THE OPERATIONS PROCESS

[Pages:252]FM 5-0

THE OPERATIONS PROCESS

MARCH 2010

DISTRIBUTION RESTRICTION: Approved for public release; distribution is unlimited.

HEADQUARTERS DEPARTMENT OF THE ARMY

Foreword

The environment in which we conduct operations is characterized by four clear trends: growing uncertainty, rapid change, increased competitiveness, and greater decentralization. Given these trends, our leaders must expect and be prepared to confront a variety of complex problems, most of which will include myriad interdependent variables and all of which will include a human dimension.

With the publication of FM 5-0, The Operations Process, and the introduction of design into our doctrine, we highlight the importance of understanding complex problems more fully before we seek to solve them through our traditional planning processes. Design is neither a process nor a checklist. It is a critical and creative thinking methodology to help commanders understand the environment, analyze problems, and consider potential approaches so they can exploit opportunities, identify vulnerabilities, and anticipate transitions during a campaign.

Commanders apply design to understand before entering the visualize, describe, direct, lead, and assess cycle. Einstein once said, "If I were given one hour to save the planet, I would spend 59 minutes defining the problem and one minute resolving it." Combining design with the military decisionmaking process provides Army leaders with a more comprehensive approach to problem solving under conditions of complexity and uncertainty. The mission narrative produced through design enables leaders to articulate the context in which they operate to both subordinates and superiors alike.

In addition to the introduction of design, this revision of FM 5-0 builds on and expands the body of doctrine associated with full spectrum operations described in the 2008 edition of FM 3-0, Operations. Moving beyond planning and orders production, this manual holistically addresses planning, preparation, execution, and assessment in the continuous learning cycle of the operations process. It reinforces the central role of commanders in the operations process through battle command--applying the art and science of understanding, visualizing, describing, directing, leading, and assessing operations--in exercising effective command and control. The intent of FM 5-0 is to encourage greater flexibility through critical thought, action, and initiative. Army leaders must not only develop effective plans, they must be able to convert those plans into timely action while maintaining the capability to reframe and adapt as the situation changes in an increasingly dynamic operational environment.

MARTIN E. DEMPSEY General, U.S. Army Commanding General U.S. Army Training and Doctrine Command

Field Manual No. 5-0

*FM 5-0

Headquarters Department of the Army Washington, DC, 26 March 2010

The Operations Process

Chapter 1 Chapter 2 Chapter 3 Chapter 4 Chapter 5

Contents

Page

PREFACE............................................................................................................... v

INTRODUCTION ...................................................................................................vi

FUNDAMENTALS OF THE OPERATIONS PROCESS.................................... 1-1 The Nature of Operations ................................................................................... 1-1 Command and Control ....................................................................................... 1-3 The Operations Process..................................................................................... 1-9 Integrating Processes and Continuing Activities .............................................. 1-12 Running Estimates ........................................................................................... 1-13

PLANNING ......................................................................................................... 2-1 Planning and Plans............................................................................................. 2-1 Planning and the Levels of War ......................................................................... 2-1 The Value of Planning ........................................................................................ 2-2 Conceptual and Detailed Planning ..................................................................... 2-6 Fundamentals of Planning.................................................................................. 2-9 Key Components of a Plan............................................................................... 2-14

DESIGN .............................................................................................................. 3-1 Design Defined ................................................................................................... 3-1 Design Goals ...................................................................................................... 3-2 Design in Context ............................................................................................... 3-3 Leading Design................................................................................................... 3-6 Design Methodology........................................................................................... 3-7

PREPARATION ................................................................................................. 4-1 Preparation Functions ........................................................................................ 4-1 Preparation and the Operations Process ........................................................... 4-2 Preparation Activities .......................................................................................... 4-3

EXECUTION....................................................................................................... 5-1 Fundamentals of Execution ................................................................................ 5-1 Responsibilities During Execution ...................................................................... 5-3

Distribution Restriction: Approved for public release; distribution is unlimited. *This publication supersedes FM 5-0, 20 January 2005, and FMI 5-0.1, 31 March 2006.

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Contents

Chapter 6

Appendix A Appendix B Appendix C Appendix D Appendix E Appendix F Appendix G Appendix H Appendix I Appendix J

Decisionmaking During Execution ...................................................................... 5-5 Rapid Decisionmaking and Synchronization Process ........................................ 5-8 ASSESSMENT ................................................................................................... 6-1 Assessment Fundamentals.................................................................................6-1 Assessment Process........................................................................................... 6-1 Assessment and the Levels of War .................................................................... 6-4 Considerations for Effective Assessment ........................................................... 6-5 Assessment Working Groups ............................................................................. 6-9 Assessment Support ......................................................................................... 6-10 COMMAND POST ORGANIZATION AND OPERATIONS .............................. A-1 THE MILITARY DECISIONMAKING PROCESS .............................................. B-1 TROOP LEADING PROCEDURES................................................................... C-1 GUIDELINES FOR COMMANDER'S PLANNING GUIDANCE........................ D-1 ARMY OPERATION PLAN AND ORDER FORMAT ........................................ E-1 TASK ORGANIZATION .....................................................................................F-1 RUNNING ESTIMATES..................................................................................... G-1 FORMAL ASSESSMENT PLANS..................................................................... H-1 REHEARSALS .................................................................................................... I-1 MILITARY BRIEFINGS ...................................................................................... J-1 GLOSSARY .......................................................................................... Glossary-1 REFERENCES.................................................................................. References-1 INDEX ......................................................................................................... Index-1

