Information Collection Planning And Assessment PDF

Chapter 3 Information Collection Planning and Assessment This chapter describes information collection planning considerations. It then discusses personnel recovery support. Next, this chapter discusses the military decisionmaking process and information collection. Last...

Chapter 3 Information Collection Planning and Assessment This chapter describes information collection planning considerations. It then discusses personnel recovery support. Next, this chapter discusses the military decisionmaking process and information collection. Lastly, this chapter discusses information collection assessment. INFORMATION COLLECTION PLANNING CONSIDERATIONS 3-1. Commanders direct information collection activities by approving commander’s critical information requirements (CCIRs) and through driving the operations process. The success of information collection is measured by its contribution to the commander’s understanding, visualization, and decisionmaking. The operations process and information collection activities are mutually dependent. Commanders provide the guidance and focus that drive both by issuing their commander’s intent and approving CCIRs. The activities of information collection occur during all parts of the operation and provide continuous information to the operations process. 3-2. Throughout the operations process, commanders and staffs use integrating processes to synchronize the warfighting functions to accomplish missions. Information collection activities, as well as intelligence preparation of the battlefield (IPB), are among these integrating processes. Synchronization is the arrangement of military actions in time, space, and purpose to produce maximum relative combat power at a decisive place and time (JP 2-0). This collaborative effort by the staff, with the commander’s involvement, is essential to synchronize information collection with the overall operation. Planning, preparing, executing, and assessing information collection activities is a continuous cycle with a timeframe that depends on the echelon, assets engaged, and the type of operation. For example, offensive operations have a significantly shorter timeframe for gathering information and expecting to see changes in the situation than stability operations. 3-3. Conducting information collection activities consists of various staff functions such as planning, collection, processing, and exploitation; analysis and production; dissemination and integration; and evaluation and feedback. It should focus on the commander’s requirements. The purpose of these staff functions is to place all collection assets and resources into a single plan to capitalize on the different capabilities. The plan synchronizes and coordinates collection activities in the overall scheme of maneuver. A good information collection plan fits into and supports the overall operations plan or order (see table A-1 on page A-7 for an example). It positions and tasks collection assets to collect the right information, sustain or reconstitute for branches or sequels, or shift priorities as the situation develops. Effective information collection focuses on answering the commander’s requirements through collection tasks translated into orders. 3-4. The information collection plan synchronizes activities of the information collection assets to provide intelligence to the commander required to confirm course of action (COA) selection and targeting requirements. The intelligence staff, in coordination with the operations staff, ensures all available collection assets provide the required information. The staff also recommends adjustments to asset locations, if required. 3-5. An effective information collection plan must be based on the initial threat assessment and modified as the intelligence running estimate changes. Other staff sections’ running estimates may contain requirements to include in the information collection plan. Additionally, the plan must synchronize with the scheme of maneuver and be updated as that scheme of maneuver changes. Properly synchronized information collection planning begins when the IPB (threat characteristics, enemy templates, enemy COA statements, and, most importantly, an enemy event template or matrix) is developed and updated. Properly synchronized information collection planning ends with well-defined CCIRs and collection strategies based on the situation and commander’s intent. 3 May 2013 FM 3-55 3-1 Chapter 3 PERSONNEL RECOVERY SUPPORT 3-6. Personnel recovery support consists of the staff activities and unit capabilities focused on collecting information to recover and return their own personnel—whether Soldier, Army civilian, selected Department of Defense contractors, or other personnel as determined by the Secretary of Defense—who are isolated, missing, detained, or captured in an area of operations (AO). This support also includes developing detailed analysis, detailed products, and running estimates to defense support of civil authorities undertaken to recover isolated, missing, detained, or captured personnel. THE MDMP AND INFORMATION COLLECTION PLANNING 3-7. Information collection planning is in the military decisionmaking process (MDMP) and depends extensively on all staff members thoroughly completing the IPB process. Information collection planning starts with receipt of the mission (which could be a warning order). Information collection directly supports the development of intelligence and operations products used throughout the decisionmaking process. Within the MDMP, the staff must prepare certain products used during the plan and prepare activities of the operations process. 