Volume 123, Number 4, December 2011 PDF

PRESIDENT’S PAGE
A
s I write this note I’ve been at the helm of ASNE for about four
months, and I’ve gained a renewed appreciation for the challenges
facing our Society. They are daunting, but not insurmountable.
Among the most significant are the following:
• Provide needed member services

• Grow our membership
• Foster strong sections
• Conduct a successful major symposium every six weeks (on average)
• Generate revenue to sustain operations
There are many more challenges that must be met to assure the successful
operation of our Society and they cannot be ignored, but if we can be
successful in addressing the five I have listed, I believe ASNE will prosper.
Assuring that ASNE prospers is my objective as President.
So what are we doing in these areas, and are we on track? I will briefly
address each challenge in turn.
American Society of Naval
Engineers President
Membership Services: This is the Raison d’être for any member organization. Mr. Ronald K. Kiss,
The challenge is to be able to identify the most important needs and satisfy President@navalengineers.org
them well. It is impossible to be all things to all members and satisfy every
perceived need and desire. And in my view it would be folly to try. Many
of these services are wholly, or in large part, the responsibility of our
professional headquarters staff. But there are only ten full-time employees
at headquarters, and they need to expend time on many less visible,
mundane, but essential activities such as human resource management,
accounting, audit work, supporting a myriad of committees, and managing
all the records associated with a member based organization. And this is
still only part of their workload. Nonetheless I believe our member services
are sound, and being improved. For example, our new website, with
improved functionality for members was stood up in the past year. We have
restructured the Naval Engineers Journal and taken the publication
in-house. National symposia have been growing and continuing to evolve to
better meet the needs of our members and the naval engineering community.
Online member transaction such as registration, dues renewal, contributions,
and record updates have been significantly improved over the past year and
further improvements are coming such as shopping cart capability, webinars,
and other high tech member communication techniques.
Membership (growth): Over the past 14 years we have seen membership

decline from about 6,000 in 1997 to less than 4,000 in 2008. Since then
we have managed to remain roughly static, with membership varying from
3,961 to 4334 today. I have made membership growth one of my KPP’s
© 2012, American Society of Naval Engineers 2011 #4 5
DOI: 10.1111/j.1559-3584.2012.00349.xDelivered by Ingenta to: American Society of Naval Engineers Members
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PRESIDENT’S PAGE
(key performance parameter). Karen Miller, command leadership. I know there are some
past Chair of the Delaware Valley section, has dormant sections that, if they were reactivated,
agreed to lead the Membership Committee. could provide great opportunities to members
She has formed her committee, held an in those locales. I invite contact from members
organizational meeting, and begun to develop a residing in such locales, if they believe we can
plan on how we can grow. In my view success help get them get back on their feet. Marty
in this area is critical to achieving success in all Oard, of the Tidewater Section, has stepped
our other major challenges. up to chair the Sections Committee, and I’m
looking forward to some great progress on
Sections: Sections provide the opportunity section matters in the months ahead.
for frequent face-to-face interaction among
members, and the opportunity to have Symposia: The business model for ASNE
reasonably priced, readily accessible programs. demands that we conduct 8 to 12 successful
Success is often associated with size. Our symposia per year. Successful, in this context,
Tidewater section has about 550 members, is not that great thoughts and messages were
or nearly one eighth of our total national communicated to those who chose to attend,
membership. But that doesn’t guarantee success. but that net receipts equal or exceed the
Engaged, energetic members are needed to approved budget. Unfortunately, two of the
make that happen. And Tidewater has that! three symposia already held on my watch have
They conduct multiple national symposia every not made their numbers. Since I was at each I
year, along with their robust series of local can attest to the fact that the programs were
section meetings. Another key to success is excellent, and that the organizing committees
member density in a given geographic location. worked very hard. But the registration numbers
Tidewater has that as well, but there are other were too low to make the budgeted net
places where this is true. Take the Southern revenue. I believe this was due to exogenous
Indiana Section, who while not being nearly factors beyond the control of ASNE or the
as large as Tidewater must be considered a Committees, but that doesn’t help your
success. I had the pleasure of attending the Society’s prospects for a successful fiscal year
Global Deterrence and Defense Symposium result. Nonetheless we have reason to believe
they hosted in September. I’m pleased to report the environment will improve, and we have
it was an excellent symposium with over 250 some great symposia planned for the rest of
attendees, and 40 technical presentations. The the fiscal year. So I am very hopeful that we
presentations covered a wide range of topics can recover some ground. I am also thankful
from the Trident Program to small nuclear for the banner year Past President Hinton had
reactors! The local ASNE leadership team was last year. It gives us a cushion to absorb some
most impressive, with Raymon Smith doing disappointing results on symposia revenue this
a great job as the overall symposium chair. year.
The section publishes a useful, informative
newsletter and is also fortunate to have great Revenue: As already noted Symposia revenue
support by the Naval Surface Warfare Center, is so central to the successful execution of
Crane Division. That kind of moral support our annual budget that failing to achieve the
from the local Navy Command is a strong budgeted income can easily lead to a deficit for
contributing factor to the section’s success. We the year overall. This is disheartening because
are fortunate that most Navy commands are all symposia require a great deal of effort by
enlightened enough to recognize the benefit members and staff. The intellectual rewards
their organization receives by supporting the always seem to be there, but all the committees
participation of their employees in ASNE feel even better when they can report a financial
activity. Unfortunately such support is not success matching the usual technical success.
universal, but kudos to Crane for such sage Which brings me back to the other reason
6 2011 #4 NAVAL ENGINEERS JOURNAL

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PRESIDENT’S PAGE
why I believe membership growth is so vital. We need those members already working hard
The services we provide through our website, to keep working hard to make ASNE function
local sections, symposia, and other programs well. But as a volunteer myself, I know there are
represent, to some extent, a fixed cost. The more limits to what an individual can do - no matter
practicing naval engineers that recognize the how great the psychic rewards may be. So I’m
value of an organization like ASNE and become calling for other members to get involved - help
members yields a disproportionate contribution run a symposium, join a national committee,
to our net revenue. So PLEASE ask a colleague or volunteer to help make your local section
to join; friends shouldn’t let friends follow their more active, relevant and responsive. Or equally
profession without the benefit of being a part of as important bring in a new member and get
this great naval engineering organization. them involved. Finally I’ll repeat my offer in my
inaugural letter - contact me with your ideas,
Summary: So, are we doing a good job? Yes. needs or desires - my email address is
Can we rest on the oars? A resounding NO! President@navalengineers.org.
NAVAL ENGINEERS JOURNAL 2011 #4 7

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THE GOLD MEDAL AWARD
THE AMERICAN SOCIETY OF NAVAL ENGINEERS

TAKES GREAT PLEASURE IN PRESENTING

FOR THE YEAR 2010 TO
MR. JEFFREY J. HOUGH

FOR HIS SIGNIFICANT CONTRIBUTION TO NAVAL ENGINEERING AS SET RADM Thomas J. Eccles, USN, left and Ms. Kathleen
FORTH IN THE FOLLOWING Hinton, right, presented the 2010 ASNE Gold Medal
Award to Mr. Jeffrey J. Hough.
Citation initiatives at CISD, focused on at Naval Sea Systems Command

As Director of the Navy’s Center for developing the next generation of ship (NAVSEA) headquarters. Mr. Hough
Innovation in Ship Design (CISD), design engineers. His Innovation Cells is a USN Acquisition Professional
Mr. Hough has exploited his diverse have provided training and experience with over 30 years of experience in
technical and management experience for hundreds of engineering student the naval engineering and shipbuilding
in reconstituting the Navy’s in-house interns with nearly 90% ultimately industry.
early stage ship design capabilities employed in the Naval Engineering
and reinvigorating NAVSEA’s ship enterprise. Mr. Hough has personally Mr. Hough has worked on ship
concept design workforce. His crafted CISD into a highly effective design teams for over 15 naval ship
leadership through innovation has recruiting tool and a well-spring acquisition programs including FFG
created a highly collaborative learning of highly competent and highly 7, DDG 51, SWATH T-AGOS 19,
environment of both young and motivated Naval Engineers. T-AO 187, T-AGS 60, AOE 6 and
experienced scientists and engineers LPD 17. He was an R&D program
exploring new ideas, methodologies, In recognition of his outstanding manager for over ten years including
and concepts. leadership in spearheading a leading the Affordability Through
renaissance in Naval Engineering Commonality (ATC) program and as
Mr. Hough has skillfully pursued a and advancing the Navy’s technical head of the HM&E R&D Division
three-pronged approach aimed at capabilities in the science and art of in NAVSEA 05R. Mr. Hough
developing experienced and highly naval ship design Mr. Jeffrey Hough was the Engineering and Business
proficient design engineers, producing is truly deserving of the 2010 ASNE Practices Advisor for the Chief of
lean and agile ship design processes Gold Medal Award. Naval Operations (CNO) Executive
and creating a robust set of integrated Panel (OPNAV 00K), where he
ship design tools. Additionally, Biography worked on policy positions for the
his collaborative leadership style Mr. Jeffrey Hough is the Director of CNO in the areas of Navy business
enables him to effectively bring the U.S. Navy’s Center for Innovation operations, alignment, engineering,
together operators, researchers and in Ship Design (CISD) located at the ship acquisition, shipbuilding, fleet
design engineers from a variety of Naval Surface Warfare Center – maintenance and modernization,
disciplines to evaluate the cost and Carderock (NSWC-CD). He is also force structure, and transformation.
capability tradeoff for a large number the Head of the Future Concepts Most recently he was the Director
of alternative concepts using the and Ship Design Integration Process - Future Fleet and Force Concepts
improved tools and processes. Division, NSWC-CD Code 22. Prior Division, Future Concepts and
to being assigned to NSWC-CD, Mr. Surface Ship Design Group (NAVSEA
Mr. Hough’s most enduring Hough was a senior naval architect 05D) where he oversaw future ship
contributions derive from his People for ship design and acquisition and naval force concept development
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in support of OPNAV and new ship knowledge of ship construction ship. Mr. Harris’ willingness to seek
acquisition programs. processes, design and build practices out new methods of production and
along with his willingness to seek his recognition of the need to reach
He received his BSE (1978) and MSE out best shipbuilding and business out to international shipbuilders to
(1979) degrees in Naval Architecture practices earned him a succession learn and apply best practices has
and Marine Engineering from the of promotions to Sr. Vice President. made NASSCO one of the nation’s
University of Michigan. He is a 1994 Under Mr. Harris’ leadership, the most efficient shipyards. The T-AKE
graduate of the Defense Systems VIRGINIA Class Program earned a program is widely recognized as the
Management College (DSMC) reputation as the premier shipbuilding most successful U.S. shipbuilding
Program Management Course. program in the U.S. Navy, with the program since World War II.
first submarine of the class completed
Acceptance Remarks within three months of the original For his accomplishments as program
For more than four decades, Mr. Fred planned delivery date set ten years manager of the VIRGINIA-class
Harris has worked tirelessly to foster earlier. During this same period, submarine design phase, Mr. Harris
innovation and realize excellence in the design and the conversion of received the Maine Maritime
shipbuilding. His extensive exposure the first four TRIDENT Ballistic Academy Outstanding Alumni
to the maritime industry has provided Missile Submarines to SSGNs was Award in 2000. In 2003, he received
him with a breadth of knowledge completed under his direction, all the annual William M. Kennedy
and a unique viewpoint in current ahead of schedule and under budget. Award from the Society of Naval
initiatives facing the business. He Mr. Harris also oversaw the design Architects and Marine Engineers,
is frequently called upon to offer his and construction of the 100-foot- and in 2003, he was included on the
perspective to revitalize the maritime long hull section for the SEAWOLF Maine Maritime Academy’s Wall of
industry and associated industrial Class Submarine, USS JIMMY Honor for his accomplishments in
base. CARTER (SSN 23), which provides the marine field. He was granted an
unprecedented undersea multi-mission Honorary PhD from the Academy
Mr. Harris graduated from the capabilities. in 2010. He is currently a Board
Maine Maritime Academy and was Member of the National Academy
commissioned in the U.S. Naval Appointed as President of General of Sciences, Transportation Research
Reserve in 1967. He sailed as a Dynamics NASSCO and Vice Board, and Chairman of the
Merchant Mariner, most notably with President of General Dynamics American Delegation of JECKU, a
the SS Transglobe, the most decorated in 2006, Mr. Harris is credited worldwide shipbuilding organization.
American merchant ship of the with the turnaround of the U.S. Mr. Harris has clearly demonstrated
Vietnam War. After earning his MBA Navy’s T-AKE auxiliary program at a dedication to innovation, efficiency
at Babson College, Mr. Harris began NASSCO. Within 18 months of his and growth in the shipbuilding
his shipbuilding career in 1973 as a appointment, the T-AKEs were being industry throughout his lifetime,
senior engineer for General Dynamics delivered on or ahead of schedule and making him truly deserving of
Electric Boat’s Trident ballistic missile on or under budget, with improved ASNE’s 2010 Harold E. Saunders
submarine program. His thorough performance with each subsequent Award.

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THE SOLBERG AWARD

THE SOLBERG AWARD

DR. ROBERT M. KOCH, P.E.

FOR HIS SIGNIFICANT ENGINEERING RESEARCH AND DEVELOPMENT
ACCOMPLISHMENTS IN THE FIELD OF UNDERSEA TACTICAL STEALTH
Ms. Kathleen Hinton, left, and RDML Thomas Wears,
SYSTEMS AS SET FORTH IN THE FOLLOWING
USN, right, presented the 2010 Solberg Award to
Dr. Robert Koch.
Citation have been accepted by the Naval Newport Solid Mechanics and Design
Internationally recognized as a Sea Systems Command for their Branch, managing 18-20 technical
researcher in advanced mathematical accuracy and ability to replace shock employees, and a Chief Research
analysis, Dr. Robert M. Koch qualification testing for individual Scientist in Applied Mechanics.
was chosen competitively from a systems, saving the Navy tens of Dr. Koch is an internationally
national pool of applicants to be the millions of dollars in testing. recognized researcher in structural-
U.S. Navy’s Senior Technologist in and hydro-acoustics noise
undersea Tactical Stealth Systems. A Dr. Koch’s career is characterized propagation, advanced mathematical
prolific inventor, his sustained level of by excellence as a researcher and analysis of transient dynamic high-
innovation and ingenuity has yielded scientist, as a leader in his profession energy shock events, and general
numerous technological advances and as a teacher and mentor. He theoretical and applied mechanics
that will help the US Submarine Fleet participates actively as a member formulations.
maintain its superiority well into the and leader in a number of national
twenty-first century. scientific boards and panels, he has Dr. Koch received his Ph.D. in
mentored many junior scientists and Applied Mechanics from Polytechnic
Dr. Koch provides the Navy with engineers and he has been an adjunct University of New York in 1991. His
valuable technical consultation and professor of engineering for over research interests are in computational
leadership to successfully integrate 24 years. Dr. Koch’s outstanding methods for large-scale problems
tactical stealth technology with technical achievement and superb in 3D fluid/structure interaction,
undersea warfare systems. In the past engineering leadership demonstrate structural acoustics and silencing, and
three years, Dr. Koch has invented that he is most deserving of the nonlinear solid mechanics. Dr. Koch
or co-invented several significant Society’s 2010 Solberg Award. has researched and published in many
technologies supporting the Navy’s areas of computational structural
use of Supercavitating Undersea Biography mechanics and acoustics including
Vehicles. As Technical Lead for In 2009, Dr. Robert Koch was named super cavitating high speed vehicles,
advanced shock analysis simulation the U.S. Navy’s Senior Technologist statistical energy analysis for structure
for several torpedo systems, Dr. (ST) in Undersea Tactical Stealth borne sound transmission in undersea
Koch’s team utilized advanced Systems, residing in the Chief vehicles, marine propulsor structural
physics-based mathematical modeling Technology Office at the Naval and structural acoustics analysis,
to minimize expensive, previously Undersea Warfare Center (NUWC) p-version finite element analysis,
required, shock qualification testing. Division, Newport. Prior to that, he boundary element advanced analysis,
Dr. Koch’s advances in modeling was the Head of the NUWC Division and thermo-fluid-elasto-plastic-creep

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THE SOLBERG AWARD
simulation of the casting fabrication Acceptance Remarks grounded in reality and steered
process. Of particular recent interest Thank you very much. I am deeply towards achieving, at least eventually,
is the application of explicit finite honored and humbled to receive real-world, useful results.
element methods for the inelastic the Solberg award today from the
nonlinear dynamic shock response American Society of Naval Engineers. For example, one Harris cartoon
simulation of complex submerged shows a scientist standing next
structures subject to underwater I have obviously been long aware to another scientist who is sitting
explosions and also high frequency of the Solberg award as well as the contemplatively at his desk with
numerical analysis of coupled fluid/ long, impressive history of the ASNE clasped hands. The first scientist
structure acoustic sensor systems. society itself. However, after learning states: “Since you conduct only
that I personally was selected to thought-experiments, we were hoping
Dr. Koch was recently named the receive the award, curiosity led me you would, from time to time, come
recipient of the 2009 Office of Naval to do a more thorough investigation up with some thought-results.”
Research (ONR) CAPT Robert of the life and work of RADM
Dexter Conrad Award for Scientific Solberg. I happily discovered that Another cartoon depicts a scientist
Achievement. He is also a member of RADM Solberg and I shared a similar in front of a chalkboard filled with
AIAA, ASME, ASA, Sigma Xi, and philosophy of treating the bridging of complex mathematical equations
formerly the New York Academy of basic science and practical engineering and happily stating to his younger
Sciences, has been cited eight times solutions very seriously. colleague: “The beauty of this is that
each in both Who’s Who in Science it is only of theoretical importance,
and Engineering and Who’s Who in Performing basic R&D in structural and there is no way it can be of any
America, and has been a Registered dynamics and structural acoustics practical use whatsoever!”
Professional Engineer in the State and seeking to transition and transfer
of Rhode Island since 1996. After those theoretical results into the While amusing, these cartoons
becoming a “Top Ten” national solution of actual real-world, fleet illustrate the folly of performing
finalist in 2004, he was named the problems has been a main mission basic scientific investigations without
National Society of Professional of mine throughout my Navy career. keeping at least one eye down the
Engineers’ National Federal Engineer Colleagues of mine who know me road towards applying this difficult
of the Year in 2005. In 2006, Dr. best, would testify to my strong research to some ultimately important
Koch was also selected as one of passion for bridging that gap, both practical purpose or application.
eight Professional Engineers (PEs) in terms of the science itself as
nationally for a permanent seat on the well as fostering dialogue between I’d like to close by (a) thanking
Mechanical Engineering Board of the practitioners at both ends of that the ASNE society again for this
National Council of Examiners for spectrum. It was therefore very great honor, (b) thanking the Naval
Engineering and Surveying (NCEES) gratifying to me to find that the Undersea Warfare Center for their
to prepare the National Mechanical distinguished RADM Solberg and I at unbelievable support to me over the
Engineering PE Examination. As a least shared that same mission. past 20 years, and (c) finally thanking
volunteer for the NCEES since 2001, my wife, Laureen, and my daughters,
he has also established national On a relate, lighter note, it occurred Aviana and Isabelle, for their limitless
grading standards. Dr. Koch has to me earlier this week that even the faith in me and for putting up with
also been an Adjunct Professor of funny Sidney Harris science cartoons all of my long hours and significant
Engineering, teaching undergraduate I have chosen to tape to the office traveling that seems to be required
engineering courses for the past wall over my desk almost exclusively to even be nominated for an award
24 years at Polytechnic University, “preach” this exact same message, like this.
Brooklyn, NY, and Roger Williams albeit in a humorous way, and remind
University, Bristol, RI. me daily to always keep my research Thank you very much.

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THE HAROLD E. SAUNDERS AWARD


MR. FREDERICK J. HARRIS

FOR HIS SIGNIFICANT CONTRIBUTION TO NAVAL ENGINEERING Ms. Kathleen Hinton, left, and VADM Kevin M.
AS SET FORTH IN THE FOLLOWING McCoy, USN, right, presented the 2010 Harold E.
Saunders Award to Mr. Frederick J. Harris.
Citation multi-mission module, the Trident Biography

Over a forty year career in naval SSGN conversions, and the CVN-21 For more than four decades, Mr. Fred
engineering and shipbuilding, Mr. propulsion plant design. Harris has worked tirelessly to foster
Frederick J. Harris has become an innovation and realize excellence in
acknowledged leader, frequently At NASSCO Mr. Harris instilled a shipbuilding. His extensive exposure
called upon to offer his perspective to culture of innovation and continuous to the maritime industry has provided
revitalize the maritime industry. Most improvement that has resulted in a him with a breadth of knowledge
of his career was focused on nuclear world-class learning curve with both and a unique viewpoint in current
submarines where his influence was naval auxiliaries and commercial initiatives facing the business. He is
critical to maintaining essential ships, with every ship delivered ahead frequently called upon to offer his
high standards while successfully of schedule and with high quality. He perspective to revitalize the maritime
pursuing innovation and change in has fostered extensive international industry and associated industrial
submarine design and construction. cooperation to learn and apply the base.
However, as President of General best methods from the world’s leading
Dynamics NASSCO his impact has shipbuilders and he participates Mr. Harris graduated from the
been every bit as dramatic in regard to actively in a variety of forums aimed Maine Maritime Academy and was
construction of conventional surface at stimulating improvement in the commissioned in the U.S. Naval
ships. U.S. shipbuilding industry. Reserve in 1967. He sailed as a
Merchant Mariner, most notably with
The term “pioneer” best describes Mr. Harris has dramatically raised the SS Transglobe, the most decorated
Mr. Harris’ development of design- the bar for shipbuilding excellence in American merchant ship of the
build processes for VIRGINIA Class the United States and his emphasis Vietnam War. After earning his MBA
submarines. His leadership resulted in on developing people, processes and at Babson College, Mr. Harris began
the program’s unprecedented success, tools has built a lasting legacy that his shipbuilding career in 1973 as a
which included meeting the lead ship will carry forward for years to come. senior engineer for General Dynamics
delivery schedule, a 40% reduction Mr. Harris’ notable achievements Electric Boat’s Trident ballistic missile
in lead ship resource man-hours and positive influence in naval submarine program. His thorough
compared to previous class lead ships, engineering and the nation’s maritime knowledge of ship construction
and deployment of VIRGINIA prior industries set him apart from his processes, design and build practices
to Post-Shakedown Availability. He peers and make him a truly worthy along with his willingness to seek
subsequently achieved similar success recipient of the 2010 Harold E. out best shipbuilding and business
with the JIMMY CARTER (SSN23) Saunders Award. practices earned him a succession of

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promotions to Sr. Vice President. Under annual William M. Kennedy Award To begin, I want to thank Herb Berry.
Mr. Harris’ leadership, the VIRGINIA from the Society of Naval Architects When I first worked for Herb, he
Class Program earned a reputation as and Marine Engineers, and in 2003, was the Program Manager / Director
the premier shipbuilding program in he was included on the Maine for what eventually became the
the U.S. Navy, with the first submarine Maritime Academy’s Wall of Honor Trident Program. Herb taught me this
of the class completed within three for his accomplishments in the marine singular, fundamental lesson…
months of the original planned delivery field. He was granted an Honorary
date set ten years earlier. During PhD from the Academy in 2010. In the business of designing and
this same period, the design and the He is currently a Board Member of building Navy ships, it takes many
conversion of the first four TRIDENT the National Academy of Sciences, individuals working together to
Ballistic Missile Submarines to SSGNs Transportation Research Board, and assure that the end product meets
was completed under his direction, all Chairman of the American Delegation specification requirements. Without
ahead of schedule and under budget. of JECKU, a worldwide shipbuilding this collaboration, systems may fail,
Mr. Harris also oversaw the design organization. Mr. Harris has clearly with potentially dire consequences.
and construction of the 100-foot- demonstrated a dedication to
long hull section for the SEAWOLF innovation, efficiency and growth in In 1974, within the first few months of
Class Submarine, USS JIMMY the shipbuilding industry throughout my career at General Dynamics Electric
CARTER (SSN 23), which provides his lifetime, making him truly Boat, I had written a long technical
unprecedented undersea multi- deserving of ASNE’s 2010 Harold E. paper with multiple enclosures and
mission capabilities. Saunders Award. submitted it to my Engineering Chief.
He, in turn, passed it on to a number
Appointed as President of General Acceptance Remarks of other senior personnel within the
Dynamics NASSCO and Vice I would like to begin by thanking organization for review.
President of General Dynamics Dennis Kruse, Executive Director
in 2006, Mr. Harris is credited of the American Society of Naval A month later – after what I thought
with the turnaround of the U.S. Engineers, and all those at ASNE was an inordinate amount of time – I
Navy’s T-AKE auxiliary program at who were part of the selection was called into Herb’s office. He asked
NASSCO. Within 18 months of his process. I am deeply honored and me what I thought of MY document
appointment, the T-AKEs were being humbled that you have chosen me and of the submittal review process.
delivered on or ahead of schedule and to receive the Harold E. Saunders I considered his question carefully,
on or under budget, with improved Award for 2010. and then told him that I believed my
performance with each subsequent technical submittal was good, but that
ship. Mr. Harris’ willingness to seek I would also like to thank Bruce the review process was excessive and
out new methods of production and Rosenblatt for nominating me for cumbersome. Herb calmly opened my
his recognition of the need to reach this prestigious award and those submittal and said, “I found a mistake
out to international shipbuilders to who seconded his nomination....I am on page 23 of Enclosure (2). This ‘an’
learn and apply best practices has sincerely grateful for the time and should be an ‘a.’” He added, “I know
made NASSCO one of the nation’s effort each of you spent on my behalf. you purposefully left this typo for me,
most efficient shipyards. The T-AKE to see if I had read the entire letter.”
program is widely recognized as the In addition, I would like to recognize
most successful U.S. shipbuilding three people who were very important He then went on to say, “These
program since World War II. to me in my career. First and foremost, ships go in harm’s way, so peer
my wife Peggy, then from my years and management review must take
For his accomplishments as program at Electric Boat, Mr. Herb Berry, and place at all levels. This will happen
manager of the VIRGINIA-class from Naval reactors, Mr. Souren throughout your career here at
submarine design phase, Mr. Harris Hanessian. I have worked for many Electric Boat. As you become more
received the Maine Maritime talented, motivated leaders and I have experienced, you will understand
Academy Outstanding Alumni Award had many remarkable mentors. These the value of a comprehensive,
in 2000. In 2003, he received the three individuals stand out in my life. crossfunctional review. It is now, and

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always will be, part of the process of went unanswered, and the decision members of a team as a means of
designing and building submarines at was made to begin testing. assuring the quality and completeness
Electric Boat.” of technical work.
We should not have gone to test! The
From Herb, I learned that it is not a equipment did fail. Fortunately, no Secondly, through my many years
single individual who is responsible one was hurt. Before the dust had working with Naval Reactors at
for the outcome of a Navy program. settled, Souren called me into an office Electric Boat, I learned the lesson
at NAVSESS Philly and essentially said of accountability. Admiral Rickover
Rather, successful ship design is most in the strongest possible language, touched on this subject many years
often the result of many different “I am very disappointed. I hold you ago, essentially saying that you may
disciplines and groups of people, to a higher standard. You have an delegate or share responsibility with
collaborating, checking and double- obligation to pick up the phone and others, but you are still accountable.
checking each other. notify me of any major technical
concern. Even though you sent the He stated that “Unless you can
Together, they become greater than the letter in accordance with established point your finger at the man who
sum of their parts in order to create distribution requirements, you did is responsible when something goes
a complex, integrated system. Herb not see the need to call me personally. wrong, then you have never had
taught me that peer reviews were a I would have understood the anyone really responsible.” I learned
good thing, especially when it comes importance of the situation. You owed that effective leadership includes
to ensuring that a complex series of me that call.” not just responsibility but also
systems – such as those integrated accountability for a project’s outcome.
on a submarine – are safe. I came to I have never forgotten that
understand that peer review is the conversation. He was right. As Finally, I would like to say a few
hallmark of great engineering feats. technical experts, we do have a words to my wife, Peggy. Peg, you
higher level of obligation to alert have put up with many lonely
I would also like to thank Mr. Souren the responsible persons to potential nights with me away or at work,
Hanessian. Souren was the Program problems and provide an honest endless miles traveled and dinner
Manager for “Advanced Submarines” assessment. conversations that most often centered
and the senior civilian responsible for around ship operation, design,
all advanced submarine development There was real technical concern. construction and repair.
within Naval Reactors. I worked However, I failed, not because
closely with him in the late 1980s. someone hadn’t agreed with our You went to the kids’ ball games
At that time, I was the engineering recommendation to postpone but and dance recitals and acted as the
manager responsible for the because I had not pressed the issue. By disciplinarian, making sure they knew
development of Seawolf propulsion not forcing the issue to be addressed, what was important when I couldn’t
equipment. At a significant point in I allowed my colleagues to be put in be there. And today, you do the same
the program, we were preparing to harm’s way. for our grandchildren. Without your
undergo performance testing of a support, I could never have achieved
critical component. Thanks to these two men, I learned what success I have. You have been
two important lessons that have my teacher and more importantly
My colleagues and I at Electric Boat stood me well in my career. First, my sounding board, and you have
believed that the equipment might fail that no matter how much experience kept me grounded, solidly grounded,
under certain operating conditions. you have, there is always someone at all times. Thank you for your
who knows more about a particular unwaivering support. You know how
I signed a letter out to the Navy subject than you. very much I love you.
outlining our concerns and
recommending that we postpone My role as a leader, therefore, came Thank you all for being here this
testing until we could complete to include efficient and effective evening, and many thanks to ASNE
further analysis. The recommendation utilization of the talents of all for this esteemed award.

Date : Wed, 18 Mar 2015 06:47:26 IP : 103.27.8.45
THE FRANK G. LAW AWARD


MR. J. CAREY FILLING, JR.

