Navy Aegis Ballistic Missile Defense (BMD)
Program: Background and Issues for Congress
Ronald O'Rourke
Specialist in Naval Affairs
May 4November 29, 2011
Congressional Research Service
7-5700
www.crs.gov
RL33745
CRS Report for Congress
Prepared for Members and Committees of Congress
Navy Aegis Ballistic Missile Defense (BMD) Program
Summary
The Aegis ballistic missile defense (BMD) program, which is carried out by the Missile Defense
Agency (MDA) and the Navy, gives Navy Aegis cruisers and destroyers a capability for
conducting BMD operations. Under MDA and Navy plans, the number of BMD-capable Navy
Aegis ships is scheduled to grow from 23 at the end of FY2011 to 41 at the end of FY2016, and
the cumulative number of SM-3 Aegis BMD interceptor missiles delivered to the Navy is scheduled
scheduled to grow from 111 at the end of FY2011 to 341 at the end of FY2016.
Under the Administration’s European Phased Adaptive Approach (EPAA) for European BMD
operations, BMD-capable Aegis ships will operatehave begun operating in European waters to defend Europe from
from potential ballistic missile attacks from countries such as Iran. BMD-capable Aegis ships also
On October 5, 2011, the
United States, Spain, and NATO jointly announced that, as part of the EPAA, four BMD-capable
Aegis ships are to be forward-homeported (i.e., based) at Rota, Spain, beginning in 2014. BMDcapable Aegis ships also operate in the Western Pacific and the Persian Gulf to provide regional
defense against potential
ballistic missile attacks from countries such as North Korea and Iran.
The Aegis BMD program is funded mostly through MDA’s budget. The Navy’s budget provides
additional funding for BMD-related efforts. MDA’s proposed FY2012 budget requests a total of
$2,380.3 million in procurement and research and development funding for Aegis BMD efforts,
including funding for Aegis Ashore sites that are to be part of the EPAA.
Some observers are concerned—particularly in light of the EPAA—that demands from U.S.
regional military commanders for BMD-capable Aegis ships are growing faster than the number
of BMD-capable Aegis ships. They are also concerned that demands from U.S. regional military
commanders for Aegis ships for conducting BMD operations could strain the Navy’s ability to
provide regional military commanders with Aegis ships for performing non-BMD missions.
Issues for Congress include whether to approve, reject, or modify MDA and Navy funding
requests for the Aegis BMD program, and whether to provide MDA or the Navy with additional
direction concerning the program. Options for Congress include, among other things, the
following: accelerating the modification of Aegis ships to BMD-capable configurations,
increasing procurement of new Aegis destroyers, increasing procurement of SM-3 missiles, and
providing funding for integrating the SM-2 Block IV BMD interceptor missile into the 4.0.1
version of the Aegis BMD systemdemands for BMD-capable Aegis ships, demands for Aegis ships in
general, the U.S. economic impact of shifting four Aegis ships to Rota, Spain, U.S. vs. European
naval contributions to European BMD, the capability of the SM-3 Block IIB Aegis BMD
interceptor, and technical risk in the Aegis program.
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Contents
Introduction ..................................................................................................................................1
Background .... 1
Background...................................................................................................................................... 1
Navy Aegis Ships ...................................................................................................................... 1
Ticonderoga (CG-47) Class Aegis Cruisers ........................................................................ 1
Arleigh Burke (DDG-51) Class Aegis Destroyers .............................................................. 1
Projected Aegis Ship Force Levels ...................................................................................... 2
Aegis Ships in Allied Navies ............................................................................................... 2
Aegis BMD System ................................................................................................................... 3
Versions of Aegis BMD System .......................................................................................... 3
Aegis BMD Interceptor Missiles ......................................................................................... 3
European Phased Adaptive Approach (EPAA) for European BMD .......................................... 5
General ................................................................................................................................ 5
Aegis Ashore Sites .............................................................................................................. 6
First BMD-Capable Aegis Ship Deployed As Part of EPAA .............................................. 7
Planned Numbers of BMD-Capable Aegis Ships and SM-3 Interceptors................................. 7
Home Ports of BMD-Capable Aegis Ships ............................................................................... 9
Pacific vs. Atlantic Fleet Homeporting ............................................................................... 9
October 5, 2011, Announcement of Homeporting in Spain to Start in 2014....................... 98
Aegis BMD Flight Tests ........................................................................................................9.. 12
Allied Participation and Interest in Aegis BMD Program ...................................................... 10. 13
Japan ............................................................................................................................. 10..... 13
Other Countries ............................................................................................................... 11.. 13
FY2012 Funding Request........................................................................................................ 14 11
Issues for Congress ................................................................................................................... 12..... 16
Demands for BMD-Capable Aegis Ships................................................................................ 16
Demands for Aegis Ships in General..... 12
April 2011 Navy Report to Congress ............................................................................. 13
Potential Number of BMD-Capable Ships Needed for EPAA..... 20
U.S. Economic Impact of Shifting Four Aegis Ships to Rota, Spain ........................................ 14
Demands for Aegis Ships in General 23
U.S. vs. European Naval Contributions to European BMD .................................................... 24
Capability of SM-3 Block IIB Interceptor............................................................................... 18
April 2011 Navy Report to Congress 24
Technical Risk in Aegis BMD Program ................................................................................. 18
General Discussion . 26
March 2011 GAO Report ........................................................................................................... 18
Additional Issues Concerning European Aegis BMD Operations ......................................... 21
Technical Risk in Aegis BMD Program ............................................................................... 26
March 2011 GAO Report 27
April 2011 Press Report .................................................................................................... 30
Additional Issues Concerning European Aegis BMD Operations........................................... 32
Legislative Activity for FY2012 .................................................................................................... 37
Summary of Action on FY2012 MDA Funding Request ........................................................ 37
FY2012 National Defense Authorization Bill (H.R. 1540/S. 1867/S. 1253)........................... 38
House................................................................................................................................. 38
Senate (S. 1867) ..................................................................................................... 26
April 2011 Press Report ........... 44
Senate (S. 1253) ................................................................................................................ 30
Legislative Activity for FY2012 44
FY2012 DOD Appropriations Bill (H.R. 2219) ...................................................................... 46
House....................................................................................................... 32
FY2012 Funding Request.......................... 46
Senate ........................................................................................................... 32..................... 46
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Tables
Table 1. Versions of Aegis BMD System ......................................................................................... 5
Table 2. Numbers of BMD-Capable Aegis Ships and SM-3 Missiles ............................................. 8
Table 3. MDA Funding for Aegis BMD Efforts, FY2011-FY2016 ............................................... 15
Table 4 12
Table A-1. Summary of Congressional Action on MDA’s FY2011 Funding Request .................. 33
Table C-1. Aegis BMD Flight Tests Since January 2002 FY2012 Request for MDA Procurement
and RDT&E Funding for Aegis BMD Program ............................................................................. 64
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Appendixes
Appendix A. Legislative Activity for FY2011............. 38
Table B-1. Aegis BMD Flight Tests Since January 2002............................................................... 3361
Appendixes
Appendix BA. Additional Background Information European Phased Adaptive Approach
(EPAA) ....................................................................................................................................... 48 51
Appendix CB. Aegis BMD Flight Tests .......................................................................................... 64. 61
Contacts
Author Contact Information ....................................................................................................... 75.... 73
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Navy Aegis Ballistic Missile Defense (BMD) Program
Introduction
This report provides background information and issues for Congress on the Aegis ballistic
missile defense (BMD) program, which is carried out by the Missile Defense Agency (MDA) and
the Navy, and gives Navy Aegis cruisers and destroyers a capability for conducting BMD
operations. Issues for Congress concerning the Aegis BMD program include whether to approve,
reject, or modify MDA and Navy funding requests for the program, and whether to provide MDA
or the Navy with additional direction concerning the program. Congress’s decisions regarding the
Aegis BMD program could substantially affect U.S. BMD capabilities and funding requirements,
U.S. Navy ship force levels and operating patterns, and the defense industrial basedemands for BMDcapable Aegis ships, demands for Aegis ships in general, the U.S. economic impact of shifting
four Aegis ships to Rota, Spain, U.S. vs. European naval contributions to European BMD, the
capability of the SM-3 Block IIB Aegis BMD interceptor, and technical risk in the Aegis
program.
Background
Navy Aegis Ships
The Navy’s cruisers and destroyers are called Aegis ships because they are equipped with the
Aegis ship combat system—an integrated collection of sensors, computers, software, displays,
weapon launchers, and weapons named for the mythological shield that defended Zeus. The
Aegis system was originally developed in the 1970s for defending ships against aircraft, anti-ship
cruise missiles (ASCMs), surface threats, and subsurface threats. The system was first deployed
by the Navy in 1983, and it has been updated many times since. The Navy’s Aegis ships include
Ticonderoga (CG-47) class cruisers and Arleigh Burke (DDG-51) class destroyers.
Ticonderoga (CG-47) Class Aegis Cruisers
A total of 27 CG-47s were procured for the Navy between FY1978 and FY1988; the ships entered
service between 1983 and 1994. The first five, which were built to an earlier technical standard,
were judged by the Navy to be too expensive to modernize and were removed from service in
2004-2005. The remaining 22 are scheduled to remain in service until age 35.
Arleigh Burke (DDG-51) Class Aegis Destroyers1
62 Flight I/II and Flight IIA DDG-51s Procured in FY1985-FY2005
A total of 62 DDG-51s were procured for the Navy between FY1985 and FY2005; the first
entered service in 1991 and the 62nd is scheduled to enter service in FY2012. The first 28 ships,
known as Flight I/II DDG-51s, are scheduled to remain in service until age 35. The next 34 ships,
known as Flight IIA DDG-51s, incorporate some design changes and are to remain in service
until age 40.
1
For more on the DDG-51 program, see CRS Report RL32109, Navy DDG-51 and DDG-1000 Destroyer Programs:
Background and Issues for Congress, by Ronald O'Rourke.
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No DDG-51s Procured in FY2006-FY2009
No DDG-51s were procured in FY2006-FY2009. The Navy during this period instead procured
three Zumwalt (DDG-1000) class destroyers. The DDG-1000 design does not use the Aegis
system and does not include a capability for conducting BMD operations. Navy plans do not call
for modifying DDG-1000s to make them BMD-capable.
1012 Flight IIA DDG-51s Procured or Programmed for FY2010-FY2015FY2017
Procurement of DDG-51s resumed in FY2010. One Flight IIA DDG-51 was procured in FY2010;
the ship is scheduled to enter service in FY2016. Another two were procured in FY2011, and
Navy plans call for procuring sevennine more Flight IIA DDG-51s in FY2012-FY2016FY2017 in annual
quantities of 1-2-2-2-0-2.
22.
24 Flight III DDG-51s Envisioned for Procurement in FY2016-FY2031
Navy plans call for shifting in FY2016 to procurement of a new version of the DDG-51, called
the Flight III version. The one DDG-51 that the Navy plans to procure in FY2016 is to be a Flight
III ship. The Flight III version, that is to be equipped with a new radar, called the Air and Missile
Defense Defense
Radar (AMDR), that is more capable than the SPY-1 radar installed on all previous Aegis
cruisers and destroyers. The Navy’s 30-year (FY2011-FY2040) shipbuilding plan calls for
procuring 24 Flight III DDG-51s between FY2016 and FY2031.2 This plan, if implemented,
would bring the Navy’s total DDG-51 production run to 96 ships over 47 years (FY1985FY2031). cruisers
and destroyers. The one DDG-51 that the Navy plans to procure in FY2016 is to be the first
Flight III ship, and the Navy’s 30-year (FY2012-FY2041) shipbuilding plan calls for procuring 21
more Flight III DDG-51s between FY2018 and FY2031.2
Projected Aegis Ship Force Levels
The Navy’s 30-year (FY2011-FY2040FY2012-FY2041) shipbuilding plan projects that the total number of Aegis
cruisers and destroyers will grow from 84 at the end of FY2011 to a peak of 9394 in FY2020 and
FY2021, and then decline thereafter as CG-47s and older DDG-51s retire and are replaced by
new DDG-51s on a less than one-for-one basis, reaching a minimum of 65 ships in FY2034
before growing back to 75 ships in FY2041.3
Aegis Ships in Allied Navies
Sales of the Aegis system to allied countries began in the late 1980s. Allied countries that now
operate, are building, or are planning to build Aegis-equipped ships include Japan, South Korea,
Australia, Spain, and Norway. 4
2
Supplementary data on 30-year shipbuilding plan provided to CRS and CBO by the Navy on February 18, 2010.
The in late May 2011.
Supplementary data on 30-year shipbuilding plan provided to CRS and CBO by the Navy in late May 2011. The
Navy’s cruiser-destroyer force during this period is also to include the three DDG-1000s procured in FY2006FY2009FY2006-FY2009.
4
The Norwegian ships are somewhat smaller than the other Aegis ships, and consequently carry a reduced-size version
of the Aegis system that includes a smaller, less-powerful version of the SPY-1 radar.
3
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Aegis BMD System5
Aegis ships are given a capability for conducting BMD operations by incorporating changes to
the Aegis system’s computers and software, and by arming the ships with BMD interceptor
missiles. In-service Aegis ships can be modified to become BMD-capable ships, and DDG-51s
procured in FY2010 and subsequent years are to be built from the start with a BMD capability.
Versions of Aegis BMD System
Currently fielded versions of the Aegis BMD system are called the 3.6.1 version and the newer
and more capable 4.0.1 version. MDA and Navy plans call for fielding increasingly capable
versions in coming years; these planned versions are called 5.0, 5.1, and 5.2. Improved versions
feature improved processors and software, and are to be capable of using improved versions of
the SM-3 interceptor missile (see Table 1).
MDA states that an in-service Aegis ship with no BMD capability can be given a 3.6.1 BMD
capability for about $10 million to $15 million, or a 4.0.1 BMD capability for about $53 million.
MDA states that an in-service ship with a 3.6.1 BMD capability can be upgraded to a 4.0.1 BMD
capability for about $45 million to $55 million. 6
Aegis BMD Interceptor Missiles
The BMD interceptor missiles used by Aegis ships are the Standard Missile-3 (SM-3) and the
Standard Missile-2 Block IV (SM-2 Block IV). The SM-3 is designed to intercept ballistic
missiles above the atmosphere, in the midcourse phase of an enemy ballistic missile’s flight. It is
equipped with a “hit-to-kill” warhead, called a kinetic warhead, that is designed to destroy a
ballistic missile’s warhead by colliding with it. The SM-2 Block IV is designed to intercept
ballistic missiles inside the atmosphere, during the terminal phase of an enemy ballistic missile’s
flight. It is equipped with a blast fragmentation warhead.
SM-3 Interceptor
MDA and Navy plans call for fielding increasingly capable versions of the SM-3 in coming years.
The current version, called the SM-3 Block IA, is now being supplemented by the more capable SM3
SM-3 Block IB. These are to be followed by the SM-3 Block IIA and the SM-3 Block IIB.
Compared to the Block IA version, the Block IB version has an improved (two-color) target
seeker, an advanced signal processor, and an improved divert/attitude control system for adjusting
its course.
In contrast to the Block IA and 1B versions, which have a 21-inch-diameter booster stage at the
bottom but are 13.5 inches in diameter along the remainder of their lengths, the Block IIA version
is to have a 21-inch diameter along its entire length. The increase in diameter to a uniform 21
inches provides more room for rocket fuel, permitting the Block IIA version to have a burnout
5
Unless stated otherwise, information in this section is taken from an MDA briefing on the Aegis BMD program given
to CRS and CBO analysts on March 18, 2010.
6
Source: MDA briefing to congressional staff, March 2011.
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velocity (a maximum velocity, reached at the time the propulsion stack burns out) that is 45% to
60% greater than that of the Block IA and IB versions,7 as well as a larger-diameter kinetic
warhead. The United States and Japan have cooperated in developing certain technologies for the
Block IIA version, with Japan funding a significant share of the effort.8
Compared to the Block IIA, the Block IIB version is to include a lighter kill vehicle, flexible
propulsion, and upgraded fire control software.9
MDA states that SM-3 Block IAs have a unit procurement cost of about $9 million to $10
million, that SM-3 Block IBs have an estimated unit procurement cost of about $12 million to
$15 million, and that SM-3 Block IIAs have an estimated unit procurement cost of about $20
million to $24 million.
SM-2 InterceptorsInterceptor
The existing inventory of SM-2 Block IVs—72 as of February 2011—was created by modifying
SM-2s that were originally built to intercept aircraft and ASCMs. A total of 75 SM-2 Block IVs
were modified, and three have been used in BMD flight tests, leaving the current remaining
inventory of 72.
MDA and Navy plans call for developing and procuring a more capable terminal-phase BMD
interceptor called the sea-based terminal (SBT) interceptor. The SBT interceptor is to be based on
the SM-6 air defense missile (the successor to the SM-2 air defense missile). The initial version
of the SBT, called SBT Increment 1, is to enter service around 2015; a subsequent version, called
SBT Increment 2, is to enter service around 2018.
Table 1 summarizes the various versions of the Aegis BMD system and correlates them with the
phases of the European Phased Adaptive Approach (or EPAA; see below) for European BMD
operations.
7
The 13.5-inch version has a reported burnout velocity of 3.0 to 3.5 kilometers per second (kps). See, for example, J.
D. Marshall, The Future Of Aegis Ballistic Missile Defense, point paper dated October 15, 2004, available at
http://www.marshall.org/pdf/materials/259.pdf; “STANDARD Missile-3 Destroyers a Ballistic Missile Target in Test
of Sea-based Missile Defense System,” Raytheon news release circa January 26, 2002, available at
http://www.prnewswire.com/cgi-bin/micro_stories.pl?ACCT=683194&TICK=RTN4&STORY=/www/story/01-262002/0001655926&EDATE=Jan+26,+2002; and Hans Mark, “A White Paper on the Defense Against Ballistic
Missiles,” The Bridge, summer 2001, pp. 17-26, available at http://www.nae.edu/nae/bridgecom.nsf/weblinks/NAEW63BM86/$FILE/BrSum01.pdf?OpenElement. See also the section on “Sea-Based Midcourse” in CRS Report RL31111,
Missile Defense: The Current Debate, by Steven A. Hildreth et al.
8
The cooperative research effort has been carried out under a U.S.-Japan memorandum of agreement signed in 1999.
The effort has focused on risk reduction for four parts of the missile: the sensor, an advanced kinetic warhead, the
second-stage propulsion, and a lightweight nose cone. The Block IIA development effort includes the development of a
missile, called the Block II, as a stepping stone to the Block IIA. As a result, the Block IIA development effort has
sometimes been called the Block II/IIA development effort. The Block II missile is not planned as a fielded capability.
9
Source: H.Rept. 111-491 of May 21, 2010 (the House Armed Services Committee report on H.R. 5136, the FY2011
defense authorization bill), p. 196.
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Table 1. Versions of Aegis BMD System
EPAA Phase
Phase I
Phase II
Phase III
Phase IV
Version of Aegis BMD system
3.6.1
4.0.1
5.0/5.0.1
5.1/5.1.1
5.1/5/1.1
Certified for initial use
2006
2012
2014
2018
2020
OTE assessment
2008
2014
2016
2020
2022
X
X
X
X
X
X
X
X
X
X
X
Mid-course interceptor(s) used
SM-3 Block IA
SM-3 Block IB
SM-3 Block IIA
SM-3 Block IIB
X
Terminal-phase interceptor used
SM-2 Block IV
X
X
SBT Increment 1
X
SBT Increment 2
X
X
Types of ballistic missiles that can be engaged
SRBM
Yes
Yes
Yes
Yes
Yes
MRBM
Yes
Yes
Yes
Yes
Yes
IRBM
Limited
Yes
Yes
Enhanced
Enhanced
ICBM
Noa
Noa
Noa
Limited
Limited
Launch or engage on remote capability
Launch on remote
Initial
Enhanced
Yes
Yes
Yes
Engage on remote
No
No
No
Yes
Yes
Source: MDA briefings to CRS and the Congressional Budget Office (CBO), March 2010 and March 2011.
Notes: OTE is operational test and evaluation. SRBM is short-range ballistic missile; MRBM is medium-range
ballistic missile; IRBM is intermediate-range ballistic missile; ICBM is intercontinental ballistic missile. Launch
on remote is the ability to launch the interceptor using data from off-board sensors. Engage on remote is
the ability to engage targets using data from off-board sensors.
a.
Cannot intercept ICBMs, but the system has a long-range search and track (LRS&T) capability—an ability to
detect and track ballistic missiles at long ranges.
European Phased Adaptive Approach (EPAA) for European BMD
General
On September 17, 2009, the Obama Administration announced a new approach for European
BMD operations called the European Phased Adaptive Approach (EPAA). EPAA calls for using
BMD-capable Aegis ships and eventually Aegis Ashore sites to defend Europe against ballistic
missile threats from countries such as Iran. The EPAA is to be implemented in four phases
between 2011 and 2020. A DOD official summarized the four phases as follows in April 2010
testimony:
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In Phase 1, out through the 2011 timeframe, existing missile defenses to defend against
short- and medium-range ballistic missiles will be deployed. Phase 1 will be accomplished
by deploying a forward-based sensor and utilizing BMD-capable Aegis ships carrying SM-3
Block IA interceptors.
In Phase 2, in the 2015 timeframe, improved interceptors and sensors to defend against
SRBMs and MRBMs will be deployed. The architecture will be expanded with a land-based
SM-3 site in Southern Europe and the deployment of SM-3 Block IB interceptors.
In Phase 3, in the 2018 timeframe, to improve coverage against medium- and intermediaterange ballistic missiles, a second land-based SM-3 site will be deployed in Northern Europe.
This will include use of the more capable SM-3 Block IIA interceptors on land and at sea to
cover all NATO Europe countries.
In Phase 4, a decade from now, to address the threat of potential ICBM attack from the
Middle East, the next generation SM-3 interceptor, the Block IIB, will be available for landbased sites. This interceptor, with its higher velocity, is intended to provide the ability to
engage longer-range ballistic missiles and to intercept threats in their ascent phase.10
The Administration has stated that the phased adaptive approach can be used for structuring BMD
operations in other regions, such as the Western Pacific and the Persian Gulf. For more on the
EPAA, see Appendix BA.
Aegis Ashore Sites
The EPAA calls for fielding two land-based Aegis BMD systems in Europe. Each of these Aegis
Ashore sites, as they are called, would include, among other things, a land-based Aegis SPY-1
radar and 24 SM-3 missiles. The Aegis Ashore sites would launch SM-3 missiles from a relocatable Vertical Launch System (VLS) based on the VLS that is installed in Navy Aegis ships
for launching missiles. MDA states:
In 2015, Aegis Ashore will install a system in Romania, as part of the PAA Phase II. This
deployed capability will use Aegis BMD 5.0 and SM-3 Block IB to provide ballistic missile
coverage of Southern Europe.
10
Statement of Dr. Brad Roberts, Deputy Assistant Secretary of Defense for Nuclear and Missile Defense Policy,
Before the House Armed Services Committee, April 15, 2010, p. 9. An MDA official testifying at the same hearing
summarized the four phases as follows:
The Phase 1 capability (planned to begin deployment in 2011) will provide initial protection for
southern Europe from existing short- and medium-range threats using sea-based interceptors and
forward-based sensors. Phase 2 (~2015) deploys the SM-3 IB interceptor at sea and at an Aegis
Ashore site. In collaboration with OSD Policy, USSTRATCOM, the Department of State, and
United States European Command (USEUCOM), we are preparing to begin negotiations with
Romania to locate an Aegis Ashore site on its territory in 2015. Phase 3 (~2018) employs SM-3 IIA
on land and at sea to protect NATO from SRBM, MRBM, and IRBM threats. Poland has agreed to
host this Aegis Ashore site. The Phase 4 architecture (~2020 timeframe) features the higher
velocity land-based SM-3 IIB, a persistent sensor network, and enhanced command and control
system to intercept large raids of medium- to long-range missiles early in flight.
(Unclassified Statement of Lieutenant General Patrick J. O’Reilly, Director, Missile Defense
Agency, Before the House Armed Services Committee Subcommittee on Strategic Forces
Regarding the Fiscal Year 2011 Missile Defense Programs, Thursday, April 15, 2010, pp. 5-6.)
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In 2018, Aegis Ashore will install a system in Poland, as part of the PAA Phase III. This
deployed capability will use Aegis BMD 5.1 and SM-3 Block IB and IIA to support defense
of Northern Europe.
In 2020, Aegis Ashore systems will be upgraded with the future variants of Aegis BMD and
SM-3.11
First BMD-Capable Aegis Ship Deployed As Part of EPAA
Although BMD-capable Aegis ships have deployed to European waters in the past, the first
BMD-capable Aegis ship officially deployed to European waters as part of the EPAA—the Aegis
cruiser Monterey (CG-61)—departed from its home port of Norfolk, VA, on March 7, 2011, for a
six-month independent deployment to the Mediterranean.12
Planned Numbers of BMD-Capable Aegis Ships and
SM-3
Interceptors
MDA and the Navy plan to eventually equip at least 10 of the Navy’s 22 Aegis cruisers, and every
Aegis destroyer, for BMD operations. As shown in Table 2, under MDA and Navy plans, the
number of BMD-capable Navy Aegis ships is scheduled to grow from 23 at the end of FY2011 to
41 at the end of FY2016, and the cumulative number of SM-3 interceptors delivered to the Navy
is scheduled to grow from 111 at the end of FY2011 to 341 at the end of FY2016. (Some of these
interceptors have been or will be used in Aegis BMD flight tests.)
11
MDA web page entitled “Aegis Ashore,” accessed November 19, 2010, at http://www.mda.mil/system/
aegis_ashore.html. See also the similar Aegis Ashore fact sheet available at http://www.mda.mil/global/documents/pdf/
aegis_ashore.pdf.
12
Karen Parrish, “Milestone nears for European Missile Defense Plan,” American Forces Press Service, March 2, 2011
(accessed online at http://www.defense.gov/news/newsarticle.aspx?id=62997); Untitled “Eye On The Fleet” news item,
Navy News Service, March 7, 2011 (accessed online at http://www.navy.mil/view_single.asp?id=98184); “Warship
With Radar Going To Mediterranean,” Washington Post, March 2, 2011; Brock Vergakis, “US Warship Deploys to
Mediterranean to Protect Europe Form Ballistic Missiles, Canadian Press, March 7, 2011.
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Table 2. Numbers of BMD-Capable Aegis Ships and SM-3 Missiles
FY09
FY10
FY11
FY12
FY13
FY14
FY15
FY16
FY17
FY18
FY19
FY20
BMD-capable Aegis ships
BMD conversions of existing Aegis cruisers and destroyers (cumulative totals)
3.6.1 versiona
18
20
21
23
23
19
16
11
10
6
3
0
versionb
0
0
2
4
6
9
7
7
6
6
6
6
5.0 version
0
0
0
1
3
8
14
20
22
24
27
30
5.1 version
0
0
0
0
0
0
0
0
0
1
1
1
Subtotal
18
20
23
28
32
36
37
38
38
37
37
37
4.0.1
New Aegis destroyers procured in FY2010 and beyond, with BMD installed during the ship’s construction (cumulative totals)
5.0 version
TOTAL
0
0
0
0
0
0
1c
3
4
6
6
6
18
20
23
28
32
36
38
41
42
43
43
43
SM-3 missiles (annual procurement
quantities)d
Block I/IA
12
6
0
0
0
0
0
0
0
0
0
0
Block IB
4
18
20
46
62
73
82
68
0
0
0
0
Block IIA
0
0
0
0
0
14
0
15
0
0
0
0
Block IIB
0
0
0
0
0
0
TBD
TBD
TBD
TBD
0
0
Total
16
24
20
46
62
87
82 +
TBD
83 +
TBD
0+
TBD
0+
TBD
0
0
Total
SM-3 missiles (cumulative deliveries – includes missiles procured prior to FY09)e
Block I/IA
63
88
107
113
113
113
113
113
113
113
113
113
Block IB
0
1
4
16
42
88
150
223
305
373
373
373
Block IIA
0
0
0
0
0
0
0
5
10
14
27
29
Block IIB
0
0
0
0
0
0
0
0
TBD
TBD
TBD
TBD
Total
63
89
111
129
155
201
263
341
428 +
TBD
500341 +
TBD
513428 +
TBD
515500 +
TBD
Total513
515
Source: DOD FY2012 budget submission.
a.
Declining totals for 3.6.1 ships after FY2013 reflect the upgrading of some of these ships to more advanced
versions of the Aegis BMD system.
b.
Declining totals for 4.0.1 ships after FY2014 reflect the upgrading of some of these ships to more advanced
versions of the Aegis BMD system.
c.
Navy budget-justification documents show the DDG-51 procured in FY2010 entering service in FY2016,
not FY2015 as shown in this table.
d.
Includes missiles funded through both RDT&E and procurement funds.
e.
Includes missiles funded through both RDT&E and procurement funds. Some of the missiles shown here
have been or will be used in Aegis BMD flight tests.
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Home Ports of BMD-Capable Aegis Ships
Pacific vs. Atlantic Fleet Homeporting
As of February 2011, 16 of the Navy’s 21 BMD-capable Aegis ships were homeported in the
Pacific, including five5 at Yokosuka, Japan, six6 at Pearl Harbor, HI, and five at San Diego, CA.
Congressional Research Service
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Navy Aegis Ballistic Missile Defense (BMD) Program
The 5 at San Diego, CA. The
remaining five BMD-capable Aegis ships were homeported in the Atlantic, with four at
Norfolk,
VA, and one at Mayport, FL. The figures of 21 BMD-capable ships, including six6 at
Pearl Harbor,
include the Lake Erie (CG-70), which is equipped with an Engineering
Development Model
(EDM) version of the 4.0.1 system. This ship is not included in the totals
shown in Table 2.
Reflecting the implementation of the EPAA, the number of BMD-capable Aegis ships
homeported in the Atlantic is scheduled to grow over time. By the end of FY2012, the Navy is to
still have 16 BMD-capable Aegis ships homeported in the Pacific, but the number of Aegis-BMD
ships homeported in the Atlantic is to grow to 13, including 11 at Norfolk and 2 at Mayport.
Aegis BMD Flight Tests
DOD states that since January 2002, the Aegis BMD system has achieved 18 successful exoatmospheric intercepts in 22 attempts using the SM-3 missile (including three successful
intercepts in four attempts by Japanese Aegis ships), and three successful endo-atmospheric
intercepts in three attempts using the SM-2 Block IV missile, making for a combined total of 21
successful intercepts in 25 attempts. In addition, on February 20, 2008, a BMD-capable Aegis
cruiser operating northwest of Hawaii used a modified version of the Aegis BMD system to shoot
down an inoperable U.S. surveillance satellite that was in a deteriorating orbit.13 Including this
intercept in the count increases the totals to 19 successful exo-atmospheric intercepts in 23
attempts using the SM-3 missile, and 22 successful exo- and endo-atmospheric intercepts in 26
attempts using both SM-3 and SM-2 Block IV missiles.
A December 2010 report on various DOD acquisition programs from DOD’s Director,
Operational Test and Evaluation (DOT&E)—DOT&E’s annual report for FY2010—stated, in the
section on the Aegis BMD program, that
13 shown in Table 2.
Reflecting the implementation of the EPAA, the number of BMD-capable Aegis ships
homeported in the Atlantic is scheduled to grow over time. By the end of FY2012, the Navy is to
still have 16 BMD-capable Aegis ships homeported in the Pacific, but the number of Aegis-BMD
ships homeported in the Atlantic is to grow to 13, including 11 at Norfolk and 2 at Mayport.
October 5, 2011, Announcement of Homeporting in Spain to Start in 2014
On October 5, 2011, the United States, Spain, and NATO jointly announced that, as part of the
EPAA, four BMD-capable Aegis ships are to be forward-homeported (i.e., based) at the naval
base at Rota, Spain, beginning in 2014.13 Rota is on the southwestern Atlantic coast of Spain, a
few miles northwest of Cadiz, and about 65 miles northwest of the Strait of Gibraltar leading into
the Mediterranean. U.S. Navy ships have been homeported at Rota at various points in the past,
most recently in 1979.14
As part of the October 5, 2011, joint announcement, the Prime Minister of Spain, Jose Luis
Rodriguez Zapatero, stated in part:
This meeting marks a step forward on the path that we set for ourselves less than a year ago
at the Lisbon Summit, aiming to make NATO an Alliance that is “more effective, engaged
and efficient than ever before”, in the words of [NATO] Secretary-General Rasmussen.
At that historic Summit, decisions of enormous importance for the future of the Alliance
were taken, such as the New Strategic Concept to face the new challenges of the 21st century,
and the establishment of a new command structure that is leaner and more flexible, and
improved.
Besides these two important innovations, and as a consequence of them, the allies decided to
develop an Anti-Missile Defence System.…
As you will recall, as a consequence of this new structure launched in Lisbon, Spain obtained
an installation of great importance within NATO’s Command and Control Structure: the
Combined Air Operations Centre (CAOC) in Torrejón de Ardoz, Spain.
13
“Announcement on missile defence cooperation by NATO Secretary General Anders Fogh Rasmussen, the Prime
Minister of Spain, Jose Luis Rodriguez Zapatero and US Defense Secretary Leon Panetta,” October 5, 2011, accessed
October 6, 2011, at http://www.nato.int/cps/en/SID-107ADE55-FF83A6B8/natolive/opinions_78838.htm. See also
“SECDEF Announces Stationing of Aegis Ships at Rota, Spain,” accessed October 6, 2011, at http://www.navy.mil/
search/display.asp?story_id=63109.
14
Source: Sam Fellman, “U.S. To Base Anti-Missile Ships in Spain,” Defense News, October 10, 2011: 76.
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This Centre, together with the Centre in Uedem, Germany, will form part of the air command
and control system which is to include the anti-missile defence that the Alliance is going to
implement.
Together with this land-based component of the new air defence system, I can inform you
that Spain is also going to support, starting in 2013, an important part of the system’s naval
element.
In recent months, the different options have been studied, and finally, it was decided that
Spain should be the site for this component of the system, due to its geostrategic location and
its position as gateway to the Mediterranean.
Specifically, the United States is going to deploy, as its contribution to NATO’s Anti-Missile
Defence System, a total of four vessels equipped with the AEGIS system, to be based in
Rota.
This means that Rota is going to become a support centre for vessel deployment, enabling
them to join multinational forces or carry out NATO missions in international waters,
particularly in the Mediterranean….
Moreover, this initiative will have a positive impact, in socio-economic terms, on our
country, and most especially on the Bay of Cadiz.
Permanently basing four vessels in Rota will require investing in the Base’s infrastructure,
and contracts with service providers, thus generating approximately a thousand new jobs,
both directly and indirectly.
For the shipyards, and for Spain’s defence industry, the foreseeable impact will also be
highly positive, as the USA is considering conducting the vessels’ maintenance and upkeep
at the nearby San Fernando shipyards, in the province of Cadiz. In addition, there will be
significant transfer of state-of-the-art technology, from which Spain can benefit.15
As part of the same joint announcement, Secretary of Defense Leon Panetta stated in part:
With four Aegis ships at Rota, the alliance is significantly boosting combined naval
capabilities in the Mediterranean, and enhancing our ability to ensure the security of this vital
region. This relocation of assets takes place as part of the United States’ ongoing effort to
better position forces and defensive capabilities in coordination with our European allies and
partners.
