The operations thus developed are now listed in a definite sequence, in order to provide a proper basis for the further procedure. The commander may find it desirable to state them in their order of importance. Sometimes, however, it may be found advantageous to list the operations in chronological sequence, i.e., in the order of their execution. This point is further discussed hereafter (pages 166 and 192). The commander is at liberty, of course, to use either method according to its helpfulness in enabling him to visualize the elements of his problem.

* * * * *

The commander now considers the second feature: advantageous relative positions. He may already occupy an advantageous geographical location or locations (see pages 64 (bottom) and 65 (top)), or he may desire to improve his positions in certain respects. An advantageous position might be between the enemy and his base, in order to deny it to him. Another advantageous position might be to windward of the enemy, for the purpose of making a destroyer attack under the protection of a smoke screen.

The commander now reconsiders, from the viewpoint of "advantageous relative positions", the operations deduced with respect to "correct physical objectives". As a result of this reconsideration, he may find that certain of these operations may be retained without change, whereas others may require modification.

Suppose, for example, that two of the operations listed are those noted above, viz:

"To bomb enemy facilities at Port X", and

"To capture or destroy enemy shipping along trade routes between the —— parallels of north latitude and the —— meridians of west longitude."

From the viewpoint of relative position, it may appear that the first operation is not affected seriously, if at all. Therefore, this operation may be left unchanged. However, the second operation may be definitely affected by relative position, because the best method of interrupting enemy trade may be to employ raiding forces in focal areas. Therefore this operation might be altered to the form, "to capture or destroy enemy trade by raiding focal areas" (with a designation of the areas).

The commander's study is now likely to suggest operations which were not apparent when the analysis was confined to the correct physical objectives, alone. New physical objectives may appear to require attention. If so, all such new operations are added to the list compiled.

* * * * *

The commander may now study his list of operations, compiled to this point, from the standpoint of the third feature, proper apportionment of fighting strength. However, if the commander considers such apportionment now, his subsequent study of the fourth element—"adequate freedom of action"—may develop a need for further operations which will in turn call for a re-analysis as to his apportionment of fighting strength. Therefore, for purposes of this discussion, it is assumed that the commander now defers consideration of such apportionment, and that he proceeds at this point to study measures for ensuring adequate freedom of action.

This study requires consideration of such matters as training, morale, surprise, secrecy, cooperation, intelligence, logistics, and provisions (communications, location of the commander, and the like) for effective exercise of command. (See page 76). The commander exercises his judgment as to the degree of detail in which such matters should be treated, according to the nature of his problems.

If any such subject—for example, communications—involves the development of a subsidiary plan (page 168), the measures noted in connection with the formulation of the basic plan may be stated along broad lines, such as: "To provide for effective communications." Any specific matters of considerable importance may also be included,—for example, as to secrecy with respect to the use of communications. Other details may then be deferred until the commander takes up the necessary subsidiary plan. Otherwise, all pertinent operations in connection with these measures are naturally noted at this point.

Certain of these measures for freedom of action are now to be discussed in some detail because of their important bearing on basic plans.

In certain operations contemplated by the commander, there may be a requirement for additional training, sometimes of a special nature. This may be true, for instance, if an operation involves the landing of an expeditionary force. Conditions permitting, the commander will naturally desire to make provision for training exercises. If time or other conditions do not permit necessary training, he may find it desirable to modify his plans accordingly. The salient features of a subsidiary training problem are discussed hereafter (page 176), and may well be considered at this point in developing the basic plan.

The commander may already have noted, in considering operations suggested by his previous study of the situation, a need for certain action as to security, secrecy, and intelligence. Any additional operations of this nature, not previously noted, may well be incorporated at this point.

Security of his own plan, and secrecy therefor, are important considerations with reference to intelligence activities. The requirements as to intelligence and counter-intelligence features are primary considerations as to any plan. Such considerations involve the collection of information and its conversion into intelligence. The hampering of enemy intelligence activities is a related consideration.

The collection of useful information, and its denial to the enemy, call for a definite plan. When information has been collected, it is subjected to the processes (page 122) of analysis, evaluation, interpretation, and dissemination. Collection, to be consistently effective, calls for specific directives to, or requests on, the appropriate collecting agencies. Analysis determines the source of the information and the circumstances under which it was obtained. Evaluation determines its degree of reliability. Interpretation consists of drawing conclusions; when information thus takes the form of facts (so far as they can be ascertained) and of sound conclusions drawn therefrom, it becomes military (naval) intelligence. It is then disseminated to those concerned and is used in the solution of the commander's own problems.

The basis for collection of such data is the determination of the essential elements of information desired by the commander. The notation of these essential elements, for later incorporation in his directive(s), naturally constitutes a primary feature of his basic plan. The essential elements of information are frequently formulated as questions—e.g., Will the enemy do this? Is the enemy doing that? What are the principal topographic features of Y Island, with respect to so and so?

These questions cover the essential matters of perplexity as to enemy courses of action and as to the characteristics of the theater. Each enemy course of action, for example, may provide the basis for a question; or, if the scope of the problem has narrowed sufficiently, such question may deal with one of the enemy's possible operations, related to a course of action which he may be pursuing or is known to be pursuing.

On the basis of the essential elements of information, the commander provides for proper reconnaissance activities by the several collecting agencies under his command, or for appropriate requests to be made by him on other collecting agencies. A sound plan will always make adequate provision for such measures.

These subjects are treated in more detail in the later discussion (page 177) of intelligence problems.

* * * * *

In connection with freedom of action, the commander will also make adequate provision for logistics support. In its unrestricted sense, the term "logistics" relates to the supply and movement of a military force, and to such related matters as the disposition and replacement of ineffective personnel. Logistics measures, as comprehended in the development of the basic plan, exclude movement primarily of a strategical or tactical nature, but include movement related primarily to supply and similar matters. This requirement gives rise to the necessity for logistics measures which may further call for operations such as to provide fuel oil and supplies at rendezvous X and Y, and tender facilities at port D. An incidental requirement will relate to movements of train ships. Hence, the commander formulates these, also, and includes them in his list of operations for later assignment as logistics tasks. (Page 166). Fuel oil may likewise be required at Port D, but if the commander knows that ample fuel oil is in store there, no operation to cover this feature is required of him.

The solution of logistics problems is further discussed hereafter (page 179).

* * * * *

The commander has now, it may be presumed, evolved all of the operations that his analysis tells him are appropriate with respect to correct physical objectives, advantageous relative positions, and freedom of action. Therefore, he now studies all of these operations from the viewpoint of the remaining element—proper apportionment of fighting strength. This consideration involves, initially, a determination of what forces will be necessary to carry out the operations listed. The commander thereby determines the requirements, as to forces, for each such operation.

For example, the operation "to locate an enemy force" may require the use of several types of naval vessels and aircraft. The commander determines what method of search is best for the purposes of this specific operation; thereafter, he determines what forces are necessary to conduct the search. The procedure has previously been indicated (in the Principle of the Proper Means to be Made Available—page 34).

In this study the commander will often find it necessary to divide some of the more extensive operations into component parts, suitable for later assignment as tasks for subordinates. Fundamentally, there is no difference between an operation and a task, except that the latter includes also the idea of imposing on another person, or assigning to him, a definite amount of work or duty (page 84). At this stage, then, the commander deals with components suitable for performance by available weapons, in the usual units, or combinations of units, in which they are effective. Of course, when an operation meets this requirement without subdivision into components, it need not be subdivided.

These component parts are not yet actually tasks, because the commander does not plan to assign them at this time to any one for execution. However, the components are visualized as clearly, and are formulated as definitely, as is possible at this point. The requirement is that they be acts that available forces can perform.

The method of breaking down an operation into component parts is one of analysis and deduction. Having visualized the manner whereby the operation can contribute to the accomplishment of the effort, the commander has now to determine the means to be employed to this end. Experience and knowledge tell him what numbers and types of ships, aircraft, and other weapons, if properly employed, will attain the effect desired.

Each component part will indicate both the action and the physical objectives of the action. For each component, the commander estimates what forces are required. He knows the extent of the armed forces available, and he can, if his total force is adequate, adjust matters to allow each component a force capable of carrying it out.

For example, a component operation might call for a search by destroyers, but the commander might find that his destroyers were in such poor relative position as to prevent them from reaching the point of origin in time. Therefore he would be unable to conduct the search by using destroyers alone. He might now consider a search by aircraft. A study of this proposal might indicate that it could be carried out in part by aircraft, but that available aircraft were inadequate to carry it out in its entirety. In such event, consideration would be in order of the possibility of conducting this search by use of other forces also, e.g., submarines and cruisers.