FOR OUTSTANDING CONTRIBUTIONS TO THE ADVANCEMENT OF THE
Ms. Kathleen Hinton presented the 2010 Frank G.
SOCIETY THROUGH DEDICATED SERVICE AS SET FORTH IN THE FOLLOWING Law Award to Mr. J. Carey Filling.
Citation successful in ensuring the participation vital to advancement of the naval

Mr. James Carey Filling has played of industry, academia, and government engineering profession and he is most
an active role in a variety of volunteer agencies in providing enlightening deserving of the American Society of
leadership positions for ASNE and entertaining exhibits which Naval Engineers Frank G. Law Award
throughout his entire career. He has increase the value and attraction of for 2010.
been tireless in his work, fearless the conference, thereby increasing
in assuming positions of significant the scope of the Society’s reach Biography
responsibility, technically astute, within the community. Additionally, Mr. J. Carey Filling serves as the Senior
attentive to the myriad details so Mr. Filling has served on the ASNE Ship Concept Manager for Surface
important to multiple stakeholders, National Council, the ASNE Day Combatants with the Department
and charismatic in his outreach to Executive Committee, the Long-Range of the Navy’s Naval Sea Systems
key constituents throughout the naval Planning Committee, the Nominating Command (NAVSEA) 05D1 Future
engineering community. The impact Committee, and the joint ASNE/ Ship & Force Architecture Concepts
of his dedicated efforts spans far SNAME/RINA/SD-7 Marine Forensic Team. Mr. Filling presently manages
beyond the direct reach of the many Committee and he has been Chairman the ship concept development for the
important positions he has held, and of three successful ASNE technical DDG 51 Destroyer Flight Upgrade
clearly demonstrates value of his symposia. Mr. Filling’s intellectual Study, seeking to provide Integrated
commitment to the American Society contributions to the profession are Air and Missile Defense (IAMD)
of Naval Engineers. equally impressive, with over a improvements to this formidable
dozen published works to his credit, platform. He holds a Bachelor of
A member of both the American including papers for both ASNE and Science degree in Naval Architecture
Society of Naval Engineers and SNAME annual meetings on such & Marine Engineering from the Webb
its sister organization the Society diverse topics as: RMS Titanic Sinking Institute of Naval Architecture. Mr.
of Naval Architects and Marine Dynamics, Distributed Collaborative Filling also attained both a Masters
Engineers, Mr. Filling has served Environments for Ship Design, of Business Administration (MBA)
on numerous committees in both Commercially-Viable RO/RO Designs, and a Master of Science in Supply
organizations exhibiting his dedication Mid-Term Sealift, Shipboard Signage Chain Management & Information
to the future of naval engineering. and Labels, and Navy Berthing. Technology from the Robert H. Smith
Most notable are his 17 years of School of Business at the University of
participation on the ASNE Day Mr. Filling has substantially enhanced Maryland.
Exhibits Committee, including service the Society’s ability to promote the
as Chairman or Co-Chairman for the technical interchange among industry, Prior to joining NAVSEA in December
past 14 years. He has been incredibly government and academia that is so of 2009, Mr. Filling culminated his

Date : Wed, 18 Mar 2015 06:47:26 IP : 103.27.8.45
16 years of service with Computer to the invention of a new Navy berth, working on a Symposium or ASNE
Sciences Corporation (CSC) as the the Sit-Up Berth, currently being Day was time spent away from family.
Senior Principal Manager for the integrated aboard the LPD 17 design, Thank you my dear.
Concept Development Team of the and now serving as a Navy standard.
CSC Advanced Marine Center of Second, I must thank my supervisors
Washington, D.C. The CSC Concept As a member of both the Society over the years: Andy Kondracki,
Development Team managed by Mr. of Naval Architects and Marine Roger Schaffer, Tom Willson, and
Filling provided early stage ship design Engineers (SNAME) and ASNE, Jeff Smith for allowing me the
and program management services Mr. Filling has served on the ASNE flexibility to support ASNE and the
to government and commercial National Council, ASNE Day Naval Engineering community. I owe
clients. Mr. Filling served as the Executive Committee, ASNE Day a second debt of gratitude for Tom
Project Naval Architect for the Cobra Exhibits Committee, Long Range Willson for nominating me for this
Judy Replacement (CJR) T-AGM Planning Committee, Nominating award.
25 Observation Island Replacement Committee, and the joint SNAME/
Program supporting PMS 325Q, SEA ASNE/RINA SD-7 Marine Forensic Third, every ASNE Day or
05D4, and IWS 2.0. He has served as Panel. Mr. Filling has served one Symposium is a team effort and I have
a Project Naval Architect for the Joint two-year term on the ASNE National too many Symposium Co-Chairs and
Maritime Assault Connector (JMAC) Council. He has served on the ASNE Committee members to thank, but I
– Seabase to Shore Connector (SSC), Exhibits Committee for 17 years, must single out CDR Michael Pierson,
Special Purpose Mine Clearance holding the position of Chairman for USCG who has helped me chair
Vessel (MSSX), T-AOE(X) Future the last 14 years. He served as the ASNE Day Exhibits for over a decade.
Fast Replenishment Ship, JCC(X) Co-Chairman for the successful Joint Of course, all of these symposia
Joint Command and Control Ship, Seabasing Conferences in 2005 and would not be possible without the
OPDS(X) Future Offshore Petroleum 2006 and recently served as Chairman extraordinary efforts of the dedicated
Discharge System, Maritime for the ASNE High Performance ASNE Staff.
Prepositioning Force - MPF 2010 and Marine Vehicles (HPMV) Symposium
MPF(F), Strategic Sealift, Mid-Term 2009. As a technical author, Mr. When I was told that I received
Sealift Ship Technology Development, Filling has over a dozen published this award, my first reaction was a
Maritech MAAST, Affordability works to his credit, including papers misquote from the great US Navy
Through Commonality, and LPD for the annual meetings of both ASNE Admiral John Paul Jones “I have not
17 San Antonio Class amphibious and SNAME. A Pennsylvania native, yet begun to volunteer!” It is said
transport dock ship programs. Mr. Mr. Filling is married to Diana Filling. that many ASNE volunteers, did not
Filling has developed ship concepts They have two children, Audrey and volunteer but were “volunTOLD.”
for NAVSEA 05D1, PMS 426, PMS Corinne, and now reside in Riva, MD. The man who voluntold me that
377, PMS 325 / 385, OPNAV N42, ASNE was a worthy venture was
the National Defense Science Board, Acceptance Remarks Mr. Dan Weiler. Dan was a great
the US Army, the National Defense Good afternoon, Madame President, Habitability and Human Factors
Industries Association, and the Secretary Stackley, Admirals, Past- expert in our naval engineering
Missile Defense Agency. Mr. Filling’s Presidents, Ladies and Gentleman. community, and was the ASNE
Team supported the development Father to many Law Award
of the LHA(R) Program leading I have been present for the awarding Winners.
to the LHA 6 and LHA 7 America of the Frank G. Law Award since it
Class Amphibious Assault ships. He was rejuvenated in 1992, and I am Thank you Dan for ensuring that a
has broad experience with Surface indeed humbled and honored to be then young engineer saw the value
Combatants, Auxiliary, Special included in this great family of ASNE of volunteerism and ASNE. In Dan’s
Mission, and Amphibious ship Volunteers. honor, I ask you to look to your left
designs and early stage acquisition and your right. If there is not a young
management. Mr. Filling has also I first need to thank my wife, Diana. naval engineer under the age of 30
applied Human Factors Engineering For every evening and weekend spent at your table then we are doing a

Date : Wed, 18 Mar 2015 06:47:26 IP : 103.27.8.45
disservice to our naval engineering ribbons like the prize winning Pig challenge each of you to volunteer
profession. I ask each of you to bring “Wilbur” from the E.B. White’s and earn a few ribbons, so that you
those young engineers and interns classic children’s story Charlotte’s can be “some pig”, “terrific”, and
with you to great events like this, and Web. To misquote another great “radiant” like the words written by
let them see the amazing things that American, President John F Kennedy Charlotte the spider for Wilbur the
we Naval Engineers can do. “Ask not what ASNE can do for you pig. But today, I am the very last
- but what you can do for ASNE,” word written by Charlotte in her web
In the ASNE Volunteer Corps, it and I guarantee that whatever effort over Wilbur’s pen: “humble.” Thank
is said that a consummate ASNE you expend, will be multiplied in you very much to the Society for this
volunteer is decorated with many the many benefits you receive. I great honor.

Date : Wed, 18 Mar 2015 06:47:26 IP : 103.27.8.45
THE CLAUD A. JONES AWARD


(FLEET ENGINEER)
LCDR GREGORY C. ROTHROCK, USCG

FOR HIS SIGNIFICANT CONTRIBUTION TO NAVAL ENGINEERING AS SET
RADM Thomas Ostebo, USCG, left, and Ms. Kathleen
FORTH IN THE FOLLOWING Hinton, right, presented the 2010 Claud A. Jones
Award to LCDR Gregory Rothrock, USCG.
Citation process, LCDR Rothrock increased completed an assignment as Executive

LCDR Rothrock’s exceptional the availability of Coast Guard Officer of the Legacy Sustainment
contributions have been vital to workforce hours by utilizing Support Unit (LSSU).
establishing an efficient Mission Legacy Sustainment Support
Effectiveness Project at the Coast Unit members for vessel work Upon graduation from the U. S.
Guard yard. The implementation of inspectors. This procedure allows Coast Guard Academy in 1995
standardized maintenance routines the cutter’s crewmembers to return with a Bachelor of Science degree
through the electronic contract to their homeport and operate as in Mechanical Engineering, LCDR
management software and Menu a multi-crew aboard other Coast Rothrock was assigned as Student
Item Maintenance have significantly Guard vessels. This effectively Engineer and Damage Control
streamlined the production process released 690 personnel to conduct Assistant aboard the USCGC
and have led to major reductions in other missions during the cutter CONFIDENCE in Port Canaveral,
maintenance time and cost. maintenance period. FL. In addition to his primary
duties, Lieutenant Commander
LCDR Rothrock has revolutionized LCDR Rothrock’s achievements Rothrock also qualified as a
cutter specifications by implementing have made a direct and positive Deck Watch Officer during his
“Menu Item Maintenance” of cutter contribution to increasing the tour.
class contract specifications with effectiveness and efficiency of the
standard work items. These standard Coast Guard Naval Engineering From 1997 to 1998, LCDR
work items are individually activated program across the fleet and Rothrock served as a Patrol Boat
as necessary and as determined by demonstrate that he is most deserving Type Desk Manager at Maintenance
the pre-arrival Acquisition Team. of the Society’s 2010 Claud Jones and Logistics Command Pacific
Using Menu Item Maintenance, he Award for superior performance in (MLCPAC) in Alameda, CA,
was able to streamline production fleet engineering. providing maintenance planning and
by creating a repeatable process casualty support for Patrol Boats
for tradesmen, which has led to Biography in Hawaii and Guam. In 1998 he
further standardization for ships Lieutenant Commander Greg was reassigned as the Section Chief,
across product lines for workers and Rothrock reported to his current Patrol Boat Type Desk for MLCPAC,
customers. position as the Cadet Character supervising the maintenance planning
Development Officer in the Cadet and casualty support for 26 patrol
Additionally, using the Crewless Training Branch at the Coast Guard boats in the pacific theatre. He filled
Cutter Depot Level Maintenance Academy in August of 2009, having that role until July 2000.

Date : Wed, 18 Mar 2015 06:47:29 IP : 103.27.8.45
From 2000 until 2003, LCDR certification as a Level II Program I could not have made this
Rothrock served as the Engineer Manager. contribution to our profession, nor
Officer onboard USCGC SPENCER, achieved this recognition without the
home-ported in Boston, MA. LCDR Rothrock’s military support and encouragement of my
Following that tour he attended awards include four Coast wife Lori who gives selflessly to our
Graduate School at Northeastern Guard Commendation Medals, family and my service, inspiring me to
University, graduating with a one Commandant’s Letter of my very best.
Master’s of Science Degree in Commendation Ribbon, as well as
Engineering Management in several unit, team and service awards. I owe gratitude to the Program
2005. He and his wife Lori have a son Manager - Mr. Kenneth King, My CO
and daughter in grade school. They – CAPT Doug Subocz, and CAPTs
From 2005 to 2006, LCDR Rothrock currently reside in Deep River, CT. John Kaplan and Brian Merrill at
served as the Human Resource the Coast Guard Yard: each of them
Manager for the Coast Guard Office Acceptance Remarks gave me the latitude and assistance
of Acquisitions in Washington, DC. I want to extend my heartfelt thanks necessary to complete the critical
In 2006 he was reassigned as the to the American society of Naval work that needed to be done to
Executive Officer of the LSSU, the Engineers, its members, esteemed sustain our aging fleet.
Acquisition Project Resident Office colleagues, Admiral Ostebo, and
overseeing the execution of the Coast Guard Naval Engineering. I am honored, but more touched by
Coast Guard’s Mission Effectiveness the fact that those who worked with
Program for Patrol Boats and Words cannot express the gratitude me closest thought so highly of my
Medium Endurance Cutters. In that that I feel for this recognition. I accomplishments as to nominate me
position he filled the role of Senior never imagined I’d be recognized in for recognition by this great society.
Production Engineer during the such a manner. I merely set out with I am fortunate to have served with
overhaul and upgrade of 21 Coast determination to do a job that needed tremendous professionals and truly
Guard Cutters. LCDR Rothrock to be done – a characteristic I am owe this recognition to each of them.
became an Acquisition Professional proud to share with the namesake of
in February of 2009, attaining DHS this award. Again, thank you so very much.

Date : Wed, 18 Mar 2015 06:47:29 IP : 103.27.8.45
THE FRANK C. JONES AWARD


MR. CRAIG L. FLYNN

FOR HIS SIGNIFICANT CONTRIBUTION TO NAVAL ENGINEERING AS SET
Mr. Craig Flynn received the 2010 Frank C. Jones
FORTH IN THE FOLLOWING Award.
Citation Mr. Flynn has been a key player This assignment enabled him to
As manager of the Submarine High in tremendous process and quality support many different product line
Data Rate National Maintenance improvements that have been critical Research and Development projects at
Center at the Naval Undersea Warfare to maintaining the Fiscal Year 2001 one time, participating in pre and post
Center Division Newport, Mr. Craig budget, as well as improvements production component and system
L. Flynn oversees all aspects of critical in repair turnaround time and level design and testing of:
maintenance to SubHDR Antenna operational availability, all directly
Assemblies. Under his supervision, attributable to Mr. Flynn’s dedication • Submarine and surface ship
the facility has achieved continuous and professionalism as Facility underwater acoustics
improvement to repair turnaround Manager. • Submarine towed array systems
time and operational availability. • Submarine and surface sonar
Under his leadership they have also For his exemplary leadership and systems
instituted remarkable improvement commitment to Fleet maintenance, • Fiber optic sensors and hull
in repair, maintenance, and testing Mr. Flynn is most highly deserving penetrators
that has increased the pre-installation of the American Society of Naval • Communication systems
testing success rate from 35% to Engineers’ Frank C. Jones Award for
90%. His knowledge, expertise 2010. On several occasions Mr. Flynn
and management style, combined supported the product line codes with
with his hands-on approach, have Biography on-site field engineering on:
earned Mr. Flynn the respect and Mr. Craig Flynn’s department of
admiration of facility personnel and Navy career began in 1980 at the • Underwater explosive shock
the collaborative ethic he has fostered Naval Underwater System Center tests
between government employees and in New London, CT. He began as a • Acoustical transducer testing
contractor support has resulted in a licensed tradesman supporting the • Sea test of pre-production
demonstration of excellence that is a facility maintenance department. surface ship sonar
testimony to his leadership skills. Mr. Flynn pursued an Engineering
degree going to school at night Mr. Flynn transferred to Naval
Under Mr. Flynn’s dedicated and and eventually completed two Undersea Warfare Center Division,
able management, new cost control separate Associate of Science degrees Newport, RI, in 1997. Later that
measures have led to significant cost in Mechanical Engineering and year he received the NUWC Division
avoidance and savings which have Computer Aided Engineering. He Newport center level award for
kept SubHDR operating within a later transferred to the Research Development Engineering for his
budget developed in 2001/2002 with and Development sector where he support on a New Surface Ship Sonar
no increased cost passed on to the spent 14 years in the Environmental System. In 1998 Mr. Flynn transferred
Fleet. In addition to cost savings, Assessment Branch. to the Electromagnetics and

Date : Wed, 18 Mar 2015 06:47:35 IP : 103.27.8.45
Communications Department, Code Acceptance Remarks caliber of the people that I have had
34, Mechanical Design Branch. The Humble… is how I feel. To be the privilege to work with, supporting
initial tasking related to submarine included and accepted by the people the many projects and programs, are
periscope system upgrades and in this room and to be honored second to none in any sector. I am
installations. as an ASNE award recipient is proud to be recognized as part of this
overwhelming. unique community of dedicated men
In 2002, Mr. Flynn was selected to and women.
manage the future sustainment of the I would like to truly thank ASNE for
Navy’s new submarine High Data this prestigious award. It is indeed an As we all know, without the solid
Rate Antenna. This effort has lead honor to have had been nominated by support structure of a winning team,
to his present position as Manager the Naval Undersea Warfare Center individual success is highly unlikely.
of the Submarine High Data Rate Davison Newport for the award, I am very fortunate to have aligned
Antenna National Maintenance to be selected as the Frank C. Jones myself the necessary support structure
Center (Sub HDR NMC). The Sub award winner is indeed a humbling that enabled me and the Submarine
HDR NMC is the single point repair experience. In my 31 years of civilian high Data Rate Antenna National
upgrade and restoration facility Navy experience I have been very lucky Maintenance Center team to achieve
for the Sub HDR Mast Electronic to have the opportunity to support this award recognition. The SubHDR
Group. many Navy Engineering endeavors. NMC team will continue do our best
to excel at what we do to support the
In 2010, Mr. Flynn was presented The stories and experiences associated US submarine fleet. We like what we
the NUWC Div NPT Lean with these engineering endeavors and do and apparently it shows.
Management Award for his accomplishments are worth all the
management of the Sub HDR NMC. hard work and sacrifices. The high Thank You Again ASNE.

Date : Wed, 18 Mar 2015 06:47:35 IP : 103.27.8.45
THE CLIFFORD G. GEIGER AWARD


MS. ROSE DIGERONIMO

FOR HER EXCEPTIONAL LEADERSHIP AND INFLUENCE WITHIN THE
NAVAL LOGISTICS COMMUNITY AS SET FORTH IN THE FOLLOWING Mr. James Thomsen presented the 2010 Clifford G.
Geiger Award to Ms. Rose DiGeronimo.
Citation Outreach and education have Naval Sea Systems Command. She
During her career as a Navy civilian also been an integral part of Ms. recently served a sixteen-month
engineer, Ms. DiGeronimo has DiGeronimo’s career. She developed Individual Augmentee tour in Iraq.
worked in a broad variety of fields and implemented an Integrated While in Iraq she was the deputy
within acquisition logistics and Logistics Internship rotation Army Team lead for the Iraq Security
has been at the forefront in the program within the Navy Secretariat. Assistance Mission and also supported
implementation of technologies Aditionally, during her recent the Ministry of Interior Contracts
designed to enhance Naval Logistics. deployment to Iraq as part of the and Vehicle Divisions assisting them
She has worked tirelessly to deliver Multi-National Forces Iraq Security in placing their own vehicle parts
technology to the Fleet increasing Assistance Office she coached the sustainment contract.
technical data capabilities while Iraqis though the entire acquisition
minimizing the research burden at logistics process. She received a Bachelor of
the “deck plate” level. Mechanical Engineering from
Whether implementing state of Catholic University and a Master’s
Selected by the Chief of Naval the art technologies or developing of Public Administration from the
Operations’ Director for Fleet future logisticians both at home Indiana University School of Public
Readiness as the Fleet Maintenance and abroad, Ms. DiGeronimo is a and Environmental Affairs. She
AIS Program Manager, Ms. proven leader who exemplifies the attended the Industrial College of
DiGeronimo led the effort to utilize Navy’s commitment to excellence and the Armed Forces Senior Acquisition
enterprise resource planning tools in innovation. She consistently seeks Course and earned a Master’s
implementing common maintenance opportunities to share her knowledge, of Science in National Resource
data information systems. Following and her accomplishments in Strategy from the National Defense
on this success, she was made Deputy acquisition logistics have been critical University. She is also Defense
Value Chain manager and acquisition to both the current and future Fleets. Acquisition Workforce Level III
lead for early Navy ERP efforts, She has indeed proven most deserving certified in Program Management
for which she received the Navy of the Society’s 2010 Clifford G. and Systems Engineering.
Meritorious Civilian Service Award. Geiger Award.
In her current assignment with the Ms. DiGeronimo’s civilian awards
Navy Secretariat, she implements Biography include the Meritorious Civilian
acquisition logistics policy reforms Ms. Rose DiGeronimo is a native of Service Award and Joint Civilian
and streamlining efforts, with a goal Cleveland, OH. Over the course of Service Commendation Award.
of reducing nonessential oversight twenty-five years, Ms. DiGeronimo
while maintaining programmatic has held a variety of engineering, Acceptance Remarks
awareness for the Secretary of the naval architect, program management Mr. Thomson, honored guests, ladies
Navy. and logistics positions within the and gentlemen, I am humbled and

Date : Wed, 18 Mar 2015 06:47:41 IP : 103.27.8.45
honored to accept the 2011 Cliff received the letter from RDML gentleman taught me that engineers
Geiger award. Myron Ricketts that the Navy was make some of the best logisticians.
the best place for an engineer to And that the big “L” didn’t stand
This is the culmination of a lifetime of work, to the day Dan Billingsley for loser – it stood for Logistics, or
fun, and hard work, with the Navy. convinced me to “stay Navy” and what we now might call sustainment
No one receives an award such as every Navy job opportunity in engineering.
this by their own efforts, but rather between. Even now, my current
through the assistance of many: leadership in the Navy Secretariat is To that individual I would like to say
among the best. They are supportive thanks for the opportunity to excel.
My husband John for his unwavering and always give me leeway to do my So thanks Mr. Geiger. Thanks for the
support – who, I am sure, when we best. For that I am grateful. opportunity to serve.
were a lot younger, wondered where
he fit in my life as the Navy seemed to But I would be remiss not to mention And thanks to all of you for the
take up so much of my time. this one person, this one special opportunity to be here.
person who stands out – I think he
My Navy leadership that has always may have been a household name
been supportive; from the day I in our family for many years. This

Date : Wed, 18 Mar 2015 06:47:41 IP : 103.27.8.45
THE ROSENBLATT YOUNG NAVAL ENGINEER AWARD

THE ROSENBLATT YOUNG NAVAL

ENGINEER AWARD
MR. JONATHAN D. APPLEQUIST Ms. Kathleen Hinton, left, and Mr. Thomas A.
FOR REMARKABLE, EARLY PROFESSIONAL ACHIEVEMENT WITH Schubert, right, presented one of two 2010
DEMONSTRATED POTENTIAL FOR CONTINUED DISTINCTION IN THE FIELD Rosenblatt Young Naval Engineer Awards to
OF NAVAL ENGINEERING AS SET FORTH IN THE FOLLOWING
Mr. Jonathan D. Applequist.
Citation study that is now being used as a Biography

In a few short years, Mr. Jonathan roadmap and is guiding specific, Mr. Applequist is a 1999 graduate
Applequist has amassed a wealth of concrete steps toward expanded of Texas A&M University, where
experience and technical expertise, commonality between the Navy and he received his BSE in Ocean
exhibiting a depth of knowledge in the the Coast Guard. Engineering. He joined Gibbs & Cox,
core areas of Naval Architecture that Inc. in March of 2000 as a project
is notable for any Naval Architect, but Mr. Applequist is also committed engineer in the Naval Architecture
even more remarkable given his age; to mentoring the next generation of Department.
and he has become a key contributor Naval Architects through sponsoring
and a recognized leader in the naval internships in his department and During his first few years at the
ship design community. he has developed an impressive company, Mr. Applequist supported
team of highly competent young the U.S. Navy’s DD21 Blue Team in
Mr. Applequist is the Lead Naval naval architects in his department. the emerging area of dynamic stability
Architect for the LCS 1 Freedom He continues to be involved in assessment. He authored an in-depth
Class and he has played a key role professional organizations, serving study on the subject, comparing the
in DDG 51 Class design studies. In as the SNAME Chesapeake Section various proposed approaches to
2006 he embarked on one of the Meetings Chair and Treasurer, assessing stability in large amplitude
most challenging tasks of his career and as a member of ASNE he has waves and how to successfully apply
as the Gibbs & Cox Technical Lead presented briefings at conferences this to the Blue Team design.
in the design collaboration between and served as a session moderator
Gibbs & Cox, Lockheed Martin, at the 2006 Joint Sea Basing Mr. Applequist was a senior Naval
the Navy Technical Authority, and Symposium. Architect on the SAIC USCG
technical representatives from the Deepwater Team, conducting general
Israeli Navy in the development of Mr. Applequist exemplifies the best arrangements integration, weight
a Foreign Military Sale (FMS) of and brightest of the new generation estimating and stability assessments
the Lockheed LCS Design. He also of leaders in the field of Surface for three ship designs proposed by the
had a lead role in a major study Combatant design. He embodies the Team. In 2002, Mr. Applequist was
effort examining opportunities for dedication to service in support of the selected as the Lead Naval Architect
increased commonality between the U.S. Navy that forms a foundational for the Focused Mission Ship Concept
U.S. Coast Guard and the U.S. Navy. tenet of the American Society of Design study, the precursor to what
He demonstrated superior insight into Naval Engineers and is most deserving would eventually evolve to become
this complex arena as evidenced by the Society’s 2010 Rosenblatt Young the U.S. Navy’s Littoral Combat Ship
flag level acclaim for the published Naval Engineer Award. (LCS). Following this, and since the

Date : Wed, 18 Mar 2015 06:47:44 IP : 103.27.8.45
inception of the LCS Program in Lead Investigator and author for a I would be remiss if I didn’t also
2003, Mr. Applequist has served as USCG/USN Commonality Study, thank my dear wife, Courtney, for her
the Lead Naval Architect for the LCS which identified areas where increased support and patience through many,
1 Freedom Class Littoral Combat commonality of equipment, resources many long nights and weekends at the
Ships and has overseen the naval and methodologies between the two office.
architectural technical development services shows promise of improving
and design integration for the ship mission performance and reducing I feel if I have done anything right,
from early Concept Design through cost. it has been to surround myself with
delivery and sustainment. He a remarkable group of engineers to
continues in this role for the recently In 2003 Mr. Applequist was work with and learn from. As the
awarded LCS follow ship program. promoted to be Manager of the Manager of the Naval Architecture
Naval Architecture Department, Department at Gibbs & Cox,
In 2006, Mr. Applequist was assigned making him one of the youngest I’ve been incredibly fortunate to
as the Gibbs & Cox, Inc. Deputy employees ever promoted to the have members of my staff that are
Program Manager and technical position of Department Manager passionate and proud of the work
lead for the Preliminary Design of in Gibbs & Cox, Inc.’s 81 year they do. They are an excellent group
an international LCS variant (LCS- history, and continues in this role of engineers to be associated with, and
I) featuring a significantly upgraded today. Early in his tenure, he became I owe them a great debt of gratitude
combat system for the Israeli Navy. acutely aware of the shortage of for the faithful support they have
He successfully completed the LCS-I Naval Architects with experience provided me.
Preliminary Design, meeting all the in surface combatant design. He
Israeli Navy’s capability requirements, recruited, trained and retained a The opportunities I’ve had at Gibbs
on-time and within budget. group of young Naval Architects & Cox were made possible because
who have become the core Naval the leadership of the company made
During this period he was the Architecture competency for Gibbs a conscious investment in the next
technical lead and primary author of & Cox, Inc. This team of highly generation of engineers. I’m here
the U.S. Navy’s DDG 51 “Gap Filler” competent Naval Architects offer today because others believed in me,
studies prepared for PMS 400D (DDG services of the highest quality to believed in my potential, and opened
51 Program Office). The final report, the company’s clientele and have up opportunities for me to grow. They
authored by Mr. Applequist, identified themselves become integral and gave me more than I was ready for,
the initial technical challenges trusted members of the programs but helped me along the way. This
associated with integrating a they serve. was a very challenging process, but
significant combat capability upgrade I was able to learn from some of the
to DDG 51 Class platforms, but in Acceptance Remarks best our industry has to offer, and
doing so also confirmed the viability I am very honored and grateful I’m very grateful for their time and
of using the DDG 51 Class as a way to the American Society of Naval patience over the years.
to introduce this capability to the fleet Engineers for selecting me for this
in a cost effective manner. award. My personal experience, and My bit of unsolicited advice to
I hope that this is a shared one, is those of you in leadership positions
He also directly supported NAVSEA that ASNE makes me want to be a is to think about where there may
05D as a Task Lead for numerous better engineer. It is inspiring to have be untapped potential within your
ship Concept Designs and Force a forum where you can learn about organization from your younger staff.
Architecture studies including the future direction and innovative
Concept Designs for Sea Base technologies occurring in our industry. When I think about formative
Connectors, future Mid-Sized I am sincerely grateful for the moments in my career, two images
Surface Combatants, and future contributions ASNE has made both to are most prominent. Prior to the
integration of Modular Mission the industry as a whole, and also my launch of LCS 1, I had the privilege
Packages. Most recently, he was the personal development as an engineer. of witnessing the stepping of the mast

Date : Wed, 18 Mar 2015 06:47:44 IP : 103.27.8.45
ceremony. This is a ceremony dating mast and lifted atop the ship. It was a are doing. Something like that tends
back to ancient times when coins and very somber, and moving event. to get your priorities in order real
other tokens would be placed under quick.
the mast as it was put in place for A second snapshot: a couple years
good luck. In April of 2003, Sgt. 1st later, as I was following the progress Our men and women in uniform,
Class Paul Smith lost his life in Iraq, of the ship after delivery, I happened both Coast Guard and Navy,
defending members of his platoon upon a news story which showed understand the meaning of words
from an enemy attack, an action for a picture of a little girl hugging her like honor, duty and sacrifice. I am
which he was posthumously awarded dad before he went on deployment. I reminded time and time again that
the Medal of Honor. I now watched think this picture has been particularly our sailors deserve the very best our
as Mrs. Birgit Smith, his wife, pulled memorable for me because the nation can provide them. It has been
the wedding ring off her finger and girl was of similar age to my own a privilege for me to be able to offer
placed it in a container, along with her daughter. I’ve kept that picture, and my contributions to them. It is in that
husband’s, forever to be a part of the look at it from time to time when I spirit, that I gratefully accept this
ship. The container was placed in the need some perspective on the work we award.

Date : Wed, 18 Mar 2015 06:47:44 IP : 103.27.8.45

THE ROSENBLATT YOUNG NAVAL

ENGINEER AWARD
MS. MONIQUE M. KADMIRI Ms. Kathleen Hinton, left, and RDML Richard D.
FOR REMARKABLE, EARLY PROFESSIONAL ACHIEVEMENT WITH Berkey, USN, right, presented one of two 2010
DEMONSTRATED POTENTIAL FOR CONTINUED DISTINCTION IN THE FIELD
Rosenblatt Young Naval Engineer Awards to
Ms. Monique M. Kadmiri.
OF NAVAL ENGINEERING AS SET FORTH IN THE FOLLOWING
Citation Community outreach has also become parametric modeling tool for new ship
Since beginning her career through integral to Ms. Kadmiri’s role as an design programs. In January 2003,
the Acquisition Intern Program in engineer. She has been involved locally Ms. Kadmiri was assigned as a project
2002, Ms. Monique Kadmiri has, and nationally with the Society of Naval Architect on the T-AKE design
gained considerable breadth and Women Engineers (SWE) helping team, which supported detail design
depth of knowledge and experience expose women engineers to the and construction of a Military Sealift
with a variety of ship types in all scope of engineering responsibilities, Command Cargo and Ammunition
life-cycle phases while serving in leadership, and job opportunities in Replenishment Ship. Following
assignments of increasing complexity, the Department of the Navy; and she this assignment, she continued
responsibility, and visibility; is supporting outreach to young local supporting the T-AKE Program in
distinguishing her as a promising children through FIRST robotics. the New Construction Supervisor of
young engineer. Shipbuilding Office in San Diego, CA.
Ms. Kadmiri sets a high standard
Hand-picked by the Commander of of focused, ethical and dedicated In 2004, Ms. Kadmiri served as a
Naval Sea Systems Command for professionalism and leadership for key source selection team member
the newly created position of Deputy other engineers, both junior and for a major shipbuilding acquisition
Chief Engineer for Surface Ships at senior. Her accomplishments, abilities, program and then moved on to
Pearl Harbor Naval Shipyard, Ms. commitment to excellence, and support the design team as a Project
Kadmiri leads a dedicated surface limitless potential combine to make Engineer. In October 2004, she
ship engineering division providing her a most deserving recipient of the became a member of the Government
maintenance and modernization Society’s 2010 Rosenblatt Young Test and Evaluation team for the
support for ships homeported in Naval Engineer Award. LPD 17 Class of ships at Avondale
Hawaii and transiting via Hawaii. Shipyard in New Orleans, LA and
She has consistently demonstrated Biography Ingalls Shipyard in Pascagoula, MS.
a thorough understanding of Ms. Monique Kadmiri joined the Ms. Kadmiri successfully finished the
engineering requirements and the Naval Surface Warfare Center DON Acquisition Intern Program
leadership skills to ensure appropriate Carderock Division in West Bethesda, at the end of 2004 and returned to
technical standards are met while MD in 2002 and was selected for the Washington, D.C. where she served
being responsive to operational competitive Department of the Navy as the Principle Naval Architect for
requirements for ships integral to (DON) Acquisition Intern Program. the T-AKE Program and the Design
the Navy’s Battle Force, as well as Ms. Kadmiri’s first assignment was in Integration Manager for the Marine
the nation’s Ballistic Missile Defense the High Speed Craft Innovation Cell, Pre-Positioning Force Future (MPF(F))
system. where she supported development of a Program from January 2005 through

Date : Wed, 18 Mar 2015 06:47:47 IP : 103.27.8.45
the end of 2006. As the MPF(F) awarded the Meritorious Civilian the commanding presence of Mr.
Design Integration Manager, Ms. Service Award by the Commander, Howard Fireman. Upon our first
Kadmiri led development of the Pearl Harbor Naval Shipyard, for meeting he directed with the question,
system specification documents for continued technical support on the “What are your aspirations?” Quietly,
two major shipbuilding programs and USS PORT ROYAL repair effort I responded, “I want to be a senior
managed a $29M engineering budget. and on ships that participated executive and a leader in the Navy.”
in the 2010 Rim of the Pacific And, with my objective in mind, both
At the end of 2006, Ms. Kadmiri joint foreign military event. Ms. Howard and Steve Melsom charted
joined the Naval Sea Systems Kadmiri earned a Master’s degree a course of learning opportunities
Command (NAVSEA) and was in Business Administration from that helped me achieve my greatest
selected to work in a new In-Service the University of Maryland in successes in working on in-service
Ship Design Division as the FFG 7 2006 and a Bachelor’s degree in surface ships.
Class Deputy Ship Design Manager. Naval Architecture and Marine
She served as the CG 47 Class Ship Engineering from the University of My course began with an assignment
Design Manager from July 2008 to Michigan in 2002. as the principle naval architect for
January 2010 and received specific TAKE. In this position, I learned the
recognition from Commanding Acceptance Remarks significance of integrating patience
Officers as being an asset to ships The distance between my home state and integrity in my work. Jeff Smith,
that go through mandatory formal of Vermont and my current residence the TAKE SDM at the time, modeled
inspections that are accomplished in Hawaii is about 6,000 miles. these attributes and demonstrated
by representatives for Congress. Figuratively, each mile could represent the essential qualities of a good naval
Ms. Kadmiri traveled around the a step in the journey I’ve been on in engineer.
world during her assignment in the becoming a Naval Engineer.
In-Service Ship Design Division to As we have all discovered, 12-14
complete shipchecks and technical In receiving this humbling honor hours a day on the job is typical.
assessments that support specific tonight, I pause to reflect on how I Especially when you are a novice.
Department of the Navy initiatives was able to navigate to this point. I When I was the design integration
to reduce total ownership costs of am at this point because I was raised manager for MPFF, my boss, Jeff
ships and prioritize technical issues by a family that valued education Lawler taught me the importance of
that are crucial to ships meeting and knowledge ahead of all material a balance between work life and life
expected service lives. Monique also things. I am here because I have outside of NAVSEA.
led NAVSEA Headquarters support a logical mind. I am here because
of USS PORT ROYAL’s (CG 73) my high school AP teachers were Moving on, as a plank owner in
extensive repair project, which was supportive and inspiring. I am here NAVSEA 05D5, I realized the
required due to severe damage that because the University of Michigan importance of dedication and
resulted from a grounding incident opened me to possibilities and constant curiosity in searching for
off the coast of Honolulu in February provided the foundations of a solid the right answer. Diligent and logical
2009. naval engineering background. I am thinking marked the mentorship
here because NAVSEA fostered an provided to me by Fred Tsao and
Ms. Kadmiri was recognized incredible learning environment where CDR Eric Lind. In thinking about
for her pro-active, hands-on I was given many opportunities to the time I spent in 05D5, a comment
approach to supporting this and succeed. resonates in my head, “Oh that’s just
other shipyard repair projects stupid.” This is one of Rolf Kotacka’s
and was appointed by NAVSEA’s Eight years ago, I entered Building famous and often used quotes. As
Commanding Officer as the Deputy 197 at the Washington Navy Yard someone who listened endlessly to the
Chief Engineer for Surface Ships as a young, inexperienced engineer. logical, seamless discourse on why
at Pearl Harbor Naval Shipyard in One of my first observations when I something was stupid, Rolf Kotacka,
February 2010. While serving as entered the back side of the second with humor, taught me perseverance
the Deputy Chief Engineer, she was deck of NAVSEA Headquarters was in task.