This announcement should send a very strong signal that the United States is continuing to
invest in this alliance, and that we are committed to our defense relationship with Europe
even as we face growing budget constraints at home.…
Alongside important agreements that were recently concluded with Romania, Poland, and
Turkey, Spain’s decision represents a critical step in implementing the European Phased
Adaptive Approach, as our leaders agreed to in Lisbon.…
15
“Announcement on missile defence cooperation by NATO Secretary General Anders Fogh Rasmussen, the Prime
Minister of Spain, Jose Luis Rodriguez Zapatero and US Defense Secretary Leon Panetta,” October 5, 2011, accessed
October 6, 2011, at http://www.nato.int/cps/en/SID-107ADE55-FF83A6B8/natolive/opinions_78838.htm.
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Beyond missile defense, the Aegis destroyers will perform a variety of other important
missions, including participating in the Standing NATO Maritime Groups, as well as joining
in naval exercises, port visits, and maritime security cooperation activities….
The agreement also enables the United States to provide rapid and responsive support to the
U.S. Africa and U.S. Central Commands, as needed.16
An October 5, 2011, press report stated:
A senior U.S. defense official said making the [ships’] base at Rota, on Spain’s southwestern
Atlantic coast near Cadiz, would reduce the numbers of [BMD-capable Aegis] ships needed
for the [EPAA] system.
“You [would] probably need 10 of these ships if they were based in the eastern U.S. to be
able to ... transit across the ocean back and forth to [keep the same number on] patrol in the
Med,” he said.
The U.S. official said the United States was committed to having at least one ship on station
at all times in the eastern Mediterranean, where their anti-missile missiles would be most
effective. Having them based in Rota would enable more than one to be in the eastern
Mediterranean as needed.
The ships also would be part of the pool of vessels available to participate in standing NATO
maritime groups, which are used to counter piracy and for other missions, he said.17
An October 10, 2011, press report stated:
“Our plan is to have the first couple [of ships] there in 2014 and the next two in about 2015,”
said Cmdr. Marc Boyd, spokesman for [U.S. Navy] 6th Fleet. Boyd added: “It’s really early
in the process and we haven’t selected any of the ships yet.” Boyd said the shift will bring an
estimated 1,300 sailors and Navy civilians and 2,100 dependents to Naval Station Rota,
which would double the base’s ranks. Naval Station Rota spokesman Lt. j.g. Jason Fischer
said the base now has 1,067 sailors….
The three piers at the base primarily support Navy ships passing through on port calls.
Boyd said 6th Fleet is considering plans to add base infrastructure and maintenance facilities
to support the ships, as well as additional housing for crews, “but the base is pretty suited as
it is now.”18
16
“Announcement on missile defence cooperation by NATO Secretary General Anders Fogh Rasmussen, the Prime
Minister of Spain, Jose Luis Rodriguez Zapatero and US Defense Secretary Leon Panetta,” October 5, 2011, accessed
October 6, 2011, at http://www.nato.int/cps/en/SID-107ADE55-FF83A6B8/natolive/opinions_78838.htm. See also
“SECDEF Announces Stationing of Aegis Ships at Rota, Spain,” accessed October 6, 2011, at http://www.navy.mil/
search/display.asp?story_id=63109.
17
David Brunnstrom and David Alexander, “Spain To Host U.S. Missile Defense Ships,” Reuters, October 5, 2011.
Ellipsis as in original.
18
Sam Fellman, “U.S. To Base Anti-Missile Ships in Spain,” Defense News, October 10, 2011: 76.
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Navy Aegis Ballistic Missile Defense (BMD) Program
Aegis BMD Flight Tests
DOD states that since January 2002, the Aegis BMD system has achieved 18 successful exoatmospheric intercepts in 23 attempts using the SM-3 missile (including three successful
intercepts in four attempts by Japanese Aegis ships), and 3 successful endo-atmospheric
intercepts in 3 attempts using the SM-2 Block IV missile, making for a combined total of 21
successful intercepts in 26 attempts. In addition, on February 20, 2008, a BMD-capable Aegis
cruiser operating northwest of Hawaii used a modified version of the Aegis BMD system to shoot
down an inoperable U.S. surveillance satellite that was in a deteriorating orbit.19 Including this
intercept in the count increases the totals to 19 successful exo-atmospheric intercepts in 24
attempts using the SM-3 missile, and 22 successful exo- and endo-atmospheric intercepts in 27
attempts using both SM-3 and SM-2 Block IV missiles.
A December 2010 report on various DOD acquisition programs from DOD’s Director,
Operational Test and Evaluation (DOT&E)—DOT&E’s annual report for FY2010—stated, in the
section on the Aegis BMD program, that
In FY10 [FY2010], Aegis BMD flight testing continued to demonstrate the capability to
engage medium-range separating ballistic missile targets in the midcourse phase with SM-3
Block IA interceptors.
The Aegis BMD program has not conducted a live intercept engagement against a ballistic
missile target with the longer range expected as part of the new Phased Adaptive Approach
[PAA] to missile defense in Europe. The program plans to use such a target for Flight Test
Standard Missile Interceptor-15 (FTM-15) in FY11 [FY2011].
The successful intercepts of ballistic missile targets with SM-3 Block IA interceptors during
[the Japanese Aegis BMD flight tests] JFTM-3 and JFTM-4 increase confidence in the
reliability of the interceptor following the FY09 [FY2009] failure during the Japanese Aegis
BMD flight test, JFTM-2.
19
The modifications to the ship’s Aegis BMD midcourse system reportedly involved primarily making changes to
software. DOD stated that the modifications were of a temporary, one-time nature. Three SM-3 missiles reportedly
were modified for the operation. The first modified SM-3 fired by the cruiser successfully intercepted the satellite at an
altitude of about 133 nautical miles (some sources provide differing altitudes). The other two modified SM-3s (one
carried by the cruiser, another carried by an engage-capable Aegis destroyer) were not fired, and the Navy stated it
would reverse the modifications to these two missiles. (For additional information, see the MDA discussion available
online at http://www.mda.mil/system/aegis_one_time_mission.html, and also Peter Spiegel, “Navy Missile Hits Falling
Spy Satellite,” Los Angeles Times, February 21, 2008; Marc Kaufman and Josh White, “Navy Missile Hits Satellite,
Pentagon Says,” Washington Post, February 21, 2008; Thom Shanker, “Missile Strikes A Spy Satellite Falling From Its
Orbit,” New York Times, February 21, 2008; Bryan Bender, “US Missile Hits Crippled Satellite,” Boston Globe,
February 21, 2008; Zachary M. Peterson, “Navy Hits Wayward Satellite On First Attempt,” NavyTimes.com, February
21, 2008; Dan Nakaso, “Satellite Smasher Back At Pearl,” Honolulu Advertiser, February 23, 2008; Zachary M.
Peterson, “Lake Erie CO Describes Anti-Satellite Shot,” NavyTimes.com, February 25, 2008; Anne Mulrine, “The
Satellite Shootdown: Behind the Scenes,” U.S. News & World Report, February 25, 2008; Nick Brown, “US Modified
Aegis and SM-3 to Carry Out Satellite Interception Shot,” Jane’s International Defence Review, April 2008: 35.)
MDA states that the incremental cost of the shoot-down operation was $112.4 million when all costs are included.
MDA states that this cost is to be paid by MDA and the Pacific Command (PACOM), and that if MDA is directed to
absorb the entire cost, “some realignment or reprogramming from other MDA [program] Elements may be necessary to
lessen significant adverse impact on [the] AEGIS [BMD program’s] cost and schedule.” (MDA information paper
dated March 7, 2008, provided to CRS on June 6, 2008. See also Jason Sherman, “Total Cost for Shoot-Down of Failed
NRO Satellite Climbs Higher,” InsideDefense.com, May 12, 2008.)
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Navy Aegis Ballistic Missile Defense (BMD) Program
In FY10 [FY2010], Aegis BMD flight testing continued to demonstrate the capability to
engage medium-range separating ballistic missile targets in the midcourse phase with SM-3
Block IA interceptors.
The Aegis BMD program has not conducted a live intercept engagement against a ballistic
missile target with the longer range expected as part of the new Phased Adaptive Approach
[PAA] to missile defense in Europe. The program plans to use such a target for Flight Test
Standard Missile Interceptor-15 (FTM-15) in FY11 [FY2011].
The successful intercepts of ballistic missile targets with SM-3 Block IA interceptors during
[the Japanese Aegis BMD flight tests] JFTM-3 and JFTM-4 increase confidence in the
reliability of the interceptor following the FY09 [FY2009] failure during the Japanese Aegis
BMD flight test, JFTM-2.
12
Navy Aegis Ballistic Missile Defense (BMD) Program
Aegis BMD and THAAD [the Terminal High Altitude Area Defense system – a groundbased, non-Navy BMD system] inter-element data transfer over tactical links continues to
mature. Also, Aegis BMD continues to show increasing interoperability with other BMDS
elements, as demonstrated in recent ground testing. However, Aegis BMD has not yet tested
launch-on-remote capability in a live intercept mission, though the system plans to exercise
this capability during FTM-15 in FY11 [FY2011]. Also, Aegis BMD has not yet
demonstrated cued engagement capability against medium- to intermediate-range ballistic
missiles in a live intercept test.
The next-generation Aegis BMD system (version 4.0.1) has demonstrated select new
capabilities during recent live-target tracking exercises and simulated engagements.
Development of that system continues, leading up to the first intercept mission with an SM-3
Bock IB interceptor in FY11 [FY2011].1420
For further discussion of Aegis BMD flight tests—including a May 2010 magazine article and
supplementary white paper in which two professors with scientific backgrounds criticize DOD
claims of successes in Aegis (and other DOD) BMD flight tests—see Appendix CB.
Allied Participation and Interest in Aegis BMD Program
Japan
Japan’s interest in BMD, and in cooperating with the United States on the issue, was heightened
in August 1998 when North Korea test-fired a Taepo Dong-1 ballistic missile that flew over Japan
before falling into the Pacific.1521 In addition to cooperating with the United States on development
of technologies for the SM-3 Block IIA missile, Japan is modifying all six of its Aegis destroyers
with an approximate equivalent of the 3.6.1 version Aegis BMD system. (Japan’s previous plans
called for modifying four of the six ships.) As of December 2010, four of Japan’s Aegis ships had
received the modification. 1622 Japanese BMD-capable Aegis ships have conducted four flight tests
14
of the Aegis BMD system using the SM-3 interceptor, achieving three successful exo-atmospheric
intercepts.
Other Countries
Other countries that MDA views as potential naval BMD operators (using either the Aegis BMD
system or some other system of their own design) include the United Kingdom, the Netherlands,
Spain, Germany, Denmark, South Korea, and Australia. As mentioned earlier, Spain, South
Korea, and Australia either operate, are building, or are planning to build Aegis ships. The other
countries operate destroyers and frigates with different combat systems that may have potential
for contributing to BMD operations.
An October 3, 2011, press report stated that
20
Director, Operational Test and Evaluation, FY 2010 Annual Report, December 2010, p. 230.
15
For a discussion, see CRS Report RL31337, Japan-U.S. Cooperation on Ballistic Missile Defense: Issues and
Prospects, by Richard P. Cronin. This archived report was last updated on March 19, 2002. See also CRS Report
RL33436, Japan-U.S. Relations: Issues for Congress, coordinated by Emma Chanlett-Avery.
1622
John Liang, “Japan To Increase Aegis BMD Ship Fleet From Four To Six,” Inside the Navy, December 27, 2010.
21
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of the Aegis BMD system using the SM-3 interceptor, achieving three successful exo-atmospheric
intercepts.
Other Countries
Other countries that MDA views as potential naval BMD operators (using either the Aegis BMD
system or some other system of their own design) include the United Kingdom, the Netherlands,
Spain, Germany, Denmark, South Korea, and Australia. As mentioned earlier, Spain, South
Korea, and Australia either operate, are building, or are planning to build Aegis ships. The other
countries operate destroyers and frigates with different combat systems that may have potential
for contributing to BMD operations. As of March 2011, none of these countries had committed to
fielding a sea-based BMD capability.13
Navy Aegis Ballistic Missile Defense (BMD) Program
The Netherlands, which has had a longtime interest in a missile shield, is pressing ahead to
build up its own capabilities. The Dutch defense ministry plans to expand the capabilities of
the Thales Smart-L radar on Dutch frigates to take on BMD roles. The program’s value is
estimated at €100-250 million, including logistics support and spares.
Other European navies using the sensor may follow the Dutch lead.
Dutch Defense Minister Hans Hillen notes that the Smart-L effort would help address the
BMD sensor shortage within the NATO alliance. Citing NATO’s decision last year to take a
more expansive approach to BMD, Hillen says Smart-L could give the ALTBMD [Active
Layered Theater BMD] command-and control backbone the required long-range targetdetection analysis to help identify where a threat originates.
The Netherlands has already carried out a sensor trial for the expanded role in cooperation
with the U.S. Navy. The move does not include the purchase of Raytheon Standard Missile
SM-3 interceptors.
Both hardware and software modifications to the combat management system are needed.
All four [of the Dutch navy’s] De Zeven Provincien-class frigates would be modified to
ensure that two can be deployed, even as one is in maintenance and the fourth is being
readied for operations.
Thales is due to complete a series of studies to prepare for the acquisition of the upgrade in
the third quarter of 2012. The goal is to have the first frigates ready for operations by 2017.
All four should be upgraded by the end of that year.
Although the Netherlands is leading the program, other Smart-L users, including the German
navy and Denmark, have been monitoring the effort. France also has shown interest in the
system, Hillen said in a letter to legislators.
France also wants to upgrade its Aster 30 interceptor to give it a basic BMD capability,
although a formal contract has not been awarded….
Raytheon, meanwhile, is still fighting to win a foothold for its Standard Missile 3 (SM-3) in
Europe. The company continues its push to persuade continental navies to embrace the SM-3
Block 1B for missile defense roles, and says it has largely validated the dual-mode data link
that would be key to the concept.
The data link would feature both S- and X-band capability—the former to support the Aegis
radar system used by the U.S. and others, and the latter for the Smart-L/APAR (active
phased array radar) combination used, for instance, by the Dutch navy.23
FY2012 Funding Request
The Aegis BMD program is funded mostly through MDA’s budget. The Navy’s budget provides
additional funding for BMD-related efforts. As shown in Table 3, MDA’s proposed FY2012
budget requests a total of $2,380.3 million in procurement and research and development funding
for Aegis BMD efforts, including funding for Aegis Ashore sites that are to be part of the EPAA.
23
Robert Wall, Amy Svitak, and Amy Butler, “Supporting Role,” Aviation Week & Space Technology, October 3,
2011: 28-29. A shorter version of the story was published as Robert Wall, “Dutch Press Forward On Ship-Based
Missile Defense Effort,” Aerospace Daily & Defense Report, September 27, 2011: 4.
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Navy Aegis Ballistic Missile Defense (BMD) Program
Table 3. MDA Funding for Aegis BMD Efforts, FY2011-FY2016
(In millions of dollars, rounded to nearest tenth; totals may not add due to rounding; FY2011 and FY2012
are requested; FY2013-FY2016 are programmed)
FY11
FY12
FY13
FY14
FY15
FY16
Aegis Block 5 Procurement (Line 32,
Project 355)
94.1
0
0
0
0
0
Aegis BMD
(Line 3534, Project MD09)
0
565.4
675.1
737.4
807.9
1,025.5
Aegis Ashore
(Project MD73)
0
0
0
0
211.1
39.9
SUBTOTAL Procurement
94.1
565.4
675.1
737.4
1,019.0
1,065.4
Procurement
Research, development, test & evaluation (RDT&E)
SM-3 Block IIB missile (Line 69, PE
0603902C, Projects MD70, MD40)
0
123.5
433.1
384.6
401.1
394.8
1,467.3
960.3
958.0
1,001.5
970.6
1,033.7
Land-based SM-3
(Line 110, PE
0604880C, Projects MD68, MD 40)
281.4
306.6
149.3
60.6
41.4
154.8
SM-3 Block IIA missile co-development
(Line 111, PE 0604881C, Projects
MD09, MD40)
318.8
424.5
357.2
279.4
203.6
25.2
SUBTOTAL RDT&E
2,067.5
1,814.9
1,897.6
1,726.1
1,616.7
1,608.5
SUBTOTAL Procurement plus
RDT&E
2,161.6
2,380.3
2,572.7
2,463.5
2,635.7
2,673.9
Land-based SM-3 launch facility HN1
0
0
89.4
0
0
0
SUBTOTAL MilCon
0
0
89.4
0
0
0
94.1
565.4
675.1
737.4
807.9
1,025.5
Aegis Ashore Phase III
0
0
0
0
211.1
39.9
SUBTOTAL O&M
94.1
565.4
675.1
737.4
1,019.0
1,065.4
2,255.7
2,945.7
3,337.2
3,200.9
3,654.7
3,739.3
Procurement
Aegis Block 5 Procurement
(Line 32, Project 355)
SUBTOTAL Procurement
Research, development, test & evaluation (RDT&E)
SM-3 Block IIB missile
(Line 69, PE 0603902C, Projects MD70, MD40)
BMD Aegis
BMD Aegis (Line 91, PE 0603892C, nine
projects)
Military Construction (MilCon)
Operation and Maintenance (O&M)
Aegis BMD
TOTAL ALL ABOVE
Source: FY2012 DOD budget submission.
Issues for Congress
Demands for BMD-Capable Aegis Ships
Some observers are concerned—particularly in light of the EPAA—that demands from U.S.
regional military commanders for BMD-capable Aegis ships are growing faster than the number
of BMD-capable Aegis ships. Congressional Research Service
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Navy Aegis Ballistic Missile Defense (BMD) Program
Issues for Congress
Demands for BMD-Capable Aegis Ships
One potential oversight issue for Congress concerns demands for BMD-capable Aegis ships from
U.S. regional military commanders. Some observers are concerned—particularly in light of the
EPAA—that these demands are growing faster than the number of BMD-capable Aegis ships.
Much of the concern focuses on the situation over the next few
years, prior to the scheduled
establishment of the two Aegis Ashore sites in Europe.
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April 2011 Navy Report to Congress A September 16, 2011, press report stated:
“The BMD ships between now and 2017 are basically deployed for seven months, home for
seven months, deployed for seven months, home for seven months for the next six years,”
[Chief of Naval Operations Admiral Gary Roughead] said. “With the retention environment
we’re in now, we’re not seeing the effects of that on our people yet, but when the economy
turns, that’s a pretty brutal pace.”24
The October 5, 2011, joint announcement by United States, Spain, and NATO that four BMDcapable Aegis ships are to be forward-homeported at Rota, Spain, beginning in 2014 (see
“October 5, 2011, Announcement of Homeporting in Spain to Start in 2014” in “Background”)
appears intended to reduce total demands for BMD-capable Aegis ships, since it would reduce the
number of BMD-capable Aegis ships that would be needed to maintain deployments of such ships
in the Mediterranean as part of the EPAA. If the Navy relied entirely on East Coast-homeported
destroyers operating on seven-month deployments for supporting the EPAA, then maintaining
two BMD-capable Aegis ships continuously on station in Mediterranean waters could require
approximately nine BMD-capable Aegis ships.25
An April 2011 Navy report to Congress on naval force structure and BMD stated the following:
The Navy currently has sufficient capacity to meet the most critical demands for multimission surface combatants. However, the Navy does not have the capacity to meet all GCC
[Global Combatant Commander] demands for BMD-capable surface combatants without
breaking currently established Chief of Naval Operations Personnel Tempo program limits
for deployment lengths, dwell and homeport tempo. Navy’s funded BMD upgrade plan is
structured to balance the need to meet current multi-mission and Aegis BMD operational
requirements against the need to increase Aegis BMD capacity and upgrade existing BMDcapable Aegis ships to pace the future threat.
The Navy, in conjunction with the Missile Defense Agency (MDA), has established a plan to
increase the number of BMD-capable Aegis ships from 23 in FY2011 to 41 in FY2016 to
begin to address this shortfall. This plan increases capacity through a combination of
installing Aegis BMD 3.6.1 / 4.0.1 / 5.0 suites in existing Aegis ships (Aegis Modernization
Program) and new construction commencing with DDG-113. This combined upgrade/new
24
Dan Taylor, “CNO: Biggest Concern Is That Shrinking Budgets Will Stretch Force Thin,” Inside the Navy,
September 19, 2011.
25
This number is based on a stationkeeping multiplier of 4.4 for Norfolk-based DDG-51s deploying to the European
Command’s area of responsibility on seven-month deployments. The stationkeeping multiplier is the number of ships
of a given type and a certain homeporting location that are needed to maintain one ship of such ship continuously on
station in a certain overseas operating area. (Source for stationkeeping multiplier: Navy information paper on
stationkeeping multipliers dated December 30, 2009, provided by the Navy to CRS on January 8, 2010.)
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construction approach is designed to mitigate both the near term operational demand for
multi-mission (including BMD) large surface combatants and the increasing Aegis BMD
capability and capacity demand in the future.
The analytical work associated with the Navy’s ongoing Force Structure Analysis has
progressed to the point that a FY2024 requirement for 94 multi-mission large surface
combatants has been established. The global proliferation of land-attack ballistic missiles
and and
the anticipated proliferation of anti-ship ballistic missiles underpins a related
requirement for
all multi-mission large surface combatants with Aegis weapon systems to be
BMD-capable
beyond ~2025….
The Navy and Missile Defense Agency (MDA) have concluded that the Geographic
Combatant Commanders’ (GCCs) demand for surface combatants with Aegis BMD
capability will outpace capacity through approximately 2018. This conclusion was reached
based on an assessment that considered the current and projected ballistic missile threat;
current and projected requests from the GCCs including the Phased Adaptive Approach
(PAA) for defense of Europe directed by the President; other force generation factors such as
maintenance availabilities necessary to ensure the ships reach their expected service lives,
training requirements and deployment lengths; and the deployment of Aegis Ashore to offset
some of the growing demand for BMD capability….
BMD-capable large surface combatant requirements are independently determined by each
GCC based on theater operational planning and mission analyses that consider unique
regional factors such as the ballistic missile threat, threat dispersal, geography, size of the
defended area, and the specific number and disposition of defended assets. Each GCC
submits their fiscal year Aegis BMD requirement to the Joint Staff for validation. Once
validated, U.S. Fleet Forces Command provides a consolidated sourcing solution for large
surface combatants, to include those that are BMD-capable. The annual requirements and
sourcing solutions are reviewed by a Global Force Management Board which ensures
competing GCC requirements are properly prioritized based on overarching global defense
priorities and that the Navy’s limited BMD capacity is applied to the most critical needs.
The Global Force Management Board submits its requirements/sourcing recommendation to
SECDEF for approval, in the form of a Global Force Management Allocation Plan which
allocates Aegis BMD surface combatants to the GCC’s for specified timeframes. Emergent
GCC requirements for Aegis BMD combatants in response to unforeseen crises are subject
to a similar approval process, without the Global Force Management Board review. In this
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Navy Aegis Ballistic Missile Defense (BMD) Program
case, SECDEF decisions represent adjustments to the annual Global Force Management
Allocation Plan.
The total number of ships required to support the Phased Adaptive Approach to ballistic
missile defense of Europe will be based on the operational planning and mission analysis
factors noted above, combined with force generation factors such as maintenance, training
and forward stationing or rotational model considerations. US European Command’s
operational plan for the ballistic missile defense of Europe has not been approved as of the
date of this report….
US European Command’s operational plan for the ballistic missile defense of Europe has not
yet been approved, but could incorporate up to two Aegis Ashore batteries. Using a standard
rotational BMD force structure model of five ships to sustain 1.0 presence, each Aegis
Ashore battery could make up to five ships available to service Aegis BMD combatant
requirements that would otherwise go unresourced….
All Aegis BMD surface combatants undergo the training, deployment and maintenance
phases that comprise the Fleet Response Plan. These phases are balanced to ensure each
crew crew
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is proficient across the full spectrum of missions the ship is capable of performing; to
meet meet
the operational requirements of the GCCs; and to ensure these capital assets reach their
expected service life. In the near term, this balance will entail deployments for BMDcapable surface combatants of about seven months.17
Potential Number of BMD-Capable Ships Needed for EPAA
The number of BMD-capable cruisers and destroyers that will be needed for European BMD
operations over the next few years will depend on
•
the number of BMD-capable ships that are to be kept on station in European
waters at any given moment,
•
the way in which being on station is defined, and
•
the Navy’s approach for providing ships for those stations.
General James Cartwright, Vice Chairman of the Joint Chiefs of Staff, testified in 2009 that for
“early-stage” European BMD operations, DOD was considering maintaining two BMD-capable
ships at each of three European BMD stations, for a total of six ships on station. 18 The discussion
below is based on a total of six ships being kept on station, but the discussion can be adjusted
accordingly if the total number of ships to be kept on station turns out to be something other than
six.
If the Navy relied entirely on East Coast-homeported destroyers operating on seven-month
deployments for supporting European BMD operations, then maintaining six ships continuously
17
U.S. Navy, Office of the Chief of Naval Operations, Director of Strategy and Policy (N51), Report to Congress On
Naval Force Structure and Missile Defense, April 2011, 12 pp.
18
Emelie Rutherford, “Congress To Probe Possible Need For More Ships For Obama Missile-Defense Plan,” Defense
Daily, January 12, 2010: 1-2; Pat Host, “Lawmaker: Pacific Left Vulnerable Under New Missile Defense Plan,” Inside
the Navy, October 19, 2009; Dan Taylor, “O’Reilly: Pentagon To Send BMD Ships To Eastern Mediterranean,” Inside
the Navy, October 5, 2009; Dan Taylor, “Cartwright: Navy May Station Six Aegis BMD Ships Near Europe.” Inside
the Navy, September 28, 2009; Emelie Rutherford, “Navy Ship Role In New Missile-Defense Architecture
Questioned,” Defense Daily, September 25, 2009: 2-3.
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Navy Aegis Ballistic Missile Defense (BMD) Program
on station in European waters could require approximately 26 ships.19 This figure might be taken
as a high-end or worst-case analysis. The figure could be reduced by
•
increasing trans-Atlantic transit speeds, which would marginally reduce
stationkeeping multipliers by reducing transit times (but would also increase fuel
consumption during transits);
•
using Sea Swap—that is, extended-length (e.g., 18- or 24-month) deployments
with crew rotation—which could substantially reduce stationkeeping multipliers
by reducing the number of trans-Atlantic transits;
•
using multiple crewing—that is, operating the ships with an average of more
than one crew for each ship—which could substantially reduce stationkeeping
multipliers by increasing the percentage of time that each ship is in deployed
status;
•
homeporting the ships in Europe, which could substantially reduce
stationkeeping multipliers by eliminating most trans-Atlantic transits (some
trans-Atlantic transits might still be needed for maintenance or training reasons);
•
taking advantage of transit presence—that is, meeting some of the requirement
with BMD-capable cruisers and destroyers that are passing through the
Mediterranean on their way to or from the Indian Ocean/Persian Gulf region; and
•
using an operational “tether”—that is, defining “being on station” to mean
being in the needed location and ready to conduct BMD operations within a
certain number of hours or days of receiving an order. General Cartwright
testified in 2009 that DOD was considering using a tether of “a couple of days”
for European BMD operations, as it does for BMD operations in the Sea of
Japan.20
These measures are not mutually exclusive, and pursuing a combination could substantially
reduce the number of cruisers and destroyers required to keep six on station. European
homeporting, for example, might be combined with multiple crewing and taking advantage of
transit presence. Such a strategy, combined with an operational tether, might represent something
close to a low-end or best-case analysis.21 The Navy reportedly is examining options for
European homeporting of BMD-capable Aegis ships.22
19
This number is based on a stationkeeping multiplier of 4.4 for Norfolk-based DDG-51s deploying to the European
Command’s area of responsibility on seven-month deployments. The stationkeeping multiplier is the number of ships
of a given type and a certain homeporting location that are needed to maintain one ship of such ship continuously on
station in a certain overseas operating area. (Source for stationkeeping multiplier: Navy information paper on
stationkeeping multipliers dated December 30, 2009, provided by the Navy to CRS on January 8, 2010.)
20
Pat Host, “Lawmaker: Pacific Left Vulnerable Under New Missile Defense Plan,” Inside the Navy, October 19,
2009; Dan Taylor, “O’Reilly: Pentagon To Send BMD Ships To Eastern Mediterranean,” Inside the Navy, October 5,
2009.
21
The aircraft carrier that is homeported in Japan is counted as being present as a forward-deployed ship in the Pacific
even when it is at pier or in dry dock in Japan. As a result, the Navy treats the homeporting of a carrier in Japan as
reducing to 1.0 the stationkeeping multiplier for keeping a carrier forward-deployed in the Pacific. This counting rule
might not be suitable for BMD-capable ships homeported in Europe, since their mission would involve not simply
being present, but being ready to conduct BMD operations. Consequently, homeporting the ships in Europe might not
reduce to six the total number of ships required to keep six on station. But it could reduce the stationkeeping multiplier
by significantly reducing time spent transiting between the home port and the operating station, and perhaps also by
permitting the ships to adopt an operational cycle that is more like the operational cycle of the Japan-homeported
(continued...)
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Navy Aegis Ballistic Missile Defense (BMD) ProgramBMD-capable
surface combatants of about seven months.26
In April 2011, the Navy provided CRS with responses to a series of questions that CRS had posed
to the Navy regarding the Navy’s strategy for maintaining deployments of BMD-Aegis ships to
European waters as part of the EPAA. The text of the questions, and the Navy’s responses, are as
follows:
1. QUESTION: Will the establishment of the Aegis Ashore sites reduce requirements for
maintaining deployments of BMD-capable Aegis ships in support of the EPAA, and if so, by
how much?
RESPONSE: While Aegis Ashore is not a replacement for afloat Ballistic Missile Defense
(BMD) capability, without it or potentially other land-based regional BMD assets, the longterm requirement for BMD-capable Aegis ships would likely increase. The specific impact of
Aegis Ashore on BMD afloat requirements is not known as it would be based in part on
Combatant Commander operational planning and Aegis Ashore system employment data
that is still under development.
2. QUESTION: With respect to the Navy’s longer-term strategy for maintaining BMDcapable Aegis ships on station in European waters in support of the European Phase
Adaptive Approach (EPAA):
(1) How many EPAA stations will be maintained?
(2) How many BMD-capable Aegis ships will be maintained in each station?
(3) What is the definition of being “on station”?
(4) What are the geographic limits of each station?
(5) Does the ship need to be in the station at all times, or will there be a tether?
(6) If a tether is used, how is that tether defined?
RESPONSE: The number of stations, or more appropriately ship operating areas, and
number of ships required to fulfill the EPAA mission is determined through operational
planning based on guidance provided by the Combatant Commander and the Area Air
Defense Plan. Navy Planners will provide input into this plan and identify ship operating
areas based on expected threat and approved defended asset lists.
Although multiple ship operating areas may be identified, ship sourcing in support of the
EPAA will continue to be through the Global Force Management process in order to balance
the global requirements for BMD-capable multi-mission Aegis ships. SECDEF adjudication
of global BMD assets will determine the number of ships available for sourcing to U.S.
European Command (EUCOM).
The Aegis Mission Planner will be used to determine specific ship operating areas that
optimize probability of intercept against a threat. The size and limits of specific ship
(...continued)
carrier.
22
Philip Ewing, “Officials Consider European Home Ports,” NavyTimes.com, April 19, 2010; Cid Standifer, “Mabus
Suggests That European Homerporting Would Help BMD Mission,” Inside the Navy, April 26, 2010; Cid Standifer,
“Harris: 6th Fleet Has ‘Contingencies Covered’ For Amphibious Requirement, Inside the Navy, June 21, 2010.
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26
U.S. Navy, Office of the Chief of Naval Operations, Director of Strategy and Policy (N51), Report to Congress On
Naval Force Structure and Missile Defense, April 2011, 12 pp.
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Navy Aegis Ballistic Missile Defense (BMD) Program
The Aegis Mission Planner will be used to determine specific ship operating areas that
optimize probability of intercept against a threat. The size and limits of specific ship
operating areas will be based on the probability of intercept against threat, the areas to be
defended and additional guidance from the operational commanders.
As with our BMD-capable ships in the Pacific, the Navy’s notional operating concept for
maritime BMD forces in Europe includes the use of operational tethers. These offer a
graduated response, based on time, allowing BMD-capable Aegis ships to be available for
other tasking when not directly involved in active BMD operations. Specific ship readiness,
time requirements and indications and warning associated with the EPAA tethers will be
established and managed by EUCOM through their component commanders.
3. QUESTION: Will the Navy attempt to maintain Aegis ships at these stations principally
through deployments of Aegis ships that are home ported on the U.S. East Coast?
RESPONSE: The Navy assesses requirements for BMD-capable multi-mission ships from
a a
global fleet perspective to determine the most efficient means of sourcing. Based on an
increasing inventory of BMD-capable Aegis ships home ported on the U.S. east coast,
sourcing of the EUCOM afloat BMD requirement will likely be met through rotational
deployments from Norfolk and Mayport.
4. QUESTION: Does the Navy plan to forward-homeport (i.e., Forward Deployed Naval
Forces)2327 BMD-capable Aegis ships at one or more locations in Europe to help reduce the
number of such ships needed to maintain the EPAA stations?
RESPONSE: With the President’s decision to pursue a phased adaptive approach (PAA)
for for
the missile defense of Europe, the Navy has been working within the Department of
Defense Defense
to identify the most efficient method to provide the required afloat BMD capability.
The The
establishment of a forward deployed force in Europe is one of the options being
assessed;
however, no final decision has been made.
5. QUESTION: What is the resulting total number of BMD-capable Aegis ships that the
Navy needs in inventory to maintain required numbers of BMD-capable Aegis ships at the
EPAA stations?
RESPONSE: BMD-capable multi-mission surface combatants are part of the overall Navy
force structure plan that supports a global posture of distributed, mission-tailored naval
forces capable of regionally concentrated combat operations and peacetime theater security
cooperation. The Navy currently has sufficient capacity to meet the most critical demands
for for
multi-mission surface combatants, however, Navy does not have the capacity to meet full
combatant commander demands for BMD-capable surface combatants without breaking
established Personnel Tempo program limits for deployment lengths, dwell and/or homeport
tempo. Working in conjunction with MDA, the Navy has established a plan to increase the
total number of BMD-capable Aegis ships across the FYDP from 23 in FY2011 to 41 in
FY2016. This plan includes increases in the capabilities and capacity of our surface fleet
either through installation of the Aegis BMD 3.6.1 / 4.0.1 suite, the Aegis Modernization
program, or new construction commencing with DDG113.24
2328
27
The Navy refers to forward-homeported Navy ships as Forward Deployed Naval Forces (FDNF)—a term that can
cause some confusion, since U.S.-homeported Navy ships that are sent to distant waters are also said to be forward
deployed.
2428
DDG-113 is the DDG-51 class ship that was procured in FY2010.
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Demands for Aegis Ships in General
Some observers are concerned thatAnother potential oversight issue for Congress concerns demands from U.S. regional military
commanders for Aegis ships in general. Some observers are concerned that demands for Aegis
ships for conducting BMD operations could strain the Navy’s ability to provide regional military
commanders with Aegis ships for performing non-BMD missions in various locations around the
world.
