Vous êtes sur la page 1sur 366

Foreword

7RGD\¶V RSHUDWLRQDO HQYLURQPHQW SUHVHQWV WKUHDWV WR WKH $UP\ DQG MRLQW IRUFH WKDW DUH VLJQLILFDQWO\ PRUH
GDQJHURXVLQWHUPVRIFDSDELOLW\DQG PDJQLWXGHWKDQWKRVH ZH IDFHGLQ,UDTDQG $IJKDQLVWDQ0DMRUUHJLRQDO
SRZHUV OLNH 5XVVLD &KLQD ,UDQ DQG 1RUWK .RUHD DUH DFWLYHO\ VHHNLQJ WR JDLQ VWUDWHJLF SRVLWLRQDO DGYDQWDJH
7KHVHQDWLRQVDQGRWKHUDGYHUVDULHVDUHILHOGLQJFDSDELOLWLHVWRGHQ\ORQJKHOG86IUHHGRPRIDFWLRQLQWKHDLU
ODQGPDULWLPHVSDFHDQGF\EHUVSDFHGRPDLQVDQGUHGXFH86LQIOXHQFHLQFULWLFDODUHDVRIWKHZRUOG,QVRPH
FRQWH[WVWKH\DOUHDG\KDYHRYHUPDWFKRUSDULW\DFKDOOHQJHWKHMRLQWIRUFHKDVQRWIDFHGLQWZHQW\ILYH\HDUV
7KH SUROLIHUDWLRQ RI DGYDQFHG WHFKQRORJLHV DGYHUVDU\ HPSKDVLV RQ IRUFH WUDLQLQJ PRGHUQL]DWLRQ DQG
SURIHVVLRQDOL]DWLRQWKHULVHRIUHYLVLRQLVWUHYDQFKLVWDQGH[WUHPLVWLGHRORJLHVDQGWKHHYHULQFUHDVLQJVSHHGRI
KXPDQLQWHUDFWLRQPDNHVODUJHVFDOHJURXQGFRPEDWPRUHOHWKDODQGPRUHOLNHO\WKDQLWKDVEHHQLQDJHQHUDWLRQ
$VWKH $UP\DQGWKH MRLQWIRUFHIRFXVHGRQFRXQWHULQVXUJHQF\DQGFRXQWHUWHUURULVPDWWKH H[SHQVH RIRWKHU
FDSDELOLWLHVRXUDGYHUVDULHVZDWFKHGOHDUQHGDGDSWHGPRGHUQL]HGDQGGHYLVHGVWUDWHJLHVWKDWSXWXVDWDSRVLWLRQ
RIUHODWLYHGLVDGYDQWDJHLQSODFHVZKHUHZHPD\EHUHTXLUHGWRILJKW
7KH$UP\DQGMRLQWIRUFHPXVWDGDSWDQGSUHSDUHIRUODUJHVFDOHFRPEDWRSHUDWLRQVLQKLJKO\FRQWHVWHGOHWKDO
HQYLURQPHQWVZKHUHHQHPLHVHPSOR\SRWHQWORQJUDQJHILUHVDQGRWKHUFDSDELOLWLHVWKDWULYDORUVXUSDVVRXURZQ
7KH ULVNRILQDFWLRQLV JUHDW WKH OHVVSUHSDUHG ZHDUHWR PHHWWKHVHFKDOOHQJHVWKHJUHDWHUWKHOLNHOLKRRGIRU
FRQIOLFW ZLWK WKRVH ZKR VHHN ZLQGRZV RI RSSRUWXQLW\ WR H[SORLW7KH UHGXFWLRQ RI IULHQGO\ IRUZDUGVWDWLRQHG
IRUFHVVLJQLILFDQWUHGXFWLRQVLQFDSDELOLW\DQGFDSDFLW\DFURVVWKHHQWLUHMRLQWIRUFHDQGWKHSDFHRIPRGHUQL]DWLRQ
PDNHLWLPSHUDWLYHWKDWZHGRHYHU\WKLQJSRVVLEOHWRSUHSDUHIRUZRUVWFDVHVFHQDULRV:HPXVWEHUHDG\WRZLQ
ZLWKWKHIRUFHVZHKDYHDQGKDYLQJWKHULJKWGRFWULQHLVDFULWLFDOSDUWRIWKDWUHDGLQHVV
)02SHUDWLRQVSURYLGHVDGRFWULQDODSSURDFKIRURXUWKHDWHUDUPLHVFRUSVGLYLVLRQVDQGEULJDGHVWRDGGUHVV
WKH FKDOOHQJHV RI VKDSLQJ RSHUDWLRQDO HQYLURQPHQWV SUHYHQWLQJ FRQIOLFW SUHYDLOLQJ GXULQJ ODUJHVFDOH JURXQG
FRPEDWDQGFRQVROLGDWLQJJDLQVWRIROORZWKURXJKRQWDFWLFDOVXFFHVV)0LVDERXWKRZZHGHWHUDGYHUVDULHV
DQGILJKWDSHHUWKUHDWWRGD\ZLWKWRGD\¶VIRUFHVDQGWRGD\¶VFDSDELOLWLHV,WDGGUHVVHVRSHUDWLRQVWRFRXQWHUWKUHDWV
LQWKUHHEURDGFRQWH[WVWKDWDFFRXQWIRUZKDWWKH1DWLRQDVNVLWV$UP\WRGR7ZRFKDSWHUVGHVFULEHRSHUDWLRQVWR
GHIHDWDJJUHVVLRQE\VXEYHUVLRQRI86SDUWQHUVDQGLQWHUHVWVZKLFKLVIXQGDPHQWDOWRZLQQLQJVKRUWRIZDU
7KUHH FKDSWHUV GHVFULEH RSHUDWLRQV WR GHIHDW HQHPLHV GXULQJ ODUJHVFDOH JURXQG FRPEDW RSHUDWLRQV ZKLFK LV
IXQGDPHQWDOWRZLQQLQJZDUV7KHILQDOFKDSWHUGHVFULEHVRSHUDWLRQVWRFRPSOHWHWKHWDVNVQHFHVVDU\WRHQVXUH
HQGXULQJRXWFRPHVZKLFKLVIXQGDPHQWDOWRDFKLHYLQJWKHXOWLPDWHVWUDWHJLFSXUSRVHRIHPSOR\LQJ$UP\IRUFHV
+RZHYHU GRFWULQH LV RQO\ RQH IDFWRU LQ KRZ ZH ILJKW 2I JUHDWHU LPSRUWDQFH LV RXU WUDLQLQJ DQG OHDGHU
GHYHORSPHQW%XLOGLQJDJLOHDQGDGDSWLYHOHDGHUVDQGXQLWVWKDWFDQSUHYDLOLQWKHUHOHQWOHVVO\OHWKDOHQYLURQPHQW
RIODUJHVFDOHFRPEDWRSHUDWLRQVUHTXLUHVWRXJKUHDOLVWLFDQGUHSHWLWLYHWUDLQLQJ)0SURYLGHVWKHWDFWLFDODQG
RSHUDWLRQDOGRFWULQHWRGULYHRXUSUHSDUDWLRQDQGZKHQQHFHVVDU\H[HFXWLRQ

0,&+$(/' /
0,&+$(/'/81'<
/,(87(1$17
/,(87(1$17*(1(5$/81,7('67$7(6$50<
&200$1',1
&200$1',1*
)0&
&KDQJH1R +HDGTXDUWHUV
'HSDUWPHQWRIWKH$UP\
:DVKLQJWRQ'&'HFHPEHU

Operations
 $SOXVVLJQ  PDUNVQHZPDWHULDO
 )0 2FWREHULVFKDQJHGDVIROORZV
5HPRYH2OG3DJHV ,QVHUW1HZ3DJHV
SDJHVLLL WKURXJKYL SDJHVLLL WKURXJKYL
SDJHVL[WKURXJK[LL SDJHVL[WKURXJK[LL
SDJHV WKURXJK SDJHVWKURXJK
SDJHVWKURXJK SDJHVWKURXJK
SDJHVWKURXJK SDJHVWKURXJK
SDJHVWKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHV WKURXJK
SDJHVWKURXJK SDJHVWKURXJK
SDJHVWKURXJK 3DJHV WKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHVWKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHVWKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHVWKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHVWKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHV WKURXJK
SDJHVWKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHVWKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHV WKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHVWKURXJK SDJHVWKURXJK
SDJHVWKURXJK SDJHVWKURXJK
SDJHVWKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHV WKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHV WKURXJK SDJHVWKURXJK
SDJHVWKURXJK SDJHVWKURXJK
SDJHVWKURXJK SDJHVWKURXJK
SDJHVWKURXJK SDJHVWKURXJK
SDJHV$WKURXJK$ SDJHV$WKURXJK$
SDJHV*ORVVDU\ WKURXJK*ORVVDU\ SDJHV*ORVVDU\WKURXJK*ORVVDU\
SDJHV5HIHUHQFHVWKURXJK5HIHUHQFHV SDJHV5HIHUHQFHVWKURXJK5HIHUHQFHV
SDJHV,QGH[WKURXJK,QGH[ SDJHV,QGH[WKURXJK,QGH[
 )LOHWKLVWUDQVPLWWDOVKHHWLQIURQWRIWKHSXEOLFDWLRQIRUUHIHUHQFHSXUSRVHV

',675,%87,21 5(675,&7,21$SSURYHG IRUSXEOLF UHOHDVHGLVWULEXWLRQLVXQOLPLWHG


FM 3-0, C1
6 December 2017

By Order of the Secretary of the Army

0$5.$0,//(<
General, United States Army
Chief of Staff

Official:

GERALD B. O’KEEFE
Administrative Assistant to the
Secretary of the Army
1733207

DISTRIBUTION:
Active Army, Army National Guard, and United States Army Reserve: 7R EH Gistributed in
DFFRUGDQFHZLWKWKHLQLWLDOGLVWUXEXWLRQQXPEHU ,'1 110512UHTXLUHPHQWVIRUFM 3-0

PIN079091001
This page intentionally left blank.
)0
)LHOG0DQXDO +HDGTXDUWHUV
1R 'HSDUWPHQWRIWKH$UP\
:DVKLQJWRQ'&2FWREHU 

Operations
&RQWHQWV
Page
PREFACE................................................................................................................... vii
INTRODUCTION ......................................................................................................... ix
Chapter 1 OVERVIEW OF ARMY OPERATIONS ..................................................................... 1-1
/DUJH6FDOH&RPEDW2SHUDWLRQV 
&KDOOHQJHVIRU$UP\)RUFHV 
$QWLFLSDWHG2SHUDWLRQDO(QYLURQPHQWV 
0XOWL'RPDLQ([WHQGHG%DWWOHILHOG 
7KUHDWV
-RLQW2SHUDWLRQV 
7KH$UP\LQ-RLQW2SHUDWLRQV 
The Army’s Operational Concept  
2SHUDWLRQDO$UW 
6WUDWHJLFDQG2SHUDWLRQDO5HDFK 
2SHUDWLRQDO)UDPHZRUN 
6HTXHQFLQJ2SHUDWLRQV 
&RQWURO0HDVXUHV 
3DWKVWR9LFWRU\ 
Chapter 2 ARMY ECHELONS, CAPABILITIES, AND TRAINING ........................................... 2-1
Section I – Overview of Army Echelons, Capabilities, and Training .................. 2-1
Section II – Army Echelons .................................................................................... 2-1
7KHDWHU$UP\ 
7KHDWHU$UP\2UJDQL]DWLRQ 
7KH([SDQGHG7KHDWHU 
2WKHU2UJDQL]DWLRQVIRU7KHDWHU6XSSRUW 
&RUSV 
'LYLVLRQV 
%ULJDGH&RPEDW7HDPV 
0XOWLIXQFWLRQDODQG)XQFWLRQDO%ULJDGHV 
Section III – Army Capabilities (Combat Power) ................................................ 2-21
7KH(OHPHQWVRI&RPEDW3RZHU 
0LVVLRQ&RPPDQG 
0RYHPHQWDQG0DQHXYHU 
,QWHOOLJHQFH 
)LUHV 
6XVWDLQPHQW 
3URWHFWLRQ 

'LVWULEXWLRQ5HVWULFWLRQ$SSURYHGIRUSXEOLFUHOHDVHGLVWULEXWLRQLVXQOLPLWHG

6 October FM 3-0 i
Contents

Section IV – Training for Large-Scale Combat Operations............................... 2-52


0LVVLRQ(VVHQWLDO7DVNV
7UDLQLQJ7HFKQLTXHV
7UDLQLQJ&RQVLGHUDWLRQVE\:DUILJKWLQJ)XQFWLRQ
Chapter 3 OPERATIONS TO SHAPE ....................................................................................... 3-1
2YHUYLHZRI2SHUDWLRQVWR6KDSH
2SHUDWLRQV$VVHVVPHQWV
7KUHDWV
6KDSLQJ$FWLYLWLHV
,QWHUDJHQF\&RRUGLQDWLRQ
$UP\2UJDQL]DWLRQV
&RQVROLGDWH*DLQV
Chapter 4 OPERATIONS TO PREVENT .................................................................................. 4-1
2YHUYLHZRI2SHUDWLRQVWR3UHYHQW
7KUHDWV
3UHYHQW$FWLYLWLHV
6XVWDLQPHQW3UHSDUDWLRQ
'HSOR\PHQW
$UP\)RUFHV'XULQJ2SHUDWLRQVWR3UHYHQW
7KH&RUSV
7KH'LYLVLRQ
&RQVROLGDWLRQRI*DLQV
Chapter 5 LARGE-SCALE COMBAT OPERATIONS .............................................................. 5-1
Section I – Overview: Large-Scale Combat Operations ...................................... 5-1
-RLQW/DUJH6FDOH&RPEDW2SHUDWLRQV
$UP\)RUFHVLQ/DUJH6FDOH&RPEDW2SHUDWLRQV
7KUHDW
6WDELOLW\LQ/DUJH6FDOH&RPEDW2SHUDWLRQV
Section II – Tactical Enabling Tasks ..................................................................... 5-9
5HFRQQDLVVDQFH
6HFXULW\2SHUDWLRQV
7URRS0RYHPHQW
5HOLHILQ3ODFH
3DVVDJHRI/LQHV
(QFLUFOHPHQW2SHUDWLRQV
0RELOLW\2SHUDWLRQV
Section III – Forcible Entry ................................................................................... 5-20
Section IV – Transition to Consolidate Gains .................................................... 5-22
Chapter 6 LARGE-SCALE DEFENSIVE OPERATIONS .......................................................... 6-1
2YHUYLHZRI/DUJH6FDOH'HIHQVLYH2SHUDWLRQV
(QHP\$WWDFN
3ODQQLQJ&RUSVDQG'LYLVLRQ'HIHQVLYH7DVNV
3UHSDULQJ&RUSVDQG'LYLVLRQVIRUWKH'HIHQVH
'HIHQVLYH7DVNV
'HIHQGLQJ(QFLUFOHG
&RQVROLGDWLRQRI*DLQVLQWKH'HIHQVH
Chapter 7 LARGE-SCALE OFFENSIVE OPERATIONS .......................................................... 7-1
2YHUYLHZRI/DUJH6FDOH2IIHQVLYH2SHUDWLRQV
(QHP\'HIHQVH
3ODQQLQJIRUWKH&RUSVDQG'LYLVLRQLQWKH2IIHQVH
3UHSDULQJ&RUSVDQG'LYLVLRQVIRUWKH2IIHQVH

ii FM 3-0 6 October 2017


&RQWHQWV

)RUPVRI0DQHXYHU 
2IIHQVLYH7DVNV 
6XERUGLQDWH)RUPVRIWKH$WWDFN 
2WKHU7DFWLFDO&RQVLGHUDWLRQV 
&RQVROLGDWLRQ2I*DLQVLQWKH2IIHQVH 
Chapter 8 OPERATIONS TO CONSOLIDATE GAINS ........................................................ 8-1
2YHUYLHZRI2SHUDWLRQVWR&RQVROLGDWH*DLQV
7KUHDWVWRWKH&RQVROLGDWLRQRI*DLQV
&RQVROLGDWLRQ$UHD)UDPHZRUN
&RQVROLGDWLRQRI*DLQV$FWLYLWLHV
&RQVROLGDWH*DLQV5HVSRQVLELOLWLHVE\(FKHORQ 
7UDQVLWLRQ 
Appendix A COMMAND AND SUPPORT RELATIONSHIPS ................................................. A-1
Appendix B RISK CONSIDERATIONS................................................................................. B-1
6285&(127(66RXUFH1RWHV
*/266$5<*ORVVDU\
5()(5(1&(65HIHUHQFHV
,1'(;,QGH[

)LJXUHV
,QWURGXFWRU\ILJXUH)0ORJLFFKDUW [
)LJXUH7KHFRQIOLFWFRQWLQXXPDQGWKHUDQJHRIPLOLWDU\RSHUDWLRQV
)LJXUH&\EHUVSDFHLQWKHPXOWLGRPDLQH[WHQGHGEDWWOHILHOG
)LJXUH1RWLRQDOODUJHVFDOHFRPEDWMRLQWSKDVLQJPRGHO 
)LJXUH$UP\VWUDWHJLFUROHVDQGWKHLUUHODWLRQVKLSVWRMRLQWSKDVHV
)LJXUH2SHUDWLRQDOPDQHXYHUIURPVWUDWHJLFGLVWDQFH 
)LJXUH-RLQWRSHUDWLRQDODUHDVZLWKLQDWKHDWHU 
)LJXUH&RUSVDUHDRIRSHUDWLRQVZLWKLQDWKHDWHURIRSHUDWLRQV 
)LJXUH&RQWLJXRXVFRUSVDUHDRIRSHUDWLRQV 
)LJXUH1RQFRQWLJXRXVFRUSVDUHDRIRSHUDWLRQV 
)LJXUH7KHDWHUHQDEOHURUJDQL]DWLRQV
)LJXUH([DPSOHRIDWKHDWHUDUP\RUJDQL]DWLRQIRUODUJHVFDOHFRPEDWRSHUDWLRQV
)LJXUH3RVVLEOHWDFWLFDOFRUSVWDVNRUJDQL]DWLRQ 
)LJXUH'LYLVLRQWDVNRUJDQL]HGIRUODUJHVFDOHFRPEDWRSHUDWLRQV 
)LJXUH$UPRUHGEULJDGHFRPEDWWHDP 
)LJXUH7KHHOHPHQWVRIFRPEDWSRZHU  
)LJXUH7KHRSHUDWLRQVSURFHVV 
)LJXUH7KHFRPmander’s role in the operations process  
)LJXUH'\QDPLFFRQWLQXXPRILQIRUPDWLRQRSHUDWLRQV 
)LJXUH([DPSOHGLYLVLRQDLUVSDFHFRRUGLQDWLQJPHDVXUHV 
)LJXUH6KDSLQJDFWLYLWLHVZLWKLQDQHQYLURQPHQWRIFRRSHUDWLRQDQGFRPSHWLWLRQ 
)LJXUH([DPSOHVRIGLSORPDWLFLQIRUPDWLRQDOPLOLWDU\DQGHFRQRPLF)'2VDQG)52V 

6 December 2017 FM 3-0, C1 iii


)LJXUH$QRYHUYLHZRIIRUFHWDLORULQJ
)LJXUH5HOLHILQSODFH 
)LJXUH2SHUDWLRQVLQ0DOD\D
)LJXUH(QHP\GLVUXSWLRQIRUFHVLQWKHDWWDFN
)LJXUH(QHP\IL[LQJDQGDVVDXOWIRUFHVEUHDFK86GHIHQVHV
)LJXUH(QHP\H[SORLWDWLRQIRUFHVDWWDFNWRGHVWUR\DVVLJQHGREMHFWLYHV 
)LJXUH7KUHDWDUP\OHYHOLQWHJUDWHGILUHVFRPPDQG
)LJXUH(QJDJHPHQWDUHD
)LJXUH0DLQEDWWOHDUHD
)LJXUH2EVWDFOHFRQWUROPHDVXUHV 
)LJXUH)RUZDUGOLQHRIRZQWURRSV 
)LJXUH%DWWOHSRVLWLRQ 
)LJXUH7KHIRUZDUGHGJHRIWKHEDWWOHDUHD
)LJXUH7DUJHWDUHDRILQWHUHVW 
)LJXUH)LUHVXSSRUWWDUJHWV\PERO 
)LJXUH1DPHGDUHDRILQWHUHVW 
)LJXUH$EOXHNLOOER[ 
)LJXUH([DPSOHFRUSVFRQWLJXRXVDUHDGHIHQVH 
)LJXUH([DPSOHFRUSVQRQFRQWLJXRXVDUHDGHIHQVH 
)LJXUH3DVVDJHSRLQW 
)LJXUH3DVVDJHODQH 
)LJXUH)LQDOSURWHFWLYHILUH 
)LJXUH%+/XVHGZLWKRWKHUFRQWUROPHDVXUHVGXULQJDUHDUZDUGSDVVDJHRIOLQHV  
)LJXUH6SRLOLQJDWWDFN 
)LJXUH3URMHFWHGPDMRUFRXQWHUDWWDFNV 
)LJXUH&KHFNSRLQW 
)LJXUH25. Mobile defense before the striking force’s commitment  
)LJXUH0RELOHGHIHQVHDIWHUFRPPLWPHQWRIVWULNLQJIRUFH 
)LJXUH7ULJJHUOLQH 
)LJXUH3HULPHWHUGHIHQVHZKHQHQFLUFOHG 
)LJXUH(QHP\EDWWOHKDQGRYHUIURPGLVUXSWLRQIRUFHVWRFRQWDFWIRUFHV
)LJXUH(QHP\EDWWOHKDQGRYHUIURPLQLWLDOFRQWDFWIRUFHWRLQLWLDOVKLHOGLQJIRUFH
)LJXUH(QHP\FRQWLQXRXVPDQHXYHUGHIHQVHLQGHSWKZLWKLQHQHP\PDLQGHIHQVH]RQH 
)LJXUH([DPSOHSHQHWUDWLRQIROORZHGE\H[SORLWDWLRQ 
)LJXUH([DPSOHRIDVLQJOHHQYHORSPHQW 
)LJXUH(QYHORSPHQWFRQWUROPHDVXUHV 
)LJXUH)ODQNDWWDFN 
)LJXUH)URQWDODWWDFN 
)LJXUH)URQWDODWWDFNFRQWUROPHDVXUHV 
)LJXUH3HQHWUDWLRQUHODWLYHFRPEDWSRZHU  
)LJXUH$QH[DPSOHRIDFRUSVSHQHWUDWLRQ 

iv FM 3-0, C1 6 December 2017


&RQWHQWV

)LJXUH3HQHWUDWLRQFRQWUROPHDVXUHV 
)LJXUH([DPSOHRIDFRUSVWXUQLQJPRYHPHQW 
)LJXUH&RQWDFWSRLQW 
)LJXUH([DPSOHRIDFRUSVPRYHPHQWWRFRQWDFW 
)LJXUH5RXWH 
)LJXUH7DUJHWUHIHUHQFHSRLQW 
)LJXUH([DPSOHRIDFRUSVDWWDFN 
)LJXUH/LQHRIFRQWDFW
)LJXUH$WWDFNE\ILUHSRVLWLRQ 
)LJXUH&RRUGLQDWHGILUHOLQH 
)LJXUH([DPSOHRIDFRUSVLQDSXUVXLW 
)LJXUH3XUVXLWFRQWUROPHDVXUHV 
)LJXUH)UHHILUHDUHD 
)LJXUH1RILUHDUHD 
)LJXUH&RQVROLGDWLRQDUHDGXULQJODUJHVFDOHFRPEDWRSHUDWLRQV 
)LJXUH6HDUFKDQGDWWDFN
)LJXUH&RUGRQDQGVHDUFK 
)LJXUH&RQVROLGDWLQJJDLQVDIWHUODUJHVFDOHFRPEDWRSHUDWLRQV 

7DEOHV
,QWURGXFWRU\WDEOH0RGLILHG$UP\WHUPV[LL
7DEOH$GGLWLRQDOIXQFWLRQDOEULJDGHV 
7DEOH&RPPDQGSRVWE\HFKHORQDQGW\SHRIXQLW 
7DEOH)RUFHSURMHFWLRQWHUPV
7DEOH7KHDWHUDUP\UHVSRQVLELOLWLHV 
7DEOH$-RLQWVXSSRUWFDWHJRULHV $
7DEOH$$UP\FRPPDQGUHODWLRQVKLSV $
7DEOH$$UP\VXSSRUWUHODWLRQVKLSV $
7DEOH%5LVNFRQVLGHUDWLRQV %

6 December 2017 FM 3-0, C1 v


7KLVSXEOLFDWLRQLVDYDLODEOHDWWKH$UP\3XEOLVKLQJ'LUHFWRUDWHVLWH
KWWSZZZDSGDUP\PLO DQGWKH&HQWUDO$UP\5HJLVWU\VLWH
KWWSVDWLDPWUDLQDUP\PLOFDWDORJGDVKERDUG 

vi FM 3-0, C1 6 December 2017


3UHIDFH
)0DXJPHQWVWKH$UP\¶VFDSVWRQHGRFWULQHRQXQLILHGODQGRSHUDWLRQVGHVFULEHGLQ$'3DQG$'53
,WGHVFULEHVKRZ$UP\IRUFHVDVSDUWRIDMRLQWWHDPVKDSHRSHUDWLRQDOHQYLURQPHQWV 2(V SUHYHQW
FRQIOLFWFRQGXFWODUJHVFDOHJURXQGFRPEDWDQGFRQVROLGDWHJDLQVDJDLQVWDSHHUWKUHDW7RJHWKHUZLWK$'3
DQG$'53WKLVPDQXDOSURYLGHVDIRXQGDWLRQIRUKRZ$UP\IRUFHVFRQGXFWSURPSWDQGVXVWDLQHG
ODUJHVFDOHFRPEDWRSHUDWLRQV
)0LVDSSOLFDEOHWRDOOPHPEHUVRIWKH $UP\3URIHVVLRQOHDGHUV6ROGLHUVDQG $UP\ &LYLOLDQV7KH
SULQFLSOHDXGLHQFHIRU)0LVFRPPDQGHUV VWDIIVDQG OHDGHUVRIWKHDWHUDUPLHVFRUSVGLYLVLRQVDQG
EULJDGHV7KLVPDQXDODOVRSURYLGHVWKHIRXQGDWLRQIRUWUDLQLQJDQG$UP\HGXFDWLRQV\VWHPFXUULFXODDQG
IXWXUHFDSDELOLWLHVGHYHORSPHQWDFURVVGRFWULQHRUJDQL]DWLRQWUDLQLQJPDWHULHOOHDGHUVKLSDQGHGXFDWLRQ
SHUVRQQHODQGIDFLOLWLHV NQRZQDV'270/3) 
7RFRPSUHKHQGWKHGRFWULQHFRQWDLQHGLQ)0UHDGHUVPXVWILUVWXQGHUVWDQGWKHIXQGDPHQWDOVRIXQLILHG
ODQGRSHUDWLRQVGHVFULEHGLQ$'3DQG$'537KH\PXVWXQGHUVWDQGWKHODQJXDJHRIWDFWLFVDQGWKH
IXQGDPHQWDOVRIWKHRIIHQVHDQGGHIHQVHGHVFULEHGLQ$'538VHUVRI)0VKRXOGDOVRXQGHUVWDQG
WKHIXQGDPHQWDOVRIVWDELOLW\GHVFULEHGLQ$'53&RPPDQGHUVDQGVWDIIVRI$UP\KHDGTXDUWHUVWKDW
IRUP WKH FRUH RI D MRLQW WDVN IRUFH MRLQW ODQG FRPSRQHQW RU PXOWLQDWLRQDO KHDGTXDUWHUV VKRXOG UHIHU WR
DSSOLFDEOHMRLQWRUPXOWLQDWLRQDOGRFWULQH7KLVLQFOXGHV-3 -3DQG-3
&RPPDQGHUVVWDIIVDQGVXERUGLQDWHVZLOOHQVXUHWKHLUGHFLVLRQVDQGDFWLRQVFRPSO\ZLWKDSSOLFDEOH86
LQWHUQDWLRQDODQGLQVRPHFDVHVKRVWQDWLRQODZVDQGUHJXODWLRQV&RPPDQGHUVDWDOOOHYHOVZLOOHQVXUHWKHLU
6ROGLHUVRSHUDWHLQDFFRUGDQFHZLWKWKHODZRIZDUDQGUXOHVRIHQJDJHPHQW7KH\DOVRDGKHUHWRWKH$UP\
(WKLFDVGHVFULEHGLQ$'53 6HH)0
)0XVHVMRLQWWHUPVZKHUHDSSOLFDEOH6HOHFWHGMRLQWDQG$UP\WHUPVDQGGHILQLWLRQVDSSHDULQERWKWKH
JORVVDU\DQGWKHWH[W7HUPVDQGGHILQLWLRQVZKHUH)0LVWKHSURSRQHQWILHOGPDQXDO WKHDXWKRULW\ DUH
SULQWHGLQEROGIDFHLQWKHWH[WDQGLQGLFDWHGZLWKDQDVWHULVN LQWKHJORVVDU\)RURWKHUWHUPVGHILQHGLQ
WKHWH[WWKHWHUPLVLWDOLFL]HGDQGWKHQXPEHURIWKHSURSRQHQWSXEOLFDWLRQIROORZVWKHGHILQLWLRQ
)0DSSOLHVWRWKH$FWLYH$UP\WKH$UP\1DWLRQDO*XDUG$UP\1DWLRQDO*XDUGRIWKH8QLWHG6WDWHV
DQGWKH8QLWHG6WDWHV$UP\5HVHUYHXQOHVVRWKHUZLVHVWDWHG
+HDGTXDUWHUV 8QLWHG 6WDWHV $UP\ &RPELQHG $UPV &HQWHU LV WKH SURSRQHQW IRU WKLV SXEOLFDWLRQ 7KH
SUHSDULQJDJHQF\LVWKH&RPELQHG$UPV'RFWULQH'LUHFWRUDWH8QLWHG6WDWHV$UP\&RPELQHG$UPV&HQWHU
6HQGZULWWHQFRPPHQWVDQGUHFRPPHQGDWLRQVRQ'$)RUP 5HFRPPHQGHG&KDQJHVWR3XEOLFDWLRQV
DQG %ODQN )RUPV  WR &RPPDQGHU 86 $UP\ &RPELQHG $UPV &HQWHU DQG )RUW /HDYHQZRUWK $771
$7=/0&' )0    0F3KHUVRQ $YHQXH )RUW /HDYHQZRUWK .6   E\ HPDLO WR
XVDUP\OHDYHQZRUWKPFFRHPE[FDGGRUJPDLOER[#PDLOPLORUVXEPLWDQHOHFWURQLF'$)RUP

6 October 2017 FM 3-0 vii


Preface

$&.12:/('*(0(176
7KHFRS\ULJKWRZQHUVOLVWHGKHUHKDYHJUDQWHGSHUPLVVLRQWRUHSURGXFHPDWHULDOIURP
WKHLUZRUNV2WKHUFRXUWHV\FUHGLWVOLVWHG
([FHUSWVIURP2Q:DUE\&DUOYRQ&ODXVHZLW](GLWHGDQGWUDQVODWHGE\3HWHU3DUHWDQG0LFKDHO(
+RZDUG&RS\ULJKW‹UHQHZHGE\3ULQFHWRQ8QLYHUVLW\3UHVV
([FHUSWE\SHUPLVVLRQIURP-XOLDQ6&RUEHWW6RPH3ULQFLSOHVRI0DULWLPH6WUDWHJ\ $QQDSROLV0'
1DYDO,QVWLWXWH3UHVV 
4XRWHUHSULQWHGFRXUWHV\RI7KH$PHULFDQ3UHVLGHQF\3URMHFW2QOLQHE\*HUKDUG3HWHUVDQG-RKQ7
:RROOH\$YDLODEOHDWKWWSZZZSUHVLGHQF\XFVEHGXZV"SLG 
4XRWHUHSULQWHGFRXUWHV\7KH3XEOLF3DSHUVRI3UHVLGHQW5RQDOG:5HDJDQ5RQDOG5HDJDQ
3UHVLGHQWLDO/LEUDU\$YDLODEOHDW
KWWSVZZZUHDJDQOLEUDU\DUFKLYHVJRYDUFKLYHVVSHHFKHVDKWP
4XRWHVUHSULQWHGE\SHUPLVVLRQIURP0LOLWDU\$LU3RZHU7KH&$'5('LJHVWRI$LU3RZHU2SLQLRQV
DQG7KRXJKWVFRPSLOHGE\&KDUOHV0:HVWHQKRII 0D[ZHOO$LU)RUFH%DVH$/$LU
8QLYHUVLW\3UHVV 
4XRWHVUHSULQWHGFRXUWHV\'LFWLRQDU\RI0LOLWDU\DQG1DYDO4XRWDWLRQVFRPSLOHGE\5REHUW'HEV
+HLQO-U $QQDSROLV0'8QLWHG6WDWHV1DYDO,QVWLWXWH 
:DUDV,.QHZ,WE\*HQHUDO*HRUJH63DWWRQ&RS\ULJKW‹E\%HDWULFH3DWWRQ:DOWHUV5XWK
3DWWRQ7RWWHQDQG*HRUJH6PLWK7RWWHQ&RS\ULJKW‹UHQHZHGE\0**HRUJH3DWWRQ
5XWK3DWWRQ7RWWHQ-RKQ.:DWHUV-UDQG*HRUJH3:DWHUV5HSULQWHGE\SHUPLVVLRQRI
+RXJKWRQ0LIIOLQ&RPSDQ\$OOULJKWVUHVHUYHG
4XRWHUHSULQWHGFRXUWHV\WKH3HUVHXV'LJLWDO/LEUDU\DW7XIWV$YDLODEOHDW
KWWSSHUVHXVXFKLFDJRHGX
:DYHOOTXRWHUHSULQWHGFRXUWHV\RI0DUWLQ9DQ&UHYHOG¶V6XSSO\LQJ:DU/RJLVWLFVIURP:DOOHQVWHLQ
WR3DWWRQ 1HZ<RUN&DPEULGJH8QLYHUVLW\3UHVV 
4XRWHVUHSULQWHGFRXUWHV\7KH$UWRI:DUE\6XQ7]XWUDQVODWHGE\6DPXHO%*ULIILWK 1HZ<RUN
2[IRUG8QLYHUVLW\3UHVV 
3DWWRQTXRWHVFRXUWHV\KWWSZZZJHQHUDOSDWWRQFRPTXRWHV
5HSULQWHGE\SHUPLVVLRQ:LQVWRQ6&KXUFKLOO7KH6HFRQG:RUOG:DU9ROXPH&ORVLQJWKH5LQJ
%RVWRQ+RXJKWRQ0LIIOLQ&RPSDQ\ 
4XRWHUHSULQWHGFRXUWHV\4XRWHVIRU$LU)RUFH/RJLVWLFLDQ9ROXPH, 0D[ZHOO$LU)RUFH%DVH
$ODEDPD$LU)RUFH/RJLVWLFV0DQDJHPHQW$JHQF\ 
4XRWHUHSULQWHGFRXUWHV\)UHGHULFNWKH*UHDW³7KH,QVWUXFWLRQRI)UHGHULFNWKH*UHDWIRU+LV
*HQHUDOV´YLLLQ5RRWVRI6WUDWHJ\7KH*UHDWHVW0LOLWDU\&ODVVLFVRI$OO7LPHHGLWHG
E\7KRPDV53KLOOLSV +DUULVEXUJ3HQQV\OYDQLD6WDFNSROH%RRNV 
4XRWHUHSULQWHGE\SHUPLVVLRQ5HDU$GPLUDO-&:\OLH0LOLWDU\6WUDWHJ\$*HQHUDO7KHRU\RI
3RZHU&RQWURO $QQDSROLV0'1DYDO,QVWLWXWH3UHVV 
&KXUFKLOOTXRWHUHSULQWHGFRXUWHV\7KH,QWHUQDWLRQDO&KXUFKLOO6RFLHW\$YDLODEOHDW
KWWSVZZZZLQVWRQFKXUFKLOORUJUHVRXUFHVVSHHFKHVZDUOHDGHUWKHSULFHRI
JUHDWQHVVLVUHVSRQVLELOLW\
4XRWHUHSULQWHGFRXUWHV\%+/LGGHOO+DUW6WUDWHJ\ 1HZ<RUN6LJQHW3ULQWLQJ 
4XRWHUHSULQWHGFRXUWHV\5LFKDUG1L[RQ6L[&ULVHV 1HZ<RUN3\UDPLG%RRN 
4XRWHUHSULQWHGE\SHUPLVVLRQIURP*HQHUDO:LOOLDP76KHUPDQ0HPRLUVRI*HQHUDO:LOOLDP7
6KHUPDQE\+LPVHOI %ORRPLQJWRQ,1,QGLDQD8QLYHUVLW\3UHVV 
&KXUFKLOOTXRWHUHSULQWHGE\SHUPLVVLRQIURP1DWLRQDO&KXUFKLOO0XVHXP$YDLODEOHDW
ZZZQDWLRQDOFKXUFKLOOPXVHXPRUJFKXUFKLOOLQZRUOGZDULDQGDIWHUPDWKKWPO
3RO\ELXVTXRWHUHSULQWHGE\SHUPLVVLRQ-RVHSK&DOOR-RKQ3DXO-RQHV$PHULFD¶V)LUVW6HD:DUULRU
$QQDSROLV0'1DYDO,QVWLWXWH3UHVV 

viii FM 3-0 6 October 2017


,QWURGXFWLRQ
:KHQWKH&ROG:DUHQGHG86 GHIHQVHSROLF\SRVWXODWHGWKDWDQHZ HUDKDG GDZQHG LQZKLFK ODUJHVFDOH
FRPEDW RSHUDWLRQVDJDLQVW D SHHU WKUHDW ZHUH XQOLNHO\ 7KLV K\SRWKHVLV ZDV VXSSRUWHG E\ RSHUDWLRQV
WKURXJKRXWWKHV:KLOHWKH86PLOLWDU\DSSOLHGWKHUHODWLYHFRQYHQWLRQDOVXSHULRULW\LWGHYHORSHGLQ
FRPSHWLWLRQZLWK WKH:DUVDZ 3DFWWRGRPLQDWHD ODUJHFRQYHQWLRQDOO\ DUPHG RSSRQHQW LQ 23(5$7,21
'(6(57 67250 LWZDV DQ H[FHSWLRQ86 IRUFHVFRQGXFWHGFRQWLQJHQF\RSHUDWLRQVDWWKHORZHUHQGRI
WKHFRQIOLFWFRQWLQXXPLQWKH%DONDQV DQG HOVHZKHUH,QDQG WKH86 FRQGXFWHGWZR RIIHQVLYH
MRLQWFDPSDLJQVWKDWDFKLHYHG UDSLGLQLWLDOPLOLWDU\VXFFHVVEXWQRHQGXULQJ SROLWLFDORXWFRPHUHVXOWLQJLQ
SURWUDFWHGFRXQWHULQVXUJHQF\FDPSDLJQVLQ$IJKDQLVWDQDQG,UDT7KHIRFXVRI$UP\WUDLQLQJDQGHTXLSSLQJ
VKLIWHGIURPGHIHDWLQJDSHHUWKUHDWWRGHIHDWLQJWZRLQVXUJHQFLHVDQGWKHJOREDOWHUURULVWWKUHDW
$GYHUVDULHVKDYH VWXGLHGWKHPDQQHULQZKLFK86IRUFHVGHSOR\HGDQGFRQGXFWHGRSHUDWLRQVRYHUWKHSDVW
WKUHHGHFDGHV6HYHUDOKDYH DGDSWHGPRGHUQL]HGDQG GHYHORSHGFDSDELOLWLHVWRFRXQWHU86DGYDQWDJHVLQ
WKHDLUODQG PDULWLPHVSDFHDQG F\EHUVSDFHGRPDLQV0LOLWDU\DGYDQFHVE\ 5XVVLD&KLQD 1RUWK.RUHD
DQG,UDQPRVWFOHDUO\SRUWUD\WKLVFKDQJLQJWKUHDW
:KLOH WKH 86 $UP\ PXVW EH PDQQHG HTXLSSHG DQG WUDLQHG WR RSHUDWH DFURVVWKH UDQJH RI PLOLWDU\
RSHUDWLRQV ODUJHVFDOH JURXQG FRPEDW DJDLQVW D SHHU WKUHDW UHSUHVHQWV WKH PRVW VLJQLILFDQW UHDGLQHVV
UHTXLUHPHQW)0SURYLGHVGRFWULQHIRUKRZ$UP\IRUFHVDVSDUWRIDMRLQWWHDPDQGLQFRQMXQFWLRQZLWK
XQLILHG DFWLRQ SDUWQHUV GR WKLV )0  LV FRQFHUQHGZLWK RSHUDWLRQVXVLQJ FXUUHQW $UP\ FDSDELOLWLHV
IRUPDWLRQVDQGWHFKQRORJ\LQWRGD\¶VRSHUDWLRQDOHQYLURQPHQW 2( ,WH[SDQGVRQWKHPDWHULDOLQ$'53
E\ SURYLGLQJ WDFWLFVGHVFULELQJKRZ WKHDWHUDUPLHVFRUSVGLYLVLRQVDQGEULJDGHVZRUNWRJHWKHUDQGZLWK
XQLILHGDFWLRQSDUWQHUVWRVXFFHVVIXOO\SURVHFXWHRSHUDWLRQVVKRUWRIFRQIOLFWSUHYDLOLQODUJH VFDOHFRPEDW
RSHUDWLRQVDQGFRQVROLGDWHJDLQVWRZLQHQGXULQJVWUDWHJLFRXWFRPHV
7KHORJLFPDS IRUWKLVPDQXDO LVVKRZQLQWKHLQWURGXFWRU\ILJXUHRQSDJH[7KH ORJLFPDSEHJLQVZLWKDQ
DQWLFLSDWHG2(WKDWLQFOXGHVFRQVLGHUDWLRQVGXULQJODUJHVFDOHFRPEDWRSHUDWLRQVDJDLQVWDSHHUWKUHDW1H[W
LWGHSLFWVWKH$UP\¶VFRQWULEXWLRQWRMRLQWRSHUDWLRQVWKURXJKLWVVWUDWHJLFUROHV:LWKLQHDFKSKDVHRIDMRLQW
RSHUDWLRQWKH $UP\¶V RSHUDWLRQDOFRQFHSWRI XQLILHG ODQG RSHUDWLRQVJXLGHV KRZ $UP\ IRUFHVFRQGXFW
RSHUDWLRQV,QODUJHVFDOHJURXQGFRPEDW$UP\ IRUFHVFRPELQHRIIHQVLYHGHIHQVLYHDQG VWDELOLW\WDVNVWR
VHL]HUHWDLQDQG H[SORLWWKHLQLWLDWLYHLQRUGHUWRVKDSH 2(VSUHYHQWFRQIOLFWFRQGXFWODUJH VFDOHJURXQG
FRPEDW DQG FRQVROLGDWHJDLQV 7KH SKLORVRSK\ RI PLVVLRQ FRPPDQG JXLGHV FRPPDQGHUV VWDIIV DQG
VXERUGLQDWHV LQ WKHLU DSSURDFK WR RSHUDWLRQV 7KH PLVVLRQ FRPPDQG ZDUILJKWLQJ IXQFWLRQ HQDEOHV
FRPPDQGHUVDQG VWDIIVRIWKHDWHUDUPLHVFRUSVGLYLVLRQVDQG EULJDGH FRPEDWWHDPVWRV\QFKURQL]H DQG
LQWHJUDWHFRPEDWSRZHUDFURVVPXOWLSOHGRPDLQVDQG WKHLQIRUPDWLRQHQYLURQPHQW7KURXJKRXWRSHUDWL RQV
$UP\ IRUFHVPDQHXYHUWRDFKLHYHDQG H[SORLWSRVLWLRQVRIUHODWLYHDGYDQWDJH DFURVVDOOGRPDLQV WRDFKLHYH
REMHFWLYHVDQGDFFRPSOLVKPLVVLRQV

6 December 2017 FM 3-0, C1 ix


Introduction

+Introductory figure. FM 3-0 logic chart

x FM 3-0, C1 6 December 2017


,QWURGXFWLRQ

2YHUDOOWKHGRFWULQHLQ)0LVFRQVLVWHQWZLWK$'537KH PRVWVLJQLILFDQWFKDQJHLVWKHXVHRIWKH
$UP\VWUDWHJLFUROHVDVDQRUJDQL]LQJFRQVWUXFWWRGHVFULEHKRZ$UP\IRUFHVFRQWULEXWHWRMRLQWRSHUDWLRQV
,QDGGLWLRQ)0²
z 0RGLILHVWKH$UP\¶VRSHUDWLRQDOIUDPHZRUNE\DGGLQJDFRQVROLGDWLRQDUHDWRWKHGHHSFORVHDQG
VXSSRUWDUHDRSHUDWLRQDOIUDPHZRUN
z $GGV WKHSK\VLFDOWHPSRUDOFRJQLWLYHDQG YLUWXDO DVSHFWVRIWKHRSHUDWLRQDOIUDPHZRUNLQWKH
FRQWH[WRIDPXOWLGRPDLQHQYLURQPHQW
z (PSKDVL]HVWKHLPSRUWDQFHRISUHSDUDWLRQDQG WUDLQLQJIRUODUJHVFDOHFRPEDWRSHUDWLRQVDFURVV
ZDUILJKWLQJIXQFWLRQV
z 5HFRJQL]HVWKHLPSRUWDQFHRIRSHUDWLRQVWRDFKLHYHVWUDWHJLFJRDOV ZLQ VKRUWRIDUPHGFRQIOLFW
z (PSKDVL]HVWKHUROHVRIHFKHORQVLQLWLDWLYHDQGPDQHXYHUDJDLQVWHQHPLHVHPSOR\LQJDQWLDFFHVV
DQGDUHDGHQLDORSHUDWLRQDODSSURDFKHVWRJDLQDQGH[SORLWSRVLWLRQVRIUHODWLYHDGYDQWDJH
z 'HVFULEHVFRUSVDQGGLYLVLRQVDVIRUPDWLRQV KHDGTXDUWHUVDQGVXERUGLQDWHXQLWV UDWKHUWKDQMXVW
KHDGTXDUWHUV
z (PSKDVL]HVWKHLPSRUWDQFHRIFRQVROLGDWLQJJDLQVWRH[SORLWSRVLWLRQVRIUHODWLYHDGYDQWDJHDQG
DFKLHYHHQGXULQJIDYRUDEOHRXWFRPHV
z (VWDEOLVKHVDVXSSRUWDUHDFRPPDQGSRVWIRUFRUSVDQGGLYLVLRQKHDGTXDUWHUV
7KHZULWLQJVW\OHRI)0LVGLIIHUHQWIURPRWKHUSXEOLFDWLRQVZLWKLQWKH'RFWULQHFRQVWUXFW)0
FRQWDLQV IXQGDPHQWDOV WDFWLFV DQG WHFKQLTXHV IRFXVHG RQ ILJKWLQJ DQG ZLQQLQJ ODUJHVFDOH FRPEDW
RSHUDWLRQV7KLVPDQXDOXVHVKLVWRULFDOYLJQHWWHVTXRWHVDQGJUDSKLFVWRUHLQIRUFHWKHGRFWULQHZLWKLQ
6RPHILJXUHVLQ&KDSWHUVDQGFRQWDLQQRQGRFWULQDOV\PEROVXVHGWRLOOXVWUDWHWKUHDWWDFWLFV7KHOHJHQGV
IRUHDFKILJXUHGHVFULEHWKHPHDQLQJRIWKHVHV\PEROV5HDGHUVVKRXOGDOVRUHIHUHQFH7& IRUPRUH
LQIRUPDWLRQRQJUDSKLFLOOXVWUDWLRQVRIHQHP\DFWLYLWLHVDQGWDFWLFV
)0FRQWDLQVHLJKWFKDSWHUVDQGWZRDSSHQGL[HV
&KDSWHU GHVFULEHVODUJHVFDOHFRPEDWRSHUDWLRQVDQG DVVRFLDWHGFKDOOHQJHV$UP\ IRUFHVIDFHWRGD\ ,W
DGGUHVVHVDQWLFLSDWHG 2(V WKUHDWV MRLQW RSHUDWLRQVDQG WKH $UP\¶V VWUDWHJLFUROHVLQ VXSSRUW RI MRLQW
RSHUDWLRQV7KH FKDSWHU WKHQ GLVFXVVHVXQLILHG ODQG RSHUDWLRQVDQG DVVRFLDWHGWRSLFVLQFOXGLQJ GHFLVLYH
DFWLRQRSHUDWLRQDODUWDQGWKHRSHUDWLRQDOIUDPHZRUN
&KDSWHULVGLYLGHGLQWRIRXUVHFWLRQV6HFWLRQ,SURYLGHVDQRYHUYLHZRI$UP\HFKHORQVFDSDELOLWLHVDQG
WUDLQLQJ 6HFWLRQ,, SURYLGHVD JHQHUDOGLVFXVVLRQRI$UP\ IRUFHVLQD WKHDWHU 6HFWLRQ,,, GHVFULEHV$UP\
FDSDELOLWLHVE\ZDUILJKWLQJIXQFWLRQ6HFWLRQ,9DGGUHVVHVWUDLQLQJIRUODUJHVFDOHJURXQGFRPEDW
&KDSWHU SURYLGHV DQ RYHUYLHZ RIRSHUDWLRQVWRVKDSH WKH 2( ,W GLVFXVVHVRSHUDWLRQDVVHVVPHQWV DQG
GHVFULEHVWKUHDWDFWLYLWLHVSULRUWRDUPHG FRQIOLFW$ GLVFXVVLRQRIVKDSLQJ DFWLYLWLHVSHUIRUPHGE\ $UP\
IRUFHVIROORZV7KHFKDSWHUWKHQGHVFULEHV$UP\RUJDQL]DWLRQVDQGWKHLUUROHVDVWKH\VKDSHWKH2(
&KDSWHUSURYLGHVDQRYHUYLHZRIRSHUDWLRQVWRSUHYHQWFRQIOLFW,WDGGUHVVHVDVVHVVLQJ2(VLQZKLFK$UP\
IRUFHVFRQGXFWDFWLYLWLHVWRSUHYHQW ZDU GXULQJ FULVLVDFWLRQDQG LW SURYLGHVD GHVFULSWLRQRIWKUHDWV 7KH
FKDSWHUFRQWLQXHVZLWKDGLVFXVVLRQRIWKHPDMRUDFWLYLWLHVZLWKLQRSHUDWLRQVWRSUHYHQWLQFOXGLQJSODQQLQJ
FRQVLGHUDWLRQV7KH FKDSWHUFRQFOXGHVZLWKD GHVFULSWLRQRIWKHUROHVRIWKHWKHDWHUDUP\ FRUSVGLYLVLRQV
DQGEULJDGHV
&KDSWHULVGLYLGHG LQWRIRXUVHFWLRQV6HFWLRQ,SURYLGHVDQRYHUYLHZRIODUJHVFDOHFRPEDWRSHUDWLRQV
6HFWLRQ,,DGGUHVVHVWDFWLFDOHQDEOLQJWDVNVWKDWDSSO\WRERWKWKHGHIHQVHDQGWKHRIIHQVH6HFWLRQ,,,SURYLGHV
DGLVFXVVLRQRIIRUFLEOHHQWU\RSHUDWLRQVIURPZKLFK$UP\IRUFHVPD\GHIHQGRUFRQWLQXHWKHRIIHQVH6HFWLRQ
,9 GLVFXVVHVWKHWUDQVLWLRQWRFRQVROLGDWLRQRIJDLQV
&KDSWHUEHJLQVZLWKDJHQHUDOGLVFXVVLRQRIWKHGHIHQVHIROORZHGE\DGLVFXVVLRQRIKRZDQHQHP\PD\
DWWDFN,WFRQWLQXHVZLWK VHFWLRQVRQSODQQLQJ DQG SUHSDULQJFRUSVDQG GLYLVLRQGHIHQVHV,WWKHQDGGUHVVHV
WKHWKUHHSULPDU\GHIHQVLYHWDVNV
&KDSWHUEHJLQVZLWKDJHQHUDOGLVFXVVLRQRIWKHRIIHQVHIROORZHGE\DGLVFXVVLRQRIKRZDQHQHP\PD\
GHIHQG,WFRQWLQXHVZLWKDVHFWLRQRQKRZFRUSVDQGGLYLVLRQVSODQIRUWKHRIIHQVH7KLVFKDSWHUWKHQSURYLGHV

6 December 2017 FM 3-0, C1 xi


Introduction

DGLVFXVVLRQRIIRUPVRIPDQHXYHUDQGWKHIRXURIIHQVLYHWDVNV7KHFKDSWHUFRQFOXGHVZLWKDGLVFXVVLRQRQ
WKHVXERUGLQDWHIRUPVRIDWWDFN
&KDSWHUH[SDQGV XSRQ RSHUDWLRQVWRFRQVROLGDWHJDLQVGLVFXVVHGLQSUHYLRXVFKDSWHUV,W GHVFULEHVKRZ
$UP\ IRUFHVWUDQVLWLRQIURPODUJHVFDOHJURXQGFRPEDWRSHUDWLRQVWRRSHUDWLRQVWKDWWUDQVODWHWDFWLFDODQG
RSHUDWLRQDOVXFFHVVLQWRODVWLQJJDLQV1H[WLWGHVFULEHVWKUHDWVWRWKHFRQVROLGDWLRQRIJDLQV$QH[SDQGHG
GHVFULSWLRQRIWKHRSHUDWLRQDOIUDPHZRUNDQG WKHFRQVROLGDWLRQDUHDIROORZV7KHFKDSWHUFRQFOXGHVZLWKD
GHVFULSWLRQRIFRQVROLGDWLRQDFWLYLWLHVDQGWKHUROHVRIWKHWKHDWHUDUP\FRUSVGLYLVLRQDQGEULJDGHFRPEDW
WHDPVLQFRQVROLGDWLQJJDLQV
$SSHQGL[ $ SURYLGHV GRFWULQHRQ FRPPDQG DQG VXSSRUW UHODWLRQVKLSVWKDW IRUPWKH EDVLV IRU XQLW\ RI
FRPPDQGDQGXQLW\RIHIIRUW
$SSHQGL[ %SURYLGHVFRPPDQGHUVZLWK D OLVWLQJRIULVNFRQVLGHUDWLRQVIRUWKHSODQQLQJ DQG H[HFXWLRQRI
ODUJHVFDOHJURXQGFRPEDW
7KHLQWURGXFWRU\WDEOHRXWOLQHVGLIIHUHQWPRGLILFDWLRQVLQGRFWULQDOWHUPLQRORJ\UHIOHFWHGLQ)0 
,QWURGXFWRU\WDEOH0RGLILHG $UP\WHUPV
Term Remarks

GLUHFWVXSSRUW )0LVQRZWKHSURSRQHQWSXEOLFDWLRQ
JHQHUDOVXSSRUWUHLQIRUFLQJ )0LVQRZWKHSURSRQHQWSXEOLFDWLRQ
UHLQIRUFLQJ )0LVQRZWKHSURSRQHQWSXEOLFDWLRQ

xii FM 3-0, C1 6 December 2017


Chapter 1
Overview of Army Operations
:DULVWKXVDQDFWRIIRUFHWRFRPSHORXUHQHP\WRGRRXUZLOO
&DUOYRQ&ODXVHZLW]

7KLVFKDSWHUGHVFULEHV ODUJHVFDOH FRPEDWRSHUDWLRQV DQGDVVRFLDWHG FKDOOHQJHV $UP\


IRUFHVIDFHWRGD\,WDGGUHVVHVDQWLFLSDWHG RSHUDWLRQDO HQYLURQPHQWV 2(V WKHWKUHDW
MRLQW RSHUDWLRQV DQG WKH$UP\¶V VWUDWHJLF UROHV LQ VXSSRUW RI MRLQW RSHUDWLRQV 7KH
FKDSWHUWKHQGLVFXVVHVXQLILHG ODQGRSHUDWLRQV DQGDVVRFLDWHG WRSLFV

/$5*(6&$/( &20%$723(5$7,216
 7KUHDWVWR86LQWHUHVWVWKURXJKRXWWKHZRUOGDUHFRXQWHUHGE\WKHDELOLW\RI86IRUFHVWRUHVSRQGWR
DZLGHYDULHW\RIFKDOOHQJHVDORQJDFRQIOLFWFRQWLQXXPWKDWVSDQVIURPSHDFHWRZDUDVVKRZQLQILJXUH
86 IRUFHVFRQGXFWD UDQJHRIPLOLWDU\RSHUDWLRQVWRUHVSRQGWRWKHVHFKDOOHQJHV7KH FRQIOLFWFRQWLQXXP
GRHVQRWSURFHHGVPRRWKO\IURPVWDEOHSHDFHWRJHQHUDOZDU DQG EDFN )RUH[DPSOHXQVWDEOHSHDFH PD\
HUXSWLQWRDQLQVXUJHQF\WKDWTXLFNO\VSDUNVDGGLWLRQDOYLROHQFHWKURXJKRXWDUHJLRQOHDGLQJWRDJHQHUDOZDU
6HH-3IRUWKHVSHFLILFW\SHVRIMRLQWRSHUDWLRQVFRQGXFWHGDFURVVWKHFRQIOLFWFRQWLQXXP 

+Figure 1-1. The conflict continuum and the range of military operations

 7KH UDQJH RIPLOLWDU\RSHUDWLRQVLVD IXQGDPHQWDO FRQVWUXFWWKDWKHOSVUHODWHPLOLWDU\DFWLYLWLHVDQG


RSHUDWLRQVLQVFRSHDQGSXUSRVHZLWKLQDEDFNGURSRIWKHFRQIOLFWFRQWLQXXP$OORSHUDWLRQVDORQJWKLVUDQJH
VKDUHDFRPPRQIXQGDPHQWDOSXUSRVH²WRDFKLHYHRUFRQWULEXWHWRQDWLRQDOREMHFWLYHV0LOLWDU\HQJDJHPHQW
VHFXULW\FRRSHUDWLRQDQGGHWHUUHQFHDFWLYLWLHVEXLOGQHWZRUNVDQGUHODWLRQVKLSVZLWKSDUWQHUVVKDSHUHJLRQV
NHHSGD\WRGD\WHQVLRQVEHWZHHQQDWLRQVRUJURXSVEHORZWKHWKUHVKROGRIDUPHGFRQIOLFWDQGPDLQWDLQ86
JOREDOLQIOXHQFH7\SLFDOO\FULVLVUHVSRQVHDQGOLPLWHGFRQWLQJHQF\RSHUDWLRQVDUHIRFXVHGLQVFRSHDQGVFDOH
DQGFRQGXFWHGWRDFKLHYHDVSHFLILFVWUDWHJLFRURSHUDWLRQDOOHYHOREMHFWLYHLQDQRSHUDWLRQDODUHD/DUJHVFDOH
FRPEDWRSHUDWLRQVRFFXULQWKHIRUPRIPDMRURSHUDWLRQVDQGFDPSDLJQVDLPHGDWGHIHDWLQJDQHQHP\¶VDUPHG
IRUFHVDQGPLOLWDU\FDSDELOLWLHVLQVXSSRUWRIQDWLRQDOREMHFWLYHV

6 December 2017 FM 3-0, C1 1-1


Chapter 1

1-3. Large-scale combat operations are at the far right of the conflict continuum and associated with war.
Historically, battlefields in large-scale combat operations have been more chaotic, intense, and highly
destructive than those the Army has experienced in the past several decades. During the 1943 battles of Sidi
Bou Zid and Kasserine Pass in World War II, 5,000 American Soldiers were killed over the course of just 10
days; during the first three days of fighting the Army lost Soldiers at the rate of 1,333 per day. Even later in
the war, when units were better seasoned, trained, and equipped, casualty rates remained high due to the
inherent lethality of large-scale combat operations. In the Hürtgen Forest the Army sustained +32,976 total
casualties over 144 days, a loss of 229 Soldiers per day. Similarly, the Battle of the Bulge cost the Army 470
Soldiers per day, for a total loss of 19,270 killed and 62,489 wounded over 41 days of sustained combat.

Close Combat: Hürtgen Forest


In November 1944, the 4th Infantry Division attacked into the Hürtgen Forest in a costly
attempt to break through Nazi Germany’s “West Wall” and into the Rhine Valley
beyond. Opposing them were veteran German divisions, dug into prepared positions
consisting of concrete pillboxes and log bunkers, all protected by a carpet of mines.
These defenses were skillfully camouflaged in a planted forest that offered perfectly
straight fields of fire for machine guns and small arms. On the other hand, the 4th
Infantry Division had outstripped its supply lines, resulting in a lack of cold weather
gear, especially rubber shoepacs, as the frigid and damp European winter descended.

The division failed to penetrate the German defenses, suffering 4,000 battle casualties
and another 2,000 non-battle casualties in less than a month, an average of over 200
per day. In the midst of this ferocious combat, American forces could not rely on artillery
support, which had difficulty penetrating the dense forest canopy, or air support, which
was likewise limited or grounded by poor weather. The attack degenerated into a close
quarters infantry fight, with the Germans using the rugged terrain of high ridges and
steep gorges to excellent advantage. Supporting American armor could only use a few
cleared trails, which tanks quickly churned into immobilizing, bottomless mud.
Exposure to the elements, and especially “trench foot,” took a constant toll, leading to
high rates of non-battle casualties, even when units were not engaged.

Despite a constant flow of inexperienced replacements, the 4th Infantry Division


struggled to reach its objectives. Reduced to less than 50 percent strength, the division
had to be withdrawn to a quiet section of the line, where it would hold the southern
shoulder of what would soon become the Battle of the Bulge.

1-4. Large-scale combat operations are intense, lethal, and brutal. Their conditions include complexity,
chaos, fear, violence, fatigue, and uncertainty. Future battlefields will include noncombatants, and they will
be crowded in and around large cities. Enemies will employ conventional tactics, terror, criminal activity,
and information warfare to further complicate operations. To an ever-increasing degree, activities in the
information environment are inseparable from ground operations. Large-scale combat operations present the
greatest challenge for Army forces.

CHALLENGES FOR ARMY FORCES


1-5. Army forces must be organized, trained, and equipped to meet worldwide challenges against a full
range of threats. The experiences of the U.S. Army in Afghanistan and Iraq in the early 21st century are not
representative of the most dangerous conflicts the Army could face in the future. While the Army conducted
combat operations in both locations, for the most part it focused its efforts on counterinsurgency operations
and stability tasks. Only a fraction of the forces committed in either theater were engaged in offensive and
defensive tasks on any given day. While undoubtedly dangerous and lethal at times, these operations reflected
the reality that the enemy operated from positions of disadvantage across all domains. The enemy lacked
capabilities in the form of sustained long-range precision fires, integrated air defense systems, robust

1-2 FM 3-0, C1 6 December 2017


2YHUYLHZRI$UP\2SHUDWLRQV

FRQYHQWLRQDOJURXQGPDQHXYHUDQGHOHFWURQLFZDUIDUH6HOGRPZHUHIULHQGO\XQLWVODUJHUWKDQSODWRRQVHYHU
DWULVNRIGHVWUXFWLRQLQJURXQGFRPEDW,QWKHIXWXUHODUJHVFDOHFRPEDWRSHUDWLRQVDJDLQVWDSHHUWKUHDWZLOO
EHPXFKPRUHGHPDQGLQJLQWHUPVRIRSHUDWLRQDOWHPSRDQGOHWKDOLW\

/HWKDOLW\(DVWHUQ8NUDLQH

,Q-XO\WKH8NUDLQLDQ$UP\PRYHGVHYHUDOPHFKDQL]HGEULJDGHVLQWRDSRVLWLRQ
QHDUWKH5XVVLDQERUGHUWRSUHYHQWWKHLOOHJDOPRYHPHQWRIPLOLWDU\HTXLSPHQWDFURVV
WKHIURQWLHUWRUHEHOVLQHDVWHUQ8NUDLQH(DUO\RQWKHPRUQLQJRI-XO\VROGLHUVDW
WKHSRVLWLRQQRWLFHGDGURQHRUELWLQJDERYHWKHPIRUVRPHWLPH1RWORQJDIWHUWKHGURQH
GLVDSSHDUHGURFNHWVILUHGIURP$7RUQDGRPXOWLSOHODXQFKURFNHWV\VWHPVEHJDQ
ODQGLQJRQRQHRIWKHEULJDGHV

7KHEDUUDJHODVWHGIRXUPLQXWHV5RFNHWVFDUU\LQJDPL[WXUHRIKLJKH[SORVLYHFOXVWHU
DQGWKHUPREDULFPXQLWLRQVVPRWKHUHGWKHXQLW’VSRVLWLRQ&DQQRQURXQGVIROORZHGWKH
URFNHWV ZLWK GHYDVWDWLQJ HIIHFW 7KH 8NUDLQLDQ VROGLHUV WRRN DSSDOOLQJ ORVVHV 2QH
EDWWDOLRQZDVYLUWXDOO\GHVWUR\HGDQGRWKHUVZHUHUHQGHUHGFRPEDWLQHIIHFWLYHGXHWR
KHDY\ ORVVHV LQ YHKLFOHV DQG SHUVRQQHO &DVXDOWLHV TXLFNO\ RYHUZKHOPHG DUP\ DQG
ORFDOPHGLFDOIDFLOLWLHV,QWKHGD\VWKDWIROORZHGURFNHWDQGFDQQRQVWULNHVFRQWLQXHG
GLVUXSWLQJWKH8NUDLQLDQ$UP\’VDELOLW\WRGHIHQGWKDWUHJLRQRIHDVWHUQ8NUDLQH

 $UP\IRUFHVSDUWLFLSDWHLQRSHUDWLRQVDVSDUWRIDMRLQWDQGPXOWLQDWLRQDOIRUFH7KHVHRSHUDWLRQVVHUYH
DKLJKHUSROLWLFDOSXUSRVHDQGWKH\VKRXOGEHSODQQHGDQGH[HFXWHGDWHDFKHFKHORQWRVXSSRUWWKDWSXUSRVH
:LWKRXW D FOHDU XQGHUVWDQGLQJ RI WKH KLJKHU SXUSRVH LW LV GLIILFXOW WR XQGHUVWDQG ZKDW PXVW KDSSHQ WR
FRQVROLGDWHJDLQV+RZZHOOJURXQGIRUFHVFRQVROLGDWHJDLQVGHWHUPLQHVLQODUJHSDUWKRZHQGXULQJWKHUHVXOWV
RIRSHUDWLRQV ZLOOEH)DLOXUHWRHIIHFWLYHO\FRQVROLGDWH JDLQVLQUHODWLRQWRWKHHQHP\DQGWKHSRSXODWLRQ
UHGXFHVRSWLRQVIRUVHQLRUOHDGHUVDQGSROLF\PDNHUVDQGFRQWULEXWHVWRLQGHFLVLYHORQJWHUPUHVXOWV
 $UP\IRUFHVJDLQVXVWDLQDQGH[SORLWFRQWURORYHUODQGWRGHQ\LWVXVHWRDQHQHP\7KH\GRWKLVZLWK
FRPELQHG DUPV IRUPDWLRQV SRVVHVVLQJ WKH PRELOLW\ ILUHSRZHU DQG SURWHFWLRQ WR GHIHDW DQ HQHP\ DQG
HVWDEOLVKFRQWURORIDUHDVUHVRXUFHVDQGSRSXODWLRQV$UP\IRUFHVDUHDOPRVWHQWLUHO\GHSHQGHQWXSRQWKH
FDSDELOLWLHVRIWKHRWKHU6HUYLFHVWREHH[SHGLWLRQDU\DQG$UP\IRUFHVDUHKHDYLO\GHSHQGHQWXSRQWKHMRLQW
IRUFHIRU ILUHVDQGLQIRUPDWLRQFROOHFWLRQLQWKHGHHSDUHD-XVWDVWKH $UP\UHTXLUHVMRLQWFDSDELOLWLHVWR
FRQGXFWRSHUDWLRQVWKHMRLQWIRUFHDOVRUHTXLUHV$UP\FDSDELOLWLHVWRVXFFHHGDFURVVWKHODQGPDULWLPHDLU
VSDFHDQGF\EHUVSDFHGRPDLQV7KH$UP\SURYLGHVNH\HQDEOLQJFDSDELOLWLHVWRWKHMRLQWIRUFHLQFOXGLQJ
FRPPXQLFDWLRQVLQWHOOLJHQFHSURWHFWLRQDQGVXVWDLQPHQWVXSSRUW
 3ODQQLQJDQGWUDLQLQJIRUPRVWOLNHO\VFHQDULRVLVLPSHUDWLYHZKHQDOOGRPDLQVFDQEHFRQWHVWHGE\D
SHHUWKUHDW0DQ\DGYHUVDULHVKDYHV\VWHPVWKDWIDFLOLWDWHDQDQWLDFFHVV $ DQGDUHDGHQLDO $' VWUDWHJ\
0DVVHGPXOWLOD\HUHGLQWHJUDWHGDLUGHIHQVHV\VWHPV ,$'6V FRPELQHGZLWKORQJUDQJHURFNHWVDQGFUXLVH
DQGEDOOLVWLFPLVVLOHVZLWKLQDQLQWHJUDWHGILUHVFRPPDQGFKDOOHQJHWKHMRLQWIRUFH¶VDELOLW\WRSURMHFWLQWR
DQG RSHUDWH ZLWKLQ D WKHDWHU RI RSHUDWLRQ $UP\ IRUFHV FRQWULEXWH WR VROYLQJ WKHVH SUREOHPV WKURXJK D
PXOWLGRPDLQDSSURDFKWKDWLQFOXGHVLVRODWLQJSDUWVRIWKHHQHP\¶VLQWHJUDWHGILUHVFRPPDQGWRHQDEOHRU
DVVLVW MRLQW ILUHV LQ UHQGHULQJ WKH V\VWHP LQHIIHFWLYH 6HH -3  IRU PRUH LQIRUPDWLRQ RQ MRLQW IRUFLEOH
HQWU\ 
 %HLQJH[SHGLWLRQDU\XOWLPDWHO\PHDQVGHSOR\LQJRQVKRUWQRWLFHWRDXVWHUHORFDWLRQVDQGEHLQJFDSDEOH
RILPPHGLDWHO\FRQGXFWLQJFRPEDWRSHUDWLRQV'XULQJWKHLQLWLDOSKDVHVRIDQRSHUDWLRQ$UP\XQLWVPD\
ILQGWKHPVHOYHVIDFLQJVXSHULRUWKUHDWVLQWHUPVRIERWKQXPEHUVDQGFDSDELOLWLHV7KHILUVWGHSOR\LQJXQLWV
UHTXLUH WKH FDSDELOLW\ WR GHIHQG WKHPVHOYHV ZKLOH WKH\ SURYLGH UHDFWLRQ WLPH DQG PDQHXYHU VSDFH IRU
IROORZRQIRUFHV$UP\XQLWVZLWKOLPLWHGMRLQWVXSSRUWPD\EHGHIHQGLQJZLGHIURQWDJHVDVDFRYHULQJIRUFH
LQVLGHWKHUDQJHRIHQHP\ORQJUDQJHILUHV,QLWLDOGHIHQGLQJIRUFHVPXVWH[SORLWWKHDGYDQWDJHVRIWHUUDLQ
ERWKIRUSURWHFWLRQDQGWRLPSHGHHQHP\PRYHPHQWE\GLVUXSWLQJWKHHQHP\¶VDWWDFNFRQWHVWLQJWKHHQHP\¶V
LQLWLDWLYHDQGHVWDEOLVKLQJWKHFRQGLWLRQVIRUIULHQGO\IRUFHVWRWUDQVLWLRQWRWKHRIIHQVH

6 October 2017 FM 3-0 1-3


Chapter 1

 7KHOLNHOLKRRGRIWKHHQHP\¶VXVHRIZHDSRQVRIPDVVGHVWUXFWLRQ :0' LQFUHDVHVGXULQJODUJHVFDOH


FRPEDW RSHUDWLRQV²SDUWLFXODUO\ DJDLQVW PLVVLRQ FRPPDQG QRGHV PDVVHG IRUPDWLRQV DQG FULWLFDO
LQIUDVWUXFWXUH &RPPDQGHUV HQVXUH DV PXFK GLVSHUVLRQ DV WDFWLFDOO\ SUXGHQW ,Q WKH RIIHQVH $UP\ IRUFHV
PDQHXYHU TXLFNO\ DORQJ PXOWLSOH D[HV FRQFHQWUDWH WR PDVV HIIHFWV DQG WKHQ GLVSHUVH WR DYRLG EHFRPLQJ
OXFUDWLYHWDUJHWVIRU:0'DQGHQHP\FRQYHQWLRQDOILUHV&RPPDQGHUVPXVWDQWLFLSDWHWKDWWKHKLJKWHPSR
RIODUJHVFDOHFRPEDWRSHUDWLRQVZLOOFUHDWHJDSVDQGVHDPVWKDWFUHDWHERWKRSSRUWXQLWLHVDQGULVNVDVHQHP\
IRUPDWLRQV GLVLQWHJUDWH RU GLVSODFH (QHP\ IRUPDWLRQV PD\ JHW LQWHUPLQJOHG ZLWK IULHQGO\ IRUFHV RU EH
E\SDVVHGZKLFKUHTXLUHVIROORZRQDQGVXSSRUWLQJXQLWVWRSURWHFWWKHPVHOYHVDQGGHGLFDWHGIRUFHVWRVHFXUH
WKHFRQVROLGDWLRQDUHDE\GHIHDWLQJRUGHVWUR\LQJHQHP\UHPQDQWV
 2IIHQVLYH GHIHQVLYH DQG VWDELOLW\ WDVNV ZLOO WDNH SODFH VLPXOWDQHRXVO\ WKURXJKRXW WKH ODQG
FRPSRQHQW¶VDUHDRIRSHUDWLRQV $2 DOWKRXJKVXERUGLQDWHHOHPHQWVSDUWLFXODUO\WKRVHDWEULJDGHDQGORZHU
HFKHORQVZLOOJHQHUDOO\IRFXVRQRQHW\SHRIWDVNDWDWLPH8QLWVHQJDJHGLQFORVHRSHUDWLRQVZLOOJHQHUDOO\
IRFXV RQ RIIHQVLYH RU GHIHQVLYH WDVNV ILUVW DOWKRXJK WKH\ ZLOO FRQVLGHU ORQJWHUP VWDELOLW\ FRQVLGHUDWLRQV
ZKLOHH[HFXWLQJWKRVHWDVNV$YRLGLQJFLYLOLDQFDVXDOWLHVDQGXQQHFHVVDU\GHVWUXFWLRQRILQIUDVWUXFWXUHDUH
H[DPSOHVRIVWDELOLW\FRQVLGHUDWLRQVWKDWDOOXQLWVDFFRXQWIRUGXULQJSODQQLQJ
 )OXLGLW\ FKDUDFWHUL]HV RSHUDWLRQV WR WKH UHDU RI IRUFHV LQ WKH FORVH DUHD ,UUHJXODU IRUFHV FULPLQDO
HOHPHQWVKRVWLOHSRSXODWLRQVDQGWKHGLVUXSWLYHHIIHFWVRIHQHP\LQIRUPDWLRQZDUIDUHZLOOFKDOOHQJH$UP\
IRUFHV7KHVHGLVUXSWLYHHIIHFWVPD\RFFXUDWXQLWKRPHVWDWLRQVSRUWVRIHPEDUNDWLRQZKLOHLQWUDQVLWWRWKH
WKHDWHUDQGXSRQDUULYDODWSRUWVRIGHEDUNDWLRQ$UP\IRUFHVPD\QRWKDYHWKHFDSDELOLW\QRUWKHDXWKRULW\
WRSUHHPSWWKHVHDWWDFNV
 $UP\RSHUDWLRQVWDNHSODFHLQWKHPRVWFRPSOH[RIHQYLURQPHQWVRQODQGDPRQJKXPDQVZKRKDYH
IXQGDPHQWDOGLVDJUHHPHQWV3URSDJDQGDGHFHSWLRQGLVLQIRUPDWLRQDQGWKHDELOLW\RILQGLYLGXDOVDQGJURXSV
WR LQIOXHQFH GLVSDUDWH SRSXODWLRQV WKURXJK VRFLDO WHFKQRORJLHV UHIOHFW WKH LQFUHDVLQJ VSHHG RI KXPDQ
LQWHUDFWLRQ/HDGHUVPXVWFRQVLGHUDOOIDFWRUVWKDWPDNHXSWKHLU2(LQFOXGLQJVRFLDOIDFWRUVLQLWLDWLQJDQG
VXVWDLQLQJDFRQIOLFW)DLOXUHWRGRVRPD\OHDGWRIDXOW\SODQVWKDWGRQRWDGGUHVVWKHGHVLUHGHQGVWDWH
 &RPPDQGHUVPXVWUHFRJQL]HWKHSUROLIHUDWLRQRIF\EHUVSDFHFDSDELOLWLHV ERWKIULHQGO\DQGWKUHDW DQG
WKHLPSDFWRIWKHVHFDSDELOLWLHVRQRSHUDWLRQV7KUHDWF\EHUVSDFHFDSDELOLWLHVFDQGLVUXSWIULHQGO\LQIRUPDWLRQ
V\VWHPVDQGGHJUDGHFRPPDQGDQGFRQWURO & DFURVVWKHMRLQWIRUFH7KUHDWRSHUDWLRQVLQF\EHUVSDFHDUH
RIWHQOHVVHQFXPEHUHGE\WUHDW\ODZDQGSROLF\UHVWULFWLRQVWKDQWKRVHLPSRVHGRQ86IRUFHVZKLFKPD\
DOORZ DGYHUVDULHV RU HQHPLHV DQ LQLWLDO DGYDQWDJH )ULHQGO\ F\EHUVSDFH RSHUDWLRQV HQDEOH FRPPDQGHUV WR
GHIHQGQHWZRUNVDQGGDWDDQGJDLQDGYDQWDJHVLQWKHF\EHUVSDFHGRPDLQWKURXJKYDULRXVPHDQV 6HH)0
IRUGRFWULQHRQF\EHUVSDFHRSHUDWLRQV 
 7KHPRUHIOXLGDVLWXDWLRQEHFRPHVWKHPRUHLPSRUWDQWDQGGLIILFXOWLWLVWRLGHQWLI\GHFLVLYHSRLQWV
DQG IRFXV FRPEDW SRZHU 7KH SKLORVRSK\ RI PLVVLRQ FRPPDQG KHOSV PLWLJDWH WKLV XQFHUWDLQW\ 0LVVLRQ
FRPPDQGUHTXLUHVPXWXDOWUXVWDQGVKDUHGXQGHUVWDQGLQJDQGLWHPSKDVL]HVWKHLPSRUWDQFHRIHQVXULQJWKDW
WKHFRPPDQGHU¶VLQWHQWLVXQGHUVWRRGDWHDFKOHYHO7KLVPLWLJDWHVULVNZKHQFRPPXQLFDWLRQVDUHLQWHUUXSWHG
DQGDOORZVVXERUGLQDWHVWRWDNHLQLWLDWLYHZKLOHRXWRIFRQWDFWZLWKWKHLUKLJKHUKHDGTXDUWHUV 6HH$'53
IRUGRFWULQHRQPLVVLRQFRPPDQG 

$17,&,3$7('23(5$7,21$/(19,5210(176
1RPDWWHUKRZFOHDUO\RQHWKLQNVLWLVLPSRVVLEOHWRDQWLFLSDWHSUHFLVHO\WKHFKDUDFWHURI
IXWXUHFRQIOLFW7KHNH\LVWRQRWEHVRIDURIIWKHPDUNWKDWLWEHFRPHVLPSRVVLEOHWRDGMXVW
RQFHWKDWFKDUDFWHULVUHYHDOHG
6LU0LFKDHO+RZDUG

 )DFWRUVWKDWDIIHFWRSHUDWLRQVH[WHQGIDUEH\RQGWKHERXQGDULHVRIDFRPPDQGHU¶VDVVLJQHG$2$V
VXFKFRPPDQGHUVVXSSRUWHGE\WKHLUVWDIIVVHHNWRGHYHORSDQGPDLQWDLQDQXQGHUVWDQGLQJRIWKHLU2($Q
RSHUDWLRQDO HQYLURQPHQW LV D FRPSRVLWH RI WKH FRQGLWLRQV FLUFXPVWDQFHV DQG LQIOXHQFHV WKDW DIIHFW WKH
HPSOR\PHQW RI FDSDELOLWLHV DQG EHDU RQ WKH GHFLVLRQV RI WKH FRPPDQGHU -3   $Q 2( HQFRPSDVVHV
SK\VLFDO DUHDV RI WKH DLU ODQG PDULWLPH VSDFH DQG F\EHUVSDFH GRPDLQV DV ZHOO DV WKH LQIRUPDWLRQ
HQYLURQPHQW ZKLFKLQFOXGHVF\EHUVSDFH WKHHOHFWURPDJQHWLFVSHFWUXP (06 DQGRWKHUIDFWRUV,QFOXGHG
ZLWKLQ WKHVH DUH DGYHUVDU\ HQHP\ IULHQGO\ DQG QHXWUDO DFWRUV WKDW DUH UHOHYDQW WR D VSHFLILF RSHUDWLRQ

1-4 FM 3-0 6 October 2017


2YHUYLHZRI$UP\ 2SHUDWLRQV

&RPPDQGHUVDQG VWDIIVDQDO\]H DQ 2(XVLQJWKHHLJKWRSHUDWLRQDOYDULDEOHVSROLWLFDOPLOLWDU\HFRQRPLF


VRFLDOLQIRUPDWLRQLQIUDVWUXFWXUHSK\VLFDOHQYLURQPHQWDQGWLPH NQRZQDV30(6,,37  6HH)0IRU
PRUHLQIRUPDWLRQRQWKHRSHUDWLRQDOYDULDEOHV 
 +RZ WKHPDQ\ HQWLWLHVEHKDYH DQG LQWHUDFWZLWK HDFKRWKHUZLWKLQ DQ 2( LVGLIILFXOWWRGLVFHUQDQG
DOZD\V UHVXOWVLQ GLIIHULQJFLUFXPVWDQFHV1R WZR 2(V DUH WKH VDPH ,Q DGGLWLRQ DQ 2( LV QRWVWDWLFLW
FRQWLQXDOO\HYROYHV7KLVHYROXWLRQUHVXOWVIURPRSSRVLQJIRUFHVDQGDFWRUVLQWHUDFWLQJDQGWKHLUDELOLWLHVWR
OHDUQDQG DGDSW 7KH FRPSOH[DQG G\QDPLF QDWXUHRIDQ 2( PDNHVGHWHUPLQLQJWKHUHODWLRQVKLSEHWZHHQ
FDXVHDQGHIIHFWGLIILFXOWDQGFRQWULEXWHVWRWKHXQFHUWDLQQDWXUHRIPLOLWDU\RSHUDWLRQV
 8QGHUVWDQGLQJ DQ 2( LVHVVHQWLDOWRHIIHFWLYHGHFLVLRQPDNLQJ +RZHYHU FRPPDQGHUVUHDOL]HWKDW
XQFHUWDLQW\DQG WLPHSUHFOXGHDFKLHYLQJ FRPSOHWHXQGHUVWDQGLQJEHIRUHGHFLGLQJDQG DFWLQJ,QDGGLWLRQWR
WKH RSHUDWLRQDO YDULDEOHV WKHUHDUH VHYHUDO WRROVWKDW DVVLVWFRPPDQGHUVDQG VWDIIV ZLWK XQGHUVWDQGLQJ
YLVXDOL]LQJDQG GHVFULELQJDQ2(LQFOXGLQJ²
z 5XQQLQJ HVWLPDWHV GHVFULEHGLQ)0 
z $UP\GHVLJQPHWKRGRORJ\ GHVFULEHGLQ$73 
z 7KHPLOLWDU\GHFLVLRQPDNLQJSURFHVV GHVFULEHGLQ)0 
z ,QWHOOLJHQFHSUHSDUDWLRQRIWKHEDWWOHILHOG GHVFULEHGLQ$73 
z 6XVWDLQPHQWSUHSDUDWLRQRIWKH2( GHVFULEHGLQ$'53 

/(9(/6 2) :$5)$5(


 2SHUDWLRQDOHQYLURQPHQWVLQFOXGHFRQVLGHUDWLRQVDWWKHVWUDWHJLFRSHUDWLRQDODQG WDFWLFDOOHYHOVRI
ZDUIDUH$WWKHVWUDWHJLFOHYHOQDWLRQDOOHDGHUVGHYHORSDQLGHDRUVHWRILGHDVIRUHPSOR\LQJWKHLQVWUXPHQWV
RI QDWLRQDO SRZHU GLSORPDWLFLQIRUPDWLRQDOPLOLWDU\ DQG HFRQRPLF LQ D V\QFKURQL]HG DQG LQWHJUDWHG
IDVKLRQWRDFKLHYH WKHDWHUQDWLRQDO DQG PXOWLQDWLRQDOREMHFWLYHV7KH RSHUDWLRQDOOHYHOOLQNV WKH WDFWLFDO
HPSOR\PHQWRI IRUFHVWRQDWLRQDO DQG PLOLWDU\VWUDWHJLFREMHFWLYHVZLWK WKH IRFXVEHLQJ RQ WKH GHVLJQ
SODQQLQJ DQG H[HFXWLRQ RI RSHUDWLRQV XVLQJ RSHUDWLRQDODUW -RLQW IRUFHFRPPDQGHUV -)&V  DQG WKHLU
FRPSRQHQWFRPPDQGHUVXVHRSHUDWLRQDODUWWRGHWHUPLQHKRZZKHQ ZKHUHDQG IRUZKDW SXUSRVHPLOLWDU\
IRUFHVZLOOEHHPSOR\HG7KH WDFWLFDOOHYHORIZDUIDUHLQYROYHVWKHHPSOR\PHQWDQGRUGHUHGDUUDQJHPHQWRI
IRUFHVLQUHODWLRQWRHDFKRWKHUXVLQJWKHDUWDQGVFLHQFHRIWDFWLFV7DFWLFVLQFOXGHVWKHSODQQLQJDQGH[HFXWLRQ
RIEDWWOHVHQJDJHPHQWVDQGDFWLYLWLHVWRDFKLHYHPLOLWDU\REMHFWLYHVDVVLJQHGWRWDFWLFDOXQLWV
 7KH OHYHOVRIZDUIDUH PRGHOWKHUHODWLRQVKLSEHWZHHQQDWLRQDOREMHFWLYHVDQG WDFWLFDODFWLRQV7KHUH
DUH QR IL[HG OLPLWV RU ERXQGDULHV EHWZHHQ WKHVH OHYHOV EXW WKH\ KHOS FRPPDQGHUVYLVXDOL]H D ORJLFDO
DUUDQJHPHQW RI RSHUDWLRQV DOORFDWH UHVRXUFHVDQG DVVLJQ WDVNV WR DSSURSULDWH FRPPDQGV (FKHORQ RI
FRPPDQGVL]HRIXQLWVW\SHVRIHTXLSPHQWDQG W\SHVDQG ORFDWLRQRIIRUFHVRUFRPSRQHQWVPD\RIWHQEH
DVVRFLDWHGZLWK D SDUWLFXODUOHYHO EXW WKH VWUDWHJLFRSHUDWLRQDORUWDFWLFDOSXUSRVHRIWKHLUHPSOR\PHQW
GHSHQGVRQWKHQDWXUHRIWKHLUWDVNPLVVLRQRUREMHFWLYH

75(1'6
 6HYHUDO WUHQGV ZLOO FRQWLQXH WR DIIHFW IXWXUH 2(V 7KH FRPSHWLWLRQIRU UHVRXUFHVZDWHU DFFHVV
GHFOLQLQJELUWKUDWHVLQWUDGLWLRQDOO\DOOLHGQDWLRQVDQGGLVHQIUDQFKLVHGJURXSVLQPDQ\QDWLRQVFRQWULEXWHWR
WKHOLNHOLKRRGRIIXWXUHFRQIOLFW3RSXODWLRQVZLOOFRQWLQXHWRPLJUDWHDFURVVERUGHUVDQG WRXUEDQDUHDVLQ
VHDUFKRIWKHHPSOR\PHQWDQG VHUYLFHVXUEDQDUHDVRIIHU$GYHUVDULDOXVHRIXELTXLWRXVPHGLDSODWIRUPVWR
GLVSHUVHPLVLQIRUPDWLRQ SURSDJDQGD DQG PDOLJQ QDUUDWLYHV HQDEOHVDGYHUVDULHVWR VKDSH DQ 2( WRWKHLU
DGYDQWDJH DQGIRPHQWGLVVHQWLRQXQUHVWYLROHQFHRUDWWKHYHU\OHDVWXQFHUWDLQW\
 3UROLIHUDWLQJWHFKQRORJLHVZLOOFRQWLQXHWRSUHVHQWFKDOOHQJHVIRUWKHMRLQWIRUFH8QPDQQHG V\VWHPV
DUHEHFRPLQJPRUHFDSDEOH DQG FRPPRQ5HODWLYHO\LQH[SHQVLYHDQG SHUYDVLYH DQWLWDQN JXLGHG PLVVLOHV
DQG DGYDQFHG URFNHW SURSHOOHG JUHQDGHV FDQ GHIHDW PRGHUQ DUPRUHG YHKLFOHV 6HQVRUV DQG VHQVLQJ
WHFKQRORJ\ DUH EHFRPLQJ FRPPRQSODFH $GYHUVDULHV KDYH ORQJUDQJH SUHFLVLRQVWULNH FDSDELOLWLHV WKDW
RXWUDQJHDQG RXWQXPEHU86 V\VWHPV$GYDQFHG LQWHJUDWHGDLUGHIHQVHV\VWHPVFDQQHXWUDOL]HIULHQGO\DLU
SRZHURUWKH\FDQPDNHDLURSHUDWLRQVWRRFRVWO\WRFRQGXFW$QWLVKLSPLVVLOHVZRUNLQJLQFRQFHUWZLWKDQ
,$'6 FDQGLVUXSWDFFHVVWRWKHFRDVWOLQHVDQGSRUWVQHFHVVDU\IRU$UP\ IRUFHVWRHQWHUDQ$2$GYHUVDU\
F\EHUVSDFHDQGVSDFHFRQWUROFDSDELOLWLHVFDQGLVUXSWIULHQGO\LQIRUPDWLRQV\VWHPVDQGGHJUDGH&DFURVVWKH

6 December 2017 FM 3-0, C1 1-5


Chapter 1

MRLQWIRUFH8VHRI:0'DQGWKHFRQVWDQWSXUVXLWRIWKHPDWHULDOVH[SHUWLVHDQGWHFKQRORJ\WRHPSOR\:0'
ZLOO LQFUHDVHLQ WKH IXWXUH%RWKVWDWHDQG QRQVWDWHDFWRUVFRQWLQXHWRGHYHORS :0' SURJUDPVWR JDLQ
DGYDQWDJH DJDLQVW WKH 8QLWHG 6WDWHV DQG LWV DOOLHV7KHVH WUHQGV PHDQ WKDW DGYHUVDULHV FDQ FRQWHVW86
GRPLQDQFHLQWKHDLUODQGPDULWLPHVSDFHDQGF\EHUVSDFHGRPDLQV

08/7,'20$,1(;7(1'(' %$77/(),(/'
6LQFHPHQOLYHXSRQWKHODQGDQGQRWXSRQWKHVHDJUHDWLVVXHVEHWZHHQQDWLRQVDWZDU
KDYHDOZD\VEHHQGHFLGHG²H[FHSWLQWKHUDUHVWRIFDVHV²HLWKHUE\ZKDW\RXUDUP\FDQGR
DJDLQVW\RXUHQHP\¶VWHUULWRU\DQGQDWLRQDOOLIHRUHOVHE\IHDURIZKDWWKHIOHHWPDNHVLW
SRVVLEOHIRU\RXUDUP\WRGR
6LU-XOLDQ &RUEHWW

 7KH LQWHUUHODWLRQVKLSRIWKH DLUODQG PDULWLPHVSDFHDQG WKHLQIRUPDWLRQHQYLURQPHQW LQFOXGLQJ


F\EHUVSDFH UHTXLUHVD FURVVGRPDLQXQGHUVWDQGLQJ RI DQ 2( &RPPDQGHUV DQG VWDIIVPXVW XQGHUVWDQG
IULHQGO\DQGHQHP\FDSDELOLWLHVWKDWUHVLGHLQHDFKGRPDLQ)URPWKLVXQGHUVWDQGLQJFRPPDQGHUVFDQEHWWHU
LGHQWLI\ ZLQGRZV RI RSSRUWXQLW\ GXULQJ RSHUDWLRQVWR FRQYHUJH FDSDELOLWLHVIRU EHVW HIIHFW6LQFH PDQ\
IULHQGO\FDSDELOLWLHVDUHQRWRUJDQLFWR$UP\IRUFHVFRPPDQGHUVDQGVWDIIVSODQFRRUGLQDWHIRUDQGLQWHJUDWH
MRLQWDQGRWKHUXQLILHGDFWLRQSDUWQHUFDSDELOLWLHVLQDPXOWLGRPDLQDSSURDFKWRRSHUDWLRQV
 $PXOWLGRPDLQDSSURDFKWRRSHUDWLRQVLVQRWQHZ$UP\IRUFHVKDYHHIIHFWLYHO\LQWHJUDWHGFDSDELOLWLHV
DQGV\QFKURQL]HGDFWLRQVLQWKHDLUODQGDQGPDULWLPHGRPDLQVIRUGHFDGHV5DSLGDQG FRQWLQXHGDGYDQFHV
LQ WHFKQRORJ\DQG WKH PLOLWDU\ DSSOLFDWLRQ RIQHZ WHFKQRORJLHVWR WKH VSDFHGRPDLQ WKH (06 DQG WKH
LQIRUPDWLRQHQYLURQPHQW SDUWLFXODUO\F\EHUVSDFH UHTXLUHVSHFLDOFRQVLGHUDWLRQLQSODQQLQJDQGFRQYHUJLQJ
HIIHFWVIURPDFURVVDOOGRPDLQV

63$&( '20$,1
 7KH VSDFHGRPDLQLVWKHVSDFHHQYLURQPHQWVSDFHDVVHWVDQGWHUUHVWULDOUHVRXUFHVUHTXLUHGWRDFFHVV
DQG RSHUDWHLQWRRUWKURXJKWKHVSDFHHQYLURQPHQW )0 6SDFHLVDSK\VLFDOGRPDLQOLNHODQGVHD
DQG DLUZLWKLQZKLFKPLOLWDU\DFWLYLWLHVDUHFRQGXFWHG3UROLIHUDWLRQRIDGYDQFHG VSDFHWHFKQRORJ\SURYLGHV
PRUHZLGHVSUHDGDFFHVVWRVSDFHHQDEOHGWHFKQRORJLHVWKDQLQWKHSDVW$GYHUVDULHVKDYH GHYHORSHGWKHLU
RZQ V\VWHPVZKLOHFRPPHUFLDOO\DYDLODEOH V\VWHPVDOORZDOPRVWXQLYHUVDO DFFHVVWRVRPHOHYHORIVSDFH
HQDEOHGFDSDELOLW\ZLWKPLOLWDU\DSSOLFDWLRQV$UP\IRUFHVPXVWEHSUHSDUHGWRRSHUDWHLQDGHQLHGGHJUDGHG
DQGGLVUXSWHGVSDFHRSHUDWLRQDOHQYLURQPHQW '62( 
 6SDFHFDSDELOLWLHVSURYLGHLQIRUPDWLRQFROOHFWLRQHDUO\ZDUQLQJ HQYLURQPHQWDOPRQLWRULQJVDWHOOLWH
EDVHG FRPPXQLFDWLRQ DQG SRVLWLRQLQJ QDYLJDWLRQ DQG WLPLQJ $FWLYLWLHV LQ WKH VSDFH GRPDLQ HQDEOH
IUHHGRPRIDFWLRQIRURSHUDWLRQVLQDOORWKHUGRPDLQVDQG RSHUDWLRQVLQWKHRWKHUGRPDLQVFDQFUHDWHHIIHFWV
LQDQGWKURXJKWKHVSDFHGRPDLQ
 6SDFHRSHUDWLRQVDUHLQKHUHQWO\MRLQW$UP\ IRUFHVUHO\RQVSDFHEDVHGFDSDELOLWLHVWRHQKDQFHHDFK
ZDUILJKWLQJ IXQFWLRQ DQG HIIHFWLYHO\ FRQGXFW RSHUDWLRQV 6SDFH FDSDELOLWLHV HQDEOH $UP\ IRUFHV WR
FRPPXQLFDWHQDYLJDWH DFFXUDWHO\WDUJHWDQ HQHP\DQG SURWHFWDQG VXVWDLQWKHIRUFH7R DFKLHYHRSWLPDO
PLOLWDU\XWLOLW\IURPVSDFHDVVHWVD EDVLFXQGHUVWDQGLQJ RIVSDFHFDSDELOLWLHVDQG WKHDELOLW\WRFRRUGLQDWH
DFWLYLWLHVEHWZHHQLQYROYHGDJHQFLHVDQG RUJDQL]DWLRQVLVUHTXLUHG6SDFHVXSSRUWHOHPHQWV 66( DWWKHDWHU
DUP\FRUSVDQGGLYLVLRQKHDGTXDUWHUVDVVLVWZLWKSODQQLQJ LQWHJUDWLQJDQG FRRUGLQDWLQJVSDFHFDSDELOLWLHV
LQWRDOODVSHFWVRIRSHUDWLRQV&RPPDQGHUVFDQQRWDVVXPHWKDW86IRUFHVZLOOKDYH XQFRQVWUDLQHGXVHRI
VSDFHEDVHGFDSDELOLWLHV 6HH)0IRUGRFWULQHRQ$UP\VSDFHRSHUDWLRQV 

,1)250$7,21(19,5210(17
3ULQWLVWKHVKDUSHVWDQGVWURQJHVWZHDSRQRIRXUSDUW\
-RVHSK 6WDOLQ

 7KH LQIRUPDWLRQHQYLURQPHQWLVWKHDJJUHJDWHRILQGLYLGXDOV RUJDQL]DWLRQVDQG V\VWHPVWKDWFROOHFW


SURFHVVGLVVHPLQDWHRUDFWRQLQIRUPDWLRQ -3 7KHLQIRUPDWLRQHQYLURQPHQWLVQRWVHSDUDWHRUGLVWLQFW
IURP WKH 2( EXW LV LQH[WULFDEO\ SDUW RI LW $Q\ DFWLYLW\ WKDW RFFXUV LQ WKH LQIRUPDWLRQ HQYLURQPHQW

1-6 FM 3-0, C1 6 December 2017


2YHUYLHZRI$UP\2SHUDWLRQV

VLPXOWDQHRXVO\RFFXUVLQDQGDIIHFWVRQHRUPRUHRIWKHSK\VLFDOGRPDLQV0RVWWKUHDWIRUFHVUHFRJQL]HWKH
LPSRUWDQFHRIWKHLQIRUPDWLRQHQYLURQPHQWDQGHPSKDVL]HLQIRUPDWLRQZDUIDUHDVSDUWRIWKHLUVWUDWHJLFDQG
RSHUDWLRQDOPHWKRGV VHHSDUDJUDSKVWRIRUDGLVFXVVLRQRIWKHWKUHDW¶VXVHRILQIRUPDWLRQZDUIDUH 
 7KHLQIRUPDWLRQHQYLURQPHQWLVFRPSULVHGRIWKUHHGLPHQVLRQVSK\VLFDOLQIRUPDWLRQDODQGFRJQLWLYH
7KHSK\VLFDOGLPHQVLRQLQFOXGHVWKHFRQQHFWLYHLQIUDVWUXFWXUHWKDWVXSSRUWVWKHWUDQVPLVVLRQUHFHSWLRQDQG
VWRUDJH RI LQIRUPDWLRQ 7KH LQIRUPDWLRQDO GLPHQVLRQ FRQWDLQV WKH FRQWHQW RU GDWD  LWVHOI ,W UHIHUV WR WKH
FRQWHQW DQG IORZ RI LQIRUPDWLRQ VXFK DV WH[W RU LPDJHV RU GDWD WKDW VWDIIV FDQ FROOHFW SURFHVV VWRUH
GLVVHPLQDWHDQGGLVSOD\7KHLQIRUPDWLRQDOGLPHQVLRQSURYLGHVWKHQHFHVVDU\OLQNEHWZHHQWKHSK\VLFDODQG
FRJQLWLYHGLPHQVLRQV7KHFRJQLWLYHGLPHQVLRQUHIHUVWRWKHPLQGVRIWKRVHZKRDUHDIIHFWHGE\DQGDFWXSRQ
LQIRUPDWLRQ7KLVGLPHQVLRQIRFXVHVRQWKHVRFLHWDOFXOWXUDOUHOLJLRXVDQGKLVWRULFDOFRQWH[WVWKDWLQIOXHQFH
WKHSHUFHSWLRQVRIWKRVHSURGXFLQJWKHLQIRUPDWLRQDQGRIWKHWDUJHWVDQGDXGLHQFHVUHFHLYLQJWKHLQIRUPDWLRQ
,Q WKLV GLPHQVLRQ GHFLVLRQ PDNHUV DQG WDUJHW DXGLHQFHV DUH PRVW SURQH WR LQIOXHQFH DQG SHUFHSWLRQ
PDQDJHPHQW
 $FURVV WKH JOREH LQIRUPDWLRQ LV LQFUHDVLQJO\ DYDLODEOH LQ QHDUUHDO WLPH 7KH DELOLW\ WR DFFHVV WKLV
LQIRUPDWLRQIURPDQ\ZKHUHDWDQ\WLPHEURDGHQVDQGDFFHOHUDWHVKXPDQLQWHUDFWLRQDFURVVPXOWLSOHOHYHOV
LQFOXGLQJSHUVRQWRSHUVRQSHUVRQWRRUJDQL]DWLRQSHUVRQWRJRYHUQPHQWDQGJRYHUQPHQWWRJRYHUQPHQW
6RFLDOPHGLDLQSDUWLFXODUHQDEOHVWKHVZLIWPRELOL]DWLRQRISHRSOHDQGUHVRXUFHVDURXQGLGHDVDQGFDXVHV
HYHQ EHIRUH WKH\ DUH IXOO\ XQGHUVWRRG 'LVLQIRUPDWLRQ DQG SURSDJDQGD FUHDWH PDOLJQ QDUUDWLYHV WKDW FDQ
SURSDJDWHTXLFNO\DQGLQVWLOODQDUUD\RIHPRWLRQVDQGEHKDYLRUVIURPDQDUFK\WRIRFXVHGYLROHQFH)URPD
PLOLWDU\VWDQGSRLQWLQIRUPDWLRQHQDEOHVGHFLVLRQPDNLQJOHDGHUVKLSDQGFRPEDWSRZHULWLVDOVRNH\WR
VHL]LQJJDLQLQJDQGUHWDLQLQJWKHLQLWLDWLYHDQGWRFRQVROLGDWLQJJDLQVLQDQ2($UP\FRPPDQGHUVFRQGXFW
LQIRUPDWLRQRSHUDWLRQVWRDIIHFWWKHLQIRUPDWLRQHQYLURQPHQW 6HH)0IRUGRFWULQHRQWKHLQIRUPDWLRQ
HQYLURQPHQWDQGWKHYDULRXVLQIRUPDWLRQUHODWHGFDSDELOLWLHVDYDLODEOHWRFRPPDQGHUV 

&<%(563$&($1'7+((/(&7520$*1(7,&63(&7580
 &\EHUVSDFH LV D JOREDO GRPDLQ ZLWKLQ WKH LQIRUPDWLRQ HQYLURQPHQW FRQVLVWLQJ RI LQWHUGHSHQGHQW
QHWZRUNV RI LQIRUPDWLRQ WHFKQRORJ\ LQIUDVWUXFWXUHV DQG UHVLGHQW GDWD LQFOXGLQJ WKH ,QWHUQHW
WHOHFRPPXQLFDWLRQV QHWZRUNVFRPSXWHU V\VWHPVDQGHPEHGGHGSURFHVVRUVDQGFRQWUROOHUV -3>5@ 
)ULHQGO\HQHP\DGYHUVDU\DQGKRVWQDWLRQQHWZRUNVFRPPXQLFDWLRQVV\VWHPVFRPSXWHUVFHOOXODUSKRQH
V\VWHPVVRFLDOPHGLDDQGWHFKQLFDOLQIUDVWUXFWXUHVDUHDOOSDUWRIF\EHUVSDFH
 &\EHUVSDFHLVDQH[WHQVLYHDQGFRPSOH[JOREDOQHWZRUNRIZLUHGDQGZLUHOHVVOLQNVFRQQHFWLQJQRGHV
WKDW SHUPHDWH HYHU\ GRPDLQ 1HWZRUNV FURVV JHRJUDSKLF DQG SROLWLFDO ERXQGDULHV FRQQHFWLQJ LQGLYLGXDOV
RUJDQL]DWLRQVDQGV\VWHPVDURXQGWKHZRUOG&\EHUVSDFHLVVRFLDOO\HQDEOLQJDOORZLQJLQWHUDFWLYLW\DPRQJ
LQGLYLGXDOVJURXSVRUJDQL]DWLRQVDQGQDWLRQVWDWHV$ZD\WRGHVFULEHF\EHUVSDFHLVLQWHUPVRIWKUHHOD\HUV
z 3K\VLFDOQHWZRUNOD\HU²JHRJUDSKLFORFDWLRQVLQODQGDLUPDULWLPHRUVSDFHZKHUHHOHPHQWVRI
WKHQHWZRUNUHVLGH
z /RJLFDOQHWZRUNOD\HU²FRPSRQHQWVRIWKHQHWZRUNUHODWHGWRRQHDQRWKHULQD ZD\DEVWUDFWHG
IURPWKHSK\VLFDOQHWZRUN
z &\EHUSHUVRQDOD\HU²GLJLWDOUHSUHVHQWDWLRQVRILQGLYLGXDOVRUHQWLWLHVLGHQWLW\LQF\EHUVSDFH

 &\EHUVSDFHLVKLJKO\YXOQHUDEOHIRUVHYHUDOUHDVRQVLQFOXGLQJHDVHRIDFFHVVQHWZRUNDQGVRIWZDUH
FRPSOH[LW\ODFNRIVHFXULW\FRQVLGHUDWLRQVLQQHWZRUNGHVLJQDQGVRIWZDUHGHYHORSPHQWDQGLQDSSURSULDWH
XVHU DFWLYLW\ $FFHVV WR F\EHUVSDFH E\ DQ LQGLYLGXDO RU JURXS ZLWK D QHWZRUNHG GHYLFH LV HDV\ DQG DQ
LQGLYLGXDOZLWKDVLQJOHGHYLFHPD\EHDEOHWRGLVDEOHDQHQWLUHQHWZRUN9XOQHUDELOLWLHVLQWKHV\VWHPVWKDW
RSHUDWHLQF\EHUVSDFHFRQWULEXWHWRDFRQWLQXRXVREOLJDWLRQWRPDQDJHULVNDQGSURWHFWSRUWLRQVRIF\EHUVSDFH
 7KHHOHFWURPDJQHWLFVSHFWUXPLVWKHUDQJHRIIUHTXHQFLHVRIHOHFWURPDJQHWLFUDGLDWLRQIURP]HURWR
LQILQLW\,WLVGLYLGHGLQWRDOSKDEHWLFDOO\GHVLJQDWHGEDQGV -3 7KH(06FURVVHVDOOGRPDLQVDQG
LWSURYLGHVDYLWDOOLQNEHWZHHQWKHVSDFHDQGF\EHUVSDFHGRPDLQV6SDFHRSHUDWLRQVGHSHQGRQWKH(06IRU
WKHWUDQVSRUWRILQIRUPDWLRQDQGWKHFRQWURORIVSDFHDVVHWV6SDFHRSHUDWLRQVSURYLGHDVSHFLILFFDSDELOLW\RI
WUDQVSRUWWKURXJKWKHVSDFHGRPDLQIRUORQJKDXODQGOLPLWHGDFFHVVFRPPXQLFDWLRQV6SDFHDVVHWVSURYLGHD
NH\JOREDOFRQQHFWLYLW\FDSDELOLW\IRUF\EHUVSDFHRSHUDWLRQV&RQYHUVHO\F\EHUVSDFHRSHUDWLRQVSURYLGHD
FDSDELOLW\WRH[HFXWHVSDFHRSHUDWLRQV7KLVLQWHUUHODWLRQVKLSLVDQLPSRUWDQWFRQVLGHUDWLRQDFURVVF\EHUVSDFH
RSHUDWLRQVDQGLWLVSDUWLFXODUO\LPSRUWDQWZKHQFRQGXFWLQJWDUJHWLQJLQF\EHUVSDFH

6 October 2017 FM 3-0 1-7


Chapter 1

 &\EHUVSDFH DQG WKH (06 ZLOO JURZ LQFUHDVLQJO\ FRQJHVWHG FRQWHVWHG DQG FULWLFDO WR VXFFHVVIXO
RSHUDWLRQV$UP\IRUFHVPXVWEHDEOHWRHIIHFWLYHO\RSHUDWHLQF\EHUVSDFHDQGWKH(06ZKLOH FRQWUROOLQJ
WKHDELOLW\RIRWKHUVWRRSHUDWHWKHUH5DSLGGHYHORSPHQWVLQF\EHUVSDFHDQGWKH(06SUHVHQWFRQWLQXRXV
FKDOOHQJHV:KLOH$UP\IRUFHVFDQQRWGHIHQGDJDLQVWHYHU\NLQGRILQWUXVLRQFRPPDQGHUVDQGVWDIIVPXVW
WDNHVWHSVWRLGHQWLI\SULRULWL]HDQGGHIHQGWKHLUPRVWLPSRUWDQWQHWZRUNVDQGGDWD7KH\PXVWDOVRDGDSW
TXLFNO\ DQG HIIHFWLYHO\ WR HQHP\ DQG DGYHUVDU\ SUHVHQFH LQVLGH F\EHUVSDFH V\VWHPV )LJXUH  GLVSOD\V
IULHQGO\WKUHDWDQGQHXWUDO RUQRQDWWULEXWHG QHWZRUNVERWKZLWKLQDQRSHUDWLRQDODUHDDQGZRUOGZLGH,W
GHSLFWVWKHJOREDOQDWXUHRIF\EHUVSDFHDQGWKHH[WHQGHGEDWWOHILHOG

Figure 1-2. Cyberspace in the multi-domain extended battlefield

 $GYDQWDJHVLQF\EHUVSDFHDQGWKH(06UHVXOWIURPHIIHFWLYHO\V\QFKURQL]LQJ'HSDUWPHQWRI'HIHQVH
LQIRUPDWLRQ QHWZRUN '2',1  RSHUDWLRQV RIIHQVLYH F\EHUVSDFH RSHUDWLRQV 2&2  GHIHQVLYH F\EHUVSDFH
RSHUDWLRQV '&2  HOHFWURQLF DWWDFN HOHFWURQLF SURWHFWLRQ HOHFWURQLF ZDUIDUH VXSSRUW DQG VSHFWUXP
PDQDJHPHQW RSHUDWLRQV 6HH )0  IRU PRUH GHWDLOV RQ UHTXHVWLQJ F\EHUVSDFH HIIHFWV DQG HOHFWURQLF
DWWDFN 

1-8 FM 3-0 6 October 2017


2YHUYLHZRI$UP\ 2SHUDWLRQV

7+5($76
, NQRZIURPSHUVRQDOH[SHULHQFHWKDWHYLOIRUFHVDUHORRVHLQWKHZRUOGDQGWKDWWKHLU
VLQLVWHUDLPLVWRGHVWUR\RXUIUHHZD\RIOLIHE\VXEYHUVLRQLISRVVLEOHE\RYHUWKRVWLOLW\LI
QHFHVVDU\
*HQHUDO 0DUN &ODUN

 $ WKUHDWLVDQ\ FRPELQDWLRQRIDFWRUVHQWLWLHVRUIRUFHVWKDWKDYHWKHFDSDELOLW\DQG LQWHQWWRKDUP


8QLWHG6WDWHVIRUFHV8QLWHG6WDWHVQDWLRQDOLQWHUHVWVRUWKHKRPHODQG $'53 7KUHDWV PD\ LQFOXGH
LQGLYLGXDOV JURXSV RILQGLYLGXDOV SDUDPLOLWDU\ RUPLOLWDU\ IRUFHVQDWLRQVWDWHVRU QDWLRQDO DOOLDQFHV ,Q
JHQHUDODWKUHDWFDQEHFDWHJRUL]HGDVDQHQHP\RUDQDGYHUVDU\
z $QHQHP\LVDSDUW\LGHQWLILHGDVKRVWLOHDJDLQVWZKLFKWKHXVHRIIRUFHLVDXWKRUL]HG $'53 
$Q HQHP\LVDOVRFDOOHGDFRPEDWDQWDQGLVWUHDWHGDVVXFKXQGHUWKHODZRIZDU
z $Q DGYHUVDU\LVDSDUW\DFNQRZOHGJHGDVSRWHQWLDOO\KRVWLOHWRDIULHQGO\SDUW\DQGDJDLQVWZKLFK
WKHXVHRIIRUFHPD\EHHQYLVDJHG -3 
 :KLOH$'53DGGUHVVHVYDULRXVWKUHDWVDFURVVWKHUDQJHRIPLOLWDU\RSHUDWLRQV)0LVIRFXVHG
RQSHHUWKUHDWVLQODUJHVFDOHFRPEDWRSHUDWLRQV$SHHUWKUHDWLVDQDGYHUVDU\RUHQHP\ZLWKFDSDELOLWLHVDQG
FDSDFLW\WRRSSRVH86IRUFHVDFURVVPXOWLSOHGRPDLQVZRUOGZLGHRULQDVSHFLILFUHJLRQZKHUHWKH\HQMR\
DSRVLWLRQRIUHODWLYHDGYDQWDJH 3HHUWKUHDWVSRVVHVVURXJKO\HTXDOFRPEDWSRZHULQJHRJUDSKLFDOSUR[LPLW\
WRDFRQIOLFWDUHDZLWK86IRUFHV$SHHUWKUHDWPD\DOVRKDYHDFXOWXUDODIILQLW\WRVSHFLILFUHJLRQVSURYLGLQJ
WKHPUHODWLYHDGYDQWDJHV LQWHUPVRIWLPHVSDFHDQGVDQFWXDU\3HHUWKUHDWVJHQHUDWHWDFWLFDORSHUDWLRQDO
DQGVWUDWHJLFFKDOOHQJHVWKDWDUHDQRUGHURIPDJQLWXGHPRUHFKDOOHQJLQJPLOLWDULO\WKDQWKRVHWKH86$UP\
KDVIDFHGVLQFHWKHHQGRIWKH&ROG:DU
 3HHUWKUHDWVHPSOR\VWUDWHJLHVWKDWFDSLWDOL]HRQ WKHLUFDSDELOLWLHVWRDFKLHYHWKHLUREMHFWLYHV:KHQ
WKHVHREMHFWLYHVDUHDWRGGVZLWKWKHLQWHUHVWVRIWKH8QLWHG6WDWHVDQGLWVDOOLHVFRQIOLFWEHFRPHVPRUHOLNHO\
3HHUWKUHDWVSUHIHUWRDFKLHYHWKHLUJRDOVZLWKRXWGLUHFWO\HQJDJLQJ86IRUFHVLQFRPEDW7KH\RIWHQHPSOR\
LQIRUPDWLRQZDUIDUH LQ FRPELQDWLRQZLWK FRQYHQWLRQDODQG LUUHJXODUPLOLWDU\FDSDELOLWLHVWRDFKLHYH WKHLU
JRDOV'XULQJ DFRQIOLFWSHHUWKUHDWVZLOOWU\WRZHDNHQWKHUHVROYHRIWKH8QLWHG6WDWHVDQG LWVSDUWQHUVWR
VXVWDLQ FRQIOLFW7KH\ ZLOO H[SORLWIULHQGO\VHQVLWLYLW\WRZRUOG RSLQLRQDQG DWWHPSWWRH[SORLW$PHULFDQ
GRPHVWLF RSLQLRQ DQG VHQVLWLYLW\ WR IULHQGO\ FDVXDOWLHV 3HHU WKUHDWV EHOLHYH WKH\ KDYH D FRPSDUDWLYH
DGYDQWDJH EHFDXVHRIWKHLUZLOOLQJQHVVWRHQGXUHJUHDWHUKDUGVKLSFDVXDOWLHVDQGQHJDWLYHSXEOLFRSLQLRQ
 3HHUWKUHDWVHPSOR\WKHLUUHVRXUFHVDFURVVPXOWLSOHGRPDLQVWRDWWDFN86YXOQHUDELOLWLHV7KH\ XVH
WKHLUFDSDELOLWLHVWRFUHDWHOHWKDODQGQRQOHWKDOHIIHFWVWKURXJKRXWDQ2('XULQJFRPEDWRSHUDWLRQVWKUHDWV
VHHNWRLQIOLFWVLJQLILFDQWGDPDJH DFURVVPXOWLSOHGRPDLQVLQ D VKRUWSHULRGRIWLPH7KH\ VHHNWRGHOD\
IULHQGO\IRUFHVORQJHQRXJKWRDFKLHYHWKHLUJRDOVDQGHQGKRVWLOLWLHVEHIRUHIULHQGO\IRUFHVUHDFKFXOPLQDWLRQ
3HHUWKUHDWVZLOOHPSOR\YDULRXVPHWKRGVWRHPSOR\WKHLUQDWLRQDOHOHPHQWVRISRZHUWRUHQGHU86PLOLWDU\
SRZHULUUHOHYDQW)LYHEURDGSHHUWKUHDWPHWKRGVRIWHQXVHGLQFRPELQDWLRQLQFOXGH²
z ,QIRUPDWLRQZDUIDUH
z 3UHFOXVLRQ
z ,VRODWLRQ
z 6DQFWXDU\
z 6\VWHPVZDUIDUH

,1)250$7,21:$5)$5(
 ,QIRUPDWLRQZDUIDUHLVDWHUPUHIHUULQJWRDWKUHDW¶VRUFKHVWUDWHGXVHRILQIRUPDWLRQDFWLYLWLHV VXFKDV
F\EHUVSDFHRSHUDWLRQVHOHFWURQLFZDUIDUHDQGSV\FKRORJLFDORSHUDWLRQV WRJDLQDGYDQWDJHLQWKHLQIRUPDWLRQ
HQYLURQPHQW3HHUWKUHDWVFRQGXFWLQIRUPDWLRQZDUIDUHDJJUHVVLYHO\DQG FRQWLQXRXVO\DFURVVWKHUDQJH RI
PLOLWDU\RSHUDWLRQV'XULQJ D FRQIOLFWSHHUWKUHDWVZLOOXVHLQIRUPDWLRQZDUIDUH LQFRQMXQFWLRQZLWK RWKHU
PHWKRGVWRDFKLHYHVWUDWHJLFDQGRSHUDWLRQDOREMHFWLYHV3HHUWKUHDWVW\SLFDOO\KDYHIHZHUSR OLWLFDODQGOHJDO
UHVWULFWLRQVWKDQ86IRUFHVRQKRZWKH\XVHLQIRUPDWLRQDFWLYLWLHVSURYLGLQJWKHPDQLQLWLDODGYDQWDJH3HHU
WKUHDWVVHHNWRPDQLSXODWHWKHLQIRUPDWLRQHQYLURQPHQWDQGZLOOXVHDOOWKHLUPHDQVDJDLQVWDZLGHUDQJHRI
DXGLHQFHVERWK FLYLOLDQDQG PLOLWDU\DQG GRPHVWLFDOO\DQG LQWHUQDWLRQDOO\LQ VXSSRUWRIWKHLUJRDOV3HHU

6 December 2017 FM 3-0, C1 1-9


Chapter 1

WKUHDWVZLOO H[SORLW VKDUHG FXOWXUDO QRUPV KLVWRULFDOJULHYDQFHV IULHQGO\SROLWLFDOGHFLVLRQ PDNLQJ DQG


VHOIVHUYLQJLQWHUSUHWDWLRQRILQWHUQDWLRQDOODZWROLPLW86PLOLWDU\DFWLRQVDQGGHJUDGH86SROLWLFDOZLOO
3HHUWKUHDWVXVHGLYHUVHPHDQVWRFRQGXFWLQIRUPDWLRQZDUIDUHDQGWKHVHPHDQVPD\LQFOXGH²
z &\EHUVSDFHRSHUDWLRQV
z 3HUFHSWLRQPDQDJHPHQW
z 'HFHSWLRQ
z (OHFWURQLFZDUIDUH
z 3K\VLFDOGHVWUXFWLRQ
z 2SHUDWLRQVVHFXULW\
 $SHHUWKUHDWZLOOV\VWHPDWLFDOO\DQGFRQWLQXRXVO\FRPELQHDOORIWKHVHPHDQVWRDWWDFNIULHQGO\IRUFHV
DQG FUHDWH VSHFLILF HIIHFWV ZLWKLQ WKH LQIRUPDWLRQ HQYLURQPHQW 3HHU WKUHDWV ZLOO XVH PLVLQIRUPDWLRQ
GLVLQIRUPDWLRQSURSDJDQGDDQG LQIRUPDWLRQIRUHIIHFWWRFUHDWHGRXEWFRQIXVHGHFHLYHDQGLQIOXHQFH86
DQG SDUWQHUGHFLVLRQPDNHUVIRUFHVDQG DXGLHQFHV 6HH)0 IRUD GLVFXVVLRQRQWKUHDWLQIRUPDWLRQ
FDWHJRULHV 
 7KHFDSDELOLWLHVWKDWIDFLOLWDWHWKHPDQLSXODWLRQRIWKHLQIRUPDWLRQHQYLURQPHQWDUHLQDFRQVWDQWVWDWH
RIFKDQJH 7KUHDW LQIRUPDWLRQZDUIDUH ZLOOEH FRQGXFWHGWKURXJK D YDULHW\ RISODWIRUPVLQFOXGLQJ VRFLDO
PHGLDIDFHWRIDFHFRPPXQLFDWLRQGHQLDORIVHUYLFHVDERWDJHDQGIDOVHVWRULHVLQPHGLDRXWOHWV86IRUFHV
VKRXOGH[SHFWWKDWSHHUWKUHDWVZLOOXVHDOOFDSDELOLWLHVDWWKHLUGLVSRVDOWRV\VWHPDWLFDOO\DQG FRQWLQXRXVO\
WDUJHW86GHFLVLRQPDNLQJSURFHVVHV$GYHUVDULHVDQGHQHPLHVVHHNWRVKDSHWKHLQIRUPDWLRQHQYLURQPHQW
LQZD\V WKDWFDXVH86FRPPDQGHUVWRPDNHGHFLVLRQVWKDWXOWLPDWHO\VXSSRUWWKHLURZQJRDOV3HHUWKUHDWV
ZLOO XVH F\EHUVSDFH RSHUDWLRQVWR PDQLSXODWH WKH LQIRUPDWLRQIULHQGO\ IRUFHVUHFHLYHIURP LQIRUPDWLRQ
V\VWHPV7KH\ ZLOOOHYHUDJHGLVLQIRUPDWLRQWRPDQLSXODWHPHGLDVWRU\QDUUDWLYHVWRGLVWRUWWKHWUXWK7KUHDW
GHFHSWLRQDFWLYLWLHVFRPELQHGZLWKSURSDJDQGD ZLOOFUHDWHWKHLPSUHVVLRQWKDWWKUHDWPLVLQIRUPDWLRQLVWUXH
ZKHQLWLVQRW

35(&/86,21
 7RSUHFOXGHLVWRNHHSVRPHWKLQJIURPKDSSHQLQJE\WDNLQJDFWLRQLQDGYDQFH 3HHUWKUHDWVXVHDZLGH
YDULHW\ RIFDSDELOLWLHVWRSUHFOXGHDIULHQGO\IRUFH¶VDELOLW\WRVKDSHWKH2(DQGPDVVDQG VXVWDLQFRPEDW
SRZHU $ DQG $' DUH WZRVXFK DFWLYLWLHV$ LQFOXGHVWKRVHXVXDOO\ ORQJUDQJHDFWLRQVDQG FDSDELOLWLHV
GHVLJQHGWRSUHYHQWDQHQHP\IRUFHIURPHQWHULQJDQRSHUDWLRQDODUHD)RUH[DPSOH$DFWLYLWLHVFDQGHQ\
IRUFHVWKHDELOLW\WRFRQGXFWRSHUDWLRQVLQD GHVLUHGDUHD 8VXDOO\ $' LQFOXGHVVKRUWHUUDQJH DFWLRQVDQG
FDSDELOLWLHVWKDWDUHQRWGHVLJQHGWRNHHSIULHQGO\IRUFHVRXWEXWUDWKHUWROLPLWWKHLUIUHHGRPRIDFWLRQZLWKLQ
DQRSHUDWLRQDODUHDWRWKHSRLQWWKDWWKHLUPLVVLRQLVVHYHUHO\OLPLWHGRUXQDFKLHYDEOH

,62/$7,21
 ,VRODWLRQLVWKHFRQWDLQPHQWRIDIRUFHVRWKDWLWFDQQRWDFFRPSOLVKLWVPLVVLRQ3HHUWKUHDWVZLOODWWHPSW
WRLVRODWH86IRUFHVLQVHYHUDOZD\V6RPHH[DPSOHVLQFOXGH²
z 3UHYHQWLQJRUOLPLWLQJFRPPXQLFDWLRQVZLWKRWKHUXQLWV
z 'HFHLYLQJIULHQGO\IRUFHVDERXWWKHFXUUHQWVLWXDWLRQDQGWKHLUUROHLQWKH2(
z 'HFHLYLQJWKHSXEOLFDERXWWKHFXUUHQWVLWXDWLRQWRUHGXFHLWVVXSSRUWRIIULHQGO\RSHUDWLRQVWKDW
FRXQWHUWKUHDWJRDOV
z ([SORLWLQJLQDGHTXDWHIULHQGO\XQGHUVWDQGLQJRIWKH2(RUFXOWXUDODIILQLW\LQDQDUHDRUUHJLRQ
z 'HFLVLYHO\HQJDJLQJRUIL[LQJXQLWVLQFRPEDW
z 'HQ\LQJPRELOLW\E\H[SORLWLQJFRPSOH[WHUUDLQREVWDFOHVRU:0'
 3HHUWKUHDWVEHOLHYHWKDW WKHGHIHDWRIWKH86 PLOLWDU\OLHVQRWDWWKHHQGRID VXEVWDQWLDOEDWWOHEXW
WKURXJKWKHFXOPLQDWLRQRI86HIIRUWVEHIRUH86JRDOVDUHUHDFKHG,QODUJHVFDOHFRPEDWRSHUDWLRQVSHHU
WKUHDWVZLOOVHHNWRLVRODWH86WDFWLFDOIRUFHVDQGSUHYHQWWKHLUPXWXDOVXSSRUWIDFLOLWDWLQJWKUHDWFDPSDLJQ
REMHFWLYHV

1-10 FM 3-0, C1 6 December 2017


2YHUYLHZRI$UP\2SHUDWLRQV

6$1&78$5<
 6DQFWXDU\LVDWKUHDWPHWKRGRISXWWLQJWKUHDWIRUFHVEH\RQGWKHUHDFKRIIULHQGO\IRUFHV,WLVDIRUPRI
SURWHFWLRQGHULYHGE\VRPHFRPELQDWLRQRISROLWLFDOOHJDODQGSK\VLFDOERXQGDULHVWKDWUHVWULFWIUHHGRPRI
DFWLRQE\DIULHQGO\IRUFHFRPPDQGHU3HHUWKUHDWVZLOOXVHDQ\PHDQVQHFHVVDU\LQFOXGLQJVDQFWXDU\WR
SURWHFWNH\HOHPHQWVRIWKHLUFRPEDWSRZHUIURPGHVWUXFWLRQSDUWLFXODUO\E\DLUDQGPLVVLOHFDSDELOLWLHV3HHU
WKUHDWV ZLOODOVRSURWHFWWKHLUNH\ LQWHUHVWV ZKHWKHUWKHVHLQWHUHVWVUHVLGHLQ WKHLU KRPHODQGRULQDQRWKHU
FRXQWU\7RFUHDWHDVDQFWXDU\ERWKSK\VLFDODQGQRQSK\VLFDOPHDQVFDQEHXVHGLQFRPELQDWLRQWRSURWHFW
NH\LQWHUHVWVLQFOXGLQJ²
z &RPSOH[WHUUDLQ
z +LGLQJDPRQJQRQFRPEDWDQWVDQGFXOWXUDOO\VHQVLWLYHVWUXFWXUHV
z &RXQWHUSUHFLVLRQWHFKQLTXHVLQFOXGLQJFDPRXIODJHFRQFHDOPHQWDQGGHFHSWLRQ
z (OHFWURQLFZDUIDUH (: FDSDELOLWLHVOLNH*OREDO3RVLWLRQLQJ6\VWHP *36 MDPPLQJ
z &RXQWHUPHDVXUHV\VWHPVLQFOXGLQJGHFR\VKDUGHQHGDQGEXULHGIDFLOLWLHV,$'6VDQGORQJUDQJH
ILUHV
z 'LVSHUVLRQ
z (QJLQHHUHIIRUWVDQGIRUWLILFDWLRQV
z ,QIRUPDWLRQZDUIDUH
z ,QWHUQDWLRQDOERUGHUV
z ,QWHUQDWLRQDOODZDQGWUHDW\DJUHHPHQWV

 *HQHUDOO\ VSHDNLQJ PRVW PHDQV RI VDQFWXDU\ FDQQRW SURWHFW DQ HQWLUH IRUFH IRU DQ H[WHQGHG WLPH
SHULRG5DWKHUDWKUHDWZLOOVHHNWRSURWHFWVHOHFWHGHOHPHQWVRILWVIRUFHVIRUHQRXJKWLPHWRJDLQWKHIUHHGRP
RIDFWLRQQHFHVVDU\WRSXUVXHLWVVWUDWHJLFJRDOVRUGLSORPDWLFHQGV7KUHDWIRUFHVZLOOVHHNWRSURWHFWWKHLU
FRQYHQWLRQDOIRUFHVDGYDQFHGDLUFUDIWDQGH[WHQGHGUDQJHILUHVV\VWHPV0DQ\SHHUWKUHDWVKDYHLQYHVWHGLQ
ORQJUDQJHURFNHWDQGPLVVLOHV\VWHPVVXFKDVWKH5XVVLDQ6PHUFK %0 DQG&KLQHVH3+/FDSDEOH
RI FRXQWHUILUHV DW H[WUHPH UDQJHV WR DOORZ VDQFWXDU\ EH\RQG LQWHUQDWLRQDO ERUGHUV ,PSURYHG DLU GHIHQVH
V\VWHPVLQFOXGLQJFRXQWHUWDFWLFDOEDOOLVWLFPLVVLOHV\VWHPVRIWHQSURYLGHSURWHFWLRQIRUWKHVHDGYDQFHGILUHV
FDSDELOLWLHV

6<67(06:$5)$5(
 3HHUWKUHDWVYLHZWKHEDWWOHILHOGWKHLURZQLQVWUXPHQWVRISRZHUDQGDQRSSRQHQW¶VLQVWUXPHQWVRI
SRZHUDVDFROOHFWLRQRIFRPSOH[G\QDPLFDQGLQWHJUDWHGV\VWHPVFRPSRVHGRIVXEV\VWHPVDQGFRPSRQHQWV
3HHUWKUHDWVXVHV\VWHPVZDUIDUHWRLGHQWLI\VSHFLILFFULWLFDOFDSDELOLWLHVIRUGLVUXSWLRQRUGHVWUXFWLRQLQRUGHU
WRFDXVHIDLOXUHRIDODUJHUIULHQGO\V\VWHP6LPSOHH[DPSOHVRIV\VWHPVZDUIDUHZRXOGEHWRXVHHOHFWURQLF
ZDUIDUHWRGLVDEOHWKHOLQNVEHWZHHQXQPDQQHGDLUFUDIWV\VWHP 8$6 FRQWUROOHUVDQGWKHDLUFUDIWLQDVSHFLILF
DUHDRUWKHHPSODFHPHQWRIOD\HUHG,$'6VIURPDSRVLWLRQRIVDQFWXDU\WRSUHYHQWWKHLQWHJUDWLRQRIRSSRVLQJ
DLUSRZHU ZLWK JURXQG RSHUDWLRQV 3HHU WKUHDWV HPSOR\ V\VWHPV ZDUIDUH WR LGHQWLI\ DQG LVRODWH FULWLFDO
VXEV\VWHPVRUFRPSRQHQWVWKDWJLYHRSSRVLQJIRUFHVWKHFDSDELOLWLHVQHFHVVDU\WRDFFRPSOLVKWKHLUPLVVLRQ
 $SHHUWKUHDW¶VXVHRIV\VWHPVZDUIDUHGXULQJWKHVKDSHDQGGHWHUSKDVHVRIDMRLQWRSHUDWLRQIRFXVHV
SULPDULO\ RQ WKH V\VWHPV ZLWKLQ HDFK LQVWUXPHQW RI QDWLRQDO SRZHU VHHNLQJ YXOQHUDELOLWLHV WKDW FDQ EH
H[SORLWHGWRSUHFOXGHWKHDFKLHYHPHQWRI86REMHFWLYHV'XULQJVXEVHTXHQWSKDVHVSHHUWKUHDWVXVHV\VWHPV
ZDUIDUHLQFRPEDWWRDVVLVWWKUHDWFRPPDQGHUVLQGHFLVLRQPDNLQJDQGWKHSODQQLQJDQGH[HFXWLRQRIWKHLU
PLVVLRQ3HHUWKUHDWVEHOLHYHWKDWDTXDOLWDWLYHO\RUTXDQWLWDWLYHO\ZHDNHUIRUFHFDQGHIHDWDVXSHULRUIRHLI
WKH ZHDNHUIRUFHFDQGLFWDWHWKHWHUPVRIFRPEDW3HHUWKUHDWVEHOLHYH WKDW WKH V\VWHPV ZDUIDUH DSSURDFK
DOORZVWKHPWRPRYHDZD\IURPWKHWUDGLWLRQDODWWULWLRQEDVHGDSSURDFKWRFRPEDW6\VWHPVZDUIDUHPDNHV
LWXQQHFHVVDU\WRPDWFKDQRSSRQHQWV\VWHPIRUV\VWHPRUFDSDELOLW\IRUFDSDELOLW\7KUHDWFRPPDQGHUVDQG
VWDIIV ZLOO ORFDWH WKH FULWLFDO FRPSRQHQWV RI WKH HQHP\ FRPEDW V\VWHP SDWWHUQV RI LQWHUDFWLRQ DQG
RSSRUWXQLWLHVWRH[SORLWWKLVFRQQHFWLYLW\ 6HH7&IRUDPRUHLQGHSWKGLVFXVVLRQRIV\VWHPVZDUIDUH 

6 October 2017 FM 3-0 1-11


Chapter 1

-2,1723(5$7,216
>6@HSDUDWH JURXQG VHD DQG DLU ZDUIDUH LV JRQH IRUHYHU ,I HYHU DJDLQ ZH VKRXOG EH
LQYROYHGLQZDUZHZLOOILJKWLWLQDOOHOHPHQWVZLWKDOOVHUYLFHVDVRQHVLQJOHFRQFHQWUDWHG
HIIRUW
3UHVLGHQW'ZLJKW'(LVHQKRZHU

 -RLQWRSHUDWLRQVDUHPLOLWDU\DFWLRQVFRQGXFWHGE\MRLQWIRUFHVDQGWKRVH6HUYLFHIRUFHVHPSOR\HGLQ
VSHFLILFFRPPDQGUHODWLRQVKLSVZLWKHDFKRWKHUZKLFKRIWKHPVHOYHVGRQRWHVWDEOLVKMRLQWIRUFHV -3 
7UDGLWLRQDOO\FDPSDLJQVDUHWKHPRVWH[WHQVLYHMRLQWRSHUDWLRQVLQWHUPVRIWKHDPRXQWRIIRUFHVDQGRWKHU
FDSDELOLWLHV FRPPLWWHG DQG WKH GXUDWLRQ RI RSHUDWLRQV ,Q WKH FRQWH[W RI ODUJHVFDOH FRPEDW RSHUDWLRQV D
FDPSDLJQLVDVHULHVRIUHODWHGPDMRURSHUDWLRQVDFKLHYLQJVWUDWHJLFDQGRSHUDWLRQDOREMHFWLYHVZLWKLQDJLYHQ
WLPHDQGVSDFH$PDMRURSHUDWLRQLVDVHULHVRIWDFWLFDODFWLRQVVXFKDVEDWWOHVHQJDJHPHQWVDQGVWULNHV
DQGLWLVWKHSULPDU\EXLOGLQJEORFNRIDFDPSDLJQ$UP\IRUFHVFRQGXFWVXSSRUWLQJRSHUDWLRQVDVSDUWRID
MRLQWFDPSDLJQ
 0RVWMRLQWRSHUDWLRQVVKDUHFHUWDLQDFWLYLWLHVRUDFWLRQVLQFRPPRQ7KHUHDUH VL[JHQHUDOJURXSVRI
PLOLWDU\ DFWLYLWLHV WKDW W\SLFDOO\ RFFXU LQ SUHSDUDWLRQ IRU DQG GXULQJ D ODUJHVFDOH MRLQW FRPEDW RSHUDWLRQ
7KHVHVL[JURXSVDUHVKDSHGHWHUVHL]HLQLWLDWLYHGRPLQDWHVWDELOL]HDQGHQDEOHFLYLODXWKRULWLHV7KHVHVL[
JHQHUDOJURXSVRIDFWLYLW\SURYLGHDEDVLVIRUWKLQNLQJDERXWDMRLQWRSHUDWLRQLQQRWLRQDOSKDVHV7KHVHSKDVHV
RIWHQRYHUODSDQGWKH\DUHQRWQHFHVVDULO\VHTXHQWLDODVVKRZQLQILJXUH

Figure 1-3. Notional large-scale combat joint phasing model

 $SKDVHLVDGHILQLWLYHVWDJHRUSHULRGGXULQJDMRLQWRSHUDWLRQLQZKLFKDODUJHSRUWLRQRIWKHIRUFHV
DQGFDSDELOLWLHVDUHLQYROYHGLQVLPLODURUPXWXDOO\VXSSRUWLQJDFWLYLWLHVIRUDFRPPRQSXUSRVHWKDWRIWHQLV
DFKLHYHGE\LQWHUPHGLDWHREMHFWLYHV3KDVLQJKHOSVFRPPDQGHUVDQGVWDIIVWRYLVXDOL]HSODQDQGH[HFXWHDQ
HQWLUHRSHUDWLRQDQGGHILQHUHTXLUHPHQWVLQWHUPVRIIRUFHVUHVRXUFHVWLPHVSDFHDQGSXUSRVH7KHDFWXDO
SKDVHV RI DQ RSHUDWLRQ ZLOO YDU\ DFFRUGLQJ WR WKH QDWXUH RI WKH RSHUDWLRQ DQG WKH -)&¶V GHFLVLRQV

1-12 FM 3-0 6 October 2017


Overview of Army Operations

Commanders may compress, expand, or omit a phase entirely. Phases may be conducted sequentially, but
many activities from a phase may begin in a previous phase and continue into subsequent phases.
1-54. The nature of operations and activities during large-scale combat operations will change from the
beginning (at operation order activation) to the operation’s end (at operation order termination). Figure 1-3
shows that change from the deter phase through the enable civil authority phase. The operations and activities
in these groups vary in magnitude, time, and force as an operation progresses. Shaping activities precede
operation order activation and continue during and after an operation order is terminated. Theater and global
shaping activities occur continuously to support specific joint operations and to meet theater and global
requirements. Such requirements are defined in theater-specific campaign plans for each area of
responsibility (AOR) and the Unified Command Plan that encompasses the six AORs.

