Category Lessons of History

Captured Records: World War I

When Shawn Woodford sent me that article on the Captured Iraqi Records, it reminded me of a half-dozen examples I had dealt with over the years. This will keep me blogging for a week or more. Let me start a hundred years ago, with World War I.

The United States signed a separate treaty with Germany after the end of World War I. We were not part of the much maligned Versailles Treaty (although we had to come back to Europe to help clean up the mess they made of the peace). As part of that agreement, we required access to the German military archives.

We used this access well. We put together a research team that included Lt. Colonel Walter Kruger. The United States plopped this team of researchers in Germany for a while and carefully copied all the records of German units that the United States faced. This really covered only the last year of a war that lasted over four years (28 July 1914 – 11 November 1918). Krueger was in Germany with the team in 1922. This was a pretty significant effort back in the days before Xerox machines, microfilm, scanners, and other such tools.

These records were later saved to the U.S. National Archives. So one can access those records now, and will find the records of U.S. units involved, the German units involved (much of it translated), along with maps and descriptions of the fighting. It is all nicely assembled for researchers. It is a very meticulous and nicely done collection.

Just to add to the importance of this record collection, the German archives in Potsdam were bombed by the RAF in April 1945, destroying most of their World War I records (this raid on 14/15 April: apr45 and also: bundesarchiv). So, one cannot now go back and look up these German records. The only surviving primary source combat records for many German units from World War I is the records in the U.S. Archives copied (translated and typed from the original) done by the U.S. researchers.

Lt. Colonel Krueger was fluent in German because of his family background (he was born in Prussia). During World War II, he rose to be a full general (four-star general) in command of the Sixth Army in the Pacific: https://en.wikipedia.org/wiki/Walter_Krueger

This effort sets that standard almost a hundred years ago of what could/should be done with captured records. A later post will discuss the World War II effort.

The Sad Story Of The Captured Iraqi DESERT STORM Documents

 

TDI Friday Read: Principles Of War & Verities Of Combat

[izquotes.com]

Trevor Dupuy distilled his research and analysis on combat into a series of verities, or what he believed were empirically-derived principles. He intended for his verities to complement the classic principles of war, a slightly variable list of maxims of unknown derivation and provenance, which describe the essence of warfare largely from the perspective of Western societies. These are summarized below.

What Is The Best List Of The Principles Of War?

The Timeless Verities of Combat

Trevor N. Dupuy’s Combat Attrition Verities

Trevor Dupuy’s Combat Advance Rate Verities

McMaster vs Spector on Vietnam

Lt. General H. R. McMaster, the U.S. National Security Advisor, wrote a doctoral dissertation on Vietnam that was published in 1997 as Dereliction of Duty: Lyndon Johnson, the Joint Chiefs of Staff and the Lies That Led to Vietnam. Ronald Spector, former Marine, Vietnam vet, and historian just published this interesting article:  What McMaster Gets Wrong About Vietnam

What caught my interest was the discussion by Spector, very brief, that the Vietnamese had something to do with the Vietnam war. Not an earthshaking statement, but certainly a deserved poke at the more American-centric view of the war.

In my book, America’s Modern Wars, I do have a chapter called “The Other Side” (Chapter 18). As I note in the intro to that chapter (page 224):

Warfare is always a struggle between at least two sides. Yet, the theoretical study of insurgencies always seems to be written primarily from the standpoint of one side, the counterinsurgents. We therefore briefly looked at what the other side was saying to see if there were any theoretical constructs that were proposed or supported by them. They obviously knew as much about insurgencies as the counterinsurgents.

We then examined the writings and interview transcripts of eight practitioners of insurgency and ended up trying to summarize their thoughts in one barely “easy-to-read” table (pages 228-229), the same as we did for ten counterinsurgent theorists (pages 187-201). The conclusion to this discussion was (pages 235-236):

The review of the insurgents shows an entirely different focus as to what is important in an insurgency than one gets from reading the “classical” counterinsurgent theorists. In the end, the insurgent is primarily focused on the cause. The military aspects of the insurgency seem to be secondary concerns…..On the other hand, the majority of the insurgents we reviewed actually won or managed a favorable results from their war in the long run (this certainly applies to Grivas and Itote). Perhaps their focus on the political cause, with the military aspects secondary, is an indication of the correct priorities. 