April 2011 Navy Report to Congress
An April 2011 Navy report to Congress on naval force structure and BMD stated the following:
The Navy’s operating concept for maritime BMD features a graduated readiness posture that
allows BMD-capable Aegis ships to be on a BMD mission tether and employed concurrently
in other missions such as strike warfare, air defense, anti-submarine warfare, surface warfare,
information warfare, high value asset protection, or maritime interdiction to contribute to
overall GCC [Global Combatant Commander] naval requirements. While Aegis ships
performing a BMD mission do not lose the capability to conduct these other missions,
specific mission effectiveness may be affected by optimizing the ships’ position for BMD
and/or application of the ship’s radar resources to the BMD mission.
The Navy currently has sufficient capacity to meet the most critical demands for multimission surface combatants….
The analytical work associated with the Navy’s ongoing Force Structure Analysis has
progressed to the point that a FY2024 requirement for 94 multi-mission large surface
combatants has been established. This requirement assumed that the Phased Adaptive
Approach for the ballistic missile defense of Europe would incorporate two Aegis Ashore
batteries….
Each GCC’s multi-mission surface combatant requirement, including the BMD mission, is
constantly evolving to reflect changes in the global security environment, our National
Military Strategy, and other Department of Defense guidance related to operations and
contingency plans. Within this context, BMD-capable surface combatant requirements are
independently determined by each GCC based on mission analyses that consider unique
regional factors such as the ballistic missile threat, threat dispersal, geography, size of the
defended area, and the specific number and disposition of defended assets. Other mission
requirements are similarly derived and the GCC’s total surface combatant requirement is
ultimately determined considering specific operational objectives and the extent to which
supporting schemes of maneuver accommodate multi-mission employment of Aegis BMD
surface combatants.25
General Discussion
As mentioned above in the April 2011 Navy report to Congress, the Navy’s Aegis ships are multimission platforms that are used for performing a range of non-BMD missions, including forward
deployed presence for regional deterrence, reassurance and stabilization; partnership-building
activities; humanitarian assistance and disaster response (HADR) operations; maritime security
operations (including anti-piracy operations in the Gulf of Aden); intelligence, surveillance, and
25
U.S. Navy, Office of the Chief of Naval Operations, Director of Strategy and Policy (N51), Report to Congress On
Naval Force Structure and Missile Defense, April 2011, 12 pp.
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reconnaissance (ISR) operations; counter-terrorism operations; and (if need be) conventional
warfighting operations. In conventional warfighting operations, Aegis ships could be called upon
to perform a variety of non-BMD functions, including anti-air warfare, anti-surface warfare,
strike warfare and naval surface fire support, and antisubmarine warfare. Locations that are good
for performing BMD operations might not be good for performing non-BMD operations, and vice
versa.
From February 2006 through April 2011, the Navy’s cruiser-destroyer force-structure goal was to
achieve and maintain a force of 88 cruisers and destroyers. The 88-ship goal was part of a Navy
plan for a 313-ship fleet first presented to Congress in February 2006. As shown in the above
excerpt from the April 2011 Navy report to Congress, the cruiser-destroyer force-level goal has
now been increased to 96 ships.
The Navy’s 30-year (FY2011-FY2040) shipbuilding plan does not contain enough destroyers to
maintain a force of 94 cruisers and destroyers consistently over the long run. The Navy projects
that implementing the 30-year plan would result in a cruiser-destroyer force that drops below 94
ships in FY2025, reaches a minimum of 67 ships (i.e., 27 ships, or about 29%, below the required
figure of 94 ships) in FY2034, and remains 18 or more ships below the 94-ship figure through the
end of the 30-year period. The projected cruiser-destroyer shortfall is the largest projected
shortfall of any ship category in the Navy’s 30-year shipbuilding plan. Another CRS report
discusses the projected cruiser-destroyer shortfall in greater detail.26
The Navy’s Aegis ships are multi-mission platforms that are used for performing a range of nonBMD missions, including forward-deployed presence for regional deterrence, reassurance, and
stabilization; partnership-building activities; humanitarian assistance and disaster response
(HADR) operations; maritime security operations (including anti-piracy operations in the Gulf of
Aden); intelligence, surveillance, and reconnaissance (ISR) operations; counter-terrorism
operations; and (if need be) conventional warfighting operations. In conventional warfighting
operations, Aegis ships could be called upon to perform a variety of non-BMD functions,
including anti-air warfare, anti-surface warfare, strike warfare and naval surface fire support, and
antisubmarine warfare. Locations that are good for performing BMD operations might not be
good for performing non-BMD operations, and vice versa.
The Navy’s force-level goal for cruisers and destroyers is to achieve and maintain a force of 94
ships. The Navy’s 30-year (FY2012-FY2041) shipbuilding plan does not contain enough
destroyers to maintain a force of 94 cruisers and destroyers consistently over the long run. The
Navy projects that implementing the 30-year plan would result in a cruiser-destroyer force that
drops below 94 ships in FY2025, reaches a minimum of 68 ships (i.e., 26 ships, or about 28%,
below the required figure of 94 ships) in FY2034, and remains 16 or more ships below the 94ship figure through the end of the 30-year period. The projected cruiser-destroyer shortfall is the
largest projected shortfall of any ship category in the Navy’s 30-year shipbuilding plan. Another
CRS report discusses the projected cruiser-destroyer shortfall in greater detail.29
Rear Admiral Archer Macy, the director of the Joint Integrated Air and Missile Defense
Organization, testified to the Senate Armed Services Committee on April 20, 2010, that DOD
does not plan to give BMD-capable Aegis ships a strict role of performing BMD operations only.
He also stated, however, that it was possible, depending on ballistic missile threats, that BMDcapable Aegis ships might sometimes be constrained to certain operating areas.30
As mentioned earlier (see “October 5, 2011, Announcement of Homeporting in Spain to Start in
2014” in “Background”), Secretary of Defense Leon Panetta stated the following as part of the
October 5, 2011, joint announcement about homeporting four BMD-capable Aegis ships at Rota,
Spain, as part of the EPAA:
Beyond missile defense, the Aegis destroyers will perform a variety of other important
missions, including participating in the Standing NATO Maritime Groups, as well as joining
in naval exercises, port visits, and maritime security cooperation activities….
29
CRS Report RL32109, Navy DDG-51 and DDG-1000 Destroyer Programs: Background and Issues for Congress, by
Ronald O'Rourke.
30
Dan Taylor, “Macy: Navy Increases Total Aegis BMD Assets Over FYDP To 38 Ships,” Inside the Navy, April 26,
2010.
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The agreement also enables the United States to provide rapid and responsive support to the
U.S. Africa and U.S. Central Commands, as needed.31
An April 2011 Navy report to Congress on naval force structure and BMD stated the following:
The Navy’s operating concept for maritime BMD features a graduated readiness posture that
allows BMD-capable Aegis ships to be on a BMD mission tether and employed concurrently
in other missions such as strike warfare, air defense, anti-submarine warfare, surface warfare,
information warfare, high value asset protection, or maritime interdiction to contribute to
overall GCC [Global Combatant Commander] naval requirements. While Aegis ships
performing a BMD mission do not lose the capability to conduct these other missions,
specific mission effectiveness may be affected by optimizing the ships’ position for BMD
and/or application of the ship’s radar resources to the BMD mission.
The Navy currently has sufficient capacity to meet the most critical demands for multimission surface combatants….
The analytical work associated with the Navy’s ongoing Force Structure Analysis has
progressed to the point that a FY2024 requirement for 94 multi-mission large surface
combatants has been established. This requirement assumed that the Phased Adaptive
Approach for the ballistic missile defense of Europe would incorporate two Aegis Ashore
batteries….
Each GCC’s multi-mission surface combatant requirement, including the BMD mission, is
constantly evolving to reflect changes in the global security environment, our National
Military Strategy, and other Department of Defense guidance related to operations and
contingency plans. Within this context, BMD-capable surface combatant requirements are
independently determined by each GCC based on mission analyses that consider unique
regional factors such as the ballistic missile threat, threat dispersal, geography, size of the
defended area, and the specific number and disposition of defended assets. Other mission
requirements are similarly derived and the GCC’s total surface combatant requirement is
ultimately determined considering specific operational objectives and the extent to which
supporting schemes of maneuver accommodate multi-mission employment of Aegis BMD
surface combatants.32
A January 4, 2010, news report stated:
No sooner did the Aegis ballistic missile defense (BMD) system become operational in 2008
than U.S. combatant commanders started asking for BMD-equipped ships to begin patrolling
their areas.
Central Command needed a “shooter” in the northern Arabian Gulf. European Command
wanted one in the eastern Mediter-ranean. Pacific Command already had Aegis ships with
limited BMD capabilities on guard around Japan for a potential launch from North Korea.
31
“Announcement on missile defence cooperation by NATO Secretary General Anders Fogh Rasmussen, the Prime
Minister of Spain, Jose Luis Rodriguez Zapatero and US Defense Secretary Leon Panetta,” October 5, 2011, accessed
October 6, 2011, at http://www.nato.int/cps/en/SID-107ADE55-FF83A6B8/natolive/opinions_78838.htm. See also
“SECDEF Announces Stationing of Aegis Ships at Rota, Spain,” accessed October 6, 2011, at http://www.navy.mil/
search/display.asp?story_id=63109.
32
U.S. Navy, Office of the Chief of Naval Operations, Director of Strategy and Policy (N51), Report to Congress On
Naval Force Structure and Missile Defense, April 2011, 12 pp.
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The demand for BMD ships is only expected to increase, driven in part by rising concerns
about Iran’s intentions and the U.S. decision in September to cancel an anti-missile system in
Poland and the Czech Republic and rely instead on Aegis.
But the Navy has a relatively small number of such ships, and those destroyers and cruisers
are designed to carry out a wide range of war-fighting tasks.
As a result, while Navy commanders are pleased with the expanding capabilities of their
Aegis ships, they’re also somewhat guarded about trumpeting the advances.
“We can’t constrain assets to one mission,” a senior officer said last month. “They need to do
a variety of other missions.” Worries that valuable Aegis ships might be locked into the
BMD mission were discussed in December at a two-day seminar at the National Defense
University (NDU) in Washington. Reporters were allowed to quote comments made at the
seminar under the condition that no speaker be identified.
26
CRS Report RL32109, Navy DDG-51 and DDG-1000 Destroyer Programs: Background and Issues for Congress, by
Ronald O'Rourke.
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“Sea-based ballistic missile defense is a necessary component of any theater defense,” said
the senior officer. “We need to find ways to get folks to use the ships in ways consistent with
their being a ship—to realize they are not a point-defense asset.” One analyst added, “The
demand signal is ahead of the pot of ships.” U.S. Navy spokesman Lt. Tommy Buck said the
service is working to manage the demand.
“Combatant commanders need to understand BMD-capable ships are multimission-capable.
BMD is one available asset,” Buck said Dec. 18.
The Navy is also working on how to respond, said Vice Adm. Samuel Locklear, director of
the Navy Staff.
“We have a small Navy today—the smallest since 1916—yet we have a growing global
demand for maritime forces, maritime security operations. And now we have a growing
demand for maritime ballistic missile defense. Our ships and our crews and our systems are
up to the challenge, but it’s a capacity issue for us,” Locklear said to a reporter during the
NDU seminar.
“As the capacity grows faster than we can grow the number of ships we have—which is
always difficult, particularly in the demanding fiscal environment we’re in—we have to look
at ways to deploy these ships so that we can get the job done and still have a reasonable
expectation that we can take care of the ship and the crew,” Locklear said. “So we’re looking
at a lot of different options as to how we’ll do that as this demand grows. But we are limited
in capacity.” Locklear said that despite meeting demands from joint commanders, the Navy
has “to some degree preserved the command and control. Navy component commanders still
command and control these ships.” But, he added, “What we’ve had to do is to spread these
multimission platforms more thinly across a growing number of demands globally.”
27 BMD Ships By 2013
Twenty-one cruisers and destroyers will have been upgraded with the Aegis BMD capability
by early 2010, and six more destroyers are to receive the upgrade in 2012 and 2013. But at
least one senior officer at the seminar noted “there will be no more new ships for missile
defense.” The demand has already affected deployments. Early in 2009, for example, The
Sullivans, a Florida-based destroyer on deployment with a carrier group, moved to Japan for
a few weeks to pick up the exercise schedule of a Japan-based BMD destroyer that was
called on by Central Command to guard the northern Ara-bian Gulf.
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This fall, a San Diego-based ship, the destroyer Higgins, deployed to the eastern
Mediterranean to provide BMD defense for European Command and take part in exercises.
Both moves are unusual, as it’s rare for an Atlantic Fleet ship to visit Japan or for a Pacific
ship to patrol the Mediterranean. Such cross-deployments require more coordination by fleet
planners.
“Effective global force management requires global visibility on requirements,” Buck said.
“U.S. Fleet Forces Command [headquartered in Norfolk, Va.] and Pacific Fleet
[headquartered in Pearl Harbor, Hawaii] collaborate, coordinate and communicate to have
more complete knowledge of location and status of fleet capabilities and work to best
employ those capabilities to meet global combatant commander requirements to include
BMD.” The senior officer said one way to manage demand is to encourage combatant
commanders to give “sufficient warning to have ships on station. We need to remind
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[combatant commanders] that these are multimission ships.” The BMD cruisers and
destroyers are also equipped to handle anti-submarine, land-attack, air-defense and other
tasks.27
Rear Admiral Archer Macy, the director of the Joint Integrated Air and Missile Defense
Organization, testified to the Senate Armed Services Committee on April 20, 2010, that DOD
does not plan to give BMD-capable Aegis ships a strict role of performing BMD operations only.
He also stated, however, that it was possible, depending on ballistic missile threats, that BMDcapable Aegis ships might sometimes be constrained to certain operating areas.28
Additional Issues Concerning European Aegis BMD Operations
The Administration’s plan to use BMD-capable Aegis ships to defend Europe against potential
ballistic missile attacks raises a number of additional potential oversight issues for Congress,
including the following:
•
What will be the command and control procedures governing use of sea-based
SM-3s for purposes of intercepting ballistic missiles fired toward Europe from
Iran (or some other country in the Middle East or Southwest Asia)? Would
authority to fire the missile rest with the ship’s commanding officer, or would
approval from a higher authority be required?
•
What additional system-integration challenges would the Administration’s plan
pose for the Aegis BMD system? How significant are the technical risks
associated with these challenges?
•
What implications, if any, does Japanese involvement in the development of the
SM-3 Block IIA missile have for implementing the Administration’s plan?
•
If allied European navies in the future acquire BMD capabilities using the
Aegis/SM-3 combination or other systems, does the Administration envisage
having those navies participate in European BMD operations, so as to reduce the
burden on U.S. BMD systems?
An April 19, 2010, press report stated that:
questions still under consideration include basics such as which areas American ships will
defend and when; how many ships will be available; and how the alphabet-soup of U.S. and
international commanders will work together in a crisis.
[Admiral Mark Fitzgerald, commander of Naval Forces Europe] gave a simple example of
the bureaucratic and diplomatic intricacies involved with Navy ballistic-missile defense of
Europe: Although U.S. European Command controls the territory in which BMD ships will
be on guard, the potential launch sites in the Middle East, from which an attack might come,
belong to U.S. Central Command.
27
Christopher P. Cavas, “U.S. Navy Juggles Ships To Fill BMD Demands,” Defense News, January 4, 2010. Material
in brackets as in original.
28
Dan Taylor, “Macy: Navy Increases Total Aegis BMD Assets Over FYDP To 38 Ships,” Inside the Navy, April 26,
2010.
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Officials need to determine how to integrate their sensors, how they’ll handle warnings, and
who will be in the loop—American, NATO, European Union or individual countries’
militaries—if a threat occurs….
The U.S. and its allies have begun testing systems and practicing for threats, Fitzgerald said,
and American BMD ships are confirmed ready to join Israel’s command-and-control grid in
case of an attack.29
A November 6, 2009, press report stated:
Citing the resource-constrained U.S. Army budget, the general overseeing the Army’s Space
and Missile Defense Command says he would prefer the U.S. Navy to assume oversight and
execution of the mission to land-base SM-3 Block IB ballistic missile killers in Europe for
protection against an Iranian attack.
“Today, we have a number of priorities that we have trouble meeting outside of missile
defense,” Campbell said during a Nov. 3 interview with Aviation Week.
These include providing weapons and manpower for the wars in Afghanistan and Iraq.
“In my view this is an opportunity to have another service, in this case the Navy, to be the
lead service…From a resource perspective, it would be one less competing priority that we
have to put in the mix.”
The Pentagon plans to field land-based SM-3 Block IB interceptors, originally designed for
launch from Aegis ships, in Europe by 2015. Eventually, the SM-3 Block IIA, built on a 21inch booster (the IA and IB use 13.5-inch boosters), will likely be based on European soil. It
is unclear what type of fire control and sensor architecture will be used. Candidates include
those used for the Navy’s Aegis ship system or the Army’s Terminal High-Altitude Area
Defense (Thaad) system now being fielded.
It would seem a natural mission for the Army to fund and field the land-based SM-3 mission
as the lead service. Campbell notes that the Army has 10 years of experience in operating
missile defense architectures abroad through the Patriot, PAC-3 and now Thaad. “We’ve
only started to scratch on the surface on how would it work in the theater with the new
Terminal High-Altitude Air Defense, Thaad, and then how would it work with an Aegis ship
introduced into the same region … and Patriot could be part of that architecture,” Campbell
said.
However, he says the service is facing too many financial troubles to take on the mission.
Inputs from both the Army and Navy have been sent to the Pentagon for consideration. A
final decision is expected on the matter soon.30
An October 25, 2009, press report stated:
U.S. Defense Secretary Robert Gates asked Japan last week to export a new type of shipbased missile interceptor [the SM-3 Block IIA] under joint development by Tokyo and
29
Philip Ewing, “Officials Consider European Home Ports,” NavyTimes.com, April 19, 2010.
Amy Butler, “Army Three-Star Pushes For Navy To Be Ashore SM-3 Lead,” Aerospace Daily & Defense Report,
November 6, 2009: 1-2. Ellipses as in original.
30
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Washington to third countries, presumably European, sources close to Japan-U.S. relations
said.
Gates’ request could lead to a further relaxation of Japan’s decades-long arms embargo and
spark a chorus of opposition from pacifist elements in the ruling Democratic Party of Japan
and one of its coalition partners, the Social Democratic Party.
Gates made the request concerning Standard Missile-3 Block 2A missiles during talks with
Defense Minister Toshimi Kitazawa on Wednesday, the sources said....
Japan has a policy of not exporting weapons or arms technology, except to the United States,
with which it has a bilateral security pact.
Gates’ request followed President Barack Obama’s announcement in September that the
United States is abandoning plans for a missile defense shield in Eastern Europe and
adopting a new approach to antimissile defense.
During his talks with Kitazawa, Gates called for a relaxation of Japan’s arms embargo and
prodded Tokyo to pave the way for exports of the new interceptors to third countries,
particularly European, the sources said.
Kitazawa refrained from answering directly, telling Gates the government would study the
request as it is an internal matter for Japan, the sources said.
The United States plans to begin deploying SM-3 Block 2A missiles in 2018. The Foreign
and Defense ministries believe it will be difficult to reject Gates’ request, the sources said.
In December 2004, Japan and the United States signed an agreement for bilateral cooperation
on a ballistic missile defense system. At the time, Japan exempted U.S.-bound exports of
missile interceptors to be developed by the two countries from its arms embargo rules.
Following an agreement on joint development of a new missile interceptor, Japan and the
U.S. exchanged diplomatic documents on banning its transfer to third parties or its use for
purposes other than originally intended without Japan’s advance agreement.
The sources said Japan would probably be forced to exempt the export of the interceptors to
third countries or give its nod in advance as stated in the documents.
The United States is hoping to get an answer to Gates’ request by the end of 2010, and
envisages Japan exporting the new interceptors to European countries, including Germany,
the sources said....
In fiscal 2006, Japan and the United States began to jointly develop the SM-3 Block 2A, an
advanced and more accurate version [of the SM-3 interceptor]....
Japan is developing the core part of the interceptor, which protects an infrared ray sensor
from heat generated by air friction, while the United States is in charge of developing the
warhead, called the Kinetic projectile, which would hit and destroy a ballistic missile.
Japan’s arms embargo dates back to 1967, when then Prime Minister Eisaku Sato declared a
ban on weapons exports to communist states, countries to which the United Nations bans
such exports and parties to international conflicts.
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The policy was tightened in 1976 when then Prime Minister Takeo Miki imposed an almost
blanket ban on the export of weapons. But in 1983, Japan exempted exports of weapons
technology to the United States from the embargo.31
An October 8, 2009, press report stated:
As Navy planners figure out how the fleet will take on its new job of providing ballisticmissile defense protection for Europe, they don’t have to look far for an example of what it
could look like.
The Norfolk, Va.-based destroyer Stout returned in early September from European
Command’s first dedicated BMD deployment, in what could be an early model for the
missions of tomorrow.
“I would think they would look kind of similar to what we did,” Cmdr. Mark Oberley, the
Stout’s commanding officer, told Navy Times.
Stout deployed to the 6th Fleet area of operations, made regular stops in the Mediterranean
and Black seas, trained with partner navies and overall showed the U.S. flag. But everywhere
it went, BMD was part of its daily life.
“The BMD just kind of goes in parallel with our normal routine wherever we go in the
world; that didn’t really change the exercises we did and the way we prepared,” Oberley
said.
The U.S. is committing at least two BMD ships—and as many as six, a top defense official
said Sept. 24—for a standing patrol off Europe by 2011. The ships will be there to safeguard
against ballistic-missile attacks launched from Iran.
It isn’t clear yet just what that duty will look like: Still to be determined is where ships will
patrol, how they’ll be outfitted and what it all means for their crews and schedules.
In Stout’s case, the crew was tied to patrol areas for which the ship had to provide BMD
protection, within which it had some latitude about where it could stray.
“[Aegis] can reach far, but you also have a tether to be in a certain area in a certain time, just
like a lot of the other missions that we do, and basically, as long as we’re in that tether, then
you’re good,” he said.
And although the Navy’s BMD tests in the Pacific typically involve two or three ships,
Oberley said Stout or any other BMD ship probably could see and hit a ballistic missile
flying from the Middle East toward Europe.
“It depends on where it’s launched from and where it’s going to, so all those things are
variable. If the situation required us to link with another ship or another system, we could do
that,” he said.
Missile numbers
Aegis warships are suitable for ballistic-missile defense because they can carry so many SM3 interceptors. Cruisers have 122 vertical launch system missile tubes and destroyers have 90
31
Kyodo News, “U.S. Urges Japan To Export SM-3s,” Japan Times, October 25, 2009.
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or 96, depending on their flight. But there aren’t even that many missiles in the whole U.S.
arsenal—yet. The Pentagon has “more than 40” SM-3s today, according to Missile Defense
Agency spokesman Chris Taylor. It requested funds for 147 missiles in fiscal 2009 and
planned to request funding for 218 missiles in fiscal 2010.32
A September 30, 2009, press report stated:
The Navy’s new mission of protecting Europe from ballistic-missile attacks has widespread
implications for the surface fleet, potentially affecting everything from deployment schedules
to crewing arrangements to command-and-control procedures for cruisers and destroyers.
Ballistic-missile defense warships have become the keystone in a new national strategy to
shield European allies from potential attacks by Iran. Rather than field sensors and missiles
on the ground in Poland and the Czech Republic, the U.S. will first maintain a presence of at
least two or three Aegis BMD ships in the waters around Europe, starting in 2011.
That announcement—which defined a new mission for the surface force: continent
defense—immediately raised many questions that Navy planners must answer over the next
two years:
Which ships will take the patrol mission? What will the deployments look like—will ships
participate in exercises, make port visits or be confined to a narrow patrol box? How long
will ships be assigned picket duty? Will BMD patrol ships sail with the crews they would
have taken on normal deployments, or will they have fewer sailors to account for the
narrower mission?
Navy officials had few answers in the week after Defense Secretary Robert Gates announced
the new BMD mission. Spokesmen at the Pentagon and for 3rd Fleet, which is responsible for
Navy Air and Missile Defense Command, said officials were working out the details.
Some hints could come from the deployment this summer of the BMD destroyer Stout,
which spent six months in the Mediterranean and Black seas, training with Turkish,
Romanian, Georgian and other sailors. When the mission was finished, Stout returned to
Norfolk, Va., in early September.
But that traditional model might not be best for the new BMD patrols, said retired Rear Adm.
Ben Wachendorf. He said top commanders might consider reviving crew-swaps—flying
replacement sailors to a forward port to relieve a ship’s company when its time at sea is over,
keeping the ship at sea for extended periods of time.
Wachendorf, who worked on the Navy’s original crew-swap experiments in the early 2000s,
said it would be expensive, but crew swaps would enable commanders to keep BMD ships in
place in European ports and save long transits home. Most of the Navy’s BMD fleet is based
in the Pacific, meaning ships would need a month at sea just to get to Europe and then
another month for the trip home.
One reason the fleet might reconsider crew swaps is that BMD-patrol ships could sail with
fewer people. If a cruiser or destroyer is loaded only with Standard Missile-3 interceptors
and will be tasked only with picket duty, it may not need some elements of a normal crew,
making it easier to fly fewer people to a forward port.
32
Philip Ewing, “Stout Deployment May Be BMD Mission Blueprint,” NavyTimes.com, October 8, 2009.
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Then again, that concept could backfire.
“You might be able to cut back on some things. Do you need a towed array? Are you ever
going to stream it out? Do you need a [helicopter] detachment?” Wachendorf asked. “I could
say no, but Big Navy worries, ‘If we have a helo-capable ship that never operates helos,
they’re not going to be ready to do that.’ Same thing with [anti-submarine warfare].”
Who pushes the button?
There were broader questions beyond crewing and deployments: For the first time, the
commanding officer of a surface warship will have strategic responsibilities—the ship could
be the only thing standing between a nuclear attacker and its victim. What discretion will
commanders have in responding to attacks?
“You’ve put these commanders on a par with [ballistic-missile submarine] commanders,”
said Steven Cimbala, an expert on ballistic-missile issues.
“But unlike an SSBN commander, who is unlikely to be under immediate tactical threat, an
Aegis cruiser or a [destroyer] could very easily be attacked by surface or subsurface craft, or
aircraft, as part of a first strike,” Cimbala said.
According to new intelligence described by Gates, the stakes for an engagement are very
high: Rather than one or two rogue launches, Gates described the threat from Iran as
involving volleys of many missiles fired simultaneously.
That also means a BMD captain could be responsible for a big, complex, dangerous battle in
the space over Europe, needing to fire dozens of missiles to try to destroy dozens of
attackers.33
Technical Risk in Aegis BMD Program
Another potential oversight issue for Congress is how much technical risk there is in the Aegis
BMD program.33
U.S. Economic Impact of Shifting Four Aegis Ships to Rota, Spain
Another potential oversight issue for Congress concerns the U.S. economic impact of the plan to
shift the homeport of four BMD-capable Aegis ships to the naval base at Rota, Spain (see
“October 5, 2011, Announcement of Homeporting in Spain to Start in 2014” in “Background”).
As mentioned earlier, the Prime Minister of Spain, as part of the October 5, 2011, joint
announcement of this plan, stated that
this initiative will have a positive impact, in socio-economic terms, on our country, and most
especially on the Bay of Cadiz [area near Rota].
Permanently basing four vessels in Rota will require investing in the Base’s infrastructure,
and contracts with service providers, thus generating approximately a thousand new jobs,
both directly and indirectly.
For the shipyards, and for Spain’s defence industry, the foreseeable impact will also be
highly positive, as the USA is considering conducting the vessels’ maintenance and upkeep
at the nearby San Fernando shipyards, in the province of Cadiz. In addition, there will be
significant transfer of state-of-the-art technology, from which Spain can benefit.34
As also mentioned earlier, the Navy estimates that shifting the four ships to Rota will bring about
1,300 sailors and Navy civilians and 2,100 dependents to the Rota area.35
Potential oversight questions for Congress include the following:
33
Christopher P. Cavas, “U.S. Navy Juggles Ships To Fill BMD Demands,” Defense News, January 4, 2010. Material
in brackets as in original.
34
“Announcement on missile defence cooperation by NATO Secretary General Anders Fogh Rasmussen, the Prime
Minister of Spain, Jose Luis Rodriguez Zapatero and US Defense Secretary Leon Panetta,” October 5, 2011, accessed
October 6, 2011, at http://www.nato.int/cps/en/SID-107ADE55-FF83A6B8/natolive/opinions_78838.htm.
35
Sam Fellman, “U.S. To Base Anti-Missile Ships in Spain,” Defense News, October 10, 2011: 76.
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•
What are the current home ports of the four BMD-capable Aegis ships that would
be shifted to Rota?
•
How much of the overhaul, maintenance, and repair work on these four ships
would the Navy perform in Spain?
•
What would be the impact on the economies of the current home port areas of
these four ships of shifting the ships to Rota, including the effects of U.S.
personnel and their families spending their paychecks in Spain rather than in the
current home port areas; of the Navy purchasing supplies for these ships in Spain
rather than from sources in the current home port areas; and of the Navy
performing overhaul, maintenance, and repair work on the ships in Spain rather
than in the United States?
U.S. vs. European Naval Contributions to European BMD
Another potential oversight issue for Congress concerns European naval contributions to
European BMD capabilities and operations compared to U.S. naval contributions to European
BMD capabilities and operations. Potential oversight issues for Congress include the following:
•
How does the total value of European naval contributions to European BMD
capabilities and operations compare to the total value of the U.S. contributions to
European BMD capabilities and operations?
•
Given anticipated reductions in planned levels of U.S. defense spending resulting
from the Budget Control Act of 2011 (S. 365/P.L. 112-25 of August 2, 2011), as
well as the potential for giving BMD capabilities to European navy ships (see
“Allied Participation and Interest in Aegis BMD Program” in “Background”),
should the United States seek increased investment by European countries in
their naval BMD capabilities so as to reduce the need for assigning BMD-capable
U.S. Navy Aegis ships to the EPAA?
Capability of SM-3 Block IIB Interceptor
Another potential oversight issue for Congress concerns the prospective capability of the SM-3
Block IIB interceptor for conducting certain kinds of intercepts called “early intercepts” as part of
the EPAA. A June 13, 2011, press report stated:
When asked what the Pentagon’s plan is for countermeasures if early intercept does not
materialize with the [SM-3 Block] IIB in 2020, Missile Defense Agency (MDA) officials
simply state: “We fully expect to have a viable early-intercept capability with the SM-3
Block IIB in the 2020 time period.”...
At issue today is whether the architecture as envisioned is achievable; and the piece most
critics question is the plan to achieve early intercept and protect the Eastern U.S. from an
Iranian ICBM attack.
USAF Gen. (ret.) Lester Lyles, who led the MDA when it was called the Ballistic Missile
Defense Organization, is co-chairing a Defense Science Board task force review of the earlyintercept strategy with Adm. (ret.) William Fallon, who headed U.S. Pacific Command. The
report is being written and will likely be briefed to Pentagon leaders in the fall.
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Lyles declines to discuss his findings until they are briefed to the Pentagon. Industry and
government sources familiar with the study have different views on what the findings will
be. Some say the task force questions the ability to achieve early intercept with the time and
money available. Others say the report will outline what can be achieved with the current
strategy.
Whatever the outcome, the results are likely to influence the SM-3 IIB program, whether it
moves forward and, if it does, what the missile will look like. The IIB is the notional longrange missile killer that will be fielded in Phase IV by 2020 for early intercept to fulfill the
promise of protecting the Eastern U.S. and most of Europe from an Iranian ICBM attack....
GMD advocates point to the option of placing interceptors at Fort Drum, N.Y., to provide a
deeper magazine and coverage for the Eastern U.S.....
The question of whether a IIB missile can achieve early intercept, and how to do it, is likely
be to sorted out this summer. The Defense Science Board will report its findings, and the
MDA is likely to request funding for the IIB strategy in the fiscal 2013 budget proposal that
is due to Congress next February.36
A June 17, 2011, press report states:
A Defense Science Board (DSB) report on early missile intercept is already prompting
discussion on Capitol Hill over how U.S. strategic forces are funded.
The Obama administration is pursuing the European Phased Adaptive Approach to missile
defense, which by 2020 would develop the SM-3 Block IIB interceptor to protect the U.S.
and Europe against long-range missiles from North Korea and Iran. In April, Boeing,
Lockheed Martin and Raytheon each won concept definition and program planning awards
worth at least $41 million.
But the DSB study, led by retired Air Force Gen. Lester Lyles and retired Navy Adm.
William Fallon, casts doubt on a central capability of that interceptor—primarily the ability
to hit an incoming missile before it deploys countermeasures, according to Senate
Republican aides. The study’s unclassified version also finds that the goal of early
interception may lead to a less-capable system overall and rather than investing in the
interceptor, improvements to radars, satellites and communications are also important, an
aide says.
With that information, already a critical question is emerging on Capitol Hill: During a
deficit crisis, should the government be spending $1.7 billion over the next five years to
develop the SM-3 Block IIB if its ultimate goal is in doubt?
At least the rationale for pursuing the interceptor—replacing a missile defense site based in
Poland and the Czech Republic—is in line for scrutiny.
“If the administration continues to sell early interceptors as a way of going after
countermeasures, that’s not going to work,” one aide says.
So in that case, does it make sense to continue working on the IIB missile for other reasons?
And if not, what are the alternatives?
36
Amy Butler, “End Game,” Aviation Week & Space Technology,” June 13, 2011: 40.
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One camp could emerge in support of upgrades to the current Ground-based Midcourse
Defense system or the creation of a site in the eastern United States. Another group may
want to improve on the capabilities of the Raytheon-led SM-3 Block IIA.37
A July 6, 2011, letter to the editor from the two co-chairmen of the DSB task force in question
and the chairman of the full DSB stated:
The Defense Science Board (DSB) is now completing a review on Science and Technology
Issues of Early Intercept (EI) Ballistic Missile Defense Feasibility as a concept to enhance
missile defense....
In previous work, the DSB found the EI concept helpful in national missile defense against
long-range ballistic missiles. In the current review, EI, as defined by the study’s terms of
reference, was judged less helpful in regional missile defense against shorter range regional
ballistic missiles....
The DSB concluded that the Missile Defense Agency is on the right track in developing
European Phased Adapted Approach (EPAA) options, including continued evolution of the
SM-3 family of missiles, which will expand the battle space and provide more engagement
opportunities in the regional defense provided by the EPAA. The DSB also examined the
potential in the EPAA context for EI in regional defense against short-range missiles before
threat payloads could be deployed, and concluded that this was not a viable option because
of technical constraints - primarily related to the very short payload deployment times and
the present absence of adequate sensors/Ballistic Missile C3 to overcome this.
The fact that this form of EI is not viable in shorter-range regional applications does not
imply that either SM-3 family interceptors or the EPAA concept are flawed. In general, EI,
including intercepts of longer- range missiles before the threat missile reaches apogee, can
provide for multiple engagement opportunities and more effective defenses.
MDA is on the right track in pursuing this capability for national missile defense, and
examining the potential application in regional defense as a function of the range of threat
missiles.
The DSB did not conclude that EI is flawed. Nor did they conclude that the EPAA approach
or the SM-3 family were flawed. The DSB did conclude that EI would have a very limited
role in regional defense against shorter range missile threats.38
Technical Risk in Aegis BMD Program
Another potential oversight issue for Congress is how much technical risk there is in the Aegis
BMD program.
37
Jen DiMascio, “DSB Report Raises Questions About SM-3 Block IIB Costs,” Aerospace Daily & Defense Report,
June 17, 2011: 4.