SHAPE
I should like to know what advantage it would be to you to lose the support of a man like
me.
Saladin

1-55. Activities in the shape phase help set conditions for successful theater operations. They are designed
to dissuade or deter adversaries, assure friends, and set conditions for contingency plans. Shape activities are
generally conducted as part of military engagement and security cooperation. Joint and multinational
operations and various interagency activities occur routinely during the shape phase. Shape activities are
executed continuously with the intent of enhancing international legitimacy and gaining multinational
cooperation by shaping perceptions and influencing adversaries’ and allies’ behavior, developing allied and
friendly military capabilities for self-defense and multinational operations, improving information exchange
and intelligence sharing, providing U.S. forces with peacetime and contingency access, and mitigating
conditions that could lead to a crisis.

DETER
1-56. The intent of the deter phase is to prevent an adversary from undesirable actions through the posturing
of friendly capabilities and demonstrating the will to use them. The deter phase is generally weighted toward
security and preparatory actions to protect friendly forces and to indicate the intent to execute subsequent
phases of a planned operation. A number of flexible deterrent options (FDOs) or flexible response options
(FROs) could be implemented during this phase. Once a crisis is defined, these actions may include
mobilization, tailoring of forces, and initial deployment into a theater. Other actions may include establishing
friendly A2 and AD capabilities and developing C2, intelligence, force protection, and logistic capabilities
to support the JFC’s concept of operations. Many actions in the deter phase build on activities from the
previous phase and are conducted as part of security cooperation. They can also be part of stand-alone
operations.

SEIZE INITIATIVE
1-57. In the seize initiative phase, JFCs seize the initiative through decisive use of joint force capabilities. In
combat, this involves conducting reconnaissance, maintaining security, performing defensive and offensive
tasks at the earliest possible time, forcing the enemy to culminate offensively, and setting the conditions for
decisive operations. Rapid application of joint combat power may be required to enter a theater (through joint
forcible entry) or to delay, impede, or halt an enemy’s initial aggression and to deny an enemy its initial
objectives. Operations to gain access to theater infrastructure and expand friendly freedom of action continue
during this phase, while the JFC seeks to degrade enemy capabilities with the intent of resolving the crisis at
the earliest opportunity.

DOMINATE
1-58. The dominate phase focuses on breaking an enemy’s will to resist or, in noncombat situations, to
control an OE. Success in the dominate phase depends on overmatching enemy capabilities at the right time
and place. Operations can range from large-scale combat to various stability activities, depending on the

6 December 2017 FM 3-0, C1 1-13


Chapter 1

QDWXUHRIWKHHQHP\DQG WKH2('RPLQDWHSKDVHDFWLYLWLHVPD\HVWDEOLVKWKHFRQGLWLRQVWRDFKLHYHVWUDWHJLF
REMHFWLYHVHDUO\RUWKH\PD\VHWWKHFRQGLWLRQVIRUWUDQVLWLRQWRWKHQH[WSKDVHRIWKHRSHUDWLRQ

67$%,/,=(
 7KH VWDELOL]HSKDVHLVW\SLFDOO\FKDUDFWHUL]HGE\DVKLIWLQIRFXVIURPVXVWDLQHGFRPEDWRSHUDWLRQVWR
VWDELOLW\DFWLYLWLHV7KHVHRSHUDWLRQVKHOSUHHVWDEOLVKDVDIHDQG VHFXUHHQYLURQPHQWDQG SURYLGHHVVHQWLDO
JRYHUQPHQW VHUYLFHVHPHUJHQF\LQIUDVWUXFWXUHUHFRQVWUXFWLRQDQG KXPDQLWDULDQ UHOLHI7KH LQWHQW LQ WKLV
SKDVH LV WRKHOS UHVWRUHORFDOSROLWLFDOHFRQRPLFDQG LQIUDVWUXFWXUHVWDELOLW\&LYLOLDQ RIILFLDOVPD\ OHDG
RSHUDWLRQV GXULQJ SDUW RU DOO RI WKLV SKDVH EXW W\SLFDOO\ WKH -)& ZLOO SURYLGH VLJQLILFDQW VXSSRUWLQJ
FDSDELOLWLHVDQG DFWLYLWLHV8QWLOOHJLWLPDWHORFDOHQWLWLHVDUHIXQFWLRQLQJWKHMRLQWIRUFHPD\EHUHTXLUHGWR
SHUIRUP HVVHQWLDO FLYLO DGPLQLVWUDWLRQ DQG LQWHJUDWH WKH HIIRUWV RI RWKHUVXSSRUWLQJ LQWHURUJDQL]DWLRQDO
SDUWQHUV7KH -)& DVVHVVHV WKHLPSDFWRIRSHUDWLRQVLQ WKLVSKDVH RQ WKHDELOLW\ WR WUDQVIHUDXWKRULW\IRU
UHPDLQLQJUHTXLUHPHQWVWRDOHJLWLPDWHFLYLOHQWLW\ZKLFKPDUNVWKHHQGRIWKHSKDVH

(1$%/( &,9,/ $87+25,7<


 7KH HQDEOH FLYLODXWKRULW\SKDVH LVSULPDULO\FKDUDFWHUL]HGE\ MRLQWIRUFHVXSSRUWWROH JLWLPDWHFLYLO
JRYHUQDQFH&RPPDQGHUVSURYLGHWKLVVXSSRUWE\ DJUHHPHQWZLWK WKHDSSURSULDWHFLYLODXWKRULW\,Q VRPH
FDVHV DQG HVSHFLDOO\IRU RSHUDWLRQV ZLWKLQ WKH 8QLWHG 6WDWHV FRPPDQGHUV SURYLGH WKLV VXSSRUW XQGHU
GLUHFWLRQRIWKHFLYLO DXWKRULW\7KH SXUSRVHLVWRKHOS WKHFLYLODXWKRULW\ UHJDLQLWVDELOLW\ WR JRYHUQ DQG
DGPLQLVWHUWRWKHVHUYLFHVDQGRWKHUQHHGVRIWKHSRSXODWLRQ7KH PLOLWDU\HQGVWDWHLVDFKLHYHGGXULQJ WKLV
SKDVH VLJQDOLQJ WKHHQG RIWKHMRLQWRSHUDWLRQ&RPEDWDQW FRPPDQG LQYROYHPHQW ZLWK RWKHUQDWLRQV DQG
RWKHUJRYHUQPHQW DJHQFLHVEH\RQG WKH WHUPLQDWLRQRIWKHMRLQWRSHUDWLRQPD\ EH UHTXLUHGWRDFKLHYH WKH
QDWLRQDOVWUDWHJLFHQGVWDWH

7+($50<,1-2,1723(5$7,216
 7KH $UP\¶V SULPDU\ PLVVLRQLV WR RUJDQL]H WUDLQ DQG HTXLS LWV IRUFHVWR FRQGXFW SURPSW DQG
VXVWDLQHGODQG FRPEDWWRGHIHDWHQHP\JURXQG IRUFHVDQGVHL]HRFFXS\DQGGHIHQGODQGDUHDV7KH$UP\
DFFRPSOLVKHVLWVPLVVLRQE\VXSSRUWLQJWKHMRLQWIRUFHLQIRXUVWUDWHJLFUROHVVKDSHRSHUDWLRQDOHQYLURQPHQWV
SUHYHQWFRQIOLFWFRQGXFWODUJHVFDOHJURXQG FRPEDWDQG FRQVROLGDWHJDLQV7KH VWUDWHJLFUROHVFODULI\WKH
HQGXULQJUHDVRQVIRUZKLFKWKH86$UP\LVRUJDQL]HGWUDLQHGDQGHTXLSSHG 1RWH6WUDWHJLFUROHVDUHQRW
WDVNVDVVLJQHGWRVXERUGLQDWHXQLWV )LJXUHVKRZVWKH$UP\¶VVWUDWHJLFUROHVLQDJHQHUDOUHODWLRQVKLSWR
WKHMRLQWSKDVLQJPRGHO

+Figure 1-4. Army strategic roles and their relationships to joint phases

6+$3( 23(5$7,21$/ (19,5210(176


:HLQ$PHULFDKDYHOHDUQHGELWWHUOHVVRQVIURPWZR:RUOG:DUV,W LVEHWWHUWREHKHUH
UHDG\WRSURWHFWWKHSHDFHWKDQWRWDNHEOLQGVKHOWHUDFURVVWKHVHDUXVKLQJWRUHVSRQG
RQO\DIWHUIUHHGRPLVORVW:H
YHOHDUQHGWKDWLVRODWLRQLVPQHYHUZDVDQGQHYHUZLOOEHDQ
DFFHSWDEOHUHVSRQVHWRW\UDQQLFDOJRYHUQPHQWVZLWKDQH[SDQVLRQLVWLQWHQW
3UHVLGHQW 5RQDOG5HDJDQ

1-14 FM 3-0, C1 6 December 2017


2YHUYLHZRI$UP\ 2SHUDWLRQV

 $UP\RSHUDWLRQVWRVKDSHEULQJWRJHWKHUDOOWKHDFWLYLWLHVLQWHQGHGWRSURPRWHUHJLRQDOVWDELOLW\DQGWR
VHWFRQGLWLRQVIRUDIDYRUDEOHRXWFRPHLQWKHHYHQWRIDPLOLWDU\FRQIURQWDWLRQ$UP\RSHUDWLRQVWRVKDSHKHOS
GLVVXDGH DGYHUVDU\ DFWLYLWLHV GHVLJQHG WR DFKLHYH UHJLRQDO JRDOV VKRUW RI PLOLWDU\ FRQIOLFW $V SDUW RI
RSHUDWLRQVWR VKDSH WKH $UP\ SURYLGHV WUDLQHG DQG UHDG\ IRUFHVWRJHRJUDSKLF FRPEDWDQW FRPPDQGHUV
*&&V LQVXSSRUWRIWKHLUWKHDWHUFDPSDLJQ SODQ7KH WKHDWHUDUP\DQGVXERUGLQDWH$UP\IRUFHVDVVLVWWKH
*&&LQEXLOGLQJSDUWQHUFDSDFLW\DQG FDSDELOLW\DQG SURPRWLQJVWDELOLW\DFURVVWKH$25 $UP\RSHUDWLRQV
WRVKDSHDUHFRQWLQXRXVWKURXJKRXWD*&&¶V$25DQGRFFXUEHIRUHGXULQJDQGDIWHUDMRLQWRSHUDWLRQZLWKLQ
DVSHFLILFRSHUDWLRQDODUHD
 6KDSLQJ DFWLYLWLHV LQFOXGH VHFXULW\ FRRSHUDWLRQ DQG IRUZDUG SUHVHQFHWR SURPRWH86 LQWHUHVWV
GHYHORSLQJ DOOLHG DQG IULHQGO\ PLOLWDU\ FDSDELOLWLHV IRU VHOIGHIHQVH DQG PXOWLQDWLRQDO RSHUDWLRQV DQG
SURYLGLQJ 86 IRUFHVZLWK SHDFHWLPHDQG FRQWLQJHQF\DFFHVVWRD KRVWQDWLRQ 5HJLRQDOO\ DOLJQHG DQG
HQJDJHG$UP\IRUFHVDUHHVVHQWLDOWRDFKLHYLQJREMHFWLYHVWRVWUHQJWKHQWKHJOREDOQHWZRUNRIPXOWLQDWLRQDO
SDUWQHUVDQG SUHYHQWLQJFRQIOLFW7KH$UP\ JDUULVRQVIRUFHVDQGSUHSRVLWLRQVHTXLSPHQWLQDUHDVWRDOORZ
QDWLRQDO OHDGHUV WR UHVSRQG TXLFNO\ WR FRQWLQJHQFLHV2SHUDWLRQDO UHDGLQHVV WUDLQLQJ DQG SODQQLQJ IRU
SRWHQWLDORSHUDWLRQVE\$UP\IRUFHVDWKRPHVWDWLRQDUHDOVRDSDUWRIRSHUDWLRQVWRVKDSH$UP\RSHUDWLRQV
WRVKDSH FRUUHVSRQGWRFRQWLQXRXVVKDSLQJ DFWLYLWLHVZLWKLQ WKHMRLQWSKDVLQJ PRGHO &KDSWHUGHVFULEHV
KRZ$UP\IRUFHVDVSDUWRIDMRLQWWHDPVKDSHRSHUDWLRQDOHQYLURQPHQWV 

35(9(17 &21)/,&7
7REHSUHSDUHGIRUZDULVRQHRIWKHPRVWHIIHFWXDOPHDQVRISUHVHUYLQJSHDFH
3UHVLGHQW *HRUJH :DVKLQJWRQ

 $UP\ RSHUDWLRQVWRSUHYHQWLQFOXGHDOODFWLYLWLHVWRGHWHUDQ DGYHUVDU\¶V XQGHVLUDEOHDFWLRQV7KHVH


RSHUDWLRQVDUHDQ H[WHQVLRQRIRSHUDWLRQVWRVKDSH GHVLJQHGWRSUHYHQW DGYHUVDU\ RSSRUWXQLWLHVWRIXUWKHU
H[SORLWSRVLWLRQVRIUHODWLYHDGYDQWDJH E\ UDLVLQJWKHSRWHQWLDOFRVWVWRDGYHUVDULHVRIFRQWLQXLQJDFWLYLWLHV
WKDWWKUHDWHQ86LQWHUHVWV3UHYHQWDFWLYLWLHVDUHJHQHUDOO\ZHLJKWHGWRZDUGDFWLRQVWRSURWHFWIULHQGO\IRUFHV
DVVHWVDQGSDUWQHUVDQGWRLQGLFDWH86LQWHQWWRH[HFXWHVXEVHTXHQWSKDVHVRIDSODQQHGRSHUDWLRQ$VSDUW
RID MRLQWIRUFH$UP\ IRUFHVPD\KDYH D VLJQLILFDQWUROHLQWKHH[HFXWLRQRIGLUHFWHG)'2V$GGLWLRQDOO\
$UP\SUHYHQWDFWLYLWLHVPD\LQFOXGHPRELOL]DWLRQIRUFHWDLORULQJDQGRWKHUSUHGHSOR\PHQWDFWLYLWLHVLQLWLDO
GHSOR\PHQW LQWRD WKHDWHUWRLQFOXGH HFKHORQLQJFRPPDQG SRVWVHPSOR\PHQWRILQWHOOLJHQFHFROOHFWLRQ
DVVHWV DQG GHYHORSPHQW RI LQWHOOLJHQFHFRPPXQLFDWLRQVVXVWDLQPHQW DQG SURWHFWLRQLQIUDVWUXFWXUHWR
VXSSRUWWKH-)&¶VFRQFHSWRIRSHUDWLRQV$UP\RSHUDWLRQVWRSUHYHQWFRUUHVSRQGWRWKHGHWHUSKDVHLQDMRLQW
RSHUDWLRQ &KDSWHUGHVFULEHVKRZ$UP\IRUFHVDVSDUWRIDMRLQWWHDPSUHYHQWFRQIOLFW 

&21'8&7 /$5*(6&$/( *5281'&20%$7


:DU¶VYHU\REMHFWLVYLFWRU\²QRWSURORQJHGLQGHFLVLRQ
*HQHUDO 'RXJODV0DF$UWKXU

 'XULQJ ODUJHVFDOHFRPEDWRSHUDWLRQV$UP\ IRUFHVIRFXVRQ WKH GHIHDW DQG GHVWUXFWLRQRIHQHP\


JURXQG IRUFHVDVSDUW RIWKHMRLQWWHDP$UP\ IRUFHVFORVHZLWKDQG GHVWUR\HQHP\IRUFHVLQDQ\ WHUUDLQ
H[SORLWVXFFHVVDQGEUHDNWKHLURSSRQHQW¶VZLOOWRUHVLVW$UP\IRUFHVDWWDFNGHIHQGFRQGXFWVWDELOLW\WDVNV
DQG FRQVROLGDWHJDLQV WRDWWDLQ QDWLRQDO REMHFWLYHV'LYLVLRQVDQG FRUSVDUH WKHIRUPDWLRQVFHQWUDOWRWKH
FRQGXFW RI ODUJHVFDOH FRPEDW RSHUDWLRQV RUJDQL]HG WUDLQHG DQG HTXLSSHG WR HQDEOH VXERUGLQDWH
RUJDQL]DWLRQV7KH DELOLW\WRSUHYDLOLQ JURXQG FRPEDWLVD GHFLVLYHIDFWRULQEUHDNLQJ DQ HQHP\¶VZLOO WR
FRQWLQXHDFRQIOLFW&RQIOLFWUHVROXWLRQUHTXLUHVWKH$UP\WRFRQGXFWVXVWDLQHGRSHUDWLRQVZLWKXQLILHGDFWLRQ
SDUWQHUV DV ORQJ DV QHFHVVDU\ WR DFKLHYH QDWLRQDO REMHFWLYHV &RQGXFWLQJ ODUJHVFDOH JURXQG FRPEDW
RSHUDWLRQVFRUUHVSRQGVWRVHL]HWKHLQLWLDWLYHDQGGRPLQDWHSKDVHVRIDMRLQWRSHUDWLRQV &KDSWHUVDQG
GHVFULEHKRZ$UP\IRUFHVDVSDUWRIDMRLQWIRUFHFRQGXFWODUJHVFDOHJURXQGFRPEDW 

&2162/,'$7( *$,16
/RVVRIKRSHUDWKHUWKDQORVVRIOLIHLVWKHIDFWRUWKDWUHDOO\GHFLGHVZDUVEDWWOHVDQG
HYHQVPDOOFRPEDWV
6LU%DVLO/LGGHOO +DUW

6 December 2017 FM 3-0, C1 1-15


Chapter 1

 $UP\ RSHUDWLRQVWRFRQVROLGDWHJDLQVLQFOXGHDFWLYLWLHVWRPDNHHQGXULQJDQ\ WHPSRUDU\RSHUDWLRQDO


VXFFHVVDQG WR VHW WKH FRQGLWLRQVIRUD VXVWDLQDEOH HQYLURQPHQW DOORZLQJ IRUD WUDQVLWLRQRIFRQWUROWR
OHJLWLPDWHFLYLODXWKRULWLHV&RQVROLGDWLRQRIJDLQVLVDQLQWHJUDODQGFRQWLQXRXVSDUWRIDUPHGFRQIOLFWDQG
LWLVQHFHVVDU\IRUDFKLHYLQJVXFFHVVDFURVVWKHUDQJHRIPLOLWDU\RSHUDWLRQV$UP\IRUFHVGHOLEHUDWHO\SODQWR
FRQVROLGDWHJDLQVGXULQJDOOSKDVHVRIDQRSHUDWLRQ(DUO\DQGHIIHFWLYHFRQVROLGDWLRQDFWLYLWLHVDUHDIRUPRI
H[SORLWDWLRQFRQGXFWHGZKLOH RWKHU RSHUDWLRQVDUH RQJRLQJ DQG WKH\ HQDEOH WKH DFKLHYHPHQW RI ODVWLQJ
IDYRUDEOH RXWFRPHVLQ WKH VKRUWHVWWLPH VSDQ $UP\ IRUFHVFRQGXFWWKHVH DFWLYLWLHVZLWK XQLILHG DFWLRQ
SDUWQHUV,QVRPHLQVWDQFHV$UP\IRUFHVZLOOEHLQFKDUJHRILQWHJUDWLQJIRUFHVDQGV\QFKURQL]LQJDFWLYLWLHV
WRFRQVROLGDWHJDLQV,QRWKHUVLWXDWLRQV$UP\IRUFHVZLOOEHLQVXSSRUW$UP\IRUFHVPD\FRQGXFWVWDELOLW\
WDVNVIRUD VXVWDLQHGSHULRGRIWLPHRYHUODUJHODQG DUHDV:KLOH$UP\IRUFHVFRQVROLGDWHJDLQVWKURXJKRXW
DQRSHUDWLRQFRQVROLGDWLQJJDLQVEHFRPHVWKHIRFXVRI$UP\IRUFHVDIWHUODUJHVFDOHFRPEDWRSHUDWLRQVKDYH
FRQFOXGHG$UP\RSHUDWLRQVWRFRQVROLGDWHJDLQVFRUUHVSRQGZLWKVWDELOL]HDQGHQDEOHFLYLODXWKRULW\SKDVHV
RIDMRLQWRSHUDWLRQ &KDSWHUGHVFULEHVKRZ$UP\IRUFHVDVSDUWRIDMRLQWWHDPFRQVROLGDWHJDLQV 

:,1
 :LQQLQJLVWKHDFKLHYHPHQWRIWKHSXUSRVHRIDQRSHUDWLRQDQG WKHIXOILOOPHQWRILWVREMHFWLYHV7KH
$UP\ZLQVZKHQ LWVXFFHVVIXOO\SHUIRUPVLWVUROHVDVSDUWRIWKHMRLQWIRUFHGXULQJRSHUDWLRQV,WZLQVZKHQ
LWHIIHFWLYHO\VKDSHVDQ 2(IRUFRPEDWDQWFRPPDQGHUVDQG ZKHQLWUHVSRQGVUDSLGO\ZLWK HQRXJKFRPEDW
SRZHUWRSUHYHQWZDUWKURXJKGHWHUUHQFHGXULQJFULVLV:KHQUHTXLUHGWRILJKWWKH$UP\¶VDELOLW\WRSUHYDLO
LQJURXQGFRPEDWDWDQ\ VFDOHEHFRPHVDGHFLVLYHIDFWRULQEUHDNLQJWKHHQHP\¶VZLOOWRFRQWLQXHILJKWLQJ
7KH $UP\ ZLQV ZKHQ DQ HQHP\LVGHIHDWHGWRVXFKD GHJUHHWKDWLWFDQ QRORQJHUHIIHFWLYHO\UHVLVWDQGLW
DJUHHVWRFHDVHKRVWLOLWLHVRQ86WHUPV7RHQVXUHWKDWWKHPLOLWDU\UHVXOWVRIFRPEDWDUHQRWWHPSRUDU\WKH
$UP\IROORZVWKURXJKZLWKLWVXQLTXHVFRSHDQGVFDOHRIFDSDELOLWLHVWRFRQVROLGDWHJDLQVDQGZLQHQGXULQJ
RXWFRPHVIDYRUDEOHWR86LQWHUHVWV

7+($50<’623(5$7,21$/ &21&(37
7KHFRPPXQLW\RIGDQJHUPDNHVDOOLHVZHOOGLVSRVHGWRZDUGVRQHDQRWKHU
;HQRSKRQ

 $QRSHUDWLRQLVDVHTXHQFHRIWDFWLFDODFWLRQVZLWKDFRPPRQSXUSRVHRUXQLI\LQJWKHPH -3 $UP\


IRUFHVDVSDUW RIWKHMRLQWDQG PXOWLQDWLRQDOIRUFHFRQWULEXWHWRWKHMRLQWPLVVLRQWKURXJKWKHFRQGXFWRI
XQLILHG ODQG RSHUDWLRQV8QLILHGODQGRSHUDWLRQVDUH VLPXOWDQHRXVRIIHQVLYH GHIHQVLYH DQG VWDELOLW\ RU
GHIHQVHVXSSRUWRIFLYLODXWKRULWLHV¶WDVNVWRVHL]HUHWDLQDQG H[SORLWWKHLQLWLDWLYHWRVKDSHWKHRSHUDWLRQDO
HQYLURQPHQW SUHYHQW FRQIOLFWFRQVROLGDWHJDLQV DQG ZLQ RXU 1DWLRQ¶V ZDUV DV SDUW RI XQLILHG DFWLRQ
$'53 7KHJRDORIXQLILHGODQG RSHUDWLRQVLVWRDSSO\ ODQGSRZHUDVSDUWRIXQLILHGDFWLRQWRGHIHDW
DQHQHP\RQODQGDQGHVWDEOLVKFRQGLWLRQVWKDWDFKLHYHWKH-)&¶VHQGVWDWH

'(&,6,9( $&7,21
 $W WKHKHDUWRIWKH$UP\¶V RSHUDWLRQDOFRQFHSWLVGHFLVLYHDFWLRQ'HFLVLYHDFWLRQLVWKHFRQWLQXRXV
VLPXOWDQHRXVFRPELQDWLRQVRIRIIHQVLYHGHIHQVLYHDQGVWDELOLW\RUGHIHQVHVXSSRUWRIFLYLODXWKRULWLHVWDVNV
$'53  'XULQJ ODUJHVFDOHFRPEDWRSHUDWLRQVFRPPDQGHUVGHVFULEHWKHFRPELQDWLRQVRIRIIHQVLYH
GHIHQVLYHDQGVWDELOLW\WDVNVLQWKHFRQFHSWRIRSHUDWLRQV$VDVLQJOHXQLI\LQJLGHDGHFLVLYHDFWLRQSURYLGHV
GLUHFWLRQIRUDQ HQWLUHRSHUDWLRQ%DVHGRQD VSHFLILFLGHDRIKRZ WRDFFRPSOLVKWKHPLVVLRQFRPPDQGHUV
DQGVWDIIVUHILQHWKHFRQFHSWRIRSHUDWLRQVGXULQJSODQQLQJ DQG GHWHUPLQHWKHSURSHUDOORFDWLRQRIUHVRXUFHV
DQG WDVNV 7KH\ DGMXVW WKHDOORFDWLRQRIUHVRXUFHVDQG WDVNVWRVSHFLILFXQLWVWKURXJKRXWDQ RSHUDWLRQDV
VXERUGLQDWHVGHYHORSWKHVLWXDWLRQRUFRQGLWLRQVFKDQJH
 7KH VLPXOWDQHLW\RIWKHRIIHQVHGHIHQVHDQGVWDELOLW\WDVNVLVQRWDEVROXWHDWHYHU\OHYHO7KHKLJKHU
WKH HFKHORQ WKH JUHDWHU WKH SRVVLELOLW\RI VLPXOWDQHRXV RIIHQVHGHIHQVH DQG VWDELOLW\ WDVNV $W ORZHU
HFKHORQVDOORIDXQLW¶VFRPEDWSRZHUPD\EHUHTXLUHGWRH[HFXWHDVSHFLILFWDVN$VDQH[DPSOHDGLYLVLRQ
PD\ FRQGXFWRIIHQVLYHGHIHQVLYHDQG VWDELOLW\WDVNVVLPXOWDQHRXVO\LQVRPHIRUP6XERUGLQDWHEULJDGHV
SHUIRUPVRPHFRPELQDWLRQRIRIIHQVLYHGHIHQVLYHDQGVWDELOLW\WDVNVEXWWKH\DUHXQOLNHO\DEOHWRSHUIRUP
DOOWKUHHVLPXOWDQHRXVO\GXULQJODUJHVFDOHFRPEDWRSHUDWLRQV

1-16 FM 3-0, C1 6 December 2017


2YHUYLHZRI$UP\2SHUDWLRQV

 2IIHQVLYH WDVNVDUH FRQGXFWHGWRGHIHDWDQGGHVWUR\HQHP\ IRUFHVDQG VHL]HWHUUDLQUHVRXUFHVDQG


SRSXODWLRQ FHQWHUV 2IIHQVLYH WDVNV LPSRVH WKH FRPPDQGHU¶V ZLOO RQ WKH HQHP\ 7KH RIIHQVH LV WKH PRVW
GLUHFWDQGVXUHPHDQVRIVHL]LQJDQGH[SORLWLQJWKHLQLWLDWLYHWRJDLQSK\VLFDODQGFRJQLWLYHDGYDQWDJHVRYHU
DQ HQHP\ ,Q WKH RIIHQVH WKH GHFLVLYH RSHUDWLRQ LV D VXGGHQ VKDWWHULQJ DFWLRQ WKDW FDSLWDOL]HV RQ VSHHG
VXUSULVHDQGVKRFNHIIHFWWRDFKLHYHWKHRSHUDWLRQ¶VSXUSRVH,IWKDWRSHUDWLRQGRHVQRWGHVWUR\RUGHIHDWWKH
HQHP\ RSHUDWLRQV FRQWLQXH XQWLO HQHP\ IRUFHV GLVLQWHJUDWH RU UHWUHDW VR WKH\ QR ORQJHU SRVH D WKUHDW
([HFXWLQJRIIHQVLYHWDVNVFRPSHOVDQHQHP\WRUHDFWFUHDWLQJRUUHYHDOLQJDGGLWLRQDOZHDNQHVVHVWKDWDQ
DWWDFNLQJIRUFHFDQH[SORLW 6HH$'53IRUDGHWDLOHGGLVFXVVLRQRIRIIHQVLYHWDVNV 
 'HIHQVLYHWDVNVDUHFRQGXFWHGWRGHIHDWDQHQHP\DWWDFNJDLQWLPHHFRQRPL]HIRUFHVDQGGHYHORS
FRQGLWLRQVIDYRUDEOHIRURIIHQVLYHRUVWDELOLW\WDVNV1RUPDOO\WKHGHIHQVHDORQHFDQQRWDFKLHYHDGHFLVLYH
YLFWRU\+RZHYHULWFDQVHWFRQGLWLRQVIRUDFRXQWHURIIHQVLYHRUFRXQWHUDWWDFNWKDWHQDEOHV$UP\IRUFHVWR
UHJDLQ DQG H[SORLW WKH LQLWLDWLYH 'HIHQVLYH WDVNV DUH D FRXQWHU WR HQHP\ RIIHQVLYH DFWLRQV 7KH\ GHIHDW
DWWDFNVGHVWUR\LQJDVPXFKRIDQDWWDFNLQJHQHP\DVSRVVLEOH7KH\DOVRSUHVHUYHDQGPDLQWDLQFRQWURORYHU
ODQGUHVRXUFHVDQGSRSXODWLRQV7KHSXUSRVHRIGHIHQVLYHWDVNVLVWRUHWDLQNH\WHUUDLQJXDUGSRSXODWLRQV
SURWHFWOLQHVRIFRPPXQLFDWLRQVDQGSURWHFWFULWLFDOFDSDELOLWLHVDJDLQVWHQHP\DWWDFNVDQGFRXQWHUDWWDFNV
&RPPDQGHUV FDQ FRQGXFW GHIHQVLYH WDVNV WR JDLQ WLPH DQG HFRQRPL]H IRUFHV VR RIIHQVLYH WDVNV FDQ EH
H[HFXWHGHOVHZKHUH 6HH$'53IRUDGLVFXVVLRQRIGHIHQVLYHWDVNV 
 6WDELOLW\WDVNVDUHWDVNVFRQGXFWHGDVSDUWRIRSHUDWLRQVRXWVLGHWKH8QLWHG6WDWHVLQFRRUGLQDWLRQZLWK
RWKHULQVWUXPHQWVRIQDWLRQDOSRZHUWRPDLQWDLQRUUHHVWDEOLVKDVDIHDQGVHFXUHHQYLURQPHQWDQGSURYLGH
HVVHQWLDO JRYHUQPHQWDO VHUYLFHV HPHUJHQF\ LQIUDVWUXFWXUH UHFRQVWUXFWLRQ DQG KXPDQLWDULDQ UHOLHI
$'3 7KHVHWDVNVVXSSRUWJRYHUQDQFHZKHWKHULWLVLPSRVHGE\DKRVWQDWLRQDQLQWHULPJRYHUQPHQW
RU D PLOLWDU\ JRYHUQPHQW 6WDELOLW\ WDVNV LQYROYH ERWK FRHUFLYH DQG FRQVWUXFWLYH DFWLRQV 7KH\ KHOS WR
HVWDEOLVK RU PDLQWDLQ D VDIH DQG VHFXUH HQYLURQPHQW DQG IDFLOLWDWH UHFRQFLOLDWLRQ DPRQJ ORFDO RU UHJLRQDO
DGYHUVDULHV 6HH$'53IRUDGLVFXVVLRQRIVWDELOLW\ 
 &RQGXFWLQJ GHFLVLYH DFWLRQ LQYROYHV PRUH WKDQ VLPXOWDQHRXV H[HFXWLRQ RI DOO LWV WDVNV ,W UHTXLUHV
FRPPDQGHUVDQGVWDIIVWRFRQVLGHUWKHLUXQLWV¶FDSDELOLWLHVDQGFDSDFLWLHVUHODWLYHWRHDFKWDVN&RPPDQGHUV
FRQVLGHUWKHLU PLVVLRQVGHFLGH ZKLFKWDFWLFV WHFKQLTXHVDQGSURFHGXUHVWRXVHDQGEDODQFHWKHWDVNVRI
GHFLVLYHDFWLRQZKLOHSUHSDULQJWKHLUFRPPDQGHU¶VLQWHQWDQGFRQFHSWRIRSHUDWLRQV7KH\GHWHUPLQHZKLFK
WDVNVWKHLUIRUFHFDQDFFRPSOLVKVLPXOWDQHRXVO\LISKDVLQJLVUHTXLUHGZKDWDGGLWLRQDOUHVRXUFHVLWPD\QHHG
DQGKRZWRWUDQVLWLRQIURPRQHWDVNWRDQRWKHU

6(,=(5(7$,1$1'(;3/2,77+(,1,7,$7,9(
,WLVHYHQEHWWHUWRDFWTXLFNO\DQGHUUWKDQWRKHVLWDWHXQWLOWKHWLPHRIDFWLRQLVSDVW
&DUOYRQ&ODXVHZLW]

 6XFFHVVIXOXQLILHGODQGRSHUDWLRQVUHTXLUH$UP\IRUFHVWRVHL]HUHWDLQDQGH[SORLWWKHLQLWLDWLYHE\
IRUFLQJDQHQHP\WRUHVSRQGWRIULHQGO\DFWLRQ%\SUHVHQWLQJPXOWLSOHGLOHPPDVWRDQHQHP\FRPPDQGHUV
IRUFHWKHHQHP\WRUHDFWFRQWLQXRXVO\XQWLOWKHHQHP\LVILQDOO\GULYHQLQWRXQWHQDEOHSRVLWLRQV6HL]LQJWKH
LQLWLDWLYHSUHVVXUHVHQHP\FRPPDQGHUVLQWRDEDQGRQLQJWKHLUSUHIHUUHGRSWLRQVDQGPDNLQJPLVWDNHV(QHP\
PLVWDNHVDOORZIULHQGO\IRUFHVWRVHL]HRSSRUWXQLWLHVDQGFUHDWHQHZDYHQXHVIRUH[SORLWDWLRQ7KURXJKRXW
RSHUDWLRQVFRPPDQGHUVIRFXVFRPEDWSRZHUWRGHIHDWHQHP\IRUFHVSURWHFWSRSXODWLRQVDQGLQIUDVWUXFWXUH
DQGFRQVROLGDWHJDLQVWRUHWDLQWKHLQLWLDWLYHZLWKLQDQRSHUDWLRQ¶VRYHUDOOSXUSRVH
 &RPPDQGHUVVHL]HWKHLQLWLDWLYHE\DFWLQJ:LWKRXWDFWLRQVHL]LQJWKHLQLWLDWLYHLVLPSRVVLEOH)DFHG
ZLWKDQ XQFHUWDLQVLWXDWLRQWKHUHLVD QDWXUDOWHQGHQF\ WRKHVLWDWHDQG JDWKHU PRUHLQIRUPDWLRQWRUHGXFH
XQFHUWDLQW\:DLWLQJDQGJDWKHULQJLQIRUPDWLRQPLJKWUHGXFHXQFHUWDLQW\EXWGRHVQRWHOLPLQDWHLW:DLWLQJ
PD\HYHQLQFUHDVHXQFHUWDLQW\ZKLOHSURYLGLQJDQHQHP\ZLWKWLPHWRVHL]HWKHLQLWLDWLYH,WLVIDUEHWWHUWR
PDQDJH XQFHUWDLQW\ E\ DFWLQJ DQG GHYHORSLQJ WKH VLWXDWLRQ LQVWHDG RI ZDLWLQJ ([SORLWLQJ WKH LQLWLDWLYH
UHTXLUHVSRVLWLYHDFWLRQ

08/7,'20$,1%$77/(
 7KH$UP\FRQGXFWVRSHUDWLRQVDFURVVPXOWLSOHGRPDLQVDQGWKHLQIRUPDWLRQHQYLURQPHQW$OO$UP\
RSHUDWLRQV DUH PXOWLGRPDLQ RSHUDWLRQV DQG DOO EDWWOHV DUH PXOWLGRPDLQ EDWWOHV ([DPSOHV RI $UP\

6 October 2017 FM 3-0 1-17


Chapter 1

PXOWLGRPDLQRSHUDWLRQVLQFOXGHDLUERUQHDQGDLUDVVDXOWRSHUDWLRQVDLUDQGPLVVLOHGHIHQVHILUHVDYLDWLRQ
F\EHUVSDFH HOHFWURPDJQHWLF DFWLYLWLHV LQIRUPDWLRQ RSHUDWLRQV VSDFH RSHUDWLRQV PLOLWDU\ GHFHSWLRQ
0,/'(&  DQG LQIRUPDWLRQ FROOHFWLRQ /DUJHVFDOH FRPEDW RSHUDWLRQV VXFK DV WKHVH HQWDLO VLJQLILFDQW
RSHUDWLRQDOULVNV\QFKURQL]DWLRQFDSDELOLWLHVFRQYHUJHQFHDQGKLJKRSHUDWLRQDOWHPSR.H\FRQVLGHUDWLRQV
IRURSHUDWLQJLQPXOWLSOHGRPDLQVLQFOXGH²
z 0LVVLRQFRPPDQG
z 5HFRQQDLVVDQFHLQGHSWK
z 0RELOLW\
z &URVVGRPDLQILUHV
z 7HPSRDQGFRQYHUJHQFHRIHIIHFWV
z 3URWHFWLRQ
z 6XVWDLQPHQW
z ,QIRUPDWLRQRSHUDWLRQV

 $UP\IRUFHVPD\EHUHTXLUHGWRFRQGXFWRSHUDWLRQVDFURVVPXOWLSOHGRPDLQVWRJDLQIUHHGRPRIDFWLRQ
IRURWKHUPHPEHUVRIWKHMRLQWIRUFH([DPSOHVRIWKHVHRSHUDWLRQVLQFOXGHQHXWUDOL]LQJHQHP\LQWHJUDWHGDLU
GHIHQVHVRUORQJUDQJHVXUIDFHWRVXUIDFHILUHVV\VWHPVGHQ\LQJHQHP\DFFHVVWRDQ$2GLVUXSWLQJHQHP\
&SURWHFWLQJIULHQGO\QHWZRUNVFRQGXFWLQJWDFWLFDOGHFHSWLRQRUGLVUXSWLQJDQHQHP\¶VDELOLW\WRFRQGXFW
LQIRUPDWLRQZDUIDUH
 (QHPLHV DUH OLNHO\ WR LQLWLDWH KRVWLOLWLHV DJDLQVW D IULHQGO\ IRUFH IURP LQLWLDO SRVLWLRQV RI UHODWLYH
DGYDQWDJH7KHVHLQFOXGHSK\VLFDOWHPSRUDODQGFRJQLWLYHSRVLWLRQVDQGFXOWXUDOLQIRUPDWLRQDODQGRWKHU
KXPDQIDFWRUVSHFXOLDUWRWKHODQGGRPDLQ2QFHDQHQHP\LVLQDSRVLWLRQRIGLVDGYDQWDJHWKHMRLQWIRUFH
PXVWUDSLGO\H[SORLWLWVDGYDQWDJH ZLWKIRUFHRULHQWHGRSHUDWLRQVWRGHVWUR\ NH\HQHP\ FDSDELOLWLHV:HOO
V\QFKURQL]HG KLJKWHPSR RIIHQVLYH DFWLRQ RIWHQ LQ WKH IRUP RI JURXQG PDQHXYHU LV UHTXLUHG WR GHIHDW
HQHPLHV ZLWK VLJQLILFDQW ORQJUDQJH ILUHV DQG DLU GHIHQVH FDSDELOLWLHV 8QGHUVWDQGLQJ WKH LPSRUWDQFH RI
SODQQLQJDQGH[HFXWLQJDUHDVHFXULW\DQGVWDELOLW\WDVNVLVDOVRQHFHVVDU\WRFRQVROLGDWHJDLQVDFURVVPXOWLSOH
GRPDLQVLQZD\VWKDWVXSSRUWWKHSXUSRVHRIIULHQGO\WDFWLFDORSHUDWLRQVWRDFKLHYHVWUDWHJLFJRDOV

326,7,2162)5(/$7,9($'9$17$*(
,QZDUWULYLDOFDXVHVSURGXFHPRPHQWRXVHYHQWV
-XOLXV&DHVDU

 $SRVLWLRQRIUHODWLYHDGYDQWDJHLVDORFDWLRQRUWKHHVWDEOLVKPHQWRIDIDYRUDEOHFRQGLWLRQZLWKLQWKH
DUHDRIRSHUDWLRQVWKDWSURYLGHVWKHFRPPDQGHUZLWKWHPSRUDU\IUHHGRPRIDFWLRQWRHQKDQFHFRPEDWSRZHU
RYHUDQHQHP\RULQIOXHQFHWKHHQHP\WRDFFHSWULVNDQGPRYHWRDSRVLWLRQRIGLVDGYDQWDJH $'53 
3RVLWLRQV RI UHODWLYH DGYDQWDJH RFFXU LQ DOO GRPDLQV SURYLGLQJ RSSRUWXQLWLHV IRU XQLWV WR H[SORLW
&RPPDQGHUV PDLQWDLQ PRPHQWXP WKURXJK H[SORLWDWLRQ RI RSSRUWXQLWLHV WR FRQVROLGDWH JDLQV DQG WKH\
FRQWLQXDOO\DVVHVVDQGUHDVVHVVIULHQGO\DQGHQHP\HIIHFWVIRUIXWXUHRSSRUWXQLWLHV$NH\DVSHFWLQDFKLHYLQJ
DSRVLWLRQRIDGYDQWDJHLVPDQHXYHUWKHHPSOR\PHQWRIIRUFHVLQWKHRSHUDWLRQDODUHDWKURXJKPRYHPHQWLQ
FRPELQDWLRQZLWKILUHVWRDFKLHYHDSRVLWLRQRIDGYDQWDJHLQUHVSHFWWRWKHHQHP\ -3 
 3RVLWLRQVRIUHODWLYHDGYDQWDJHDUHXVXDOO\WHPSRUDU\DQGUHTXLUHLQLWLDWLYHWRH[SORLW:KLOHIULHQGO\
IRUFHVDUHVHHNLQJSRVLWLRQVRIDGYDQWDJHHQHP\ IRUFHVDUH GRLQJWKH VDPH7KHUHDUHPXOWLSOHIRUPVRI
SRVLWLRQDODGYDQWDJHWKDWSURYLGHRSSRUWXQLWLHVWRH[SORLW6RPHDUHFRQVLGHUDWLRQVWKDWVKRXOGEHXQGHUVWRRG
ZKHQIRUPXODWLQJWDFWLFDODQGRSHUDWLRQDOFRQFHSWVZKLOHRWKHUVDUHJRDOVWKDWFDQEHZRUNHGWRZDUGVDVD
PHDQVRIGHVWUR\LQJRUGHIHDWLQJWKHHQHP\DQGDFKLHYLQJWKHRYHUDOOSXUSRVHRIWKHRSHUDWLRQ([DPSOHVRI
SRVLWLRQDODGYDQWDJHLQFOXGH²
z 3K\VLFDODQGJHRJUDSKLFDO LQFOXGLQJVWUDWHJLFSRVLWLRQLQJVDQFWXDU\DQGFRQWURORINH\WHUUDLQ 
z &RPEDW SRZHU DQG ZDUILJKWLQJ IXQFWLRQ RYHUPDWFK LQFOXGLQJ UDQJH OHWKDOLW\ SUHFLVLRQ DQG
PDVV 
z 5HODWLRQVKLSVDQGLQIOXHQFH LQFOXGLQJDOOLHVLQWHURSHUDELOLW\DFFHVVDQGLQGLJHQRXVIRUFHV 
z /HJLWLPDF\LGHDVDQGSRSXODUSHUFHSWLRQ LQFOXGLQJZKDWLVJRRGYHUVXVEDGDFFHSWHGYHUVXV
RSSRVHGDQGDEHOLHYDEOHQDUUDWLYH 

1-18 FM 3-0 6 October 2017


Overview of Army Operations

 Time (including speed of recognition, speed of decision making, speed of action, and operational
tempo).
 Freedom of action (including secure lines of communications, standoff, depth, access to
cyberspace, maritime and air enablers, and friendly A2 and AD measures).
 Moral (including alignment of words and deeds, just and unjust, and international support).
 Will (including doing what must be done, continuing as long as it takes, and maintaining support
from domestic leaders).
1-82. Relative positional advantage is something to gain, protect, and exploit across all domains. Combining
positional advantages across multiple domains during each phase of operations provides opportunities for
exploitation through maneuver. Physical or geographic positions of relative advantage are often identified
first as decisive points and then depicted in operational graphics as objectives. The greater the number of
positions of advantage a commander can generate, the increased number of dilemmas that commander can
present to an enemy. The combination of positional advantages change over time relative to changes in the
OE, and this change includes how the enemy reacts to friendly forces’ activities. It is the exploitation of
positions of advantage through maneuver which deters, defeats, or destroys an enemy. Leaders at every
echelon are expected to display the initiative necessary to assume prudent risk while taking timely advantage
of opportunities that present themselves under ambiguous, chaotic conditions. It is not always possible to
understand those opportunities before they arise, so it is important that units have a command climate that
rewards those who make decisions and act boldly in the absence of orders.

MISSION COMMAND
Never tell people how to do things. Tell them what to do and they will surprise you with
their ingenuity.
General George S. Patton, Jr.

1-83. Mission command is the exercise of authority and direction by the commander using mission orders to
enable disciplined initiative within the commander’s intent to empower subordinates in the conduct of unified
land operations. Mission command is a principle of unified land operations that enables commanders to blend
the art of command and the science of control while integrating the warfighting functions during operations.
1-84. Mission command requires an environment of mutual trust and shared understanding among
commanders, staffs, and subordinates. It requires a command climate in which commanders encourage
subordinates to accept prudent risk and exercise disciplined initiative to seize opportunities and counter
threats within the commander’s intent. Using mission orders, commanders focus their orders on the purpose
of an operation rather than on the details of how to perform assigned tasks. Doing this minimizes detailed
control and allows subordinates the greatest possible freedom of action. Finally, when delegating authority
to subordinates, commanders set conditions for success by allocating adequate resources to subordinates
based on assigned tasks.
1-85. Through mission command, commanders integrate and synchronize operations. Commanders
understand that they do not operate independently but as part of a larger force united by a common operational
purpose. They integrate and synchronize their actions with the rest of the force to achieve the overall objective
of the operation. +Commanders create and sustain situational understanding through collaborative dialogue
within their organization and with unified action partners to facilitate unity of effort. They provide a clear
commander’s intent and use mission orders to assign tasks, allocate resources, and issue broad guidance. (See
ADRP 6-0 for doctrine on mission command).

OPERATIONAL ART
[T]here is a wide difference between right and wrong disposition of troops, just as stones,
bricks, timber and tiles flung together anyhow are useless, whereas when the materials
that neither rot nor decay, that is, the stones and tiles, are placed at the bottom and the
top, and the bricks and timber are put together in the middle, as in building, the result is
something of great value, a house, in fact.
Xenophon

6 December 2017 FM 3-0, C1 1-19


Chapter 1

 $UP\FRPPDQGHUVDQGVWDIIVHPSOR\RSHUDWLRQDODUWWRGHWHUPLQHZKDWWDFWLFVEHVWDFKLHYHDVWUDWHJLF
SXUSRVH2SHUDWLRQDODUWLVWKH FRJQLWLYH DSSURDFK E\ FRPPDQGHUVDQG VWDIIV²VXSSRUWHGE\ WKHLUVNLOO
NQRZOHGJH H[SHULHQFH FUHDWLYLW\ DQG MXGJPHQW²WR GHYHORS VWUDWHJLHV FDPSDLJQV DQG RSHUDWLRQV WR
RUJDQL]HDQGHPSOR\PLOLWDU\IRUFHVE\LQWHJUDWLQJHQGVZD\VDQGPHDQV -3 7KURXJKRSHUDWLRQDODUW
FRPPDQGHUVDQG VWDIIVFRPELQHDUWDQG VFLHQFHWRGHYHORSSODQVDQG RUGHUVWKDWGHVFULEHKRZ ZD\V WKH
IRUFHHPSOR\VLWVFDSDELOLWLHV PHDQV WRDFKLHYHWKHGHVLUHGHQG VWDWH HQGV ZKLOHFRQVLGHULQJULVN7KLV
UHTXLUHVFRPPDQGHUVWRDQVZHUWKHIROORZLQJTXHVWLRQV
z :KDWFRQGLWLRQVZKHQHVWDEOLVKHGFRQVWLWXWHWKHGHVLUHGHQGVWDWH HQGV "
z +RZZLOOWKHIRUFHDFKLHYHWKHVHGHVLUHGFRQGLWLRQV ZD\V "
z :KDWVHTXHQFHRIDFWLRQVKHOSVDWWDLQWKHVHFRQGLWLRQV ZD\V "
z :KDWUHVRXUFHVDUHUHTXLUHGWRDFFRPSOLVKWKDWVHTXHQFHRIDFWLRQV PHDQV "
z :KDWULVNVDUHDVVRFLDWHGZLWKWKDWVHTXHQFHRIDFWLRQVDQGKRZFDQWKH\EHPLWLJDWHG ULVNV "
 2SHUDWLRQDODUWLVFULWLFDOWROHDGHUVEHLQJDEOHWRRUJDQL]HWKHV\VWHPLFGHIHDWRIDQ RSSRVLQJIRUFH
ILUVWFRQFHSWXDOO\LQ WKHLUPLQGV DQG WKHQ WUDQVODWLQJ WKHLUFRQFHSWXDOVROXWLRQVLQWRFRQFUHWH H[HFXWLRQ
6\VWHPVWKLQNLQJLQIRUPVDVLWXDWLRQDOWHPSODWHWKDWSXWVDWKUHDWLQWRSHUVSHFWLYH6\VWHPLFGHIHDWVGHSHQG
RQNQRZLQJZKDWIXQFWLRQVDUHYLWDOWRDQHQHP\¶VPLVVLRQDWDQ\JLYHQWLPHDQGNQRZLQJKRZWKDWIXQFWLRQ
FDQ EH GLVDEOHG ,GHQWLI\LQJ WKH ORJLFLQKHUHQWWR D SDUWLFXODUFRQIOLFW ZKLFK VSDQV GRPDLQV WKH KXPDQ
GLPHQVLRQDQGWKHLQIRUPDWLRQHQYLURQPHQWLVERWKSRVVLEOHDQGHVVHQWLDO$QXQGHUVWDQGLQJRIWKHV\VWHP
E\ZKLFKDQHQHP\ILJKWVWRDFKLHYHLWVSXUSRVHUHTXLUHVDQXQGHUVWDQGLQJRIWKHXQLTXHORJLFRIHDFKFDVH

(/(0(1762) 23(5$7,21$/ $57


 ,QDSSO\LQJRSHUDWLRQDODUWFRPPDQGHUVDQGWKHLUVWDIIVXVH
D VHW RI LQWHOOHFWXDO WRROV WR KHOS WKHP XQGHUVWDQG WKHLU 2( Elements of Operational Art
YLVXDOL]HWKHLURSHUDWLRQDODSSURDFKDQGGHVFULEHWKHRSHUDWLRQ¶V x (QGVWDWHDQGFRQGLWLRQV
HQGVWDWH&ROOHFWLYHO\WKLVVHWRIWRROVLVNQRZQ DVWKHHOHPHQWV x &HQWHURIJUDYLW\
RI RSHUDWLRQDO DUW 7KHVH WRROV KHOS FRPPDQGHUV XQGHUVWDQG x 'HFLVLYHSRLQWVDQGVSDFHV
YLVXDOL]H DQG GHVFULEHRSHUDWLRQVDQG KHOSWKHPIRUPXODWHWKHLU x /LQHVRIRSHUDWLRQV DQGOLQHV
FRPPDQGHU¶V LQWHQW DQG SODQQLQJ JXLGDQFH &RPPDQGHUV RIHIIRUW
VHOHFWLYHO\ XVH WKHVH WRROV LQ DQ\ RSHUDWLRQ +RZHYHU WKHLU
x 2SHUDWLRQDO UHDFK
DSSOLFDWLRQ LV EURDGHVW LQ WKH FRQWH[W RI ODUJHVFDOH FRPEDW
RSHUDWLRQV x &XOPLQDWLRQ
x %DVLQJ
 1RW DOO HOHPHQWVRI RSHUDWLRQDODUW DSSO\ DW DOO OHYHOVRI
ZDUIDUH)RUH[DPSOHDFRPSDQ\FRPPDQGHUPD\EHFRQFHUQHG x 7HPSR
DERXW WKH WHPSRRIDQ XSFRPLQJ RSHUDWLRQEXW LV SUREDEO\ QRW x 3KDVLQJDQG WUDQVLWLRQV
FRQFHUQHGZLWKDQHQHP\¶VFHQWHURIJUDYLW\2QWKHRWKHUKDQGD x 5LVN
FRUSVFRPPDQGHUPD\FRQVLGHUDOOHOHPHQWVRIRSHUDWLRQDODUWLQ
GHYHORSLQJ D SODQ LQ VXSSRUW RI WKH -)&¶V FDPSDLJQ SODQ 7KH
DSSOLFDWLRQRIVSHFLILFHOHPHQWVRIRSHUDWLRQDODUWLVVLWXDWLRQDQGHFKHORQGHSHQGHQW
 &RPPDQGHUVXVHWKHHOHPHQWVRIRSHUDWLRQDODUWWRKHOSWKHPIRUPWKHLUFRPPDQGHU¶VYLVXDOL]DWLRQ²
WKHPHQWDOSURFHVVRIGHYHORSLQJVLWXDWLRQDOXQGHUVWDQGLQJGHWHUPLQLQJDGHVLUHGHQGVWDWHDQGHQYLVLRQLQJ
DQ RSHUDWLRQDODSSURDFK E\ ZKLFK WKH IRUFHZLOO DFKLHYH WKDW HQG VWDWH $'53  ,Q EXLOGLQJ WKHLU
YLVXDOL]DWLRQFRPPDQGHUVILUVWVHHNWRXQGHUVWDQGWKH2(1H[WFRPPDQGHUVHQYLVLRQDVHWRIGHVLUHGIXWXUH
FRQGLWLRQV WKDW UHSUHVHQWV WKH RSHUDWLRQ¶V HQG VWDWH &RPPDQGHUV FRPSOHWH WKHLU YLVXDOL]DWLRQ E\
FRQFHSWXDOL]LQJDQRSHUDWLRQDODSSURDFK²DEURDGGHVFULSWLRQRIWKHPLVVLRQRSHUDWLRQDOFRQFHSWVWDVNV
DQGDFWLRQVUHTXLUHGWRDFFRPSOLVKWKHPLVVLRQ -3  6HH$'53IRUDGLVFXVVLRQRIHDFKHOHPHQWRI
RSHUDWLRQDODUW 

5,6.
1HYHUIRUJHWWKDWQRPLOLWDU\OHDGHUKDVHYHUEHFRPHJUHDWZLWKRXWDXGDFLW\
&DUOYRQ&ODXVHZLW]

1-20 FM 3-0, C1 6 December 2017


2YHUYLHZRI$UP\ 2SHUDWLRQV

 5LVNXQFHUWDLQW\DQG FKDQFHDUHLQKHUHQWLQDOOPLOLWDU\RSHUDWLRQV2SHUDWLRQDODUWEDODQFHVULVNDQG


RSSRUWXQLW\WRFUHDWHDQG PDLQWDLQ WKH FRQGLWLRQVQHFHVVDU\WRVHL]HUHWDLQDQG H[SORLWWKHLQLWLDWLYH DQG
DFKLHYHGHFLVLYHUHVXOWV'XULQJH[HFXWLRQRSSRUWXQLW\LVIOHHWLQJ7KHVXUHVWPHDQVWRFUHDWHRSSRUWXQLW\LV
WRDFFHSWULVNZKLOHPLQLPL]LQJKD]DUGV WRIULHQGO\IRUFHV&RPPDQGHUVDQG VWDIIVDWDOOHFKHORQVHYDOXDWH
HQHP\DQGIULHQGO\DFWLRQVWRGHWHUPLQHZKHUHFRPPDQGHUVFDQDVVXPHULVNLQRQHRUPRUHGRPDLQVDQGWKH
LQIRUPDWLRQHQYLURQPHQW :KHQ DVVXPLQJ ULVN FRPPDQGHUV VKRXOG DOORFDWHPLQLPDO FRPEDW SRZHU WR
VHFRQGDU\HIIRUWV
 &RUSVDQGGLYLVLRQFRPPDQGHUVZHLJKWKHPDLQHIIRUWDQGVKDSHWKHLU2(VDVUHTXLUHGWRLQFUHDVHWKHLU
UHVSRQVLYHQHVVWRRSHUDWLRQVDVEULJDGHFRPEDWWHDPV %&7V HQJDJHLQWKHLUFORVHDUHDV7KHVHFRPPDQGHUV
PLWLJDWHULVNE\DFFHOHUDWLQJRUGHFHOHUDWLQJWKHWHPSRRIRSHUDWLRQVEDVHGRQWKHVLWXDWLRQ$FFHOHUDWLQJWKH
WHPSRRIRSHUDWLRQVPD\EHQHFHVVDU\WRHQDEOHWKHDWWDFNLQJGLYLVLRQVWRUDSLGO\FORVHZLWKWKHHQHP\WR
PLWLJDWHWKHLPSDFWRIDQ\ HQHP\VXSHULRUILUHVRYHUPDWFK&RPPDQGHUVPD\ FKRRVHWRVORZWKHWHPSRWR
SUHYHQWWKHFUHDWLRQRIDVVDLODEOHIODQNVLIWKHHQHP\KDVJUHDWHUVXSHULRULW\LQPDQHXYHUIRUFHV6LWXDWLRQDO
XQGHUVWDQGLQJ LV HVVHQWLDO WR PDQDJLQJ ULVN 6HHLQJ XQGHUVWDQGLQJ DQG UHVSRQGLQJ WR ZLQGR ZV RI
YXOQHUDELOLW\ RURSSRUWXQLW\ZLWKLQ HDFK GRPDLQ DQG WKH LQIRUPDWLRQHQYLURQPHQWFDQ UHGXFHULVNWRWKH
IULHQGO\IRUFHDQG HQKDQFHVXFFHVVLQFKDRWLFDQG KLJKWHPSRRSHUDWLRQV 6HHDSSHQGL[ % IRUD OLVWLQJRI
ULVNFRQVLGHUDWLRQV 

'()($7 $1' 67$%,/,7< 0(&+$1,606


 :KHQ GHYHORSLQJ DQ RSHUDWLRQDODSSURDFK FRPPDQGHUVFRQVLGHUKRZ WRHPSOR\D FRPELQDWLRQRI
GHIHDWPHFKDQLVPVDQGVWDELOLW\PHFKDQLVPV'HIHDWPHFKDQLVPVDUHGRPLQDWHGE\RIIHQVLYHDQGGHIHQVLYH
WDVNVZKLOH VWDELOLW\PHFKDQLVPVDUH GRPLQDQW LQ VWDELOLW\WDVNVWKDW HVWDEOLVKDQG PDLQWDLQ VHFXULW\DQG
IDFLOLWDWHFRQVROLGDWLQJJDLQVLQDQ$2

'HIHDW0HFKDQLVPV
 $ GHIHDWPHFKDQLVPLVD PHWKRG WKURXJK ZKLFK IULHQGO\IRUFHVDFFRPSOLVKWKHLUPLVVLRQVDJDLQVW
HQHP\ RSSRVLWLRQ $'53  &RPPDQGHUV GHVFULEHD GHIHDW PHFKDQLVPDV WKH SK\VLFDO WHPSRUDORU
SV\FKRORJLFDOHIIHFWVLWSURGXFHV2SHUDWLRQDODUWIRUPXODWHVWKHPRVWHIIHFWLYHHIILFLHQWZD\WRGHIHDWHQHP\
DLPV3K\VLFDOO\GHIHDWLQJDQHQHP\GHSULYHVHQHP\IRUFHVRIWKHDELOLW\WRDFKLHYHWKRVHDLPV7HPSRUDOO\
GHIHDWLQJ DQ HQHP\ DQWLFLSDWHV HQHP\ UHDFWLRQVDQG FRXQWHUV WKHP EHIRUHWKH\ FDQ EHFRPHHIIHFWLYH
3V\FKRORJLFDOO\GHIHDWLQJDQ HQHP\GHSULYHV WKDW HQHP\ RIWKHZLOO WR FRQWLQXHWKH FRQIOLFW7KH GHIHDW
PHFKDQLVPVDUH²
z 'HVWUR\
z 'LVORFDWH
z 'LVLQWHJUDWH
z ,VRODWH
 'HVWUR\LVDWDFWLFDOPLVVLRQWDVNWKDWSK\VLFDOO\UHQGHUVDQHQHP\IRUFHFRPEDWLQHIIHFWLYHXQWLOLWLV
UHFRQVWLWXWHG$OWHUQDWLYHO\WRGHVWUR\DFRPEDWV\VWHPLVWRGDPDJH LWVREDGO\ WKDWLWFDQQRWSHUIRUPDQ\
IXQFWLRQRUEHUHVWRUHGWRDXVDEOHFRQGLWLRQZLWKRXWEHLQJHQWLUHO\UHEXLOW )0 $Q HQHP\FDQQRW
UHVWRUHD GHVWUR\HGIRUFHWRD XVDEOH FRQGLWLRQZLWKRXW HQWLUHO\UHEXLOGLQJ LW:KHQ FRPPDQGHUVVHHNWR
GHVWUR\HQHP\IRUFHVWKH\DSSO\FRPEDWSRZHURQDQHQHP\FDSDELOLW\VRWKDWLWFDQQRORQJHUSHUIRUPDQ\
IXQFWLRQ:KHQFRPPDQGHUVVHHNWRGHVWUR\DQHQHP\¶VQDUUDWLYHFRPPDQGHUVHPSOR\DOOPHDQVWRDIIHFW
WKHLQIRUPDWLRQHQYLURQPHQWWRGLVSURYH GLVFUHGLWRUPDNH LUUHOHYDQWWKHHQHP\QDUUDWLYH RUWRGHQ\ L WV
GHOLYHU\'HVWUR\LQJHQHP\IRUFHV¶LQIRUPDWLRQDOFDSDELOLWLHVFRPSOHWHO\PD\EHLPSRVVLEOHEXWGHVWUR\LQJ
HQRXJK NH\ QRGHV RQ WKHLU QHWZRUN SXWV WKHP DW D VLJQLILFDQW WDFWLFDOGLVDGYDQWDJH )URP D WHPSRUDO
SHUVSHFWLYH WKH PDVVHG GHVWUXFWLRQRI HQHP\ FDSDELOLWLHVOHDYHV DQ HQHP\ QR WLPH WR DGMXVW SODQV RU
UHSRVLWLRQIRUFHVTXLFNO\HQRXJKWRUHFRYHU
 'LVORFDWHLV WR HPSOR\ IRUFHVWR REWDLQ VLJQLILFDQW SRVLWLRQDODGYDQWDJH UHQGHULQJ WKH HQHP\¶V
GLVSRVLWLRQVOHVVYDOXDEOH SHUKDSVHYHQLUUHOHYDQW $'53 &RPPDQGHUVRIWHQDFKLHYHGLVORFDWLRQE\
PDQHXYHULQJIRUFHVLQWRORFDWLRQVZKHUHDQHQHP\GRHVQRWH[SHFWWKHP6XUSULVHFDQXQKLQJHDQHQHP\¶V
RSHUDWLRQDODSSURDFKDQGGLVUXSWDQHQHP\¶VDELOLW\WRFRJQLWLYHO\DGDSWWRPXOWLSOHVLPXOWDQHRXVGLOHPPDV
2SHUDWLRQVFRQGXFWHGUDSLGO\DQGVLPXOWDQHRXVO\WKURXJKRXWWKHGHSWKRIDQHQHP\¶VHFKHORQVSUHYHQWWKDW

6 December 2017 FM 3-0, C1 1-21


Chapter 1

HQHP\¶VDELOLW\WRHIIHFWLYHO\UHSRVLWLRQE\GHSULYLQJWKHHQHP\RIWLPHDQGVSDFH'HFHSWLRQDQGGLVUXSWLRQ
RIHQHP\QHWZRUNVFDQKDYHWKHVDPHHIIHFW
 'LVLQWHJUDWHPHDQV WR GLVUXSW WKH HQHP\¶V FRPPDQG DQG FRQWUROV\VWHPGHJUDGLQJ LWVDELOLW\ WR
FRQGXFWRSHUDWLRQVZKLOHOHDGLQJWRDUDSLGFROODSVHRIWKHHQHP\¶VFDSDELOLWLHVRUZLOOWRILJKW $'53 
&RPPDQGHUV RIWHQ DFKLHYH GLVLQWHJUDWLRQE\ VSHFLILFDOO\WDUJHWLQJ DQ HQHP\¶V FRPPDQG VWUXFWXUHDQG
FRPPXQLFDWLRQVV\VWHPV'RLQJVRUHTXLUHVDOLJQLQJHIIHFWVLQWLPHDQGVSDFHDFURVVDOODYDLODEOHGRPDLQV
WRVHSDUDWHDQHQHP\¶VOHDGHUVIURPLWVOHG
 ,VRODWHLVDWDFWLFDOPLVVLRQWDVNWKDWUHTXLUHVDXQLWWRVHDORII²ERWKSK\VLFDOO\DQGSV\FKRORJLFDOO\²
DQ HQHP\IURPVRXUFHVRIVXSSRUWGHQ\WKHHQHP\IUHHGRPRIPRYHPHQWDQG SUHYHQWWKHLVRODWHGHQHP\
IRUFHIURPKDYLQJ FRQWDFWZLWK RWKHUHQHP\IRUFHV )0 :KHQFRPPDQGHUVLVRODWHWKH\GHQ\DQ
HQHP\RUDGYHUVDU\DFFHVVWRFDSDELOLWLHVWKDWHQDEOHDQ HQHP\XQLWWRPDQHXYHU LQWLPHDQG VSDFHDWZLOO
,VRODWLRQWKDWLVERWKSK\VLFDODQGYLUWXDOJHQHUDWHVJUHDWHUFRJQLWLYHHIIHFWVWKDQRQHRUWKHRWKHUE\LWVHOI

6WDELOLW\0HFKDQLVPV
 $ VWDELOLW\PHFKDQLVPLVWKHSULPDU\PHWKRGWKURXJKZKLFKIULHQGO\IRUFHVDIIHFWFLYLOLDQVLQRUGHUWR
DWWDLQFRQGLWLRQVWKDWVXSSRUWHVWDEOLVKLQJDODVWLQJVWDEOHSHDFH $'53 $VZLWK GHIHDWPHFKDQLVPV
FRPELQDWLRQVRIVWDELOLW\PHFKDQLVPVSURGXFHFRPSOHPHQWDU\DQG UHLQIRUFLQJHIIHFWVWKDWDFFRPSOLVKWKH
PLVVLRQPRUHHIIHFWLYHO\DQGHIILFLHQWO\WKDQVLQJOHPHFKDQLVPVGRDORQH
 7KHIRXUVWDELOLW\PHFKDQLVPVDUHFRPSHOFRQWUROLQIOXHQFHDQGVXSSRUW&RPSHOPHDQVWRXVHRU
WKUHDWHQ WR XVH OHWKDO IRUFHWR HVWDEOLVK FRQWURODQG GRPLQDQFH HIIHFWEHKDYLRUDO FKDQJH RU HQIRUFH
FRPSOLDQFHZLWKPDQGDWHVDJUHHPHQWVRUFLYLODXWKRULW\&RQWUROLQYROYHVLPSRVLQJFLYLORUGHU,QIOXHQFH
PHDQVWRDOWHUWKHRSLQLRQVDWWLWXGHVDQGXOWLPDWHO\WKHEHKDYLRURIIRUHLJQIULHQGO\QHXWUDODGYHUVDU\DQG
HQHP\WDUJHWVDQG DXGLHQFHVWKURXJKPHVVDJHVSUHVHQFHDQGDFWLRQV6XSSRUWLVWRHVWDEOLVKUHLQIRUFHRU
VHWWKHFRQGLWLRQVQHFHVVDU\IRUWKHLQVWUXPHQWVRIQDWLRQDOSRZHUWRIXQFWLRQHIIHFWLYHO\

675$7(*,&$1'23(5$7,21$/5($&+
7KH PRUH , VHHRI ZDU WKHPRUH , UHDOL]HKRZ LW DOO GHSHQGVRQ DGPLQLVWUDWLRQDQG
WUDQVSRUWDWLRQ«,WWDNHVOLWWOHVNLOORULPDJLQDWLRQWRVHHZKHUH\RXZRXOGOLNH\RXUDUP\
WREHDQGZKHQLWWDNHVPXFKNQRZOHGJHDQGKDUGZRUNWRNQRZZKHUH\RXFDQSOD FH\RXU
IRUFHVDQGZKHWKHU\RXFDQPDLQWDLQWKHPWKHUH
)LHOG 0DUVKDO $UFKLEDOG :DYHOO

 6WUDWHJLFDQGRSHUDWLRQDOUHDFKHQDEOH$UP\IRUFHVWRGHSOR\UDSLGO\ILJKWXSRQDUULYDODQGFRQGXFW
H[WHQGHG FDPSDLJQV DV SDUW RI D MRLQW DQG PXOWLQDWLRQDO IRUFH'RLQJ VR UHTXLUHV SURILFLHQF\DW IRUFH
SURMHFWLRQSURWHFWLRQDQGVXVWDLQPHQW6ROGLHUVUHTXLUHDQH[SHGLWLRQDU\PLQGVHWWRSUHSDUHWKHPIRUVKRUW
QRWLFHGHSOR\PHQWVLQWRXQFHUWDLQRIWHQDXVWHUHDQGOHWKDOHQYLURQPHQWV
 6WUDWHJLFUHDFKSURYLGHVWKHFDSDELOLW\WRRSHUDWHDJDLQVWWKUHDWVRSHUDWLQJDQ\ZKHUH LQWKHZRUOG
7KH GLVWDQFHDFURVVZKLFK WKH8QLWHG6WDWHVFDQSURMHFWGHFLVLYHPLOLWDU\SRZHULVLWVVWUDWHJLFUHDFK ,W
FRPELQHV MRLQW PLOLWDU\ FDSDELOLWLHV²DLU ODQG PDULWLPH VSDFH VSHFLDO RSHUDWLRQV F\EHUVSDFH DQG
LQIRUPDWLRQ²ZLWK WKRVH RI WKH RWKHU LQVWUXPHQWV RI QDWLRQDO SRZHU GLSORPDWLF HFRQRPLF DQG
LQIRUPDWLRQDO $UP\IRUFHVFRQWULEXWHWRVWUDWHJLFUHDFKE\VHFXULQJDQGRSHUDWLQJEDVHVIDUIURPWKH8QLWHG
6WDWHV+RZHYHU$UP\IRUFHVGHSHQGRQMRLQWFDSDELOLWLHVWRGHSOR\DQGVXVWDLQWKHPDFURVVLQWHUFRQWLQHQWDO
GLVWDQFHV,Q VRPHFDVHV$UP\ IRUFHVXVHVWUDWHJLFOLIWWRGHSOR\GLUHFWO\WRDQRSHUDWLRQDODUHD,QPDQ\
LQVWDQFHVODQG RSHUDWLRQVFRPELQHGLUHFWGHSOR\PHQW ZLWK PRYHPHQWV IURPLQWHUPHGLDWHVWDJLQJ EDVHV
ORFDWHGRXWVLGHDQRSHUDWLRQDODUHD$FFHVVWREDVHVDQG VXSSRUWLVLQIOXHQFHGE\ GLSORPDWLFDQG HFRQRPLF
IDFWRUV
 2SHUDWLRQDOUHDFKLVWKHGLVWDQFHDQGGXUDWLRQDFURVVZKLFKDIRUFHFDQVXFFHVVIXOO\HPSOR\PLOLWDU\
FDSDELOLWLHV -3 ([WHQGLQJRSHUDWLRQDOUHDFKLVDPDMRUFRQFHUQIRUFRPPDQGHUVWKURXJKRXWWKHGXUDWLRQ
RIDQRSHUDWLRQ&RPPDQGHUVDQGVWDIIVLQFUHDVHRSHUDWLRQDOUHDFKWKURXJKGHOLEHUDWHIRFXVHGSODQQLQJZHOO
LQ DGYDQFH RIRSHUDWLRQVLISRVVLEOHDQG WKHDSSURSULDWHVXVWDLQPHQWWRIDFLOLWDWHHQGXUDQFH2SHUDWLRQDO
UHDFKLVDIXQFWLRQRILQWHOOLJHQFHSURWHFWLRQVXVWDLQPHQWHQGXUDQFHDQGUHODWLYHFRPEDWSRZHU7KHOLPLW
RIDXQLW¶VRSHUDWLRQDOUHDFKLVLWVFXOPLQDWLQJSRLQW

1-22 FM 3-0, C1 6 December 2017


2YHUYLHZRI$UP\2SHUDWLRQV

 (QGXUDQFHUHIHUVWRWKHDELOLW\WRHPSOR\FRPEDWSRZHUIRUSURWUDFWHGSHULRGVLQDQ\ORFDWLRQDFURVV
WKHJOREH,WVWHPVIURPWKHDELOLW\WRFUHDWHSURWHFWDQGVXVWDLQDIRUFHUHJDUGOHVVRIWKHGLVWDQFHIURPLWV
EDVHDQGWKHDXVWHULW\RIWKHHQYLURQPHQW(QGXUDQFHLQYROYHVDQWLFLSDWLQJUHTXLUHPHQWVDQGPDNLQJWKHPRVW
HIIHFWLYHHIILFLHQWXVHRIDYDLODEOHUHVRXUFHV7KHLUHQGXUDQFHJLYHV$UP\IRUFHVWKHLUFDPSDLJQTXDOLW\
(QGXUDQFHFRQWULEXWHVWR$UP\IRUFHV¶DELOLW\WRPDNHSHUPDQHQWWKHWUDQVLWRU\HIIHFWVRIRWKHUFDSDELOLWLHV
 0RPHQWXPFRPHVIURPUHWDLQLQJWKHLQLWLDWLYHDQGH[HFXWLQJKLJKWHPSRRSHUDWLRQVWKDWRYHUZKHOP
HQHP\UHVLVWDQFH&RPPDQGHUVFRQWUROPRPHQWXPE\PDLQWDLQLQJIRFXVDQGSUHVVXUH7KH\VHWDWHPSRWKDW
SUHYHQWV IULHQGO\ H[KDXVWLRQ DQG PDLQWDLQV VXVWDLQPHQW $ VXVWDLQDEOH WHPSR H[WHQGV RSHUDWLRQDO UHDFK
&RPPDQGHUV PDLQWDLQ PRPHQWXP E\ DQWLFLSDWLQJ DQG WUDQVLWLRQLQJ UDSLGO\ EHWZHHQ DQ\ FRPELQDWLRQ RI
RIIHQVLYHGHIHQVLYHDQGVWDELOLW\WDVNV6RPHWLPHVFRPPDQGHUVSXVKWKHLUIRUFHWRLWVFXOPLQDWLQJSRLQWWR
WDNHPD[LPXPDGYDQWDJHRIDQRSSRUWXQLW\)RUH[DPSOHH[SORLWDWLRQVDQGSXUVXLWVPD\LQYROYHSXVKLQJ
DOODYDLODEOHIRUFHVWRWKHOLPLWVRIWKHLUHQGXUDQFH
 3URWHFWLRQ FRQWULEXWHV WR RSHUDWLRQDO UHDFK &RPPDQGHUV DQWLFLSDWH KRZ HQHP\ DFWLRQV DQG
HQYLURQPHQWDO IDFWRUV PLJKW GLVUXSW RSHUDWLRQV DQG WKHQ GHWHUPLQH WKH SURWHFWLRQ FDSDELOLWLHV UHTXLUHG WR
PDLQWDLQVXIILFLHQWUHDFK3URWHFWLRQFORVHO\UHODWHVWRHQGXUDQFHDQGPRPHQWXPDQGLWFRQWULEXWHVWRWKH
FRPPDQGHU¶VDELOLW\WRH[WHQGRSHUDWLRQVLQWLPHDQGVSDFH&RPPDQGHUVDQGVWDIIVFRQVLGHURSHUDWLRQDO
UHDFKWRHQVXUH$UP\IRUFHVDFFRPSOLVKWKHLUPLVVLRQVEHIRUHFXOPLQDWLQJ&RPPDQGHUVFRQWLQXDOO\VWULYH
WRH[WHQGRSHUDWLRQDOUHDFK
 )RUFHSRVWXUH LQFOXGLQJIRUFHVIRRWSULQWVDQGDJUHHPHQWV DIIHFWVRSHUDWLRQDOUHDFKDQGLWLVDQ
HVVHQWLDOPDQHXYHUUHODWHGFRQVLGHUDWLRQGXULQJWKHDWHUVWUDWHJ\GHYHORSPHQWDQGDGDSWLYHSODQQLQJ)RUFH
SRVWXUHLVWKHVWDUWLQJSRVLWLRQIURPZKLFKSODQQHUVGHWHUPLQHDGGLWLRQDOFRQWLQJHQF\EDVLQJUHTXLUHPHQWV
WRVXSSRUWVSHFLILFFRQWLQJHQF\SODQVDQGFULVLVDFWLRQUHVSRQVHV7KHVHUHTXLUHPHQWVGLUHFWO\VXSSRUWWKH
GHYHORSPHQW RI RSHUDWLRQDO OLQHV RI FRPPXQLFDWLRQV DQG OLQHV RI RSHUDWLRQV DQG WKH\ DIIHFW WKH FRPEDW
SRZHUDQGRWKHUFDSDELOLWLHVWKDWDMRLQWIRUFHFDQJHQHUDWH,QSDUWLFXODUWKHDUUDQJHPHQWDQGSRVLWLRQLQJRI
WHPSRUDU\FRQWLQJHQF\EDVHVVXSSRUWWKHDELOLW\RIDMRLQWIRUFHWRSURMHFWSRZHUE\VKLHOGLQJLWVFRPSRQHQWV
IURP HQHP\ DFWLRQ DQG LPSURYLQJ VRUWLH RU UHVXSSO\ UDWHV 3ROLWLFDO DQG GLSORPDWLF FRQVLGHUDWLRQV DIIHFW
EDVLQJGHFLVLRQV86IRUFHEDVLQJRSWLRQVVSDQDUDQJHIURPSHUPDQHQWO\EDVHGIRUFHVWRWHPSRUDU\VHD
EDVLQJWKDWDFFHOHUDWHVWKHGHSOR\PHQWDQGHPSOR\PHQWRIFDSDELOLWLHVLQGHSHQGHQWRILQIUDVWUXFWXUHDVKRUH

23(5$7,21$/029(0(17$1'0$1(89(5
7RUHPDLQVHSDUDWHGIRUDVORQJDVSRVVLEOHZKLOHRSHUDWLQJDQGWREHFRQFHQWUDWHGLQ
JRRGWLPHIRUWKHGHFLVLYHEDWWOHWKDWLVWKHWDVNRIWKHOHDGHURIODUJHPDVVHVRIWURRSV
)LHOG0DUVKDO+HOPXWKYRQ0ROWNHWKH(OGHU

 2SHUDWLRQDOPRYHPHQWDQGPDQHXYHUFRPELQHVJOREDOIRUFHSURMHFWLRQZLWKPDQHXYHUDJDLQVWDQ
RSHUDWLRQDOO\VLJQLILFDQWREMHFWLYHDVVKRZQLQILJXUHRQSDJH7KLVH[DPSOHUHTXLUHVVWUDWHJLFUHDFK
WKDW GHSOR\V PDQHXYHUDEOH ODQG SRZHU WR DQ RSHUDWLRQDO DUHD LQ D SRVLWLRQ RI DGYDQWDJH 2SHUDWLRQDO
PRYHPHQW DQG PDQHXYHU UHTXLUHV HQRXJK RSHUDWLRQDO UHDFK WR H[HFXWH RSHUDWLRQV GHFLVLYHO\ ZLWKRXW DQ
RSHUDWLRQDO SDXVH 6XFFHVVIXO RSHUDWLRQDO PRYHPHQW DQG PDQHXYHU DOORZV D XQLW WR VHFXUH DQG GHIHQG D
ORGJPHQWGHYHORSVXSSRUWLQIUDVWUXFWXUHDQGEDVHFDPSVDQGUHFHLYHVWDJHDQGEXLOGXSIRUFHV6XFFHVV
GHPDQGV IXOOLQWHJUDWLRQRIDOODYDLODEOH PHDQVLQ D PXOWLGRPDLQDSSURDFK7KXVVXFFHVVIXORSHUDWLRQDO
PRYHPHQWDQGPDQHXYHUFRPELQHVIRUFHSURMHFWLRQZLWKODQGPDQHXYHUWRRSHUDWLRQDOGHSWKLQDQLQWHJUDWHG
FRQWLQXRXVRSHUDWLRQ

6 October 2017 FM 3-0 1-23


Chapter 1

Figure 1-5. Operational maneuver from strategic distance

 7KHPRVWGLIILFXOWIRUPRIRSHUDWLRQDOPDQHXYHUIURPVWUDWHJLFGLVWDQFHSURMHFWVIRUFHVGLUHFWO\IURP
WKH8QLWHG6WDWHVLQWRDQRSHUDWLRQDODUHD([DPSOHVRIWKLVRSHUDWLRQDOPDQHXYHUIURPVWUDWHJLFGLVWDQFH
LQFOXGHWKHLQYDVLRQRI1RUWK$IULFDDQGWKHLQWHUYHQWLRQLQ6RPDOLDZKHQIRUFHVZHUHSURMHFWHG
IURPWKH8QLWHG6WDWHVDQGGHSOR\HGGLUHFWO\LQWRDQRSHUDWLRQDODUHD,QPDQ\FDVHVRSHUDWLRQDOPDQHXYHU
IURPVWUDWHJLFGLVWDQFHUHTXLUHVLQWHUPHGLDWHVWDJLQJEDVHV)URPWKHVHEDVHVRSHUDWLRQDOPDQHXYHUGHYHORSV
XVLQJLQWUDWKHDWHUOLIWDQG$UP\PDQHXYHUFDSDELOLWLHV

(;3(',7,21$5<&$3$%,/,7<
 6ZLIWFDPSDLJQVKRZHYHUGHVLUDEOHDUHWKHH[FHSWLRQ:KHQREMHFWLYHVLQYROYHGHVWUR\LQJODUJH
HQHP\ IRUFHV GRPLQDWLQJ WHUUDLQ DQG FRQWUROOLQJ SRSXODWLRQV VXFFHVV XVXDOO\ UHTXLUHV HPSOR\LQJ ODQG
SRZHUIRUVLJQLILFDQWSHULRGV7KHUHIRUHWKH$UP\UHTXLUHVDQH[SHGLWLRQDU\FDSDELOLW\DQGWKHHQGXUDQFHWR
SUHYDLOLQSURWUDFWHGFRQIOLFWDJDLQVWGHWHUPLQHGHQHPLHV
 ([SHGLWLRQDU\FDSDELOLWLHVEHJLQ ZLWKD PLQGVHWWKDWSHUYDGHVWKHIRUFH)RUZDUGGHSOR\HGXQLWV
IRUZDUG SRVLWLRQHG FDSDELOLWLHV DQG IRUFH SURMHFWLRQ²IURP DQ\ZKHUH LQ WKH ZRUOG²FRQWULEXWH WR WKH
$UP\¶V H[SHGLWLRQDU\ FDSDELOLWLHV ([SHGLWLRQDU\ FDSDELOLW\ LV PRUH WKDQ WKH DELOLW\ WR GHSOR\ TXLFNO\ ,W
UHTXLUHVGHSOR\LQJWKHULJKWPL[RI$UP\IRUFHVWRWKHULJKWSODFHDWWKHULJKWWLPH([SHGLWLRQDU\FDSDELOLW\
SURYLGHV-)&VZLWKWKHDELOLW\WRGHWHUDQDGYHUVDU\RUWDNHGHFLVLYHDFWLRQLIGHWHUUHQFHIDLOV
 &RPPDQGHUV FRQVLGHU WKHLU IRUFHV IURP RSHUDWLRQDO DQG WDFWLFDO SHUVSHFWLYHV DQG WKH\ HQVXUH
GHSOR\HG $UP\ IRUFHV SRVVHVV VXIILFLHQW FRPEDW SRZHU WR VXFFHHG ([SHGLWLRQDU\ ZDUIDUH EDODQFHV WKH
DELOLW\ WR PDVV OHWKDO HIIHFWV DJDLQVW WKH UHTXLUHPHQWV WR GHSOR\ VXSSRUW DQG VXVWDLQ XQLWV &RPPDQGHUV

1-24 FM 3-0 6 October 2017


Overview of Army Operations

assemble force packages that maximize the lethality of initial-entry forces. Commanders tailor follow-on
forces to increase both the lethality and operational reach of the entire force.
1-113. Deploying commanders integrate protection capabilities to ensure mission accomplishment and
increase the survivability of deployed Army forces. As with the other attributes, lift constraints and time
available may complicate integration of protection capabilities. In many operations, rapid offensive action to
seize the initiative may better protect forces than extensive defensive positions around lodgments.

FORCE PROJECTION
1-114. Force projection is the military component of power projection. It is central to the National Military
Strategy. Speed is paramount; force projection is a race between friendly forces and enemy or adversary
forces. The side that most rapidly builds combat power can seize the initiative. Thus, it is not the velocity of
individual stages or transportation means that are decisive; it is a combat-ready force deployed to an
operational area before an enemy is prepared to act or before the situation deteriorates further.
1-115. Commanders visualize force projection as one seamless operation. Deployment speed sets the initial
tempo of military activity in an operational area. Commanders understand how speed, sequence, and mix of
deploying forces affect their employment options. Commanders prioritize the mix of forces on the time
phased force and deployment list to project forces into an operational area where and when required. Singular
focus on the land component, to the exclusion of complementary joint capabilities, can result in incorrect
force sequencing.
1-116. Force projection encompasses five processes: mobilization, deployment, employment, sustainment,
and redeployment. These processes occur in a continuous, overlapping, and repeating sequence throughout
an operation. Force projection operations are inherently joint. They require detailed planning and
synchronization. Sound, informed decisions made early about force projection may determine a campaign’s
success. (See chapter 4 for a discussion of force projection.)

ENTRY OPERATIONS
1-117. Attaining operational reach often requires gaining and maintaining operational access in the face of
enemy A2 and AD capabilities and actions. Commanders conduct forcible entry operations to seize and hold
a military lodgment in the face of armed opposition. Once an assault force seizes a lodgment, it normally
defends to retain it, while the JFC rapidly deploys additional combat power by air and sea. When conditions
are favorable, JFCs may combine a forcible entry with other offensive operations in a coup de main. This
action can achieve the strategic objectives in a simultaneous major operation. For example, the 1989 invasion
of Panama demonstrated operational maneuver from strategic distance in a coup de main.
1-118. A forcible entry operation can be by parachute, air, or amphibious assault. The Army’s parachute
assault and air assault forces provide a formidable forcible entry capability. Marine Corps forces specialize
in amphibious assault; they also conduct air assaults as part of amphibious operations. Special operations
forces (SOF) play an important role in forcible entry; they conduct shaping operations in support of
conventional forces while executing their own missions. These capabilities permit JFCs to overwhelm enemy
A2 measures and quickly insert combat power. The entry force either resolves the situation or secures a
lodgment for delivery of larger forces by aircraft or ships. The three forms of forcible entry produce
complementary and reinforcing effects that help JFCs seize the initiative early in a campaign.
1-119. Forcible entry operations are inherently complex and always joint. Often only hours separate the
alert from the deployment. The demands of simultaneous deployment and employment create a distinct set
of dynamics. Operations are carefully planned and rehearsed in training areas and marshalling areas.
Personnel and equipment are configured for employment upon arrival without reception, staging, onward
movement, and integration (RSOI). (See JP 3-18 for doctrine on joint forcible entry operations.)

OPERATIONAL FRAMEWORK
1-120. An operational framework is a cognitive tool used to assist commanders and staffs in clearly
visualizing and describing the application of combat power in time, space, purpose, and resources in the
concept of operations (ADP 1-01). The operational framework provides an organizing construct for

6 December 2017 FM 3-0, C1 1-25


Chapter 1

visualizing and describing operations by echelon in time and space within the context of an AO, area of
influence, and area of interest. It provides a logical architecture for determining the responsibilities,
permissions, and restrictions for subordinate echelons, and by doing so enables freedom of action and unity
of effort. When used in conjunction with effective operational graphics, it provides commanders the ability
to provide intent, develop shared visualization, and ultimately create the shared understanding necessary for
the exercise of initiative at every echelon.
1-121. +The operational framework has four components. First, commanders are assigned an AO for the
conduct of operations, from which, in turn, they assign AOs to subordinate units based on their visualization
of the operation. Units should be assigned AOs commensurate with their ability to influence what happens
within them. Second, within their assigned AO, commanders can designate deep, close, support, and
consolidation areas to describe the physical arrangement of forces in time, space, and purpose. Third, within
an AO, commanders conduct decisive, shaping, and sustaining operations to articulate an operation in terms
of purpose. Finally, commanders designate the main and supporting efforts to designate the shifting and
prioritization of resources.

OPERATIONAL FRAMEWORK CONSIDERATIONS


1-122. When establishing their operational framework, commanders and staffs consider the physical,
temporal, virtual, and cognitive aspects of their own AO, their higher echelon’s AO, and subordinate AOs.
The physical, temporal, virtual, and cognitive aspects of an operational framework vary in terms of focus and
priority depending upon the echelon, force capabilities, and the OE.

Physical Considerations
1-123. Physical considerations include geography, terrain, infrastructure, populations, distance, weapons
ranges and effects, and known enemy locations. They also include other related factors that influence the use
of friendly or enemy capabilities, such as climate and weather. When considering physical aspects,
commanders and staffs look beyond the land domain. They look into each domain for relevant physical
aspects and pay particular attention to the physical dimension of the information environment.

Temporal Considerations
1-124. Temporal considerations relate to those things related to time, including when capabilities can be
used, how long they take to generate and employ, and how long they must be used to achieve desired effects.
Temporal considerations largely inform commanders and staffs about when to start necessary movement,
activities, or requests for effects at each echelon. Temporal considerations cross the physical domains and
the dimensions of the information environment. For example, understanding the cognitive dimension of the
information environment helps commanders determine operational tempo to prevent an enemy from making
timely decisions.

Virtual Considerations
1-125. Virtual considerations are those pertaining to activities, capabilities, and effects relevant to the layers
of cyberspace. When not addressed, virtual capabilities provide a form of sanctuary for adversaries and
enemies. Commanders assign responsibilities, priorities, and desired effects across the operational
framework. They consider what entities are present, what must be protected, what should be attacked, and
the effects they want to generate. Friendly examples include the availability and methods of employment for
offensive and defensive cyber capabilities, as well as other capabilities that can be used to target a threat.
Threat examples include the identification of virtual systems, entities, formations and persons for targeting
or countering in order to enable friendly freedom of action. Virtual entities or activities can include banking,
virtual organizations, and recruiting that generate effects in the physical world.

Cognitive Considerations
1-126. Cognitive considerations relate to people and how they behave. They include unit morale and
cohesiveness, as well as perspectives and decision making. Cognitive considerations should account for both
the current situation and desired outcomes to ensure tasks, purpose, and end state are aligned. Commanders

1-26 FM 3-0, C1 6 December 2017


2YHUYLHZRI$UP\2SHUDWLRQV

FRQVLGHU WKH SHUVRQDO FDSDELOLWLHV RI WKHLU VXERUGLQDWHV DQG DGYHUVDULHV DQG WKH DWWLWXGHV RI FLYLOLDQ
SRSXODWLRQV UHOHYDQW WR RSHUDWLRQV 3K\VLFDO YLUWXDO DQG LQIRUPDWLRQ UHODWHG FDSDELOLWLHV DOO LQIOXHQFH
IULHQGO\DGYHUVDU\DQGHQHP\EHKDYLRU&RJQLWLYHFRQVLGHUDWLRQVUHODWHWRGHFLVLRQPDNLQJERWKIULHQGO\
DQGHQHP\DQGWKHSHUFHSWLRQVDQGEHKDYLRURISRSXODWLRQVDQGWKHHQHP\

-2,1723(5$7,21$/$5($6
 $UP\IRUFHVDUHDVVLJQHG$2VZLWKLQDMRLQWRUJDQL]DWLRQDOFRQVWUXFW$VVXFKLWLVLPSRUWDQWWKDW
$UP\FRPPDQGHUVDQGVWDIIVXQGHUVWDQGWKHYDULRXVRSWLRQV-)&VKDYHLQRUJDQL]LQJRSHUDWLRQDODUHDV-RLQW
RSHUDWLRQDODUHDVLQFOXGH²
z $25V
z 7KHDWHURIZDU
z 7KHDWHURIRSHUDWLRQV
z -RLQWRSHUDWLRQVDUHD -2$ 
z -RLQWVSHFLDORSHUDWLRQVDUHD -62$ 
z -RLQWVHFXULW\DUHD -6$ 
z $PSKLELRXVRSHUDWLRQDODUHD
z $2

)LJXUHRQSDJHGHSLFWVDQRWLRQDOFRPEDWDQWFRPPDQGHU¶V$25ZLWKVXERUGLQDWHRSHUDWLRQDODUHDV

$UHDRI5HVSRQVLELOLW\
 $Q$25LVHVWDEOLVKHGE\WKH8QLILHG&RPPDQG3ODQWKDWGHILQHVJHRJUDSKLFUHVSRQVLELOLWLHVIRUD
*&& $25LVV\QRQ\PRXV ZLWKWKHWHUPWKHDWHUDQGVKRXOGQRWEHFRQIXVHG ZLWKRWKHU RSHUDWLRQDODUHD
WHUPVVXFKDVWKHDWHURIRSHUDWLRQRU$22QO\D*&&LVDVVLJQHGDQ$25:LWKLQDQ$25WKHFRPEDWDQW
FRPPDQGHUH[HUFLVHVFRPEDWDQWFRPPDQG FRPPDQGDXWKRULW\  &2&20 RYHUDVVLJQHGIRUFHV$OO86
IRUFHVZLWKLQDQ$25 DVVLJQHGDWWDFKHGRSHUDWLRQDOFRQWURORULQWUDQVLWWKURXJKWKHUHJLRQ IDOOXQGHUWKH
FRQWURORIWKDWJHRJUDSKLFFRPEDWDQWFRPPDQGIRUDVORQJDVWKH\UHPDLQLQWKH$25
 *&&V FRQGXFW RSHUDWLRQV LQ WKHLU DVVLJQHG $25V :KHQ ZDUUDQWHG WKH 3UHVLGHQW 6HFUHWDU\ RI
'HIHQVHRU*&&VPD\GHVLJQDWHDWKHDWHURIZDURUDWKHDWHURIRSHUDWLRQVIRUHDFKRSHUDWLRQ *&&VFDQ
HOHFWWRFRQWURORSHUDWLRQVGLUHFWO\LQWKHVHRSHUDWLRQDODUHDVRUPD\HVWDEOLVKVXERUGLQDWHMRLQWIRUFHVIRU
WKHSXUSRVHZKLOHUHPDLQLQJIRFXVHGRQWKHEURDGHU$25

7KHDWHURI:DU
 $ WKHDWHU RI ZDU LV D JHRJUDSKLFDO DUHD HVWDEOLVKHG IRU WKH FRQGXFW RI PDMRU RSHUDWLRQV DQG
FDPSDLJQVLQYROYLQJFRPEDW$WKHDWHURIZDULVHVWDEOLVKHGSULPDULO\ZKHQWKHUHLVDIRUPDOGHFODUDWLRQRI
ZDURULWLVQHFHVVDU\WRHQFRPSDVVPRUHWKDQRQHWKHDWHURIRSHUDWLRQV RUD-2$DQGDVHSDUDWHWKHDWHURI
RSHUDWLRQV ZLWKLQDVLQJOHERXQGDU\IRUWKHSXUSRVHVRI&VXVWDLQPHQWSURWHFWLRQRUPXWXDOVXSSRUW$
WKHDWHURIZDUGRHVQRWQRUPDOO\HQFRPSDVVD*&&¶VHQWLUH$25EXWPD\FURVVWKHERXQGDULHVRIWZRRU
PRUH$25V

7KHDWHURI2SHUDWLRQV
 $ WKHDWHU RI RSHUDWLRQV LV DQ RSHUDWLRQDO DUHDGHILQHG E\ WKH *&& IRU WKH FRQGXFW RU VXSSRUW RI
VSHFLILFPLOLWDU\RSHUDWLRQV$WKHDWHURIRSHUDWLRQVLVHVWDEOLVKHGSULPDULO\ZKHQWKHVFRSHRIWKHRSHUDWLRQ
LQWLPHVSDFHSXUSRVHDQGHPSOR\HGIRUFHVH[FHHGVZKDWD-2$FDQQRUPDOO\DFFRPPRGDWH0RUHWKDQ
RQHMRLQWIRUFHKHDGTXDUWHUVFDQH[LVWLQDWKHDWHURIRSHUDWLRQV$*&&PD\HVWDEOLVKRQHRUPRUHWKHDWHUV
RI RSHUDWLRQV 'LIIHUHQW WKHDWHUV ZLOO QRUPDOO\ EH IRFXVHG RQ GLIIHUHQW PLVVLRQV $ WKHDWHU RI RSHUDWLRQV
W\SLFDOO\ LV VPDOOHU WKDQ D WKHDWHU RI ZDU EXW LV ODUJH HQRXJK WR DOORZ IRU RSHUDWLRQV LQ GHSWK DQG RYHU
H[WHQGHG SHULRGV RI WLPH 7KHDWHUV RI RSHUDWLRQV DUH QRUPDOO\ DVVRFLDWHG ZLWK PDMRU RSHUDWLRQV DQG
FDPSDLJQVDQGPD\FURVVWKHERXQGDU\RIWZR$25V

6 October 2017 FM 3-0 1-27


Chapter 1

-RLQW2SHUDWLRQV$UHD
 )RURSHUDWLRQVVRPHZKDWOLPLWHGLQVFRSHDQGGXUDWLRQRUIRUVSHFLDOL]HGDFWLYLWLHVWKHFRPPDQGHU
FDQHVWDEOLVKD-2$$-2$LVDQDUHDRIODQGVHDDQGDLUVSDFHGHILQHGE\D*&&RUVXERUGLQDWHXQLILHG
FRPPDQGHULQZKLFKD-)& QRUPDOO\DMRLQWWDVNIRUFH>-7)@ FRQGXFWVPLOLWDU\RSHUDWLRQVWRDFFRPSOLVKD
VSHFLILFPLVVLRQ-2$VDUHSDUWLFXODUO\XVHIXOZKHQRSHUDWLRQVDUHOLPLWHGLQVFRSHDQGJHRJUDSKLFDUHDRU
ZKHQRSHUDWLRQVDUHWREHFRQGXFWHGRQWKHERXQGDULHVEHWZHHQWKHDWHUV

-RLQW6SHFLDO2SHUDWLRQV$UHD
 $-62$LVDQDUHDRIODQGVHDDQGDLUVSDFHDVVLJQHGE\D-)&WRWKHFRPPDQGHURI62)WRFRQGXFW
VSHFLDORSHUDWLRQVDFWLYLWLHV,WPD\EHOLPLWHGLQVL]HWRDFFRPPRGDWHDGLVFUHHWGLUHFWDFWLRQPLVVLRQRUPD\
EHH[WHQVLYHHQRXJKWRDOORZDFRQWLQXLQJEURDGUDQJHRIXQFRQYHQWLRQDOZDUIDUHRSHUDWLRQV$-62$LV
GHILQHG E\ D -)& ZKR KDV JHRJUDSKLF UHVSRQVLELOLWLHV -)&V PD\ XVH D -62$ WR GHOLQHDWH DQG IDFLOLWDWH
VLPXOWDQHRXVFRQYHQWLRQDODQGVSHFLDORSHUDWLRQV7KHMRLQWIRUFHVSHFLDORSHUDWLRQVFRPSRQHQWFRPPDQGHU
LVWKHVXSSRUWHGFRPPDQGHUZLWKLQWKH-62$

-RLQW6HFXULW\$UHD
 $-6$LVDVSHFLILFVXUIDFHDUHDGHVLJQDWHGE\WKH-)&DVFULWLFDOWKDWIDFLOLWDWHVSURWHFWLRQRIMRLQW
EDVHV DQG VXSSRUWV YDULRXV DVSHFWV RI MRLQW RSHUDWLRQV VXFK DV OLQHV RI FRPPXQLFDWLRQ IRUFH SURMHFWLRQ
PRYHPHQW FRQWURO VXVWDLQPHQW & DLUEDVHV DQG DLUILHOGV VHDSRUWV DQG RWKHU DFWLYLWLHV -6$V DUH QRW
QHFHVVDULO\FRQWLJXRXVZLWKDUHDVDFWLYHO\HQJDJHGLQFRPEDW-6$VPD\LQFOXGHLQWHUPHGLDWHVXSSRUWEDVHV
DQGRWKHUVXSSRUWIDFLOLWLHVLQWHUPL[HGZLWKFRPEDWHOHPHQWV 6HH-3IRUDGGLWLRQDOJXLGDQFHRQ-6$V 

Figure 1-6. Joint operational areas within a theater

1-28 FM 3-0 6 October 2017


2YHUYLHZRI$UP\ 2SHUDWLRQV

$PSKLELRXV$UHD RI2SHUDWLRQV
 $QDPSKLELRXVDUHDRIRSHUDWLRQVLVDJHRJUDSKLFDUHDZLWKLQZKLFKLVORFDWHGWKHREMHFWLYH V WREH
VHFXUHGE\ WKH DPSKLELRXV IRUFH7KLV DUHD PXVW EH RI VXIILFLHQWVL]HWR HQVXUHDFFRPSOLVKPHQWRIWKH
DPSKLELRXV IRUFH¶VPLVVLRQDQG PXVW SURYLGH VXIILFLHQWDUHDIRUFRQGXFWLQJQHFHVVDU\ VHD DLU DQG ODQG
RSHUDWLRQV

/$1')25&( $5($2) 23(5$7,216


 $Q DUHDRIRSHUDWLRQVLVDQRSHUDWLRQDODUHDGHILQHGE\DFRPPDQGHUIRUODQGDQG PDULWLPHIRUFHV
WKDW VKRXOG EH ODUJH HQRXJK WR DFFRPSOLVKWKHLUPLVVLRQVDQG SURWHFWWKHLUIRUFHV -3  $2V GR QRW
W\SLFDOO\ HQFRPSDVVWKH HQWLUHRSHUDWLRQDODUHD RI WKH -)& EXW VKRXOG EH ODUJH HQRXJK IRU FRPSRQHQW
FRPPDQGHUVWRDFFRPSOLVKWKHLUPLVVLRQV LQFOXGLQJ D GHVLJQDWHG DPRXQW RIDLUVSDFH DQG SURWHFWWKHLU
IRUFHV &RPSRQHQW FRPPDQGHUV ZLWK $2V W\SLFDOO\ GHVLJQDWH VXERUGLQDWH $2V ZLWKLQ ZKLFK WKHLU
VXERUGLQDWHIRUFHVRSHUDWH7KHVHFRPPDQGHUVHPSOR\WKHIXOOUDQJHRIMRLQWDQG6HUYLFHFRQWUROPHDVXUHV
DQG JUDSKLFV DV FRRUGLQDWHG ZLWK RWKHU FRPSRQHQW FRPPDQGHUV DQG WKHLU UHSUHVHQWDWLYHV WR GHOLQHDWH
UHVSRQVLELOLWLHVGHFRQIOLFWRSHUDWLRQVDQGDFKLHYHXQLW\RIHIIRUW
 7KH ODQG FRPSRQHQWRU $5)25 FRPPDQGHU DVVLJQV VXERUGLQDWH $2V WR PDQHXYHU XQLWV 8QLW
UHVSRQVLELOLWLHVZLWKLQDQDVVLJQHG$2LQFOXGH²
z 7HUUDLQPDQDJHPHQW
z ,QIRUPDWLRQFROOHFWLRQ
z &LYLOPLOLWDU\RSHUDWLRQV
z 0RYHPHQWFRQWURO
z &OHDUDQFHRIILUHV
z 6HFXULW\
z 3HUVRQQHOUHFRYHU\
z $LUVSDFHFRQWURO
z 0LQLPXPHVVHQWLDOVWDELOLW\WDVNV
:LWKLQDQ$2 FRPPDQGHUVXVHFRQWUROPHDVXUHVWRDVVLJQUHVSRQVLELOLWLHVFRRUGLQDWHILUHVDQGPDQHXYHU
DQG RUJDQL]HRSHUDWLRQV7RIDFLOLWDWHWKLVLQWHJUDWLRQDQGV\QFKURQL]DWLRQFRPPDQGHUVGHVLJQDWHWDUJHWLQJ
SULRULW\HIIHFWVDQGWLPLQJZLWKLQWKHLU$2V
 8QGHUVWDQGLQJ WKH UHODWLRQVKLSEHWZHHQ DQ $2 DUHD RI LQIOXHQFH DQG DUHD RI LQWHUHVWDVVLVWV
FRPPDQGHUVLQGHYHORSLQJWKHLURSHUDWLRQDOIUDPHZRUN,WDOVRUHTXLUHVSK\VLFDOO\WHPSRUDOO\FRJQLWLYHO\
DQGYLUWXDOO\XQGHUVWDQGLQJRSHUDWLRQVLQGHSWK7KHSURSHUDSSOLFDWLRQRIWKHRSHUDWLRQDOIUDPHZRUNHQDEOHV
VLPXOWDQHRXVRSHUDWLRQVDQGFRQYHUJLQJRIHIIHFWVDJDLQVWDQHQHP\$QDUHDRILQIOXHQFHLVDJHRJUDSKLFDO
DUHDZKHUHLQDFRPPDQGHULVGLUHFWO\FDSDEOHRILQIOXHQFLQJRSHUDWLRQVE\PDQHXYHURUILUHVXSSRUWV\VWHPV
QRUPDOO\XQGHUWKHFRPPDQGHU¶VFRPPDQG RUFRQWURO -3 8QGHUVWDQGLQJ DQ DUHD RILQIOXHQFHKHOSV
FRPPDQGHUVDQGVWDIIVSODQEUDQFKHVWRWKHFXUUHQWRSHUDWLRQLQZKLFKWKHIRUFHXVHVFDSDELOLWLHVRXWVLGHWKH
$2 $Q $2 VKRXOGQRWEHVXEVWDQWLDOO\ODUJHUWKDQD XQLW¶VDUHDRILQIOXHQFH,GHDOO\DQ DUHDRILQIOXHQFH
ZRXOGHQFRPSDVVWKHHQWLUH$2$Q$2WKDWLVWRRODUJHIRUDXQLWWRFRQWUROFDQDOORZVDQFWXDULHVIRUHQHP\
IRUFHVFUHDWHVIULHQGO\YXOQHUDELOLWLHVDQGSRVLWLRQVRIDGYDQWDJHIRUWKHHQHP\WRH[SORLWDQGPD\OLPLWMRLQW
IOH[LELOLW\$QDUHDRILQWHUHVWLVWKDWDUHDRIFRQFHUQWRWKHFRPPDQGHULQFOXGLQJWKHDUHDRILQIOXHQFHDUHDV
DGMDFHQWWKHUHWRDQGH[WHQGLQJLQWRHQHP\WHUULWRU\ -3 7KLVDUHDDOVRLQFOXGHVDUHDVRFFXSLHGE\HQHP\
IRUFHVZKRFRXOGMHRSDUGL]HWKHDFFRPSOLVKPHQWRIWKHPLVVLRQ$Q DUHDRILQWHUHVWIRUVWDELOLW\WDVNVPD\
EHPXFKODUJHUWKDQ WKDWDUHDDVVRFLDWHGZLWK WKHRIIHQVHDQGGHIHQVH&RJQLWLYHDQG YLUWXDO DVSHFWVRIDQ
DUHDRILQWHUHVWDUHRIWHQEURDGHUWKDQSK\VLFDODVSHFWV
 &RPPDQGHUVDVVLJQVXERUGLQDWHVUHVSRQVLELOLW\IRUSDUWLFXODUDUHDVLQ RUGHUWRFUHDWHIUHHGRPRI
DFWLRQJHQHUDWHUDSLGWHPSRDQG EHVWXVHDYDLODEOH FRPEDWSRZHU6RPHFDSDELOLWLHVOLNHF\EHUVSDFHDQG
LQIRUPDWLRQRSHUDWLRQVFDQSRWHQWLDOO\JHQHUDWHHIIHFWVIDURXWVLGHDVVLJQHG$2VIRUWDFWLFDOXQLWV$VVXFK
UHWDLQLQJWKHFDSDELOLWLHVDQG WKHDXWKRULW\IRUWKHLUHPSOR\PHQWDWFRUSVRUKLJKHUHFKHORQVIUHHVGLYLVLRQ
DQG EULJDGH OHDGHUVWRIRFXVRQ WKH H[WUHPHO\GHPDQGLQJ OHWKDODQG SK\VLFDO DVSHFWVRIFORVHDQG GHHS
RSHUDWLRQV+RZHYHUSURYLGLQJFDSDELOLW\WKDWFDQQRWEHXVHGHIIHFWLYHO\RUHQFXPEHUVDSDUWLFXODUHFKHORQ
LVZDVWHIXORIFRPEDWSRZHU

6 December 2017 FM 3-0, C1 1-29


Chapter 1

 :KHQDVVLJQLQJ$2VHDFKKHDGTXDUWHUVHQVXUHVLWVVXERUGLQDWHKHDGTXDUWHUV¶FDSDELOLWLHVDOLJQZLWK
WKHLU VSDQ RI FRQWURODQG PLVVLRQV7KH ZD\ LQ ZKLFK KHDGTXDUWHUV JUDSKLFDOO\ SRUWUD\ WKH RSHUDWLRQDO
IUDPHZRUNDQG DOORFDWHUHVRXUFHVWRDFFRPSOLVKPLVVLRQVLQWLPHDQG VSDFHGULYHVWKHSDFHRIRSHUDWLRQV
+LJKHUHFKHORQKHDGTXDUWHUVFUHDWHWKHFRQGLWLRQVIRUVXERUGLQDWHHFKHORQVWRVXFFHHG&RPPDQGHUVDQG
VWDIIVFRQVLGHUWKHUHOLDEOHDYDLODELOLW\ RIQHWZRUNVHIIHFWLYHVSDQ RIOHDGHUFRQWUROWKHWHPSRUDOIRFXVDW
GLIIHUHQWHFKHORQVWKHLPSDFWRIOHWKDOLW\DQG VWUHVVRQGHFLVLRQPDNLQJLGHQWLILFDWLRQRIWDUJHWVDSSURYDO
OHYHOVDQG WLPLQJFRQVWUDLQWVIRUHIIHFWVGHOLYHU\VXVWDLQPHQWUHTXLUHPHQWVSK\VLFDODQG HOHFWURPDJQHWLF
VLJQDWXUHVDLUVSDFHFRQWURODQGFOHDUDQFHRIILUHV7KHVHFRQVLGHUDWLRQVLQIRUPFRPPDQGHUGHFLVLRQVDERXW
ZKHUH FDSDELOLWLHVDUH ORFDWHGLQ IRUPDWLRQVDQG ZKR KDV XOWLPDWHUHVSRQVLELOLW\IRUWKHLUPRVWHIIHFWLYH
HPSOR\PHQW

&ORVH'HHS6XSSRUWDQG&RQVROLGDWLRQ$UHDV
$QGWRFRQWUROPDQ\LVWKHVDPHDVWRFRQWUROIHZ7KLVLVD PDWWHURIIRUPDWLRQVDQG
VLJQDOV
6XQ7]X

 &RPPDQGHUV GHVLJQDWH FORVH GHHS VXSSRUW DQG FRQVROLGDWLRQ DUHDV WR GHVFULEH WKH SK\VLFDO
DUUDQJHPHQWRIIRUFHVLQWLPHVSDFHDQGIRFXV&RPPDQGHUVZLOODOZD\VGHVLJQDWHDFORVHDUHDDQGDVXSSRUW
DUHD7KH\ GHVLJQDWHDGHHSDUHDDQGFRQVROLGDWLRQDUHDDVUHTXLUHG7KH HFKHORQDERYHFRUSV QRUPDOO\WKH
ODQG FRPSRQHQWFRPPDQGHU GHVLJQDWHVWKH FRUSV¶$2 ,Q DGGLWLRQWRIODQN DQG UHDUERXQGDULHVD FRUSV
IRUZDUGERXQGDU\ DSKDVHOLQH FRXOGEHXVHGWRGHSLFWWKHJHRJUDSKLFH[WHQWRIWKHFRUSV¶UHVSRQVLELOLWLHV
7KLVSKDVHOLQHLVDGMXVWHGDVUHTXLUHG
 )LJXUHGHSLFWVDFRUSV$2 RUJDQL]HGLQWRFORVHGHHSVXSSRUWDQGFRQVROLGDWLRQDUHDV ZLWKLQ
DWKHDWHURIRSHUDWLRQV:LWKLQWKHWKHDWHURIRSHUDWLRQVWKHFRUSVLVVXSSRUWHGIURPWKH-6$7KHMRLQWIRUFH
DQG FRUSVDOVRUHFHLYHVVXSSRUWIURPRXWVLGHWKHWKHDWHURIRSHUDWLRQVIURPWKHVWUDWHJLFVXSSRUWDUHD7KH
VWUDWHJLFVXSSRUW DUHD GHVFULEHVWKH DUHD H[WHQGLQJ IURPD WKHDWHURI ZDU RU WKHDWHURI RSHUDWLRQVWR D
FRQWLQHQWDO8QLWHG6WDWHV &2186  EDVHRUDQRWKHUFRPEDWDQW¶V$25 WKDW FRQWDLQVWKRVHRUJDQL]DWLRQV
OLQHVRIFRPPXQLFDWLRQDQG RWKHUDJHQFLHVUHTXLUHGWRVXSSRUWIRUFHVLQRSHUDWLRQV7KH VWUDWHJLFVXSSRUW
DUHDLQFOXGHVWKHDLUDQGVHDSRUWVVXSSRUWLQJWKHIORZRIIRUFHVDQGVXVWDLQPHQWLQWRWKHWKHDWHU

+Figure 1-7. Corps area of operations within a theater of operations

 7KH FRUSVKHDGTXDUWHUVJHRJUDSKLFDOO\GLYLGHVLWV$2 LQWRVXEDUHDVLQZKLFKGHHSFORVHVXSSRUW


DQG FRQVROLGDWHJDLQV RSHUDWLRQVDUHFRQGXFWHG7KH XVH RIXQLW ERXQGDULHVGHOLQHDWHVUHVSRQVLELOLWLHVRI
VXERUGLQDWHXQLWV WKHFRUSV GLYLVLRQVDQG VHSDUDWHEULJDGHV IDFLOLWDWHVFRQWURODQG HQDEOHVIUHHGRPRI

1-30 FM 3-0, C1 6 December 2017


2YHUYLHZRI$UP\2SHUDWLRQV

DFWLRQ7KHFRUSVKHDGTXDUWHUVSODQVIRUDQGDGMXVWVVXERUGLQDWHXQLWERXQGDULHV LQFOXGLQJIRUZDUGUHDU
DQGODWHUDOERXQGDULHV DQGILUHVXSSRUWFRRUGLQDWLRQPHDVXUHVEDVHGRQFKDQJHVLQWKHVLWXDWLRQ
 7KHSODFHPHQWRIWKHILUHVXSSRUWFRRUGLQDWLRQOLQH )6&/ LVDNH\FRQVLGHUDWLRQIRUGHFRQIOLFWLQJ
RSHUDWLRQV LQ WKH GHHS DUHD 7KH ILUH VXSSRUW FRRUGLQDWLRQ OLQH LV D ILUH VXSSRUW FRRUGLQDWLRQ PHDVXUH
HVWDEOLVKHGE\WKHODQGRUDPSKLELRXV IRUFHFRPPDQGHUWRVXSSRUWFRPPRQREMHFWLYHVZLWKLQDQDUHDRI
RSHUDWLRQEH\RQGZKLFKDOOILUHVPXVWEHFRRUGLQDWHGZLWKDIIHFWHGFRPPDQGHUVSULRUWRHQJDJHPHQWDQG
VKRUW RI WKH OLQH DOO ILUHV PXVW EH FRRUGLQDWHG ZLWK WKH HVWDEOLVKLQJ FRPPDQGHU SULRU WR HQJDJHPHQW
-3 7KHDUHDEHWZHHQWKHIURQWOLQHRIRZQWURRSV )/27 DQGWKH)6&/LVW\SLFDOO\WKHDUHDRYHU
ZKLFKIULHQGO\JURXQGIRUFHVLQWHQGWRPDQHXYHULQWKHQHDUIXWXUH7KHFRUSVFRRUGLQDWHVIRUDQGFRQWUROV
ILUHV LQ WKLV DUHD %H\RQG WKH )6&/ WKH FRUSV QRPLQDWHV WDUJHWV WR WKH ODQG FRPSRQHQW FRPPDQGHU DQG
FRRUGLQDWHVIRUMRLQWLQWHUGLFWLRQ,QWHUGLFWLRQLVDQDFWLRQWRGLYHUWGLVUXSWGHOD\RUGHVWUR\WKHHQHP\¶V
PLOLWDU\VXUIDFHFDSDELOLW\EHIRUHLWFDQEHXVHGHIIHFWLYHO\DJDLQVWIULHQGO\IRUFHVRUWRRWKHUZLVHDFKLHYH
REMHFWLYHV -3 
 6XERUGLQDWHXQLW$2VPD\EHFRQWLJXRXVRUQRQFRQWLJXRXV:KHQ$2VDUHFRQWLJXRXVDERXQGDU\
VHSDUDWHVWKHP VHHILJXUHRQSDJH :KHQ$2VDUHQRQFRQWLJXRXVWKH\GRQRWVKDUHDERXQGDU\
VHHILJXUHRQSDJH WKHFRQFHSWRIRSHUDWLRQVOLQNVWKHHOHPHQWVRIWKHIRUFH7KHKLJKHUHFKHORQ
KHDGTXDUWHUVLVUHVSRQVLEOHIRUWKHDUHDEHWZHHQQRQFRQWLJXRXV$2V

Close Area
 7KHFORVHDUHDLVWKHSRUWLRQRIDFRPPDQGHU¶VDUHDRIRSHUDWLRQVDVVLJQHGWRVXERUGLQDWHPDQHXYHU
IRUFHV $'53 2SHUDWLRQVLQWKHFORVHDUHDDUHRSHUDWLRQVWKDWDUHZLWKLQDVXERUGLQDWHFRPPDQGHU¶V
$2&RPPDQGHUVSODQWRFRQGXFWGHFLVLYHRSHUDWLRQVXVLQJPDQHXYHULQWKHFORVHDUHDDQGWKH\SRVLWLRQ
PRVWRIWKHPDQHXYHUIRUFHZLWKLQLW:LWKLQWKHFORVHDUHD RQHXQLWPD\FRQGXFWWKH GHFLVLYHRSHUDWLRQ
ZKLOHRWKHUVFRQGXFWVKDSLQJRSHUDWLRQV QRWWREHFRQIXVHGZLWKWKH$UP\RSHUDWLRQVWRVKDSHGLVFXVVHGLQ
FKDSWHU $FORVHRSHUDWLRQUHTXLUHVVSHHGDQGPRELOLW\WRUDSLGO\FRQFHQWUDWHRYHUZKHOPLQJFRPEDWSRZHU
DWWKHULJKWWLPHDQGSODFHDQGWRH[SORLWVXFFHVV
 7KH FRUSVFORVH RSHUDWLRQVFRQVLVWRIWKHFXUUHQWEDWWOHVDQGHQJDJHPHQWVRILWV PDMRUPDQHXYHU
XQLWV WRJHWKHU ZLWK WKH VXVWDLQPHQW DQG SURWHFWLRQ DFWLYLWLHV VXSSRUWLQJ WKRVH XQLWV 7KH FRUSV FORVH
RSHUDWLRQV LQFOXGH WKH FORVH GHHS VXSSRUW DQG FRQVROLGDWLRQ RSHUDWLRQV RI LWV FRPPLWWHG GLYLVLRQV DQG
VHSDUDWH PDQHXYHU EULJDGHV &RUSV KHDGTXDUWHUV IRFXV RQ DVVLJQLQJ WDVNV DQG UHVRXUFLQJ GLYLVLRQV ZLWK
FDSDELOLWLHV WKDW KHOS LGHQWLI\ ZLQGRZV RI RSSRUWXQLW\ SDUWLFXODUO\ LQ LQIRUPDWLRQ FROOHFWLRQ F\EHUVSDFH
RSHUDWLRQVDQGHOHFWURQLFZDUIDUH7KHFRUSVKHDGTXDUWHUVUHLQIRUFHVGLYLVLRQVZLWKVXSSRUWLQJFDSDELOLWLHV
LQFOXGLQJ ILUHV DQG DYLDWLRQ ,Q WHPSRUDO WHUPV FXUUHQW SODQQLQJ HQVXUHV WKH VXFFHVV RI WKH GLYLVLRQV E\
SRVLWLYHO\LQIOXHQFLQJFRQGLWLRQVLQWKHFRUSVGHHSDUHDZKLOHSUHSDULQJWRH[SORLWVXFFHVVZLWKEUDQFKSODQV
DQGVHTXHOVIRUGLYLVLRQVWRH[HFXWH&RUSVKHDGTXDUWHUVIRFXVRQZKDWGLYLVLRQKHDGTXDUWHUVFDQQRW
 $ GLYLVLRQ¶V FORVH RSHUDWLRQV FRQVLVW RI WKH FXUUHQW EDWWOHV DQG HQJDJHPHQWV RI LWV PDQHXYHU
EULJDGHV7KHGLYLVLRQKHDGTXDUWHUVIRFXVHVRQLQIRUPDWLRQFROOHFWLRQVXVWDLQPHQWDQGSODQQLQJWKDWHQDEOH
IUHHGRPRIDFWLRQIRUWKHEULJDGHVLQFORVHRSHUDWLRQV7KHGLYLVLRQKHDGTXDUWHUVDOVRSURYLGHVRUFRRUGLQDWHV
FDSDELOLWLHVLQVXSSRUWRILWV%&7VVXFKDVILHOGDUWLOOHU\DLUDQGPLVVLOHGHIHQVHDYLDWLRQVXSSRUWHOHFWURQLF
ZDUIDUHPRELOLW\DQGMRLQWILUHVWRHLWKHUVKDSHFORVHRSHUDWLRQVWKURXJKRSHUDWLRQVLQWKHGLYLVLRQGHHSDUHD
RU UHLQIRUFH %&7V LQ FORVH RSHUDWLRQV ,Q WHPSRUDO WHUPV FXUUHQW SODQQLQJ LV IRFXVHG RQ WKRVH WKLQJV
KDSSHQLQJ LQ WKH GHHS DUHD WKDW FDQ HQDEOH VXFFHVV LQ WKH FORVH DUHD DFURVV WKH ZDUILJKWLQJ IXQFWLRQV 
'LYLVLRQFRPPDQGHUVFRPPLWWKHLUUHVHUYHVWRH[SORLWRSSRUWXQLWLHVRUWRFRXQWHUWKUHDWVLQWKHFORVHDUHD
7KHGLYLVLRQKHDGTXDUWHUVVHHNVWRIDFLOLWDWHEULJDGHSRVLWLRQVRIDGYDQWDJHIRUH[SORLWDWLRQ
 7KHGLYLVLRQFORVHDUHDLVSULPDULO\ZKHUHEULJDGHVRSHUDWH%ULJDGHVIRFXVRQUHFRQQDLVVDQFHDQG
VHFXULW\ GHIHQGLQJ DUHDV DQG VHFXULQJ RU VHL]LQJ REMHFWLYHV 7KH NH\ WR VXFFHVVIXO FORVH RSHUDWLRQV LV
SODQQLQJWKDWIDFLOLWDWHVUDSLGGHFLVLRQPDNLQJWRH[SORLWRSSRUWXQLWLHVPDVVLQGLUHFWDQGGLUHFWILUHVSURSHUO\
XVH WHUUDLQ PLQLPL]H YLVXDO DQG (06 VLJQDWXUHV GLVSHUVH DQG UDSLGO\ PDQHXYHU SURWHFW QHWZRUNV DQG
VXVWDLQ EULJDGHV :HDSRQ UDQJHV ERWK GLUHFW DQG LQGLUHFW DQG WKH PRELOLW\ RI IRUPDWLRQV GHILQH WKH
FKDUDFWHULVWLFVRIRSHUDWLRQVLQWKHFORVHDUHD

6 October 2017 FM 3-0 1-31


Chapter 1

Figure 1-8. Contiguous corps area of operations

1-32 FM 3-0 6 October 2017


2YHUYLHZRI$UP\2SHUDWLRQV

Figure 1-9. Noncontiguous corps area of operations

6 October 2017 FM 3-0 1-33


Chapter 1

Deep Area
 $GHHSDUHDLVWKHSRUWLRQRIWKHFRPPDQGHU¶VDUHDRIRSHUDWLRQVWKDWLVQRWDVVLJQHGWRVXERUGLQDWH
XQLWV $'53 2SHUDWLRQVLQWKHGHHSDUHDLQYROYHHIIRUWVWRSUHYHQWXQFRPPLWWHGRURXWRIFRQWDFWHQHP\
PDQHXYHUIRUFHVIURPEHLQJFRPPLWWHGLQDFRKHUHQWPDQQHURUSUHYHQWLQJHQHP\HQDEOLQJFDSDELOLWLHVVXFK
DVILUHVDQGDLUGHIHQVHIURPFUHDWLQJHIIHFWVLQWKHFORVHDUHD$FRPPDQGHU¶VGHHSDUHDJHQHUDOO\H[WHQGV
EH\RQGVXERUGLQDWHXQLWERXQGDULHVRXWWRWKHOLPLWVRIWKHFRPPDQGHU¶VGHVLJQDWHG$27KHSXUSRVHRI
RSHUDWLRQVLQWKHGHHSDUHDLVWRVHWWKHFRQGLWLRQIRUVXFFHVVLQWKHFORVHDUHDRUWRVHWWKHFRQGLWLRQVIRU
IXWXUH RSHUDWLRQV 2SHUDWLRQV LQ WKH GHHS DUHD PLJKW GLVUXSW WKH PRYHPHQW RI RSHUDWLRQDO UHVHUYHV IRU
H[DPSOH RU SUHYHQW DQ HQHP\ IURP HPSOR\LQJ ORQJUDQJH FDQQRQ URFNHW RU PLVVLOH ILUHV 3ODQQLQJ IRU
RSHUDWLRQVLQWKHGHHSDUHDLQFOXGHVFRQVLGHUDWLRQVIRULQIRUPDWLRQFROOHFWLRQDLUVSDFHFRQWUROMRLQWILUHV
REVWDFOHHPSODFHPHQWPDQHXYHU DLUDQGJURXQG VSHFLDORSHUDWLRQVDQGLQIRUPDWLRQRSHUDWLRQV
 (QHP\IRUFHVLQWKHGHHSDUHDDUHQRWRXWRIFRQWDFWLQDPXOWLGRPDLQHQYLURQPHQW'HHSRSHUDWLRQV
VHHNLQJUHODWLYHDGYDQWDJHLQF\EHUVSDFHVSDFHDQGWKHLQIRUPDWLRQHQYLURQPHQWRFFXUFRQWLQXRXVO\DFURVV
WKH UDQJHRI PLOLWDU\RSHUDWLRQV7KHLUSXUSRVH LVWR NHHS XQLWV LQFORVHRSHUDWLRQVXQHQFXPEHUHGDQGWR
HQDEOHIUHHGRPRIDFWLRQZKHQWKH\DUHFRPPLWWHG-RLQWDQGDUP\FDSDELOLWLHVVKDSHHQHP\IRUFHVDQGWKH
2(EHIRUHWKH\FDQHPSOR\OHWKDORUQRQOHWKDOPHDQVDJDLQVWIULHQGO\IRUFHV
 &RUSV KHDGTXDUWHUV SOD\ D VLJQLILFDQW UROH LQ SK\VLFDO DQG WHPSRUDO GHHS DUHD RSHUDWLRQV
7HPSRUDOO\ FRUSV SODQQHUV PXVW SURMHFW LQWR WKH IXWXUH DQG GHFLGH ZKDW FRQGLWLRQV FDQ EH FUHDWHG DQG
H[SORLWHGWRGHIHDWWKHHQHP\DQGDFFRPSOLVKWKHFRUSVPLVVLRQ&RUSVGHHSRSHUDWLRQVDUHWKRVHDFWLYLWLHV
ZKLFKDUHGLUHFWHGDJDLQVWHQHP\IRUFHVQRWFXUUHQWO\HQJDJHGLQWKHFORVHRSHUDWLRQEXWFDSDEOHRIHQJDJLQJ
RULQIOLFWLQJGDPDJHLQIXWXUHFORVHRSHUDWLRQV,QIRUPDWLRQFROOHFWLRQILUHV(:F\EHUVSDFHRSHUDWLRQVDQG
WDFWLFDOGHFHSWLRQ 7$&' IRFXVRQKLJKSD\RIIWDUJHWVLQWKHFRUSVGHHSDUHD0DQ\RIWKHVHFDSDELOLWLHV
DUHQRWUHVLGHQWLQWKHFRUSV$VVXFKWKHFRUSVKHDGTXDUWHUVFRRUGLQDWHVIRUWKHVHWKURXJKSODQQLQJDQGWKH
WDUJHWLQJ SURFHVV IRU MRLQW VXSSRUW LQFOXGLQJ MRLQW ILUHV (: F\EHUVSDFH RSHUDWLRQV DQG LQWHOOLJHQFH
VXUYHLOODQFHDQGUHFRQQDLVVDQFH 
 'LYLVLRQGHHSRSHUDWLRQVUHLQIRUFHGE\FRUSVFDSDELOLWLHVIRFXVRQLQIRUPDWLRQFROOHFWLRQILUHV
DQG PDQHXYHU RQ HQHP\ RUJDQL]DWLRQV DQG FDSDELOLWLHV EH\RQG WKH UDQJH RI WKH %&7V HQJDJHG LQ FORVH
RSHUDWLRQV7KH\LGHQWLI\RSSRUWXQLWLHVIRU%&7VWRH[SORLWGLVUXSWHQHP\&DQGPDVVHIIHFWVDJDLQVWNH\
HQHP\FDSDELOLWLHVVXFKDVORQJUDQJHILUHVWRHQDEOHUDSLGPRYHPHQW7KH\DVVLVWEULJDGHVLQLGHQWLI\LQJ
JDSVDQGVHDPVDQGWKH\FRRUGLQDWHWKHDQWLFLSDWRU\VXVWDLQPHQWQHFHVVDU\IRUPDQHXYHULQWKHGHHSDUHDDV
FRQGLWLRQVUDSLGO\FKDQJH
 7KHWKHDWHUDUP\KDVDGHHSDUHDIURPDWHPSRUDODQGSODQQLQJSHUVSHFWLYHDVLWGHWHUPLQHVWKH
GHVLUHG F\EHUVSDFH VSDFH DQG LQIRUPDWLRQ FDSDELOLWLHV IRU ODUJHVFDOH FRPEDW RSHUDWLRQV DJDLQVW VSHFLILF
DGYHUVDULHV GXULQJ RSHUDWLRQV WR VKDSH ,W SURYLGHV JXLGDQFH IRU PDSSLQJ RI (06 WHUUDLQ DQG WKUHDW
F\EHUVSDFHFDSDELOLWLHVDQGLWSURYLGHVWKHLQWHOOLJHQFHVXSSRUWQHFHVVDU\WRGHYHORSORQJWHUPVLWXDWLRQDO
DZDUHQHVVLQFOXGLQJWKHFROOHFWLRQDQGDQDO\VLVRILQGLFDWLRQVDQGZDUQLQJV7KHWKHDWHUDUP\KHDGTXDUWHUV
DOVRFRQGXFWVSODQQLQJIRUWKHFRQVROLGDWLRQRIJDLQVDQGZKDWWKHSRVWXUHRI$UP\XQLWVLQWKHWKHDWHUVKRXOG
ORRNOLNHZKHQRSHUDWLRQVWRFRQVROLGDWHJDLQVFRQFOXGH

Support Area
 7KHVXSSRUWDUHDLVWKHSRUWLRQRIWKHFRPPDQGHU¶VDUHDRIRSHUDWLRQVWKDWLVGHVLJQDWHGWRIDFLOLWDWH
WKH SRVLWLRQLQJ HPSOR\PHQW DQG SURWHFWLRQ RI EDVH VXVWDLQPHQW DVVHWV UHTXLUHG WR VXVWDLQ HQDEOH DQG
FRQWURO RSHUDWLRQV $'53   ,W LV ZKHUH PRVW RI WKH HFKHORQ¶V VXVWDLQLQJ RSHUDWLRQV RFFXU :LWKLQ D
GLYLVLRQ RU FRUSV VXSSRUW DUHD D GHVLJQDWHG XQLW VXFK DV PDQHXYHU HQKDQFHPHQW EULJDGH SURYLGHV DUHD
VHFXULW\ WHUUDLQ PDQDJHPHQW PRYHPHQW FRQWURO PRELOLW\ VXSSRUW DQG FOHDUDQFH RI ILUHV 7KLV DOORZV
VXVWDLQPHQWXQLWVWRIRFXVRQWKHLUSULPDU\IXQFWLRQV
 7KHFRUSVKHDGTXDUWHUVLVOLNHO\WRSRVLWLRQDVVHWVLQWKHGLYLVLRQVXSSRUWDUHDWRIDFLOLWDWHGLYLVLRQ
RSHUDWLRQVDQGHQDEOHIUHHGRPRIDFWLRQ,WFRQWUROVPRYHPHQWVKRUWRIGLYLVLRQERXQGDULHVDQGDOORFDWHV
UHVRXUFHVWRVXSSRUWWKHFRQFHSWRIWKHRSHUDWLRQ3ODQQLQJLQWKHVXSSRUWDUHDODUJHO\LQIOXHQFHVFXUUHQWDQG
IXWXUHRSHUDWLRQVLQWKHGHHSFORVHDQGFRQVROLGDWLRQDUHDV
 7KH GLYLVLRQ KHDGTXDUWHUV RUFKHVWUDWHV WKH VXVWDLQPHQW DQG SURWHFWLRQ WDVNV HVVHQWLDO WR HQVXULQJ
IUHHGRPRIDFWLRQLQWKHGLYLVLRQFORVHDQGGHHSDUHDV,WLVOLNHO\WRKDYHPLVVLRQFRPPDQGUHVSRQVLELOLW\

