Clearing up some misconceptions about the QDR and national strategy formulation (UPDATED)

There are a lot of problems with the way the U.S. government crafts and communicates national strategy. If I were to run them down (which I'm not going to do here, but have done before), I might begin with the most glaring: almost none of them meet even the most very basic test to be accurately identified as strategy: they do not comprehensively consider ends, ways, and means. This goes for the National Security Strategy (published by the White House), the National Defense Strategy (published by the Office of the Secretary of Defense), and the National Military Strategy (published by the Chairman of the Joint Chiefs); it also applies to the QDR Report, which makes no titular claim to be a strategy but which is required by law to contain "a comprehensive discussion of the national defense strategy of the United States, the strategic planning guidance, and the force structure best suited to implement that strategy at a low-to-moderate level of risk."

Ex and Spencer had a little back-and-forth this morning based on Ackerman's brief blog post entitled "The Designed-In Failures of Pentagon Strategy," in which he criticizes the statutory language that mandates the QDR:

This year, something unexpected happened. In April, after the Pentagon crafted its budget, President Obama announced that the Defense Department needed to chop $400 billion out of its budget over the next decade. (Since the Pentagon will spend, unimpeded, $5 trillion over the next decade, that might not look like such a big number.) Outgoing Secretary Gates reluctantly said that the Pentagon would conduct a review of "roles and missions" to proritize -- and potentially jettison -- to guide the cuts.

Wait a minute, you might think. Why not just use the QDR for that? 

CNAS' footnote finally provides me with an answer. "[C]ongressional legislation," the CNAS report announces, "prohibits the QDR from addressing [financial] constraints." See Footnote 28:

Pursuant to 10 U.S.C. 118b, each Quadrennial Defense Review (QDR) shall be conducted so as "to make recommendations that are not constrained to comply with the budget submitted to Congress by the President." This stipulation was added in the [Fiscal Year] 2007 National Defense Authorization Act.

Aaaaaand that's my jaw hitting the floor. Congress specifically instructed the Pentagon to plan for the future without regard to the money necessary for making its plans reality. At the time, I thought the 2009 QDR was a pretty good document. Others looked at it and saw a wish list. Still others looked at it and saw an incomplete wish list. Now I see that those who considered it a wish list were quite literally accurate.

Ex shot back with "Why the QDR Should Not Mention Cost." And the Beard Battle was joined.

Spencer Ackerman is one of the brightest and most provocative defense policy journalists working today, but he is wrong to be so upset that the Department of Defense executes its Quadrennial Defense Review (QDR) without consideration of potential budget constraints. [...] It is the responsibility of elected officials in the executive and legislative branches -- not military officers of Department of Defense civilians -- to determine where and how to assume risk in our national defense posture and activities. Here is the way the conversation should go:

Department of Defense: "I need to do X, Y, and Z, and here is what I need to do X, Y, Z."

Elected Officials: "Great. We will fully fund X and Y but not Z. Given spending priorities elsewhere, we will assume risk there."

Department of Defense: "So I understand that if I am called upon to do Z and am unable to do so, the burden of responsibility falls on those elected by the American people and not those commissioned to defend the American people."

Elected Officials: "Correct."

Unfortunately, I think both guys may slightly misunderstand exactly what the QDR does and doesn't require, though they're closer to the mark in their impressions of how strategy formulation and budgeting ought to go.

Let's first go back to the footnote sentence Spencer cited in the CNAS report (which hasn't yet been made public, so we'll have to take his word for it [see update below]): "[C]ongressional legislation prohibits the QDR from addressing [financial] constraints." I'm curious to see the broader context of this statement; at best, it's misleading, and at worst, it's factually incorrect.

