Вы находитесь на странице: 1из 99

JOINT CONTENTS

FOREWORD

BY THE SECRETARY OF STATE FOR DEFENCE


7KH SULPDU\ DQG HQGXULQJ SXUSRVH RI WKH %ULWLVK DUPHG IRUFHV LV WR SURWHFW WKH IUHHGRP DQG
WHUULWRULDOLQWHJULW\RIWKH8QLWHG.LQJGRPDQGLWVGHSHQGHQWWHUULWRULHVDQGWRKHOSVXVWDLQWKH
QDWLRQ
VZLGHUVHFXULW\LQWHUHVWV,QUHFHQW\HDUVWKHLURSHUDWLRQDOFRPPLWPHQWVKDYHLQFOXGHGD
PDMRU FRQWULEXWLRQ WR 1$72 ZKLFK KDV XQGHUSLQQHG (XURSHDQ VHFXULW\ VXSSRUW WR WKH FLYLO
SRZHULQ1RUWKHUQ,UHODQGDUDQJHRIWDVNVDURXQGWKHZRUOGLQVXSSRUWRI%ULWDLQ
VLQWHUHVWVDQG
WKRVHRIWKHZLGHULQWHUQDWLRQDOFRPPXQLW\DQGFRPEDWRSHUDWLRQVLQWKH)DONODQG,VODQGVDQG
WKH*XOI

7KHHQGLQJRIWKHFROGZDUKDVEURXJKWDERXWPDMRUFKDQJHVLQWKHVHFXULW\HQYLURQPHQW1RW
OHDVW WKH SURVSHFW RI WKH 8QLWHG .LQJGRP
V DJDLQ EHFRPLQJ LQYROYHG LQ D ZDU RI QDWLRQDO
VXUYLYDO KDV UHFHGHG  +RZHYHU RWKHU ULVNV WR LQWHUQDWLRQDO SHDFH DQG VHFXULW\  VXFK DV
QDWLRQDOLVWHWKQLFDQGUHOLJLRXVWHQVLRQVZKLFKKDGEHHQVXSSUHVVHGIRUPDQ\\HDUVKDYHEHHQ
DOORZHGWRHUXSW7RGD\
VVHFXULW\HQYLURQPHQWLVPRUHFRPSOH[PRUHYDULHGDQGPRUHYRODWLOH
DQG LV FRPSOLFDWHG E\ VLJQLILFDQW VWRFNSLOHV RI ZHDSRQU\ LQFOXGLQJ ZHDSRQV RI PDVV
GHVWUXFWLRQ  LQ XQVWDEOH UHJLRQV RI WKH ZRUOG  7KLV PHDQV WKDW RXU DUPHG IRUFHV KDYH WR EH
SUHSDUHGWRPHHWIUHTXHQWO\DWVKRUWQRWLFHDZLGHUDQJHRIVHFXULW\FKDOOHQJHVDQGRSHUDWLRQDO
FRPPLWPHQWVZKLFKFRXOGDULVHLQPDQ\GLIIHUHQWSDUWVRIWKHZRUOG

)DFHGZLWKWRGD\
VGLYHUVHDQGRIWHQXQSUHGLFWDEOHFKDOOHQJHVHYHU\RQHLQYROYHGLQWKH8QLWHG
.LQJGRP
V GHIHQFH HIIRUW QHHGV WR KDYH D FOHDU XQGHUVWDQGLQJ RI ZK\ ZH KDYH DUPHG IRUFHV
KRZ WKHVH IRUFHV ILW LQWR WKH RYHUDOO SDWWHUQ RI VHFXULW\ DQG GHIHQFH DQG WKH SULQFLSOHV EHKLQG
WKHLU XVH  ,Q VKRUW WKH\ QHHG WR XQGHUVWDQG %ULWLVK GHIHQFH GRFWULQH   +RZHYHU WR GDWH
QRWZLWKVWDQGLQJ WKH H[FHOOHQW VLQJOHVHUYLFH GRFWULQH PDQXDOV WKHUH KDV EHHQ QR VLQJOH
SXEOLFDWLRQ ZKLFK VHWV RXW KRZ ZH JR DERXW WKH RYHUDOO EXVLQHVV RI GHIHQFH %ULWLVK 'HIHQFH
'RFWULQH -:3 DLPVWRILOOWKDWJDS

%ULWLVK'HIHQFH'RFWULQHLVEDVHGRQWKHHQGXULQJOHVVRQVRIKLVWRU\SODFHGLQWKH FRQWH[W RI
PRGHUQ H[SHULHQFH  ,W GHVFULEHV WKH OLQNDJHV EHWZHHQ QDWLRQDO SROLF\ DQG PLOLWDU\ RSHUDWLRQV
DQGLVLQWHQGHGWRJXLGHWKRVHLQYROYHGLQGHIHQFHDWVHQLRUOHYHOWRHGXFDWHVWDIIRIILFHUV DQG
RIILFLDOV DQG WR LQIRUP WKH ZLGHU SXEOLF  ,W LV WKH DXWKRULWDWLYH VRXUFH IURP ZKLFK DOO 8QLWHG
.LQJGRP GRFWULQH LV GHULYHG EXW LW LV QRW SUHVFULSWLYH DQG LW PXVW EH DSSOLHG ZLWK FRPPRQ
VHQVH DQG MXGJHPHQW  ,W VKRXOG DFW DV D IRFXV IRU IXUWKHU VWXG\ DQG LQIRUPHG GHEDWH DERXW
GHIHQFH LVVXHV  ,W LV DSSOLHG ZLWKLQ WKH IUDPHZRUN RI WKH *RYHUQPHQW
V VHFXULW\ DQG GHIHQFH
SROLFLHVVHWRXWLQWKH6WDWHPHQWRQWKH'HIHQFH(VWLPDWHV

)RUZDUG 
CONTENTS
)25(:25'

&217(176

&KDSWHU2QH ,1752'8&7,21

‰ 7KH1DWXUHRI'RFWULQH
‰ 7KH,PSRUWDQFHRI'RFWULQH
‰ 7KH3ULQFLSOHVRI:DU
‰ 'RFWULQH3XEOLFDWLRQV
‰ 7KH/HYHOVRI:DUIDUH

&KDSWHU7ZR :$5$1'$50('&21)/,&7

‰ 7KH1DWXUHRI:DUDQG$UPHG&RQIOLFW
‰ 7KH'LPHQVLRQVRI&RQIOLFW
‰ &RQIOLFWLQWKH0RGHUQ:RUOG
‰ 7\SHVRI&RQIOLFW

&KDSWHU7KUHH 6(&85,7<$1''()(1&(

‰ 7KH1DWXUHRI6HFXULW\
‰ 7KH3XUVXLWRI6HFXULW\
‰ 7KH1DWXUHRI'HIHQFH
‰ 7KH&RPSRQHQWVRI'HIHQFH
‰ 7KH8VHRI0LOLWDU\)RUFH

&KDSWHU)RXU 675$7(*,&&216,'(5$7,216

‰ 7KH1DWXUHRI6WUDWHJ\
‰ 7KH(QYLURQPHQW
‰ 7KH(QHP\
‰ (QGV
‰ :D\V
‰ 0HDQV

&KDSWHU)LYH 81,7('.,1*'206(&85,7<$1''()(1&(

‰ 7KH6HFXULW\&RQWH[W
‰ 8QLWHG.LQJGRP6HFXULW\
‰ 8QLWHG.LQJGRP'HIHQFH
‰ 7KH+LJKHU0DQDJHPHQWRI'HIHQFH
&KDSWHU6L[ %5,7,6+0,/,7$5<&$3$%,/,7<

‰ &DSDELOLW\
‰ &LUFXPVWDQFHVLQ:KLFK%ULWLVK)RUFHV0LJKWEH8VHG
‰ 7\SHVRI0LOLWDU\2SHUDWLRQ
‰ 1DWXUHRIWKH$UPHG)RUFHV5HTXLUHGE\WKH8QLWHG.LQJGRP
‰ &DWHJRULHVRI)RUFHV
‰ 3URYLVLRQRI0LOLWDU\&DSDELOLW\E\WKH6LQJOH6HUYLFHV
‰ 7KH0LOLWDU\)XQFWLRQV
‰ 0DLQWDLQLQJ0LOLWDU\&DSDELOLW\

&KDSWHU6HYHQ &5,6,60$1$*(0(17

‰ 3ULQFLSOHVRI&ULVLV0DQDJHPHQW
‰ 3ROLWLFDO&RQWURODQG'LUHFWLRQ
‰ 2UJDQLVDWLRQ
‰ &RPPDQGDQG&RQWURO
‰ &ULVLV0DQDJHPHQW6HTXHQFH

32676&5,37

$QQH[$ 35,1&,3/(62):$5
$QQH[% &21)/,&7$1'/(*$/,7<
$QQH[& &2//(&7,9(6(&85,7<$1''()(1&(
$QQH[' &200$1'$1'&21752/$55$1*(0(176

*/266$5<

,1'(;>1RW,QFOXGHG@
Doctrine has its foundation in history - it is enduring but not unchanging. The Royal
Navy's Submarine H3 (in service 1902-1913) seen here passing Nelson's Flagship
HMS Victory in Portsmouth Harbour early this century. Picture courtesy of the Imperial
War Museum.
Chapter 1

INTRODUCTION

The Nature of Doctrine


‰ 3XWPRVWVLPSO\GRFWULQHLVWKDWZKLFKLVWDXJKW0LOLWDU\GRFWULQHLVGHILQHGE\WKH1RUWK
$WODQWLF7UHDW\2UJDQLVDWLRQ 1$72 DVIXQGDPHQWDOSULQFLSOHVE\ZKLFKPLOLWDU\IRUFHVJXLGH
WKHLU DFWLRQV LQ VXSSRUW RI REMHFWLYHV  ,W LV DXWKRULWDWLYH EXW UHTXLUHV MXGJHPHQW LQ
DSSOLFDWLRQ  7KURXJKRXW WKLV GRFXPHQW PLOLWDU\ LV XVHG WR HQFRPSDVV DOO DUPHG IRUFHV DQG
GRFWULQHPHDQVPLOLWDU\GRFWULQH 'RFWULQHLVQRWDVHWRIUXOHV ZKLFK FDQ EH DSSOLHG ZLWKRXW
WKRXJKWLWLVUDWKHUDIUDPHZRUNIRUXQGHUVWDQGLQJWKHQDWXUHRIDUPHGFRQIOLFWDQGWKHXVHRI
PLOLWDU\ IRUFH  6LU -XOLDQ &RUEHWW GHVFULEHG LW DV D FRPPRQ YHKLFOH IRU H[SUHVVLRQ DQG D
FRPPRQSODQHRIWKRXJKW,WVSXUSRVHLVWRJXLGHH[SODLQDQGHGXFDWHDQGWRSURYLGHWKHEDVLV
IRUIXUWKHUVWXG\DQGLQIRUPHGGHEDWH

‰ 'RFWULQH LV WKH ERG\ RI WKRXJKW ZKLFK XQGHUSLQV WKH GHYHORSPHQW RI GHIHQFH SROLF\ LW LV
LQIRUPDWLYH ZKHUHDV SROLF\ LV HVVHQWLDOO\ SUHVFULSWLYH  'RFWULQH KDV LWV IRXQGDWLRQ LQ KLVWRU\
DQGGHULYHVLWVDXWKRULW\IURPEHLQJWKHGLVWLOODWLRQRIPXFKKDUGZRQH[SHULHQFH7KHUHIRUHLW
LVHQGXULQJEXWLWLVQRWXQFKDQJLQJ'RFWULQHHYROYHVLQUHVSRQVHWRFKDQJHVLQWKHSROLWLFDORU
VWUDWHJLF EDFNJURXQG LQ WKH OLJKW RI H[SHULHQFH RU DV D UHVXOW RI QHZ WHFKQRORJ\  ,Q WXUQ LW
LQIOXHQFHV WKH ZD\ LQ ZKLFK SROLF\ DQG SODQV DUH GHYHORSHG IRUFHV DUH RUJDQLVHG DQG WUDLQHG
DQGHTXLSPHQWLVSURFXUHG

The Importance of Doctrine


‰ .QRZOHGJHDQGXQGHUVWDQGLQJRIGRFWULQHDQGLWV DSSOLFDWLRQ DLG FODULW\ RI WKRXJKW LQ WKH
FKDRV RI FULVLV DQG ZDU  6RXQG GRFWULQH SURYLGHV D FRPPRQ DSSURDFK DQG ZD\ RI WKLQNLQJ
ZKLFKLVQRWERXQGE\SUHVFULSWLYHUXOHV7KLVZLOOOHDGWKURXJKWUDLQLQJWRFRQVLVWHQWEHKDYLRXU
PXWXDO FRQILGHQFH DQG SURSHUO\ RUFKHVWUDWHG FROOHFWLYH DFWLRQ ZLWKRXW FRQVWUDLQLQJ LQGLYLGXDO
LQLWLDWLYH'RFWULQHDOVRHQFRPSDVVHVRUJDQLVDWLRQDQGFRPPDQGWRHQVXUHXQLW\RIHIIRUW,WLV
UHOHYDQWDFURVVWKHZKROHUDQJHRIPLOLWDU\RSHUDWLRQVDWVHDRQODQGDQGLQWKHDLUDQGDWHDFK
RIWKHOHYHOVRIZDUIDUHJUDQGVWUDWHJLFPLOLWDU\VWUDWHJLFRSHUDWLRQDODQGWDFWLFDOZKLFKDUH
H[SODLQHGLQWKH%R[DWWKHHQGRIWKLVFKDSWHU

The Principles of War


‰ 0DQ\ FRXQWULHV KDYH DGRSWHG 3ULQFLSOHV RI :DU  IRFXVLQJ RQ WKH PRVW LPSRUWDQW DQG
HQGXULQJ WHQHWV DSSOLFDEOH WR WKH FRQGXFW RI ZDU GHULYHG IURP H[SHULHQFH WKHLU LQIOXHQFH
SHUPHDWHVGRFWULQHDWDOOOHYHOV7KH3ULQFLSOHVRI:DUUHFRJQLVHGE\WKH%ULWLVK$UPHG)RUFHV
DUH OLVWHG DQG GHVFULEHG LQ $QQH[ $  7KH\ DUH QRW D FKHFNOLVW ZKLFK JXDUDQWHHV VXFFHVV
+RZHYHU LI DSSOLHG ZLWK MXGJHPHQW WKH\ SURYLGH JXLGDQFH LQ WKH SODQQLQJ DQG FRQGXFW RI
RSHUDWLRQVDWDOOOHYHOVDQGWKH\RIIHUFULWHULDDJDLQVWZKLFKSURSRVHGFRXUVHVRIDFWLRQPD\EH
WHVWHG'LVUHJDUGRIWKHPFRXUWVIDLOXUH

1 AAP-6: NATO Glossary


2 Sir Julian Corbett (1854 - 1922) - maritime historian and strategist.


BRITISH DOCTRINE HIERARCHY

British
Defence Doctrine
JWP 0-01

British
Maritime
Doctrine
BR1806

United Kingdom Allied


British Doctrine for Joint
Military Operations
Joint and Combined Doctrine
Doctrine
BMD Operations (AJP-1(A))
JWP 0-01

Air
Power
Doctrine
AP3000

Tactics, Techniques and Procedures

Figure 1
Doctrine Publications
‰ %ULWLVK'HIHQFH'RFWULQH7KLVSXEOLFDWLRQLVFRQFHUQHGFKLHIO\ZLWKWKHVWUDWHJLFOHYHOLW
GHVFULEHVWKHOLQNDJHVEHWZHHQQDWLRQDOSROLF\DQGPLOLWDU\RSHUDWLRQV,WVLWVDWWKHDSH[RIWKH
KLHUDUFK\RI8QLWHG.LQJGRPGRFWULQHSXEOLFDWLRQVVKRZQDW)LJXUHDQGLVWKHDXWKRULWDWLYH
VRXUFH IURP ZKLFK DOO 8QLWHG .LQJGRP GRFWULQH VKRXOG EH GHULYHG  7KLV LQFOXGHV GRFWULQH
GHDOLQJZLWKVLQJOH6HUYLFHRSHUDWLRQVMRLQWRSHUDWLRQV ZKLFKLQYROYHPRUHWKDQRQHVHUYLFHRI
WKH VDPH QDWLRQ  DQG FRPELQHG RSHUDWLRQV ZKLFK LQYROYH IRUFHV IURP WZR RU PRUH QDWLRQV 
%ULWLVK'HIHQFH'RFWULQHGHVFULEHVWKHQDWXUHDQGGLPHQVLRQVRIFRQIOLFWWKHQDWXUHRIVHFXULW\
DQG WKH FRPSRQHQWV RI GHIHQFH  ,W GLVFXVVHV KRZ WKH 8QLWHG .LQJGRP
V $UPHG )RUFHV FDQ
FRQWULEXWHWRQDWLRQDOVHFXULW\DQGWKHZD\LQZKLFKWKHVWUDWHJLFPLOLWDU\GLUHFWLRQRIRSHUDWLRQV
LVIRUPXODWHGDQGSDVVHGWRRSHUDWLRQDOFRPPDQGHUV,WGHDOVZLWKKRZWKH$UPHG)RUFHV DUH
OLNHO\WREHXVHGLQFRQFHUWZLWKHDFKRWKHUDQGZLWKDOOLHGIRUFHV QRZ DQG LQ WKH LPPHGLDWH
IXWXUH,WZLOOEHSHULRGLFDOO\UHYLHZHGDQGXSGDWHG

‰ 2WKHU 'RFWULQH 3XEOLFDWLRQV  7KH 5R\DO 1DY\ $UP\ DQG 5R\DO $LU )RUFH KDYH HDFK
SXEOLVKHGDGRFWULQHPDQXDOGHDOLQJUHVSHFWLYHO\ZLWKPDULWLPHODQGDQGDLUZDUIDUHWKHVHDUH
7KH )XQGDPHQWDOV RI %ULWLVK 0DULWLPH 'RFWULQH 'HVLJQ IRU 0LOLWDU\ 2SHUDWLRQV  7KH %ULWLVK
0LOLWDU\ 'RFWULQH DQG 5R\DO $LU )RUFH $LU 3RZHU 'RFWULQH 1$72
V GRFWULQH IRU MRLQW DQG
FRPELQHG ZDUIDUH DW WKH RSHUDWLRQDO OHYHO LV GHVFULEHG LQ $OOLHG -RLQW 2SHUDWLRQV 'RFWULQH
$GGLWLRQDOO\ D IDPLO\ RI DVVRFLDWHG QDWLRQDO MRLQW GRFWULQH SXEOLFDWLRQV DW WKH RSHUDWLRQDO DQG
WDFWLFDO OHYHOV LV EHLQJ SURGXFHG  7KH SULQFLSDO SXEOLFDWLRQ LV SURYLVLRQDOO\ HQWLWOHG 8QLWHG
.LQJGRP 'RFWULQH IRU -RLQW DQG &RPELQHG 2SHUDWLRQV 7KHVH SXEOLFDWLRQV DUH QRW H[FOXVLYH
GRFXPHQWV GHDOLQJ ZLWK ZDWHUWLJKW FRPSDUWPHQWV RI WKRXJKW RU SUDFWLFH EXW DUH UHODWHG ZRUNV
ZKLFKFRQVLGHUWKHDSSOLFDWLRQRIPLOLWDU\IRUFHIURPGLIIHUHQWYLHZSRLQWV,WLV8QLWHG.LQJGRP
SROLF\ WKDW 8QLWHG .LQJGRP GRFWULQH VKRXOG EH FRQVLVWHQW ZLWK 1$72 GRFWULQH RWKHU WKDQ LQ
WKRVH H[FHSWLRQDO FLUFXPVWDQFHV ZKHUH WKH 8QLWHG .LQJGRP KDV HOHFWHG QRW WR UDWLI\ 1$72
GRFWULQH

Doctine is relevant across the whole


range of military operations. Seen here,
British and Canadian troops come
ashore in Normandy, 6 June 1944.
Picture courtesy of the Imperial War
Museum.

3 BR 1806 dated 1995; Army Code No 71451 Second edition dated 1996 ("Military" is used here in the narrower sense of
pertaining to the Army); and AP 3000 Second Edition dated 1993.
4 AJP-1, Allied Joint Operations Doctrine, 1994 (Second Edition (AJP1A) due for publication in 1997).


THE LEVELS OF WARFARE
‰ 7KH UHFRJQLVHG OHYHOV RI ZDUIDUH IURP ZKLFK WKH OHYHOV IRU WKH SODQQLQJ DQG FRPPDQG RI
RSHUDWLRQV DUH GHULYHG DUH JUDQG VWUDWHJLF PLOLWDU\ VWUDWHJLF RSHUDWLRQDO DQG WDFWLFDO  7KH
HVVHQFH RI SODQQLQJ DW HDFK OHYHO LV WR EDODQFH WKH GHVLUHG HQG WKH ZD\ LQ ZKLFK LW LV WR EH
DFKLHYHG DQG DGHTXDWH PHDQV RI DFKLHYLQJ LW  ,I WKLV FDQQRW EH GRQH WKH LVVXH QHHGV WR EH
EDODQFHG DW WKH OHYHO DERYH  7KXV SODQQLQJ DW WKH GLIIHUHQW OHYHOV LV YHU\ FORVHO\ OLQNHG DQG
LQWHUGHSHQGHQWLQSUDFWLFHWKHOHYHOVRYHUODSDQGWKHGLVWLQFWLRQVZLOOUDUHO\EHWLG\+RZHYHU
LWLVLPSRUWDQWWRUHFRJQLVHWKDWWKHGLIIHUHQFHLVQRWPHUHO\DPDWWHURIVFDOHDQGWKDWWKHUHDUH
GLVWLQFWLYHHOHPHQWVDWHDFKOHYHOLUUHVSHFWLYHRIWKHVL]HRUQDWXUHRIWKHRSHUDWLRQ7KHOHYHOV
DUHGHVFULEHGLQWKHIROORZLQJSDUDJUDSKV

‰ *UDQG 6WUDWHJ\ LV WKH DSSOLFDWLRQ RI QDWLRQDO UHVRXUFHV WR DFKLHYH QDWLRQDO SROLF\
REMHFWLYHV LQFOXGLQJ DOOLDQFH RU FRDOLWLRQ REMHFWLYHV   ,WV SXUSRVH LV WR GLUHFW DQG SURYLGH
FRKHUHQFHWRDOODVSHFWVRIQDWLRQDOSROLF\,WLVWKHSURYLQFHRIPLQLVWHUVDQGWKHLUPRVWVHQLRU
DGYLVHUV  *UDQG 6WUDWHJ\ GHILQHV SROLF\ REMHFWLYHV IRUJHV DOOLDQFHV DQG VWLSXODWHV OLPLWV RQ
HQDEOLQJ DFWLYLWLHV  ,W DOVR PDNHV DYDLODEOH WKH DSSURSULDWH UHVRXUFHV DQG ZKHUH QHFHVVDU\
JLYHV GLUHFWLRQ WR WKH QDWLRQDO HIIRUW  1$72 GHVFULEHV WKLV DV WKH
SROLWLFDO VWUDWHJLF OHYHO

&KXUFKLOO VDLG WKDW WKH DUW RI JUDQG VWUDWHJ\ ZDV WR IRUHVHH WKH RXWOLQHV RI WKH IXWXUH DQG EH
SUHSDUHGWRGHDOZLWKLW7KXVJUDQGVWUDWHJ\PXVWEHIRUZDUGORRNLQJWRDQWLFLSDWHWKHYDULRXV
ZD\V LQ ZKLFK D SRWHQWLDO RSSRQHQW DQG DQ\ RWKHU SDUWLFLSDQWV  PLJKW UHDFW ERWK EHIRUH DQG
DIWHUPLOLWDU\DFWLRQKDVEHHQLQLWLDWHG

‰ 0LOLWDU\ 6WUDWHJ\ LV WKH DSSOLFDWLRQ RI PLOLWDU\ UHVRXUFHV WR KHOS DFKLHYH JUDQG
VWUDWHJLF REMHFWLYHV  ,W LV WKH PLOLWDU\ FRPSRQHQW RI JUDQG VWUDWHJ\ DQG LV IRUPXODWHG IURP
SROLWLFDOGLUHFWLRQ,WLVFRQFHUQHGZLWKGHWHUPLQLQJWKHPLOLWDU\VWUDWHJLFREMHFWLYHVDQGGHVLUHG
HQG VWDWH UHTXLUHG WR DFKLHYH JUDQG VWUDWHJLF DLPV WKH PLOLWDU\ DFWLRQ QHHGHG WR DFKLHYH WKHVH
REMHFWLYHVWKHUHVRXUFHVWREHDOORFDWHGDQGWKHFRQVWUDLQWVWREHDSSOLHG,WLVWKHUHVSRQVLELOLW\
RI WKH &KLHI RI WKH 'HIHQFH 6WDII WR SURYLGH PLOLWDU\ VWUDWHJLF GLUHFWLRQ WR RSHUDWLRQDO
FRPPDQGHUV7KLVLVXVXDOO\H[SUHVVHGLQWKHIRUPRIWKH&KLHIRIWKH'HIHQFH6WDII
V'LUHFWLYH
RULQWKHFDVHRI1$72WKH0LOLWDU\&RPPLWWHH
V'LUHFWLYH

‰ 7KH2SHUDWLRQDO/HYHOLVFRQFHUQHGZLWKWKHGLUHFWLRQRIPLOLWDU\UHVRXUFHVWRDFKLHYH
PLOLWDU\ VWUDWHJLF REMHFWLYHV ,W LV WKH OHYHO DW ZKLFK FDPSDLJQV DQG PDMRU RSHUDWLRQV DUH
SODQQHG VHTXHQFHG DQG GLUHFWHG  ,W LV WKH UHVSRQVLELOLW\ RI WKH RSHUDWLRQDO OHYHO FRPPDQGHU
XVXDOO\ LGHQWLILDEOH DV WKH MRLQW RU FRPELQHG IRUFH FRPPDQGHU LQ WKH WKHDWUH RI RSHUDWLRQV WR
GHWHUPLQHWKHFDPSDLJQSODQDQGDVVRFLDWHGREMHFWLYHVUHTXLUHGWRDFKLHYHWKHGHVLUHGPLOLWDU\
VWUDWHJLF HQG VWDWH
ZLWKLQ KLV GHVLJQDWHG
WKHDWUH RI RSHUDWLRQV
7KH RSHUDWLRQDO OHYHO
British Minehunters in The Gulf,
1991 SURYLGHV WKH FUXFLDO
OLQN EHWZHHQ WKH
VHWWLQJ RI PLOLWDU\
VWUDWHJLF REMHFWLYHV
DQG WKH WDFWLFDO
HPSOR\PHQWRIIRUFHV
7KHRUFKHVWUDWLRQRIPLOLWDU\ DFWLYLWLHVDWWKLV OHYHO LV WHUPHG 2SHUDWLRQDO $UW LW LV YLWDO WR WKH
VXFFHVVRIDQ\FDPSDLJQDQGLVRQHRIWKHPRVWLPSRUWDQWVNLOOVZKLFKPLOLWDU\OHDGHUVQHHGVWR
GHYHORS


‰ 7KH 7DFWLFDO /HYHO LQYROYHV WKH GLUHFWLRQ RI PLOLWDU\ UHVRXUFHV WR DFKLHYH RSHUDWLRQDO
REMHFWLYHV  ,W LV WKH OHYHO DW ZKLFK EDWWOHV DQG HQJDJHPHQWV ZLWKLQ D VHTXHQFH RI PDMRU
RSHUDWLRQV DUH SODQQHG IRUFHV DUH GHSOR\HG UHDG\ IRU EDWWOH DQG DW ZKLFK EDWWOHV DQG
HQJDJHPHQWV DUH IRXJKW 7KH WDFWLFDO OHYHO RI FRPPDQG LV SULPDULO\ WKH FRQFHUQ RI MRLQW RU
FRPELQHGIRUFHFRPSRQHQWFRPPDQGHUVDQGWKHLUVXERUGLQDWHV

British soldiers man their "stand to" positions in


the Desert

Examples of The Levels of Warfare taken from the Gulf War in 1991
‰ 7KH *UDQG 6WUDWHJLF /HYHO   ,Q WKH *XOI :DU WKH DSSOLFDWLRQ RI QDWLRQDO UHVRXUFHV WR
DFKLHYH SROLF\ REMHFWLYHV ZDV UHIOHFWHG LQ WKH GHFLVLRQ E\ +HU 0DMHVW\
V *RYHUQPHQW WR
LPSOHPHQWDVHULHV RI UHVSRQVHV LQFOXGLQJ WKH XVH RI PLOLWDU\ IRUFH IROORZLQJ WKH LQYDVLRQ RI
.XZDLWE\,UDT7KHIUDPHZRUNZDVVHWE\WKHMRLQWVWDWHPHQWVE\3UHVLGHQW*HRUJH%XVKDQG
3ULPH0LQLVWHU0DUJDUHW7KDWFKHU DW &DPS 'DYLG LQ WKH LPPHGLDWH DIWHUPDWK RI WKH LQYDVLRQ
GHFODULQJ WKH GHIHQFH RI 6DXGL $UDELD DQG WKH VRYHUHLJQW\ RI .XZDLW DV PDWWHUV RI QDWLRQDO
LQWHUHVW6XEVHTXHQWGHFLVLRQVDWWKLVOHYHOUHODWHGWRWKHIUDPLQJDQGSDVVLQJRI8QLWHG1DWLRQV

6HFXULW\&RXQFLO5HVROXWLRQZKLFKUHSUHVHQWHGWKHJUDQGVWUDWHJLFREMHFWLYHPDQGDWLQJWKH
XVHRIIRUFHDJDLQVW,UDTLIRUFHVVKRXOGWKH\QRWDFFHGHWRWKHLQWHUQDWLRQDOGHPDQGWRZLWKGUDZ
IURP.XZDLWDQGWKHOLPLWDWLRQLPSRVHGRQWKHPLVVLRQRI&RDOLWLRQIRUFHVWROLEHUDWH.XZDLW
UDWKHUWKDQGHIHDW,UDT1DWLRQDOO\WKHJUDQGVWUDWHJLFOHYHOZDVUHSUHVHQWHGE\WKH'HIHQFHDQG
2YHUVHDV3ROLF\&RPPLWWHHZKLFKHVWDEOLVKHG8QLWHG.LQJGRPSROLF\GXULQJWKHFULVLV

‰ 7KH0LOLWDU\6WUDWHJLF/HYHO7KHDSSOLFDWLRQRIPLOLWDU\UHVRXUFHVWRKHOSDFKLHYHJUDQG
VWUDWHJLFREMHFWLYHVZDVUHIOHFWHGLQWKHMRLQWSODQQLQJE\WKHSULQFLSDOPHPEHUVRIWKH 8QLWHG
6WDWHV
 OHG &RDOLWLRQ WR LGHQWLI\ PLOLWDU\ VWUDWHJLF REMHFWLYHV LQLWLDOO\ WR GHWHU ,UDTL DJJUHVVLRQ
DJDLQVW 6DXGL $UDELD
DQG WKHUHDIWHU WR
LPSOHPHQW D VHULHV RI
British Jaguar aircraft 6HFXULW\ &RXQFLO
on patrol over the Gulf. 5HVROXWLRQV DQG WR
GHFLGH WKH DOORFDWLRQ RI
IRUFHV DQG UHVRXUFHV
UHTXLUHG WR PHHW WKRVH
REMHFWLYHV  :LWKLQ WKH
8QLWHG .LQJGRP WKH PLOLWDU\ VWUDWHJLF OHYHO ZDV UHSUHVHQWHG E\ WKH ZRUN RI WKH 0LQLVWU\ RI


'HIHQFHLQFRQVXOWDWLRQZLWKRWKHUJRYHUQPHQWGHSDUWPHQWV([DPSOHVRIGHFLVLRQVDWWKLVOHYHO
LQFOXGHDOORFDWLQJIRUFHVDQGUHVRXUFHVWRWKHWKHDWUHRIRSHUDWLRQVHVWDEOLVKLQJREMHFWLYHVDQG
LPSOHPHQWLQJ WKH SROLF\ DQG OHJDO OLPLWDWLRQV ODLG GRZQ E\ WKH 'HIHQFH DQG 2YHUVHDV 3ROLF\
&RPPLWWHH

‰ 7KH 2SHUDWLRQDO /HYHO  7KH GLUHFWLRQ RI PLOLWDU\ UHVRXUFHV WR DFKLHYH PLOLWDU\ VWUDWHJLF
REMHFWLYHV ZDV H[HPSOLILHG E\ WKH ZRUN RI WKH -RLQW &RDOLWLRQ +HDGTXDUWHUV EDVHG RQ
+HDGTXDUWHUV &HQWUDO &RPPDQG XQGHU WKH FRPPDQG RI *HQHUDO 1RUPDQ 6FKZDU]NRSI  7KLV
+HDGTXDUWHUVSODQQHGDQGPRXQWVXVWDLQDQGVXSSRUW8QLWHG.LQJGRPIRUFHVGHSOR\HGRQWKH
JURXQG WR PRQLWRU RSHUDWLRQV DQG UHSRUW SURJUHVV WR WKH 0LQLVWU\ RI 'HIHQFH  7KHVH
KHDGTXDUWHUV KDG WKH GHOHJDWHG DXWKRULW\ WR DOORFDWH IRUFHV DQG UHVRXUFHV DV QHFHVVDU\ IRU
VXERUGLQDWH WDFWLFDO FRPPDQGHUV WR EH DEOH WR DFKLHYH WKHLU PLVVLRQV WR VHW SULRULWLHV IRU WKH
SURYLVLRQRIFRPEDWVHUYLFHVXSSRUWDQGWRGLUHFWWKH DFWLYLWLHV RI WKRVH IRUPDWLRQV VKLSV DQG
DLUFUDIW QRW GHOHJDWHG WR &RDOLWLRQ FRPPDQG  $Q H[DPSOH RI DQ RSHUDWLRQDO GHFLVLRQ ZDV WKH
ZHOO SXEOLFLVHG GHSOR\PHQW RI WKH 8QLWHG 6WDWHV
 0DULQH $PSKLELRXV )RUFH RII WKH FRDVW RI
.XZDLW 7KLV SRVHG WKH WKUHDW RI DPSKLELRXV ODQGLQJV ZKLFK FDXVHG WKH UHGLUHFWLRQ RI ,UDTL
UHVRXUFHV$QRWKHU H[DPSOHZDVWKHGHFLVLRQWRPRXQWWKHJURXQGRIIHQVLYHLQWR .XZDLW DV D
KXJH OHIW IODQNLQJ PDQRHXYUH UDWKHU WKDQ D IURQWDO DVVDXOW RQ ,UDTL GHIHQVLYH SRVLWLRQV WKXV
XQKLQJLQJWKHGHIHQFHDQGKHOSLQJWRQHXWUDOLVHWKH5HSXEOLFDQ*XDUGIRUPDWLRQV

An RAF Regiment Rapier detachment on


the shores of the Gulf.

‰ 7KH7DFWLFDO/HYHO:LWKLQWKHFRDOLWLRQWKHWDFWLFDOOHYHOZDVWKHSURYLQFHRIWKHYDULRXV
FRPSRQHQWFRPPDQGHUV1DWLRQDOO\WKHVHZHUHWKHFRPPDQGHUVRIWKH5R\DO1DY\7DVN)RUFH
VW 8QLWHG .LQJGRP  $UPRXUHG 'LYLVLRQ DQG WKH 5R\DO $LU )RUFH *URXS  $Q H[DPSOH RI D
GHFLVLRQ UHODWLQJ WR WDFWLFDO RSHUDWLRQV ZDV WKH DLP RI PRXQWLQJ VHW SLHFH DWWDFNV DW QLJKW WR
H[SORLWWKHTXDQWLWDWLYHDGYDQWDJH HQMR\HGE\FRDOLWLRQIRUFHVLQQLJKWILJKWLQJWHFKQRORJ\DQG
HTXLSPHQW


Chapter 2

WAR AND ARMED CONFLICT

The Nature of War and Armed Conflict


‰ $UPHGFRQIOLFWLVDVLWXDWLRQLQZKLFKYLROHQFHRUPLOLWDU\IRUFHLVWKUHDWHQHGRUXVHG
:DU LV WKH PRVW H[WUHPH PDQLIHVWDWLRQ RI DUPHG FRQIOLFW DQG LV FKDUDFWHULVHG E\ LQWHQVH
H[WHQVLYHDQGVXVWDLQHGFRPEDWXVXDOO\EHWZHHQVWDWHV+RZHYHUWKHWUDQVLWLRQIURPSHDFHWR
DUPHGFRQIOLFWDQGEDFNWRSHDFHPD\QRWEHFOHDUFXWDQGIRUPDOGHFODUDWLRQVRIZDUDUHUDUHO\
PDGH  )RU H[DPSOH WKHUH ZHUH QR GHFODUDWLRQV LQ WKH 9LHWQDP ,UDQ,UDT )DONODQG ,VODQGV RU
*XOI:DUV1HYHUWKHOHVVWKHODZVRIDUPHGFRQIOLFW GLVFXVVHGLQ$QQH[% DSSO\ZKHWKHURU
QRWZDUKDVEHHQGHFODUHGDQGWKH8QLWHG1DWLRQV
&KDUWHUEDQVWKHWKUHDWRUWKHXVHRIIRUFHIRU
WKH VHWWOHPHQW RI GLVSXWHV ZLWKRXW DWWHPSWLQJ WR GHILQH ZDU  &RPPRQ XVDJH WUHDWV ZDU DQG

DUPHG FRQIOLFW
 DV V\QRQ\PRXV DQG RIWHQ DEEUHYLDWHV
DUPHG FRQIOLFW
 WR VLPSO\ FRQIOLFW  IRU
FRQYHQLHQFHWKLVSUDFWLFHLVDGRSWHGLQWKHUHPDLQGHU RI WKLV SXEOLFDWLRQ  &RQIOLFW PD\ RFFXU
EHWZHHQ VWDWHV RU ZLWKLQ WKH ERUGHUV RI D FRXQWU\ FLYLO ZDU LQVXUUHFWLRQ RU WHUURULVP   ,W LV
JHQHUDOO\DFRQWHVWEHWZHHQWZRRSSRVLQJJURXSVHDFKVHHNLQJWRLPSRVHLWVZLOORQWKHRWKHU
KRZHYHULQWUDVWDWHFRQIOLFWPD\LQYROYHVHYHUDOIDFWLRQV,QDGGLWLRQWKLUGSDUWLHVQRWLQYROYHG
LQWKHGLVSXWHPD\HQJDJHLQPLOLWDU\DFWLYLW\WRUHVROYHRUWHUPLQDWHDFRQIOLFW

‰ 7KH FDXVHV RI FRQIOLFW DUH DV ROG DV KXPDQ KLVWRU\  7KH\ DUH RIWHQ EDVHG RQ WHUULWRULDO
FRPSHWLWLRQIRUUHVRXUFHVH[DFHUEDWHGE\KXPDQEHKDYLRXU DQGHPRWLRQVVXFKDVIHDU JUHHG
KDWUHGDQGDPELWLRQFRXSOHGZLWKSROLWLFDOHFRQRPLFUHOLJLRXVHWKQLFQDWLRQDOLVWLFOLQJXLVWLF
DQG HQYLURQPHQWDO LQWHUHVWV  6LPLODUO\ WKH IXQGDPHQWDO FKDUDFWHU RI FRQIOLFW VHHPV OLNHO\ WR
UHPDLQ XQFKDQJHG D G\QDPLF FRQWHVW RI ZLOOV LQYROYLQJ GHDWK GHVWUXFWLRQ WHUURU DQG KXPDQ
VXIIHULQJ)RUWKHSDUWLFLSDQWZDUIDUHZLOOFRQWLQXHWRUHSUHVHQWDSK\VLFDODQGPRUDOFKDOOHQJH
+RZHYHU DV FLUFXPVWDQFHV FKDQJH FRQIOLFW FDQ PDQLIHVW LWVHOI LQ QHZ ZD\V IRU H[DPSOH WKH
HPHUJLQJ SRVVLELOLW\ RI DQ DWWDFN RQ D VWDWH
V HVVHQWLDO LQIRUPDWLRQ V\VWHPV WR VDERWDJH LWV
HFRQRPLFSURFHVVHV

‰ &RQIOLFWLVDSROLWLFDODFWGLVWLQJXLVKHGIURPRWKHUSROLWLFDOLQVWUXPHQWVE\WKHYLROHQFH
LQYROYHG  ,Q &ODXVHZLW]
V ZRUGV  ZDU LV QRW PHUHO\ DQ DFW RI SROLF\ EXW D WUXH SROLWLFDO
LQVWUXPHQWWKHSROLWLFDOREMHFWLVWKHJRDOZDULVWKHPHDQVRIUHDFKLQJLWDQGPHDQVFDQ
QHYHU EH FRQVLGHUHG LQ LVRODWLRQ IURP WKHLU SXUSRVH 6XFFHVV LQ FRQIOLFW LV PHDVXUHG E\ WKH
DFKLHYHPHQW RI SROLWLFDO DLPV WKHLU QDWXUH ZLOO VKDSH PLOLWDU\ REMHFWLYHV DQG WKH VFRSH DQG
LQWHQVLW\ RI PLOLWDU\ RSHUDWLRQV  $V &ODXVHZLW] VDLG SROLF\  ZLOO SHUPHDWH DOO PLOLWDU\
RSHUDWLRQVDQGLQVRIDUDVWKHLUYLROHQWQDWXUHZLOODGPLWLWZLOOKDYHDFRQWLQXRXVLQIOXHQFHRQ
WKHP 7KXV D QDWLRQ HPEDUNLQJ RQ FRQIOLFW VKRXOG KDYH D FOHDU SROLWLFDO DLP FRPSDWLEOH
PLOLWDU\ REMHFWLYHV  DQG WKH PLOLWDU\ PHDQV WR DWWDLQ WKHP 0RUHRYHU FOHDU DQG ILUP SROLWLFDO
GLUHFWLRQ QHHGV WR EH PDLQWDLQHG WKURXJKRXW WKH FRXUVH RI D FRQIOLFW  LI WKLV GRHV QRW KDSSHQ
ZDUVFDQUXQRXWRIFRQWURODQGEHFRPHVHOIVXVWDLQLQJ0LOLWDU\REMHFWLYHVVKRXOGEHH[SUHVVHG
LQWKHIRUPRIWKHGHVLUHGHQGVWDWHWKDWLVWKHVWDWHRIDIIDLUVZKLFKQHHGVWREHDFKLHYHGDWWKH

A useful definition of war is:"When differences between states reach a point at which both parties resort to force, or one of them
does acts of violence, which the other chooses to look on as a breach of the peace, the relation of war is set up, in which the
combatants may use regulated violence against each other until one of the two has been brought to accept such terms as his
enemy is willing to grant". Hall on International Law Driefontein Consolidates Mines v Janson [1900] 2QB 339 at 343.
2
On War, Carl Von Clausewitz, edited and translated by Michael Howard and Peter Paret, Princeton University Press, 1984, .page
87
3
On War, page 121


HQGRIWKHFDPSDLJQHLWKHUWRWHUPLQDWHRUWRUHVROYHLWRQIDYRXUDEOHWHUPV7KHGHVLUHGHQG
VWDWHZLOORIWHQLQYROYHWKHXOWLPDWHSRVVHVVLRQRUFRQWURORIWHUULWRU\

‰ 'HVSLWHLWVYLROHQFHFKDRVDQGEUXWDOLW\FRQIOLFWLVUDUHO\XQOLPLWHG  'LSORPDF\ RIWHQ


FRQWLQXHVLQWKHPLGVWRIFRQIOLFWIRUH[DPSOHWKURXJKGLVFXVVLRQVLQWKH8QLWHG1DWLRQVRUWKLUG
SDUW\ QHJRWLDWLRQV  2WKHU QRQYLROHQW LQWHUFRXUVH PD\ DOVR FRQWLQXH 0RUHRYHU GXULQJ DQ\
FRQIOLFW H[FHSW SHUKDSV ZKHQ QDWLRQDO VXUYLYDO LV DW VWDNH QDWLRQDO SROLF\ ZLOO FRQWLQXH WR
SXUVXHREMHFWLYHVZKLFKDUHFRPSOHWHO\VHSDUDWHIURPWKHFRQIOLFWEXWZKLFKPD\LQIOXHQFHWKH
ZD\LQZKLFKWKHQDWLRQDSSURDFKHVWKHFRQIOLFW

‰ &RQIOLFWLVDKXPDQVWUXJJOHPDQLIHVWDVWKHFODVKRIZLOOVEHWZHHQWZRRSSRVLQJOHDGHUV
RUOHDGHUVKLSJURXSV,WPD\DOVREHFRPHDFRQWHVWRIZLOOVEHWZHHQRSSRVLQJSRSXODWLRQVZKR
DUHVXIIHULQJDV DUHVXOWRIKRVWLOLWLHV7KHUHIRUHWKHPRUDOH DQGPRWLYDWLRQRI ERWK WKH DUPHG
IRUFHVDQGWKHSRSXODWLRQDUHFUXFLDOWRVXFFHVV

‰ %HFDXVHLWLVDG\QDPLFFRQWHVWFRQIOLFWWHQGVWREHFKDRWLFDQGXQSUHGLFWDEOH)DFWRUV
VXFK DV KXPDQ LQHIILFLHQF\ HTXLSPHQW DQG ORJLVWLF OLPLWDWLRQV DQG XQH[SHFWHG ZHDWKHU PHDQ
WKDWLQUHDOLW\FRQIOLFWLVRIWHQPXFKPRUHGLIILFXOWWKDQLWDSSHDUHGZKHQLWZDVEHLQJSODQQHG
$ERYHDOOWKHDFWLRQVRIWKHHQHP\FDQFRPSOLFDWHDQGIUXVWUDWHWKHVLPSOHVWWDVN&ODXVHZLW]
GHVFULEHG WKLV DV WKH IULFWLRQ RI ZDUDFWLRQ LQ ZDU LV OLNH PRYHPHQW LQ D UHVLVWDQW HOHPHQW
-XVW DV WKH VLPSOHVW DQG PRVW QDWXUDO RI PRYHPHQWV ZDONLQJ FDQQRW HDVLO\ EH SHUIRUPHG LQ
ZDWHUVRLQZDULWLVGLIILFXOWIRUQRUPDOHIIRUWVWRDFKLHYHHYHQPRGHUDWHUHVXOWV)ULFWLRQDV
ZH FKRRVH WR FDOO LW LV WKH IRUFH WKDW PDNHV WKH DSSDUHQWO\ HDV\ VR GLIILFXOW  ,Q DGGLWLRQ
LQFRPSOHWH LQDFFXUDWH RU FRQWUDGLFWRU\ LQIRUPDWLRQ FUHDWHV WKH IRJ RI ZDU ZKLFK OLPLWV
SHUFHSWLRQDQGFDXVHVFRQIXVLRQ,WLVWKHEXVLQHVVRIWKHPLOLWDU\FRPPDQGHUWRXVHKLVPRUDO
DQGLQWHOOHFWXDOSRZHUVDQGWHFKQLFDOPHDQVWRRYHUFRPHWKHIULFWLRQDQGIRJRIZDU+HPXVW
H[SORLWWKHLQHYLWDEOHFKDRVE\EULQJLQJJUHDWHURUGHUWRKLVRZQVFKHPHVWKDQFDQKLVRSSRQHQW

The Dimensions of Conflict


‰ 7KH6SHFWUXPRI&RQIOLFW7KHVSHFWUXPRIFRQIOLFWHPEUDFHVDZLGHUDQJHRIVLWXDWLRQVLQ
ZKLFK PLOLWDU\ IRUFHV PD\ EH UHTXLUHG WR RSHUDWH IURP VWDEOH SHDFH WR QXFOHDU ZDU  ,W LV
PXOWLGLPHQVLRQDODQGWKHYDULHW\RIFRQIOLFWGHILHVVLPSOHFDWHJRULVDWLRQ+RZHYHUDUDQJHRI
LQWHUUHODWHG IDFWRUV GHWHUPLQH WKH VKDSH RI D FRQIOLFW  7KH\ LQFOXGH WKH QDWXUH RI WKH
SDUWLFLSDQWVWKHGHJUHHRILQWHUHVWLQYROYHGWKHQDWXUHDQGH[WHQWRIDQ\OLPLWDWLRQVLPSRVHG
WKH FKDUDFWHU RI IRUFHV HQJDJHG WKH OHYHO RI LQWHQVLW\  DQG WKH SURMHFWHG RU DFWXDO  GXUDWLRQ
(DFKRIWKHVHIDFWRUVFDQYDU\LQVFDOHRUIRUPDFFRUGLQJWRWKHFLUFXPVWDQFHV,QFRPELQDWLRQ
WKH\ GHWHUPLQH WKH GLPHQVLRQV DQG FKDUDFWHU RI D SDUWLFXODU FRQIOLFWDW D FHUWDLQ WLPH GXULQJ
WKH FRXUVH RI D FRQIOLFW FLUFXPVWDQFHV RU SROLF\ PD\ FKDQJH DOWHULQJ WKH UHODWLRQVKLS RI WKH
IDFWRUVDQGWKXVWKHQDWXUHRIWKHFRQIOLFW7RDQH[WHQWWKHYDULRXVIDFWRUVDUHVXEMHFWLYHIRU
H[DPSOH D FRQIOLFW ZKLFK LV UHJDUGHG DV D ZDU RI QDWLRQDO VXUYLYDO E\ RQH SDUWLFLSDQW PD\ EH
YLHZHGDVPHUHO\DERUGHUGLVSXWHE\DPRUHSRZHUIXORSSRQHQW

‰ 7KH3DUWLFLSDQWV7KHQDWXUHVL]HDQGSRZHURIWKHSDUWLFLSDQWVKDYHDSURIRXQGLQIOXHQFH
RQ WKH VKDSH RI D SDUWLFXODU FRQIOLFW  ,Q EURDG WHUPV FRQIOLFW RFFXUV EHWZHHQ VWDWHV RU ZLWKLQ
VWDWHVEXWWKHUHDUHPDQ\YDULDWLRQV,QWHUVWDWHFRQIOLFWPD\LQYROYHIRUPDODOOLDQFHVRUDGKRF
FRDOLWLRQV RQ HLWKHU VLGH  7\SLFDOO\ LQWUDVWDWH FRQIOLFW RFFXUV EHWZHHQ WKH JRYHUQPHQW DQG DQ
LQVXUJHQWJURXSEXWWKHUHPD\EHVHYHUDOIDFWLRQVLQYROYHGLQDVWUXJJOHIRUSRZHU,IGXULQJD


On War, page 121.


FRQIOLFW DQ LQVXUJHQW JURXS PDQDJHV WR HVWDEOLVK FRQWURO RYHU DQ DUHD RI WHUULWRU\ ZKLFK WKHQ
DFKLHYHVLQWHUQDWLRQDOUHFRJQLWLRQDVDQLQGHSHQGHQWVWDWHWKHQDWXUHRIWKHFRQIOLFWZLOOFKDQJH
IURPLQWUDVWDWHWRLQWHUVWDWHIRUH[DPSOHWKHUHFRJQLWLRQRI&URDWLDKDYLQJEURNHQDZD\IURP
WKH )RUPHU 5HSXEOLF RI <XJRVODYLD  ,QWUDVWDWH FRQIOLFW DOVR LQFOXGHV WKH DFWLRQV RI PLQRULW\
JURXSVZKRFKRRVHWRXVHYLROHQFHDQGWHUURUWRDFKLHYHVSHFLILFHQGVRWKHUWKDQWKHRYHUWKURZ
RIJRYHUQPHQWV

‰ 7KH /HYHO RI ,QWHUHVW  7KH SDUWLFLSDQWV


 OHYHO RI LQWHUHVW LQ D FRQIOLFW FDQ YDU\ IURP WKH
H[WUHPHFDVHZKHUHWKHYHU\VXUYLYDORIWKHVWDWHLVWKUHDWHQHGWRDVLWXDWLRQZKHUHWKHLQWHUHVWDW
VWDNH RQO\ PDUJLQDOO\ MXVWLILHV WKH XVH RI IRUFH  0RUHRYHU WKH GHJUHH RI LQWHUHVW ZLOO QRW
QHFHVVDULO\EHWKHVDPHRQDOOVLGHV%DODQFHGDJDLQVWRWKHUQDWLRQDORUJURXSREMHFWLYHVLWZLOO
VWURQJO\LQIOXHQFHWKHSDUWLFLSDQWV
FRPPLWPHQWWRWKHFRQIOLFWLQWHUPVRIUHVRXUFHV LQFOXGLQJ
WKHVL]HRIDUPHGIRUFHVHQJDJHG DQGWKHH[WHQWRIOLPLWDWLRQVLPSRVHGRQWKHXVHRIIRUFH

‰ 7KH&RQFHSWRI/LPLWDWLRQ&RQIOLFWLVDOPRVWLQYDULDEO\VXEMHFWWROLPLWDWLRQVRIRQHVRUW
RUDQRWKHUSUDFWLFDOOHJDOHWKLFDOSUDJPDWLFDQGSROLWLFDO

x 3UDFWLFDO3UDFWLFDOIDFWRUVVXFKDVWRSRJUDSK\ZHDWKHUDQGWKHFDSDELOLWLHVRIWKH
SDUWLFLSDQWVDUHOLNHO\WRSODFHFRQVWUDLQWVRQWKHXVHRIPLOLWDU\IRUFH

x /HJDO&RQIOLFWLVOLPLWHGE\LQWHUQDWLRQDOODZDQGFRQYHQWLRQVVXFKDVWKH8QLWHG
1DWLRQV
 &KDUWHU DQG WKH +DJXH DQG *HQHYD &RQYHQWLRQV ZKLFK VSHFLI\  WKH
FLUFXPVWDQFHVLQZKLFKUHFRXUVHWRWKHXVHRIDUPHGIRUFH LV OHJLWLPDWH HVVHQWLDOO\
RQO\ LQ VHOIGHIHQFH RU DV PDQGDWHG E\ WKH 8QLWHG 1DWLRQV
 6HFXULW\ &RXQFLO  DQG
UHJXODWHWKHXVHRIIRUFHLQFRQIOLFW/HJDOLW\LVGLVFXVVHGLQPRUHGHWDLOLQ$QQH[%

Practical factors such


as geography may
place constraints on
the use of military
force.

x (WKLFDODQG3UDJPDWLF*RYHUQPHQWVRIWHQGHFLGHWRSODFHOLPLWVRQFRQIOLFWZKLFK
JR EH\RQG WKH VWULFW UHTXLUHPHQWV RI LQWHUQDWLRQDO ODZ  7KHVH OLPLWV PD\ EH
PRWLYDWHG E\ HWKLFDO FRQVLGHUDWLRQV EXW WKHUH LV RIWHQ D SUDJPDWLF GHVLUH WR


HQFRXUDJHVLPLODUVHOIUHVWUDLQWE\WKHRSSRQHQW)RUH[DPSOHLQWKH&RQIURQWDWLRQ
EHWZHHQ%ULWDLQ DQG0DOD\VLDIROORZLQJ)HGHUDWLRQLQ$XJXVW DQG,QGRQHVLD
IURP  WR  ERWK VLGHV  DGKHUHG WR VWULFW OLPLWV ZKLFK DOWKRXJK QHYHU
IRUPDOO\ DJUHHG ZHUH FDUHIXOO\ REVHUYHG  +RVWLOLWLHV ZHUH FRQILQHG WR %RUQHR DQG
WKH ERUGHU DUHD RI .DOLPDQWDQ DSDUW IURP RQH DERUWLYH ,QGRQHVLDQ DVVDXOW RQ WKH
0DOD\VLDQPDLQODQGLQ DQGWKHUHZHUHQRDWWDFNVRQWKHPDMRUPLOLWDU\EDVHV
RIHLWKHUVLGH6LPLODUO\LQ WKH )DONODQG ,VODQGV  FRQIOLFW LQ  RSHUDWLRQV ZHUH
OLPLWHGWRWKHLVODQGVWDNHQE\$UJHQWLQDDQGWKHVXUURXQGLQJZDWHUVDQGDLUVSDFH$
7RWDO([FOXVLRQ=RQHZDVGHFODUHGDURXQGWKH)DONODQG,VODQGVDQGRXWVLGHWKLVDUHD
RQO\VKLSVDQGDLUFUDIWSRVLQJ DWKUHDWWR %ULWLVK)RUFHVZHUH HQJDJHG  7KH 8QLWHG
.LQJGRP DYRLGHG DWWDFNLQJ WKH WHUULWRU\ RI $UJHQWLQD RU WDUJHWV LQ RU RYHU LWV
WHUULWRULDOZDWHUV$UJHQWLQDREVHUYHGVLPLODUUHVWUDLQWV

x 3ROLWLFDO  ,Q DGGLWLRQ OLPLWDWLRQV PD\ EH LQYRNHG WR HQVXUH WKDW WKH UHVXOWV RI
PLOLWDU\DFWLRQUHPDLQLQOLQHZLWKWKHRYHUDOOSROLWLFDOREMHFWLYH )RU H[DPSOH WKH
GHFLVLRQWRKDOWWKHSXUVXLWRIWKH,UDT5HSXEOLFDQ*XDUGDWWKHHQGRIWKH*XOI:DU
LQ  VWHPPHG IURP WKH OLPLWDWLRQ RI WKH 8QLWHG 1DWLRQV
 5HVROXWLRQ ZKLFK RQO\
DXWKRUL]HGOLPLWHGPLOLWDU\DFWLRQWRUHPRYH,UDTLIRUFHVIURP.XZDLW

‰ 0HWKRGV RI /LPLWDWLRQ  /LPLWV PD\ EH LPSRVHG WKURXJK WKH FKRLFH RI REMHFWLYHV E\
UHVWULFWLRQVRQWKHW\SHVRIIRUFHVDQGZHDSRQVLQYROYHGDQGKRZWKH\FDQEHHPSOR\HGDQGE\
FRQILQLQJRSHUDWLRQVWR VSHFLILF JHRJUDSKLF DUHDV  7KH\ FDQ EH DUWLFXODWHG DV D VHW RI UXOHV RI
HQJDJHPHQWZKLFKGHWDLOE\ PHDQV RI SURKLELWLRQV DQG SHUPLVVLRQV WKH GHJUHH DQG PDQQHU LQ
ZKLFKIRUFHPD\EHDSSOLHG

x 2EMHFWLYHV DQG 0HDQV  7KH VHOHFWLRQ RI REMHFWLYHV LV DQ LPSRUWDQW PHWKRG RI
OLPLWLQJ FRQIOLFW DQG %ULWLVK KLVWRU\ KDV PDQ\ H[DPSOHV RI OLPLWHG REMHFWLYHV EHLQJ
SXUVXHGE\OLPLWHGPHDQV+RZHYHULQDZDURIQDWLRQDOVXUYLYDOWKHUHPD\EHOLWWOH
FKRLFHLQWKHREMHFWLYHVZKLFKPXVWEHSXUVXHG&RQVWUDLQWVRQREMHFWLYHVDQGPHDQV
WHQGWRLQWHUDFWZLWKRQHDQRWKHU)RUH[DPSOHLIDJRYHUQPHQWZLVKHVWROLPLWWKH
VL]HRIIRUFHLWLVSUHSDUHGWRFRPPLWWRDSDUWLFXODUFRQIOLFWLWPXVWOLPLWWKHPLOLWDU\
REMHFWLYHV WR WKRVH ZKLFK WKDW IRUFH FRXOG DFKLHYH  )RU DOOLDQFH RU FRDOLWLRQ
RSHUDWLRQVWKHSROLWLFDODQGPLOLWDU\REMHFWLYHVQHHGWREHDJUHHGE\DOOWKHPHPEHUV
DQGWKLVPD\FRQVWUDLQZKDWLVDFKLHYDEOH ,QPRVWFRQIOLFWVWKHGHJUHHRIYLROHQFH
HPSOR\HG ZLOO EH LQIOXHQFHG E\ ZKDW LV FRQVLGHUHG DFFHSWDEOH E\ SXEOLF RU
LQWHUQDWLRQDORSLQLRQZKLFKLQWXUQPD\OLPLWWKHREMHFWLYHVDFKLHYDEOH+RZHYHULW
LV LPSRUWDQW WR DYRLG VHWWLQJ XQUHDOLVWLF LQLWLDO OLPLWDWLRQV ZKLFK PD\ OHDG WR
SURORQJHG LQFUHPHQWDO HVFDODWLRQ DQG LQFUHDVLQJ FDVXDOWLHV  ,Q VRPH FLUFXPVWDQFHV
WKH HDUO\ XVH RI DJJUHVVLYH DFWLRQ LQ DFFRUGDQFH ZLWK WKH SULQFLSOH RI PLOLWDU\
QHFHVVLW\ZLOOTXLFNO\GHVWUR\DQRSSRQHQW
VZLOOWRUHVLVWRIIHULQJHDUO\VXFFHVVDQG
UHGXFHGFDVXDOWLHVRYHUDOO

x *HRJUDSK\  *HRJUDSKLF OLPLWV PD\ EH GHILQHG LQ DQ DWWHPSW WR HQVXUH WKDW WKH
FRQIOLFWGRHVQRWGUDZLQRWKHUSDUWLFLSDQWVRULQYROYHQHXWUDOSDUWLHV&HUWDLQDUHDV
PD\ EH GHVLJQDWHG RXW RI ERXQGV WR DYRLG FLYLOLDQ FDVXDOWLHV RU GDPDJH WR VLWHV RI
FXOWXUDORUUHOLJLRXVVLJQLILFDQFH$WVHDLWLVEHFRPLQJFRPPRQSUDFWLFHWRGHFODUH
H[FOXVLRQ]RQHVLQDQDWWHPSWWRGHILQHWKHJHRJUDSKLFDOOLPLWVRIPDULWLPHFRPEDW
DOWKRXJKVXFK]RQHVGRQRWDEVROYHEHOOLJHUHQWVRIWKHREOLJDWLRQWRUHVSHFWWKHULJKWV

Sun Tzu's advice - that one should seek victory in the shortest possible time, with the least possible effort and at the least cost in
casualties to one's enemy, remembering that one had to live next door to him when the fighting was over - seems relevant still.


