Upload
-
View
133
Download
8
Tags:
Embed Size (px)
Citation preview
JOINT CONTENTS
)RUZDUG �
FOREWORD
BY THE SECRETARY OF STATE FOR DEFENCE
7KH� SULPDU\� DQG� HQGXULQJ� SXUSRVH� RI� WKH� %ULWLVK� DUPHG� IRUFHV� LV� WR� SURWHFW� WKH� IUHHGRP� DQG
WHUULWRULDO�LQWHJULW\�RI�WKH�8QLWHG�.LQJGRP�DQG�LWV�GHSHQGHQW�WHUULWRULHV��DQG�WR�KHOS�VXVWDLQ�WKH
QDWLRQV�ZLGHU�VHFXULW\�LQWHUHVWV���,Q�UHFHQW�\HDUV�WKHLU�RSHUDWLRQDO�FRPPLWPHQWV�KDYH�LQFOXGHG�D
PDMRU� FRQWULEXWLRQ� WR� 1$72�� ZKLFK� KDV� XQGHUSLQQHG� (XURSHDQ� VHFXULW\�� VXSSRUW� WR� WKH� FLYLO
SRZHU�LQ�1RUWKHUQ�,UHODQG��D�UDQJH�RI�WDVNV�DURXQG�WKH�ZRUOG�LQ�VXSSRUW�RI�%ULWDLQV�LQWHUHVWV�DQG
WKRVH�RI�WKH�ZLGHU�LQWHUQDWLRQDO�FRPPXQLW\���DQG�FRPEDW�RSHUDWLRQV�LQ�WKH�)DONODQG�,VODQGV�DQG
WKH�*XOI�
7KH�HQGLQJ�RI�WKH�FROG�ZDU�KDV�EURXJKW�DERXW�PDMRU�FKDQJHV�LQ�WKH�VHFXULW\�HQYLURQPHQW���1RW
OHDVW�� WKH� SURVSHFW� RI� WKH� 8QLWHG� .LQJGRPV� DJDLQ� EHFRPLQJ� LQYROYHG� LQ� D� ZDU� RI� QDWLRQDO
VXUYLYDO� KDV� UHFHGHG�� � +RZHYHU�� RWKHU� ULVNV� WR� LQWHUQDWLRQDO� SHDFH� DQG� VHFXULW\� �� VXFK� DV
QDWLRQDOLVW��HWKQLF�DQG�UHOLJLRXV�WHQVLRQV���ZKLFK�KDG�EHHQ�VXSSUHVVHG�IRU�PDQ\�\HDUV��KDYH�EHHQ
DOORZHG�WR�HUXSW��7RGD\V�VHFXULW\�HQYLURQPHQW�LV�PRUH�FRPSOH[��PRUH�YDULHG�DQG�PRUH�YRODWLOH�
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
SUHSDUHG�WR�PHHW��IUHTXHQWO\�DW�VKRUW�QRWLFH��D�ZLGH�UDQJH�RI�VHFXULW\�FKDOOHQJHV�DQG�RSHUDWLRQDO
FRPPLWPHQWV�ZKLFK�FRXOG�DULVH�LQ�PDQ\�GLIIHUHQW�SDUWV�RI�WKH�ZRUOG�
)DFHG�ZLWK�WRGD\V�GLYHUVH�DQG�RIWHQ�XQSUHGLFWDEOH�FKDOOHQJHV��HYHU\RQH�LQYROYHG�LQ�WKH�8QLWHG
.LQJGRPV� 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� VLQJOH�VHUYLFH� GRFWULQH� PDQXDOV�� WKHUH� KDV� EHHQ� QR� VLQJOH
SXEOLFDWLRQ�ZKLFK� VHWV� RXW� KRZ�ZH�JR� DERXW� WKH�RYHUDOO� EXVLQHVV�RI�GHIHQFH��%ULWLVK�'HIHQFH
'RFWULQH��-:3��������DLPV�WR�ILOO�WKDW�JDS�
%ULWLVK�'HIHQFH�'RFWULQH� LV�EDVHG�RQ�WKH�HQGXULQJ�OHVVRQV�RI�KLVWRU\��SODFHG�LQ� WKH�FRQWH[W�RI
PRGHUQ�H[SHULHQFH�� � ,W�GHVFULEHV� WKH� OLQNDJHV�EHWZHHQ�QDWLRQDO�SROLF\�DQG�PLOLWDU\�RSHUDWLRQV�
DQG�LV�LQWHQGHG�WR�JXLGH�WKRVH�LQYROYHG�LQ�GHIHQFH�DW�VHQLRU�OHYHO��WR�HGXFDWH�VWDII�RIILFHUV�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�*RYHUQPHQWV� VHFXULW\� DQG� GHIHQFH
SROLFLHV�VHW�RXW�LQ�WKH�6WDWHPHQW�RQ�WKH�'HIHQFH�(VWLPDWHV�
CONTENTS
)25(:25'
&217(176
&KDSWHU�2QH� ,1752'8&7,21
� 7KH�1DWXUH�RI�'RFWULQH
� 7KH�,PSRUWDQFH�RI�'RFWULQH
� 7KH�3ULQFLSOHV�RI�:DU
� 'RFWULQH�3XEOLFDWLRQV
� 7KH�/HYHOV�RI�:DUIDUH
&KDSWHU�7ZR� :$5�$1'�$50('�&21)/,&7
� 7KH�1DWXUH�RI�:DU�DQG�$UPHG�&RQIOLFW
� 7KH�'LPHQVLRQV�RI�&RQIOLFW
� &RQIOLFW�LQ�WKH�0RGHUQ�:RUOG
� 7\SHV�RI�&RQIOLFW
&KDSWHU�7KUHH� 6(&85,7<�$1'�'()(1&(
� 7KH�1DWXUH�RI�6HFXULW\
� 7KH�3XUVXLW�RI�6HFXULW\
� 7KH�1DWXUH�RI�'HIHQFH
� 7KH�&RPSRQHQWV�RI�'HIHQFH
� 7KH�8VH�RI�0LOLWDU\�)RUFH
&KDSWHU�)RXU� 675$7(*,&�&216,'(5$7,216
� 7KH�1DWXUH�RI�6WUDWHJ\
� 7KH�(QYLURQPHQW
� 7KH�(QHP\
� (QGV
� :D\V
� 0HDQV
&KDSWHU�)LYH� 81,7('�.,1*'20�6(&85,7<�$1'�'()(1&(
� 7KH�6HFXULW\�&RQWH[W
� 8QLWHG�.LQJGRP�6HFXULW\
� 8QLWHG�.LQJGRP�'HIHQFH
� 7KH�+LJKHU�0DQDJHPHQW�RI�'HIHQFH
&KDSWHU�6L[� %5,7,6+�0,/,7$5<�&$3$%,/,7<
� &DSDELOLW\
� &LUFXPVWDQFHV�LQ�:KLFK�%ULWLVK�)RUFHV�0LJKW�EH�8VHG
� 7\SHV�RI�0LOLWDU\�2SHUDWLRQ
� 1DWXUH�RI�WKH�$UPHG�)RUFHV�5HTXLUHG�E\�WKH�8QLWHG�.LQJGRP
� &DWHJRULHV�RI�)RUFHV
� 3URYLVLRQ�RI�0LOLWDU\�&DSDELOLW\�E\�WKH�6LQJOH�6HUYLFHV
� 7KH�0LOLWDU\�)XQFWLRQV
� 0DLQWDLQLQJ�0LOLWDU\�&DSDELOLW\
&KDSWHU�6HYHQ� &5,6,6�0$1$*(0(17
� 3ULQFLSOHV�RI�&ULVLV�0DQDJHPHQW
� 3ROLWLFDO�&RQWURO�DQG�'LUHFWLRQ
� 2UJDQLVDWLRQ
� &RPPDQG�DQG�&RQWURO
� &ULVLV�0DQDJHPHQW�6HTXHQFH
32676&5,37
$QQH[�$� 35,1&,3/(6�2)�:$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 RoyalNavy's Submarine H3 (in service 1902-1913) seen here passing Nelson's FlagshipHMS Victory in Portsmouth Harbour early this century. Picture courtesy of the ImperialWar Museum.
���
Chapter 1
INTRODUCTION
The Nature of Doctrine
� 3XW�PRVW�VLPSO\��GRFWULQH�LV��WKDW�ZKLFK�LV�WDXJKW����0LOLWDU\�GRFWULQH�LV�GHILQHG�E\�WKH�1RUWK
$WODQWLF�7UHDW\�2UJDQLVDWLRQ��1$72��DV��IXQGDPHQWDO�SULQFLSOHV�E\�ZKLFK�PLOLWDU\�IRUFHV�JXLGH
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
GRFWULQH�PHDQV�PLOLWDU\�GRFWULQH�� �'RFWULQH�LV�QRW�D�VHW�RI�UXOHV��ZKLFK�FDQ�EH�DSSOLHG�ZLWKRXW
WKRXJKW��LW�LV��UDWKHU��D�IUDPHZRUN��IRU�XQGHUVWDQGLQJ�WKH�QDWXUH�RI�DUPHG�FRQIOLFW�DQG�WKH�XVH�RI
PLOLWDU\� IRUFH�� � 6LU� -XOLDQ� &RUEHWW�� GHVFULEHG� LW� DV� �D� FRPPRQ� YHKLFOH� IRU� H[SUHVVLRQ� DQG� D
FRPPRQ�SODQH�RI�WKRXJKW����,WV�SXUSRVH�LV�WR�JXLGH��H[SODLQ�DQG�HGXFDWH��DQG�WR�SURYLGH�WKH�EDVLV
IRU�IXUWKHU�VWXG\�DQG�LQIRUPHG�GHEDWH�
� '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\
DQG�GHULYHV�LWV�DXWKRULW\�IURP�EHLQJ�WKH�GLVWLOODWLRQ�RI�PXFK�KDUG��ZRQ�H[SHULHQFH���7KHUHIRUH�LW
LV�HQGXULQJ��EXW�LW�LV�QRW�XQFKDQJLQJ���'RFWULQH�HYROYHV�LQ�UHVSRQVH�WR�FKDQJHV�LQ�WKH�SROLWLFDO�RU
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�
DQG�HTXLSPHQW�LV�SURFXUHG�
The Importance of Doctrine
� .QRZOHGJH�DQG�XQGHUVWDQGLQJ�RI�GRFWULQH��DQG�LWV�DSSOLFDWLRQ��DLG�FODULW\�RI� WKRXJKW� LQ� WKH
FKDRV� RI� FULVLV� DQG�ZDU�� � 6RXQG� GRFWULQH� SURYLGHV� D� FRPPRQ� DSSURDFK� DQG�ZD\� RI� WKLQNLQJ�
ZKLFK�LV�QRW�ERXQG�E\�SUHVFULSWLYH�UXOHV���7KLV�ZLOO�OHDG�WKURXJK�WUDLQLQJ�WR�FRQVLVWHQW�EHKDYLRXU�
PXWXDO�FRQILGHQFH� DQG�SURSHUO\�RUFKHVWUDWHG� FROOHFWLYH� DFWLRQ��ZLWKRXW� FRQVWUDLQLQJ� LQGLYLGXDO
LQLWLDWLYH���'RFWULQH�DOVR�HQFRPSDVVHV�RUJDQLVDWLRQ�DQG�FRPPDQG��WR�HQVXUH�XQLW\�RI�HIIRUW���,W�LV
UHOHYDQW�DFURVV�WKH�ZKROH�UDQJH�RI�PLOLWDU\�RSHUDWLRQV�DW�VHD��RQ�ODQG�DQG�LQ�WKH�DLU��DQG�DW�HDFK
RI�WKH�OHYHOV�RI�ZDUIDUH���JUDQG�VWUDWHJLF��PLOLWDU\�VWUDWHJLF��RSHUDWLRQDO�DQG�WDFWLFDO����ZKLFK�DUH
H[SODLQHG�LQ�WKH�%R[�DW�WKH�HQG�RI�WKLV�FKDSWHU�
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
SHUPHDWHV�GRFWULQH�DW�DOO�OHYHOV���7KH�3ULQFLSOHV�RI�:DU�UHFRJQLVHG�E\�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
RSHUDWLRQV�DW�DOO�OHYHOV�DQG�WKH\�RIIHU�FULWHULD�DJDLQVW�ZKLFK�SURSRVHG�FRXUVHV�RI�DFWLRQ�PD\�EH
WHVWHG���'LVUHJDUG�RI�WKHP�FRXUWV�IDLOXUH�
1 AAP-6: NATO Glossary
2 Sir Julian Corbett (1854 - 1922) - maritime historian and strategist.
BritishDefence Doctrine
JWP 0-01
BritishMaritimeDoctrineBR1806
BritishMilitaryDoctrine
BMD
AirPower
DoctrineAP3000
United KingdomDoctrine for
Joint and Combined OperationsJWP 0-01
AlliedJoint
OperationsDoctrine
(AJP-1(A))
Tactics, Techniques and Procedures
BRITISH DOCTRINE HIERARCHY
Figure 1
���
Doctrine Publications
� %ULWLVK�'HIHQFH�'RFWULQH���7KLV�SXEOLFDWLRQ��LV�FRQFHUQHG�FKLHIO\�ZLWK�WKH��VWUDWHJLF��OHYHO��LW
GHVFULEHV�WKH�OLQNDJHV�EHWZHHQ�QDWLRQDO�SROLF\�DQG�PLOLWDU\�RSHUDWLRQV���,W�VLWV�DW�WKH�DSH[�RI�WKH
KLHUDUFK\�RI�8QLWHG�.LQJGRP�GRFWULQH�SXEOLFDWLRQV��VKRZQ�DW�)LJXUH����DQG�LV�WKH�DXWKRULWDWLYH
VRXUFH� IURP� ZKLFK� DOO� 8QLWHG� .LQJGRP� GRFWULQH� VKRXOG� EH� GHULYHG�� � 7KLV� LQFOXGHV� GRFWULQH
GHDOLQJ�ZLWK�VLQJOH�6HUYLFH�RSHUDWLRQV��MRLQW�RSHUDWLRQV��ZKLFK�LQYROYH�PRUH�WKDQ�RQH�VHUYLFH�RI
WKH� VDPH� QDWLRQ�� DQG� FRPELQHG� RSHUDWLRQV� �ZKLFK� LQYROYH� IRUFHV� IURP� WZR� RU�PRUH� QDWLRQV��
%ULWLVK�'HIHQFH�'RFWULQH�GHVFULEHV�WKH�QDWXUH�DQG�GLPHQVLRQV�RI�FRQIOLFW��WKH�QDWXUH�RI�VHFXULW\
DQG� WKH� FRPSRQHQWV� RI� GHIHQFH�� � ,W� GLVFXVVHV� KRZ� WKH� 8QLWHG� .LQJGRPV� $UPHG� )RUFHV� FDQ
FRQWULEXWH�WR�QDWLRQDO�VHFXULW\�DQG�WKH�ZD\�LQ�ZKLFK�WKH�VWUDWHJLF�PLOLWDU\�GLUHFWLRQ�RI�RSHUDWLRQV
LV�IRUPXODWHG�DQG�SDVVHG�WR�RSHUDWLRQDO�FRPPDQGHUV�� � ,W�GHDOV�ZLWK�KRZ�WKH�$UPHG�)RUFHV�DUH
OLNHO\�WR�EH�XVHG�� LQ�FRQFHUW�ZLWK�HDFK�RWKHU�DQG�ZLWK�DOOLHG�IRUFHV��QRZ�DQG� LQ� WKH� LPPHGLDWH
IXWXUH���,W�ZLOO�EH�SHULRGLFDOO\�UHYLHZHG�DQG�XSGDWHG�
� 2WKHU� 'RFWULQH� 3XEOLFDWLRQV�� � 7KH� 5R\DO� 1DY\�� $UP\� DQG� 5R\DO� $LU� )RUFH� KDYH� HDFK
SXEOLVKHG�D�GRFWULQH�PDQXDO�GHDOLQJ�UHVSHFWLYHO\�ZLWK�PDULWLPH��ODQG�DQG�DLU�ZDUIDUH��WKHVH�DUH�
7KH�)XQGDPHQWDOV�RI�%ULWLVK�0DULWLPH�'RFWULQH��'HVLJQ� IRU�0LOLWDU\�2SHUDWLRQV� ��7KH�%ULWLVK
0LOLWDU\� 'RFWULQH�� DQG� 5R\DO� $LU� )RUFH� $LU� 3RZHU� 'RFWULQH��� 1$72V� 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
ZKLFK�FRQVLGHU�WKH�DSSOLFDWLRQ�RI�PLOLWDU\�IRUFH�IURP�GLIIHUHQW�YLHZSRLQWV���,W�LV�8QLWHG�.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�
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).
Doctine is relevant across the wholerange of military operations. Seen here,British and Canadian troops comeashore in Normandy, 6 June 1944.Picture courtesy of the Imperial WarMuseum.
���
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
LQWHUGHSHQGHQW��LQ�SUDFWLFH�WKH�OHYHOV�RYHUODS�DQG�WKH�GLVWLQFWLRQV�ZLOO�UDUHO\�EH�WLG\���+RZHYHU�
LW�LV�LPSRUWDQW�WR�UHFRJQLVH�WKDW�WKH�GLIIHUHQFH�LV�QRW�PHUHO\�D�PDWWHU�RI�VFDOH�DQG�WKDW�WKHUH�DUH
GLVWLQFWLYH�HOHPHQWV�DW�HDFK�OHYHO��LUUHVSHFWLYH�RI�WKH�VL]H�RU�QDWXUH�RI�WKH�RSHUDWLRQ���7KH�OHYHOV
DUH�GHVFULEHG�LQ�WKH�IROORZLQJ�SDUDJUDSKV�
� *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
FRKHUHQFH�WR�DOO�DVSHFWV�RI�QDWLRQDO�SROLF\���,W�LV�WKH�SURYLQFH�RI�PLQLVWHUV�DQG�WKHLU�PRVW�VHQLRU
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
SUHSDUHG�WR�GHDO�ZLWK�LW���7KXV�JUDQG�VWUDWHJ\�PXVW�EH�IRUZDUG�ORRNLQJ�WR�DQWLFLSDWH�WKH�YDULRXV
ZD\V� LQ�ZKLFK� D� SRWHQWLDO� RSSRQHQW� �DQG� DQ\� RWKHU� SDUWLFLSDQWV��PLJKW� UHDFW� ERWK� EHIRUH� DQG
DIWHU�PLOLWDU\�DFWLRQ�KDV�EHHQ�LQLWLDWHG�
� 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���,W�LV�WKH�UHVSRQVLELOLW\
RI� WKH� &KLHI� RI� WKH� 'HIHQFH� 6WDII� WR� SURYLGH� PLOLWDU\� VWUDWHJLF� GLUHFWLRQ� WR� RSHUDWLRQDO
FRPPDQGHUV���7KLV�LV�XVXDOO\�H[SUHVVHG�LQ�WKH�IRUP�RI�WKH�&KLHI�RI�WKH�'HIHQFH�6WDIIV�'LUHFWLYH
RU��LQ�WKH�FDVH�RI�1$72��WKH�0LOLWDU\�&RPPLWWHHV�'LUHFWLYH�
� 7KH�2SHUDWLRQDO�/HYHO�LV�FRQFHUQHG�ZLWK�WKH�GLUHFWLRQ�RI�PLOLWDU\�UHVRXUFHV�WR�DFKLHYH
PLOLWDU\� VWUDWHJLF� REMHFWLYHV�� ,W� LV� WKH� OHYHO� DW� ZKLFK� FDPSDLJQV� DQG� PDMRU� RSHUDWLRQV� DUH
SODQQHG�� VHTXHQFHG� DQG�GLUHFWHG�� � ,W� LV� WKH� UHVSRQVLELOLW\� RI� WKH� RSHUDWLRQDO� OHYHO� FRPPDQGHU�
XVXDOO\� LGHQWLILDEOH� DV� WKH� MRLQW� RU� FRPELQHG� IRUFH� FRPPDQGHU� LQ� WKH� WKHDWUH�RI�RSHUDWLRQV�� WR
GHWHUPLQH�WKH�FDPSDLJQ�SODQ�DQG�DVVRFLDWHG�REMHFWLYHV�UHTXLUHG�WR�DFKLHYH�WKH�GHVLUHG�PLOLWDU\
VWUDWHJLF� HQG� VWDWH
ZLWKLQ� KLV� GHVLJQDWHG
WKHDWUH� RI� RSHUDWLRQV�
7KH� RSHUDWLRQDO� OHYHO
SURYLGHV� WKH� FUXFLDO
OLQN� EHWZHHQ� WKH
VHWWLQJ� RI� PLOLWDU\
VWUDWHJLF� REMHFWLYHV
DQG� WKH� WDFWLFDO
HPSOR\PHQW�RI�IRUFHV�
7KH�RUFKHVWUDWLRQ�RI�PLOLWDU\�DFWLYLWLHV�DW� WKLV� OHYHO� LV� WHUPHG�2SHUDWLRQDO�$UW�� LW� LV�YLWDO� WR� WKH
VXFFHVV�RI�DQ\�FDPSDLJQ�DQG�LV�RQH�RI�WKH�PRVW�LPSRUWDQW�VNLOOV�ZKLFK�PLOLWDU\�OHDGHUV�QHHGV�WR
GHYHORS�
British Minehunters in The Gulf,1991
���
� 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
FRPELQHG�IRUFH�FRPSRQHQW�FRPPDQGHUV�DQG�WKHLU�VXERUGLQDWHV�
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
LPSOHPHQW�D�VHULHV�RI� UHVSRQVHV�� LQFOXGLQJ� WKH�XVH�RI�PLOLWDU\� IRUFH�� IROORZLQJ� WKH� LQYDVLRQ�RI
.XZDLW�E\�,UDT���7KH�IUDPHZRUN�ZDV�VHW�E\�WKH�MRLQW�VWDWHPHQWV�E\�3UHVLGHQW�*HRUJH�%XVK�DQG
3ULPH�0LQLVWHU�0DUJDUHW�7KDWFKHU�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
LQWHUHVW���6XEVHTXHQW�GHFLVLRQV�DW�WKLV�OHYHO�UHODWHG�WR�WKH�IUDPLQJ�DQG�SDVVLQJ�RI�8QLWHG�1DWLRQV
6HFXULW\�&RXQFLO�5HVROXWLRQ������ZKLFK�UHSUHVHQWHG�WKH�JUDQG�VWUDWHJLF�REMHFWLYH��PDQGDWLQJ�WKH
XVH�RI�IRUFH�DJDLQVW�,UDTL�IRUFHV�VKRXOG�WKH\�QRW�DFFHGH�WR�WKH�LQWHUQDWLRQDO�GHPDQG�WR�ZLWKGUDZ
IURP�.XZDLW��DQG�WKH�OLPLWDWLRQ�LPSRVHG�RQ�WKH�PLVVLRQ�RI�&RDOLWLRQ�IRUFHV� WR� OLEHUDWH�.XZDLW
UDWKHU�WKDQ�GHIHDW�,UDT���1DWLRQDOO\��WKH�JUDQG�VWUDWHJLF�OHYHO�ZDV�UHSUHVHQWHG�E\�WKH�'HIHQFH�DQG
2YHUVHDV�3ROLF\�&RPPLWWHH��ZKLFK�HVWDEOLVKHG�8QLWHG�.LQJGRP�SROLF\�GXULQJ�WKH�FULVLV�
� 7KH�0LOLWDU\�6WUDWHJLF�/HYHO���7KH�DSSOLFDWLRQ�RI�PLOLWDU\�UHVRXUFHV�WR�KHOS�DFKLHYH�JUDQG
VWUDWHJLF�REMHFWLYHV�ZDV�UHIOHFWHG�LQ� WKH�MRLQW�SODQQLQJ�E\�WKH�SULQFLSDO�PHPEHUV�RI� WKH�8QLWHG
6WDWHV� OHG�&RDOLWLRQ� WR� LGHQWLI\�PLOLWDU\� VWUDWHJLF�REMHFWLYHV�� LQLWLDOO\� WR� GHWHU� ,UDTL� DJJUHVVLRQ
DJDLQVW� 6DXGL� $UDELD�
DQG� WKHUHDIWHU� WR
LPSOHPHQW� D� VHULHV� RI
6HFXULW\� &RXQFLO
5HVROXWLRQV�� DQG� WR
GHFLGH� WKH� DOORFDWLRQ� RI
IRUFHV� DQG� UHVRXUFHV
UHTXLUHG� WR� PHHW� WKRVH
REMHFWLYHV�� � :LWKLQ� WKH
8QLWHG�.LQJGRP�� WKH�PLOLWDU\� VWUDWHJLF� OHYHO�ZDV� UHSUHVHQWHG� E\� WKH�ZRUN� RI� WKH�0LQLVWU\� RI
British soldiers man their "stand to" positions inthe Desert
British Jaguar aircrafton patrol over the Gulf.
���
'HIHQFH�LQ�FRQVXOWDWLRQ�ZLWK�RWKHU�JRYHUQPHQW�GHSDUWPHQWV���([DPSOHV�RI�GHFLVLRQV�DW�WKLV�OHYHO
LQFOXGH��DOORFDWLQJ��IRUFHV�DQG�UHVRXUFHV�WR�WKH�WKHDWUH�RI�RSHUDWLRQV��HVWDEOLVKLQJ�REMHFWLYHV��DQG
LPSOHPHQWLQJ� WKH� SROLF\� DQG� OHJDO� OLPLWDWLRQV� ODLG� GRZQ�E\� WKH�'HIHQFH� DQG�2YHUVHDV�3ROLF\
&RPPLWWHH�
� 7KH�2SHUDWLRQDO�/HYHO�� � 7KH� GLUHFWLRQ� RI�PLOLWDU\� UHVRXUFHV� WR� DFKLHYH�PLOLWDU\� VWUDWHJLF
REMHFWLYHV� ZDV� H[HPSOLILHG� E\� WKH� ZRUN� RI� WKH� -RLQW� &RDOLWLRQ� +HDGTXDUWHUV�� EDVHG� RQ
+HDGTXDUWHUV�&HQWUDO�&RPPDQG� XQGHU� WKH� FRPPDQG� RI�*HQHUDO�1RUPDQ� 6FKZDU]NRSI�� � 7KLV
+HDGTXDUWHUV�SODQQHG�DQG�PRXQW��VXVWDLQ�DQG�VXSSRUW�8QLWHG�.LQJGRP�IRUFHV�GHSOR\HG�RQ�WKH
JURXQG�� WR� PRQLWRU� RSHUDWLRQV� DQG� UHSRUW� SURJUHVV� WR� WKH� 0LQLVWU\� RI� 'HIHQFH�� � 7KHVH
KHDGTXDUWHUV� KDG� WKH� GHOHJDWHG� DXWKRULW\� WR� DOORFDWH� IRUFHV� DQG� UHVRXUFHV� DV� QHFHVVDU\� IRU
VXERUGLQDWH� WDFWLFDO� FRPPDQGHUV� WR� EH� DEOH� WR� DFKLHYH� WKHLU�PLVVLRQV�� WR� VHW� SULRULWLHV� IRU� WKH
SURYLVLRQ�RI�FRPEDW�VHUYLFH�VXSSRUW��DQG�WR�GLUHFW� WKH�DFWLYLWLHV�RI� WKRVH� IRUPDWLRQV��VKLSV�DQG
DLUFUDIW�QRW�GHOHJDWHG� WR�&RDOLWLRQ�FRPPDQG�� �$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[DPSOH�ZDV�WKH�GHFLVLRQ�WR�PRXQW� WKH�JURXQG�RIIHQVLYH�LQWR�.XZDLW�DV�D
KXJH� OHIW� IODQNLQJ�PDQRHXYUH�� UDWKHU� WKDQ� D� IURQWDO� DVVDXOW� RQ� ,UDTL� GHIHQVLYH� SRVLWLRQV�� WKXV
XQKLQJLQJ�WKH�GHIHQFH�DQG�KHOSLQJ�WR�QHXWUDOLVH�WKH�5HSXEOLFDQ�*XDUG�IRUPDWLRQV�
� 7KH�7DFWLFDO�/HYHO���:LWKLQ�WKH�FRDOLWLRQ��WKH�WDFWLFDO�OHYHO�ZDV�WKH�SURYLQFH�RI�WKH�YDULRXV
FRPSRQHQW�FRPPDQGHUV���1DWLRQDOO\�WKHVH�ZHUH�WKH�FRPPDQGHUV�RI�WKH�5R\DO�1DY\�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[SORLW�WKH�TXDQWLWDWLYH�DGYDQWDJH�HQMR\HG�E\�FRDOLWLRQ�IRUFHV� LQ�QLJKW�ILJKWLQJ�WHFKQRORJ\�DQG
HTXLSPHQW�
An RAF Regiment Rapier detachment onthe shores of the Gulf.
���
Chapter 2
WAR AND ARMED CONFLICT
The Nature of War and Armed Conflict
� $UPHG�FRQIOLFW�LV�D�VLWXDWLRQ�LQ�ZKLFK�YLROHQFH�RU�PLOLWDU\�IRUFH�LV�WKUHDWHQHG�RU�XVHG�
:DU� LV� WKH� PRVW� H[WUHPH� PDQLIHVWDWLRQ� RI� DUPHG� FRQIOLFW� DQG� LV� FKDUDFWHULVHG� E\� LQWHQVH�
H[WHQVLYH�DQG�VXVWDLQHG�FRPEDW��XVXDOO\�EHWZHHQ�VWDWHV���+RZHYHU��WKH�WUDQVLWLRQ�IURP�SHDFH�WR
DUPHG�FRQIOLFW�DQG�EDFN�WR�SHDFH�PD\�QRW�EH�FOHDU�FXW��DQG�IRUPDO�GHFODUDWLRQV�RI�ZDU�DUH�UDUHO\
PDGH�� �)RU�H[DPSOH�� WKHUH�ZHUH�QR�GHFODUDWLRQV� LQ� WKH�9LHWQDP�� ,UDQ�,UDT��)DONODQG� ,VODQGV�RU
*XOI�:DUV���1HYHUWKHOHVV��WKH�ODZV�RI�DUPHG�FRQIOLFW��GLVFXVVHG�LQ�$QQH[�%��DSSO\�ZKHWKHU�RU
QRW�ZDU�KDV�EHHQ�GHFODUHG�DQG�WKH�8QLWHG�1DWLRQV�&KDUWHU�EDQV�WKH�WKUHDW�RU�WKH�XVH�RI�IRUFH�IRU
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
FRQYHQLHQFH�� WKLV�SUDFWLFH� LV�DGRSWHG�LQ� WKH�UHPDLQGHU�RI� WKLV�SXEOLFDWLRQ�� �&RQIOLFW�PD\�RFFXU
EHWZHHQ� VWDWHV� RU�ZLWKLQ� WKH� ERUGHUV� RI� D� FRXQWU\� �FLYLO� ZDU�� LQVXUUHFWLRQ� RU� WHUURULVP��� � ,W� LV
JHQHUDOO\�D�FRQWHVW�EHWZHHQ�WZR�RSSRVLQJ�JURXSV��HDFK�VHHNLQJ�WR�LPSRVH�LWV�ZLOO�RQ�WKH�RWKHU�
KRZHYHU��LQWUD�VWDWH�FRQIOLFW�PD\�LQYROYH�VHYHUDO�IDFWLRQV���,Q�DGGLWLRQ��WKLUG�SDUWLHV�QRW�LQYROYHG
LQ�WKH�GLVSXWH�PD\�HQJDJH�LQ�PLOLWDU\�DFWLYLW\�WR�UHVROYH�RU�WHUPLQDWH�D�FRQIOLFW�
� 7KH�FDXVHV�RI�FRQIOLFW�DUH�DV�ROG�DV�KXPDQ�KLVWRU\�� �7KH\�DUH�RIWHQ�EDVHG�RQ� WHUULWRULDO
FRPSHWLWLRQ�IRU�UHVRXUFHV��H[DFHUEDWHG�E\�KXPDQ�EHKDYLRXU�DQG�HPRWLRQV��VXFK�DV�IHDU��JUHHG�
KDWUHG��DQG�DPELWLRQ��FRXSOHG�ZLWK�SROLWLFDO��HFRQRPLF��UHOLJLRXV��HWKQLF��QDWLRQDOLVWLF��OLQJXLVWLF
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���)RU�WKH�SDUWLFLSDQW��ZDUIDUH�ZLOO�FRQWLQXH�WR�UHSUHVHQW�D�SK\VLFDO�DQG�PRUDO�FKDOOHQJH�
+RZHYHU�� DV� FLUFXPVWDQFHV� FKDQJH�� FRQIOLFW� FDQ�PDQLIHVW� LWVHOI� LQ� QHZ�ZD\V�� IRU� H[DPSOH� WKH
HPHUJLQJ� SRVVLELOLW\� RI� DQ� DWWDFN� RQ� D� VWDWHV� HVVHQWLDO� LQIRUPDWLRQ� V\VWHPV� WR� VDERWDJH� LWV
HFRQRPLF�SURFHVVHV�
� &RQIOLFW�LV�D�SROLWLFDO�DFW��GLVWLQJXLVKHG�IURP�RWKHU�SROLWLFDO�LQVWUXPHQWV�E\�WKH�YLROHQFH
LQYROYHG�� � ,Q� &ODXVHZLW]V� ZRUGV� � �ZDU� LV� QRW� PHUHO\� DQ� DFW� RI� SROLF\�� EXW� D� WUXH� SROLWLFDO
LQVWUXPHQW�� ����� WKH�SROLWLFDO�REMHFW�LV�WKH�JRDO��ZDU�LV�WKH�PHDQV�RI�UHDFKLQJ�LW��DQG�PHDQV�FDQ
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\
RSHUDWLRQV�DQG��LQVRIDU�DV�WKHLU�YLROHQW�QDWXUH�ZLOO�DGPLW��LW�ZLOO�KDYH�D�FRQWLQXRXV�LQIOXHQFH�RQ
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�
ZDUV�FDQ�UXQ�RXW�RI�FRQWURO�DQG�EHFRPH�VHOI�VXVWDLQLQJ���0LOLWDU\�REMHFWLYHV�VKRXOG�EH�H[SUHVVHG
LQ�WKH�IRUP�RI�WKH�GHVLUHG�HQG�VWDWH��WKDW�LV�WKH�VWDWH�RI�DIIDLUV�ZKLFK�QHHGV�WR�EH�DFKLHYHG�DW�WKH
� A useful definition of war is:"When differences between states reach a point at which both parties resort to force, or one of themdoes 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 thecombatants may use regulated violence against each other until one of the two has been brought to accept such terms as hisenemy 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, .page87
3 On War, page 121
���
HQG�RI�WKH�FDPSDLJQ��HLWKHU�WR�WHUPLQDWH�RU�WR�UHVROYH�LW�RQ�IDYRXUDEOH� WHUPV�� �7KH�GHVLUHG�HQG
VWDWH�ZLOO�RIWHQ�LQYROYH�WKH�XOWLPDWH�SRVVHVVLRQ�RU�FRQWURO�RI�WHUULWRU\�
� 'HVSLWH�LWV�YLROHQFH��FKDRV�DQG�EUXWDOLW\��FRQIOLFW� LV�UDUHO\�XQOLPLWHG�� �'LSORPDF\�RIWHQ
FRQWLQXHV�LQ�WKH�PLGVW�RI�FRQIOLFW��IRU�H[DPSOH�WKURXJK�GLVFXVVLRQV�LQ�WKH�8QLWHG�1DWLRQV�RU�WKLUG
SDUW\� QHJRWLDWLRQV�� � 2WKHU� QRQ�YLROHQW� LQWHUFRXUVH� PD\� DOVR� FRQWLQXH�� 0RUHRYHU�� GXULQJ� DQ\
FRQIOLFW�� H[FHSW� SHUKDSV� ZKHQ� QDWLRQDO� VXUYLYDO� LV� DW� VWDNH�� QDWLRQDO� SROLF\� ZLOO� FRQWLQXH� WR
SXUVXH�REMHFWLYHV�ZKLFK�DUH�FRPSOHWHO\�VHSDUDWH�IURP�WKH�FRQIOLFW��EXW�ZKLFK�PD\�LQIOXHQFH�WKH
ZD\�LQ�ZKLFK�WKH�QDWLRQ�DSSURDFKHV�WKH�FRQIOLFW�
� &RQIOLFW�LV�D�KXPDQ�VWUXJJOH��PDQLIHVW�DV�WKH�FODVK�RI�ZLOOV�EHWZHHQ�WZR�RSSRVLQJ�OHDGHUV
RU�OHDGHUVKLS�JURXSV���,W�PD\�DOVR�EHFRPH�D�FRQWHVW�RI�ZLOOV�EHWZHHQ�RSSRVLQJ�SRSXODWLRQV��ZKR
DUH�VXIIHULQJ�DV�D�UHVXOW�RI�KRVWLOLWLHV�� �7KHUHIRUH�WKH�PRUDOH�DQG�PRWLYDWLRQ�RI�ERWK� WKH�DUPHG
IRUFHV�DQG�WKH�SRSXODWLRQ�DUH�FUXFLDO�WR�VXFFHVV�
� %HFDXVH�LW�LV�D�G\QDPLF�FRQWHVW��FRQIOLFW�WHQGV�WR�EH�FKDRWLF�DQG�XQSUHGLFWDEOH���)DFWRUV
VXFK�DV�KXPDQ� LQHIILFLHQF\�� HTXLSPHQW�DQG� ORJLVWLF� OLPLWDWLRQV�� DQG�XQH[SHFWHG�ZHDWKHU�PHDQ
WKDW��LQ�UHDOLW\��FRQIOLFW�LV�RIWHQ�PXFK�PRUH�GLIILFXOW�WKDQ�LW�DSSHDUHG�ZKHQ�LW�ZDV�EHLQJ�SODQQHG�
$ERYH�DOO��WKH�DFWLRQV�RI�WKH�HQHP\�FDQ�FRPSOLFDWH�DQG�IUXVWUDWH�WKH�VLPSOHVW�WDVN���&ODXVHZLW]
GHVFULEHG� WKLV�DV� WKH��IULFWLRQ��RI�ZDU���DFWLRQ� LQ�ZDU� LV� OLNH�PRYHPHQW� LQ�D�UHVLVWDQW�HOHPHQW�
-XVW� DV� WKH� VLPSOHVW� DQG�PRVW� QDWXUDO� RI�PRYHPHQWV�� ZDONLQJ�� FDQQRW� HDVLO\� EH� SHUIRUPHG� LQ
ZDWHU��VR�LQ�ZDU�LW�LV�GLIILFXOW�IRU�QRUPDO�HIIRUWV�WR�DFKLHYH�HYHQ�PRGHUDWH�UHVXOWV�������)ULFWLRQ��DV
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
SHUFHSWLRQ�DQG�FDXVHV�FRQIXVLRQ���,W�LV�WKH�EXVLQHVV�RI�WKH�PLOLWDU\�FRPPDQGHU�WR�XVH�KLV�PRUDO
DQG�LQWHOOHFWXDO�SRZHUV�DQG�WHFKQLFDO�PHDQV�WR�RYHUFRPH�WKH�IULFWLRQ�DQG�IRJ�RI�ZDU���+H�PXVW
H[SORLW�WKH�LQHYLWDEOH�FKDRV�E\�EULQJLQJ�JUHDWHU�RUGHU�WR�KLV�RZQ�VFKHPHV�WKDQ�FDQ�KLV�RSSRQHQW�
The Dimensions of Conflict
� 7KH�6SHFWUXP�RI�&RQIOLFW���7KH�VSHFWUXP�RI�FRQIOLFW�HPEUDFHV�D�ZLGH�UDQJH�RI�VLWXDWLRQV�LQ
ZKLFK� PLOLWDU\� IRUFHV� PD\� EH� UHTXLUHG� WR� RSHUDWH�� IURP� VWDEOH� SHDFH� WR� QXFOHDU� ZDU�� � ,W� LV
PXOWLGLPHQVLRQDO�DQG�WKH�YDULHW\�RI�FRQIOLFW�GHILHV�VLPSOH�FDWHJRULVDWLRQ���+RZHYHU��D�UDQJH�RI
LQWHUUHODWHG� IDFWRUV� GHWHUPLQH� WKH� VKDSH� RI� D� FRQIOLFW�� � 7KH\� LQFOXGH�� WKH� QDWXUH� RI� WKH
SDUWLFLSDQWV��WKH�GHJUHH�RI�LQWHUHVW�LQYROYHG���WKH�QDWXUH�DQG�H[WHQW�RI�DQ\�OLPLWDWLRQV�LPSRVHG�
WKH� FKDUDFWHU� RI� IRUFHV� HQJDJHG�� WKH� OHYHO� RI� LQWHQVLW\�� � DQG� WKH� SURMHFWHG� RU� DFWXDO� � GXUDWLRQ�
(DFK�RI�WKHVH�IDFWRUV�FDQ�YDU\�LQ�VFDOH�RU�IRUP�DFFRUGLQJ�WR�WKH�FLUFXPVWDQFHV���,Q�FRPELQDWLRQ
WKH\�GHWHUPLQH� WKH�GLPHQVLRQV�DQG�FKDUDFWHU�RI�D�SDUWLFXODU�FRQIOLFW�DW�D� FHUWDLQ� WLPH��GXULQJ
WKH� FRXUVH� RI� D� FRQIOLFW� FLUFXPVWDQFHV� RU� SROLF\�PD\� FKDQJH�� DOWHULQJ� WKH� UHODWLRQVKLS� RI� WKH
IDFWRUV�DQG�WKXV�WKH�QDWXUH�RI�WKH�FRQIOLFW�� �7R�DQ�H[WHQW��WKH�YDULRXV�IDFWRUV�DUH�VXEMHFWLYH��IRU
H[DPSOH��D�FRQIOLFW�ZKLFK� LV� UHJDUGHG�DV�D�ZDU�RI�QDWLRQDO�VXUYLYDO�E\�RQH�SDUWLFLSDQW�PD\�EH
YLHZHG�DV�PHUHO\�D�ERUGHU�GLVSXWH�E\�D�PRUH�SRZHUIXO�RSSRQHQW�
� 7KH�3DUWLFLSDQWV���7KH�QDWXUH��VL]H�DQG�SRZHU�RI�WKH�SDUWLFLSDQWV�KDYH�D�SURIRXQG�LQIOXHQFH
RQ� WKH�VKDSH�RI�D�SDUWLFXODU�FRQIOLFW�� � ,Q�EURDG� WHUPV��FRQIOLFW�RFFXUV�EHWZHHQ�VWDWHV�RU�ZLWKLQ
VWDWHV��EXW�WKHUH�DUH�PDQ\�YDULDWLRQV���,QWHU��VWDWH�FRQIOLFW�PD\�LQYROYH�IRUPDO�DOOLDQFHV�RU�DG�KRF
FRDOLWLRQV�RQ�HLWKHU�VLGH�� �7\SLFDOO\� LQWUD�VWDWH�FRQIOLFW�RFFXUV�EHWZHHQ� WKH�JRYHUQPHQW� DQG�DQ
LQVXUJHQW�JURXS��EXW�WKHUH�PD\�EH�VHYHUDO�IDFWLRQV�LQYROYHG�LQ�D�VWUXJJOH�IRU�SRZHU���,I��GXULQJ�D
� On War, page 121.
���
FRQIOLFW�� DQ� LQVXUJHQW� JURXS�PDQDJHV� WR� HVWDEOLVK� FRQWURO� RYHU� DQ� DUHD� RI� WHUULWRU\�ZKLFK� WKHQ
DFKLHYHV�LQWHUQDWLRQDO�UHFRJQLWLRQ�DV�DQ�LQGHSHQGHQW�VWDWH��WKH�QDWXUH�RI�WKH�FRQIOLFW�ZLOO�FKDQJH
IURP�LQWUD�VWDWH�WR�LQWHU�VWDWH��IRU�H[DPSOH��WKH�UHFRJQLWLRQ�RI�&URDWLD�KDYLQJ�EURNHQ�DZD\�IURP
WKH�)RUPHU�5HSXEOLF� RI�<XJRVODYLD�� � ,QWUD�VWDWH� FRQIOLFW� DOVR� LQFOXGHV� WKH� DFWLRQV� RI�PLQRULW\
JURXSV�ZKR�FKRRVH�WR�XVH�YLROHQFH�DQG�WHUURU�WR�DFKLHYH�VSHFLILF�HQGV�RWKHU�WKDQ�WKH�RYHUWKURZ
RI�JRYHUQPHQWV�
� 7KH�/HYHO� RI� ,QWHUHVW�� � 7KH� SDUWLFLSDQWV� OHYHO� RI� LQWHUHVW� LQ� D� FRQIOLFW� FDQ� YDU\� IURP� WKH
H[WUHPH�FDVH�ZKHUH�WKH�YHU\�VXUYLYDO�RI�WKH�VWDWH�LV�WKUHDWHQHG�WR�D�VLWXDWLRQ�ZKHUH�WKH�LQWHUHVW�DW
VWDNH� RQO\� PDUJLQDOO\� MXVWLILHV� WKH� XVH� RI� IRUFH�� � 0RUHRYHU�� WKH� GHJUHH� RI� LQWHUHVW� ZLOO� QRW
QHFHVVDULO\�EH�WKH�VDPH�RQ�DOO�VLGHV���%DODQFHG�DJDLQVW�RWKHU�QDWLRQDO�RU�JURXS�REMHFWLYHV��LW�ZLOO
VWURQJO\�LQIOXHQFH�WKH�SDUWLFLSDQWV�FRPPLWPHQW�WR�WKH�FRQIOLFW�LQ�WHUPV�RI�UHVRXUFHV��LQFOXGLQJ
WKH�VL]H�RI�DUPHG�IRUFHV�HQJDJHG��DQG�WKH�H[WHQW�RI�OLPLWDWLRQV�LPSRVHG�RQ�WKH�XVH�RI�IRUFH�
� 7KH�&RQFHSW�RI�/LPLWDWLRQ���&RQIOLFW�LV�DOPRVW�LQYDULDEO\�VXEMHFW�WR�OLPLWDWLRQV�RI�RQH�VRUW
RU�DQRWKHU��SUDFWLFDO��OHJDO��HWKLFDO��SUDJPDWLF��DQG�SROLWLFDO�
x 3UDFWLFDO���3UDFWLFDO�IDFWRUV��VXFK�DV�WRSRJUDSK\��ZHDWKHU�DQG�WKH�FDSDELOLWLHV�RI�WKH
SDUWLFLSDQWV��DUH�OLNHO\�WR�SODFH�FRQVWUDLQWV�RQ�WKH�XVH�RI�PLOLWDU\�IRUFH�
x /HJDO���&RQIOLFW�LV�OLPLWHG�E\�LQWHUQDWLRQDO�ODZ�DQG�FRQYHQWLRQV��VXFK�DV�WKH�8QLWHG
1DWLRQV� &KDUWHU� DQG� WKH� +DJXH� DQG� *HQHYD� &RQYHQWLRQV�� ZKLFK� VSHFLI\� � WKH
FLUFXPVWDQFHV�LQ�ZKLFK�UHFRXUVH�WR� WKH�XVH�RI�DUPHG�IRUFH� LV� OHJLWLPDWH� �HVVHQWLDOO\
RQO\� LQ� VHOI�GHIHQFH� RU� DV�PDQGDWHG� E\� WKH�8QLWHG�1DWLRQV� 6HFXULW\� &RXQFLO�� DQG
UHJXODWH�WKH�XVH�RI�IRUFH�LQ�FRQIOLFW���/HJDOLW\�LV�GLVFXVVHG�LQ�PRUH�GHWDLO�LQ�$QQH[�%�
x (WKLFDO�DQG�3UDJPDWLF���*RYHUQPHQWV�RIWHQ�GHFLGH�WR�SODFH�OLPLWV�RQ�FRQIOLFW�ZKLFK
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
Practical factors suchas geography mayplace constraints onthe use of militaryforce.
���
HQFRXUDJH�VLPLODU�VHOI�UHVWUDLQW�E\�WKH�RSSRQHQW����)RU�H[DPSOH��LQ�WKH�&RQIURQWDWLRQ
EHWZHHQ�%ULWDLQ��DQG�0DOD\VLD��IROORZLQJ�)HGHUDWLRQ�LQ�$XJXVW�������DQG�,QGRQHVLD
IURP� ����� WR� ������ ERWK� VLGHV� � DGKHUHG� WR� VWULFW� OLPLWV� ZKLFK�� DOWKRXJK� QHYHU
IRUPDOO\�DJUHHG��ZHUH�FDUHIXOO\�REVHUYHG�� �+RVWLOLWLHV�ZHUH�FRQILQHG� WR�%RUQHR�DQG
WKH� ERUGHU� DUHD� RI� .DOLPDQWDQ� �DSDUW� IURP� RQH� DERUWLYH� ,QGRQHVLDQ� DVVDXOW� RQ� WKH
0DOD\VLDQ�PDLQODQG�LQ��������DQG�WKHUH�ZHUH�QR�DWWDFNV�RQ�WKH�PDMRU�PLOLWDU\�EDVHV
RI�HLWKHU�VLGH�� �6LPLODUO\�� LQ� WKH�)DONODQG�,VODQGV� �FRQIOLFW� LQ�������RSHUDWLRQV�ZHUH
OLPLWHG�WR�WKH�LVODQGV�WDNHQ�E\�$UJHQWLQD�DQG�WKH�VXUURXQGLQJ�ZDWHUV�DQG�DLUVSDFH���$
7RWDO�([FOXVLRQ�=RQH�ZDV�GHFODUHG�DURXQG�WKH�)DONODQG�,VODQGV�DQG�RXWVLGH�WKLV�DUHD
RQO\�VKLSV�DQG�DLUFUDIW�SRVLQJ�D� WKUHDW� WR�%ULWLVK�)RUFHV�ZHUH�HQJDJHG�� �7KH�8QLWHG
.LQJGRP� DYRLGHG� DWWDFNLQJ� WKH� WHUULWRU\� RI� $UJHQWLQD� RU� WDUJHWV� LQ� RU� RYHU� LWV
WHUULWRULDO�ZDWHUV���$UJHQWLQD�REVHUYHG�VLPLODU�UHVWUDLQWV�
x 3ROLWLFDO�� � ,Q� DGGLWLRQ�� OLPLWDWLRQV� PD\� EH� LQYRNHG� WR� HQVXUH� WKDW� WKH� UHVXOWV� RI
PLOLWDU\�DFWLRQ�UHPDLQ�LQ� OLQH�ZLWK�WKH�RYHUDOO�SROLWLFDO�REMHFWLYH�� �)RU�H[DPSOH�� WKH
GHFLVLRQ�WR�KDOW�WKH�SXUVXLW�RI�WKH�,UDT�5HSXEOLFDQ�*XDUG�DW�WKH�HQG�RI�WKH�*XOI�:DU
LQ������VWHPPHG�IURP�WKH� OLPLWDWLRQ�RI� WKH�8QLWHG�1DWLRQV�5HVROXWLRQ�ZKLFK�RQO\
DXWKRUL]HG�OLPLWHG�PLOLWDU\�DFWLRQ�WR�UHPRYH�,UDTL�IRUFHV�IURP�.XZDLW�
� 0HWKRGV� RI� /LPLWDWLRQ�� � /LPLWV� PD\� EH� LPSRVHG� WKURXJK� WKH� FKRLFH� RI� REMHFWLYHV�� E\
UHVWULFWLRQV�RQ�WKH�W\SHV�RI�IRUFHV�DQG�ZHDSRQV�LQYROYHG�DQG�KRZ�WKH\�FDQ�EH�HPSOR\HG��DQG�E\
FRQILQLQJ�RSHUDWLRQV�WR�VSHFLILF�JHRJUDSKLF�DUHDV�� �7KH\�FDQ�EH�DUWLFXODWHG�DV�D�VHW�RI� UXOHV�RI
HQJDJHPHQW��ZKLFK�GHWDLO�E\�PHDQV�RI�SURKLELWLRQV�DQG�SHUPLVVLRQV� WKH�GHJUHH�DQG�PDQQHU� LQ
ZKLFK�IRUFH�PD\�EH�DSSOLHG�
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
SXUVXHG�E\�OLPLWHG�PHDQV���+RZHYHU��LQ�D�ZDU�RI�QDWLRQDO�VXUYLYDO�WKHUH�PD\�EH�OLWWOH
FKRLFH�LQ�WKH�REMHFWLYHV�ZKLFK�PXVW�EH�SXUVXHG���&RQVWUDLQWV�RQ�REMHFWLYHV�DQG�PHDQV
WHQG�WR�LQWHUDFW�ZLWK�RQH�DQRWKHU���)RU�H[DPSOH��LI�D�JRYHUQPHQW�ZLVKHV�WR�OLPLW�WKH
VL]H�RI�IRUFH�LW�LV�SUHSDUHG�WR�FRPPLW�WR�D�SDUWLFXODU�FRQIOLFW�LW�PXVW�OLPLW�WKH�PLOLWDU\
REMHFWLYHV� WR� WKRVH� ZKLFK� WKDW� IRUFH� FRXOG� DFKLHYH�� � )RU� DOOLDQFH� RU� FRDOLWLRQ
RSHUDWLRQV��WKH�SROLWLFDO�DQG�PLOLWDU\�REMHFWLYHV�QHHG�WR�EH�DJUHHG�E\�DOO�WKH�PHPEHUV
DQG�WKLV�PD\�FRQVWUDLQ�ZKDW�LV�DFKLHYDEOH�� � ,Q�PRVW�FRQIOLFWV�WKH�GHJUHH�RI�YLROHQFH
HPSOR\HG� ZLOO� EH� LQIOXHQFHG� E\� ZKDW� LV� FRQVLGHUHG� DFFHSWDEOH� E\� SXEOLF� RU
LQWHUQDWLRQDO�RSLQLRQ��ZKLFK�LQ�WXUQ�PD\�OLPLW�WKH�REMHFWLYHV�DFKLHYDEOH���+RZHYHU��LW
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\���ZLOO�TXLFNO\�GHVWUR\�DQ�RSSRQHQWV�ZLOO�WR�UHVLVW��RIIHULQJ�HDUO\�VXFFHVV�DQG
UHGXFHG�FDVXDOWLHV�RYHUDOO�
x *HRJUDSK\�� � *HRJUDSKLF� OLPLWV� PD\� EH� GHILQHG� LQ� DQ� DWWHPSW� WR� HQVXUH� WKDW� WKH
FRQIOLFW�GRHV�QRW�GUDZ�LQ�RWKHU�SDUWLFLSDQWV�RU�LQYROYH�QHXWUDO�SDUWLHV���&HUWDLQ�DUHDV
PD\�EH�GHVLJQDWHG�RXW�RI� ERXQGV� WR� DYRLG� FLYLOLDQ� FDVXDOWLHV�RU�GDPDJH� WR� VLWHV�RI
FXOWXUDO�RU�UHOLJLRXV�VLJQLILFDQFH���$W�VHD��LW�LV�EHFRPLQJ�FRPPRQ�SUDFWLFH�WR�GHFODUH
H[FOXVLRQ�]RQHV�LQ�DQ�DWWHPSW�WR�GHILQH�WKH�JHRJUDSKLFDO�OLPLWV�RI�PDULWLPH�FRPEDW�
DOWKRXJK�VXFK�]RQHV�GR�QRW�DEVROYH�EHOOLJHUHQWV�RI�WKH�REOLJDWLRQ�WR�UHVSHFW�WKH�ULJKWV
� Sun Tzu's advice - that one should seek victory in the shortest possible time, with the least possible effort and at the least cost incasualties to one's enemy, remembering that one had to live next door to him when the fighting was over - seems relevant still.