I do have a chapter on Vietnam in the book also (Chapter 22).

The Sad Story Of The Captured Iraqi DESERT STORM Documents

The fundamental building blocks of history are primary sources, i.e artifacts, documents, diaries and memoirs, manuscripts, or other contemporaneous sources of information. It has been the availability and accessibility of primary source documentation that allowed Trevor Dupuy and The Dupuy Institute to build the large historical combat databases that much of their analyses have drawn upon. It took uncounted man-hours of time-consuming, pain-staking research to collect and assemble two-sided data sufficiently detailed to analyze the complex phenomena of combat.

Going back to the Civil War, the United States has done a commendable job collecting and organizing captured military documentation and making that material available for historians, scholars, and professional military educators. TDI has made extensive use of captured German documentation from World War I and World War II held by the U.S. National Archives in its research, for example.

Unfortunately, that dedication faltered when it came to preserving documentation recovered from the battlefield during the 1990-1991 Gulf War. As related by Douglas Cox, an attorney and Law Library Professor at the City University of New York School of Law, millions of pages of Iraqi military paper documents collected during Operation DESERT STORM were destroyed by the Defense Intelligence Agency (DIA) in 2002 after they were contaminated by mold.

As described by the National Archives,

The documents date from 1978 up until Operation Desert Storm (1991). The collection includes Iraq operations plans and orders; maps and overlays; unit rosters (including photographs); manuals covering tactics, camouflage, equipment, and doctrine; equipment maintenance logs; ammunition inventories; unit punishment records; unit pay and leave records; handling of prisoners of war; detainee lists; lists of captured vehicles; and other military records. The collection also includes some manuals of foreign, non-Iraqi weapons systems. Some of Saddam Hussein’s Revolutionary Command Council records are in the captured material.

According to Cox, DIA began making digital copies of the documents shortly after the Gulf War ended. After the State Department requested copies, DIA subsequently determined that only 60% of the digital tapes the original scans had been stored on could be read. It was during an effort to rescan the lost 40% of the documents that it was discovered that the entire paper collection had been contaminated by mold.

DIA created a library of the scanned documents stored on 43 compact discs, which remain classified. It is not clear if DIA still has all of the CDs; none had been transferred to the National Archives as of 2012. A set of 725,000 declassifed pages was made available for a research effort at Harvard in 2000. That effort ended, however, and the declassified collection was sent to the Hoover Institution at Stanford University. The collection is closed to researchers, although Hoover has indicated it hopes to make it publicly available sometime in the future.

While the failure to preserve the original paper documents is bad enough, the possibility that any or all of the DIA’s digital collection might be permanently lost would constitute a grievous and baffling blunder. It also makes little sense for this collection to remain classified a quarter of a century after end of the Gulf War. Yet, it appears that failures to adequately collect and preserve U.S. military documents and records is becoming more common in the Information Age.

Structure Of The U.S. Defense Department History Programs

With the recent discussions of the challenges facing U.S. government historians in writing the official military histories of recent conflicts, it might be helpful to provide a brief outline of the structure of the Department of Defense (DOD) offices and programs involved. There are separate DOD agency, joint, and service programs, which while having distinct missions, sometime have overlapping focuses and topics. They are also distinct from other Executive Branch agency history offices, such as the Office of the Historian at the State Department.

The Office of the Secretary of Defense has its own Historical Office, which focuses on collecting, preserving, and presenting the history of the defense secretaries. Its primary publications are the Secretaries of Defense Historical Series. Although the office coordinates joint historical efforts among the military services and DOD agency history offices, it does not direct their activities.