Date : Wed, 18 Mar 2015 06:47:47 IP : 103.27.8.45
We design and build ships for integrity that I developed by resolution for technical issues that
longevity. My mentors have working at NAVSEA under both are plaguing the aging surface fleet
constructed my foundation for Admiral McCoy and Admiral Eccles. in a fiscally restrained environment is
longevity. This foundation was Admiral McCoy and Admiral an extremely difficult daily task. But,
stabilized when I achieved a Eccles have been significant leaders it is a task that will further develop
technical warrant holder position. for NAVSEA and their approach my skills as a technical expert,
Attaining a technical warrant in the to solving engineering problems manager, mentor and leader for the
in-service ship design group was has been influential across the Navy.
a pivotal point in my career as it command. In late 2009, Admiral
was acknowledgement from one McCoy appointed me as the Deputy I truly appreciate and am humbled
of the most talented and dedicated Chief Engineer for Surface Ships at by the honor I am receiving tonight. I
groups of engineers in the world PHNSY. This assignment has been thank the Society for this award and
that I was a technical expert. It was the most challenging and rewarding I thank all of the people that have
also a testament of the engineering experience of my career. Finding supported the work that I do.

Date : Wed, 18 Mar 2015 06:47:47 IP : 103.27.8.45
TECHNICAL ARTICLE
Generator Life and Power Electronics

& Kent R. Davey, Howard E. Jordan, Rigoberto J. Rodriguez, and Robert E. Hebner
Abstract
The deleterious effect of full bridge rectifiers on the output of an AC generator deserves attention
from the Naval community. The harmonics observed at the stator of the generator not only introduce
hysteresis and eddy current losses, but voltage spikes that impact the life of the generator. The two
primary factors compromising life are localized heating due to harmonics and voltage spikes that
cause insulation failure through partial discharge. Induced eddy currents are proportional to fre-
quency squared.
Introduction Among the better indices reflecting the magni-

There are two ways in which rectification pre- tude of the problem is total harmonic distortion
sents problems to a generator. First, turning off (THD), defined as
current quickly induces L di/dt voltages ear-
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
P1 2ffi
marked by spikes. This kind of voltage degrades
n¼2 In
the insulation, contributing both to partial dis- I1
charge and to localized field stress. Second, the
currents are no longer sinusoidal. Fourier de- where I1 is the magnitude of the fundamental
composition shows that they are composed of and In the magnitude of the nth harmonic.
multiple frequencies, predominantly off. These The voltage spikes compromise the winding
harmonic frequencies add to the electrical loss in insulation, and the current harmonics compro-
both the rotor and the stator by eddy current in- mise life by increased heating. It is therefore
duction and hysteresis. useful to index THD for both current and
voltage.
Cavallini et al. (2000) attempt to quantify the
effects of a distorted waveform through two Skibinski and Breit (2004) have quantified mo-
other indices that are weakly linked. The first is tor insulation life (Figure 1) as well as increased
Kp, the ratio of the peak voltage of the distorted heating and decreased efficiency (Figure 2) as a
waveform to the sinusoidal rated voltage. The function of this index. The important thing to
second involves a ratio of the product of the in- remember from these charts is that the motor life
verter switching frequency and the inverse rise reduces to about 1/2 of normal as THD ap-
time to the sinusoidal system frequency. Increas- proaches 30%. Skibinski notes that values
ing the frequency from a nominal 50–60 Hz to THD-I (current) values of 25% at 4850 kVA
10 kHz reduces insulation life by three orders of ratings to 10% at 135 kVA is typical. THD-V
magnitude. Pillay and Manyage (2006) quantify (voltage) values of pulse width modulation
the magnitude of the problem as it concerns in- (PWM) inverters of 40% can be expected. Ski-
duction motors fed by any unbalanced supply. binski summarizes the information in Figures 1
Any unbalance that increases the temperature by and 2 with the comment that ‘‘THD-V and
14.3 1C reduces the life by 55.3%. THD-I of 5% or less would be desirable.’’
& 2012, American Society of Naval Engineers 2011 #4 & 31

DOI: 10.1111/j.1559-3584.2011.00193.x
Date : Wed, 18 Mar 2015 06:47:49 IP : 103.27.8.45
Figure 1: Motor Motor Insulation Life vs THD TABLE 1: Insulation Class Ratings
Insulation Half-Life 0.9
Decrease as a Maximum HIC
0.85
Function of Total
Harmonic Distortion
Temperature Temperature Halving
0.8
Decrease in Half Life
(THD-V) Class ( 1C) Rise (1C) Interval

0.75 A 105 65 14
B 130 90 11
0.7 F 155 115 9.3
0.65 H 180 140 8
H0 220 180 10
0.6
0.55
0.5 been suggested is to move to a higher number of

10 15 20 25 30
phases. A delta and a Y tap on the generator can
THD (Total Harmonic Distortion)
be used to obtain a 301 shift between the phases.
Multiple phase generation definitely aids the
Similar relationships have been attempted by
THD of the output waveform. But interruption
correlating temperature increase with life reduc-
of current at non-zero current crossings is indig-
tion (Orace and Emanuel 2000). The Arrhenius
enous to rectifier function.
equation has proven useful in this regard,
Lx ¼ L100 2ðTc Tx Þ=HIC ð1Þ SIMULATION OF THREE- AND NINE-PHASE

where Lx 5 % life at temperature Tx, L100 5 %
SYSTEMS
In-house simulation (Figure 3) and experimenta-
life at temperature Tc, Tc 5 allowed
tion show that a full three-phase rectification
temperature for insulation, and HIC 5 halving
bridge introduces 28.56% THD back into the
interval for insulation. The halving interval
generator for a loaded generator.
changes for each insulation class; these are
tabulated in Table 1.
Consider the nine-phase generator simulation
shown in Figure 4. Because Simulink does not
A number of techniques have been suggested to
have a nine-phase generator, it is necessary to use
reduce the THD. A straightforward solution is
nine separate generators and set the phase for
to not use DC, but to use an AC–AC matrix
each separately. These three waveforms are be-
(Kim et al. 2000) or resonant converter (Agar-
ing fed in triplicate to three rectifier bridges as
wal and Nema 2005) that switches through zero
shown. This type of setup is quite useful for re-
current crossings. Another solution that has
ducing ripple on the DC output, in this case from
an average 11% ripple for a three-phase system
Figure 2: Motor 90 to 3% for a nine-phase system. The THD on the
Heating and
80 % motor heating increase
generator side does not change much from the
% Heating increase, decrease
Efficiency Change as
% decrease in efficiency/10 three-phase case; it declines to 26.1%. Note that
a Function of Total 70
Harmonic Distortion this assumes a pure sine wave input for all nine
in efficiency/10
(THD-I) 60
phases without coupling between the phases.
50 Additional work is warranted to see how this
40 changes if coupling exists between the phases
30 (Figure 5).
20
10
Field TheoryAnalysis of Current Changes in
a Generator
0
10 15 20 25 30 35 The current waveform commensurate with a re-
THD (Total Harmonic Distortion) sistive load as in Figure 3 is shown in Figure 6.
32 & 2011 #4 NAVAL ENGINEERS JOURNAL

Date : Wed, 18 Mar 2015 06:47:49 IP : 103.27.8.45
Figure 3: Test to Index the Effect of a Full-Wave
Bridge
The relative amplitudes of the different Figure 7 shows a wound rotor generator.
3rd, 5th, components in Figure 3 are listed in Of interest is the rotor-induced eddy loss due
Table 2. to the presence of these harmonics. A
Figure 4: Nine-Phase Generator Simulation
NAVAL ENGINEERS JOURNAL 2011 #4& 33

Date : Wed, 18 Mar 2015 06:47:49 IP : 103.27.8.45
Figure 5: Generator Side Voltage (V1) as a

Function of Time
rotational transient analysis was conducted peak. This 875 kW generator would have
by assuming the rotor rotating at 1,200 rpm an additional 5.5 kW of loss induced in the rotor
and the stator coils excited with the currents just from eddy currents. Hysteresis will add
for each harmonic scaled as shown in Table 2. about 2.5 to 3 kW. Thus, we have lost another
The fundamental has a 3,000 amp-turn 1% in efficiency just due to rotor losses.
Figure 6: Current Commensurate with a

Generator Loaded as in Figure 3

Date : Wed, 18 Mar 2015 06:47:49 IP : 103.27.8.45
TABLE 2: Relative Amplitudes of the Different Current Components in Figure 6
Harmonic 1st (60) 3rd (180) 5th (300) 7th (420) 9th (540) 11th (660)
Voltage 1 0.0785 0.2723 0.0529 0.0737 0.1004
Current 1 0.0274 0.0358 0.0213 0.0092 0.0041
Resonant Converter Figure 7: Wound

The AC–AC resonant inverter shown in Figure 8 Rotor Generator Used
to Compute the
shows promise for reducing THD at the genera- Losses from the
tor (Limpaecher et al. 1998, 2000). The Various Excitation
Distributed winding Harmonics on the
inverter consists of a three-phase low-pass wound rotor Rotor
synchronous motor
input filter, an input switch, a resonant or central
capacitor, an output switch, a three-phase
low-pass output filter assembly, and the
control system. This inverter is capable of
producing input and output current waveforms
with a THD of o2%. It can operate with a
near-unity input power factor and with
efficiencies of up to 98% and power densities
of 2–5 MW/m3. from left to right. The control system controls
power to flow in the opposite direction, because
The resonant inverter operation is divided into the circuit is completely bidirectional. The
two operations: charge and discharge. During charge and discharge operations are almost
the charge cycle, charge is extracted from the in- identical, with the discharge cycle being the
put terminals and stored for a few microseconds inverse operation of the charge cycle. The
in the central capacitor Co. The control system capacitor Co is the center of operation. If an
initiates the discharge cycle upon completion of optional ‘‘Pi’’ input filter were selected, the cir-
the charge cycle and verification that all switch cuit would have perfect symmetry.
elements currents are zero. This delivers the
stored energy in the central capacitor Co into the A major difference in the Resonant inverter and
output terminals in the corresponding recon- other high-power inverters is that it is a ‘‘soft
struction format. For reference purposes, the switching’’ topology with no turn-on and turn-
power flow in the circuit depicted in Figure 8 is off switching losses. In addition, the resonant
Figure 8: Fundamental AC-to-AC Resonant

Circuit

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Figure 9: The Total Harmonic Distortion from a Asynchronous frequency operation 60Hz
60 to 14.6 Hz Conversion Is o2.8% input to 14.6Hz output
All Loops Closed @ 2160Hz, w/Fw Voltage Reference
Input Current Total Harmonic Distortion = 2.795% Output Current Total Harmonic Distortion = 2.723%
inverter requires no additional galvanic isola- PERFORMANCE

tion, such as a transformer, between the power A 250 kW resonant converter has been built and
source and the load that is required for most tested. Figures 9 and 10 show that the THD on
known inverter topologies. The switching losses current remains below 2.8%. Figure 11 shows a
are important for medium-voltage applications similar conversion from 60 to 49 Hz and a volt-
because high-voltage switches are required and age distortion of o1.1%. Even switching from
become slower with higher voltage rating. IGBT 60 Hz to DC with a resonant converter intro-
and IGCT are the preferred medium-voltage duces only a 1.8% total distortion in the current
switches of choice. as shown in Figure 12.
The dominant losses for most inverters are the Conclusions

switch losses; the PWM has ten times the losses Cutting off current through non-zero current
at 3.6 kHz than the resonant inverter. crossings introduces voltage spikes deleterious to
Figure 10: Conversion from 60 Hz to a Higher Asynchronous frequency operation 60Hz

Frequency, 85 Hz input to 85Hz output
All Loops Closed @ 2160Hz, w/ FW Voltage Reference
Input Current Total Harmonic Distortion = 2.795% Output Current Total Harmonic Distortion = 2.635%

Date : Wed, 18 Mar 2015 06:47:49 IP : 103.27.8.45
Resonant Link INPUT WAVEFORMS Figure 11: Sixty Hertz to 49 Hz Conversion
Resulting in a Total Harmonic Distortion of 1.013%
on the Generator
Input Current Input Voltage

Total Harmonic Distortion = 1.571% Total Harmonic Distortion = 1.013%
Asynchronous frequency operation 60Hz Figure 12: Sixty Hertz to DC Conversion Using a
input to DC output Resonant Converter
All Loops Closed @ 2160Hz, w/ FW Voltage Reference
Input Current Total Harmonic Distortion = 1.830%
the life of the generator. In addition, it results in A closing comment about synchronous reac-
generator losses both from eddy current and tance is warranted. A machine with a high
hysteresis sources. These two sources will result synchronous reactance will stretch out the com-
in another 1% loss in efficiency just due to rotor mutation time, and thus reduce THD-I. A higher
losses. The voltage spikes compromise the synchronous reactance will register a higher
winding insulation, and the current harmonics THD-V; the higher THD-V has a more deleter-
compromise life by increased heating. It is there- ious impact on insulation life.
fore useful to index the THD for both current
and voltage. Resonant converters switch at zero References
crossings and thus have higher efficiencies. The Agarwal, V. and S. Nema, ‘‘Resonant AC to AC con-
THD is generally below 3% through a wide verter.’’ IEEE ISIE Conference, Dubrovnik, Croatia, June
range of frequencies. 20–23, pp. 495–498, 2005.

Date : Wed, 18 Mar 2015 06:47:49 IP : 103.27.8.45
Cavallini, A., D. Fabiani, G. Mazzanti, and G.C. Montan- From 1974 to 1976, he worked at Westinghouse as
ari, ‘‘Voltage endurance of electrical components a large turbine generator designer. From 1979 to
supplied by distorted voltage waveforms.’’ Interna- 1980, he served as an assistant professor at Texas
tional symposium on electrical insulation, Anaheim, A&M University. From 1980 to 1994, he served as
CA, April 2–5, pp. 73–76, 2000.
a tenured associate professor at the Georgia Insti-
Kim, S., S.-K. Sul, and T. Lipo, ‘‘AC/AC power conversion tute of Technology. From 1994 to 2002, he served
based on matrix converter topology with as technical director of American Maglev Technol-
unidirectional switches,’’ IEEE Transactions in Industry ogy in Edgewater, FL. He is presently an
Applications, Vol. 36, No. 1, pp. 139–145, 2000. independent consultant and editor of IEEE Trans-
Limpaecher, R. and R. Rodriguez, ‘‘Harmonic free recti- actions on Magnets, but most recently served as a
fication with unity power factor for multi-megawatt senior research scientist at the Center for Electro-
applications.’’ Conference Record of Twenty-Third Inter- mechanics at the University of Texas in Austin, TX.
national. Modulator Symposium, 25–27 June, 1998, Palm Dr. Davey’s research interests include electrome-
Springs, CA, pp. 42–47. chanical machine design, pulsed electromechanical
Limpaecher, R., R. Rodriguez, and J. O’Loughlin, ‘‘Har- devices, HTS Trapped Field magnets, electropora-
monic free new inverter topology for high voltage, high tion, and magnetic stimulation of biological nerve
power applications.’’ Twenty-Fourth International tissue.
Power Modulator Symposium, Norfolk, VA, 2000.
Dr. Davey is a Fellow with IEEE and is presently
Oraee, H. and A.E. Emanuel, ‘‘Induction motor useful
life and power quality,’’ IEEE Power Engineering serving as editor of IEEE Transactions on
Review, Vol. 20, No. 1, pp. 47–48, 2000. Magnetics. He is actively involved in the review
of conference and journal papers for various
Pillay, P. and M. Manyage, ‘‘Loss of life in induction
IEEE activities.
machines operating with unbalanced supplies,’’ IEEE
Transactions in Energy Conversion, Vol. 21, No. 4, pp.
Howard E. Jordan retired in 1993 from the
813–822, 2006.
position of Director, Corporate Research and
Skibinski, G. and S. Breit, ‘‘Line and load friendly drive Development at Reliance Electric Company.
solutions for long length cable applications in electri- Prior to becoming R&D Director, he held key
cal submersible pump applications.’’ Fifty-First
positions in the design and development of
Petroleum and Chemical Industry Technical Confer-
electrical rotating machinery and electric drives.
ence, September 13–15, pp. 269–278, 2004.
He was manager of the development of
Reliance’s Energy Efficient motor product line.
During that period and after retirement from
Author Biographies Reliance Electric, he taught courses in the
Kent R. Davey became a Electrical Engineering Department at Cleveland
Member of IEEE in 1980, a State University.
Senior Member in 1986,
and a Fellow in 2004. He Following retirement from Reliance Electric, Dr.
was born in New Orleans, Jordan became a Research Scientist at the Center
LA, in 1952. He received for Electromechanics at the University of Texas
his B.S. E.E. from Tulane in in Austin where he participated in the electro-
1974, his M.S. in Power magnetic design of several high speed motors,
Engineering from Carnegie Mellon in 1976, and generators and pulse power generators.
his M.S. in physics from the University of
Pittsburgh in 1976. He received his Ph.D. in Dr. Jordan received his B.S. degree from the
E.E. from the Massachusetts Institute of Tech- University of Wisconsin, his M.S and Ph.D.
nology in 1980. He completed a Fulbright in degrees from Case Western Reserve University.
Finland on atmospheric physics in 1981. He is a Fellow in the IEEE, recipient of a

Date : Wed, 18 Mar 2015 06:47:49 IP : 103.27.8.45
Distinguished Service Citation from the Univer- duties included the design, fabrication, and
sity of Wisconsin, holds eight US Patents and is a testing of high voltage pulse forming network
registered Professional Engineer in the State of (PFN), fast capacitor bank chargers, and em-
Ohio. He authored the book Energy-Efficient bedded control systems, and his management
Motors and Their Application, and has authored duties included business development support,
or coauthored over 25 technical papers. He is technical presentations, and briefs (internal/ex-
currently working as a private consultant. ternal).
Rigoberto (Rigo) J. Rodriguez has more than Mr. Rodriguez has a B.S. degree in Electrical
25 years of experience in pulse power design, Engineering from the University of Bridgeport.
fabrication, test, and integration of multi-MW
and high voltage systems, with specialized Robert E. Hebner, Ph.D., is
technical expertise in radar transmitters, high Director of the Center for
current accelerators, high power microwave Electromechanics at the Uni-
sources, high voltage power supplies, and hybrid versity of Texas at Austin.
electric vehicles. The Center develops technol-
ogy, primarily novel motors,
In his current position as Chief Design Engineer, generators, and suspension
Integrated Power Systems, at LibertyWorks, Mr. components, and teams with
Rodriguez is responsible for the IPS team techni- companies to get the technology into the market.
cal direction for the implementation and
integration of more electric aircraft solutions, as Previously, Dr. Hebner was the acting Director of
well as high power systems for ground and the US National Institute of Standards and
airborne directed energy applications. He is also Technology (NIST). In addition, he has directed
concerned with the research and development of NIST’s Electronic and Electrical Engineering
integrated electrical, controls, and thermal man- Laboratory, a laboratory with a staff of more than
agement systems. His responsibilities include the 250. He also worked at the Defense Advanced
technical supervision/direction of an engineering Research Projects Agency, where he developed
team for the design, analysis, and integration of programs to improve semiconductor manufactur-
electrical machines on jet engines. Other respon- ing.
sibilities include the design, implementation, and
integration of high power systems for ground Throughout his career, Dr. Hebner has been
and airborne directed energy applications. active, having authored or coauthored more
than 100 technical papers and reports. He has
Previously, Mr. Rodriguez managed a team of 20 extensive experience in international technology
engineers and technicians at the Electric Power programs. This work included the moderniza-
Technologies Manassas Laboratory, providing tion of the measurement systems needed to
support to such programs as Dynamic Armor, support global trade and the assessment of the
CHPS, FRES, ARL, DO2, and the ONR AC- effectiveness of government technology pro-
Link Program. In this position, his technical grams in stimulating domestic economies.

Date : Wed, 18 Mar 2015 06:47:49 IP : 103.27.8.45
TECHNICAL PAPER
It is Not Just Hardware and Software,

Anymore! Human Systems
Integration in US Submarines
& Patricia Hamburger, David Miskimens, and Scott Truver
Abstract
Until recently, the Navy’s approach to designing, engineering, and acquiring complex weapon
systems did not routinely or completely include the human ‘‘warrior’’ as an integral part of the
system. Rather, the Navy viewed systems as combinations of hardware and software. The results
were often less-than-optimal capability and high life-cycle cost—and, sometimes, even mission
failure. Given the high rate of technological change and the need to rein in cost in the face of
increasingly constrained budgets, the Navy and the other services have increasingly embraced the
need to consider human-performance capabilities and limitations up front and on an equal footing
with hardware and software—as integral elements in both new-acquisition and technology-refresh
programs. The US Submarine Force has championed human systems integration (HSI). HSI is a
specialized engineering discipline that takes human limitations and capabilities fully into account to
influence system design and engineering early in the research, development, and acquisition process,
thereby helping to ensure the highest overall performance at the lowest total ownership cost.
Implementation of HSI has involved new partnerships with unlikely partners such as the audio
equipment company Bose, game-makers, the visual-reality industry, physiologists, and psycholo-
gists. Nowhere has this been more apparent than in the Virginia (SSN-774)-Class Nuclear Attack
Submarine Program.
Transformational! Or so the Chief of Naval missions and emerging requirements. The 30-
Operations (CNO) has characterized the USS ship SSN 774 program is the first major program
Virginia (SSN 774)-class submarines. The to fully implement acquisition reform initiatives.’’
CNO’s annual Seapower for a New Era program
guide explains that the ‘‘transformational’’ SSN But what the CNO’s publication does not say is
774 class ‘‘. . . provides advanced acoustic tech- that the Virginia class has also profoundly
nology and performs traditional open-ocean transformed the way the US Submarine Force
anti-submarine and anti-surface missions, yet is has focused on the human in the design, engi-
specifically designed for multi-mission littoral neering, acquisition, and operation of advanced
and regional operations. These advanced sub- submarine technologies, systems, and platforms
marines are fully configured to conduct mining across the board. Indeed, as a result of the high
and mine reconnaissance, Special Operations rate of technological advancements, especially in
Forces (SOF) insertion/extraction, battle group the last 30 years, and the understanding that
support, intelligence-collection and surveillance people comprise as much as 70% of the total
missions, sea-control, and land attack. Further- ownership costs of our submarines, the need to
more,’’ it continues, ‘‘the Virginia SSNs are consider human-performance capabilities and
specifically configured to adapt easily to special limitations—up front and on an equal footing
& 2012, American Society of Naval Engineers 2011 #4& 41

DOI: 10.1111/j.1559-3584.2009.00198.x
Date : Wed, 18 Mar 2015 06:47:52 IP : 103.27.8.45
It is Not Just Hardware and Software, Anymore!
with hardware and software—has become an death implications. The challenge is that, again
integral element in both submarine new- until recently, we rarely designed systems
construction and technology-refresh programs specifically for the warfighter or for the people
for submarines already in the fleet. To accom- who will operate and maintain them. The
plish this, new partnerships have been formed results have often been degraded overall
with unlikely partners such as BOSE, game- capability, high life-cycle costs and, sometimes,
makers, the visual-reality industry, physiolo- mission failure.
gists, and psychologists, among others.
For this reason the Navy has embraced, albeit
But, of course, more can and must be accom- haltingly at first, human systems integration
plished. (HSI) as a specialized, formalized engineering
discipline—essentially the marriage of system
Leaning Our Subs’‘‘Ladders’’Against the engineering and behavior science—in its pro-
Right ‘‘Wall’’ grams. The primary concerns of Navy HSI
When asked what single event was most engineers are the safety, interactions, and per-
helpful in developing the theory of relativity, formance of humans with the systems and
Albert Einstein is reported to have responded, platforms they operate or maintain and on
‘‘Figuring out how to think about the which they train and live. The primary HSI
problem.’’ objective is to influence system design and
engineering as early as possible in the research,
How we in the Navy ‘‘think about the problem’’ development and acquisition process so human
of designing, engineering, and acquiring limitations and capabilities are taken into
complex weapon systems depends upon two explicit account to ensure that the system will
principles that affect virtually every Navy have the highest overall performance at the
program, not just our ballistic missile, attack, lowest total ownership cost. HSI supports this by
and special-forces submarines. The first designing systems with the human operator in
principle: if engineers can ‘‘bound the system,’’ mind in order to improve overall effectiveness by
then the problem can be solved. Traditionally, maximizing human sensory, physiological, and
‘‘the system’’ has been viewed as hardware and psychological performance factors. In short, HSI
software, and, with a solid engineering helps us focus on the reality that ‘‘the warrior is a
understanding of the hardware/software premier element of all operational systems.’’
components in hand, engineers expected to be
able to easily solve our problems. This was underscored by Vice Admiral John J.
Donnelly, Commander Submarine Force, at the
That has proven to be shortsighted. Even if July 2008 Human Systems Integration Sympo-
engineers can completely bound the sium. ‘‘One of the first questions that I believe
technology-hardware-software problem, the must be answered for any successful application
second principle, from Steven Covey, comes of HSI is, What problems are we really trying
into play: ‘‘Have your ladder leaning against solve? We know this—we must maximize the
the right wall.’’ More often than not, engineers situational awareness and effectiveness of the
did not have our ‘‘ladder leaning against the warfighter. HSI supports this by designing sys-
right wall,’’ and we attacked the wrong problem. tems with the human operator in mind in order
We did not realize that ‘‘the system’’ is actually to improve the overall effectiveness by maximiz-
hardware, software, and people—who often ing human sensory, physiological, and
operate in times of high stress and fatigue, who psychological factors,’’ he continued. ‘‘Our
maintain it in theatre or ashore, and most responsibility, as the Undersea Enterprise, is to
importantly, who sometimes have to make split- clearly define our needs so that you are working
second decisions with international life and on the right things.’’

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SIDEBAR: The Submariners’ HSI ‘‘Primer’’ SIDEBAR: (Continued).
Human Systems Integration can reduce total ownership How to Successfully Integrate HSI into the Navy?
costs, shorten development time, accelerate information & Initiate HSI early in the R&D and Acquisition
exchange, reduce unnecessary redundancy, improve us- process
ability and health, and drive innovation. & Identify and analyze human-performance issues
What Is HSI? & Document measurable HSI requirements
& The design, engineering, and integration of complex & Provide HSI requirements and incentives in Contract
systems with the human decision makers, operators, RFP, source selection, & SOW
maintainers, and trainers in mind & Execute Integrated Technical Professional Plan
& A management strategy to ensure that human- & Conduct pro-active trade-offs
performance requirements are properly considered in an & Conduct Usability Assessments to define requirements
acquisition program and system/platform acceptance
& A technical strategy to ensure that human- & Measure Total System Performance (Hardware, Soft-
performance issues and requirements are addressed ware, and Sailors Trained with exactly the same training
early and effectively in an acquisition program they will have aboard ship and no more)
& True systems engineering, where the system is defined & Conduct HSI Milestone Assessments
as the combination of the hardware, the software, and the & Adopt Total Crew Model (TCM) and Manning Uncer-
people who make it work tainty Issues List (MUIL) mechanisms to ensure workload
What Are HIS’s Objectives? and manning properly addressed
& Place humans on equal footing with hardware and How to Address the Whole System?
software in research, development, acquisition, and & Personnel: Determine the human knowledge, skills,
operational contexts abilities, and cognitive and physical capabilities that are
& Influence system design and engineering as early as required to operate, maintain, and support a system
possible in the R&D and acquisition process so human effectively and safely
performance is taken into explicit account & Training: Determine instruction and resources
& Enhance the safety and interactions of humans with required to provide Navy personnel with the requisite
the systems they operate or maintain and on which they knowledge, skills, and abilities to properly operate,
train maintain, and support Navy systems; determine common
& Ensure that systems, equipment, and facilities functionality between shore-based and shipboard
incorporate human-system interfaces training
& Develop technologies and improve processes that & Habitability: Determine the characteristics of systems,
enable rapid and accurate decision making, aiding and facilities, personal services, and living conditions that re-
supporting every level of real-time operations sult in high levels of personnel morale and quality of life
& Solve real problems to sustain maximum personnel effectiveness, support
& Be affordable mission performance, and mitigate personnel recruitment
& Provide intuitive solutions and retention problems
& Contribute to mission success & Maintainability: Determine the characteristics of a
What Are HSI’s Benefits to the Undersea Warfighter? system that reduce the preventive and corrective mainte-
& Optimized operational performance nance workload, minimize special skills and tools,
& Minimized cost of ownership/life-cycle costs enhance speed and accuracy of diagnostics, promote
& Maximized human sensory, physiological, and access to areas and components to be serviced, and
psychological response that result in: reduce exposure to hazardous conditions
& Understanding of information ambiguity (Knowing & Manpower: Determine the number of personnel, type
what you do know and what you don’t!) impersonal, that are required, authorized, and available
& Reduced operator workload, stress, and error to train, operate, maintain, and support each deployed
& Improved warfighter decision-making ability at system
every level & Personnel Safety and Survivability: Determine the
& Warfighters in better physical condition with characteristics of a system that reduce fratricide, reduce
reduced fatigue, improved alertness detestability of the system and/or personnel, prevent
& Managed risk of loss or injury to personnel, equip- attack if detected, prevent damage if attacked, and
ment, or environment minimize injury

Date : Wed, 18 Mar 2015 06:47:52 IP : 103.27.8.45
SIDEBAR: (Continued). & ensure that personnel and ship safety re-
What Are the Mandates for HSI in the Navy? mained the highest priority,
& Program managers must pursue HSI initiatives to & emphasize overall ship affordability, and
optimize total system performance and minimize total & maximize personnel performance within the
ownership costs [DoD 5000.2-R] constraints of affordability.
& Program Managers must initiate a strategy for HSI early
in the acquisition process [DoD 5000.2-R] The bottom line was to produce a superior sub-
& A program’s acquisition strategy must describe how
marine tailored for the post-Cold War/littoral
the system will meet the need of the human decision
operational environment, optimally manned,
makers, operators, maintainers, and supporters
and affordable in the mid-1990s’ domestic
[SECNAVINST 5000.2C]
& Program managers must show that HSI costs and impacts ‘‘peace dividend’’ context.
are considered, weighted, and integrated with other engi-
neering and logistics elements at program initiation to The Virginia-class HSI program included efforts
ensure that total ownership/life-cycle cost, including logis- to develop effective man-machine interfaces, and
tics support and human systems integration, is minimized avoid distinctive characteristics that would have:
while overall performance is maximized [SECNAVINST (1) required extensive cognitive, physical, or
5000.2C, Section 5.2.3.5.9 Human Systems Integration] sensory skills; (2) required excessive manpower
or complex training-intensive tasks; and
The Human-Centered SSN 774 (3) resulted in frequent or critical errors. To
From outset of the design and engineering maximize performance and enhance safety, the
of the ‘‘New Attack Submarine’’ in the early/ ship design also had to incorporate features that
mid-1990s, HSI fundamentals were taken into accommodated human performance capabilities
close account: (1) human factors engineering and limitations. Equipment, hardware, and soft-
was applied to combat systems and ship control; ware concepts were continually assessed and
(2) manpower and human performance require- reassessed in terms of their implications for
ments addressed optimal manning goals workload and performance. These included
throughout the submarine; (3) personnel con- usability assessments with mockups, virtual
siderations focused on layout of spaces, quality simulations, and alternative ‘‘role of the human’’
of life, and maintenance; (4) need for enhanced scenarios.
training opportunities were addressed by an
innovative On-Board Team Trainer (OBTT); The SSN 774 is the first warship to be designed
(5) habitability needs included novel approaches entirely using an advanced computer-aided
to crew’s mess configuration and connectivity three-dimensional interactive product model,
with the ‘‘rest of the world’’; (6) workflow in the which enabled the development of solid models,
command and control center (CACC) was 3D visualization, and 2D drawings to support
another special focus; and (7) personnel surviv- trade-off analyses and reviews. These included
ability, safety, and health hazards were identified the use of ‘‘Ergo Man’’ avatars to ‘‘test-fly’’
and mitigated. The SSN 774 Operational alternative submarine design layouts in a syn-
Requirements Document outlined generic HSI thetic environment. The analytical framework
guidance, focusing on crew size objectives and included near-constant human-performance
thresholds under the Manpower Element, as measurements and tests to influence the final
well as more explicit HSI guidance, included in design elements incorporated into the baseline
the ORD Integrated Logistics Support Element, SSN 774. The ultimate goal of the Virginia
specifically requiring designers and engineers to: program’s HSI efforts was to arrive at an
optimal crew size and composition to sustain
& completely integrate HSI into logistics mission-critical task performance throughout
elements and influence/shape design via the the spectrum of tasks . . . from leaving a
systems engineering process, homeport to high-tempo wartime ops.