In case the commander believes an indicated operation to be infeasible, he first restudies that operation to see whether he can modify it, without adversely affecting the accomplishment of the effort. He may even find that he can eliminate it by including its essential features in some other operation.

If the commander finds that his forces are inadequate for the accomplishment of an effort in one stage, but that they are adequate for its accomplishment in successive stages, he may draw a conclusion as to which of the operations he can carry out first. On this basis, he may proceed with the formulation of tasks to include these operations, leaving the remainder to a future time (see page 56).

It may be that all operations set down cannot be accomplished by the forces available, but that they will be possible of accomplishment if other forces are provided. This knowledge, of the sum total of forces required for the action indicated in the Decision, is an essential. It is only by such a searching inquiry that the commander ensures that the operations resolved from the Decision will result in a full solution of his problem. Usually the forces available will be found adequate, because the superior who provided them gave consideration, on his part, to the requirements. However, if the forces available are not deemed adequate, the commander either modifies the operations, or restricts them, or subdivides them into parts for performance in succession by stages. In any such case, conditions permitting, he makes constructive representations, together with a report of the facts, to his superior (see page 103).

Testing for Suitability, Feasibility, and Acceptability.

Each of the operations finally deemed necessary or desirable is now tested as to its suitability, its feasibility, and its acceptability as to consequences. The considerations involved have been explained previously (Section III of Chapter IV) and are therefore not repeated here.

The testing process will eliminate those operations found not suitable, feasible, or acceptable.

In addition, the tests may lead to the elimination of operations which, while both suitable and feasible, do not contribute enough toward the accomplishment of the effort to warrant their retention. For example, among the operations listed might be one to capture X island and one to capture Y island, both suitable and feasible. The commander, having analyzed these proposals, might conclude that the capture of Y island would not constitute a sufficient contribution to warrant its adoption as an operation at this time. Therefore, he might omit this operation, or he might defer it to a later stage.

A feasible operation may similarly be rejected or deferred out of preference for another which can more readily be accomplished.

The tests may also reveal important facts as to the relative consequences with respect to costs. For example, two operations might both be acceptable as to this factor, but one might be less acceptable than the other. Accordingly, the less acceptable operation might be omitted, or might be deferred for the time being.

Upon the completion of the tests, all operations retained are listed for further development.

The Formulation of Tasks

The correct resolution of the Decision into the detailed operations required is further ensured by the visualization of these operations as tasks. Tasks so formulated (page 162), become a basis for the preparation of directives.

To prepare a plan as a basis for directives, or for use as such, the commander first finds it desirable to formulate and assemble the various tasks. The tasks are formulated as a result of his study of (1) those operations which do not require to be broken down, and which may now be rewritten as tasks, and of (2) the component parts of the more extensive operations (See page 162, bottom).

Each of the tasks, as now listed, is tested for suitability, for feasibility, and for acceptability with respect to the consequences as to costs. In view of the fact that the operations have all been thoroughly tested, this process now becomes not a formal analysis but merely a check.

The Organization of Task Forces and Task Groups

The commander now classifies the tasks on the basis of their suitability for accomplishment by appropriate task forces or subdivisions thereof, i.e., task groups. In so doing he endeavors to avoid forming any more classifications than are necessary for the accomplishment of the full effort.

Note: In the remainder of this work, the term Task Group, except as may otherwise be indicated, will be understood in the inclusive sense of either "task force" or "task group".

Tasks are assigned to task groups on the basis of such factors as the nature and geographical location of physical objectives, the existing disposition of the several units, their capabilities, and their freedom of action. The last-named may be the determinant, and, because of the importance of such considerations, tasks which would otherwise fall to one group might be assigned to another. Features influencing a change might include lack of training of the personnel available in the first group, or the special qualifications of a particular commander, or a justified desire to adhere to a previously determined permanent task organization.

Logistics tasks, i.e., those requiring operations for placing logistics measures in effect, require the same careful consideration as do combat tasks. (See page 162).

Certain tasks apply to all of the task groups, or pertain to the general conduct of the common effort. Among such may be provision for security, for unity among the subdivisions, and for intelligence activities (page 160). In order to avoid repetition, these tasks are assembled in one group.

The commander analyzes the requirements of fighting strength for each task group. He then, from the means available to him, assigns the necessary strength to each group, making adjustment between the theoretical requirements and the actual strength available.

He is familiar with the types of vessels and aircraft constituting his command, and with their military characteristics; with the capabilities and cooperative qualities of his commanders; with the degree of training of his various units; and with the geographical location of physical objectives. He recognizes that each task requires adequate strength for its accomplishment. Because these requirements have been thoroughly considered during the study of the effective apportionment of fighting strength, he is able to make adjustments as necessary.

The commander now fully organizes each classification of tasks and its corresponding task group by naming the task group (or task force), by making notation of its composition and of the rank and name of its commander, and then by listing the tasks of each group. The principal task (or tasks) may be listed first, the other tasks following in the order of their importance. If preferred, the sequence of tasks may be chronological. Also, either major or minor tasks may be listed chronologically. (See pages 158 and 192).

If the chronological sequence of tasks is utilized, that fact, in order to avoid confusion, is clearly indicated.

Thus organized, the whole plan can be transferred almost bodily into the Order Form (Chapter VIII).

Application of the Fundamental Military Principle to the Determination of Objectives Embodied in Tasks

In formulating tasks for the several task groups, the commander has now visualized, for each such group, an objective (or objectives) for the subordinate to attain. In selecting these objectives, the commander has placed himself, mentally, in the subordinate's situation, visualizing the problem which the subordinate is to solve. On this basis the commander has apportioned the strength needed for the attainment of the objectives assigned to his subordinates. This procedure, of evident importance, is frequently one of considerable difficulty, because a higher commander, lacking detailed information of the situation which may confront a subordinate cannot always anticipate all the obstacles to the latter's success.

In formulating tasks, and in apportioning strength, by the procedure already described, the commander has applied the Fundamental Military Principle. Now, to ensure the practical adjustment of means to ends (page 66), the commander reviews the process in the light of that Principle, so that he may be assured that he has selected a correct objective (or objectives) for each subordinate. By using the tests indicated in the Principle, the commander confirms the suitability of each objective so selected, satisfies himself of its feasibility of attainment, and assures himself that the costs involved will be acceptable. If these requirements cannot be so satisfied, necessary adjustments are in order.

These tests may frequently be of a routine nature, by reason of the previous painstaking tests of the several operations involved. However, such final tests cannot be omitted without incurring the danger of selecting incorrect objectives for subordinates to attain.

The Assembly of Measures for Freedom of Action

Having completed the classification of his tasks, the commander next assembles the measures determined upon as necessary for ensuring adequate freedom of action.

When the subject matter is not too bulky, these measures are incorporated in their proper place in the basic plan. Otherwise, instructions as to these matters will be issued as annexes.

The various measures are assembled under the classification shown below:

(a) Measures required for security, for cooperation, and for intelligence activities.

(b) Measures for logistics support. These cover provision for procurement and replenishment of supplies, disposition and replacement of ineffective personnel, satisfactory material maintenance, sanitation, battle casualties, and the like.

(c) Measures for the exercise of command. These include provision for communications, location of rendezvous, zone time to be used, and the location of the commander.

This classification corresponds to that used in the Order Form (page 193). Experience has indicated that such a classification facilitates the transmission of instructions to subordinate commanders.

If desired, the material which will be required to be incorporated in paragraph (1) of the Order Form (see pages 190, 191, 219 and 221) may be also assembled at this point.

The Preparation of Subsidiary Plans

As previously noted (page 106), certain subsidiary problems require the preparation of subsidiary plans to be included with the directive as annexes. In broad strategical estimates, the solution of such subsidiary problems involves a vast amount of mental effort; even in restricted estimates, these problems may require most intensive thought. It is therefore appropriate at this point to discuss, in some detail, the nature of these subsidiary problems.

During the solution of his basic problem and later, during the process of evolving his basic plan, the commander may become aware of the need for further action of a supporting nature with respect to his basic mission, distinct from that which he intends to assign as tasks to subordinate commanders. If the nature of this action involves perplexity, he will be confronted with new problems to be solved. When he recognizes that such problems exist and are to be solved by himself, this awareness is a recognition of the incentive.

For example, one of these problems may involve a battle in which the entire force will participate, or perhaps a sortie requiring coordination of the several subdivisions of his force. Others will be concerned with measures recognized as necessary for ensuring freedom of action.