The Joint History Office of the Joint Chiefs of Staff (JCS) provides historical support to the Chairman and Vice Chairman of the Joint Chiefs of Staff and to the Joint Staff. Its primary publications are the JCS and National Policy series, as well as various institutional studies and topical monographs.

The Joint History Office also administers the Joint History Program, which includes the history offices of the joint combatant commands. Its primary role is to maintain the history programs of the commanders of the combatant commands. Current guidance for the Joint History Program is provided by Chairman of the Joint Chiefs Instruction 5320.1B, “Guidance for the Joint History Program,” dated 13 January 2009.

Each of the military services also has its own history program. Perhaps the largest and best known is the Army Historical Program. Its activities are defined in Army Regulation 870-5, “Military History: Responsibilities, Policies, and Procedures,” dated 21 September 2007. The program is administered by the Chief of Military History, who is the principal advisor to the Secretary of the Army and the Army Chief of Staff for all historical matters, and is dual-hatted as the director of the U.S. Army Center for Military History.

The Air Force History and Museum Program is outlined in Air Force Policy Directive 84-1, “Historical Information, Property, and Art,” dated 16 September 2005. The Director of Air Force History and Museums, Policies, and Programs oversees the Air Force Historical Studies Office, and its field operating agency, the Air Force Historical Research Agency.

The Navy History Program is managed by the Director of Navy History. Its activities are described in OPNAV Instruction 5750.4E, “Navy History Programs,” dated 18 June 2012. The Navy’s central historical office is the Naval History and Heritage Command, which includes the Navy Department Library and the National Museum of the United States Navy in Washington, D.C.

The U.S. Marine Corps History Division, a branch of Marine Corps University, runs and administers the Marine history program. Its policies, procedures, standards, and responsibilities are outlined in Marine Corps Order 5750.1H, dated 13 February 2009.

In future posts, I will take a closer look at the activities and publications of these programs.

Military History In The Digital Era

Volumes of the U.S. Army in World War II official history series published by the U.S. Army Center for Military History [Hewes Library photo]

The U.S. National Archives and Records Administration (NARA) has released a draft strategic plan announcing that it will “no longer accept transfers of permanent or temporary records in analog formats and will accept records only in electronic format and with appropriate metadata” by the end of 2022. Given the widespread shift to so-called “paperless” offices across society, this change may not be as drastic as it may seem. Whether this will produce an improvement in record keeping is another question.

Military historians are starting to encounter the impact of electronic records on the preservation and availability of historical documentation of America’s recent conflicts. Adin Dobkin wrote an excellent overview earlier this year on the challenges the U.S Army Center for Military History faces in writing the official histories of the U.S Army in Afghanistan and Iraq. Army field historians on tight deployment timelines “hoovered up” huge amounts of electronic historical documentation during the conflicts. Now official historians have to sort through enormous amounts of material that is often poorly organized and removed from the context from which it was originally created. Despite the volume of material collected, much of it has little historical value and there are gaps in crucial documentation. Separating the useful wheat from the digital chaff can tedious and time-consuming.

Record keeping the paper age was often much better. As Chris wrote earlier this year, TDI conducted three separate studies on Army records management in the late-1990s and early 2000s. Each of these studies warned that U.S. Army documentation retention standards and practices had degraded significantly. Significant gaps existed in operational records vital to future historians. TDI found that the Army had better records for Red Cloud’s War of 1866-1868 than it did a hundred years later for Vietnam.

TDI is often asked why it tends to focus on the World War II era and earlier for its analytical studies. The answer is pretty simple: those are the most recent conflicts for which relatively complete, primary source historical data is available for the opposing combatants. Unfortunately, the Digital Age is unlikely to change that basic fact.

Military History Publications By Women

Grace Person Hayes, The History of the Joint Chiefs of Staff in World War II: The War Against Japan, Naval Institute Press, 1982. If you have an interest in World War II, strategy, and strategy-making and have not yet read this, I highly recommend it.

Lists of suggested and recommended books continue to be popular in national security and strategic studies circles. General Mark Milley, the Chief of Staff of the U.S. Army, recently released his professional reading list for 2017. This list covers topics addressing battles and campaigns, the army profession, and strategy and the strategic environment.