���
RI� QHXWUDO� VKLSSLQJ� SDVVLQJ� WKURXJK� WKH� ]RQHV�� � ,Q� WKH� DLU� �QR� IO\� ]RQHV�� DUH
LQFUHDVLQJO\�XVHG�DV�SDUW�RI�FRQWURO�UHJLPHV�LPSRVHG�E\�WKH�8QLWHG�1DWLRQV�
� 7KH�7\SH�RI�)RUFHV�� �7KH�QDWXUH�RI� WKH� IRUFHV� LQYROYHG� LQ�FRQIOLFW� FDQ�YDU\�ZLGHO\�� �7KH
SULQFLSDO� IDFWRUV� LQYROYHG� DUH� VL]H�� WUDLQLQJ�� HTXLSPHQW� �LQFOXGLQJ� VXSSRUW��� OHDGHUVKLS� DQG
PRWLYDWLRQ���([DPSOHV�RI�WKH�UDQJH�DUH��ODUJH��ZHOO�WUDLQHG�SURIHVVLRQDO�IRUFHV��HTXLSSHG�ZLWK�WKH
PRVW� PRGHUQ� WHFKQRORJ\� �8QLWHG� 6WDWHV� )RUFHV��� ODUJH�� UHODWLYHO\� SRRUO\� HTXLSSHG�� FRQVFULSW
IRUFHV� �WKH�&KLQHVH�$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\�VPDOO�JURXSV�RI�UHODWLYHO\�ZHOO�HTXLSSHG��KLJKO\�GHGLFDWHG�WHUURULVWV���7KHVH�IDFWRUV
FDQ�YDU\�LQ�D�SDUWLFXODU�QDWLRQV�IRUFHV��ERWK�EHWZHHQ�DQG�ZLWKLQ�LQGLYLGXDO�VHUYLFHV�
� 7KH�&RQFHSW� RI� ,QWHQVLW\�� � ,QWHQVLW\� GHVFULEHV� WKH� IUHTXHQF\� DQG� WKH� GHJUHH� RI� YLROHQFH
HQFRXQWHUHG�LQ�FRQIOLFW��DQG�LV�D�PHDVXUH�RI�WKH�UDWH�RI�FRQVXPSWLRQ�RI�UHVRXUFHV���,QWHQVLW\�FDQ
EH�KLJK�ZKHQ�YLROHQFH�RFFXUV�RIWHQ�RU�ZKHQ�WKH�HQFRXQWHUV�DUH�SDUWLFXODUO\�YLROHQW���,W�LV�OLNHO\
WR�YDU\�GXULQJ�D�SDUWLFXODU�FRQIOLFW��IRU�H[DPSOH��D�FRQIOLFW� WKDW� LV� ORZ�LQ�LQWHQVLW\�DW� LWV�RXWVHW
FDQ�EHFRPH�KLJK�ZKHQ� WKH� IUHTXHQF\� DQG�YLROHQFH�RI� WKH�HQFRXQWHUV� LQFUHDVH�� �'XULQJ�D� ORQJ
FRQIOLFW�WKHUH�PD\�EH�SURWUDFWHG�SHULRGV�RI�UHODWLYHO\�ORZ�LQWHQVLW\�RSHUDWLRQV�LQWHUVSHUVHG�ZLWK
ODUJH�� KLJK� LQWHQVLW\� HQJDJHPHQWV�� � 7KHUHIRUH� LW� LV� XQKHOSIXO� WR� DWWHPSW� WR� FODVVLI\� FRQIOLFW� LQ
WHUPV�RI�LQWHQVLW\�DORQH��DQG�LW�LV�D�FRQFHSW�ZKLFK�KDV�PRUH�UHOHYDQFH�DW�WKH�VWUDWHJLF�OHYHO�WKDQ
DW� WKH�RSHUDWLRQDO�DQG� WDFWLFDO� OHYHOV�� �$OWKRXJK�KLJK� LQWHQVLW\�FRQIOLFW� LV� OLNHO\� WR�GHPDQG� WKH
JUHDWHVW�UDQJH�RI�FDSDELOLW\��WKHUH�LV�QR�VLPSOH�FRUUHODWLRQ�EHWZHHQ�WKH��LQWHQVLW\�RI�FRQIOLFW�DQG
WKH�QDWXUH�RU�VFDOH�RI� IRUFHV� UHTXLUHG�� �)RU�H[DPSOH�� LQ� ORZHU� LQWHQVLW\�RSHUDWLRQV��ZKHUH�YLWDO
QDWLRQDO�LQWHUHVWV�DUH�QRW�DW�VWDNH��JRYHUQPHQWV�ZLOO�DOPRVW�FHUWDLQO\�SXW�D�JUHDWHU�HPSKDVLV�RQ
PLQLPLVLQJ�FLYLOLDQ�FDVXDOWLHV�DQG�FROODWHUDO�GDPDJH� WKDQ� WKH\�ZRXOG�GXULQJ�D�ZDU�RI�QDWLRQDO
VXUYLYDO��WKLV�ZRXOG�KDYH�D�EHDULQJ�RQ�WKH�W\SHV�RI�ZHDSRQV�V\VWHPV�QHHGHG�
"No fly zones" are increasingly used as part ofcontrol regimes imposed by the United Nations.An RAF Harrier lands on an RN Carrier in theAdriatic.
In lower intensity operations there will bean greater emphasis on minimising civiliancasualties and collateral damage. ABritish Army Scimitar in Bosnia in 1996.
���
� 7KH�'XUDWLRQ�RI�&RQIOLFW���7LPH�KDV�D�VLJQLILFDQW�LPSDFW�RQ�WKH�ZD\�LQ�ZKLFK�D�FRQIOLFW�LV
FRQGXFWHG�� �7KHUH�LV�RIWHQ�DQ� LPSHUDWLYH� WR�DFKLHYH�HDUO\�VXFFHVV� LQ�RUGHU� WR�DYRLG�HVFDODWLRQ�
2WKHU� IDFWRUV�PD\�FUHDWH�SUHVVXUH� WR�DWWDLQ�REMHFWLYHV�TXLFNO\�� IRU�H[DPSOH� � OLPLWHG� UHVRXUFHV�
WKH�ZHDWKHU�RU�IODJJLQJ�SXEOLF�VXSSRUW�� �$OWHUQDWLYHO\�� LW�PD\�EH�QHFHVVDU\�WR�GHOD\�RSHUDWLRQV
XQWLO�D�VXIILFLHQW�VL]H�RI�IRUFH�KDV�EHHQ�FUHDWHG�DQG�WUDLQHG���$�ZHDN�LQVXUJHQW�IRUFH�PLJKW�DGRSW
D�VWUDWHJ\�RI�SURVHFXWLQJ�D�YHU\�ORQJ�FDPSDLJQ�RI�UHODWLYHO\�ORZ�OHYHO�RSHUDWLRQV��ZLWK�WKH�DLP�RI
VDSSLQJ�WKH�RSSRQHQWV�ZLOO�E\�WKH�GXUDWLRQ��UDWKHU�WKDQ�WKH�LQWHQVLW\��RI�WKH�DVVDXOW���,I�D�FRQIOLFW
ODVWV�ORQJ�HQRXJK�WR�UHTXLUH�WKH�URXOHPHQW�RI�WKH�IRUFHV�LQYROYHG��WKHUH�ZLOO�EH�D�VWHS�LQFUHDVH�LQ
WKH�PDQSRZHU�UHTXLUHG�RYHU�WKH�SHULRG�RI�URXOHPHQW���7KLV�ZLOO�KDYH�D�FRQVHTXHQW�HIIHFW�RQ�WKH
WRWDO�IRUFH�VL]H�DQG�WKH�WUDLQLQJ�UHVRXUFHV�QHHGHG�
Conflict in the Modern World
� &RQIOLFW� LV� FRPPRQSODFH� LQ� WKH�PRGHUQ�ZRUOG� DQG� WKHUH� LV� IUHTXHQWO\� QR� FOHDU� GLVWLQFWLRQ
EHWZHHQ�ZDU� DQG� SHDFH�� �(YHQ� UHODWLYHO\�PLQRU�� ORFDOLVHG� FRQIOLFWV�PD\�KDYH� LPSOLFDWLRQV� IRU
ZRUOG�SHDFH�� VWDELOLW\� DQG� WUDGH�� �7KHUHIRUH�PDQ\� QDWLRQV� QRW� GLUHFWO\� HQJDJHG� LQ� FRQIOLFW� DUH
LQYROYHG� LQ� HIIRUWV� WR�PRQLWRU��PDQDJH� DQG� UHVROYH� DFWXDO� RU� SRWHQWLDO� FRQIOLFWV�� �$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
FRPPDQGHUV�DW� DOO� OHYHOV��EXW�KDV�H[SRVHG�DQRWKHU�SRWHQWLDO� DYHQXH�RI
DWWDFN�� � 6XFFHVV� LQ� FRQIOLFW� UHTXLUHV� WKH� DELOLW\� WR� H[SORLW� LQIRUPDWLRQ�
ZKLOH�GHQ\LQJ�LW� WR�DQ�HQHP\��WKH�VWUXJJOH� IRU� LQIRUPDWLRQ�GRPLQDQFH�
ZKLFK� LV� D� IHDWXUH� RI�PRGHUQ� FRQIOLFW�� � LV� GLVFXVVHG� LQ�PRUH� GHWDLO� LQ
&KDSWHU�����:HDSRQ�GHYHORSPHQWV�DOORZ�PLOLWDU\�IRUFH�WR�EH
DSSOLHG�DW�ORQJHU�UDQJH�DQG�PRUH�DFFXUDWHO\�WKDQ�EHIRUH��E\
GD\� DQG� QLJKW� DQG� LQ� SRRU�ZHDWKHU�� � ,Q� FRPELQDWLRQ�� WKHVH
GHYHORSPHQWV�PHDQ�WKDW�PRGHUQ�FRQIOLFW�KDV�WKH�SRWHQWLDO�WR
EH� IRXJKW� VLPXOWDQHRXVO\� RYHU� D� ZLGH� H[SDQVH� LQ� DOO� IRXU
HQYLURQPHQWV��VHD��ODQG��DLU��DQG�VSDFH��H[SORLWLQJ�WKH�HQWLUH
HOHFWURPDJQHWLF�VSHFWUXP��DW�D�PXFK�IDVWHU�UDWH�WKDQ�EHIRUH�
7KH� LQWHUDFWLRQV� EHWZHHQ� VHD�� ODQG� DQG� DLU� IRUFHV� DUH�
WKHUHIRUH��PRUH�FRPSOH[�DQG�PRUH�FUXFLDO�WKDQ�EHIRUH���LW�LV
GLIILFXOW�WR�FRQFHLYH�RI�RSHUDWLRQV�RQ�DQ\�VFDOH�WKDW�ZLOO�QRW
EH�MRLQW���7KH�ULVN�RI�WKH�XVH�RI�ZHDSRQV�RI�PDVV�GHVWUXFWLRQ
�QXFOHDU�� ELRORJLFDO� DQG� FKHPLFDO� ZHDSRQV�� PHDQV� WKDW
PLOLWDU\� IRUFHV� QHHG� WR� EH� DEOH� WR� RSHUDWH� � HIIHFWLYHO\� LQ� D
QXFOHDU��ELRORJLFDO�DQG�FKHPLFDO�HQYLURQPHQW�
$� 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�
SRZHUIXO��ZHOO�HTXLSSHG�IRUFHV��EXW�OLPLWHG�QDWLRQDO� LQWHUHVW
RU�SXEOLF� VXSSRUW� DQG�VHYHUH�SROLWLFDO� DQG�PRUDO� FRQVWUDLQWV�
2Q� WKH� RWKHU� KDQG� LV� D� VWDWH� RU� JURXS� RI� SHRSOH�ZLWK� VPDOO�
OLJKWO\�HTXLSSHG� IRUFHV�� XQZLOOLQJ� WR� DFFHSW� WKH� QRUPV� RI
LQWHUQDWLRQDO�ODZ��ZLWK�WRWDO�FRPPLWPHQW��DQG�VKRZLQJ�VFDQW
UHJDUG�IRU�OLIH�DQG�SURSHUW\�
Below:Military forces need to beabe to operate effectivelyin a nuclear, biologicaland chemical environment
Above:Symblizing the asymmetry of sometypes of modern conflict, a BritishChallenger tank passes a civilian car -frequently used to transport warringfaction fighters to and from theconfrontation line in Bosnia.
���
� 0RGHUQ� FRQIOLFW� LV� OLNHO\� WR� EH� IRXJKW� LQ� WKH� VSRWOLJKW� RI� PDVVLYH� DWWHQWLRQ� E\� WKH� QHZV
PHGLD���7KH�LPPHGLDF\�RI�PHGLD�WUDQVPLVVLRQ�FDQ�PDJQLI\�WKH�LPSRUWDQFH�RI�UHODWLYHO\�PLQRU
LQFLGHQWV�DQG�LQIOXHQFH�SXEOLF�RSLQLRQ�EHIRUH�WKH�SROLWLFDO�DXWKRULW\�FDQ�IXOO\�DQDO\VH�WKH�IDFWV�
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
� 7KH�IDFWRUV�ZKLFK�GHWHUPLQH�WKH�FKDUDFWHU�RI�FRQIOLFW�DQG�WKH�IHDWXUHV�RI�WKH�PRGHUQ�ZRUOG
ZKLFK�EHDU�RQ�LW� LQWHUDFW�YDULRXVO\�WR�JHQHUDWH�YHU\�GLIIHUHQW� W\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
HDFK�FULVLV�RU�FRQIOLFW�QHHGV�WR�EH�DGGUHVVHG�LQ�WHUPV�RI�LWV�VSHFLILF�FLUFXPVWDQFHV�
� *HQHUDO�:DU���*HQHUDO�ZDU�LV�FRQIOLFW�EHWZHHQ�PDMRU�SRZHUV�LQ�ZKLFK�WKHLU�ODUJH�DQG�YLWDO
LQWHUHVWV��SHUKDSV�HYHQ�VXUYLYDO��DUH�DW�VWDNH�� �$OO� WKH�QDWLRQDO�UHVRXUFHV�RI� WKH�EHOOLJHUHQWV�DUH
OLNHO\�WR�EH�KDUQHVVHG�WR�WKH�ZDU�HIIRUW�DQG�WKH�FRQIOLFW�LV�OLNHO\�WR�KDYH�IHZ�UHVWULFWLRQV��LQGHHG
LW�PD\�EHFRPH�OHVV�UHVWULFWHG�DV�LW�FRQWLQXHV���7KH�6HFRQG�:RUOG�:DU�ZDV�WKH�ODVW�H[DPSOH�RI
JHQHUDO�ZDU��WRGD\��D�IXOO�VFDOH�DWWDFN��RQ�D�QXPEHU�RI�IURQWV�DJDLQVW� WKH�WHUULWRULDO� LQWHJULW\�RI
1$72�PHPEHUV�ZRXOG�EH�FODVVLILHG�DV�JHQHUDO�ZDU���*HQHUDO�ZDU�PLJKW�EH�OLPLWHG�WR�WKH�XVH�RI
FRQYHQWLRQDO� IRUFHV� LQLWLDOO\�� EXW� FRXOG� HVFDODWH� DW� DQ\� WLPH� WR� WKH� XVH� RI� ZHDSRQV� RI� PDVV
GHVWUXFWLRQ���1$72�KDV�PDGH�LW�FOHDU�WKDW�LI�$OOLDQFH�YLWDO� LQWHUHVWV�DUH� WKUHDWHQHG�LW�ZRXOG�EH
SUHSDUHG�WR�XVH�QXFOHDU�ZHDSRQV�DW�DQ\�VWDJH�LQ�VXFK�D�FRQIOLFW�LQ�RUGHU�WR�PDNH�LW�XQGHQLDEO\
FOHDU�WR�LWV�DGYHUVDU\�WKH�VFDOH�DQG�ULVN�DQG�WKH�FRPSHOOLQJ�QHHG�WR�EULQJ�WKH�FRQIOLFW�WR�DQ�HQG�
$OWKRXJK�JHQHUDO�ZDU�LV�XQOLNHO\�WR�LQYROYH�DOO�QDWLRQV��WKHUH�ZLOO�EH�ZRUOG�ZLGH�UHSHUFXVVLRQV�
,Q�WKH�FXUUHQW�VWUDWHJLF�HQYLURQPHQW�IHZ�QDWLRQV�KDYH�WKH�FDSDFLW\�WR�LQLWLDWH�VXFK�D�ZDU�DQG�LW
VHHPV� OLNHO\� WKDW� WKHUH� ZRXOG� EH� D� VLJQLILFDQW� SHULRG� RI� ZDUQLQJ� EHIRUH� RQH� FRXOG� RFFXU�
1HYHUWKHOHVV��ZKHQ�PDMRU�SRZHUV�DUH�HQJDJHG�LQ�FRQIOLFW��WKHUH�LV�D�ULVN�RI�HVFDODWLRQ�WR�JHQHUDO
ZDU���1XFOHDU�ZHDSRQV�KDYH�D�SDUWLFXODU�UROH�WR�SOD\�LQ�GHWHUULQJ�VXFK�HVFDODWLRQ��LQGHHG��LW�PD\
EH�UHJDUGHG�DV�WKHLU�SULPDU\�IXQFWLRQ�DQG�WKLV�LV�GLVFXVVHG�DW�WKH�HQG�RI�&KDSWHU���
� /LPLWHG� &RQIOLFW�� � 'XULQJ� WKH� &ROG� :DU�� � WKH� FODVVLILFDWLRQ� OLPLWHG� ZDU� ZDV� XVHG� WR
GHVFULEH�LQWHUQDWLRQDO�FRQIOLFW�VKRUW�RI��JHQHUDO�ZDU���LQ�ZKLFK�WKHUH�ZRXOG�EH�QR�UHFRXUVH�WR�WKH
XVH�RI�QXFOHDU�ZHDSRQV���7KH�.RUHDQ�:DU�LV�SUREDEO\�WKH�EHVW�H[DPSOH�RI�D�OLPLWHG�ZDU�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
DFKLHYHG�DQG�WKH�PHDQV�E\�ZKLFK�WKH\�PD\�EH�SXUVXHG�
� 5HJLRQDO�&RQIOLFW�� �7KH� WHUP�5HJLRQDO�&RQIOLFW�GHVFULEHV�D� OLPLWHG�FRQIOLFW� DULVLQJ�RXW�RI
UHJLRQDO�LVVXHV���7KH�FRQIOLFW�PD\�EH�FRQWDLQHG�ZLWKLQ�WKH�UHJLRQ��EXW�WKH�SROLWLFDO�DQG�HFRQRPLF
HIIHFWV�DUH�OLNHO\�WR�UHYHUEHUDWH�IXUWKHU�DILHOG��IRU�H[DPSOH��WKH�HIIHFW�WKH�,UDQ�,UDT�:DU�KDG�RQ
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
FRQIOLFW���7KHUH�LV�DOVR�WKH�GDQJHU�WKDW�WKH�FRQIOLFW�ZLOO�VSLOO�RYHU�EH\RQG�WKH�UHJLRQ���7KHUH�ZLOO
QRW�QHFHVVDULO\�EH�DQ\�FRQVWUDLQW�RQ�WKH�VL]H�RI�WKH�IRUFHV�GHSOR\HG��WKH�W\SHV�RI�ZHDSRQ�XVHG��RU
WKH�GXUDWLRQ�DQG�IHURFLW\�RI�ILJKWLQJ���0DQ\�UHJLRQDO�ZDUV�WHQG�WR�UHIOHFW�WKH�SUREOHPV�RI�ZHDN
���
VWDWHV� ZLWK� IUDJLOH� SROLWLFDO� LQVWLWXWLRQV�� IUDJPHQWHG� VRFLDO� VWUXFWXUHV� DQG� IHHEOH� HFRQRPLHV�
)URP�WKH�8QLWHG�.LQJGRP�SHUVSHFWLYH��D�ZDU�LQ�DQRWKHU�UHJLRQ�ZKLFK�GRHV�QRW� LQYROYH�DQ\�RI
WKH�'HSHQGHQW�7HUULWRULHV�RU�DFFHVV�WR�VWUDWHJLF�UHVRXUFHV�LV�XQOLNHO\�WR�WKUHDWHQ�QDWLRQDO�VXUYLYDO
RU�YLWDO�LQWHUHVWV���+RZHYHU���LW�PD\�WKUHDWHQ�VHFRQGDU\�LQWHUHVWV�DQG�WKHUHIRUH�FDOO�IRU�DFWLRQ�WR
FRQWDLQ�DQG�UHVROYH�LW���6XFK�DFWLRQ�ZRXOG�QRUPDOO\�EH�FROOHFWLYH��XQGHU�WKH�DHJLV�RI�WKH�8QLWHG
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
JRYHUQPHQW�RI�WKH�VWDWH�RU�UHJLRQDO�DXWRQRP\�RU�VHFHVVLRQ���2QH�RU�ERWK�VLGHV�PD\�KDYH�H[WHUQDO
KHOS�
� ,QVXUJHQF\���,QVXUJHQF\�GHVFULEHV�WKH�DFWLRQV�RI�D�PLQRULW\�JURXS�ZLWKLQ�D�VWDWH��RU�LQ�VRPH
LQVWDQFHV�D�PDMRULW\�JURXS�ZKLFK�ODFNV�SRZHU��LQWHQW�RQ�IRUFLQJ�SROLWLFDO�FKDQJH�E\�PHDQV�RI�D
PL[WXUH�RI�VXEYHUVLRQ��SURSDJDQGD�DQG�PLOLWDU\�SUHVVXUH���7KH�LQWHQW�LV�WR�SHUVXDGH�RU�LQWLPLGDWH
WKH� EURDG�PDVV� RI� WKH� SHRSOH� WR� DFFHSW� VXFK� FKDQJH�� � $JDLQ�� HDFK� VLGH�PD\� KDYH� KHOS� IURP
RXWVLGH���7KHUH�LV�QRW�D�FOHDU�GLVWLQFWLRQ�EHWZHHQ�FLYLO�ZDU�DQG�LQVXUJHQF\���,QGHHG��D�VXFFHVVIXO
LQVXUJHQF\�PD\�SDVV�WKURXJK�D�SKDVH�RI�FLYLO�ZDU���$W�LWV�PRVW�DQDUFKLF��LQVXUJHQF\�PD\�VHH�WKH
FROODSVH�RI�WKH�VWDWH�LQ�DQ\�IRUP���%RWK�FLYLO�ZDU�DQG�LQVXUJHQF\�PD\�HPSOR\�WKH�W\SH�RI�SDUWLVDQ
RU�UHYROXWLRQDU\�ZDUIDUH�H[HPSOLILHG�E\�WKH�FDPSDLJQV�RI�7LWR��0DR�=HGRQJ�DQG�+R�&KL�0LQK�
7\SLFDOO\�� WKH� LQVXUJHQW� IRUFHV� ZLOO� VHHN� WR� DYRLG� FRQYHQWLRQDO� HQJDJHPHQWV� EHWZHHQ� ODUJH
IRUFHV�ZKLOH�VHHNLQJ�WKH�DFWLYH�VXSSRUW�RI�WKH�SRSXODWLRQ�DW�ODUJH���6XFK�FDPSDLJQV�DUH�OLNHO\�WR
EH�SURWUDFWHG�
� 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
DQRWKHU��LW�PD\�EH�HPSOR\HG�IRU�REMHFWLYHV�VKRUW�RI�WKH�RYHUWKURZ�RI�WKH�VWDWH�� � ,W�PD\�DOVR�EH
XVHG�E\�RQH�VWDWH�DJDLQVW�DQRWKHU�
���
Chapter 3
SECURITY AND DEFENCE
The Nature of Security
� 7KH�VHFXULW\�DQG�GHIHQFH�SROLFLHV�RI�DQ\�VWDWH�DUH�URRWHG�LQ�SHUFHSWLRQV�RI�LWV�LQWHUHVWV�DQG�RI
KRZ�EHVW�WKHVH�PD\�EH�SURWHFWHG�DQG�SURPRWHG���7KH�PRVW�LPSRUWDQW�GXW\�RI�DQ\�JRYHUQPHQW�LV
PDLQWDLQLQJ�WKH�IUHHGRP�DQG�LQWHJULW\�RI�LWV�WHUULWRU\�DQG�LWV�SHRSOH���0RVW�VWDWHV�ZLOO�DOVR�VHHN�WR
VHFXUH�D�UDQJH�RI�EURDGHU�LQWHUHVWV���SROLWLFDO��HFRQRPLF��WUDGLQJ�DQG�VRFLDO���7KHUHIRUH�VHFXULW\
SROLF\�UHIOHFWV�WKH�EURDGHU�IRUHLJQ�SROLF\�DQG�HFRQRPLF�LQWHUHVWV�RI�WKH�QDWLRQ��LW�LV�GHVLJQHG�WR
VXSSRUW� DQG�� LI� QHFHVVDU\�� GHIHQG� WKHP�� � 7KXV� VHFXULW\� LV� D� EURDG� DQG� HQGXULQJ� FRQFHSW�� � ,W
HQFRPSDVVHV�PDLQWDLQLQJ�LQWHUQDO�RUGHU�ZLWKLQ�WKH�VWDWH�DQG�WKH�PHDVXUHV�QHFHVVDU\�WR�SURPRWH
QDWLRQDO� LQWHUHVWV� DQG� WR� SUHYHQW� FKDOOHQJHV� WR� WKHP� DULVLQJ�� � :KHUH� QHFHVVDU\�� LW� LQFOXGHV
GHWHUULQJ�RU�GHIHQGLQJ�DJDLQVW�H[WHUQDO�DJJUHVVLRQ�RU�FRHUFLRQ�
� 7KH�VFRSH�RI�D�VWDWHV�GHIHQFH�DQG�VHFXULW\�SROLFLHV�GHSHQGV�RQ�LWV�JHRVWUDWHJLF�VLWXDWLRQ�DQG
WKH�QDWXUH�RI�WKH�VWDWH�LWVHOI��HVSHFLDOO\�LWV�SROLWLFDO�DQG�HFRQRPLF�VWUXFWXUHV���,W�LV�DOVR�EDVHG�RQ
WKH�QDWXUH�DQG�VSUHDG�RI�WKH�VWDWHV�LQWHUHVWV�DQG�WKH�FXUUHQW�DQG�SRWHQWLDO�FKDOOHQJHV�LW�SHUFHLYHV
WR�WKRVH�LQWHUHVWV���7KHVH�PD\�EH�SROLWLFDO��HFRQRPLF��VRFLDO�RU�HQYLURQPHQWDO�LQ�QDWXUH��DV�ZHOO
DV�PLOLWDU\���,I�D�VWDWH�LV�D�PHPEHU�RI�DOOLDQFHV��WKHLU�SROLFLHV�ZLOO�DOVR�LQIOXHQFH�WKH�IRUPXODWLRQ
RI� QDWLRQDO� SROLF\�� � 6RPH� VWDWHV� LQWHUHVWV� EDUHO\� H[WHQG� EH\RQG� WKHLU� ERUGHUV�� �2WKHUV� KDYH� D
PXFK� ORQJHU�UDQJH�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
HWKQLF�RU�UHOLJLRXV�JURXSV�EH\RQG�WKHLU�ERUGHUV�
The Pursuit of Security
� 7KH�SXUVXLW�RI�VHFXULW\�LV�OLNHO\�WR�EH�D�NH\�REMHFWLYH�RI�DQ\�VWDWHV�GLSORPDF\��,W�ZLOO�UHTXLUH
D� ZLGH� YDULHW\� RI� SROLWLFDO�� HFRQRPLF�� WUDGLQJ� DQG� FXOWXUDO� WRROV�� DV� ZHOO� DV� PLOLWDU\� PHDQV�
7KHVH�YDULRXV�HOHPHQWV�DUH�PRVW�HIIHFWLYH�ZKHQ�XVHG�LQ�D�FR�RUGLQDWHG�ZD\�DV�SDUW�RI�D�FRKHVLYH
Formal treaties andalliances provide mutualsecurity guaranteesbetween states. Russiajoins Partnership forPeace (PfP), June1994. (Picture courtesyof the NATO Office ofInformation and Press).
���
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\
JXDUDQWHHV�EHWZHHQ�VWDWHV�
x 6XSSRUW� IRU� LQWHUQDWLRQDO� ODZ� � LV� � IXQGDPHQWDO� WR� LQWHUQDWLRQDO� VHFXULW\�� �7KH�SULPH
SXUSRVH� RI� WKH� 8QLWHG� 1DWLRQV� LV� WR� PDLQWDLQ� LQWHUQDWLRQDO� SHDFH� DQG� VHFXULW\�
7RJHWKHU�ZLWK�UHJLRQDO�RUJDQLVDWLRQV�� WKH�8QLWHG�1DWLRQV�SURYLGHV�D�PHFKDQLVP�IRU
WKH� SHDFHIXO� VHWWOHPHQW� RI� GLVSXWHV� DQG� IRU� SHDFHNHHSLQJ�� � ,Q� DGGLWLRQ�� WKH� 8QLWHG
1DWLRQV�6HFXULW\�&RXQFLO�FDQ�DXWKRULVH�PHDVXUHV�WR�HQIRUFH�SHDFH�DQG�VHFXULW\���7KH
OHJDOLW\�RI�FRQIOLFW�DQG�WKH�UROH�RI�WKH�8QLWHG�1DWLRQV�DUH�GLVFXVVHG�LQ�$QQH[�%�
x 7UHDWLHV�DQG�SROLWLFDOO\�ELQGLQJ�DUUDQJHPHQWV�ZKLFK�OLPLW�WKH�SRVVHVVLRQ��WUDQVIHU�RU
XVH�RI�FHUWDLQ�DUPDPHQWV�DUH�D�PHDQV�RI�HQKDQFLQJ�ZRUOG�VWDELOLW\�� �7\SLFDOO\� WKHUH
DUH� WKUHH� PDLQ� JRDOV�� WR� UHGXFH� WKH� ULVN� RI� WKH� SUROLIHUDWLRQ� RI� ZHDSRQV� RI� PDVV
GHVWUXFWLRQ�DQG�WKHLU�PHDQV�RI�GHOLYHU\��WR�FRQWULEXWH�WR�VWDELOLW\�E\�OLPLWLQJ�WKH�VL]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\�ZHDSRQV�RI�PDVV�GHVWUXFWLRQ��VR�FDOOHG�GXDO�XVH�JRRGV�
x 7KH�LQYROYHPHQW�RI�WKH�JUHDWHVW�SRVVLEOH�QXPEHU�RI�VWDWHV�LQ�IUHH�LQWHUQDWLRQDO�WUDGH
LV�OLNHO\�WR�SURPRWH�PXWXDO�LQWHUHVW�LQ�ZRUOG�VWDELOLW\���&R�RSHUDWLYH�HIIRUWV�WR�UHPRYH
WKH� URRW� FDXVHV� RI� FRQIOLFW�� VXFK� DV� SRYHUW\� DQG� IDPLQH�� DUH� LPSRUWDQW�� � &XOWXUDO�
WHFKQLFDO� DQG� HGXFDWLRQDO� H[FKDQJHV� SURPRWH� RSHQQHVV�� XQGHUVWDQGLQJ� DQG
FRQILGHQFH�EHWZHHQ�VWDWHV�
The Nature of Defence
� 'HIHQFH� LV� WKH� PLOLWDU\� FRQWULEXWLRQ� WR� QDWLRQDO� VHFXULW\� DQG� LV� D� PDMRU� HOHPHQW� RI� D
JRYHUQPHQWV�ZLGHU� VHFXULW\�SROLF\�� �'HIHQFH�SROLF\� VSHFLILHV� WKH� VWUXFWXUH� DQG� FDSDELOLWLHV�RI
DUPHG�IRUFHV�DQG�JXLGHV�WKH�FRQWULEXWLRQ�WKH\�PDNH�WR�WKH�DFKLHYHPHQW�RI�WKH�FRXQWU\V�GHIHQFH
DQG�VHFXULW\�JRDOV���,W�PXVW�DFFRUG�ZLWK�IRUHLJQ�DQG�HFRQRPLF�SROLFLHV���7KH�SULQFLSDO�SXUSRVH�RI
D�GHPRFUDWLF�VWDWHV�DUPHG�IRUFHV�LV�WR�SURYLGH�WKH�SRWHQWLDO��IRU�WKH�DSSOLFDWLRQ�RI�IRUFH�WR�HQVXUH
WKH�VHFXULW\�RI� WKH�QDWLRQ�� WKH� IUHHGRP�RI� LWV�SHRSOH��DQG�SURPRWLRQ�RI� LWV� LQWHUHVWV�� �7KH� ILQDO
VHFWLRQ�RI�WKLV�FKDSWHU�GHVFULEHV�WKH�YDULRXV�ZD\V�LQ�ZKLFK�PLOLWDU\�IRUFH�FDQ�EH�DSSOLHG��ZKLOH
&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
HQFRXUDJH�VWDELOLW\�ZLWKLQ�ZKLFK�EURDGHU�LQWHUHVWV�FDQ�EH�SXUVXHG�
The Components of Defence
� 7KH� SULQFLSDO� FRPSRQHQWV� RI� GHIHQFH� DUH� WKH� DUPHG� IRUFHV�� DQ� RUJDQLVDWLRQ� WR� PDNH
GHFLVLRQV�DQG�D�PHDQV�RI�LPSOHPHQWLQJ�WKHP���7KHVH�FRPSRQHQWV�QHHG�WR�GUDZ�RQ�D�ZLGH�UDQJH
���
RI�FRQFHSWXDO��PRUDO��SHUVRQQHO�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
JHQHULF��UHIOHFW�WKH�%ULWLVK�DSSURDFK�WR�GHIHQFH�
� 'HFLVLRQ�0DNLQJ�� � 7KLV� LV� WKH� FHQWUDO� FRPSRQHQW� RI� GHIHQFH�� � ,W� UHPDLQV� XQGHU� SROLWLFDO
FRQWURO�DQG�LW�GUDZV�RQ�ERWK�WKH�FRQFHSWXDO�DQG�WKH�PRUDO�EDVH�� � ,W�PXVW�SURYLGH�VRXQG�SROLF\
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
DFWLYLWLHV�DQG�FRPPLWPHQWV�GHVFULEHG�LQ�&KDSWHU���
x /RQJ� WHUP�GHIHQFH� SROLF\� IORZV� IURP� WKH�*RYHUQPHQWV� 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
DFFRXQW�RI�QDWLRQDO�DLPV�DQG�REOLJDWLRQV��WKH�JHRVWUDWHJLF�FRQWH[W��SRWHQWLDO�WKUHDWV�WR
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
IRUFHV��VKRXOG�EHJLQ�E\�GHILQLQJ�WKH�FLUFXPVWDQFHV�LQ�ZKLFK�WKH�DUPHG�IRUFHV�PLJKW
EH�XVHG��ERWK�QDWLRQDOO\�DQG�ZLWK�DOOLHV���7KLV�HVWDEOLVKHV�WKH�WDVNV�ZKLFK�WKH�DUPHG
IRUFHV�PLJKW� EH� UHTXLUHG� WR� XQGHUWDNH� DQG�� LI� SRVVLEOH�� WKHLU� UHODWLYH� SULRULW\�� � 7KH
SDUDPHWHUV�RI�WKHVH�WDVNV�GHWHUPLQH�WKH�UHTXLUHG�VL]H��VKDSH�DQG�FKDUDFWHULVWLFV��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\���7KH�ILQDO�GHFLVLRQ�RQ�VL]H�DQG�VKDSH�GHSHQGV�RQ�WKH�OHYHO�RI�UHVRXUFHV
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
ZLWKLQ�JRYHUQPHQW�DQG�ZLWK�RWKHU�JRYHUQPHQWV�DQG�LQWHUQDWLRQDO�RUJDQLVDWLRQV��DQG
ZLOO�EH�VXEMHFW�WR�SXEOLF�GHEDWH�
x ,Q� WKH� VKRUWHU� WHUP�� DV�SRWHQWLDO� FULVHV� DUH� LGHQWLILHG�� SROLWLFDO� GHFLVLRQV� QHHG� WR� EH
PDGH�RQ�ZKHWKHU�LW�LV�OHJLWLPDWH�DQG�DSSURSULDWH�WR�HPSOR\�PLOLWDU\�IRUFH�WR�UHVROYH
WKH�FULVLV���)LUP�SROLWLFDO�GLUHFWLRQ�LV�UHTXLUHG�IURP�WKH�RXWVHW���,I�WKH�DUPHG�IRUFHV�DUH
WR�EH�FRPPLWWHG�WR�DQ�RSHUDWLRQ��GHFLVLRQV�DUH�UHTXLUHG�RQ�WKH�SROLWLFDO�SXUSRVH�DQG
PLOLWDU\� REMHFWLYH�� WKH� OLPLWV� RQ� WKH� XVH� RI� IRUFH� DQG� WKH� EURDG� VWUDWHJ\� IRU� WKH
FDPSDLJQ���7KH�VL]H�DQG�W\SH�RI�IRUFH�WR�EH�GHSOR\HG�DQG�WKH�OLNHO\�GXUDWLRQ�RI� WKH
RSHUDWLRQ�PXVW�EH�GHWHUPLQHG���7KHVH�GHFLVLRQV�UHTXLUH�WKH�FROOHFWLRQ�DQG�DVVHVVPHQW
RI�DFFXUDWH��XS�WR�GDWH� LQIRUPDWLRQ� �DQG�D� ULJRURXV�DQDO\VLV�RI� WKH�VLWXDWLRQ�DQG� WKH
RSWLRQV�DYDLODEOH�� �'HFLVLRQV�RQ�SRVVLEOH�PLOLWDU\�DFWLRQ�PXVW� WDNH�DFFRXQW�RI�RWKHU
QDWLRQDO� REMHFWLYHV�� � 7KH� SURFHVV� LQYROYHV� FRQVLGHUDEOH� FRQVXOWDWLRQ� ZLWKLQ� WKH
GHIHQFH� RUJDQLVDWLRQ�� ZLWK� RWKHU� JRYHUQPHQW� GHSDUWPHQWV�� DQG� ZLWK� DOOLHV� DQG
LQWHUQDWLRQDO�RUJDQLVDWLRQV��WKHUH�PXVW�EH�SURFHGXUHV�LQ�SODFH�WR�DFKLHYH�WKLV�UDSLGO\�
� 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.
���
2YHUW�GHFLVLRQV�RU�SUHSDUDWLRQV�PXVW�VXSSRUW�DQ\�GLSORPDWLF�LQLWLDWLYHV�WR�GHIXVH�WKH
FULVLV�� � 7KH� GHFLVLRQ�PDNLQJ� PDFKLQHU\� PXVW� EH� UREXVW� HQRXJK� WR� FRSH� ZLWK� WKH
SUHVVXUH�RI�D�PDMRU�LQWHUQDWLRQDO�FULVLV�DQG�WKH�LPSDFW�RI�H[WHUQDO�LQIOXHQFHV�VXFK�DV
SXEOLF�RSLQLRQ�RU�PHGLD�SUHVVXUH�� \HW� DJLOH� HQRXJK� WR�PDNH� UDSLG� GHFLVLRQV� DQG� WR
UHVSRQG�WR�FKDQJLQJ�FLUFXPVWDQFHV���,W�PD\�KDYH�WR�GHDO�VLPXOWDQHRXVO\�ZLWK�VHYHUDO
FULVHV�LQ�GLIIHUHQW�SDUWV�RI�WKH�ZRUOG�
x 2QFH�WKH�GHFLVLRQ�LV�WDNHQ�WR�PRXQW�D�PLOLWDU\�RSHUDWLRQ��WKH�PHFKDQLVPV�PXVW�EH�LQ
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�
DVVHVV�VWUDWHJLF�JXLGDQFH�LQ�WKH�OLJKW�RI�HYHQWV�RQ�WKH�JURXQG���7KLV�LV�HVSHFLDOO\�VR�LQ
RSHUDWLRQV� RWKHU� WKDQ� ZDU� ZKHUH� WKH� SROLWLFDO� DQG� GLSORPDWLF� LPSDFW� RI� UHODWLYHO\
PLQRU�HYHQWV�LQ�WKHDWUH�FDQ�UHTXLUH�D�UHDVVHVVPHQW�RI�VWUDWHJLF�JXLGDQFH���$JDLQ�WKLV
FDOOV�IRU�D�KLJKO\�UHVSRQVLYH�GHFLVLRQ�PDNLQJ�PDFKLQHU\�
� ,PSOHPHQWDWLRQ�� � ,PSOHPHQWDWLRQ� UHTXLUHV� DQ� HVWDEOLVKHG� DQG� HIIHFWLYH� FRPPDQG� DQG
FRQWURO�VWUXFWXUH�ZLWKLQ�WKH�DUPHG�IRUFHV��DQG�D�VZLIW��UHOLDEOH�FRPPXQLFDWLRQV�DQG�LQIRUPDWLRQ
V\VWHP�� � ,W� LQYROYHV� WKH� KLHUDUFKLFDO� GHOHJDWLRQ� RI� UHODWHG� UHVSRQVLELOLWLHV�� REMHFWLYHV� DQG
UHVRXUFHV�WKURXJKRXW�WKH�GHIHQFH�RUJDQLVDWLRQ���3ODQQLQJ�IRU�DOO�FRQWLQJHQFLHV�VKRXOG�EH�EDVHG
RQ� RUJDQLVDWLRQV� IRXQGHG� LQ� SHDFH� WKDW� FDQ� EH� SURJUHVVLYHO\� GHYHORSHG�� LI� QHFHVVDU\�� DV� WKH
WKUHDW�LQFUHDVHV�
� 7KH�$UPHG�)RUFHV���,Q�D�GHPRFUDF\�DUPHG�IRUFHV�DUH�HVWDEOLVKHG�RQ�D�OHJDO�EDVLV��UHWDLQHG
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
WKURXJK�WR�DFWLRQV�DW�WKH�IURQW�OLQH���7KH�VL]H��VKDSH�DQG�FDSDELOLWLHV�RI�WKH�DUPHG�IRUFHV�VKRXOG
EH�PDWFKHG�WR�WKH�VHFXULW\�QHHGV�DQG�HFRQRPLF�FLUFXPVWDQFHV�RI�WKH�VWDWH���7KH�FDSDELOLWLHV��LQ
SDUWLFXODU� WKH� UHDFK�� RI�PRGHUQ�ZHDSRQV� DQG� VXUYHLOODQFH� V\VWHPV�PHDQ� WKDW� WKHUH� LV� D� FORVH
LQWHUDFWLRQ�EHWZHHQ�FRQIOLFW�LQ�WKH�VHD��ODQG�DQG�DLU�HQYLURQPHQWV���7KHUHIRUH�VHFXULW\�QRUPDOO\
UHTXLUHV�DUPHG�IRUFHV�ZLWK��WKH�DELOLW\�WR�RSHUDWH�LQ�DOO�WKUHH�HQYLURQPHQWV��ZLWK�ERWK�GHIHQVLYH
DQG�RIIHQVLYH�FDSDELOLWLHV���0RVW�VWDWHV��ILQG�LW�HIILFLHQW�WR�RUJDQLVH�WKHLU�DUPHG�IRUFHV�DV�VHSDUDWH
VHUYLFHV�IRU�HDFK�HQYLURQPHQW��ZKDWHYHU�WKH�RUJDQLVDWLRQ��WKHUH�LV�D�QHHG�WR�PDLQWDLQ�H[SHUWLVH�LQ
HDFK�DUHD��� ,QGLYLGXDO�HOHPHQWV�RI�HDFK�VHUYLFH�PXVW�EH�DEOH� WR�RSHUDWH� WRJHWKHU�ZLWK�HOHPHQWV
IURP� WKH� RWKHU� VHUYLFHV� DQG� ZLWK� DOOLHG� IRUFHV�� DQG� WKH� RYHUDOO� GHIHQFH� GHFLVLRQ�PDNLQJ
FRPSRQHQW� PXVW� EH� DEOH� WR� DSSO\� PLOLWDU\� IRUFH� LQ� D� FR�RUGLQDWHG� 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\�RI�WKH�SHRSOH�DQG�HTXLSPHQW���7KLV�LV�SDUWLFXODUO\�LPSRUWDQW�DV�WKH�IRUFHV�GHYHORS�WR
PDWFK� QHZ� SROLF\� RU� FKDQJLQJ� FLUFXPVWDQFHV�� � $UPHG� IRUFHV� DUH� JHQHUDOO\�PDQQHG� HLWKHU� E\
SURIHVVLRQDO�VHUYLFH�SHUVRQQHO�RU�E\�D�FRPELQDWLRQ�RI�SURIHVVLRQDOV�DQG�FRQVFULSWV���6RPH�VWDWHV
PD\�DOVR�PDNH�XVH�RI�UHVHUYLVWV�WR�DXJPHQW�IXOO�WLPH�IRUFHV�LQ�WLPH�RI�FULVLV�RU�ZDU���7KHVH�PD\
EH� HLWKHU� YROXQWHHU� UHVHUYLVWV� RU� IRUPHU� IXOO� WLPH� VHUYLFH� SHUVRQQHO� ZLWK� D� UHVLGXDO� UHVHUYH
FRPPLWPHQW���7KH�W\SH�RI�PDQQLQJ�VKRXOG�PDWFK�WKH�FLUFXPVWDQFHV�RI�WKH�VWDWH���+RZHYHU��LW�LV
FOHDU� WKDW� WKH� DELOLW\� WR� UHDFW� TXLFNO\� DQG� WR� VXFFHHG� LQ�PRGHUQ� IDVW�PRYLQJ�� KLJKO\� WHFKQLFDO
FRQIOLFW� ZLWK� WKH� OHDVW� GHPDQG� RQ� UHVRXUFHV� UHTXLUHV� ZHOO� WUDLQHG� DQG� HTXLSSHG� SURIHVVLRQDO
IRUFHV�
���
� 7KH�&RQFHSWXDO�%DVH�� �7KH�FRQFHSWXDO� EDVH�SURYLGHV� WKH� LQWHOOHFWXDO�PDWHULDO� QHHGHG� IRU
GHFLVLRQ�PDNLQJ�� �3ROLWLFDO�GLUHFWLRQ� LV�SDUDPRXQW�� H[SUHVVHG�ZLWKLQ�QDWLRQDO�DQG� LQWHUQDWLRQDO
ODZ�ZKLFK�SURYLGHV�WKH�OHJDO�EDVLV�IRU�WKH�DUPHG�IRUFHV�DQG�WKH�XVH�RI�PLOLWDU\�IRUFH���,W�ZLOO�EH
PRVW�HIIHFWLYH�LI�LW�LV�LQIRUPHG�E\�FOHDU�DQG�LPSDUWLDO�PLOLWDU\�DQG�FLYLO�VHUYLFH�DGYLFH���$FFXUDWH
DQG�WLPHO\�LQIRUPDWLRQ�DQG�LQWHOOLJHQFH�DUH�FUXFLDO�WR�HIIHFWLYH�GHFLVLRQ�PDNLQJ���7KLV�LQFOXGHV�D
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� QRQ�JRYHUQPHQWDO
RUJDQLVDWLRQV���,QIRUPDWLRQ�DQG�LQWHOOLJHQFH�PXVW�EH�JDWKHUHG�DQG�DVVHVVHG�IRU�DOO�WKH�DUHDV�DQG
FLUFXPVWDQFHV�ZKHUH�WKHUH�DUH�QDWLRQDO�LQWHUHVWV�RU�SRWHQWLDO�WKUHDWV�WR�WKRVH�LQWHUHVWV���5HVHDUFK
DQG�RSHUDWLRQDO� DQDO\VLV� DUH� HVVHQWLDO� LQSXWV� WR� WKH�SURFHVV�RI� VKDSLQJ� UHTXLUHPHQWV� IRU� IXWXUH
IRUFH�VWUXFWXUHV��RSHUDWLRQDO�FRQFHSWV�DQG�HTXLSPHQW���7KH\�DOVR�FRQWULEXWH�WR�WKH�GHYHORSPHQW
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
HGXFDWLRQ�LQ�ERWK�SURIHVVLRQDO�DQG�PRUH�JHQHUDO�WRSLFV���$FDGHPLD�DQG
RWKHU�GHIHQFH�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
GHIHQFH�PDWWHUV���1HZ�FRQFHSWV�PD\�DOVR�RULJLQDWH�LQ�LQGXVWU\�
� 0RUDO� %DVH�� � 7KH� PRUDO� EDVH� XQGHUSLQV� WKH� PRWLYDWLRQ� RI� WKH
DUPHG�IRUFHV���,W�LV�IRXQGHG�RQ�SXEOLF�VXSSRUW�DQG�RQ�WKH�SROLWLFDO�ZLOO
RI� WKH� *RYHUQPHQW� WR� PDLQWDLQ� DQG�� ZKHQ� QHFHVVDU\�� XVH� HIIHFWLYH
DUPHG� IRUFHV�� � ,W� DOVR� HQFRPSDVVHV� WKH� FRQFHSW� RI� SURSULHW\�� ZKLFK
VHHNV� WR� HQVXUH� WKDW� WKH� DFWLYLWLHV� RI� WKH� DUPHG� IRUFHV� DUH� YLHZHG
XQLYHUVDOO\� DV� EHLQJ� MXVWLILDEOH�� IDLU�� DQG� DSROLWLFDO�� � � (IIHFWLYH
OHDGHUVKLS�DW�D�QDWLRQDO� OHYHO� LV�HVVHQWLDO� WR�SURYLGH�FODULW\�RI�GLUHFWLRQ
DQG� WR� LQVSLUH� WKH� HIIRUW� DQG� VHOI�VDFULILFH� GHPDQGHG� LQ� FRQIOLFW�
1DWLRQDO� KLVWRU\�� WUDGLWLRQ� DQG� HWKLFV� DUH� WKH� VRXUFHV� IURP� ZKLFK� WKH
Individualelements ofeach servicemust be ableto operate inan alliedforce.American andBritishsoldiers relaxduringexercisePurple Star in1996
The moral base isfounded, in part, on thepolitical will of agovernment to maintainand, when necessary, usearmed forces. PrimeMinister John Major visitsUN soldiers in Bosnia, in1995
���
VWDQGDUGV�RI�DUPHG�IRUFHV�KDYH�EHHQ�GHYHORSHG���7KH�PRUDO�EDVH�DOVR�HPEUDFHV�WKH�QDWLRQDO�ZLOO
WR�HQVXUH�WKH�ZHOIDUH�RI�PLOLWDU\�SHUVRQQHO�DQG�WKH�HIILFLHQW�PDQDJHPHQW�WR�SURYLGH�LW�
� 3HUVRQQHO� %DVH�� � 7KH� QDWLRQDO� SRSXODWLRQ� SURYLGHV� WKH� EDVH� IURP�ZKLFK� VHUYLFHPHQ� DQG
ZRPHQ�DUH�UHFUXLWHG��HLWKHU�DV�UHJXODU�VHUYLFH�SHUVRQQHO�RU�DV�YROXQWHHU�UHVHUYLVWV��DQG�D�SRRO�RI
IRUPHU�PLOLWDU\�SHUVRQQHO��ZKR�PD\�EH�HPSOR\HG�DV�UHVHUYHV��RU�UH�HQOLVWHG�LI�WKHUH�LV�D�QHHG�WR
H[SDQG� WKH�DUPHG�IRUFHV�TXLFNO\�� � ,W� DOVR�FRQWDLQV� WKH� ODUJH�QXPEHU�RI� FLYLOLDQV� ��JRYHUQPHQW
VHUYDQWV�DQG�RWKHUV���ZKR�SURYLGH�HVVHQWLDO�VXSSRUW�WR�WKH�DUPHG�IRUFHV���,I�WKH�DUPHG�IRUFHV�DUH
WR�EH�SURSHUO\�PDQQHG��WKH�FLYLO�SRSXODWLRQ�PXVW�SURGXFH�DQ�DGHTXDWH�VXSSO\�RI�UHFUXLWV�ZKR�DUH
VXIILFLHQWO\� ZHOO� HGXFDWHG� DQG� ILW� IRU� PLOLWDU\� VHUYLFH�� ZKLOH� WKH� VWDWXV� DQG� FRQGLWLRQV� RI� D
PLOLWDU\�FDUHHU�QHHG�WR�EH�VXFK�DV� WR�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
SUHSDULQJ�WKHP�WR�UHWXUQ��LQ�GXH�FRXUVH��WR�FLYLOLDQ�OLIH���0RUHRYHU��LI�WKH�DUPHG�IRUFHV�DUH�WR�EH
UHOLDQW�RQ�DXJPHQWDWLRQ�E\�UHVHUYHV�LQ�WLPH�RI�FULVLV��WKH�UHVHUYLVWV�ZLOO�UHTXLUH�SHULRGLF�WUDLQLQJ
WR�DFTXLUH�DQG�PDLQWDLQ�WKHLU�VNLOOV�DQG�WKHUH�PXVW�EH�DGHTXDWH�OHJLVODWLRQ�WR�HQVXUH�WKDW�WKH\�DUH
DYDLODEOH�ZKHQ� QHHGHG� IRU� WUDLQLQJ� DQG� RSHUDWLRQV�� � 3ODQQLQJ�PXVW� HQVXUH� WKDW� WKH� FDOO� XS� RI
UHVHUYHV�GRHV�QRW�GDPDJH�HVVHQWLDO�FLYLOLDQ�DFWLYLWLHV�
� 0DWHULHO� %DVH�� � $OO� DUPHG� IRUFHV� UHTXLUH� DQ� DVVXUHG� LQGXVWULDO� VRXUFH� RI� HTXLSPHQW� DQG
VWRUHV���(IIHFWLYH��DIIRUGDEOH�HTXLSPHQW��ZKLFK�H[SORLWV�KLJK�WHFKQRORJ\��LV�HVVHQWLDO�WR�SURYLGH�D
EDWWOH�ZLQQLQJ� HGJH� LQ� PRGHUQ� FRPEDW�� � (TXLSPHQW� SURFXUHPHQW� LV� D� NH\� IXQFWLRQ�� FORVHO\
UHODWHG�WR�QDWLRQDO�HFRQRPLF�DQG�WUDGLQJ�SROLF\���,W�LQYROYHV�ODUJH�SDUWV�RI�LQGXVWU\��DW�KRPH�DQG
DEURDG��DQG�PDQ\�HOHPHQWV�RI�WKH�GHIHQFH�HVWDEOLVKPHQW���,Q�WKH�8QLWHG�.LQJGRP�WKHVH�LQFOXGH
WKH� 3URFXUHPHQW� ([HFXWLYH� DQG� WKH� 'HIHQFH� (YDOXDWLRQ� DQG� 5HVHDUFK� $JHQF\�� � 3URFXUHPHQW
GHFLVLRQV��DUH�KLJKO\�GHSHQGHQW�RQ�D�VRXQG�FRQFHSWXDO�EDVH���0RUHRYHU�� WKH�ORQJ�GHYHORSPHQW
SHULRG� RI� PXFK� PRGHUQ� HTXLSPHQW� UHTXLUHV� WKHVH� GHFLVLRQV� WR� EH� EDVHG� RQ� DQ� LQIRUPHG
DVVHVVPHQW�RI�KRZ�PLOLWDU\�DIIDLUV�DUH�OLNHO\�WR�GHYHORS�RYHU�WKH�QH[W����WR����\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�
+RZHYHU��LW�LV�LPSRUWDQW�WR�DWWHPSW�WR�LGHQWLI\�DQG�H[SORLW�WKRVH�FULWLFDO�GLVUXSWLYH�WHFKQRORJLHV�
ZKLFK�DUH�OLNHO\�WR�KDYH�D�PDMRU�LQIOXHQFH�RQ�PLOLWDU\�FDSDELOLW\�� �/RQJ�GHYHORSPHQW��WRJHWKHU
ZLWK�KLJK�FRVWV��PHDQ�WKDW�PLOLWDU\�HTXLSPHQW�PXVW�KDYH�D�ORQJ�XVHIXO�OLIH��EXW�WKLV�QHHGV�WR�EH
EDODQFHG� DJDLQVW� WKH� LPSHUDWLYH� WR� PDLQWDLQ� FDSDELOLW\� LQ� WKH� IDFH� RI� WKH� LQFUHDVLQJ� SDFH� RI
WHFKQRORJLFDO�FKDQJH�� �7KHUHIRUH�DQ�HTXLSPHQW�SURFXUHPHQW�SURJUDPPH�QHHGV� WR� LQWHJUDWH� WKH
WLPHO\� LQWURGXFWLRQ� RI� UHSODFHPHQW� V\VWHPV�� IXQGHG� DQG�PDQDJHG� RQ� D�ZKROH� OLIH� EDVLV�� ZLWK
DOORZDQFH�ZKHUH�DSSURSULDWH�IRU�SODQQHG�FDSDELOLW\�XSGDWHV�GXULQJ�WKHLU�OLIHWLPHV����0XFK
The armed forces are reliant on augmentation by reserves in time ofcrisis. RAF reservists load equipment onto a C-130
���
GHIHQFH� HTXLSPHQW� LV� ERXJKW� RYHUVHDV� DV� D� UHVXOW� RI� FRPSHWLWLYH� SURFXUHPHQW� RU� WKURXJK
FROODERUDWLRQ�ZLWK�RWKHU�FRXQWULHV���,QGHHG��LQWHUQDWLRQDO�LQWHUGHSHQGHQF\�LQ�PDWHULDO�PDWWHUV�LV
EHJLQQLQJ�WR�EH�D�PDWWHU�RI�LQGXVWULDO�UHODWLRQVKLSV�UDWKHU�WKDQ�VROHO\�RQH�RI�*RYHUQPHQW�SROLF\�
1HYHUWKHOHVV��VXSSRUW�RI�HTXLSPHQW�DQG�HVVHQWLDO�VHUYLFHV�GXULQJ�FULVHV�PXVW�EH�HQVXUHG�DQG�WKH
UREXVWQHVV�RI�VRPH�DVSHFWV�RI�GRPHVWLF�GHIHQFH�LQGXVWU\�PD\�EH�FULWLFDO� WR� WKLV�� � ,Q�SDUWLFXODU�
WKH�DELOLW\�WR�PRGLI\�HTXLSPHQW�LQ�UHVSRQVH�WR�WKH�FLUFXPVWDQFHV�RI�D�FULVLV�XVXDOO\�GHSHQGV�RQ
WKH� FR�RSHUDWLRQ� RI� WKH� LQGXVWULDO� GHVLJQ� DXWKRULW\�� � 7R� PHHW� WKH� UHTXLUHPHQWV� RI� WKH� PRVW
GHPDQGLQJ�FULVHV�DQG�RI�JHQHUDO�ZDU�LW�PD\�EH�QHFHVVDU\�IRU�LQGXVWU\�WR�KDYH�WKH�FDSDELOLW\�IRU
VXUJH�FDSDFLW\�DQG�UHFRQVWLWXWLRQ�
� 6XSSRUWLQJ�,QIUDVWUXFWXUH���$UPHG�IRUFHV�UHTXLUH�DQ�LQIUDVWUXFWXUH�RI�EDVHV��SRUWV��DLUILHOGV
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
RZQHG�E\�WKH�*RYHUQPHQW���KRZHYHU��LQ�RWKHU�FDVHV�LW�PD\�EH�PRUH�FRVW�HIIHFWLYH�IRU�IDFLOLWLHV
DQG�VHUYLFHV�WR�EH�SURYLGHG�E\�WKH�SULYDWH�VHFWRU���7KH�HVVHQWLDO�UHTXLUHPHQW�LV�WKH�DELOLW\�RI�WKH
*RYHUQPHQW� WR� FRQWURO� WKRVH� DVVHWV� HVVHQWLDO� WR� GHIHQFH� FDSDELOLW\�� � 7KH� QDWLRQDO
FRPPXQLFDWLRQV� QHWZRUNV� DQG� WUDQVSRUW� LQIUDVWUXFWXUH� SURYLGH� HVVHQWLDO� VXSSRUW� WR� URXWLQH
GHIHQFH�EXVLQHVV�DQG�� 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
UHTXLUHV�D�PL[�RI�ERWK�OLYH�DQG�V\QWKHWLF�WUDLQLQJ�IDFLOLWLHV�
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
DFKLHYH�LQ�D�QXPEHU�RI�UHVSHFWV�� � ,W�UHTXLUHV�UHDG\�DFFHVV
WR� WUDLQLQJ� UDQJHV� RQ� ODQG�� DW� VHD� DQG� LQ� WKH� DLU�� DQG� DQ
DSSURSULDWH� EDODQFH� QHHGV� WR� EH� VWUXFN� EHWZHHQ� WKH
WUDLQLQJ� QHHGV� RI� WKH� IRUFHV� DQG� WKH� HIIHFW� RI� WUDLQLQJ� RQ
WKH� HQYLURQPHQW� DQG� WKH� SRSXODWLRQ�� � 5HDOLVWLF� WUDLQLQJ
ZLWK�FHUWDLQ�ZHDSRQV�RU�LQ�SDUWLFXODU�VLWXDWLRQV��VXFK�DV�LQ
KRVWLOH� WHUULWRU\�� RU� ZLWK� EDWWOH� GDPDJHG� RU� IDLOHG
Effective,affordable,equipment isessential to providea battle-winningedge in moderncombat. Seen her,the launch of theRoyal Navy's newhelicopter carrierHMS Ocean.
