21st Century U.S. Military Manuals: U.S. Marine Corps (USMC) Planning - Marine Corps Doctrinal Publication (MCDP) 5
U.S. Marine Corps, U.S. Military, Department of Defense
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BONUS USMC MARINE CORPS MANUAL
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U.S. Marine Corps
MCDP 5
PCN 142 000004 00
DEPARTMENT OF THE NAVY
Headquarters United States Marine Corps
Washington, D.C. 20380-1775
21 July 1997
FOREWORD
This publication describes the theory and philosophy of military planning as practiced by the U.S. Marine Corps. The intent is to describe how we can prepare effectively for future action when the future is uncertain and unpredictable. In so doing, this publication provides all Marines a conceptual framework for planning in peace, in crisis, or in war. This approach to planning is based on our common understanding of the nature of war and on our warfighting philosophy of maneuver warfare as described in Marine Corps Doctrinal Publication (MCDP) 1, Warfighting.
Our doctrine for planning establishes planning as an essential component of the broader field of command and control. The object of both is to recognize what needs to be done in any given situation and see to it that appropriate actions are taken. This publication should be read in conjunction with MCDP 6, Command and Control. The concepts described therein also generally apply to planning.
The approach to planning presented herein applies across the full spectrum of military actions, ranging from humanitarian assistance on one extreme to war on the other. It applies also to planning for institutional activities such as acquisition, education, and manning. However, the focus here is on operation planning, especially at the tactical level.
As used in this publication, the term "planner" refers not only to members of a designated planning staff but to any person involved in laying out actions in advance. This includes commanders. One of the themes of this publication is that planning is a fundamental responsibility of command. Commanders must be centrally involved in planning.
This publication establishes the authority for the subsequent development of planning doctrine, education, training, procedures, and organization. It provides no specific techniques or procedures for planning; rather, it provides broad guidance, that requires judgment in application. Other publications in the planning series will address specific techniques and procedures for various planning activities.
Chapter 1 is based upon the assumption that in order to develop an effective planning philosophy, we must first develop a realistic appreciation for the nature of the process and an understanding of its related requirements. Based on this understanding, chapter 2 discusses theories about planning and plans. Building on the conclusions of the preceding chapters, chapter 3 describes the Marine Corps' approach to planning.
The doctrine discussed herein applies equally to small-unit leaders and senior commanders. This publication is meant to guide Marines at all levels of command and staff in both the operating forces and the supporting establishment.
C.C. KRULAK
General, U.S. Marine Corps
Commandant of the Marine Corps
Chapter 1
The Nature of Planning
"Nothing succeeds in war except in consequence of a well prepared plan."1
—Napoleon Bonaparte
"I engage, and after that I see what to do."2
—Napoleon Bonaparte
To plan effectively, we must first appreciate the fundamental nature of planning and plans. We must understand the purpose, environment, and characteristics of the process as well as the object and traits of its product. This understanding will become the basis for developing a theory and practical philosophy of planning.
Planning and Plans Defined
Planning is the art and science of envisioning a desired future and laying out effective ways of bringing it about.3 It is a preparation process. Here we draw an important distinction between a process (a dynamic system of related activities) and a procedure (a prescribed sequence of steps for accomplishing some specified task). The planning process may often involve the use of procedures to perform certain tasks, but planning overall is too complex and situation-dependent to be treated as a routine procedure.
Planning is also distinctly a process rather than merely an act because it involves a number of ongoing, iterative, and interdependent activities. Since situations (or the information available about them) continuously change, we must continue to adapt our plans as time allows. Planning is a process that should build upon itself—each step should create a new understanding of the situation which becomes the point of departure for new plans.4 Planning for a particular action only stops with execution, and even then adaptation continues during execution.
Planning encompasses two basic functions—envisioning a desired future and arranging a configuration of potential actions in time and space that will allow us to realize that future. Planning is thus a way of figuring out how to move from the current state to a more desirable future state—even if it does not allow us to control the transition precisely.
Planning involves projecting our thoughts forward in time and space to influence events before they occur rather than merely responding to events as they occur. This means contemplating and evaluating potential decisions and actions in advance. It involves thinking through the consequences of certain potential actions in order to estimate whether they will bring us closer to the desired future. In war, this naturally involves trying to anticipate possible enemy responses to our actions. Planning also involves integrating these individual decisions and actions together into potential sequences and examining the possible implications of these sequences.
We should think of planning as a learning process—as mental preparation which improves our understanding of a situation.5 In its simplest terms, planning is thinking before doing. Even if the plan is not executed precisely as envisioned—and few ever are—the process should result in a deeper situational awareness which improves future decisionmaking. We should thus think of planning as a learning activity that facilitates the exercise of judgment and not as merely a mechanical procedure.
Generically, a plan is any product of planning. It may be a formal, articulated document or an informal scheme. Since planning is an ongoing process, it is better to think of a plan as an interim product based on the information and understanding known at the moment and always subject to revision as new information and understanding emerge.6 A plan is thus a structured configuration of actions in time and space envisioned for the future. A plan is the basis for action, cooperation, and adaptation. Most military plans are arranged hierarchically, as plans for one echelon are nested within the plans of higher echelons.
