THE INAUGURATION OF THE PLANNED ACTION

(The Third Step The Formulation and Issue of Directives)

Scope of the Third Step. As previously stated, 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.

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, are frequently issued as annexes to the Operation Plan 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. 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, 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, 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. Such expression is usually possible in problems of broad strategical scope. 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.

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, 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. 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, La deg.-40’ N., Lon 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 N, 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.

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.

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, 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.

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. 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, 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 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. 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.

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.

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.