Chapter 15

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The problem involved in the first step has been conveniently termed the basic problem because it is directly concerned with the attainment of the assigned objective (page 81). The solution of the basic problem in the first step, and of its corollary in the second step, completes the planning stage.

The Third Step

The third step consists of the formulation, and--if appropriate--the issue, of the directives which convey to the subordinate the will and intent of the commander. From the mental standpoint, the third step begins when the commander forms the intent of immediately promulgating his directives for the execution of the planned action. Whether or not the third step is partially combined with the second, its problem is a separate one. Its complete solution inaugurates the action planned in the second step.

The third step is discussed and developed in Chapter VIII.

The Fourth Step

The fourth step, which calls for mental effort in the solution of the problem of supervising the action, requires a constant, close observation of the unfolding of the original situation. The procedure employed is customarily termed The Running Estimate of the Situation. Only an alert commander can invariably determine whether the situation is unfolding along the lines desired by him, as promulgated in the directives of the third step. In effect, the commander, after action is begun, considers the changing situation as a variable in the problem presented for his solution by the original (basic) situation. With the march of events, he is, therefore, constantly critical to detect whether variations from the original situation are in accordance with his design or whether these variations have introduced new incentives which demand modification or alteration of his plan, or its complete abandonment.

The fourth step is discussed and developed in Chapter IX.

Sequence of Events in the Four Steps

When all of the elements of the entire procedure of the four steps are present, they take, from the viewpoint of the same commander throughout, the following form:

(1) First step: The commander, confronted with a strategical situation (page 83), makes a strategical estimate and comes to a strategical Decision. The problem, the estimate, and the Decision are basic.

(2) Second step: The commander now is confronted with a particular problem, one proceeding from his basic problem and involving the details of a plan of execution to carry out the Decision reached in the first step; this problem consists, itself, of numerous other problems of detail, which require solution by the commander himself. The basic Decision has embodied an outlined plan, strategical in nature, for an operation to accomplish the motivating task of the first step. This plan requires resolution into the detailed operations necessary for its full accomplishment.

Each such detailed operation, as part of the outlined plan embodied in the strategical Decision, calls for a proper estimate. Though usually not formal in nature, more especially if the necessary data can be found in the basic estimate, such estimates are fundamentally the same as for the basic problem. The assembly of such detailed operations results in the formulation of a basic plan.

At this point, additional problems may present themselves, these being frequently tactical in nature. Such, for example, may be sortie plans, approach plans, and Battle Plans. Other specialized plans (training, intelligence, logistics, etc.) may be needed. The data essential for the solution of such problems are more detailed than for the usual strategical basic problem. In some instances, such subsidiary plans may be developed directly from the basic Decision by procedures distinctive of the second step. In other instances, solution may require an additional subsidiary estimate, along the lines typical of the first step. These subsidiary estimates lead to subsidiary decisions, which in turn require to be resolved into the necessary detailed operations.

(3) Third step: In the third step, the directives, if the basic problem was strategical in nature, will be of a strategical character. However, if subsidiary tactical problems were also involved, tactical directives will frequently be included. Logistics directives and other specialized instructions may also be a feature.

(4) Fourth step: The supervision of the planned action, in the fourth step, may involve a new strategical problem, perhaps several. In such event each new basic problem will initiate a new series of problems, with corresponding directives, as described above. Changes in strategical plans may be called for. If no strategical changes are involved, there may nevertheless be introduced one or more new tactical or logistics problems, with corresponding changes in the subsequent procedure. The fourth step may, however, merely involve changes in supporting plans (tactical, logistics, etc.), with resultant changes in the directives involved. Finally, the fourth step may involve changes, for clarification, in the directives formulated in the third step.

Variations in the foregoing procedure are frequent. The most usual is perhaps the case where the commander, receiving a tactical (instead of a strategical) mission, solves such a tactical problem as a basic problem in the first step; resolves his Decision into detailed tactical operations in the second step; issues a tactical directive or directives in the third step; and supervises his planned tactical action in the fourth step.

