### *(U) Naval Planning*

> 
*(U) "A nineteenth century sailor    would be bewildered by a modern warship, but regardless of    the appearance of ships, there is one element, the most    important of all, that remains unchanged -- the man himself.    Human nature in all the changing years has altered but little.    It is the human element in warfare which may, if understood    by the commander, prove to be the only way of converting an    impossibility into a successful reality.**With    trained men and proper materials, the commander's task is    reduced to the preparation of good plans**."*

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--*War Instructions*, U.S.    Navy, 1944

### (U) FOREWORD

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(U) Naval planning is fundamental to leadership. Planning    provides the discipline to focus on the objectives,    intentions, capabilities, and resources required to    accomplish assigned missions. Planning also requires    commanders to estimate the capabilities of a potential    adversary and to evaluate options.

(U) In a constantly changing world where geopolitical and    economic realities alter national and regional power    structures, the U.S. Navy and Marine Corps must be ever    vigilant as we deploy forces around the world. Naval planning,    conducted on a continuing basis, ensures that naval forces    are ready and poised to respond quickly to crises or    hostilities. When applied effectively, naval plans focus the    commander's efforts to support all levels of naval, joint, or    multinational operations. All planning procedures apply to    both wartime and peacetime operations. Planning directly    supports the naval commander's requirement to execute combat,    crisis, or humanitarian support. Establishing a robust    planning environment is foremost in assuring preparedness to    execute U.S. national policy.

(U) We will be planning and fighting concurrently,    therefore, planning is done as thoroughly as time permits.    Because joint operation planning uses assumptions about a    future situation, deliberate plans may require adaptations to    prepare several options (such as, flexible deterrent options,    employment of decisive force, and no-warning attack) using    different sets of forces and resources. These deliberate    plans are rapidly transformed into crisis action operations    orders and campaign plans for immediate use in the adaptive    planning process.

(U) The first naval capstone publication, NDP 1, *Naval    Warfare*, describes doctrine as the foundation upon which    our tactics, techniques, and procedures are built. NDP 5, *Naval    Planning*, our planning doctrine, focuses on how we think    about employing forces to win wars. Sound planning doctrine    supports the many techniques and procedures utilized in    military planning, and encompasses the full spectrum of    military operations.

(U) NDP 5 presents broad guidance for the total Navy and    Marine Corps team. It describes the basic tenets of military    planning emphasizing naval planning and how it fits within    both joint operations and the overall strategic/political    superstructure. It examines both the unique planning    requirements mandated by the nature of naval forces and the    commonality constraints imposed by the necessity for    seamlessly transitioning to the joint/multinational arena.    The effectiveness and success of our operations demand that    every naval professional understand the contents of NDP 5.

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### (U) INTRODUCTION

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*(U) "The commander's challenge is    to identify quickly enemy strengths and weaknesses, and    recognize critical vulnerabilities when they appear. He must    rapidly devise plans to avoid the strengths, exploit the    weaknesses, and direct the focus of effort toward attacking    the critical vulnerabilities so that he can ultimately    collapse the enemy's center of gravity."*

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--NDP 1, *Naval Warfare*

(U) Planning is central to everything we do as a military    force; we can neither train nor operate without plans.    Planning determines the composition of naval forces and the    role we play in national strategy.

(U) When men and women of our armed forces are forward    deployed -- as a deterrent, conducting humanitarian    operations, or in combat -- they are at risk. It is a    fundamental military tenet that our forces be employed with a    clear mission, adequate support, and good intelligence. This    careful prior consideration together with a balance between    mission objectives and the means to accomplish them is the    essence of a good plan.

(U) Planning processes are functionally divided into two    major categories: force planning and operational planning.    Force planning is conducted by the Military Departments,    Services, and U.S. Special Operations command to determine    our structure. Joint operation planning is conducted at all    levels in the chain of command, from the National Command    Authorities to the deployed unit, to determine how we will    fight. Force planning and operational planning are of equal    importance and are mutually supporting, but it is joint    operation planning which produces our war plans and is the    topic of this publication. Despite enormous changes in global    politics, the formal process by which an operational military    plan is developed is well-defined, and has changed very    little since its adoption. The military professional should    be: knowledgeable of the planning process and its products;    able to interpret and use joint planning products in naval    operations; and able to adapt the principles of military    planning to operations at the unit level.

(U) Planning, with all of its implications for readiness    and risk-reduction, is a principal leadership concern. The    Commanding Officer is responsible for executing the strategic    and operational plans of his superiors. In addition, the    Commanding Officer is the approval authority for tactical    plans affecting his unit. The level at which planning is    conducted determines the formality of the process and the    number of people involved, but all military operations    involve simultaneous planning at multiple levels within the    chain of command.

(U) Translating the strategic direction in "*...From    the Sea*" into doctrinal reality, NDP 1, *Naval    Warfare*, was signed on 28 March 1994. It provides a    framework for detailed Navy and Marine Corps doctrine and    introduces what we do; how we fight; and the importance of    readiness, flexibility, self-sufficiency, and mobility in    expeditionary operations. NDP 5, *Naval Planning*,    supports NDP 1 by discussing the contribution of planning to    our combat readiness.