These problems give rise to the subsidiary plans previously referred to (page 106). They are not necessarily subsidiary in importance; even the Battle Plan, the basis for the culmination of tactical effort, may result from the solution of a subsidiary problem. The word "subsidiary", as here used, merely indicates that the problem has its origin in the commander's own Decision.

When the incentive is thus recognized during the solution of the basic problem or during the second step, the commander solves these new problems, and includes their solutions as a part of the directives prepared for the carrying out of the basic plan. As will be seen later (Chapter VIII), there is a prescribed place for such solutions in the usual form in which directives are issued. Often, however, because of extent and bulk, these solutions are included with the directives as annexes.

The commander will desire to provide for all contingencies, but he can rarely, during the planning stage, see completely into the future, so as to foretell all pertinent events which may befall. During the unfolding of events, therefore, unforeseen subsidiary problems will probably arise. Whether visualized during planning, or encountered during the execution of the plan, these problems have the same relationship with the basic problem. Reference is later made (Chapter IX) to subsidiary problems which arise during the action.

Subsidiary problems, according to their nature in each case, may be solved by the procedure distinctive of the first step or by that distinctive of the second. In many instances either may be applicable, the choice being a matter of convenience.

Battle Plans, for example, can demonstrably be formulated by the use of either procedure. Thus, a Decision "to destroy the enemy in a daylight fleet engagement" may be used as the basis for an Estimate of the Situation, by the procedure distinctive of the first step, in order to reach a decision as to the plan, in outline, for the contemplated engagement. However, the same result can also be attained through the procedure distinctive of the second step, with the basic Decision as the point of departure.

A solution also can be reached by a method which is, in effect, intermediate between the procedures of the first and second steps. For example, the basic (broad strategical) Decision noted above can be taken, in a detailed tactical Estimate, as the only suitable, feasible, and acceptable course of action. Then, in Section IV of the Estimate, a study of the more detailed operations involved can be developed into an outlined plan for the battle. Thus, a single course of action, expanded to include the outlined plan so developed, can then be adopted as the decision and can in turn be expanded by second-step methods into a detailed tactical plan.

On the grounds of simplicity, the procedure distinctive of the second step is preferable, when it is applicable to the particular problem. Therefore, when a subsidiary plan is to be developed directly from a basic Decision, this is frequently the better procedure. This comment is applicable not only to battle plans but also to other subsidiary plans such as sortie plans, entrance plans, and logistics plans. The commander may find it necessary, however, to expand the study of fighting strength made in Section I-B of the basic estimate, in order to obtain the detailed data needed for formulating the subsidiary plan.

In spite of the relative simplicity of the second-step method, cases occur where the procedure of the first step is nevertheless preferable. For example, a basic Decision making provision for a major campaign, divided into stages of some scope, may involve, as part of one of these stages, an operation to capture an island. Such an operation may itself require a considerable effort on the part of the whole force; yet the operation may be so specialized or localized, or both, with reference to the entire effort contemplated in the basic Decision, that the solution of this subsidiary problem can best be accomplished through the procedure distinctive of the first step.

The commander will therefore necessarily be the judge, in each case, as to the particular procedure to be adopted.

There are wide variations in the requirements of the Estimate Form, when used for the solution of subsidiary problems. This is natural because these problems vary widely in nature. They include, on the one hand, problems dealing directly with the conflict of armed forces, for which the Form is especially designed. On the other hand, these problems include those dealing with the factors related to freedom of action. To be suitable for this purpose, the Form requires modification in varying degrees. Certain examples are included in the latter part of this chapter (page 176 and following).

The application of the procedure of the first step to the solution of such subsidiary problems requires provision for deriving, in each case, a (subsidiary) mission appropriate to the problem. Of the two elements of the mission, the (subsidiary) purpose is first determined, because the (subsidiary) task will necessarily be suitable to the (subsidiary) purpose. These elements of the (subsidiary) mission may be obtained from one or more of the operations into which the basic Decision has been resolved. They may also be obtained from a preceding subsidiary problem, already solved.

In illustration of the preceding, discussion is first centered on a strategical problem of usual type, involving a subsidiary tactical problem calling for the detailed employment of weapons in a naval engagement. Other illustrations will deal with subsidiary problems relating to particular aspects of freedom of action.

In the first example it is supposed that the commander has already solved a basic problem of broad strategical scope, and has arrived at a Decision which contemplates an engagement. A further logical act of planning is now to develop a Battle Plan. Such development involves the solution of a subsidiary problem. In this case the commander is supposed to have found it desirable to solve this subsidiary problem by the procedure distinctive of the first step.

In this problem, the situation summarized is an imaginary one. It may eventuate either through the natural future developments of the situation existing at the time of the solution of the basic problem, or it may confront the commander during the execution of the plans derived from the Decision of that (basic) problem. The Battle Plan finally to be formulated will be for use under the conditions assumed in this situation.

The commander will desire to draw up a Battle Plan as a provision for the situation which he believes most likely to eventuate. However, as he cannot be certain that this situation will occur, he may also desire to assume other situations, i.e., prepare in advance for other contingencies. It is then necessary for him to solve several problems, each differing from the others in the assumptions (page 155) as to the form the situation may take. The summary of the situation therefore requires a brief statement of the conditions which are assumed. In addition, such parts of the basic problem may be included as are deemed pertinent to the new problem in hand.

In his new problem the purpose of the (subsidiary) mission may readily be obtained from the basic problem. Suppose the assigned task, motivating the estimate of the basic problem, to have been to "prevent enemy convoy from reaching destination". This, the motivating task of the basic problem, then becomes a suitable (subsidiary) purpose for the mission of the subsidiary problem.

For the mission of the subsidiary problem, a motivating task, suitable to the purpose thus determined, will be found in the Decision of the basic problem. Suppose the Decision in this case to have been "to destroy the enemy convoy". The task thus determined for the subsidiary problem becomes an assigned task in the sense that it is assigned by the commander to himself, instead of to a subordinate; however, it is also an assigned task in the sense that it has been indirectly assigned by the immediate superior, because it has been derived, in the basic estimate, from the motivating task which was directly assigned by the superior.

The two elements, of task and purpose, when linked together, enable the commander to visualize the appropriate effect desired, as the basis for his subsidiary estimate,—a procedure identical with that followed in a basic estimate. As in the latter, the commander can now formulate his subsidiary mission, as:—

(Task) To destroy the enemy convoy,

(Purpose) in order to prevent it from reaching its destination.

The mission of the subsidiary problem is thus seen to be identical with the basic Decision linked to the purpose of that Decision.

However, this is not always the case. A subsidiary problem may merely involve the execution by the commander, i.e., under his own immediate direction, of a designated part of his general plan. Or, such a problem may involve execution, by the commander, of one or more of the detailed operations for the accomplishment of his general plan or of a part thereof. The commander may also find it necessary to solve numerous subsidiary problems of relatively restricted scope pertaining either to his general plan or to a part thereof or to the detailed operations involved.

In some of these cases the purpose of the subsidiary mission may be readily apparent. In others, its nature may become clear only after the application of considerable mental effort. In every case the determination of a proper (subsidiary) purpose involves visualization of a situation which the commander desires to bring about or to maintain. The (subsidiary) task, appropriate to the (subsidiary) purpose, will always necessarily be suitable to the latter. This task is then the motivating task for the solution of the particular subsidiary problem in hand. This will be the case whether the commander makes a simple mental solution or produces a more complex one in which the formal written estimate of the situation is employed. In the former instance, the brevity of the mental process tends to obscure this fact.

An example might occur in a situation where the commander has received an order to "Protect the base at A". It is then supposed that, after estimating the situation, he has reached the Decision "to deny the enemy the use of base sites within effective bombing range of A", the purpose of the Decision being, of course, "in order to protect the base at A". The action required might then be undertaken in two stages. The first stage might be confined to the area ABCD. If, then, all available base sites in this area, except Y island, were already securely in friendly hands, the commander would find it necessary to make provision for an operation to deny the use of this island to the enemy. If this operation is of such a nature that the commander desires to execute it under his own direct control, instead of assigning it to a subordinate, it presents a subsidiary problem which the commander, himself, has to solve.

The commander has now determined the necessity of solving a subsidiary problem relating to the accomplishment of a designated part of his general plan. He has also determined the necessity of solving another subsidiary problem presented by an operation pertaining to the first stage of the accomplishment of his general plan.

Each subsidiary problem requires an estimate of the situation although "the brevity of the mental process tends to obscure this fact" (page 172).