Date : Wed, 18 Mar 2015 06:47:52 IP : 103.27.8.45
The first phase of the Virginia class HSI Fly Before Buy: Ergo Man and COOPEXs
approach culminated in the September 1993 HSI Although the program initially used physical
Plan tailored to then-current Defense Depart- plywood mockups of the command center envi-
ment acquisition requirements. The specific HSI ronment for Concept of Operations Exercises
domains addressed were (1) manpower and (COOPEXs) at the Naval Undersea Warfare
personnel, (2) training, (3) human factors Center (NUWC) in Newport, RI, to test
engineering, and (4) systems safety engineering. arrangements and design assumptions, very soon
The SSN 774 HSI process ensured that these researchers took advantage of innovative
domains were incorporated in the Systems ‘‘virtual reality’’ tools linked to the CAD/CAM
Definition Documents and the Design Decision software. This was linked to the ‘‘Ergo Man’’
Documents. The Milestone 1 risk assessment tool to assess human interactions and perfor-
concluded that the HSI risk was ‘‘low’’ because mance in a synthetic 3D product model.
of the significant number of ship systems derived (Physical and virtual mockups were also used to
from previous submarine classes and operational define spaces throughout the submarine.) The
experience. Still, experience indicated that there COOPEXs brought together diverse subject
were opportunities to do the job better, particu- matter experts—combat system designers and
larly in light of requirements for an optimally engineers, fleet operators, logisticians—with a
manned submarine that incorporated signifi- goal of enhancing operational performance but
cantly greater levels of automation than previous doing so at the least total ownership cost. Fleet
submarines in the ship control station and sailors had numerous opportunities—which
watchstanding reduction and reallocation of continue today—to help shape design, proto-
tasks. The SSN 774 Program Office (PMS 450) types, and lead-ship construction. Particularly
assessed the risk and put in place several mitiga- important were the operators’ input during the
tion plans. several COOPEXs that assessed human perfor-
mance in ‘‘real-world’’ tactical scenarios.
These supported and were incorporated into
Phase 2 of the SSN 774 HSI plan, during 1995– This allowed a variety of arrangements, displays,
1996, which focused on design capability/cost equipment, hardware, and software to be tested
trade-off assessments to achieve affordability before engineers finalized designs and any phys-
goals, within the context of the program’s Inte- ical integration in place. A good example of the
grated Product and Process Development willingness to take the human into the equation
initiative. This had four primary elements: from the outset was the design and engineering
of the ‘‘fly-by-wire’’ ship control system. Many
& identify and correct/mitigate safety and health questions dogged designers and engineers, as this
hazards early in the design process, was a radical departure from traditional designs:
& address human performance limitations and can sailors effectively/safely use touch-screen
capabilities, displays, was the fly-by-wire system reliable, will
& determine the proper balance between man- the single ‘‘joy stick’’ work, can only two men
power and skill sets, and (a pilot and co-pilot) do the jobs as effectively
& determine the most affordable and effective and safely as the traditional five-watchstander
on-board training. manning? Several COOPEXs, especially the
1995 COOPEX, addressed these and other
‘‘These and other Virginia-class system design design and engineering integration challenges.
improvements made large strides toward opti-
mizing human-machine performance while The 2008 first-deployment experience of the
reducing the number of people required to oper- USS Hawaii (SSN 776) underscored the success
ate and maintain the submarine,’’ V. Admiral of the process. According to the submarine’s
Donnelly stated. CO, Commander Edward Herrington, the

Date : Wed, 18 Mar 2015 06:47:52 IP : 103.27.8.45
fly-by-wire system performed superbly during which enhanced overall sonar performance.
nine Naval Special Warfare (NSW) and Special (The Navy later approved a BOSE request to
Operations evolutions, maintaining depth with- market the headphones commercially, and the
in a strict band and hovering for 35 h in a noise-cancellation devices are now evident in
challenging sea state, which actually exceeded virtually all commercial airliners.) Fully inte-
the NSW capability. grated into the flow of command decision
making, sonarmen now have much better
That said, Hawaii’s real-world experience also understanding of what is going on with other
identified areas for improvement as Commander elements of the tactical situation.
Herrington outlined at the 2008 Undersea HSI
Symposium. These include improved color and Engineers and designers also used Ergo Man to
infrared camera resolution and replacing the assess the layout, access, and movement of
black-and-white camera with a low-light-level people through other spaces throughout the
camera in the photonic sensor. Additional dis- submarine, in addition to CACC, including
plays in the commanding officer and executive assessments for habitability in living quarters,
officer staterooms and the wardroom would galleys, and messes.
enhance situational awareness, while higher-
resolution screens and display flexibility in the Early on, the Navy established a Controls &
CACC would also improve overall performance Display Standard that was used repeatedly to
of the crew. assess alternatives and standardize displays, in-
cluding how the data and information were
Another HSI innovation was to include all key presented to the commanding officer, officer of
people—combat control watchstanders, pilot/ the deck, and watchstanders. One area that
co-pilot and sonarmen—in the integrated CACC proved particularly challenging was the com-
space. The introduction of the photonics system mand workstation, whether to have one or two
in the Virginia class eliminated the need for the horizontal flat-screen displays and how to
two periscopes around which in-service subma- arrange data and information, which had HSI
rine combat control centers were designed. This implications. NUWC assessed several alterna-
had HSI implications for overall layout of the tives and suggested a single horizontal display
SSN 774 command–control–communications– with clustered information. The ultimate deci-
intelligence space. The nonhull penetrating pho- sion was to have two large horizontal flat-screen
tonics masts allowed the control room to be displays located in the forward part of the con-
moved down a level into a wider part of the ship, trol room, which have proven to provide
which enabled moving sonar operators into the significantly enhanced situational awareness
control room with other watchstanders— from almost any vantage point. And, with use of
improving the communications and situational advanced flat-screen displays, there was no need
awareness of the entire tactical and ship-control to ‘‘rig for night’’—to dim lights and have red
team. lighting for nighttime ops: day and night are the
same. The display design goal of ‘‘any screen any-
Still, researchers understood the need to isolate where,’’ while not fully implemented in late
sonar watchstanders from the CACC ambient 2008, still provides greater flexibility for diverse
noise, but not to isolate them physically, as had needs—ship control, combat, sonar, other sensors
been the case in previous submarine designs. throughout CACC and in other areas, as well.
Looking at what was available commercially, the
Naval Submarine Medical Research Laboratory Also, with the control room no longer directly
(NSMRL) in Groton, Connecticut, contracted linked to the sail, personnel going to the bridge
with BOSE Corporation to develop noise- no longer muster in control, removing the po-
cancellation headphones for SSN 774 sonarmen, tential for disruption to control watchstanders.

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In a few critical areas, however, the SSN 774’s & A new Navigation Watch took on the com-
designers and engineers might have missed the bined duties of the Quartermaster of the
mark. While taking full advantage of new com- Watch and Electronics Technician of the
puter-based technologies and sensors, they Watch, and the Auxiliary Electrician Forward
actually created a new challenge for the com- and Auxiliaryman Aft were deleted.
manding officer and OOD, then-Commander & The duties of the Reactor Operator and
Todd Cramer, CO of Virginia during her maiden Throttleman were combined into a single
deployment, noted at the 2006 Undersea HSI watchstander.
Symposium. There are 64 flat-screen displays in
the control room, each with multiple layers of Overall manning analysis determined that 118
information, providing more data and informa- crew members—14 officers and 104 enlisted—
tion than the average CO or officer of the deck were required to satisfy at-sea watchstanding
can process. Addressing the technical challenge and maintenance requirements. In-port needs
of ‘‘information access across the seams,’’ he drove another 16 crewmembers, for a total of
explained, would require a system-of-systems 134, compared with 141 (14 officers and 127
approach that would bridge the numerous soft- enlisted) of the in-service improved Los Angeles
ware and hardware seams. (SSN 688I) submarines.
Fuzing this information into a more ‘‘operator- The smart ‘‘marriage’’ of technology, systems,
friendly’’ format will provide decision makers and people in the SSN 774 class can best be seen
with the right information at the right time in the in the ‘‘fly-by-wire’’ Ship Control System. While
future, a process that will certainly influence the manning reductions, and subsequent total own-
insertion of new technologies and systems into ership cost savings, were key objectives, safety
in-service submarines, too. Steps taken since could not be compromised. The adaptable and
FY 2007 by the Naval Sea Systems Command flexible Ship Control System has already dem-
(NAVSEA) Human Systems Integration onstrated high reliability and availability,
Engineering Organization to define and develop superior performance and operability, and high
guidance for ‘‘Common Presentation’’ are dependability through distributed software fault
applying proven Best Practices and technology tolerance and component redundancy. In
innovations to solve this issue in surface ships as the process, the program embraced
well as submarines. open-architecture frameworks to enable easy
migration of new technologies, software, and
No Larger or Smaller Crew than Needed equipment, which will mitigate obsolescence
Optimal—as opposed to minimal—manning issues. The reliance on commercial-off-the-shelf
was a focal point early on in the program, and (COTS) systems has also minimized the need for
Navy officials in 1991 put in place the SSN 774 custom, ‘‘hard-wired’’ and proprietary hardware
Manpower Optimization Steering Committee and software. Important in this regard was the
(MOSC) to oversee diverse efforts aimed development of application program interfaces
at getting the size and composition of the crew (API) that insulates military-specific application
correct. During 1992, the MOSC validated software from changes in the COTS
watchstanding requirements, using a top-down environment.
functional analysis, resulting in the reduction
of seven watchstanders from the legacy SSN Train As andWhereWe Fight
design: A key element of ‘‘good HSI’’ is training that
focuses on real-world requirements. Beyond the
& A pilot and co-pilot replaced five people: Div- ‘‘train as you fight’’ concept, the development of
ing Officer of the Watch, Chief of the Watch, the embedded on-board tactical trainer (OBTT)
Helmsman, Planesman, and messenger. enabled crews to train ‘‘where they will fight’’—

Date : Wed, 18 Mar 2015 06:47:52 IP : 103.27.8.45
at their watchstations. The SSN 774 OBTT links Mogamigawa in the Strait of Hormuz is a good
actual mission-critical functions and systems to a example of the critical battle space awareness
‘‘synthetic’’ tactical environment in which train- and decision-making challenges that HSI is
ing scenarios are designated by the OBTT master helping the Submarine Force to address. One of
controller, who puts crew members through the common threads in Class A mishaps is the
their paces. The OBTT environment comprises: reality that important information is often al-
ready onboard, somewhere, but the right people
& BQQ-10 ARCI Sonar, do not know it at the time it is needed. In this
& submarine regional warfare system (SRWS), mishap, Newport News’ crew did not detect the
& WLY-1 acoustic intercept and CSA MK2 deep-draft merchant’s presence as it approached
Countermeasures systems, from astern in shallow water until it was too
& BLQ-10 electronic support measures (ESM), late to avoid collision, despite the fact that the
& BVS-1 photonics imaging system, submarine’s towed array did detect the
& BPS-16A radar, and Mogamigawa long before the collision.
& tactical weapons simulator. However, sonar displays were not properly
aligned to display that data to the operators:
OBTT scenarios can range from the routine the decision makers did not know what they
but still potentially dangerous—leaving or already knew.
returning to homeport or transiting a busy
strait—to a variety of ‘‘real-world’’ combat The HSI solution to this problem might be as
tactical evolutions: mine countermeasures/ simple as designing computer algorithms that
avoidance, anti-submarine warfare search and can identify critical information and prompt the
prosecution, anti-surface ship attack, covert operators to look and analyze the data, even if
intelligence and surveillance, special operations they do not have the display called up. The
support, and sea strike. This design improve- Office of Naval Research (ONR), NSMRL,
ment made a large stride toward preparing NUWC, and Johns Hopkins University Applied
Virginia-class crews to deal with emerging Physics Lab (JHU/APL) have been working on a
deployment challenges by providing a flexible prototype state-of-the-art integrated 3-D audio-
capability to adapt shipboard just-in-time train- visual capability with cueing controls for sonar
ing to meet their needs. The experience of both displays. ONR researchers are incorporating
Virginia and Hawaii show that the OBTT en- advanced signal processing to improve acoustic
abled team training flexibility independent of signal analysis and optimize the use of the oper-
ship location and material condition. ator’s aural and visual senses. If this technology
is successful, the payoff will be an effective dou-
Enhancing HSI in All Submarines bling of a sonar operator’s sensory inputs by
In this regard, NUWC researchers understand integrating spatial audio into sonar systems,
that submarine warfare command and control thereby increasing the operator’s situational
decision making remains more an art than a awareness and recognition differential.
science, and a thorny HSI challenge is to develop
a cognitive model to better understand and Likewise, many collisions and groundings while
reflect how the warfighter interacts with the in- the submarine is on the surface have occurred
formation available. Behavioral and social when the needed information was in the control
factors—physiology, psychology, sociology, room but was not available to the OOD on the
organizational theory, and management bridge. In clear weather, the OOD has an
science—all must be taken into account. improved personal awareness of the contact and
navigational situation from his vantage point
The January 2008 collision between USS atop the sail. However, his watch team below in
Newport News (SSN 750) and the M/V the control room does not have the benefit of his

Date : Wed, 18 Mar 2015 06:47:52 IP : 103.27.8.45
situational awareness and he is less able to ben- submariners will be able to remove the field of
efit from the numerous tools at their disposal. view blinders and see the horizon in every direc-
And, operating on the surface is particularly tion simultaneously. We will also be able to
challenging during inclement weather, when the integrate this visual picture with other sensor
visual picture is obscured and communications data to aide the operators in correlating sonar,
between the bridge and watchstanders in the radar, electronics support measures, and visual
control room are difficult. If the OOD and CO contacts. As we design the next generation of
could bring the same level of awareness from the higher-resolution digital periscope displays, we
bridge to the control room, they would gain will take advantage of all we know about the
additional benefits of being co-located with the human eye and how our brain processes
watch team. This problem will be complex and visual data in order to maximize recognition
expensive to solve, and ‘‘good HSI’’ will be vital differential.
for our success.
Finally, in any application of HSI, it is critical to
To that end, ONR has also funded JHU/APL remember that the ‘‘H’’ is for Human and all HSI
to research decision-support tools and team- solutions rely on a sailor whose capabilities,
training solutions to support submarine com- health, and safety are always assumed. While the
mand team shared situational awareness, quality of the atmosphere on the submarine—
enhance team sense-making and enable timely a closed environment for long periods of time—
and accurate decision making in complex, is constantly monitored, there are many com-
stressful environments. Researchers are using pounds that must be monitored for possible
HSI analyses, including the integration of cogni- longer-term effects. NSMRL’s Submarine Atmo-
tive work analysis and cognitive task analysis sphere Health Assessment Program uses
methods, to develop more intuitive displays of sampling techniques similar to the badges for
key information requirements, including trends radiation measurement to collect information
and patterns associated with contact informa- about the prevalence of many compounds on
tion, uncertainty, navigational hazards, and the operational submarines as well as more intensive
like. JHU/APL expects that this will result in the air sampling on new submarines during their sea
ability of the command team to execute the plan trials. The lab also addresses other critical HSI
while projecting into the future (on the order of concerns, such as fatigue, that can be detrimen-
about 30 min) to maintain ship safety and stealth tal to performance. For example, in close
distances from threatening contacts and accom- collaboration with the Submarine Force,
plish mission requirements. Further, these efforts NSMRL is researching possible changes to the
will contribute to the development of training on-board watchstanding schedule to reduce
solutions that enhance team sense-making skills problems associated with changing circadian
and knowledge—particularly as they are rhythms and sleep deprivation—efforts that in-
required for submarine command team clude tests during actual submarine operations
cognitive challenges of building the picture, that complement laboratory tests.
building the plan, focused engagement, and
adaptability. But, the ultimate test of safety is the ability to
survive and escape from a disabled submarine,
While replacing the periscopes with non- no matter how unlikely that event. NSMRL has
hull-penetrating photonics capabilities is conducted tests of a crew’s ability to survive,
certainly a step in the right direction, we are still maintain a breathable atmosphere, and provide
viewing the world through the same limited field food and light in extremis situations. In addi-
of view of a periscope. It is like driving a car with tion, the lab has conducted tests of a new escape
horse blinders on. With the work being done to suit and a device to improve the visibility of sur-
provide a 3601 periscope view, in the future vivors on the surface.

Date : Wed, 18 Mar 2015 06:47:52 IP : 103.27.8.45
Setting the Submarine Force HSI Course the life cycle. To support this, a major compo-
Human Systems Integration optimizes the total nent of HSIDE is the definition of a mission-
system equation by integrating the human focused, functional submarine model. This
factors of engineering, manpower, personnel, model will be used to define ship and system
training, habitability, safety, personnel surviv- functional requirements and allow program
ability, and health into the system acquisition managers to balance manning costs and techno-
process. While technologies, hardware, soft- logical risk.
ware, and equipment are clearly important
considerations, HSI is critical for maximizing Today, the Virginia-class submarine is the HSI
the performance of each of these while minimiz- ‘‘poster child’’ of the US Submarine Force. From
ing total ownership cost. And only by measuring the outset we embraced the fundamental princi-
the performance of the total system—hardware, ples of HSI to inform intelligent trade-offs and
software, and sailors trained exactly as those decisions. In the future, improved HSI processes
who will deploy onboard our platforms—can we and knowledge will enable us to take the next
really certify that our systems and platforms will leap to develop systems and technologies that
satisfy critical needs. will enable game-changing improvements to our
submarines’ broad-spectrum mission capabili-
‘‘From my perspective,’’ V. Admiral Donnelly ties. Infusing these new capabilities into
concluded, ‘‘there are some common aspects for submarines requires well-conceived and sup-
any HSI solution. First, it must solve a real ported HSI to ensure that we bound the total
problem and second, it must be affordable. Ad- system—hardware, software, and people!—to
ditionally, when solving Warfighter Performance meet the daunting challenges that are on the
problems, the solutions should be intuitive and horizon.
the Commanding Officer must have faith in the
reliability of the information provided.’’ Author Biographies
Patricia Hamburger is Director, Human Systems
To this end, ONR has funded a program to inte- Integration and Integrated Warfare Systems
grate common HSI tools and processes into the Engineering, Naval Sea Systems Command, and
production submarine design environments. As also serves as Technical Director PEO Inte-
great a leap as the Virginia class was for integrated Warfare Systems.
grating HSI in the submarine design process,
much of the Virginia’s design and manning David Miskimens is currently Technical Direc-
structure was based on and constrained by the tor, PEO SUBS, and served as Deputy Program
use of legacy systems and traditional organiza- Manager, Virginia (SSN 774) Class Nuclear
tional alignments. The ONR-sponsored Human Attack Submarine Program.
Systems Integration Design Environment
(HSIDE) and its associated design processes seek Dr. Scott Truver is Director, National Security
to ensure the early and effective HSI involve- Programs, Gryphon Technologies LC, Green-
ment, from concept definition stage throughout belt, Maryland.

Date : Wed, 18 Mar 2015 06:47:52 IP : 103.27.8.45
TECHNICAL PAPER
A Persistent, Effective, and

Affordable Global Fleet Station
Concept
& Mark A. Campbell, John Krempasky, and Michael Bosworth
Abstract
This paper will examine the Global Fleet Station (GFS) concept, first proposed in the Naval Oper-
ations Concept 2006 and implemented since then through a variety of US Navy (USN) and US Coast
Guard (USCG) humanitarian assistance and foreign military training cruises. First, we will explore
GFS missions, and the capability and materiel requirements that are derived from them. Next, re-
lying on lessons learned from recent USN and USCG GFS and GFS-type cruises, and preliminary
analysis of 20 US and foreign vessels potentially suitable for GFS missions, this paper will argue that
to effectively implement GFS in a persistent, distributed, and affordable manner, greater attention
must be given to ships specially built or modified for the mission, complemented by dual-use legacy
ships used as necessary in augmentation roles. It is important to recognize that emerging GFS re-
quirements differ greatly from requirements for ships built for major combat operations, but that the
resulting cost savings actually make this a cost-effective and operationally effective trade-off for the
USN.
Introduction warfighting intensity from most stressing (bal-

In the last two decades, the security challenges of listic missile defense) to very low-threat ‘‘soft
the United States have changed from a bipolar power’’ missions such as Global Fleet Station
world in which the primary concern was a single (GFS).
peer competitor—the Soviet Union—to a multi-
polar world in which the United States faces a The GFS concept envisions providing both
much more diverse set of threats, both in number military training and support assistance and
and in type. 9/11 demonstrated the perils of ig- humanitarian help to foreign partner nations. To
noring these threats, and in the aftermath of that be truly effective, this assistance must be persis-
shock, US strategic security policy has been un- tent, requiring near-permanent presence on
dergoing a series of radical changes. station. Note, however, that this ‘‘persistent
presence’’ does not require a high intensity of
In this new world (dis)order, the US Navy (USN) effort. More than one ship will in most cases be
must perform a wide variety of dissimilar mis- unnecessary and wasteful. Since GFS is about
sions to fulfill its role in US national security. building long-term relationships of trust and
These missions range the entire spectrum of thus winning hearts and minds, rather than bul-
lets and bombs, it is likely that GFS may benefit
Sponsor clearance: This paper is cleared for public from and may even require a much lower-inten-
release. sity presence than is encompassed in any USN

DOI: 10.1111/j.1559-3584.2009.00228.x
Date : Wed, 18 Mar 2015 06:47:57 IP : 103.27.8.45
A Persistent, Effective, and Affordable Global Fleet Station Concept
battle group—or even a single surface combat- implement GFS in a persistent, distributed, and
ant. If implemented correctly, GFS should help affordable manner, greater attention must be
foreign partner nations enhance their own secu- given to ships specially built or modified or oth-
rity and stability, and thus reduce the likelihood erwise acquired for the mission, complemented
that the United States will need to deploy major by dual-use legacy ships used as necessary in
combat power to those areas. augmentation roles. Naval engineers should be
aware of GFS emerging requirements and how
There is now widespread consensus that GFS is they differ from requirements for ships built for
an important primary mission for US maritime major combat operations.
forces. A number of GFS-type deployments have
been undertaken by various USN and US Coast ‘‘Global Fleet Station’’: Origins to Present Day
Guard (USCG) ships in recent years and have The GFS concept had its origins in the realiza-
been generally successful. However, the USN tion that overall US security depended not only
(like the rest of the US armed forces) is now un- on being able to fight and win future large-scale
der increasing budgetary pressures, and is ‘‘conventional’’ wars, but also depended heavily
struggling to maintain adequate ship numbers. on success in the ‘‘Global War on Terror.’’ Suc-
The fiscal forecast for the future is even grimmer cess in this effort depends not on the amount of
than the present. In such a resource-constrained firepower one can place in a given area in a given
environment, it will probably be imperative that time, but rather on less quantifiable aspects,
vessels be ‘‘right-sized’’ for their missions. In this such as winning the ‘‘hearts and minds’’ of both
context, it is clear that allocating vessels de- the governments and the civilian populations of
signed for much more stressing roles to GFS foreign partner nations. Accomplishing this re-
missions will be neither cost-effective nor quires ‘‘soft power’’—humanitarian and
affordable. technical assistance—and accomplishing such
tasks requires a substantially different mindset
The USN has in the recent past fallen prey to a than that which the USN operated under for the
pernicious but apparently inevitable trend to- entire Cold War—and, some would say, for
ward larger and more capable, but also much many years afterwards.
more expensive, ships. While it is possible that
such ships are appropriate for warfighting or These new realities are reflected in the official
other high-intensity missions, such vessels gen- GFS definitions. The original definition of GFS
erally provide more capability than required for was provided in the Naval Operations Concept
GFS, are expensive to operate, and usually are in 2006:
high demand for other missions, even in peace-
GFS is a persistent [emphasis added] sea base of
time. If the USN continues to use maladapted operations from which to coordinate and employ
ships for GFS-type missions, it appears likely adaptive force packages within a regional area
that however noble the GFS concept is, it will of interest. Focusing primarily on . . . Theater
inevitably fall prey to funding pressures to sus- Security Cooperation, Global Maritime Aware-
tain the number 1 priority—USN warfighting ness, and tasks associated specifically with the War
capability. Unfortunately such an outcome may on Terror, GFS offers a means to increase
appreciably lessen US security. regional maritime security through the cooperative
efforts of joint, inter-agency, and multinational
This paper will first explore the GFS concept and partners, as well as Non-Governmental
Organizations. (Mullen and Hagee)
the missions that it requires. Next, relying on
lessons learned from recent USN GFS-type
cruises and preliminary analysis of 20 US and The GFS mission statement has undergone con-
foreign vessels potentially suitable for GFS mis- siderable evolution since then, culminating in
sions, this paper will argue that to effectively the current official definition of GFS as provided

Date : Wed, 18 Mar 2015 06:47:57 IP : 103.27.8.45
in the Global Fleet Station Concept of Opera- skills sharp, and allows for more sophisticated
tions from 2008: training and mentoring over time.
A highly visible, positively engaged, persistent
[emphasis added] sea base of operations from
If persistent presence is a key enabler for the GFS
which to interact with partner nation military concept, it can fairly be asked why we should not
and civilian populations and the global obtain the required persistent presence via num-
maritime community. (US Fleet Forces bers of small shore bases? After all, the US
Command, 2008) military, including the USN and Marine Corps,
routinely operates both permanent and tempo-
Note that the crucial term persistent is present in
rary land bases of varying sizes around the
both definitions, and has also been mentioned
world.
prominently in other discussions of GFS. This is
fortunate, as persistent presence is the key factor
There are several reasons why shore bases will
required to make GFS an effective aspect
almost certainly not be a practical solution in
of US security policy. The reasons that make
most cases. First and foremost, land bases are
this so require some elaboration, as they are
often perceived as agents of US ‘‘imperialism.’’
central to an understanding of how the United
A sea-based presence will always appear less per-
States should allocate resources to the GFS
manent and thus less imperialistic, and therefore
mission.
is much less likely to provoke anti-US hostility in
partner nations. Experience has shown that a
‘‘TRUST CANNOT BE SURGED’’ (Conway and sea-based (i.e., nonpermanent) presence, even if
Allen, 2007) carried out by ships, which spend most of their
The above quotation from the Cooperative time in the foreign partner nation ports (rather
Strategy for 21st Century Seapower sums up the than offshore), is more acceptable to most part-
benefits of persistent presence for both humani- ner nations than even the smallest US military
tarian help and training and support. To be truly land-based presence. Partly for this reason, both
effective, US presence must encompass periodic, the US Congress and partner nations often im-
repeated visits, with individual visits lasting pose strict limits on how many US personnel can
weeks, not days, and with total mission lengths be based in the partner nation at any given time.1
measured in months and years, not days or Basing the American personnel on board ship
weeks. can help obviate this problem. In addition, force
protection will in many cases be easier when the
For example, persistent presence would allow protected asset is a ship rather than a land base.
chronic illnesses to be monitored and treated This will be the case even when the ship is tied up
over a longer period of time. A predictable and alongside a pier rather than anchored in the har-
repeating series of visits would enable training bor or offshore (USS Fort McHenry, 2008).
and support by encouraging long-term interper-
sonal relationships and even friendships, which Yet another factor is that land bases—at least US
in turn builds trust with partner nation person- land bases—tend to grow over time. The ‘‘iron
nel. The importance of strong relationships mountain’’ effect is well known, and there is no
between United States and foreign partner na- reason to suspect that even small US bases would
tion personnel should not be underestimated. avoid this pernicious problem. And permanent
While hard to capture quantitatively, there is or semipermanent (and therefore expensive)
ample evidence that such relationships are the
1
foundation for an enduring and mutually bene- Kaplan (2005). For example, the only American base on
ficial security relationship (Rimsky Vernon, mainland South America—Manta, Ecuador—was limited
to about 200 personnel. Further, it was closed early this
2008). Repeated and prolonged visits also pro- year (2009) as a result of host government unhappiness
vide refresher training to keep partner nation with US policies.

Date : Wed, 18 Mar 2015 06:47:57 IP : 103.27.8.45
land bases would not be affordable. As noted in Northern South America, the Gulf of Guinea
the introduction, one principal concern—in- area of West Africa, the Horn of Africa, and
deed, probably the largest single theme—of any Southeast Asia.
workable GFS concept must be to ensure that the
Navy can afford to fund the mission in an era TYPES OF SHIPS USED FOR GFS-LIKE MISSIONS,
likely to be marked by decreasing budgets for the 2005–PRESENT
foreseeable future. After looking at where GFS has been and is likely
to be conducted, we should next examine what
For all these reasons, it seems clear that while a sorts of ships the USN has been using to perform
shore-based US presence may well be appropri- GFS-like missions. In the last several years, the
ate in certain circumstances, the weight of United States has experimented with a variety of
evidence suggests strongly that ship-based solu- ship types for GFS-like missions. A reasonably
tions are necessary to achieve a practical comprehensive list is shown below in Table 1 to
persistent presence posture. illustrate the ship types utilized up to and in-
cluding 2009 planned deployments.
NOTIONAL GFS
GFSs are primarily needed near littoral states It will be seen that a wide variety of ship types
with serious problems ranging from poverty and have been used for GFS-like deployments, in-
poor health care, to internal and/or external se- cluding:
curity threats. These states tend to face long-
term deficiencies in basic health care and nutri- & Submarine tenders
tion, very inefficient or corrupt governments (or & Hospital ships
sometimes a complete lack of effective govern- & Large-deck amphibious vessels (LHA/LHD)
ment), and ineffective military (especially naval/ & Other amphibious vessels (LSD/LPD)
maritime security) forces. Taken together, such & USCG cutters
‘‘failing’’ or ‘‘failed’’ states can provide a breed- & HSV-2 Swift
ing ground for illegal smuggling, piracy, and, & Attack submarines (SSN)
potentially most dangerous, organized terrorist & Frigates
groups. When one applies this understanding to
a map of the world, as shown below in Figure 1, Most of the ships chosen will be seen to make
four areas appear as likely GFS operating considerable sense from the point of view of
stations: the Caribbean/Central America/ being able to accomplish the GFS missions. It is
Figure 1: Notional GFS Stations

Dotted Line Encloses Areas of Potential Concern:
Barnett’s Non-Integrated Gap
Poverty Lack of basic Poverty

Poor Health Care government Poor Health Care
services
DRUG
SMUGGLING
INSURGENCY
Movement for the PIRACY TERRORISM
Emancipation of the Somali pirates Muslim & communist
Niger Delta (MEND) insurgencies
Notional 4 GFS Stations shown: more or less

possible depending on desires/needs/funding

Date : Wed, 18 Mar 2015 06:47:57 IP : 103.27.8.45
TABLE 1: Ship Types Utilized for Global Fleet Station-Like Missions
Operations Length
Year Ship Type Ship Name Area/Location (months) Notes
1999–2006 USCG Gentian Caribbean 7 years
2005 AS-39 Emory S. Land West Africa 2
2006 AS-39 Emory S. Land West Africa 3
2005 USCG Cutter Bear West Africa 3
2005 LSD-44 Gunston Hall West Africa 1 West African Training Cruise
2005 HSV-2 Swift West Africa 1 West African Training Cruise
2006 USNS Mercy SE Asia ?
2007 USCG Cutter Legare Gulf of Guinea 4
2007 LHA-5 Peleliu West Pacific 4
2007 USNS Comfort Caribbean 4
2007 HSV-2 Swift Caribbean 6 Called Global Fleet Station pilot
2007–2008 LSD-43 Fort McHenry West Africa 7 African Partnership Station. Called
Global Fleet Station test
2008 HSV-2 Swift West Africa 4
2008 SSN-760 Annapolis West Africa 2 6-month total mission, but most
spent in Mediterranean
2008 USNS Mercy SE Asia 4
2008 LHD-4 Boxer Caribbean 2 Continuing Promise 2008
2008 LHD-3 Kearsarge Caribbean 4 Continuing Promise 2008
2008 USCG Cutter Dallas West Africa 4 African Partnership Station
2008 USNS Grasp Caribbean 4 Navy Diver Global Fleet Station
Fall 2008 HSV-2 Swift Caribbean 5 HSV-SPS (Southern Partnership Station)
Fall 2008 FFG-55 Elrod West Africa 3 African Partnership Station
Fall 2008 SSN? ? West Africa ? Part of Elrod mission?
2009 LPD-13 Nashville West Africa ? African Partnership Station
therefore appropriate to proceed to that topic capability—winning ‘‘hearts and minds’’

next, and discuss exactly what GFS is and through medical aid and building clinics and
should be. schools. We use the term humanitarian help to
avoid potential confusion with existing terms
Global Fleet Station: Primary Missions including humanitarian and civic aid (HCA) and
The central focus of GFS is on what is termed humanitarian assistance/disaster relief (HA/
‘‘soft power’’—not ‘‘kinetic’’ or warfighting mis- DR). We especially desire clarity here because
sions. Under the rubric of ‘‘soft power,’’ one can there appears to be some confusion in current
envision many possible tasks; however, our usage. For example, humanitarian assistance is
analysis has identified two major or primary often grouped with disaster relief under the sin-
GFS missions; humanitarian help and training gle term HA/DR, as if they were two similar
and support. Different agencies, commands, and tasks requiring similar capabilities and capaci-
GFS definition writers will place more emphasis ties. In fact, the two missions are really quite
on one mission or the other; but in fact both different in several important aspects (Brown
missions are important and are required for GFS et al. 2008). To be sure, both missions require
to succeed. delivery of medical services and relief supplies,
and both missions will increase the positive per-
HUMANITARIAN HELP ception of the United States in partner nations.
Humanitarian help encompasses aid intended However, in disaster relief, saving thousands of
primarily to enhance the partner nation’s civil lives is the key driver, and cost-efficiency is