38
Letter to the editor from Admiral William J. Fallon, U.S. Navy, retired, task force co-chairman; General Lester
Lyles, U.S. Air Force, retired, task force co-chairman and DSB vice chairman; and Paul G. Kaminski, DSB chairman,
published under the title “‘Early Intercept’ Not Flawed,” Washington Times, July 6, 2011: B2.
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March 2011 GAO Report
A March 2011 Government Accountability Office (GAO) report on DOD BMD programs stated
the following regarding the Aegis BMD program:
Aegis BMD did not conduct any developmental intercept flight tests in fiscal year 2010,
although it did participate in several other BMDS flight and ground tests to assess BMD
functionality and interoperability with the BMDS. During fiscal year 2010, MDA expected
to conduct FTM-15 to demonstrate Aegis 3.6’s ability to launch the SM-3 IA interceptor
using data from a remote sensor against an intermediate-range ballistic missile target.
However, the flight test has been delayed due to target availability. This had a ripple effect
on other scheduled events, resulting in a delay in demonstrating key capabilities of Aegis
3.6.1 with SM-3 IA and Aegis 4.0.1 with SM-3 IB. The FTM-15 is key to demonstrating
capability of the IA interceptor to engage threat missiles in the range expected for European
33
Philip Ewing, “BMD Fleet Plans Europe Defense Mission,” NavyTimes.com, September 30, 2009. Material in
brackets as in original.
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PAA Phase I, planned for deployment by December 2011. In other testing, a Japanese Aegis
BMD destroyer conducted a successful intercept of a separating target using an SM-3 IA
interceptor.
Aegis 4.0.1 with SM-3 IB has executed more slowly than expected in fiscal year 2010. At
the last execution review of the fiscal year, progress toward verifying the SM-3 IB
engagement capability required action, and 6 of the 14 development phase exit criteria
tracking program execution were assessed as not on track, including those related to
requirements, affordability, design, manufacturing, and weapon system safety. The slower
pace primarily reflects delays in SM-3 IB interceptor development.
Aegis 4.0.1, with the SM-3 IB interceptor, is expected to have increased discrimination,
engagement coordination, threat missile range capability and raid capacity. Technology
development of the interceptor’s Throttleable Divert Attitude Control System (TDACS) is
following a high-risk path due to continuing resolution of issues discovered during subassembly hazard testing. The TDACS issues relate to the operational suitability and expected
lifetime of the interceptor. The first intercept flight test, FTM-16, was moved into the third
quarter fiscal year 2011 to allow time to investigate and resolve the issues. FTM-16 is critical
to demonstrating the interceptor performance, as well as being required to certify the Aegis
combat system. According to the Director, MDA, the flight test was rescheduled to allow
time to complete qualification tests. Design verification and qualification tests validate
component performance, reliability and producibility. MDA has since determined the root
cause of the TDACS problem and identified two design improvements. However, due to
continuing delays redesigned TDACS components will not be included in the interceptor
manufactured for FTM- 16; instead, it will be manufactured using a new process control to
partially mitigate the issue. Further, MDA has since decided to conduct the flight test in the
fourth quarter of fiscal year 2011 without completing the qualification tests as originally
planned. The TDACS qualifications and verifications leading up to the FTM-16 intercept test
will be limited to the environmental conditions expected during the FTM-16 event.
Following FTM-16, the design changes to the TDACS will require the full set of design and
qualification testing.
We reported in February 2010 that planned interceptor production would precede knowledge
of interceptor performance, and recommended that MDA delay a decision to produce
interceptors to follow successful completion of developmental testing, a flight test, and
manufacturing readiness review. We reported again in December that the SM-3 IB test
schedule was not synchronized with planned production and financial commitments. This
schedule had become even more compressed as a result of TDACS redesign, and planned
requalification. As a result, MDA recently deferred planned interceptor production decisions
to follow redesign efforts, the manufacturing readiness review, and an additional flight test;
steps that could better inform those production decisions.
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While MDA characterized the first 30 interceptors as being test rounds, half remain
unassigned to a specific test. Furthermore, of those interceptors assigned to a test, some may
be produced earlier than necessary since they deliver 1 to 2 years prior to the scheduled test.
Program officials note the unassigned “test” rounds will provide information on reliability,
maintainability, and supportability, and verify cost estimates and production processes….
Aegis BMD 5.0 will not provide new mission capability; instead it will leverage the Navy’s
Aegis modernization effort, which transitions the cruisers’ and destroyers’ computers and
displays from military standard to commercial-off-the-shelf components. The modernization
effort will increase the number of cruisers and destroyers that have the potential to be BMD
capable from 27 to 84, and the installation of Aegis 5.0 in conjunction with the
modernization will add the BMD capability. Once Aegis 5.0 is available, Aegis ships with
version 3.6.1 may be upgraded directly to 5.0, instead of undergoing an interim installation
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of 4.0.1 (estimated at $52 million per ship). Although it does not add new mission capability,
the migration into an open architecture environment requires significant modification and
testing of 8 of 10 major components of the Aegis weapons system. Execution reviews
already show signs of schedule compression and interdependencies of multiple efforts
increase schedule risk. As the European PAA’s new Aegis Ashore program is highly
dependent on the scheduled delivery of Aegis 5.0, delays could have significant
consequences for providing European BMD capability as planned….3439
Regarding the Aegis Ashore program, the GAO report stated:
According to the Director of MDA, the idea of Aegis Ashore preceded the new European
PAA policy. Earlier in 2008 and 2009 MDA had been studying alternatives to the Arrow 3
program—a joint US-Israeli program designed for Israeli self-defense against short-range
ballistic missiles. MDA’s analysis had considered several land-based SM-3 options, and had
concluded that an Aegis with SM-3 was the preferred option. It is unclear how assumptions
and analysis related to Arrow-3 supported—and what if any additional technical analysis was
conducted to support—the selection of Aegis Ashore for the European PAA.
While MDA does not yet follow DOD’s standard acquisition processes, a robust
consideration of alternatives is a key first step in that process and is intended to assess the
operational effectiveness, costs, and risks of alternative weapon system solutions for
addressing a validated warfighting need. We reported in September 2009 that DOD often did
not effectively consider a broad range of alternatives for addressing a warfighting need or
assess technical and other risks associated with each alternative. Without a sufficient
comparison of alternatives and focus on technical and other risks, reviews of alternatives
may identify solutions that are not feasible and decision makers may approve programs
based on limited knowledge. While many factors can affect cost and schedule outcomes, we
found that programs that had a limited assessment of alternatives tended to have poorer
outcomes than those that had more robust assessments. The Office of Cost Assessment and
Program Evaluation is studying alternatives to Aegis Ashore.
A knowledge-based acquisition approach is a cumulative process in which certain knowledge
is acquired by key decision points before proceeding. In other words, demonstrating
technology maturity is a prerequisite for moving forward into system development, during
which the focus should be on design and integration. The President’s announcement of the
European PAA on September 17, 2009 officially began Aegis Ashore, and MDA placed
Aegis Ashore directly into the third acquisition development phase—product development.
39
Government Accountability Office, Missile Defense[:]Actions Needed to Improve Transparency and Accountability,
GAO-11-372, March 2011, pp. 58-60.
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MDA officials note that this decision was due to the understanding that Aegis Ashore would
be a modification of proven Aegis BMD capabilities. Yet Aegis Ashore has not yet
completed some of the activities MDA outlines for its first two development phases (materiel
solutions analysis and technology development), and is executing others concurrently with
activities in the third development phase (product development). For example, although
MDA’s acquisition oversight process identifies the following top-level tenets for phase
review entry/entrance criteria prior to entering the Product Development phase, Aegis
Ashore had not: obtained an independent cost estimate, prepared a life cycle cost estimate,
demonstrated critical technologies in the operational environment (land), or ensured
interoperability and integration with the larger BMDS. MDA’s knowledge points—typically
identified during the first MDA acquisition phase—identify information required to make
key decisions (e.g. program funding decisions, technology selections, capability declarations,
program continuation, or the selection of an alternative course of action) and manage
34
Government Accountability Office, Missile Defense[:]Actions Needed to Improve Transparency and Accountability,
GAO-11-372, March 2011, pp. 58-60.
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program risk. MDA’s knowledge points for Aegis Ashore were completely redefined less
than 3 months after being established.
DOD’s commitment to field Aegis Ashore by 2015 has resulted in significant schedule
compression for the program, even as MDA discovered issues that broadened the scope of
development and design, placing the program at increased risk of cost growth and schedule
delay. According to the Director, MDA, Aegis Ashore development is not a high risk
because it is based on the existing Aegis BMD system. However, while Aegis BMD has
demonstrated performance at sea, these demonstrations used the currently fielded 3.6.1
version of Aegis BMD with the SM-3 IA interceptor, not the newer variant of the Aegis
operating system and new interceptor that Aegis Ashore will use. Aegis Ashore is dependent
on next-generation versions of Aegis systems—Aegis 4.0.1 and Aegis 5.0—as well as the
new SM-3 IB interceptor, all of which are currently under development (see appendix III).
Moreover, a series of changes are required to further modify these new variants of Aegis
BMD for use on land with Aegis Ashore. These modifications include changes to the VLS;
suppression or disabling of certain features used at sea; design, integration, and fabrication of
a new deckhouse enclosure for the radar, and potential changes to the SM-3 IB interceptor.
Changes to those existing Aegis BMD components that will be reused for Aegis Ashore may
reduce their maturity in the context of the new Aegis Ashore program, and new features will
require testing and assessment to demonstrate their performance. MDA plans to conduct both
ground and flight tests prior to deployment, however these tests will not occur prior to
making production decisions.
Aegis Ashore expects to leverage the existing shipboard Aegis Combat System—comprised
of 32 sensors, communications, weapons, and countermeasures. However only 11 of these
will be reused for Aegis Ashore; the remaining 21 will need to be suppressed or otherwise
disabled, including the software that accounts for a ship’s pitch and yaw. While officials note
that current land-based testing processes for portions of the Aegis Combat System involve
similar suppression, the Aegis Ashore land-based configuration is unique and must still be
demonstrated through operational testing.
The program office assessed both the SPY-1 radar and the VLS as flight proven through
successful mission conditions, reflecting the assessment of the radar and VLS currently at
sea. However, these systems will operate on land, and it is unclear whether the radar’s
spectrum supportability is fully understood or accounted for. Also, the VLS will be modified
to address the differing protection, safety, and environmental requirements of its new landbased environment. Finally, MDA may modify the SM-3 Block IB for Aegis Ashore; the
extent of these changes remains unknown.
Both the radar and the VLS will be configured in removable enclosures that have not yet
been designed or tested. Also, Aegis Ashore’s new deckhouse—instead of being integrated
on a ship deck with the VLS and the ship’s hull, mechanical, and electrical systems—will be
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configured apart from the VLS and these will require standalone power generation. The
deckhouse design also requires that it be removable in order to facilitate shipment. However
not all requirements are fully known, and although neither the deckhouse requirements or
design are stable, the contract for Aegis Ashore deckhouse fabrication and integration was
awarded prior to preliminary or critical design reviews for the overall Aegis Ashore system.
The potential for rework because design starts before requirements are complete was noted
as a continuing risk in the last program review of the fiscal year, and we have previously
reported that starting fabrication prior to achieving design stability can lead to costly
modifications later in the process due to rework.
The number of planned developmental flight test events has been reduced since the Aegis
Ashore program began and they are not timed to inform production decisions. In MDA’s
February 2010 test plan Aegis Ashore was scheduled to participate in 7 developmental flight
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test events, 5 of which were intercept events. The current plan is for 4 test events, 2 of which
are intercepts. The first intercept is now scheduled more than a year later than previously
planned….
MDA officials indicate that the current plan is sufficient to collect data on critical variables
and to evaluate weapon system performance in the Aegis Ashore configuration. We have
previously reported that repetition of intercept-related objectives is important to build
confidence in intercept capability. MDA plans to make production commitments for the first
operational Aegis Ashore and its interceptors by early fiscal year 2012. The first intercept
flight test with a target is planned for the second half of fiscal year 2014, at which point the
design will have been finalized, the Aegis Ashore deckhouse and components built, and
Aegis Ashore construction and interceptor production will be well under way. 3540
April 2011 Press Report
An April 6, 2011, press report stated:
The Navy’s overreliance on the Raytheon [RTN]-built SM-3 system as the backbone for its
ballistic missile defense strategy in Europe could delay White House plans to have a viable
BMD presence in the region by 2015, a former high-ranking military official said yesterday.
Technical difficulties found in elements of the Block IA version of the SM-3 would likely
find their way into the new Block IB variant of the weapon, former Missile Defense Agency
(MDA) director Lt. Gen. Trey Obering said in an Aerospace Industry Association-sponsored
event on Capitol Hill yesterday. Obering, currently an executive with Booz Allen Hamilton
[BAH], served as director of MDA from 2004-2009.
Raytheon’s block development approach on the SM-3, he added, would also make it likely
that such problems would “tend to cycle through” all current and future variants of the
weapon, he said….
Navy and industry program officials completed the system requirements review for Aegis
Ashore late last year, with system design review for the program slated for February.
Program officials plan to conduct the critical design review for the weapons system in the
40
Government Accountability Office, Missile Defense[:]Actions Needed to Improve Transparency and Accountability,
GAO-11-372, March 2011, pp. 61-65. See also Government Accountability Office, Missile Defense: European Phased
Adaptive Approach Acquisitions Face Synchronization, Transparency, and Accountability Challenges, GAO-11-179R,
December 21, 2010, 39 pp.
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following fiscal quarter, Lisa Callahan, vice president of maritime BMD programs for
Lockheed Martin [LMT], said in a Jan. 5 teleconference.
“All of that will culminate in a test system for Aegis Ashore that will be in Hawaii in 2013
and the first Aegis Ashore capability in Romania in 2015,” according to Callahan….
But those deployment plans could be thrown off course, should the new SM-3 variants be
plagued with the same problems experienced on the Block IA weapon, Obering warned,
noting that initial flight tests for the Block IB system were originally slated to begin in 2009.
Those tests are now set for summer of this year.
The former Air Force three-star general went even further, saying technical delays “are
likely” on the Block IB and the next-generation Block IIA and IIB, which could push any
SM-3 deployments supporting BMD operations in Eastern Europe to the right.
35
Government Accountability Office, Missile Defense[:]Actions Needed to Improve Transparency and Accountability,
GAO-11-372, March 2011, pp. 61-65. See also Government Accountability Office, Missile Defense: European Phased
Adaptive Approach Acquisitions Face Synchronization, Transparency, and Accountability Challenges, GAO-11-179R,
December 21, 2010, 39 pp.
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“I expect we are going to see delays in there,” he said, adding the Navy and the Pentagon
would be well served “to have alternative options” to the SM-3 system. The former MDA
chief did not go into specifics on what alternatives could be explored.
However, Raytheon has undergone an “unmatched test process” on the Block IA system and
has worked through the development issues and delivered the system to the Navy on time, in
support of the first phase of the EPAA strategy Frank Wyatt, vice president of Raytheon Air
and Missile Defense Systems, said in an interview with Defense Daily that same day.
On the postponement of Block IB flight testing, the delay was prompted mainly by
development challenges with the integration of a new warhead propulsion and maneuvering
system—known as the Throttling Divert and Attitude Control System (TDACS)—which
allows the weapon to engage “more complex threats,” Wyatt said.
Along with the TDACS, the major changes between Block IA and IB were focused on
improvements to the sensor and processing capabilities on the missile, the Raytheon
executive added.
However, after a recent successful system integration test of the Block IB version of the SM3, Wyatt was confident any TDACS problems have been corrected and the company will
meet the 2015 deployment timeline for the IB missile, as outlined by the EPAA.
Aside from concerns over the SM-3’s viability, Obering also said he was “disturbed” over
the manner in which Raytheon downplayed the potential development difficulties for the
Block IB version, noting the program possessed “a higher technical risk than it was painted
out to be.”
While acknowledging that he did not see any “fatal” problems with the Block IA or IB, and
that any technical risk in the weapon’s development would be no different than those
experienced on other new start programs. However, Raytheon’s decision to pitch the Block
IB system as mere follow-on to the IA missile implied that the Block IB’s development
would not suffer many of those new start challenges seen on other programs.
In response, Wyatt said the company was not dismissing any potential challenges that could
arise with the SM-3 Block IB development, but added that using a follow-on, spiral strategy
was the lowest risk approach to the weapon’s development while meeting the Pentagon’s
time lines.
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‘We would not be meeting the [EPAA] timelines with an approach that begins with a brandnew interceptor,” he said. “Clearly, if you can spiral develop from an existing program that is
clearly a lower-risk position.”36
36
Carlo Munoz, “Obering: Navy Dependence On SM-3 Missile System Could Delay European BMD Plans,” Defense
Daily, April 6, 2011: 3-4. Material in brackets as in original. See also Otto Kreisher, “Missile Defense Advocates Look
For clearer Direction,” National Journal Daily AM, April 6, 2011.
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Legislative Activity for FY2012
FY2012 Funding Request
The Aegis BMD program is funded mostly through MDA’s budget. The Navy’s budget provides
additional funding for BMD-related efforts. As shown in Table 3, MDA’s proposed FY2012
budget requests a total of $2,380.3 million in procurement and research and development funding
for Aegis BMD efforts, including funding for Aegis Ashore sites that are to be part of the EPAA.
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Appendix A. Legislative Activity for FY2011
FY2011 Funding Request
The Aegis BMD program is funded mostly through MDA’s budget. The Navy’s budget provides
additional funding for BMD-related efforts. MDA’s proposed FY2011 budget requests a total of
$2,161.6 million for the Aegis BMD program (see Table 3). The Navy’s proposed FY2011 budget
requests a total of $457.0 million for BMD-related efforts.
Summary of Congressional Action on FY2011 Funding Request
Table A-1 summarizes congressional action on MDA’s FY2011 funding request for the Aegis
BMD program.
Table A-1. Summary of Congressional Action on MDA’s FY2011 Funding Request
Millions of dollars, rounded to nearest tenth; totals may not add due to rounding
Authorization
Request
Appropriation
HASC
SASC
Finala
HACb
SAC
Final
94.1
144.1
94.1
Not
clear
n/ab
214.1
94.1
(8)
(more
than 8)c
(8)
Not
clear
n/ab
(20)
(8)
Procurement, Defense Wide account
Aegis fielding (i.e., procurement of
SM-3s) (line 35)
(Number of SM-3s in the above line)
Procurement, Defense Wide account in title for Overseas Contingency Operations [OCO]d
Aegis fielding (i.e., procurement of
SM-3s) (line 35)
(Number of SM-3s in the above line)
0
0
0
Not
clear
n/ab
111.6
189.7
(0)
(0)
(0)
Not
clear
n/ab
(12)
(20)
Research, Development, Test & Evaluation, Defense Wide account
1,467.3
1,467.3
1,467.3
Not
clear
n/ab
1,586.3f
1,569.3g
318.8
318.8
318.8
Not
clear
n/ab
322.8
318.8
1,880.2
1,930.2
1,930.2
Not
clear
n/ab
2,234.8
2,171.9
(Number of SM-3s in the above
(8)
(more
than 8)
(8)
Not
clear
n/ab
(32)
(28)
Land-Based SM-3 (i.e., Aegis Ashore)
(line 107)
281.4
281.4
281.4
Not
clear
n/ab
281.4
281.4
2,161.6
2,211.6
2,211.6
Not
clear
n/ab
2516.2
2,453.3
Aegis BMD (line 84)e
Aegis SM-3 Block IIA codevelopment (line 108)
Subtotal above
line)
TOTAL
Sources: FY2011 DOD budget submission, committee reports, the text of S. 3454 (the FY2011 defense
authorization bill, as reported in the Senate), the joint explanatory statement on H.R. 6523 of 111th Congress
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(for authorization final), and funding tables posted by House Rules Committee in conjunction with H.R. 1473/
P.L. 112-10 (for appropriation final).
Notes: HASC is House Armed Services Committee; SASC is Senate Armed Services Committee, HAC is
House Appropriations Committee, SAC is Senate Appropriations Committee. n/a is not available.
a.
The joint explanatory statement for H.R. 6523 provided funding figures at the full-account level, but not at
the line-item level. The totals shown for the accounts in question here were changed from the requested
figures.
b.
The full House Appropriations Committee did not file an official, numbered committee report for the
FY2011 DOD appropriations act.
c.
The HASC report (H.Rept. 11-491 of May 21, 2010 on H.R. 5136, page 119) states that the recommended
$50 million increase is “to provide greater stability in SM-3 production and to reduce the size of the
production increase in fiscal year 2012,” but does not state how many additional missiles are to be
procured with the additional $50 million. A table on page 114 of the committee’s report shows no increase
from the requested procurement of 8 SM-3s, but this does not appear consistent with the report language,
which implies an increase to a figure higher than 8.
d.
In the FY2011 DOD appropriations bill (S. 3800) as reported in the Senate (S. 3800), the OCO title is
known as funding for overseas deployments and other activities.
e.
This includes the second and third items in Table 3.
f.
Includes $5 million in additional funding and $114 million in transfers from other Aegis-BMD-related line
items (see narrative discussion for details).
g.
The net increase of $102.0 million above the requested figure includes increases of $72.5 million for a Navyrequested transfer from line 109 of the Other Procurement, Navy (OPN) account, $1.5 million for Aegis
BMD ships (a Navy-requested transfer from line 1B5B of the Operation and Maintenance, Navy [OMN]
account), and $40 million for SM-3 Block IIB development (a transfer from line 28 to line 84 in the
Research, Development, Test & Evaluation, Defense Wide account), and a reduction of $12.0 million for
program growth.
FY2011 DOD and Full-Year Continuing Appropriations Act (H.R.
1473/P.L. 112-10)
According to line-item funding tables posted by the House Rules Committee,37 the FY2011
Department of Defense and Full-Year Continuing Appropriations Act (H.R. 1473/P.L. 112-10 of
April 15, 2011) provides the funding levels for Aegis BMD line items shown in the final column
of Table A-1.
According to the funding tables, the net increase of $102.0 million to Aegis BMD (line 84) in the
Research, Development, Test & Evaluation, Defense Wide account includes increases of $72.5
million for a Navy-requested transfer from line 109 of the Other Procurement, Navy (OPN)
account, $1.5 million for Aegis BMD ships (a Navy-requested transfer from line 1B5B of the
Operation and Maintenance, Navy [OMN] account), and $40 million for SM-3 Block IIB
development (a transfer from line 28 to line 84 in the Research, Development, Test & Evaluation,
Defense Wide account), and a reduction of $12.0 million for program growth.
37
The funding tables were posted at http://rules.house.gov/Legislation/legislationDetails.aspx?NewsID=244.
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FY2011 DOD Appropriations Bill (S. 3800)
Senate
The Senate Appropriations Committee, in its report (S.Rept. 111-295 of September 16, 2010) on
S. 3800 of the 111th Congress, recommended an additional $120.9 million in MDA funding for
the procurement of an additional 12 SM-3 Block IA interceptors (page 118, line 35), and an
additional $111.6 million in Title IX MDA funding (i.e., MDA funding for overseas deployments
and other activities) for the procurement of an additional 12 SM-3 Block IA interceptors (page
227, line 35). The committee’s report thus recommends a total of $232.5 million in additional
MDA funding for the procurement an additional 24 SM-3 interceptors. The committee’s report
states:
Standard Missile-3 [SM–3] Block IA.—The Committee believes that MDA prematurely
stopped production of the SM–3 Block IA missile in favor of moving to production of the
SM–3 Block IB interceptor before conducting any flight tests. Since MDA made the decision
to end production of the SM–3 Block IA missile, the SM–3 Block IB missile has had several
technical and developmental problems that continue to delay the first intercept test of the
upgraded missile. The SM–3 Block IB cannot enter into production until it has completed
additional testing, including the first intercept. In order to sustain production until the SM–3
Block IB is ready for procurement, and to help meet the increasing demand for SM–3
missiles from Combatant Commanders around the globe, the Committee recommends
$120,900,000 for an additional 13 missiles in the fiscal year 2011 base budget38 and
$111,600,000 for an additional 12 SM–3 Block IA missiles in the overseas contingencies
request reflected in title IX of this act. (Page 122)
The committee’s report recommends transferring $40 million in funding in the Defense Wide
research and development account for development of the SM-3 Block IIB missile from the
Ballistic Missile Defense Technology line (i.e., line 28) to the Aegis BMD line (i.e., line 84).
(Page 173, line 84) The committee’s report states:
Standard Missile-3 [SM–3] Block IIB Missile.—The Aegis Ballistic Missile Defense [BMD]
program office together with the Navy have been developing the standard missile series of
weapons for nearly half a century and have a proven record of success. The SM–3 Block IIB
missile is likely the most significant upgrade to the family of standard missiles. It will play a
significant role in MDA’s Phased Adaptive Approach program. The Committee is concerned
that MDA plans to manage and develop the SM–3 Block IIB missile under the BMD
Technology program instead of the Aegis BMD program. The Committee believes that this
approach will introduce unnecessary risk in the SM–3 Block IIB development. Therefore, the
Committee transfers all funding for the SM–3 Block IIB missile from the BMD Technology
program element to the Aegis BMD program element and directs that this program be
managed under the Aegis program office. (Page 179)
The committee’s report also recommends transferring $74 million in funding for Aegis BMD
upgrades from line 109 in the Other Procurement, Navy (OPN) account and the Operation and
Maintenance, Navy (OMN) account to the Aegis BMD line (line 84) in the Defense Wide
research and development account. The committee’s report states that this transfer was requested
by the Navy. (Page 173, line 84)
38
The table shown on page 118 of the committee’s report states that the additional funding is for 12 additional SM-3
missiles.
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The committee’s report also recommends an increase of $5 million to the Aegis BMD line (line
84) for multiple-target-tracking optical sensor-array technology (MOST). (Page 173, line 84)
The committee’s report recommends approving MDA’s request for funding for Aegis Ashore
development (page 168, line 107), and increasing by $4 million MDA’s funding request for SM-3
Block IIA co-development with Japan, for chemical vapor composite silicon carbide and silicon
carbide corrugated mirror processes for the SM–3 Block IIA Telescope (page 168, line 108—this
is the third item in).
FY2011 Defense Authorization Act (H.R. 6523/P.L. 111-383)
House (H.R. 5136)
The House Armed Services Committee, in its report (H.Rept. 111-491 of May 21, 2010) on the
FY2011 defense authorization bill (H.R. 5136), recommends increasing MDA’s FY2011 funding
request for procurement of SM-3 missiles $50 million (page 114, line 035). The report
recommends approving MDA’s other FY2011 funding requests for the Aegis BMD program (see
page 188, line 084 of the committee’s report, which covers two of these four other line items, and
page 189, lines 107 and 108, which cover the other two line items).
Regarding the committee’s recommended $50-million increase for SM-3 procurement, the
committee’s report states:
Fielding of Aegis ballistic missile defense interceptors
The budget request contained $94.1 million for fielding of Aegis ballistic missile defense
(BMD) interceptors, a reduction of $131.5 million from the fiscal year 2010 appropriated
level.
The request would support the purchase of eight Standard Missile–3 (SM–3) Block 1B
interceptors in fiscal year 2011, the first year that Block 1B interceptors would be purchased
using procurement funding.
In fiscal year 2012, the Missile Defense Agency (MDA) anticipates increasing the purchase
of SM–3 Block 1B interceptors to 66, at a projected cost of $701.9 million. Yet the
production schedule contained in the Department’s detailed budget justification book shows
an 18-month gap between the last deliveries of Block 1A interceptors in December 2011 and
the first deliveries of the Block 1B purchases in July 2013.
In March 2010, the Government Accountability Office reported that the “Aegis BMD
program is putting the SM–3 Block IB at risk for cost growth and schedule delays by
planning to begin manufacturing in 2010 before its critical technologies have been
demonstrated in a realistic environment.” The first flight test to demonstrate the Block 1B
interceptor’s technology readiness has been delayed until the winter of 2011.
The committee is concerned that the lack of stability in the purchase of SM–3 interceptors
and the steep expansion of production of Block 1B interceptors in fiscal year 2012 could
damage the industrial base and delay increases in the inventory of a system that will play a
central role in the Phased, Adaptive Approach to missile defenses in Europe announced by
the President in September 2009. The committee notes that the development of regional
missile defense plans beyond Europe, pursuant to the Administration’s Ballistic Missile
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Defense Review released on February 1, 2010, may also expand the near-term requirement
for Aegis BMD interceptors.
The committee recommends $144.1 million, an increase of $50.0 million, to provide for
greater stability in SM–3 production and to reduce the size of the production increase in
fiscal year 2012. The committee expects that MDA will only allocate additional funding for
SM–3 Block 1B production in fiscal year 2011 if the first flight test is successful. (Page 119)
The report also states:
Aegis Ballistic Missile Defense and defense against sea-based missile attacks
The committee commends the Department of Defense funding increase for the Aegis
Ballistic Missile Defense (BMD) program to advance the capabilities of sea-based missile
defense. The committee believes the investment in sea-based missile defenses will serve to
strengthen the security of the United States. Nevertheless, the committee believes there are
additional steps the Missile Defense Agency (MDA) should take to expand sea-based missile
defense capabilities.
First, the committee believes MDA should increase its collaboration with the Navy to ensure
sea-based ballistic missile defenses are fully integrated into the broader missile defense
Command and Control, Battle Management, and Communications system. Additionally,
both the Navy and MDA should work to see Aegis BMD ships receive the widest array of
off-board sensor data necessary to support theater, regional and national missile defense
operations.
Second, the committee understands that the Department’s objectives for pursuing earlyintercept capabilities are to handle large raid sizes, provide more shoot-look-shoot
opportunities, constrain countermeasure deployments, and hedge against advanced threats.
The committee believes that capability enhancements planned for the Standard Missile-3
(SM–3) interceptor may provide such early intercept capability. Specifically, the nextgeneration SM–3 Block IIA interceptor with a planned increase in velocity and SM–3 Block
IIB interceptor with a planned lighter kill vehicle, flexible propulsion, and upgraded fire
control software, should enable greater early-intercept capability when fielded in either a
ship-based configuration or relocatable land-based configuration. The committee therefore
encourages MDA to continue the requisite technology development and maturation of these
promising capabilities.
Finally, the committee remains concerned about the nation’s vulnerability to cruise missiles
and shorter-range ballistic missiles that could be launched from off the coast. This
vulnerability is particularly acute for the east coast of the United States. Accordingly, the
committee directs the Commander of U.S. Northern Command, with contribution from the
Director of MDA and the Director of the Joint Integrated Air and Missile Defense Office, to
provide the congressional defense committees with an assessment by March 15, 2011, of the
vulnerability of the United States homeland to cruise missiles and shorter-range ballistic
missiles that could be launched from off the coast, and a plan for how such vulnerabilities
are being addressed. (Page 196)
The report also states:
Regional missile defense plans
The new Phased Adaptive Approach (PAA) for missile defense in Europe announced by the
President on September 17, 2009, is likely to create increased force structure and inventory
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demands. Furthermore, as noted in the Ballistic Missile Defense Review (BMDR) released
on February 1, 2010, the Phased Adaptive Approach is to be tailored to other geographic
regions such as East Asia and the Middle East, which is also likely to create significant force
structure and inventory demands. As acknowledged in the BMDR, “regional demand for
U.S. BMD assets is likely to exceed supply for some years to come.”
Until these regional missile defense architectures are completed, the committee is concerned
that the Department’s missile defense force structure and inventory requirements, and the
resulting resource implications will be difficult to quantify. In addition, certain missile
defense capabilities, such as Aegis ballistic missile defense ships, will remain high demand,
low density assets that must be carefully managed across the combatant commands so that no
one theater accepts greater risk at the expense of another.
The committee is aware that the Department is developing regional missile defense
architectures based on the PAA and also developing a comprehensive force management
process. The committee directs the Secretary of Defense, in coordination with the Chairman
of the Joint Chiefs of Staff, to provide a report to the congressional defense committees by
December 1, 2010, describing: (1) the regional missile defense architectures, including the
force structure and inventory requirements derived from the architectures, and (2) the
comprehensive force management process, and the capability, deployment, and resource
outcomes that have been determined by this process. (Pages 207-208)
The report also states:
Training for Global Ballistic Missile Defense
Each military service is responsible for missile defense training on the individual missile
defense assets which the service owns and operates. For example, the Navy is responsible for
Aegis Ballistic Missile Defense training and the Army for Theater High Altitude Area
Defense training. However, missile defense operations are global and inherently joint. The
effectiveness of the global ballistic missile defense system is dependent upon the
synchronization of these individual assets across each military service, and the committee
believes that missile defense training must be similarly synchronized.
The committee is concerned that current individual service training programs for missile
defense do not fully reflect the global and joint nature of ballistic missile defense system
operations. The committee further observes that no single entity has clear responsibility for
joint missile defense training. The committee believes that gaps in joint missile defense
training, from the lowest sensor or shooter operator level to the highest levels of decisionmaking on combatant command (COCOM) staffs, must be identified and rectified.
The committee therefore directs the Comptroller General of the United States to provide a
report to the congressional defense committees by March 1, 2011, that contains the
following:
(1) A description of existing missile defense training and education, including training of
COCOM staffs and service component staffs;
(2) An assessment of the synchronization and standardization across existing training
programs, including best practices; and
(3) Recommendations for training improvements, including recommended roles and
responsibilities, organizational models, resources, and facilities required for joint missile
defense training. (Pages 263-264)
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Section 123 of H.R. 5136 as reported by the committee would require a report on required
numbers of cruisers and destroyers in light of demands for such ships for conducting BMD
operations.
Section 221 would prohibit the obligation or expenditure of funds for site activation,
construction, preparation of equipment for, or deployment of a medium-range or long-range
missile defense system in Europe until certain conditions are met.
Section 223 would require a report on the Phased Adaptive Approach for BMD in Europe and
limits the obligation and expenditure of certain funds until the report is submitted.
Section 224 would establish U.S. policy regarding BMD systems in Europe, including policy
relating to the capabilities of SM-3 Block IIA and IIB missiles in Europe.
Section 227 would require semi-annual reports on the SM-3 missile, particularly the Block IIA
and IIB versions.
The text of Section 123 is as follows:
SEC. 123. REPORT ON NAVAL FORCE STRUCTURE AND MISSILE DEFENSE.
(a) Report- Not later than March 1, 2011, the Secretary of the Navy, in coordination with the
Chief of Naval Operations, shall submit to the congressional defense committees a report on
the requirements of the major combatant surface vessels with respect to missile defense.
(b) Matters Included- The report shall include the following:
(1) An analysis of whether the requirement for sea-based missile defense can be
accommodated by upgrading Aegis ships that exist as of the date of the report or by
procuring additional combatant surface vessels.
(2) Whether such sea-based missile defense will require increasing the overall number of
combatant surface vessels beyond the requirement of 88 cruisers and destroyers in the 313ship fleet plan of the Navy.
(3) The number of Aegis ships needed by each combatant commander to fulfill ballistic
missile defense requirements, including (in consultation with the Chairman of the Joints
Chiefs of Staff) the number of such ships needed to support the phased, adaptive approach to
ballistic missile defense in Europe.
(4) A discussion of the potential effect of ballistic missile defense operations on the ability of
the Navy to meet surface fleet demands in each geographic area and for each mission set.
(5) An evaluation of how the Aegis ballistic missile defense program can succeed as part of a
balanced fleet of adequate size and strength to meet the security needs of the United States.