1-34 FM 3-0 6 October 2017


2YHUYLHZRI$UP\ 2SHUDWLRQV

IRU PDQHXYHU HQKDQFHPHQW DQG VXVWDLQPHQW EULJDGHV WR H[HFXWH WKRVHWDVNV 7KH GLYLVLR Q RUFKHVWUDWHV
PRYHPHQWDQG WHUUDLQPDQDJHPHQW SURWHFWLRQRIVXVWDLQPHQWDVVHWVDQG SODQQLQJ WRVXSSRUWFRQWLQXRXV
RSHUDWLRQV

Consolidation Area
 7KH FRQVROLGDWLRQDUHDLVWKHSRUWLRQRIWKHFRPPDQGHU¶VDUHDRIRSHUDWLRQVWKDWLVGHVLJQDWHGWR
IDFLOLWDWHWKHVHFXULW\DQGVWDELOLW\WDVNVQHFHVVDU\IRUIUHHGRPRIDFWLRQLQWKHFORVHDUHDDQGWRVXSSRUWWKH
FRQWLQXRXV FRQVROLGDWLRQ RI JDLQV $'53   &RUSV DQG GLYLVLRQ FRPPDQGHUV PD\ HVWDEOLVK D
FRQVROLGDWLRQDUHDSDUWLFXODUO\LQWKHRIIHQVHDVWKHIULHQGO\IRUFHJDLQVWHUULWRU\WRH[SORLWWDFWLFDOVXFFHVV
ZKLOHHQDEOLQJIUHHGRPRIDFWLRQIRUIRUFHVRSHUDWLQJLQWKHRWKHUDUHDV:KHQGHVLJQDWHGDFRQVROLGDWLRQ
DUHDUHIHUVWRDQ$2DVVLJQHGWRDQRUJDQL]DWLRQZKLFKH[WHQGVIURPLWVKLJKHUKHDGTXDUWHUVERXQGDU\WRWKH
ERXQGDU\RIIRUFHVLQFORVHRSHUDWLRQVZKHUHIRUFHVKDYHHVWDEOLVKHGDOHYHORIFRQWURODQGODUJH VFDOHFRPEDW
RSHUDWLRQVKDYHFHDVHG
 7KH FRQVROLGDWLRQDUHDGRHVQRW QHFHVVDULO\QHHGWRVXUURXQGQRUFRQWDLQWKHVXSSRUWDUHD EDVH
FOXVWHUVEXWW\SLFDOO\LWGRHV,WUHTXLUHVDSXUSRVHIXOO\WDVNRUJDQL]HGFRPELQHGDUPVXQLWWRFRQGXFWDUHD
VHFXULW\DQGVWDELOLW\WDVNVDQGHPSOR\DQGFOHDUILUHV7KLVXQHQFXPEHUVXQLWVFRQGXFWLQJFORVHRSHUDWLRQV
DQG HQDEOHV WKH KLJKHU HFKHORQKHDGTXDUWHUV WR IRFXVRQ FORVHRSHUDWLRQVGHHS RSHUDWLRQVDQG IXWXUH
SODQQLQJ 7KH DGGLWLRQDOFRPEDWSRZHU %&7V RUGLYLVLRQV QHFHVVDU\WRH[HFXWHFRQVROLGDWLRQRIJDLQV LV
DGGLWLRQDOWRWKHUHTXLUHGFRPEDWSRZHUQHHGHGIRUFORVHDQGGHHSRSHUDWLRQV7KH WKHDWHUDUP\DQG*&&
PXVW LQFOXGH WKH H[SHFWHG IRUFH UHTXLUHPHQWV WR FRQVROLGDWH JDLQV GXULQJ RSHUDWLRQ SODQ 23/$1 
UHILQHPHQWDQGRSHUDWLRQVWRVKDSHDQGSUHYHQWWRHQVXUHWKHVHDGGLWLRQDOIRUFHVDUHLQFOXGHGLQWKHUHTXLUHG
IRUFHVWRVXFFHVVIXOO\FRQGXFWODUJHVFDOHFRPEDWRSHUDWLRQV,QODUJHVFDOHFRPEDWRSHUDWLRQVDPDQHXYHU
HQKDQFHPHQWEULJDGH LVDVVLJQHGWRWKHVXSSRUWDUHDDQG LWSURYLGHVVXSSRUWWRIRUFHVLQFRQWDFWZLWK WKH
HQHP\7KXVDGLYLVLRQRUFRUSVKHDGTXDUWHUVZRXOGUHFHLYHDQDGGLWLRQDOVXERUGLQDWHXQLW %&7RUGLYLVLRQ
UHVSHFWLYHO\ UHVSRQVLELOLW\IRUWKHFRQVROLGDWLRQDUHD)RUH[DPSOHD GLYLVLRQKHDGTXDUWHUVZRXOG UHFHLYH
DQDGGLWLRQDO%&7DQG DVVLJQWKDW%&7DQ$2WKDWFRUUHVSRQGVZLWKWKHGLYLVLRQ¶VFRQVROLGDWLRQDUHD
 7KH GLYLVLRQ DQG FRUSVFRQVROLGDWLRQDUHDVJHQHUDOO\ KDYH GLIIHUHQWFKDUDFWHULVWLFVEDVHG RQ WKH
VLWXDWLRQ )RU D GLYLVLRQ WKH %&7 DVVLJQHG UHVSRQVLELOLW\IRUWKH FRQVROLGDWLRQDUHD ZLOO LQLWLDOO\ IRFXV
SULPDULO\RQVHFXULW\WDVNVWKDWKHOSPDLQWDLQWKHWHPSRRIRSHUDWLRQVLQRWKHUDUHDVDQGLWLVOLNHO\WRFRQGXFW
RIIHQVLYHWDVNVWRGHIHDWRUGHVWUR\HQHP\UHPQDQWVLQRUGHUWRSURWHFWIULHQGO\IRUFHVSRVLWLRQHGLQRUPRYLQJ
WKURXJK WKHDUHD 7KH GLYLVLRQ FRQVROLGDWLRQDUHDJURZV DV WKH%&7V LQ FORVHRSHUDWLRQVDGYDQFH :KHQ
GLYLVLRQ ERXQGDULHVVKLIWDV LVOLNHO\GXULQJ WKH RIIHQVHWKHFRUSVFRQVROLGDWLRQDUHD ZLOO JURZ DQG WKH
EDODQFHRIVHFXULW\DQGVWDELOLW\WDVNVPD\VKLIWWRZDUGVPRUHRIDVWDELOLW\IRFXVDVFRQGLWLRQVDOORZ7KH
GLYLVLRQ UHVSRQVLEOHIRU WKH FRUSV FRQVROLGDWLRQDUHD FRQGXFWVWDVNV GHVLJQHG WR VHW FRQGLWLRQVIRU WKH
KDQGRYHURIWHUUDLQWRKRVWQDWLRQIRUFHVRUOHJLWLPDWHFLYLOLDQDXWKRULWLHV
 7KHWKHDWHUDUP\SODQVDQGFRRUGLQDWHVWKHFDSDELOLWLHVQHFHVVDU\WRH[SORLWPLOLWDU\VXFFHVVWKURXJK
WKHFRQVROLGDWLRQRIJDLQVDFURVVWKH$27KHSODQQLQJSURFHVVEHJLQVDVHDUO\DVSRVVLEOHLQVRPHDUHDVWKH
WKUHDWLVFOHDUO\XQGHUVWRRGHYHQGXULQJRSHUDWLRQVWRVKDSHDQGSODQVFDQEHUHODWLYHO\ZHOOGHYHORSHG,Q
RWKHUVSODQQLQJ PXVWUXQ LQSDUDOOHOZLWK WKDWSODQQLQJ QHFHVVDU\GXULQJ RSHUDWLRQVWRSUHYHQWDQGGXULQJ
ODUJHVFDOHFRPEDWRSHUDWLRQV

'HFLVLYH6KDSLQJDQG6XVWDLQLQJ2SHUDWLRQV
 'HFLVLYHVKDSLQJDQGVXVWDLQLQJRSHUDWLRQVOHQGWKHPVHOYHVWRDEURDGFRQFHSWXDORULHQWDWLRQ7KH
GHFLVLYHRSHUDWLRQLVWKH RSHUDWLRQWKDW GLUHFWO\DFFRPSOLVKHVWKHPLVVLRQ $'53 ,W GHWHUPLQHVWKH
RXWFRPHRIDPDMRURSHUDWLRQEDWWOHRUHQJDJHPHQW7KHGHFLVLYHRSHUDWLRQLVWKHIRFDOSRLQWDURXQGZKLFK
FRPPDQGHUVGHVLJQDQ HQWLUHRSHUDWLRQ0XOWLSOHVXERUGLQDWHXQLWVPD\ EH HQJDJHG LQ WKHVDPHGHFLVLYH
RSHUDWLRQ'HFLVLYHRSHUDWLRQVOHDGGLUHFWO\WRWKHDFFRPSOLVKPHQWRID FRPPDQGHU¶VLQWHQW&RPPDQGHUV
W\SLFDOO\LGHQWLI\DVLQJOHGHFLVLYHRSHUDWLRQEXWPRUHWKDQRQHVXERUGLQDWHXQLWPD\SOD\DUROHLQDGHFLVLYH
RSHUDWLRQ
 $ VKDSLQJRSHUDWLRQLVDQ RSHUDWLRQWKDWHVWDEOLVKHVFRQGLWLRQVIRUWKHGHFLVLYHRSHUDWLRQWKURXJK
HIIHFWVRQWKHHQHP\RWKHUDFWRUVDQG WKHWHUUDLQ $'53 ,QIRUPDWLRQRSHUDWLRQVIRUH[DPSOHPD\
LQWHJUDWH6ROGLHUDQGOHDGHUHQJDJHPHQWWDVNVLQWRDQ RSHUDWLRQWRUHGXFHWHQVLRQVEHWZHHQ$UP\XQLWVDQG
GLIIHUHQW HWKQLF JURXSV WKURXJK GLUHFW FRQWDFW EHWZHHQ $UP\ OHDGHUV DQG ORFDO OHDGHUV ,Q FRPEDW

6 December 2017 FM 3-0, C1 1-35


Chapter 1

V\QFKURQL]LQJWKH HIIHFWVRIFORVHDLUVXSSRUW DWWDFNKHOLFRSWHUVDUWLOOHU\ILUHVDQG REVWDFOHVWRGHOD\ RU


GLVUXSWUHSRVLWLRQLQJIRUFHVDUHDOVRVKDSLQJ RSHUDWLRQV6KDSLQJ RSHUDWLRQVPD\ RFFXUWKURXJKRXWDQ$2
DQGLQYROYH DQ\FRPELQDWLRQRIIRUFHVDQGFDSDELOLWLHV6KDSLQJRSHUDWLRQVVHWFRQGLWLRQVIRUWKHVXFFHVVRI
WKHGHFLVLYHRSHUDWLRQ&RPPDQGHUVPD\GHVLJQDWHPRUHWKDQRQHVKDSLQJRSHUDWLRQ
 $ VXVWDLQLQJRSHUDWLRQLVDQRSHUDWLRQDWDQ\ HFKHORQWKDWHQDEOHVWKHGHFLVLYHRSHUDWLRQRUVKDSLQJ
RSHUDWLRQE\ JHQHUDWLQJ DQG PDLQWDLQLQJ FRPEDW SRZHU $'53  6XVWDLQLQJ RSHUDWLRQVGLIIHUIURP
GHFLVLYHDQG VKDSLQJ RSHUDWLRQVLQWKDWWKH\IRFXVLQWHUQDOO\ RQIULHQGO\IRUFHV UDWKHUWKDQ H[WHUQDOO\ RQ
HQHP\IRUFHVRUWKHHQYLURQPHQW :KLOHVXVWDLQLQJRSHUDWLRQVDUHLQVHSDUDEOHIURPGHFLVLYHDQGVKDSLQJ
RSHUDWLRQVWKH\DUHQRWXVXDOO\GHFLVLYHWKHPVHOYHV6XVWDLQLQJRSHUDWLRQVRFFXUWKURXJKRXWDQ$2QRWMXVW
ZLWKLQDVXSSRUWDUHD)DLOXUHWRVXVWDLQPD\UHVXOWLQPLVVLRQIDLOXUH6XVWDLQLQJRSHUDWLRQVGHWHUPLQHKRZ
TXLFNO\$UP\IRUFHVUHFRQVWLWXWHDQGKRZIDU$UP\IRUFHVFDQH[SORLWVXFFHVV

0DLQDQG6XSSRUWLQJ (IIRUWV
 &RPPDQGHUV GHVLJQDWH PDLQ DQG VXSSRUWLQJ HIIRUWVWR HVWDEOLVK FOHDUSULRULWLHVRI VXSSRUW DQG
UHVRXUFHVDPRQJVXERUGLQDWHXQLWV7KHPDLQHIIRUWLVDGHVLJQDWHGVXERUGLQDWHXQLWZKRVHPLVVLRQDWDJLYHQ
SRLQW LQ WLPH LV PRVW FULWLFDOWR RYHUDOO PLVVLRQVXFFHVV $'53   ,W LV XVXDOO\ ZHLJKWHG ZLWK WKH
SUHSRQGHUDQFHRIFRPEDW SRZHU 7\SLFDOO\ FRPPDQGHUVVKLIWWKHPDLQ HIIRUWRQHRUPRUHWLPHVGXULQJ
H[HFXWLRQ 'HVLJQDWLQJ D PDLQ HIIRUW WHPSRUDULO\ SULRULWL]HV UHVRXUFH DOORFDWLRQ :KHQ FRPPDQGHUV
GHVLJQDWHDXQLWDVWKHPDLQHIIRUWLWUHFHLYHVSULRULW\RIVXSSRUWDQGUHVRXUFHVLQRUGHUWRPD[LPL]HFRPEDW
SRZHU&RPPDQGHUVHVWDEOLVKFOHDUSULRULWLHVRIVXSSRUWDQG WKH\VKLIWUHVRXUFHVDQGSULRULWLHVWRWKHPDLQ
HIIRUWDVFLUFXPVWDQFHVDQGWKHFRPPDQGHU¶VLQWHQWUHTXLUH
 &RPPDQGHUV PD\ GHVLJQDWH D XQLW FRQGXFWLQJ D VKDSLQJ RSHUDWLRQDV WKH PDLQ HIIRUWXQWLO WKH
GHFLVLYHRSHUDWLRQFRPPHQFHV+RZHYHUWKHXQLWZLWKSULPDU\UHVSRQVLELOLW\IRUWKHGHFLVLYHRSHUDWLRQWKHQ
EHFRPHVWKHPDLQHIIRUWXSRQWKHH[HFXWLRQRIWKHGHFLVLYHRSHUDWLRQ
 $ VXSSRUWLQJHIIRUWLVDGHVLJQDWHGVXERUGLQDWHXQLWZLWKDPLVVLRQWKDWVXSSRUWVWKHVXFFHVVRIWKH
PDLQHIIRUW $'53 &RPPDQGHUVUHVRXUFHVXSSRUWLQJHIIRUWVZLWKWKHPLQLPXPDVVHWVQHFHVVDU\WR
DFFRPSOLVKWKHPLVVLRQ)RUFHVRIWHQUHDOL]HVXFFHVVRIWKHPDLQHIIRUWWKURXJKVXFFHVVRIVXSSRUWLQJHIIRUWV

6(48(1&,1*23(5$7,216
 3DUWRIWKHDUWRISODQQLQJLVGHWHUPLQLQJWKHVHTXHQFHRIDFWLRQVWKDWEHVWDFFRPSOLVKHVWKHPLVVLRQ
,GHDOO\FRPPDQGHUVSODQWRDFFRPSOLVKDPLVVLRQZLWKVLPXOWDQHRXVDFWLRQVWKURXJKRXWDQ $2+RZHYHU
RSHUDWLRQDOUHDFKUHVRXUFHFRQVWUDLQWVDQGWKHVL]HRIWKHIULHQGO\IRUFHPD\OLPLWDFRPPDQGHU¶VDELOLW\WR
GRWKLV,Q WKHVHFDVHVFRPPDQGHUVSKDVHRSHUDWLRQV3KDVLQJLVDZD\ WRYLHZ DQG FRQGXFWRSHUDWLRQVLQ
PDQDJHDEOHSDUWV
 $ SKDVHLV D SODQQLQJ DQG H[HFXWLRQ WRROXVHG WR GLYLGH DQ RSHUDWLRQ LQ GXUDWLRQ RU DFWLYLW\
$'53  $ FKDQJH LQ SKDVH XVXDOO\ LQYROYHV D FKDQJH RI PLVVLRQ WDVN RUJDQL]DWLRQ RU UXOHV RI
HQJDJHPHQW 3KDVLQJ KHOSV LQ SODQQLQJ DQG FRQWUROOLQJ RSHUDWLRQV GXULQJ H[HFXWLRQ 3KDVLQJ PD\ EH
LQGLFDWHGE\WLPHGLVWDQFHWHUUDLQRUHYHQW:LWKLQDSKDVHDODUJHSRUWLRQRIWKHIRUFHH[HFXWHVVLPLODURU
PXWXDOO\VXSSRUWLQJDFWLYLWLHV$FKLHYLQJ DVSHFLILHGFRQGLWLRQRUVHWRIFRQGLWLRQVW\SLFDOO\PDUNVWKHHQG
RIDSKDVH
 $UP\FRPPDQGHUVUHFRPPHQGWRWKH-)&WKHEHVWVHTXHQFHRIRSHUDWLRQVWKDWDFKLHYHDWHPSRRI
RSHUDWLRQVWRUHDFKWKHGHVLUHGREMHFWLYH&RPPDQGHUVFRQVLGHUDYDULHW\RIIDFWRUVLQFOXGLQJJHRJUDSK\
VWUDWHJLF OLIW FRPPDQG VWUXFWXUH ORJLVWLFV HQHP\ UHLQIRUFHPHQW DQG WKH LQIRUPDWLRQ HQYLURQPHQW
+RZHYHUVHTXHQFLQJGHFLVLRQVIRUIRUFHSURMHFWLRQRSHUDWLRQVRIJURXQG IRUFHVLVFRPSOLFDWHGE\ UDSLGO\
FKDQJLQJ HQHP\ VLWXDWLRQV7KH VHTXHQFHWKDW FRPPDQGHUVFKRRVHWKHUHIRUHVKRXOG QRW KLQGHU IXWXUH
RSWLRQVEXWVKRXOGEHIOH[LEOHHQRXJKWRDFFRPPRGDWHFKDQJH
 7KHVHTXHQFHRIODUJHVFDOHFRPEDWRSHUDWLRQV RUWKHVHTXHQFHRIEDWWOHVZLWKLQODUJHVFDOHFRPEDW
RSHUDWLRQV UHODWHVGLUHFWO\WRWKH FRPPDQGHU¶VGHFLVLRQRQSKDVLQJ $ SKDVH UHSUHVHQWVDSHULRG GXULQJ
ZKLFKDODUJHQXPEHURIIRUFHVDUHLQYROYHGLQVLPLODUDFWLYLWLHV GHSOR\PHQWIRUH[DPSOH $WUDQVLWLRQWR
DQRWKHUSKDVH²VXFKDVDVKLIWIURPGHSOR\PHQWWRWKHGHIHQVHLQGLFDWHVDVKLIWLQHPSKDVLV)RUH[DPSOH
3KDVH,WKHGHIHQVHFRXOGOHDGWR3KDVH,, WKHFRXQWHURIIHQVLYHIROORZHGE\ DWKLUGSKDVHWKDWRULHQWVRQ

1-36 FM 3-0, C1 6 December 2017


2YHUYLHZRI$UP\2SHUDWLRQV

FRQVROLGDWLRQDQGSRVWFRQIOLFWDFWLYLWLHV)RUH[DPSOH:RUOG:DU,,¶V2SHUDWLRQ2YHUORUGFRQWDLQHGVL[
GLVWLQFWSKDVHVEXLOGXSUHKHDUVDOVHPEDUNDWLRQDVVDXOWEXLOGXSDQGEUHDNRXW
 6XVWDLQPHQW LV FUXFLDO WR SKDVLQJ 2SHUDWLRQDO SODQQHUV FRQVLGHU HVWDEOLVKLQJ ORJLVWLFV EDVHV
RSHQLQJDQGPDLQWDLQLQJOLQHVRIFRPPXQLFDWLRQVHVWDEOLVKLQJLQWHUPHGLDWHORJLVWLFVEDVHVWRVXSSRUWQHZ
SKDVHVGHILQLQJSULRULWLHVIRUVHUYLFHVDQGVXSSRUWDQGVHFXULQJVXVWDLQPHQWQRGHV6XVWDLQPHQWWKHQLV
NH\WRVHTXHQFLQJWKHPDMRURSHUDWLRQVRIWKHFDPSDLJQ
 7UDQVLWLRQVPDUNDFKDQJHRIIRFXVEHWZHHQSKDVHVRUEHWZHHQWKHRQJRLQJRSHUDWLRQDQGH[HFXWLRQ
RID EUDQFKRUVHTXHO6KLIWLQJSULRULWLHVEHWZHHQRIIHQVLYHGHIHQVLYHDQGVWDELOLW\ WDVNVDOVRLQYROYHVD
WUDQVLWLRQ 7UDQVLWLRQV UHTXLUH SODQQLQJ DQG SUHSDUDWLRQ ZHOO EHIRUH WKHLU H[HFXWLRQ VR WKDW D IRUFH FDQ
PDLQWDLQWKHPRPHQWXPDQGWHPSRRIRSHUDWLRQV$IRUFHLVYXOQHUDEOHGXULQJWUDQVLWLRQVDQGFRPPDQGHUV
HVWDEOLVKFOHDUFRQGLWLRQVIRUWKHLUH[HFXWLRQ&RPPDQGHUVLGHQWLI\SRWHQWLDOWUDQVLWLRQVGXULQJSODQQLQJDQG
DFFRXQWIRUWKHPWKURXJKRXWH[HFXWLRQ&RPPDQGHUVVKRXOGDSSUHFLDWHWKHWLPHUHTXLUHGWRERWKSODQIRU
DQGH[HFXWHWUDQVLWLRQV$VVHVVPHQWHQVXUHVWKDWFRPPDQGHUVPHDVXUHSURJUHVVWRZDUGVXFKWUDQVLWLRQVDQG
WDNHDSSURSULDWHDFWLRQVWRSUHSDUHIRUDQGH[HFXWHWKHP
 'XULQJSODQQLQJFRPPDQGHUVHVWDEOLVKFRQGLWLRQV IRUWUDQVLWLRQLQJLQWRHDFKSKDVH7KH\DGMXVW
WKHLUSKDVHVWRWDNHDGYDQWDJHRIRSSRUWXQLWLHVSUHVHQWHGE\WKHHQHP\RUWRUHDFWWRDQXQH[SHFWHGVHWEDFN
$FWLRQVE\WKHHQHP\DOVRGHWHUPLQHFRQGLWLRQVIRUSKDVHV&KDQJHVLQSKDVHVDWDQ\OHYHOFDQOHDGWRD
SHULRGRIYXOQHUDELOLW\IRUWKHIRUFH$WWKLVSRLQWPLVVLRQVDQGWDVNRUJDQL]DWLRQVRIWHQFKDQJH7KHUHIRUH
WKHFDUHIXOSODQQLQJRIEUDQFKHVDQGVHTXHOVFDQUHGXFHWKHULVNDVVRFLDWHGZLWKWUDQVLWLRQEHWZHHQSKDVHV
 %UDQFKHVDUHFRQWLQJHQF\SODQV²RSWLRQVEXLOWLQWRWKHEDVLFSODQ²IRUFKDQJLQJWKHGLVSRVLWLRQ
RULHQWDWLRQ RU GLUHFWLRQ RI PRYHPHQW DQG DOVR IRU DFFHSWLQJ RU GHFOLQLQJ EDWWOH 7KH\ JLYH FRPPDQGHUV
IOH[LELOLW\E\DQWLFLSDWLQJHQHP\UHDFWLRQVWKDWFRXOGDOWHUWKHEDVLFSODQ
 6HTXHOVDUHVXEVHTXHQWRSHUDWLRQVEDVHGRQWKHSRVVLEOHRXWFRPHVRIWKHFXUUHQWRSHUDWLRQYLFWRU\
GHIHDWRUVWDOHPDWH$FRXQWHURIIHQVLYHIRUH[DPSOHZRXOGEHDORJLFDOVHTXHOWRDGHIHQVH$QRSHUDWLRQ
WR FRQVROLGDWH JDLQV ZRXOG EH WKH ORJLFDO VHTXHO WR WKH RIIHQVH ([HFXWLQJ D VHTXHO ZLOO QRUPDOO\ PHDQ
EHJLQQLQJDQRWKHUSKDVHRIWKHFDPSDLJQ7KLVLVDFRQWLQXRXVSURFHVV GXULQJDQRSHUDWLRQDFRPPDQGHU
VKRXOGQHYHUEHZLWKRXWRSWLRQV
 7KH G\QDPLF QDWXUH RI ODUJHVFDOH FRPEDW RSHUDWLRQV PD\ GHPDQG IUHTXHQW WDVNRUJDQL]DWLRQ
FKDQJHV ,W LV XQOLNHO\ WKDW D VLQJOH WDVN RUJDQL]DWLRQ VXIILFHV IURP WKH OLQH RI GHSDUWXUH WKURXJK WKH
FRQVROLGDWLRQRIJDLQV&RPPDQGHUVDQGVWDIIVDQWLFLSDWHWDVNRUJDQL]DWLRQUHTXLUHPHQWVDQGLQWHJUDWHWKHVH
DQWLFLSDWHGFKDQJHVLQWRWKHRSHUDWLRQVSURFHVVDVEUDQFKHVRUVHTXHOVRUGXULQJSHULRGVUHTXLULQJDWDFWLFDO
SDXVH 6HHDSSHQGL[$IRUFRPPDQGDQGVXSSRUWUHODWLRQVKLSVDQGGHYHORSLQJDWDVNRUJDQL]DWLRQ 

&21752/0($685(6
 &RPPDQGHUVDVVLVWHGE\WKHLUVWDIIVH[HUFLVHFRQWUROWKURXJKFRQWUROPHDVXUHV$FRQWUROPHDVXUH
LVDPHDQVRIUHJXODWLQJIRUFHVRUZDUILJKWLQJIXQFWLRQV $'53 &RQWUROPHDVXUHVDUHHVWDEOLVKHGXQGHU
D FRPPDQGHU¶V DXWKRULW\ KRZHYHU FRPPDQGHUV PD\ DXWKRUL]H VWDII RIILFHUV DQG VXERUGLQDWH OHDGHUV WR
HVWDEOLVK WKHP &RPPDQGHUV PD\ XVH FRQWURO PHDVXUHV IRU VHYHUDO SXUSRVHV IRU H[DPSOH WR DVVLJQ
UHVSRQVLELOLWLHV UHTXLUH V\QFKURQL]DWLRQ EHWZHHQ IRUFHV LPSRVH UHVWULFWLRQV RU HVWDEOLVK JXLGHOLQHV WR
UHJXODWHIUHHGRPRIDFWLRQ&RQWUROPHDVXUHVDUHHVVHQWLDOIRUFRRUGLQDWLQJVXERUGLQDWHV¶DFWLRQV7KH\FDQ
EHSHUPLVVLYHRUUHVWULFWLYH3HUPLVVLYHFRQWUROPHDVXUHVDOORZVSHFLILFDFWLRQVWRRFFXUUHVWULFWLYHFRQWURO
PHDVXUHVOLPLWWKHFRQGXFWRIFHUWDLQDFWLRQV
 &RQWUROPHDVXUHVKHOSFRPPDQGHU¶VGLUHFWDFWLRQVE\HVWDEOLVKLQJUHVSRQVLELOLWLHVDQGOLPLWVWKDW
SUHYHQW VXERUGLQDWH XQLWV¶ DFWLRQV IURP LPSHGLQJ RQH DQRWKHU 7KH\ IRVWHU FRRUGLQDWLRQ DQG FRRSHUDWLRQ
EHWZHHQIRUFHVZLWKRXWXQQHFHVVDULO\UHVWULFWLQJIUHHGRPRIDFWLRQ*RRGFRQWUROPHDVXUHVIRVWHUIUHHGRP
RIDFWLRQVRXQGGHFLVLRQPDNLQJDQGLQGLYLGXDOLQLWLDWLYH
 6RPH FRQWURO PHDVXUHV DUH JUDSKLF $ JUDSKLF FRQWURO PHDVXUH LV D V\PERO XVHG RQ PDSV DQG
GLVSOD\V WR UHJXODWH IRUFHV DQG ZDUILJKWLQJ IXQFWLRQV $'53   *UDSKLF FRQWURO PHDVXUHV DUH DOZD\V
SUHVFULSWLYH7KH\LQFOXGHV\PEROVIRUERXQGDULHVILUHVXSSRUWFRRUGLQDWLRQPHDVXUHVDLUVSDFHFRRUGLQDWLQJ
PHDVXUHVDLUGHIHQVHDUHDVDQGPLQHILHOGV&RPPDQGHUVHVWDEOLVKWKHPWRUHJXODWHPDQHXYHUPRYHPHQW
DLUVSDFHXVHILUHVDQGRWKHUDVSHFWVRIRSHUDWLRQV,QJHQHUDODOOJUDSKLFFRQWUROPHDVXUHVVKRXOGUHODWHWR

6 October 2017 FM 3-0 1-37


Chapter 1

HDVLO\LGHQWLILDEOHQDWXUDORUPDQPDGHWHUUDLQIHDWXUHV7KHPRVWLPSRUWDQWFRQWUROPHDVXUHLVWKHERXQGDU\
%RXQGDULHVGHILQHWKH$2DVVLJQHGWRDFRPPDQGHU&RPPDQGHUVKDYHIXOOIUHHGRPRIDFWLRQWRFRQGXFW
RSHUDWLRQV ZLWKLQ WKH ERXQGDULHV RI WKHLU $2 XQOHVV WKH RSHUDWLRQV RUGHU HVWDEOLVKHV FRQVWUDLQWV 6HH
$'53IRUGRFWULQHRQ$UP\WHUPVDQGV\PEROV 
 &RPPDQGHUV XVH WKH PLQLPXP QXPEHU RI FRQWURO PHDVXUHV QHFHVVDU\ WR FRQWURO WKHLU IRUFHV
&RPPDQGHUVWDLORUWKHLUXVHRIFRQWUROPHDVXUHVWRFRQIRUPWRWKHLUKLJKHUFRPPDQGHU¶VLQWHQW7KH\DOVR
FRQVLGHUWKHPLVVLRQWHUUDLQDQGDPRXQWRIDXWKRULW\GHOHJDWHGWRWKHLUVXERUGLQDWHV(IIHFWLYHO\HPSOR\LQJ
FRQWUROPHDVXUHVUHTXLUHVFRPPDQGHUVDQGVWDIIVWRXQGHUVWDQGWKHLUSXUSRVHVDQGUDPLILFDWLRQVLQFOXGLQJ
WKHSHUPLVVLRQVRUOLPLWDWLRQVLPSRVHGRQWKHLUVXERUGLQDWHV¶IUHHGRPRIDFWLRQDQGLQLWLDWLYH(DFKPHDVXUH
VKRXOG KDYH D VSHFLILF SXUSRVH WR PDVV WKH HIIHFWV RI FRPEDW SRZHU V\QFKURQL]H VXERUGLQDWH IRUFHV¶
RSHUDWLRQVRUPLQLPL]HWKHSRVVLELOLW\RIIUDWULFLGH&KDSWHUVWKURXJKDGGUHVVFRPPRQO\XVHGJUDSKLF
FRQWUROPHDVXUHVXVHGGXULQJDOORSHUDWLRQV

3$7+6729,&725<
 7KH$UP\LVDJOREDOO\HQJDJHGUHJLRQDOO\UHVSRQVLYHIRUFHSURYLGLQJDIXOOUDQJHRIFDSDELOLWLHVWR
FRPEDWDQWFRPPDQGHUV$VSDUWRIDMRLQWLQWHUGHSHQGHQWWHDP$UP\IRUFHVFRPELQHRIIHQVLYHGHIHQVLYH
DQG VWDELOLW\ WDVNV WR VHL]H UHWDLQ DQG H[SORLW WKH LQLWLDWLYH DQG FRQVROLGDWH JDLQV $UP\ IRUFHV VKDSH
RSHUDWLRQDO HQYLURQPHQWV SUHYHQW FRQIOLFW ILJKW DQG ZLQ LQ ODUJHVFDOH JURXQG FRPEDW DQG FRQVROLGDWH
JDLQV2SHUDWLRQVWRVKDSHSUHYHQWGHIHQGDWWDFNDQGFRQVROLGDWHJDLQVVXPPDUL]HWKH$UP\¶VUROHVDVSDUW
RIDMRLQWIRUFH
 'XULQJRSHUDWLRQVWRVKDSH$UP\IRUFHVDVVLVW*&&VLQVKDSLQJWKHLUUHJLRQVWKURXJKQXPHURXV
FRRSHUDWLYHDFWLRQVZLWKSDUWQHUQDWLRQV$UP\IRUFHVDOWHUFRQGLWLRQVWKDWLIOHIWXQFKDQJHGFDQSUHFLSLWDWH
LQWHUQDWLRQDOFULVLVRUZDU7KHHTXLSPHQWWUDLQLQJDQGILQDQFLDODVVLVWDQFHWKH8QLWHG6WDWHVSURYLGHVWR
SDUWQHU QDWLRQV LPSURYHV WKHLU DELOLW\ WR VHFXUH WKHPVHOYHV 7KLV DVVLVWDQFH RIWHQ LPSURYHV DFFHVV WR NH\
UHJLRQV 6HFXULW\ FRRSHUDWLRQ DOVR FRPPXQLFDWHV WKH 86 SRVLWLRQ WR DGYHUVDULHV LQ WKRVH UHJLRQV ,I
QHFHVVDU\ FRPEDWUHDG\ $UP\ XQLWV FDQ GHSOR\ WR WKUHDWHQHG DUHDV UHLQIRUFH KRVWQDWLRQ IRUFHV
FRPSOHPHQW 86 DLU DQG VHD SRZHU DQG XQPLVWDNDEO\ FRPPXQLFDWH $PHULFDQ LQWHQW WR SDUWQHU DQG
DGYHUVDU\DOLNH7KHVHDUHWDQJLEOHHIIHFWVRIWKH$UP\¶VUROHLQRSHUDWLRQVWRVKDSH2WKHUEHQHILWVDUHOHVV
WDQJLEOHWKHVHEHQHILWVDUHUHDOL]HGWKURXJKIDFHWRIDFHWUDLQLQJLQYROYLQJ6ROGLHUVDQGPLOLWDU\SDUWQHUV
:RUNLQJWRJHWKHUGHYHORSVWUXVWEHWZHHQPLOLWDU\IRUFHV7KHSRVLWLYHLPSUHVVLRQ$UP\IRUFHVPDNHXSRQ
PXOWLQDWLRQDOPLOLWDULHVORFDOOHDGHUVDQGRWKHUJRYHUQPHQWDJHQFLHVSURGXFHVODVWLQJEHQHILWV
 'XULQJRSHUDWLRQVWRSUHYHQW$UP\IRUFHVVHWFRQGLWLRQVWRGHQ\DGYHUVDULHVWKHDELOLW\WRDFKLHYH
REMHFWLYHVDWDFFHSWDEOHPLOLWDU\DQGSROLWLFDOFRVWV3UHYHQWDFWLYLWLHVLQFOXGHDFWLRQVWRSURWHFWDQGVHFXUH
IULHQGO\IRUFHVDVVHWVDQGSDUWQHUVDQGSUHYHQWDFWLYLWLHVLQGLFDWH86LQWHQWWRH[HFXWHVXEVHTXHQWSKDVHV
RI SODQQHG RSHUDWLRQV LI UHTXLUHG $V DQ H[WHQVLRQ RI RSHUDWLRQV WR VKDSH $UP\ IRUFHV FRQGXFW VHFXULW\
FRRSHUDWLRQWDVNVGHVLJQHGWRWKZDUWWKHVKRUWWHUPVXFFHVVRIDQDGYHUVDU\VXFKDVLPSURYLQJWKHUHDGLQHVV
DQGHIIHFWLYHQHVVRIFRQYHQWLRQDOPLOLWDU\IRUFHV$UP\IRUFHVPD\DOVRDVVLVWSDUWQHUVZLWKXQFRQYHQWLRQDO
FDSDELOLWLHVWKDWHQDEOHSURWUDFWHGUHVLVWDQFHDJDLQVWDPRUHSRZHUIXOQHLJKERUVKRXOGWKH\IDFHRFFXSDWLRQ
DIWHUWKHGHIHDWRIWKHLUFRQYHQWLRQDOPLOLWDU\IRUFHV&UHGLEOHFDSDELOLW\DQGFDSDFLW\IRUORQJWHUPLUUHJXODU
ZDUIDUHFDQGHWHUDGYHUVDULHVVHQVLWLYHWRWKHHFRQRPLFDQGPLOLWDU\FRVWVRIORQJWHUPFRQIOLFW%XLOGLQJ
LUUHJXODUFDSDELOLW\DQGFDSDFLW\LQSDUWQHUQDWLRQVLVOLNHO\WREHPRUHHIIHFWLYHLQVLWXDWLRQVZKHUHUHVRXUFH
FRQVWUDLQWVDQGJHRJUDSK\PDNHRWKHURSWLRQVXQUHDOLVWLF
 3UHYHQWLRQUHTXLUHVDFUHGLEOHIRUFH)ULHQGVDQGDGYHUVDULHVPXVWEHOLHYHWKDWWKH$UP\LVFUHGLEOH
LQ RUGHU WR SUHYHQW FRQIOLFWV &UHGLELOLW\ HTXDWHV WR FDSDELOLW\ DQG FDSDELOLW\ LV EXLOW XSRQ FRPEDWUHDG\
IRUFHVWKDWDUHIRUZDUGSRVLWLRQHGRUFDQEHWDLORUHGDQGGHSOR\HGUDSLGO\3DUWQHUQDWLRQVXQGHUH[WHUQDO
WKUHDWQHHGWRXQGHUVWDQGWKDWLQWURGXFLQJ86IRUFHVDOWHUVWKHUHJLRQDOPLOLWDU\EDODQFHLQWKHLUIDYRUDQG
EROVWHUVWKHLUFDSDELOLW\WRUHVLVWDJJUHVVLRQ&UHGLEOH$UP\IRUFHVSUHSDUHGWRZLQGXULQJODUJHVFDOHFRPEDW
RSHUDWLRQVUHGXFHWKHULVNRIPLVFDOFXODWLRQE\DQDGYHUVDU\:KHQFRPELQHGZLWKWKHFDSDELOLWLHVRIWKH
MRLQWIRUFH$UP\IRUFHVDUHDSRZHUIXOGHWHUUHQW
 'XULQJODUJHVFDOHFRPEDWRSHUDWLRQV$UP\IRUFHVDWWDFNDQGGHIHQGDJDLQVWHQHP\IRUFHV-)&V
UHTXLUH $UP\ XQLWV VNLOOHG LQ WKH XVH RI FRPELQHG DUPV DQG DEOH WR HPSOR\ FDSDELOLWLHV DFURVV PXOWLSOH
GRPDLQV LQ FRPSOHPHQWDU\ ZD\V ,I DQ HQHP\ FDQQRW EH GHIHDWHG IURP D GLVWDQFH XVLQJ $UP\ DQG MRLQW

1-38 FM 3-0 6 October 2017


2YHUYLHZRI$UP\2SHUDWLRQV

FDSDELOLWLHV WKHQ $UP\ XQLWV FORVH ZLWK DQG GHVWUR\ WKDW HQHP\ (QHPLHV ZKRVH RSHUDWLRQDO DSSURDFK
HPSOR\V D V\VWHP FRQVLVWLQJ RI DQ LQWHJUDWHG ILUHV FRPSOH[ DQG LQWHJUDWHG DLU GHIHQVH UHTXLUH D OHYHO RI
FHQWUDOL]HG FRQWURO DQG LQWHOOLJHQFH VXUYHLOODQFH DQG UHFRQQDLVVDQFH FDSDELOLW\ WKDW LV YXOQHUDEOH WR
GHFHSWLRQGLVUXSWLRQDQGLVRODWLRQ2IIHQVLYHWDVNVWKDWHIIHFWLYHO\LVRODWHSDUWVRIWKHV\VWHPGHVWUR\NH\
FRPSRQHQWVRILWVRDVWRHQDEOHUDSLGWDFWLFDOPDQHXYHUDWRSHUDWLRQDOGHSWKDQGH[SORLWGLVUXSWLRQVWRWKH
V\VWHPEHIRUHHQHPLHVFDQHVWDEOLVKRUUHHVWDEOLVKWKHDELOLW\WRPDVVHIIHFWVZLOOGLVORFDWHDQGXOWLPDWHO\
FROODSVHWKHHQHP\¶VDELOLW\WRUHVLVW(VWDEOLVKLQJDQGUHWDLQLQJPRELOLW\JHQHUDWHVWKHSRVLWLRQVRIUHODWLYH
DGYDQWDJHRQWKHJURXQGIRUPDQHXYHUIRUFHVWRH[SORLW
 7DFWLFDO VXFFHVV ZLQV EDWWOHV EXW LW LV QRW HQRXJK WR ZLQ ZDUV (QGXULQJ VHFXULW\ DQG SROLWLFDO
RXWFRPHV UHTXLUH HQGLQJ HQHPLHV¶ DELOLWLHV WR UHVLVW E\ IROORZLQJ WKURXJK RQ EDWWOHILHOG VXFFHVVHV $UP\
IRUFHVSOD\DYLWDOUROHLQWKHFRQVROLGDWLRQRIJDLQV5DSLGO\FRQVROLGDWLQJJDLQVLVDIRUPRIH[SORLWDWLRQ
WKDWWUDQVLWLRQVPLOLWDU\SRVLWLRQVRIDGYDQWDJHLQWRHQGXULQJRSHUDWLRQDODQGVWUDWHJLFRXWFRPHV(QVXULQJ
WKDWHQHPLHVFDQQRWWUDQVLWLRQD FRQYHQWLRQDO PLOLWDU\GHIHDWLQWRDSURWUDFWHGFRQIOLFWWKDWQHJDWHVLQLWLDO
VXFFHVVHVLVIRXQGDWLRQDOWRYLFWRU\(YHU\SDUWRIDQHQHP\¶VDELOLW\WRUHVLVWPXVWEHDFFRXQWHGIRUDQG
DGGUHVVHGGXULQJSODQQLQJ([HFXWLRQRIFRQVROLGDWHJDLQVWDVNVPD\RFFXUVHTXHQWLDOO\ZLWKEULJDGHVEXW
VLPXOWDQHRXVO\DWWKHGLYLVLRQFRUSVDQGDUP\OHYHO%XLOGLQJLUUHYHUVLEOHPRPHQWXPWRZDUGVWKHGHVLUHG
HQG VWDWH LV D FRQWLQXRXV SURFHVV DQG FRPPDQGHUV VKRXOG SXUVXH PRPHQWXP WRZDUGV WKH HQG VWDWH
UHOHQWOHVVO\


6 October 2017 FM 3-0 1-39


This page intentionally left blank.
Chapter 2
Army Echelons, Capabilities, and Training
>7@KHUHDOREMHFWRIKDYLQJDQDUP\LVWRSURYLGHIRUZDU
(OLKX 5RRW

7KLV FKDSWHU LV GLYLGHG LQWR IRXUVHFWLRQV 6HFWLRQ ,SURYLGHV DQRYHUYLHZ RI$UP\
HFKHORQV FDSDELOLWLHV DQGWUDLQLQJ 6HFWLRQ ,,SURYLGHV DJHQHUDO GLVFXVVLRQ RI$UP\
IRUFHV LQ D WKHDWHU 6HFWLRQ ,,, GLVFXVVHV $UP\ FDSDELOLWLHV E\ ZDUILJKWLQJ IXQFWLRQ
6HFWLRQ ,9GLVFXVVHV KRZ$UP\IRUFHVWUDLQIRUODUJHVFDOH FRPEDWRSHUDWLRQV

SECTION I – OVERVIEW OF ARMY ECHELONS, CAPABILITIES, AND


TRAINING
 $VWKH1DWLRQ¶VGHFLVLYHODQGIRUFHWKH$UP\ SURYLGHVDPL[RIKHDGTXDUWHUVXQLWVDQG FDSDELOLWLHV
WRJHRJUDSKLFFRPEDWDQWFRPPDQGHUV *&&V LQVXSSRUWRIDWKHDWHUFDPSDLJQSODQ 7&3 DQGVSHFLILFMRLQW
RSHUDWLRQV,Q RUGHUWRHIIHFWLYHO\FRPPDQGWKHVHRUJDQL]DWLRQVWKH$UP\ SURYLGHVDQ HFKHORQHGDUUD\RI
KLJKHUKHDGTXDUWHUVGHVLJQHGWRZDUGD VSHFLILFIXQFWLRQRUPLVVLRQ:LQQLQJLQODUJHVFDOHJURXQGFRPEDW
UHTXLUHV$UP\ IRUFHVWKDWFDQLQWHJUDWHODQGSRZHULQDPXOWLGRPDLQDSSURDFKWRGHIHDWHQHP\IRUFHVDQG
FRQWUROWHUUDLQ7KH WKHDWHUDUP\ FRUSVDQG GLYLVLRQKHDGTXDUWHUVJLYHWKHFRPEDWDQWFRPPDQGHUVHYHUDO
RSWLRQVQHFHVVDU\IRUWKHHPSOR\PHQWRIODQGSRZHU 6HHSDUDJUDSKVWKURXJKIRUDGLVFXVVLRQRI
$UP\HFKHORQV 
 7KHDELOLW\RI$UP\IRUFHVWRVKDSHRSHUDWLRQDOHQYLURQPHQWV 2(V SUHYHQWFRQIOLFWGHIHDWHQHP\
IRUFHVLQODUJHVFDOHJURXQGFRPEDWDQG FRQVROLGDWHJDLQVUHODWHVWRWKHTXDQWLW\RIFRPEDWSRZHUWKH\FDQ
FRQWLQXRXVO\JHQHUDWHDQGDSSO\&RPEDWSRZHULQFOXGHVDOOFDSDELOLWLHVSURYLGHGE\ XQLILHGDFWLRQSDUWQHUV
WKDWDUHLQWHJUDWHGV\QFKURQL]HGDQG FRQYHUJHGZLWKWKHFRPPDQGHU¶VREMHFWLYHVWRDFKLHYHXQLW\RIHIIRUW
LQ VXVWDLQHGRSHUDWLRQV7KH SXUSRVHRIFRPEDWSRZHU LVWRDFFRPSOLVKPLVVLRQV 6HHSDUDJUDSKV 
WKURXJKIRUDGLVFXVVLRQRI$UP\FDSDELOLWLHV 
 7KH FRPEDWDQW FRPPDQGHU KDV HYHUFKDQJLQJ QHHGV IRU WUDLQHG DQG UHDG\ $UP\ IRUFHV ZKLOH
H[HFXWLQJWKH7&36KDSLQJ2(VDQGSUHYHQWLQJFRQIOLFWUHTXLUHVIOH[LEOHDQGFUHGLEOH86PLOLWDU\SRZHU
WR GLVVXDGH SRWHQWLDO DGYHUVDULHV IURP WKUHDWHQLQJ YLWDO $PHULFDQ VHFXULW\LQWHUHVWV'XULQJ ODUJHVFDOH
FRPEDWRSHUDWLRQVMRLQWIRUFHFRPPDQGHUVUHTXLUH$UP\XQLWV WKDWFDQ GHIHDW DQ HQHP\DQG FRQVROLGDWH
JDLQV WRHQVXUHHQGXULQJRXWFRPHV 6HHSDUDJUDSKV WKURXJKIRUD GLVFXVVLRQRQWUDLQLQJIRU
ODUJHVFDOHFRPEDWRSHUDWLRQV 

SECTION II – ARMY ECHELONS


7KHODQGGRPDLQLVWKHDUHDRIWKH(DUWK¶VVXUIDFHHQGLQJDWWKHKLJKZDWHUPDUNDQG
RYHUODSSLQJZLWKWKHPDULWLPHGRPDLQLQWKHODQGZDUGVHJPHQWRIWKHOLWWRUDOV
-3 Command and Control for Joint Land Operations 

7+($7(5 $50<
 7KHWKHDWHUDUP\LVWKHVHQLRU$UP\KHDGTXDUWHUVLQDQDUHDRIUHVSRQVLELOLW\ $25 DQGLW FRQVLVWVRI
WKH FRPPDQGHU VWDII DQG DOO $UP\ IRUFHV DVVLJQHGWR D FRPEDWDQW FRPPDQG (DFK WKHDWHU DUP\ KDV
RSHUDWLRQDODQG DGPLQLVWUDWLYHUHVSRQVLELOLWLHV,WVRSHUDWLRQDOUHVSRQVLELOLWLHVLQFOXGHFRPPDQGRIIRUFHV
GLUHFWLRQRIRSHUDWLRQVDQGFRQWURORIDVVLJQHGDUHDVRIRSHUDWLRQV $2V ,WVDGPLQLVWUDWLYHUHVSRQVLELOLWLHV

6 December 2017 FM 3-0, C1 2-1


Chapter 2

HQFRPSDVVWKH6HUYLFHVSHFLILFUHTXLUHPHQWVIRUHTXLSSLQJ VXVWDLQLQJWUDLQLQJXQLWUHDGLQHVVGLVFLSOLQH
DQG SHUVRQQHOPDWWHUV$VUHTXLUHGWKHWKHDWHUDUP\SURYLGHV$UP\VXSSRUWWRRWKHUVHUYLFHVDQGFRPPRQ
XVHUORJLVWLFV
 7KH WKHDWHUDUP\ DOZD\V PDLQWDLQVDQ$25ZLGH IRFXVSURYLGLQJ VXSSRUWWR$UP\DQG MRLQWIRUFHV
DFURVVWKH$25LQDFFRUGDQFHZLWKWKH*&&¶VSULRULWLHVRIVXSSRUW)RUH[DPSOHWKHWKHDWHU$UP\FRQWLQXHV
VKDSHDQGSUHYHQWDFWLYLWLHVLQYDULRXVRSHUDWLRQDODUHDVDWWKHVDPHWLPHLWLVVXSSRUWLQJODUJH VFDOHFRPEDW
RSHUDWLRQV

23(5$7,21$/ 5(63216,%,/,7,(6
 7KURXJK DVVLJQPHQWRUDOORFDWLRQRI$UP\IRUFHVWRD*&& E\WKH6HFUHWDU\RI'HIHQVHWKHWKHDWHU
DUP\ PD\ H[HUFLVHRSHUDWLRQDOFRQWURO 23&21  RURWKHUGHOHJDWHGFRPPDQGDXWKRULW\ RI$UP\ IRUFHV
XQWLO WKH FRPEDWDQW FRPPDQGHU DWWDFKHVWKRVHIRUFHV WRDQRWKHUVXERUGLQDWH 6HUYLFHRU MRLQWFRPPDQG
23&21 SURYLGHV DXWKRULW\ WR RUJDQL]H DQG HPSOR\ FRPPDQGV DQG IRUFHVDV WKH FRPPDQGHU FRQVLGHUV
QHFHVVDU\WR DFFRPSOLVKPLVVLRQV,W GRHV QRW LQFOXGH DXWKRULWDWLYH GLUHFWLRQIRU ORJLVWLFVRU PDWWHUVRI
DGPLQLVWUDWLRQ GLVFLSOLQH LQWHUQDO RUJDQL]DWLRQ RU XQLW WUDLQLQJ 6HH DSSHQGL[ $ IRU D GLVFXVVLRQ RI
FRPPDQGDQGVXSSRUWUHODWLRQVKLSV 
 7KH WKHDWHU $UP\ VHUYHV DV WKH $UP\ 6HUYLFH FRPSRQHQWFRPPDQG $6&&  RI WKH JHRJUDSKLF
FRPEDWDQW FRPPDQG 7KH $UP\ 6HUYLFH FRPSRQHQW FRPPDQG LV WKH FRPPDQG UHVSRQVLEOH IRU
UHFRPPHQGDWLRQVWRWKHMRLQWIRUFHFRPPDQGHURQWKHDOORFDWLRQDQGHPSOR\PHQWRI$UP\ IRUFHVZLWKLQD
FRPEDWDQWFRPPDQG -3 $VDQ $6&& WKHWKHDWHUDUP\H[HFXWHVVHYHUDOIXQFWLRQVLQVXSSRUWRIWKH
*&&7KHVHIXQFWLRQVLQFOXGH²
z ([HFXWLQJWKHFRPEDWDQWFRPPDQGHU¶VGDLO\RSHUDWLRQDOUHTXLUHPHQWV
z 6HWWLQJWKHWKHDWHU
z 6HWWLQJWKHMRLQWRSHUDWLRQVDUHD -2$ 
z 6HUYLQJ DVDMRLQWWDVNIRUFH -7) RUMRLQWIRUFHODQGFRPSRQHQWIRUFULVLVUHVSRQVHDQG OLPLWHG
FRQWLQJHQF\RSHUDWLRQV
 .H\WDVNVDVVRFLDWHGZLWKWKHWKHDWHUDUP\¶VUROHVLQFOXGH²
z 6HUYLQJDVWKHSULPDU\LQWHUIDFHEHWZHHQWKH'HSDUWPHQWRIWKH$UP\$UP\FRPPDQGVDQGRWKHU
$6&&V
z 'HYHORSLQJ$UP\SODQVWRVXSSRUWWKH7&3SODQZLWKLQDQ$25
z 7DLORULQJ$UP\IRUFHVIRUHPSOR\PHQWLQDQ$25
z &RQWUROOLQJUHFHSWLRQVWDJLQJRQZDUGPRYHPHQWDQGLQWHJUDWLRQ 562, IRU$UP\IRUFHVLQDQ
$25
z ([HUFLVLQJ23&21RIGHSOR\HG$UP\IRUFHVQRWVXERUGLQDWHGWRDMRLQWIRUFHFRPPDQGHU -)& 
z ([HUFLVLQJDGPLQLVWUDWLYHFRQWURO $'&21 RIDOO$UP\IRUFHVRSHUDWLQJZLWKLQWKH$25
z 3URYLGLQJVXSSRUWDVGLUHFWHGE\WKHFRPEDWDQWFRPPDQGHUWRXQLILHGDFWLRQSDUWQHUV
z ([HUFLVLQJ 23&21 RI DOO MRLQW IRUFHV DWWDFKHGWR LW DV HLWKHU D MRLQW IRUFHODQG FRPSRQHQW
KHDGTXDUWHUVRU-7)KHDGTXDUWHUVDVUHTXLUHGE\WKHFRPEDWDQWFRPPDQGHU
6HH$73IRUPRUHLQIRUPDWLRQRQWKHWKHDWHUDUP\ 

$'0,1,675$7,9(5(63216,%,/,7,(6
 7KH $6&& FRPSOHWHVLWVDGPLQLVWUDWLYHUHVSRQVLELOLWLHVWKURXJK$'&21²WKHGLUHFWLRQRUH[HUFLVH
RI DXWKRULW\ RYHU VXERUGLQDWH RU RWKHU RUJDQL]DWLRQV LQ UHVSHFWWR DGPLQLVWUDWLRQ DQG VXSSRUW $'&21
LQFOXGHVRUJDQL]DWLRQRI6HUYLFHIRUFHVFRQWURORIUHVRXUFHVDQG HTXLSPHQWSHUVRQQHOPDQDJHPHQW XQLW
ORJLVWLFVLQGLYLGXDODQGXQLWWUDLQLQJUHDGLQHVVPRELOL]DWLRQGHPRELOL]DWLRQGLVFLSOLQHDQGRWKHUPDWWHUV
QRWLQFOXGHGLQWKHRSHUDWLRQDOPLVVLRQVRIWKHVXERUGLQDWHRURWKHURUJDQL]DWLRQV,WLVD 6HUYLFHDXWKRULW\
QRWD MRLQWDXWKRULW\,W LVH[HUFLVHGXQGHUWKHDXWKRULW\RIDQG LVGHOHJDWHGE\ WKH6HFUHWDU\RIWKH$UP\
5HJDUGOHVVRIZKHWKHU $UP\ IRUFHVDUH23&21WRWKHWKHDWHUDUP\ RUQRWWKHWKHDWHUDUP\ FRPPDQGHU
UHWDLQVUHVSRQVLELOLW\IRU$'&21RIDOO$UP\IRUFHV7KH$6&&QRUPDOO\KDVUHVSRQVLELOLW\IRU ²

2-2 FM 3-0, C1 6 December 2017


Army Echelons, Capabilities, and Training

 Training units.
 Supplying.
 Administering (including the morale and welfare of personnel).
 Maintaining.

ARMY SUPPORT TO OTHER SERVICES AND COMMON-USER LOGISTICS


2-10. The Army provides certain support to other Services across all phases of a joint operation through
several types of authorities. Collectively known as Army support to other Services (ASOS), these
responsibilities include all executive agent responsibilities assigned to Department of the Army by the
Secretary or Deputy Secretary of Defense.
2-11. An executive agent is the head of a Department of Defense (DOD) component that has been assigned
specific responsibilities, functions, and authorities to provide defined levels of support for operational
missions or administrative or other designated activities that involve two or more of the DOD components.
Whether the term executive agent is used or not, the theater army, on behalf of the Army, is responsible for
support functions in all theaters as designated by the GCC or higher. The supporting requirements the theater
army provides as part of ASOS can include—
 Missile defense.
 Fire support.
 Base defense.
 Transportation.
 Fuel distribution.
 General engineering.
 Intra-theater medical evacuation.
 Logistics management.
 Communications.
 Chemical, biological, radiological, and nuclear (CBRN) defense.
 Explosive ordnance disposal.

2-12. In addition to ASOS requirements, a GCC may designate a Service (usually the dominant user or most
capable service) to serve as the lead Service and provide common-user logistics for the entire theater, areas
within a theater, or specific joint operations. Common-user logistics are materiel or service support shared
with or provided by two or more Services, Department of Defense agencies, or multinational partners to
another Service, Department of Defense agency, non-Department of Defense agency, and/or multinational
partner in an operation (JP 4-09). The GCC frequently tasks the Army component of a joint force to provide
sustainment support to other Service components. Additionally, the GCC may task the Army component of
a joint force to provide specific support to multinational commands or other agencies.

THEATER ARMY ORGANIZATION


2-13. The size and composition of forces available to a theater Army vary based on the combatant
commander’s continuing requirements for Army support. During operations to shape and operations to
prevent, the theater army may require more sustainment or civil affairs (CA) units. During the conduct of
large-scale combat operations, the theater army may be task organized with an Army Air and Missile Defense
Command and Army CBRN units to support theater force protection operations. During operations to
consolidate gains, the theater army may require more military police units and a theater aviation brigade.
2-14. Prior to the outbreak of large-scale ground combat, theater armies usually have access to five enabling
capabilities (sustainment, signal, medical, military intelligence, and CA). Figure 2-1 on page 2-4 illustrates
an example of forces that may be available to a theater army to provide these capabilities. These forces are
either allocated or assigned to the combatant commander, who establishes command and support
relationships with the theater army as required. Not every theater army will have the forces shown. In some
cases, a brigade is task organized to an Army command (or direct reporting unit), and aligned to the theater
army. In other cases, the theater army has a brigade instead of a full command.

6 December 2017 FM 3-0, C1 2-3


Chapter 2

Figure 2-1. Theater enabler organizations

7+($7(5 6867$,10(17&200$1'
 7KH WKHDWHUVXVWDLQPHQWFRPPDQG 76&  LVWKHVHQLRU$UP\VXVWDLQPHQWKHDGTXDUWHUVVXSSRUWLQJDQ
$25,WFRPPDQGVWDVNRUJDQL]HGVXERUGLQDWHRUJDQL]DWLRQVH[HFXWLQJWKHDWHURSHQLQJWKHDWHUGLVWULEXWLRQ
DQG VXVWDLQPHQWRSHUDWLRQVDQG WKHDWHUFORVLQJLQ VXSSRUWRIWKHDWHUDUP\ REMHFWLYHV7KH 76& H[HFXWHV
GLVWULEXWLRQDQG PDWHULHOPDQDJHPHQWUHVSRQVLELOLWLHVWKURXJKDGLVWULEXWLRQPDQDJHPHQWFHQWHU7KH76&
PD\EHDXJPHQWHGZLWKDSSURSULDWHSHUVRQQHODQGHTXLSPHQWWRSHUIRUPDVDMRLQWFRPPDQGIRUORJLVWLFV
 7KH76& KDV$25ZLGHUHVSRQVLELOLWLHVDQGPDQDJHVGLVWULEXWLRQLQVXERUGLQDWHRSHUDWLRQDODUHDVDV
GLUHFWHG7KH76& VHWVWKHWKHDWHUFRQGLWLRQVIRUVXFFHVVIXOVXVWDLQPHQWRSHUDWLRQV7KH76&PD\PDLQWDLQ
RYHUVLJKW RI VXVWDLQPHQW RSHUDWLRQV RU PRUH OLNHO\ H[HFXWH WKLV RYHUVLJKW WKURXJK HPSOR\PHQW RI D
VXERUGLQDWH H[SHGLWLRQDU\VXVWDLQPHQW FRPPDQG (6&  7KH (6& ZLOO HPSOR\ VXVWDLQPHQWEULJDGHV WR
H[HFXWHWKHDWHURSHQLQJWKHDWHUVXVWDLQLQJDQGWKHDWHUGLVWULEXWLRQRSHUDWLRQV*HQHUDOO\ZKHQWZRRUPRUH
VXVWDLQPHQWEULJDGHVGHSOR\WRD -2$WKH$UP\ WDLORUVWKH76& ZLWKDQ (6& 6HH$73 IRUGRFWULQH
RQWKH76& 

([SHGLWLRQDU\ 6XVWDLQPHQW&RPPDQG
 )RUMRLQWRSHUDWLRQVUHTXLULQJVXEVWDQWLDOFRPPLWPHQWRI$UP\IRUFHVDWOHDVWRQH(6&LVDWWDFKHGWR
WKH 76& 7KH (6& FRPPDQGV DWWDFKHG VXVWDLQPHQW XQLWV LQ D ODQG $2 GHILQHG E\ WKH -)& 7KH (6&
FRQFHQWUDWHVRQV\QFKURQL]LQJRSHUDWLRQDOOHYHOVXVWDLQPHQWRSHUDWLRQVWRPHHWWKHGD\WRGD\DQGSURMHFWHG
RSHUDWLRQDOUHTXLUHPHQWVRIWKHVXSSRUWHGIRUFH7KH(6& VXSSRUWVWKHGHSOR\HGIRUFHZLWKLQD-2$ ZKLOH
WKH76&PDLQWDLQVDQ$25ZLGHIRFXV
 7KH (6& SODQV DQG H[HFXWHVVXVWDLQPHQWGLVWULEXWLRQWKHDWHURSHQLQJ DQG 562, IRU$UP\ IRUFHV
7KH (6& PD\ VHUYH DV WKHEDVLV IRUDQ H[SHGLWLRQDU\MRLQWFRPPDQG IRUORJLVWLFVZKHQ GLUHFWHGE\ WKH
FRPEDWDQWFRPPDQGHURUGHVLJQDWHGFRDOLWLRQRU-7)FRPPDQGHU
 :KHQ DQ (6& VHUYHVDV D MRLQWFRPPDQG IRUORJLVWLFVWKH KHDGTXDUWHUVVKRXOG EH DXJPHQWHG E\
SHUVRQQHODQGHTXLSPHQWIURPRWKHU6HUYLFHV$GGLWLRQDO(6&VPD\EHDWWDFKHGWRWKH76&DVWKHWKHDWHURI
RSHUDWLRQVH[SDQGVRULIWKHFRPEDWDQWFRPPDQGHUHVWDEOLVKHVDMRLQWVHFXULW\DUHDRULQWHUPHGLDWHVWDJLQJ
EDVH
 'HSHQGLQJRQWKHVLWXDWLRQ(6&VPD\ KDYH DFRPPDQGRUVXSSRUWUHODWLRQVKLSRWKHUWKDQ ZLWKWKH
76&:KHQWKH76&LVGHSOR\HGWKH(6&QRUPDOO\KDVDFRPPDQGUHODWLRQVKLS DWWDFKHG ZLWKWKH76& DQG
D VXSSRUWUHODWLRQVKLSZLWK VXSSRUWHGXQLWV:KHQ WKH76& LVQRWGHSOR\HGRULIOHDGHUVZDQW WRDFKLHYH
VSHFLILFHIIHFWVWKH(6& PD\ KDYH D FRPPDQGUHODWLRQVKLSVXFKDV DWWDFKHG 23&21RUXQGHU WDFWLFDO
FRQWURO 7$&21  RIDQRWKHUKHDGTXDUWHUV)RUH[DPSOHDQ (6& ZKLFKEHJDQ DQ RSHUDWLRQVXERUGLQDWHWR
WKH76&PD\VXEVHTXHQWO\KDYHDFRPPDQGUHODWLRQVKLSZLWKDFRUSVKHDGTXDUWHUVRU-7)

6XVWDLQPHQW%ULJDGHV
 7KH WKHDWHUDUP\ FRPPDQGHUDQG 76& FRPPDQGHUWDVNRUJDQL]H VXVWDLQPHQWEULJDGHVIRUD MRLQW
RSHUDWLRQRUFDPSDLJQ (DFK VXVWDLQPHQW EULJDGH LV D PXOWLIXQFWLRQDOVXVWDLQPHQWRUJDQL]DWLRQ ZLWK D
IOH[LEOH KHDGTXDUWHUV FDSDEOH RI DFFRPSOLVKLQJ PXOWLSOH VXVWDLQLQJ PLVVLRQV 7KH QXPEHU RI FRPEDW
VXVWDLQPHQW VXSSRUW EDWWDOLRQV &66%V  DQG IXQFWLRQDO ORJLVWLFVEDWWDOLRQV DWWDFKHG WR WKH VXVWDLQPHQW

2-4 FM 3-0, C1 6 December 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

EULJDGHYDULHVZLWKWKHWDVNRUJDQL]DWLRQHVWDEOLVKHGE\WKH(6&FRPPDQGHU7KHVSHFLILFWDVNRUJDQL]DWLRQ
RIHDFKVXVWDLQPHQWEULJDGHZLOOYDU\EDVHGRQLWVPLVVLRQ
 7KHVXVWDLQPHQWEULJDGHVQRUPDOO\UHPDLQDWWDFKHGWRWKH76&RU(6&+RZHYHUWKHVXVWDLQPHQW
EULJDGHPD\KDYHDFRPPDQGRUVXSSRUWUHODWLRQVKLSZLWKWKHPDQHXYHUKHDGTXDUWHUV
 6XVWDLQPHQW EULJDGHV DUH WDVN RUJDQL]HG EDVHG RQ GHOLEHUDWH DQDO\VLV E\ WKH VXVWDLQPHQW EULJDGH¶V
KLJKHUKHDGTXDUWHUVEDVHGRQWKHPLVVLRQW\SHDQGVL]HRIWKHVXSSRUWHGIRUPDWLRQ6XERUGLQDWHXQLWVRIWKH
VXVWDLQPHQWEULJDGHPD\LQFOXGH&66%VIXQFWLRQDOORJLVWLFVEDWWDOLRQVDQGIXQFWLRQDOORJLVWLFVFRPSDQLHV
SODWRRQVDQGGHWDFKPHQWV6HOHFWHG&66%VPD\DOVREHRUJDQL]HGWRSURYLGHVSHFLILF W\SHVRIVXSSRUWWR
EULJDGHFRPEDWWHDPV %&7V DQGWRRWKHUVXSSRUWEULJDGHVODFNLQJIXOOLQWHUQDOVXVWDLQPHQWFDSDELOLW\7KH
VXVWDLQPHQWEULJDGHXVXDOO\KDVKXPDQUHVRXUFHVDQGILQDQFLDOPDQDJHPHQWXQLWVDWWDFKHG8QGHUQRUPDO
FLUFXPVWDQFHVWKHVXVWDLQPHQWEULJDGHZLOOQRWKDYHPHGLFDORUJDQL]DWLRQVDWWDFKHG

6XVWDLQPHQW23(5$7,216'(6(576+,(/'DQG'(6(57
67250

7KH ORJLVWLFV VXSSRUW IRU 23(5$7,216 '(6(57 6+,(/' DQG '(6(57 67250
GHPRQVWUDWHVWKHLPSDFWRIGHYHORSLQJDWKHDWHUSODQIRUVXSSRUWLQJGHSOR\HGIRUFHV
7KH UHSODFHPHQW RSHUDWLRQV PDQDJHPHQW V\VWHP SURFHVVHG DQG GHSOR\HG 
ILOOHUSHUVRQQHO2IWKHUHVHUYHSHUVRQQHOPRELOL]HGRIWKHPZHUHLQ
XQLWVDQGZHUHIURPWKHLQGLYLGXDOUHDG\UHVHUYH:KLOHSHUFHQWRIWKH
$UP\’V FRPEDW VHUYLFH VXSSRUW DVVHWV ZHUH GHSOR\HG WR WKH WKHDWHU  SHUFHQW RI
WKRVHDVVHWVFDPHIURPWKH5HVHUYH&RPSRQHQWV

7KH PRGHUQ GLYLVLRQ FRQVXPHV DV PXFK DV D :RUOG :DU ,, ILHOG DUP\ 'XULQJ
23(5$7,21'(6(576+,(/'WKHGHIHQVLYHSKDVHRIWKH*XOI:DUHDFKGLYLVLRQ
UHTXLUHGJDOORQVRIGLHVHOIXHOJDOORQVRIDYLDWLRQIXHOJDOORQV
RI ZDWHU DQG  IRRW WUDFWRUWUDLOHUV RI RWKHU VXSSOLHV HDFK GD\ UDQJLQJ IURP
EDUULHU PDWHULDO WR DPPXQLWLRQ 'XULQJ 23(5$7,21 '(6(57 67250 D KRXU
RIIHQVLYH D VLQJOH GLYLVLRQ FRQVXPHG  PLOOLRQ JDOORQV RI IXHO WUDQVSRUWHG RQ 
JDOORQWDQNHUV

7+($7(5/(9(/6,*1$/6833257
 7KH MRLQW IRUFH GHSHQGV XSRQ DQ LQWHJUDWHG FRPPXQLFDWLRQV DUFKLWHFWXUH WKDW FRQQHFWV VWUDWHJLF
RSHUDWLRQDODQGWDFWLFDOFRPPDQGHUVDFURVVWKHJOREH7KH'HSDUWPHQWRI'HIHQVHLQIRUPDWLRQQHWZRUNLV
WKHVHWRILQIRUPDWLRQFDSDELOLWLHVDQGDVVRFLDWHGSURFHVVHVIRUFROOHFWLQJSURFHVVLQJVWRULQJGLVVHPLQDWLQJ
DQG PDQDJLQJ LQIRUPDWLRQ RQGHPDQG WR ZDUILJKWHUV SROLF\ PDNHUV DQG VXSSRUW SHUVRQQHO ZKHWKHU
LQWHUFRQQHFWHG RU VWDQGDORQH LQFOXGLQJ RZQHG DQG OHDVHG FRPPXQLFDWLRQV DQG FRPSXWLQJ V\VWHPV DQG
VHUYLFHV VRIWZDUH LQFOXGLQJ DSSOLFDWLRQV  GDWD VHFXULW\ VHUYLFHV RWKHU DVVRFLDWHG VHUYLFHV DQG QDWLRQDO
VHFXULW\V\VWHPV -3 2SHUDWLRQDQGGHIHQVHRI'2',1VLVODUJHO\D PDWWHURIRYHUDUFKLQJFRPPRQ
SURFHVVHVVWDQGDUGVDQGSURWRFROVLQWHJUDWHGE\86&<%(5&20$5&<%(5RYHUVHHVQHWZRUNRSHUDWLRQV
DQG GHIHQVH IRU WKH $UP\ 7KH $UP\ FRQQHFWV WR '2',1V WKURXJK WKH 86 $UP\ 1HWZRUN (QWHUSULVH
7HFKQRORJ\&RPPDQGDQGLWVVXERUGLQDWHVLJQDOFRPPDQGVDQGEULJDGHVLQFOXGLQJ²
z 6LJQDOFRPPDQG WKHDWHU 
z 7KHDWHUVWUDWHJLFVLJQDOEULJDGH
z 7KHDWHUWDFWLFDOVLJQDOEULJDGH
6HH)0IRUGRFWULQHRQVLJQDOVXSSRUWWRRSHUDWLRQV 

0(',&$/&200$1' '(3/2<0(176833257 
 7KH PHGLFDO FRPPDQG GHSOR\PHQW VXSSRUW  LV WKH VHQLRU PHGLFDO FRPPDQG ZLWKLQ D WKHDWHU 7KH
PHGLFDO FRPPDQG GHSOR\PHQW VXSSRUW  FRPPDQGV PHGLFDO XQLWV WKDW SURYLGH KHDOWK FDUH LQ VXSSRUW RI

6 October 2017 FM 3-0 2-5


Chapter 2

GHSOR\HGIRUFHV7KHPHGLFDOFRPPDQG GHSOR\PHQWVXSSRUW LVDUHJLRQDOO\IRFXVHGFRPPDQGDQGSURYLGHV


VXERUGLQDWHPHGLFDORUJDQL]DWLRQVWRRSHUDWHXQGHUWKHPHGLFDOEULJDGH VXSSRUW RUPXOWLIXQFWLRQDOPHGLFDO
EDWWDOLRQ PHGLFDOEDWWDOLRQ>PXOWLIXQFWLRQDO@  6HH)0IRUGRFWULQHRQWKH$UP\KHDOWKV\VWHP 

0,/,7$5<,17(//,*(1&(%5,*$'(7+($7(5
 $PLOLWDU\LQWHOOLJHQFHEULJDGHWKHDWHU 0,%7 LVDVVLJQHGWRWKHFRPEDWDQWFRPPDQGDQGPD\EH
DWWDFKHG 23&21 RU 7$&21 WR WKH WKHDWHU $UP\ E\ WKH FRPEDWDQW FRPPDQGHU 7KH 0,%7 SURYLGHV
UHJLRQDOO\ IRFXVHG FROOHFWLRQ DQG DQDO\VLV LQ VXSSRUW RI WKHDWHU DUP\ GDLO\ RSHUDWLRQV UHTXLUHPHQWV DQG
VSHFLILFMRLQWRSHUDWLRQVLQWKH$25,QSDUWLFXODUWKHWKHDWHUDUP\KHDGTXDUWHUVUHOLHVKHDYLO\RQWKH0,%7
IRUWKUHDWFKDUDFWHULVWLFVLQWHOOLJHQFHHVWLPDWHVWKUHDWDQGFLYLOFRQVLGHUDWLRQVGDWDILOHVDQGGDWDEDVHVDQG
DOOVRXUFH LQWHOOLJHQFH SURGXFWV 7KHVH SURGXFWV VXSSRUW WKHDWHU DUP\ SODQQLQJ UHTXLUHPHQWV LQFOXGLQJ
GHYHORSPHQW RI $UP\ SODQV VXSSRUWLQJ WKH WKHDWHU FDPSDLJQ SODQ DQG PDLQWHQDQFH RI RSHUDWLRQ SODQV
23/$1V  DQGFRQWLQJHQF\SODQV7KHWKHDWHUDUP\ KHDGTXDUWHUVGHSHQGVRQWKH0,%7IRULQWHOOLJHQFH
RSHUDWLRQVDQGDQDO\WLFVXSSRUW
 7KH 0,%7¶V UHJLRQDO IRFXV HQKDQFHV LWV FDSDELOLWLHV WR GHYHORS DQG H[SORLW ODQJXDJH VNLOOV DQG
FXOWXUDOLQVLJKWVVSHFLILFWRWKH$257KH0,%7¶VUHJLRQDOIRFXVDOVRSURYLGHVWKHEHQHILWVRIFRQWLQXLW\
DQGFXOWXUDOFRQWH[WWRLWVDQDO\WLFLQWHOOLJHQFHSURGXFWV7KH0,%7FDQFROOHFWDQDO\]HDQGWUDFNWKHWKUHDW
FKDUDFWHULVWLFV DQG GRFWULQH RI SDUWQHU QDWLRQV HQHPLHV DQG DGYHUVDULHV RYHU PDQ\ \HDUV 7KHVH DELOLWLHV
DOORZWKH0,%7WRFUHDWHDQGPDLQWDLQDYDOXDEOHGDWDEDVHRILQWHOOLJHQFHUHJDUGLQJUHJLRQDOPLOLWDU\IRUFHV
SHUVRQVRILQWHUHVWDQGHYROYLQJGRFWULQHDQGFDSDELOLWLHVRIUHJLRQDOPLOLWDU\IRUFHV

&,9,/$))$,56&200$1'
 (DFKWKHDWHUDUP\UHFHLYHVVXSSRUWIURPDQDSSRUWLRQHG 5HVHUYH&RPSRQHQWFLYLODIIDLUVFRPPDQG
&$&20 7KH&$&20VSURYLGHWKHDWHUOHYHOSODQQLQJFRRUGLQDWLRQSROLFLHVDQGSURJUDPVLQVXSSRUWRI
D*&&¶VUHJLRQDOFLYLOPLOLWDU\RSHUDWLRQVVWUDWHJ\DQGVWDELOL]DWLRQUHFRQVWUXFWLRQDQGGHYHORSPHQWHIIRUWV
WKURXJKSODQQLQJWHDPV&$&20VSURYLGHVXSSRUWWRWKHDWHUDUPLHV-7)VODQGFRPSRQHQWFRPPDQGVRU
WKHVHQLRU$UP\IRUFHVKHDGTXDUWHUV(DFK&$&20KDVWKHFDSDELOLW\WRHVWDEOLVKFLYLOPLOLWDU\RSHUDWLRQV
FHQWHUVWRLQWHJUDWHFRRUGLQDWHDQGV\QFKURQL]HFLYLOPLOLWDU\RSHUDWLRQVLQVXSSRUWRIFLYLODGPLQLVWUDWLRQRU
WUDQVLWLRQDOPLOLWDU\DXWKRULW\
 7KH&$&20¶VVXERUGLQDWHEULJDGHVSURYLGHVXSSRUWWRFRUSVZLWKSODQQLQJWHDPVWKDWFRQGXFWOLDLVRQ
FRRUGLQDWLRQ HGXFDWLRQ DQG WUDLQLQJ DQG DVVHVVPHQW IXQFWLRQV 7KH EULJDGHV HVWDEOLVK FLYLOPLOLWDU\
RSHUDWLRQVFHQWHUVWRFRRUGLQDWHDQGLQWHUIDFHZLWK86IRUFHVDQGLQGLJHQRXVSRSXODWLRQVDQGLQVWLWXWLRQV
KXPDQLWDULDQRUJDQL]DWLRQVLQWHUJRYHUQPHQWDORUJDQL]DWLRQVQRQJRYHUQPHQWDORUJDQL]DWLRQVPXOWLQDWLRQDO
IRUFHVKRVWQDWLRQJRYHUQPHQWDJHQFLHVFLYLOLDQDJHQFLHVRIWKH86*RYHUQPHQWDQGRWKHUXQLILHGDFWLRQ
SDUWQHUV&LYLOPLOLWDU\RSHUDWLRQVFHQWHUVPD\IDFLOLWDWHFRQWLQXRXVFRRUGLQDWLRQDPRQJWKHNH\SDUWLFLSDQWV
FRQGXFWLQJ &$ RSHUDWLRQV IURP ORFDO OHYHOV WR LQWHUQDWLRQDO OHYHOV ZLWKLQ D JLYHQ $2 DQG WKH\ GHYHORS
PDQDJHDQGDQDO\]HWKHFLYLOLQSXWVWRWKHFRPPRQRSHUDWLRQDOSLFWXUH &23 
 &$EDWWDOLRQVDUHWDVNRUJDQL]HGWRVXSSRUW$UP\FRUSVRUGLYLVLRQVWKURXJKSODQQLQJWHDPVSURYLGLQJ
OLDLVRQFRRUGLQDWLRQHGXFDWLRQDQGWUDLQLQJDQGDUHDDVVHVVPHQWIXQFWLRQV 6HH )0IRUGRFWULQHRQ
&$RSHUDWLRQV 

7+((;3$1'('7+($7(5
 )RUODUJHVFDOHFRPEDWRSHUDWLRQVRUSURWUDFWHGMRLQWRSHUDWLRQVWKHWKHDWHUDUP\PD\EHUHLQIRUFHG
E\DQDUUD\RI$UP\FDSDELOLWLHVGHSOR\HGIURPWKH8QLWHG6WDWHVDQGVXSSRUWLQJWKHDWHUDUPLHV2WKHU$UP\
IXQFWLRQDORUPXOWLIXQFWLRQDO KHDGTXDUWHUVDQGXQLWV PD\EH PDGH DYDLODEOHWRWKH WKHDWHUDUP\EDVHGRQ
UHTXLUHPHQWVRIWKH$25LQFOXGLQJIRUZDUGVWDWLRQLQJEDVHRSHUDWLRQVVHFXULW\IRUFHDVVLVWDQFHPLVVLRQV
WKHDWHU VHFXULW\ FRRSHUDWLRQ DFWLYLWLHV RU RQJRLQJ PLOLWDU\ RSHUDWLRQV 7KHVH $UP\ IXQFWLRQDO RU
PXOWLIXQFWLRQDOXQLWVPD\KDYHHLWKHUDFRPPDQGRUDVXSSRUWUHODWLRQVKLSZLWKWKHWKHDWHUDUP\,QVRPH
FDVHVWKH'HSDUWPHQWRIWKH$UP\WDVNVFHUWDLQIXQFWLRQDORUPXOWLIXQFWLRQDOEDWWDOLRQVWRVXSSRUWPRUHWKDQ
RQHWKHDWHUDUP\)LJXUHSURYLGHVDQH[DPSOHRIDWKHDWHUDUP\WDVNRUJDQL]HGIRUODUJHVFDOHFRPEDW
RSHUDWLRQV

2-6 FM 3-0 6 October 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

Figure 2-2. Example of a theater army organization for large-scale combat operations

$50<$,5$1'0,66,/('()(16(&200$1'
 :KHQUHTXLUHGE\WKH*&&DQ$UP\DLUDQGPLVVLOHGHIHQVHFRPPDQG $$0'& PD\EHDWWDFKHG
RU23&21WRWKHWKHDWHUDUP\$LUGHIHQVHDUWLOOHU\ $'$ XQLWVLQWKH$25PD\KDYHDFRPPDQGRUVXSSRUW
UHODWLRQVKLSZLWKWKH$$0'&
 7KH -)& HVWDEOLVKHV DLU DQG PLVVLOH GHIHQVH $0'  SULRULWLHV DOORFDWHV IRUFHV DQG DSSRUWLRQV DLU
SRZHU7KH-)&W\SLFDOO\DVVLJQVRYHUDOOUHVSRQVLELOLW\IRUFRXQWHUDLUDQGLQWHUGLFWLRQPLVVLRQVWRWKHMRLQW
IRUFHDLUFRPSRQHQWFRPPDQGHU -)$&& 1RUPDOO\WKH-)$&&DOVRVHUYHVDVERWKWKHDUHDDLUGHIHQVH
FRPPDQGHU $$'& DQGWKHDLUVSDFHFRQWURODXWKRULW\7KH$$'&LVUHVSRQVLEOHIRUGHIHQVLYHFRXQWHUDLU
RSHUDWLRQV7KH$$'&FRRUGLQDWHVZLWKMRLQWDQGPXOWLQDWLRQDOSDUWQHUVWRGHYHORSSURFHGXUHVIRUWKHWKHDWHU
DLUGHIHQVHSODQ7KH$$0'&VXSSRUWVWKH$$'&IRU$0'WKURXJKRXWWKH$2
 7KH $$0'& FRPPDQGHU KDV VHYHUDO UHVSRQVLELOLWLHV 7KHVH LQFOXGH FRPPDQG RI DOO VXERUGLQDWH
$UP\ $0' XQLWV $UP\ $0' FRRUGLQDWRU IRU WKH ODQG FRPSRQHQW DQG $5)25 DQG GHSXW\ $$'& LI
GHVLJQDWHG  7KH $$0'& FRPPDQGHU KDV RYHUDOO UHVSRQVLELOLW\ IRU SODQQLQJ $UP\ $0' RSHUDWLRQV LQ
VXSSRUWRIWKH-)&7KH$$0'&WDVNRUJDQL]HVDQGDVVLJQVPLVVLRQVWRVXERUGLQDWHEULJDGHV7KH$$0'&
KDV GHGLFDWHG OLDLVRQ WHDPV DEOH WR GHSOR\ WR D PDMRU WKHDWHU ,W SURYLGHV HOHPHQWV WR WKH MRLQW IRUFH DLU
FRPSRQHQWMRLQWIRUFHODQGFRPSRQHQWDQGMRLQWVSHFLDORSHUDWLRQVWDVNIRUFHWRLQWHJUDWH$0'RSHUDWLRQV
 7KH WKUHDW IURP KRVWLOH EDOOLVWLF PLVVLOHV DLUFUDIW FUXLVH PLVVLOHV DQG XQPDQQHG DLUFUDIW V\VWHPV
8$6V PD\RULJLQDWHIURPRXWVLGHWKH-2$7KH$$0'&FRPPDQGHUGLVWULEXWHV$0'DVVHWVWRSURWHFW
QRWRQO\WKH-2$EXWDOVRRWKHUKLJKYDOXHDVVHWVDFURVVWKH$25,IWKH$$0'&LVQRWORFDWHGLQWKH-2$
WKH$'$EULJDGHFRPPDQGHUPD\VHUYHDVWKHGHSXW\$$'&7KDWEULJDGHWDNHVUHVSRQVLELOLW\IRU$0'
SODQQLQJDQGIRUSURYLGLQJOLDLVRQWRWKHMRLQWIRUFHODQGFRPSRQHQWKHDGTXDUWHUVDQG$$'&RU-)$&&
6HH-3DQG)0IRUGRFWULQHRQWKHDWHU$0' 

0,/,7$5<32/,&(&200$1'
 7KH WKHDWHU DUP\ QRUPDOO\ UHFHLYHV RQH PLOLWDU\ SROLFH 03  FRPPDQG ZKHQ PRUH WKDQ RQH 03
EULJDGHLVUHTXLUHG7KH03FRPPDQGUHLQIRUFHVDQGDXJPHQWVWDFWLFDOOHYHO03HIIRUWVDQGGHYHORSVWKHDWHU
GHWHQWLRQDUHDVRUGLVORFDWHGFLYLOLDQRSHUDWLRQVEDVHV7KHFRPPDQGHURIWKH03FRPPDQGDOVRVHUYHVDV
WKH FRPPDQGHU RI GHWDLQHH RSHUDWLRQV 7KH 03 EULJDGH LV RQH RI WKH $UP\¶V IXQFWLRQDO EULJDGHV ,W FDQ
FRPPDQG XS WR ILYH PLVVLRQWDLORUHG 03 EDWWDOLRQV LQWHJUDWH FDSDELOLWLHV IURP DOO WKUHH 03 GLVFLSOLQHV

6 October 2017 FM 3-0 2-7


Chapter 2

SROLFHRSHUDWLRQVGHWHQWLRQRSHUDWLRQVDQGVHFXULW\DQGPRELOLW\VXSSRUW DQGLQWHJUDWHSROLFHLQWHOOLJHQFH
RSHUDWLRQV ,W FDQ DOVR FRPPDQG RWKHU QRQ03 XQLWV IRFXVHG RQ SHUIRUPLQJ DUHD VXSSRUW GHWHQWLRQ RU
GLVORFDWHGFLYLOLDQWDVNV DQGV\QFKURQL]H03VXSSRUWDFURVVPXOWLSOHRUJDQL]DWLRQVWKDWFRQWURODQ$2LQ
VXSSRUWRIVWDELOLW\WDVNV$IXQFWLRQDO03EULJDGHLVQRWGHVLJQHGWRFRQWUROWHUUDLQVLJQLILFDQWDXJPHQWDWLRQ
DQGWDVNRUJDQL]DWLRQZRXOGEHUHTXLUHGWRDVVLJQDQ03EULJDGHDQ$2

7+($7(5(1*,1((5&200$1'
 7KH WKHDWHU HQJLQHHU FRPPDQG 7(&  SURYLGHV WKHDWHUZLGH HQJLQHHU VXSSRUW DV ZHOO DV HQJLQHHU
VXSSRUWWRIRUFHVGHSOR\HGZLWKLQD-2$7KH7(&VXSHUYLVHVJHRVSDWLDOVXSSRUWFRQVWUXFWLRQUHDOSURSHUW\
PDLQWHQDQFHDFWLYLWLHV VXVWDLQPHQWRI OLQHVRIFRPPXQLFDWLRQVHQJLQHHUORJLVWLFVPDQDJHPHQW DQGEDVH
FDPSGHYHORSPHQW7KHFRPPDQGVXSSRUWV'HSDUWPHQWRI6WDWHRUKRVWQDWLRQHIIRUWVWRUHVWRUHHVVHQWLDO
VHUYLFHV DQG LW DLGV LQ LQIUDVWUXFWXUH GHYHORSPHQW 7KH7(& LV W\SLFDOO\ WDVN RUJDQL]HG ZLWK VXERUGLQDWH
HQJLQHHUEULJDGHV
 7KH7(&W\SLFDOO\VHUYHVDVWKHVHQLRUHQJLQHHUKHDGTXDUWHUVIRUWKHWKHDWHUDUP\DQGDOODVVLJQHGRU
DWWDFKHGHQJLQHHUEULJDGHVDQGRWKHUHQJLQHHUXQLWV:KHQGLUHFWHGLWPD\DOVRFRPPDQGHQJLQHHUVIURP
RWKHU6HUYLFHVDQGPXOWLQDWLRQDOIRUFHVDQGSURYLGHRYHUVLJKWRIFRQWUDFWHGFRQVWUXFWLRQHQJLQHHUV7KH7(&
SURYLGHVSHDFHWLPHWUDLQLQJDQGVXSSRUWRIPLOLWDU\HQJDJHPHQWIRULWVVXSSRUWHGFRPEDWDQWFRPPDQGHUV
7KHFRPPDQGDOVRFRRUGLQDWHVFORVHO\ZLWKWKH'2'FRQVWUXFWLRQDJHQWLQWKH-2$ 6HH'2''IRU
PRUH LQIRUPDWLRQ DERXW UHVSRQVLEOH DUHDV IRU VHQLRU FRQWUDFW FRQVWUXFWLRQ DJHQWV 6HH $73  IRU
GRFWULQHRQWKHDWHUOHYHOHQJLQHHUFDSDELOLWLHV 

7+($7(5$9,$7,21&200$1'
 7KH WKHDWHU DYLDWLRQ FRPPDQG SURYLGHV DLU WUDIILF VHUYLFH DLUILHOG PDQDJHPHQW DHURPHGLFDO
HYDFXDWLRQWKHDWHUDYLDWLRQVXSSRUWDQGFRRUGLQDWLRQRIDYLDWLRQVWDJLQJDQGRQZDUGPRYHPHQWLQVXSSRUW
RIFRUSV$UP\RUMRLQWRSHUDWLRQVLQWKHDWHU
 7KH WKHDWHU DYLDWLRQ EULJDGH JHQHUDO VXSSRUW  VXSSRUWV WKH WKHDWHU ZLWK DGGLWLRQDO JHQHUDO VXSSRUW
DYLDWLRQEDWWDOLRQVWRSHUIRUPDVVDXOWKHDY\OLIWDHURPHGLFDOHYDFXDWLRQDQGDLUPRYHPHQW(DFKWKHDWHU
DYLDWLRQEULJDGHFDQFRQGXFWDVVDXOWRUJHQHUDOVXSSRUWDYLDWLRQWDVNVLQVXSSRUWRIWKHWKHDWHUDUP\DQGLWV
VXERUGLQDWHFRPPDQGV8QOLNHFRPEDWDYLDWLRQEULJDGHV &$%V DWKHDWHUDYLDWLRQEULJDGHODFNVDWWDFNDQG
UHFRQQDLVVDQFHEDWWDOLRQV7KHWKHDWHUDYLDWLRQEULJDGHKDVDPL[RIOLIWKHOLFRSWHUVDQGIL[HGZLQJDLUFUDIW
7KH EULJDGH FDQ FRQGXFW DLU DVVDXOW DLU PRYHPHQW DQG VXVWDLQLQJ RSHUDWLRQV ,W ZLOO QRUPDOO\ QRW KDYH
DWWDFKHG8$6V7KHWKHDWHUDYLDWLRQEULJDGHUHLQIRUFHV&$%VZLWKDGGLWLRQDODVVDXOWJHQHUDOVXSSRUWKHDY\
OLIWDQGDHURPHGLFDOHYDFXDWLRQ,ISURSHUO\WDVNRUJDQL]HGZLWKDGGLWLRQDOPLVVLRQFRPPDQGDQGVWDIIDQG
PDLQWHQDQFHDVVHWVWKHWKHDWHUDYLDWLRQEULJDGHFDQFRQGXFWRWKHUWUDGLWLRQDO&$%PLVVLRQV,IWDVNRUJDQL]HG
ZLWK D WKHDWHU IL[HGZLQJ EDWWDOLRQ WKH WKHDWHU DYLDWLRQ EULJDGH IOLHV IL[HGZLQJ VRUWLHV LQ VXSSRUW RI WKH
$5)25WKHDWHUDUP\DQG MRLQW IRUFHODQGFRPSRQHQW 6HH )0 IRU PRUHGLVFXVVLRQRI WKHWKHDWHU
DYLDWLRQEULJDGHDQGWKHDWHUIL[HGZLQJEDWWDOLRQ 
 $WKHDWHUDYLDWLRQVXVWDLQPHQWPDLQWHQDQFHJURXSPD\EHDWWDFKHGWRDWKHDWHUDUP\WRSURYLGHGHSRW
OHYHO PDLQWHQDQFH VXSSRUW 7KH WKHDWHU DYLDWLRQ VXVWDLQPHQW PDLQWHQDQFH JURXS PD\ EH VXEVHTXHQWO\
DWWDFKHGWRWKH76& 6HH7&IRUPRUHLQIRUPDWLRQRQWKHDWHUDYLDWLRQVXVWDLQPHQWPDLQWHQDQFH 
 $UP\DLUWUDIILFVHUYLFHXQLWVDWWKHWKHDWHUOHYHOFRQVLVWRIWKHWKHDWHUDLUILHOGRSHUDWLRQVJURXSZLWK
LWV VXERUGLQDWH DLUILHOG RSHUDWLRQV EDWWDOLRQV 7KHVH XQLWV DUH QRUPDOO\ DWWDFKHG WR WKH WKHDWHU DYLDWLRQ
FRPPDQGWKH\HVWDEOLVKDQGRSHUDWHDLUILHOGVDVQHHGHGLQWKH$25$GYDQFHGRSHUDWLRQVEDVHVFDQRSHUDWH
IXOO\ LQVWUXPHQWHG DLUILHOGV ZLWK DLUSRUW VXUYHLOODQFH UDGDU DSSURDFK SUHFLVLRQ DSSURDFK UDGDU DQG
FRQWUROOLQJ DLUVSDFH QHFHVVDU\ WR VXSSRUW DLUILHOG RSHUDWLRQV 6HH )0  IRU PRUH LQIRUPDWLRQ RQ
$UP\DLUWUDIILFVHUYLFHXQLWV 

36<&+2/2*,&$/23(5$7,216*5283
 3V\FKRORJLFDORSHUDWLRQVJURXSVIURPWKH$UP\5HVHUYHVXSSRUWFRQYHQWLRQDO$UP\IRUFHVZLWKLQDQ
$257KHVHJURXSVSURYLGHWKHIRUPDWLRQVWKDWVXSSRUW$UP\FRUSVGLYLVLRQVDQGEULJDGHVZLWKPLOLWDU\
LQIRUPDWLRQVXSSRUWRSHUDWLRQV 0,62 $JURXSIRUPLQJDPLOLWDU\LQIRUPDWLRQVXSSRUWWDVNIRUFHQRUPDOO\

2-8 FM 3-0 6 October 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

RSHUDWHVLQVXSSRUWRIDFRUSVEXWLWPD\SURYLGHGLUHFWVXSSRUWWRDGLYLVLRQ7KHVHJURXSV¶FDSDELOLWLHVDUH
WDFWLFDOLQQDWXUHDQGWKH\ODFNWKHOHYHORIDQDO\VLVSURGXFWLRQDQGGLVVHPLQDWLRQUHTXLUHGDWWKHRSHUDWLRQDO
DQGVWUDWHJLFOHYHOV7KH\UHFHLYHDXJPHQWDWLRQLQFOXGLQJODQJXDJHDQGFXOWXUDOH[SHUWLVHUHJLRQDODQDO\VLV
DQGPDVVFRPPXQLFDWLRQVGHOLYHU\FDSDELOLWLHV'HSHQGLQJXSRQLWVPLVVLRQVDPLOLWDU\LQIRUPDWLRQVXSSRUW
WDVN IRUFH UHFHLYHV DGGLWLRQDO DXJPHQWDWLRQ IURP WKH VXSSRUWHG PDQHXYHU XQLW DQG WKH $UP\ 5HVHUYH
VWUDWHJLFGLVVHPLQDWLRQFRPSDQ\$VWKH$UP\5HVHUYHSURYLGHVWKHRQO\FRQYHQWLRQDOIRUFHSV\FKRORJLFDO
RSHUDWLRQV FDSDELOLW\ HDUO\ PRELOL]DWLRQ DQG LQWHJUDWLRQ LQWR SUHGHSOR\PHQW WUDLQLQJ DQG WKH IRUFH
GHSOR\PHQWSURFHVVLVFULWLFDO
 $ WDLORUHG MRLQW PLOLWDU\ LQIRUPDWLRQ VXSSRUW WDVN IRUFH VXSSRUWV WKH FRPEDWDQW FRPPDQGHU -7)
FRPPDQGHUWKHDWHUVSHFLDORSHUDWLRQVFRPPDQGHUDQGMRLQWVSHFLDORSHUDWLRQVWDVNIRUFHFRPPDQGHU7KH
PLOLWDU\LQIRUPDWLRQVXSSRUWWDVNIRUFHSODQVGHYHORSVDQG ZKHQGLUHFWHG H[HFXWHV0,62-RLQWPLOLWDU\
LQIRUPDWLRQVXSSRUWWDVNIRUFHVIXQFWLRQDVWKHFHQWUDOFRRUGLQDWLRQSRLQWIRUDOO0,62DFWLYLWLHVH[HFXWHGLQ
DQ$25-RLQWPLOLWDU\LQIRUPDWLRQVXSSRUWWDVNIRUFHVFRQWULEXWHWRWKHSODQQLQJDQGH[HFXWLRQRI0,62WR
DFKLHYHWKHMRLQWFRPPDQGHU¶VRYHUDOOREMHFWLYHV 6HH)0IRUPRUHLQIRUPDWLRQRQ0,62 

&+(0,&$/%,2/2*,&$/5$',2/2*,&$/$1'18&/($5%5,*$'(
 $UP\&%51EULJDGHVRIIHUDUDQJHRIFDSDELOLWLHVWRWKHWKHDWHU8QLWVIURPWKHVHEULJDGHVFDQEHWDVN
RUJDQL]HGWRVXSSRUWWKHFRPEDWDQWFRPPDQGHUVXERUGLQDWH-)&V$UP\IRUFHFRPPDQGHUVDQGIXQFWLRQDO
FRPSRQHQWVIDFHGZLWK&%51WKUHDWVRUKD]DUGV7KH&%51WDVNRUJDQL]DWLRQZLWKLQDWKHDWHUGHSHQGVRQ
WKHZHDSRQVRIPDVVGHVWUXFWLRQ :0' WKUHDW 6HH$73IRUPRUHLQIRUPDWLRQRQ&%51XQLWV 

27+(525*$1,=$7,216)257+($7(56833257
 6HYHUDO RWKHU RUJDQL]DWLRQV SURYLGH VXSSRUW WR WKH WKHDWHU DUP\ 7KHVH RUJDQL]DWLRQV LQFOXGH WKH
H[SORVLYHRUGQDQFHGLVSRVDO (2' JURXSWKHDWHULQIRUPDWLRQRSHUDWLRQVJURXSUHJLRQDOVXSSRUWJURXSV
EDWWOHILHOG FRRUGLQDWLRQ GHWDFKPHQW $UP\ VSHFLDO RSHUDWLRQV IRUFHV 62)  DQG VHFXULW\ IRUFH DVVLVWDQFH
EULJDGHV

(;3/26,9(25'1$1&(',6326$/*5283
 $WKHDWHUDUP\VXSSRUWLQJODUJHVFDOHFRPEDWRSHUDWLRQVLVDOORFDWHGDQ(2'JURXS$Q(2'JURXS
FRPPDQGHUFDQH[HUFLVHPLVVLRQFRPPDQGIRUWZRWRVL[(2'EDWWDOLRQV$Q(2'EDWWDOLRQFRQGXFWVVWDII
SODQQLQJDQGVWDIIFRQWURORI (2'DVVHWVZLWKLQDGLYLVLRQ$2(2'JURXSVDQGEDWWDOLRQVSRVLWLRQWKHLU
(2'FRPSDQLHVDWORFDWLRQVZKHUHWKH\FDQEHVWSURYLGHVXSSRUWWKURXJKRXWDQRSHUDWLRQDODUHD7KH(2'
JURXSKHDGTXDUWHUVFRPPDQGVDOO$UP\(2'DVVHWVDQGRSHUDWLRQVLQDWKHDWHUDQGFDQVHUYHDVWKHEDVLV
IRUDFRXQWHULPSURYLVHGH[SORVLYHGHYLFH WDVN IRUFH7KHJURXS PD\DOVRIRUP WKHFRUHRIDVSHFLDOL]HG
FRPELQHG -7) ZLWK WKH PLVVLRQ RI SURYLGLQJ YDULRXV SURWHFWLRQ DQG H[SORLWDWLRQ HQDEOHUV VXFK DV
FRXQWHULPSURYLVHGH[SORVLYHGHYLFHH[SORLWDWLRQRUFRXQWHULQJZHDSRQVRIPDVVGHVWUXFWLRQ &:0' WDVN
IRUFHV 7KH JURXS FDQ DOVR SURYLGH HQDEOLQJ VXSSRUW DQDO\VLV DQG VXSSRUW WR WDUJHWLQJ HIIRUWV WKHDWHU
H[SORLWDWLRQDQG&:0'7KHVHQLRU(2'FRPPDQGHUQRUPDOO\IXQFWLRQVDVWKH(2'VSHFLDOVWDIIRIILFHU
IRU WKH VHQLRU GHSOR\HG $UP\ KHDGTXDUWHUV 6HH $73  DQG $73  IRU GRFWULQH RQ H[SORVLYH
RUGQDQFHGLVSRVDO 

7+($7(5,1)250$7,2123(5$7,216*52836
 7KH$UP\SURYLGHVLQIRUPDWLRQRSHUDWLRQVVXSSRUWWRWKHWKHDWHUDUP\WKURXJKHOHPHQWVGHGLFDWHGWR
KHOSLQJWKHDWHURUJDQL]DWLRQVDQDO\]HDQGRSHUDWHZLWKLQDQLQFUHDVLQJO\FRPSOH[LQIRUPDWLRQHQYLURQPHQW
7KHVHXQLWVDXJPHQWWKHDWHUIRUFHVZLWKGHSOR\DEOH PLVVLRQWDLORUHGVXSSRUWWHDPVDQGFRQWLQHQWDO86
EDVHG RSHUDWLRQDO SODQQLQJ VXSSRUW LQWHOOLJHQFH DQDO\VLV DQG WHFKQLFDO DVVLVWDQFH 7KHVH VXSSRUW
RUJDQL]DWLRQVLQFOXGHWKHVW,QIRUPDWLRQ2SHUDWLRQV&RPPDQG /DQG IURPWKH5HJXODU$UP\DQGWKHDWHU
LQIRUPDWLRQ RSHUDWLRQV JURXSV IURP WKH 5HVHUYH &RPSRQHQW 7KH VW ,QIRUPDWLRQ 2SHUDWLRQV &RPPDQG
/DQG  LV DVVLJQHG WR WKH 8QLWHG 6WDWHV $UP\ ,QWHOOLJHQFH DQG 6HFXULW\ &RPPDQG DQG 23&21 WR
$5&<%(57KHVHRUJDQL]DWLRQVSURYLGHWKHIROORZLQJVXSSRUW²

6 October 2017 FM 3-0 2-9


Chapter 2

z )LHOG VXSSRUW WHDPV SURYLGH LQIRUPDWLRQ RSHUDWLRQV VXEMHFW PDWWHU H[SHUWLVH WR VXSSRUWHG
FRPPDQGV7KHVHWHDPVKHOSWKRVHFRPPDQGVZLWKWKHSODQQLQJH[HFXWLRQDQGDVVHVVPHQWRI
LQIRUPDWLRQRSHUDWLRQV
z 9XOQHUDELOLW\DVVHVVPHQWWHDPVKHOSWKHVXSSRUWHGFRPPDQGVLGHQWLI\LQIRUPDWLRQRSHUDWLRQVDQG
F\EHUVSDFH YXOQHUDELOLWLHV ZLWKLQ WKHLU RSHUDWLRQDO SURFHGXUHV SROLFLHV SUDFWLFHV DQG WUDLQLQJ
7KHVH WHDPV DOVR FROODERUDWH ZLWK WKH VXSSRUWHG FRPPDQGV DV WKH\ ZRUN WR UHVROYH LGHQWLILHG
YXOQHUDELOLWLHV
z 2SHUDWLRQV VHFXULW\ 236(&  VXSSRUW WHDPV DVVLVW VXSSRUWHG FRPPDQGV LQ DVVHVVLQJ DQG
GHYHORSLQJXQLWRSHUDWLRQVVHFXULW\SURJUDPV
z 5HDFKEDFN HOHPHQWV SURYLGH LQIRUPDWLRQ RSHUDWLRQV DQG F\EHUVSDFH RSHUDWLRQDO SODQQLQJ
VXSSRUWLQWHOOLJHQFHDQDO\VLVDQGWHFKQLFDODVVLVWDQFHIRUGHSOR\HGIRUFHVUHTXHVWLQJVXSSRUW
z &\EHUVSDFHRSSRVLQJIRUFHVSURYLGHDQRQFRRSHUDWLYHF\EHUVSDFHWKUHDWGXULQJPDMRUH[HUFLVHV
DQGWUDLQLQJFHQWHUURWDWLRQVWRKHOSIXOO\FKDOOHQJHWKHDELOLW\RIGHSOR\LQJXQLWVWRRSHUDWHLQD
KRVWLOHF\EHUVSDFHWKUHDWHQYLURQPHQW

5(*,21$/6833257*52836
 $WKHDWHUDUP\PD\UHFHLYHDUHJLRQDOVXSSRUWJURXSWRSURYLGHFRQWLQJHQF\DQGH[SHGLWLRQDU\EDVH
RSHUDWLRQVVXSSRUW7KHVHJURXSVKDYHUHVSRQVLELOLWLHVIRUPDQDJLQJIDFLOLWLHVSURYLGLQJDGPLQLVWUDWLYHDQG
ORJLVWLFVVXSSRUWRI6ROGLHUVHUYLFHVDQGHQVXULQJWKHVHFXULW\RISHUVRQQHODQGIDFLOLWLHVRQDEDVHFDPS

%$77/(),(/'&225',1$7,21'(7$&+0(17
 $EDWWOHILHOGFRRUGLQDWLRQGHWDFKPHQW %&' LVDVSHFLDOL]HGUHJLRQDOO\IRFXVHG$UP\HOHPHQWWKDW
VHUYHVDVWKHVHQLRU$UP\RSHUDWLRQDOFRPPDQGHU¶VOLDLVRQZLWKWKHDLUFRPSRQHQW$%&'LVFRORFDWHG
ZLWKWKHMRLQWDLURSHUDWLRQVFHQWHU -$2& FRPELQHGDLURSHUDWLRQVFHQWHURUWKH$LU)RUFHDLURSHUDWLRQV
FHQWHU7KH%&'LVWKH$UP\¶VLQWHUIDFHIRUV\VWHPVFRQQHFWLYLW\WRWKH-$2&DQGIRUSHUVRQQHOLQWHJUDWLRQ
ZLWK WKHLU -$2& FRXQWHUSDUWV %&' WDVNV LQFOXGH IDFLOLWDWLQJ WKH H[FKDQJH RI FXUUHQW LQWHOOLJHQFH DQG
RSHUDWLRQDO GDWD SURFHVVLQJ DLU VXSSRUW UHTXHVWV PRQLWRULQJ DQG LQWHUSUHWLQJ WKH ODQG EDWWOH VLWXDWLRQ
FRRUGLQDWLQJ$0'FRRUGLQDWLQJDLUOLIWDQGLQWHJUDWLQJDLUVSDFHUHTXLUHPHQWV 6HH$73IRUGRFWULQH
RQWKH%&' 
 ,QODUJHVFDOHFRPEDWRSHUDWLRQVWKH%&'VXSSRUWVWKHMRLQWIRUFHODQGFRPSRQHQW$UP\FRUSVUHOD\
UHTXLUHPHQWV DQG UHTXHVWV WR WKH ODQG FRPSRQHQW ZKR LQ WXUQ UHOD\V ODQG FRPSRQHQW UHTXLUHPHQWV DQG
UHTXHVWVIRUMRLQWIRUFHDLUFRPSRQHQWVXSSRUWWKURXJKWKH%&'7KH%&'UHSUHVHQWVWKH MRLQWIRUFHODQG
FRPSRQHQWFRPPDQGHUWKURXJKRXWWKHMRLQWDLUWDVNLQJF\FOHLQWKH-$2&

$50<63(&,$/23(5$7,216)25&(6
 7KHWKHDWHUVSHFLDORSHUDWLRQVFRPPDQGLVWKHVXERUGLQDWHVSHFLDORSHUDWLRQVFRPPDQGWKURXJKZKLFK
WKH*&&QRUPDOO\H[HUFLVHV23&21RIDOO$UP\VSHFLDORSHUDWLRQVIRUFHV $562) ZLWKLQWKH$25 6HH
)0 7KHFRPPDQGHURIWKHWKHDWHUVSHFLDORSHUDWLRQVFRPPDQGVHUYHVDVWKHSULPDU\DGYLVRUWRWKH
FRPEDWDQWFRPPDQGHUIRUDSSO\LQJUHJLRQDOO\DOLJQHG$562)$VGLUHFWHGE\WKH *&&WKHWKHDWHUDUP\
SURYLGHVVXSSRUWWRGHSOR\HG62)7KHVSHFLDORSHUDWLRQVFRPPDQGHUFRRUGLQDWHVZLWKWKHWKHDWHUDUP\IRU
VXVWDLQPHQWUHTXLUHPHQWV7KH$'&21RI$562)DQGORJLVWLFVVXSSRUWRI62)XQLTXHLWHPVZLOOQRUPDOO\
UHPDLQLQVSHFLDORSHUDWLRQVFKDQQHOV

6(&85,7<)25&($66,67$1&(%5,*$'(
 6HFXULW\IRUFHDVVLVWDQFHEULJDGHVSURYLGHWKHDWHUDUP\FRPPDQGHUVWKHFDSDELOLW\WRVXSSRUWWKHDWHU
VHFXULW\FRRSHUDWLRQDFWLYLWLHVDQGEXLOGSDUWQHUQDWLRQVHFXULW\IRUFHFDSDFLW\(DFKVHFXULW\IRUFHDVVLVWDQFH
EULJDGH LV RUJDQL]HG ZLWK D KHDGTXDUWHUV DQG KHDGTXDUWHUV FRPSDQ\ WZR DGYLVRU\ PDQHXYHU EDWWDOLRQV
HLWKHUDQLQIDQWU\RUFRPELQHGDUPVEDWWDOLRQ RQHDGYLVRU\FDYDOU\VTXDGURQRQHDGYLVRU\ILHOGDUWLOOHU\
EDWWDOLRQRQHDGYLVRU\HQJLQHHUEDWWDOLRQ ZLWKHPEHGGHGVLJQDODQGPLOLWDU\LQWHOOLJHQFHFRPSDQLHV DQG
DQDGYLVRU\EULJDGHVXSSRUWEDWWDOLRQWRIRFXVSULPDULO\RQWDFWLFDODQGRSHUDWLRQDODGYLVLQJ6HFXULW\IRUFH
DVVLVWDQFHEULJDGHVKDYHWKHFDSDELOLW\WRFRQGXFWWDFWLFDODGYLVRU\PLVVLRQV

2-10 FM 3-0 6 October 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

&2536
 /DUJHVFDOH FRPEDW RSHUDWLRQV PD\ UHTXLUH D FRUSV KHDGTXDUWHUV WR IXQFWLRQ DV D WDFWLFDO ODQG
KHDGTXDUWHUVXQGHUDMRLQWRUPXOWLQDWLRQDOODQGFRPSRQHQWFRPPDQG$FRUSVLVQRUPDOO\WKHVHQLRU$UP\
KHDGTXDUWHUV GHSOR\HG WR D -2$ ,W FRPPDQGV $UP\ DQG PXOWLQDWLRQDO IRUFHV LQ FDPSDLJQV DQG PDMRU
RSHUDWLRQV
 $ FRUSV KHDGTXDUWHUV LV RUJDQL]HG WUDLQHG DQG HTXLSSHG WR FRQWURO WKH RSHUDWLRQV RI WZR WR ILYH
GLYLVLRQVWRJHWKHUZLWKVXSSRUWLQJWKHDWHUOHYHORUJDQL]DWLRQV7KHGLVWLQJXLVKLQJGLIIHUHQFHVEHWZHHQFRUSV
DQGGLYLVLRQRSHUDWLRQVDUHWKHLUVFRSHDQGVFDOH'XULQJODUJHVFDOHFRPEDWRSHUDWLRQVDFRUSVRSHUDWHVDV
DIRUPDWLRQQRWMXVWDVDKHDGTXDUWHUV1RUPDOO\DFRUSVH[HUFLVHV23&21RYHUWZRRUPRUH86$UP\
GLYLVLRQVDQGDYDULHW\RIVXSSRUWLQJEULJDGHVLWH[HUFLVHV7$&21RYHUYDULRXVPXOWLQDWLRQDOXQLWVDQG86
0DULQH&RUSVXQLWVDQGLWLV VXSSRUWHGE\ YDULRXVWKHDWHU VXVWDLQPHQWRUJDQL]DWLRQV7KHFRUSVKDVERWK
RSHUDWLRQDODQGDGPLQLVWUDWLYHUHVSRQVLELOLWLHV

&253623(5$7,21$/5(63216,%,/,7,(6
 &RUSVFRQGXFWRIIHQVLYHGHIHQVLYHDQGVWDELOLW\WDVNVWKURXJKDVHULHVRIFRRUGLQDWHGDQGLQWHJUDWHG
GLYLVLRQ DQG VHSDUDWH EULJDGH RSHUDWLRQV7KHVH RSHUDWLRQV DFKLHYH SRVLWLRQV RI UHODWLYH DGYDQWDJH DFURVV
PXOWLSOHGRPDLQVLQRUGHUWRGHVWUR\RUGHIHDWDQHQHP\DQGDFKLHYHWKHRYHUDOOSXUSRVHRIWKHRSHUDWLRQV
&RPPDQGHUVGLUHFWGHFLVLYHDFWLRQWDVNVWRFUHDWHDQGH[SORLWSRVLWLRQVRIUHODWLYHDGYDQWDJHE\XVLQJWKH
DSSURSULDWHFRPELQDWLRQRIGHIHDWDQGVWDELOLW\PHFKDQLVPVWKDWEHVWDFFRPSOLVKWKHPLVVLRQ 6HHFKDSWHU
IRUDGLVFXVVLRQRIGHIHDWDQGVWDELOLW\PHFKDQLVPV 
 7KHFRUSVFRPPDQGHUV\QFKURQL]HVWKHHPSOR\PHQWRIMRLQWFDSDELOLWLHVLQFRQMXQFWLRQZLWK$UP\
GHFLVLYHDFWLRQ&RUSVRSHUDWLRQVVKDSHDQ2(DQGVHWWKHFRQGLWLRQVIRUWDFWLFDODFWLRQVE\WKHGLYLVLRQDQG
ORZHU HFKHORQV ,Q ODUJHVFDOH FRPEDW RSHUDWLRQV WKH FRUSV WDVNRUJDQL]HV DQG PDQHXYHUV GLYLVLRQV WR
GHVWUR\HQHP\ODQGIRUFHVVHL]HNH\WHUUDLQDQGFULWLFDOLQIUDVWUXFWXUHDQGGRPLQDWHWKHODQGSRUWLRQRIWKH
-2$&RUSVWDVNVDVVRFLDWHGZLWKWKHFRQGXFWRIODUJHVFDOHFRPEDWRSHUDWLRQVLQFOXGH²
z &RQGXFWVKDSLQJRSHUDWLRQVZLWKLQWKHFRUSV$2
z 7DVNRUJDQL]HDQGHPSOR\GLYLVLRQVDQGEULJDGHV
z ,QWHJUDWHDQGV\QFKURQL]HRSHUDWLRQVRIGLYLVLRQVDQGEULJDGHV
z 0DVVHIIHFWVDWGHFLVLYHSRLQWV
z $OORFDWHUHVRXUFHVDQGVHWSULRULWLHV
z /HYHUDJHMRLQWFDSDELOLWLHV
6HH$73IRULQIRUPDWLRQRQFRUSVRSHUDWLRQV 
 $FRUSVUHFHLYHVFDSDELOLWLHVDQGXQLWVIURPWKHWKHDWHUDUP\WRFRQGXFWRSHUDWLRQV,QDGGLWLRQWRLWV
GLYLVLRQVWKHFRUSVPD\GLUHFWO\FRQWURO%&7VDQGVHYHUDOGLIIHUHQWW\SHVRIPXOWLIXQFWLRQDODQGIXQFWLRQDO
EULJDGHV 7KHUH LV QR VWDQGDUG FRQILJXUDWLRQ IRU D FRUSV EXW D FRUSV ZLOO JHQHUDOO\ UHTXLUH D PDQHXYHU
HQKDQFHPHQWEULJDGH 0(% D&$%DQ(6&D ILHOGDUWLOOHU\EULJDGHDQGD0,%7LQRUGHUWRFRQGXFW
ODUJHVFDOHFRPEDWRSHUDWLRQV2WKHUXQLWVPD\SURYLGHGLUHFWRUJHQHUDOVXSSRUW)LJXUHRQSDJH
VKRZVDQH[DPSOHFRUSVWDVNRUJDQL]DWLRQ
 %DVHG RQ WKH DVVLJQHG WDVNV RI WKH GLYLVLRQV DQG WKH DOORFDWLRQ RI EULJDGHV WKH FRUSV FRPPDQGHU
GHWHUPLQHVWKHDSSURSULDWHFRPPDQGDQGVXSSRUWUHODWLRQVKLSVIRUVXERUGLQDWHGLYLVLRQVDQGEULJDGHV 6HH
WDEOHV$DQG$LQDSSHQGL[$IRUOLVWLQJVRIWKHVHFRPPDQGDQGVXSSRUWUHODWLRQVKLSV $FRUSVPD\
UHWDLQVRPHEULJDGHVLQUHVHUYHRUIRUFRQVROLGDWLRQRIJDLQVDFWLYLWLHV

6 October 2017 FM 3-0 2-11


Chapter 2

Figure 2-3. Possible tactical corps task organization

2-12 FM 3-0 6 October 2017


Army Echelons, Capabilities, and Training

CORPS ADMINISTRATIVE RESPONSIBILITIES


2-60. All JTFs that include Army forces have an ARFOR. The ARFOR is the Army component and senior
Army headquarters of all Army forces assigned or attached to a combatant command, subordinate joint force
command, joint functional command, or multinational command (FM 3-94). When a corps is an ARFOR,
the ARFOR consists of the corps commander, the corps headquarters, and all the Army forces attached to the
JTF.
2-61. As an ARFOR, the corps provides administrative and logistics support to all Army forces assigned to
these organizations as specified by the theater army. The theater army commander specifies the ADCON
responsibilities of the ARFOR, with the theater army retaining control of RSOI, logistics support of the
deployed force, personnel support, and medical support. Administrative responsibilities retained by the corps
include internal administration and discipline, training within the JOA, and Service-specific reporting. (See
FM 3-94, chapter 2, for further details.)

DIVISIONS
2-62. Divisions are the tactical units of execution for a corps. A division’s primary role is as a tactical
headquarters commanding brigades in decisive action. A division combines offensive, defensive, and either
stability or defense support of civil authorities tasks in an AO assigned by its higher headquarters, normally
a corps. It task-organizes its subordinate forces to accomplish its mission. During large-scale combat
operations, a division operates as a formation and not only as a headquarters. The corps commander
determines the number and types of BCTs necessary for the divisions to accomplish their respective missions.
Divisions have operational and administrative responsibilities.