Date : Wed, 18 Mar 2015 06:47:57 IP : 103.27.8.45
Figure 2: Intensity clude infrastructure protection, antismuggling

vs. Time of HA and DR Disaster operations, antipiracy patrol, fisheries enforce-
Relief
ment, and hydrographic survey (Button 2008).
Intensity
Unfortunately, many coastal states in the target

GFS operating areas have very modest maritime
security forces indeed. Some countries’ maritime
Humanitarian Assistance
forces comprise only a handful of patrol boats;
Time
in some cases many or even most of these boats
are inoperable due to inadequate maintenance.
In their current state, these small forces are usu-
simply not a consideration. In contrast, when ally not capable of exercising national sover-
considering the practicability of long-term per- eignty over their maritime domains.
sistent humanitarian assistance in a much less
rigorous operating tempo, cost-effectiveness is The GFS training and support mission will assist
and must be an important consideration. This our foreign partners in two ways. First, our as-
difference is illustrated in the simple graph in sistance in material and maintenance training
Figure 2. will enable our partner nations’ maritime forces
to get their patrol boats underway, so that they
Given the unquestionable difference in mission can proceed to their duties. Expert Navy, Coast
profiles between the HA and DR missions, it Guard, and civilian personnel will train the
seems clear that platforms able to effectively partner nation military personnel in everything
perform the DR mission must possess much from small engine maintenance to field-stripping
greater capacity than is required for the GFS hu- machine guns to unarmed combat. We will also
manitarian help (HH) mission. For these necessarily provide supplies—everything from
reasons, the core requirement for GFS platforms carburetors to uniforms. This assistance will en-
is to be able to perform lower-intensity human- able the operational capability of the foreign
itarian assistance work. Of course possessing partner nations to increase exponentially.
some capacity to assist in the DR mission would
be a desirable feature, and to some extent this Second, after the patrol boats are operational,
will be a natural outcome of arranging the med- our expert training will help our partners better
ical facilities that the ship will possess for the use their patrol boats to exercise national sover-
HH mission; but any DR capacity should and eignty, including such tasks as coastal patrol and
must be regarded as a useful adjunct capability interdiction, maritime interdiction operations
but not a central driver of ship concept or design. (or visit–board–search–and–seizure), etc. In this
case, it would be most useful for the partner na-
TRAINING AND SUPPORT tions to not only have US personnel on board
The training and support GFS mission will build their own patrol boats; it would also be highly
partner nations’ maritime and military capabili- useful to be able to see first-hand how a compe-
ties, and foster United States–partner nation tent navy operates. In other words, it would be
government-to-government and military-to-mil- advisable for them to learn how to operate their
itary relationships. This is an important mission own boats by having USN patrol boats operating
because every littoral nation needs to exercise alongside, to give them something to compare to
control over its sovereign maritime domain—its and to emulate. Note that the use of similar
territorial seas and exclusive economic zone. platforms and equipment (patrol boats, rather
Nations can draw wealth from the seas, but only than destroyers or even frigates) by the USN and
if they successfully invest in and protect their USCG will inevitably greatly enhance training
waters. Required tasks to accomplish this in- value. As an additional benefit, having the

Date : Wed, 18 Mar 2015 06:47:57 IP : 103.27.8.45
partner nations able to operate similar equip- sonnel, instead of being randomly selected by
ment will doubtless further their own sense of whatever ship happened to be available, would
worthiness and thus enable closer military-to- be selected for factors such as language skills
military relationships on an equal footing (Cox compatible with the GFS area and particular ex-
and Potashnik 2007). pertise in one or more skills required to execute
the soft power mission (i.e., training or civil en-
In this way, the GFS training and support mis- gagement, rather than combatant skills).
sion, if effectively and efficiently conducted,
should largely eliminate the need for the United In practice, this might be envisioned as optimally
States or other powers to provide forces to con- mandating the presence of the following types of
duct maritime security missions for the partner personnel aboard every GFS platform deploying
nations. to a GFS station:
GFS IS NOT JUST ABOUT SHIPS & Standard ship’s crew, of course.
While this paper is concerned primarily with & A USAID or other US government civilian au-
identifying the best material solutions to cost- thority to assist in civil assistance to the
effectively enable the GFS concept, it is neces- partner nation.
sary to touch briefly on some other factors other & A law enforcement detail (Coast Guard, pre-
than the platform that will have a serious impact sumably) to oversee LE activities.
on GFS success. The key factor not already dis- & A military security detail, consisting ideally of
cussed is the type of US personnel required to a small USMC detachment (15–20 persons),
build the successful sustained persistent presence who would not only serve as a local US secu-
with foreign partner nations. rity detachment when required, but would
mostly serve to train local forces in marine-
In the past, the key identifier that best charac- type functions. The USMC has already begun
terizes USN involvement in GFS-type activities is to think along these lines with their ‘‘long
‘‘ad hoc.’’ In the more distant past, ships touch- war’’ concept.
ing at foreign ports would visit for a weekend, or & Presumably a number of nongovernmental
perhaps a week. If the port was in a disadvan- organization (NGO) personnel, to assist in
taged area, the ship might well provide working medical, dental, veterinarian, etc., care. The
parties to paint a local school, or dig a well, or humanitarian-type missions that have been
help refurbish a clinic. But after the weekend occurring for the past couple of years have
was done, that ship would sail away, and it been notable for including such detachments,
would only be by the greatest of coincidences if and they have been, overall, a marked success
any of the sailors on that ship would ever touch story.
at that country again. It can readily be seen that & Perhaps a detachment of Seabees (with equip-
any connections made between US and partner ment as necessary), to provide construction
nation personnel, or any situational awareness support that the ship’s crew might not be able
gained, would only last for as long as the ship to provide.
took to transit to the next port.
Along with providing the correct personnel
Nothing could be more antithetical to the core groupings, it will be necessary to provide orga-
principles of GFS. Instead of the picture above, nizational changes to facilitate adequate career
GFS concept envisions US ships operating in a paths for officers and men who man the GFS
GFS area on a regular or semiregular schedule crews. Such changes would include not only in-
for a relatively long term (at least months, and creased language and cultural training, but also
potentially years) with reasonably ‘‘primed’’ distinct career tracks to ensure that the GFS
personnel groupings—meaning that the US per- missions would get a representative sample of

Date : Wed, 18 Mar 2015 06:47:57 IP : 103.27.8.45
USN officers and enlisted men. Only by ensuring & Transportation of watercraft. Ideally the GFS
adequate support for the USN personnel will station ship will be able to transport US patrol
such missions garner high-caliber personnel boats, either in a well deck or as deck cargo, to
suitable to make GFS a true success. fulfill the synergistic promise of these two
combined platforms.
& Helicopter basing capability. Helicopter
SHIP TYPES REQUIRED TO SUPPORT THE HH
operations are so much a part of all USN
AND TRAINING AND SUPPORT MISSIONS
operations that, at a minimum, a lilypad ca-
Returning now to the ship platforms required to
pacity is absolutely essential. Ideally a hangar
perform the GFS missions, it is clear from all that
and associated limited support facilities would
we have discussed so far that the two main GFS
be highly useful.
missions would be best served by different plat-
& Berthing capacity. The GFS station ship must
forms. HH requires the ability to deliver a fair
have sufficient accommodation for a modest
amount of supplies and equipment, while also
base crew, plus a number of ancillary person-
providing a home base for US advisors, health
nel, both US and foreign. A total base berthing
workers, nongovernmental workers, etc. In
capacity of 100 will be sufficient. In addition,
contrast, the training and support mission
the ability to support an additional 100 per-
requires not only the presence of supplies, but
sonnel for limited periods (noncombatant
also experienced US military personnel, to
evacuation operations, limited military de-
enhance partner nation capabilities. In addition,
tachment transportation, etc.) will be a useful
as noted above, the training and support mission
feature that should not be hard to accommo-
would strongly benefit from the presence of
date, given proper design.
vessels as similar as possible to those of the
& Shallow draft. Many of the ports that a GFS
partner nations—i.e., patrol boats—to maxi-
station ship will have to enter are shallow and/
mize the value of maintenance and operational
or difficult to access. A draft of 15 feet or less
training.
will allow a GFS station ship maximum flex-
ibility.2 Even if 15 feet is not achievable, every
REQUIRED STATION SHIP CHARACTERISTICS foot of draft saved equals more ports that the
The first and most essential platform required GFS station ship can enter.
for GFS is the ‘‘station ship.’’ This vessel should & Modest maximum speed. The GFS station
be flexible and adaptable (ideally with modular ship will spend most of its career in or around
systems), so as to be able to easily handle many foreign partner ports. A top speed of 20 knots
different tasks. Among the characteristics re- will be fully sufficient to allow the station ship
quired of an effective GFS station ship are: to carry out its duties in an efficient manner.
& Communications. A robust but simple com-
& Affordability. The GFS station ship must be munications system is needed to exercise
both inexpensive to purchase (or lease) and to control over distributed small boats and heli-
operate; otherwise it is likely that USN war- copters conducting aid and training activities.
fighting needs will, in a resource-constrained Adequate unclassified communication ability
environment, require all available funds and is critical for coordinating with partner na-
leave the GFS concept high and dry. tions. The GFS station ship should not,
& Cargo capacity. The GFS station ship must be however, try to incorporate more than the
able to transport sufficient cargo to handle minimum cryptologic or other warfighting
GFS materiel delivery needs. While the many
variations of HH and training and support
missions makes it difficult to provide a precise 2
‘‘Worldwide Small Port Study’’ PowerPoint. http://
figure, the ability to deliver a few hundred chl.erdc.usace.army.mil/Media/1/4/3/Port Study for Sym-
tons of cargo should suffice. posium-Williams.ppt.

Date : Wed, 18 Mar 2015 06:47:57 IP : 103.27.8.45
communications gear, as the station ship is not foreign equivalents, and to perform missions
and should not be envisioned as a warship. requiring a reasonable turn of speed (e.g.,
& Self-defense. A minimum self-defense capabil- countering ‘‘go-fast’’ smuggling boats) when
ity, ideally consisting of four machine-gun or required.
light cannon (0.50-cal to 25 mm) stabilized & Armament: To be an effective patrol boat, two
(preferred, though not required) mounts. stabilized gun mounts—one forward and one
& Non-military appearance. It should be noted aft—are essential, to allow effective firepower
in this list of desirable characteristics that, for on all bearings. Other gun mountings will al-
the GFS station ship platform, a nonmilitary most certainly be emplaced along the bridge
appearance is a distinct advantage. Many po- wings and/or flanks, etc. Note that missile
tential foreign partner nations are leery of the systems of any sort (except perhaps for man-
appearance or perception of US ‘‘imperial- portable air defense missile systems like Stin-
ism.’’3 In such cases, a USN surface combatant ger) are unnecessary and emphatically
may well be the worst possible ambassador. In discouraged.
contrast, USCG ‘‘white-hulls’’ are usually & Endurance: Only a limited endurance—per-
welcomed, even where USN ‘‘grey-hulls’’ are haps 48 hours—will be required, as the patrol
not. boats will be operating in relatively close
proximity either to land or the GFS station
As can be seen, the above encompass a disparate ship.
set of requirements. In such a case, it seems
obvious that the GFS station ship should be, to
the maximum extent possible, a modular plat- SYNERGIES BETWEEN THE STATION SHIP AND
form. Indeed, the GFS station ship could well PATROL BOAT VESSEL TYPES
prove to be the most effective proof of how The station ship may have synergies with other
valuable modularity can be as an ‘‘effectiveness’’ US maritime roles, such as a USCG coastal pa-
multiplier. trol boat, USN riverine or Special Operations
‘‘mother ship,’’ auxiliary light amphibious lift,
PATROL BOAT REQUIREMENTS auxiliary hospital ship, or oceanographic survey.
The patrol boats supported by the station ship The patrol boat may have synergies with USN
should be small and simple enough to effectively low-intensity bluewater, greenwater, and
and efficiently train partner nation maritime brownwater needs, and USCG small cutter re-
forces in craft like their own. It should be able to quirements. Both the station ship and patrol
protect itself, and others, from limited threats. A boat will have utility in a variety of larger-scale
notional set of requirements might include the combat operations and contingencies, working
following: in cooperation with existing USN vessels.
& Size: The GFS patrol boat should be sized as Meeting the GFS Station Ship Requirement
close to the size of the foreign partner nation Having established a good understanding of
boats as possible, so as to be most compatible what sorts of tasks a GFS station ship should be
with them. A notional size range to investigate able to undertake, our next step was to examine
might lie between 50 ft and 125 ft. a comprehensive list of likely candidates for the
& Speed: While the GFS station ship will not re- GFS station ship to determine the relative
quire a high top speed, the patrol boat will ‘‘goodness’’ of each concept.
need a reasonable turn of speed—perhaps 28–
30 knots—both to exercise in concert with IDENTIFYING A TARGET SOLUTION SET
Using the ship types in Table 1 as a guideline, we
3
USCG CDR Peter Hatch. Interview by authors. Wash- cast our net widely and initially established a list
ington, DC, October 23, 2007. of over 50 ship types to examine for potential

Date : Wed, 18 Mar 2015 06:47:57 IP : 103.27.8.45
suitability for the GFS station ship platform. For & MSC C-Champion (being used as a ‘‘Maritime
comprehensiveness, we included: Support Vessel’’ small boat mothership)
& US Army LSV-7 Kuroda
& USN CVNs & Canterbury (New Zealand)
& All USN surface combatants (including DDG & Absalon (Denmark)
51/79 and the Littoral Combat Ship [LCS]) & OPV Clyde (United Kingdom)
& USCG cutters (the National Security Cutter & A large offshore supply vessel (OSV) design
class and the ‘‘Famous’’ class) & And last we added a GFS station-ship concept
& USN amphibious vessels (LHD and LSD/LPD) created for us by the Center for Innovation in
& High-speed vessels (HSV 2 Swift and JHSV) Ship Design (CISD) at NSWC-Carderock, tai-
& Hospital ships (the hospital ships Mercy and lored specifically to fulfill our requirements
Comfort) list.
& Military Sealift Command auxiliaries (includ-
ing the T-AKE 1 class, the T-AK 3017 The process to comprehensively evaluate the
Stockham, and the C-Champion Maritime chosen ship classes for GFS suitability involves a
Support Vessel) lengthy systems engineering process to decom-
& The US Army LSV-7 class pose the overall missions to tasks, subtasks, and
& The USN PC 1 Cyclone class attributes, and then rank each of the 20 ship
& Submarines types above for each attribute. This process is
& Numerous foreign ship designs/concepts that still underway. However, even though not com-
looked most ‘‘GFS-station-ship-like’’ plete, it has been possible to evaluate the
available candidate ships and to reach some
It proved possible to quickly eliminate certain broad conclusions regarding the most efficient
candidate types on the basis of either excessive future path to follow.
cost, need for other missions, and lack of cargo
capacity. After a second and more detailed eval- Given the increasingly difficult financial climate
uation process, we chose 20 ship designs/ for the United States and therefore the USN, it is
concepts to further analyze for fitness for the incumbent upon any serious analysis to evaluate
GFS mission and these are listed below. We candidate platforms in terms not only of opera-
chose this many to ensure as comprehensive tional effectiveness, but also in terms of cost.
coverage of the potential GFS Station Ship trade Combining these two yields the key metric, cost-
space as possible. The 20 candidates are: effectiveness, which offers the real picture of
how much capability per dollar a given platform
& FFG 7 class can provide. In that light, it is instructive to take
& USCG National Security Cutter (Bertholf a quick look at the current operating and sup-
class) port costs for some of the candidate ship types
& USCG ‘‘Famous’’ class we are analyzing.
& LCS 1
& LCS 2 Note that the set of ships shown in Figure 3 are
& LHD 1 class not identical to those in the list above. This is
& LSD 41 class because valid Operating & Support (O&S) data
& LPD 17 class does not yet exist for many of the ship types
& HSV 2 Swift mentioned—obviously not for those ships not
& JHSV yet in active service, and even for ships recently
& Hospital ships (T-AH Mercy, Comfort) commissioned, such as LCS 1 and even LPD 17,
& MSC T-AKE 1 class valid cost data is difficult or impossible to ob-
& MSC T-AK 3017 Stockham (because of her tain. The JHSV data shown is a very rough
use as an ‘‘Afloat Forward Staging Base’’) estimate based on the JHSV Analysis of

Date : Wed, 18 Mar 2015 06:47:57 IP : 103.27.8.45
Cost in Constant FY09 Dollars (millions)
140 USN Combatant Comparing USN & MSC Operating

USN Amphib Costs is Difficult:
MSC Vessel
120 USCG
100
80
60
T-AH data limited
40 (5 deployments for
? two ships)
Amphib costs do
20 not include Marines
0
FFG 7
DDG 51
LSD41/49
LPD 4
LHD
HSV 2
JHSV
T-AH
Stockham
USCG Gentian
USN (2002-2007 avg.)
MSC (2002-2008 avg.)
Data Source:VAMOSC
Figure 3: Operating and Support Costs of Some Current Ship Classes
Note: The following cost notes should be factored in when trying to estimate the ever-difficult world of cost analysis:
Amphibious vessels do not include the cost for Marine contingents when embarked. HSV-2: MSC average costs
2004–2008, limited detailed data, but all available data, including from Pournelle/Morrison, matches. JHSV source:
RAND AoA. T-AK 3017 Stockham: Converted to AFSB 2004, operating cost 2004–2008 minus $9M modification
cost, then averaged; operating hours/depot maintenance somewhat erratic from year to year. T-AH cost figure 5 the
average of 3 Mercy deployments (Tsunami, 2006, and 2008) and 2 Comfort deployments (OIF, 2007); may not cap-
ture all costs. CST Gentian 5 $8M less crew, according to Cinalli (2006). Crew of 29; JHSVAOA gives avg. crew rate
(7O, 43E) of $78K per crewmember, seems in line with VAMOSC, estimated total $10M/yr.
Alternatives. Foreign ships are also not avail- Boats. While the LCS’s 401knot top speed
able. Despite these limitations, some may well be useful for other missions, it is un-
differentiating conclusions emerge from even a necessary for GFS. Also while LCS is
qualitative examination: obviously smaller than DDGs or CGs, its
technical complexity (gas turbine engines, so-
& FFG. FFGs are considerably larger and more phisticated controls and communications) is
complex than the typical patrol vessels/craft still well above that of likely partner nation’s
of partner nations; therefore, interoperability naval platforms. Finally, the limited range and
and training through shipriders is both prob- endurance of the platform, and potential lack
lematic and of lesser value. Surface of housing for specialized GFS personnel, may
combatants also have a great deal of classified hinder operations.4
equipment and spaces, probably making & USCG cutters. Because of its long history and
much of the ship off-limits to potential partner considerable experience in training maritime
nation shipriders. personnel of partner nations, USCG can and
& LCS. The LCS has recently received attention should play a vital role in GFS, especially for
as a potential GFS or USMC platform. How- the training and support mission. However,
ever, the use of LCS for the GFS mission would most USCG vessels have a limited cargo ca-
certainly require that it not carry the Anti- pacity and limited facilities for HH-type
Submarine Warfare or Mine Warfare Mission missions. Also, the USCG, with an aging and
Packages; some limited cargo capacity may be
4
available with the Anti-Surface Warfare pack- For example, the CNA Greenwater Craft study notes
that the maintenance support team equipment for patrol
age, but much of this may be taken up by the boats would entirely fill or even exceed the capacity of an
addition of two 11 m Rigid-Hull Inflatable LCS.

Date : Wed, 18 Mar 2015 06:47:57 IP : 103.27.8.45
Figure 4: CISD Global Fleet Station Con-

cept Ship
increasingly difficult to maintain fleet, finds these ships are probably the closest thing to an
itself overtaxed with Homeland Security mis- efficient GFS station ship currently available
sions. USCG availability for long-range in the USN, despite their excess capacity.
international engagements will likely be lim- However, given that using them for GFS mis-
ited (USCG 2009). sions will necessarily decrease their avail-
& Hospital ships (USNS Comfort and Mercy). ability for amphibious assault aggregation,
These very large ships are well-suited to di- they are certainly not ideal for the GFS role.
saster relief missions, but are inherently less & Maritime Prepositioning Ships. While the
well-suited to GFS-type missions due to their Stockham is apparently performing well in its
size and especially their deep draft, which has ‘‘afloat forward staging base’’ (AFSB) mission
proven to make many ports inaccessible (e.g., (details are classified), her enormous size,
USS Comfort could not approach closer than deep draft, and other physical characteristics
16 nm to shore in Guyana and Surinam). In suggest that she is a poor fit for the GFS mis-
addition, they have limited small boat opera- sion. On the other hand, her current dual role
tions capability, which has made transport of (in addition to being an AFSB, Stockham re-
patients and personnel to and from the ships tains her prepositioning equipment on board)
difficult, especially in poor weather conditions is an intriguing prospect. While her primary
(Boynton 2008). role as a prepositioning ship restricts where
& US large-deck amphibious ships (LHD). she can be deployed for other uses (because
While these vessels offer abundant cargo ca- she must always be able to reach her delivery
pacity, excellent personnel support, good point in the specified time frame), it also dra-
small craft support facilities, superb helicopter matically reduces the cost of the AFSB role,
facilities, etc., a glance at Figure 3 shows since the primary cost to build and operate the
clearly that the use of such vessels in the GFS vessel is borne by the prepositioning program.
station ship role will not be cost-effective. Given this model, the concept of a dual-use
These vessels simply are too much for GFS- ship for GFS is worth further exploration, al-
type missions—both in terms of capacity and though it probably wouldn’t look like
cost. Therefore, they should not be considered Stockham.
for the GFS station ship role. In addition, use & Joint High Speed Vessel (JHSV). The JHSV is
of these valuable ships for GFS-type missions often mentioned as being an ideal GFS plat-
will inevitably reduce their availability for form. While it does seem likely to be a less
their primary mission. costly solution than some others considered
& US LPD/LSD Amphibious ships. Many of the here, it is fair to question whether it will be a
same comments that have been made about good solution. At least one set of subject-mat-
the LHD class apply here as well. However, ter experts has suggested that the currently
because these vessels offer more than suffi- planned JHSV will not be as flexible and
cient capacity at a greatly reduced O&S cost, adaptable as ships like the HSV-2 Swift have

Date : Wed, 18 Mar 2015 06:47:57 IP : 103.27.8.45
proven to be (Morrison and Pournelle 2008). Figure 5: USCG
Cutter Gentian
If this indeed turns out to be accurate, then the
JHSV would seem to be less than optimal for
the role.
& CISD Global Fleet Station Concept. As part of
our study, we tasked CISD to do a very rough
sketch concept for a ship that could optimally
fulfill the GFS station ship requirements (see
Figure 4). This exercise turned out to be very
useful in helping us to understand the naval
architecture trade-offs involved in the GFS
mission. The CISD concept also provides a
useful comparison with the variety of existing
ship designs, and the resulting concept is Conclusions
shown below. For more details, see the ASNE To maintain continuous or near-continuous
paper by Dr. Chris Dicks, who led this work presence in the suggested GFS areas, more than
for us. one vessel for each ‘‘station’’ would be needed.
Depending on precise assumptions about vessel
characteristics, operating patterns, and crew ro-
USCG CARIBBEAN SUPPORT TENDER GENTIAN: tation policies, it is reasonable to suggest 1.5–2.0
ONE POSSIBLE PARADIGM FOR GFS station ships for each potential GFS station
One useful example that demonstrates how part would be useful; thus a total of six to eight ded-
of the GFS mission could be performed admira- icated or semidedicated GFS station ships would
bly and cost-effectively is the case of the USCG seem to be a reasonable figure.
‘‘Caribbean Support Tender’’ Gentian (see Figure
5). Converted from a buoy tender in 1998, the While definitive conclusions must await the
Gentian’s mission from 1999 to 2006 was to re- completion of our thorough quantitative analy-
peatedly visit Caribbean nations to aid their sis of potential GFS station ship platforms,
maritime services in maintaining and operating certain preliminary conclusions seem clear even
their patrol boat forces. In this mission she was now:
reportedly exceedingly effective, and she was
only decommissioned due to age-related reasons. & All ship types that have been tried in GFS-like
roles to date are less than efficient for the role,
Given the importance of personnel-based con- due generally to having too much capacity for
siderations mentioned previously, it is worth the mission.
noting that the Coast Guard incorporated for- & While LCS and JHSV may turn out to be the
eign junior officers and NCOs directly into the GFS platforms of choice for various reasons, it
Gentian’s crew, at about a 2:1 ratio (about 30 US is clear that these ships would be suboptimal
personnel and 15 foreign personnel). Instead of choices for the GFS mission, principally be-
being shipriders for 1 or 2 weeks, these foreign cause their speed capabilities are unnecessary
personnel had duty tours on the Gentian lasting for GFS, while the weight and space reserved
typically 1 or 2 years. By all accounts, the results for the engines necessarily requires a concom-
were enormously favorable in building long- itant reduction in useful payload.
term relationships of trust and friendship be- & Among current ship types, it appears that the
tween the US and foreign personnel thus thrown combination of O&S costs and effectiveness
together, and the Coast Guard is apparently suggest that vessels like HSV 2 Swift or re-
looking for funding for a replacement for Gen- duced-manned LSD 41s might be the most
tian now. cost-effective solutions available today.

Date : Wed, 18 Mar 2015 06:47:57 IP : 103.27.8.45
& Whatever the exact demarcation between the spending extravagant amounts to accomplish
services, it is clear that the USCG has much to what is, after all is said and done, a mission that
offer the GFS concept. As noted, a Coast most officers would identify as distinctly second-
Guard presence is often much more politically rate in importance, compared with the ability to
acceptable to foreign partner nations than a fight and win a major conflict. Therefore, to es-
USN presence. In many ways, in fact, the GFS tablish a successful GFS program for the future,
mission is a much more natural fit for USCG the GFS station ship needs to focus on simple,
than the USN. While we are not suggesting low-technology solutions (that may not neces-
that the GFS concept be simply added onto the sarily be ‘‘transformational’’ or innovative in
USCG’s already over-tasked list of roles and terms of hull form or propulsion), which can
missions, it is clear that all future USN GFS adequately and affordably perform the required
efforts should involve very close coordination GFS missions.
with USCG elements to obtain maximum
cost-effectiveness benefits. For the GFS station ship, therefore, new designs
or conversions built to commercial standards
In summary, we believe that way ahead is for the should be examined. This is certainly acceptable
USN to immediately investigate potential GFS in terms of risk to the ship, as it is not ‘‘intended
station ship concepts with an idea to immedi- to go in harm’s way.’’ These vessels should have
ately leasing the most appropriate existing modular capabilities to allow them to be tai-
commercial platform (to meet the specifications lored, scalable, and right-sized for the mission.
we provide in ‘‘‘Global Fleet Station’: Origins to The station ship must be able to perform in
Present Day’’), modifying it as necessary (to the difficult littoral environments, both in terms of
minimum extent possible), and testing it in the draft and operating in ports with limited infra-
GFS role. This should be done as soon as possi- structure. Coordinating the design of the new
ble—if not sooner. After the first station ship is GFS station ship with an understanding of future
modified and in service, testing can begin to operations with patrol boats or corvettes is cru-
identify improvements preparatory to either cial for the USN. Finally, careful examination of
buying/leasing more or acquiring new purpose- foreign designs is mandated. As one example,
built hulls. This will ensure that the GFS station New Zealand apparently succeeded in building
ship is a cost-effective solution. their new multirole amphibious vessel Canter-
bury for about US$100 million.5 While the
THE IMPORTANCE OF COST resulting vessel is obviously an exercise in com-
Some have advocated that the USN should ac- promise, this achievement is still noteworthy and
cept or embrace the use of more expensive ships should provoke the desire for emulation, or at
(the specific ship type advocated varies with the least very careful examination. If the United
organizational interests of the commentator) for States can come anywhere close to such an
GFS. This is a good idea, it is maintained, be- achievement, there would seem to be a glittering
cause the then-apparent ‘‘need’’ for more ships possibility before us. Perhaps the USN can ob-
would help justify a larger force structure than tain (build or lease and modify) a set of
currently called for by USN force structure extremely efficient, flexible, and adaptable GFS
plans. It is emphatically argued here that such station ship platforms at a price low enough that
approaches are doomed to failure. As we can all it would help solve the USN shipbuilding crisis
see, the Navy is currently having the greatest by offloading the need to support GFS from
difficulty funding the 313-ship Navy—we are other platforms that are better reserved for more
currently at about 280 ships—and there seems stressing tasks.
little prospect of relief in upcoming years. The
fiscal constraints that are becoming so apparent 5
CDR Mark Worsfold, Royal New Zealand Navy. Inter-
at this time (early 2009) will surely prevent view by authors. West Bethesda, MD, July 1, 2008.

