FM 5-0 The Operations Process (FINAL APPROVED DRAFT)

241 Pages·2010·6.6 MB·English

*FM 5-0
FM 5-0
25 February 2010
The Operations Process
(FINAL APPROVED DRAFT)
DISTRIBUTION RESTRICTION. The material in this manual is under development. It is NOT
approved doctrine and CANNOT be used for reference or citation. The approved FM is still
current and must be used for reference, or citation, until this draft is approved and
authenticated.
Headquarters, Department of the Army
(FINAL APPROVED DRAFT)
Foreword
The environment in which we conduct operations is characterized by four clear trends:
growing uncertainty, rapid change, increased competitiveness, and greater
decentralization. Given these trends, our leaders must expect and be prepared to confront
a variety of complex problems, most of which will include myriad interdependent
variables and all of which will include a human dimension.
With the publication of FM 5-0, The Operations Process, and the introduction of design
into our doctrine, we highlight the importance of understanding complex problems more
fully before we seek to solve them through our traditional planning processes.
Design is neither a process nor a checklist. It is a critical and creative thinking
methodology to help commanders understand the environment, analyze problems, and
consider potential approaches so they can exploit opportunities, identify vulnerabilities,
and anticipate transitions during a campaign.
Commanders apply design to understand before entering the visualize, describe, direct,
lead, and assess cycle. Einstein once said, ―If I were given one hour to save the planet, I
would spend 59 minutes defining the problem and one minute resolving it.‖ Combining
design with the military decisionmaking process provides Army leaders with a more
comprehensive approach to problem solving under conditions of complexity and
uncertainty. The mission narrative produced through design enables leaders to articulate
the context in which they operate to both subordinates and superiors alike.
In addition to the introduction of design, this revision of FM 5-0 builds on and expands
the body of doctrine associated with full spectrum operations described in the 2008
edition of FM 3-0, Operations. Moving beyond planning and orders production, this
manual holistically addresses planning, preparation, execution, and assessment in the
continuous learning cycle of the operations process. It reinforces the central role of
commanders in the operations process through battle command—applying the art and
science of understanding, visualizing, describing, directing, leading, and assessing
operations—in exercising effective command and control. The intent of FM 5-0 is to
encourage greater flexibility through critical thought, action, and initiative. Army leaders
must not only develop effective plans, they must be able to convert those plans into
timely action while maintaining the capability to reframe and adapt as the situation
changes in an increasingly dynamic operational environment.

MARTIN E. DEMPSEY
General, U.S. Army
Commanding General
U.S. Army Training and Doctrine Command
*FM 5-0
Field Manual Headquarters
Department of the Army
No. 5-0
Washington, DC, (25 February 2010)
The Operations Process
(FINAL APPROVED DRAFT)
Contents
Page
PREFACE............................................................................................................... v
INTRODUCTION ................................................................................................... vi
Chapter 1 FUNDAMENTALS OF THE OPERATIONS PROCESS .................................... 1-1
The Nature of Operations ................................................................................... 1-1
Command and Control ....................................................................................... 1-3
The Operations Process ..................................................................................... 1-9
Integrating Processes and Continuing Activities .............................................. 1-12
Running Estimates ........................................................................................... 1-13
Chapter 2 PLANNING ......................................................................................................... 2-1
Planning and Plans Defined ............................................................................... 2-1
Planning and the Levels of War ......................................................................... 2-1
The Value of Planning ........................................................................................ 2-2
Conceptual and Detailed Planning ..................................................................... 2-6
Fundamentals of Planning .................................................................................. 2-9
Key Components of a Plan ............................................................................... 2-14
Chapter 3 DESIGN .............................................................................................................. 3-1
Design Defined ................................................................................................... 3-1
Design Goals ...................................................................................................... 3-2
Design in Context ............................................................................................... 3-3
Leading Design ................................................................................................... 3-6
Design Methodology ........................................................................................... 3-7
Chapter 4 PREPARATION ................................................................................................. 4-1
Preparation Functions ........................................................................................ 4-1
Preparation and the Operations Process ........................................................... 4-2
Preparation Activities .......................................................................................... 4-3

Distribution Restriction: The material in this manual is under development. It is NOT approved doctrine and
CANNOT be used for reference or citation. The approved FM is still current and must be used for reference, or
citation, until this draft is approved and authenticated.
