.

The ethical principles indicated are only the axiological bases for ensuring the continuity of a humanity capable of being responsible for the effects of its techno-scientific power, a humanity that preserves its essential ethical condition, that is capable of being responsible for the natural environment on which it depends. to survive, as well as the bio-cultural and techno-scientific heritage that will bequeath to future generations.

Footnotes

1 Main works in chronological order: M. Heidegger, The question by technique (1949); J. Ellul, The technique or the bet of the century (1954); G. Anders, The Obsolescence of Man (1956); E. Ni-col, El pro-venir de la filosofía (1972), and H. Jonas, The principle of responsibility (1979). In Ethics and technological world, I dedicate separate chapters to each one to analyze and evaluate their diagnoses.

2 The ethics of anticipation of catastrophes reveals that it is precisely the indeterminacy of the historical events that we are witnessing (techno-scientific innovations and their repercussions in the world) that allows us (and does not oblige) to think about the possibility of a scenario. negative, result of present actions. Posing the possibility of catastrophe does not imply a deterministic conception of history and a denial of human freedom, but quite the opposite. It is the call to collective responsibility to preserve the limits of the human condition. The greater evil is possible as a consequence of our own actions; Our responsibility is to anticipate, anticipate and avoid it at all costs.

3 The concept of technical control is fundamental in current technological operations. Control involves a wide range of cognitive and practical actions. It includes the actions of inspecting, monitoring, checking, supervising, as well as intervening, regulating, moderating, limiting, governing and, finally, the highest degree of control is the domination of an object or system of objects.

4 We will always refer to the relationship and dichotomy between natural / artefactual and not between natural / artificial, as they say. The artificial can come to replicate the natural, at least in its forms and functions; while the artifactual can also be natural, at least in its intrinsic materiality and ends, but it will always contain a degree of artificiality, since human work inserts functions or purposes that are not natural in the bioartefacts, but simulate or imitate processes natural, as is the case of transgenesis or genetic horizontal transfer between species, which is produced technically in GMOs replicating what, rarely, happens in the biological interaction between natural species.

5 Keekok Lee uses the term artefacticity, “artifact”. I have preferred to use artifactuality and bioartefactuality. Both terms are adjectives that indicate the quality of being products of the technique (art) and not only of nature. Thus, the terms I use are the following: a) artifact or abiotic artifact, which is done by technique and is not a living organism in and of itself; b) bioartefact, the biotic artifact that is the result of technically modifying a living organism, but as such it subsists by itself and in itself as a “natural entity” linked to other living organisms and linked, in principle, to evolution; d) bioartefactual, quality that is predicated of a living being after having been modified by technique; e) bioartefactuality, a substance that indicates the scope in which and for what occurs the bioartefactual; f) bioartificial, a quality that is predicated on an artificial biotic artifact or without natural biotic material that imitates or replicates in its basic operations a natural entity, with different biochemical components and structures (another form of genetic code or chemical compounds), but which it would not be by itself a living natural organism evolutionarily linked to others; g) bioartificiality, a noun that indicates the sphere in which bioartificial events take place. This last modality of artificial bio-artifacts has not yet been produced.

6 This is the usual conception of the technique that Heidegger called “anthropological-instrumental” in his famous The Question for Technique (1949).

7 According to Timothy Morton (2013), “hyperobjects” are characterized by their viscosity or elasticity, their non-locality or spatial dispersion, their “temporal undulation” or diffuse persistence, their discontinuity in phases, and their interobjectivity or interaction with many other objects. Hyperobjects can be natural phenomena, social or artifactual systems.

8 The concept of “technical system” has been coined by Miguel Ángel Quintanilla in Technology: a philosophical approach, Fundesco, Madrid, 1989. (2nd ed. In Fondo de Cultura Económica, México, 2017). A technical system comprises artifacts, materials, energy, human agents (operators, designers, users, etc.), specialized knowledge, techniques, actions and operative processes, values, purposes and specific purposes.

9 The rationality that dominates in the technological world supposes that the natural reality (including human reality) is modifiable in accordance with the goals that we propose, because nature can be reconfigured at our whim. The technological world has no limits, both in the sense of its geographical expansion and in that of its action capabilities, since everything is in an evolutionary flow, nothing has a fixed structure and structure, nature and man himself can be reconfigured and rebuilt, everything is technically possible. The liquidity of technological ontology is a principle of neutralization of the value of all entities, natural or artifactual, equating them as objects-instruments-goods. For this reason, Anders commented that in the technological world a new form of axiological “nihilism” predominated: everything is equal or not valid if it can not be transformed, used and converted into a technical object with value in the world market.