Synthetic training must be developed tocomplement live training as financial andenvironmental pressures increase. Selfpropelled AS 90 guns on exercise onSalisbury Plain.
���
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
GHYHORSHG�DQG�LPSURYHG�DV�ILQDQFLDO�DQG�HQYLURQPHQWDO�SUHVVXUHV�RQ�OLYH�WUDLQLQJ�LQFUHDVH��� ,Q
DGGLWLRQ�� WKH� SRWHQWLDO� RI� V\QWKHWLF� WUDLQLQJ� IDFLOLWLHV� WR� SURYLGH� UHDOLVWLF� UHKHDUVDO� RI� DFWXDO
RSHUDWLRQV�QHHGV�WR�EH�H[SORLWHG�
The Use of Military Force
� $UPHG� IRUFHV� GHULYH� WKHLU� XWLOLW\� IURP� WKH� DELOLW\� WR� WKUHDWHQ� RU� EULQJ� WR� EHDU� FRQWUROOHG
PLOLWDU\�IRUFH��DW�D�FKRVHQ�SODFH�DQG�WLPH�� WR�DFKLHYH�PLOLWDU\�REMHFWLYHV� LQ�SXUVXLW�RI�SROLWLFDO
HQGV���,Q�JHQHUDO�WKH�DLP�ZLOO�EH�WR�DYHUW�FRQIOLFW�RU��LI�FRQIOLFW�LV�LQHYLWDEOH��WR�IRUFH�WKH�HQHP\
WR�VXEPLW���0LOLWDU\�IRUFH�FDQ�EH��HPSOR\HG�LQ�WKH�IROORZLQJ�ZD\V�
� 'HWHUUHQFH���'HWHUUHQFH�LV�EDVHG�RQ�WKH�SRWHQWLDO�RI�PLOLWDU\�IRUFH�DQG�LV�D�FHQWUDO�IXQFWLRQ
RI�GHIHQFH���,W�VXSSRUWV�GLSORPDWLF�DFWLYLW\�GHVLJQHG�WR�DYHUW�UHFRXUVH�WR�DUPHG�FRQIOLFW��DQG�PD\
SUHYHQW�HVFDODWLRQ�RQFH�D�FRQIOLFW�KDV�VWDUWHG���'HWHUUHQFH�DLPV�WR�GLVVXDGH�D�SRWHQWLDO�DGYHUVDU\
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\��UHDGLQHVV�DQG�VHQVH�RI�SXUSRVH���7KH�GHWHUUHQW�UROH�RI�VXUYLYDEOH�QXFOHDU�IRUFHV�DULVHV
IURP�WKHLU�SRWHQWLDO�TXLFNO\�WR�GHOLYHU�LQWROHUDEOH�GDPDJH�DQG�WKH�LPSRVVLELOLW\�RI�FDOFXODWLQJ�DW
ZKDW� VWDJH� LQ� D� FRQIOLFW� WKH\�PLJKW� EH� XVHG�� �1XFOHDU� IRUFHV� DUH� LQWHQGHG� WR�PDNH� FOHDU� WR� D
SRWHQWLDO�DWWDFNHU�WKDW�WKH�ULVNV�FOHDUO\�H[FHHG�WKH�SRWHQWLDO�JDLQV�IURP�DJJUHVVLRQ���7KH\��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� RSSRQHQWV� 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
HIIRUWV�RI�WKH�LQWHUQDWLRQDO�FRPPXQLW\��WKHUH�LV�D�ULVN�WKDW�QXFOHDU�WHFKQRORJ\�PD\�SUROLIHUDWH�LQ
WKH� IXWXUH� WR� �URJXH� VWDWHV�� ZKR� PLJKW� VHH� WKH� XVH� RI� QXFOHDU� ZHDSRQV� DV� DQ� H[WHQVLRQ� RI
FRQYHQWLRQDO�ZDUILJKWLQJ�FDSDELOLW\�DQG�PLVSHUFHLYH�WKH�ULVNV�LQYROYHG�LQ�WKHLU�XVH���'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
FRQVLGHUHG�LQFOXGLQJ�SUH�HPSWLRQ�RU�GLVUXSWLRQ�XVLQJ�FRQYHQWLRQDO�IRUFHV��WKLV�JRHV�EH\RQG�WKH
SKLORVRSK\�RI�FRHUFLRQ�GHVFULEHG�EHORZ��
� &RHUFLRQ�� � 'HWHUUHQFH� DV� GHVFULEHG� DERYH� LV� HVVHQWLDOO\� D� SDVVLYH� IXQFWLRQ� VHHNLQJ� WR
LQIOXHQFH�WKH�EHKDYLRXU�RI�D�SRWHQWLDO�DGYHUVDU\�WKURXJK�KLV�SHUFHSWLRQ�RI�WKH�ULVNV�ZKLFK�PLJKW
DFFUXH�WR�PLOLWDU\�DJJUHVVLRQ���&RHUFLRQ��VRPHWLPHV�FDOOHG�FRPSHOOHQFH��PRYHV�GHWHUUHQFH�RQWR
DQ�DFWLYH�DQG�PRUH�IRFXVHG�SODQH��E\�WKH�GLUHFW�WKUHDW�RU�WKH�XVH�RI�IRUFH�LQ�D�PHDVXUHG�ZD\��QRW
DV�DQ�DFW�RI�FRQIOLFW�RU�WR�DFKLHYH�D�PLOLWDU\�REMHFWLYH�EXW�LQ�RUGHU�WR�FRPSHO�D�SDUWLFXODU�FRXUVH
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�
7KHUHIRUH��LW�IROORZV�WKDW�HIIHFWLYH�GHWHUUHQFH�DQG�FRHUFLRQ�UHTXLUH�D�FOHDU�GHILQLWLRQ�RI�WKH�WDUJHW
���
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
QHHGHG�LI�GHWHUUHQFH�KDV�IDLOHG�LQ�RUGHU�WR�FRPSHO�DQ�DJJUHVVRU�WR�UHVWRUH�WKH�VWDWXV�TXR�DQWH�RU
WR�GHVLVW�IURP�IXUWKHU�DJJUHVVLRQ���7KXV�DQ�DFW�RI�FRHUFLRQ�PD\�UHVWRUH�SDVVLYH�GHWHUUHQFH��EXW�DW
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
FRQWHPSODWHG�ZKHUH�WKH�YLWDO�LQWHUHVWV�RI�WKH�VWDWH�ZHUH�DW�ULVN���%HFDXVH�RI�WKH�ULVN�RI�HVFDODWLRQ
LQKHUHQW� LQ� FRHUFLRQ�� LW� LV� HVSHFLDOO\� LPSRUWDQW� WKDW� FRHUFLRQ� VKRXOG� RQO\� EH� LQLWLDWHG� E\
GHOLEHUDWH�GHFLVLRQ�DQG�EH�IXOO\�FRQVLVWHQW�ZLWK�JUDQG�VWUDWHJLF�DLPV�
� 'HVWUXFWLRQ���7KH�PRVW�REYLRXV�XVH�RI�PLOLWDU\�IRUFH�LV�WR�GHVWUR\�VRPHWKLQJ���IRU�H[DPSOH
DQ�DLUFUDIW��D�VKLS��D�EULGJH�RU�D�ZKROH�HQHP\�IRUFH���WR�SUHYHQW�WKH�HQHP\�XVLQJ�LW�IRU�KLV�RZQ
SXUSRVHV�DQG�VR�EULQJ�DERXW�KLV�GHIHDW���,Q�SDUWLFXODU��DWWULWLRQ�LV�WKH�FXPXODWLYH�UHGXFWLRQ�RI�WKH
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�RWKHUV
HIIHFWLYHQHVV���$�SURWDJRQLVWV�HQGXUDQFH�PLJKW�GHSHQG�RQ�SXUHO\�SK\VLFDO�IDFWRUV��EXW�LW�PLJKW
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[DPSOH�WKH�DWWULWLRQ�RI�WKH�,UDTL�$UP\�LQ�������SULRU�WR�WKH�&RDOLWLRQV�ODQG�RIIHQVLYH��RU�RQ�KLV
UHDFK��IRU�H[DPSOH�WKH�FDPSDLJQ�ZKLFK�FXOPLQDWHG�LQ�WKH�%DWWOH�RI�7UDIDOJDU��
� &RQVWUDLQW���&RQVWUDLQW�LV�WKH�RWKHU�W\SH�RI�GHQLDO��ZKLFK�LQYROYHV�WKH�XVH�RI�IRUFH�WR�GHQ\
VRPHWKLQJ�ZLWKRXW�GHVWUR\LQJ�LW��IRU�H[DPSOH��GHQ\LQJ�WKH�XVH�RI�D�EULGJH�RU�URDG�E\�EORFNLQJ�LW�
RU�WKH�XVH�RI�D�PDULWLPH�EORFNDGH�
� 'LVUXSWLRQ���'LVUXSWLRQ�LV�WKH�XVH�RI�IRUFH�WR�VKDWWHU�WKH�FRKHVLRQ�RI�D�PLOLWDU\�IRUPDWLRQ��WR
SUHYHQW� LW� IURP�IXQFWLRQLQJ�HIIHFWLYHO\�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\
WKURXJK�WKH�XVH�RI�IRUFH�FRPELQHG�ZLWK�VXUSULVH��GHFHSWLRQ�DQG�WHPSR�
Destruction is a form of denial.Seen here, the aftermath of an airattack on an Iraqi hardenedaircraft shelter during the Gulf War
���
Chapter 4
STRATEGIC CONSIDERATIONS
� 7KLV� FKDSWHU� GLVFXVVHV� WKH� IDFWRUV� ZKLFK� LQIOXHQFH� WKH� SODQQLQJ� DQG� FRQGXFW� RI� PLOLWDU\
RSHUDWLRQV�DW�WKH�VWUDWHJLF�OHYHO���,W�EHJLQV�E\�FRQVLGHULQJ�WKH�QDWXUH�RI�VWUDWHJ\�
7KH�1DWXUH�RI�6WUDWHJ\
� )LHOG� 0DUVKDO� 9LVFRXQW� $ODQEURRNH�� ZKR� ZDV� FR�FKDLUPDQ� RI� WKH� $QJOR�86� &RPELQHG
&KLHIV�RI�6WDII��&RPPLWWHH�IRU�PRVW�RI�WKH�6HFRQG�:RUOG�:DU��GHVFULEHG�WKH�DUW�RI�VWUDWHJ\�DV�
�WR�GHWHUPLQH� WKH�DLP��ZKLFK� VKRXOG�EH�SROLWLFDO�� WR�GHULYH� IURP� WKDW� DLP�D� VHULHV� RI�PLOLWDU\
REMHFWLYHV�WR�EH�DFKLHYHG��WR�DVVHVV�WKHVH�REMHFWLYHV�DV�WR�WKH�PLOLWDU\�UHTXLUHPHQWV�WKH\�FUHDWH�
DQG� WKH� SUH�FRQGLWLRQV� 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
FRKHUHQW�SDWWHUQ�RI�SULRULWLHV�DQG�D�UDWLRQDO�FRXUVH�RI�DFWLRQ���
� %HFDXVH�FRQIOLFW�LV��LQ�HVVHQFH��D�EDWWOH�RI�ZLOOV��PLOLWDU\�VWUDWHJ\�LV�IXQGDPHQWDOO\�GLIIHUHQW
IURP� DFWLYLWLHV�ZKHUH� WKHUH� LV� QR� RSSRQHQW�� � ,WV� REMHFW� LV� WR� DFKLHYH� DQG�PDLQWDLQ� IUHHGRP� RI
DFWLRQ�DQG�WR�WU\�WR�OLPLW�WKDW�RI�WKH�HQHP\��ZLWK�WKH�XOWLPDWH�SXUSRVH�RI�JDLQLQJ�KLV�VXEPLVVLRQ�
6WUDWHJ\�VHHNV�WR�FUHDWH�D�GHVLUHG�SDWWHUQ�WR�HYHQWV�ZKHUH�WKH�HQGV��WKH�ZD\V�DQG�WKH�PHDQV�DUH
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���,W�LV�XVHIXO�WR�FRQVLGHU�WKH�LVVXHV�LQYROYHG�LQ�WKHVH�WHUPV�
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
LQWHUQDWLRQDO�FRPPXQLW\�ZLOO�KDYH�D�SURIRXQG�LQIOXHQFH�RQ�KRZ�PLOLWDU\�IRUFH�FDQ�EH�HPSOR\HG�
� 7KH�0LQG���&RQIOLFW�LV�D�VWUXJJOH�RI�ZLOOV��ZKLFK�WDNHV�SODFH�LQ�SHRSOHV�PLQGV�DV�ZHOO�DV�RQ
WKH�EDWWOHILHOG���7KH�DVVDXOW�RQ�WKH�PLQG�RI�WKH�HQHP\�LV�GLVFXVVHG�LQ�WKH�QH[W�VHFWLRQ���+RZHYHU
LW� LV� YLWDO� WR�PDLQWDLQ� WKH�PRUDOH� DQG� VXSSRUW� RI� WKH� KRPH� � SRSXODWLRQ� ��PHGLD� RSHUDWLRQV� DUH
IXQGDPHQWDO�WR�WKLV���DQG�WR�FRQYLQFH�RXU�RZQ�DQG�DOOLHG�IRUFHV�WKDW�WKH\�DUH�ILJKWLQJ�IRU�D�MXVW
FDXVH�XQGHU�FDSDEOH�DQG�GHWHUPLQHG�OHDGHUV�
� 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.
���
� 7KH�3RSXODWLRQ�LQ�WKH�:DU�=RQH���&LYLOLDQV�LQ�WKH�ZDU�]RQH�PLJKW�EH�DIIHFWHG�E\�PLOLWDU\
RSHUDWLRQV�DQG�FRXOG�EHFRPH�GLUHFWO\�LQYROYHG�LQ�WKHP���7KH�SURWHFWLRQ�DIIRUGHG�WR�FLYLOLDQV�E\
WKH�ODZV�RI�DUPHG�FRQIOLFW�ZLOO�OLPLW�WKH�ZD\�LQ�ZKLFK�IRUFH�LV�XVHG��IRU�H[DPSOH��WKH�FKRLFH�RI
WDUJHWV� DQG�ZHDSRQV� �VHH�$QQH[�%��� � 3ODQQLQJ�PD\� QHHG� WR� WDNH� LQWR� DFFRXQW� WKH�ZHOIDUH� RI
UHIXJHHV�DQG�WKHLU�HIIHFW�RQ�PLOLWDU\�PRYHPHQW���,Q�RSHUDWLRQV�RWKHU�WKDQ�ZDU��SDUWLFXODUO\�WKRVH
VXFK�DV�SHDFHNHHSLQJ�ZKLFK�UHTXLUH�FRQVHQW��WKH�VXSSRUW�RI�WKH�ORFDO�SRSXODWLRQ�PD\�EH�FUXFLDO
WR�VXFFHVV�DQG�LW�ZLOO�EH�HVVHQWLDO�WR�ZLQ�WKHLU�FRQILGHQFH�
� *HRJUDSK\���*HRJUDSK\��IRU�H[DPSOH�WKH�GLVWDQFH�RI�WKH�WKHDWUH�RI�RSHUDWLRQV�IURP�RZQ�RU
IULHQGO\�EDVHV�DQG� WKH�QDWXUH�RI� WKH� WHUUDLQ�DQG� LQIUDVWUXFWXUH�RYHU�ZKLFK� DQ�RSHUDWLRQ�ZLOO�EH
FRQGXFWHG��LV�D�PDMRU�SODQQLQJ�FRQVLGHUDWLRQ���,W�DIIHFWV�WKH�PHWKRG�RI�GHSOR\PHQW��WKH�FKRLFH�RI
LQVHUWLRQ�SRLQW�DQG�WKH�W\SHV�RI�IRUFHV�DQG�HTXLSPHQW�QHHGHG�
� &OLPDWH� DQG� :HDWKHU�� � &OLPDWH� DQG� ZHDWKHU� DIIHFW� WKH� SHUIRUPDQFH� RI� SHRSOH� DQG
HTXLSPHQW��ZKLFK�PD\�LQ�WKH�PRVW�DGYHUVH�FRQGLWLRQV�EH�VHYHUHO\�GHJUDGHG���7KXV�WKH�HIIHFWV�RI
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
LQIOXHQFHG�E\�JHRJUDSK\�DQG�FOLPDWH�
� 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
GRPLQDQFH�UHTXLUHG�DQG�WKH�FRQGLWLRQV�QHFHVVDU\�WR�DFKLHYH�LW�
� 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
DQG�WR�HQDEOH�PLOLWDU\�RSHUDWLRQV�LQ�WKHVH�FRQGLWLRQV�
The support of thelocal population maybe crucial to successand it is essential towin their confidence.A British soldiermakes friends with alocal in Bosnia.
���
The Enemy
� 7KH�HQHP\�PXVW�EH� WKH� IRFXV�RI� VWUDWHJ\�� �:DU�PD\� EH�ZRQ�E\� GHVWUR\LQJ� DQ� RSSRQHQWV
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
RXWFRPH���7KH�VWDUWLQJ�SRLQW�PXVW�EH�NQRZOHGJH�RI�DOO�DVSHFWV�RI�WKH�HQHP\��LQFOXGLQJ�SROLWLFV�
HFRQRPLFV��JHRJUDSK\�DQG�FXOWXUH��DV�ZHOO�DV�WKH�FRQGLWLRQ�RI�KLV�DUPHG�IRUFHV�
� ,W�LV�HVVHQWLDO�DOZD\V�WR�WU\�WR�DQWLFLSDWH�WKH�HQHP\V�VWUDWHJ\�LQ�RUGHU�WR�DWWHPSW�WR�WKZDUW�LW
DQG�WR�JXDUG�DJDLQVW�ZKDW�KH�SODQV�WR�GR�WR�XV�UDWKHU�WKDQ�FRQFHQWUDWLQJ�H[FOXVLYHO\�RQ�ZKDW�ZH
SODQ�WR�GR�WR�KLP���,I�WKHUH�LV�D�FKRLFH�RI�VWUDWHJ\��WKH�RQH�ZKLFK�LV�DSSDUHQWO\�PRVW�HIILFLHQW�PD\
QRW�QHFHVVDULO\�EH�WKH�EHVW��LI�LW�LV�HDV\�WR�DQWLFLSDWH�DQG�FRXQWHU���3ODQQHUV�PXVW�WKLQN�FRQVWDQWO\
DERXW�KRZ�WKH�HQHP\�PD\�UHDFW�WR�IUXVWUDWH�IULHQGO\�DFWLRQV���,I�IDFHG�E\�VXSHULRU�IRUFHV�KH�PD\
VLPSO\�DYRLG�FRPEDW��IRU�H[DPSOH��WKH�*HUPDQ�+LJK�6HDV�)OHHW�LQ�WKH�)LUVW�:RUOG�:DU�DYRLGHG
JLYLQJ�EDWWOH�WR�WKH�%ULWLVK�)OHHW��H[FHSW�DW�WKH�%DWWOH�RI�-XWODQG���,I�FDXJKW�RII�EDODQFH�KH�PD\
UHFRYHU�E\� UHGHSOR\LQJ�KLV� IRUFHV�� UHFRQVWUXFWLQJ�KLV�DVVHWV��GHYLVLQJ�QHZ� WDFWLFDO�RU� WHFKQLFDO
FRXQWHUPHDVXUHV��RU�ODXQFKLQJ�D�QHZ�VWUDWHJLF�LQLWLDWLYH�RI�KLV�RZQ���,W�LV�UDUH�IRU�DQ�HQHP\�QRW
WR� DWWHPSW� VRPH� FRXQWHU�RIIHQVLYH� DFWLRQ� RI� KLV� RZQ�� HYHQ� ZKHQ� IDFHG� ZLWK� DQ� RIIHQVLYH� E\
JUHDWO\� VXSHULRU� IRUFHV�� � ([DPSOHV� DUH� WKH� ERPEDUGPHQWV� ZLWK� 9�ZHDSRQV� DQG� WKH� $UGHQQHV
RIIHQVLYH� ODXQFKHG�E\�+LWOHU� LQ� �������� DQG�6DGGDP�+XVVHLQV� 6&8'�DWWDFNV� DQG� WKH�.KDIML
RIIHQVLYH�GXULQJ�WKH�*XOI�:DU���7KH�VHFUHW�RI�VXFFHVVIXO�PLOLWDU\�VWUDWHJ\�LV�WR�WKLQN�DKHDG�DERXW
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\
FKDQJLQJ�WKH�VLWXDWLRQ�VR�IDVW�WKDW�KH�KDV�QR�WLPH�WR�UHDFW�� �0RUHRYHU��VLPSO\�SHUVLVWLQJ�ZLWK�D
VWUDWHJ\�ZKLFK�KDV�ZRUNHG�ZHOO�VR�IDU�LV�QR�JXDUDQWHH�RI�IXWXUH�VXFFHVV�
Ends
� 0LOLWDU\�VWUDWHJ\�PXVW�HQDEOH�WKH�DFKLHYHPHQW�RI�SROLWLFDO�HQGV���,Q�D�ZDU�RI�QDWLRQDO�VXUYLYDO
WKH�SROLWLFDO�HQG�ZLOO�EH�FOHDU�DQG�XQHTXLYRFDO�DQG�DOO�QDWLRQDO�UHVRXUFHV�PXVW�EH�KDUQHVVHG�WR
SURYLGH� WKH� PLOLWDU\� PHDQV� QHFHVVDU\�� � 2Q� WKH� RWKHU� KDQG�� LI� YLWDO� QDWLRQDO� LQWHUHVWV� DUH� QRW
LQYROYHG��LW�PD\�EH�QHFHVVDU\�WR�WDLORU�WKH�SROLWLFDO�REMHFWLYH�WR�PDWFK�ZKDW�FDQ�UHDOLVWLFDOO\�EH
DFKLHYHG�E\�WKH�OHJDO�DQG�SURSRUWLRQDWH�XVH�RI�PLOLWDU\�IRUFH��ZLWK�WKH�IRUFHV�UHDGLO\�DYDLODEOH�
,QGHHG�� WKH�GHFLVLRQ�ZKHWKHU�RU�QRW� WR� LQWHUYHQH�ZLOO�EH� LQIOXHQFHG�E\�FRQVLGHUDWLRQV�RI� � KRZ
DFKLHYDEOH�WKH�SROLWLFDO�HQG�LV�DQG�ZKDW�WKH�RSHUDWLRQ�LV�OLNHO\�WR�FRVW��IRU�H[DPSOH�LQ�WHUPV�RI
IRUFHV� FRPPLWWHG�� FDVXDOWLHV�� WUDGH� DQG� QDWLRQDO� SUHVWLJH�� LQ� FRPSDULVRQ� ZLWK� WKH� GHJUHH� RI
QDWLRQDO�LQWHUHVW�LQ�WKH�SRWHQWLDO�FRQIOLFW�
� 7KH�PLOLWDU\�REMHFWLYHV� VKRXOG�EH� VWDWHG� LQ� WHUPV�RI�ZKDW� FRQVWLWXWHV� VXFFHVV� �� WKH�GHVLUHG
HQG�VWDWH���)RU�FHUWDLQ�RSHUDWLRQV�WKLV�PD\�EH�WKH�EUHDNLQJ�RI�WKH�RSSRQHQWV�SROLWLFDO�ZLOO�RU�WKH
GHVWUXFWLRQ�RI�VRPH�RU�DOO�RI�KLV�PLOLWDU\�FDSDELOLW\�� ,Q�RWKHU�FDVHV� �VXFFHVV�PD\�LQYROYH�VRPH
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\
&RXQFLOV�5HVROXWLRQV�PHDQV�WKDW�WKHVH�DUH�IUHTXHQWO\�XQOLNHO\�WR�EH�DEOH�WR�VSHFLI\�WKH�GHVLUHG
RXWFRPH�ZLWK�SUHFLVLRQ�� �'XULQJ�WKH�FRXUVH�RI�D�FULVLV�RU�DQ�RSHUDWLRQ� WKH� LPPHGLDWH�VLWXDWLRQ
DQG�ZLGHU�FLUFXPVWDQFHV�DUH�OLNHO\�WR�FKDQJH�DQG�SROLWLFDO�REMHFWLYHV�PD\�EH�UHYLVHG���7KHUHIRUH�
���
LW� LV� HVVHQWLDO� WR� NHHS� PLOLWDU\� REMHFWLYHV� XQGHU� UHYLHZ�� � :KDWHYHU� WKH� FLUFXPVWDQFHV�� FOHDU
VWUDWHJLF�GLUHFWLRQ�LV�HVVHQWLDO�IRU�DOO�PLOLWDU\�RSHUDWLRQV�
Ways
� &HQWUH�RI�*UDYLW\���6XFFHVV�LQ�FRQIOLFW�FDQ�EH�DFKLHYHG�WKURXJK�LGHQWLI\LQJ�DQG�FRQWUROOLQJ
RU�GHVWUR\LQJ�WKH�HQHP\V�FHQWUH�RI�JUDYLW\���7KH�FHQWUH�RI�JUDYLW\�ZDV�GHILQHG�E\�&ODXVHZLW]�DV
�WKH�KXE�RI�DOO�SRZHU�DQG�PRYHPHQW�RQ�ZKLFK�HYHU\WKLQJ�GHSHQGV������WKH�SRLQW�DW�ZKLFK�DOO�RXU
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
VWUHQJWK�RU�ZLOO�WR�ILJKW���([DPSOHV�PLJKW�EH�WKH�PDVV�RI�DQ�HQHP\�DUP\��D�SDUWLFXODU�EDVH�DUHD�
D�FUXFLDO�UHVRXUFH��WKH�OHDGHUVKLS��WKH�FRPPDQG�VWUXFWXUH��RU�QDWLRQDO�ZLOO���:KHUH�FRDOLWLRQV�DUH
FRQFHUQHG�WKH�FHQWUH�RI�JUDYLW\�ZLOO�XVXDOO\�EH�WKH�FRDOLWLRQV�FRKHVLRQ���,Q�WKH�FDVH�RI�DQ�DQWL�
WHUURULVW�FDPSDLJQ�LW�PLJKW�EH�WKDW�SDUW�RI� WKH�SRSXODWLRQ�RU� WKH� 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�� ,UDTV�VWUDWHJLF�FHQWUH�RI�JUDYLW\�ZDV�6DGGDP
+XVVHLQV�ZLOO�DQG�LWV�RSHUDWLRQDO�FHQWUH�RI�JUDYLW\�ZDV�WKH�5HSXEOLFDQ�*XDUG���,Q�WKH�FRXUVH�RI�D
ORQJ�FRQIOLFW�WKH�ORFDWLRQ�RI�WKH�FHQWUH�RI�JUDYLW\�PD\�FKDQJH���,I�WKH�HQHP\V�FHQWUH�RI�JUDYLW\�LV
GLIILFXOW�WR�VSHFLI\��DQ�DWWHPSW�VKRXOG�EH�PDGH�WR�UHFRJQLVH�FULWLFDO�YXOQHUDELOLWLHV�LQ�DQ�HQHP\
ILJKWLQJ�IRUFH��ZKLFK�LI�GHVWUR\HG�RU�QHXWUDOLVHG�ZLOO�GLVUXSW�WKH�ILJKWLQJ�V\VWHP�RI�WKDW�IRUFH���,W
LV�DOVR�YLWDO�WR�LGHQWLI\�WKH�FHQWUH�RI�JUDYLW\�RI�\RXU�RZQ�VLGH�DQG�SURWHFW�LW�
� 0DQRHXYULVW�$SSURDFK� 7KH�PDQRHXYULVW�DSSURDFK�WR�RSHUDWLRQV�LV�RQH�LQ�ZKLFK�VKDWWHULQJ
WKH� HQHP\V� RYHUDOO� FRKHVLRQ� DQG� ZLOO� WR� ILJKW�� UDWKHU� WKDQ� KLV� PDWHULHO�� LV� SDUDPRXQW�
0DQRHXYUH� ZDUIDUH� LV� LQYDULDEO\� MRLQW�� LW� DLPV� WR� DSSO\� VWUHQJWK� DJDLQVW� LGHQWLILHG� ZHDNQHVV�
VLJQLILFDQW� IHDWXUHV�DUH�PRPHQWXP�DQG� WHPSR��ZKLFK� LQ�FRPELQDWLRQ� OHDG� WR� VKRFN� DFWLRQ�DQG
VXUSULVH�� �(PSKDVLV�LV�RQ�WKH�GHIHDW�DQG�GLVUXSWLRQ�RI�WKH�HQHP\���E\�WDNLQJ�WKH�LQLWLDWLYH��DQG
DSSO\LQJ�FRQVWDQW�DQG�XQDFFHSWDEOH�SUHVVXUH�DW� WKH� WLPHV�DQG�SODFHV� WKH�HQHP\�OHDVW� H[SHFWV� �
UDWKHU�WKDQ�DWWHPSWLQJ�WR�VHL]H�DQG�KROG�JURXQG�IRU�LWV�RZQ�VDNH���,W�FDOOV�IRU�DQ�DWWLWXGH�RI�PLQG
LQ�ZKLFK�GRLQJ�WKH�XQH[SHFWHG�DQG�VHHNLQJ�RULJLQDOLW\�LV�FRPELQHG�ZLWK�D�UXWKOHVV�GHWHUPLQDWLRQ
WR�VXFFHHG���7KH�PDQRHXYULVW�DSSURDFK�LV�HTXDOO\�DSSOLFDEOH�WR�DOO�W\SHV�RI�PLOLWDU\�RSHUDWLRQV�
6XFK� DQ� LQGLUHFW� DSSURDFK�RIIHUV� WKH�SURVSHFW� RI� UDSLG� UHVXOWV�� RU� RI� UHVXOWV� GLVSURSRUWLRQDWHO\
JUHDWHU�WKDQ�WKH�UHVRXUFHV�DSSOLHG���+HQFH�LW� LV�DWWUDFWLYH�WR�D�QXPHULFDOO\� LQIHULRU�VLGH��RU� WR�D
VWURQJHU�VLGH�ZKLFK�ZLVKHV� WR�PLQLPLVH� WKH� UHVRXUFHV� FRPPLWWHG�� �+RZHYHU�� LW�GRHV�HQWDLO� WKH
ULVN�WKDW�GLVUXSWLRQ�RI�WKH�HQHP\�ZLOO�QRW�RFFXU�DV�SUHGLFWHG�DQG�KHQFH�FDQ�EH�OHVV�FHUWDLQ�WKDQ
DQ� RSHUDWLRQ� ZKLFK� UHOLHV� RQ� WKH� � XVH� RI� RYHUZKHOPLQJ� IRUFH� DV� D� PHDQV� RI� GHVWUXFWLRQ�� � ,Q
SUDFWLFH��GLUHFW�DQG�LQGLUHFW�IRUPV�RI�DWWDFN�DUH�QRW�H[FOXVLYH�VW\OHV�RI�ZDUIDUH�DQG�DQ\�VWUDWHJ\
LV� OLNHO\� WR� FRQWDLQ� HOHPHQWV� RI� HDFK�� �$� NH\� FKDUDFWHULVWLF� RI� WKH�PDQRHXYULVW� DSSURDFK� LV� WR
DWWDFN�WKH�HQHP\�FRPPDQGHUV�GHFLVLRQ�PDNLQJ�SURFHVV�E\�DWWHPSWLQJ�WR�JHW�LQVLGH�KLV�GHFLVLRQ
PDNLQJ�F\FOH���7KLV�LQYROYHV�SUHVHQWLQJ�KLP�ZLWK�WKH�QHHG�WR�PDNH�GHFLVLRQV�DW�D�IDVWHU�UDWH�WKDQ
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
ZKLFK�FDQ�EH�DFKLHYHG�E\�SK\VLFDO�RU�RWKHU�PHDQV�ZLOO�KDVWHQ�WKH�RQVHW�RI�SDUDO\VLV�
� ,QLWLDWLYH��2IIHQFH�DQG�'HIHQFH���6XQ�7]X�VXJJHVWHG�WKDW��LQYLQFLELOLW\�OLHV�LQ�WKH�GHIHQFH�
WKH�SRVVLELOLW\�RI�YLFWRU\�LQ�WKH�DWWDFN���� �)RU�VXFFHVV��D�FRPPDQGHU�DW�DQ\�OHYHO�QHHGV�WR�VHL]H
DQG�PDLQWDLQ�WKH�LQLWLDWLYH�DW�FULWLFDO�SRLQWV�LQ�WLPH��ZKLFK�ZLOO�EH�GHWHUPLQHG�E\�KLV�REMHFWLYHV
� On War, page 595�� The Art of War, Sun Tzu, translated by Samuel B Griffith, Clarendon Press 1963, page 85.
���
DQG�ZLGHU�FLUFXPVWDQFHV���+H�PXVW�IRUFH�WKH�HQHP\�WR�UHVSRQG��VHH�WR�LW�WKDW�HQJDJHPHQWV�WDNH
SODFH�RQ�KLV�RZQ�WHUPV�DQG�PDLQWDLQ�D�WHPSR�RI�RSHUDWLRQV�ZKLFK�H[FHHGV�WKH�HQHP\V�FDSDFLW\
WR� UHDFW�� � 2IIHQVLYH� DFWLRQ� LV� WKH� FKLHI�PHDQV� RI� JDLQLQJ� WKH� LQLWLDWLYH�� � 6XFFHVVIXO� RIIHQVLYH
DFWLRQ�DOVR�HVWDEOLVKHV�DQ�DVFHQGDQF\�RYHU�WKH�HQHP\��GDPDJHV�HQHP\�IRUFHV�PRUDOH�DQG�UDLVHV
RZQ�IRUFHV�PRUDOH���,Q�VLWXDWLRQV�ZKHUH�WKHUH�DUH�VLPSOH�PLOLWDU\�REMHFWLYHV��RIIHQVLYH�DFWLRQ�LV
JHQHUDOO\�QHFHVVDU\�WR�VHFXUH�D�GHFLVLRQ���+RZHYHU��IRU�GHPRFUDWLF�QDWLRQV�SROLWLFDO�IDFWRUV�PD\
GLFWDWH��DW�OHDVW�LQLWLDOO\��D�GHIHQVLYH�VWUDWHJ\�DQG�LW�ZLOO�EH�QHFHVVDU\�WR� WU\� WR�GHWHU�RU�FRXQWHU
ZKDWHYHU� WKH�HQHP\�DWWHPSWV�� �0RUHRYHU��D�VODYLVK�DGKHUHQFH�WR� WKH�RIIHQVLYH�FDQ�EH�FRXQWHU�
SURGXFWLYH�� LQ�SDUWLFXODU��DQ�RIIHQVLYH�PXVW�EH�GHVLJQHG� WR� VXFFHHG�EHIRUH� LW� UHDFKHV� WKH�SRLQW
ZKHQ�WKH�DWWDFNHU�FDQ�QR�ORQJHU�VXVWDLQ�WKH�RIIHQVLYH�DQG�LV�IRUFHG�WR�VZLWFK�WR�WKH�GHIHQVLYH��
WKH�FXOPLQDWLQJ�SRLQW���7KH�DGRSWLRQ�RI�DQ�RIIHQVLYH�VWUDWHJ\�GRHV�QRW�QHFHVVDULO\�PHDQ�WKDW�DOO
WKH� FDPSDLJQV� DQG� WDFWLFV� WR� H[HFXWH� WKDW� VWUDWHJ\� ZLOO� LQYDULDEO\� EH� RIIHQVLYH�� � 6LPLODUO\�� D
GHIHQVLYH�VWUDWHJ\�PD\�UHTXLUH�RIIHQVLYH�FDPSDLJQV�DQG�WDFWLFV�
� 6KDSLQJ� 3HUFHSWLRQV� RI� 2SSRQHQWV�� � ,Q� DQ\� FDPSDLJQ� LW� LV� LPSRUWDQW� WR� VKDSH� WKH
SHUFHSWLRQV�RI�RSSRQHQWV���,Q�VRPH�VLWXDWLRQV�WKH�LQWHQW�PD\�EH�WR�FRQYLQFH�DQ�HQHP\�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\FKRORJLFDO�RSHUDWLRQV�FDQ�EH�LPSRUWDQW�PHDQV�RI�KHOSLQJ�WR�VKDSH�DQ�RSSRQHQWV�SHUFHSWLRQV�
+RZHYHU��LQ�VRPH�VLWXDWLRQV�LW�PD\�EH�YLWDO�WR�HQVXUH�WKDW�WKH�HQHP\�KDV�QR�PLVXQGHUVWDQGLQJ�RI
\RXU�LQWHQWLRQV�
� ,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
FUHDWH�SRWHQWLDO�QHZ�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
LQIRUPDWLRQ��RU�LQWHUIHUH�ZLWK�WKH�RSHUDWLRQ�RI�ZHDSRQV�V\VWHPV���7KH�WHUP�LQIRUPDWLRQ�ZDUIDUH
KDV� EHHQ� FRLQHG� IRU� DFWLRQV� WR� DWWDFN� RU� GHIHQG� DQ\� RI� WKH� LQIRUPDWLRQ�EDVHG� DFWLYLWLHV
VXSSRUWLQJ� HLWKHU� RSHUDWLRQDO� RU� EXVLQHVV� SURFHVVHV�� � 7KH� 0LQLVWU\� RI� 'HIHQFH� FRQGXFWV
GHIHQVLYH�LQIRUPDWLRQ�ZDUIDUH��DFURVV�WKH�IXOO�VSHFWUXP�RI�FRQIOLFW��ZKLOH�RIIHQVLYH�LQIRUPDWLRQ
ZDUIDUH�LV�FXUUHQWO\�DGGUHVVHG�LQ�WKH�FRQWH[W�RI�FRPPDQG�DQG�FRQWURO�ZDUIDUH�
� &RPPDQG�DQG�&RQWURO�:DUIDUH���(IIHFWLYH�FRPPDQG�DQG�FRQWURO�LV�FHQWUDO�WR�WKH�XVH�RI
PLOLWDU\� IRUFH�� WKHUHIRUH� LI� DQ� HQHP\V� FRPPDQG� DQG� FRQWURO� FDQ� EH� SDUDO\VHG� KLV� PLOLWDU\
HIIHFWLYHQHVV�ZLOO�EH�QHXWUDOLVHG���7KH�HOHPHQWV�RI�FRPPDQG�DQG�FRQWURO�DUH�DZDUHQHVV��GHFLVLRQ
PDNLQJ�DQG�FRPPXQLFDWLRQ��DQ\�RI�WKHVH�FDQ�EH�DWWDFNHG�SK\VLFDOO\�RU�E\�RWKHU�PHDQV���7KLV�LV
RIIHQVLYH�FRPPDQG�DQG�FRQWURO�ZDUIDUH���GHIHQVLYH�FRPPDQG�DQG�FRQWURO�ZDUIDUH�LQYROYHV�WKH
SURWHFWLRQ�RI�IULHQGO\�V\VWHPV���9LUWXDOO\�DQ\�PLOLWDU\�FDSDELOLW\�PD\�EH�XVHG�LQ�FRPPDQG�DQG
FRQWURO� ZDUIDUH�� FHQWUDO� DFWLYLWLHV� DUH� SK\VLFDO� GHVWUXFWLRQ�� HOHFWURQLF� ZDUIDUH�� RSHUDWLRQV
VHFXULW\��SV\FKRORJLFDO�RSHUDWLRQV�DQG�PLOLWDU\�GHFHSWLRQ���7KH�NH\�SRLQW�LV�WKDW��WR�EH�HIIHFWLYH�
WKHLU�XVH�PXVW�EH�LQWHJUDWHG�DQG�GH�FRQIOLFWHG�IURP�RWKHU�DFWLYLWLHV�� �7KH�RSHQLQJ�SKDVH�RI� WKH
*XOI�:DU�DLU�FDPSDLJQ� LQFOXGHG�D�JRRG�H[DPSOH�RI�VXFFHVVIXO�FRPPDQG�DQG� FRQWURO�ZDUIDUH�
7KH�&RDOLWLRQ�ODXQFKHG�FRQFHQWUDWHG�DQG�FR�RUGLQDWHG�DWWDFNV�DJDLQVW�,UDTL�FRPPDQG�IDFLOLWLHV�
SRZHU�JHQHUDWLRQ��WHOHFRPPXQLFDWLRQV��VHQVRUV��FRPPDQG�LQIRUPDWLRQ�V\VWHPV�DQG�GDWD�IXVLRQ
FHQWUHV��DQG�DFKLHYHG�LWV�REMHFWLYH�RI�QHXWUDOLVLQJ�WKH�,UDTL�QDWLRQDO�OHDGHUVKLSV�DELOLW\�WR�GLUHFW
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
WKHUHIRUH�GHSHQGHQW�RQ�WKH�RQH�SUHFHGLQJ�LW��DUH�WHUPHG�VHTXHQWLDO�� �$�FXPXODWLYH�FDPSDLJQ�LV
RQH�LQ�ZKLFK�WKH�HQWLUH�SDWWHUQ�RI�WKH�FDPSDLJQ�LV�PDGH�XS�IURP�D�FROOHFWLRQ�RI�OHVVHU�DFWLRQV�
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
GLIILFXOW�WR�SUHGLFW�WKH�WLPLQJ�RI�VXFFHVV�LQ�D�FXPXODWLYH�FDPSDLJQ�
Means
� ,Q�EURDG�WHUPV��VXFFHVV�LQ�PRGHUQ�ZDUIDUH�DJDLQVW�D�ZHOO��HTXLSSHG�HQHP\�UHTXLUHV�VXSHULRU
LQWHOOLJHQFH��D�TXLFNHU�GHFLVLRQ�PDNLQJ�F\FOH�� IOH[LEOH�DQG�DJLOH� IRUFHV�� LQFOXGLQJ�V\VWHPV� WKDW
FDQ�DSSO\�ILUHSRZHU�SUHFLVHO\�DW�ORQJ�UDQJH��DQG�VXVWDLQDELOLW\���3DUWLFXODU�DVSHFWV�DUH�GLVFXVVHG
EHORZ�
� ,QIRUPDWLRQ� DQG� ,QWHOOLJHQFH�� � $FFXUDWH�� UHOLDEOH� LQIRUPDWLRQ�� LQFOXGLQJ� XS�WR�GDWH
LQWHOOLJHQFH� LV� YLWDO� WR� VXSSRUW� DOO� GHIHQFH� DFWLYLWLHV� DW� HDFK� OHYHO�� � 7KH� NH\� UROH� SOD\HG� E\
8/75$�LQWHOOLJHQFH�LQ�WKH�6HFRQG�:RUOG�:DU�DQG�WKH�GHFLVLYH�LQIRUPDWLRQ�DGYDQWDJH�DFKLHYHG
The ULTRA intelligence produced by breaking the German Enigma codeswas crucial to Allied success during the Second World War. Seen here,General Heinz Guderian and his Enigma operators, France, June 1940.