DIVISION OPERATIONAL RESPONSIBILITIES


2-63. A division headquarters is organized, trained, and equipped to command the operations of two to five
BCTs. Divisions are typically task-organized with a combination of armored, infantry, and Stryker BCTs.
These BCTs are dependent on the enabling capabilities at division and corps level. Division tasks associated
with the conduct of large-scale combat operations include—
 Conduct shaping operations within the division AO.
 Task-organize and employ BCTs and multifunctional and functional brigades.
 Integrate and synchronize operations of BCTs and multifunctional and functional brigades.
 Mass effects at decisive points (focus BCTs, multifunctional brigades, functional brigades, and
joint capabilities).
 Allocate resources and set priorities.
 Leverage joint capabilities.
(See ATP 3-91 for more information on division operations.)
2-64. A division receives capabilities and units from its corps to conduct operations. In addition to the BCTs,
a division may directly control several different types of multifunctional and functional brigades. +There is
no standard configuration for a division, but a division will require a CAB, an E-MIB, division artillery
(DIVARTY), an MEB, brigade engineer battalions, and a sustainment brigade to provide the base capabilities
necessary for the conduct of large-scale combat operations. Other units may provide direct or general support.
2-65. The size, composition, and capabilities of the forces task-organized under the division may vary
between divisions involved in the same campaign, and they may change from one operational phase to
another. Operations primarily focused on destruction of a conventional enemy military force (the conduct of
offense and defense tasks) require a different mix of forces and capabilities from those required for an
operation primarily focused on the protection of civil populations (the conduct of stability tasks). Figure 2-4
on page 2-14 shows an example division task organization.
2-66. Each division has an organic DIVARTY. The DIVARTY is a brigade-level command that also fills
the role of the force field artillery headquarters for the division. The division commander specifies the
commensurate responsibilities of the force field artillery headquarters and the duration of those
responsibilities. These responsibilities may range from simple mentoring and technical oversight of BCT

6 December 2017 FM 3-0, C1 2-13


Chapter 2

RUJDQLF ILHOGDUWLOOHU\EDWWDOLRQVWR PDNLQJ UHFRPPHQGDWLRQVRQ WDVN RUJDQL]LQJ DOO ILHOG DUWLOOHU\XQLWV


LQFOXGLQJ RUJDQLF DWWDFKHG RU SODFHG XQGHU WKH 23&21 RI D GLYLVLRQ 7KLV LQFOXGHVWKH ILHOGDUWLOOHU\
EDWWDOLRQVRUJDQLFWRWKH%&7V 7KH ',9$57< FRPPDQGHULVWKHILUHVXSSRUWFRRUGLQDWRUIRUWKHGLYLVLRQ
DQG LVWKHSULPDU\DGYLVRUWRWKHGLYLVLRQFRPPDQGHUIRUWKHILUHVZDUILJKWLQJIXQFWLRQ 6HH)0IRU
PRUHGLVFXVVLRQRQWKH',9$57< 

Figure 2-4. Division task organized for large-scale combat operations

',9,6,21 $'0,1,675$7,9(5(63216,%,/,7,(6
 $FRUSVUHWDLQV$5)25UHVSRQVLELOLWLHVWKURXJKWKHWKHDWHUDUP\EDFNWRWKH'HSDUWPHQWRIWKH$UP\
XQOHVVWKHFRUSVFRPPDQGHUVKLIWV6HUYLFHUHVSRQVLELOLWLHVWRDQRWKHUKHDGTXDUWHUV$FRUSVFRPPDQGHUPD\
GHVLJQDWHDVXERUGLQDWH$UP\GLYLVLRQFRPPDQGHUDVWKHGHSXW\$5)25 FRPPDQGHUIRUSHUIRUPLQJWKRVH
GXWLHV:KHQD GLYLVLRQ UHFHLYHVDWWDFKPHQWVWKDWGLYLVLRQ DVVXPHVDGPLQLVWUDWLYHFRQWURORIWKRVHXQLWV
LQFOXGLQJORJLVWLFVPHGLFDODQGDGPLQLVWUDWLRQ

%5,*$'(&20%$77($06
6XFFHVVLQZDUFDQEHDFKLHYHGRQO\E\DOOEUDQFKHVDQGDUPVRIWKHVHUYLFHPXWXDOO\
KHOSLQJDQGVXSSRUWLQJRQHDQRWKHULQWKHFRPPRQHIIRUWWRDWWDLQWKHGHVLUHGHQG
0DMRU *HQHUDO /HRQDUG :RRG

 0RGXODUEULJDGHFRPEDWWHDPVDUHFRPEDWSURYHQRUJDQL]DWLRQVZLWKLQKHUHQWFDSDELOLWLHVWKDWDUHZHOO
VXLWHGIRUWKHUDQJH RIPLOLWDU\RSHUDWLRQVLQ D PXOWLGRPDLQHQYLURQPHQW$ %&7 LVWKH$UP\¶V SULPDU\
FRPELQHGDUPVFORVHFRPEDWIRUFH%&7VPDQHXYHUDJDLQVWFORVHZLWKDQGGHVWUR\WKHHQHP\%&7VVHL]H
DQG UHWDLQNH\WHUUDLQH[HUWFRQVWDQWSUHVVXUHDQG EUHDNWKHHQHP\¶VZLOOWRILJKW7KH\ DUHWKHSULQFLSDO
JURXQG PDQHXYHU XQLWVRID GLYLVLRQ%&7V KDYH RUJDQLFFRPELQHGDUPVFDSDELOLWLHVLQFOXGLQJEDWWDOLRQ
VL]HG PDQHXYHU ILHOG DUWLOOHU\UHFRQQDLVVDQFHDQG VXVWDLQPHQW XQLWV (DFK %&7 KDV RUJDQLF PHGLFDO
VXSSRUW'LYLVLRQ PDQHXYHU FRPELQHVMRLQWFDSDELOLWLHVZLWK WKH RUJDQLFFDSDELOLWLHVRI%&7V WRSURYLGH
PXWXDOVXSSRUWWKDWHQDEOHV%&7VWRFRQGXFWRSHUDWLRQVZLWKLQFRQWLJXRXVRUQRQFRQWLJXRXV$2V

2-14 FM 3-0, C1 6 December 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

 7KHUHDUHWKUHHW\SHVRI%&7VDUPRUHGLQIDQWU\DQG6WU\NHU%&7VQRUPDOO\RSHUDWHDVSDUWRID
GLYLVLRQ+RZHYHUWKH\FDQRSHUDWHRXWVLGHRIDGLYLVLRQKHDGTXDUWHUVVWUXFWXUHGLUHFWO\IRUDFRUSVRUKLJKHU
HFKHORQFRPPDQGHU,QWKLVFDVHWKDWKLJKHUKHDGTXDUWHUVDVVLJQVWKH%&7LWVPLVVLRQ$2DQGVXSSRUWLQJ
HOHPHQWV7KDWKLJKHUHFKHORQKHDGTXDUWHUVRUFKHVWUDWHVWKH%&7¶VDFWLRQVZLWKRWKHUHOHPHQWVRIWKHODUJHU
IRUFH)LJXUHVKRZVWKHRUJDQL]DWLRQRIDQDUPRUHG%&7

Figure 2-5. Armored brigade combat team

 $%&7KDVRUJDQLFFDSDELOLWLHVDFURVVWKH ZDUILJKWLQJIXQFWLRQ PLVVLRQFRPPDQG PRYHPHQWDQG


PDQHXYHU LQWHOOLJHQFH ILUHV VXVWDLQPHQW DQG SURWHFWLRQ ZDUILJKWLQJ IXQFWLRQV  7KHVH FDSDELOLWLHV DUH
VFDODEOH WR PHHW PLVVLRQ UHTXLUHPHQWV 7KHVH RUJDQLF FDSDELOLWLHV LQFOXGH PDQHXYHU ILHOG DUWLOOHU\
LQWHOOLJHQFHVLJQDOHQJLQHHU&%51DQGVXVWDLQPHQWFDSDELOLWLHV
 $KLJKHUHFKHORQFRPPDQGHUFDQWDVNRUJDQL]H D %&7E\DGGLQJRUVXEWUDFWLQJVPDOOHUXQLWVDQG
FDSDELOLWLHV WKURXJK WKH XVH RI FRPPDQG DQG VXSSRUW UHODWLRQVKLSV +LJKHU HFKHORQ FRPPDQGHUV PD\
DXJPHQW%&7VZLWKDGGLWLRQDOFRPEDWSRZHUIRUVSHFLILFPLVVLRQV$XJPHQWDWLRQPLJKWLQFOXGHDYLDWLRQ
DUPRULQIDQWU\ILHOGDUWLOOHU\$0'03&$PLOLWDU\LQIRUPDWLRQVXSSRUWHOHPHQWVHQJLQHHUV&%51DQG

6 October 2017 FM 3-0 2-15


Chapter 2

(2'6RPHRIWKLVDXJPHQWDWLRQPD\FRPHIURPRWKHU%&7V0XOWLIXQFWLRQDODQGIXQFWLRQDOEULJDGHVVXFK
DVDILHOGDUWLOOHU\EULJDGHD0(%D&$%DQHQJLQHHUEULJDGHDQGDVXVWDLQPHQWEULJDGHFDQVXSSRUW%&7
RSHUDWLRQV 6HH)0IRUDGGLWLRQDOLQIRUPDWLRQRQ%&7RSHUDWLRQV 

08/7,)81&7,21$/$1')81&7,21$/%5,*$'(6
 7KHDWHUDUPLHVFRUSVDQGGLYLVLRQVPD\EHWDVNRUJDQL]HGZLWKDQDVVRUWPHQWRIPXOWLIXQFWLRQDODQG
IXQFWLRQDOXQLWVWRVXSSRUWWKHLURSHUDWLRQV7KHVHEULJDGHVDGGFDSDELOLWLHVVXFKDVDWWDFNDQGUHFRQQDLVVDQFH
DYLDWLRQ ILUHV FRQWUDFWLQJ VXSSRUW RU VXVWDLQPHQW 7KH WKHDWHU DUP\ PD\ WDLORU VXERUGLQDWH FRUSV DQG
GLYLVLRQKHDGTXDUWHUVZLWKFRPELQDWLRQVRIPXOWLIXQFWLRQDOEULJDGHV

08/7,)81&7,21$/%5,*$'(6
 0XOWLIXQFWLRQDOEULJDGHVSURYLGHDYDULHW\RIIXQFWLRQVLQVXSSRUWRIRSHUDWLRQV1RUPDOO\WKH\DUH
DWWDFKHGWRDFRUSVRUGLYLVLRQEXWWKH\PD\EHXQGHUWKHFRPPDQGRIDMRLQWRUPXOWLQDWLRQDOKHDGTXDUWHUV
0XOWLIXQFWLRQDOVXSSRUWEULJDGHVLQFOXGHWKH&$%WKHH[SHGLWLRQDU\&$%WKH ILHOGDUWLOOHU\EULJDGHDQG
WKH0(%

&RPEDW$YLDWLRQ%ULJDGH
 $ &$% LV RUJDQL]HG DQG HTXLSSHG WR V\QFKURQL]H WKH RSHUDWLRQV RI PXOWLSOH DYLDWLRQ EDWWDOLRQV
VLPXOWDQHRXVO\WRVXSSRUWFRUSVRUGLYLVLRQRSHUDWLRQV7KHFRPPDQGHUFDQUHRUJDQL]HD&$%LQUHVSRQVH
WR WKH VLWXDWLRQ ,W FDQ SURYLGH WDLORUHG VXSSRUW WR DGMDFHQW VXSSRUWHG PDQHXYHU FRPPDQGHUV DW WKH %&7
HFKHORQDQGEHORZ7KH&$%FRPPDQGHULVQRUPDOO\WKHVHQLRU$UP\DYLDWLRQRIILFHULQWKHFRUSVRUGLYLVLRQ
VWUXFWXUH DQG WKH &$% FRPPDQGHU DGYLVHV DGMDFHQW DQG KLJKHU HFKHORQ FRPPDQGHUV RQ PDQQHG DQG
XQPDQQHGDYLDWLRQV\VWHPHPSOR\PHQW
 7KH&$%SURYLGHVDFRUSVRUGLYLVLRQFRPPDQGHUZLWKDPDQHXYHUDGYDQWDJHWKDWFDQRYHUFRPHWKH
FRQVWUDLQWVRIOLPLWLQJWHUUDLQDQGH[WHQGHGGLVWDQFHV$WWDFNUHFRQQDLVVDQFHXWLOLW\DQGFDUJRDLUFUDIWPD\
PDQHXYHULQGHSHQGHQWO\XQGHUFRUSVRUGLYLVLRQFRQWUROLQWKHHFKHORQGHHSDUHDRUZLWKLQDQDVVLJQHG$2
$OWHUQDWLYHO\WKH&$%¶VDWWDFNUHFRQQDLVVDQFHXWLOLW\DQGFDUJRDVVHWVPD\EHXQGHU23&217$&21
JHQHUDOVXSSRUWRUGLUHFWVXSSRUWWRDQRWKHUEULJDGHDVVLWXDWLRQDOO\DSSURSULDWH)XUWKHUPRUHD&$%PD\
UHFHLYH23&21RIJURXQGPDQHXYHUIRUFHVWRFRQGXFWVHFXULW\RUUHFRQQDLVVDQFHRIWKHFRUSV¶RUGLYLVLRQ¶V
IODQNV RU IURQW RU WR DFFRPSOLVK RWKHU HFRQRP\ RI IRUFH PLVVLRQV 7KH XVH RI DYLDWLRQ DVVHWV UHTXLUHV
DGGLWLRQDO GHWDLOHG SODQQLQJ DQG V\QFKURQL]DWLRQ XVLQJ VSHFLILF DLUVSDFH FRQWURO SURFHVVHV WR PD[LPL]H
UHVXOWV )0GHVFULEHVWKHIUDPHZRUNDQGLPSHUDWLYHVRIDLUJURXQGRSHUDWLRQV 

([SHGLWLRQDU\&RPEDW$YLDWLRQ%ULJDGH
 7KH H[SHGLWLRQDU\ &$% LV D PXOWLIXQFWLRQDO XQLW WKDW LV GHVLJQHG WR DLU DVVDXOW PDQHXYHU IRUFHV
SRVLWLRQSHUVRQQHOVXSSOLHVDQGHTXLSPHQWHYDFXDWHFDVXDOWLHVFRQGXFWSHUVRQQHOUHFRYHU\DQGSURYLGH
PLVVLRQFRPPDQG:KHQWDVNRUJDQL]HGZLWKDQDWWDFNUHFRQQDLVVDQFHEDWWDOLRQRUDWWDFNUHFRQQDLVVDQFH
VTXDGURQH[SHGLWLRQDU\&$%VDOVRSURYLGHDFFXUDWHDQGWLPHO\LQIRUPDWLRQFROOHFWLRQSURYLGHUHDFWLRQWLPH
DQGPDQHXYHUVSDFHDQGGHVWUR\GHIHDWGLVUXSWRUGHOD\HQHP\IRUFHV

)LHOG$UWLOOHU\%ULJDGH
 $ ILHOG DUWLOOHU\ EULJDGH¶V SULPDU\ WDVN LV FRQGXFWLQJ FRUSVOHYHO VWULNH RSHUDWLRQV ,W LV FDSDEOH RI
HPSOR\LQJ$UP\ILUHVDQGLQFRUSRUDWLQJHOHFWURQLFZDUIDUH (: ,QDGGLWLRQDEULJDGHFDQUHTXHVWMRLQW
ILUHVDQGFRRUGLQDWHZLWKDLUVSDFHFRQWUROHOHPHQWV7KHILHOGDUWLOOHU\EULJDGHFDQGHWHFWDQGDWWDFNWDUJHWV
XVLQJ D PL[ RI LWV RUJDQLF WDUJHW DFTXLVLWLRQ DQG ILUHV FDSDELOLWLHV D VXSSRUWHG GLYLVLRQ¶V LQIRUPDWLRQ
FROOHFWLRQFDSDELOLWLHVDQGDFFHVVWRKLJKHUHFKHORQKHDGTXDUWHUVLQIRUPDWLRQFROOHFWLRQFDSDELOLWLHVSURYLGHG
E\WKHLQWHOOLJHQFHHQWHUSULVH
 )LHOGDUWLOOHU\EULJDGHVDUHW\SLFDOO\WKHIRUFHILHOGDUWLOOHU\KHDGTXDUWHUVIRUWKHIRUPDWLRQWRZKLFK
WKH\DUHDOLJQHG7KHILHOGDUWLOOHU\EULJDGHLVFDSDEOHRISURYLGLQJDQGFRRUGLQDWLQJMRLQWOHWKDODQGQRQOHWKDO
HIIHFWV7KHILHOGDUWLOOHU\EULJDGHKDVWKHQHFHVVDU\ILUHVXSSRUWDQGWDUJHWLQJVWUXFWXUHWRH[HFXWHWKHHQWLUH
GHFLGHGHWHFWGHOLYHUDQGDVVHVVSURFHVV1RUPDOO\DQDGGLWLRQDOILHOGDUWLOOHU\EULJDGHZLOOEH23&21WR

2-16 FM 3-0 6 October 2017


$UP\ (FKHORQV&DSDELOLWLHV DQG7UDLQLQJ

WKHFRUSVWRVHUYHDVWKHFRXQWHUILUHKHDGTXDUWHUV 6HH)0DQG$73IRUDGGLWLRQDOLQIRUPDWLRQ
RQILHOGDUWLOOHU\EULJDGHRSHUDWLRQV

0DQHXYHU (QKDQFHPHQW %ULJDGH


 7KH 0(%LVD PXOWLIXQFWLRQDOKHDGTXDUWHUVGHVLJQHGWRSHUIRUPVXSSRUWDUHDDQGPDQHXYHU VXSSRUW
RSHUDWLRQVIRUWKHHFKHORQLWVXSSRUWV+LJKHUHFKHORQFRPPDQGHUVEDVHWKH0(%¶V WDVNRUJDQL]DWLRQRQ
LGHQWLILHGPLVVLRQUHTXLUHPHQWVIRUWKHHFKHORQLWLVVXSSRUWLQJ7KH 0(% FDQSHUIRUP03HQJLQHHUDQG
&%51 PLVVLRQVVLPXOWDQHRXVO\LQ DGGLWLRQ WR DOO RI WKH GRFWULQDOUHVSRQVLELOLWLHVDVVRFLDWHGZLWK EHLQJ
DVVLJQHGDQ$2 ,QDGGLWLRQWKH0(%KDVWKHIROORZLQJUHVSRQVLELOLWLHVZLWKLQDQDVVLJQHGVXSSRUWDUHD
z 6XSSRUWWREDVHFDPSDQGEDVHFOXVWHUGHIHQVH
z /LDLVRQDQGFRRUGLQDWLRQ
z ,QIUDVWUXFWXUHGHYHORSPHQW
z +RVWQDWLRQVXSSRUWLQWHJUDWLRQV
z $UHDGDPDJHFRQWURO
 7KH0(%VXSSRUWVDQ$UP\MRLQWLQWHUDJHQF\RUPXOWLQDWLRQDOKHDGTXDUWHUV7KH0(%KHDGTXDUWHUV
LVVWDIIHGDQGRSWLPL]HGWRFRQGXFWFRPELQHGDUPVRSHUDWLRQVLQWHJUDWLQJDZLGHUDQJHRIPDQHXYHUVXSSRUW
UHODWHGWHFKQLFDOEUDQFKHVDQGFRPEDWIRUFHV7KH0(%RUJDQL]HVSURYLGHVRUHPSOR\VEDWWDOLRQWDVNIRUFH
DQGFRPSDQ\WHDPFRPELQHGDUPVWHFKQLFDOH[SHUWVWRFRQGXFWPDQHXYHUVXSSRUWWDVNVDFURVVDOORSHUDWLRQDO
HQYLURQPHQWV7KH0(%PD\LQFOXGHDPL[RI&%51&$ HQJLQHHU(2'03DQGSRWHQWLDOO\$'$ XQLWV
LQDGGLWLRQWRDWDFWLFDOFRPEDWIRUFH7KHQXPEHUDQGW\SHRIRUJDQL]DWLRQVSODFHGXQGHUWKLVEULJDGHGHSHQGV
RQWKHPLVVLRQWKUHDWDQG QXPEHUDQGW\SHRIEDWWDOLRQVRUFRPSDQLHVRSHUDWLQJLQWKHEULJDGH¶V$27KH
0(%SURYLGHVVWDIISODQQLQJ IRUDQG FRQWURORIWKHXQLWVUHTXLUHGWRFRQGXFWGHFLVLYHDFWLRQLQWKHHFKHORQ
VXSSRUWDUHDVXSSRUWDUHDRSHUDWLRQVDQGPDQHXYHUVXSSRUWRSHUDWLRQV
 $ FRUSVRUGLYLVLRQ FRPPDQGHUFDQ WDVNRUJDQL]HSDUWVRID 0(% WRD %&7 RURWKHUEULJDGHIRUD
VSHFLILFPLVVLRQRUD0(%PD\FRPSOHPHQWRUUHLQIRUFHD%&7 ZLWK IRUFHVXQGHUWKH0(%¶VFRQWUROWKDW
DUHSHUIRUPLQJVHOHFWHGPLVVLRQVRUWDVNVZLWKLQ WKH%&7 $2 7KLVPD\LQFOXGHHQJLQHHUV03&%51RU
RWKHU XQLWV IRU DUHD SURWHFWLRQ&%51 VXSSRUW WR D ILHOG DUWLOOHU\ XQLW WKH &$% DQG WKH VXSSRUWLQJ
VXVWDLQPHQWEULJDGH $OWKRXJK D 0(% PD\ IUHTXHQWO\DWWDFK DQG GHWDFK PRUHXQLWV WKDQ RWKHUVXSSRUW
EULJDGHV LW PXVW DOVR FRQWLQXDOO\ SURYLGH LQWHJUDWHG DQG V\QFKURQL]HG VHUYLFHV OLNH WKH RWKHU VXSSRUW
EULJDGHV 6HH)0IRUDGGLWLRQDOLQIRUPDWLRQRQ0(%RSHUDWLRQV 

6XVWDLQPHQW%ULJDGH
 $ VXVWDLQPHQW EULJDGH LV FDSDEOH RI SURYLGLQJ JHQHUDO VXSSRUW WR RQH RU PRUH GLYLVLRQV %&7V
PXOWLIXQFWLRQDODQG IXQFWLRQDOEULJDGHVDQFLOODU\XQLWV DQG XQLILHGDFWLRQSDUWQHUV7KLV LVLQ DGGLWLRQWR
VXSSRUWLQJWKHFRUSVKHDGTXDUWHUVDQG KHDGTXDUWHUVEDWWDOLRQDQG RWKHUXQLWVRSHUDWLQJLQLWVDVVLJQHGDUHD
7KH VXVWDLQPHQWEULJDGH¶V DWWDFKHG XQLWVZLOO QRUPDOO\EH FRPSULVHGRI&66%V 7KH $UP\ GHVLJQHGWKH
VXVWDLQPHQWEULJDGHWRFRPPDQGXSWRVHYHQIXQFWLRQDODQGPXOWLIXQFWLRQDOORJLVWLFVEDWWDOLRQV7KHEULJDGH
IRFXVHVRQPDQDJHPHQWDQG GLVWULEXWLRQRIVXSSOLHVILHOGVHUYLFHVKXPDQ UHVRXUFHVVXSSRUWH[HFXWLRQRI
ILQDQFLDOPDQDJHPHQWVXSSRUWDQGDOORFDWLRQRIILHOGHFKHORQPDLQWHQDQFHLQDQDVVLJQHGDUHD7KLVVXSSRUW
H[WHQGV WKH RSHUDWLRQDO UHDFK RI VXSSRUWHG PDQHXYHU FRPPDQGHUV 7KH RSHUDWLRQ DQG WKH VL]H RI WKH
VXSSRUWHGIRUFHZLOOGLFWDWHWKHTXDQWLWLHVRIVXVWDLQPHQWEULJDGHVHPSOR\HGDQGWKHTXDQWLW\DQG W\SHRI
XQLWVDWWDFKHGWRWKHP(DFKRIWKHVHXQLWVPXVWEHFOHDUO\LGHQWLILHGLQWKHFRUSVRUGLYLVLRQWDVNRUJDQL]DWLRQ
WRDOORZWKHVXVWDLQPHQWEULJDGHFRPPDQGHUDQG WKHVXSSRUWHGXQLWFRPPDQGHUVWRFOHDUO\XQGHUVWDQGWKH
VXVWDLQPHQWUHVRXUFHVDYDLODEOHWRVXSSRUWWKHLURSHUDWLRQV
 $ WKHDWHUDUP\ QRUPDOO\ DWWDFKHV VXVWDLQPHQWEULJDGHV WRDQ (6& ZLWK D JHQHUDO RUDUHD VXSSRUW
UHODWLRQVKLSWRDFRUSVRUGLYLVLRQKHDGTXDUWHUV+RZHYHUGXULQJKLJKWHPSRODUJHVFDOHFRPEDWRSHUDWLRQV
D VXVWDLQPHQWEULJDGH PD\EHSODFHG23&21WRD FRUSVRUGLYLVLRQEDVHGRQWKHPLVVLRQDQG RSHUDWLRQDO
YDULDEOHV 6HH$73IRUDGGLWLRQDOLQIRUPDWLRQRQWKHVXVWDLQPHQWEULJDGH 

6 December 2017 FM 3-0, C1 2-17


Chapter 2

)81&7,21$/ %5,*$'(6
 $IXQFWLRQDOEULJDGHLVDEULJDGHRUJURXSWKDWSURYLGHVDVLQJOHIXQFWLRQRUFDSDELOLW\7KHVHEULJDGHV
FDQSURYLGHVXSSRUWIRUDWKHDWHUFRUSVRUGLYLVLRQGHSHQGLQJXSRQKRZHDFKLVWDLORUHG)XQFWLRQDOEULJDGH
RUJDQL]DWLRQYDULHVH[WHQVLYHO\)XQFWLRQDOEULJDGHVLQFOXGHWKH$0'EULJDGHWKH&$EULJDGHWKHHQJLQHHU
EULJDGHWKHH[SHGLWLRQDU\PLOLWDU\LQWHOOLJHQFHEULJDGH (0,% WKHVLJQDOEULJDGHWKH03EULJDGHDQGWKH
WKHDWHUWDFWLFDOVLJQDOEULJDGH 776%  3DUDJUDSKVWKURXJKGLVFXVVWKHUROHVDQGRUJDQL]DWLRQDO
VWUXFWXUHVRIWKHVHIXQFWLRQDOEULJDGHV 6HHWDEOH 
7DEOH$GGLWLRQDO IXQFWLRQDO EULJDGHV
Brigade Type Function Reference
)LHOG VXSSRUWEULJDGH ,QWHJUDWHV $UP\0DWHULHO &RPPDQG $73
DFTXLVLWLRQ ORJLVWLFVDQGWHFKQRORJ\
FDSDELOLWLHV H[FOXGLQJ WKHDWHU VXSSRUW
FRQWUDFWLQJ DQGORJLVWLFVFLYLODXJPHQWDWLRQ
SURJUDP LQVXSSRUWRIWKHRSHUDWLRQDO DQG
WDFWLFDOOHYHO FRPPDQGHUV
&KHPLFDOELRORJLFDO 3URYLGHV FRPPDQGDQGFRQWURORIWZRWRVL[ )0 
UDGLRORJLFDO DQGQXFOHDU FKHPLFDOEDWWDOLRQV DQGRWKHUDVVLJQHGRU
GHIHQVH EULJDGH DWWDFKHG VHSDUDWHFRPSDQLHV
&RQWUDFWVXSSRUWEULJDGH 3URYLGHV SULPDU\WKHDWHUVWUDWHJLFDQG $73
RSHUDWLRQDO OHYHO FRQWUDFWLQJ VXSSRUW
SODQQLQJ DQGDGYLVLQJ
3URYLGHV PLVVLRQFRPPDQGDQG FRRUGLQDWHV )0 
0HGLFDO EULJDGH RSHUDWLRQV RIDOOPHGLFDODQGRWKHUDVVLJQHG
RUDWWDFKHG PHGLFDOXQLWV
&RQGXFWVFRPPDQGFRQWUROVWDIISODQQLQJ $73
FRRUGLQDWLRQ DQGVXSHUYLVLRQ RIEXON
3HWUROHXP EULJDGH SHWUROHXP DVZHOODVVXSHUYLVLRQ RISRWDEOH
ZDWHUSURGXFWLRQ VWRUDJH DQGGLVWULEXWLRQ
IRUWKHWKHDWHU
Provides mission command for the Army’s $73
HFKHORQVDERYH EULJDGH PDQQHG DQG
$HULDO LQWHOOLJHQFH EULJDGH
XQPDQQHG DHULDO LQWHOOLJHQFH VXUYHLOODQFH
DQGUHFRQQDLVVDQFHDVVHWVDQGXQLWV

$LU'HIHQVH$UWLOOHU\ %ULJDGH
 $'$ EULJDGHVDUHVWUXFWXUHGWRSHUIRUPVHYHUDOIXQFWLRQVVXSSRUWLQJWKH$$0'&V DQG GHVLJQDWHG
*&& RUJDQL]DWLRQVVXSSRUWLQJ $0' LQWHJUDWLRQDQG RSHUDWLRQV$'$ EULJDGH IXQFWLRQVLQFOXGHPLVVLRQ
FRPPDQG DFWLYLWLHVLQWHJUDWLRQ SODQQLQJ DQG OLDLVRQ ZLWK MRLQW KLJKHU HFKHORQXQLWV DQG VXERUGLQDWH
EDWWDOLRQV $'$ EULJDGHV DUH WKH IRUFH SURYLGHUV IRU WKH $$0'&V PHHWLQJ WKH FRPPDQGHU¶V $0'
REMHFWLYHV$'$EULJDGHVERWKDFWLYHDQGUHVHUYHFRPSRQHQWPXVWEHSUHSDUHGWRLQWHJUDWHDPL[RIDFWLYH
DQG UHVHUYHFRPSRQHQWIRUFHV$'$ EULJDGHVDUHDOLJQHGXQGHUWKH$$0'&V DQG GHSOR\HGWRFRQWUROWKH
ILUHVRI VXERUGLQDWH XQLWV (DFK EULJDGH FRQVLVWV RI DKHDGTXDUWHUV D EULJDGH VWDII DQG LWV VXERUGLQDWH
EDWWDOLRQV
 $'$ EULJDGHWDVNVLQFOXGHSURWHFWLRQRIRSHUDWLRQDOOHYHOEDVHVDQGEDVHFDPSVPLOLWDU\RUSROLWLFDO
KHDGTXDUWHUVDQG SRUWVRIGHEDUNDWLRQ $'$ EULJDGHVGHSOR\HDUO\WRSURWHFWDHULDOSRUWVRIGHEDUNDWLRQ
VHDSRUWVRIGHEDUNDWLRQHDUO\DUULYLQJIRUFHVDQGFULWLFDOVXSSOLHVDFFRUGLQJWRWKH-)&¶VGHIHQGHGDVVHWOLVW
$V D ORGJPHQW H[SDQGV $'$ IRUFHVPD\ UHSRVLWLRQWR EHWWHU SURWHFWFULWLFDODVVHWVFRPPXQLFDWLRQV
WUDQVSRUWDWLRQDQG PDQHXYHU IRUFHV$'$ EULJDGHVDQG DQ\ DYDLODEOH MRLQWDQG PXOWLQDWLRQDODLU GHIHQVH
IRUFHVFRPELQHWRIRUPDQ LQWHJUDWHG$0' VWUXFWXUHDIWHUFRPSOHWLRQRIGHSOR\PHQWRSHUDWLRQV(FKHORQ
FRPPDQGHUVZLWK VWDIIVXSSRUWGHVLJQDWHWKHLUHFKHORQSULRULW\DVVHWV7KH -)&DQG MRLQWVWDIIWDNHWKHVH
HFKHORQSULRULW\DVVHWOLVWVLQWRFRQVLGHUDWLRQGXULQJWKHGHYHORSPHQWRIWKH-7)GHIHQGHGDVVHWOLVW$Q$'$
EULJDGH PD\ SRVLWLRQLWVILULQJXQLWV DQG UDGDUV ZLWKLQ D FRUSVRU GLYLVLRQ $2 &RUSV DQG GLYLVLRQV PD\
LQWHJUDWHWKHVHDLU GHIHQVHILULQJXQLWV DQG UDGDUV LQWRWKHLUGHIHQVH SODQV 7KRVH ILULQJ XQLWV DQG UDGDUV

2-18 FM 3-0, C1 6 December 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

FRQIRUPWRORFDOVHFXULW\PHDVXUHV6KRUWUDQJHDLUGHIHQVHXQLWVZLOOJHQHUDOO\EHSODFHGLQGLUHFWVXSSRUW
RUJHQHUDOVXSSRUWRIGLYLVLRQV 6HH)0IRUDGGLWLRQDOLQIRUPDWLRQRQ$UP\$'$RSHUDWLRQV 

&LYLO$IIDLUV%ULJDGH
 7KH&$EULJDGHSURYLGHVD&$FDSDELOLW\WRMRLQWIRUFHDQGODQGFRPSRQHQWFRPPDQGHUV7KH&$
EULJDGH PLWLJDWHV RU GHIHDWV WKUHDWV WR FLYLO VRFLHW\ DQG FRQGXFWV DFWLRQV QRUPDOO\ SHUIRUPHG E\ FLYLO
JRYHUQPHQWV DFURVV WKH UDQJH RI PLOLWDU\ RSHUDWLRQV 7KLV RFFXUV E\ HQJDJLQJ DQG LQIOXHQFLQJ WKH FLYLO
SRSXODWLRQDQGDXWKRULWLHVWKURXJKWKHSODQQLQJDQGFRQGXFWLQJRI&$RSHUDWLRQVRUHQDEOLQJFLYLOPLOLWDU\
RSHUDWLRQVWRVKDSHWKHFLYLOHQYLURQPHQWDQGVHWWKHFRQGLWLRQVIRUPLOLWDU\RSHUDWLRQV
 7KH&$EULJDGHKHDGTXDUWHUVSURYLGHVDFRQWUROVWUXFWXUHDQGVWDIIVXSHUYLVLRQRIWKHRSHUDWLRQVRILWV
DVVLJQHG &$ EDWWDOLRQV RU RWKHU DWWDFKHG XQLWV &$ IRUFH VWUXFWXUH FRQWDLQV H[SHUWLVH LQ ILYH IXQFWLRQDO
VSHFLDOW\DUHDV7KHVHVSHFLDOW\DUHDVLQFOXGHVHFXULW\MXVWLFHDQGUHFRQFLOLDWLRQKXPDQLWDULDQDVVLVWDQFHDQG
VRFLDOZHOOEHLQJJRYHUQDQFHDQGSDUWLFLSDWLRQDQGHFRQRPLFVWDELOL]DWLRQ:LWKLQHDFKIXQFWLRQDOVSHFLDOW\
DUHD WHFKQLFDOO\ TXDOLILHG DQG H[SHULHQFHG LQGLYLGXDOV NQRZQ DV &$ IXQFWLRQDO VSHFLDOLVWV DGYLVH
FRPPDQGHUVDQGKHOSRUGLUHFWWKHLUFLYLOLDQFRXQWHUSDUWV 6HH)0IRUDGGLWLRQDOLQIRUPDWLRQRQ&$ 

(QJLQHHU%ULJDGH
 7\SLFDOO\DWDVNRUJDQL]HGHQJLQHHUEULJDGHZLOOEHDOORFDWHGWRDFRUSVKHDGTXDUWHUV$QHQJLQHHU
EULJDGHFDQFRQWUROXSWRILYHPLVVLRQWDLORUHGHQJLQHHUEDWWDOLRQVWKDWDUHQRWRUJDQLFWRPDQHXYHUXQLWV
7KHVHEDWWDOLRQVKDYHFDSDELOLWLHVIURPDQ\RIWKHWKUHHHQJLQHHUGLVFLSOLQHVFRPEDWHQJLQHHULQJJHQHUDO
HQJLQHHULQJDQGJHRVSDWLDOHQJLQHHULQJWRHQKDQFHPRELOLW\FRXQWHUPRELOLW\SURWHFWLRQDQGVXVWDLQPHQW
 $Q HQJLQHHU EULJDGH GHYHORSV SODQV SURFHGXUHV DQG SURJUDPV IRU HQJLQHHU VXSSRUW LQFOXGLQJ
UHTXLUHPHQWV GHWHUPLQDWLRQ RSHUDWLRQDO PRELOLW\ DQG FRXQWHUPRELOLW\ JHQHUDO HQJLQHHULQJ SRZHU
JHQHUDWLRQ DUHD GDPDJH FRQWURO PLOLWDU\ FRQVWUXFWLRQ JHRVSDWLDO HQJLQHHULQJ HQJLQHHULQJ GHVLJQ
FRQVWUXFWLRQ PDWHULDOV DQG UHDO SURSHUW\ PDLQWHQDQFH DFWLYLWLHV  $Q HQJLQHHU EULJDGH LQWHJUDWHV DQG
V\QFKURQL]HVHQJLQHHUFDSDELOLWLHVDFURVVDFRUSV$2DQGUHLQIRUFHVVXERUGLQDWHFRUSVXQLWVLQWKHH[HFXWLRQ
RIHQJLQHHUWDVNVE\DOORFDWLQJPLVVLRQWDLORUHGHQJLQHHUIRUFHV
 (QJLQHHU WDVNV DOWHU WHUUDLQ WR RYHUFRPH REVWDFOHV LQFOXGLQJJDSV  FUHDWH PDLQWDLQ DQG LPSURYH
OLQHV RI FRPPXQLFDWLRQ FUHDWH ILJKWLQJ SRVLWLRQV LPSURYH SURWHFWLYH SRVLWLRQV DQG EXLOG VWUXFWXUHV DQG
IDFLOLWLHV LQFOXGLQJEDVHFDPSVDHULDOSRUWVVHDSRUWVXWLOLWLHVDQGEXLOGLQJV $QHQJLQHHUEULJDGHLVDOVR
FDSDEOHRIUDSLGGHSOR\PHQWLQPRGXODUHOHPHQWVWRVXSSRUWWKHQHHGVRIWKHRSHUDWLRQDOFRPPDQGHU7KHVH
HOHPHQWV DUH FDSDEOH RI SURYLGLQJ D ZLGH UDQJH RI WHFKQLFDO HQJLQHHULQJ H[SHUWLVH DQG VXSSRUW 6HH
$73IRUDGGLWLRQDOLQIRUPDWLRQRQHQJLQHHURSHUDWLRQV 

([SHGLWLRQDU\0LOLWDU\,QWHOOLJHQFH%ULJDGH
 7KH$UP\KDVWKUHH(0,%VLQLWVIRUFHVWUXFWXUH7KH$UP\GHVLJQHGWKHPWRDXJPHQWWKHFRUSVDQG
GLYLVLRQ FDSDELOLW\ WR SURFHVV H[SORLW DQG GLVVHPLQDWH QDWLRQDO DQG MRLQW IRUFH VLJQDOV LQWHOOLJHQFH DQG
JHRVSDWLDO LQWHOOLJHQFH (0,%V DOVR SURYLGH FRXQWHULQWHOOLJHQFH KXPDQ LQWHOOLJHQFH DQG JURXQGEDVHG
VLJQDOVLQWHOOLJHQFHFROOHFWLRQWRFRUSVDQGGLYLVLRQKHDGTXDUWHUV7KH(0,%DOVRVXSSRUWVVLWHH[SORLWDWLRQ
RSHUDWLRQV7KH(0,%GRHVQRWFRQGXFWUHFRQQDLVVDQFH 7KHFRUSVDQGGLYLVLRQFRPPDQGHUVWDVNDYDLODEOH
PDQHXYHU IRUFHV WR FRQGXFW UHFRQQDLVVDQFH  7KH FRUSV FRPPDQGHU UHWDLQV FRQWURO RI WKH (0,% RU WDVN
RUJDQL]HVHOHPHQWVRIWKH(0,%WRGLYLVLRQVDVUHTXLUHG
 7KH(0,%VWDIIZRUNVFORVHO\ZLWKWKHFRUSVDVVLVWDQWFKLHIRIVWDIILQWHOOLJHQFH¶V *¶V DQDO\VLV
DQG FRQWURO HOHPHQW 7KH (0,% FRPPDQGHU DQG VWDII DOVR DVVLVW WKH FRUSV FRPPDQGHU LQ LQIRUPDWLRQ
FROOHFWLRQPDQDJHPHQW 6HH$73IRUPRUHGLVFXVVLRQRI(0,%FDSDELOLWLHVDQGRSHUDWLRQV 

0LOLWDU\3ROLFH%ULJDGH
 7KH$UP\DOORFDWHVDQ03EULJDGHWRDGLYLVLRQZKHQWKHPDJQLWXGHRIIXQFWLRQDO03UHTXLUHPHQWV
H[FHHGV WKH FDSDELOLW\ RI WKH 0(% WR FRQWURO 03 DFWLYLWLHV ,Q WKHVH LQVWDQFHV 03 EULJDGHOHYHO FRQWURO
FDSDELOLW\LVUHTXLUHGWRDOORFDWHV\QFKURQL]HFRQWURODQGSURYLGHWHFKQLFDORYHUVLJKWIRU03DVVHWVDQGWR
SURYLGHFRQVLVWHQWDSSOLFDWLRQRI03FDSDELOLWLHVDFURVVWKHGLYLVLRQ$27KHVLWXDWLRQUHTXLUHVDEULJDGHVL]H

6 October 2017 FM 3-0 2-19


Chapter 2

PLVVLRQFRPPDQGFDSDELOLW\LIWKDWVLWXDWLRQQHHGVPRUHWKDQWZR03EDWWDOLRQV¶ZRUWKRIFDSDELOLWLHVZLWKLQ
WKHGLYLVLRQ$26RPHIXQFWLRQDO03HOHPHQWVUHPDLQXQGHUFRQWURORIWKH0(%HYHQLIDFRUSVRUKLJKHU
HFKHORQ KHDGTXDUWHUV SURYLGHV D IXQFWLRQDO 03 EULJDGH WR WKH GLYLVLRQ 6HH )0  IRU DGGLWLRQDO
LQIRUPDWLRQRQWKH03EULJDGHDQG03RSHUDWLRQV 

7KHDWHU7DFWLFDO6LJQDO%ULJDGH
 $ 776% SURYLGHV IXQFWLRQDO VLJQDO VXSSRUW IRU FRUSV DQG GLYLVLRQ RSHUDWLRQV 776%V SURYLVLRQ
FRPPXQLFDWLRQVDQGLQIRUPDWLRQV\VWHPVVXSSRUWWRDWKHDWHUDUP\KHDGTXDUWHUVWKHLUVXERUGLQDWHXQLWVDQG
DVUHTXLUHGWRMRLQWLQWHURUJDQL]DWLRQDODQGPXOWLQDWLRQDOSDUWQHUVWKURXJKRXWWKHDUHDRIUHVSRQVLELOLW\
7KH 776% DQG LWV VXERUGLQDWH XQLWV LQVWDOO RSHUDWH PDLQWDLQ DQG GHIHQG WKH 'HSDUWPHQW RI 'HIHQVH
LQIRUPDWLRQQHWZRUN$UP\ '2',1$ (DFK776%OHYHUDJHVWKHH[WHQVLRQDQGUHDFKEDFNFDSDELOLWLHVWR
SURYLGHMRLQWFRPPXQLFDWLRQVDQGLQIRUPDWLRQV\VWHPVVHUYLFHVWRWKH*&&DQGVXERUGLQDWHFRPPDQGHUVWR
FRQGXFWPLVVLRQFRPPDQG 6HH)0IRUPRUHLQIRUPDWLRQRQWKH776% 

&\EHUVSDFH6XSSRUW
 7KHUHLVRQHF\EHUSURWHFWLRQEULJDGHWKDWSURYLGHVZRUOGZLGHGHIHQVLYHF\EHUVSDFHVXSSRUWLQFOXGLQJ
VXSSRUWIRUFRUSVDQGEHORZ7KHF\EHUSURWHFWLRQEULJDGHLVVXERUGLQDWHWR1HWZRUN(QWHUSULVH7HFKQRORJ\
&RPPDQG7KHF\EHUSURWHFWLRQEULJDGHSURYLGHVPLVVLRQFRPPDQGDQGVXSSRUWWRDVVLJQHGF\EHUSURWHFWLRQ
WHDPVWKDWFRQGXFWGHIHQVLYHF\EHUVSDFHRSHUDWLRQV '&2 &\EHUSURWHFWLRQWHDPVFRQGXFW'&2VWRHQDEOH
IUHHGRPRIPDQHXYHULQF\EHUVSDFHIRUVXSSRUWHGFRPPDQGHUV&\EHUSURWHFWLRQEULJDGHPLVVLRQVXSSRUW
LQFOXGHV UHFUXLWPHQW SODQQLQJ FRRUGLQDWLRQ DQG WUDLQLQJ UHTXLUHG WR HQDEOH F\EHU SURWHFWLRQ WHDPV WR
FRQGXFW'&2VDQGPHHWF\EHUVHFXULW\REMHFWLYHVWRVXSSRUWWKH'2'WKH$UP\FRPEDWDQWFRPPDQGVDQG
LQWHUDJHQF\RSHUDWLRQVZRUOGZLGH
 &RUSV GLYLVLRQ DQG EULJDGH KHDGTXDUWHUV KDYH WKH UHVRXUFHV DYDLODEOH WR H[HFXWH F\EHUVSDFH
HOHFWURPDJQHWLFDFWLYLWLHV7KHDYDLODEOHUHVRXUFHVHQDEOHRSHUDWLQJLQF\EHUVSDFHDQGWKHHOHFWURPDJQHWLF
VSHFWUXP (06 DQGDIIHFWLQJHQHP\DQGDGYHUVDU\F\EHUVSDFHDQGXVHRIWKH(06WRSURYLGHIUHHGRPRI
PDQHXYHU6WDIIVHFWLRQVDQGQRQRUJDQLFVXSSRUWSURYLGHWKHPLVVLRQVXSSRUWIRURSHUDWLRQVDWFRUSVHFKHORQV
DQGEHORZ
 1RQRUJDQLFDVVHWVHQKDQFHRUJDQLFFDSDELOLWLHVE\SURYLGLQJDGGLWLRQDOSHUVRQQHODQGHTXLSPHQWWR
PHHW PLVVLRQ UHTXLUHPHQWV ([SHGLWLRQDU\ VLJQDO MRLQW (: FDSDELOLWLHV F\EHUVSDFH PLVVLRQ IRUFHV DQG
QDWLRQDODJHQFLHVSURYLGHDGGLWLRQDODVVHWVEDVHGRQRSHUDWLRQDOUHTXLUHPHQWVDQGWKH\UHTXLUHFRRUGLQDWLRQ
WRHQVXUHWKHDSSURSULDWHHTXLSPHQWDQGSHUVRQQHODUHSURYLGHG8QLWVFDQUHTXHVWVXSSRUWIRUQRQRUJDQLF
FDSDELOLWLHVWRSURYLGHHIIHFWVRQLQDQGWKURXJKF\EHUVSDFHDQGWKH(06
 ,PSRUWDQWHQDEOHUVWKDWVXSSRUWWKH$UP\¶VGHIHQVHLQGHSWKLQFOXGHWKH$UP\&\EHU2SHUDWLRQVDQG
,QWHJUDWLRQ&HQWHUDQGWKHUHJLRQDOF\EHUFHQWHUV7KH$UP\&\EHU2SHUDWLRQVDQG,QWHJUDWLRQ&HQWHULVDQ
RSHUDWLRQDO HOHPHQW RI WKH $5&<%(5 KHDGTXDUWHUV DQG LW LV WKH WRSOHYHO FRQWURO FHQWHU IRU DOO $UP\
F\EHUVSDFH DFWLYLWLHV ,W SURYLGHV VLWXDWLRQDO DZDUHQHVV DQG 'HSDUWPHQW RI 'HIHQVH LQIRUPDWLRQ QHWZRUN
'2',1 RSHUDWLRQVUHSRUWLQJIRUWKH'2',1$7KHFHQWHUFRRUGLQDWHVZLWKWKHUHJLRQDOF\EHUFHQWHUVDQG
SURYLGHVRSHUDWLRQDODQGWHFKQLFDOVXSSRUWDVUHTXLUHG
 7KHUHJLRQDOF\EHUFHQWHULVWKHVLQJOHSRLQWRIFRQWDFWIRURSHUDWLRQDOVWDWXVVHUYLFHSURYLVLRQLQJ
LQFLGHQWUHVSRQVHDQGDOO$UP\QHWZRUNVHUYLFHVLQLWVDVVLJQHGWKHDWHU,WFRRUGLQDWHVGLUHFWO\ZLWKWDFWLFDO
XQLWV WR SURYLGH '2',1$ VHUYLFHV VXSSRUW WR '2',1 RSHUDWLRQV DQG ZKHQ UHTXLUHG  GHIHQVLYH
F\EHUVSDFHRSHUDWLRQVWRHQDEOHPLVVLRQFRPPDQGDQGWKHZDUILJKWLQJIXQFWLRQV 6HH )0IRUPRUH
LQIRUPDWLRQRQWKHF\EHUSURWHFWLRQEULJDGH 

6SDFH6XSSRUW
 7KHVSDFHEULJDGHLVWKHSULPDU\$UP\VSDFHIRUFHSURYLGHU,WLVDPXOWLFRPSRQHQWRUJDQL]DWLRQ
FRPSULVHG RI 5HJXODU $UP\ $UP\ 5HVHUYH DQG $UP\ 1DWLRQDO *XDUG 6ROGLHUV 7KH VSDFH EULJDGH
FRRUGLQDWHVZLWKFRPEDWDQWFRPPDQGHUV$6&&VDQGVSDFHVXSSRUWHOHPHQWVWRH[HFXWHVSDFHRSHUDWLRQV
GHSOR\ FRPEDW UHDG\ $UP\ VSDFH IRUFHV SHUIRUP WKHDWHU VSDFH RSHUDWLRQV DQG FRQGXFW VSDFH FRQWURO
SODQQLQJFRRUGLQDWLRQLQWHJUDWLRQDQGH[HFXWLRQLQVXSSRUWRIWKHFRPEDWDQWFRPPDQGHU¶VSULRULWLHV

2-20 FM 3-0 6 October 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

 &RUSV DQG GLYLVLRQ KHDGTXDUWHUV KDYH RUJDQLF VSDFH VXSSRUW HOHPHQWV 66(V  WR SODQ SUHSDUH
H[HFXWHDQGDVVHVVSODQQLQJLQWHJUDWH DQGFRRUGLQDWH VSDFHFDSDELOLWLHVDQGVXSSRUWFRPPDQGHUVLQWKH
H[HUFLVHRIPLVVLRQFRPPDQGWKURXJKVSDFHRSHUDWLRQV7KHSULPDU\IXQFWLRQRIWKH66(LVWRV\QFKURQL]H
VSDFHDFWLYLWLHVWKURXJKRXWWKHRSHUDWLRQVSURFHVV
 7KH66(LVUHVSRQVLEOHIRUPDLQWDLQLQJVLWXDWLRQDODZDUHQHVVDQGXSGDWLQJWKHVSDFHSRUWLRQRIWKH
&2366(PHPEHUVFRRUGLQDWHVSDFHRSHUDWLRQVREMHFWLYHVDQGWDVNVZLWKWKHLUFRXQWHUSDUWVDWKLJKHUDQG
ORZHU HFKHORQV 7KH 66( VHUYHV DV WKH SULPDU\ PLVVLRQ FRPPDQG HOHPHQW ZLWKLQ WKH VWDIIV IRU VSDFH
RSHUDWLRQV7KH66(DOVRZRUNVDOWHUQDWLYHFRPSHQVDWRU\FRQWUROPHDVXUHVDQGVSHFLDOWHFKQLFDORSHUDWLRQV
PLVVLRQV 6HH)0IRUPRUHLQIRUPDWLRQRQWKHVSDFHEULJDGH 

SECTION III – ARMY CAPABILITIES (COMBAT POWER)


1R DUP\ FDQ EH HIILFLHQW XQOHVV LW EH D XQLW IRU DFWLRQDQG WKH SRZHU PXVW FRPH IURP
DERYHQRWEHORZ
/LHXWHQDQW*HQHUDO:LOOLDP76KHUPDQ

 /DUJHVFDOH FRPEDW RSHUDWLRQV H[HFXWHG WKURXJK VLPXOWDQHRXV RIIHQVLYH GHIHQVLYH DQG VWDELOLW\
WDVNVUHTXLUHFRQWLQXRXVO\JHQHUDWLQJDQGDSSO\LQJFRPEDWSRZHURIWHQIRUH[WHQGHGSHULRGV&RPEDWSRZHU
LVWKHWRWDOPHDQVRIGHVWUXFWLYHFRQVWUXFWLYHDQGLQIRUPDWLRQFDSDELOLWLHVWKDWDPLOLWDU\XQLWRUIRUPDWLRQ
FDQDSSO\DWDJLYHQWLPH $'53 &RPEDW SRZHU LQFOXGHV DOO FDSDELOLWLHV SURYLGHG E\ XQLILHG DFWLRQ
SDUWQHUVWKDWDUHLQWHJUDWHGV\QFKURQL]HGDQGFRQYHUJHGZLWKWKHFRPPDQGHU¶VREMHFWLYHVWRDFKLHYHXQLW\
RIHIIRUWLQVXVWDLQHGRSHUDWLRQV7KHSXUSRVHRIFRPEDWSRZHULVWRDFFRPSOLVKPLVVLRQV
 &RPPDQGHUV FRQFHSWXDOL]H FDSDELOLWLHV LQ WHUPV RI FRPEDW SRZHU &RPEDW SRZHU KDV HLJKW
HOHPHQWV OHDGHUVKLS LQIRUPDWLRQ PLVVLRQ FRPPDQG PRYHPHQW DQG PDQHXYHU LQWHOOLJHQFH ILUHV
VXVWDLQPHQW DQG SURWHFWLRQ 7KH $UP\ FROOHFWLYHO\ GHVFULEHV WKH ODVW VL[ HOHPHQWV DV WKH ZDUILJKWLQJ
IXQFWLRQV²DJURXSRIWDVNVDQGV\VWHPVXQLWHGE\DFRPPRQSXUSRVHWKDWFRPPDQGHUVXVHWRDFFRPSOLVK
PLVVLRQVDQGWUDLQLQJREMHFWLYHV $'53 &RPPDQGHUVDSSO\FRPEDWSRZHUWKURXJKWKH ZDUILJKWLQJ
IXQFWLRQVXVLQJOHDGHUVKLSDQGLQIRUPDWLRQDVVKRZQLQILJXUHRQSDJH
 'XULQJRSHUDWLRQVHYHU\XQLWUHJDUGOHVVRIW\SHHLWKHUJHQHUDWHVRUPDLQWDLQVFRPEDWSRZHU$OO
XQLWV FRQWULEXWH WR RSHUDWLRQV &RPPDQGHUV HQVXUH $UP\ IRUFHV KDYH HQRXJK SRWHQWLDO FRPEDW SRZHU WR
FRPELQH WKH HOHPHQWV RI GHFLVLYH DFWLRQ LQ ZD\V DSSURSULDWH WR WKH VLWXDWLRQ 8OWLPDWHO\ $UP\ IRUFHV
FRPELQHHOHPHQWVRIFRPEDWSRZHUWRGHIHDWDQHQHP\DQGSUHYDLOGXULQJODUJHVFDOHFRPEDWRSHUDWLRQV
 &RPEDWSRZHULVQRWDQXPHULFDOYDOXH,WFDQEHHVWLPDWHGEXWQRWTXDQWLILHGZLWKSUHFLVLRQ&RPEDW
SRZHULVDOZD\VUHODWLYH,WKDVPHDQLQJRQO\LQUHODWLRQWRFRQGLWLRQVDQGHQHP\FDSDELOLWLHV,WLVUHOHYDQW
VROHO\DWWKHSRLQWLQWLPHDQGVSDFHZKHUHLWLVDSSOLHG,QDGGLWLRQKRZDQHQHP\JHQHUDWHVDQGDSSOLHV
FRPEDWSRZHU PD\ IXQGDPHQWDOO\GLIIHUIURPWKDWRI$UP\ IRUFHV,WLVGDQJHURXVWRDVVXPHWKDWHQHP\
FDSDELOLWLHVDUHDPLUURULPDJHRIIULHQGO\FDSDELOLWLHV
 %HIRUH DQ RSHUDWLRQ FRPEDW SRZHU LV XQUHDOL]HG SRWHQWLDO 7KURXJK OHDGHUVKLS WKLV SRWHQWLDO LV
WUDQVIRUPHGLQWRDFWLRQ&RPPDQGHUVXVHLQIRUPDWLRQWRLQWHJUDWHDQGHQKDQFHDFWLRQ,QIRUPDWLRQLVDOVR
DSSOLHGWKURXJKWKHZDUILJKWLQJIXQFWLRQVWRVKDSHDQ2(DQGFRPSOHPHQWDFWLRQ&RPEDWSRZHUEHFRPHV
GHFLVLYH ZKHQ DSSOLHG E\ VNLOOHG FRPPDQGHUV OHDGLQJ ZHOOWUDLQHG 6ROGLHUV DQG XQLWV 8OWLPDWHO\
FRPPDQGHUVDFKLHYHVXFFHVVE\DSSO\LQJVXSHULRUFRPEDWSRZHUDWWKHGHFLVLYHSODFHDQGWLPH

6 October 2017 FM 3-0 2-21


Chapter 2

Figure 2-6. The elements of combat power

7+((/(0(1762)&20%$732:(5
 &RPEDW SRZHU KDV HLJKW HOHPHQWV OHDGHUVKLS LQIRUPDWLRQ PLVVLRQ FRPPDQG PRYHPHQW DQG
PDQHXYHULQWHOOLJHQFHILUHVVXVWDLQPHQWDQGSURWHFWLRQ7KHVHHOHPHQWVDUHGLVFXVVHGLQSDUDJUDSKV
WKURXJK

/($'(56+,3
,DPGRLQJDOOWKDW,FDQDQG\HW,IHHOWKDW,DPVWLOOOHDYLQJPXFKXQGRQH
)LHOG0DUVKDO(DUO.LWFKHQHU

 /HDGHUVKLSLVWKHSURFHVVRILQIOXHQFLQJSHRSOHE\SURYLGLQJSXUSRVHGLUHFWLRQDQGPRWLYDWLRQWR
DFFRPSOLVKPLVVLRQVDQGLPSURYHWKHRUJDQL]DWLRQ $'3 /HDGHUVKLSLVWKHPXOWLSO\LQJDQGXQLI\LQJ
HOHPHQWRIFRPEDWSRZHU&RQILGHQWFRPSHWHQWDQGLQIRUPHGOHDGHUVKLSLQWHQVLILHVWKHHIIHFWLYHQHVVRIDOO
RWKHU HOHPHQWV RI FRPEDW SRZHU E\ IRUPXODWLQJ VRXQG RSHUDWLRQDO LGHDV DQG DVVXULQJ GLVFLSOLQH DQG
PRWLYDWLRQLQWKHIRUFH*RRGOHDGHUVDUHWKHFDWDO\VWIRUVXFFHVV(IIHFWLYHOHDGHUVKLSFDQFRPSHQVDWHIRU
GHILFLHQFLHVLQDOOWKHZDUILJKWLQJIXQFWLRQVEHFDXVHLWLVWKHPRVWG\QDPLFHOHPHQWRIFRPEDWSRZHU7KH
RSSRVLWHLVDOVRWUXHSRRUOHDGHUVKLSFDQQHJDWHDGYDQWDJHVLQZDUILJKWLQJFDSDELOLWLHV$Q$UP\OHDGHUE\
YLUWXHRIDVVXPHGUROHRUDVVLJQHGUHVSRQVLELOLW\LQVSLUHVDQGLQIOXHQFHVSHRSOHWRDFFRPSOLVKRUJDQL]DWLRQDO
JRDOV$UP\OHDGHUVPRWLYDWHSHRSOHWRSXUVXHDFWLRQVIRFXVWKLQNLQJDQGVKDSHGHFLVLRQVIRUWKH JUHDWHU
JRRGRIWKHRUJDQL]DWLRQ7KH\LQVWLOOLQ6ROGLHUVWKHZLOOWRZLQ
 /HDGHUVLQIOXHQFHQRWRQO\6ROGLHUVEXWRWKHUSHRSOHDVZHOO/HDGHUVKLSLVFUXFLDOLQGHDOLQJZLWK
FLYLOLDQVLQDQ\FRQIOLFW)DFHWRIDFHFRQWDFWZLWKSHRSOHLQDQ$2HQFRXUDJHVFRRSHUDWLRQEHWZHHQFLYLOLDQV
DQG6ROGLHUV$UP\OHDGHUVZRUNZLWKPHPEHUVRIRWKHU6HUYLFHVDQGFLYLOLDQRUJDQL]DWLRQV7KHVHOHDGHUV
VWULYHIRUWKHZLOOLQJFRRSHUDWLRQRIXQLILHGDFWLRQSDUWQHUV7KH$UP\UHTXLUHVVHOIDZDUHDGDSWLYHOHDGHUV
ZKRFDQERWKGHIHDWWKHHQHP\LQODUJHVFDOHFRPEDWRSHUDWLRQVDQGPDVWHUWKHFRPSOH[LWLHVRIRSHUDWLRQV
GRPLQDWHGE\VWDELOLW\WDVNV
 /HDGHUVKLSHQVXUHV6ROGLHUVXQGHUVWDQGWKHSXUSRVHRIRSHUDWLRQVDQGXVHWKHLUIXOOFDSDELOLWLHV,Q
HYHU\RSHUDWLRQOHDGHUVFODULI\SXUSRVHDQGPLVVLRQGLUHFWRSHUDWLRQVDQGVHWWKHH[DPSOHIRUFRXUDJHDQG

2-22 FM 3-0 6 October 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

FRPSHWHQFH7KH\KROGWKHLU6ROGLHUVWRWKH$UP\9DOXHVDQGHQVXUHWKHLU6ROGLHUVFRPSO\ZLWKWKHODZRI
ZDU

,1)250$7,21
8QOHVV\RXXQGHUVWDQGWKHDFWXDOFLUFXPVWDQFHVRIZDULWVQDWXUHDQGLWVUHODWLRQVWRRWKHU
WKLQJV\RXZLOOQRWNQRZWKHODZVRIZDURUKRZWRGLUHFWZDURUEHDEOHWRZLQYLFWRU\
0DR7VH7XQJ

 ,QIRUPDWLRQLVDSRZHUIXOWRROLQDQ2(,QPRGHUQFRQIOLFWLQIRUPDWLRQKDVEHFRPHDVLPSRUWDQW
DVOHWKDODFWLRQLQGHWHUPLQLQJWKHRXWFRPHRIRSHUDWLRQV(YHU\HQJDJHPHQWEDWWOHDQGPDMRURSHUDWLRQ
UHTXLUHVFRPSOHPHQWDU\LQIRUPDWLRQRSHUDWLRQVWRERWKLQIRUPDJOREDODXGLHQFHDQGWRLQIOXHQFHDXGLHQFHV
ZLWKLQDQRSHUDWLRQDODUHDLQIRUPDWLRQLVDZHDSRQDJDLQVWHQHP\FRPPDQGDQGFRQWURO & DQGLWLVD
PHDQV WR DIIHFW HQHP\ PRUDOH ,W LV ERWK GHVWUXFWLYH DQG FRQVWUXFWLYH &RPPDQGHUV XVH LQIRUPDWLRQ WR
XQGHUVWDQGYLVXDOL]HGHVFULEHDQGGLUHFWWKHZDUILJKWLQJIXQFWLRQV6ROGLHUVFRQVWDQWO\XVHLQIRUPDWLRQWR
SHUVXDGHDQGLQIRUPWDUJHWDXGLHQFHV7KH\DOVRGHSHQGRQGDWDDQGLQIRUPDWLRQWRLQFUHDVHWKHHIIHFWLYHQHVV
RIWKHZDUILJKWLQJIXQFWLRQV
 6LQFHLQIRUPDWLRQVKDSHVWKHSHUFHSWLRQVRIDFLYLOLDQSRSXODWLRQLWDOVRVKDSHVPXFKRIDQ2($OO
SDUWLHV LQ D FRQIOLFW XVH LQIRUPDWLRQ WR FRQYH\ WKHLU PHVVDJH WR YDULRXV DXGLHQFHV 7KHVH LQFOXGH HQHP\
IRUFHV DGYHUVDULHV DQG QHXWUDO DQG IULHQGO\ SRSXODWLRQV ,QIRUPDWLRQ LV FULWLFDO LQ ODQG FRPEDW ZKHUH
VXFFHVVIXOKXPDQLQWHUDFWLRQLVDPDMRUIDFWRULQVXFFHVV,QIRUPDWLRQPXVWEHSURDFWLYHDVZHOODVUHDFWLYH
7KH HQHP\ DGHSWO\ PDQLSXODWHV LQIRUPDWLRQ DQG FRPELQHV PHVVDJH DQG DFWLRQ HIIHFWLYHO\ &RXQWHULQJ
HQHP\PHVVDJHVZLWKIDFWXDODQGHIIHFWLYHIULHQGO\PHVVDJHVFDQEHDVLPSRUWDQWDVWKHSK\VLFDODFWLRQVRI
6ROGLHUV7KHHIIHFWVRIHDFKZDUILJKWLQJIXQFWLRQVKRXOGFRPSOHPHQWWKHPHVDQGPHVVDJHVZKLOHWKHPHV
DQGPHVVDJHVVWD\FRQVLVWHQWZLWK6ROGLHUV¶DFWLRQV
 ,QIRUPDWLRQDVDQHOHPHQWRIFRPEDWSRZHULQFOXGHVERWKWKHFRPEDWLQIRUPDWLRQQHFHVVDU\WR
JDLQXQGHUVWDQGLQJDQGPDNHGHFLVLRQVDQGWKHXVHRILQIRUPDWLRQWRGRPLQDWHWKHLQIRUPDWLRQHQYLURQPHQW
,QIRUPDWLRQ HQDEOHV FRPPDQGHUV DW DOO OHYHOV WR PDNH LQIRUPHG GHFLVLRQV RQ KRZ WR EHVW DSSO\ FRPEDW
SRZHU8OWLPDWHO\WKLVFUHDWHVRSSRUWXQLWLHVWRDFKLHYHGHILQLWLYHUHVXOWV.QRZOHGJHPDQDJHPHQWHQDEOHV
FRPPDQGHUV WR PDNH LQIRUPHG WLPHO\ GHFLVLRQV GHVSLWH WKH XQFHUWDLQW\ RI RSHUDWLRQV ,QIRUPDWLRQ
PDQDJHPHQW KHOSV FRPPDQGHUV PDNH DQG GLVVHPLQDWH HIIHFWLYH GHFLVLRQV IDVWHU WKDQ WKH HQHP\ FDQ
&RPPDQGV DOVR XVH LQIRUPDWLRQ RSHUDWLRQV WR LQWHJUDWH LQIRUPDWLRQUHODWHG FDSDELOLWLHV WR LQIRUP DQG
LQIOXHQFHSRSXODWLRQVDQGJDLQDSRVLWLRQRIUHODWLYHDGYDQWDJHRYHUDQDGYHUVDU\RUHQHP\

0,66,21&200$1'
/HDGPHIROORZPHRUJHWRXWRIP\ZD\
*HQHUDO*HRUJH63DWWRQ-U

 7KH PLVVLRQ FRPPDQG ZDUILJKWLQJ IXQFWLRQ LV WKH UHODWHG WDVNV DQG V\VWHPV WKDW GHYHORS DQG
LQWHJUDWHWKRVHDFWLYLWLHVHQDEOLQJDFRPPDQGHUWREDODQFHWKHDUWRIFRPPDQGDQGWKHVFLHQFHRIFRQWUROLQ
RUGHUWRLQWHJUDWHWKHRWKHUZDUILJKWLQJIXQFWLRQV $'53 7KHPLVVLRQFRPPDQG ZDUILJKWLQJ IXQFWLRQ
LQWHJUDWHV WKH RWKHU ZDUILJKWLQJ IXQFWLRQV PRYHPHQW DQG PDQHXYHU LQWHOOLJHQFH ILUHV VXVWDLQPHQW DQG
SURWHFWLRQ LQWRDFRKHUHQWZKROH%\LWVHOIWKHPLVVLRQFRPPDQGZDUILJKWLQJIXQFWLRQZLOOQRWVHFXUHDQ
REMHFWLYHPRYHDIULHQGO\IRUFHRUUHVWRUHDQHVVHQWLDOVHUYLFHWRDSRSXODWLRQ,QVWHDGLWSURYLGHVSXUSRVH
DQGGLUHFWLRQWRWKHRWKHUZDUILJKWLQJIXQFWLRQV

0,66,21&200$1':$5),*+7,1*)81&7,217$6.6
 :KLOHVWDIIVSHUIRUPHVVHQWLDOIXQFWLRQVFRPPDQGHUVDUHXOWLPDWHO\UHVSRQVLEOHIRUDFFRPSOLVKLQJ
DVVLJQHG PLVVLRQV 7KURXJKRXW RSHUDWLRQV FRPPDQGHUV HQFRXUDJH GLVFLSOLQHG LQLWLDWLYH WKURXJK D FOHDU
FRPPDQGHU¶VLQWHQWZKLOHSURYLGLQJHQRXJKGLUHFWLRQWRLQWHJUDWHDQGV\QFKURQL]HWKHIRUFHDWWKHGHFLVLYH
SODFH DQG WLPH 7R WKLV HQG FRPPDQGHUV SHUIRUP WKUHH SULPDU\ PLVVLRQ FRPPDQG ZDUILJKWLQJ IXQFWLRQ
WDVNV7KHFRPPDQGHUWDVNVDUH²

6 October 2017 FM 3-0 2-23


Chapter 2

z 'ULYH WKH RSHUDWLRQV SURFHVV WKURXJK WKH DFWLYLWLHV RI XQGHUVWDQGLQJ YLVXDOL]LQJ GHVFULELQJ
GLUHFWLQJOHDGLQJDQGDVVHVVLQJRSHUDWLRQV
z 'HYHORSWHDPVERWKZLWKLQWKHLURZQRUJDQL]DWLRQVDQGZLWKXQLILHGDFWLRQSDUWQHUV
z ,QIRUPDQGLQIOXHQFHDXGLHQFHVLQVLGHDQGRXWVLGHWKHLURUJDQL]DWLRQV

 6WDIIVVXSSRUWFRPPDQGHUVLQWKHH[HUFLVHRIPLVVLRQFRPPDQGE\SHUIRUPLQJIRXUSULPDU\PLVVLRQ
FRPPDQGZDUILJKWLQJIXQFWLRQWDVNV7KHVWDIIWDVNVDUH²
z &RQGXFWWKHRSHUDWLRQVSURFHVVSODQSUHSDUHH[HFXWHDQGDVVHVV
z &RQGXFWNQRZOHGJHPDQDJHPHQWLQIRUPDWLRQPDQDJHPHQWDQGIRUHLJQGLVFORVXUH
z &RQGXFWLQIRUPDWLRQRSHUDWLRQV
z &RQGXFWF\EHUVSDFHHOHFWURPDJQHWLFDFWLYLWLHV

 6L[DGGLWLRQDOWDVNVUHVLGHZLWKLQWKHPLVVLRQFRPPDQGZDUILJKWLQJIXQFWLRQ7KHVHWDVNVDUH²
z &RQGXFW&$RSHUDWLRQV
z &RQGXFWPLOLWDU\GHFHSWLRQ
z ,QVWDOORSHUDWHDQGPDLQWDLQWKH'2',1
z &RQGXFWDLUVSDFHFRQWURO
z &RQGXFWLQIRUPDWLRQSURWHFWLRQ
z 3ODQDQGFRQGXFWVSDFHDFWLYLWLHV

 3DUDJUDSKVWKURXJKKLJKOLJKWVHYHUDORIWKRVH WDVNV 6HH $'53IRUDFRPSOHWH


GLVFXVVLRQRIWKHPLVVLRQFRPPDQGZDUILJKWLQJIXQFWLRQ &RPPDQGHUVQHHGVXSSRUWWR H[HUFLVHPLVVLRQ
FRPPDQG HIIHFWLYHO\ $W HYHU\ HFKHORQ RI FRPPDQG HDFK FRPPDQGHU HVWDEOLVKHV D PLVVLRQ FRPPDQG
V\VWHP²WKH DUUDQJHPHQW RI SHUVRQQHO QHWZRUNV LQIRUPDWLRQ V\VWHPV SURFHVVHV DQG SURFHGXUHV DQG
IDFLOLWLHVDQGHTXLSPHQWWKDWHQDEOHFRPPDQGHUVWRFRQGXFWRSHUDWLRQV $'3 &RPPDQGHUVRUJDQL]H
WKH ILYH FRPSRQHQWV RI WKHLU PLVVLRQ FRPPDQG V\VWHP WR VXSSRUW GHFLVLRQ PDNLQJ DQG IDFLOLWDWH
FRPPXQLFDWLRQ7KHPRVWLPSRUWDQWRIWKHVHFRPSRQHQWVLVSHUVRQQHO

&RQGXFWWKH2SHUDWLRQV3URFHVV
, KDYH SXEOLVKHG XQGHU P\ QDPH D JRRG PDQ\ RSHUDWLRQDO RUGHUV DQG D JRRG PDQ\
GLUHFWLYHV«EXWWKHUHLVRQHSDUDJUDSKLQWKHRUGHUWKDQ,KDYHDOZD\VZULWWHQP\VHOI«WKH
LQWHQWLRQSDUDJUDSK
)LHOG0DUVKDOO9LVFRXQW:LOOLDP6OLP

 7KH $UP\¶V IUDPHZRUN IRU H[HUFLVLQJ PLVVLRQ FRPPDQG LV WKH RSHUDWLRQV SURFHVV²WKH PDMRU
PLVVLRQFRPPDQGDFWLYLWLHVSHUIRUPHGGXULQJRSHUDWLRQVSODQQLQJSUHSDULQJH[HFXWLQJDQGFRQWLQXRXVO\
DVVHVVLQJ WKH RSHUDWLRQ $'3  7KH RSHUDWLRQV SURFHVV LV D FRPPDQGHUOHG DFWLYLW\ LQIRUPHG E\ WKH
SKLORVRSK\RIPLVVLRQFRPPDQG&RPPDQGHUVVXSSRUWHGE\WKHLUVWDIIVXVHWKHRSHUDWLRQVSURFHVVWRGULYH
WKH FRQFHSWXDO DQG GHWDLOHG SODQQLQJ QHFHVVDU\ WR XQGHUVWDQG YLVXDOL]H DQG GHVFULEH WKHLU RSHUDWLRQDO
HQYLURQPHQWPDNHDQGDUWLFXODWHGHFLVLRQVDQGGLUHFWOHDGDQGDVVHVVRSHUDWLRQV)LJXUHVKRZVWKH
RSHUDWLRQVSURFHVVZLWKWKHFRPPDQGHUDWWKHFHQWHUOHDGLQJWKHSURFHVV
 7KH RSHUDWLRQVSURFHVVVHUYHVDVDQRYHUDUFKLQJ PRGHOWKDWFRPPDQGHUVVWDIIVDQGVXERUGLQDWH
OHDGHUVXVHWRLQWHJUDWHWKHZDUILJKWLQJIXQFWLRQVDFURVVDOOGRPDLQVDQGV\QFKURQL]HWKHIRUFHWRDFFRPSOLVK
PLVVLRQV 7KLV LQFOXGHV LQWHJUDWLQJ QXPHURXV SURFHVVHV VXFK DV WKH LQWHOOLJHQFH SURFHVV WKH PLOLWDU\
GHFLVLRQPDNLQJ SURFHVV DQG WDUJHWLQJ ZLWKLQ WKH KHDGTXDUWHUV DQG ZLWK KLJKHU HFKHORQ VXERUGLQDWH
VXSSRUWLQJVXSSRUWHGDQGDGMDFHQWXQLWV

2-24 FM 3-0 6 October 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

Figure 2-7. The operations process

 7KHDFWLYLWLHVRIWKHRSHUDWLRQVSURFHVV SODQSUHSDUHH[HFXWHDQGDVVHVV DUHQRWGLVFUHWHWKH\


RYHUODS DQG UHFXU DV FLUFXPVWDQFHV GHPDQG 3ODQQLQJ VWDUWV DQ LWHUDWLRQ RI WKH RSHUDWLRQV SURFHVV 8SRQ
FRPSOHWLRQ RI WKH LQLWLDO RUGHU SODQQLQJ FRQWLQXHV DV OHDGHUV UHYLVH WKH SODQ EDVHG RQ FKDQJLQJ
FLUFXPVWDQFHV3UHSDULQJEHJLQVGXULQJSODQQLQJDQGFRQWLQXHVWKURXJKH[HFXWLRQ([HFXWLRQSXWVDSODQLQWR
DFWLRQE\DSSO\LQJFRPEDWSRZHUWRVHL]HUHWDLQDQGH[SORLWWKHLQLWLDWLYHDQGFRQVROLGDWHJDLQV$VVHVVLQJ
LVFRQWLQXRXVDQGLQIOXHQFHVWKHRWKHUWKUHHDFWLYLWLHV7KHRSHUDWLRQVSURFHVVZKLOHVLPSOHLQFRQFHSWLV
G\QDPLFLQH[HFXWLRQHVSHFLDOO\LQIDVWSDFHGODUJHVFDOHFRPEDWRSHUDWLRQV&RPPDQGHUVPXVWRUJDQL]H
DQGWUDLQWKHLUVWDIIVDQGVXERUGLQDWHVDVDQLQWHJUDWHGWHDPWRVLPXOWDQHRXVO\SODQSUHSDUHH[HFXWHDQG
DVVHVVRSHUDWLRQV
 $UP\ RSHUDWLRQDO SODQQLQJ UHTXLUHV WKH FRPSOHWH GHILQLWLRQ RI WKH PLVVLRQ H[SUHVVLRQ RI WKH
FRPPDQGHU¶V LQWHQW FRPSOHWLRQ RI WKH FRPPDQGHU DQG VWDII HVWLPDWHV DQG GHYHORSPHQW RI D FRQFHSW RI
RSHUDWLRQV7KHVHIRUPWKHEDVLVRIDSODQRURUGHUDQGVHWWKHFRQGLWLRQVIRUDVXFFHVVIXOEDWWOH7KHLQLWLDO
SODQHVWDEOLVKHVWKHFRPPDQGHU¶VLQWHQWWKHFRQFHSWRIRSHUDWLRQVDQGWKHLQLWLDOWDVNVIRUVXERUGLQDWHXQLWV
,WDOORZVWKHJUHDWHVWSRVVLEOHRSHUDWLRQDODQGWDFWLFDOIUHHGRPIRUVXERUGLQDWHOHDGHUV,WLVIOH[LEOHHQRXJK
WRSHUPLWOHDGHUVWRVHL]HRSSRUWXQLWLHVFRQVLVWHQWZLWKWKHFRPPDQGHU¶VLQWHQWWKXVIDFLOLWDWLQJTXLFNDQG
DFFXUDWHGHFLVLRQPDNLQJGXULQJFRPEDWRSHUDWLRQV7KHSODQQRWRQO\DIIHFWVWKHFXUUHQWRSHUDWLRQEXWLW
DOVRVHWVWKHVWDJHIRUIXWXUHRSHUDWLRQV 6HH$'53IRUGRFWULQHRQWKHRSHUDWLRQVSURFHVV 
 %RWKFRPPDQGHUVDQGVWDIIVKDYHLPSRUWDQWUROHVZLWKLQWKHRSHUDWLRQVSURFHVV7KHFRPPDQGHU¶V
UROH LV WR GULYH WKH RSHUDWLRQV SURFHVV WKURXJK WKH DFWLYLWLHV RI XQGHUVWDQGLQJ YLVXDOL]LQJ GHVFULELQJ
GLUHFWLQJOHDGLQJDQGDVVHVVLQJRSHUDWLRQVDVVKRZQLQILJXUH&RPPDQGHUVEDODQFHWKHLUWLPHEHWZHHQ
OHDGLQJ WKHLU VWDIIV WKURXJK WKH RSHUDWLRQV SURFHVV DQG SURYLGLQJ SXUSRVH GLUHFWLRQ DQG PRWLYDWLRQ WR
VXERUGLQDWHFRPPDQGHUVDQG6ROGLHUV

6 October 2017 FM 3-0 2-25


Chapter 2

 7KHVWDII¶VUROHLVWRDVVLVWFRPPDQGHUVZLWKXQGHUVWDQGLQJVLWXDWLRQVPDNLQJDQGLPSOHPHQWLQJ
GHFLVLRQVFRQWUROOLQJRSHUDWLRQVDQGDVVHVVLQJSURJUHVV6WDIIPHPEHUVDGYLVHDQGPDNHUHFRPPHQGDWLRQV
WR WKH FRPPDQGHU ZLWKLQ WKHLU DUHD RI H[SHUWLVH EDVHG RQ WKHLU UXQQLQJ HVWLPDWHV 7KH\ VXSSRUW WKH
FRPPDQGHULQFRPPXQLFDWLQJGHFLVLRQVDQGLQWHQWLRQVWKURXJKSODQVDQGRUGHUV:KLOHFRPPDQGHUVPDNH
NH\GHFLVLRQVWKURXJKRXWWKHRSHUDWLRQVSURFHVVWKH\DUHQRWWKHRQO\GHFLVLRQPDNHUV&RPPDQGHUVGHOHJDWH
WUDLQHG DQG WUXVWHG VWDII PHPEHUV ZLWK GHFLVLRQPDNLQJ DXWKRULW\ IUHHLQJ FRPPDQGHUV IURP URXWLQH
GHFLVLRQV7KLVHQDEOHVFRPPDQGHUVWRIRFXVRQNH\DVSHFWVRIDQRSHUDWLRQ

Figure 2-8. The commander’s role in the operations process

&RQGXFW,QIRUPDWLRQ2SHUDWLRQV
7KHUHKDVQHYHUEHHQDWLPHLQRXUKLVWRU\ZKHQWKHUHZDVVRJUHDWDQHHGIRURXUFLWL]HQV
WREHLQIRUPHGDQGWRXQGHUVWDQGZKDWLVKDSSHQLQJLQWKHZRUOG7KHFDXVHRIIUHHGRPLV
EHLQJFKDOOHQJHGWKURXJKRXWWKHZRUOGWRGD\«3URSDJDQGDLVRQHRIWKHPRVWSRZHUIXO
ZHDSRQV WKH &RPPXQLVWV KDYH LQ WKLV VWUXJJOH 'HFHLW GLVWRUWLRQ DQG OLHV DUH
V\VWHPDWLFDOO\XVHGE\WKHPDVDPDWWHURIGHOLEHUDWHSROLF\
3UHVLGHQW+DUU\7UXPDQ

 &RPPDQGHUV DQG VWDIIV V\QFKURQL]H LQIRUPDWLRQUHODWHG FDSDELOLWLHV WKURXJK LQIRUPDWLRQ


RSHUDWLRQV ,QIRUPDWLRQ RSHUDWLRQV DUH WKH LQWHJUDWHG HPSOR\PHQW GXULQJ PLOLWDU\ RSHUDWLRQV RI
LQIRUPDWLRQUHODWHGFDSDELOLWLHVLQFRQFHUWZLWKRWKHUOLQHVRIRSHUDWLRQWRLQIOXHQFHGLVUXSWFRUUXSWRUXVXUS
WKHGHFLVLRQPDNLQJRIDGYHUVDULHVDQGSRWHQWLDODGYHUVDULHVZKLOHSURWHFWLQJRXURZQ -3 ,QIRUPDWLRQ
RSHUDWLRQV DUH FRPPDQGHU FHQWULF DQG FRRUGLQDWHG DV SDUW RI SODQQLQJ DQG WDUJHWLQJ 7KH HIIHFWV RI
LQIRUPDWLRQRSHUDWLRQVFDQEHVLPXOWDQHRXVO\REVHUYHGZLWKLQDQ$2DQGZRUOGZLGH
 )LJXUHGHSLFWVLQIRUPDWLRQRSHUDWLRQVDXWKRULWLHVDQGFDSDELOLWLHVLQWKHFRQWH[WRIRSHUDWLRQVWR
VKDSHSUHYHQWZLQDQGFRQVROLGDWHJDLQV$VRSHUDWLRQVPRYHULJKWRQWKHFRQIOLFWFRQWLQXXPDXWKRULWLHV
IRUWKHXVHRILQIRUPDWLRQUHODWHGFDSDELOLWLHVLQFUHDVH)RUH[DPSOHGXULQJRSHUDWLRQVWRVKDSHLQIRUPDWLRQ
RSHUDWLRQVIRFXVRQPHVVDJLQJWRLQIRUPDQGLQIOXHQFHDOOLHVWRGHWHUDGYHUVDULHVDQGWRFRQGXFWGHIHQVLYH
F\EHUVSDFHRSHUDWLRQV'XULQJODUJHVFDOHFRPEDWRSHUDWLRQVLQIRUPDWLRQUHODWHGFDSDELOLWLHVEHFRPHPXFK
PRUHRIIHQVLYHO\RULHQWHGDQGIRFXVHGRQWKHVXSSRUWRIPDQHXYHUFRPPDQGHUV1DWLRQDOMRLQWDQG$UP\
FDSDELOLWLHVVXFKDVRIIHQVLYHVSDFHFRQWURORIIHQVLYHF\EHUVSDFHRSHUDWLRQVDQG(:EHFRPHDYDLODEOHWR
VXSSRUWJURXQGIRUFHVHQJDJLQJWKHHQHP\

2-26 FM 3-0 6 October 2017


$UP\ (FKHORQV&DSDELOLWLHV DQG7UDLQLQJ

Figure 2-9. Dynamic continuum of information operations

 &RPPDQGHUVDQG WKHLUXQLWVPXVWFRRUGLQDWHZKDWWKH\GRVD\DQG SRUWUD\7KH GHYHORSPHQWRI


WKHPHVDQGPHVVDJHVLQVXSSRUWRIDPLOLWDU\RSHUDWLRQLVIXQGDPHQWDOWRWKDWSURFHVV$WKHPHLVDXQLI\LQJ
RUGRPLQDQWLGHDRULPDJHWKDWH[SUHVVHVWKHSXUSRVHIRUPLOLWDU\DFWLRQ7KHPHVDUHWLHGWRREMHFWLYHVOLQHV
RIHIIRUWDQGHQG VWDWHFRQGLWLRQV7KHPHVDUHRYHUDUFKLQJDQG DSSO\ WRWKHFDSDELOLWLHVRISXEOLFDIIDLUV
DFWLYLWLHV 0,62 DQG 6ROGLHU DQG OHDGHU HQJDJHPHQWV $ PHVVDJH LV D YHUEDO ZULWWHQ RU HOHFWURQLF
FRPPXQLFDWLRQWKDW VXSSRUWV D WKHPH IRFXVHGRQ D VSHFLILFDFWRU DQG LQ VXSSRUW RI D VSHFLILF DFWLRQ
&RPPDQGHUVDSSURYHDQG HPSOR\WKHPHVDQG PHVVDJHVDVSDUWRISODQQHG DFWLYLWLHVGHVLJQHGWRLQIOXHQFH
VSHFLILFIRUHLJQDXGLHQFHVIRUYDULRXVSXUSRVHVWKDWVXSSRUWFXUUHQWRUSODQQHGRSHUDWLRQV
 6WDIIVV\QFKURQL]HLQIRUPDWLRQRSHUDWLRQVWKURXJKRXWWKHRSHUDWLRQVSURFHVV,QIRUPDWLRQRSHUDWLRQV
VSHFLDOLVWVPXVWHIIHFWLYHO\V\QFKURQL]HYDULRXV LQIRUPDWLRQUHODWHGFDSDELOLWLHVWRVXSSRUWWKHFRQFHSWRI
RSHUDWLRQV7KHXVHRIPHVVDJLQJLVD FULWLFDOVXSSRUWLQJHIIRUWGXULQJODUJHVFDOHFRPEDWRSHUDWLRQV$VLQ
SUHYLRXVZDUVDQGFRQIOLFWVWKHPHVVDJHOHJLWLPL]LQJZK\86IRUFHVDUHWKHUHDQGZK\WKH\ILJKWPXVWEH

6 December 2017 FM 3-0, C1 2-27


Chapter 2

FRPPXQLFDWHGDQG XQGHUVWRRGDFURVVDOO HFKHORQVDQG DXGLHQFHV&RPPDQGHUV PXVW FRPPXQLFDWHDQG


HQIRUFHDSRVLWLYHQDUUDWLYHDQGEHDZDUHWKDWDQHQHP\PD\OHDGZLWKLQIRUPDWLRQHIIHFWVDQGRQO\VXSSRUW
WKHPZLWKSK\VLFDOHIIHFWV
 :KLOHDOOXQLW RSHUDWLRQVDFWLYLWLHVDQG DFWLRQVDIIHFWWKH LQIRUPDWLRQHQYLURQPHQWLQIRUPDWLRQ
UHODWHGFDSDELOLWLHVUHTXLULQJV\QFKURQL]DWLRQDQGFRRUGLQDWLRQDVSDUWRILQIRUPDWLRQRSHUDWLRQVLQFOXGH²
z 0LOLWDU\GHFHSWLRQ 0,/'(& 
z 0,62
z 6ROGLHUDQGOHDGHUHQJDJHPHQWLQFOXGLQJSROLFHHQJDJHPHQW
z &$RSHUDWLRQV
z &RPEDWFDPHUD
z 236(&
z 3XEOLFDIIDLUV
z &\EHUVSDFH2SHUDWLRQV
z (:
z 6SDFHRSHUDWLRQV
z 6SHFLDOWHFKQLFDORSHUDWLRQV
 3DUDJUDSKVWKURXJKKLJKOLJKWVHYHUDOLQIRUPDWLRQUHODWHGFDSDELOLWLHV 6HH)0IRU
GRFWULQHRQLQIRUPDWLRQRSHUDWLRQV 

Military Deception
,QZDUWLPHWUXWKLVVRSUHFLRXVWKDWVKHVKRXOGDOZD\VEHDWWHQGHGE\DERG\JXDUGRIOLHV
:LQVWRQ6&KXUFKLOO

 0LOLWDU\GHFHSWLRQLVDFWLRQVH[HFXWHGWRGHOLEHUDWHO\PLVOHDGDGYHUVDU\ PLOLWDU\SDUDPLOLWDU\RU


YLROHQWH[WUHPLVWRUJDQL]DWLRQGHFLVLRQPDNHUVWKHUHE\ FDXVLQJ WKHDGYHUVDU\ WRWDNH VSHFLILFDFWLRQVRU
LQDFWLRQV  WKDW ZLOO FRQWULEXWH WR WKH DFFRPSOLVKPHQW RI WKH IULHQGO\ PLVVLRQ -3   0,/'(&
RSHUDWLRQVDUHSODQQHGIURPWKHWRSGRZQ6XERUGLQDWHGHFHSWLRQSODQVPXVWVXSSRUWKLJKHUHFKHORQSODQV
 7DFWLFDO GHFHSWLRQ 7$&'  LVD GHFHSWLRQDFWLYLW\ SODQQHG DQG H[HFXWHGE\ DQG LQ VXSSRUWRI
WDFWLFDOOHYHOFRPPDQGHUVWRFDXVHDGYHUVDULHVWRWDNHDFWLRQVRULQDFWLRQVIDYRUDEOHWRWKHIULHQGO\WDFWLFDO
FRPPDQGHUV¶REMHFWLYHV7$&' LV FRQGXFWHGWRLQIOXHQFHPLOLWDU\RSHUDWLRQVLQRUGHUWRJDLQ D WDFWLFDO
DGYDQWDJH RYHUDQDGYHUVDU\PDVNYXOQHUDELOLWLHVLQIULHQGO\IRUFHVRUWRHQKDQFHWKHGHIHQVLYHFDSDELOLWLHV
RIIULHQGO\IRUFHV7$&'LVXQLTXHWRWKHWDFWLFDOUHTXLUHPHQWVRIWKHORFDOFRPPDQGHUDQGQRWQHFHVVDULO\
OLQNHGRUVXERUGLQDWHWRD JUHDWHUMRLQW0,/'(& SODQ ,Q RUGHUWRHQVXUHWKDW LWGRHVQRWFRPSURPLVHDQ
H[LVWLQJ RU IXWXUH 0,/'(& 7$&' PXVW EH DSSURYHG WZR HFKHORQVXS QRW WR H[FHHG WKH FRPEDWDQW
FRPPDQG
 7KH FRUSVHFKHORQLVZKHUHSURSHUO\FRQFHLYHGDQG HPSOR\HG0,/'(&LVPRVWOLNHO\WRVXFFHHG
DQG PLVOHDGHQHP\FRPPDQGHUVDV WRWKHWUXHGLVSRVLWLRQFDSDELOLWLHVDQG LQWHQWLRQVRIIULHQGO\IRUFHV
'LYLVLRQVDQG ORZHUHFKHORQVRIWHQODFN WKH GHQVLW\ RIIRUFHVDQG FDSDELOLWLHVWR VXFFHVVIXOO\GHFHLYH D
UHJLRQDO SHHU HQHP\ 7DFWLFDO KHDGTXDUWHUV HPSOR\ 7$&' PHDVXUHV DVVLJQHG E\ D KLJKHU HFKHORQ
KHDGTXDUWHUVRUGHYHORSWKHLURZQPHDVXUHVWRVXSSRUWWKHLURZQFRQFHSWRIRSHUDWLRQV7KHVHPHDVXUHVPXVW
EH QHVWHG 7KH WDFWLFDO KHDGTXDUWHU¶V KLJKHU HFKHORQ KHDGTXDUWHUV PXVW YHW DQG DSSURYH DOO 7$&'
RSHUDWLRQV7$&' UHTXLUHVV\QFKURQL]DWLRQDFURVVPXOWLSOHGRPDLQVDQGHFKHORQV$QHQHP\LVQRWOLNHO\
WREH GHFHLYHGZKHQ IULHQGO\DFWLRQVGR QRW PDWFK WKH DYDLODEOH LQIRUPDWLRQ7DFWLFDO XQLWV DVVLJQHG WR
FRQGXFW0,/'(&DFWLYLWLHVDUHRIWHQQRWLQIRUPHGRIWKHLUPLVVLRQ¶VWUXHSXUSRVH
 ,WLVH[WUHPHO\GLIILFXOWIRU%&7VDQG RWKHUW\SHVRIEULJDGHVWRHPSOR\HIIHFWLYH7$&' EHFDXVH
RI WKH ODFN RI UHVRXUFHV DYDLODEOH DW WKH EULJDGH HFKHORQ 2SHUDWLRQV VHFXULW\²LQFOXGLQJ HIIHFWLYH
FDPRXIODJHFRQFHDOPHQWDQGWKHXVHRIGHFR\V²PD\RQO\GHOD\DQHQHP\IURPLGHQWLI\LQJWKHREMHFWLYH
RID %&7 RSHUDWLRQIRUVKRUWSHULRGV236(& PD\ DVVLVWLQGHWHUPLQLQJWKHWLPLQJIRUWKH PRYHPHQWRI
IRUFHVPDQDJLQJ WKHGDLO\ YROXPH RIHOHFWURQLFVLJQDWXUHVRUWKHWLPLQJRIVXVWDLQPHQWRSHUDWLRQV%&7
7$&' PD\ FUHDWHRQO\ D YHU\ VKRUWSHULRG RI WLPH WR H[SORLW D SRVLWLRQRI UHODWLYH DGYDQWDJH )DOVH
LQVHUWLRQVIHLQWVGHFHSWLRQILUHVVPRNHVFUHHQVGHFR\V(:DQG RWKHUWDFWLFVWHFKQLTXHVDQGSURFHGXUHV

2-28 FM 3-0, C1 6 December 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

FDQ FUHDWH FRQIXVLRQ RU XQFHUWDLQW\ LQ WKH PLQG RI DQ HQHP\ FRPPDQGHU ZKLFK ZLOO IDFLOLWDWH IULHQGO\
PDQHXYHU:KHQSRVVLEOH7$&'LVXVHGE\FRUSVDQGGLYLVLRQVXSSRUWEULJDGHVLQWKHFORVHDQGGHHSDUHD
WRDGGWRWKHGLOHPPDVSUHVHQWHGWRDQRSSRVLQJHQHP\FRPPDQGHU
 &RPPDQGHUV VKRXOG DVVXPH DOO JURXQG IRUFHV DUH XQGHU FRQWLQXRXV REVHUYDWLRQ E\ HQHPLHV DQG
DGYHUVDULHVHPSOR\LQJWKHLUQDWLRQDOVSDFHEDVHGFDSDELOLWLHVDQGRSHUDWHDFFRUGLQJO\&RPPDQGHUVHPSOR\
FDPRXIODJHDQGGHFHSWLRQPHDVXUHVWRPLQLPL]HXQLWH[SRVXUHDQGLGHQWLILFDWLRQIRUWDUJHWLQJE\ORQJUDQJH
SUHFLVLRQILUHVRUGLUHFWDFWLRQE\HQHP\FRQYHQWLRQDOVSHFLDOSXUSRVHDQGLUUHJXODUIRUFHV7KHKDUGHULWLV
WRLGHQWLI\IULHQGO\IRUFHVWRWDUJHWWKHOHVVOLNHO\WKH\ZLOOEHWDUJHWHG5DSLGO\PDQHXYHULQJIULHQGO\IRUFHV
DOVR UHGXFHV WKH DELOLW\ RI DQ HQHP\ WR WDUJHW WKRVH IULHQGO\ IRUFHV 7KH FRPELQDWLRQ RI GHFHSWLRQ JRRG
236(&DQGHQHP\OLPLWDWLRQVDUHDOOUHODWHG0LQLPL]LQJWKHDSSHDUDQFHRIDFWXDOOXFUDWLYHWDUJHWVZKLOH
SURYLGLQJIDOVHWDUJHWVVKRXOGEHD0,/'(&JRDO 6HH)0IRUPRUHLQIRUPDWLRQRQ0,/'(& 

Military Information Support Operations


7KHPLQGRIWKHHQHP\DQGWKHZLOORIKLVOHDGHUVLVDWDUJHWRIIDUPRUHLPSRUWDQFHWKDQ
WKHERGLHVRIKLVWURRSV
%ULJDGLHU*HQHUDO6DPXHO%*ULIILWK,,

 3V\FKRORJLFDO IDFWRUV DUH DQ LQWHJUDO SDUW RI DOO RSHUDWLRQV 0,62 LQFOXGH ZRUGV DQG DFWLRQV
VSHFLILFDOO\ SODQQHG WR UHGXFH WKH FRPEDW HIIHFWLYHQHVV RI HQHP\ DUPHG IRUFHV DQG WR LQIOXHQFH KRVWLOH
QHXWUDODQGIULHQGO\JURXSVWRVXSSRUWIULHQGO\IRUFHRSHUDWLRQV+RZHYHU0,62PD\WDNHWLPHWRDFKLHYH
DGHVLUHGFKDQJHLQHQHP\EHKDYLRUGHSHQGLQJRQWKHWDUJHWDQGWKHREMHFWLYH&RPPDQGHUVDUHUHVSRQVLEOH
IRUWKHLQWHJUDWLRQRI0,62LQWRPLOLWDU\SODQQLQJ&RPPDQGHUVQHHGWRHYDOXDWHWKHLUSODQVDQGRSHUDWLRQV
LQYLHZRIWKHLUSV\FKRORJLFDOLPSDFWDQGDOLJQPHQWZLWKWKHJXLGDQFHSURYLGHGIURPWKHLUKLJKHUHFKHORQ
KHDGTXDUWHUV 7DFWLFDO KHDGTXDUWHUV DW WKH %&7 HFKHORQ DQG EHORZ DUH SULPDULO\ FRQFHUQHG ZLWK 0,62
GHVLJQHGWRSURGXFHVKRUWWHUPUHVXOWVWRJDLQDSRVLWLRQRIUHODWLYHDGYDQWDJHVXFKDVKDVWHQLQJWKHVXUUHQGHU
RIVXUURXQGHGDQGLVRODWHGHQHP\IRUFHV6RPHWDFWLFDO0,62REMHFWLYHVPD\DFKLHYHJRDOVWRFRQVROLGDWH
JDLQV&RUSVDQGGLYLVLRQKHDGTXDUWHUVDOORFDWHVXSSRUWLQJSV\FKRORJLFDORSHUDWLRQVFRPSDQLHVSODWRRQV
DQGWHDPVWRVXERUGLQDWHXQLWVDVUHTXLUHG

0HVVDJLQJ$JDLQVW,UDTL)RUFHV

3UHZDULQWHOOLJHQFHIRU23(5$7,21,5$4,)5(('20LQGLFDWHGWKDWWKH,UDTLDUP\
PLJKW EH VXVFHSWLEOH WR DQ DJJUHVVLYH FDPSDLJQ WR SURPRWH FDSLWXODWLRQ RU PDVV
VXUUHQGHU8QIRUWXQDWHO\WKHVXUUHQGHUOHDIOHWVGLGQRWZRUNDVZHOOLQ2,)DVWKH\GLG
LQ'(6(57672502IFRXUVHRQHPDMRUGLIIHUHQFHEHWZHHQWKHWZRZDUVZDVWKDW
GXULQJ'(6(5767250,UDTLVROGLHUVVXIIHUHGWKURXJKDQH[WHQVLYHERPELQJIRUD
PRQWKEHIRUHUHFHLYLQJJURXQGIRUFHV$VDUHVXOWRIWKHERPELQJWKRVHIRUFHVZHUH
IDUPRUHUHFHSWLYHWRVXUUHQGHUDSSHDOV,Q'(6(5767250,UDTLWURRSVZHUHQRW
GHIHQGLQJWKHLUKRPHODQGDQGWKHPRWLYDWLRQWRVWD\DQGGLHLQ.XZDLWZDVDUJXDEO\
PXFKZHDNHU
On Point: The U.S. Army in OIF I

 &RUSV DQG GLYLVLRQV IDFLOLWDWH 0,62 WR FUHDWH SHULRGV RI UHODWLYH DGYDQWDJH E\ SURYLGLQJ HQHP\
WDUJHW DXGLHQFHV LQIRUPDWLRQ GHVLJQHG IRU D VSHFLILF HIIHFW WKDW VXSSRUWV IULHQGO\ RSHUDWLRQV :LWKLQ WKH
FRQVWUDLQWVRISROLF\SODQQHUVDQGRSHUDWRUVFUHDWLYHO\HURGHVXSSRUWIRUHQHP\RSHUDWLRQVEXLOGGLVWUXVW
EHWZHHQ DGYHUVDULDO DFWRUV DQG LQIRUP FLYLOLDQ SRSXODWLRQV RI GHVLJQDWHG HYDFXDWLRQ URXWHV RU DUHDV WKDW
SURYLGHVDQFWXDU\
 0,62 DW WKH WDFWLFDO OHYHO IRFXVHV RQ LVRODWLQJ HQHP\ IRUFHV DW WKH GLYLVLRQ HFKHORQ DQG EHORZ
0,62XQLWVPD\DOVRFRQWULEXWHWRWKHGHFHSWLRQSODQVRIKLJKHUHFKHORQKHDGTXDUWHUVDQGWKH\KDYHWKH
DELOLW\ WR SODQ DQG H[HFXWH 7$&' 0,62 SODQQHUV ZHLJK VKRUWWHUP HIIHFWV ZLWK WKH LPSDFW FHUWDLQ
RSHUDWLRQV PD\ KDYH ZKHQ D IULHQGO\ IRUFH RSHUDWHV DV DQ RFFXS\LQJ IRUFH 6HH )0  IRU DGGLWLRQDO
LQIRUPDWLRQRQ0,62 

6 October 2017 FM 3-0 2-29


Chapter 2

Public Affairs
 $UP\ SXEOLF DIIDLUV LV SXEOLF LQIRUPDWLRQ FRPPDQG LQIRUPDWLRQ DQG FRPPXQLW\ HQJDJHPHQW
DFWLYLWLHVGLUHFWHGWRZDUGERWKH[WHUQDODQGLQWHUQDOSRSXODWLRQVZLWKLQWHUHVWLQWKH'2'3XEOLFDIIDLUVLV
WKHFRPPDQGHU¶VUHVSRQVLELOLW\DWDOOHFKHORQVRIFRPPDQG3XEOLFDIIDLUVRIILFHUVDVVLVWFRPPDQGHUVDQG
VHUYH RQWKHEULJDGH¶VVSHFLDOVWDIIDQGWKHFRPPDQGHU¶VSHUVRQDOVWDII DWGLYLVLRQWKURXJKWKHDWHUDUP\
HFKHORQV 
 7KH86PLOLWDU\KDVDQREOLJDWLRQWRFRPPXQLFDWHZLWKLWVPHPEHUVDQGWKH86SXEOLFDQGLWLV
LQ WKH QDWLRQDO LQWHUHVW WR FRPPXQLFDWH ZLWK LQWHUQDWLRQDO SRSXODWLRQV 7KH SURDFWLYH UHOHDVH RI DFFXUDWH
LQIRUPDWLRQ WR GRPHVWLF DQG LQWHUQDWLRQDO DXGLHQFHV SXWV MRLQW RSHUDWLRQV LQ FRQWH[W IDFLOLWDWHV LQIRUPHG
SHUFHSWLRQVDERXWPLOLWDU\RSHUDWLRQVFRXQWHUVDGYHUVDULDOSURSDJDQGDDQGKHOSVDFKLHYHQDWLRQDOVWUDWHJLF
DQGRSHUDWLRQDOREMHFWLYHV(IIHFWLYHSXEOLFDIIDLUVKHOS²
z %XLOGSDUWQHUVKLSV
z 'HWHUDGYHUVDULHV
z (QKDQFHDOOLHGVXSSRUW
z 6XSSRUWIXWXUH86VHFXULW\LQWHUHVWV
z ,QIRUPH[SHFWDWLRQVDQGRSWLRQV
z &RXQWHULQDFFXUDWHLQIRUPDWLRQGHFHSWLRQDQGSURSDJDQGD
z 5HLQIRUFHPLOLWDU\VXFFHVV
z 6XSSRUWPLOLWDU\REMHFWLYHV
z $UWLFXODWHPLOLWDU\FDSDELOLWLHV
z &RPPXQLFDWH86DFWLRQVDQGSROLFLHV
z 6XSSRUWVWUDWHJLFQDUUDWLYHVWKHPHVDQGJRDOV

 3XEOLFDIIDLUVLVLQKHUHQWLQDOOPLOLWDU\DFWLYLWLHVDQGLWLVDNH\HQDEOHUIRUPDQDJLQJDQGGHOLYHULQJ
SXEOLF LQIRUPDWLRQ WKURXJK SXEOLF FRPPXQLFDWLRQ ,Q $UP\ SXEOLF DIIDLUV SXEOLF FRPPXQLFDWLRQ LV WKH
FRPPXQLFDWLRQ EHWZHHQ WKH $UP\ DQG LQWHUQDWLRQDO QDWLRQDO DQG ORFDO SRSXODWLRQV WKURXJK FRRUGLQDWHG
SURJUDPV SODQV WKHPHV DQG PHVVDJHV ,W LQYROYHV WKH UHFHLSW DQG H[FKDQJH RI LGHDV DQG RSLQLRQV WKDW
FRQWULEXWHWRVKDSLQJSXEOLFXQGHUVWDQGLQJRIDQGGLVFRXUVHZLWKWKH$UP\3XEOLFFRPPXQLFDWLRQLQFOXGHV
WKHUHOHDVHRIRIILFLDOLQIRUPDWLRQWKURXJKQHZVUHOHDVHVSXEOLFVHUYLFHDQQRXQFHPHQWVPHGLDHQJDJHPHQWV
DQGVRFLDOQHWZRUNV 6HH)0IRUSXEOLFDIIDLUVGRFWULQH 
 7KH DEXQGDQFH RI LQIRUPDWLRQ VRXUFHV FRXSOHG ZLWK WHFKQRORJ\ VXFK DV VPDUW SKRQHV GLJLWDO
FDPHUDVYLGHRFKDWDQGVRFLDOPHGLDHQWHUSULVHVDOORZVLQIRUPDWLRQWRPRYHLQVWDQWDQHRXVO\DURXQGWKH
JOREH3XEOLFDIIDLUVSHUVRQQHODQGXQLWVIUHTXHQWO\UHYLHZDQGDQDO\]HPHGLDUHSRUWVDWWKHLQWHUQDWLRQDO
QDWLRQDODQGORFDOOHYHOV7KHUHVXOWVRIWKHVHDQDO\VHVDUHSURYLGHGWRWKHVXSSRUWHGFRPPDQGHURQDUHJXODU
EDVLV,WLVLPSHUDWLYHIRUSXEOLFDIIDLUVSHUVRQQHOWRUDSLGO\GHYHORSWKHPHVDQGPHVVDJHVWRHQVXUHWKDWIDFWV
GDWDHYHQWVDQGXWWHUDQFHVDUHSXWLQFRQWH[W6RFLDOPHGLDXVHVKRXOGFRQIRUPWRDOOUHOHYDQW'2'DQG
6HUYLFH JXLGDQFH DQG WDNH LQWR DFFRXQW 236(& RSHUDWLRQDO ULVN DQG SULYDF\ 6HH -3  IRU PRUH
GLVFXVVLRQRQVRFLDOPHGLD 

&\EHUVSDFH(OHFWURPDJQHWLF$FWLYLWLHV
 &\EHUVSDFH HOHFWURPDJQHWLF DFWLYLWLHV LV WKH SURFHVV RI SODQQLQJ LQWHJUDWLQJ DQG V\QFKURQL]LQJ
F\EHUVSDFHDQGHOHFWURQLFZDUIDUHRSHUDWLRQVLQVXSSRUWRIXQLILHGODQGRSHUDWLRQV $'53 ,QFRUSRUDWLQJ
F\EHUVSDFHHOHFWURPDJQHWLFDFWLYLWLHV &(0$ WKURXJKRXWDOOSKDVHVRIDQRSHUDWLRQLVNH\WRREWDLQLQJDQG
PDLQWDLQLQJIUHHGRPRIPDQHXYHULQF\EHUVSDFHDQGWKH(06ZKLOHGHQ\LQJLWWRHQHPLHVDQGDGYHUVDULHV
&(0$V\QFKURQL]HVFDSDELOLWLHVDFURVVGRPDLQVDQGZDUILJKWLQJIXQFWLRQVDQGPD[LPL]HVFRPSOHPHQWDU\
HIIHFWV LQ DQG WKURXJK F\EHUVSDFH DQG WKH (06 ,QWHOOLJHQFH VLJQDO LQIRUPDWLRQ RSHUDWLRQV F\EHUVSDFH
VSDFH DQG ILUHV RSHUDWLRQV DUH FULWLFDO WR SODQQLQJ V\QFKURQL]LQJ DQG H[HFXWLQJ F\EHUVSDFH DQG (:
RSHUDWLRQV
 &(0$DGKHUHWRWKHMRLQWSULQFLSOHVRIRSHUDWLRQVDQGRIWKHVHSULQFLSOHV PDVVXQLW\RIHIIRUW
VXUSULVH DQG VHFXULW\ DUH WKH PRVW UHOHYDQW &RPPDQGHUV DQG VWDIIV HQVXUH FRPSOLDQFH ZLWK UHOHYDQW
DXWKRULWLHV DQG DVVRFLDWHG OHJDO IUDPHZRUNV EHIRUH FRQGXFWLQJ F\EHUVSDFH DQG (: RSHUDWLRQV :KHQ
FRQGXFWLQJF\EHUVSDFHRSHUDWLRQVWKH$UP\DFWVDFFRUGLQJWRFRPPDQGOLQHVRIDXWKRULW\)RUH[DPSOHWKH

2-30 FM 3-0 6 October 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

$UP\ SURYLGHV IRUFHV IRU RIIHQVLYH F\EHUVSDFH RSHUDWLRQV 2&2  EXW GRHV QRW H[HFXWH WKHVH RSHUDWLRQV
H[FHSWDVSDUWRIWKHMRLQWIRUFHDQGDVDSSURYHGE\WKH-)&2&2DQGGHIHQVLYHF\EHUVSDFHUHVSRQVHDFWLRQV
DUHVXEMHFWWRDXWKRULWLHVWKDWUHVLGHZLWKWKH3UHVLGHQWDQG6HFUHWDU\RI'HIHQVH
 2QO\IRUFHVZLWKSURSHUOHJDODQGFRPPDQGDXWKRULW\FDQFUHDWHRIIHQVLYHHIIHFWVLQFOXGLQJ'&2
UHVSRQVHDFWLRQVLQF\EHUVSDFHRUWKH(067KHXVHRIF\EHUVSDFHFDSDELOLWLHVUHTXLUHVGHWDLOHGSODQQLQJ
DQG VXEPLWWLQJ UHTXHVWV XVLQJ WKH F\EHU HIIHFWV UHTXHVW IRUPDW &RUSV GLYLVLRQV DQG %&7 KHDGTXDUWHUV
FXUUHQWO\ SRVVHVV RQO\ OLPLWHG FDSDELOLWLHV WR FRQGXFW F\EHUVSDFH VXUYHLOODQFH 7KH\ KDYH QR RUJDQLF
FDSDELOLWLHVWRFRQGXFWF\EHUVSDFHUHFRQQDLVVDQFHRURWKHURIIHQVLYHWDVNV7KHPDMRULW\RIF\EHUVSDFHWDVNV
DWWKHFRUSVHFKHORQDQGEHORZIRFXVRQHQDEOLQJIULHQGO\PLVVLRQFRPPDQGDQGILUHVZKLOHSURWHFWLQJWKH
'2',1$GYHUVDULHVDQGHQHPLHVFRQWLQXRXVO\VHHNWRJDLQDGYDQWDJHE\SHQHWUDWLQJIULHQGO\QHWZRUNVWR
GLVUXSWRSHUDWLRQV$UP\IRUFHVVHHNWRSURWHFWWKH'2',1WKURXJKSHUIRUPLQJGHIHQVLYHO\RULHQWHGWDVNVWR
HQVXUHGLVFLSOLQHGDGKHUHQFHWRVHFXULW\SURWRFROVDQGOLPLWLQJGLJLWDOIRRWSULQWVWRDYRLGGHWHFWLRQ$WDOO
WLPHV JURXQG IRUFHV QHHG WR VDIHJXDUG IULHQGO\ V\VWHPV ZLWK DFFHVV WR WKH QHWZRUN IURP FDSWXUH DQG
H[SORLWDWLRQ
 'HOLEHUDWH SODQQLQJ LV UHTXLUHG WR UHTXHVW VSHFLILF F\EHUVSDFH HIIHFWV WKDW HQDEOH RU HQKDQFH
FRPELQHGDUPVRSHUDWLRQV&RPPDQGHUVUHTXHVWHIIHFWVXVLQJWKHWHUPVGHQ\GHJUDGHGLVUXSWGHVWUR\DQG
PDQLSXODWH 7KH $UP\ FRQVLGHUV WKHVH DV VHSDUDWH HIIHFWV UDWKHU WKDQ D VXEVHW RI GHQ\ 7KHVH WHUPV DUH
FRPPRQIRUWDUJHWLQJJXLGDQFHRUWRGHVFULEHHIIHFWVIRULQIRUPDWLRQRSHUDWLRQV7KHVHDUHGHVLUHGHIIHFWV
WKDWVXSSRUWRSHUDWLRQVDQGDUHDFKLHYDEOHXVLQJF\EHUVSDFHFDSDELOLWLHV3ODQQHUVXVHWKHVHWHUPVWRGHVFULEH
DQGSODQF\EHUVSDFHDQGHOHFWURQLFZDUIDUHHIIHFWV7KHPRVWFRPPRQHIIHFWVDVVRFLDWHGZLWKF\EHUVSDFH
RSHUDWLRQVDUHGHQ\GHJUDGHGLVUXSWGHVWUR\PDQLSXODWHDQGGHFHLYH
 (IIHFWVLQDQGWKURXJKF\EHUVSDFHPD\ KDYHWKHVDPHFRQVHTXHQFHVDVRWKHUW\SHVRIWUDGLWLRQDO
HIIHFWV(IIHFWVGXULQJRSHUDWLRQVLQFOXGHOHWKDODQGQRQOHWKDODFWLRQVDQGPD\EHGLUHFWRULQGLUHFW'LUHFW
HIIHFWV DUH ILUVW RUGHU FRQVHTXHQFHV DQG LQGLUHFW HIIHFWV DUH VHFRQG WKLUG RU KLJKHU RUGHU FRQVHTXHQFHV
6LPLODUFKDUDFWHULVWLFVRIGLUHFWDQGLQGLUHFWHIIHFWVLQF\EHUVSDFHFDQEHFXPXODWLYHRUFDVFDGLQJ7KHVH
HIIHFWV DUH SODQQHG DQG FRQWUROOHG LQ RUGHU WR PHHW WKH FRPPDQGHU¶V REMHFWLYHV &XPXODWLYH UHIHUV WR
FRPSRXQGLQJHIIHFWVDQGFDVFDGLQJUHIHUVWRLQIOXHQFLQJRWKHUV\VWHPVZLWKDULSSOLQJHIIHFW7KHGHVLUHG
HIIHFWV LQ F\EHUVSDFH FDQ VXSSRUW RSHUDWLRQV DV DQRWKHU PHDQV WR VKDSH WKH RSHUDWLRQDO HQYLURQPHQW WR
SURYLGHDQDGYDQWDJH
 (FKHORQVWKDWGRQRWKDYHRUJDQLFFDSDELOLWLHVRUDXWKRULWLHVIRUF\EHUVSDFHRU(:RSHUDWLRQVPD\
LQWHJUDWH VXSSRUWLQJ HIIHFWV IURP IRUFHV ZLWK WKRVH ZLWK FDSDELOLWLHV WR VXSSRUW RSHUDWLRQV 7KH DSSURYDO
DXWKRULW\WRH[HFXWHWKHF\EHUVSDFHDQG(:RSHUDWLRQVLVGHVFULEHGLQWKHRSHUDWLRQVRUGHUV
 &RUSVGLYLVLRQDQG%&7FRPPDQGHUVFDQUHTXHVWVXSSRUWIRUQRQRUJDQLFFDSDELOLWLHVWRSURYLGH
HIIHFWVRQLQDQGWKURXJKF\EHUVSDFHDQGWKH(06&RPPDQGHUVQHHGWRXQGHUVWDQGZKDWIDFWRUVLQIOXHQFH
WKH HIIHFWV GXUDWLRQ DQG WLPHOLQHVV RI GHOLYHU\ RI F\EHUVSDFH HIIHFWV 1RQOHWKDO F\EHUVSDFH DWWDFNV DUH
LQLWLDOO\SHQHWUDWLRQVWKDWDOORZWKHF\EHUVSDFHUHFRQQDLVVDQFHDQGVXUYHLOODQFHQHFHVVDU\WRGHWHUPLQHKRZ
EHVWWRH[SORLWDSRVLWLRQRIDGYDQWDJHRQDQHWZRUNRUV\VWHP([SORLWDWLRQRIWKRVHSRVLWLRQVRIDGYDQWDJH
FDQEHLQWKHIRUPRIGHVWUXFWLRQGLVLQWHJUDWLRQRULVRODWLRQRIWKDWF\EHUVSDFHQHWZRUNRUV\VWHP7KHH[DFW
HIIHFWGHOLYHUHGGHSHQGVRQWKHGHJUHHRIUHODWLYHDGYDQWDJHDQGDYDLODEOHWHFKQLFDOFDSDELOLWLHV$UP\IRUFHV
SUHSDUHDQGVXEPLWHIIHFWUHTXHVWVXVLQJWKHF\EHUHIIHFWVUHTXHVWIRUPDW 6HH)0IRUPRUHLQIRUPDWLRQ
RQUHTXHVWLQJF\EHUVSDFHHIIHFWV 

$'',7,21$/7$6.6
 ,Q DGGLWLRQ WR FRPPDQG DQG VWDII WDVNV WKH PLVVLRQ FRPPDQG ZDUILJKWLQJ IXQFWLRQ KDV VHYHUDO
DGGLWLRQDOWDVNV3DUDJUDSKVWKURXJKGLVFXVVDGGLWLRQDOPLVVLRQFRPPDQGZDUILJKWLQJIXQFWLRQ
WDVNV

$LUVSDFH&RQWURO
 $LUVSDFHFRQWUROLQFOXGHVWKHFDSDELOLWLHVDQGSURFHGXUHVXVHGWRLQFUHDVHRSHUDWLRQDOHIIHFWLYHQHVV
E\SURPRWLQJWKHVDIHHIILFLHQWDQGIOH[LEOHXVHRIDLUVSDFH -3 7KHDWHUDUPLHVFRUSVGLYLVLRQVDQG
%&7V UHTXLUH WKH FDSDELOLW\ WR FRQGXFW DLUVSDFH FRQWURO $LUVSDFH FRQWURO LQFUHDVHV FRPEDW HIIHFWLYHQHVV

6 October 2017 FM 3-0 2-31


Chapter 2

ZKLOHSODFLQJPLQLPXPFRQVWUDLQWXSRQDLUVSDFHXVHUV$LUVSDFHFRQWUROUHOLHVXSRQDLUVSDFHPDQDJHPHQW
FDSDELOLWLHVSURYLGHGE\MRLQWDQG$UP\DLUVSDFHFRQWUROHOHPHQWVDQGRIWHQKRVWQDWLRQDLUWUDIILFFRQWURO
 7KHJRDORIDLUVSDFHFRQWURODWWKHFRUSVHFKHORQWRHQDEOHUHVSRQVLYHILUHVDQGPDQHXYHUDFURVVWKH
FRUSV $2 DQG DLUVSDFH FRQWURO SURYLGHV XQLTXH FRRUGLQDWLRQ FKDOOHQJHV LQ SODQQLQJ DQG H[HFXWLRQ ZLWK
XQLILHG DFWLRQ SDUWQHUV 7KLV LQFOXGHV FRRUGLQDWLRQ ZLWK WKH ODQG FRPSRQHQW¶V %&' DV LWV UHSUHVHQWDWLYH
ZLWKLQWKHDLUFRPSRQHQW¶VDLURSHUDWLRQVFHQWHUZLWKWKH8QLWHG6WDWHV$LU)RUFH 86$) WKHDWHUDLUJURXQG
V\VWHPXQLWLQGLUHFWVXSSRUWWRWKHFRUSVKHDGTXDUWHUVDQGZLWKRWKHU WKHDWHUDLUJURXQGV\VWHPHOHPHQWV
H[HFXWLQJDLURSHUDWLRQVRYHUWKHFRUSV$2
 7KHFRUSVLQLWLDODLUVSDFHFRQWUROIRFXVLV ZRUNLQJ ZLWK KLJKHU KHDGTXDUWHUV WREXLOGDQDLUVSDFH
FRQWUROV\VWHPWKDWVXSSRUWVFRUSVRSHUDWLRQV$LUVSDFHFRQWUROSURFHGXUHVIRUWKHHQWLUHIRUFHDUHVHWRXWLQ
WKHMRLQWDLUVSDFHFRQWUROSODQSXEOLVKHGE\WKHMRLQWDLUVSDFHFRQWURODXWKRULW\GHYHORSHGZLWKLQSXWIURP
WKHIXQFWLRQDOFRPSRQHQWV&RUSVDLUVSDFHSODQQHUVZRUNLQJZLWKWKH MRLQWIRUFHODQGFRPSRQHQWSODQQHUV
DQGWKH%&'LQIOXHQFHWKHGHYHORSPHQWRIWKHDLUVSDFHFRQWUROSODQYHU\HDUO\LQLWVGHYHORSPHQWWRHQVXUH
WKDWWKHHYHQWXDODLUVSDFHFRQWUROSODQDQGLWVUHODWHGDLUVSDFHFRQWURORUGHUDQGVSHFLDOLQVWUXFWLRQVVXSSRUW
FRUSVRSHUDWLRQVZLWKPLQLPDOLQWHUIHUHQFH%XLOGLQJWKHDLUVSDFHFRQWUROV\VWHPVDOVRLQFOXGHVZRUNLQJZLWK
86$)WRUHVRXUFHUHTXLUHG86$)HOHPHQWV&RUSVDQGGLYLVLRQDLUVSDFHFRQWUROFDSDELOLWLHVDUHVLJQLILFDQWO\
HQKDQFHGZLWKWKHDGGLWLRQRIDOLJQHGGLUHFWVXSSRUW86$)WDFWLFDODLUFRQWUROV\VWHPHOHPHQWVSULPDULO\WKH
WDFWLFDODLUFRQWUROSDUW\DQGWKHDLUVXSSRUWRSHUDWLRQVFHQWHU
 7KH FRUSV KHDGTXDUWHUV XQGHUVWDQGV DLUVSDFH FRQWURO JXLGDQFH SXEOLVKHG LQ WKH DLUVSDFH FRQWURO
RUGHUDLUWDVNLQJRUGHUDUHDDLUGHIHQVHSODQDQGODQGFRPSRQHQW¶VSODQ7KHFRUSVKHDGTXDUWHUVWDNHVLQWR
DFFRXQWSODFHPHQWRIWKHILUHVXSSRUWFRRUGLQDWLRQOLQHDQGLWVLPSDFWRQWKHRSHUDWLRQVRIRWKHUFRPSRQHQWV
)DLOXUHWRXQGHUVWDQGWKHVHUHTXLUHPHQWVFDQFDXVHGHOD\VLQFOHDULQJDLUVSDFHRULPSDFWWKHRSHUDWLRQVRI
DQRWKHUFRPSRQHQW'XULQJSODQQLQJWKHFRUSVKHDGTXDUWHUVSODQVDLUVSDFHXVHIRUFRUSVFRQWUROOHG$UP\
ILUHVVXFKDV$UP\7DFWLFDO0LVVLOH6\VWHPILUHVDQG$UP\DYLDWLRQVWULNHV
 'XULQJ H[HFXWLRQ WKH FRUSV KHDGTXDUWHUV GHFHQWUDOL]HV DLUVSDFH FRQWURO WR VXERUGLQDWH HOHPHQWV
ZLWKLQ WKHLU UHVSHFWLYH $2V IRU WKH H[HFXWLRQ RI RSHUDWLRQV (QDEOLQJ VXERUGLQDWH GLYLVLRQV ZLWK GLUHFW
VXSSRUW DLU VXSSRUW RSHUDWLRQV FHQWHUV DOORZV WKH GLYLVLRQV WR IRUP D MRLQW DLUJURXQG LQWHJUDWLRQ FHQWHU
-$*,& DQGFRQWUROGHOHJDWHGGLYLVLRQDVVLJQHGDLUVSDFHE\WKHDLUVSDFHFRQWURODXWKRULW\ 6HH$73
IRUDGLVFXVVLRQRI-$*,&RSHUDWLRQV )LJXUHLOOXVWUDWHVVRPHFRPPRQDLUVSDFHFRRUGLQDWLQJPHDVXUHV
7KH FRUSV DXWKRUL]HV GLUHFW OLDLVRQ EHWZHHQ VXERUGLQDWH HOHPHQWV DQG RWKHU WKHDWHU DLUJURXQG V\VWHP
DLUVSDFHFRQWUROQRGHVSURYLGHGE\RWKHU6HUYLFHVWRPLQLPL]HULVNDQGPD[LPL]HHIIHFWLYHQHVV+RZHYHU
WKH FRUSV UHWDLQV UHVSRQVLELOLW\ IRU SROLFLHV DQG IRU WKH GHYHORSPHQW RI IXWXUH DLUVSDFH XVH HYHQ ZKHQ
DXWKRUL]LQJGLUHFWOLDLVRQDXWKRUL]HGWRVXERUGLQDWHXQLWV7KHFRUSVDLUVSDFHHOHPHQWZRUNLQJZLWKWKHFRUSV
ILHOGDUWLOOHU\EULJDGHHQDEOHVUHVSRQVLYHGHHSILUHVE\UDSLGO\FRRUGLQDWLQJDLUVSDFHIRUWKHEULJDGH¶VURFNHWV
DQGPLVVLOHV 6HH-3IRUDQH[SODQDWLRQRIMRLQWIRUFHDLUVSDFHFRQWURO6HH$73IRUPXOWL6HUYLFH
DLUVSDFHFRQWUROWHFKQLTXHVDQGSURFHGXUHV 
 7KHFRUSVKHDGTXDUWHUVSURYLGHVDLUVSDFHFRQWUROUHVRXUFHVWRVXSSRUWPXOWLQDWLRQDOIRUFHVXQGHUWKH
23&21RU7$&21RIWKHFRUSVFRPPDQGHU&RUSVDLUVSDFHFRQWUROSODQQHUVVXSSRUWPXOWLQDWLRQDOIRUFHV
ZLWKWKHVDPHUHVRXUFHVVXSSRUWDVWKH$UP\IXQFWLRQDOEULJDGHVZRUNLQJGLUHFWO\IRUWKHFRUSV$LUVSDFH
PDQDJHPHQWRFFXUVDWWKHORZHVWOHYHOVSRVVLEOHWRHQDEOHFOHDUDQFHRIILUHVDQGFRQWUROORZDOWLWXGHDERYH
JURXQG DLUVSDFH FRQJHVWLRQ JLYHQ WKH WKUHDWV SRVHG E\ WKH HQHP\¶V LQWHJUDWHG DLU GHIHQVH V\VWHP 6HH
)0IRUDGGLWLRQDOLQIRUPDWLRQRQ$UP\DLUVSDFHFRQWURO 

2-32 FM 3-0 6 October 2017


$UP\ (FKHORQV&DSDELOLWLHV DQG7UDLQLQJ

Figure 2-10. Example division airspace coordinating measures

&LYLO$IIDLUV 2SHUDWLRQV
 &$RSHUDWLRQVDUHDFWLRQVSODQQHGH[HFXWHGDQGDVVHVVHGE\&$ IRUFHVWKDWHQKDQFHDZDUHQHVVRI
DQG PDQDJH WKHLQWHUDFWLRQZLWKWKHFLYLOFRPSRQHQWRIWKHRSHUDWLRQDOHQYLURQPHQWLGHQWLI\DQG PLWLJDWH
XQGHUO\LQJFDXVHVRILQVWDELOLW\ZLWKLQFLYLOVRFLHW\RULQYROYH WKHDSSOLFDWLRQRIIXQFWLRQDOVSHFLDOW\VNLOOV
QRUPDOO\WKHUHVSRQVLELOLW\RIFLYLOJRYHUQPHQW
 &$RSHUDWLRQVFRQVLVWRIWKUHHFRPSHWHQFLHV&$DFWLYLWLHV&$VXSSRUWHGDFWLYLWLHVDQGPLOLWDU\
JRYHUQPHQWRSHUDWLRQV&$IRUFHVFRQGXFW&$RSHUDWLRQVWRVXSSRUWWKHFRPPDQGHU¶VFRQFHSWRIRSHUDWLRQV
7KHVH IRUFHV DUH WKH FRPPDQGHU¶V SULPDU\ DVVHW WR SXUSRVHIXOO\ HQJDJH QRQPLOLWDU\ RUJDQL]DWLRQV
LQVWLWXWLRQVDQG SRSXODWLRQV &$ FDSDELOLWLHVHVWDEOLVKPDLQWDLQ LQIOXHQFHRU H[SORLWUHODWLRQVEHWZHHQ
PLOLWDU\IRUFHVDQGFLYLODXWKRULWLHV JRYHUQPHQWDQGQRQJRYHUQPHQW DQGWKHFLYLOLDQSRSXODFHLQDIULHQGO\
QHXWUDORUKRVWLOH$2 WRIDFLOLWDWHPLOLWDU\RSHUDWLRQVDQGWRFRQVROLGDWHRSHUDWLRQDOREMHFWLYHV&$ IRUFHV
PD\DVVLVWRUSHUIRUPDFWLYLWLHVDQGIXQFWLRQVWKDWDUHQRUPDOO\WKHUHVSRQVLELOLW\RIORFDOJRYHUQPHQW
 &$RSHUDWLRQVPD\RFFXUEHIRUHRUGXULQJPLOLWDU\RSHUDWLRQVRUSRVWFRQIOLFW7KH\PD\DOVRRFFXU
LIGLUHFWHGLQWKH DEVHQFHRIRWKHUPLOLWDU\RSHUDWLRQV$ &$ EULJDGHZLOO QRUPDOO\SURYLGH VXSSRUWWRD
FRUSV&$ EDWWDOLRQVDQG FRPSDQLHVPD\ EHDWWDFKHGWRRUSODFHGLQVXSSRUWRIVXERUGLQDWHGLYLVLRQVDQG
%&7VUHVSHFWLYHO\
 &$IRUFHVPD\EHDWWDFKHGWRD%&7 GXULQJFORVHRSHUDWLRQVWRHQDEOHWKHWUDQVLWLRQWRDFWLYLWLHVWR
FRQVROLGDWHJDLQV7KHVHDVVHWVPD\LQLWLDOO\LQWHUDFWZLWKKRVWQDWLRQFLYLOLDQDQGPLOLWDU\IRUFHVWRHQDEOH
WKH XVHRIURXWHVZLWK KRVWQDWLRQVXSSRUWWRHYDFXDWH QRQFRPEDWDQWVRUWRDVVHVVFLYLOFRQVLGHUDWLRQV
GXULQJWKHFRQGXFWRIRSHUDWLRQVWRGHIHDWDQHQHP\ZKLFK PD\GDPDJHLQIUDVWUXFWXUH,QFORVHRSHUDWLRQV
&$WHDPVWU\WRSUHYHQWFLYLOLDQVIURPHQWHULQJLQWROHWKDODUHDV 6HH)0IRU&$GRFWULQH 

6 December 2017 FM 3-0, C1 2-33


Chapter 2

Plan and Conduct Space Activities


2-163. Space operations influence the conduct of all corps, division, and brigade operations. Space
operations enable operations by providing positioning, navigation, timing, satellite communications,
space-based intelligence, surveillance, reconnaissance, missile warning, and weather. Army units are
consumers of information generated in the space domain and influence space operations by their demands
for space-based capabilities. Space operations heavily impact daily operations in Army units. Deliberate
planning and targeting processes must request space-based capabilities and effects through the JFC in a timely
manner. Commanders who assume short notice responsiveness for space-based capabilities without
understanding the limitations of those capabilities increase risk to the mission and their units.
2-164. Corps, division, and brigade commanders need to know the potential impact on operations if enemy
action or natural phenomena interrupt the provision of those space-based services. Army forces must retain
the ability to shoot, move, and communicate during large-scale combat operations when space-based
capabilities are denied, degraded, or disrupted. Training and rehearsing combat skills and ensuring the
availability of analog alternatives to space (or cyberspace) enabled systems is critical to successfully
persisting in the chaos and friction of modern, large-scale combat operations. Units must train to operate with
widespread denial, degradation, or disruption of friendly space capabilities. (See FM 3-14 for additional
information on space activities.)

MISSION COMMAND SYSTEMS


2-165. Commanders organize their staffs and other components of the mission command system into
command posts (CPs) to assist them in effectively conducting the operations process. A command post is a
unit headquarters where the commander and staff perform their activities (FM 6-0).

Command Post Operations


2-166. CP personnel, information systems, and equipment must be able to support continuous operations
while in communication with their higher echelon, subordinate, supporting, supported, and adjacent units.
Commanders arrange personnel and equipment within the CP to facilitate internal planning, coordination,
information sharing, and rapid decision making. They ensure staffs are trained on standard operating
procedures and that the unit’s battle rhythm effectively integrates and synchronizes the activities of the
operations process within the headquarters and with external organizations. (See ATP 6-0.5 for doctrine on
CP organization and operations.)
2-167. Commanders echelon their headquarters into CPs and assign responsibilities to each CP to assist
them in controlling operations. While each CP is designed for a particular purpose (for example controlling
current operations), activities common in all CPs include, but are not limited to—
 Maintaining running estimates in support of the commander’s decision making.
 Controlling operations.
 Assessing operations.
 Developing and disseminating orders.
 Coordinating with higher, subordinate, and adjacent headquarters.
 Conducting knowledge management, information management, and foreign disclosure.
 Conducting DODIN operations.
 Maintaining the COP.
 Performing CP administration, including sleep plans, security, and feeding schedules.

2-168. Table 2-2 lists the types of CPs typically employed by echelon and type of unit. Specific echelon
and type of unit publications provide detailed information on CP organization and operations for specific
units. For example, FM 3-96 provides doctrine for the organization and employment of the brigade main CP.
(Organization varies extensively. See specific doctrine for each type of unit.)

