Pilot Test Survey

Factors Influencing The U.S. Military’s Agility In Allocating Decision-Making Rights For Cyberspace Operations – Round 1 Survey

Exit Survey

Thank you for agreeing to participate in this study being conducted by Steve Stone, a doctoral candidate in the Doctor of Science in Information Systems and Communications program at Robert Morris University. As a recognized expert in the field of cyberspace operations, command and control, or decision-making, your participation is vital to identifying the factors influencing the U.S. Military’s agility in allocating decision-making rights for cyberspace operations. For purposes of this research, an expert is defined as a person who has at least five years of practical experience working in cyberspace operations; or a person that has a graduate degree in an information management field and over 10 years of research experience in cyberspace operations, command and control, or decision-making. The purpose of this study is to identify the factors influencing the U.S. Military’s agility in allocating decision-making rights for cyberspace operations. Completing this survey should take from 30 to 45 minutes.

Your participation in this research study is completely voluntary and you have the option to withdraw from the study without penalty at any time. There are no known risks to participants. The Robert Morris University Institutional Review Board has approved this research activity. The Human Subjects Protection Advocate of the IRB office at 412-397-6227 can answer any question that you have about rights as a participant. This study is being conducted under the direction of Dr. Daniel Rota, Professor Emeritius and Brigadier General, Air National Guard (Retired). You may contact the researcher, Steve Stone, at [email protected], 540-735-5238.

All information containing the identity of participants will remain confidential. Other than the researcher, Steve Stone, no one will have access to your identifiable individual responses. All data will be secured on password-protected media storage devices and in locked storage cabinets. According to the privacy policy of Question Pro, IP addresses may be collected for system administration and record keeping only. No connection will be made between you and your computer's IP address. QuestionPro, Inc. is certified under the U.S. Department of Commerce’s Safe Harbor Program. The designation certifies that QuestionPro, Inc. conducts business in compliance with European privacy laws. The results of the study may be published, however your name will not be used, and your responses will be maintained in confidence. Continuing with the survey will serve as your agreement to participate in the study and acknowledgment of the nature of the study and the confidentiality agreement.

This questionnaire is the first of three rounds. The purpose of the first round survey is to develop a list of factors influencing the U.S. Military’s agility in allocating decision-making rights for cyberspace operations. You will be asked if the identified factors are relevant to the allocation of cyberspace operations decision-making rights. You will be asked to assess each factor using a Likert scale ranging from strongly relevant (1), relevant (2), neither relevant nor irrelevant (3), irrelevant (4), or strongly irrelevant (5). Additionally, you will be given the opportunity to identify additional factors not listed in the survey.

Upon completion of the first round, you will receive an aggregate summary including the results of all valid contributions. Thereafter, you will receive an invitation to participate in the second round where you will be asked to rate the extent to which you agree or disagree with the list of factors resulting from round one.

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Background:

The environment in which the DoD operates has been changed by the rapid development and adoption of information technologies such as electronics, telecommunications infrastructures, and information systems (Kuehl, 2009). Due to this evolution in the DoD’s operating environment, Dr. David Alberts (2007), the Director of the DOD Command and Control Research Program, argues that the U.S. Military and its allies must actively consider new approaches to how authorities are allocated and decisions are made in the future. Alberts states: “Command and Control is a solution to a problem that has changed. The situations for which Command and Control is best adapted have been transformed by the realities of the Information Age” (Alberts, 2007, pp. 3-4). The Commander of United States Cyber Command has stated, “Our traditional command and control and organizational constructs do not enable the speed and agility required to keep pace with change in the cyber domain” (United States Department of Defense, 2015, p. 2).