Date : Wed, 18 Mar 2015 06:47:57 IP : 103.27.8.45
Acknowledgments Marine Corps, United States Navy, and United States
We are indebted to many people for sharing their Coast Guard.’’ October 2007.
thoughts with us, including CAPT (ret’d) Wayne Cox, G. and S. Potashnik, Next-generation navy green
Hughes of the Naval Postgraduate School; NPS water craft, CNA, Alexandria, VA, 2007.
systems engineering group SEA-12 (led by
Daly, M., Presence and character of APS impact on host
LCDR Nagel Sullivan and LCDR John Mon-
nation attitudes: a quick-look assessment of Ghana and
tonye); the CNO’s Strategic Study Group, Navy
Cameroon, CNA, Alexandria, VA, 2008.
Warfare Development Command’s GFS and
Seabasing CONOPS leads (CDR Mark Becker Federal News Service. Department of defense bloggers
and LTCOL (ret’d) Frank Pugh); the CO and roundtable with Captain Frank Ponds, Commodore,
USS Kearsarge, October 28, 2008.
XO of HSV 2 Swift, CDR Rob Morrison and
LCDR Philip Pournelle; CDR Michael Junge, Gonazalez, I.M., Impact of the Global Fleet Station (GFS)
CO of LSD 41 Whidbey Island; CAPT Joseph 2007 deployment of the High Speed Vessel-2 (HSV-2)
Vojvodich and CDR Peter Hatch of the USCG Swift, CNA, Alexandria, VA, 2008.
(former CO and XO of Gentian); and Commo- Howard, S. ‘‘CISD design summary for the Global Fleet
dore David Anson and CDR Mark Worsfold of Station, Station Ship Concept Design: Thunderer 4.’’
the Royal New Zealand Navy, who were kind Naval Surface Warfare Center Carderock Division,
enough to brief us on the capabilities of HMNZS Center for Innovation in Ship Design, January 2008.
Canterbury. There are many others who helped Available at http://chl.erdc.usace.army.mil/Media/
as well; thanks to you all! 1/4/3/Port%20Study%20for%20Symposium%20%20
Williams.ppt.
Hughes, W.P., Jr., ‘‘A bimodal force for the national
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Date : Wed, 18 Mar 2015 06:47:57 IP : 103.27.8.45
TECHNICAL PAPER
High-Level Methodologies to
Evaluate Naval Task Groups
& Randy Martens and Mark Rempel
Abstract
Defense organizations within many nations (e.g., United States and Canada), use capability-based
planning (CBP) to guide their force development processes. A key element of the CBP process is
testing current and proposed capabilities against force planning scenarios, particularly for asset
evaluation. This analysis involves a wide range of capabilities, and thus is a multicriteria problem.
Comparison of alternatives using multiple criteria is challenging, and often is assisted by aggregation
techniques. Set in a naval context, this paper presents three high-level capability aggregation tech-
niques: the vector method, star plot method, and wedge method. Each method aggregates naval task
group capabilities, with respect to a scenario, into three quantifiable measures: effectiveness, un-
matched, and unused. As with numerous techniques, the effectiveness gauges the ability of a task
group to meet a set of scenario requirements. The unmatched and unused measures yield insight into
capability gaps, which is an important aspect of CBP. The unmatched metric measures scenario re-
quirements that are not provided by a task group and the unused metric measures task group
capabilities that are not required by a scenario. An application of the methods is presented, including
a discussion of their strengths and weaknesses. Based on this work, it is concluded that the vector
method is the best of the three presented.
Introduction defense planning. These include threat-based

Defense planning, the overarching process that planning (Bakken 2003), knowledge value as-
links defense policy with force structure, is a sessment and real options (Rios et al. 2006), and
complex endeavor for any modern defense or- capability-based planning (CBP) (Bakken 2003;
ganization. A key component within this TTCP TP 3 2005; Kerzner 2006). A planning
overarching process is long-term defense plan- paradigm that has gained popularity in recent
ning, whose focus is shaping the future defense years is CBP.
forces. Long-term defense planning, as described
in the NATO Long-Term Defence Planning CBP, which was developed as an alternative to
Handbook (Bakken 2003), involves several in- threat-based planning, attempts to provide a
terrelated steps: scenario development, transparent and coherent approach to balancing
evaluating the effectiveness of force packages the investment of capabilities across a defense
(e.g., naval task group), force package costing, organization. The generic CBP process includes
concurrency analysis, and risk/cost trade-off multiple steps, similar to those described in the
analysis. There are several defense planning par- NATO Long-Term Defence Planning Handbook
adigms that may be used to implement long-term (Bakken 2003). For example, determination of

DOI: 10.1111/j.1559-3584.2010.00264.x
Date : Wed, 18 Mar 2015 06:48:01 IP : 103.27.8.45
High-Level Methodologies
the importance of capabilities within scenarios, themselves (Steuer 1989). Without knowledge of
evaluation of force package options within sce- this function, it is not apparent that aggregating
narios, determination of capability gaps, and the information is always the best practice (Mayne
development of options to address identified 1967; Feuchter 2000). However, this often is the
gaps (TTCP TP 3 2005). While each component case, as it is simpler for a decision maker to
within CBP is nontrivial, the evaluation of force evaluate options using a reduced number of
package options within scenarios is vital, given metrics. Several examples, set within a naval
many defense organizations have limited context, exist within the Canadian defense com-
resources and budgets. This evaluation includes munity and the open literature. Chouinard and
two components: effectiveness and cost. Baker (1994) proposed two weighting models
However, depending upon the CBP instantiation that combine measures of effectiveness: one
used, the type and depth of analysis performed for a platform (calculating an overall platform
varies. As an example, the Bulgarian CBP effectiveness), and one for combining platform
instantiation (Hristov et al. 2010), which uses effectiveness values into task group effective-
the analytical hierarchy process, does not ness. Rains (1999) proposed a weighting model
include costing information during the to aggregate measures of a task group over
prioritization of their capability gaps. In a multiple scenarios. Although not an aggregation
similar fashion, the Canadian instantiation method itself, Hootman and Whitcomb (2005)
does not perform cost analysis during the proposed a framework to perform military
evaluation of existing and programmed force effectiveness analyses and design trade-off deci-
structure to determine capability gaps. sions. While other multicriteria decision analysis
However, it does perform this analysis (MCDA) methods exist, such as the analytical
during the evaluation of options to hierarchy process (Bouyssou et al. 2006), the
address capability gaps. As a comparison, Goodwin and Wright (2001) approach, or the
the NATO JDARTS instantiation evaluates consensus ranking tau-x method (Emond and
cost of existing and programmed force Mason 2002), in general these methods do not
structure, as well as options to address capability provide the ability to analyze capability gaps or
gaps. have shown to be difficult to use with a large
number of options.
Within a naval scenario, assets, such as surface
combatants, maritime air, and subsurface plat- As an example, Emond and Mason’s solution of
forms are typically deployed as components solving the consensus ranking problem does not
of a task group (i.e., force package) rather than allow for the specification of how much better
independently. Thus, a naval task group brings a one task group is over the other with respect to a
breadth of capabilities to a scenario, such as particular capability (they are only ranked). The
Command and Control, Endurance, and Anti- result of such a method produces a single rank-
surface Warfare capability. Given the shift ing of the task group alternatives, with a
toward CBP and the subsequent requirement to measure of how much better one group is over
identify capability gaps, the operational research the next group in the ranking (i.e., the top
community within the Canadian Defense ranked group cannot be compared with the third
Department has identified naval task group ranked group). In addition to this weakness, it
effectiveness analysis as an area of interest cannot be used to determine a shortfall or an
(Emond et al. 2005). excess of capability.
A decision maker’s utility function, which is As a second example, Montibeller et al. (2006)
their internal method for combining multiple applied the Goodwin and Wright methodology
criteria into a single measure, is generally not to scenario planning within two case studies.
known by an analyst or the decision maker The task group problem can be fit into this

Date : Wed, 18 Mar 2015 06:48:01 IP : 103.27.8.45
methodology if the various task groups are system characteristic (e.g., endur-
seen as different strategies and the capability ance, detection range, etc.).
assessments are viewed as the various scenarios. Measure of A measure of how well a task is
It was noted by Montibeller and colleagues effectiveness performed.
that this approach does not perform well in
cases where there is not a dominating option Given these definitions, a task group capability
(i.e., task group). A second issue that was is a measure of performance (e.g., task group
noted was decision makers had difficulty endurance 5 x km) and a task group capability
providing preference information, such as with respect to a scenario requirement is a mea-
criteria weights and options preferences, when a sure of effectiveness (e.g., [task group
large number of options were involved. It has endurance 5 x km]/[scenario endurance require-
also been noted elsewhere that in general MCDA ment 5 y km]). Therefore, a capability may be a
approaches work well when the number of pairs physical measurement (e.g., endurance, number
is under 10 (Miller 1956; Hootman and of helicopters, etc.) or may be assigned by sub-
Whitcomb 2005). Typically sized exercises will ject matter experts (e.g., task group capability i
contain task group/capability assessment pair is equivalent to 0.5 of the best version of that
numbers that will exceed that number by an or- capability that may be purchased/developed).
der of magnitude.
Given these weaknesses, three high-level capa- Vector Method

bility aggregation techniques are presented that Systems are often evaluated using multiple met-
quantify the effectiveness and capability gaps of rics. Recently, Farrell (2005) proposed a vector
a naval task group within a scenario. This is fol- algebra-based method to aggregate multiple sys-
lowed by an application of each aggregation tem metrics into an overall measure of
method to a set of task group options in a peace effectiveness. His work, designed for survey
support scenario. A discussion of the relative analysis, describes an individual’s responses as a
strengths and weaknesses of each method fol- vector, where each element is an answer to a
lows. This paper concludes with single survey question. A second vector, repre-
recommendations regarding the application of senting ideal answers, is created and the
each method presented. It should be noted that projection of an individual’s vector on the ideal
while a naval task group’s cost is an important vector represents their agreement with the set of
component of its evaluation, this analysis is be- ideal answers. Although designed for survey
yond the scope of this paper. analysis, these concepts may be extended to
gauge the effectiveness and capability gaps of a
Methodology naval task group in a scenario.
This section describes three aggregation meth-
ods, within the context of CBP, for evaluating A key assumption in the method described above
the effectiveness and capability gaps of naval is that each question is orthogonal (i.e., each
task groups within a scenario. The definition question is independent, thus each survey ques-
of a capability, measure of performance, and tion does not influence any other question).
measure of effectiveness within this paper are Thus, in a naval task group context, where
given as (Burton et al. 2005; Feuchter 2000): questions are replaced by capabilities, it must be
assumed that the capabilities are orthogonal in
Capability A particular ability that contrib- order to use a vector algebra-based method.
utes to the performance of a task. However, this is generally not the case as task
Measure of An input to the determination of a group capabilities often influence each other
performance measure of effectiveness and typi- (e.g., Command and Control and Antisurface
cally a quantitative measure of a Warfare). The degree of influence is generally

Date : Wed, 18 Mar 2015 06:48:01 IP : 103.27.8.45
not quantifiable, and thus as a simplification is not required by a scenario then its weight is
it is assumed that task group capabilities are or- zero. These weights reflect the importance of
thogonal. their associated capability within a scenario. An
example of how these importance weights may
Given a task group that provides a set of capabil- be assigned is described in Blakeney et al.
ities CT and a scenario that requires a set of (2008). In their work, which is used within the
capabilities CS, where CT and CS are nondisjoint Canadian CBP instantiation (Rempel 2010),
sets (i.e., if the sets are disjoint then a task group they describe a methodology in which subject
does not provide any capabilities required by a matter experts quantify the importance of a ca-
scenario and the effectiveness of the task group is pability within a scenario based upon its
zero), the total set of capabilities of interest C is required frequency and its consequence if the
given as the union of the two sets. As stated pre- capability cannot be generated.
viously it is assumed each capability in C is
orthogonal to the remaining capabilities, and The effectiveness of a task group with respect to
!
subsequently a task group vector T , where each a scenario is described by the component of the
component ti represents the amount of a capabil- task group vector parallel to the scenario vector.
ity provided, may be formed as However, task group capabilities may be of
( ) varying units of measure, and may exceed or not
! X n
T ¼ ti jti 0; tj 40; 1 i n ð1Þ be required by a scenario. Before determining
j¼1 the effectiveness of a task group its capabilities
where n is the number of capabilities in the set C. must be normalized. The normalized task group
The first defining property ensures that capability and scenario capabilities are given as
values are nonnegative and the second defining 8
property ensures that at least one capability is as- < 1 if
> ti 4si
t
signed a positive value. Any capability in the set C, ti0 ¼ sii if 0oti si ð4Þ
>
:
but not in CT, should be set to zero. Similarly, a 0 if ti ¼ 0
!
scenario vector S , where each component si rep-
resents the amount of a capability required, may
be formed as 1 if si 40
s0i ¼ ð5Þ
( ) 0 otherwise
! Xn
S ¼ si jsi 0; sj 40; 1 i n ð2Þ where equation (4) limits the normalized task
j¼1
group capabilities between zero and one and
where the defining properties are similar to those equation (5) sets the normalized required sce-
in equation (1). Similar to the task group vector, nario capabilities to one. The effectiveness of the
any capability that is in C, but not in CS, should be task group is then given as (Kreyszig 1993)
set to zero. It should be noted that corresponding
capabilities within the task group vector and sce- !0 ! !0 !
ðT W Þ ð S W Þ
nario vector must use the same scale. Each E¼ !0 !2

capability in the set C may be assigned a weight S W
ð6Þ
wi, forming a capability weight vector given as Pn 0 0 2
j¼1 tj sj wj
( ¼ Pn 2
! Xn 0
j¼1 ðsj wj Þ
W ¼ wi jwi 0; wj 40;
j¼1 ð3Þ !0 !0
where T and S are the normalized task group
wi ¼ 0 if si ¼ 0; 1 i ng and scenario vectors, respectively. The ‘‘1’’ oper-
where the first and second defining properties ation is the Hadamard product, which is an
are similar to those in equations (1) and (2). The element-wise multiplication of two vectors, and
third defining property states that if a capability the ‘‘ ’’ is the dot product of two vectors.

Date : Wed, 18 Mar 2015 06:48:01 IP : 103.27.8.45
While the effectiveness of a task group is a sim- In a similar manner, the unused capability
ple concept, gaps are more difficult to only consists of the portions of a task group’s
comprehend. A gap may be separated into un- capabilities that are greater than those required
matched and unused capability, where by a scenario. The unused capability is com-
unmatched capability is defined as the capability prised of two elements, the capabilities that
required by a scenario that is not provided by a exceed those required by a scenario and the ca-
task group and unused capability is the capabil- pabilities provided by a task group that are not
ity provided by a task group that is not required required by the scenario. The unused capability
!0
by a scenario. The normalized capabilities T is given as
! 0
and S do not capture the unmatched and sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ffi
X 2
unused portions of the capabilities accurately, Uunused ¼
wj ð1 tj Þ þjU3 j ð10Þ
thus a new normalization is required. j2U2
The new normalization is given as where U2 ¼ fjjtj 4sj ; sj 40; wj 40g and
8 U3 ¼ fjjtj 40; sj ¼ 0; wj ¼ 0g. The term U2 is
< 1 if ti 40 and si ¼ 0
>
t the set of capability indices where the amount of
ti ¼ sii if ti 40 and si 40 ð7Þ
>
: capability provided by the task group is greater
0 if ti ¼ 0
than that required by the scenario. The term U3
is the set of capability indices where the capabil-
1 if si 40
si ¼ ð8Þ ity is not required by the scenario. The second
0 if si ¼ 0
term in the above equation is the cardinality of
where equation (7) normalizes a task group ca- the set U3. The cardinality of the set is used be-
pability to one if it is not required by the cause these capabilities are not required by the
scenario, normalizes it to the scenario if it is re- scenario and thus there is nothing to compare
quired, and sets it to zero if it is not provided by them to. The effectiveness and unmatched met-
the task group. Equation (8) sets the normalized rics are normalized to the scenario; however, the
required scenario capabilities to one. unused metric is not. This is due to there being
no consistent upper bound on unused capability.
The unmatched capability consists of the re-
quired scenario capabilities that are not fully An example is shown in Table 1, where capability
provided by a task group (i.e., the task group one and five are measured in physical quantities
capabilities that do not exceed those required by (e.g., range, number of helicopters) and the re-
the scenario) and is given as mainder are determined through subject matter
P experts. For the set of capabilities for task group
2
j2U1 w j ð1 tj Þ %
Uunmatched ¼ P ð9Þ 1 given the scenario shown, capabilities three

w 2
j2U1 j and six will contribute to the unmatched metric
where U1 is the set of capability indices given as and the remaining capabilities will contribute to
U1 ¼ fijti osi ; wi 40g. This metric may also be the unused metric. Thus, the effectiveness of task
simply stated as 1 E. group 1 is 0.9107, the unmatched metric is
TABLE 1: Vector Method Example

Capability
Task Group 1 2 3 4 5 6 Effectiveness Unmatched Unused
1 1,900 0.6 0.5 0.9 4 0.6 0.9107 0.0893 0.9285
2 1,000 0.8 0.2 0.7 2 0.6 0.7281 0.2719 0.7211
3 1,700 0.6 0.4 0.3 3 0.2 0.7369 0.2631 0.2403
4 2,200 0.7 0.5 0.7 1 0.6 0.7996 0.2004 0.7333
Scenario 1,500 0.5 0.7 0.5 3 0.8
Weight 1 1 1 1 1 1

Date : Wed, 18 Mar 2015 06:48:01 IP : 103.27.8.45
0.0893 and the unused metric is 0.9285. It The normalized task group capabilities are plot-
should be noted that the effectiveness and un- ted radially from a common center and adjacent
matched may be interpreted as a percentage, points are connected with a straight line. The
while the unused metric may not be. same is done for the normalized scenario capa-
bilities. Thus, a task group polygon and a
The example shown in Table 1, particularly task scenario polygon are created, and the intersec-
groups 2 and 3, demonstrates the value of the tion of the polygons creates three regions: the
unused metric. Using an aggregation technique matched region of the task group polygon that
that only determines effectiveness, one might intersects the scenario polygon, the unmatched
conclude that task groups 2 and 3 are equivalent. region of the scenario polygon that does not in-
However, the unused metric clearly shows they tersect the task group polygon, and the unused
differ with task group 2 having a greater amount region of the task group that does not intersect
of unused capability. Thus, a decision maker the scenario polygon. An example is shown in
may select a task group for a given scenario in a Figure 1(a) for the task group one and scenario
nondominated sense using the objectives of data shown in Table 1.
maximizing effectiveness and minimizing the
unused metric. It should be noted that the un- The effectiveness, unmatched, and unused met-
matched metric is not used in the nondominated rics may be calculated as ratios of the regions of
comparison as it is simply 1 E, and thus pro- the task group and scenario polygons. The ratios
vides no additional information to the are given as
nondominated comparison. AðSp \ Tp Þ
E¼ ð13Þ
AðSp Þ
Star Plot Method

The second method presented in this paper is an A Sp Sp \ Tp
extended star plot method, which is a graphical Uunmatched ¼ ð14Þ
AðSp Þ
method of portraying multivariate data. The ex-

tension described in this work provides the AðTp Sp \ Tp Þ
Uunused ¼ ð15Þ
ability to determine the effectiveness, un- AðTp Þ
matched, and unused metrics based upon where Sp is the scenario polygon, Tp is the task
normalized task group and scenario capabilities. group polygon, the operation \ determines the
!
Given a task group vector T , a scenario vector intersection of two polygons, and the function A
! !
S , and a weight vector W (see equations [1]– calculates the area of a polygon. The unmatched
[3]) the normalized capabilities are given as metric may also be expressed as 1 E.
8
> 1 if tj 40 and sj ¼ 0 The ordering of the capabilities determines the
<
tj wj
tj0 ¼ sj if tj 40 and sj 40 ð11Þ shape of the polygons, as shown in Figure 1(b),
>
:
0 if tj ¼ 0 and not only affects a decision maker’s ability to
discriminate between features (Friendly and
Kwan 2003), but also the values of the metrics.
wj if sj 40
s0j ¼ ð12Þ These permutations thus result in a distribution
0 sj ¼ 0
for each metric, with the number of permuta-
where equation (11) normalizes a task group cations growing as a factorial of the number of
pability to one if it is not required by the capabilities. Although it quickly becomes infea-
scenario, normalizes it to the scenario if it is re- sible to compute all permutations, sampling the
quired, and sets it to zero if it is not provided by distribution yields insight into the variability of
the task group. Equation (12) sets the normal- the metrics due to the permutations. Subse-
ized required scenario capabilities to the quently, a box-and-whisker plot (Mann 1998)
associated capability weight. may be used to visually inspect the distributions.

Date : Wed, 18 Mar 2015 06:48:01 IP : 103.27.8.45
A box-and-whisker plot is a graphic presenta- a 3 Figure 1: Star Plots
2
Scenario of Task Group 1 and
tion of data using five measures: the median, the TaskGroup Scenario Capabilities
first quartile, the third quartile, and the smallest in Table 1. (a) Capabil-
and largest values in the sample data set. Figure ities ordered 1-2-3-4-5-
Unused 6 counter-clockwise.
2(a) shows the box plots of the effectiveness (b) Capabilities or-
metric for 720 permutations of the four task dered 1-5-4-2-6-3
counter-clockwise.
group capability sets given in Table 1. Figure
4 1
2(a) shows that task groups 1 and 4 have the first
and second highest effectiveness, respectively.
The effectiveness distributions of task groups 2
Effectiveness
and 3 show a degree of overlap. The distribu-
tions in this example represent the entire
Unmatched
population, however, when the distributions are
sample populations hypothesis testing may be 5 6
used to determine if the means are equivalent.
The difference between the means of task groups
b 4 5
2 and 3 is calculated as
!
E2 E3
d ¼ 100 E þE ð16Þ
2 3
2
which is 5.6%. This small difference requires the

use of a second metric to aid the decision maker
with ranking the two options. Figure 2(b) shows 2 1
a scatter plot of the effectiveness versus unused
metrics. This plot shows the trade-off between
Unused
task groups 2 and 3, which task group 2 has a Effectiveness
marginally higher effectiveness but a larger un-

Unmatched
used metric than task group 3.
6 3
Wedge Method

The third method described is the wedge meth- 1 if sj 40
s0j ¼ ð18Þ
od, which is a variant of the star plot method for 0 if sj ¼ 0
displaying multivariate data. The primary
difference between the two methods is rather where equation (17) normalizes a task group
than representing each capability as a radial line capability to one if it is not required by the
from a common center, each capability is repre- scenario, normalizes it to the scenario if it is re-
sented as a wedge of a circle. Using this plot, as quired, and sets it to zero if it not provided by the
with the star plot method, the effectiveness, un- task group. Equation (18) sets the normalized
matched, and unused metrics of a task group required scenario capabilities to one.
may be calculated with respect to a scenario.
!
Given a task group vector T , a scenario vector The normalized task group capabilities are plot-
! !
S , and a weight vector W (see equations [1]– ted as wedges of a circle. The same is done for
[3]) the normalized capabilities are given as the normalized scenario capabilities. Thus, sim-
8 ilar to the star plot method, interactions between
> 1 if tj 4sj
< the task group and scenario capability wedges
0 tj
tj ¼ sj if 0otj sj ð17Þ are created. These interactions create three re-
>
:
0 if tj ¼ 0 gions: the matched region of the task group

Date : Wed, 18 Mar 2015 06:48:01 IP : 103.27.8.45
Figure 2: Box- a The effectiveness, unmatched, and unused met-

and-Whisker and
rics may be calculated as ratios of the regions of
Scatter Plots for
Task Groups and the task group and scenario wedges. Given that
Scenario Capabilities the area of a single wedge is A ¼ 12r2 y, where r is
in Table 1. (a) Box-
and-whisker plot the radius of a wedge (normalized capability)
of the effectiveness and y is the angle of the wedge, the effectiveness
metric for the task
groups and scenario of a task group with respect to a scenario is given
in Table 1. (b) Scatter as
plot of the effective-
ness and unused
1 X Atj
metric for the task E ¼P wj
groups and scenario wj j2U
j2U1 Asj
1
in Table 1.
X ð19Þ
1 2
¼P wj t 0 j
j2U1 wj j2U 1
b
Atj
where is the area of the task group wedge for
capability j, Asj is the area of the scenario wedge
for capability j, and U1 ¼ fjjsj 40g.
As with the vector method, the normalized ca-

pabilities described in equations (17) and (18) do
not capture the unmatched and unused portions
of the capabilities accurately. To calculate the
unmatched and unused metrics a new normal-
ization is required and given as
8
> 1 if tj 40 and sj ¼ 0
<
t
tj ¼ sjj if tj 40 and sj 40 ð20Þ
wedges that intersect the scenario wedges, the >
:
0 if tj ¼ 0
unmatched region of the scenario wedges that do
not intersect the task group wedges, and the un-
1 if sj 40
used region of the task group wedges that do not sj ¼ ð21Þ
0 if sj ¼ 0
intersect the scenario wedges. An example is
shown in Figure 3 for the task group 1 and sce-
nario data shown in Table 1. The unmatched metric only consists of capabil-
ities required by the scenario that are not
provided by the task group and is given as
Figure 3: Wedge Unmatched 1 X
Method Uunmatched ¼ P wj Asj Atj
j2U2 wj j2U
2
Unused p X 2

2 ¼ P wj 1 tj
n j2U2 wj j2U
3 1 2
ð22Þ
4 6 where U2 ¼ fjjtj osj ; wj 40g. The term U2 is the
5 set of capability indices where the amount of ca-
pability required by the scenario is not fully
provided by the task group.
Effectiveness
In a similar manner, the unused capability only
consists of the portions of a task group’s capa-

Date : Wed, 18 Mar 2015 06:48:01 IP : 103.27.8.45
bilities that are greater than that required by a polar method due to that the capabilities are
scenario. The unused capability is comprised of squared in the wedge method. Where these
two elements, the capabilities that exceed those values may be interpreted as percentages in the
required by a scenario and the capabilities pro- previous two methods, the values computed
vided by a task group that are not required by using the wedge method may not be interpreted
the scenario. The unused metric for a task group as such.
is given as

! Example
1 X X
Uunused ¼ P wj Atj Asj þ Atj This section presents a more substantive appli-
j2U3 wj j2U
3 j2U4 cation of the methods described, to a fictitious
! maritime scenario that involves a peace support
p X p
¼ P wj tj2 1 þ jU4 j operation. The operation requires creating and
n j2U3 wj j2U
n
3
maintaining a stable, peaceful, and secure envi-
ð23Þ ronment. The values for the capabilities required
where U3 ¼ fjjtj 4sj ; sj 40; wj 40g and by this scenario and their associated weights
U4 ¼ fjjtj 40; sj ¼ 0; wj ¼ 0g. The term U3 is (i.e., the weights reflect the importance of the
the set of capability indices where the amount of capabilities) are shown in Table 2. Also shown
capability provided by the task group is greater are the capability levels supplied by a handful of
than that required by the scenario and U4 is the task groups, where the elements of the task
set of capabilities where the capabilities are not group are indicated at the top of the table. It
required by the scenario. should be noted that the numbers in Table 2 are
fictional and do not reflect the capability levels
As an example application for task group 1 and of any actual scenario or any actual assets. The
the scenario shown in Table 1, the effectiveness scale of the numbers is from 1 (lowest) to 10
metric is 0.8455, the unmatched metric is (highest), which may be assigned by subject
0.2428, and the unused metric is 0.5317. matter experts. A value of zero indicates that the
It should be noted that the effectiveness and capability is not required by the scenario or pro-
unmatched metrics differ from the vector and vided by a task group.
TABLE 2: Peace Support Operation—Required Capabilities and Those Provided by a

Set of Task Groups
Scenario Task Groups
Required (A) Destroyer (B) Destroyer (C) Destroyer (D) Frigate (E) Patrol
Capability Level Weight Frigate Oiler Oiler Frigate Oiler Oiler
Command and Control 10 4 10 10 10 6 3
Communication 10 1 10 10 10 6 3
Intelligence 10 1 10 10 10 6 3
Surveillance 10 1 9 9 9 9 6
Reconnaissance 10 1 9 6 9 9 5
Antisurface Warfare 8 1 8 5 8 8 2
Antiair Warfare 8 1 8 8 8 5 3
Antisubmarine Warfare 5 1 8 5 8 8 3
Mine Warfare 0 0 1 1 1 1 5
Interdiction 10 1 7 7 7 7 7
Joint Fires 5 1 5 5 5 5 2
Littoral Operations 8 1 6 6 6 6 6
Organic Air Support 10 2 5 5 5 5 1
Endurance 10 1 10 10 5 10 10
Survivability 5 1 5 5 5 5 4
Sustainment 5 4 10 10 3 10 10

Date : Wed, 18 Mar 2015 06:48:01 IP : 103.27.8.45
The capabilities listed in Table 2 are generic and The task groups are ranked by effectiveness,
can be considered common to navies in general. with unused capability available as a tiebreaker.
But to avoid any misunderstanding, a brief de- Three important conclusions can be reached
scription of each capability is now given (Eisler upon examination of the results. One, the capa-
et al. 2009). It is understood that these capabilities bility set of a destroyer with an oil replenishment
are collective, and embody many more specific ship (B) is significantly more effective than that
capabilities. Command and Control is the exercise of a frigate with an oiler (D) in this scenario.
of authority and direction over assigned forces. This indicates a destroyer provides capabilities
Communication and Intelligence is the convey- that are required in this scenario. Two, a com-
ance and processing of information. Surveillance parison of task groups (A) and (C) shows that
and Reconnaissance is the observation of persons, the capabilities of an oiler are also required in
places, or things; the former being a systematic the scenario. Three, a comparison of task groups
observation and the latter being a directed obser- (A) and (B) shows that the addition of a frigate’s
vation. Antisurface Warfare is warfare against capabilities to the destroyer/oiler combination
surface vessels. Antiair Warfare is warfare against produces a negligible increase in effectiveness.
airborne assets and weapons. Antisubmarine That subjective assessment (negligible) is based
Warfare is warfare against submarines (and their on the size of relative differences. For example,
weapons). Mine Warfare is the strategic and tac- the difference between task groups (A) and (B) is
tical use of mines and their countermeasures. 1.5%, which is much smaller than the 16.8%
Interdiction involves the disruption of enemy difference between (B) and (D). Naturally, the
supplies and support. Joint Fires is the ability to importance of the size of differences is some-
join fires in a coordinated effect, in support of the thing that is left to the decision makers
employment of forces. Littoral Operations is the evaluating the task groups.
ability to conduct operations in the complex
region near the shore. Organic Air Support is the When the star plot method is used to rank the
use of maritime helicopters and the control of task groups, the rankings are similar. Figure 4(a)
other onboard air assets. Endurance is the ability shows a box-and-whisker plot for the effective-
to travel long distances without requiring refuel- ness of the five task group options in Table 2,
ling, and increases mobility on a global scale. where 1,000 unique permutations have been
Survivability is the ability to maintain personnel, used. Task group (A) has the highest effective-
equipment, and resources, while under enemy ness, followed by (B). Hypothesis testing for
attack. Lastly, Sustainment is the ability to main- equivalency between (C) and (D) found that
tain the supply of material to the forces and to their means are statistically different, however,
respond to combat losses. using equation (16) their difference is 2.64%.
Subsequently, Figure 4(b) shows the difference
Using the vector method, the effectiveness, un- between the unused metrics of (C) and (D),
matched, and unused capability were calculated where (D) has a higher unused metric. This re-
for each task group and are shown in Table 3. sult agrees with what was found using the vector
TABLE 3: Vector Method Results

Task Group
Rank Label Destroyer Frigate Patrol Oiler Effectiveness Unmatched Unused
1 A 0.9427 0.0573 4.1665
2 B 0.9286 0.0714 4.1231
3 C 0.7990 0.2010 1.1662
4 D 0.7849 0.2151 4.1665
5 E 0.5786 0.4214 4.1231
Note: The dots represent the components of each Task Group. For example, Task Group A consists of a Destroyer, a
Frigate, and an Oiler.

Date : Wed, 18 Mar 2015 06:48:01 IP : 103.27.8.45
method. Given the marginal difference in effec- a Figure 4: Box-and-
Whisker and Scatter
tiveness and the lower unused metric, task group
Plots for the Task
(C) may be preferred over (D). Groups and Scenario
Capabilities in Table 2.
(a) Box-and-whisker
A comment should be made about the spread of plot for the effective-
the distributions in Figure 4(a). All the task ness metric for the
task groups and sce-
groups have a large range of effectiveness values. nario in Table 2. (b)
In fact, four of the five overlap at points between Scatter plot for the
effectiveness and un-
0.7 and 0.8 (i.e., 70% and 80%). It is therefore used metric for the
important when using this method to consider a task groups and sce-
nario in Table 2.
large enough number of permutations. Each
permutation will create another data point and
better characterize the distribution. This in turn,
allows for a better comparison between the task b
groups.
The values of the metrics calculated using the

vector and star plot methods clearly differ. In all
the five task groups, effectiveness values calcu-
lated using the vector method were higher than
the median values for the effectiveness metric of
the star plot method. However, it is the ranking
and the relative differences between the task
groups (for a given method) that is important. In
general, there is agreement between the two
methods regarding the ranking of these five task
groups.
methods are equivalent with respect to their
This example was also modelled using the wedge suitability for task group evaluation. For exam-
method. As Table 4 shows, the ranking from this ple, a weakness of the star plot method is the
method is identical to that reached by the other number of permutations that must be analyzed
two methods. Note that the differences between to evaluate a task group. Even considering a
the task groups’ metrics for this method are small subset takes an inordinate amount of time.
different than those obtained via the vector For the example shown in the previous section, a
method. This is because the metrics in the wedge year of execution time (on a PC with a 3 GHz
method are calculated by squaring the normal- Pentium 4) will consider only 1/1,000th of a
ized capability values. As a result, the linear percent of all possible permutations. Although
proportionality in the effectiveness values is lost, sampling will characterize the distribution to a
and the differences seen here between the task high degree of confidence, the variability of the
groups does not give a good idea of how much metrics is an undesirable complication. The
better one task group is over another. wedge method has an equally serious shortcom-
ing. The metrics are based on the area of a
Discussion circular wedge, which grows as a function of the
In the previous section a maritime peace support square of the capability. Thus, a doubling of ca-
scenario was analyzed using the three methods pability produces an increase of a factor of four
described in this paper. It was demonstrated that in the metric. The end result of which, is the loss
results produced across the three metrics were of meaningful differences in the values for a par-
consistent, however, this does not mean that the ticular metric of a task group. While the vector

Date : Wed, 18 Mar 2015 06:48:01 IP : 103.27.8.45
TABLE 4: Wedge Method Results

Task Group
Rank Label Destroyer Frigate Patrol Oiler Effectiveness Unmatched Unused
1 A 0.8715 0.0925 0.7288
2 B 0.8233 0.1090 0.7854
3 C 0.7210 0.1096 0.5027
4 D 0.6692 0.1099 0.7288
5 E 0.3903 0.1549 0.7854
Note: The dots represent the components of each Task Group. For example, Task Group A consists of a Destroyer, a
Frigate, and an Oiler.
method does not share these weaknesses, it does reach a capability level), and a return on invest-
share a shortcoming that is consistent across all ment (i.e., increased effectiveness) was done. In this
three methods. Each aggregation method pre- way, the methodologies presented in this paper
sented is compensatory due to that the methods may be extended to consider cost and the associ-
are based upon linear aggregation techniques. ated returns.
Thus, the weights (i.e., the importance of the ca-
pabilities within a scenario) within each method Conclusion
may be viewed as allowing a decision maker to This work investigated three high-level methods
trade-off capabilities between task groups. to evaluate naval task groups using CBP infor-
However, this is limited by the introduction of mation: the vector method, the star plot method,
the unused metric, which penalizes task groups if and the wedge method. Each method determines
they possess greater capability than is required the effectiveness, as well as unmatched and un-
by a scenario. Thus, the vector method is the used capability, for a task group given a scenario
most suitable of the three presented to evaluate with a set of required capabilities. An example
naval task groups. peace support operation scenario was presented,
and each method was used to rank prospective
The aggregation methods presented in this paper task group options by their effectiveness and
dealt with a single scenario. However, no single unused metrics. Although the methods provided
scenario is broad enough to cover all the capability similar rankings for the task group options, they
requirements of all possible scenarios or exercise differed greatly in their suitability. With the star
all capabilities that naval task groups possess. plot method, the ordering of the capabilities has
Thus, a portfolio of scenarios should be utilized to a direct effect on the metrics, resulting in addi-
determine the best naval task group or groups. tional computational time to consider just a
portion of the many permutations. The wedge
The methods presented in this paper did not focus method also has its problems, with its metric
on cost, however, cost analysis can be incorporated growing as a function of the square of the capa-
into any of the three methods. In a recent Defence bility. The result of which is meaningless
Research and Development report (Martens 2009), differences in the effectiveness metric (i.e., deci-
cost analysis was integrated with the vector meth- sion makers need to see how much better one
od to discover which capabilities had the greatest task group is over the other). The vector method,
impact in meeting scenario requirements. In other which presents neither of these issues, was se-
words, if there was a deficiency in those capabili- lected as the preferred high-level method
ties, the likelihood of mission success was much evaluated in this work.
more greatly diminished than an equivalent defi-
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Farrell, P., ‘‘Calculating effectiveness with bi-polar scales Rains, D., ‘‘Fleet mix mission effectiveness analysis,’’
and vector algebra,’’ DRDC Toronto Technical Report TR Naval Engineers Journal, Vol. 111, No. 1, pp. 65–81,
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standing the nature of analysis, Office of Aerospace decision-making process for the Canadian forces,’’
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TTCP Technical Panel 3, ‘‘Guide to capability based Mark Rempel holds a MSc in experimental
planning,’’ Technical report, The Technical Cooperation condensed matter physics (2003), a BSc in
Panel Joint Systems and Analysis Technical Panel 3, 2005. engineering physics (1999), and a BSc in com-
puter science (1999) from the University of
Saskatchewan. Since 2003 he has been at the
Author Biographies Centre for Operational Research and Analysis at
Randy Martens holds a PhD in Mechanical Defence Research and Development Canada in
Engineering from the University of Manitoba in Ottawa, Canada. His current research interests
the area of Operations Research. He is currently include capability based planning, force struc-
a Defence Scientist at the Centre for Operational ture modelling, and the application of
Research and Analysis at Defence Research and optimization techniques to military capability
Development Canada in Ottawa, Canada. management.