RI QHXWUDO VKLSSLQJ SDVVLQJ WKURXJK WKH ]RQHV  ,Q WKH DLU QR IO\ ]RQHV DUH
LQFUHDVLQJO\XVHGDVSDUWRIFRQWUROUHJLPHVLPSRVHGE\WKH8QLWHG1DWLRQV

"No fly zones" are increasingly used as part of


control regimes imposed by the United Nations.
An RAF Harrier lands on an RN Carrier in the
Adriatic.

‰ 7KH7\SHRI)RUFHV  7KH QDWXUH RI WKH IRUFHV LQYROYHG LQ FRQIOLFW FDQ YDU\ ZLGHO\  7KH
SULQFLSDO IDFWRUV LQYROYHG DUH VL]H WUDLQLQJ HTXLSPHQW LQFOXGLQJ VXSSRUW  OHDGHUVKLS DQG
PRWLYDWLRQ([DPSOHVRIWKHUDQJHDUHODUJHZHOOWUDLQHGSURIHVVLRQDOIRUFHVHTXLSSHGZLWKWKH
PRVW PRGHUQ WHFKQRORJ\ 8QLWHG 6WDWHV )RUFHV  ODUJH UHODWLYHO\ SRRUO\ HTXLSSHG FRQVFULSW
IRUFHV WKH &KLQHVH $UP\ GXULQJ WKH .RUHDQ :DU  PHGLXP VL]HG ZHOO WUDLQHG DQG HTXLSSHG
IRUFHV %ULWLVK )RUFHV   VPDOO SRRUO\ HTXLSSHG HWKQLF EDQGV 6RPDOL IDFWLRQV LQ WKH HDUO\
V YHU\VPDOOJURXSVRIUHODWLYHO\ZHOOHTXLSSHGKLJKO\GHGLFDWHGWHUURULVWV7KHVHIDFWRUV
FDQYDU\LQDSDUWLFXODUQDWLRQ
VIRUFHVERWKEHWZHHQDQGZLWKLQLQGLYLGXDOVHUYLFHV

‰ 7KH &RQFHSW RI ,QWHQVLW\  ,QWHQVLW\ GHVFULEHV WKH IUHTXHQF\ DQG WKH GHJUHH RI YLROHQFH
HQFRXQWHUHGLQFRQIOLFWDQGLVDPHDVXUHRIWKHUDWHRIFRQVXPSWLRQRIUHVRXUFHV,QWHQVLW\FDQ
EHKLJKZKHQYLROHQFHRFFXUVRIWHQRUZKHQWKHHQFRXQWHUVDUHSDUWLFXODUO\YLROHQW,WLVOLNHO\
WRYDU\GXULQJDSDUWLFXODU FRQIOLFWIRUH[DPSOHDFRQIOLFWWKDWLVORZLQLQWHQVLW\ DWLWV RXWVHW
FDQ EHFRPH KLJK ZKHQ WKH IUHTXHQF\ DQG YLROHQFH RI WKH HQFRXQWHUV LQFUHDVH  'XULQJ D ORQJ
FRQIOLFWWKHUHPD\EHSURWUDFWHGSHULRGVRIUHODWLYHO\ORZLQWHQVLW\RSHUDWLRQVLQWHUVSHUVHGZLWK
ODUJH KLJK LQWHQVLW\ HQJDJHPHQWV  7KHUHIRUH LW LV XQKHOSIXO WR DWWHPSW WR FODVVLI\ FRQIOLFW LQ
WHUPVRILQWHQVLW\DORQHDQGLWLVDFRQFHSWZKLFKKDVPRUHUHOHYDQFHDWWKHVWUDWHJLFOHYHOWKDQ
DW WKH RSHUDWLRQDO DQG WDFWLFDO OHYHOV  $OWKRXJK KLJK LQWHQVLW\ FRQIOLFW LV OLNHO\ WR GHPDQG WKH
JUHDWHVWUDQJHRIFDSDELOLW\WKHUHLVQRVLPSOHFRUUHODWLRQEHWZHHQWKHLQWHQVLW\RIFRQIOLFWDQG
WKHQDWXUH RU VFDOH RI IRUFHV UHTXLUHG  )RU H[DPSOH LQ ORZHU LQWHQVLW\ RSHUDWLRQV ZKHUH YLWDO
QDWLRQDOLQWHUHVWVDUHQRWDWVWDNHJRYHUQPHQWVZLOODOPRVWFHUWDLQO\SXWDJUHDWHUHPSKDVLVRQ
PLQLPLVLQJ FLYLOLDQ FDVXDOWLHV DQG FROODWHUDO GDPDJH WKDQ WKH\ ZRXOG GXULQJ D ZDU RI QDWLRQDO
VXUYLYDOWKLVZRXOGKDYHDEHDULQJRQWKHW\SHVRIZHDSRQVV\VWHPVQHHGHG

In lower intensity operations there will be


an greater emphasis on minimising civilian
casualties and collateral damage. A
British Army Scimitar in Bosnia in 1996.


‰ 7KH'XUDWLRQRI&RQIOLFW7LPHKDVDVLJQLILFDQWLPSDFWRQWKHZD\LQZKLFKDFRQIOLFWLV
FRQGXFWHG7KHUHLV RIWHQ DQ LPSHUDWLYH WR DFKLHYH HDUO\ VXFFHVV LQ RUGHU WR DYRLG HVFDODWLRQ
2WKHU IDFWRUV PD\ FUHDWH SUHVVXUH WR DWWDLQ REMHFWLYHV TXLFNO\ IRU H[DPSOH  OLPLWHG UHVRXUFHV
WKHZHDWKHURUIODJJLQJSXEOLFVXSSRUW$OWHUQDWLYHO\LWPD\EHQHFHVVDU\WRGHOD\ RSHUDWLRQV
XQWLODVXIILFLHQWVL]HRIIRUFHKDVEHHQFUHDWHGDQGWUDLQHG$ZHDNLQVXUJHQWIRUFHPLJKWDGRSW
DVWUDWHJ\RISURVHFXWLQJDYHU\ORQJFDPSDLJQRIUHODWLYHO\ORZOHYHORSHUDWLRQVZLWKWKHDLPRI
VDSSLQJWKHRSSRQHQW
VZLOOE\WKHGXUDWLRQUDWKHUWKDQWKHLQWHQVLW\RIWKHDVVDXOW,IDFRQIOLFW
ODVWVORQJHQRXJKWRUHTXLUHWKHURXOHPHQWRIWKHIRUFHVLQYROYHGWKHUHZLOOEHDVWHSLQFUHDVHLQ
WKHPDQSRZHUUHTXLUHGRYHUWKHSHULRGRIURXOHPHQW7KLVZLOOKDYHDFRQVHTXHQWHIIHFWRQWKH
WRWDOIRUFHVL]HDQGWKHWUDLQLQJUHVRXUFHVQHHGHG

Conflict in the Modern World


‰ &RQIOLFW LV FRPPRQSODFH LQ WKH PRGHUQ ZRUOG DQG WKHUH LV IUHTXHQWO\ QR FOHDU GLVWLQFWLRQ
EHWZHHQ ZDU DQG SHDFH  (YHQ UHODWLYHO\ PLQRU ORFDOLVHG FRQIOLFWV PD\ KDYH LPSOLFDWLRQV IRU
ZRUOG SHDFH VWDELOLW\ DQG WUDGH  7KHUHIRUH PDQ\ QDWLRQV QRW GLUHFWO\ HQJDJHG LQ FRQIOLFW DUH
LQYROYHG LQ HIIRUWV WR PRQLWRU PDQDJH DQG UHVROYH DFWXDO RU SRWHQWLDO FRQIOLFWV  $JDLQVW WKLV
EDFNJURXQG WHFKQRORJLFDO SROLWLFDO DQG FXOWXUDO GHYHORSPHQWV VKDSH WKH QDWXUH RI PRGHUQ
FRQIOLFW

‰ 7KH UDSLG GHYHORSPHQW RI LQIRUPDWLRQ WHFKQRORJ\ FRQWLQXHV WR SURYLGH GUDPDWLF
LPSURYHPHQWV WR WKH VFRSH DQG TXDOLW\ RI LQIRUPDWLRQ DYDLODEOH WR
Below:
Military forces need to be
FRPPDQGHUV DW DOO OHYHOV EXW KDV H[SRVHG DQRWKHU SRWHQWLDO DYHQXH RI
abe to operate effectively DWWDFN  6XFFHVV LQ FRQIOLFW UHTXLUHV WKH DELOLW\ WR H[SORLW LQIRUPDWLRQ
in a nuclear, biological
and chemical environment
ZKLOHGHQ\LQJLWWRDQ HQHP\WKH VWUXJJOH IRU LQIRUPDWLRQ GRPLQDQFH
ZKLFK LV D IHDWXUH RI PRGHUQ FRQIOLFW  LV GLVFXVVHG LQ PRUH GHWDLO LQ
&KDSWHU:HDSRQGHYHORSPHQWVDOORZPLOLWDU\IRUFHWREH
DSSOLHGDWORQJHUUDQJHDQGPRUHDFFXUDWHO\WKDQEHIRUHE\
GD\ DQG QLJKW DQG LQ SRRU ZHDWKHU  ,Q FRPELQDWLRQ WKHVH
GHYHORSPHQWVPHDQWKDWPRGHUQFRQIOLFWKDVWKHSRWHQWLDOWR
EH IRXJKW VLPXOWDQHRXVO\ RYHU D ZLGH H[SDQVH LQ DOO IRXU
HQYLURQPHQWV VHDODQGDLUDQGVSDFH H[SORLWLQJWKHHQWLUH
HOHFWURPDJQHWLFVSHFWUXPDWDPXFKIDVWHUUDWHWKDQEHIRUH
7KH LQWHUDFWLRQV EHWZHHQ VHD ODQG DQG DLU IRUFHV DUH
WKHUHIRUHPRUHFRPSOH[DQGPRUHFUXFLDOWKDQEHIRUHLWLV
GLIILFXOWWRFRQFHLYHRIRSHUDWLRQVRQDQ\VFDOHWKDWZLOOQRW
EHMRLQW7KHULVNRIWKHXVHRIZHDSRQVRIPDVVGHVWUXFWLRQ
QXFOHDU ELRORJLFDO DQG FKHPLFDO ZHDSRQV  PHDQV WKDW
PLOLWDU\ IRUFHV QHHG WR EH DEOH WR RSHUDWH  HIIHFWLYHO\ LQ D
QXFOHDUELRORJLFDODQGFKHPLFDOHQYLURQPHQW

$ IHDWXUH RI VRPH W\SHV RI PRGHUQ FRQIOLFW LV WKH


LQFUHDVLQJO\ VWDUN DV\PPHWU\ EHWZHHQ WKH RSSRQHQWV  7KLV
LV FKDUDFWHULVHG RQ WKH RQH KDQG E\ D VWDWH ZLWK PRGHUQ
SRZHUIXOZHOOHTXLSSHGIRUFHVEXWOLPLWHGQDWLRQDOLQWHUHVW
Above: RU SXEOLF VXSSRUW DQG VHYHUH SROLWLFDO DQG PRUDO FRQVWUDLQWV
Symblizing the asymmetry of some 2Q WKH RWKHU KDQG LV D VWDWH RU JURXS RI SHRSOH ZLWK VPDOO
types of modern conflict, a British
Challenger tank passes a civilian car - OLJKWO\HTXLSSHG IRUFHV XQZLOOLQJ WR DFFHSW WKH QRUPV RI
frequently used to transport warring LQWHUQDWLRQDOODZZLWKWRWDOFRPPLWPHQWDQGVKRZLQJVFDQW
faction fighters to and from the
confrontation line in Bosnia. UHJDUGIRUOLIHDQGSURSHUW\


‰ 0RGHUQ FRQIOLFW LV OLNHO\ WR EH IRXJKW LQ WKH VSRWOLJKW RI PDVVLYH DWWHQWLRQ E\ WKH QHZV
PHGLD7KHLPPHGLDF\RIPHGLDWUDQVPLVVLRQFDQPDJQLI\WKHLPSRUWDQFHRIUHODWLYHO\PLQRU
LQFLGHQWVDQGLQIOXHQFHSXEOLFRSLQLRQEHIRUHWKHSROLWLFDODXWKRULW\FDQIXOO\DQDO\VHWKHIDFWV
SXWWLQJ DGGLWLRQDO SUHVVXUH RQ SROLWLFDO DQG PLOLWDU\ OHDGHUV  (TXDOO\ KRZHYHU WKH PHGLD FDQ
DOVR EH D SRZHUIXO FRQGXLW IRU SRVLWLYH LQIRUPDWLRQ WR ERRVW PRUDOH DQG WR LQIOXHQFH SXEOLF
UHDFWLRQ

Types of Conflict
‰ 7KHIDFWRUVZKLFKGHWHUPLQHWKHFKDUDFWHURIFRQIOLFWDQGWKHIHDWXUHVRIWKHPRGHUQZRUOG
ZKLFKEHDURQLWLQWHUDFWYDULRXVO\WR JHQHUDWHYHU\GLIIHUHQWW\SHV  7KH IROORZLQJ SDUDJUDSKV
GLVFXVV WHUPV ZKLFK DUH FRPPRQO\ XVHG WR GHVFULEH WKHVH GLIIHUHQFHV RI FODVVLILFDWLRQ EXW LW
EHDUV UHSHDWLQJ WKDW FRQIOLFW GHILHV VLPSOH FDWHJRULVDWLRQ  'LYLGLQJ OLQHV DUH RIWHQ EOXUUHG
FDWHJRULHV DUH QRW H[FOXVLYH DQG LQGLYLGXDO FRQIOLFWV PD\ VSUHDG DFURVV WKH ERXQGDULHV  7KXV
HDFKFULVLVRUFRQIOLFWQHHGVWREHDGGUHVVHGLQWHUPVRILWVVSHFLILFFLUFXPVWDQFHV

‰ *HQHUDO:DU*HQHUDOZDULVFRQIOLFWEHWZHHQPDMRUSRZHUVLQZKLFKWKHLUODUJHDQGYLWDO
LQWHUHVWVSHUKDSVHYHQVXUYLYDO DUH DWVWDNH$OOWKHQDWLRQDOUHVRXUFHVRIWKHEHOOLJHUHQWVDUH
OLNHO\WREHKDUQHVVHGWRWKHZDUHIIRUWDQGWKHFRQIOLFWLVOLNHO\WRKDYHIHZUHVWULFWLRQVLQGHHG
LWPD\EHFRPHOHVVUHVWULFWHGDVLWFRQWLQXHV7KH6HFRQG:RUOG:DUZDVWKHODVWH[DPSOHRI
JHQHUDOZDUWRGD\DIXOOVFDOHDWWDFNRQDQXPEHURIIURQWVDJDLQVWWKHWHUULWRULDOLQWHJULW\RI
1$72PHPEHUVZRXOGEHFODVVLILHGDVJHQHUDOZDU*HQHUDOZDUPLJKWEHOLPLWHGWRWKHXVHRI
FRQYHQWLRQDO IRUFHV LQLWLDOO\ EXW FRXOG HVFDODWH DW DQ\ WLPH WR WKH XVH RI ZHDSRQV RI PDVV
GHVWUXFWLRQ1$72KDVPDGHLWFOHDUWKDWLI$OOLDQFHYLWDOLQWHUHVWVDUHWKUHDWHQHGLWZRXOGEH
SUHSDUHGWRXVHQXFOHDUZHDSRQVDWDQ\VWDJHLQVXFKDFRQIOLFWLQRUGHUWRPDNHLWXQGHQLDEO\
FOHDUWRLWVDGYHUVDU\WKHVFDOHDQGULVNDQGWKHFRPSHOOLQJQHHGWREULQJWKHFRQIOLFWWRDQHQG
$OWKRXJKJHQHUDOZDULVXQOLNHO\WRLQYROYHDOOQDWLRQVWKHUHZLOOEHZRUOGZLGHUHSHUFXVVLRQV
,QWKHFXUUHQWVWUDWHJLFHQYLURQPHQWIHZQDWLRQVKDYHWKHFDSDFLW\WRLQLWLDWHVXFKDZDUDQGLW
VHHPV OLNHO\ WKDW WKHUH ZRXOG EH D VLJQLILFDQW SHULRG RI ZDUQLQJ EHIRUH RQH FRXOG RFFXU
1HYHUWKHOHVVZKHQPDMRUSRZHUVDUHHQJDJHGLQFRQIOLFWWKHUHLVDULVNRIHVFDODWLRQWRJHQHUDO
ZDU1XFOHDUZHDSRQVKDYHDSDUWLFXODUUROHWRSOD\LQGHWHUULQJVXFKHVFDODWLRQLQGHHGLWPD\
EHUHJDUGHGDVWKHLUSULPDU\IXQFWLRQDQGWKLVLVGLVFXVVHGDWWKHHQGRI&KDSWHU

‰ /LPLWHG &RQIOLFW  'XULQJ WKH &ROG :DU  WKH FODVVLILFDWLRQ


OLPLWHG ZDU
 ZDV XVHG WR
GHVFULEHLQWHUQDWLRQDOFRQIOLFWVKRUWRIJHQHUDOZDULQZKLFKWKHUHZRXOGEHQRUHFRXUVHWRWKH
XVHRIQXFOHDUZHDSRQV7KH.RUHDQ:DULVSUREDEO\WKHEHVWH[DPSOHRID
OLPLWHGZDU
GXULQJ
WKDW SHULRG  ,Q SUDFWLFH DV GLVFXVVHG DERYH YLUWXDOO\ DOO FRQIOLFW LV OLPLWHG LQ VRPH ZD\ DQG
DUPHG IRUFHV ZLOO DOPRVW LQYDULDEO\ EH VXEMHFW WR FRQVWUDLQWV LQYROYLQJ WKH REMHFWLYHV WR EH
DFKLHYHGDQGWKHPHDQVE\ZKLFKWKH\PD\EHSXUVXHG

‰ 5HJLRQDO &RQIOLFW  7KH WHUP 5HJLRQDO &RQIOLFW GHVFULEHV D OLPLWHG FRQIOLFW DULVLQJ RXW RI
UHJLRQDOLVVXHV7KHFRQIOLFWPD\EHFRQWDLQHGZLWKLQWKHUHJLRQEXWWKHSROLWLFDODQGHFRQRPLF
HIIHFWVDUHOLNHO\WRUHYHUEHUDWHIXUWKHUDILHOGIRUH[DPSOHWKHHIIHFWWKH,UDQ,UDT:DUKDGRQ
ZRUOG RLO VXSSOLHV  7KHUH PD\ DOVR EH LQYROYHPHQW IURP EH\RQG WKH UHJLRQ VXFK DV QRQ
EHOOLJHUHQWV VXSSO\LQJ PLOLWDU\ HTXLSPHQW DGYLVHUV RU YROXQWHHUV  7KHUH PLJKW EH PLOLWDU\
LQWHUYHQWLRQ XQGHU WKH DXWKRULW\ RI D 8QLWHG 1DWLRQV
 PDQGDWH WR UHVROYH RU WHUPLQDWH WKH
FRQIOLFW7KHUHLVDOVRWKHGDQJHUWKDWWKHFRQIOLFWZLOOVSLOORYHUEH\RQGWKHUHJLRQ7KHUHZLOO
QRWQHFHVVDULO\EHDQ\FRQVWUDLQWRQWKHVL]HRIWKHIRUFHVGHSOR\HGWKHW\SHVRIZHDSRQXVHGRU
WKHGXUDWLRQDQGIHURFLW\RIILJKWLQJ0DQ\UHJLRQDOZDUVWHQGWRUHIOHFWWKHSUREOHPVRIZHDN


VWDWHV ZLWK IUDJLOH SROLWLFDO LQVWLWXWLRQV IUDJPHQWHG VRFLDO VWUXFWXUHV DQG IHHEOH HFRQRPLHV
)URPWKH8QLWHG.LQJGRPSHUVSHFWLYHDZDULQDQRWKHUUHJLRQZKLFKGRHVQRWLQYROYHDQ\RI
WKH'HSHQGHQW7HUULWRULHVRUDFFHVVWRVWUDWHJLFUHVRXUFHVLVXQOLNHO\WRWKUHDWHQQDWLRQDOVXUYLYDO
RUYLWDOLQWHUHVWV+RZHYHULWPD\WKUHDWHQVHFRQGDU\LQWHUHVWVDQGWKHUHIRUHFDOOIRUDFWLRQWR
FRQWDLQDQGUHVROYHLW6XFKDFWLRQZRXOGQRUPDOO\EHFROOHFWLYHXQGHUWKHDHJLVRIWKH8QLWHG
1DWLRQV

‰ &LYLO:DU&LYLO ZDU LV FRQGXFWHG ODUJHO\ ZLWKLQ WKH ERXQGDULHV RI D VWDWH LQ ZKLFK D
VLJQLILFDQW SDUW RI WKH SRSXODWLRQ LV DVVRFLDWHG ZLWK RSSRVLQJ VLGHV  7KH FRQWHVW LV IRU
JRYHUQPHQWRIWKHVWDWHRUUHJLRQDODXWRQRP\RUVHFHVVLRQ2QHRUERWKVLGHVPD\KDYHH[WHUQDO
KHOS

‰ ,QVXUJHQF\,QVXUJHQF\GHVFULEHVWKHDFWLRQVRIDPLQRULW\JURXSZLWKLQDVWDWH RULQVRPH
LQVWDQFHVDPDMRULW\JURXSZKLFKODFNVSRZHU LQWHQWRQIRUFLQJSROLWLFDOFKDQJHE\PHDQVRID
PL[WXUHRIVXEYHUVLRQSURSDJDQGDDQGPLOLWDU\SUHVVXUH7KHLQWHQWLVWRSHUVXDGHRULQWLPLGDWH
WKH EURDG PDVV RI WKH SHRSOH WR DFFHSW VXFK FKDQJH  $JDLQ HDFK VLGH PD\ KDYH KHOS IURP
RXWVLGH7KHUHLVQRWDFOHDUGLVWLQFWLRQEHWZHHQFLYLOZDUDQGLQVXUJHQF\,QGHHGDVXFFHVVIXO
LQVXUJHQF\PD\SDVVWKURXJKDSKDVHRIFLYLOZDU$WLWVPRVWDQDUFKLFLQVXUJHQF\PD\VHHWKH
FROODSVHRIWKHVWDWHLQDQ\IRUP%RWKFLYLOZDUDQGLQVXUJHQF\PD\HPSOR\WKHW\SHRISDUWLVDQ
RUUHYROXWLRQDU\ZDUIDUHH[HPSOLILHGE\WKHFDPSDLJQVRI7LWR0DR=HGRQJDQG+R&KL0LQK
7\SLFDOO\ WKH LQVXUJHQW IRUFHV ZLOO VHHN WR DYRLG FRQYHQWLRQDO HQJDJHPHQWV EHWZHHQ ODUJH
IRUFHVZKLOHVHHNLQJWKHDFWLYHVXSSRUWRIWKHSRSXODWLRQDWODUJH6XFKFDPSDLJQVDUHOLNHO\WR
EHSURWUDFWHG

‰ 7HUURULVP  7HUURULVP PD\ EH GHILQHG DV SUHPHGLWDWHG SROLWLFDOO\ PRWLYDWHG YLROHQFH
SHUSHWUDWHG E\ JURXSV RU LQGLYLGXDOV DQG XVXDOO\ LQWHQGHG WR LQIOXHQFH DQ DXGLHQFH ZLGHU WKDQ
WKDW RI LWV LPPHGLDWH YLFWLPV  ,Q RQH IRUP WHUURULVP PD\ EH DQ HOHPHQW RI LQVXUJHQF\  ,Q
DQRWKHULWPD\EHHPSOR\HGIRUREMHFWLYHVVKRUWRIWKHRYHUWKURZRIWKHVWDWH ,WPD\DOVREH
XVHGE\RQHVWDWHDJDLQVWDQRWKHU


Chapter 3

SECURITY AND DEFENCE

The Nature of Security


‰ 7KHVHFXULW\DQGGHIHQFHSROLFLHVRIDQ\VWDWHDUHURRWHGLQSHUFHSWLRQVRILWVLQWHUHVWVDQGRI
KRZEHVWWKHVHPD\EHSURWHFWHGDQGSURPRWHG7KHPRVWLPSRUWDQWGXW\RIDQ\JRYHUQPHQWLV
PDLQWDLQLQJWKHIUHHGRPDQGLQWHJULW\RILWVWHUULWRU\DQGLWVSHRSOH0RVWVWDWHVZLOODOVRVHHNWR
VHFXUHDUDQJHRIEURDGHULQWHUHVWVSROLWLFDOHFRQRPLFWUDGLQJDQGVRFLDO7KHUHIRUHVHFXULW\
SROLF\UHIOHFWVWKHEURDGHUIRUHLJQSROLF\DQGHFRQRPLFLQWHUHVWVRIWKHQDWLRQLWLVGHVLJQHGWR
VXSSRUW DQG LI QHFHVVDU\ GHIHQG WKHP  7KXV VHFXULW\ LV D EURDG DQG HQGXULQJ FRQFHSW  ,W
HQFRPSDVVHVPDLQWDLQLQJLQWHUQDORUGHUZLWKLQWKHVWDWHDQGWKHPHDVXUHVQHFHVVDU\WRSURPRWH
QDWLRQDO LQWHUHVWV DQG WR SUHYHQW FKDOOHQJHV WR WKHP DULVLQJ  :KHUH QHFHVVDU\ LW LQFOXGHV
GHWHUULQJRUGHIHQGLQJDJDLQVWH[WHUQDODJJUHVVLRQRUFRHUFLRQ

‰ 7KHVFRSHRIDVWDWH
VGHIHQFHDQGVHFXULW\SROLFLHVGHSHQGVRQLWVJHRVWUDWHJLFVLWXDWLRQDQG
WKHQDWXUHRIWKHVWDWHLWVHOIHVSHFLDOO\LWVSROLWLFDODQGHFRQRPLFVWUXFWXUHV,WLVDOVREDVHGRQ
WKHQDWXUHDQGVSUHDGRIWKHVWDWH
VLQWHUHVWVDQGWKHFXUUHQWDQGSRWHQWLDOFKDOOHQJHVLWSHUFHLYHV
WRWKRVHLQWHUHVWV7KHVHPD\EHSROLWLFDOHFRQRPLFVRFLDORUHQYLURQPHQWDOLQQDWXUHDVZHOO
DVPLOLWDU\,IDVWDWHLVDPHPEHURIDOOLDQFHVWKHLUSROLFLHVZLOODOVRLQIOXHQFHWKHIRUPXODWLRQ
RI QDWLRQDO SROLF\  6RPH VWDWHV
 LQWHUHVWV EDUHO\ H[WHQG EH\RQG WKHLU ERUGHUV  2WKHUV KDYH D
PXFK ORQJHUUDQJH SHUVSHFWLYH PRWLYDWHG E\ WKH QHHG WR KROG SRWHQWLDO FKDOOHQJHUV DW JUHDWHU
GLVWDQFH WR PDLQWDLQ DFFHVV WR VWUDWHJLF UHVRXUFHV RU WR VHFXUH FRQGLWLRQV LQ ZKLFK WKH\ FDQ
SURPRWH WKHLU LQWHUHVWV  &LWL]HQV RI VRPH VWDWHV PD\ EH VSUHDG DURXQG WKH JOREH FUHDWLQJ
RYHUVHDV LQWHUHVWV ZKLOH RWKHU VWDWHV PD\ KDYH D SDUWLFXODU LQWHUHVW LQ WKH ZHOIDUH RI UHODWHG
HWKQLFRUUHOLJLRXVJURXSVEH\RQGWKHLUERUGHUV

Formal treaties and


alliances provide mutual
security guarantees
between states. Russia
joins Partnership for
Peace (PfP), June
1994. (Picture courtesy
of the NATO Office of
Information and Press).

The Pursuit of Security


‰ 7KHSXUVXLWRIVHFXULW\LVOLNHO\WREHDNH\REMHFWLYHRIDQ\VWDWH
VGLSORPDF\,WZLOOUHTXLUH
D ZLGH YDULHW\ RI SROLWLFDO HFRQRPLF WUDGLQJ DQG FXOWXUDO WRROV DV ZHOO DV PLOLWDU\ PHDQV
7KHVHYDULRXVHOHPHQWVDUHPRVWHIIHFWLYHZKHQXVHGLQDFRRUGLQDWHGZD\DVSDUWRIDFRKHVLYH


QDWLRQDO VWUDWHJ\ WR LQIOXHQFH WKH ZLOO RI RWKHU VWDWHV RU JURXSV RI SHRSOH  7KH\ DUH GHVFULEHG
EHORZ

x 2I NH\ LPSRUWDQFH DUH IRUPDO WUHDWLHV DQG DOOLDQFHV ZKLFK SURYLGH PXWXDO VHFXULW\
JXDUDQWHHVEHWZHHQVWDWHV

x 6XSSRUW IRU LQWHUQDWLRQDO ODZ  LV  IXQGDPHQWDO WR LQWHUQDWLRQDO VHFXULW\  7KH SULPH
SXUSRVH RI WKH 8QLWHG 1DWLRQV LV WR PDLQWDLQ LQWHUQDWLRQDO SHDFH DQG VHFXULW\
7RJHWKHUZLWKUHJLRQDORUJDQLVDWLRQVWKH8QLWHG1DWLRQVSURYLGHVDPHFKDQLVP IRU
WKH SHDFHIXO VHWWOHPHQW RI GLVSXWHV DQG IRU SHDFHNHHSLQJ  ,Q DGGLWLRQ WKH 8QLWHG
1DWLRQV6HFXULW\&RXQFLOFDQDXWKRULVHPHDVXUHVWRHQIRUFHSHDFHDQGVHFXULW\7KH
OHJDOLW\RIFRQIOLFWDQGWKHUROHRIWKH8QLWHG1DWLRQVDUHGLVFXVVHGLQ$QQH[%

x 7UHDWLHVDQGSROLWLFDOO\ELQGLQJDUUDQJHPHQWVZKLFKOLPLWWKHSRVVHVVLRQWUDQVIHURU
XVHRIFHUWDLQDUPDPHQWVDUHDPHDQVRIHQKDQFLQJZRUOGVWDELOLW\7\SLFDOO\WKHUH
DUH WKUHH PDLQ JRDOV WR UHGXFH WKH ULVN RI WKH SUROLIHUDWLRQ RI ZHDSRQV RI PDVV
GHVWUXFWLRQDQGWKHLUPHDQVRIGHOLYHU\WRFRQWULEXWHWRVWDELOLW\E\OLPLWLQJWKHVL]H
RI FHUWDLQ FDWHJRULHV RI IRUFHV ZLWKLQ D VSHFLILHG UHJLRQ DQG WR EDQ WKH XVH RI
SDUWLFXODU PHWKRGV RI ZDUIDUH  6XFK DUUDQJHPHQWV DOVR VHHN WR SURPRWH JUHDWHU
UHVSRQVLELOLW\ DQG WUDQVSDUHQF\ LQ WKH WUDQVIHU RI FRQYHQWLRQDO ZHDSRQV DQG  LWHPV
ZKLFK FRXOG EH XVHG HLWKHU IRU SHDFHIXO SXUSRVHV RU WKH PDQXIDFWXUH RI ZHDSRQV
SDUWLFXODUO\ZHDSRQVRIPDVVGHVWUXFWLRQVRFDOOHGGXDOXVHJRRGV

x 7KHLQYROYHPHQWRIWKHJUHDWHVWSRVVLEOHQXPEHURIVWDWHVLQIUHHLQWHUQDWLRQDOWUDGH
LVOLNHO\WRSURPRWHPXWXDOLQWHUHVWLQZRUOGVWDELOLW\&RRSHUDWLYHHIIRUWVWRUHPRYH
WKH URRW FDXVHV RI FRQIOLFW VXFK DV SRYHUW\ DQG IDPLQH DUH LPSRUWDQW  &XOWXUDO
WHFKQLFDO DQG HGXFDWLRQDO H[FKDQJHV SURPRWH RSHQQHVV XQGHUVWDQGLQJ DQG
FRQILGHQFHEHWZHHQVWDWHV

The Nature of Defence


‰ 'HIHQFH LV WKH PLOLWDU\ FRQWULEXWLRQ WR QDWLRQDO VHFXULW\ DQG LV D PDMRU HOHPHQW RI D
JRYHUQPHQW
V ZLGHU VHFXULW\ SROLF\  'HIHQFH SROLF\ VSHFLILHV WKH VWUXFWXUH DQG FDSDELOLWLHV RI
DUPHGIRUFHVDQGJXLGHVWKHFRQWULEXWLRQWKH\PDNHWRWKHDFKLHYHPHQWRIWKHFRXQWU\
VGHIHQFH
DQGVHFXULW\JRDOV,WPXVWDFFRUGZLWKIRUHLJQDQGHFRQRPLFSROLFLHV7KHSULQFLSDOSXUSRVHRI
DGHPRFUDWLFVWDWH
VDUPHGIRUFHVLVWRSURYLGHWKHSRWHQWLDOIRUWKHDSSOLFDWLRQRIIRUFHWRHQVXUH
WKH VHFXULW\ RI WKH QDWLRQ WKH IUHHGRP RI LWV SHRSOH DQG SURPRWLRQ RI LWV LQWHUHVWV  7KH ILQDO
VHFWLRQRIWKLVFKDSWHUGHVFULEHVWKHYDULRXVZD\VLQZKLFKPLOLWDU\IRUFHFDQEHDSSOLHGZKLOH
&KDSWHU  GLVFXVVHV WKH VWUDWHJLF FRQVLGHUDWLRQV WKDW LQIOXHQFH WKH SODQQLQJ DQG FRQGXFW RI
PLOLWDU\ RSHUDWLRQV  +RZHYHU DUPHG IRUFHV FDQ EH XVHG IRU D YDULHW\ RI RWKHU WDVNV VKRUW RI
FRQIOLFW WR SURWHFW DQG SURPRWH QDWLRQDO LQWHUHVWV  7KH SRVVHVVLRQ RI D FUHGLEOH PLOLWDU\
FDSDELOLW\ FRQIHUV LQIOXHQFH DQG DOOLHG WR PDQLIHVW LQWHQW  SURYLGHV D GHWHUUHQW DJDLQVW
DJJUHVVLRQ DQG FRHUFLRQ 0LOLWDU\ FDSDELOLW\ XQGHUSLQV GLSORPDF\ XVHG MXGLFLRXVO\ LW FDQ
HQFRXUDJHVWDELOLW\ZLWKLQZKLFKEURDGHULQWHUHVWVFDQEHSXUVXHG

The Components of Defence


‰ 7KH SULQFLSDO FRPSRQHQWV RI GHIHQFH DUH WKH DUPHG IRUFHV DQ RUJDQLVDWLRQ WR PDNH
GHFLVLRQVDQGDPHDQVRILPSOHPHQWLQJWKHP7KHVHFRPSRQHQWVQHHGWRGUDZRQDZLGHUDQJH


RIFRQFHSWXDOPRUDOSHUVRQQHO DQG PDWHULDO UHVRXUFHV WKURXJKRXW WKH FRXQWU\ DQG DEURDG  ,Q
DGGLWLRQ WKH DUPHG IRUFHV UHTXLUH D VXEVWDQWLDO VXSSRUWLQJ LQIUDVWUXFWXUH ERWK FLYLOLDQ DQG
PLOLWDU\  7KHVH YDULHG HOHPHQWV  DUH GLVFXVVHG LQ WKH IROORZLQJ SDUDJUDSKV ZKLFK DOWKRXJK
JHQHULFUHIOHFWWKH%ULWLVKDSSURDFKWRGHIHQFH

‰ 'HFLVLRQ 0DNLQJ  7KLV LV WKH FHQWUDO FRPSRQHQW RI GHIHQFH  ,W UHPDLQV XQGHU SROLWLFDO
FRQWURODQGLWGUDZVRQERWKWKHFRQFHSWXDO DQGWKHPRUDOEDVH ,WPXVWSURYLGHVRXQGSROLF\
DQG VWUDWHJ\ HIILFLHQW DOORFDWLRQ RI UHVRXUFHV DQ HIIHFWLYH FULVLV PDQDJHPHQW RUJDQLVDWLRQ
FDSDEOH RI SURYLGLQJ D EDODQFHG UHVSRQVH WR DQ\ VLWXDWLRQ  DQG FOHDU VWUDWHJLF GLUHFWLRQ RI
RSHUDWLRQV  ,W PXVW DOVR GHDO ZLWK WKH GD\ WR GD\ PDQDJHPHQW RI WKH IXOO UDQJH RI GHIHQFH
DFWLYLWLHVDQGFRPPLWPHQWVGHVFULEHGLQ&KDSWHU

x /RQJ WHUP GHIHQFH SROLF\ IORZV IURP WKH *RYHUQPHQW


V GHFLVLRQV RQ WKH FRXQWU\
V
LQWHUHVWV WKH ZD\ LQ ZKLFK WKH\ DUH WR EH SURWHFWHG DQG SURPRWHG DQG WKH VKDUH RI
QDWLRQDO UHVRXUFHV WR EH GHYRWHG WR WKH WDVN  7KH IRUPXODWLRQ RI SROLF\ PXVW WDNH
DFFRXQWRIQDWLRQDODLPVDQGREOLJDWLRQVWKHJHRVWUDWHJLFFRQWH[WSRWHQWLDOWKUHDWVWR
VHFXULW\ SROLWLFV HFRQRPLFV GRFWULQH DQG WKH FDSDELOLWLHV DQG LQWHQWLRQV RI OLNHO\
DOOLHV  7KH GHWHUPLQDWLRQ RI VWUDWHJ\ LQFOXGLQJ WKH VL]H DQG VKDSH RI WKH DUPHG
IRUFHVVKRXOGEHJLQE\GHILQLQJWKHFLUFXPVWDQFHVLQZKLFKWKHDUPHGIRUFHVPLJKW
EHXVHGERWKQDWLRQDOO\DQGZLWKDOOLHV7KLVHVWDEOLVKHVWKHWDVNVZKLFKWKHDUPHG
IRUFHV PLJKW EH UHTXLUHG WR XQGHUWDNH DQG LI SRVVLEOH WKHLU UHODWLYH SULRULW\  7KH
SDUDPHWHUVRIWKHVHWDVNVGHWHUPLQHWKHUHTXLUHGVL]HVKDSHDQGFKDUDFWHULVWLFV VXFK
DV HTXLSPHQW DQG VWDWH RI UHDGLQHVV  RI WKH DUPHG IRUFHV ZKLFK DUH QHHGHG  7KLV
VWDJH RI DQDO\VLV PXVW WDNH LQWR DFFRXQW WKH QDWXUH RI PRGHUQ FRQIOLFW ZKHWKHU WKH
YDULRXV WDVNV DUH SHUPDQHQW RU FRQWLQJHQW DQG ZKLFK WDVNV DUH OLNHO\ WR RFFXU
FRQFXUUHQWO\7KHILQDOGHFLVLRQRQVL]HDQGVKDSHGHSHQGVRQWKHOHYHORIUHVRXUFHV
DYDLODEOH IRU GHIHQFH  7KH SURFHVV LV HYROXWLRQDU\ DQG FRQWLQXRXV LQ GHWHUPLQLQJ
IXWXUH IRUFH VWUXFWXUHV LW PXVW DQWLFLSDWH ORQJ WHUP GHYHORSPHQWV LQ WKH QDWXUH RI
FRQIOLFW LQFOXGLQJ WHFKQRORJ\  ,W QHHGV WR EH LQIRUPHG E\ VFLHQWLILF UHVHDUFK DQG
DQDO\VLV DQG E\ D UHDOLVWLF DVVHVVPHQW RI WKH FXUUHQW PLOLWDU\ HIIHFWLYHQHVV RI WKH
DUPHG IRUFHV  ,Q GHPRFUDWLF VWDWHV LQ SDUWLFXODU GHFLVLRQV QHHG WR EH GLVFXVVHG
ZLWKLQJRYHUQPHQWDQGZLWKRWKHU JRYHUQPHQWVDQGLQWHUQDWLRQDORUJDQLVDWLRQVDQG
ZLOOEHVXEMHFWWRSXEOLFGHEDWH

x ,Q WKH VKRUWHU WHUP DV SRWHQWLDO FULVHV DUH LGHQWLILHG SROLWLFDO GHFLVLRQV QHHG WR EH
PDGHRQZKHWKHULWLVOHJLWLPDWHDQGDSSURSULDWHWRHPSOR\PLOLWDU\IRUFHWRUHVROYH
WKHFULVLV)LUPSROLWLFDOGLUHFWLRQLVUHTXLUHGIURPWKHRXWVHW,IWKHDUPHGIRUFHVDUH
WREHFRPPLWWHGWRDQRSHUDWLRQGHFLVLRQVDUHUHTXLUHGRQWKHSROLWLFDOSXUSRVHDQG
PLOLWDU\ REMHFWLYH WKH OLPLWV RQ WKH XVH RI IRUFH DQG WKH EURDG VWUDWHJ\ IRU WKH
FDPSDLJQ7KHVL]HDQGW\SHRIIRUFHWREHGHSOR\HGDQGWKHOLNHO\GXUDWLRQRIWKH
RSHUDWLRQPXVWEHGHWHUPLQHG7KHVHGHFLVLRQVUHTXLUHWKHFROOHFWLRQDQGDVVHVVPHQW
RIDFFXUDWHXSWRGDWHLQIRUPDWLRQDQGD ULJRURXVDQDO\VLV RI WKH VLWXDWLRQ DQG WKH
RSWLRQVDYDLODEOH'HFLVLRQVRQSRVVLEOHPLOLWDU\ DFWLRQPXVWWDNHDFFRXQWRIRWKHU
QDWLRQDO REMHFWLYHV  7KH SURFHVV LQYROYHV FRQVLGHUDEOH FRQVXOWDWLRQ ZLWKLQ WKH
GHIHQFH RUJDQLVDWLRQ ZLWK RWKHU JRYHUQPHQW GHSDUWPHQWV DQG ZLWK DOOLHV DQG
LQWHUQDWLRQDORUJDQLVDWLRQVWKHUHPXVWEHSURFHGXUHVLQSODFHWRDFKLHYHWKLVUDSLGO\

A crisis is a situation, which may or may not be foreseen, which threatens national security or interests or international peace and
stability, and which requires decision and action. Crisis management is the name given to measures to prevent, contain, reduce or
resolve a crisis including, if necessary, an orderly transition to war. It is discussed in some detail in Chapter 7.


2YHUWGHFLVLRQVRUSUHSDUDWLRQVPXVWVXSSRUWDQ\GLSORPDWLFLQLWLDWLYHVWRGHIXVHWKH
FULVLV  7KH GHFLVLRQPDNLQJ PDFKLQHU\ PXVW EH UREXVW HQRXJK WR FRSH ZLWK WKH
SUHVVXUHRIDPDMRULQWHUQDWLRQDOFULVLVDQGWKHLPSDFWRIH[WHUQDOLQIOXHQFHVVXFKDV
SXEOLF RSLQLRQ RU PHGLD SUHVVXUH \HW DJLOH HQRXJK WR PDNH UDSLG GHFLVLRQV DQG WR
UHVSRQGWRFKDQJLQJFLUFXPVWDQFHV,WPD\KDYHWRGHDOVLPXOWDQHRXVO\ZLWKVHYHUDO
FULVHVLQGLIIHUHQWSDUWVRIWKHZRUOG

x 2QFHWKHGHFLVLRQLVWDNHQWRPRXQWDPLOLWDU\RSHUDWLRQWKHPHFKDQLVPVPXVWEHLQ
SODFH WR SURYLGH FRQWLQXRXV VWUDWHJLF GLUHFWLRQ  ,QLWLDOO\ LW ZLOO EH QHFHVVDU\ WR
GHULYH DQG DJUHH WKH VWUDWHJLF DLPV RI WKH FDPSDLJQ QDWLRQDOO\ DQG LI QHFHVVDU\
LQWHUQDWLRQDOO\  7KHUHDIWHU DV WKH RSHUDWLRQ SURFHHGV WKHUH PD\ EH D QHHG WR UH
DVVHVVVWUDWHJLFJXLGDQFHLQWKHOLJKWRIHYHQWVRQWKHJURXQG7KLVLVHVSHFLDOO\VRLQ
RSHUDWLRQV RWKHU WKDQ ZDU ZKHUH WKH SROLWLFDO DQG GLSORPDWLF LPSDFW RI UHODWLYHO\
PLQRUHYHQWVLQWKHDWUHFDQUHTXLUHDUHDVVHVVPHQWRIVWUDWHJLFJXLGDQFH$JDLQWKLV
FDOOVIRUDKLJKO\UHVSRQVLYHGHFLVLRQPDNLQJPDFKLQHU\

‰ ,PSOHPHQWDWLRQ  ,PSOHPHQWDWLRQ UHTXLUHV DQ HVWDEOLVKHG DQG HIIHFWLYH FRPPDQG DQG


FRQWUROVWUXFWXUHZLWKLQWKHDUPHGIRUFHVDQGDVZLIWUHOLDEOHFRPPXQLFDWLRQVDQGLQIRUPDWLRQ
V\VWHP  ,W LQYROYHV WKH KLHUDUFKLFDO GHOHJDWLRQ RI UHODWHG UHVSRQVLELOLWLHV REMHFWLYHV DQG
UHVRXUFHVWKURXJKRXWWKHGHIHQFHRUJDQLVDWLRQ3ODQQLQJIRU DOOFRQWLQJHQFLHVVKRXOGEHEDVHG
RQ RUJDQLVDWLRQV IRXQGHG LQ SHDFH WKDW FDQ EH SURJUHVVLYHO\ GHYHORSHG LI QHFHVVDU\ DV WKH
WKUHDWLQFUHDVHV

‰ 7KH$UPHG)RUFHV,QDGHPRFUDF\DUPHGIRUFHVDUHHVWDEOLVKHGRQDOHJDOEDVLVUHWDLQHG
XQGHU SROLWLFDO FRQWURO DQG PXVW DQVZHU WR HOHFWHG UHSUHVHQWDWLYHV  7KH\ UHTXLUH D GLVFLSOLQHG
RUJDQLVDWLRQ ZLWK HIIHFWLYH FRPPDQG DQG FRQWURO WR HQVXUH WKDW SROLWLFDO GLUHFWLRQ LV FDUULHG
WKURXJKWRDFWLRQVDWWKHIURQWOLQH7KHVL]HVKDSHDQGFDSDELOLWLHVRIWKHDUPHGIRUFHVVKRXOG
EHPDWFKHGWRWKHVHFXULW\QHHGVDQGHFRQRPLFFLUFXPVWDQFHVRIWKHVWDWH7KHFDSDELOLWLHV LQ
SDUWLFXODU WKH UHDFK  RI PRGHUQ ZHDSRQV DQG VXUYHLOODQFH V\VWHPV PHDQ WKDW WKHUH LV D FORVH
LQWHUDFWLRQEHWZHHQFRQIOLFWLQWKHVHDODQGDQGDLUHQYLURQPHQWV7KHUHIRUHVHFXULW\QRUPDOO\
UHTXLUHVDUPHGIRUFHVZLWKWKHDELOLW\WRRSHUDWHLQDOOWKUHHHQYLURQPHQWVZLWKERWKGHIHQVLYH
DQGRIIHQVLYHFDSDELOLWLHV0RVWVWDWHVILQGLWHIILFLHQWWRRUJDQLVHWKHLUDUPHGIRUFHVDVVHSDUDWH
VHUYLFHVIRUHDFKHQYLURQPHQWZKDWHYHUWKHRUJDQLVDWLRQWKHUHLVDQHHGWRPDLQWDLQH[SHUWLVHLQ
HDFKDUHD,QGLYLGXDOHOHPHQWVRIHDFKVHUYLFHPXVWEHDEOHWRRSHUDWHWRJHWKHUZLWKHOHPHQWV
IURP WKH RWKHU VHUYLFHV DQG ZLWK DOOLHG IRUFHV DQG WKH RYHUDOO GHIHQFH GHFLVLRQPDNLQJ
FRPSRQHQW PXVW EH DEOH WR DSSO\ PLOLWDU\ IRUFH LQ D FRRUGLQDWHG ZD\ LQ HDFK RI WKH
HQYLURQPHQWV  7KH DUPHG IRUFHV FRPSULVH WKH SHRSOH HTXLSPHQW VWRUHV DQG FRPPDQG
RUJDQLVDWLRQV  ZKLFK WRJHWKHU ZLWK GRFWULQH DQG WUDLQLQJ SURYLGH RSHUDWLRQDOO\ UHDG\ PLOLWDU\
FDSDELOLW\  7KHVH HOHPHQWV QHHG WR EH KDUPRQLVHG VR WKDW IRU H[DPSOH WKH WUDLQLQJ RI WKH
SHRSOH PDWFKHV WKH WHFKQLFDO FRPSOH[LW\ RI WKH HTXLSPHQW DQG WDFWLFV DUH DOLJQHG WR WKH
FDSDELOLW\RIWKHSHRSOHDQGHTXLSPHQW7KLVLVSDUWLFXODUO\LPSRUWDQWDVWKHIRUFHVGHYHORSWR
PDWFK QHZ SROLF\ RU FKDQJLQJ FLUFXPVWDQFHV  $UPHG IRUFHV DUH JHQHUDOO\ PDQQHG HLWKHU E\
SURIHVVLRQDOVHUYLFHSHUVRQQHORUE\DFRPELQDWLRQRISURIHVVLRQDOVDQGFRQVFULSWV6RPHVWDWHV
PD\DOVRPDNHXVHRIUHVHUYLVWVWRDXJPHQWIXOOWLPHIRUFHVLQWLPHRIFULVLVRUZDU7KHVHPD\
EH HLWKHU YROXQWHHU UHVHUYLVWV RU IRUPHU IXOO WLPH VHUYLFH SHUVRQQHO ZLWK D UHVLGXDO UHVHUYH
FRPPLWPHQW7KHW\SHRIPDQQLQJVKRXOGPDWFKWKHFLUFXPVWDQFHVRIWKHVWDWH+RZHYHULWLV
FOHDU WKDW WKH DELOLW\ WR UHDFW TXLFNO\ DQG WR VXFFHHG LQ PRGHUQ IDVWPRYLQJ KLJKO\ WHFKQLFDO
FRQIOLFW ZLWK WKH OHDVW GHPDQG RQ UHVRXUFHV UHTXLUHV ZHOO WUDLQHG DQG HTXLSSHG SURIHVVLRQDO
IRUFHV


Individual
elements of
each service
must be able
to operate in
an allied
force.
American and
British
soldiers relax
during
exercise
Purple Star in
1996

‰ 7KH &RQFHSWXDO %DVH  7KH FRQFHSWXDO EDVH SURYLGHV WKH LQWHOOHFWXDO PDWHULDO QHHGHG IRU
GHFLVLRQ PDNLQJ  3ROLWLFDO GLUHFWLRQ LV SDUDPRXQW H[SUHVVHG ZLWKLQ QDWLRQDO DQG LQWHUQDWLRQDO
ODZZKLFKSURYLGHVWKHOHJDOEDVLVIRUWKHDUPHGIRUFHVDQGWKHXVHRIPLOLWDU\IRUFH,WZLOOEH
PRVWHIIHFWLYHLILWLVLQIRUPHGE\FOHDUDQGLPSDUWLDOPLOLWDU\DQGFLYLOVHUYLFHDGYLFH$FFXUDWH
DQGWLPHO\LQIRUPDWLRQDQGLQWHOOLJHQFHDUHFUXFLDOWRHIIHFWLYHGHFLVLRQPDNLQJ7KLVLQFOXGHVD
VRXQG XQGHUVWDQGLQJ RI WKH QDWXUH RI SRWHQWLDO WKUHDWV WR VHFXULW\ DQG RI WKH FDSDELOLWLHV DQG
LQWHQWLRQV RI SRWHQWLDO HQHPLHV DOOLHV DQG FRDOLWLRQ SDUWQHUV  ,W DOVR HPEUDFHV WKH SROLF\ DQG
SODQV RI WKH 8QLWHG 1DWLRQV DQG RWKHU DSSURSULDWH LQWHUQDWLRQDO ERGLHV DQG QRQJRYHUQPHQWDO
RUJDQLVDWLRQV,QIRUPDWLRQDQGLQWHOOLJHQFHPXVWEHJDWKHUHGDQGDVVHVVHGIRUDOOWKHDUHDVDQG
FLUFXPVWDQFHVZKHUHWKHUHDUHQDWLRQDOLQWHUHVWVRUSRWHQWLDOWKUHDWVWRWKRVHLQWHUHVWV5HVHDUFK
DQG RSHUDWLRQDO DQDO\VLV DUH HVVHQWLDO LQSXWV WR WKH SURFHVV RI VKDSLQJ UHTXLUHPHQWV IRU IXWXUH
IRUFHVWUXFWXUHVRSHUDWLRQDOFRQFHSWVDQGHTXLSPHQW7KH\DOVRFRQWULEXWHWRWKHGHYHORSPHQW
RI GRFWULQH DW WKH RSHUDWLRQDO DQG WDFWLFDO OHYHOV  'RFWULQH DQG PLOLWDU\ VFLHQFH KDYH D FHQWUDO
UROH WR SOD\ LQ LQIRUPLQJ PLOLWDU\ SODQQLQJ GHYHORSPHQWV LQ WKHVH GLVFLSOLQHV QHHG WR EH
HQFRXUDJHG E\ QXUWXULQJ D VWURQJ WUDGLWLRQ RI PLOLWDU\ WKLQNLQJ DQG
HGXFDWLRQLQERWKSURIHVVLRQDODQGPRUHJHQHUDOWRSLFV$FDGHPLDDQG
RWKHUGHIHQFH UHODWHG LQVWLWXWLRQV KDYH DQ LPSRUWDQW UROH WR SOD\ DV DQ
DOWHUQDWLYH IRFXV RI WKRXJKW DQG OHDUQLQJ RQ PLOLWDU\ VFLHQFH DQG
LQWHUQDWLRQDO DIIDLUV DQG LQ VWLPXODWLQJ LQIRUPHG SXEOLF GHEDWH RQ
GHIHQFHPDWWHUV1HZFRQFHSWVPD\DOVRRULJLQDWHLQLQGXVWU\

‰ 0RUDO %DVH  7KH PRUDO EDVH XQGHUSLQV WKH PRWLYDWLRQ RI WKH
DUPHGIRUFHV,WLVIRXQGHGRQSXEOLFVXSSRUWDQGRQWKHSROLWLFDOZLOO
The moral base is
RI WKH *RYHUQPHQW WR PDLQWDLQ DQG ZKHQ QHFHVVDU\ XVH HIIHFWLYH
founded, in part, on the DUPHG IRUFHV  ,W DOVR HQFRPSDVVHV WKH FRQFHSW RI SURSULHW\ ZKLFK
political will of a
government to maintain
VHHNV WR HQVXUH WKDW WKH DFWLYLWLHV RI WKH DUPHG IRUFHV DUH YLHZHG
and, when necessary, use XQLYHUVDOO\ DV EHLQJ MXVWLILDEOH IDLU DQG DSROLWLFDO   (IIHFWLYH
armed forces. Prime
Minister John Major visits
OHDGHUVKLSDW DQDWLRQDOOHYHOLVHVVHQWLDOWRSURYLGH FODULW\RIGLUHFWLRQ
UN soldiers in Bosnia, in DQG WR LQVSLUH WKH HIIRUW DQG VHOIVDFULILFH GHPDQGHG LQ FRQIOLFW
1995
1DWLRQDO KLVWRU\ WUDGLWLRQ DQG HWKLFV DUH WKH VRXUFHV IURP ZKLFK WKH


VWDQGDUGVRIDUPHGIRUFHVKDYHEHHQGHYHORSHG7KHPRUDOEDVHDOVRHPEUDFHVWKHQDWLRQDOZLOO
WRHQVXUHWKHZHOIDUHRIPLOLWDU\SHUVRQQHODQGWKHHIILFLHQWPDQDJHPHQWWRSURYLGHLW

The armed forces are reliant on augmentation by reserves in time of


crisis. RAF reservists load equipment onto a C-130

‰ 3HUVRQQHO %DVH  7KH QDWLRQDO SRSXODWLRQ SURYLGHV WKH EDVH IURP ZKLFK VHUYLFHPHQ DQG
ZRPHQDUHUHFUXLWHGHLWKHUDVUHJXODUVHUYLFHSHUVRQQHORUDVYROXQWHHUUHVHUYLVWVDQGDSRRORI
IRUPHUPLOLWDU\SHUVRQQHOZKRPD\EHHPSOR\HGDVUHVHUYHVRUUHHQOLVWHGLIWKHUHLVDQHHGWR
H[SDQG WKH DUPHG IRUFHV TXLFNO\  ,W DOVR FRQWDLQV WKH ODUJH QXPEHU RI FLYLOLDQV  JRYHUQPHQW
VHUYDQWVDQGRWKHUVZKRSURYLGHHVVHQWLDOVXSSRUWWRWKHDUPHGIRUFHV,IWKHDUPHGIRUFHVDUH
WREHSURSHUO\PDQQHGWKHFLYLOSRSXODWLRQPXVWSURGXFHDQDGHTXDWHVXSSO\RIUHFUXLWVZKRDUH
VXIILFLHQWO\ ZHOO HGXFDWHG DQG ILW IRU PLOLWDU\ VHUYLFH ZKLOH WKH VWDWXV DQG FRQGLWLRQV RI D
PLOLWDU\FDUHHUQHHGWREHVXFKDVWR DWWUDFW WKH ULJKW FDOLEUH RI UHFUXLWV  7KH DUPHG IRUFHV LQ
WXUQ KDYH D UHVSRQVLELOLW\ IRU WKH ZHOIDUH DQG FDUHHU GHYHORSPHQW RI WKHLU SHRSOH DQG IRU
SUHSDULQJWKHPWRUHWXUQLQGXHFRXUVHWRFLYLOLDQOLIH0RUHRYHULIWKHDUPHGIRUFHVDUHWREH
UHOLDQWRQDXJPHQWDWLRQE\UHVHUYHVLQWLPHRIFULVLVWKHUHVHUYLVWVZLOOUHTXLUHSHULRGLFWUDLQLQJ
WRDFTXLUHDQGPDLQWDLQWKHLUVNLOOVDQGWKHUHPXVWEHDGHTXDWHOHJLVODWLRQWRHQVXUHWKDWWKH\DUH
DYDLODEOH ZKHQ QHHGHG IRU WUDLQLQJ DQG RSHUDWLRQV  3ODQQLQJ PXVW HQVXUH WKDW WKH FDOO XS RI
UHVHUYHVGRHVQRWGDPDJHHVVHQWLDOFLYLOLDQDFWLYLWLHV

‰ 0DWHULHO %DVH  $OO DUPHG IRUFHV UHTXLUH DQ DVVXUHG LQGXVWULDO VRXUFH RI HTXLSPHQW DQG
VWRUHV(IIHFWLYHDIIRUGDEOHHTXLSPHQWZKLFKH[SORLWVKLJKWHFKQRORJ\LVHVVHQWLDOWRSURYLGHD
EDWWOHZLQQLQJ HGJH LQ PRGHUQ FRPEDW  (TXLSPHQW SURFXUHPHQW LV D NH\ IXQFWLRQ FORVHO\
UHODWHGWRQDWLRQDOHFRQRPLFDQGWUDGLQJSROLF\,WLQYROYHVODUJHSDUWVRILQGXVWU\DWKRPHDQG
DEURDGDQGPDQ\HOHPHQWVRIWKHGHIHQFHHVWDEOLVKPHQW,QWKH8QLWHG.LQJGRPWKHVHLQFOXGH
WKH 3URFXUHPHQW ([HFXWLYH DQG WKH 'HIHQFH (YDOXDWLRQ DQG 5HVHDUFK $JHQF\  3URFXUHPHQW
GHFLVLRQVDUHKLJKO\GHSHQGHQWRQDVRXQGFRQFHSWXDOEDVH0RUHRYHUWKHORQJGHYHORSPHQW
SHULRG RI PXFK PRGHUQ HTXLSPHQW UHTXLUHV WKHVH GHFLVLRQV WR EH EDVHG RQ DQ LQIRUPHG
DVVHVVPHQWRIKRZPLOLWDU\DIIDLUVDUHOLNHO\WRGHYHORSRYHUWKHQH[WWR\HDUV+RZHYHU
WKLV LV QRWRULRXVO\ GLIILFXOW WR SUHGLFW ZKLFK DUJXHV IRU SURFXUHPHQW SULRULW\ WR EH JLYHQ WR
V\VWHPV ZKLFK KDYH LQKHUHQW IOH[LELOLW\ RU FDQ HDVLO\ EH DGDSWHG WR FKDQJLQJ FLUFXPVWDQFHV
+RZHYHULWLVLPSRUWDQWWRDWWHPSWWRLGHQWLI\DQGH[SORLWWKRVHFULWLFDOGLVUXSWLYHWHFKQRORJLHV
ZKLFKDUHOLNHO\WRKDYHDPDMRULQIOXHQFHRQPLOLWDU\FDSDELOLW\ /RQJGHYHORSPHQWWRJHWKHU
ZLWKKLJKFRVWVPHDQWKDWPLOLWDU\HTXLSPHQWPXVWKDYHDORQJXVHIXOOLIHEXWWKLVQHHGVWREH
EDODQFHG DJDLQVW WKH LPSHUDWLYH WR PDLQWDLQ FDSDELOLW\ LQ WKH IDFH RI WKH LQFUHDVLQJ SDFH RI
WHFKQRORJLFDOFKDQJH7KHUHIRUHDQ HTXLSPHQW SURFXUHPHQW SURJUDPPH QHHGV WR LQWHJUDWH WKH
WLPHO\ LQWURGXFWLRQ RI UHSODFHPHQW V\VWHPV IXQGHG DQG PDQDJHG RQ D ZKROH OLIH EDVLV ZLWK
DOORZDQFHZKHUHDSSURSULDWHIRUSODQQHGFDSDELOLW\XSGDWHVGXULQJWKHLUOLIHWLPHV0XFK


Effective,
affordable,
equipment is
essential to provide
a battle-winning
edge in modern
combat. Seen her,
the launch of the
Royal Navy's new
helicopter carrier
HMS Ocean.