Figures

Introductory figure-1. The operations process .......................................................................... vi Figure 1-1. Combining the elements of full spectrum operations .......................................... 1-3 Figure 1-2. The cognitive hierarchy ....................................................................................... 1-4 Figure 1-3. Battle command and the operations process ...................................................... 1-9 Figure 2-1. The Army problem solving model ........................................................................ 2-3 Figure 2-2. The planning construct ........................................................................................ 2-7 Figure 2-3. Commander's visualization.................................................................................. 2-9 Figure 3-1. The design methodology ..................................................................................... 3-7 Figure 5-1. Decisions in execution ......................................................................................... 5-6 Figure 5-2. Rapid decisionmaking and synchronization process .......................................... 5-8 Figure A-1. Functional and integrating cells........................................................................... A-3 Figure A-2. Integration of plans, future operations, and current operations .......................... A-5 Figure B-1. The steps of the military decisionmaking process .............................................. B-3

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Figure B-2. Mission analysis...................................................................................................B-6 Figure B-3. COA development .............................................................................................B-15 Figure B-4. Sample brigade COA sketch .............................................................................B-20 Figure B-5. COA analysis and war-gaming ..........................................................................B-21 Figure B-6. Sample belt method...........................................................................................B-26 Figure B-7. Sample modified belt method using lines of effort.............................................B-27 Figure B-8. Sample avenue-in-depth method ......................................................................B-27 Figure B-9. Sample modified avenue-in-depth method using lines of effort ........................B-28 Figure B-10. Sample box method.........................................................................................B-28 Figure B-11. Sample modified box method using lines of effort...........................................B-29 Figure B-12. Sample synchronization matrix technique .......................................................B-29 Figure B-13. Sample sketch note technique ........................................................................B-31 Figure B-14. COA comparison .............................................................................................B-34 Figure B-15. Sample advantages and disadvantages .........................................................B-34 Figure B-16. Sample decision matrix ...................................................................................B-35 Figure C-1. Parallel planning ................................................................................................. C-2 Figure C-2. Planning at company and below ........................................................................ C-3 Figure C-3. Sample schedule ................................................................................................ C-4 Figure C-4. Sample mission and COA statements................................................................ C-9 Figure E-1. Paragraph layout for plans and orders ................................................................E-4 Figure E-2. Annotated Army OPLAN/OPORD format ............................................................E-9 Figure E-3. Annotated attachment format (general).............................................................E-21 Figure E-4. Annotated WARNO format ................................................................................E-23 Figure E-5. Annotated sample FRAGO ................................................................................E-25 Figure E-6. Example of overlay order graphic ......................................................................E-26 Figure F-1. Sample outline format for a task organization (52d Infantry Division) .................F-5 Figure G-1. Generic base running estimate format ............................................................... G-2 Figure H-1. Sample of end state conditions for defensive operations .................................. H-3 Figure H-2. Sample of end state conditions for stability operations ...................................... H-4 Figure H-3. Sample assessment framework ......................................................................... H-6 Figure I-1. Rehearsal techniques ............................................................................................ I-3 Figure J-1. Information briefing format ................................................................................... J-1 Figure J-2. Decision briefing format ....................................................................................... J-2 Figure J-3. Considerations during planning............................................................................ J-4 Figure J-4. Considerations during preparation ....................................................................... J-5

Tables

Introductory table-1. New Army terms ..................................................................................... viii Introductory table-2. Modified Army definitions ....................................................................... viii Introductory table-3. Rescinded Army definitions.................................................................... viii

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Contents

Table 2-1. Types of problems and solution strategies ........................................................... 2-4 Table 5-1. Decision types and related actions ....................................................................... 5-7 Table 5-2. Examples of change indicators............................................................................. 5-9 Table 5-3. Considerations for synchronization and decision implementation actions ......... 5-12 Table 6-1. Assessment measures and indicators .................................................................. 6-3 Table B-1. Historical minimum planning ratios .................................................................... B-16 Table E-1. Designated letters for dates and times................................................................. E-6 Table E-2. List of attachments and responsible staff officers .............................................. E-17 Table F-1. Army command relationships ............................................................................... F-3 Table F-2. Army support relationships ................................................................................... F-4 Table F-3. Order for listing units in a task organization ......................................................... F-7 Table I-1. Example sustainment and protection actions for rehearsals ................................ I-12

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Preface

The six chapters and its associated ten appendixes of this edition of field manual (FM) 5-0, The Operations Process, constitute the Army's view on planning, preparing, executing, and assessing operations. Together with FM 6-0, Mission Command: Command and Control of Army Forces, this manual provides the Army with a common philosophy and language for the exercise of command and control throughout the conduct of operations.