���
E\�WKH�&RDOLWLRQ�RYHU�,UDT�LQ�WKH�*XOI�:DU�VKRZHG�WKH�HQGXULQJ�LPSRUWDQFH�RI�LQIRUPDWLRQ�DQG
LQWHOOLJHQFH�WR�YLFWRU\���7KH�LPSRUWDQFH�RI�ERWK�LQIRUPDWLRQ�ZDUIDUH�DQG�FRPPDQG�DQG�FRQWURO
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
LQIRUPDWLRQ�RQ�DOO�DVSHFWV�RI�WKH�FRQIOLFW��ZKLOH�GHQ\LQJ�WKH�VDPH�WR�WKH�HQHP\���,W�LV�FOHDU�WKDW�
LQ�PRGHUQ�ZDUIDUH��WKH�VLGH�ZKLFK�LV�DEOH�WR�DFKLHYH�WKLV�ZLOO�KDYH�D�GHFLVLYH�DGYDQWDJH���7KHUH
LV�� KRZHYHU�� D� VHULRXV� ULVN� RI� FRPPDQGHUV� EHLQJ� RYHUORDGHG� ZLWK� LQIRUPDWLRQ�� � ,W� LV� YLWDO� WR
GHVLJQ�LQIRUPDWLRQ�V\VWHPV�DQG�SURFHGXUHV�ZKLFK�FDQ�ILOWHU�WKH�YDVW�DUUD\�RI� LQIRUPDWLRQ�IURP
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\�SODQQLQJ���7KH�DUHDV�RI�SRWHQWLDO�GHIHQFH�LQWHUHVW�PXVW�EH�FOHDUO\�VWDWHG��VR�WKDW�DQ
HIIHFWLYH� LQGLFDWRUV� DQG�ZDUQLQJV�PHFKDQLVP� FDQ� EH� IRFXVHG��ZLWK� LQWHOOLJHQFH� FROOHFWLRQ� DQG
DQDO\VLV�HIIRUW�GLUHFWHG�WRZDUGV�LPSRUWDQW�LQGLFDWRUV�WR�IDFLOLWDWH�DGHTXDWH�ZDUQLQJ�WR�:KLWHKDOO
VWDIIV� RI� HPHUJLQJ� FULVHV�� � 7R� EH� HIIHFWLYH�� LQWHOOLJHQFH� IURP� DOO� VRXUFHV� QHHGV� WR� EH� EURXJKW
WRJHWKHU�DQG�DVVHVVHG�DW�D�QDWLRQDO�OHYHO�DQG�LQWHOOLJHQFH�VWDII�PXVW�EH�IXOO\�LQWHJUDWHG�LQWR�WKH
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
GHWHUPLQLQJ�FHQWUHV�RI�JUDYLW\�DQG�FULWLFDO�YXOQHUDELOLWLHV���7KLV�PD\�UHTXLUH�UDSLG�UHGLUHFWLRQ�RI
HIIRUW�DQG�WKH�LQWHOOLJHQFH�PDFKLQHU\�PXVW�EH�UHVSRQVLYH���+RZHYHU��WKHUH�ZLOO�DOZD\V�UHPDLQ�D
FHUWDLQ� LUUHGXFLEOH� IRJ�RI�ZDU�GXH� WR�XQSUHGLFWDEOH�HQHP\�DFWLRQV�� LQWHOOLJHQFH� OLPLWDWLRQV�DQG
WKH�VKHHU�FKDQFH�DVVRFLDWHG�ZLWK�PRGHUQ�IDVW�PRYLQJ�FRQIOLFW���&ODXVHZLW]�EHOLHYHG�WKDW�WKH�DUW
RI�WKH�JUHDW�FRPPDQGHU�ZDV�WR�NQRZ�ZKHQ�WR�WUXVW�KLV�LQVWLQFWV�DQG�WDNH�EROG��GHFLVLYH�DFWLRQ�
UDWKHU�WKDQ�ZDLWLQJ�IRU�SHUIHFW�LQIRUPDWLRQ�ZKLFK�ZRXOG�SUREDEO\�FRPH�WRR�ODWH�
� )RUFHV���7KH�WRROV�ZKLFK�D�FRPPDQGHU�XVHV�WR�DFKLHYH�KLV�PLOLWDU\�REMHFWLYHV�DUH�WKH�XQLWV
DQG� IRUPDWLRQV� SURYLGHG� E\� WKH� DUPHG� IRUFHV�� � +H� PXVW� EH� DVVLJQHG� DGHTXDWH� IRUFHV� IRU� KLV
PLVVLRQ��ZKLFK�DUH�SURSHUO\�HTXLSSHG�DQG�WUDLQHG�IRU�WKHLU�UROHV��DQG�ZKLFK�FDQ�EH�VXVWDLQHG�IRU
WKH�OLNHO\�GXUDWLRQ�RI�WKH�RSHUDWLRQ���)RUFHV�IURP�DOO�WKUHH�6HUYLFHV�DUH�OLNHO\�WR�EH�LQYROYHG�LQ
PRVW�RSHUDWLRQV��ZRUNLQJ�WRJHWKHU�LQ�D�FRKHVLYH�MRLQW�IRUFH���,Q�PDQ\�VLWXDWLRQV�WKH\�ZLOO�RSHUDWH
DORQJVLGH�DOOLHG�IRUFHV�DV�SDUW�RI�D�FRPELQHG�IRUFH���/DUJH�VFDOH�UHKHDUVDOV�PD\�EH�UHTXLUHG�WR
SUHSDUH�IRUFHV�IRU�FRPSOH[�RSHUDWLRQV���6LQFH�VSHHG�RI�UHDFWLRQ�LV�RIWHQ�YLWDO�WR�UHVROYH�D�FULVLV
TXLFNO\�RU�WR�SUHYHQW�LW�IURP�HVFDODWLQJ��FHUWDLQ�IRUFHV�PXVW�EH�KHOG�DW�KLJK�VWDWHV�RI�UHDGLQHVV�WR
In many situations, servicemen will operatealongside allied forces as part of a jointforce. Seen here, sailors of NATO'sStanding Naval Force Atlantic.
���
UHVSRQG�WR�VKRUW�QRWLFH�WDVNLQJ���$V�RSHUDWLRQV�GHYHORS�DQG�VLWXDWLRQV�FKDQJH��WKH�FDSDELOLWLHV�RI
WKH� IRUFHV� GHSOR\HG� QHHG� WR� EH� FDUHIXOO\� PRQLWRUHG�� � ,I� JDSV� LQ� WKHLU� FDSDELOLWLHV� EHFRPH
DSSDUHQW��WKH\�PXVW�EH�DGGUHVVHG�DQG�WKLV�PD\�UHTXLUH�LPPHGLDWH�RU�VKRUW�WHUP�DFWLRQ��VXFK�DV
GHSOR\LQJ� UHLQIRUFHPHQWV� RU� UDLVLQJ� XUJHQW� RSHUDWLRQDO� UHTXLUHPHQWV� IRU� UDSLG� HTXLSPHQW
SURFXUHPHQW�RU�LPSURYHPHQWV��,Q�WKH�ORQJHU�WHUP��DFWLRQ�RQ�IRUFH�EDODQFH��GRFWULQH�DQG�WUDLQLQJ
PD\�EH�UHTXLUHG�WR�UHGUHVV�ZHDNQHVVHV�UHYHDOHG�RQ�RSHUDWLRQV�
� 5XOHV�RI�(QJDJHPHQW�� �5XOHV�RI�HQJDJHPHQW�� DUH�DQ� LPSRUWDQW�PHWKRG�RI� DUWLFXODWLQJ� WKH
SROLWLFDO�DQG�OHJDO�FRQVWUDLQWV�LPSRVHG�DW�WKH�JUDQG�VWUDWHJLF� OHYHO�RQ�WKH�XVH�RI�PLOLWDU\� IRUFH�
7KH\�VSHFLI\��E\�PHDQV�RI�SURKLELWLRQV�DQG�SHUPLVVLRQV��WKH�GHJUHH�DQG�PDQQHU�LQ�ZKLFK�IRUFH
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
HQJDJHPHQW��WKHUH�LV�DQ�LQHYLWDEOH�FRQIOLFW�EHWZHHQ�WKH�SROLWLFDO�DQG�OHJDO�LPSHUDWLYH�WR�UHVWUDLQ
WKH�XVH�RI�IRUFH�DQG�WKH�QHHG�WR�SXUVXH�PLOLWDU\�REMHFWLYHV�DV�HIILFLHQWO\�DV�SRVVLEOH���7KHUHIRUH�
D�PRVW� LPSRUWDQW� VWUDWHJLF� IXQFWLRQ� LV� WR� HQVXUH� WKDW� UXOHV�RI� HQJDJHPHQW� DUH�ZULWWHQ� WR� DOORZ
HIIHFWLYH�XVH�RI�PLOLWDU\�IRUFH�DQG�SURYLGH�SURSHU�SURWHFWLRQ�IRU�WKH�IRUFHV�LQYROYHG���FRQVLVWHQW
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
DXWKRULVHG�E\�PLQLVWHUV�RQ�WKH�EDVLV�RI�VWUDWHJLF�SROLWLFDO��PLOLWDU\�DQG�OHJDO�DGYLFH��0LOLWDU\�VWDII
PXVW�FRQWLQXDOO\�UHYLHZ�WKH�UXOHV�LQ�WKH�OLJKW�RI�FKDQJLQJ�SROLWLFDO�DQG�PLOLWDU\�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\
GLIIHU�LI�WKLV�LV�QHFHVVDU\�WR�UHIOHFW�GRPHVWLF�ODZ�FRQVWUDLQWV�
� 7DUJHWLQJ�� � 3URSHUO\� GLUHFWHG� GHHS� DWWDFN� RI� NH\� WDUJHWV�� HYHQ� WKRXJK� WKH\� PD\� QRW
WKHPVHOYHV�EH�WKH�HQHP\V�FHQWUH�RI�JUDYLW\��FDQ�KDYH�DQ�HIIHFW�RQ�WKH�RXWFRPH�RI�D�FRQIOLFW�RXW
RI�DOO�SURSRUWLRQ�WR�WKH�HIIRUW�H[SHQGHG���7KH�VHOHFWLRQ�RI�WDUJHWV�IRU�ORQJ�UDQJH�DWWDFN�E\�DLUFUDIW
DQG� PLVVLOHV� LV� FUXFLDO�� � +RZHYHU�� GHHS� DWWDFN� FDQ� EH� SROLWLFDOO\� VHQVLWLYH� DQG� LW� PXVW� EH� LQ
DFFRUGDQFH�ZLWK�LQWHUQDWLRQDO�ODZ��XVLQJ�SURSRUWLRQDWH�IRUFH�DQG�PLQLPLVLQJ�FLYLOLDQ�FDVXDOWLHV�
7KHUHIRUH�WDUJHWLQJ�LV�D�FRPSOH[�SURFHVV�ZKLFK�UHOLHV�RQ�YHU\�DFFXUDWH�DQG�XS�WR�GDWH
� JSP 398 describes the policy and application of UK national rules of engagement.
Logisticconsiderations areoften the decidingfactor in planningan operation,particularly oneinvolving a long-range deployment,as was the casewith the seadeployment to Al-Jubail at the start ofthe Gulf War. Seenhere, a LandingShip Logistic entersport.
���
LQWHOOLJHQFH� DQG� WKH� XVH� RI� DFFXUDWH�� HIIHFWLYH� ZHDSRQV�� � $� UREXVW� EDWWOH� GDPDJH� DVVHVVPHQW
RUJDQLVDWLRQ��VXSSRUWHG�E\�UDSLG�DQG�DFFXUDWH�SRVW�DWWDFN�UHFRQQDLVVDQFH��LV�HVVHQWLDO�WR�SURYLGH
FUHGLEOH�DQG�FRPSUHKHQVLYH�DQDO\VLV� WR�GHWHUPLQH� WKH�HIIHFWLYHQHVV�RI�DWWDFNV�DQG�ZKHWKHU� UH�
DWWDFN�LV�QHFHVVDU\���%HFDXVH�RI�WKHLU�LPSRUWDQFH��FRPSOH[LW\�DQG�SROLWLFDO�VHQVLWLYLW\��WDUJHWLQJ
SROLF\�DQG�GLUHFWLRQ�DUH�UHWDLQHG�DW�WKH�VWUDWHJLF�OHYHO��ZKHUH�WKH�QHFHVVDU\�VSDQ�RI�LQIRUPDWLRQ
DQG� GHFLVLRQ� PDNLQJ� PDFKLQHU\� LV� DYDLODEOH�� � 2SHUDWLRQDO� DQG� WDFWLFDO� OHYHO� WDUJHWLQJ� PXVW
DFFRUG�ZLWK�WKLV�GLUHFWLRQ�
� /RJLVWLFV���/RJLVWLF�FRQVLGHUDWLRQV�DUH�RIWHQ�WKH�GHFLGLQJ�IDFWRU�LQ�GHWHUPLQLQJ�WKH�IHDVLELOLW\
RI� RSHUDWLRQV�� SDUWLFXODUO\� WKRVH�ZKLFK� LQYROYH� WKH� ORQJ�UDQJH� GHSOR\PHQW� RI� IRUFHV� RU�ZKLFK
QHHG�WR�EH�VXVWDLQHG�IRU�D�ORQJ�SHULRG���$W�WKH�VWUDWHJLF�OHYHO�WKH�SULRULW\�WDVN�LV�WR�KDUQHVV�WKH
QDWLRQV� HFRQRPLF� DQG� LQGXVWULDO� UHVRXUFHV� DQG� WUDQVODWH� WKHP� LQWR� PLOLWDU\� XWLOLW\�� � 6XFK
UHVRXUFHV�DUH�LQKHUHQWO\�VORZ�WR�UHDFW�DQG�FDQQRW�EH�H[SHFWHG�WR�JHQHUDWH�PLOLWDULO\�XVHIXO�RXWSXW
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�
UHJHQHUDWLRQ�DQG�VXEVHTXHQW�UHFXSHUDWLRQ�RI�IRUFHV���(TXDOO\��WKHUH�LV�D�QHHG�IRU�WLPHO\�SROLWLFDO
DQG� PLOLWDU\� GHFLVLRQV� WR� DSSO\� WKH� QDWLRQV� 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\�DQG�WR�PDLQWDLQ�WKH�QHFHVVDU\�WHPSR�RI�RSHUDWLRQV���)RU�H[DPSOH��LI�IXHO�RU�ZHDSRQV�DUH
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
ULVN���2YHULQVXUDQFH�LQ� ORJLVWLFV�ZLOO�UHTXLUH�D� ORQJHU�EXLOG�XS�WR
DQ�RSHUDWLRQ�DQG� WKHUHE\� OLPLW� D�FRPPDQGHUV� 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
PDWFKHV�KLV�OHYHO�RI�UHVSRQVLELOLW\�IRU�WKH�RSHUDWLRQ�
� 0HGLD�2SHUDWLRQV�� � 3XEOLF� VXSSRUW� IRU� DQ\� PLOLWDU\� RSHUDWLRQ� PXVW� EH
URRWHG�LQ�DQ�DFFXUDWH�XQGHUVWDQGLQJ�RI�HYHQWV�DQG�WKHLU�EDFNJURXQG���5HSRUWV
RI� HYHQWV� FDQ� EH� EURDGFDVW� YLUWXDOO\� DV� WKH\� KDSSHQ�� � WKHUHIRUH� WKH� PHGLD
RSHUDWLRQV�PD[LP� LV� WR� UHOHDVH� DV�PXFK� DFFXUDWH� LQIRUPDWLRQ� DV� SRVVLEOH� DV
TXLFNO\� DV� SRVVLEOH�� VXEMHFW� RQO\� WR� RSHUDWLRQDO� VHFXULW\� DQG� WKH� VDIHW\� RI
%ULWLVK� DQG� DOOLHG� OLYHV�� � 7KLV� UHTXLUHV� FORVH� FR�RSHUDWLRQ�ZLWK� WKH�PHGLD� DW
KRPH�DQG�LQ�WKHDWUH�� �0RUHRYHU��WKH�UHDG\�DFFHVV�RI�SHUVRQQHO�RQ�RSHUDWLRQV
WR� H[WHQVLYH� PHGLD� FRYHUDJH� RI� WKH� FRQIOLFW� RU� FULVLV� PHDQV� WKDW� LW� LV� PRUH
LPSRUWDQW�WKDQ�HYHU�WR�HQVXUH�WKDW�RZQ�IRUFHV�DUH�SURSHUO\�LQIRUPHG�RI�HYHQWV�
0HGLD� RSHUDWLRQV� DOVR� QHHG� WR� SHUVXDGH� WKLUG� SDUWLHV� WKDW� WKH� DFWLRQ� EHLQJ
WDNHQ�LV�ULJKW�DQG�MXVWLILDEOH�DQG�WR�FRXQWHU�PDOLFLRXV�RU�LOO�LQIRUPHG�UHSRUWLQJ
LQ�WKH�WKHDWUH�RI�RSHUDWLRQV�
Public support forany militaryoperation must berooted in anaccurateunderstanding ofevents and theirbackground. TheDivisionalCommanderbriefs the press inBosnia.
���
Chapter 5
UNITED KINGDOM SECURITY AND DEFENCE
The Security Context
� 7KH�8QLWHG�.LQJGRPV� 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�.LQJGRPV� 3ODFH� LQ� WKH�:RUOG�� � 7KH� 8QLWHG� .LQJGRP� LV� D� PHGLXP� VL]HG�
GHYHORSHG��GHPRFUDWLF�QDWLRQ��ZLWK�DQ�DGYDQFHG�WUDGLQJ�HFRQRP\���7KH�FRXQWU\V�SRVLWLRQ�RQ�WKH
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
$PHULFD���7KHVH�KDYH�DOVR�JLYHQ�WKH�FRXQWU\�LQWHUHVWV�DQG�UHVSRQVLELOLWLHV�URXQG�WKH�ZRUOG��QRW
OHDVW�WKH�VHFXULW\�RI�'HSHQGHQW�7HUULWRULHV��VKRZQ�RQ�WKH�PDS�)LJXUH����DQG�RI�%ULWLVK�QDWLRQDOV
DEURDG��DQG�FRPPLWPHQWV�WR�&RPPRQZHDOWK�FRXQWULHV�� �7KHUH�LV�D�ODUJH�H[SDWULDWH�SRSXODWLRQ�
ZLWK�VLJQLILFDQW�QXPEHUV�RI�%ULWLVK�QDWLRQDOV�OLYLQJ�LQ�DUHDV�RI�SRWHQWLDO�SROLWLFDO�LQVWDELOLW\�VXFK
DV�$IULFD�DQG�WKH�0LGGOH�(DVW���0RUHRYHU��WKH�QDWLRQV�ZHOO�EHLQJ�GHSHQGV�RQ�LQWHUQDWLRQDO�WUDGH
DQG�LQYHVWPHQW�PRUH�WKDQ�PRVW�RWKHU�GHYHORSHG�HFRQRPLHV���7KH�8QLWHG�.LQJGRP�H[SRUWV�RQH
TXDUWHU�RI� LWV�SURGXFH��PRUH�WKDQ�*HUPDQ\�RU�)UDQFH�DQG�D�JUHDWHU�SURSRUWLRQ� WKDQ� WKH�8QLWHG
6WDWHV�RI�$PHULFD�RU� -DSDQ�� � ,W� LV� RQH�RI� WKH�ZRUOGV� ODUJHVW� RXWZDUG� LQYHVWRUV� DQG� VRXUFHV�RI
FDSLWDO� WR� WKH� GHYHORSLQJ�ZRUOG�� � 7KH� FRXQWU\� LV� UHOLDQW� RQ� WKH� VXSSO\� RI� UDZ�PDWHULDOV� IURP
RYHUVHDV��RQ�WKH�VHFXUH�WUDQVSRUW�RI�JRRGV�E\�VHD�DQG�E\�DLU�DQG�RQ�D�SHDFHIXO�DQG�VWDEOH�ZRUOG
VLWXDWLRQ�� FRQGXFLYH� WR� WUDGH�� � 7RJHWKHU�� WKHVH� UHVSRQVLELOLWLHV� DQG� LQWHUHVWV� FDXVH� WKH� 8QLWHG
.LQJGRP�WR�YLHZ�LWV�VHFXULW\�LQ�D�JOREDO�SHUVSHFWLYH���7KLV�LV�UHIOHFWHG�LQ�WKH�FRXQWU\V�VWDWXV�DV�D
SHUPDQHQW� PHPEHU� RI� � WKH� 8QLWHG� 1DWLRQV� 6HFXULW\� &RXQFLO�� ZKLFK� FDUULHV� SDUWLFXODU
UHVSRQVLELOLWLHV��DQG�LQYROYHPHQW�LQ�D�ZLGH�UDQJH�RI�LQWHUQDWLRQDO�ERGLHV��VXFK�DV� WKH�*URXS�RI
6HYHQ�PRVW�SRZHUIXO�HFRQRPLHV��WKH�(XURSHDQ�8QLRQ��1$72�DQG�WKH�&RPPRQZHDOWK�
� 7KH�3RVW�&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� UH�HPHUJHQFH� 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
LQWHUQDWLRQDO�VHFXULW\��VXFK�DV�ZLGHVSUHDG�HWKQLF�ULYDOU\�DQG�FRQIOLFW����:RUOG�DIIDLUV
QRZ�DSSHDU�WR�EH�PRUH�YRODWLOH�DQG�OHVV�SUHGLFWDEOH�WKDQ�GXULQJ�WKH�&ROG�:DU���7KH
SRVVLELOLW\�UHPDLQV�RI�UHJLRQDO�RU�RWKHU�OLPLWHG�ZDUV�DIIHFWLQJ�WKH�8QLWHG�.LQJGRPV
LQWHUHVWV�HLWKHU�GLUHFWO\�RU�LQGLUHFWO\��ZLWK�WKH�ULVN�RI�HVFDODWLRQ�LI�QRW�FRQVWUDLQHG�E\
SRVLWLYH�DFWLRQ�
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
ZHDSRQV��VXFK�DV�WDFWLFDO�EDOOLVWLF�PLVVLOHV��DQG�ZHDSRQV�RI�PDVV�GHVWUXFWLRQ��VRPH
British Indian Ocean Territory
Hong Kong (until June 1997)
Cyprus Sovereign Base Area
GibraltarBermuda
Ascension Island
St Helena
Tristan da Cunha
Falkland Islands
South Georgia andSouth Sandwich Island
Pitcairn Islands
AnguillaCayman IslandsMontserratTurks & CaicosBritish Virgin Islands
British Antarctic Territory
The United Kingdom's Dependent Territories
Figure 2
���
RI�ZKLFK�PD\�EH�UHODWLYHO\� ORZ�WHFKQRORJ\��� �0XFK�RI� WKLV�ZHDSRQU\�LV� LQ�XQVWDEOH
UHJLRQV�RI�WKH�ZRUOG��ZKHUH�WKHUH�DUH�PDQ\�XQUHVROYHG�LVVXHV�DQG�SRWHQWLDO�FDXVHV�RI
FRQIOLFW�EHWZHHQ�VWDWHV�DQG�SHRSOHV���7KXV�IXWXUH�UHJLRQDO�FRQIOLFW�FRXOG�LQYROYH�WKH
IXOO� UDQJH� RI� ZHDSRQ� WHFKQRORJLHV�� � 7KLV� KDV� SODFHG� D� SUHPLXP� RQ� LQWHUQDWLRQDO
HIIRUWV�WR�SUHYHQW�SUROLIHUDWLRQ�DQG�WR�DYHUW�RU�UHVROYH�FRQIOLFW�
x 0RGHUQ� VRFLHW\� LV� YXOQHUDEOH� WR� DFWV� E\� WHUURULVWV�� ZKR� KDYH� DFFHVV� WR� VXEVWDQWLDO
GHVWUXFWLYH� FDSDELOLW\�� � 7HUURULVP�� ZKHWKHU� VSRQVRUHG� E\� VWDWHV� RU� LOOHJDO
RUJDQLVDWLRQV��LV�D�VLJQLILFDQW�WKUHDW�WR�WKH�8QLWHG�.LQJGRPV�VHFXULW\�
x )DPLQH��QDWXUDO�GLVDVWHUV��PLJUDWLRQ��RUJDQLVHG�FULPH�DQG�GUXJV�FDQ�DOO�SRVH�WKUHDWV�
HLWKHU�GLUHFWO\�WR�QDWLRQDO�VHFXULW\�RU�WR�LQWHUQDWLRQDO�VWDELOLW\�
United Kingdom Security
� 7KH�DLP�RI�8QLWHG�.LQJGRP�VHFXULW\� LV� WR�PDLQWDLQ� WKH� IUHHGRP�DQG� WHUULWRULDO� LQWHJULW\�RI
WKH�1DWLRQ�DQG�LWV�'HSHQGHQW�7HUULWRULHV�DQG�WKH�IUHHGRP�WR�SXUVXH�OHJLWLPDWH�LQWHUHVWV�DW�KRPH
DQG� DEURDG� ZLWKLQ� D� SHDFHIXO� DQG� VWDEOH� ZRUOG�� � $FKLHYHPHQW� RI� WKLV� LQYROYHV�� LQ� WKH� ILUVW
LQVWDQFH��DVVLVWLQJ� WKH� FLYLO� DXWKRULWLHV� WR�PDLQWDLQ� WKH� UXOH�RI� ODZ�ZLWKLQ� WKH�8QLWHG�.LQJGRP
DQG�'HSHQGHQW�7HUULWRULHV���,W�LQFOXGHV�PHDVXUHV�WR�UHGXFH�WKH�ULVN�RI�H[WHUQDO�DJJUHVVLRQ�DJDLQVW
RXU� WHUULWRU\�RU�YLWDO�QDWLRQDO� LQWHUHVWV�DQG� WR�SURPRWH�DQ� LQWHUQDWLRQDO� IUDPHZRUN� WKDW� IDYRXUV
IUHHGRP�DQG�RSHQ�WUDGLQJ�UHODWLRQVKLSV�� � ,Q�VRPH�FLUFXPVWDQFHV��GHWHUUHQFH�RU�GHIHQFH�DJDLQVW
DJJUHVVLRQ� ZLOO� EH� UHTXLUHG� WR� HQVXUH� QDWLRQDO� VHFXULW\�� � 6HFXULW\� SROLF\� LV� LQVHSDUDEOH� IURP
ZLGHU�IRUHLJQ�DQG�HFRQRPLF�SROLF\�
� 7KH�SXUVXLW�RI�VHFXULW\�UHTXLUHV�WKH�FR�RUGLQDWHG�XVH�RI�WKH�ZLGH�UDQJH�RI�PHDQV�GLVFXVVHG�LQ
&KDSWHU����LQFOXGLQJ�PLOLWDU\�PHDQV���,W�LV�VKDSHG�E\�WZR�PDMRU�FRQVLGHUDWLRQV���)LUVW��JLYHQ�WKH
UDQJH� RI� WKH� 8QLWHG� .LQJGRPV� LQWHUHVWV� DQG� FRPPLWPHQWV�� DQG� WKH� PDQ\� ULVNV� WR� QDWLRQDO
VHFXULW\�ZKLFK�RULJLQDWH�IURP�RYHUVHDV��WKH�FRXQWU\�KDV�WR�SOD\�D�VLJQLILFDQW�UROH�LQ�ZRUOG�DIIDLUV�
6HFRQG��ERWK�QDWLRQDO�VHFXULW\�DQG�WKH�ZHOO�EHLQJ�RI� WKH�LQWHUQDWLRQDO� WUDGLQJ�V\VWHP�RQ�ZKLFK
WKH� %ULWLVK� HFRQRP\� GHSHQGV� UHTXLUH� LQWHUQDWLRQDO� DGKHUHQFH� WR� WKH� UXOH� RI� ODZ�� � 7KH� VWULFW
REVHUYDQFH�RI�LQWHUQDWLRQDO�ODZ��LQFOXGLQJ�WKH�ODZV�RI�DUPHG�FRQIOLFW��LV�D�IXQGDPHQWDO�HOHPHQW
RI�8QLWHG�.LQJGRP�VHFXULW\�SROLF\�
United Kingdom Defence
� 'HIHQFH�SROLF\�VXSSRUWV�VHFXULW\�SROLF\���$W�WKH�KLJKHVW�OHYHO��LW�LV�HPERGLHG�LQ�WKH�DLP�DQG
VXSSRUWLQJ� REMHFWLYHV� GHILQHG� E\� 0LQLVWHUV� DQG� VHW� RXW� LQ� WKH� 0LQLVWU\� RI� 'HIHQFHV
'HSDUWPHQWDO� 3ODQ� DQG� WKH� 6WDWHPHQW� RQ� WKH� 'HIHQFH� (VWLPDWHV�� � 'HIHQFH� SROLF\� VHWV� WKH
REMHFWLYHV�RI�VWUDWHJ\��VKDSHV�WKH�VWUXFWXUH�DQG�FDSDELOLWLHV�RI� WKH�DUPHG� IRUFHV�DQG�JXLGHV� WKH
FRQWULEXWLRQ�WKH\�PDNH�WR�DFKLHYLQJ�VHFXULW\��LQ�WHUPV�RI�ERWK�SURWHFWLRQ�DQG�SURPRWLRQ�
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�
0HPEHUVKLS�RI�1$72�KDV�EHHQ�WKH�PDLQ�H[SUHVVLRQ�RI�WKLV�DQG�1$72�UHPDLQV�WKH
���
OLQFKSLQ� RI� (XURSHDQ� GHIHQFH�� � ,Q� SDUWLFXODU�� LW� HQDEOHV� WKH� 8QLWHG� .LQJGRP� �DQG
HDFK�RI�WKH�$OOLHV��WR�SURYLGH�HIIHFWLYH�GHIHQFH�DW�ORZHU�FRVW�WKDQ�ZRXOG�RWKHUZLVH�EH
SRVVLEOH���&ROOHFWLYH�VHFXULW\�DQG�GHIHQFH�DUH�GLVFXVVHG�LQ�$QQH[�&�
x 3URPRWLRQ�� �$�FUHGLEOH�PLOLWDU\�FDSDELOLW\� LV� LPSRUWDQW� IRU� WKH�SURPRWLRQ�RI�ZLGHU
QDWLRQDO�LQWHUHVWV��WR�FRQIHU�LQIOXHQFH�DQG�WR�XQGHUSLQ�GLSORPDF\���7KH�YDULRXV�ZD\V
LQ�ZKLFK�WKH�DUPHG�IRUFHV�FRQWULEXWH�WR�SURPRWLQJ�QDWLRQDO�LQWHUHVWV�DUH�GHVFULEHG�LQ
&KDSWHU�����,Q�DGGLWLRQ��VLWXDWLRQV�PD\�DULVH�ZKLFK�GR�QRW�GLUHFWO\�WKUHDWHQ�WKH�8QLWHG
.LQJGRPV� WHUULWRU\�RU�YLWDO� LQWHUHVWV�� EXW�ZKLFK� MXVWLI\� WKH�XVH�RI�PLOLWDU\� IRUFH� WR
GHDO�ZLWK�DQ�XQVWDEOH�VLWXDWLRQ�ZKLFK�WKUHDWHQV�LQWHUQDWLRQDO�SHDFH�DQG�VHFXULW\�DQG
LQGLUHFWO\� %ULWLVK� LQWHUHVWV�� � ,W� LV� PRVW� OLNHO\� WKDW� WKHVH� RSHUDWLRQV� ZRXOG� LQYROYH
DFWLRQ� E\� D� FRDOLWLRQ� RI� VHYHUDO� OLNH�PLQGHG� 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�)RUFHV�EHLQJ�GHSOR\HG�RQ�D�PXFK�EURDGHU�UDQJH�RI�WDVNV�VLQFH�WKH�HQG�RI�WKH
&ROG�:DU�
� 3ULQFLSOHV� IRU� WKH�8VH� RI�0LOLWDU\� )RUFH�� � 7KHUH� DUH� WKUHH� NH\� SULQFLSOHV� IRU� WKH� XVH� RI
PLOLWDU\�IRUFH�E\�WKH�8QLWHG�.LQJGRP�
x $�GHFLVLRQ� WR�XVH� IRUFH�PXVW�EH�EDVHG�RQ�QHFHVVLW\� DQG� OHJLWLPDF\�� DQG�KDYH� FOHDU
REMHFWLYHV�
NATO remainsthe linchpin ofEuropeandefence. Here,an Allied fleettakes part in acombinedexercise
Internationaldevelopments sincethe end of the ColdWar have resultedin British Forcesbeing deployed ona much broaderrange of tasks -such as the UNdeployment inAngola in 1995.
���
x 7KH� XVH� RI� IRUFH� PXVW� EH� XQGHU� GHPRFUDWLF� FRQWURO� DW� DOO� WLPHV�� � 7KLV� FRQWURO� LV
SURYLGHG�E\�WKH�HOHFWHG�*RYHUQPHQW��DQVZHUDEOH�WR�3DUOLDPHQW�
x $Q�RUJDQLVHG�VWUXFWXUH�LV�UHTXLUHG�WR�SURGXFH�DQG�DSSO\�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�
HDFK�UHVSRQVLEOH�IRU�SURYLGLQJ�D�GLVWLQFWLYH�FRQWULEXWLRQ�WR�RYHUDOO�PLOLWDU\�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
PRVW�FLUFXPVWDQFHV��WKH�6HUYLFHV�DUH�PRVW�HIIHFWLYH�ZKHQ�RSHUDWLQJ�MRLQWO\���,Q�HVVHQFH��PLOLWDU\
IRUFH�QHHGV�WR�EH�GLUHFWHG�FHQWUDOO\�DW�WKH�VWUDWHJLF�OHYHO�DQG�DSSOLHG�MRLQWO\��DQG��LI�QHFHVVDU\�LQ
FRPELQDWLRQ�ZLWK�DOOLHG�IRUFHV��DW�WKH�RSHUDWLRQDO�OHYHO���7KLV�LV�LPSOHPHQWHG�DV�IROORZV�
x 7KH� &HQWUDO� 6WDII� RI� WKH�0LQLVWU\� RI� 'HIHQFH� +HDGTXDUWHUV� GHYHORSV� VWUDWHJ\� DQG
SURSRVDOV�IRU�WKH�VL]H�DQG�VKDSH�RI�WKH�IRUFHV��LQFOXGLQJ�WKH�VSHFLILFDWLRQ�RI�PLOLWDU\
HTXLSPHQW�� WR� PHHW� WKH� UHTXLUHPHQWV� RI� GHIHQFH� SROLF\�� ZLWKLQ� WKH� UHVRXUFHV
DOORFDWHG�
x 7KH�VLQJOH�6HUYLFHV�DUH�IXQGHG�WR�SURYLGH�D�PLOLWDU\�FDSDELOLW\�UHDG\�IRU�RSHUDWLRQV�ZKLFK�LV�DSSURSULDWHO\�PDQQHG��HTXLSSHG��WUDLQHG��H[HUFLVHG�DQG�VXSSRUWHG�
x 7KH�'HIHQFH�&ULVLV�0DQDJHPHQW�2UJDQLVDWLRQ�H[LVWV�WR�SURYLGH�KLJK�OHYHO�DGYLFH�RQ
WKH�SROLWLFDO�DQG�PLOLWDU\�DVSHFWV�RI�RSHUDWLRQV�DQG�FULVHV�
x $�MRLQW�FRPPDQG�DQG�FRQWURO�VWUXFWXUH��FHQWUHG�RQ�D�3HUPDQHQW�-RLQW�+HDGTXDUWHUV�
EXW�VXSSRUWHG�E\�WKH�6HUYLFHV�&RPPDQG�RUJDQLVDWLRQ��SODQV�DQG�H[HFXWHV� MRLQW�DQG
FRPELQHG�RSHUDWLRQV�
x 7KH� VLQJOH�6HUYLFH� &KLHIV� RI� 6WDII� KDYH� GHOHJDWHG� UHVSRQVLELOLW\� LQ� SHDFHWLPH� IRU
FHUWDLQ�RSHUDWLRQV�DQG�VLQJOH�6HUYLFH�FRPPDQGHUV�PD\�EH�GLUHFWHG�E\� WKH�&KLHI�RI
WKH�'HIHQFH�6WDII�WR�SODQ�DQG�H[HFXWH�SDUWLFXODU�RSHUDWLRQV�
&KDSWHU� �� GLVFXVVHV� WKH� QDWXUH� RI� %ULWLVK� 0LOLWDU\� &DSDELOLW\� DQG� WKH� ZD\� LQ� ZKLFK� LW� LV
HPSOR\HG��ZKLOH�&KDSWHU���GLVFXVVHV�&ULVLV�0DQDJHPHQW�
� 7KH�3ODFH�RI� WKH�$UPHG�)RUFHV� LQ� WKH�)DEULF�RI� WKH�1DWLRQ�� �$SDUW� IURP� WKHLU� SULPDU\
UROHV� LQ� VXSSRUW� RI� VHFXULW\� DQG� GHIHQFH� SROLF\�� WKH� DUPHG� IRUFHV� SURYLGH� DQ� LPSRUWDQW� DQG
GLVWLQFWLYH�VWUDQG� LQ� WKH� IDEULF�RI� WKH�1DWLRQ�� �7KH\�SURPRWH� WKH� LGHDOV�RI� LQWHJULW\��GLVFLSOLQH�
SURIHVVLRQDOLVP�� VHUYLFH� DQG� H[FHOOHQFH�� �7KLV�� WRJHWKHU�ZLWK� WKHLU� LPSRUWDQW� UROH� LQ� SURYLGLQJ
WUDLQLQJ�DQG�H[SHULHQFH��FRQWULEXWHV�WR�QDWLRQDO�VWDELOLW\�DQG�FRKHVLRQ���7KH\�DOVR�HPERG\�PXFK
WUDGLWLRQ��ZKLFK��KHOSV�WR�SURPRWH�D�VHQVH�RI�UHJLRQDO�DQG�QDWLRQDO�LGHQWLW\�� �7KH�H[FHOOHQFH�RI
WKH�%ULWLVK�)RUFHV�LV�SURPRWHG�IRU�WKH�EHQHILW�RI�WKH�QDWLRQ�DW�ODUJH����$OWKRXJK�PLOLWDU\�VHUYLFH
PDNHV�DGGLWLRQDO�GHPDQGV�RQ�6HUYLFH�SHUVRQQHO��LW�LV�LPSRUWDQW�WKDW�WKH�DUPHG�IRUFHV�VKRXOG�QRW
EHFRPH�DOLHQ�LQVWLWXWLRQV��ZLWK�PDUNHGO\�GLIIHUHQW�YDOXHV�DQG�JRDOV�IURP�WKH�UHVW�RI�VRFLHW\���7KH
VWDUWLQJ�SRLQW�PXVW�WKHUHIRUH�EH�WKDW�WKH�DUPHG�IRUFHV�YDOXHV�PXVW�EH�WKRVH�RI�VRFLHW\��DQG�WKDW
WKH\�RQO\�VHW� WKHLU�RZQ�YDOXHV�ZKHUH� LW� LV�QHFHVVDU\� WR�GR�VR�E\�YLUWXH�RI� WKHLU� IXQFWLRQ�� �7KH
IXQFWLRQ�WKDW�GLVWLQJXLVKHV�WKH�DUPHG�IRUFHV�IURP�RWKHU�RUJDQLVDWLRQV��DQG�IURP�VRFLHW\�DW�ODUJH�
LV�LWV�OHJDO�ULJKW�WR�XVH�H[WUHPH�IRUFH����DQG�LWV�QHHG�LQWHU�DOLD�IRU�DQ�DSSURSULDWH�PLOLWDU\�HWKRV�LQ
���
RUGHU� WR� SUHVHUYH� PLOLWDU\� HIIHFWLYHQHVV�� � 0RUHRYHU�� WKHUH� LV� D� QHHG� IRU� WKH� DUPHG� IRUFHV� WR
UHPDLQ�EURDGO\�LQ�VWHS�ZLWK�VRFLHW\�DV�LW�HYROYHV��DQG�WKH�YROXQWHHU�UHVHUYHV�KDYH�D�YDOXDEOH�UROH
WR� SOD\�� LQ� DGGLWLRQ� WR� WKHLU� SULPDU\� SXUSRVH� RI� UHLQIRUFHPHQW�� LQ�PDLQWDLQLQJ� WKH� FRQQHFWLRQ
EHWZHHQ�WKH�DUPHG�IRUFHV�DQG�WKH�SRSXODWLRQ���7KH�FDGHW�RUJDQLVDWLRQV�DOVR�KHOS�WR�UHLQIRUFH�WKLV
OLQN���7KLV�LV�SDUWLFXODUO\�LPSRUWDQW�ZKHQ�WKH�DUPHG�IRUFHV�DUH�D�SURIHVVLRQDO�RUJDQLVDWLRQ��ZLWK
QR�FRQVFULSWLRQ�WR�JLYH�H[SHULHQFH�RI�6HUYLFH�OLIH�WR�D�EURDG�UDQJH�RI�SHRSOH
The Higher Management of Defence
� &RQVWLWXWLRQDO�$XWKRULW\�� �7KH�FRPPDQG�RI� WKH�DUPHG�IRUFHV� UHVWV�ZLWK� WKH�&URZQ�� �7KH
DXWKRULW\� RI� WKH� &URZQ� LV� UHSUHVHQWHG� E\� WKH� *RYHUQPHQW� RI� WKH� GD\� DQG� LQ� PHFKDQLVPV
HVWDEOLVKHG�E\�ODZ�DQG�WKH�5R\DO�3UHURJDWLYH���$�UDQJH�RI�SRZHUV�LV�YHVWHG�E\�VWDWXWH�DQG�/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
&RXQFLO�WKHUH�LV�D�%RDUG�IRU�HDFK�6HUYLFH��ZKLFK�H[HUFLVHV�D�ZLGH�UDQJH�RI�IRUPDO�DQG�VWDWXWRU\
SRZHUV�UHODWLQJ�WR�WKH�DGPLQLVWUDWLRQ�RI�WKH�6HUYLFH�DQG�LWV�SHUVRQQHO�
� 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
RYHUVHDV�DQG�GHIHQFH�SROLF\��ZKLFK�GHDOV�ZLWK�PRVW�GHIHQFH�EXVLQHVV����6RPH�GHIHQFH�EXVLQHVV
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\�RI�6WDWH�IRU�'HIHQFH�LV�UHVSRQVLEOH�IRU�IRUPXODWLQJ�DQG�LPSOHPHQWLQJ�GHIHQFH�SROLF\�
+H�DQG� WKH�'HIHQFH�0LQLVWHUV�ZKR�VXSSRUW�KLP� �DUH�DFFRXQWDEOH� WR�3DUOLDPHQW�RQ�DOO�GHIHQFH
PDWWHUV�RQ�D�GD\�WR�GD\�EDVLV���3DUOLDPHQW�YRWHV�IXQGV�IRU�GHIHQFH�SXUSRVHV�DQG�WKH�0LQLVWU\�RI
'HIHQFH� LV�DFFRXQWDEOH� WR�3DUOLDPHQW� IRU� WKH� H[SHQGLWXUH�RI� WKRVH� IXQGV�� �3DUOLDPHQW�RYHUVHHV
WKH�*RYHUQPHQWV� 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
LQIRUPHG�RI�PDMRU�GHFLVLRQV�RU�HYHQWV�ZLWK�LPSRUWDQW�LPSOLFDWLRQV�IRU�GHIHQFH�DQG�LW�GHDOV�ZLWK
OHJLVODWLRQ�VXFK�DV�WKH�$UPHG�)RUFHV�$FW��ZKLFK�HYHU\�ILYH�\HDUV�UHQHZV�WKH�LQGLYLGXDO�6HUYLFH
'LVFLSOLQH� $FWV� DQG� SURYLGHV� WKH� VWDWXWRU\� IUDPHZRUN� ZLWKLQ� ZKLFK� WKH� DUPHG� IRUFHV� DUH
FRQVWLWXWHG�DQG�IXQFWLRQ���,Q�DGGLWLRQ��3DUOLDPHQWDU\�6HOHFW�&RPPLWWHHV��LQFOXGLQJ�WKH�+RXVH�RI
&RPPRQV�'HIHQFH�&RPPLWWHH��KDYH�SRZHUV�WR�FDOO�IRU�GRFXPHQWV�DQG�WR�TXHVWLRQ�0LQLVWHUV�DQG
RIILFLDOV�� � ,QGLYLGXDO�0HPEHUV�RI�3DUOLDPHQW� WDEOH�RUDO�RU�ZULWWHQ�TXHVWLRQV�WR�0LQLVWHUV�RQ�DOO
DVSHFWV� RI� GHIHQFH� EXVLQHVV�� 7KH� 3XEOLF� $FFRXQWV� &RPPLWWHH� DQG� WKH� 1DWLRQDO� $XGLW� 2IILFH
VFUXWLQLVH�GHSDUWPHQWDO�DFFRXQWV� WR�HQVXUH� WKDW�SXEOLF�PRQH\� LV�VSHQW�SURSHUO\��HIILFLHQWO\�DQG
IRU�WKH�SXUSRVHV�VSHFLILHG�E\�3DUOLDPHQW�
� 3ULQFLSDO�$GYLVHUV���7KH�6HFUHWDU\�RI�6WDWH�KDV�WZR�PDLQ�DGYLVHUV��UHIOHFWLQJ�WKH�GXDOLW\�RI
WKH�FLYLO�DQG�PLOLWDU\�DVSHFWV�RI�GHIHQFH�LQ�WKH�8QLWHG�.LQJGRP���7KH�&KLHI�RI�WKH�'HIHQFH�6WDII
LV� WKH� SULQFLSDO� PLOLWDU\� DGYLVHU� WR� WKH� *RYHUQPHQW� DQG� WKH� SURIHVVLRQDO� KHDG� RI� WKH� $UPHG
6HUYLFHV���7KH�FKDLQ�RI�FRPPDQG�IRU�WKH�SODQQLQJ�DQG�FRQGXFW�RI�PLOLWDU\�RSHUDWLRQV�IORZV�IURP
WKH�&DELQHW�DQG�WKH�6HFUHWDU\�RI�6WDWH�IRU�'HIHQFH�WR� WKH�&KLHI�RI� WKH�'HIHQFH�6WDII�DQG�IURP
KLP�WR�&RPPDQGHUV�LQ�&KLHI��RU�WKH�&KLHI�RI�-RLQW�2SHUDWLRQV�RU�RWKHU�RSHUDWLRQDO�FRPPDQGHUV�
� 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� 8QGHU�6HFUHWDU\� 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[SHQGLWXUH�RI�SXEOLF�PRQH\�
� 7KH�&KLHIV�RI�6WDII�� �7KH�&KLHIV�RI�6WDII�DUH� WKH�SURIHVVLRQDO�KHDGV�RI� WKHLU�6HUYLFHV� DQG
PHPEHUV�RI� WKH�&KLHIV�RI�6WDII�&RPPLWWHH�� �(DFK�LV�UHVSRQVLEOH�IRU� WKH�ILJKWLQJ�HIIHFWLYHQHVV�
PRUDOH�DQG�PDQDJHPHQW�RI�KLV�6HUYLFH��DQG�KHQFH�IRU�HQVXULQJ� WKDW� LW�FDQ�GHOLYHU� WKH�PLOLWDU\
FDSDELOLW\�ZKLFK�'HIHQFH�SROLF\�UHTXLUHV���7KH�&KLHIV�RI�6WDII�QRUPDOO\�UHSRUW�DQG�WHQGHU�DGYLFH
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�
RIILFLDOV�DQG�FRPPDQGHUV�PD\�DWWHQG��DV�UHTXLUHG�
� 0LQLVWU\�RI�'HIHQFH�+HDGTXDUWHUV���7KH�0LQLVWU\�RI�'HIHQFH�+HDGTXDUWHUV�LQWHJUDWHV�WKH
SROLWLFDO� DQG�PLOLWDU\� DVSHFWV�RI�GHIHQFH� DQG� FR�RUGLQDWHV� 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
PDQDJHUV���7KH�0LQLVWU\�RI�'HIHQFH�+HDGTXDUWHUV�DOVR�LQFRUSRUDWHV�WKH�IXQFWLRQ�RI�WKH�KLJKHVW
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
LPSOHPHQW�DQG�0LQLVWHUV�GHFLGH��GLUHFW�DQG�RYHUVHH���'HIHQFH�&RXQFLO�PHPEHUV�PHHW�UHJXODUO\
WR�SURYLGH�D�FRUSRUDWH�IRUXP�WR�GLUHFW�WKH�GHSDUWPHQW�DQG�WR�HQJDJH�FORVHO\�DQG�DW�DQ�HDUO\�VWDJH
LQ�PDMRU�GHSDUWPHQWDO�EXVLQHVV�
x 7KH� &HQWUDO� 6WDII�� ZKLFK� FRPSULVHV� FLYLOLDQV� DQG� PLOLWDU\� RIILFHUV� IURP� DOO� WKUHH
6HUYLFHV��LV�WKH�SROLF\�FRUH�RI�WKH�0LQLVWU\���,W�LV�KHDGHG�MRLQWO\�E\�WKH�9LFH�&KLHI�RI
WKH�'HIHQFH�6WDII�DQG�WKH�6HFRQG�3HUPDQHQW�8QGHU�6HFUHWDU\�� � ,W� LV�UHVSRQVLEOH�IRU
WKH� WKUHH� IXQGDPHQWDO� DVSHFWV� RI� GHIHQFH� SODQQLQJ�� WKH� UHTXLUHPHQW� IRU� PLOLWDU\
FDSDELOLW\�DQG�LWV�UROHV��WKH�W\SH�RI�FDSDELOLW\��LQFOXGLQJ�HTXLSPHQW��QHHGHG�WR�PHHW
QDWLRQDO�DLPV��DQG�WKH�DYDLODELOLW\�RI�UHVRXUFHV�DQG�WKHLU�DOORFDWLRQ���7KH�&HQWUDO
The Chiefs of Staff Committee in 1996.
���
6WDII��DV�D�FRPSRQHQW�RI�WKH�'HIHQFH�&ULVLV�0DQDJHPHQW�2UJDQLVDWLRQ��WRJHWKHU�ZLWK�WKH
'HIHQFH�,QWHOOLJHQFH�6WDII�DQG�WKH�3HUPDQHQW�-RLQW�+HDGTXDUWHUV���LV�DOVR�LQYROYHG�LQ�WKH
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
'HIHQFH�ZLGH�VXSSRUW��VXFK�DV�LQIRUPDWLRQ�DQG�FRPPXQLFDWLRQ�VHUYLFHV�
x 7KH�VLQJOH�6HUYLFH�VWDIIV� VXSSRUW� WKH� LQGLYLGXDO�&KLHIV�RI�6WDII� LQ�GLVFKDUJLQJ� WKHLU
UHVSRQVLELOLWLHV� IRU� WKH�PDQDJHPHQW�RI� WKHLU�6HUYLFH�� IRU� WKH�SURYLVLRQ�RI� IRUFHV� IRU
RSHUDWLRQV��DQG�IRU�WKH�H[HFXWLRQ�RI�GHOHJDWHG�RSHUDWLRQV��7KH�6HUYLFH�&KLHIV�KDYH�D
ULJKW�WR�GUDZ�RQ�WKH�&HQWUDO�6WDII��DQG�GR�VR�RQ�D�GDLO\�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\�DQG�WKH�FRQVWUXFWLRQ�RI�WKH�GHIHQFH�SURJUDPPH��VXSSRUW�WR�WKH�GHYHORSPHQW�RI
MRLQW� GRFWULQH�� FRQWLQJHQF\� DQG� RSHUDWLRQDO� SODQV�� VXSSRUW� WR� RSHUDWLRQV� DQG� GLUHFW
VXSSRUW�WR�WKH�HTXLSPHQW�SURJUDPPH�
x 7KH� 3URFXUHPHQW� ([HFXWLYH� LV� UHVSRQVLEOH� IRU� WKH� GHYHORSPHQW� DQG� DFTXLVLWLRQ� RI
PDMRU� ZHDSRQ� V\VWHPV� DQG� WKHLU� VWRUHV�� � ,Q� DGGLWLRQ�� WKH� VLQJOH�6HUYLFH� ORJLVWLF
FRPPDQGV�DOVR�SURFXUH�D�ZLGH�UDQJH�RI�VSDUHV��DPPXQLWLRQ�DQG�FRQVXPDEOHV�
� 'HSDUWPHQWDO� 3ODQQLQJ�� � 7KH� DQQXDO� 'HSDUWPHQWDO� 3ODQ� VHWV� RXW� WKH� DLP�� REMHFWLYHV�
SULRULWLHV�DQG�SODQV�RI�WKH�'HSDUWPHQW�� � ,W� UHIOHFWV�WKH��OHYHO�RI�UHVRXUFHV�DJUHHG�IRU�GHIHQFH�LQ
WKH�*RYHUQPHQWV�3XEOLF�([SHQGLWXUH�6XUYH\�� �7KH�SODQ� VHWV� VWUDWHJLF� � GHIHQFH�REMHFWLYHV� DQG
VSHFLILHV�WKH�IURQW�OLQH�VWUXFWXUH��UHDGLQHVV�DQG�VXSSRUW�UHTXLUHPHQWV�RI�WKH�DUPHG�IRUFHV�IRU�WKH
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
PDQDJHPHQW�SODQV��IRU�H[DPSOH�IRU�HDFK�6HUYLFH��DQG�IRU�UHVRXUFH�DOORFDWLRQ���,W�LV�DJUHHG�E\�WKH
)LQDQFH��3ODQQLQJ�DQG�0DQDJHPHQW�*URXS��ZKLFK�FRPSULVHV�WKH�3HUPDQHQW�8QGHU�6HFUHWDU\��LQ
WKH�FKDLU����WKH��&KLHIV�RI�6WDII��WKH�9LFH�&KLHI�RI�WKH�'HIHQFH�6WDII��WKH�&KLHI�6FLHQWLILF�$GYLVHU�
WKH�&KLHI� RI�'HIHQFH�3URFXUHPHQW� DQG� WKH� 6HFRQG� 3HUPDQHQW�8QGHU� 6HFUHWDU\�� � 7KH�*URXSV
�
CDS may take the chair for particular items of business, depending on the subject matter
The Ministry of DefenceHeadquarters in Whitehall playsa dual role as both a departmentof state and a militaryheadquarters.