*This publication supersedes FM 5-0, 20 January 2005, and FMI 5-0.1, 14 March 2008.
i
Contents
Chapter 5 EXECUTION ....................................................................................................... 5-1
Fundamentals of Execution ................................................................................ 5-1
Responsibilities During Execution ....................................................................... 5-3
Decisionmaking During Execution ...................................................................... 5-5
Rapid Decisionmaking and Synchronization Process ........................................ 5-8
Chapter 6 ASSESSMENT ................................................................................................... 6-1
Assessment Fundamentals ................................................................................. 6-1
The Assessment Process ................................................................................... 6-1
Assessment and the Levels of War .................................................................... 6-4
Considerations for Effective Assessment ........................................................... 6-5
Assessment Working Groups ............................................................................. 6-9
Assessment Support ......................................................................................... 6-10
Appendix A COMMAND POST ORGANIZATION AND OPERATIONS .............................. A-1
Appendix B THE MILITARY DECISIONMAKING PROCESS .............................................. B-1
Appendix C TROOP LEADING PROCEDURES ................................................................... C-1
Appendix D GUIDELINES FOR COMMANDER’S PLANNING GUIDANCE........................ D-1
Appendix E ARMY OPERATION PLAN AND ORDER FORMAT ........................................ E-1
Appendix F TASK ORGANIZATION ..................................................................................... F-1
Appendix G RUNNING ESTIMATES ..................................................................................... G-1
Appendix H FORMAL ASSESSMENT PLANS ..................................................................... H-1
Appendix I REHEARSALS .................................................................................................... I-1
Appendix J MILITARY BRIEFINGS....................................................................................... J-1
GLOSSARY .......................................................................................... Glossary-1
ANNOTATED BIBLIOGRAPHY .................................. Annotated Bibliography-1
REFERENCES .................................................................................. References-1

Figures
Introductory figure-1. The operations process .......................................................................... vi
Figure 1-1. Combining the elements of full spectrum operations .......................................... 1-3
Figure 1-2. The cognitive hierarchy ....................................................................................... 1-4
Figure 1-3. Battle command and the operations process ...................................................... 1-9
Figure 2-1. The Army problem solving model ........................................................................ 2-3
Figure 2-2. The planning construct ........................................................................................ 2-7
Figure 2-3. Commander’s visualization .................................................................................. 2-9
Figure 3-1. The design methodology ..................................................................................... 3-7
Figure 5-1. Decisions in execution ......................................................................................... 5-6
Figure 5-2. Rapid decisionmaking and synchronization process .......................................... 5-8
Figure A-1. Functional and integrating cells........................................................................... A-3
Figure A-2. Integration of plans, future operations, and current operations .......................... A-5
ii FM 5-0 (FINAL APPROVED DRAFT) 25 February 2010
Contents
Figure B-1. The steps of the military decisionmaking process ...............................................B-3
Figure B-2. Mission analysis ...................................................................................................B-6
Figure B-3. COA development .............................................................................................B-15
Figure B-4. Sample brigade COA sketch .............................................................................B-20
Figure B-5. COA analysis and war-gaming ..........................................................................B-21
Figure B-6. Sample belt method ...........................................................................................B-26
Figure B-7. Sample modified belt method using lines of effort .............................................B-27
Figure B-8. Sample avenue-in-depth method ......................................................................B-27
Figure B-9. Sample modified avenue-in-depth method using lines of effort ........................B-28
Figure B-10. Sample box method .........................................................................................B-28
Figure B-11. Sample modified box method using lines of effort ...........................................B-29
Figure B-12. Sample synchronization matrix technique .......................................................B-29
Figure B-13. Sample sketch note technique ........................................................................B-31
Figure B-14. COA comparison .............................................................................................B-34
Figure B-15. Sample advantages and disadvantages .........................................................B-34
Figure B-16. Sample decision matrix ...................................................................................B-35
Figure C-1. Parallel planning ................................................................................................. C-2
Figure C-2. Planning at company and below ........................................................................ C-3
Figure C-3. Sample schedule ................................................................................................ C-4
Figure C-4. Sample mission and COA statements................................................................ C-9
Figure E-1. Paragraph layout for plans and orders ................................................................E-4