2-34 FM 3-0, C1 6 December 2017


$UP\ (FKHORQV&DSDELOLWLHV DQG7UDLQLQJ

7DEOH&RPPDQG SRVWE\HFKHORQDQGW\SHRIXQLW
Echelon or Description Command Posts
Type of Unit
7KHDWHU DUP\ $WKHDWHU DUP\KHDGTXDUWHUV LVWKH$UP\6HUYLFHFRPSRQHQW 0DLQ FRPPDQGSRVW
FRPPDQGDVVLJQHGWRDJHRJUDSKLF FRPEDWDQWFRPPDQGHU,W &3
LVRUJDQL]HG VWDIIHG DQGHTXLSSHG WRSHUIRUPWKUHHUROHV &RQWLQJHQF\ &3
x 7KHDWHU DUP\IRU DJHRJUDSKLF FRPEDWDQW FRPPDQGHU
0RELOH FRPPDQG
x -RLQW WDVNIRUFH KHDGTXDUWHUV ZLWKDXJPHQWDWLRQ  LQFULVLV JURXS
UHVSRQVH DQGOLPLWHG FRQWLQJHQF\ RSHUDWLRQV
x -RLQW IRUFH ODQG FRPSRQHQW KHDGTXDUWHUV ZLWK DXJPHQWDWLRQ 
IRU FULVLVUHVSRQVH DQG OLPLWHGFRQWLQJHQF\ RSHUDWLRQV
)LHOG DUP\ $ILHOG DUP\KHDGTXDUWHUV LVWKH$UP\FRPSRQHQWDVVLJQHG WR 0DLQ &3
DVXERUGLQDWH XQLILHG FRPPDQG7KHILHOGDUP\KHDGTXDUWHUV 2SHUDWLRQDO &3
LVVWDIIHG DQGHTXLSSHG WRSHUIRUPWKUHHUROHV
0RELOH FRPPDQG
x $UP\FRPSRQHQW DQG $5)25 IRU DVXERUGLQDWH XQLILHG
JURXS
FRPPDQGHU
x -RLQW IRUFH ODQG FRPSRQHQW KHDGTXDUWHUV ZLWK DXJPHQWDWLRQ 
IRU ODUJHVFDOH FRPEDW RSHUDWLRQV
x -RLQW WDVNIRUFH KHDGTXDUWHUV ZLWKDXJPHQWDWLRQ  IRU FULVLV
UHVSRQVH DQGOLPLWHG FRQWLQJHQF\ RSHUDWLRQV
&RUSV $FRUSVKHDGTXDUWHUV LVWKH$UP\’VPRVWYHUVDWLOH 0DLQ &3
KHDGTXDUWHUV 7KHFRUSVKHDGTXDUWHUV LVVWDIIHG DQG 7DFWLFDO&3
HTXLSSHG WR—
6XSSRUW DUHD&3
x 6HUYH DVWKH MRLQWIRUFH ODQG FRPSRQHQW FRPPDQGHU RU
PXOWLQDWLRQDO  KHDGTXDUWHUV ZLWK DXJPHQWDWLRQ  LQFULVLV (DUO\HQWU\ &3
UHVSRQVH DQGOLPLWHG FRQWLQJHQF\ RSHUDWLRQV 0RELOH FRPPDQG
x 6HUYH DVDMRLQW WDVNIRUFH KHDGTXDUWHUV LQDFULVLVUHVSRQVH RU JURXS
OLPLWHGFRQWLQJHQF\ RSHUDWLRQ
x 6HUYH DVDWDFWLFDOKHDGTXDUWHUV LQODUJHVFDOH FRPEDW
RSHUDWLRQV
'LYLVLRQ $GLYLVLRQ KHDGTXDUWHUV RSHUDWHVDVDWDFWLFDOKHDGTXDUWHUV 0DLQ &3
XQGHU RSHUDWLRQDO FRQWURORIDQ$UP\FRUSVRU0DULQH 7DFWLFDO&3
H[SHGLWLRQDU\ IRUFHKHDGTXDUWHUV 7KHGLYLVLRQ KHDGTXDUWHUV
LVVWDIIHG DQGHTXLSSHG WR— 6XSSRUW DUHD&3
x 6HUYH DVDWDFWLFDOKHDGTXDUWHUV LQODUJHVFDOH FRPEDW (DUO\HQWU\ &3
RSHUDWLRQV 0RELOH FRPPDQG
x 6HUYH DVWKH MRLQWIRUFH ODQG FRPSRQHQW KHDGTXDUWHUV RU JURXS
PXOWLQDWLRQDO  KHDGTXDUWHUV ZLWK DXJPHQWDWLRQ  LQFULVLV
UHVSRQVH DQGOLPLWHG FRQWLQJHQF\ RSHUDWLRQV
x 6HUYH DVDMRLQW WDVNIRUFH KHDGTXDUWHUV LQDFULVLVUHVSRQVH RU
OLPLWHGFRQWLQJHQF\ RSHUDWLRQ

%ULJDGH 7KHEULJDGH FRPEDWWHDPKHDGTXDUWHUV RSHUDWHVDVDWDFWLFDO 0DLQ &3


FRPEDWWHDP KHDGTXDUWHUV QRUPDOO\XQGHU RSHUDWLRQDO FRQWURORIDQ$UP\ 7DFWLFDO&3
GLYLVLRQ
0RELOH FRPPDQG
JURXS
0XOWLIXQFWLRQDO $PXOWLIXQFWLRQDO EULJDGH KHDGTXDUWHUV FRRUGLQDWHV VXSSRUW 0DLQ &3
EULJDGH IRUEULJDGH FRPEDWWHDPVDQGRWKHU IRUFHV 7DFWLFDO&3
)XQFWLRQDO )XQFWLRQDO EULJDGH DQGEDWWDOLRQ KHDGTXDUWHUV FRRUGLQDWH D 0DLQ &3
EULJDGHV DQG VLQJOHIXQFWLRQ RUFDSDELOLW\ 7DFWLFDO&3
EDWWDOLRQV
&RPELQHG &RPELQHG DUPVDQGLQIDQWU\ EDWWDOLRQ KHDGTXDUWHUV RSHUDWH 0DLQ &3
DUPVDQG DVWDFWLFDOKHDGTXDUWHUV DVVLJQHG RUDWWDFKHG WRDEULJDGH 7DFWLFDO&3
LQIDQWU\ FRPEDWWHDP
EDWWDOLRQV &RPEDWWUDLQV&3
)LHOG WUDLQV&3

6 December 2017 FM 3-0, C1 2-35


Chapter 2

0DLQ&RPPDQG3RVW
 $ PDLQFRPPDQGSRVWLVD IDFLOLW\FRQWDLQLQJWKHPDMRULW\RIWKHVWDIIGHVLJQHGWRFRQWUROFXUUHQW
RSHUDWLRQVFRQGXFWGHWDLOHGDQDO\VLVDQGSODQIXWXUHRSHUDWLRQV )0 7KHPDLQ&3LVWKHXQLW¶VSULQFLSDO
&3VHUYLQJDVWKHSULPDU\ORFDWLRQIRUSODQVDQDO\VLVVXVWDLQPHQWFRRUGLQDWLRQDQGDVVHVVPHQW,WLQFOXGHV
UHSUHVHQWDWLYHVRIDOOVWDIIVHFWLRQVDQG D IXOOVXLWHRILQIRUPDWLRQV\VWHPVWRSODQ SUHSDUHH[HFXWHDQG
DVVHVVRSHUDWLRQV7KHPDLQ&3LVODUJHULQVL]HDQG LQSHUVRQQHODQG OHVVPRELOHWKDQWKHWDFWLFDO&37KH
FKLHIRIVWDIIRUH[HFXWLYHRIILFHUSURYLGHVVWDIIVXSHUYLVLRQRIWKHPDLQ&3$OOXQLWVEDWWDOLRQHFKHORQDQG
DERYHDUHUHVRXUFHGDPDLQ&3)XQFWLRQVRIWKHPDLQ&3LQFOXGHEXWDUHQRWOLPLWHGWR²
z &RQWUROOLQJRSHUDWLRQV
z 5HFHLYLQJ UHSRUWV IRU VXERUGLQDWH XQLWV DQG SUHSDULQJ UHSRUWV UHTXLUHG E\ KLJKHU HFKHORQ
KHDGTXDUWHUV
z 3ODQQLQJRSHUDWLRQVLQFOXGLQJEUDQFKHVDQGVHTXHOV
z ,QWHJUDWLQJLQWHOOLJHQFHLQWRFXUUHQWRSHUDWLRQVDQGSODQV
z 6\QFKURQL]LQJWKHWDUJHWLQJSURFHVV
z 3ODQQLQJDQG V\QFKURQL]LQJVXVWDLQLQJRSHUDWLRQV
z $VVHVVLQJWKHRYHUDOOSURJUHVVRIRSHUDWLRQV

&RQWLQJHQF\&RPPDQG3RVW
 $FRQWLQJHQF\&3LVDIDFLOLW\WDLORUHGIURPWKHWKHDWHUDUP\KHDGTXDUWHUVWKDWHQDEOHVDFRPPDQGHU
WRFRQGXFWFULVLVUHVSRQVHDQGOLPLWHGFRQWLQJHQF\RSHUDWLRQVZLWKLQDQ $25 (PSOR\LQJWKHFRQWLQJHQF\
&3 IRU D PLVVLRQ LQYROYHV D WUDGHRII EHWZHHQ WKH FRQWLQJHQF\ FRPPDQG SRVW¶V LPPHGLDWH UHVSRQVH
FDSDELOLW\DQG LWVNQRZQ OLPLWDWLRQV7KHVHOLPLWDWLRQVLQFOXGHWKHVFDOHVFRSHFRPSOH[LW\LQWHQVLW\ DQG
GXUDWLRQRIRSHUDWLRQVWKDWLWFDQ HIIHFWLYHO\FRPPDQGZLWKRXWVLJQLILFDQWDXJPHQWDWLRQ7KH FRQWLQJHQF\
&3GHSHQGVXSRQ WKHPDLQ&3IRUORQJUDQJHSODQQLQJ DQG VSHFLDOVWDIIIXQFWLRQDOVXSSRUW 6HH)0
IRUGRFWULQHRQWKHDWHUDUP\&3RUJDQL]DWLRQDQGRSHUDWLRQV 

2SHUDWLRQDO&RPPDQG3RVW
 $Q RSHUDWLRQDO&3LVD IDFLOLW\FRQWDLQLQJD WDLORUHGSRUWLRQRID ILHOGDUP\KHDGTXDUWHUVXVHGWR
FRQWURORSHUDWLRQVIRUDOLPLWHGSHULRGRUIRUDVPDOOVFDOHFRQWLQJHQF\7KHRSHUDWLRQDO&3SURYLGHVDILHOG
DUP\ FRPPDQGHURU GHVLJQDWHG LQGLYLGXDO WKH FDSDELOLW\ WR IRUPDQ $5)25 ODQG FRPSRQHQWRU -7)
KHDGTXDUWHUV ZLWKLQ D -2$ 'HSHQGLQJ RQ WKH VLWXDWLRQWKH RSHUDWLRQDO&3 VWDIIPD\ UHTXLUHDGGLWLRQDO
DXJPHQWDWLRQVLQFHLWVGHVLJQSURYLGHVPLQLPDOHVVHQWLDOFDSDELOLWLHV7KHRSHUDWLRQDO&3PD\UHTXLUHMRLQW
DXJPHQWDWLRQ LI LW LV GHVLJQDWHG D -7) KHDGTXDUWHUV RU MRLQW IRUFHODQG FRPSRQHQW KHDGTXDUWHUV 7KH
RSHUDWLRQDO&3SHUVRQQHODQGHTXLSPHQWDUHGHSOR\DEOHE\IL[HGZLQJDLUFUDIWIURPWKHLUJDUULVRQORFDWLRQV
LQWRD-2$+RZHYHUWKHRSHUDWLRQDO&3KDVOLPLWHGRUJDQLFWUDQVSRUWDWLRQRQFHGHSOR\HGLQWRWKH-2$DQG
W\SLFDOO\RFFXSLHVD VHPLSHUPDQHQWIL[HGIDFLOLW\7KH RSHUDWLRQDO&3UHOLHVRQWKHPDLQ &3IRUGHWDLOHG
SODQQLQJ DQDO\VLVDQGVSHFLDOVWDIIVXSSRUW

7DFWLFDO &RPPDQG3RVW
 $ WDFWLFDOFRPPDQGSRVWLVDIDFLOLW\FRQWDLQLQJDWDLORUHGSRUWLRQRIDXQLWKHDGTXDUWHUVGHVLJQHGWR
FRQWURO SRUWLRQV RI DQ RSHUDWLRQ IRU D OLPLWHG WLPH )0   7KH WDFWLFDO &3 PDLQWDLQV FRQWLQXRXV
FRPPXQLFDWLRQZLWKVXERUGLQDWHVKLJKHUHFKHORQKHDGTXDUWHUVRWKHU&3VDQGVXSSRUWLQJXQLWV7KHWDFWLFDO
&3LVIXOO\PRELOHDQGLQFOXGHVRQO\HVVHQWLDO6ROGLHUVDQGHTXLSPHQW7KHWDFWLFDO&3UHOLHVRQWKHPDLQ&3
IRUSODQQLQJGHWDLOHGDQDO\VLVDQG FRRUGLQDWLRQ$GHSXW\FRPPDQGHURURSHUDWLRQVRIILFHUJHQHUDOO\OHDGV
WKHWDFWLFDO&3&RUSVWKURXJKEDWWDOLRQFRPPDQGHUVHPSOR\DWDFWLFDO&3DVDQ H[WHQVLRQRIWKHPDLQ&3
)XQFWLRQVRIDWDFWLFDO&3LQFOXGH²
z &RQWUROOLQJWKHGHFLVLYHRSHUDWLRQRUDVSHFLILFVKDSLQJRSHUDWLRQ
z &RQWUROOLQJDVSHFLILFWDVNZLWKLQD ODUJHURSHUDWLRQVXFKDVDJDS FURVVLQJDSDVVDJHRIOLQHVD
UHOLHILQSODFHRUDQDLUDVVDXOWRSHUDWLRQ
z &RQWUROOLQJWKHRYHUDOOXQLW¶V RSHUDWLRQVIRUD OLPLWHGWLPHZKHQ WKH PDLQ &3LVGLVSODFLQJRU
RWKHUZLVHQRWDYDLODEOH

2-36 FM 3-0, C1 6 December 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

z 3HUIRUPLQJVKRUWUDQJHSODQQLQJ
z 3URYLGLQJLQSXWWRWDUJHWLQJDQGIXWXUHRSHUDWLRQVSODQQLQJ
z 3URYLGLQJDIRUZDUGORFDWLRQIRULVVXLQJRUGHUVDQGFRQGXFWLQJUHKHDUVDOV
z )RUPLQJWKHKHDGTXDUWHUVRIDWDVNIRUFHZLWKVXERUGLQDWHXQLWVWDVNRUJDQL]HGXQGHULWVFRQWURO

 :KHQDFRPPDQGHUGRHVQRWHPSOR\WKHWDFWLFDO&3WKHVWDIIDVVLJQHGWRLWUHLQIRUFHVWKHPDLQ&3
8QLW VWDQGDUG RSHUDWLQJ SURFHGXUHV VKRXOG DGGUHVV WKH VSHFLILFV IRU WKLV LQFOXGLQJ SURFHGXUHV WR TXLFNO\
GHWDFKWKHWDFWLFDO&3IURPWKHPDLQ&36RPHPXOWLIXQFWLRQDOVXSSRUWEULJDGHVDQGIXQFWLRQDOEULJDGHVDQG
EDWWDOLRQVDUHQRWUHVRXUFHGZLWKDWDFWLFDO&3E\WDEOHRIRUJDQL]DWLRQDQGHTXLSPHQWKRZHYHUEDVHGRQ
WKH VLWXDWLRQFRPPDQGHUVFDQIRUPDWDFWLFDO&3IURPWKHSHUVRQQHODQGHTXLSPHQWDXWKRUL]HGIURPWKH
PDLQ&3WRDVVLVWWKHPZLWKPLVVLRQFRPPDQG

6XSSRUW$UHD&RPPDQG3RVW
 'HSHQGLQJRQWKHVLWXDWLRQLQFOXGLQJWKHWKUHDWVL]HRIWKHVXSSRUWDUHDDQGQXPEHURIXQLWVZLWKLQ
WKHVXSSRUWDQGFRQVROLGDWLRQDUHDVGLYLVLRQDQGFRUSVFRPPDQGHUVPD\IRUPDVXSSRUWDUHDFRPPDQGSRVW
6$&3 WRDVVLVWLQFRQWUROOLQJRSHUDWLRQV7KH6$&3HQDEOHVGLYLVLRQDQGFRUSVFRPPDQGHUVWRH[HUFLVH
PLVVLRQ FRPPDQG RYHU GLVSDUDWH IXQFWLRQDOO\ IRFXVHG HOHPHQWV RSHUDWLQJ ZLWKLQ WKH VXSSRUW DQG
FRQVROLGDWLRQDUHDVWKDWPD\H[FHHGWKHHIIHFWLYHVSDQRIFRQWURORIWKH0(%RUGLYLVLRQDQGFRUSVPDLQ&3V
 7KH6$&3LVQRWDVHSDUDWHVHFWLRQLQWKHXQLWVWDEOHRIRUJDQL]DWLRQDQGHTXLSPHQW&RPPDQGHUV
IRUP D 6$&3 IURP WKH HTXLSPHQW DQG SHUVRQQHO IURP WKH PDLQ DQG WDFWLFDO &3V 7KH 6$&3 QRUPDOO\
FRORFDWHV ZLWK WKH 0(% ZKLFK SURYLGHV WKH 6$&3 ZLWK VLJQDO FRQQHFWLYLW\ VXVWDLQPHQW VHFXULW\ DQG
ZRUNVSDFH)XQFWLRQVRIWKH6$&3LQFOXGH²
z 3ODQQLQJDQGGLUHFWLQJVXVWDLQPHQW
z 7HUUDLQPDQDJHPHQW
z 0RYHPHQWFRQWURO
z $UHDVHFXULW\

 :KHQDXJPHQWHGE\WKH0(%VWDIIWKH6$&3PD\DOVR
z 3ODQDQGFRQWUROFRPELQHGDUPVRSHUDWLRQVZLWKXQLWVXQGHUGLYLVLRQRUFRUSVFRQWURO
z 0DQDJHDLUVSDFH
z (PSOR\ILUHV

 1RUPDOO\DQDVVLVWDQWGLYLVLRQFRPPDQGHUIRUDGLYLVLRQRUDGHSXW\FRUSVFRPPDQGHUIRUDFRUSV
OHDGV WKH 6$&3 7KH VSHFLILF IXQFWLRQV DQG UHVSRQVLELOLWLHV DVVLJQHG WR WKH 6$&3 ZLOO EH DVVLJQHG RU
GHVLJQDWHGE\FRUSVRUGLYLVLRQFRPPDQGHUVWRWKHLUGHSXW\RUDVVLVWDQWFRPPDQGHUVWKURXJKDQRUGHU
 $ SURSHUO\ UHVRXUFHG 6$&3 DVVLVWV FRUSV DQG GLYLVLRQV FRPPDQGHUV LQ VKDSLQJ WKH VXSSRUW DQG
FRQVROLGDWLRQDUHDVWKDWFRPSOHPHQWWKHFRUSVRUGLYLVLRQ¶VVFKHPHRIPDQHXYHU7KLVDOORZVWKHPDLQ&3
WRIRFXVRQFORVHDQGGHHSRSHUDWLRQV

(DUO\(QWU\&RPPDQG3RVW
 :KLOH QRW D VHSDUDWH VHFWLRQ RI D XQLW¶V WDEOH RI RUJDQL]DWLRQ DQG HTXLSPHQW FRPPDQGHUV FDQ
HVWDEOLVKDQHDUO\HQWU\FRPPDQGSRVWWRDVVLVWWKHPLQFRQWUROOLQJRSHUDWLRQVGXULQJWKHGHSOR\PHQWSKDVH
RI DQ RSHUDWLRQ $Q HDUO\HQWU\ FRPPDQG SRVW LV D OHDG HOHPHQW RI D KHDGTXDUWHUV GHVLJQHG WR FRQWURO
RSHUDWLRQVXQWLOWKHUHPDLQLQJSRUWLRQVRIWKHKHDGTXDUWHUVDUHGHSOR\HGDQGRSHUDWLRQDO )0 
 %DVHGRQWKHVLWXDWLRQDQHDUO\HQWU\FRPPDQGSRVWQRUPDOO\FRQVLVWVRISHUVRQQHODQGHTXLSPHQW
IURPWKHWDFWLFDO&3ZLWKDGGLWLRQDOLQWHOOLJHQFHDQDO\VWVSODQQHUVDQGRWKHUVWDIIRIILFHUVIURPWKHPDLQ&3
7KHHDUO\HQWU\&3SHUIRUPVWKHIXQFWLRQVRIWKHPDLQDQGWDFWLFDO&3VXQWLOWKRVH&3VDUHGHSOR\HGDQG
RSHUDWLRQDO $ GHSXW\ FRPPDQGHU DVVLVWDQW GLYLVLRQ FRPPDQGHU FKLHI RI VWDII H[HFXWLYH RIILFHU RU
RSHUDWLRQVRIILFHUQRUPDOO\OHDGVWKHHDUO\HQWU\&3

6 October 2017 FM 3-0 2-37


Chapter 2

&RPPDQG*URXS
 :KLOHQRWD&3FRPPDQGHUVIRUPDFRPPDQGJURXSWRDVVLVWWKHPLQFRQWUROOLQJRSHUDWLRQVZKHQ
WKH\DUHQRWORFDWHGDWD&3$FRPPDQGJURXSFRQVLVWVRIWKHFRPPDQGHUDQGVHOHFWHGVWDIIPHPEHUVZKR
DVVLVW WKH FRPPDQGHU LQ FRQWUROOLQJ RSHUDWLRQV DZD\ IURP D FRPPDQG SRVW )0   &RPPDQG JURXS
SHUVRQQHOLQFOXGHVWDIIUHSUHVHQWDWLRQWKDWFDQLPPHGLDWHO\DIIHFWFXUUHQWRSHUDWLRQVVXFKDVPDQHXYHUILUHV
LQFOXGLQJWKHDLUOLDLVRQRIILFHU DQGLQWHOOLJHQFH7KHPLVVLRQGLFWDWHVWKHFRPPDQGJURXS¶VPDNHXS)RU
H[DPSOH GXULQJ D GHOLEHUDWH EUHDFK WKH FRPPDQG JURXS PD\ LQFOXGH DQ HQJLQHHU RIILFHU D ILUH VXSSRUW
RIILFHUDQGDQDLUGHIHQVHRIILFHU:KHQYLVLWLQJDGLVORFDWHGFLYLOLDQFROOHFWLRQSRLQWWKHFRPPDQGHUPD\
WDNHDWUDQVODWRU&$RSHUDWLRQVRIILFHUDPHGLFDORIILFHUDQ03DQGDFKDSODLQ
 3HUVRQQHODQGHTXLSPHQWWRIRUPWKHFRPPDQGJURXSFRPHIURPWKH PDLQ&3RUWDFWLFDO&3IRU
EULJDGH DQG ORZHU HFKHORQ KHDGTXDUWHUV 'LYLVLRQ DQG FRUSV KHDGTXDUWHUV DUH HTXLSSHG ZLWK D PRELOH
FRPPDQGJURXSRQWKHLUWDEOHVRIRUJDQL]DWLRQ DQGHTXLSPHQW7KHPRELOHFRPPDQGJURXSVHUYHVDVWKH
FRPPDQGHU¶VPRELOH&3,WFRQVLVWVRIJURXQGDQGDLUFRPSRQHQWVHTXLSSHGZLWKLQIRUPDWLRQV\VWHPV7KHVH
YHKLFOHVDQGDLUFUDIWDOORZFRPPDQGHUVWRPRYHWRFULWLFDOORFDWLRQVWRSHUVRQDOO\DVVHVVDVLWXDWLRQPDNH
GHFLVLRQVDQGLQIOXHQFHRSHUDWLRQV7KHPRELOHFRPPDQGJURXS¶VLQIRUPDWLRQV\VWHPVDQGVPDOOVWDIIDOORZ
FRPPDQGHUVWRGRWKLVZKLOHUHWDLQLQJFRPPXQLFDWLRQVZLWKWKHHQWLUHIRUFH

&200$1'326725*$1,=$7,21$1'(03/2<0(17&216,'(5$7,216
 &3VSURYLGHORFDWLRQVIURPZKLFKFRPPDQGHUVDVVLVWHGE\WKHLUVWDIIVH[HUFLVHPLVVLRQFRPPDQG
&RPPDQGHUV RUJDQL]H WKHLU PLVVLRQ FRPPDQG V\VWHP LQWR &3V EDVHG RQ PLVVLRQ UHTXLUHPHQWV DQG WKH
VLWXDWLRQ3ODQQLQJFRQVLGHUDWLRQVIRU&3RUJDQL]DWLRQDQGHPSOR\PHQWFDQEHFDWHJRUL]HGDV²
z 7KRVHFRQWULEXWLQJWRHIIHFWLYHQHVV
z 7KRVHFRQWULEXWLQJWRVXUYLYDELOLW\

 ,Q PDQ\ FDVHV WKHVH IDFWRUV ZRUN DJDLQVW HDFK RWKHU DQG WKHUHIRUH QHLWKHU FDQ EH RSWLPL]HG
7UDGHRIIVDUHPDGHWRDFFHSWDEO\EDODQFHHIIHFWLYHQHVVDQGVXUYLYDELOLW\

(IIHFWLYHQHVV
 &3 SHUVRQQHO HTXLSPHQW DQG IDFLOLWLHV DUH DUUDQJHG WR IDFLOLWDWH FRRUGLQDWLRQ H[FKDQJH RI
LQIRUPDWLRQ DQG UDSLG GHFLVLRQ PDNLQJ $ &3 PXVW HIIHFWLYHO\ FRPPXQLFDWH ZLWK KLJKHU VXERUGLQDWH
DGMDFHQWVXSSRUWLQJDQGVXSSRUWHGXQLWVDQGKDYHWKHDELOLW\WRPRYHDVUHTXLUHG&RQVLGHUDWLRQVIRU&3
HIIHFWLYHQHVVLQFOXGHGHVLJQOD\RXWVWDQGDUGL]DWLRQFRQWLQXLW\DQGFDSDFLW\
 :HOOGHVLJQHG&3VLQWHJUDWHFRPPDQGDQGVWDIIHIIRUWV:LWKLQD&3WKHORFDWLRQRI&3FHOOVDQG
VWDII HOHPHQWV DUH DUUDQJHG WR IDFLOLWDWH LQWHUQDO FRPPXQLFDWLRQ DQG FRRUGLQDWLRQ 7KLV DUUDQJHPHQW PD\
FKDQJHRYHUWKHFRXUVHRIRSHUDWLRQVDVWKHVLWXDWLRQFKDQJHV2WKHUOD\RXWFRQVLGHUDWLRQVLQFOXGH²
z 7KHHDVHRILQIRUPDWLRQIORZ
z 8VHULQWHUIDFHZLWKFRPPXQLFDWLRQVV\VWHPV
z 7KHSRVLWLRQLQJRILQIRUPDWLRQGLVSOD\VIRUHDVHRIXVH
z 7KHLQWHJUDWLQJRIFRPSOHPHQWDU\LQIRUPDWLRQRQPDSVDQGGLVSOD\V
z $GHTXDWHZRUNVSDFHIRUWKHVWDIIDQGFRPPDQGHU
z 7KHHDVHRIGLVSODFHPHQW VHWXSWHDUGRZQDQGPRYHPHQW 

 6WDQGDUGL]DWLRQ LQFUHDVHV HIILFLHQF\ RI &3 RSHUDWLRQV &RPPDQGHUV GHYHORS GHWDLOHG VWDQGDUG
RSHUDWLQJ SURFHGXUHV IRU DOO DVSHFWV RI &3 RSHUDWLRQV LQFOXGLQJ &3 OD\RXW EDWWOH GULOOV PHHWLQJ
UHTXLUHPHQWV DQG UHSRUWLQJ SURFHGXUHV &3 VWDQGDUG RSHUDWLQJ SURFHGXUHV DUH HQIRUFHG DQG UHYLVHG
WKURXJKRXWWUDLQLQJ'RLQJWKLVPDNHVPDQ\&3DFWLYLWLHVURXWLQH7UDLQHGVWDIIVDUHSUHSDUHGWRHIIHFWLYHO\
H[HFXWHGULOOVDQGSURFHGXUHVLQGHPDQGLQJVWUHVVIXOWLPHVGXULQJRSHUDWLRQV
 &3V PXVW EH VWDIIHG HTXLSSHG DQG RUJDQL]HG WR FRQWURO RSHUDWLRQV ZLWKRXW LQWHUUXSWLRQV
&RPPDQGHUVFDUHIXOO\FRQVLGHUWKHSULPDU\IXQFWLRQVRIHDFK&3DQG&3FHOODQGUHVRXUFHWKHPDFFRUGLQJO\
LQ RUGHU WR VXSSRUW FRQWLQXRXV RSHUDWLRQV 7R VXSSRUW FRQWLQXRXV RSHUDWLRQV XQLW VWDQGDUG RSHUDWLQJ
SURFHGXUHVDGGUHVVVKLIWSODQVUHVWSODQVDQGSURFHGXUHVIRUORVVRIFRPPXQLFDWLRQVZLWKWKHFRPPDQGHU
VXERUGLQDWHVRUDQRWKHU&30DLQWDLQLQJFRQWLQXLW\GXULQJGLVSODFHPHQWRID&3RUFDWDVWURSKLFORVVUHTXLUHV

2-38 FM 3-0 6 October 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

GHVLJQDWLQJDOWHUQDWH&3VDQGSDVVLQJFRQWUROEHWZHHQ&3V&RQWLQXLW\RIFRPPDQGUHTXLUHVFRPPDQGHUVWR
GHVLJQDWHVHFRQGVLQFRPPDQGDQGLQIRUPWKHPRIDOOFULWLFDOGHFLVLRQV3ULPDU\VWDIIRIILFHUVVKRXOGDOVR
GHVLJQDWHDOWHUQDWHV
 &3VVKRXOGEHVWDIIHGDQGRUJDQL]HGWRPDQDJHWKHLQIRUPDWLRQQHHGHGWRRSHUDWHHIIHFWLYHO\7KH
FDSDFLW\WRFRQGXFW SODQSUHSDUHH[HFXWHDQGFRQWLQXRXVO\DVVHVV RSHUDWLRQVFRQFHUQVERWKVWDIILQJDQG
LQIRUPDWLRQV\VWHPV6RWRRGRHVWKHDELOLW\WRPDQDJHUHOHYDQWLQIRUPDWLRQ&3SHUVRQQHOPXVWEHWUDLQHG
DQGKDYHWKHUHTXLVLWHWDFWLFDODQGWHFKQLFDOSURILFLHQF\

6XUYLYDELOLW\
 &3VXUYLYDELOLW\LVYLWDOWRPLVVLRQVXFFHVV'HSHQGLQJRQWKHWKUHDW&3VQHHGWRUHPDLQVPDOODQG
KLJKO\ PRELOH HVSHFLDOO\ DW ORZHU HFKHORQV &3V DUH HDVLO\ DFTXLUHG DQG WDUJHWHG ZKHQ FRQFHQWUDWHG
0HWKRGVWRHQKDQFH&3VXUYLYDELOLW\LQFOXGHGLVSHUVLRQVL]HHOHFWURQLFVLJQDWXUHUHGXQGDQF\PRELOLW\
FDPRXIODJH FRQFHDOPHQW GHFHSWLRQ XVH RI GHFR\V FRQWLQXLW\ RI RSHUDWLRQV DQG SULPDU\ DOWHUQDWH
FRQWLQJHQF\DQGHPHUJHQF\ 3$&( SODQQLQJ$GGLWLRQDOPHDVXUHVLQFOXGHFRYHURUVKLHOGLQJE\WHUUDLQ
IHDWXUHVRUXUEDQVWUXFWXUHV 6HH$73IRUPRUHLQIRUPDWLRQRQ&3VXUYLYDELOLW\ 
 'LVSHUVLQJ &3V HQKDQFHV WKH VXUYLYDELOLW\ RI WKH FRPPDQGHU¶V PLVVLRQ FRPPDQG V\VWHP
&RPPDQGHUVSODFHPLQLPXPUHVRXUFHVLQWKHFORVHDUHDIRUZDUGDQGNHHSPRUHHODERUDWHIDFLOLWLHVLQWKH
VXSSRUWDUHD7KLVPDNHVLWKDUGHUIRUHQHPLHVWRILQGDQGDWWDFNWKHP,WDOVRGHFUHDVHVVXSSRUWDQGVHFXULW\
UHTXLUHPHQWVIRUZDUG
 $ &3¶V VL]H DIIHFWV LWV PRELOLW\ DQG VXUYLYDELOLW\ /DUJH &3V FDQ LQFUHDVH FDSDFLW\ DQG HDVH
IDFHWRIDFHFRRUGLQDWLRQ7KHLUVL]HKRZHYHUPDNHVWKHPYXOQHUDEOHWRPXOWLSOHDFTXLVLWLRQVDQGDWWDFNV
6PDOOHU&3VDUHHDVLHUWRSURWHFWEXWWKH\PD\ODFNFDSDFLW\WRFRQWURORSHUDWLRQVHIIHFWLYHO\7KHNH\WR
VXFFHVVLVDFKLHYLQJWKHULJKWEDODQFH
 5HGXFLQJ &3 VL]H UHGXFHV &3 VLJQDWXUH DQG HQKDQFHV PRELOLW\ +RZHYHU VRPH SHUVRQQHO DQG
HTXLSPHQWUHGXQGDQF\LVUHTXLUHGIRUFRQWLQXRXVRSHUDWLRQV 'XULQJRSHUDWLRQVSHUVRQQHODQGHTXLSPHQW
DUH ORVW RU IDLO XQGHU VWUHVV +DYLQJ WKH ULJKW DPRXQW RI UHGXQGDQF\ DOORZV &3V WR FRQWLQXH WR RSHUDWH
HIIHFWLYHO\ZKHQWKLVKDSSHQV&3VPXVWGHSOR\HIILFLHQWO\DQGPRYHZLWKLQDQ$2DVWKHVLWXDWLRQUHTXLUHV
&3PRELOLW\LVLPSRUWDQWHVSHFLDOO\DWORZHUHFKHORQVGXULQJFRPEDWRSHUDWLRQV/RZHUHFKHORQ&3VDQG
WKRVHHPSOR\HGIRUZDUGLQWKHFORVHDUHDPD\QHHGWRPRYHTXLFNO\DQGRIWHQ%RWKVPDOOVL]HDQGFDUHIXO
WUDQVSRUWDWLRQSODQQLQJIDFLOLWDWHUDSLGGLVSODFHPHQWRI&3V

&217,18,7<2)23(5$7,2163/$11,1*
'LYHUVHDUHWKHVLWXDWLRQVXQGHUZKLFKDQRIILFHUKDVWRDFWRQWKHEDVLVRIKLVRZQYLHZRI
WKHVLWXDWLRQ,WZRXOGEHZURQJLIKHKDGWRZDLWIRURUGHUVDWWLPHVZKHQQRRUGHUVFDQ
EHJLYHQ%XWPRVWSURGXFWLYHDUHKLVDFWLRQVZKHQKHDFWVZLWKLQWKHIUDPHZRUNRI KLV
VHQLRUFRPPDQGHU
VLQWHQW
)LHOG0DUVKDO+HOPXWKYRQ0ROWNHWKH(OGHU

 $OWKRXJK$UP\IRUFHVKDYHJURZQDFFXVWRPHGWRFRPPXQLFDWLQJIUHHO\ZLWKRXWIHDURIMDPPLQJ
RU LQWHUFHSWLRQ 86 HQHPLHV DQG DGYHUVDULHV DUH OLNHO\ WR XVH WHFKQRORJLFDO DGYDQFHV LQ F\EHUVSDFH DQG
YXOQHUDELOLWLHVLQWKH(06WRFRQGXFWF\EHUVSDFHRU(06DWWDFNV&RPPDQGHUVPXVWEHSUHSDUHGWRRSHUDWH
ZLWKGHJUDGHGFRPPXQLFDWLRQV
 86 IRUFHV¶ LQFUHDVHG UHOLDQFH RQ UHDFKEDFN LQIRUPDWLRQ DQG QHWZRUN FDSDELOLWLHV FUHDWHV
YXOQHUDELOLWLHVWRDWWDFNIURPYDULRXVVRXUFHV(PSOR\PHQWRIWKHPLVVLRQFRPPDQGSKLORVRSK\LVHVVHQWLDO
WR RYHUFRPH WKH IRJ DQG IULFWLRQ WKDW D GHFHQWUDOL]HG GLVDJJUHJDWHG DQG GHJUDGHG FRPPXQLFDWLRQV
HQYLURQPHQWDGGVWRWKHEDWWOHILHOGZKHQRWKHUGHIHQVLYHFRXQWHUPHDVXUHVIDLO
 ,QDKRVWLOH(:HQYLURQPHQWZKHUHVDWHOOLWHOLQNVDUHGHQLHGRUGHJUDGHG$UP\IRUFHVUHWDLQWKH
DELOLW\WRFRPPXQLFDWHRQWKHPRYHDQGDWWKHKDOWRYHUSURWHFWHGFRQQHFWLRQVERWKOLQHRIVLJKWDQGEH\RQG
OLQHRIVLJKW8QLWVDWWKHEDWWDOLRQHFKHORQDQGEHORZPXVWUHPDLQZLWKLQOLQHRIVLWHFRPPXQLFDWLRQVUDQJH
(VWDEOLVKLQJUHWUDQVPLVVLRQSRLQWVERWKJURXQGDQGDHULDOH[WHQGVWKHFRPPXQLFDWLRQUDQJH

6 October 2017 FM 3-0 2-39


Chapter 2

 $UP\XQLWVPXVWGHYHORSWUDLQDQGLPSOHPHQWWHFKQLTXHVDFURVVDOOVL[ZDUILJKWLQJIXQFWLRQVWKDW
HQVXUH FRQWLQXLW\ RI RSHUDWLRQV DQG HQDEOH DQ DFFXUDWH &23 WKURXJKRXW D FRPPXQLFDWLRQV GHJUDGHG
HQYLURQPHQW7KHVHPHWKRGVLQFOXGHEXWDUHQRWOLPLWHGWR²
z 7KH DELOLW\ WR DQWLFLSDWH DQG UHFRJQL]H GHJUDGHG DQG GHQLHG RSHUDWLRQV WR HQVXUH WKH WLPHO\
HPSOR\PHQWRIGHIHQVLYHFRXQWHUPHDVXUHV
z $GMXVWPHQWV WR WKH GLVSHUVLRQ RI XQLWV JUDSKLF FRQWURO PHDVXUHV EDQGZLGWK PDQDJHPHQW
RSHUDWLRQDOWHPSRDQGFHQWUDOL]DWLRQRUGHFHQWUDOL]DWLRQRIFULWLFDODVVHWVDVUHTXLUHG
z 5HGXQGDQF\LQFRPPXQLFDWLRQWDUJHWLQJDQGFROOHFWLRQDVVHWV
z 3URFHGXUHVWRWUDQVIHUGDWDDQGLQIRUPDWLRQERWKPDQXDOO\DQGYHUEDOO\
z 7KHSHUIRUPDQFHRIDOOFULWLFDOPLVVLRQFRPPDQGDQGZDUILJKWLQJWDVNVWKURXJKDQDORJRUPDQXDO
RSHUDWLRQV
z 7KH HVWDEOLVKPHQW RI ³SXVK YHUVXV SXOO´ SURFHGXUHV WR DQWLFLSDWH UHTXLUHPHQWV ZKHQ QRUPDO
UHSRUWLQJLVFRQVWUDLQHG

&RPPXQLFDWLRQV3ODQQLQJ&RQVLGHUDWLRQV
 3ODQQLQJIRUVXFFHVVIXOFRPPXQLFDWLRQVUHTXLUHVGHWDLOHGSODQQLQJE\HYHU\VWDIIPHPEHUQRWMXVW
WKHDVVLVWDQWFKLHIRIVWDIIVLJQDO * RUEDWWDOLRQRUEULJDGHVLJQDOVWDIIRIILFHU 6 &RPPXQLFDWLRQV
SODQQHUV PXVW XQGHUVWDQG WKH FRPPDQGHU¶V FRQFHSW RI RSHUDWLRQV DQG LQWHQW DQG WKH\ PXVW KDYH D FOHDU
SLFWXUHRIWKHRYHUDOOFRPPXQLFDWLRQVDUFKLWHFWXUH7KH*RU6LQFRRUGLQDWLRQZLWKRWKHUPHPEHUVRI
WKH VWDII LQLWLDWHV WKH VLJQDO SODQQLQJ SURFHVV GXULQJ WKH PLOLWDU\ GHFLVLRQPDNLQJ SURFHVV DQG FRQVLGHUV
WKH²
z &RPPXQLFDWLRQVFDSDELOLW\UHTXLUHPHQWVIRUHDFKZDUILJKWLQJIXQFWLRQ
z &DSDELOLWLHVDQGOLPLWDWLRQVRIDOODYDLODEOHFRPPXQLFDWLRQVV\VWHPV
z 3RWHQWLDOMRLQWLQWHURUJDQL]DWLRQDODQGPXOWLQDWLRQDOFRPPXQLFDWLRQVUHTXLUHPHQWV
z 'HWDLOHGOLQHRIVLJKWDQDO\VLV
z 5HGXQGDQF\LQPHDQVWRFRPPXQLFDWH
z ,QWHJUDWLRQRIDOODYDLODEOHVLJQDODVVHWV
z 0HWKRGRIGHSOR\PHQW DVVHWVDUHVHTXHQFHGWRFRLQFLGHZLWKWKHDUULYDORIIRUFHV 
z /RFDWLRQVRIDOOFRPPDQGSRVWQRGHV
z 7KHXVHRIUHWUDQVPLVVLRQGLJLWDOQHWZRUNOLQNVDQGQRGHSODFHPHQW
z 6DWHOOLWHFRPPXQLFDWLRQVUHTXLUHPHQWV
z 6SHFWUXPUHTXLUHPHQWVIRUHPLWWHUVVHQVRUVUDGDUVRUDQ\RWKHUDVVHWVWKDWUHO\RQDIUHTXHQF\
z ,QLWLDOWDVNRUJDQL]DWLRQDQGH[SHFWHGFKDQJHV
z 3URSHUVLJQDODQGFRPPXQLFDWLRQVVHFXULW\SURFHGXUHV
z &RQGXFWRIFRPPXQLFDWLRQVUHKHDUVDOV

3ULPDU\$OWHUQDWH&RQWLQJHQF\DQG(PHUJHQF\3ODQV
 $ 3$&( SODQ LV D NH\ UHTXLUHPHQW IRU FRPPXQLFDWLRQV SODQQLQJ $ 3$&( SODQ HVWDEOLVKHV WKH
SULPDU\DOWHUQDWHFRQWLQJHQF\DQGHPHUJHQF\PHWKRGVRIFRPPXQLFDWLRQVIRUHDFKZDUILJKWLQJIXQFWLRQ
W\SLFDOO\ IURP KLJKHU WR ORZHU HFKHORQV (VWDEOLVKLQJ D 3$&( SODQ UHTXLUHV FDUH WKDW DQ DOWHUQDWH RU
FRQWLQJHQF\PHWKRGRIFRPPXQLFDWLRQVGRHVQRWUHO\ VROHO\RQWKHSULPDU\PHWKRG)RUH[DPSOHKDYLQJ
YRLFHRYHULQWHUQHWSURWRFRODVDQDOWHUQDWHPHWKRGRIFRPPXQLFDWLRQVZRXOGEHDSRRUFKRLFHLIWKHSULPDU\
LVQHWZRUNGDWDEHFDXVHZKHQDSULPDU\LVGRZQWKHDOWHUQDWHPD\EHDVZHOO7KHNH\WRDJRRG3$&(SODQ
LVWRHVWDEOLVKUHGXQGDQF\ VRWKDWFRPPXQLFDWLRQVDUH DOZD\VDYDLODEOH0RVW XQLWV ZLOO KDYH WZR3$&(
SODQVRQHIRUFRPPXQLFDWLRQVWRKLJKHUHFKHORQKHDGTXDUWHUVDQGRQHIRUVXERUGLQDWHXQLWV$3$&(SODQ
IRUDKLJKHUHFKHORQKHDGTXDUWHUVZLOOOLNHO\EHHVWDEOLVKHGE\WKHKLJKHUKHDGTXDUWHUV
 7KH 3$&( SODQ VKRXOG EH DV VLPSOH DV SRVVLEOH \HW LW VKRXOG PDLQWDLQ IOH[LELOLW\ WR SURYLGH
FRPPXQLFDWLRQVVXSSRUWDVUHOLDEO\DVSRVVLEOHGXULQJG\QDPLFRSHUDWLRQV,IDWDOOSRVVLEOH3$&(SODQV
VKRXOG UHYROYH DURXQG ZDUILJKWLQJ IXQFWLRQV WKLV DVVLVWV XQLWV LQ GHOLQHDWLQJ GLIIHUHQFHV LQ UHSRUWLQJ
UHTXLUHPHQWV IRU HDFK ZDUILJKWLQJ IXQFWLRQ DV HDFK IXQFWLRQ UHSRUWV UHFHLYHV DQG SURFHVVHV LQIRUPDWLRQ
GLIIHUHQWO\WKDQWKHRWKHU7KHUHDUHIRXUSULQFLSDOZDUILJKWLQJIXQFWLRQVIRUWKHSXUSRVHVRI3$&(SODQQLQJ

2-40 FM 3-0 6 October 2017


Army Echelons, Capabilities, and Training

movement and maneuver, intelligence, fires, and sustainment. The G-6 or S-6 does not dictate PACE plans
for these warfighting functions, but assists the staff in developing them.
2-201. Units should identify appropriate PACE systems for each phase of the operation and publish them
in the signal annex. An emergency means of communications does not always have to be equipment; it may
be a procedure such as moving back to the last known effective communications point or linking up at a grid
coordinate. The PACE concept has always been a valuable tool to ensure that there is a backup
communications plan in place in case the primary plan fails.

MOVEMENT AND MANEUVER


Nine-tenths of tactics are certain, and taught in books: but the irrational tenth is like the
kingfisher flashing across the pool, and that is the test of generals. It can only be ensured
by instinct, sharpened by thought practicing the stroke so often that at the crisis it is as
natural as a reflex.
T.E. Lawrence

2-202. The movement and maneuver warfighting function is the related tasks and systems that move and
employ forces to achieve a position of relative advantage over the enemy and other threats (ADRP 3-0).
Direct fire and close combat are inherent in maneuver. The movement and maneuver warfighting function
includes tasks associated with force projection related to gaining a position of relative advantage over the
enemy. Movement is necessary to disperse and displace the force as a whole or in part when maneuvering.
Maneuver is the employment of forces in the operational area through movement in combination with fires
to achieve a position of advantage with respect to the enemy. It works through movement and with fires to
achieve a position of relative advantage over the enemy to accomplish the mission and consolidate gains.
Commanders use maneuver for massing the effects of combat power to achieve surprise, shock, and
momentum. Effective maneuver requires close coordination of movement with fires. The movement and
maneuver warfighting function includes the following tasks:
 Move.
 Maneuver.
 Employ direct fires.
 Occupy an area.
 Conduct mobility and countermobility.
 Conduct reconnaissance and surveillance.
 Employ battlefield obscuration.

2-203. Corps, division, and BCT commanders’ schemes of maneuver seek to surprise the enemy. They do
this by choosing unexpected directions, times, or types of movement and maneuver. Surprise delays enemy
reactions, overloads and confuses enemy command and control systems, induces psychological shock in the
enemy, and reduces the coherence of the enemy combined arms team. Commanders achieve tactical surprise
by attacking or counterattacking in bad weather and over seemingly impassible terrain. They use camouflage
and concealment to lure enemy forces into prepared engagement areas. +They conduct feints and
demonstrations to divert the enemy commander’s attention from their decisive operation. They maintain a
tempo of operations that allows them to operate within the enemy commander’s decision cycle. They select
portions of the enemy force for destruction leading to the enemy’s defeat in detail. They employ sound
OPSEC and MILDEC.
2-204. FM 3-90-1 and FM 3-90-2 provide the foundation for movement and maneuver during large-scale
combat operations. Corps, division, and BCT commanders normally do not specify the form of maneuver to
be adopted by subordinate units. However, the assignment of missions and tasks, AOs, and the allocation of
forces may impose such limitations on a subordinate unit that its commander has little choice on the form of
maneuver adopted. Tactical commands normally employ a combination of the six basic forms of maneuver—
envelopment, flank attack, frontal attack, infiltration, penetration, and turning movement—in their
performance of the four offensive tasks. The distinction in the form of maneuver adopted by a tactical echelon
exists primarily in the intent of the echelon commander, since the subordinate elements may use other forms

6 December 2017 FM 3-0, C1 2-41


Chapter 2

RIPDQHXYHU&KDSWHUDGGUHVVHVWDFWLFDOHQDEOLQJWDVNV&KDSWHUVDQGDGGUHVVPDQHXYHULQWKHGHIHQVH
DQGWKHRIIHQVHUHVSHFWLYHO\

,17(//,*(1&(
,QZDUQRWKLQJLVPRUHLPSRUWDQWWRDFRPPDQGHUWKDQWKHIDFWVFRQFHUQLQJWKHVWUHQJWK
GLVSRVLWLRQVDQGLQWHQWLRQVRIKLVRSSRQHQWDQGWKHSURSHULQWHUSUHWDWLRQRIWKRVHIDFWV
3UHVLGHQW 'ZLJKW'(LVHQKRZHU

 7KH LQWHOOLJHQFHZDUILJKWLQJIXQFWLRQLVWKHUHODWHGWDVNVDQG V\VWHPVWKDWIDFLOLWDWHXQGHUVWDQGLQJ


WKHHQHP\WHUUDLQZHDWKHUFLYLOFRQVLGHUDWLRQVDQGRWKHUVLJQLILFDQWDVSHFWVRIWKHRSHUDWLRQDOHQYLURQPHQW
$'53 7KHLQWHOOLJHQFHZDUILJKWLQJIXQFWLRQWDVNVDUH²
z ,QWHOOLJHQFHVXSSRUWWRIRUFHJHQHUDWLRQ
z ,QWHOOLJHQFHVXSSRUWWRVLWXDWLRQDOXQGHUVWDQGLQJ
z &RQGXFWLQIRUPDWLRQFROOHFWLRQ
z ,QWHOOLJHQFHVXSSRUWWRWDUJHWLQJDQGLQIRUPDWLRQFDSDELOLWLHV
6HH$'53IRUGRFWULQHRQWKHLQWHOOLJHQFHZDUILJKWLQJIXQFWLRQ 
 ,QWHOOLJHQFHLVLQKHUHQWO\D MRLQWLQWHUDJHQF\LQWHUJRYHUQPHQWDODQG PXOWLQDWLRQDODFWLYLW\WKDWLV
FRQGXFWHGDFURVVWKHLQWHOOLJHQFHHQWHUSULVH7KHLQWHOOLJHQFHHQWHUSULVHSURYLGHVDFRPELQDWLRQRIJURXQG
VSDFHF\EHUVSDFHDHULDODQGVHDERUQHFROOHFWLRQFDSDELOLWLHVDQGDQDO\WLFDOHOHPHQWVWKDWSURYLGHWKHPRVW
FRPSUHKHQVLYHLQWHOOLJHQFHSRVVLEOH$UP\UHJLRQDOH[SHUWLVHDQGVXSSRUWEHJLQVZLWKLQHDFKWKHDWHUWKURXJK
WKHWKHDWHUDUP\*DQGVXSSRUWLQJ0,%7GRZQWRWKHFRUSV*VDQG(0,%VDQGWRHDFKWDFWLFDOHFKHORQ
6HH$'53IRUGRFWULQHRQWKHLQWHOOLJHQFHZDUILJKWLQJIXQFWLRQ 
 7KHLQWHOOLJHQFHZDUILJKWLQJIXQFWLRQHQFRPSDVVHVPRUHWKDQWKHPLOLWDU\LQWHOOLJHQFHEUDQFK
z 7KHFRPPDQGHUGULYHVWKHRSHUDWLRQVSURFHVVDQGIRFXVHVWKHLQWHOOLJHQFHHIIRUWWKDWVXSSRUWVLW
z ,QWHOOLJHQFHLVFRPPDQGHUFHQWULF7KHFRPPDQGHUSHUIRUPVWKHFHQWUDOUROHZLWKLQLQWHOOLJHQFH
DQGHQDEOHVWKHLQWHOOLJHQFHZDUILJKWLQJIXQFWLRQ
z 7KH HQWLUH VWDIILV LPSRUWDQW WR WKH LQWHOOLJHQFHZDUILJKWLQJ IXQFWLRQ DQG HDFK VWDII PHPEHU
FRQWULEXWHVWRLQWHOOLJHQFHLQDGLIIHUHQWZD\
z 'XULQJ FRPEDW RSHUDWLRQV WKH * DQG EDWWDOLRQ RU EULJDGH LQWHOOLJHQFHVWDII RIILFHU 6 
DVVLVWDQWFKLHIRIVWDIIRSHUDWLRQV * RUEDWWDOLRQRUEULJDGHRSHUDWLRQVVWDIIRIILFHU 6 *
RU6DQGILUHVXSSRUWFRRUGLQDWRUIRUPWKHVWDIIFRUHWKDWLVHVVHQWLDOWRV\QFKURQL]HDQGLQWHJUDWH
LQWHOOLJHQFH
z (YHU\6ROGLHUFRQWULEXWHVWRLQIRUPDWLRQFROOHFWLRQ
 ,QWHOOLJHQFHGULYHVRSHUDWLRQVDQG RSHUDWLRQVVXSSRUWLQWHOOLJHQFHWKLV UHODWLRQVKLSLVFRQWLQXRXV
7KH FRPPDQGHUDQG VWDIIQHHGDFFXUDWHUHOHYDQWDQG SUHGLFWLYHLQWHOOLJHQFHLQRUGHUWRXQGHUVWDQGWKUHDW
FHQWHUVRIJUDYLW\ JRDOVDQG REMHFWLYHVDQG FRXUVHVRIDFWLRQ3UHFLVHLQWHOOLJHQFHLVDOVRFULWLFDOWRWDUJHW
WKUHDWFDSDELOLWLHVDW WKHULJKWWLPHDQG SODFHDQG WRRSHQZLQGRZV RIRSSRUWXQLW\DFURVVGRPDLQVGXULQJ
ODUJHVFDOHFRPEDWRSHUDWLRQV&RPPDQGHUVDQG VWDIIVPXVWKDYH GHWDLOHGNQRZOHGJH RIWKUHDWVWUHQJWKV
ZHDNQHVVHVRUJDQL]DWLRQHTXLSPHQWDQGWDFWLFVWRSODQIRUDQGH[HFXWHIULHQGO\RSHUDWLRQV
 ,QRUGHUWRSURGXFHLQWHOOLJHQFHXQLWVPXVWFRQWLQXRXVO\H[HFXWHDJJUHVVLYHLQIRUPDWLRQFROOHFWLRQ
DFWLYLWLHV,QIRUPDWLRQFROOHFWLRQLVDQDFWLYLW\WKDWV\QFKURQL]HVDQGLQWHJUDWHVWKHSODQQLQJDQGHPSOR\PHQW
RIVHQVRUVDQGDVVHWVDVZHOODVWKHSURFHVVLQJH[SORLWDWLRQDQGGLVVHPLQDWLRQV\VWHPVLQGLUHFWVXSSRUWRI
FXUUHQWDQG IXWXUHRSHUDWLRQV )0 (DFKXQLW FDUHIXOO\LQWHJUDWHVDQG V\QFKURQL]HVLWVVXUYHLOODQFH
UHFRQQDLVVDQFHLQWHOOLJHQFHRSHUDWLRQVDQG VHFXULW\RSHUDWLRQVDVD OD\HUHGLQIRUPDWLRQFROOHFWLRQHIIRUW
7KH FRPELQDWLRQRIFRPEDWLQIRUPDWLRQDQGLQWHOOLJHQFHSURGXFHGDVD UHVXOWRIWKHLQIRUPDWLRQFROOHFWLRQ
HIIRUWDQG LQWHOOLJHQFHIURPRWKHUXQLWVDQG WKHLQWHOOLJHQFHHQWHUSULVHVXSSRUWVXFFH VVIXORSHUDWLRQV 6HH
)0DQG$73IRUGRFWULQHRQLQIRUPDWLRQFROOHFWLRQ 

2-42 FM 3-0, C1 6 December 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

),*+7,1*)25,17(//,*(1&(
 ,QIRUPDWLRQFROOHFWLRQEHJLQVLPPHGLDWHO\IROORZLQJUHFHLSWRIPLVVLRQ8QLWVPXVWEHSUHSDUHGWR
ILJKWIRULQWHOOLJHQFHDJDLQVWDUDQJHRIWKUHDWVHQHP\IRUPDWLRQVDQGXQNQRZQV7KHVHFKDOOHQJHVLQFOXGH
LQWHJUDWHGDLUGHIHQVHV\VWHPV ,$'6V DQGORQJUDQJHILUHVFRXQWHUUHFRQQDLVVDQFHF\EHUVSDFHDQG(:
RSHUDWLRQVGHFHSWLRQRSHUDWLRQVDQGFDPRXIODJH,WPD\EHQHFHVVDU\IRUFRPPDQGHUVWRDOORFDWHPDQHXYHU
ILUHVDQGRWKHUFDSDELOLWLHVWRFRQGXFWFRPEDWRSHUDWLRQVWRHQDEOHLQIRUPDWLRQFROOHFWLRQ
 3ULRULW\LQWHOOLJHQFHUHTXLUHPHQWVLQIRUPDWLRQUHTXLUHPHQWVDQGWDUJHWLQJUHTXLUHPHQWVLQIRUPWKH
LQWHJUDWHGLQIRUPDWLRQFROOHFWLRQSODQ$OOXQLWV PDQHXYHUILUHVPDQHXYHUVXSSRUWDQGVXVWDLQPHQWXQLWV 
DUHSDUWRIWKHLQIRUPDWLRQFROOHFWLRQHIIRUW&RPPDQGHUVDQGVWDIIVLQWHJUDWHDQGV\QFKURQL]HDOODFWLYLWLHV
WKDWSURYLGHXVHIXOLQIRUPDWLRQDVDSDUWRIWKHLQIRUPDWLRQFROOHFWLRQHIIRUWLQFOXGLQJ6ROGLHUDQGOHDGHU
HQJDJHPHQWVSDWUROVREVHUYDWLRQSRVWVDQGOLVWHQLQJSRVWVFRQYR\VDQGFKHFNSRLQWV
 'XULQJ SODQQLQJ FRPEDW LQIRUPDWLRQ DQG LQWHOOLJHQFH LV HVSHFLDOO\ XVHIXO LQ GHWHUPLQLQJ WKH
YLDELOLW\RISRWHQWLDOFRXUVHVRIDFWLRQ)RUH[DPSOHDFRPPDQGHUZKRODFNVWKHLQWHOOLJHQFHWRNQRZZKHUH
PRVWRIWKHHQHP\¶VXQLWVDQGV\VWHPVDUHORFDWHGFDQQRWFRQGXFWDGHOLEHUDWHDWWDFN7KHXQLWPXVWFROOHFW
PRUHLQIRUPDWLRQFRQGXFWDUHFRQQDLVVDQFHLQIRUFHDPRUHULVN\PRYHPHQWWRFRQWDFWRUDKDVW\DWWDFN
 'XULQJ WKH H[HFXWLRQ SKDVH RI WKH RSHUDWLRQV SURFHVV D OD\HUHG DQG FRQWLQXRXV LQIRUPDWLRQ
FROOHFWLRQ HIIRUW HQVXUHV GHWHFWLRQ RI DQ\ HQHP\ IRUPDWLRQV OHWKDO ILUHV FDSDELOLWLHV RU VSHFLDOL]HG
FDSDELOLWLHVWKDWSURYLGHWKHHQHP\DGYDQWDJH,QWXUQWKLVDOORZVWKHFRPPDQGHUVDQGVWDIIVWRDGMXVWWKH
VFKHPHRIPDQHXYHUDQGILUHVDVWKHHQHP\VLWXDWLRQGHYHORSV

7+(&200$1'(5’652/(,1,17(//,*(1&(
 &ORVH LQWHUDFWLRQ EHWZHHQ WKH FRPPDQGHU DQG * RU 6 LV HVVHQWLDO DV WKH VWDII VXSSRUWV XQLW
SODQQLQJDQGSUHSDUDWLRQWKURXJKWKHLQWHJUDWLQJSURFHVVHVDQGFRQWLQXLQJDFWLYLWLHV7KH*RU6VXSSRUWV
WKHFRPPDQGHU¶VDELOLW\WRXQGHUVWDQGWKHRSHUDWLRQDOHQYLURQPHQWDQGYLVXDOL]HRSHUDWLRQVE\OHDGLQJWKH
LQWHOOLJHQFHSUHSDUDWLRQRIWKHEDWWOHILHOG ,3% SURFHVVDQGSRUWUD\LQJWKHHQHP\WKURXJKRXWWKH PLOLWDU\
GHFLVLRQPDNLQJ SURFHVV GHYHORSLQJ WKH LQIRUPDWLRQ FROOHFWLRQ SODQ XSGDWLQJ WKH LQWHOOLJHQFH UXQQLQJ
HVWLPDWHDQGGHYHORSLQJLQWHOOLJHQFHSURGXFWVDQGUHSRUWV7KHFRPPDQGHU¶VUROHLVWRGLUHFWWKHLQWHOOLJHQFH
ZDUILJKWLQJIXQFWLRQWKURXJKKLVUHODWLRQVKLSZLWKWKH*RU6
 &RPPDQGHUVPXVWVWD\FRQVWDQWO\HQJDJHGZLWKWKHLU*RU67KHIROORZLQJDUHH[DPSOHVRI
DFWLYHO\HQJDJLQJWKHLQWHOOLJHQFHZDUILJKWLQJIXQFWLRQ
z 'XULQJSODQQLQJWKHFRPPDQGHU²
ƒ %XLOGVDQHIIHFWLYHVWDIIWHDPDQGIRVWHUVDFROODERUDWLYHHQYLURQPHQWWKDWHQFRXUDJHVFULWLFDO
WKLQNLQJFDQGRUDQGFRRSHUDWLRQZKLFKHPSRZHUVWKHHQWLUHVWDII
ƒ $FFHSWV SUXGHQW ULVNV DQG VRPH RSHUDWLRQDO XQFHUWDLQW\ ,QWHOOLJHQFH FDQQRW HOLPLQDWH
XQFHUWDLQW\
ƒ 3ULRULWL]HVUHVRXUFHVDQGFDSDELOLWLHVWRVXSSRUWLQIRUPDWLRQFROOHFWLRQ7KHFRPPDQGHUPXVW
UHVRXUFHWKHLQWHOOLJHQFHDUFKLWHFWXUHDGHTXDWHO\WRSURYLGHDGHTXDWHQHWZRUNFDSDELOLW\ IRU
H[DPSOH EDQGZLGWK  DQG DFFHVV 1HWZRUN DFFHVV DQG HIIHFWLYH XQLW FRPPXQLFDWLRQV DUH
HVSHFLDOO\FULWLFDO
ƒ $OORFDWHV DGHTXDWH WLPH IRU LQIRUPDWLRQ FROOHFWLRQ RU GHWHUPLQHV WKH DSSURSULDWH EDODQFH
EHWZHHQWKHWLPHDOORWWHGIRUFROOHFWLRQDQGRSHUDWLRQDOQHFHVVLW\,WWDNHVWLPHDQGWDFWLFDO
SDWLHQFHWRFROOHFWLQIRUPDWLRQDQGWKHQGHYHORSHIIHFWLYHLQWHOOLJHQFHSURGXFWV
ƒ 3URYLGHVWKHVWDIILQLWLDO JXLGDQFHDQGWKHQODWHULQWHQWDQGFRQFHSWRIWKH RSHUDWLRQ,WLV
LPSRUWDQWWKDWWKH*RU6XQGHUVWDQGVWKHFRPPDQGHU¶VJXLGDQFHDQGERWKVKDUHWKHVDPH
SHUVSHFWLYHRIWKHRSHUDWLRQDQGWKHRSHUDWLRQDOHQYLURQPHQW
ƒ 0XVWRZQWKHSULRULW\LQWHOOLJHQFHUHTXLUHPHQW7KHFRPPDQGHUSHUVRQDOO\HQJDJHVLQWKH
GHYHORSPHQW DQG DSSURYDO RI SULRULW\ LQWHOOLJHQFH UHTXLUHPHQWV WKDW DUH FOHDU DQVZHUDEOH
IRFXVHGRQDVLQJOHTXHVWLRQDQGQHFHVVDU\WRGULYHDQRSHUDWLRQDOGHFLVLRQ
ƒ (QVXUHVWKDWLQIRUPDWLRQFROOHFWLRQDQGLQWHOOLJHQFHDFWLYLWLHVDUHIXOO\LQWHJUDWHGLQWRSODQV
DQGRSHUDWLRQV

6 October 2017 FM 3-0 2-43


Chapter 2

ƒ (QVXUHVWKHVWDIIH[SORLWVLQIRUPDWLRQDQGLQWHOOLJHQFHIURPKLJKHUHFKHORQVRWKHUXQLWVDQG
XQLILHGDFWLRQSDUWQHUV,QWHOOLJHQFHVKDULQJDQGDQHQWHUSULVHDSSURDFKDUHLPSRUWDQWIDFWRUV
WKDW IDFLOLWDWH FRRSHUDWLRQ DQG DFFHVV WR FULWLFDO UHLQIRUFLQJLQWHOOLJHQFH FDSDELOLWLHV GXULQJ
RSHUDWLRQV
ƒ (QVXUHVWKH*RU6OHDGVWKHUHVWRIWKHVWDII ZKRPXVWDFWLYHO\FRQWULEXWHWRWKHSURFHVV 
WKURXJK,3%,3%LVDFULWLFDOV\VWHPDWLFDQGWKRURXJKDQDO\VLVRIWKHWHUUDLQZHDWKHUWKUHDW
FLYLO FRQVLGHUDWLRQV DQG RWKHU VLJQLILFDQW DVSHFWV RI WKH RSHUDWLRQDO HQYLURQPHQW 7KH
FRPPDQGHUPXVWKHOSVKDSHWKHIRFXVDQGVFRSHRI,3%WRHIIHFWLYHO\GULYHWKHUHVWRIWKH
PLOLWDU\GHFLVLRQPDNLQJSURFHVV 6HH$73IRUGRFWULQHRQ,3% 
ƒ (QVXUHVWKH*RU6LVIRFXVHGRQPDQDJLQJGLUHFWLQJDQGFRRUGLQDWLQJWKHLQWHOOLJHQFH
HIIRUW ZKLOH WKH PLOLWDU\ LQWHOOLJHQFH FRPPDQGHU LV IRFXVHG RQ FRPPDQGLQJ KLV XQLW DQG
FRQGXFWLQJLQWHOOLJHQFHRSHUDWLRQV
ƒ (QVXUHV WKH * RU 6 DQG * RU 6 GHYHORSV WKH LQIRUPDWLRQ FROOHFWLRQ SODQ ZKLFK
LQFOXGHVKRZWKHLQWHOOLJHQFHVHFWLRQRSHUDWHVZKDWUHTXHVWVIRULQIRUPDWLRQDUHQHFHVVDU\
DQGKRZRUJDQLFDVVHWVZLOODQVZHUWKHSULRULW\LQWHOOLJHQFHUHTXLUHPHQW7KHFROOHFWLRQSODQ
VKRXOGLQFOXGHFRQWLQJHQF\SODQVDQGPHHWWKHSULQFLSOHVRIFXHPL[DQGUHGXQGDQF\ 6HH
$73IRUGRFWULQHRQSODQQLQJUHTXLUHPHQWVDQGDVVHVVLQJFROOHFWLRQ 
ƒ (QVXUHVWKH*RU6LVLQWHJUDOWRSODQQLQJDGHTXDWHQHWZRUNDFFHVVGXULQJWKHRSHUDWLRQ
DVDFULWLFDOHQDEOHUWRRSHUDWLRQVDQGWKHLQWHOOLJHQFH ZDUILJKWLQJ IXQFWLRQ7KHUHIRUHWKH
*RU6DQG*RU6PXVWFRRUGLQDWHFORVHO\WKURXJKRXWDOOSODQQLQJDFWLYLWLHV
ƒ (QVXUHVWKH*RU6LQFRRUGLQDWLRQZLWKWKHVWDIIHVSHFLDOO\WKH*RU6GHYHORSVD
WKRURXJK LQWHOOLJHQFH DUFKLWHFWXUH WKDW GHVFULEHV KRZ HDFK LQWHOOLJHQFH GLVFLSOLQH
FRPSOHPHQWDU\ LQWHOOLJHQFH FDSDELOLW\ SURFHVVLQJ H[SORLWDWLRQ DQG GLVVHPLQDWLRQ
FDSDELOLW\DQGPXOWLQDWLRQDOSDUWQHUVVXSSRUWLQWHOOLJHQFHRSHUDWLRQV
ƒ (QVXUHV WKH * RU 6 LV DFWLYHO\ LQYROYHG ZLWK DOO LQWHJUDWLQJ SURFHVVHV FRQWLQXLQJ
DFWLYLWLHV DQG WKH PLOLWDU\ GHFLVLRQPDNLQJ SURFHVV )RU H[DPSOH WKH * RU 6 PXVW
DFWLYHO\ SDUWLFLSDWH LQ WKH WDUJHWLQJ SURFHVV ZLWK ,3% SURGXFWV HVSHFLDOO\ QDPHG DUHDV RI
LQWHUHVW 1$,V WLPHSKDVHOLQHVHYHQWWHPSODWHPDWUL[KLJKYDOXHWDUJHWVDQGWDUJHWDUHDV
RI LQWHUHVW 7$,V  UHFRPPHQGDWLRQV 7KH * RU 6 WKRURXJKO\ LQWHJUDWHV EDWWOH GDPDJH
DVVHVVPHQWDQGWDUJHWLQJUHTXLUHPHQWVZLWKWKHRWKHUUHTXLUHPHQWVLQWKHFROOHFWLRQSODQ
z 'XULQJSUHSDUDWLRQWKHFRPPDQGHU²
ƒ (QVXUHV WKH * RU 6 LV DFWLYHO\ LQYROYHG LQ DOO UHKHDUVDOV DQG SRUWUD\V D VRSKLVWLFDWHG
FDSDEOHDQGUHDOLVWLFHQHP\
ƒ (QVXUHVWKH*RU6DQGWKH*RU6KDYHLVVXHGDOOLQIRUPDWLRQFROOHFWLRQRUGHUVLQD
WLPHO\ PDQQHU WUDFNHG WKH SUHSDUDWLRQ RI DOO LQIRUPDWLRQ FROOHFWLRQ DVVHWV FRRUGLQDWHG
DLUVSDFH DQG RWKHU NH\ FRQWURO PHDVXUHV DQG UHV\QFKURQL]HG RQJRLQJ FROOHFWLRQ DQG
SURFHVVLQJH[SORLWDWLRQDQGGLVVHPLQDWLRQUHTXLUHPHQWVDVQHHGHG
ƒ (QVXUHVWKH*RU6DQG*RU6FRRUGLQDWHWRHQVXUHWKHQHWZRUNLVRSHUDWLRQDODQG
UHVSRQVLYH
ƒ (QVXUHVWKH*RU6KDVFRPSOHWHGLQIRUPDWLRQVKDULQJFRRUGLQDWLRQZLWKXQLILHGDFWLRQ
SDUWQHUVDQGRQJRLQJSURFHVVHVDUHLQSODFHIRUVXEVHTXHQWSKDVHVRIWKHRSHUDWLRQ
z 'XULQJH[HFXWLRQDQGDVVHVVPHQWWKHFRPPDQGHU²
ƒ (QVXUHVWKH*RU6DQG*RU6DUHDEOHWRDVVHVVRQJRLQJRSHUDWLRQVDJDLQVWWKH,3%
SURGXFWVDQGLQIRUPDWLRQFROOHFWLRQSODQ$VWKHVLWXDWLRQGLFWDWHVWKH6RU*DQG6RU
*PRGLI\WKHLQIRUPDWLRQFROOHFWLRQSODQSURPSWFRPPDQGHUGHFLVLRQVDQGUHFRPPHQG
EUDQFKHVRUVHTXHOVDVQHFHVVDU\
ƒ (QVXUHVWKH*RU6FRQWLQXDOO\DVVHVVHVWKHHQHP\DQGRSHUDWLRQDOHQYLURQPHQWDQVZHUV
SULRULW\LQWHOOLJHQFHUHTXLUHPHQWVDQGXSGDWHVWKHUXQQLQJHVWLPDWH
ƒ (QVXUHVWKH*RU6DQGILUHVXSSRUWFRRUGLQDWRUDUHWUDFNLQJEDWWOHGDPDJHDVVHVVPHQW
DQGSURYLGLQJRSHUDWLRQDOFRQWH[WEDVHGRQWKHEDWWOHGDPDJHDVVHVVPHQW
ƒ (QVXUHVWKH*RU6DQG*RU6DOORZDGHTXDWHWLPHWRSODQIRUWKHQH[WRSHUDWLRQ
EDVHGRQWKHUHVXOWVRIWKHFXUUHQWRSHUDWLRQ

2-44 FM 3-0 6 October 2017


$UP\ (FKHORQV&DSDELOLWLHV DQG7UDLQLQJ

 2SHUDWLRQV WDUJHWLQJ LQWHOOLJHQFHDQG FRPPXQLFDWLRQVDUH LQH[WULFDEO\ OLQNHG 7KHUHIRUH WKH


FRPPDQGHUPXVWGULYHWKHRSHUDWLRQVSURFHVVDQGHQDEOHWKHLQWHOOLJHQFHZDUILJKWLQJIXQFWLRQ&RPPDQGHUV
XVH WKHLUVWDII WRV\QFKURQL]H LQWHOOLJHQFHZLWK WKH RWKHUZDUILJKWLQJ IXQFWLRQVLQ RUGHUWRYLVXDOL]H  WKH
RSHUDWLRQDOHQYLURQPHQWDQG GLVUXSWWKHWKUHDWVLPXOWDQHRXVO\WKURXJKRXWDQ$2 6XFFHVVIXOLQWHOOLJHQFHLV
DUHVXOWRIFDUHIXOO\GHYHORSHGUHTXLUHPHQWVVWDIILQWHJUDWLRQDQGV\QFKURQL]DWLRQFRQWLQXRXVLQIRUPDWLRQ
FROOHFWLRQDQGZKHQQHFHVVDU\WKHZLOOLQJQHVVWRILJKWIRULQIRUPDWLRQ

),5(6
+DUGSRXQGLQJWKLVJHQWOHPHQOHW¶VVHHZKRZLOOSRXQGWKHORQJHVW
'XNHRI:HOOLQJWRQ

 7KHILUHVZDUILJKWLQJIXQFWLRQLVWKHUHODWHGWDVNVDQGV\VWHPVWKDWSURYLGHFROOHFWLYHDQGFRRUGLQDWHG
XVHRI$UP\LQGLUHFWILUHVDLUDQGPLVVLOHGHIHQVHDQGMRLQWILUHVWKURXJKWKHWDUJHWLQJSURFHVVHV $'53 
$UP\ ILUHVV\VWHPVGHOLYHUILUHVLQVXSSRUWRIRIIHQVLYHDQG GHIHQVLYHWDVNV WRFUHDWHVSHFLILFOHWKDODQG
QRQOHWKDOHIIHFWVRQDWDUJHW7KHILUHVZDUILJKWLQJIXQFWLRQLQFOXGHVWKHIROORZLQJWDVNV
z 'HOLYHUILUHV
z ,QWHJUDWHDOOIRUPVRI$UP\MRLQWDQGPXOWLQDWLRQDOILUHV
z &RQGXFWWDUJHWLQJ
6HH$'53IRUGRFWULQHRQWKHILUHVZDUILJKWLQJIXQFWLRQ 
 &RPPDQGHUVHQVXUHWKHFRRUGLQDWHGXVHRILQGLUHFWILUHV$0' DQG MRLQWILUHVWRFUHDWHZLQGRZV
RIRSSRUWXQLW\IRUPDQHXYHUDQGSXWWKHHQHP\LQDSRVLWLRQRIGLVDGYDQWDJH7KLVLVDFFRPSOLVKHGWKURXJK
WKHRSHUDWLRQVSURFHVVILUHVXSSRUWSODQQLQJDQGWDUJHWLQJ7KHVHSURFHVVHVHQVXUHWKHSURSHUGHWHFWLRQDQG
GHOLYHU\DVVHWVFDSDEOHWRSURGXFHWKHGHVLUHGHIIHFWVRQWKHHQHP\DUHDOORFDWHGDJDLQVWWDUJHWVWRHQDEOH
IULHQGO\ PDQHXYHU 7KH SURFHVVHVDOVR DOORZ IRUWKH UDSLG DQG UHVSRQVLYHGHOLYHU\ RI ILUHVE\ EXLOGLQJ
SHUPLVVLYHDQGUHVWULFWLYHPDQHXYHUJUDSKLFVILUHVXSSRUWFRRUGLQDWLRQPHDVXUHVDQGDLUVSDFHFRRUGLQDWLQJ
PHDVXUHV&RPPDQGHUVXVHORQJUDQJHILUHV URFNHWQDYDO VXUIDFHILUHVXSSRUWDQGURWDU\DQGIL[HGZLQJ
DLUVXSSRUW WRHQJDJHWKHHQHP\WKURXJKRXWWKHGHSWKRIWKHLU$28QLWVIRFXVRSHUDWLRQVLQWKHLUGHHSDUHDV
WRVHWFRQGLWLRQVWKDWDOORZWKHLUVXERUGLQDWHXQLWVVXFFHVVLQWKHLURSHUDWLRQVZLWKLQWKHLUUHVSHFWLYH$2V$
FRUSVFRRUGLQDWHVDQGV\QFKURQL]HVMRLQWILUHVDVLWVSULPDU\WRROWRVKDSHDQHQJDJHPHQWLQLWVGHHSDUHD
 7DUJHWLQJLVWKHSURFHVVRIVHOHFWLQJDQGSULRULWL]LQJWDUJHWVDQGPDWFKLQJWKHDSSURSULDWHUHVSRQVH
WRWKHPFRQVLGHULQJRSHUDWLRQDOUHTXLUHPHQWVDQG FDSDELOLWLHV -3 8QLWVPD\ XVHWKH$UP\ WDUJHWLQJ
SURFHVVDQGWKHMRLQWWDUJHWLQJF\FOHWRLQWHJUDWHDQG V\QFKURQL]HILUHVLQWRRSHUDWLRQVFUHDWLQJWKHGHVLUHG
HIIHFWV LQWLPHDQG VSDFH8VLQJ WDUJHWLQJILUHVFHOOVUHFRPPHQGWDUJHWLQJJXLGDQFH WRWKH FRPPDQGHU
GHYHORSWDUJHWVVHOHFWWDUJHWVIRUDWWDFNDQG FRRUGLQDWHLQWHJUDWHDQG DVVLJQDOORFDWHGMRLQWLQWHUDJHQF\
DQGPXOWLQDWLRQDOILUHVWRVSHFLILFWDUJHWVDQGWDUJHWV\VWHPV 6HH$73DQG-3IRUPRUHLQIRUPDWLRQ
RQWKH$UP\WDUJHWLQJSURFHVVDQGWKHMRLQWWDUJHWLQJF\FOH 
 &RPPDQGHUVXVHDYDULHW\RIPHWKRGVDQG DVVHWVWRDFKLHYHWKHGHVLUHGHIIHFWVRQWDUJHWHGHQHP\
IRUFHVWRHQDEOHIULHQGO\PDQHXYHU3UHSDUDWLRQILUHVFRXQWHUILUHVXSSUHVVLRQILUHVDQG(:DVVHWVSURYLGH
FRPPDQGHUVZLWK RSWLRQVIRUJDLQLQJ DQG PDLQWDLQLQJ ILUHVXSHULRULW\&RPPDQGHUVHQJDJHHQHP\IRUFHV
WKURXJKRXWWKHGHSWKRIWKHLU$2XVLQJORQJUDQJHILUHV
 &RRUGLQDWLQJDQG V\QFKURQL]LQJMRLQWILUHVLVWKHSULPDU\WRROFRUSVXVHWRVKDSHHQHP\IRUFHVLQ
WKHGHHSDUHDWRVHWFRQGLWLRQVIRUWKHLUVXERUGLQDWHGLYLVLRQV'LYLVLRQILUHVLQGHHSDUHDVVHWWKHFRQGLWLRQV
WKDWDOORZVXERUGLQDWH%&7VWREHVXFFHVVIXOLQWKHLURSHUDWLRQV
 )LUHVFHOOVGHYHORS UHFRPPHQGDQG EULHIWKHHFKHORQVFKHPHRIILUHV LQFOXGLQJERWK OHWKDODQG
QRQOHWKDOHIIHFWV UHFRPPHQGWDUJHWLQJJXLGDQFHWRWKHFRPPDQGHUGHYHORSWDUJHWVVHOHFWWDUJHWVIRUDWWDFN
DQG FRRUGLQDWHLQWHJUDWHDQG DVVLJQ DOORFDWHGMRLQWDQG PXOWLQDWLRQDOILUHVWR VSHFLILF WDUJHWVDQG WDUJHW
V\VWHPV7KHVFKHPHRIILUHVOLQNVRUJDQL]DWLRQVDQGV\VWHPVFDSDEOHRIGHWHFWLQJDQGWUDFNLQJHQHP\WDUJHWV
ZLWKILUHVRUJDQL]DWLRQVFDSDEOHRISURGXFLQJWKHGHVLUHGHIIHFWVRQWKRVHWDUJHWV
 &RUSVILUHVSODQQHUVGHYHORSUDGDUFRYHUDJHSODQVWRHQDEOHHIIHFWLYHFRXQWHUILUHUDGDUFRYHUDJH
RYHUFULWLFDOORFDWLRQVIRUWKHVSHFLILFSHULRGVQHFHVVDU\IRUWKHVXFFHVVIXOFRQGXFWRIRSHUDWLRQV

6 December 2017 FM 3-0, C1 2-45


Chapter 2

&RPPDQGHUVFRPELQHJURXQGPDQHXYHU ZLWKILUHVWRPDVVHIIHFWVDFKLHYHVXUSULVHGHVWUR\HQHP\IRUFHV
DQG REWDLQGHFLVLYHUHVXOWV7KH FRPPDQGHU¶VJXLGDQFH JLYHVVSHFLILHGDWWDFN FULWHULDIRUVXSSRUWLQJILUHV
DVVHWVWKXV IRFXVLQJWKHSODQQLQJ DQG H[HFXWLRQHIIRUWVRQWKRVHFULWLFDOWLPHVDQG HYHQWV 7KH VSHFLILHG
DWWDFNFULWHULDDUHD FRPSLODWLRQRIWKHFRPPDQGHU¶VJXLGDQFHGHVLUHGHIIHFWVKLJKSD\RIIWDUJHW +37V 
DQG DWWDFNSULRULWLHV7KHDPRXQWRIWLPHDYDLODEOH WRSODQDQRSHUDWLRQFRQVWUDLQVWKHFRPPDQGHU¶VDELOLW\
WRV\QFKURQL]HILUHVXSSRUWRSHUDWLRQVWKDWHPSOR\ZHOOPDWFKHGHIIHFWVRIDOODYDLODEOHDVVHWVDJDLQVW+37V

),(/' $57,//(5<
 )LHOGDUWLOOHU\ILUHVIDFLOLWDWHDQDWWDFNLQJXQLW¶VPDQHXYHUE\GHVWUR\LQJGHJUDGLQJRUQHXWUDOL]LQJ
VHOHFWHGHQHP\IRUFHVDQGSRVLWLRQV)LHOGDUWLOOHU\V\VWHPVPXVWWDNHIXOODGYDQWDJHRIDYDLODEOHSUHSDUDWLRQ
WLPHWRFUHDWHWKRVHHIIHFWV)LUHSODQVPD\FRQWDLQEXWDUHQRWOLPLWHGWR²
z 7DUJHWVWKDWDUHFRQILUPHGRUGHQLHGE\UHFRQQDLVVDQFHDQGVXUYHLOODQFHHIIRUWV
z 'HVLJQDWLRQRIWDUJHWVHQVRUWRVKRRWHUFRPPXQLFDWLRQOLQNV
z 3RVVLEOHXVHRISUHSDUDWLRQDQGGHFHSWLRQILUHVWRVKDSHWKHHQHP\¶VGHIHQVH
z $LU VXSSRUWWRGHVWUR\+37VRQ WKHREMHFWLYHDQG WKHQVKLIWWRDWWDFNLQJ HQHP\ XQLWVDUWLOOHU\
DVVHWVDQG&QRGHV
z 3URDFWLYHVXSSUHVVLRQRUGHVWUXFWLRQRIHQHP\DLUGHIHQVHFDSDELOLWLHV
z 3UHSDUDWLRQILUHVWKDWVKLIWMXVWDVWKHPDQHXYHUIRUFHDUULYHVRQWKHREMHFWLYH
z 6XSSUHVVLRQDQGREVFXUDWLRQILUHSODQVWRVXSSRUWEUHDFKLQJRSHUDWLRQV
z 3UHSRVLWLRQHGDPPXQLWLRQEDFNHGE\SUHSDFNDJHGPXQLWLRQVVWRFNVFDSDEOHRIUDSLGGHOLYHU\
z ,QWHJUDWLRQ RIQRQOHWKDOHIIHFWVVXFKDV HOHFWURQLF DWWDFN DQG 0,62 LQWR WKH DWWDFN JXLGDQFH
PDWUL[
z ,QWHJUDWLRQRISULPDU\DQGDOWHUQDWHREVHUYHUVWRHQJDJHKLJKSULRULW\WDUJHWV
z )LUHVXSSRUWFRRUGLQDWLRQDQG DLUVSDFHFRRUGLQDWLQJPHDVXUHVDFFRXQWLQJIRUGDQJHU FORVHDQG
RWKHUWHFKQLFDOFRQVWUDLQWVWRDOORZPDQHXYHU IRUFHVWRJHWDVFORVHDVSRVVLEOHWRWKHREMHFWLYH
EHIRUHOLIWLQJILUHV
z 6LJQDOVIRUOLIWLQJDQG VKLIWLQJILUHVRQWKHREMHFWLYHSULPDULO\E\FRPEDWQHWUDGLRDQGE\YLVXDO
VLJQDOVDVDEDFNXSPHDQV
 )LUHVXSSRUWFRRUGLQDWLRQPHDVXUHVVKRXOGDOVRIDFLOLWDWHWKHPDVVLQJ RIILUHVLQFOXGLQJ FORVHDLU
VXSSRUWDQG DLULQWHUGLFWLRQXVLQJNLOOER[SURFHGXUHVDJDLQVW+37VWKURXJKRXWDQ $2 6HH$73 
IRUPRUHLQIRUPDWLRQRQWKHHPSOR\PHQWRIDNLOOER[ 
 7KH FRUSVILUHVFHOOHVWDEOLVKHVFRQGLWLRQV WRVXSSRUWWKHFRQGXFWRIVXFFHVVIXORSHUDWLRQVE\LWV
VXERUGLQDWH GLYLVLRQV /RQJUDQJH ILUHV DUH XVHG WR GLVUXSW HQHP\ & QHWZRUNV VXVWDLQPHQW QRGHV
ORQJUDQJHDUWLOOHU\DQGURFNHWVDQG,$'6V$WDFWLFDOFRUSVZLOOKDYHD86$)FRUSVWDFWLFDODLUFRQWUROSDUW\
DQG UHTXLUHGVXSSRUWIURPWKH-)$&&¶V DLUVSDFHFRQWUROHOHPHQWV$LUVSDFHFRQWURODWWKHFRUSVHFKHORQWR
HQDEOHUHVSRQVLYHHIIHFWVLQWKHGHHS DUHDZLWK $UP\ V\VWHPVSURYLGHVXQLTXH FKDOOHQJHV$ FRUSVPXVW
FRRUGLQDWHZLWK ERWK WKH ODQG FRPSRQHQW¶V %&' DV LWV UHSUHVHQWDWLYH ZLWKLQ WKH DLU FRPSRQHQW¶V DLU
RSHUDWLRQV FHQWHU DQG ZLWK WKH 86$) WKHDWHU DLUJURXQG V\VWHP XQLW LQ GLUHFW VXSSRUW WR WKH FRUSV
KHDGTXDUWHUV
 &RPPDQGHUVPD\ QHHGWRSRVLWLRQILHOGDUWLOOHU\EULJDGHDQG GLYLVLRQ ILHOGDUWLOOHU\DVVHWVLQWKH
FORVHDUHDWRUDQJHHQHP\DLUGHIHQVHRUILUHVDVVHWVGXHWRWKHUDQJHVXSHULRULW\RIVRPHHQHP\DUWLOOHU\DQG
DLUGHIHQVHV\VWHPV7KLVHQWDLOVDVVXPLQJULVN,QWKLVHQYLURQPHQWIULHQGO\DUWLOOHU\DVVHWVPXVWILUHDQG
GLVSODFHTXLFNO\GXH WRHQHP\FRXQWHUILUHFDSDELOLWLHV7DUJHWDFTXLVLWLRQUDGDUVFDQQRWUDGLDWHFRQVWDQWO\
ZLWKRXW ULVNLQJ GHVWUXFWLRQ E\ HQHP\ ORQJUDQJH V\VWHPV 7KH HIIHFWLYHQHVV RI VLQJOH ZDUKHDG
SUHFLVLRQJXLGHGPXQLWLRQVDQGGLJLWDOILUHVV\VWHPVSRVLWLRQLQJQDYLJDWLRQDQGWLPLQJPD\EHGLVUXSWHGE\
HQHP\F\EHUVSDFHDQG HOHFWURPDJQHWLFDFWLYLWLHV3ULRULW\ILUHVLQWKHFORVHDUHDDUHJHQHUDOO\IRFXVHGRQ
HQDEOLQJ PRYHPHQWRIJURXQG IRUFHV E\WKHGHVWUXFWLRQRUGHJUDGDWLRQRI HQHP\DUWLOOHU\LQWHJUDWHGDLU
GHIHQVHV\VWHPVFRPPDQGDQGFRQWUROQRGHVDQG VXVWDLQPHQWIDFLOLWLHV3ULRULW\ILUHVPD\DOVREHPDVVHG
DJDLQVWVSHFLILFHQHP\IRUPDWLRQVWRHQDEOHDSHQHWUDWLRQDQGUDSLGH[SORLWDWLRQ
 %&7 &$% GLYLVLRQ RU FRUSV ILUHV FHOOV VKRXOG KDYH GHYHORSHG SURFHGXUHV IRU LGHQWLI\LQJ
SULRULWL]LQJDQG HQJDJLQJ WLPHVHQVLWLYHDQG KLJKSD\RII WDUJHWV VXFK DV HQHP\ & RU ORQJUDQJH ILUH

2-46 FM 3-0, C1 6 December 2017


$UP\ (FKHORQV&DSDELOLWLHV DQG7UDLQLQJ

VXSSRUW V\VWHPV ZKHQ WKH\ DUH LGHQWLILHG 7KH SULRULWLHVIRU ILUHV PD\ GLUHFW HQJDJHPHQW RI ,$'6V
KHDGTXDUWHUV DQG VXVWDLQPHQW KXEV RYHU WKH HQJDJHPHQW RI HQHP\ PDQHXYHU IRUFHV,W ZLOO EH YHU\
WHPSWLQJIRUFRPPDQGHUVWRXVHMRLQWILUHVRUURFNHWDUWLOOHU\WRWDUJH WHQHP\PDQHXYHU IRUFHVLQVWHDGRI
XVLQJWKHPWRFRQGXFWFRXQWHUILUH+RZHYHUWKHVHDVVHWVDUHVXEMHFWWRHQHP\FRXQWHUILUHGXULQJPRVWFORVH
RSHUDWLRQV
 7KH ILHOGDUWLOOHU\EULJDGHDOORFDWHGWRWKHFRUSVDXJPHQWVWKHILUHVRIGLYLVLRQVSURYLGHVFRXQWHU
EDWWHU\ILUHVDQGSHUIRUPVFRUSVZLGHWDUJHWDFTXLVLWLRQIXQFWLRQV)LUHVSODQQHUVDWFRUSVHFKHORQVGHYHORS
DQGDSSO\UDGDUFRYHUDJHSODQVWRHQVXUHFRXQWHUILUHUDGDUFRYHUDJH7KHW\SHVRIPLVVLRQVDVVLJQHGWRILHOG
DUWLOOHU\EULJDGHV DUH JHQHUDO VXSSRUW UHLQIRUFLQJDQG JHQHUDO VXSSRUW UHLQIRUFLQJ7KHVH XQLWV PD\ EH
DWWDFKHG WR GLYLVLRQV RU DQ\ %&7 UHPDLQLQJ XQGHU WKH FRUSV FRPPDQGHU¶V GLUHFW FRPPDQG $W WKH
UHFRPPHQGDWLRQRIWKHILHOGDUWLOOHU\EULJDGH FRPPDQGHUWKHFRUSVFRPPDQGHUDVVLJQVPLVVLRQV WRWKH
DUWLOOHU\EDWWDOLRQVRIDQ\%&7VFXUUHQWO\LQUHVHUYH,QWKHRIIHQVHFRPPDQGHUVJLYHSULRULW\ILHOGDUWLOOHU\
VXSSRUWWRWKHGHFLVLYHRSHUDWLRQ,IDQRSHUDWLRQLVSKDVHGSULRULW\IRUILUHVFDQYDU\IURPXQLWWRXQLW7KH
VDPHDSSOLHVWRWKHGHIHQVH$FRUSVZLOOXVXDOO\SURYLGHDGGLWLRQDOILHOGDUWLOOHU\EULJDGHDUWLOOHU\EDWWDOLRQV
LQDVXSSRUWUHODWLRQVKLSWRWKH',9$57< RUILHOGDUWLOOHU\EDWWDOLRQVRIWKH%&7V FRQGXFWLQJWKHGHFLVLYH
RSHUDWLRQ
 &RUSV ILUHVHVWDEOLVKFRQGLWLRQVWR VXSSRUWWKH FRQGXFWRI VXFFHVVIXORSHUDWLRQVE\ VXERUGLQDWH
GLYLVLRQV&RUSVFDQFKRRVHWRUHWDLQ23&21RIVRPHDUWLOOHU\DVVHWV+RZHYHUZKHQDFRUSVUHWDLQVFRQWURO
RIWKHVHDVVHWVWKHFRUSVFRPPDQGHUDVVXPHVLQKHUHQWULVNDVXVLQJWKHLUORQJUDQJHURFNHWPXQLWLRQVPD\
UHVWULFWDLURSHUDWLRQVLQVLGHGLYLVLRQFRQWUROOHGDLUVSDFHGXULQJDGHFLVLYHPRPHQW

$,5$1' 0,66,/( '()(16(


 7KH FRUSV$0' HOHPHQWSODQV SURYLGHVHDUO\ZDUQLQJ DQGZRUNV ZLWK WKHVXERUGLQDWHGLYLVLRQ
-$*,&VDQGRWKHUKHDGTXDUWHUVWRV\QFKURQL]HWKHXVHRIDLUVSDFHRYHUWKHFRUSV$27KHFRUSVKHDGTXDUWHUV
HPSOR\V VWDQGDUG ILUH VXSSRUW FRRUGLQDWLRQ PHDVXUHV DQG DLUVSDFH FRRUGLQDWLQJ PHDVXUHV ZKHQ
V\QFKURQL]LQJWKHXVHRIWKDWDLUVSDFHXVLQJLWVGLUHFWVXSSRUW86$)WDFWLFDODLUFRQWUROV\VWHPHOHPHQW
 $LU GHIHQVHIRUFHVDVVLJQHG WR D FRUSV PD\ LQFOXGH DLU GHIHQVH UDGDUV ZHDSRQV V\VWHPVDQG
DSSURSULDWHFRPPXQLFDWLRQVHTXLSPHQW$0'DVVHWVPD\IXUWKHUEHGLUHFWHGE\WKH-)&WRSURWHFWIDFLOLWLHV
ORFDWHGZLWKLQ D FRUSV$2 7KH VHQLRURIILFHULQWKHFRUSV$0'VHFWLRQDGYLVHVWKHFRUSVFRPPDQGHURQ
KRZWKHFRUSVFDQEHVWFRXQWHUDLUDQGPLVVLOHWKUHDWV 6HH)0IRUPRUHGHWDLORQDLUDQGPLVVLOHGHIHQVH
SODQQLQJDQG RSHUDWLRQV 

6867$,10(17
(YHQWKHEUDYHVWFDQQRWILJKWEH\RQGKLVVWUHQJWK
+RPHU

 7KH VXVWDLQPHQWZDUILJKWLQJIXQFWLRQLV WKH UHODWHGWDVNV DQG V\VWHPVWKDW SURYLGH VXSSRUW DQG
VHUYLFHVWRHQVXUHIUHHGRPRIDFWLRQH[WHQG RSHUDWLRQDOUHDFKDQG SURORQJHQGXUDQFH $'53  7KH
VXVWDLQPHQWZDUILJKWLQJIXQFWLRQLQFOXGHVWKHIROORZLQJWDVNV
z &RQGXFWORJLVWLFV
z 3URYLGHSHUVRQQHOVHUYLFHV
z 3URYLGHKHDOWKVHUYLFHVXSSRUW
6HH$'53IRUGRFWULQHRQWKHVXVWDLQPHQWZDUILJKWLQJIXQFWLRQ 
 7KHHQGXUDQFHRI$UP\IRUFHVLVSULPDULO\DIXQFWLRQRIWKHLUVXVWDLQPHQW6XVWDLQPHQWGHWHUPLQHV
WKH GHSWK DQG GXUDWLRQ RI $UP\ RSHUDWLRQV ,W LV HVVHQWLDOIRU UHWDLQLQJ DQG H[SORLWLQJ WKH LQLWLDWLYH
6XVWDLQPHQWSURYLGHVWKHVXSSRUWQHFHVVDU\WRPDLQWDLQRSHUDWLRQVXQWLOPLVVLRQDFFRPSOLVKPHQW7KHPDMRU
FDWHJRULHVRIVXVWDLQPHQWDUHORJLVWLFVSHUVRQQHOVHUYLFHVDQGKHDOWKVHUYLFHVXSSRUW
 6XVWDLQPHQWDVVLVWVWKHWDFWLFDOFRPPDQGHULQPDLQWDLQLQJ WKHWHPSRRIRSHUDWLRQV&RPPDQGHUV
VHHNWRWDNH DGYDQWDJH RIZLQGRZV RIRSSRUWXQLW\DQG SHUIRUPRIIHQVLYHDQG GHIHQVLYHWDVNV VRWKDW WKH
HQHP\ KDV OLWWOH DGYDQFH ZDUQLQJ 6XVWDLQPHQW SODQQHUV DQG RSHUDWRUVPXVW DQWLFLSDWH WKH WHPSR RI
RSHUDWLRQVDQGPDLQWDLQWKHIOH[LELOLW\WRVXSSRUWXQLWRSHUDWLRQVDQGH[WHQGWKHXQLW¶VRSHUDWLRQDOUHDFK

6 December 2017 FM 3-0, C1 2-47


Chapter 2

 $NH\WRVXFFHVVIXOO\H[WHQGLQJRSHUDWLRQDOUHDFKLVWKHDELOLW\WRDQWLFLSDWHWKHUHTXLUHPHQWWRSXVK
VXVWDLQPHQW VXSSRUW IRUZDUG VSHFLILFDOO\ LQ UHJDUGV WR DPPXQLWLRQ IXHO UHSODFHPHQWV DQG ZDWHU
6XVWDLQPHQW FRPPDQGHUVPXVW DFW UDWKHUWKDQ UHDFWWRVXSSRUWUHTXLUHPHQWV7KH H[LVWHQFHRI KDELWXDO
VXSSRUWUHODWLRQVKLSVIDFLOLWDWHVWKLVDELOLW\WRDQWLFLSDWH

/2*,67,&6
0RELOLW\LVWKHWUXHWHVWRIDVXSSO\V\VWHP
6LU%DVLO/LGGHOO +DUW

 /RJLVWLFLDQV VXSSRUW RSHUDWLRQDO WHPSR E\ GHOLYHULQJ VXSSOLHV DQG PDWHULHO DV IDU IRUZDUG DV
SRVVLEOH7KH\XVHWKURXJKSXWGLVWULEXWLRQDQGSUHSODQQHGDQG SUHFRQILJXUHGSDFNDJHVRIHVVHQWLDOLWHPVWR
GR WKLV /RJLVWLFLDQV PDLQWDLQ FRQVWDQW FRQWDFW ZLWK RSHUDWLRQDO XQLWV WR GHWHUPLQH UHTXLUHPHQWV IRU
VXSSRUWLQJRSHUDWLRQV2SHUDWLRQDOXQLWVDOVRSURYLGHORJLVWLFLDQVZLWKVXSSRUWHVWLPDWHVIRUFRQWLQJHQFLHV
DQG UHTXLUHPHQWVIRUFURVVORDGLQJRIVXSSOLHVWRSUHYHQWDOORIRQHW\SHRIVXSSO\IURPEHLQJGHVWUR\HGE\
WKHORVVRIDVLQJOHV\VWHP
 6XSSOLHVDQGPDWHULDOVKRXOGUHPDLQFORVHWRWKHPDQHXYHUIRUFHWRHQVXUHVKRUWUHVSRQVHWLPHVIRU
VXSSOLHV DQG VHUYLFHV 7KLV LQFOXGHV XSORDGLQJ FULWLFDO PDWHULHO²VXFK DV ZDWHU SHWUROHXP RLOV DQG
OXEULFDQWVDQG DPPXQLWLRQ²LQRUGHUWRDQWLFLSDWHDWWHPSWHGRFFXSDWLRQRID SLHFHRIWHUUDLQE\ PRUHWKDQ
RQHXQLW &RPPDQGHUVPXVWPDNHULVNGHFLVLRQVUHJDUGLQJORJLVWLFVSUHSDUDWLRQVDQG DYRLGDQFH RIHQHP\
GHWHFWLRQVLQFHORJLVWLFSUHSDUDWLRQVPD\JLYHLQGLFDWLRQVRIIULHQGO\WDFWLFDOSODQV
 7KHDYDLODELOLW\RIVXSSOLHVDQGPDWHULHOWRVXVWDLQWDFWLFDOXQLWRSHUDWLRQVEHFRPHVFULWLFDOWRH[WHQG
RSHUDWLRQDOUHDFKDVODUJHVFDOHFRPEDWRSHUDWLRQVSURJUHVV2SHUDWLRQDOUHDFKLVUHGXFHGZKHQVXSSOLHVIDLO
WRNHHS XS ZLWK WKH GHPDQG RIWDFWLFDOXQLWV 6ORZ RU OLPLWHGUHVXSSO\ PD\ UHTXLUHFRPPDQGHUVWR XVH
FRQWUROOHGVXSSO\ UDWHVIRUYDULRXV FODVVHVRIVXSSO\ WRUHGXFHXQLW H[SHQGLWXUHV:KHQ WKRVHFRQWUROOHG
VXSSO\UDWHVDUHQRWVXIILFLHQWWRFRQWLQXHRSHUDWLRQVWKHIRUFHFXOPLQDWHV
 'XULQJODUJHVFDOHFRPEDWRSHUDWLRQVVXSSO\OLQHVRIFRPPXQLFDWLRQDUHVWUDLQHGDQGUHTXLUHPHQWV
IRUUHSDLUDQG UHSODFHPHQWRIZHDSRQ V\VWHPVLQFUHDVH5HTXLUHPHQWVIRUSHWUROHXPRLOVDQG OXEULFDQWV
LQFUHDVHGXULQJWKHRIIHQVH&RQYHUVHO\UHTXLUHPHQWVIRUPXQLWLRQVWHQGWREHKLJKHULQWKHGHIHQVHWKDQLQ
WKHRIIHQVH6XVWDLQPHQWXQLWVPXVWEHDVPRELOHDVWKHIRUFHVWKH\VXSSRUW2QHZD\ WRSURYLGHFRQWLQXRXV
VXSSRUWLVWRWDVNRUJDQL]HHOHPHQWVRIVXVWDLQPHQWXQLWVRUFRPSOHWHVXVWDLQPHQWXQLWVZLWKWKHLUVXSSRUWHG
PDQHXYHUIRUPDWLRQVDVUHTXLUHGE\WKHPLVVLRQ
 7KH YDULHW\ DQG FRPSOH[LW\RI SRVVLEOHVLWXDWLRQVDULVLQJ GXULQJ DQ DWWDFN UHTXLUHVVXVWDLQPHQW
RSHUDWRUVWRHVWDEOLVKDIOH[LEOHDQGWDLORUDEOHGLVWULEXWLRQV\VWHPLQVXSSRUWRIWDFWLFDOFRPPDQGHUV7KHUH
PD\ EH D ZLGH GLVSHUVLRQRIIRUFHV DQGOHQJWKHQLQJ RIOLQHVRIFRPPXQLFDWLRQ5HTXLUHG FDSDELOLWLHVWR
VXSSRUWORQJHUOLQHVRIFRPPXQLFDWLRQVLQFOXGHPRYHPHQWFRQWUROLQWUDQVLWYLVLELOLW\WHUPLQDORSHUDWLRQV
DQGPRGHRSHUDWLRQV
 )LHOGPDLQWHQDQFHDVVHWVPRYHDVIRUZDUGDVSRVVLEOHWRUHSDLULQRSHUDEOHDQGGDPDJHGHTXLSPHQW
WRUHWXUQLWWRVHUYLFHDVTXLFNO\DVSRVVLEOH&UHZVSHUIRUPSUHYHQWLYHPDLQWHQDQFHFKHFNVDQG VHUYLFHVDV
PRGLILHGIRUWKHFOLPDWHDQG WHUUDLQLQ ZKLFK WKH\ILQG WKHPVHOYHV%DWWOHGDPDJH DVVHVVPHQWDQG UHSDLU
UHVWRUHVWKHPLQLPXP HVVHQWLDOFRPEDWFDSDELOLWLHVQHFHVVDU\WRVXSSRUWD VSHFLILF FRPEDWPLVVLRQRUWR
HQDEOHWKHHTXLSPHQW WRVHOIUHFRYHU&UHZVDQG PDLQWHQDQFHDQG UHFRYHU\WHDPVFRQGXFWEDWWOH GDPDJH
DVVHVVPHQWDQG UHSDLU WR UDSLGO\ UHWXUQ GLVDEOHG HTXLSPHQW WR EDWWOHILHOG VHUYLFHXVLQJ ILHOG H[SHGLHQW
FRPSRQHQWVDQGPHDQV
 (VWDEOLVKLQJ DHULDO UHVXSSO\ DQG IRUZDUG ORJLVWLFV EDVH FDPSV PD\ EH QHFHVVDU\ WR VXVWDLQ
RSHUDWLRQV7KLVLVHVSHFLDOO\WUXHLQWKHRIIHQVHLIDQDWWDFNWUDQVLWLRQVWRH[SORLWDWLRQDQGSXUVXLWFRQGXFWHG
DWJUHDWGLVWDQFHVIURPXQLW VXVWDLQLQJEDVHV$HULDOUHVXSSO\HLWKHUE\ URWDU\ZLQJRUSDUDFKXWHGHOLYHUV
FULWLFDOVXSSOLHVWRWKHSRLQWRIQHHGGXULQJDQHQWU\RSHUDWLRQGHHSLQODQGRSHUDWLRQRUWRDUDSLGO\PRYLQJ
XQLW 7KH XQLW RU VXSSRUWDFWLYLW\ DW WKH DLUOLIW¶VSRLQW RIRULJLQLV UHVSRQVLEOHIRUREWDLQLQJ WKH UHTXLUHG
SDFNLQJ VKLSSLQJ DQG VOLQJORDGHTXLSPHQW,WSUHSDUHVWKHORDG IRUDHULDOWUDQVSRUWSUHSDUHVWKHSLFNXS
]RQH DQG FRQGXFWVDLUORDGLQJ RSHUDWLRQV7KH XQLW ORFDWHG DW WKH DLUOLIW GHVWLQDWLRQLV UHVSRQVLEOHIRU
SUHSDULQJ WKHODQGLQJ ]RQH WRDFFRPPRGDWHDHULDOUHVXSSO\DQG IRUUHFHLYLQJWKHORDG 6HH)0 IRU
DGGLWLRQDOLQIRUPDWLRQRQORJLVWLFV 

2-48 FM 3-0, C1 6 December 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

3(56211(/6(59,&(6
 'XULQJODUJHVFDOHFRPEDWRSHUDWLRQVWKHNH\VXERUGLQDWH IXQFWLRQVRIVWDIILQJWKHIRUFHWKDWDUH
LPSRUWDQWDUHSHUVRQQHODFFRXQWDELOLW\DQGVWUHQJWKUHSRUWLQJ7KHVXERUGLQDWHIXQFWLRQVRISURYLGHKXPDQ
UHVRXUFH VHUYLFHV LQFOXGLQJ SRVWDO RSHUDWLRQV ILQDQFH VHUYLFHV DQG FDVXDOW\ RSHUDWLRQV FRQWLQXH GXULQJ
ODUJHVFDOH FRPEDW RSHUDWLRQV +XPDQ UHVRXUFH SODQQLQJ DQG RSHUDWLRQV DUH WKH PHDQV E\ ZKLFK KXPDQ
UHVRXUFHV DUH DGGUHVVHG LQ WKH PLOLWDU\ GHFLVLRQPDNLQJ SURFHVV DQG LQ WKH DWWDFN RSHUDWLRQV SODQ 7KLV
LQFOXGHV FDVXDOW\ IRUHFDVWV QHFHVVDU\ WR LQIRUP FRPPDQGHUV DQG VWDIIV 6HH )0  IRU DGGLWLRQDO
LQIRUPDWLRQ RQ KXPDQ UHVRXUFHV VXSSRUW  )RU SHUVRQQHO OHJDO VXSSRUW MXGJH DGYRFDWH OHJDO VHUYLFHV
SHUVRQQHOZLOOFRRUGLQDWHDQGSURYLGHSHUVRQQHOOHJDOVHUYLFHV

+($/7+6(59,&(6833257
 /DUJHVFDOHFRPEDWRSHUDWLRQVSODFHDQLQFUHGLEOHEXUGHQRQPHGLFDOUHVRXUFHVGXHWRWKHPDJQLWXGH
DQGOHWKDOLW\RIWKHIRUFHVLQYROYHG0HGLFDOXQLWVFDQDQWLFLSDWHODUJHQXPEHUVRIFDVXDOWLHVLQDVKRUWSHULRG
RIWLPHGXHWRWKHFDSDELOLWLHVRIPRGHUQFRQYHQWLRQDOZHDSRQVDQGWKHSRVVLEOHHPSOR\PHQWRIZHDSRQVRI
PDVVGHVWUXFWLRQ7KHVHPDVVFDVXDOW\VLWXDWLRQVFDQH[FHHGWKHFDSDELOLWLHVRIRUJDQLFDQGGLUHFWVXSSRUW
PHGLFDODVVHWVZLWKRXWFDUHIXOSODQQLQJDQGFRRUGLQDWLRQ&DVXDOW\HYDFXDWLRQPXVWRFFXUFRQFXUUHQWO\ZLWK
RSHUDWLRQV8QLWVWKDWFHDVHDJJUHVVLYHPDQHXYHUWRHYDFXDWHFDVXDOWLHVZKLOHLQHQHP\FRQWDFWDUHOLNHO\WR
ERWKVXIIHUDGGLWLRQDOFDVXDOWLHVZKLOHVWDWLRQDU\DQGIDLOWKHLUPLVVLRQ
 (IIHFWLYHPDQDJHPHQWRIPDVVFDVXDOW\VLWXDWLRQVGHSHQGVRQHVWDEOLVKHGDQGUHKHDUVHGXQLWOHYHO
PDVVFDVXDOW\SODQVDQGGHWDLOHGPHGLFDOSODQQLQJ7KHUHDUHDQXPEHURIRWKHUYDULDEOHVZKLFKFDQHQVXUH
WKHVXFFHVVRIDXQLW¶VPDVVFDVXDOW\UHVSRQVHSODQ7KHVHLQFOXGHEXWDUHQRWOLPLWHGWR²
z &RRUGLQDWLRQ DQG V\QFKURQL]DWLRQ RI DGGLWLRQDO PHGLFDO VXSSRUW DQG DXJPHQWDWLRQ DQG WKHLU
GLVSRVLWLRQV DQG DOORFDWLRQV VXFK DV PHGLFDO HYDFXDWLRQ VXSSRUW IRUZDUG UHVXVFLWDWLYH DQG
VXUJLFDOWHDPVFRPEDWVXSSRUWDQGILHOGKRVSLWDOVFDVXDOW\FROOHFWLRQSRLQWVDPEXODQFHH[FKDQJH
SRLQWVDQGHVWDEOLVKHG&ODVV9,,,UHVXSSO\
z 3UHGHVLJQDWLQJFDVXDOW\FROOHFWLRQSRLQWV
z 4XLFNO\ORFDWLQJWKHLQMXUHGDQGFOHDULQJWKHPIURPWKHEDWWOHILHOG
z 3URYLGLQJHIIHFWLYHHPHUJHQF\PHGLFDOWUHDWPHQWIRUWKHLQMXUHG
z $FFXUDWHWULDJHDQGUDSLGPHGLFDOHYDFXDWLRQRIWKHLQMXUHGWRPHGLFDOWUHDWPHQWIDFLOLWLHVDWWKH
QH[WKLJKHUUROHRIFDUH
z 8VH RI DOWHUQDWLYH DVVHWV ZKHQ WKH QXPEHU RI FDVXDOWLHV RYHUZKHOPV WKH FDSDFLW\ RI DYDLODEOH
PHGLFDOHYDFXDWLRQV\VWHPV
6HH)0IRUDGGLWLRQDOLQIRUPDWLRQRQKHDOWKVHUYLFHVXSSRUW 

3527(&7,21
3HWW\JHQLXVHVDWWHPSWWRKROGHYHU\WKLQJZLVHPHQKROGIDVWWRWKHPRVWLPSRUWDQWUHVRUW
7KH\SDUU\WKHJUHDWEORZVDQGVFRUQWKHOLWWOHDFFLGHQWV7KHUHLVDQDQFLHQWDSRWKHJP
KH ZKR ZRXOG SUHVHUYH HYHU\WKLQJ SUHVHUYHV QRWKLQJ 7KHUHIRUH DOZD\V VDFULILFH WKH
EDJDWHOOHDQGSXUVXHWKHHVVHQWLDO
)UHGHULFNWKH*UHDW

 7KHSURWHFWLRQZDUILJKWLQJIXQFWLRQLVWKHUHODWHGWDVNVDQGV\VWHPVWKDWSUHVHUYHWKHIRUFHVRWKH
FRPPDQGHU FDQ DSSO\ PD[LPXP FRPEDW SRZHU WR DFFRPSOLVK WKH PLVVLRQ $'53   7KH SURWHFWLRQ
ZDUILJKWLQJIXQFWLRQLQFOXGHVWKHIROORZLQJWDVNV
z &RQGXFWVXUYLYDELOLW\RSHUDWLRQV
z 3URYLGHIRUFHKHDOWKSURWHFWLRQ
z &RQGXFW&%51RSHUDWLRQV
z 3URYLGH(2'VXSSRUW
z &RRUGLQDWH$0'
z &RQGXFWSHUVRQQHOUHFRYHU\

6 October 2017 FM 3-0 2-49


Chapter 2

&RQGXFWGHWHQWLRQRSHUDWLRQV
z
&RQGXFWULVNPDQDJHPHQW
z
z ,PSOHPHQWSK\VLFDOVHFXULW\SURFHGXUHV
z $SSO\DQWLWHUURULVPPHDVXUHV
z &RQGXFWSROLFHRSHUDWLRQV
z &RQGXFWSRSXODWLRQDQGUHVRXUFHFRQWURO
6HH$'53IRUGRFWULQHRQWKHSURWHFWLRQZDUILJKWLQJIXQFWLRQ 
 3UHVHUYLQJWKHIRUFHLQFOXGHVSURWHFWLQJSHUVRQQHO FRPEDWDQWV DQGQRQFRPEDWDQWV DQGSK\VLFDO
DVVHWVRIWKH8QLWHG6WDWHVDQGXQLILHGDFWLRQSDUWQHUVLQFOXGLQJWKHKRVWQDWLRQ7KHSURWHFWLRQZDUILJKWLQJ
IXQFWLRQHQDEOHVFRPPDQGHUVWRPDLQWDLQWKHLUIRUFH¶VLQWHJULW\DQGFRPEDWSRZHU3URWHFWLRQGHWHUPLQHV
WKH GHJUHH WR ZKLFK SRWHQWLDO WKUHDWV FDQ GLVUXSW RSHUDWLRQV DQG WKHQ FRXQWHUV RU PLWLJDWHV WKRVH WKUHDWV
3URWHFWLRQLVDFRQWLQXLQJDFWLYLW\LWLQWHJUDWHVDOOSURWHFWLRQFDSDELOLWLHVWRVDIHJXDUGEDVHVDQGEDVHFDPSV
VHFXUHURXWHVDQGSURWHFWIRUFHV3URWHFWLRQDFWLYLWLHVHQVXUHPDLQWHQDQFHRIWKHSURWHFWLRQSULRULWL]DWLRQOLVW
ZKLFKLQFOXGHVWKHFULWLFDODVVHWOLVWDQGGHIHQGHGDVVHWOLVW
 7KHIOXLGLW\DQGUDSLGWHPSRRIODUJHVFDOHFRPEDWRSHUDWLRQVSRVHFKDOOHQJHVIRUWKHSURWHFWLRQRI
IULHQGO\DVVHWV&RPPDQGHUVGHQ\WKHHQHP\DFKDQFHWRGHOLEHUDWHO\SODQSUHSDUHDQGH[HFXWHDQHIIHFWLYH
UHVSRQVH WR IULHQGO\ DFWLRQV E\ PDLQWDLQLQJ D KLJK WHPSR RI RSHUDWLRQV (QVXULQJ WKH HQHP\ LV UHDFWLYH
LQFUHDVHV WKH VXUYLYDELOLW\ RI WKH IRUFH 7HFKQLTXHV IRU PDLQWDLQLQJ D KLJK WHPSR LQFOXGH XVLQJ PXOWLSOH
URXWHVGLVSHUVLRQPDQHXYHUE\PRELOHIRUFHVLVRODWLQJDQGE\SDVVLQJHQHP\IRUFHVURWDWLQJRUUHOLHYLQJ
IRUFHVEHIRUHWKH\FXOPLQDWHDQGVLPXOWDQHRXVO\FRQYHUJLQJFDSDELOLWLHVDFURVVPXOWLSOHGRPDLQVDQGDFURVV
PXOWLSOHHQHP\HFKHORQV
 &RPPDQGHUV ZLWK LQSXW IURP WKHLU VWDIIV GHWHUPLQH WKH GHJUHH WR ZKLFK SRWHQWLDO WKUHDWV DQG
KD]DUGV FDQ GLVUXSW RSHUDWLRQV DQG WKHQ WKH\ FRXQWHU RU PLWLJDWH WKRVH WKUHDWV DQG KD]DUGV 0DQ\ RI WKH
DVVHWVJURXSHGZLWKLQWKHSURWHFWLRQZDUILJKWLQJIXQFWLRQVXFKDV03 XQLWVHQJLQHHUV&%51DVVHWVDQG
RWKHUIRUFHVZLWKSURWHFWLRQUHVSRQVLELOLWLHVZLOOSUREDEO\EHDVVLJQHGRUDWWDFKHGWR%&7VLQWKHFORVHDUHD
WR DFFRPSOLVK WKHLU PLVVLRQ OLPLWLQJ WKH DYDLODELOLW\ RI WKHLU DVVRFLDWHG FDSDELOLWLHV LQ WKH VXSSRUW RU
FRQVROLGDWLRQDUHDV
 $WWKHFRUSVDQGGLYLVLRQHFKHORQFRPPDQGHUVDFFRXQWIRUPDQ\SURWHFWLRQWDVNV%&7VRIWHQODFN
WKHFDSDFLW\RISURWHFWLRQDVVHWVWRSHUIRUPSURWHFWLRQWDVNVZKHQDVVLJQHGWRWKHFORVHDUHDDQGWKH\UHTXLUH
DXJPHQWDWLRQIURPFRUSVRUGLYLVLRQIRUFHVWRHIIHFWLYHO\SHUIRUPWKHSURWHFWLRQWDVNVOLVWHGLQ$'53
 2QH LPSRUWDQW DVSHFW RI SURWHFWLRQ SODQQLQJ IRU FRUSV DQG GLYLVLRQV LQYROYHV WKH VXSSRUW DQG
FRQVROLGDWLRQDUHDV,IFRQGLWLRQVLQWKHVXSSRUWDUHDGHJUDGHLWLVGHWULPHQWDOWRWKHVXFFHVVRIRSHUDWLRQV
$ GHJUDGHG VXSSRUW DUHD DOVR LQKLELWV WKH DELOLW\ WR VKDSH WKH GHHS DUHD IRU WKH %&7V LQYROYHG LQ FORVH
RSHUDWLRQV7KHUHIRUHWKHSURWHFWLRQRIVXSSRUWDUHDVUHTXLUHVSODQQLQJFRQVLGHUDWLRQVHTXDOWRWKRVHLQWKH
FORVH DUHDV :KHQ WKH VXSSRUW DUHD LV ORFDWHG LQVLGH D GLYLVLRQ FRQVROLGDWLRQ DUHD WKH XQLW DVVLJQHG
UHVSRQVLELOLW\IRUWKHFRQVROLGDWLRQDUHDSURYLGHVVLJQLILFDQWSURWHFWLRQIRUVXSSRUWDUHDXQLWV 6HH)0
IRUPRUHLQIRUPDWLRQRQVXSSRUWDUHDV 
 &RPPDQGHUV SURWHFW VXERUGLQDWH IRUFHV WR GHQ\ WKH HQHP\ WKH FDSDELOLW\ WR LQWHUIHUH ZLWK WKHLU
RQJRLQJ RSHUDWLRQV 7KDW SURWHFWLRQ DOVR PHHWV WKH FRPPDQGHU¶V OHJDO DQG PRUDO REOLJDWLRQV WR WKH
RUJDQL]DWLRQ¶V6ROGLHUV7RKHOSSURWHFWWKHIRUFHFRPPDQGHUVHQVXUHWKDWDOOSURWHFWLRQWDVNVDUHDGGUHVVHG
GXULQJWKHXQLW¶VSODQQLQJSUHSDUDWLRQDQGH[HFXWLRQDQGWKH\DOVRFRQVWDQWO\DVVHVVWKHHIIHFWLYHQHVVRI
WKRVHSURWHFWLRQWDVNV 6HH$'53IRUPRUHLQIRUPDWLRQRQSURWHFWLRQWDVNV 

6859,9$%,/,7<
 6XUYLYDELOLW\LVDTXDOLW\RUFDSDELOLW\RIPLOLWDU\IRUFHVZKLFKSHUPLWVWKHPWRDYRLGRUZLWKVWDQG
KRVWLOH DFWLRQV RU HQYLURQPHQWDO FRQGLWLRQV ZKLOH UHWDLQLQJ WKH DELOLW\ WR IXOILOO WKHLU SULPDU\ PLVVLRQ
$73 6XUYLYDELOLW\RSHUDWLRQVDUHWKRVHPLOLWDU\DFWLYLWLHVWKDWDOWHUWKHSK\VLFDOHQYLURQPHQWWR
SURYLGHRULPSURYHFRYHUFDPRXIODJHDQGFRQFHDOPHQW $73 6XUYLYDELOLW\RSHUDWLRQVDUHFULWLFDO
WR RIIHQVLYH GHIHQVLYH DQG VWDELOLW\ RSHUDWLRQV EXW WKH\ PD\ EH HPSKDVL]HG GLIIHUHQWO\ LQ HDFK
&RPPDQGHUV PD\ UHO\ PRUH RQ PRELOLW\ DQG WHUUDLQ WR SURYLGH FRQFHDOPHQW GXULQJ WKH RIIHQVH ZKLOH

2-50 FM 3-0 6 October 2017


Army Echelons, Capabilities, and Training

stressing camouflage, survivability positions, and hardened facilities to avoid or withstand hostile actions
during the defense.
2-255. All units have the inherent responsibility to conduct survivability operations and continually improve
their positions. Although there are three general categories of threats and hazards (hostile actions, nonhostile
actions, and environmental conditions), survivability is most concerned with avoiding or withstanding the
threats posed by hostile actions and environmental conditions. The four tasks associated with survivability
operations are constructing fighting positions, constructing protective positions, hardening facilities, and
employing camouflage and concealment. All four tasks are often addressed in combination. Some additional
factors which can enhance an organization’s ability to avoid or withstand threats and hazards include
dispersion, redundancy, leadership, discipline, mobility, situational understanding, terrain management, and
CBRN planning. The loss or severe degradation of unit CPs and other key facilities by enemy attacks in the
physical and cyberspace domains can prevent the successful execution of missions. A CP or key facility’s
size, immobility, and multispectral signature invites enemy attack and the resulting disruption of the friendly
tempo of operations. Survivability of those critical assets that enable a high operational tempo are a top
priority. (See ATP 3-37.34 for additional information on survivability operations.)

CHEMICAL, BIOLOGICAL, RADIOLOGICAL, AND NUCLEAR DEFENSE OPERATIONS


2-256. CBRN active defense consists of tasks taken to prevent a CBRN attack by destroying the weapon or
its delivery system. CBRN passive defense prevents or minimizes friendly unit vulnerability to the effects of
CBRN threats or hazards. Commanders integrate CBRN defensive considerations into all mission planning.
CBRN passive defense principles cover hazard awareness and understanding, protection (including
mission-oriented protective posture gear, detection equipment, warning, and reporting) and contamination
mitigation (including avoiding contamination and performing decontamination). CBRN passive defense is
focused on maintaining the force’s ability to continue military operations in a CBRN environment while
minimizing or eliminating the vulnerability of the force to the degrading effects of those CBRN threats and
hazards. (See ATP 3-11.36 for additional information on CBRN passive defensive considerations.)
2-257. +The purpose of CBRN reconnaissance and surveillance is to provide commanders with detailed,
timely, and accurate CBRN intelligence and to gain situational understanding of CBRN threats and hazards.
Implementing many CBRN passive defensive measures may slow the tempo, degrade combat power,
increase logistics requirements, and may require the technical skills of low density resources. (See FM 3-11
for information on CBRN operations.)

EXPLOSIVE ORDNANCE DISPOSAL


2-258. EOD provides the supported commander the capability to render safe and dispose of all explosive
ordnance, to include unexploded explosive ordnance, improvised explosive devices, and improvised
explosives. EOD elements may dispose of all types of hazardous foreign or U.S. ordnance in the safest
manner possible. Breaching and clearance of minefields is primarily an engineer responsibility. The EOD
force serves as a combat multiplier by neutralizing unexploded ordnance and mines and booby traps that
restrict unit freedom of movement and deny access to or threaten supplies, facilities, and other critical assets
within the unit AO. (See ATP 4-32 for additional information on EOD operations.)

DETENTION OPERATIONS
2-259. Detention involves the detainment of a population or group that poses some level of threat to military
operations. These operations inherently control the movement and activities of a specific population for
reasons of security, safety, or intelligence gathering. The Army is the DOD executive agent for all detainee
operations and for the long-term confinement of U.S. military prisoners. Detention operations include—
 Interning U.S. military prisoners. (See FM 3-39 for additional information on the battlefield
confinement of U.S. military prisoners.)
 Conducting detainee operations (includes belligerents [privileged belligerents and unprivileged
belligerents], retained personnel, and civilian internees). (See FM 3-63 for additional information
on detainee operations.)

6 December 2017 FM 3-0, C1 2-51


Chapter 2

z 6XSSRUWLQJKRVWQDWLRQFRUUHFWLRQVUHIRUP 6HH)0DQG)0IRUDGGLWLRQDOLQIRUPDWLRQ
RQKRVWQDWLRQFRUUHFWLRQVUHIRUP
 'XULQJODUJHVFDOHFRPEDWRSHUDWLRQVHQHP\XQLWVVHSDUDWHGDQG GLVRUJDQL]HGE\ WKHVKRFNRI
LQWHQVLYHFRPEDWPD\EHFDSWXUHG7KHQXPEHUVLQYROYHGPD\SODFHDWUHPHQGRXVEXUGHQRQIULHQGO\IRUFHV
DVWKH\GLYHUWWDFWLFDOXQLWVWRKDQGOHGHWDLQHHV7KHWHUPGHWDLQHHLQFOXGHVDQ\SHUVRQFDSWXUHGGHWDLQHGRU
RWKHUZLVHXQGHUWKHFRQWURORI'2'SHUVRQQHO
 'HWDLQHHRSHUDWLRQVDUHWKHUDQJHRIDFWLRQVWDNHQE\86 DUPHGIRUFHVEHJLQQLQJDWWKHSRLQWRI
FDSWXUHWKURXJKPRYHPHQWWRDGHWDLQHHFROOHFWLRQSRLQWGHWDLQHHKROGLQJDUHDRUWKHDWHUGHWHQWLRQIDFLOLW\
XQWLO GHWDLQHH WUDQVIHUUHOHDVHUHSDWULDWLRQ GHDWK RU HVFDSH 'HWDLQHH RSHUDWLRQVLV D EURDG WHUP WKDW
HQFRPSDVVHVWKH FDSWXUH LQLWLDO GHWHQWLRQVFUHHQLQJ WUDQVSRUWDWLRQWUHDWPHQWDQG SURWHFWLRQKRXVLQJ
WUDQVIHUDQGUHOHDVHRIWKHZLGHUDQJHRISHUVRQVZKRFRXOGEHFDWHJRUL]HGDVGHWDLQHHV6ROGLHUVSDUWLFLSDWLQJ
LQPLOLWDU\RSHUDWLRQVPXVWEHSUHSDUHGWRSURFHVVGHWDLQHHV$FWLRQVDW WKHSRLQWRIFDSWXUH²WKHSRLQWDW
ZKLFK D 6ROGLHUKDV WKH FXVWRG\RI DQG LV UHVSRQVLEOHIRUVDIHJXDUGLQJ D GHWDLQHH²FDQGLUHFWO\DIIHFW
PLVVLRQVXFFHVVDQGFRXOGKDYHDODVWLQJLPSDFWRQ86VWUDWHJLFPLOLWDU\REMHFWLYHV
 ,Q DQ\ FRQIOLFWLQYROYLQJ 86 IRUFHVWKHVDIHDQG KXPDQH WUHDWPHQWRIGHWDLQHHVLVUHTXLUHGE\
LQWHUQDWLRQDOODZ5HVSHFWIRULQGLYLGXDOKXPDQ ULJKWVDQGKXPDQLWDULDQFRQFHUQVLVWKHEDVLVIRUWKH*HQHYD
&RQYHQWLRQVDQGWKH/DZRI$UPHG&RQIOLFWZKLFKFRGLI\WKHLGHDOWKDW6ROGLHUVHYHQLQWKHPRVWWU\LQJRI
FLUFXPVWDQFHVDUHERXQGWRWUHDWRWKHUVZLWKGLJQLW\DQG UHVSHFW)DLOXUHWRFRQGXFWGHWDLQHHRSHUDWLRQVLQD
KXPDQHPDQQHUDQG DFFRUGLQJWRLQWHUQDWLRQDOODZFDQUHVXOWLQVLJQLILFDQWDGYHUVHVWUDWHJLFLPSDFWVIRUWKH
86PLOLWDU\
 03XQLWVSHUIRUPLQJGHWDLQHHRSHUDWLRQVFDQSUHVHUYHWKHFRPEDWHIIHFWLYHQHVVRIWKHFDSWXULQJXQLW
E\UHOLHYLQJLWRIWKHUHVSRQVLELOLW\WRVHFXUHDQGFDUHIRUGHWDLQHHV'XULQJWKHFRQGXFWRIPLOLWDU\RSHUDWLRQV
03VPXVWSRVVHVVWKHFDSDELOLW\WRSODQH[HFXWHDQGVXSSRUWGHWDLQHHRSHUDWLRQVDFURVVWKHUDQJHRIPLOLWDU\
RSHUDWLRQV

3(56211(/5(&29(5<
 $UP\SHUVRQQHOUHFRYHU\LVWKHPLOLWDU\HIIRUWVWDNHQWRSUHSDUHIRUDQGH[HFXWHWKHUHFRYHU\DQG
UHLQWHJUDWLRQRILVRODWHGSHUVRQQHO )0 3HUVRQQHOUHFRYHU\LVDFRPPDQGHUOHGDFWLYLW\DFKLHYHGE\
PLVVLRQ FRPPDQG ZKLFK HQDEOHV VWDIIV XQLW UHFRYHU\ IRUFHVDQG LQGLYLGXDOV WR LPSOHPHQW SHUVRQQHO
UHFRYHU\ SURILFLHQFLHV DQG H[HFXWH WKH SHUVRQQHO UHFRYHU\ WDVNV RI UHSRUW ORFDWH VXSSRUW UHFRYHU
UHLQWHJUDWH
 &RPPDQGHUVDUHUHVSRQVLEOHWRUHFRYHUWKHLULVRODWHGSHUVRQQHOZKLOHZRUNLQJZLWKXQLILHGDFWLRQ
SDUWQHUV3HUVRQQHOUHFRYHU\LVLQWHJUDWHGLQWRHYHU\ RSHUDWLRQWKURXJK WKHPLVVLRQFRPPDQG RSHUDWLRQV
SURFHVV&RPPDQGHUV RUJDQL]H WUDLQ DQG HTXLS WKHLU XQLWV¶ FDSDELOLWLHVEDVHG XSRQ DVVHVVPHQWRI WKH
RSHUDWLRQDO DQG PLVVLRQ YDULDEOHV 6WDIIV DVVLVW WKHLU FRPPDQGHUV LQ FUHDWLQJ VKDUHG XQGHUVWDQGLQJ E\
HPEHGGLQJ SHUVRQQHOUHFRYHU\LQ DOO SODQV DQG RUGHUVLQFOXGLQJ WKH GHYHORSPHQWRISHUVRQQHOUHFRYHU\
JXLGDQFHDQGLVRODWHG6ROGLHUJXLGDQFH8QLWVH[HFXWHWKHLU0(7/WDVNVDVWKHIRXQGDWLRQWRUHFRYHULVRODWHG
SHUVRQQHO
 7KHSHUVRQQHOUHFRYHU\FRRUGLQDWLRQVHFWLRQLVWKHSULPDU\LQWHJUDWRURISHUVRQQHOUHFRYHU\DWWKH 
GLYLVLRQFRUSV DQGWKHDWHUDUP\HFKHORQV$WEULJDGHHFKHORQVDQGEHORZWKHSHUVRQQHOUHFRYHU\RIILFHULV
WKHFRPPDQGHU¶VUHSUHVHQWDWLYHWRLQWHJUDWHDQGPDQDJHSHUVRQQHOUHFRYHU\

SECTION IV – TRAINING FOR LARGE-SCALE COMBAT OPERATIONS


7KXVDYLFWRULRXVDUP\ZLQVLWVYLFWRULHVEHIRUHVHHNLQJEDWWOHDQDUP\GHVWLQHGWRGHIHDW
ILJKWVLQWKHKRSHRIZLQQLQJ
6XQ7]X

 7UDLQLQJLVWKHPRVWLPSRUWDQWWKLQJWKH$UP\GRHVWRSUHSDUHIRURSHUDWLRQVDQGLWLVWKHFRUQHUVWRQH
RIFRPEDWUHDGLQHVV(IIHFWLYHWUDLQLQJDQG XQLWOHDGHUGHYHORSPHQWPXVWEHFRPPDQGHUGULYHQ ULJRURXV
UHDOLVWLFDQG WRWKH VWDQGDUG DQG XQGHU WKH FRQGLWLRQVWKDW XQLWVDUH H[SHFWHG WR KDYH WR ILJKW LQ ZKLFK
LQFOXGHVMRLQWDQG PXOWLQDWLRQDORSHUDWLRQV5HDOLVWLFWUDLQLQJZLWKOLPLWHGWLPHDQGUHVRXUFHVGHPDQGVWKDW

2-52 FM 3-0, C1 6 December 2017


$UP\ (FKHORQV&DSDELOLWLHV DQG7UDLQLQJ

FRPPDQGHUVIRFXVWKHLUXQLW WUDLQLQJ HIIRUWV WRPD[LPL]HUHSHWLWLRQV XQGHUYDU\LQJ FRQGLWLRQVWR EXLOG


SURILFLHQF\8QLWVH[HFXWHHIIHFWLYHLQGLYLGXDO DQG FROOHFWLYHWUDLQLQJ EDVHG RQ WKH $UP\¶V SULQFLSOHVRI
WUDLQLQJDVGHVFULEHGLQ$'53

5HDGLQHVV 7DVN)RUFH6PLWK
$VKH ERDUGHG D &WUDQVSRUW DLUFUDIWDW,WD]XNH $LUILHOGRQ WKH PRUQLQJ RI-XO\
 /LHXWHQDQW &RORQHO &KDUOHV %“%UDG” 6PLWK FRPPDQGHU RIVW %DWWDOLRQ VW
,QIDQWU\5HJLPHQW IHOW QR SUHPRQLWLRQV RI LPPLQHQW GLVDVWHU 8QLW PRUDOH ZDV KLJK
WKURXJKRXW WKH (LJKWK $UP\ LQ -DSDQ 7KH WK ,QIDQWU\ 'LYLVLRQ’V IRXU LQIDQWU\
UHJLPHQWV ZHUH SRVWXUHG WR PHHW *HQHUDO :DOWRQ + :DONHU’VGHPDQG WKH\EH IXOO\
UHDG\IRU FRPEDW E\ 'HFHPEHU  7KH SUHYLRXV 0DUFK 6PLWK’V EDWWDOLRQ KDG
FRPSOHWHG OLYHILUH H[HUFLVHV DQG D VHULHV RIIRUFHRQIRUFHRIIHQVLYH DQG GHIHQVLYH
WUDLQLQJH[HUFLVHV$OWKRXJK QRW\HWWUDLQHGDVSDUWRIDUHJLPHQWDOFRPEDWWHDPLWZDV
DVZHOO SUHSDUHGWRILJKWDVDQ\XQLWFRXOGEH JLYHQWKH UHVRXUFHVDYDLODEOH

6KRUWFRPLQJV LQ SHUVRQQHO HTXLSPHQW DQG WUDLQLQJ ZHUH GRZQSOD\HG LQ TXDUWHUO\
“FRPEDWHIIHFWLYHQHVV” UHSRUWV0DMRU*HQHUDO :LOOLDP)'HDQFRPPDQGLQJ WKHWK
,QIDQWU\ 'LYLVLRQ NQHZ KLV GLYLVLRQ UDWHG ORZHVW LQ UHDGLQHVV %XW KH EHOLHYHG WKH
PLVVLRQ LQ .RUHD ZRXOG EH TXLFN DQG HDV\ DQG ZRXOG QRW RYHUVWUHVV KLV EULWWOH
IRUPDWLRQV +H GLGQRW REMHFW ZKHQ RUGHUHG WR .RUHD DW WKH HQG RI-XQH /7&
6PLWK’V ERVV&RORQHO 5LFKDUG6WHYHQV ZDV VLPLODUO\ XQFRQFHUQHGHVSHFLDOO\ VLQFH
KHEHOLHYHG WKDW“QRGLYLVLRQLVDQ\GDPQJRRGXQWLO DIWHULWVILUVWILJKW”

$W WKH KLJKHVW OHYHOV RI FRPPDQG WKHUH ZDV LQDGHTXDWH FRQFHUQ ZLWK UHDGLQHVV
*HQHUDO'RXJODV0DF$UWKXUNQHZKLV$UP\IRUPDWLRQVZHUHZHDNEXWOLNHQHDUO\HYHU\
RWKHU $PHULFDQ LQ-DSDQDW WKH WLPH 0DF$UWKXU EHOLHYHG WKDW WKH VLJKW RI$PHULFDQ
6ROGLHUVRQWKHEDWWOHILHOG LQ.RUHDZRXOG FDXVHWKHFRPPXQLVW .RUHDQ3HRSOH’V$UP\
WRPHOW DZD\

*HQHUDO :DONHUNQHZ WKH (LJKWK $UP\ZDV D KROORZ IRUFH+DYLQJ FRPPDQGHG WKH


'HVHUW7UDLQLQJ&HQWHULQDQGDFRUSVLQFRPEDWLQDQG:DONHUNQHZ
EHWWHU WKDQ DOPRVW DQ\RQH KRZ WR EXLOG FRKHVLYH DQG HIIHFWLYH WHDPV 0RUHRYHU KH
NQHZ WKDW PRVW RI WKH IDFWRUV SUHYHQWLQJ KLP IURP PDNLQJ WKH (LJKWK $UP\ D WUXO\
FRPEDWUHDG\IRUPDWLRQZHUHEH\RQGKLVFRQWURO%XWKHNHSWKLVFRQFHUQVWRKLPVHOI
NQRZLQJ WKDW 0DF$UWKXUZRXOG MXVW UHSODFHKLP LIKH SUHVVHG KDUGDERXW LVVXHV WKDW
DIIHFWHGWKHHQWLUH86$UP\0DF$UWKXUIRUKLVSDUWDFFHSWHGWKHQHFHVVLW\RISXWWLQJ
XQGHUPDQQHG LOOHTXLSSHG DQG SDUWLDOO\WUDLQHG IRUPDWLRQV LQWRKDUP’V ZD\&DOOLQJ
7DVN )RUFH 6PLWK DQ “DUURJDQW GLVSOD\ RI VWUHQJWK” 0DF$UWKXU MXVWLILHG WKH ULVN E\
FDOFXODWLQJ WKDW D GHWHUPLQHG VKRZLQJ HDUO\ LQ WKH FDPSDLJQ ZRXOG FRQYLQFH WKH
FRPPXQLVWV WKDW WKH $PHULFDQV KDG PRUH DQG EHWWHU UHVRXUFHVDYDLODEOH WKDQ ZDV
DFWXDOO\WUXH

7KH 1RUWK .RUHDQVZHUH QRWIRROHG2Q-XO\WKH .3$WK'LYLVLRQ GHVWUR\HG


7DVN )RUFH6PLWK DIWHU D VHYHQKRXU ILJKW 2YHU  RI/7& 6PLWK’V PHQ SDLG WKH
XOWLPDWH SULFHLQSDUW EHFDXVHRIWKH $UP\OHDGHUVKLS’V LQDELOLW\WRH[SODLQ WKH $UP\’V
UROHLQQDWLRQDOVHFXULW\DQGWRVHFXUHWKHUHVRXUFHVQHFHVVDU\WRDFFRPSOLVKWKDWUROH
$QRWKHU  PHQ ZRXOG GLH ILJKWLQJ LQ .RUHD PDQ\ LQ WKH ILUVW\HDU RIFRPEDW
EHIRUHWKH$UP\ZDVDEOH WRDGHTXDWHO\ WUDLQDQGHTXLSLWVIRUFHV

 7KH$UP\ SUHSDUHVLWVHOIIRUODUJHVFDOHFRPEDWRSHUDWLRQVFRQWLQXRXVO\7KHUHLVQRWLPHWREXLOG


UHDGLQHVVQHFHVVDU\WRZLQ RQFHKRVWLOLWLHVFRPPHQFHLQWKHFXUUHQWRSHUDWLRQDOHQYLURQPHQW$UP\ IRUFHV
PXVWGHPRQVWUDWHDFUHGLEOHOHYHORIUHDGLQHVVDJDLQVWUHJLRQDOSHHUWKUHDWVWRHIIHFWLYHO\GHWHUDGYHUVDULHV
DQG DVVXUHSDUWQHUV*HQHUDWLQJFUHGLEOHUHDGLQHVVLVWKHPRVWLPSRUWDQWVKDSLQJWDVNIRUXQLWVDVWKH\WUDLQ
DW KRPH VWDWLRQ DQG GXULQJ FRPEDW WUDLQLQJ FHQWHU &7&  H[HUFLVHV5HDGLQHVV WR VXFFHVVIXOO\FRQGXFW

6 December 2017 FM 3-0, C1 2-53


Chapter 2

GHFLVLYHDFWLRQWDVNVLQ WKHFRQWH[WRIODUJHVFDOHODQGZDUIDUHDJDLQVW UHJLRQDOSHHUWKUHDWVLVWKHSULPDU\


IRFXVRI$UP\IRUFHV
 &XUUHQW WKUHDWV GHPDQG $UP\ XQLWV FDSDEOH RI PDQHXYHULQJ ZLWK XQLILHG DFWLRQ SDUWQHUV DQG
JHQHUDWLQJ HIIHFWVERWK OHWKDO DQG QRQOHWKDO DFURVVPXOWLSOHFRQWHVWHGGRPDLQV DJDLQVW HQHPLHVZKRVH
FDSDELOLWLHVPD\EHVXSHULRUDQGZKRHQMR\SRVLWLRQVRIUHODWLYHDGYDQWDJH7KLVLQWXUQUHTXLUHVWKDW$UP\
XQLWVWUDLQXQGHUUHDOLVWLFFRQGLWLRQVWKDWSRUWUD\UHDOWKUHDWFDSDELOLWLHVLQZD\V WKDWVWUHVVXQLWVDQGOHDGHUV
IRUWKH UHDOLWLHVRIODUJHVFDOHFRPEDWRSHUDWLRQV,W LVFULWLFDOIRUOHDGHUVWROHDUQKDUG OHVVRQVDQG DGDSW
EHIRUHFRPEDWDQGWKDWLVPRVWHIIHFWLYHO\DFFRPSOLVKHGGXULQJWRXJKFROOHFWLYHWUDLQLQJWRVWDQGDUGDJDLQVW
UHDOLVWLFWKUHDWV7KLVWUDLQLQJLVDFFRPSOLVKHGDWKRPHVWDWLRQVDW&7&VDQGZKLOHGHSOR\HG
 $OOFRPSRQHQWVRIWKH7RWDO$UP\ LQFOXGLQJ$FWLYH5HVHUYH1DWLRQDO*XDUGDQG 'HSDUWPHQWRI
WKH$UP\ >'$@ FLYLOLDQV EHDUUHVSRQVLELOLW\IRUDFKLHYLQJWKHUHTXLUHGOHYHOVRIFROOHFWLYHUHDGLQHVV(DFK
FRPSRQHQWKDVUHVLGHQWFDSDELOLWLHVWKDWHQDEOHWKHRWKHUVDQGDVVXFKPXVWEHWUDLQHGWRWKHVDPHVWDQGDUG
DJDLQVWSHHUWKUHDWV8QLWVQRWWUDLQLQJIRUVSHFLILFPLVVLRQVIRFXVRQWUDLQLQJIRUSURILFLHQF\LQODUJHVFDOH
FRPEDWRSHUDWLRQV7KHUHDUHQXPHURXVLPSOLFDWLRQVDFURVVWKHZDUILJKWLQJ IXQFWLRQVWKDWLPSDFWWUDLQLQJ
HGXFDWLRQ DQG SULRULWLHV RIHIIRUW DQG WKH\ DSSO\ DFURVV DOO FRPSRQHQWV 7KH VFDUFLW\ RI UHVRXUFHV
SDUWLFXODUO\DYDLODEOH WLPHLQWKH$UP\ 5HVHUYHDQG$UP\1DWLRQDO*XDUG UHTXLUHVDFOHDUSULRULWL]DWLRQRI
HIIRUWWKDWLVLQIRUPHGE\WKHPLVVLRQVSDUWLFXODUXQLWVSHUIRUPGXULQJODUJHVFDOHFRPEDWRSHUDWLRQV

0,66,21(66(17,$/7$6.6
 &RPPDQGHUVUDUHO\KDYH HQRXJKWLPHRUUHVRXUFHVWRWUDLQDOOWDVNV(DFKFRPPDQGHUGHWHUPLQHV
ZKDW HVVHQWLDOVXSSRUWLQJFROOHFWLYHWDVNVPXVWEHWUDLQHGWRDWWDLQWKHUHTXLUHGOHYHOVRIREMHFWLYHWUDLQLQJ
UHTXLUHPHQWVIRUPLVVLRQHVVHQWLDOWDVN OLVW 0(7/  SURILFLHQF\7KH FRQFHSWRI PLVVLRQHVVHQWLDOWDVNV
SURYLGHVFRPPDQGHUVDSURFHVVWRSURYLGHWKHLUXQLWVDEDWWOHIRFXV(DFKPLVVLRQHVVHQWLDOWDVNDOLJQVZLWK
FROOHFWLYHWDVNVWKDWVXSSRUWLW$OOFRPSDQ\DQGKLJKHUXQLWVKDYHD0(7/8QLWVZLWKDWDEOHRIRUJDQL]DWLRQ
DQGHTXLSPHQWKDYHDQDSSURYHGDQGVWDQGDUGL]HG0(7/EDVHGRQWKHW\SHRIXQLWDQGIRFXVHGRQODUJHVFDOH
FRPEDW RSHUDWLRQV 6WDQGDUG 0(7/V FDQ EH IRXQG RQ WKH $UP\ 7UDLQLQJ 1HWZRUN 'LJLWDO 7UDLQLQJ
0DQDJHPHQW6\VWHPDQG&RPELQHG$UPV7UDLQLQJ6WUDWHJLHVZHEVLWHV

75$,1,1*7(&+1,48(6
7ROHDGXQWUDLQHGSHRSOHWRZDULVWRWKURZWKHPDZD\
&RQIXFLXV

 8VLQJ DQ LQWHJUDWHG DSSURDFK RI OLYH YLUWXDO DQG FRQVWUXFWLYHWUDLQLQJ DW KRPH VWDWLRQ &7&
URWDWLRQVDQGGXULQJGHSOR\PHQWVEXLOGVFRQILGHQWDQGFRKHVLYHXQLWVDEOHWRDGDSWWRWKHLUHQYLURQPHQWDQG
GHIHDW WKH HQHP\ 'HPDQGLQJ DQG UHSHWLWLYH WUDLQLQJ EXLOGV 6ROGLHUV¶FRQILGHQFHLQ WKHLU ZHDSRQV DQG
HTXLSPHQWWKHLUDELOLW\WRILJKWDQG RYHUFRPHFKDOOHQJHVWKHLUOHDGHUVDQGWKHLUWHDPV7HDPV WUDLQXQGHU
FRQGLWLRQVWKDWHPSKDVL]HFKDQJHXQFHUWDLQW\GHJUDGHGIULHQGO\FDSDELOLWLHVFDSDEOHHQHPLHVDQGDXVWHUH
FRQGLWLRQV6ROGLHUVPXVWFRQGXFWUHDOLVWLFWUDLQLQJWKDWSUHSDUHVWKHPIRUFRPEDWE\LQFOXGLQJXQH[SHFWHG
WDVNV DQG PRUDOHWKLFDOFKDOOHQJHV WKDW KHOS GHYHORS DJLOH DGDSWLYH DQG LQQRYDWLYH OHDGHUV 7UDLQLQJ
VFHQDULRVVKRXOGUHTXLUH6ROGLHUVWRPDNHWKHULJKWGHFLVLRQVFRQVLVWHQWZLWKWKHPRUDOSULQFLSOHVRIWKH$UP\
(WKLFLQFOXGLQJWKH$UP\9DOXHV 6HH)0IRUDQH[SDQGHGGLVFXVVLRQRI$UP\WUDLQLQJFRQFHSWV 
 7KHHIIHFWLYHQHVVRIHDFK&7&LVGLUHFWO\UHODWHGWRLWVDELOLW\WRUHDOLVWLFDOO\UHSOLFDWHWKHFRQGLWLRQV
IULHQGO\XQLWVZLOOIDFHLQ FRPEDWDJDLQVW ZHOOWUDLQHGSHHUWKUHDWVZLWK DGYDQFHG FDSDELOLWLHV7KH &7&¶V
FDSDELOLWLHVVKRXOGEH OHYHUDJHG WRSUHSDUH$UP\ IRUFHVIRUDFWLYLWLHVDQG RSHUDWLRQVDFURVVWKHUDQJH RI
PLOLWDU\ RSHUDWLRQV7KH RSSRVLQJ IRUFHV SRUWUD\FDSDEOH HQHPLHVZLWK PRGHUQ WHFKQRORJ\WR JHQHUDWH
FRPELQDWLRQV RI FRQYHQWLRQDO LUUHJXODU DQG GLVUXSWLYH WKUHDWV DFURVV HDFK RI WKH GRPDLQV DQG WKH
LQIRUPDWLRQHQYLURQPHQW7KH\ FKDOOHQJHWUDLQLQJXQLWVWRWKHOLPLWVRIWKHLUFDSDELOLWLHVDQG WKH\SURYLGH
RSSRUWXQLWLHVIRU FROOHFWLYHWUDLQLQJ DW D VFDOHQHFHVVDU\WR H[HUFLVHFRPELQHG DUPV RSHUDWLRQVLQ ERWK
IRUFHRQIRUFH DQG OLYHILUHFRQGLWLRQV+RPH VWDWLRQ WUDLQLQJ SUHSDUDWLRQ IRU &7& URWDWLRQVVKRXOG EH
PXOWLHFKHORQXVHFRPELQHGDUPVOHYHUDJHRSSRUWXQLWLHVIRUFRQYHQWLRQDOIRUFHDQG62)LQWHUGHSHQGHQFH
DQGEHDVGHPDQGLQJDVUHVRXUFHVDQGFRQGLWLRQVDOORZ7KHSDUDGLJPRISUHGLFWDEOHGHSOR\PHQWVWRNQRZQ
DUHDVDJDLQVWNQRZQHQHPLHVDQGVXSSRUWHGE\DPLVVLRQVSHFLILFSUHGHSOR\PHQWPLVVLRQUHKHDUVDOH[HUFLVH