���
UHFRPPHQGDWLRQV�RQ�UHVRXUFH�DOORFDWLRQ�DQG�WKH�SURSRVHG�'HSDUWPHQWDO�3ODQ�DUH�FRQVLGHUHG�E\
WKH�6HFUHWDU\�RI�6WDWH��ZKR�DOVR�VXEVHTXHQWO\�UHFHLYHV�UHSRUWV�RQ�DFKLHYHPHQW�DJDLQVW�WKH�SODQ�
� %XGJHWV���7RS�/HYHO�%XGJHWV�DUH�KHOG�E\�VHQLRU�FRPPDQGHUV�DQG�PDQDJHUV�WKURXJKRXW�WKH
'HSDUWPHQW�LQ�RUGHU�WR�PHHW�WKH�FRVWV�RI�WKHLU�RUJDQLVDWLRQV��DQG�D�KLHUDUFK\�RI�+LJKHU�/HYHO�DQG
%DVLF�/HYHO�%XGJHWV�HQVXUHV� WKDW�EXGJHWV�DUH�GHOHJDWHG�DV� IDU�GRZQ� WKH�FKDLQ�RI�FRPPDQG�DV
SRVVLEOH�� �7KH�UHTXLUHPHQWV�RI� WKH�'HSDUWPHQWDO�3ODQ�DUH� UHIOHFWHG� LQ� WKH� IRUP�RI� LQFUHDVLQJO\
GHWDLOHG� REMHFWLYHV� WKURXJK� WKH� 6LQJOH� 6HUYLFH� 3ODQV�� WKH� 7RS� /HYHO� %XGJHW� 3ODQV� DQG� ORZHU
OHYHO�SODQV�GRZQ�WR�XQLW�OHYHO�
The procurementExecutive isresponsible for theacquisition of majorweapons systems,such as the Apacheattack helicopter.Picture courtesy ofWestland Helicopters.
A type 42Destroyer atspeed in theAtlantic.
���
Chapter 6
BRITISH MILITARY CAPABILITY
Capability
� 0LOLWDU\� FDSDELOLW\� LV� WKH� RYHUDOO� SRWHQWLDO� RI� WKH� $UPHG� )RUFHV� IRU� FRPEDW� RU� RWKHU
RSHUDWLRQV�� � ,W�FDQ�EH�H[SUHVVHG�DV� WKH�DELOLW\� WR�ILJKW�DQG�WKH�WHUP�RIWHQ�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��WKH�DELOLW\�WR�JHW�SHRSOH�WR�ILJKW��DQG�WKH�SK\VLFDO�FRPSRQHQW��WKH�PHDQV�WR�ILJKW��
WKHVH�ZHUH�DGGUHVVHG�LQ�&KDSWHU���
� 7KLV�FKDSWHU�FRQVLGHUV�WKH�FLUFXPVWDQFHV�LQ�ZKLFK�%ULWLVK�)RUFHV�PLJKW�EH�XVHG��WKH�W\SHV�RI
PLOLWDU\�RSHUDWLRQ� WKH\�PLJKW�EH� FDOOHG�XSRQ� WR�SHUIRUP�DQG�KRZ� WKHVH� LQIOXHQFH� WKH� UHTXLUHG
QDWXUH�DQG�FKDUDFWHULVWLFV�RI�WKH�IRUFHV�� � ,W�GHVFULEHV�WKH�SURYLVLRQ�RI�PLOLWDU\�FDSDELOLW\�E\�WKH
VLQJOH�6HUYLFHV��WKH�PLOLWDU\�IXQFWLRQV�DQG�WKH�SULQFLSOHV�RI�PDLQWDLQLQJ�PLOLWDU\�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
DXWKRULWLHV�XS�WR�DQG�LQFOXGLQJ�JHQHUDO�ZDU�� �6XSSRUWLQJ
WKH� FLYLO� DXWKRULWLHV� FRXOG� LQYROYH� D� UDQJH� RI� GHIHQFH
FDSDELOLWLHV�GHSHQGLQJ�RQ�WKH�QDWXUH�RI�WKH�RSHUDWLRQ��� ,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$72� DOOLHV�� ZRXOG
UHTXLUH� WKH� IXOO� UDQJH� RI� ZDUILJKWLQJ� FDSDELOLWLHV� DQG
ODUJHU� IRUFHV� WKDQ� PLJKW� EH� QHHGHG� LQ� RWKHU
FLUFXPVWDQFHV���$OWKRXJK�JHQHUDO�ZDU�LV�MXGJHG�WR�EH�DQ
XQOLNHO\� FRQWLQJHQF\� LQ� SUHVHQW� FLUFXPVWDQFHV�� WKH� *RYHUQPHQWV� XOWLPDWH� UHVSRQVLELOLW\� IRU
QDWLRQDO�VXUYLYDO�PHDQV�WKDW�WKH�DUPHG�IRUFHV�PXVW�EH�FDSDEOH�RI�GHWHUULQJ�RU��DIWHU�GXH�ZDUQLQJ
DQG�UHFRQVWLWXWLRQ��RI�ILJKWLQJ�D�JHQHUDO�ZDU�
� 3URWHFWLQJ� WKH� 6HFXULW\� RI� 'HSHQGHQW� 7HUULWRULHV�� � ,I� %ULWLVK� )RUFHV� DUH� UHTXLUHG� WR
UHVSRQG�WR�D�VHULRXV�H[WHUQDO� WKUHDW� WR�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�
Protecting the security of the United Kingdomand Dependent Territories. Seen here, aSentry airborne early warning aircraft andTornado F3.
���
� 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\
IRUFHV��WR�KHOS�GHIHQG�DQ�DOO\�XQGHU�DUPHG�DWWDFN��HYHQ�LI�WKH�VHFXULW\�RI�WKH�8QLWHG�.LQJGRP�LV
QRW�GLUHFWO\�WKUHDWHQHG���7KLV�ZRXOG�DOPRVW�FHUWDLQO\�EH�D�1$72�RSHUDWLRQ�
� 3URPRWLQJ� DQG�'HIHQGLQJ�%ULWLVK� ,QWHUHVWV�:RUOGZLGH�� � %ULWLVK� )RUFHV� FDQ� EH� XVHG� WR
SURPRWH�%ULWLVK� LQWHUHVWV� LQ� D�ZLGH� YDULHW\� RI� ZD\V�� LQFOXGLQJ� VXSSRUW� WR� GLSORPDF\��PLOLWDU\
DVVLVWDQFH��KXPDQLWDULDQ�DQG�SHDFHNHHSLQJ�RSHUDWLRQV��WKH�IXOO�UDQJH�RI
RSHUDWLRQV�LV�GHVFULEHG�LQ�WKH�QH[W�VHFWLRQ����&LUFXPVWDQFHV�PD\�UHTXLUH
GHIHQFH� RI� %ULWLVK� � LQWHUHVWV�� �'HSHQGLQJ� RQ� WKH� QDWXUH� RI� WKH� LQWHUHVW
LQYROYHG�DQG�WKH�VHULRXVQHVV�RI� WKH� WKUHDW�� WKH�*RYHUQPHQW� LV� OLNHO\� WR
KDYH�IDU�PRUH�FKRLFH�RYHU�WKH�QDWXUH�DQG�VL]H�RI�WKH�IRUFHV�LW�FRPPLWV�WR
VXFK�DQ�RSHUDWLRQ�WKDQ�LW�ZRXOG�LI�WKH�8QLWHG�.LQJGRP�RU�D
'HSHQGHQW� 7HUULWRU\� ZHUH� XQGHU� DWWDFN�� � ,Q� YLHZ� RI� WKH
8QLWHG�.LQJGRPV�ZLGHVSUHDG�LQWHUHVWV�DQG�GHSHQGHQFH�RQ
LQWHUQDWLRQDO� WUDGH�� LW� LV� OLNHO\� WKDW�PDQ\� VHULRXV� WKUHDWV� WR
LQWHUQDWLRQDO� VHFXULW\� ZRXOG� DOVR� UHSUHVHQW� D� WKUHDW� WR
%ULWLVK�LQWHUHVWV���,Q�WKHVH�FLUFXPVWDQFHV�%ULWLVK�)RUFHV�PD\
WDNH�SDUW�LQ�RSHUDWLRQV�DXWKRULVHG�E\�WKH�8QLWHG�1DWLRQV�WR
GHIHQG� RU� UHVWRUH� LQWHUQDWLRQDO� SHDFH� DQG� VHFXULW\� �IRU
H[DPSOH�WKH�*XOI�:DU����7KLV�LV�OLNHO\�WR�EH�DV�SDUW�RI�DQ�DOOLDQFH�RU�FRDOLWLRQ�
Types of Military Operation
� &RPEDW���$UPHG�IRUFHV�DUH�UDLVHG��VWUXFWXUHG�DQG�HTXLSSHG�SULQFLSDOO\�IRU�FRPEDW���&RPEDW
RSHUDWLRQV� PD\� WDNH� D� YDULHW\� RI� IRUPV�� WKH� IROORZLQJ� H[DPSOHV� DUH� LOOXVWUDWLYH�� EXW� QRW
H[KDXVWLYH�
x +LJK�LQWHQVLW\�ZDUIDUH�ZLWK�D�ZHOO�GHILQHG�HQHP\��ZKHUH�WKH�XVH�RI�PLOLWDU\�IRUFH�LV
OLNHO\�WR�EH�WKH�SULPH�PHDQV�RI�UHVROYLQJ�WKH�FRQIOLFW�
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�
GHVFULEHG�ODWHU��LV�D�IRUP�RI�DUPHG�LQWHUYHQWLRQ�
x &RXQWHU� LQVXUJHQF\� RSHUDWLRQV� DJDLQVW� DQ
HOXVLYH� IRH��ZKHUH� WKH�XVH�RI�PLOLWDU\� IRUFH�ZLOO� EH
GHVLJQHG� WR� FRPSOHPHQW� WKH� SROLWLFDO�� HFRQRPLF�
SV\FKRORJLFDO�DQG�FLYLF� DFWLRQV�QHHGHG� WR�GHIHDW�DQ
DUPHG�LQVXUJHQF\�
x &RXQWHU� WHUURULVW� RSHUDWLRQV� FRQGXFWHG� XQGHU� WKH� GLUHFWLRQ� RI� WKH� FLYLO� DXWKRULW\� LQ
DFFRUGDQFH�ZLWK�GRPHVWLF�ODZ�
Promoting and defendingBritish interests world-wide. Seen here, aFrigate of the Royal Navyin heavy seas.
Armed forces are raised, structured and equippedprincipally for combat. A British armouredbattlegroup forms up on completion of a field trainingexercise in Canada.
���
7KH�GLIIHUHQW�ZD\V�LQ�ZKLFK�PLOLWDU\�IRUFH�PD\�EH�DSSOLHG�ZHUH�GHVFULEHG�LQ�&KDSWHU����VWUDWHJLF
FRQVLGHUDWLRQV�RQ�WKH�XVH�RI�DUPHG�IRUFHV�LQ�FULVLV�DQG�ZDU�ZHUH�GLVFXVVHG�LQ�&KDSWHU���DQG�WKH
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
EHWZHHQ�WKHVH�RSHUDWLRQV�DQG�FRPEDW�PD\�QRW�EH�FOHDU��DQG�HDFK�FRQGLWLRQ�PD\�IORZ�IURP�WKH
RWKHU�� �0RUHRYHU��PDQ\�RI� WKHVH� UROHV�GHSHQG�RQ� WKH�DUPHG�IRUFHV� LQKHUHQW�FRPEDW�FDSDELOLW\
IRU�HQIRUFHPHQW��FRHUFLRQ��GHWHUUHQFH�RU�VHOI�SURWHFWLRQ���2WKHU�UROHV�H[SORLW�WKH�IRUFHV�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�
� 'HWHUUHQFH���7KH�QDWXUH�RI�GHWHUUHQFH�ZDV�GLVFXVVHG�LQ�&KDSWHU���� �7KH�8QLWHG�.LQJGRPV
QXFOHDU�IRUFHV�KDYH�D�SDUWLFXODU�UROH�WR�SOD\�LQ�GHWHUULQJ�PDMRU�FRQIOLFWV��XQFRQWUROOHG�HVFDODWLRQ�
DQG�KRVWLOH�DFWV�ZKLFK�ZRXOG�WKUHDWHQ�YLWDO�QDWLRQDO�LQWHUHVWV���&RQYHQWLRQDO�IRUFHV�FRQWULEXWH�WR
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� .LQJGRPV
FDSDELOLW\�WR�UHVROYH�VHULRXV�WHUURULVW�LQFLGHQWV�E\�IRUFH�LI�DOO�RWKHU�PHDQV�KDYH�IDLOHG�
� 6XSSRUW�WR�'LSORPDF\���0LOLWDU\�IRUFHV�PD\�EH�XVHG�WR�VXSSRUW�GLSORPDWLF�HIIRUWV�GXULQJ�DQ
LQWHUQDWLRQDO�FULVLV���7KH\�PD\�DOVR�EH�XVHG�LQ�D�PRUH�URXWLQH�ZD\�WR�VXSSRUW�ZLGHU�GLSORPDF\
HLWKHU�QDWLRQDOO\�RU�DV�SDUW�RI�DQ� LQWHUQDWLRQDO� VWUDWHJ\�� VXFK�DV�1$72V�3DUWQHUVKLS� IRU�3HDFH
�VHH�$QQH[�&��
x 6XSSRUW�LQ�&ULVLV���:KHQ�D�FULVLV�GHYHORSV��PLOLWDU\�IRUFHV�PD\�EH�XVHG�LQLWLDOO\�LQ
VXSSRUW�RI�GLSORPDF\��WR�KHOS�UHVROYH�WKH�FULVLV�RU�WR�SUHYHQW�LW�HVFDODWLQJ�WR�FRQIOLFW�
$�SUHYHQWLYH�GHSOR\PHQW�FDQ�UHDVVXUH�DQ�DOO\��FRHUFH�D�SRWHQWLDO�RSSRQHQW��LQIOXHQFH
D�WKLUG�SDUW\�IRU�RU�DJDLQVW� LQYROYHPHQW��RU�PHUHO\�VLJQDO� LQWHUHVW� LQ� WKH�GHYHORSLQJ
VLWXDWLRQ���$Q�H[DPSOH�LV�WKH�8QLWHG�1DWLRQV�SUHYHQWLYH�GHSOR\PHQW�LQWR�WKH�)RUPHU
<XJRVODY� 5HSXEOLF� RI�0DFHGRQLD� WR� SUHYHQW� WKH� VSUHDG� RI� FRQIOLFW� LQ� WKDW� UHJLRQ�
*RRG�LQWHOOLJHQFH�LV�FOHDUO\�YLWDO�WR�WKH�VXFFHVV�RI�SUHYHQWLYH�GHSOR\PHQWV�
x 5RXWLQH� 6XSSRUW�� � 7UDLQLQJ� RYHUVHDV� VWXGHQWV� RQ� %ULWLVK� FRXUVHV� DQG� � GHSOR\LQJ
PLOLWDU\�WUDLQLQJ�DQG�DVVLVWDQFH�WHDPV�VXSSRUW�ORQJ�WHUP�GLSORPDWLF�REMHFWLYHV��VXFK
DV�WKH�SURPRWLRQ�RI�VWDELOLW\�DQG�WKH�DYRLGDQFH�RI�UHJLRQDO�FRQIOLFWV��DQG�KHOS�IRVWHU
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\
GLPHQVLRQ�WR�GLSORPDF\�
� 3HDFHNHHSLQJ�� � 3HDFHNHHSLQJ� RSHUDWLRQV� DUH� DXWKRULVHG� E\� WKH� 8QLWHG� 1DWLRQV� RU� DQ
DSSURSULDWH� UHJLRQDO� RUJDQLVDWLRQ� �VXFK� DV� WKH� 2UJDQLVDWLRQ� IRU� 6HFXULW\� DQG� &R�RSHUDWLRQ� 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
SHDFH��LQ�RUGHU�WR�SURPRWH�VHFXULW\�DQG�VXVWDLQ�OLIH�LQ�DUHDV�RI�SRWHQWLDO�RU�OLPLWHG�FRQIOLFW���7KH\
DUH�EDVHG�RQ�WKH�NH\�SULQFLSOHV�RI�FRQVHQW��OHJDOLW\��LPSDUWLDOLW\�DQG�WKH�PLQLPXP�QHFHVVDU\�XVH
RI�IRUFH��DQG�UHTXLUH�D�VLJQLILFDQW�GHJUHH�RI�ORFDO�FR�RSHUDWLRQ�WR�EH�VXFFHVVIXO���7KH�8QLWHG
���
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��
JRYHUQPHQW��QRQ��JRYHUQPHQWDO�DQG�LQWHUQDWLRQDO�DJHQFLHV���7DVNV
LQFOXGH� REVHUYDWLRQ� DQG� PRQLWRULQJ�� VXSHUYLVLRQ� RI� WUXFHV� DQG
FHDVHILUHV��LQWHUSRVLWLRQ�EHWZHHQ�EHOOLJHUHQW�IRUFHV��GHPRELOLVDWLRQ
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
IRUFHV�RSHUDWLQJ�ZLWK�FRQVHQW�ZLOO�QRUPDOO\�EH�UHODWLYHO\�VPDOO�DQG
GLVSHUVHG�� ZLWK� RQO\� VXIILFLHQW� FRPEDW� SRZHU� IRU� VHOI� GHIHQFH�
2EVHUYDWLRQ� DQG� PRQLWRULQJ� PLVVLRQV� XQGHU� 8QLWHG� 1DWLRQV
DXVSLFHV�DUH�XVXDOO\�XQDUPHG����8QLWHG�1DWLRQV�SHDFH�NHHSHUV�ZLOO
QRUPDOO\� ZHDU� EOXH� EHUHWV� DQG� XVH� ZKLWH� SDLQWHG� HTXLSPHQW�
+RZHYHU�� LQ� VRPH�RSHUDWLRQV� WKH� LVVXH�RI�FRQVHQW�PD\�QRW�EH� DV
FOHDU�LQ�SUDFWLFH�DV�LQ�WKHRU\���PDQLIHVW�FRQVHQW�DW�WKH�VWUDWHJLF�DQG
RSHUDWLRQDO�OHYHOV�PD\�EH�IUDJLOH�RU�SDWFK\�DW�WKH�WDFWLFDO�OHYHO��DQG
LI�QRW�FDUHIXOO\�PDQDJHG�WKH� UHSHUFXVVLRQV�RI�UHODWLYHO\�PLQRU� LQFLGHQWV�PD\�UDSLGO\�DIIHFW� WKH
VWUDWHJLF�VLWXDWLRQ���,Q�WKHVH�FLUFXPVWDQFHV�WKHUH�PD\�QRW�EH�DQ�REYLRXV�GLVWLQFWLRQ�RQ�WKH�JURXQG
EHWZHHQ�SHDFHNHHSLQJ�RSHUDWLRQV�DQG�HQIRUFHPHQW�RSHUDWLRQV�DXWKRULVHG�E\�WKH�8QLWHG�1DWLRQV
6HFXULW\�&RXQFLO��RIWHQ�FDOOHG�SHDFH�HQIRUFHPHQW�RSHUDWLRQV����+RZHYHU�WKHVH�DUH�IXQGDPHQWDOO\
GLIIHUHQW�W\SHV�RI�RSHUDWLRQ��ZKLFK�KDYH�GLIIHUHQW�VWUDWHJLF�DLPV��DQG�UHTXLUH�GLVWLQFW�DSSURDFKHV
DQG� GLIIHUHQW� W\SHV� RI� IRUFHV�� HYHQ� WKRXJK� WKH\� VKDUH�PDQ\� WHFKQLTXHV�� � $Q\� WUDQVLWLRQ� IURP
SHDFHNHHSLQJ�WR�SHDFH�HQIRUFHPHQW�PXVW�EH�FRQVFLRXV��UDWKHU�WKDQ�LQDGYHUWHQW���LW�ZLOO�UHTXLUH�D
QHZ�PDQGDWH�IURP�WKH�8QLWHG�1DWLRQV�DQG�SUREDEO\�D�GLIIHUHQW�IRUFH�
� 3HDFH�(QIRUFHPHQW�2SHUDWLRQV�� � 3HDFH� HQIRUFHPHQW� RSHUDWLRQV�PXVW� EH� DSSURDFKHG� OLNH
DQ\�RWKHU�PLOLWDU\�RSHUDWLRQ��ZLWK�D�WKRURXJK�PLOLWDU\�DSSUHFLDWLRQ��FOHDU�VWUDWHJLF�GLUHFWLRQ�DQG
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
RSHUDWLRQV�DUH�FDUULHG�RXW�XQGHU�WKH�DXWKRULW\�RI��WKH�8QLWHG�1DWLRQV�6HFXULW\�&RXQFLO�ZKHQ�DOO
Training overseasstudents and deployingmilitary training teamssupport long termdiplomacy. Seen here aBritish Army officer inMozambique.
Peacekeeping operations aim tosupport efforts to achieve ormaintain peace in areas ofpotential or limited conflict. ABritish Soldier on patrol inCyprus.
���
RWKHU�HIIRUWV�WR�REWDLQ�SHDFH�KDYH�IDLOHG�DQG�WKH�6HFXULW\�&RXQFLO�KDV�GHWHUPLQHG�WKH�H[LVWHQFH
RI�D�WKUHDW�WR�SHDFH��D�EUHDFK�RI�SHDFH�RU�DQ�DFW�RI�DJJUHVVLRQ���7KHVH�RSHUDWLRQV�PD\�LQYROYH�WKH
XVH�RI�DUPHG�IRUFH�DQG�DUH�LQWHQGHG�WR�PDLQWDLQ�RU�UHVWRUH�SHDFH�EHWZHHQ�EHOOLJHUHQW�SDUWLHV�ZKR
PD\�QRW�DOO�FRQVHQW�WR�LQWHUYHQWLRQ���7KLV�LQFOXGHV�VLWXDWLRQV�ZKHUH�WKHUH�LV�D�VWURQJ�SRVVLELOLW\
RI�FRQVHQW�EHLQJ�ZLWKGUDZQ���(QIRUFHPHQW�RSHUDWLRQV�DUH�FRHUFLYH��XVLQJ�IRUFH�RU�WKH�WKUHDW�RI
IRUFH�WR�FUHDWH�FRQGLWLRQV�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
RSHUDWLRQ�� �6XFK�PXOWLQDWLRQDO�RSHUDWLRQV�FDQ�PRVW�HIILFLHQWO\�EH�XQGHUWDNHQ�E\�DQ�HVWDEOLVKHG
PLOLWDU\� DOOLDQFH�� VXFK� DV� 1$72�� ZKLFK� FDQ� SURYLGH� WKH� QHFHVVDU\� IRUFHV� DQG� FRPPDQG
VWUXFWXUH�� � 3HDFH� HQIRUFHPHQW� WDVNV� LQFOXGH� SHDFH� UHVWRUDWLRQ� E\� LPSDUWLDO� DFWLRQV�� FRQIOLFW
FRQWDLQPHQW� E\� LQWHUSRVLWLRQ� DQG� IRUFLEOH� VHSDUDWLRQ� RI� ZDUULQJ� IDFWLRQV�� � 2WKHU� WDVNV� DUH
HVWDEOLVKLQJ�RU�SURWHFWLQJ�GHVLJQDWHG�VDIH�DUHDV���JXDUDQWHHLQJ��RU�GHQ\LQJ�PRYHPHQW��DQG
HPEDUJR�RU�VDQFWLRQV�HQIRUFHPHQW���7KH�YRODWLOH�JHRSROLWLFDO�VLWXDWLRQ�DQG�WKH�LQFUHDVHG�8QLWHG
1DWLRQV�FRPPLWPHQW��WR��HQIRUFHPHQW�RSHUDWLRQV�PHDQ�WKDW�WKH\�PD\�EH�PRXQWHG�LQ�VLWXDWLRQV
DNLQ�WR�FLYLO�ZDU�RU�LQVXUJHQF\���7KH�FRQIOLFW�LV�OLNHO\�WR�EH�EDVHG�RQ�LQWUDFWDEOH�UHOLJLRXV��HWKQLF
RU� FXOWXUDO� GLIIHUHQFHV�� URRWHG� LQ� ORQJ�VWDQGLQJ� GLVSXWHV�� � 7KH� SDUWLFLSDQWV� PD\� XVH
XQFRQYHQWLRQDO�WDFWLFV��DQG�WKHUH�DUH�OLNHO\�WR�EH�UDSLG�YDULDWLRQV�LQ�LQWHQVLW\���5DQGRP�DWURFLWLHV
DQG��ODUJH�VFDOH�KXPDQ�VXIIHULQJ�DUH�SRVVLEOH��FRPSRXQGHG�E\�LQHIIHFWLYH�ORFDO�JRYHUQPHQW�DQG
LQIUDVWUXFWXUH���7KH�UHTXLUHG�UHVSRQVH�IURP�WKH�LQWHUQDWLRQDO�FRPPXQLW\�ZLOO�EH�FRPSOH[���$Q\
GHFLVLRQ� WR� FRPPLW� IRUFHV� WR� SHDFH� HQIRUFHPHQW� RSHUDWLRQV� ZLOO� EH� LQIOXHQFHG� E\� PDQ\
FRQVLGHUDWLRQV��ZKLFK�ZLOO�DOVR�GLFWDWH�WKH�QDWXUH�RI�WKH�IRUFHV�UHTXLUHG���,V�D�SROLWLFDO�SURFHVV�LQ
SODFH"� �$UH� WKH�SROLWLFDO�PDQGDWH�DQG� WKH�PLOLWDU\�REMHFWLYHV�FOHDU�DQG� DFKLHYDEOH"� �$UH� WKHUH
DQ\�FLUFXPVWDQFHV�LQ�ZKLFK�WKH�IRUFHV�ZLOO�EH�UHTXLUHG�WR�ILJKW��IRU�H[DPSOH�LQ�SXUVXLW�RI� WKHLU
REMHFWLYHV�RU�WR�FRYHU�ZLWKGUDZDO�LQ�D�QRQ�SHUPLVVLYH�HQYLURQPHQW"�:KDW�LV�WKH�OLNHO\�GXUDWLRQ
RI�RSHUDWLRQV"�$�SHDFH�HQIRUFHPHQW�IRUFH�QHHG�QRW�QHFHVVDULO\�EH�ODUJH��EXW�LW�PXVW�EH�SUHSDUHG�
LI� QHFHVVDU\�� WR� LPSRVH� LWV� ZLOO� LQ� DFFRUGDQFH� ZLWK� SUH�GHWHUPLQHG� UXOHV� RI� HQJDJHPHQW�� LW
WKHUHIRUH� UHTXLUHV� D� FRPEDW� FDSDELOLW\�� � ,WV� VL]H�� HTXLSPHQW�� RUJDQLVDWLRQ� DQG� VXSSRUW�PXVW� EH
DSSURSULDWH�WR�WKH�OHYHO�RI�UHVLVWDQFH�DQWLFLSDWHG�
� UN Secretary General, An Agenda for Peace, 1992
A PeaceEnforcementforce requires acombat capability.British AS90 selfpropelled gunsdeploy as part ofthe NATOImplementationForce (IFOR) inBosnia.
���
� 0LOLWDU\�+RPH�'HIHQFH���0LOLWDU\�+RPH�'HIHQFH�FRPSULVHV�WKH�PLOLWDU\�DFWLYLWLHV�UHTXLUHG
WR�SUHVHUYH�WKH�IXQFWLRQV�RI�*RYHUQPHQW�DQG�WR�SURWHFW�HVVHQWLDO�QDWLRQDO�LQIUDVWUXFWXUH�LQ�WLPHV
RI�FULVLV�DQG�ZDU�� � ,W� LV� D�QDWLRQDO� UHVSRQVLELOLW\��EXW� LQ�FHUWDLQ� FLUFXPVWDQFHV� IRUFHV�RSHUDWLQJ
XQGHU�1$72�FRPPDQG�PD\�SURYLGH�DVVLVWDQFH���7KH�EXVLQHVV�RI�SODQQLQJ�D�JUDGXDWHG�PLOLWDU\
UHVSRQVH�WR�D�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\� $LG� WR� WKH� &LYLO� $XWKRULWLHV� DQG� PLOLWDU\� VXSSRUW� WR� WKH� PRXQWLQJ� RI
RSHUDWLRQV�
� 0LOLWDU\�$LG�WR�WKH�&LYLO�$XWKRULWLHV���0LOLWDU\�$LG�WR�WKH�&LYLO�$XWKRULWLHV�LV�DSSOLFDEOH�LQ
WKH�8QLWHG�.LQJGRP� DQG� WKH�'HSHQGHQW� 7HUULWRULHV�� � 3ROLWLFDO� GLUHFWLRQ� RI� VXFK� RSHUDWLRQV� LV
SURYLGHG� E\� WKH� DSSURSULDWH� *RYHUQPHQW� 0LQLVWHUV� DQG� SROLWLFDO� FRQWURO� LV� H[HUFLVHG� E\� WKH
DSSURSULDWH�0LQLVWU\���0LOLWDU\�DLG�FDQ�WDNH��WKUHH�IRUPV�
x 0LOLWDU\�$LG�WR�WKH�&LYLO�&RPPXQLW\���0LOLWDU\�$LG�WR�WKH�&LYLO�&RPPXQLW\�LV�WKH
SURYLVLRQ�RI� �VHUYLFH�SHUVRQQHO�DQG�HTXLSPHQW�ERWK�LQ�HPHUJHQFLHV��VXFK�DV�QDWXUDO
GLVDVWHUV��DQG�LQ�URXWLQH�VLWXDWLRQV�WR�DVVLVW�WKH�FRPPXQLW\�DW�ODUJH��([DPSOHV�RI�WKLV
UROH�DUH�VHDUFK�DQG�UHVFXH�DQG�KHOSLQJ�WKH�FRPPXQLW\�LQ�WLPH�RI�QDWXUDO�GLVDVWHU��HJ
IORRGLQJ��
x 0LOLWDU\�$LG�WR�WKH�&LYLO�0LQLVWULHV���0LOLWDU\�$LG�WR�WKH�&LYLO�0LQLVWULHV�LV�WKH�XVH
RI� PLOLWDU\� IRUFHV� IRU� QRQ�� PLOLWDU\� JRYHUQPHQW� WDVNV�� LQFOXGLQJ� DVVLVWDQFH� WR
PDLQWDLQ� WKH� HVVHQWLDOV� RI� OLIH� LQ� WKH� FRPPXQLW\� RU� WR� XQGHUWDNH� XUJHQW� ZRUN� RI
QDWLRQDO�LPSRUWDQFH���5HFHQW�H[DPSOHV�LQFOXGH�ILUHILJKWLQJ�DQG�SURYLGLQJ�HPHUJHQF\
DPEXODQFH�DQG�SULVRQ�VHUYLFHV��ZKHQ�GXH�WR�LQGXVWULDO�GLVSXWHV�QRUPDO�DUUDQJHPHQWV
IDLO�
x 0LOLWDU\�$LG� WR� WKH�&LYLO�3RZHU�� �0LOLWDU\�$LG� WR� WKH�&LYLO� 3RZHU� LV� SURYLGHG� WR
PDLQWDLQ��RU�UHVWRUH�ODZ�DQG�RUGHU�LQ�VLWXDWLRQV�EH\RQG�WKH�FDSDFLW\�RI�WKH�FLYLO�SRZHU
WR�UHVROYH�DQG�ZKLFK�LW�ZRXOG�EH�XQUHDVRQDEOH�WR�H[SHFW�WKH�FLYLO�SRZHU�WR�GHYHORS
WKH� FDSDELOLW\� WR� UHVROYH�� � 7KLV� LV� GRQH� RQO\� DW� WKH� UHTXHVW� DQG� LQ� VXSSRUW� RI� WKH
UHOHYDQW�FLYLO�SRZHU��IRU�H[DPSOH�WKH�SROLFH���1RUPDOO\�WKH�PLOLWDU\�RSHUDWH�XQGHU�WKH
FRQWURO� RI� WKH� FLYLO� SRZHU�� EXW� XQGHU� PLOLWDU\� FRPPDQG� DQG� UHPDLQ� VXEMHFW� WR
GRPHVWLF�ODZ���,I��H[FHSWLRQDOO\��FRQWURO�RI�DQ�LQFLGHQW�LV�SDVVHG�IURP�WKH�FLYLO�SRZHU
LW�LV�UHWXUQHG�DV�VRRQ�DV�LV�SUDFWLFDEOH���([DPSOHV�RI�WKLV�UROH�DUH�FRXQWHU�LQVXUJHQF\�
Military Aid to the Civil Community includes helping the community intime of natural disaster, such as flooding.
���
H[SORVLYH�RUGQDQFH�GLVSRVDO��DVVLVWDQFH�GXULQJ
FLYLO� GLVWXUEDQFHV� DQG� DVVLVWDQFH� WR� +HU
0DMHVW\V�&XVWRPV�DQG�([FLVH���6XSSRUW�WR�WKH
FLYLO�SRZHU� LQ�1RUWKHUQ� ,UHODQG� LV�D�SDUWLFXODU
H[DPSOH� RI� 0LOLWDU\� $LG� WR� WKH� &LYLO� 3RZHU�
7KH� &DELQHW� 1RUWKHUQ� ,UHODQG� &RPPLWWHH�� RI
ZKLFK� WKH�6HFUHWDU\� RI� 6WDWH� IRU�'HIHQFH� LV� D
PHPEHU�� SURYLGHV� SROLWLFDO� GLUHFWLRQ� DQG� WKH
6HFUHWDU\� RI� 6WDWH� IRU� 1RUWKHUQ� ,UHODQG
H[HUFLVHV� GD\� WR� GD\� SROLWLFDO� FRQWURO� RI
RSHUDWLRQV���7KH�*HQHUDO�2IILFHU�&RPPDQGLQJ
1RUWKHUQ� ,UHODQG� UHSRUWV� GLUHFWO\� WR� WKH� &KLHI
RI� WKH� *HQHUDO� 6WDII�� ZKR� KDV� GHOHJDWHG
UHVSRQVLELOLW\� IRU�RSHUDWLRQV� LQ�1RUWKHUQ� ,UHODQG�� �+RZHYHU�� DW� DOO� OHYHOV�ZLWKLQ� WKH
3URYLQFH��WKH�DUPHG�IRUFHV�DFW�LQ�VXSSRUW�RI�WKH�FLYLO�SROLFH�
� 1RQ�FRPEDWDQW�(YDFXDWLRQ�2SHUDWLRQV���0LOLWDU\�IRUFHV�PD\�EH�XVHG��WR�HYDFXDWH�8QLWHG
.LQJGRP� QDWLRQDOV�� DQG� RWKHU� QDWLRQDOV� LI� UHTXHVWHG�� IURP� SRWHQWLDO�ZDU� ]RQHV� RU� RWKHU� FULVLV
DUHDV���,I�WKH�KRVW�QDWLRQ�FDQ�JXDUDQWHH�WKH�VDIHW\�RI�WKH�HYDFXHHV��WKLV�PD\�LQYROYH�WKH�6HUYLFHV
PHUHO\�SURYLGLQJ�WUDQVSRUW�IRU�WKH�HYDFXDWLRQ���+RZHYHU�� LQ�RWKHU�FLUFXPVWDQFHV�� � WKH�6HUYLFHV
PD\�DOVR�QHHG�WR�SURWHFW�WKH�HYDFXHHV���7KLV�W\SH�RI�RSHUDWLRQ�PD\�EH�XQGHUWDNHQ�QDWLRQDOO\�RU
LQ�FRQFHUW�ZLWK�DOOLHV�� �$Q�H[DPSOH�ZDV� LQ�������GXULQJ� WKH�FLYLO�ZDU� LQ�$GHQ��ZKHQ�D�5R\DO
1DY\�IRUFH�HYDFXDWHG������SHRSOH�RI����QDWLRQDOLWLHV�IURP�WKH�EHVLHJHG�WRZQ��PRVWO\�E\�VKLSV
ERDWV�RYHU�DQ�RSHQ�EHDFK�
� +XPDQLWDULDQ�$LG���0LOLWDU\�IRUFHV�DUH�IUHTXHQWO\�XVHG�WR�SURYLGH�KXPDQLWDULDQ�DLG�DURXQG
WKH� ZRUOG� WR� PLWLJDWH� WKH� HIIHFWV� RI� QDWXUDO� RU� PDQ�PDGH� 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\�WR�5ZDQGD�LQ������WR��KHOS�WKH�8QLWHG�1DWLRQV�$VVLVWDQFH�0LVVLRQ�IRU�5ZDQGD
FUHDWH�D�VDIH�VWDEOH�HQYLURQPHQW� IRU� WKH�SRSXODWLRQ�� IROORZLQJ� WKH�VHYHUH� LQWHU�HWKQLF�YLROHQFH�
7KHUH� DUH� LQKHUHQW� GLIILFXOWLHV� LQ� SURYLGLQJ� KXPDQLWDULDQ� DLG� GXULQJ� FRQIOLFW�� � $SDUW� IURP� WKH
Support to the civil power in Northern Irelandrequires the military to operate under thecontrol of the civil power, remaining subjectto domestic law.
Military forces are frequentlyused to providehumanitarian aid around theworld. The RAF hasassisted with the delivery ofhumanitarian aid to Ethiopiaand Somalia in recentyears.
���
SRVVLEOH� QHHG� IRU� SURWHFWLRQ� RI� WKRVH� HQJDJHG� LQ� KXPDQLWDULDQ� WDVNV�� FRPSHWLQJ� IDFWLRQV� DUH
OLDEOH� WR� LQWHUSUHW� KXPDQLWDULDQ� RSHUDWLRQV� DV� DWWHPSWV� WR� VXSSRUW� RQH� VLGH� RU� WKH� RWKHU�� � )RU
H[DPSOH�� WKH� HYDFXDWLRQ� RI� FLYLOLDQV� RU� ZRXQGHG� PD\� EH� VHHQ� DV� LQVWLWXWLRQDOLVHG� HWKQLF
FOHDQVLQJ��ZKLOH�VXSSO\LQJ�IRRG�WR�D�VWDUYLQJ�HQFODYH�PD\�EH�YLHZHG�DV�DQ�DWWHPSW�WR�OLIW�D�VLHJH�
� 0RQLWRULQJ�FRPSOLDQFH�ZLWK�$UPV�&RQWURO�7UHDWLHV�
� 3XEOLF�DQG�&HUHPRQLDO�'XWLHV�
The Nature of the Armed Forces Required by the United Kingdom
� 7KH�HDUOLHU�VHFWLRQV�RI�WKLV�FKDSWHU�KDYH�VKRZQ�KRZ�WKH�DELOLW\�RI�%ULWLVK�)RUFHV�WR�XQGHUWDNH
D�GLYHUVH�UDQJH�RI�RSHUDWLRQV�LQ�FLUFXPVWDQFHV�XS�WR�DQG�LQFOXGLQJ��ZLWK�GXH�ZDUQLQJ��JHQHUDO
ZDU�FRQWULEXWHV�WR�WKH�VHFXULW\�RI�WKH�8QLWHG�.LQJGRP���,I�WKH\�DUH�WR�VXSSRUW�WKH�IXOO�UDQJH�RI
SRWHQWLDO�WDVNV��%ULWLVK�)RUFHV�VKRXOG�EH�DEOH�WR�LQWHUYHQH�HIIHFWLYHO\�DW�VKRUW�QRWLFH�LQ�DQ\�W\SH
RI�FRQIOLFW�VKRUW�RI�JHQHUDO�ZDU���%ULWLVK�)RUFHV�PXVW�EH�FDSDEOH��ZKHUH�DSSURSULDWH�ZLWK�DOOLHV�
RI� FRQIURQWLQJ� DQG� GHIHDWLQJ� DQ� HQHP\� ZKR� PD\� EH� DUPHG� ZLWK� WKH� IXOO� UDQJH� RI� PRGHUQ
ZHDSRQU\��LQFOXGLQJ�ZHDSRQV�RI�PDVV�GHVWUXFWLRQ�
� %ULWLVK�)RUFHV�ZLOO�DOPRVW�LQYDULDEO\�RSHUDWH�MRLQWO\�DQG�RIWHQ�LQ�FRPELQDWLRQ�ZLWK�DOOLHG�RU
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
VLQJOH�6HUYLFH�RSHUDWLRQV��LI�QHFHVVDU\�
� 7KH� DELOLW\� WR� GHIHQG� WKH�8QLWHG� .LQJGRP� DQG� LWV� GHSHQGHQW� WHUULWRULHV� LV� HVVHQWLDO�� � 7KH
$UPHG�)RUFHV�VKRXOG�EH�FDSDEOH�RI�EHLQJ�UHJHQHUDWHG�DQG��LI�QHFHVVDU\��UHFRQVWLWXWHG�WR�PHHW�D
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
VXSSRUW�WKH�SURFXUHPHQW�RI�HTXLSPHQW�DQG�VWRFNV�
� 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�
ZLWK�D�KLJK�GHJUHH�RI�FRQILGHQFH���7KH\�PXVW�EH�KLJKO\�VXUYLYDEOH��ZLWK�DVVXUHG�FRPPDQG�DQG
FRQWURO�
� ,I�WKH\�DUH�WR�FRQWULEXWH�WR�WKH�IXOO�UDQJH�RI�SRWHQWLDO�FRPPLWPHQWV��%ULWLVK�)RUFHV�UHTXLUH�D
PL[�RI�GHIHQVLYH�DQG�RIIHQVLYH�FDSDELOLWLHV�DEOH�WR�ILJKW�RQ�ODQG��LQ�WKH�DLU��DQG�RQ�DQG�XQGHU�WKH
VHD���WKH\�DOVR�QHHG�WR�EH�DEOH�WR�H[SORLW�DQG�GHQ\�WKH�HOHFWURPDJQHWLF�HQYLURQPHQW��DQG�WR�PDNH
XVH�RI�VSDFH�� �7KH\�PXVW�EH�FDSDEOH�RI�RSHUDWLQJ� DW� ORQJ�GLVWDQFHV� IURP� WKHLU�KRPH�EDVHV� IRU
H[WHQGHG�SHULRGV��� ,Q�VKRUW��%ULWLVK�)RUFHV�UHTXLUH�DQ�H[SHGLWLRQDU\�FDSDELOLW\��7KH�DYDLODELOLW\
RI� LQIRUPDWLRQ�� LQWHOOLJHQFH� DQG� FRPPDQG� DQG� FRQWURO� V\VWHPV� WR� VXSSRUW� H[SHGLWLRQDU\� IRUFH
DFWLYLW\�ZLOO�EH�FHQWUDO�WR�WKH�VXFFHVV�RI�IXWXUH�RSHUDWLRQV�
� 7R� SURYLGH� D� VKRUW�QRWLFH�� IOH[LEOH� FDSDELOLW\� WR� RSHUDWH� DW� DQ\� OHYHO� RI� FRQIOLFW� UHTXLUHV
SURIHVVLRQDO��ZHOO�HTXLSSHG�DQG�ZHOO�WUDLQHG�DUPHG�IRUFHV�ZKLFK�DUH�GHSOR\DEOH�DW�VKRUW�QRWLFH�
���
,I�LW�LV�GHFLGHG�WR�UHO\�RQ�UHVHUYHV�WR�SURYLGH�SDUW�RI�WKLV�FDSDELOLW\��WKH\�PXVW�EH�DYDLODEOH�IRU
VHUYLFH�DQG�GHSOR\PHQW�ZLWKLQ�WKH�DSSURSULDWH�SHULRG�RI�QRWLFH�
Categories of Forces
� 7KH�FLUFXPVWDQFHV�DW�DQ\�SDUWLFXODU�WLPH�GLFWDWH�KRZ�UHDG\�IRU�RSHUDWLRQV�WKH�DUPHG�IRUFHV
QHHG�WR�EH���$�XQLW�RU�IRUPDWLRQ�LV�VDLG�WR�EH�UHDG\�ZKHQ�LW�LV�PDQQHG��HTXLSSHG�DQG�WUDLQHG�IRU
WKH� WDVN� DQG� VXSSRUWHG� DSSURSULDWHO\�� � ,W� ZRXOG� EH� KLJKO\� LQIOH[LEOH�� H[SHQVLYH� DQG� EDG� IRU
PRUDOH�WR�KROG��DOO�%ULWLVK�)RUFHV�DW�YHU\�KLJK�UHDGLQHVV���LW�PDNHV�VHQVH�� WKHUHIRUH�� WR�DGRSW�D
V\VWHP�RI�JUDGXDWHG�UHDGLQHVV�IRU�GLIIHUHQW�XQLWV�� �7KLV�VKRXOG�EH�DUUDQJHG�VR�WKDW�WKH�UHTXLUHG
EDODQFHG�PLOLWDU\�FDSDELOLW\�LV�DYDLODEOH�LQ�WKH�QHFHVVDU\�WLPHVFDOH���,W�VKRXOG�EH�SRVVLEOH�WR�YDU\
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\SHV�RI�RSHUDWLRQ�DUH�FRQFXUUHQW�
� &RQFHSWXDOO\�� WKH� RSHUDWLRQV� ZKLFK� %ULWLVK� )RUFHV� PD\� KDYH� WR� XQGHUWDNH� IDOO� LQWR� WKUHH
EURDG�FDWHJRULHV���SHUPDQHQW�WDVNV��VXFK�DV�JDUULVRQV�LQ�'HSHQGHQW�7HUULWRULHV��PDLQWDLQLQJ�WKH
VRYHUHLJQW\�RI�8QLWHG�.LQJGRP�DLU�VSDFH��FRXQWHU�WHUURULVP�DQG�QXFOHDU�GHWHUUHQFH��FRQWLQJHQW
WDVNV�ZKLFK�PD\�DULVH� IURP�WLPH�WR�WLPH��RIWHQ�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
FLUFXPVWDQFHV��JHQHUDO�ZDU�IDOOV�LQWR�WKH�ODWWHU�FDWHJRU\�
� ,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
JDUULVRQV��WUDLQLQJ�DQG�GHHS�PDLQWHQDQFH�
x 3HUPDQHQWO\�&RPPLWWHG�)RUFHV���3HUPDQHQWO\�FRPPLWWHG�IRUFHV�DUH�GHGLFDWHG�RQ�D
GD\�WR�GD\� 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�ZRUOG�ZLGH
GHSOR\PHQW�DW�YHU\�VKRUW�QRWLFH�LQ�VXSSRUW�RI�QDWLRQDO�LQWHUHVWV�� � ,I�D�PDMRU�H[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\�IRUFHV�DUH�WKH�-RLQW�5DSLG�'HSOR\PHQW�)RUFH�DQG�6SHFLDO�)RUFHV�
� -RLQW�5DSLG�'HSOR\PHQW�)RUFH���,Q������WKH�-RLQW�5DSLG�'HSOR\PHQW�)RUFH�ZDV
IRUPHG� LQ� UHVSRQVH� WR� WKH� HYLGHQW� QHHG� LQ� WKH� SRVW� &ROG� :DU� ZRUOG� WR� UHDFW
UDSLGO\�DQG�ZLWK�DQ�DSSURSULDWHO\�VWUXFWXUHG�DQG�SUHSDUHG�IRUFH�WR�XQSUHGLFWDEOH
FULVHV�� � $W� LWV� FRUH� DUH� XQLWV� RI� WKH� H[LVWLQJ� FRPPDQGR� DQG� DLUERUQH� EULJDGHV�
WDNLQJ�IXOO�DFFRXQW�RI�WKHLU�LQKHUHQW�IOH[LELOLW\�DQG�UHVSRQVLYHQHVV��EXW�LW�LV�QRW�D
����
SHUPDQHQWO\� HVWDEOLVKHG� IRUFH�� �0DULWLPH�� DLU� DQG� ODQG� XQLWV� DUH� DVVLJQHG�� DQG
KHOG�DW�DSSURSULDWH�OHYHOV�RI�UHDGLQHVV��WR�SURYLGH�D�VSHFWUXP�RI�FDSDELOLW\� 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
FRQWURO�SURFHGXUHV�DQG�WKH�QHFHVVDU\�OLIW�WR�GHSOR\�LW�
� 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
KHDGTXDUWHUV���7KH�'LUHFWRU�6SHFLDO�)RUFHV�KDV�2SHUDWLRQDO�&RPPDQG�RI�XQLWV�RI
WKH� 5R\DO� 1DY\V� 6SHFLDO� %RDW� 6HUYLFH� DQG� WKH� $UP\V� 6SHFLDO� $LU� 6HUYLFH�
7KHVH�FRPSULVH� VSHFLDOO\� VHOHFWHG�DQG� WUDLQHG�SHUVRQQHO��XVLQJ�KLJK� WHFKQRORJ\
HTXLSPHQW� DQG� VXSSRUWHG� E\� SHUVRQQHO�� DLUFUDIW� DQG� YHVVHOV� IURP� DOO� WKUHH
6HUYLFHV�� � 7KH\� DUH�PDLQWDLQHG� DW� KLJK� UHDGLQHVV� DQG� DUH� FDSDEOH� RI� GHSOR\LQJ
DQG� RSHUDWLQJ� ZRUOG� ZLGH� RQ� D� YDULHW\� RI� WDVNV�� UDQJLQJ� IURP� SUHFLVH�� KLJKO\
VHQVLWLYH��FRYHUW�RSHUDWLRQV�WR�ODUJHU�VFDOH�RYHUW�GLUHFW�DFWLRQ���1RUPDOO\�6SHFLDO
)RUFHV�FRQGXFW�RSHUDWLRQV�LQ�VXSSRUW�RI�RWKHU�IRUFHV���$�NH\�UROH�LV�WR�REWDLQ�DQG
SURYLGH� HVVHQWLDO� LQIRUPDWLRQ� WR� DVVLVW� GHFLVLRQ� PDNLQJ� DW� WKH� VWUDWHJLF� DQG
RSHUDWLRQDO� OHYHOV�� �2FFDVLRQDOO\��ZKHQ�D�SUHFLVH��GLVFUHHW�DQG�VPDOO� IRUFH� LV�DOO
WKDW� LV� UHTXLUHG� WR� DFKLHYH� DQ� REMHFWLYH�� 6SHFLDO� )RUFHV� PD\� EH� WDVNHG� LQ� DQ
LQGHSHQGHQW�UROH�DW�HLWKHU�WKH�VWUDWHJLF�RU�RSHUDWLRQDO�OHYHOV�
x )RUFHV� IRU� *HQHUDO� :DU�� � 7KH� 8QLWHG� .LQJGRP� PDLQWDLQV� WKH� FDSDELOLW\� WR
UHJHQHUDWH�DQG�UHFRQVWLWXWH�WKH�IRUFHV�QHFHVVDU\�IRU�JHQHUDO�ZDU��ZLWKLQ�WKH�ZDUQLQJ
WLPH�OLNHO\�WR�EH�DYDLODEOH�� � ,W� LV�HVVHQWLDO� WR�HQVXUH�WKDW� WKH�RWKHU� WZR�FDWHJRULHV�RI
IRUFHV�SURYLGH�DQ�DGHTXDWH�EDVH��LQ�WHUPV�RI�VL]H��VWUXFWXUH�DQG�FDSDELOLW\��WR�HQDEOH
The Joint RapidDeployment forceis underpinned byjoint training.Seen here, BritishRoyal Marinesand Americansoldiers trainingtogether duringExercise PurpleStar in 1996.