In making his basic estimate, the commander may have discovered the need for these subsidiary estimates. In this case, he may have included them in his estimate, as "estimates within the estimate" (page 83), in his analysis of the operations involved in the various courses of action which he considered. For instance, his basic Decision may have included the capture of Y island, and he may have covered this feature by a corollary to that Decision, as follows:

Corollary: As a first stage, to deny the enemy the use of available base sites in the area ABCD, by capturing Y island.

However, the commander may not discover the desirability or need of solving these subsidiary problems until the second step, when resolving the basic Decision into the detailed operations required. In this case, he might make due provision at that time for the operations involved in the subsidiary problems. The mental procedure would be the same in either event.

The commander may find, however, that he prefers to make a separate, subsidiary estimate with respect to the determination of the stages of his operation, including the details as to the performance of the first stage. In this case he finds a proper mission for his subsidiary estimate in the basic Decision, linked to its purpose. This mission would be as follows:—

(Task) To deny the enemy the use of base sites within effective bombing range of A,

(Purpose) in order to protect the base at A.

During the subsidiary estimate the commander may discover, in his study of the area ABCD, the necessity for an operation to deny Y island to the enemy, and may even go so far, in this study, as to decide on the capture of this island. The decision, settling on this area as the scene of the first stage of his effort, may then include provision for the capture of the island, as follows:

Decision: To deny the enemy the use of base sites in the area ABCD as a first stage toward denying him the use of all base sites within effective bombing range of the base at A.

Corollary: To capture Y island.

However, the commander may not take up the matter of denying Y island, specifically, to enemy use until he studies the detailed operations required for the accomplishment of the action involved in his first stage. In such event, he may make provision for the capture of the island in his subsidiary plan for the execution of the first stage. He may find, on the other hand, that he prefers to make a separate, subsidiary estimate as to this feature. If so, the mission for this subsidiary estimate would be identical with the decision (less the corollary, but plus the purpose of the estimate), i.e.,—

(Task) To deny the enemy the use of base sites within effective bombing range of the area ABCD as a first stage

(Purpose) toward denying him the use of all base sites within effective bombing range of the base at A.

During this estimate the commander considers the various courses of action whereby he can deny to the enemy all bases in the area of the first stage. Concluding that Y island is the only base site not securely in friendly hands, and that the best method of denying it to the enemy is to capture it himself, he reaches a decision as follows:

Decision: To capture Y island, in order to deny to the enemy the use of the only available base site in the area ABCD.

In each of the foregoing cases, the commander is said to have "deduced" the mission for his subsidiary problem. As has been demonstrated, the process of deduction is merely the application of the natural mental processes through the use of the estimate of the situation. Whether the estimate is formal or informal, detailed or brief, written or mental, is immaterial; in any case, the estimate results in a decision which provides, with its purpose, a proper mission for the succeeding problem which has been presented by solution of its predecessors.

In logical sequence, from problem to problem, the procedure outlined in the preceding discussion enables the commander to derive a correct mission for the problem involving the capture of Y Island. Clear visualization of such a subsidiary mission is frequently of great importance, and may be difficult unless the procedure has been carefully traced from each problem to the next. In this particular example, if the commander finds that the capture of Y Island is of such a specialized and localized nature (page 170) as to call for a formal estimate (as may frequently be the case in capturing a well-defended island base), he will be especially desirious of deriving a correct (subsidiary) mission as a basis for this estimate. In this instance a correct mission would be:—

(Task) To capture Y Island,

(Purpose) in order to deny to the enemy the use of the only available base site in the area ABCD.

This mission is identical with the decision, linked to its purpose, of the preceding subsidiary problem.

* * * * *

Subsidiary problems relating to training (page 160), when solved by the procedure distinctive of the first step, involve estimates of the situation very similar to those explained previously (Chapter VI).

Section I-A of such a training estimate will include a summary of the salient features of the existing situation, from the strategical or tactical viewpoint, together with a statement of the salient features of the operations to be carried out for which the projected training is designed. The incentive will be found in a previous decision calling for the operations which require the training to be given. The assigned objective will be the making of adequate provision for training appropriate to the projected operations. The (subsidiary) mission will be:—

(Task) to provide appropriate training,

(Purpose) in order to contribute to freedom of action during the operations contemplated. (In each particular case the operations contemplated will be indicated by proper phraseology in the mission or by reference to the preceding summary of the situation.)

Section I-B of a training estimate will take account of the training factors cited in the Estimate Form (Chapter VI) for a basic problem, but will specify details with respect to both own and enemy forces. This section will also cover existing facilities for training, as well as the characteristics of the theater which have now or may have a bearing on the training to be given.

Section II will discuss the various possible procedures for affording the appropriate training.

Section III will deal with any measures which may be adopted by the enemy (through actual attack, through propaganda, or any other methods) to hinder or prevent the desired training.

Section IV will be devoted to the selection of the best training procedure.

Section V will state the decision as to the essentials of the training to be given and as to the method of giving the training. The decision will be in such detail as to constitute a general plan, or a proper basis therefor, from which a detailed plan may be developed.

A detailed training plan, developed from the foregoing decision, will assemble the necessary information and assumptions, will state the general plan for training, and will prescribe the appropriate training tasks. It will also include any proper coordinating measures, make provision for the logistics of the training plan, and finally provide for the exercise of command and for supervision over the training.

A training plan may be briefed by annexing appropriate documents,—e.g., a program and a schedule. The commander will ordinarily issue a schedule for training to be given under his own supervision; he will usually issue a program for training to be given by his subordinates, who will in turn prepare their own schedules.

* * * * *

Subsidiary problems involving intelligence (page 160), when solved by the procedure distinctive of the first step, call for an intelligence estimate along the lines indicated, in general, in Chapter VI.

Section I-A of the Estimate will include a summary of the salient features of the present situation and of the contemplated strategical and tactical operations. The incentive, to be found in a previous decision of the commander, will be noted. The assigned objective will be the making of provision for adequate intelligence of the enemy and of the theater of operations. The mission will be:—

(Task) To make provision for adequate intelligence of the enemy and of the theater of operations,

(Purpose) in order to contribute to freedom of action in the operations contemplated.

Section I-B of the intelligence estimate will take account of the factors as to intelligence and as to related matters which are noted in the Estimate Form (Chapter VI) for a basic estimate.

Section II will consider the possible procedures for obtaining information, i.e., for its collection, including reports from collecting agencies.

Section III will consider the capabilities of the enemy as to counter-intelligence measures.

Section IV will compare the various procedures open for the collection of information and for reports thereof.

Section V will include a decision as to the essential elements of information desired. The decision will be in sufficient detail to serve as a general plan (or a basis therefor), to be developed into a detailed plan for obtaining information and for converting it into intelligence.

A detailed intelligence plan will include appropriate information and assumptions. It will state the general plan for obtaining intelligence. This statement will include the essential elements of information desired. The plan will include appropriate tasks for information-collecting agencies, with times and destinations for reports of information. The task for each collecting agency will be based on the general plan (above); such task will also be synchronized with the projected operations prescribed for such agency in current Operation Orders (Chapter VIII). The agency's inherent capabilities—its limitations as well as its powers—will be given due consideration. Requests to be made on collecting agencies not under the commander's control will be noted in the information (as to own forces) given in the plan (see above).

Logistics arrangements will include, for example, provisions for handling prisoners of war, the disposition of captured documents and other materials, and the supply of maps, charts, and photographs. Counter intelligence measures will be specified where applicable. These include such matters as censorship, press relations, camouflage, and propaganda. Finally, the plan will include provision for the rendition of routine and special reports, for special charts (or maps) accompanying or pertinent to such reports, and for any intelligence conferences.

The essential elements of information desired are frequently stated in question form. Each question deals with an enemy course of action or with one or more of the enemy operations pertaining to such a course (page 161).

The tasks assigned to collecting agencies, or the requests made on collecting agencies not under the commander's control, will call for information (negative, if desired, as well as positive) as to specific indications of the enemy's action—past, present, or intended—and of the characteristics of the theater as related thereto. The indications to be sought for and reported are carefully determined by the commander in expectation that information obtained as to such matters will enable him to draw conclusions which will answer the questions posed by the essential elements of information.

For example, essential elements of information, with corresponding indications, may be as follows:

Essential Elements Indications

1. Will the enemy patrol the a. Presence or absence of enemy trade route from A to B? forces (number and types of vessels) between meridians—and—, as far north as—and as far south as—.

b. Times enemy forces observed in area noted.

c. Apparent activity of enemy forces so noted.