GHIHQFH HTXLSPHQW LV ERXJKW RYHUVHDV DV D UHVXOW RI FRPSHWLWLYH SURFXUHPHQW RU WKURXJK
FROODERUDWLRQZLWKRWKHUFRXQWULHV,QGHHGLQWHUQDWLRQDOLQWHUGHSHQGHQF\LQPDWHULDOPDWWHUVLV
EHJLQQLQJWREHDPDWWHURILQGXVWULDOUHODWLRQVKLSVUDWKHUWKDQVROHO\RQHRI*RYHUQPHQWSROLF\
1HYHUWKHOHVVVXSSRUWRIHTXLSPHQWDQGHVVHQWLDOVHUYLFHVGXULQJFULVHVPXVWEHHQVXUHGDQGWKH
UREXVWQHVVRIVRPHDVSHFWVRIGRPHVWLFGHIHQFHLQGXVWU\PD\EHFULWLFDOWRWKLV ,Q SDUWLFXODU
WKHDELOLW\WRPRGLI\HTXLSPHQWLQUHVSRQVHWRWKHFLUFXPVWDQFHVRIDFULVLVXVXDOO\GHSHQGVRQ
WKH FRRSHUDWLRQ RI WKH LQGXVWULDO GHVLJQ DXWKRULW\  7R PHHW WKH UHTXLUHPHQWV RI WKH PRVW
GHPDQGLQJFULVHVDQGRIJHQHUDOZDULWPD\EHQHFHVVDU\IRULQGXVWU\WRKDYHWKHFDSDELOLW\IRU
VXUJHFDSDFLW\DQGUHFRQVWLWXWLRQ

‰ 6XSSRUWLQJ,QIUDVWUXFWXUH$UPHGIRUFHVUHTXLUHDQLQIUDVWUXFWXUHRIEDVHVSRUWVDLUILHOGV
DQG FRPPXQLFDWLRQV  7KH\ DOVR QHHG DQ RUJDQLVDWLRQ WR VWRUH VXSSO\ UHSDLU DQG GLVSRVH RI
HTXLSPHQW DQG VWRUHV  6XSSRUW LV UHTXLUHG LQ RWKHU DUHDV VXFK DV PHGLFLQH DQG PHWHRURORJ\
6RPH HOHPHQWV RI WKH LQIUDVWUXFWXUH PXVW EH GHVLJQHG VSHFLILFDOO\ IRU PLOLWDU\ SXUSRVHV DQG
RZQHGE\WKH*RYHUQPHQWKRZHYHULQRWKHUFDVHVLWPD\EHPRUHFRVWHIIHFWLYHIRUIDFLOLWLHV
DQGVHUYLFHVWREHSURYLGHGE\WKHSULYDWHVHFWRU7KHHVVHQWLDOUHTXLUHPHQWLVWKHDELOLW\RIWKH
*RYHUQPHQW WR FRQWURO WKRVH DVVHWV HVVHQWLDO WR GHIHQFH FDSDELOLW\  7KH QDWLRQDO
FRPPXQLFDWLRQV QHWZRUNV DQG WUDQVSRUW LQIUDVWUXFWXUH SURYLGH HVVHQWLDO VXSSRUW WR URXWLQH
GHIHQFHEXVLQHVVDQG LQ WLPH RI FULVLV WR WKH JHQHUDWLRQ
GHSOR\PHQW DQG UHFRYHU\ RI IRUFHV RQ RSHUDWLRQV  7KH
PHUFKDQW PDULQH DQG DLUOLQHV SURYLGH HVVHQWLDO VWUDWHJLF
WUDQVSRUW  5HDOLVWLF DQG HIIHFWLYH WUDLQLQJ LV IXQGDPHQWDO
WR WKH PLOLWDU\ FDSDELOLW\ RI WKH DUPHG IRUFHV  7KLV
UHTXLUHVDPL[RIERWKOLYHDQGV\QWKHWLFWUDLQLQJIDFLOLWLHV
5HJXODU OLYH WUDLQLQJ SURYLGHV WKH HVVHQWLDO HOHPHQW RI
UHDOLVP DQG LW EXLOGV FRQILGHQFH LQ WKH HIIHFWLYHQHVV DQG
UHOLDELOLW\ RI HTXLSPHQW  +RZHYHU LW LV GLIILFXOW WR
DFKLHYHLQDQXPEHURIUHVSHFWV,WUHTXLUHVUHDG\DFFHVV
WR WUDLQLQJ UDQJHV RQ ODQG DW VHD DQG LQ WKH DLU DQG DQ
Synthetic training must be developed to
complement live training as financial and
DSSURSULDWH EDODQFH QHHGV WR EH VWUXFN EHWZHHQ WKH
environmental pressures increase. Self WUDLQLQJ QHHGV RI WKH IRUFHV DQG WKH HIIHFW RI WUDLQLQJ RQ
propelled AS 90 guns on exercise on
Salisbury Plain.
WKH HQYLURQPHQW DQG WKH SRSXODWLRQ  5HDOLVWLF WUDLQLQJ
ZLWKFHUWDLQZHDSRQVRULQSDUWLFXODUVLWXDWLRQV VXFKDVLQ
KRVWLOH WHUULWRU\ RU ZLWK EDWWOH GDPDJHG RU IDLOHG


HTXLSPHQW  PD\ EH LPSRVVLEOH  0RUHRYHU OLYH WUDLQLQJ LV EHFRPLQJ LQFUHDVLQJO\ H[SHQVLYH
7KHUHIRUH V\QWKHWLF WUDLQLQJ LV DQ HVVHQWLDO FRPSOHPHQW WR OLYH WUDLQLQJ DQG LW QHHGV WR EH
GHYHORSHGDQGLPSURYHGDVILQDQFLDODQGHQYLURQPHQWDOSUHVVXUHVRQOLYHWUDLQLQJLQFUHDVH,Q
DGGLWLRQ WKH SRWHQWLDO RI V\QWKHWLF WUDLQLQJ IDFLOLWLHV WR SURYLGH UHDOLVWLF UHKHDUVDO RI DFWXDO
RSHUDWLRQVQHHGVWREHH[SORLWHG

The Use of Military Force


‰ $UPHG IRUFHV GHULYH WKHLU XWLOLW\ IURP WKH DELOLW\ WR WKUHDWHQ RU EULQJ WR EHDU FRQWUROOHG
PLOLWDU\IRUFHDW DFKRVHQSODFH DQGWLPHWRDFKLHYHPLOLWDU\REMHFWLYHVLQSXUVXLWRISROLWLFDO
HQGV,QJHQHUDOWKHDLPZLOOEHWRDYHUWFRQIOLFWRULIFRQIOLFWLVLQHYLWDEOHWRIRUFHWKHHQHP\
WRVXEPLW0LOLWDU\IRUFHFDQEHHPSOR\HGLQWKHIROORZLQJZD\V

‰ 'HWHUUHQFH'HWHUUHQFHLVEDVHGRQWKHSRWHQWLDORIPLOLWDU\IRUFHDQGLVDFHQWUDOIXQFWLRQ
RIGHIHQFH,WVXSSRUWVGLSORPDWLFDFWLYLW\GHVLJQHGWRDYHUWUHFRXUVHWRDUPHGFRQIOLFWDQGPD\
SUHYHQWHVFDODWLRQRQFHDFRQIOLFWKDVVWDUWHG'HWHUUHQFHDLPVWRGLVVXDGHDSRWHQWLDODGYHUVDU\
IURP UHVRUWLQJ WR D SDUWLFXODU FRXUVH RI DFWLRQ E\ FRQYLQFLQJ KLP WKDW WKH FRVWV RI SXUVXLQJ LW
ZLOO RXWZHLJK SRWHQWLDO JDLQV  7KLV PD\ EH DFKLHYHG E\ FRQYLQFLQJ KLP WKDW KH ZLOO QRW
VXFFHHG RU WKDW  WKHUH LV D VXIILFLHQWO\ KLJK ULVN WKDW VRPHWKLQJ KH YDOXHV ZLOO VXIIHU
XQDFFHSWDEOH GDPDJH  'HWHUUHQFH LV EDVHG RQ WKH HYLGHQW FDSDELOLW\ DQG UHVROXWLRQ RI WKH
GHWHUUHU DQG WKH LQIHUHQFH GUDZQ E\ WKH SRWHQWLDO DJJUHVVRU RI WKH FRQVHTXHQFHV RI DQ\
DJJUHVVLRQ KH PD\ LQLWLDWH   'HWHUUHQFH ZLWK FRQYHQWLRQDO IRUFHV UHTXLUHV GHPRQVWUDEOH
FDSDELOLW\UHDGLQHVVDQGVHQVHRISXUSRVH7KHGHWHUUHQWUROHRIVXUYLYDEOHQXFOHDUIRUFHVDULVHV
IURPWKHLUSRWHQWLDOTXLFNO\WRGHOLYHULQWROHUDEOHGDPDJHDQGWKHLPSRVVLELOLW\RIFDOFXODWLQJDW
ZKDW VWDJH LQ D FRQIOLFW WKH\ PLJKW EH XVHG  1XFOHDU IRUFHV DUH LQWHQGHG WR PDNH FOHDU WR D
SRWHQWLDODWWDFNHUWKDWWKHULVNVFOHDUO\H[FHHGWKHSRWHQWLDOJDLQVIURPDJJUHVVLRQ7KH\SOD\D
SULPDU\ UROH LQ GHWHUULQJ PDMRU QXFOHDU SRZHUV IURP HPEDUNLQJ RQ ODUJH VFDOH ZDU RU IURP
ULVNLQJ DFWLRQV WKDW PLJKW OHDG WR JHQHUDO ZDU  7KH WKUHDW LPSOLFLW LQ GHWHUUHQFH DQG LWV
UHODWLRQVKLS WR WKH LQWHUHVWV EHLQJ GHIHQGHG PXVW EH FOHDU WR DQ\ SRWHQWLDO DGYHUVDU\  %XW KH
VKRXOG UHPDLQ XQFHUWDLQ RI WKH H[WHQW RU QDWXUH RI DQ\ UHVSRQVH DQG EH HQFRXUDJHG WR WDNH D
ZRUVW FDVH DQDO\VLV WKXV GHWHUUHQFH LV HQKDQFHG  $W DQ\ OHYHO GHWHUUHQFH KDV D SV\FKRORJLFDO
GLPHQVLRQ DQG LW LV VWUHQJWKHQHG E\ DQG GHSHQGV RQ WKH RSSRQHQW
V SHUFHSWLRQ RI D UHVROXWH
QDWLRQDO SROLF\ GHPRQVWUDWHG PLOLWDU\ HIIHFWLYHQHVV DQG ERWK HYLGHQW ZLOO WR XVH IRUFH DQG D
UHDGLQHVV WR HVFDODWH WKDW XVH LI DW ILUVW WKH REMHFWLYH LV QRW DFKLHYHG  +RZHYHU GHVSLWH WKH
HIIRUWVRIWKHLQWHUQDWLRQDOFRPPXQLW\WKHUHLVDULVNWKDWQXFOHDUWHFKQRORJ\PD\SUROLIHUDWHLQ
WKH IXWXUH WR URJXH VWDWHV ZKR PLJKW VHH WKH XVH RI QXFOHDU ZHDSRQV DV DQ H[WHQVLRQ RI
FRQYHQWLRQDOZDUILJKWLQJFDSDELOLW\DQGPLVSHUFHLYHWKHULVNVLQYROYHGLQWKHLUXVH'HWHUUHQFH
LQFOXGLQJ WKH HIIHFWLYH FRPPXQLFDWLRQ WR D SRWHQWLDO DJJUHVVRU RI WKH OLNHO\ UHVSRQVH WR KLV
DFWLRQV ZRXOG UHPDLQ FUXFLDOO\ LPSRUWDQW LQ VXFK D FDVH RWKHU RSWLRQV ZRXOG DOVR QHHG WR EH
FRQVLGHUHGLQFOXGLQJSUHHPSWLRQRUGLVUXSWLRQXVLQJFRQYHQWLRQDOIRUFHV WKLVJRHVEH\RQGWKH
SKLORVRSK\RIFRHUFLRQGHVFULEHGEHORZ 

‰ &RHUFLRQ  'HWHUUHQFH DV GHVFULEHG DERYH LV HVVHQWLDOO\ D SDVVLYH IXQFWLRQ VHHNLQJ WR
LQIOXHQFHWKHEHKDYLRXURIDSRWHQWLDODGYHUVDU\WKURXJKKLVSHUFHSWLRQRIWKHULVNVZKLFKPLJKW
DFFUXHWRPLOLWDU\DJJUHVVLRQ&RHUFLRQ VRPHWLPHVFDOOHGFRPSHOOHQFH PRYHVGHWHUUHQFHRQWR
DQDFWLYHDQGPRUHIRFXVHGSODQHE\WKHGLUHFWWKUHDWRUWKHXVHRIIRUFHLQDPHDVXUHGZD\QRW
DVDQDFWRIFRQIOLFWRUWRDFKLHYHDPLOLWDU\REMHFWLYHEXWLQRUGHUWRFRPSHODSDUWLFXODUFRXUVH
RI DFWLRQ  $V DQ RYHUW DFW RI YLROHQFH LW FDUULHV WKH ULVN WKDW LW PD\ SUHFLSLWDWH D FRQIOLFW  RU
FRQYHUVHO\ WKDW E\ LWV OLPLWHG HIIHFW LW PLJKW XQGHUPLQH DQ DGYHUVDU\
V SHUFHSWLRQ RI ULVN
7KHUHIRUHLWIROORZVWKDWHIIHFWLYHGHWHUUHQFHDQGFRHUFLRQUHTXLUHDFOHDUGHILQLWLRQRIWKHWDUJHW


JURXSV  WKH RSSRVLQJ OHDGHUVKLS DUPHG IRUFHV SRSXODWLRQ  DQ XQGHUVWDQGLQJ RI WKHLU
SV\FKRORJ\ DQG DQ XQDPELJXRXV VLJQDO RI WKH EHKDYLRXU WR EH DGRSWHG  &RHUFLRQ PD\ EH
QHHGHGLIGHWHUUHQFHKDVIDLOHGLQRUGHUWRFRPSHODQDJJUHVVRUWRUHVWRUHWKHVWDWXVTXRDQWHRU
WRGHVLVWIURPIXUWKHUDJJUHVVLRQ7KXVDQDFWRIFRHUFLRQPD\UHVWRUHSDVVLYHGHWHUUHQFHEXWDW
WKH FRVW RI UDLVLQJ WKH VWDNHV DQG FRHUFLRQ LV RQO\ OLNHO\ WR EH HIIHFWLYH ZKHUH D VWDWH KDV
VXIILFLHQW IRUFH DW LWV GLVSRVDO WR EH PDQLIHVWO\ FDSDEOH RI IXUWKHU HVFDODWLRQ  7KH FRQFHSW RI
FRHUFLRQ LV FRQILQHG HVVHQWLDOO\ WR WKH XVH RI FRQYHQWLRQDO ZHDSRQV  7KH XVH RI QXFOHDU
ZHDSRQV WR SHUVXDGH DQ DJJUHVVRU WR FHDVH KLV DJJUHVVLRQ DQG ZLWKGUDZ FRXOG VLPLODUO\ EH
GHVFULEHG DV D FRHUFLYH DFW EXW ZRXOG QRW UHSUHVHQW WKH LQLWLDO XVH RI IRUFH DQG FRXOG RQO\ EH
FRQWHPSODWHGZKHUHWKHYLWDOLQWHUHVWVRIWKHVWDWHZHUHDWULVN%HFDXVHRIWKHULVNRIHVFDODWLRQ
LQKHUHQW LQ FRHUFLRQ LW LV HVSHFLDOO\ LPSRUWDQW WKDW FRHUFLRQ VKRXOG RQO\ EH LQLWLDWHG E\
GHOLEHUDWHGHFLVLRQDQGEHIXOO\FRQVLVWHQWZLWKJUDQGVWUDWHJLFDLPV

‰ 'HVWUXFWLRQ7KHPRVWREYLRXVXVHRIPLOLWDU\IRUFHLVWRGHVWUR\VRPHWKLQJIRUH[DPSOH
DQDLUFUDIWDVKLSDEULGJHRUDZKROHHQHP\IRUFHWRSUHYHQWWKHHQHP\XVLQJLWIRUKLVRZQ
SXUSRVHVDQGVREULQJDERXWKLVGHIHDW,QSDUWLFXODUDWWULWLRQLVWKHFXPXODWLYHUHGXFWLRQRIWKH
HIIHFWLYHQHVV RI WKH HQHP\
V IRUFHV E\ GHVWUR\LQJ SHUVRQQHO DQG PDWHULHO  ,W WDNHV WLPH DQG
VXFFHVV JRHV WR WKH VLGH ZKLFK FDQ ODVW ORQJHU LQ WKH SURFHVV RI JUDGXDOO\ UHGXFLQJ WKH RWKHU
V
HIIHFWLYHQHVV$SURWDJRQLVW
VHQGXUDQFHPLJKWGHSHQGRQSXUHO\SK\VLFDOIDFWRUVEXWLWPLJKW
EH GLFWDWHG E\ WKH ZLOOLQJQHVV RI LWV JRYHUQPHQW WR FRQWLQXH WR VXVWDLQ KLJK FDVXDOWLHV  7KXV
GHVWUXFWLRQ LV D IRUP RI GHQLDO  ,W PD\ EH IRFXVHG RQ DQ HQHP\
V GHVWUXFWLYH FDSDELOLW\ IRU
H[DPSOHWKHDWWULWLRQRIWKH,UDTL$UP\LQSULRUWRWKH&RDOLWLRQ
VODQGRIIHQVLYH RURQKLV
UHDFK IRUH[DPSOHWKHFDPSDLJQZKLFKFXOPLQDWHGLQWKH%DWWOHRI7UDIDOJDU 

‰ &RQVWUDLQW&RQVWUDLQWLVWKHRWKHUW\SHRIGHQLDOZKLFKLQYROYHVWKHXVHRIIRUFHWRGHQ\
VRPHWKLQJZLWKRXWGHVWUR\LQJLWIRUH[DPSOHGHQ\LQJWKHXVHRIDEULGJHRUURDGE\EORFNLQJLW
RUWKHXVHRIDPDULWLPHEORFNDGH

‰ 'LVUXSWLRQ'LVUXSWLRQLVWKHXVHRIIRUFHWRVKDWWHUWKHFRKHVLRQRIDPLOLWDU\IRUPDWLRQWR
SUHYHQWLWIURPIXQFWLRQLQJHIIHFWLYHO\LQ FRPEDW  ,W PD\ EH DFKLHYHG E\ GHVWUR\LQJ HOHPHQWV
HVVHQWLDO IRU FRKHVLRQ VXFK DV WKH FRPPDQG DQG FRQWURO V\VWHPV ,W PD\ DOVR EH DFKLHYHG E\
DIIHFWLQJ WKH  GHFLVLRQ PDNLQJ DELOLW\ RI WKH FRPPDQG RU GHVWUR\LQJ WKH PRUDOH RI WKH HQHP\
WKURXJKWKHXVHRIIRUFHFRPELQHGZLWKVXUSULVHGHFHSWLRQDQGWHPSR

Destruction is a form of denial.


Seen here, the aftermath of an air
attack on an Iraqi hardened
aircraft shelter during the Gulf War


Chapter 4

STRATEGIC CONSIDERATIONS
‰ 7KLV FKDSWHU GLVFXVVHV WKH IDFWRUV ZKLFK LQIOXHQFH WKH SODQQLQJ DQG FRQGXFW RI PLOLWDU\
RSHUDWLRQVDWWKHVWUDWHJLFOHYHO,WEHJLQVE\FRQVLGHULQJWKHQDWXUHRIVWUDWHJ\

7KH1DWXUHRI6WUDWHJ\

‰ )LHOG 0DUVKDO 9LVFRXQW $ODQEURRNH ZKR ZDV FRFKDLUPDQ RI WKH $QJOR86 &RPELQHG
&KLHIVRI6WDII&RPPLWWHHIRUPRVWRIWKH6HFRQG:RUOG:DUGHVFULEHGWKHDUWRIVWUDWHJ\DV
WR GHWHUPLQH WKH DLP ZKLFK VKRXOG EH SROLWLFDO WR GHULYH IURP WKDW DLP D VHULHV RI PLOLWDU\
REMHFWLYHVWREHDFKLHYHGWRDVVHVVWKHVHREMHFWLYHVDVWRWKHPLOLWDU\UHTXLUHPHQWVWKH\FUHDWH
DQG WKH SUHFRQGLWLRQV ZKLFK WKH DFKLHYHPHQW RI HDFK LV OLNHO\ WR QHFHVVLWDWH WR PHDVXUH
DYDLODEOH DQG SRWHQWLDO UHVRXUFHV DJDLQVW WKH UHTXLUHPHQWV DQG WR FKDUW IURP WKLV SURFHVV D
FRKHUHQWSDWWHUQRISULRULWLHVDQGDUDWLRQDOFRXUVHRIDFWLRQ

‰ %HFDXVHFRQIOLFWLVLQHVVHQFHDEDWWOHRIZLOOVPLOLWDU\VWUDWHJ\LVIXQGDPHQWDOO\GLIIHUHQW
IURP DFWLYLWLHV ZKHUH WKHUH LV QR RSSRQHQW  ,WV REMHFW LV WR DFKLHYH DQG PDLQWDLQ IUHHGRP RI
DFWLRQDQGWRWU\WROLPLWWKDWRIWKHHQHP\ZLWKWKHXOWLPDWHSXUSRVHRIJDLQLQJKLVVXEPLVVLRQ
6WUDWHJ\VHHNVWRFUHDWHDGHVLUHGSDWWHUQWRHYHQWVZKHUHWKHHQGVWKHZD\VDQGWKHPHDQVDUH
EURXJKW LQWR EDODQFH GHVSLWH WKH HIIRUWV RI WKH HQHP\ WR FUHDWH DQ HQWLUHO\ GLIIHUHQW SDWWHUQ
7KXV WKH HOHPHQWV RI VWUDWHJ\ DUH WKH HQYLURQPHQW WKH HQHP\ WKH HQGV WKH ZD\V DQG WKH
PHDQV,WLVXVHIXOWRFRQVLGHUWKHLVVXHVLQYROYHGLQWKHVHWHUPV

7KH(QYLURQPHQW

‰ 7KH 3ROLWLFDO 6LWXDWLRQ  0LOLWDU\ IRUFHV RSHUDWH LQ D SROLWLFDO FRQWH[W IRU D SROLWLFDO HQG
0LOLWDU\ DFWLRQV LQYDULDEO\ KDYH SROLWLFDO UHSHUFXVVLRQV DQG PXVW EH FRQVLGHUHG LQ WKDW OLJKW
7KH SROLWLFDO VLWXDWLRQ DW KRPH DPRQJ DOOLHV LQ WKH RSSRVLWLRQ FDPS DQG LQ WKH ZLGHU
LQWHUQDWLRQDOFRPPXQLW\ZLOOKDYHDSURIRXQGLQIOXHQFHRQKRZPLOLWDU\IRUFHFDQEHHPSOR\HG

‰ 7KH0LQG&RQIOLFWLVDVWUXJJOHRIZLOOVZKLFKWDNHVSODFHLQSHRSOH
VPLQGVDVZHOODVRQ
WKHEDWWOHILHOG7KHDVVDXOWRQWKHPLQGRIWKHHQHP\LVGLVFXVVHGLQWKHQH[WVHFWLRQ+RZHYHU
LW LV YLWDO WR PDLQWDLQ WKH PRUDOH DQG VXSSRUW RI WKH KRPH  SRSXODWLRQ  PHGLD RSHUDWLRQV DUH
IXQGDPHQWDOWRWKLVDQGWRFRQYLQFHRXURZQDQGDOOLHGIRUFHVWKDWWKH\DUHILJKWLQJIRUDMXVW
FDXVHXQGHUFDSDEOHDQGGHWHUPLQHGOHDGHUV


1 David Fraser, "Alanbrooke", London, 1982, page 215


In some circumstances - for example peacekeeping operations (see Chapter 6) - there may not be a clearly defined enemy.
However, in almost all circumstances in which a military force is deployed there are likely to be forces or groups of people seeking
to frustrate the military force achieving its objectives or to attain conflicting objectives. References to the enemy or the opponent in
the remainder of this Chapter should be read in this light.


‰ 7KH3RSXODWLRQLQWKH:DU=RQH&LYLOLDQVLQWKHZDU]RQHPLJKWEHDIIHFWHGE\PLOLWDU\
RSHUDWLRQVDQGFRXOGEHFRPHGLUHFWO\LQYROYHGLQWKHP7KHSURWHFWLRQDIIRUGHGWRFLYLOLDQVE\
WKHODZVRIDUPHGFRQIOLFWZLOOOLPLWWKHZD\LQZKLFKIRUFHLVXVHGIRUH[DPSOHWKHFKRLFHRI
WDUJHWV DQG ZHDSRQV VHH $QQH[ %   3ODQQLQJ PD\ QHHG WR WDNH LQWR DFFRXQW WKH ZHOIDUH RI
UHIXJHHVDQGWKHLUHIIHFWRQPLOLWDU\PRYHPHQW,QRSHUDWLRQVRWKHUWKDQZDUSDUWLFXODUO\WKRVH
VXFKDVSHDFHNHHSLQJZKLFKUHTXLUHFRQVHQWWKHVXSSRUWRIWKHORFDOSRSXODWLRQPD\EHFUXFLDO
WRVXFFHVVDQGLWZLOOEHHVVHQWLDOWRZLQWKHLUFRQILGHQFH

The support of the


local population may
be crucial to success
and it is essential to
win their confidence.
A British soldier
makes friends with a
local in Bosnia.

‰ *HRJUDSK\*HRJUDSK\IRUH[DPSOHWKHGLVWDQFHRIWKHWKHDWUHRIRSHUDWLRQVIURPRZQRU
IULHQGO\ EDVHV DQG WKH QDWXUH RI WKH WHUUDLQ DQG LQIUDVWUXFWXUH RYHU ZKLFK DQ RSHUDWLRQ ZLOO EH
FRQGXFWHGLVDPDMRUSODQQLQJFRQVLGHUDWLRQ,WDIIHFWVWKHPHWKRGRIGHSOR\PHQWWKHFKRLFHRI
LQVHUWLRQSRLQWDQGWKHW\SHVRIIRUFHVDQGHTXLSPHQWQHHGHG

‰ &OLPDWH DQG :HDWKHU  &OLPDWH DQG ZHDWKHU DIIHFW WKH SHUIRUPDQFH RI SHRSOH DQG
HTXLSPHQWZKLFKPD\LQWKHPRVWDGYHUVHFRQGLWLRQVEHVHYHUHO\GHJUDGHG7KXVWKHHIIHFWVRI
FOLPDWH DQG ZHDWKHU SRVVLEO\ LQFOXGLQJ WKH QHHG IRU DFFOLPDWLVDWLRQ DOZD\V QHHG WR EH
FRQVLGHUHG DQG WXUQHG WR DGYDQWDJH ZKHUH SRVVLEOH  7R DQ H[WHQW IRUFH VWUXFWXUH ZLOO EH
LQIOXHQFHGE\JHRJUDSK\DQGFOLPDWH

‰ 7KH%DWWOHVSDFH  7KH EDWWOHVSDFH FRPSULVHV WKRVH SRUWLRQV RI WKH VHD XQGHUVHD ODQG DLU
DQG VSDFH HQYLURQPHQWV DQG WKH HOHFWURPDJQHWLF VSHFWUXP UHTXLUHG IRU D SDUWLFXODU RSHUDWLRQ
6XFFHVVIXO PLOLWDU\ RSHUDWLRQV UHTXLUH WKH DELOLW\ WR GRPLQDWH WKH EDWWOHVSDFH  WKDW LV WR KDYH
IUHHGRP RI DFWLRQ DQG WR GHQ\ WKDW IUHHGRP WR WKH HQHP\ ZLWKLQ DQ DUHD RI LQWHUHVW IRU D
SDUWLFXODU SHULRG  &RQVHTXHQWO\ VWUDWHJLF SODQQLQJ PXVW GHILQH WKH EDWWOHVSDFH WKH GHJUHH RI
GRPLQDQFHUHTXLUHGDQGWKHFRQGLWLRQVQHFHVVDU\WRDFKLHYHLW

‰ 1XFOHDU &KHPLFDO DQG %LRORJLFDO (QYLURQPHQW  1XFOHDU FKHPLFDO DQG ELRORJLFDO


FRQGLWLRQV LPSRVH VHYHUH SHQDOWLHV XSRQ DOO PLOLWDU\ DFWLYLW\ DQG ULVN LQGLVFULPLQDWH WKUHDWV WR
FLYLOLDQ SRSXODWLRQV  (IIHFWLYH PHDVXUHV RI DUPV FRQWURO DQG GLVDUPDPHQW DQG GHWHUUHQFH
DJDLQVW QXFOHDU FKHPLFDO DQG ELRORJLFDO XVH DUH LPSRUWDQW VWUDWHJLF DLPV  *RRG GHIHQVLYH
HTXLSPHQW DQG SURFHGXUHV DQG ULJRURXV WUDLQLQJ DUH HVVHQWLDO DV D SUHFDXWLRQ DJDLQVW VXFK XVH
DQGWRHQDEOHPLOLWDU\RSHUDWLRQVLQWKHVHFRQGLWLRQV


The Enemy
‰ 7KH HQHP\ PXVW EH WKH IRFXV RI VWUDWHJ\  :DU PD\ EH ZRQ E\ GHVWUR\LQJ DQ RSSRQHQW
V
FDSDELOLW\ RU E\ EUHDNLQJ KLV SROLWLFDO ZLOO  7KHUHIRUH LW LV QHFHVVDU\ WR XQGHUVWDQG WKH
PRWLYDWLRQ RI WKH RSSRVLQJ OHDGHUVKLS IRUFHV DQG SRSXODWLRQ WR VKDSH WKHLU SHUFHSWLRQV WR
GHVWUR\ WKHLU ZLOO WR FRQWLQXH WKH FRQIOLFW DQG SHUVXDGH WKHP WR DFFHSW WKH GHVLUHG SROLWLFDO
RXWFRPH7KHVWDUWLQJSRLQWPXVWEHNQRZOHGJHRIDOODVSHFWVRIWKHHQHP\LQFOXGLQJSROLWLFV
HFRQRPLFVJHRJUDSK\DQGFXOWXUHDVZHOODVWKHFRQGLWLRQRIKLVDUPHGIRUFHV

‰ ,WLVHVVHQWLDODOZD\VWRWU\WRDQWLFLSDWHWKHHQHP\
VVWUDWHJ\LQRUGHUWRDWWHPSWWRWKZDUWLW
DQGWRJXDUGDJDLQVWZKDWKHSODQVWRGRWRXVUDWKHUWKDQFRQFHQWUDWLQJH[FOXVLYHO\RQZKDWZH
SODQWRGRWRKLP,IWKHUHLVDFKRLFHRIVWUDWHJ\WKHRQHZKLFKLVDSSDUHQWO\PRVWHIILFLHQWPD\
QRWQHFHVVDULO\EHWKHEHVWLILWLVHDV\WRDQWLFLSDWHDQGFRXQWHU3ODQQHUVPXVWWKLQNFRQVWDQWO\
DERXWKRZWKHHQHP\PD\UHDFWWRIUXVWUDWHIULHQGO\DFWLRQV,IIDFHGE\VXSHULRUIRUFHVKHPD\
VLPSO\DYRLGFRPEDWIRUH[DPSOHWKH*HUPDQ+LJK6HDV)OHHWLQWKH)LUVW:RUOG:DUDYRLGHG
JLYLQJEDWWOHWRWKH%ULWLVK)OHHWH[FHSWDWWKH%DWWOHRI-XWODQG,IFDXJKWRIIEDODQFHKHPD\
UHFRYHU E\ UHGHSOR\LQJ KLV IRUFHV UHFRQVWUXFWLQJ KLV DVVHWV GHYLVLQJ QHZ WDFWLFDO RU WHFKQLFDO
FRXQWHUPHDVXUHVRUODXQFKLQJDQHZVWUDWHJLFLQLWLDWLYHRIKLVRZQ,WLVUDUHIRUDQHQHP\QRW
WR DWWHPSW VRPH FRXQWHURIIHQVLYH DFWLRQ RI KLV RZQ HYHQ ZKHQ IDFHG ZLWK DQ RIIHQVLYH E\
JUHDWO\ VXSHULRU IRUFHV  ([DPSOHV DUH WKH ERPEDUGPHQWV ZLWK 9ZHDSRQV DQG WKH $UGHQQHV
RIIHQVLYH ODXQFKHG E\ +LWOHU LQ  DQG 6DGGDP +XVVHLQ
V 6&8' DWWDFNV DQG WKH .KDIML
RIIHQVLYHGXULQJWKH*XOI:DU7KHVHFUHWRIVXFFHVVIXOPLOLWDU\VWUDWHJ\LVWRWKLQNDKHDGDERXW
SRVVLEOH HQHP\ UHDFWLRQV DQG DWWHPSW WR QHJDWH WKHP E\ SODFLQJ WKH HQHP\ RQ WKH KRUQV RI D
GLOHPPD IRU H[DPSOH E\ WKUHDWHQLQJ VRPHWKLQJ ZKLFK KH KDV QR FKRLFH EXW WR GHIHQG  RU E\
FKDQJLQJWKHVLWXDWLRQVRIDVWWKDWKHKDVQRWLPHWRUHDFW0RUHRYHUVLPSO\SHUVLVWLQJZLWKD
VWUDWHJ\ZKLFKKDVZRUNHGZHOOVRIDULVQRJXDUDQWHHRIIXWXUHVXFFHVV

Ends
‰ 0LOLWDU\VWUDWHJ\PXVWHQDEOHWKHDFKLHYHPHQWRISROLWLFDOHQGV,QDZDURIQDWLRQDOVXUYLYDO
WKHSROLWLFDOHQGZLOOEHFOHDUDQGXQHTXLYRFDODQGDOOQDWLRQDOUHVRXUFHVPXVWEHKDUQHVVHGWR
SURYLGH WKH PLOLWDU\ PHDQV QHFHVVDU\  2Q WKH RWKHU KDQG LI YLWDO QDWLRQDO LQWHUHVWV DUH QRW
LQYROYHGLWPD\EHQHFHVVDU\WRWDLORUWKHSROLWLFDOREMHFWLYHWRPDWFKZKDWFDQUHDOLVWLFDOO\EH
DFKLHYHGE\WKHOHJDODQGSURSRUWLRQDWHXVHRIPLOLWDU\IRUFHZLWKWKHIRUFHVUHDGLO\DYDLODEOH
,QGHHG WKH GHFLVLRQ ZKHWKHU RU QRW WR LQWHUYHQH ZLOO EH LQIOXHQFHG E\ FRQVLGHUDWLRQV RI  KRZ
DFKLHYDEOHWKHSROLWLFDOHQGLVDQGZKDWWKHRSHUDWLRQLVOLNHO\WRFRVWIRUH[DPSOHLQWHUPVRI
IRUFHV FRPPLWWHG FDVXDOWLHV WUDGH DQG QDWLRQDO SUHVWLJH LQ FRPSDULVRQ ZLWK WKH GHJUHH RI
QDWLRQDOLQWHUHVWLQWKHSRWHQWLDOFRQIOLFW

‰ 7KH PLOLWDU\ REMHFWLYHV VKRXOG EH VWDWHG LQ WHUPV RI ZKDW FRQVWLWXWHV VXFFHVV  WKH GHVLUHG
HQGVWDWH)RUFHUWDLQRSHUDWLRQVWKLVPD\EHWKHEUHDNLQJRIWKHRSSRQHQW
VSROLWLFDOZLOORUWKH
GHVWUXFWLRQRIVRPHRUDOORIKLVPLOLWDU\FDSDELOLW\ ,QRWKHUFDVHVVXFFHVVPD\LQYROYHVRPH
PRUH FRPSOH[ QRWLRQ VXFK DV HVWDEOLVKLQJ FRQGLWLRQV ZKLFK HQDEOH KXPDQLWDULDQ UHOLHI
RSHUDWLRQV WR EH FRQGXFWHG EULQJLQJ FRPEDWDQWV WR D QHJRWLDWLQJ WDEOH RU PDNLQJ DQ LQYDGHU
ZLWKGUDZ  +LVWRULFDOO\ PLOLWDU\ FRPPDQGHUV KDYH DOZD\V VRXJKW FOHDU XQDPELJXRXV DQG
DFKLHYDEOH JRDOV  +RZHYHU LW LV UDUHO\ SRVVLEOH WR GHILQH REMHFWLYHV DV FOHDUO\ DV WKH PLOLWDU\
ZRXOG ZLVK  )RU LQVWDQFH WKH UHTXLUHPHQW IRU FRQVHQVXV LQ WKH 8QLWHG 1DWLRQV
 6HFXULW\
&RXQFLO
V5HVROXWLRQVPHDQVWKDWWKHVHDUHIUHTXHQWO\XQOLNHO\WREHDEOHWRVSHFLI\WKHGHVLUHG
RXWFRPHZLWKSUHFLVLRQ'XULQJWKH FRXUVHRI D FULVLV RU DQ RSHUDWLRQ WKH LPPHGLDWH VLWXDWLRQ
DQGZLGHUFLUFXPVWDQFHVDUHOLNHO\WRFKDQJHDQGSROLWLFDOREMHFWLYHVPD\EHUHYLVHG7KHUHIRUH


LW LV HVVHQWLDO WR NHHS PLOLWDU\ REMHFWLYHV XQGHU UHYLHZ  :KDWHYHU WKH FLUFXPVWDQFHV FOHDU
VWUDWHJLFGLUHFWLRQLVHVVHQWLDOIRUDOOPLOLWDU\RSHUDWLRQV

Ways
‰ &HQWUHRI*UDYLW\6XFFHVVLQFRQIOLFWFDQEHDFKLHYHGWKURXJKLGHQWLI\LQJDQGFRQWUROOLQJ
RUGHVWUR\LQJWKHHQHP\
VFHQWUHRIJUDYLW\7KHFHQWUHRIJUDYLW\ZDVGHILQHGE\&ODXVHZLW]DV
WKHKXERIDOOSRZHUDQGPRYHPHQWRQZKLFKHYHU\WKLQJGHSHQGVWKHSRLQWDWZKLFKDOORXU
HQHUJLHV VKRXOG EH GLUHFWHG  $ PRUH PRGHUQ GHVFULSWLRQ LV WKDW FKDUDFWHULVWLF FDSDELOLW\ RU
ORFDWLRQ IURP ZKLFK  D PLOLWDU\ IRUFH QDWLRQ RU DOOLDQFH GHULYHV IUHHGRP RI DFWLRQ SK\VLFDO
VWUHQJWKRUZLOOWRILJKW([DPSOHVPLJKWEHWKHPDVVRIDQHQHP\DUP\DSDUWLFXODUEDVHDUHD
DFUXFLDOUHVRXUFHWKHOHDGHUVKLSWKHFRPPDQGVWUXFWXUHRUQDWLRQDOZLOO:KHUHFRDOLWLRQVDUH
FRQFHUQHGWKHFHQWUHRIJUDYLW\ZLOOXVXDOO\EHWKHFRDOLWLRQ
VFRKHVLRQ,QWKHFDVHRIDQDQWL
WHUURULVWFDPSDLJQLWPLJKWEHWKDWSDUWRIWKHSRSXODWLRQRUWKH IRUHLJQ SRZHU IURP ZKLFK WKH
WHUURULVWV GUDZ VXSSRUW  &HQWUHV RI JUDYLW\ PD\ EH GHILQHG DW ERWK WKH VWUDWHJLF DQG WKH
RSHUDWLRQDO OHYHOV IRU H[DPSOH LQ WKH *XOI :DU ,UDT
V VWUDWHJLF FHQWUH RI JUDYLW\ ZDV 6DGGDP
+XVVHLQ
VZLOODQGLWVRSHUDWLRQDOFHQWUHRIJUDYLW\ZDVWKH5HSXEOLFDQ*XDUG,QWKHFRXUVHRID
ORQJFRQIOLFWWKHORFDWLRQRIWKHFHQWUHRIJUDYLW\PD\FKDQJH,IWKHHQHP\
VFHQWUHRIJUDYLW\LV
GLIILFXOWWRVSHFLI\DQDWWHPSWVKRXOGEHPDGHWRUHFRJQLVHFULWLFDOYXOQHUDELOLWLHVLQDQHQHP\
ILJKWLQJIRUFHZKLFKLIGHVWUR\HGRUQHXWUDOLVHGZLOOGLVUXSWWKHILJKWLQJV\VWHPRIWKDWIRUFH,W
LVDOVRYLWDOWRLGHQWLI\WKHFHQWUHRIJUDYLW\RI\RXURZQVLGHDQGSURWHFWLW

‰ 0DQRHXYULVW$SSURDFK 7KHPDQRHXYULVWDSSURDFKWRRSHUDWLRQVLVRQHLQZKLFKVKDWWHULQJ
WKH HQHP\
V RYHUDOO FRKHVLRQ DQG ZLOO WR ILJKW UDWKHU WKDQ KLV PDWHULHO LV SDUDPRXQW
0DQRHXYUH ZDUIDUH LV LQYDULDEO\ MRLQW LW DLPV WR DSSO\ VWUHQJWK DJDLQVW LGHQWLILHG ZHDNQHVV
VLJQLILFDQW IHDWXUHV DUH PRPHQWXP DQG WHPSR ZKLFK LQ FRPELQDWLRQ OHDG WR VKRFN DFWLRQ DQG
VXUSULVH(PSKDVLVLVRQWKHGHIHDWDQGGLVUXSWLRQRIWKHHQHP\E\WDNLQJWKHLQLWLDWLYHDQG
DSSO\LQJFRQVWDQW DQG XQDFFHSWDEOH SUHVVXUH DW WKH WLPHV DQG SODFHV WKH HQHP\ OHDVW H[SHFWV 
UDWKHUWKDQDWWHPSWLQJWRVHL]HDQGKROGJURXQGIRULWVRZQVDNH,WFDOOVIRUDQDWWLWXGHRIPLQG
LQZKLFKGRLQJWKHXQH[SHFWHGDQGVHHNLQJRULJLQDOLW\LVFRPELQHGZLWKDUXWKOHVVGHWHUPLQDWLRQ
WRVXFFHHG7KHPDQRHXYULVWDSSURDFKLVHTXDOO\DSSOLFDEOHWRDOOW\SHVRIPLOLWDU\RSHUDWLRQV
6XFK DQ LQGLUHFW DSSURDFK RIIHUV WKH SURVSHFW RI UDSLG UHVXOWV RU RI UHVXOWV GLVSURSRUWLRQDWHO\
JUHDWHUWKDQWKHUHVRXUFHVDSSOLHG+HQFHLWLVDWWUDFWLYHWRDQXPHULFDOO\LQIHULRUVLGHRUWRD
VWURQJHU VLGH ZKLFK ZLVKHV WR PLQLPLVH WKH UHVRXUFHV FRPPLWWHG  +RZHYHU LW GRHV HQWDLO WKH
ULVNWKDWGLVUXSWLRQRIWKHHQHP\ZLOOQRWRFFXUDVSUHGLFWHGDQGKHQFHFDQEHOHVVFHUWDLQWKDQ
DQ RSHUDWLRQ ZKLFK UHOLHV RQ WKH  XVH RI RYHUZKHOPLQJ IRUFH DV D PHDQV RI GHVWUXFWLRQ  ,Q
SUDFWLFHGLUHFWDQGLQGLUHFWIRUPVRIDWWDFNDUHQRWH[FOXVLYHVW\OHVRIZDUIDUHDQGDQ\VWUDWHJ\
LV OLNHO\ WR FRQWDLQ HOHPHQWV RI HDFK  $ NH\ FKDUDFWHULVWLF RI WKH PDQRHXYULVW DSSURDFK LV WR
DWWDFNWKHHQHP\FRPPDQGHU
VGHFLVLRQPDNLQJSURFHVVE\DWWHPSWLQJWRJHWLQVLGHKLVGHFLVLRQ
PDNLQJF\FOH7KLVLQYROYHVSUHVHQWLQJKLPZLWKWKHQHHGWRPDNHGHFLVLRQVDWDIDVWHUUDWHWKDQ
KH FDQ FRSH ZLWK VR WKDW KH WDNHV LQFUHDVLQJO\ LQDSSURSULDWH DFWLRQ RU QRQH DW DOO WKHUHE\
SDUDO\VLQJ KLV FDSDELOLW\ WR UHDFW  &OHDUO\ DQ\ GHJUDGDWLRQ RI WKH RYHUDOO FRPPDQG V\VWHP
ZKLFKFDQEHDFKLHYHGE\SK\VLFDORURWKHUPHDQVZLOOKDVWHQWKHRQVHWRISDUDO\VLV

‰ ,QLWLDWLYH2IIHQFHDQG'HIHQFH6XQ7]XVXJJHVWHGWKDWLQYLQFLELOLW\OLHVLQWKHGHIHQFH
WKHSRVVLELOLW\RIYLFWRU\LQWKHDWWDFN)RUVXFFHVVDFRPPDQGHUDWDQ\OHYHOQHHGVWRVHL]H
DQGPDLQWDLQWKHLQLWLDWLYHDWFULWLFDOSRLQWVLQWLPHZKLFKZLOOEHGHWHUPLQHGE\KLVREMHFWLYHV

On War, page 595

The Art of War, Sun Tzu, translated by Samuel B Griffith, Clarendon Press 1963, page 85.


DQGZLGHUFLUFXPVWDQFHV+HPXVWIRUFHWKHHQHP\WRUHVSRQGVHHWRLWWKDWHQJDJHPHQWVWDNH
SODFHRQKLVRZQWHUPVDQGPDLQWDLQDWHPSRRIRSHUDWLRQVZKLFKH[FHHGVWKHHQHP\
VFDSDFLW\
WR UHDFW  2IIHQVLYH DFWLRQ LV WKH FKLHI PHDQV RI JDLQLQJ WKH LQLWLDWLYH  6XFFHVVIXO RIIHQVLYH
DFWLRQDOVRHVWDEOLVKHVDQDVFHQGDQF\RYHUWKHHQHP\GDPDJHVHQHP\IRUFHV
PRUDOHDQGUDLVHV
RZQIRUFHV
PRUDOH,QVLWXDWLRQVZKHUHWKHUHDUHVLPSOHPLOLWDU\REMHFWLYHVRIIHQVLYHDFWLRQLV
JHQHUDOO\QHFHVVDU\WRVHFXUHDGHFLVLRQ+RZHYHUIRUGHPRFUDWLFQDWLRQVSROLWLFDOIDFWRUVPD\
GLFWDWHDWOHDVWLQLWLDOO\DGHIHQVLYHVWUDWHJ\DQGLWZLOOEHQHFHVVDU\WRWU\WRGHWHURUFRXQWHU
ZKDWHYHUWKHHQHP\ DWWHPSWV0RUHRYHU DVODYLVKDGKHUHQFHWRWKHRIIHQVLYHFDQ EH FRXQWHU
SURGXFWLYH LQ SDUWLFXODU DQ RIIHQVLYH PXVW EH GHVLJQHG WR VXFFHHG EHIRUH LW UHDFKHV WKH SRLQW
ZKHQWKHDWWDFNHUFDQQRORQJHUVXVWDLQWKHRIIHQVLYHDQGLVIRUFHGWRVZLWFKWRWKHGHIHQVLYH
WKHFXOPLQDWLQJSRLQW7KHDGRSWLRQRIDQRIIHQVLYHVWUDWHJ\GRHVQRWQHFHVVDULO\PHDQWKDWDOO
WKH FDPSDLJQV DQG WDFWLFV WR H[HFXWH WKDW VWUDWHJ\ ZLOO LQYDULDEO\ EH RIIHQVLYH  6LPLODUO\ D
GHIHQVLYHVWUDWHJ\PD\UHTXLUHRIIHQVLYHFDPSDLJQVDQGWDFWLFV

‰ 6KDSLQJ 3HUFHSWLRQV RI 2SSRQHQWV  ,Q DQ\ FDPSDLJQ LW LV LPSRUWDQW WR VKDSH WKH
SHUFHSWLRQVRIRSSRQHQWV,QVRPHVLWXDWLRQVWKHLQWHQWPD\EHWRFRQYLQFHDQHQHP\WKDW\RXU
IRUFHV DUH RPQLSRWHQW  ,Q RWKHU FLUFXPVWDQFHV WKH REMHFW FRXOG EH WR HQVXUH WKDW RWKHU
SDUWLFLSDQWV UHFRJQLVH WKDW WKH REMHFWLYH LV WR KHOS UHVWRUH QRUPDOLW\  'HFHSWLRQ DQG
SV\FKRORJLFDORSHUDWLRQVFDQEHLPSRUWDQWPHDQVRIKHOSLQJWRVKDSHDQRSSRQHQW
VSHUFHSWLRQV
+RZHYHULQVRPHVLWXDWLRQVLWPD\EHYLWDOWRHQVXUHWKDWWKHHQHP\KDVQRPLVXQGHUVWDQGLQJRI
\RXULQWHQWLRQV

‰ ,QIRUPDWLRQ :DUIDUH  7KH DSSOLFDWLRQ RI DGYDQFHG HOHFWURQLF DQG VRIWZDUH WHFKQRORJLHV
DOORZV FRPPXQLFDWLRQV LQIRUPDWLRQ V\VWHPV VHQVRUV DQG ZHDSRQV V\VWHPV WR EH OLQNHG LQ D
FRKHUHQW PDQQHU DQG WR SURFHVV DQG WUDQVIHU ODUJH DPRXQWV RI LQIRUPDWLRQ  7KLV HQDEOHV
FRPPDQGHUV WR HPSOR\ WKHLU IRUFHV PXFK PRUH HIIHFWLYHO\  +RZHYHU WKHVH DGYDQFHV DOVR
FUHDWHSRWHQWLDOQHZ YXOQHUDELOLWLHV ZKLFK RSSRQHQWV PLJKW VHHN WR H[SORLW  7KLV FRXOG EH E\
SK\VLFDOO\ LQWHUUXSWLQJ WKH IORZ RI LQIRUPDWLRQ RU PRUH LQVLGLRXVO\ E\ LQWHUIHULQJ ZLWK WKH
LQWHJULW\ RI LQIRUPDWLRQ WR DOWHU FRPPDQGHUV
 SHUFHSWLRQV XQGHUPLQH WKH FUHGLELOLW\ RI WKH
LQIRUPDWLRQRULQWHUIHUHZLWKWKHRSHUDWLRQRIZHDSRQVV\VWHPV7KHWHUPLQIRUPDWLRQZDUIDUH
KDV EHHQ FRLQHG IRU DFWLRQV WR DWWDFN RU GHIHQG DQ\ RI WKH LQIRUPDWLRQEDVHG DFWLYLWLHV
VXSSRUWLQJ HLWKHU RSHUDWLRQDO RU EXVLQHVV SURFHVVHV  7KH 0LQLVWU\ RI 'HIHQFH FRQGXFWV
GHIHQVLYHLQIRUPDWLRQZDUIDUHDFURVVWKHIXOOVSHFWUXPRIFRQIOLFWZKLOHRIIHQVLYHLQIRUPDWLRQ
ZDUIDUHLVFXUUHQWO\DGGUHVVHGLQWKHFRQWH[WRIFRPPDQGDQGFRQWUROZDUIDUH

‰ &RPPDQGDQG&RQWURO:DUIDUH(IIHFWLYHFRPPDQGDQGFRQWUROLVFHQWUDOWRWKHXVHRI
PLOLWDU\ IRUFH WKHUHIRUH LI DQ HQHP\
V FRPPDQG DQG FRQWURO FDQ EH SDUDO\VHG KLV PLOLWDU\
HIIHFWLYHQHVVZLOOEHQHXWUDOLVHG7KHHOHPHQWVRIFRPPDQGDQGFRQWURODUHDZDUHQHVVGHFLVLRQ
PDNLQJDQGFRPPXQLFDWLRQDQ\RIWKHVHFDQEHDWWDFNHGSK\VLFDOO\RUE\RWKHUPHDQV7KLVLV
RIIHQVLYHFRPPDQGDQGFRQWUROZDUIDUHGHIHQVLYHFRPPDQGDQGFRQWUROZDUIDUHLQYROYHVWKH
SURWHFWLRQRIIULHQGO\V\VWHPV9LUWXDOO\DQ\PLOLWDU\FDSDELOLW\PD\EHXVHGLQFRPPDQGDQG
FRQWURO ZDUIDUH FHQWUDO DFWLYLWLHV DUH SK\VLFDO GHVWUXFWLRQ HOHFWURQLF ZDUIDUH RSHUDWLRQV
VHFXULW\SV\FKRORJLFDORSHUDWLRQVDQGPLOLWDU\GHFHSWLRQ7KHNH\SRLQWLVWKDWWREHHIIHFWLYH
WKHLUXVHPXVWEHLQWHJUDWHG DQGGHFRQIOLFWHG IURPRWKHU DFWLYLWLHV7KHRSHQLQJSKDVHRIWKH
*XOI :DU DLU FDPSDLJQ LQFOXGHG D JRRG H[DPSOH RI VXFFHVVIXO FRPPDQG DQG FRQWURO ZDUIDUH
7KH&RDOLWLRQODXQFKHGFRQFHQWUDWHGDQGFRRUGLQDWHGDWWDFNVDJDLQVW,UDTLFRPPDQGIDFLOLWLHV
SRZHUJHQHUDWLRQWHOHFRPPXQLFDWLRQVVHQVRUVFRPPDQGLQIRUPDWLRQV\VWHPVDQGGDWDIXVLRQ
FHQWUHVDQGDFKLHYHGLWVREMHFWLYHRIQHXWUDOLVLQJWKH,UDTLQDWLRQDOOHDGHUVKLS
VDELOLW\WRGLUHFW
PLOLWDU\RSHUDWLRQV


‰ 6HTXHQWLDO DQG &XPXODWLYH &DPSDLJQV  2YHUDOO VWUDWHJ\ IRU D SDUWLFXODU RSHUDWLRQ PD\
FRQVLVW RI D VHW RI VXERUGLQDWH FDPSDLJQV ZKLFK PD\ EH HLWKHU VHTXHQWLDO RU FXPXODWLYH
&DPSDLJQV ZKLFK DUH PDGH XS RI D VHULHV RI GLVFUHWH SKDVHV HDFK D QDWXUDO SURJUHVVLRQ DQG
WKHUHIRUHGHSHQGHQWRQWKHRQHSUHFHGLQJLWDUHWHUPHGVHTXHQWLDO$FXPXODWLYHFDPSDLJQLV
RQHLQZKLFKWKHHQWLUHSDWWHUQRIWKHFDPSDLJQLVPDGHXSIURPDFROOHFWLRQRIOHVVHUDFWLRQV
XVXDOO\ LQGHSHQGHQW RI HDFK RWKHU RIIHULQJ VHSDUDWH RXWFRPHV ZKLFK WRJHWKHU DPRXQW WR WKH
FDPSDLJQ RXWFRPH IRU H[DPSOH D VXEPDULQH RIIHQVLYH DJDLQVW VKLSSLQJ  7KXV LW LV PRUH
GLIILFXOWWRSUHGLFWWKHWLPLQJRIVXFFHVVLQDFXPXODWLYHFDPSDLJQ

Means
‰ ,QEURDGWHUPVVXFFHVVLQPRGHUQZDUIDUHDJDLQVWDZHOOHTXLSSHGHQHP\UHTXLUHVVXSHULRU
LQWHOOLJHQFH D TXLFNHU GHFLVLRQPDNLQJ F\FOH IOH[LEOH DQG DJLOH IRUFHV LQFOXGLQJ V\VWHPV WKDW
FDQDSSO\ILUHSRZHUSUHFLVHO\DWORQJUDQJHDQGVXVWDLQDELOLW\3DUWLFXODUDVSHFWVDUHGLVFXVVHG
EHORZ

‰ ,QIRUPDWLRQ DQG ,QWHOOLJHQFH  $FFXUDWH UHOLDEOH LQIRUPDWLRQ LQFOXGLQJ XSWRGDWH


LQWHOOLJHQFH LV YLWDO WR VXSSRUW DOO GHIHQFH DFWLYLWLHV DW HDFK OHYHO  7KH NH\ UROH SOD\HG E\
8/75$LQWHOOLJHQFHLQWKH6HFRQG:RUOG:DUDQGWKHGHFLVLYHLQIRUPDWLRQDGYDQWDJHDFKLHYHG

The ULTRA intelligence produced by breaking the German Enigma codes


was crucial to Allied success during the Second World War. Seen here,
General Heinz Guderian and his Enigma operators, France, June 1940.