10 It is convenient to distinguish between artifactuality and artificiality. The first expresses the transformation of any object, matter or process into an artifact or technical object, a transformation that implies, at least, the modification of some of its causes and the introduction of a purpose or function assigned by humans. In contrast, artificiality involves the construction of artifacts that simulate, imitate, replicate or substitute natural objects, processes and systems, but which are made of non-biotic materials, such as artificial hearts, artificial legs or arms, artificial pearls, artificial textiles, artificial teeth, artificial intelligence, artificial respirator, artificial flavors, etc. The artificial is also called synthetic and normally the prostheses are artificial artifacts. The next step posed by synthetic biology is the construction of artificial bioartefacts, made of materials, components and biochemical (genetic, cellular and molecular) structures that are not natural or unprecedented in nature, but that replicate or imitate the way they work, The living organisms develop and reproduce.

11 The great imminent risks in fossil, nuclear, chemical, informatics, genetic and biochemical, neurological or nanotechnological technologies now have a potential global reach that would extend over time, which is why they are not compensable in economic terms. There would be no insurance premium to cover the destruction that these technologies would cause, if they were to fail (Beck, 1998).

12 We can also add androcentrism, since it has become more evident in our time than in many of the debates and technological controversies there is a problem of gender equity. Currently, both the development of technosciences and the crucial decisions on technological innovation and regulation remain in the hands of men. The lack of prudence and the overvaluation of risk-opportunity for techno-scientific development are usually identified as more masculine than feminine values. What would happen to a more feminized technoscience, more empathetic with nature and living organisms, more prudent and balanced, with less effort to dominate and exponential growth in the production and extraction of natural resources?

13 There have been many problems and debates about technological projects that, backed by governments, expropriate or allow the exploitation of natural resources in places where traditional communities live. This was the case in Mexico with the case of Wirikuta, sacred site of the Huicholes Indians (in Nayarit, northwestern Mexico), which was granted to foreign companies for the massive extraction of minerals. See: https://es.wikipedia.org/wiki/Wirikuta

14 For example, it would make sense to revive biologically extinct species if their ecosystem functions are essential, but not to try to revive species that went extinct millions of years ago or viruses and bacteria that have been eradicated due to their dangerous and lethal effect on human health.

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Identifying Convergent Needs Across Different Economic Sectors: A Path To Building a Robust Software as a Service Industry Summary

PhD in Technology Management and Innovation Research Essay

Identifying Convergent Needs Across Different Economic Sectors:
A Path To Building a Robust Software as a Service Industry Summary

All existent literature investigating Colombia’s business operations and long term planning policies indicate a significantly lower than average level of national investment in Science, Technology and Innovation and major issues within the software industry.

Because new advances in the capabilities of software to solve business problems are not adopted, in part because of a protective trade regime, Colombian businesses have generally fallen behind their competitors in their ability to compete internationally as well as negatively impacting Colombia’s software service and support sector by keeping it underdeveloped. This is a major issue for Colombian businesses as logistics provided by Software as a Service is a fundamental enabling platform that impacts on the competitiveness of diverse sector activities, as well as on international commerce.

By researching information management systems currently used by specific industries in Colombia with synergistic overlaps or comparative advantages, the needs of these companies are better able to be articulated. Once properly formulated, it is able to be developed for the near future.

Through the use of knowledge and information management research tools as well surveys and interviews with the technology officers of Colombian companies, I will formulate the articulation of business needs as well as outline a specific process for implementation based upon current government human capital development programs.

From the perspective of implementation, it also will be necessary to differentiate articulation between sectoral management and cross-directions, to allow a dual vision as a sector and platform in some cases.

Area and Line

Strategy and Foresight is the area and line that will be guiding my research.

Since many Colombian companies are strategically protected due to existent trade laws, taxes and duties – their short-term vision devalues investment in innovation and miss opportunities to become more competitive (Marin, Aramburo, Velasquez).