2. Will the enemy cover focal a. Presence or absence of enemy points M and N? forces (numbers and types of vessels) in (a specified area or areas).

b. Times enemy forces observed in areas noted in a, above.

c. Apparent activity of enemy so noted.

d. Has M or N been prepared as a naval base; an air base for seaplanes, for land planes? Is M or N readily accessible to enemy battleships? What are the characteristics of the available entrances to sheltered anchorages? (Etc.)

Another type of subsidiary problem which may call for a separate subsidiary plan relates to logistics (page 162). This problem is particularly applicable to the planning stage, because the contingencies which it involves can, to a considerable degree, be foreseen. In this case the situation which the commander usually desires to bring about is adequate freedom of action with respect to supply and related matters. He wishes to solve this problem so completely during the present step that a logistics plan, concurrently executed with his basic plan, will require minimum subsequent attention.

A logistics estimate by the procedure distinctive of the first step will include in Section I-A a summary of the pertinent features of the existing strategical and tactical situation, and of contemplated strategical and tactical operations. It will also include a statement of the salient features of the existing logistics situation. The incentive, to be found in a previous decision of the commander, will be noted. The assigned objective will be the making of adequate provision for logistics support. The mission will be:—

(Task) to make provision for adequate logistics support,

(Purpose) in order to contribute to freedom of action in the operations contemplated. (In each particular case the operations contemplated will be indicated by proper phraseology in the mission or by reference to the summary of the situation).

Section I-B of the estimate will take account of the logistics factors cited in the Estimate Form (Chapter VI) for a basic estimate, but will specify details to the further extent necessary.

Section II will discuss the various possible procedures for affording appropriate logistics support of the various categories.

Section III will discuss enemy actions to hamper or prevent adequate logistics support.

Section IV will deal with selection of the best logistics procedure.

Section V will state the decision as to the essential elements of the logistics support to be afforded, in such detail as will constitute a general plan (or a proper basis therefor) from which a detailed plan can be developed.

A detailed logistics plan, developed from the foregoing estimate, will assemble the necessary information and assumptions. It will state the general plan for logistics support. It will then provide for appropriate action as to each type of logistics support, or will state proper tasks for the several subdivisions of the force concerned therewith. It will include, also, any coordinating measures. It will, finally, make provision for exercise of command with reference to logistics support, as well as for any necessary or desirable time elements and similar considerations.

* * * * *

From all of the foregoing discussions it is apparent that the numerous possible subsidiary problems are all related to the basic problem either directly or through an intervening subsidiary problem. The nature of this relationship is seen through the (subsidiary) purpose, determined for the particular (subsidiary) task; therefore, the understanding of the problem involves a statement or visualization of the (subsidiary) purpose in each case.



PART III

THE EXERCISE OF PROFESSIONAL JUDGMENT IN THE EXECUTION OF THE PLAN



CHAPTER VIII

THE INAUGURATION OF THE PLANNED ACTION

(The Third Step—The Formulation and Issue of Directives)

In the discussion which now follows, it is demonstrated that, if the second step (Chapter VII) has been carried through completely, the formulation of directives requires only the completion of details of the Order Form, which is explained. The various types of naval plans and directives are also described.

Scope of the Third Step. As previously stated (in Chapter V, on page 107), the inauguration of the planned action (the third step) begins when the commander forms the intention of immediately promulgating, as one or more directives, his solution of the problem represented by the second step. The third step ends at the moment when the problem becomes one of supervising the planned action in the course of its execution.

Military Plans and Military Directives. A plan is a proposed scheme, procedure, or method of action for the attainment of an objective. It is one of the essential links between decision and action.

A directive, in the general sense, initiates or governs conduct or procedure. It is the means by which one's will or intent is made known to others. Sometimes the word is employed as a synonym for "order"; at others, it carries the significance of various instructions ranging from the simple to the complex; at still others, it denotes a plan formulated to be placed in effect in a particular contingency or when so directed. In all cases, a directive, to be suitable as a guide for others, has as its origin a plan.

The words plan and directive are used herein as follows:—A plan may exist only in the mind. Even if formulated and set down in writing, it may receive no distribution. A plan continues to be exclusively a plan so long as it concerns the originating commander alone, and it never loses its identity as a proposed procedure or method of action. When, however, the commander forms the intent of promulgating the plan immediately, the plan becomes also a directive. At this point, as noted in the preceding paragraph ("Scope of the Third Step"), the execution phase begins, from the standpoint of the exercise of mental power, with the inauguration of the planned action.

A directive may therefore be (1) an order effective upon receipt, in which case it may be an order placing in effect a plan already issued; or a directive may be (2) a formulated plan which the commander intends to issue immediately to his subordinates.

Accordingly, certain written instruments prepared under the designation of plans are also included under the classification of directives. In the use of these terms hereinafter, the distinction between a plan viewed as a basis for a directive, and a plan intended to be promulgated as a directive, will be indicated in the context.

Whether written or mental, the complete plan will cover the scope of the Decision, and will be the commander's method of procedure for his future conduct of operations. A commander may, or may not, formulate his complete plan in writing, or embody it in a formal directive which will provide for the execution, in full, of the Decision of his estimate. He may find that his plan divides into several parts, and he may make separate provision for the execution of each of these parts. While the integrity of a plan depends upon the soundness of its essential details, the plan is properly formulated as a directive or directives projected in detail, only so far into the future as the commander's estimate of the situation assures him of reasonable freedom of action (see page 57).

Where the commander divides his plan into parts for separate accomplishment, he will naturally exercise care that each part is, in itself, the suitable basis for a complete and homogeneous plan. Successful execution of all these plans results in the complete accomplishment of his Decision.

Directives required to further the success of a particular operation may be issued without awaiting formulation of the entire plan. Parts of the plan may be transmitted as fragmentary directives to guide the action of subordinates in instantaneous or early execution. Such cases are far more frequent than are those in which a formal written plan, to guide either the operations in their entirety or a part thereof, is prepared and distributed as a directive. Effective action by the subordinate is thus not delayed by the absence of complete written directives.

The commander, more especially during war, may be the only individual who is conversant with the entire plan. He may consider that the necessity for secrecy is paramount, or that there are features to whose details he is unwilling to commit himself until the situation is clearer. However, he may usually expect to disclose its scope and general features to his immediate superior, and the plan in its entirety to his next junior; or, in the interests of mutual understanding, to all his subordinates of the next lower echelon or even to his entire command. The scope of the plan also may be a determining factor. If the plan covers an entire campaign or an extended series of operations, its dissemination is less likely and less general than if it is concerned with only a minor operation.

During peace, in exercises simulating war, the complete plan is frequently given circulation for purposes of training.

Subsidiary Plans. Subsidiary plans, discussed in Chapter VII (page 168), are frequently issued as annexes to the Operation Plan (page 196) which carries into effect the basic Decision. The commander will be the judge as to whether alternative subsidiary plans are necessary or desirable under the circumstances.

Essentials of Military Directives.

General. By the issue of directives, a commander communicates to his subordinates his plans or such parts of them as he desires. Directives may be oral or written, or may be transmitted by despatch.

Whether a directive is to be effective upon receipt, or under specified conditions, or at a specific time, or upon further instructions from the commander, will be evident from its nature, or will be prescribed in the body of the directive itself.

The manner of determining the details of a plan has been discussed in Chapter VII. The matter contained therein is pertinent to the preparation of a plan that is not to be issued as a directive as well as to one that is to be so issued.

The various categories of directives customarily employed in our naval service, and standard forms for these, are described hereinafter.

The essentials of a military directive which is designed to govern the execution of a plan are:

(a) That it indicate the general plan for the common effort of the entire force.

(b) That it organize the force with a view to the effective accomplishment of this plan.

(c) That it assign tasks to the subdivisions of the force, such that the accomplishment of these tasks will result in the accomplishment of the plan adopted for the entire force.

(d) That it make appropriate provision for coordination among subdivisions, for logistics support, and for the collection of information and the dissemination of intelligence, that it state the conditions under which the plan is to become effective; and that it indicate the location of the commander during the period of execution.

Some of these essentials may have found their expression in previous instructions, or may be unnecessary because of the state of mutual understanding. On the other hand, the directive may include annexes in the form of alternative and subsidiary plans, letters of instructions (page 188), and other material designed to be of assistance in the intelligent accomplishment of the assigned task.

In issuing a directive, whether written or oral, except such a fragmentary order as has previously been described (page 184), a commander has the following definite responsibilities:

(a) To ensure that subordinates understand the situation,—therefore, to give them pertinent available information.