Here's the relevant section of the law (which is not, as the CNAS footnote indicates, 10 USC 118b, but rather 10 USC 118 (b)):

(b) Conduct of Review — Each quadrennial defense review shall be conducted so as—

(1) to delineate a national defense strategy consistent with the most recent National Security Strategy prescribed by the President pursuant to section 108 of the National Security Act of 1947 (50 U.S.C. 404a);

(2) to define sufficient force structure, force modernization plans, infrastructure, budget plan, and other elements of the defense program of the United States associated with that national defense strategy that would be required to execute successfully the full range of missions called for in that national defense strategy;

(3) to identify

• (A) the budget plan that would be required to provide sufficient resources to execute successfully the full range of missions called for in that national defense strategy at a low-to-moderate level of risk, and

• (B) any additional resources (beyond those programmed in the current future-years defense program) required to achieve such a level of risk; and

(4) to make recommendations that are not constrained to comply with the budget submitted to Congress by the President pursuant to section 1105 of title 31.

It's important to note that the law treats the QDR and the QDR report separately: §118 (a) requires a review; §188 (b) specifies how it must be conducted and what questions must be answered; and §118 (d) specifies what must be contained in the QDR report along with when and to whom it must be submitted.

The bit Spencer and the CNAS authors are talking about is in sub-subsection 4. Read it in context. It doesn't say that the QDR must ignore financial constraints -- only that the requirements identified by the review must not be adjusted or suppressed to fit with the administration's budget request. (The statute further ensures this by requiring in 10 USC 118 (d) that the QDR report be submitted to the relevant Congressional committees "not later than the date on which the President submits the budget for the next fiscal year.") The law isn't saying "don't even think about how much this costs!" -- it expressly requires consideration of budget plans "that would be required to execute successfully the full range of missions called for" in the specified national defense strategy.

If we consider this language on its face, it makes perfect sense: the Congress requires the DOD to make a full accounting of what missions, capabilities, and systems are required to execute national strategy with a low level of risk in order to understand how much must be appropriated to that end. Of course, it's hard not to be cynical (aka realistic) about the whole thing and conclude that this mandate exists to facilitate the sort of military-legislative-industrial collusion that ensures near unimpeded increases in defense spending; if legislators require the military to lay out its "requirements" irrespective of administration funding priorities, they can hammer the president for imperiling national security by failing to adequately fund their favored defense programs. This is Congress saying to the Pentagon "do not take the president's guidance about future funding levels as an appetite supressant. Tell us what you need to defend the country and we'll worry about getting the cash."

There's a simple way to solve this problem if you're the White House, to keep the military from making an end-run around you to Congress: write a good National Security Strategy (this is not a good one), complete with prioritization of interests and an appreciation of relevant conditions in the operating environment (like for example the nation's fiscal health).

You're not going to hear me say this very often, but the law is actually pretty good here: the Department is directed to conduct a review that's based on the requirements of executing the NSS with low-to-moderate risk, not on some out-of-left-field assertion of national defense requirements that the Pentagon has cooked up from scratch. If the president does a good job of setting out his view of America's vital interests and national security priorities, and he happens to define those things more narrowly than the hawks on the Hill do, that's fine; he can be held accountable by those who argue that his view of what's necessary to defend the country isn't expansive enough, but so long as his budget plans are in line with that strategy, he can't be criticized for a failure to appropriately resource the things he's asking the military to do.

Where I think Ex gets this wrong is by suggesting that there's a way for the military to punt on missions it's directed to perform, whether or not they're resourced or included in national strategy. The burden of responsibility always falls on the elected government: the Defense Department is merely the president's proxy on matters of defense. And if the military can't execute a mission that the president assigns, there may be plenty of explanations ("we're not budgeted for this," "we didn't plan for this," "you didn't tell us you were going to want to do this in the NSS," etc.) but there are no excuses. The Army and Marine Corps weren't prepared to perform counterinsurgency and stability operations in 2003 and hadn't been given to expect that they'd need to by previous guidance from higher, but they still had to adapt to accomplish the mission. The reality is that if the military is called upon to perform mission Z and found unable to do so, few people will be comfortable with the explanation "but the burden of responsibility falls on those elected by the American people and not those commissioned to defend the American people!", and Ex knows this.

But the current NSS justifies and perhaps even requires a defense program that prepares the military for nearly all contingencies in all circumstances and all climes and places, while the budget will not resource that program. Considering the fiscal and political environment, it seems clear we need a new strategy. 