E\WKH&RDOLWLRQRYHU,UDTLQWKH*XOI:DUVKRZHGWKHHQGXULQJLPSRUWDQFHRILQIRUPDWLRQDQG
LQWHOOLJHQFHWRYLFWRU\7KHLPSRUWDQFHRIERWKLQIRUPDWLRQZDUIDUHDQGFRPPDQGDQGFRQWURO
ZDUIDUH KDV DOUHDG\ EHHQ HPSKDVLVHG  7KH REMHFWLYH VKRXOG EH WR DFKLHYH LQIRUPDWLRQ
GRPLQDQFH RYHU WKH RSSRQHQW  7KDW LV WR KDYH YLUWXDOO\ XQUHVWULFWHG DFFHVV WR UHOLDEOH
LQIRUPDWLRQRQDOODVSHFWVRIWKHFRQIOLFWZKLOHGHQ\LQJWKHVDPHWRWKHHQHP\,WLVFOHDUWKDW
LQPRGHUQZDUIDUHWKHVLGHZKLFKLVDEOHWRDFKLHYHWKLVZLOOKDYHDGHFLVLYHDGYDQWDJH7KHUH
LV KRZHYHU D VHULRXV ULVN RI FRPPDQGHUV EHLQJ RYHUORDGHG ZLWK LQIRUPDWLRQ  ,W LV YLWDO WR
GHVLJQLQIRUPDWLRQV\VWHPVDQGSURFHGXUHVZKLFKFDQILOWHUWKHYDVWDUUD\RILQIRUPDWLRQIURP
DQ LQFUHDVLQJ YDULHW\ RI VRXUFHV WR HQVXUH WKDW FRPPDQGHUV DW HDFK OHYHO UHFHLYH RQO\ ZKDW LV
UHOHYDQW  7LPHO\ VWUDWHJLF LQWHOOLJHQFH LV FUXFLDO WR HIIHFWLYH FULVLV PDQDJHPHQW DQG WKH
PDQRHXYULVW DSSURDFK UHOLHV RQ VRXQG VWUDWHJLF DQG RSHUDWLRQDO LQWHOOLJHQFH  5RXWLQH
LQWHOOLJHQFH VXUYHLOODQFH PXVW WKHUHIRUH EH FDSDEOH RI GHWHFWLQJ JHRVWUDWHJLF GHYHORSPHQWV
JLYLQJ VXIILFLHQW ZDUQLQJ RI SRWHQWLDO FULVHV DQG SURYLGLQJ DSSURSULDWH LQIRUPDWLRQ IRU
FRQWLQJHQF\SODQQLQJ7KHDUHDVRISRWHQWLDOGHIHQFHLQWHUHVWPXVWEHFOHDUO\VWDWHGVRWKDWDQ
HIIHFWLYH LQGLFDWRUV DQG ZDUQLQJV PHFKDQLVP FDQ EH IRFXVHG ZLWK LQWHOOLJHQFH FROOHFWLRQ DQG
DQDO\VLVHIIRUWGLUHFWHGWRZDUGVLPSRUWDQWLQGLFDWRUVWRIDFLOLWDWHDGHTXDWHZDUQLQJWR:KLWHKDOO
VWDIIV RI HPHUJLQJ FULVHV  7R EH HIIHFWLYH LQWHOOLJHQFH IURP DOO VRXUFHV QHHGV WR EH EURXJKW
WRJHWKHUDQGDVVHVVHGDWDQDWLRQDOOHYHODQGLQWHOOLJHQFHVWDIIPXVWEHIXOO\LQWHJUDWHGLQWRWKH
FULVLV PDQDJHPHQW RUJDQLVDWLRQ  'XULQJ FULVLV DQG FRQIOLFW WKH LQWHOOLJHQFH HIIRUW PXVW EH
FRQFHQWUDWHG RQ WKH HQHP\
V LQWHQWLRQV FDSDELOLWLHV DQG LQWHOOLJHQFH JDSV ZLWK WKH REMHFW RI
GHWHUPLQLQJFHQWUHVRIJUDYLW\DQGFULWLFDOYXOQHUDELOLWLHV7KLVPD\UHTXLUHUDSLGUHGLUHFWLRQRI
HIIRUWDQGWKHLQWHOOLJHQFHPDFKLQHU\PXVWEHUHVSRQVLYH+RZHYHUWKHUHZLOODOZD\VUHPDLQD
FHUWDLQ LUUHGXFLEOH IRJ RI ZDU GXH WR XQSUHGLFWDEOH HQHP\ DFWLRQV LQWHOOLJHQFH OLPLWDWLRQV DQG
WKHVKHHUFKDQFHDVVRFLDWHGZLWKPRGHUQIDVWPRYLQJFRQIOLFW&ODXVHZLW]EHOLHYHGWKDWWKHDUW
RIWKHJUHDWFRPPDQGHUZDVWRNQRZZKHQWRWUXVWKLVLQVWLQFWVDQGWDNHEROGGHFLVLYHDFWLRQ
UDWKHUWKDQZDLWLQJIRUSHUIHFWLQIRUPDWLRQZKLFKZRXOGSUREDEO\FRPHWRRODWH

In many situations, servicemen will operate


alongside allied forces as part of a joint
force. Seen here, sailors of NATO's
Standing Naval Force Atlantic.

‰ )RUFHV7KHWRROVZKLFKDFRPPDQGHUXVHVWRDFKLHYHKLVPLOLWDU\REMHFWLYHVDUHWKHXQLWV
DQG IRUPDWLRQV SURYLGHG E\ WKH DUPHG IRUFHV  +H PXVW EH DVVLJQHG DGHTXDWH IRUFHV IRU KLV
PLVVLRQZKLFKDUHSURSHUO\HTXLSSHGDQGWUDLQHGIRUWKHLUUROHVDQGZKLFKFDQEHVXVWDLQHGIRU
WKHOLNHO\GXUDWLRQRIWKHRSHUDWLRQ)RUFHVIURPDOOWKUHH6HUYLFHVDUHOLNHO\WREHLQYROYHGLQ
PRVWRSHUDWLRQVZRUNLQJWRJHWKHULQDFRKHVLYHMRLQWIRUFH,QPDQ\VLWXDWLRQVWKH\ZLOORSHUDWH
DORQJVLGHDOOLHGIRUFHVDVSDUWRIDFRPELQHGIRUFH/DUJHVFDOHUHKHDUVDOVPD\EH UHTXLUHGWR
SUHSDUHIRUFHVIRUFRPSOH[RSHUDWLRQV6LQFHVSHHGRIUHDFWLRQLVRIWHQYLWDOWRUHVROYHDFULVLV
TXLFNO\RUWRSUHYHQWLWIURPHVFDODWLQJFHUWDLQIRUFHVPXVWEHKHOGDWKLJKVWDWHVRIUHDGLQHVVWR


UHVSRQGWRVKRUWQRWLFHWDVNLQJ$VRSHUDWLRQVGHYHORSDQGVLWXDWLRQVFKDQJHWKHFDSDELOLWLHVRI
WKH IRUFHV GHSOR\HG QHHG WR EH FDUHIXOO\ PRQLWRUHG  ,I JDSV LQ WKHLU FDSDELOLWLHV EHFRPH
DSSDUHQWWKH\PXVWEHDGGUHVVHGDQGWKLVPD\UHTXLUHLPPHGLDWHRUVKRUWWHUPDFWLRQVXFKDV
GHSOR\LQJ UHLQIRUFHPHQWV RU UDLVLQJ XUJHQW RSHUDWLRQDO UHTXLUHPHQWV IRU UDSLG HTXLSPHQW
SURFXUHPHQWRULPSURYHPHQWV,QWKHORQJHUWHUPDFWLRQRQIRUFHEDODQFHGRFWULQHDQGWUDLQLQJ
PD\EHUHTXLUHGWRUHGUHVVZHDNQHVVHVUHYHDOHGRQRSHUDWLRQV

‰ 5XOHV RI (QJDJHPHQW  5XOHV RI HQJDJHPHQW DUH DQ LPSRUWDQW PHWKRG RI DUWLFXODWLQJ WKH
SROLWLFDODQGOHJDOFRQVWUDLQWVLPSRVHGDWWKHJUDQGVWUDWHJLFOHYHORQWKHXVHRIPLOLWDU\ IRUFH
7KH\VSHFLI\E\PHDQVRISURKLELWLRQVDQGSHUPLVVLRQVWKHGHJUHHDQGPDQQHULQZKLFKIRUFH
PD\ EH DSSOLHG DQG DUH GHVLJQHG WR HQVXUH WKDW WKH XVH RI IRUFH LV QRW DQ HQG LQ LWVHOI EXW LV
FDUHIXOO\ FRQWUROOHG VR DV WR EH FRQVLVWHQW ZLWK JUDQG VWUDWHJLF REMHFWLYHV  ,Q IUDPLQJ UXOHV RI
HQJDJHPHQWWKHUHLVDQLQHYLWDEOHFRQIOLFWEHWZHHQWKHSROLWLFDODQGOHJDOLPSHUDWLYHWRUHVWUDLQ
WKHXVHRIIRUFHDQGWKHQHHGWRSXUVXHPLOLWDU\REMHFWLYHVDVHIILFLHQWO\DVSRVVLEOH7KHUHIRUH
D PRVW LPSRUWDQW VWUDWHJLF IXQFWLRQ LV WR HQVXUH WKDW UXOHV RI HQJDJHPHQW DUH ZULWWHQ WR DOORZ
HIIHFWLYHXVHRIPLOLWDU\IRUFHDQGSURYLGHSURSHUSURWHFWLRQIRUWKHIRUFHVLQYROYHGFRQVLVWHQW
ZLWK WKH SROLWLFDO DLP DQG OLPLWDWLRQV DQG LQ DFFRUGDQFH ZLWK LQWHUQDWLRQDO DQG GRPHVWLF ODZ
5XOHV RI HQJDJHPHQW FDQ EH LQVWUXPHQWV RI ERWK HVFDODWLRQ DQG GH HVFDODWLRQ  7KH\ DUH
JHQHUDOO\ IRUPXODWHG DQG VRXJKW E\ PLOLWDU\ VWDII DW WKH RSHUDWLRQDO DQG WDFWLFDO OHYHOV DQG
DXWKRULVHGE\PLQLVWHUVRQWKHEDVLVRIVWUDWHJLFSROLWLFDOPLOLWDU\DQGOHJDODGYLFH0LOLWDU\VWDII
PXVWFRQWLQXDOO\UHYLHZWKHUXOHVLQWKHOLJKWRIFKDQJLQJSROLWLFDODQGPLOLWDU\FLUFXPVWDQFHV
)RU PXOWLQDWLRQDO RSHUDWLRQV UXOHV RI HQJDJHPHQW PXVW EH KDUPRQLVHG ZLWK DOOLHV RU FRDOLWLRQ
SDUWQHUV LQ H[FHSWLRQDO FLUFXPVWDQFHV KRZHYHU 8QLWHG .LQJGRP UXOHV RI HQJDJHPHQW PD\
GLIIHULIWKLVLVQHFHVVDU\WRUHIOHFWGRPHVWLFODZFRQVWUDLQWV

‰ 7DUJHWLQJ  3URSHUO\ GLUHFWHG GHHS DWWDFN RI NH\ WDUJHWV HYHQ WKRXJK WKH\ PD\ QRW
WKHPVHOYHVEHWKHHQHP\
VFHQWUHRIJUDYLW\FDQKDYHDQHIIHFWRQWKHRXWFRPHRIDFRQIOLFWRXW
RIDOOSURSRUWLRQWRWKHHIIRUWH[SHQGHG7KHVHOHFWLRQRIWDUJHWVIRUORQJUDQJHDWWDFNE\DLUFUDIW
DQG PLVVLOHV LV FUXFLDO  +RZHYHU GHHS DWWDFN FDQ EH SROLWLFDOO\ VHQVLWLYH DQG LW PXVW EH LQ
DFFRUGDQFHZLWKLQWHUQDWLRQDOODZXVLQJSURSRUWLRQDWHIRUFHDQGPLQLPLVLQJFLYLOLDQFDVXDOWLHV
7KHUHIRUHWDUJHWLQJLVDFRPSOH[SURFHVVZKLFKUHOLHVRQYHU\DFFXUDWHDQGXSWRGDWH

Logistic
considerations are
often the deciding
factor in planning
an operation,
particularly one
involving a long-
range deployment,
as was the case
with the sea
deployment to Al-
Jubail at the start of
the Gulf War. Seen
here, a Landing
Ship Logistic enters
port.


JSP 398 describes the policy and application of UK national rules of engagement.


LQWHOOLJHQFH DQG WKH XVH RI DFFXUDWH HIIHFWLYH ZHDSRQV  $ UREXVW EDWWOH GDPDJH DVVHVVPHQW
RUJDQLVDWLRQVXSSRUWHGE\UDSLGDQGDFFXUDWHSRVWDWWDFNUHFRQQDLVVDQFHLVHVVHQWLDOWRSURYLGH
FUHGLEOH DQG FRPSUHKHQVLYH DQDO\VLV WR GHWHUPLQH WKH HIIHFWLYHQHVV RI DWWDFNV DQG ZKHWKHU UH
DWWDFNLVQHFHVVDU\%HFDXVHRIWKHLULPSRUWDQFHFRPSOH[LW\DQGSROLWLFDOVHQVLWLYLW\WDUJHWLQJ
SROLF\DQGGLUHFWLRQDUHUHWDLQHGDWWKHVWUDWHJLFOHYHOZKHUHWKHQHFHVVDU\VSDQRILQIRUPDWLRQ
DQG GHFLVLRQ PDNLQJ PDFKLQHU\ LV DYDLODEOH  2SHUDWLRQDO DQG WDFWLFDO OHYHO WDUJHWLQJ PXVW
DFFRUGZLWKWKLVGLUHFWLRQ

‰ /RJLVWLFV/RJLVWLFFRQVLGHUDWLRQVDUHRIWHQWKHGHFLGLQJIDFWRULQGHWHUPLQLQJWKHIHDVLELOLW\
RI RSHUDWLRQV SDUWLFXODUO\ WKRVH ZKLFK LQYROYH WKH ORQJUDQJH GHSOR\PHQW RI IRUFHV RU ZKLFK
QHHGWREHVXVWDLQHGIRUDORQJSHULRG$WWKHVWUDWHJLFOHYHOWKHSULRULW\WDVNLVWRKDUQHVVWKH
QDWLRQ
V HFRQRPLF DQG LQGXVWULDO UHVRXUFHV DQG WUDQVODWH WKHP LQWR PLOLWDU\ XWLOLW\  6XFK
UHVRXUFHVDUHLQKHUHQWO\VORZWRUHDFWDQGFDQQRWEHH[SHFWHGWRJHQHUDWHPLOLWDULO\XVHIXORXWSXW
ZLWKLQ RSHUDWLRQDO WLPH IUDPHV  ,W IROORZV WKDW WKHUH LV D QHHG IRU LQGXVWU\ FRQVWDQWO\ WR EH
HQJDJHG LQ WKH GHIHQFH SODQQLQJ SURFHVV LI LW LV WR SOD\ D WLPHO\ UROH LQ WKH UHFRQVWLWXWLRQ
UHJHQHUDWLRQDQGVXEVHTXHQWUHFXSHUDWLRQRIIRUFHV(TXDOO\WKHUHLVDQHHGIRUWLPHO\SROLWLFDO
DQG PLOLWDU\ GHFLVLRQV WR DSSO\ WKH QDWLRQ
V LQGXVWULDO FDSDFLW\ LI EHVW XVH LV WR EH PDGH RI
DYDLODEOH ZDUQLQJ WLPH  7KH DLP LV WR SURYLGH WKH RSHUDWLRQDO FRPPDQGHU ZLWK VXIILFLHQW
ORJLVWLF DQG VXVWDLQDELOLW\ UHVRXUFHV WR HQDEOH KLP WR GHSOR\ DQG HPSOR\ KLV FRPEDW SRZHU
IOH[LEO\DQGWRPDLQWDLQWKHQHFHVVDU\WHPSRRIRSHUDWLRQV)RUH[DPSOHLIIXHORUZHDSRQVDUH
LQ VKRUW VXSSO\ DQ RIIHQVLYH PD\ IDLO EHFDXVH LW UHDFKHV LWV
FXOPLQDWLQJ SRLQW HDUOLHU WKDQ SODQQHG  +RZHYHU WKHUH LV D
GDQJHU LQ WU\LQJ WR PDNH RSHUDWLRQV FRPSOHWHO\ IUHH RI ORJLVWLF
ULVN2YHULQVXUDQFHLQORJLVWLFV ZLOOUHTXLUHDORQJHUEXLOGXSWR
DQ RSHUDWLRQ DQG WKHUHE\ OLPLW D FRPPDQGHU
V IUHHGRP RI DFWLRQ
MXVW DV VXUHO\ DV XQGHUSURYLVLRQ  6WUDWHJLF SODQQLQJ PXVW VWULNH
WKH FRUUHFW EDODQFH EHWZHHQ RSHUDWLRQDO DQG ORJLVWLF ULVN DQG D
FRPPDQGHU PXVW KDYH D GHJUHH RI FRQWURO RYHU ORJLVWLFV ZKLFK
PDWFKHVKLVOHYHORIUHVSRQVLELOLW\IRUWKHRSHUDWLRQ

Public support for ‰ 0HGLD 2SHUDWLRQV  3XEOLF VXSSRUW IRU DQ\ PLOLWDU\ RSHUDWLRQ PXVW EH
any military URRWHGLQDQDFFXUDWHXQGHUVWDQGLQJRIHYHQWVDQGWKHLUEDFNJURXQG5HSRUWV
operation must be
rooted in an RI HYHQWV FDQ EH EURDGFDVW YLUWXDOO\ DV WKH\ KDSSHQ  WKHUHIRUH WKH PHGLD
accurate RSHUDWLRQV PD[LP LV WR UHOHDVH DV PXFK DFFXUDWH LQIRUPDWLRQ DV SRVVLEOH DV
understanding of
events and their TXLFNO\ DV SRVVLEOH VXEMHFW RQO\ WR RSHUDWLRQDO VHFXULW\ DQG WKH VDIHW\ RI
background. The %ULWLVK DQG DOOLHG OLYHV  7KLV UHTXLUHV FORVH FRRSHUDWLRQ ZLWK WKH PHGLD DW
Divisional
Commander KRPHDQGLQWKHDWUH0RUHRYHUWKHUHDG\DFFHVVRISHUVRQQHORQRSHUDWLRQV
briefs the press in WR H[WHQVLYH PHGLD FRYHUDJH RI WKH FRQIOLFW RU FULVLV PHDQV WKDW LW LV PRUH
Bosnia.
LPSRUWDQWWKDQHYHUWRHQVXUHWKDWRZQIRUFHVDUHSURSHUO\LQIRUPHGRIHYHQWV
0HGLD RSHUDWLRQV DOVR QHHG WR SHUVXDGH WKLUG SDUWLHV WKDW WKH DFWLRQ EHLQJ
WDNHQLVULJKWDQGMXVWLILDEOHDQGWRFRXQWHUPDOLFLRXVRULOOLQIRUPHGUHSRUWLQJ
LQWKHWKHDWUHRIRSHUDWLRQV


Chapter 5

UNITED KINGDOM SECURITY AND DEFENCE

The Security Context


‰ 7KH 8QLWHG .LQJGRP
V VHFXULW\ JRDOV DQG WKH ZD\V LQ ZKLFK LW VHHNV WR DFKLHYH WKHP DUH
ODUJHO\ VKDSHG E\ HQGXULQJ JHRVWUDWHJLF IDFWRUV DQG DUH PRGLILHG DV QHFHVVDU\ E\ FXUUHQW
FLUFXPVWDQFHV

‰ 7KH 8QLWHG .LQJGRP


V 3ODFH LQ WKH :RUOG  7KH 8QLWHG .LQJGRP LV D PHGLXP VL]HG
GHYHORSHGGHPRFUDWLFQDWLRQZLWKDQDGYDQFHGWUDGLQJHFRQRP\7KHFRXQWU\
VSRVLWLRQRQWKH
ZHVWHUQ H[WUHPLW\ RI (XURSH SURYLGHV UHODWLYHO\ VHFXUH JHRJUDSK\ DQG  OLQNV %ULWLVK VHFXULW\
ILUPO\ WR WKDW RI  (XURSH  +LVWRU\ FXOWXUH DQG WUDGH KDYH IRUJHG VWURQJ ERQGV ZLWK 1RUWK
$PHULFD7KHVHKDYHDOVRJLYHQWKHFRXQWU\LQWHUHVWVDQGUHVSRQVLELOLWLHVURXQGWKHZRUOGQRW
OHDVWWKHVHFXULW\RI'HSHQGHQW7HUULWRULHV VKRZQRQWKHPDS)LJXUH DQGRI%ULWLVKQDWLRQDOV
DEURDGDQGFRPPLWPHQWVWR&RPPRQZHDOWKFRXQWULHV7KHUHLVDODUJHH[SDWULDWHSRSXODWLRQ
ZLWKVLJQLILFDQWQXPEHUVRI%ULWLVKQDWLRQDOVOLYLQJLQDUHDVRISRWHQWLDOSROLWLFDOLQVWDELOLW\VXFK
DV$IULFDDQGWKH0LGGOH(DVW0RUHRYHUWKHQDWLRQ
VZHOOEHLQJGHSHQGVRQLQWHUQDWLRQDOWUDGH
DQGLQYHVWPHQWPRUHWKDQPRVWRWKHUGHYHORSHGHFRQRPLHV7KH8QLWHG.LQJGRPH[SRUWVRQH
TXDUWHURILWVSURGXFHPRUHWKDQ*HUPDQ\RU )UDQFH DQGD JUHDWHU SURSRUWLRQ WKDQ WKH 8QLWHG
6WDWHV RI $PHULFD RU -DSDQ  ,W LV RQH RI WKH ZRUOG
V ODUJHVW RXWZDUG LQYHVWRUV DQG VRXUFHV RI
FDSLWDO WR WKH GHYHORSLQJ ZRUOG  7KH FRXQWU\ LV UHOLDQW RQ WKH VXSSO\ RI UDZ PDWHULDOV IURP
RYHUVHDVRQWKHVHFXUHWUDQVSRUWRIJRRGVE\VHDDQGE\DLUDQGRQDSHDFHIXODQGVWDEOHZRUOG
VLWXDWLRQ FRQGXFLYH WR WUDGH  7RJHWKHU WKHVH UHVSRQVLELOLWLHV DQG LQWHUHVWV FDXVH WKH 8QLWHG
.LQJGRPWRYLHZLWVVHFXULW\LQDJOREDOSHUVSHFWLYH7KLVLVUHIOHFWHGLQWKHFRXQWU\
VVWDWXVDVD
SHUPDQHQW PHPEHU RI  WKH 8QLWHG 1DWLRQV
 6HFXULW\ &RXQFLO ZKLFK FDUULHV SDUWLFXODU
UHVSRQVLELOLWLHVDQGLQYROYHPHQWLQDZLGHUDQJHRILQWHUQDWLRQDOERGLHVVXFKDVWKH*URXSRI
6HYHQPRVWSRZHUIXOHFRQRPLHVWKH(XURSHDQ8QLRQ1$72DQGWKH&RPPRQZHDOWK

‰ 7KH3RVW&ROG:DU:RUOG 

x 7KH GLVLQWHJUDWLRQ RI WKH 6RYLHW 8QLRQ KDV JUHDWO\ UHGXFHG WKH OLNHOLKRRG RI WKH
8QLWHG .LQJGRP EHFRPLQJ LQYROYHG LQ D ZDU RI QDWLRQDO VXUYLYDO LQ WKH VKRUW RU
PHGLXP WHUP  1HYHUWKHOHVV WKH UHHPHUJHQFH RI D PDMRU H[WHUQDO WKUHDW WR WKH
FRXQWU\ FDQQRW EH GLVFRXQWHG DQG LW UHPDLQV WKH PRVW GDQJHURXV ULVN WR QDWLRQDO
VHFXULW\ DOWKRXJK FRQVLGHUDEOH ZDUQLQJ RI VXFK D VLWXDWLRQ GHYHORSLQJ LV H[SHFWHG
+RZHYHU  WKH  HQG RI WKH &ROG :DU KDV UHOD[HG FRQVWUDLQWV RQ RWKHU ULVNV WR
LQWHUQDWLRQDOVHFXULW\VXFKDVZLGHVSUHDGHWKQLFULYDOU\DQGFRQIOLFW:RUOGDIIDLUV
QRZDSSHDUWREHPRUHYRODWLOHDQGOHVVSUHGLFWDEOHWKDQGXULQJWKH&ROG:DU7KH
SRVVLELOLW\UHPDLQVRIUHJLRQDORURWKHUOLPLWHGZDUVDIIHFWLQJWKH8QLWHG.LQJGRP
V
LQWHUHVWVHLWKHUGLUHFWO\RULQGLUHFWO\ZLWKWKHULVNRIHVFDODWLRQLIQRWFRQVWUDLQHGE\
SRVLWLYHDFWLRQ

x ,QWHUQDWLRQDO HIIRUWV WR EDQ FKHPLFDO DQG ELRORJLFDO ZHDSRQV DQG WR FRXQWHU WKH
SUROLIHUDWLRQ RI QXFOHDU ZHDSRQV DQG PLVVLOH WHFKQRORJ\ KDYH KDG D PHDVXUH RI
VXFFHVV EXW PDQ\ QDWLRQV DURXQG WKH ZRUOG DUH DUPHG ZLWK KLJKO\ GHVWUXFWLYH
PLOLWDU\ HTXLSPHQW  7KLV LQFOXGHV VRPH KLJK WHFKQRORJ\ ZHDSRQU\ ORQJ UDQJH
ZHDSRQVVXFKDVWDFWLFDOEDOOLVWLFPLVVLOHVDQGZHDSRQVRIPDVVGHVWUXFWLRQ VRPH


The United Kingdom's Dependent Territories
Cyprus Sovereign Base Area

Bermuda Gibraltar

Hong Kong (until June 1997)

Anguilla
Cayman Islands
Montserrat
Turks & Caicos
British Virgin
Islands
Ascension Island

St Helena
British Indian Ocean Territory

Pitcairn Islands
Tristan da Cunha

Falkland Islands

South Georgia and


South Sandwich Island

British Antarctic Territory


Figure 2
RIZKLFKPD\EH UHODWLYHO\ ORZWHFKQRORJ\ 0XFKRIWKLVZHDSRQU\LVLQXQVWDEOH
UHJLRQVRIWKHZRUOGZKHUHWKHUHDUHPDQ\XQUHVROYHGLVVXHVDQGSRWHQWLDOFDXVHVRI
FRQIOLFWEHWZHHQVWDWHVDQGSHRSOHV7KXVIXWXUHUHJLRQDOFRQIOLFWFRXOGLQYROYHWKH
IXOO UDQJH RI ZHDSRQ WHFKQRORJLHV  7KLV KDV SODFHG D SUHPLXP RQ LQWHUQDWLRQDO
HIIRUWVWRSUHYHQWSUROLIHUDWLRQDQGWRDYHUWRUUHVROYHFRQIOLFW

x 0RGHUQ VRFLHW\ LV YXOQHUDEOH WR DFWV E\ WHUURULVWV ZKR KDYH DFFHVV WR VXEVWDQWLDO
GHVWUXFWLYH FDSDELOLW\  7HUURULVP ZKHWKHU VSRQVRUHG E\ VWDWHV RU LOOHJDO
RUJDQLVDWLRQVLVDVLJQLILFDQWWKUHDWWRWKH8QLWHG.LQJGRP
VVHFXULW\

x )DPLQHQDWXUDOGLVDVWHUVPLJUDWLRQRUJDQLVHGFULPHDQGGUXJVFDQDOOSRVHWKUHDWV
HLWKHUGLUHFWO\WRQDWLRQDOVHFXULW\RUWRLQWHUQDWLRQDOVWDELOLW\

United Kingdom Security


‰ 7KHDLPRI8QLWHG.LQJGRPVHFXULW\LVWR PDLQWDLQ WKH IUHHGRP DQG WHUULWRULDO LQWHJULW\ RI
WKH1DWLRQDQGLWV'HSHQGHQW7HUULWRULHVDQGWKHIUHHGRPWRSXUVXHOHJLWLPDWHLQWHUHVWVDWKRPH
DQG DEURDG ZLWKLQ D SHDFHIXO DQG VWDEOH ZRUOG  $FKLHYHPHQW RI WKLV LQYROYHV LQ WKH ILUVW
LQVWDQFH DVVLVWLQJ WKH FLYLO DXWKRULWLHV WR PDLQWDLQ WKH UXOH RI ODZ ZLWKLQ WKH 8QLWHG .LQJGRP
DQG'HSHQGHQW7HUULWRULHV,WLQFOXGHVPHDVXUHVWRUHGXFHWKHULVNRIH[WHUQDODJJUHVVLRQDJDLQVW
RXU WHUULWRU\ RU YLWDO QDWLRQDO LQWHUHVWV DQG WR SURPRWH DQ LQWHUQDWLRQDO IUDPHZRUN WKDW IDYRXUV
IUHHGRP DQGRSHQWUDGLQJ UHODWLRQVKLSV ,QVRPHFLUFXPVWDQFHVGHWHUUHQFHRU GHIHQFH DJDLQVW
DJJUHVVLRQ ZLOO EH UHTXLUHG WR HQVXUH QDWLRQDO VHFXULW\  6HFXULW\ SROLF\ LV LQVHSDUDEOH IURP
ZLGHUIRUHLJQDQGHFRQRPLFSROLF\

‰ 7KHSXUVXLWRIVHFXULW\UHTXLUHVWKHFRRUGLQDWHGXVHRIWKHZLGHUDQJHRIPHDQVGLVFXVVHGLQ
&KDSWHULQFOXGLQJPLOLWDU\PHDQV,WLVVKDSHGE\WZRPDMRUFRQVLGHUDWLRQV)LUVWJLYHQWKH
UDQJH RI WKH 8QLWHG .LQJGRP
V LQWHUHVWV DQG FRPPLWPHQWV DQG WKH PDQ\ ULVNV WR QDWLRQDO
VHFXULW\ZKLFKRULJLQDWHIURPRYHUVHDVWKHFRXQWU\KDVWRSOD\DVLJQLILFDQWUROHLQZRUOGDIIDLUV
6HFRQGERWKQDWLRQDOVHFXULW\DQGWKHZHOOEHLQJRIWKHLQWHUQDWLRQDOWUDGLQJV\VWHPRQZKLFK
WKH %ULWLVK HFRQRP\ GHSHQGV UHTXLUH LQWHUQDWLRQDO DGKHUHQFH WR WKH UXOH RI ODZ  7KH VWULFW
REVHUYDQFHRILQWHUQDWLRQDOODZLQFOXGLQJWKHODZVRIDUPHGFRQIOLFWLVDIXQGDPHQWDOHOHPHQW
RI8QLWHG.LQJGRPVHFXULW\SROLF\

United Kingdom Defence


‰ 'HIHQFHSROLF\VXSSRUWVVHFXULW\SROLF\$WWKHKLJKHVWOHYHOLWLVHPERGLHGLQWKHDLPDQG
VXSSRUWLQJ REMHFWLYHV GHILQHG E\ 0LQLVWHUV DQG VHW RXW LQ WKH 0LQLVWU\ RI 'HIHQFH
V
'HSDUWPHQWDO 3ODQ DQG WKH 6WDWHPHQW RQ WKH 'HIHQFH (VWLPDWHV  'HIHQFH SROLF\ VHWV WKH
REMHFWLYHVRIVWUDWHJ\VKDSHVWKH VWUXFWXUH DQG FDSDELOLWLHV RI WKH DUPHG IRUFHV DQG JXLGHV WKH
FRQWULEXWLRQWKH\PDNHWRDFKLHYLQJVHFXULW\LQWHUPVRIERWKSURWHFWLRQDQGSURPRWLRQ

x 3URWHFWLRQ  $Q HIIHFWLYH PLOLWDU\ FDSDELOLW\ LV HVVHQWLDO WR GHWHU RU GHIHQG DJDLQVW
DJJUHVVLRQ ZKLFK WKUHDWHQV WHUULWRU\ RU YLWDO LQWHUHVWV  7KH FRXQWU\ PXVW UHWDLQ WKH
FDSDELOLW\ IRU LQGHSHQGHQW DFWLRQ WR PHHW LQHVFDSDEOH QDWLRQDO REOLJDWLRQV DW KRPH
DQG DEURDG  +RZHYHU LQ DQ LQFUHDVLQJO\ LQWHUGHSHQGHQW ZRUOG PDQ\ %ULWLVK
LQWHUHVWV DUH VKDUHG ZLWK RWKHU FRXQWULHV LQ (XURSH WKH $WODQWLF DUHD DQG IXUWKHU
DILHOG  7KHUHIRUH VXFFHVVLYH JRYHUQPHQWV VLQFH WKH 6HFRQG :RUOG :DU KDYH
FRQFOXGHG WKDW QDWLRQDO VHFXULW\ FDQ EHVW EH JXDUDQWHHG WKURXJK FROOHFWLYH GHIHQFH
0HPEHUVKLSRI1$72KDVEHHQWKHPDLQH[SUHVVLRQRIWKLVDQG1$72UHPDLQVWKH


OLQFKSLQ RI (XURSHDQ GHIHQFH  ,Q SDUWLFXODU LW HQDEOHV WKH 8QLWHG .LQJGRP DQG
HDFKRIWKH$OOLHV WRSURYLGHHIIHFWLYHGHIHQFHDWORZHUFRVWWKDQZRXOGRWKHUZLVHEH
SRVVLEOH&ROOHFWLYHVHFXULW\DQGGHIHQFHDUHGLVFXVVHGLQ$QQH[&

NATO remains
the linchpin of
European
defence. Here,
an Allied fleet
takes part in a
combined
exercise

x 3URPRWLRQ  $ FUHGLEOH PLOLWDU\ FDSDELOLW\ LV LPSRUWDQW IRU WKH SURPRWLRQ RI ZLGHU
QDWLRQDOLQWHUHVWVWRFRQIHULQIOXHQFHDQGWRXQGHUSLQGLSORPDF\7KHYDULRXVZD\V
LQZKLFKWKHDUPHGIRUFHVFRQWULEXWHWRSURPRWLQJQDWLRQDOLQWHUHVWVDUHGHVFULEHGLQ
&KDSWHU,QDGGLWLRQVLWXDWLRQVPD\DULVHZKLFKGRQRWGLUHFWO\WKUHDWHQWKH8QLWHG
.LQJGRP
V WHUULWRU\ RU YLWDO LQWHUHVWV EXW ZKLFK MXVWLI\ WKH XVH RI PLOLWDU\ IRUFH WR
GHDOZLWKDQXQVWDEOHVLWXDWLRQZKLFKWKUHDWHQVLQWHUQDWLRQDOSHDFHDQGVHFXULW\DQG
LQGLUHFWO\ %ULWLVK LQWHUHVWV  ,W LV PRVW OLNHO\ WKDW WKHVH RSHUDWLRQV ZRXOG LQYROYH
DFWLRQ E\ D FRDOLWLRQ RI VHYHUDO OLNHPLQGHG QDWLRQV XQGHU WKH DHJLV RI WKH 8QLWHG
1DWLRQV RU SRVVLEO\ D UHJLRQDO RUJDQLVDWLRQ $OWKRXJK WKH 8QLWHG .LQJGRP KDV D
VLJQLILFDQW GHJUHH RI FKRLFH LQ WKH QDWXUH VL]H DQG GXUDWLRQ RI LWV QDWLRQDO
FRQWULEXWLRQ WR WKLV W\SH RI RSHUDWLRQ LQWHUQDWLRQDO GHYHORSPHQWV KDYH UHVXOWHG LQ
%ULWLVK)RUFHVEHLQJGHSOR\HGRQDPXFKEURDGHUUDQJHRIWDVNVVLQFHWKHHQGRIWKH
&ROG:DU

International
developments since
the end of the Cold
War have resulted
in British Forces
being deployed on
a much broader
range of tasks -
such as the UN
deployment in
Angola in 1995.

‰ 3ULQFLSOHV IRU WKH 8VH RI 0LOLWDU\ )RUFH  7KHUH DUH WKUHH NH\ SULQFLSOHV IRU WKH XVH RI
PLOLWDU\IRUFHE\WKH8QLWHG.LQJGRP

x $ GHFLVLRQ WR XVH IRUFH PXVW EH EDVHG RQ QHFHVVLW\ DQG OHJLWLPDF\ DQG KDYH FOHDU
REMHFWLYHV


x 7KH XVH RI IRUFH PXVW EH XQGHU GHPRFUDWLF FRQWURO DW DOO WLPHV  7KLV FRQWURO LV
SURYLGHGE\WKHHOHFWHG*RYHUQPHQWDQVZHUDEOHWR3DUOLDPHQW

x $QRUJDQLVHGVWUXFWXUHLVUHTXLUHGWRSURGXFHDQGDSSO\IRUFH

‰ 7KH 'HIHQFH 6WUXFWXUH  'HIHQFH LQ WKH 8QLWHG .LQJGRP LV EDVHG RQ WKH FRPSRQHQWV
GHVFULEHG LQ &KDSWHU   7KH PDMRU FRPSRQHQW WKH PLOLWDU\  FRPSULVHV WKUHH DUPHG VHUYLFHV
HDFKUHVSRQVLEOHIRUSURYLGLQJDGLVWLQFWLYHFRQWULEXWLRQWRRYHUDOOPLOLWDU\FDSDELOLW\+RZHYHU
WKH XVH RI PLOLWDU\ IRUFH PXVW EH GLUHFWHG FHQWUDOO\ WR HQVXUH VWUDWHJLF FRKHVLRQ ZLWK SROLWLFDO
GLSORPDWLF DQG HFRQRPLF LQLWLDWLYHV  0RUHRYHU WKH QDWXUH RI PRGHUQ FRQIOLFW PHDQV WKDW LQ
PRVWFLUFXPVWDQFHVWKH6HUYLFHVDUHPRVWHIIHFWLYHZKHQRSHUDWLQJMRLQWO\,QHVVHQFHPLOLWDU\
IRUFHQHHGVWREHGLUHFWHGFHQWUDOO\DWWKHVWUDWHJLFOHYHODQGDSSOLHGMRLQWO\ DQGLIQHFHVVDU\LQ
FRPELQDWLRQZLWKDOOLHGIRUFHV DWWKHRSHUDWLRQDOOHYHO7KLVLVLPSOHPHQWHGDVIROORZV

x 7KH &HQWUDO 6WDII RI WKH 0LQLVWU\ RI 'HIHQFH +HDGTXDUWHUV GHYHORSV VWUDWHJ\ DQG
SURSRVDOVIRUWKHVL]HDQGVKDSHRIWKHIRUFHV LQFOXGLQJWKHVSHFLILFDWLRQRIPLOLWDU\
HTXLSPHQW  WR PHHW WKH UHTXLUHPHQWV RI GHIHQFH SROLF\ ZLWKLQ WKH UHVRXUFHV
DOORFDWHG

x 7KHVLQJOH6HUYLFHVDUHIXQGHGWRSURYLGHDPLOLWDU\FDSDELOLW\UHDG\IRURSHUDWLRQV
ZKLFKLVDSSURSULDWHO\PDQQHGHTXLSSHGWUDLQHGH[HUFLVHGDQGVXSSRUWHG

x 7KH'HIHQFH&ULVLV0DQDJHPHQW2UJDQLVDWLRQH[LVWVWRSURYLGHKLJKOHYHODGYLFHRQ
WKHSROLWLFDODQGPLOLWDU\DVSHFWVRIRSHUDWLRQVDQGFULVHV

x $MRLQWFRPPDQGDQGFRQWUROVWUXFWXUHFHQWUHGRQD3HUPDQHQW-RLQW+HDGTXDUWHUV
EXWVXSSRUWHGE\WKH6HUYLFHV
&RPPDQGRUJDQLVDWLRQSODQVDQGH[HFXWHVMRLQWDQG
FRPELQHGRSHUDWLRQV

x 7KH VLQJOH6HUYLFH &KLHIV RI 6WDII KDYH GHOHJDWHG UHVSRQVLELOLW\ LQ SHDFHWLPH IRU
FHUWDLQ RSHUDWLRQV DQG VLQJOH6HUYLFH FRPPDQGHUV PD\ EH GLUHFWHG E\ WKH &KLHI RI
WKH'HIHQFH6WDIIWRSODQDQGH[HFXWHSDUWLFXODURSHUDWLRQV

&KDSWHU  GLVFXVVHV WKH QDWXUH RI %ULWLVK 0LOLWDU\ &DSDELOLW\ DQG WKH ZD\ LQ ZKLFK LW LV
HPSOR\HGZKLOH&KDSWHUGLVFXVVHV&ULVLV0DQDJHPHQW

‰ 7KH 3ODFH RI WKH $UPHG )RUFHV LQ WKH )DEULF RI WKH 1DWLRQ  $SDUW IURP WKHLU SULPDU\
UROHV LQ VXSSRUW RI VHFXULW\ DQG GHIHQFH SROLF\ WKH DUPHG IRUFHV SURYLGH DQ LPSRUWDQW DQG
GLVWLQFWLYH VWUDQG LQ WKH IDEULF RI WKH 1DWLRQ  7KH\ SURPRWH WKH LGHDOV RI LQWHJULW\ GLVFLSOLQH
SURIHVVLRQDOLVP VHUYLFH DQG H[FHOOHQFH  7KLV WRJHWKHU ZLWK WKHLU LPSRUWDQW UROH LQ SURYLGLQJ
WUDLQLQJDQGH[SHULHQFHFRQWULEXWHVWRQDWLRQDOVWDELOLW\DQGFRKHVLRQ7KH\DOVRHPERG\PXFK
WUDGLWLRQZKLFKKHOSVWRSURPRWHDVHQVHRIUHJLRQDODQGQDWLRQDOLGHQWLW\7KHH[FHOOHQFHRI
WKH%ULWLVK)RUFHVLVSURPRWHGIRUWKHEHQHILWRIWKHQDWLRQDWODUJH$OWKRXJKPLOLWDU\VHUYLFH
PDNHVDGGLWLRQDOGHPDQGVRQ6HUYLFHSHUVRQQHOLWLVLPSRUWDQWWKDWWKHDUPHGIRUFHVVKRXOGQRW
EHFRPHDOLHQLQVWLWXWLRQVZLWKPDUNHGO\GLIIHUHQWYDOXHVDQGJRDOVIURPWKHUHVWRIVRFLHW\7KH
VWDUWLQJSRLQWPXVWWKHUHIRUHEHWKDWWKHDUPHGIRUFH
VYDOXHVPXVWEHWKRVHRIVRFLHW\DQGWKDW
WKH\ RQO\ VHW WKHLU RZQ YDOXHV ZKHUH LW LV QHFHVVDU\ WR GR VR E\ YLUWXH RI WKHLU IXQFWLRQ  7KH
IXQFWLRQWKDWGLVWLQJXLVKHVWKHDUPHGIRUFHVIURPRWKHURUJDQLVDWLRQVDQGIURPVRFLHW\DWODUJH
LVLWVOHJDOULJKWWRXVHH[WUHPHIRUFHDQGLWVQHHGLQWHUDOLDIRUDQDSSURSULDWHPLOLWDU\HWKRVLQ


RUGHU WR SUHVHUYH PLOLWDU\ HIIHFWLYHQHVV  0RUHRYHU WKHUH LV D QHHG IRU WKH DUPHG IRUFHV WR
UHPDLQEURDGO\LQVWHSZLWKVRFLHW\DVLWHYROYHVDQGWKHYROXQWHHUUHVHUYHVKDYHDYDOXDEOHUROH
WR SOD\ LQ DGGLWLRQ WR WKHLU SULPDU\ SXUSRVH RI UHLQIRUFHPHQW LQ PDLQWDLQLQJ WKH FRQQHFWLRQ
EHWZHHQWKHDUPHGIRUFHVDQGWKHSRSXODWLRQ7KHFDGHWRUJDQLVDWLRQVDOVRKHOSWRUHLQIRUFHWKLV
OLQN7KLVLVSDUWLFXODUO\LPSRUWDQWZKHQWKHDUPHGIRUFHVDUHDSURIHVVLRQDORUJDQLVDWLRQZLWK
QRFRQVFULSWLRQWRJLYHH[SHULHQFHRI6HUYLFHOLIHWRDEURDGUDQJHRISHRSOH

The Higher Management of Defence


‰ &RQVWLWXWLRQDO$XWKRULW\ 7KH FRPPDQG RI WKH DUPHG IRUFHV UHVWV ZLWK WKH &URZQ  7KH
DXWKRULW\ RI WKH &URZQ LV UHSUHVHQWHG E\ WKH *RYHUQPHQW RI WKH GD\ DQG LQ PHFKDQLVPV
HVWDEOLVKHGE\ODZDQGWKH5R\DO3UHURJDWLYH$UDQJHRISRZHUVLVYHVWHGE\VWDWXWHDQG/HWWHUV
3DWHQW LQ WKH 'HIHQFH &RXQFLO XQGHU WKH FKDLUPDQVKLS RI WKH 6HFUHWDU\ RI 6WDWH IRU 'HIHQFH
7KLV LV WKH IRUPDO OHJDO EDVLV IRU WKH FRQGXFW RI GHIHQFH LQ WKH 8QLWHG .LQJGRP  8QGHU WKH
&RXQFLOWKHUHLVD%RDUGIRUHDFK6HUYLFHZKLFKH[HUFLVHVDZLGHUDQJHRIIRUPDODQGVWDWXWRU\
SRZHUVUHODWLQJWRWKHDGPLQLVWUDWLRQRIWKH6HUYLFHDQGLWVSHUVRQQHO

‰ 3ROLWLFDO&RQWURO  )RUHLJQ DQG VHFXULW\ SROLF\ DUH GHWHUPLQHG FROOHFWLYHO\ E\ WKH &DELQHW
DQG LWV 0LQLVWHULDO &RPPLWWHHV  7KH 3ULPH 0LQLVWHU FKDLUV D VWDQGLQJ &DELQHW &RPPLWWHH RQ
RYHUVHDVDQGGHIHQFHSROLF\ZKLFKGHDOVZLWKPRVWGHIHQFHEXVLQHVV6RPHGHIHQFHEXVLQHVV
LV GHDOW ZLWK LQ RWKHU &DELQHW &RPPLWWHHV IRU H[DPSOH PLOLWDU\ VXSSRUW WR WKH FLYLO SRZHU LQ
1RUWKHUQ ,UHODQG LV KDQGOHG LQ WKH 1RUWKHUQ ,UHODQG &RPPLWWHH  :LWKLQ WKH &DELQHW WKH
6HFUHWDU\RI6WDWHIRU'HIHQFHLVUHVSRQVLEOHIRUIRUPXODWLQJDQGLPSOHPHQWLQJGHIHQFHSROLF\
+H DQG WKH 'HIHQFH 0LQLVWHUV ZKR VXSSRUW KLP  DUH DFFRXQWDEOH WR 3DUOLDPHQW RQ DOO GHIHQFH
PDWWHUVRQDGD\WRGD\EDVLV3DUOLDPHQWYRWHVIXQGVIRUGHIHQFHSXUSRVHVDQGWKH0LQLVWU\RI
'HIHQFH LV DFFRXQWDEOH WR 3DUOLDPHQW IRU WKH H[SHQGLWXUH RI WKRVH IXQGV  3DUOLDPHQW RYHUVHHV
WKH *RYHUQPHQW
V KDQGOLQJ RI GHIHQFH WKURXJK GHEDWHV LQ ERWK +RXVHV SULQFLSDOO\ WKH DQQXDO
GHEDWH RQ WKH 6WDWHPHQW RI 'HIHQFH (VWLPDWHV ZKLFK OD\V RXW GHIHQFH SROLF\ DQG UHSRUWV RQ
DFWLYLW\ LQ GHWDLO  7KHUH DUH DOVR GHEDWHV RQ WKH VLQJOH 6HUYLFHV  3DUOLDPHQW H[SHFWV WR EH
LQIRUPHGRIPDMRUGHFLVLRQVRUHYHQWVZLWKLPSRUWDQWLPSOLFDWLRQVIRUGHIHQFHDQGLWGHDOVZLWK
OHJLVODWLRQVXFKDVWKH$UPHG)RUFHV$FWZKLFKHYHU\ILYH\HDUVUHQHZVWKHLQGLYLGXDO6HUYLFH
'LVFLSOLQH $FWV DQG SURYLGHV WKH VWDWXWRU\ IUDPHZRUN ZLWKLQ ZKLFK WKH DUPHG IRUFHV DUH
FRQVWLWXWHGDQGIXQFWLRQ,QDGGLWLRQ3DUOLDPHQWDU\6HOHFW&RPPLWWHHVLQFOXGLQJWKH+RXVHRI
&RPPRQV'HIHQFH&RPPLWWHHKDYHSRZHUVWRFDOOIRUGRFXPHQWVDQGWRTXHVWLRQ0LQLVWHUVDQG
RIILFLDOV,QGLYLGXDO0HPEHUVRI3DUOLDPHQWWDEOHRUDORUZULWWHQTXHVWLRQVWR0LQLVWHUVRQDOO
DVSHFWV RI GHIHQFH EXVLQHVV 7KH 3XEOLF $FFRXQWV &RPPLWWHH DQG WKH 1DWLRQDO $XGLW 2IILFH
VFUXWLQLVHGHSDUWPHQWDO DFFRXQWV WR HQVXUH WKDW SXEOLF PRQH\ LV VSHQW SURSHUO\ HIILFLHQWO\ DQG
IRUWKHSXUSRVHVVSHFLILHGE\3DUOLDPHQW

‰ 3ULQFLSDO$GYLVHUV7KH6HFUHWDU\RI6WDWHKDVWZRPDLQDGYLVHUVUHIOHFWLQJWKHGXDOLW\RI
WKHFLYLODQGPLOLWDU\DVSHFWVRIGHIHQFHLQWKH8QLWHG.LQJGRP7KH&KLHIRIWKH'HIHQFH6WDII
LV WKH SULQFLSDO PLOLWDU\ DGYLVHU WR WKH *RYHUQPHQW DQG WKH SURIHVVLRQDO KHDG RI WKH $UPHG
6HUYLFHV7KHFKDLQRIFRPPDQGIRUWKHSODQQLQJDQGFRQGXFWRIPLOLWDU\RSHUDWLRQVIORZVIURP
WKH&DELQHWDQGWKH6HFUHWDU\RI6WDWHIRU 'HIHQFHWRWKH&KLHIRIWKH'HIHQFH6WDII DQGIURP
KLPWR&RPPDQGHUVLQ&KLHIRUWKH&KLHIRI-RLQW2SHUDWLRQVRURWKHURSHUDWLRQDOFRPPDQGHUV


The Defence Council comprises the Secretary of State for Defence, Ministers of State for the Armed Forces and for Defence
Procurement, the Parliamentary Under Secretary of State, the Chief of Defence Staff, the Permanent Under Secretary of State,
Chiefs of the Naval, General and Air Staffs, the Vice Chief of the Defence Staff, the Second Permanent Under Secretary, the Chief
of Defence Procurement and the Chief Scientific Adviser.


7KH 3HUPDQHQW 8QGHU6HFUHWDU\ LV WKH SHUPDQHQW +HDG RI WKH 'HSDUWPHQW DQG 3ULQFLSDO
$FFRXQWLQJ 2IILFHU  +H KDV WKH SULPDU\ UHVSRQVLELOLW\ IRU  SROLF\ PDWWHUV LQFOXGLQJ WKH
SURYLVLRQ RI DGYLFH WR 0LQLVWHUV  DQG WKH PDQDJHPHQW RI WKH GHSDUWPHQW LQFOXGLQJ ILQDQFLDO
PDWWHUV  $V 3ULQFLSDO $FFRXQWLQJ 2IILFHU KH LV SHUVRQDOO\ DFFRXQWDEOH WR 3DUOLDPHQW IRU WKH
H[SHQGLWXUHRISXEOLFPRQH\

‰ 7KH&KLHIVRI 6WDII  7KH &KLHIV RI 6WDII DUH WKH SURIHVVLRQDO KHDGV RI WKHLU 6HUYLFHV DQG
PHPEHUVRIWKH&KLHIVRI6WDII&RPPLWWHH(DFKLVUHVSRQVLEOHIRUWKHILJKWLQJ HIIHFWLYHQHVV
PRUDOH DQG PDQDJHPHQW RI KLV 6HUYLFH DQG KHQFH IRU HQVXULQJ WKDW LW FDQ GHOLYHU WKH PLOLWDU\
FDSDELOLW\ZKLFK'HIHQFHSROLF\UHTXLUHV7KH&KLHIVRI6WDIIQRUPDOO\UHSRUWDQGWHQGHUDGYLFH
WR WKH 6HFUHWDU\ RI 6WDWH WKURXJK WKH &KLHI RI WKH 'HIHQFH 6WDII ZKLOH UHWDLQLQJ WKH ULJKW RI
GLUHFW DFFHVV WR ERWK WKH 6HFUHWDU\ RI 6WDWH DQG WKH 3ULPH 0LQLVWHU  7KH &KLHIV RI 6WDII
&RPPLWWHH LV FKDLUHG E\ WKH &KLHI RI WKH 'HIHQFH 6WDII DQG LQFOXGHV WKH 9LFH &KLHI RI WKH
'HIHQFH 6WDII ZLWK WKH 3HUPDQHQW 8QGHU 6HFUHWDU\ LQ DWWHQGDQFH  2WKHU VHQLRU RIILFHUV
RIILFLDOVDQGFRPPDQGHUVPD\DWWHQGDVUHTXLUHG

The Chiefs of Staff Committee in 1996.

‰ 0LQLVWU\RI'HIHQFH+HDGTXDUWHUV7KH0LQLVWU\RI'HIHQFH+HDGTXDUWHUVLQWHJUDWHVWKH
SROLWLFDO DQG PLOLWDU\ DVSHFWV RI GHIHQFH DQG FRRUGLQDWHV WKH FRQWULEXWLRQ RI WKH WKUHH VLQJOH
6HUYLFHV  ,W SOD\V D GXDO UROH DV D GHSDUWPHQW RI VWDWH DQG D PLOLWDU\ KHDGTXDUWHUV  $V D
GHSDUWPHQW RI VWDWH LW IRUPXODWHV GHIHQFH SROLF\ SDUWLFLSDWHV LQ ZLGHU SROLF\PDNLQJ LQ
*RYHUQPHQW VXSSRUWV 0LQLVWHUV LQ WKHLU DFFRXQWDELOLW\ WR 3DUOLDPHQW DQG GLUHFWV WKH
LPSOHPHQWDWLRQ RI SROLF\  3ROLF\ LV LPSOHPHQWHG WKURXJK WKH FRPPDQG DQG PDQDJHPHQW
VWUXFWXUH E\ D VHULHV RI PDQDJHPHQW SODQV LQ ZKLFK H[HFXWLYH UHVSRQVLELOLWLHV FRQWURO RI
UHVRXUFHV DQG FOHDUO\ GHILQHG REMHFWLYHV DUH GHOHJDWHG IURP WKH FHQWUH WR FRPPDQGHUV DQG
PDQDJHUV7KH0LQLVWU\RI'HIHQFH+HDGTXDUWHUVDOVRLQFRUSRUDWHVWKHIXQFWLRQRIWKHKLJKHVW
OHYHO PLOLWDU\ KHDGTXDUWHUV SURYLGLQJ PLOLWDU\ DGYLFH WR WKH *RYHUQPHQW DQG JLYLQJ VWUDWHJLF
GLUHFWLRQ WR &RPPDQGV  :LWKLQ WKH 0LQLVWU\ RIILFLDOV ERWK FLYLOLDQ DQG PLOLWDU\  DGYLVH DQG
LPSOHPHQWDQG0LQLVWHUVGHFLGHGLUHFWDQGRYHUVHH'HIHQFH&RXQFLOPHPEHUVPHHWUHJXODUO\
WRSURYLGHDFRUSRUDWHIRUXPWRGLUHFWWKHGHSDUWPHQWDQGWRHQJDJHFORVHO\DQGDWDQHDUO\VWDJH
LQPDMRUGHSDUWPHQWDOEXVLQHVV

x 7KH &HQWUDO 6WDII ZKLFK FRPSULVHV FLYLOLDQV DQG PLOLWDU\ RIILFHUV IURP DOO WKUHH
6HUYLFHVLVWKHSROLF\FRUHRIWKH0LQLVWU\,WLVKHDGHGMRLQWO\E\WKH9LFH&KLHIRI
WKH'HIHQFH6WDIIDQGWKH6HFRQG3HUPDQHQW8QGHU6HFUHWDU\ ,WLVUHVSRQVLEOHIRU
WKH WKUHH IXQGDPHQWDO DVSHFWV RI GHIHQFH SODQQLQJ WKH UHTXLUHPHQW IRU PLOLWDU\
FDSDELOLW\DQGLWVUROHVWKHW\SHRIFDSDELOLW\ LQFOXGLQJHTXLSPHQW QHHGHGWRPHHW
QDWLRQDODLPVDQGWKHDYDLODELOLW\RIUHVRXUFHVDQGWKHLUDOORFDWLRQ7KH&HQWUDO


The Ministry of Defence
Headquarters in Whitehall plays
a dual role as both a department
of state and a military
headquarters.