Gaining strategic insight into appropriately chosen business operations will allow for the identification of unrecognized needs, poorly performing processes and areas where accelerated integration and modernization can occur with the highest return on investment.

This foresight, if applied, will better equip Colombian businesses to better compete internationally, encourage the development of a stronger SaaS sector. This is imperative, as in the words of PSL CEO Jorge Aramburo, “the main problem in Colombia is that there is still a huge shortage of IT people… Right now, trying to compete without software is the same as trying to compete without electricity, and the world doesn’t have enough people to make the software that we humans now need… When supply and demand are not balanced, prices go up, and that is happening in every country. The problem is serious…” (Kendall)

Problem

Colombia is the third largest provider of IT services in Latin America with more than 5,400 companies. It represents 1.19% of Colombia’s GDP. The American software industry is the most advanced in the world, indirectly accounting for more than 15% of US GDP, with compensation packages so attractive that they are able to draw the best and brightest from around the world (Procolombia).

While U.S. investment into Colombia tech companies, assisted by organizations like ProColombia and others, do provide foreign capital to these companies, it is puts other Colombian businesses at a distinct disadvantage.

Rather than Colombian nationals assisting Colombian companies become more innovative and competitive in the global market, this human capital becomes devoted to assisting U.S. business operations.

My research work would investigate the software needs of appropriately chosen businesses to provide specific insight into the direction they could develop their companies for domestic needs and. It furthermore would provide insight for how existent private-public partnerships could develop educational and retention programs to ensure the formation of a robust software services industry.

The requisites for selection are: latent comparative advantages; sophisticated demand; dynamic global demand; coordination failures clearly identified; lack of existent business investment to address them; and potential to generate dynamic clusters with transformation potential in innovative activities beyond the original central activity.

Hypothesis

My operational hypothesis is that many of the manners in which data and knowledge are currently being gathered and exploited within the United States are not being used by Colombian companies.

Because of these information gaps and the suboptimal co-ordination between appropriate stakeholders, efficiency and potential opportunities – such as reduced costs for equivalent services – are lost (Herrera & Jiminez).

By identification and analysis of current needs, it becomes possible for the articulation of new software solutions for companies to be formed.

With the articulation of specific software needs for companies that would not normally invest in such research and development, it becomes possible to outline policies to attract and maintain software developers.

Justification

The reason that I’ve chosen this particular focus for my studies stems from research into the enormous economic impact of what is commonly called Industry 4.0. Small investments in software and changes in processes are able to create large, positive cumulative effects for businesses.

Software as a Service is a major part of this qualitative shift in the manner in which business is now transacted internally and between businesses. Because of U.S. immigration policies and private sector inducements, Colombia is at a significant relative disadvantage when it comes to developing and maintaining a meaningful software sector able to provide it with initial, innovative products as well as any needed technical support.

The diversification of this sector for Colombia’s economy is imperative for its future and it’s only through an interactive sectoral framework and public-private research partnership that such innovation will take place.

Objectives

Objective 1: Identification of the sectors that will most benefit from applied research and development into their software needs.

Objective 2: Identification of the derived demands within complementary sectors to determine the common technological desire and requirements.

By focusing on a select core of diverse sectors that are part of a cluster strategy, this will generate the opportunity to develop the outline of the technological services and tools that these businesses could use.

Objective 3: Defining a specific long-term vision, shared between the relevant actors, on the human capital factor within which actions aimed at developing and strengthening skills and capabilities can be framed.

Scope

The primary source for my investigation will be businesses currently operating in Medellin and secondarily from Bogota.

The main novelty of my research will be the benchmarking of current usage of software as a service; the determination of their overlapping demands; the formulation of a methodology that, once applied, would best to fulfil these needs; and transmitting to existent institutions in charge of such development the means for implementing such a project.

Relevance

There are many stakeholders that will benefit from my research project as it is fundamentally conceived of as a means of contributing to Colombia’s existent economic and developmental plans as well as regional and sectoral and institutional agendas.

MinTIC, DNP and Colciencias are three of the national governmental agencies that will generally benefit from having this research completed. This is because the project described herein feeds in to Colombia’s National Development Plan 2014 – 2018 and the Programa de Transformatcion Productiva developed by the Ministry of Commerce.

By researching and formulating the specific technological needs of various synergistic economic sectors, these local and national government actors can use my research as a means for informing the shape of public and private investment; business incentives; the projected needs of educational programs to be developed; etc.