Figure E-2. Annotated Army OPLAN/OPORD format ............................................................E-9
Figure E-3. Annotated attachment format (general) .............................................................E-21
Figure E-4. Annotated WARNO format ................................................................................E-23
Figure E-5. Annotated sample FRAGO ................................................................................E-25
Figure E-6. Example of overlay order graphic ......................................................................E-26
Figure F-1. Sample outline format for a task organization (52d Infantry Division) ................. F-5
Figure G-1. Generic base running estimate format ............................................................... G-2
Figure H-1. Sample of end state conditions for defensive operations................................... H-3
Figure H-2. Sample of end state conditions for stability operations ...................................... H-4
Figure H-3. Sample assessment framework ......................................................................... H-6
Figure I-1. Rehearsal techniques ............................................................................................ I-3
Figure J-1. Information briefing format ................................................................................... J-1
Figure J-2. Decision briefing format ....................................................................................... J-2
Figure J-3. Considerations during planning ............................................................................ J-4
Figure J-4. Considerations during preparation ....................................................................... J-5

Tables
Introductory table-1. New Army terms ..................................................................................... viii
Introductory table-2. Modified Army definitions ....................................................................... viii
25 February 2010 FM 5-0 (FINAL APPROVED DRAFT) iii
Contents
Introductory table-3. Rescinded Army definitions ................................................................... viii
Table 2-1. Types of problems and solution strategies ........................................................... 2-4
Table 5-1. Decision types and related actions ....................................................................... 5-7
Table 5-2. Examples of change indicators ............................................................................. 5-9
Table 5-3. Considerations for synchronization and decision implementation actions ......... 5-12
Table 6-1. Assessment measures and indicators .................................................................. 6-3
Table B-1. Historical minimum planning ratios .................................................................... B-16
Table E-1. Designated letters for dates and times ................................................................. E-6
Table E-2. List of attachments and responsible staff officers .............................................. E-17
Table F-1. Army command relationships ............................................................................... F-3
Table F-2. Army support relationships ................................................................................... F-4
Table F-3. Order for listing units in a task organization ......................................................... F-7
Table I-1. Example sustainment and protection actions for rehearsals ................................ I-12

iv FM 5-0 (FINAL APPROVED DRAFT) 25 February 2010
Preface
The six chapters and its associated ten appendixes of this edition of field manual (FM) 5-0, The Operations
Process, constitute the Army‘s view on planning, preparing, executing, and assessing operations. Together with
FM 6-0, Mission Command: Command and Control of Army Forces, this manual provides the Army with a
common philosophy and language for the exercise of command and control throughout the conduct of
operations.
This version of FM 5-0 increases the scope of the manual over previous versions from strictly a manual on
planning and orders production to a manual that addresses all activities of the operations process. It describes
how commanders, with support from their staffs, drive the operations process through battle command—the art
and science of understanding, visualizing, describing, directing, leading, and assessing operations to accomplish
missions. This change intends to better describe the dynamic relationship among the commander, staff,
subordinate commanders and their staffs, and other military and civilian partners throughout the operations
process—not just planning. In addition, FM 5-0 incorporates design within the operations process. Design is an
approach to critical and creative thinking that assists commanders in understanding, visualizing, and describing
complex problems and developing approaches to manage or solve them.
To comprehend the doctrine contained in FM 5-0, readers must first understand the fundamentals of full
spectrum operations described in FM 3-0, Operations. In addition, readers must be familiar with FM 3-90,
Tactics, FM 3-07, Stability Operations, and JP 3-28, Civil Support. They must understand how offensive,
defensive, and stability or civil support operations complement each other. Readers must also understand the
fundamentals of command and control addressed in FM 6-0 and the fundamentals of leadership addressed in
FM 6-22, Army Leadership.
This manual applies to all Army forces. The principal audience for this manual is Army commanders and staff
officers. Commanders and staff officers of Army headquarters serving as a joint task force or a multinational
headquarters should also refer to applicable joint or multinational doctrine for the exercise of command and
control. Trainers and educators throughout the Army also use this manual.
Terms that have joint or Army definitions are identified in both the glossary and the text. Glossary references:
The glossary lists most terms used in FM 5-0 that have joint or Army definitions. Terms for which FM 5-0 is
the proponent field manual (the authority) are indicated with an asterisk in the glossary. Text references:
Definitions for which FM 5-0 is the proponent field manual are printed in boldface in the text. These terms and
their definitions will be incorporated into the next revision of FM 1-02, Operational Terms and Graphics. For
other definitions in the text, the term is italicized and the number of the proponent manual follows the
definition.
FM 5-0 applies to the Active Army, the Army National Guard/Army National Guard of the United States, and
the United States Army Reserve unless otherwise stated.