3-8. Information collection activities are continuous, collaborative, and interactive. Several of the outputs from the MDMP require the collaboration of the staff, especially the intelligence and operations staffs. The information collection plan is not developed without constant coordination among the entire staff. At every step in the MDMP, the intelligence staff must rely on input from the entire staff and cooperate with the operations staff to develop information collection products that support the commander’s intent and maximize collection efficiency for each course of action under consideration. Information collection planning inputs and outputs during the MDMP are highlighted in paragraphs 3-9 through 3-56. (See ADRP 5-0 for more information on the MDMP.) RECEIPT OF MISSION 3-9. Before receipt of the mission, the intelligence staff develops intelligence knowledge. In addition to the knowledge already available, the intelligence staff uses intelligence reach and requests additional information from higher headquarters to fill the information gaps in the initial intelligence estimate. The intelligence staff should identify and tap into any ongoing or existing information collection activities or joint intelligence, surveillance, and reconnaissance collection that offers relevant information to fill gaps. 3-10. The commander and staff shift their efforts to describing the operational environment using mission variables when a mission is received. The commander and staff also begin preparations for the MDMP. Commanders provide their initial guidance to the staff. The staff uses it to develop the initial information collection tasks to units and transmits it as part of the first warning order. Commanders state the critical information required for the area of operations in their guidance. Expressed in later steps of the MDMP, these requirements identify the critical pieces of information for the commander to successfully plan, prepare, execute, and assess operations. 3-11. During the receipt of mission step, the staff gathers tools needed for the MDMP, begins the intelligence estimate, updates running estimates, and performs an initial assessment of the time available to subordinate units for planning, preparation, and execution. Since information collection assets are required early, the staff needs sufficient preparation time to begin sending information that the commander needs. 3-12. The information collection outputs from this step include—  The commander’s initial information collection guidance.  Intelligence reach tasks.  Requests for information to higher headquarters.  Directions for accessing ongoing or existing information collection activities or joint intelligence, surveillance, and reconnaissance.  The first warning order with initial information collection tasks. 3-2 FM 3-55 3 May 2013  Information Collection Planning and Assessment MISSION ANALYSIS 3-13. When mission analysis begins, the staff should have the higher headquarters plan or order all available products. The staff adds its updated running estimates to the process. The initial information collection tasks issued with the first warning order may yield information for analysis and evaluation for relevance to mission analysis. The commander provides initial guidance that the staff uses to capture the commander’s intent and develop the restated mission. Analyze the Higher Headquarters Order 3-14. During mission analysis, the staff analyzes the higher headquarters order to extract information collection tasks and constraints such as limits of reconnaissance. The order also contains details on the availability of information collection assets from higher echelons and any allocation of those assets to the unit. Perform Intelligence Preparation of the Battlefield 3-15. IPB is one of the most important prerequisites to information collection planning. During IPB, staffs develop several key products that aid information collection planning. Those products include—  Threat characteristics.  Terrain overlays.  The weather effects matrix.  Enemy situational templates and COA statements.  The enemy event template and matrix.  The high-payoff target list.  An updated intelligence estimate including identified information gaps. 3-16. These products aid the staff in identifying—  Information gaps answered by existing collection activities, intelligence reach, and requests for information to higher echelons. The remaining information gaps develop requirements for information collection.  Threat considerations that may affect planning.  Terrain effects that may benefit, constrain, or limit the capabilities of collection assets.  Weather effects that may benefit, constrain, or negatively influence the capabilities of collection assets.  