����
UHJHQHUDWLRQ�DQG�UHFRQVWLWXWLRQ�RQ�WKH�VFDOH�UHTXLUHG�DQG�ZLWKLQ�WKH�H[SHFWHG�SHULRG
RI�ZDUQLQJ�
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� VLQJOH�6HUYLFH� EDVLV�� � ,W� LV� WKH� VLQJOH� 6HUYLFHV
ZKLFK�SURYLGH�IURQW�OLQH�PLOLWDU\�FDSDELOLW\�� �(DFK�6HUYLFH�&KLHI�RI�6WDII�LV�UHVSRQVLEOH�IRU�WKH
ILJKWLQJ� HIIHFWLYHQHVV�� HIILFLHQF\� DQG� PRUDOH� RI� KLV� 6HUYLFH�� 7KH� &KLHIV� RI� 6WDII� DOVR� KDYH
GHOHJDWHG� UHVSRQVLELOLW\� LQ� SHDFHWLPH� IRU� GLUHFWLQJ� DQG� VXSHUYLVLQJ� VLQJOH�6HUYLFH� RSHUDWLRQV
FDUULHG� RXW� RQ� D� URXWLQH� EDVLV� DQG� FHUWDLQ� RWKHU� RSHUDWLRQV�� IRU� H[DPSOH� PDLQWHQDQFH� RI� WKH
VWUDWHJLF�GHWHUUHQW��VXSSRUW�WR�WKH�FLYLO�SRZHU�LQ�1RUWKHUQ�,UHODQG�DQG�DLU�GHIHQFH�RI�WKH�8QLWHG
.LQJGRP�
� %HQHDWK�WKH�&KLHIV�RI�6WDII��HDFK�6HUYLFH�KDV�WKUHH�FRPPDQGHUV�UHVSRQVLEOH�UHVSHFWLYHO\�IRU
RSHUDWLRQV��ORJLVWLFV�DQG�SHUVRQQHO�DQG�WUDLQLQJ���7KH\�KHDG�FRPPDQGV�ZLWK�WKHVH�IXQFWLRQV�DQG
DUH� 7RS� /HYHO� %XGJHW� +ROGHUV� DQG� PHPEHUV� RI� WKH� DSSURSULDWH� 6HUYLFH� %RDUG�� � 7KH� WKUHH
RSHUDWLRQDO� FRPPDQGHUV� �&RPPDQGHU�LQ�� &KLHI� )OHHW�� &RPPDQGHU�LQ�&KLHI� /DQG� &RPPDQG
DQG�WKH�$LU�2IILFHU�&RPPDQGLQJ�LQ�&KLHI�6WULNH�&RPPDQG��SURYLGH�DVVLJQHG�IRUFHV�WR�1$72
DQG�DUH�UHVSRQVLEOH�IRU�SURYLGLQJ�IRUFHV�IRU�MRLQW�DQG�FRPELQHG�RSHUDWLRQV���$Q�DGGLWLRQDO�$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
'HIHQFH�6WDII�PD\�DSSRLQW�DQ\�RI�WKH�FRPPDQGHUV�LQ�FKLHI�DV�WKH�-RLQW�&RPPDQGHU�IRU�QDWLRQDO
RU� PXOWLQDWLRQDO� MRLQW� RSHUDWLRQV�� � 7KH� FRPPDQGHUV�LQ�� 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\�LV�H[HUFLVHG�WKURXJK�IRXU�EDVLF�IXQFWLRQV�
x *HQHUDWLRQ�RI�IRUFHV�
x 'HSOR\PHQW�DQG�UHFRYHU\�
x 7KH�SURYLVLRQ�RI�FRPEDW�FDSDELOLW\�GXULQJ�DQ�RSHUDWLRQ�
x 6XVWDLQPHQW�
7KHVH� IXQFWLRQV� DUH� H[HUFLVHG� LQ� DQ\� VFDOH� RU� W\SH� RI� RSHUDWLRQ�� EXW� WKH� UHODWLRQVKLS� EHWZHHQ
WKHP�ZLOO�YDU\�WR�VXLW�WKH�FLUFXPVWDQFHV�� �)RU�H[DPSOH��LQ�D�VLPSOH��VPDOO�VFDOH�RSHUDWLRQ�WKH\
PLJKW� KDYH� D� VWUDLJKW�IRUZDUG� VHTXHQWLDO� UHODWLRQVKLS�� � *HQHUDWLRQ� ZRXOG� EH� IROORZHG� E\
GHSOR\PHQW�IRU�D�ILQLWH�PLVVLRQ��HPEUDFLQJ�FRPEDW�FDSDELOLW\�DQG�VXVWDLQPHQW��FRPSOHWLQJ�ZLWK
UHFRYHU\���+RZHYHU��LQ�D�PRUH�FRPSOH[�RSHUDWLRQ�RU�ZKHQ�WKHUH�LV�PRUH�WKDQ�RQH�VLPXOWDQHRXV
RSHUDWLRQ��DOO�DFWLYLWLHV�DUH�OLNHO\�WR�EH�LQ�SOD\�DW�WKH�VDPH�WLPH���7KH�UHODWLRQVKLS�LV�GLFWDWHG�E\
VWUDWHJLF�GLUHFWLRQ��ZKLFK�JLYHV�VKDSH�DQG�SXUSRVH�WR�HDFK�RSHUDWLRQ���7KH�LQGLYLGXDO�IXQFWLRQV
DUH�GLVFXVVHG�LQ�WKH�IROORZLQJ�SDUDJUDSKV�
����
� )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
DQG�SRWHQWLDO�IXWXUH�WDVNV��ZLWKLQ�UHTXLUHG�UHDGLQHVV�DQG�SUHSDUDWLRQ�WLPHV��,W�PXVW�WDNH�DFFRXQW
RI� DQ\� UHTXLUHPHQW� WR� FDWHU� IRU� FRQFXUUHQW� RSHUDWLRQV� DQG� WDVNV� DQG� WKH� QHHG� IRU� WLPHO\
UHFXSHUDWLRQ�WR�PHHW�SRVVLEOH�IXWXUH�WDVNV���,W�DOVR�HPEUDFHV�WKH�UHJHQHUDWLRQ�DQG�UHFRQVWLWXWLRQ
QHFHVVDU\� WR� PHHW� D� PDMRU� FRQIOLFW�� VXFK� DV� JHQHUDO� ZDU�� DQG� WKH� ORQJ� WHUP� GHYHORSPHQW� RI
FDSDELOLW\�WR�PHHW�FKDQJLQJ�FLUFXPVWDQFHV���'RFWULQH�DQG�WUDLQLQJ�JLYH�FRKHVLRQ�WR�D�IRUFH�DQG
EULQJ�LW�WR�D�VWDWH�RI�SUHSDUHGQHVV�
� 'HSOR\PHQW�DQG�5HFRYHU\���2QFH�JHQHUDWHG��D�IRUFH
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
UHFRYHUHG� WR� LWV� KRPH� EDVH
WR�UHFXSHUDWH�
� &RPEDW�&DSDELOLW\���&RPEDW�FDSDELOLW\�LV�WKH�DELOLW\
RI� D� IRUFH�ZKLFK� KDV� EHHQ� JHQHUDWHG�� GHSOR\HG� DQG� VXVWDLQHG� WR� XQGHUWDNH� LWV� PLVVLRQ� LQ� WKH
WKHDWUH�RI�RSHUDWLRQV���,Q�PRVW�FLUFXPVWDQFHV�WKLV�ZLOO�EH�WKH�DELOLW\�WR�GHIHDW�RU�GLVUXSW�HQHP\
IRUFHV�� �7KH�WHUP�DOVR�FRYHUV� WKH�FDSDELOLW\�RI� WKH�DUPHG�IRUFHV�RQ�QRQ�EHOOLJHUHQW�RSHUDWLRQV�
)LUHSRZHU��ZKLFK�LV�FUXFLDO�WR�FRPEDW��PD\�QRW�EH�UHTXLUHG�IRU�QRQ�EHOOLJHUHQW�RSHUDWLRQV��DSDUW
IURP� VHOI� GHIHQFH� RU� DV� DQ� LQVWUXPHQW� RI� GHWHUUHQFH�� �+RZHYHU�� DV� GHVFULEHG� EHORZ�� DOO� RWKHU
HOHPHQWV�RI�FRPEDW�FDSDELOLW\�DUH�HVVHQWLDO�WR�DOO�W\SHV�RI�PLOLWDU\�RSHUDWLRQV���7KH�FRPSRQHQWV
RI�FRPEDW�FDSDELOLW\�DUH�ORJLFDOO\�GHULYHG�IURP�WKH�3ULQFLSOHV�RI�: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
RSHUDWLRQDO�FDSDELOLW\�LV�GLUHFWHG�WRZDUGV�WKH�DFKLHYHPHQW�RI�WKH�PLOLWDU\�REMHFWLYH�
x ,QIRUPDWLRQ�DQG�,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
IRUFHV�DQG�RWKHU�LQIRUPDWLRQ��VXFK�DV�ZHDWKHU�DQG�JHRJUDSKLF�GDWD���$FFXUDWH��WLPHO\
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
UHGXFHV�ULVN�
x )LUHSRZHU���7KH�SURSHU�DSSOLFDWLRQ�RI�ILUHSRZHU�LV�D�PDMRU�FRQWULEXWRU�WR�VXFFHVV�LQ
FRPEDW�� � )LUHSRZHU� QHHGV� WR� EH� SUHFLVH� DQG� FRQWUROOHG� WR� DFKLHYH� FRQFHQWUDWLRQ� RI
IRUFH�DQG�HFRQRP\�RI�HIIRUW�DQG�WR�DYRLG�XQQHFHVVDU\�FROODWHUDO�GDPDJH���7KH�GHJUHH
RI�FRQFHQWUDWLRQ�ZLOO�YDU\�ZLWK�WKH�FLUFXPVWDQFHV�DQG�LV�D�NH\�FRPPDQG�GHFLVLRQ�
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\�WR�FUHDWH�DQG�H[SORLW�RSSRUWXQLW\�
x 6HFXULW\�� � 6HFXULW\� HPEUDFHV� DOO� DVSHFWV� RI� SURWHFWLQJ� EDVHV�� SODWIRUPV�� ZHDSRQ
V\VWHPV��PHQ��PDWHULHO� DQG� LQIRUPDWLRQ�� � 7KH� DLP� LV� WR� SUHVHUYH� WKH� FRPPDQGHUV
Allied forces board an Americanstrategic transport aircraft duringthe Gulf War.
����
IUHHGRP�RI�DFWLRQ�DQG�PLQLPLVH�WKH�HIIHFWV�RI�HQHP\�DFWLRQ��D�EDODQFH�PXVW�EH�VWUXFN
EHWZHHQ� DEVROXWH� VHFXULW\� DQG� RWKHU� LPSHUDWLYHV� VXFK� DV� IOH[LELOLW\�� PRELOLW\� DQG
VXUSULVH���6HFXULW\�LQFOXGHV�GRPLQDWLQJ�WKH�HOHFWURPDJQHWLF�VSHFWUXP�
x /RJLVWLFV�LV�WKH�PHDQV�E\�ZKLFK�D�IRUFH�LV�PDWHULDOO\�VXVWDLQHG���,W�LV�RIWHQ�WKH�FUXFLDO
IDFWRU� LQ�GHWHUPLQLQJ� WKH� IHDVLELOLW\�RI�DQ�RSHUDWLRQ�� �7KH� DELOLW\� WR� UHPDLQ�PRELOH�
DQG�KHQFH�PDNH�RSWLPXP�XVH�RI�IRUFH��LV�GHSHQGHQW�RQ�ORJLVWLFV��D�FRPPDQGHU�PXVW
KDYH�FRQWURO�RI�KLV�ORJLVWLF�FDSDELOLW\�LQ�RUGHU�WR�KDYH�IUHHGRP�RI�DFWLRQ�
7KHVH� FRPSRQHQWV� RI� FRPEDW� FDSDELOLW\� SURYLGH� WKH� EDVHOLQH� IRU� GHIHQFH� SODQQLQJ�� IRUFH
GHYHORSPHQW�DQG�SURFXUHPHQW�
� 6XVWDLQPHQW�� � � 6XVWDLQPHQW� LV� WKH� SURFHVV� RI� HQDEOLQJ� D� IRUFH� WR
PDLQWDLQ� WKH� QHFHVVDU\� FRPEDW� FDSDELOLW\� WR� DFKLHYH� LWV� REMHFWLYHV�� � ,W
HPEUDFHV� DOO� DVSHFWV� RI� VXVWDLQLQJ� WKH� PDQSRZHU�� HTXLSPHQW� DQG� VWRUHV
ZKLFK�HQDEOH�D�IRUFH�WR�FRPSOHWH�LWV�PLVVLRQ���,W�LQFOXGHV�WKH�HQGXUDQFH�WR
PDLQWDLQ�DQ�RSHUDWLRQDO� FRPPLWPHQW� IRU� D�SURWUDFWHG�SHULRG� LI� QHFHVVDU\�
7KLV� PLJKW� UHTXLUH� UHLQIRUFHPHQW� DQG�RU� URXOHPHQW� RI� XQLWV� DQG� WKH
UHJHQHUDWLRQ�DQG�GHSOR\PHQW�RI�RWKHU�XQLWV�
Maintaining Military Capability
� $V�FLUFXPVWDQFHV�FKDQJH��DGHTXDWH�PLOLWDU\�FDSDELOLW\�QHHGV�WR�EH�PDLQWDLQHG�WR�DFKLHYH�WKH
UHTXLUHG�SROLWLFDO�SXUSRVH���7KLV�DSSOLHV�LQ�WKH�UHODWLYHO\�VKRUW�WHUP�FRQWH[W�RI�DQ�RSHUDWLRQ�DQG
RYHU�D�ORQJHU�SHULRG��WR�WDNH�DFFRXQW�RI�FKDQJHV�LQ�QDWLRQDO�SROLF\���7KHUHIRUH��LW�LV�LPSRUWDQW�WR
OHDUQ�IURP�H[SHULHQFH�DQG�WR�H[SORLW�WKH�OHVVRQV�LQ�D�VWUXFWXUHG�ZD\�WR�GHYHORS�IRUFH�VWUXFWXUHV�
FDSDELOLWLHV� DQG� GRFWULQH� LQ� RUGHU� WR� PDLQWDLQ� RSWLPXP� PLOLWDU\� FDSDELOLW\�� � /HVVRQV� FDQ� EH
LGHQWLILHG� DW� HYHU\� OHYHO� E\� GHEULHILQJ� WUDLQLQJ�� E\� DQDO\VLQJ� H[HUFLVHV� DQG�RSHUDWLRQV�� DQG� E\
LQYHVWLJDWLQJ�SDUWLFXODU�VXFFHVVHV�DQG�IDLOXUHV�
An RAF Pumahelicopter is loadedaboard an Americanstrategic transportaircraft during the GulfWar.
����
� &RQIOLFW�SURYLGHV�WKH�GHILQLWLYH�PHDVXUH�RI�PLOLWDU\�FDSDELOLW\��ZKHQ�IRUFH�LV�DSSOLHG�DJDLQVW
DQ�RSSRQHQW���$�FRPSOHWH�DQG�REMHFWLYH�PHDVXUH�UHTXLUHV�TXDQWLILFDWLRQ��VFLHQWLILF�DQG�KLVWRULFDO
DQDO\VLV�DQG�PLOLWDU\�DVVHVVPHQW���,Q�SHDFH�WKH�\DUGVWLFN�LV�OHVV�FOHDU��EXW�D�YDULHW\�RI�PHWKRGV
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\��DQG�PLOLWDU\�MXGJHPHQW�ZLOO�QHHG�WR�EH�HPSOR\HG�WR�DVVHVV�DQG�LQWHUSUHW�WKH�UHVXOWV�
(YDOXDWLRQV� PDGH� DW� LQGLYLGXDO� XQLW� OHYHO� QHHG� WR� EH� DJJUHJDWHG� WR� SURYLGH� DQ� RYHUDOO
DVVHVVPHQW��ZKLFK�ZLOO�EH�PRUH�WKDQ�D�VLPSOH�VXP�RI�WKH�SDUWV�
� 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
HYLGHQFH�WR�DGMXVW�SROLF\��SODQV��UHVRXUFHV�DQG�GRFWULQH�WR�PHHW�WKH�UHFDOLEUDWHG�UHTXLUHPHQW�
British Forces will almostinvariably operate jointly andoften in combination withallied or coalition forces.They need, therefore, to becommanded, structured,equipped and trained for jointand combined warfare.
Firepower - Challenger 2undergoing night firing trials.
$��
Chapter 7
CRISIS MANAGEMENT
Principles of Crisis Management
� &ULVLV�PDQDJHPHQW�LV�WKH�SURFHVV�RI�SUHYHQWLQJ��FRQWDLQLQJ�RU�UHVROYLQJ�FULVHV��DQG�SRWHQWLDO
FULVHV��DV�WKH\�DULVH���,W�LQFOXGHV�PDQDJLQJ�DQ�RUGHUO\�WUDQVLWLRQ�WR�ZDU��LI�QHFHVVDU\���7KH�DLP�RI
WKH�QDWLRQDO� FULVLV�PDQDJHPHQW� V\VWHP� LV� WR�SURYLGH� D�EDODQFHG� UHVSRQVH� WR� DQ\� VLWXDWLRQ� WKDW
PD\� RFFXU�� � $W� WKH� JUDQG� VWUDWHJLF� OHYHO� WKH� &DELQHW� FRQWUROV� DOO� WKH� YDULRXV� PHDQV� DW� WKH
*RYHUQPHQWV� GLVSRVDO� WR� UHVROYH� WKH� FULVLV�� GLSORPDWLF�� HFRQRPLF� DQG� RWKHU� LQVWUXPHQWV�� RI
ZKLFK�PLOLWDU\�DFWLRQ�WHQGV�WR�EH�WKH�ILQDO�UHVRUW��%HQHDWK�WKLV�OHYHO��PLOLWDU\�VWUDWHJLF�GLUHFWLRQ
LV�SURYLGHG�E\� WKH�0LQLVWU\�RI�'HIHQFH�+HDGTXDUWHUV�� �$� -RLQW�&RPPDQGHU� LV� UHVSRQVLEOH� IRU
JLYLQJ�VKDSH�DQG�GLUHFWLRQ�WR�PLOLWDU\�RSHUDWLRQV�DQG�IRU�GHSOR\LQJ��VXVWDLQLQJ�DQG��XOWLPDWHO\�
UHFRYHULQJ�WKH�IRUFHV�DVVLJQHG�WR�RSHUDWLRQV��ZKLFK�DUH�SURYLGHG�E\�WKH�VLQJOH�6HUYLFHV���$�-RLQW
)RUFH�&RPPDQGHU� LQ� WKH�RSHUDWLRQDO� WKHDWUH� SODQV� DQG� ILJKWV� WKH� FDPSDLJQ��ZKLOH� FRPSRQHQW
FRPPDQGHUV�H[HUFLVH�WDFWLFDO�FRQWURO�RI�WKH�VHD��ODQG�DQG�DLU�IRUFHV�LQYROYHG���7KHVH�SULQFLSOHV
DSSO\�WR�DOO�RSHUDWLRQV�LQYROYLQJ�%ULWLVK�)RUFHV��EXW�GHWDLOHG�DUUDQJHPHQWV�PD\�YDU\�WR�VXLW�WKH
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
&DELQHW��RU�E\�D�VSHFLDO�&DELQHW�&RPPLWWHH�VHW�XS�WR�FR�RUGLQDWH�WKH�ZRUN�RI�DOO�WKH�*RYHUQPHQW
GHSDUWPHQWV� LQYROYHG�� �7KH�&KLHI�RI� WKH�'HIHQFH�6WDII��DV� WKH�SULQFLSDO�PLOLWDU\�DGYLVHU� WR� WKH
*RYHUQPHQW��ZLOO�DWWHQG�PHHWLQJV�RI� WKH�&DELQHW�RU� LWV�VXE��FRPPLWWHHV�DV� UHTXLUHG�� �1DWLRQDO
LQWHOOLJHQFH� DVVHVVPHQWV�� LQFOXGLQJ� VWUDWHJLF� ZDUQLQJ�� DUH� FRRUGLQDWHG� E\� WKH� &DELQHW� 2IILFH�
:LWKLQ�WKH�SROLF\�GHWHUPLQHG�E\�0LQLVWHUV��WKH�0LQLVWU\�RI�'HIHQFH�+HDGTXDUWHUV�LV�UHVSRQVLEOH
IRU�WKH�'HIHQFH�DVSHFWV�RI�FULVLV�PDQDJHPHQW��LQFOXGLQJ�WKH�KLJKHU�GLUHFWLRQ�RI�RSHUDWLRQV�
� 0LQLVWU\�RI�'HIHQFH�+HDGTXDUWHUV� �7KH�0LQLVWU\�RI�'HIHQFH�+HDGTXDUWHUV� LV�UHVSRQVLEOH
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
GLUHFWLRQ�WR�PLOLWDU\�KHDGTXDUWHUV���7KH�0LQLVWU\�GRHV�QRW�QRUPDOO\�FRPPDQG�IRUFHV�GLUHFWO\�QRU
LQYROYH�LWVHOI�LQ�WKH�GD\�WR�GD\�UXQQLQJ�RI�RSHUDWLRQV�
� &KLHIV�RI�6WDII���7KH�&KLHI�RI�WKH�'HIHQFH�6WDII�LV�WKH�XOWLPDWH�VRXUFH�RI�PLOLWDU\�DGYLFH�WR
PLQLVWHUV�� �7KH�9LFH�&KLHI�RI� WKH�'HIHQFH�6WDII��ZLWK� WKH�6HFRQG�3HUPDQHQW�8QGHU�6HFUHWDU\�
FR�RUGLQDWHV� 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��*HQHUDO�DQG�$LU�6WDIIV��DV�WKH�SURIHVVLRQDO�KHDGV�RI�WKHLU�6HUYLFHV��RIIHU�H[SHUW�DGYLFH�WR
WKH�&KLHI�RI�WKH�'HIHQFH�6WDII�RQ�WKH�HPSOR\PHQW�RI�WKHLU�IRUFHV�DQG�WKH�VWUDWHJLF�GLUHFWLRQ�RI
RSHUDWLRQV�� XVXDOO\� LQ� WKH� IRUXP� RI� WKH� &KLHIV� RI� 6WDIIV� &RPPLWWHH�� � 7KH� 3HUPDQHQW� 8QGHU
6HFUHWDU\��DV� WKH�VHQLRU�DGYLVHU�RQ�'HIHQFH�SROLF\�� DWWHQGV� WKH�PHHWLQJV�RI� WKLV�&RPPLWWHH��DV
GRHV� D� VHQLRU� RIILFLDO� IURP� WKH� )RUHLJQ� DQG� &RPPRQZHDOWK� 2IILFH� WR� HQVXUH� SURSHU� FR�
RUGLQDWLRQ�EHWZHHQ�NH\�*RYHUQPHQW�GHSDUWPHQWV�
$��
Organisation
� 'HIHQFH�&ULVLV�0DQDJHPHQW�2UJDQLVDWLRQ���%HORZ�WKH�&KLHIV�RI�6WDII�&RPPLWWHH��WKHUH�LV
D� 'HIHQFH� &ULVLV� 0DQDJHPHQW� 2UJDQLVDWLRQ� ZKLFK� SUHSDUHV� DGYLFH� IRU� WKH� &KLHIV� RI� 6WDII�
3HUPDQHQW�8QGHU�6HFUHWDU\�DQG�0LQLVWHUV���,W�LV�PDGH�XS�RI�HOHPHQWV�RI�WKH�&HQWUDO�6WDII�LQ�WKH
0LQLVWU\�RI�'HIHQFH�+HDGTXDUWHUV� DQG�RI� WKH�3HUPDQHQW� -RLQW�+HDGTXDUWHUV��ZRUNLQJ� LQ� FORVH
SDUWQHUVKLS��WRJHWKHU�ZLWK�WKH�'HIHQFH�,QWHOOLJHQFH�6WDII���,Q�PRUH�GHWDLO�
x &HQWUDO�6WDII�� �7KH�&HQWUDO�6WDII�SROLF\�DQG�FRPPLWPHQWV��LH�RSHUDWLRQV��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
QRUPDO�GD\�WR�GD\�FRQGLWLRQV��VWDII�RSHUDWH�IURP�WKHLU�QRUPDO�RIILFHV�LQ�WKH�0LQLVWU\
RI�'HIHQFH�0DLQ�%XLOGLQJ�DQG�PD\�FRQWLQXH�WR�GR�VR�LQ�D�PLQRU�FULVLV��+RZHYHU��LQ
PDMRU�FULVHV�WKH\�DUH�OLNHO\�WR�XVH�WKH�'HIHQFH�&ULVLV�0DQDJHPHQW�&HQWUH��D�VHFXUH�
KDUGHQHG�IDFLOLW\�ZLWKLQ�WKH�0DLQ�%XLOGLQJ�
x 3HUPDQHQW�-RLQW�+HDGTXDUWHUV���7KH�3HUPDQHQW�-RLQW�+HDGTXDUWHUV�DW�1RUWKZRRG
LV�DQ� LQWHJUDO�SDUW�RI� WKH�'HIHQFH�&ULVLV�0DQDJHPHQW�2UJDQLVDWLRQ�DQG�SOD\V�D�NH\
UROH� LQ� FRQWULEXWLQJ� WR� WKH� 0LQLVWU\� RI� 'HIHQFH� +HDGTXDUWHUV� GHFLVLRQ�PDNLQJ
SURFHVV� DW� WKH�PLOLWDU\� VWUDWHJLF� OHYHO�� �:KHQ�GLUHFWHG�E\� WKH�&KLHI�RI� WKH�'HIHQFH
6WDII��LW�LV�UHVSRQVLEOH�IRU�WKH�SODQQLQJ�DQG�H[HFXWLRQ�RI�MRLQW��SRWHQWLDOO\�MRLQW�
FRPELQHG� DQG� PXOWLQDWLRQDO� RSHUDWLRQV� OHG� E\� WKH� 8QLWHG� .LQJGRP�� � ,W� LV� DOVR
UHVSRQVLEOH�IRU�H[HUFLVLQJ�RSHUDWLRQDO�FRPPDQG�RI�8QLWHG�.LQJGRP�IRUFHV�DVVLJQHG
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� VLQJOH�6HUYLFH� &RPPDQGHUV�LQ�
&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�
6HUYLFH�FRPPDQGHUV��LQ�FKLHI�PD\�EH�DSSRLQWHG�DV�-RLQW�&RPPDQGHU����,Q�FULVLV��WKH
+HDGTXDUWHUV�IRUPV�PXOWL�GLVFLSOLQDU\�&RQWLQJHQF\�3ODQQLQJ�7HDPV�DQG�2SHUDWLRQV
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
The Secretary ofState for Defence,accompanied by theChief of the DefenceStaff and the Chief ofJoint Operationsopening the newUnited KingdomPermanent JointHeadquarters in April1996
$��
VLQJOH�6HUYLFH�2SHUDWLRQDO�&RPPDQGV�WR�HQVXUH�WKDW�VLQJOH�6HUYLFH�DGYLFH�LV�ZRYHQ
LQWR� FRKHUHQW� MRLQW� DGYLFH�� � 7KH� +HDGTXDUWHUV� KDV� QR� FRPPDQG� UHVSRQVLELOLW\� IRU�
QXFOHDU� RSHUDWLRQV�� 1$72� RSHUDWLRQV�� LQ� ZKLFK� FRPPDQG� LV� H[HUFLVHG� WKURXJK
1$72� VWUXFWXUHV�� WKH� GHIHQFH� RI� WKH� 8QLWHG� .LQJGRPV� ZDWHUV� DQG� DLUVSDFH�� DQG
PLOLWDU\�DVVLVWDQFH�WR�WKH�FLYLO�DXWKRULWLHV��LQFOXGLQJ�RSHUDWLRQV�LQ�VXSSRUW�RI�WKH�FLYLO
SRZHU�LQ�1RUWKHUQ�,UHODQG�
x 'HIHQFH� ,QWHOOLJHQFH� 6WDII�
:LWKLQ� WKH� 0LQLVWU\� RI� 'HIHQFH�� WKH
'HIHQFH� ,QWHOOLJHQFH� 6WDII� LV� UHVSRQVLEOH
IRU�SURYLGLQJ�VWUDWHJLF�ZDUQLQJ�DQG�IRUPDO
FXUUHQW� GHIHQFH� LQWHOOLJHQFH� DVVHVVPHQWV
DQG�DGYLFH���,W�SURYLGHV�PLOLWDU\�FDSDELOLW\
VWXGLHV� �LQFOXGLQJ� WKH� FDSDELOLWLHV� RI
ZHDSRQ� V\VWHPV�� DQG� FRQWLQXRXV
UHSRUWLQJ� RQ� SROLWLFDO� DQG� PLOLWDU\
GHYHORSPHQWV� ZRUOG�ZLGH� ZKLFK� PD\
LQIOXHQFH� QDWLRQDO� GHFLVLRQ� PDNLQJ� DQG
WKH�VWUDWHJLF�GLUHFWLRQ�RI�RSHUDWLRQV�� �7KH
'HIHQFH�,QWHOOLJHQFH�6WDII�LV�DOVR�WKH�IRFDO
SRLQW�IRU� WKH�FR�RUGLQDWLRQ�RI� WKH�GHIHQFH
LQWHOOLJHQFH� HIIRUW� LQ� VXSSRUW� RI� RSHUDWLRQV�� SDUWLFXODUO\� LQ� UHJDUG� WR� FROOHFWLRQ�
LQIRUPDWLRQ� UHTXLUHPHQWV� PDQDJHPHQW� DQG� WDUJHWLQJ� VXSSRUW�� � ,Q� DGGLWLRQ�� WKH
3HUPDQHQW�-RLQW�+HDGTXDUWHUV�LQWHOOLJHQFH�VWDII�PRQLWRUV�DUHDV�RI�HPHUJLQJ�LQWHUHVW
DQG�PDLQWDLQV�WKH�-RLQW�2SHUDWLRQDO�3LFWXUH�RI�PDULWLPH��ODQG�DQG�DLU�DFWLYLW\�ZLWKLQ
GHVLJQDWHG�DUHDV�RI�RSHUDWLRQDO�UHVSRQVLELOLW\�RU�LQWHUHVW���$V�DQ�RSHUDWLRQDO�VLWXDWLRQ
GHYHORSV�� WKH� OHDG� IRU� FHUWDLQ� LQWHOOLJHQFH� UHVSRQVLELOLWLHV�PD\� EH� SDVVHG� IURP� WKH
'HIHQFH� ,QWHOOLJHQFH� 6WDII� WR� WKH� 3HUPDQHQW� -RLQW� +HDGTXDUWHUV�� UHYHUWLQJ� WR� WKH
'HIHQFH�,QWHOOLJHQFH�6WDII�RQ�FRPSOHWLRQ�RI�WKH�RSHUDWLRQ�
� ,QWHUQDWLRQDO�/LDLVRQ���7KH�0LQLVWU\�RI�'HIHQFH�+HDGTXDUWHUV�LV�WKH�IRFDO�SRLQW�IRU�FRQWDFW
ZLWK�DOOLHV�DQG�LQWHUQDWLRQDO�RUJDQLVDWLRQV�DW�WKH�GHSDUWPHQW�RI�VWDWH�OHYHO���7KH�3HUPDQHQW�-RLQW
+HDGTXDUWHUV� OLDVHV� GLUHFWO\� ZLWK� 0DMRU� 1$72� &RPPDQGHUV� DQG� WKH� VWDIIV� RI� DOOLHV� DQG
LQWHUQDWLRQDO�RUJDQLVDWLRQV��DV�DSSURSULDWH�
Command and Control
� 3ULQFLSOHV�RI�&RPPDQG�DQG�&RQWURO���(IIHFWLYH�FRPPDQG�DQG�FRQWURO�FRPSULVHV�GLUHFWLRQ
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
IRUFHV���2SHUDWLRQDO�FRPPDQGHUV�VKRXOG�EH�JLYHQ�WKH�JUHDWHVW�SRVVLEOH�IUHHGRP�RI�DFWLRQ�ZLWKLQ
SROLWLFDO�DQG�PLOLWDU\�VWUDWHJLF�JXLGHOLQHV�� �7KH�DSSRLQWPHQW�RI�WKH�ULJKW�SHRSOH�WR�FRPPDQG�DW
HDFK�OHYHO� LV�FUXFLDO��6HOHFWLRQ�RI�FRPPDQGHUV� LV�D�NH\� IXQFWLRQ�DW� WKH�PLOLWDU\�VWUDWHJLF� OHYHO�
7KH�DLP�VKRXOG�EH�WR�PDNH�WKH�FRPPDQG�FKDLQ�DV�VLPSOH��XQDPELJXRXV�DQG�XQLILHG�DV�SRVVLEOH�
$� FRPPDQGHU� VKRXOG� KDYH� D� GHJUHH� RI� FRQWURO� RYHU� WKH� DGPLQLVWUDWLYH� SODQ� DQG� WKH� ORJLVWLFV
SURSRUWLRQDWH�WR�KLV�UHVSRQVLELOLW\�IRU�WKH�RSHUDWLRQ�
� &RPPDQG�DQG�&RQWURO�LQ�0XOWLQDWLRQDO�2SHUDWLRQV���:KHUH�LW�LV�GHFLGHG�IRU�SROLWLFDO�RU
PLOLWDU\�UHDVRQV�WR�IRUP�D�PXOWLQDWLRQDO�IRUFH�IRU�D�SDUWLFXODU�RSHUDWLRQ��WKDW�IRUFH�ZLOO�RSHUDWH
PRVW�HIIHFWLYHO\�LI�WKHUH�LV�D�VLQJOH�FKDLQ�RI�PLOLWDU\�FRPPDQG�DQG�FRQWURO�IRU�WKH�SODQQLQJ�DQG
The newly opened operations centre at thePermanent Joint Headquarters.
$��
FRQGXFW�RI�RSHUDWLRQV�DQG�IRU�WKH�GHOHJDWLRQ�RI�FRPPDQG��7KLV�PHDQV�LQ�SULQFLSOH�WKDW�D�VLQJOH
PLOLWDU\�RIILFHU�IURP�RQH�QDWLRQ�VKRXOG�EH�DSSRLQWHG�WR�FRPPDQG�WKH�IRUFHV�RI�DOO�SDUWLFLSDWLQJ
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
DOORZ�D�IRUHLJQ�QDWLRQDO�WR�KDYH�FRPSOHWH�IUHHGRP�RI�FRQWURO�RYHU�WKHLU�IRUFHV�� WKH\�ZLOO� LQVLVW
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
DUPHG�DWWDFN�RQ�RQH�RU�PRUH�PHPEHUV�RI�1$72��$UWLFOH���RSHUDWLRQV��DUH�GHVLJQHG�WR�UHVROYH
WKLV� LVVXH�� DQG� WKH\� KDYH� EHHQ� DGDSWHG� IRU� QRQ�$UWLFOH� �� RSHUDWLRQV�� � +RZHYHU�� WKHUH� LV� DQ
LQFUHDVLQJ�SRVVLELOLW\�RI�%ULWLVK�IRUFHV�EHFRPLQJ�LQYROYHG�LQ�RSHUDWLRQV�ZLWK�IRUFHV�IURP�D�ZLGH
UDQJH� RI� FRXQWULHV� DV� SDUW� RI� DQ� DG�KRF� FRDOLWLRQ�� � &RPPDQG� DQG� FRQWURO� DUUDQJHPHQWV� IRU
QDWLRQDO�DQG�PXOWLQDWLRQDO�RSHUDWLRQV�DUH�GHVFULEHG�LQ�$QQH[�'�
Crisis Management Sequence
� $�W\SLFDO�FULVLV�PLJKW�EH�KDQGOHG�DW�WKH�VWUDWHJLF�OHYHO�DV�UHODWHG�LQ�WKH�IROORZLQJ�SDUDJUDSKV�
7KHVH� GHVFULEH� WKH� DFWLRQV� DSSOLFDEOH� LQ� VLWXDWLRQV� LQ� ZKLFK� WKH� 8QLWHG� .LQJGRP� LV� DFWLQJ
XQLODWHUDOO\���7KH�FRPPDQG�DQG�FRQWURO�DUUDQJHPHQWV�DQG�SURFHGXUHV��KRZHYHU��DUH�IOH[LEOH�DQG
DUH�UHDGLO\�DGDSWDEOH�WR�DFFRUG�ZLWK�HYHQWV�DQG�RWKHU�FLUFXPVWDQFHV��LQFOXGLQJ�WKH�UHTXLUHPHQWV
RI�8QLWHG�.LQJGRP�SDUWLFLSDWLRQ�LQ�FRPELQHG�RSHUDWLRQV�
� $V�D�VLWXDWLRQ�GHYHORSV�ZKLFK�PD\�UHTXLUH�WKH�GHSOR\PHQW�RI�8QLWHG�.LQJGRP�)RUFHV��VWDII
WHDPV� DUH� IRUPHG� ZLWKLQ� WKH� 0LQLVWU\� RI� 'HIHQFH� +HDGTXDUWHUV� DQG� DW� WKH� 3HUPDQHQW� -RLQW
+HDGTXDUWHUV���7KHVH�WHDPV��DFWLQJ�LQ�FRQMXQFWLRQ��VHUYH�DV�WKH�MRLQW�IRFXV�RI�WKH�'HIHQFH�&ULVLV
0DQDJHPHQW�2UJDQLVDWLRQ�IRU�WKH�SDUWLFXODU�FULVLV�
x $�&XUUHQW�&RPPLWPHQW�7HDP�LQ�WKH�0LQLVWU\�RI�'HIHQFH�+HDGTXDUWHUV�PRQLWRUV�WKH
SRWHQWLDO� FULVLV� DQG� OLDVHV� ZLWK� RWKHU� JRYHUQPHQW� GHSDUWPHQWV�� DOOLHV� DQG
RUJDQLVDWLRQV�VXFK�DV�1$72��WKH�:HVWHUQ�(XURSHDQ�8QLRQ�DQG�WKH�8QLWHG�1DWLRQV�
,W� LVVXHV�LQLWLDO�VWUDWHJLF�SODQQLQJ�JXLGDQFH�WR� WKH�3HUPDQHQW�-RLQW�+HDGTXDUWHUV� � DV
WKH�VLWXDWLRQ�UHTXLUHV�
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
QDWLRQV��RU�ZLWK�1$72�DQG�:HVWHUQ�(XURSHDQ�8QLRQ�SODQQLQJ�FHOOV��DV�QHFHVVDU\�
6XFK�ZRUN�ZLOO�EH�FR�RUGLQDWHG�ZLWK�GLSORPDWLF�DFWLYLW\�DLPHG�DW�UHVROYLQJ�WKH�FULVLV��LI�SRVVLEOH�
ZLWKRXW� UHFRXUVH� WR�PLOLWDU\� DFWLRQ�� � 3ODQQLQJ� DQG� GHFLVLRQ�PDNLQJ�ZLOO� EH� LQIOXHQFHG� E\� WKH
VWUDWHJLF�FRQVLGHUDWLRQV�GLVFXVVHG�LQ�&KDSWHU���
� 'UDZLQJ�RQ�WKH�&KLHIV�RI�6WDII�&RPPLWWHH��WKH�&KLHI�RI�WKH�'HIHQFH�6WDII�DQG�WKH�3HUPDQHQW
8QGHU�6HFUHWDU\�ZLOO�RIIHU�LQLWLDO�DGYLFH�WR�0LQLVWHUV���,I�0LQLVWHUV�GHFLGH�WR�SURFHHG�IXUWKHU�DQG
UHTXLUH�PLOLWDU\�FRXUVHV�RI�DFWLRQ� WR�EH�GHYHORSHG� LQ�GHWDLO�� LW�PD\� WKHQ�EH�DSSURSULDWH� IRU� WKH
&KLHI�RI�WKH�'HIHQFH�6WDII�WR�VXSSOHPHQW�HDUOLHU�LQLWLDO�SODQQLQJ�JXLGDQFH�E\�LVVXLQJ�D�3ODQQLQJ
'LUHFWLYH�WR�WKH�&KLHI�RI�-RLQW�2SHUDWLRQV�DQG�UHOHYDQW�VXSSRUWLQJ�FRPPDQGHUV�
$��
� 7KH�0LQLVWU\�RI�'HIHQFH�+HDGTXDUWHUV�&XUUHQW�&RPPLWPHQW�7HDP�DQG�WKH�3HUPDQHQW�-RLQW
+HDGTXDUWHUV� &RQWLQJHQF\� 3ODQQLQJ� 7HDP� MRLQWO\� FRPSOHWH� D� 6WUDWHJLF� (VWLPDWH�� LQFOXGLQJ
PLVVLRQ�DQDO\VLV��ZLWK�WKH�&RQWLQJHQF\�3ODQQLQJ�7HDP�FRQVXOWLQJ�VXSSRUWLQJ�FRPPDQGV���7KLV
OHDGV�WR�WKH�VXEVHTXHQW�SURYLVLRQ�RI�DGYLFH�WR�WKH�&KLHI�RI�WKH�'HIHQFH�6WDII�DQG�0LQLVWHUV�RQ
WKH�IHDVLELOLW\�RI� LQWHUYHQWLRQ�� WKH�QDWXUH�DQG�VFDOH�RI� IRUFHV� UHTXLUHG�� WKH� LPSOLFDWLRQV�DQG� WKH
OLNHO\�FRVWV��,W�DGGUHVVHV�RSWLRQV�DQG�UHFRPPHQGV�D�SUHIHUUHG�FRXUVH�RI�DFWLRQ�
� 2QFH�0LQLVWHUV��LQGLYLGXDOO\��LQ�&DELQHW�RU�LQ�WKH�2YHUVHDV�3ROLF\�DQG�'HIHQFH�&RPPLWWHH
RI�WKH�FDELQHW��DV�DSSURSULDWH��KDYH�DJUHHG�WKH�FRXUVH�RI�DFWLRQ��WKH�&KLHI�RI�WKH�'HIHQFH�6WDII
LVVXHV�D�VWUDWHJLF�GLUHFWLYH�WR�WKH�QRPLQDWHG�-RLQW�&RPPDQGHU���7KLV�VWDWHV�WKH�PLOLWDU\�VWUDWHJLF
REMHFWLYHV�� WKH� GHVLUHG� HQG� VWDWH� DQG� FRQVWUDLQWV� WR� EH� DSSOLHG� WR� RSHUDWLRQDO� SODQQLQJ�
$GGLWLRQDOO\��WKH�&KLHI�RI�WKH�'HIHQFH�6WDIIV�'LUHFWLYH�ZLOO�XVXDOO\�LQFOXGH�
x 'HWDLO�RI�WKH�IRUFHV�DQG�UHVRXUFHV�WR�EH�DOORFDWHG�WR�WKH�WKHDWUH�RI�RSHUDWLRQV�
x 'HVLJQDWLRQ�RI�WKH�WKHDWUH�RI�RSHUDWLRQV��WKH�DQWLFLSDWHG�GXUDWLRQ�RI�WKH�FDPSDLJQ��WKH
OHJDO�SRVLWLRQ�DQG�UXOHV�RI�HQJDJHPHQW�
x &RPPDQG�DUUDQJHPHQWV�� LQFOXGLQJ� WKH� DSSRLQWPHQW�RI� WKH� -RLQW�)RUFH�&RPPDQGHU
DQG� FR�RUGLQDWLRQ� ZLWK� VXSSRUWLQJ� FRPPDQGHUV�� DOOLHV�� KRVW� QDWLRQV�� LQWHUQDWLRQDO
RUJDQLVDWLRQV�DQG�DJHQFLHV�
x 6HSDUDWH�ILQDQFLDO�LQVWUXFWLRQV�ZLOO�DOVR�EH�LVVXHG�
,Q�VRPH�FDVHV�WKH�&KLHI�RI�WKH�'HIHQFH�6WDIIV�GLUHFWLYH�PD\�JLYH�IXOO�DXWKRULW\�WR�SURFHHG�ZLWK
PLOLWDU\�DFWLRQ��LQ�RWKHU�FLUFXPVWDQFHV�LW�PD\�SHUPLW�RQO\�FRYHUW�RU�RYHUW�SUHSDUDWLRQV�EHIRUH�D
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
&ULVLV�0DQDJHPHQW�2UJDQLVDWLRQ�DQG�LQ�FRQFHUW�ZLWK�VXSSRUWLQJ�FRPPDQGV�
� 7KH�-RLQW�&RPPDQGHU�H[HUFLVHV�WKH�KLJKHVW�OHYHO�RI�RSHUDWLRQDO�FRPPDQG��LVVXLQJ�D�0LVVLRQ
'LUHFWLYH�WR�WKH�-RLQW�)RUFH�&RPPDQGHU��H[SDQGLQJ�XSRQ�WKH�PLOLWDU\�VWUDWHJLF�GLUHFWLRQ�LQ�WKH
&KLHI�RI�WKH�'HIHQFH�6WDIIV�'LUHFWLYH�DQG�LQFOXGLQJ�D�PLVVLRQ�VWDWHPHQW���6XEVHTXHQWO\�WKH�-RLQW
&RPPDQGHU�LV�UHVSRQVLEOH�IRU��JLYLQJ�IXUWKHU�GLUHFWLRQ�DQG�DGYLVLQJ�WKH�-RLQW�)RUFH�&RPPDQGHU
DV�QHFHVVDU\��GHSOR\LQJ��VXVWDLQLQJ�DQG�UHFRYHULQJ�WKH�IRUFH��DQG�IRU�PRQLWRULQJ�DQG�UHSRUWLQJ�WR
WKH�&KLHI�RI�WKH�'HIHQFH�6WDII�RQ�WKH�SURJUHVV�RI�WKH�FDPSDLJQ�
� 7KH�-RLQW�)RUFH�&RPPDQGHU�GHWHUPLQHV�WKH�FDPSDLJQ�SODQ�DQG�WKH�RSHUDWLRQDO�REMHFWLYHV�WR
EH�DFKLHYHG�DW�WKH�WDFWLFDO�OHYHO�E\�KLV�VXERUGLQDWH�FRPSRQHQW�FRPPDQGHUV���PDULWLPH��ODQG��DLU
DQG� VSHFLDO� IRUFHV�� � +H� DOORFDWHV� UHVRXUFHV�� VHWV� SULRULWLHV� DQG� GLUHFWV� HYHQWV�� LQWHJUDWLQJ� DQG
VHTXHQFLQJ�WKH�DFWLYLWLHV�RI�WKH�-RLQW�)RUFH�DV�UHTXLUHG�
� 0HDQZKLOH� WKH� 'HIHQFH� &ULVLV�0DQDJHPHQW� 2UJDQL]DWLRQ� FRQWLQXHV� WR�PRQLWRU� HYHQWV�� WR
DGYLVH�0LQLVWHUV�DQG�WR�DGMXVW�VWUDWHJLF�GLUHFWLRQ�DV�QHFHVVDU\�
� 0HGLD� 2SHUDWLRQV� ZLOO� EH� QHFHVVDU\� WKURXJKRXW� HDFK� FULVLV� DQG� RSHUDWLRQ� DQG� ZLOO� EH
FRQGXFWHG� LQ� DFFRUGDQFH� ZLWK� WKH� *RYHUQPHQWV� RYHUDOO� LQIRUPDWLRQ� FDPSDLJQ�� 5HOHYDQW
FRQVLGHUDWLRQV�DQG�SURFHGXUHV�DUH�VHW�RXW�LQ�:RUNLQJ�$UUDQJHPHQWV�ZLWK�WKH�0HGLD�LQ�WLPHV�RI
(PHUJHQF\��7HQVLRQ�&RQIOLFW�DQG�:DU��7KH�*UHHQ�%RRN��SXEOLVKHG�E\�WKH�0LQLVWU\�RI�'HIHQFHV
$��
3UHVV�6HFUHWDU\�DQG�&KLHI�RI�,QIRUPDWLRQ���6WDWHPHQWV�DQG�EULHILQJV�E\�PLQLVWHUV��VHQLRU�RIILFLDOV
DQG�PLOLWDU\�ILJXUHV�SURYLGH�WKH�EDVLV�RI�LQIRUPDWLRQ�DERXW�WKH�RYHUDOO�SROLWLFDO�VLWXDWLRQ�DQG�WKH
VWUDWHJLF� QDWXUH� RI� RSHUDWLRQV�� $� UDQJH� RI� PHGLD� IDFLOLWLHV� LV� QHFHVVDU\� WR� SHUPLW� ILUVW� KDQG
UHSRUWLQJ���(GLWRUV�DQG�RWKHU�PHGLD�UHSUHVHQWDWLYHV�DUH�DOVR�EULHIHG�LQ�WKH�8QLWHG�.LQJGRP�DQG
LQ�WKHDWUH�WR�HQVXUH�WKDW�WKH\�XQGHUVWDQG�WKH�EDFNJURXQG�VLWXDWLRQ�DQG�WKH�RSHUDWLRQDO�UHVSRQVH�
6SHFLDOLVW�3XEOLF�,QIRUPDWLRQ�VWDII�DUH�GHSOR\HG�WR�WKHDWUH�IRU�WKLV�WDVN�
� 7KURXJKRXW� WKH� FRQIOLFW�� WKHUH� ZLOO� EH� D� FR�RUGLQDWHG� SURFHVV� RI� OHDUQLQJ� DQG� DSSO\LQJ
OHVVRQV� IURP� H[SHULHQFH�� � 3RVW� KRVWLOLWLHV� WKHUH� ZLOO� EH� D� WKRURXJK� DQDO\VLV� RI� RSHUDWLRQV� WR
GHULYH�OHVVRQV�DSSOLFDEOH�WR�WKH�IXWXUH�GHYHORSPHQW�RI�GRFWULQH��IRUFH�VWUXFWXUHV�DQG�FDSDELOLWLHV�
HMS Ark Royal leavingPortsmouth harbour.
$��
TOP:
A Nimrod MR2 on maritime patrol accompanied by Tornados armed with SeaEagle anti-ship missiles.