6WDIIDVDFRPSRQHQWRIWKH'HIHQFH&ULVLV0DQDJHPHQW2UJDQLVDWLRQ WRJHWKHUZLWKWKH
'HIHQFH,QWHOOLJHQFH6WDIIDQGWKH3HUPDQHQW-RLQW+HDGTXDUWHUV LVDOVRLQYROYHGLQWKH
VWUDWHJLF GLUHFWLRQ RI RSHUDWLRQV  )LQDOO\ LW LV UHVSRQVLEOH IRU IRUPXODWLQJ PDQDJHPHQW
SROLF\ DSSOLFDEOH WR DOO WKUHH 6HUYLFHV VXFK DV SD\ DQG IRU SURYLGLQJ YDULRXV NLQGV RI
'HIHQFHZLGHVXSSRUWVXFKDVLQIRUPDWLRQDQGFRPPXQLFDWLRQVHUYLFHV

x 7KH VLQJOH6HUYLFH VWDIIV VXSSRUW WKH LQGLYLGXDO &KLHIV RI 6WDII LQ GLVFKDUJLQJ WKHLU
UHVSRQVLELOLWLHV IRU WKH PDQDJHPHQW RI WKHLU 6HUYLFH IRU WKH SURYLVLRQ RI IRUFHV IRU
RSHUDWLRQVDQGIRUWKHH[HFXWLRQRIGHOHJDWHGRSHUDWLRQV7KH6HUYLFH&KLHIVKDYHD
ULJKWWRGUDZRQWKH&HQWUDO6WDIIDQGGRVRRQDGDLO\EDVLV

x 7KH &HQWUDO 6FLHQWLILF 6WDII LV UHVSRQVLEOH IRU SURYLGLQJ VFLHQWLILF DQG WHFKQLFDO
DGYLFH RQ D ZLGH UDQJH RI VXEMHFWV LQFOXGLQJ DGYLFH WR LQIRUP WKH GHYHORSPHQW RI
SROLF\DQGWKHFRQVWUXFWLRQRIWKHGHIHQFHSURJUDPPHVXSSRUWWRWKHGHYHORSPHQWRI
MRLQW GRFWULQH FRQWLQJHQF\ DQG RSHUDWLRQDO SODQV VXSSRUW WR RSHUDWLRQV DQG GLUHFW
VXSSRUWWRWKHHTXLSPHQWSURJUDPPH

x 7KH 3URFXUHPHQW ([HFXWLYH LV UHVSRQVLEOH IRU WKH GHYHORSPHQW DQG DFTXLVLWLRQ RI
PDMRU ZHDSRQ V\VWHPV DQG WKHLU VWRUHV  ,Q DGGLWLRQ WKH VLQJOH6HUYLFH ORJLVWLF
FRPPDQGVDOVRSURFXUHDZLGHUDQJHRIVSDUHVDPPXQLWLRQDQGFRQVXPDEOHV

‰ 'HSDUWPHQWDO 3ODQQLQJ  7KH DQQXDO 'HSDUWPHQWDO 3ODQ VHWV RXW WKH DLP REMHFWLYHV
SULRULWLHVDQGSODQVRIWKH'HSDUWPHQW,WUHIOHFWVWKHOHYHORIUHVRXUFHVDJUHHGIRUGHIHQFHLQ
WKH *RYHUQPHQW
V 3XEOLF ([SHQGLWXUH 6XUYH\  7KH SODQ VHWV VWUDWHJLF  GHIHQFH REMHFWLYHV DQG
VSHFLILHVWKHIURQWOLQHVWUXFWXUHUHDGLQHVVDQGVXSSRUWUHTXLUHPHQWVRIWKHDUPHGIRUFHVIRUWKH
IXOO UDQJH RI DQWLFLSDWHG PLOLWDU\ WDVNV  ,W VSHFLILHV WKH PLOLWDU\ FDSDELOLW\ ZKLFK WKH VLQJOH
6HUYLFHV DUH UHTXLUHG WR SURYLGH  7KH 'HSDUWPHQWDO 3ODQ IRUPV WKH EDVLV IRU DOO VXERUGLQDWH
PDQDJHPHQWSODQV IRUH[DPSOHIRUHDFK6HUYLFH DQGIRUUHVRXUFHDOORFDWLRQ,WLVDJUHHGE\WKH
)LQDQFH3ODQQLQJDQG0DQDJHPHQW*URXSZKLFKFRPSULVHVWKH3HUPDQHQW8QGHU6HFUHWDU\ LQ
WKHFKDLU WKH&KLHIVRI6WDIIWKH9LFH&KLHIRIWKH'HIHQFH6WDIIWKH&KLHI6FLHQWLILF$GYLVHU
WKH &KLHI RI 'HIHQFH 3URFXUHPHQW DQG WKH 6HFRQG 3HUPDQHQW 8QGHU 6HFUHWDU\  7KH *URXS
V


CDS may take the chair for particular items of business, depending on the subject matter


UHFRPPHQGDWLRQVRQUHVRXUFHDOORFDWLRQDQGWKHSURSRVHG'HSDUWPHQWDO3ODQDUHFRQVLGHUHGE\
WKH6HFUHWDU\RI6WDWHZKRDOVRVXEVHTXHQWO\UHFHLYHVUHSRUWVRQDFKLHYHPHQWDJDLQVWWKHSODQ

The procurement
Executive is
responsible for the
acquisition of major
weapons systems,
such as the Apache
attack helicopter.
Picture courtesy of
Westland Helicopters.

‰ %XGJHWV7RS/HYHO%XGJHWVDUHKHOGE\VHQLRUFRPPDQGHUVDQGPDQDJHUVWKURXJKRXWWKH
'HSDUWPHQWLQRUGHUWRPHHWWKHFRVWVRIWKHLURUJDQLVDWLRQVDQGDKLHUDUFK\RI+LJKHU/HYHODQG
%DVLF /HYHO %XGJHWVHQVXUHV WKDW EXGJHWV DUH GHOHJDWHG DV IDU GRZQ WKH FKDLQ RI FRPPDQG DV
SRVVLEOH7KHUHTXLUHPHQWVRI WKH 'HSDUWPHQWDO 3ODQ DUH UHIOHFWHG LQ WKH IRUP RI LQFUHDVLQJO\
GHWDLOHG REMHFWLYHV WKURXJK WKH 6LQJOH 6HUYLFH 3ODQV WKH 7RS /HYHO %XGJHW 3ODQV DQG ORZHU
OHYHOSODQVGRZQWRXQLWOHYHO

A type 42
Destroyer at
speed in the
Atlantic.


Chapter 6

BRITISH MILITARY CAPABILITY

Capability

‰ 0LOLWDU\ FDSDELOLW\ LV WKH RYHUDOO SRWHQWLDO RI WKH $UPHG )RUFHV IRU FRPEDW RU RWKHU
RSHUDWLRQV ,WFDQEHH[SUHVVHG DVWKHDELOLW\WRILJKWDQGWKHWHUPRIWHQ XVHG WR GHVFULEH LW LV
)LJKWLQJ 3RZHU  )LJKWLQJ 3RZHU FRQVLVWV RI D FRQFHSWXDO FRPSRQHQW ZKLFK HQFRPSDVVHV WKH
WKRXJKW SURFHVV LQYROYHG LQ SURGXFLQJ PLOLWDU\ HIIHFWLYHQHVV  IURP ZKLFK VWHP WKH PRUDO
FRPSRQHQW WKHDELOLW\WRJHWSHRSOHWRILJKW DQGWKHSK\VLFDOFRPSRQHQW WKHPHDQVWRILJKW 
WKHVHZHUHDGGUHVVHGLQ&KDSWHU

‰ 7KLVFKDSWHUFRQVLGHUVWKHFLUFXPVWDQFHVLQZKLFK%ULWLVK)RUFHVPLJKWEHXVHGWKHW\SHVRI
PLOLWDU\ RSHUDWLRQ WKH\ PLJKW EH FDOOHG XSRQ WR SHUIRUP DQG KRZ WKHVH LQIOXHQFH WKH UHTXLUHG
QDWXUHDQGFKDUDFWHULVWLFVRIWKHIRUFHV,WGHVFULEHVWKHSURYLVLRQRIPLOLWDU\FDSDELOLW\E\WKH
VLQJOH6HUYLFHVWKHPLOLWDU\IXQFWLRQVDQGWKHSULQFLSOHVRIPDLQWDLQLQJPLOLWDU\FDSDELOLW\

Circumstances in Which British Forces Might be Used


‰ 3URWHFWLQJ WKH 6HFXULW\ RI WKH 8QLWHG .LQJGRP
7KLV LQFOXGHV WKH FDSDFLW\ WR GHWHU DQG VSDQV WKH UDQJH
IURP QDWLRQDO RSHUDWLRQV VXFK DV VXSSRUWLQJ WKH FLYLO
DXWKRULWLHVXSWRDQGLQFOXGLQJ JHQHUDO ZDU  6XSSRUWLQJ
WKH FLYLO DXWKRULWLHV FRXOG LQYROYH D UDQJH RI GHIHQFH
FDSDELOLWLHVGHSHQGLQJRQWKHQDWXUHRIWKHRSHUDWLRQ ,W
PLJKW LQYROYH OLPLWHG PDQSRZHU DVVLVWLQJ ORFDO
DXWKRULWLHV GXULQJ QDWXUDO GLVDVWHUV RU VLJQLILFDQW
UHVRXUFHV VXFK DV WKRVH ZKLFK PD\ EH UHTXLUHG WR DVVLVW
WKH FLYLO SRZHU LQ FRXQWHULQJ WHUURULVP   *HQHUDO ZDU
ZKLFK ZRXOG EH IRXJKW DORQJVLGH 1$72 DOOLHV ZRXOG
Protecting the security of the United Kingdom
and Dependent Territories. Seen here, a UHTXLUH WKH IXOO UDQJH RI ZDUILJKWLQJ FDSDELOLWLHV DQG
Sentry airborne early warning aircraft and ODUJHU IRUFHV WKDQ PLJKW EH QHHGHG LQ RWKHU
Tornado F3.
FLUFXPVWDQFHV$OWKRXJKJHQHUDOZDULVMXGJHGWREHDQ
XQOLNHO\ FRQWLQJHQF\ LQ SUHVHQW FLUFXPVWDQFHV WKH *RYHUQPHQW
V XOWLPDWH UHVSRQVLELOLW\ IRU
QDWLRQDOVXUYLYDOPHDQVWKDWWKHDUPHGIRUFHVPXVWEHFDSDEOHRIGHWHUULQJRUDIWHUGXHZDUQLQJ
DQGUHFRQVWLWXWLRQRIILJKWLQJDJHQHUDOZDU

‰ 3URWHFWLQJ WKH 6HFXULW\ RI 'HSHQGHQW 7HUULWRULHV  ,I %ULWLVK )RUFHV DUH UHTXLUHG WR
UHVSRQGWRDVHULRXV H[WHUQDOWKUHDWWR D 'HSHQGHQW 7HUULWRU\ WKH\ PXVW KDYH WKH FDSDELOLW\ WR
UHLQIRUFH UDSLGO\  7KHUH PD\ EH D QHHG WR VWDWLRQ ORFDO JDUULVRQV LQ FHUWDLQ 'HSHQGHQFLHV WR
FRQGXFW FXUUHQW RSHUDWLRQV  WR PHHW WKUHDWV RI D ORQJ WHUP QDWXUH RU WR VXSSRUW WKH FLYLO
DXWKRULWLHV  0RUHRYHU LQ UHVSRQVH WR VHULRXV WHUURULVW LQFLGHQWV  %ULWLVK )RUFHV FRQILJXUHG WR
UHVSRQG LQ VXFK FLUFXPVWDQFHV PD\ QHHG WR EH GHSOR\HG   $V ZDV WKH FDVH LQ WKH )DONODQG
,VODQGV FRQIOLFW FLUFXPVWDQFHV PD\ UHTXLUH %ULWLVK )RUFHV WR PRXQW D ODUJH VFDOH QDWLRQDO
RSHUDWLRQ WR ILJKW D OLPLWHG EXW LQWHQVH FRQIOLFW DW D FRQVLGHUDEOH GLVWDQFH IURP WKH 8QLWHG
.LQJGRP 6XFK DQ RSHUDWLRQ ZRXOG SUREDEO\ UHTXLUH WKH IXOO UDQJH RI FRQYHQWLRQDO PLOLWDU\
FDSDELOLWLHV


‰ 7UHDW\ 2EOLJDWLRQV  0HPEHUVKLS RI 1$72 DQG WKH :HVWHUQ (XURSHDQ 8QLRQ EULQJV
REOLJDWLRQV XQGHU WKH WHUPV UHVSHFWLYHO\ RI WKH :DVKLQJWRQ DQG %UXVVHOV 7UHDWLHV  WR GHSOR\
IRUFHVWRKHOSGHIHQGDQDOO\XQGHUDUPHGDWWDFNHYHQLIWKHVHFXULW\RIWKH8QLWHG.LQJGRPLV
QRWGLUHFWO\WKUHDWHQHG7KLVZRXOGDOPRVWFHUWDLQO\EHD1$72RSHUDWLRQ

‰ 3URPRWLQJ DQG 'HIHQGLQJ %ULWLVK ,QWHUHVWV :RUOGZLGH  %ULWLVK )RUFHV FDQ EH XVHG WR
SURPRWH %ULWLVK LQWHUHVWV LQ D ZLGH YDULHW\ RI ZD\V LQFOXGLQJ VXSSRUW WR GLSORPDF\ PLOLWDU\
DVVLVWDQFHKXPDQLWDULDQDQGSHDFHNHHSLQJRSHUDWLRQV WKHIXOOUDQJHRI
Promoting and defending RSHUDWLRQVLVGHVFULEHGLQWKHQH[WVHFWLRQ &LUFXPVWDQFHVPD\UHTXLUH
British interests world-
wide. Seen here, a GHIHQFH RI %ULWLVK  LQWHUHVWV  'HSHQGLQJ RQ WKH QDWXUH RI WKH LQWHUHVW
Frigate of the Royal Navy LQYROYHGDQGWKHVHULRXVQHVV RI WKH WKUHDW WKH *RYHUQPHQW LV OLNHO\ WR
in heavy seas.
KDYHIDUPRUHFKRLFHRYHUWKHQDWXUHDQGVL]HRIWKHIRUFHVLWFRPPLWVWR
VXFKDQRSHUDWLRQWKDQLWZRXOGLIWKH8QLWHG.LQJGRPRUD
'HSHQGHQW 7HUULWRU\ ZHUH XQGHU DWWDFN  ,Q YLHZ RI WKH
8QLWHG.LQJGRP
VZLGHVSUHDGLQWHUHVWVDQGGHSHQGHQFHRQ
LQWHUQDWLRQDO WUDGH LW LV OLNHO\ WKDW PDQ\ VHULRXV WKUHDWV WR
LQWHUQDWLRQDO VHFXULW\ ZRXOG DOVR UHSUHVHQW D WKUHDW WR
%ULWLVKLQWHUHVWV,QWKHVHFLUFXPVWDQFHV%ULWLVK)RUFHVPD\
WDNHSDUWLQRSHUDWLRQVDXWKRULVHGE\WKH8QLWHG1DWLRQVWR
GHIHQG RU UHVWRUH LQWHUQDWLRQDO SHDFH DQG VHFXULW\ IRU
H[DPSOHWKH*XOI:DU 7KLVLVOLNHO\WREHDVSDUWRIDQDOOLDQFHRUFRDOLWLRQ

Types of Military Operation


‰ &RPEDW$UPHGIRUFHVDUHUDLVHGVWUXFWXUHGDQGHTXLSSHGSULQFLSDOO\IRUFRPEDW&RPEDW
RSHUDWLRQV PD\ WDNH D YDULHW\ RI IRUPV WKH IROORZLQJ H[DPSOHV DUH LOOXVWUDWLYH EXW QRW
H[KDXVWLYH

x +LJKLQWHQVLW\ZDUIDUHZLWKDZHOOGHILQHGHQHP\ZKHUHWKHXVHRIPLOLWDU\IRUFHLV
OLNHO\WREHWKHSULPHPHDQVRIUHVROYLQJWKHFRQIOLFW

x $UPHG LQWHUYHQWLRQ LQ D VLWXDWLRQ VKRUW RI


ZDU LQYROYLQJ WKH HQWU\ RI FRPEDW IRUFHV LQWR WKH
WHUULWRU\ RU DUHD RI MXULVGLFWLRQ RI DQRWKHU VWDWH
ZKHUH RSSRVLWLRQ LV H[SHFWHG  7KH LQWHUYHQWLRQ
IRUFHV
 REMHFWLYHV ZLOO EH VWULFWO\ OLPLWHG IRU
H[DPSOH KRVWDJH UHVFXH  3HDFH HQIRUFHPHQW
GHVFULEHGODWHULVDIRUPRIDUPHGLQWHUYHQWLRQ

x &RXQWHU LQVXUJHQF\ RSHUDWLRQV DJDLQVW DQ


Armed forces are raised, structured and equipped
HOXVLYH IRH ZKHUH WKH XVH RI PLOLWDU\ IRUFH ZLOO EH
principally for combat. A British armoured GHVLJQHG WR FRPSOHPHQW WKH SROLWLFDO HFRQRPLF
battlegroup forms up on completion of a field training
exercise in Canada.
SV\FKRORJLFDO DQG FLYLF DFWLRQV QHHGHG WR GHIHDW DQ
DUPHGLQVXUJHQF\

x &RXQWHU WHUURULVW RSHUDWLRQV FRQGXFWHG XQGHU WKH GLUHFWLRQ RI WKH FLYLO DXWKRULW\ LQ
DFFRUGDQFHZLWKGRPHVWLFODZ


7KHGLIIHUHQWZD\VLQZKLFKPLOLWDU\IRUFHPD\EHDSSOLHGZHUHGHVFULEHGLQ&KDSWHUVWUDWHJLF
FRQVLGHUDWLRQVRQWKHXVHRIDUPHGIRUFHVLQFULVLVDQGZDUZHUHGLVFXVVHGLQ&KDSWHUDQGWKH
FRPSRQHQWV RI FRPEDW FDSDELOLW\ DUH GHVFULEHG ODWHU LQ WKLV FKDSWHU  +RZHYHU DUPHG IRUFHV
PD\ EH XVHG LQ D UDQJH RI RSHUDWLRQV RWKHU WKDQ FRPEDW  ,Q VRPH VLWXDWLRQV WKH GLYLGLQJ OLQH
EHWZHHQWKHVHRSHUDWLRQVDQGFRPEDWPD\QRWEHFOHDUDQGHDFKFRQGLWLRQPD\IORZ IURPWKH
RWKHU0RUHRYHUPDQ\ RI WKHVH UROHV GHSHQG RQ WKH DUPHG IRUFHV
 LQKHUHQW FRPEDW FDSDELOLW\
IRUHQIRUFHPHQWFRHUFLRQGHWHUUHQFHRUVHOISURWHFWLRQ2WKHUUROHVH[SORLWWKHIRUFHV
WUDQVSRUW
FDSDELOLW\ DQG VSHFLDOLVW FRPPXQLFDWLRQV HQJLQHHU ORJLVWLFV PHGLFDO RU RWKHU VNLOOV  7KHVH
UROHV ZKLFK WKH %ULWLVK )RUFHV PD\ EH UHTXLUHG WR XQGHUWDNH DUH GHVFULEHG LQ WKH IROORZLQJ
SDUDJUDSKV

‰ 'HWHUUHQFH7KHQDWXUHRIGHWHUUHQFHZDVGLVFXVVHGLQ&KDSWHU7KH8QLWHG.LQJGRP
V
QXFOHDUIRUFHVKDYHDSDUWLFXODUUROHWRSOD\LQGHWHUULQJPDMRUFRQIOLFWVXQFRQWUROOHGHVFDODWLRQ
DQGKRVWLOHDFWVZKLFKZRXOGWKUHDWHQYLWDOQDWLRQDOLQWHUHVWV&RQYHQWLRQDOIRUFHVFRQWULEXWHWR
GHWHUUHQFH E\ GHPRQVWUDWLQJ WKHLU HIIHFWLYHQHVV RQ RSHUDWLRQV DQG E\ PDLQWDLQLQJ PDQLIHVWO\
KLJK VWDQGDUGV RI PRUDOH WUDLQLQJ HTXLSPHQW DQG UHDGLQHVV  7KH SRVVHVVLRQ  RI KLJK FDOLEUH
QXFOHDU DQG FRQYHQWLRQDO IRUFHV DOVR LQ LWVHOI LQGLFDWHV D GHJUHH RI LQWHQW DV ZHOO DV HYLGHQW
FDSDELOLW\ ZKLFK ZKHQ DOOLHG WR SROLWLFDO ZLOO LQ D VSHFLILF FULVLV PD\ EH VXIILFLHQW WR GHWHU
&RXQWHU WHUURULVW IRUFHV FRQWULEXWH WR GHWHUUHQFH E\ GHPRQVWUDWLQJ WKH 8QLWHG .LQJGRP
V
FDSDELOLW\WRUHVROYHVHULRXVWHUURULVWLQFLGHQWVE\IRUFHLIDOORWKHUPHDQVKDYHIDLOHG

‰ 6XSSRUWWR'LSORPDF\0LOLWDU\IRUFHVPD\EHXVHGWRVXSSRUWGLSORPDWLFHIIRUWVGXULQJDQ
LQWHUQDWLRQDOFULVLV7KH\PD\DOVREHXVHGLQDPRUHURXWLQHZD\WRVXSSRUWZLGHUGLSORPDF\
HLWKHU QDWLRQDOO\ RU DV SDUW RI DQ LQWHUQDWLRQDO VWUDWHJ\ VXFK DV 1$72
V 3DUWQHUVKLS IRU 3HDFH
VHH$QQH[& 

x 6XSSRUWLQ&ULVLV:KHQDFULVLVGHYHORSVPLOLWDU\IRUFHVPD\EHXVHGLQLWLDOO\LQ
VXSSRUWRIGLSORPDF\WRKHOSUHVROYHWKHFULVLVRUWRSUHYHQWLWHVFDODWLQJWRFRQIOLFW
$SUHYHQWLYHGHSOR\PHQWFDQUHDVVXUHDQDOO\FRHUFHDSRWHQWLDORSSRQHQWLQIOXHQFH
DWKLUGSDUW\IRURUDJDLQVWLQYROYHPHQWRUPHUHO\ VLJQDO LQWHUHVW LQ WKH GHYHORSLQJ
VLWXDWLRQ$QH[DPSOHLVWKH8QLWHG1DWLRQV
SUHYHQWLYHGHSOR\PHQWLQWRWKH)RUPHU
<XJRVODY 5HSXEOLF RI 0DFHGRQLD WR SUHYHQW WKH VSUHDG RI FRQIOLFW LQ WKDW UHJLRQ
*RRGLQWHOOLJHQFHLVFOHDUO\YLWDOWRWKHVXFFHVVRISUHYHQWLYHGHSOR\PHQWV

x 5RXWLQH 6XSSRUW  7UDLQLQJ RYHUVHDV VWXGHQWV RQ %ULWLVK FRXUVHV DQG  GHSOR\LQJ
PLOLWDU\WUDLQLQJDQGDVVLVWDQFHWHDPVVXSSRUWORQJWHUPGLSORPDWLFREMHFWLYHVVXFK
DVWKHSURPRWLRQRIVWDELOLW\DQGWKHDYRLGDQFHRIUHJLRQDOFRQIOLFWVDQGKHOSIRVWHU
FRUGLDO UHODWLRQVKLSV  5RXWLQH GHSOR\PHQWV DQG H[HUFLVHV DGG WR WKLV HVWDEOLVK
SUHVHQFH DQG FRQWULEXWH WR QDWLRQDO FDSDELOLW\ DQG SUHSDUHGQHVV E\ LPSURYLQJ
LQWHURSHUDELOLW\ ZLWK UHJLRQDO DOOLHV  6HUYLFH DWWDFKpV DGG D SHUPDQHQW PLOLWDU\
GLPHQVLRQWRGLSORPDF\

‰ 3HDFHNHHSLQJ  3HDFHNHHSLQJ RSHUDWLRQV DUH DXWKRULVHG E\ WKH 8QLWHG 1DWLRQV RU DQ
DSSURSULDWH UHJLRQDO RUJDQLVDWLRQ VXFK DV WKH 2UJDQLVDWLRQ IRU 6HFXULW\ DQG &RRSHUDWLRQ LQ
(XURSH WKH 2UJDQLVDWLRQ RI $PHULFDQ 6WDWHV WKH 2UJDQLVDWLRQ RI $IULFDQ 8QLW\ DQG WKH
(FRQRPLF &RPPXQLW\ RI :HVW $IULFD  DQG FDUULHG RXW ZLWK WKH JHQHUDO FRQVHQW RI WKH
EHOOLJHUHQW SDUWLHV  7KH DLP RI VXFK RSHUDWLRQV LV WR VXSSRUW HIIRUWV WR DFKLHYH RU PDLQWDLQ
SHDFHLQRUGHUWRSURPRWHVHFXULW\DQGVXVWDLQOLIHLQDUHDVRISRWHQWLDORUOLPLWHGFRQIOLFW7KH\
DUHEDVHGRQWKHNH\SULQFLSOHVRIFRQVHQWOHJDOLW\LPSDUWLDOLW\DQGWKHPLQLPXPQHFHVVDU\XVH
RIIRUFHDQGUHTXLUHDVLJQLILFDQWGHJUHHRIORFDOFRRSHUDWLRQWREHVXFFHVVIXO7KH8QLWHG


Training overseas
students and deploying
military training teams
support long term
diplomacy. Seen here a
British Army officer in
Mozambique.

1DWLRQV
 PRVW VXFFHVVIXO SHDFHNHHSLQJ RSHUDWLRQV VXFK DV WKRVH LQ 0R]DPELTXH 1DPLELD (O
6DOYDGRU DQG &DPERGLD KDYH EHHQ GHSOR\PHQWV LQ VXSSRUW RI SUHYLRXVO\ DJUHHG SHDFH
VHWWOHPHQWV  3HDFHNHHSLQJ RSHUDWLRQV DUH JHQHUDOO\ PXOWLQDWLRQDO
DQG LQYROYH D QXPEHU RI FLYLO PLOLWDU\ DOOLDQFH RU FRDOLWLRQ 
JRYHUQPHQWQRQJRYHUQPHQWDODQGLQWHUQDWLRQDODJHQFLHV7DVNV
LQFOXGH REVHUYDWLRQ DQG PRQLWRULQJ VXSHUYLVLRQ RI WUXFHV DQG
FHDVHILUHVLQWHUSRVLWLRQEHWZHHQEHOOLJHUHQWIRUFHVGHPRELOLVDWLRQ
DQG GLVDUPDPHQW KXPDQLWDULDQ UHOLHI DQG LWV SURWHFWLRQ
RSHUDWLRQDO  PLQH FOHDUDQFH DQG SURMHFWV WR VXSSRUW D FLYLOLDQ
DXWKRULW\  )RUFH PD\ EH XVHG RQO\ LQ VHOI GHIHQFH EXW WKLV GRHV
QRW SUHFOXGH WKH UREXVW XVH RI IRUFH SURYLGHG LW LV OHJDO
SURSRUWLRQDWH DQG DOORZV IRU FRQVHQW WR EH PDLQWDLQHG RU UHEXLOW
DQG FRQVLGHUV WKH LPSOLFDWLRQV IRU DOO WKH FLYLO DQG PLOLWDU\
DJHQFLHV LQYROYHG LQ WKH RSHUDWLRQ  'HVLJQDWHG SHDFHNHHSLQJ
IRUFHVRSHUDWLQJZLWKFRQVHQWZLOOQRUPDOO\EHUHODWLYHO\VPDOODQG
GLVSHUVHG ZLWK RQO\ VXIILFLHQW FRPEDW SRZHU IRU VHOI GHIHQFH
2EVHUYDWLRQ DQG PRQLWRULQJ PLVVLRQV XQGHU 8QLWHG 1DWLRQV

DXVSLFHVDUHXVXDOO\XQDUPHG8QLWHG1DWLRQV
SHDFHNHHSHUVZLOO Peacekeeping operations aim to
support efforts to achieve or
QRUPDOO\ ZHDU EOXH EHUHWV DQG XVH ZKLWH SDLQWHG HTXLSPHQW maintain peace in areas of
+RZHYHU LQ VRPH RSHUDWLRQV WKH LVVXH RI FRQVHQW PD\ QRW EH DV potential or limited conflict. A
British Soldier on patrol in
FOHDULQSUDFWLFHDVLQWKHRU\PDQLIHVWFRQVHQWDWWKHVWUDWHJLFDQG Cyprus.
RSHUDWLRQDOOHYHOVPD\EHIUDJLOHRUSDWFK\DWWKHWDFWLFDOOHYHODQG
LIQRWFDUHIXOO\PDQDJHGWKH UHSHUFXVVLRQVRIUHODWLYHO\PLQRULQFLGHQWVPD\UDSLGO\ DIIHFW WKH
VWUDWHJLFVLWXDWLRQ,QWKHVHFLUFXPVWDQFHVWKHUHPD\QRWEHDQREYLRXVGLVWLQFWLRQRQWKHJURXQG
EHWZHHQSHDFHNHHSLQJRSHUDWLRQVDQGHQIRUFHPHQWRSHUDWLRQVDXWKRULVHGE\WKH8QLWHG1DWLRQV

6HFXULW\&RXQFLO RIWHQFDOOHGSHDFHHQIRUFHPHQWRSHUDWLRQV +RZHYHUWKHVHDUHIXQGDPHQWDOO\


GLIIHUHQWW\SHVRIRSHUDWLRQZKLFKKDYHGLIIHUHQWVWUDWHJLFDLPVDQGUHTXLUHGLVWLQFWDSSURDFKHV
DQG GLIIHUHQW W\SHV RI IRUFHV HYHQ WKRXJK WKH\ VKDUH PDQ\ WHFKQLTXHV  $Q\ WUDQVLWLRQ IURP
SHDFHNHHSLQJWRSHDFHHQIRUFHPHQWPXVWEHFRQVFLRXVUDWKHUWKDQLQDGYHUWHQWLWZLOOUHTXLUHD
QHZPDQGDWHIURPWKH8QLWHG1DWLRQVDQGSUREDEO\DGLIIHUHQWIRUFH

‰ 3HDFH (QIRUFHPHQW 2SHUDWLRQV  3HDFH HQIRUFHPHQW RSHUDWLRQV PXVW EH DSSURDFKHG OLNH
DQ\RWKHUPLOLWDU\RSHUDWLRQZLWKDWKRURXJKPLOLWDU\DSSUHFLDWLRQFOHDUVWUDWHJLFGLUHFWLRQDQG
DQ HIIHFWLYH FKDLQ RI FRPPDQG DEOH WR JLYH SURSHU SROLWLFDO DQG PLOLWDU\ GHOHJDWLRQ DW WKH
VWUDWHJLF RSHUDWLRQDO DQG WDFWLFDO OHYHOV  (IIHFWLYH IRUFHV PXVW EH FRPPLWWHG  (QIRUFHPHQW
RSHUDWLRQVDUHFDUULHGRXWXQGHUWKHDXWKRULW\RIWKH8QLWHG1DWLRQV
6HFXULW\&RXQFLOZKHQDOO


RWKHUHIIRUWVWRREWDLQSHDFHKDYHIDLOHGDQGWKH6HFXULW\&RXQFLOKDVGHWHUPLQHGWKHH[LVWHQFH
RIDWKUHDWWRSHDFHDEUHDFKRISHDFHRUDQDFWRIDJJUHVVLRQ7KHVHRSHUDWLRQVPD\LQYROYHWKH
XVHRIDUPHGIRUFHDQGDUHLQWHQGHGWRPDLQWDLQRUUHVWRUHSHDFHEHWZHHQEHOOLJHUHQWSDUWLHVZKR
PD\QRWDOOFRQVHQWWRLQWHUYHQWLRQ7KLVLQFOXGHVVLWXDWLRQVZKHUHWKHUHLVDVWURQJSRVVLELOLW\
RIFRQVHQWEHLQJZLWKGUDZQ(QIRUFHPHQWRSHUDWLRQVDUHFRHUFLYHXVLQJIRUFHRUWKHWKUHDWRI
IRUFHWR FUHDWHFRQGLWLRQV FRQGXFLYH WR SROLWLFDO SURJUHVV WRZDUGV UHVROXWLRQ RI WKH FRQIOLFW DV
HQIRUFHG SDFLILFDWLRQ LV XQOLNHO\ WR SURGXFH D ORQJ WHUP VROXWLRQ  )RU SROLWLFDO RU PLOLWDU\
UHDVRQV LW PD\ EH QHFHVVDU\ WR LQYROYH VHYHUDO QDWLRQV LQ WKH FRQGXFW RI D SHDFH HQIRUFHPHQW
RSHUDWLRQ6XFKPXOWLQDWLRQDORSHUDWLRQVFDQPRVWHIILFLHQWO\EHXQGHUWDNHQE\ DQHVWDEOLVKHG
PLOLWDU\ DOOLDQFH VXFK DV 1$72 ZKLFK FDQ SURYLGH WKH QHFHVVDU\ IRUFHV DQG FRPPDQG
VWUXFWXUH  3HDFH HQIRUFHPHQW WDVNV LQFOXGH SHDFH UHVWRUDWLRQ E\ LPSDUWLDO DFWLRQV FRQIOLFW
FRQWDLQPHQW E\ LQWHUSRVLWLRQ DQG IRUFLEOH VHSDUDWLRQ RI ZDUULQJ IDFWLRQV  2WKHU WDVNV DUH
HVWDEOLVKLQJRUSURWHFWLQJGHVLJQDWHGVDIHDUHDVJXDUDQWHHLQJRUGHQ\LQJPRYHPHQWDQG

A Peace
Enforcement
force requires a
combat capability.
British AS90 self
propelled guns
deploy as part of
the NATO
Implementation
Force (IFOR) in
Bosnia.

HPEDUJRRUVDQFWLRQVHQIRUFHPHQW7KHYRODWLOHJHRSROLWLFDOVLWXDWLRQDQGWKHLQFUHDVHG8QLWHG
1DWLRQV
FRPPLWPHQWWRHQIRUFHPHQWRSHUDWLRQVPHDQWKDWWKH\PD\EHPRXQWHGLQVLWXDWLRQV
DNLQWRFLYLOZDURULQVXUJHQF\7KHFRQIOLFWLVOLNHO\WREHEDVHGRQLQWUDFWDEOHUHOLJLRXVHWKQLF
RU FXOWXUDO GLIIHUHQFHV URRWHG LQ ORQJVWDQGLQJ GLVSXWHV  7KH SDUWLFLSDQWV PD\ XVH
XQFRQYHQWLRQDOWDFWLFVDQGWKHUHDUHOLNHO\WREHUDSLGYDULDWLRQVLQLQWHQVLW\5DQGRPDWURFLWLHV
DQGODUJHVFDOHKXPDQVXIIHULQJDUHSRVVLEOHFRPSRXQGHGE\LQHIIHFWLYHORFDOJRYHUQPHQWDQG
LQIUDVWUXFWXUH7KHUHTXLUHGUHVSRQVHIURPWKHLQWHUQDWLRQDOFRPPXQLW\ZLOOEHFRPSOH[$Q\
GHFLVLRQ WR FRPPLW IRUFHV WR SHDFH HQIRUFHPHQW RSHUDWLRQV ZLOO EH LQIOXHQFHG E\ PDQ\
FRQVLGHUDWLRQVZKLFKZLOODOVRGLFWDWHWKHQDWXUHRIWKHIRUFHVUHTXLUHG,VDSROLWLFDOSURFHVVLQ
SODFH"  $UH WKH SROLWLFDO PDQGDWH DQG WKH PLOLWDU\ REMHFWLYHV FOHDU DQG DFKLHYDEOH"  $UH WKHUH
DQ\FLUFXPVWDQFHVLQZKLFKWKHIRUFHVZLOOEHUHTXLUHGWRILJKWIRUH[DPSOHLQSXUVXLWRIWKHLU
REMHFWLYHVRUWRFRYHUZLWKGUDZDOLQDQRQSHUPLVVLYHHQYLURQPHQW":KDWLVWKHOLNHO\GXUDWLRQ
RIRSHUDWLRQV"$SHDFHHQIRUFHPHQWIRUFHQHHGQRWQHFHVVDULO\EHODUJHEXWLWPXVWEHSUHSDUHG
LI QHFHVVDU\ WR LPSRVH LWV ZLOO LQ DFFRUGDQFH ZLWK SUHGHWHUPLQHG UXOHV RI HQJDJHPHQW LW
WKHUHIRUH UHTXLUHV D FRPEDW FDSDELOLW\  ,WV VL]H HTXLSPHQW RUJDQLVDWLRQ DQG VXSSRUW PXVW EH
DSSURSULDWHWRWKHOHYHORIUHVLVWDQFHDQWLFLSDWHG


UN Secretary General, An Agenda for Peace, 1992


‰ 0LOLWDU\+RPH'HIHQFH0LOLWDU\+RPH'HIHQFHFRPSULVHVWKHPLOLWDU\DFWLYLWLHVUHTXLUHG
WRSUHVHUYHWKHIXQFWLRQVRI*RYHUQPHQWDQGWRSURWHFWHVVHQWLDOQDWLRQDOLQIUDVWUXFWXUHLQWLPHV
RI FULVLV DQG ZDU  ,W LV D QDWLRQDO UHVSRQVLELOLW\ EXW LQ FHUWDLQ FLUFXPVWDQFHV IRUFHV RSHUDWLQJ
XQGHU1$72FRPPDQGPD\SURYLGHDVVLVWDQFH7KHEXVLQHVVRISODQQLQJDJUDGXDWHGPLOLWDU\
UHVSRQVHWRDZLGHYDULHW\ RI FRQWLQJHQFLHVLQWKH 8QLWHG .LQJGRP LQ SHDFH FULVLV DQG ZDU LV
NQRZQ DV ,QWHJUDWHG &RQWLQJHQF\ 3ODQQLQJ  ,W FRYHUV WKH DFWLYLWLHV RI 0LOLWDU\ +RPH
'HIHQFH 0LOLWDU\ $LG WR WKH &LYLO $XWKRULWLHV DQG PLOLWDU\ VXSSRUW WR WKH PRXQWLQJ RI
RSHUDWLRQV

‰ 0LOLWDU\$LGWRWKH&LYLO$XWKRULWLHV0LOLWDU\$LGWRWKH&LYLO$XWKRULWLHVLVDSSOLFDEOHLQ
WKH 8QLWHG .LQJGRP DQG WKH 'HSHQGHQW 7HUULWRULHV  3ROLWLFDO GLUHFWLRQ RI VXFK RSHUDWLRQV LV
SURYLGHG E\ WKH DSSURSULDWH *RYHUQPHQW 0LQLVWHUV DQG SROLWLFDO FRQWURO LV H[HUFLVHG E\ WKH
DSSURSULDWH0LQLVWU\0LOLWDU\DLGFDQWDNHWKUHHIRUPV

Military Aid to the Civil Community includes helping the community in


time of natural disaster, such as flooding.

x 0LOLWDU\$LGWRWKH&LYLO&RPPXQLW\0LOLWDU\$LGWRWKH&LYLO&RPPXQLW\LVWKH
SURYLVLRQRIVHUYLFHSHUVRQQHODQGHTXLSPHQWERWKLQHPHUJHQFLHVVXFK DVQDWXUDO
GLVDVWHUVDQGLQURXWLQHVLWXDWLRQVWRDVVLVWWKHFRPPXQLW\DWODUJH([DPSOHVRIWKLV
UROHDUHVHDUFKDQGUHVFXHDQGKHOSLQJWKHFRPPXQLW\LQWLPHRIQDWXUDOGLVDVWHU HJ
IORRGLQJ 

x 0LOLWDU\$LGWRWKH&LYLO0LQLVWULHV0LOLWDU\$LGWRWKH&LYLO0LQLVWULHVLVWKHXVH
RI PLOLWDU\ IRUFHV IRU QRQ PLOLWDU\ JRYHUQPHQW WDVNV LQFOXGLQJ DVVLVWDQFH WR
PDLQWDLQ WKH HVVHQWLDOV RI OLIH LQ WKH FRPPXQLW\ RU WR XQGHUWDNH XUJHQW ZRUN RI
QDWLRQDOLPSRUWDQFH5HFHQWH[DPSOHVLQFOXGHILUHILJKWLQJDQGSURYLGLQJHPHUJHQF\
DPEXODQFHDQGSULVRQVHUYLFHVZKHQGXHWRLQGXVWULDOGLVSXWHVQRUPDODUUDQJHPHQWV
IDLO

x 0LOLWDU\ $LG WR WKH &LYLO 3RZHU  0LOLWDU\ $LG WR WKH &LYLO 3RZHU LV SURYLGHG WR
PDLQWDLQRUUHVWRUHODZDQGRUGHULQVLWXDWLRQVEH\RQGWKHFDSDFLW\RIWKHFLYLOSRZHU
WRUHVROYHDQGZKLFKLWZRXOGEHXQUHDVRQDEOHWRH[SHFWWKHFLYLOSRZHUWRGHYHORS
WKH FDSDELOLW\ WR UHVROYH  7KLV LV GRQH RQO\ DW WKH UHTXHVW DQG LQ VXSSRUW RI WKH
UHOHYDQWFLYLOSRZHUIRUH[DPSOHWKHSROLFH1RUPDOO\WKHPLOLWDU\RSHUDWHXQGHUWKH
FRQWURO RI WKH FLYLO SRZHU EXW XQGHU PLOLWDU\ FRPPDQG DQG UHPDLQ VXEMHFW WR
GRPHVWLFODZ,IH[FHSWLRQDOO\FRQWURORIDQLQFLGHQWLVSDVVHGIURPWKHFLYLOSRZHU
LWLVUHWXUQHGDVVRRQDVLVSUDFWLFDEOH([DPSOHVRIWKLVUROHDUHFRXQWHULQVXUJHQF\


H[SORVLYHRUGQDQFHGLVSRVDODVVLVWDQFHGXULQJ
FLYLO GLVWXUEDQFHV DQG DVVLVWDQFH WR +HU
0DMHVW\
V&XVWRPVDQG([FLVH6XSSRUWWRWKH
FLYLO SRZHU LQ 1RUWKHUQ ,UHODQG LV D SDUWLFXODU
H[DPSOH RI 0LOLWDU\ $LG WR WKH &LYLO 3RZHU
7KH &DELQHW 1RUWKHUQ ,UHODQG &RPPLWWHH RI
ZKLFK WKH 6HFUHWDU\ RI 6WDWH IRU 'HIHQFH LV D
PHPEHU SURYLGHV SROLWLFDO GLUHFWLRQ DQG WKH
6HFUHWDU\ RI 6WDWH IRU 1RUWKHUQ ,UHODQG
Support to the civil power in Northern Ireland
H[HUFLVHV GD\ WR GD\ SROLWLFDO FRQWURO RI
requires the military to operate under the
RSHUDWLRQV7KH*HQHUDO2IILFHU&RPPDQGLQJ
control of the civil power, remaining subject
to domestic law.
1RUWKHUQ ,UHODQG UHSRUWV GLUHFWO\ WR WKH &KLHI
RI WKH *HQHUDO 6WDII ZKR KDV GHOHJDWHG
UHVSRQVLELOLW\ IRU RSHUDWLRQV LQ 1RUWKHUQ ,UHODQG  +RZHYHU DW DOO OHYHOV ZLWKLQ WKH
3URYLQFHWKHDUPHGIRUFHVDFWLQVXSSRUWRIWKHFLYLOSROLFH

‰ 1RQFRPEDWDQW(YDFXDWLRQ2SHUDWLRQV0LOLWDU\IRUFHVPD\EHXVHGWRHYDFXDWH8QLWHG
.LQJGRP QDWLRQDOV DQG RWKHU QDWLRQDOV LI UHTXHVWHG IURP SRWHQWLDO ZDU ]RQHV RU RWKHU FULVLV
DUHDV,IWKHKRVWQDWLRQFDQJXDUDQWHHWKHVDIHW\RIWKHHYDFXHHVWKLVPD\LQYROYHWKH6HUYLFHV
PHUHO\SURYLGLQJWUDQVSRUWIRUWKHHYDFXDWLRQ+RZHYHULQRWKHUFLUFXPVWDQFHVWKH6HUYLFHV
PD\DOVRQHHGWRSURWHFWWKHHYDFXHHV7KLVW\SHRIRSHUDWLRQPD\EHXQGHUWDNHQQDWLRQDOO\RU
LQ FRQFHUW ZLWK DOOLHV  $Q H[DPSOH ZDV LQ  GXULQJ WKH FLYLO ZDU LQ $GHQ ZKHQ D 5R\DO
1DY\IRUFHHYDFXDWHGSHRSOHRIQDWLRQDOLWLHVIURPWKHEHVLHJHGWRZQPRVWO\E\VKLSV

ERDWVRYHUDQRSHQEHDFK

‰ +XPDQLWDULDQ$LG0LOLWDU\IRUFHVDUHIUHTXHQWO\XVHGWRSURYLGHKXPDQLWDULDQDLGDURXQG
WKH ZRUOG WR PLWLJDWH WKH HIIHFWV RI QDWXUDO RU PDQPDGH GLVDVWHUV VXFK DV IDPLQH IORRGV
HDUWKTXDNHV YROFDQLF HUXSWLRQV DQG FLYLO ZDUV  7\SLFDO H[DPSOHV DUH 5R\DO $LU )RUFH IRRG
GURSV GXULQJ WKH (WKLRSLDQ IDPLQH LQ  DQG WKH GHSOR\PHQW RI  ORJLVWLF WURRSV IURP WKH
%ULWLVK$UP\WR5ZDQGDLQWRKHOSWKH8QLWHG1DWLRQV
$VVLVWDQFH0LVVLRQIRU5ZDQGD

Military forces are frequently


used to provide
humanitarian aid around the
world. The RAF has
assisted with the delivery of
humanitarian aid to Ethiopia
and Somalia in recent
years.

FUHDWHDVDIHVWDEOH HQYLURQPHQW IRU WKH SRSXODWLRQ IROORZLQJ WKH VHYHUH LQWHUHWKQLF YLROHQFH
7KHUH DUH LQKHUHQW GLIILFXOWLHV LQ SURYLGLQJ KXPDQLWDULDQ DLG GXULQJ FRQIOLFW  $SDUW IURP WKH


SRVVLEOH QHHG IRU SURWHFWLRQ RI WKRVH HQJDJHG LQ KXPDQLWDULDQ WDVNV FRPSHWLQJ IDFWLRQV DUH
OLDEOH WR LQWHUSUHW KXPDQLWDULDQ RSHUDWLRQV DV DWWHPSWV WR VXSSRUW RQH VLGH RU WKH RWKHU  )RU
H[DPSOH WKH HYDFXDWLRQ RI FLYLOLDQV RU ZRXQGHG PD\ EH VHHQ DV LQVWLWXWLRQDOLVHG HWKQLF
FOHDQVLQJZKLOHVXSSO\LQJIRRGWRDVWDUYLQJHQFODYHPD\EHYLHZHGDVDQDWWHPSWWROLIWDVLHJH

‰ 0RQLWRULQJFRPSOLDQFHZLWK$UPV&RQWURO7UHDWLHV

‰ 3XEOLFDQG&HUHPRQLDO'XWLHV

The Nature of the Armed Forces Required by the United Kingdom


‰ 7KHHDUOLHUVHFWLRQVRIWKLVFKDSWHUKDYHVKRZQKRZWKHDELOLW\RI%ULWLVK)RUFHVWRXQGHUWDNH
DGLYHUVHUDQJHRIRSHUDWLRQVLQFLUFXPVWDQFHVXSWR DQGLQFOXGLQJ ZLWKGXHZDUQLQJ  JHQHUDO
ZDUFRQWULEXWHVWRWKHVHFXULW\RIWKH8QLWHG.LQJGRP,IWKH\DUHWRVXSSRUWWKHIXOOUDQJHRI
SRWHQWLDOWDVNV%ULWLVK)RUFHVVKRXOGEHDEOHWRLQWHUYHQHHIIHFWLYHO\DWVKRUWQRWLFHLQDQ\W\SH
RIFRQIOLFWVKRUWRIJHQHUDOZDU%ULWLVK)RUFHVPXVWEHFDSDEOHZKHUHDSSURSULDWHZLWKDOOLHV
RI FRQIURQWLQJ DQG GHIHDWLQJ DQ HQHP\ ZKR PD\ EH DUPHG ZLWK WKH IXOO UDQJH RI PRGHUQ
ZHDSRQU\LQFOXGLQJZHDSRQVRIPDVVGHVWUXFWLRQ

‰ %ULWLVK)RUFHVZLOODOPRVWLQYDULDEO\RSHUDWHMRLQWO\DQGRIWHQLQFRPELQDWLRQZLWKDOOLHGRU
FRDOLWLRQ IRUFHV  7KHUHIRUH WKH\ QHHG WR EH FRPPDQGHG VWUXFWXUHG HTXLSSHG DQG WUDLQHG IRU
MRLQW DQG FRPELQHG ZDUIDUH \HW UHWDLQ WKH FDSDELOLW\ DQG VWUXFWXUH WR XQGHUWDNH QDWLRQDO DQG
VLQJOH6HUYLFHRSHUDWLRQVLIQHFHVVDU\

‰ 7KH DELOLW\ WR GHIHQG WKH 8QLWHG .LQJGRP DQG LWV GHSHQGHQW WHUULWRULHV LV HVVHQWLDO  7KH
$UPHG)RUFHVVKRXOGEHFDSDEOHRIEHLQJUHJHQHUDWHGDQGLIQHFHVVDU\UHFRQVWLWXWHGWRPHHWD
PDMRU H[WHUQDO WKUHDW WR QDWLRQDO VHFXULW\ ZLWKLQ WKH ZDUQLQJ WLPH RI VXFK D WKUHDW HPHUJLQJ
5HJHQHUDWLRQ LV WKH WLPHO\ DFWLYDWLRQ LQ IXOO RU LQ SDUW RI H[LVWLQJ IRUFH VWUXFWXUHV DQG
LQIUDVWUXFWXUH LQFOXGLQJ WKH UHVWRUDWLRQ RI PDQQLQJ HTXLSPHQW DQG VWRFNV WR ZDU OHYHOV
5HFRQVWLWXWLRQ LV WKH H[SDQVLRQ RI IRUFH VWUXFWXUHV DQG LQIUDVWUXFWXUH EH\RQG H[LVWLQJ OHYHOV
LQFOXGLQJ WKH UDLVLQJ RI QHZ XQLWV DQG IRUPDWLRQV DQG WKH H[SDQVLRQ RI LQGXVWULDO FDSDFLW\ WR
VXSSRUWWKHSURFXUHPHQWRIHTXLSPHQWDQGVWRFNV

‰ 7KH GHWHUUHQFH RI DJJUHVVLRQ RU HVFDODWLRQ UHTXLUHV DOO HOHPHQWV RI %ULWLVK )RUFHV WR EH
HIIHFWLYH DQG EH VHHQ WR EH VR  1XFOHDU GHWHUUHQW IRUFHV DV WKH XOWLPDWH JXDUDQWHH RI QDWLRQDO
VHFXULW\ PXVW EH FDSDEOH RI WKUHDWHQLQJ DQG KHQFH RI GHOLYHULQJ DQ DGHTXDWH OHYHO RI IRUFH
ZLWKDKLJKGHJUHHRIFRQILGHQFH7KH\PXVWEHKLJKO\VXUYLYDEOHZLWKDVVXUHGFRPPDQGDQG
FRQWURO

‰ ,IWKH\DUHWRFRQWULEXWHWRWKHIXOOUDQJHRISRWHQWLDOFRPPLWPHQWV%ULWLVK)RUFHVUHTXLUHD
PL[RIGHIHQVLYHDQGRIIHQVLYHFDSDELOLWLHVDEOHWRILJKWRQODQGLQWKHDLUDQGRQDQGXQGHUWKH
VHDWKH\DOVRQHHGWREHDEOHWRH[SORLWDQGGHQ\WKHHOHFWURPDJQHWLFHQYLURQPHQWDQGWRPDNH
XVH RI VSDFH  7KH\ PXVW EH FDSDEOH RI RSHUDWLQJ DW ORQJ GLVWDQFHV IURP WKHLU KRPH EDVHV IRU
H[WHQGHGSHULRGV,QVKRUW%ULWLVK)RUFHVUHTXLUHDQ H[SHGLWLRQDU\FDSDELOLW\7KHDYDLODELOLW\
RI LQIRUPDWLRQ LQWHOOLJHQFH DQG FRPPDQG DQG FRQWURO V\VWHPV WR VXSSRUW H[SHGLWLRQDU\ IRUFH
DFWLYLW\ZLOOEHFHQWUDOWRWKHVXFFHVVRIIXWXUHRSHUDWLRQV

‰ 7R SURYLGH D VKRUWQRWLFH IOH[LEOH FDSDELOLW\ WR RSHUDWH DW DQ\ OHYHO RI FRQIOLFW UHTXLUHV
SURIHVVLRQDOZHOOHTXLSSHGDQGZHOOWUDLQHGDUPHGIRUFHVZKLFKDUHGHSOR\DEOHDWVKRUWQRWLFH


,ILWLVGHFLGHGWRUHO\RQUHVHUYHVWRSURYLGHSDUWRIWKLVFDSDELOLW\WKH\PXVWEHDYDLODEOHIRU
VHUYLFHDQGGHSOR\PHQWZLWKLQWKHDSSURSULDWHSHULRGRIQRWLFH

Categories of Forces
‰ 7KHFLUFXPVWDQFHVDWDQ\SDUWLFXODUWLPHGLFWDWHKRZUHDG\IRURSHUDWLRQVWKHDUPHGIRUFHV
QHHGWREH$XQLWRUIRUPDWLRQLVVDLGWREHUHDG\ZKHQLWLVPDQQHGHTXLSSHGDQGWUDLQHGIRU
WKH WDVN DQG VXSSRUWHG DSSURSULDWHO\  ,W ZRXOG EH KLJKO\ LQIOH[LEOH H[SHQVLYH DQG EDG IRU
PRUDOHWRKROGDOO%ULWLVK)RUFHVDWYHU\KLJKUHDGLQHVVLWPDNHVVHQVHWKHUHIRUHWRDGRSW D
V\VWHPRIJUDGXDWHGUHDGLQHVVIRUGLIIHUHQWXQLWV7KLVVKRXOGEHDUUDQJHGVRWKDWWKHUHTXLUHG
EDODQFHGPLOLWDU\FDSDELOLW\LVDYDLODEOHLQWKHQHFHVVDU\WLPHVFDOH,WVKRXOGEHSRVVLEOHWRYDU\
UHDGLQHVV VWDWHV HDVLO\ WR PDWFK FKDQJLQJ FLUFXPVWDQFHV  3ULQFLSDO IDFWRUV ZKLFK QHHG WR EH
WDNHQ LQWR DFFRXQW DUH WKH QDWXUH DQG LPPLQHQFH RI WKUHDWV WR VHFXULW\ WKH ZDUQLQJ WLPH
H[SHFWHG WKH QDWXUH DQG GXUDWLRQ RI DQWLFLSDWHG RSHUDWLRQV DQG WKH GHJUHH WR ZKLFK GLIIHUHQW
W\SHVRIRSHUDWLRQDUHFRQFXUUHQW

‰ &RQFHSWXDOO\ WKH RSHUDWLRQV ZKLFK %ULWLVK )RUFHV PD\ KDYH WR XQGHUWDNH IDOO LQWR WKUHH
EURDGFDWHJRULHVSHUPDQHQWWDVNVVXFKDVJDUULVRQVLQ'HSHQGHQW7HUULWRULHVPDLQWDLQLQJWKH
VRYHUHLJQW\RI8QLWHG.LQJGRPDLUVSDFHFRXQWHUWHUURULVPDQGQXFOHDUGHWHUUHQFHFRQWLQJHQW
WDVNVZKLFKPD\DULVH IURPWLPHWRWLPHRIWHQ DW VKRUW QRWLFH VXFK DV WKH HYDFXDWLRQ RI QRQ
FRPEDWDQWV SHDFHNHHSLQJ RSHUDWLRQV DQG LQYROYHPHQW LQ UHJLRQDO FRQIOLFW  DQG WDVNV LQ
FLUFXPVWDQFHV ZKLFK DUH XQOLNHO\ WR DULVH ZLWKRXW D VLJQLILFDQW ZDUQLQJ SHULRG  ,Q SUHVHQW
FLUFXPVWDQFHVJHQHUDOZDUIDOOVLQWRWKHODWWHUFDWHJRU\

‰ ,W LV SRVVLEOH WKHUHIRUH WR LGHQWLI\ WKUHH FRPSOHPHQWDU\ FDWHJRULHV RI IRUFHV SHUPDQHQWO\
FRPPLWWHG IRUFHV QDWLRQDO FRQWLQJHQF\ IRUFHV DQG IRUFHV IRU JHQHUDO ZDU ,Q SUDFWLFH
LQGLYLGXDO XQLWV ZLOO PLJUDWH DFURVV WKH FDWHJRULHV DV D UHVXOW IRU H[DPSOH RI WKH URWDWLRQ RI
JDUULVRQVWUDLQLQJDQGGHHSPDLQWHQDQFH

x 3HUPDQHQWO\&RPPLWWHG)RUFHV3HUPDQHQWO\FRPPLWWHGIRUFHVDUHGHGLFDWHGRQD
GD\WRGD\ EDVLV WR WKH SURWHFWLRQ DQG VHFXULW\ RI WKH 8QLWHG .LQJGRP DQG
'HSHQGHQW 7HUULWRULHV LQFOXGLQJ VWUDWHJLF QXFOHDU IRUFHV DQG JDUULVRQV DQG RWKHU
WDVNV

x 1DWLRQDO &RQWLQJHQF\ )RUFHV  1DWLRQDO FRQWLQJHQF\ IRUFHV SURYLGH WKH FRUH


FDSDELOLW\ WR PHHW D FKDOOHQJH WR QDWLRQDO LQWHUHVWV DQG IRU RSHUDWLRQV LQ VXSSRUW RI
LQWHUQDWLRQDO SHDFH DQG VWDELOLW\  7KH\ VKRXOG EH DEOH WR SURYLGH DQ LPPHGLDWH
UHVSRQVH WR UHJLRQDO WHQVLRQV WKDW PD\ HVFDODWH LQWR FRQIOLFW  7KHUH LV D SDUWLFXODU
QHHG IRU D SURSHUO\ FRQVWLWXWHG DQG WUDLQHG MRLQW IRUFH WR EH FDSDEOH RI ZRUOGZLGH
GHSOR\PHQWDWYHU\VKRUWQRWLFHLQVXSSRUWRIQDWLRQDOLQWHUHVWV,IDPDMRUH[WHUQDO
WKUHDW WR WKH FRXQWU\
V VHFXULW\ HPHUJHV ZKLFK UHTXLUHV WKH UHJHQHUDWLRQ RU
UHFRQVWLWXWLRQ RI ODUJHU IRUFHV QDWLRQDO FRQWLQJHQF\ IRUFHV DUH WKH IRXQGDWLRQ RQ
ZKLFK WKH H[SDQVLRQ ZRXOG EH EXLOW  7ZR SDUWLFXODU FDWHJRULHV RI QDWLRQDO
FRQWLQJHQF\IRUFHVDUHWKH-RLQW5DSLG'HSOR\PHQW)RUFHDQG6SHFLDO)RUFHV

ƒ -RLQW5DSLG'HSOR\PHQW)RUFH,QWKH-RLQW5DSLG'HSOR\PHQW)RUFHZDV
IRUPHG LQ UHVSRQVH WR WKH HYLGHQW QHHG LQ WKH SRVW &ROG :DU ZRUOG WR UHDFW
UDSLGO\DQGZLWKDQDSSURSULDWHO\VWUXFWXUHGDQGSUHSDUHGIRUFHWRXQSUHGLFWDEOH
FULVHV  $W LWV FRUH DUH XQLWV RI WKH H[LVWLQJ FRPPDQGR DQG DLUERUQH EULJDGHV
WDNLQJIXOODFFRXQWRIWKHLULQKHUHQWIOH[LELOLW\DQGUHVSRQVLYHQHVVEXWLWLVQRWD


SHUPDQHQWO\ HVWDEOLVKHG IRUFH  0DULWLPH DLU DQG ODQG XQLWV DUH DVVLJQHG DQG
KHOGDWDSSURSULDWHOHYHOVRIUHDGLQHVVWRSURYLGHDVSHFWUXPRIFDSDELOLW\ IURP
ZKLFK D IRUFH FRPSRVLWLRQ DSSURSULDWH WR WKH QHHG FDQ EH DVVHPEOHG DW XS WR
UHLQIRUFHG EULJDGH VL]H ZLWK DLU DQG PDULWLPH FRPSRQHQWV  7KH -RLQW 5DSLG
'HSOR\PHQW )RUFH LV XQGHUSLQQHG E\ MRLQW WUDLQLQJ SUDFWLVHG FRPPDQG DQG
FRQWUROSURFHGXUHVDQGWKHQHFHVVDU\OLIWWRGHSOR\LW

The Joint Rapid


Deployment force
is underpinned by
joint training.
Seen here, British
Royal Marines
and American
soldiers training
together during
Exercise Purple
Star in 1996.