Civil considerations that may affect information collection planning. Note: When considering terrain effects, planners can use the geospatial information team to develop line-of-sight products. 3-17. The most useful product for information collection planning for the intelligence officer is the threat event template. Once developed, the threat event template helps develop the information collection plan. Likely threat locations, avenues of approach, infiltration routes, support areas, and areas of activity become named areas of interest (NAIs) or target areas of interest (TAIs) where collection assets focus their collection efforts. Indicators, coupled with information requirements and essential elements of friendly information (EEFI), provide collection assets with the required information that units identify and report. (See chapters 1 and 2 of FM 2-01.3 for additional information on the IPB process and products.) 3-18. As the staff completes mission analysis, the intelligence staff completes development of initial collection requirements. These collection requirements form the basis of the initial information collection plan, the requests for collection support, and the requests for information to higher and lateral units. When the mission analysis is complete, staffs have identified intelligence gaps and planners have an initial plan to fill those gaps. Additionally, the operations officer and the remainder of the staff thoroughly understand the unit missions, tasks, and purposes. 3 May 2013 FM 3-55 3-3 Chapter 3 Determine Specified, Implied, and Essential Tasks 3-19. The staff also identifies specified, implied, and essential information collection tasks. Specified tasks are directed towards subordinate units, systems, sensors, and Soldiers. Implied tasks determine how a system or sensor is initialized for collection. Essential information collection tasks are derived from specified and implied tasks. These tasks are the focus of the information collection effort. Review Available Assets 3-20. The staff must review all available collection assets and create an inventory of capabilities to apply against collection requirements. Building the inventory of assets and resources begins with annex A of the higher headquarters order. The staff takes those assets attached or under operational control of the unit and adds those resources available from higher echelons and those belonging to adjacent units that may help. The higher headquarters order should specify temporary or permanent operating locations and the air tasking order details for aerial assets. 3-21. While reviewing the available collection assets, the staff evaluates the collection assets according to their capability and availability. First, the staff measures the capabilities of the collection assets. They must know and address the practical capabilities and limitations of all unit organic assets. Capabilities include—  Range.  Day and night effectiveness.  Technical characteristics.  Reporting timeliness.  Geolocation accuracy.  Durability.  Threat activity.  Sustainability.  Vulnerability.  Performance history. 3-22. Range deals with the collector’s ability to provide target coverage. It is important to consider mission range (duration and distance) and the distance of the collection asset from the target. In addition, intelligence staffs consider the communications requirements from the asset to the controlling headquarters.  What is the asset’s effective range to observe target activity?  What is the asset’s ability to move and maneuver including travel and support times?  If the best asset is an unmanned aircraft system, what it the range of the aircraft?  What is the flight time duration? How far is the preplanned coverage area from the aircraft launch locations? 3-23. Day and night effectiveness is the collector’s ability to collect information in varying degrees of light. Some collection sensors are designed for nighttime or limited visibility conditions, while some sensors cannot operate at night or with limited visibility.  Is the asset capable of conducting collection during the hours of darkness and low visibility?  How does thermal crossover affect the asset’s capabilities? 3-24. Technical characteristics address the capabilities and limitations of the collector’s resources. Urban environments degrade some capabilities of collection sensors. Weather effects on sensors must be considered. Collectors consider the time factors each asset requires for task performance.  Can the sensor see through obscurants?  What are the effects of the environment (including such factors as urban or rural terrain and soil composition) on the collection asset?  Can the sensor continue despite hostile electronic attack?  Can the aircraft launch in high winds or limited visibility?  Can the prime mover cross restricted terrain? 3-4 FM 3-55 3 May 2013  Information Collection Planning and Assessment 3-25. Reporting timeliness deals with the collector’s promptness for reporting. Some collection assets require additional processing time to convert data into a useable format.  What are the established reporting criteria for each collection asset?  How long does it take a collector to disseminate collected information to the requestor? 