(6) A description of both the shortfalls and the benefits of expected technological
advancements in the sea-based missile defense program.
(7) A description of the anticipated plan for deployment of Aegis ballistic missile ships
within the context of the fleet response plan.
The text of Section 221 is as follows:
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SEC. 221. LIMITATION ON AVAILABILITY OF FUNDS FOR MISSILE DEFENSES IN
EUROPE.
(a) Limitation on Construction and Deployment of Systems- No funds authorized to be
appropriated by this Act or otherwise made available for the Department of Defense for
fiscal year 2011 or any fiscal year thereafter may be obligated or expended for site
activation, construction, preparation of equipment for, or deployment of a medium-range or
long-range missile defense system in Europe until—
(1) any nation agreeing to host such system has signed and ratified a missile defense basing
agreement and a status of forces agreement; and
(2) a period of 45 days has elapsed following the date on which the Secretary of Defense
submits to the congressional defense committees the report on the independent assessment of
alternative missile defense systems in Europe required by section 235(c)(2) of the National
Defense Authorization Act for Fiscal Year 2010 (P.L. 111-84; 123 Stat. 2235).
(b) Limitation on Procurement or Deployment of Interceptors- No funds authorized to be
appropriated by this Act or otherwise made available for the Department of Defense for
fiscal year 2011 or any fiscal year thereafter may be obligated or expended for the
procurement (other than initial long-lead procurement) or deployment of operational missiles
of a medium-range or long-range missile defense system in Europe until the Secretary of
Defense, after receiving the views of the Director of Operational Test and Evaluation,
submits to the congressional defense committees a report certifying that the proposed
interceptor to be deployed as part of such missile defense system has demonstrated, through
successful, operationally realistic flight testing, a high probability of working in an
operationally effective manner and that such missile defense system has the ability to
accomplish the mission.
(c) Conforming Repeal- Section 234 of the National Defense Authorization Act for Fiscal
Year 2010 (P.L. 111-81; 123 Stat. 2234) is repealed.
The text of Section 223 is as follows:
SEC. 223. PHASED, ADAPTIVE APPROACH TO MISSILE DEFENSE IN EUROPE.
(a) Sense of Congress- It is the sense of Congress that—
(1) the new phased, adaptive approach to missile defense in Europe, announced by the
President on September 17, 2009, should be supported by sound analysis, program plans,
schedules, and technologies that are credible;
(2) the cost, performance, and risk of such approach to missile defense should be well
understood; and
(3) Congress should have access to information regarding the analyses, plans, schedules,
technologies, cost, performance, and risk of such approach to missile defense in order to
conduct effective oversight.
(b) Report Required(1) REPORT- The Secretary of Defense shall submit to the congressional defense
committees a report on the phased, adaptive approach to missile defense in Europe.
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(2) MATTERS INCLUDED- The report under paragraph (1) shall include the following:
(A) A discussion of the analyses conducted by the Secretary of Defense preceding the
announcement of the phased, adaptive Approach to missile defense in Europe on September
17, 2009, including—
(i) a description of any alternatives considered;
(ii) the criteria used to analyze each such alternative; and
(iii) the result of each analysis, including a description of the criteria used to judge each
alternative.
(B) A discussion of any independent assessments or reviews of alternative approaches to
missile defense in Europe considered by the Secretary in support of the announcement of the
phased, adaptive approach to missile defense in Europe on September 17, 2009.
(C) A description of the architecture for each of the four phases of the phased, adaptive
approach to missile defense in Europe, including—
(i) the composition, basing locations, and quantities of ballistic missile defense assets,
including ships, batteries, interceptors, radars and other sensors, and command and control
nodes;
(ii) program schedules and site-specific schedules with task activities, test plans, and
knowledge and decision points;
(iii) technology maturity levels of missile defense assets and plans for retiring technical
risks;
(iv) planned performance of missile defense assets and defended area coverage, including
sensitivity analysis to various basing scenarios and varying threat capabilities (including
simple and complex threats, liquid and solid-fueled ballistic missiles, and varying raid sizes);
(v) operational concepts and how such operational concepts effect force structure and
inventory requirements;
(vi) total cost estimates and funding profiles, by year, for acquisition, fielding, and
operations and support; and
(vii) acquisition strategies.
(3) GAO- The Comptroller General of the United States shall submit to the congressional
defense committees a report assessing the report under paragraph (1) pursuant to section
232(g) of the National Defense Authorization Act for Fiscal Year 2002 (P.L. 107-107; 10
U.S.C. 2431 note).
(c) Limitation on Funds- Of the amounts authorized to be appropriated by section 301(5) for
operation and maintenance, Defense-wide, for the Office of the Secretary of Defense, not
more than 95 percent of such amounts may be obligated or expended until the date on which
the report required under subsection (b)(1) is submitted to the congressional defense
committees.
The text of Section 224 is as follows:
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SEC. 224. HOMELAND DEFENSE HEDGING POLICY.
(a) Findings- Congress finds the following:
(1) As noted by the Director of National Intelligence, testifying before the Senate Select
Committee on Intelligence on February 2, 2010, “the Iranian regime continues to flout UN
Security Council restrictions on its nuclear program ... we judge Iran would likely choose
missile delivery as its preferred method of delivering a nuclear weapon. Iran already has the
largest inventory of ballistic missiles in the Middle East and it continues to expand the scale,
reach, and sophistication of its ballistic missile forces—many of which are inherently
capable of carrying a nuclear payload.”
(2) The Unclassified Report on Military Power of Iran, dated April 2010, states that, “with
sufficient foreign assistance, Iran could probably develop and test an intercontinental
ballistic missile (ICBM) capable of reaching the United States by 2015. Iran could also have
an intermediate-range ballistic missile (IRBM) capable of threatening Europe.”
(3) Under phase 3 of the phased, adaptive approach for missile defense in Europe (scheduled
for 2018), the United States plans to deploy the standard missile-3 block IIA interceptor at
sea- and land-based sites in addition to existing missile defense systems to provide coverage
for all NATO allies in Europe against medium- and intermediate-range ballistic missiles.
(4) Under phase 4 of the phased, adaptive approach for missile defense in Europe (scheduled
for 2020), the United States plans to deploy the standard missile-3 block IIB interceptor to
provide additional coverage of the United States against a potential intercontinental ballistic
missile launched from the Middle East in the 2020 time frame.
(5) According to the February 2010 Ballistic Missile Defense Review, the United States will
continue the development and assessment of a two-stage ground-based interceptor as part of
a hedging strategy and, as further noted by the Under Secretary of Defense for Policy during
testimony before the Committee on Armed Services of the House of Representatives on
October 1, 2009, “we keep the development of the two-stage [ground-based interceptor] on
the books as a hedge in case things come earlier, in case there’s any kind of technological
challenge with the later models of the [standard missile-3].”
(b) Policy- It shall be the policy of the United States to—
(1) field missile defense systems in Europe that—
(A) provide protection against medium- and intermediate-range ballistic missile threats
consistent with NATO policy and the phased, adapted approach for missile defense
announced on September 17, 2009; and
(B) have been confirmed to perform the assigned mission after successful, operationally
realistic testing;
(2) field missile defenses to protect the territory of the United States pursuant to the National
Missile Defense Act of 1999 (P.L. 106-38; 10 U.S.C. 2431 note) and to test those systems in
an operationally realistic manner;
(3) ensure that the standard missile-3 block IIA interceptor planned for phase 3 of the
phased, adaptive approach for missile defense is capable of addressing intermediate-range
ballistic missiles launched from the Middle East and the standard missile-3 block IIB
interceptor planned for phase 4 of such approach is capable of addressing intercontinental
ballistic missiles launched from the Middle East; and
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(4) continue the development and testing of the two-stage ground-based interceptor to
maintain it—
(A) as a means of protection in the event that—
(i) the intermediate-range ballistic missile threat to NATO allies in Europe materializes
before the availability of the standard missile-3 block IIA interceptor;
(ii) the intercontinental ballistic missile threat to the United States that cannot be countered
with the existing ground-based missile defense system materializes before the availability of
the standard missile-3 block IIB interceptor; or
(iii) technical challenges or schedule delays affect the standard missile-3 block IIA
interceptor or the standard missile-3 block IIB interceptor; and
(B) as a complement to the missile defense capabilities deployed in Alaska and California for
the defense of the United States.
The text of Section 227 is as follows:
SEC. 227. REPORTS ON STANDARD MISSILE SYSTEM.
(a) Reports- Not later than 90 days after the date of the enactment of this Act, and each 180day period thereafter, the Secretary of Defense shall submit to the congressional defense
committees a report on the standard missile system, particularly with respect to standard
missile-3 block IIA and standard missile-3 block IIB.
(b) Matters Included- The reports under subsection (a) shall include the following:
(1) A detailed discussion of the modernization, capabilities, and limitations of the standard
missile.
(2) A review of the standard missile’s comparison capability against all expected threats.
(3) A report on the progress of complimentary systems, including, at a minimum, radar
systems, delivery systems, and recapitalization of supporting software and hardware.
(4) Any industrial capacities that must be maintained to ensure adequate manufacturing of
standard missile technology and production ratio.
Senate (S. 3454)
The FY2011 defense authorization bill (S. 3454), as reported by the Senate Armed Services
Committee (S.Rept. 111-201 of June 4, 2010), recommends approving MDA’s FY2011 funding
request for procurement of SM-3 missiles (see page 699 of the printed bill, line 35), as well as
MDA’s other FY2011 funding requests for the Aegis BMD program (see page 753, line 84 of the
printed bill, and page 754, lines 107 and 108).
Section 231 of the bill as reported would make certain findings and express the sense of Congress
on certain matters relating to BMD. Section 231(b) states:
(b) Sense of Congress- It is the sense of Congress—
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(1) that the Phased Adaptive Approach to missile defense in Europe is an appropriate
response to the existing ballistic missile threat from Iran to European territory of North
Atlantic Treaty Organization countries, and to potential future ballistic missile capabilities of
Iran, and, as indicated by the April 19, 2010, certification by the Under Secretary of Defense
for Acquisition, Technology, and Logistics, meets congressional guidance provided in
section 235 of the National Defense Authorization Act for Fiscal Year 2010 (P.L. 111-84;
123 Stat. 2234);…
(2) that the Phased Adaptive Approach to missile defense in Europe is not intended to, and
will not, provide a missile defense capability relative to the ballistic missile deterrent forces
of the Russian Federation, or diminish strategic stability with the Russian Federation;
(3) to support the efforts of the United States Government and the North Atlantic Treaty
Organization to pursue cooperation with the Russian Federation on ballistic missile defense
relative to Iranian missile threats;
(4) that the Ground-based Midcourse Defense (GMD) system deployed in Alaska and
California currently provides adequate defensive capability for the United States against
potential and forseeable future long-range ballistic missiles from Iran, and this capability will
be enhanced as the system is improved, including by the planned deployment of an
AN/TPY-2 radar in southern Europe in 2011;
(5) that the United States should, as stated in its unilateral statement accompanying the New
START Treaty, `continue improving and deploying its missile defense systems in order to
defend itself against limited attack and as part of our collaborative approach to strengthening
stability in key regions”;
(6) that, as part of this effort, the Department of Defense should pursue the development,
testing, and deployment of operationally effective versions of all variants of the Standard
Missile-3 for all four phases of the Phased Adaptive Approach to missile defense in Europe;
(7) that the SM-3 Block IIB interceptor missile planned for deployment in Phase 4 of the
Phased Adaptive Approach should be capable of addressing the potential future threat of
intermediate-range and long-range ballistic missiles from Iran, including intercontinental
ballistic missiles that could be capable of reaching the United States;
(8) that there are no constraints contained in the New START Treaty on the development or
deployment by the United States of effective missile defenses, including all phases of the
Phased Adaptive Approach to missile defense in Europe and further enhancements to the
Ground-based Midcourse Defense system, as well as future missile defenses; and
(9) that the Department of Defense should continue the development, testing, and assessment
of the two-stage Ground-Based Interceptor in such a manner as to provide a hedge against
potential technical challenges with the development of the SM-3 Block IIB interceptor
missile as a means of augmenting the defense of Europe and of the homeland against a
limited ballistic missile attack from nations such as North Korea or Iran.
The committee’s report states:
Aegis Ballistic Missile Defense
The budget request included $1.5 billion in PE 63892C for Aegis Ballistic Missile Defense
(BMD) research and development, and $94.0 million in Procurement, Defense-Wide, for the
procurement of eight Standard Missile 3 (SM–3) Block IB interceptors for the Aegis BMD
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system. In addition, the budget request includes funding in two new Aegis BMD-related
funding lines to support the new Phased Adaptive Approach (PAA) to missile defense in
Europe: $281.4 million in PE 64880C for development of land-based SM–3 capabilities and
$318.8 million in PE 64881C for co-development, with Japan, of the SM–3 Block IIA
interceptor.
The Aegis BMD system is the centerpiece of the PAA to missile defense in Europe, which
will involve the deployment, at sea and on land, of four increasingly capable variants of the
SM–3 interceptor (Blocks IA, IB, IIA, and IIB) over the four phases of the PAA from 2011
to 2020. Given its inherent mobility and flexibility, as well as its evolving capability to
defend against all ranges of ballistic missiles from nations like Iran and North Korea, Aegis
BMD will also be the core of other regional missile defense architectures, for example in the
Middle East and East Asia.
The committee strongly supports the development, testing, production, and deployment of
operationally effective Aegis BMD and SM–3 capabilities in sufficient numbers to support
the needs of regional combatant commanders and to implement the PAA in Europe.
However, the committee has several concerns relating to the Aegis BMD program.
First, the committee notes that the Missile Defense Agency (MDA) is focused on production
of the SM–3 Block IB, and is not planning production of more SM–3 IA interceptors.
Consequently, the supplier base for unique SM–3 IA components will soon no longer be
qualified to supply those components if needed in the future. If there is a problem or delay
with the development of the SM–3 IB, a delay in the planned first flight test of the SM–3 IB,
or the test is not successful, it would create a situation where no operational SM–3
interceptors (Block IA) can be produced, at a time when increasing the interceptor inventory
is essential. The committee directs the Department of Defense (DOD) to consider what
actions could be taken to mitigate this risk and expects DOD to take appropriate actions to
keep SM–3 IA suppliers qualified and able to produce additional SM–3 IA if necessary,
including the possibility of a reprogramming action with fiscal year 2010 funds. The
committee is aware that MDA has studied a variety of such options and that there are nearterm mitigation options available, including procurement of Block IA kill vehicle kits or
additional Block IA interceptors, if action is taken before the suppliers go out of
qualification.
Second, the committee notes that the planned production schedule for the SM–3 IB has a
steep increase between fiscal year 2011 with 8 interceptors and fiscal year 2012 with 66
interceptors, an eightfold increase. Although the committee supports the objective of fielding
adequate numbers of SM–3 Block IB interceptors after testing has demonstrated their
capability, this will be a challenging ramp-up in the production rate. The committee is
concerned that this planned production increase may cause unanticipated production
problems, including production delays, similar to the experience with far lower production
rates for the Block IA interceptor. The committee urges MDA to consider risk mitigation
options for this steep production increase, including the possibility of budgeting some
research and development funds to cope with production challenges.
Third, the committee is concerned that the development effort for the SM–3 Block IIB
missile is not currently being managed by the Aegis BMD program office, but rather within
the MDA technology development program office. The significant milestones and
capabilities achieved to date with the Aegis BMD program have resulted in large part from
the close collaboration between the Aegis BMD program office and the Navy, which has
more than 30 years of experience in the development, testing, fielding, and operation of the
Standard Missile series and the Aegis Weapon System. The committee believes it is essential
for this collaborative relationship to continue with respect to the SM–3 Block IIB program,
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and directs MDA to ensure that the Aegis BMD program office has the central role in the
management of the Block IIB program.
Finally, the current plan for deployment of the SM–3 Block IIB interceptor would be limited
to deployment on land because of shipboard safety concerns related to the anticipated use of
hypergolic fuels in the Block IIB interceptor. The committee directs MDA and the Navy to
conduct an analysis of options for alternative technologies or practices that would permit the
deployment of the SM–3 Block IIB on Aegis BMD ships, as well as on land, and to report to
the congressional defense committees on the results of this analysis not later than April 30,
2011. (Pages 92-93)
The committee’s report also states:
Consistent with the BMDR [DOD’s Ballistic Missile Defense Review], and in order to
implement the PAA and to fulfill the missile defense needs of regional combatant
commanders, the budget request included funds to increase the planned inventory of SM–3
and Terminal High Altitude Area Defense (THAAD) interceptors, as Congress had
previously directed. The current plan is for 436 SM–3 Block IA and IB interceptors by 2015
and for 9 THAAD batteries with 431 interceptors by 2015, an increase of nearly 250
interceptors above plans announced for fiscal year 2010. This represents a significant
enhancement in the capacity to defend our forward deployed forces, allies, and partners
against the existing threat of short- and medium-range missiles Phased Adaptive Approach
(PAA) for BMD Operations and against the evolving regional missile threat. According to
Secretary Gates, this effort is a “top priority.” (Pages 94-95)
Final Version (H.R. 6523/P.L. 111-383)
Section 113 of H.R. 6523/P.L. 111-383 of January 7, 2011, requires a report on the force structure
requirements of major combatant surface vessels (i.e., cruisers and destroyers) with respect to
BMD. The text of Section 113 is as follows:
SEC. 113. REPORT ON NAVAL FORCE STRUCTURE AND MISSILE DEFENSE.
(a) Report- Not later than March 31, 2011, the Secretary of Defense, in coordination with the
Secretary of the Navy and the Chief of Naval Operations, shall submit to the congressional
defense committees a report on the force structure requirements of the major combatant
surface vessels with respect to ballistic missile defense.
(b) Matters Included- The report shall include the following:
(1) An analysis of whether the requirement for sea-based missile defense can be
accommodated by upgrading Aegis ships that exist as of the date of the report or by
procuring additional combatant surface vessels.
(2) A discussion of whether such sea-based missile defense will require increasing the
overall number of combatant surface vessels beyond the requirement of 88 cruisers and
destroyers in the 313-ship fleet plan of the Navy.
(3) A discussion of the process for determining the number of Aegis ships needed by each
commander of the combatant commands to fulfill ballistic missile defense requirements,
including (in consultation with the Chairman of the Joints Chiefs of Staff) the number of
such ships needed to support the phased, adaptive approach to ballistic missile defense in
Europe.
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(4) A discussion of the impact of Aegis Ashore missile defense deployments, as well as
deployment of other elements of the ballistic missile defense system, on Aegis ballistic
missile defense ship force structure requirements.
(5) A discussion of the potential effect of ballistic missile defense operations on the ability of
the Navy to meet surface fleet demands in each geographic area and for each mission set.
(6) An evaluation of how the Aegis ballistic missile defense program can succeed as part of a
balanced fleet of adequate size and strength to meet the security needs of the United States.
(7) A description of both the shortfalls and the benefits of expected technological
advancements in the sea-based missile defense program.
(8) A description of the anticipated plan for deployment of Aegis ballistic missile defense
ships within the context of the fleet response plan.
Section 221 of H.R. 6523 expresses the sense of Congress regarding the Phased Adaptive
Approach (PAA) for BMD in Europe. The text of Section 221 is as follows:
SEC. 221. SENSE OF CONGRESS ON BALLISTIC MISSILE DEFENSE.
(a) Sense of Congress- It is the sense of Congress—
(1) that the phased, adaptive approach to missile defense in Europe is an appropriate
response to the existing ballistic missile threat from Iran to the European territory of North
Atlantic Treaty Organization countries, and to potential future ballistic missile capabilities of
Iran;
(2) that the phased, adaptive approach to missile defense in Europe is not intended to, and
will not, provide a missile defense capability relative to the ballistic missile deterrent forces
of the Russian Federation, or diminish strategic stability with the Russian Federation;
(3) to support the efforts of the United States Government and the North Atlantic Treaty
Organization to pursue cooperation with the Russian Federation on ballistic missile defense
relative to Iranian missile threats;
(4) that the ground-based midcourse defense system deployed in Alaska and California
currently provides adequate defensive capability for the United States against currently
anticipated future long-range ballistic missile threats from Iran, and this capability will be
enhanced as the system is improved, including by the planned deployment of an AN/TPY-2
radar in southern Europe in 2011;
(5) that the ground-based midcourse defense system should be maintained, enhanced, and
adequately tested to ensure its operational capability through its service life;
(6) that the United States should, as stated in its unilateral statement accompanying the New
START Treaty, `continue improving and deploying its missile defense systems in order to
defend itself against limited attack and as part of our collaborative approach to strengthening
stability in key regions’;
(7) that, as part of this effort, the Department of Defense should pursue the development,
testing, and deployment of operationally effective versions of all variants of the standard
missile-3 for all four phases of the phased, adaptive approach to missile defense in Europe;
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(8) that the standard missile-3 block IIB interceptor missile planned for deployment in phase
4 of the phased, adaptive approach should be capable of addressing the potential future threat
of intermediate-range and long-range ballistic missiles from Iran, including intercontinental
ballistic missiles that could be capable of reaching the United States;
(9) that there are no constraints contained in the New START Treaty on the development or
deployment by the United States of effective missile defenses, including all phases of the
phased, adaptive approach to missile defense in Europe and further enhancements to the
ground-based midcourse defense system, as well as future missile defenses; and
(10) that the Department of Defense should continue the development, testing, and
assessment of the two-stage ground-based interceptor in such a manner as to provide a hedge
against potential technical challenges with the development of the standard missile-3 block
IIB interceptor missile as a means of augmenting the defense of Europe and of the homeland
against a limited ballistic missile attack from nations such as North Korea or Iran.
(b) New START Treaty Defined- In this section, the term `New START Treaty’ means the
Treaty between the United States of America and the Russian Federation on Measures for the
Further Reduction and Limitation of Strategic Offensive Arms, signed on April 8, 2010.
Section 223 of H.R. 6523 limits the obligation and expenditure of funds for land-based BMD
interceptors in Europe as part of the Phased Adaptive Approach (PAA) for BMD in Europe. The
text of Section 223 is as follows:
SEC. 223. LIMITATION ON AVAILABILITY OF FUNDS FOR MISSILE DEFENSE
INTERCEPTORS IN EUROPE.
(a) Limitation on Construction and Deployment of Interceptors- No funds authorized to be
appropriated by this Act or otherwise made available for the Department of Defense for
fiscal year 2011 or any fiscal year thereafter may be obligated or expended for site
activation, construction, or deployment of missile defense interceptors on European land as
part of the phased, adaptive approach to missile defense in Europe until—
(1) any nation agreeing to host such system has signed and ratified a missile defense basing
agreement and a status of forces agreement authorizing the deployment of such interceptors;
and
(2) a period of 45 days has elapsed following the date on which the Secretary of Defense
submits to the congressional defense committees the report on the independent assessment of
alternative missile defense systems in Europe required by section 235(c)(2) of the National
Defense Authorization Act for Fiscal Year 2010 (P.L. 111-84; 123 Stat. 2235).
(b) Limitation on Procurement or Deployment of Interceptors- No funds authorized to be
appropriated by this Act or otherwise made available for the Department of Defense for
fiscal year 2011 or any fiscal year thereafter may be obligated or expended for the
procurement (other than initial long-lead procurement) or deployment of operational missiles
on European land as part of the phased, adaptive approach to missile defense in Europe until
the Secretary of Defense, after receiving the views of the Director of Operational Test and
Evaluation, submits to the congressional defense committees a report certifying that the
proposed interceptor to be deployed as part of such missile defense system has demonstrated,
through successful, operationally realistic flight testing, a high probability of working in an
operationally effective manner and that such missile defense system has the ability to
accomplish the mission.
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(c) Waiver- The Secretary of Defense may waive the limitations in subsections (a) and (b)
if—
(1) the Secretary submits to the congressional defense committees written certification that
the waiver is in the urgent national security interests of the United States; and
(2) a period of seven days has elapsed following the date on which the certification under
paragraph (1) is submitted.
(d) Construction- Nothing in this section shall be construed so as to limit the obligation and
expenditure of funds for any missile defense activities not otherwise limited by subsection
(a) or (b), including, with respect to the planned deployments of missile defense interceptors
on European land as part of the phased, adaptive approach to missile defense in Europe—
(1) research, development, test and evaluation;
(2) site surveys;
(3) studies and analyses; and
(4) site planning and design and construction design.
(e) Conforming Repeal- Section 234 of the National Defense Authorization Act for Fiscal
Year 2010 (P.L. 111-81; 123 Stat. 2234) is repealed.
Regarding Section 223, the joint explanatory statement of the House and Senate Armed Services
Committees on H.R. 6523 stated:
The provision is not intended to impede or delay the successful implementation of the
Phased Adaptive Approach to missile defense in Europe, which is important for protection
against existing and potential future Iranian missile threats. Nor is it intended to limit the
production of missile defense interceptors for ground- and flight-testing, or production
process validation.
Section 227 of H.R. 6523 requires a report on the Phased Adaptive Approach (PAA) for BMD in
Europe. The text of Section 227 is as follows:
SEC. 227. REPORT ON PHASED, ADAPTIVE APPROACH TO MISSILE DEFENSE IN
EUROPE.
(a) Report Required- Not later than 180 days after the date of the enactment of this Act, the
Secretary of Defense shall submit to the congressional defense committees a report on the
phased, adaptive approach to missile defense in Europe.
(b) Matters Included- The report under subsection (a) shall include the following:
(1) A detailed explanation of—
(A) the analytic basis (including the analytic process and methodology) that led to the
recommendation of the Secretary of Defense and the Joint Chiefs of Staff to pursue the
phased, adaptive approach to missile defense in Europe, including the ability to defend
deployed forces of the United States, allies, and partners in Europe, and the United States
homeland, against the existing, emerging, and future threat from Iranian ballistic missiles in
a timely and flexible manner; and
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(B) the planned defensive coverage of Europe provided by such missile defense.
(2) A detailed explanation of the specific elements planned for each of the four phases of the
phased, adaptive approach to missile defense in Europe, including schedules and parameters
of planned deployments of missile defense systems at sea and on land, and the knowledge
points or milestones that will be required prior to operational deployment of those elements.
(3) A description of the factors and processes that will be used to determine the eventual
numbers and locations of interceptors that will be deployed at sea and on land, and the
concept of operations that will enable the phased, adaptive approach to missile defense in
Europe to be operated in a flexible, adaptable, and survivable manner.
(4) A description of the status of the development or production of the various elements of
the phased, adaptive approach to missile defense in Europe, particularly the development of
the standard missile-3, block IIA and block IIB interceptors, including the technical
readiness levels of those systems under development and the plans for retiring the technical
risks of such systems.
(5) A description of the advances in technology that are expected to permit enhanced
defensive capability of the phased, adaptive approach to missile defense in Europe, including
airborne infrared sensor technology, space sensor technology, and enhanced battle
management, command, control, and communications.
(6) A discussion of how the phased, adaptive approach to missile defense in Europe will
meet the operational needs of the commander of the United States European Command, and
how it relates to plans to use a phased, adaptive approach to missile defense in other
geographic regions.
(7) An explanation of—
(A) the views of the North Atlantic Treaty Organization on the phased, adaptive approach to
missile defense in Europe; and
(B) how such missile defense fits into the current missile defense strategy of NATO.
(c) Form- The report shall be in unclassified form, but may include a classified annex.
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Appendix B41
Additional Issues Concerning European Aegis BMD Operations
The Administration’s plan to use BMD-capable Aegis ships to defend Europe against potential
ballistic missile attacks raises a number of additional potential oversight issues for Congress,
including the following:
•
What will be the command and control procedures governing use of sea-based
SM-3s for purposes of intercepting ballistic missiles fired toward Europe from
Iran (or some other country in the Middle East or Southwest Asia)? Would
authority to fire the missile rest with the ship’s commanding officer, or would
approval from a higher authority be required?
•
What additional system-integration challenges would the Administration’s plan
pose for the Aegis BMD system? How significant are the technical risks
associated with these challenges?
•
What implications, if any, does Japanese involvement in the development of the
SM-3 Block IIA missile have for implementing the Administration’s plan?
An April 19, 2010, press report stated that:
questions still under consideration include basics such as which areas American ships will
defend and when; how many ships will be available; and how the alphabet-soup of U.S. and
international commanders will work together in a crisis.
[Admiral Mark Fitzgerald, commander of Naval Forces Europe] gave a simple example of
the bureaucratic and diplomatic intricacies involved with Navy ballistic-missile defense of
Europe: Although U.S. European Command controls the territory in which BMD ships will
be on guard, the potential launch sites in the Middle East, from which an attack might come,
belong to U.S. Central Command.
Officials need to determine how to integrate their sensors, how they’ll handle warnings, and
who will be in the loop—American, NATO, European Union or individual countries’
militaries—if a threat occurs….
The U.S. and its allies have begun testing systems and practicing for threats, Fitzgerald said,
and American BMD ships are confirmed ready to join Israel’s command-and-control grid in
case of an attack.42
A November 6, 2009, press report stated:
Citing the resource-constrained U.S. Army budget, the general overseeing the Army’s Space
and Missile Defense Command says he would prefer the U.S. Navy to assume oversight and
41
Carlo Munoz, “Obering: Navy Dependence On SM-3 Missile System Could Delay European BMD Plans,” Defense
Daily, April 6, 2011: 3-4. Material in brackets as in original. See also Otto Kreisher, “Missile Defense Advocates Look
For clearer Direction,” National Journal Daily AM, April 6, 2011.
42
Philip Ewing, “Officials Consider European Home Ports,” NavyTimes.com, April 19, 2010.
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execution of the mission to land-base SM-3 Block IB ballistic missile killers in Europe for
protection against an Iranian attack.
“Today, we have a number of priorities that we have trouble meeting outside of missile
defense,” Campbell said during a Nov. 3 interview with Aviation Week.
These include providing weapons and manpower for the wars in Afghanistan and Iraq.
“In my view this is an opportunity to have another service, in this case the Navy, to be the
lead service…From a resource perspective, it would be one less competing priority that we
have to put in the mix.”
The Pentagon plans to field land-based SM-3 Block IB interceptors, originally designed for
launch from Aegis ships, in Europe by 2015. Eventually, the SM-3 Block IIA, built on a 21inch booster (the IA and IB use 13.5-inch boosters), will likely be based on European soil. It
is unclear what type of fire control and sensor architecture will be used. Candidates include
those used for the Navy’s Aegis ship system or the Army’s Terminal High-Altitude Area
Defense (Thaad) system now being fielded.
It would seem a natural mission for the Army to fund and field the land-based SM-3 mission
as the lead service. Campbell notes that the Army has 10 years of experience in operating
missile defense architectures abroad through the Patriot, PAC-3 and now Thaad. “We’ve
only started to scratch on the surface on how would it work in the theater with the new
Terminal High-Altitude Air Defense, Thaad, and then how would it work with an Aegis ship
introduced into the same region … and Patriot could be part of that architecture,” Campbell
said.
However, he says the service is facing too many financial troubles to take on the mission.
Inputs from both the Army and Navy have been sent to the Pentagon for consideration. A
final decision is expected on the matter soon.43
An October 25, 2009, press report stated:
U.S. Defense Secretary Robert Gates asked Japan last week to export a new type of shipbased missile interceptor [the SM-3 Block IIA] under joint development by Tokyo and
Washington to third countries, presumably European, sources close to Japan-U.S. relations
said.
Gates’ request could lead to a further relaxation of Japan’s decades-long arms embargo and
spark a chorus of opposition from pacifist elements in the ruling Democratic Party of Japan
and one of its coalition partners, the Social Democratic Party.
Gates made the request concerning Standard Missile-3 Block 2A missiles during talks with
Defense Minister Toshimi Kitazawa on Wednesday, the sources said....
Japan has a policy of not exporting weapons or arms technology, except to the United States,
with which it has a bilateral security pact.
43
Amy Butler, “Army Three-Star Pushes For Navy To Be Ashore SM-3 Lead,” Aerospace Daily & Defense Report,
November 6, 2009: 1-2. Ellipses as in original.
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Gates’ request followed President Barack Obama’s announcement in September that the
United States is abandoning plans for a missile defense shield in Eastern Europe and
adopting a new approach to antimissile defense.
During his talks with Kitazawa, Gates called for a relaxation of Japan’s arms embargo and
prodded Tokyo to pave the way for exports of the new interceptors to third countries,
particularly European, the sources said.
Kitazawa refrained from answering directly, telling Gates the government would study the
request as it is an internal matter for Japan, the sources said.
The United States plans to begin deploying SM-3 Block 2A missiles in 2018. The Foreign
and Defense ministries believe it will be difficult to reject Gates’ request, the sources said.
In December 2004, Japan and the United States signed an agreement for bilateral cooperation
on a ballistic missile defense system. At the time, Japan exempted U.S.-bound exports of
missile interceptors to be developed by the two countries from its arms embargo rules.
Following an agreement on joint development of a new missile interceptor, Japan and the
U.S. exchanged diplomatic documents on banning its transfer to third parties or its use for
purposes other than originally intended without Japan’s advance agreement.
The sources said Japan would probably be forced to exempt the export of the interceptors to
third countries or give its nod in advance as stated in the documents.
The United States is hoping to get an answer to Gates’ request by the end of 2010, and
envisages Japan exporting the new interceptors to European countries, including Germany,
the sources said....
In fiscal 2006, Japan and the United States began to jointly develop the SM-3 Block 2A, an
advanced and more accurate version [of the SM-3 interceptor]....
Japan is developing the core part of the interceptor, which protects an infrared ray sensor
from heat generated by air friction, while the United States is in charge of developing the
warhead, called the Kinetic projectile, which would hit and destroy a ballistic missile.
Japan’s arms embargo dates back to 1967, when then Prime Minister Eisaku Sato declared a
ban on weapons exports to communist states, countries to which the United Nations bans
such exports and parties to international conflicts.
The policy was tightened in 1976 when then Prime Minister Takeo Miki imposed an almost
blanket ban on the export of weapons. But in 1983, Japan exempted exports of weapons
technology to the United States from the embargo.44
An October 8, 2009, press report stated:
As Navy planners figure out how the fleet will take on its new job of providing ballisticmissile defense protection for Europe, they don’t have to look far for an example of what it
could look like.
44
Kyodo News, “U.S. Urges Japan To Export SM-3s,” Japan Times, October 25, 2009.
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The Norfolk, Va.-based destroyer Stout returned in early September from European
Command’s first dedicated BMD deployment, in what could be an early model for the
missions of tomorrow.
“I would think they would look kind of similar to what we did,” Cmdr. Mark Oberley, the
Stout’s commanding officer, told Navy Times.
Stout deployed to the 6th Fleet area of operations, made regular stops in the Mediterranean
and Black seas, trained with partner navies and overall showed the U.S. flag. But everywhere
it went, BMD was part of its daily life.
“The BMD just kind of goes in parallel with our normal routine wherever we go in the
world; that didn’t really change the exercises we did and the way we prepared,” Oberley
said.
The U.S. is committing at least two BMD ships—and as many as six, a top defense official
said Sept. 24—for a standing patrol off Europe by 2011. The ships will be there to safeguard
against ballistic-missile attacks launched from Iran.
It isn’t clear yet just what that duty will look like: Still to be determined is where ships will
patrol, how they’ll be outfitted and what it all means for their crews and schedules.
In Stout’s case, the crew was tied to patrol areas for which the ship had to provide BMD
protection, within which it had some latitude about where it could stray.