While the extended list comprises many relevant and notable works, some readers pointed out that it contains only one work authored by a woman, Barbara W. Tuchman’s classic The Guns Of August, published in 1962. In response, a call went out on Twitter to solicit titles of books by women on military history subjects. The initial version of this list is posted here.

This list of books on military history (and other related topics) is not exhaustive, nor the only one available, but it amply demonstrates that in 2017, there really is no shortage of worthy and appropriate publications written by women available for inclusion on professional reading lists. The addition of any of these titles would provide a broader perspective to any undertaking specifically intended to expand the thinking of students and practitioners.

It also shows that women are publishing works that are interesting in their own right but don’t seem to be getting the recognition that they deserve. Like Eric M. Murphy, I took a look at my own personal book collection and realized just how few of them were written by women. I am reasonably certain that I don’t intentionally avoid buying books by women, but I have tangible proof that I have done so regardless. I have read or am familiar with many of the works on the list cited above, many of which I can and have recommended without reservation. But there are also many titles that I have not yet looked at, so I have some work to do. I can do better at this and if I find something noteworthy, I can pipe up about it. I think we all can.

Trevor Dupuy on Military Innovation

In an article published by the Association of the U.S. Army last November that I missed on the first go around, U.S. Army Colonel Eric E. Aslakson and Lieutenant Colonel Richard T. Brown, (ret.) make the argument that “Staff colonels are the Army’s innovation center of gravity.”

The U.S. defense community has settled upon innovation as one of the key methods for overcoming the challenges posed by new technologies and strategies adapted by potential adversaries, as articulated in the Third Offset Strategy developed by the late Obama administration. It is becoming clear however, that a desire to innovate is not the same as actual innovation. Aslakson and Brown make the point that innovation is not simply technological development and identify what they believe is a crucial institutional component of military innovation in the U.S. Army.

Innovation is differentiated from other forms of change such as improvisation and adaptation by the scale, scope and impact of that value creation. Innovation is not about a new widget or process, but the decisive value created and the competitive advantage gained when that new widget or process is applied throughout the Army or joint force…

However, none of these inventions or activities can rise to the level of innovation unless there are skilled professionals within the Army who can convert these ideas into competitive advantage across the enterprise. That is the role of a colonel serving in a major command staff leadership assignment…

These leaders do not typically create the change. But they have the necessary institutional and operational expertise and experience, contacts, resources and risk tolerance to manage processes across the entire framework of doctrine, organization, training, materiel, leadership and education, personnel and facilities, converting invention into competitive advantage.

In his seminal book, The Evolution of Weapons and Warfare (Indianapolis, IN: The Bobbs-Merrill Company, Inc., 1980), Trevor Dupuy noted a pattern in the historical relationship between development of weapons of increasing lethality and their incorporation in warfare. He too noted that the crucial factor was not the technology itself, but the organizational approach to using it.

When a radically new weapon appears and is first adopted, it is inherently incongruous with existing weapons and doctrine. This is reflected in a number of ways; uncertainty and hesitation in coordination of the new weapon with earlier ones; inability to use it consistently, effectively, and flexibly in offensive action, which often leads to tactical stalemate; vulnerability of the weapon and of its users to hostile countermeasures; heavy losses incident to the employment of the new weapon, or in attempting to oppose it in combat. From this it is possible to establish the following criteria of assimilation:

  1. Confident employment of the weapon in accordance with a doctrine that assures its coordination with other weapons in a manner compatible with the characteristics of each.
  2. Consistently effective, flexible use of the weapon in offensive warfare, permitting full employment of the advantages of superior leadership and/or superior resources.
  3. Capability of dealing effectively with anticipated and unanticipated countermeasures.
  4. Sharp decline in casualties for those employing the weapon, often combined with a capability for inflicting disproportionately heavy losses on the enemy.

Based on his assessment of this historical pattern, Dupuy derived a set of preconditions necessary for a successful assimilation of new technology into warfare.