The Administrative Planning Department of Medellin, Ruta N and other Medellin-specific CT+I and planning organizations will benefit more specifically given that the research focus will predominantly be on companies in Medellin.

Local private businesses that are within the specifications of the research proposal will also see benefits accrue to them in the form of engagement with best practices and, in the near future, articulated needs.

References

Principles for an Innovation and Competitiveness Strategy for Colombia.

Eduardo Bitrán, José M. Benavente, Claudio Maggi

Colciencieas

http://www.colciencias.gov.co/sites/default/files/innovation-2016.pdf

Declaracion de Importancia Estrategica del Proyecto de Apoyo a la Formacion del Capital Humano Altamente Calificado en el Exterior

Consejo Nacional de Politica Economica y Social Republica de Dolombia – Departamento Nacional de Planeacion.

http://www.colciencias.gov.co/sites/default/files/3835-conpes-formaciondealtonivel.pdf

 

Promoting the Development of Local Innovation Systems: The Case of Medellin, Colombia.

https://www.oecd.org/cfe/leed/OECD%20LEED%20Policy%20Review_Medellin_EN_.pdf

OECD LEED Policy

The Growing $1 Trillion Economic Impact of Software

https://software.org/wp-content/uploads/2017_Software_Economic_Impact_Report.pdf

 

Implementacion de SaaS por Parte de las MiPyMEs En Colombia: Caso Aplicado en el Sector de Sistemas Hidraulicos y Equipos de Bombeo.

Maira Alejandra Plazas Herrera and Fabian David Romero Jiminez

http://repository.ucatolica.edu.co/bitstream/10983/8462/4/Tesis-%20SAAS.pdf

 

 

Kendall, M. (2018, April 20)CEO View: Let’s Face It, Colombia and its Neighbors Have a Massive Problem. Retrieved from http://www.nearshoreamericas.com/colombia-massive-talent-english-problem/

Colombia’s IT Industry Continues to Gain Traction in North America as More Investors Fix Their Eyes On The Country.

ProColombia

http://www.procolombia.co/en/news/colombias-it-industry-continues-gain-traction-north-america-more-investors-fix-their-eyes-country

The Growth of the Software Industry in Colombia: A Systemic Analysis

Sindy Johana Martínez Marín, Santiago Arango Aramburo, Jorge Robledo Velásquez
Escuela de Ingenieria de Antioquia

http://www.scielo.org.co/scielo.php?script=sci_arttext&pid=S1794-12372015000100009

Services Sector in Colombia: Relationship Between Innovation and Internationalization.
Suelen Emilia Castiblanco Moreno, Ofelia Patricia Castro Castell, Adriana Patricia Gómez Ramírez35

http://ojs.uac.edu.co/index.php/dimension-empresarial/article/view/927/pdf_91

Guía de Denuncia Corrupción

Si sabes algo, di algo.

El República Bolivariana de Venezuela ha creado esta guía sobre la importancia de denunciar la corrupción, que viene en muchas formas.

La denuncia de irregularidades es vital para responsabilizar a las poderosas instituciones; ya sea que esté en el gobierno o en el sector privado, si se da cuenta de un comportamiento que cree que no es ético, ilegal o perjudicial para el interés público, es importante que considere compartir su información de forma segura para minimizar el riesgo de exposición.

A continuación se encuentran las pautas para los denunciantes que buscan comunicarse conmigo. El método que debe usar depende de sus circunstancias personales, el tipo de información que está compartiendo y el nivel de riesgo que conlleva.

SIGNAL

Otra buena opción para compartir información es ponerse en contacto con nosotros en Signal, una aplicación de mensajería y voz segura. Puede descargar Signal para Android o iPhone.

Usar Signal para contactarnos es bastante fácil. Así es cómo:

Abra la aplicación Signal y toque el ícono de lápiz (en la parte superior derecha de un iPhone, en la esquina inferior derecha de Android) para comenzar un nuevo mensaje. Escriba mi número de teléfono en el cuadro de búsqueda, 561-779-3985. Desde allí, puede enviarnos un mensaje de señal encriptado.

Siga esta guía para ayudarlo a bloquear su teléfono y asegurarse de que lo que sucede en su aplicación Signal sea más privado.