Just as a point of reference, let's look at the state of national strategy formulation and publication in the Obama administration. When the president was inaugurated in January 2009, the government was operating under an NSS that was published by the Bush Administration in 2006, an NDS from 2008, and an NMS that was last published in 2004 (and then recertified as current on a two-year basis thereafter, as required by law). The QDR had last been conducted in 2005, with the report published in 2006.

Here's what's happened since:

1. The Pentagon conducted a QDR in the latter portion of 2009 and delivered the report (pdf) to Congress on February 1, 2010.
2. The National Security Strategy (pdf), which the law requires be submitted to Congress within 150 days of the inauguration of a new president, and which is meant to serve as the foundational document for the delineation of a national defense strategy by the Secretary of Defense as part of the QDR process, was published on May 1, 2010 -- 466 days after the president took office, and a full three months after the issuance of a report for which it was meant to serve as a guide. (10 USC 118 (b)(1): "Each quadrennial defense review shall be conducted so as to delineate a national defense strategy consistent with the most recent National Security Strategy prescribed by the President pursuant to section 108 of the National Security Act of 1947 (50 USC 404a).")
3. The National Military Strategy (pdf) was updated on February 8, 2011; according to the introductory letter by the CJCS, "the purpose of this document is to provide the ways and means by which our military will advance our enduring national interests as articulated in the 2010 National Security Strategy and to accomplish the defense objectives in the 2010 Quadrennial Defense Review."

And we still don't have an updated NDS, for whatever that's worth.

So long as you've read this far, I figure you're probably interested in a solution to this mess, right? Here's how the process should work, optimally:

1. When a new administration takes office, the White House should publish a meaningful, realistic, and constrained NSS. This strategy should take account of context as well as America's enduring and contemporary national interests to set concrete, achievable policy objectives (ends); describe the general approaches through which these goals can be accomplished (ways); and elaborate the elements of national power that will be created, strengthened, or maintained for application to this general plan (means). This document should be published at the outset of the president's term, as required by both law and reason.
2. Upon publication of this strategy and in accordance with the relevant statute, the Pentagon should begin a review of extant force structure, modernization plans, infrastructure, and budgets to account for the present state of the Department and the nation's military forces in parallel with the development of a national defense strategy -- to be published both as an independent NDS and as a required portion of the QDR report. This strategy should specify the defense-related objectives laid out in the NSS that DoD will seek to accomplish (ends); the types of missions that U.S. military forces will be required to conduct to do so (ways); and the military capabilities necessary to perform those missions (means). The QDR report should specify the changes to the overall defense program the Secretary deems necessary to execute an appropriate NDS in support of the NSS. 
3. In accordance with his or her legal obligation to submit "a report containing the results of a comprehensive examination of the national military strategy" not later than February 15 of each even-numbered year, the CJCS should elaborate through the publication of the NMS the Joint Chiefs' assessment of the military capabilities, doctrine, concepts, organization, personnel, and weapon systems required to execute and support the Secretary of Defense's NDS. The NMS should constitute not so much a strategy as a plan: explaining how the military services will execute the operational tasks set out for them in the NDS and the transformational objectives of the QDR report.

How's that for a start?

UPDATE @1630 ET: The CNAS report (pdf) is out. The footnoted paragraph that Spencer cited reads like this:

In light of the significant budget cuts now being considered, civilian leaders should not ask the military to execute the expansive defense plans codified in the Obama administration's National Security Strategy, Quadrennial Defense Review (QDR) and National Military Strategy. These documents did not adequately address the possible effects of budgetary constraints. In fact, congressional legislation prohibits the QDR from addressing such constraints.