In military parlance, decision-making is conducted within the command and control (C2) process. Peterson describes the components of a decision as: a decision maker, a desired outcome, goal or objective, a set of alternatives, information on the state of the world, and the choice of an act from the set of alternatives (2009). Alberts and Hayes (2006) describe decisions and decision-making rights as: “Decisions are choices among alternatives. Decision rights belong to the individuals or organizations accepted (whether by law, regulation, practice, role, merit, or force of personality) as authoritative sources on the choices related to a particular topic under some specific set of circumstances or conditions. The allocation of decision rights is their distribution within the international community, a society, an enterprise, or an organization” (p. 83). The challenge facing the Department of Defense is that it does not yet understand the factors affecting nor how to implement decision-making agility in the face of the complex dynamics presented by the cyberspace domain. Alberts has called for research into the “…identification of key variables and relationships that should be included in a model of Command and Control Agility Potential whose output would be an entity’s C2 AQ (agility quotient)” (Alberts, 2014, p. 1).

Alberts and Hayes (2006) describe three dimensions of C2 that serve as the theoretical model for this research. Alberts and Hayes propose that there are three factors in the theoretical model of C2: The organization’s allocation of decision-making rights, the organization’s patterns of interaction, and the organization’s distribution of information.

Figure 1. Model of the command and control space (Albert and Hayes, 2006)

Figure 1 shows that this theoretical model of C2 can be visualized as a three-dimensional matrix, with each factor measured on one axis of the cube. Alberts and Hayes describe the model as having the allocation of decision-making rights on the horizontal, X-axis, the pattern of interaction on the vertical Y-axis, and the distribution of information along the depth, Z-axis. The inside of the cube represents the sample of all possible C2 arrangements.

The allocation of decision rights is a linear dimension with two logical endpoints. At the origin of the allocation of decision-making rights on the horizontal axis, decision-making rights are unitary, all the rights held by a single actor. At the other end of the axis, decision-making rights are allocated uniformly with every entity having equal rights in every decision (Alberts & Hayes, 2006). Alberts hypothesizes that complex dynamic environments, like cyberspace operations, require more agile approaches to C2. Alberts’ hypothesis is that agile C2 requires the organizational ability to rapidly change their approach towards each of the three variables in the theoretical model of C2 (Alberts, 2007).

Instructions and Research Questions:

The purpose of the first round survey is to develop a list of factors influencing the U.S. Military’s agility in allocating decision-making rights for cyberspace operations. You are asked if the identified factors are relevant to the allocation of cyberspace operations decision-making rights. Please assess each factor using a Likert scale ranging from strongly relevant (1), relevant (2), neither relevant nor irrelevant (3), irrelevant (4), or strongly irrelevant (5).

Additionally, you are given the opportunity to identify additional factors not listed in the survey. There are three spaces for you to identify any additional factors and provide brief rationale or basis for the factor. Each factor is described with a short title, and definition and description of the factor, the questions about the factor, and the scale for providing your assessment of the factor. Please assess each factor based on the definition and description provided. You will have an opportunity to describe additional factors at the end of the survey.

Please answer each question in the survey. Answering every question is important to the validity of the results. You can save the survey and return to complete it at a later time.

Military Doctrine:

The U.S. Military’s Joint Doctrine (United States Department of Defense, 2011, 2013, 2014, 2015) identifies several factors that may influence the U.S. Military’s agility in allocating decision-making rights for cyberspace operations. Please assess each factor using a Likert scale ranging from strongly relevant (1), relevant (2), neither relevant nor irrelevant (3), irrelevant (4), or strongly irrelevant (5).

Command Authorities and Relationships: The interrelated responsibilities between commanders, as well as the operational authority exercised by commanders in the chain of command. Are command authorities and relationships relevant to the allocation of decision-making rights for cyberspace operations?

Mission: The task, together with the purpose, that clearly indicates the action to be taken and the reason therefore. Is the mission relevant to the allocation of decision-making rights for cyberspace operations?