The Value of Planning
Planning keeps us oriented on future objectives despite the problems and requirements of the present situation. Nearly all military activities can benefit from some kind of planning. This is not the same thing as saying that planning should be done in every situation or that every problem requires a planned solution. The value of planning changes with every situation, with every type of activity, and with every level of an organization. Some situations require extensive planning, and some none at all. We may succeed without planning, and we may fail with it.
Planning is based on the belief that by intervening in events in the present, we can bring about a better future. If there were no way to influence the future, if we perceived that the natural course of events would lead to a satisfactory outcome, or if we believed we could achieve the desired results purely by reacting to the situation as it developed, there would be no reason to plan. There may be cases in which these conditions apply, but these cases are few indeed.
The mere act of planning is not valuable in itself. Use of a prescribed planning procedure does not guarantee that we will improve our situation. Planning takes on value when done properly, using methods appropriate to the conditions and the activities being planned. Done appropriately and well, planning is an extremely valuable activity which greatly improves performance and is a wise investment of time and effort. Done poorly and inappropriately, planning can be worse than irrelevant and a waste of valuable time and energy.
There are several reasons why proper planning is essential. First, planning can be essential to the ability to seize the initiative. In order to seize the initiative, we must be able to anticipate events and act purposefully and effectively before the enemy can. We must be proactive. This normally requires planning. Proper planning puts us in the position to be ready to act when necessary or advantageous and not merely to react to developments.
Second, planning is essential to reduce the unavoidable time lag between decision and action on the battlefield, especially at higher levels. Acknowledging this time lag is not an excuse for acting sluggishly but simply a recognition of the reality of war. While some actions can be implemented immediately, others require forethought and preparation. For example, changing the direction of attack may be a relatively simple and immediate matter at the squad level, but changing the scheme of maneuver of a division, to include all its support, is a more complicated and time-consuming effort requiring greater preparation. Simply changing the priority of fires in a division can take considerable time if it is necessary to move artillery units. If we wait until an event materializes to begin to prepare for it, we may not be able to react quickly enough. Proper planning should help us reduce crises by dealing with situations before they reach crisis proportions. In many situations, prompt action requires advance thought and preparation.
Third, planning is essential when situations reach a certain level of complexity. If a situation is simple enough, we can often devise a solution on the spot. When a situation is more complex, consisting of numerous interrelated activities and decisions, we may not be able to keep track of the various possibilities without working systematically through the problem. One of the basic reasons for planning is to come to grips with complexity. In general, the more complex the situation, the more important and involved becomes the planning effort.
Finally, planning can be essential in novel situations in which experience is lacking. Part of the fundamental value of planning is that it can serve, at least in part, as a substitute for experience.7 When we are sufficiently experienced in a situation, we may know intuitively what to expect, what goals are feasible, and what actions to take. In situations in which we lack specific, first-hand experience, we may use planning to think through the problem systematically and devise a workable solution.
Categories of Military Planning
Military planning comprises two broad categories—-force planning and operation planning. Force planning is planning associated with the creation and maintenance of military capabilities. It supports preparations for war and involves the planning necessary to recruit, organize, train, educate, equip, and provide military forces.8
Operation planning is planning for the mobilization, deployment, employment, sustainment, and redeployment of military forces to accomplish assigned missions. At the strategic level, operation planning involves the development of strategic military objectives, strategic concepts, and tasks in support of national security strategy. At the operational level, planning involves developing campaign plans to link the tactical employment of forces with strategic objectives. At the tactical level, planning involves developing objectives, concepts of operations, and tasks for the employment and sustainment of military forces in combat or noncombat military activities at a particular time and place. This publication will focus on operation planning, although the principles discussed apply in general to force planning.
Planning Takes Many Forms
Within these two broad categories, planning covers a wide range of activities. In force planning, we design desired capabilities into military forces and units. We plan force structure, size, composition, and manning of units. We plan training by establishing training objectives, designing exercises and other training evolutions, and assigning training resources. We plan education from broad curriculum design to detailed lesson plans. We plan the research, development, testing, and fielding of new technologies. We plan manpower accessions.
In operation planning, we may plan strategically, operationally, or tactically. We plan in anticipation of contingencies that may or may not ever occur. We plan mobilization to assemble forces. We plan deployments to move those forces to the theater. We plan the employment of those forces in military evolutions. We plan the sustainment of forces to maintain their combat power. We plan the redeployment of forces at the end of hostilities or the completion of the mission.
We plan in broad designs, producing outline plans which establish the salient features of the concept of operations as the basis for later detailed planning. We plan supporting functional activities such as aviation, intelligence, fire support, or logistics. We plan the necessary details of execution, producing landing plans, for example, which assign specific units to specific landing waves, or communications plans, which establish communications channels and assign frequencies.
We plan with different time horizons, from long-range to midrange to short-range. Depending on the circumstances, we may plan in years, months, or weeks, or we may plan in days, hours, or minutes.