ƒ 6SHFLDO )RUFHV  7KH 8QLWHG .LQJGRP PDLQWDLQV 6SHFLDO )RUFHV FDSDEOH RI


XQGHUWDNLQJ VSHFLDO RSHUDWLRQV DW WKH VWUDWHJLF RSHUDWLRQDO DQG WDFWLFDO OHYHOV
HLWKHU LQGHSHQGHQWO\ RU LQ VXSSRUW RI RWKHU IRUFHV  7KH 'LUHFWRUDWH RI 6SHFLDO
)RUFHV LV SDUW RI WKH &HQWUDO 6WDII DQG DOVR SURYLGHV D GHSOR\DEOH RSHUDWLRQDO
KHDGTXDUWHUV7KH'LUHFWRU6SHFLDO)RUFHVKDV2SHUDWLRQDO&RPPDQGRIXQLWVRI
WKH 5R\DO 1DY\
V 6SHFLDO %RDW 6HUYLFH DQG WKH $UP\
V 6SHFLDO $LU 6HUYLFH
7KHVH FRPSULVH VSHFLDOO\ VHOHFWHG DQG WUDLQHG SHUVRQQHO XVLQJ KLJK WHFKQRORJ\
HTXLSPHQW DQG VXSSRUWHG E\ SHUVRQQHO DLUFUDIW DQG YHVVHOV IURP DOO WKUHH
6HUYLFHV  7KH\ DUH PDLQWDLQHG DW KLJK UHDGLQHVV DQG DUH FDSDEOH RI GHSOR\LQJ
DQG RSHUDWLQJ ZRUOG ZLGH RQ D YDULHW\ RI WDVNV UDQJLQJ IURP SUHFLVH KLJKO\
VHQVLWLYHFRYHUWRSHUDWLRQVWRODUJHUVFDOHRYHUWGLUHFWDFWLRQ1RUPDOO\6SHFLDO
)RUFHVFRQGXFWRSHUDWLRQVLQVXSSRUWRIRWKHUIRUFHV$NH\UROHLVWRREWDLQDQG
SURYLGH HVVHQWLDO LQIRUPDWLRQ WR DVVLVW GHFLVLRQ PDNLQJ DW WKH VWUDWHJLF DQG
RSHUDWLRQDOOHYHOV2FFDVLRQDOO\ZKHQDSUHFLVHGLVFUHHW DQG VPDOO IRUFH LV DOO
WKDW LV UHTXLUHG WR DFKLHYH DQ REMHFWLYH 6SHFLDO )RUFHV PD\ EH WDVNHG LQ DQ
LQGHSHQGHQWUROHDWHLWKHUWKHVWUDWHJLFRURSHUDWLRQDOOHYHOV

x )RUFHV IRU *HQHUDO :DU  7KH 8QLWHG .LQJGRP PDLQWDLQV WKH FDSDELOLW\ WR
UHJHQHUDWHDQGUHFRQVWLWXWHWKHIRUFHVQHFHVVDU\IRUJHQHUDOZDUZLWKLQWKHZDUQLQJ
WLPHOLNHO\WREHDYDLODEOH ,WLVHVVHQWLDOWRHQVXUHWKDWWKHRWKHUWZR FDWHJRULHVRI
IRUFHVSURYLGHDQDGHTXDWHEDVHLQWHUPVRIVL]HVWUXFWXUHDQGFDSDELOLW\WRHQDEOH


UHJHQHUDWLRQDQGUHFRQVWLWXWLRQRQWKHVFDOHUHTXLUHGDQGZLWKLQWKHH[SHFWHGSHULRG
RIZDUQLQJ

Provision of Military Capability by the Single Services


‰ :KLOVW WKH KLJKHU OHYHO PDQDJHPHQW RI GHIHQFH WKH SURFXUHPHQW RI HTXLSPHQW WKH
PDQDJHPHQW RI FULVHV DQG WKH VWUDWHJLF GLUHFWLRQ RI RSHUDWLRQV DUH XQGHUWDNHQ FHQWUDOO\ WKH
DUPHG IRUFHV DUH UHFUXLWHG DQG RUJDQLVHG RQ D VLQJOH6HUYLFH EDVLV  ,W LV WKH VLQJOH 6HUYLFHV
ZKLFKSURYLGHIURQWOLQHPLOLWDU\FDSDELOLW\(DFK6HUYLFH&KLHIRI6WDIILVUHVSRQVLEOHIRUWKH
ILJKWLQJ HIIHFWLYHQHVV HIILFLHQF\ DQG PRUDOH RI KLV 6HUYLFH 7KH &KLHIV RI 6WDII DOVR KDYH
GHOHJDWHG UHVSRQVLELOLW\ LQ SHDFHWLPH IRU GLUHFWLQJ DQG VXSHUYLVLQJ VLQJOH6HUYLFH RSHUDWLRQV
FDUULHG RXW RQ D URXWLQH EDVLV DQG FHUWDLQ RWKHU RSHUDWLRQV IRU H[DPSOH PDLQWHQDQFH RI WKH
VWUDWHJLFGHWHUUHQWVXSSRUWWRWKHFLYLOSRZHULQ1RUWKHUQ,UHODQGDQGDLUGHIHQFHRIWKH8QLWHG
.LQJGRP

‰ %HQHDWKWKH&KLHIVRI6WDIIHDFK6HUYLFHKDVWKUHHFRPPDQGHUVUHVSRQVLEOHUHVSHFWLYHO\IRU
RSHUDWLRQVORJLVWLFVDQGSHUVRQQHODQGWUDLQLQJ7KH\KHDGFRPPDQGVZLWKWKHVHIXQFWLRQVDQG
DUH 7RS /HYHO %XGJHW +ROGHUV DQG PHPEHUV RI WKH DSSURSULDWH 6HUYLFH %RDUG  7KH WKUHH
RSHUDWLRQDO FRPPDQGHUV &RPPDQGHULQ &KLHI )OHHW &RPPDQGHULQ&KLHI /DQG &RPPDQG
DQGWKH$LU2IILFHU&RPPDQGLQJLQ&KLHI6WULNH&RPPDQG SURYLGHDVVLJQHGIRUFHVWR1$72
DQGDUHUHVSRQVLEOHIRUSURYLGLQJIRUFHVIRUMRLQWDQGFRPELQHGRSHUDWLRQV$QDGGLWLRQDO$UP\
&RPPDQGHU WKH *HQHUDO 2IILFHU &RPPDQGLQJ 1RUWKHUQ ,UHODQG LV UHVSRQVLEOH IRU PLOLWDU\
RSHUDWLRQV E\ DOO WKUHH 6HUYLFHV LQ WKH 3URYLQFH  ,I FLUFXPVWDQFHV ZDUUDQW WKH &KLHI RI WKH
'HIHQFH6WDIIPD\DSSRLQWDQ\RIWKHFRPPDQGHUVLQFKLHIDVWKH-RLQW&RPPDQGHUIRUQDWLRQDO
RU PXOWLQDWLRQDO MRLQW RSHUDWLRQV  7KH FRPPDQGHUVLQ FKLHI DOVR FRPPDQG QDWLRQDO VLQJOH
6HUYLFH RSHUDWLRQV DQG DOO WKH FRPPDQGHUV DFW DV VXSSRUWLQJ FRPPDQGHUV IRU DOO FODVVHV RI
RSHUDWLRQ

The Military Functions


‰ 0LOLWDU\FDSDELOLW\LVH[HUFLVHGWKURXJKIRXUEDVLFIXQFWLRQV

x *HQHUDWLRQRIIRUFHV

x 'HSOR\PHQWDQGUHFRYHU\

x 7KHSURYLVLRQRIFRPEDWFDSDELOLW\GXULQJDQRSHUDWLRQ

x 6XVWDLQPHQW

7KHVH IXQFWLRQV DUH H[HUFLVHG LQ DQ\ VFDOH RU W\SH RI RSHUDWLRQ EXW WKH UHODWLRQVKLS EHWZHHQ
WKHPZLOOYDU\WRVXLWWKHFLUFXPVWDQFHV)RUH[DPSOHLQDVLPSOHVPDOOVFDOHRSHUDWLRQWKH\
PLJKW KDYH D VWUDLJKWIRUZDUG VHTXHQWLDO UHODWLRQVKLS  *HQHUDWLRQ ZRXOG EH IROORZHG E\
GHSOR\PHQWIRUDILQLWHPLVVLRQHPEUDFLQJFRPEDWFDSDELOLW\DQGVXVWDLQPHQWFRPSOHWLQJZLWK
UHFRYHU\+RZHYHULQDPRUHFRPSOH[RSHUDWLRQRUZKHQWKHUHLVPRUHWKDQRQHVLPXOWDQHRXV
RSHUDWLRQDOODFWLYLWLHVDUHOLNHO\WREHLQSOD\DWWKHVDPHWLPH7KHUHODWLRQVKLSLVGLFWDWHGE\
VWUDWHJLFGLUHFWLRQZKLFKJLYHVVKDSHDQGSXUSRVHWRHDFKRSHUDWLRQ7KHLQGLYLGXDOIXQFWLRQV
DUHGLVFXVVHGLQWKHIROORZLQJSDUDJUDSKV


‰ )RUFH *HQHUDWLRQ  )RUFH *HQHUDWLRQ LV WKH SURFHVV RI SURYLGLQJ VXLWDEO\ WUDLQHG DQG
HTXLSSHG IRUFHV DQG WKHLU PHDQV RI GHSOR\PHQW VXVWDLQPHQW DQG UHFRYHU\ WR PHHW DOO FXUUHQW
DQGSRWHQWLDOIXWXUHWDVNVZLWKLQUHTXLUHGUHDGLQHVVDQGSUHSDUDWLRQWLPHV,WPXVWWDNHDFFRXQW
RI DQ\ UHTXLUHPHQW WR FDWHU IRU FRQFXUUHQW RSHUDWLRQV DQG WDVNV DQG WKH QHHG IRU WLPHO\
UHFXSHUDWLRQWRPHHWSRVVLEOHIXWXUHWDVNV,WDOVRHPEUDFHVWKHUHJHQHUDWLRQDQGUHFRQVWLWXWLRQ
QHFHVVDU\ WR PHHW D PDMRU FRQIOLFW VXFK DV JHQHUDO ZDU DQG WKH ORQJ WHUP GHYHORSPHQW RI
FDSDELOLW\WRPHHWFKDQJLQJFLUFXPVWDQFHV'RFWULQHDQGWUDLQLQJJLYHFRKHVLRQWRDIRUFHDQG
EULQJLWWRDVWDWHRISUHSDUHGQHVV

‰ 'HSOR\PHQWDQG5HFRYHU\2QFHJHQHUDWHGDIRUFH
PXVW EH FDSDEOH RI EHLQJ GHSOR\HG LQWR DQG VXSSRUWHG
ZLWKLQ D WKHDWUH RI RSHUDWLRQV  ,W PD\ QHHG WR EH
UHGHSOR\HG ZLWKLQ WKHDWUH RU WR DQRWKHU WKHDWUH WR PHHW
QHZ RSHUDWLRQDO REMHFWLYHV  2QFH LW KDV DFKLHYHG LWV
SXUSRVH LW PXVW EH Allied forces board an American
UHFRYHUHG WR LWV KRPH EDVH strategic transport aircraft during
the Gulf War.
WRUHFXSHUDWH

‰ &RPEDW&DSDELOLW\&RPEDWFDSDELOLW\LVWKHDELOLW\
RI D IRUFH ZKLFK KDV EHHQ JHQHUDWHG GHSOR\HG DQG VXVWDLQHG WR XQGHUWDNH LWV PLVVLRQ LQ WKH
WKHDWUHRIRSHUDWLRQV,QPRVWFLUFXPVWDQFHVWKLVZLOOEHWKHDELOLW\WRGHIHDWRUGLVUXSWHQHP\
IRUFHV7KHWHUPDOVR FRYHUVWKH FDSDELOLW\ RI WKH DUPHG IRUFHV RQ QRQEHOOLJHUHQW RSHUDWLRQV
)LUHSRZHUZKLFKLVFUXFLDOWRFRPEDWPD\QRWEHUHTXLUHGIRUQRQEHOOLJHUHQWRSHUDWLRQVDSDUW
IURP VHOI GHIHQFH RU DV DQ LQVWUXPHQW RI GHWHUUHQFH  +RZHYHU DV GHVFULEHG EHORZ DOO RWKHU
HOHPHQWVRIFRPEDWFDSDELOLW\DUHHVVHQWLDOWRDOOW\SHVRIPLOLWDU\RSHUDWLRQV7KHFRPSRQHQWV
RIFRPEDWFDSDELOLW\DUHORJLFDOO\GHULYHGIURPWKH3ULQFLSOHVRI:DU

x &RPPDQG  &RPPDQG LQ EDWWOH UHTXLUHV ILUP DGKHUHQFH WR WKH PLOLWDU\ DLP EXW
IOH[LELOLW\ RI PHWKRG  &RPPDQG LV WKH PRVW LPSRUWDQW HOHPHQW LQ HQVXULQJ WKDW
RSHUDWLRQDOFDSDELOLW\LVGLUHFWHGWRZDUGVWKHDFKLHYHPHQWRIWKHPLOLWDU\REMHFWLYH

x ,QIRUPDWLRQDQG,QWHOOLJHQFH ,QIRUPDWLRQ DQG LQWHOOLJHQFH DUH UHTXLUHG IRU HYHU\


DVSHFW RI RSHUDWLRQV  7KLV FRPSRQHQW HPEUDFHV DOO WKH NQRZOHGJH QHHGHG E\ D
FRPPDQGHU DQG KLV IRUFH LQFOXGLQJ LQWHOOLJHQFH RQ WKH HQHP\ NQRZOHGJH RI RZQ
IRUFHVDQGRWKHULQIRUPDWLRQVXFKDVZHDWKHUDQGJHRJUDSKLFGDWD$FFXUDWHWLPHO\
LQIRUPDWLRQ HQDEOHV D FRPPDQGHU WR SODQ DQG DFW IOH[LEO\ DQG WR VWULNH D EDODQFH
EHWZHHQ WKH GHPDQGV RI FRQFHQWUDWLRQ RI IRUFH HFRQRP\ RI HIIRUW DQG VHFXULW\ LW
UHGXFHVULVN

x )LUHSRZHU7KHSURSHUDSSOLFDWLRQRIILUHSRZHULVDPDMRUFRQWULEXWRUWRVXFFHVVLQ
FRPEDW  )LUHSRZHU QHHGV WR EH SUHFLVH DQG FRQWUROOHG WR DFKLHYH FRQFHQWUDWLRQ RI
IRUFHDQGHFRQRP\RIHIIRUWDQGWRDYRLGXQQHFHVVDU\FROODWHUDOGDPDJH7KHGHJUHH
RIFRQFHQWUDWLRQZLOOYDU\ZLWKWKHFLUFXPVWDQFHVDQGLVDNH\FRPPDQGGHFLVLRQ

x 0RELOLW\  0RELOLW\ SURYLGHV WKH FRPPDQGHU ZLWK WKH PHDQV RI FRQFHQWUDWLQJ
RSWLPXP IRUFH DW WKH ULJKW SODFH DQG WLPH LQ D ZD\ ZKLFK RIIHUV WKH PD[LPXP
SRVVLELOLW\WRFUHDWHDQGH[SORLWRSSRUWXQLW\

x 6HFXULW\  6HFXULW\ HPEUDFHV DOO DVSHFWV RI SURWHFWLQJ EDVHV SODWIRUPV ZHDSRQ
V\VWHPV PHQ PDWHULHO DQG LQIRUPDWLRQ  7KH DLP LV WR SUHVHUYH WKH FRPPDQGHU
V


IUHHGRPRIDFWLRQDQGPLQLPLVHWKHHIIHFWVRIHQHP\DFWLRQDEDODQFHPXVWEHVWUXFN
EHWZHHQ DEVROXWH VHFXULW\ DQG RWKHU LPSHUDWLYHV VXFK DV IOH[LELOLW\ PRELOLW\ DQG
VXUSULVH6HFXULW\LQFOXGHVGRPLQDWLQJWKHHOHFWURPDJQHWLFVSHFWUXP

x /RJLVWLFVLVWKHPHDQVE\ZKLFKDIRUFHLVPDWHULDOO\VXVWDLQHG,WLVRIWHQWKHFUXFLDO
IDFWRU LQ GHWHUPLQLQJ WKH IHDVLELOLW\ RI DQ RSHUDWLRQ  7KH DELOLW\ WR UHPDLQ PRELOH
DQGKHQFHPDNHRSWLPXPXVHRIIRUFHLVGHSHQGHQWRQORJLVWLFVDFRPPDQGHUPXVW
KDYHFRQWURORIKLVORJLVWLFFDSDELOLW\LQRUGHUWRKDYHIUHHGRPRIDFWLRQ

7KHVH FRPSRQHQWV RI FRPEDW FDSDELOLW\ SURYLGH WKH EDVHOLQH IRU GHIHQFH SODQQLQJ IRUFH
GHYHORSPHQWDQGSURFXUHPHQW

An RAF Puma ‰ 6XVWDLQPHQW   6XVWDLQPHQW LV WKH SURFHVV RI HQDEOLQJ D IRUFH WR
helicopter is loaded PDLQWDLQ WKH QHFHVVDU\ FRPEDW FDSDELOLW\ WR DFKLHYH LWV REMHFWLYHV  ,W
aboard an American
strategic transport HPEUDFHV DOO DVSHFWV RI VXVWDLQLQJ WKH PDQSRZHU HTXLSPHQW DQG VWRUHV
aircraft during the Gulf ZKLFKHQDEOHDIRUFHWRFRPSOHWHLWVPLVVLRQ,WLQFOXGHVWKHHQGXUDQFHWR
War.
PDLQWDLQ DQ RSHUDWLRQDO FRPPLWPHQW IRU D SURWUDFWHG SHULRG LI QHFHVVDU\
7KLV PLJKW UHTXLUH UHLQIRUFHPHQW DQGRU URXOHPHQW RI XQLWV DQG WKH
UHJHQHUDWLRQDQGGHSOR\PHQWRIRWKHUXQLWV

Maintaining Military Capability


‰ $VFLUFXPVWDQFHVFKDQJHDGHTXDWHPLOLWDU\FDSDELOLW\QHHGVWREHPDLQWDLQHGWRDFKLHYHWKH
UHTXLUHGSROLWLFDOSXUSRVH7KLVDSSOLHVLQWKHUHODWLYHO\VKRUWWHUPFRQWH[WRIDQRSHUDWLRQDQG
RYHUDORQJHUSHULRGWRWDNHDFFRXQWRIFKDQJHVLQQDWLRQDOSROLF\7KHUHIRUHLWLVLPSRUWDQWWR
OHDUQIURPH[SHULHQFHDQGWRH[SORLWWKHOHVVRQVLQDVWUXFWXUHGZD\WRGHYHORSIRUFHVWUXFWXUHV
FDSDELOLWLHV DQG GRFWULQH LQ RUGHU WR PDLQWDLQ RSWLPXP PLOLWDU\ FDSDELOLW\  /HVVRQV FDQ EH
LGHQWLILHG DW HYHU\ OHYHO E\ GHEULHILQJ WUDLQLQJ E\ DQDO\VLQJ H[HUFLVHV DQG RSHUDWLRQV DQG E\
LQYHVWLJDWLQJSDUWLFXODUVXFFHVVHVDQGIDLOXUHV


‰ &RQIOLFWSURYLGHVWKHGHILQLWLYHPHDVXUHRIPLOLWDU\FDSDELOLW\ZKHQIRUFHLVDSSOLHGDJDLQVW
DQRSSRQHQW$FRPSOHWHDQGREMHFWLYHPHDVXUHUHTXLUHVTXDQWLILFDWLRQVFLHQWLILFDQGKLVWRULFDO
DQDO\VLVDQGPLOLWDU\DVVHVVPHQW,QSHDFHWKH \DUGVWLFNLVOHVVFOHDUEXWDYDULHW\RIPHWKRGV
FDQ EH HPSOR\HG WR REWDLQ D PHDVXUH RI PLOLWDU\ FDSDELOLW\ VXFK DV H[HUFLVHV VLPXODWLRQ
RSHUDWLRQDO DQDO\VLV DQG RSHUDWLRQDO DXGLW  $W EHVW WKHVH ZLOO RQO\ SURYLGH DQ HVWLPDWH RI
FDSDELOLW\DQGPLOLWDU\MXGJHPHQWZLOOQHHGWREHHPSOR\HGWRDVVHVVDQGLQWHUSUHWWKHUHVXOWV
(YDOXDWLRQV PDGH DW LQGLYLGXDO XQLW OHYHO QHHG WR EH DJJUHJDWHG WR SURYLGH DQ RYHUDOO
DVVHVVPHQWZKLFKZLOOEHPRUHWKDQDVLPSOHVXPRIWKHSDUWV

‰ 2QFH PHDVXUHG PLOLWDU\ FDSDELOLW\ PXVW EH FRPSDUHG ZLWK SODQQLQJ DVVXPSWLRQV  WR
GHWHUPLQH VKRUWIDOOV H[FHVVHV DQG WKH GHJUHH RI ULVN LQKHUHQW LQ HLWKHU  7KLV SURYLGHV WKH
HYLGHQFHWRDGMXVWSROLF\SODQVUHVRXUFHVDQGGRFWULQHWRPHHWWKHUHFDOLEUDWHGUHTXLUHPHQW

British Forces will almost


invariably operate jointly and
often in combination with
allied or coalition forces.
They need, therefore, to be
commanded, structured,
equipped and trained for joint
and combined warfare.

Firepower - Challenger 2
undergoing night firing trials.


Chapter 7

CRISIS MANAGEMENT

Principles of Crisis Management


‰ &ULVLVPDQDJHPHQWLVWKHSURFHVVRISUHYHQWLQJFRQWDLQLQJRUUHVROYLQJFULVHV DQGSRWHQWLDO
FULVHV DVWKH\DULVH,WLQFOXGHVPDQDJLQJDQRUGHUO\WUDQVLWLRQWRZDULIQHFHVVDU\7KHDLPRI
WKH QDWLRQDO FULVLV PDQDJHPHQW V\VWHP LV WR SURYLGH D EDODQFHG UHVSRQVH WR DQ\ VLWXDWLRQ WKDW
PD\ RFFXU  $W WKH JUDQG VWUDWHJLF OHYHO WKH &DELQHW FRQWUROV DOO WKH YDULRXV PHDQV DW WKH
*RYHUQPHQW
V GLVSRVDO WR UHVROYH WKH FULVLV GLSORPDWLF HFRQRPLF DQG RWKHU LQVWUXPHQWV RI
ZKLFKPLOLWDU\DFWLRQWHQGVWREHWKHILQDOUHVRUW%HQHDWKWKLVOHYHOPLOLWDU\VWUDWHJLFGLUHFWLRQ
LV SURYLGHG E\ WKH 0LQLVWU\ RI 'HIHQFH +HDGTXDUWHUV  $ -RLQW &RPPDQGHU LV UHVSRQVLEOH IRU
JLYLQJVKDSHDQGGLUHFWLRQWRPLOLWDU\RSHUDWLRQVDQGIRUGHSOR\LQJVXVWDLQLQJDQGXOWLPDWHO\
UHFRYHULQJWKHIRUFHVDVVLJQHGWRRSHUDWLRQVZKLFKDUHSURYLGHGE\WKHVLQJOH6HUYLFHV$-RLQW
)RUFH &RPPDQGHU LQ WKH RSHUDWLRQDO WKHDWUH SODQV DQG ILJKWV WKH FDPSDLJQ ZKLOH FRPSRQHQW
FRPPDQGHUVH[HUFLVHWDFWLFDOFRQWURORIWKHVHDODQGDQGDLUIRUFHVLQYROYHG7KHVHSULQFLSOHV
DSSO\WRDOORSHUDWLRQVLQYROYLQJ%ULWLVK)RUFHVEXWGHWDLOHGDUUDQJHPHQWVPD\YDU\WRVXLWWKH
FLUFXPVWDQFHV

Political Control and Direction


‰ &ULVLV PDQDJHPHQW LV H[HUFLVHG DW WKH KLJKHVW OHYHO E\ PLQLVWHUV HLWKHU LQGLYLGXDOO\ RU LQ
FRPPLWWHH  &ULVHV PD\ EH KDQGOHG E\ WKH 2YHUVHDV 3ROLF\ DQG 'HIHQFH &RPPLWWHH RI WKH
&DELQHWRUE\DVSHFLDO&DELQHW&RPPLWWHHVHWXSWRFRRUGLQDWHWKHZRUNRIDOOWKH*RYHUQPHQW
GHSDUWPHQWVLQYROYHG7KH&KLHIRIWKH'HIHQFH6WDII DV WKH SULQFLSDO PLOLWDU\ DGYLVHU WR WKH
*RYHUQPHQWZLOODWWHQGPHHWLQJVRIWKH&DELQHWRULWV VXE FRPPLWWHHV DV UHTXLUHG  1DWLRQDO
LQWHOOLJHQFH DVVHVVPHQWV LQFOXGLQJ VWUDWHJLF ZDUQLQJ DUH FRRUGLQDWHG E\ WKH &DELQHW 2IILFH
:LWKLQWKHSROLF\GHWHUPLQHGE\0LQLVWHUVWKH0LQLVWU\RI'HIHQFH+HDGTXDUWHUVLVUHVSRQVLEOH
IRUWKH'HIHQFHDVSHFWVRIFULVLVPDQDJHPHQWLQFOXGLQJWKHKLJKHUGLUHFWLRQRIRSHUDWLRQV

‰ 0LQLVWU\RI'HIHQFH+HDGTXDUWHUV7KH0LQLVWU\RI'HIHQFH+HDGTXDUWHUVLVUHVSRQVLEOH
IRU SURYLGLQJ WKH *RYHUQPHQW DQG 'HIHQFH 0LQLVWHUV ZLWK VRXQG DQG WLPHO\ DGYLFH RQ WKH
SROLF\ DQG VWUDWHJLF PLOLWDU\ DVSHFWV RI DOO VLWXDWLRQV WKDW PD\ UHTXLUH PLOLWDU\ LQYROYHPHQW E\
WKH 8QLWHG .LQJGRP  )ROORZLQJ 0LQLVWHULDO GLUHFWLRQ WKH UROH RI WKH 0LQLVWU\ RI 'HIHQFH
+HDGTXDUWHUV LV WR HQVXUH WKDW 0LQLVWHULDO GHFLVLRQV DUH WUDQVODWHG LQWR FOHDU DQG XQDPELJXRXV
GLUHFWLRQWRPLOLWDU\KHDGTXDUWHUV7KH0LQLVWU\GRHVQRWQRUPDOO\FRPPDQGIRUFHVGLUHFWO\QRU
LQYROYHLWVHOILQWKHGD\WRGD\UXQQLQJRIRSHUDWLRQV

‰ &KLHIVRI6WDII7KH&KLHIRIWKH'HIHQFH6WDIILVWKHXOWLPDWHVRXUFHRIPLOLWDU\DGYLFHWR
PLQLVWHUV  7KH 9LFH &KLHI RI WKH 'HIHQFH 6WDII ZLWK WKH 6HFRQG 3HUPDQHQW 8QGHU 6HFUHWDU\
FRRUGLQDWHV WKH RYHUDOO GLUHFWLRQ RI WKH &HQWUDO 6WDII WR HQVXUH WKH LQWHJUDWLRQ RI PLOLWDU\
FRPPLWPHQWV ZLWK VXVWDLQDEOH ORJLVWLF UHVRXUFH DQG SHUVRQQHO SROLFLHV  7KH  &KLHIV RI WKH
1DYDO*HQHUDODQG$LU6WDIIVDVWKHSURIHVVLRQDOKHDGVRIWKHLU6HUYLFHVRIIHUH[SHUWDGYLFHWR
WKH&KLHIRIWKH'HIHQFH6WDIIRQWKHHPSOR\PHQWRIWKHLUIRUFHVDQGWKHVWUDWHJLFGLUHFWLRQRI
RSHUDWLRQV XVXDOO\ LQ WKH IRUXP RI WKH &KLHIV RI 6WDIIV &RPPLWWHH  7KH 3HUPDQHQW 8QGHU
6HFUHWDU\DVWKHVHQLRU DGYLVHURQ 'HIHQFH SROLF\ DWWHQGV WKH PHHWLQJV RI WKLV &RPPLWWHH DV
GRHV D VHQLRU RIILFLDO IURP WKH )RUHLJQ DQG &RPPRQZHDOWK 2IILFH WR HQVXUH SURSHU FR
RUGLQDWLRQEHWZHHQNH\*RYHUQPHQWGHSDUWPHQWV

$
Organisation
‰ 'HIHQFH&ULVLV0DQDJHPHQW2UJDQLVDWLRQ%HORZWKH&KLHIVRI6WDII&RPPLWWHHWKHUHLV
D 'HIHQFH &ULVLV 0DQDJHPHQW 2UJDQLVDWLRQ ZKLFK SUHSDUHV DGYLFH IRU WKH &KLHIV RI 6WDII
3HUPDQHQW8QGHU6HFUHWDU\DQG0LQLVWHUV,WLVPDGHXSRIHOHPHQWVRIWKH&HQWUDO6WDIILQWKH
0LQLVWU\ RI 'HIHQFH +HDGTXDUWHUV DQG RI WKH 3HUPDQHQW -RLQW +HDGTXDUWHUV ZRUNLQJ LQ FORVH
SDUWQHUVKLSWRJHWKHUZLWKWKH'HIHQFH,QWHOOLJHQFH6WDII,QPRUHGHWDLO

x &HQWUDO6WDII7KH&HQWUDO6WDIISROLF\DQGFRPPLWPHQWV LHRSHUDWLRQV IXQFWLRQV


DUH FORVHO\ LQWHJUDWHG ZLWKLQ DQ RUJDQLVDWLRQDO VWUXFWXUH ZKLFK GHOLEHUDWHO\
HQFRXUDJHV IOH[LEOH ZRUNLQJ PHWKRGV EULQJLQJ WRJHWKHU VWDII IURP GLIIHUHQW
GLVFLSOLQHV LQ &XUUHQW &RPPLWPHQW 7HDPV WR WDFNOH LVVXHV DV WKH\ DULVH  8QGHU
QRUPDOGD\WRGD\FRQGLWLRQVVWDIIRSHUDWHIURPWKHLUQRUPDORIILFHVLQWKH0LQLVWU\
RI'HIHQFH0DLQ%XLOGLQJDQGPD\FRQWLQXHWRGRVRLQDPLQRUFULVLV+RZHYHULQ
PDMRUFULVHVWKH\DUHOLNHO\WRXVHWKH'HIHQFH&ULVLV0DQDJHPHQW&HQWUHDVHFXUH
KDUGHQHGIDFLOLW\ZLWKLQWKH0DLQ%XLOGLQJ

x 3HUPDQHQW-RLQW+HDGTXDUWHUV7KH3HUPDQHQW-RLQW+HDGTXDUWHUVDW1RUWKZRRG
LV DQ LQWHJUDO SDUW RI WKH 'HIHQFH &ULVLV 0DQDJHPHQW 2UJDQLVDWLRQ DQG SOD\V D NH\
UROH LQ FRQWULEXWLQJ WR WKH 0LQLVWU\ RI 'HIHQFH +HDGTXDUWHUV
 GHFLVLRQPDNLQJ
SURFHVV DW WKH PLOLWDU\ VWUDWHJLF OHYHO  :KHQ GLUHFWHG E\ WKH &KLHI RI WKH 'HIHQFH
6WDIILWLVUHVSRQVLEOHIRUWKHSODQQLQJDQGH[HFXWLRQRIMRLQWSRWHQWLDOO\MRLQW

The Secretary of
State for Defence,
accompanied by the
Chief of the Defence
Staff and the Chief of
Joint Operations
opening the new
United Kingdom
Permanent Joint
Headquarters in April
1996

FRPELQHG DQG PXOWLQDWLRQDO RSHUDWLRQV OHG E\ WKH 8QLWHG .LQJGRP  ,W LV DOVR
UHVSRQVLEOHIRUH[HUFLVLQJRSHUDWLRQDOFRPPDQGRI8QLWHG.LQJGRPIRUFHVDVVLJQHG
WR FRPELQHG DQG PXOWLQDWLRQDO RSHUDWLRQV OHG E\ RWKHUV  ,Q JHQHUDO WHUPV WKH
3HUPDQHQW -RLQW +HDGTXDUWHUV KDV D UROH LQ DOO FLUFXPVWDQFHV ZKHQ 2SHUDWLRQDO
&RPPDQG LV UHWDLQHG XQGHU QDWLRQDO DXWKRULW\  +RZHYHU LW KDV QR FRPPDQG
UHVSRQVLELOLW\ IRU WDVNV FXUUHQWO\ DVVLJQHG WR WKH VLQJOH6HUYLFH &RPPDQGHUVLQ
&KLHI  ,W LV FRPPDQGHG E\ WKH &KLHI RI -RLQW 2SHUDWLRQV ZKR ZLOO QRUPDOO\ EH
DSSRLQWHG DV -RLQW &RPPDQGHU IRU RSHUDWLRQV DVVLJQHG WR WKH +HDGTXDUWHUV
DOWKRXJK DV GHVFULEHG LQ &KDSWHU  LI FLUFXPVWDQFHV ZDUUDQW DQ\ RI WKH VLQJOH
6HUYLFHFRPPDQGHUVLQFKLHIPD\EHDSSRLQWHGDV-RLQW&RPPDQGHU ,QFULVLVWKH
+HDGTXDUWHUVIRUPVPXOWLGLVFLSOLQDU\&RQWLQJHQF\3ODQQLQJ7HDPVDQG2SHUDWLRQV
7HDPV ZKLFK WRJHWKHU ZLWK WKH &XUUHQW &RPPLWPHQW 7HDPV LQ WKH 0LQLVWU\ RI
'HIHQFH +HDGTXDUWHUV SOD\ D IXOO SDUW LQ IRUPXODWLQJ DGYLFH WR WKH &KLHIV RI 6WDII
3HUPDQHQW 8QGHU 6HFUHWDU\ DQG 0LQLVWHUV  &ORVH  FRQWDFW LV PDLQWDLQHG ZLWK WKH

$
VLQJOH6HUYLFH2SHUDWLRQDO&RPPDQGVWRHQVXUHWKDWVLQJOH6HUYLFHDGYLFHLVZRYHQ
LQWR FRKHUHQW MRLQW DGYLFH  7KH +HDGTXDUWHUV KDV QR FRPPDQG UHVSRQVLELOLW\ IRU
QXFOHDU RSHUDWLRQV 1$72 RSHUDWLRQV LQ ZKLFK FRPPDQG LV H[HUFLVHG WKURXJK
1$72 VWUXFWXUHV WKH GHIHQFH RI WKH 8QLWHG .LQJGRP
V ZDWHUV DQG DLUVSDFH DQG
PLOLWDU\DVVLVWDQFHWRWKHFLYLODXWKRULWLHVLQFOXGLQJRSHUDWLRQVLQVXSSRUWRIWKHFLYLO
SRZHULQ1RUWKHUQ,UHODQG

x 'HIHQFH ,QWHOOLJHQFH 6WDII


:LWKLQ WKH 0LQLVWU\ RI 'HIHQFH WKH
'HIHQFH ,QWHOOLJHQFH 6WDII LV UHVSRQVLEOH
IRUSURYLGLQJVWUDWHJLFZDUQLQJDQGIRUPDO
FXUUHQW GHIHQFH LQWHOOLJHQFH DVVHVVPHQWV
DQGDGYLFH,WSURYLGHVPLOLWDU\FDSDELOLW\
VWXGLHV LQFOXGLQJ WKH FDSDELOLWLHV RI
ZHDSRQ V\VWHPV  DQG FRQWLQXRXV
UHSRUWLQJ RQ SROLWLFDO DQG PLOLWDU\
GHYHORSPHQWV ZRUOGZLGH ZKLFK PD\
LQIOXHQFH QDWLRQDO GHFLVLRQ PDNLQJ DQG
The newly opened operations centre at the WKH VWUDWHJLF GLUHFWLRQ RI RSHUDWLRQV  7KH
Permanent Joint Headquarters. 'HIHQFH,QWHOOLJHQFH6WDIILVDOVRWKHIRFDO
SRLQWIRUWKH FRRUGLQDWLRQ RI WKH GHIHQFH
LQWHOOLJHQFH HIIRUW LQ VXSSRUW RI RSHUDWLRQV SDUWLFXODUO\ LQ UHJDUG WR FROOHFWLRQ
LQIRUPDWLRQ UHTXLUHPHQWV PDQDJHPHQW DQG WDUJHWLQJ VXSSRUW  ,Q DGGLWLRQ WKH
3HUPDQHQW-RLQW+HDGTXDUWHUV
LQWHOOLJHQFHVWDIIPRQLWRUVDUHDVRIHPHUJLQJLQWHUHVW
DQGPDLQWDLQVWKH-RLQW2SHUDWLRQDO3LFWXUHRIPDULWLPHODQGDQGDLUDFWLYLW\ZLWKLQ
GHVLJQDWHGDUHDVRIRSHUDWLRQDOUHVSRQVLELOLW\RULQWHUHVW$VDQRSHUDWLRQDOVLWXDWLRQ
GHYHORSV WKH OHDG IRU FHUWDLQ LQWHOOLJHQFH UHVSRQVLELOLWLHV PD\ EH SDVVHG IURP WKH
'HIHQFH ,QWHOOLJHQFH 6WDII WR WKH 3HUPDQHQW -RLQW +HDGTXDUWHUV UHYHUWLQJ WR WKH
'HIHQFH,QWHOOLJHQFH6WDIIRQFRPSOHWLRQRIWKHRSHUDWLRQ

‰ ,QWHUQDWLRQDO/LDLVRQ7KH0LQLVWU\RI'HIHQFH+HDGTXDUWHUVLVWKHIRFDOSRLQWIRUFRQWDFW
ZLWKDOOLHVDQGLQWHUQDWLRQDORUJDQLVDWLRQVDWWKHGHSDUWPHQWRIVWDWHOHYHO7KH3HUPDQHQW-RLQW
+HDGTXDUWHUV OLDVHV GLUHFWO\ ZLWK 0DMRU 1$72 &RPPDQGHUV DQG WKH VWDIIV RI DOOLHV DQG
LQWHUQDWLRQDORUJDQLVDWLRQVDVDSSURSULDWH

Command and Control


‰ 3ULQFLSOHVRI&RPPDQGDQG&RQWURO(IIHFWLYHFRPPDQGDQGFRQWUROFRPSULVHVGLUHFWLRQ
DW WKH KLJKHVW OHYHO QHFHVVDU\ WR DFKLHYH XQLW\ RI SXUSRVH FRPELQHG ZLWK WKH GHOHJDWLRQ RI
DXWKRULW\ IRU DFKLHYLQJ REMHFWLYHV WR WKH ORZHVW OHYHO DSSURSULDWH WR WKH PRVW HIIHFWLYH XVH RI
IRUFHV2SHUDWLRQDOFRPPDQGHUVVKRXOGEHJLYHQWKHJUHDWHVWSRVVLEOHIUHHGRPRIDFWLRQZLWKLQ
SROLWLFDODQGPLOLWDU\VWUDWHJLFJXLGHOLQHV7KHDSSRLQWPHQWRIWKHULJKWSHRSOHWRFRPPDQGDW
HDFKOHYHOLVFUXFLDO6HOHFWLRQRIFRPPDQGHUVLVDNH\ IXQFWLRQ DW WKH PLOLWDU\ VWUDWHJLF OHYHO
7KHDLPVKRXOGEHWRPDNHWKHFRPPDQGFKDLQDVVLPSOHXQDPELJXRXVDQGXQLILHGDVSRVVLEOH
$ FRPPDQGHU VKRXOG KDYH D GHJUHH RI FRQWURO RYHU WKH DGPLQLVWUDWLYH SODQ DQG WKH ORJLVWLFV
SURSRUWLRQDWHWRKLVUHVSRQVLELOLW\IRUWKHRSHUDWLRQ

‰ &RPPDQGDQG&RQWUROLQ0XOWLQDWLRQDO2SHUDWLRQV:KHUHLWLVGHFLGHGIRUSROLWLFDORU
PLOLWDU\UHDVRQVWRIRUPDPXOWLQDWLRQDOIRUFHIRUDSDUWLFXODURSHUDWLRQWKDWIRUFHZLOORSHUDWH
PRVWHIIHFWLYHO\LIWKHUHLVDVLQJOHFKDLQRIPLOLWDU\FRPPDQGDQGFRQWUROIRUWKHSODQQLQJDQG

$
FRQGXFWRIRSHUDWLRQVDQGIRUWKHGHOHJDWLRQRIFRPPDQG7KLVPHDQVLQSULQFLSOHWKDWDVLQJOH
PLOLWDU\RIILFHUIURPRQHQDWLRQVKRXOGEHDSSRLQWHGWRFRPPDQGWKHIRUFHVRIDOOSDUWLFLSDWLQJ
QDWLRQV DW HDFK OHYHO  +RZHYHU WKH SROLWLFDO FRQWURO RI DOO PLOLWDU\ RSHUDWLRQV LV D EDVLF
GHPRFUDWLF SULQFLSOH  ,W LV OLNHO\ WKHUHIRUH WKDW SDUWLFLSDWLQJ QDWLRQV ZRXOG EH XQZLOOLQJ WR
DOORZDIRUHLJQQDWLRQDOWRKDYHFRPSOHWHIUHHGRPRIFRQWURORYHUWKHLUIRUFHVWKH\ZLOOLQVLVW
RQ PDLQWDLQLQJ D GHJUHH RI QDWLRQDO SROLWLFDO FRQWURO LQ DOO FLUFXPVWDQFHV  7KH FKDOOHQJH RI
PXOWLQDWLRQDO FRPPDQG DQG FRQWURO LV LQ UHFRQFLOLQJ WKHVH RSSRVLQJ LPSHUDWLYHV  7KH ZHOO
HVWDEOLVKHG GRFWULQH DQG SURFHGXUHV IRU WKH FRPPDQG DQG FRQWURO RI RSHUDWLRQV IROORZLQJ DQ
DUPHGDWWDFNRQRQHRUPRUHPHPEHUVRI1$72 $UWLFOHRSHUDWLRQV DUHGHVLJQHGWRUHVROYH
WKLV LVVXH DQG WKH\ KDYH EHHQ DGDSWHG IRU QRQ$UWLFOH  RSHUDWLRQV  +RZHYHU WKHUH LV DQ
LQFUHDVLQJSRVVLELOLW\RI%ULWLVKIRUFHVEHFRPLQJLQYROYHGLQRSHUDWLRQVZLWKIRUFHVIURPDZLGH
UDQJH RI FRXQWULHV DV SDUW RI DQ DGKRF FRDOLWLRQ  &RPPDQG DQG FRQWURO DUUDQJHPHQWV IRU
QDWLRQDODQGPXOWLQDWLRQDORSHUDWLRQVDUHGHVFULEHGLQ$QQH['

Crisis Management Sequence


‰ $W\SLFDOFULVLVPLJKWEHKDQGOHGDWWKHVWUDWHJLFOHYHODVUHODWHGLQWKHIROORZLQJSDUDJUDSKV
7KHVH GHVFULEH WKH DFWLRQV DSSOLFDEOH LQ VLWXDWLRQV LQ ZKLFK WKH 8QLWHG .LQJGRP LV DFWLQJ
XQLODWHUDOO\7KHFRPPDQGDQGFRQWURODUUDQJHPHQWVDQGSURFHGXUHVKRZHYHUDUHIOH[LEOHDQG
DUHUHDGLO\DGDSWDEOHWRDFFRUGZLWKHYHQWVDQGRWKHUFLUFXPVWDQFHVLQFOXGLQJWKHUHTXLUHPHQWV
RI8QLWHG.LQJGRPSDUWLFLSDWLRQLQFRPELQHGRSHUDWLRQV

‰ $VDVLWXDWLRQGHYHORSVZKLFKPD\UHTXLUHWKHGHSOR\PHQWRI8QLWHG.LQJGRP)RUFHVVWDII
WHDPV DUH IRUPHG ZLWKLQ WKH 0LQLVWU\ RI 'HIHQFH +HDGTXDUWHUV DQG DW WKH 3HUPDQHQW -RLQW
+HDGTXDUWHUV7KHVHWHDPVDFWLQJLQFRQMXQFWLRQVHUYHDVWKHMRLQWIRFXVRIWKH'HIHQFH&ULVLV
0DQDJHPHQW2UJDQLVDWLRQIRUWKHSDUWLFXODUFULVLV

x $&XUUHQW&RPPLWPHQW7HDPLQWKH0LQLVWU\RI'HIHQFH+HDGTXDUWHUVPRQLWRUVWKH
SRWHQWLDO FULVLV DQG OLDVHV ZLWK RWKHU JRYHUQPHQW GHSDUWPHQWV DOOLHV DQG
RUJDQLVDWLRQVVXFKDV1$72WKH:HVWHUQ(XURSHDQ8QLRQDQGWKH8QLWHG1DWLRQV
,WLVVXHVLQLWLDOVWUDWHJLFSODQQLQJ JXLGDQFHWRWKH3HUPDQHQW-RLQW+HDGTXDUWHUV  DV
WKHVLWXDWLRQUHTXLUHV

x $ &RQWLQJHQF\ 3ODQQLQJ 7HDP LQ WKH 3HUPDQHQW -RLQW +HDGTXDUWHUV DOVR PRQLWRUV
WKH SRWHQWLDO FULVLV UHYLHZLQJ RU GHYHORSLQJ DSSURSULDWH FRQWLQJHQF\ SODQV DQG
FRQGXFWLQJ LQLWLDO SODQQLQJ LQ DFFRUG ZLWK 0LQLVWU\ RI 'HIHQFH +HDGTXDUWHUV
JXLGDQFH  7KLV ZLOO LQFOXGH OLDLVRQ ZLWK WKH RSHUDWLRQDO KHDGTXDUWHUV RI RWKHU
QDWLRQVRUZLWK1$72DQG:HVWHUQ(XURSHDQ8QLRQSODQQLQJFHOOVDVQHFHVVDU\

6XFKZRUNZLOOEHFRRUGLQDWHGZLWKGLSORPDWLFDFWLYLW\DLPHGDWUHVROYLQJWKHFULVLVLISRVVLEOH
ZLWKRXW UHFRXUVH WR PLOLWDU\ DFWLRQ  3ODQQLQJ DQG GHFLVLRQ PDNLQJ ZLOO EH LQIOXHQFHG E\ WKH
VWUDWHJLFFRQVLGHUDWLRQVGLVFXVVHGLQ&KDSWHU

‰ 'UDZLQJRQWKH&KLHIVRI6WDII&RPPLWWHHWKH&KLHIRIWKH'HIHQFH6WDIIDQGWKH3HUPDQHQW
8QGHU6HFUHWDU\ZLOORIIHULQLWLDODGYLFHWR0LQLVWHUV,I0LQLVWHUVGHFLGHWRSURFHHGIXUWKHUDQG
UHTXLUHPLOLWDU\FRXUVHV RI DFWLRQ WR EH GHYHORSHG LQ GHWDLO LW PD\ WKHQ EH DSSURSULDWH IRU WKH
&KLHIRIWKH'HIHQFH6WDIIWRVXSSOHPHQWHDUOLHULQLWLDOSODQQLQJJXLGDQFHE\LVVXLQJD3ODQQLQJ
'LUHFWLYHWRWKH&KLHIRI-RLQW2SHUDWLRQVDQGUHOHYDQWVXSSRUWLQJFRPPDQGHUV

$
‰ 7KH0LQLVWU\RI'HIHQFH+HDGTXDUWHUV&XUUHQW&RPPLWPHQW7HDPDQGWKH3HUPDQHQW-RLQW
+HDGTXDUWHUV &RQWLQJHQF\ 3ODQQLQJ 7HDP MRLQWO\ FRPSOHWH D 6WUDWHJLF (VWLPDWH LQFOXGLQJ
PLVVLRQDQDO\VLVZLWKWKH&RQWLQJHQF\3ODQQLQJ7HDPFRQVXOWLQJVXSSRUWLQJFRPPDQGV7KLV
OHDGVWRWKHVXEVHTXHQWSURYLVLRQRIDGYLFHWRWKH&KLHIRIWKH'HIHQFH6WDIIDQG0LQLVWHUVRQ
WKHIHDVLELOLW\RILQWHUYHQWLRQWKHQDWXUHDQGVFDOH RI IRUFHV UHTXLUHG WKH LPSOLFDWLRQV DQG WKH
OLNHO\FRVWV,WDGGUHVVHVRSWLRQVDQGUHFRPPHQGVDSUHIHUUHGFRXUVHRIDFWLRQ

‰ 2QFH0LQLVWHUV LQGLYLGXDOO\LQ&DELQHWRULQWKH2YHUVHDV3ROLF\DQG'HIHQFH&RPPLWWHH
RIWKHFDELQHWDVDSSURSULDWH KDYHDJUHHGWKHFRXUVHRIDFWLRQWKH&KLHIRIWKH'HIHQFH6WDII
LVVXHVDVWUDWHJLFGLUHFWLYHWRWKHQRPLQDWHG-RLQW&RPPDQGHU7KLVVWDWHVWKHPLOLWDU\VWUDWHJLF
REMHFWLYHV WKH GHVLUHG HQG VWDWH DQG FRQVWUDLQWV WR EH DSSOLHG WR RSHUDWLRQDO SODQQLQJ
$GGLWLRQDOO\WKH&KLHIRIWKH'HIHQFH6WDII
V'LUHFWLYHZLOOXVXDOO\LQFOXGH

x 'HWDLORIWKHIRUFHVDQGUHVRXUFHVWREHDOORFDWHGWRWKHWKHDWUHRIRSHUDWLRQV

x 'HVLJQDWLRQRIWKHWKHDWUHRIRSHUDWLRQVWKHDQWLFLSDWHGGXUDWLRQRIWKHFDPSDLJQWKH
OHJDOSRVLWLRQDQGUXOHVRIHQJDJHPHQW

x &RPPDQG DUUDQJHPHQWV LQFOXGLQJ WKH DSSRLQWPHQW RI WKH -RLQW )RUFH &RPPDQGHU
DQG FRRUGLQDWLRQ ZLWK VXSSRUWLQJ FRPPDQGHUV DOOLHV KRVW QDWLRQV LQWHUQDWLRQDO
RUJDQLVDWLRQVDQGDJHQFLHV

x 6HSDUDWHILQDQFLDOLQVWUXFWLRQVZLOODOVREHLVVXHG

,QVRPHFDVHVWKH&KLHIRIWKH'HIHQFH6WDII
VGLUHFWLYHPD\JLYHIXOODXWKRULW\WRSURFHHGZLWK
PLOLWDU\DFWLRQLQRWKHUFLUFXPVWDQFHVLWPD\SHUPLWRQO\FRYHUWRURYHUWSUHSDUDWLRQVEHIRUHD
ODWHU 0LQLVWHULDO GHFLVLRQ WR LQWHUYHQH  7LPHVFDOHV IRU SODQQLQJ 0LQLVWHULDO FRQVLGHUDWLRQ DQG
LVVXH RI GLUHFWLYHV FDQ YDU\ IURP KRXUV WR PRQWKV  7LPH WKRXJK LV XVXDOO\ DW D SUHPLXP
HPSKDVLVLQJ WKH QHHG IRU HIILFLHQW VWDII SURFHGXUHV DQG FRQFXUUHQW DFWLYLW\ ZLWKLQ WKH 'HIHQFH
&ULVLV0DQDJHPHQW2UJDQLVDWLRQDQGLQFRQFHUWZLWKVXSSRUWLQJFRPPDQGV

‰ 7KH-RLQW&RPPDQGHUH[HUFLVHVWKHKLJKHVWOHYHORIRSHUDWLRQDOFRPPDQGLVVXLQJD0LVVLRQ
'LUHFWLYHWRWKH-RLQW)RUFH&RPPDQGHUH[SDQGLQJXSRQWKHPLOLWDU\VWUDWHJLFGLUHFWLRQLQWKH
&KLHIRIWKH'HIHQFH6WDII
V'LUHFWLYHDQGLQFOXGLQJDPLVVLRQVWDWHPHQW6XEVHTXHQWO\WKH-RLQW
&RPPDQGHULVUHVSRQVLEOHIRUJLYLQJIXUWKHUGLUHFWLRQDQGDGYLVLQJWKH-RLQW)RUFH&RPPDQGHU
DVQHFHVVDU\GHSOR\LQJVXVWDLQLQJDQGUHFRYHULQJWKHIRUFHDQGIRUPRQLWRULQJDQGUHSRUWLQJWR
WKH&KLHIRIWKH'HIHQFH6WDIIRQWKHSURJUHVVRIWKHFDPSDLJQ

‰ 7KH-RLQW)RUFH&RPPDQGHUGHWHUPLQHVWKHFDPSDLJQSODQDQGWKHRSHUDWLRQDOREMHFWLYHVWR
EHDFKLHYHGDWWKHWDFWLFDOOHYHOE\KLVVXERUGLQDWHFRPSRQHQWFRPPDQGHUVPDULWLPHODQGDLU
DQG VSHFLDO IRUFHV  +H DOORFDWHV UHVRXUFHV VHWV SULRULWLHV DQG GLUHFWV HYHQWV LQWHJUDWLQJ DQG
VHTXHQFLQJWKHDFWLYLWLHVRIWKH-RLQW)RUFHDVUHTXLUHG

‰ 0HDQZKLOH WKH 'HIHQFH &ULVLV 0DQDJHPHQW 2UJDQL]DWLRQ FRQWLQXHV WR PRQLWRU HYHQWV WR
DGYLVH0LQLVWHUVDQGWRDGMXVWVWUDWHJLFGLUHFWLRQDVQHFHVVDU\

‰ 0HGLD 2SHUDWLRQV ZLOO EH QHFHVVDU\ WKURXJKRXW HDFK FULVLV DQG RSHUDWLRQ DQG ZLOO EH
FRQGXFWHG LQ DFFRUGDQFH ZLWK WKH *RYHUQPHQW
V RYHUDOO LQIRUPDWLRQ FDPSDLJQ 5HOHYDQW
FRQVLGHUDWLRQVDQGSURFHGXUHVDUHVHWRXWLQ:RUNLQJ$UUDQJHPHQWVZLWKWKH0HGLDLQWLPHVRI
(PHUJHQF\7HQVLRQ&RQIOLFWDQG:DU 7KH*UHHQ%RRN SXEOLVKHGE\WKH0LQLVWU\RI'HIHQFH
V

$
3UHVV6HFUHWDU\DQG&KLHIRI,QIRUPDWLRQ6WDWHPHQWVDQGEULHILQJVE\PLQLVWHUVVHQLRURIILFLDOV
DQGPLOLWDU\ILJXUHVSURYLGHWKHEDVLVRILQIRUPDWLRQDERXWWKHRYHUDOOSROLWLFDOVLWXDWLRQDQGWKH
VWUDWHJLF QDWXUH RI RSHUDWLRQV $ UDQJH RI PHGLD IDFLOLWLHV LV QHFHVVDU\ WR SHUPLW ILUVW KDQG
UHSRUWLQJ(GLWRUVDQGRWKHUPHGLDUHSUHVHQWDWLYHVDUHDOVREULHIHGLQWKH8QLWHG.LQJGRPDQG
LQWKHDWUHWRHQVXUHWKDWWKH\XQGHUVWDQGWKHEDFNJURXQGVLWXDWLRQDQGWKHRSHUDWLRQDOUHVSRQVH
6SHFLDOLVW3XEOLF,QIRUPDWLRQVWDIIDUHGHSOR\HGWRWKHDWUHIRUWKLVWDVN

‰ 7KURXJKRXW WKH FRQIOLFW WKHUH ZLOO EH D FRRUGLQDWHG SURFHVV RI OHDUQLQJ DQG DSSO\LQJ
OHVVRQV IURP H[SHULHQFH  3RVW KRVWLOLWLHV WKHUH ZLOO EH D WKRURXJK DQDO\VLV RI RSHUDWLRQV WR
GHULYHOHVVRQVDSSOLFDEOHWRWKHIXWXUHGHYHORSPHQWRIGRFWULQHIRUFHVWUXFWXUHVDQGFDSDELOLWLHV

HMS Ark Royal leaving


Portsmouth harbour.

$
TOP:

A Nimrod MR2 on maritime patrol accompanied by Tornados armed with Sea


Eagle anti-ship missiles.

BOTTOM:

Puma and Chinook support helicopters flying troops into a landing site during
an exercise in Germany.