“[Aegis] can reach far, but you also have a tether to be in a certain area in a certain time, just
like a lot of the other missions that we do, and basically, as long as we’re in that tether, then
you’re good,” he said.
And although the Navy’s BMD tests in the Pacific typically involve two or three ships,
Oberley said Stout or any other BMD ship probably could see and hit a ballistic missile
flying from the Middle East toward Europe.
“It depends on where it’s launched from and where it’s going to, so all those things are
variable. If the situation required us to link with another ship or another system, we could do
that,” he said.
Missile numbers
Aegis warships are suitable for ballistic-missile defense because they can carry so many SM3 interceptors. Cruisers have 122 vertical launch system missile tubes and destroyers have 90
or 96, depending on their flight. But there aren’t even that many missiles in the whole U.S.
arsenal—yet. The Pentagon has “more than 40” SM-3s today, according to Missile Defense
Agency spokesman Chris Taylor. It requested funds for 147 missiles in fiscal 2009 and
planned to request funding for 218 missiles in fiscal 2010.45
A September 30, 2009, press report stated:
The Navy’s new mission of protecting Europe from ballistic-missile attacks has widespread
implications for the surface fleet, potentially affecting everything from deployment schedules
to crewing arrangements to command-and-control procedures for cruisers and destroyers.
45
Philip Ewing, “Stout Deployment May Be BMD Mission Blueprint,” NavyTimes.com, October 8, 2009.
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Ballistic-missile defense warships have become the keystone in a new national strategy to
shield European allies from potential attacks by Iran. Rather than field sensors and missiles
on the ground in Poland and the Czech Republic, the U.S. will first maintain a presence of at
least two or three Aegis BMD ships in the waters around Europe, starting in 2011.
That announcement—which defined a new mission for the surface force: continent
defense—immediately raised many questions that Navy planners must answer over the next
two years:
Which ships will take the patrol mission? What will the deployments look like—will ships
participate in exercises, make port visits or be confined to a narrow patrol box? How long
will ships be assigned picket duty? Will BMD patrol ships sail with the crews they would
have taken on normal deployments, or will they have fewer sailors to account for the
narrower mission?
Navy officials had few answers in the week after Defense Secretary Robert Gates announced
the new BMD mission. Spokesmen at the Pentagon and for 3rd Fleet, which is responsible for
Navy Air and Missile Defense Command, said officials were working out the details.
Some hints could come from the deployment this summer of the BMD destroyer Stout,
which spent six months in the Mediterranean and Black seas, training with Turkish,
Romanian, Georgian and other sailors. When the mission was finished, Stout returned to
Norfolk, Va., in early September.
But that traditional model might not be best for the new BMD patrols, said retired Rear Adm.
Ben Wachendorf. He said top commanders might consider reviving crew-swaps—flying
replacement sailors to a forward port to relieve a ship’s company when its time at sea is over,
keeping the ship at sea for extended periods of time.
Wachendorf, who worked on the Navy’s original crew-swap experiments in the early 2000s,
said it would be expensive, but crew swaps would enable commanders to keep BMD ships in
place in European ports and save long transits home. Most of the Navy’s BMD fleet is based
in the Pacific, meaning ships would need a month at sea just to get to Europe and then
another month for the trip home.
One reason the fleet might reconsider crew swaps is that BMD-patrol ships could sail with
fewer people. If a cruiser or destroyer is loaded only with Standard Missile-3 interceptors
and will be tasked only with picket duty, it may not need some elements of a normal crew,
making it easier to fly fewer people to a forward port.
Then again, that concept could backfire.
“You might be able to cut back on some things. Do you need a towed array? Are you ever
going to stream it out? Do you need a [helicopter] detachment?” Wachendorf asked. “I could
say no, but Big Navy worries, ‘If we have a helo-capable ship that never operates helos,
they’re not going to be ready to do that.’ Same thing with [anti-submarine warfare].”
Who pushes the button?
There were broader questions beyond crewing and deployments: For the first time, the
commanding officer of a surface warship will have strategic responsibilities—the ship could
be the only thing standing between a nuclear attacker and its victim. What discretion will
commanders have in responding to attacks?
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“You’ve put these commanders on a par with [ballistic-missile submarine] commanders,”
said Steven Cimbala, an expert on ballistic-missile issues.
“But unlike an SSBN commander, who is unlikely to be under immediate tactical threat, an
Aegis cruiser or a [destroyer] could very easily be attacked by surface or subsurface craft, or
aircraft, as part of a first strike,” Cimbala said.
According to new intelligence described by Gates, the stakes for an engagement are very
high: Rather than one or two rogue launches, Gates described the threat from Iran as
involving volleys of many missiles fired simultaneously.
That also means a BMD captain could be responsible for a big, complex, dangerous battle in
the space over Europe, needing to fire dozens of missiles to try to destroy dozens of
attackers.46
Legislative Activity for FY2012
Summary of Action on FY2012 MDA Funding Request
Table 4 summarizes congressional action on the FY2012 request for MDA procurement and
research and development funding for the Aegis BMD program.
46
Philip Ewing, “BMD Fleet Plans Europe Defense Mission,” NavyTimes.com, September 30, 2009. Material in
brackets as in original.
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Table 4. Summary of Congressional Action on FY2012 Request for MDA
Procurement and RDT&E Funding for Aegis BMD Program
(In millions of dollars, rounded to nearest tenth; totals may not add due to rounding)
Authorization
Request
SASC
(S. 1253)
HASC
Procurement
Aegis BMD (Line 34,
565.4
615.4
565.4
Project MD09)
Research, development, test & evaluation (RDT&E)
SM-3 Block IIB missile
123.5
123.5
123.5
(Line 69, PE 0603902C,
Projects MD70, MD40)
BMD Aegis (Line 91, PE
960.3
965.3
990.3
0603892C, nine projects)
Land-based SM-3 (Line
306.6
306.6
306.6
110, PE 0604880C,
Projects MD68, MD 40)
SM-3 Block IIA missile
424.5
464.5
444.5
co-development (Line
111, PE 0604881C,
Projects MD09, MD40)
Subtotal RDT&E
1,814.9
1,859.9
1,864.9
TOTAL
2,380.3
2,475.3
2,430.3
Appropriation
SASC
(S. 1867)
Conf.
HAC
SAC
250.4
565.4
565.4
123.5
123.5
0
1,250.3
960.3
1,027.0
306.6
306.6
306.6
444.5
424.5
474.5
2,124.9
2,375.3
1,814.9
2,380.3
1,808.1
2,373.5
Conf.
Source: FY2012 DOD budget submission; HASC report (H.Rept. 112-78) on H.R. 1540; Sections 4101 and
4201 of S. 1253 as reported by SASC; Sections 4101 and 4201 of S. 1867 as reported by Senator Levin; HAC
report (H.Rept. 112-110) on H.R. 2219; SAC report (S.Rept. 112-77) on H.R. 2219.
Notes: HASC is House Armed Services Committee; SASC is Senate Armed Services Committee; HAC is
House Appropriations Committee; SAC is Senate Appropriations Committee; Conf. is conference.
FY2012 National Defense Authorization Bill (H.R. 1540/S. 1867/S.
1253)
House
As shown in Table 4, the House Armed Services Committee, in its report (H.Rept. 112-78 of May
17, 2011) on H.R. 1540, recommends increasing MDA’s request for FY2012 procurement and
research and development funding for the Aegis BMD program by $95 million, including $50
million for Aegis BMD procurement (Line 34, Project MD09) (page 369), $5 million for BMD
Aegis (Line 110, PE 0604880C, Projects MD68, MD 40) (page 420), and $40 million for SM-3
Block IIA missile co-development (Line 111, PE 0604881C, Projects MD09, MD40) (page 420).
Section 1691 of H.R. 1540 as reported by the committee provides for the additional $5 million
for BMD Aegis (Line 91, PE 0603892C, nine projects), and states that the additional funding is to
be used “for expanding the engagement capability of the Aegis ballistic missile defense in
furtherance of national security objectives.” The other two recommended increases are described
in the committee’s report as being for “program increase.”
Section 233 of H.R. 1540 as reported by the committee states:
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SEC. 233. HOMELAND DEFENSE HEDGING POLICY AND STRATEGY.
(a) Policy- It is the policy of the United States to develop and maintain a hedging strategy to
provide for the protection of the homeland of the United States that—
(1) provides such protection through the phased, adaptive approach to missile defense in
Europe if—
(A) the intercontinental ballistic missile threat from the Middle East to the United States
materializes earlier than 2020 (the year in which phase four of the phased, adaptive approach
is planned to begin protecting the homeland of the United States); or
(B) technical challenges or schedule delays affect the availability of the standard missile-3
block IIB interceptor planned for fielding in Europe by 2020 in order to protect the homeland
of the United States as part of such phase four;
(2) provides such protection if the intercontinental ballistic missile threat from East Asia to
the United States materializes more rapidly than expected;
(3) provides capabilities that improve or enhance the protection of the United States beyond
the ground-based midcourse defense capabilities currently deployed for the defense of the
United States; and
(4) includes plans for ensuring that such hedging capabilities described in paragraphs (1)
through (3)—
(A) are suitable to perform the assigned mission;
(B) are operationally effective; and
(C) use technologies that are sufficiently matured and tested prior to fielding.
(b) Strategy(1) IN GENERAL- In light of the policy described in subsection (a), the Secretary of
Defense shall develop a hedging strategy to provide for the protection of the homeland of the
United States.
(2) ELEMENTS- The strategy under paragraph (1) shall include the following:
(A) A description of the hedging alternatives and capabilities considered by the Secretary.
(B) A summary of the analyses conducted, including—
(i) criteria used to assess such options and capabilities; and
(ii) the findings and recommendations of such analyses.
(C) Detailed plans, programs, and a budget profile for implementing the strategy through
2022.
(D) The criteria to be used in determining when each item contained in the strategy should be
implemented and the schedule required to implement each item.
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(E) Any other information the Secretary considers necessary.
(3) SUBMISSION- The Secretary shall submit to the congressional defense committees the
strategy developed under paragraph (1) by the earlier of the following:
(A) December 5, 2011.
(B) The date on which the Secretary completes the development of such strategy.
Regarding Section 233, the committee’s report states:
This section would make it the policy of the United States to develop and maintain a hedging
strategy to provide protection of the United States:
(1) If the intercontinental ballistic missile (ICBM) threat from the Middle East
materializes earlier than 2020, or technical challenges or schedule delays affect the
availability of the Standard Missile-3 Block IIB interceptor planned for fielding in
Europe by 2020 to protect the United States as part of phase 4 of the President’s phased,
adaptive approach;
(2) If the ICBM threat from East Asia materializes more rapidly than expected;
(3) That improves or enhances the protection of the United States beyond the groundbased midcourse defense capabilities currently deployed for the defense of the United
States; and
(4) That includes plans for ensuring that hedging capabilities are suitable to perform the
assigned mission, operationally effective, and use technologies that are sufficiently
matured and tested prior to fielding.
This section would also require the Secretary of Defense to submit to the congressional
defense committees the Department of Defense’s homeland defense hedging strategy by
December 5, 2011, or the date on which the Secretary completes the development of such
strategy, whichever comes earlier.
The committee is aware that the Department of Defense is currently developing a hedging
strategy for the protection of the U.S. homeland, to include continued development and
assessment of a two-stage ground-based interceptor as noted in the February 2010
Department of Defense Ballistic Missile Defense Review. The committee notes that during
testimony before the committee on October 1, 2009, the Under Secretary of Defense for
Policy stated, “we keep the development of the two-stage [ground-based interceptor] on the
books as a hedge in case things come earlier, in case there’s any kind of technological
challenge with the later models of the [Standard Missile-3].” This section would clarify and
expand such policy. (Pages 95-96)
The report also states:
Standard missile–3 interceptors
The budget request contained $565.4 million for procurement of Aegis ballistic missile
defense (BMD) for the Missile Defense Agency (MDA).
The request would support the production of 46 standard missile-3 (SM-3) Block IB
interceptors for delivery in fiscal year 2014. The fiscal year 2011 budget request included
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plans by MDA to procure 66 SM-3 Block IB interceptors in fiscal year 2012. However, the
budget request procures 20 less SM-3 Block IB interceptors than previously planned.
The SM-3 Block IB is a fundamental element of the President’s phased, adaptive approach
(PAA) to missile defense in Europe and in other geographic regions. In particular, sufficient
inventories of SM-3 Block IB interceptors are necessary by 2015 to meet the President’s
planned deployment of phase 2 of the European PAA, to include a planned inventory of 36
Aegis BMD ships and an Aegis Ashore site in Romania. However, as noted in the February
2010 Ballistic Missile Defense Review “demand for U.S. BMD assets is likely to exceed
supply for some years to come.”
The committee is concerned that the current procurement plan for SM-3 interceptors is
insufficient to meet the deployment plans of the PAA. At the same time, the committee seeks
to ensure the SM-3 Block IB interceptor is sufficiently tested prior to MDA’s planned rampup in interceptor production.
MDA has delayed the first SM-3 Block IB flight test until August 2011 to allow the Aegis
BMD program office to resolve ongoing technical issues with the divert and attitude control
system in the interceptor kill vehicle. In March 2010, the Government Accountability Office
(GAO) reported that the “Aegis BMD program is putting the SM–3 Block IB at risk for cost
growth and schedule delays by planning to begin manufacturing in 2010 before its critical
technologies have been demonstrated in a realistic environment.” In March 2011, GAO
reported that MDA agreed to delay the start of SM-3 Block IB manufacturing until the Block
IB had been successfully flight tested, consistent with its recommendations.
The committee expects that MDA will only allocate additional funding for SM-3 Block IB
production in fiscal year 2012 if the first flight test is successful. Should the planned SM-3
Block IB flight testing be further delayed or technical issues remain unresolved, the
committee would consider a reallocation of these funds to procure additional SM-3 Block IA
interceptors.
The committee recommends $615.4 million, an increase of $50.0 million, for Aegis ballistic
missile defense to procure additional SM-3 Block IB interceptors. (Pages 39-40)
The report also states:
Phased, adaptive approach
The committee commends the Department of Defense (DOD) for the progress it has made
over the past year in the implementation of the phased, adaptive approach (PAA) for missile
defense in Europe. The committee also appreciates the Department’s improved engagement
with the committee on the European phased, adaptive approach (EPAA).
As announced by the President in September 2009, the EPAA is designed to: sustain U.S.
homeland defense against long-range ballistic missile threats; speed protection of U.S.
deployed forces, civilian personnel, and their accompanying families against the near-term
missile threat from Iran; ensure and enhance the protection of the territory and populations of
all North Atlantic Treaty Organization (NATO) allies, in concert with their missile defense
capabilities, against the current and growing ballistic missile threat; deploy proven
capabilities and technologies to meet current threats; and provide flexibility to upgrade and
adjust the architecture, and to do so in a cost-effective manner, as the threat evolves.
The committee notes that NATO formally endorsed territorial missile defense at its
November 2010 Lisbon Summit and in its new Strategic Concept, and welcomed the EPAA
“as a valuable national contribution to the NATO missile defence architecture.” The Lisbon
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Summit Declaration further stated that such a territorial missile defense capability would be
“based on the principles of the indivisibility of Allied security and NATO solidarity.”
The committee has observed a range of DOD activities, many in conjunction with the
Department of State, to implement EPAA. These include the March 2011 deployment of the
Aegis ballistic missile defense cruiser USS Monterey to the Mediterranean for a 6-month
mission to provide some defensive coverage of south and southeastern Europe as part of
EPAA phase one, and ongoing bilateral negotiations with Romania and the Republic of
Poland for the hosting of a land-based Aegis Ashore site as part of phase two and phase
three, respectively. The committee is concerned, however, about the Department’s plans for
forward-basing an AN/TPY-2 radar in southeastern Europe to meet the 2011 timeline for
EPAA phase one, as a location has yet to be determined.
The committee expects continued engagement with the Department of Defense as the EPAA
further evolves. The committee understands that specific command and control arrangements
between the U.S. and other NATO members are still being developed. The committee
believes contributions by U.S. allies are essential if EPAA is to be a NATO-wide capability
and reflect the burden sharing commitment underpinning NATO.
Additionally, at the committee’s request, the Government Accountability Office (GAO)
evaluated the Department of Defense’s plans for EPAA implementation. In its December
2010 report, GAO expressed concern that “DOD has not developed an overall investment
cost or an acquisition decision schedule. The limited visibility into the costs and schedule for
European PAA constrains independent assessments of progress as well as limits oversight.”
Furthermore, a September 2010 independent assessment of EPAA by the Institute for
Defense Analyses, required by section 235 of the National Defense Authorization Act for
Fiscal Year 2010 (P.L. 111-84), estimated the 27-year total costs for the EPAA at $22.0
billion to $23.0 billion, which is significantly more than cost estimates provided to the
committee by MDA. As the committee continues its oversight of EPAA, it expects MDA to
further refine its cost estimates.
GAO further observed that system schedules are highly optimistic in technology
development, testing, production, and integration, leaving little room for potential delays. To
this point, the committee is concerned about the development of the standard missile (SM)-3
Block IIA and SM-3 Block IIB interceptors as well as the timeline for phase 4 of the EPAA,
which is planned to provide additional protection of the United States. Elsewhere in this Act,
the committee includes an increase in SM-3 Block IIA funds. (Pages 80-81)
The report also states:
Standard Missile–3 Block IIA interceptor
The budget request contained $424.5 million in PE 64881C for Standard Missile (SM)-3
Block IIA Co-Development for the Missile Defense Agency (MDA).
The request would support the continued development and testing of the SM-3 Block IIA
interceptor, which is being co-developed in cooperation with the Government of Japan. The
SM-3 Block IIA is being designed with a larger diameter missile and more advanced kill
vehicle technology than the SM-3 Block IA/IB interceptor. Upon planned deployment in
2018 as part of phase 3 of the President’s phased, adaptive approach to missile defense in
Europe, the SM-3 Block IIB is expected to provide expanded coverage of Europe against
intermediate range ballistic missile threats, and may provide some limited intercontinental
ballistic missile intercept capability.
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The committee is concerned about schedule risk in the SM-3 Block IIA program. The system
preliminary design review (PDR) is planned for fiscal year 2012, leading to a first flight test
planned for the first quarter of fiscal year 2015. The committee understands, however, that
technical issues surfaced during component-level PDRs involving the divert and attitude
control system in the kill vehicle, nosecone weight, and third stage rocket motor. The
committee understands the technology maturation process and appreciates MDA efforts to
retire technology risk. However, the committee believes MDA will be challenged in holding
to its current schedule and is concerned about the program’s ability to meet its planned 2018
deployment date.
The committee requests MDA to provide an updated schedule and funding profile for the
SM-3 Block IIA program should either change in the near-term. The committee also notes
that arrangements for SM-3 Block IIA production have not been determined with the
Government of Japan, and the committee encourages the Department of Defense to begin
such discussions.
The committee recommends $464.5 million, an increase of $40.0 million, in PE 64881C for
SM-3 Block IIA Co-Development to fund additional development and technology risk
reduction efforts, at the discretion of the Director, Missile Defense Agency, to reduce
schedule risk. (Page 84)
The report also states:
Aegis Ballistic Missile Defense Operational Considerations and Force Structure
The committee recognizes the progress made by the Department of Defense to develop and
field Aegis ballistic missile defense (BMD) capabilities. The committee, however, remains
concerned about the force structure and inventory demands for Aegis ships resulting from
the Phased Adaptive Approach (PAA) to missile defense in Europe, announced in September
2009, and the Department’s plans to tailor the PAA to other geographic regions such as East
Asia and the Middle East. As noted in the 2010 “Ballistic Missile Defense Review,” “the
demand for missile defense assets within each region over the next decade will exceed
supply.”
In particular, the committee would like to further understand the concept of operations for
Aegis BMD capabilities and how operational considerations affect Aegis BMD force
structure. The Vice Chairman of the Joint Chiefs of Staff previously testified before the
committee on October 1, 2009 that when an Aegis ship is in missile defense mode, it
“consumes all of the radar’s activity,” and a second ship is required for ship protection.
Aegis BMD ships also support multiple missions such as maritime security, anti-submarine
warfare, and surface warfare. While this multi-mission functionality provides flexibility and
mobility, it may also place further force structure demands on the Aegis fleet and creates
operational and performance tradeoffs for each ship. Additionally, as reported in June 2010,
a Navy Fleet Review Panel assessment observed that Aegis SPY radar “manpower, parts,
training and performance are in decline” and the decline in Aegis radar readiness may affect
the Navy’s ability to meet its missile defense mission requirements.
The committee directs the Secretary of the Navy to provide a report to the congressional
defense committees, by December 5, 2011, that assesses how operational requirements and
considerations, such as force protection, other mission requirements, geographic trade-offs,
and readiness and availability, affect the Aegis BMD concept of operations and the
implications of such operational requirements and considerations on force structure required
to support combatant commanders’ missile defense missions. Similarly, such assessment
should also address how the Navy balances its various mission requirements and the impact
of missile defense requirements on its force structure demands and operational tempo. The
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assessment should also describe any recent Aegis BMD deployments, for example, to
support the July 2009 Democratic People’s Republic of Korea missile launches, and how
operational requirements and considerations influenced the Aegis BMD force structure and
concepts of operation to address the combatant commanders’ mission requirements. (Page
107)
The report also states:
Aegis Ballistic Missile Defense Homeporting in Europe
The committee is aware that the Department of Defense is exploring the feasibility of
homeporting U.S. Aegis ballistic missile defense (BMD) ships in Europe in support of the
phased, adaptive approach for missile defense in Europe. The committee understands that
such forward-basing of U.S. Aegis BMD ships in Europe may alleviate some force structure
demands on the Aegis fleet by reducing their time in transit and providing closer proximity
to Europe and the Middle East. Such a naval port in Europe would also further U.S. policy
on international missile defense cooperation and burden sharing for the collective defense of
Europe and the United States.
The committee directs the Secretary of Defense to provide a notification to the congressional
defense committees preceding the Department’s announcement of a decision to homeport
U.S. Aegis BMD ships in Europe. The notification should include, at a minimum: the
proposed location; number of ships to be homeported in Europe; the implementation
schedule and funding profile, including military construction; and a summary of any analysis
of alternatives that supports the decision, including any cost-benefit analysis. (Pages 287288)
Senate (S. 1867)
S. 1867, an original measure reported by Senator Levin on November 15, 2011, without written
report, in effect supersedes S. 1253 (see below). As shown in Table 4, S. 1867 recommends
reducing by $315.0 million MDA’s request for FY2012 procurement funding for the Aegis BMD
program (Line 34, Project MD09), with the reduction being for “Production delay; transfer to
R&D for fixes.” (See Section 4101 of the bill. In the printed version of the bill, the relevant able
within this section appears on page 619.) The bill recommends increasing by $290.0 million
MDA’s request for FY2012 research and development funding for the Aegis BMD program (Line
91, PE 0603892C), with $30.0 million of the increase being for “SM-3 Block 1B production
improvements” and $260.0 million being for “Transfer from procurement to correct test failures.”
(See Section 4201 of the bill. In the printed version of the bill, the relevant table within this
section appears on page 641.) The bill recommends increasing by $20 million MDA’s request for
research and development funding for Aegis SM-3 Block IIA co-development (Line 111, PE
0604881C), with the increase being for “Program Increase—software integration.” (See Section
4201 of the bill. In the printed version of the bill, the relevant table within this section appears on
page 642.)
Senate (S. 1253)
S. 1253 has been, in effect, superseded by S. 1867 (see above). As shown in Table 4, S. 1253 as
reported by the Senate Armed Services Committee (S.Rept. 112-26 of June 22, 2011)
recommends increasing by $30 million MDA’s request for FY2012 research and development
funding for the Aegis BMD program (Line 91, PE 0603892C), with the increase being for “SM-3
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Block IB production improvements,” and increasing by $20 million MDA’s request for FY2012
research and development funding for SM-3 Block IIA missile co-development (Line 111, PE
0604881C), with the increase being for “program increase – software integration.” (See Section
4201 of the bill as reported by the committee. In the printed version of the bill as reported by the
committee, the relevant table within this section appears on page 631.)
The committee’s report states:
Standard Missile–3 Block IB
The budget request included $960.3 million in PE 63892C for the Missile Defense Agency
for continued development and testing of the Aegis Ballistic Missile Defense system and the
Standard Missile–3 (SM–3) Block IB interceptor missile.
The Aegis BMD system is the centerpiece of the European Phased Adaptive Approach
(EPAA) to missile defense, each phase of which is built upon the four successive generations
of the SM–3 interceptor. The SM–3 Block IB interceptor is planned to be deployed during
Phase 2 of the EPAA, in the 2015 timeframe, both at sea and at an Aegis Ashore site on land
in Romania. The Block IB interceptor is expected to constitute the large majority of the SM–
3 inventory, with more than 350 missiles planned.
The Block IB missile has experienced technical difficulties and delays related to the solidfueled Throttleable Divert and Attitude Control System (TDACS) that would steer the
kinetic kill vehicle directly into a threat missile reentry vehicle. These delays have caused a
delay in testing and production of the Block IB missile, and up to 30 additional Block IA
missiles will be produced to fill the gap. The first flight-test of the Block IB missile is
scheduled for late summer 2012, and there are seven flight tests planned before a full-rate
production decision would be made.
The cost of the effort to correct the TDACS problem has also caused a reduction in the initial
number of Block IB missiles to be procured in fiscal year 2012, from 66 to 46. The
production rate is planned to increase fourfold, from two per month in fiscal year 2012 to
nearly eight per month in fiscal year 2017. The committee is concerned that the production
line will not be able to achieve and sustain the planned increase in production rate, and that
this could cause production delays, inventory shortfalls, and cost increases.
Therefore, the committee recommends $990.3 million in PE 63892C, an increase of $30.0
million, to purchase production tooling and special test equipment to permit an increase in
the production rate of SM–3 Block IB, and to permit sustainment of that higher production
rate. (Pages 54-55)
The report also states:
Standard Missile–3 Block IIA co-development
The budget request included $424.5 million in PE 64881C for the Missile Defense Agency
for co-development with Japan of the Standard Missile–3 (SM–3) Block IIA interceptor for
the Aegis Ballistic Missile Defense (BMD) system.
The SM–3 Block IIA interceptor is being developed cooperatively by the United States and
Japan as the next-generation of Aegis BMD capability. It will have significantly greater
range and discrimination capability compared to the SM–3 Block IB interceptor, and is
intended to provide defense against intermediate-range ballistic missiles (IRBM), as well as
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some capability against some first-generation intercontinental ballistic missiles from nations
such as North Korea and Iran.
The SM–3 Block IIA is planned to be deployed as part of Phase 3 of the European Phased
Adaptive Approach to missile defense, in the 2018 timeframe, both on land and at sea. It is
expected to be deployed at an Aegis Ashore site in Poland at that time.
The committee is concerned that the inherent complexity of a bi-national development
program, and the level of technical sophistication of the SM–3 Block IIA interceptor,
increase the development and schedule risk of the program.
The committee believes that the SM–3 Block IIA interceptor, combined with future variants
of the Aegis Weapon System, will form the core of the U.S. and Japanese missile defense
capability against future North Korean and Iranian IRBMs, and believes additional effort is
warranted to provide developmental and schedule risk reduction.
The committee recommends $444.5 million in PE 64881C, an increase of $20.0 million, to
purchase equipment to test software integration, and to accelerate software integration as a
risk reduction measure for development of the SM–3 Block IIA interceptor in order to reduce
development risk and provide additional schedule margin. (Page 57)
The report also states:
The committee notes that the SM–3 Block IIB development program is being managed
initially by the MDA technology development organization, rather than by the Aegis BMD
program office. The committee expects the SM–3 Block IIB development program to be
coordinated closely with the Aegis BMD program office, and to transition to that office as
soon as is programmatically sound (MDA has indicated by 2013) in order to ensure it
benefits from the successful Aegis BMD development and management philosophy. (Page
67)
FY2012 DOD Appropriations Bill (H.R. 2219)
House
As shown in Table 4, the House Appropriations Committee, in its report (H.Rept. 112-110 of
June 16, 2011) on H.R. 2219, recommends approving MDA’s request for FY2012 procurement
and research and development funding for the Aegis BMD program. (Pages 195, 246, and 247)
Senate
As shown in Table 4, the Senate Appropriations Committee, in its report (S.Rept. 112-77 of
September 15, 2011) on H.R. 2219, recommends approving some of MDA’s requests for FY2012
procurement and research and development funding for the Aegis BMD program, and changing
others. (Pages 153, 207, 208, and 213).
The committee’s report states:
Standard Missile–3 [SM–3] Block IB.—The fiscal year 2012 budget request includes
$565,393,000 for the procurement of 46 SM–3 Block IB missiles. Following developmental
challenges and schedule delays, MDA revised its acquisition strategy for the SM–3 Block IB
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missile in February 2011 and initiated a series of flight tests that are intended to culminate in
a production decision in the fourth quarter of fiscal year 2012. The Committee notes that the
SM–3 Block IB recently failed the first flight test of this series that is specifically intended to
verify a modified design of the missile’s critical components. This test failure will likely
delay the acquisition schedule for SM–3 Block IB missiles. The Committee notes that SM–3
missiles are in high demand by Combatant Commanders around the world, and is concerned
that a delay to the SM–3 Block IB’s test and acquisition schedule will negatively impact
mission capability, shut down the vendor base, and drive up costs of the SM–3 production
line. Noting the relative success of the SM–3 Block IB’s predecessor, the SM–3 Block IA
missile, and its high commonality with the SM–3 Block IB, the Committee directs MDA to
apply the $565,393,000 in the fiscal year 2012 budget requested for the procurement of 46
SM–3 Block IB interceptors to SM–3 Block IA missiles should the test and acquisition
schedule for Block IB missiles require any adjustments during fiscal year 2012. The
Committee expects to be fully informed about progress of the SM–3 Block IB missile’s test
and development schedule and of any changes to its acquisition strategy. (Pages 157-158)
The report also states:
Standard Missile-3 [SM–3] Block IB, Block IIA and Block IIB.—The fiscal year 2012 budget
request includes $109,800,000 for SM–3 Block IB, $424,454,000 for SM–3 Block IIA, and
$123,456,000 for SM–3 Block IIB in Research, Development, Test and Evaluation, DefenseWide. Each of these missiles is successively more capable and technologically complex. The
Committee is concerned about the high concurrency of these developmental efforts,
particularly in light of the development issues that have plagued the SM–3 Block IB missile.
In particular, the Committee notes that MDA has programmed in excess of $1,700,000,000
for the SM–3 Block IIB missile over the next 5 years, while at the same time, the SM–3
Block IB is scheduled to enter production in fiscal year 2013, and the SM–3 Block IIA is in
early development, with fielding expected in 2018. The Committee is concerned that nearterm requirements are underappreciated in order to fund uncertain long-term efforts. In
addition, the Committee notes that the requirements for the SM–3 Block IIB remain in flux,
as does its acquisition strategy and the associated costs for integration into the Fleet. Finally,
the Committee understands that in its current form, the SM–3 Block IIB missile is of limited
mission value due to technical constraints. Therefore, the Committee recommends no
funding for the SM–3 Block IIB missile and instead recommends transferring those funds to
the SM–3 Block IB and IIA missiles for additional risk reduction activities in order to ensure
timely fielding of these capabilities to the warfighter. (Pages 217-218)
The report also states:
Ballistic Missile Defense [BMD] Capable Ships.—The Committee notes that the Navy has
established a requirement for fiscal year 2024 of having a force of 94 multi-mission large
surface combatants (including ballistic missile defense [BMD] capability), but the Navy’s
fiscal year 2012 30-year shipbuilding plan projects that the Navy will achieve the 94-ship
goal for BMD-capable ships in 2020 and 2021, with force levels declining thereafter.
Specifically, the Navy projects that it will have, at most, 92 BMD-capable ships in 2024
before declining to 65 in 2034. The Committee is concerned about this projected shortfall
and believes that the Navy should begin to review and consider options to close this gap. The
Navy has indicated that it intends to pursue a multiyear procurement contract for DDG–51
vessels in fiscal year 2013 that could result in significant cost savings. Historic production
rates of three DDG–51s per fiscal year reflected substantial unit cost savings in the past and
would likely be realized by procuring DDG–51 ships at a more economical procurement rate
than currently planned. The Committee directs the Secretary of the Navy to provide a report,
at the same time as the President submits the budget request for fiscal year 2013, which
provides options for closing this gap. (Page 121)
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Appendix A. Additional Background Information
European Phased Adaptive Approach (EPAA)
This appendix presents additional background information on the European Phased Adaptive
Approach (EPAA) for European BMD operations announced by the Administration on September
17, 2009.
A September 17, 2009, White House fact sheet on the EPAA stated:
President Obama has approved the recommendation of Secretary of Defense Gates and the
Joint Chiefs of Staff for a phased, adaptive approach for missile defense in Europe. This
approach is based on an assessment of the Iranian missile threat, and a commitment to
deploy technology that is proven, cost-effective, and adaptable to an evolving security
environment.
Starting around 2011, this missile defense architecture will feature deployments of
increasingly-capable sea- and land-based missile interceptors, primarily upgraded versions of
the Standard Missile-3 (SM-3), and a range of sensors in Europe to defend against the
growing ballistic missile threat from Iran. This phased approach develops the capability to
augment our current protection of the U.S. homeland against long-range ballistic missile
threats, and to offer more effective defenses against more near-term ballistic missile threats.
The plan provides for the defense of U.S. deployed forces, their families, and our Allies in
Europe sooner and more comprehensively than the previous program, and involves more
flexible and survivable systems.
The Secretary of Defense and the Joint Chiefs of Staff recommended to the President that he
revise the previous Administration’s 2007 plan for missile defense in Europe as part of an
ongoing comprehensive review of our missile defenses mandated by Congress. Two major
developments led to this unanimous recommended change:
•
New Threat Assessment: The intelligence community now assesses that the threat from
Iran’s short- and medium-range ballistic missiles is developing more rapidly than
previously projected, while the threat of potential Iranian intercontinental ballistic
missile (ICBM) capabilities has been slower to develop than previously estimated. In the
near-term, the greatest missile threats from Iran will be to U.S. Allies and partners, as
well as to U.S. deployed personnel—military and civilian –and their accompanying
families in the Middle East and in Europe.
•
Advances in Capabilities and Technologies: Over the past several years, U.S. missile
defense capabilities and technologies have advanced significantly. We expect this trend
to continue. Improved interceptor capabilities, such as advanced versions of the SM-3,
offer a more flexible, capable, and cost-effective architecture. Improved sensor
technologies offer a variety of options to detect and track enemy missiles.
These changes in the threat as well as our capabilities and technologies underscore the need
for an adaptable architecture. This architecture is responsive to the current threat, but could
also incorporate relevant technologies quickly and cost-effectively to respond to evolving
threats. Accordingly, the Department of Defense has developed a four-phased, adaptive
approach for missile defense in Europe. While further advances of technology or future
changes in the threat could modify the details or timing of later phases, current plans call for
the following:
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•
Phase One (in the 2011 timeframe)—Deploy current and proven missile defense
systems available in the next two years, including the sea-based Aegis Weapon System,
the SM-3 interceptor (Block IA), and sensors such as the forward-based Army
Navy/Transportable Radar Surveillance system (AN/TPY-2), to address regional
ballistic missile threats to Europe and our deployed personnel and their families;
•
Phase Two (in the 2015 timeframe)—After appropriate testing, deploy a more capable
version of the SM-3 interceptor (Block IB) in both sea- and land-based configurations,
and more advanced sensors, to expand the defended area against short- and mediumrange missile threats;
•
Phase Three (in the 2018 timeframe)—After development and testing are complete,
deploy the more advanced SM-3 Block IIA variant currently under development, to
counter short-, medium-, and intermediate-range missile threats; and
•
Phase Four (in the 2020 timeframe)—After development and testing are complete,
deploy the SM-3 Block IIB to help better cope with medium- and intermediate-range
missiles and the potential future ICBM threat to the United States.