BOTTOM:
Puma and Chinook support helicopters flying troops into a landing site duringan 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
EDFNJURXQG�RI�D�YRODWLOH�DQG�XQSUHGLFWDEOH�ZRUOG��LW�KDV�HPSKDVLVHG�WKH�EURDG�QDWXUH�RI�VHFXULW\
SROLF\��UHIOHFWLQJ�WKH�ZLGHU�IRUHLJQ�SROLF\�DQG�HFRQRPLF�LQWHUHVWV�RI�WKH�1DWLRQ�
� %ULWLVK�'HIHQFH�'RFWULQH� SURYLGHV� D� FRPPRQ� DSSURDFK� IRU� DOO� WKUHH� 6HUYLFHV� WR� IDFH� WKH
FKDOOHQJHV�RI�WKH�FORVLQJ�\HDUV�RI�WKLV�FHQWXU\���+RZHYHU��LQ�PHHWLQJ�WKRVH�FKDOOHQJHV��IOH[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
GHEDWH��DQG�LW�PXVW�QRW�EH�UHJDUGHG�DV�GRJPD�
� %ULWLVK�'HIHQFH�'RFWULQH�ZLOO�HYROYH�WR�UHIOHFW�IUHVK�H[SHULHQFH�RU�FKDQJLQJ�FLUFXPVWDQFHV�
$FFRUGLQJO\��WKLV�SXEOLFDWLRQ�ZLOO�EH�XSGDWHG�SHULRGLFDOO\���7KH�FXVWRGLDQ�LV�WKH�'LUHFWRU�RI�-RLQW
:DUIDUH�LQ�WKH�0LQLVWU\�RI�'HIHQFH��0DLQ�%XLOGLQJ��WR�ZKRP�DQ\�FRPPHQWV�RU�VXJJHVWLRQV�IRU
LPSURYHPHQW�VKRXOG�EH�VHQW�
$��
Annex A
THE PRINCIPLES OF WAR
Introduction
� $�VWXG\�RI�WKH�KLVWRU\�RI�ZDU�UHYHDOV�WKDW�LWV�FRQGXFW�LV�LQIOXHQFHG�E\�FHUWDLQ�EURDG�SUHFHSWV
ZKLFK�KDYH�FRPH�WR�EH�UHFRJQLVHG�DV�WKH�3ULQFLSOHV�RI�:DU���7KHVH�SULQFLSOHV�KDYH�SURYHG�WR�EH
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
%ULWLVK�3ULQFLSOHV�RI�:DU�UHIOHFW�WKH�SDUWLFXODU�FLUFXPVWDQFHV�RI�WKH�8QLWHG�.LQJGRP�
� 7KH�7HQ�3ULQFLSOHV�RI�:DU� IRUP�SDUW�RI� WKH�FRQFHSWXDO�FRPSRQHQW�RI�DOO�PLOLWDU\�GRFWULQH�
LQIRUPLQJ� WKH� FRQGXFW�RI�RSHUDWLRQV� WKURXJKRXW� WKH� VSHFWUXP�RI� FRQIOLFW�� �7KH\� DUH� HVSHFLDOO\
UHOHYDQW�DW� WKH�PLOLWDU\�VWUDWHJLF� OHYHO��ZKHUH�WKH\�HVWDEOLVK�D�QXPEHU�RI�FULWHULD�DJDLQVW�ZKLFK
FRXUVHV�RI�DFWLRQ�DIIHFWLQJ�WKH�QDWLRQDO�LQWHUHVW��LQFOXGLQJ�GHIHQFH�LQYHVWPHQW�GHFLVLRQV�DQG�WKH
SODQQLQJ�RI�D�FDPSDLJQ��PD\�EH�WHVWHG�� �7KH�SULQFLSOHV�DOVR�KDYH�D�GLUHFW�DSSOLFDWLRQ�DW� ORZHU
OHYHOV�� SURYLGLQJ� JXLGHV� WR� DFWLRQ�� � +RZHYHU�� WKHLU� UHOHYDQFH�� DSSOLFDELOLW\� DQG� UHODWLYH
LPSRUWDQFH�FKDQJH�ZLWK�WKH�FLUFXPVWDQFHV���7KH\�QHHG�WR�EH�DSSOLHG�ZLWK�MXGJHPHQW�DQG�VNLOO�
LQ�WKH�SDVW�WKLV�KDV�OHG�WR�YLFWRU\���%ODWDQW�GLVUHJDUG�RI�WKHP�LQYROYHV�FDUHOHVV�ULVN�DQG�FRXOG�OHDG
WR�IDLOXUH�
� 'HILQHG�DW�WKH�PLOLWDU\�VWUDWHJLF�OHYHO��WKH�7HQ�3ULQFLSOHV�DUH�H[SODLQHG�LQ�WKH�SDUDJUDSKV�WKDW
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
HQJDJHPHQW��ZKLOVW�RWKHUV�DUH�JXLGHV�WR�WKH�ZD\�LQ�ZKLFK�WKH�HQJDJHPHQW�VKRXOG�EH�FRQGXFWHG
DQG�VXVWDLQHG���7KH�VHOHFWLRQ�RI�D�FOHDU�DQG�GHOLEHUDWH�DLP��WKH�FUHDWLRQ�DQG�PDLQWHQDQFH�RI�KLJK
PRUDOH��WKH�LPSRVLWLRQ�RI�WLJKW�VHFXULW\�OHDGLQJ�WR�VXUSULVH��DUH�DOO�SUHFXUVRUV�WR�RIIHQVLYH�DFWLRQ�
ZKLFK�VKRXOG�HPERG\�WKH�SULQFLSOHV�RI�FRQFHQWUDWLRQ�RI�IRUFH��HFRQRP\�RI�HIIRUW��IOH[LELOLW\��FR�
RSHUDWLRQ�DQG�VXVWDLQDELOLW\�>IRUPHUO\�FDOOHG�DGPLQLVWUDWLRQ@���6HOHFWLRQ�DQG�PDLQWHQDQFH�RI�WKH
DLP�LV�WKH�FDUGLQDO�SULQFLSOH���7KH�UHODWLYH�LPSRUWDQFH�DQG�UHOHYDQFH�RI�WKH�RWKHU�SULQFLSOHV�DUH
OLNHO\�WR�YDU\�DFFRUGLQJ�WR�WKH�FLUFXPVWDQFHV���,QWHOOLJHQFH��ZKLOVW�QRW�LWVHOI�D�3ULQFLSOH�RI�:DU�LV
WKH�FDWDO\VW�RU�NH\�WR��WKH�VHOHFWLRQ�RI�WKH�DLP��VXUSULVH��RIIHQVLYH�DFWLRQ��FRQFHQWUDWLRQ�RI�IRUFH�
HFRQRP\�RI�HIIRUW��IOH[LELOLW\��DQG�VXVWDLQDELOLW\�
The Selection and Maintenance of the Aim
� ,Q�WKH�FRQGXFW�RI�ZDU�DV�D�ZKROH��DQG�LQ�HYHU\�PLOLWDU\�RSHUDWLRQ��LW�LV�HVVHQWLDO�WR�VHOHFW�DQG
GHILQH� WKH� DLP� FOHDUO\�� � 7KH� XOWLPDWH� DLP� PD\� EH� DEVROXWH�� WKH� RYHUWKURZ� RI� D� KRVWLOH
JRYHUQPHQW��RU�LW�PD\�EH�PRUH�OLPLWHG��IRU�H[DPSOH�WKH�UHFRYHU\�RI�WHUULWRU\���$W�WKH�JUDQG�DQG
PLOLWDU\�VWUDWHJLF�OHYHOV��WKH�GLUHFWLRQ�RI�RSHUDWLRQV�LQ�SXUVXLW�RI�SROLF\�REMHFWLYHV�LV�WKH�UHVXOW�RI
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�
� 7KH�SXUSRVH�KDYLQJ�EHHQ�GHILQHG��LW�LV�DOVR�IXQGDPHQWDOO\�LPSRUWDQW�WKDW�WKH�DLP�LV�VXVWDLQHG
DQG�WKDW�WKH�DSSOLFDWLRQ�RI�IRUFH�LV�PDWFKHG�WR�WKH�GHVLUHG�HQG�VWDWH���3ODQV�PXVW�EH�FRQWLQXDOO\
$��
FKHFNHG� DJDLQVW� WKH� SXUSRVH� RI� WKH� FDPSDLJQ� RU� RSHUDWLRQ� WR� HQVXUH� WKDW� WKH\� DUH� NHSW� LQ
KDUPRQ\��DQG�WKDW�WKH�DLP�UHPDLQV�YDOLG�
Maintenance of Morale
� %HFDXVH�VXFFHVV�RQ�RSHUDWLRQV�GHSHQGV�DV�PXFK�RQ�PRUDO�DV�PDWHULDO�DQG�HTXLSPHQW�IDFWRUV�
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
SURYRFDWLRQ�DQG�DGYHUVLW\��DQG�LW�VXVWDLQV�RIIHQVLYH�VSLULW�DQG�FRKHVLRQ���,W�FDQ�LQVSLUH�WKH�DUPHG
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�
&RKHVLRQ�LV�DOVR�ERUQ�RI�KLJK�DQG�GHPDQGLQJ�WUDLQLQJ�VWDQGDUGV��D�GHWHUPLQDWLRQ�WR�VXFFHHG�DQG
DQ� HWKLFDOO\� EDVHG� FRGH� RI� SHUVRQDO� FRQGXFW� LQ� SHDFH� ZKLFK� GRHV� QRW� WKUHDWHQ� RU� XQGHUPLQH
FRKHVLRQ�RQ�RSHUDWLRQV�� �7KH�SURYLVLRQ�RI�PDWHULDO�FRQGLWLRQV� LQ� WKH�FLUFXPVWDQFHV�DW� WKH� WLPH
JLYH� D�PHDVXUH� RI� WKH�PDQV�ZRUWK� WR� WKRVH� UHVSRQVLEOH� IRU� SURYLGLQJ� WKRVH� FRQGLWLRQV� WR� WKH
PDQ���7KLV�KDV�D�EHDULQJ�RQ�PRUDOH�
Security
� $�GHJUHH�RI�VHFXULW\�E\�SK\VLFDO�SURWHFWLRQ�DQG�LQIRUPDWLRQ�GHQLDO�LV�HVVHQWLDO�WR�DOO�PLOLWDU\
RSHUDWLRQV�� � 6HFXULW\� VKRXOG� HQDEOH� IULHQGO\� IRUFHV� WR� DFKLHYH� WKHLU� REMHFWLYHV� GHVSLWH� WKH
HQHP\V� LQWHUIHUHQFH�� � $FWLYH� PHDVXUHV� LQFOXGH� WKH� GHIHQFH� RI� EDVHV� DQG� HQWU\� SRLQWV�� WKH
PDLQWHQDQFH�RI�D�IDYRXUDEOH�DLU�VLWXDWLRQ��WKH�SURWHFWLRQ�RI�IODQNV�DQG�PDLQWHQDQFH�RI�DGHTXDWH
UHVHUYHV���7KH�WKUHH�SULQFLSOHV�RI�FRQFHQWUDWLRQ�RI�IRUFH��HFRQRP\�RI�HIIRUW�DQG�VHFXULW\�DUH�DOO
FORVHO\�LQWHUUHODWHG���$WWHPSWV�WR�JXDUG�DJDLQVW�HYHU\�WKUHDW�FRXOG��KRZHYHU��UHVXOW�LQ�ZHDNQHVV
DQG�ULVNV�ZLOO�KDYH�WR�EH�WDNHQ�LQ�DFKLHYLQJ�WKH�EDODQFH�EHWZHHQ�WKRVH�RSHUDWLRQV�ZKLFK�HQKDQFH
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\�WR�GHQ\�LQIRUPDWLRQ�WR�WKH�HQHP\��DQG�GHFHSWLRQ�
Surprise
� 6XUSULVH�LV�D�SRWHQW�SV\FKRORJLFDO�ZHDSRQ���,W�FDXVHV�FRQIXVLRQ�DQG�SDUDO\VLV�LQ�WKH�HQHP\V
FKDLQ�RI�FRPPDQG�DQG�FDQ�GHVWUR\�WKH�FRKHVLRQ�DQG�PRUDOH�RI�KLV�PLOLWDU\�XQLWV���6XUSULVH�PD\
EH�DFFRPSOLVKHG�HLWKHU�E\�D�UXVH�RU�E\�H[SORLWLQJ�QHZ�HTXLSPHQWV��WHFKQRORJ\�DQG�WHFKQLTXHV�
,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
VLJQLILFDQW�ZD\�RI�VHL]LQJ�WKH�LQLWLDWLYH�DW�DOO�OHYHOV�RI�ZDU��DOWKRXJK�LW�WHQGV�WR�EH�IRUJRWWHQ�LQ
SHDFH�� � ,W� FDQQRW�EH�HIIHFWLYH�RQ� LWV�RZQ�DV� LW� LV� D� FRQGLWLRQ� IRU� VXFFHVV�� QRW� VXFFHVV� LQ� LWVHOI�
+RZHYHU��KLVWRULFDO�DQDO\VLV�VKRZV�WKDW��PRUH�WKDQ�DQ\�RWKHU�VLQJOH�IDFWRU��VXUSULVH�LV�WKH�PRVW
FUXFLDO�SUH��FRQGLWLRQ�WR�VXFFHVV�
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\�WR�VHFXUH�D�GHFLVLRQ���7KH�SULQFLSOH�RI�RIIHQVLYH�DFWLRQ�HPERGLHV�D�VWDWH�RI�PLQG�ZKLFK
EUHHGV�WKH�GHWHUPLQDWLRQ�WR�JDLQ�DQG�KROG�WKH�LQLWLDWLYH�DQG�WR�FUHDWH�RSSRUWXQLWLHV�WR�KDUDVV�DQG
GHVWUR\�WKH�HQHP\���,Q�DUPHG�FRQIOLFW��PDWHULDO�DQG�PRUDOH�FRPELQH���3ROLWLFDO�FRQVWUDLQWV�PD\
OLPLW�WKH�DUHD�DQG�VFDOH�RI�WKH�DWWDFNV�SHUPLWWHG�RQ�HQHP\�IRUFHV�EXW��LQ�DQ\�HYHQW��WKH�SK\VLFDO
GHVWUXFWLRQ� RI� KLV� IRUFHV� LV� EXW� RQH� ZD\� WR� GHIHDW� KLP�� � 3ROLWLFDO�� GLSORPDWLF� DQG� HFRQRPLF
SUHVVXUHV�ZLOO�DOVR�EH�EURXJKW�WR�EHDU�WKURXJK�LQWHUQDWLRQDO�ERGLHV�DQG�DSSOLHG�WR�LQIOXHQFH�KLV
GRPHVWLF�SXEOLF�RSLQLRQ�
� 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
GHIHQVLYH�DFWLRQV���7KH�FUXFLDO�SRLQW�LQ�HLWKHU�FLUFXPVWDQFH�LV�WKH�QHHG�IRU�GHFLVLYH�DFWLRQ�E\�WKH
FRPPDQGHU�
Concentration of Force
� 0LOLWDU\�VXFFHVV�ZLOO�QRUPDOO\�UHVXOW�IURP�WKH�FRQFHQWUDWLRQ�RI�VXSHULRU�IRUFH�DW�WKH�GHFLVLYH
WLPH�DQG�SODFH��ZKHWKHU�PDWHULDO�RU�SV\FKRORJLFDO�RU�D�FRPELQDWLRQ�RI�ERWK���,W�PD\�EH�YDULRXVO\
DFKLHYHG��IRU�H[DPSOH�E\�FDSLWDOLVLQJ�RQ�WKH�VSHHG��IOH[LELOLW\�DQG�UHDFK�RI�DLU�SRZHU��RU�E\�WKH
PDVVLQJ�RI�SUHYLRXVO\�GLVSHUVHG�JURXQG�IRUFHV���7KH�XQGHUO\LQJ�SULQFLSOH�LV�WKH�FRQFHQWUDWLRQ�RI
IRUFH�DW� WKH�SRLQW�RI�PDLQ�HIIRUW��ZLWKLQ�RU�EHWZHHQ�FDPSDLJQV��ZKLOVW�HFRQRPLVLQJ�HOVHZKHUH�
$W� WKH�PLOLWDU\�VWUDWHJLF� OHYHO�� WKLV�SULQFLSOH� LPSOLHV� WKH�DELOLW\� WR�PDNH�DQG� LPSOHPHQW� WLPHO\
GHFLVLRQV��UDSLGO\�WUDQVODWLQJ�FKDQJLQJ�SROLF\�REMHFWLYHV�LQWR�UHYLVHG�GLUHFWLYHV�DQG�REMHFWLYHV�
Economy of Effort
� 7KH�FRUROODU\�RI�FRQFHQWUDWLRQ�RI� IRUFH�LV�HFRQRP\�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
FRPELQHG�ZLWK�WKH�SUXGHQW�DOORFDWLRQ�RI�UHVRXUFHV�VWULFWO\�UHODWHG�WR�WKH�DLP�
� 6LQFH� PLOLWDU\� IRUFH� PD\� EH� HPSOR\HG� RQ� RSHUDWLRQV� IRU� ZKLFK� QR� SUH�SODQQHG� VROXWLRQ
H[LVWV�� DQG� ZLWK� OLWWOH� SUHSDUDWLRQ� WLPH�� PLOLWDU\� VWUDWHJLF� SODQQLQJ� PD\� KDYH� WR� EHJLQ� LQ� WKH
DEVHQFH�RI�D�FOHDU�PLVVLRQ�DQG�FRQFXUUHQW�ZLWK�SROLWLFDO�DQG�GLSORPDWLF�DFWLYLWLHV�� �2SWLRQV�IRU
IRUFH�VWUXFWXUHV�ZLOO��WKHUHIRUH��EH�HYROXWLRQDU\�DQG�PD\�EH�IXUWKHU�FRQVWUDLQHG�E\�FRPSOLFDWHG
FRPPDQG� DQG� FRQWURO� DUUDQJHPHQWV�� UHVWULFWLYH� UXOHV� RI� HQJDJHPHQW� DQG� SROLWLFDO� OLPLWDWLRQV�
(FRQRP\�RI�HIIRUW�PD\�DOVR�HPEUDFH�KLJK�YDOXH�VWUDWHJLF�DQG�FRPSRQHQW�IRUFH�FDSDELOLWLHV�
Flexibility
� $OWKRXJK� WKH�DLP�PD\�QRW�DOWHU�� D�FRPPDQGHU�ZLOO�EH� UHTXLUHG� WR� H[HUFLVH� MXGJHPHQW� DQG
IOH[LELOLW\�LQ�PRGLI\LQJ�SODQV�WR�WDNH�DGYDQWDJH�RI�IOHHWLQJ�FLUFXPVWDQFHV�RU�WR�UHIOHFW�D�FKDQJH
LQ�SROLWLFDO�RU�PLOLWDU\�HPSKDVLV���)OH[LELOLW\�GHSHQGV�XSRQ�RSHQQHVV�RI�PLQG�DQG�VLPSOH�SODQV
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
DVVLJQHG�WR�RULJLQDWH�DQG�H[HFXWH�SODQV�WR�PHHW�WKH�GHVLUHG�HQG�VWDWH�
$��
Co-operation
� 0RVW�PLOLWDU\�RSHUDWLRQV�DUH� MRLQW�HQWHUSULVHV�� LQYROYLQJ�FR�RSHUDWLRQ�EHWZHHQ� WKH� VHUYLFHV
FRQFHUQHG��EHWZHHQ� WKH� VHUYLFHV� DQG� WKH�FLYLO� DXWKRULWLHV�� DQG�EHWZHHQ�DOOLHV�� �&R�RSHUDWLRQ� LV
EDVHG� RQ� WHDP� VSLULW� DQG� WUDLQLQJ�� DQG� HQWDLOV� WKH� FR�RUGLQDWLRQ� RI� DOO� DFWLYLWLHV� WR� DFKLHYH� DQ
RSWLPXP�FRPELQHG�HIIRUW�� �7KUHH�HOHPHQWV�DUH�HVVHQWLDO� WR�FR�RSHUDWLRQ�� �JRRGZLOO��D�FRPPRQ
DLP�DQG� D� FOHDU� GLYLVLRQ� RI� UHVSRQVLELOLWLHV� LQFOXGLQJ� DQ� XQGHUVWDQGLQJ� RI� WKH� FDSDELOLWLHV� DQG
OLPLWDWLRQV�RI�RWKHUV�
� ,Q�FRPELQHG�RSHUDWLRQV��WKH�SROLWLFDO�GLPHQVLRQ�LV�DOO�HQFRPSDVVLQJ�EXW�DOVR�PRUH�GLYHUVH�
: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
ZLOO�QHHG�WR�EH�KDUPRQLVHG�WKURXJK�FRQVHQVXV��SDUWLFXODUO\�WKRVH�UHJDUGLQJ�WKH�GHVLUHG�HQG�VWDWH�
7KH� QHHG� WR�PDLQWDLQ� FRQVHQVXV�ZLOO� EH� SDUDPRXQW� LQ� RUGHU� WR� SUHVHUYH� SROLWLFDO� DQG�PLOLWDU\
FRKHVLRQ�DQG�XQLW\�RI�HIIRUW�HVVHQWLDO�WR�VXFFHVV�
Sustainability - [formerly called Administration]
� 7KH� WHUP� $GPLQLVWUDWLRQ� HQFRPSDVVHG� DOO� DVSHFWV� RI� WKH� SK\VLFDO�� PRUDO� DQG� VSLULWXDO
PDLQWHQDQFH�RI�D�IRUFH���6XVWDLQDELOLW\�KDV�WKH�VDPH�PHDQLQJ�
� 7KLV�SULQFLSOH�LV�FRQFHUQHG�ZLWK�WKH�VXVWDLQPHQW�RI�D�IRUFH�GXULQJ�HYHU\�VWDJH�RI�D�FDPSDLJQ
RU�RSHUDWLRQ� IURP� IRUFH� JHQHUDWLRQ�� WKURXJK� GHSOR\PHQW� DQG� RSHUDWLRQV� LQ� WKHDWUH� WR� UHFRYHU\
DQG�UHFXSHUDWLRQ�DIWHUZDUGV�� � ,W� LV�DOVR�FRQFHUQHG�ZLWK� WKH�DELOLW\�RI� WKH� IRUFH� WR�PDLQWDLQ�DQG
VXVWDLQ� WKH� QHFHVVDU\� FRPEDW� SRZHU� IRU� WKH� GXUDWLRQ� UHTXLUHG� WR� DFKLHYH� LWV� REMHFWLYHV�� � ,W
FRQFHUQV�WKH�VXVWHQDQFH�RI�SHUVRQQHO��LQ�PRUDO�DV�ZHOO�DV�SK\VLFDO�WHUPV���WKH�PDLQWHQDQFH�DQG
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
ILJKW�DQG�ZLQ�ZLOO�EH�ORVW�
� 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�� � $� FOHDU� DSSUHFLDWLRQ� RI� WKH
ORJLVWLF� FRQVWUDLQWV� LV� DV� LPSRUWDQW� WR� D
FRPPDQGHU� DV� KLV� DELOLW\� WR� PDNH� D
VRXQG�HVWLPDWH�RI�WKH�VLWXDWLRQ���1R�SODQ
FDQ� VXFFHHG� ZLWKRXW� ORJLVWLF� VXSSRUW
FRPPHQVXUDWH� ZLWK� WKH� DLP� RI� WKH
RSHUDWLRQ�� � ,W� IROORZV�� WKHUHIRUH�� WKDW� D
FRPPDQGHU� PXVW� KDYH� D� GHJUHH� RI
FRQWURO� RYHU� WKH� ORJLVWLF� SODQ� ZKLFK
PDWFKHV� WKH� OHYHO� RI� UHVSRQVLELOLW\� IRU
WKH�RSHUDWLRQ���6FDUFH�UHVRXUFHV�PXVW�EH
FRQWUROOHG� DW� D� KLJK� OHYHO� DQG� WKH� ORJLVWLF� RUJDQLVDWLRQ� PXVW� EH� IOH[LEOH� HQRXJK� WR� UHDFW� WR
FKDQJHV�LQ�WKH�PRVW�HFRQRPLF�ZD\�
Medical support is an essential element of sustainment.
%��
Annex BCONFLICT AND LEGALITY
International Law
� 7KHUH� DUH� WZR�PDLQ� DUHDV�RI� LQWHUQDWLRQDO� ODZ� UHOHYDQW� WR�DUPHG�FRQIOLFW�� � WKH� UXOHV�ZKLFK
GHWHUPLQH�ZKHQ�IRUFH�PD\�EH�XVHG�E\�D�VWDWH� �MXV�DG�EHOOXP���DQG� WKH� ODZV�RI�DUPHG�FRQIOLFW�
ZKLFK�UHJXODWH�WKH�FRQGXFW�RI�KRVWLOLWLHV�RQFH�DQ�DUPHG�FRQIOLFW�KDV�VWDUWHG��MXV�LQ�EHOOR����5XOHV
RI�LQWHUQDWLRQDO�ODZ�PD\�GHULYH�HLWKHU�IURP�FXVWRPDU\�LQWHUQDWLRQDO�ODZ��ZKLFK�KDV�EHHQ�FUHDWHG
RYHU�WLPH�E\�WKH�SUDFWLFH�RI�VWDWHV��RU�IURP�WUHDWLHV���7KH�PDMRU�WUHDWLHV�LQYROYHG�DUH�WKH�&KDUWHU
RI�WKH�8QLWHG�1DWLRQV���������WKH�+DJXH�&RQYHQWLRQV�������DQG��������WKH�*HQHYD�&RQYHQWLRQV
������� DQG� WKH�$GGLWLRQDO� 3URWRFROV� WR� WKH�*HQHYD�&RQYHQWLRQV� �������� �7UHDWLHV� DUH� ELQGLQJ
RQO\�LQ�GLVSXWHV�EHWZHHQ�VWDWHV�WKDW�DUH�SDUWLHV�WR�WKH�WUHDWLHV���9LUWXDOO\�DOO�VWDWHV�DUH�PHPEHUV�RI
WKH�8QLWHG�1DWLRQV�DQG�SDUW\� WR� WKH�*HQHYD�&RQYHQWLRQV��EXW�VRPH�VWDWHV�KDYH� \HW� WR�EHFRPH
SDUW\� WR� WKH� $GGLWLRQDO� 3URWRFROV�� � 1HYHUWKHOHVV�� HYHQ� LI� D� WUHDW\� LV� QRW� ELQGLQJ� DV� VXFK�� LWV
SURYLVLRQV�PD\�EH�LPSRUWDQW� LI� WKH\�DUH� UHJDUGHG�DV�DXWKRULWDWLYH�VWDWHPHQWV�RI�FXVWRPDU\� ODZ
ZKLFK�DUH�ELQGLQJ�RQ�DOO�VWDWHV���0XFK�RI�WKH�MXV�DG�EHOOXP�LV�LQFRUSRUDWHG�LQ�WKH�8QLWHG�1DWLRQV
&KDUWHU�
The United Nations
� 7KH�ILUVW�SXUSRVH�RI�WKH�8QLWHG�1DWLRQV�LV�GHVFULEHG�LQ�$UWLFOH���RI�WKH�&KDUWHU�DV�
�7R� PDLQWDLQ� LQWHUQDWLRQDO� SHDFH� DQG� VHFXULW\�� DQG� WR� WKDW� HQG�� WR� WDNH� HIIHFWLYH
FROOHFWLYH�PHDVXUHV�IRU� WKH�SUHYHQWLRQ�DQG�UHPRYDO�RI� WKUHDWV� WR� WKH�SHDFH��DQG�IRU� WKH
VXSSUHVVLRQ�RI�DFWV�RI�DJJUHVVLRQ�RU�RWKHU�EUHDFKHV�RI�WKH�SHDFH��DQG�WR�EULQJ�DERXW�E\
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
EUHDFK�RI�WKH�SHDFH��
� 7KH� &KDUWHU� EDQV� WKH� WKUHDW� RU� WKH� XVH� RI� IRUFH�� IRU� WKH� VHWWOHPHQW� RI� GLVSXWHV�� ZKLOH
SUHVHUYLQJ�WKH�LQKHUHQW�ULJKW�RI�VHOI�GHIHQFH��� ,W�HPSRZHUV� � WKH�6HFXULW\�&RXQFLO� WR� LQYHVWLJDWH
WKUHDWV�WR�LQWHUQDWLRQDO�SHDFH�DQG�VHFXULW\�DQG�WR�DXWKRULVH�WKH�XVH�RI�PLOLWDU\�IRUFH�WR�PDLQWDLQ
RU�UHVWRUH�SHDFH�DQG�VHFXULW\�
x $UWLFOH� �� SURKLELWV� WKH� WKUHDW� RU� WKH� XVH� RI� IRUFH� DJDLQVW� WKH� WHUULWRULDO� LQWHJULW\� RU
SROLWLFDO�LQGHSHQGHQFH�RI�DQ\�VWDWH���6WDWHV�PXVW�VHWWOH�WKHLU�LQWHUQDWLRQDO�GLVSXWHV�E\
SHDFHIXO�PHDQV�
x $UWLFOH� ��� GHDOV�ZLWK� WKH� VHWWOHPHQW� RI� GLVSXWHV� E\� D� YDULHW\� RI� SHDFHIXO�PHDVXUHV
LQFOXGLQJ� QHJRWLDWLRQ�� HQTXLU\�� PHGLDWLRQ�� FRQFLOLDWLRQ�� DUELWUDWLRQ� DQG� MXGLFLDO
VHWWOHPHQW�
x $UWLFOH����HPSRZHUV�WKH�8QLWHG�1DWLRQV�6HFXULW\�&RXQFLO�WR�GHWHUPLQH�WKH�H[LVWHQFH
RI�WKUHDWV�WR�WKH�SHDFH�DQG�PDNH�UHFRPPHQGDWLRQV�RU�GHFLGH�ZKDW�PHDVXUHV�QHHG�WR
EH�WDNHQ�WR�UHVWRUH� LQWHUQDWLRQDO�SHDFH�DQG�VHFXULW\�� �6XFK�PHDVXUHV�FDQ� LQFOXGH�� LQ
� The Charter prohibits the threat or the use of force, rather than attempting to prohibit recourse to war. This avoids the problems
which the League of Nations suffered in deciding whether a particular conflict constituted war in the formal sense.
%��
WKH� ILUVW� LQVWDQFH�� SURYLVLRQDO� PHDVXUHV� WR� SUHYHQW� DQ� DJJUDYDWLRQ� RI� WKH� VLWXDWLRQ
�$UWLFOH������HFRQRPLF�DQG�GLSORPDWLF�SUHVVXUH��$UWLFOH�����DQG��VXFK��DFWLRQ�E\�DLU�
VHD��RU� ODQG� IRUFHV�DV�PD\�EH�QHFHVVDU\� WR�PDLQWDLQ�RU�UHVWRUH� LQWHUQDWLRQDO�SHDFH
DQG�VHFXULW\����$UWLFOH����
x $UWLFOH����SUHVHUYHV� WKH� LQKHUHQW� ULJKW�RI� LQGLYLGXDO�RU� FROOHFWLYH� VHOI�GHIHQFH� 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
FLUFXPVWDQFHV�LQ�ZKLFK�DQ�DUPHG�DWWDFN�PD\�EH�FRQVWUXHG�WR�KDYH�RFFXUUHG�DQG�WKH
GHJUHH�RI�IRUFH�ZKLFK�LW�LV�OHJLWLPDWH�WR�XVH�LQ�VHOI�GHIHQFH�DUH�LVVXHV�ZKLFK�FDQ�OHDG
WR� OHJDO� GHEDWH�� �7KH� XVH� RI� IRUFH� IRU� VHOI� GHIHQFH� LV� VXEMHFW� WR� WKH� ODZV� RI� DUPHG
FRQIOLFW��SDUWLFXODUO\�WKH�SULQFLSOH�RI�SURSRUWLRQDOLW\�
x $UWLFOH� ��� SUHVHUYHV� WKH� RSWLRQ� RI� WKH� SDFLILF� VHWWOHPHQW� RI� ORFDO� GLVSXWHV� WKURXJK
UHJLRQDO� DUUDQJHPHQWV� RU� DJHQFLHV�� IRU� H[DPSOH�� WKH�2UJDQL]DWLRQ� IRU� 6HFXULW\� DQG
&R�RSHUDWLRQ� LQ� (XURSH�� WKH�2UJDQL]DWLRQ� RI�$PHULFDQ� 6WDWHV�� WKH�2UJDQL]DWLRQ� RI
$IULFDQ�8QLW\��DQG�WKH�(FRQRPLF�&RPPXQLW\�RI�:HVW�$IULFD���$UWLFOH�����VWDWHV�WKDW
�WKH�6HFXULW\�&RXQFLO� VKDOO��ZKHUH�DSSURSULDWH�� XWLOLVH� VXFK� UHJLRQDO� DUUDQJHPHQWV
RU�DJHQFLHV�IRU�HQIRUFHPHQW�DFWLRQ�XQGHU�LWV�DXWKRULW\����+RZHYHU��LW�VWLSXODWHV�WKDW
UHJLRQDO�RUJDQL]DWLRQV�PXVW�QRW�XVH�HQIRUFHPHQW�DFWLRQ�ZLWKRXW�WKH�DXWKRUL]DWLRQ�RI
WKH�6HFXULW\�&RXQFLO�
� 7KH�6HFXULW\�&RXQFLO�� � 7KH� 6HFXULW\�&RXQFLO� FRQVLVWV� RI� �� SHUPDQHQW�PHPEHUV�ZLWK� WKH
ULJKW� RI� YHWR� �&KLQD�� )UDQFH��5XVVLD��8.� DQG�86$�� DQG� ��� QRQ�SHUPDQHQW�PHPEHUV��� � ,W� KDV
DXWKRULW\� WR� LQYHVWLJDWH�DQ\�VLWXDWLRQ�ZKLFK� WKUHDWHQV� LQWHUQDWLRQDO�SHDFH� DQG�VHFXULW\�� DQG� WKH
XQLTXH�DXWKRUL]DWLRQ�IRU�XVH�RI�IRUFH�DJDLQVW��D�VWDWH���7KH�81�6HFUHWDU\�*HQHUDO�LV�UHVSRQVLEOH
WR� WKH� 6HFXULW\� &RXQFLO� IRU� WKH� SODQQLQJ� DQG� � FRQGXFW� RI� � SHDFHNHHSLQJ� RSHUDWLRQV�� � +H�ZLOO
QRUPDOO\�DSSRLQW�D�6SHFLDO�5HSUHVHQWDWLYH�DV�WKH�RYHUDOO�+HDG�RI�0LVVLRQ��VXSSRUWHG�E\�D�)RUFH
&RPPDQGHU�� � (QIRUFHPHQW� RSHUDWLRQV� PD\� EH� LPSOHPHQWHG� WKURXJK� RWKHU� RUJDQL]DWLRQV� �IRU
H[DPSOH�1$72��RU� FRDOLWLRQV� DFWLQJ�XQGHU� WKH� DXWKRULW\�RI� WKH�6HFXULW\�&RXQFLO�� �'XULQJ� WKH
&ROG� :DU� WKH� HIIHFWLYHQHVV� RI� WKH� 6HFXULW\� &RXQFLO� ZDV� FRQVWUDLQHG� E\� (DVW�:HVW� ULYDOU\�
OHDGLQJ�WR�IUHTXHQW�XVH�RI�WKH�YHWR���,Q�FRQVHTXHQFH�LW�GLG�QRW�DXWKRULVH�VLJQLILFDQW�HQIRUFHPHQW
PHDVXUHV��DSDUW�IURP�.RUHD�DQG�WKH�&RQJR���7KH�HQG�RI�WKH�&ROG�:DU�OHG�WR�D�QHZ�VSLULW�RI�FR�
RSHUDWLRQ�EHWZHHQ�WKH�3HUPDQHQW�)LYH�DQG�D�GHWHUPLQDWLRQ�WR�VROYH�EUHDNGRZQV�LQ�LQWHUQDWLRQDO
SHDFH�DQG�VHFXULW\���7KLV�KDV�OHG�WR�D�PXFK�JUHDWHU�8QLWHG�1DWLRQV�FRPPLWPHQW�WR�SHDFHNHHSLQJ
DQG� HQIRUFHPHQW� RSHUDWLRQV�� � 7KH� 8QLWHG� 1DWLRQV� KDV� QRZ� GHYHORSHG� D� ZLGH� UDQJH� RI
LQVWUXPHQWV�IRU�FRQWUROOLQJ�DQG�UHVROYLQJ�FRQIOLFWV�EHWZHHQ�DQG�ZLWKLQ�VWDWHV��LQFOXGLQJ��
x 3UHYHQWLYH�'LSORPDF\�DQG�3HDFHPDNLQJ
x 3HDFHNHHSLQJ
x 3RVW�&RQIOLFW�3HDFH�EXLOGLQJ
x 'LVDUPDPHQW
x 6DQFWLRQV
x (QIRUFHPHQW�$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
%��
� 7KLV�OHJDO�UHJLPH�PHDQV�WKDW��LQ�WKH�DEVHQFH�RI�D�PDQGDWH�IURP�WKH�8QLWHG�1DWLRQV�RU�VRPH
RWKHU� LQWHUQDWLRQDO�ERG\��RQO\� VHOI�GHIHQFH�RIIHUV� D� FOHDU� OHJDO� EDVLV� IRU�RQH� VWDWH� WR�XVH� IRUFH
DJDLQVW�DQRWKHU���0RUHRYHU��HQIRUFHPHQW�DFWLRQ�DXWKRULVHG�E\�WKH�6HFXULW\�&RXQFLO�PLJKW�MXVWLI\
PRUH� H[WHQVLYH� PHDVXUHV� WR� UH�HVWDEOLVK� 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
LQWHUQDWLRQDO�ODZ�RQ�UHVRUW�WR�IRUFH�KDYH�D�GLUHFW�EHDULQJ�RQ�UXOHV�RI�HQJDJHPHQW�
The Laws of Armed Conflict
� 7KH�ODZV�RI�DUPHG�FRQIOLFW�DSSO\�ZLWK�HTXDO�IRUFH�WR�ERWK�VLGHV�LQ�D�FRQIOLFW���7KH\�LPSRVH
VSHFLILF�REOLJDWLRQV�RQ�DOO�PHPEHUV�RI� WKH�$UPHG�)RUFHV�� �7KHUHIRUH�FRPPDQGHUV�DW�DOO� OHYHOV
KDYH�D�UHVSRQVLELOLW\�WR�HQVXUH�WKDW�WKHLU�VXERUGLQDWHV�FRPSO\�ZLWK�WKRVH�REOLJDWLRQV���7KH�EDVLF
SULQFLSOHV�RI�WKH�ODZV�RI�DUPHG�FRQIOLFW�DUH�
x 'LVWLQFWLRQ�� �$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�
PHGLFDO�DQG�UHOLJLRXV�SHUVRQQHO��DQG�PHPEHUV�RI�WKH�DUPHG�IRUFHV�ZKR�DUH�QR�ORQJHU
HQJDJHG� LQ�KRVWLOLWLHV�EHFDXVH�RI�ZRXQGV�RU�FDSWXUH��RU�DV�D� UHVXOW�RI�DEDQGRQLQJ�D
VKLS�RU�DLUFUDIW��DUH�QRW�OHJLWLPDWH�WDUJHWV���,I�FDSWXUHG�WKH\�DUH�HQWLWOHG�WR�EH�WUHDWHG
DV�SULVRQHUV�RI�ZDU���0HPEHUV�RI�LUUHJXODU�IRUFHV�DUH�HQWLWOHG�WR�FRPEDWDQW�VWDWXV�RQO\
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
QRW�EH�WKH�REMHFW�RI�DWWDFN�DQG�PXVW�EH�SURWHFWHG��DV�IDU�DV�SRVVLEOH�� �7KH\�KDYH�QR
ULJKW�WR�HQJDJH�LQ�KRVWLOLWLHV���,I�WKH\�GR�VR�WKH\�DUH�ODUJHO\�XQSURWHFWHG�E\�WKH�ODZ�RI
DUPHG�FRQIOLFW��WKH\�KDYH�QR�ULJKW�WR�SULVRQHU�RI�ZDU�VWDWXV�DQG�WKH\�PD\�EH�WULHG�DQG
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\
DGYDQWDJH�WR�EH�JDLQHG�
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
LQGLVSHQVDEOH�IRU�VHFXULQJ�FRPSOHWH�VXEPLVVLRQ�RI�DQ�HQHP\�DW�WKH�HDUOLHVW�PRPHQW�
0LOLWDU\�QHFHVVLW\� UHTXLUHV�FRPEDW� IRUFHV� WR�HQJDJH� LQ�RQO\� WKRVH�DFWV�QHFHVVDU\� WR
DFFRPSOLVK�D�OHJLWLPDWH�PLOLWDU\�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
SURYLGHV�D�JHQHUDO�\DUGVWLFN�DJDLQVW�ZKLFK�DOO�ZHDSRQV�DQG�PHWKRGV�RI�ZDUIDUH�PXVW
EH�MXGJHG�� � ,W�GRHV�QRW�VHHN�WR�SUHYHQW� WKH�LQIOLFWLRQ�RI� LQMXU\��ZKLFK�LV�DQ�LQKHUHQW
IHDWXUH�RI�ZDU��EXW�UDWKHU�WKH�LQIOLFWLRQ�RI�LQMXULHV�RU�VXIIHULQJ�ZKLFK�VHUYH�QR�XVHIXO
PLOLWDU\�SXUSRVH�
%��
x 'LVFULPLQDWLRQ�� � ,W� LV�SURKLELWHG�WR�XVH�PHWKRGV�RU�PHDQV�RI�ZDUIDUH�ZKLFK�FDQQRW
EH� GLUHFWHG� DJDLQVW� D� VSHFLILF� PLOLWDU\� REMHFWLYH� DQG� DUH� WKHUHIRUH� OLNHO\� WR� VWULNH
FLYLOLDQV�DQG�PLOLWDU\�REMHFWLYHV�ZLWKRXW�GLVWLQFWLRQ�
x 7UHDFKHU\���7KLV�SULQFLSOH�SURKLELWV�WUHDFKHURXV�PHWKRGV�RI�ZDUIDUH��VXFK�DV�WKH�XVH
RI� WKH� 5HG� &URVV� HPEOHP� WR� VKLHOG� PLOLWDU\� RSHUDWLRQV� RU� � WKH� ZHDULQJ� RI� HQHP\
XQLIRUP�LQ�FRPEDW�
� 7DUJHWLQJ�� � $� NH\� LVVXH� IRU� FRPPDQGHUV� DQG� SODQQHUV� LV� GHFLGLQJ� ZKDW� FRQVWLWXWHV� D
OHJLWLPDWH�WDUJHW�DQG�KRZ�LW�PD\�EH�DWWDFNHG���7KLV�UHYROYHV�DURXQG�WKH�SULQFLSOHV�RI�GLVWLQFWLRQ
DQG�SURSRUWLRQDOLW\���$WWDFNV�VKRXOG�EH�OLPLWHG�WR�FRPEDWDQWV�DQG�RWKHU�PLOLWDU\�REMHFWLYHV���7KH
FLYLOLDQ� SRSXODWLRQ� DQG� FLYLOLDQ� REMHFWV� PXVW� QRW� EH� GHOLEHUDWHO\� WDUJHWHG�� WKH� PRUDOH� RI� DQ
HQHP\V�FLYLOLDQ�SRSXODWLRQ�LV�QRW�D�OHJLWLPDWH�WDUJHW�DQG�DWWDFNV�GHVLJQHG�WR�VSUHDG�WHUURU�DPRQJ
WKH�FLYLOLDQ�SRSXODWLRQ�DUH�H[SUHVVO\�SURKLELWHG���(YHQ�PLOLWDU\�REMHFWLYHV�VKRXOG�QRW�EH�WDUJHWHG
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�
7KH�ODZ�VWLSXODWHV�WKDW�WKH�PLOLWDU\�ZRUWK�RI�WKH�WDUJHW�QHHGV�WR�EH�FRQVLGHUHG�LQ�UHODWLRQ�WR�WKH
FLUFXPVWDQFHV�DW�WKH�WLPH���7KHUHIRUH��D�FRPPDQGHU�QHHGV�WR�KDYH�DQ�XS�WR�GDWH�DVVHVVPHQW�RI
WKH� VLJQLILFDQFH� RI� D� WDUJHW� DQG� WKH� YDOXH� RI� DWWDFNLQJ� LW�� � ,I� WKHUH� LV� D� FKRLFH� RI�ZHDSRQV� RU
PHWKRGV�RI�DWWDFN�DYDLODEOH��D�FRPPDQGHU�VKRXOG�VHOHFW�WKRVH�ZKLFK�DUH�PRVW�OLNHO\�WR�DYRLG��RU
DW�OHDVW�PLQLPLVH��LQFLGHQWDO�FLYLOLDQ�FDVXDOWLHV�RU�GDPDJH���+RZHYHU��KH�LV�HQWLWOHG�WR�WDNH�LQWR
DFFRXQW�IDFWRUV�VXFK�DV�KLV�VWRFNV�RI�GLIIHUHQW�ZHDSRQV�DQG�OLNHO\�IXWXUH�GHPDQGV��WKH�WLPHOLQHVV
RI�DWWDFN�DQG�ULVNV�WR�KLV�RZQ�IRUFHV���1HYHUWKHOHVV��WKHUH�PD\�EH�RFFDVLRQV�ZKHQ�D�FRPPDQGHU
ZLOO�KDYH�WR�DFFHSW�D�KLJKHU�OHYHO�RI�ULVN�WR�KLV�RZQ�IRUFHV�LQ�RUGHU�WR�DYRLG�RU�UHGXFH�FROODWHUDO
GDPDJH�WR�WKH�HQHP\V�FLYLO�SRSXODWLRQ�
� :HDSRQV� %DQV�� � ,Q� DFFRUGDQFH� ZLWK� WKH� SULQFLSOH� RI� PLQLPLVLQJ� XQQHFHVVDU\� VXIIHULQJ�
YDULRXV�WUHDWLHV�EDQ�RU�UHVWULFW�WKH�XVH�RI�FHUWDLQ�W\SHV�RI�ZHDSRQV���7KHVH�LQFOXGH�FKHPLFDO�DQG
ELRORJLFDO�ZHDSRQV��ZHDSRQV�ZKLFK�LQMXUH�ZLWK�IUDJPHQWV�ZKLFK�FDQQRW�EH�GHWHFWHG�E\�;�UD\V�
ODVHU�ZHDSRQV�GHVLJQHG�WR�FDXVH�SHUPDQHQW�EOLQGQHVV� WR�XQHQKDQFHG�YLVLRQ��VRIW�QRVHG�EXOOHWV
DQG�FHUWDLQ�XVHV�RI�PLQHV�DQG�ERRE\�WUDSV�
� 7KH�(QYLURQPHQW�� �7KH�(QYLURQPHQWDO�0RGLILFDWLRQ�7UHDW\� ������� LV� LQWHQGHG� WR�SUHYHQW
WKH�GHOLEHUDWH�PDQLSXODWLRQ�RI� WKH� HQYLURQPHQW�� DV� D�PHWKRG� RI�ZDUIDUH��ZKLOH� WKH�$GGLWLRQDO
3URWRFRO� �DOVR� ������ VHHNV� WR� SUHYHQW� LQFLGHQWDO� GDPDJH� WR� WKH� HQYLURQPHQW� IURP� WKH� XVH� RI
ZHDSRQV�DJDLQVW�RWKHU�WDUJHWV�
� 3ULVRQHUV� RI�:DU�� WKH� 6LFN� DQG�:RXQGHG�� � 3ULVRQHUV� RI�ZDU� DUH� GHWDLQHG� DIWHU� FDSWXUH
VROHO\� WR� SUHYHQW� WKHP� IURP� UHMRLQLQJ� WKH� HQHP\V� IRUFHV�� � 7KH\� PXVW� EH� UHPRYHG� IURP� WKH
FRPEDW�]RQH�DQG�DUHDV�RI�GDQJHU�DW�WKH�HDUOLHVW�RSSRUWXQLW\�DQG�PXVW�QRW�EH�LOO�WUHDWHG��DEXVHG�
LQVXOWHG� RU� H[SRVHG� WR� SXEOLF� FXULRVLW\�� � 7KH\�PXVW� EH� UHOHDVHG� DQG� UHSDWULDWHG�ZLWKRXW� GHOD\
DIWHU� DFWLYH� KRVWLOLWLHV� KDYH� ILQLVKHG�� � 7KHUH� LV� D� GXW\� WR� UHVSHFW� DQG� SURWHFW� WKH� VLFN� DQG
ZRXQGHG���7KXV�D�VWDWH�VKRXOG�FROOHFW�DQG�FDUH�IRU�HQHP\�ZRXQGHG��ZLWK�QR�GLVWLQFWLRQ�EHWZHHQ
WKHP�DQG�WKH�VWDWHV�RZQ�ZRXQGHG�
� Additional Protocol 1 to the Geneva Convention, Article 51(2). The new rules introduced by this Protocol are not intended to have
any effect on and do not regulate the use of nuclear weapons (c.f. UK Misc 19 (1977), Cmnd. 6927 and C Pilloud et al,
'Commentary on the additional Protocols of 8 June 1977', ICRC, 1987).
&��
Annex C
COLLECTIVE SECURITY AND DEFENCE
� 7KH�,QVWLWXWLRQV���7KH�8QLWHG�.LQJGRP�SXUVXHV�FROOHFWLYH�VHFXULW\�DQG�GHIHQFH�WKURXJK�WKH
UDQJH� RI� LQWHUORFNLQJ� LQVWLWXWLRQV� VKRZQ� )LJXUH� ��� ZLWKLQ� WKH� IUDPHZRUN� RI� VWDQGDUGV� RI
EHKDYLRXU� HVWDEOLVKHG� E\� WKH� 8QLWHG� 1DWLRQV� � DQG� RWKHU� ERGLHV�� � 7KH� 8QLWHG� .LQJGRPV
LQYROYHPHQW�LQ�FROOHFWLYH�GHIHQFH�LV�IRFXVHG�RQ�(XURSH�DQG�WKH�$WODQWLF��EXW�LW�DOVR�KDV�D�ZLGHU
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\�
PDUNHW�HFRQRPLHV�DQG�D�VKDUHG�FXOWXUDO�KHULWDJH���6LQFH�WKH�6HFRQG�:RUOG�:DU��WKH�UHODWLRQVKLS
KDV�EHHQ�H[SUHVVHG�PRVW�LPSRUWDQWO\��LQ�FRPPRQ�GHIHQFH�DQG�VHFXULW\�LQVWLWXWLRQV���3UH�HPLQHQW
DPRQJ�WKHVH�LV�WKH�1RUWK�$WODQWLF�7UHDW\�2UJDQLVDWLRQ��1$72���ZKLFK�LV�D�SROLWLFDO�FRPPXQLW\
RI� QDWLRQV� FRPPLWWHG� WR� SURPRWLQJ� VKDUHG� YDOXHV� DQG� GHIHQGLQJ� FRPPRQ� LQWHUHVWV�� � 7KH
FRUQHUVWRQH�RI�1$72�LV�$UWLFOH���RI�WKH�:DVKLQJWRQ�7UHDW\��ZKLFK�VWDWHV�WKDW�DQ�DWWDFN�RQ�RQH
RU�PRUH�PHPEHU�RI�WKH�$OOLDQFH�LQ�(XURSH�RU�1RUWK�$PHULFD�VKDOO�EH�FRQVLGHUHG��DV�DQ�DWWDFN�RQ
DOO�PHPEHUV����1$72�UHPDLQV�IXQGDPHQWDO�WR�WKH�GHIHQFH�DQG�VHFXULW\�QHHGV�RI�QDWLRQV�RQ�ERWK
VLGHV� RI� WKH�$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
GHPRQVWUDWHG�E\�IRUFHV��LQFOXGLQJ�QXFOHDU�IRUFHV��EHLQJ�EDVHG�IRUZDUG�LQ�(XURSH�
� 1$72V�(YROXWLRQ���&ROOHFWLYH�GHIHQFH�UHPDLQV�WKH�EDVLV�RI�1$72V�DFWLYLWLHV���+RZHYHU�
$OOLDQFH�VHFXULW\�LQWHUHVWV�FDQ�EH�DIIHFWHG�E\�ULVNV�RI�D�ZLGHU�QDWXUH��LQFOXGLQJ�SUROLIHUDWLRQ�RI
ZHDSRQV�RI�PDVV�GHVWUXFWLRQ��GLVUXSWLRQ�RI�WKH�IORZ�RI�YLWDO�UHVRXUFHV�DQG�DFWLRQV�RI� WHUURULVP
DQG�VDERWDJH���7KHUHIRUH��WKH�$OOLDQFH�FRQWLQXHV�WR�HYROYH�LQ�UHVSRQVH�WR�FKDQJHV�LQ�WKH�VHFXULW\
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�&R�RSHUDWLRQ� LQ�(XURSH�
DQG�WR�GHYHORS�D�FR�RSHUDWLYH�VHFXULW\�UHODWLRQVKLS�ZLWK�5XVVLD�DQG�WKH�FRXQWULHV�RI�FHQWUDO�DQG
HDVWHUQ�(XURSH��EXLOGLQJ�RQ�3DUWQHUVKLS�IRU�3HDFH��
� (XURSHDQ� 'HIHQFH�� � (XURSHDQ� GHIHQFH� KDV� DW� LWV� FRUH� D� VWURQJ� 1$72� ZLWK� IXOO� 8QLWHG
6WDWHV� FRPPLWPHQW�� � 7KH� GHFLVLRQ� LQ� WKH�1RUWK�$WODQWLF� &RXQFLOV� %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
XQGHUWDNH�RSHUDWLRQV�LQ�ZKLFK�1$72�DV�D�ZKROH�PLJKW�QRW�ZLVK�WR�EH�LQYROYHG���0HPEHUVKLS�RI
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
FRPSRQHQW�RI� WKH�(XURSHDQ�8QLRQ�� �7KH�3HWHUVEHUJ�'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.
&��
WDVN�RQ�ZKLFK��WKH�:HVWHUQ�(XURSHDQ�8QLRQ�PLJKW�HPSOR\�LWV�PLOLWDU\�FDSDELOLWLHV��SULQFLSDOO\
SHDFHNHHSLQJ�DQG�KXPDQLWDULDQ�WDVNV���1$72�KDV�DJUHHG��WR�PDNH�DYDLODEOH�FRPPRQ�DVVHWV�DQG
GHSOR\DEOH�KHDGTXDUWHUV�LQ�VXSSRUW�RI�:HVWHUQ�(XURSHDQ�8QLRQ�RSHUDWLRQV��
� 7KH� 2UJDQLVDWLRQ� IRU� 6HFXULW\� DQG� &R�RSHUDWLRQ� LQ� (XURSH�� � 7KH� 2UJDQLVDWLRQ� IRU
6HFXULW\� DQG� &R�RSHUDWLRQ� LQ� (XURSH� FRQWULEXWHV� WR� VHFXULW\� E\� SURPRWLQJ� UHVSHFW� IRU
GHPRFUDF\��KXPDQ�ULJKWV�DQG�WKH�UXOH�RI�ODZ���,WV�DUHD�RI�FRPSDUDWLYH�DGYDQWDJH�LV�LQ�SURYLGLQJ
HDUO\�ZDUQLQJ� RQ� WHQVLRQ�� IRU� H[DPSOH� RQ�PLQRULWLHV��ZKLFK� FRXOG� OHDG� WR� FRQIOLFW�� � ,W� LV� DOVR
LQFUHDVLQJO\�HIIHFWLYH�LQ�FRQIOLFW�PDQDJHPHQW�DQG�UHVROXWLRQ�
� 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
8QLRQ�PD\�EH�UHTXHVWHG�WR�LPSOHPHQW�GHFLVLRQV�DQG�DFWLRQ�RI�WKH�(XURSHDQ�8QLRQ�ZKLFK�KDYH
GHIHQFH� LPSOLFDWLRQV�� � ,W� VHHPV� OLNHO\� WKDW� WKH�(XURSHDQ�VHFXULW\� DQG�GHIHQFH�DUFKLWHFWXUH�ZLOO
FRQWLQXH�WR�HYROYH���,W�LV�GLIILFXOW�WR�SUHGLFW�SUHFLVHO\�KRZ�WKLV�ZLOO�KDSSHQ��EXW�FHUWDLQ�WKLQJV�DUH
FOHDU�� � 7KH� 8QLWHG� .LQJGRPV� VHFXULW\� LV� LQH[WULFDEO\� OLQNHG� ZLWK� WKDW� RI� (XURSH�� � (XURSHV
VWDELOLW\�� VHFXULW\� DQG� DELOLW\� WR� GHWHU� DQG� GHIHQG� DJDLQVW� H[WHUQDO� DJJUHVVLRQ� UHVW�� IRU� WKH
IRUHVHHDEOH�IXWXUH��SULPDULO\�RQ�WKH�(XURSHDQ�8QLRQ�DQG�1$72���7KH�FRQWLQXHG�VXSSRUW�RI�WKH
8QLWHG�6WDWHV��ZLOO�EH�HVVHQWLDO�WR�FRXQWHU�D�PDMRU�PLOLWDU\�WKUHDW�WR�(XURSH���'HYHORSPHQW�RI�WKH
YDULRXV�DOOLDQFHV�DQG�LQVWLWXWLRQV�QHHGV�WR�DLP�DW�HQKDQFLQJ�WKH�VHFXULW\�RI�DOO�(XURSHDQ�QDWLRQV�
� &RDOLWLRQ� 2SHUDWLRQV�� � &RDOLWLRQ� RSHUDWLRQV� XQGHU� WKH� DHJLV� RI� WKH� 8QLWHG� 1DWLRQV� RU� D
5HJLRQDO�2UJDQLVDWLRQ�PD\�EH�OHG�E\�1$72��WKH�:HVWHUQ�(XURSHDQ�8QLRQ��RU�D�SRZHUIXO�QDWLRQ
�VXFK� DV� WKH� 8QLWHG� 6WDWHV�� ZKLFK� SURYLGHV� WKH� IUDPHZRUN� IRU� WKH� FRDOLWLRQ� IRUFH�� � 7KH\� DUH
OLNHO\�WR�SUHVHQW�PRUH�FRPSOH[�LVVXHV�WKDQ�QDWLRQDO�RSHUDWLRQV�RU�WKRVH�FRQGXFWHG�XQGHU�$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[��ZLWK�YDU\LQJ�GHJUHHV�RI�QDWLRQDO�SROLWLFDO�LQYROYHPHQW�LQ�WKH�GHWDLOHG�HPSOR\PHQW�RI
GLIIHUHQW�FRQWLQJHQWV�
� For example, the Western European Union played a large part in naval embargo operations during the conflicts in the Gulf and informer Yugoslavia.
