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

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:

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:

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.

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 IXToC

THE SUPERVISION OF THE PLANNED ACTION

(The Fourth Step)

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.

A recognized defect of certain forms of theoretical problems lies in the fact that they indicate, themselves, the time when a Decision is needed. In other words, they fail to vest the commander with responsibility for the decision that the time has come for a Decision to be made. Hence the great importance, from the viewpoint of timing, of those problems and exercises which partake more fully of the reality of war. The successful conduct of war, notwithstanding its demand for utmost mental power, is founded predominantly on those moral qualities (see pages 9 and 72) which spring less from the intellect than from the will.

Problems Involving Modifications of the Basic Plan

Relatively minor deviations from decisions reached during the first and second steps of the solution of a military problem are frequently required during the action phase, because of incentives arising from the demands of the situation. Such requirements will not occasion serious dislocation in the predetermined effort of the competent commander.

However, more momentous situations are also to be expected. These will present new problems for the commander to solve. Such new problems, so long as they do not challenge the integrity of the basic plan, will not prevent the competent commander from proceeding with his predetermined effort if he takes appropriate action in due time to control the unfolding situation. To maintain such control may call for the exercise of outstanding qualities of the mind and of the will.

For example, it is assumed that the commander's basic Decision was to destroy an enemy convoy, the purpose of the Decision being to prevent the convoy from reaching its destination. Now, it is supposed that, during the supervision of the action planned for the destruction of the enemy convoy, the commander receives information of a hostile reinforcement. It is further supposed that this reinforcement, if it joins the enemy convoy's escort, can jeopardize the success of the basic plan.

The commander is now confronted with a serious situation which, if not controlled by action of the right kind, at the right time, and at the right place, may result in shattering his basic plan. However, if the commander takes action along correct lines in due time, he can still preserve the integrity of his basic plan and so continue to control the shaping of the situation.

Having re-examined his solution of his basic problem and found it sound, the commander finds himself under the necessity of resolving a perplexity as to what to do about the enemy reinforcement. In this case, he concludes that his proper action is to prevent the enemy reinforcement from protecting the convoy. This task, self-assigned because of the demands of the situation, becomes the basis for the mission of his new problem, the mission being:—

The commander now considers the various courses of action open to him for the accomplishment of this mission. He also considers the enemy courses of action. He then considers each of the former in relation to each of the latter. He compares, on this basis, each of his retained courses of action with the others and so selects the best course of action. Finally, he arrives, in this manner, by the same process as in a basic problem (Chapter VI), at a decision as to the best course of action. Should this decision be to sink the enemy reinforcement, its statement linked to its purpose, would be:—

Problems Challenging the Integrity of the Basic Plan

During the planned action, a change in the situation may have the effect of challenging the integrity of the basic plan. The commander is then faced by a problem calling for the exercise of the highest order of ability. While problems of this type probably occur with least frequency, they are the most important of those which may be encountered during the fourth step.

Because such a problem, arising from the demands of a new situation, requires a re-estimate of the basic situation, the essential procedure is the same as for a basic problem (Chapter VI), but certain modifications necessarily appear.

Summary of the Situation. While a commander will rarely find himself operating without instructions, the importance of problems arising when no directive applies is not lessened by the fact that such problems may infrequently occur. When the commander is faced with a situation not covered in orders of his superior, action may be necessary before he can inform higher authority and receive instructions. Usually this situation will be an emergency. Often it will not allow time for a written estimate. The fact that such a situation has arisen, and the reasons causing the commander to conclude that it has arisen, are appropriately included in Section I-A of the Estimate, under the "Summary of the Situation".

Recognition of the Incentive. The conclusion on the part of the commander that the situation requires him to make provision for its maintenance, or for a change, which in either case calls for a departure from his basic Decision, constitutes a recognition of his new incentive.

Appreciation of the Objective. Frequently the new incentive will indicate that the objective embodied in the commander's present task is no longer suitable, but that the purpose of his mission still applies. By modifying the objective indicated in his assigned task, but adhering to that in the purpose of his mission, he may be able to visualize a new objective which will be appropriate to the new circumstances. In this case the retained purpose assists the commander to select a new objective which he can confidently adopt as the basis for a new task which he assigns to himself.

If neither the commander's task nor the purpose of his mission apply in the new situation, the evolution of a proper new objective may be much more difficult. Under such circumstances the commander, by the use of such information as may be in his possession, will first endeavor to deduce an objective whose attainment constitutes a suitable purpose. Such a deduction will be made on the basis of the larger circumstances of the war, the campaign, or the operation. Having made this determination, the commander will then deduce a task appropriate to the new situation and in furtherance of the adopted purpose. (See Chapter IV, page 52.)

Formulation of the New Mission. An appropriate new task having been determined, as well as a proper purpose, the commander is now in a position to formulate his mission. The procedure to this end is the same as described (Chapter VI) with respect to the estimate of a basic problem.

Other Items of the Estimate. For such problems of the fourth step, other items of the Estimate Form require no essential modification of the procedures described (Chapter VI) as applicable for the first step.

The Further Procedure Applicable to Such Problems of The Fourth Step

After the commander has reached his new decision, the further course of events may call for the resolution of the required new action into detailed operations and for the inauguration of a new planned effort. In such case, these procedures are accomplished through processes essentially similar to, and fortified by the experience gained in, those distinctive of the second and third steps. (Chapters VII and VIII, respectively).

The new planned effort having been inaugurated, its supervision continues, in turn, through the critical observation and the appropriate action described herein as distinctive of the fourth step.

The Running Estimate of the Situation

The procedure employed in the constant, close observation of the unfolding of the situation—to the end that justified changes of plan may be initiated, while those uncalled-for may be avoided—is known as the "Running Estimate of the Situation". Such an estimate, as indicated by its name, is intended to keep pace with the flow of events, so that the commander may be assured, at any time, that his concurrent action will be based on sound decision. To this end, there is a definite technique for which the standard Estimate Form provides the basis. This technique is an aid for solution of the problem involved in the supervision of the planned action.

Aim of the Technique Involved. Any procedure adopted to this end is properly intended to assist in the supervision of the planned action, but not to restrict the commander to particular methods. Flexibility is a prime consideration. The ultimate aim of the technique is (see also page 114) the rapid and successful exercise of mental effort in the fast-moving events of the tactical engagement. It is under such conditions, more especially, that effective supervision of the planned action becomes a problem calling for every facility that can be afforded the commander.

Nature of the Technique. The solution of this problem requires mentally or in writing according to the particular case, (a) the assembly of information as to events bearing on the situation, and (b) the organization of this knowledge in a manner permitting its ready use. Accordingly, it will be found helpful, where circumstances permit written records to be kept, to provide for (a) a journal (a form of diary) of events, with a file to support it, and (b) a work sheet to organize applicable information in proper form for use. The journal affords a basis for the work sheet. The latter in turn facilitates the procedure, continuous while the action lasts, of estimating the situation so that a Decision maybe rendered at any time desired.

Where written records are unnecessary or impracticable, the same fundamental process is nevertheless employed. The fact that the process is then wholly mental, without extraneous aids, involves no change in the basic character of the essential procedure.

Journal. The journal, to serve the purpose indicated above, is kept in a form permitting entry of essential data as to information needed for the Running Estimate. Such data may include (see the suggested Form, next page) the appropriate heading of the journal, the entries applicable to each item of pertinent information, and the authentication with which the journal, for any chosen period, is closed.