$
POSTSCRIPT
‰ 7KLV SXEOLFDWLRQ KDV VHW RXW WKH SULQFLSOHV EHKLQG WKH XVH RI %ULWLVK $UPHG )RUFHV WR
PDLQWDLQ WKH VHFXULW\ RI WKH 8QLWHG .LQJGRP DQG LWV 'HSHQGHQW 7HUULWRULHV  $JDLQVW WKH
EDFNJURXQGRIDYRODWLOHDQGXQSUHGLFWDEOHZRUOGLWKDVHPSKDVLVHGWKHEURDGQDWXUHRIVHFXULW\
SROLF\UHIOHFWLQJWKHZLGHUIRUHLJQSROLF\DQGHFRQRPLFLQWHUHVWVRIWKH1DWLRQ

‰ %ULWLVK 'HIHQFH 'RFWULQH SURYLGHV D FRPPRQ DSSURDFK IRU DOO WKUHH 6HUYLFHV WR IDFH WKH
FKDOOHQJHVRIWKHFORVLQJ\HDUVRIWKLVFHQWXU\+RZHYHULQPHHWLQJWKRVHFKDOOHQJHVIOH[LELOLW\
RI WKRXJKW ZLOO EH FUXFLDO QRW OHDVW LQ WKH DSSOLFDWLRQ RI GRFWULQH  7KHUHIRUH ZKLOH WKLV
SXEOLFDWLRQ LV DXWKRULWDWLYH LW LV QRW LQWHQGHG WR VWLIOH EXW WR VWLPXODWH WKRXJKW DQG LQIRUPHG
GHEDWHDQGLWPXVWQRWEHUHJDUGHGDVGRJPD

‰ %ULWLVK'HIHQFH'RFWULQHZLOOHYROYHWRUHIOHFWIUHVKH[SHULHQFHRUFKDQJLQJFLUFXPVWDQFHV
$FFRUGLQJO\WKLVSXEOLFDWLRQZLOOEHXSGDWHGSHULRGLFDOO\7KHFXVWRGLDQLVWKH'LUHFWRURI-RLQW
:DUIDUHLQWKH0LQLVWU\RI'HIHQFH0DLQ%XLOGLQJWRZKRPDQ\FRPPHQWVRUVXJJHVWLRQVIRU
LPSURYHPHQWVKRXOGEHVHQW

$
Annex A

THE PRINCIPLES OF WAR

Introduction
‰ $VWXG\RIWKHKLVWRU\RIZDUUHYHDOVWKDWLWVFRQGXFWLVLQIOXHQFHGE\FHUWDLQEURDGSUHFHSWV
ZKLFKKDYHFRPHWREHUHFRJQLVHGDVWKH3ULQFLSOHVRI:DU7KHVHSULQFLSOHVKDYHSURYHGWREH
HQGXULQJ GHVSLWH FKDQJHV LQ WHFKQRORJ\ ZKLFK KDYH DIIHFWHG WKH DSSOLFDWLRQ RI WKH SULQFLSOHV
ZLWKRXW GHWUDFWLQJ IURP WKHLU JHQHUDO YDOLGLW\  1DWLRQV KDYH YDU\LQJ DSSURDFKHV WR PLOLWDU\
RSHUDWLRQV ZKLFK UHIOHFW GLIIHUHQFHV LQ VFDOH JHRJUDSK\ HFRQRP\ DQG FRPPLWPHQWV  7KH
%ULWLVK3ULQFLSOHVRI:DUUHIOHFWWKHSDUWLFXODUFLUFXPVWDQFHVRIWKH8QLWHG.LQJGRP

‰ 7KH7HQ3ULQFLSOHVRI:DU IRUPSDUWRIWKHFRQFHSWXDOFRPSRQHQW RI DOO PLOLWDU\ GRFWULQH


LQIRUPLQJ WKH FRQGXFW RI RSHUDWLRQV WKURXJKRXW WKH VSHFWUXP RI FRQIOLFW  7KH\ DUH HVSHFLDOO\
UHOHYDQWDWWKHPLOLWDU\VWUDWHJLFOHYHOZKHUHWKH\HVWDEOLVKDQXPEHU RI FULWHULD DJDLQVW ZKLFK
FRXUVHVRIDFWLRQDIIHFWLQJWKHQDWLRQDOLQWHUHVWLQFOXGLQJGHIHQFHLQYHVWPHQWGHFLVLRQVDQGWKH
SODQQLQJRI DFDPSDLJQPD\EHWHVWHG7KHSULQFLSOHV DOVR KDYH D GLUHFW DSSOLFDWLRQ DW ORZHU
OHYHOV SURYLGLQJ JXLGHV WR DFWLRQ  +RZHYHU WKHLU UHOHYDQFH DSSOLFDELOLW\ DQG UHODWLYH
LPSRUWDQFHFKDQJHZLWKWKHFLUFXPVWDQFHV7KH\QHHGWREHDSSOLHGZLWKMXGJHPHQWDQGVNLOO
LQWKHSDVWWKLVKDVOHGWRYLFWRU\%ODWDQWGLVUHJDUGRIWKHPLQYROYHVFDUHOHVVULVNDQGFRXOGOHDG
WRIDLOXUH

‰ 'HILQHGDWWKHPLOLWDU\VWUDWHJLFOHYHOWKH7HQ3ULQFLSOHVDUHH[SODLQHGLQWKHSDUDJUDSKVWKDW
IROORZ  7KHLU RUGHU LV EDVHG RQ WKH ORJLFDO UHODWLRQVKLS EHWZHHQ WKH WRSLFV DQG WKH DFW RI
HQJDJLQJ WKH HQHP\  6RPH DUH FUXFLDO FRQVLGHUDWLRQV WR EH DSSOLHG EHIRUH WKH DFW RI
HQJDJHPHQWZKLOVWRWKHUVDUHJXLGHVWRWKHZD\LQZKLFKWKHHQJDJHPHQWVKRXOGEHFRQGXFWHG
DQGVXVWDLQHG7KHVHOHFWLRQRIDFOHDUDQGGHOLEHUDWHDLPWKHFUHDWLRQDQGPDLQWHQDQFHRIKLJK
PRUDOHWKHLPSRVLWLRQRIWLJKWVHFXULW\OHDGLQJWRVXUSULVHDUHDOOSUHFXUVRUVWRRIIHQVLYHDFWLRQ
ZKLFKVKRXOGHPERG\WKHSULQFLSOHVRIFRQFHQWUDWLRQRIIRUFHHFRQRP\RIHIIRUWIOH[LELOLW\FR
RSHUDWLRQDQGVXVWDLQDELOLW\>IRUPHUO\FDOOHGDGPLQLVWUDWLRQ@6HOHFWLRQDQGPDLQWHQDQFHRIWKH
DLPLVWKHFDUGLQDOSULQFLSOH7KHUHODWLYHLPSRUWDQFHDQGUHOHYDQFHRIWKHRWKHUSULQFLSOHVDUH
OLNHO\WRYDU\DFFRUGLQJWRWKHFLUFXPVWDQFHV,QWHOOLJHQFHZKLOVWQRWLWVHOID3ULQFLSOHRI:DULV
WKHFDWDO\VWRUNH\WRWKHVHOHFWLRQRIWKHDLPVXUSULVHRIIHQVLYHDFWLRQFRQFHQWUDWLRQRIIRUFH
HFRQRP\RIHIIRUWIOH[LELOLW\DQGVXVWDLQDELOLW\

The Selection and Maintenance of the Aim


‰ ,QWKHFRQGXFWRIZDUDVDZKROHDQGLQHYHU\PLOLWDU\RSHUDWLRQLWLVHVVHQWLDOWRVHOHFWDQG
GHILQH WKH DLP FOHDUO\  7KH XOWLPDWH DLP PD\ EH DEVROXWH WKH RYHUWKURZ RI D KRVWLOH
JRYHUQPHQWRULWPD\EHPRUHOLPLWHGIRUH[DPSOHWKHUHFRYHU\RIWHUULWRU\$WWKHJUDQGDQG
PLOLWDU\VWUDWHJLFOHYHOVWKHGLUHFWLRQRIRSHUDWLRQVLQSXUVXLWRISROLF\REMHFWLYHVLVWKHUHVXOWRI
FROOHFWLYH GHFLVLRQV WDNHQ E\ VRYHUHLJQ JRYHUQPHQWV RU LQ FRQFHUW ZLWK DOOLHV  2QFH VHOHFWHG
WKH FRXUVH RI DFWLRQ FKRVHQ ZLOO OHDG WR WKH LGHQWLILFDWLRQ RI WKH PLVVLRQ DQG REMHFWLYHV DQG
HVWDEOLVK WKH PLQLPXP VWUDWHJLF OHYHO SDUDPHWHUV DQG FRQVWUDLQWV UHVXOWLQJ IURP SROLWLFDO
GHFLVLRQV

‰ 7KHSXUSRVHKDYLQJEHHQGHILQHGLWLVDOVRIXQGDPHQWDOO\LPSRUWDQWWKDWWKHDLPLVVXVWDLQHG
DQGWKDWWKHDSSOLFDWLRQRIIRUFHLVPDWFKHGWRWKHGHVLUHGHQGVWDWH3ODQVPXVWEHFRQWLQXDOO\

$
FKHFNHG DJDLQVW WKH SXUSRVH RI WKH FDPSDLJQ RU RSHUDWLRQ WR HQVXUH WKDW WKH\ DUH NHSW LQ
KDUPRQ\DQGWKDWWKHDLPUHPDLQVYDOLG

Maintenance of Morale
‰ %HFDXVHVXFFHVVRQRSHUDWLRQVGHSHQGVDVPXFKRQPRUDODVPDWHULDODQGHTXLSPHQWIDFWRUV
KLJK PRUDOH LV SUREDEO\ WKH VLQJOH PRVW LPSRUWDQW HOHPHQW DFURVV WKH VSHFWUXP RI FRQIOLFW
LQFOXGLQJ PLOLWDU\ DFWLYLWLHV LQ SHDFH  0RUDOH IRVWHUV WKH ZLOO WR ZLQ DQG WR ZLWKVWDQG
SURYRFDWLRQDQGDGYHUVLW\DQGLWVXVWDLQVRIIHQVLYHVSLULWDQGFRKHVLRQ,WFDQLQVSLUHWKHDUPHG
IRUFHV IURP WKH ORZHVW UDQNV WR WKH KLJKHVW  *RRG PRUDOH LV SULPDULO\ D PHQWDO VWDWH DQG
GHSHQGV DERYH DOO RQ WUXVW LQ WKH SROLWLFDO DQG PLOLWDU\ OHDGHUVKLS ULJKW WKURXJK WKH FKDLQ RI
FRPPDQG WKHUHIRUH FRPPDQGHUV DW DOO OHYHOV PXVW PDNH LW D KLJK SULRULW\ WR IRVWHU PRUDOH
&RKHVLRQLVDOVRERUQRIKLJKDQGGHPDQGLQJWUDLQLQJVWDQGDUGVDGHWHUPLQDWLRQWRVXFFHHGDQG
DQ HWKLFDOO\ EDVHG FRGH RI SHUVRQDO FRQGXFW LQ SHDFH ZKLFK GRHV QRW WKUHDWHQ RU XQGHUPLQH
FRKHVLRQRQRSHUDWLRQV7KHSURYLVLRQ RI PDWHULDO FRQGLWLRQV LQ WKH FLUFXPVWDQFHV DW WKH WLPH
JLYH D PHDVXUH RI WKH PDQ
V ZRUWK WR WKRVH UHVSRQVLEOH IRU SURYLGLQJ WKRVH FRQGLWLRQV WR WKH
PDQ7KLVKDVDEHDULQJRQPRUDOH

Security
‰ $GHJUHHRIVHFXULW\E\SK\VLFDOSURWHFWLRQDQGLQIRUPDWLRQGHQLDOLVHVVHQWLDOWRDOOPLOLWDU\
RSHUDWLRQV  6HFXULW\ VKRXOG HQDEOH IULHQGO\ IRUFHV WR DFKLHYH WKHLU REMHFWLYHV GHVSLWH WKH
HQHP\
V LQWHUIHUHQFH  $FWLYH PHDVXUHV LQFOXGH WKH GHIHQFH RI EDVHV DQG HQWU\ SRLQWV WKH
PDLQWHQDQFHRIDIDYRXUDEOHDLUVLWXDWLRQWKHSURWHFWLRQRIIODQNVDQGPDLQWHQDQFHRIDGHTXDWH
UHVHUYHV7KHWKUHHSULQFLSOHVRIFRQFHQWUDWLRQRIIRUFHHFRQRP\RIHIIRUWDQGVHFXULW\DUHDOO
FORVHO\LQWHUUHODWHG$WWHPSWVWRJXDUGDJDLQVWHYHU\WKUHDWFRXOGKRZHYHUUHVXOWLQZHDNQHVV
DQGULVNVZLOOKDYHWREHWDNHQLQDFKLHYLQJWKHEDODQFHEHWZHHQWKRVHRSHUDWLRQVZKLFKHQKDQFH
VHFXULW\ SULRU WR DQ RIIHQVLYH DQG WKH DOORFDWLRQ RI UHVRXUFHV WR VHFXULW\ LWVHOI  7KH NH\
PHDVXUHV LQFOXGH SURWHFWLRQ WKH SUHVHUYDWLRQ RI WKH ILJKWLQJ SRWHQWLDO RI D IRUFH RSHUDWLRQDO
VHFXULW\WRGHQ\LQIRUPDWLRQWRWKHHQHP\DQGGHFHSWLRQ

Surprise
‰ 6XUSULVHLVDSRWHQWSV\FKRORJLFDOZHDSRQ,WFDXVHVFRQIXVLRQDQGSDUDO\VLVLQWKHHQHP\
V
FKDLQRIFRPPDQGDQGFDQGHVWUR\WKHFRKHVLRQDQGPRUDOHRIKLVPLOLWDU\XQLWV6XUSULVHPD\
EHDFFRPSOLVKHGHLWKHUE\DUXVHRUE\H[SORLWLQJQHZHTXLSPHQWVWHFKQRORJ\DQGWHFKQLTXHV
,WV HOHPHQWV DUH VHFUHF\ WLPHO\ LQWHOOLJHQFH GHFHSWLRQ FRQFHDOPHQW RULJLQDOLW\ DXGDFLW\ DQG
VSHHG  7LPH LV WKH NH\ IDFWRU  6XUSULVH PD\ EH GLIILFXOW WR DFKLHYH DW WKH VWUDWHJLF OHYHO EXW
HYHQ VR LW PD\ VWLOO EH DFKLHYHG DW WKH RSHUDWLRQDO RU WDFWLFDO OHYHOV  $EVROXWH VXUSULVH LV DQ
LPSRUWDQW ERQXV EXW RSHUDWLRQDO VXUSULVH LV WKH FUXFLDO HIIHFW WR EH DFKLHYHG  6XUSULVH LV D
VLJQLILFDQWZD\RIVHL]LQJWKHLQLWLDWLYHDWDOOOHYHOVRIZDUDOWKRXJKLWWHQGVWREHIRUJRWWHQLQ
SHDFH  ,W FDQQRW EH HIIHFWLYH RQ LWV RZQ DV LW LV D FRQGLWLRQ IRU VXFFHVV QRW VXFFHVV LQ LWVHOI
+RZHYHUKLVWRULFDODQDO\VLVVKRZVWKDWPRUHWKDQDQ\RWKHUVLQJOHIDFWRUVXUSULVHLVWKHPRVW
FUXFLDOSUHFRQGLWLRQWRVXFFHVV

Offensive Action
‰ 2IIHQVLYH DFWLRQ LV WKH FKLHI PHDQV RSHQ WR D FRPPDQGHU WR LQIOXHQFH WKH RXWFRPH RI D
FDPSDLJQ RU EDWWOH  ,W FRQIHUV WKH LQLWLDWLYH RQ WKH DWWDFNHU JLYLQJ KLP WKH IUHHGRP RI DFWLRQ

$
QHFHVVDU\WRVHFXUHDGHFLVLRQ7KHSULQFLSOHRIRIIHQVLYHDFWLRQHPERGLHVDVWDWHRIPLQGZKLFK
EUHHGVWKHGHWHUPLQDWLRQWRJDLQDQGKROGWKHLQLWLDWLYHDQGWRFUHDWHRSSRUWXQLWLHVWRKDUDVVDQG
GHVWUR\WKHHQHP\,QDUPHGFRQIOLFWPDWHULDODQGPRUDOHFRPELQH3ROLWLFDOFRQVWUDLQWVPD\
OLPLWWKHDUHDDQGVFDOHRIWKHDWWDFNVSHUPLWWHGRQHQHP\IRUFHVEXWLQDQ\HYHQWWKHSK\VLFDO
GHVWUXFWLRQ RI KLV IRUFHV LV EXW RQH ZD\ WR GHIHDW KLP  3ROLWLFDO GLSORPDWLF DQG HFRQRPLF
SUHVVXUHVZLOODOVREHEURXJKWWREHDUWKURXJKLQWHUQDWLRQDOERGLHVDQGDSSOLHGWRLQIOXHQFHKLV
GRPHVWLFSXEOLFRSLQLRQ

‰ 1HYHUWKHOHVV WKHUH ZLOO EH FLUFXPVWDQFHV LQ ZKLFK GHIHQVLYH DFWLRQ LV WKH RQO\ IHDVLEOH
DSSURDFK RU WKH EHVW FRXUVH RI DFWLRQ  0RVW FDPSDLJQV ZLOO LQFOXGH D PL[ RI RIIHQVLYH DQG
GHIHQVLYHDFWLRQV7KHFUXFLDOSRLQWLQHLWKHUFLUFXPVWDQFHLVWKHQHHGIRUGHFLVLYHDFWLRQE\WKH
FRPPDQGHU

Concentration of Force
‰ 0LOLWDU\VXFFHVVZLOOQRUPDOO\UHVXOWIURPWKHFRQFHQWUDWLRQRIVXSHULRUIRUFHDWWKHGHFLVLYH
WLPHDQGSODFHZKHWKHUPDWHULDORUSV\FKRORJLFDORUDFRPELQDWLRQRIERWK,WPD\EHYDULRXVO\
DFKLHYHGIRUH[DPSOHE\FDSLWDOLVLQJRQWKHVSHHGIOH[LELOLW\DQGUHDFKRIDLUSRZHURUE\WKH
PDVVLQJRISUHYLRXVO\GLVSHUVHGJURXQGIRUFHV7KHXQGHUO\LQJSULQFLSOHLVWKHFRQFHQWUDWLRQRI
IRUFHDWWKHSRLQWRIPDLQHIIRUWZLWKLQRUEHWZHHQFDPSDLJQVZKLOVWHFRQRPLVLQJHOVHZKHUH
$W WKH PLOLWDU\ VWUDWHJLF OHYHO WKLV SULQFLSOH LPSOLHV WKH DELOLW\ WR PDNH DQG LPSOHPHQW WLPHO\
GHFLVLRQVUDSLGO\WUDQVODWLQJFKDQJLQJSROLF\REMHFWLYHVLQWRUHYLVHGGLUHFWLYHVDQGREMHFWLYHV

Economy of Effort
‰ 7KHFRUROODU\RIFRQFHQWUDWLRQRI IRUFHLVHFRQRP\RI HIIRUW  ,W LV LPSRVVLEOH WR EH VWURQJ
HYHU\ZKHUH DQG LI GHFLVLYH VWUHQJWK LV WR EH FRQFHQWUDWHG DW WKH FULWLFDO WLPH DQG SODFH WKHUH
PXVW EH QR ZDVWHIXO H[SHQGLWXUH RI HIIRUW ZKHUH LW FDQQRW VLJQLILFDQWO\ DIIHFW WKH LVVXH  7KH
DSSOLFDWLRQ RI WKLV SULQFLSOH PD\ EH VXPPHG XS DV SODQQLQJ IRU D EDODQFHG GHSOR\PHQW
FRPELQHGZLWKWKHSUXGHQWDOORFDWLRQRIUHVRXUFHVVWULFWO\UHODWHGWRWKHDLP

‰ 6LQFH PLOLWDU\ IRUFH PD\ EH HPSOR\HG RQ RSHUDWLRQV IRU ZKLFK QR SUHSODQQHG VROXWLRQ
H[LVWV DQG ZLWK OLWWOH SUHSDUDWLRQ WLPH PLOLWDU\ VWUDWHJLF SODQQLQJ PD\ KDYH WR EHJLQ LQ WKH
DEVHQFHRIDFOHDUPLVVLRQDQGFRQFXUUHQWZLWKSROLWLFDODQGGLSORPDWLFDFWLYLWLHV2SWLRQVIRU
IRUFHVWUXFWXUHVZLOOWKHUHIRUHEHHYROXWLRQDU\DQGPD\EHIXUWKHUFRQVWUDLQHGE\FRPSOLFDWHG
FRPPDQG DQG FRQWURO DUUDQJHPHQWV UHVWULFWLYH UXOHV RI HQJDJHPHQW DQG SROLWLFDO OLPLWDWLRQV
(FRQRP\RIHIIRUWPD\DOVRHPEUDFHKLJKYDOXHVWUDWHJLFDQGFRPSRQHQWIRUFHFDSDELOLWLHV

Flexibility
‰ $OWKRXJK WKH DLP PD\ QRW DOWHU D FRPPDQGHU ZLOO EH UHTXLUHG WR H[HUFLVH MXGJHPHQW DQG
IOH[LELOLW\LQPRGLI\LQJSODQVWRWDNHDGYDQWDJHRIIOHHWLQJFLUFXPVWDQFHVRUWRUHIOHFWDFKDQJH
LQSROLWLFDORUPLOLWDU\HPSKDVLV)OH[LELOLW\GHSHQGVXSRQRSHQQHVVRIPLQGDQGVLPSOHSODQV
ZKLFK FDQ HDVLO\ EH PRGLILHG  )OH[LELOLW\ DW WKH PLOLWDU\ VWUDWHJLF OHYHO DOVR FRQIHUV RQ WKH
RSHUDWLRQDO FRPPDQGHU WKH PD[LPXP SRVVLEOH UDQJH RI IUHHGRP RI DFWLRQ RYHU WKH IRUFHV
DVVLJQHGWRRULJLQDWHDQGH[HFXWHSODQVWRPHHWWKHGHVLUHGHQGVWDWH

$
Co-operation
‰ 0RVW PLOLWDU\ RSHUDWLRQV DUH MRLQW HQWHUSULVHV LQYROYLQJ FRRSHUDWLRQ EHWZHHQ WKH VHUYLFHV
FRQFHUQHG EHWZHHQ WKH VHUYLFHV DQG WKH FLYLO DXWKRULWLHV DQG EHWZHHQ DOOLHV  &RRSHUDWLRQ LV
EDVHG RQ WHDP VSLULW DQG WUDLQLQJ DQG HQWDLOV WKH FRRUGLQDWLRQ RI DOO DFWLYLWLHV WR DFKLHYH DQ
RSWLPXPFRPELQHGHIIRUW7KUHHHOHPHQWVDUH HVVHQWLDOWRFRRSHUDWLRQ JRRGZLOODFRPPRQ
DLP DQG D FOHDU GLYLVLRQ RI UHVSRQVLELOLWLHV LQFOXGLQJ DQ XQGHUVWDQGLQJ RI WKH FDSDELOLWLHV DQG
OLPLWDWLRQVRIRWKHUV

‰ ,QFRPELQHGRSHUDWLRQVWKHSROLWLFDOGLPHQVLRQLVDOOHQFRPSDVVLQJEXWDOVRPRUHGLYHUVH
:LWKLQ DOOLDQFHV DQG FRDOLWLRQV QDWLRQV PD\ QRW KDYH LGHQWLFDO LQWHUHVWV EXW WKHUH VKRXOG EH
VXIILFLHQW FRLQFLGHQFH RI LQWHUHVW WR HQVXUH D FRPPRQ SXUSRVH  ,QGLYLGXDO JRDOV DQG LQWHUHVWV
ZLOOQHHGWREHKDUPRQLVHGWKURXJKFRQVHQVXVSDUWLFXODUO\WKRVHUHJDUGLQJWKHGHVLUHGHQGVWDWH
7KH QHHG WR PDLQWDLQ FRQVHQVXV ZLOO EH SDUDPRXQW LQ RUGHU WR SUHVHUYH SROLWLFDO DQG PLOLWDU\
FRKHVLRQDQGXQLW\RIHIIRUWHVVHQWLDOWRVXFFHVV

Sustainability - [formerly called Administration]


‰ 7KH WHUP
$GPLQLVWUDWLRQ
 HQFRPSDVVHG DOO DVSHFWV RI WKH SK\VLFDO PRUDO DQG VSLULWXDO
PDLQWHQDQFHRIDIRUFH6XVWDLQDELOLW\KDVWKHVDPHPHDQLQJ

‰ 7KLVSULQFLSOHLVFRQFHUQHGZLWKWKHVXVWDLQPHQWRIDIRUFHGXULQJHYHU\VWDJHRIDFDPSDLJQ
RU RSHUDWLRQ IURP IRUFH JHQHUDWLRQ WKURXJK GHSOR\PHQW DQG RSHUDWLRQV LQ WKHDWUH WR UHFRYHU\
DQGUHFXSHUDWLRQDIWHUZDUGV ,WLVDOVRFRQFHUQHG ZLWK WKH DELOLW\ RI WKH IRUFH WR PDLQWDLQ DQG
VXVWDLQ WKH QHFHVVDU\ FRPEDW SRZHU IRU WKH GXUDWLRQ UHTXLUHG WR DFKLHYH LWV REMHFWLYHV  ,W
FRQFHUQVWKHVXVWHQDQFHRISHUVRQQHO LQPRUDODVZHOODVSK\VLFDOWHUPV WKHPDLQWHQDQFHDQG
UHSDLU RI PDWHULHO WKH SURYLVLRQ RI FRPEDW VXSSOLHV DQG H[SHQGDEOH FRPPRGLWLHV DQG WKH
HYDFXDWLRQ WUHDWPHQW DQG UHSODFHPHQW RI FDVXDOWLHV  :LWKRXW DGHTXDWH VXVWDLQDELOLW\ D
VLJQLILFDQW SURSRUWLRQ RI WKH PHDQV WR
ILJKWDQGZLQZLOOEHORVW

‰ 6RXQG ORJLVWLFV LV D SUHUHTXLVLWH IRU


WKH VXFFHVV RI DQ\ RSHUDWLRQ  /RJLVWLF
FRQVLGHUDWLRQV DUH RIWHQ WKH GHFLGLQJ
IDFWRU LQ DVVHVVLQJ WKH IHDVLELOLW\ RI DQ
RSHUDWLRQ  $ FOHDU DSSUHFLDWLRQ RI WKH
ORJLVWLF FRQVWUDLQWV LV DV LPSRUWDQW WR D
FRPPDQGHU DV KLV DELOLW\ WR PDNH D
VRXQGHVWLPDWHRIWKHVLWXDWLRQ1RSODQ
FDQ VXFFHHG ZLWKRXW ORJLVWLF VXSSRUW
FRPPHQVXUDWH ZLWK WKH DLP RI WKH
RSHUDWLRQ  ,W IROORZV WKHUHIRUH WKDW D
FRPPDQGHU PXVW KDYH D GHJUHH RI
FRQWURO RYHU WKH ORJLVWLF SODQ ZKLFK
Medical support is an essential element of sustainment. PDWFKHV WKH OHYHO RI UHVSRQVLELOLW\ IRU
WKHRSHUDWLRQ6FDUFHUHVRXUFHVPXVWEH
FRQWUROOHG DW D KLJK OHYHO DQG WKH ORJLVWLF RUJDQLVDWLRQ PXVW EH IOH[LEOH HQRXJK WR UHDFW WR
FKDQJHVLQWKHPRVWHFRQRPLFZD\

$
Annex B
CONFLICT AND LEGALITY

International Law
‰ 7KHUH DUH WZR PDLQ DUHDV RI LQWHUQDWLRQDO ODZ UHOHYDQW WR DUPHG FRQIOLFW  WKH UXOHV ZKLFK
GHWHUPLQHZKHQ IRUFHPD\ EHXVHGE\DVWDWH MXV DG EHOOXP  DQG WKH ODZV RI DUPHG FRQIOLFW
ZKLFKUHJXODWHWKHFRQGXFWRIKRVWLOLWLHVRQFHDQDUPHGFRQIOLFWKDVVWDUWHG MXVLQEHOOR 5XOHV
RILQWHUQDWLRQDOODZPD\GHULYHHLWKHUIURPFXVWRPDU\LQWHUQDWLRQDOODZZKLFKKDVEHHQFUHDWHG
RYHUWLPHE\WKHSUDFWLFHRIVWDWHVRUIURPWUHDWLHV7KHPDMRUWUHDWLHVLQYROYHGDUHWKH&KDUWHU
RIWKH8QLWHG1DWLRQV  WKH+DJXH&RQYHQWLRQV DQG WKH*HQHYD&RQYHQWLRQV
  DQG WKH $GGLWLRQDO 3URWRFROV WR WKH *HQHYD &RQYHQWLRQV    7UHDWLHV DUH ELQGLQJ
RQO\LQGLVSXWHVEHWZHHQVWDWHVWKDWDUHSDUWLHVWRWKHWUHDWLHV9LUWXDOO\DOOVWDWHVDUHPHPEHUVRI
WKH 8QLWHG 1DWLRQV DQG SDUW\ WR WKH *HQHYD &RQYHQWLRQV EXW VRPH VWDWHV KDYH \HW WR EHFRPH
SDUW\ WR WKH $GGLWLRQDO 3URWRFROV  1HYHUWKHOHVV HYHQ LI D WUHDW\ LV QRW ELQGLQJ DV VXFK LWV
SURYLVLRQVPD\EHLPSRUWDQWLIWKH\ DUH UHJDUGHG DV DXWKRULWDWLYH VWDWHPHQWV RI FXVWRPDU\ ODZ
ZKLFKDUHELQGLQJRQDOOVWDWHV0XFKRIWKHMXVDGEHOOXPLVLQFRUSRUDWHGLQWKH8QLWHG1DWLRQV

&KDUWHU

The United Nations


‰ 7KHILUVWSXUSRVHRIWKH8QLWHG1DWLRQVLVGHVFULEHGLQ$UWLFOHRIWKH&KDUWHUDV

7R PDLQWDLQ LQWHUQDWLRQDO SHDFH DQG VHFXULW\ DQG WR WKDW HQG WR WDNH HIIHFWLYH
FROOHFWLYHPHDVXUHVIRUWKHSUHYHQWLRQDQGUHPRYDORIWKUHDWVWRWKHSHDFHDQGIRUWKH
VXSSUHVVLRQRIDFWVRIDJJUHVVLRQRURWKHUEUHDFKHVRIWKHSHDFHDQGWREULQJDERXWE\
SHDFHIXO PHDQV DQG LQ FRQIRUPLW\ ZLWK WKH SULQFLSOHV RI MXVWLFH DQG LQWHUQDWLRQDO ODZ
DGMXVWPHQW RU VHWWOHPHQW RI LQWHUQDWLRQDO GLVSXWHV RU VLWXDWLRQV ZKLFK PLJKW OHDG WR D
EUHDFKRIWKHSHDFH

‰ 7KH &KDUWHU EDQV WKH WKUHDW RU WKH XVH RI IRUFH IRU WKH VHWWOHPHQW RI GLVSXWHV ZKLOH
SUHVHUYLQJWKHLQKHUHQWULJKWRIVHOIGHIHQFH ,WHPSRZHUVWKH6HFXULW\&RXQFLOWRLQYHVWLJDWH
WKUHDWVWRLQWHUQDWLRQDOSHDFHDQGVHFXULW\DQGWRDXWKRULVHWKHXVHRIPLOLWDU\IRUFHWRPDLQWDLQ
RUUHVWRUHSHDFHDQGVHFXULW\

x $UWLFOH  SURKLELWV WKH WKUHDW RU WKH XVH RI IRUFH DJDLQVW WKH WHUULWRULDO LQWHJULW\ RU
SROLWLFDOLQGHSHQGHQFHRIDQ\VWDWH6WDWHVPXVWVHWWOHWKHLULQWHUQDWLRQDOGLVSXWHVE\
SHDFHIXOPHDQV

x $UWLFOH  GHDOV ZLWK WKH VHWWOHPHQW RI GLVSXWHV E\ D YDULHW\ RI SHDFHIXO PHDVXUHV
LQFOXGLQJ QHJRWLDWLRQ HQTXLU\ PHGLDWLRQ FRQFLOLDWLRQ DUELWUDWLRQ DQG MXGLFLDO
VHWWOHPHQW

x $UWLFOHHPSRZHUVWKH8QLWHG1DWLRQV6HFXULW\&RXQFLOWRGHWHUPLQHWKHH[LVWHQFH
RIWKUHDWVWRWKHSHDFHDQGPDNHUHFRPPHQGDWLRQVRUGHFLGHZKDWPHDVXUHVQHHGWR
EHWDNHQWRUHVWRUHLQWHUQDWLRQDOSHDFHDQGVHFXULW\6XFKPHDVXUHVFDQ LQFOXGH LQ


The Charter prohibits the threat or the use of force, rather than attempting to prohibit recourse to war. This avoids the problems
which the League of Nations suffered in deciding whether a particular conflict constituted war in the formal sense.

%
WKH ILUVW LQVWDQFH SURYLVLRQDO PHDVXUHV WR SUHYHQW DQ DJJUDYDWLRQ RI WKH VLWXDWLRQ
$UWLFOH HFRQRPLFDQGGLSORPDWLFSUHVVXUH $UWLFOH DQGVXFKDFWLRQE\DLU
VHD RU ODQG IRUFHV DV PD\ EH QHFHVVDU\ WR PDLQWDLQ RU UHVWRUH LQWHUQDWLRQDO SHDFH
DQGVHFXULW\ $UWLFOH

x $UWLFOH  SUHVHUYHV WKH LQKHUHQW ULJKW RI LQGLYLGXDO RU FROOHFWLYH VHOIGHIHQFH LI DQ
DUPHG DWWDFN RFFXUV DJDLQVW D PHPEHU  7KH ULJKW RI VHOI GHIHQFH LV DUJXDEO\ WKH
IXQGDPHQWDO SULQFLSOH WR ZKLFK DOO EHOOLJHUHQWV UHIHU  ,QHYLWDEO\ WKH SUHFLVH
FLUFXPVWDQFHVLQZKLFKDQDUPHGDWWDFNPD\EHFRQVWUXHGWRKDYHRFFXUUHGDQGWKH
GHJUHHRIIRUFHZKLFKLWLVOHJLWLPDWHWRXVHLQVHOIGHIHQFHDUHLVVXHVZKLFKFDQOHDG
WR OHJDO GHEDWH  7KH XVH RI IRUFH IRU VHOI GHIHQFH LV VXEMHFW WR WKH ODZV RI DUPHG
FRQIOLFWSDUWLFXODUO\WKHSULQFLSOHRISURSRUWLRQDOLW\

x $UWLFOH  SUHVHUYHV WKH RSWLRQ RI WKH SDFLILF VHWWOHPHQW RI ORFDO GLVSXWHV WKURXJK
UHJLRQDO DUUDQJHPHQWV RU DJHQFLHV IRU H[DPSOH WKH 2UJDQL]DWLRQ IRU 6HFXULW\ DQG
&RRSHUDWLRQ LQ (XURSH WKH 2UJDQL]DWLRQ RI $PHULFDQ 6WDWHV WKH 2UJDQL]DWLRQ RI
$IULFDQ8QLW\DQGWKH(FRQRPLF&RPPXQLW\RI:HVW$IULFD$UWLFOHVWDWHVWKDW
WKH 6HFXULW\ &RXQFLO VKDOO ZKHUH DSSURSULDWH XWLOLVH VXFK UHJLRQDO DUUDQJHPHQWV
RUDJHQFLHVIRUHQIRUFHPHQWDFWLRQXQGHULWVDXWKRULW\+RZHYHULWVWLSXODWHVWKDW
UHJLRQDORUJDQL]DWLRQVPXVWQRWXVHHQIRUFHPHQWDFWLRQZLWKRXWWKHDXWKRUL]DWLRQRI
WKH6HFXULW\&RXQFLO

‰ 7KH 6HFXULW\ &RXQFLO  7KH 6HFXULW\ &RXQFLO FRQVLVWV RI  SHUPDQHQW PHPEHUV ZLWK WKH
ULJKW RI YHWR &KLQD )UDQFH 5XVVLD 8. DQG 86$  DQG  QRQSHUPDQHQW PHPEHUV  ,W KDV
DXWKRULW\ WR LQYHVWLJDWH DQ\ VLWXDWLRQ ZKLFK WKUHDWHQV LQWHUQDWLRQDO SHDFH DQG VHFXULW\ DQG WKH
XQLTXHDXWKRUL]DWLRQIRUXVHRIIRUFHDJDLQVWDVWDWH7KH816HFUHWDU\*HQHUDOLVUHVSRQVLEOH
WR WKH 6HFXULW\ &RXQFLO IRU WKH SODQQLQJ DQG  FRQGXFW RI  SHDFHNHHSLQJ RSHUDWLRQV  +H ZLOO
QRUPDOO\DSSRLQWD6SHFLDO5HSUHVHQWDWLYHDVWKHRYHUDOO+HDGRI0LVVLRQVXSSRUWHGE\D)RUFH
&RPPDQGHU  (QIRUFHPHQW RSHUDWLRQV PD\ EH LPSOHPHQWHG WKURXJK RWKHU RUJDQL]DWLRQV IRU
H[DPSOH 1$72  RU FRDOLWLRQV DFWLQJ XQGHU WKH DXWKRULW\ RI WKH 6HFXULW\ &RXQFLO  'XULQJ WKH
&ROG :DU WKH HIIHFWLYHQHVV RI WKH 6HFXULW\ &RXQFLO ZDV FRQVWUDLQHG E\ (DVW:HVW ULYDOU\
OHDGLQJWRIUHTXHQWXVHRIWKHYHWR,QFRQVHTXHQFHLWGLGQRWDXWKRULVHVLJQLILFDQWHQIRUFHPHQW
PHDVXUHVDSDUWIURP.RUHDDQGWKH&RQJR7KHHQGRIWKH&ROG:DUOHGWRDQHZVSLULWRIFR
RSHUDWLRQEHWZHHQWKH3HUPDQHQW)LYHDQGDGHWHUPLQDWLRQWRVROYHEUHDNGRZQVLQLQWHUQDWLRQDO
SHDFHDQGVHFXULW\7KLVKDVOHGWRDPXFKJUHDWHU8QLWHG1DWLRQVFRPPLWPHQWWRSHDFHNHHSLQJ
DQG HQIRUFHPHQW RSHUDWLRQV  7KH 8QLWHG 1DWLRQV KDV QRZ GHYHORSHG D ZLGH UDQJH RI
LQVWUXPHQWVIRUFRQWUROOLQJDQGUHVROYLQJFRQIOLFWVEHWZHHQDQGZLWKLQVWDWHVLQFOXGLQJ

x 3UHYHQWLYH'LSORPDF\DQG3HDFHPDNLQJ
x 3HDFHNHHSLQJ
x 3RVW&RQIOLFW3HDFHEXLOGLQJ
x 'LVDUPDPHQW
x 6DQFWLRQV
x (QIRUFHPHQW$FWLRQ


Each year the General Assembly elects 5 non-permanent members for a period of 2 years.


UN Secretary General, Supplement to an Agenda for Peace, 3 Jan 95

%
‰ 7KLVOHJDOUHJLPHPHDQVWKDWLQWKHDEVHQFHRIDPDQGDWHIURPWKH8QLWHG1DWLRQVRUVRPH
RWKHU LQWHUQDWLRQDO ERG\ RQO\ VHOI GHIHQFH RIIHUV D FOHDU OHJDO EDVLV IRU RQH VWDWH WR XVH IRUFH
DJDLQVWDQRWKHU0RUHRYHUHQIRUFHPHQWDFWLRQDXWKRULVHGE\WKH6HFXULW\&RXQFLOPLJKWMXVWLI\
PRUH H[WHQVLYH PHDVXUHV WR UHHVWDEOLVK SHDFH DQG VHFXULW\ WKDQ ZRXOG EH MXVWLILHG E\ VHOI
GHIHQFH

‰ 7KH OHJDO EDVLV IRU DQ RSHUDWLRQ KHOSV WR VKDSH WKH VFRSH RI SHUPLVVLRQ WR XVH IRUFH WKH
PLOLWDU\ REMHFWLYHV DQG WKXV WKH GHJUHH RI IRUFH ZKLFK PD\ EH XVHG  7KHUHIRUH WKH UXOHV RI
LQWHUQDWLRQDOODZRQUHVRUWWRIRUFHKDYHDGLUHFWEHDULQJRQUXOHVRIHQJDJHPHQW

The Laws of Armed Conflict


‰ 7KHODZVRIDUPHGFRQIOLFWDSSO\ZLWKHTXDOIRUFHWRERWKVLGHVLQDFRQIOLFW7KH\LPSRVH
VSHFLILFREOLJDWLRQVRQDOOPHPEHUVRIWKH $UPHG)RUFHV7KHUHIRUHFRPPDQGHUVDW DOOOHYHOV
KDYHDUHVSRQVLELOLW\WRHQVXUHWKDWWKHLUVXERUGLQDWHVFRPSO\ZLWKWKRVHREOLJDWLRQV7KHEDVLF
SULQFLSOHVRIWKHODZVRIDUPHGFRQIOLFWDUH

x 'LVWLQFWLRQ  $Q LPSRUWDQW GLVWLQFWLRQ LV GUDZQ EHWZHHQ FRPEDWDQWV DQG FLYLOLDQV
&RPEDWDQWV DUH PHPEHUV RI WKH XQLIRUPHG PLOLWDU\ IRUFHV RI D VWDWH WKH\ PD\
ODZIXOO\ HQJDJH LQ KRVWLOLWLHV DQG WKH\ DUH OHJLWLPDWH REMHFWV RI DWWDFN  +RZHYHU
PHGLFDODQGUHOLJLRXVSHUVRQQHODQGPHPEHUVRIWKHDUPHGIRUFHVZKRDUHQRORQJHU
HQJDJHG LQ KRVWLOLWLHV EHFDXVH RI ZRXQGV RU FDSWXUH RU DV D UHVXOW RI DEDQGRQLQJ D
VKLSRUDLUFUDIWDUHQRWOHJLWLPDWHWDUJHWV,IFDSWXUHGWKH\DUHHQWLWOHGWREHWUHDWHG
DVSULVRQHUVRIZDU0HPEHUVRILUUHJXODUIRUFHVDUHHQWLWOHGWRFRPEDWDQWVWDWXVRQO\
LI WKH\ PHHW FHUWDLQ FULWHULD  7KH\ PXVW EH PHPEHUV RI D IRUFH ZKLFK LV XQGHU
FRPPDQG RI D SHUVRQ UHVSRQVLEOH IRU KLV VXERUGLQDWHV DQG WKH\ PXVW  ZHDU D IL[HG
GLVWLQFWLYH VLJQ UHFRJQLVDEOH DW D GLVWDQFH DQG FDUU\ DUPV RSHQO\  &LYLOLDQV PXVW
QRWEHWKHREMHFWRIDWWDFNDQGPXVWEHSURWHFWHGDVIDUDVSRVVLEOH7KH\KDYHQR
ULJKWWRHQJDJHLQKRVWLOLWLHV,IWKH\GRVRWKH\DUHODUJHO\XQSURWHFWHGE\WKHODZRI
DUPHGFRQIOLFWWKH\KDYHQRULJKWWRSULVRQHURIZDUVWDWXVDQGWKH\PD\EHWULHGDQG
SXQLVKHG

x 3URSRUWLRQDOLW\  ,Q FRQGXFWLQJ DQ RSHUDWLRQ PLOLWDU\ FRPPDQGHUV DQG SODQQHUV


PXVW HQVXUH WKDW ORVV RI OLIH RU GDPDJH WR SURSHUW\ LV LQ SURSRUWLRQ WR WKH PLOLWDU\
DGYDQWDJHWREHJDLQHG

x 0LOLWDU\ 1HFHVVLW\  7KH SULQFLSOH RI PLOLWDU\ QHFHVVLW\ VWDWHV WKDW D FRPEDWDQW LV
MXVWLILHG LQ XVLQJ WKRVH PHDVXUHV QRW IRUELGGHQ E\ LQWHUQDWLRQDO ODZ ZKLFK DUH
LQGLVSHQVDEOHIRUVHFXULQJFRPSOHWHVXEPLVVLRQRIDQHQHP\DWWKHHDUOLHVWPRPHQW
0LOLWDU\ QHFHVVLW\ UHTXLUHV FRPEDW IRUFHV WR HQJDJH LQ RQO\ WKRVH DFWV QHFHVVDU\ WR
DFFRPSOLVKDOHJLWLPDWHPLOLWDU\REMHFWLYH

x 8QQHFHVVDU\ 6XIIHULQJ 0HWKRGV RU PHDQV RI ZDUIDUH ZKLFK PD\ EH H[SHFWHG WR
FDXVH XQQHFHVVDU\ VXIIHULQJ RU VXSHUIOXRXV LQMXU\ DUH SURKLELWHG  7KLV SULQFLSOH
SURYLGHVDJHQHUDO\DUGVWLFNDJDLQVWZKLFKDOOZHDSRQVDQGPHWKRGVRIZDUIDUHPXVW
EHMXGJHG ,WGRHVQRWVHHNWRSUHYHQWWKHLQIOLFWLRQRILQMXU\ZKLFKLVDQLQKHUHQW
IHDWXUHRIZDUEXWUDWKHUWKHLQIOLFWLRQRILQMXULHVRUVXIIHULQJZKLFKVHUYHQRXVHIXO
PLOLWDU\SXUSRVH

%
x 'LVFULPLQDWLRQ ,WLVSURKLELWHGWRXVHPHWKRGVRUPHDQVRIZDUIDUHZKLFKFDQQRW
EH GLUHFWHG DJDLQVW D VSHFLILF PLOLWDU\ REMHFWLYH DQG DUH WKHUHIRUH OLNHO\ WR VWULNH
FLYLOLDQVDQGPLOLWDU\REMHFWLYHVZLWKRXWGLVWLQFWLRQ

x 7UHDFKHU\7KLVSULQFLSOHSURKLELWVWUHDFKHURXVPHWKRGVRIZDUIDUHVXFKDVWKHXVH
RI WKH 5HG &URVV HPEOHP WR VKLHOG PLOLWDU\ RSHUDWLRQV RU  WKH ZHDULQJ RI HQHP\
XQLIRUPLQFRPEDW

‰ 7DUJHWLQJ  $ NH\ LVVXH IRU FRPPDQGHUV DQG SODQQHUV LV GHFLGLQJ ZKDW FRQVWLWXWHV D
OHJLWLPDWHWDUJHWDQGKRZLWPD\EHDWWDFNHG7KLVUHYROYHVDURXQGWKHSULQFLSOHVRIGLVWLQFWLRQ
DQGSURSRUWLRQDOLW\$WWDFNVVKRXOGEHOLPLWHGWRFRPEDWDQWVDQGRWKHUPLOLWDU\REMHFWLYHV7KH
FLYLOLDQ SRSXODWLRQ DQG FLYLOLDQ REMHFWV PXVW QRW EH GHOLEHUDWHO\ WDUJHWHG WKH PRUDOH RI DQ
HQHP\
VFLYLOLDQSRSXODWLRQLVQRWDOHJLWLPDWHWDUJHWDQGDWWDFNVGHVLJQHGWRVSUHDGWHUURUDPRQJ
WKHFLYLOLDQSRSXODWLRQDUHH[SUHVVO\SURKLELWHG(YHQPLOLWDU\REMHFWLYHVVKRXOGQRWEHWDUJHWHG
LI DQ DWWDFN LV OLNHO\ WR FDXVH FROODWHUDO  FLYLOLDQ FDVXDOWLHV RU  GDPDJH ZKLFK ZRXOG EH
H[FHVVLYH LQ UHODWLRQ WR WKH GLUHFW PLOLWDU\ DGYDQWDJH ZKLFK WKH DWWDFN LV H[SHFWHG WR SURGXFH
7KHODZVWLSXODWHVWKDWWKHPLOLWDU\ZRUWKRIWKHWDUJHWQHHGVWREHFRQVLGHUHGLQUHODWLRQWRWKH
FLUFXPVWDQFHVDWWKHWLPH7KHUHIRUHDFRPPDQGHUQHHGVWRKDYHDQXSWRGDWHDVVHVVPHQWRI
WKH VLJQLILFDQFH RI D WDUJHW DQG WKH YDOXH RI DWWDFNLQJ LW  ,I WKHUH LV D FKRLFH RI ZHDSRQV RU
PHWKRGVRIDWWDFNDYDLODEOHDFRPPDQGHUVKRXOGVHOHFWWKRVHZKLFKDUHPRVWOLNHO\WRDYRLGRU
DWOHDVWPLQLPLVHLQFLGHQWDOFLYLOLDQFDVXDOWLHVRUGDPDJH+RZHYHUKHLVHQWLWOHGWRWDNHLQWR
DFFRXQWIDFWRUVVXFKDVKLVVWRFNVRIGLIIHUHQWZHDSRQVDQGOLNHO\IXWXUHGHPDQGVWKHWLPHOLQHVV
RIDWWDFNDQGULVNVWRKLVRZQIRUFHV1HYHUWKHOHVVWKHUHPD\EHRFFDVLRQVZKHQDFRPPDQGHU
ZLOOKDYHWRDFFHSWDKLJKHUOHYHORIULVNWRKLVRZQIRUFHVLQRUGHUWRDYRLGRUUHGXFHFROODWHUDO
GDPDJHWRWKHHQHP\
VFLYLOSRSXODWLRQ

‰ :HDSRQV %DQV  ,Q DFFRUGDQFH ZLWK WKH SULQFLSOH RI PLQLPLVLQJ XQQHFHVVDU\ VXIIHULQJ
YDULRXVWUHDWLHVEDQRUUHVWULFWWKHXVHRIFHUWDLQW\SHVRIZHDSRQV7KHVHLQFOXGHFKHPLFDODQG
ELRORJLFDOZHDSRQVZHDSRQVZKLFKLQMXUHZLWKIUDJPHQWVZKLFKFDQQRWEHGHWHFWHGE\;UD\V
ODVHUZHDSRQVGHVLJQHGWRFDXVHSHUPDQHQWEOLQGQHVVWR XQHQKDQFHG YLVLRQ VRIW QRVHG EXOOHWV
DQGFHUWDLQXVHVRIPLQHVDQGERRE\WUDSV

‰ 7KH(QYLURQPHQW  7KH (QYLURQPHQWDO 0RGLILFDWLRQ 7UHDW\   LV LQWHQGHG WR SUHYHQW
WKH GHOLEHUDWH PDQLSXODWLRQ RI WKH HQYLURQPHQW DV D PHWKRG RI ZDUIDUH ZKLOH WKH $GGLWLRQDO
3URWRFRO DOVR   VHHNV WR SUHYHQW LQFLGHQWDO GDPDJH WR WKH HQYLURQPHQW IURP WKH XVH RI
ZHDSRQVDJDLQVWRWKHUWDUJHWV

‰ 3ULVRQHUV RI :DU WKH 6LFN DQG :RXQGHG  3ULVRQHUV RI ZDU DUH GHWDLQHG DIWHU FDSWXUH
VROHO\ WR SUHYHQW WKHP IURP UHMRLQLQJ WKH HQHP\
V IRUFHV  7KH\ PXVW EH UHPRYHG IURP WKH
FRPEDW]RQHDQGDUHDVRIGDQJHUDWWKHHDUOLHVWRSSRUWXQLW\DQGPXVWQRWEHLOOWUHDWHGDEXVHG
LQVXOWHG RU H[SRVHG WR SXEOLF FXULRVLW\  7KH\ PXVW EH UHOHDVHG DQG UHSDWULDWHG ZLWKRXW GHOD\
DIWHU DFWLYH KRVWLOLWLHV KDYH ILQLVKHG  7KHUH LV D GXW\ WR UHVSHFW DQG SURWHFW WKH VLFN DQG
ZRXQGHG7KXVDVWDWHVKRXOGFROOHFWDQGFDUHIRUHQHP\ZRXQGHGZLWKQRGLVWLQFWLRQEHWZHHQ
WKHPDQGWKHVWDWH
VRZQZRXQGHG


Additional Protocol 1 to the Geneva Convention, Article 51(2). The new rules introduced by this Protocol are not intended to have
any effect on and do not regulate the use of nuclear weapons (c.f. UK Misc 19 (1977), Cmnd. 6927 and C Pilloud et al,
'Commentary on the additional Protocols of 8 June 1977', ICRC, 1987).

%
Annex C

COLLECTIVE SECURITY AND DEFENCE

‰ 7KH,QVWLWXWLRQV7KH8QLWHG.LQJGRPSXUVXHVFROOHFWLYHVHFXULW\DQGGHIHQFHWKURXJKWKH
UDQJH RI LQWHUORFNLQJ LQVWLWXWLRQV VKRZQ )LJXUH  ZLWKLQ WKH IUDPHZRUN RI VWDQGDUGV RI
EHKDYLRXU HVWDEOLVKHG E\ WKH 8QLWHG 1DWLRQV  DQG RWKHU ERGLHV  7KH 8QLWHG .LQJGRP
V
LQYROYHPHQWLQFROOHFWLYHGHIHQFHLVIRFXVHGRQ(XURSHDQGWKH$WODQWLFEXWLWDOVRKDVDZLGHU
GLPHQVLRQ

‰ 1$72 DQG WKH $WODQWLF 5HODWLRQVKLS  8QGHUSLQQLQJ WKH $WODQWLF 5HODWLRQVKLS EHWZHHQ
(XURSH DQG 1RUWK $PHULFD DUH VKDUHG LQWHUHVWV LQ WKH UXOH RI ODZ SDUOLDPHQWDU\ GHPRFUDF\
PDUNHWHFRQRPLHVDQGDVKDUHGFXOWXUDOKHULWDJH6LQFHWKH6HFRQG:RUOG:DUWKHUHODWLRQVKLS
KDVEHHQH[SUHVVHGPRVWLPSRUWDQWO\LQFRPPRQGHIHQFHDQGVHFXULW\LQVWLWXWLRQV3UHHPLQHQW
DPRQJWKHVHLVWKH1RUWK$WODQWLF7UHDW\2UJDQLVDWLRQ 1$72 ZKLFKLVDSROLWLFDOFRPPXQLW\
RI QDWLRQV FRPPLWWHG WR SURPRWLQJ VKDUHG YDOXHV DQG GHIHQGLQJ FRPPRQ LQWHUHVWV  7KH
FRUQHUVWRQHRI1$72LV$UWLFOHRIWKH:DVKLQJWRQ7UHDW\ZKLFKVWDWHVWKDWDQDWWDFNRQRQH
RUPRUHPHPEHURIWKH$OOLDQFHLQ(XURSHRU1RUWK$PHULFDVKDOOEHFRQVLGHUHGDVDQDWWDFNRQ
DOOPHPEHUV1$72UHPDLQVIXQGDPHQWDOWRWKHGHIHQFHDQGVHFXULW\QHHGVRIQDWLRQVRQERWK
VLGHV RI WKH $WODQWLF  ,W SURYLGHV D SROLWLFDO EDVLV IRU EULQJLQJ IRUFHV WRJHWKHU LQ D PLOLWDULO\
HIIHFWLYH FRDOLWLRQ  ,Q SDUWLFXODU WKH 8QLWHG 6WDWHV
 FRPPLWPHQW WR (XURSHDQ VHFXULW\ LV
GHPRQVWUDWHGE\IRUFHV LQFOXGLQJQXFOHDUIRUFHV EHLQJEDVHGIRUZDUGLQ(XURSH

‰ 1$72
V(YROXWLRQ&ROOHFWLYHGHIHQFHUHPDLQVWKHEDVLVRI1$72
VDFWLYLWLHV+RZHYHU
$OOLDQFHVHFXULW\LQWHUHVWVFDQEHDIIHFWHGE\ULVNVRIDZLGHUQDWXUHLQFOXGLQJSUROLIHUDWLRQRI
ZHDSRQVRIPDVVGHVWUXFWLRQGLVUXSWLRQRIWKHIORZRIYLWDOUHVRXUFHVDQG DFWLRQVRIWHUURULVP
DQGVDERWDJH7KHUHIRUHWKH$OOLDQFHFRQWLQXHVWRHYROYHLQUHVSRQVHWRFKDQJHVLQWKHVHFXULW\
HQYLURQPHQW  7KH PDLQ VWUDQGV WR WKLV HYROXWLRQ DUH WR DGDSW SURFHGXUHV DQG VWUXFWXUHV LQ
SDUWLFXODU WR HQDEOH WKH $OOLDQFH WR XQGHUWDNH QHZ FULVLV PDQDJHPHQW PLVVLRQV XQGHU WKH
DXVSLFHV RI WKH 8QLWHG 1DWLRQV DQG WKH 2UJDQLVDWLRQ IRU 6HFXULW\ DQG &RRSHUDWLRQ LQ (XURSH
DQGWRGHYHORSDFRRSHUDWLYHVHFXULW\UHODWLRQVKLSZLWK5XVVLDDQGWKHFRXQWULHVRIFHQWUDODQG
HDVWHUQ(XURSHEXLOGLQJRQ3DUWQHUVKLSIRU3HDFH

‰ (XURSHDQ 'HIHQFH  (XURSHDQ GHIHQFH KDV DW LWV FRUH D VWURQJ 1$72 ZLWK IXOO 8QLWHG
6WDWHV
 FRPPLWPHQW  7KH GHFLVLRQ LQ WKH 1RUWK $WODQWLF &RXQFLO
V %HUOLQ GHFODUDWLRQ RI -XQH
 WR URRW D (XURSHDQ VHFXULW\ DQG GHIHQFH LGHQWLW\ ZLWKLQ 1$72 GHPRQVWUDWHV ERWK
(XURSHDQ FRPPLWPHQW WR WKH $OOLDQFH DQG WKH SROLWLFDO UHDGLQHVV RI (XURSHDQ $OOLHV WR
XQGHUWDNHRSHUDWLRQVLQZKLFK1$72DVDZKROHPLJKWQRWZLVKWREHLQYROYHG0HPEHUVKLSRI
WKH :HVWHUQ (XURSHDQ 8QLRQ EULQJV FROOHFWLYH GHIHQFH JXDUDQWHHV DQG REOLJDWLRQV XQGHU WKH
7UHDW\ RI %UXVVHOV  7KH :HVWHUQ (XURSHDQ 8QLRQ DOVR KDV NH\ UROHV WR SOD\ LQ SURYLGLQJ WKH
SROLWLFDO FRQWURO DQG VWUDWHJLF GLUHFWLRQ IRU (XURSHDQ RSHUDWLRQV DQG LQ IRUPLQJ WKH GHIHQFH
FRPSRQHQWRIWKH(XURSHDQ8QLRQ7KH3HWHUVEHUJ'HFODUDWLRQ RI  VHWV RXW  WKH W\SHV RI


Following such an attack each member will take such action as it deems necessary, including the use of armed force, to restore
and maintain the security of the North Atlantic area. NATO Handbook Page 235.


Partnership for Peace helps Partner nations to prepare their forces to operate alongside NATO forces in peace support and
humanitarian operations. It also prepares those states that aspire to membership of NATO, and offers states which may never join
the opportunity of a substantial relationship with the Alliance.