EU
WEUPfP
NATO NACC
OSCE
Ireland (2)
Austria (2,4)Finland (2,4)Sweden (2,4)
Denmark (2)FranceGreeceLuxembourgPortugalUnited Kingdom
BelgiumGermanyItalyNetherlandsSpain
Bulgaria (3)Hungary (3)Lithuania (3)Romania (3)Czech Republic (3)
Estonia (3)Latvia (3)Poland (3)Slovakia (3)Slovenia (3,4)
Norway (1)Turkey (1)Iceland (1)
United StatesCanada
AlbaniaArmeniaAzerbaijanBelarusGeorgiaKazakhstanKyrgyzstanMoldovaRussiaTurkmenistanUzbekistanUkraine
Bosnia-HerzegovinaCroatiaCyprusHoly SeeLiechtenstein
MonacoSan MarinoSwitzerlandF.R. Yugoslavia (5)Tajikistan
The Framework of SecurityOganisations in Europe
EU: European UnionNACC: North Atlantic Co-operation CouncilNATO: North Atlantic Treaty OrganisationOSCE: Organisation on Security and Co-operation in EuropePfP: Partnership for PeaceWEU: Western European UnionWEAG: Western European Armaments Group
(1) Associate Members of WEU(2) Observers of WEU(3) Associate Parners of WEU(4) Observer of NACC(5) Membership suspended
Figure 3
'��
Annex D
COMMAND AND CONTROL ARRANGEMENTS
� 1DWLRQDO�-RLQW�2SHUDWLRQV�� �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�&RPPDQGHUV�LQ�&KLHI� DV� -RLQW�&RPPDQGHU��ZLWK� WKH�&KLHI� RI� -RLQW�2SHUDWLRQV� DV
'HSXW\� -RLQW�&RPPDQGHU�� UHVSRQVLEOH� IRU� WKH�GD\�WR�GD\� 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���,W�LV�WKH�-RLQW�)RUFH�&RPPDQGHU�ZKR�ZLOO�SODQ�DQG�ILJKW�WKH�FDPSDLJQ�
� 2WKHU�1DWLRQDO�2SHUDWLRQV����)RU�WKRVH�VLQJOH�6HUYLFH�RSHUDWLRQV��ZKLFK�KDYH�QR�SRWHQWLDO
WR�EHFRPH� MRLQW�RU�ZKHUH� VSHFLDO� DUUDQJHPHQWV�DUH�PDGH� �HJ�QXFOHDU�RU�FRXQWHU� WHUURULVP�� WKH
&KLHI�RI�WKH�'HIHQFH�6WDII�PD\�DOORFDWH�FRPPDQG�WR�D�VLQJOH��6HUYLFH�FRPPDQGHU�
� 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
UHSUHVHQWHG��H[HUFLVHV�SROLWLFDO�FRQWURO�RI��WKH�PLOLWDU\�FKDLQ�RI�FRPPDQG�E\�PHDQV�RI�GLUHFWLYHV
DQG�DQ�DJUHHG�V\VWHP�RI��1$72�UXOHV�RI�HQJDJHPHQW�ZRUNLQJ�WKURXJK�WKH�0LOLWDU\�&RPPLWWHH�
1DWLRQV�DJUHH�WR�GHOHJDWH�2SHUDWLRQDO�&RPPDQG�RI�WKHLU�IRUFHV�WR�D�0DMRU�1$72�&RPPDQGHU
DW�WKH�DSSURSULDWH�VWDJH�LQ�WKH�EXLOG�XS�WR�DQ�RSHUDWLRQ���7KLV�JLYHV�WKH�FRPPDQGHU�WKH�IUHHGRP�
ZLWKLQ� WKH� FRQVWUDLQWV� RI� WKH� UXOHV� RI� HQJDJHPHQW� DQG� WKH� GLUHFWLYHV� IURP� WKH� 0LOLWDU\
&RPPLWWHH��WR�SODQ�DQG�H[HFXWH�RSHUDWLRQV�ZLWKRXW�GLUHFW�UHIHUHQFH�WR�LQGLYLGXDO�QDWLRQV�DERXW
WKH� HPSOR\PHQW� RI� WKHLU� IRUFHV�� � ,Q� WKHVH� FLUFXPVWDQFHV�� WKHUHIRUH�� 2SHUDWLRQDO� &RPPDQG� RI
%ULWLVK�IRUFHV�ZRXOG�EH�GHOHJDWHG�WR�WKH�DSSURSULDWH�1$72�FRPPDQGHU�LQ�DFFRUGDQFH�ZLWK�SUH�
DUUDQJHG�SODQV�DQG�DVVLJQPHQWV���2QH�H[FHSWLRQ�WR�WKLV�LV�8QLWHG�.LQJGRP�QXFOHDU�IRUFHV��ZKLFK
DOWKRXJK�GHFODUHG�WR�1$72��UHPDLQ�XQGHU�WKH�FRQWURO�RI�WKH�8QLWHG�.LQJGRP�*RYHUQPHQW�DW�DOO
WLPHV�
� 1$72� 1RQ�$UWLFOH� �� 2SHUDWLRQV�� � 6LPLODU� DUUDQJHPHQWV� ZLOO� DSSO\� WR� 1RQ�$UWLFOH� �
RSHUDWLRQV��ZLWK�WKH�IROORZLQJ�GLIIHUHQFHV��WKHUH�DUH�XQOLNHO\�WR�EH�SUH�DUUDQJHG�SODQV�DQG�IRUFH
DVVLJQPHQWV��RSHUDWLRQDO�FRPPDQG�LV�OLNHO\�WR�EH�UHWDLQHG�DW�QDWLRQDO�OHYHO��DQG��DOWKRXJK�WKHUH
LV� JHQHUDO� DFFHSWDQFH� WKDW� DOO� IRUFHV� DVVLJQHG� WR� 1$72� PD\� EH� DYDLODEOH� IRU� QRQ�$UWLFOH� �
RSHUDWLRQV��HDFK�$OO\�UHVHUYHV�WKH�ULJKW�WR�GHFLGH�RQ�D�FDVH�E\��FDVH�EDVLV�ZKHWKHU�DQG�KRZ�WR
SDUWLFLSDWH���)RUFHV�IURP�QRQ�1$72�QDWLRQV�PD\�SDUWLFLSDWH�DORQJVLGH�WKRVH�RI�1$72�
� Operational Command is the authority to assign missions or tasks to subordinate commanders, to deploy units, to reassign forces
and to retain or delegate operational and/or tactical control as necessary. It does not of itself include responsibility for
administration or logistics.
� Operational Control is the authority to direct forces assigned so that the commander may accomplish specific missions or tasks,
which are usually limited by function, time or location, to deploy units concerned, and to retain or assign tactical control of those
units. It does not include authority to assign separate employment of the units concerned. Neither does it of itself include
administrative or logistic control.
� Command and control of operations in support of the civil power in Northern Ireland is covered in Chapter 6 under Military Aid to
the Civil Power.
'��
� :HVWHUQ�(XURSHDQ�8QLRQ�2SHUDWLRQV� 6LPLODU� SULQFLSOHV� DSSO\� WR� :HVWHUQ� (XURSHDQ
8QLRQ�RSHUDWLRQV���$W�WKH�WLPH�RI�ZULWLQJ�LW�VHHPV�OLNHO\�WKDW�WKH�8QLRQ�ZLOO�LQFUHDVLQJO\�UHO\�RQ
1$72�IRU�SODQQLQJ�DQG�FRPPDQG�DQG�FRQWURO�DUUDQJHPHQWV�
� 2WKHU�0XOWLQDWLRQDO� 2SHUDWLRQV�� � 6LPLODU� SULQFLSOHV� VKRXOG� DSSO\� WR� DG�KRF� 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
FRQWURO� LV� 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
RSHUDWLRQV�WR�WKH�%ULWLVK�&RQWLQJHQW�&RPPDQGHU���7KH�3HUPDQHQW�-RLQW�+HDGTXDUWHUV�ZLOO�DFW�DV
WKH� PLOLWDU\� VWUDWHJLF� SODQQLQJ� IRFXV� IRU� WKHVH� RSHUDWLRQV�� � LWV� SUHFLVH� UROH� ZRXOG� GHSHQG� RQ
ZKHWKHU�RU�QRW�WKH�8QLWHG�.LQJGRP�LV�WKH�OHDG�QDWLRQ�RI�DQ�DG�KRF�FRDOLWLRQ�
x 8.�OHG�2SHUDWLRQV���7KH�3HUPDQHQW�-RLQW�+HDGTXDUWHUV�ZLOO�IRUP�WKH�QXFOHXV�RI�WKH
PXOWLQDWLRQDO�2SHUDWLRQDO�+HDGTXDUWHUV��DXJPHQWHG�DV�QHFHVVDU\�E\�VWDII�IURP�RWKHU
SDUWLFLSDWLQJ�QDWLRQV�� � ,W�ZLOO�DOVR�SURYLGH�VWDII� WR�IRUP�WKH�QXFOHXV�RI� WKH�GHSOR\HG
PXOWLQDWLRQDO�-RLQW�)RUFH�+HDGTXDUWHUV�
x 1RQ�8.�OHG� 2SHUDWLRQV�� � ,I� WKH� 8QLWHG� .LQJGRP� LV� QRW� WKH� OHDG� QDWLRQ�� WKH
3HUPDQHQW�-RLQW�+HDGTXDUWHUV�ZLOO�DFW�DV�8.�&R�RUGLQDWRU�RI�6XSSRUWLQJ�&RPPDQG
IXQFWLRQV�� � $V� VXFK�� LW� ZLOO� FR�RUGLQDWH� WKH� DFWLYLWLHV� RI� WKH� VLQJOH� 6HUYLFHV� LQ
GHSOR\LQJ��VXVWDLQLQJ�DQG�UHFRYHULQJ�%ULWLVK�IRUFHV�DVVLJQHG�WR�WKH�RSHUDWLRQ���,W�PD\
SURYLGH� VWDII� � WR� WKH� PXOWLQDWLRQDO� KHDGTXDUWHUV�� � $� 1DWLRQDO� 5HSUHVHQWDWLYH� ZLOO
XVXDOO\�EH�QRPLQDWHG� WR� WKH� DSSURSULDWH� OHYHO� RI�PXOWLQDWLRQDO� FRPPDQG� �QRUPDOO\
WKH� 2SHUDWLRQ� &RPPDQG�� WR� SURYLGH� D� OLQN� IRU� QDWLRQDO� SROLWLFDO� FRQWURO� RI� WKH
HPSOR\PHQW�RI�%ULWLVK�IRUFHV���+H�PD\�EH�DVVLVWHG�E\�D�3ROLWLFDO�$GYLVHU���)RU�8QLWHG
1DWLRQV�RSHUDWLRQV�WKH�8QLWHG�.LQJGRP�ZLOO�DSSRLQW�D�8.�&RQWLQJHQW�&RPPDQGHU�
� Although for UN operations this is exercised through the UK Mission to the UN�
*ORVVDU\ �
Glossary
7KH�UHIHUHQFHV�TXRWHG�LQ�EUDFNHWV�DIWHU�VRPH�HQWULHV�DUH�VRXUFH�GRFXPHQWV�
6RXUFH�'RFXPHQWV
$$3� 1$72�*ORVVDU\�RI�7HUPV�DQG�'HILQLWLRQV
$'3�2SV�9RO�� $UP\�'RFWULQH�3XEOLFDWLRQ�9ROXPH�����2SHUDWLRQV
$-3���$� $OOLHG�-RLQW�2SHUDWLRQV�'RFWULQH
%5����� 7KH�)XQGDPHQWDO�RI�%ULWLVK�0DULWLPH�'RFWULQH
%0' 7KH�%ULWLVK�0LOLWDU\�'RFWULQH
$3���� 5R\DO�$LU�)RUFH�$LU�3RZHU�'RFWULQH
-63� -RLQW�6HUYLFH�'RFWULQH
-63��� -RLQW�6HUYLFHV�*ORVVDU\
2(' &RQFLVH�2[IRUG�(QJOLVK�'LFWLRQDU\
6'( 6WDWHPHQW�RQ�WKH�'HIHQFH�(VWLPDWHV
86�1'3�� 86�1DYDO�'RFWULQH�3XEOLFDWLRQ
$$GPLQLVWUDWLRQ 7KH� PDQDJHPHQW� DQG� H[HFXWLRQ� RI� DOO� PLOLWDU\� PDWWHUV� QRW� LQFOXGHG� LQ
WDFWLFV��>RSHUDWLRQV@�DQG�VWUDWHJ\��SULPDULO\�LQ�WKH�ILHOG�RI�ORJLVWLFV�DQG�SHUVRQQHO�PDQDJHPHQW�
�-63�����
$LP��0LOLWDU\� $�VLQJOH�XQDPELJXRXV�PLOLWDU\�SXUSRVH�WKDW�PXVW�EH�HVWDEOLVKHG�EHIRUH�D
SODQ�FDQ�EH�GHYHORSHG�DW�DQ\�OHYHO�RI�FRPPDQG�IRU�DQ�DUPHG�FRQIOLFW�
$OOLDQFH 7KH� UHVXOW� RI� IRUPDO� DJUHHPHQWV� �LH� WUHDWLHV�� EHWZHHQ� WZR� RU�PRUH� QDWLRQV� IRU
EURDG��ORQJ�WHUP�REMHFWLYHV�ZKLFK�IXUWKHU�WKH�FRPPRQ�LQWHUHVWV�RI�WKH�PHPEHUV����$-3���$���
$WWULWLRQ��7KH�UHGXFWLRQ�RI�WKH�HIIHFWLYHQHVV�RI�D�IRUFH�FDXVHG�E\�ORVV�RI�SHUVRQQHO�DQG�PDWHULDO
�-63�����
$WWULWLRQ�:DUIDUH $�VW\OH�RI�ZDUIDUH�FKDUDFWHULVHG�E\�WKH�DSSOLFDWLRQ�RI�VXEVWDQWLDO�FRPEDW
SRZHU� WKDW� UHGXFHV� DQ� HQHP\V� DELOLW\� WR� ILJKW� WKURXJK� ORVV� RI� SHUVRQQHO� DQG� HTXLSPHQW�
(VVHQWLDOO\��LW�DLPV�DW�WKH�SK\VLFDO�GHVWUXFWLRQ�RI�WKH�HQHP\��FI�PDQRHXYUH�ZDUIDUH��
%%DWWOHVSDFH $OO� DVSHFWV� RI� DLU�� VXUIDFH�� VXEVXUIDFH�� ODQG�� VSDFH� DQG� WKH� HOHFWURPDJQHWLF
VSHFWUXP�WKDW�HQFRPSDVV�WKH�DUHD�RI�RSHUDWLRQV��86�1'3���
%DWWOHVSDFH�GRPLQDQFH 7KH�GHJUHH�RI�FRQWURO�RYHU� WKH�GLPHQVLRQV�RI� WKH�EDWWOHVSDFH�WKDW
HQKDQFHV�IULHQGO\�IUHHGRP�RI�DFWLRQ�DQG�GHQLHV�WKH�HQHP\�IUHHGRP�RI�DFWLRQ���,W�SHUPLWV�SRZHU
SURMHFWLRQ�DQG�IRUFH�VXVWDLQPHQW�WR�DFFRPSOLVK�WKH�IXOO�UDQJH�RI�SRWHQWLDO�PLVVLRQV��861'3���
*ORVVDU\ �
&&DPSDLJQ $�VHTXHQFH�RI�SODQQHG�� UHVRXUFHG� DQG�H[HFXWHG�PLOLWDU\�RSHUDWLRQV�GHVLJQHG� WR
DFKLHYH� D� VWUDWHJLF� REMHFWLYH� ZLWKLQ� D� JLYHQ� WLPH� DQG� PDQRHXYUH� DUHD�� XVXDOO\� LQYROYLQJ� WKH
V\QFKURQLVDWLRQ�RI�PDULWLPH��ODQG�DQG�DLU�IRUFHV��$-3���$���� �&DPSDLJQV�PD\�EH�VHTXHQWLDO�RU
FXPXODWLYH���&DPSDLJQ�SODQQLQJ�LV�WKH�UHVSRQVLELOLW\�RI�WKH�RSHUDWLRQDO�OHYHO�FRPPDQGHU�
&HQWUH�RI�*UDYLW\ 7KRVH� FKDUDFWHULVWLFV�� FDSDELOLWLHV�� RU� ORFDOLWLHV� IURP�ZKLFK� HQHP\� >DQG
IULHQGO\� IRUFHV@�GHULYH� WKHLU� IUHHGRP�RI� DFWLRQ�� SK\VLFDO� VWUHQJWK� RU�ZLOO� WR� ILJKW� �$-3�� ��$���
&ODXVHZLW]�FDOOHG�LW��7KH�KXE�RI�DOO�SRZHU�DQG�PRYHPHQW��XSRQ�ZKLFK�HYHU\WKLQJ�GHSHQGV��
&LYLO�:DU :DU�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�JRYHUQPHQW�RI�WKH�VWDWH�RU
UHJLRQDO�DXWRQRP\�RU�VHFHVVLRQ���2QH�RU�ERWK�VLGHV�PD\�KDYH�H[WHUQDO�KHOS�
&RDOLWLRQ $� JURXSLQJ� RI� QDWLRQV� RU� IRUFHV�� XVXDOO\� RQ� D� WHPSRUDU\� EDVLV�� IRU� WKH
DFFRPSOLVKPHQW�RI�D�VWDWHG�JRDO��$-3����$���
&RHUFLRQ 7KH�XVH�RI�IRUFH��RU�WKH�WKUHDW�RI�IRUFH�WR�SHUVXDGH�DQ�RSSRQHQW�WR�DGRSW�D�FHUWDLQ
SDWWHUQ�RI�EHKDYLRXU��DJDLQVW�KLV�ZLVKHV����VHH�&KDSWHU����
&RPEDW�&DSDELOLW\ 7KH�DELOLW\�RI�D�IRUFH�ZKLFK�KDV�EHHQ�JHQHUDWHG��GHSOR\HG�DQG�VXVWDLQHG
WR�XQGHUWDNH�LWV�PLVVLRQ�LQ�D�WKHDWUH�RI�RSHUDWLRQV���,Q�PRVW�FLUFXPVWDQFHV��WKLV�ZLOO�EH�WKH�DELOLW\
WR�GHIHDW�RU�GLVUXSW�HQHP\�IRUFHV�� �+RZHYHU�� WKH�WHUP�DOVR�FRYHUV� WKH�FDSDELOLW\�RI� WKH�$UPHG
)RUFHV�RQ�QRQ��EHOOLJHUHQW�RSHUDWLRQV
&RPELQHG�)RUFH $�PLOLWDU\�IRUFH�FRPSRVHG�RI�HOHPHQWV�RI�WZR�RU�PRUH�DOOLHG�QDWLRQV�
&RPELQHG�-RLQW�2SHUDWLRQ $Q�RSHUDWLRQ�FDUULHG�RXW�E\�PLOLWDU\�IRUFHV�RI�WZR�RU�PRUH�QDWLRQV�
LQ�ZKLFK�HOHPHQWV�RI�PRUH�WKDQ�RQH�VHUYLFH�SDUWLFLSDWH��$-3���$��
&RPPDQG 7KH� DXWKRULW\� YHVWHG� LQ� DQ� LQGLYLGXDO� RI� WKH� $UPHG� )RUFHV� IRU� WKH
GLUHFWLRQ��FR�RUGLQDWLRQ�DQG�FRQWURO�RI�PLOLWDU\�IRUFHV�>$-3���$�@�
&RPPDQG�DQG�&RQWURO�:DUIDUH���&�:� 7KH� LQWHJUDWHG� XVH� RI� DOO� PLOLWDU\� FDSDELOLWLHV
LQFOXGLQJ� GHVWUXFWLRQ�� HOHFWURQLF� ZDUIDUH�� PLOLWDU\� GHFHSWLRQ�� SV\FKRORJLFDO� RSHUDWLRQV� DQG
RSHUDWLRQDO� VHFXULW\�� VXSSRUWHG� E\� DOO�VRXUFH� LQWHOOLJHQFH� DQG� &,6� WR� GHQ\� LQIRUPDWLRQ� WR�
H[SORLW�� LQIOXHQFH�� GHJUDGH�� FRQIXVH� RU� GHVWUR\� HQHP\� FRPPDQG� DQG� FRQWURO� �&��� FDSDELOLWLHV
DQG�WR�SURWHFW�IULHQGO\�&���LQWHOOLJHQFH�DQG�&,6�DJDLQVW�VXFK�DFWLRQV��>&'6������@
&RPPDQGHUV�(VWLPDWH�RI�WKH�6LWXDWLRQ $� IRUPDO� DQDO\VLV� RI� WKH� HQYLURQPHQW�� RSHUDWLRQDO
VLWXDWLRQ��PLVVLRQ��DQG�HQHP\�DQG�RZQ�FRXUVHV�RI�DFWLRQ�FRQGXFWHG�LQ�SUHSDUDWLRQ�IRU�IRUPLQJ�D
FRPPDQGHUV�LQWHQWLRQV�DQG�FRQFHSW�RI�RSHUDWLRQV�
&RQFHSW�RI�2SHUDWLRQV $� FOHDU� DQG� FRQFLVH� VWDWHPHQW� RI� WKH� OLQH� RI� DFWLRQ� FKRVHQ� E\� D
FRPPDQGHU�LQ�RUGHU�WR�DFFRPSOLVK�KLV�PLVVLRQ�>$-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�
HDFK�VHHNLQJ�WR�LPSRVH�LWV�ZLOO�RQ�WKH�RWKHU��KRZHYHU��LQWUD��VWDWH�FRQIOLFW�PD\�LQYROYH�VHYHUDO
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
DGGLWLRQDO�IRUFHV�WKDW�ZRXOG�EH�UHJHQHUDWHG�DQG�RU�UHFRQVWLWXWHG�LQ�WKH�HYHQW�RI�JHQHUDO�ZDU�
&RQWURO 7KDW�DXWKRULW\�YHVWHG� LQ�D�FRPPDQGHU�RYHU�SDUW� RI� WKH� DFWLYLWLHV�RI� VXERUGLQDWH
RUJDQLVDWLRQV��RU�RWKHU�RUJDQLVDWLRQV�QRW�QRUPDOO\�XQGHU�KLV�FRPPDQG��ZKLFK�HQFRPSDVVHV�WKH
UHVSRQVLELOLW\� IRU� LPSOHPHQWLQJ� RUGHUV� RU� GLUHFWLRQV�� � $OO� RU� SDUW� RI� WKLV� DXWKRULW\� PD\� EH
WUDQVIHUUHG�RU�GHOHJDWHG�>-63����@�
&ULVLV �$� VLWXDWLRQ��ZKLFK�PD\� RU�PD\� QRW� EH� IRUHVHHQ��ZKLFK� WKUHDWHQV� QDWLRQDO� VHFXULW\� RU
LQWHUHVWV�RU�LQWHUQDWLRQDO�SHDFH�DQG�VWDELOLW\��DQG�ZKLFK�UHTXLUHV�GHFLVLRQ�DQG�DFWLRQ�
&ULVLV�0DQDJHPHQW 0HDVXUHV�WDNHQ�WR�PDQDJH�D�FULVLV���7KH\�LQFOXGH�FULVLV�SUHYHQWLRQ��FULVLV
FRQWURO� DQG� WKH� RUGHUO\� WUDQVLWLRQ� WR�ZDU�� LI� QHFHVVDU\�� �&ULVLV� FRQWURO� FRQVLVWV� RI�PHDVXUHV� WR
FRQWDLQ��UHGXFH�DQG�UHVROYH�D�FULVLV�
&ULVLV�3UHYHQWLRQ 'LSORPDWLF��HFRQRPLF�DQG��RQ�RFFDVLRQ��PLOLWDU\�PHDVXUHV�WR�PRGLI\�WKH
FDXVHV�RI�D�SRWHQWLDO�FRQIOLFW�DQG�SUHYHQW�LWV�RQVHW�
'
'HFHSWLRQ 7KRVH�PHDVXUHV�GHVLJQHG�WR�PLVOHDG�DQ�RSSRQHQW�WR�UHDFW�LQ�D�PDQQHU�SUHMXGLFLDO
WR�KLV�LQWHUHVWV��-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\
VRPHWKLQJ�ZLWKRXW�GHVWUR\LQJ�LW���IRU�H[DPSOH�GHQ\LQJ�WKH�XVH�RI�D�EULGJH�RU�URDG�E\�EORFNLQJ�LW�
'HWHUUHQFH 7KH�WKUHDW�RI�PLOLWDU\�IRUFH�WR�GLVVXDGH�DQ�DGYHUVDU\�IURP�UHVRUWLQJ�WR�D�SDUWLFXODU
FRXUVH�RI�DFWLRQ��E\�FRQYLQFLQJ�KLP�WKDW�WKH�FRVWV�RI�SXUVXLQJ�LW�ZLOO�RXWZHLJK�SRWHQWLDO�JDLQV�
'LVUXSWLRQ )RUFH� WKDW� LV�XVHG� WR�VKDWWHU� WKH�FRKHVLRQ�RI�D�PLOLWDU\� IRUPDWLRQ�DQG�SUHYHQW� LW
IURP�IXQFWLRQLQJ�HIIHFWLYHO\�LQ�FRPEDW�
'RFWULQH )XQGDPHQWDO� SULQFLSOHV� E\� ZKLFK� WKH� PLOLWDU\� IRUFHV� JXLGH� WKHLU� DFWLRQV� LQ
VXSSRUW�RI�REMHFWLYHV���,W�LV�DXWKRULWDWLYH�EXW�UHTXLUHV�MXGJHPHQW�LQ�DSSOLFDWLRQ����-63��������,W�LV
DOVR�G\QDPLF��DQG�PXVW�EH�FRQVWDQWO\�UHYLHZHG�IRU�UHOHYDQFH�
'XDO�8VH *RRGV�ZKLFK�DUH�QRW�VSHFLDOO\�GHVLJQHG�RU�PRGLILHG�IRU�PLOLWDU\�XVH��EXW�ZKLFK
DUH�FDSDEOH�RI�EHLQJ�HPSOR\HG�LQ�WKH�GHYHORSPHQW��SURGXFWLRQ��XVH�RU�HQKDQFHPHQW�RI�PLOLWDU\
FDSDELOLWLHV����3$&6�02'��
(
(QG�6WDWH 7KDW�VWDWH�RI�DIIDLUV�ZKLFK�QHHGV�WR�EH�DFKLHYHG�DW�WKH�HQG�RI�D�FDPSDLJQ�HLWKHU�WR
WHUPLQDWH�RU�WR�UHVROYH�WKH�FRQIOLFW�RQ�IDYRXUDEOH�WHUPV���$'3�2SV�9RO����
(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
PDLQWDLQ�D�FRPPLWPHQW���6HH�VXVWDLQDELOLW\�
*ORVVDU\ �
(VFDODWLRQ�GH�HVFDODWLRQ $�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�
ZLWKLQ�UHTXLUHG�UHDGLQHVV�DQG�SUHSDUDWLRQ�WLPHV�
)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
VLQJOH�6HUYLFH�FRPPDQGHUV�ZKR�GHULYH�WKHLU�DXWKRULW\�IURP�&'6�DQG�WKH�'HIHQFH�&RXQFLO�
**HQHUDO�:DU $�FRQIOLFW�EHWZHHQ�PDMRU�SRZHUV�LQ�ZKLFK�WKHLU�ODUJH�DQG�YLWDO�LQWHUHVWV��SHUKDSV
HYHQ�VXUYLYDO�DUH�DW�VWDNH�
*UDQG�6WUDWHJLF�/HYHO 7KH� DSSOLFDWLRQ� RI� QDWLRQDO� UHVRXUFHV� WR� DFKLHYH� QDWLRQDO� SROLF\
REMHFWLYHV��LQFOXGLQJ�DOOLDQFH�RU�FRDOLWLRQ�REMHFWLYHV��
,,QIRUPDWLRQ ,QIRUPDWLRQ�HPEUDFHV�DOO� WKH�NQRZOHGJH�QHHGHG�E\�D�FRPPDQGHU�DQG�KLV� IRUFH�
LQFOXGLQJ�LQWHOOLJHQFH�RQ�WKH�HQHP\��NQRZOHGJH�RI�RZQ�IRUFHV��ZHDWKHU��JHRJUDSKLF�GDWD��HWF�
,QVXUJHQF\ 7KH�DFWLRQV�RI�D�JURXS�ZLWKLQ�D�VWDWH��LQWHQW�RQ�IRUFLQJ�SROLWLFDO�FKDQJH�E\�PHDQV
RI� D� PL[WXUH� RI� VXEYHUVLRQ�� SURSDJDQGD� DQG� PLOLWDU\� SUHVVXUH�� � 7KH� LQWHQW� LV� WR� SHUVXDGH� RU
LQWLPLGDWH�WKH�EURDG�PDVV�RI�WKH�SHRSOH�WR�DFFHSW�VXFK�FKDQJH�
,QWHJUDWHG�&RQWLQJHQF\�3ODQQLQJ 7KH�EXVLQHVV�RI�SODQQLQJ�D�JUDGXDWHG�PLOLWDU\�UHVSRQVH�WR�D
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\
$LG�WR�WKH�&LYLO�$XWKRULWLHV�DQG�PLOLWDU\�VXSSRUW�WR�WKH�PRXQWLQJ�RI�RSHUDWLRQV�
,QWHOOLJHQFH 7KH�SURGXFW�UHVXOWLQJ�IURP�WKH�SURFHVVLQJ�RI�LQIRUPDWLRQ��ERWK�RYHUW�DQG�FRYHUW�
FRQFHUQLQJ�IRUHLJQ�QDWLRQV��KRVWLOH�RU�SRWHQWLDOO\�KRVWLOH�IRUFHV�RU�HOHPHQWV��RU�DUHDV�RI�DFWXDO�RU
SRWHQWLDO�RSHUDWLRQV���7KH�WHUP�LV�DOVR�DSSOLHG�WR�WKH�DFWLYLW\�ZKLFK�UHVXOWV�LQ�WKH�SURGXFW�DQG�WR
WKH�RUJDQLVDWLRQV�HQJDJHG�LQ�VXFK�DFWLYLW\�
,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
WKHP�WR�RSHUDWH�HIIHFWLYHO\�WRJHWKHU����-63������
,QWHUYHQWLRQ $�FDPSDLJQ�RU�RSHUDWLRQ�ZLWK�OLPLWHG�REMHFWLYHV�� LQYROYLQJ� WKH�HQWU\�RI�FRPEDW
IRUFHV�LQWR�WKH�WHUULWRU\�RU�DUHD�RI�MXULVGLFWLRQ�RI�DQRWKHU�VWDWH�ZKHUH�RSSRVLWLRQ�LV�H[SHFWHG�
*ORVVDU\ �
--RLQW�&RPPDQGHU��-&� $� FRPPDQGHU� DSSRLQWHG� E\� WKH� &KLHI� RI� WKH� 'HIHQFH� 6WDII� WR
H[HUFLVH�23&20�RI�DOO�IRUFHV�DVVLJQHG�WR�D�MRLQW�RSHUDWLRQ�
-RLQW�)RUFH�&RPPDQGHU��-)&� $�FRPPDQGHU�DXWKRULVHG�WR�H[HUFLVH�FRPPDQG�DXWKRULW\�RU
RSHUDWLRQDO�FRQWURO�RYHU�D�MRLQW�IRUFH����$-3���$���
-RLQW�)RUFH�+4��-)+4� 7KH� RSHUDWLRQDO�+4� RI� WKH� -)&�� QRUPDOO\� FORVH� WR� RU�ZLWKLQ� WKH
WKHDWUH�RI�RSHUDWLRQV���-63����
-RLQW�+4��-+4� 7KH�RSHUDWLRQDO�+4�RI�WKH�-&�
//HYHOV�RI�:DUIDUH 7KH�UHFRJQLVHG�OHYHOV�RI�ZDUIDUH��IURP�ZKLFK�WKH�OHYHOV�IRU�WKH�SODQQLQJ
DQG� FRPPDQG� RI� RSHUDWLRQV� � DUH� GHULYHG�� 7KH\� DUH�� JUDQG� VWUDWHJLF�� PLOLWDU\� VWUDWHJLF�
RSHUDWLRQDO�DQG�WDFWLFDO�
/LPLWHG�:DU &ROG�:DU� WHUP�XVHG� WR� GHVFULEH� LQWHUQDWLRQDO� FRQIOLFW� VKRUW� RI�*HQHUDO�:DU�� LQ
ZKLFK�WKHUH�ZRXOG�EH�QR�UHFRXUVH�WR�WKH�XVH�RI�QXFOHDU�ZHDSRQV�
/RJLVWLFV 7KH� VFLHQFH� RI� SODQQLQJ� DQG� FDUU\LQJ� RXW� WKH� PRYHPHQW� DQG� PDLQWHQDQFH� RI
IRUFHV���,Q�LWV�PRVW�FRPSUHKHQVLYH�VHQVH��WKRVH�DVSHFWV�RI�PLOLWDU\�RSHUDWLRQV�ZKLFK�GHDO�ZLWK�
D� 'HVLJQ� DQG� GHYHORSPHQW�� DFTXLVLWLRQ�� VWRUDJH�� PRYHPHQW�� GLVWULEXWLRQ�
PDLQWHQDQFH��HYDFXDWLRQ�DQG�GLVSRVLWLRQ�RI�PDWHULHO�
E� 0RYHPHQW��HYDFXDWLRQ�DQG�KRVSLWDOLVDWLRQ�RI�SHUVRQQHO�
F� $FTXLVLWLRQ�RU�FRQVWUXFWLRQ��PDLQWHQDQFH��RSHUDWLRQ�DQG�GLVSRVLWLRQ�RI�IDFLOLWLHV�
DQG
G� $FTXLVLWLRQ�RU�IXUQLVKLQJ�RI�VHUYLFHV����-63������
00DQRHXYUH 7R�VHHN�WR�JHW� LQWR�D�SRVLWLRQ�RI�DGYDQWDJH�LQ�UHVSHFW�RI� WKH�HQHP\�IURP�ZKLFK
IRUFH�FDQ�EH�WKUHDWHQHG�RU�DSSOLHG���6XFK�PDQRHXYUH�VKRXOG�EH�GLUHFWHG�WRZDUGV�D�GHFLVLYH�SRLQW
RU�GLUHFWO\�DW�WKH�FHQWUH�RI�JUDYLW\����$'3�2SV�9RO����
0DQRHXYUH�:DUIDUH$�VW\OH�RI�ZDUIDUH�WKDW�VHHNV�WR�GHVWUR\�DQ�HQHP\V�FRKHVLRQ�DQG��KLV�ZLOO
WR� ZLQ� WKURXJK� D� VHULHV� RI� UDSLG�� YLROHQW� DQG� XQH[SHFWHG� DFWLRQV� WKDW� FUHDWH� D� WXUEXOHQW� DQG
UDSLGO\� GHWHULRUDWLQJ� VLWXDWLRQ� ZLWK� ZKLFK� KH� FDQQRW� FRSH�� � (VVHQWLDOO\�� LW� DLPV� WR� GHIHDW� WKH
HQHP\��FI�DWWULWLRQ�ZDUIDUH��
0DWHULHO 7KH�VWRUHV�DQG�HTXLSPHQW��DV�RSSRVHG�WR�SHUVRQQHO��DYDLODEOH�RU�UHTXLUHG�IRU�DQ
XQGHUWDNLQJ����2('��
0LOLWDU\�$LG�WR�WKH�&LYLO�&RPPXQLW\��0$&&� 7KH� SURYLVLRQ� RI� VHUYLFH� SHUVRQQHO� DQG
HTXLSPHQW�ERWK�LQ�HPHUJHQFLHV��VXFK�DV�QDWXUDO�GLVDVWHUV��DQG�LQ�URXWLQH�VLWXDWLRQV�WR�DVVLVW�WKH
FRPPXQLW\�DW�ODUJH�
*ORVVDU\ �
0LOLWDU\�$LG�WR�WKH�&LYLO�0LQLVWULHV��0$&0� 7KH� XVH� RI�PLOLWDU\� IRUFHV� IRU� QRQ�PLOLWDU\
JRYHUQPHQW�WDVNV��LQFOXGLQJ�DVVLVWDQFH�WR�PDLQWDLQ�WKH�HVVHQWLDOV�RI�OLIH�LQ�WKH�FRPPXQLW\�RU�WR
XQGHUWDNH�XUJHQW�ZRUN�RI�QDWLRQDO�LPSRUWDQFH�
0LOLWDU\�$LG�WR�WKH�&LYLO�3RZHU��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�DQG�RU�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
UHPDLQ�VXEMHFW�WR�GRPHVWLF�ODZ�
0LOLWDU\�DSSOLFDWLRQ��RU�XVH��RI�IRUFH $SSOLFDWLRQ�RI�DUPHG�IRUFH�LQ�ZKLFK�FRPEDW�LV�XVHG
RU�WKUHDWHQHG��RU�LQ�ZKLFK�FRPEDW�SRWHQWLDO�LV�D�SUHUHTXLVLWH�IRU�VXFFHVV�
0LOLWDU\�&DSDELOLW\ 7KH�RYHUDOO�DELOLW\�RI� WKH�$UPHG�IRUFHV� WR�DFKLHYH�PLOLWDU\�REMHFWLYHV� LQ
VXSSRUW�RI�D�SROLWLFDO�SXUSRVH�
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
PDQQHU�LQ�ZKLFK�PLOLWDU\�SRZHU�VKRXOG�EH�GHYHORSHG�DQG�DSSOLHG�WR�DFKLHYH�QDWLRQDO�REMHFWLYHV
RU�WKRVH�RI�D�JURXS�RI�QDWLRQV����-63������
0LVVLRQ $�FOHDU��FRQFLVH�VWDWHPHQW�RI�WKH�WDVN�RI�D�FRPPDQGHU�DQG�LWV�SXUSRVH�-63������
$�PLVVLRQ�RU�GLUHFWLYH�PD\�VSDZQ�D�QXPEHU�RI�PLOLWDU\�REMHFWLYHV���3DUW�RI�0LVVLRQ�$QDO\VLV�LV
WR�UHVROYH�WKHVH�REMHFWLYHV�LQWR�D�VLQJOH�DLP�DQG�VXERUGLQDWH�REMHFWLYHV���-63�����
0RELOLW\ $�TXDOLW\�RU�FDSDELOLW\�RI�PLOLWDU\�IRUFHV�ZKLFK�SHUPLWV�WKHP�WR�PRYH�IURP�SODFH
WR�SODFH�ZKLOH�UHWDLQLQJ�WKH�DELOLW\�WR�IXOILO�WKHLU�SULPDU\�PLVVLRQ����-63��������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\�WR�FUHDWH�DQG�H[SORLW�RSSRUWXQLW\�LQ�WKH�%DWWOHVSDFH�
11RQ�&RPEDWDQW�(YDFXDWLRQ�2SHUDWLRQV��1(2� 2SHUDWLRQV� LQYROYLQJ� WKH� UHPRYDO� RI� 8.
QDWLRQDOV��DQG�RWKHUV� LI� UHTXHVWHG�� IURP�IRUHLJQ� WHUULWRU\�XVLQJ�PLOLWDU\� IRUFHV� WR�FDUU\�RXW� WKDW
UHPRYDO�
22IIHQVLYH�2SHUDWLRQV 2SHUDWLRQV�LQ�ZKLFK�IRUFHV�VHHN�RXW� WKH�HQHP\�LQ�RUGHU� WR�DWWDFN
KLP����-63������
2SHUDWLRQ $�PLOLWDU\�DFWLRQ�RU� WKH�FDUU\LQJ�RXW�RI�D�VWUDWHJLF�� WDFWLFDO�� VHUYLFH�� WUDLQLQJ��RU
DGPLQLVWUDWLYH�PLOLWDU\�PLVVLRQ��WKH�SURFHVV�RI�FDUU\LQJ�RQ�FRPEDW��LQFOXGLQJ�PRYHPHQW��VXSSO\�
DWWDFN��GHIHQFH�DQG�PDQRHXYUH�QHHGHG�WR�JDLQ�WKH�REMHFWLYHV�RI�DQ\�EDWWOH�RU�FDPSDLJQ���>$-3�
��$�@�
*ORVVDU\ �
2SHUDWLRQDO�$UW 7KH�VNLOIXO�HPSOR\PHQW�RI�PLOLWDU\�IRUFHV�WR�DWWDLQ�VWUDWHJLF�JRDOV�WKURXJK
WKH�GHVLJQ�� RUJDQLVDWLRQ�� LQWHJUDWLRQ� DQG� FRQGXFW�RI� FDPSDLJQV�� �PDMRU�RSHUDWLRQV� DQG�EDWWOHV�
�$-3���$�����,W�LV�WKH�HVVHQFH�RI�FRPPDQG�DW�WKH�RSHUDWLRQDO�OHYHO�
2SHUDWLRQDO�&RPPDQG��23&20� 7KH�DXWKRULW\�JUDQWHG� WR� D� FRPPDQGHU� WR� DVVLJQ�PLVVLRQV
RU�WDVNV�WR�VXERUGLQDWH�FRPPDQGHUV��WR�GHSOR\�XQLWV��WR�UHDVVLJQ�IRUFHV�DQG�WR�UHWDLQ�RU�GHOHJDWH
RSHUDWLRQDO�DQG�RU� 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
VLQJOH�VHUYLFH�RU� MRLQW�FRPPDQGHU�� LW� LV� WKH�KLJKHVW�GHJUHH�RI� �FRPPDQG�DXWKRULW\� WKDW�QDWLRQV
ZLOO�GHOHJDWH�WR�D�01&�
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\
OLPLWHG�E\�IXQFWLRQ��WLPH�RU�ORFDWLRQ��WR�GHSOR\�XQLWV�FRQFHUQHG��DQG�WR�UHWDLQ�RU�DVVLJQ�WDFWLFDO
FRQWURO� RI� WKRVH� XQLWV�� � ,W� GRHV� QRW� LQFOXGH� DXWKRULW\� WR� DVVLJQ� VHSDUDWH� HPSOR\PHQWV� RI
FRPSRQHQWV�RI�WKH�XQLWV�FRQFHUQHG���1HLWKHU�GRHV�LW��RI�LWVHOI��LQFOXGH�DGPLQLVWUDWLYH�RU�ORJLVWLF
FRQWURO����-63������
2SHUDWLRQDO�/HYHO 7KH� 2SHUDWLRQDO� /HYHO� LV� FRQFHUQHG� ZLWK� WKH� GLUHFWLRQ� RI� PLOLWDU\
UHVRXUFHV�WR�DFKLHYH�PLOLWDU\�VWUDWHJLF�REMHFWLYHV���,W�LV�WKH�OHYHO�DW�ZKLFK�FDPSDLJQV�DQG�PDMRU
RSHUDWLRQV�DUH�SODQQHG��SKDVHG�DQG�GLUHFWHG�
33HDFH�(QIRUFHPHQW��3(� 2SHUDWLRQV�FDUULHG�RXW�WR�UHVWRUH�SHDFH�EHWZHHQ�EHOOLJHUHQW�SDUWLHV
ZKR�GR�QRW�DOO�FRQVHQW�WR�LQWHUYHQWLRQ�DQG�ZKR�PD\�EH�HQJDJHG�LQ�FRPEDW�DFWLYLWLHV�
3HDFHNHHSLQJ��3.� 2SHUDWLRQV�FDUULHG�RXW�ZLWK�WKH�JHQHUDO�FRQVHQW�RI� WKH�EHOOLJHUHQW�SDUWLHV
LQ�VXSSRUW�RI�HIIRUWV�WR�DFKLHYH�RU�PDLQWDLQ�SHDFH�LQ�RUGHU�WR�SURPRWH�VHFXULW\�DQG�VXVWDLQ�OLIH�LQ
DUHDV�RI�SRWHQWLDO�RU�OLPLWHG�FRQIOLFW�
3ULQFLSOHV�RI�:DU %URDG�SUHFHSWV�GLVWLOOHG� IURP�H[SHULHQFH�ZKLFK� LQIOXHQFH� WKH�FRQGXFW�RI
DUPHG�FRQIOLFW�DQG�ZKLFK�VKRXOG�LQIRUP�DOO�VWUDWHJLF�DQG�RSHUDWLRQDO�GHFLVLRQV���7KHUH�LV�VRPH
YDULDWLRQ�EHWZHHQ�WKH�3ULQFLSOHV�RI�:DU�DFFHSWHG�E\�GLIIHUHQW�QDWLRQV���7KH�8.�3ULQFLSOHV�DUH�DW
$QQH[�$�
3V\FKRORJLFDO�2SHUDWLRQV��36<236� 3ODQQHG� SV\FKRORJLFDO� DFWLYLWLHV� LQ� SHDFH� DQG� ZDU
GLUHFWHG�WR�HQHP\��IULHQGO\�DQG�QHXWUDO�DXGLHQFHV�LQ�RUGHU� WR� LQIOXHQFH�DWWLWXGHV�DQG�EHKDYLRXU
DIIHFWLQJ� WKH� DFKLHYHPHQW� RI� SROLWLFDO� DQG� PLOLWDU\� REMHFWLYHV�� � 7KH\� LQFOXGH� VWUDWHJLF
SV\FKRORJLFDO�DFWLYLWLHV��DQG�EDWWOHILHOG�SV\FKRORJLFDO�DFWLYLWLHV���>$$3��@�
55HDGLQHVV 7KH�WLPH�ZLWKLQ�ZKLFK�D�XQLW�RU�IRUPDWLRQ�FDQ�EH�PDGH�UHDG\�DW�WKH�DSSURSULDWH
ORFDWLRQ��WKDW�LV�LWV�QRUPDO�SHDFHWLPH�EDVH�RU��IRU�VKLSV�DOUHDG\�DW�VHD��LWV�FXUUHQW�ORFDWLRQ���$�XQLW
RU� IRUPDWLRQ� LV� VDLG� WR� EH� UHDG\� ZKHQ� LW� LV� PDQQHG�� HTXLSSHG� DQG� WUDLQHG� IRU� WKH� WDVN� DQG
VXSSRUWHG�DSSURSULDWHO\�
5HFRQVWLWXWLRQ 7KH� 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�VXSSRUW�WKH�SURFXUHPHQW�RI�HTXLSPHQW�DQG�VWRFNV�
*ORVVDU\ �
5HFXSHUDWLRQ 7KH�UHSODFHPHQW�RI�UHVRXUFHV��IROORZLQJ�WKH�XVH�RI�PLOLWDU\�IRUFH��LQ�SUHSDUDWLRQ
IRU�IXUWKHU�RSHUDWLRQV�
5HJHQHUDWLRQ 7KH� 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�
5HJLRQDO�&RQIOLFW $�FRQIOLFW�ZKHUH�WKH�ILJKWLQJ�LV�FRQWDLQHG�ZLWKLQ�D�SDUWLFXODU�JHRJUDSKLF
DUHD���,WV�SROLWLFDO�DQG�HFRQRPLF�HIIHFWV��KRZHYHU��PD\�UHYHUEHUDWH�IXUWKHU�DILHOG�DQG�WKHUH�PD\
EH� LQYROYHPHQW� IURP� EH\RQG� WKH� UHJLRQ�� VXFK� DV� WKH� VXSSO\� RI� PLOLWDU\� HTXLSPHQW�� DGYLVHUV
DQG�RU�YROXQWHHUV�E\�WKLUG�SDUWLHV�
5RXOHPHQW 7KH�URWDWLRQ�RI�SHUVRQQHO�RU�XQLWV�LQ�WKH�IURQW�OLQH�ZLWK�WKRVH�LQ�UHVHUYH�LQ�RUGHU
WR�PDLQWDLQ�WKH�ILJKWLQJ�HIIHFWLYHQHVV�RI�WKH�IRUFHV�HQJDJHG�LQ�DQ�RSHUDWLRQ�
5XOHV�RI�(QJDJHPHQW��52(� 'LUHFWLYHV� LVVXHG� E\� FRPSHWHQW� PLOLWDU\� DXWKRULW\� ZKLFK
VSHFLI\� WKH� FLUFXPVWDQFHV� DQG� OLPLWDWLRQV� XQGHU� ZKLFK� IRUFHV� ZLOO� LQLWLDWH� DQG�RU� FRQWLQXH
FRPEDW�HQJDJHPHQWV���8.�52(�DUH�H[SUHVVHG�LQ�SHUPLVVLRQV�DQG�SURKLELWLRQV�
66DQFWLRQ��81� $�SHQDOW\�LPSRVHG�RQ�D�VWDWH�ZLWK�WKH�LQWHQWLRQ�RI�LQIOXHQFLQJ�WKDW�VWDWH�WR
FRPSO\�ZLWK�D�6HFXULW\�&RXQFLO�5HVROXWLRQ�RU�RWKHUZLVH�WR�DELGH�E\�LQWHUQDWLRQDO�ODZ�
6HFXULW\ 7KH� SURWHFWLRQ� RI� EDVHV�� SODWIRUPV� DQG� ZHDSRQ� V\VWHPV�� PHQ�� PDWHULHO� DQG
LQIRUPDWLRQ� WR� SUHVHUYH� D� FRPPDQGHUV� IUHHGRP� RI� DFWLRQ� DQG�PLQLPLVH� WKH� HIIHFWV� RI� HQHP\
DFWLRQ���,W�LQYROYHV�GRPLQDWLQJ�WKH�HOHFWURQLF�VSHFWUXP�
6HTXHQFLQJ 7KH�DUUDQJHPHQW�RI� HYHQWV� LQ� D� VHTXHQWLDO� FDPSDLJQ� LQ� DQ� RUGHU�PRVW� OLNHO\� WR
DFKLHYH�WKH�HOLPLQDWLRQ�RI�WKH�HQHP\V�FHQWUH�RI�JUDYLW\����$'3�9RO����
6HTXHQWLDO�&DPSDLJQ $�FDPSDLJQ�ZKLFK�FRQVLVWV�RI�D�VHULHV�RI�GLVFUHWH�SKDVHV��VWHSV�RU
DFWLRQV�HDFK�RI�ZKLFK�LV�VKDSHG�WR�VRPH�H[WHQW�E\�WKH�RXWFRPH�RI�WKRVH�SUHFHGLQJ�
6SHFWUXP�RI�&RQIOLFW7KH�IXOO�UDQJH�RI�OHYHOV�RI�YLROHQFH�IURP�VWDEOH�SHDFH�XS�WR�DQG�LQFOXGLQJ
JHQHUDO�ZDU�
6WDWHPHQW�RQ�WKH�'HIHQFH�(VWLPDWHV��6'(� $QQXDO� VWDWHPHQW� SUHVHQWHG� WR� 3DUOLDPHQW
E\� WKH� 6HFUHWDU\� RI� 6WDWH� IRU�'HIHQFH�ZKLFK�PD\� LQFOXGH� WKH� SXEOLF� SUHVHQWDWLRQ� RI� 'HIHQFH
SROLF\���$OVR�NQRZQ�DV�WKH�'HIHQFH�:KLWH�3DSHU�
6WUDWHJLF�'LUHFWLYH $� VWUDWHJLF� GLUHFWLYH� LV� LVVXHG� WR� WKH� RSHUDWLRQDO� FRPPDQGHU� E\� WKH
PLOLWDU\�VWUDWHJLF�DXWKRULW\�ZKLFK��LQ�WKH�FDVH�RI�LQGHSHQGHQW�8.�RSHUDWLRQV�ZLOO�EH�WKH�&KLHI�RI
WKH� 'HIHQFH� 6WDII�� � ,W� VKRXOG� FRQWDLQ� WKH� VWUDWHJLF� JRDOV�� FRQGLWLRQV� IRU� VXFFHVV�� SROLWLFDO
FRQVWUDLQWV��ILQDQFLDO�OLPLWDWLRQV�DQG�DYDLODEOH�IRUFHV�DQG�UHVRXUFHV���$'3�9RO����
6WUDWHJ\ 6WUDWHJ\�LV�WKH�DUW�RI�FUHDWLQJ�D�GHVLUHG�SDWWHUQ�WR�HYHQWV��ZKHUH�WKH�HQGV�DQG�WKH
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
GXUDWLRQ�UHTXLUHG�WR�DFKLHYH�LWV�REMHFWLYHV����$$3����
*ORVVDU\ �
77DFWLFDO�&RPPDQG��7$&20� 7KH�DXWKRULW\�GHOHJDWHG�WR�D�FRPPDQGHU�WR�DVVLJQ�WDVNV�WR
IRUFHV�XQGHU�KLV�FRPPDQG�IRU�WKH�DFFRPSOLVKPHQW�RI�WKH�PLVVLRQ�DVVLJQHG�E\�KLJKHU�DXWKRULW\�
�-63������
7DFWLFDO�&RQWURO���7$&21� 7KH�GHWDLOHG�DQG�XVXDOO\�ORFDO�GLUHFWLRQ�DQG�FRQWURO�RI�PRYHPHQWV
RU�PDQRHXYUHV�QHFHVVDU\�WR�DFFRPSOLVK�PLVVLRQV�RU�WDVNV�DVVLJQHG����-63������
7DFWLFDO�/HYHO 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�
7HPSR 7KH� UDWH� RU� UK\WKP� RI� PLOLWDU\� DFWLYLW\� UHODWLYH� WR� WKH� HQHP\�� ZLWKLQ� WDFWLFDO
HQJDJHPHQWV�DQG�EDWWOHV�DQG�EHWZHHQ�PDMRU�RSHUDWLRQV��$'3�2SV�9RO����
7HUURULVP 3UHPHGLWDWHG��SROLWLFDOO\�PRWLYDWHG�YLROHQFH�SHUSHWUDWHG�E\�JURXSV�RU�LQGLYLGXDOV
DQG�XVXDOO\�LQWHQGHG�WR�LQIOXHQFH�DQ�DXGLHQFH�ZLGHU�WKDQ�WKDW�RI�LWV�LPPHGLDWH�YLFWLPV�
::DU 7KH�PRVW� H[WUHPH�PDQLIHVWDWLRQ� RI� DUPHG� FRQIOLFW�� FKDUDFWHULVHG� E\� LQWHQVH�� H[WHQVLYH
DQG�VXVWDLQHG�FRPEDW��XVXDOO\�EHWZHHQ�VWDWHV