(b) To set forth clearly the general plan to be carried out by his entire force, as well as the tasks to be accomplished by each subdivision of his force.

(c) To provide each of these subdivisions with adequate means to accomplish its assigned task.

(d) To allow subordinate commanders appropriate discretion within the limits of their assigned tasks, without, however, sacrifice of the necessary coordination.

He will also bear in mind that a directive will best convey his will and intent and will be most easily understood by his subordinates if it is clear, brief, and positive.

Clarity demands the use of precise expressions susceptible of only the desired interpretation. Normally, the affirmative form is preferable to the negative. The importance of clarity has been summed up in the saying, "An order which can be misunderstood will be misunderstood". If misunderstandings arise on the part of trained subordinates the chief fault often lies with the person who issued the directive.

Brevity calls for the omission of superfluous words and of unnecessary details. Short sentences are ordinarily more easily and rapidly understood than longer ones. Brevity, however, is never to be sought at the expense of clarity. The attainment of brevity often requires considerable expenditure of effort and of time. But time is not to be sacrificed in the interests of obtaining brevity in directives, when the proper emphasis should rather be on initiating early action.

Positiveness of expression suggests the superior's fixity of purpose, with consequent inspiration to subordinates to prosecute their tasks with determination. The use of indefinite and weakening expressions leads to suspicion of vacillation and indecision. Such expressions tend to impose upon subordinates the responsibilities which belong to and are fully accepted by a resolute superior.

Restatement of the Decision for Use in the Directive

Except where special considerations exist to the contrary, it will be found that the expression of the Decision for use in a directive will most clearly indicate the intent of the commander if stated in terms of the objective to be attained by his force (i.e., of the situation to be created or maintained) and of the outlined action for its attainment (page 104). Such expression is usually possible in problems of broad strategical scope (page 88). In other cases difficulty may be encountered. For instance, in tactical problems dealing with the detailed employment of weapons, the action may necessarily be couched in the terms of a series of acts (see page 95).

No precise form is prescribed; thoughts clearly expressed are more important than form. It is customary to begin with "This force (or group) will", and then state with brevity the Decision as (and if) modified, adding the motivating task which is the purpose of the Decision. The motivating task is connected with the preceding statement by words such as "in order to", "to assist in", or "preparatory to", as the case may be.

Since his original expression of the Decision in the first step (Chapter VI), the commander has studied the operations required to carry it out. He therefore has gained a knowledge, which he did not then have, of how his action is to be carried out. He may now be able to compile a brief of these operations, applicable to all of them and therefore informative to all subordinate commanders. He may be able to say how, or even where and when, the effort of his force will be exerted.

As an illustration, if his Decision is "to destroy enemy battle-line strength", his operations might be described "by gun action at long range during high visibility". Should the commander, solely for the purpose of making his intent clearer to his subordinate commanders, now decide to include the latter phrase in the re-wording of his Decision, he may do so at this point.

It may sometimes be necessary to restate the Decision for another reason. It will be recalled that the commander is frequently obliged to recognize that he cannot carry out all of these operations, and that he therefore decides to issue a directive to carry out certain ones selected for the first stage (page 164). In such a case, he may not now be able to use the full Decision as originally determined. In that event he couches the Decision in terms of the partial accomplishment inherent in the operations to be undertaken.

Standard Forms for Plans and Directives

Form. Experience has shown that military directives usually give best results if cast in a standard form well known alike to originator and recipient. Such a form tends to prevent the omission of relevant features, and to minimize error and misunderstanding. However, a commander may find that lack of opportunity to facilitate mutual understanding by personal conference requires that one or more subordinates receive instructions in greater detail than a standard form seems to permit. A letter of instructions may then be appropriate. The commander himself is the best judge as to the application of a form to his needs of the moment, and as to the necessity for adherence to form in whatever particular.

Useful as form is, it is important to keep in mind that it is the servant and not the master.

The standard form in use in our naval service, long known as the Order Form, is applicable, with certain modifications, to all written plans and directives.

The Order Form will now be described in detail from the standpoint of its general application to all classes of directives, including the commander's written plan, whether or not promulgated as a directive.

The Order Form. Because of established usage, and for other reasons noted hereinafter, it is desirable that certain clerical details be handled as follows:

(a) To minimize errors, all numerals are spelled out, except paragraph numbers and those in the heading.

(b) For emphasis, and to minimize errors, all geographical names and names of vessels are spelled entirely with capitals.

(c) To standardize arrangement and facilitate reading, a narrow left-hand margin is left abreast the heading and the task organization, and a wider margin is left abreast the paragraphs.

(d) For the same reasons, the main paragraph numbers are indented in the wider margin.

(e) For emphasis, the task-force or task-group titles of the task organization, wherever occurring, are underlined.

The sequence in which the subject matter is presented is a logical arrangement which experience has shown to be effective. Since every item has a definite place in the form, formulation is simplified, and ready reference is facilitated.

In a written directive, the prescribed paragraph numbering is always followed, even if no text is inserted after a number. This practice serves as a check against accidental omission, and as confirmatory evidence that omissions are intentional. For example, if there is no new information to be disseminated, the paragraph number "1" is written in its proper place, followed by the words "No further information".

When the subject matter to be presented under any one paragraph is voluminous, it may be broken up into a number of subparagraphs. Except in paragraph 3, these subparagraphs are unlettered.

The Heading contains:

In the upper right-hand corner in the following sequence:

(a) The title of the issuing officer's command, such as NORTHERN SCOUTS, or ADVANCED FORCE, etc., preceded by the titles, in proper order within the chain of command, of all superior echelons or of such higher echelons as will ensure adequate identification.

(b) The name of the flagship, as U.S.S. AUGUSTA, Flagship.

(c) The place of issue: for example, NEWPORT, R.I., or, At Sea, Lat. 34 deg.-40' N., Long. 162 deg.-20' W.

(d) The time of issue: that is, the month, day, year, and hour; for example, July 12, 1935; 1100.

In the upper left-hand corner in the following sequence:

(e) The file notations and classification: SECRET or CONFIDENTIAL, the classification being underlined and spelled with capitals. This classification is repeated on succeeding pages,

(f) The type and serial number of the directive, such as Operation Plan No. 5, the words Operation Plan being underlined. This is repeated on succeeding pages.

The Body. The task organization, which consists of a tabular enumeration of task forces or task groups, the composition of each, and the rank and name of its commander, is the beginning of the body of the directive. It is customary to omit the name of the issuing officer from any task force or task group commanded by him. Any unit included in a force named in the task organization is, by virtue of that fact, directed to act under the command of the commander of the specified force.

When so desired for additional ready identification, task forces and their subdivisions may be numbered. In our naval service, systematic methods for such numerical designation are indicated from time to time by proper authority. Numerals for this purpose are entered in the task organization to the left of the title of each appropriate task force or subdivision thereof. The numerals may be placed in parentheses.

The directive is addressed for action solely to the commanders of the task forces or task groups listed in the task organization.

Train vessels assigned exclusively to particular combatant task forces are listed among the units of those forces in the task organization. If the directive is to be used for assigning tasks involving strategical or tactical movement directly to the Train, or to any Train units, such units are grouped together to form a separate task force. If instructions to the Train are to be issued in another directive, the Train need not appear as a separate force in the task organization. As a matter of general custom, the Train is usually not included as a task force unless it is to accompany, or act in tactical concert with, some one or more of the combatant task forces listed.

Each task force named in this table, together with its numerical designation, is preceded by a separate letter, (a), (b), (c), etc., and its assigned task is set forth in a similarly lettered subparagraph in paragraph 3.

Paragraph 1 is the information paragraph. It contains such available information of enemy and own forces as is necessary for subordinates to understand the situation and to cooperate efficiently. Paragraph 1 contains no part of the tasks assigned by the commander. Information of the enemy and that of own forces, and assumptions where pertinent, are usually set forth in separate unlettered subparagraphs.

When deemed advisable, unless secrecy or other considerations forbid, paragraph 1 may include statements of the general plans of various higher echelons in the chain of command. A statement of the general plan of the next higher commander will frequently be included. For the same reasons, the commander will often include in this paragraph a statement of his own assigned task, unless, of course, this point is adequately covered in the statement of his general plan in paragraph 2. Inclusion of such matters may enable subordinates to gain a clearer visualization of the relationships existing among the several objectives envisaged by the higher command.

To promote cooperation, paragraph 1 may also state the principal tasks of coordinate forces of the commander's own echelon; for like reasons, the principal tasks of other task forces of the command not listed in the task organization may be included. Where the immediate superior has prescribed particular methods to other forces for cooperation and security, these may also be set forth as a matter of information. (See page 167.)