3-26. Geolocation accuracy discusses the collector’s ability to identify exact locations. Targeting requirements and rules of engagement may require greater geolocational accuracy. Accuracy implies reliability and precision.  How accurate is the locational data provided by the asset?  Is the asset capable of providing locational accuracy required for precision guided munitions? 3-27. Durability addresses the stability and endurance of the materials used by collectors.  Can the aircraft launch in high winds or limited visibility?  Can the prime mover cross restricted terrain? 3-28. Threat activity deals with how much enemy activity the collector identifies. Can the collection system obtain and report the threat conducting activities? 3-29. Sustainability addresses the length of time a collector can use an asset without additional resources. Each collection asset has distinct sustainment requirements; therefore, the staff must consider the collection asset’s sustainability for long duration operations. The longer the collection period, the harder it will be to find assets for continuous activity. Weather can significantly affect sustainability of certain collection assets. 3-30. Vulnerability includes the collector’s vulnerability to threat forces, not only in the target area but also along the entire route of travel. Collectors evaluate their vulnerability to threat forces. Collectors consider the threat’s ability to locate, identify, and destroy them anywhere their collection mission might take them.  What is the threat’s ability to locate, identify, and destroy the collection asset?  Is the collection asset or sensor vulnerable to threat denial and deception? 3-31. Performance history covers the known reliability of collection assets. Experienced staffs know which collection assets they can rely on to meet the commander’s requirements. Readiness rates, responsiveness, and accuracy over time may raise one collector’s reliability factor. Certain sensors require confirmation, especially if targeting is an issue. 3-32. Staffs evaluate the availability of collection assets and know the collectors and processors available at their own echelon and echelons above and below. Staffs also know how to access those assets and resources. Theater and joint echelons apportion joint intelligence, surveillance, and reconnaissance assets to subordinate echelons. Corps and divisions allocate support from the apportioned amount they receive to brigade combat teams (BCTs) and below. Staffs understand the system of apportionment and allocation to determine what is available and what to request. Staffs do this by analyzing the higher headquarters order and reviewing the various scheduling or tracking mechanisms. Note: Military source operations take time to establish and cultivate. Human intelligence collection availability and responsiveness links to geographic access, support relationships, protection restrictions, and workload. (See FM 2-22. 3 and TC 2-22.303 for more information on military source and human intelligence.) Signals intelligence assets are also valuable collection assets in stability operations when properly focused and supported through all-source intelligence analysis. Staffs employ signals intelligence collection with another collection asset. This mix of coverage allows signals intelligence collectors to cue and be cued by other collection assets. 3-33. Certain capabilities require confirmation, especially if targeting is an issue. For example, target selection standards may require the staff to rely on systems capable of providing targeting accuracy. If experience shows that a particular system is often unavailable because of local weather patterns, the staff considers this in evaluating the system’s performance history. The staff may select an alternate system. 3 May 2013 FM 3-55 3-5 Chapter 3 Determine Constraints 3-34. When determining constraints, the staff considers legal, political, operational, and rules of engagement constraints that might constrain reconnaissance, security, intelligence operations, and surveillance. The staff must consider planning constraints such as limits of reconnaissance, earliest time information is of value, and not earlier than times. In some cases, the commander may impose constraints on using certain collection assets. In other cases, system constraints such as the weather, crew rest, or maintenance cycle limitations may impose limits the staff must consider. Identify Critical Facts and Assumptions 3-35. When staffs identify critical facts and assumptions, they identify critical facts and assumptions pertinent to information collection planning that they will use later in COA development. For example, a critical fact might be that imagery requests may take 72 to 96 hours to fulfill or that the human intelligence effort requires significant time before a good source network is fully developed. 