Headquarters, U.S. Army Training and Doctrine Command, is the proponent for this publication. The preparing
agency is the Combined Arms Doctrine Directorate, U.S. Army Combined Arms Center. Send written
comments and recommendations on DA Form 2028 (Recommended Changes to Publications and Blank Forms)
to Commander, U.S. Army Combined Arms Center and Fort Leavenworth, ATTN: ATZL-CD (FM 5-0), 300
McPherson Avenue, Fort Leavenworth, KS 66027-2337; by e-mail to: [email protected]; or
submit an electronic DA Form 2028.
25 February 2010 FM 5-0 (FINAL APPROVED DRAFT) v
Introduction
Army forces conduct full spectrum operations within operational environments characterized by complexity,
uncertainty, and continuous change. In operations, commanders face thinking and adaptive enemies, changing
civilian perceptions and differing agendas of various organizations in an operational area. Commanders can
never predict with certainty how enemies or civilians will act and react or how events may develop. Success in
operations requires leaders to build, maintain, and revise their situational understanding throughout an
operation. Leaders must anticipate, learn, adapt, and manage transitions more effectively than their opponents.
This manual describes how commanders—supported by their staffs, subordinate commanders, and other
military and civilian partners—exercise command and control during the conduct of full spectrum operations.
They do this through the operations process as shown in introductory figure-1. The operations process consists
of the major command and control activities performed during operations: planning, preparing, executing, and
continuously assessing the progress of an operation. Battle command is at the center of the operations process.
Introductory figure-1. The operations process
In addition to the principles of operations found in field manual (FM) 3-0, the doctrine that FM 5-0 prescribes is
built on six fundamentals:
 Commanders drive the operations process through battle command. Staffs perform essential
functions that amplify the effectiveness of operations; however, commanders play the central role
in the operations process through battle command. Battle command is the art and science of
understanding, visualizing, describing, directing, leading, and assessing operations to accomplish
missions. All activities of battle command occur in planning, preparation, execution, and
assessment but vary in emphasis throughout the operations process.
 Situational understanding is fundamental to effective command and control. Throughout the
operations process, commanders (supported by their staffs, the staffs of higher headquarters,
subordinate commanders, and other military and civilian partners) seek to build and maintain their
situational understanding—the product of applying analysis and judgment to relevant information
and knowledge—to facilitate their decisionmaking. Situational understanding is essential for
commanders in establishing the situation‘s context, developing effective plans, assessing
operations, and making quality decisions during execution. Commanders and staffs must
continually work to maintain their situational understanding and work through periods of reduced
understanding as the situation evolves.
vi FM 5-0 (FINAL APPROVED DRAFT) 25 February 2010
Introduction
 Critical and creative thinking aid in understanding and decisionmaking throughout the
operations process. To assist commanders in understanding and decisionmaking, commanders and
staffs apply critical and creative thinking techniques throughout the operations process. Critical
thinking is purposeful, reflective, and self-regulating judgment to determine the meaning and
significance of what is observed or expressed. Creative thinking involves creating something new
or original. Creative thinking leads to new insight, novel approaches, fresh perspectives, and new
ways of understanding and conceiving ideas.
 Commanders continually consider and combine tasks focused on the population (stability or
civil support operations) as well as those tasks focused on enemy forces (offensive and defensive
operations). Military operations involve more than combat between armed opponents. Winning
battles and engagements while shaping the civilian situation is critical to long-term success.
Because of this, commanders continually consider and combine stability tasks focused on the
population with offensive and defensive tasks focused on the enemy during planning and
execution. For homeland security, commanders focus operations on civil support.
 Mission command is the preferred method of exercising command and control. Because of the
complex, uncertain, and ever-changing nature of operations, mission command—as opposed to
detailed command—is the preferred method for exercising command and control. (See FM 6-0.)
Prerequisites for effective mission command are the use of mission orders, full familiarity with the
commander‘s intent throughout the force, and mutual trust and understanding between
commanders and subordinates. Mission command fosters operational adaptability—a quality that
Army leaders and forces exhibit based on critical thinking, comfort with ambiguity and
decentralization, a willingness to accept prudent risk, and the ability to make rapid adjustments
based on continuous assessment of the situation.
 Continuous assessment enables organizational learning and adaptation throughout the conduct
of operations. Assessment is a continuous activity of the operations process and a primary
feedback mechanism that enables the command as a whole to learn and adapt. Plans are based on
imperfect understanding and assumptions on how the commander expects a situation to evolve.