  1. An imaginative, knowledgeable leadership focused on military affairs, supported by extensive knowledge of, and competence in, the nature and background of the existing military system.
  2. Effective coordination of the nation’s economic, technological-scientific, and military resources.
    1. There must exist industrial or developmental research institutions, basic research institutions, military staffs and their supporting institutions, together with administrative arrangements for linking these with one another and with top decision-making echelons of government.
    2. These bodies must conduct their research, developmental, and testing activities according to mutually familiar methods so that their personnel can communicate, can be mutually supporting, and can evaluate each other’s results.
    3. The efforts of these institutions—in related matters—must be directed toward a common goal.
  3. Opportunity for battlefield experimentation as a basis for evaluation and analysis.

Does the U.S. defense establishment’s organizational and institutional approach to innovation meet these preconditions? Good question.

Aussie OR

Over the years I have run across a number of Australian Operations Research and Historical Analysis efforts. Overall, I have been impressed with what I have seen. Below is one of their papers written by Nigel Perry. He is not otherwise known to me. It is dated December 2011: Applications of Historical Analyses in Combat Modeling

It does address the value of Lanchester equations in force-on-force combat models, which in my mind is already a settled argument (see: Lanchester Equations Have Been Weighed). His is the latest argument that I gather reinforces this point.

The author of this paper references the work of Robert Helmbold and Dean Hartley (see page 14). He does favorably reference the work of Trevor Dupuy but does not seem to be completely aware of the extent or full nature of it (pages 14, 16, 17, 24 and 53). He does not seem to aware that the work of Helmbold and Hartley was both built from a database that was created by Trevor Dupuy’s companies HERO & DMSI. Without Dupuy, Helmbold and Hartley would not have had data to work from.

Specifically, Helmbold was using the Chase database, which was programmed by the government from the original paper version provided by Dupuy. I think it consisted of 597-599 battles (working from memory here). It also included a number of coding errors when they programmed it and did not include the battle narratives. Hartley had Oakridge National Laboratories purchase a computerized copy from Dupuy of what was now called the Land Warfare Data Base (LWDB). It consisted of 603 or 605 engagements (and did not have the coding errors but still did not include the narratives). As such, they both worked from almost the same databases.

Dr. Perrty does take a copy of Hartley’s  database and expands it to create more engagements. He says he expanded it from 750 battles (except the database we sold to Harley had 603 or 605 cases) to around 1600. It was estimated in the 1980s by Curt Johnson (Director and VP of HERO) to take three man-days to create a battle. If this estimate is valid (actually I think it is low), then to get to 1600 engagements the Australian researchers either invested something like 10 man-years of research, or relied heavily on secondary sources without any systematic research, or only partly developed each engagement (for example, only who won and lost). I suspect the latter.

Dr. Perry shows on page 25:

Data-segment……..Start…….End……Number of……Attacker…….Defender

Epoch…………………Year…….Year……..Battles………Victories……Victories

Ancient………………- 490…….1598………….63………………36……………..27

17th Century……….1600…….1692………….93………………67……………..26

18th Century……….1700…….1798………..147…………….100……………..47

Revolution…………..1792……1800…………238…………….168…………….70

Empire……………….1805……1815…………327……………..203…………..124

ACW………………….1861……1865…………143……………….75…………….68

19th Century……….1803…….1905…………126……………….81…………….45

WWI………………….1914…….1918…………129……………….83…………….46

WWII…………………1920…….1945…………233……………..165…………….68

Korea………………..1950…….1950…………..20……………….20………………0

Post WWII………….1950……..2008…………118……………….86…………….32

 

We, of course, did something very similar. We took the Land Warfare Data Base (the 605 engagement version), expanded in considerably with WWII and post-WWII data, proofed and revised a number of engagements using more primarily source data, divided it into levels of combat (army-level, division-level, battalion-level, company-level) and conducted analysis with the 1280 or so engagements we had. This was a much more powerful and better organized tool. We also looked at winner and loser, but used the 605 engagement version (as we did the analysis in 1996). An example of this, from pages 16 and 17 of my manuscript for War by Numbers shows:

Attacker Won:

 

                        Force Ratio                Force Ratio    Percent Attack Wins:

                        Greater than or         less than          Force Ratio Greater Than

                        equal to 1-to-1            1-to1                or equal to 1-to-1

1600-1699        16                              18                         47%

1700-1799        25                              16                         61%

1800-1899        47                              17                         73%

1900-1920        69                              13                         84%

1937-1945      104                                8                         93%

1967-1973        17                              17                         50%

Total               278                              89                         76%

 

Defender Won:

 

                        Force Ratio                Force Ratio    Percent Defense Wins:

                        Greater than or         less than          Force Ratio Greater Than

                        equal to 1-to-1            1-to1                or equal to 1-to-1

1600-1699           7                                6                       54%

1700-1799         11                              13                       46%

1800-1899         38                              20                       66%

1900-1920         30                              13                       70%

1937-1945         33                              10                       77%

1967-1973         11                                5                       69%

Total                130                              67                       66%

 

Anyhow, from there (pages 26-59) the report heads into an extended discussion of the analysis done by Helmbold and Hartley (which I am not that enamored with). My book heads in a different direction: War by Numbers III (Table of Contents)

 

 

Soviet OR

There was a sense among some in the Sovietology community in the late 1980s that Soviet Operations Research (OR) was particularly advanced. People had noticed the 300-man Soviet Military History Institute and the Soviet use of the quantified “Correlation of Forces and Means,” which they used in WWII and since. Trevor Dupuy referenced these in his writings. They had noticed a number of OR books by professors at their Frunze Military Academy. In particular, the book Tactical Calculations by Anatoli Vainer was being used by a number of Sovietologists in their works and presentations (including TNDA alumni Col. John Sloan). There was a concern that the Soviet Union was conducting extensive quantitative analysis of its historical operations in World War II and using this to further improve their war fighting capabilities.

This is sort of a case of trying to determine what is going on by looking at the shadows on a cave wall (Plato analogy here). In October 1993 as part of the Kursk project, we meet with our Russian research team headed by Dr. Fyodor Sverdlov (retired Colonel, Soviet WWII veteran, and former head of the Frunze Military Academy History Department). Sitting there as his right hand man was Dr. Anatoli Vainer (also a retired Colonel, a Soviet WWII veteran and a Frunze Military Academy professor).

We had a list of quantitative data that we needed for the Kursk Data Base (KDB). The database was to be used as a validation database for the Center of Army Analysis (CAA) various modeling efforts. As such, we were trying to determine for each unit for each day the unit strength, losses, equipment lists, equipment losses, ammunition levels, ammunition expenditures, fuel levels, fuel expenditures, and so forth. They were stunned. They said that they did not have models like that. We were kind of surprised at that response.

Over the course of several days I got to know these two gentlemen, went swimming with Col. Sverdlov and had dinner over at Col. Vainer’s house. I got to see his personal library and the various books he wrote. Talked to him as much as I could sensitively do so about Soviet OR, and they were pretty adamant that there really wasn’t anything significant occurring. Vainer told me that his primary source for materials for his books was American writings on Operations Research. So, it appeared that we had completed a loop….the Soviets were writing OR books based upon our material and we were reading them and thinking they had a well developed OR structure.

Their historical research was also still primarily based upon one-side data. They simply were not allowed to access the German archives and regardless they knew that they should not be publishing Soviet casualty figures or any negative comparisons. Col. Sverdlov, who had been in the war since Moscow 1941, was well aware of the Soviet losses, and had some sense that the German losses were less, but this they could not publish [Sverdlov: “I was at Prokhorovka after the war, and I didn’t see 100 Tigers there”]. So, they were hardly able to freely conduct historical analysis in an unbiased manner.

In the end, at this time, they had not developed the analytical tools or capability to fully explore their own military history or to conduct operations research.