3-36. Developing assumptions for planning include the availability and responsiveness of organic assets and resources from higher echelons. For example, the staff might use a certain percentage (representing hours) of unmanned aircraft system support available on a daily basis, weather and maintenance permitting. Perform Risk Assessment 3-37. When performing a risk assessment, the staff considers the asset’s effectiveness versus the protection requirements and risk to the asset. For example, placing a sensor forward enough on the battlefield that it can return valuable data and information may put the asset at high risk of being compromised, captured, or destroyed. The calculus of payoff versus loss will always be determined by mission variables and the commander’s decision. 3-38. In some cases, friendly forces may reveal a collection capability by taking certain actions. If it is important to keep a collection capability concealed, then the staff carefully considers every lethal or nonlethal action based on current intelligence. Determine Initial CCIRs and EEFI 3-39. Determining initial CCIRs and EEFI is the most important prerequisite for information collection planning. The staff refines the list of requirements they derive from the initial analysis of information available and from intelligence gaps identified during IPB. They base this list on higher headquarters tasks, commander’s guidance, staff assessments, and subordinate and adjacent unit requests for information. 3-40. The staff then nominates these requirements to the commander to be CCIRs and EEFI. Commanders alone decide what information is critical based on their experience, the mission, the higher commander’s intent, and input from the staff. The CCIRs are the primary focus for information collection activities. Develop the Initial Information Collection Plan 3-41. The initial information plan is crucial to begin or adjust the collection effort to help answer requirements necessary to develop effective plans. The initial information collection plan sets information collection in motion. Staffs may issue it as part of a warning order, a fragmentary order, or an operation order. As more information becomes available, staffs incorporate it into a complete information plan to the operation order. 3-42. At this point in the MDMP, the initial information plan has to be generic because the staffs still must develop friendly COAs. The basis for the plan is the commander’s initial information collection guidance, the primary information gaps identified by the staff during mission analysis, and the enemy situational template developed during IPB. (See chapter 4 for additional information on tasking and directing collection assets.) 3-6 FM 3-55 3 May 2013  Information Collection Planning and Assessment 3-43. The intelligence staff creates the requirements management tools for the information collection plan. The operations staff is responsible for the information collection plan. During this step, the operations and intelligence staff work closely to ensure they fully synchronize and integrate information collection activities into the overall plan. 3-44. The operations officer considers several factors when developing the initial information collection plan, including—  Requirements for collection assets in subsequent missions.  The time available to develop and refine the initial information collection plan.  The risk the commander is willing to accept if information collection missions begin before the information collection plan is fully integrated into the scheme of maneuver.  Insertion and extraction methods for reconnaissance, security, surveillance, and intelligence units.  Contingencies for inclement weather to ensure coverage of key NAIs or TAIs.  The communications plan for transmission of reports from assets to tactical operations centers.  The inclusion of collection asset locations and movements into the fire support plan.  The reconnaissance handover with higher or subordinate echelons.  The sustainment support.  Legal support requirements. Develop Requests for Information and Requests for Collection or Support 3-45. Submitting a request for information to the next higher or lateral echelon is a method for obtaining information not available with organic information collection assets. Units enter requests for information into a system where all units can see requests. Hence, analysts several echelons above the actual requester become aware of the request and may be able to answer it. 3-46. When the unit cannot satisfy a collection requirement with its own assets, the intelligence staff composes and submits a request for information to the next higher echelon (or lateral units) for integration in its own information collection plan. At each echelon, the requirement is validated and a determination made if that echelon can satisfy the requirement. If that echelon cannot satisfy the requirement, it is passed to the next higher echelon. Note: This process continues until the requirement is satisfied and the information or intelligence requirement is no longer needed or cannot be satisfied. 