Date : Wed, 18 Mar 2015 06:48:01 IP : 103.27.8.45
TECHNICAL PAPER
Nomenclature:
Reduction of Amphibious Vehicle AM: Cross section of the
model
Resistance and Bow Swamping AT: Cross section of the

towing tank
B: Beam
by Fitting a Wave Cancellation b: Width of the plate
Bow Plate g: Acceleration of gravity

h: Height of the bow plate
Iyy: Waterplane moment
& Robert Latorre and Julio Arana
of inertia about center of
floatation
Abstract L: Length on waterline

Amphibious vehicles and other blunt-shaped floating vehicles encounter the problem of a large bow l: Heave (potentiometers)
wave forming at high speeds. This wave formation is accompanied by higher resistance and at a separation distance
critical speed results in bow submergence or swamping. A 1/4 scale model of a tracked amphibious Fn: Froude number
vehicle was tested at speeds corresponding to 3–7 km/h full scale to investigate the phenomena. The MT1: Moment to trim 1 inch
experiment showed that at speeds of 5–6 km/h, there is a significant increase in the trim by the bow.
R: Resistance
The vehicle’s ‘‘breakwater’’ plate was able to break up this wave and avoid swamping. Comparative
tests with the vehicle fitted with the wave cancellation bow plate showed that this bow plate reduced T: Draft
the bow wave formation and achieved a 10% reduction in the towing resistance. The wave cancel- V: Speed
lation bow plate can reduce the vehicle’s power and extend its amphibious operating range or W,D: Vehicle weight, dis-
increase its amphibious speed. placement
x: Bow plate distance ahead
of the vessel bow
z: Bow plate submergence
Introduction land and water by changing the speed of either Zf: Heave forward
The development of landing craft and amphibi- track. Za: Heave aft
ous vehicles has a long history beginning in r: Volumetric displacement
WWII with the Higgins LCVP (Haddock and Designed for air transport, the M113 is compact
y: Trim angle
Latorre 1995) extending to the 35 kt hydrofoil, and lightweight. It has weight saving aluminum
l: Scale factor
LVH (Carl 1965), and the 70 kt aircushion armor plate. The M113 dimensions are 4.86 m Subscripts:
LCAC (Alexander and Alexander 1963) used long2.686 m wide1.85 m high. At its weight
S: Full scale
today. of 11,253 kg, it has an amphibious draft of 1.3 m
M: Model
(Table 1). The box-shaped hull results in a length
Included in this group are the M59 Amphibious to beam ratio L/B 5 1.80 and a beam to draft
Personnel Carrier and the air-transportable ratio B/T 5 2.12.
M113 Amphibious Personal Carrier introduced
in 1960. By 2000, Over 76,000 M113 Research on work barges, jack-up platforms,
variants were built (Foss 2003). The M113 is a and lift boat crane vessels conducted by the first
tracked vehicle powered by an eight-cylinder author (Latorre 2004) has shown that when
215 hp engine. In the amphibious operation, the vessels with blunt bows, small L/B, and
M113 operates at 5.8 km/h (3.13 kt), and on B/T ratios move at a moderate speed, they create
land, it reaches speeds of 64 km/h. It steers on a large bow wave that sets up a negative

DOI: 10.1111/j.1559-3584.2010.00265.x Delivered by Ingenta to: American Society of Naval Engineers Members
Date : Wed, 18 Mar 2015 06:48:06 IP : 103.27.8.45
Reduction of Amphibious Vehicle Resistance and Bow Swamping
TABLE 1: M113 and AV-I Particulars bow, and ultimately reduced resistance. The
simplest wave generator was selected, namely, a
Dimensional Properties Model AV-I M113
vertical plate fixed a distance x ahead of the ve-
Length (L) (m) 1.215 4.86
Length on the waterline (m) 1.02 4.08 hicle bow with its lower edge immersed a
Beam (B) (m) 0.67 2.68 distance z below the still water free surface.
Draft (T) (m) 0.325 1.3 Comparative resistance tests were completed for
Displacement (D) (kg) 186 11,253 a 1/25 (l 5 25) scale model liftboat crane vessel
l 4
LCG from ap (m) 0.6075 2.43 with and without this bow plate. These test
VCG (m) 0.2 0.8 showed that fitting the bow plate effectively
Length between load cells (m) 0.88 reduced the bow wave, the trim by the bow, and
Required to operate at draft.
achieved a 10–15% reduction in the liftboat
LCG, longitudinal center of gravity; VCG, vertical center of resistance (Latorre 2004)
gravity.
As the M113 amphibious operation vehicle par-
ticulars falls within the jackup/liftboat L/B and
(downward) pressure at the bow. As these vessels
B/T values, it was decided to perform compara-
generally have a small L/B, their longitudinal
tive tests with/without the wave cancellation
waterplane moment of inertia Iyy and their mo-
plate on a simplified 1/4 scale (l 5 4) model AV-I.
ment to trim 1 inch MT1 are small (Gillmer and
The results presented in this paper show that fit-
Johnson 1982)
ting the wave cancellation bow plate results in a
Iyy waterplane significant reduction in the bow wave, bow down
MT1 ¼ ð1Þ
rvolume trim, and a 10-17% reduction in the resistance.
The consequence of this small MT1 is that these AmphibiousVehicle Model AV-I
vehicles trim by the bow at moderate speeds Development
(Ando 1975, Latorre and Ashcroft 1981) and at The amphibious vehicle AV-I is a simplified
higher speeds swamp by bow immersion. Over ‘‘solid model’’ of the M113. For comparative
the years, a number of antitrim devices have been resistance tests of boxed shaped models, it is
introduced to reduce trim by the bow and bow necessary to avoid flow blockage. This requires
swamping. These devices include stern counter that the ratio of the model cross section area AM
weights, joining with other vehicles to increase to the tank cross section area AT is below 0.04
MT1, as well as mounting a lift-producing sub- i.e. AM/AT o 0.04. The UNO tank has a length
merged hydrofoil in front of the vehicle. The of 38.1 m and cross section area AT 5 9.73 m2 5
M113’s amphibious operating speed 5.8 km/h is 4.57m 2.13 m. A ¼ scale model l 5 4 was
below the swamping speed. Nevertheless, its selected. This gives a model cross section of
front is slanted backward to reduce the bow wave BT 5 0.3548 m2 5 1.215 m x 0.348 m. The
formation and it has a hinged ‘‘breakwater’’ plate blockage ratio AM/AT 5 0.0355 o 0.04 re-
that is fixed upright during the amphibious oper- quired. Model AV-I and M113 particulars are
ation to keep out the sea and spray. summarized in Table 1.
The development of a new anti-trim device is Model AV-I was built using 1.27 cm plywood
presented here. To reduce the trim by the bow, sheets. For simplification, model AV-I tracks and
wave cancellation of the bow wave is created by wheel assembly were made solid giving the
a vertical plate set ahead of the actual bow. The straight-line profile shown in Figures 1–3.
position of the plate is set so the wave trough
from the vertical plate cancels the bow wave. Model AV-I top was left open to allow the fore
This results in a reduction of the bow wave size, aft heave shafts, heave potentiometers, and bal-
the bow down moment, reduced trim by the last weight placement inside the model. Model

Date : Wed, 18 Mar 2015 06:48:06 IP : 103.27.8.45
AV-I’s towing point was set to coincide with the Figure 1: Schematic
of Model AV-I
height of the tracked system drive axle at the
floor of the M113 cabin. Model AV-I was fitted
with a top coaming to prevent water form enter-
ing the model interior during the higher speed
tests when a large bow wave forms.
The model AV-I bow was fitted with a 0.635 mm

diameter trip wire and a hinged aluminum
‘‘breakwater plate.’’ The model AV-I was tested
with port/starboard furniture clamps attached to
the coaming with C-clamps as shown in Figures
2 and 3. In the initial tests, these furniture
clamps were used to set the ‘‘breakwater plate’’
upright. In the subsequent tests, the furniture x was adjusted to x 5 9.525 cm (test set IV). The
clamps were used to fix the bow plate submer- submergence depth set at z 5 14.60 cm results in
gence z and location x ahead of model AV-I the bottom edge being just below the model AV-I
(Table 2). cabin apex (Figure 1).
Model AV-I Bow Plate Development Model AV-I Test Setup

A subsequent literature search located two in- Model AV-I tests were performed in the Univer-
teresting papers that clarify the bow flow field. sity of New Orleans towing tank. The model test
Yu and Tryggvason (1990) found in their nu- speeds Vm were scaled using the full-scale Fro-
merical studies that a submerged vortex created ude number:
a depression on the free surface. Later, Tsai and
VS
Yue (1993) completed a numerical study of the Fn ¼ pffiffiffiffiffiffiffiffi ð2Þ
gLS
flow around a moving surface piercing vertical
plate. The results show the characteristic
upstream wave buildup and a depressed down- This Froude scaling gives the following model
stream wake with submerged trailing vortex speed Vm based on the full-scale speed VS and
shed from the bottom edge of the plate. This is scale ratio l 5 LS//LM 5 4
shown in Figure 4 as the evolution of the free
VS
surface and vortex sheet in the wake of a verti- VM ¼ pffiffiffi ð3Þ
l
cally moving plate (Tsai and Yue 1993). Hence,
the moving bow plate wake and submerged vor-
tex act to depress the free surface, causing a
cancellation of the AV-I bow wave. Figure 2: Overhead
View of Model AV-I in
a UNO Towing Tank.
The model AV-I bow plate was sized following Breakwater plate
initial tests with the model A liftboat (Latorre supported by port-
starboard furniture
2004). The liftboat model A tests showed that
clamps aligned with
the wave cancellation would occur when the coaming and clamped
bow plate width b and the model A beam B at to cabin roof.
the bow are exactly the same. The location x of

the plate ahead of the bow was shown to be best
at x/L0.08. This results in a preliminary value
of x 5 9.72 cm for model AV-I. During the sub-
sequent model AV-I resistance tests, this value of

Date : Wed, 18 Mar 2015 06:48:06 IP : 103.27.8.45
Figure 3: Side View where l is the separation distance between the

of Model AV-I in UNO
forward and the aft heave potentiometers.
Towing Tank without
a Bow Plate During
Ballasting to The model AV-I results for tests I and IV
Amphibious
Operating Draft (Table 3) are compared with Figures 5a and b. In
Figure 5a, the ratio of resistance R to displace-
ment W, R/W, is shown as a function of the
Froude number Fn. Figure 5b shows the corre-
sponding trim angle y versus the Froude number
Fn plotted.
The test speeds, 3 V 7, in Table 3, cover the
current M113’s 5.8 km/h amphibious speed as These results are scaled up to the full scale and
well as future higher amphibious speeds. plotted for the full-scale speeds VS km/h in Fig-
ures 6a and b. It is clear that (test I) without the
Model AV-I Test Results bow plate, as the speed increases, model AV-I has
Model AV-I was tested following the test matrix larger trim by the bow. This trend increases
in Table 3. In each test, the towing speed Vm, until model AV-I; the bow wave rise climbs
resistance R, forward heave Zf, and aft heave Za toward the cabin roof at VS 46.0 km/h. In com-
were recorded. After averaging over each run, parison, the results with the bow plate
the measured values were found to have an ac- (test IV) show a significant reduction in the trim
curacy of 1% for speed VM, Zf, Za, and angle and resistance to the displacement R/W
2.5% for the total resistance R. The trim angle ratio at each speed. These results are summa-
was calculated by rized in Table 4.

1 Za Zf
y ¼ tan ðdegreesÞ ð4Þ The model AV-I bow photos without the plate
l
(test I) and with the plate (test IV) are shown in
TABLE 2: Model AV-I Breakwater Plate Figures 7–9 for high speeds corresponding to
and Bow Plate Particulars VS 5 6.0, 6.5, 7.0 km/h. Examination of these
bow photos shows that the bow wave rise with-
Dimensional Breakwater Bow out the bow plate increases with speed. Figures
Properties Plate Plate 7a, 8a, and 9a show the effectiveness of the
Width (m) 0.5 0.67
breakwater plate in avoiding the bow wave run-
Height (m) 0.75 0.63
Thickness (cm) 0.635 1.27 up from rising over the AV-I cabin roof. The
Location x (cm Hinged at 9.525 cm forward corresponding Figures 7b, 8b, and 9b show that
from bow) bow of bow when the bow plate is set ahead of the model
Submergence z (cm) NA 14.6 AV-I bow, there is a smaller wave rise at the bow
relative to the waterline, showing that bow wave
Figure 4: Evolution cancellation occurs. For reference, test II with
of the Free Surface the bow plate and breakwater plate up results in
and Vortex Sheet in
the Wake of a Moving 5% lesser trim and a small 4–5% drag reduction.
Vertical Plate (Tsai In this case, the bow wave cancellation was not
and Yue 1993)
fully developed as in test IV.
Discussion and Conclusions

Speed is an important element in successful
troop deployment. Increasing the amphibious
speed of tracked vehicles like the M113 using Z
drives is possible. Care must be taken to avoid

Date : Wed, 18 Mar 2015 06:48:06 IP : 103.27.8.45
TABLE 3: Model AV-I Test Matrix
Test Arrangement Test Number
I II III IV
Breakwater plate Up Up Down Down
Bow plate None Yes Yes Yes
Bow plate location x, cm NA 0.000 9.720 9.525
Bow plate submergence z, cm forward of bow NA 14.600 14.600 14.600
VS (km/h) Fn VM (m/s)
3 0.132 0.42 o o o
3.5 0.154 0.49 o o o
4 0.176 0.56 o o o
4.5 0.198 0.62 o o o
5.0 0.220 0.69 o o o
5.5 0.241 0.76 o o o o
5.8 0.255 0.80 o o o o
6.0 0.263 0.83 o o
6.5 0.285 0.90 o o
7.0 0.307 0.97 o o
o, towing test.
the negative effects of a large bow wave, trim by The model AV-I test showed that the
the bow, and possible swamping at these higher hinged breakwater plate is effective in breaking
speeds. up the bow wave and reducing the
a AV-I Non-Dimensional Resistance vs. Fn

0.040
0.036
0.032 AV-I without Plate AV-I with Plate
0.028
0.024
R/W
0.020
0.016
0.012
0.008
0.004
0.000
0.088 0.110 0.132 0.154 0.176 0.198 0.220 0.242 0.264 0.286 0.308 0.329
Fn
b AV-I Trim vs. Fn

0.000
–0.200
–0.400
Trim (deg)
–0.600
–0.800
–1.000 AV-I without Plate AV-I with Plate
–1.200
–1.400
–1.600
0.088 0.110 0.132 0.154 0.176 0.198 0.220 0.242 0.264 0.286 0.308 0.329
Fn
Figure 5: (a) Model AV-I Nondimensional Resistance versus Fn and (b) Model AV-I Trim versus Fn

Date : Wed, 18 Mar 2015 06:48:06 IP : 103.27.8.45
a AV-I Full Scale Resistance vs. Speed (km / hr)

1000.000
900.000
AV-I without Plate AV-I with Plate
800.000
700.000
600.000
500.000
R
400.000
300.000
200.000
100.000
0.000
2.0 2.5 3.0 3.5 4.0 4.5 5.0 5.5 6.0 6.5 7.0 7.5
km / hr
b AV-I Trim vs. Speed (km / hr)

0.000
–0.200
–0.400
Trim (deg)
–0.600
–0.800
AV-I without Plate AV-I with Plate
–1.000
–1.200
–1.400
–1.600
2.0 2.5 3.0 3.5 4.0 4.5 5.0 5.5 6.0 6.5 7.0 7.5
km / hr
Figure 6: (a) Model AV-I Scaled Resistance (lbs) versus Speed (km/h) and (b) Model AV-I Trim versus Speed (km/h)
possibility of water coming over the vehicle AV-I trim by the bow and reduce the
top. vehicle drag by 10–17% over the higher
speed range. The bow photos show that the
Comparative tests with and without the bow plate acts to reduce the size of the
wave cancellation bow plate showed that the bow wave. This leads to the following
bow plate was able to reduce the model conclusions.
TABLE 4: AV-I Scaled Results

AV-I Results
Speed Speed Scaled Resistance w/o Scaled Resistance with
(km/h) (m/s) Fn Plate (kg) Plate (kg) DR (kg) DR (%)
3.0 0.833 0.132 68 74 5 7.6
3.5 0.972 0.154 77 96 18 23.6
4.0 1.111 0.176 115 123 8 6.8
4.5 1.250 0.198 158 143 15 9.4
5.0 1.389 0.220 192 177 15 8.0
5.5 1.528 0.241 236 215 21 8.8
5.8 1.611 0.255 269 238 32 11.7
6.0 1.667 0.263 288 251 37 12.9
6.5 1.806 0.285 352 298 55 15.5
7.0 1.944 0.307 428 355 73 17.1

Date : Wed, 18 Mar 2015 06:48:06 IP : 103.27.8.45
Figure 7: (a) Model AV-I Bow
Wave Photographs for Tests I-6.0
(Fn 5 0.263, VS 5 6.0 km/h) with
Breakwater Plate Up. (b) Model AV-I bow
wave photographs for tests IV-6.0
(Fn 5 0.263, VS 5 6.0 km/h) with
bow plate attached. Note the lower wave
rise at the waterline showing bow wave
cancellation.
Figure 8: (a) Model AV-I Bow Wave

Photographs for Tests I-6.5
(Fn 5 0.285, VS 5 6.5 km/h) with Breakwater
Plate Up. (b) Model AV-I bow wave
photographs for tests IV-6.5
(Fn 5 0.285, VS 5 6.5 km/h) with bow
plate attached. Note the lower wave rise
at the waterline showing bow wave
cancellation.

Date : Wed, 18 Mar 2015 06:48:06 IP : 103.27.8.45
Figure 9: (a) Model AV-I Bow Wave Photographs for Tests I-7.0 (Fn 5 0.307, VS 5 7.0 km/h) with Breakwater Plate Up. (b) Model
AV-I bow wave photographs for tests IV-7.0 (Fn 5 0.307, VS 5 7.0 km/h) with bow plate attached. Note the lower wave rise at the
waterline showing bow wave cancellation.
& At scale speeds greater than 6 km/h (Fn 5 Industrial Ties Research Support Contract
0.263), a large bow wave was formed, causing LEQSF(2003-05)-RD-B10 and the University
a bow down moment and excessive resistance. of New Orleans College of Engineering for the
& The ‘‘breakwater plate’’ when set vertical research and graduate students support. The
breaks up the bow wave, preventing it from authors are also grateful to Dennis Herrinshaw,
spilling over onto the model AV-I roof. University of New Orleans Office of Technology
& Model AV-I test results for model AV-I indi- Transfer, for his support of the filing of the
cate that the best location of the bow plate is US Patent. Attached Bow Plate for Reducing
x 5 14 cm ahead of the bow at a submergence Bow Sinkage and Vessel Drag US Patent
z 5 19 cm. 6769-373 dated August 3, 2004. The authors
& The photograph of model AV-I bow with/ are also grateful to George Morrissey, UNO
without the bow plate shows that the bow Facilities Manager, for his assistance in the tank
plate creates a wave trough at the vehicle bow. tests.
This trough cancels the normal vehicle bow
wave formation, consequently reducing the References
bow wave, resulting in less trim by the bow, Alexander, R. and R.M. Alexander, ‘‘Design of landing
and ultimately, less resistance at higher speeds. craft for marine corps action,’’ Naval Engineering Jour-
nal, Vol. 75, No. 1, pp. 163–170, 1963.
Ando, S., ‘‘On improvement on various performances
Acknowledgments of work vessels,’’ Trans West Japan Society of Naval
The authors are grateful for the support pro- Architects No. SO, August 1975 (in Japanese) pp. 33–45,
vided by the State of Louisiana Board of Regents 1975.

Date : Wed, 18 Mar 2015 06:48:06 IP : 103.27.8.45
Carl, D., ‘‘New amphibious vehicle progress part 3 Author Biographies
landing craft, assault LCA and landing vehicle hydrofoil Robert Latorre, Ph.D. is a professor of naval
(LVH),’’ Naval Engineering Journal, Vol. 77, No. 3, architecture and marine engineering at the
pp. 18–25, June 1965. University of New Orleans. He is conducting
Foss, C., Jane’s tank and combat vehicle recognition research in the field ocean engineering of high-
guide, Harper Collins, New York, 2003. speed craft, aluminum structures, and marine
hydrodynamics. He has been a research scientist
Gillmer, T.C. and B. Johnson, Introduction to naval
architecture, Naval Institute Press, Annapolis, MD, 1982, at the David Taylor Model Basin and French
pp. 37–42. Naval R&D, Paris. Dr. Latorre completed his
B.S.E. and M.Sc. in naval architecture and ma-
Haddock, G. and R. Latorre, ‘‘A look back on 1942
rine engineering at the University of Michigan
combat and production,’’ an example of successful
and his Ph.D. at the University of Tokyo. His
employee empowerment at Higgins Industries’, Journal
contact information is Naval Architecture and
of Ship Production, Vol. 11, No. 3, pp. 159–170, 1995.
Marine Engineering, University of New Or-
Latorre, R., ‘‘Attached bow plate for reducing bow leans, 2000 Lakeshore Drive, New Orleans, LA
sinkage and vessel drag,’’ US Patent 6769-373, August 3, 70148; e-mail: rlatorre@uno.edu
2004.
Latorre, R. and J. Arana, ‘‘Reduction of jack-up and Julio Arana is a graduate student in naval archi-
crane vessel towing resistance and swamping,’’ Ocean tecture and marine engineering at the University
Engineering, Vol. 33, Nos. 14–15, pp. 2000–2011, of New Orleans. His research interest is in high-
October 2006. speed marine vessel design and drag reduction.
Latorre, R. and F. Ashcroft, ‘‘Recent development in He received his B.S. in civil engineering at Lou-
barge design, towing and pushing,’’ NAME Marine isiana State University, where his focus was on
Technology, Vol. 18, No. 1, pp. July 1981. structural analysis and fluid dynamics. His con-
tact information is Naval Architecture and
Tsai, W.-T. and D.K.-P. Yue, ‘‘Interactions between a free
surface and a vortex sheet shed in the wake of a sur- Marine Engineering, University of New Or-
face-piercing plate,’’ Journal of Fluid Mechanics, Vol. leans, 2000 Lakeshore Drive, New Orleans, LA
257, pp. 691–721, December 1993. 70148; e-mail: jcarana@uno.edu
Yu, D. and G. Tryggvason, ‘‘The free-surface signature

of unsteady, two-dimensional vortex flows,’’ Journal of
Fluid Mechanics, Vol. 218, pp. 547–572, September
1990.

Date : Wed, 18 Mar 2015 06:48:06 IP : 103.27.8.45
TECHNICAL PAPER
Nomenclature:
Combatant Ship Engineering, A AOA: Analysis of alternatives
ASSET: Advanced surface
Different Approach ship evaluation tool

CAD: Computer-aided
design
& Charles Gallagher
CODAG: Combined diesel
and gas turbine
Abstract CODOG: Combined diesel or

gas turbine
In 1989, Ingalls Shipbuilding contracted to design and construct three Sa’ar V Class corvettes for the
Government of Israel. The available funding was considerably less than would have been needed to ICAM: Integrated computer-
aided manufacturing
design and build equivalent ships for the US Navy. As a result, the Israeli Navy (IN) and Ingalls
Shipbuilding, working closely together, implemented significant innovative systems engineering and IDEF0: ICAM Definition
language
design practices and the ships were delivered within the budget. Some of the key innovative design
and engineering methods used during that program are described in this paper. OEM: Original equipment
manufacturer
QFD: Quality function
deployment
SI: International system of
units
SWBS: Ship work breakdown
structure
TLR: Top-level requirement
UML: Unmodified modeling
language
Historical Background +
Lurssen, but the ships were built by Israeli Ship
The name Sa’ar—storm or gale in Hebrew—was Yards in Haifa. The two Sa’ar 4.5 boats are
chosen by the Israeli Navy (IN) for its new strike modified Sa’ar IVs that can carry a helicopter.1,2
boats. The program began in 1965 with an order
+
for two batches of six boats. Lurssen Werft of
Bremen designed the boats and they were built 1
Commander Uzi Tishel, Israeli Navy, United States
by CMN in its Cherbourg shipyard. The first 12 Naval Institute Proceedings, March 1992.
2
boats had various combat systems, which re- See also ‘‘The Boats of Cherbourg’’ by Abraham Rabino-
vich for a thrilling tale of intrigue, diplomacy, and daring
sulted in evolutionary designations—Sa’ar I, II, related to the design, construction, and delivery of five of
and III. The Sa’ar IV was once again designed by the boats.

DOI: 10.1111/j.1559-3584.2010.00266.x Delivered by Ingenta to: American Society of Naval Engineers Members
Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45
Combatant Ship Engineering, A Different Approach
The Sa’arV Contract Systems Engineering

Sa’ar V, although based on the Sa’ar 4.5, was to Of the many definitions of systems engineering,
be larger and better. The preliminary design was the one that best describes this effort is that it is
accomplished by John J. McMullen in Arlington, an interdisciplinary field of engineering that
Virginia. Ingalls Shipbuilding International was focuses on the development of complex systems.
awarded the detail design and construction con- Typical systems engineers are aware of tools
tract May 1, 1989 under the Foreign Military such as UML, QFD, IDEF0, the waterfall
Sales program but using the less common feature model, the VFE model, and more. A systems
of a commercial contract with the Government engineer working on a US Navy warship would
of Israel. The first ship delivery was scheduled have some familiarity with the AOA, TLR,
for November 1993. The GOI Contracting Offi- ASSET, mission needs statement, and more. On
cer remained in New York City. The IN the Sa’ar V program, many of the systems’
engineering team that worked with JJMA in engineering tasks were followed but with a huge
Arlington, Virginia, relocated to Pascagoula, difference in that in order to hold down the
Mississippi, when the design and construction program costs, the analyses were largely
contract was awarded. performed in oral discussions between the IN
and Ingalls.
TheTeam
The IN team consisted of naval officers with During the detailed design and construction
graduate engineering backgrounds. It was led by period, there were virtually no systems engineering
a Captain and included four Commanders to analyses on paper. All of the analyses were
handle the seven Ship Work Breakdown Struc- performed by acquiring the data and discussing
ture (SWBS) groups, and a Lieutenant the approach. Sometimes, this was done within
Commander for Logistics. All were married with the Ingalls team but more often than not, the
families and had a previous tour in the United more significant matters were handled by the IN
States. They were a close-knit integrated group team. The remainder of this paper will describe
and made all the decisions together, including some of those decisions. In each case, these
program management, engineering, and sub- decisions involved a matter that was within the
contract management. general scope of the ship specifications but
otherwise not defined to the level needed for
The Ingalls team was led by a lead engineer for detailed design.
each major SWBS plus one for the Ship Moni-
toring and Control System, and one for Also, in each case, the engineering approach
Logistics. They were collocated in an office used was to resolve each matter without resort-
‘‘bull pen’’ environment to facilitate communi- ing to detailed paper analyses. Round-table
cations. Their charter was to keep the costs discussions of the integrated team were the order
down by doing everything they could by them- of the day. The IN decisions were typically made
selves before calling upon other engineers and around a table with ample discussion about all
designers. The Ingalls Program Office had 10 aspects of the situation until a consensus was
personnel: the program manager, a deputy, a reached.
technical director, one scheduler, one financial
analyst, two administrative support personnel, The same result might have been achievable by
and three technical support personnel. Interface a traditional USN approach, but at a much
was primarily between the Ingalls engineering larger cost that included paperwork, studies,
team and the IN team. The Ingalls Program analyses, and travel. The IN team would first
Office would become involved with some of the acquire all of the available facts and then the
more difficult technical questions and contrac- decision analysis process was normally one of
tual scope questions. joint discussions.

Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45
Another relevant factor was that each IN engi- In hindsight, the computer programming aspects
neer owned his own budget for his portion of the proved more difficult than envisioned, in partic-
ship. Before this contract, Ingalls engineers were ular due to the extensive computer processing
not permitted to participate in subcontract times; however, potential physical interferences
negotiations. Engineers set requirements. were discovered and corrected in the 3D CAD
Subcontract administrators conducted the environment with their associated cost
negotiations. Technically, this rule was savings. An unexpected benefit of the Sa’ar
maintained on the Sa’ar V program, but only program was that it launched Ingalls Shipbuild-
technically. The IN lead engineer would be ing into the increased use of CAD (Lindgren
in the negotiating room listening but not et al. 1992).
commenting unless invited. Only he knew the
allocated budget. At appropriate times, Combat Systems Procurement
there would be a break for sidebar discussions The combat system was planned to be the largest
with the Ingalls Shipbuilding Subcontract procurement on the program. Originally, it was
Administrator to discuss and clarify some planned to use the traditional combat system
aspect of the requirements in order to reduce integrator approach. Due diligence was spent
the costs. preparing the statement of work and technical
specification with an emphasis on reducing costs
The IN made the distinction between technical including a bidder’s conference to ensure
discussions, which can involve the cost of items, understanding.
and price negotiations, which involve commer-
cial matters such as insurance, the escalation Unfortunately, we received a traditional combat
factor, patent rights, and more. system integrator proposal with all responders
quoting prices far in excess of the available bud-
This proved to be a very successful effort as get. At this point, the IN team regrouped and
numerous technical agreements and adjustments approached Ingalls with a different concept pro-
were made during these negotiations. As a result, posal; a combat system integrator would not be
the cost was controlled by eliminating the tradi- hired, and instead, Ingalls Shipbuilding would
tional paper process of engineering changes. take that responsibility along with admittedly an
increased risk. Ingalls Shipbuilding accepted this
Example Design Decision Making new shared responsibility with much of the
One of the most expensive cost drivers for the pressure and responsibility residing with the IN.
first ship of any class occurs during the con-
struction period when physical interferences are The procurement of some equipment was de-
discovered and must be corrected. layed and some equipment would be installed in
Israel rather than at Ingalls. Also, some equip-
Implementation of Three-Dimensional Com- ment would be refurbished, used equipment
puter-Aided Design (3D CAD) rather than new. All possible cabling, some
Following internal discussion with senior Ingalls equipment, and certain other provisions would
Shipbuilding management, the decision was be incorporated into the delivered ship. For
made that for the first time the entire design of a example, the original Phalanx Close-In Weapon
major warship would be checked for interfer- System was actually a refurbished unit with
ences using three-dimensional computer some unique changes invented by and installed
programming. While this was an exceedingly by the IN.
complex process, it did alleviate the prohibi-
tively costly normal documented systems Logistical Support
engineering approach and thus constituted a sig- The IN, as a cost-savings and maintenance-in-
nificant systems engineering decision. dependent effort, chose to perform maintenance
NAVAL ENGINEERS JOURNAL 2011 #4 & 93

Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45
and repair on all of its electronic circuit cards. The IN approach was to discuss factory accep-
Ingalls Shipbuilding would negotiate for the de- tance testing with the OEM before contract
sign rights and computer program information award and include whatever was agreed to in the
at a level that allowed repair. purchase order. Typically, this was whatever a
manufacturer declared to be the approach he
The IN already had an extensive in-house repair had bid as his standard; this is something that
capability but did elect to purchase some addi- would ensure his quality product but would not
tional repair and test equipment to maintain cost more. It was based on common sense and
circuit cards that would be new to the IN inven- good engineering practice. The manufacturer
tory. This innovation allowed the IN never- would merely agree to invite us to send an engi-
before-known circuit card maintenance inde- neer to witness the testing. The IN would attend
pendence and reduced the probability of those events considered appropriate, and here
electronics-related equipment down-time. While another new experience occurred.
the USN would consider this an example of life-
cycle cost reduction, the IN considered it a stan- The IN engineer would examine the equipment
dard requirement, reflecting the reality that in in great detail based on his extensive experience
battle things need to be fixed immediately, on and sound engineering judgment. This inspec-
site. tion was not simply a matter of checking off
items on a test procedure. In every single case,
Supportability is a systems engineering principle save one, where the IN engineer elected to par-
that the IN elected to handle in a unique manner. ticipate in factory acceptance testing,
Each original equipment manufacturer (OEM) deficiencies were noted.
was requested to guarantee support for 10 years
at no additional cost. If the OEM declined or The experience is similar to an Admiral Rickover
wanted reimbursement for this effort, then typ- observation about a good engineer: ‘‘He was one
ically another source was found. of the breed of men taught by experience. These
engineers—and I proudly and with no false
Another common procurement approach was to humility class myself with them—could walk
merely repeat back to the OEM a copy of his through an engine room and, through the din
advertising literature. This proved to be quite and uproar, catch the slight sound of a compo-
efficient and occasionally resulted in some un- nent out of adjustment. They could touch a
usual OEM feedback when it was realized that jacket of metal and feel from the vibrations
the brochure had not undergone a rigorous whether the machinery inside was operating
technical review. well. They would taste boiler water to see if it
were pure, and would dip their fingers into the
Equipment Testing lubricating oil to find out if a bearing was run-
A fundamental engineering principle is to inspect ning hot’’ (Rickover 1974). Admiral Rickover
the equipment at the factory, especially if it has would consider the IN team to be good
new design features or is something that is not engineers.
often produced. All significant Sa’ar V procure-
ment contracts had a provision for factory English or Metric Units
acceptance testing with prior notification in the A key engineering challenge was the use of the
event the IN wanted to witness. international system of units (SI), the modern
metric system of measurement. Again, the round
A traditional USN approach would have a test table convened, first with the IN team and then
plan and detailed test procedures. These would with the Ingalls team. The IN team decided that
be prepared, reviewed, and updated, all at sig- they were comfortable with either system of
nificant expense. measurement. While metric was preferred, there

Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45
could not be a cost increase to implement the Because of cost constraints, the inverters would
change. be commercial units. Based on an inspection of
the units, the engineers decided to make modifi-
The Ingalls team convened with the IN and rec- cations to harden them for the shipboard
ognized that the use of metric was being environment. This was accomplished by Ingalls
emphasized nationally and it would benefit in the yard.
Ingalls Shipbuilding to be on the leading edge of
the adoption of SI. Ingalls engineering was con- Stealth Hull Design
sulted and indicated there would be no It is noticeable from the shape of the Sa’ar V that
additional cost for using the SI system. it is designed for a reduction in its radar cross
section signature. One result was the creation of
The Ingalls team rapidly decided that the ship some small oddly shaped internal compart-
would be designed in metric and then addressed ments. These immediately became rooms for the
the ship construction documentation and the installation of electronic equipment. None of
work force. It was then decided that the risk of these compartments were scheduled to be
issuing the construction data packages in metric manned and so another round-table discussion
would present too much of a cost risk. resulted in relaxing some of the criteria that
would normally be applied for the satisfaction of
The ships would be constructed using work standard human engineering criteria and making
packages in English units. Ingalls then addressed the need for the human to bend over or crouch
the fact that most equipment was coming down perfectly acceptable.
from six countries, five of which used the SI
system. The decision was again to use the least CODOG Power Plant
cost approach. If the equipment was designed in The Sa’ar V is a combined diesel or gas turbine
English units, English units would be accepted. (CODOG) configuration with an LM2500 for
If it was designed in SI units, Ingalls would high-speed operation. The IN desired to have the
accept SI units. In this manner, the craftsmen maximum power available if needed for an
would be introduced to the SI system but on a emergency and to get the maximum power on
manageable level. Mounting hardware stock line rapidly, again, only for the most unusual
was added for the SI equipment as were pipe circumstances.
adapters; it turned out that the adapters were
readily available. Three innovative changes were made to the then
standard CODOG configuration. First, the team
Backup Power met with GE and CAE3 to figure out a way to get
Critical equipment was required to have the more than the standard 25,000 hp. This was not
capability of operating from one of the three DC an easy task but could be done, provided the IN
backup power systems. was willing to accept the fact that operating a
gas turbine above its normal limits will decrease
Once again, key equipment was located. In most its life expectancy.
cases, it already had the DC power option built
in. There were several exceptions. One option The IN carefully explained that there are times
was to pay the equipment manufacturers to in war when the extra power may be needed
modify their equipment. This would have and so they wanted it designed into the ship
been an expensive approach and after one machinery control system (SMCS). Once the
of the systems engineering brainstorming
sessions, the decision was made to procure two 3
The organization is now part of L-3 and is known as
inverters instead as this would be the less costly MAPPS. They continue to design and manufacture ship
approach. monitoring and control systems for numerous countries.

Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45
issues of the previously impenetrable wall of This meant that for a brief period of time, the
proprietary concerns were resolved, implemen- propulsion system would be in a CODAG con-
tation was not all that difficult. GE provided figuration in order to eliminate the period of
the technical data for operating the engine at time on the change-over plateau.
30,000 hp and CAE developed the extended
control algorithms. Thus, the Sa’ar V has an SMCS that permits the
conning officer to implement full emergency
As with most major machinery packages, there speed with one console command. The control
was on-plant software capable of full control as system takes over and brings the full 30,000 hp
well as the off-plant software imbedded in the to bear in the shortest time.5 There is one in-
SMCS. Sensor limits were established as were stance when the consensus of the engineering
sensing frequencies to ensure that the data teams did not prevail. It involved one aspect of
needed for the critical decisions would always be the SMCS. This extensive system was in the early
available. test stages at the CAE facility outside of Mon-
treal. We reached the conclusion that we could
A second aspect of this emergency operating control the ship heading quite well with either a
mode was the desire to have the capability to joy stick or a small knob on the ship control
ramp up to the maximum power in the minimum console. As with other significant ship design
time. This also was not too difficult with the GE, decisions, the matter was taken to the Captain of
CAE, and IN engineers sitting around the table. the IN team as the team leader he was the final
GE also provided a second power curve that authority on any controversial matters. The
could be used in an emergency, provided that the matter was explained technically and demon-
technical risks were accepted. This second curve strated. He replied that he agreed—but—there is
was programmed into the SMCS software and a matter of naval tradition to uphold and there-
can be activated from whichever SMCS console fore we must have a traditional helm wheel.
is in control.
Accordingly, Ingalls proceeded with this one
The teams then got into the subject of CODOG or departure from the engineering recommenda-
combined diesel and gas turbine (CODAG). tion. A standard helm wheel was chosen; then
Clearly, the LM2500 so overpowered the two die- CAE designed a mechanical friction feedback
sels that it was the mode for high-speed operation. device to give the helmsman the feeling that he
However, in the speed ramp-up CODOG practice was turning a mechanism of some substance
required a plateau while the diesels were brought while in fact he was turning a potentiometer
off line and the gas turbine was brought on line. about half the size of one’s thumb.
For this discussion, Ingalls also had to deal with Hull Stability
Falk and Renk, who designed and manufactured How would the ship roll? The tow tank testing
the reduction gear. They essentially said that provided the basics, and yet uncertainties re-
their gear did not mind if the plateau were elim- mained. Was additional (and expensive) testing
inated. It was not a reduction gear issue; it was a needed? One of the key times when rudder roll
control system issue. CAE decided they had stabilization might be helpful would be during
enough technical information from Falk, Renk, helicopter operations.
GE, GasTOPS, and MTU4 to make the emer-
gency power application a smooth transition. Like all good naval engineers, the IN team was
interested in the possibility of improving the sit-
4
GasTOPS provided the propulsion dynamic analysis al-
5
gorithms embedded in the SMCS. MTU provided the This was the first time that the LM2500 system was de-
diesel engines. signed to 30,000 hp.

Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45
uation and the SMCS easily incorporated an ex- Automated Acoustic Quieting
isting inexpensive module for rudder roll Another time, the teams were thinking about the
stabilization, and so that was done. The rudders overall protection of the ship during different
and their support system could handle the loads. combat scenarios. Invariably, the discussion
But the only way to know for sure whether the turned to the ship’s acoustic signature. In short
helicopter could operate safely under adverse order, it was realized that any effort to have the
weather conditions was to wait until the ship humans establish a quiet ship condition would
was built and encountered those conditions. In take an unacceptable amount of valuable time.
order to accommodate this approach, the extra In addition, the process could be complex, de-
rudder control pumps were designed into the pending on the condition of the ship at the time.
ship, but not procured. They could be procured And as humans would be relied on to take the
and installed later if conditions warranted. necessary actions, there was the possibility of
error. It was then realized that all of the pieces of
Ship Machinery Control System machinery that were needed to be controlled
The SMCS was the most advanced at the time acoustically were already under the control of
and it still remains far ahead in many subtle and the SMCS.
not so subtle aspects. The system engineers again
caucused to determine those features most im- The solution became obvious. Quiet ship opera-
portant to a reduced crew size.6 Many features tion would be implemented through the SMCS,
were incorporated. Only a few examples will be and to make it even simpler, all of the necessary
mentioned here. A significant danger on any ship sequencing logic would be in a single algorithm
is the risk of fire. With the quantity of unmanned and activated by a single special-purpose button
spaces, it is important to have extensive fire and on the ship control console.
smoke detection capability. This was accom-
plished with several sensors, and with the small Automated Failure Mode Control
crew, it is all the more important to extinguish A final example from the SMCS lies in the
the fire rapidly. failure mode. Failures were handled in the
software and hardware design to fail set rather
Automated Damage Control than fail safe.7 If a propulsion shaft was turning,
This was accomplished by permitting the system, the failure mode was to keep it turning. If a
under certain circumstances, to automatically motor was running, the failure mode was to
trigger a fire suppression system in the affected keep it running. In this way, if the SMCS lost
compartment. Various types of sensors and ex- control, things would continue to function
tinguishing media were selected and the decision as they had been set until such time as the
time came for what logic would be used to initi- SMCS could regain control or until local
ate the automatic suppression. The engineers control was taken.
were simply not happy relying on any single
sensor or any single type of sensor. One of them Selection of Machinery Sensors
suggested we use two different types of sensors Sensors were of particular interest to the IN. The
as the criteria. This rather simple thought caught overarching requirement was for good-quality
on immediately. There were nods around the marine-grade sensors. The natural effort by the
room and so it was implemented. Ingalls team was to pull out the standard Mili-
tary Specifications. The IN explained that the
marine industry had developed just about every
6
The ship is designed to operate easily on normal missions
with a crew of 45. For extended missions, the crew can be
increased to 61. If a helicopter or other special operations
7
group is aboard, there could be 10 additional personnel It is interesting to note that a Google search discloses
for a total of 71. nine definitions for fail safe but not one for fail set.

Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45
sensor we would need and generally had several Summary

classes of each sensor from the least expensive to The Sa’ar V was designed to achieve the greatest
the good quality to the explosion proof. Al- capability at the least cost. Many engineering
though some Military Specification sensors principles were based on extensive open round-
ended up in the design, it was not the primary table discussions among collocated engineers, but
consideration. without the traditional systems engineering docu-
mentation. The IN was very pleased with the ships
Machinery Repair Considerations and Ingalls Shipbuilding earned a profit.
It turns out that a primary consideration
was the ability to repair equipment within the IN
without recourse to the OEM. Part of the References
overall planning of the Israeli Defense Forces is Lindgren, J.R. Jr., W.A. Solitario, A.P. Moore, and M.A.
to be ready when called upon, including the Streiff, ‘‘CAD/CAM goes to sea: The SA’AR-5 design
ability to repair anything rapidly and as close to and construction,’’ Naval Engineers Journal, Vol. 104,
the place of use as possible. As part of this sensor pp. 148–155, May 1992.
selection effort, every sensor was submitted Rickover, H.G., ‘‘The role of engineering in the Navy,’’ A
to the IN for approval before it was incorporated speech before the National Society of Former Special
into the design. This included those sensors Agents of the Federal Bureau of Investigation, Seattle,
built into and supplied as a part of an Washington, August 30, 1974.
OEM item. In every case save one, good-quality
repairable marine-grade sensors were located
and selected. The one exception was the Author Biography
differential pressure sensors for the collective Charles Gallagher is a graduate of the United
protection system (CPS). Perfectly good States Naval Academy and holds an M.B.A. de-
differential pressure sensors were available gree from the University of Southern Mississippi.
but their scales were large when compared He was the technical director of the Sa’ar V
with the CPS needs of only a few pounds Program for Ingalls Shipbuilding. He is married
per square inch. and has three grown children.

Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45
TECHNICAL PAPER
Parametric Models for Aircraft

Engine Removals Resulting from
Foreign Object Damage
& Richard C. Millar and David H. Olwell
Abstract
An earlier nonparametric statistical study of GE F414 engine removals from operational F/A-18
aircraft in US Navy service provided insights into the lifetime patterns of engine removals for various
causes. Inspection of the estimated hazard function for engine removals for foreign object damage
(FOD) suggested that a parametric analysis using Erlang distributions might be fruitful, bolstered by
a hypothesized relevance to the maintenance procedures governing engine removals for this cause,
and their outcomes. The objective was both a better model to forecast engine removals and to pro-
vide insight into the number of FOD incidents it took to drive an engine removal. Gamma and
Erlang distributions did better fit the removals data and provide a tool for predicting engine rem-
ovals, aircraft availability impact, and the resultant maintenance workload. A parametric model
using a cascade of Erlang functions was developed to simulate the combined FOD/line maintenance
process, which provides insight into the outcomes expected under reasonable simplifying assump-
tions. This model predicts that the key research issue, the probability that a typical FOD event
prompts a removal, cannot be estimated from engine removals data alone. Field data must be col-
lected to gain understanding of the underlying frequency of FOD and the utility of the present
inspection criteria.
Introduction delivered to the ship. The engine is inspected and

In earlier papers Millar et al. (2009) and Millar possibly tested at the intermediate maintenance
et al. (2007) report the results of a nonparamet- base, and any modules requiring teardown for
ric statistical study of unscheduled engine detail inspection and repair are replaced with
removals data from records of operational ser- spare modules. The modules to be serviced are
vice of the F/A-18 E/F Super Hornet, powered by forwarded to a maintenance depot to be rebuilt.
a pair of General Electric F414 low bypass gas
turbine engines. Engine removals are likely the Good understanding of the likelihood of un-
most disruptive and costly maintenance action scheduled engine removals as a result of periodic
affecting naval aircraft, particularly if unsched- inspection or damage detected in service is
uled on board an aircraft carrier in action at sea. needed to optimize maintenance planning, facil-
The aircraft must be removed from flight opera- ities and manning, logistics, and spares and parts
tions to remove and replace the affected engine, provisioning. The purpose of this and the earlier
the largest piece of equipment that can be studies was to characterize the pattern of engine
swapped out this way. The affected engine is removals for various causes as a function of
usually shipped to an intermediate maintenance accumulated engine operating hours. This infor-
base and a replacement spare engine is usually mation enables maintenance and logistics

DOI: 10.1111/j.1559-3584.2011.00337.xDelivered by Ingenta to: American Society of Naval Engineers Members
Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45
Parametric Models for Aircraft Engine Removals
planning for unscheduled engine removals based FOD may result from bird ingestion in flight or,
on the history of the specific engines in service at more commonly, it is due to debris sucked into
a given location. For example, the probability of the engines during operation on the ground
having to remove an engine from a specific air- (including shipboard) or during takeoff and
craft due for inspection, for a specific reason for landing. The exposure of individual aircraft to
removal, can be better forecast with the methods these flight conditions and thus FOD hazard is
developed during this project, based on the variable depending on operational location and
accumulated operating hours of the specific mission. Over a large population of aircraft per-
engines involved. Planning preventive and cor- forming similar missions in a variety of
rective maintenance over a longer horizon can be environments, given the lack of detailed infor-
based on a firmer forecast of removals and the mation on the exposure and usage on individual
likely causes. Personnel, tools and equipment, aircraft, our basic expectation was that aggre-
logistics, and spares can be provisioned in ad- gate FOD hazard levels should not vary greatly
vance to speed turnaround and minimize costly over the engine lifetime, i.e., FOD incidents and
spares stocks. resultant removals might be expected to follow
an exponential distribution.
Furthermore, improved characterization of the
likelihood of engine removals is central to the The second factor that affects the incidence of
deployment of condition-based maintenance engine removals for FOD is the severity of FOD
(CBM) informed by reliability centered mainte- damage in terms of continued safe and reliable
nance (RCM), known as CBM1 in the engine operation. Each FOD incident (ingestion
Department of Defense (US Department of of a foreign object capable of causing damage)
Defense 2007) and a key tenet of naval aviation may result in many instances of FOD to hard-
maintenance (NAVAIR 00-25-403 2005). ware throughout the fan and compressor
modules. The severity of FOD varies widely as a
The earlier study yielded estimates for the result of the diversity of objects ingested, and the
hazard rate and survivor function through to need for engine removal is also affected by the
overhaul for three classes of engine reasons for location of the FOD. Apparently minor damage
removal. The data used aggregated records from that might elsewhere be ignored or dressed out may
all F414 engines installed in F/A-18 aircraft over be a cause for removal if it affects a highly stressed
the first 8 years of US Navy operational service. location on a fan or compressor blade or vane.
More detail on this study can be found in Millar
(2007). The F414-GE-400 Intermediate Maintenance
Manual (Anon 2009) is typical in its treatment
One of the leading classifications of reasons for of FOD, categorizing specific instances of FOD
removal was confirmed to be foreign object (nicks, dents, scratches, cracks, tears, curling,
damage (FOD) to the engine fan or compressor, burrs, etc.) according to location (platform,
as detected through engine failure, pilot shroud, blade surfaces, blade size, leading or
‘‘squawk,’’ or, most commonly, during periodic trailing edge, blade tips, etc.). FOD size and
inspection at a more or less fixed interval. FOD number limits are then specified and used to
alone caused about 20% of all unscheduled en- determine allowable corrective action and
gine removals. The other two classes of reasons repairable limits. The line maintenance (O-level)
for removal combined multiple reasons for re- fan and compressor inspection and repair in-
moval, had different statistical characteristics, structions are reported to be similar in format
and were considered to be qualitatively different and usage (a copy of the O-level instructions was
in being more dependent on inherent engine not available for study). These instructions pro-
component reliability and maintenance provide criteria for each category of damage,
cesses rather than exogenous influences. criteria that determine if the damage is

Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45
FOD Removal Hazard Rate & Survivor Function Figure 1: Estimated Hazard Rate and Survivor Function: F414 FOD
Hazard Rate Survivor Function Removals and Exponential Fit. Taken from Millar et al. (2009). TSN,
Exponential Hazard Exponential Survivor Function
Time Since New in Engine Flight Hours (EFH). The presentation on the
top ‘‘restarts the clock’’ after each FOD removal; it represents the
number of removals in proportion to the average population scaled to
100% a rate per unit time. Note the 90% confidence intervals on the pro-
portions and the cumulative data points. The results of an exponential
fit (dashed lines, l 5 0.1618) to the FOD removals data is added for
comparison to the life table estimates. The correlation coefficient is
80% 0.8475. A ‘‘probability plot’’ of this fit is shown below.
60%
40%
20%
0%
TSN Index (or difference for successive removals)
99.900
50.000
30.000
0.000 1.200 2.400 3.600 4.800 6.000
acceptable as is, can be mitigated by in situ while installed in the aircraft, and thus how
repair, or requires removal of the engine for many times this occurred before an actual FOD
return to a maintenance facility for removal removal, so the data analyzed recorded only
and replacement of the affected module. removals due to FOD from one or more FOD
incidents before scheduled or unscheduled
The intent of these maintenance procedures is to inspection.
allow field repair of nonlife-limiting damage—at
O-level while installed in the aircraft to allow the Figure 11 illustrates the original life table-based
aircraft to return to service without engine estimates of hazard rate and survivor function
removal and replacement. Unfortunately the
available maintenance data does not record if 1
The TSN index is normalized for public release using an
and when an engine was successfully repaired arbitrary EFH interval.

Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45
Figure 2: Erlang Distribution (k 5 2, l 5 0.43) FOD Removal Hazard Rate & Survivor Function
Compared with Life time Estimates of F414 FOD Hazard Rate Survivor Function
Removals. In this comparison an integral shape
Gamma Hazard Function Gamma Survivor Function
factor k 5 2 appeared to be more suitable than
k 5 1 (an exponential distribution) or k 5 3.
100%
80%
60%
40%
20%
0%
for FOD removals, and compares them to those until the first inspection plus the possibility of in
of an exponential distribution fit to the FOD situ FOD rework, discussed above, allowing the
removals data.2 Given the complexity of the to- avoidance of many early removals.
tal process leading to FOD removals, the match
to an exponential distribution was considered However, the question arises: what might be a
reasonable, and at least provides a basis for better distribution to fit to this data and what
planning FOD-related engine removals. There implications does this have for our understand-
was a roughly constant 9% probability of an ing and management of line maintenance for this
engine removal for FOD during a scheduled in- engine failure mode? This implies application of
spection interval, independent of accumulated statistical tools to model the combination of a
engine flight hours, and most engines were stochastic damage process and a defined main-
pulled for FOD at least once before overhaul. tenance procedure.
Other notable features include no evidence of pe- Inspiration and Exploration

riodicity, although most FOD removals occur as a GAMMA DISTRIBUTION PROPOSAL
consequence of periodic inspections, and the On reviewing the life table hazard estimates dis-
gradual initial build up of the hazard function. It is tribution, Dr. Olwell noted that the shape of the
hypothesized that discretion in the timing of in- estimated hazard distribution might be well rep-
spections to accommodate operational exigencies resented by a Gamma function. This was an
may wash out the impact of the former, and that intriguing suggestion in this specific context due
the latter may be an artifact of the initial hiatus to the well-known result (e.g., see Lawless 2003,
section 1.3.5) that Gamma distributions with
2 integral shape parameter (i.e., k 5 1,2, . . . n)—
Parametric fits to the data presented here were per-
formed using Reliasoft Weibull11. There were 238 otherwise, and below, referred to as Erlang dis-
failure and 426 suspense data points. tributions—are equivalent to the cumulative

Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45
time of n exponential random variables with the Thus, it seems a simple Erlang/Gamma para-
same scale parameter, i.e., ‘‘T11T21. . .1Tn metric fit to the data may be a useful distribution
has a gamma [Erlang] distribution’’ (Lawless 2003). for modeling the end result, the rate of removals
as a function of engine operating hours, but is
The crucial insight was that FOD might be a not a very informative model to help us under-
good analog to this scenario, because of the ex- stand the underlying FOD/inspection/removal
pectation that it might take more than one process.
FOD incident to result in an engine removal.
Our hypothesis was that it might be possible MODELING FOD AND THE MAINTENANCE
to estimate the average number of FOD inci- PROCESS
dents needed to ‘‘drive an engine off-wing’’ by A model is needed to help understand the total
fitting an Erlang distribution to the F414 FOD process driving engine removals for FOD, i.e., a
removal data and thus develop a parametric simulation of the accumulation of FOD, inspec-
estimate of the total FOD incidence. Figure 2 tion/detection, and removal for excessive
illustrates this approach, where a shape factor damage. A Gamma distribution gives an excel-
of 2 could be interpreted as an indication that lent fit to the removals data, but does not
exactly two FOD incidents resulted in an simulate the maintenance process. The above
engine removal. However, unless we postulate a results could not disprove the presumed expo-
consistent practice of doing this, which contra- nential FOD incident hazard rate for the
dicts all other information available, this seems underlying FOD incidence, so our simulation
unlikely. model started with that basic assumption, mak-
ing the further simplifying assumption that the
The obvious next step was to fit a Gamma scale factor (l) of the FOD distribution will not
distribution to the empirical data, as illustrated change for successive hits, as there was no
in Figure 3. Qualitatively this result may obvious and plausible rationale for such a
indicate that the average number of FOD inci- dependence.
dents before an engine needs to be removed
might be somewhat less than two, however, a To model the process of FOD maintenance, it
Gamma distribution with a given k and l seemed reasonable to assume that the probabil-
cannot be readily decomposed analytically ity of removal after a FOD incident (PR) is also a
into a mix of Erlang (k 5 1,2,3, . . .) distri- constant, on average, independent of whether it
butions that might suggest a distribution is the first, second, or later incident. This implies
for the number of FOD incidents before engine that subsequent FOD severity is unaffected by
removal. prior damage, e.g., a small probability that
overlapping damage fields aggravate damage
Pragmatically, either the Erlang or Gamma severity.
distribution provides a better tool than the
exponential for data driven models to predict the These assumptions led to a process model con-
impact of ‘‘time on wing’’ on aircraft availability sisting of a cascade of Erlang distributions, with
and line maintenance planning, i.e., removals for k 5 1, 2, 3, and on, representing removals fol-
FOD are significantly less likely during early lowing one, two, three, or more FOD incidents,
scheduled inspections but may be more than respectively. If the probability of removal after
twice as high later. each FOD incident is PR, the contribution of
k 5 1 to removals would be PR times the Erlang
However, due to the variability in characteristics distribution with k 5 1 (an exponential), that of
of FOD, it seems likely that the FOD removals k 5 2 would be PR(1 PR) times the Erlang of
data is indeed a mix of removals after one, two, k 5 2, that of k 5 3 would be PR(1 PR)2 times
three, or more FOD hits on individual engines. the Erlang of k 5 3, etc.

Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45
Figure 3: Gamma Distribution (k 5 1.7133, l 5 0.3619) Fit Com- FOD Removal Hazard Rate & Survivor Function
pared with Life time Estimates of F414 FOD Removals. The Hazard Rate Survivor Function
probability plot at the bottom of the fit to the empirical removals Gamma Hazard Function Gamma Survivor Function
was produced with Weibull11. The correlation coefficient is
0.9965. This is clearly preferable to the exponential fit in Figure 1.
100%
80%
60%
40%
20%
0%
70.000
50.000
10.000
5.000
1.000
0.500
0.100
0.000 1.200 2.400 3.600 4.800 6.000
This series rapidly converges with increasing k, The unexpected implication from this model, given
as shown in Table 1, to a sum that numerically the simplifying assumptions, is that the sum of this
equals an exponential distribution for FOD attenuated series of Erlang distributions is an
removals with a failure rate 5 (lPR). In retro- exponential distribution, as evidenced in the last
spect, this result is obvious since each FOD two rows of Table 1, thus predicting that engine
event has a probability of PR of causing a removals should also be exponential. Furthermore,
removal, resulting in a hazard rate for FOD we can estimate neither PR nor the underlying FOD
removals equal to PR times the underlying FOD rate (lFOD) from observing their product, lFOD
hazard rate. Figure 4 illustrates this convergence, Removal. Thus our original objective, to estimate PR
based on a 50% removal probability after a from the observed FOD removals, is impossible if
FOD incident and the 0.1618 FOD removal this model is representative. Thus we have a process
hazard rate corresponding to the exponential fit model simulating FOD plus the associated mainte-
in Figure 1. nance process, based on plausible assumptions, that

Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45
TABLE 1: Sum of Attenuated Erlang Distributions
Time Shape (k) 0 0.25 0.5 1 2 3 4
1 0 0.03885704 0.07469434 0.13823 0.238245 0.31061 0.362969
2 0 0.00077529 0.00293995 0.010581 0.034419 0.063375 0.092798
3 0 1.0383E 05 7.82E 05 0.000555 0.003504 0.009376 0.017
4 0 1.0457E 05 1.5686-06 2.21E 05 0.000274 0.001078 0.002659
5 0 8.4365E 10 2.5242E 08 7.06E 07 1.73E 05 0.000101 0.000328
6 0 5.6766E 12 3.9066E 12 1.89E 08 9.19E 07 7.96E 06 3.41E 05
7 0 3.2755E 14 3.9066E 12 4.34E 10 4.2E 08 5.42E 07 3.07E 06
8 0 1.6543E 16 3.9415E 14 8.74E 12 1.68E 09 3.24E 08 2.44E 07
9 0 7.4284E 19 3.5365E 16 1.57E 13 6.00E 11 1.73E 09 1.73E 08
10 0 3.0026E 21 2.8568E 18 2.53E 15 1.93E 12 8.31E 11 1.1E 09
11 0 1.1034E 23 2.0984E 20 3.71E 17 5.65E 14 3.64E 12 6.42E 11
12 0 3.7176E 26 1.4132E 22 4.99E 19 1.52E 15 1.46E 13 3.43E 12
Sum 0 0.03964282 0.07771408 0.149389 0.27646 0.384549 0.47649
Exponential 0 0.03964282 0.07771408 0.14939 0.27646 0.384549 0.47649
A model of the FOD/line maintenance process, here with PR 5 0.5 and lFOD 5 0.308, and thus lFOD Removal 5 0.1618. In
general lFOD Removal 5 (lFODPR).
provides specific predictions which run counter to FUTURE WORK

the observed behavior. This discrepancy presents an Three routes to resolve this conundrum are open
opportunity to identify and test possible explana- to us, short of challenging the fundamental
tions to lead us to a better understanding of the assumption that FOD incidence and character is
FOD plus maintenance process. independent of time on wing.
Cumulative Distribution Functions Figure 4: An Illustration of the Attenuated Erlang

Underlying Exponential FOD Distribution Model of FOD Maintenance. Starting
Exponential - FOD Failure Rate/Pr with the underlying FOD exponential distribution
Sum of Attenuated Erlang Distribuions at top, generate the distribution of FOD removals at
Sum of Attenuated Erlang Distribuions (K=1, 2, 3)
Sum of Attenuated Erlang Distribuions (K=1, 2) the first incidence of FOD, then successively add the
Underlying FOD Distribution*Pr (K=1) removals for second, third, etc. FOD events, which
1 then overlays the exponential distribution for lFOD
Removal 5 (lFODPR).
0.9
0.8
Cumulative Distribution Function
0.7
0.6
0.5
0.4
0.3
0.2
0.1
0
0 1 2 3 4 5 6 7 8 9 10 11
TSN Index / Time

Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45
1. Develop and apply plausible models with that engine removal forecasts based on historical
variable PR. Parametric statistical analysis is data are reliable.
in work to evaluate the hypothesis that PR
varies with the number of removals, challeng- The understanding we sought of the frequency of
ing the assumption of perfect renewal, which FOD events resulting in the observed distribution
may suggest models for PR dependence on of removals eluded us; we need to collect and an-
prior FOD incidence. alyze line maintenance inspection observations
2. Develop and apply plausible models incorpo- and records of the rework carried out to return the
rating variation in lFOD and PR for FOD of engine to service. This level of detail is expected to
different origins, and the possibility that PR is yield a better understanding of FOD driven engine
dependent on engine time on wing. (The latter removals and improved maintenance forecasting
might model the maintainer’s reluctance to tools, the key to reliability centered maintenance
remove an engine soon after installation, perhaps and its benefits.
compensated for by more frequent inspection.)
3. Collection and analysis of detailed line main- The simple model of the FOD/line maintenance
tenance records would be the most valuable process developed here has the potential, with
measure; illuminating the underlying FOD elaboration, to further improve our understand-
frequency and severity, enabling better under- ing of the observed FOD removal drivers and
standing of the suitability of current outcomes and may have applicability to other
maintenance processes and criteria, and en- similar processes in aviation maintenance and
abling informed definition and validation of other fields.
the models proposed above.
Conclusion References
As Lawless (2003, p. 38) says: ‘‘It is important to Anon, ‘‘WP 165, intermediate maintenance, cleaning
bear in mind that models only approximate and repair of fan rotor assembly, part no. 5100T63G02.’’
F414-GE-400 Intermediate Maintenance Manual (Vol-
reality, and that in a given situation several
ume 1)—A1-F414-MMI-240 (US Navy internal
models may provide a good description of ob-
publication), May 1, 2009.
served data.’’ Equally, a model is only as valid as
the data available to test it. Lawless, J.F., Statistical models and methods for lifetime
data, 2nd ed., John Wiley & Sons, Hoboken, NJ, 2003.
This work provides an interesting example of the Millar, R.C., ‘‘Non-parametric analysis of a complex
dialectic between parametric statistical data propulsion system data base.’’ Dissertation, The
analysis and modeling of the physics (and process George Washington University, Washington, DC, 2007.
in this case) producing the behavior being stud-
Millar, R.C., T.A. Mazzuchi, and S. Sarkani, ‘‘Application
ied. Although the Erlang/Gamma fit to the data of non-parametric statistical methods to reliability da-
appears more satisfying than the exponential and tabase analysis.’’ SAE AeroTech (Paper 2007-01-3861),
promises to be a good tool to forecast FOD rem- Los Angeles, 2007.
ovals, it conflicts with the characteristics we
Millar, R.C., T.A. Mazzuchi, and S. Sarkani, ‘‘Nonpara-
expect of FOD and the maintenance process.
metric statistical analysis of the reliability of a naval
aviation propulsion system,’’ Naval Engineers Journal,
A simple stochastic model of the FOD/line Vol. 121, No. 2, pp. 111–121, 2009.
maintenance process improved our understand-
ing of the FOD/line maintenance process and its NAVAIR, ‘‘NAVAIR 00-25-403: guidelines for the naval
aviation reliability-centered maintenance process.’’
implications, reinforcing the question of why the
July 1, 2005.
removals data diverges significantly from an ex-
ponential distribution. Further elucidating this US Department of Defense, ‘‘The Under Secretary of
discrepancy is necessary to provide assurance Defense for Acquisition, Technology and Logistics

Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45
(Kenneth J. Kreig), instruction number 4151.22, ‘Condi- research program currently focused on the
tion Based Maintenance Plus (CBM1) for material systems engineering and development of
management,’ US Department of Defense, December 2, integrated instrumentation/sensor systems for
2007. use in the test and evaluation, diagnostics and
control of aerospace equipment. Dr. Millar
Author Biographies acquired a B.Eng and M.Eng (Carleton) and an
Richard C. Millar is an MSc in Management (as an MIT Sloan Fellow
Associate Professor with the sponsored by United Technologies) before
Naval Postgraduate School working for the US Navy. In 2007 he received a
Department of Systems DSc in Systems Engineering from The George
Engineering, based at the Washington University with the financial
Patuxent River Naval Air support of NAVAIR.
Station. He has 351 years
experience in the design and David H. Olwell is
development of gas turbine Professor of Systems
engines and their integration with aircraft Engineering at the Naval
propulsion and power systems. He has worked Postgraduate School,
in this field at General Electric, United and the immediate past
Technologies, Rolls-Royce, Boeing, Lockheed department chairman. He is
Martin, and BAE Systems before joining a Fellow of the American
NAVAIR in 2003. Dr. Millar has an active Council on Education.

Date : Wed, 18 Mar 2015 06:48:16 IP : 103.27.8.45

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