Planning may involve an individual working through the process alone, or it may involve a commander and staff working together. The planning process may be informal—a squad leader developing a simple scheme of maneuver for an attack, for example. It may be more formal, involving specific procedures and responsibilities—as in the deliberate creation, evaluation, and articulation of a course of action. We may plan rapidly when time is short or deliberately when more time is available.
Sometimes the activity to be planned is very specific and the goals very clear. At other times, planning must first determine what the activity and the goals are.
Some planning results in extensive written orders complete with operation annexes.9 Other planning results in brief fragmentary orders issued orally.
Thus, planning can mean different things to different people, to different organizations, or to different echelons within an organization. While almost any military activity involves some form of planning, there is no universal procedure or technique equally suited to all requirements. We must adapt the planning methods we use to the particular requirement we face.
Planning as Command and Control
Planning is an essential and significant part of the broader field of command and control. We can even argue that planning constitutes half of command and control, which includes influencing the conduct of current evolutions and planning future evolutions. The responsibility to plan is inherent in command, and planning supports practically every command function. In other words, all commanders are planners.10 In fact, the commander is probably the single most important factor in effective planning. The commander disciplines the planning process so that it is sensitive to time, planning horizons, simplicity, and level of detail. The commander also disciplines the product to ensure the output is relevant to the moment and suitable to the subordinate.
Since planning is part of command and control, the fundamental object of command and control is also the fundamental object of planning—to recognize what needs to be done in any situation and to ensure that appropriate actions are taken. Planning supports both aspects of command and control. It supports decisionmaking by helping to develop and evaluate potential courses of action, and it supports execution by identifying and detailing measures needed to implement the chosen course of action. As a rule, the higher the echelon, the greater the role of planning in the command and control effort. Some high-level headquarters perform command and control almost exclusively through planning and issuing plans.
Like command and control, planning focuses on solving problems: identifying a problem (the difference between our current situation and the desired outcome) and preparing a tentative configuration of actions intended to achieve that outcome. Thus all planners are problem solvers. Furthermore, since planning is problem solving, then a plan is a practical scheme for solving a problem or set of problems.
The object in planning is not merely to solve the problem in the near term, but to do so in a way that also lays the foundation for long-term success.11 The problem may be broad and conceptual, involving strategic or tactical issues, or it may be more detailed, involving the allocation or assignment of resources. Not all problem solving, however, requires planning. When the problem is simple, planning may not be necessary. When the problem is more complicated—involving a variety of factors—planning becomes essential. This is even more crucial when the problem is actually a complex set of interrelated problems, the solution to each of which affects all the others. If the situation is complex enough, planning may offer the only opportunity to deal with the complete set of problems as a whole.
Command and control can also be viewed as the process of adapting an organization to its surroundings.12 Planning must therefore support adaptation. There are two basic ways to adapt. The first is to anticipate future requirements and prepare for them prior to execution. Anticipation permits us to adapt in a prepared, concerted way. Given the uncertainty of war, however, we cannot possibly anticipate every action. We must also be able to adapt to situations as they unfold. This second form of adaptation, sometimes called improvisation, simply means taking action that was not initially planned. It requires us to modify our plans in order to deal with unforeseen circumstances.
The apparently contradictory quotations by Napoleon at the beginning of this chapter illustrate that both types of adaptation are essential in war. In fact, they are complementary. The real difference between them is time: one occurs sufficiently in advance to allow for preparation while the other occurs in real time.
Planning supports both types of adaptation. Planning is the primary means by which we anticipate requirements and adapt to them in advance. We can thus think of planning as anticipatory adaptation. Planning also supports adaptation in execution because even when we take unplanned action, we rarely act without any preparation at all. Instead, we adjust from an existing scheme based on a common understanding of the situation and the expected result. Thus, the plan, even if not executed as designed, provides the point of departure for later unplanned action.
Finally, we note that since decisionmaking is central to command and control, planning must contribute to effective decisionmaking. In this respect, we can also think of planning as anticipatory decisionmaking—tentative decisions made before the need to act. In this sense, a plan is a system of interrelated decisions subject to revision, and decisions are plans put into effect. The decisions may be broad and conceptual regarding which objectives to pursue or what tactics to adopt, for example, or they may be detailed decisions about resupply rates or the scheduling of aircraft sorties. When decisions are simple or decisionmakers are highly experienced, planning may not be needed. It is when we face multiple decisions that must be integrated—as is the case in nearly all military evolutions—that planning becomes crucial.
The Functions of Planning and Plans
Planning and plans accomplish several key functions.13 First, plans direct and coordinate action by instructing those within the unit what to do and informing those outside the unit how to cooperate and provide support. Plans are thus a principal means through which the commander exercises command and control. In this respect, plans help allocate scarce resources effectively and efficiently. Directing and coordinating action is perhaps the most obvious function of planning, and in some situations it may be one of the most important functions. However, it is not the only function of planning, and we can run into trouble by emphasizing this function too strongly to the neglect of others. Overemphasizing the directing and coordinating function of planning can lead to micromanagement. Under such conditions, if unexpected events occur which nullify the planned action, subordinates may have difficulty adapting.