Command Intent: A clear and concise expression of the purpose of the operation and the desired military end state that supports mission command, provides focus to the staff, and helps subordinate and supporting commanders act to achieve the commander’s desired results without further orders, even when the operation does not unfold as planned. Is the command intent relevant to the allocation of decision-making rights for cyberspace operations?

Time Available: The time available for decision-making. Is the time available for decision-making relevant to the allocation of decision-making rights for cyberspace operations?

Phase of Operations: Joint doctrine describes six phases of military operations:

Phase 0 – Shape: Activities are performed to dissuade or deter potential adversaries and to assure or solidify relationships with friends and allies.

Phase 1 – Deter: Deter undesirable adversary action by demonstrating the capabilities and resolve of the joint force.

Phase 2 – Seize Initiative: seize the initiative through the application of appropriate joint force capabilities.

Phase 3 – Dominate: focuses on breaking the enemy’s will for organized resistance or, in noncombat situations, control of the operational environment.

Phase 4 – Stabilize: Required when there is no fully functional, legitimate civil governing authority present.

Phase 5 – Enable Civil Authority: Characterized by joint force support to legitimate civil governance in theater.

Is the phase of operations relevant to the allocation of decision-making rights for cyberspace operations?

Type of Cyberspace Operations: Cyberspace Operations (CO) missions are categorized as Offensive Cyberspace Operations (OCO), Defensive Cyberspace Operations (DCO), and DoD Information Network (DODIN) operations based on their intent. OCO are CO intended to project power by the application of force in and through cyberspace. DCO are CO intended to defend DOD or other friendly cyberspace. DODIN operations are actions taken to design, build, configure, secure, operate, maintain, and sustain DOD communications systems and networks in a way that creates and preserves data availability, integrity, confidentiality, as well as user/entity authentication and non-repudiation. Is the type of cyberspace operation (OCO, DCO, or DODIN Operations) relevant to the allocation of decision-making rights for cyberspace operations?

Characteristics of the Cyberspace Domain:

Cyberspace has uniquely defining characteristics when compared to the land, sea, air, and outer space domains. Cyberspace is a man made domain. While the physical characteristics of cyberspace come from electromagnetic forces and phenomena that exist and occur in the natural world, cyberspace is a human designed environment, created to use and exploit information, human interaction, and intercommunication (Kramer, Starr, & Wentz, 2009; Kuehl, 2009).

The Global Nature of Cyberspace: The effects of war fighting in the physical domains are typically limited to an easily identifiable geographic area. A bomb affects a small radius around its detonation point. A bullet affects a small area around its aim point. Cyberspace effects are often not limited to a small local area. Cyber effects are often global in nature. Is the global nature of cyberspace operations relevant to the allocation of decision-making rights for cyberspace operations?

The speed of cyberspace effects: As cyberspace is created using electromagnetic forces found in nature, effects in cyberspace can travel at the speed of light. What makes cyberspace unique is the use of the electromagnetic spectrum as the means of “movement” within the domain. Is the speed of cyberspace effects relevant to the allocation of decision-making rights for cyberspace operations?

The complicated nature of cyberspace: Cyberspace is incredibly complicated, comprising millions of separate hardware devices, running software with millions of potential settings, and processing millions of bits of data. Conducting operations in cyberspace is accomplished by changing the configuration of the settings of complicated pieces of equipment. Is the complicated nature of cyberspace relevant to the allocation of decision-making rights for cyberspace operations?

Degree of Automated Decision Making: Unlike the physical domains, where nature often sets the conditions of the environment, the software running on the devices comprising cyberspace makes many decisions regarding the behavior of the domain. Is the capability for automated decision agents to make decisions affecting the configuration of information systems relevant to the allocation of decision-making rights for cyberspace operations?

Agility between Human and automated decision-making: Human beings are not capable of comprehending the complexity of the cyberspace domain and understanding the thousands of settings multiplied by thousands of settings in the devices comprising the domain. However, human decision-making is necessary to conduct effective cyberspace operations. Is the ability to transfer decision-making between humans and automated systems based on the situation relevant to the allocation of decision-making rights for cyberspace operations?