2-54 FM 3-0, C1 6 December 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

LVQRWDYLDEOHZD\IRUSUHSDULQJXQLWVWRZLQLQWKHFXUUHQW2($UP\IRUFHVWUDLQDQGSUHSDUHIRUZLQQLQJ
EDWWOHVDQGHQJDJHPHQWVXQGHUUHDOLVWLFFRQGLWLRQVZLWKOLWWOHRUQRSULRUQRWLILFDWLRQ
 %&7V ZLWK HQDEOLQJ FDSDELOLWLHV FRQGXFW &7& URWDWLRQV ZLWK D IRFXV RQ GHFLVLYH DFWLRQ
IRUFHRQIRUFHH[HUFLVHVDQGOLYHILUHDJDLQVWDUHJLRQDOSHHUWKUHDW)XQFWLRQDODQGPXOWLIXQFWLRQDOEULJDGHV
GLYLVLRQVFRUSVDQGWKHDWHUDUPLHVXVHPLVVLRQFRPPDQGWUDLQLQJSURJUDPH[HUFLVHVWRWUDLQWKHRSHUDWLRQV
SURFHVV DQG PLVVLRQ FRPPDQG 7KH\ WUDLQ RQ ODUJHVFDOH FRPEDW RSHUDWLRQV ZLWK XQLILHG DFWLRQ SDUWQHUV
XQGHUUHDOLVWLFFRQGLWLRQVWKDWUHIOHFWWKHFKDOOHQJHVRIXQLILHGDFWLRQLQDPXOWLGRPDLQHQYLURQPHQW*LYHQ
WKHG\QDPLFDQGOHWKDOQDWXUHRIODUJHVFDOHODQGZDUIDUHGLYLVLRQDQGFRUSVKHDGTXDUWHUVUHTXLUHSURILFLHQF\
LQWKHRSHUDWLRQVSURFHVVDQGPLVVLRQFRPPDQGWRRUFKHVWUDWHWKHKLJKWHPSRRSHUDWLRQVUHTXLUHGWRFUHDWH
UHFRJQL]HDQGH[SORLWZLQGRZVRIRSSRUWXQLW\'HSOR\PHQWILHOGFUDIWFRQWLQXRXVUHFRQQDLVVDQFHLQGHSWK
WDUJHWLQJ V\QFKURQL]DWLRQ RI ILUHV DQG PRYHPHQW DLUVSDFH FRQWURO FRPELQHG DUPV EUHDFKLQJ DQG JDS
FURVVLQJ&3GLVSODFHPHQWVHFXULW\DQGVXVWDLQPHQWDUHDOOHVVHQWLDOWDVNVWKDWUHTXLUHFRQWLQXRXVUHSHWLWLYH
WUDLQLQJIRUSURILFLHQF\
 0XOWLHFKHORQWUDLQLQJLVDWUDLQLQJWHFKQLTXHWKDWDOORZVIRUWKHVLPXOWDQHRXVWUDLQLQJRIPRUHWKDQ
RQHHFKHORQRQGLIIHUHQWRUFRPSOHPHQWDU\WDVNV $'53 $VHDFKHFKHORQFRQGXFWVLWVPLVVLRQDQDO\VLV
WRGHWHUPLQHWKHWDVNVWRWUDLQLWSURYLGHVDORJLFWUDLOIURPLQGLYLGXDO6ROGLHUWDVNVWREULJDGHOHYHOPLVVLRQ
HVVHQWLDOWDVNV$QHIIHFWLYHORJLFWUDLOFOHDUO\QHVWVIURPRQHHFKHORQWRWKHQH[WDQGHIIHFWLYHO\FURVVZDONV
WKHWDVNVXSDQGGRZQXQLWHFKHORQV&URVVZDONLQJHQDEOHVOHDGHUVWRYLVXDOL]HKRZWKHWRSGRZQWUDLQLQJ
JXLGDQFHGLUHFWO\VXSSRUWVWKHERWWRPXSDOLJQPHQWRILQGLYLGXDODQGFROOHFWLYHWDVNVWKDWVXSSRUWWKHKLJKHU
HFKHORQXQLW

75$,1,1*&216,'(5$7,216%<:$5),*+7,1*)81&7,21
7KHLQVWUXPHQWVRIEDWWOHDUHYDOXDEOHRQO\LIRQHNQRZVKRZWRXVHWKHP
&KDUOHV$UGDQWGX3LFT

 &RPPDQGHUVDQGVWDIIVXVHWKHZDUILJKWLQJIXQFWLRQVWRIRFXVXQLWWUDLQLQJ7UDLQLQJFRQVLGHUDWLRQV
IRUHDFKZDUILJKWLQJIXQFWLRQVDUHGLVFXVVHGLQSDUDJUDSKVWKURXJK

0,66,21&200$1'
 $GYHUVDULHVDQGHQHPLHVZLOOWDUJHWPLVVLRQFRPPDQGV\VWHPVDQGSURFHVVHV8QLWVPXVWDGDSWWKHLU
PLVVLRQFRPPDQGV\VWHPVDQGSURFHVVHVWRWKHUHDOLWLHVRIILJKWLQJSHHUWKUHDWV&RQGLWLRQVLQODUJHVFDOH
FRPEDWRSHUDWLRQVUHTXLUHWKHVPDOOHVWSRVVLEOHSK\VLFDODQGHOHFWURQLFVLJQDWXUHDQGWKHKLJKHVWSRVVLEOH
OHYHORIDJLOLW\/HDGHUVQHHGWREHDEOHWRFRPPDQGWKHLUIRUPDWLRQVZKHQFRPPXQLFDWLRQQHWZRUNVDUH
GLVUXSWHGZKLOHRQWKHPRYHDQGZLWKRXWSHUIHFWVLWXDWLRQDODZDUHQHVV7UDLQLQJWREHFRPHSURILFLHQWLQWKH
XVH RI DQDORJ GDWD WUDFNLQJ V\VWHPV YRLFH FRPPXQLFDWLRQV DQG XQDLGHG QDYLJDWLRQ WHFKQLTXHV UHTXLUHV
VLJQLILFDQWDPRXQWVRIUHSHWLWLRQSDUWLFXODUO\ZKHQLQWHJUDWLQJDOORIWKHHOHPHQWVRIFRPEDWSRZHU+DELWXDO
UHODWLRQVKLSVSUDFWLFHGVWDQGDUGRSHUDWLQJSURFHGXUHVDQGWKHXVHRIEDWWOHGULOOVFDQPLWLJDWHVRPHRIWKH
ULVNDQGIULFWLRQLQKHUHQWLQORVWVLWXDWLRQDODZDUHQHVV
 7UDLQLQJXQLWVDQGOHDGHUVWRH[HFXWHRSHUDWLRQVXVLQJWKHSKLORVRSK\RIPLVVLRQFRPPDQGPLWLJDWHV
WKHHIIHFWVRIV\VWHPVGHJUDGDWLRQZKLOHHQDEOLQJVXERUGLQDWHVWRHIIHFWLYHO\H[HFXWHRIIHQVLYHGHIHQVLYH
DQGVWDELOLW\WDVNVLQWKHUDSLGPDQQHUUHTXLUHGWRH[SORLWRSSRUWXQLWLHVWKDWFRPHZLWKDFKLHYLQJSRVLWLRQV
RI UHODWLYH DGYDQWDJH (IIHFWLYH OHDGHUVKLS DSSOLHG WKURXJK D FRPELQDWLRQ RI HGXFDWLRQ DSSOLFDWLRQ DQG
UHSHWLWLRQGHYHORSVWKHWUXVWDQGXQGHUVWDQGLQJRIWKHFRPPDQGHU¶VLQWHQWQHFHVVDU\WRDFWLQWKHDEVHQFHRI
RUGHUV6XERUGLQDWHVDUHXQOLNHO\WRDFWLQWKHDEVHQFHRIRUGHUVLQWKHIDFHRIFDSDEOHHQHPLHVLIWKH\FDQQRW
GRVRGXULQJSHDFHWLPHWUDLQLQJ'HYHORSLQJWKHFOLPDWHQHFHVVDU\WRIDFLOLWDWHHIIHFWLYHPLVVLRQFRPPDQG
UHTXLUHVGDLO\HPSKDVLV
 6XFFHVVIXO FRPPDQGHUV EXLOG FRKHVLYH RUJDQL]DWLRQV ZLWK D VWURQJ FKDLQ RI FRPPDQG pVSULW GH
FRUSV DQG JRRG GLVFLSOLQH $V D XQLW WUDLQV OHDGHUV GLUHFW FRDFK JXLGH DQG FKDOOHQJH VXERUGLQDWHV WR
GHYHORS GHSWK RI NQRZOHGJH MXGJHPHQW DQG XQGHUVWDQGLQJ 7KHVH DFWLRQV XOWLPDWHO\ EXLOG WUXVW DPRQJ
6ROGLHUV DQG EHWZHHQ 6ROGLHUV DQG WKHLU OHDGHUV &RPPDQGHUV HQVXUH WKDW WKHLU VXERUGLQDWHV NQRZ WKH
IXQGDPHQWDOVDERXWWKHLUMREVDQGKRZWRWKLQNERWKDUHQHFHVVDU\IRUVXERUGLQDWHVWR ³FRQQHFWWKHGRWV´
QHFHVVDU\ IRU VROYLQJ QHZ SUREOHPV 7KH\ GHYHORS WKHLU VXERUGLQDWHV¶ FRQILGHQFH DQG HPSRZHU WKHP WR

6 October 2017 FM 3-0 2-55


Chapter 2

PDNH LQGHSHQGHQW VLWXDWLRQEDVHG GHFLVLRQV (IIHFWLYH FRPPDQGHUV GHYHORS VXERUGLQDWHV ZLWK DJLOH DQG
DGDSWLYHDSSURDFKHVWRSUREOHPVROYLQJDVLQVXUDQFHDJDLQVWWKHDPELJXLW\DGYHUVLW\DQGXQFHUWDLQW\IRXQG
RQHYHU\EDWWOHILHOG

)LJKWDV<RX7UDLQ.DVVHULQH3DVV

$IWHU PRUH WKDQ WKUHH \HDUV RI ZDU *HUPDQ IRUFHV ZHUH H[SHULHQFHG YHWHUDQV
RSHUDWLQJ ZLWK GRFWULQH WKDW ZDV FRPEDW SURYHQ LQ D YDULHW\ RI RSHUDWLRQDO
HQYLURQPHQWV 86 $UP\ GRFWULQH DQG WUDLQLQJ DW WKH WDFWLFDO OHYHO ZKLOH SDUWLDOO\
LQIRUPHGE\REVHUYLQJRWKHUDUPLHVILJKWIURPDGLVWDQFHZDVODUJHO\XQSURYHQ7KH
)LUVW $UPRUHG 'LYLVLRQ ZDV UHODWLYHO\ ZHOOWUDLQHG RUJDQL]HG DQG HTXLSSHG IRU
GRFWULQDO PHWKRGV XQWHVWHG LQ WKH UHDOLWLHV RI :RUOG :DU ,, 86 $UP\ DUPRU DQG
PHFKDQL]HG GRFWULQH SDUWLFXODUO\ LWV GHSHQGHQFH XSRQ WDQN GHVWUR\HUV LQVWHDG RI
WDQNVWRGHIHDWHQHP\DUPRUTXLFNO\SURYHGLQDGHTXDWH

2Q)HEUXDU\IRXU*HUPDQ.DPSIJUXSSHQ EDWWDOLRQWDVNIRUFHV VXUURXQGHG
DQGQHDUO\DQQLKLODWHG&RPEDW&RPPDQG$ EULJDGHFRPEDWWHDP RIWKHVW$UPRUHG
'LYLVLRQ DW 6LGL %RX =LG 7KH 86 ,, &RUSV FRPPDQGHU 0* /OR\G )UHGHQGDOO
GHVSHUDWHWRUHVWRUHWKHVHFXULW\RIWKHFRUSV’ RSHQULJKWIODQNRUGHUHGWKHVW$UPRUHG
'LYLVLRQWR“FRQFHQWUDWHWRPRUURZRQFOHDULQJXSWKHVLWXDWLRQWKHUHDQGGHVWUR\LQJWKH
HQHP\”

2QWKHPRUQLQJRI)HEUXDU\&RPEDW&RPPDQG&EHJDQDPRYHPHQWWRFRQWDFW
WRZDUG6LGL%RX=LGZLWKRXWDFOHDULQWHOOLJHQFHSLFWXUHRIWKHHQHP\$Q06KHUPDQ
WDQNEDWWDOLRQOHGWKHIRUPDWLRQZLWK0KDOIWUDFNWDQNGHVWUR\HUVVFUHHQLQJHDFKIODQN
$ VHOISURSHOOHG DUWLOOHU\ EDWWDOLRQ D PHFKDQL]HG LQIDQWU\ EDWWDOLRQ DQG DQ DWWDFKHG
WDQN FRPSDQ\ UHVHUYH  IROORZHG 7KH EDWWDOLRQV ZHUH LQ DOPRVW SHUIHFW GRFWULQDOO\
FRUUHFWIRUPDWLRQV:LWKWKH&RPEDW&RPPDQG&FRPPDQGHUORFDWHGRQDKLOOWRSWR
REVHUYHWKHPRYHPHQWWKHWDQNEDWWDOLRQFRPPDQGHU/7&$OJHUKDGWDFWLFDOFRQWURO
RIWKHHQWLUHIRUFHDVLWZDVDSSURDFKLQJLWVILUVWPDMRUHQJDJHPHQW

$W&RPEDW&RPPDQG&IRXQGLWVHOILQD*HUPDQDPEXVK$OJHU’VWDQNVLQLWLDOO\
HQJDJHG*HUPDQDQWLWDQNJXQVWRWKHLUIURQW HDVW EXW*HUPDQ3DQ]HU,,,VDQG,9V
WZLFHWKHLUQXPEHUVXGGHQO\DSSHDUHGWRWKHLUQRUWKDQGVRXWK/7&$OJHU’VEDWWDOLRQ
UHRULHQWHG WR IDFH WKHVH FRQYHUJLQJ WKUHDWV HVWDEOLVKLQJ KDVW\ EDWWOH SRVLWLRQV 7KH
6KHUPDQV DOWKRXJK TXDOLWDWLYHO\ VXSHULRU WR WKH PDMRULW\ RI *HUPDQ WDQNV TXLFNO\
VXFFXPEHGWRIODQNDQGUHDUVKRWVLQWKHPHOHH7KHWKLQO\DUPRUHGWDQNGHVWUR\HUV
LQWHQGHGE\GRFWULQHDQGGHVLJQWRHQJDJHWKHHQHP\DWORQJUDQJHZHUHDWDVHYHUH
GLVDGYDQWDJH DQG ZHUH TXLFNO\ GHVWUR\HG LQ WKH FRQIXVHG FORVHLQ ILJKW %\ 
&RPEDW&RPPDQG& ZLWKGUHZKDYLQJ ORVWRILWV RULJLQDO 6KHUPDQWDQNVDQG
DOPRVW DOO RI LWV WDQN GHVWUR\HUV ,W KDG VXIIHUHG KHDY\ FDVXDOWLHV DQG ZDV FRPEDW
LQHIIHFWLYHVHYHQKRXUVLQWRLWVILUVWEDWWOH

,QDPDWWHURIGD\VWKH86$UP\GLVFRYHUHGWKDWLWZRXOGQHHGWRTXLFNO\DGDSWLWV
GRFWULQHHTXLSPHQWDQGWUDLQLQJWRWKHUHDOLWLHVRIPRGHUQFRPELQHGDUPVZDUIDUH$
EHWWHU DSSUHFLDWLRQ IRU WKH H[SHULHQFHV RI RWKHU DUPLHV DQG WKH UHDOLWLHV RI WKH
RSHUDWLRQDO HQYLURQPHQW ZRXOG KDYH OLNHO\ LQIRUPHG D GLIIHUHQW DSSURDFK WR WDFWLFDO
RSHUDWLRQVDQGUHGXFHGWKHFRVWRIOHDUQLQJE\H[SHULHQFH

$,563$&(&21752/
 $LUVSDFHZLOOEHFRQWHVWHGGXULQJODUJHVFDOHODQGZDUIDUHDJDLQVWSHHUWKUHDWV(IIHFWLYHDLUJURXQG
RSHUDWLRQVZLOOUHTXLUHWKDWXQLWVWUDLQWRLQWHJUDWHDLUVSDFHXVHGXULQJSODQQLQJDQGH[HFXWLRQLQFRQGLWLRQV
ZKHUHXVHRIPLVVLRQFRPPDQGLQIRUPDWLRQV\VWHPVLVXQLQWHUUXSWHGDQGGXULQJGHJUDGHGFRQGLWLRQVZKHQ

2-56 FM 3-0 6 October 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

XQLWVPXVWUHO\RQSURFHGXUDOFRQWURO(IIHFWLYHDLUVSDFHFRQWUROWUDLQLQJUHTXLUHVVLJQLILFDQWFRRUGLQDWLRQDV
DLUVSDFH FRQWURO LV LQKHUHQWO\ D MRLQW WDVN ,QVWDOODWLRQV DQG XQLWV PXVW ZRUN WRJHWKHU WR UHSOLFDWH WKH
FRPSOH[LW\ RI DLUVSDFH FRQWURO LQ WUDLQLQJ LQ RUGHU WR HQVXUH XQLWV FDQ HIIHFWLYHO\ H[HFXWH VLPXOWDQHRXV
RUJDQLFILUHVMRLQWILUHVDLUJURXQGRSHUDWLRQVLQIRUPDWLRQFROOHFWLRQDQGDLUGHIHQVH
 6HWWLQJ WKH FRQGLWLRQV IRU HIIHFWLYH KRPHVWDWLRQ WUDLQLQJ UHTXLUHV FROODERUDWLRQ EHWZHHQ WKH
RSHUDWLRQDO IRUFH XQLWV WKH LQVWDOODWLRQ UDQJH RSHUDWLRQV DQG WKH DOLJQHG 86$) DLU VXSSRUW RSHUDWLRQV
VTXDGURQ,QVWDOODWLRQVPXVWEHDEOHWRVLPXODWHGLYLVLRQDVVLJQHGDLUVSDFHVRWKDWLQGLYLGXDODLUVSDFHXVHUV
DVZHOODV%&7VFDQRSHUDWHDVLIWKH\ZHUHXQGHUWKHFRQWURORIDGLYLVLRQ-$*,&'LYLVLRQVQHHGWRWUDLQ
ZLWKWKHMRLQWFRPPDQGDQGFRQWUROV\VWHPOLQNDJHVWKH\ ZRXOGKDYHLQDQDFWXDOFRQIOLFW)RUH[DPSOH
LQVWDOODWLRQVFDQGHYHORSFRPPRQJUDSKLFFRQWUROPHDVXUHVWKDWDUHVKDUHGRQDGLJLWDO&23WKURXJKWKHXVH
RI*OREDO$UHD5HIHUHQFH6\VWHPNH\SDGEDVHG8$6DLUVSDFHFRRUGLQDWLQJPHDVXUHVWRHQDEOHUDSLGDLUVSDFH
FRRUGLQDWLRQ IRU 8$6V ,QVWDOODWLRQV DQG XQLWV HQKDQFH LQGLYLGXDO DQG VWDII VNLOOV E\ XVLQJ WKH PLVVLRQ
WUDLQLQJFHQWHUWRWUDLQ6ROGLHUVRQWKHLULQGLYLGXDOPLVVLRQFRPPDQGLQIRUPDWLRQV\VWHPVDQGKRZWRSDVV
UHOHYDQWGDWDWRRWKHU$UP\DQG86$)&V\VWHPV
 $LUVSDFHFRQWUROFROOHFWLYHWUDLQLQJLVFHQWHUHGRQWKHFRPELQHGDUPVOLYHILUHH[HUFLVH7KHGLYLVLRQ
ZRUNLQJZLWKWKHDOLJQHGDLUVXSSRUWRSHUDWLRQVVTXDGURQSURYLGHVLQSXWWRWKHDLUWDVNLQJRUGHUDQGDLUVSDFH
FRQWURO SODQ DQG DLUVSDFH FRQWURO RUGHUV SULPDULO\ WKURXJK WKH VXEPLVVLRQ RI DLU VXSSRUW UHTXHVWV 7KHVH
LQSXWV VXSSRUW VXERUGLQDWH XQLW SODQQLQJ 8QLW FRPELQHG DUPV ZDUJDPLQJ DQG UHKHDUVDOV RI WKH VHOHFWHG
FRXUVH RI DFWLRQ LGHQWLI\ DLUVSDFH FRQWURO LVVXHV DQG DOORZ UHVROXWLRQ E\ UHILQLQJ WDFWLFV WHFKQLTXHV DQG
SURFHGXUHVDQGHVWDEOLVKLQJ QHFHVVDU\SURFHGXUDOFRQWUROV 8QLWVFDQWKHQSURYLGHWKHLULQVWDOODWLRQUDQJH
FRQWUROZLWKWKHLUFRRUGLQDWHGDLUVSDFHUHTXLUHPHQWVIRUWKHLUFRPELQHGDUPVOLYHILUHH[HUFLVHV7KHQWKH
UDQJHFRQWUROFDQDQDO\]HZKDWWKHUHVSHFWLYHXQLW¶VQHHGVDUHDQGEXLOGDLUVSDFHWRVXSSRUWWKHXQLW¶VWUDLQLQJ
([HFXWLRQRIDFRPELQHGDUPVOLYHILUHH[HUFLVHJLYHVDXQLWH[SHULHQFHZLWKLQWHJUDWLQJ$UP\ILUHVFORVHDLU
VXSSRUW$UP\PDQQHGDQGXQPDQQHGDLUFUDIWDQGDLUGHIHQVH'LYLVLRQ-$*,&VPDLQWDLQVNLOOVE\SHULRGLF
&3H[HUFLVHVLQLWLDOO\IRFXVLQJRQLQWHUQDO-$*,&H[HUFLVHVEXWDVWKH-$*,&JDLQVSURILFLHQF\WKHGLYLVLRQ
KHDGTXDUWHUVFDQDGG&3H[HUFLVHVWKDWLQFOXGHWKHNH\PHPEHUVRIWKHFXUUHQWRSHUDWLRQVLQWHJUDWLRQFHOO
DQG VXERUGLQDWH EULJDGH DLU GHIHQVH DLUVSDFH PDQDJHPHQWEULJDGH DYLDWLRQ HOHPHQW ,QVWDOODWLRQV VXSSRUW
WUDLQLQJ XQLWVE\DVVLVWLQJ ZLWKWKHLQWHJUDWLRQRIWKHDLUVXSSRUWRSHUDWLRQVVTXDGURQGLJLWDOV\VWHPVDQG
WUDLQLQJDQGVLPXODWLRQV\VWHPVZLWKWKHPLVVLRQWUDLQLQJFHQWHU:KHQWKHGLYLVLRQ-$*,&LVSURILFLHQWLW
VKRXOGZRUNZLWKWKHLQVWDOODWLRQUDQJHFRQWUROWRWDNHFRQWURORISRUWLRQVRILQVWDOODWLRQDLUVSDFHWRPDLQWDLQ
SURILFLHQF\LQSHUIRUPLQJSURFHGXUDOFRQWUROLQGLYLVLRQDVVLJQHGDLUVSDFH

&,9,/$))$,56,17(*5$7,21
 ([LVWLQJ RU SRWHQWLDO FLYLO YXOQHUDELOLWLHV ZLOO EH H[SORLWHG E\ WKUHDW DFWRUV &$ WHDPV VKRXOG EH
LQFRUSRUDWHGLQWRURXWLQHWUDLQLQJDQGVWDIIH[HUFLVHV7KHVHWHDPVH[SDQGWKHFDSDELOLWLHVRIVXSSRUWHGXQLWV
E\ SURYLGLQJ H[SHUWLVH LQ FRRUGLQDWLQJ LQWHJUDWLQJ DQG V\QFKURQL]LQJ ZLWK WKH FLYLO FRPSRQHQW DQG E\
SODQQLQJDQGH[HFXWLQJ&$UHODWHGVWDELOLW\WDVNV&$WHDPVSURYLGHH[SHUWLVHLQFLYLOVHFXULW\FLYLOFRQWURO
IRUHLJQKXPDQLWDULDQDVVLVWDQFHFLYLOLQIRUPDWLRQPDQDJHPHQWDQGFLYLODGPLQLVWUDWLRQSODQQLQJZKLFKDUH
DOOHVVHQWLDOWRWKHFRQWLQXRXVSURFHVVRIFRQVROLGDWLQJJDLQVWRHQVXUHDODVWLQJDQGVXVWDLQDEOHRXWFRPH

,1)250$7,2123(5$7,216
 5HSOLFDWLQJWKHLQIRUPDWLRQHQYLURQPHQWDQGLWVDFWLYLW\LQWUDLQLQJLVERWKFKDOOHQJLQJDQGHVVHQWLDO
,QWHJUDWLQJ LQIRUPDWLRQ RSHUDWLRQV LQWR DOO VWDII SODQQLQJ DQG H[HUFLVHV EXLOGV XQGHUVWDQGLQJ RI KRZ WR
HIIHFWLYHO\VKDSHWKHLQIRUPDWLRQHQYLURQPHQWDQGVSHFLILFZD\VWKH\FDQV\QFKURQL]HLQIRUPDWLRQUHODWHG
FDSDELOLWLHV ,5&V WRDFKLHYHGHVLUHGHIIHFWV$VDUHVXOWLWDOVREXLOGVFRPSHWHQF\LQOHDGHUV
 :LWKLQ WKHLU DXWKRULWLHV VWDIIV VKRXOG FRQWLQXRXVO\ V\QFKURQL]H LQIRUPDWLRQUHODWHG FDSDELOLWLHV
VXFKDV0,62DQG236(&LQWRGDLO\VWHDG\VWDWHDFWLYLWLHV,QIRUPDWLRQRSHUDWLRQVFRQGXFWHGDVSDUWRI
URXWLQHRSHUDWLRQDOUHDGLQHVVPD\DFFRPSOLVKVWUDWHJLFDQGRSHUDWLRQDOOHYHOREMHFWLYHV7KH\PD\²
z 'LUHFWO\HQJDJHXQLILHGDFWLRQSDUWQHUNH\OHDGHUVWRLQIOXHQFHWKHLUWDFLWDQGH[SOLFLWFRRSHUDWLRQ
z 3URWHFW FODVVLILHG DQG RWKHU VHQVLWLYH LQIRUPDWLRQ IURP DGYHUVDULHV ZKLOH FRQILGHQWO\ DQG
WUDQVSDUHQWO\VKDULQJLQIRUPDWLRQZLWKXQLILHGDFWLRQSDUWQHUVWKDWZLOOOHDGWRJUHDWHUWUXVWDPRQJ
VWDNHKROGHUV

6 October 2017 FM 3-0 2-57


Chapter 2

z 'HYHORSDFUHGLEOHVKDUHGQDUUDWLYH PRVWLPSRUWDQWO\E\DOLJQLQJZRUGVGHHGVDQGLPDJHV WKDW


H[SODLQV86 DQGXQLILHGDFWLRQSDUWQHULQWHQWLRQVDQGHIIRUWV ZKLOHGLPLQLVKLQJWKHLPSDFWRI
DGYHUVDU\QDUUDWLYHV
z (PSOR\ UHTXLUHG DYDLODEOH PHGLD SODWIRUPV WR UHLQIRUFH DQG DPSOLI\ PHVVDJHV WR VXSSRUW DQ
DSSURYHG QDUUDWLYH DQG EURDGFDVW XQLILHG DFWLRQ SDUWQHU DFKLHYHPHQWV DQG DFFRPSOLVKPHQWV
WKURXJK ZRUGV SLFWXUHV DQG YLGHR DQG LPPHGLDWHO\ UHVSRQG WR DGYHUVDU\ SURSDJDQGD DQG
VXEYHUVLRQDWWHPSWV

7$&7,&$/'(&(37,21
 2IWHQ $UP\ FRPPDQGHUV ZLOO EH IDFHG ZLWK GHFLGLQJ ZKHQ DQG ZKHUH WR HPSOR\ 0,/'(& LQ
VXSSRUWRIWDFWLFDORSHUDWLRQV7$&'DFDWHJRU\RI0,/'(&LVGHFHSWLRQDFWLYLWLHVSODQQHGDQGH[HFXWHG
E\DQGLQVXSSRUWRIWDFWLFDOOHYHOFRPPDQGHUVWRFDXVHHQHPLHVRUDGYHUVDULHVWRWDNHDFWLRQVRULQDFWLRQV
IDYRUDEOHWRWKHFRPPDQGHU¶VREMHFWLYHV7$&'LVFRQGXFWHGWRLQIOXHQFHPLOLWDU\RSHUDWLRQVLQRUGHUWR
JDLQDQDGYDQWDJHRYHUDQHQHP\RUDGYHUVDU\ PDVN YXOQHUDELOLWLHVLQ IULHQGO\ IRUFHVRUWRHQKDQFHWKH
GHIHQVLYH FDSDELOLWLHV RI IULHQGO\ IRUFHV 7KLV LV DFFRPSOLVKHG E\ HLWKHU LQFUHDVLQJ RU GHFUHDVLQJ WKH
DPELJXLW\RIWKHHQHP\GHFLVLRQPDNHUWKURXJKWKHPDQLSXODWLRQGLVWRUWLRQRUIDOVLILFDWLRQRIHYLGHQFH
7DFWLFDO 0,/'(& UHTXLUHV OHDGHUV WR XQGHUVWDQG HQHPLHV¶ DQG DGYHUVDULHV¶ LQIRUPDWLRQ FROOHFWLRQ
FDSDELOLWLHVDQGGHFLVLRQSURFHVVHV7$&'LVXQLTXHWRWKHWDFWLFDOUHTXLUHPHQWVRIWKHORFDOFRPPDQGHU
DQGQRWQHFHVVDULO\OLQNHGRUVXERUGLQDWHWRDJUHDWHUMRLQW0,/'(&SODQ 6HH )0DQG-3IRU
DGGLWLRQDOLQIRUPDWLRQRQ0,/'(&DQG7$&' 
 &RPPDQGHUVWUDLQ7$&'LQDYDULHW\RIZD\V7KHPRVWLPSRUWDQWLVE\LQFRUSRUDWLQJHOHPHQWVRI
GHFHSWLRQLQWRSODQVURXWLQHO\WRGHWHUPLQHHIIHFWLYHWHFKQLTXHVWKDWZRUNIRUWKHLUSDUWLFXODUXQLWVDQGLQ
SDUWLFXODUVLWXDWLRQV7KHUHLVQRVLQJOHDSSOLFDEOHWHFKQLTXHRUSURFHGXUHWKDWUHVXOWVLQHIIHFWLYH 7$&'
EHFDXVHHDFK7$&'VLWXDWLRQLVXQLTXH'HYHORSLQJWKHKDELWRILQFRUSRUDWLQJGHFHSWLRQLQWRRSHUDWLRQV
UHTXLUHV UHSHWLWLYH H[SHULPHQWDWLRQ 7KH KXPDQ DVSHFWV RI 0,/'(& UHTXLUH D VWURQJ DSSUHFLDWLRQ RI WKH
FRJQLWLYHDVSHFWVRIWKH2(7UDLQLQJSODQQHUVWRXVHHOHPHQWVRIPLVGLUHFWLRQOLNHIHLQWVDQGGHPRQVWUDWLRQV
ZKLFK FDQ H[SORLW ZKDW DQ HQHP\ H[SHFWV WR VHH RU SRUWUD\ D VWUHQJWK DV D ZHDNQHVV LV DQ H[DPSOH RI
LQFRUSRUDWLQJ7$&'ZLWKRXWUHTXLULQJDGGLWLRQDOUHVRXUFHV

23(5$7,2166(&85,7<
 (QHPLHV DQG DGYHUVDULHV H[SORLW XQFODVVLILHG LQIRUPDWLRQ XVHG WR V\QFKURQL]H DQG FRRUGLQDWH
DFWLYLWLHV DPRQJ DOO XQLILHG DFWLRQ SDUWQHUV 7KH ILYH VWHS 236(& SURFHVV LGHQWLILHV IULHQGO\ FDSDELOLWLHV
DFWLYLWLHVOLPLWDWLRQVYXOQHUDELOLWLHVDQGLQWHQWLRQVWKDWUHTXLUHGHILQHGSURWHFWLYHPHDVXUHVWRHOLPLQDWHRU
PLQLPL]HLQGLFDWRUVRIIULHQGO\DFWLYLWLHV236(&PHDVXUHVUHTXLUHWUDLQLQJDQGHQIRUFHPHQWRIVWDQGDUGV
7KH\LQFOXGH²
z (QIRUFHPHQWRIQRLVHDQGOLJKWGLVFLSOLQH
z &DPRXIODJHRI&3VDQGFRPEDWYHKLFOHV
z 'HVWUXFWLRQRIVHQVLWLYHPDWHULDOQRORQJHUUHTXLUHG
z (QFU\SWLRQRIDOOHOHFWURQLFWUDQVPLVVLRQV
z 5HGXFWLRQRIIRRWSULQWWKURXJKSURSHUGLVSRVDORIWUDVK
z 0D[LPXPXVHRIFRXULHUVZKHQSRVVLEOH
z 0LQLPXPXVHRISHUVRQDOHOHFWURQLFGHYLFHV
z 3K\VLFDODQGHOHFWURQLFPDVNLQJRI&3ORFDWLRQV

 :KHQ 236(& LV FRPELQHG ZLWK WUDGLWLRQDO VHFXULW\ PHDVXUHV FODVVLILHG DQG XQFODVVLILHG
LQIRUPDWLRQLVSURWHFWHGIURPDGYHUVDULDOREVHUYDWLRQ7$&'DQG236(&DUHFRPSOHPHQWDU\DQGWKH\DUH
WUDLQHGFRQFXUUHQWO\WRSURWHFWLQGLFDWRUVRIIULHQGO\DFWLYLWLHVDQGGHQ\LQIRUPDWLRQZKLFKFRXOGUHYHDOD
WUXH RSHUDWLRQ 7KH PHDVXUHV LGHQWLILHG WR SURWHFW LQIRUPDWLRQ GXULQJ WKH 236(& SURFHVV GR QRW H[SRVH
7$&' DFWLYLWLHV ZKLOH SURPRWLQJ DQG H[SRVLQJ WKRVH LQGLFDWRUV DQG LQIRUPDWLRQ VXSSRUWLYH RI 7$&'
7DFWLFDOXQLWVPD\WUDLQWRVKDSHDQHQHP\¶VSHUFHSWLRQVE\UHOHDVLQJIDOVHLQIRUPDWLRQDERXWIULHQGO\IRUFHV¶
LQWHQWLRQVFDSDELOLWLHVRUYXOQHUDELOLWLHV)DOVHLQIRUPDWLRQWDUJHWVWKHHQHP\¶VLQWHOOLJHQFHVXUYHLOODQFH
DQGUHFRQQDLVVDQFHFDSDELOLWLHVWRGLVWUDFWWKHHQHP\¶VLQWHOOLJHQFHFROOHFWLRQDZD\IURPRUSURYLGHFRYHU
IRUXQLWRSHUDWLRQV$7$&'UHOHDVLQJLQIRUPDWLRQQRUPDOO\LGHQWLILHGVHQVLWLYHGXULQJWKH236(&SURFHVV

2-58 FM 3-0 6 October 2017


$UP\ (FKHORQV&DSDELOLWLHV DQG7UDLQLQJ

LVDUHODWLYHO\HDV\IRUPRIGHFHSWLRQWRXVHDQGLWLVYHU\DSSURSULDWHIRUXVHDWEDWWDOLRQDQGORZHUHFKHORQ
XQLWV7REHVXFFHVVIXODEDODQFHPXVWEHDFKLHYHGEHWZHHQ236(&DQG7$&' UHTXLUHPHQWV8QLWV WUDLQ
236(&FRQWLQXRXVO\WRGHYHORSWKHGLVFLSOLQHDQGJRRGKDELWVUHTXLUHGLQDOO2(V

&<%(563$&( $1' (/(&7521,& :$5)$5(


 $V 86 IRUFHVLQFUHDVHWKHLUUHOLDQFHRQ QHWZRUNV DQG QHWZRUNHG FDSDELOLWLHVYXOQHUDELOLW\ WR
DWWDFNVLQF\EHUVSDFHDQGWKH(06LQFUHDVHV$GYHUVDULHVXVHF\EHUVSDFHDQG HOHFWURQLFDWWDFNFDSDELOLWLHV
WRVXSSRUWPLOLWDU\RSHUDWLRQV7KUHDWVWR86IRUFHVLQFOXGHVWDWHDQGQRQVWDWHDFWRUVFULPLQDOVDQGLQVLGHU
WKUHDWV 0LWLJDWLQJ WKH WKUHDW LQFOXGHV SURSHUO\ HVWDEOLVKLQJ PDLQWDLQLQJ VHFXULQJ DQG GHIHQGLQJ 86
QHWZRUNV&\EHUVSDFHUHODWHGWUDLQLQJGHVLJQHGWRLQFUHDVHWKUHDWDZDUHQHVVDQGHGXFDWHWKHIRUFHRQSROLFLHV
DQGDFFHSWDEOHXVHVKLJKOLJKWVKRZWKHLPSURSHUXVHRIQHWZRUNVDQGQHWZRUNHGFDSDELOLWLHVFDQFUHDWHULVNV
WRWKHPLVVLRQ7KLVWUDLQLQJLVSDUWRIDGHIHQVHLQGHSWKDSSURDFKWRSURWHFW86QHWZRUNV7UDLQLQJHQDEOHV
WKH IRUFHWR SURWHFWQHWZRUNV DQG WKHLUDVVRFLDWHGGDWD DORQJ ZLWK HQKDQFLQJ IUHHGRPRIPDQHXYHU LQ
F\EHUVSDFHDQGWKH(06
 7KH $UP\ GHSHQGV RQ WKH'2',1 WRHQDEOH DOOZDUILJKWLQJ IXQFWLRQV8QGHUVWDQGLQJ WKUHDWVWR
QHWZRUNVLQFOXGLQJOLNHO\DGYHUVDU\WDFWLFVWHFKQLTXHVDQGSURFHGXUHVLVFULWLFDO8QLWVPXVWWUDLQWRLGHQWLI\
NH\WHUUDLQLQF\EHUVSDFHLQUHODWLRQWRWKHLUFRPPDQGHU¶VSULRULWLHVWRHQDEOHDIRFXVHGGHIHQVH(VWDEOLVKLQJ
D SURSHUO\ FRQILJXUHG PRQLWRUHG DQG VHFXUHG QHWZRUN LQFUHDVHVWKH DELOLW\ WR GHWHFW PDOLFLRXV DQG
XQDXWKRUL]HGDFWLYLW\DQGHQDEOHVPLVVLRQFRPPDQGDQGWKHZDUILJKWLQJIXQFWLRQV
 ,QFRUSRUDWLQJLQWHJUDWHGWUDLQLQJZLWKDUHDOLVWLFWKUHDWDEOHWRDWWDFNQHWZRUNVLQWRXQLWWUDLQLQJDW
KRPHVWDWLRQDQG&7&VSUHSDUHVXQLWVIRUDFWXDOPLVVLRQV,WDOVRSUHSDUHVXQLWVWRXQGHUVWDQGWKHWKUHDWWKH
LQGLFDWRUVRIDFRQWHVWHGHQYLURQPHQWDQGSHQDOL]HVIDLOXUHVWRIROORZVHFXULW\SURWRFROV
 7UDLQLQJLQDUHDOLVWLFHQYLURQPHQWDOORZVVWDIIVWRSUDFWLFHSODQQLQJLQWHJUDWLQJDQGV\QFKURQL]LQJ
GHIHQVLYHDQG RIIHQVLYHF\EHUVSDFHRSHUDWLRQV'2',1RSHUDWLRQVDQG(:RSHUDWLRQV$UHDOLVWLFWUDLQLQJ
HQYLURQPHQWSURYLGHVWKHDSSURSULDWHGHIHQVLYHDQGRIIHQVLYHDVSHFWVRIF\EHUVSDFHDQG(:RSHUDWLRQVDQG
LWDOORZVXQLWVWRLQWHJUDWHDFWLRQVDQGHIIHFWVLQVXSSRUWRIPDQHXYHUFRPPDQGHUV7UDLQLQJRIIRUFHVWDVNHG
WRHQJDJHWDUJHWVLQF\EHUVSDFHDQGWKH(06LVFULWLFDOWRPLVVLRQVXFFHVV7KLVUHTXLUHVVSHFLDOL]HGWHFKQLFDO
WUDLQLQJ LQVWUXPHQWDWLRQDQG UDQJHV DW KRPH VWDWLRQDQG FRPEDW WUDLQLQJ FHQWHUVWRDOORZ UHDOLVWLFDQG
FRPEDWIRFXVHGWUDLQLQJ

63$&( ,17(*5$7,21
 6SDFHEDVHGFDSDELOLWLHVHQDEOHPLOLWDU\IRUFHVZLWKSRVLWLRQLQJQDYLJDWLRQ DQG WLPLQJ VDWHOOLWH
FRPPXQLFDWLRQV VSDFHEDVHG LQIRUPDWLRQ FROOHFWLRQ PLVVLOH ZDUQLQJ VSDFH DQG WHUUHVWULDO ZHDWKHU
IRUHFDVWLQJDQG VSDFHFRQWUROFDSDELOLWLHV0DQ\ PLVVLRQFRPPDQGV\VWHPVDQG ILUHVDQGPDQHXYHUXQLWV
UHO\RQVSDFHEDVHGFDSDELOLWLHVFUHDWLQJSRWHQWLDOYXOQHUDELOLWLHV
 $UP\ XQLWVFDQQRWUHO\RQXQLQWHUUXSWHGDQG XQFRQWHVWHGDFFHVVWRVSDFHEDVHGFDSDELOLWLHV8QLWV
VKRXOG DVVXPH WKH HQHP\ ZLOO GHSOR\ GHQLHG GHJUDGHG DQG GLVUXSWHG VSDFH RSHUDWLRQDO HQYLURQPHQW
'62( VWUDWHJLHV7KHUHIRUHDOOHFKHORQVPXVWWUDLQRQWDFWLFVWRFRXQWHUFRQGLWLRQVRI'62(
 $Q HQHP\ ZKR LVDEOH WRFRQWHVWWKHVSDFHGRPDLQ DQG IRUFH'62(FRQGLWLRQVZLOOEH DEOHWR
SURYLGHVRPHOHYHORIGLVUXSWLRQWRHYHU\ZDUILJKWLQJ IXQFWLRQ3HHUHQHP\IRUFHVDUHHTXLSSHGWRHPSOR\
WKHDWHUZLGH'62(HIIHFWVZKLFKDUHSDUWRIDQDQWLDFFHVVDQGDUHDGHQLDOVWUDWHJ\(YHQVPDOOIDFWLRQVDQG
LQGLYLGXDO DFWRUVFRXOGFDXVHHQRXJK'62(WRKDYHVLJQLILFDQWLPSDFWVRQPLVVLRQDFFRPSOLVKPHQW
 (PSOR\LQJ '62( PD\ KDPSHU PLVVLRQ FRPPDQG PDQHXYHU ILUHV LQWHOOLJHQFHSURWHFWLRQ
VHFXULW\DQG LQIRUPDWLRQRSHUDWLRQV8QLW WUDLQLQJ DQG VWDIIH[HUFLVHVPXVW UHJXODUO\ LQFOXGH D '62(
5HSHWLWLYHWUDLQLQJLQ'62(FRQGLWLRQVLVHVVHQWLDOIRUDOOXQLWVWREHFRPHFRPSHWHQWZKLOHRSHUDWLQJZL WK
UHGXFHGVSDFHEDVHGFDSDELOLWLHV
 :KLOHWKH$UP\VSDFHWUDLQLQJVWUDWHJ\FRYHUVERWKRSHUDWLRQDODQGLQVWLWXWLRQDODVSHFWVRIWUDLQLQJ
WKHRSHUDWLRQDOSLHFHIRFXVHVRQSURYLGLQJXQLWWUDLQLQJWRFRXQWHU'62(GXULQJPXOWLHFKHORQKRPHVWDWLRQ
WUDLQLQJDQG DW&7&V 7UDLQLQJ HIIRUWVDUHIRFXVHGRQHQVXULQJRSHUDWLRQDOXQLWVFDQ LQLWLDWHDQG PDLQWDLQ
DFFHVVWR VSDFH FDSDELOLWLHVDQG WDFWLFVWRDSSO\ ZKHQ RSHUDWLQJ LQ FRQWHVWHGFRQGLWLRQV8VLQJ WUDLQLQJ
GHYLFHVWRUHSOLFDWH'62( FRQGLWLRQVLVFULWLFDOWRSURYLGLQJUHDOLVWLFRSHUDWLRQDOWUDLQLQJ HVSHFLDOO\IRU

6 December 2017 FM 3-0, C1 2-59


Chapter 2

SRVLWLRQLQJQDYLJDWLRQ DQG WLPLQJ DQG VDWHOOLWHFRPPXQLFDWLRQV'LUHFWLQMHFWLRQGHYLFHV DOORZ D ODUJH


PDQHXYHU ILUHVRU RWKHUDXGLHQFH WR H[SHULHQFH'62( HIIHFWVRQ WKHLUVSDFHHQDEOHG V\VWHPVGXULQJ
WUDLQLQJDQGH[HUFLVHV7KHVHWUDLQLQJGHYLFHVUHDOLVWLFDOO\UHSOLFDWHWKHHIIHFWVRI'62(DQGWKH\DUHFULWLFDO
IRULPSOHPHQWLQJWKLVWUDLQLQJ

029(0(17 $1' 0$1(89(5


 7KUHDW FRQYHQWLRQDO FDSDELOLWLHVGLFWDWH WKDW $UP\ IRUPDWLRQVEH FDSDEOH RI PDQHXYHULQJ IURP
SRVLWLRQVRIGLVDGYDQWDJHLQRUGHUWRFUHDWHRSSRUWXQLWLHVIRUH[SORLWDWLRQE\RWKHUPHPEHUVRIWKHMRLQWIRUFH
*LYHQ WKHSRWHQWLDODGYDQWDJHV VRPHHQHPLHVKDYH LQWKHUDQJH RIWKHLUGLUHFWDQG LQGLUHFWILUHVZHDSRQV
V\VWHPVLWLVLPSRUWDQWWRWUDLQPDQHXYHULQZD\V WKDW DOORZIRUUDSLG DQG V\QFKURQL]HGFRQFHQWUDWLRQRI
IULHQGO\XQLWVLQWRFORVHFRPEDWZLWKWKHHQHP\7UDLQLQJLQWKHXVHRIWHUUDLQOLPLWHGYLVLELOLW\REVFXUDWLRQ
DQG UDSLG PDQHXYHU RQ PXOWLSOHURXWHVRUD[HV FRXSOHGZLWK WKH DELOLW\WRGLVFULPLQDWHO\DQGHIIHFWLYHO\
GHVWUR\WDUJHWVZKLOHRQWKHPRYHDWPD[LPXPGLUHFWILUHUDQJHVFDQPLWLJDWHWKHHIIHFWVRIHQHP\VWDQGRII
DGYDQWDJHV 
 8QLWVPXVWDOVRWUDLQXQGHUGHJUDGHGFRQGLWLRQVLQFOXGLQJ&%51FRQGLWLRQVGHJUDGHGQHWZRUNV
DQGGHJUDGHGSRVLWLRQLQJQDYLJDWLRQDQGWLPLQJ7KHDELOLW\WRPDLQWDLQDUDSLGRSHUDWLRQDOWHPSRDQGFORVH
TXLFNO\ZLWKHQHP\ORQJUDQJHV\VWHPVLQRUGHUWRIRUFHWKHPWRUHSRVLWLRQPDNLQJWKHPYXOQHUDEOHWR$UP\
DQG MRLQWILUHVUHTXLUHVVLJQLILFDQWVNLOOGHULYHG IURPUHSHWLWLYHUHDOLVWLFDQG GHPDQGLQJ WUDLQLQJ 8QLWV
SDUWLFXODUO\GLVPRXQWHGDQGUHFRQQDLVVDQFHXQLWVPXVWEHDEOHWRFRQGXFWLQILOWUDWLRQVLQDGLVSHUVHGPDQQHU
DQGWKHQUDSLGO\FRQFHQWUDWHWRJHQHUDWHHIIHFWVLIWKH\DUHWRDYRLGEHLQJWDUJHWHGE\ILUHV

0RELOLW\DQG&RXQWHUPRELOLW\
 7KH DELOLW\WRPDQHXYHU JURXQGIRUFHVXQGHUWKHWKUHDWRIORQJUDQJHILUHVHLWKHUIURPWKHJURXQG
RUWKHDLU GHPDQGV IRFXVHG WUDLQLQJ LQ DUHDV ZKHUH $UP\ XQLWVHQMR\ IHZ DGYDQWDJHV LQ FDSDELOLW\ 7KH
DELOLW\WRPLWLJDWHWKHHIIHFWVRIREVWDFOHVLVIXQGDPHQWDOWRWKHDELOLW\RIPDQHXYHUIRUFHVWRFORVHZLWKDQG
GHVWUR\WKHHQHP\DQG WRWKHRYHUDOOPRELOLW\ PRYHPHQWDQGPDQHXYHU RIWKHIRUFH8QLWVPXVWWUDLQDVD
FRPELQHGDUPVWHDPXQGHUGHJUDGHGFRQGLWLRQVLQWKHH[HFXWLRQRIWKHPRELOLW\WDVNVWRLQFOXGHEUHDFKLQJ
FOHDULQJ DQG JDSFURVVLQJ RSHUDWLRQV 6HH $73 IRU DQ LQGHSWK GLVFXVVLRQRI FRPELQHG DUPV
PRELOLW\ 
 7KH DELOLW\WRGHIHQGJLYHVFRPPDQGHUVWKHWLPHWRFUHDWHFRQGLWLRQVIDYRUDEOHIRURIIHQVLYHWDVNV
WRFRQWLQXHWRUHWDLQD SRVLWLRQRIUHODWLYHDGYDQWDJH WRGHJUDGH HQHP\DGYDQWDJHV RUWRSURWHFWIRUFHV
&RXQWHUPRELOLW\RSHUDWLRQVXVH RUHQKDQFH WKH HIIHFWV RIREVWDFOHVWRKHOS VKDSH WHUUDLQDQG LVRODWHWKH
EDWWOHILHOG GXULQJ WKH H[HFXWLRQ RI ERWK WKH RIIHQVHDQG GHIHQVH 'XULQJ WKH RIIHQVHFRXQWHUPRELOLW\
RSHUDWLRQVPXVWVWUHVVUDSLGHPSODFHPHQWDQG IOH[LELOLW\DQG W\SLFDOO\IRFXVRQ SURWHFWLQJIULHQGO\IRUFHV
IURPDQHQHP\FRXQWHUDWWDFN,QWKHGHIHQVHFRXQWHUPRELOLW\RSHUDWLRQVXVHRUHQKDQFHREVWDFOHVWRKDOWRU
VORZ HQHP\ PRYHPHQW DQG PDQHXYHU FDQDOL]H WKH HQHP\ LQWR HQJDJHPHQW DUHDV DQG SURWHFWIULHQGO\
SRVLWLRQV&RPPDQGHUVDQGVWDIIVDWDOOHFKHORQVPXVWEHDEOHWRHIIHFWLYHO\SODQV\QFKURQL]HDQG H[HFXWH
FRXQWHUPRELOLW\RSHUDWLRQVLQVXSSRUWRIWKHRIIHQVHDQGGHIHQVH 6HH$73IRUDQLQGHSWKGLVFXVVLRQ
RIFRPELQHGDUPVFRXQWHUPRELOLW\ 

$UP\$YLDWLRQ0DQHXYHU 0DQQHG 
 3HHUWKUHDWVDUHHTXLSSHGZLWKDQGHPSOR\VLJQLILFDQWDLUGHIHQVHFDSDELOLWLHVZKLFKZLOOIRUFH$UP\
DYLDWLRQWRRSHUDWHLQQRYHOZD\V OHYHUDJLQJDOOGRPDLQVWRFRQGXFWHIIHFWLYHDWWDFNUHFRQQDLVVDQFHDHULDO
PHGLFDOHYDFXDWLRQ DQG DLUDVVDXOW RSHUDWLRQVLQ KLJK WKUHDW HQYLURQPHQWV$YLDWLRQ WUDLQLQJ PXVW IRFXV
KHDYLO\ RQ RSHUDWLRQVGXULQJ SHULRGVRI OLPLWHGYLVLELOLW\ DLUFUDIW VXUYLYDELOLW\ HTXLSPHQW HPSOR\PHQW
WHUUDLQIOLJKWWHFKQLTXHVDQG JXQQHU\ RSHUDWLRQVWKDW HPSKDVL]H HQJDJLQJ WDUJHWVDW PD[LPXP VWDQGRII
UDQJHV$UP\DYLDWLRQFDQFRQGXFWHIIHFWLYHDWWDFNUHFRQQDLVVDQFHDHULDOPHGLFDOHYDFXDWLRQDQGDLUDVVDXOW
RSHUDWLRQVWKURXJKRXWWKHGLYLVLRQDQGFRUSVDUHDRIRSHUDWLRQV&RUSVDQGGLYLVLRQVWDIIVPXVWDOVRGHYHORS
H[SHUWLVHLQ DLUVSDFHFRQWUROLQ KLJKO\ FRQWHVWHGDQG FRQJHVWHGDLUVSDFHDQG EH DEOH WRHIIHFWLYHO \SODQ
V\QFKURQL]HDQGH[HFXWHHOHFWURQLFDQGOHWKDOVXSSUHVVLRQRIHQHP\DLUGHIHQVHVV\QFKURQL]HGZLWKDYLDWLRQ
PDQHXYHU 6HH )0 DQG $73 IRUDQ LQGHSWK GLVFXVVLRQRI $UP\ DYLDWLRQ RSHUDWLRQVDQG
HPSOR\PHQW 

2-60 FM 3-0, C1 6 December 2017


Army Echelons, Capabilities, and Training

Army Aviation (Unmanned)


2-304. The use of UASs will be heavily contested by both enemy air defense and EW capabilities. Given
the altitudes required to operate tactical and larger unmanned systems and the density of enemy air defense
and EW capabilities in the close and deep battle areas, Army units will not be able to rely on freedom of
action when employing UASs and must plan for significant attrition. Conducting detailed IPB and
understanding enemy capabilities is essential to developing the best AOs for UASs to safely and effectively
operate during the initial stages of a conflict. In contested environments, using maximum standoff ranges
provided by Gray Eagles instead of the electro-optical sights increases stand off and survivability. +This
requires both operator and analyst training to maximize the effectiveness of this capability. As an enemy is
displaced from positions of advantage, Army forces must be trained to rapidly understand and exploit
windows of opportunity where UASs can be effectively employed in the close, deep, and consolidation areas.

INTELLIGENCE
2-305. Organic Army information collection assets, both ground and air, will be contested during operations
against capable conventional and hybrid peer threats. Furthermore, Army units cannot depend upon
uninterrupted access to national intelligence assets due to likely disruption of the cyberspace and space
domain-based enablers. Ground forces will need to fight for information by developing the situation in
contact, and they must train to operate with less than perfect situational awareness at the tactical level. To
avoid becoming surprised, units should assume during training that they are under continuous observation
and develop tactics that account for the reality that the enemy may have equal or better situational awareness
than they do.
2-306. The preparation of intelligence organizations and staffs to cope with lethal operational environments
that support rapid decision making must occur as part of operations to shape. The ability to discern adversary
warnings and enemy intentions and capabilities across all of the domains informs the commander’s decisions
and realistic assessment of operational and tactical risk. Balancing situational awareness with the requirement
to maintain a high operational tempo must be practiced before the commencement of hostilities.

FIRES
2-307. +The ability to deliver fires against peer threats requires units that can stealthily position themselves
to create effects and then rapidly reposition or disperse to avoid effective counterfire. The superior range and
lethal effects of many enemy missile, rocket, and cannon systems requires significant training to overcome,
and they require a combined arms approach to execution. Enemies able to contest the cyberspace domain can
disrupt the mission command and targeting process for friendly artillery units. To prevent this, units require
training in analog methods of employment. Army units cannot always depend upon Army aviation or joint
fires to solve tactical problems, so unit organic fires elements (including tube, rocket, and mortar units) must
become proficient in maneuvering into positions of advantage to shoot and then rapidly displace.
2-308. Degraded networks and reduced situational awareness demand training in the clearance of fires,
effective airspace management, and the development of trust between firing and maneuvering units.
Determining the balance between speed, accuracy, and fratricide avoidance requires repetitive training under
realistic conditions. Doing so as part of a multinational coalition is even more challenging, and use of fires
should be rehearsed during operations to shape as often as possible. Integration of fires systems with unified
action partners can be time consuming, but it is vital to success during multinational operations.

Counterfire
2-309. Some peer threats can deliver fires over an extended distance and at a sustained volume. +Threat
forces also have the equipment and tactics to execute effective counterfire. Training requirements for counter-
fire and the displacement of weapons locating radars and sequencing are integrated into all combined arms
training exercises. If acquisition radar systems are continuously radiating, they will be targeted by the enemy.
Sensor management must be planned and rehearsed, and cueing schedules developed and actively pursued.
Training for timely displacements of field artillery units is essential for successful operations. Field artillery
units move well forward prior to an attack, with synchronized plans to displace by echelon to provide

6 December 2017 FM 3-0, C1 2-61


Chapter 2

FRQWLQXRXVILUHVWRWKHVXSSRUWHGIRUFH'LVSODFHPHQWVVKRXOGPD[LPL]HFRQWLQXRXVGHOLYHU\RIILUHVDQG
WKH\VKRXOGEHFRPSOHWHGDVUDSLGO\DVSRVVLEOH

$LU'HIHQVH
 $GYHUVDU\ DQWLDFFHVVV\VWHPVLQFOXGH ,$'6V GHVLJQHG WR DOORZ WKHLU DLU DQG PLVVLOHIRUFHVWR
DSSURDFKDQG HQJDJHIULHQGO\IRUZDUGXQLWV)LUHVXQLWVWUDLQWRSURWHFWIRUFHVIURPURFNHWVDLUDQG PLVVLOH
WKUHDWV LQFOXGLQJ 8$6  DQG SURYLGH ZDUQLQJV ZKLOH GHIHQGLQJ RWKHUIRUFHVIURP DLU WKUHDWV DV WKH\
PDQHXYHU 6KRUWUDQJHDLUGHIHQVHXQLWVDUHLQWHJUDWHGLQWRPDQHXYHUIRUFHVGXULQJILHOGWUDLQLQJH[HUFLVHV
ZKHQHYHUSRVVLEOH2WKHUXQLWVGHYHORSWUDLQLQJSODQVWRLQWHJUDWHGLUHFWILUHZHDSRQVLQWRH[LVWLQJDLUGHIHQVH
SODQV 6HH)0IRUPRUHLQIRUPDWLRQRQDLUGHIHQVH 

6867$,10(17
 6XVWDLQPHQWXQLWVPXVWWUDLQWRVXSSRUWIRUFHVLQDQH[SHGLWLRQDU\DXVWHUHRSHUDWLRQDOHQYLURQPHQW
7KUHDWVFRQVLGHU86VXVWDLQPHQWXQLWV+37V&RPPDQGHUVFRQGXFWWUDLQLQJXQGHUUHDOLVWLFFRQGLWLRQVWKDW
IRUFHVXVWDLQPHQWOHDGHUVWRSUHSDUHWRRYHUFRPHDQDGDSWLYHDJLOHHQHP\6XVWDLQPHQWXQLWVPXVWWUDLQWR
RYHUFRPH WKH FKDOOHQJHV SUHVHQWHG E\ LQWHUGLFWHG URDG QHWZRUNV DQG GHJUDGHG FRPPXQLFDWLRQV DQG
LQIRUPDWLRQV\VWHPVZKLOHSURYLGLQJRSHUDWLRQDOUHDFKHQGXUDQFHDQGIUHHGRPRIDFWLRQWRPDQHXYHUIRUFHV
7UDLQLQJ PXVWDOVRLQFOXGHWKHUHFRQVWLWXWLRQDQG UHJHQHUDWLRQRIFRPEDWIRUFHV6XVWDLQPHQWOHDGHUVDQG
VWDIIVPXVW EH SURILFLHQWWDFWLFLDQVDQG VXVWDLQHUVWRDQWLFLSDWHUHTXLUHPHQWVDQG HQVXUHVXSSRUWHGIRUFHV
PDLQWDLQFRPEDWDQGRSHUDWLRQDOUHDGLQHVV
 6XVWDLQPHQWWUDLQLQJLVLQFOXGHGDVSDUWRIPXOWLHFKHORQILHOGWUDLQLQJH[HUFLVHV$OOXQLWVDQG WKHLU
VXSSRUWLQJVXVWDLQPHQWHOHPHQWVWUDLQRQUHVXSSO\ LQFOXGLQJGHOLYHU\RIORJLVWLFSDFNDJHV YHKLFOHUHFRYHU\
FRQYR\ RSHUDWLRQVDQG HVWDEOLVKLQJDQG RSHUDWLQJ ERWK XQLW PDLQWHQDQFH FROOHFWLRQSRLQWVDQG FDVXDOW\
FROOHFWLRQSRLQWV (VWDEOLVKLQJ IRUZDUG DLU UHIXHOLQJSRLQWVDQG WUDLQLQJ WRUHIXHORQ WKH PRYH DUHRWKHU
H[DPSOHVRILQWHJUDWLQJVXVWDLQPHQWLQWRFROOHFWLYHWUDLQLQJHYHQWV
 /DUJHVFDOHFRPEDWRSHUDWLRQVZLOOFUHDWHKLJKGHPDQGVIRUORJLVWLFVSHUVRQQHOVHUYLFHVDQG$UP\
KHDOWKVHUYLFHV6XVWDLQLQJXQLWVLQWKHFRUSVGLYLVLRQDQG EULJDGH$2VZLOOLQFXUVLJQLILFDQWULVNGXHWRWKH
SUHVHQFHRIFRQYHQWLRQDODQGK\EULG WKUHDWV6XVWDLQPHQWXQLWVPXVWEHHTXLSSHGVWUXFWXUHGWUDLQHGDQG
SUHSDUHGWRH[HFXWHUHFRQQDLVVDQFHDQGVHFXULW\WDVNVGXULQJ ODUJHVFDOHFRPEDWRSHUDWLRQVWRHQVXUHWKH\
FDQFRPSOHWHVXVWDLQPHQWPLVVLRQVZKHQPDQHXYHUVXSSRUWLVXQDYDLODEOH

3527(&7,21
 &RPPDQGHUVPXVW GHOLEHUDWHO\SODQ DQG WUDLQ WRHQJDJH HQHP\ IRUFHV ZKLOHSUHVHUYLQJFRPEDW
SRZHU 5HDGLQHVV UHTXLUHV FRPPDQGHUV WR FOHDUO\ DUWLFXODWH SURWHFWLRQ SULRULWLHVDV WKH\ UHODWH WR WKH
DGYHUVDU\¶V DQG HQHP\¶VFROOHFWLRQFDSDELOLWLHVWRREVHUYHIULHQGO\JURXQG IRUFHVXVLQJVSDFHF\EHUVSDFH
DLUDQG JURXQGEDVHGPHDQV8QLWVQHHGWREHSURILFLHQWLQWKHGHYHORSPHQWRIWKHSURWHFWLRQSULRULWL]DWLRQ
OLVWZKLFKLQFOXGHVWKHGHIHQGHGDVVHWOLVW
 $UP\IRUFHVPXVWHQIRUFHFDPRXIODJHOLJKWGLVFLSOLQHDQGPLQLPDOHOHFWURPDJQHWLFVLJQDWXUHVLQ
WUDLQLQJ'HWHFWLRQULVNVGHVWUXFWLRQ7KH DGYHUVDULHV¶XVHRI8$6 LQFUHDVHVWKHLUDELOLW\WRGHWHFWIULHQGO\
IRUFHV7KHUHIRUH$UP\XQLWVPXVWEHDEOHWRUHSRVLWLRQUDSLGO\WRFRPSOLFDWHHQHP\WDUJHWLQJHIIRUWV8QLWV
PXVW EH SURILFLHQWLQ WKHXVH RIDFWLYH DQG SDVVLYH SURWHFWLRQPHDVXUHVDQG OHDGHUVPXVW HQIRUFHWKHVH
PHDVXUHVWRHQVXUHFRPSOLDQFH'LVFLSOLQHLVIRXQGDWLRQDOWRSURWHFWLRQ
 $OOPLOLWDU\DFWLYLWLHVKDYH VRPHLQKHUHQWRURUJDQLFSURWHFWLRQFDSDELOLW\ LQFOXGLQJVXUYLYDELOLW\
DQWLWHUURULVPPHDVXUHVORFDOVHFXULW\DQG DUHDVHFXULW\ 6RPHSURWHFWLRQLVDFKLHYHGWKURXJKPRYHPHQW
DQG PDQHXYHU E\ FKDQJLQJ WHPSRWDNLQJ HYDVLYH DFWLRQRUPDQHXYHULQJ WRJDLQ SRVLWLRQDODGYDQWDJH LQ
UHODWLRQ WR D WKUHDW )RUPDWLRQV RIWHQ DFTXLUH SURWHFWLRQ XVLQJ WHUUDLQ ZHDWKHU RU GDUNQHVV WR PDVN
PRYHPHQW
 6RPHWHUUDLQIHDWXUHDWWULEXWHVRIIHUPRUHVXUYLYDELOLW\WKDQRWKHUVDQGWKH\FDQFRPSOHPHQWIRUFH
SRVLWLRQLQJ&RPPDQGHUVFDQ JDLQ SURWHFWLRQIURPHQHP\LQGLUHFWILUHE\ GLVSHUVLQJ&3VZKLOH WKH\ FDQ
DOVRJDLQSURWHFWLRQIURPHQHP\UHFRQQDLVVDQFHE\FRQFHQWUDWLQJ&3VLQPRUHSHUPLVVLYHHQYLURQPHQWV

2-62 FM 3-0, C1 6 December 2017


$UP\(FKHORQV&DSDELOLWLHVDQG7UDLQLQJ

 3URWHFWLRQRIIULHQGO\QHWZRUNVUHTXLUHVGHYHORSLQJDQGIROORZLQJSROLF\DQGSURFHGXUHV$GYHUVDU\
HOHFWURQLFZDUIDUHFDSDELOLWLHVFDQGLVUXSWERWKGDWDDQGYRLFHQHWZRUNV&RPPDQGHUVHQIRUFHWKHSURSHU
H[HFXWLRQ RI GULOOV GHVLJQHG WR PLWLJDWH DWWDFNV 0LWLJDWLQJ DWWDFNV HQDEOHV PLVVLRQ FRPPDQG ILUHV DQG
LQIRUPDWLRQFROOHFWLRQE\IULHQGO\QHWZRUNV3ROLFLHVDQGSURFHGXUHVVKRXOGDOVRDGGUHVVHVWDEOLVKLQJVHFXUH
FRPPXQLFDWLRQVZLWKDSSURSULDWHPXOWLQDWLRQDOSDUWQHUV
 7KHOLNHOLKRRGRIZHDSRQVRIPDVVGHVWUXFWLRQEHLQJHPSOR\HGE\DQHQHP\LVVLJQLILFDQWGXULQJ
ODUJHVFDOH FRPEDW RSHUDWLRQV SDUWLFXODUO\ DJDLQVW FULWLFDO IULHQGO\ PLVVLRQ FRPPDQG QRGHV PDVVHG
IRUPDWLRQVDQGFULWLFDOLQIUDVWUXFWXUH&RPPDQGHUVEDODQFHWKHQHHGWRPDVVHIIHFWVDJDLQVWWKHUHTXLUHPHQW
WRFRQFHQWUDWHIRUFHVDQGHQVXUHDVPXFKGLVSHUVDODVLVWDFWLFDOO\SUXGHQWWRDYRLGSUHVHQWLQJOXFUDWLYHWDUJHWV
IRUHQHP\ZHDSRQVRIPDVVGHVWUXFWLRQ$UP\XQLWVPXVWWUDLQHIIHFWLYHO\WRRSHUDWHXQGHU&%51FRQGLWLRQV
2SHUDWLQJGXULQJ&%51FRQWDPLQDWLRQVKRXOGEHDWUDLQLQJFRQGLWLRQQRWVLPSO\DWDVN
 &RPPDQGHUV DQG VWDIIV PXVW DOVR V\QFKURQL]H LQWHJUDWH DQG RUJDQL]H DGGLWLRQDO SURWHFWLRQ
FDSDELOLWLHVDQGUHVRXUFHVWKDWSUHVHUYHFRPEDWSRZHU7KHLQWHJUDWLRQDQGV\QFKURQL]DWLRQRIDUHDDQGORFDO
VHFXULW\DFWLYLWLHV236(&DQGF\EHUVSDFHDQG(:RSHUDWLRQVZLWKWKHSURWHFWLRQZDUILJKWLQJIXQFWLRQWDVNV
HQDEOH FRPPDQGHUV WR SURWHFW IRUFHV FULWLFDO DVVHWV LQIRUPDWLRQ DQG FRPEDW SRZHU &DPRXIODJH DQG
FRQFHDOPHQWDFWLYLWLHVDUHLQGLYLGXDORUXQLWUHVSRQVLELOLWLHVDQGJRYHUQHGE\VWDQGDUGRSHUDWLQJSURFHGXUHV
7KH\DOVRSOD\DUROHLQWDFWLFDOGHFHSWLRQWRPLVOHDGWKHHQHP\¶VLQIRUPDWLRQFROOHFWLRQFDSDELOLWLHV0HUHO\
KLGLQJIRUFHVPD\QRWEHDGHTXDWHDVDQHQHP\PD\QHHGWR ³VHH´WKHVHIRUFHVHOVHZKHUH,QVXFKFDVHV
FRYHUDQGFRQFHDOPHQWFDQKLGHWKHSUHVHQFHRIIULHQGO\IRUFHVEXWGHFR\SODFHPHQWVKRXOGEHFRRUGLQDWHG
DVSDUWRIWKHGHFHSWLRQLQVXSSRUWRI236(&




6 October 2017 FM 3-0 2-63


This page intentionally left blank.


Chapter 3
Operations to Shape
7KH KLVWRU\ RI IDLOXUH LQ ZDU FDQ EH VXPPHG XS LQ WZR ZRUGV 7RR /DWH 7RR ODWH LQ
FRPSUHKHQGLQJWKHGHDGO\SXUSRVHRIDSRWHQWLDOHQHP\WRRODWHLQUHDOL]LQJWKHPRUWDO
GDQJHUWRRODWHLQSUHSDUHGQHVVWRRODWHLQXQLWLQJDOOSRVVLEOHIRUFHVIRUUHVLVWDQFHWRR
ODWHLQVWDQGLQJZLWKRQH
VIULHQGV
*HQHUDO'RXJODV0DF$UWKXU

7KLV FKDSWHU SURYLGHV DQ RYHUYLHZ RI RSHUDWLRQV WR VKDSH ,W GLVFXVVHV RSHUDWLRQV
DVVHVVPHQWV DQG GHVFULEHV WKUHDW DFWLYLWLHV SULRU WR DUPHG FRQIOLFW$ GLVFXVVLRQ RI
VKDSLQJDFWLYLWLHVSHUIRUPHGE\$UP\IRUFHVIROORZV7KHFKDSWHUWKHQGHVFULEHV$UP\
RUJDQL]DWLRQVDQGWKHLUUROHVGXULQJRSHUDWLRQVWRVKDSH7KHFKDSWHUFRQFOXGHVZLWKD
GLVFXVVLRQRIFRQVROLGDWHJDLQVGXULQJRSHUDWLRQVWRVKDSH

29(59,(:2)23(5$7,216726+$3(
 2SHUDWLRQV WR VKDSH FRQVLVW RI YDULRXV ORQJWHUP PLOLWDU\ HQJDJHPHQWV VHFXULW\ FRRSHUDWLRQ DQG
GHWHUUHQFHPLVVLRQVWDVNVDQGDFWLRQVLQWHQGHGWRDVVXUHIULHQGVEXLOGSDUWQHUFDSDFLW\DQGFDSDELOLW\DQG
SURPRWH UHJLRQDO VWDELOLW\ 2SHUDWLRQV WR VKDSH W\SLFDOO\ RFFXU LQ VXSSRUW RI WKH JHRJUDSKLF FRPEDWDQW
FRPPDQGHU¶V *&&¶V  WKHDWHU FDPSDLJQ SODQ 7&3  RU WKH WKHDWHU VHFXULW\ FRRSHUDWLRQ SODQ 7KHVH
RSHUDWLRQVKHOSFRXQWHUDFWLRQVE\DGYHUVDULHVWKDWFKDOOHQJHWKHVWDELOLW\RIDQDWLRQRUUHJLRQFRQWUDU\WR
86LQWHUHVWV2SHUDWLRQVWRVKDSHRFFXUDFURVVWKHMRLQWSKDVLQJPRGHO 6HHSDUDJUDSKVWKURXJK 
8OWLPDWHO\RSHUDWLRQVWRVKDSHIRFXVRQIRXUSXUSRVHV
z 3URPRWLQJDQGSURWHFWLQJ86QDWLRQDOLQWHUHVWVDQGLQIOXHQFH
z %XLOGLQJSDUWQHUFDSDFLW\DQGSDUWQHUVKLSV
z 5HFRJQL]LQJDQGFRXQWHULQJDGYHUVDU\DWWHPSWVWRJDLQSRVLWLRQVRIUHODWLYHDGYDQWDJH
z 6HWWLQJFRQGLWLRQVWRZLQIXWXUHFRQIOLFWV

 2SHUDWLRQVWRVKDSHURXJKO\FRUUHODWHZLWKWKHDWHUVKDSLQJDFWLYLWLHVGHVFULEHGLQ -37KH\DOVR


LQFOXGHXQLWKRPHVWDWLRQDFWLYLWLHVLQFOXGLQJPDLQWDLQLQJRSHUDWLRQDOUHDGLQHVVWUDLQLQJDQGFRQWLQJHQF\
SODQQLQJ &RPELQHG H[HUFLVHV DQG WUDLQLQJ PLOLWDU\ H[FKDQJH SURJUDPV DQG IRUHLJQ PLOLWDU\ PHPEHU
DWWHQGDQFHDW$UP\VFKRROVDUHH[DPSOHVRIKRPHVWDWLRQVKDSLQJDFWLYLWLHV
 2SWLPDOO\VKDSLQJDFWLYLWLHVHQVXUHUHJLRQVUHPDLQVWDEOHDFULVLVGRHVQRWRFFXUDQGWKHUHLVQRQHHG
IRU DQ HVFDODWLRQ RI IRUFH 8SRQ DFWLYDWLRQ RI D MRLQW RSHUDWLRQ RUGHU 2325'  IRU D FULVLV RU D OLPLWHG
FRQWLQJHQF\RSHUDWLRQ$UP\RSHUDWLRQVWRVKDSHRFFXUVLPXOWDQHRXVO\ZLWKLQDMRLQWRSHUDWLRQVDUHD -2$ 
RUGHVLJQDWHGWKHDWHURIRSHUDWLRQVDQGDFURVVWKH*&&¶VDUHDRIUHVSRQVLELOLW\ $25 
 )LJXUHRQSDJHGHSLFWVVKDSLQJDQGSUHYHQWDFWLYLWLHVLQDQHQYLURQPHQWRIFRRSHUDWLRQDQG
FRPSHWLWLRQ$UP\IRUFHVDVSDUWRIDMRLQWWHDPDQGDODUJHUZKROHRIJRYHUQPHQWHIIRUWFRQGXFWVKDSLQJ
DFWLYLWLHVWRDVVXUHIULHQGVEXLOGSDUWQHUVDQGSUHYHQWGHWHURUWXUQEDFNHVFDODWRU\DFWLYLW\E\DGYHUVDULHV
$UP\RSHUDWLRQVWRVKDSHDOLJQZLWKPLOLWDU\HQJDJHPHQWDQGVHFXULW\FRRSHUDWLRQDFWLYLWLHV$UP\SUHYHQW
DFWLYLWLHVDOLJQZLWKGHWHUUHQFHDQGFULVLVUHVSRQVHDQGOLPLWHGFRQWLQJHQF\RSHUDWLRQV 6HHFKDSWHUIRUD
GLVFXVVLRQRIRSHUDWLRQVWRSUHYHQW 

6 October 2017 FM 3-0 3-1


Chapter 3

Figure 3-1. Shaping activities within an environment of cooperation and competition

 3URMHFWLQJ 86 PLOLWDU\ IRUFH UHTXLUHV H[WHQVLYH XVH RI LQWHUQDWLRQDO ZDWHUV LQWHUQDWLRQDO DLUVSDFH
VSDFH DQG F\EHUVSDFH $V VXFK VKDSLQJ DFWLYLWLHV KHOS DVVXUH RSHUDWLRQDO DFFHVV IRU FULVLV UHVSRQVH DQG
FRQWLQJHQF\RSHUDWLRQVGHVSLWHFKDQJLQJ86RYHUVHDVGHIHQVHSRVWXUHDQGWKHJURZWKRIDQWLDFFHVV $ 
DQG DUHD GHQLDO $'  FDSDELOLWLHV DURXQG WKH JOREH 7KH PRUH WKH *&& FDQ SURPRWH IDYRUDEOH DFFHVV
FRQGLWLRQV LQ DGYDQFH DFURVV WKH $25 DQG LQ SRWHQWLDO RSHUDWLRQDO DUHDV WKH EHWWHU 6KDSLQJ DFWLYLWLHV
LQYROYLQJ$UP\IRUFHVLQVXSSRUWRIWKH*&&WRSURPRWHIDYRUDEOHDFFHVVLQFOXGH²
z .H\OHDGHUHQJDJHPHQWV
z %LODWHUDODQGPXOWLQDWLRQDOH[HUFLVHVWRLPSURYHPXOWLQDWLRQDOLQWHURSHUDELOLW\DQGRSHUDWLRQV
z 0LVVLRQVWRWUDLQDGYLVHDQGHTXLSIRUHLJQIRUFHV
z 1HJRWLDWLRQV WR VHFXUH EDVLQJ DQG WUDQVLW ULJKWV HVWDEOLVK UHODWLRQVKLSV DQG IRUPDOL]H VXSSRUW
DJUHHPHQWV
z 7KHXVHRIJUDQWVDQGFRQWUDFWVWRLPSURYHUHODWLRQVKLSVZLWKDQGVWUHQJWKHQSDUWQHUQDWLRQV
z 'HVLJQLQJLQWHURSHUDELOLW\LQWRDFTXLVLWLRQSURJUDPV
z (OHFWURPDJQHWLFVSHFWUXP (06 PDSSLQJRIDGYHUVDU\FDSDELOLWLHV

 7KHWKHDWHUDUP\SURYLGHVDFULWLFDOUROHIRUWKH*&&LQJDLQLQJRSHUDWLRQDODFFHVVDQGSRVLWLRQVRI
UHODWLYHDGYDQWDJHWKURXJKRXWWKH$25*DLQLQJSRVLWLRQVRIUHODWLYHDGYDQWDJHGXULQJRSHUDWLRQVWRVKDSH
LQYROYHV DQDO\VLV RI FXUUHQW DGYHUVDU\ LQWHQW DQG FDSDELOLWLHV DQG SRWHQWLDO IXWXUH DGYHUVDU\ LQWHQW DQG
FDSDELOLWLHV7KURXJKWKLVDQDO\VLVFRPPDQGHUVFDQUHFRPPHQGDFWLRQVWKDWPD\LPSHGHDGYHUVDU\JRDOVRU
FRQYLQFHDGYHUVDULHVWRVHHNDOWHUQDWLYHFRXUVHVRIDFWLRQPRUHIDYRUDEOHWR86LQWHUHVWV)ULHQGO\DFWLRQV
FRXOG LQYROYH SK\VLFDO SRVLWLRQLQJ RI IRUFHV WR EORFN SRWHQWLDO DYHQXHV RI DSSURDFK RU WUDQVPLVVLRQ RI
PHVVDJHVWKDWVHUYHWRFRXQWHUDQDGYHUVDU\¶VLQWHQWGHFLVLRQPDNLQJDQGLQIOXHQFHRQSRSXODWLRQV

3-2 FM 3-0 6 October 2017


2SHUDWLRQVWR6KDSH

 (IIHFWLYHWUDLQLQJDQG OHDGHUGHYHORSPHQWIRUPWKHFRUQHUVWRQHRIRSHUDWLRQDOUHDGLQHVVDQGWKH\DUH


SDUWRI$UP\RSHUDWLRQVWRVKDSH7KH SULRULW\IRFXVIRU$UP\ IRUFHVQRWFRPPLWWHGWRVSHFLILFFRPEDWDQW
FRPPDQGHUUHTXLUHPHQWVLV EXLOGLQJ DQG VXVWDLQLQJ UHDGLQHVVWRFRQGXFW ODUJHVFDOHFRPEDWRSHUDWLRQV
8QLWVOHDGHUVDQG6ROGLHUVDFKLHYHWKHWDFWLFDODQGWHFKQLFDOFRPSHWHQFHWKDWEXLOGVPXWXDOWUXVWHVSULWGH
FRUSVDQG DGDSWDELOLW\E\ RYHUFRPLQJFKDOOHQJHVWKURXJKUHDOLVWLFWUDLQLQJ 6HHFKDSWHUIRUDGLVFXVVLRQ
RQWUDLQLQJIRUODUJHVFDOHJURXQGFRPEDW 

6HFXULW\)RUFH$VVLVWDQFH DQG/RQJ7HUP&RQVROLGDWLRQ RI
*DLQV&RORPELD

86 VXSSRUW WR &RORPELD DV LW FRQIURQWHG WKH GHVWDELOL]LQJ FKDOOHQJHV RI WKH
5HYROXWLRQDU\ $UPHG)RUFHVRI&RORPELD )$5& SURYLGHV DXVHIXO H[DPSOH RIKRZ
VHFXULW\ DVVLVWDQFH DQG VHFXULW\ IRUFH DVVLVWDQFH DV SDUW RI RSHUDWLRQV WR VKDSH
HQDEOHG DSDUWQHU QDWLRQ WRGHIHDW DGHFDGHVORQJ LQVXUJHQF\VHFXUHLWVSRSXODWLRQ
DQG XOWLPDWHO\ FRQVROLGDWH JRYHUQPHQW FRQWURO RYHU WKH FRXQWU\:KLOHWKHUH ZDV QR
VHULRXVLQWHQWLRQWRLQLWLDWHODUJHVFDOHFRPEDWRSHUDWLRQVWKH8QLWHG6WDWHVZDVZLOOLQJ
WRFRQGXFWDZLGHYDULHW\RIRWKHUW\SHVRIRSHUDWLRQV WRDFKLHYH LWVDLPRISUHYHQWLQJ
WKHRYHUWKURZ RIWKH&RORPELDQ JRYHUQPHQW 7KURXJKYDULRXVORQJWHUP SURJUDPVWKH
8QLWHG 6WDWHV DLGHG &RORPELDQ IRUFHVLQ WKHLUVWUXJJOH DJDLQVW DSURWUDFWHG EORRG\
LQVXUJHQF\WKDW DW WLPHV FRQWUROOHG VLJQLILFDQWDUHDV RIWKH FRXQWU\7KRVH SURJUDPV
DGDSWHG WR FRQGLWLRQV RQ WKH JURXQG DQG FRQWULEXWHG WR &RORPELDQ JRYHUQPHQW
VXFFHVVHV DJDLQVW WKH )$5& 7KH\DOVR FUHDWHGSRVLWLRQV RIUHODWLYH DGYDQWDJH WKDW
WKH JRYHUQPHQW HQDEOHG E\ 86 VXSSRUW FRXOG H[SORLW 7KH $UP\’V GLUHFW HIIRUWV
KHOSHG V\QFKURQL]H WKH FRPELQDWLRQ RI SK\VLFDO DQG FRJQLWLYH PHDQV WR DFKLHYH
REMHFWLYHV VXFK DV UHWDLQLQJ SRSXODU VXSSRUW RI WKH JRYHUQPHQW DQG H[SDQGLQJ DQ
DOWHUQDWLYH QDUUDWLYH WRWKH)$5&’VLGHDOV

$UP\ IRUFHV SOD\HG D VLJQLILFDQW UROH LQ WKH SODQQLQJ DQG H[HFXWLRQ RI WKH 86
VXSSRUWLQJ HIIRUW 6HFXULW\ IRUFH DVVLVWDQFH KHOSHG GHYHORS FRPSHWHQW ODZ
HQIRUFHPHQW DQGPLOLWDU\XQLWV7KH 8QLWHG 6WDWHV SURYLGHG WHFKQLFDODQGRSHUDWLRQDO
DVVLVWDQFHWR&RORPELDQ 1DWLRQDO 3ROLFHDQGPLOLWDU\IRUFHVDORQJZLWKIXOO\LQWHJUDWLQJ
WKHPLOLWDU\DSSURDFKLQWRLQWHUDJHQF\HIIRUWV,PSURYHG SROLFHDQGPLOLWDU\RSHUDWLRQV
ZHDNHQHG WUDQVQDWLRQDO GUXJ FDUWHOV DQGWKH )$5&HQKDQFLQJ &RORPELD’V VHFXULW\
7KLV FRPELQDWLRQ RIKLJKTXDQWLW\ DQG KLJKTXDOLW\ HQJDJHPHQW EROVWHUHG &RORPELDQ
FDSDFLW\'HFDGHV RI H[SRVXUH WR 86 VSHFLDO RSHUDWLRQV IRUFHV 62)  SHUVRQQHO
WRJHWKHU ZLWK WUDLQLQJ DQG HGXFDWLRQDO SURJUDPV JDYH &RORPELDQ VHFXULW\
SURIHVVLRQDOV QHZIRXQG WHFKQLFDO H[SHUWLVH ZKLFK HQDEOHG WKHP WR PDNH XVH RI
DGYDQFHG WHFKQRORJLHV DQG WHFKQLTXHV SURYLGHG E\ WKH 8QLWHG 6WDWHV 7KHVH
FDSDFLW\EXLOGLQJDFWLYLWLHV DOVR LPSODQWHG LQULVLQJJHQHUDWLRQV RI&RORPELDQ PLOLWDU\
DQGJRYHUQPHQWDO SHUVRQQHO FHUWDLQFXOWXUDODWWULEXWHV WKDWPDGH WKHP PRUHHIIHFWLYH
LQFXUUHQWDQGIXWXUHRSHUDWLRQV

23(5$7,216$66(660(176
$OO SODQQLQJSDUWLFXODUO\VWUDWHJLFSODQQLQJPXVW SD\ DWWHQWLRQWR WKH FKDUDFWHU RI
FRQWHPSRUDU\ZDUIDUH
&DUOYRQ&ODXVHZLW]

 2SHUDWLRQVDVVHVVPHQWVDUHDQLQWHJUDOSDUWRISODQQLQJ DQG H[HFXWLRQRIDQ\ RSHUDWLRQIXOILOOLQJWKH


UHTXLUHPHQWIRULGHQWLI\LQJDQGDQDO\]LQJ FKDQJHVLQDQRSHUDWLRQDOHQYLURQPHQW 2( DQGGHWHUPLQLQJWKH
SURJUHVV RI D FDPSDLJQ RU RSHUDWLRQ 7&3V DQG FRXQWU\ SODQV DUH FRQWLQXRXVO\ LQ VRPH VWDJH RI
LPSOHPHQWDWLRQ 2SHUDWLRQV DVVHVVPHQWV KHOSV FRPEDWDQW FRPPDQGHUV DQG VXERUGLQDWH FRPSRQHQW
FRPPDQGHUVGHYHORSDGDSWDQGUHILQHWKHVHSODQV

6 December 2017 FM 3-0, C1 3-3


Chapter 3

 &ROOHFWLQJLQIRUPDWLRQWRIDFLOLWDWHXQGHUVWDQGLQJRIWKHRSHUDWLRQDOYDULDEOHVSURYLGHVWKHEDVLVIRU
RSHUDWLRQVDVVHVVPHQWV$ FRPSOHWHXQGHUVWDQGLQJ RIDQ 2( PD\ EH KLQGHUHG LI WKH IRFXVLV VROHO\RQ
DGYHUVDU\LQIRUPDWLRQDQGDFWLRQV$GGLWLRQDOLQIRUPDWLRQFROOHFWLRQZLWKDIRFXVRQWKHFLYLOLDQSRSXODWLRQ
LVRIWHQUHTXLUHGIRUDQGLVNH\WRLQIOXHQFLQJDQGPRELOL]LQJWKHSRSXODWLRQDQG WKHFRQVROLGDWLRQRIJDLQV
3HRSOHDQGSRSXODWLRQVZLWKLQ DUHJLRQFDQSUHVHQWVLJQLILFDQWVHFXULW\FKDOOHQJHV2SHUDWLRQVWRVKDSHDUH
DFFRPSOLVKHGWKURXJKDYDULHW\RIPLVVLRQVWDVNVDQGDFWLRQVDQGWKH\DUHRIWHQIRFXVHGRQXQGHUVWDQGLQJ
HQJDJLQJLQIOXHQFLQJFKDQJLQJRUFRXQWHULQJKXPDQSHUFHSWLRQV7KLVUHTXLUHVVWXG\DQGDQDO\VLVWRHQVXUH
WKHULJKWGHFLVLRQVDQG DFWLRQVDUHWDNHQ DWWKHULJKWWLPHWRJHWSRVLWLYHRXWFRPHV7KH FRPSOH[LW\RIWKH
KXPDQ DVSHFWVRIFRQIOLFWDUHG\QDPLF 7KHUHIRUHRSHUDWLRQVWRVKDSHPXVWEHSHUVLVWHQWDQGFRQVLVWHQWWR
PDLQWDLQFRQWLQXLW\DQGWKH\PXVWEHDGMXVWHGEDVHGRQFKDQJLQJFRQGLWLRQV
 2SHUDWLRQV WR VKDSH SURYLGH RSSRUWXQLWLHV IRU FRQYHQWLRQDO IRUFHV DQG 62) LQWHUGHSHQGHQFH
LQWHJUDWLRQDQG LQIRUPDWLRQVKDULQJ $UP\ VSHFLDORSHUDWLRQVIRUFHV $562)  ODUJHO\ IRFXVRQ KXPDQ
DVSHFWVRIDQ2(DQGKDYH VSHFLILFFDSDELOLWLHVWKDWIDFLOLWDWHWKLVIRFXV%\OHYHUDJLQJ$562) XVHRIIRXU
RSHUDWLRQDOWHQHQWV XQGHUVWDQGLQJ KXPDQ IDFWRUVRIWKH 2( LQFRUSRUDWLQJKXPDQ IDFWRUVLQWR SODQQLQJ
SDUWQHUVKLSDFWLYLWLHVDQG HQDEOHPHQWDQG RSHUDWHZLWK DQG WKURXJKXQLILHGDFWLRQSDUWQHUV FRPPDQGHUV
FDQ LQFRUSRUDWHKXPDQ DVSHFWVLQWR WKHLUWUDLQLQJ SODQQLQJ DQG H[HFXWLRQRI RSHUDWLRQVWR VKDSH 6HH
$'53IRUGHWDLOHGLQIRUPDWLRQRQ$562)RSHUDWLRQDOWHQHWV 

7+5($76
 7KUHDWVGHVLUHWRIXUWKHUWKHLULQWHUHVWVDQGDFKLHYHWKHLUJRDOVZLWKRXWILJKWLQJ,I WKUHDWDFWLRQVDUH
VXFFHVVIXO DQGDUHFRXQWHUWR86 LQWHUHVWVWKH8QLWHG 6WDWHVPD\ FRQVLGHULQWURGXFLQJDUPHG IRUFHVWR
UHYHUVHRUVWDELOL]HWKHVLWXDWLRQ7KUHDW JRDOVSULRUWRWKLVLQWURGXFWLRQDUHFHQWHUHGRQSUHYHQWLQJWKLVDQG
LIWKDWIDLOVWRFRQVWUDLQWKDWLQWURGXFWLRQLQVXFKDZD\ DVWRSUHYHQWWKHVXFFHVVRID86MRLQWRSHUDWLRQ
7KUHDWVZLOOIRFXVRQWKHIROORZLQJPHWKRGV
z 7KUHDW LQIRUPDWLRQ ZDUIDUH DFWLYLWLHV ZLOO PDQLSXODWH WKH DFTXLVLWLRQ WUDQVPLVVLRQ DQG
SUHVHQWDWLRQRILQIRUPDWLRQLQVXFKDZD\WKDWVXLWVWKHWKUHDW¶VSUHIHUUHGGHFLVLRQRXWFRPHV
z 7KUHDWV ZLOO IRVWHULQVWDELOLW\ LQ NH\ DUHDV DQG DPRQJ NH\ JURXSV LQ VXFK D ZD\ WKDW UHJLRQDO
VHFXULW\GRHVQRWPDWFK86RSHUDWLRQDOUHTXLUHPHQWV
z 7KUHDWV ZLOO DFW XSRQ SDUWQHUVKLSV WRUHGXFHWKH DELOLW\ RIWKH 8QLWHG 6WDWHV WR RSHUDWHLQ LWV
SUHIHUUHGFRPELQHGMRLQWDQGLQWHUDJHQF\PDQQHU
z 7KHIRFXVRISUHFRQIOLFWSUHFOXVLRQDFWLYLWLHVLVWKURXJKQRQOHWKDOPHDQV7KUHDWVZLOOXQGHUPLQH
UHODWLRQVKLSVUDLVH SROLWLFDOVWDNHV PDQLSXODWH SXEOLF RSLQLRQ DQG DWWDFN UHVROYHLQ RUGHUWR
FRQVWUDLQRUGHQ\EDVLQJULJKWVRYHUIOLJKWFRUULGRUVORJLVWLFVXSSRUWDQGFRQFHUWHGDOOLHGDFWLRQ
 $GYHUVDULHVPD\VHHNWRHVWDEOLVKFRQGLWLRQVWKDWOLPLWRUSUHYHQW86DFFHVVWRDUHJLRQ7KLVLQFOXGHV
IRUZDUG SRVLWLRQLQJRIUREXVWDQG OD\HUHGLQWHJUDWHGDLU GHIHQVHVHDUO\ ZDUQLQJ VXUYHLOODQFH UDGDUV DQG
HOHFWURQLFZDUIDUHFDSDELOLWLHV DVGHPRQVWUDWHGE\5XVVLDQIRUFHVLQ6\ULD $GGLWLRQDOO\DGYHUVDULHVPD\
VHHNWRSRVLWLRQLQWHUPHGLDWHUDQJHEDOOLVWLFPLVVLOHVFUXLVHPLVVLOHVIL[HGZLQJDLUFUDIWXQPDQQHG DHULDO
V\VWHPVDQG QDYDO VXUIDFHDQG VXEVXUIDFHIRUFHVWRVKDSH DQ 2( LQ WKHLUIDYRU 3RVLWLRQLQJ$ V\VWHPV
SURYLGHV DGYHUVDULHV D SRVLWLRQRI DGYDQWDJH WR GHQ\ RU GLVUXSW 86 DFFHVVWR D UHJLRQLQ WKH HYHQW RI
KRVWLOLWLHVZKLOH SURYLGLQJ OHYHUDJH DJDLQVW IULHQGO\ SDUWQHU QDWLRQV GXULQJ VWHDG\VWDWHRSHUDWLRQV $Q
DGYHUVDU\¶VDELOLW\WRHVWDEOLVKPDLQWDLQDQGGHPRQVWUDWHUREXVW$V\VWHPVHURGHVSDUWQHUQDWLRQWUXVWDQG
FRQILGHQFHZKLOHEROVWHULQJDGYHUVDU\GRPHVWLFQDUUDWLYHV

6+$3,1*$&7,9,7,(6
 6KDSLQJ DFWLYLWLHVDUHFRQWLQXRXVZLWKLQ DQ $25 7KH FRPEDWDQWFRPPDQGHUXVHVWKHPWRLPSURYH
VHFXULW\ ZLWKLQ SDUWQHU QDWLRQV HQKDQFH LQWHUQDWLRQDO OHJLWLPDF\ JDLQ PXOWLQDWLRQDO FRRSHUDWLRQ DQG
LQIOXHQFH DGYHUVDU\ GHFLVLRQPDNLQJ 7KLV FRRSHUDWLRQLQFOXGHV LQIRUPDWLRQH[FKDQJH DQG LQWHOOLJHQFH
VKDULQJREWDLQLQJDFFHVVIRU86IRUFHVLQSHDFHWLPHDQGFULVLVDQGPLWLJDWLQJFRQGLWLRQVWKDWFRXOGOHDGWR
DFULVLV
 6KDSLQJ DFWLYLWLHVDUHGLUHFWO\WLHGWRDXWKRULWLHVSURYLGHGLQYDULRXVWLWOHVRIWKH8QLWHG6WDWHV&RGH
86&  DQG DSSURYHG SURJUDPV DQG LQWHJUDWHG DQG V\QFKURQL]HG ZLWK WKH 'HSDUWPHQW RI 6WDWH RWKHU
JRYHUQPHQWDJHQFLHVFRXQWU\WHDPVDQG DPEDVVDGRUV¶SODQVDQGREMHFWLYHV7KH'HSDUWPHQWRI6WDWHDQG

3-4 FM 3-0, C1 6 December 2017


2SHUDWLRQVWR6KDSH

WKH 8QLWHG 6WDWHV $JHQF\ IRU ,QWHUQDWLRQDO 'HYHORSPHQW GHYHORS WKH MRLQW UHJLRQDO VWUDWHJ\ WR DGGUHVV
UHJLRQDO JRDOV PDQDJHPHQW RSHUDWLRQDO FRQVLGHUDWLRQV DQG UHVRXUFHV (DFK FRXQWU\ WHDP GHYHORSV DQ
LQGLYLGXDO FRXQWU\ SODQ WR DGGUHVV FRXQWU\ FRQWH[W MRLQW PLVVLRQ JRDOV DQG FRRUGLQDWHG VWUDWHJLHV IRU
GHYHORSPHQW FRRSHUDWLRQ VHFXULW\ DQG GLSORPDWLF DFWLYLWLHV:RUNLQJ ZLWK WKH 'HSDUWPHQW RI 6WDWH DQG
YDULRXVFRXQWU\WHDPVWKH*&&DQGSODQQHUVGHYHORSDWKHDWHUVWUDWHJ\WRLQIOXHQFHUHJLRQDODQGFRXQWU\
FRQGLWLRQVWRDFKLHYHQDWLRQDOREMHFWLYHV7KHWKHDWHUVWUDWHJ\LVWUDQVODWHGLQWRD7&37KH7&3JXLGHVWKH
VKDSLQJDFWLYLWLHVFRQGXFWHGWKURXJKRXWWKH$25E\MRLQWIRUFHV
 7KHWKHDWHUDUP\VLJQLILFDQWO\FRQWULEXWHVWRWKHSODQQLQJH[HFXWLRQDQGDVVHVVPHQWRIWKH*&&¶V
7&3 $UP\ IRUFHV FRQGXFW RSHUDWLRQV WR VKDSH ZLWK YDULRXV XQLILHG DFWLRQ SDUWQHUV WKURXJK FDUHIXO
FRRUGLQDWLRQ DQG V\QFKURQL]DWLRQ IDFLOLWDWHG E\ WKH WKHDWHU DUP\ WKURXJK WKH *&& DQG ZKHQ DXWKRUL]HG
GLUHFWO\ ZLWK WKH SDUWQHU QDWLRQ¶V PLOLWDU\ IRUFHV $UP\ IRUFHV SURYLGH VHFXULW\ FRRSHUDWLRQ FDSDELOLWLHV
$25ZLGH LQFOXGLQJ EXLOGLQJ GHIHQVH DQG VHFXULW\ UHODWLRQVKLSV DQG SDUWQHU PLOLWDU\ FDSDFLW\ WKURXJK
H[HUFLVHVDQGHQJDJHPHQWVJDLQLQJRUPDLQWDLQLQJDFFHVVWRSRSXODWLRQVVXSSRUWLQJLQIUDVWUXFWXUHWKURXJK
DVVLVWDQFHYLVLWVDQGIXOILOOLQJH[HFXWLYHDJHQWUHVSRQVLELOLWLHV0LOLWDU\WRPLOLWDU\FRQWDFWVDQGH[FKDQJHV
MRLQW DQG FRPELQHG H[HUFLVHV YDULRXV ORQJWHUP SHUVLVWHQW PLOLWDU\ HQJDJHPHQWV DQG RWKHU VHFXULW\
FRRSHUDWLRQDFWLYLWLHVSURYLGHWKHIRXQGDWLRQRIWKH*&&¶V7&3

0,/,7$5<(1*$*(0(17
 0LOLWDU\ HQJDJHPHQW LV WKH URXWLQH FRQWDFW DQG LQWHUDFWLRQ EHWZHHQ LQGLYLGXDOV RU HOHPHQWV RI WKH
$UPHG )RUFHV RI WKH 8QLWHG 6WDWHV DQG WKRVH RI DQRWKHU QDWLRQ¶V DUPHG IRUFHV RU IRUHLJQ DQG GRPHVWLF
FLYLOLDQDXWKRULWLHVRUDJHQFLHVWREXLOGWUXVWDQGFRQILGHQFHVKDUHLQIRUPDWLRQFRRUGLQDWHPXWXDODFWLYLWLHV
DQG PDLQWDLQ LQIOXHQFH -3   0LOLWDU\ HQJDJHPHQW RFFXUV DV SDUW RI VHFXULW\ FRRSHUDWLRQ EXW LW DOVR
H[WHQGV WR LQWHUDFWLRQ ZLWK GRPHVWLF FLYLOLDQ DXWKRULWLHV *&&V VHHN RXW SDUWQHUV DQG FRPPXQLFDWH ZLWK
DGYHUVDULHV WR GLVFRYHU DUHDV RI FRPPRQ LQWHUHVW DQG WHQVLRQ 7KLV LQFUHDVHV WKH NQRZOHGJH EDVH IRU
VXEVHTXHQW GHFLVLRQV DQG UHVRXUFH DOORFDWLRQ 6XFK PLOLWDU\ HQJDJHPHQWV FDQ UHGXFH WHQVLRQV DQG PD\
SUHYHQWFRQIOLFWRULIFRQIOLFWLVXQDYRLGDEOHWKH\PD\DOORZWKH86WRHQWHULQWRLWZLWKJUHDWHUDFFHVVDQG
VWURQJHUDOOLDQFHVRUFRDOLWLRQV$UP\IRUFHVVXSSRUWPLOLWDU\HQJDJHPHQWWKURXJKNH\OHDGHUHQJDJHPHQW
DQG6ROGLHUDQGOHDGHUHQJDJHPHQW

6(&85,7<&223(5$7,21
 6HFXULW\FRRSHUDWLRQLVDOO'HSDUWPHQWRI'HIHQVHLQWHUDFWLRQVZLWKIRUHLJQVHFXULW\HVWDEOLVKPHQWVWR
EXLOGVHFXULW\UHODWLRQVKLSVWKDWSURPRWHVSHFLILF8QLWHG6WDWHVVHFXULW\LQWHUHVWVGHYHORSDOOLHGDQGSDUWQHU
QDWLRQPLOLWDU\DQGVHFXULW\FDSDELOLWLHVIRUVHOIGHIHQVHDQGPXOWLQDWLRQDORSHUDWLRQVDQGSURYLGH8QLWHG
6WDWHVIRUFHVZLWKSHDFHWLPHDQGFRQWLQJHQF\DFFHVVWRDOOLHGDQGSDUWQHUQDWLRQV -3 7KHVHHIIRUWV
PD\LQFOXGH$UP\IRUFHVSDUWLFLSDWLQJLQMRLQWDQGPXOWLQDWLRQDOH[HUFLVHVDQGHPSOR\LQJUHJLRQDOO\DOLJQHG
IRUFHV&RQGXFWLQJVHFXULW\FRRSHUDWLRQLVRQHRIWKH$UP\¶VSULPDU\VWDELOLW\WDVNV6HFXULW\FRRSHUDWLRQLV
JRYHUQHG E\ YDULRXV VHFWLRQV RI 7LWOH  86& 7LWOH  86& DQG VSHFLILF SXEOLF ODZV DGGUHVVLQJ
'HSDUWPHQWRI'HIHQVH '2' LQWHUDFWLRQVZLWKRWKHUQDWLRQV 6HH-3IRUPRUHLQIRUPDWLRQRQVHFXULW\
FRRSHUDWLRQ 
 &RPPDQGHUV DQG VWDIIV FRQGXFW VHFXULW\ FRRSHUDWLRQ WR GHYHORS DOOLHG DQG IULHQGO\ PLOLWDU\
FDSDELOLWLHVIRUVHOIGHIHQVHDQGPXOWLQDWLRQDORSHUDWLRQVWRLPSURYHLQIRUPDWLRQH[FKDQJHDQGLQWHOOLJHQFH
VKDULQJWRSURYLGH86IRUFHVZLWKSHDFHWLPHDQGFRQWLQJHQF\DFFHVVDQGWRPLWLJDWHFRQGLWLRQVWKDWFRXOG
OHDGWRDFULVLV6HFXULW\FRRSHUDWLRQDFWLYLWLHVLQFOXGH²
z 6HFXULW\DVVLVWDQFH
z 6HFXULW\IRUFHDVVLVWDQFH 6)$ 
z )RUHLJQLQWHUQDOGHIHQVH
z 6HFXULW\VHFWRUUHIRUP

6HH)0IRUDPRUHGHWDLOHGGLVFXVVLRQRI$UP\VXSSRUWWRVHFXULW\FRRSHUDWLRQ 

6 October 2017 FM 3-0 3-5


Chapter 3

6HFXULW\$VVLVWDQFH
 6HFXULW\ DVVLVWDQFH LV D JURXS RI SURJUDPV WKH 86 *RYHUQPHQW XVHV WR SURYLGH GHIHQVH DUWLFOHV
PLOLWDU\WUDLQLQJDQGRWKHUGHIHQVHUHODWHGVHUYLFHVE\JUDQWORDQFUHGLWRUFDVKVDOHV6HFXULW\DVVLVWDQFH
SURJUDPV DUH W\SLFDOO\ IRFXVHG RQ WKH WUDQVIHU RI GHIHQVH DUWLFOHV DQG VHUYLFHV WR HOLJLEOH IRUHLJQ
JRYHUQPHQWV WKH SURYLVLRQ RI WUDLQLQJ DQG HGXFDWLRQ WR IRUHLJQ PLOLWDU\ SHUVRQQHO DQG WKH VDOH RI
FRQVWUXFWLRQ VHUYLFHV LQ VXSSRUW RI SDUWQHU QDWLRQV¶ PLOLWDU\ HVWDEOLVKPHQWV 7KHVH VHFXULW\ DVVLVWDQFH
SURJUDPVDUHGLVFXVVHGLQ-3

6HFXULW\)RUFH$VVLVWDQFH
 6HFXULW\IRUFHDVVLVWDQFHLVWKH'HSDUWPHQWRI'HIHQVHDFWLYLWLHVWKDWFRQWULEXWHWRXQLILHGDFWLRQE\
WKH8QLWHG6WDWHV*RYHUQPHQWWRVXSSRUWWKHGHYHORSPHQWRIWKHFDSDFLW\DQGFDSDELOLW\RIIRUHLJQVHFXULW\
IRUFHVDQGWKHLUVXSSRUWLQJLQVWLWXWLRQV -3 &RQVLVWHQWZLWK'2'SROLF\IRU6)$WKH$UP\GHYHORSV
PDLQWDLQVDQGLQVWLWXWLRQDOL]HVWKHFDSDELOLWLHVRILWVSHUVRQQHOWRVXSSRUW'2'HIIRUWVWRRUJDQL]HWUDLQ
HTXLSDQGDGYLVHIRUHLJQVHFXULW\IRUFHV )6) DQGUHOHYDQWVXSSRUWLQJLQVWLWXWLRQV6HFXULW\IRUFHVDUHGXO\
FRQVWLWXWHGPLOLWDU\SDUDPLOLWDU\SROLFHDQGFRQVWDEXODU\IRUFHVRIDVWDWH -3 $UP\IRUFHVFRQGXFW
6)$DFWLYLWLHVLQVXSSRUWRIWKHFRPEDWDQWFRPPDQGHUV¶7&3ZKHQGLUHFWHGWRGRVRLQDFFRUGDQFHZLWK
DSSURSULDWHOHJDODXWKRULWLHV6)$EULJDGHVDUH$UP\RUJDQL]DWLRQVFUHDWHGLQWKDWDUHWDLORUHGWRPHHW
6)$UHTXLUHPHQWV
 6)$DQGVHFXULW\DVVLVWDQFHDUHGLIIHUHQW6)$RIWHQZRUNVLQFRQMXQFWLRQZLWKWKHYDULRXVVHFXULW\
DVVLVWDQFH SURJUDPV GLVFXVVHG LQ -3  +RZHYHU WKH IRFXV RI 6)$ LV RQ EXLOGLQJ WKH FDSDFLW\ DQG
FDSDELOLW\ RI )6) DQG WKHLU VXSSRUWLQJ LQVWLWXWLRQV 6)$ HQFRPSDVVHV YDULRXV DFWLYLWLHV UHODWHG WR WKH
RUJDQL]LQJWUDLQLQJDGYLVLQJHTXLSSLQJDQGDVVHVVLQJRI)6)DQGWKHLUVXSSRUWLQJLQVWLWXWLRQVIURPWDFWLFDO
WRPLQLVWHULDOOHYHOV7KHVHDFWLYLWLHVFRQWULEXWHWRXQLILHGDFWLRQWRJHQHUDWHHPSOR\DQGVXVWDLQ)6)6)$
DFWLYLWLHVDUHFRQGXFWHGSULPDULO\WRDVVLVWSDUWQHUQDWLRQVWREXLOGWKHLUFDSDFLW\WRGHIHQGDJDLQVWH[WHUQDO
DQG WUDQVQDWLRQDO WKUHDW DFWRUV $UP\ IRUFHV PD\ DOVR FRQGXFW 6)$ WR DVVLVW SDUWQHUV WR FRQWULEXWH WR
PXOWLQDWLRQDO RSHUDWLRQV RU RUJDQL]H WUDLQ HTXLS DQG DGYLVH D QDWLRQ¶V VHFXULW\ IRUFHV DQG VXSSRUWLQJ
LQVWLWXWLRQV

)RUHLJQ,QWHUQDO'HIHQVH
 )RUHLJQLQWHUQDOGHIHQVHLVSDUWLFLSDWLRQE\FLYLOLDQDQGPLOLWDU\DJHQFLHVRIDJRYHUQPHQWLQDQ\RI
WKHDFWLRQSURJUDPVWDNHQE\DQRWKHUJRYHUQPHQWRURWKHUGHVLJQDWHGRUJDQL]DWLRQWRIUHHDQGSURWHFWLWV
VRFLHW\ IURP VXEYHUVLRQ ODZOHVVQHVV LQVXUJHQF\ WHUURULVP DQG RWKHU WKUHDWV WR LWV VHFXULW\ -3  
)RUHLJQLQWHUQDOGHIHQVH ),' LQFOXGHVWKHDFWLRQVRIQRQPLOLWDU\RUJDQL]DWLRQVDVZHOODVPLOLWDU\IRUFHV
 ),' LV D ZKROHRIJRYHUQPHQW DSSURDFK WKDW VXSSRUWV SDUWQHU GHYHORSPHQW WRZDUGV GHPRFUDWLF
JRYHUQDQFHDQGPLOLWDU\GHIHUHQFHWRFLYLOLDQUXOH),'DFWLYLWLHVPD\HPSOR\WKHLQGLUHFWXVHRIPLOLWDU\
IRUFHVDORQJZLWKWKHGLSORPDWLFLQIRUPDWLRQDODQGHFRQRPLFPHDQV),'SULQFLSOHVDUHXVHGWRPLWLJDWHWKH
QHHG WR GHSOR\ ODUJH QXPEHUV RI 86 PLOLWDU\ SHUVRQQHO DQG HTXLSPHQW ),' LQYROYHV WKH VXSSRUW RI D
VWDQGLQJKRVWQDWLRQJRYHUQPHQWDQGLWVPLOLWDU\RUSDUDPLOLWDU\IRUFHV),'LVDNH\VXSSRUWLQJFRPSRQHQW
RIDKRVWQDWLRQ¶VLQWHUQDOGHIHQVHDQGGHYHORSPHQWSURJUDP7KHIRFXVRIDOO86),'HIIRUWVLVWRVXSSRUW
WKHKRVWQDWLRQ¶VLQWHUQDOGHIHQVHDQGGHYHORSPHQWSURJUDPWREXLOGWKHFDSDELOLW\DQGFDSDFLW\RIWKHKRVW
QDWLRQWRDFKLHYHVHOIVXIILFLHQF\),'KDVEHHQDQGUHPDLQVDQ$UP\62)FRUHDFWLYLW\ 6HH-3DQG
$73  IRU D GHWDLOHG GLVFXVVLRQ RI IRUHLJQ LQWHUQDO GHIHQVH 6HH $'53  IRU WKH $UP\ WDVNV
DVVRFLDWHGZLWK),' 
 6)$DQG),'KDYHPXFKLQFRPPRQEHFDXVHERWKHQDEOHIULHQGO\SDUWQHUV¶FDSDFLW\WRSURYLGHIRU
WKHLURZQGHIHQVH),'DFWLYLWLHVGLUHFWO\VXSSRUWRUJDQL]LQJWUDLQLQJHTXLSSLQJDGYLVLQJDQGDVVLVWLQJ)6)
WRFRPEDWLQWHUQDOWKUHDWV6)$SUHSDUHV)6)WRGHIHQGDJDLQVWH[WHUQDOWKUHDWVDQGWRSHUIRUPDVSDUWRIDQ
LQWHUQDWLRQDOIRUFH

6HFXULW\6HFWRU5HIRUP
 6HFXULW\VHFWRUUHIRUPLVDFRPSUHKHQVLYHVHWRISURJUDPVDQGDFWLYLWLHVXQGHUWDNHQE\DKRVWQDWLRQ
WRLPSURYHWKHZD\LWSURYLGHVVDIHW\VHFXULW\DQGMXVWLFH -3 7KHRYHUDOOREMHFWLYHLVWRSURYLGHWKHVH

3-6 FM 3-0 6 October 2017


2SHUDWLRQVWR6KDSH

VHUYLFHVLQDZD\WKDWSURPRWHVDQHIIHFWLYHDQGOHJLWLPDWHSXEOLFVHUYLFHWKDWLVWUDQVSDUHQWDFFRXQWDEOHWR
FLYLOLDQDXWKRULW\DQGUHVSRQVLYHWRWKHQHHGVRIWKHSXEOLF
 6HFXULW\ VHFWRU UHIRUP 665  LV DQ XPEUHOOD WHUP WKDW LQFOXGHV LQWHJUDWHG DFWLYLWLHV LQ VXSSRUW RI
GHIHQVH DQG DUPHG IRUFHV UHIRUP FLYLOLDQ PDQDJHPHQW DQG RYHUVLJKW MXVWLFH SROLFH FRUUHFWLRQV DQG
LQWHOOLJHQFH UHIRUP QDWLRQDO VHFXULW\ SODQQLQJ DQG VWUDWHJ\ VXSSRUW ERUGHU PDQDJHPHQW GLVDUPDPHQW
GHPRELOL]DWLRQV DQG UHLQWHJUDWLRQ RU UHGXFWLRQ RI DUPHG YLROHQFH 7KH $UP\¶V SULPDU\ UROH LQ 665 LV
VXSSRUWLQJWKHUHIRUPUHVWUXFWXULQJRUUHHVWDEOLVKLQJWKH DUPHGIRUFHVDQGWKHGHIHQVHVHFWRUDFURVVWKH
UDQJHRIPLOLWDU\RSHUDWLRQV
 :LWK WKH VXSSRUW RI WKH KRVW QDWLRQ 86 DQG SDUWQHU PLOLWDU\ IRUFHV FROODERUDWH ZLWK LQWHUDJHQF\
UHSUHVHQWDWLYHVDQGRWKHUFLYLOLDQRUJDQL]DWLRQVWRGHVLJQDQGLPSOHPHQW665VWUDWHJLHVSODQVSURJUDPV
DQGDFWLYLWLHV'2'OHDGVDQGSURYLGHVRYHUVLJKWIRUWKHVHHIIRUWVWKURXJKLWVEXUHDXVRIILFHVDQGRYHUVHDV
PLVVLRQV665IDFLOLWDWHVVHFXULW\FRRSHUDWLRQDQG6)$DFWLYLWLHVWKDWEXLOGSDUWQHUFDSDFLW\665LQYROYHV
UHHVWDEOLVKLQJRUUHIRUPLQJLQVWLWXWLRQVDQGNH\PLQLVWHULDOSRVLWLRQVWKDWPDLQWDLQDQGSURYLGHRYHUVLJKWIRU
WKH VDIHW\ DQG VHFXULW\ RI WKH KRVW QDWLRQ DQG LWV SHRSOH 7KURXJK XQLILHG DFWLRQ WKRVH LQGLYLGXDOV DQG
LQVWLWXWLRQVDVVXPHDQHIIHFWLYHOHJLWLPDWHDQGDFFRXQWDEOHUROH6)$DFWLYLWLHVKHOSSURYLGHLQWHUQDODQG
H[WHUQDOVHFXULW\IRUKRVWQDWLRQFLWL]HQVXQGHUWKHFLYLOLDQFRQWURORIDOHJLWLPDWHVWDWHDXWKRULW\(IIHFWLYH
665HQDEOHVDVWDWHWREXLOGLWVFDSDFLW\WRSURYLGHVHFXULW\7KHGHVLUHGRXWFRPHRI665SURJUDPVLVDQ
HIIHFWLYHDQGOHJLWLPDWHVHFXULW\VHFWRUILUPO\URRWHGZLWKLQWKHUXOHRIODZ

$'',7,21$/6+$3,1*$&7,9,7,(6
 $VSDUWRIRSHUDWLRQVWRVKDSH$UP\IRUFHVSDUWLFLSDWHLQDQGFRQGXFWQXPHURXVRWKHUDFWLYLWLHVLQ
VXSSRUWRIWKHFRPEDWDQWFRPPDQGHU¶V7&37KHVHLQFOXGHGHYHORSLQJLQWHOOLJHQFHFRXQWHULQJZHDSRQVRI
PDVVGHVWUXFWLRQ &:0' SURYLGLQJVXSSRUWWRKXPDQLWDULDQHIIRUWVFRQGXFWLQJLQIRUPDWLRQRSHUDWLRQV
DQGRUJDQL]LQJDQGSDUWLFLSDWLQJLQFRPELQHGWUDLQLQJDQGH[HUFLVHV

,QWHOOLJHQFH
 7KHPLOLWDU\LQWHOOLJHQFHEULJDGHWKHDWHU 0,%7 SURYLGHVUHJLRQDOO\IRFXVHGFROOHFWLRQDQGDQDO\VLV
LQ VXSSRUW RI WKH *&& WKHDWHU DUP\ FRPPDQGHU DQG $UP\ IRUFHV FRQGXFWLQJ RSHUDWLRQV WR VKDSH 7KH
0,%7LVWKHDQFKRUSRLQWIRUUHDFKEDFNLQWHOOLJHQFHVXSSRUWWRWDFWLFDOIRUFHV5HJLRQDOO\DOLJQHGRUDVVLJQHG
IRUFHVDQGRWKHUVSHFLILHG$UP\XQLWVUHTXLUHUHDG\DFFHVVWRDQGVHDPOHVVLQWHUDFWLRQZLWKWKHLUDVVRFLDWHG
FRPEDWDQW FRPPDQG¶V LQWHOOLJHQFH DUFKLWHFWXUH :KHQ $UP\ XQLWV HQWHU D *&&¶V $25 WKH SULPDU\
LQWHOOLJHQFHVXSSRUWLVWKURXJKWKH*&&MRLQWLQWHOOLJHQFHFHQWHURUMRLQWLQWHOOLJHQFHRSHUDWLRQVFHQWHUXQOHVV
DQRWKHU VXSSRUW UHODWLRQVKLS LV HVWDEOLVKHG LQ WKH *&& RUGHUV 7KH 0,%7 SURYLGHV WKLV OLQNDJH )RU
DGGLWLRQDOLQIRUPDWLRQRQWKH0,%7VHHSDUDJUDSKVWKURXJK 
 ,GHQWLI\LQJ WKUHDW FDSDELOLWLHV VWUHQJWKV ZHDNQHVVHV DQG LQWHQW DFFXUDWHO\ LV FULWLFDO WR SURYLGLQJ
FRPPDQGHUVWKHWLPHO\LQGLFDWLRQVDQGZDUQLQJVQHFHVVDU\WRHQVXUHRSHUDWLRQDOVXFFHVV'XULQJRSHUDWLRQV
WRVKDSHWKHPRVWLPSRUWDQWUROHRILQWHOOLJHQFHLVWRSURYLGHHDUO\DQGDFFXUDWHZDUQLQJVRIFKDQJHVWRWKH
2( DQG WKUHDWV WR HQDEOH FRPPDQGHUV DQG VHQLRU JRYHUQPHQW RIILFLDOV WR PDNH WLPHO\ DQG LQIRUPHG
GHFLVLRQV &RPPDQGHUV IRFXV LQIRUPDWLRQ FROOHFWLRQ RSHUDWLRQV WR SURYLGH HDUO\ ZDUQLQJ RI DGYHUVDU\
DFWLYLW\UHFRJQL]HWKUHDWVDQGLGHQWLI\WKHQHHGWRPDNHWLPHO\GHFLVLRQV
 ,QDGGLWLRQFRPPDQGHUVIRFXVWKHLQWHOOLJHQFHHQWHUSULVHRQLGHQWLI\LQJVWUHQJWKVDQGYXOQHUDELOLWLHV
RIWKUHDWFDSDELOLWLHVWKHLUDUHDGHQLDOVWUDWHJ\RUV\VWHPVWKHLULQIRUPDWLRQZDUIDUHDQGVXEYHUVLRQDFWLYLWLHV
DQGWKHLUDELOLW\WRDFKLHYHSDULW\RUVXSHULRULW\DFURVVHDFKRIWKHILYHGRPDLQV ODQGDLUPDULWLPHVSDFH
DQG F\EHUVSDFH  DQG WKH LQIRUPDWLRQ HQYLURQPHQW 6HH $'53  IRU D GLVFXVVLRQ RI WKH LQWHOOLJHQFH
HQWHUSULVH 

&RXQWHULQJ:HDSRQVRI0DVV'HVWUXFWLRQ
 6KDSLQJDFWLYLWLHVZRUNWRZDUGVWUDWHJLFGHWHUUHQFHRIZHDSRQVRIPDVVGHVWUXFWLRQ :0' $UP\
IRUFHVVKDSHDQ2(WRGLVVXDGHRUGHWHUDGYHUVDULHVIURPGHYHORSLQJDFTXLULQJSUROLIHUDWLQJRUXVLQJ:0'
7RSUHYHQWWKHXVHRI:0'$UP\IRUFHVPXVWGHYHORSDQXQGHUVWDQGLQJRIWKHWKUHDWDQGPDWHULDOVWKDW
DIIHFW DQ DUHD RI RSHUDWLRQV $2  DV SDUW RI WKH FRXQWHULQJ :0' PLVVLRQ 7KH FRRSHUDWLRQ DQG SDUWQHU
DFWLYLWLHV PLVVLRQ LV D FROOHFWLRQ RI LQWHUUHODWHG GD\WRGD\ DFWLYLWLHV WR GHQ\ GLVVXDGH DQG SUHYHQW

6 October 2017 FM 3-0 3-7


Chapter 3

DGYHUVDULHVIURPREWDLQLQJRUSUROLIHUDWLQJ:0' 6HH $73IRUPRUHLQIRUPDWLRQRQFRXQWHULQJ


ZHDSRQVRIPDVVGHVWUXFWLRQ 

+XPDQLWDULDQ(IIRUWV
 7KH 8QLWHG 6WDWHV $JHQF\ IRU ,QWHUQDWLRQDO 'HYHORSPHQW LV WKH OHDG 86 JRYHUQPHQW DJHQF\
UHVSRQVLEOH WR WKH 6HFUHWDU\ RI 6WDWH IRU DGPLQLVWHULQJ FLYLOLDQ IRUHLJQ DLG DQG SURYLGLQJ KXPDQLWDULDQ
DVVLVWDQFHDQGGLVDVWHUUHOLHI7KH8QLWHG6WDWHV$JHQF\IRU,QWHUQDWLRQDO'HYHORSPHQWRIWHQZRUNVLQFRQFHUW
ZLWK$UP\IRUFHVZKHQ6ROGLHUVDUHWDVNHGWRSURYLGHDVVLVWDQFH,WFDQVXSSOHPHQWFLYLODIIDLUV &$ IRUFHV
FRQGXFWLQJ&$DFWLYLWLHVWKDWWKH'2'FRQGXFWVWREXLOGUHODWLRQVKLSVDQGZLQWKHWUXVWFRQILGHQFHDQG
VXSSRUWRIORFDOSRSXODWLRQV

+XPDQLWDULDQ$VVLVWDQFH5HSXEOLFRI&DPHURRQ

$KXPDQLWDULDQDVVLVWDQFHRSHUDWLRQFRQGXFWHGE\D86$UP\FLYLODIIDLUV &$ XQLW
LQWKH5HSXEOLFRI&DPHURRQLQ$IULFDSURYLGHGUHOLHIWRDQDWLRQGHYDVWDWHGE\GLVHDVH
,Q  WKH $PHULFDQ (PEDVV\ DQG WKH 0LQLVWU\ RI 3XEOLF +HDOWK LQ &DPHURRQ
SURSRVHGDFDPSDLJQWRLQRFXODWHFLWL]HQVDJDLQVWPHQLQJLWLVDGLVHDVHWKDWUDYDJHV
WKDWWURSLFDOFRXQWU\HDFK\HDUGXULQJWKHGU\VHDVRQ7KHHPEDVV\GHIHQVHDWWDFKp
RIILFHFRQWDFWHG8QLWHG6WDWHV(XURSHDQ&RPPDQGDQGSODQVZHUHGUDZQWRVXSSRUW
DKXPDQLWDULDQDVVLVWDQFHH[HUFLVHLQFRQMXQFWLRQZLWK&$VXSSRUW,Q)HEUXDU\
DPHGLFDOWHDPIURPWKHG&LYLO$IIDLUV&RPPDQGZRUNLQJLQFRQMXQFWLRQZLWKWKH
KRVW QDWLRQ LQRFXODWHG PRUH WKDQ  SHRSOH DJDLQVW PHQLQJLWLV DQG WUHDWHG DQ
DGGLWLRQDO  SHRSOH IRU RWKHU DLOPHQWV 7KLV H[HUFLVH QRW RQO\ DFFRPSOLVKHG LWV
KXPDQLWDULDQJRDOVEXWLWDOVRSURYLGHGDQRSSRUWXQLW\IRUWKHXQLWWRWUDLQDQGXVHLWV
ODQJXDJHVNLOOV$WWKHVDPHWLPHLWVWUHQJWKHQHGWKHSDUWQHUVKLSEHWZHHQWKH8QLWHG
6WDWHVDQG&DPHURRQZKLOHLPSURYLQJDFFHVVDQGVWDELOLW\LQDYLWDOUHJLRQ

,QIRUPDWLRQ2SHUDWLRQV
 7KHSULPDU\VWDELOLW\PHFKDQLVPV$UP\XQLWVHPSOR\GXULQJRSHUDWLRQVWRVKDSHDUHLQIOXHQFHDQG
VXSSRUW%\LQIOXHQFLQJUHJLRQDOSHUFHSWLRQVDQGLPSURYLQJWKHDELOLW\RISDUWQHUQDWLRQVWRVHFXUHWKHPVHOYHV
WKURXJKXQLODWHUDOVHFXULW\SDUWQHUVKLSVDQGUHJLRQDODOOLDQFHV$UP\IRUFHVFDQLVRODWHDGYHUVDULHVDQGWKZDUW
EHKDYLRUWKDWUXQVFRXQWHUWR86LQWHUHVWV'XULQJRSHUDWLRQVWRVKDSH$UP\IRUFHVJDLQDFFHVVDQGHVWDEOLVK
WKHUHODWLRQVKLSVDJUHHPHQWVDQGFRQWUDFWVQHFHVVDU\IRUUDSLGO\VHWWLQJWKHWKHDWHUVKRXOGDODUJHUIRUFHEH
UHTXLUHGWRGHWHUKRVWLOLW\RUFRQGXFWODUJHVFDOHFRPEDWRSHUDWLRQVLQWKHIXWXUH
 %RWKDVLWVRZQOLQH RIHIIRUWDQGLQVXSSRUWRIRWKHUOLQHVRIHIIRUW LQIRUPDWLRQRSHUDWLRQVHQVXUH
LQIRUPDWLRQUHODWHGFDSDELOLWLHVDUHV\QFKURQL]HGWRRSWLPL]HWKHLQIRUPDWLRQHOHPHQWRIFRPEDWSRZHUDQG
VKDSH WKH LQIRUPDWLRQ HQYLURQPHQW &RPPDQGHUV HQVXUH GHYHORSPHQW DQG SURSDJDWLRQ RI DFWLRQV DQG
PHVVDJHVZLWKLQWKHHVWDEOLVKHGWKHPHJXLGHOLQHVRIWKHKLJKHUHFKHORQRUVXSSRUWHGFRPPDQGHUDQGDOLJQ
WKHVHPHVVDJHVZLWKDFWLRQVDQGDFWLYLWLHV7KHVHWKHPHVJXLGHWKHGHYHORSPHQWRIDFWLYLWLHVDQGPHVVDJHV
IRFXVHG RQ DOLJQHG WKHPHV PHVVDJHV DQG DFWLRQV WR HQKDQFH WUXVW DQG FRQILGHQFH LQ 86 HIIRUWV DQG WR
SRUWUD\SDUWQHUQDWLRQVDVFRPSHWHQWDQGFDSDEOH7KH\DOVRGHPRQVWUDWH86DQGSDUWQHULQWHURSHUDELOLW\
DQGSUHVHQWDQ$UP\SUHSDUHGWRDGGUHVVFKDOOHQJHVZRUOGZLGH 6HH-3DQG)0IRUGRFWULQHRQ
LQIRUPDWLRQRSHUDWLRQV 

&RPELQHG7UDLQLQJDQG([HUFLVHV
:KHQQHDUKHPDNHVLWDSSHDUWKDWKHLVIDUDZD\ZKHQIDUDZD\WKDWKHLVQHDU
6XQ7]X

 &RPELQHGWUDLQLQJDQGH[HUFLVHVZLWKPXOWLQDWLRQDOSDUWQHUVSOD\DNH\UROHLQVKDSLQJDQ2(7KURXJK
WUDLQLQJDQGH[HUFLVHV$UP\IRUFHVEXLOGSDUWQHUFRPEDWUHDGLQHVVDQGVHWFRQGLWLRQVIRUIXWXUHFRQWLQJHQF\
RSHUDWLRQV 0XOWLQDWLRQDO IRUFHV WKDW PDLQWDLQ KLJK OHYHOV RI FRPEDW UHDGLQHVV GHPRQVWUDWH XQGHQLDEOH

3-8 FM 3-0 6 October 2017


2SHUDWLRQVWR6KDSH

FUHGLELOLW\ WR DGYHUVDULHV ,W LV WKLV FUHGLELOLW\ WKDW SURYLGHV DFFHVV DVVXUDQFH DQG GHWHUUHQFH 7KH
'HYHORSLQJ&RXQWU\&RPELQHG([HUFLVH 3URJUDPDXWKRUL]HVWKH6HFUHWDU\RI'HIHQVHLQFRRUGLQDWLRQZLWK
'HSDUWPHQWRI6WDWHWRIXQG GHYHORSLQJFRXQWU\SDUWLFLSDWLRQLQ FRPELQHGH[HUFLVHV&RPELQHGH[HUFLVHV
IDPLOLDUL]HERWK IRUFHVZLWK WKH FDSDELOLWLHVDQG VKRUWIDOOVRIWKH RWKHUIRUFHDQG GHYHORS SURFHGXUHVWR
OHYHUDJHFDSDELOLWLHVDQGPLWLJDWHVKRUWIDOOV7UDLQLQJH[HUFLVHVDUHFRQGXFWHGDWDOOOHYHOVRIFRPPDQGIURP
WDFWLFDOXQLWVWRODUJHVFDOHFRPELQHGWDVNIRUFHV

,17(5$*(1&< &225',1$7,21
 6KDSLQJ DFWLYLWLHVHQFRPSDVVDZLGHUDQJHRIDFWLRQVZKHUHWKHPLOLWDU\LQVWUXPHQWRIQDWLRQDOSRZHU
VXSSRUWVRWKHULQVWUXPHQWVRIQDWLRQDOSRZHUDVUHSUHVHQWHGE\LQWHUDJHQF\SDUWQHUV6KDSLQJ DFWLYLWLHVDOVR
LQYROYH FRRSHUDWLRQZLWKLQWHUQDWLRQDORUJDQL]DWLRQV IRUH[DPSOHWKH8QLWHG1DWLRQV DQG RWKHUFRXQWULHV
WRSURWHFWDQG HQKDQFHQDWLRQDOVHFXULW\LQWHUHVWVGHWHUFRQIOLFWDQG VHWFRQGLWLRQVIRUIXWXUHFRQWLQJHQF\
RSHUDWLRQV 0LOLWDU\ HQJDJHPHQW VHFXULW\ FRRSHUDWLRQ DQG GHWHUUHQFH DFWLYLWLHV XVXDOO\ LQYROYH D
FRPELQDWLRQRIPLOLWDU\IRUFHVDQGFDSDELOLWLHVVHSDUDWHIURPEXWLQWHJUDWHGZLWKWKHHIIRUWVRILQWHUDJHQF\
SDUWLFLSDQWVDQGWKH\DUHFRRUGLQDWHGE\DPEDVVDGRUVDQGFRXQWU\WHDPV

$0%$66$'25  81,7('67$7(6 ',3/20$7,& 0,66,21


 7KH86GLSORPDWLFPLVVLRQLQFOXGHVUHSUHVHQWDWLYHVRIDOO86GHSDUWPHQWVDQG DJHQFLHVSK\VLFDOO\
SUHVHQWLQWKHFRXQWU\7KH$PHULFDQDPEDVVDGRU FKLHIRIWKH86GLSORPDWLFPLVVLRQ RIWHQUHIHUUHGWRDV
WKH FKLHIRI PLVVLRQLV WKH SULQFLSDO RIILFHULQ WKH HPEDVV\7KLV SHUVRQRYHUVHHVDOO 86 JRYHU QPHQW
SURJUDPVDQGLQWHUDFWLRQVZLWKDQGLQDKRVWQDWLRQ
 7KH FKLHIRIPLVVLRQLVWKH SHUVRQDOUHSUHVHQWDWLYHRIWKH3UHVLGHQWDQG WKH6HFUHWDU\RI 6WDWH DQG
UHSRUWVWRWKH3UHVLGHQWWKURXJKWKH6HFUHWDU\RI6WDWH7KHFKLHIRIPLVVLRQHQVXUHVDOOLQFRXQWU\DFWLYLWLHV
EHVW VHUYH 86 LQWHUHVWV DQG UHJLRQDODQG LQWHUQDWLRQDO REMHFWLYHV'HSHQGLQJ RQ WKH VL]H RU HFRQRPLF
LPSRUWDQFHRIDFRXQWU\WKH8QLWHG6WDWHVPD\PDLQWDLQRQO\DQHPEDVV\DQGQRFRQVXODURIILFHV+RZHYHU
WKH8QLWHG6WDWHVPD\ PDLQWDLQRQHRUPRUHFRQVXODURIILFHVLQVRPHFRXQWULHV7\SLFDOO\$UP\ HOHPHQWV
FRQGXFWLQJVHFXULW\FRRSHUDWLRQDFWLYLWLHVFRRUGLQDWHZLWK HPEDVV\RIILFLDOVHYHQ LQ QDWLRQV ZLWK RQO\ D
FRQVXODURIILFH5HODWLRQVKLSVZLWKFRQVXODURIILFHVDUHGHWHUPLQHGRQDFDVHE\FDVHEDVLV7KHVDPHHQWLWLHV
DQG RIILFHVH[LVWLQJLQDQ HPEDVV\DUHSUHVHQWRUOLDLVHGDW FRQVXODURIILFHV 6HH)0IRUD GHWDLOHG
H[SODQDWLRQRIWKLVUROHLQUHODWLRQWR$UP\RSHUDWLRQV 