(U) NDP 5 explains why we plan, describes the planning    process, and develops doctrine for planning naval operations.    Detailed information on how to plan is found one echelon down    in Naval Warfare Publication (NWP) 5-01 (formerly NWP-11), *Naval    Operational Planning*, and FMFM 3-1, *Command and Staff    Action*, which contain current guidelines and formats for    naval operation planning.

(U) Our freedom to use the seas is defended by our naval    services. Planning is integral to our combat readiness and    our ability to remain forward deployed, daily engaged on the    oceans and in the regions which are vital to our national    interests. Our leaders must understand and employ planning to    be effective in the changing and often dangerous environment    in which we operate. Planning processes, however, are nothing    more than aids to commanders; they are hedges against human    error, assurances that no reasonable options are left    inadvertently unexplored. Plans are not a substitute for    common sense, experience, or judgment. Armed with a good plan    and competent leadership, the men and women of the naval    services stand ready to defend our interests in combat, to    forward deploy as a deterrent, and to conduct peacetime    operations wherever and whenever called upon.

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### (U) EXECUTIVE SUMMARY

#### (U) Naval Planning Overview

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(U) Naval Doctrine Publication 5, *Naval Planning*,    defines the basics of planning, **describes the overarching    naval planning guidelines, and ties naval planning to joint    operation planning.** It provides the framework for    planning the use of naval forces in naval, joint, and    multinational operations and training.

(U) Naval planning is an extremely important function in    war. At all levels of war and echelons of command, naval    planning links the military activities that characterize    naval operations to military objectives established by the    National Command Authorities. Naval planning is the means by    which the commander coordinates naval force activities in    time, space, and purpose in order to achieve naval, joint,    and multinational unity of effort toward a strategic    objective.

#### (U) The Basics of Planning

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(U) Chapter One describes the basics of planning, why we    plan, military planning, planning principles, and the    military planning logic. **Planning processes based on the    basic planning principles, (relevance, clarity, timeliness,    flexibility, participation, economy of resources, security,    coordination) and the military planning logic** provides    for orderly and coordinated actions of naval forces. Military    planning is a process that relies on the commander to solve    problems and make decisions to achieve an objective in an    environment of dynamic requirements and changing events.

#### (U) National Security and Joint Operation

#### Planning

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(U) Chapter Two presents planning in the national security    environment. It focuses on joint operation planning, the    joint operation planning process, and campaign planning. **Joint    operation planning describes all planning activities required    to conduct joint operations including mobilization,    deployment, employment, sustainment, and redeployment of    forces.** Joint Operation Planning is conducted within the    chain of command, from the National Command Authorities    through the combatant commanders to the component commanders.    Primary responsibility for joint operation planning rests    with the Chairman of the Joint Chiefs of Staff and the    combatant commanders. Joint Operation Planning is a    sequential process performed simultaneously at the strategic,    operational and tactical levels of war. Joint operation    planning includes the preparation of operation plans (OPLANS),    OPLANS in a concept format (CONPLANS), functional plans,    campaign plans, and operation orders.

**(U) Plans are developed using one of three joint    operation planning processes: campaign planning, deliberate    planning, or crisis action planning.** The campaign plan    embodies the combatant commander's strategic vision of    related operations necessary to attain theater strategic    objectives. Deliberate planning is conducted principally in    peacetime to develop joint operation plans for contingencies    identified in strategic planning documents. Crisis action    planning is based on current events, is time sensitive, and    follows procedures that parallel deliberate planning, but is    more flexible and responsive to changing events.

#### (U) Naval Operation Planning

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(U) Chapter Three **defines naval operation planning, the    naval planning process, naval component planning and naval    coordination in joint and multinational operations.** Navy    and Marine Corps forces use mission-type orders that specify    the "what" while relying on the initiative and    leadership of their commanders to provide the "how".

(U) Navy forces develop and implement plans using Maritime    Tactical Messages, a standardization of the General Operating    Instructions known as Operational General Matters (OPGEN),    Operational Tasks (OPTASK), and Operational Status messages (OPSTAT).    These message **formats are compatible with the Joint    Operation Planning and Execution System and multinational    navies.**

(U) The basis for Marine Corps planning is the Fifteen    Step Analytical Planning process. This analytical planning    model ensures the detailed planning and coordination needed    to execute complex naval operations is accomplished. To    increase the rapidity of planning, two derivatives of the    fifteen step model are utilized: the Maneuver Warfare    Planning Process and the Rapid Response Planning Process. No    matter which planning model is used, the **Marine force    commander is linked to the unified commander, joint task    force commander, and the Navy component commander by the    standard format of the Joint Operation Planning and Execution    System Operation Order.**

#### (U) Conclusion

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(U) Naval planning provides the **common, logical    framework** within which naval commanders and staff    officers can analyze their mission, evaluate the situation,    decide the best course of action, translate the decision into    planned action, and monitor and modify the planned action as    required. **Naval planning is joint planning tailored to the    unique naval environment.**

(U) Understanding the planning processes associated with    employment of naval forces in peacetime, crisis, and war is    essential for all Navy and Marine Corps officers. **Nothing    warfighters do in peacetime is more important than planning    for war.**

#### (U) Appendices

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(U) Supporting appendices provide a glossary and a list of    suggested follow-on readings.

**[****Cover****][****Introduction****][****Chapter1****] [****Chapter 2****][****Chapter3****] [****Conclusion****][****Glossary****][****DownloadArea****]**