Information Processing Theory:

Galbraith’s Information Processing Theory presents a framework to describe the relationship of an organization to the information environment it faces (Galbraith, 1973; Galbriath, 1974). Galbraith states that the basis of his Information Processing Theory is “… the greater the task uncertainty, the greater the amount of information that must be processed among decision makers during task execution in order to achieve a given level of performance” (Galbriath, 1973, p. 4). Galbraith also states that the type of information processed, either quantitative or qualitative, affects where the decision should be made. Galbriath's theory also suggests that uncertain tasks may be 'Big Data' problems (Fan & Bifet, 2013) Please assess each factor using a Likert scale ranging from strongly relevant (1), relevant (2), neither relevant nor irrelevant (3), irrelevant (4), or strongly irrelevant (5).

Task Uncertainty: The greater the task uncertainty, the greater the amount of information that must be processed among decision makers during task execution in order to achieve a given level of performance. Is the uncertainty of the task relevant to the allocation of decision-making rights for cyberspace operations?

Ability to Pre-plan: The ability of the organization to pre-plan or to make decisions in advance of task execution. Is the ability to pre-plan relevant to the allocation of decision-making rights for cyberspace operations?

Type of Data Needed to Make a Decision: If the information relevant to a particular decision is qualitative, it is more effective to bring the point of decision down to the points where the information originated. If the information relevant to a particular decision is quantitative, it can be more effective to move the data to a centralized point for centralized analysis. Is the type of data needed to make a decision relevant to the allocation of decision-making rights for cyberspace operations?

Information Volume: The volume of data available to decision makers is increasing at a rapid rate. There is more data than ever before and its size continues increasing. Is the volume of data available to a decision maker relevant to the allocation of decision-making rights for cyberspace operations?

Information Velocity: The velocity of information, the increasing rate at which data flows into an organization and becomes available to decision makers is rapidly increasing. Data is arriving continuously as streams of data and decision makers must obtain useful information from it in real time. Is the velocity of data available to a decision maker relevant to the allocation of decision-making rights for cyberspace operations?

Information Variety & Variability: There are many different types of data, as text, sensor data, audio, video, graph, available to decision makers. The available data is diverse, and doesn’t fall into neat relational structures. The structure of the data changes as operations progress. Is the variety and variability of data available to a decision maker relevant to the allocation of decision-making rights for cyberspace operations?

Management Theory:

Management theorist Peter Drucker’s paper, “The Coming of the New Organization” discusses Drucker’s thoughts on the information-based organization (Buchanan, 2009; Drucker, 1988). Drucker states that the information-based organization will be composed largely of specialists who direct and discipline their own performance through organized feedback from colleagues, customers and headquarters. Drucker advocates for decentralization and simplification of the management and decision-making structure in information-based organizations. Please assess each factor using a Likert scale ranging from strongly relevant (1), relevant (2), neither relevant nor irrelevant (3), irrelevant (4), or strongly irrelevant (5).

Employees' self discipline: In the information-based organization, coordination and control of decision-making will depend largely on employees' willingness to discipline themselves. Is the employees’ self discipline relevant to the allocation of decision-making rights for cyberspace operations?

Information Responsibility: Drucker discusses a requirement for an information-based organization to have an organizational culture where everyone takes information responsibility by asking: Who depends on me for what information? On whom do I depend for information? Drucker states that the most important contacts in this organizational culture are the colleagues with which a person coordinates to accomplish tasks. Is having an organizational culture of information responsibility relevant to the allocation of decision-making rights for cyberspace operations?

Location of Expertise: Drucker argues that the information-based organization requires far more specialists overall than the command and control organization. The specialists are found in operations organizations, not at headquarters. Is the location of expertise relevant to the allocation of decision-making rights for cyberspace operations?