In this paragraph, distinction is drawn between information which is based upon established facts, and that of merely probable accuracy. The latter is not to be confused with assumptions which, in Operation Plans, are accepted as a basis. (See page 155.)

When writing their own information paragraphs, subordinate commanders do not necessarily copy verbatim the information contained in the order of their superior. Good procedure calls for them to digest that information, select what is essential, and present it with any additional information considered necessary. Care is taken to include necessary information of coordinate task forces.

Paragraph 2 states the general plan of the complete force under the command of the officer who issued the directive. If several directives are issued for carrying out a single, complete plan (see, for example, discussion of fragmentary orders, page 184), then paragraph 2 is usually the same in all of them. The amount of detail given in this paragraph is sufficient to ensure a clear comprehension by the subordinates as to what is to be accomplished by the force as a whole. It is customary to begin with the words, "This force will", followed by a statement of the general plan and, unless secrecy or other considerations forbid, by the purpose of the effort embodied therein. (See Restatement of the Decision, page 187).

Paragraph 3 assigns individual tasks to all of the task forces listed in the task organization. This paragraph is divided into as many subparagraphs, (a), (b), (c), etc., as there are task forces enumerated in the task organization. Each subparagraph commences with the designating letter in parentheses, followed by the title of the task force, underlined.

Normally the tasks for each task force are stated in order of their importance. If preferred, however, the sequence of tasks may be chronological, i.e., in the order of their execution. Each method has certain advantages, according to the nature of the situation. Where the chronological sequence is utilized, that fact is clearly indicated, in order to avoid confusion. (See also page 166). After the statement of the tasks, these subparagraphs conclude with such detailed instructions as are necessary.

In cases where the entire force is listed in the task organization, the proper formulation of tasks requires that the accomplishment of all the tasks of paragraph 3 result in the accomplishment of the general plan set forth for the entire force in paragraph 2. On the other hand, where several directives are issued, each to a different part of the force, with a paragraph 2 common to all, then the accomplishment of the tasks of all of the paragraphs 3, of the several directives is properly equivalent to the accomplishment of the general plan prescribed in the common paragraph 2.

Where two or more task forces have identical task assignments, only the common subparagraph need be written after the title of the task forces concerned, thus:

(a) Submarine Detachment,

(b) Air Patrol, (assignment of the common task or tasks).

If the Train has been included as a separate force of the task organization, it will be given its tasks as to tactical and strategical movement in a separate subparagraph of paragraph 3.

In order to avoid repetition, task assignments and instructions which apply to all task forces, or which pertain to the general conduct of the operation, are embodied in a final subparagraph, designated as 3(x). It is particularly necessary that there be included in this subparagraph the measures (e.g., as to cooperation, security, intelligence, and the like) pertaining to freedom of action and applicable to the force as a whole. Any tasks or instructions applicable to individual task forces, only, will have been included in the appropriate earlier subparagraph(s) (i.e., 3 (a), (b), (c), etc.). To avoid repetition in these subparagraphs, coordinating instructions applying to more than one task force may also be included, when convenient to do so, in paragraph 3 (x).

Paragraph 3 (x) of Operation Plans and Battle Plans prescribes, in addition to other applicable matters, the time and/or manner of placing the plan in effect.

Paragraph 4 is the logistics paragraph. It sets forth the availability of services and supplies, and describes and gives effect to the general plan for the logistics support of the operation. If the information and instructions as to logistics are long and detailed, they may be embodied in a separate logistics plan, which is referred to in paragraph 4, and is attached as an annex.

Paragraph 4 is not used for assigning tasks as to movement, either for the Train or for any other subdivision of the force.

Paragraph 5 is the command paragraph. It contains instructions considered necessary for the control of the command during the operation, such as the plan of communications, zone time to be used, rendezvous, and location of the commander. Paragraph 5 completes the body.

The Ending consists of the signature, the list of annexes, the distribution, and the authentication, as noted below:

The Signature of the commander issuing the directive, with his rank and command title, is placed at the end, for example: John Doe, Vice Admiral, Commander Northern Scouts.

Annexes consist of amplifying instructions which are so extensive as to make them undesirable for inclusion in the directive itself. They contain detailed instructions, in written form or in the form of charts or sketches. Separate Communications, Logistics, Sortie, Movement, Cruising, Intelligence, Scouting, Screening, Approach and Deployment Plans may be, and frequently are, disseminated as annexes to a directive. Alternative Plans may also be annexed.

Annexes are referred to in the appropriate paragraph of the body of the directive, and are listed and serially lettered in capitals at the end near the left-hand margin, immediately below the body and the signature, and above the distribution.

The Distribution indicates to whom the directive will be transmitted and the medium of transmission. The recording of this distribution in the directive is essential for the information of all concerned.

Standard distribution may be indicated, as Distribution I, II, etc.

Authentication. Unless signed by the issuing officer, each copy of the directive distributed is authenticated by the signature, rank, and designation of the Flag Secretary, with the addition of the seal whenever possible.

Campaign Plans. Campaign Plans (see page 196), when communicated to officers on the highest echelons, are usually, in the Order Form, modified as follows:

Heading. No change.

Task Organization. Not usually used.

Paragraph 1. In addition to the information to be furnished, a statement is given of the assumptions (page 155) forming the basis of the plan.

Paragraph 2. No change.

Paragraph 3. This shows the stages into which the campaign has been divided; the several operations which will be undertaken in each stage, and the order of their accomplishment; and usually the forces to be made available for the first stage.

Paragraph 4. No change.

Paragraph 5. No change.

If it be found desirable, however, to employ a letter of instructions instead of a formal directive, this may be done. In this case the letter sets forth the essential features of the subject matter as above described for the Order Form.

Sample Outline Form. For convenient reference, the outline form of an Operation Plan is appended (see page 219). The Operation Order follows the same form, the essential difference being that the Operation Order makes no provision for assumptions, and is effective upon receipt unless otherwise provided in the body of the Order.

Types of Naval Directives

Naval directives in common use are: War Plans, Campaign Plans, Operation Plans, Operation Orders, Battle Plans, and Battle Orders.

Basic War Plans designate operating forces, assign broad strategical tasks to these forces, and, where required, delimit theaters of operations. These plans also assign duties to the supporting services such as naval communications, etc. Requirements as to logistics plans are also included. Accepted usage designates, as Contributory Plans, the subsidiary plans which are prepared in support of Basic War Plans.

Campaign Plans. A campaign, as initially visualized, is a clearly defined major stage of a war. A campaign, after it has passed into history, sometimes bears the name of a leader, or a seasonal or geographical designation. It may consist of a single operation, or of successive or concurrent operations. The operations of a campaign have properly a definite objective, the attainment or abandonment of which marks the end of the campaign. (See also page 37, as to operations.)

A Campaign Plan indicates what might be called the "schedule of strategy" which the commander intends to employ to attain his ultimate objective for the campaign. Such a plan usually sets forth the stages into which he proposes to divide the campaign, shows their sequence, and outlines:

(a) The general plan for the entire campaign.

(b) The general plan involved in each stage and the order of accomplishment, so far as the commander has been able to project his action into the future, and usually,

(c) The forces to be made available for the first stage. The Campaign Plan is primarily for the guidance of the commander himself. When necessary for information or approval, it is forwarded to higher authority. To provide the necessary background, it may sometimes be furnished to the principal subordinates. In any case, the interests of secrecy demand that its distribution be extremely limited.

Operation Plans. An Operation Plan may cover projected operations, or may be contingent upon the occurrence of a particular event, or combination of events. It may be issued in advance of the event. It is placed in effect at a specified time or by special order, as prescribed in the body of the plan itself. It provides for either a single operation, or for a connected series of operations to be carried out simultaneously or in successive steps. It is prepared for dissemination to task-force commanders.

Usually, an Operation Plan covers more complex operations than does an Operation Order, and projects operations over a greater time and space. It allows more latitude to subordinate commanders, and provides for less direct supervision by the issuing officer. It has typically the distinguishing feature of including, in paragraph 1, the assumptions upon which the plan is based.

To provide for eventualities under varying sets of assumptions, the commander may formulate several alternative Operation Plans (see pages 155 and 156).

Operation Orders. An Operation Order deals with an actual situation, usually of limited scope, in which the commander considers that he possesses sufficient reliable information to warrant an expectation that certain specific operations can be initiated and carried through to completion as ordered. The Operation Order does not include assumptions and, unless it contains a proviso to the contrary, is effective upon receipt.