Si usa su teléfono para enviarme un mensaje o llamarme a Signal, aprenderé su número de teléfono. Siempre es mejor para nuestro proceso de informes conocer la identidad de una fuente, pero podemos aceptar mantenerla confidencial. El servicio de señal también sabrá que se comunicó con nosotros, pero prometen no registrar nunca estos

CORREO ELECTRÓNICO

Si no tiene motivos para preocuparse por que alguien sepa que usted es una fuente, puede comunicarse con nuestros periodistas por correo electrónico, ya sea contactando a un periodista individualmente o enviando sugerencias a a.sheen@arielsheen.com.

Si lo desea, puede enviar su correo electrónico utilizando el cifrado PGP, pero tenga en cuenta que todavía habrá metadatos creados por su comunicación con nosotros, ya que su servidor de correo electrónico registrará el intercambio.

Qué no hacer si quieres permanecer anónimo

No me contactes del trabajo.

La mayoría de las redes corporativas y gubernamentales registran el tráfico. Incluso si estás usando Tor, ser el único usuario de Tor en el trabajo podría hacerte destacar.

No me envíe un correo electrónico, llámeme o contácteme en las redes sociales.

Desde el punto de vista de alguien que investiga una fuga, con quién te comunicas y cuándo, es todo lo que necesitas para convertirte en el principal sospechoso.

No le digas a nadie que eres una fuente.

Otras cosas para pensar

Antes de decidir compartir su historia conmigo, es posible que desee considerar consultar a un abogado para comprender mejor sus opciones y riesgos. Si decide ponerse en contacto con un abogado, trate de discutir todo cara a cara y tenga cuidado de no escribir ningún detalle en los correos electrónicos.

Si está pensando en proporcionarme documentos especialmente confidenciales, considere estos consejos adicionales:

Si ha tenido acceso a información secreta que se ha publicado, es probable que sus actividades en Internet externo estén bajo escrutinio, incluidos los sitios web que ha visitado o compartido en las redes sociales.

Asegúrese de considerar que los investigadores también pueden examinar los registros de su actividad en redes internas en su lugar de trabajo. Tenga en cuenta esto antes de enviarme información, y ajuste sus hábitos según sea necesario mucho antes de que decida convertirse en una fuente. Herramientas como Tor pueden ayudar a proteger el anonimato de tu navegación.

Mantenga su actividad de denuncia de irregularidades lo más separada posible del resto de lo que hace. No se lo digas a nadie y compartimenta lo más posible. No use cuentas que ya estén conectadas a usted. En su lugar, cree nuevas cuentas para este fin y no inicie sesión en ellas desde las redes a las que normalmente se conecta.

Asegúrate de limpiar lo mejor que puedas de ti mismo. Evite dejar huellas relacionadas con la denuncia de irregularidades alrededor de su computadora personal o de trabajo (en su carpeta Documentos, en el historial de su navegador web, etc.). Si se da cuenta de que realizó una búsqueda en Google relacionada con la denuncia de irregularidades mientras estaba conectado a su cuenta de Google, elimine su historial de búsqueda. Considere guardar todos los archivos relacionados en un dispositivo USB cifrado en lugar de en su computadora, y solo conéctelos cuando necesite trabajar con ellos.

Considere utilizar una computadora o sistema operativo completamente independiente para todas sus actividades de denuncia de irregularidades, de modo que una búsqueda forense en su computadora normal no revele nada. Incluso si usa el navegador Tor, por ejemplo, si alguien ha pirateado su computadora, podrá espiar todo lo que haga. Tails es un sistema operativo independiente que puedes instalar en una memoria USB y arrancar tu computadora. Tails está diseñado para no dejar rastros. No es intuitivo de usar, pero si arriesga mucho, probablemente valga la pena el esfuerzo. Puede encontrar instrucciones para descargar e instalar Tails aquí.

Es importante comprender que no se garantiza que ningún método de comunicación sea completamente seguro. Convertirse en un denunciante conlleva riesgos, pero se pueden minimizar si se tiene cuidado, y algunas veces es lo correcto.

 

Review of “BMF: The Rise and Fall of Big Meech and the Black Mafia Family”

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Cause nothing says “low-key” like putting billboards of yourself and your gang name around Atlanta.