Location of Knowledge: Drucker states that in the information-based organization, knowledge will be primarily at the lower levels of the organization, in the minds of the specialists who do different work and direct themselves. Is the location of knowledge relevant to the allocation of decision-making rights for cyberspace operations?

Individual Relationships: Drucker states that the success of an information-based organization requires greater emphasis on individual relationships where specialists coordinate and exchange information. Is the presence of individual coordination and information sharing relationships relevant to the allocation of decision-making rights for cyberspace operations?

Role of the First Line Leader: Drucker states that in the information-based organization the role of the first-line leader will change from that of a person who is working as a full time manager / commander to that of a specialist who is in charge of leading a team of other specialists. Is the role of the first line leader relevant to the allocation of decision-making rights for cyberspace operations?

Clearly Stated Organizational Goals: Goals that clearly state management's performance expectations for the enterprise and each sub-organization. Are clearly stated organizational goals relevant to the allocation of decision-making rights for cyberspace operations?

Feedback from Leadership: Leadership provides organized feedback that compares results with performance expectations so that every member can exercise self-discipline / self-control. Is leadership providing organized feedback relevant to the allocation of decision-making rights for cyberspace operations?

Naturalistic Decision Making (NDM) Theory:

NDM provides a theory and methodology to describe how decision makers actually make decisions in complex domains. NDM research focuses on what decision makers actually do in fast-paced, complex, and dangerous situations where there is not time to perform elaborate evaluation of alternatives or to optimize the decision (Lipshitz, Klein, & Carroll, 2006). Please assess each factor using a Likert scale ranging from strongly relevant (1), relevant (2), neither relevant nor irrelevant (3), irrelevant (4), or strongly irrelevant (5).

Problem Structure: NDM theory states that problems tend to be ill structured. That is, for some real-world problems, it is not easy or even possible to identify causes and potential courses of actions. Is the structure of the problem relevant to the allocation of decision-making rights for cyberspace operations?

Uncertain & Dynamic conditions: NDM theory states that the conditions facing decision makers are frequently uncertain and dynamic. The situation is continually changing, making it difficult to assess what is happening. Static representations of the system are of little use since the situation is changing so quickly. Are the conditions facing the decision maker relevant to the allocation of decision-making rights for cyberspace operations?

Number of Goals: NDM theory states that there are often multiple goals influencing the decision and the multiple goals may be ill defined, may be in conflict, or may shift over time. Not only may these goals change from time to time, they may, in fact, conflict with one another. Is the number of competing goals relevant to the allocation of decision-making rights for cyberspace operations?

Existence of action and feedback loops: NDM theory states that decisions are not discrete events but happen amidst the flow of activity in an operation and are impacted by feedback from the decisions and activity that precede them. Is the existence of action and feedback loops relevant to the allocation of decision-making rights for cyberspace operations?

Real-time operational changes: NDM theory states that decision makers must respond in real time to changes in the operation. Diagnosis of problems and command and control often happen simultaneously. Are real-time operational changes relevant to the allocation of decision-making rights for cyberspace operations?

Multiple Decision Makers: NDM theory identified that multiple entities interact in the decision-making process. These entities may have either shared or different views of the situation. They must cooperate with one another and update each other in order to perform optimally. Is the existence of multiple decision makers relevant to the allocation of decision-making rights for cyberspace operations?

Organizational Culture: NDM theory states that decision-making activities are embedded in organizations. Organizations have their own unique cultures, which manifest themselves in accepted norms, policies, guidelines, directives, standard operating procedures, and doctrine. Is the organizational culture relevant to the allocation of decision-making rights for cyberspace operations?

Please describe an additional factor you believe influences the U.S. Military’s agility in allocating decision-making rights for cyberspace operations. Please include a brief rationale or basis for this factor.

Thank you for assisting me with the pilot test of this survey. Please provide any comments you may have about the quality of the survey and your experience in completing it below.