3-47. Throughout the request for information process, units must apprise the submitting organization of the status of their request for information as either accepted for action, passed to another organization for action, returned without action (invalid or impracticable request), or closed (satisfied). For the priority intelligence requirement (PIR), the intelligence staff tracks all production requirements, particularly those transmitted to higher echelons. When a requirement is satisfied or overcome by events, intelligence officers must notify the higher headquarters that the requirement is closed. Develop and Synchronize Production Requirements 3-48. Intelligence staffs develop and synchronize production requirements to provide timely and relevant intelligence analysis and products to commanders, staff, and subordinate forces. Staffs use the unit’s battle rhythm as a basis for determining the daily, weekly, and monthly analytical products. The intelligence staff then designs an analytical and production effort to answer the CCIRs and meet the commander’s need for situational understanding and the staff’s need for situational awareness. 3-49. Intelligence production includes analyzing information and intelligence. It also includes presenting intelligence products, assessments, conclusions, or projections regarding the area of operations and threat forces in a format that helps the commander achieve situational understanding. Staffs devote the remainder of the analytical effort to processing, analyzing, and disseminating data and information. 3 May 2013 FM 3-55 3-7 Chapter 3 3-50. Commanders and staffs measure the success of the analytical and production effort by the products provided and their ability to answer or satisfy the CCIRs, intelligence requirements, and information requirements. COURSE OF ACTION DEVELOPMENT 3-51. Using the continually updated IPB products and the enemy situation template, the intelligence staff must integrate information collection considerations to develop friendly COAs. In many cases, the information collection considerations for each COA are similar depending on the characteristics of the friendly COA. 3-52. The operations and intelligence staffs must collaborate on information collection considerations to support each course of action developed. The staff works to integrate its available resources into an integrated plan. Intelligence and operations staffs focus on the relationship of collection assets to other friendly forces, the terrain and weather, and the enemy. 3-53. The development of NAIs and TAIs based upon suspected enemy locations drive the employment of collection assets. The staff considers how to use asset mix, asset redundancy, and asset cueing to offset the capabilities of the various collection assets. 3-54. During COA development, the staff refines and tailors the initial CCIRs for each COA. Technically, these are initial requirements for each course of action. Later in the MDMP, once a COA is approved, the commander approves the final CCIR, and the staff publishes it. COURSE OF ACTION ANALYSIS (WAR GAME) 3-55. The intelligence staff records the results of COA analysis and uses that information to develop the requirements planning tools. The entire staff uses the action-reaction-counteraction process to move logically through the war gaming process. These events have a bearing on the assets recommended for tasking to the operations staff. ORDERS PRODUCTION, DISSEMINATION, AND TRANSITION 3-56. Orders production is putting the plan into effect and directing units to conduct information collection tasks. The staff prepares the order by turning the selected COA into a clear, concise concept of operations and supporting information. The order provides all the information subordinate commands need to plan and execute their operations. However, this is not the first time subordinate commanders and their staffs have seen this data. In the parallel and collaborative planning process, planners at all echelons are involved in the orders process. INFORMATION COLLECTION ASSESSMENT 3-57. Assessment is the determination of the progress toward accomplishing a task, creating a condition, or achieving an objective (JP 3-0). Assessment guides every operations process activity. Assessing information collection activities enables the operations and intelligence staffs to monitor and evaluate the current situation and progress of the operation. This ensures all collection tasks are completely satisfied in a timely manner. 3-58. Staffs begin assessing information collection task execution with monitoring and reporting by collection assets as they execute their missions. Staffs track reporting to determine how well the information collection assets satisfy their collection tasks. The desired result is relevant information delivered to the commander before the latest time information is of value (LTIOV). 3-59. The running estimate informs the staff of the status of collection on all requirements. A running estimate is even more effective when staffs compare previous ones that refer to the same time. This comparison grades accuracy and relevancy of the prediction to what actually occurred enabling the staff to develop COAs that avoid repeating mistakes. 3-8 FM 3-55 3 May 2013  Information Collection Planning and Assessment 3-60. After each phase of the operation, staffs conduct an assessment. They examine the audit trail to determine which requirements were answered and not answered. Afterwards, the operation and intelligence staffs assess the accuracy and effectiveness of the collection assets and analytic elements. (See chapter 5 of ADRP 5-0 for more information on assessment.) 3 May 2013 FM 3-55 3-9