This version of FM 5-0 increases the scope of the manual over previous versions from strictly a manual on planning and orders production to a manual that addresses all activities of the operations process. It describes how commanders, with support from their staffs, drive the operations process through battle command--the art and science of understanding, visualizing, describing, directing, leading, and assessing operations to accomplish missions. This change intends to better describe the dynamic relationship among the commander, staff, subordinate commanders and their staffs, and other military and civilian partners throughout the operations process--not just planning. In addition, FM 5-0 incorporates design within the operations process. Design is an approach to critical and creative thinking that assists commanders in understanding, visualizing, and describing complex problems and developing approaches to manage or solve them.

To comprehend the doctrine contained in FM 5-0, readers must first understand the fundamentals of full spectrum operations described in FM 3-0, Operations. In addition, readers must be familiar with FM 3-90, Tactics, FM 3-07, Stability Operations, and JP 3-28, Civil Support. They must understand how offensive, defensive, and stability or civil support operations complement each other. Readers must also understand the fundamentals of command and control addressed in FM 6-0 and the fundamentals of leadership addressed in FM 6-22, Army Leadership.

This manual applies to all Army forces. The principal audience for this manual is Army commanders and unit staffs (officers, noncommissioned officers, and Soldiers). Commanders and staffs of Army headquarters serving as a joint task force or a multinational headquarters should also refer to applicable joint or multinational doctrine for the exercise of command and control. Trainers and educators throughout the Army also use this manual.

Terms that have joint or Army definitions are identified in both the glossary and the text. Glossary references: The glossary lists most terms used in FM 5-0 that have joint or Army definitions. Terms for which FM 5-0 is the proponent field manual (the authority) are indicated with an asterisk in the glossary. Text references: Definitions for which FM 5-0 is the proponent field manual are printed in boldface in the text. These terms and their definitions will be incorporated into the next revision of FM 1-02, Operational Terms and Graphics. For other definitions in the text, the term is italicized and the number of the proponent manual follows the definition.

FM 5-0 applies to the Active Army, the Army National Guard/Army National Guard of the United States, and the United States Army Reserve unless otherwise stated.

Headquarters, U.S. Army Training and Doctrine Command, is the proponent for this publication. The preparing agency is the Combined Arms Doctrine Directorate, U.S. Army Combined Arms Center. Send written comments and recommendations on DA Form 2028 (Recommended Changes to Publications and Blank Forms) to Commander, U.S. Army Combined Arms Center and Fort Leavenworth, ATTN: ATZL-CD (FM 5-0), 300 McPherson Avenue, Fort Leavenworth, KS 66027-2337; by e-mail to: leav-cadd-web-cadd@conus.army.mil; or submit an electronic DA Form 2028.

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Introduction

Army forces conduct full spectrum operations within operational environments characterized by complexity, uncertainty, and continuous change. In operations, commanders face thinking and adaptive enemies, changing civilian perceptions and differing agendas of various organizations in an operational area. Commanders can never predict with certainty how enemies or civilians will act and react or how events may develop. Success in operations requires leaders to build, maintain, and revise their situational understanding throughout an operation. Leaders must anticipate, learn, adapt, and manage transitions more effectively than their opponents.

This manual describes how commanders--supported by their staffs, subordinate commanders, and other military and civilian partners--exercise command and control during the conduct of full spectrum operations. They do this through the operations process as shown in introductory figure-1. The operations process consists of the major command and control activities performed during operations: planning, preparing, executing, and continuously assessing the progress of an operation. Battle command is at the center of the operations process.

Introductory figure-1. The operations process

In addition to the principles of operations found in field manual (FM) 3-0, the doctrine that FM 5-0 prescribes is built on six fundamentals:

? Commanders drive the operations process through battle command. Staffs perform essential functions that amplify the effectiveness of operations; however, commanders play the central role in the operations process through battle command. Battle command is the art and science of understanding, visualizing, describing, directing, leading, and assessing operations to accomplish missions. All activities of battle command occur in planning, preparation, execution, and assessment, but vary in emphasis throughout the operations process.

? Situational understanding is fundamental to effective command and control. Throughout the operations process, commanders (supported by their staffs, the staffs of higher headquarters, subordinate commanders, and other military and civilian partners) seek to build and maintain their situational understanding--the product of applying analysis and judgment to relevant information and knowledge--to facilitate their decisionmaking. Situational understanding is essential for commanders in establishing the situation's context, developing effective plans, assessing operations, and making quality decisions during execution. Commanders and staffs must continually work to maintain their situational understanding and work through periods of reduced understanding as the situation evolves.

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