&
WDVNRQZKLFKWKH:HVWHUQ(XURSHDQ8QLRQPLJKWHPSOR\LWVPLOLWDU\FDSDELOLWLHVSULQFLSDOO\
SHDFHNHHSLQJDQGKXPDQLWDULDQWDVNV1$72KDVDJUHHGWRPDNHDYDLODEOHFRPPRQDVVHWVDQG
GHSOR\DEOHKHDGTXDUWHUVLQVXSSRUWRI:HVWHUQ(XURSHDQ8QLRQRSHUDWLRQV

‰ 7KH 2UJDQLVDWLRQ IRU 6HFXULW\ DQG &RRSHUDWLRQ LQ (XURSH  7KH 2UJDQLVDWLRQ IRU
6HFXULW\ DQG &RRSHUDWLRQ LQ (XURSH FRQWULEXWHV WR VHFXULW\ E\ SURPRWLQJ UHVSHFW IRU
GHPRFUDF\KXPDQULJKWVDQGWKHUXOHRIODZ,WVDUHDRIFRPSDUDWLYHDGYDQWDJHLVLQSURYLGLQJ
HDUO\ ZDUQLQJ RQ WHQVLRQ IRU H[DPSOH RQ PLQRULWLHV ZKLFK FRXOG OHDG WR FRQIOLFW  ,W LV DOVR
LQFUHDVLQJO\HIIHFWLYHLQFRQIOLFWPDQDJHPHQWDQGUHVROXWLRQ

‰ 7KH (YROXWLRQ RI (XURSHDQ 6HFXULW\ DQG 'HIHQFH  7KH 7UHDW\ RQ (XURSHDQ 8QLRQ
HVWDEOLVKHG D FRPPRQ IRUHLJQ DQG VHFXULW\ SROLF\  8QGHU WKLV SROLF\ WKH :HVWHUQ (XURSHDQ
8QLRQPD\EHUHTXHVWHGWRLPSOHPHQWGHFLVLRQVDQGDFWLRQRIWKH(XURSHDQ8QLRQZKLFKKDYH
GHIHQFH LPSOLFDWLRQV  ,W VHHPV OLNHO\ WKDW WKH (XURSHDQ VHFXULW\ DQG GHIHQFH DUFKLWHFWXUH ZLOO
FRQWLQXHWRHYROYH,WLVGLIILFXOWWRSUHGLFWSUHFLVHO\KRZWKLVZLOOKDSSHQEXWFHUWDLQWKLQJVDUH
FOHDU  7KH 8QLWHG .LQJGRP
V VHFXULW\ LV LQH[WULFDEO\ OLQNHG ZLWK WKDW RI (XURSH  (XURSH
V
VWDELOLW\ VHFXULW\ DQG DELOLW\ WR GHWHU DQG GHIHQG DJDLQVW H[WHUQDO DJJUHVVLRQ UHVW IRU WKH
IRUHVHHDEOHIXWXUHSULPDULO\RQWKH(XURSHDQ8QLRQDQG1$727KHFRQWLQXHGVXSSRUWRIWKH
8QLWHG6WDWHVZLOOEHHVVHQWLDOWRFRXQWHUDPDMRUPLOLWDU\WKUHDWWR(XURSH'HYHORSPHQWRIWKH
YDULRXVDOOLDQFHVDQGLQVWLWXWLRQVQHHGVWRDLPDWHQKDQFLQJWKHVHFXULW\RIDOO(XURSHDQQDWLRQV

‰ &RDOLWLRQ 2SHUDWLRQV  &RDOLWLRQ RSHUDWLRQV XQGHU WKH DHJLV RI WKH 8QLWHG 1DWLRQV RU D
5HJLRQDO2UJDQLVDWLRQPD\EHOHGE\1$72WKH:HVWHUQ(XURSHDQ8QLRQRUDSRZHUIXOQDWLRQ
VXFK DV WKH 8QLWHG 6WDWHV  ZKLFK SURYLGHV WKH IUDPHZRUN IRU WKH FRDOLWLRQ IRUFH  7KH\ DUH
OLNHO\WRSUHVHQWPRUHFRPSOH[LVVXHVWKDQQDWLRQDORSHUDWLRQVRUWKRVHFRQGXFWHGXQGHU$UWLFOH
 RI WKH :DVKLQJWRQ 7UHDW\  ,W ZLOO EH PRUH GLIILFXOW WR DJUHH RQ D FRPPRQ SROLWLFDO DLP
PLOLWDU\ REMHFWLYHV DQG UXOHV RI HQJDJHPHQW  &RPPDQG DQG FRQWURO DUUDQJHPHQWV PD\ EH
FRPSOH[ZLWKYDU\LQJGHJUHHVRIQDWLRQDOSROLWLFDOLQYROYHPHQWLQWKHGHWDLOHGHPSOR\PHQWRI
GLIIHUHQWFRQWLQJHQWV


For example, the Western European Union played a large part in naval embargo operations during the conflicts in the Gulf and in
former Yugoslavia.

&
The Framework of Security
Oganisations in Europe

EU Ireland (2)

Austria (2,4) PfP


Finland (2,4) WEU
Sweden (2,4)

Denmark (2)
Belgium France NATO NACC
Germany Greece Albania
Italy Luxembourg United States Armenia
Netherlands Portugal Canada Azerbaijan
Spain United Kingdom Belarus
Norway (1) Georgia
Turkey (1) Kazakhstan
Iceland (1) Kyrgyzstan
Moldova
Bulgaria (3) Estonia (3) Russia
Hungary (3) Latvia (3) Turkmenistan
Lithuania (3) Poland (3) Uzbekistan
Romania (3) Slovakia (3) Ukraine
Czech Republic (3) Slovenia (3,4)

OSCE Bosnia-Herzegovina Monaco


Croatia San Marino
Cyprus Switzerland
Holy See F.R. Yugoslavia (5)
Liechtenstein Tajikistan

EU: European Union (1) Associate Members of WEU


NACC: North Atlantic Co-operation Council (2) Observers of WEU
NATO: North Atlantic Treaty Organisation (3) Associate Parners of WEU
OSCE: Organisation on Security and Co-operation in Europe (4) Observer of NACC
PfP: Partnership for Peace (5) Membership suspended
WEU: Western European Union
WEAG: Western European Armaments Group

Figure 3
Annex D

COMMAND AND CONTROL ARRANGEMENTS


‰ 1DWLRQDO-RLQW2SHUDWLRQV  7KH &KLHI RI -RLQW 2SHUDWLRQV ZLOO QRUPDOO\ EH DSSRLQWHG DV
-RLQW &RPPDQGHU IRU MRLQW RU SRWHQWLDOO\ MRLQW RSHUDWLRQV DVVLJQHG WR WKH 3HUPDQHQW -RLQW
+HDGTXDUWHUV  ,Q VRPH FLUFXPVWDQFHV WKH &KLHI RI WKH 'HIHQFH 6WDII PD\ DSSRLQW RQH RI WKH
RSHUDWLRQDO &RPPDQGHUVLQ&KLHI DV -RLQW &RPPDQGHU ZLWK WKH &KLHI RI -RLQW 2SHUDWLRQV DV
'HSXW\ -RLQW &RPPDQGHU UHVSRQVLEOH IRU WKH GD\WRGD\ FRQGXFW RI WKH RSHUDWLRQ  7KH -RLQW
&RPPDQGHU ZLOO XVXDOO\ UHFHLYH GHOHJDWHG 2SHUDWLRQDO &RPPDQG RI DOO DVVLJQHG IRUFHV DQG
ZLOO LQ WXUQ GHOHJDWH  2SHUDWLRQDO &RQWURO WR D -RLQW )RUFH &RPPDQGHU LQ WKH WKHDWUH RI
RSHUDWLRQV,WLVWKH-RLQW)RUFH&RPPDQGHUZKRZLOOSODQDQGILJKWWKHFDPSDLJQ

‰ 2WKHU1DWLRQDO2SHUDWLRQV)RUWKRVHVLQJOH6HUYLFHRSHUDWLRQVZKLFKKDYHQRSRWHQWLDO
WR EHFRPH MRLQW RU ZKHUH VSHFLDO DUUDQJHPHQWV DUH PDGH HJ QXFOHDU RU FRXQWHU WHUURULVP  WKH
&KLHIRIWKH'HIHQFH6WDIIPD\DOORFDWHFRPPDQGWRDVLQJOH6HUYLFHFRPPDQGHU

‰ 1$72 $UWLFOH  2SHUDWLRQV  )RU 1$72 $UWLFOH  RSHUDWLRQV WKH IROORZLQJ SURFHGXUHV
DSSO\  $ SROLWLFDO ERG\ WKH 1RUWK $WODQWLF &RXQFLO RQ ZKLFK DOO PHPEHU QDWLRQV DUH
UHSUHVHQWHGH[HUFLVHVSROLWLFDOFRQWURORIWKHPLOLWDU\FKDLQRIFRPPDQGE\PHDQVRIGLUHFWLYHV
DQGDQDJUHHGV\VWHPRI1$72UXOHVRIHQJDJHPHQWZRUNLQJWKURXJKWKH0LOLWDU\&RPPLWWHH
1DWLRQVDJUHHWRGHOHJDWH2SHUDWLRQDO&RPPDQGRIWKHLUIRUFHVWRD0DMRU1$72&RPPDQGHU
DWWKHDSSURSULDWHVWDJHLQWKHEXLOGXSWRDQRSHUDWLRQ7KLVJLYHVWKHFRPPDQGHUWKHIUHHGRP
ZLWKLQ WKH FRQVWUDLQWV RI WKH UXOHV RI HQJDJHPHQW DQG WKH GLUHFWLYHV IURP WKH 0LOLWDU\
&RPPLWWHHWRSODQDQGH[HFXWHRSHUDWLRQVZLWKRXWGLUHFWUHIHUHQFHWRLQGLYLGXDOQDWLRQVDERXW
WKH HPSOR\PHQW RI WKHLU IRUFHV  ,Q WKHVH FLUFXPVWDQFHV WKHUHIRUH 2SHUDWLRQDO &RPPDQG RI
%ULWLVKIRUFHVZRXOGEHGHOHJDWHGWRWKHDSSURSULDWH1$72FRPPDQGHULQDFFRUGDQFHZLWKSUH
DUUDQJHGSODQVDQGDVVLJQPHQWV2QHH[FHSWLRQWRWKLVLV8QLWHG.LQJGRPQXFOHDUIRUFHVZKLFK
DOWKRXJKGHFODUHGWR1$72UHPDLQXQGHUWKHFRQWURORIWKH8QLWHG.LQJGRP*RYHUQPHQWDWDOO
WLPHV

‰ 1$72 1RQ$UWLFOH  2SHUDWLRQV  6LPLODU DUUDQJHPHQWV ZLOO DSSO\ WR 1RQ$UWLFOH 


RSHUDWLRQVZLWKWKHIROORZLQJGLIIHUHQFHVWKHUHDUHXQOLNHO\WREHSUHDUUDQJHGSODQVDQGIRUFH
DVVLJQPHQWVRSHUDWLRQDOFRPPDQGLVOLNHO\WREHUHWDLQHGDWQDWLRQDOOHYHODQGDOWKRXJKWKHUH
LV JHQHUDO DFFHSWDQFH WKDW DOO IRUFHV DVVLJQHG WR 1$72 PD\ EH DYDLODEOH IRU QRQ$UWLFOH 
RSHUDWLRQVHDFK$OO\UHVHUYHVWKHULJKWWRGHFLGHRQDFDVHE\FDVHEDVLVZKHWKHUDQGKRZWR
SDUWLFLSDWH)RUFHVIURPQRQ1$72QDWLRQVPD\SDUWLFLSDWHDORQJVLGHWKRVHRI1$72


Operational Command is the authority to assign missions or tasks to subordinate commanders, to deploy units, to reassign forces
and to retain or delegate operational and/or tactical control as necessary. It does not of itself include responsibility for
administration or logistics.


Operational Control is the authority to direct forces assigned so that the commander may accomplish specific missions or tasks,
which are usually limited by function, time or location, to deploy units concerned, and to retain or assign tactical control of those
units. It does not include authority to assign separate employment of the units concerned. Neither does it of itself include
administrative or logistic control.


Command and control of operations in support of the civil power in Northern Ireland is covered in Chapter 6 under Military Aid to
the Civil Power.

'
‰ :HVWHUQ(XURSHDQ8QLRQ2SHUDWLRQV 6LPLODU SULQFLSOHV DSSO\ WR :HVWHUQ (XURSHDQ
8QLRQRSHUDWLRQV$WWKHWLPHRIZULWLQJLWVHHPVOLNHO\WKDWWKH8QLRQZLOOLQFUHDVLQJO\UHO\RQ
1$72IRUSODQQLQJDQGFRPPDQGDQGFRQWURODUUDQJHPHQWV

‰ 2WKHU 0XOWLQDWLRQDO 2SHUDWLRQV  6LPLODU SULQFLSOHV VKRXOG DSSO\ WR DGKRF FRDOLWLRQV
+RZHYHU LQ WKLV FDVH WKHUH DUH XQOLNHO\ WR EH SUHYLRXVO\DJUHHG PHWKRGV RI PXOWLQDWLRQDO
SROLWLFDO FRQWURO RU D SULRU FRPPLWPHQW WR DVVLJQ IRUFHV  ,Q SUDFWLFH FRDOLWLRQ FRPPDQG DQG
FRQWUROLV OLNHO\ WR EH EDVHG RQ WKH SURFHGXUHV RI WKH OHDG QDWLRQ  ,Q WKHVH FLUFXPVWDQFHV WKH
&KLHI RI WKH 'HIHQFH 6WDII ZRXOG GLUHFW WKDW 2SHUDWLRQDO &RPPDQG RI %ULWLVK )RUFHV EH
GHOHJDWHG WR D QRPLQDWHG 8. -RLQW &RPPDQGHU ZKR ZRXOG IXUWKHU GHOHJDWH 2SHUDWLRQDO
&RQWURO 7DFWLFDO &RPPDQG RU 7DFWLFDO &RQWURO WR WKH PXOWLQDWLRQDO FRPPDQGHU RU IRU 81
RSHUDWLRQVWRWKH%ULWLVK&RQWLQJHQW&RPPDQGHU7KH3HUPDQHQW-RLQW+HDGTXDUWHUVZLOODFWDV
WKH PLOLWDU\ VWUDWHJLF SODQQLQJ IRFXV IRU WKHVH RSHUDWLRQV  LWV SUHFLVH UROH ZRXOG GHSHQG RQ
ZKHWKHURUQRWWKH8QLWHG.LQJGRPLVWKHOHDGQDWLRQRIDQDGKRFFRDOLWLRQ

x 8.OHG2SHUDWLRQV7KH3HUPDQHQW-RLQW+HDGTXDUWHUVZLOOIRUPWKHQXFOHXVRIWKH
PXOWLQDWLRQDO2SHUDWLRQDO+HDGTXDUWHUVDXJPHQWHGDVQHFHVVDU\E\VWDIIIURPRWKHU
SDUWLFLSDWLQJQDWLRQV ,WZLOODOVRSURYLGHVWDIIWRIRUPWKH QXFOHXV RI WKH GHSOR\HG
PXOWLQDWLRQDO-RLQW)RUFH+HDGTXDUWHUV

x 1RQ8.OHG 2SHUDWLRQV  ,I WKH 8QLWHG .LQJGRP LV QRW WKH OHDG QDWLRQ WKH
3HUPDQHQW-RLQW+HDGTXDUWHUVZLOODFWDV8.&RRUGLQDWRURI6XSSRUWLQJ&RPPDQG
IXQFWLRQV  $V VXFK LW ZLOO FRRUGLQDWH WKH DFWLYLWLHV RI WKH VLQJOH 6HUYLFHV LQ
GHSOR\LQJVXVWDLQLQJDQGUHFRYHULQJ%ULWLVKIRUFHVDVVLJQHGWRWKHRSHUDWLRQ,WPD\
SURYLGH VWDII  WR WKH PXOWLQDWLRQDO KHDGTXDUWHUV  $ 1DWLRQDO 5HSUHVHQWDWLYH ZLOO
XVXDOO\ EH QRPLQDWHG WR WKH DSSURSULDWH OHYHO RI PXOWLQDWLRQDO FRPPDQG QRUPDOO\
WKH 2SHUDWLRQ &RPPDQG  WR SURYLGH D OLQN IRU QDWLRQDO SROLWLFDO FRQWURO RI WKH
HPSOR\PHQWRI%ULWLVKIRUFHV+HPD\EHDVVLVWHGE\D3ROLWLFDO$GYLVHU)RU8QLWHG
1DWLRQVRSHUDWLRQVWKH8QLWHG.LQJGRPZLOODSSRLQWD8.&RQWLQJHQW&RPPDQGHU


Although for UN operations this is exercised through the UK Mission to the UN

'
Glossary
7KHUHIHUHQFHVTXRWHGLQEUDFNHWVDIWHUVRPHHQWULHVDUHVRXUFHGRFXPHQWV

6RXUFH'RFXPHQWV

$$3 1$72*ORVVDU\RI7HUPVDQG'HILQLWLRQV
$'32SV9RO $UP\'RFWULQH3XEOLFDWLRQ9ROXPH2SHUDWLRQV
$-3 $ $OOLHG-RLQW2SHUDWLRQV'RFWULQH
%5 7KH)XQGDPHQWDORI%ULWLVK0DULWLPH'RFWULQH
%0' 7KH%ULWLVK0LOLWDU\'RFWULQH
$3 5R\DO$LU)RUFH$LU3RZHU'RFWULQH
-63 -RLQW6HUYLFH'RFWULQH
-63 -RLQW6HUYLFHV*ORVVDU\
2(' &RQFLVH2[IRUG(QJOLVK'LFWLRQDU\
6'( 6WDWHPHQWRQWKH'HIHQFH(VWLPDWHV
861'3 861DYDO'RFWULQH3XEOLFDWLRQ

$
$GPLQLVWUDWLRQ 7KH PDQDJHPHQW DQG H[HFXWLRQ RI DOO PLOLWDU\ PDWWHUV QRW LQFOXGHG LQ
WDFWLFV>RSHUDWLRQV@DQGVWUDWHJ\SULPDULO\LQWKHILHOGRIORJLVWLFVDQGSHUVRQQHOPDQDJHPHQW
-63 

$LP 0LOLWDU\ $VLQJOHXQDPELJXRXVPLOLWDU\SXUSRVHWKDWPXVWEHHVWDEOLVKHGEHIRUHD


SODQFDQEHGHYHORSHGDWDQ\OHYHORIFRPPDQGIRUDQDUPHGFRQIOLFW

$OOLDQFH 7KH UHVXOW RI IRUPDO DJUHHPHQWV LH WUHDWLHV  EHWZHHQ WZR RU PRUH QDWLRQV IRU
EURDGORQJWHUPREMHFWLYHVZKLFKIXUWKHUWKHFRPPRQLQWHUHVWVRIWKHPHPEHUV $-3 $ 

$WWULWLRQ7KHUHGXFWLRQRIWKHHIIHFWLYHQHVVRIDIRUFHFDXVHGE\ORVVRISHUVRQQHODQGPDWHULDO
-63 

$WWULWLRQ:DUIDUH $VW\OHRIZDUIDUHFKDUDFWHULVHGE\WKHDSSOLFDWLRQRIVXEVWDQWLDOFRPEDW
SRZHU WKDW UHGXFHV DQ HQHP\
V DELOLW\ WR ILJKW WKURXJK ORVV RI SHUVRQQHO DQG HTXLSPHQW
(VVHQWLDOO\LWDLPVDWWKHSK\VLFDOGHVWUXFWLRQRIWKHHQHP\ FIPDQRHXYUHZDUIDUH 

%
%DWWOHVSDFH $OO DVSHFWV RI DLU VXUIDFH VXEVXUIDFH ODQG VSDFH DQG WKH HOHFWURPDJQHWLF
VSHFWUXPWKDWHQFRPSDVVWKHDUHDRIRSHUDWLRQV 861'3 

%DWWOHVSDFHGRPLQDQFH 7KHGHJUHHRI FRQWURORYHUWKHGLPHQVLRQVRIWKHEDWWOHVSDFHWKDW


HQKDQFHVIULHQGO\IUHHGRPRIDFWLRQDQGGHQLHVWKHHQHP\IUHHGRPRIDFWLRQ,WSHUPLWVSRZHU
SURMHFWLRQDQGIRUFHVXVWDLQPHQWWRDFFRPSOLVKWKHIXOOUDQJHRISRWHQWLDOPLVVLRQV 861'3 

*ORVVDU\ 
&
&DPSDLJQ $ VHTXHQFH RI SODQQHG UHVRXUFHG DQG H[HFXWHG PLOLWDU\ RSHUDWLRQV GHVLJQHG WR
DFKLHYH D VWUDWHJLF REMHFWLYH ZLWKLQ D JLYHQ WLPH DQG PDQRHXYUH DUHD XVXDOO\ LQYROYLQJ WKH
V\QFKURQLVDWLRQRIPDULWLPHODQGDQGDLUIRUFHV $-3 $ &DPSDLJQVPD\EHVHTXHQWLDORU
FXPXODWLYH&DPSDLJQSODQQLQJLVWKHUHVSRQVLELOLW\RIWKHRSHUDWLRQDOOHYHOFRPPDQGHU

&HQWUHRI*UDYLW\ 7KRVH FKDUDFWHULVWLFV FDSDELOLWLHV RU ORFDOLWLHV IURP ZKLFK HQHP\ >DQG
IULHQGO\ IRUFHV@ GHULYH WKHLU IUHHGRP RI DFWLRQ SK\VLFDO VWUHQJWK RU ZLOO WR ILJKW $-3  $ 
&ODXVHZLW]FDOOHGLW7KHKXERIDOOSRZHUDQGPRYHPHQWXSRQZKLFKHYHU\WKLQJGHSHQGV

&LYLO:DU :DUFRQGXFWHGODUJHO\ZLWKLQWKHERXQGDULHVRIDVWDWHLQZKLFKDVLJQLILFDQWSDUW
RIWKHSRSXODWLRQLVDVVRFLDWHGZLWKRSSRVLQJVLGHV7KHFRQWHVWLVIRUJRYHUQPHQWRIWKHVWDWHRU
UHJLRQDODXWRQRP\RUVHFHVVLRQ2QHRUERWKVLGHVPD\KDYHH[WHUQDOKHOS

&RDOLWLRQ $ JURXSLQJ RI QDWLRQV RU IRUFHV XVXDOO\ RQ D WHPSRUDU\ EDVLV IRU WKH
DFFRPSOLVKPHQWRIDVWDWHGJRDO $-3 $ 

&RHUFLRQ 7KHXVHRIIRUFHRUWKHWKUHDWRIIRUFHWRSHUVXDGHDQRSSRQHQWWRDGRSWDFHUWDLQ
SDWWHUQRIEHKDYLRXUDJDLQVWKLVZLVKHV VHH&KDSWHU 

&RPEDW&DSDELOLW\ 7KHDELOLW\RI DIRUFHZKLFKKDVEHHQ JHQHUDWHGGHSOR\HGDQG VXVWDLQHG


WRXQGHUWDNHLWVPLVVLRQLQDWKHDWUHRIRSHUDWLRQV,QPRVWFLUFXPVWDQFHVWKLVZLOOEHWKHDELOLW\
WRGHIHDWRUGLVUXSW HQHP\ IRUFHV+RZHYHUWKHWHUPDOVR FRYHUVWKH FDSDELOLW\RIWKH$UPHG
)RUFHVRQQRQEHOOLJHUHQWRSHUDWLRQV

&RPELQHG)RUFH $PLOLWDU\IRUFHFRPSRVHGRIHOHPHQWVRIWZRRUPRUHDOOLHGQDWLRQV

&RPELQHG-RLQW2SHUDWLRQ $QRSHUDWLRQFDUULHGRXWE\PLOLWDU\IRUFHVRIWZRRUPRUHQDWLRQV
LQZKLFKHOHPHQWVRIPRUHWKDQRQHVHUYLFHSDUWLFLSDWH $-3 $ 

&RPPDQG 7KH DXWKRULW\ YHVWHG LQ DQ LQGLYLGXDO RI WKH $UPHG )RUFHV IRU WKH
GLUHFWLRQFRRUGLQDWLRQDQGFRQWURORIPLOLWDU\IRUFHV>$-3 $ @

&RPPDQGDQG&RQWURO:DUIDUH &: 7KH LQWHJUDWHG XVH RI DOO PLOLWDU\ FDSDELOLWLHV


LQFOXGLQJ GHVWUXFWLRQ HOHFWURQLF ZDUIDUH PLOLWDU\ GHFHSWLRQ SV\FKRORJLFDO RSHUDWLRQV DQG
RSHUDWLRQDO VHFXULW\ VXSSRUWHG E\ DOOVRXUFH LQWHOOLJHQFH DQG &,6 WR GHQ\ LQIRUPDWLRQ WR
H[SORLW LQIOXHQFH GHJUDGH FRQIXVH RU GHVWUR\ HQHP\ FRPPDQG DQG FRQWURO &  FDSDELOLWLHV
DQGWRSURWHFWIULHQGO\&LQWHOOLJHQFHDQG&,6DJDLQVWVXFKDFWLRQV>&'6@

&RPPDQGHU
V(VWLPDWHRIWKH6LWXDWLRQ $ IRUPDO DQDO\VLV RI WKH HQYLURQPHQW RSHUDWLRQDO
VLWXDWLRQPLVVLRQDQGHQHP\DQGRZQFRXUVHVRIDFWLRQFRQGXFWHGLQSUHSDUDWLRQIRUIRUPLQJD
FRPPDQGHU
VLQWHQWLRQVDQGFRQFHSWRIRSHUDWLRQV

&RQFHSWRI2SHUDWLRQV $ FOHDU DQG FRQFLVH VWDWHPHQW RI WKH OLQH RI DFWLRQ FKRVHQ E\ D
FRPPDQGHULQRUGHUWRDFFRPSOLVKKLVPLVVLRQ>$-3 $ @

$UPHG &RQIOLFW XVXDOO\DEEUHYLDWHG $UPHG FRQIOLFW LV D VLWXDWLRQ LQ ZKLFK YLROHQFH RU
PLOLWDU\ IRUFH LV WKUHDWHQHG RU XVHG  *HQHUDOO\ LW LV D FRQWHVW EHWZHHQ WZR RSSRVLQJ JURXSV
HDFKVHHNLQJWRLPSRVHLWVZLOORQWKHRWKHUKRZHYHULQWUDVWDWHFRQIOLFWPD\LQYROYHVHYHUDO
IDFWLRQV

*ORVVDU\ 
&RQWLQJHQF\IRUFHV )RUFHV UHTXLUHG WR XQGHUWDNH 0LOLWDU\ WDVNV WR IXOILO 8. 'HIHQFH 5ROHV
RWKHU WKDQ ILUVW WKRVH IRUFHV SHUPDQHQWO\ VWDWLRQHG DW KRPH DQG DEURDG DQG VHFRQGO\ WKRVH
DGGLWLRQDOIRUFHVWKDWZRXOGEHUHJHQHUDWHGDQGRUUHFRQVWLWXWHGLQWKHHYHQWRIJHQHUDOZDU

&RQWURO 7KDW DXWKRULW\ YHVWHG LQ D FRPPDQGHU RYHU SDUW RI WKH DFWLYLWLHV RI VXERUGLQDWH
RUJDQLVDWLRQVRURWKHURUJDQLVDWLRQVQRWQRUPDOO\XQGHUKLVFRPPDQGZKLFKHQFRPSDVVHVWKH
UHVSRQVLELOLW\ IRU LPSOHPHQWLQJ RUGHUV RU GLUHFWLRQV  $OO RU SDUW RI WKLV DXWKRULW\ PD\ EH
WUDQVIHUUHGRUGHOHJDWHG>-63@

&ULVLV  $ VLWXDWLRQ ZKLFK PD\ RU PD\ QRW EH IRUHVHHQ ZKLFK WKUHDWHQV QDWLRQDO VHFXULW\ RU
LQWHUHVWVRULQWHUQDWLRQDOSHDFHDQGVWDELOLW\DQGZKLFKUHTXLUHVGHFLVLRQDQGDFWLRQ

&ULVLV0DQDJHPHQW 0HDVXUHVWDNHQWRPDQDJHDFULVLV7KH\LQFOXGHFULVLVSUHYHQWLRQFULVLV
FRQWURO DQG WKH RUGHUO\ WUDQVLWLRQ WR ZDU LI QHFHVVDU\  &ULVLV FRQWURO FRQVLVWV RI PHDVXUHV WR
FRQWDLQUHGXFHDQGUHVROYHDFULVLV

&ULVLV3UHYHQWLRQ 'LSORPDWLFHFRQRPLFDQGRQRFFDVLRQPLOLWDU\PHDVXUHVWRPRGLI\WKH
FDXVHVRIDSRWHQWLDOFRQIOLFWDQGSUHYHQWLWVRQVHW

'
'HFHSWLRQ 7KRVHPHDVXUHVGHVLJQHGWRPLVOHDGDQRSSRQHQWWRUHDFWLQDPDQQHUSUHMXGLFLDO
WRKLVLQWHUHVWV -63

'HQLDO 7KHUH DUH WZR IRUPV RI GHQLDO GHVWUXFWLRQ DQG FRQVWUDLQW  'HVWUXFWLRQ UHSUHVHQWV WKH
PRVW REYLRXV XVH RI PLOLWDU\ IRUFH  &RQVWUDLQW LQYROYHV WKH XVH RI PLOLWDU\ IRUFH WR GHQ\
VRPHWKLQJZLWKRXWGHVWUR\LQJLWIRUH[DPSOHGHQ\LQJWKHXVHRIDEULGJHRUURDGE\EORFNLQJLW

'HWHUUHQFH 7KHWKUHDWRIPLOLWDU\IRUFHWRGLVVXDGHDQDGYHUVDU\IURPUHVRUWLQJWRDSDUWLFXODU
FRXUVHRIDFWLRQE\FRQYLQFLQJKLPWKDWWKHFRVWVRISXUVXLQJLWZLOORXWZHLJKSRWHQWLDOJDLQV

'LVUXSWLRQ )RUFH WKDW LV XVHG WR VKDWWHU WKH FRKHVLRQ RI D PLOLWDU\ IRUPDWLRQ DQG SUHYHQW LW
IURPIXQFWLRQLQJHIIHFWLYHO\LQFRPEDW

'RFWULQH )XQGDPHQWDO SULQFLSOHV E\ ZKLFK WKH PLOLWDU\ IRUFHV JXLGH WKHLU DFWLRQV LQ
VXSSRUWRIREMHFWLYHV,WLVDXWKRULWDWLYHEXWUHTXLUHVMXGJHPHQWLQDSSOLFDWLRQ -63 ,WLV
DOVRG\QDPLFDQGPXVWEHFRQVWDQWO\UHYLHZHGIRUUHOHYDQFH

'XDO8VH *RRGVZKLFKDUHQRWVSHFLDOO\GHVLJQHGRUPRGLILHGIRUPLOLWDU\XVHEXWZKLFK
DUHFDSDEOHRIEHLQJHPSOR\HGLQWKHGHYHORSPHQWSURGXFWLRQXVHRUHQKDQFHPHQWRIPLOLWDU\
FDSDELOLWLHV 3$&602' 

(
(QG6WDWH 7KDWVWDWHRIDIIDLUVZKLFKQHHGVWREHDFKLHYHGDWWKHHQGRIDFDPSDLJQHLWKHUWR
WHUPLQDWHRUWRUHVROYHWKHFRQIOLFWRQIDYRXUDEOHWHUPV $'32SV9RO 

(QGXUDQFH 7KH DELOLW\ RI D XQLW RU IRUPDWLRQ WR PDLQWDLQ DQ RSHUDWLRQDO FRPPLWPHQW IRU D
SURWUDFWHG SHULRG ,W LV DOVR XVHG WR PHDQ WKH OHQJWK RI SHULRG WKDW D XQLW RU IRUPDWLRQ FDQ
PDLQWDLQDFRPPLWPHQW6HHVXVWDLQDELOLW\

*ORVVDU\ 
(VFDODWLRQGHHVFDODWLRQ $ TXDOLWDWLYH WUDQVIRUPDWLRQ LQ WKH FKDUDFWHU RI D FRQIOLFW ZKHUH
WKH VFRSH DQG LQWHQVLW\ LQFUHDVHV RU GHFUHDVHV WUDQVFHQGLQJ OLPLWV LPSOLFLWO\ DFFHSWHG E\ ERWK
VLGHV

)
)RUFH*HQHUDWLRQ 7KH SURFHVV RI SURYLGLQJ VXLWDEO\ WUDLQHG DQG HTXLSSHG IRUFHV DQG WKHLU
PHDQV RI GHSOR\PHQW UHFRYHU\ DQG VXVWDLQPHQW WR PHHW DOO FXUUHQW DQG SRWHQWLDO IXWXUH WDVNV
ZLWKLQUHTXLUHGUHDGLQHVVDQGSUHSDUDWLRQWLPHV

)XOO&RPPDQG 7KH PLOLWDU\ DXWKRULW\ DQG UHVSRQVLELOLW\ RI D VXSHULRU RIILFHU WR LVVXH
RUGHUV WR VXERUGLQDWHV  ,W FRYHUV HYHU\ DVSHFW RI PLOLWDU\ RSHUDWLRQV DQG DGPLQLVWUDWLRQ DQG
H[LVWV RQO\ ZLWKLQ QDWLRQDO VHUYLFHV -63    ,Q WKH 8. IXOO FRPPDQG LV H[HUFLVHG E\ WKH
VLQJOH6HUYLFHFRPPDQGHUVZKRGHULYHWKHLUDXWKRULW\IURP&'6DQGWKH'HIHQFH&RXQFLO

*
*HQHUDO:DU $FRQIOLFWEHWZHHQPDMRUSRZHUVLQZKLFKWKHLUODUJHDQGYLWDOLQWHUHVWVSHUKDSV
HYHQVXUYLYDODUHDWVWDNH

*UDQG6WUDWHJLF/HYHO 7KH DSSOLFDWLRQ RI QDWLRQDO UHVRXUFHV WR DFKLHYH QDWLRQDO SROLF\
REMHFWLYHV LQFOXGLQJDOOLDQFHRUFRDOLWLRQREMHFWLYHV 

,
,QIRUPDWLRQ ,QIRUPDWLRQHPEUDFHV DOOWKHNQRZOHGJHQHHGHGE\ DFRPPDQGHUDQGKLV IRUFH
LQFOXGLQJLQWHOOLJHQFHRQWKHHQHP\NQRZOHGJHRIRZQIRUFHVZHDWKHUJHRJUDSKLFGDWDHWF

,QVXUJHQF\ 7KHDFWLRQVRIDJURXSZLWKLQDVWDWHLQWHQWRQIRUFLQJSROLWLFDOFKDQJHE\PHDQV
RI D PL[WXUH RI VXEYHUVLRQ SURSDJDQGD DQG PLOLWDU\ SUHVVXUH  7KH LQWHQW LV WR SHUVXDGH RU
LQWLPLGDWHWKHEURDGPDVVRIWKHSHRSOHWRDFFHSWVXFKFKDQJH

,QWHJUDWHG&RQWLQJHQF\3ODQQLQJ 7KHEXVLQHVVRISODQQLQJDJUDGXDWHGPLOLWDU\UHVSRQVHWRD
ZLGH YDULHW\ RI FRQWLQJHQFLHV LQ WKH 8QLWHG .LQJGRP LQ SHDFH FULVLV DQG ZDU LV NQRZQ DV
,QWHJUDWHG &RQWLQJHQF\ 3ODQQLQJ  ,W FRYHUV WKH DFWLYLWLHV RI 0LOLWDU\ +RPH 'HIHQFH 0LOLWDU\
$LGWRWKH&LYLO$XWKRULWLHVDQGPLOLWDU\VXSSRUWWRWKHPRXQWLQJRIRSHUDWLRQV

,QWHOOLJHQFH 7KHSURGXFWUHVXOWLQJIURPWKHSURFHVVLQJRILQIRUPDWLRQERWKRYHUWDQGFRYHUW
FRQFHUQLQJIRUHLJQQDWLRQVKRVWLOHRUSRWHQWLDOO\KRVWLOHIRUFHVRUHOHPHQWVRUDUHDVRIDFWXDORU
SRWHQWLDORSHUDWLRQV7KHWHUPLVDOVRDSSOLHGWRWKHDFWLYLW\ZKLFKUHVXOWVLQWKHSURGXFWDQGWR
WKHRUJDQLVDWLRQVHQJDJHGLQVXFKDFWLYLW\

,QWHURSHUDELOLW\ 7KH DELOLW\ RI V\VWHPV XQLWV RU IRUFHV WR SURYLGH VHUYLFHV WR DQG DFFHSW
VHUYLFHV IURP RWKHU V\VWHPV XQLWV RU IRUFHV DQG WR XVH WKHVH VHUYLFHV VR H[FKDQJHG WR HQDEOH
WKHPWRRSHUDWHHIIHFWLYHO\WRJHWKHU -63 

,QWHUYHQWLRQ $FDPSDLJQRURSHUDWLRQZLWKOLPLWHG REMHFWLYHV LQYROYLQJ WKH HQWU\ RI FRPEDW


IRUFHVLQWRWKHWHUULWRU\RUDUHDRIMXULVGLFWLRQRIDQRWKHUVWDWHZKHUHRSSRVLWLRQLVH[SHFWHG

*ORVVDU\ 
-
-RLQW&RPPDQGHU -& $ FRPPDQGHU DSSRLQWHG E\ WKH &KLHI RI WKH 'HIHQFH 6WDII WR
H[HUFLVH23&20RIDOOIRUFHVDVVLJQHGWRDMRLQWRSHUDWLRQ

-RLQW)RUFH&RPPDQGHU -)& $FRPPDQGHUDXWKRULVHGWRH[HUFLVHFRPPDQGDXWKRULW\RU


RSHUDWLRQDOFRQWURORYHUDMRLQWIRUFH $-3 $ 

-RLQW)RUFH+4 -)+4 7KH RSHUDWLRQDO +4 RI WKH -)& QRUPDOO\ FORVH WR RU ZLWKLQ WKH
WKHDWUHRIRSHUDWLRQV -63 

-RLQW+4 -+4 7KHRSHUDWLRQDO+4RIWKH-&

/
/HYHOVRI:DUIDUH 7KHUHFRJQLVHGOHYHOVRIZDUIDUHIURPZKLFKWKHOHYHOVIRUWKHSODQQLQJ
DQG FRPPDQG RI RSHUDWLRQV  DUH GHULYHG 7KH\ DUH JUDQG VWUDWHJLF PLOLWDU\ VWUDWHJLF
RSHUDWLRQDODQGWDFWLFDO

/LPLWHG:DU &ROG :DU WHUP XVHG WR GHVFULEH LQWHUQDWLRQDO FRQIOLFW VKRUW RI *HQHUDO :DU LQ
ZKLFKWKHUHZRXOGEHQRUHFRXUVHWRWKHXVHRIQXFOHDUZHDSRQV

/RJLVWLFV 7KH VFLHQFH RI SODQQLQJ DQG FDUU\LQJ RXW WKH PRYHPHQW DQG PDLQWHQDQFH RI
IRUFHV,QLWVPRVWFRPSUHKHQVLYHVHQVHWKRVHDVSHFWVRIPLOLWDU\RSHUDWLRQVZKLFKGHDOZLWK

D 'HVLJQ DQG GHYHORSPHQW DFTXLVLWLRQ VWRUDJH PRYHPHQW GLVWULEXWLRQ


PDLQWHQDQFHHYDFXDWLRQDQGGLVSRVLWLRQRIPDWHULHO

E 0RYHPHQWHYDFXDWLRQDQGKRVSLWDOLVDWLRQRISHUVRQQHO

F $FTXLVLWLRQRUFRQVWUXFWLRQPDLQWHQDQFHRSHUDWLRQDQGGLVSRVLWLRQRIIDFLOLWLHV
DQG

G $FTXLVLWLRQRUIXUQLVKLQJRIVHUYLFHV -63 

0
0DQRHXYUH 7RVHHNWR JHWLQWRDSRVLWLRQRIDGYDQWDJHLQUHVSHFWRIWKH HQHP\IURPZKLFK
IRUFHFDQEHWKUHDWHQHGRUDSSOLHG6XFKPDQRHXYUHVKRXOGEHGLUHFWHGWRZDUGVDGHFLVLYHSRLQW
RUGLUHFWO\DWWKHFHQWUHRIJUDYLW\ $'32SV9RO 

0DQRHXYUH:DUIDUH $VW\OHRIZDUIDUHWKDWVHHNVWRGHVWUR\DQHQHP\
VFRKHVLRQDQGKLVZLOO
WR ZLQ WKURXJK D VHULHV RI UDSLG YLROHQW DQG XQH[SHFWHG DFWLRQV WKDW FUHDWH D WXUEXOHQW DQG
UDSLGO\ GHWHULRUDWLQJ VLWXDWLRQ ZLWK ZKLFK KH FDQQRW FRSH  (VVHQWLDOO\ LW DLPV WR GHIHDW WKH
HQHP\ FIDWWULWLRQZDUIDUH 

0DWHULHO 7KHVWRUHVDQGHTXLSPHQW DVRSSRVHGWRSHUVRQQHO DYDLODEOHRUUHTXLUHGIRUDQ


XQGHUWDNLQJ 2(' 

0LOLWDU\$LGWRWKH&LYLO&RPPXQLW\ 0$&& 7KH SURYLVLRQ RI VHUYLFH SHUVRQQHO DQG


HTXLSPHQWERWKLQHPHUJHQFLHVVXFKDVQDWXUDOGLVDVWHUVDQGLQURXWLQHVLWXDWLRQVWRDVVLVWWKH
FRPPXQLW\DWODUJH

*ORVVDU\ 
0LOLWDU\$LGWRWKH&LYLO0LQLVWULHV 0$&0 7KH XVH RI PLOLWDU\ IRUFHV IRU QRQPLOLWDU\
JRYHUQPHQWWDVNVLQFOXGLQJDVVLVWDQFHWRPDLQWDLQWKHHVVHQWLDOVRIOLIHLQWKHFRPPXQLW\RUWR
XQGHUWDNHXUJHQWZRUNRIQDWLRQDOLPSRUWDQFH

0LOLWDU\$LGWRWKH&LYLO3RZHU 0$&3 0$&3 LV SURYLGHG WR PDLQWDLQ RU UHVWRUH ODZ DQG
RUGHU LQ VLWXDWLRQV EH\RQG WKH FDSDFLW\ RI WKH FLYLO SRZHU WR UHVROYH DQGRU ZKLFK LW ZRXOG EH
XQUHDVRQDEOH WR H[SHFW WKH &LYLO 3RZHU WR GHYHORS WKH FDSDELOLW\ WR UHVROYH  7KH PLOLWDU\
RSHUDWH XQGHU WKH FRQWURO RI WKH FLYLO SRZHU EXW XQGHU PLOLWDU\ FRPPDQG  6HUYLFH SHUVRQQHO
UHPDLQVXEMHFWWRGRPHVWLFODZ

0LOLWDU\DSSOLFDWLRQ RUXVH RIIRUFH $SSOLFDWLRQRIDUPHGIRUFHLQZKLFKFRPEDWLVXVHG


RUWKUHDWHQHGRULQZKLFKFRPEDWSRWHQWLDOLVDSUHUHTXLVLWHIRUVXFFHVV

0LOLWDU\&DSDELOLW\ 7KHRYHUDOODELOLW\RI WKH $UPHG IRUFHV WR DFKLHYH PLOLWDU\ REMHFWLYHV LQ


VXSSRUWRIDSROLWLFDOSXUSRVH

0LOLWDU\6WUDWHJLF/HYHO 0LOLWDU\ 6WUDWHJ\ LV WKH DSSOLFDWLRQ RI PLOLWDU\ UHVRXUFHV WR KHOS
DFKLHYH JUDQG VWUDWHJLF REMHFWLYHV  ,W LV WKH PLOLWDU\ FRPSRQHQW RI JUDQG VWUDWHJ\ DQG LV
IRUPXODWHG IURP SROLWLFDO GLUHFWLRQ  ,W LV FRQFHUQHG ZLWK GHWHUPLQLQJ WKH PLOLWDU\ VWUDWHJLF
REMHFWLYHV DQG GHVLUHG HQG VWDWH UHTXLUHG WR DFKLHYH JUDQG VWUDWHJLF DLPV WKH PLOLWDU\ DFWLRQ
QHHGHG WR DFKLHYH WKHVH REMHFWLYHV WKH UHVRXUFHV WR EH DOORFDWHG DQG WKH FRQVWUDLQWV WR EH
DSSOLHG

0LOLWDU\6WUDWHJ\ 7KDW FRPSRQHQW RI QDWLRQDO RU PXOWLQDWLRQDO VWUDWHJ\ SUHVHQWLQJ WKH
PDQQHULQZKLFKPLOLWDU\SRZHUVKRXOGEHGHYHORSHGDQGDSSOLHGWRDFKLHYHQDWLRQDOREMHFWLYHV
RUWKRVHRIDJURXSRIQDWLRQV -63 

0LVVLRQ $FOHDUFRQFLVHVWDWHPHQWRIWKHWDVNRIDFRPPDQGHUDQGLWVSXUSRVH-63 
$PLVVLRQRUGLUHFWLYHPD\VSDZQDQXPEHURIPLOLWDU\REMHFWLYHV3DUWRI0LVVLRQ$QDO\VLVLV
WRUHVROYHWKHVHREMHFWLYHVLQWRDVLQJOHDLPDQGVXERUGLQDWHREMHFWLYHV -63 

0RELOLW\ $TXDOLW\RUFDSDELOLW\RIPLOLWDU\IRUFHVZKLFKSHUPLWVWKHPWRPRYHIURPSODFH
WRSODFHZKLOHUHWDLQLQJWKHDELOLW\WRIXOILOWKHLUSULPDU\PLVVLRQ -63 0RELOLW\SURYLGHV
WKHFRPPDQGHUZLWKWKHPHDQVRIFRQFHQWUDWLQJRSWLPXPIRUFHDWWKHULJKWSODFHDQGWLPHLQD
ZD\ZKLFKRIIHUVWKHPD[LPXPSRVVLELOLW\WRFUHDWHDQGH[SORLWRSSRUWXQLW\LQWKH%DWWOHVSDFH

1
1RQ&RPEDWDQW(YDFXDWLRQ2SHUDWLRQV 1(2 2SHUDWLRQV LQYROYLQJ WKH UHPRYDO RI 8.
QDWLRQDOVDQGRWKHUV LI UHTXHVWHG IURP IRUHLJQ WHUULWRU\ XVLQJ PLOLWDU\ IRUFHV WR FDUU\ RXW WKDW
UHPRYDO

2
2IIHQVLYH2SHUDWLRQV 2SHUDWLRQVLQZKLFKIRUFHVVHHNRXWWKHHQHP\LQ RUGHU WR DWWDFN
KLP -63 

2SHUDWLRQ $PLOLWDU\DFWLRQRUWKHFDUU\LQJ RXW RI D VWUDWHJLF WDFWLFDO VHUYLFH WUDLQLQJ RU


DGPLQLVWUDWLYHPLOLWDU\PLVVLRQWKHSURFHVVRIFDUU\LQJRQFRPEDWLQFOXGLQJPRYHPHQWVXSSO\
DWWDFNGHIHQFHDQGPDQRHXYUHQHHGHGWRJDLQWKHREMHFWLYHVRIDQ\EDWWOHRUFDPSDLJQ>$-3
 $ @

*ORVVDU\ 
2SHUDWLRQDO$UW 7KHVNLOIXOHPSOR\PHQWRIPLOLWDU\IRUFHVWRDWWDLQVWUDWHJLFJRDOVWKURXJK
WKH GHVLJQ RUJDQLVDWLRQ LQWHJUDWLRQ DQG FRQGXFW RI FDPSDLJQV  PDMRU RSHUDWLRQV DQG EDWWOHV
$-3 $ ,WLVWKHHVVHQFHRIFRPPDQGDWWKHRSHUDWLRQDOOHYHO

2SHUDWLRQDO&RPPDQG 23&20 7KH DXWKRULW\ JUDQWHG WR D FRPPDQGHU WR DVVLJQ PLVVLRQV
RUWDVNVWRVXERUGLQDWHFRPPDQGHUVWRGHSOR\XQLWVWRUHDVVLJQIRUFHVDQGWRUHWDLQRUGHOHJDWH
RSHUDWLRQDO DQGRU WDFWLFDO FRQWURO DV PD\ EH GHHPHG QHFHVVDU\  ,W GRHV QRW RI LWVHOI LQFOXGH
UHVSRQVLELOLW\ IRU DGPLQLVWUDWLRQ RU ORJLVWLFV  -63    1RUPDOO\ H[HUFLVHG E\ D QDWLRQDO
VLQJOHVHUYLFHRUMRLQWFRPPDQGHULWLVWKH KLJKHVW GHJUHH RI  FRPPDQG DXWKRULW\ WKDW QDWLRQV
ZLOOGHOHJDWHWRD01&

2SHUDWLRQDO&RQWURO 23&21 7KH DXWKRULW\ GHOHJDWHG WR D FRPPDQGHU WR GLUHFW IRUFHV
DVVLJQHG VR WKDW WKH FRPPDQGHU PD\ DFFRPSOLVK VSHFLILF PLVVLRQV RU WDVNV ZKLFK DUH XVXDOO\
OLPLWHGE\IXQFWLRQWLPHRUORFDWLRQWRGHSOR\XQLWVFRQFHUQHGDQGWRUHWDLQRUDVVLJQWDFWLFDO
FRQWURO RI WKRVH XQLWV  ,W GRHV QRW LQFOXGH DXWKRULW\ WR DVVLJQ VHSDUDWH HPSOR\PHQWV RI
FRPSRQHQWVRIWKHXQLWVFRQFHUQHG1HLWKHUGRHVLWRILWVHOILQFOXGHDGPLQLVWUDWLYHRUORJLVWLF
FRQWURO -63 

2SHUDWLRQDO/HYHO 7KH 2SHUDWLRQDO /HYHO LV FRQFHUQHG ZLWK WKH GLUHFWLRQ RI PLOLWDU\
UHVRXUFHVWRDFKLHYHPLOLWDU\VWUDWHJLFREMHFWLYHV,WLVWKHOHYHODWZKLFKFDPSDLJQVDQGPDMRU
RSHUDWLRQVDUHSODQQHGSKDVHGDQGGLUHFWHG

3
3HDFH(QIRUFHPHQW 3( 2SHUDWLRQVFDUULHGRXWWRUHVWRUHSHDFHEHWZHHQEHOOLJHUHQWSDUWLHV
ZKRGRQRWDOOFRQVHQWWRLQWHUYHQWLRQDQGZKRPD\EHHQJDJHGLQFRPEDWDFWLYLWLHV

3HDFHNHHSLQJ 3. 2SHUDWLRQVFDUULHGRXWZLWKWKH JHQHUDOFRQVHQWRIWKHEHOOLJHUHQWSDUWLHV


LQVXSSRUWRIHIIRUWVWRDFKLHYHRUPDLQWDLQSHDFHLQRUGHUWRSURPRWHVHFXULW\DQGVXVWDLQOLIHLQ
DUHDVRISRWHQWLDORUOLPLWHGFRQIOLFW

3ULQFLSOHVRI:DU %URDG SUHFHSWV GLVWLOOHG IURP H[SHULHQFH ZKLFK LQIOXHQFH WKH FRQGXFW RI
DUPHGFRQIOLFWDQGZKLFKVKRXOGLQIRUPDOOVWUDWHJLFDQGRSHUDWLRQDOGHFLVLRQV7KHUHLVVRPH
YDULDWLRQEHWZHHQWKH3ULQFLSOHVRI:DUDFFHSWHGE\GLIIHUHQWQDWLRQV7KH8.3ULQFLSOHVDUHDW
$QQH[$

3V\FKRORJLFDO2SHUDWLRQV 36<236 3ODQQHG SV\FKRORJLFDO DFWLYLWLHV LQ SHDFH DQG ZDU


GLUHFWHGWRHQHP\IULHQGO\DQGQHXWUDODXGLHQFHVLQRUGHUWRLQIOXHQFHDWWLWXGHVDQGEHKDYLRXU
DIIHFWLQJ WKH DFKLHYHPHQW RI SROLWLFDO DQG PLOLWDU\ REMHFWLYHV  7KH\ LQFOXGH VWUDWHJLF
SV\FKRORJLFDODFWLYLWLHVDQGEDWWOHILHOGSV\FKRORJLFDODFWLYLWLHV>$$3@

5
5HDGLQHVV 7KHWLPHZLWKLQZKLFKDXQLWRUIRUPDWLRQFDQEHPDGHUHDG\DWWKHDSSURSULDWH
ORFDWLRQWKDWLVLWVQRUPDOSHDFHWLPHEDVHRUIRUVKLSVDOUHDG\DWVHDLWVFXUUHQWORFDWLRQ$XQLW
RU IRUPDWLRQ LV VDLG WR EH UHDG\ ZKHQ LW LV PDQQHG HTXLSSHG DQG WUDLQHG IRU WKH WDVN DQG
VXSSRUWHGDSSURSULDWHO\

5HFRQVWLWXWLRQ 7KH H[SDQVLRQ RI IRUFH VWUXFWXUHV DQG LQIUDVWUXFWXUH EH\RQG H[LVWLQJ
OHYHOVLQFOXGLQJWKHUDLVLQJRIQHZXQLWVDQGIRUPDWLRQVDQGWKHH[SDQVLRQRILQGXVWULDOFDSDFLW\
WRVXSSRUWWKHSURFXUHPHQWRIHTXLSPHQWDQGVWRFNV

*ORVVDU\ 
5HFXSHUDWLRQ 7KHUHSODFHPHQWRIUHVRXUFHV IROORZLQJWKHXVHRIPLOLWDU\IRUFH LQSUHSDUDWLRQ
IRUIXUWKHURSHUDWLRQV

5HJHQHUDWLRQ 7KH WLPHO\ DFWLYDWLRQ LQ IXOO RU LQ SDUW RI H[LVWLQJ IRUFH VWUXFWXUHV DQG
LQIUDVWUXFWXUHLQFOXGLQJWKHUHVWRUDWLRQRIPDQQLQJHTXLSPHQWDQGVWRFNVWRZDUOHYHOV

5HJLRQDO&RQIOLFW $FRQIOLFWZKHUHWKHILJKWLQJLVFRQWDLQHG ZLWKLQDSDUWLFXODU JHRJUDSKLF


DUHD,WVSROLWLFDODQGHFRQRPLFHIIHFWVKRZHYHUPD\UHYHUEHUDWHIXUWKHUDILHOGDQGWKHUHPD\
EH LQYROYHPHQW IURP EH\RQG WKH UHJLRQ VXFK DV WKH VXSSO\ RI PLOLWDU\ HTXLSPHQW DGYLVHUV
DQGRUYROXQWHHUVE\WKLUGSDUWLHV

5RXOHPHQW 7KHURWDWLRQRISHUVRQQHORUXQLWVLQWKHIURQWOLQHZLWKWKRVHLQUHVHUYHLQRUGHU
WRPDLQWDLQWKHILJKWLQJHIIHFWLYHQHVVRIWKHIRUFHVHQJDJHGLQDQRSHUDWLRQ

5XOHVRI(QJDJHPHQW 52( 'LUHFWLYHV LVVXHG E\ FRPSHWHQW PLOLWDU\ DXWKRULW\ ZKLFK


VSHFLI\ WKH FLUFXPVWDQFHV DQG OLPLWDWLRQV XQGHU ZKLFK IRUFHV ZLOO LQLWLDWH DQGRU FRQWLQXH
FRPEDWHQJDJHPHQWV8.52(DUHH[SUHVVHGLQSHUPLVVLRQVDQGSURKLELWLRQV

6
6DQFWLRQ 81 $SHQDOW\LPSRVHGRQDVWDWHZLWKWKHLQWHQWLRQRILQIOXHQFLQJWKDWVWDWHWR
FRPSO\ZLWKD6HFXULW\&RXQFLO5HVROXWLRQRURWKHUZLVHWRDELGHE\LQWHUQDWLRQDOODZ

6HFXULW\ 7KH SURWHFWLRQ RI EDVHV SODWIRUPV DQG ZHDSRQ V\VWHPV PHQ PDWHULHO DQG
LQIRUPDWLRQ WR SUHVHUYH D FRPPDQGHU
V IUHHGRP RI DFWLRQ DQG PLQLPLVH WKH HIIHFWV RI HQHP\
DFWLRQ,WLQYROYHVGRPLQDWLQJWKHHOHFWURQLFVSHFWUXP

6HTXHQFLQJ 7KH DUUDQJHPHQW RI HYHQWV LQ D VHTXHQWLDO FDPSDLJQ LQ DQ RUGHU PRVW OLNHO\ WR
DFKLHYHWKHHOLPLQDWLRQRIWKHHQHP\
VFHQWUHRIJUDYLW\ $'39RO 

6HTXHQWLDO&DPSDLJQ $FDPSDLJQZKLFKFRQVLVWVRIDVHULHVRIGLVFUHWHSKDVHVVWHSVRU
DFWLRQVHDFKRIZKLFKLVVKDSHGWRVRPHH[WHQWE\WKHRXWFRPHRIWKRVHSUHFHGLQJ

6SHFWUXPRI&RQIOLFW7KHIXOOUDQJHRIOHYHOVRIYLROHQFHIURPVWDEOHSHDFHXSWRDQGLQFOXGLQJ
JHQHUDOZDU

6WDWHPHQWRQWKH'HIHQFH(VWLPDWHV 6'( $QQXDO VWDWHPHQW SUHVHQWHG WR 3DUOLDPHQW


E\ WKH 6HFUHWDU\ RI 6WDWH IRU 'HIHQFH ZKLFK PD\ LQFOXGH WKH SXEOLF SUHVHQWDWLRQ RI 'HIHQFH
SROLF\$OVRNQRZQDVWKH'HIHQFH:KLWH3DSHU

6WUDWHJLF'LUHFWLYH $ VWUDWHJLF GLUHFWLYH LV LVVXHG WR WKH RSHUDWLRQDO FRPPDQGHU E\ WKH
PLOLWDU\VWUDWHJLFDXWKRULW\ZKLFKLQWKHFDVHRILQGHSHQGHQW8.RSHUDWLRQVZLOOEHWKH&KLHIRI
WKH 'HIHQFH 6WDII  ,W VKRXOG FRQWDLQ WKH VWUDWHJLF JRDOV FRQGLWLRQV IRU VXFFHVV SROLWLFDO
FRQVWUDLQWVILQDQFLDOOLPLWDWLRQVDQGDYDLODEOHIRUFHVDQGUHVRXUFHV $'39RO 

6WUDWHJ\ 6WUDWHJ\LVWKHDUWRIFUHDWLQJDGHVLUHGSDWWHUQWRHYHQWVZKHUHWKHHQGVDQGWKH
ZD\V DQG PHDQV RI DFKLHYLQJ WKHP PD\ EH EURXJKW LQWR EDODQFH ZLWKLQ WKH SUHYDLOLQJ
HQYLURQPHQW

6XVWDLQDELOLW\7KH DELOLW\ RI D IRUFH WR PDLQWDLQ WKH QHFHVVDU\ OHYHO RI FRPEDW SRZHU IRU WKH
GXUDWLRQUHTXLUHGWRDFKLHYHLWVREMHFWLYHV $$3 

*ORVVDU\ 
7
7DFWLFDO&RPPDQG 7$&20 7KHDXWKRULW\GHOHJDWHGWRDFRPPDQGHUWRDVVLJQWDVNVWR
IRUFHVXQGHUKLVFRPPDQGIRUWKHDFFRPSOLVKPHQWRIWKHPLVVLRQDVVLJQHGE\KLJKHUDXWKRULW\
-63 

7DFWLFDO&RQWURO 7$&21 7KHGHWDLOHGDQGXVXDOO\ORFDOGLUHFWLRQDQGFRQWURORIPRYHPHQWV


RUPDQRHXYUHVQHFHVVDU\WRDFFRPSOLVKPLVVLRQVRUWDVNVDVVLJQHG -63 

7DFWLFDO/HYHO 7KH7DFWLFDO/HYHOLQYROYHVWKHGLUHFWLRQRIPLOLWDU\UHVRXUFHVWRDFKLHYH
RSHUDWLRQDO REMHFWLYHV  ,W LV WKH OHYHO DW ZKLFK EDWWOHV DQG HQJDJHPHQWV ZLWKLQ D VHTXHQFH RI
PDMRU RSHUDWLRQV DUH SODQQHG IRUFHV DUH GHSOR\HG UHDG\ IRU EDWWOH DQG DW ZKLFK EDWWOHV DQG
HQJDJHPHQWVDUHIRXJKW

7HPSR 7KH UDWH RU UK\WKP RI PLOLWDU\ DFWLYLW\ UHODWLYH WR WKH HQHP\ ZLWKLQ WDFWLFDO
HQJDJHPHQWVDQGEDWWOHVDQGEHWZHHQPDMRURSHUDWLRQV $'32SV9RO 

7HUURULVP 3UHPHGLWDWHGSROLWLFDOO\PRWLYDWHGYLROHQFHSHUSHWUDWHGE\JURXSVRULQGLYLGXDOV
DQGXVXDOO\LQWHQGHGWRLQIOXHQFHDQDXGLHQFHZLGHUWKDQWKDWRILWVLPPHGLDWHYLFWLPV

:
:DU 7KH PRVW H[WUHPH PDQLIHVWDWLRQ RI DUPHG FRQIOLFW FKDUDFWHULVHG E\ LQWHQVH H[WHQVLYH
DQGVXVWDLQHGFRPEDWXVXDOO\EHWZHHQVWDWHV

*ORVVDU\ 

Вам также может понравиться