I’d first heard about Big Meech and the Black Mafia Family via trap songs where his name gets dropped. I didn’t think much about it at the time but when doing research on gangs in Miami for the novel series I’m writing I came across their name again. I watched a video that Big Meech had released shortly before he went to prison and a documentary after and was intrigued. I came across a series of articles that Mara Shaloup had written about them as well as a book length treatment that she gave them titled BMF: The Rise and Fall of Big Meech and the Black Mafia Family, so I decided to read it. I enjoyed the book. It’s light and quick reading and though remembering the names and relationships of people with multiple aliases was a little confusing at first, the chart included in the book helped make things clear.

tumblr_mz3e70V51J1qbo0vfo1_1280
Guwop so icey.

The story presented is fascinating and illustrates why Big Meech and the gang he started with his brother Terry became so famous within the hip-hop community. The most obvious manner why he has been so celebrated within that community is his promotion of Young Jeezy at the beginning of his career. While not an official signee to the BMF crew, he clearly gained from being associated with BMF members by gaining a greater aura of authenticity. Shaloup touches upon this and also tells an aside story of the conflict between Jeezy and Gucci Mane that left an associate of the former dead following an attempted robbery. Another reason for Meech’s lionization in the rap community is his attempt at going legit through a record label. While Bleu Davinci, an BMF associate that also engaged in cocaine trafficking, was it’s sole signee – it’s likely that it may have one day been a launching pad for rappers. One of the pictures shown in the book is of a conversation between Meechie and Nelly and his connection with Puff Daddy (Meech employed his cousin), T.I. and other important rappers is also detailed. In a way, this dynamic and these interactions seems like Meech wanted his life to imitate the musical art that he and his crew were so fond of.

One of the aspects of the book that I enjoyed was the description of trafficking craft. How certain hidden compartments in cars were created and opened, pay rates for couriers versus traffickers, means of laundering money, the manner of processing the uncut cocaine for distribution to associated seller, the different types of employee relationships that existed, the wildly excessive partying and extravagant purchases, difficulties felt when trying to “stay off the radar”, how relationships were formed with other crews so that wars were avoided, the relationships forged and destroyed over fear. It makes for compelling reading as even though it’s hard to identify with the people being described one still can’t help but wonder at what point someone is going to get caught. While reading I kept feeling wondrous anticipation as to what it was that would lead to someone’s arrest and, once that was done, wondering if they would snitch.

It’s this, in fact, that makes me feel a little uneasy about the celebrity which Meech has received. Shaloup doesn’t delve into these sorts of reflections, sticking more with the journalists craft, however after reading this and a number of the telephone transcripts available for perusal in the very large prosecutorial file on B.M.F. it’s clear the amount of stress that was felt by the individuals involved in the enterprise. The parties were like over the top cathartic releases for they seemed to all recognize that this was a house of cards and thought they were flying high – such heights meant that like Icarus they’d soon come crashing down. The sole factors involved in the safety maintenance of the operation seemed to be Meech’s code of conduct – No talking on the phone and make your employees love you first and also fear you so they don’t snitch – and a few corrupt people in minor government offices that could provide info or fake identification cards. While not sighting the tails that followed them, they all seemed to recognize – as more bodies of innocents and potential witnesses piled up and as police came to see that people which could potentially testify to crimes would clam up on learning who the suspects were – that greater police attention was being paid to them.

While the greater depth of personal insight into “the game” that I was hoping for was not to be found in the book through quotes or any interview with Meech, I found something of the sort while reading an interview. It seems that after a few years in the pen, when his legal options are dried up, his once boisterous, rebellious energy has disappeared. In his own words he states:

I’m crying inside. I’ve been in the hold on ’23 and 1′ [23 hours in cell and one hour out per day] since June 2011. This SMU sh*t is like a torture camp for real. First, showers are only on Monday, Wednesday, and Friday. Both me and my celly have to cuff up whether one of us is leaving to go to rec, shower, or medical, or if both of us are leaving. Everywhere we go, our hands are in black box handcuffs behind our back with a C.O. holding our cuffs, walking with us. I’m always trying to get out of my handcuffs first because you never know when your celly may have a bad day and jump you while you still have your cuffs on.
There’s three or four fights or stabbings daily, especially since it’s hot. If you disobey them, you’ll get a heavy dose of tear gas, which has the whole building choking and coughing, eyes burning. Then they’ll put you in restraints handcuffed extra tight with a chain around your waist, shackled. I’ve heard grown men cry crocodile tears from their hands swelling and nerve damage from the cuffs. If that’s not enough, they have another form of punishment called “Four Points” where they put you on your back chained around both ankles and wrists in a very cold room with the lights on. Everyone who reads this should look up Lewisburg SMU online and read about the deaths, disfigurements, and inhumane conditions and brutality that goes on in here. So, my days are like a living hell.