Word. As should be obvious from what I've written above, I agree: it's the administration's job to make sure the NSS is realistic and attuned to environmental realities, including fiscal pressures. But it's a bit disingenuous to say that "congressional legislation [one wonders what other kind of legislation there is!] prohibits the QDR from addressing such constraints" when in fact that legislation simply requires that the QDR be conducted in line with national strategy. The law puts pressure on the administration to get the strategy right rather than putting pressure on DOD to try to make that strategy work with the limited resources on offer. As Ex wrote, it's the elected leadership's responsibility to say what ought to be done and why, and the Department's responsibility to say "here's how we will accomplish what you're asking." When the means change, you've either got to change your ways, change your ends, or accept a higher level of risk. The law doesn't allow DoD to unilaterally accept more risk, so there are two options: the Pentagon can say "here's a plausible way that we're going to do more with less," or the White House can say "we're going to ask you to do less." If doing more with less were that easy, we'd already be doing it. So national strategic objectives is what we've got left.

Strategic assumptions in a non-unitary government

Ben Lombardi had an interesting piece in the Spring 2011 issue of Parameters called "Assumptions and Grand Strategy" (pdf). I spent part of this afternoon skimming it and thinking about the way it relates to the Olson essay I cited earlier today. In explaining the three types of assumptions that impact and shape strategic plans, Lombardi reminds us of both the existence and the validity of "imposed assumptions" -- the planning constraints that stem from policy decisions made by the government.

An example of this is the exclusion of the United States as a possible adversary from British planning before both world wars. A paper prepared in 1928 for the CID stated that "[t]he improbability of war with America has been a factor in the policy of this country for a considerable number of years." It further acknowledged that the consequences of a conflict with the United States would be disastrous to British interests. Foreign Secretary Sir Austen Chamberlain observed that such a conflict was beyond reasonable expectations:

It would not even be necessary for the United States to take any warlike action against us in protest. They could close markets and financial sources of vital importance to us. Such a situation [was] the only one from which a war with America might arise, but he could not imagine that any British Government would be mad enough to create such a position.

Asserting that war with America was implausible played far more than just a passive role (i.e., excluding conflict with the US from military scenarios) in British planning. When the consolidation of the Royal Navy followed the introduction of reforms in the early years of the 20th century, there was only limited concern expressed about the reduction of naval assets in North American waters. Whitehall was also guided in framing its relations with other countries by that outlook. The Anglo-Japanese Arbitration Treaty (1911) included a clause that released Britain from its alliance obligations should Japan find itself in a conflict with the United States.

The imposition on strategic planning of this assumption was probably influenced by a variety of nonrational considerations, such as the wrongness of a conflict between the two principal Anglo-Saxon powers. It was, after all, a leading British politician, Joseph Chamberlain, who in 1896 referred to an Anglo-American war as an "absurdity as well as a crime" and opined that the two countries would one day work together to fashion a new world order "sanctioned by humanity and justice." Just as significant, however, this presupposition was also firmly grounded in a rational appreciation of Britain’s vulnerabilities and its strategic interests. As that assessment demanded that conflict with Washington be avoided, there was no purpose served in planning military contingencies against the United States. The [Committee of Imperial Defense], and presumably lower-level defense planning staffs, were instructed to assume that no such conflict would occur.

Recognition of imposed assumptions in the strategic planning process is just one of several ways that the strategist can remain cognizant of the inherently political nature of his work. If policymakers say we're not going to war with China and it does us no damned good to prepare for war with China, then that's the way it ought to be. The strategist's assumptions must be based as a matter of course on the nation's assumptions. But this can get complicated in what's probably a pretty obvious way: in a republic, no one person or body gets to decide what constitutes the national interest. Whatever your feelings about war powers or the constitutionality of military action absent legislative sanction, it's clear that the American system of government includes a role for both the Congress and the President in both foreign policy and warmaking. (The plain fact that these two domains of state action were far more clearly delineated from one another in the 18th century than the 21st -- and that the erosion of this line complicates matters -- hardly even bears mentioning.)

When it comes to national strategy, is it even possible for the executive to provide direction to his military planners based on a policy determination like the one discussed above? Could the president direct the Pentagon to exclude China from planning scenarios in a country where the Defense Department has a statutory requirement to brief Congress annually on Chinese military strength? Or where it's considered appropriate and unexceptional more generally for the Congress to legislate requirements for all sorts of similar reports and associated preparatory measures? (For example 10 U.S.C. §153(b)(2), which requires the Chairman of the Joint Chiefs of Staff to submit to Congress in odd-numbered years "an assessment of the nature and magnitude of the strategic and military risks associated with executing the missions called for under the current National Military Strategy" (which, lest you forget, is published by the CJCS himself).)