Throughout all four phases, the United States also will be testing and updating a range of
approaches for improving our sensors for missile defense. The new distributed interceptor
and sensor architecture also does not require a single, large, fixed European radar that was to
be located in the Czech Republic; this approach also uses different interceptor technology
than the previous program, removing the need for a single field of 10 ground-based
interceptors in Poland. Therefore, the Secretary of Defense recommended that the United
States no longer plan to move forward with that architecture.
The Czech Republic and Poland, as close, strategic and steadfast Allies of the United States,
will be central to our continued consultations with NATO Allies on our defense against the
growing ballistic missile threat.
The phased, adaptive approach for missile defense in Europe:
•
Sustains U.S. homeland defense against long-range ballistic missile threats. The
deployment of an advanced version of the SM-3 interceptor in Phase Four of the
approach would augment existing ground-based interceptors located in Alaska and
California, which provide for the defense of the homeland against a potential ICBM
threat.
•
Speeds protection of U.S. deployed forces, civilian personnel, and their accompanying
families against the near-term missile threat from Iran. We would deploy current and
proven technology by roughly 2011—about six or seven years earlier than the previous
plan—to help defend the regions in Europe most vulnerable to the Iranian short- and
medium-range ballistic missile threat.
•
Ensures and enhances the protection of the territory and populations of all NATO
Allies, in concert with their missile defense capabilities, against the current and growing
ballistic missile threat. Starting in 2011, the phased, adaptive approach would
systematically increase the defended area as the threat is expected to grow. In the 2018
timeframe, all of Europe could be protected by our collective missile defense
architecture.
•
Deploys proven capabilities and technologies to meet current threats. SM-3 (Block 1A)
interceptors are deployed on Aegis ships today, and more advanced versions are in
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various stages of development. Over the past four years, we have conducted a number of
tests of the SM-3 IA, and it was the interceptor used in the successful engagement of a
decaying satellite in February 2008. Testing in 2008 showed that sensors we plan to
field bring significant capabilities to the architecture, and additional, planned research
and development over the next few years offers the potential for more diverse and more
capable sensors.
•
Provides flexibility to upgrade and adjust the architecture, and to do so in a costeffective manner, as the threat evolves. Because of the lower per-interceptor costs and
mobility of key elements of the architecture, we will be better postured to adapt this set
of defenses to any changes in threat.
We will work with our Allies to integrate this architecture with NATO members’ missile
defense capabilities, as well as with the emerging NATO command and control network that
is under development. One benefit of the phased, adaptive approach is that there is a high
degree of flexibility—in addition to sea-based assets, there are many potential locations for
the architecture’s land-based elements, some of which will be re-locatable. We plan to
deploy elements in northern and southern Europe and will be consulting closely at NATO
with Allies on the specific deployment options.
We also welcome Russian cooperation to bring its missile defense capabilities into a broader
defense of our common strategic interests. We have repeatedly made clear to Russia that
missile defense in Europe poses no threat to its strategic deterrent. Rather, the purpose is to
strengthen defenses against the growing Iranian missile threat. There is no substitute for Iran
complying with its international obligations regarding its nuclear program. But ballistic
missile defenses will address the threat from Iran’s ballistic missile programs, and diminish
the coercive influence that Iran hopes to gain by continuing to develop these destabilizing
capabilities.
Through the ongoing Department of Defense ballistic missile defense review, the Secretary
of Defense and the Joint Chiefs of Staff will continue to provide recommendations to the
President that address other aspects of our ballistic missile defense capabilities and posture
around the world.3947
At a September 17, 2009, DOD news briefing on the EPAA, General James Cartwright, the Vice
Chairman of the Joint Chiefs of Staff, stated the following:
•
The SM-3 “has had eight successful flight tests since 2007. These tests have
amply demonstrated the SM-3’s capability and have given us greater confidence
in the system and its future.”
•
Regarding the second phase of the proposal, “Consultations have begun with
allies, starting with Poland and the Czech Republic, about hosting a land-based
version of the SM-3 and other components of the system. Basing some
interceptors on land will provide additional coverage and save costs compared to
a purely sea-based approach.”
•
The SM-3 Block 1A “has proven itself in the testing and which we are now
fielding in larger numbers. It is a more capable area-defense weapon. It is more
3947
White House news release, September 17, 2009, entitled “Fact Sheet on U.S. Missile Defense Policy A ‘Phased,
Adaptive Approach’ for Missile Defense in Europe,” available online at http://www.whitehouse.gov/the_press_office/
FACT-SHEET-US-Missile-Defense-Policy-A-Phased-Adaptive-Approach-for-Missile-Defense-in-Europe/.
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aligned with trying to take care of a general area like the area from Philadelphia
down to Washington, D.C., for an analogy.”
•
The SM-3 Block 1B “along with better sensors—and the beginning deployment
of these airborne sensors, should they manifest themselves in the way we think
they will—will allow us to move from a relatively small area—and I talked about
Philadelphia to Washington, D.C.—this would be at least three times larger,
based on the ability of the missile and the sensor packages to address the threats
that are out there.”
•
The SM-3 Block IIA “will allow us, in probably no more than three locations, to
be able to cover the entire land mass of Europe, okay, against intermediate- and
short-range ballistic missiles. ”
•
The SM-3 Block IIB “is an even more energetic capability that will have a
substantial capability to intercept intercontinental ballistic missile type
capabilities emanating from Iran.”
•
“What you can do with an SM-3 in affordability and in deployment and dispersal
is substantially greater for larger numbers of missiles than we what we have with
a ground-based interceptor. A single Aegis can carry a hundred-plus or minus a
few, depending on their mission configuration, of the SM-3. So this is a
substantial addressal of the proliferation of the threat that we're seeing emerge. If
it doesn't emerge, we don't have to build them all, but if it does, we're ready to
basically go after it. And so we've put in place an architecture here that allows us
to be adaptable. It is a global architecture.”
•
Regarding the number of Aegis ships that would be maintained on station near
Europe for BMD purposes, “on a day-in, day-out basis, we're looking probably
for what we would call a 2.0 presence, maybe a 3.0 presence [i.e., two or three
ships on station 12 months out of the year], so [two or] three ships at any given
time in and around the Mediterranean and the North Sea, et cetera, to protect
areas of interest, and then we would surge additional ships. And part of what’s in
the budget is to get us a sufficient number of ships to allow us to have a global
deployment of this capability on a constant basis, with a surge capacity to any
one theater at a time.”
•
Regarding where in Europe land-based SM-3s might be based, “Initially—and
it’s the [SM-3 Block] IB that we would start with, the land-based system, so
about the 2015 time frame. And it’s actually relatively agnostic to the where. And
so the Czech Republic, Poland, are both candidates. It’s certainly something that
they have to have a say in, though, as to whether we go there. There are other
candidates in that region, and then obviously deeper into Europe, that would be
good sites for the SM-3.”4048
Secretary of Defense Robert Gates, who was at the DOD news briefing along with Cartwright,
also addressed the issue of where land-based SM-3s might be based, stating:
4048
Transcript of the September 17, 2009, DOD news briefing with Secretary of Defense Robert Gates and Vice
Chairman of the Joint Chiefs of Staff General James Cartwright, available online at http://www.defenselink.mil/
transcripts/transcript.aspx?transcriptid=4479.
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We still want to partner with Poland. We still want Poland to go forward with the ratification
of the agreements that we have with them, including the SOFA. We would prefer to put the
SM-3s in Poland, in place of the GBI—the ground-based interceptors. That will still involve
a presence of the U.S. They may be there earlier than they would have been with the groundbased interceptors, because, as I said, they would not become operational until probably
2017, 2018. We're talking about 2015 now. So I think that there are—all of the same
opportunities for partnership between the United States and Poland that existed under the
previous program continue to exist under this program.4149
At an October 1, 2009, hearing before the House Armed Services Committee, General James E.
Cartwright, the Vice Chairman of the Joint Chiefs of Staff, and Michèle A. Flournoy, the Under
Secretary of Defense for Policy, stated:
Thank you, Chairman Skelton, Congressman McKeon, and members of the Committee. We
appreciate the opportunity to discuss the Administration’s new approach to missile defense
in Europe, and to set the record straight that the Obama Administration is committed to
deploying timely, cost-effective, and responsive missile defenses to protect the United States,
our deployed forces, as well as our friends and allies against ballistic missiles of all ranges.
We are confident that our new approach represents a dramatic improvement over the
program of record. Under the old plan, we were not going to be able to deploy a European
missile defense system capable of protecting against Iranian missiles until at least 2017.
Under our new plan, we’ll be able to protect vulnerable parts of Europe and the tens of
thousands of US troops stationed there by the end of 2011. We’ll also be creating a far more
flexible missile defense system, one that can be adapted to provide better protection against
emerging threats. And finally, we’ll be able to enhance protections for the U.S. homeland
against possible future threats from long-range ICBMs.
Before going into details, I would like to place this decision about European missile defense
in context. As you know, we are in the midst of several major defense reviews, one of which
is a congressionally-mandated review of our approach to ballistic missile defense. DOD is
leading that review, with active participation from the intelligence community and a number
of other agencies. That review is comprehensive and ongoing; it examines our strategic and
operational approach to missile defense not just in Europe but around the world.
The review is moving forward based on four key principles:
1) We must ensure that US missile defenses are responsive to the threats we face today and
are likely to face in the future, that the technologies we use are proven and effective, and that
our defenses are cost effective;
2) We must maintain and improve defenses for the US and our allies against potential missile
attacks from countries such as Iran and North Korea;
3) We must renew our emphasis on protecting US deployed forces and their dependents in
theater, as well as US Allies and partners against regional threats; and
4) We must continue to make missile defense an important feature of our international
cooperation efforts.
4149
Transcript of the September 17, 2009, DOD news briefing with Secretary of Defense Robert Gates and Vice
Chairman of the Joint Chiefs of Staff General James Cartwright, available online at http://www.defenselink.mil/
transcripts/transcript.aspx?transcriptid=4479.
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The results of the Ballistic Missile Defense Review are not due back to Congress until
January, but as we began our in-depth analysis, it became clear very early that circumstances
had changed fundamentally with regard to missile defense in Europe, so that we would need
to make some significant adjustments to the previous administration’s plans.
Let me start by discussing what has changed since early 2007, when the previous
administration decided to seek deployment of ground-based interceptors in Poland, a
European Mid-Course radar (EMR) in the Czech Republic, and an AN/TPY-2 radar
elsewhere in the region. The decision to move forward with that particular configuration was
made nearly three years ago, based on the threat information and the technologies available
at that time.
Circumstances have changed significantly since early 2007, however.
First, we now have a rather different intelligence picture than we had three years ago,
particularly with regard to Iranian capabilities. And second, we have made major strides in
missile defense technologies and capabilities in just the last few years. We are now in a
position to put an effective missile defense system in place far more rapidly than we were a
few years ago, one that will be far more flexible, adaptable, and capable.
The intelligence community now assesses that the threat from Iran’s short- and mediumrange ballistic missiles is developing more rapidly than previously projected, while the threat
of potential Iranian intercontinental ballistic missile (ICBM) capabilities has been slower to
develop than previously estimated. Iran already possesses hundreds of ballistic missile
capable of reaching neighbors in the Middle East, Turkey and the Caucasus, and is actively
developing and testing missiles that can reach further into Europe. Our intelligence
assessments indicate that the continued production and deployment of these more capable
medium-range missiles has become one of Iran’s highest missile priorities.
In the near-to mid-term, what this means is that the primary threat posed by Iranian missiles
will be to US allies, our 80,000 deployed forces in the Middle East and Europe, and our
civilian personnel and the many accompanying families. And needless to say, this concern is
all the more urgent in light of Iran’s continued uranium enrichment program. Iran continues
to defy international obligations, and there continues to be reason to fear that Iran is seeking
a nuclear weapons option.
We hope that won’t come to pass. But obviously it increases the urgency of developing a
truly effective missile defense system in Europe for the protection of NATO territory and
population and the US homeland. Missile defense is not a substitute for the critically
important diplomatic efforts the U.S. and the international community are already engaged in
with Iran, but strong missile defense can complement diplomatic efforts by providing an
effective deterrent.
As the Secretary of Defense has noted, we understand that intelligence projections can be
wrong, which makes it all the more important for us to have a flexible and adaptable missile
defense system that can evolve with the threat. Iran may change its priorities and capabilities
and ways we can’t entirely predict. So we remain very concerned about Iran’s potential to
develop ICBMs in the future, and part of our approach is to maintain and improve robust
homeland defense capabilities to ensure that we can effectively counter any future ICBM
threats, whether they come from Iran or North Korea or any other adversary.
But I’ll come back to that in a moment. I’ve described the changed intelligence assessments
that lead us to consider short and medium-range missiles the greatest near-term threat. As I
mentioned, however, the threat assessment is not the only thing that has changed since the
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program of record was planned nearly three years ago. The second thing that has changed is
the technologies and capabilities available to us.
Technological developments over the past several years have led to new capabilities,
demonstrated in multiple tests. Improved interceptor capabilities now offer us more flexible
and capable missile defense architecture, and we have also significantly improved our sensor
technologies. That means we now have a variety of better options to detect and track enemy
missiles and guide the interceptor in-flight to enable a successful engagement. As a result,
we now have new and proven missile defense options that were not available even a few
years ago.
The previous plan, approved in early 2007, relied on two large, fixed missile-defense sites,
with 10 ground-based interceptors in Poland and the EMR in the Czech Republic. It was
designed to identify and destroy up to about five to ten long-range missiles, and as noted, the
radar and interceptors called for under the old plan would not have been in place until at least
2017.
Our new approach, which the President adopted on the unanimous recommendation of the
Secretary of Defense and the Joint Chiefs of Staff, will rely on a distributed network of
sensors and SM-3 interceptors. The SM-3 IA has had eight successful tests since 2007, and it
is more than capable of dealing with current threats from even multiple short and mediumrange missiles. It and future variants also have many advantages over a Ground Based
Interceptor (GBI). The SM-3 is much smaller, weighing only about 1 ton compared to the
GBI’s 20 tons. Because it is smaller and fits inside a vertical launch canister, it can be fired
both from Aegis capable ships and, starting with the SM-3IB, from land.
The capability of having a missile defense system that can integrate sensors and interceptor
sites located both at sea and on land offers us geographic flexibility that was unavailable
under the previous plan. Furthermore, the resulting distributed network is more survivable in
the case of an attack than the single large radar and single missile field of the previous plan.
The SM-3 IA and IB, at around $10 million per interceptor, are also much cheaper than a
GBI, which costs around $70 million per interceptor. This means that we can deploy scores
of SM-3 interceptors, again enhancing our defensive capabilities. Since Iran already
possesses hundreds of short and medium range ballistic missiles, this improved defensive
capability is critical.
Our new plan for European missile defense involves a phased, adaptive approach. As our
capabilities and technologies continue to improve, the architecture will evolve and become
ever more capable. Specifically, we are phasing in SM-3 upgrades over time. Each SM-3
upgrade will provide more capability for countering Iranian threats, meaning each upgrade
will be able to defend an increasingly larger area.
Phase 1 of our approach to missile defense in Europe is already underway; the SM-3 Block
IA is already deployed in the fleet. In this first phase of our plan, we can provide SM-3
Block IA capable warships when necessary for the protection of parts of southern Europe. To
enhance protection in Phase 1, we will also rely on a forward based sensor, probably a TPY2 radar. We expect that full Phase I missile defense capability will be possible in 2011.
By including a forward based sensor in Phase 1, we are retaining one of the most significant
contributions to the defense of the United States from the previously proposed architecture.
The forward based sensor will not only help protect the region, but will also contribute to the
defense of the United States homeland by providing early and precise track data to our
Ground-Based Interceptors in Alaska and California.
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In Phase 2, to be completed by 2015, we intend to use a more advanced version of the SM-3
interceptor, the SM-3 Block IB, which is already under development. We will deploy this at
sea and on land. By adding the land-based sites, we will significantly increase coverage of
NATO against ballistic missiles from Iran without having to increase the number of Aegis
BMD ships—a much more cost effective approach.
In Phase 3, we will introduce a new, more capable version of the SM-3, the Block IIA. The
SM-3 Block IIA will provide full coverage of NATO against short, medium, and
intermediate range ballistic missiles. We expect to deploy the SM-3 Block IIA by 2018.
In the final phase, Phase 4, we expect to field an even more-improved SM-3 missile that has
anti-ICBM capabilities. This ascent-phase intercept capability will further augment the
defense of the US homeland from potential Iranian ICBM threats. This phase is planned for
2020.
It is important to note that the SM-3-based defense against any Iranian ICBMs will be in
addition to the GBI-based defense we already have deployed in the United States, at Fort
Greely and Vandenberg AFB. As noted previously, these U.S.-based defenses will be made
more effective by the forward-basing of a TPY-2 radar—which we plan by 2011.
We currently have the ability to defend the United States (including the East Coast) against
any Iranian ICBM, and with the TPY-2 deployment planned in Phase I and continued
improvement of the GBIs, this defense will grow even stronger in the next several years.
While we expect the SM-3-based approach to ICBM defense to be effective on its own, we
also will continue to improve our existing GBI-based system here in the United States and
conduct tests of the 2-stage GBI in the near-term. The SM-3s ascent-phased intercept
capability in Phase 4 would mean that, unlike the previous administration’s GBI-based
system, Iranian missiles would have to defeat not one, but two very different kinds of missile
defenses. This is something I want to underline, since it has at times been misunderstood: we
are already capable of countering all current Iranian missile threats to the US homeland, and
this will not change. Our defenses of the US homeland will only grow stronger as we
proceed with our new approach.
But back to Europe: Over time, we plan on one land-based site in southern Europe and one
somewhere in northern Europe. Given the flexibility of the architecture, there are a number
of options for land-based sites that would provide the same capability, including in Poland.
The mix of sea-and land-based systems makes our new approach far more capable and
adaptable than the program of record, because we can move sensors and interceptors from
region to region as needed. This approach also allows us to scale up our defenses, if
necessary, by deploying additional SM-3 interceptors much faster and at lower costs than by
adding the program of record’s much heavier Ground Based Interceptors and their associated
silos.
In times of crisis, the system can “flex” by surging Aegis capable ships to the area for more
protection and to serve as a visible deterrent. This approach also allows us to deal with a
wider range of potential missile tactics, such as salvo launches. The previous GBI
architecture could intercept about five to ten missiles at most; the new plan’s distributed
network will be able to cope far more effectively should an adversary fire many missiles
simultaneously.
Similarly, replacing the fixed radar site with a mix of sensors that are airborne, seaborne and
ground-based will allow us to gather much more accurate data, and will offer better early
warning and tracking options combined with a stronger networking capacity. Finally,
because it relies on a distributed network of sensors and interceptors, the new approach is
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more survivable—less vulnerable to destruction or disruption—than the previous plan, which
relied on a single large radar and a single interceptor field.
It should be crystal clear that those who say we are “scrapping” missile defense in Europe
are, as Secretary Gates has said, “either misinformed or misrepresenting the reality of what
we are doing.” In fact, we are replacing the previous plan with a phased approach that
delivers more effective and more robust capability sooner.
To sum up: the new Phased Adaptive Approach offers many advantages over the previous
plan for European missile defense. We will now be able to defend the most vulnerable parts
of Europe 6-7 years earlier than the previous plan. Our new approach will be also able to
cover all NATO territory and populations, rather than leaving some allies exposed to shortand medium-range threats. And we will move toward a new additive approach to defending
the United States against any future Iranian ICBM—while continuing to enhance our
existing GBI-based defenses. Overall, our new approach allows us to better respond to
existing threats now—and to better prepare for future threats as they emerge.
Those who assert that the new plan doesn’t uphold U.S. security commitments to friends and
allies, particularly Poland and the Czech Republic, are far off the mark. This is a better
defense for Europe as well as for the United States. All of our missile defense efforts will be
complementary of and interoperable with those being developed by NATO, and the new
architecture we are creating provides many opportunities for alliance-building and burdensharing between the United States and our NATO partners. NATO Secretary General
Rasmussen has hailed our decision as “a positive step”; Polish Prime Minister Donald Tusk
said it offers a real “chance to strengthen Europe’s security.”
We remain firmly committed to strong bilateral relationships with both Poland and the Czech
Republic and have already begun discussions with both nations about their potential roles in
the new missile defense architecture. In the coming weeks, we will have numerous strategic
discussions with the Poles on missile defense and our security arrangements. It is prudent
that we continue to seek Polish ratification of the missile defense basing agreement and
supplemental Status of Forces Agreement.
We are also in discussions with the Czech Republic to ensure that they continue to play a
leadership role on missile defense within the Alliance. We have several joint projects already
underway with our Czech partners, and are discussing several more.
Two weeks ago, in addition to visiting Warsaw and Prague to discuss the Phased, Adaptive
Approach, I briefed the North Atlantic Council on our new approach and emphasized that we
will pursue missile defense in a NATO context. The response was very positive, as
evidenced by the NATO Secretary General’s comments last week that “It is my clear
impression that the American plan on missile defense will involve NATO…to a higher
degree in the future…This is a positive step in the direction of an inclusive and transparent
process, which I also think is in the interest of…the NATO alliance.”
This phased adaptive approach better meets our security needs, and our security
commitments to our European allies and partners. Russia’s positive response to date is a
useful collateral benefit, though we are not sure whether and how it will affect their
perspective on missile defenses. We welcome Russian interest in our new approach as well
as potential cooperation in sharing data from their radars. But this is not about Russia, and
regardless of Russian reactions, we will continue to do whatever it takes to ensure our
security and that of our European partners and allies.
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In closing, it is important to note that the strategic thinking behind our new approach to
European missile defense will also be valuable as we continue to address missile defense
issues in other regions.
Because the type of system we are planning in Europe can be easily adapted to different
geographic constraints, it can be applied in various regions around the globe, if necessary. In
fact, a scaled-down version of this approach is already being used for the defense of Japan
against North Korean missile threats, and for the defense of Israel against an Iranian missile
attack. Because the assets of this system are either mobile or transportable, the new approach
provides future flexibility to reposition interceptors and sensors if the geopolitical
environment changes. And because the systems will be upgraded over time, the new
approach provides a natural evolution to match the threat.
As the President said, “our new missile defense architecture in Europe will provide a
stronger, smarter, and swifter defense of American forces, and America’s allies. It is more
comprehensive than our previous program. It deploys capabilities that are proven (SM-3 IA)
and cost-effective. And it sustains and builds upon our commitment to protect the U.S.
homeland against long-range ballistic missile threats. And it ensures and enhances the
protection of all of our NATO allies.”
Thank you for your time. We will continue to work with you as we move forward on the
Ballistic Missile Defense Review, and I look forward to your questions. 4250
At the same hearing, Lieutenant General Patrick J. O’Reilly, the Director of MDA, stated:
Good morning, Mr. Chairman, Mr. McKeon, distinguished Members of the Committee. I
appreciate the opportunity to testify before you today on the technical and programmatic
details of the President’s decision to use a Phased Adaptive Approach to enhance missile
defense protection for the United States and Europe for our friends, Allies, our forward
deployed forces, civilian personnel, and their families there. This new proposal would
provide a more powerful missile defense capability for NATO, enhance U.S. homeland
defense, would be applicable in other theaters around the world to counter a growing ballistic
missile threat, and would be more adaptable to respond to threat uncertainties and
developments. With the Phased Adaptive Approach, we are not scrapping or diminishing
missile defense—rather we are strengthening it and delivering more capability sooner.
In 2006 the Defense Department proposed a long-range missile defense of Europe that
consisted of four components: a command and control system; 10 Ground Based Interceptors
(or GBIs) in Poland; an X- band discrimination radar in the Czech Republic; and an X-band
precision tracking radar forward based in Southern Europe. Assuming a shot doctrine of two
interceptors against each threat missile, the 2006 proposed missile defense architecture
provided an upper-tier missile defense to intercept five Intermediate Range Ballistic Missiles
(IRBMs) aimed at Europe, or it could intercept five Intercontinental Ballistic Missiles
(ICBMs) aimed at the Continental United States from the Middle East. The most important
component of the 2006 proposed architecture to the defense of the U.S. homeland was the
forward based X-band radar in Southern Europe, which provided early and precise tracking
of threat missiles from the Middle East, increasing the accuracy of the fire control
instructions to our GBIs based at Fort Greely, Alaska and Vandenberg Air Force Base,
California. We remain concerned about a future Iranian ICBM threat; therefore, we are
4250
Opening Statement of VCJCS [General James E. Cartwright, USMC, Vice Chairman, Joint Chiefs of Staff] and
USDP [Honorable Michèle A. Flournoy, Under Secretary of Defense for Policy, Department of Defense] [at] HASC
hearing on European Missile Defense, October 1, 2009, 8 pp.
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retaining the forward-based X-band radar of the 2006 proposed European missile defense
architecture in our new Phased Adaptive Approach proposal. We will also continue to
improve our domestic GBI-based system and conduct research and development for the twostage GBI in the near term.
Under the Phased, Adaptive Approach, we propose defending Europe in phases starting with
the area most vulnerable to today’s Iranian missile threat: southern Europe. Phase 1 would
consist of Aegis ships with Standard Missile (SM)-3 Block IA missiles deployed in the
Mediterranean Sea and a forward-based sensor in southern Europe. This will provide
protection across much of the southern tier of Europe against Iranian medium-range ballistic
missiles.
We propose by 2015 the deployment of the SM-3 Block IB missile, which will have a
greater capacity to use a network of sensors and greater ability to discriminate threat objects.
Once this technology is proven in our test program these interceptors would be deployed at
land- and sea-based locations and extend protection against medium-range ballistic missiles
launched from the Middle East.
By 2018, the deployment of the SM-3 Block IIA missile, an interceptor with greater range
currently being developed, could defend all of Europe from land- and sea-based locations.
By 2020, our goal is to leverage the lightweight kill vehicle technology developed in the now
terminated Multiple Kill Vehicle program to develop a higher velocity SM-3 Block IIB
missile that would destroy ballistic missiles early in flight, during the ascent phase, from
many hundreds of kilometers from the threat launch location. This missile would still fit on
today’s Aegis launch system. With that capability, two land-based SM-3 Block IIB sites
could protect all of Europe. The timelines I have presented allow for missile defense
technologies to be tested and proven prior to deployment decisions.
A significant limitation of the previous European architecture was that the GBIs were used in
both ICBM and IRBM defense roles. Although we have only tested the GBIs against IRBMs
(ranges less than 5,000 km), it is currently our only interceptor designed against ICBMs. The
earliest operational date of the 2006 proposed architecture is 2017 and more likely 2018
considering the host nation approvals that would have been required to construct the
facilities. When deployed in 2017 the European based GBIs could be consumed by an attack
of 5 IRBMs aimed at NATO countries, leaving no two-stage GBIs to contribute to U.S.
ICBM defense. Therefore, the previously proposed European Defense architecture is
insufficient to counter large raid sizes. Under the Phased, Adaptive Approach, the SM-3
Block IIB would be able to accommodate a large IRBM and ICBM missile threat and
diversify the technology that we are using to counter Iranian ICBMs, providing a layered
defense.
We have made significant advances in missile defense technologies that enable the Phased
Adaptive Approach. First, the interceptors we are developing are smaller, faster and have
greater on-board discrimination capability. The sea-based Aegis BMD SM-3 interceptor
would provide a very capable weapon for this particular mission due to its high acceleration,
burn out velocity, proven track record (for the SM-3 IA), and our ability to rapidly increase
the number of interceptors at any launch site. Since we began testing the operationally
configured SM-3 Block 1A missile in June 2006, we successfully intercepted the target in 8
out of 9 attempts. We are also taking a deliberate approach to the development and testing of
the next generation kill vehicle for the SM-3 interceptor, the SM-3 1B, which has a more
advanced seeker and a fire control system that uses external sensors as well as its ship’s
radar. We have already demonstrated the higher risk components of the new kill vehicle: the
solid propellant Divert and Attitude Control System, new seeker, and fire control system
with good results. The first test of the SM-3 1B is scheduled for the winter of 2011.
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The area of greatest opportunity for increased missile defense capability involves our
achievements in developing faster and more accurate Command Control, Battle
Management, and Communication capabilities, which combine data from a network of many
different sensors (especially sensors that track missiles in the early phases of their flight),
rather than using single large radars. Key to our successful intercept of the ailing satellite in
February 2008 was our ability to combine data from sensors around the world and provide a
highly accurate track of the satellite to an Aegis ballistic missile defense ship and launch the
modified SM-3 1A prior to the ship’s radar seeing the satellite. We have had many other
demonstrations of these capabilities to date, to include the most recent intercept test of the
Ground-based Midcourse Defense system last December, when we combined the tracks of
satellites, early warning radars, Sea Based X-band radar and forward-based radars on land
and at sea to provide the GBIs with a very accurate targeting track. Additionally, we have
also demonstrated the capability of Unmanned Aerial Vehicles as highly accurate forwardbased missile defense sensors in the Navy’s “Stellar Daggers” series of intercept tests last
spring. Last week, we launched a pair of demonstration Space Tracking and Surveillance
System (STSS) satellites that will detect and track ballistic missiles over their entire flight.
Over the next few years we will conduct several tests using the tracking capabilities of these
STSS demonstration satellites, including the launching of an interceptor from an Aegis ship,
to intercept ballistic missile targets. Finally, at our External Sensors Laboratory at Schriever
Air Force Base, Colorado, we continue to develop new algorithms and combine new sensor
data to achieve even more accurate tracks than any individual sensor could produce.
A more advanced variant of the SM-3 has been under development since FY 2006. This
interceptor will have the range to defend all of NATO from only a few small sites. This SM3 is also more affordable than GBIs (you can buy four to seven production variants of the
SM-3s (IA or IB) for the cost of one GBI). But the key attribute is that we can launch SM-3s
from sea or sites on land, which gives us great flexibility in locating the interceptor launch
point between the origin of the threat launch and the area we are trying to protect—a key
enabler to intercepting threat missiles early in flight. One advantage of land-based SM-3s
over the previous GBI missile field proposal is that they can be relocated if the direction of
the threat changes rather than waiting the more than five years needed to construct a new
GBI missile field.
I would note that the new Phased Adaptive Approach offers greater opportunities for our
close allies, including Poland and the Czech Republic, to collaborate on the missile defense
architecture—by hosting sites or providing funding or capabilities that could be linked to
provide a network of missile defenses. Likewise, the radars at Armavir and Gabala could
augment the proposed sensor network and that type of cooperation could perhaps be a
catalyst for Russia to join countries participating in our cooperative development of missile
defense technologies.
An additional advantage of the Phased Adaptive Approach is that efforts over the next
several years to develop, test, and procure the sensor, command and control, and interceptor
upgrades for deployment of this architecture have application in the United States and
theaters other than Europe.
We are committed to fully funding this program as we prepare for the next budget
submission to Congress. However, it is important that we have relief from rescissions and the
flexibility to spend the unused FY 2009 RDT&E and some MILCON dollars associated with
the previous European Site proposal. With relief from some of the constraints placed on our
FY 2009 budget and some redirection of FY 2010 funds, we believe we can pursue this new
architecture within our FY 2010 budget request.
I would note that both House and Senate authorizing committees very presciently included
provisions in this year’s National Defense Authorization bill that permit the Department to
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use FY 2009 and FY 2010 funding for an alternative architecture once the Secretary of
Defense certifies that this architecture is as cost-effective, technically reliable, and
operationally available as the previous program. I believe the President’s new plan meets
these criteria and would strongly reinforce NATO’s overall approach to missile defense.
My assessment is that executing this approach is challenging, but no more challenging than
the development of other missile defense technologies. It is more adaptable, survivable,
affordable, and responsive than the previous proposal, and it enhances the resulting defense
of the U.S. homeland and our European Allies. There will be setbacks, but the engineering is
executable and development risks are manageable.
I look forward to discussing the specifics of the Phased, Adaptive Approach with Members
and staff in this and other forums.
Thank you and I look forward to your questions.43
4351
51
Unclassified Statement of Lieutenant General Patrick J. O’Reilly, USA, Director, Missile Defense Agency, Before
the House Armed Services Committee Regarding Missile Defense in Europe, Thursday, October 1, 2009, 9 pp.
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Appendix CB. Aegis BMD Flight Tests
Summary of Test Flights
Table CB-1 presents a summary of Aegis BMD flight tests since January 2002.
Table CB-1. Aegis BMD Flight Tests Since January 2002
Name of
Date
Country
flight test
Exo-atmospheric (using SM-3 missile)
1/25/02
US
FM-2
6/13/02
US
FM-3
11/21/02
US
FM-4
6/18/03
US
FM-5US
FM-5
6/18/03
12/11/03
US
FM-6
2/24/05
US
FTM 04-1 (FM-7)
11/17/05
US
FTM 04-2 (FM-8)
6/22/06
US
FTM 10
US
FTM 11
12/7/06
4/26/07
US
FTM 11 Event 4
6/22/07
US
FTM 12
8/31/07
US
FTM-11a
11/6/07
US
FTM 13
12/17/07
11/1/08
Japan
US
JFTM-1
Pacific Blitz
Target
Successful?
Cumulative
successes
Cumulative
attempts
Unitary TTV short-range target
Unitary TTV short-range target
Unitary TTV short-range target
Unitary TTV short-range target
Unitary TTV short-range target
Unitary TTV short-range target
Separating medium-range target
Separating medium-range target
Unitary TTV short-range target
Unitary ARAV-A short-range target
Separating medium-range target
Classified
Unitary ARAV-A short-range target
Unitary ARAV-A short-range target
Separating medium-range target
Short-range missile target
Short-range missile target
Separating medium-range target
Unitary ARAV-A short-range target
Separating medium-range target
Separating medium-range target
IRBMLV-2 intermediate range target
Short-range missile target
Yes
Yes
Yes
No
Yes
Yes
Yes
Yes
No
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
No
Yes
Yes
Yes
Yes
No
1
2
3
3
4
5
6
7
7
8
9
10
11
12
13
14
14
14
15
16
17
18
18
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
Yes
Yes
Yes
1
2
3
21
1
2
3
25
11/19/08
Japan
JFTM-2
US
FTM-17
7/30/09
10/27/09
Japan
JFTM-326
Japan
JFTM-2
11/19/08
US
FTM-17
7/30/09
Japan
JFTM-3
10/27/09
Japan
JFTM-4
10/28/10
US
FTM-15
4/14
4/15/11
US
FTM-1516
9/1/11
Endo-atmospheric (using SM-2 missile)
5/24/06
US
Pacific Pheonix
Unitary short-range target
6/5/08
US
FTM-14
Unitary short-range target
3/26/09
US
Stellar Daggers
Short-range ballistic missile target
Combined total for exo- and endo-atmospheric above tests
Source: Table adapted from table presented in MDA fact sheet, “Aegis Ballistic Missile Defense Testing,” dated
November 2010, accessed on November 19, 2010, at http://www.mda.mil/global/documents/pdf/aegis_tests.pdf.