It’s at this point that I start to agree with some of the people in the comments section of a number of Hip Hop news sites that despite his “success” it was all a big waste.

One of the other aspects that I found interesting in the book is the narratives about BMF associates that tried to start successful side business to launder money and to potentially become a platform to go legit. There was the BMF record label, of course, but within the story Mara also accounts for a recording studio, a high-end car dealerships and a number of other enterprises. Ironically but perhaps not so surprisingly, the successes that BMF had selling drugs was undermined by their failures as actual businessmen. Another irony is that despite all of the criticisms made by Terry against his brother Meech, it was the latter’s generous attitude and willingness to engage in opulent conspicuous consumption at strip clubs and night clubs with his subordinates that motivated them to not snitch on him once caught. Not that their testimony would have been the point on which the prosecution’s case would have rested in full – but it’s worth noting: as a means of maintaining organizational morale, it turns out that warmth and affection rather than coldness and annoyance have a significant impact.

Yet another major irony illustrated in the book is that after the capture of the Black Mafia Family, the drug task force which had helped bring them down gets disbanded following the accidental death of an elderly woman that the Atlanta Police Department tried to frame as a cocaine trafficker. While not widely announced in the paper, the presence was common knowledge amongst the criminal elements in the area and following this trade picked up apace and with greater openness. This time, however, it was largely done by Mexican gangs with military backgrounds that made the 270 million brought in by the Black Mafia Family look like peanuts.

theplayers

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Some of the original notes and articles from which made the book was written can be found here.


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Unpacking Happy's Chapter

Ever since I was a little kid I’ve loved gangsta movies. I’d set up fake Colombia House accounts in order to get free VHS tapes of films like Menace II Society, Boyz ‘n the Hood, New Jack City, Juice, Paid In Full, and Deep Cover and watch them over and over again.
Whereas Jesse’s chapter is stylized after Spanish picaresque and German Bildungsroman literature, Happy’s is based on these films as well as a number of original documents and documentaries. 1, 2, 3

Rather than merely replicate these narratives, however, I wanted to inverse a number of the tropes that are found in these gangster films/reality to depict a gang that is crypto-socialist, truly consensual work relations rather than that which is strictly primitive-capitalist and based on force.
Now presuming that you’re familiar with the above listed movies, so I don’t have to cite each, here are some of those narrative tropes that I mentioned/inverted.
1. The leader of a group got due to his ruthless violence or a chance encounter with a plug rather than his intellect.
2. The leader of the group stays in power based upon loyalty out of fear and not of love (unless relations are also familial).
3. The capture of power foreshadows similar machinations on the part of someone else within the organization that similarly wants to take over.
4. Wealth created from the criminal venture predominantly accumulates in the hands of those at the top.
5. This wealth created goes primarily towards the administrator’s consumption, which leads to organizational degeneration in some fashion.
6. Money spent is primarily upon luxury goods that are flaunted.
7. This leads to general envy/viewing the criminal enterprise as the best provider for income and entices those willing to do whatever to get it, but this makes community relations poor.
Making an analogy to larger institutions of political economy, as I would like my readers to so, I can say in short hand that the typically depicted criminal association is more akin to an absolute monarchy.
This passage shows Happy’s organization is significantly different and touches upon a number of the problems that will be delved into later in the chapter. Specifically what is the Project; the impact that the investigation into Officer Daniels illegal dealings; who the other person is that Happy is getting information from in the police department; their relationship to the Zoe Pounds; the possibility that some conflict might transpire should a power vacuum be created from several Zoe Pounds members finding themselves arraigned; who are these important people in Atlanta that requires Happy to have to meet them in person, etc.
I’ve still got a lot to write about for this chapter to near completion – but I hope this explanation of a portion of my project and the small section of the chapter convinces you that my serial novel project is worth getting into and you buy Book 1 of Unraveling!