I suppose the answer is that it's still perfectly reasonable for the White House to lay down its own imposed assumptions within the confines of each administration's four-year strategic planning cycle, but the threat of Congressional squealing about anything controversial mitigates against such definitive pronouncements. (I should note here that I'm only using the China example as a thought experiment, in large part because I found it difficult not to think of our creditor-frenemy when reading Chamberlain's remarks about closing markets and governmental madness.)

Is it too hard to do realistically constrained, scenario-based strategic planning in a non-unitary government with four-year turnover? Is this what Olson meant when he said we lacked the necessary "strategic culture" absent the Cold War?

Does the 2011 National Military Strategy fail to satisfy the requirements of U.S. law?

As you may have noticed, the Chairman of the Joint Chiefs of Staff released the 2011 update to the National Military Strategy a week ago today. I've seen it asserted that the Chairman is required to review the strategy every two years, but only required to publish a new one when changes are necessary; I can't locate that provision in the law, but I might be missing something. (I've been going through Title 10 over the last couple of days. Don't ask. 10 U.S.C. Sec. 153 (d): "Not later than February 15 of each even-numbered year, the Chairman shall submit to the [Congressional defense committees] a report containing the results of a comprehensive examination of the national military strategy.") In any event, this is the first NMS to be published since 2004.

I sat down and read the NMS the morning it came out, and I'll admit that I wasn't terribly impressed. But I didn't write about it, because frankly there's just been too much going on. And that may be exactly what the Chairman and the SECDEF were hoping: that everyone would be too busy to really look at the thing. Not only does it suffer from many of the same failings as the National Security Strategy (namely: failure to actually be a strategy), but it seems to me that it fails to satisfy the statutory requirements that bear on the CJCS. So I'm going to go through the bit of the U.S. Code that specifies what "each report on the examination of the national military strategy" must include and just take a quick glance at whether or not that happened. You with me?

(A) Delineation of a national military strategy consistent with [the NSS, the QDR, and the SECDEF's required reports]

Ok, yes, we have a document called "the National Military Strategy." I'll let lawyers decide whether its not actually being a strategy is a violation of the spirit of the statute, but we'll give them a pass on this one.

(B) A description of the strategic environment and the opportunities and challenges that affect United States national interests and United States national security.

There is definitely a section entitled "Strategic Environment" (section II, page 2). Let's ignore the fact that it's merely a restatement of the same specious vagaries about "demographic trends," "nonstate actors," "weapons of mass destruction," "global commons," etc. that appear in every "strategy" or operating concept published by the Department; we'll give 'em two for two so far.

(C) A description of the regional threats to United States national interests and United States national security.

This wholly absent from the document. Threats are simply not discussed outside such vague assertions as "states with weak, failing, and corrupt governments will incresingly be used as a safe haven for an expanding array of non-state actors that breed conflict and endanger stability" -- and that's in the "strategic environment" section. The NMS does deal with several geographic regions individually in the section detailing the third "National Military Objective," to strengthen international and regional security. But this bit lays out U.S. goals and priorities in each of the regions, not "a description of regional threats."

(D) A description of the international threats posed by terrorism, weapons of mass destruction, and asymmetric challenges to United States national security.

Again, there is no description of these threats, but merely an assertion of them as a feature of the "strategic environment." The word "asymmetric" is used only once in the document, in the context of desired U.S. space capabilities: "Joint Forces will... maintain symmetric and asymmetric capabilities to deter adversaries [in space]," which doesn't even make any damn sense. (What is an "asymmetric capability"? Here I feel compelled to paraphrase Conrad Crane and note that there are only two types of warfare: asymmetric and stupid. But asymmetric capabilities? Can anyone give me an example?)

(E) Identification of United States national military objectives and the relationship of those objectives to the strategic environment, regional, and international threats.