Phraseology as to "Course of Action", "Operation", and "Task". It is important to avoid the possibility of becoming confused because each of the terms "a course of action", "an operation", and "a task", is correctly visualized as "an act or a series of acts". In the first step, the selected course of action (see page 104) indicates the "act or series of acts" decided upon as representing, in general terms, an effort for attainment of a specified objective and is therefore stated as a comprehensive method of attaining that objective. The Decision thus adopts this course of action as a general plan of operations, or as a basis therefor.

In the second step, the required action is developed to place it upon a practical, workable basis as a detailed plan to be executed. The "act or series of acts" represented by the selected "course of action" has now become a detailed "act or series of acts". As such, it is now susceptible of being assigned, in whole or in part, to subordinate commanders as "tasks". The cycle within that particular echelon is completed when the tasks are thus assigned. The commander has thereby charged his immediate subordinates with the commission of specific "acts or series of acts".

Each such subordinate commander necessarily decides on the best method of accomplishing his assigned task, i.e., on the course of action (act or series of acts) which will best accomplish the effort required of him. The procedure (for each commander on that echelon) thus begins anew until an echelon is reached where the character of the required action has already been determined as a matter of routine (see page 84).

The Use of a Form in the Solution of Problems

The natural mental processes (see page 19) are employed in all of the four steps. The processes, in each step, require modification to an extent dependent upon the factors to be evaluated.

A form has been adopted for the application of the mental processes in the first step. This form, long known to the military profession as The outline of The Estimate of The Situation (see Appendix), sets forth in a logical manner and order the several considerations likely to influence the selection of correct military objectives in problems of wide, as well as of lesser, scope. The use of this form is conducive to uniformity of reasoning. It centers the attention upon essentials, in order to ensure that no material factor bearing on the solution of the problem is overlooked. It guides thought along a specific path and, through the influence of suggestion, deliberately increases the expenditure of mental effort.

The procedure indicated in the form contributes to the Decision reached as a result of an Estimate of the Situation, only to the extent that it provides an outline for, and encouragement of, systematic analysis and reasoning.

To prove successful in stimulating rather than stifling creative thought, flexibility is a characteristic of any form capable of application in such dissimilar circumstances as may be presented by the varying scope of military problems. The Estimate Form is such a flexible guide. If a commander, in solving a problem, feels the need of greater flexibility, he may, of course, modify or adapt the form to his particular needs. In so doing, however, he bears in mind that departure from orderly processes of reasoning, on which the form is based, tends, through possible neglect of fundamental considerations, to lead to the omission of essential features of the analysis.

On the other hand, a rigid following of the form may frequently cause much repetition. This may be avoided, unless desired for emphasis or other appropriate reasons, by reference back to preceding portions of the estimate. It is also to be noted, however, that the Estimate Form is adapted to a progressive procedure. Very frequently the earlier consideration of some aspect of the problem can later be expanded both in scope and in proper detail by reason of additional information which has become available during the intervening stages of the procedure.

The distinction between certain strategical and tactical problems (page 83) may introduce variations in the handling of the Estimate Form, and may affect the weight to be given the various factors. The use of the Estimate Form, as described in Chapter VI, applies in full to problems which embrace the complete scope of broad strategical concepts. It is suitable also for problems of limited scope, for which certain modifications or abbreviations are required. When applied to problems of a detailed tactical nature, the emphasis on the factors of fighting strength is somewhat different from that for strategical problems. For certain subsidiary problems (page 106), the Form may be closely applicable or may require considerable adaptation. In no case is it difficult to modify the Form to suit the requirements of the problem.

An estimate of a relatively broad strategical situation may normally be reduced to writing, because time is usually available. On the other hand, an estimate of a localized tactical situation frequently requires almost instantaneous decision. Except in the preparation of plans to meet contingencies, such an estimate can rarely be given the elaborate form frequent in estimates of situations which are broadly strategical in nature. When such tactical plans are prepared well in advance of the event, the commander bases the estimate upon various assumptions as to the circumstances of a probable situation.

The written solution of tactical situations under various assumptions is a valuable feature of training to this end.

During the second step, i.e., the resolution of the action, as embodied in the Decision, into the detailed operations required, the method considered most helpful is to arrange the procedure on the basis of the salient features of a military operation (page 39 and Section III of Chapter IV). This procedure facilitates not only the determination of the necessary operations, but also the later formulation of directives.