&28175< 7($0
 7KHFRXQWU\WHDPLVWKHSRLQWRIFRRUGLQDWLRQZLWKLQWKHKRVWFRXQWU\IRUWKHGLSORPDWLFPLVVLRQ7KH
PHPEHUVRIWKHFRXQWU\WHDPYDU\GHSHQGLQJRQWKHOHYHOVRIFRRUGLQDWLRQQHHGHGDQGWKHFRQGLWLRQVZLWKLQ
WKDWFRXQWU\7KHFRXQWU\WHDPLVXVXDOO\OHGE\WKHFKLHIRIPLVVLRQDQGLWLVPDGH XSRIWKHVHQLRUPHPEHU
RIHDFKUHSUHVHQWHG86GHSDUWPHQWRUDJHQF\DVGLUHFWHGE\WKHFKLHIRIPLVVLRQ7KH WHDPPD\ LQFOXGH
WKHVHQLRUGHIHQVHRIILFLDORUGHIHQVHDWWDFKpWKHSROLWLFDODQG HFRQRPLFRIILFHUVDQG DQ\ RWKHUHPEDVV\
SHUVRQQHOGHVLUHGE\WKHDPEDVVDGRU
 7KH FRXQWU\WHDP LQIRUPVYDULRXV RUJDQL]DWLRQVRI RSHUDWLRQVFRRUGLQDWHVHOHPHQWVDQG DFKLHYHV
XQLW\ RI HIIRUW0LOLWDU\HQJDJHPHQW ZLWK D KRVWFRXQWU\ LV FRQGXFWHGWKURXJK WKH VHFXULW\FRRSHUDWLRQ
RUJDQL]DWLRQ+RZHYHUVHYHUDORWKHUDWWDFKpVDQG RIILFHVPD\EHLQWHJUDOWRVHFXULW\FRRSHUDWLRQDFWLYLWLHV
SURJUDPVDQGPLVVLRQVDVZHOO7KHFRXQWU\WHDPSURYLGHVWKHIRXQGDWLRQRIORFDONQRZOHGJHDQGLQWHUDFWLRQ
ZLWK WKHKRVWFRXQWU\JRYHUQPHQWDQG SRSXODWLRQ $V SHUPDQHQWO\HVWDEOLVKHGLQWHUDJHQF\RUJDQL]DWLRQV
FRXQWU\ WHDPV UHSUHVHQW WKH VLQJOH SRLQW RI FRRUGLQDWLRQLQWHJUDWLRQ DQG V\QFKURQL]DWLRQ RI VHFXULW\
FRRSHUDWLRQDFWLYLWLHVVXSSRUWHGE\FRPEDWDQWFRPPDQGVDQGWKHWKHDWHUDUP\

$50<25*$1,=$7,216
 7KH$UP\SURYLGHVWUDLQHGDQGUHDG\IRUFHVWR*&&VWRDVVLVWWKHPLQVKDSLQJWKHLU$25V$GHWDLOHG
GLVFXVVLRQRIWKHW\SHVRI$UP\XQLWVE\HFKHORQLVGLVFXVVHGLQFKDSWHU7KLVVHFWLRQGLVFXVVHVNH\$UP\
RUJDQL]DWLRQVDQGWKHLUSULPDU\UROHVGXULQJRSHUDWLRQVWRVKDSH

6 December 2017 FM 3-0, C1 3-9


Chapter 3

7+($7(5 $50<
 7KH WKHDWHUDUP\ LQWHJUDWHVODQGSRZHU ZLWKLQ WKHDWHUHQJDJHPHQW SODQV DQG VHFXULW\FRRSHUDWLRQ
DFWLYLWLHV,QWHJUDWLQJ ODQGSRZHUUHTXLUHVWKHWKHDWHUDUP\ WRWUDLQDQG SUHSDUH$UP\ IRUFHVIRURSHUDWLRQV
DQG WRFRRUGLQDWHWUDLQLQJDQG UHDGLQHVVUHTXLUHPHQWVZLWK6HUYLFHIRUFHSURYLGHUV,QWHJUDWLQJODQGSRZHU
DOVRLQFOXGHVHVWDEOLVKLQJDQGH[WHQGLQJWKHQHWZRUNVXVWDLQPHQWLQIUDVWUXFWXUHLQWHOOLJHQFHHQWHUSULVHDQG
SURWHFWLRQFDSDELOLWLHVWKDWVXSSRUWRSHUDWLRQVWKURXJKRXWDQ$25 6HFXULW\FRRSHUDWLRQRFFXUVWKURXJKRXW
DQ$25 HYHQZKHQ WKHSULPDU\HIIRUWGLUHFWHGE\WKH*&&VKLIWVWRDQDPHGMRLQWRSHUDWLRQ7KHDELOLW\WR
PDQDJH ODQGSRZHU ZLWKLQ D MRLQWRSHUDWLRQZKLOH FRQWLQXLQJWRVXSSRUW$25ZLGH VWHDG\VWDWHDFWLYLWLHV
LQFOXGLQJVHFXULW\FRRSHUDWLRQXQGHUVFRUHVWKHUHTXLUHPHQWIRUDUREXVWWKHDWHUDUP\

$UP\6XSSRUWWR7KHDWHU &DPSDLJQ3ODQQLQJ
 7KH7&3LVWKH*&&¶VYHKLFOHIRURSHUDWLRQDOL]LQJWKHWKHDWHUVWUDWHJ\7KH7&3SURYLGHVDIUDPHZRUN
ZLWKLQ ZKLFK WKHFRPEDWDQWFRPPDQGHUFRQGXFWVVHFXULW\FRRSHUDWLRQDFWLYLWLHVDQG PLOLWDU\HQJDJHPHQW
ZLWKUHJLRQDOSDUWQHUVWKURXJKFRRSHUDWLYHVHFXULW\DQGGHYHORSPHQW$7&3¶V PDLQIXQFWLRQLVWRSURYLGH
JXLGDQFHWRFRRUGLQDWHVWHDG\VWDWHFRPSRQHQWVRIFRQWLQJHQF\SODQQLQJE\FRQGXFWLQJVHFXULW\FRRSHUDWLRQ
DFWLYLWLHVDFURVVWKH$25
 7KH WKHDWHUDUP\ GHYHORSVD VXSSRUW SODQ DV DQ DQQH[ WRWKH7&3 7KH VXSSRUWSODQ VHUYHVDV WKH
PHFKDQLVPEHWZHHQ SODQQLQJ SURJUDPPLQJEXGJHWLQJ DQG H[HFXWLRQSURFHVVHVE\ZLWK RUWKURXJKWKH
WKHDWHUDUP\,WLVVXSSRUWHGE\+HDGTXDUWHUV'HSDUWPHQWRIWKH$UP\IXQFWLRQDO$UP\6HUYLFHFRPSRQHQW
FRPPDQGV $UP\ FRPPDQGV GLUHFWUHSRUWLQJ XQLWV DQG WKH 5HVHUYH &RPSRQHQWVWR UHVRXUFHVHFXULW\
FRRSHUDWLRQDFWLYLWLHVWKDWVKDSH DQ 2( DQG DFKLHYH7&3 REMHFWLYHVDQG *XLGDQFHIRU(PSOR\PHQWRIWKH
)RUFHHQGVWDWHV$UP\VXSSRUWSODQQLQJXVXDOO\DGGUHVVHV²
z 7KHDWHUFRXQWU\VSHFLILFVHFXULW\FRRSHUDWLRQVHFWLRQ
z ,QIRUPDWLRQFROOHFWLRQDFWLYLWLHV
z 3RUWVRIHQWU\JXDUDQWHHV
 6\QFKURQL]LQJWKHQDUUDWLYHIRU$UP\IRUFHVZLWK$UP\DFWLYLWLHVLVDSDUWRIWKH$UP\¶VVXSSRUWSODQ
$FWLRQVDQGPHVVDJHVPXVWEHDOLJQHGIRUPD[LPXPHIIHFW7KHWKHDWHUDUP\SURYLGHVJXLGDQFHRQGUDIWLQJ
EURDGPLVVLRQVWDWHPHQWVIURPWKH7&3DOLJQHGZLWKORFDOFXVWRPV7KHQDUUDWLYHVXSSRUWVWKHGHYHORSPHQW
RIWKHPHVDQGVSHFLILFPHVVDJHV$UP\IRUFHVGHOLYHU
 7KHWKHDWHUDUP\GHYHORSVWKHIRUFHVWUXFWXUHUHTXLUHGWRVXSSRUWWKH7&37KH WKHDWHUDUP\UHTXHVWV
$UP\IRUFHVDQGWKHUHVRXUFHVUHTXLUHGWRVXSSRUWWKHP7KHVHUHVRXUFHVLQFOXGHVXVWDLQPHQWLQWHOOLJHQFH
SURWHFWLRQDQGDQ\ RWKHUFDSDELOLWLHVUHTXLUHG7KH WKHDWHUDUP\SURYLGHVVXSSRUWWRIRUFHVSDUWLFLSDWLQJLQ
H[HUFLVHVDQGLWGHYHORSVH[HUFLVHVWRVXSSRUWWKHWKHDWHUVHFXULW\FRRSHUDWLRQSODQ7KHWKHDWHUDUP\GHVLJQV
HIIHFWLYHDQGHIILFLHQWPRYHPHQWSODQVIRUODQG IRUFHVLQWRDQGRXWRIWKHWKHDWHURIRSHUDWLRQV7KHWKHDWHU
DUP\DOVRUHTXHVWVIRUFHVWRVXSSRUWRQJRLQJ$UP\ UHVSRQVLELOLWLHVIRUWKHDWHULQIUDVWUXFWXUHGHYHORSPHQW
SULPDULO\LQFOXGLQJ LQWHOOLJHQFHDLUDQG PLVVLOHGHIHQVH $0'  VXVWDLQPHQWDQG FRPPXQLFDWLRQV 6HH
$73 DQG)0IRUGHWDLOHGLQIRUPDWLRQRQWKHDWHUDUP\VXSSRUWUHVSRQVLELOLWLHV 

+RVW1DWLRQ6XSSRUW
 7KHWKHDWHUDUP\SURYLGHVDNH\UROHLQKRVWQDWLRQVXSSRUW +16 +RVWQDWLRQVXSSRUWLVFLYLODQGRU
PLOLWDU\DVVLVWDQFHUHQGHUHGE\ D QDWLRQ WRIRUHLJQIRUFHVZLWKLQ LWVWHUULWRU\GXULQJ SHDFHWLPHFULVHV RU
HPHUJHQFLHVRU ZDU EDVHG RQ DJUHHPHQWVPXWXDOO\ FRQFOXGHGEHWZHHQ QDWLRQV -3 7KHVH IRUPDO
DJUHHPHQWVDUHEHWZHHQWKHJRYHUQPHQWVRIWKH8QLWHG6WDWHVDQGWKHKRVWQDWLRQ+RZHYHUUHDODGMXVWPHQWV
WRH[LVWLQJ86$UP\GHSOR\PHQWSODQVPXVWEHGLUHFWO\UHODWHGWRWKHDFWXDOGHWDLOVRI+16DJUHHPHQWVDQG
SODQVWKDWGHILQHDOOVSHFLILFWDVNVSULRULWLHVDQG SURFHGXUHVIRUYDOLGDWLRQ)XUWKHUVXFKDGMXVWPHQWVZLOO
DFFRXQWIRUDQ\SROLWLFDOHFRQRPLFRUGLSORPDWLFGHYHORSPHQWVZLWKUHVSHFWWRWKHKRVWQDWLRQWKDWLQFUHDVH
WKH ULVNWKDW WKH KRVWQDWLRQ ZLOO EH XQZLOOLQJ RUXQDEOH WR IXOO\FRPSO\ ZLWK WKH+16 DJUHHPHQW 6HH
$5 DQG$5IRUPRUHLQIRUPDWLRQRQ+16 
 0DQ\ +16DJUHHPHQWVKDYH DOUHDG\EHHQQHJRWLDWHG+16DJUHHPHQWVPD\ LQFOXGHSUHSRVLWLRQLQJ
RIVXSSOLHVDQG HTXLSPHQWWUDLQLQJSURJUDPVRXWVLGHWKHFRQWLQHQWDO8QLWHG6WDWHVDQGKXPDQLWDULDQDQG
FLYLO DVVLVWDQFHSURJUDPV 7KHVH DJUHHPHQWVDUH GHVLJQHG WR HQKDQFH WKH GHYHORSPHQW DQG FRRSHUDWLYH

3-10 FM 3-0, C1 6 December 2017


2SHUDWLRQVWR6KDSH

VROLGDULW\RIWKHKRVWQDWLRQDQGSURYLGHLQIUDVWUXFWXUHFRPSHQVDWLRQVKRXOGGHSOR\PHQWRIIRUFHVWRWKHKRVW
QDWLRQ EH UHTXLUHG 7KH SUHDUUDQJHPHQW RI WKHVH DJUHHPHQWV UHGXFHV SODQQLQJ WLPHV LQ UHODWLRQ WR
FRQWLQJHQF\SODQVDQGRSHUDWLRQV
 +16DJUHHPHQWVWKDWWKHWKHDWHUDUP\PD\ DGGUHVVDUHDUUDQJLQJODERUVXSSRUWIRUSRUWDQG WHUPLQDO
RSHUDWLRQVXVLQJDYDLODEOH WUDQVSRUWDWLRQDVVHWVLQFRXQWU\XVLQJ EXON SHWUROHXPGLVWULEXWLRQDQG VWRUDJH
IDFLOLWLHVVXSSO\LQJ&ODVV,,,DQG&ODVV,9LWHPVGHYHORSLQJDLUVSDFHSURFHGXUHVJXLGHVDQGGHYHORSLQJDQG
XVLQJ ILHOGVHUYLFHV7KH WKHDWHUDUP\ LQLWLDWHVDQG FRQWLQXDOO\ HYDOXDWHV DJUHHPHQWVZLWK PXOWLQDWLRQDO
SDUWQHUV IRU LPSURYHPHQW $JUHHPHQWV VKRXOG EH VSHFLILFDOO\ZRUGHG WR HQDEOH SODQQHUV WR DGMXVW IRU
VSHFLILHGUHTXLUHPHQWV$GGLWLRQDOO\ SODQQHUVVKRXOGDVVHVVWKHULVNDVVRFLDWHGZLWKXVLQJ+16DQGWKH\
VKRXOGFRQVLGHURSHUDWLRQDODUHDVHFXULW\DQGRSHUDWLRQDOUHTXLUHPHQWV

2SHUDWLRQDO&RQWUDFW6XSSRUW
 7KH WKHDWHUDUP\ DOVRSODQVDQG FRRUGLQDWHVRSHUDWLRQDOFRQWUDFWVXSSRUWWRODQG IRUFHV&RQWUDFWLQJ
VXSSRUWPD\LQFOXGHREWDLQLQJDLUDQG VHDSRUWVRIHQWU\:KHQGLUHFWHGWKHWKHDWHUDUP\PD\ FRQWUDFWIRU
WKHHVWDEOLVKPHQWRILQWHUPHGLDWHVWDJLQJEDVHVSRVVLEOHORFDWLRQVIRUSUHSRVLWLRQHGVWRFNVDQG SRVVLEOH
DVVHPEO\DUHDVLQ VXSSRUWRIRSHUDWLRQVWRSUHYHQWDQG ZLQ 3DUWRIWKLVSURFHVVLQFOXGHVLGHQWLILFDWLRQRI
$UP\ DQGKRVWQDWLRQFDSDELOLW\JDSV DQGKRZ VXFKJDSVPD\ EHFRUUHFWHGRUPLWLJDWHG7KHWKHDWHUDUP\
FRQGXFWVFRQWLQXDODVVHVVPHQWRIZKDW UHVRXUFHVPD\ EHUHTXLUHGLQ VXSSRUWRIERWK WKHKRVW QDWLRQ DQG
GHSOR\LQJIRUFHV:KHQSRVVLEOHRSHUDWLRQDOFRQWUDFWVXSSRUWVKRXOGEHSODQQHGDQGFRRUGLQDWHGLQDGYDQF H
RIDQDFWXDOGHSOR\PHQW$GGLWLRQDOO\+16VKRXOGEHFRQVLGHUHGILUVWEHIRUHDGHFLVLRQLVPDGHWRFRQWUDFW
IRUUHTXLUHGVXSSRUW 6HH$73IRUPRUHLQIRUPDWLRQRQRSHUDWLRQDOFRQWUDFWVXSSRUW 

)RUHLJQ 'LVFORVXUH
 7KH WKHDWHUDUP\SHUIRUPVDFHQWUDOUROHLQGHWHUPLQLQJIRUHLJQGLVFORVXUHUXOHV,WLVQRUPDOO\DWWKH
WKHDWHUOHYHOZKHUHIULFWLRQSRLQWVWRLQIRUPDWLRQVKDULQJDUHLGHQWLILHGDQG GHFRQIOLFWHG&RPPDQGHUVDQG
XQLILHG DFWLRQ SDUWQHUV PXVW UHFHLYH FRPEDW LQIRUPDWLRQ DQG LQWHOOLJHQFHSURGXFWV LQ WLPH DQG LQ DQ
DSSURSULDWHIRUPDWWRIDFLOLWDWHVKDUHGXQGHUVWDQGLQJDQG VXSSRUWGHFLVLRQPDNLQJ7LPHO\GLVVHPLQDWLRQRI
LQIRUPDWLRQLVFULWLFDOWRWKHVXFFHVVRIPXOWLQDWLRQDORSHUDWLRQV'LVVHPLQDWLRQLVGHOLEHUDWHDQG HQVXUHV
FRQVXPHUVUHFHLYHFRPEDW LQIRUPDWLRQDQG LQWHOOLJHQFHSURGXFWVWR VXSSRUW RSHUDWLRQV7KHUHIRUH WKLV
FULWLFDOUROHVKRXOG HQDEOH LQIRUPDWLRQVKDULQJ WR WKH PD[LPXP H[WHQW DOORZHG E\ ODZ UHJXODWLRQ DQG
JRYHUQPHQWZLGHSROLF\

$50<&<%(563$&( 25*$1,=$7,216
 &\EHUVSDFHVXSSRUWLVGHYHORSHGDQG HPSOR\HGGXULQJ RSHUDWLRQVWRVKDSH&\EHUVSDFHFDSDELOLWLHV
PXVW EH EXLOW PRYHG DQG SURYLGHG DFFHVVWR YDULRXV QRGHV DFURVVF\EHUVSDFH 7KHVH V\VWHPVUHTXLUH
FRQVWDQWPDLQWHQDQFHDQGGHIHQVHWKURXJKRXWRSHUDWLRQVWRVKDSH&\EHUVSDFHFDSDELOLWLHVVKRXOGDOZD\VEH
FRQVLGHUHGLQFRQWDFWZLWKWKUHDWV
 $5&<%(5 LV WKH $UP\ KHDGTXDUWHUV UHVSRQVLEOH IRU F\EHUVSDFH RSHUDWLRQV WR VXSSRUW MRLQW
UHTXLUHPHQWV,WLVWKHVLQJOHSRLQWRIFRQWDFWIRUUHSRUWLQJDQGDVVHVVLQJ$UP\F\EHUVSDFHLQFLGHQWVHYHQWV
DQG RSHUDWLRQVLQ$UP\ QHWZRUNVDQG IRUV\QFKURQL]LQJDQG LQWHJUDWLQJ$UP\ UHVSRQVHV:KHQGLUHFWHG
$5&<%(5 FRQGXFWVRIIHQVLYHDQGGHIHQVLYHF\EHUVSDFHRSHUDWLRQVWRHQVXUHXQLILHGDFWLRQSDUWQHUIUHHGRP
RIDFWLRQLQF\EHUVSDFHDQGWRGHQ\LWWRDGYHUVDULHV$5&<%(5 SURYLGHVDSSURSULDWHLQWHUDFWLRQVERWKDV
D VXSSRUWHG DQG DV D VXSSRUWLQJ FRPPDQG WR $UP\ 6HUYLFH FRPSRQHQWFRPPDQGV $6&&V  LQFOXGLQJ
WKHDWHU DUPLHV$UP\ FRPPDQGV GLUHFWUHSRUWLQJ XQLWV DQG XQLILHG DFWLRQ SDUWQHUV $5&<%(5 SODQV
FRRUGLQDWHVV\QFKURQL]HVDQGGLUHFWVDQLQWHJUDWHGGHIHQVHZLWKLQWKH'HSDUWPHQWRI'HIHQVHLQIRUPDWLRQ
QHWZRUN$UP\ '2',1$  DQG ZKHQ GLUHFWHGRWKHUSRUWLRQVRIWKH'HSDUWPHQWRI'HIHQVHLQIRUPDWLRQ
QHWZRUN '2',1 $5&<%(5 LVUHVSRQVLEOHIRUVXSSRUWLQJMRLQWLQIRUPDWLRQRSHUDWLRQVPLVVLRQVWKURXJK
RSHUDWLRQDOFRQWURORIWKHVW,QIRUPDWLRQ2SHUDWLRQV&RPPDQG /DQG 
 7KH$UP\&\EHUVSDFH2SHUDWLRQVDQG,QWHJUDWLRQ&HQWHULVDQRSHUDWLRQDOHOHPHQWRIWKH$5&<%(5
KHDGTXDUWHUV,WLVWKHWRSOHYHOFRQWUROFHQWHUIRUDOO'2',1RSHUDWLRQVDQGGHIHQVLYHF\EHUVSDFHRSHUDWLRQV
'&2 7KH$UP\&\EHUVSDFH2SHUDWLRQVDQG,QWHJUDWLRQ&HQWHUSURYLGHV'2',1RSHUDWLRQVUHSRUWLQJDQG
VLWXDWLRQDO XQGHUVWDQGLQJ IRU WKH '2',1 DQG WKH '2',1$ 7KH $UP\ &\EHUVSDFH 2SHUDWLRQV DQG

6 December 2017 FM 3-0, C1 3-11


Chapter 3

,QWHJUDWLRQ&HQWHUDOVRSURYLGHVZRUOGZLGH '2',1RSHUDWLRQDODQG WHFKQLFDOVXSSRUWDFURVVWKHVWUDWHJLF


RSHUDWLRQDODQGWDFWLFDOOHYHOVLQFRRUGLQDWLRQZLWKWKHWKHDWHUDUPLHV
 7KHDWHUDUP\F\EHUVSDFHHOHPHQWVSURYLGHHQDEOHUVIRUPLVVLRQFRPPDQGDQG PHVVDJLQJWRVXSSRUW
WKH VKDSLQJ RISHUFHSWLRQVLQFRQFHUWZLWK WKH*&&¶V 7&3 7KH UHJLRQDOF\EHUFHQWHURYHUVHHV'2',1
RSHUDWLRQVDQG '&2LQWHUQDOGHIHQVLYHPHDVXUHVLQWKHDWHU7KHWKHDWHUF\EHUVSDFHIRUFHVFRRUGLQDWHZLWK
QDWLRQDODJHQFLHVWRGHYHORSF\EHUVSDFHDZDUHQHVVSRWHQWLDOWRROVIRUIXWXUHXVHDQG EHWWHUSURWHFWLRQIRU
IULHQGO\ QHWZRUNV 7KH\ DFW FRQWLQXRXVO\ WR GHIHQG IULHQGO\ QHWZRUNV DJDLQVW F\EHUVSDFHDWWDFNV 6HH
-3>5@DQG)0IRUPRUHLQIRUPDWLRQRQF\EHUVSDFHHOHPHQWV 

$50<63(&,$/ 23(5$7,216 )25&(6


 ,QDGGLWLRQWRFRQWULEXWLRQVWKURXJKVWDQGDUGVHFXULW\FRRSHUDWLRQSURJUDPVDQGRSHUDWLRQVWRVXSSRUW
VKDSLQJ DFWLYLWLHV$562) KDYH XQLTXH PLVVLRQVWKDWDUHFRQGXFWHGLQ VXSSRUWRIWKHVKDSLQJ REMHFWLYHV
3UHSDUDWLRQRIWKHHQYLURQPHQWLVDQXPEUHOODWHUPIRURSHUDWLRQVDQGDFWLYLWLHVFRQGXFWHGE\VHOHFWLYHO\
WUDLQHGVSHFLDORSHUDWLRQVIRUFHVWRGHYHORSDQHQYLURQPHQWIRUSRWHQWLDOIXWXUHVSHFLDORSHUDWLRQV -3 
3UHSDUDWLRQRIWKHHQYLURQPHQWLVVXSSRUWHGE\LQWHOOLJHQFHRSHUDWLRQVDQGLQFOXGHVRSHUDWLRQDOSUHSDUDWLRQ
RIWKH HQYLURQPHQW DQG VSHFLDORSHUDWLRQVDGYDQFH IRUFHRSHUDWLRQV,QWHOOLJHQFHW\SLFDOO\ EXLOGV RQ WKH
LQIRUPDWLRQSURYLGHG E\ RSHUDWLRQDOSUHSDUDWLRQRIWKHHQYLURQPHQWDQG VSHFLDORSHUDWLRQVDGYDQFH IRUFH
RSHUDWLRQVFRPSLOLQJLWZLWKRWKHUVRXUFHVRILQIRUPDWLRQWRSURYLGHWKHLQWHOOLJHQFHSLFWXUH7KHLQIRUPDWLRQ
SURYLGHGE\SUHSDUDWLRQRIWKHHQYLURQPHQWFDQHQKDQFHLQWHOOLJHQFHSUHSDUDWLRQRIWKHEDWWOHILHOG ,3% WR
VXSSRUWVXEVHTXHQWPLOLWDU\RSHUDWLRQV

&2536$1'%(/2:
 $UP\XQLWVDWWKHFRUSVDQGORZHUHFKHORQVH[HFXWHVKDSLQJWDVNVDQGSURYLGHWKHIRUFHVIRUVHFXULW\
FRRSHUDWLRQ$UP\ IRUFHVPD\ VXSSRUW6)$ ),' RUVHFXULW\DVVLVWDQFHE\ SDUWLFLSDWLQJLQ PXOWLQDWLRQDO
H[HUFLVHVPHGLFDODQGRWKHUFLYLOPLOLWDU\RSHUDWLRQVGHYHORSPHQWDVVLVWDQFHDQGWUDLQLQJH[FKDQJHV$UP\
IRUFHVDWFRUSVHFKHORQVDQGEHORZGLUHFWO\HQJDJHZLWKSDUWQHUIRUFHVJRYHUQPHQWDODQGQRQJRYHUQPHQWDO
RUJDQL]DWLRQVDQGFLYLOLDQSRSXODWLRQVWRDFFRPSOLVKWKHLUPLVVLRQEXLOGUDSSRUWDQGLPSURYHFRQGLWLRQVWR
SURPRWHVWDELOLW\
 &RUSVDQG ORZHUHFKHORQ6)$ WDVNV LQFOXGHJHQHUDOGHYHORSPHQWDOWDVNV WRRUJDQL]H WUDLQ HTXLS
UHEXLOGEXLOG DGYLVH DQG DVVLVWDQG DVVHVV7KHVHWDVNVUHSUHVHQW6)$ FDSDELOLW\DUHDV(DFK HOHPHQWRI
WKHVHWDVNVFDQEHXVHGWRGHYHORSFKDQJHRULPSURYHWKHFDSDELOLW\DQGFDSDFLW\RI)6)DQGVWUHQJWKHQWKH
UHVROYHRI SDUWQHU QDWLRQV %\ FRQGXFWLQJ DQ DVVHVVPHQWRI )6) WKURXJK WKH OHQV RI 86 LQWHUHVWVDQG
REMHFWLYHVFRXSOHGZLWKVKDUHGLQWHUHVWVRIPXOWLQDWLRQDOSDUWQHUV86IRUFHVFDQGHWHUPLQHZKLFKDUHDRU
DUHDVZLWKLQ WKHRUJDQL]HWUDLQHTXLS UHEXLOGDQG EXLOG DGYLVH DQG DVVLVWDQG DVVHVVFRQVWUXFWWRXVHWR
LPSURYHWKH)6)WRWKHGHVLUHGFDSDELOLW\DQGFDSDFLW\3ODQQHUVVKRXOGGHWHUPLQHZKDWLVLQWKHEHVWLQWHUHVWV
RI WKH PXOWLQDWLRQDO SDUWQHUVLQYROYHG WR DFKLHYH VKDUHG REMHFWLYHV 6HH )0 IRU D PRUHGHWDLOHG
GHVFULSWLRQRIDFWLYLWLHVIRUEXLOGLQJ)6) 

5HJLRQDOO\$VVLJQHGDQG$OLJQHG)RUFHV
 5HJLRQDOO\ DVVLJQHG RUDOLJQHG IRUFHVDUHWKRVHIRUFHV WKDW SURYLGH D FRPEDWDQW FRPPDQGHU ZLWK
VFDODEOHWDLORUDEOHFDSDELOLWLHVWRVKDSH2(V7KH\ DUHWKRVH$UP\XQLWVDVVLJQHGRUDOORFDWHGWRFRPEDWDQW
FRPPDQGV RU WKRVH$UP\ FDSDELOLWLHVGLVWULEXWHG DQG SUHSDUHG E\ WKH $UP\ IRU FRPEDWDQW FRPPDQG
UHJLRQDOPLVVLRQV$FRUSVKHDGTXDUWHUVSUHSDUHVH[HUFLVHVDQGHQVXUHVUHDGLQHVVRILWVDVVLJQHGIRUFHVWR
VXSSRUW VHFXULW\FRRSHUDWLRQXVLQJ WKH *XLGDQFHIRU (PSOR\PHQWRI WKH )RUFH DV D SODQQLQJ WRROIRU
SULRULWL]DWLRQRIUHVRXUFHVDQGVXSSRUW
 ,WLVWKHFRPELQDWLRQRIFRPEDWUHDGLQHVVHIIHFWLYHLQIRUPDWLRQRSHUDWLRQVDQGVHFXULW\FRRSHUDWLRQ
FRPSHWHQFHWKDWOHQGVFUHGLELOLW\WR$UP\UHJLRQDOO\DVVLJQHGDQG DOLJQHGIRUFHV5HJLRQDODVVLJQPHQWDQG
DOLJQPHQWSURYLGHVDQHIIHFWLYHDSSURDFKWRQRQWUDGLWLRQDOWKUHDWV)RUFHVRUJDQL]HGXQGHUWKLVFRQFHSWFDQ
SURYLGH SHUVLVWHQWSUHVHQFHIRU FRPEDWDQW FRPPDQGHUV DQG WKH FDSDELOLW\ WR DVVXUH SDUWQHUV DQG GHWHU
DGYHUVDULHV5HJLRQDOO\ DOLJQHG IRUFHVFRPSO\ZLWK FRPEDWDQWFRPPDQG UHTXLUHPHQWVWRXQGHUVWDQG WKH
FXOWXUHVJHRJUDSK\ ODQJXDJHV DQG PLOLWDULHVRIWKHFRXQWULHVZKHUHWKH\DUHPRVWOLNHO\WREHHPSOR\HG
7KH\ DOVRGHYHORSH[SHUWLVHDERXWKRZ WRLPSDUWPLOLWDU\NQRZOHGJH DQG VNLOOVWRRWKHUV:KLOHDOOIRUFHV

3-12 FM 3-0, C1 6 December 2017


2SHUDWLRQVWR6KDSH

PXVWEHSUHSDUHGWRH[HFXWHODUJHVFDOHFRPEDWRSHUDWLRQVGXULQJVKDSLQJWKH\SULPDULO\FRQGXFWWKHDWHU
VHFXULW\ FRRSHUDWLRQ DFWLYLWLHV DQG WKH\ RIWHQ SDUWLFLSDWH LQ ELODWHUDO RU PXOWLODWHUDO PLOLWDU\ H[HUFLVHV WR
LPSURYH LQWHURSHUDELOLW\ EXLOG VKDUHG WUXVW JDLQ JUHDWHU DFFHVV DQG EXLOG FDSDFLW\ 6HH $73  IRU
DGGLWLRQDOGHWDLOVDERXWWKHUROHRIWKHFRUSVKHDGTXDUWHUVGXULQJRSHUDWLRQVWRVKDSH 

,QWHUGHSHQGHQFH,QWHURSHUDELOLW\DQG,QWHJUDWLRQRI&RQYHQWLRQDODQG6SHFLDO2SHUDWLRQV
)RUFHV
 0DQ\FULWHULDGHWHUPLQHZKHQFRQYHQWLRQDOIRUFHV62)RUDFRPELQDWLRQRIWKHWZRDUHDSSURSULDWH
WR FRQGXFW VHFXULW\ FRRSHUDWLRQ DFWLYLWLHV %RWK IRUFH OHYHOV DQG IRUFH FKDUDFWHULVWLFV VXJJHVW RSWLPDO
DFFHSWDEOH DQG GHVLUDEOH IRUFH SDFNDJH RSWLRQV LQ SODQQLQJ DQG UHVRXUFLQJ $GGLWLRQDO FRQVLGHUDWLRQV
LQFOXGHWKHXQLTXHFDSDELOLWLHVRIHDFKIRUFH)RUH[DPSOH$562)SURYLGHLQIRUPDWLRQDQGLQWHOOLJHQFHWR
WKH$UP\WRKHOSEXLOGVKDUHGXQGHUVWDQGLQJRIDQ2(2SWLRQVIRUWKHGHSOR\PHQWRIDPRGXODUEULJDGH
DXJPHQWDWLRQDVHOHFWQXPEHURIFRQYHQWLRQDOPLOLWDU\WUDQVLWLRQWHDPVRU62)GHSHQGRQWKHRYHUDOO86
QDWLRQDO SROLF\ WKH FRQGLWLRQV RI DQ 2( WKH SULRULWLHV RI WKH LQWHUQDO GHIHQVH DQG GHYHORSPHQW VWUDWHJ\
VXSSRUWHGE\ WKH7&3DQGGHWDLOHGLQWKH WKHDWHU VHFXULW\ FRRSHUDWLRQSODQDQGIRUFHV DYDLODEOH $FOHDU
XQGHUVWDQGLQJ RI FRPPDQG DQG VXSSRUW UHODWLRQVKLSV EHWZHHQ FRQYHQWLRQDO IRUFHV DQG 62) VKRXOG EH LQ
SODFH SULRU WR GHSOR\PHQW RI VXFK IRUFHV $GGLWLRQDOO\ PHDQV RI FRPPXQLFDWLRQV DQG UHTXLUHPHQWV IRU
FRPPXQLFDWLRQVKRXOGH[LVWZKHUH62)PD\EHRSHUDWLQJLQDFRQYHQWLRQDOIRUFH¶V$2
 5DUHO\ZLOO$UP\ RUMRLQW IRUFHVEHKRPRJHQRXVLQWHUPVRIFRQYHQWLRQDOIRUFHVRU62)DVWKH\ZLOO
QRUPDOO\EHFRPSULVHGRIERWK5HFHQWRSHUDWLRQDOH[SHULHQFHKDVVKRZQWKDWWKHVXSSRUWHGFRPPDQGHUPD\
EHWKHFRQYHQWLRQDOIRUFHRU62)FRPPDQGHU
 5HJDUGOHVVRIWKHOHYHORILQWHJUDWLRQWKHUHLVDOVRDQLQWHUGHSHQGHQFHWLHGWRWKHREMHFWLYHVHDFKIRUFH
LVVXSSRUWLQJ%RWKPD\EHFRQGXFWLQJVKDSLQJDFWLYLWLHVLQWKHVDPHFRXQWU\VLPXOWDQHRXVO\RUVHTXHQWLDOO\
(DFKPXVWDFFRXQWIRUWKHRWKHU¶VDFWLRQVDQGWKHLULPSDFWRQWKHHQYLURQPHQW$FFRXQWLQJRFFXUVGXULQJWKH
UHYLHZRIWULSUHSRUWVDIWHUDFWLRQUHSRUWVDQGRWKHUSRVWPLVVLRQUHSRUWVFRQGXFWHGDWWKHDWHUHFKHORQRU
EHORZ$WWKHWKHDWHUHFKHORQWKLVDFFRXQWLQJRFFXUVEHWZHHQWKHDWHUVSHFLDORSHUDWLRQVFRPPDQGDQGWKHDWHU
$UP\WKURXJKODWHUDOVWDIIDFWLYLWLHVDQGDWWKH*&&VWDIIDVWKH\WUDFNSURJUHVVWRZDUGVDFKLHYLQJREMHFWLYHV
ODLGRXWLQWKHWKHDWHUVHFXULW\FRRSHUDWLRQSODQ
 $Q6)$PLVVLRQPD\H[FHHGWKHFDSDFLW\RIDYDLODEOH62):KHQUHTXLUHGWRWUDLQDODUJHQXPEHURI
)6)LQDVKRUWWLPHSODQQHUVDWWKHWKHDWHUDUP\OHYHOGHWHUPLQHWKHQXPEHURIFRQYHQWLRQDOIRUFHVDQG62)
DVSDUWRIWKHLUPLVVLRQDQDO\VLVDLPHGDWWUDLQLQJHQRXJKIRUFHVLQDJLYHQWLPHIUDPH $FRUSVLVXVXDOO\
UHVSRQVLEOHIRUWKHFRQYHQWLRQDOIRUFHVDVVLJQHGWRWKHVHPLVVLRQVDQGLWLVWKXVUHVSRQVLEOHWRHQVXUHWKH
IRUFHVWDVNHGZLWKWKHVHPLVVLRQVDUHWUDLQHGDQGFDSDEOHRIWUDLQLQJ)6)
 &RUSVKHDGTXDUWHUVPD[LPL]HXVHRIDYDLODEOHWDOHQWWREXLOGLQWHUGHSHQGHQFHLQWKHLUDVVLJQHGIRUFHV
&RUSVKHDGTXDUWHUVKDYHWKHDELOLW\WRGHVLJQH[HUFLVHVWKDWLQWHJUDWHFRQYHQWLRQDOIRUFHVDQG62)ZRUNLQJ
WRJHWKHU 7KH W\SH RI WUDLQLQJ GHSHQGV RQ WKH QDWXUH RI WKH )6) EHLQJ WUDLQHG DQG FRPPDQGHUV VKRXOG
FRQVLGHU WUDQVLWLRQLQJ WKH LQLWLDO PLVVLRQ IURP 62) WR D FRQYHQWLRQDO IRUFH WKDW FDQ WHDFK )6) XVLQJ WKH
FUDZOZDONUXQDSSURDFK
 $Q DGGLWLRQDO FRQVLGHUDWLRQ LV LQWHURSHUDELOLW\ RI IRUFHV ,QWHURSHUDELOLW\ LV RIWHQ PHDVXUHG E\ WKH
DELOLW\RIPXOWLQDWLRQDOIRUPDWLRQVWRH[HFXWHVHFXUHFRPPXQLFDWLRQVSURFHVVGLJLWDOILUHPLVVLRQVDQGVKDUH
D FRPPRQ RSHUDWLRQDO SLFWXUH $UP\ IRUFHV WUDLQ ZLWK XQLILHG DFWLRQ SDUWQHUV WR HQVXUH LQWHURSHUDELOLW\
:RUNLQJ ZLWK XQLILHG DFWLRQ SDUWQHUV LV FULWLFDO WR WKH $UP\¶V DELOLW\ WR EXLOG FUHGLEOH GHWHUUHQFH LQ DQ\
WKHDWHU3ODQQHUVPXVWFRQVLGHUSURFHGXUDOV\VWHPVWKDWIDFLOLWDWHLQWHURSHUDELOLW\ZKHQWHFKQLFDOFDSDELOLWLHV
DUHQRWFRPSDWLEOH

'LYLVLRQV
 'XULQJRSHUDWLRQVWRVKDSHWKHUROHRIDGLYLVLRQKHDGTXDUWHUVLVQRWVLJQLILFDQWO\GLIIHUHQWWKDQWKDW
GHVFULEHGIRUDFRUSVKHDGTXDUWHUV'LYLVLRQKHDGTXDUWHUVDUHRIWHQWDVNHGWREHWKHSULPDU\LQWHUIDFHIRUWKH
$UP\ZLWKYDULRXVXQLILHGDFWLRQSDUWQHUVGXULQJRSHUDWLRQVWRVKDSH:KHQUHJLRQDOO\DOLJQHGDGLYLVLRQ
ZLWK D WDLORUHG SDFNDJH RI LWV VXERUGLQDWH EULJDGHV DQG RWKHU HQDEOHUV²ERWK 5HJXODU $UP\ DQG 5HVHUYH
&RPSRQHQW²LV DOORFDWHG WR D FRPEDWDQW FRPPDQGHU WR KHOS H[HFXWH WKDW FRPEDWDQW FRPPDQGHU¶V 7&3
([DPSOHVRIDGGLWLRQDOHQDEOHUVLQFOXGH&$XQLWVPLOLWDU\LQWHOOLJHQFHXQLWVGLJLWDOOLDLVRQGHWDFKPHQWV

6 October 2017 FM 3-0 3-13


Chapter 3

PDQHXYHUHQKDQFHPHQWEULJDGHVPLOLWDU\SROLFH 03 XQLWVFKHPLFDOELRORJLFDOUDGLRORJLFDODQGQXFOHDU
&%51 XQLWVDQGHQJLQHHUXQLWV
 $UHJLRQDOO\DOLJQHGGLYLVLRQZLOOQRUPDOO\ZRUNZLWKPXOWLQDWLRQDOSDUWQHUVLQDVHFXULW\FRRSHUDWLRQ
FRQWH[WRYHUH[WHQGHGSHULRGV7KLVGLYLVLRQZLOOKHOSSDUWQHUVWKURXJKFRQGXFWLQJYDULRXVDFWLYLWLHVVXFKDV
H[HUFLVHVWUDLQLQJHTXLSSLQJHGXFDWLRQFRQIHUHQFHVDQGPLOLWDU\VWDIIWDONVWRVKDSHWKHHQYLURQPHQWE\
EXLOGLQJSDUWQHUFDSDFLW\WRSUHYHQWDQGGHWHUFRQIOLFW'LYLVLRQVXSSRUWWRVHFXULW\FRRSHUDWLRQKHOSVWRVKDSH
UHJLRQDOVWDELOLW\E\²
z %XLOGLQJGHIHQVHUHODWLRQVKLSVWKDWSURPRWH86VHFXULW\LQWHUHVWV
z 'HYHORSLQJIULHQGO\PLOLWDU\FDSDELOLWLHVIRUVHOIGHIHQVHDQGPXOWLQDWLRQDORSHUDWLRQV
z 3URYLGLQJGLYLVLRQDQGRWKHU86IRUFHVZLWKSHDFHWLPHDQGFRQWLQJHQF\DFFHVVWRKRVWQDWLRQVWR
SUHYHQWDQGGHWHUFRQIOLFW
 'LYLVLRQKHDGTXDUWHUVSURYLGHDQLQWHUIDFHEHWZHHQWKHEULJDGHVWDVNHGWRFRQGXFWVSHFLILFRSHUDWLRQV
WR VKDSH DQG WKH FRUSV VWDII PDQDJLQJ WKH PLVVLRQV PRYHPHQW RSHUDWLRQDO UHDGLQHVVUHODWHG HTXLSPHQW
LVVXHV DQG WUDLQLQJ UHTXLUHPHQWV DFURVV HFKHORQV 'LYLVLRQ KHDGTXDUWHUV SURYLGH WUDLQLQJ UHVRXUFHV DQG
RYHUVLJKWWREULJDGHVDWKRPHVWDWLRQDQGWKH\SOD\DFULWLFDOUROHLQWKHGHYHORSPHQWRIOHDGHUVGRZQWRWKH
EDWWDOLRQOHYHO'LYLVLRQKHDGTXDUWHUVVKRXOGSOD\DFRQWLQXRXVSRVLWLYHUROHLQWKHUHDGLQHVVRIXQLWVRYHU
ZKLFKWKH\KDYHLQIOXHQFHSURWHFWLQJWKHLUWLPHDQGHQVXULQJWKDWGHPDQGLQJUHDOLVWLFWUDLQLQJUHPDLQVWKH
ILUVWSULRULW\
 'LYLVLRQKHDGTXDUWHUVIXUWKHUSURYLGHVXEMHFWPDWWHUH[SHUWLVHWRDVVLVWEULJDGHVDVWKH\SUHSDUHIRU
PLVVLRQVRUFDSVWRQHWUDLQLQJH[HUFLVHV/RZGHQVLW\PLOLWDU\RFFXSDWLRQVSHFLDOWLHVRUVSHFLDOL]HGXQLWVPD\
EHQHILWIURPWKHGLYLVLRQFRQVROLGDWLRQRIWUDLQLQJHYHQWV'LYLVLRQVXVXDOO\KDYHVXEMHFWPDWWHUH[SHUWVLQ
WKHORZGHQVLW\VSHFLDOWLHVZKRGHYHORSLPSOHPHQWH[HFXWHDQGHYDOXDWHWUDLQLQJSURJUDPVDFURVVVHYHUDO
HFKHORQV 6HH$73IRUDIXUWKHUGLVFXVVLRQRIWKHGLYLVLRQUROHVDQGUHVSRQVLELOLWLHVGXULQJRSHUDWLRQV
WRVKDSH 

%ULJDGHV
 %ULJDGHVGHSOR\LQJLQVXSSRUWRIRSHUDWLRQVWRVKDSHZRUNFORVHO\ZLWKWKHDWHUDUP\DQGFRXQWU\WHDP
VWDIIVWKURXJKWKHLUKLJKHUHFKHORQKHDGTXDUWHUV&RPPDQGHUVHQVXUHWKDWUHDGLQHVVSULRULWLHVDOLJQZLWKWKHLU
PLVVLRQVDQGWKDWWKH\DUHERWKUHDOLVWLFDQGUHOHYDQW 6HH7&IRUXVHIXOUHIHUHQFHVIRUWKHH[HFXWLRQ
RIWDFWLFVWHFKQLTXHVDQGSURFHGXUHVIRUVHFXULW\FRRSHUDWLRQDFWLYLWLHV 
 7KH PLVVLRQHVVHQWLDO WDVN OLVW 0(7/  SURYLGHV IRFXV IRU WUDLQLQJ 7KH FUHGLELOLW\ RI $UP\ IRUFHV
VWHPVILUVWDQGIRUHPRVWIURPWKHLUFDSDELOLW\WRZDJHODUJHVFDOHFRPEDWRSHUDWLRQV%ULJDGHFRPEDWWHDPV
%&7V DQGPXOWLIXQFWLRQDOEULJDGHVJHQHUDOO\SURYLGHPRVWRIWKH6ROGLHUVSHUIRUPLQJRSHUDWLRQVWRVKDSH
7KRVHRSHUDWLRQVPD\UHTXLUHSURILFLHQF\LQWDVNVQRWGLUHFWO\OLQNHGWRWKH0(7/VRFRPPDQGHUVGHWHUPLQH
ZKHUHWRDVVXPHULVNGXULQJSUHSDUDWLRQLQRUGHUWRHQVXUHIOH[LELOLW\DFURVVWKHIRUFH5HDOLVWLFWUDLQLQJZLWK
OLPLWHGWLPHDQGUHVRXUFHVGHPDQGVWKDWFRPPDQGHUVIRFXVWKHLUXQLWWUDLQLQJHIIRUWVWRPD[LPL]HWUDLQLQJ
SURILFLHQF\ 6HHFKDSWHUIRUDGGLWLRQDOLQIRUPDWLRQRQWUDLQLQJ 
 0DLQWDLQLQJ DQG WUDLQLQJ $UP\ V\VWHPV LV SDUW RI UHDGLQHVV 2SHUDWLRQDO UHDGLQHVV UHIOHFWV WKH
SURIHVVLRQDOLVPRIDIRUFHDEOHWRPDLQWDLQLWVWRROV3URSHUO\PDLQWDLQHGHTXLSPHQWDQGZHDSRQVFRXSOHG
ZLWK WRXJK UHDOLVWLF WUDLQLQJ LV ZKDW FUHDWHV FRKHVLYH DGDSWLYH DQG HIIHFWLYH WHDPV /HDGHUV HQVXUH
HTXLSPHQW UHDGLQHVV DQG DFFRXQWDELOLW\ WKURXJK WHFKQLFDO FRPSHWHQFH GLVFLSOLQH D FRPPLWPHQW WR
VWHZDUGVKLSRIUHVRXUFHVDQGWKHLQWHJUDWLRQRIPDLQWHQDQFHLQWRWUDLQLQJDQGRSHUDWLRQV/HDGHUVDQGXQLWV
PXVWEHSUHSDUHGIRUHPSOR\PHQWEHIRUHDFULVLVGXULQJDFULVLVWKH\ZLOOEHFRPPLWWHGWRPLVVLRQVDVWKH\
DUHQRWDVKRZWKH\PLJKWZLVKWREH

&2162/,'$7(*$,16
 7KHSULPDU\FRQVROLGDWLRQRIJDLQVDFWLYLWLHVGXULQJRSHUDWLRQVWRVKDSHDUHWKRVHWDNHQWRHQVXUHWKDW
FRQVROLGDWLRQRIJDLQVWDVNVDUHDGHTXDWHO\DGGUHVVHGLQRSHUDWLRQSODQV 23/$1V GHYHORSHGLQVXSSRUWRI
*&&SODQV7KHXQGHUVWDQGLQJRIDQ2(DQGVLWXDWLRQDODZDUHQHVVGHYHORSHGGXULQJWKHH[HFXWLRQRIVKDSLQJ
DFWLYLWLHV VKRXOG EH XVHG WR GHYHORS WKHVH 23/$1V ZKLFK LQ WXUQ VKRXOG EH FRQWLQXRXVO\ XSGDWHG DV
FRQGLWLRQVFKDQJHLQYDULRXV$2V:KHQ$UP\IRUFHVDUHDOLJQHGWRDUHJLRQIRUDVSHFLILHGSHULRGRIWLPH

3-14 FM 3-0 6 October 2017


2SHUDWLRQVWR6KDSH

WKRVHIRUFHVKDYHDUHVSRQVLELOLW\WRUHYLHZVWDQGLQJ23/$1VDQGSURYLGHXSGDWHGLQIRUPDWLRQIRUWKHP
7KLV LV RIWHQ DFFRPSOLVKHG E\ VHQGLQJ SODQQHUV WR WKH WKHDWHU DUP\ DV SDUW RI D VKRUWWHUP 23/$1
GHYHORSPHQWHIIRUW
 6XFFHVVIXO H[HFXWLRQ RI VHFXULW\ FRRSHUDWLRQ DFWLYLWLHV KHOS DFKLHYH VWUDWHJLF DQG RSHUDWLRQDO
REMHFWLYHVGXULQJRSHUDWLRQVVKRUWRIDUPHGFRQIOLFW3URIHVVLRQDOL]LQJSROLFHIRUFHVHDUO\LQFXOFDWLQJWKH
UXOHRIODZLQPLOLWDU\IRUFHVHQIRUFLQJGLVFLSOLQHDQGDVVLVWLQJZLWKEXLOGLQJVWURQJJRYHUQDQFHDUHSDUWVRI
WKHFRQWLQXXPRIFRQVROLGDWLQJJDLQVWKDWXOWLPDWHO\UHVXOWLQUHJLRQDOVWDELOLW\
 'XULQJ WUDLQLQJXQLWVSODQH[HFXWHDQGDUHHYDOXDWHGRQ WKHLUDELOLW\WRSURYLGHDUHD VHFXULW\DQG
SHUIRUPYDULRXVVWDELOLW\WDVNV,QWHJUDWLQJVWDELOLW\WDVNVUHLQIRUFHVWKHLPSRUWDQFHRISODQQLQJDOORFDWLQJ
UHVRXUFHVDQGHYDOXDWLQJFRQVROLGDWLRQRIJDLQVHIIRUWV



6 October 2017 FM 3-0 3-15


This page intentionally left blank.


Chapter 4
Operations to Prevent
7KHXOWLPDWHGHWHUPLQDQWLQZDULVDPDQRQWKHVFHQHZLWKDJXQ7KLVPDQLVWKHILQDO
SRZHULQZDU+HLVLQFRQWURO+HGHWHUPLQHVZKRZLQV7KHUHDUHWKRVHZKRZRXOGGLVSXWH
WKLVDVDQDEVROXWHEXWLWLVP\EHOLHIWKDWZKLOHRWKHUPHDQVPD\FULWLFDOO\LQIOXHQFHZDU
WRGD\ DIWHU ZKDWHYHU GHYDVWDWLRQ DQG GHVWUXFWLRQ PD\ EH LQIOLFWHG RQ DQ HQHP\ LI WKH
VWUDWHJLVW LV IRUFHG WR VWULYH IRU ILQDO DQG XOWLPDWH FRQWURO KH PXVW HVWDEOLVK RU PXVW
SUHVHQWDVDQLQHYLWDEOHSURVSHFWDPDQRQWKHVFHQHZLWKDJXQ7KLVLVWKH6ROGLHU
5HDU$GPLUDO-&:\OLH

7KLVFKDSWHUSURYLGHVDQRYHUYLHZRIRSHUDWLRQVWRSUHYHQW,WGHVFULEHVWKHWKUHDWDQG
GLVFXVVHV PDMRU DFWLYLWLHV $UP\ IRUFHV FRQGXFW GXULQJ RSHUDWLRQV WR SUHYHQW 7KH
FKDSWHU FRQWLQXHV ZLWK D GHVFULSWLRQ RI WKH UROHV DQG UHVSRQVLELOLWLHV RI WKH WKHDWHU
DUP\ FRUSV GLYLVLRQVDQG EULJDGHV GXULQJ RSHUDWLRQV WR SUHYHQW7KH FKDSWHUHQGV
ZLWKDGLVFXVVLRQRIFRQVROLGDWLRQRIJDLQV

29(59,(:2)23(5$7,2167235(9(17
7KHSULFHRIJUHDWQHVVLVUHVSRQVLELOLW\
:LQVWRQ6&KXUFKLOO

 7KHSXUSRVHRIRSHUDWLRQVWRSUHYHQWLVWRGHWHUDGYHUVDU\DFWLRQVFRQWUDU\WR86LQWHUHVWV7KH\DUH
W\SLFDOO\FRQGXFWHGLQUHVSRQVHWRDFWLYLWLHVWKDWWKUHDWHQXQLILHGDFWLRQSDUWQHUVDQGUHTXLUHWKHGHSOR\PHQW
RUUHSRVLWLRQLQJRIFUHGLEOHIRUFHVLQDWKHDWHUWRGHPRQVWUDWHWKHZLOOLQJQHVVWRILJKWLIGHWHUUHQFHIDLOV$V
SDUWRIFULVLVUHVSRQVHRUOLPLWHGFRQWLQJHQF\RSHUDWLRQVRSHUDWLRQVWRSUHYHQWDUHWDLORUHGLQVFRSHDQGVFDOH
WRDFKLHYHDVWUDWHJLFRURSHUDWLRQDOOHYHOREMHFWLYH7KH\PD\EHFRQGXFWHGDVDVWDQGDORQHUHVSRQVHWRD
FULVLVDVLQDQRQFRPEDWDQWHYDFXDWLRQRSHUDWLRQRUDVSDUWRIDODUJHUMRLQWRSHUDWLRQ
 :KHQFULVHVGHYHORSDQGWKH3UHVLGHQWGLUHFWVJHRJUDSKLFFRPEDWDQWFRPPDQGHUV *&&V HPSOR\
IRUFHVWRGHWHUDJJUHVVLRQDQGVLJQDO86FRPPLWPHQW)RUH[DPSOHWKH8QLWHG6WDWHVPD\GHSOR\IRUFHVWR
DUHJLRQDQGFRQGXFWDFRPELQHGMRLQWWUDLQLQJH[HUFLVHZLWKWKHKRVWQDWLRQWRVHQGDVWURQJPHVVDJHWRDQ
DGYHUVDU\,QRWKHULQVWDQFHV$UP\IRUFHVPD\GHSOR\DQGHPSOR\DLUDQGPLVVLOHGHIHQVH $0' FDSDELOLW\
WRDQDUHDLQVXSSRUWRIDIULHQGO\QDWLRQRUWRSURWHFWIRUZDUGVWDWLRQHGIRUFHV,IDFULVLVLVFDXVHGE\DQ
LQWHUQDOFRQIOLFWWKDWWKUHDWHQVUHJLRQDOVWDELOLW\86IRUFHVPD\LQWHUYHQHWRUHVWRUHVWDELOLW\
 3URPSW GHSOR\PHQW RI FUHGLEOH ODQG IRUFHV LQ WKH LQLWLDO SKDVH RI D FULVLV FDQ SUHFOXGH WKH QHHG WR
GHSOR\ODUJHUIRUFHVODWHU(IIHFWLYHHDUO\LQWHUYHQWLRQFDQDOVRGHQ\DGYHUVDULHVWLPHWRVHWFRQGLWLRQVLQWKHLU
IDYRU +RZHYHU GHSOR\PHQW DORQH GRHV QRW JXDUDQWHH VXFFHVV $FKLHYLQJ VXFFHVVIXO GHWHUUHQFH LQYROYHV
FRQYLQFLQJDGYHUVDULHVWKDWWKHGHSOR\HGIRUFHLVDEOHWRFRQGXFWGHFLVLYHDFWLRQ
 *LYHQWKHWHPSRRIPRGHUQFRQIOLFW$UP\IRUFHVZLOOSUREDEO\FRQGXFWRSHUDWLRQVWRSUHYHQWXQGHU
VHYHUHWLPHFRQVWUDLQWV([SHGLWLRQDU\$UP\IRUFHVUHGXFHWKHULVNRIDJJUHVVLRQE\PDLQWDLQLQJWKHDELOLW\
WRGHSOR\UDSLGO\DQGDUULYHUHDG\WRFRQGXFWRSHUDWLRQV7KHVHDFWLRQVDORQH PD\GLVUXSWDQDGYHUVDU\¶V
DVVXPSWLRQVSODQVRUWLPHOLQHV2SHUDWLRQVWRSUHYHQWFUHDWHWKHFRQGLWLRQVUHTXLUHGWRTXLFNO\WUDQVLWLRQLI
QHFHVVDU\LQWRODUJHVFDOHJURXQGFRPEDW VHHFKDSWHUVWKURXJK 7KHDELOLW\RIDQ$UP\IRUFHWRSUHYHQW
VWHPVIURPDQDGYHUVDU\¶VUHDOL]DWLRQWKDWIXUWKHUHVFDODWLRQZRXOGUHVXOWLQPLOLWDU\GHIHDW

6 October 2017 FM 3-0 4-1


Chapter 4

3UHYHQW23(5$7,21'(6(576+,(/'

,UDTLJURXQGIRUFHVLQYDGHG.XZDLWRQ$XJXVWZLWKWKHREMHFWLYHRIDQQH[LQJ
WKHFRXQWU\DQGVHFXULQJLWVYDVWRLOILHOGV7KH8QLWHG1DWLRQVKDGEHHQPRQLWRULQJ
WKH ,UDTL WURRS EXLOGXS IRU ZHHNV DQG KDG ZDUQHG 6DGGDP +XVVHLQ QRW WR IROORZ
WKURXJKRQKLVSODQV,QVWHDG+XVVHLQPDGHDJUDYHPLVWDNHDQGDVVXPHGWKH8QLWHG
6WDWHVDQGWKH8QLWHG1DWLRQVZRXOGVWDQGDVLGH3UHVLGHQW+:%XVKLPPHGLDWHO\
GHQRXQFHGWKH,UDTLDWWDFNDQGSURPLVHGWROLEHUDWH.XZDLW2Q$XJXVWWKH3UHVLGHQW
RUGHUHGWKHRUJDQL]DWLRQRI23(5$7,21'(6(576+,(/' LQUHVSRQVHWRWKH,UDTL
RFFXSDWLRQRI.XZDLW

7KH8QLWHG6WDWHVUDSLGO\GHSOR\HGWKHG$LUERUQH'LYLVLRQWRQRUWKHUQ6DXGL$UDELD
WRGHWHUDQ\IXUWKHUDGYDQFHE\,UDTLIRUFHV7KHSUHVHQFHRIWKLV$PHULFDQGLYLVLRQ
HQGHGDQ\,UDTLDPELWLRQVWRGULYHIXUWKHUVRXWK,QWKHZHHNVDQGPRQWKVWKDWIROORZHG
WKH;9,,,$LUERUQH&RUSVDQGWKH9,,&RUSVGHSOR\HGLQWRWKHWKHDWHU%\-DQXDU\
WKH FRDOLWLRQ ZDV FRPSRVHG RI XQLWV IURP  FRXQWULHV LQFOXGLQJ WKH 8QLWHG 6WDWHV
*UHDW %ULWDLQ )UDQFH DQG PRVW RI WKH VXUURXQGLQJ $UDE QDWLRQV 7KH FRPELQHG
VWUHQJWK RI WKHVH QDWLRQV IRUFHG WKH ,UDTL XQLWV LQWR D VWDWLF GHIHQVLYH SRVWXUH 7KH
FRDOLWLRQQRZKHOGWKHLQLWLDWLYH

7KH FRQIOLFW PRYHG FORVHU WR ZDU LQ ODWH 1RYHPEHU  ZKHQ WKH 8QLWHG 1DWLRQV
DSSURYHG WKH XVH RI PLOLWDU\ DFWLRQ WR OLEHUDWH .XZDLW :KHQ DWWHPSWV WR EURNHU DQ
DJUHHPHQWZLWKWKH,UDTLJRYHUQPHQWSURYHGXQVXFFHVVIXOWKH86&RQJUHVVLQHDUO\
-DQXDU\DXWKRUL]HGWKHHPSOR\PHQWRI86IRUFHVLQRIIHQVLYHPLOLWDU\RSHUDWLRQV
DJDLQVW,UDT:KHQWKHGHDGOLQHRIPLGQLJKWRI-DQXDU\SDVVHGWKHGHIHQVLYH
23(5$7,21 '(6(57 6+,(/' WUDQVLWLRQHG WR WKH RIIHQVLYH RSHUDWLRQ NQRZQ DV
23(5$7,21'(6(5767250

7+5($76
 'XULQJRSHUDWLRQVWRSUHYHQWSHHUWKUHDWVZLOOVKLIWUHVRXUFHVWRLQIRUPDWLRQZDUIDUHDQGSUHFOXVLRQ
6XSSRUWLQJ HIIRUWV ZLOO LQFOXGH V\VWHPV ZDUIDUH DQG VDQFWXDU\ $ WKUHDW IRUFH¶V FDSDELOLW\ FDSDFLW\
RSHUDWLRQDO UHDFK DQG RYHUDOO GHVLUHG HQG VWDWH VKDSH LWV VWUDWHJ\ LQ JHQHUDWLQJ WKUHDWV DFURVV PXOWLSOH
GRPDLQV'HWHUPLQLQJZKDWWKUHDWIRUFHVSHUFHLYHDVLPSRUWDQWZLOOLQIRUP86XQGHUVWDQGLQJRIDWKUHDW¶V
GHVLUHGHQGVWDWHDVVRFLDWHGFRXUVHVRIDFWLRQDQGHPSOR\PHQWRIIRUFHV 6HHSDUDJUDSKVWKURXJK
IRUDGLVFXVVLRQRIWKUHDWPHWKRGV 
 8QGHUVWDQGLQJKRZWKUHDWIRUFHVZLOOFRQGXFWRSHUDWLRQVZLOOLQIOXHQFHKRZWKH*&&HPSOR\VIRUFHV
DQG FDSDELOLWLHV $ WKUHDW PD\ DFFHOHUDWH RSHUDWLRQDO WLPHOLQHV XVH LQIRUPDWLRQ ZDUIDUH WR DWWDFN 86
FDSDELOLWLHV RU LQWURGXFH DGGLWLRQDO IRUFHV 7KUHDW IRUFHV ZLOO FRQVLGHU IRXU NH\ DUHDV ZKHQ GHVLJQLQJ
RSHUDWLRQVWRPLWLJDWH86GHWHUUHQFHHIIRUWVWRHQVXUHWKH\GRQRWLQWHUIHUHVXEVWDQWLYHO\ZLWKWKHLULQWHUHVWV
3RWHQWLDOWKUHDWDFWLYLWLHVLQFOXGH²
z $WWHPSWVWRUHGXFHWKHSHUFHLYHGULVNWRWKUHDWIRUFHVZKLOHLQFUHDVLQJWKHSHUFHLYHGULVNWRDQ\
DFWLRQWDNHQE\WKH8QLWHG6WDWHV
z /LPLWHG DWWDFNV WR H[SRVH IULHQGO\ IRUFH YXOQHUDELOLWLHV 7KHVH DWWDFNV PD\ DOVR GHJUDGH WKH
GHWHUUHQFHYDOXHRIGHSOR\HGIRUFHVDQGGHVWUR\FUHGLELOLW\DPRQJFXUUHQWDQGSRWHQWLDOSDUWQHUV
z 'HFHSWLRQRSHUDWLRQVWRFRQFHDOWKHLUUHDOLQWHQW7KLVGHFHSWLRQPD\FDXVHWKH8QLWHG6WDWHVWR
EXLOGGHWHUUHQFHFDSDFLW\DLPHGDWGHWHUULQJDQXQLPSRUWDQWDFWLRQRURQHWKDWQHYHUWDNHVSODFH
z $WWHPSWVWRVORZDQGGLVUXSWGHSOR\PHQWWROLPLWWKHDELOLW\RI86IRUFHVWREXLOGFRPEDWSRZHU

4-2 FM 3-0 6 October 2017


2SHUDWLRQVWR3UHYHQW

35(9(17$&7,9,7,(6
><@RXGRQ
WKDYHWRPDNHWKHPVHHWKHOLJKWMXVWPDNHWKHPIHHOWKHKHDW
3UHVLGHQW 5RQDOG5HDJDQ

 7KH LQWHQWRIRSHUDWLRQVWRSUHYHQWLVWRGHWHUDGYHUVDU\DFWLRQVDQG VWRSIXUWKHUGHWHULRUDWLRQRID


SDUWLFXODUVLWXDWLRQ3UHYHQWDFWLYLWLHVHQDEOHWKHMRLQWIRUFHWRJDLQSRVLWLRQVRIUHODWLYHDGYDQWDJH SULRUWR
IXWXUHFRPEDWRSHUDWLRQV2SHUDWLRQVWRSUHYHQWDUHFKDUDFWHUL]HGE\DFWLRQVWRSURWHFWIULHQGO\IRUFHVDQG
LQGLFDWHWKH LQWHQW WRH[HFXWHVXEVHTXHQWSKDVHV RI D SODQQHG RSHUDWLRQ:LWK WKH VKLIWIURP VKDSLQJ WR
GHWHUUHQFHWKHWKHDWHUDUP\VKLIWVWRUHILQLQJFRQWLQJHQF\SODQVDQGSUHSDULQJHVWLPDWHVIRUODQGSRZHUEDVHG
RQ*&&¶VJXLGDQFH7KH WKHDWHUDUP\DQG VXERUGLQDWH$UP\ IRUFHVSHUIRUPWKHIROORZLQJPDMRUDFWLYLWLHV
GXULQJRSHUDWLRQVWRSUHYHQW
z ([HFXWHIOH[LEOHGHWHUUHQWRSWLRQV )'2V DQGIOH[LEOHUHVSRQVHRSWLRQV )52V 
z 6HWWKHWKHDWHU
z 7DLORU$UP\IRUFHV
z 3URMHFWWKHIRUFH

)OH[LELOLW\ WK86$UP\LQ.RUHD

7KHDIWHUPDWK RIWKH.RUHDQ:DUKDGDQHQRUPRXV LPSDFWRQWKHJHRSROLWLFDO FOLPDWH


DQG WHQVLRQV EHWZHHQ WKH VXSHUSRZHUV GXULQJ WKH &ROG :DU 'HVSLWH WKH RIILFLDO
FHVVDWLRQ RI KRVWLOLWLHV ZLWK WKH  .RUHDQ $UPLVWLFH $JUHHPHQW WKH 5HSXEOLF RI
.RUHDUHPDLQVLQDVWDWH RIZDUZLWKWKH'HPRFUDWLF3HRSOH’V5HSXEOLFRI.RUHDWRWKH
QRUWK 6LQFH 1RUWK .RUHD KDV SHULRGLFDOO\FRQGXFWHG YLROHQW SURYRFDWLRQV WKDW
LQGLFDWH LW KDV QRW DEDQGRQHG LWV ORQJWHUP JRDO RI D XQLILHG SHQLQVXOD XQGHU WKH
'HPRFUDWLF3HRSOH’V 5HSXEOLF RI.RUHDFRQWURO,QDQHIIRUWWRVXSSRUWDQDOO\DQGDV
DQ H[WHQVLRQ RI WKH &ROG :DU FRQWDLQPHQW SROLFLHV WKH 8QLWHG 6WDWHV FUHDWHG D
SHUPDQHQW $UP\JDUULVRQLQWKH5HSXEOLF RI.RUHDXQGHUWKHFRPPDQG RIWKH (LJKWK
$UP\

,QDQHIIRUWWRUHPDLQIOH[LEOH DQGDEOH WRUHVSRQGWRHQHP\PRYHPHQWV HIIHFWLYHO\LQ


WKH FRQWH[W RIRWKHUJHRSROLWLFDO GHPDQGV RQ$UP\IRUFHVWKH VWUXFWXUHRIWKH (LJKWK
$UP\ KDV FKDQJHG QXPHURXV WLPHV 7KH FRPSOH[ WHQXRXV QDWXUH RI WKH .RUHDQ
$UPLVWLFH$JUHHPHQWUHTXLUHV(LJKWK$UP\WREHUHDG\IRUDQHVFDODWLRQRI$UP\IRUFHV
LQUHVSRQVH WR FULVHVRQ WKH SHQLQVXOD DW DQ\WLPH $V DVXERUGLQDWH RI86)RUFHV
.RUHD XQGHU DUPLVWLFH FRQGLWLRQV LWIRUPV WKH EDVLV RI86 $UP\IRUFHVWKDW ZRXOG
VHUYH XQGHU &RPELQHG )RUFHV&RPPDQG DQG WKH 8QLWHG 1DWLRQV &RPPDQG VKRXOG
KRVWLOLWLHV FRPPHQFHRQWKH SHQLQVXOD $VVXFKLWFRQVLVWHQWO\ DVVHVVHV WKHVHFXULW\
HQYLURQPHQW ZKLOH HQVXULQJWKHUHDGLQHVVRI$UP\IRUFHVLQWKH5HSXEOLFRI.RUHD

(LJKWK$UP\UHPDLQVIRUZDUGGHSOR\HGDVDEXOZDUNDJDLQVW1RUWK.RUHDQDJJUHVVLRQ
,WUHWDLQV PLVVLRQFRPPDQG RIIRUZDUGGHSOR\HG $UP\IRUFHVURWDWLRQDO $UP\IRUFHV
DQG$UP\IRUFHVSDUWLFLSDWLQJLQH[HUFLVHV,WVUROHLQHQVXULQJWKHUHDGLQHVV RI$UP\
IRUFHVLVDSUHYHQWLYH KHGJHDJDLQVWWKHUHQHZDO RIKRVWLOLWLHV RQWKHJURXQG

(;(&87( )/(;,%/( '(7(55(17 237,216$1')/(;,%/( 5(63216( 237,216


 $ IOH[LEOHGHWHUUHQW RSWLRQ LVD SODQQLQJ FRQVWUXFWLQWHQGHG WRIDFLOLWDWHHDUO\ GHFLVLRQPDNLQJ E\
GHYHORSLQJDZLGHUDQJHRILQWHUUHODWHGUHVSRQVHVWKDWEHJLQZLWKGHWHUUHQWRULHQWHGDFWLRQVFDUHIXOO\WDLORUHG
WRFUHDWHDGHVLUHGHIIHFW -3 $IOH[LEOHUHVSRQVHLVWKHFDSDELOLW\RIPLOLWDU\IRUFHVIRUHIIHFWLYHUHDFWLRQ
WRDQ\ HQHP\WKUHDWRUDWWDFNZLWKDFWLRQVDSSURSULDWHDQG DGDSWDEOHWRWKHFLUFXPVWDQFHVH[LVWLQJ -3 
:KLOH)'2VDUHSULPDULO\LQWHQGHGWRSUHYHQWDFULVLVIURPZRUVHQLQJDQGDOORZIRUGHHVFDODWLRQ)52VDUH
JHQHUDOO\SXQLWLYHLQQDWXUH)'2VDUHSUHSODQQHGGHWHUUHQFHRULHQWHGDFWLRQVFDUHIXOO\WDLORUHGWREULQJDQ

6 December 2017 FM 3-0, C1 4-3


Chapter 4

LVVXHWR HDUO\ UHVROXWLRQZLWKRXW DUPHG FRQIOLFWDQG WKH\ FDQ EH LQLWLDWHGEHIRUHRU DIWHUXQDPELJXRXV
ZDUQLQJ RIWKUHDWDFWLRQ)52VFDQ EHHPSOR\HGLQ UHVSRQVHWRDJJUHVVLRQE\ DQ DGYHUVDU\ DQG WKH\DUH
LQWHQGHG WR IDFLOLWDWHHDUO\ GHFLVLRQPDNLQJ E\ GHYHORSLQJ D ZLGH UDQJH RIDFWLRQVFDUHIXOO\WDLORUHGWR
SURGXFH GHVLUHGHIIHFWV)'2V DQG )52V PXVW EH FDUHIXOO\ WDLORUHG UHJDUGLQJ WLPLQJ HIILFLHQF\ DQG
HIIHFWLYHQHVV&DUHVKRXOGEHWDNHQWRDYRLG XQGHVLUHGHIIHFWVVXFKDVHOLFLWLQJDQ DUPHGUHVSRQVHVKRXOG
DGYHUVDU\OHDGHUVSHUFHLYHWKDWIULHQGO\)'2VRU)52VDUHEHLQJXVHGDVSUHSDUDWLRQIRUDSUHHPSWLYHDWWDFN
 )'2V DQG )52V VHUYHWKUHHEDVLF SXUSRVHV)LUVW WKH\ SURYLGH D YLVLEOHDQG FUHGLEOHPHVVDJHWR
DGYHUVDULHVDERXW86ZLOODQGFDSDELOLW\WRUHVLVWDJJUHVVLRQ6HFRQGWKH\SRVLWLRQ86IRUFHVLQDPDQQHU
WKDWIDFLOLWDWHVLPSOHPHQWDWLRQRIWKHRSHUDWLRQVSODQRUFRQWLQJHQF\SODQLIKRVWLOLWLHVEHFRPHXQDYRLGDEOH
7KLUGWKH\SURYLGHRSWLRQVIRUGHFLVLRQPDNHUVGXULQJFULVHV7KH\DOORZIRUPHDVXUHGLQFUHDVHVLQSUHVVXUH
WRDYRLG XQLQWHQWLRQDOO\SURYRNLQJIXOOVFDOHFRPEDWDQGWRHQDEOHGHFLVLRQPDNHUVWRGHYHORSWKHVLWXDWLRQ
DQGJDLQDEHWWHUXQGHUVWDQGLQJRIDQDGYHUVDU\¶VFDSDELOLWLHVDQGLQWHQWLRQV
 )'2VDQG)52VDUHHOHPHQWVRIFRQWLQJHQF\SODQVH[HFXWHGWRLQFUHDVHGHWHUUHQFHLQDGGLWLRQWREXW
RXWVLGHWKHVFRSHRIWKHRQJRLQJMRLQWRSHUDWLRQV.H\JRDOVRI)'2VDQG)52VDUH²
z &RPPXQLFDWHWKH VWUHQJWK RI86 FRPPLWPHQWVWR WUHDW\REOLJDWLRQVDQG UHJLRQDOSHDFH DQG
VWDELOLW\
z &RQIURQWDGYHUVDULHVZLWKXQDFFHSWDEOHFRVWVIRUWKHLUSRVVLEOHDJJUHVVLRQ
z ,VRODWHDGYHUVDULHVIURPUHJLRQDOQHLJKERUVDQGDWWHPSWWRVSOLWWKHDGYHUVDU\FRDOLWLRQ
z 5DSLGO\ LPSURYH WKH PLOLWDU\ EDODQFH RI SRZHU LQ WKH DUHD RI UHVSRQVLELOLW\ $25  ZLWKRXW
SUHFLSLWDWLQJDUPHGUHVSRQVHIURPWKHDGYHUVDU\
z 'HYHORSWKH VLWXDWLRQZLWKRXW SURYRNLQJ DGYHUVDULHVWREHWWHUXQGHUVWDQG WKHLUFDSDELOLWLHVDQG
LQWHQWLRQV
 )'2V DQG )52V DUHGHYHORSHG IRUHDFKLQVWUXPHQWRIQDWLRQDO SRZHU²GLSORPDWLFLQIRUPDWLRQDO
PLOLWDU\DQG HFRQRPLF²EXWWKH\DUHPRVWHIIHFWLYHZKHQ FRPELQHGDV VKRZQ LQ ILJXUH&RPEDWDQW
FRPPDQGHUVH[HFXWHWKHP ZKHQ DSSURYHG E\ WKH 3UHVLGHQWDQG WKH6HFUHWDU\RI 'HIHQVH$UP\ IRUFHV
FRQGXFWWDVNVDVDVVLJQHGZLWKLQWKHGLUHFWHG)'2RU)52 6HH-3IRUD IXUWKHULQIRUPDWLRQRQ)'2V
DQG)52V 

+Figure 4-1. Examples of diplomatic, informational, military, and economic FDOs and FROs

4-4 FM 3-0, C1 6 December 2017


2SHUDWLRQVWR3UHYHQW

6(7 7+( 7+($7(5


 6HWWKHWKHDWHULVDJHRJUDSKLFFRPEDWDQWFRPPDQGUHVSRQVLELOLW\WKDWLVFRQWLQXRXVDQGHQFRPSDVVHV
ZKROHRIJRYHUQPHQWLQLWLDWLYHVLQFOXGLQJ ELODWHUDORUPXOWLODWHUDOGLSORPDWLFDJUHHPHQWV6HWWKHWKHDWHU
GHVFULEHVWKHEURDG UDQJH RI DFWLRQVFRQGXFWHGWRHVWDEOLVKWKHFRQGLWLRQVLQ DQ RSHUDWLRQDODUHD IRUWKH
H[HFXWLRQRIVWUDWHJLFSODQV7KHWKHDWHUDUP\JHQHUDOO\KDVUHVSRQVLELOLW\IRUWKHSODQQLQJDQG FRRUGLQDWLRQ
RI$UP\FDSDELOLWLHVWRPHHWWKHFRPEDWDQWFRPPDQGHU¶VLQWHQWWRVHWWKHWKHDWHU
 7KHSXUSRVHRIVHWWLQJDWKHDWHULVWRHVWDEOLVKIDYRUDEOHFRQGLWLRQVIRUWKHUDSLGH[HFXWLRQRIPLOLWDU\
RSHUDWLRQVDQG WKHVXSSRUWUHTXLUHPHQWVIRUD VSHFLILFRSHUDWLRQSODQ 23/$1  GXULQJ FULVLVRUFRQIOLFW
6HWWLQJ WKH WKHDWHU LQYROYHV VLJQLILFDQW VXVWDLQPHQW $0' HQJLQHHULQJ LQIRUPDWLRQ FROOHFWLRQ DQG
FRPPXQLFDWLRQVDFWLYLWLHVIRFXVHGRQFRXQWHULQJD VSHFLILFWKUHDW7KH WKHDWHUDUP\ H[HFXWHVPDQ\ RILWV
UHVSRQVLELOLWLHVWKURXJKWKHWKHDWHUVXVWDLQPHQWFRPPDQG 76& VRPHGXULQJRSHUDWLRQVWRVKDSHDQGRWKHU
DFWLRQVGXULQJRSHUDWLRQVWRSUHYHQW6HWWLQJWKHWKHDWHUPD\DOVRLQYROYH²
z 3URYLGLQJ $UP\ KHDGTXDUWHUV WR PHHW YDULRXV MRLQW DQG PXOWLQDWLRQDO FRPPDQG DQG FRQWURO
UHTXLUHPHQWV IRUH[DPSOHSURYLGLQJ D FRUSVKHDGTXDUWHUVWRVHUYHDVWKHEDVHIRUD MRLQWWDVN
IRUFH>-7)@KHDGTXDUWHUVDQGH[WHQGLQJWKHFRPPXQLFDWLRQVLQIUDVWUXFWXUH 
z 3URYLGLQJIRUFHSURWHFWLRQLQFOXGLQJLPSURYLQJ$0'
z )RUZDUGVWDWLRQLQJDQGURWDWLRQDOGHSOR\PHQWRI$UP\IRUFHV
z 0RGHUQL]LQJIRUZDUGVWDWLRQHG$UP\XQLWV
 7KHWKHDWHUDUP\DQGLWVVXSSRUWLQJFRPPDQGVDVVHVVWKHDGHTXDF\RILQIUDVWUXFWXUHLQDQRSHUDWLRQDO
DUHD WR VXSSRUWDQWLFLSDWHG PLOLWDU\RSHUDWLRQVGHWHUPLQHUHTXLUHPHQWVIRUDGGLWLRQDO LQIUDVWUXFWXUHDQG
PDQDJH LQIUDVWUXFWXUHGHYHORSPHQWSURJUDPVDVVLJQHGWR$UP\ IRUFHVIRUH[HFXWLRQ7KHWKHDWHUDUP\DQG
WKH76& GHYHORSVWKHVHSODQVLQFORVHFROODERUDWLRQZLWKWKHFRPEDWDQWFRPPDQG¶VORJLVWLFVGLUHFWRUDWHRID
MRLQW VWDII -  DQG WKH $UP\ &RUSV RI (QJLQHHUV ,QIUDVWUXFWXUHGHYHORSPHQW DFWLYLWLHV PD\ LQFOXGH
LGHQWLI\LQJ UHTXLUHPHQWVIRU IRUZDUG EDVLQJ DQG DLU ODQG DQG VHD WUDQVLW ULJKWV WKURXJK WKH VRYHUHLJQ
WHUULWRULHVRISDUWQHURUQHXWUDOQDWLRQV+RZHYHUWKH'HSDUWPHQWRI6WDWHDQGWKHDSSURSULDWH86GLSORPDWLF
PLVVLRQPXVWQHJRWLDWHDQ\ELODWHUDORUPXOWLODWHUDODJUHHPHQWV
 $VWKHFRPEDWDQWFRPPDQGHUVKLIWVSULRULWLHVWRDVSHFLILFQDWLRQRUUHJLRQWKHWKHDWHUDUP\IRFXVHV
RQVHWWLQJWKHWKHDWHU,QFRQMXQFWLRQZLWKWKH*&&VWDIIDQGLQWHUDJHQF\SDUWQHUVWKHWKHDWHUDUP\LGHQWLILHV
ORFDWLRQVWRGHYHORSRULPSURYHEDVHVDQG EDVHFDPSVLQWKHMRLQWRSHUDWLRQVDUHD -2$ IRUVXVWDLQPHQW
SURWHFWLRQ DQG LQIUDVWUXFWXUH GHYHORSPHQW 7KH IXQFWLRQV LQKHUHQW LQ HVWDEOLVKLQJ WKH -2$ LQFOXGH
LGHQWLI\LQJ UHVSRQVLELOLW\IRU$UP\ VXSSRUWWR RWKHU6HUYLFHV $626  DQG DJHQFLHVODQG WUDQVSRUWDWLRQ
LQODQG SHWUROHXP SLSHOLQH RSHUDWLRQV DQG FRPPRQXVHUORJLVWLFV 7KH DVVRFLDWHG IXQFWLRQV RI WKHDWHU
RSHQLQJSRUWDQGWHUPLQDORSHUDWLRQVDQGUHFHSWLRQVWDJLQJRQZDUGPRYHPHQWDQGLQWHJUDWLRQ 562, DUH
FULWLFDOWRWKHLQLWLDWLRQRIPLOLWDU\RSHUDWLRQV
 7KHWKHDWHUDUP\DOVRSUHSDUHVWRVXSSRUWMRLQWFRPPDQGDQGFRQWUROLQD-2$$UP\FRQWULEXWLRQVWR
MRLQW FRPPDQG DQG FRQWUROLQFOXGH HVWDEOLVKLQJ PDLQWDLQLQJ DQG GHIHQGLQJ WKH FRPPXQLFDWLRQV DQG
QHWZRUN DUFKLWHFWXUHWRVXSSRUWIRUFHVRSHUDWLQJZLWKLQ DQ RSHUDWLRQDODUHD DQG PDLQWDLQLQJ FRQQHFWLYLW\
EHWZHHQODQGEDVHGIRUFHVDQGRWKHUIRUFHV7KH$UP\ LVGHVLJQDWHGDVWKH'HSDUWPHQWRI'HIHQVH '2' 
FRPEDWDQW FRPPDQG VXSSRUW DJHQF\ IRUWKHDWHUFRPPXQLFDWLRQVDQG QHWZRUN DUFKLWHFWXUH$UP\ IRUFHV
H[HFXWHWKHVHUHVSRQVLELOLWLHVSULPDULO\WKURXJKWKHDVVLJQHGVLJQDOFRPPDQG

7$,/25 $50<)25&(6
 )RUFH WDLORULQJ FRPELQHV WZR FRPSOHPHQWDU\
UHTXLUHPHQWV²VHOHFWLQJWKH ULJKW IRUFHVDQG GHSOR\LQJ WKH Force tailoring
IRUFHVLQWKHRSWLPDOVHTXHQFH7KHILUVW²VHOHFWLQJWKHULJKW 7KHSURFHVVRIGHWHUPLQLQJ WKHULJKWPL[
IRUFH²LQYROYHVLGHQWLI\LQJVHOHFWLQJDQGVRXUFLQJUHTXLUHG RIIRUFHVDQGWKHVHTXHQFHRIWKHLU
$UP\ FDSDELOLWLHV DQG HVWDEOLVKLQJ WKHLU LQLWLDO WDVN GHSOR\PHQW LQVXSSRUWRIDMRLQW IRUFH
RUJDQL]DWLRQ WR DFFRPSOLVK WKH PLVVLRQ 7KH UHVXOW LV DQ FRPPDQGHU $'53 
$UP\ IRUFHSDFNDJHPDWFKHGWRWKHQHHGVRIWKHFRPEDWDQW
FRPPDQGHU7KHVHFRQGUHTXLUHPHQWRIIRUFHWDLORULQJHVWDEOLVKHVRUGHURIGHSOR\PHQWIRUWKHIRUFHSDFNDJH
JLYHQ WKHDYDLODEOH OLIWDQGWKHFRPEDWDQWFRPPDQGHU¶VSULRULWLHV7DLORULQJWKHIRUFHLVDFRPSOLFDWHGDQG
LQWHQVLYHO\PDQDJHG$UP\ZLGHSURFHVVDQGWKHWKHDWHUDUP\SOD\VDFULWLFDOUROHLQLW

6 December 2017 FM 3-0, C1 4-5


Chapter 4

 0RVW$UP\ FRQYHQWLRQDORSHUDWLQJIRUFHVDUHGHVLJQDWHGDV³6HUYLFH5HWDLQHG´IRUFHVLQWKH*OREDO


)RUFH0DQDJHPHQW,PSOHPHQWDWLRQ*XLGDQFHDVVLJQPHQWWDEOHVDQGDUHSULPDULO\EDVHGLQWKHFRQWLQHQWDO
8QLWHG 6WDWHV &2186  8QLWHG6WDWHV$UP\ )RUFHV&RPPDQG )256&20  WKH ODUJHVWRI WKH $UP\
FRPPDQGVFRPPDQGV$FWLYH &RPSRQHQWFRQYHQWLRQDOIRUFHV 5HJXODU$UP\ PRELOL]HG$UP\ 1DWLRQDO
*XDUG DQG PRELOL]HG$UP\ 5HVHUYH H[HFXWHVWUDLQLQJDQG UHDGLQHVVDXWKRULW\RI$UP\ 1DWLRQDO *XDUG
IRUFHVXQGHUVWDWHFRPPDQGDQGGRHVWKHVDPHIRUQRQPRELOL]HG$UP\5HVHUYHXQLWV
 %DVHGXSRQ WKHODQGSRZHU UHTXLUHPHQWVGHYHORSHGE\ WKHWKHDWHUDUPLHVDQG YDOLGDWHG E\ WKH-RLQW
6WDIIWKH'HSDUWPHQWRIWKH$UP\DQG)256&20GHYHORSIRUFHSDFNDJHVEDVHGRQF\FOLFDOUHDGLQHVV7KLV
LQFOXGHVIRUFHVIRUFRQWLQJHQFLHV DQGIRUFHVQHHGHGWRVXSSRUWVHFXULW\FRRSHUDWLRQDFWLYLWLHV:KHUHYHU
SRVVLEOHWKH'HSDUWPHQWRIWKH$UP\LGHQWLILHVUHJLRQDOO\DOLJQHGIRUFHVWKDWFRQFHQWUDWHRQPLVVLRQVDQG
FDSDELOLWLHVUHTXLUHGIRUD SDUWLFXODU$25 5HJLRQDOO\DOLJQHGIRUFHVEHJLQSODQQLQJ IRUWKHLUPLVVLRQLQ
FRQMXQFWLRQZLWK WKH WKHDWHUDUP\ VWDII7KH WDLORUHGIRUFHSDFNDJH LV WDVNRUJDQL]HG E\ )256&20 WR
IDFLOLWDWH VWUDWHJLF GHSOR\PHQW DQG VXSSRUW WKH JDLQLQJ MRLQW IRUFH FRPPDQGHU¶V -)&¶V  RSHUDWLRQDO
UHTXLUHPHQWV)256&20LVQRWWKHVROHSURYLGHURI$UP\IRUFHVRWKHUVXSSRUWLQJ$UP\6HUYLFHFRPSRQHQW
FRPPDQGV $6&&V PD\ FRQWULEXWHIRUFHV7KH UHVXOWLVD VHWRIWUDLQHGDQG UHDG\ $UP\ IRUFHVLQWHQGHG
HLWKHUIRUFRQWLQJHQFLHVRUIRUSODQQHGGHSOR\PHQWVVXFKDVDURWDWLRQRIIRUZDUGEDVHGIRUFHV
 7KHWKHDWHUDUP\ZRUNVFORVHO\ZLWK)256&20WRPDWFKWKHFRPSRVLWLRQRIWKHIRUFHZLWKWKHIRUFHV
LGHQWLILHGLQWKHDWHUVHFXULW\FRRSHUDWLRQSODQVRUFRQWLQJHQF\SODQVIRUDFULVLV)256&20PRGLILHVIRUFH
SDFNDJHVDVQHHGHG7KHWKHDWHUDUP\FRPPDQGHULGHQWLILHVWKHPDMRUWDVNRUJDQL]DWLRQDQGSUHGHSOR\PHQW
WUDLQLQJUHTXLUHGIRUDPLVVLRQ)256&20WKHQPRGLILHVIRUFHSDFNDJHVDQGWUDLQLQJDVQHHGHG:KHQHYHU
SRVVLEOH)256&20 RUWKHVXSSRUWLQJ$6&&  DWWDFKHVIRUFHVWRLWVJDLQLQJ KLJKHUKHDGTXDUWHUV GXULQJ
GHSOR\PHQW IRU H[DPSOH DWWDFKLQJ EULJDGH FRPEDW WHDPV >%&7V@ WR D GLIIHUHQW JDLQLQJ GLYLVLRQ
KHDGTXDUWHUV ,IJHRJUDSK\RUWKHVHTXHQFHRIGHSOR\PHQWPDNHVWKLVLPSUDFWLFDOWKHWKHDWHUDUP\H[HFXWHV
WDVNRUJDQL]DWLRQFKDQJHVZKHQ IRUFHVDUULYHLQWKH$25 7KH JDLQLQJ WKHDWHUDUP\FRPPDQGHUPRGLILHV
DGPLQLVWUDWLYHFRQWURO $'&21 DVUHTXLUHGEDVHGXSRQWKHRUJDQL]DWLRQRIWKH-7)DQGWKHVXSSRUWVWUXFWXUH
DYDLODEOHLQWKHWKHDWHU)LJXUHLOOXVWUDWHVIRUFHWDLORULQJ
 7KHWKHDWHUDUP\DOVRUHFRPPHQGVWKHRSWLPXPGHSOR\PHQWVHTXHQFHIRU$UP\IRUFHVWRWKH*&&¶V
VWDII 7KH *&&¶V VWDII PD\ PRGLI\ WKLV UHFRPPHQGDWLRQ LQ FRRUGLQDWLRQ ZLWK )256&20 DQG
8675$16&20 EDVHGXSRQ IDFWRUVVXFKDVDYDLODEOH OLIWORFDWLRQDQG UHDGLQHVVRIGHSOR\LQJIRUFHVDQG
VXUIDFHWUDQVSRUWDWLRQUHTXLUHPHQWV6LQFHWKHLQLWLDOGHSOR\PHQWPD\QRWPDWFKWKHVLWXDWLRQGHYHORSLQJLQ
WKH-2$WKHWKHDWHUDUP\UHILQHVWKHWDVNRUJDQL]DWLRQEDVHGXSRQWKH$5)25¶V UHTXLUHPHQWV7KHWKHDWHU
DUP\DGMXVWVVXSSRUWSURYLGHGE\WKHDWHUDVVHWVWRPDWFKWKHUHTXLUHPHQWVRIWKHIRUFHVRQWKHJURXQG
 )RUFHVDUHDOORFDWHGWRWKH-)&IURP)256&20DQGVXSSRUWLQJ$6&&V$OORFDWLRQLVWKHGLVWULEXWLRQ
RIOLPLWHGIRUFHVDQG UHVRXUFHVIRUHPSOR\PHQWDPRQJ FRPSHWLQJUHTXLUHPHQWV -3 ,Q DGGLWLRQ WR
DOORFDWHGIRUFHVWKHDWHUDUPLHVSURYLGH$UP\ IRUFHVIURPWKHDWHUDVVLJQHGIRUFHV$UP\VXVWDLQPHQWXQLWV
ORJLVWLFVDQGPHGLFDO QRUPDOO\KDYHDVXSSRUWUHODWLRQVKLSZLWKWKHGHSOR\HG$UP\IRUFHVLQWKH-2$2WKHU
$UP\ WKHDWHUIRUFHVVXFKDVPLOLWDU\SROLFHDYLDWLRQHQJLQHHUVRUFLYLODIIDLUV &$ XQLWVPD\EHDWWDFKHG
RUXQGHURSHUDWLRQDOFRQWURO 23&21 WRGLYLVLRQVRUFRUSVKHDGTXDUWHUV2WKHUXQLWVUHPDLQ23&21WRWKH
WKHDWHUDUP\DQGSURYLGHGLUHFWRUJHQHUDOVXSSRUWWRWKH$5)25
 7KHRUJDQL]DWLRQHVWDEOLVKHGLQIRUFHWDLORULQJLVQRWQHFHVVDULO\WKHVDPHDVWKHWDVNRUJDQL]DWLRQIRU
FRPEDW,WLVDPDFUROHYHORUJDQL]DWLRQHVWDEOLVKHGWRFRQWUROWKHIRUFHVWKURXJKGHSOR\PHQWDQG562,7KH
JDLQLQJ RSHUDWLRQDO FRPPDQGHU W\SLFDOO\ WKH MRLQW IRUFH ODQG FRPSRQHQW FRPPDQGHU PRGLILHV WKLV
RUJDQL]DWLRQ GHSHQGLQJ XSRQ WKH VLWXDWLRQ 2QFH GHSOR\LQJ $UP\ IRUFHVKDYH FRPSOHWHG562, WKH
FRPEDWDQWFRPPDQGHUSDVVHV23&21WRVXERUGLQDWHFRPPDQGHUVLQD-2$ RUWKHDWHURIRSHUDWLRQV 7KDW
FRPPDQGHUIXUWKHUWDVNRUJDQL]HVWKHIRUFHIRUODQGRSHUDWLRQVDVQHHGHG
 $UP\ KHDGTXDUWHUVSURYLGHWKHFRPPDQG VWUXFWXUHWRSODQ SUHSDUHH[HFXWHDQG DVVHVVRSHUDWLRQV
ZLWK WKHMRLQWIRUFHDQG SDUWQHUQDWLRQV$UP\ IRUFHVVXSSRUWSDUWQHUVZLWK VLWXDWLRQDOXQGHUVWDQGLQJ DUHD
VHFXULW\DQG VXVWDLQPHQW$UP\ IRUFHVHQVXUHFRPEDWDQWFRPPDQGHUVSRVVHVVWKHDELOLW\WRVFDOH XSDQG
VXVWDLQODQGIRUFHVUDSLGO\WKURXJKIRUFHSURMHFWLRQIRUZDUGSRVLWLRQLQJSODFHPHQWDQGPDWXULW\RIWKHDWHU
LQIUDVWUXFWXUHFDSDELOLWLHVDQGWKHXVHRI$UP\ SUHSRVLWLRQHGHTXLSPHQWDQGVXSSOLHV$UP\ KHDGTXDUWHUV
KHOSLPSRVHRUGHULQFKDRWLFVLWXDWLRQVDQGV\QFKURQL]HSODQVSURJUDPVDQGHIIRUWVQHFHVVDU\WRDFFRPSOLVK
WKHPLVVLRQ

4-6 FM 3-0, C1 6 December 2017


2SHUDWLRQVWR3UHYHQW

Figure 4-2. An overview of force tailoring

352-(&77+()25&(
 3URMHFWLQJ WKH IRUFH LQWR DQ RSHUDWLRQDO DUHD LV HVVHQWLDO WR HIIHFWLYH RSHUDWLRQV WR SUHYHQW FRQIOLFW
)RUFHSURMHFWLRQLVWKHDELOLW\WRSURMHFWWKHPLOLWDU\LQVWUXPHQWRIQDWLRQDOSRZHUIURPWKH8QLWHG6WDWHVRU
DQRWKHU WKHDWHU LQ UHVSRQVH WR UHTXLUHPHQWV IRU PLOLWDU\ RSHUDWLRQV -3   6SHHG LV LPSRUWDQW²IRUFH
SURMHFWLRQLVDUDFHEHWZHHQIULHQGO\IRUFHVDQGWKHHQHP\RUDGYHUVDU\7KHVLGHWKDWDFKLHYHVDQRSHUDWLRQDO
FDSDELOLW\ILUVW DSRVLWLRQRIUHODWLYHDGYDQWDJH FDQVHL]HWKHLQLWLDWLYH6SHHGLQIRUFHSURMHFWLRQLVGHFLVLYH
ZKHQ D FRPEDWUHDG\ IRUFH GHSOR\V WR DQ RSHUDWLRQDO DUHD EHIRUH DQ HQHP\ RU DGYHUVDU\ LV UHDG\ )RUFH
SURMHFWLRQHQFRPSDVVHVPRELOL]DWLRQGHSOR\PHQWHPSOR\PHQWVXVWDLQPHQWDQGUHGHSOR\PHQW 6HHWDEOH
RQSDJHIRUH[SODQDWLRQVRIWKHVHWHUPV 

6 October 2017 FM 3-0 4-7


Chapter 4

7DEOH)RUFHSURMHFWLRQWHUPV
Term Descriptions
0RELOL]DWLRQ 0RELOL]DWLRQLVWKHSURFHVVRIEULQJLQJWKHDUPHGIRUFHVWRDVWDWHRIUHDGLQHVVLQ
UHVSRQVHWRDFRQWLQJHQF\8SRQDOHUWIRUGHSOR\PHQWFRPPDQGHUVHQVXUH$UP\
IRUFHVDUHPDQQHGHTXLSSHGDQGPHHWDOO6ROGLHUUHDGLQHVVFULWHULD
'HSOR\PHQW 'HSOR\PHQWLVWKHPRYHPHQWRIIRUFHVWRDQRSHUDWLRQDODUHDLQUHVSRQVHWRDQRUGHU
6XVWDLQPHQWLVFUXFLDOWRWKHGHSOR\PHQWRIIRUFHV-RLQWWUDQVSRUWDWLRQDVVHWV
LQFOXGLQJDLUDQGVHDOLIWSURYLGHWKHPRYHPHQWFDSDELOLWLHVIRUWKH$UP\
(PSOR\PHQW (PSOR\PHQWHQFRPSDVVHVDZLGHDUUD\RIRSHUDWLRQV7KHRSHUDWLRQVLQFOXGHEXWDUH
QRWOLPLWHGWRHQWU\RSHUDWLRQVRIIHQVLYHRSHUDWLRQVGHIHQVLYHRSHUDWLRQVVHFXULW\
RSHUDWLRQVDQGVWDELOLW\RSHUDWLRQV
6XVWDLQPHQW 6XVWDLQPHQWSURYLGHVORJLVWLFVSHUVRQQHOVHUYLFHVDQGKHDOWKVHUYLFHVXSSRUWWR
PDLQWDLQIRUFHVXQWLOPLVVLRQFRPSOHWLRQ,WJLYHV$UP\IRUFHVWKHLURSHUDWLRQDOUHDFK
IUHHGRPRIDFWLRQDQGHQGXUDQFH
5HGHSOR\PHQW 5HGHSOR\PHQWLVWKHUHWXUQRIIRUFHVDQGPDWHULHOWRWKHKRPHRUPRELOL]DWLRQVWDWLRQ
RUWRDQRWKHUWKHDWHU,WUHTXLUHVUHWURJUDGHRIORJLVWLFVSHUVRQQHOVHUYLFHVDQGKHDOWK
VHUYLFHVXSSRUWDQGUHXQLWLQJXQLWSHUVRQQHODQGHTXLSPHQWDWWKHLUKRPHVWDWLRQ

6867$,10(1735(3$5$7,21
 6XVWDLQPHQW LV D FULWLFDO DVSHFW RI IRUFH SURMHFWLRQ ZLWK VXVWDLQPHQW SUHSDUDWLRQ RI DQ RSHUDWLRQDO
HQYLURQPHQW 2( VHUYLQJDVWKHEDVHIRUVXVWDLQPHQWSODQQLQJ&RUSVGLYLVLRQDQGEULJDGHSODQQHUVIRFXV
RQLGHQWLI\LQJWKHUHVRXUFHVDYDLODEOHLQWKHRSHUDWLRQDODUHDIRUXVHE\IULHQGO\IRUFHVDQGHQVXULQJDFFHVV
WRWKHP7KHWKHDWHUDUP\LVDNH\SDUWQHULQSURYLGLQJWKLVLQIRUPDWLRQWRGHSOR\LQJXQLWV$GHWDLOHGHVWLPDWH
RIUHTXLUHPHQWVDOORZVSODQQHUVWRDGYLVHWKHFRPPDQGHURIWKHPRVWHIIHFWLYHPHWKRGRISURYLGLQJDGHTXDWH
DQG UHVSRQVLYH VXSSRUW ZKLOH PLQLPL]LQJ WKH VXVWDLQPHQW IRRWSULQW 6XVWDLQPHQW SUHSDUDWLRQ RI WKH
RSHUDWLRQDOHQYLURQPHQWLQFOXGHV²
z *HRJUDSK\
z 6XSSOLHVDQGVHUYLFHV
z )DFLOLWLHV
z 0DLQWHQDQFH
z 7UDQVSRUWDWLRQ
z *HQHUDOVNLOOV
z 2SHUDWLRQDOFRQWUDFWVXSSRUW
z 7KHDWHUVXSSRUWFRQWUDFWV
z ([WHUQDOVXSSRUWFRQWUDFWRUV
z 6\VWHPVXSSRUWFRQWUDFWV
z $UP\SUHSRVLWLRQHGVWRFNV
z +RVWQDWLRQVXSSRUW

*(2*5$3+<
 3ODQQHUVFROOHFWLQIRUPDWLRQRQFOLPDWHWHUUDLQDQGHQGHPLFGLVHDVHVLQDQDUHDRIRSHUDWLRQV $2 WR
GHWHUPLQH HTXLSPHQW UHTXLUHPHQWV PHGLFDO VXSSRUW UHTXLUHPHQWV DQG SHUVRQQHO VXSSRUW UHTXLUHPHQWV
&HUWDLQFOLPDWHVPD\UHTXLUHVSHFLDOL]HGHTXLSPHQWDQGIXHORUSODFHDQLQFUHDVHGGHPDQGRQUHSDLUSDUWV
$VDQH[DPSOHLQVRPHDUHDVRIWKHZRUOGZDWHUUHVXSSO\SUHVHQWVFKDOOHQJHV3ODQQHUVLGHQWLI\WKHQHHG
IRUWKHHDUO\GHSOR\PHQWRIZHOOGLJJLQJZDWHUSURGXFWLRQSXULILFDWLRQDQGGLVWULEXWLRQDVVHWVDQGXQLWV
&HUWDLQ DUHDV DOVR UHTXLUH VSHFLDOL]HG PHGLFDO FDUH RU FDSDELOLWLHV VXFK DV IRUZDUG VXUJLFDO WHDPV
SUHYHQWDWLYHPHGLFLQHYHWHULQDU\VHUYLFHVDQGHQYLURQPHQWDOKHDOWKVHUYLFHV

4-8 FM 3-0 6 October 2017


2SHUDWLRQVWR3UHYHQW

6833/,(6 $1'6(59,&(6
 3ODQQHUVFROOHFWLQIRUPDWLRQRQVXSSOLHVDQG VHUYLFHVDYDLODEOH LQ WKHLURSHUDWLRQDODUHD&RPPRQO\
DYDLODEOH VXSSOLHVLQFOXGH VXEVLVWHQFHLWHPVEXON SHWUROHXPDQG EDUULHUPDWHULDOV&RPPRQO\ DYDLODEOH
VHUYLFHVLQFOXGHEDWKDQGODXQGU\VDQLWDWLRQDQGZDWHUSXULILFDWLRQ

)$&,/,7,(6
 3ODQQHUVFROOHFWLQIRUPDWLRQRQWKHDYDLODELOLW\RIZDUHKRXVLQJFROGVWRUDJHIDFLOLWLHVSURGXFWLRQDQG
PDQXIDFWXULQJ SODQWV UHVHUYRLUVDGPLQLVWUDWLYH IDFLOLWLHV KRVSLWDOV VDQLWDWLRQ FDSDELOLWLHV DQG KRWHOV
$YDLODELOLW\ RIWKHVHIDFLOLWLHVUHGXFHVWKHUHTXLUHPHQWIRUWKHGHSOR\PHQWRI86DVVHWV

0$,17(1$1&(
 3ODQQHUVVKRXOGDQDO\]HFXUUHQW$UP\PDLQWHQDQFHFDSDELOLW\GXULQJWKHSUHYHQWSKDVHRIRSHUDWLRQV
$UP\ PDLQWHQDQFHXQLWVVKRXOGDOZD\V EHWKHILUVWFRQVLGHUHGWRSURYLGHPDLQWHQDQFHVXSSRUW,IDQDO\VLV
LQGLFDWHVWKDWVXIILFLHQW$UP\PDLQWHQDQFHFDSDELOLW\GRHVQRWH[LVWWRPHHWPLVVLRQUHTXLUHPHQWVSODQQHUV
H[DPLQHWKHDYDLODELOLW\ RIRWKHU6HUYLFHPXOWLQDWLRQDODQG KRVWQDWLRQPDLQWHQDQFHFDSDELOLWLHV$W WKLV
SRLQW SODQQHUV DOVR LGHQWLI\ D QHHG IRU DQG UHTXHVWFRQWUDFWHGPDLQWHQDQFH VXSSRUW ZKHQ IHDVLEOHDQG
DYDLODEOH8QLWVGHWHUPLQHZKDWLWHPVDUHLQFOXGHGDVSDUWRIWKHVKRSDQGEHQFKVWRFNRIWKHLUFRPEDWUHSDLU
DQGILHOGPDLQWHQDQFHWHDPVDQGWKHW\SHVDQG QXPEHUVRIRQERDUGVSDUHV7KHVHGHWHUPLQDWLRQVDUHEDVHG
RQ²
z 7KHW\SHVDQGWHPSRRISURMHFWHGRSHUDWLRQV
z 7KHW\SHVDQGIUHTXHQF\RIFRPEDWGDPDJHDQGPDLQWHQDQFHIDLOXUHV
z 7KHTXDQWLWLHVQHHGHGWRVXSSRUWDXWKRUL]HGWDEOHRIRUJDQL]DWLRQDQGHTXLSPHQWDQGFRPPHUFLDO
RIIWKHVKHOIHTXLSPHQW
 )RUH[DPSOHLILQVXUJHQWVLQD SURMHFWHGDUPRUHGEULJDGHFRPEDWWHDP $%&7  $2 PDNHH[WHQVLYH
XVHRIODQG PLQHVWKHPDLQWHQDQFHWHDPVZLWKLQ WKHEULJDGH VXSSRUWEDWWDOLRQUHTXHVWDSSURYDO IURPWKH
76&¶V PDWHULDOPDQDJHPHQWFHQWHUWRVWRFNFRPSOHWHDVVHPEOLHVRIURDGZKHHODUPVIRUDOORIWKHGLIIHUHQW
PRGHOVRIWUDFNHGYHKLFOHVZLWKLQWKH$%&7

75$163257$7,21
 7UDQVSRUWDWLRQSODQQHUVFROOHFWLQIRUPDWLRQRQURDGDQGUDLOQHWVWUXFNDYDLODELOLW\EULGJHVDLUILHOGV
SRUWVFDUJRKDQGOHUVSHWUROHXPSLSHOLQHVDQG PDWHULDOKDQGOLQJ HTXLSPHQW7KH\ H[DPLQHWUDIILFIORZWR
LGHQWLI\SRWHQWLDOFKRNHSRLQWVDQGFRQWUROSUREOHPVDVZHOODVDQ\ KRVWQDWLRQDGPLQLVWUDWLYHUHTXLUHPHQWV
IRUWKHKDQGOLQJDQGWUDQVSRUWRIKD]DUGRXVPDWHULDOV

*(1(5$/6.,//6
 &RUSVGLYLVLRQDQGEULJDGHSODQQHUVFROOHFWLQIRUPDWLRQRQWKHFLYLOLDQSRSXODWLRQLQWKHLUDQWLFLSDWHG
$2*HQHUDOO\WKHLUXQLWVZLOOQHHGVNLOOHGWUDQVODWRUVDQGODERUHUV
 1HJRWLDWLQJ KRVWQDWLRQ VXSSRUW DQG WKHDWHUVXSSRUW FRQWUDFWLQJ DJUHHPHQWV PD\ LQFOXGH
SUHSRVLWLRQLQJRIVXSSOLHVDQG HTXLSPHQWFLYLODXJPHQWDWLRQSURJUDPVXSSRUWFRQWUDFWVRYHUVHDVWUDLQLQJ
SURJUDPVDQG KXPDQLWDULDQ DQG FLYLODVVLVWDQFHSURJUDPV:KHUHSRVVLEOHWKHVHDJUHHPHQWVHQKDQFHWKH
LQWHUQDO GHYHORSPHQW DQG FRRSHUDWLYHVROLGDULW\RI WKH KRVW QDWLRQ DQG SURYLGH QHFHVVDU\LQIUDVWUXFWXUH
VKRXOGGHSOR\PHQWRIIRUFHVWRWKHKRVWQDWLRQEHUHTXLUHG3UHDUUDQJLQJWKHVHDJUHHPHQWVUHGXFHVSODQQLQJ
WLPHVLQUHODWLRQWRFRQWLQJHQF\SODQVDQGRSHUDWLRQV
 1HJRWLDWLRQV DQG DJUHHPHQWV HQDEOH DFFHVV WR KRVWQDWLRQ VXSSRUW UHVRXUFHV LGHQWLILHG LQ WKH
UHTXLUHPHQWVGHWHUPLQDWLRQSKDVH1HJRWLDWLRQIDFLOLWDWHVIRUFHWDLORULQJE\LGHQWLI\LQJ DYDLODEOH UHVRXUFHV
ZLWKLQ WKH SURMHFWHG$2 VXFK DV FRPPHUFLDOSLSHOLQH FRQVWUXFWLRQWUXFNLQJ FRPSDQLHV DQG FRPPRQ
VXSSOLHV7KLVSUHFOXGHVWKHQHHGWRGHSOR\86PLOLWDU\FDSDELOLWLHVVKLSWRQQDJHDQGEDUULHUPDWHULHOIURP
WKH8QLWHG6WDWHVWRVXSSRUWRSHUDWLRQV

6 December 2017 FM 3-0, C1 4-9


Chapter 4

23(5$7,21$/ &2175$&7 6833257


 2SHUDWLRQDOFRQWUDFWVXSSRUW 2&6 LVLPSRUWDQWLQ WKH VXVWDLQPHQWRIRSHUDWLRQVDQG KHOSVREWDLQ
VXSSRUW IRU GLYLVLRQ RU FRUSVVWDELOLW\IRFXVHGRSHUDWLRQV2&6 DXJPHQWV RWKHUVXSSRUW FDSDELOLWLHVE\
SURYLGLQJ DQ DGGLWLRQDOVRXUFHIRUUHTXLUHGVXSSOLHVDQG VHUYLFHV%HFDXVHRIWKHLPSRUWDQFHDQG VSHFLILF
FKDOOHQJHVRI2&6 FRPPDQGHUVDQG VWDIIVQHHG WRXQGHUVWDQG WKHLUUROHLQ SODQQLQJ IRUDQG PDQDJLQJ
FRQWUDFWVXSSRUWLQDQ$2 6HH$73IRULQIRUPDWLRQUHJDUGLQJ2&6UROHVDQGUHVSRQVLELOLWLHV 

7+($7(5 6833257 &2175$&76


 $UP\ H[SHGLWLRQDU\FRQWUDFWLQJXQLWVGHSOR\WRDQRSHUDWLRQDODUHDDQG SURYLGHWKHDELOLW\WRUDSLGO\
FRQWUDFWIRUORJLVWLFVDQGRWKHUVXSSRUWIXQFWLRQVPRVWO\IURPORFDOFRPPHUFLDOVRXUFHVZLWKLQDWKHDWHURI
RSHUDWLRQV([SHGLWLRQDU\ FRQWUDFWLQJRIILFHUV XQGHUWKH DFTXLVLWLRQ DXWKRULW\ RI WKH $UP\ &RQWUDFWLQJ
&RPPDQG SHUIRUP WKLV IXQFWLRQ 7KH $UP\ &RQWUDFWLQJ &RPPDQG KDV D FRQWUDFWLQJ VXSSRUW EULJDGH
DOORFDWHGWRHDFKWKHDWHUDQGSURYLGHVFRQWUDFWLQJEDWWDOLRQVDQGWDFWLFDOFRQWUDFWLQJWHDPVWRGHSOR\HGXQLWV
&RQWUDFWLQJPD\EHFRPHDNH\HQDEOHUGXULQJWKHHDUO\SKDVHVRID FDPSDLJQ7KHDWHUVXSSRUWFRQWUDFWRUV
DFTXLUHDQG SURYLGH JRRGVVHUYLFHVDQG PLQRUFRQVWUXFWLRQVXSSRUWXVXDOO\ IURPWKHORFDOFRPPHUFLDO
VRXUFHVWRPHHWWKHLPPHGLDWHQHHGVRIRSHUDWLRQDOFRPPDQGHUV
 7KHDWHUVXSSRUWFRQWUDFWVDUHDVVRFLDWHGZLWKFRQWLQJHQF\FRQWUDFWLQJ6XVWDLQPHQWEULJDGHVUHTXHVW
WKHDWHUVXSSRUW FRQWUDFWVWKURXJK D VXSSRUWLQJ FRQWUDFWLQJEDWWDOLRQ RU WHDP RIILFH:KHQ WKLV VXSSRUW
LQYROYHV FRPPRGLWLHVRU VHUYLFHVVXSSRUW WKH VXSSRUWHG XQLW LV UHTXLUHG WR SURYLGH FRQWUDFWLQJRIILFHU
UHSUHVHQWDWLYHVIRU FRQWUDFWHGVHUYLFHVDQG UHFHLYLQJ RIILFLDOVIRU FRQWUDFWHGORJLVWLF VFRPPRGLWLHV DQG
VHUYLFHVSURYLGHGLQWKHDIIHFWHG$2 6HH$73 IRUPRUHLQIRUPDWLRQRQWKHDWHUVXSSRUWFRQWUDFWVDQG
H[SHGLWLRQDU\FRQWUDFWLQJLQJHQHUDO 

(;7(51$/ 6833257 &2175$&7256


 ([WHUQDOVXSSRUWH[SHGLWLRQDU\FRQWUDFWVDUHSUHDUUDQJHG FRQWUDFWVRUFRQWUDFWVDZDUGHG GXULQJ WKH
FRQGXFWRIRSHUDWLRQV([WHUQDOVXSSRUWVHUYLFHFRQWUDFWVSURYLGHDYDULHW\RIORJLVWLFVDQGRWKHUQRQFRPEDW
UHODWHGVHUYLFHVDQGVXSSRUW7KHODUJHVWDQGPRVWFRPPRQO\NQRZQH[WHUQDOVXSSRUWFRQWUDFWLVWKH$UP\¶V
ORJLVWLFVFLYLODXJPHQWDWLRQ SURJUDP7KH ORJLVWLFVFLYLODXJPHQWDWLRQ SURJUDPSURYLGHV VXSSO\ VHUYLFHV
VXFK DV VWRUDJH ZDUHKRXVLQJ DQG GLVWULEXWLRQ IRU WKH QLQH FODVVHV RI VXSSOLHV 7KH ORJLVWLFV FLYLO
DXJPHQWDWLRQSURJUDPDOVRFRPPRQO\SURYLGHVEDVHVXSSRUWVHUYLFHVVXFKDVSRVWDOPLQRUFRQVWUXFWLRQDQG
IDFLOLW\PDLQWHQDQFH'HSOR\LQJXQLWVPXVWSURYLGHWUDLQHGFRQWUDFWLQJRIILFHUUHSUHVHQWDWLYHVDQGUHFHLYLQJ
RIILFLDOV IRU DQ\ VHUYLFHV SURYLGHG E\ H[WHUQDO VXSSRUW FRQWUDFWRUV 6HH $73  IRU DGGLWLRQDO
LQIRUPDWLRQRQ WKHORJLVWLFVFLYLODXJPHQWDWLRQSURJUDP

6<67(0 6833257 &2175$&76


 6\VWHPVXSSRUWFRQWUDFWVDUHSUHDUUDQJHGFRQWUDFWVIRUWHFKQLFDOVXSSRUWRIVSHFLILFV\VWHPV6\VWHP
FRQWUDFWRUVSURYLGHVXSSRUWLQ JDUULVRQDQG WKH\PD\ GHSOR\ZLWK WKHIRUFHWRERWK WUDLQLQJDQG GHSOR\HG
RSHUDWLRQV6\VWHPVXSSRUWFRQWUDFWVSURYLGHHLWKHUWHPSRUDU\VXSSRUWGXULQJWKHLQLWLDOILHOGLQJRIDV\VWHP
FDOOHGLQWHULPFRQWUDFWHGVXSSRUWRUORQJWHUPVXSSRUWIRUVHOHFWHGPDWHULHOV\VWHPVRIWHQUHIHUUHGWRDV
FRQWUDFWRUORJLVWLFVVXSSRUW'HSOR\LQJXQLWVZRUNZLWKDVXSSRUWLQJSURJUDPPDQDJHUUHSUHVHQWDWLYHRUWKH
GHSOR\HG$VVLVWDQW 6HFUHWDU\IRU$FTXLVLWLRQ /RJLVWLFVDQG 7HFKQRORJ\ IRUZDUG VWDIIWRFRRUGLQDWHWKLV
VXSSRUW 6HH$73 IRUPRUHLQIRUPDWLRQRQ WKH $VVLVWDQW6HFUHWDU\IRU$FTXLVLWLRQ/RJLVWLFVDQG
7HFKQRORJ\IRUZDUGRUJDQL]DWLRQDQGRSHUDWLRQV 

$50<35(326,7,21(' 672&.6
 3ODQQLQJ IRUDQG SUHSDUDWLRQRI $UP\ SUHSRVLWLRQHGVHWVRI HTXLSPHQW LV HVVHQWLDOLQ IDFLOLWDWLQJ
VWUDWHJLFDQG RSHUDWLRQDO UHDFK 3UHSRVLWLRQLQJVWRFNV LQ SRWHQWLDO WKHDWHUV RI RSHUDWLRQVSURYLGHV WKH
FDSDELOLW\WRUHVXSSO\IRUFHVXQWLOWKHHVWDEOLVKPHQWRIV\VWHPV7KH$UP\ ORFDWHVLWVSUH SRVLWLRQHGVWRFNV
DWRUQHDUSRLQWVRISODQQHGXVHRUDWRWKHUGHVLJQDWHGORFDWLRQVWRUHGXFHUHDFWLRQWLPH$OWHUQDWLYHVLQFOXGH
SUHSRVLWLRQLQJVWRFNV²

4-10 FM 3-0, C1 6 December 2017


2SHUDWLRQVWR3UHYHQW

z $IORDWLQFOXGLQJSRUWFRQVWUXFWLRQHTXLSPHQWDQGPDWHULHO
z $WDQLQWHUPHGLDWHVWDJLQJEDVH
z $VVHPEOLQJVWRFNVLQWDLORUHGSDFNDJHVIRUGHSOR\PHQWZLWKSURMHFWHGIRUFHV
 7KH FDWHJRULHVRI$UP\ SUHSRVLWLRQHGVWRFNVDUHSUHSRVLWLRQHGXQLWVHWV$UP\ RSHUDWLRQDOSURMHFW
VWRFNV$UP\ZDUUHVHUYHVXVWDLQPHQWVWRFNVZDUUHVHUYHVWRFNVIRUDOOLHVDQGDFWLYLW\VHWV'HSOR\LQJXQLWV
ZRUN ZLWK D VXSSRUWLQJ $UP\ ILHOGVXSSRUW EULJDGH WR SODQ DQG FRRUGLQDWH$UP\ SUHSRVLWLRQHGVWRFN
UHFHSWLRQVXSSRUWIRUWKHLURSHUDWLRQV 6HH$73DQG$73IRUPRUHLQIRUPDWLRQUHJDUGLQJ$UP\
SUHSRVLWLRQHGVWRFNV 

+2671$7,21 6833257
 +RVWQDWLRQ VXSSRUW +16  ZLOO RIWHQ EH FULWLFDO WR WKH VXFFHVV RI D PXOWLQDWLRQDO RSHUDWLRQ
&HQWUDOL]HGFRRUGLQDWLRQRI+16SODQQLQJDQGH[HFXWLRQZLOOHQVXUHWKDWOLPLWHG+16UHVRXUFHVDUHDOORFDWHG
PRVWHIIHFWLYHO\WRVXSSRUWWKHPXOWLQDWLRQDOIRUFHFRPPDQGHU¶VSULRULWLHV7KHPRUHOLPLWHG+16UHVRXUFHV
DUHLQWKHRSHUDWLRQDODUHDWKHJUHDWHUWKHUHTXLUHPHQWIRUFHQWUDOL]HGPDQDJHPHQW
 7RDVVLVWWKHPXOWLQDWLRQDOIRUFHFRPPDQGHULQ+16FRRUGLQDWLRQDFWLYLWLHVD+16FRRUGLQDWLRQFHQWHU
PD\ EH HVWDEOLVKHG2QH RIWKHPRVWLPSRUWDQWIXQFWLRQVRIWKH+16 FRRUGLQDWLRQFHQWHULVWRDVVLVWWKH
PXOWLQDWLRQDOIRUFHFRPPDQGHUDQG OHJDOFRXQVHOLQGHYHORSLQJWHFKQLFDODJUHHPHQWVWKDWLQYROYH ORJLVWLF
PDWWHUVVXFK DV LQIUDVWUXFWXUHILQDQFH SXUFKDVLQJ DQG FRQWUDFWLQJHQJLQHHULQJ HQYLURQPHQW KD]DUGRXV
PDWHULDOVWRUDJHODQGLQJDQGSRUWIHHVPHGLFDOERUGHUFXVWRPVWDULIIVDQGUHDOHVWDWH
 ,Q RUGHU WR HIIHFWLYHO\ SODQ DQG FRRUGLQDWH+16 DOORFDWLRQ WKH +16 FRRUGLQDWLRQFHQWHU QHHGV
XSWRGDWHLQIRUPDWLRQRQ +16 ORJLVWLFFDSDELOLWLHVDQG RQJRLQJ +16 DOORFDWLRQWR PXOWLQDWLRQDO IRUFH
FRQWLQJHQWVWKURXJKRXWWKHRSHUDWLRQ,QRUGHUWRIDFLOLWDWH+16SODQQLQJDQGRSHUDWLRQDOFRRUGLQDWLRQ*&&V
DQG DOOLDQFHRUJDQL]DWLRQVVKRXOGGHYHORS DQ +16 FDWDORJRUGDWDEDVH RI+16 FDSDELOLWLHVLQ DGYDQFH RI
RSHUDWLRQV7KHWKHDWHUDUP\DQG WKHDWHUVXVWDLQPHQWFRPPDQGHUZRUNFORVHO\ZLWKWKH+16 FRRUGLQDWLRQ
FHQWHUIRUWKHSODQQLQJDQGFRRUGLQDWLRQIRU+16

'(3/2<0(17
 3URSHUSODQQLQJ HVWDEOLVKHVZKDW ZKHUH DQG ZKHQ IRUFHVDUH QHHGHG IRUVXFFHVVIXOGHSOR\PHQW
RXWFRPHV+RZWKH*&&LQWHQGVWRHPSOR\IRUFHVLVWKHIRXQGDWLRQRIWKHGHSOR\PHQWVWUXFWXUHDQGWLPLQJ
&RUSVDQGGLYLVLRQVWDIIVH[DPLQHDOOGHSOR\PHQWSRVVLELOLWLHVDQGFRQGXFWSDUDOOHOSODQQLQJ7KHWLPLQJDQG
DPRXQWRIFRPEDWSRZHUGHOLYHUHGGLUHFWO\LQIOXHQFHVWKH*&&¶VRURWKHU-)&¶VFRXUVHVRIDFWLRQ7KHUHDUH
IRXUSULQFLSOHVWKDWDSSO\WRWKHUDQJHRIDFWLYLWLHVHQFRPSDVVLQJGHSOR\PHQW7KHVHSULQFLSOHVDUHSUHFLVLRQ
V\QFKURQL]DWLRQNQRZOHGJHDQGVSHHG 6HH-3IRUDGLVFXVVLRQRIWKHVHSULQFLSOHV 
 7KH REMHFWLYHRIGHSOR\PHQWSODQQLQJ LVWRV\QFKURQL]HGHSOR\PHQWDFWLYLWLHVWRIDFLOLWDWHHIIHFWLYH
H[HFXWLRQLQWKHRSHUDWLRQDODUHD7KHVWHSVXVHGLQGHSOR\PHQWSODQQLQJDUH²
z $QDO\]H WKHPLVVLRQ
z 6WUXFWXUHIRUFHV
z 5HILQHGHSOR\PHQWGDWD
z 3UHSDUHWKHIRUFH
z 6FKHGXOHPRYHPHQW
 6XFFHVVIXOGHSOR\PHQW SODQQLQJ UHTXLUHVNQRZOHGJH RI WKH XQLW¶V GHSOR\PHQW UHVSRQVLELOLWLHVDQ
XQGHUVWDQGLQJ RIGHSOR\PHQWDQG DQ DSSUHFLDWLRQRIWKHOLQN EHWZHHQGHSOR\PHQWDQG HPSOR\PHQW 6HH
$73 IRUDGLVFXVVLRQRIWKHVHGHSOR\PHQWSKDVHVDQGSODQQLQJLQGHWDLO 

029(0(17
 7KHUHFHLSWRIWKH0LOLWDU\6XUIDFH'HSOR\PHQWDQG'LVWULEXWLRQ&RPPDQGSRUWFDOOPHVVDJHDQGWKH
8QLWHG 6WDWHV$LU )RUFH 86$)  $LU 0RELOLW\&RPPDQG DLU WDVNLQJ RUGHULQLWLDWHVSRUW RIHPEDUNDWLRQ
RSHUDWLRQVDQGVSHFLILHVWKHGDWHVZKHQXQLWVDUULYHDWWKHSRUW$Q DLUWDVNLQJRUGHULVDPHWKRGXVHGWRWDVN
DQG GLVVHPLQDWHWRFRPSRQHQWVVXERUGLQDWHXQLWV DQG FRPPDQG DQG FRQWURODJHQFLHVSURMHFWHGVRUWLHV
FDSDELOLWLHVDQGRUIRUFHVWRWDUJHWVDQG VSHFLILFPLVVLRQV -3 $WWKHLQVWDOODWLRQVWDJLQJ DUHDVXQLWV

6 December 2017 FM 3-0, C1 4-11


Chapter 4

YHULI\PRYHPHQWGDWDDQGWKH\LQVSHFWHTXLSPHQWWRHQVXUHWKDWLWLVFRUUHFWO\FRQILJXUHGIRUPRYHPHQWE\
WKHGHVLJQDWHGPRGHRIWUDQVSRUWDWLRQ8QLWYHKLFOHVDQGFDUJRPRYHWRWKHSRUWVRIHPEDUNDWLRQE\FRQYR\
RUFRPPHUFLDOVXUIDFHWUDQVSRUW
 7KH LQVWDOODWLRQFRRUGLQDWHVRUSURYLGHVVXSSRUWWRKHOSWKHGHSOR\LQJIRUFHE\XVLQJ QRQGHSOR\LQJ
XQLWV LQVWDOODWLRQ UHVRXUFHV RU FRQWUDFWHG VXSSRUW 6XSSRUW LQFOXGHV ORDG WHDPV PDWHULDOV KDQGOLQJ
HTXLSPHQWPDLQWHQDQFHWHDPVDUULYDODQGGHSDUWXUHDLUILHOGFRQWUROJURXSVDQGGHSOR\PHQWVXSSRUWWHDPV
'HSOR\LQJ XQLWV DQG LQVWDOODWLRQVLGHQWLI\ RWKHUVXSSRUW UHTXLUHPHQWVGXULQJ WKHLUGHSOR\PHQW UHDGLQHVV
H[HUFLVHV 6HH$5 FKDSWHU 7KH\ ZULWHWKRVHDGGLWLRQDOUHTXLUHPHQWVLQWRXQLWDQG LQVWDOODWLRQ
GHSOR\PHQWVXSSRUWSODQV
 'HSOR\LQJXQLWVFRQILJXUHIRUGHSOR\PHQWE\ SUHSDULQJWKHLUYHKLFOHVDQG DLUFUDIWIRUURDGUDLODLU
LQODQG ZDWHU DQG VHD PRYHPHQWDV DSSURSULDWH$73 GHVFULEHVWKHSURFHVVDVVRFLDWHGZLWK VXUIDFH
PRYHPHQW FRQWURO $73  DGGUHVVHV $UP\ UDLO RSHUDWLRQV $73  DGGUHVVHV $UP\ ZDWHUFUDIW
RSHUDWLRQV
 8675$16&20 RSHUDWHVWKH'HIHQVH7UDQVSRUWDWLRQ 6\VWHPDQG SURYLGHV FRPPRQXVHUVWUDWHJLF
WUDQVSRUWDWLRQWRVXSSRUWWKH*&&GHSOR\PHQWUHTXLUHPHQWV7KHSRUWWRSRUWSKDVHEHJLQVZLWKVWUDWHJLFOLIW
GHSDUWXUHVIURP SRUWVRI HPEDUNDWLRQ DQG HQGV ZLWK OLIWDVVHW DUULYDO LQ WKH GHVLJQDWHG WKHDWHU SRUWVRI
GHEDUNDWLRQ7KH *&&V\QFKURQL]HVWKHDUULYDORIDLUOLIWDQGVHDOLIWIRUFHSDFNDJHVVRWKDWYH VVHOVFDQEHUWK
DW D ZKDUI RU RIIORDGHG LQVWUHDP ZLWK PLQLPDO GHOD\ 7KLV LV IXQGDPHQWDO WR VXFFHVVIXOSRUWWRSRUW
PRYHPHQWDQGHQVXUHVWKHUHFHSWLRQDQGFOHDUDQFHRIFDUJRIURPWKHSRUWLQDWLPHO\PDQQHU
 'HSOR\LQJ XQLWV DUULYLQJ DW WKH SRUW RI HPEDUNDWLRQ FRPSOHWH DQG ILQDOL]H DOO XQLW PRYHPHQW
UHVSRQVLELOLWLHV&ULWLFDOLQIRUPDWLRQVXFKDVPRYHPHQWVFKHGXOHVPDQLIHVWVDQGORDGOLVWVDUHSURYLGHGWR
FRQWUROQRGHV DQG IRUZDUG VXSSRUW HOHPHQWV WR IDFLOLWDWH HIILFLHQWRQZDUG PRYHPHQW RI WKH FRUSV ¶ RU
GLYLVLRQ¶VGHSOR\LQJKHDGTXDUWHUVEULJDGHVDQGEDWWDOLRQVWRWKHLUUHVSHFWLYHSRUWVRIGHEDUNDWLRQ

3527(&7,21 '85,1*75$16,7
 ,QWUDQVLWYLVLELOLW\LVWKHDELOLW\WRWUDFNWKHLGHQWLW\VWDWXVDQG ORFDWLRQRI'2'XQLWVDQGQRQXQLW
FDUJR H[FOXGLQJ EXON SHWUROHXP RLOV DQG OXEULFDQWV  DQG SDVVHQJHUV SDWLHQWV DQG SHUVRQDO SURSHUW\
IURPRULJLQWRFRQVLJQHHRUGHVWLQDWLRQDFURVVWKHUDQJHRIPLOLWDU\RSHUDWLRQV -3 ,WLVFULWLFDO
IRUWUDFNLQJWKHLGHQWLW\VWDWXVDQGORFDWLRQRIDOO'2'XQLWVDQGFDUJRDQGLW SURYLGHVFULWLFDOLQSXWWR
PLVVLRQFRPPDQGLQIRUPDWLRQV\VWHPV6XFFHVVIXOLQWUDQVLWYLVLELOLW\EHJLQVGXULQJWKHSUHGHSOR\PHQW
SKDVHDQGFRQWLQXHVWKURXJKRXWRSHUDWLRQV$FFXUDWHZHLJKLQJ PHDVXUHPHQWPDUNLQJDQGWDJJLQJRIDOO
FDUJRFRQWDLQHUVDQGHTXLSPHQWGLUHFWO\FRQWULEXWHVWRDPRUHFRPSOHWHDQGWLPHO\RSHUDWLRQDOSLFWXUH
IRUWKHFRPPDQGHU 6HH-3DQG$73IRUPRUHLQIRUPDWLRQRQLQWUDQVLWYLVLELOLW\ 
 7KH 86 $UP\ ,QVWDOODWLRQ 0DQDJHPHQW &RPPDQG LV D FULWLFDOSURWHFWLRQHQDEOHU GXULQJ XQLW
SUHGHSOR\PHQWDFWLYLWLHVWKURXJKWKHIRUWWRSRUWSKDVH7KLV FRPPDQGPDQDJHV PRVW$UP\ LQVWDOODWLRQV
DQGJDUULVRQFRPPDQGHUVHQVXUHWKHSURWHFWLRQRIFRUSVRUGLYLVLRQKHDGTXDUWHUVDQGKHDGTXDUWHUVEDWWDOLRQ
DQG VXERUGLQDWHEULJDGHV DV WKH\ GHSOR\ ,QVWDOODWLRQSURYRVW PDUVKDOV ZLWK PLOLWDU\SROLFHDQG FLYLOLDQ
'HSDUWPHQWRIWKH$UP\VHFXULW\IRUFHVSURWHFWGHSOR\LQJXQLWDVVHWVDVWKH\SUHSDUHWRGHSOR\,QDGGLWLRQ
LQVWDOODWLRQVDIHW\SHUVRQQHOPHGLFDOSHUVRQQHODQG LQIRUPDWLRQPDQDJHPHQWSHUVRQQHOSURWHFWGHSOR\LQJ
XQLW6ROGLHUVDQG LQIRUPDWLRQ&RUSVDQG GLYLVLRQSURWHFWLRQFHOOVFRRUGLQDWHFORVHO\ZLWKLQVWDOODWLRQVWDII
SHUVRQQHOWR LGHQWLI\ LQIRUPDWLRQDQG DVVHWVWKDW QHHG SURWHFWLRQDQG DSSO\ DSSURSULDWH SURWHFWLRQDQG
VHFXULW\PHDVXUHVFRQVLVWHQWZLWKWKHLUFROOHFWLYHWKUHDWDQDO\VLV
 7KUHDWV PD\ WU\ WR LPSHGHRUSUHYHQW XQLW GHSOR\PHQWV&RRUGLQDWLRQIRUWKH SK\VLFDO VHFXULW\RI
GHSOR\LQJXQLWDVVHWVLVUHTXLUHGZKHQ WKH\PRYHWRSRUWVRIHPEDUNDWLRQ3K\VLFDOVHFXULW\LVUHTXLUHGIRU
WKRVHDVVHWVZKLOHWKH\DZDLW WUDQVSRUWDWWKRVHSRUWVRIHPEDUNDWLRQGXULQJWKHLUVWUDWHJLFPRYHPHQWDQG
RQFHWKH\ DUULYH DW WKHLUSRUWVRIGHEDUNDWLRQ 3K\VLFDOVHFXULW\UHPDLQVD FRQFHUQZKLOH WKRVHDVVHWVDUH
PDWFKHGZLWKGHSOR\LQJXQLW6ROGLHUVLQXQLWVWDJLQJDUHDVDQG ZKLOHXQLWVDQGVXSSOLHVPRYHDORQJURXWHV
GHVLJQDWHGIRUXVHE\GLVSODFLQJXQLWVIRURQZDUGPRYHPHQWLQWRWKHLUDUHDVRIRSHUDWLRQV7KLVFRRUGLQDWLRQ
RFFXUVEHWZHHQWKHFRUSVDQGGLYLVLRQORFDOODZHQIRUFHPHQWDJHQFLHVSRUWVHFXULW\SHUVRQQHOVWUDWHJLFOLIW
DVVHWVDQGZLWKWKH*&&DQGRWKHUMRLQWIRUFHFRPPDQGHUV7KLVFRRUGLQDWLRQPD\DOVRLQYROYHKRVWQDWLRQ
VHFXULW\IRUFHV