As noted above, the NMS does identify four "National Military Objectives": 1) Counter violent extremism; 2) Deter and defeat aggression; 3) Strengthen international and regional security; and 4) Shape the future force. It's not clear to me that the document identifies or explains "the relationship of those objectives to the strategic environment, regional, and international threats," seeing as threats are basically not identified at all, but this provision of the law could probably have been written more clearly.

(F) Identification of the strategy, underlying concepts, and component elements that contribute to the achievement of United States national military objectives.

This is what the entire middle section of the document is meant to accomplish, but it's a pretty poor show. I don't see a lot about underlying concepts (except "leadership") or component elements, or really much of anything beyond "this is what we want to do" without a whole lot of detail on the "how."

(G) Assessment of the capabilities and adequacy of United States forces (including both active and reserve components) to successfully execute the national military strategy.

If I've never read a National Military Strategy in my life and I'm trying to imagine what it should look like from reading the law, this is the section I'm going to focus on. Strategy -- as we've discussed many times -- is about means, ways, and ends. Objectives, of course, are the ends. Concepts of operation and force employment are the ways. Capabilities and resources are the means. You work backwards from what you need to accomplish (ends), figure out the mechanisms through which those things are accomplished (ways), and then identify and budget for the necessary tools (means). So yeah, an assessment of the adequacy of your capabilities is pretty freakin' important to understanding the risk you accept when implementing a particular strategy. More on that in a second.

(H) Assessment of the capabilities, adequacy, and interoperability of regional allies of the United States and or other friendly nations to support United States forces in combat operations and other operations for extended periods of time.

Probably shouldn't shock us that there's no assessment of partner forces' ability to support U.S. operations when there's not even an assessment of U.S. capabilities.

(3)(A) As part of the assessment under this subsection, the Chairman, in conjunction with the other members of the Joint Chiefs of Staff and the commanders of the unified and specified commands, shall undertake an assessment of the nature and magnitude of the strategic and military risks associated with successfully executing the missions called for under the current National Military Strategy.

This is a separate subsection of the bit that pertains to the NMS; it's not something that is mandated for inclusion in the report, but a task the Chairman is expected to perform as a part of the broader review process. There's nothing that says he has to put the results of this assessment down on paper, but it sure would be nice to know, huh? Of course, in order to perform an assessment of strategic and military risk vis-a-vis the current strategy, you have to have a real strategy, right? You have to have clearly outlined missions, right? As should be pretty plain by now, that seems to be a bridge too far.

So what did we get? Well, we got plenty of meaningless boilerplate like "Leadership is how we exercise the full spectrum of power to defend our national interests and advance international security and stability." We got a restatement of a whole bunch of vague principles of national security and military force. We got a paean to the power of the interagency. We got a potentially meaningful hint that the outgoing Chairman sees a need to rebalance our military posture in favor of traditional missions and away from the sort of manpower-intensive land wars represented by current operations. But we didn't get real strategy. Here's how the document concludes:

This strategy is derived from a thorough assessment of the strategic environment and how to advance our national interests within it. It describes how the Joint Force will redefine America’s military leadership by enabling whole-of-nation approaches to address national security challenges. It calls for a broad portfolio of leadership approaches – facilitator, enabler, convener, and guarantor - to address problems that are truly international in nature. Our leadership approaches magnify the capabilities we possess, making them just as important to assuring favorable outcomes. Our ability to lead will determine how well we advance America’s interests through this strategic inflection point.

Um, right. So we use leadership to assure our interests. Which we advance to assure our leadership. Uh, and so on.

Congress should really be outraged about the whole thing. Presumably they enact laws for a reason, and they should either insist upon their satisfaction or take them off the books. Do I think this disappointingly shallow public-relations document represents the entirety of the U.S. military's efforts to think through global challenges, develop appropriate capabilities, and do the real scutwork of strategy development? No, I don't. But the weakness of this statutorily-mandated review is emblematic of a bigger, more meaningful failure in that regard, and the failure of Congress to perform due oversight helps to perpetuate that failure.