The second step, like the first, makes use of the estimate procedure. This is inevitable, in view of the fact that the mental processes are identical (page 106) for the solution of the problem of both steps.

The application of the estimate procedure to the second step may be tested, aside from the logic of the theory involved, by careful analysis of examples. For instance, if the basic Decision was to determine the location of enemy forces in the area ABCD, this becomes the basis for a plan embodying the best method of determining the location of such enemy forces (an operation, or a series of operations). One method of procedure (course of action) to achieve this objective may be to search the area by aircraft; another may involve a search by cruisers; another by destroyers; another by submarines; etc. The operation or operations finally determined upon may be any one of these, or a combination of two or more of them, perhaps of all of them. The fundamental procedure leading to this conclusion is identical with that of the basic estimate.

There are a number of possible variations of the fundamental mental processes applicable to the second step, according to the facility and the preference of the commander. Practice seems to develop such facility (see also page 94) that entire plans, each properly integrated with respect to physical objectives, relative positions, apportionment of fighting strength, and freedom of action, may be visualized separately from each other.

At the other extreme, the elementary procedure is to utilize these salient features of such a plan, successively, to suggest detailed operations. The features after the first are then used either to adapt or to complete the operations suggested by preceding features, or to suggest new operations. This elementary procedure, being the simpler and more methodical of the two, is the one explained hereafter (Chapter VII).

However, there are various possibilities as to procedures intermediate between these extremes. One such procedure would visualize operations primarily on the basis of correct physical objectives, adapting and completing such operations by reference to the other features; the procedure would then utilize relative positions, etc., to suggest additional operations, which in turn may be similarly adapted or completed. The commander is of course at liberty to use the procedure best suited to his own working methods and to the particular situation; naturally, he bears full responsibility for any errors due to a faulty choice of procedure.

From the standpoint of the exercise of mental power in the solution of military problems, the second step may be taken to include the assembly of the commander's conclusions in the form of directives. The third step begins, however (page 107), when the commander forms the intent of immediately promulgating such directives.

The third step makes use of the Order Form. In our naval service, this form is applicable, with certain modifications, to all written directives pertaining to operations other than routine. The subject matter is presented in a logical sequence which experience has shown to be effective. The Order Form assists in the solution of the problem by providing a comprehensive vehicle with which all echelons are familiar.

In the fourth step, i.e., the supervision of the planned action, the prime essential is the maintenance by the commander of a Running Estimate (page 107). For this purpose there is a definite technique of which the Estimate Form provides the basis, and by means of which the solution of this important problem is aided.

Conclusion As To the Approach to the Solution of Military Problems

The foregoing considerations indicate that planned attainment of a military objective requires the application of mental effort in four distinct steps.

The sequence of the four steps necessarily is fixed because of the consequential relationship among the problems typical of the several steps. The mission, in the first step, furnishes the nature of the appropriate effect desired. Until modified or revoked by higher authority, it clearly remains the governing influence throughout the entire range of mental effort which, in conjunction with the moral and physical effort, is calculated to result finally in the attainment of the assigned objective.

The procedure involved, being natural and universal, is fundamentally the same even in those tactical situations where the commander performs all of the steps in almost instantaneous succession. The Estimate Form, as presented herein, is adaptable to military problems of any nature. The systematic approach represented in the Form is subject to adaptation by the competent commander--provided that the essentials are preserved--in any manner appropriate to his personal preference and to the nature of his particular problem.

The essentials of the military Estimate of the Situation, as a specialized use of the natural mental processes, are inherent in the proper application of the Fundamental Military Principle (see page 82). The Estimate Form merely provides a more detailed guide for the use of the Principle. Facility in the use of the Principle will enable the competent commander, once he has formed a proper understanding of the basis for solution of a problem, to solve the problem correctly without reference to the Estimate Form. Reference to the Form may be necessary in problems of broad scope, in order to ensure a complete survey of factors of fighting strength. Time, in such cases, is usually available for purposes of a detailed study. Subject to this exception, the Principle, alone, may be used effectively as a basis for sound military decision,--a fact of particular significance where time (page 22) is an element of immediate concern.

That this procedure may be successfully and repeatedly applied in the fast-moving events of the decisive tactical engagement is, more particularly, the goal of mental preparation for the exercise of command.