Notes: TTV is target test vehicle; ARAV is Aegis Readiness Assessment Vehicle. In addition to the flight tests
shown above, the table in the MDA fact sheet lists the successful use of an SM-3 on February 20, 2008, to
intercept an inoperative U.S. satellite – an operation called Burnt Frost. Including this intercept in the count
increases the totals to 19 successful exo-atmospheric intercepts in 2324 attempts using the SM-3 missile, and 22
successful exo- and endo-atmospheric intercepts in 2627 attempts using both SM-3 and SM-2 Block IV missiles.
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May 2010 Criticism of Claimed Successes in Flight Tests
In a May 2010 magazine article and supplementary white paper, two professors with scientific
backgrounds—George Lewis and Theodore Postol—criticized DOD claims of successes in Aegis
(and other DOD) BMD flight tests, arguing that
the Defense Department’s own test data show that, in combat, the vast majority of
“successful” SM-3 experiments would have failed to destroy attacking warheads. The data
also show potential adversaries how to defeat both the SM-3 and the GMD [ground-based
missile defense] systems, which share the same serious flaws that can be readily exploited by
adversaries.4452
The criticisms made by Lewis and Postol were reported in a May 18, 2010, New York Times
article. 4553 In response to the criticisms and the New York Times article, MDA issued a press release
and other information defending the flight tests and arguing that the criticisms are based on
inaccurate or incomplete information.4654
Details On Selected Exo-Atmospheric (SM-3) Flight Tests
June 22, 2006, Test. This was the first test to use the 3.6 version of the Aegis BMD system. 4755
December 7, 2006, Test. This was the first unsuccessful flight test since June 2003. MDA stated
that the ninth test
was not completed due to an incorrect system setting aboard the Aegis-class cruiser USS
Lake Erie prior to the launch of two interceptor missiles from the ship. The incorrect
configuration prevented the fire control system aboard the ship from launching the first of
the two interceptor missiles. Since a primary test objective was a near-simultaneous launch
of two missiles against two different targets, the second interceptor missile was intentionally
not launched.
The planned test was to involve the launch of a Standard Missile 3 against a ballistic missile
target and a Standard Missile 2 against a surrogate aircraft target. The ballistic missile target
was launched from the Pacific Missile Range Facility, Kauai, Hawaii and the aircraft target
was launched from a Navy aircraft. The USS Lake Erie (CG 70), USS Hopper (DDG 70) and
4452
George N. Lewis and Theodore A. Postol, “A Flawed and Dangerous U.S. Missile Defense Plan,” Arms Control
Today, May 2010: 24-32. The quoted passage appears on p. 26. The associated white paper is George N. Lewis and
Theodore A. Postol, A Technically Detailed Description of Flaws in the SM-3 and GMD Missile Defense Systems
Revealed by the Defense Department’s Ballistic Missile Test Data, May 3, 2010, 13 pp.
4553
William J. Broad and David E. Sanger, “Review Cites Flaws In U.S. Antimissile Program,” New York Times, May
18, 2010: 1.
4654
Missile Defense Agency news release entitled “Missile Defense Agency Responds to New York Times Article,” 10News-0005, May 18, 2010; Missile Defense Agency, Missile Defense Agency Response to Request for Information,
Standard Missile – 3 Interceptor Testing, May 18, 2010, 2 pp.; Missile Defense Agency, Missile Defense Agency
Response to Request for Information, Response to New York Times May 18, 2010, Article Regarding SM-3 Testing,
May 18, 2010, 3 pp.; Richard Lehner, “Missile Defense Agerncy Responds to New York Times Article,” DOD Live
(http://www.dodlive.mil), May 18, 2010; Transcript of Department of Defense Bloggers Roundtable With Richard
Lehner, Spokesman, Missile Defense Agency (MDA), Subject: Standard Missile 3 Test Program, May 18, 2010.
4755
Missile Defense Agency, “Missile Defense Test Results in Successful ‘Hit To Kill’ Intercept,” June 22, 2006 (06NEWS-0018).
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the Royal Netherlands Navy frigate TROMP were all successful in detecting and tracking
their respective targets. Both targets fell into the ocean as planned.
After a thorough review, the Missile Defense Agency and the U.S. Navy will determine a
new test date.4856
A news article about the ninth test stated:
“You can say it’s seven of nine, rather than eight of nine,” Missile Defense Agency
spokesman Chris Taylor said of the second failure in tests of the system by the agency and
the Navy....
The drill was planned to demonstrate the Navy’s ability to knock down two incoming
missiles at once from the same ship.
“In a real world situation it is possible, maybe even probable, that in addition to engaging a
ballistic missile threat that was launched, you may be engaging a surface action,” said Joe
Rappisi before the test. He is director for the Aegis Ballistic Missile Defense system at
Lockheed Martin, the primary contractor for the program.
The test would have marked the first time a ship has shot down one target in space and
another target in the air at the same time.
The test presented a greater challenge to the ship’s crew and the ballistic missile defense
system than previous tests, Rappisi said. The multiple target scenario is also closer to what
sailors might actually face in battle.
The U.S. Pacific Fleet has been gradually installing missile surveillance and tracking
technology on many of its destroyers and cruisers amid concerns about North Korea’s longrange missile program.
It is also installing interceptor missiles on many of its ships, even as the technology to track
and shoot down incoming missiles is being developed and perfected.
The Royal Netherlands Navy joined the tracking and monitoring off Kauai to see how its
equipment works. The Dutch presence marked the first time a European ally has sent one of
its vessels to participate in a U.S. ballistic missile defense test.4957
A subsequent news article stated:
the test abort of the Aegis Ballistic Missile Defense system Dec. 7 resulted from human
error, [MDA Director USAF Lt. Gen. Henry] Obering says.... Both the ballistic missile and
aircraft targets launched as planned, but the first interceptor failed to fire because an operator
had selected an incorrect setting for the test. Officials then aborted before the second could
boost.
Aegis missile defense system tests are at a standstill until officials are able to identify an
appropriate ballistic missile target. The one used Dec. 7 was the last of its kind, Obering
says, leaving them empty handed in the near future.50
48
4958
56
57
Untitled Missile Defense Agency “For Your Information” statement dated December 7, 2006 (06-FYI-0090).
David Briscoe, “Test Interceptor Missile Fails To Launch,” NavyTimes.com, December 8, 2006.
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Another article stated:
Philip Coyle, a former head of the Pentagon’s testing directorate, gives the Navy credit for
“discipline and successes so far” in its sea-based ballistic missile defense testing program.
Coyle is now a senior adviser at the Center for Defense Information.
“The U.S. Navy has an enviable track record of successful flight intercept tests, and is
making the most of its current, limited Aegis missile defense capabilities in these tests,”
Coyle told [Inside the Navy] Dec. 7.
“Difficulties such as those that delayed the latest flight intercept attempt illustrate the
complexity of the system, and how everything must be carefully orchestrated to achieve
success,” Coyle added. “Nevertheless, this particular setback won’t take the Navy long to
correct.”5159
April 26, 2007, Test. MDA states that this test:
involved the simultaneous engagements of a ballistic missile “unitary” target (meaning that
the target warhead and booster remain attached) and a surrogate hostile air target....
The test demonstrated the [Aegis ship’s] ability to engage a ballistic missile threat and
defend itself from attack at the same time. The test also demonstrated the effectiveness of
engineering, manufacturing, and mission assurance changes in the solid divert and attitude
control system (SDACS) in the kinetic kill weapon. This was the first flight test of all the
SM-3 Block IA’s upgrades, previously demonstrated in ground tests.5260
A press report on the test stated that the hostile air target was an anti-ship cruise missile. The
article stated that the scenario for the test
called for the [Aegis ship] to come under attack from a cruise missile fired by an enemy
plane.... A Navy plane fired the cruise missile target used in the test.5361
June 22, 2007, Test. MDA states that this test
was the third intercept involving a separating target and the first time an Aegis BMDequipped destroyer was used to launch the interceptor missile. The USS Decatur (DDG 73),
using the operationally-certified Aegis Ballistic Missile Defense Weapon System (BMD 3.6)
and the Standard Missile-3 (SM-3) Block IA missile successfully intercepted the target
during its midcourse phase of flight....
An Aegis cruiser, USS Port Royal (CG 73), a Spanish frigate, MÉNDEZ NÚÑEZ (F-104),
and MDA’s Terminal High Altitude Area Defense (THAAD) mobile ground-based radar
also participated in the flight test. USS Port Royal used the flight test to support development
(...continued)
5058
Amy Butler, “GMD Trial Delayed Until Spring; Aegis Failure Human Error,” Aerospace Daily & Defense Report,
December 19, 2006.
5159
Zachary M. Peterson, “Sea-Based Missile Defense Test Fails Due To ‘Incorrect Configuration,’” Inside the Navy,
December 11, 2006.
5260
Missile Defense Agency, “Successful Sea-Based Missile Defense ‘Hit to Kill’ Intercept,” April 26, 2007 (07-NEWS0032).
5361
Audrey McAvoy, “Aegis Missile Test Successful,” NavyTimes.com, April 27, 2007.
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of the new Aegis BMD SPY-1B radar signal processor, collecting performance data on its
increased target detection and discrimination capabilities. MÉNDEZ NÚÑEZ, stationed off
Kauai, performed long-range surveillance and track operations as a training event to assess
the future capabilities of the F-100 Class. The THAAD radar tracked the target and
exchanged tracking data with the Aegis BMD cruiser.
This event marked the third time that an allied military unit participated in a U.S. Aegis
BMD test, with warships from Japan and the Netherlands participating in earlier tests.5462
August 31, 2007, Test. MDA has publicly noted the occurrence of this test and the fact that it
resulted in a successful intercept,5563 but states that the details about the test are classified. 5664 MDA
does not appear to have issued a news release about this flight test following the completion of
the test, as it has for other Aegis BMD flight tests.5765
November 6, 2007, Test. MDA states that this test involved:
a multiple simultaneous engagement involving two ballistic missile targets.... For the first
time, the operationally realistic test involved two unitary “non-separating” targets, meaning
that the target’s warheads did not separate from their booster rockets....
At approximately 6:12 p.m. Hawaii Standard Time (11:12 p.m. EST), a target was launched
from the Pacific Missile Range Facility (PMRF), Barking Sands, Kauai, Hawaii. Moments
later, a second, identical target was launched from the PMRF. The USS Lake Erie’s Aegis
BMD Weapon System detected and tracked the targets and developed fire control solutions.
Approximately two minutes later, the USS Lake Erie’s crew fired two SM-3 missiles, and
two minutes later they successfully intercepted the targets outside the earth’s atmosphere
more than 100 miles above the Pacific Ocean and 250 miles northwest of Kauai....
A Japanese destroyer also participated in the flight test. Stationed off Kauai and equipped
with the certified 3.6 Aegis BMD weapon system, the guided missile destroyer JS Kongo
performed long-range surveillance and tracking exercises. The Kongo used the test as a
training exercise in preparation for the first ballistic missile intercept test by a Japanese ship
planned for later this year. This event marked the fourth time an allied military unit
participated in a U.S. Aegis BMDS test.58
5466
62
Missile Defense Agency, “Sea-Based Missile Defense ‘Hit to Kill’ Intercept Achieved,” June 22, 2007 (07-NEWS0037).
5563
See for example, slide 8 in the 20-slide briefing entitled “Ballistic Missile Defense Program Overview For The
Congressional Breakfast Seminar Series,” dated June 20, 2008, presented by Lieutenant General Trey Obering, USAF,
Director, Missile Defense Agency. Source for briefing: InsideDefense.com (subscription required). Each slide in the
briefing includes a note indicating that it was approved by MDA for public release on June 13, 2008. Slide 8 lists Aegis
BMD midcourse flight tests conducted since September 2005, including a test on August 31, 2007. The slide indicates
with a check mark that the flight test was successful. A success in this test is also needed to for the total number of
successful intercepts to match the reported figure.
5664
An email from MDA to CRS dated June 30, 2008, states that the flight test “was a hit to kill intercept test but details
about the test are classified.”
5765
MDA’s website, when accessed on June 30, 2008, did not show a news release issued on of soon after August 31,
2007, that discusses this test.
5866
Missile Defense Agency, “Sea-Based Missile Defense “Hit to Kill” Intercept Achieved,” November 6, 2007 (07NEWS-0051).
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December 17, 2007, Test. In this flight test, a BMD-capable Japanese Aegis destroyer used an
SM-3 Block IA missile to successfully intercept a ballistic missile target in a flight test off the
coast of Hawaii. It was the first time that a non-U.S. ship had intercepted a ballistic missile using
the Aegis BMD system. 5967
November 1, 2008, Test. This flight test was reportedly the first U.S. Navy Aegis BMD flight test
conducted by the Navy, without oversight by MDA. The test involved two Aegis ships, each
attempting to intercept a ballistic missile. The SM-3 fired by the first Aegis ship successfully
intercepted its target, but the SM-3 fired by the second Aegis ship did not intercept its target. A
press release from the U.S. Third Fleet (the Navy’s fleet for the Eastern Pacific) states that:
Vice Adm. Samuel J. Locklear, Commander, U.S. Third Fleet announced today the
successful Navy intercept of a ballistic missile target over the Pacific Ocean during Fleet
Exercise Pacific Blitz. This was the first Fleet operational firing to employ the Standard
Missile-3 (SM-3) against a ballistic missile target. Command and control of this mission
resided with Commander, U.S. Third Fleet, based in San Diego, Calif.
Pearl Harbor-based Aegis destroyers, USS Paul Hamilton (DDG 60) and USS Hopper (DDG
70), which have been upgraded to engage ballistic missiles, fired SM-3 missiles at separate
targets. During this event, a short-range ballistic missile target was launched from the Pacific
Missile Range Facility (PMRF), Barking Sands, Kauai, Hawaii. Upon detecting and tracking
the target, USS Paul Hamilton, launched a SM-3 missile, resulting in a direct-hit intercept.
Following USS Paul Hamilton’s engagement, PMRF launched another target. USS Hopper
successfully detected, tracked and engaged the target. The SM-3 followed a nominal
trajectory, however intercept was not achieved. Extensive analysis of the flight mission will
be used to improve the deployed Aegis BMD system.6068
November 19, 2008, Test. This was the second Japanese flight test, and involved a single ballistic
missile target. The test did not result in a successful intercept. MDA states that:
Rear Admiral Tomohisa Takei, Director General of Operations and Plans, for the Japanese
Maritime Staff Office (MSO), Japan Maritime Self Defense Force (JMSDF), and Lt. General
Henry “Trey” Obering, United States Missile Defense Agency director, announced the
completion today of a cooperative sea-based Aegis Ballistic Missile Defense intercept flight
test off the coast of Kauai in Hawaii. The event, designated Japan Flight Test Mission 2
(JFTM-2), marked the second attempt by an Allied naval ship to intercept a ballistic missile
target with the sea-based midcourse engagement capability provided by Aegis Ballistic
Missile Defense. Target performance, interceptor missile launch and flyout, and operation of
the Aegis Weapon System by the crew were successful, but an intercept was not achieved.
The JFTM-2 was a test of the newest engagement capability of the Aegis Ballistic Missile
Defense configuration of the recently upgraded Japanese destroyer, JS CHOKAI (DDG176). At approximately 4:21 pm (HST), 11:21 am (Tokyo time) a ballistic missile target was
launched from the Pacific Missile Range Facility, Barking Sands, Kauai, Hawaii. JS
CHOKAI crew members detected and tracked the target using an advanced on-board radar.
5967
John Liang, “Japanese Destroyer Shoots Down Ballistic Missile Test Target,” Inside Missile Defense, December 19,
2007; “Japanese Aegis Destroyer Wins Test By Killing Target Missile With SM-3 Interceptor,” Defense Daily,
December 18, 2007; Reuters, “Japanese Ship Downs Missile In Pacific Test,” New York Times, December 18, 2007: 8;
Audrey McAvoy, “Japan Intercepts Missile In Test Off Hawaii,” NavyTimes.com, December 17, 2007.
6068
Commander, U.S. Third Fleet, Public Affairs Office, press release 23-08, dated November 1, 2008, entitled “Navy
Intercepts Ballistic Missile Target in Fleet Exercise Pacific Blitz.” See also Dave Ahearn, “One of Two Missiles Hit In
Aegis Test; Navy For First Time Runs Test Instead of MDA,” Defense Daily, November 4, 2008: 1-2.
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The Aegis Weapon System then developed a fire control solution, and at approximately 4:24
pm (HST), 11:24 am (Tokyo time) on Nov 20, a single Standard Missile -3 (SM-3) Block IA
was launched. Approximately two minutes later, the SM-3 failed to intercept the target.
There is no immediate explanation for the failed intercept attempt. More information will be
available after a thorough investigation. The JS CHOKAI crew performance was excellent in
executing the mission. JFTM-2 was the second time that a Japanese ship was designated to
launch the interceptor missile, a major milestone in the growing cooperation between Japan
and the U.S.6169
A November 21, 2008, press report states that:
An Aegis ballistic missile defense (BMD) test by the Japanese destroyer Chokai (DDG-176)
ended in failure when the Standard Missile-3 Block 1A interceptor lost track of the target
missile in the final seconds before a planned hit-to-kill.
The Chokai and its crew performed well throughout the test, and the SM-3 also performed
flawlessly through its first three stages, according to Rear Adm. Brad Hicks, the U.S. Navy
Aegis ballistic missile defense program director. He spoke with several reporters in a
teleconference around midnight ET Wednesday-Thursday, after the test in the area of the
Pacific Missile Range Facility, Barking Sands, Kauai, Hawaii.
This was the second Aegis BMD test failure in less than a month.
These latest two failures come as some Democrats in Congress are poised to cut spending on
missile defense programs when they convene next year to consider the Missile Defense
Agency budget for the fiscal year ending Sept. 30, 2010....
Still, in the coming money debates next year, missile defense advocates will be able to point
out that even including the Hopper and Chokai failures, the record for the Aegis tests is an
overwhelming 16 successful hits demolishing target missiles out of 20 attempts.
Those successes included the first Japanese attempt. The Japanese destroyer Kongo (DDG173) successfully used its SM-3 interceptor to kill a target missile. The difference in tests is
that the Kongo crew was advised beforehand when the target missile would be launched,
while the Chokai crew wasn’t....
[Hicks] said a board will be convened to examine why the latest test failed. Hicks declined to
speculate on why the SM-3 interceptor missed the target. “I’m confident we’ll find out the
root cause” of the Chokai interceptor failure to score a hit, he said.
However, he was asked by Space & Missile Defense Report whether the prior SM-3
successes make it unlikely the Chokai failure stems from some basic design flaw in all SM3s, and whether it is more likely that the Chokai SM-3 failed because of some flaw or glitch
in just that one interceptor.
Hicks said that is likely.
“Obviously, we believe this is hopefully related to this one interceptor,” and doesn’t reflect
any basic design flaw in the SM-3 interceptors, he said.
6169
Missile Defense Agency press release 08-News-0087, dated November 19, 2008, entitled “Japan/U.S. Missile
Defense Flight Test Completed.”
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The Chokai test failure cost Japan a $55 million loss, he said, adding, “It wasn’t cheap.”...
In the Chokai test, the target missile was launched from Barking Sands, and about three
minutes later the Chokai crew had spotted the target, the Aegis system had developed a
tracking and hit solution, and the SM-3 interceptor was launched.
The first, second and third stages of the interceptor performed nominally, without problems,
but then came the fourth stage. The nosecone components opened to expose the kill vehicle
area, and somehow the program to track the target missile failed.
“It lost track,” Hicks said, only seconds before the hit would have been achieved.
If the kill had occurred, it would have been about 100 nautical miles (roughly 115 statute
miles) above Earth, and some 250 miles away from Barking Sands, Hicks said.
It took the interceptor about two minutes flight time to reach the near miss with the target
missile.
Meanwhile, the Hamilton was nearby watching the test. The Hamilton Aegis system
successfully spotted and tracked the target, and developed a simulated solution and simulated
interceptor launch that, if it had been real, would have resulted in a successful hit on the
target, Hicks said. The Hamilton didn’t cue the Chokai, however. “It was strictly Chokai’s
engagement,” Hicks said.6270
July 30, 2009, Test. MDA states that:
In conjunction with the Missile Defense Agency (MDA), U.S. Pacific Fleet ships and crews
successfully conducted the latest Aegis Ballistic Missile Defense (BMD) at-sea firing event
on July 30. During this event, entitled Stellar Avenger, the Aegis BMD-equipped ship, USS
Hopper (DDG 70), detected, tracked, fired and guided a Standard Missile -3 (SM-3) Block
(Blk) IA to intercept a sub-scale short range ballistic missile. The target was launched from
the Kauai Test Facility, co-located on the Pacific Missile Range Facility (PMRF), Barking
Sands, Kauai. It was the 19th successful intercept in 23 at-sea firings, for the Aegis BMD
Program, including the February 2008 destruction of the malfunctioning satellite above the
earth’s atmosphere. Stellar Avenger was part of the continual evaluation of the certified and
fielded Aegis BMD system at-sea today.
At approximately 5:40 pm (HST), 11:40 pm (EDT), a target was launched from PMRF.
Three U.S. Navy Aegis BMD-equipped ships, the cruiser, USS Lake Erie (CG 70) and
destroyers USS Hopper (DDG 70) and USS O'Kane (DDG 77) detected and tracked the
target with their SPY radars. Each developed fire control solutions. At 5:42 pm (HST), 11:42
pm (EDT) the crew of USS Hopper fired one SM-3 Blk IA missile. The USS Hopper’s Aegis
BMD Weapon System successfully guided the SM-3 to a direct body to body hit,
approximately two minutes after leaving the ship. The intercept occurred about 100 miles
above the Pacific Ocean. USS O'Kane conducted a simulated engagement of the target. USS
Lake Erie, with its recently installed upgraded Aegis BMD 4.0.1 Weapons System, detected
and tracked the same target.63
6271
70
Dave Ahearn, “Japanese Aegis Missile Defense Test Fails, But Aegis Record Is 16 Hits In 20 Tries,” Defense Daily,
November 21, 2008: 5-6.
6371
Missile Defense Agency press release 09-News-0015, dated July 31, 2009, entitled “Aegis Ballistic Missile Defense
Test Successful.”
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A July 31, 2009, press report states:
The test was the first Aegis BMD exercise to feature two versions of the software in a single
event, according to Lisa Callahan, Lockheed’s vice president for ballistic missile defense
programs.
A goal of the exercises was to test the Aegis system’s ability to discern all the different parts
and pieces of a ballistic missile, Nick Bucci, Lockheed’s director for Aegis BMD
development programs, told reporters July 29 during a pre-exercise conference call.
Three more flight tests this fall will further test the system’s discrimination capabilities,
Bucci added, with each test becoming more complex. The last test will “be against a pretty
darn complex target,” he said.
The July 30 tests also validated fixes put in place after a BMD test last November involving
a missile launched from the Aegis BMD Japanese destroyer Chokai failed to intercept its
target, according to MDA spokesman Chris Taylor. The improvements—which were
successful in the most recent test—involved fixes to the Solid Divert Attitude Control
System.
The Chokai is the second of four Japanese Aegis ships being upgraded with BMD capability.
A third ship, the Myoko, is scheduled to carry out a BMD test this fall.6472
An August 3, 2009, press report states:
This test was added to the schedule to evaluate changes made after last year’s failed attempt
to intercept a target with an SM-3 Block IA launched by a Japanese Aegis-equipped ship ....
After the Nov. 19 test, MDA officials said, “Target performance, interceptor missile launch
and flyout, and operation of the Aegis Weapon System by the crew were successful, but an
intercept was not achieved.”
A root cause has not been identified, and an MDA spokesman did not say whether fixes have
been made to hardware or operational procedures resulting from the failure review. It is also
unclear why a subscale target was used in the July 30 trial.6573
An August 4, 2009, press report states:
[Rear Admiral Alan “Brad” Hicks, Aegis/SM-3 program manager for MDA], said that a
November [2008] failure of an SM-3 Block IA... during a flight-test was attributable to poor
adherence to processes on Raytheon’s assembly line in Tucson, Ariz.
This was isolated to that missile, and it was the result of perturbations to the build process
encountered when shifting from development to production operations.
During the November test, a Japanese Aegis-equipped ship fired the interceptor and it flew
“perfectly,” Hicks said. In the endgame, a failure of the divert and attitude control system on
the unitary kill vehicle led to a miss.
The July 30 demonstration using a U.S. ship “restored confidence” for the Japanese that the
miss last fall was an isolated incident, he says. 66
64
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72
73
Christopher P. Cavas, “Aegis BMD Test Successful,” DefenseNews.com, July 31, 2009.
Amy Butler, “SM-3 Scores Hit After Fixes Implemented,” Aerospace Daily & Defense Report, August 3, 2009: 5.
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October 27, 2009, Test. This was the third Japanese flight test, and it involved a single ballistic
missile target. MDA states that:
The Japan Maritime Self-Defense Force (JMSDF) and the United States Missile Defense
Agency (MDA) announced the successful completion of an Aegis Ballistic Missile Defense
(BMD) intercept flight test, in cooperation with the U.S. Navy, off the coast of Kauai in
Hawaii. The event, designated Japan Flight Test Mission 3 (JFTM-3), marked the third time
that a JMSDF ship has successfully engaged a ballistic missile target, including two
successful intercepts, with the sea-based midcourse engagement capability provided by
Aegis BMD.
The JFTM-3 test event verified the newest engagement capability of the Japan Aegis BMD
configuration of the recently upgraded Japanese destroyer, JS MYOKO (DDG-175). At
approximately 6:00pm (HST), 1:00 pm Tokyo time on Oct 28, a separating, medium-range
ballistic missile target was launched from the Pacific Missile Range Facility, Barking Sands,
Kauai, Hawaii. JS MYOKO crew members detected and tracked the target. The Aegis
Weapon System then developed a fire control solution and, at approximately 6:04pm (HST),
1:04 pm Tokyo time a Standard Missile-3 (SM-3) Block IA interceptor missile was
launched. Approximately 3 minutes later, the SM-3 successfully intercepted the target
approximately 100 miles above the Pacific Ocean. JFTM-3 is a significant milestone in the
growing cooperation between Japan and the U.S. in the area of missile defense.
Also participating in the test, were the Pearl Harbor-based USS Lake Erie (CG 70) and USS
Paul Hamilton (DDG 60) which detected and tracked the target and conducted a simulated
engagement.6775
October 28, 2010, Test. This was the fourth Japanese flight test, and it involved a single ballistic
missile target. MDA states that:
The Japan Maritime Self-Defense Force (JMSDF) and the United States Missile Defense
Agency (MDA) announced the successful completion of an Aegis Ballistic Missile Defense
(BMD) intercept flight test, in cooperation with the U.S. Navy, off the coast of Kauai in
Hawaii.
The event marked the fourth time that a JMSDF ship has engaged a ballistic missile target,
including three successful intercepts, with the sea-based midcourse engagement capability
provided by Aegis BMD.
The JFTM-4 test event verified the newest engagement capability of the Japan Aegis BMD
configuration of the recently upgraded Japanese destroyer, JS KIRISHIMA. At
approximately 5:06 p.m. (HST), 12:06 p.m. Tokyo time on Oct. 29, 2010, a separating 1,000
km class ballistic missile target was launched from the Pacific Missile Range Facility at
Barking Sands, Kauai, Hawaii.
(...continued)
6674
Amy Butler, “SM-3 Upgrade Program Cost Increases,” Aerospace Daily & Defense Report, August 4, 2009: 1-2. See
also Dan Taylor, “Navy Conducts Aegis BMD Test, New Baseline System Participates,” Inside the Navy, August 3,
2009; Daniel Wasserbly, “US Aegis BMD System Achieves Trial Success,” Jane’s Defence Weekly, August 5, 2009: 8.
6775
Missile Defense Agency press release 09-News-0021, dated October 28, 2009, entitled “Japan/U.S. Missile Defense
Flight Test Successful.” See also Christopher P. Cavas, “Japanese Destroyer Conducts Successful BMD Test,”
NavyTimes.com, October 28, 2009; and Amy Butler and Michael Bruno, “SM-3 Scores Hit In Japanese Test,”
Aerospace Daily & Defense Report,” October 29, 2009: 3.
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JS KIRISHIMA crew members detected and tracked the target. The Aegis Weapon System
then developed a fire control solution and launched a Standard Missile -3 (SM-3) Block IA
missile. Approximately three minutes later, the SM-3 successfully intercepted the target
approximately 100 miles above the Pacific Ocean. JFTM-4 is a significant milestone in the
growing cooperation between Japan and the U.S. in the area of missile defense.
Also participating in the test was USS LAKE ERIE and USS RUSSELL, Aegis ships which
cooperated to detect, track and conduct a simulated intercept engagement against the same
target.6876
April 15, 2011, Test. MDA states that this flight test “was the most challenging test to date, as it
was the first Aegis BMD version 3.6.1 intercept against an intermediate-range target (range 1,864
to 3,418 [statute] miles) and the first Aegis BMD 3.6.1 engagement relying on remote tracking
data.” MDA states that:
The Missile Defense Agency (MDA), U.S. Navy sailors aboard the Aegis destroyer USS
O’KANE (DDG 77), and Soldiers from the 94th Army Air and Missile Defense Command
operating from the 613th Air and Space Operations Center at Hickam Air Force Base,
Hawaii, successfully conducted a flight test of the Aegis Ballistic Missile Defense (BMD)
element of the nation’s Ballistic Missile Defense System, resulting in the intercept of a
separating ballistic missile target over the Pacific Ocean. This successful test demonstrated
the capability of the first phase of the European Phased Adaptive Approach (EPAA)
announced by the President in September, 2009.
At 2:52 a.m. EDT (6:52 p.m. April 15 Marshall Island Time), an intermediate-range ballistic
missile target was launched from the Reagan Test Site, located on Kwajalein Atoll in the
Republic of the Marshall Islands, approximately 2,300 miles southwest of Hawaii. The target
flew in a northeasterly direction towards a broad ocean area in the Pacific Ocean. Following
target launch, a forward-based AN/TPY-2 X-band transportable radar, located on Wake
Island, detected and tracked the threat missile. The radar sent trajectory information to the
Command, Control, Battle Management, and Communications (C2BMC) system, which
processed and transmitted remote target data to the USS O’KANE. The destroyer, located to
the west of Hawaii, used the data to develop a fire control solution and launch the SM-3
Block IA missile approximately 11 minutes after the target was launched.
As the IRBM target continued along its trajectory, the firing ship’s AN/SPY-1 radar detected
and acquired the ballistic missile target. The firing ship’s Aegis BMD weapon system
uplinked target track information to the SM-3 Block IA missile. The SM-3 maneuvered to a
point in space as designated by the fire control solution and released its kinetic warhead. The
kinetic warhead acquired the target, diverted into its path, and, using only force of a direct
impact, destroyed the threat in a “hit-to-kill” intercept.
During the test the C2BMC system, operated by Soldiers from the 94th Army Air and Missile
Defense Command, received data from all assets and provided situational awareness of the
engagement to U.S. Pacific Command, U.S. Northern Command and U.S. Strategic
Command.
6876
Missile Defense Agency press release 10-News-0016, dated October 29, 2010, entitled “Joint Japan-U.S. Missile
Defense Flight Test Successful.” See also Marina Malenic, “Japanese Aegis Destroyer Successfully Completes MissileIntercept Test,” Defense Daily, November 1, 2010: 6.
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The two demonstration Space Tracking and Surveillance Satellites (STSS), launched by
MDA in 2009, successfully acquired the target missile, providing stereo “birth to death”
tracking of the target.
Today’s event, designated Flight Test Standard Missile-15 (FTM-15), was the most
challenging test to date, as it was the first Aegis BMD version 3.6.1 intercept against an
intermediate-range target (range 1,864 to 3,418 [statute] miles) and the first Aegis BMD
3.6.1 engagement relying on remote tracking data. The ability to use remote radar data to
engage a threat ballistic missile greatly increases the battle space and defended area of the
SM-3 missile.
Initial indications are that all components performed as designed. Program officials will
spend the next several months conducting an extensive assessment and evaluation of system
performance based upon telemetry and other data obtained during the test. 6977
September 1, 2011, Test. This flight test, which did not result in an intercept, was the first flight
test of the SM-3 Block IB interceptor. MDA states that it
was unable to achieve the planned intercept of a ballistic missile target during a test over the
Pacific Ocean exercising the sea-based element of the Ballistic Missile Defense System
(BMDS).
At approximately 3:53 a.m. Hawaii Standard Time (9:53 a.m. EDT) a short-range ballistic
missile target was launched from the U.S. Navy’s Pacific Missile Range Facility on Kauai,
Hawaii. Approximately 90 seconds later, a Standard Missile 3 (SM-3) Block 1B interceptor
missile was launched from the cruiser USS LAKE ERIE (CG-70) but an intercept of the
target was not achieved.
This was the first flight test of the advanced SM-3 Block 1B interceptor missile. Program
officials will conduct an extensive investigation to determine the cause of the failure to
intercept.78
Endo-Atmospheric (SM-2 Block IV) Flight Tests
The Aegis BMD system using the SM-2 Block IV interceptor has achieved three successful endoatmospheric intercepts in three at-sea attempts, the first occurring on May 24, 2006,7079 the second
on June 5, 2008,7180 and the third between March 24 and March 26, 2009.72
Author Contact Information
Ronald O'Rourke
Specialist in Naval Affairs
rorourke@crs.loc.gov, 7-7610
69
81
77
Missile Defense Agency press release 11-News-0007, dated April 15, 2011, entitled “Sea-based Missile Defense
Flight Test Results in Successful Intercept.”
7078
Missile Defense Agency press release 11-News-0016, dated September 1, 2011, entitled “Sea-Based Missile Defense
Test Conducted.” See also Amy Butler, “Upgraded Ballistic Missile Killer Fizzles In First Flight Test,” Aerospace
Daily & Defense Report, September 2, 2011: 3; and Mike McCarthy, “Sea-Based Missile Defense Test Fails,” Defense
Daily, September 2, 2011: 2-3.
79
See Missile Defense Agency, “First at-Sea Demonstration of Sea-Based Terminal Capability Successfully
Completed,” May 24, 2006 (06-FYI-0079); Gregg K. Kakesako, “Missile Defense System Makes History,” Honolulu
Star-Bulletin, May 25, 2006; Audrey McAvoy, “Ship Shoots Down Test Missile For The First Time,” NavyTimes.com,
May 25, 2006; “Navy, MDA Announce First Terminal Sea-Based Intercept,” Aerospace Daily & Defense Report, May
26, 2006; Zachary M. Peterson, “Navy Conducts First Sea-Based Terminal Phase Missile Defense Test,” Inside the
Navy, May 29, 2006; and Jeremy Singer, “Sea-Based Terminal May Boost U.S. Missile Defense Capability,” Space
News (www.space.com), June 12, 2006.
7180
See Missile Defense Agency, “Successful Sea-Based Missile Defense Intercept,” June 5, 2008 (08-NEWS-0068);
(continued...)
Congressional Research Service
72
Navy Aegis Ballistic Missile Defense (BMD) Program
Author Contact Information
Ronald O'Rourke
Specialist in Naval Affairs
rorourke@crs.loc.gov, 7-7610
(...continued)
Dave Ahearn, “Aegis, SM-2 Interceptors Kill Target Missile In Terminal-Phase Success,” Defense Daily, June 6, 2008.
7281
“Navy Completes Air and Ballistic Missile Exercise,” Navy News Service, March 26, 2009.
Congressional Research Service
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