Continuous assessment helps commanders recognize shortcomings in the plan and changes in the
operational environment. In those instances when assessment reveals minor variances from the
commander‘s visualization, commanders adjust plans as required. In those instances when
assessment reveals a significant variance from the commander‘s original visualization,
commanders reframe the problem and develop an entirely new plan as required.
Lessons learned from ongoing operations, transformation to the modular force, and recent revisions to capstone
and keystone joint and Army doctrine required major revisions to the 2005 edition of FM 5-0. Additionally, the
joint community and the Army have developed ways to assist commanders, staffs, and others in understanding
complex problems and ways to develop broad approaches to solve or manage those problems. Collectively, this
approach is referred to as design and is incorporated throughout FM 5-0.
While retaining the details of planning and planning products, this version of FM 5-0 expands the scope of the
manual to include doctrine on the exercise of command and control during all operations process activities
(planning, preparing for, execution, and assessing). Other major changes include:
 An increased emphasis on full spectrum operations (combining elements of offense, defense,
stability, or civil support) throughout the conduct of operations.
 Modifications of command and control techniques and products formerly based on the battlefield
operation systems to the warfighting functions. This affects several areas, including command post
organization, duties of the staff, and formats for operation orders and their attachments.
 Modifications of the military decisionmaking process and operation order format to better account
for design, full spectrum operations, the warfighting functions, and the five Army information
tasks.
 The addition, modification, and rescindment of new Army terms. (See introductory table-1,
introductory table-2, and introductory table-3 on page viii.)
25 February 2010 FM 5-0 (FINAL APPROVED DRAFT) vii
Introduction
Introductory table-1. New Army terms
design indicator2 persistent conflict
evaluating1 mission narrative
Notes:
1 Replaces the term evaluate in FM 6-0. 2 Adds a second definition, Army only.
Introductory table-2. Modified Army definitions
backbrief1 early-entry command post operational approach2
board essential task execution parallel planning
collaborative planning matrix planning horizon
command group1 main command post rehearsal1
command post1 military decisionmaking running estimate2
process
command post cell synchronization matrix
monitoring
constraint tactical command post
nested concepts
decision support matrix working group
Notes:
1 No change to definition. FM 5-0 now the proponent. 2 Changed from FM 3-0.
Introductory table-3. Rescinded Army definitions
attachment general support1 service support order
battle rhythm1 mission statement1 service support plan
center2 overlay order staff element2
decision point1 plan staff estimate3
direct support1 reinforcing1
Notes:
1 Army doctrine will follow joint definitions and common English usage. 3 Rescinded with FM 3-0.
2 A defined term in FMI 5-0.1 that FM 5-0 will not define.
This edition of FM 5-0 provides doctrine on the operations process as a whole, a chapter on design, and a
chapter for each activity of the operations process. The appendixes describe the tactics, techniques, and
procedures for conducting the military decisionmaking process, conducting troop leading procedures, and
writing operation plans and orders.
Chapter 1 provides the foundation for the operations process. This chapter discusses the general nature of
operations. It demonstrates how building, maintaining, and revising situational understanding throughout the
operations process is fundamental to exercising command and control effectively. It describes the relationships
among the operations process activities and how commanders drive the operations process though battle
command. This chapter concludes with discussions of running estimates.
Chapter 2 addresses the fundamentals of planning. It describes planning as an essential element of command
and control and a continuous activity of the operations process. This chapter defines planning, describes
planning at the different levels of war, and lists the value of effective planning. This chapter concludes by
offering fundamentals for effective planning and describing how to develop key components of a plan or order.
Chapter 3 describes the practice of design. It describes a methodology that assists commanders, staffs, and
others in understanding the operational environment, framing problems, and developing a design concept that
guides more detailed planning. This chapter addresses the requirements to reframe the problem when changes in
the operational environment render the design concept, and associated understanding and logic behind the
design concept, no longer applicable.
Chapter 4 is about preparation—the activity that helps transition the force from planning to execution. The
chapter discusses activities within the headquarters and across the force that improve a unit‘s ability to execute
operations.
Chapter 5 provides doctrine for exercising command and control during execution. It provides fundamentals to
guide execution and describes the roles of the commander and staff when directing and synchronizing the
viii FM 5-0 (FINAL APPROVED DRAFT) 25 February 2010