Under the conditions obtaining in modern warfare, there are few occasions where the Operation Plan will not accomplish the full purpose of the Operation Order. The use of the Operation Plan removes the undesirable feature of imposing possible restriction on the latitude allowed the subordinate without, in any degree, lessening the authority of the commander.

Battle Plans. A Battle Plan sets forth methods for the coordinated employment of forces during battle. If prepared in advance, it usually is based on certain assumptions which are clearly stated in the plan.

Battle Plans may merely include provisions for a particular combat, or they may include provisions for a connected series of separate or coordinate engagements, possibly culminating in a general action, and all directed toward the early attainment of a specified tactical objective. Such combats may range in scope from engagements between small forces to engagements between entire fleets.

Battle Orders are generally limited to the despatches required to place a Battle Plan in effect, and to direct such changes in plan, or to initiate such detailed operations, as may be necessary during the progress of battle.



CHAPTER IX

THE SUPERVISION OF THE PLANNED ACTION

(The Fourth Step)

The discussion in Chapter IX invites attention to the special considerations which influence the supervision of the planned action. The Running Estimate, which employs the procedure typical of the fourth step, is described in detail.

Nature of Discussion. As explained previously (Foreword, page 4), the vast and important subject of the execution of the plan is treated herein, as to details, chiefly from the standpoint of the mental effort.

After the commander has issued a directive placing a plan in effect, it is his responsibility to supervise the execution of the planned action. Through the collection, analysis, evaluation, and interpretation of new information (page 161), he will be able to maintain a grasp of present progress and of future possibilities. He will correct deficiencies and errors in the plan and in its execution. He will guide the direction of effort toward the attainment of the objective. He will ensure that his forces conform their movement in correct relation to the physical objectives and to each other. He will reapportion strength to meet new conditions, through comparison of his accrued losses with respect to those he has anticipated. He will take appropriate measures for freedom of action.

If a new plan is needed, the commander will evolve one and adopt it. If the old plan requires changes as to its larger aspects, he will make such changes. Otherwise, he will modify details of his plan as the situation may demand, always, however, endeavoring to retain the integrity of the larger aspects. He will issue additional directives as may be required from time to time.

Goal of Planning. The function of planning (Part II, preceding) is to afford a proper basis for effective execution. Effective action, therefore, is the goal of planning.

Otherwise, planning is aimless, except as a mental exercise. Such mental exercise, though it be with no thought of specific application in the realm of action, has nevertheless the same fundamental aim as if the planning were so intended. The aim of such mental exercise is the inculcation of habits of thought which will provide a sound basis for effective action.

Importance of Execution. Sound planning is, as explained in previous chapters, the best basis for consistently effective action. Yet, important as planning is, the effective outcome of plans depends upon their execution.

While an unsound plan affords no firm basis for successful action, recognition has long been accorded to the companion fact that a perfect plan, poorly executed, may not provide as firm a foundation for success as a reasonably good plan, carried out with resolution.

No plan, moreover, can be confidently expected to anticipate all eventualities. Notwithstanding every effort to foresee all possibilities, unexpected changes are to be regarded as normal. This fact emphasizes the importance of effective supervision of the planned action.

The importance of such supervision reaches its maximum during actual hostilities; then (page 4) the necessity for alert supervision creates an accentuated demand for the intelligent application of mental power to the solution of military problems. Professional judgment then assumes supreme importance because vital issues may hinge upon the decisions reached during the development of the action.

Conditions in War. Standards of performance in peacetime exercises cannot be a conclusive guide as to what may be expected under the conditions of war. In the conduct of hostilities against a strong and determined enemy, men and materiel do not always function at their best. Commanders undergo extreme strains. Orders are often misinterpreted or go astray. Men, and the machines which they operate, frequently give less effective service than under the conditions of peace.

In war, mistakes are normal; errors are usual; information is seldom complete, often inaccurate, and frequently misleading. Success is won, not by personnel and materiel in prime condition, but by the debris of an organization worn by the strain of campaign and shaken by the shock of battle. The objective is attained, in war, under conditions which often impose extreme disadvantages. It is in the light of these facts that the commander expects to shape his course during the supervision of the planned action.

The Incentive. During the supervision of the action, problems calling for decision may derive their incentive, as already noted (page 79) either from a directive issued by superior authority, or by reason of a Decision which the commander himself has already made, or because of a recognition, by the commander concerned, of an incentive originating from the demands of the situation.

In the event that the incentive appears in the form of a new task assigned by a higher echelon, the commander's problem may become, relatively, simple. In such a case he is relieved of the necessity of recognizing for himself that the time is ripe for a new decision. This fact, however, in no wise alters his fundamental responsibility for taking action, or for abstaining therefrom, in accordance with the actual demands of the situation (page 15) in the event that the assigned task requires modification or alteration, or, further, in the event that circumstances even call for a departure from his instructions. Should modification, alteration, or departure be in order, the commander is responsible for recognition of the fact that the demands of the situation have introduced further problems.

Such recognition, therefore, irrespective of whether higher authority has issued instructions covering the new situation, constitutes an incentive to take action. No commander is justified in taking wrong action, or in taking none, merely because no instructions have been received. The ability to recognize the fact that the situation presents a new problem is therefore a primary qualification for command.

Recognition of New Problems. The supervision of the planned action, as the fourth step (see Chapter V) of the exercise of mental effort in the solution of military problems, therefore constitutes in itself a problem, in that it involves fundamentally the ability to recognize the existence of new situations which present new problems for solution. To recognize such new problems requires a constant, close observation of the unfolding of the original situation.

Only an alert commander can invariably determine whether the situation is unfolding along the lines which he desires and as promulgated in the directives formulated in the third step (see Chapter V and Chapter VIII). In effect, the commander, after action has begun, considers the changing situation as a variable in the problem presented by the original situation. With the march of events he is, therefore, constantly critical to detect whether variations in the original situation are in accordance with his design or whether these variations demand a departure from his plan.

Nature of Readjustments Required. If variations in the original situation are in accordance with his design, the commander has the assurance that all goes well, and that the unfolding of the situation is following his intent. However, if this is not the case, changed circumstances may demand recognition of the fact that a new problem has presented itself. In this event a new incentive, arising from the demands of the situation, calls for the solution of the new problem by the procedure distinctive of the first step (Chapter VI).

Should directives of higher authority introduce a new incentive, the commander solves such a new problem, also, by employing the procedure distinctive of the first step.

On the other hand, the commander may find that the changed situation motivates merely a modification of his previously determined operations and of his directives already in force. In other words, while his basic problem (Chapters V and VI) may remain the same, need may arise for certain deviations from the decisions arrived at in the first and second steps of its solution. Should this be the case, each such problem will require solution by a return to the procedures described (Chapter VII) with reference to the second step.

In the event of a demonstrated need, not for any change of plan, but for a clarification of directives, the procedure involved is that distinctive of the third step (Chapter VIII).

The commander may not safely view the succession of events with complacency, even though the situation appears to be unfolding according to plan. Perhaps the enemy may be purposely lessening his opposition, in order to prepare for the launching of an offensive elsewhere. As the situation unfolds, everything is viewed with intelligent suspicion.

It is also possible that, during the progress of an operation, an unforeseen opportunity may present itself to take advantage of a new situation and to strike the enemy a more serious blow than that originally intended.

Unwise caution is to be avoided no less than undue temerity. Where a change appears, after proper consideration, to be indicated, no hesitancy is justified in abandoning the original plan. Blind adherence to plan is to be condemned no less than unwarranted departures from predetermined procedure. Obstinate insistence on the use of a certain method, to the exclusion of others calculated to attain the same effect, may jeopardize the success of the effort. Undue emphasis on the particular means to be used, and on the manner of their employment, may exact a penalty by obscuring the objective.

On the other hand, undesirable departures from plan involve a corresponding penalty, because changes, unless duly justified by the situation, increase the possibility of failure. Frequency of such changes, to the point of vacillation, is a sure indication of a lack of aptitude for the exercise of command.

Importance of the Will of the Commander. It is accordingly clear that qualification for the exercise of command requires the mental capacity to recognize the need for changes in plan, or for no change. No less essential, however, are the moral qualities required to carry justified changes into effect, or to resist the pressure of events in favor of changes not justified by the situation. (See also pages 8, 9, and 72.)

Hence the universal importance accorded, by the profession of arms, to the will of the commander. This is the quality which, together with the mental ability to understand what is needed, enables the commander to bend events in conformity with his plan (page 47), or, where such shaping of circumstances is infeasible, to ensure for his command every possible advantage which can be obtained.