4-12 FM 3-0, C1 6 December 2017


2SHUDWLRQVWR3UHYHQW

 &RUSVDQGGLYLVLRQSURWHFWLRQFHOOVWDIIVFRRUGLQDWH ZLWKWKHSRUWUHDGLQHVVFRPPLWWHHVDWHDFKSRUW


XVHG E\ WKHLU VXERUGLQDWH GHSOR\LQJ XQLWV 7KHVH FRPPLWWHHV SURYLGH GHSOR\LQJ FRPPDQGHUV D FRPPRQ
FRRUGLQDWLRQVWUXFWXUHIRUWKH'HSDUWPHQWRI'HIHQVH '2' WKH86&RDVW*XDUGDQGRWKHUIHGHUDOVWDWH
DQGORFDODJHQFLHVDWWKHSRUWOHYHO7KHVHFRPPLWWHHVDUHDOVRWKHSULPDU\LQWHUIDFHEHWZHHQWKH'2'DQG
RWKHURIILFLDOVDWWKHSRUWVGXULQJWKHPRYHPHQWRIPLOLWDU\HTXLSPHQW
 8675$16&20 DQG WKH 0LOLWDU\ 6XUIDFH 'HSOR\PHQW DQG 'LVWULEXWLRQ &RPPDQG DGPLQLVWHU D
GHIHQVH WUDQVSRUWDWLRQ VHFXULW\ SURJUDP WR SURYLGH VWDQGDUGL]HG WUDQVSRUWDWLRQ VHFXULW\ PHDVXUHV DQG
SURFHGXUHV FRQVWDQW RYHUVLJKW DQG FHQWUDO GLUHFWLRQ LQ FRRUGLQDWLRQ ZLWK RWKHU '2' DFWLYLWLHV DQG SRUW
DXWKRULWLHV&RPPDQGHUVSODQIRUSURWHFWLRQPHDVXUHVIRUWKHLUXQLWVDQGHTXLSPHQWWRWKHSRUWLQ&2186
ZKLOH0LOLWDU\6XUIDFH'HSOR\PHQWDQG'LVWULEXWLRQ&RPPDQGFRRUGLQDWHVIRUVHFXULW\ZLWKLQWKHSRUW
 8QLWVHQVXUHWKHVHFXULW\RIWKHLUHTXLSPHQWDQGDFFRPSDQ\LQJVXSSOLHVWKURXJKRXWWKHLUPRYHPHQW
IURPWKHLQVWDOODWLRQDWUDLOKHDGV ZKLOHHQURXWHWRSRUWVRIHPEDUNDWLRQDQG ZKLOHLQWUDQVLWWRSRUWVRI
GHEDUNDWLRQ &RUSV DQG GLYLVLRQ SURWHFWLRQ FHOOV HQVXUH WKDW DOO FRQWUDFW SURFHVVHV IRU WUDQVSRUWDWLRQ
PRYHPHQWV PHHW '2' VHFXULW\ UHTXLUHPHQWV 7KHVH SURWHFWLRQ FHOOV FRRUGLQDWH ZLWK WKH LQVWDOODWLRQ
WUDQVSRUWDWLRQRIILFHULQ&2186RUWKHPRYHPHQWFRQWUROWHDPRXWVLGHRI&2186DQGDXWKRUL]HGUDLOURDG
RUFRPPHUFLDOWUXFNFDUULHUVRQJXDUGDQGHVFRUWPDWWHUV6RPHJRYHUQPHQWDQGFRPPHUFLDOFDUULHUVSURYLGH
OLPLWHGVHFXULW\PHDVXUHVWRSURWHFWLQWUDQVLWHTXLSPHQWDQGVXSSOLHV7KHVHPHDVXUHVLQFOXGHWKHXVHRI
FRQWUDFWVHFXULW\SHUVRQQHODQGVHFXUHWUDQVIHUIDFLOLWLHVWRVDIHJXDUGXQLWDVVHWV
 ,IWKHHFKHORQSURWHFWLRQFHOOGHWHUPLQHVWKDWFDUULHUVHFXULW\PHDVXUHVDUHLQVXIILFLHQWJLYHQWKHWKUHDW
FRUSV DQG GLYLVLRQ KHDGTXDUWHUV KDYH D QXPEHU RI RSWLRQV IRU LQFUHDVLQJ WKH SURWHFWLRQ DQG VHFXULW\ RI
GHSOR\LQJ XQLWVDQGWKHLUDVVRFLDWHGHTXLSPHQWDQGVXSSOLHV7KHVHRSWLRQVLQFOXGH GLUHFWLQJVXERUGLQDWH
XQLWVWRSURYLGH6ROGLHUVWRJXDUGHTXLSPHQWDQGVXSSOLHVWKURXJKRXWWKHGHSOR\PHQWSURFHVV&RPPDQGHUV
FDQDOVRGLUHFWXQLWVWRKDYH6ROGLHUVFDUU\FHUWDLQVHQVLWLYHLWHPVDVSDUWRIWKHLULQGLYLGXDOORDGVWKURXJKRXW
WKHGHSOR\PHQWSURFHVV
 &RUSVDQGGLYLVLRQFRPPDQGHUVVXEPLWSURWHFWLRQSODQVWKURXJKWKHUHVSHFWLYH$5)25RUWKHWKHDWHU
DUP\KHDGTXDUWHUVWRWKH*&&UHVSRQVLEOHWRSURWHFWDOOPLOLWDU\IRUFHVLQWKH$25ZLWKLQZKLFKGHSOR\LQJ
IRUFHVZLOORSHUDWHEHIRUHWKHLUDUULYDORYHUVHDV7KHVHSODQVPDWFKWKHJXLGDQFHGHYHORSHGE\WKH*&&ZKR
FRRUGLQDWHVDQGDSSURYHVYDULRXVGHSOR\LQJXQLWSURWHFWLRQSODQV

5(&(37,2167$*,1*21:$5'029(0(17$1',17(*5$7,21
 562,GHOLYHUVFRPEDWSRZHUWRWKH-)&LQDWKHDWHURIRSHUDWLRQVRUD-2$562,VXSSRUWZKHWKHU
SURYLGHGE\WKHDWHUVXSSRUWFRQWUDFWVH[WHUQDOVXSSRUWFRQWUDFWV SULPDULO\WKHORJLVWLFVFLYLODXJPHQWDWLRQ
SURJUDP UHJLRQDOO\DYDLODEOHFRPPHUFLDOKRVWQDWLRQVXSSRUWRUPLOLWDU\DVVHWVQHHGVWRKDYHVXIILFLHQW
FDSDELOLWLHVDQGFDSDFLW\WRSURYLGHWKHVXSSRUWUHTXLUHGE\DUULYLQJXQLWVDWWKHYDULRXVSRUWVRIGHEDUNDWLRQ
(IIHFWLYH562,PDWFKHVSHUVRQQHOZLWKWKHLUHTXLSPHQWPLQLPL]HVVWDJLQJDQGVXVWDLQPHQWUHTXLUHPHQWV
ZKLOHWUDQVLWLQJWKHVHSRUWVRIGHEDUNDWLRQDQGEHJLQVRQZDUGPRYHPHQWDVTXLFNO\DVSRVVLEOH'HSOR\LQJ
XQLWVQHHGWRXQGHUVWDQGDQGLPSOHPHQWSUHYLRXVO\GHYHORSHGSODQVWRDFFRPSOLVKLQWHJUDWLRQDQGPDLQWDLQ
FRPEDWUHDGLQHVVXSRQWKHLUDUULYDO 6HH-3DQG$73IRUDGLVFXVVLRQRIIDFWRUVDQGFRQVLGHUDWLRQV
DVVRFLDWHGZLWKWKHFRQGXFWRI562, 

5HFHSWLRQ
 $VWKHLQLWLDOVWHSRILQWURGXFLQJFRPEDWSRZHURQWKHJURXQGUHFHSWLRQGHWHUPLQHVVXFFHVVRUIDLOXUH
RIWKH562,RSHUDWLRQ7KHWKHDWHUDUP\RUDGHVLJQDWHGVXVWDLQPHQWXQLW W\SLFDOO\WKH76& LPSOHPHQWV
UHFHSWLRQ IURP VWUDWHJLF OLIW DFWLYLWLHV DW RU QHDU GHVLJQDWHG DLU DQG VHDSRUWV RI GHEDUNDWLRQ :KLOH WKH
UHFHSWLRQSODQIRUHDFKWKHDWHUYDULHVUHFHSWLRQFDSDFLW\VKRXOGDWOHDVWHTXDOSODQQHGVWUDWHJLFOLIWGHOLYHU\
FDSDELOLW\ $W D PLQLPXP WKH WKHDWHU DUP\ FRQVLGHUV WKH LPSDFW RI MRLQW FRPPDQG DQG FRQWURO & 
PRYHPHQWFRQWURODQGSRUWRSHUDWLRQVDVLWGHYHORSVWKH562,SODQ

6WDJLQJ
 6WDJLQJ LV WKDW SDUW RI WKH 562, RSHUDWLRQ WKDW UHDVVHPEOHV DQG UHXQLWHV XQLW SHUVRQQHO ZLWK WKHLU
HTXLSPHQWDQGVFKHGXOHVXQLWPRYHPHQWWRWKHWDFWLFDODVVHPEO\DUHDVHFXUHVRUXSORDGVXQLWEDVLFORDGV

6 October 2017 FM 3-0 4-13


Chapter 4

DQGSURYLGHVOLIHVXSSRUWWRSHUVRQQHO8QLWVUHTXLUHH[WHQVLYHVXSSRUWZKHQVWDJLQJLQFOXGLQJPDLQWHQDQFH
VXSSO\DQGOLIHVXSSRUW

2QZDUG0RYHPHQW
 &RPPDQGHUVDUHLQIOXHQFHGE\PDQ\H[WHUQDOIDFWRUVGXULQJWKHLUGHSOR\PHQWSODQQLQJ7KHVHLQFOXGH
WKHDYDLODELOLW\RIVWUDWHJLFOLIWDVVHWVDQGWKHUHTXLUHPHQWVRIWKHLUIXWXUHKLJKHUKHDGTXDUWHUV7KHVHIDFWRUV
GHWHUPLQHWKHVHTXHQFHLQZKLFKXQLWVPRYHIURPWKHLUVWDJLQJDUHDVZKHUHWKH\FRPSOHWHGUHFHSWLRQDQG
VWDJLQJRSHUDWLRQVRQZDUGWRWKHLUUHVSHFWLYH$2V8QLWVLQWHJUDWHLQWRDMRLQWIRUFHRQFHWKH\FRPSOHWHWKLV
RQZDUG PRYHPHQW 3ODQV IRU WKH PRYHPHQW RI WKH FRUSV RU GLYLVLRQ KHDGTXDUWHUV DQG LWV DWWDFKHG DQG
VXSSRUWLQJGLYLVLRQVRUEULJDGHVLQWRWKH$2PDLQWDLQDEDODQFHEHWZHHQVHFXULW\DQGIOH[LELOLW\
 'XULQJWKLVSUHSDUDWRU\SHULRGFRUSVDQGGLYLVLRQFRPPDQGHUVUHO\ KHDYLO\RQ WKHLUWUDQVSRUWDWLRQ
VWDIIDQGWKHLULQWHJUDWLQJFHOOVWRILQLVKFRRUGLQDWLQJWKHLUPRYHPHQWSODQVWRWKHLUSURMHFWHG$2ZLWKDOO
QHFHVVDU\PLOLWDU\DQGFLYLOLDQDJHQFLHV7KHPRYHPHQWFRQWUROV\VWHPPD\EHRSHUDWHGE\WKH86PLOLWDU\
WKHKRVWQDWLRQRUE\DFRPELQDWLRQRIPLOLWDU\DQGFLYLOLDQDJHQFLHV7KHDSSURSULDWHVWDIIFHOOVDQGHOHPHQWV
FRQVLGHU WKH QXPEHU RI VXLWDEOH URXWHV DQG OLIW DVVHWV DYDLODEOH WR PHHW WKH PRYHPHQW UHTXLUHPHQWV RI
VXERUGLQDWHXQLWV2WKHUFRQVLGHUDWLRQVLQFOXGH²
z 5RDGDQGURXWHLPSURYHPHQWDQGPDLQWHQDQFH
z &RQVWUXFWLRQRIURXWHV
z &OHDUDQFHRIREVWDFOHVLQFOXGLQJH[SORVLYHKD]DUGV
z 5HSDLURIEULGJHVDQGFXOYHUWV
z %ULGJLQJULYHUVRUGU\JDSV
z (VWDEOLVKPHQWRIVHFXULW\DORQJURXWHV
z 7UDIILFFRQWUROWRSHUPLWIUHHGRPRIRUUHVWULFWLRQRIFLYLOLDQPRYHPHQWVDORQJURXWHV
z &RPPXQLFDWLRQVDUFKLWHFWXUH

,QWHJUDWLRQ
 :KHQDGHSOR\LQJXQLWUHSODFHVDQRWKHUXQLWDUHOLHILQSODFHPXVWRFFXUGXULQJLQWHJUDWLRQ&RPPDQG
RIFRPEDWUHDG\XQLWVLVWUDQVIHUUHGWRWKHRSHUDWLRQDOFRPPDQGHU,QWHJUDWLRQLVFRPSOHWHZKHQWKH*&&
RWKHU-)&RUODQGFRPSRQHQWFRPPDQGHU /&& HVWDEOLVKHVSRVLWLYHFRQWURORYHUDUULYLQJXQLWV7KLVXVXDOO\
RFFXUVLQIRUZDUGDVVHPEO\DUHDVZKHQWKRVHXQLWVDUHFDSDEOHRISHUIRUPLQJDVVLJQHGPLVVLRQV
 ,IWKHGHSOR\LQJGLYLVLRQRUEULJDGHLVWKHILUVW86IRUFHLQWRDQ$2WKHUHPD\EHDQHHGWRGHSOR\
DQDGYDQFHSDUW\ZHLJKWHGZLWKVHFXULW\SURWHFWLRQORJLVWLFDQGHQJLQHHULQJVXSSRUWFDSDELOLWLHV$VSDUW
RIWKHXQLWPRYHPHQWSUHSDUDWLRQVWKHDGYDQFHSDUW\LVUHVRXUFHGIURPWKHGLYLVLRQEULJDGHRUDWWDFKHG
DVVHWVRULWLVSURYLGHGE\RXWVLGHXQLWV7KLVLVSDUWLFXODUO\WUXHLIWKHSUHGHSOR\PHQWVXUYH\GHWHUPLQHVWKDW
WKH$2GRHVQRWKDYHWKHLQIUDVWUXFWXUHWRVXSSRUWGLYLVLRQRUEULJDGHRSHUDWLRQV,QRWKHUFLUFXPVWDQFHVLW
LV QHFHVVDU\ IRU WKH DVVLVWDQW GLYLVLRQ FRPPDQGHU RU GHSXW\ EULJDGH FRPPDQGHU DQG D VPDOO JURXS RI
VSHFLDOL]HGNH\SHUVRQQHOWROHDGWKLVDGYDQFHSDUW\7KHVHSHUVRQQHOZLOOVHWWKHJURXQGZRUNIRUWKHUHVWRI
WKHGLYLVLRQRUEULJDGHE\SHUIRUPLQJIDFHWRIDFHFRRUGLQDWLRQZLWKORFDOFLYLOLDQRUPLOLWDU\OHDGHUV
 8QLWGHSOR\PHQWRSHUDWLRQVHQGZKHQDOOGHSOR\LQJHOHPHQWVFRPSOHWHWKHLU562,ZLWKLQWKHDVVLJQHG
-2$ 7KH VSHFLILFV RI 562, UHIOHFW WKH VSHFLILF FLUFXPVWDQFHV RI WKH RSHUDWLRQDO DQG PLVVLRQ YDULDEOHV
SUHYDLOLQJLQWKDW-2$ 6HH-3IRUDQRXWOLQHRIMRLQW562,GRFWULQDOUHTXLUHPHQWV 

$50<)25&(6'85,1*23(5$7,2167235(9(17
 7KH$UP\SURYLGHVWKH*&&ZLWKWUDLQHGDQGUHDG\IRUFHVWRDVVLVWZLWKSUHYHQWLQJFRQIOLFWDQGWR
VHL]HWKHLQLWLDWLYHLQFRPEDWLIUHTXLUHG7KLVVHFWLRQDGGUHVVHVWKHDFWLYLWLHVDQGIXQFWLRQVRIWKHWKHDWHU
DUP\FRUSVGLYLVLRQVDQG%&7VGXULQJRSHUDWLRQVWRSUHYHQW

7+($7(5$50<
>,@WLVDQXQIRUWXQDWHIDFWWKDWZHFDQVHFXUHSHDFHRQO\E\SUHSDULQJIRUZDU
3UHVLGHQW-RKQ)LW]JHUDOG.HQQHG\

4-14 FM 3-0 6 October 2017


2SHUDWLRQVWR3UHYHQW

 7KHWKHDWHUDUP\HQDEOHVWKH*&&WRHPSOR\ODQGIRUFHVZLWKLQWKH$25DQGLQWRVSHFLILFRSHUDWLRQDO
DUHDV7KHWKHDWHUDUP\FRPPDQGVDOO$UP\IRUFHVLQWKH$25XQWLOWKH*&&DWWDFKHVVHOHFWHG$UP\IRUFHV
WRDMRLQWKHDGTXDUWHUV:KHQWKDWKDSSHQVWKHWKHDWHUDUP\GLYLGHVLWVUHVSRQVLELOLWLHVEHWZHHQWKH$UP\
FRPSRQHQW WKH$5)25 LQWKH-2$RUWKHDWHURIRSHUDWLRQVDQG$UP\IRUFHVRSHUDWLQJLQRWKHUSDUWVRIWKH
$25 7KH WKHDWHU DUP\ LV RUJDQL]HG VWDIIHG DQG HTXLSSHG WR EH WKH $6&& IRU WKH *&& ,W KDV OLPLWHG
FDSDELOLWLHVWRSHUIRUPWZRRWKHUUROHVDVD-7)KHDGTXDUWHUVRUDMRLQWIRUFHODQGFRPSRQHQWKHDGTXDUWHUV
IRU OLPLWHG FRQWLQJHQF\ RSHUDWLRQV 7DEOH  RQ SDJH  VXPPDUL]HV VRPH RI WKH WKHDWHU DUP\
UHVSRQVLELOLWLHV
 $V WKH $6&& WR WKH *&& WKH WKHDWHU DUP\ FRPPDQGHU UHPDLQV UHVSRQVLEOH WR +HDGTXDUWHUV
'HSDUWPHQWRIWKH$UP\IRUVHUYLFH VSHFLILFUHTXLUHPHQWVZLWKLQWKH$257KLVIDOOVXQGHU WKH$'&21
FKDLQ RI DXWKRULW\ 7KLV DXWKRULW\ HVWDEOLVKHV D KLHUDUFK\ IRU $UP\ VXSSRUW WR GHSOR\HG IRUFHV ZLWKRXW
PRGLI\LQJWKHRSHUDWLRQDOFKDLQRIFRPPDQGWKDWUXQVIURPWKHFRPEDWDQWFRPPDQGHUWKURXJKVXERUGLQDWH
-)&V)RUH[DPSOHWKHDWHUDUP\FRPPDQGHUVPD\²
z (VWDEOLVKFHQWHUVLQWKH$25WRWUDLQLQGLYLGXDOUHSODFHPHQWV
z &RPSOHWHFROOHFWLYHWUDLQLQJWKHDWHURULHQWDWLRQDQGWKHDWHUDFFOLPDWLRQ
z 0DQDJHIRUFHPRGHUQL]DWLRQRI$UP\IRUFHVEHIRUHWKHLUHPSOR\PHQWE\WKH-)&LQWKH-2$

 ,QDOOMRLQWRSHUDWLRQVVXVWDLQPHQWLVD6HUYLFHUHVSRQVLELOLW\H[FHSWDVVSHFLILHGE\'2'FRPEDWDQW
FRPPDQG VXSSRUW DJHQW GLUHFWLYHV FRPEDWDQW FRPPDQGHUV¶ OHDG 6HUYLFH GHVLJQDWLRQV RU LQWHU6HUYLFH
VXSSRUW DJUHHPHQWV &RPEDWDQW FRPPDQGHUV GLUHFW WKHDWHU DUP\ FRPPDQGHUV WR SURYLGH FRPPRQXVHU
ORJLVWLFV DQG $626 DJHQFLHV RU PXOWLQDWLRQDO IRUFHV DV UHTXLUHG +RZHYHU VKDUHG VXVWDLQPHQW
UHVSRQVLELOLW\RUFRPPRQXVHUORJLVWLFVLVPRUHHIIHFWLYHHVSHFLDOO\IRUMRLQWRSHUDWLRQV'LUHFWLYHDXWKRULW\
IRUORJLVWLFVLVWKHDGGLWLRQDODXWKRULW\XVHGE\FRPEDWDQWFRPPDQGHUVWRHOLPLQDWHGXSOLFDWHGRURYHUODSSHG
VXVWDLQPHQWUHVSRQVLELOLWLHV7KHWKHDWHUDUP\FRRUGLQDWHVZLWKWKHFRPEDWDQWFRPPDQGVWDIIWRGHWHUPLQH
MRLQW VXVWDLQPHQW UHTXLUHPHQWV LGHQWLI\ UHVSRQVLELOLWLHV DQG HQDEOH FRPPDQGHUV WR H[HUFLVH PLVVLRQ
FRPPDQGIRUVXVWDLQPHQW 6HH$'53IRUPRUHLQIRUPDWLRQRQVXVWDLQPHQW 

7KHDWHU$UP\&RQWULEXWLRQVWR-RLQW&RPPDQGDQG&RQWURO
 'XULQJ RSHUDWLRQV WR SUHYHQW WKH WKHDWHU DUP\ FRQWULEXWLRQV WR MRLQW & LQFOXGH HVWDEOLVKLQJ
PDLQWDLQLQJ DQG GHIHQGLQJ WKH FRPPXQLFDWLRQV QHWZRUN DUFKLWHFWXUH WR VXSSRUW $UP\ DQG MRLQW IRUFHV
RSHUDWLQJ ZLWKLQ WKH -2$ RU WKHDWHU RI RSHUDWLRQV $UP\ IRUFHV H[HFXWH WKHVH UHVSRQVLELOLWLHV SULPDULO\
WKURXJKWKHVLJQDOFRPPDQG WKHDWHU DVVLJQHGWRVXSSRUWWKH$25
 7KHDWHUFRPPXQLFDWLRQVLQFOXGH'2',1RSHUDWLRQVDQGVDWHOOLWHFRPPXQLFDWLRQV'2',1RSHUDWLRQV
SURYLGHQHWZRUNDQGLQIRUPDWLRQV\VWHPDYDLODELOLW\LQIRUPDWLRQSURWHFWLRQDQGLQIRUPDWLRQGHOLYHU\DFURVV
VWUDWHJLF RSHUDWLRQDO DQG WDFWLFDO ERXQGDULHV $UP\ VSDFH RSHUDWLRQV IRFXV RQ GHIHQVLYH VSDFH FRQWURO
DFWLYLWLHVWRSURWHFWVSDFHEDVHGPLVVLRQFRPPDQGFDSDELOLWLHV
 $WWKHMRLQWOHYHOF\EHUVSDFHRSHUDWLRQVDUHRSHUDWLRQDOPLVVLRQVDFFRPSOLVKHGE\WKHFRPPDQGHU
86&<%(5&20 7KH 86&<%(5&20 FRPPDQGHU SURYLGHV WKH FRPPDQG DQG FRQWURO DQG VLWXDWLRQDO
DZDUHQHVV UHTXLUHG WR RSHUDWH DQG GHIHQG WKH '2',1 $5&<%(5 DV WKH $6&& IRU 86&<%(5&20
H[WHQGV WKH FRPPDQG DQG FRQWURO RI WKH QHWZRUN WKURXJK LWV RSHUDWLRQDO FRQWURO UHODWLRQVKLS ZLWK HDFK
UHJLRQDOF\EHUFHQWHUDQGWKURXJKWKH$UP\RUGHUVSURFHVVWRHDFKRIWKHVLJQDOFRPPDQGV WKHDWHU 

6 October 2017 FM 3-0 4-15


Chapter 4

7DEOH7KHDWHUDUP\UHVSRQVLELOLWLHV
Theater army responsibilities include—
([HFXWLQJFRPEDWDQW 6HWWLQJWKHWKHDWHU 6HWWLQJWKHMRLQWRSHUDWLRQVDUHD 6HUYLQJDVWKHFRUH
FRPPDQGHU’VGDLO\ E\— E\— RID-7)RUODQG
RSHUDWLRQDO FRPSRQHQW
UHTXLUHPHQWVE\— FRPPDQGIRU
LPPHGLDWHFULVLV
UHVSRQVHDQG
OLPLWHGFRQWLQJHQF\
RSHUDWLRQVE\—
x 0DLQWDLQLQJ$'&21 x (VWDEOLVKLQJ x 3URYLGLQJFKHPLFDOELRORJLFDO x &RQGXFWLQJ
RI$UP\IRUFHV IDYRUDEOH UDGLRORJLFDODQGQXFOHDU IRUHLJQ
x ([HFXWLQJ$UP\ FRQGLWLRQV VXSSRUW KXPDQLWDULDQ
H[HFXWLYHDJHQW WKURXJK x 3URYLGLQJWKHDWHUVSHFLILF DVVLVWDQFH
IXQFWLRQV H[HUFLVHVDQG WUDLQLQJ x &RQGXFWLQJ
VXSSRUW GLVDVWHUUHOLHI
x 3HUIRUPLQJ x &RQGXFWLQJIRUFH
FRPPRQXVHU x 6XSSRUWLQJWKH PRGHUQL]DWLRQ x 3URYLGLQJ
ORJLVWLFVIXQFWLRQV IRUPDWLRQRI LPPHGLDWHFULVLV
ELODWHUDORU x &RQGXFWLQJVXVWDLQPHQWWR
x 3URYLGLQJWKHDWHU LQFOXGHSURYLGLQJ— UHVSRQVH
PXOWLODWHUDO
VHFXULW\ GLSORPDWLF ƒ 7KHDWHURSHQLQJ x 5HSOLFDWLQJFRUSV
FRRSHUDWLRQ DJUHHPHQWV RUGLYLVLRQ
ƒ 3RUWRUWHUPLQDO KHDGTXDUWHUVIRU
x $VVHVVLQJDQG x (VWDEOLVKLQJ RSHUDWLRQV
GHYHORSLQJ PDMRUH[HUFLVHV
DUHDRI ƒ 5HFHSWLRQVWDJLQJ
LQIUDVWUXFWXUH UHVSRQVLELOLW\ x 7UDQVLWLRQLQJWR
RQZDUGPRYHPHQWDQG IROORZRQPLVVLRQ
x 'HYHORSLQJD WUDQVLWULJKWV LQWHJUDWLRQ
FRQFHSWSODQDQG FRPPDQG
ƒ 7KHDWHULQWHJUDWLRQ KHDGTXDUWHUV
FRQWLQJHQF\RU
RSHUDWLRQSODQ ƒ 0HGLFDORSHUDWLRQV
x 3URYLGLQJUHJLRQDO ƒ $UP\VXSSRUWWRRWKHU
LQWHOOLJHQFH 6HUYLFHV
FROOHFWLRQDQG ƒ &RPPRQXVHUORJLVWLFV
DQDO\VLV
x 3URYLGLQJ
FRPPXQLFDWLRQV
DUFKLWHFWXUH
x 3URYLGLQJODQG
EDVHGWKHDWHUDLU
DQGPLVVLOHGHIHQVH
x &RQGXFWLQJ
GHWHQWLRQ
RSHUDWLRQV
x &RQGXFWLQJ
GLVORFDWHGFLYLOLDQ
RSHUDWLRQV
x 3URGXFLQJWDUJHW
PDWHULDOV
x 'HYHORSLQJWDUJHWV
$'&21DGPLQLVWUDWLYHFRQWURO -7)MRLQWWDVNIRUFH
$6&&$UP\6HUYLFHFRPSRQHQWFRPPDQG

7KHDWHU$UP\&RQWULEXWLRQVWR0HGLFDO6XSSRUW
 7KHPHGLFDOFRPPDQG GHSOR\PHQWVXSSRUW  0('&20>'6@ SURYLGHVKHDOWKVHUYLFH VXSSRUWIRU
WKHGHSOR\HGMRLQWIRUFHRQDQDUHDEDVLV$UP\PHGLFDOXQLWVIRUPWKHEDFNERQHRIWKHMRLQWPHGLFDOVXSSRUW
DQGHYDFXDWLRQV\VWHP7KLVV\VWHPSURYLGHVDGYDQFHGPHGLFDOFDUHWRDOOGHSOR\HGMRLQWIRUFHVLQWHUDJHQF\
SHUVRQQHODQGPXOWLQDWLRQDOIRUFHVVSHFLILHGE\WKH*&&7KH0('&20 '6 RYHUVHHVWKHDWHUZLGHKHDOWK

4-16 FM 3-0 6 October 2017


2SHUDWLRQVWR3UHYHQW

VHUYLFHVXSSRUWDQGH[HUFLVHVRSHUDWLRQDOFRQWURORIFHUWDLQPHGLFDOXQLWVWKURXJKLWVRSHUDWLRQDOFRPPDQG
SRVW 7KH RSHUDWLRQDO FRPPDQG SRVW FRQWUROV RQH RU PRUH PHGLFDO EULJDGHV ZKLFK LQ WXUQ FRQWURO
PXOWLIXQFWLRQDOPHGLFDOEDWWDOLRQV7KHGLVWULEXWLRQDQGFDSDELOLW\RIPHGLFDOXQLWVGHSHQGVXSRQWKHGHQVLW\
RI 86 IRUFHV DYDLODEOH LQIUDVWUXFWXUH DQG HYDFXDWLRQ FDSDELOLWLHV 7KH 0('&20 '6  PD\ SODFH D
WDVNRUJDQL]HGPHGLFDOXQLWLQGLUHFWVXSSRUWRIDQ$UP\GLYLVLRQLQDQWLFLSDWLRQRIFRPEDWRSHUDWLRQV
 7KH0('&20 '6 V\QFKURQL]HVDOO$UP\+HDOWK6\VWHPRSHUDWLRQVDQGSURYLGHVPLVVLRQFRPPDQG
RI PHGLFDO EULJDGHV VXSSRUW  PXOWLIXQFWLRQDO PHGLFDO EDWWDOLRQV DQG RWKHU $UP\ +HDOWK 6\VWHP XQLWV
SURYLGLQJIRUFHKHDOWKSURWHFWLRQDQGKHDOWKVHUYLFHVXSSRUWWRWDFWLFDOFRPPDQGHUV7KH0('&20 '6 LV
FRPSRVHGRIDQRSHUDWLRQDOFRPPDQGSRVWDQGDPDLQFRPPDQGSRVWWKDWFDQGHSOR\DXWRQRPRXVO\LQWRDQ
$20('&20 '6 ²
z 7DVNRUJDQL]HVPHGLFDOHOHPHQWVEDVHGRQVSHFLILFPHGLFDOUHTXLUHPHQWV
z 0RQLWRUVWKUHDWVZLWKLQHDFK$2DQGHQVXUHVUHTXLUHGPHGLFDOFDSDELOLWLHVWRPLWLJDWHWKHVHKHDOWK
WKUHDWVDUHDYDLODEOH
z 0DLQWDLQVVLWXDWLRQDODZDUHQHVVRIPHGLFDOLQIUDVWUXFWXUHWUHDWPHQWDQGHYDFXDWLRQFDSDELOLWLHV
z $FFRPSOLVKHV 7LWOH  8QLWHG 6WDWHV &RGH 86&  UHVSRQVLELOLWLHV DQG $UP\ VXSSRUW WR RWKHU
6HUYLFHVIRUWKH$2
z 3DUWQHUVDQGWUDLQVZLWKKRVWQDWLRQDQGPXOWLQDWLRQDOKHDOWKV\VWHPXQLWV
z (VWDEOLVKHV D FRPPDQG UHODWLRQVKLS ZLWK WKH WKHDWHU DUP\ DQG WKH *&& OLQNLQJ WKH WKHDWHU
VXVWDLQPHQWFRPPDQGWRWKHPHGLFDOORJLVWLFVPDQDJHPHQWFHQWHUIRUFRRUGLQDWLRQDQGSODQQLQJ

7KHDWHU$UP\&RQWULEXWLRQVWR3URWHFWLRQ
 7KHDWHUDUP\VWDIIVKDYHWKHUHVSRQVLELOLW\WRSODQDQGRYHUVHHSURWHFWLRQUHTXLUHPHQWV7KH8QLILHG
&RPPDQG 3ODQ GLUHFWV IRUFH SURWHFWLRQ UHVSRQVLELOLW\ IRU DOO 7LWOH  86& '2' IRUFHV VWDWLRQHG LQ
RSHUDWLQJLQUHVLGLQJLQRUWUDQVLWLQJDQ$25WRWKH*&&,QVXSSRUWRIWKH*&&WKLVUHVSRQVLELOLW\IDOOVRQ
WKHWKHDWHUDUP\FRPPDQGHUIRUDOO7LWOH86&$UP\IRUFHVLQWKH$257KHWDVNVRIWKHWKHDWHUDUP\
LQFOXGHWKHH[HUFLVHRIWDFWLFDOFRQWURORYHU7LWOH86&$UP\IRUFHVVWDWLRQHGLQRSHUDWLQJLQUHVLGLQJLQ
RUWUDQVLWLQJWKH$25
 7KH WKHDWHU UHTXLUHPHQWV IRU $0' IRU H[DPSOH RIWHQ H[FHHG WKH DYDLODEOH FDSDELOLWLHV 0LVVLRQ
UHTXLUHPHQWVLQIRUPHGE\VXVWDLQPHQWFRQVLGHUDWLRQVKHOSGHWHUPLQHWKHDOORFDWLRQRI$0'UHVRXUFHV7KH
WKHDWHUDUP\VWDIIFRRUGLQDWHVZLWKWKH*&&DQGLVVXSSRUWHGE\WKH*&&¶VDOLJQHG$0'FRPPDQG7KH
VWDIIHVWLPDWHVWKHSURWHFWLRQDVVHWVQHFHVVDU\IRUERWKWKHFDPSDLJQDQGDQLQFUHDVHGWKUHDWDFURVVWKH$25
LQDFFRUGDQFHZLWKWKHFRPPDQGHU¶VSULRULWLHVIRUFHVDYDLODEOHDQGWKHDGYHUVDU\¶VSHUFHLYHGLQWHQW
 7KH WKHDWHU DUP\ VWDII DOVR UHTXHVWV IRUFHV WR PHHW WKH *&&¶V SULRULWLHV7KLV SODQQLQJ QHFHVVDULO\
LQYROYHVFRRUGLQDWLRQZLWKPXOWLSOHKRVWQDWLRQPLOLWDULHVDQGWKH'HSDUWPHQWRI6WDWH,IWKH$'&21RI
WKHVH GLVWULEXWHG WDVN IRUFHV H[FHHGV LW RUJDQLF FDSDFLW\ WKH WKHDWHU DUP\ PD\ UHTXHVW DGGLWLRQDO VWDII WR
VXSSRUWLWV$'&21UHTXLUHPHQWV
 ,I WKH -)& HVWDEOLVKHV D MRLQW VHFXULW\ DUHD ZLWKLQ WKH -2$ WKH $5)25 QRUPDOO\ GHWHUPLQHV LWV
VWUXFWXUHDQGLWVFRQWUROOLQJKHDGTXDUWHUV7KHRSWLRQVIRUWKHMRLQWVHFXULW\DUHDGHSHQGRQWKHWKUHDWDQGWKH
PLVVLRQYDULDEOHVSDUWLFXODUO\WKHIRUFHVDYDLODEOH,IWKHWKUHDWWRWKHMRLQWVHFXULW\DUHDLVORZWRPRGHUDWH
WKHWKHDWHUDUP\FRPPDQGHUPD\WDLORUWKH $5)25ZLWKDXQLWVSHFLILFDOO\WDVNRUJDQL]HGWRFRQWUROWKH
MRLQWVHFXULW\DUHD,IWKHWKUHDWWRWKHDWHUEDVHVEDVHFDPSVDQGOLQHVRIFRPPXQLFDWLRQVLVXQNQRZQWKH
WKHDWHU DUP\ PD\ WDLORU WKH $5)25 ZLWK DGGLWLRQDO PDQHXYHU XQLWV WR FRQWURO WKDW MRLQW VHFXULW\ DUHD ,I
KRVWLOHFRQGLWLRQVH[LVWWKHWKHDWHUDUP\PD\DVVLJQWKHPLVVLRQWRDQ$UP\GLYLVLRQZLWK%&7VDQGRQHRU
PRUHPDQHXYHUHQKDQFHPHQWEULJDGHV 6HH-3IRUPRUHLQIRUPDWLRQ 
 0LOLWDU\GHFHSWLRQ 0,/'(& LVDNH\DVSHFWRISURWHFWLRQ%\WKHLUYHU\QDWXUH0,/'(&DFWLYLWLHV
VHHNWRKROGDQDGYHUVDU\¶VDWWHQWLRQ&RPPDQGHUVVKRXOGVHHNRSSRUWXQLWLHVIRUIULHQGO\IRUFHVWRGHFHLYH
0RVWDGYHUVDULHVKDYHDFFHVVWRVSDFHEDVHGFDSDELOLWLHVWKDWSURYLGHDWOHDVWOLPLWHGREVHUYDWLRQRIIULHQGO\
IRUFHVDQGWKHFDSDELOLW\WRFUHDWHRUDFFHVVKXPDQLQWHOOLJHQFHQHWZRUNV)ULHQGO\GHFHSWLRQDFWLYLWLHVVKRXOG
DFFRXQWIRUWKUHDWFROOHFWLRQFDSDELOLWLHV

6 October 2017 FM 3-0 4-17


Chapter 4

5LVN0DQDJHPHQW
,WLVGLVFLSOLQHWKDWPDNHVRQHIHHOVDIHZKLOHODFNRIGLVFLSOLQHKDVGHVWUR\HGPDQ\SHRSOH
EHIRUHQRZ
;HQRSKRQ

 %RWK LQ SODQQLQJ DQG GXULQJ H[HFXWLRQ RI RSHUDWLRQV WR SUHYHQW WKH WKHDWHU DUP\ DQG VXERUGLQDWH
KHDGTXDUWHUVFRQVLGHUULVNVWRWKHIRUFHULVNVWRPLVVLRQDQGULVNVRIHVFDODWLRQ/HDGHUVPXVWEHFRPIRUWDEOH
LQDVVXPLQJDQGGHOHJDWLQJULVNDQGDVVRFLDWHGULVNPLWLJDWLRQPHDVXUHV
 5LVNV WR WKH IRUFH GHVFULEH SURWHFWLRQ WDVNV DUWLFXODWHG LQ SDUDJUDSKV  WKURXJK  DQG VRPH
DGGLWLRQDOFRQVLGHUDWLRQVLQFOXGLQJ²
z 6XVWDLQPHQWRSHUDWLRQVLQFOXGLQJFRQYR\VUDLOPRYHPHQWVDQGLQWUDWKHDWHUOLIW
z 'LVSHUVLRQDQGTXDOLW\RIXQLWORFDWLRQV
z $HULDODQGJURXQGPHGLFDOHYDFXDWLRQFDSDELOLWLHV
z /LQHVRIFRPPXQLFDWLRQVVHFXULW\
z 6XUYLYDELOLW\RSHUDWLRQV
z 'LVWULEXWLRQRSHUDWLRQV
z &RPPXQLFDWLRQV
z 0DLQWHQDQFHFDSDELOLWLHVDQGIXQFWLRQLQJ
z 0HGLFDOIDFLOLWLHVRSHUDWLRQDOFDSDFLW\
z )XHODYDLODEOH
z 2&6

 8QLWVDVVLJQHGPLVVLRQVGXULQJRSHUDWLRQVWRSUHYHQWJHQHUDOO\KDYHEUDQFKSODQVWKDWGHVFULEHKRZ
WKH\FDQUHVSRQGVKRXOGDVLWXDWLRQHVFDODWH7KRVHSODQVGHVFULEHFRQGLWLRQVWKDWDUHFUHDWHGRUPDLQWDLQHG
WR UHGXFH WKH ULVN WR WKH RYHUDOO PLVVLRQ RI WKH IRUFH 7KH VHTXHQFLQJ RI IRUFHV LQWR WKHDWHU DQG WKHLU
VXEVHTXHQW$2VFRQVLGHUVULVNVWRWKHPLVVLRQ
 6XFFHVVIXORSHUDWLRQVWRSUHYHQWHQVXUHWKDWWHQVLRQVDQGFRQGLWLRQVGRQRWHVFDODWHIXUWKHU7KHYHU\
QDWXUH RI WKHVH RSHUDWLRQV LPSOLHV WKDW WKH IRUFHV DVVLJQHG WR WKLV WDVN KDYH WKH FDSDFLW\ WR FRQFOXGH WKH
VLWXDWLRQ ZLWK IRUFH :KLOH WKLV LV D SRZHUIXO PHVVDJH WR DQ DGYHUVDU\ WKHUH LV DOZD\V WKH SRWHQWLDO IRU
PLVLQWHUSUHWDWLRQRIIULHQGO\DFWLRQVDQGWKRVHPLVLQWHUSUHWDWLRQVOHDGLQJWRODUJHVFDOHFRPEDWRSHUDWLRQV
7RUHGXFHWKHULVNRIHVFDODWLRQWKHWKHDWHUDUP\FRQVLGHUVWKHLQLWLDOUXOHVRIHQJDJHPHQWIRUFHSRVLWLRQLQJ
DQGSRVWXUHZHDSRQFRQWUROVWDWXVDQGRSHUDWLQJSDUDPHWHUV IRUH[DPSOHOLPLWVRIDGYDQFHDQG$2V  6HH
DSSHQGL[%IRUDGGLWLRQDOULVNFRQVLGHUDWLRQV 

(QDEOH/DQG)RUFHV
 7KHDWHU$UP\VWDIIVIDFHPDQ\FKDOOHQJHVLQVXSSRUWLQJWKHFDPSDLJQSODQ$VLJQLILFDQWFKDOOHQJHLV
OLQNLQJ RSHUDWLRQV SODQQLQJ DQG RXWFRPHV WR ORJLVWLFV UHVRXUFHV DQG FDSDFLW\ &RQYHQWLRQDO IRUFHV XQLWV
VPDOOHUWKDQDEULJDGH FRQGXFWLQJVHFXULW\FRRSHUDWLRQWDVNVLQDXVWHUHHQYLURQPHQWVRUWKHVWDIIVSODQQLQJ
WKHLU GHSOR\PHQW PD\ QRW KDYH VLJQLILFDQW H[LVWLQJ LQIUDVWUXFWXUH LQ PDQ\ $2V )RUFHV PD\ RSHUDWH LQ
LPPDWXUH$2VDQGRSHUDWHZLWKRXWRUJDQLFPHGLFDOHYDFXDWLRQVXSSRUW
 7KHDWHUVSHFLDORSHUDWLRQVIRUFHV 62) DFWLYLWLHV1DWLRQDO*XDUG6WDWH3DUWQHUVKLS3URJUDPDFWLYLWLHV
VHFXULW\DVVLVWDQFHPLVVLRQVDQGMRLQWH[HUFLVHVWDNHSODFHVLPXOWDQHRXVO\LQPRVWWKHDWHUVDWDQ\JLYHQWLPH
7KHDWHU DUP\ VWDIIV FRRUGLQDWH '2' DFWLRQV WR VXSSRUW WKH FKLHI RI PLVVLRQ DQG WKH LQWHJUDWHG FRXQWU\
VWUDWHJ\
 &RQFXUUHQWO\ ZLWK -7) DFWLRQV LQWHQGHG WR FRQIURQW DQG GHWHU DQ DGYHUVDU\ WKH WKHDWHU DUP\
FRPPDQGHUVHWVWKHWKHDWHUWRHQDEOHODQGIRUFHVWRH[HUWWKHLUIXOOFDSDELOLWLHV7KLVLQFOXGHVH[WHQGLQJWKH
H[LVWLQJLQIUDVWUXFWXUHWRDFFHSWWKHODQGFRPSRQHQWDQGLWVVXSSRUWLQJXQLWVQHJRWLDWLRQVIRUXVHRIODQGDQG
WKH HOHFWURPDJQHWLF VSHFWUXP (06  DLUVSDFH FRRUGLQDWLRQ DQG FRQWUDFWHG VXSSRUW DUUDQJHPHQWV ,W DOVR
LQFOXGHVFRRUGLQDWLQJIRU(06PDSSLQJRIDGYHUVDULHVWRIDFLOLWDWHRIIHQVLYHF\EHUVSDFHRSHUDWLRQV 2&2 
ZKLFKLVWLPHFRQVXPLQJDQGUHVRXUFHLQWHQVLYH7KHUHPD\QRWEHWLPHGXULQJDFULVLVWRJHQHUDWHGHVLUHG
HIIHFWVZLWKRXWSULRUSUHSDUDWLRQ

4-18 FM 3-0 6 October 2017


2SHUDWLRQVWR3UHYHQW

&RQWLQJHQF\&RPPDQG3RVW
 'XULQJRSHUDWLRQVWRSUHYHQWWKHWKHDWHUDUP\FDQSURYLGHWKH*&&ZLWKDGHSOR\DEOHFRPPDQGSRVW
&3 IRUFRQWLQJHQFLHVWKDWGHYHORSLQWKH$257KH*&&PD\XVHWKHWKHDWHUDUP\FRQWLQJHQF\&3DVWKH
QXFOHXVRIDVPDOO-7)KHDGTXDUWHUV7KHFRQWLQJHQF\&3UHFHLYHVDGGLWLRQDOSHUVRQQHOEDVHGXSRQDMRLQW
PDQQLQJGRFXPHQWRULQGLYLGXDODXJPHQWDWLRQUHTXHVWVIRU$UP\DQGRWKHU6HUYLFHSHUVRQQHOWRDFFRPSOLVK
WKHPLVVLRQ7KHFRQWLQJHQF\&3LVDYLDEOHRSWLRQIRUVKRUWQRWLFHDQGOLPLWHGGXUDWLRQRSHUDWLRQVEHFDXVH
RILWVHVWDEOLVKHGLQWHUQDOVWDIIZRUNLQJUHODWLRQVKLSDQGH[SHULHQFHEDVHLQWKH$27KLVVHOHFWLRQFDSLWDOL]HV
RQWKHFRQWLQJHQF\&3¶VIOH[LELOLW\DQGUDSLGGHSOR\PHQW
 ,IDOLPLWHGFRQWLQJHQF\RSHUDWLRQLVUHTXLUHGVLPXOWDQHRXVO\ZLWKODUJHVFDOHFRPEDWRSHUDWLRQVWKH
FRQWLQJHQF\&3PD\GHSOR\DVWKH$UP\KHDGTXDUWHUVUHVSRQVLEOHIRUH[HUFLVLQJPLVVLRQFRPPDQGRYHUWKDW
RSHUDWLRQ +RZHYHU WKH FRQWLQJHQF\ &3 VKRXOG UHGHSOR\ DV VRRQ DV DQRWKHU $UP\ KHDGTXDUWHUV LV
RSHUDWLRQDO

/DQG&RPSRQHQW+HDGTXDUWHUVLQ/DUJH6FDOH&RPEDW2SHUDWLRQV
 ,QH[WUHPHFLUFXPVWDQFHVWKHWKHDWHUDUP\PD\VWDUWWUDQVLWLRQLQJWRDODQGFRPSRQHQWFRPPDQGIRU
ODUJHVFDOHFRPEDWRSHUDWLRQV7KLVFRXOGUHTXLUHDWKHDWHUDUP\KHDGTXDUWHUVWRH[SDQGDQGWUDQVIRUPLQWR
D MRLQW IRUFH ODQG FRPSRQHQW KHDGTXDUWHUV IRU WKH *&& WR H[HUFLVH FRPPDQG RYHU PXOWLSOH $UP\ XQLWV
PXOWLQDWLRQDOFRUSVRU0DULQHH[SHGLWLRQDU\IRUFHV7RDVVXPHWKLVUROHWKHWKHDWHUDUP\UHTXLUHVH[WHQVLYH
DXJPHQWDWLRQDQGWLPHWRDVVLPLODWHSHUVRQQHOLQWHJUDWHDGGLWLRQDOUHVSRQVLELOLWLHVDQGWUDLQIRUODUJHVFDOH
FRPEDWRSHUDWLRQV,IGHVLJQDWHGDVDMRLQWRUPXOWLQDWLRQDO/&&KHDGTXDUWHUVWKH$UP\KHDGTXDUWHUVIROORZV
WKHMRLQWGRFWULQHFRQWDLQHGLQ-3DQG-3

7+(&2536
 'XULQJRSHUDWLRQVWRSUHYHQWWKHFRUSVKHDGTXDUWHUVPD\GHSOR\LQWRDQRSHUDWLRQDODUHDDVDWDFWLFDO
KHDGTXDUWHUVZLWKVXERUGLQDWHGLYLVLRQVDQGEULJDGHVDVDVKRZRIIRUFH&RUSVPD\GHSOR\DQHDUO\HQWU\
&3FRPSULVHGRIVHOHFWHGSHUVRQQHOIURPZLWKLQWKHKHDGTXDUWHUVWRSURYLGHFRPPDQGRYHUDUULYLQJIRUFHV
,QWKHHYHQWFRQIOLFWHVFDODWHVODUJHVFDOHFRPEDWRSHUDWLRQVPD\UHTXLUHWKHFRUSVKHDGTXDUWHUVWRIXQFWLRQ
XQGHU WKH FRPPDQG RI D PXOWLQDWLRQDO IRUFH ODQG FRPSRQHQW RU VXERUGLQDWH WR D ILHOG DUP\ HTXLYDOHQW
HVWDEOLVKHGDVSDUWRIDFRDOLWLRQ

3/$11,1*
 $W KRPHVWDWLRQ WKH FRUSV KHDGTXDUWHUV EHJLQV SODQQLQJ IRU DOO SKDVHV RI DQ RSHUDWLRQ IURP
PRELOL]DWLRQ WR UHGHSOR\PHQW 7KH H[WHQGHG EDWWOHILHOG UHTXLUHV SODQQHUV WR FRQVLGHU IXQFWLRQV DQG
FDSDELOLWLHVUHTXLUHGWRJDLQDQGPDLQWDLQSRVLWLRQVRIUHODWLYHDGYDQWDJH,WLVLPSRUWDQWWRXQGHUVWDQGWKH
SODQQLQJWRH[HFXWLRQWLPHOLQHVRIFHUWDLQIXQFWLRQVZKHQFRQVLGHULQJLQWHJUDWLQJWKRVHFDSDELOLWLHVLQWRWKH
RYHUDOOSODQ7KHFRUSVKHDGTXDUWHUVVKRXOGKDYHHQRXJKLQIRUPDWLRQWR²
z ,GHQWLI\DVVHPEO\DUHDV
z $VVLJQVXERUGLQDWHXQLWVDUHDVRIRSHUDWLRQV
z ,GHQWLI\PXOWLSOHURXWHVIURPWKHSRLQWVRIGHEDUNDWLRQWKURXJKDVVHPEO\DUHDVWRVWDJLQJDUHDV
z ,GHQWLI\OLQHVRIFRPPXQLFDWLRQV
z (VWDEOLVKDSURSRVHGRSHUDWLRQDOIUDPHZRUN
z 3ODQIRUFRQVROLGDWLRQRIJDLQV
z &RRUGLQDWH IRU HOHFWURQLF DWWDFN PLWLJDWLRQ LQFOXGLQJ F\EHUVSDFH GLVWULEXWHG GHQLDO RI VHUYLFH
PDOLFLRXVVRIWZDUHRUV\VWHPLQWUXVLRQZKLFKPD\GDPDJHRUDOWHULQIRUPDWLRQLQWKHV\VWHP
 5DSLGIRUFHSURMHFWLRQHVWDEOLVKHVDFUHGLEOHFRPEDWUHDG\IRUFHRQWKHJURXQGEHIRUHWKHH[LVWLQJ
VLWXDWLRQZRUVHQV,QPRVWSODFHVDURXQGWKHZRUOGDGYHUVDULHVDUHJHRJUDSKLFDOO\FORVHUWROLNHO\WURXEOH
VSRWVWKDQ86$UP\XQLWVDUH&UHGLEOHGHWHUUHQFHUHTXLUHVWKDW$UP\IRUFHVEHUHDG\WRGHSOR\DQGEH
FRPEDWUHDG\ZKHQWKH\DUULYH
 7KHVLWXDWLRQPD\UHTXLUHWKHFRUSVKHDGTXDUWHUVWRSODQWRGHSOR\DIRUFHDVVLJQHGDVHFXULW\PLVVLRQ
WKDWDOORZVWKHWLPHDQGVSDFHQHHGHGIRUWKHFRUSVWREXLOGFRPEDWSRZHU$VHFXULW\IRUFHVKRXOGEHFDSDEOH

6 October 2017 FM 3-0 4-19


Chapter 4

RIRSHUDWLQJLQGHSHQGHQWO\IURPWKHFRUSVPDLQERG\$VHFXULW\IRUFHPD\DOVREHUHTXLUHGWRPDQHXYHU
LQWRDSRVLWLRQEHWZHHQDSRWHQWLDOHQHP\DQGWKHVWDJLQJDUHDV7KHUHLVSRWHQWLDOIRUWKHVHFXULW\IRUFHWREH
HQJDJHGSULRUWRWKHFRUSVEXLOGLQJWKHPLQLPDOFRPEDWSRZHUUHTXLUHGWRPRYHLQWRWKH$27KHVHFXULW\
IRUFHPXVWKDYHWKHVXVWDLQPHQWFDSDELOLWLHVDQGFRPEDWSRZHUWRVXVWDLQFRPEDWRSHUDWLRQV 6HH)0
IRUDGGLWLRQDOLQIRUPDWLRQRQWKHUHTXLUHPHQWVIRUVHFXULW\PLVVLRQV 
 &RPPDQGHUVXQGHUVWDQGKRZWKHPL[RIGHSOR\LQJIRUFHV WDLORULQJ DIIHFWWKHLUHPSOR\PHQWRSWLRQV
'XULQJSODQQLQJWKHFRUSVFRPPDQGHUUHFRPPHQGVDPL[RIIRUFHVDQGWKHDUULYDOVHTXHQFHWRWKHWKHDWHU
DUP\FRPPDQGHUWKDWEHVWVXSSRUWVIXWXUHRSHUDWLRQV+RZHYHULIWKHFRUSVDQGWKHDWHUDUP\FRPPDQGHU
IRFXVRQO\RQWKHODQGFRPSRQHQWWRWKHH[FOXVLRQRIFRPSOHPHQWDU\MRLQWFDSDELOLWLHVWKH\PD\QRWDFKLHYH
WKHPRVWHIIHFWLYHIRUFHPL[RUVHTXHQFLQJ
 7KH FRUSV KHDGTXDUWHUV SODQV IRU PXOWLSOH PRYHPHQW URXWHV WR SURYLGH GLYLVLRQ DQG EULJDGH
FRPPDQGHUVWKHIOH[LELOLW\WRGHFRQIOLFWIRUFHVLQWLPHDQGVSDFH8VHRIPXOWLSOHURXWHVUHGXFHVDGYHUVDU\
WDUJHWLQJRIIULHQGO\IRUFHVDQGLWUHGXFHVWKHOLNHOLKRRGRIGLVUXSWLRQDORQJNH\URXWHV
 $V RXWOLQHG LQ ERWK WKH GHSOR\PHQW RUGHU DQG RSHUDWLRQ RUGHU 2325'  WKH FRUSV KHDGTXDUWHUV
SODQVWDVNRUJDQL]DWLRQDQGHPSOR\PHQWRIVXERUGLQDWHXQLWVLQWHJUDWLRQDQGV\QFKURQL]DWLRQRIRSHUDWLRQV
PDVVLQJ RI HIIHFWV DOORFDWLRQ RI UHVRXUFHV DQG GHWHUPLQDWLRQ RI SULRULWLHV 7KH FRUSV VWDII SURYLGHV WKH
SULPDU\$UP\LQWHUIDFHWRPDQDJHWKHWLPHSKDVHGIRUFHDQGGHSOR\PHQWOLVWIRUDOOWKHIRUFHVDVVLJQHGWRLW
LQRSHUDWLRQVWRSUHYHQW7KHFRUSVFDUHIXOO\FRQVLGHUVZKHQWKHFRUSV&3VZLOODUULYHDWDSRUWRIGHEDUNDWLRQ
LQUHODWLRQWRWKHDUULYDORISURWHFWLRQDQGPDQHXYHUIRUFHV7KHFRUSVWDFWLFDO &3LVPRELOHEXWLWKDVQR
RUJDQLFVHFXULW\'HSOR\PHQWRIWKHFRUSVPDLQ&3LVOLIWLQWHQVLYHDQGUHTXLUHVFDUHIXOLQWHJUDWLRQLQWRWKH
GHSOR\PHQWVHTXHQFH
 $FRUSVFRPPDQGHUFDQLQIOXHQFHEXWQRWGLFWDWHWKHWDLORULQJRIWKHFRUSV¶VXERUGLQDWHXQLWV7KH
*&&WKHDWHUDUP\VXSSRUWLQJFRPEDWDQWFRPPDQGV8675$16&20DQG)256&20DOOPDNHGHFLVLRQV
FRQFHUQLQJ WKH FRPSRVLWLRQ DQG GHSOR\PHQW VHTXHQFH RI WKH FRUSV $ FRUSV FRPPDQGHU FDQ KRZHYHU
RUJDQL]H DQGSUHSDUHWKHFRUSV &3V IRUHIILFLHQWDQGHIIHFWLYH PRYHPHQWWKURXJKRXWWKHGHSOR\PHQW %\
VHOHFWLQJSHUVRQQHOZLWKWKHULJKWVNLOOVHWVDQGSURYLGLQJWKHPWKHULJKWPL[RIHTXLSPHQWWKHFRPPDQGHU
FKLHIRIVWDIIDQGDVVLVWDQWFKLHIRIVWDIIRSHUDWLRQV * PDWFKFRUSVFDSDELOLWLHVZLWKWKHUHTXLUHPHQWVDW
KRPHVWDWLRQDQGLQWKH-2$
 $VVLJQLQJLQLWLDOVWDJLQJDUHDVPRYHPHQWURXWHVDQGVXEVHTXHQWDVVHPEO\DUHDVLQXQFHUWDLQWKUHDW
FRQGLWLRQVUHTXLUHVDGHOLFDWHEDODQFHEHWZHHQIRUFHSURWHFWLRQDQGEXLOGLQJFRPEDWSRZHU6WDJLQJDUHDVIRU
VXERUGLQDWH GLYLVLRQ DQG VHSDUDWH EULJDGH HOHPHQWV VKRXOG EH ODUJH HQRXJK IRU WKH GLYLVLRQ DQG VHSDUDWH
EULJDGHVWRGLVSHUVHHOHPHQWVLQWRFRPSDQ\VL]HGWDFWLFDOIRUPDWLRQVZKLOHWKH\DUHSHUIRUPLQJPDLQWHQDQFH
FKHFNVORDGLQJPXQLWLRQVHQVXULQJFUHZUHDGLQHVVDQGSUHSDULQJWRPRYHWRIRUZDUGSRVLWLRQV
 7KHWKHDWHUDUP\LVUHVSRQVLEOHIRUFRRUGLQDWLQJWKH562,RIDUULYLQJ$UP\IRUFHVDQGLWQRUPDOO\
GHOHJDWHVWKLVWRWKH76&7KHH[SHGLWLRQDU\VXVWDLQPHQWFRPPDQG (6& RURWKHUVXVWDLQPHQWKHDGTXDUWHUV
VXSSRUWLQJ WKH FRUSV UHDVVHPEOHV GHSOR\LQJ XQLWV DQG TXLFNO\ PRYHV WKHP LQWR VWDJLQJ DUHDV IURP WKHLU
YDULRXV SRUWV RI GHEDUNDWLRQ 7KH FRUSV KHDGTXDUWHUV PD\ EH DVNHG WR DVVLVW WKH WKHDWHU DUP\ ZLWK
FRRUGLQDWLQJSDUWQHUQDWLRQVXSSRUW
 7KHFRUSVKHDGTXDUWHUVDVVXPHVDFRPPDQGUHODWLRQVKLSRYHUXQLWVDVWKH\FRPSOHWHLQWHJUDWLRQRI
SHUVRQQHO HTXLSPHQW DQG XQLW ORJLVWLFV DQG WKH 76& UHOHDVHV XQLWV IURP WKHLU VWDJLQJ DUHDV IRU RQZDUG
PRYHPHQW DQG LQWHJUDWLRQ (YHQ DV WKH XQLWV FRPSOHWH 562, WKH FRUSV KHDGTXDUWHUV HQVXUHV WKDW XQLW
FRPPDQGHUV DQG NH\ OHDGHUV DUH EULHIHG RQ WKH VLWXDWLRQ DQG WKHLU VXEVHTXHQW PLVVLRQV (IIHFWLYH 562,
HVWDEOLVKHV D VPRRWK IORZ RI SHUVRQQHO HTXLSPHQW DQG PDWHULHO IURP SRUWV RI GHEDUNDWLRQ WKURXJK
HPSOR\PHQWDVUHDVVHPEOHGPLVVLRQFDSDEOHIRUFHV$GHSOR\LQJXQLWLVPRVWYXOQHUDEOHEHWZHHQLWVDUULYDO
DQGRSHUDWLRQDOHPSOR\PHQWVRRSHUDWLRQVVHFXULW\ 236(& SURWHFWLRQGHFHSWLRQDQGGLVSHUVLRQDUHYLWDO
SODQQLQJFRQVLGHUDWLRQV,IWKHFRUSVLVFRQGXFWLQJRSHUDWLRQVZKLOHPDMRUVXERUGLQDWHXQLWVDUHVWLOODUULYLQJ
WKHFRUSVFRPPDQGHUPD\HPSOR\WKHFRUSVWDFWLFDO &3DVWKHFRUSV¶LQWHUIDFHZLWKWKH(6&DQGDUULYLQJ
IRUFHVDWWKHSRUWRIGHEDUNDWLRQDQGWKHLUYDULRXVVWDJLQJDUHDV

4-20 FM 3-0 6 October 2017


2SHUDWLRQVWR3UHYHQW

(03/2<0(17
 7KHHPSOR\PHQWRIIRUFHVIRUVXFKDFWLYLWLHVDV)'2VRU)52VEHJLQVZKHQWKHDGYDQFHGHFKHORQ
RIWKHFRUSVKHDGTXDUWHUVPRYHVWRWKH$27KLVPRYHPHQWPD\EHWKHRSHQLQJVWDJHVRIDMRLQWRSHUDWLRQ
RUDVKRZRIIRUFHH[HUFLVH0RVWSHHUWKUHDWVKDYHDFFHVVWRVSDFHFDSDELOLWLHVXQPDQQHGDLUFUDIWV\VWHPV
8$6V  DQG H[WHQVLYH KXPDQ LQWHOOLJHQFH FDSDELOLW\ &RPPDQGHUV VKRXOG DVVXPH XQLWV DUH XQGHU
REVHUYDWLRQE\DGYHUVDULHVDWDOOWLPHV236(&LVFULWLFDOWRSURWHFWLQJIULHQGO\SODQVDQGXQLWFDSDELOLWLHV

'HWHUUHQFH(;(5&,6(5()25*(5

)RU RYHU WZR GHFDGHV WKH DQQXDO (;(5&,6( 5()25*(5 5HWXUQ RI )RUFHV WR
*HUPDQ\ SOD\HGDFUXFLDOUROHLQGHWHUULQJDFRQYHQWLRQDODWWDFNE\WKH:DUVDZ3DFW
DJDLQVW WKH 1RUWK $WODQWLF 7UHDW\ 2UJDQL]DWLRQ 1$72  ,Q  WKH 8QLWHG 6WDWHV
UHPRYHGWZRGLYLVLRQVIURP(XURSHGXULQJWKHKHLJKWRIWKH9LHWQDP:DU%HJLQQLQJ
LQ5()25*(5WHPSRUDULO\GHSOR\HGRQHRUPRUH86GLYLVLRQVWR*HUPDQ\DV
DFKLHIPHDQVRIVLJQDOLQJ$PHULFDQUHVROYHWRVXSSRUW1$72

5()25*(5H[HUFLVHVZHUHQRWPHUHO\DVKRZRIIRUFHEXWWKH\ZHUHDOVRDQLQWHJUDO
SDUWRI1$72’VJHQHUDOGHIHQVHSODQ$UULYLQJ6ROGLHUVGUHZWKHLUYHKLFOHVDQGKHDY\
HTXLSPHQW IURP IDFLOLWLHV FDOOHG 320&86 3UHSRVLWLRQLQJ RI 0DWHULHO &RQILJXUHG LQ
8QLW 6HWV  VLWHV WKDW VWRUHG WDQNV DUWLOOHU\ DUPRUHG SHUVRQQHO FDUULHUV VXSSRUW
YHKLFOHVDQGDPPXQLWLRQ(YHQWXDOO\HQRXJKPRGHUQHTXLSPHQWZDVRQKDQGWRILHOG
VL[FRPEDWUHDG\GLYLVLRQV'XULQJHDFKDQQXDOH[HUFLVHGHSOR\LQJGLYLVLRQVWRRNSDUW
LQOLYHILUHWUDLQLQJDQGLQODUJHVFDOHILHOGPDQHXYHUVFRQGXFWHGE\WKH869&RUSV
DQG9,,&RUSV

$WLWVKHLJKWLQ5()25*(5GHSOR\HG86WURRSVWR(XURSH$IWHUWKH
HQGRIWKH&ROG:DUWKHH[HUFLVHEHFDPHOHVVLPSRUWDQWDQGLWHQGHGLQ$VD
YLWDOFRPSRQHQWRIGHWHUUHQFH5()25*(5 KHOSHGNHHSWKH SHDFHLQ(XURSHIRUD
JHQHUDWLRQ

6HFXULW\2SHUDWLRQV
+HLVEHVWVHFXUHIURPGDQJHUVZKRLVRQKLVJXDUGHYHQZKHQKHVHHPVVDIH
3XEOLOLXV6\UXV

 $IRUFHDVVLJQHGDVHFXULW\WDVN VFUHHQJXDUGRUFRYHU FDQSURYLGHSURWHFWLRQHDUO\ZDUQLQJDQG


UHDFWLRQWLPHIRUIULHQGO\IRUFHVDOUHDG\RQWKHJURXQGEXWQRW\HWUHDG\IRUHPSOR\PHQW&RQVWLWXWLQJDQG
XVLQJ D IRUFH DVVLJQHG D VHFXULW\ PLVVLRQ PD\ EH FKDOOHQJLQJ )RUZDUGVWDWLRQHG IRUFHV PD\ EH RXW RI
SRVLWLRQ RU WKH DVVLJQHG IRUFH PD\ QRW EH LGHDO IRU WKH PLVVLRQ 8UEDQL]DWLRQ SRRU URDGV DQG WUDIILF
FRQJHVWLRQPD\KDPSHUPRYHPHQW)XUWKHUPRYHPHQWWKURXJKDUHDVFRQWUROOHGE\SDUWQHUQDWLRQVLVOLNHO\
WREHFRQWUROOHGE\SDUWQHUQDWLRQRIILFLDOVUHTXLULQJFRQYR\FOHDUDQFHVHVFRUWVDQGUHGXFHGIRUFHSURWHFWLRQ
OHYHOV LQFOXGLQJDPPXQLWLRQVWDWXVOHYHOVWKDWPD\SURKLELWDPPXQLWLRQIURPEHLQJFRPEDWORDGHGLQVLGH
YHKLFOHV $VHFXULW\IRUFHFRXOGEHYLHZHGDVSURYRFDWLYHDQGPD\EHGHOLEHUDWHO\FRQVWUDLQHGLQWHUPVRI
FDSDELOLWLHVDQGDFWLRQVWRUHGXFHWKHULVNRIHVFDODWLRQ 6HHFKDSWHUVDQGIRUDGHWDLOHGGLVFXVVLRQRQ
VHFXULW\RSHUDWLRQVDQGWKHGHIHQVH 

&LYLO$IIDLUVDQG&LYLO0LOLWDU\2SHUDWLRQV
 7KHPRYHPHQWRIPLOLWDU\IRUFHVIURPSRUWVRIGHEDUNDWLRQWKURXJKVWDJLQJDUHDVDQGIRUZDUGLQWR
DVVHPEO\DUHDVUHTXLUHVFRRUGLQDWLRQZLWKWKHKRVWQDWLRQWRIDFLOLWDWHWKHLUPRYHPHQW7KHFRUSVDVVLJQHG
&$EULJDGHRUJDQL]DWLRQVXSSRUWVWKHHVWDEOLVKPHQWRIDFLYLOPLOLWDU\RSHUDWLRQVFHQWHUWRFRRUGLQDWHZLWK
KRVWQDWLRQDQGORFDOSRSXODWLRQVDQGLQVWLWXWLRQV(DUO\FRRUGLQDWLRQZLWKXQLILHGDFWLRQSDUWQHUVIDFLOLWDWHV
PRYHPHQWWKURXJKLQGLJHQRXVLPPLJUDWLRQVHUYLFHVODQGXVHDJUHHPHQWVDQGLQGLJHQRXVORFDOVHFXULW\

6 October 2017 FM 3-0 4-21


Chapter 4

,QIRUPDWLRQ2SHUDWLRQV
 'XULQJRSHUDWLRQVWRSUHYHQWWKHFRUSVFRQGXFWVLQIRUPDWLRQRSHUDWLRQV7KHVHRSHUDWLRQVLQFOXGH²
z ,QLWLDWLQJLQIRUPDWLRQRSHUDWLRQVDVSHFWVRIWKHWKHDWHUFDPSDLJQSODQ
z :RUNLQJLQFORVHFRRUGLQDWLRQZLWKXQLILHGDFWLRQSDUWQHUVDQGKRVWQDWLRQLQIRUPDWLRQRSHUDWLRQV
DQGLQIRUPDWLRQUHODWHGFDSDELOLW\ ,5& IRUFHVWRHQVXUHXQLW\RIHIIRUW
z 'HYHORSLQJDQGFRQWUROOLQJWKHQDUUDWLYHDQGFRXQWHULQJWKHDGYHUVDU\¶VQDUUDWLYH
z ,PPHGLDWHO\DGGUHVVLQJFRQFHUQVRIYXOQHUDEOHSRSXODWLRQVWRLQRFXODWHWKHPDJDLQVWDGYHUVDU\
SURSDJDQGD
z ,QFUHDVLQJ PHVVDJH DPSOLILFDWLRQ DQG UHSHWLWLRQ YLD PXOWLSOH FRQGXLWV WR HQKDQFH FUHGLELOLW\
UHDFKDQGSHUVLVWHQFH
z &RXQWHULQJDGYHUVDULDOXVHRISURSDJDQGDPLVLQIRUPDWLRQDQGGLVLQIRUPDWLRQ
z ,QFUHDVLQJIUHTXHQF\VL]HDQGSXEOLFLW\RIH[HUFLVHVDQGWUDLQLQJDFWLYLWLHV
z (QVXULQJWKDWYLVXDOLQIRUPDWLRQ LQFOXGLQJFRPEDWFDPHUD IRUFHVDUHHPEHGGHGLQIRUZDUGWURRS
PRYHPHQWVH[HUFLVHVDQGWUDLQLQJDFWLYLWLHV

0LOLWDU\,QIRUPDWLRQ6XSSRUW2SHUDWLRQV
 3V\FKRORJLFDOIDFWRUVDUHDQLQWHJUDOSDUWRIDOORSHUDWLRQV0LOLWDU\LQIRUPDWLRQVXSSRUWRSHUDWLRQV
0,62 LQFOXGHZRUGVDQGDFWLRQVVSHFLILFDOO\SODQQHGWRUHGXFHWKHFRPEDWHIIHFWLYHQHVVRIHQHP\DUPHG
IRUFHVDQGWRLQIOXHQFHKRVWLOHQHXWUDODQGIULHQGO\JURXSVWRVXSSRUW86RSHUDWLRQV7KHFRUSVLVSULPDULO\
FRQFHUQHG ZLWK 0,62 GHVLJQHG WR SURGXFH VKRUWWHUP UHVXOWV +RZHYHU VRPH WDFWLFDO 0,62 REMHFWLYHV
DFKLHYHORQJHUUDQJHJRDOV 6HH)0IRUDGGLWLRQDOLQIRUPDWLRQRQWKHXVHRI0,62 

(QJLQHHU2SHUDWLRQV
 7KH FRUSV GRHV QRW KDYH RUJDQLF HQJLQHHU HFKHORQVSHFLILF XQLWV (DFK FRUSV KDV KDELWXDO
DVVRFLDWLRQVHVWDEOLVKHGZLWKDQHQJLQHHUEULJDGHKHDGTXDUWHUV(DFKHFKHORQRIHQJLQHHUKHDGTXDUWHUVXQLWV
LVFDSDEOHZLWKLQWKHLUVSDQRIFRQWURORIVHUYLQJGLUHFWO\XQGHUWKHFRUSVKHDGTXDUWHUVLQLWVRSHUDWLRQDO
FRQILJXUDWLRQ )RUFHWDLORUHG HQJLQHHU XQLWV VXSSRUWLQJ WKH FRUSV VHFXULW\ IRUFH DUH FDSDEOH RI SURYLGLQJ
PRELOLW\FRXQWHUPRELOLW\DQGVXUYLYDELOLW\HQJLQHHUFDSDELOLWLHV7KHFRUSVHQJLQHHULGHQWLILHVVKRUWDJHV
DQG UHFRPPHQGV HQJLQHHU IRUFH DOORFDWLRQ IRU VXERUGLQDWH XQLWV (QJLQHHU SULRULWLHV W\SLFDOO\ IRFXV RQ
WHFKQLFDO HQJLQHHU UHFRQQDLVVDQFH LQ VXSSRUW RI PRELOLW\ DQG LQIUDVWUXFWXUH GHYHORSPHQW 7KH DVVLJQHG
HQJLQHHUIRUFHVKRXOGEHUREXVWHQRXJKWRSURYLGHFRXQWHUPRELOLW\FDSDFLW\WRSURWHFWDVVDLODEOHIODQNVRU
GLVUXSW HQHP\ RIIHQVLYH RSHUDWLRQV DQG VXSSRUW IULHQGO\ PRELOLW\ $V D IRUFH PRYHV LQWR SRVLWLRQ WKH
HQJLQHHUIRUFHWUDQVLWLRQVWRFRXQWHUPRELOLW\DQGVXUYLYDELOLW\WDVNV 6HH$73IRUPRUHLQIRUPDWLRQ
RQHQJLQHHUVXSSRUWWRWKHFRUSVKHDGTXDUWHUV 

,QWHOOLJHQFH2SHUDWLRQV
 /DFNRIDGHTXDWHLQWHOOLJHQFHFDQKDPSHUWKHLQLWLDWLRQRIFRUSVRSHUDWLRQV/LPLWHGNQRZOHGJHRI
WKH HQHP\ PD\ LQDGYHUWHQWO\ WXUQ D VHFXULW\ IRUFH PRYHPHQW LQWR D VLWXDWLRQ WKDW H[DFHUEDWHV D GHOLFDWH
SROLWLFDO VLWXDWLRQ DQG FDXVHV DQ HVFDODWLRQ WRZDUGV RSHQ KRVWLOLWLHV 'HSOR\LQJ XQLWV DUH JHQHUDOO\ DW D
GLVDGYDQWDJH,WLVLPSHUDWLYHGXULQJRSHUDWLRQVWRSUHYHQWIRUWKHLQWHOOLJHQFHVWDIIWRXVHDOOLQWHOOLJHQFH
DVVHWVDYDLODEOHWRILOODQ\JDSVRILQIRUPDWLRQRQWKHHQHP\ZHDWKHUWHUUDLQDQGFLYLOFRQVLGHUDWLRQV7KHVH
LQWHOOLJHQFH DVVHWV PD\ LQFOXGH QDWLRQDO OHYHO LQWHOOLJHQFH UHJLRQDOO\DOLJQHG PLOLWDU\ LQWHOOLJHQFH
EULJDGHVWKHDWHU 0,%7V  DQG $UP\ WKHDWHU RU FRUSV LQWHOOLJHQFH VWDIIV ,QIRUPDWLRQ GHYHORSHG GXULQJ
RSHUDWLRQVWRVKDSHVKRXOGEHLQWHUSUHWHGLQSUHSDUDWLRQIRUODUJHVFDOHFRPEDWRSHUDWLRQV
 )RUZDUG GHSOR\HG IRUFHV KDYH WKH DGYDQWDJH RI IRFXVLQJ WKHLU LQIRUPDWLRQ FROOHFWLRQ WRZDUG
HQHPLHVDGYHUVDULHVDQGVSHFLILF2(V7KLVDOORZVWKHPWRGHYHORSGHWDLOHGNQRZOHGJHRIDGYHUVDU\DQG
HQHP\ORFDWLRQVFDSDELOLWLHVGLVSRVLWLRQVLQWHQWLRQVDQGSHUWLQHQWFLYLOFRQVLGHUDWLRQV&RQVWDQWXSGDWHVRI
LQWHOOLJHQFHSURGXFWVDOORZWKHVHIRUFHVWRNHHSFXUUHQWRQDGYHUVDU\DQGHQHP\FDSDELOLWLHVDQGGLVSRVLWLRQV
7KHUHDUHVHYHUDOWHFKQLTXHVWRKHOSHQVXUHFRQWLQXLW\RILQIRUPDWLRQRQLQWHOOLJHQFHGLVVHPLQDWLRQWRLQFOXGH
HPEHGGLQJ DQ LQWHOOLJHQFH OLDLVRQ RIILFHU IRUZDUG XVLQJ KRPHVWDWLRQ PLVVLRQ FRPPDQG IDFLOLWLHV RU
HQVXULQJDGHTXDWHFRQQHFWLYLW\DQGFRPPXQLFDWLRQHQURXWH

4-22 FM 3-0 6 October 2017


2SHUDWLRQVWR3UHYHQW

)LUHV
 $ VHFXULW\IRUFHJHQHUDOO\GRHVQRWEHFRPHGHFLVLYHO\HQJDJHG EXW LW PD\ EH UHTXLUHGWRLIWKH
HQHP\DWWDFNV)LUHVDQG HOHFWURQLFZDUIDUH (: FDSDELOLWLHVVKRXOGEHDOORFDWHGWRWKHVHFXULW\IRUFHLQ
VXIILFLHQWTXDQWLW\ WR DOORZ WKH VHFXULW\IRUFHWR GHIHQG LWVHOIDQG WKH FRUSVDVV HPEO\ DUHDV 7KH FRUSV
GHVLJQDWHVDKHDGTXDUWHUV XVXDOO\DILHOGDUWLOOHU\EULJDGH DVWKHIRUFHILHOGDUWLOOHU\KHDGTXDUWHUV7KHILUHV
DYDLODEOHWRWKHVHFXULW\IRUFHVKRXOGLQFOXGHILHOGDUWLOOHU\V\VWHPVIRXQGLQWKHFRUSV¶ILHOGDUWLOOHU\EULJDGH
DQG WKHVHFXULW\IRUFH%&7V7KH86$) RUWKH861DY\ QRUPDOO\SURYLGHVFORVHDLUVXSSRUWWRWKHFRUSV
:KHUHWKHJHRJUDSK\DOORZVQDYDOVXUIDFHILUHVXSSRUWDQG$0'VXSSRUWPD\DOVREHDYDLODEOH

3URWHFWLRQ
 +RVWQDWLRQFLYLODQGPLOLWDU\IRUFHFDSDELOLWLHVPD\LQWHJUDWHZLWK86VHFXULW\IRUFHVIRUDUHDDQG
ORFDOSURWHFWLRQWDVNV0LOLWDU\SROLFH 03 XQLWVSURYLGH D XQLTXH VHWRIFDSDELOLWLHVWKDW VXSSRUWSROLFH
RSHUDWLRQVGHWHQWLRQRSHUDWLRQVDQG VHFXULW\DQG PRELOLW\VXSSRUW&RUSV03VXSSRUWLVSHUIRUPHGRQD
FRPPDQGDUHDIXQFWLRQDORUPLVVLRQEDVLV03FDSDELOLW\IRUWKHVHFXULW\IRUFHVKRXOGEHFRQVLGHUHGZKHQ
DQDO\]LQJ WKH PLVVLRQ YDULDEOHV 6HH )0  IRU DGGLWLRQDO LQIRUPDWLRQ UHJDUGLQJ 03 RSHUDWLRQV
$73 DGGUHVVHV03FRQGXFWRIVHFXULW\DQG PRELOLW\VXSSRUW)0 DGGUHVVHV$UP\ GHWDLQHH
RSHUDWLRQV$73DGGUHVVHV$UP\+HDOWK6\VWHPVXSSRUWWRGHWDLQHHRSHUDWLRQV 

6XVWDLQPHQW
 $V WKH FRUSV EXLOGV FRPEDW SRZHU LW PXVW HQVXUHDGHTXDWH VXVWDLQPHQW RI WKH VHFXULW\IRUFH
UHJDUGOHVVRI FRPSHWLQJ GHPDQGV 7KH FRUSV VXVWDLQPHQW VWDII LQWHJUDWHG E\ WKH FKLHI RI VXVWDLQPHQW
UHTXLUHVD ILUP XQGHUVWDQGLQJ RIWKH FRUSVPLVVLRQDQG VHFXULW\IRUFHHOHPHQWV$FFXUDWHO\HVWDEOLVKLQJ
VXSSRUWIRUFHUHTXLUHPHQWVDQG HQVXULQJ HIIHFWLYHVXSSRUWUHODWLRQVKLSVLV FKDOOHQJLQJ LQ D G\QDPLF 2(
6XVWDLQPHQWVXSSRUWFRXOGEHKHDYLO\UHOLDQWRQFRQWUDFWVXSSRUWVLQFHSHUFHQWRIVXVWDLQPHQWFDSDELOLWLHV
UHVLGHLQWKHUHVHUYHFRPSRQHQWDQG WKHUHPD\ QRWEHDGHTXDWHWLPHWRPRELOL]HWKHPIRUXVHLQ)'2VRU
)52V)XUWKHUPRUHUHVWULFWLYHIRUFHPDQDJHPHQWOHYHOVPD\DOVRGULYHVLJQLILFDQWXVHRIFRQWUDFWHGVXSSRUW
LQVRPHRSHUDWLRQV

&216,'(5$7,216:+,/( %8,/',1* &20%$732:(5


 &RUSVGHIHQVLYHIRFXVHGWDVNVDUH FRQVLGHUHGLQ FRQMXQFWLRQZLWK WKH FRQVLGHUDWLRQVRIQDWLRQDO
LQWHUHVWVDQGHQDEOLQJWKHFRUSVWRWUDQVLWLRQUDSLGO\WRWKHRIIHQVH7KHUDSLGEXLOGXS RIFUHGLEOHRIIHQVLYH
DQGGHIHQVLYH FRPEDWFDSDELOLW\LVZKDWSURYLGHVFUHGLEOHGHWHUUHQFHDJDLQVWDGYHUVDULHVWU\LQJWRDFKLHYH
ORZFRVWREMHFWLYHVE\PDNLQJWKHPWRRFRVWO\WRDWWDLQ

2SHUDWLRQV6HFXULW\
6HFUHWRSHUDWLRQVDUHHVVHQWLDOLQZDUXSRQWKHPWKHDUP\UHOLHVWRPDNHLWVHYHU\PRYH
6XQ7]X

 5HGXFLQJHOHFWURQLFVLJQDWXUHV OHDYLQJUDGLRDQG GLJLWDOV\VWHPVRIIRULQUDGLROLVWHQLQJVLOHQFH


PRGHDVPXFKDVSRVVLEOH HQKDQFHV236(&DQGVXUYLYDELOLW\DJDLQVWDGYHUVDU\RUHQHP\GLUHFWLRQILQGLQJ
FDSDELOLWLHV7KH SUROLIHUDWLRQRILQIRUPDWLRQWHFKQRORJLHVDQGGHSHQGHQFHXSRQWKHPIRUURXWLQHPLVVLRQ
FRPPDQG IXQFWLRQVFUHDWHVYXOQHUDELOLWLHV0LQLPL]LQJ WKRVHYXOQHUDELOLWLHVUHTXLUHVVWULFWDGKHUHQFH WR
GLVFLSOLQHGSURFHGXUHVDSSURSULDWHIRUWKHFRUSV$2 5HVWULFWLRQVRQWKHXVHRISHUVRQDOHOHFWURQLFGHYLFHV
DQGVRFLDOPHGLDVKRXOGEHDNH\FRQVLGHUDWLRQIRU236(&DQGUHGXFLQJWKHHOHFWURQLFVLJQDWXUHVRIXQLWV

&\EHUVSDFH (OHFWURPDJQHWLF $FWLYLWLHV


 7KHFRUSVFRRUGLQDWHVZLWKWKHDWHUDQGQDWLRQDOF\EHUVSDFHHOHPHQWVWRHQVXUHXQLW\RIHIIRUWRI
F\EHUVSDFH RSHUDWLRQV 'HWDLOHG  SODQV DQG HIIRUWV IRU WKH GLVUXSWLRQ RU QHXWUDOL]DWLRQ RI DGYHUVDU\
LQWHJUDWHG DLU GHIHQVH V\VWHPV ,$'6V VKRXOG V\QFKURQL]H ZLWK WKH VFKHPH RI PDQHXYHU :KLOH WKH
FRPSDUWPHQWDOL]DWLRQRIWKHVHF\EHUVSDFHDFWLYLWLHVSURPRWHV236(&WKLVDOVRLQFUHDVHVWKHOLNHOLKRRGRI
YLRODWLQJRQHRUPRUHSULQFLSOHVRIMRLQWRSHUDWLRQVGHVFULEHGLQ-3

6 December 2017 FM 3-0, C1 4-23


Chapter 4

Space Operations
4-119. Peer threats have capabilities that can contest the space domain and attack the on-orbit, link, and
terrestrial segments of U.S. satellite communications; positioning, navigation, and timing; missile warning;
environmental weather; and space-based intelligence, surveillance, and reconnaissance efforts. These attacks
may have significant impact across all warfighting functions, and they may significantly disrupt timelines
and resources expended to accomplish the mission. Unified action partners must consider—and be prepared
to operate in—denied, degraded, and disrupted space operational environments (D3SOE).

Corps Support Area


4-120. The corps headquarters establishes a support area.
The corps commander assigns protection responsibility for A boundary is a line that delineates
the corps support area to a single commander; this may be surface areas for the purpose of
subordinate to a division assigned for area security in the facilitating coordination and deconfliction
of operations between adjacent units,
corps consolidation area. The consolidation area is an AO,
formations, or areas (JP 3-0).
assigned to an organization that extends from its higher
headquarters boundary to the boundary of the forces in close
area operations, where forces have established a level of control and are assigned tasks to consolidate gains.
The designated organization may be a division assigned for area security in the corps consolidation area, or
a smaller unit designated as the tactical combat force. (See chapter 1 for more information on consolidation
areas.) Echelons above corps sustainment forces can operate from within a divisional AO, from ports of
debarkation and bases in the joint security area, and from the corps support area. These conditions, associated
with the wide dispersal of a sustainment unit, can reduce self-defense capabilities of sustainment forces
through the placing of bases and base clusters beyond supporting distance of each other. (See ATP 3-37.10
for more information on base and base cluster interrelationships.)

Corps Reserve
4-121. The mission variables may require designating a corps reserve. Unity of command of the reserve is
critical. On occasion, the corps reserve is the reserve of one or more of the divisions, with specific restrictions
imposed by the corps commander on its employment. The positioning of the reserve facilitates its anticipated
employment. The corps reserve is usually committed directly under control of the corps headquarters.

Transition to the Offense


4-122. If required, the corps defeats, destroys, or neutralizes the enemy force. Army commanders seek to
mass effects, but not necessarily forces, as they pursue offensive tasks. (See chapter 7 for detailed discussions
on the offense.) During operations to prevent, commanders position assets to accomplish objectives during
possible follow-on offensive tasks that—
 Defeat, destroy, or neutralize the enemy force.
 Secure decisive terrain.
 Deprive the enemy of resources.
 Gain information.
 Deceive, divert, and fix the enemy in position.
 Disrupt the enemy’s attack.
 Set conditions for future operations.
 Consolidate gains.

THE DIVISION
4-123. The division headquarters performs many of the same activities as the corps headquarters. The
division headquarters fulfills its primary role as an Army tactical headquarters commanding up to five
subordinate BCTs and other subordinate units. Upon deployment into a theater, the division may undergo
significant task organization to enable operations. Initially, during operations to prevent, the division
conducts defensive, security, and stability tasks supporting joint operations. The primary role of the division

4-24 FM 3-0, C1 6 December 2017


2SHUDWLRQVWR3UHYHQW

LVWRGHPRQVWUDWHQDWLRQDOUHVROYHE\SUHVHQWLQJDFUHGLEOHFRHUFLYHIRUFH'LYLVLRQVVKRXOGH[SHFWWRFRQGXFW
WUDLQLQJ H[HUFLVHV ZLWK PXOWLQDWLRQDO SDUWQHUV DQG SHUIRUP RWKHU DFWLYLWLHV WKDW GHPRQVWUDWH IULHQGO\
FDSDELOLWLHV ,Q DQ LPPDWXUH WKHDWHU WKH GLYLVLRQ KHDGTXDUWHUV VKRXOG EH SUHSDUHG WR DFFRPPRGDWH WKH
FRPPDQGVWUXFWXUHRIWKHQH[WKLJKHUHFKHORQXQWLOWKDWHFKHORQ¶VV\VWHPVDUHLQSODFH 6HH)0DQG
$73IRUDGGLWLRQDOLQIRUPDWLRQRQGLYLVLRQRSHUDWLRQV 

&2162/,'$7,212)*$,16
 7KHSULPDU\FRQVROLGDWLRQRIJDLQVDFWLYLWLHVGXULQJRSHUDWLRQVWRSUHYHQWDUHWKRVHWDNHQWRHQVXUH
WKDW$UP\SODQQLQJDFFRXQWVIRUWDVNVWKDWHQDEOHWKHFRQVROLGDWLRQRIJDLQV7KLVSODQQLQJVKRXOGLQFOXGH
FRQVLGHULQJ IROORZRQ IRUFHV VSHFLILFDOO\ WDVNRUJDQL]HG WR FRQVROLGDWH JDLQV 3ODQQLQJ IRU WKH HDUO\ DQG
HIIHFWLYHFRQVROLGDWLRQRIJDLQVHQDEOHVWKHDFKLHYHPHQWRIODVWLQJIDYRUDEOHRXWFRPHV7KHPDQQHULQZKLFK
XQLWV H[HFXWH PLVVLRQV SDUWLFXODUO\ KRZ SRVLWLYHO\ WKH\ LQWHUDFW ZLWK ORFDO SRSXODWLRQV DQG KRVWQDWLRQ
IRUFHVVLJQLILFDQWO\LQIOXHQFHVWKHSHUFHSWLRQVRIWKRVHDIIHFWHGE\IULHQGO\RSHUDWLRQV(DUO\GHSOR\LQJXQLWV
SRVVHVVWKHFDSDELOLW\WRFRQGXFWVHFXULW\DQGVWDELOLW\WDVNVDVQHHGHG+RZXQLWVDUHRUJDQL]HGDQGSUHSDUHG
IRURIIHQVLYHGHIHQVLYHRUVWDELOLW\WDVNVVLPSOLILHVRUFRPSOLFDWHVIXWXUHVHFXULW\DQGVWDELOLW\RXWFRPHV
 &RPPDQGHUV DQG VWDIIV VKRXOG DOVR SODQ IRU WKH HYHQWXDO H[SDQVLRQ RI WKH VL]H RI FRQVROLGDWLRQ
DUHDVDVZHOODVWKHHFKHORQRIFRPPDQGUHVSRQVLEOHIRUWKRVHDUHDVDVODUJHVFDOHFRPEDWRSHUDWLRQVPD\
FRQWLQXH RYHU WLPH DQG VSDFH &RQGLWLRQV FRXOG UHTXLUH WKH FRPPLWPHQW RI DGGLWLRQDO IRUFHV WR FRQGXFW
FRQVROLGDWH JDLQV DFWLYLWLHV LQ PXOWLSOH GLYLVLRQ FRQVROLGDWLRQ DUHDV 3ODQQLQJ IRU VXFK FRPPLWPHQWV
FRQWLQXHVDVDFULWLFDOSDUWRIRSHUDWLRQVWRSUHYHQW)RUFHVWKDWDUHLGHQWLILHGWRFRQGXFWFRQVROLGDWLRQRI
JDLQVDUHWUDLQHGDQGUHKHDUVHGLQWKHFRQGXFWRIFRQVROLGDWLQJJDLQV
 6KRXOG RSHUDWLRQV WR SUHYHQW WUDQVLWLRQ WR ODUJHVFDOH FRPEDW RSHUDWLRQV IRUFHV UHVSRQVLEOH IRU
FRQVROLGDWLRQRIJDLQVVKRXOGEHSRVLWLRQHGWRUDSLGO\UHVSRQGWRWKHQHHGVRIWKHSRSXODWLRQDIIHFWHGE\
FRPEDW/LDLVRQDQGFRRUGLQDWLRQZLWKORFDOFLYLOLDQDXWKRULWLHVVKRXOGRFFXUSULRUWRWKHRQVHWRIFRPEDWWR
HQVXUHV\QFKURQL]DWLRQRIHIIRUWV)LQDOO\DQ\UHTXLUHGDGMXVWPHQWVWRWKHGLPHQVLRQVRIWKHFRQVROLGDWLRQ
DUHDVKRXOGEHPDGHDQGSURSHUDXWKRULWLHVLQIRUPHGRIVXFKFKDQJHV


6 October 2017 FM 3-0 4-25


This page intentionally left blank.


Chapter 5
Large-Scale Combat Operations
7KHUHIRUHWKHSXUSRVHRIPLOLWDU\RSHUDWLRQVFDQQRWEHVLPSO\WRDYHUWGHIHDW²EXWUDWKHU
LWPXVWEHWRZLQ
*HQHUDO'RQQ6WDUU\

7KLV FKDSWHU LV GLYLGHG LQWR IRXU VHFWLRQV 6HFWLRQ RQH SURYLGHV DQ RYHUYLHZ RI
ODUJHVFDOHFRPEDWRSHUDWLRQV6HFWLRQWZRDGGUHVVHVWDFWLFDOHQDEOLQJWDVNVWKDWDSSO\
WRERWKWKHGHIHQVHDQGWKHRIIHQVH6HFWLRQWKUHHGHVFULEHVIRUFLEOHHQWU\RSHUDWLRQV
IURPZKLFK$UP\IRUFHVPD\GHIHQGRUFRQWLQXHWKHRIIHQVH6HFWLRQIRXUGLVFXVVHV
WKHWUDQVLWLRQWRFRQVROLGDWLRQRIJDLQV6HHFKDSWHUVDQGIRUGHWDLOVRQWKHGHIHQVH
DQGWKHRIIHQVHUHVSHFWLYHO\

SECTION I – OVERVIEW: LARGE-SCALE COMBAT OPERATIONS


 6HFWLRQ,GLVFXVVHVMRLQWODUJHVFDOHFRPEDWRSHUDWLRQVLQSDUDJUDSKVWKURXJK,WGLVFXVVHV
$UP\ IRUFHV LQ ODUJHVFDOH FRPEDW RSHUDWLRQV LQ SDUDJUDSKV  WKURXJK  ,W GLVFXVVHV WKH WKUHDW LQ
SDUDJUDSKV  WKURXJK  ,W GLVFXVVHV VWDELOLW\ LQ ODUJHVFDOH FRPEDW RSHUDWLRQV LQ SDUDJUDSKV 
WKURXJK

-2,17/$5*(6&$/(&20%$723(5$7,216
-RLQWQHVV LPSOLHV FURVV6HUYLFH FRPELQDWLRQ ZKHUHLQ WKH FDSDELOLW\ RI WKH MRLQW IRUFH LV
XQGHUVWRRG WR EH V\QHUJLVWLF ZLWK WKH VXP JUHDWHU WKDQ LWV SDUWV WKH FDSDELOLW\ RI
LQGLYLGXDOFRPSRQHQWV 
-3Doctrine for the Armed Forces of the United States

 $VDQDWLRQWKH8QLWHG6WDWHVZDJHVZDUE\HPSOR\LQJDOOLQVWUXPHQWVRIQDWLRQDOSRZHU²GLSORPDWLF
LQIRUPDWLRQDO PLOLWDU\ DQG HFRQRPLF 7KH 3UHVLGHQW HPSOR\V WKH $UPHG )RUFHV RI WKH 8QLWHG 6WDWHV WR
DFKLHYH QDWLRQDO VWUDWHJLF REMHFWLYHV 7KH QDWXUH DQG VFRSH RI VRPH PLVVLRQV PD\ UHTXLUH MRLQW IRUFHV WR
FRQGXFWODUJHVFDOHFRPEDWRSHUDWLRQVWRDFKLHYHQDWLRQDOVWUDWHJLFREMHFWLYHVRUSURWHFWQDWLRQDOLQWHUHVWV
6XFKFRPEDWW\SLFDOO\RFFXUVZLWKLQWKHIUDPHZRUNRIDPDMRURSHUDWLRQRUDFDPSDLJQ
 :KHQ ODUJHVFDOH FRPEDW RSHUDWLRQV FRPPHQFH WKH MRLQW IRUFH FRPPDQGHU -)&  LPPHGLDWHO\
H[SORLWVIULHQGO\FDSDELOLWLHVDFURVVPXOWLSOHGRPDLQVDQGWKHLQIRUPDWLRQHQYLURQPHQWWRJDLQWKHLQLWLDWLYH
7KH-)&VHHNVGHFLVLYHDGYDQWDJHE\XVLQJDOODYDLODEOHHOHPHQWVRIFRPEDWSRZHUWRH[SORLWWKHLQLWLDWLYH
GHQ\HQHP\REMHFWLYHVGHIHDWHQHP\FDSDELOLWLHVWRUHVLVWDQGFRPSHOGHVLUHGEHKDYLRU7KH-)&FRRUGLQDWHV
ZLWK RWKHU 86 JRYHUQPHQWDO GHSDUWPHQWV DQG DJHQFLHV WR IDFLOLWDWH FRKHUHQW XVH RI DOO LQVWUXPHQWV RI
QDWLRQDO SRZHU LQ DFKLHYLQJ QDWLRQDO VWUDWHJLF REMHFWLYHV 6HL]LQJ WKH LQLWLDWLYH JHQHUDOO\ UHTXLUHV IRUFH
SURMHFWLRQ7KHHQWU\RI$UP\DQGMRLQWIRUFHVLQWRDMRLQWRSHUDWLRQVDUHD -2$ RUWKHDWHURIRSHUDWLRQVPD\
EHXQRSSRVHGRURSSRVHG 6HHSDUDJUDSKVWRIRUDGLVFXVVLRQRIIRUFLEOHHQWU\ 
 -)&VVWULYHWRDFKLHYHDLUPDULWLPHVSDFHDQGF\EHUVSDFHVXSHULRULW\HDUO\WRDOORZWKHMRLQWIRUFHWR
FRQGXFWODQGRSHUDWLRQV ZLWKRXWSURKLELWLYH HQHP\ LQWHUIHUHQFH3UHYLRXVO\GHSOR\HGIRUZDUGODQGIRUFHV
DQGODQGIRUFHVSURMHFWHGLQWRWKHWKHDWHUGXULQJODUJHVFDOHFRPEDWRSHUDWLRQVFDQHQDEOHMRLQWFDSDELOLWLHV
LQWKHRWKHUGRPDLQVDQGSURYLGHWKHMRLQWIRUFHIUHHGRPRIDFWLRQ
 -)&VJDLQDQGPDLQWDLQWKHLQLWLDWLYHE\SURMHFWLQJILUHVHPSOR\LQJIRUFHVDQGFRQGXFWLQJLQIRUPDWLRQ
RSHUDWLRQV LQ G\QDPLF FRPELQDWLRQ DFURVV PXOWLSOH GRPDLQV (VWDEOLVKLQJ D MRLQW KHDGTXDUWHUV UHTXLUHV

22 August 2017 FM 3-0 5-1


Chapter 5

GHWDLOHGSODQQLQJDFWLYHOLDLVRQDQGFRRUGLQDWLRQWKURXJKRXWWKHMRLQWIRUFH6XFKDWUDQVLWLRQPD\LQYROYH
DVLPSOHPRYHPHQWRIIODJVDQGVXSSRUWLQJSHUVRQQHORULWPD\UHTXLUHDFRPSOHWHFKDQJHRIMRLQWIRUFH
KHDGTXDUWHUV 7KH QHZ MRLQW IRUFH KHDGTXDUWHUV PD\ XVH SHUVRQQHO DQG HTXLSPHQW HVSHFLDOO\
FRPPXQLFDWLRQVHTXLSPHQWIURPDQH[LVWLQJKHDGTXDUWHUVRULWPD\UHTXLUHDXJPHQWDWLRQIURPGLIIHUHQW
VRXUFHV2QHWHFKQLTXHLVWRWUDQVIHUFRPPDQGLQVHYHUDOVWDJHV$QRWKHUWHFKQLTXHLVIRUWKH-)&WRXVHWKH
FDSDELOLWLHV RI RQH RI WKH FRPSRQHQWV XQWLO WKH QHZ KHDGTXDUWHUV LV IXOO\ SUHSDUHG :KLFKHYHU ZD\ WKH
WUDQVLWLRQLVGRQHVWDIIVPXVWDGGUHVVDOORIWKHFRPPDQGDQGFRQWURO & UHTXLUHPHQWVDQGWKHWLPLQJRI
WKHWUDQVIHURIHDFKUHTXLUHPHQW
 6LQJOHGRPDLQVXFFHVVLVUDUHO\DVROXWLRQWRDQ\SUREOHPDQGFHGLQJGRPLQDQFHLQDQ\GRPDLQWRWKH
HQHP\LVQRWDFFHSWDEOHZKHQWKHUHDUH$UP\RURWKHUMRLQWXQLWVZLWKWKHFDSDELOLW\WRFRQWHVWWKHHQHP\
ZLWKLQWKDWGRPDLQ$UP\DYLDWLRQDLUGHIHQVHORQJUDQJHILUHVVSDFHRSHUDWLRQVLQIRUPDWLRQRSHUDWLRQV
HOHFWURQLFZDUIDUH (: DQGF\EHUVSDFHFDSDELOLWLHVIDFLOLWDWHRSHUDWLRQVDFURVVPXOWLSOHGRPDLQVIRUWKH
HQWLUHMRLQWWHDPLQWKHVDPHZD\WKDWMRLQWFDSDELOLWLHVHQDEOHRSHUDWLRQVRQODQG
 7KH-)&XVLQJVSHFLDORSHUDWLRQVIRUFHV 62) LQGHSHQGHQWO\RULQWHJUDWHGZLWKFRQYHQWLRQDOIRUFHV
JDLQVDQDGGLWLRQDODQGVSHFLDOL]HGFDSDELOLW\WRDFKLHYHREMHFWLYHVWKDWPLJKWQRWRWKHUZLVHEHDWWDLQDEOH
,QWHJUDWLRQHQDEOHVWKH-)&WRWDNHIXOOHVWDGYDQWDJHRIFRQYHQWLRQDODQG62)FRUHFRPSHWHQFLHV62)DUH
PRVWHIIHFWLYHZKHQVSHFLDORSHUDWLRQVDUHIXOO\LQWHJUDWHGLQWRWKHRYHUDOOSODQDQGWKHH[HFXWLRQRIVSHFLDO
RSHUDWLRQVLVWKURXJKSURSHU62)&HOHPHQWVLQDVXSSRUWLQJRUVXSSRUWHGUHODWLRQVKLSZLWKFRQYHQWLRQDO
IRUFHV
 -)&VVWULYHWRFRQVHUYHDQGLQFUHDVHFRPEDWSRZHUDWWKHRQVHWRIFRPEDWRSHUDWLRQV)XUWKHUMRLQW
IRUFHV SURWHFW KRVWQDWLRQ LQIUDVWUXFWXUH DQG ORJLVWLFV VXSSRUW QRGHV FULWLFDO WR IRUFH SURMHFWLRQ DQG
VXVWDLQPHQW-)&VFRXQWHUWKHHQHP\¶VILUHVDQGPDQHXYHUE\PDNLQJSHUVRQQHOV\VWHPVDQGXQLWVGLIILFXOW
WRORFDWHVWULNHDQGGHVWUR\7KH\SURWHFWWKHIRUFHIURPHQHP\PDQHXYHUDQGILUHV2SHUDWLRQVVHFXULW\
236(& DQGPLOLWDU\GHFHSWLRQ 0,/'(& DUHNH\HOHPHQWVRIWKLVHIIRUW2SHUDWLRQVWRJDLQDLUVSDFH
PDULWLPH DQG HOHFWURPDJQHWLF VSHFWUXP (06  VXSHULRULW\ GHIHQVLYH XVH RI LQIRUPDWLRQ RSHUDWLRQV DQG
SURWHFWLRQRIDLUSRUWVDQGVHDSRUWVOLQHVRIFRPPXQLFDWLRQVFRPPXQLFDWLRQVQHWZRUNVDQGIULHQGO\IRUFH
ORGJPHQWDUHDVDOOFRQWULEXWHVLJQLILFDQWO\WRIRUFHSURWHFWLRQ
 -)&V HVWDEOLVK DUHDV RI RSHUDWLRQV $2V  WR GHFHQWUDOL]H H[HFXWLRQ RI ODQG RSHUDWLRQV DOORZ UDSLG
PDQHXYHUDQGSURYLGHWKHDELOLW\WRILJKWDWH[WHQGHGUDQJHV7KHVL]HVKDSHDQGSRVLWLRQLQJRIODQG$2V
DUHEDVHGRQWKH-)&¶VFRQFHSWRIRSHUDWLRQVDQGWKHODQGFRPPDQGHUV¶UHTXLUHPHQWVWRDFFRPSOLVKWKHLU
PLVVLRQV:LWKLQWKHVH$2VODQGFRPPDQGHUVDUHGHVLJQDWHGWKHVXSSRUWHGFRPPDQGHUIRUWKHLQWHJUDWLRQ
DQG V\QFKURQL]DWLRQ RI MRLQW PDQHXYHU ILUHV DQG LQWHUGLFWLRQ ,QWHUGLFWLQJ LV DQ DFWLRQ WR GLYHUW GLVUXSW
GHOD\RUGHVWUR\WKHHQHP\¶VPLOLWDU\VXUIDFHFDSDELOLW\EHIRUHLWFDQEHXVHGHIIHFWLYHO\DJDLQVWIULHQGO\
IRUFHVRUWRDFKLHYHHQHP\REMHFWLYHV$FFRUGLQJO\ODQGFRPPDQGHUVGHVLJQDWHWKHWDUJHWSULRULW\HIIHFWV
DQG WLPLQJ RI MRLQW LQWHUGLFWLRQ RSHUDWLRQV ZLWKLQ WKHLU $2V )XUWKHU LQ FRRUGLQDWLRQ ZLWK WKH ODQG
FRPPDQGHU WKH FRPSRQHQW FRPPDQGHU GHVLJQDWHG DV WKH VXSSRUWHG FRPPDQGHU IRU -2$ZLGH
LQWHUGLFWLRQ²W\SLFDOO\ WKH MRLQW IRUFH DLU FRPSRQHQW FRPPDQGHU -)$&& ²KDV WKH ODWLWXGH WR SODQ DQG
H[HFXWH-)&SULRULWL]HGPLVVLRQVZLWKLQWKHODQG$2,I-2$ZLGHLQWHUGLFWLRQRSHUDWLRQVZRXOGKDYHDGYHUVH
HIIHFWV ZLWKLQDODQG$2WKHQWKHFRPPDQGHUFRQGXFWLQJ WKRVHRSHUDWLRQV PXVWHLWKHUUHDGMXVWWKHSODQ
UHVROYHWKHLVVXHZLWKWKHDSSURSULDWHFRPSRQHQWFRPPDQGHURUFRQVXOWZLWKWKH-)&IRUUHVROXWLRQ
 7KHODQGFRPPDQGHUVKRXOGFOHDUO\DUWLFXODWHWKHYLVLRQRIPDQHXYHURSHUDWLRQVWRRWKHUFRPPDQGHUV
ZKR PD\ HPSOR\ LQWHUGLFWLRQ IRUFHV ZLWKLQ WKH ODQG $2 7KH ODQG FRPPDQGHU¶V LQWHQW DQG FRQFHSW RI
RSHUDWLRQVVKRXOGFOHDUO\VWDWHKRZLQWHUGLFWLRQZLOOHQDEOHRUHQKDQFHODQGIRUFHPDQHXYHULQWKH$2DQG
ZKDWLVWREHDFFRPSOLVKHGZLWKLQWHUGLFWLRQ DVZHOODVWKRVHDFWLRQVWREHDYRLGHGVXFKDVWKHGHVWUXFWLRQ
RINH\WUDQVSRUWDWLRQQRGHVRUWKHXVHRIFHUWDLQPXQLWLRQVLQDVSHFLILFDUHD 2QFHWKLVLVXQGHUVWRRGRWKHU
LQWHUGLFWLRQFDSDEOH FRPPDQGHUV FDQ QRUPDOO\ SODQ DQG H[HFXWH RSHUDWLRQV ZLWK RQO\ WKDW FRRUGLQDWLRQ
UHTXLUHGZLWKWKHODQGFRPPDQGHU+RZHYHUWKHODQGFRPPDQGHUVKRXOGSURYLGHRWKHUFRPPDQGHUVDVPXFK
ODWLWXGHDVSRVVLEOHLQWKHSODQQLQJDQGH[HFXWLRQRILQWHUGLFWLRQRSHUDWLRQVZLWKLQWKH$2
 -)&VSD\SDUWLFXODUDWWHQWLRQDQGJLYHSULRULW\WRDFWLYLWLHVLPSLQJLQJRQDQGVXSSRUWLQJWKHPDQHXYHU
DQG LQWHUGLFWLRQ QHHGV RI DOO IRUFHV ,Q DGGLWLRQ WR QRUPDO WDUJHW QRPLQDWLRQ SURFHGXUHV -)&V HVWDEOLVK
SURFHGXUHVWKURXJKZKLFKODQGFRPPDQGHUVFDQVSHFLILFDOO\LGHQWLI\WKRVHLQWHUGLFWLRQWDUJHWVLQPXOWLSOH
GRPDLQVFULWLFDOWRODQGPDQHXYHUWKDWWKH\DUHXQDEOHWRHQJDJHZLWKRUJDQLFDVVHWV7KHVHWDUJHWVPD\EH
LGHQWLILHGLQGLYLGXDOO\E\FDWHJRU\RUWLHGWRDGHVLUHGHIIHFWRUWLPHSHULRG,QWHUGLFWLRQWDUJHWSULRULWLHV

5-2 FM 3-0 6 October 2017


/DUJH6FDOH&RPEDW 2SHUDWLRQV

ZLWKLQ ODQG $2V DUHFRQVLGHUHGDORQJ ZLWK -2$ZLGH LQWHUGLFWLRQSULRULWLHVE\ WKH -)& DQG UHIOHFWHGLQ
DSSRUWLRQPHQWGHFLVLRQV6HUYLFHRUFRPSRQHQWFRPPDQGHUVDQGVXSSRUWLQJDJHQFLHVXVHWKHVHSULRULWLHVWR
SODQFRRUGLQDWHDQGH[HFXWH-2$ZLGHLQWHUGLFWLRQHIIRUWVLQPXOWLSOHGRPDLQV
 7KH SUHVHQFHRI DQG SRWHQWLDO XVH RI ZHDSRQV RI PDVV GHVWUXFWLRQ :0'  E\ HQHP\ IRUFHV LQ
ODUJHVFDOHFRPEDWRSHUDWLRQVLVD JUDYHFRQFHUQIRUWKH-)&:0'DUHFKHPLFDOELRORJLFDOUDGLRORJLFDO
RUQXFOHDUZHDSRQVRUGHYLFHVFDSDEOHRIDKLJKRUGHURIGHVWUXFWLRQRUWKDWFDXVHPDVVFDVXDOWLHV&RXQWHULQJ
ZHDSRQVRIPDVVGHVWUXFWLRQ &:0' HQWDLOVDFWLYLWLHVDFURVVWKH86*RYHUQPHQWWRHQVXUHWKDWIULHQGO\
IRUFHVDQG LQWHUHVWVDUH QRW DWWDFNHG RU FRHUFHGE\ DFWRUV SRVVHVVLQJ:0' &:0' DFWLYLWLHV FDQ EH
DFFRPSOLVKHGGXULQJDQ\SKDVH IURPVKDSLQJWKURXJKHQDEOHFLYLODXWKRULWLHV RIDMRLQWRSHUDWLRQ'XULQJ
WKH VHL]HWKH LQLWLDWLYH DQG GRPLQDWHSKDVHV RIODUJHVFDOHFRPEDWRSHUDWLRQV&:0' DFWLYLWLHVFRQWURO
GHIHDWGLVDEOHDQGGLVSRVHRI:0'WKUHDWVVDIHJXDUGWKHIRUFHDQGPDQDJHFRQVHTXHQFHVLQWKHHYHQWRI
XVH 6HH-3IRUMRLQWGRFWULQHRQ&:0' 
 &RQGLWLRQVSUHFHGLQJODUJHVFDOHFRPEDWRSHUDWLRQVYDU\ GHSHQGLQJ RQWKHWKUHDW6RPHDGYHUVDULHV
SRVVHVVVLJQLILFDQWFDSDELOLW\WRHPSOR\DQWLDFFHVV $ DQG DUHDGHQLDO $' VWUDWHJLHV&RXQWHULQJWKRVH
VWUDWHJLHVLVWKHUHVSRQVLELOLW\RIWKH-)&7KHODQGFRPSRQHQWFRPPDQGHU¶V /&&¶V FKDOOHQJHLVGHSOR\LQJ
VLJQLILFDQWFRPEDWSRZHULQDQHQYLURQPHQWZKHUHWKHHQHP\KDVDQLQLWLDODGYDQWDJH

$50<)25&(6,1/$5*(6&$/( &20%$723(5$7,216
 7KH$UP\SURYLGHVWKH-)&VLJQLILFDQWDQGVXVWDLQHGODQGSRZHU/DQGSRZHULVWKHDELOLW\²E\WKUHDW
IRUFHRURFFXSDWLRQ²WRJDLQVXVWDLQDQGH[SORLWFRQWURORYHUODQGUHVRXUFHVDQGSHRSOH $'53 7KH
$UP\VXSSRUWVWKHMRLQWIRUFHE\SURYLGLQJFDSDELOLW\DQGFDSDFLW\IRUWKHDSSOLFDWLRQRIODQGSRZHUWKURXJK
PDQHXYHU ILUHVVSHFLDORSHUDWLRQVF\EHUVSDFHRSHUDWLRQV(: VSDFH RSHUDWLRQVVXVWDLQPHQW DQG DUHD
VHFXULW\
 7KH -)& DSSOLHV $UP\ FDSDELOLWLHV WR QHXWUDOL]H HQHP\ LQWHJUDWHG GHIHQVHV E\ V\VWHPDWLFDOO\
GHVWUR\LQJNH\QRGHVDQGFDSDELOLWLHVHVVHQWLDOWRWKHLUFRKHUHQFH&RQYHQWLRQDOVSHFLDORSHUDWLRQVDQGMRLQW
IRUFHLQWHUGHSHQGHQFHLVDQLPSRUWDQWSDUWRIWKLVHIIRUW$UP\62)FDQHQJDJHKLJKYDOXHWDUJHWVWRDFKLHYH
RSHUDWLRQDODQGVWUDWHJLFOHYHOHIIHFWVZKLOH$UP\ LQWHOOLJHQFHFDSDELOLWLHVIDFLOLWDWHLQIRUPDWLRQFROOHFWLRQ
IRUDOOXQLILHGDFWLRQSDUWQHUVDQGUHLQIRUFHWKHLGHDRILQWHUGHSHQGHQFH
 'XULQJ ODUJHVFDOHFRPEDW RSHUDWLRQV$UP\ IRUFHVGHIHDW WKH HQHP\ 'HIHDWRI HQHP\ IRUFHVLQ
FORVHFRPEDWRSHUDWLRQVLVQRUPDOO\UHTXLUHGWRDFKLHYHFDPSDLJQ REMHFWLYHVDQG QDWLRQDOVWUDWHJLFJRDOV
DIWHUWKHFRPPHQFHPHQWRIKRVWLOLWLHV3ODQQLQJIRUVHTXHOVWRFRQVROLGDWHJDLQVDWKLJKHUO HYHOVVKRXOGEH
LQIRUPHGE\ FRPEDWRSHUDWLRQVDQG YLFH YHUVD +RZHYHU WKHGHPDQGV RIODUJHVFDOHFRPEDWRSHUDWLRQV
FRQVXPHDOODYDLODEOHVWDIIFDSDELOLW\DWWKHWDFWLFDOOHYHO
 ,Q ODUJHVFDOHFRPEDWRSHUDWLRQVDJDLQVWD SHHUWKUHDWFRPPDQGHUVFRQGXFWGHFLVLYHDFWLRQWRVHL]H
UHWDLQDQG H[SORLWWKHLQLWLDWLYH7KLV LQYROYHV WKHRUFKHVWUDWLRQRIPDQ\ VLPXOWDQHRXVXQLW DFWLRQVLQWKH
PRVWGHPDQGLQJRIRSHUDWLRQDOHQYLURQPHQWV/DUJHVFDOHFRPEDWRSHUDWLRQVLQWURGXFHOHYHOVRIFRPSOH[LW\
OHWKDOLW\DPELJXLW\ DQG VSHHGWRPLOLWDU\DFWLYLWLHVQRWFRPPRQLQ RWKHURSHUDWLRQV/DUJHVFDOHFRPEDW
RSHUDWLRQVUHTXLUHWKHH[HFXWLRQRIPXOWLSOHWDVNVV\QFKURQL]HGDQG FRQYHUJHGDFURVVPXOWLSOHGRPDLQVWR
FUHDWHRSSRUWXQLWLHVWRGHVWUR\GLVORFDWHGLVLQWHJUDWHDQGLVRODWHHQHP\IRUFHV
 $UP\IRUFHVGHIHDWHQHP\RUJDQL]DWLRQVFRQWUROWHUUDLQSURWHFWSRSXODWLRQVDQGSUHVHUYHMRLQWIRUFH
DQGXQLILHGDFWLRQSDUWQHUIUHHGRPRIPRYHPHQWDQGDFWLRQLQWKHODQGDQGRWKHUGRPDLQV&RUSVDQGGLYLVLRQ
FRPPDQGHUVDUHGLUHFWO\FRQFHUQHGZLWKWKRVHHQHP\IRUFHVDQGFDSDELOLWLHVWKDWFDQDIIHFWWKHLUFXUUHQWDQG
IXWXUHRSHUDWLRQV$FFRUGLQJO\MRLQWLQWHUGLFWLRQHIIRUWVZLWKDQHDUWHUPHIIHFWRQODQGPDQHXYHUQRUPDOO\
VXSSRUWODQGPDQHXYHU6XFFHVVIXOFRUSVDQGGLYLVLRQRSHUDWLRQVPD\GHSHQGRQVXFFHVVIXOMRLQWLQWHUGLFWLRQ
RSHUDWLRQVLQFOXGLQJWKRVHRSHUDWLRQVWRLVRODWHWKHEDWWOHRUZHDNHQ WKHHQHP\IRUFHEHIRUHEDWWOHLVIXOO\
MRLQHG
 'XULQJODUJHVFDOHFRPEDWRSHUDWLRQV$UP\ IRUFHVHQDEOHMRLQWIRUFHIUHHGRPRIDFWLRQE\GHQ\LQJ
WKHHQHP\WKHDELOLW\WRRSHUDWHXQFRQWHVWHGLQPXOWLSOHGRPDLQV$UP\ OHDGHUVV\QFKURQL]HWKHHIIRUWVRI
PXOWLSOHXQLILHGDFWLRQSDUWQHUVWRHQVXUHXQLW\RIHIIRUW$UP\IRUFHVDGDSWFRQWLQXRXVO\WRVHL]HUHWDLQDQG
H[SORLWWKHLQLWLDWLYH$UP\IRUFHVXVHPRELOLW\SURWHFWLRQDQGILUHSRZHUWRVWULNHWKHHQHP\XQH[SHFWHGO\

6 December 2017 FM 3-0, C1 5-3


Chapter 5

IURPPXOWLSOHGLUHFWLRQVGHQ\LQJWKHHQHP\IUHHGRPWRPDQHXYHUDQG FUHDWLQJPXOWLSOHGLOHPPDVWKDWWKH
HQHP\FRPPDQGHUFDQQRWHIIHFWLYHO\DGGUHVV
 &RPPDQGHUVFRQVLGHUSRWHQWLDOIXWXUHHQHP\ PRYHVDQG ZKDW DFWLRQVIULHQGO\IRUFHVPD\ WDNH WR
FRXQWHUWKRVHPRYHV3ODQQHUVDQWLFLSDWHWKHXVHRIF\EHUVSDFHRSHUDWLRQVWKDWFDQGLVUXSWHQHP\FRPPDQG
DQGFRQWUROQRGHV$UP\DQGMRLQWIRUFHVFRQFHQWUDWHFRPEDWSRZHUUDSLGO\IURPGLVSHUVHGORFDWLRQVWRDWWDFN
FULWLFDOHQHP\DVVHWVDQGH[SORLWRSSRUWXQLWLHVDQGWKHQGLVSHUVHTXLFNO\HQRXJKWRDYRLGEHFRPLQJOXFUDWLYH
WDUJHWVWKHPVHOYHV7KLVSURYLGHVSURWHFWLRQDJDLQVWDQHQHP\ZLWK ORQJUDQJHILUHVDGYDQWDJHV 7KH LQLWLDO
$UP\ IRUFHVWRDUULYHZLWKLQ D-2$ PD\ QHHGWRILJKWRXWQXPEHUHGWREX\ WLPHIRUDQG SURWHFWIROORZRQ
IRUFHV7KLVUHTXLUHVWKRVHLQLWLDOIRUFHVWRKDYHWDFWLFDOPRELOLW\ILUHSRZHUDQGUHVLOLHQFH
 $UP\ IRUFHVDVVLVWLQ&:0' RSHUDWLRQVZLWKLQ WKH-2$ DQG WKURXJKRXWWKH DUHDRIUHVSRQVLELOLW\
$25 GXULQJODUJHVFDOHFRPEDWRSHUDWLRQV,QDFFRUGDQFHZLWKWKH-)&¶VFRQFHSWRIRSHUDWLRQ$UP\IRUFHV
SODQ DQG LQWHJUDWHWKHLUHIIRUWVZLWK WKH MRLQWIRUFHDQG KRVWQDWLRQIRU&:0' RSHUDWLRQV$UP\ IRUFHV
FRQWULEXWHWRWKHPLVVLRQVXFFHVVRI&:0'WKURXJKLQWHJUDWHGFRPELQHGDUPVWHDPVH[HFXWLQJWDFWLFDOWDVNV
WKDWVXSSRUWWKHDFWLYLWLHVRI&:0'DQGZLWKDQXQGHUVWDQGLQJRIWKHVSHFLDOFRQVLGHUDWLRQVDVVRFLDWHGZLWK
FKHPLFDOELRORJLFDOUDGLRORJLFDODQG QXFOHDU &%51  HQYLURQPHQWVDQG :0'REMHFWLYHV)RUH[DPSOH
EULJDGHFRPEDWWHDPV %&7V SODQIRUVLWHH[SORLWDWLRQXVHRIFRQWDPLQDWHGURXWHVIRUPRYHPHQWFDVXDOW\
HYDFXDWLRQ RI FRQWDPLQDWHG FDVXDOWLHV SURORQJHG RSHUDWLRQV LQ &%51 HQYLURQPHQWV DQG LPPHGLDWH
RSHUDWLRQDODQG WKRURXJKGHFRQWDPLQDWLRQRIXQLWV 6HH$73 IRUPRUHLQIRUPDWLRQRQFRPELQHG
DUPV&:0'RSHUDWLRQV 
 $UP\ IRUFHVJHQHUDOO\FRQVWLWXWHWKHSUHSRQGHUDQFHRIODQGFRPEDWIRUFHVRUJDQL]HGLQWRFRUSVDQG
GLYLVLRQVGXULQJODUJHVFDOHFRPEDWRSHUDWLRQV$UP\IRUFHVVHL]HWKHLQLWLDWLYHJDLQ DQG H[SORLWSRVLWLRQV
RIUHODWLYHDGYDQWDJH LQPXOWLSOHGRPDLQVWRGRPLQDWHDQ HQHP\IRUFHDQG FRQVROLGDWHJDLQV&RUSV DQG
GLYLVLRQVH[HFXWHGHFLVLYHDFWLRQWDVNVZKHUHRIIHQVLYHDQG GHIHQVLYHWDVNVPDNHXS WKHSUHSRQGHUDQFHRI
DFWLYLWLHV&RPPDQGHUVPXVWH[SOLFLWO\XQGHUVWDQGWKHOHWKDOLW\RIODUJHVFDOHFRPEDWRSHUDWLRQVWRSUHVHUYH
WKHLUFRPEDWSRZHUDQG PDQDJH ULVN&RPPDQGHUVOHYHUDJHF\EHUVSDFHRSHUDWLRQVVSDFHFDSDELOLWLHVDQG
LQIRUPDWLRQUHODWHGFDSDELOLWLHVLQDGHOLEHUDWHIDVKLRQWRVXSSRUWJURXQG PDQHXYHU &RPPDQGHUVDOVRXVH
JURXQGPDQHXYHUDQGRWKHUODQGEDVHGFDSDELOLWLHVWRHQDEOHPDQHXYHULQWKHRWKHUGRPDLQV
 %&7VDQGVXERUGLQDWHHFKHORQVFRQFHQWUDWHRQSHUIRUPLQJRIIHQVLYHDQGGHIHQVLYHWDVNVDQGQHFHVVDU\
WDFWLFDOHQDEOLQJ WDVNV 'XULQJ ODUJHVFDOHFRPEDW RSHUDWLRQVWKH\ SHUIRUPRQO\ WKRVHPLQLPDO HVVHQWLDO
VWDELOLW\ WDVNV QHFHVVDU\ WR FRPSO\ ZLWK WKH ODZV RI ODQG ZDUIDUH 7KH\ GR QRW FRQGXFW RSHUDWLRQDOO\
VLJQLILFDQWFRQVROLGDWHJDLQVDFWLYLWLHVXQOHVVDVVLJQHGWKDWPLVVLRQLQDFRQVROLGDWLRQDUHD%&7FRPPDQGHUV
RUFKHVWUDWHUDSLGPDQHXYHUWRRSHUDWHLQVLGHDQHQHP\¶VGHFLVLRQF\FOHDQGFUHDWHDQLQFUHDVLQJFDVFDGHRI
KDUGFKRLFHVIRUWKHHQHP\FRPPDQGHU
 &RPPDQGHUV HPSOR\ WKH DSSURSULDWH IRUP RI PDQHXYHU WR FORVH ZLWK DQ HQHP\ WR PLWLJDWH
GLVDGYDQWDJHV LQ WKHFDSDELOLWLHVRIZHDSRQ V\VWHPVDQG YHKLFOHSURWHFWLRQ7KLV W\SLFDOO\ UHTXLUHVUDSLG
PRYHPHQWWKURXJK FORVHRUFRPSOH[WHUUDLQGXULQJ SHULRGVRIOLPLWHGYLVLELOLW\ 6XERUGLQDWHXQLW FRPEDW
IRUPDWLRQVPRYHLQDVGLVSHUVHGDPDQQHUDVSRVVLEOHZKLOHUHWDLQLQJWKHFDSDELOLW\WRPDVVHIIHFWVDJDLQVW
HQHP\IRUFHVDWRSSRUWXQHWLPHVDQG SODFHV-RLQWHQDEOHUVEHFRPHPRUHHIIHFWLYHZKHQDQHQHP\KDVQR
WLPHWRIRFXVRQVLQJXODUIULHQGO\FDSDELOLWLHVLQMXVWRQHRUWZRGRPDLQV8QLWVSHUIRUPDWWDFNVWKDWSHQHWUDWH
HQHP\GHIHQVHVRUDWWDFN WKHPIURQWDOO\RUIURPD IODQN 'HSHQGLQJ RQ WKHVLWXDWLRQWKH\DOVRLQILOWUDWH
HQHP\SRVLWLRQVHQYHORSWKHPRUWXUQHQHP\IRUFHVRXWRIWKHLUFXUUHQWSRVLWLRQV7KRVHXQLWVWKHQH[SORLW
VXFFHVVWRUHQGHUHQHP\IRUFHVLQFDSDEOHRIIXUWKHUUHVLVWDQFH
 7KHFRQVROLGDWLRQRIJDLQVLVDQLQWHJUDOSDUWRIDOORSHUDWLRQV&RUSVDQGGLYLVLRQKHDGTXDUWHUVDVVLJQ
SXUSRVHIXOO\ WDVNRUJDQL]HG IRUFHVGHVLJQDWHG FRQVROLGDWLRQDUHDV WR EHJLQ FRQVROLGDWHJDLQV DFWLYLWLHV
FRQFXUUHQWZLWK ODUJHVFDOHFRPEDWRSHUDWLRQV&RQVROLGDWHJDLQV DFWLYLWLHVSURYLGH IUHHGRPRIDFWLRQDQG
KLJKHUWHPSRIRUWKRVHIRUFHVFRPPLWWHGWRWKHFORVHGHHSDQGVXSSRUWDUHDV8QLWVEHJLQFRQVROLGDWHJDLQV
DFWLYLWLHVDIWHUDFKLHYLQJ D PLQLPXP OHYHORIFRQWURODQG ZKHQ WKHUHDUHQR RQJRLQJODUJHVFDOHFRPEDW
RSHUDWLRQVLQDVSHFLILFSRUWLRQRIWKHLU$2&RUSVDQGGLYLVLRQVFDQGHVLJQDWHDPDQHXYHUIRUFHUHVSRQVLEOH
IRUFRQVROLGDWLRQDUHDV)RUFHVDVVLJQHGWKHPLVVLRQRIFRQVROLGDWLQJJDLQVH[HFXWHDUHDVHFXULW\DQGVWDELOLW\
WDVNV7KLVHQDEOHVIUHHGRPRIDFWLRQIRUXQLWVLQWKHRWKHUFRUSVDQGGLYLVLRQDUHDVE\DOORZLQJWKHPWRIRFXV
RQWKHLUDVVLJQHGWDVNVDQGH[SHGLWLQJWKHDFKLHYHPHQWRIWKHRYHUDOOSXUSRVHRIWKHRSHUDWLRQ,QLWLDOO\WKH
IRFXVLVRQFRPELQHGDUPVRSHUDWLRQVDJDLQVWE\SDVVHGHQHP\IRUFHVGHIHDWHGUHPQDQWVDQGLUUHJXODUIRUFHV
WRGHIHDWWKUHDWVDJDLQVWIULHQGO\IRUFHVLQWKHVXSSRUWDQG FRQVROLGDWLRQDUHDVDVZHOODVWKRVHVKRUWRIW KH

5-4 FM 3-0, C1 6 December 2017


/DUJH6FDOH&RPEDW 2SHUDWLRQV

UHDUERXQGDULHVRI%&7LQWKHFORVHDUHD)ULHQGO\IRUFHVPD\HYHQWXDOO\FUHDWHRUUHFRQVWLWXWHDQLQGLJHQRXV
VHFXULW\IRUFHWKURXJKVHFXULW\FRRSHUDWLRQDFWLYLWLHVDVWKHRYHUDOOIRFXVRIRSHUDWLRQVVKLIWVIURPODUJH VFDOH
FRPEDWRSHUDWLRQVWRFRQVROLGDWLQJJDLQV2SWLPDOO\DGLYLVLRQFRPPDQGHUZRXOGDVVLJQD%&7 WRVHFXUHD
FRQVROLGDWLRQDUHD$ GLYLVLRQLVWKHSUHIHUUHGHFKHORQIRUWKLVPLVVLRQLQDFRUSV$2 7KH UHTXLUHPHQWIRU
DGGLWLRQDOIRUFHVWRFRQVROLGDWHJDLQVDVHDUO\DVSRVVLEOHVKRXOGEHDFFRXQWHGIRUHDUO\GXULQJSODQQLQJZLWK
DSSURSULDWHIRUFHWDLORULQJE\WKHWKHDWHUDUP\
 7KH DSSOLFDWLRQRIWKHWHQHWVRIXQLILHGODQG RSHUDWLRQV²VLPXOWDQHLW\GHSWK V\QFKURQL]DWLRQ DQG
IOH[LELOLW\²LVIRXQGDWLRQDOWRWKHFRQGXFWRIRSHUDWLRQV7KHVHIRXUWHQHWVVKRXOGLQIRUPERWKSODQVDQGWKH
FRQGXFWRIRSHUDWLRQV$UP\IRUFHVDUHPRVWVXFFHVVIXOZKHQWKH\V\QFKURQL]HDQG FRQYHUJHHIIHFWVDFURVV
WKHEUHDGWKDQGGHSWKRIWKHLUDVVLJQHG$2VZLWKLQWKHVFRSHRIWKHLUPLVVLRQ/DUJHVFDOHFRPEDWRSHUDWLRQV
UHTXLUHKLJKHUHFKHORQKHDGTXDUWHUVWRHPSRZHUWDFWLFDORUJDQL]DWLRQVWRPDNHGHFLVLRQVDQGDFWDQGKLJKHU
HFKHORQKHDGTXDUWHUVHQDEOHORZHUHFKHORQVZLWKLQWKHLUFDSDELOLWLHV$VDQH[DPSOHWKHUHDUHQDWLRQDOOHYHO
VSDFH DQG F\EHUVSDFHFDSDELOLWLHV WKDW FDQ HQJDJH VSHFLILFWDUJHW VHWVWR VXSSRUW WDFWLFDO HQJDJHPHQWV
&RPPDQGHUVDQGVWDIIVXQGHUVWDQGSODQIRUDQGUHTXHVWHIIHFWVDYDLODEOHIURPWKHVHQDWLRQDOOHYHODVVHWVLQ
PXFKWKHVDPHZD\WKH\GRMRLQWILUHV)RUWDFWLFDOFRPPDQGVWRVXFFHVVIXOO\RUFKHVWUDWHWKHYDULRXVGRPDLQV
DQGIXQFWLRQVSODQQHUVPXVWQRWDVVXPHKLJKHUOHYHOHIIHFWVDUHEH\RQGWKHLUVFRSH+RZHYHUVXFKUHTXHVWV
PXVWJHQHUDOO\EHPDGHLQDGYDQFH RIFRPEDWRSHUDWLRQVDQGWKHH[HFXWLRQDQGUHVXOWVRIVXFKUHTXHVWVPD\
QRWDOZD\VEHNQRZQWRWKHFRPPDQGHURQWKHJURXQG
 ,W LVOLNHO\WKDW $UP\ IRUFHVZLOOEH UHTXLUHGWRGHIHQG DJDLQVW HQHP\IRUFHVZLWK ORFDOO\VXSHULRU
FDSDELOLWLHVDWWKHEHJLQQLQJRIODUJHVFDOHFRPEDWRSHUDWLRQV(QHP\IRUFHVDUHPRVWOLNHO\WRDWWDFNZKHQ
WKH\ KDYH D SRVLWLRQ RI UHODWLYH DGYDQWDJH DQG IULHQGO\ IRUFHVDUH PRVW YXOQHUDEOH SDUWLFXODUO\ ZKHQ
FRQGLWLRQVPDNHHIIHFWLYHHPSOR\PHQWRIMRLQWIRUFHFDSDELOLWLHVGLIILFXOW 6HHFKDSWHUIRUDGLVFXVVLRQRI
ODUJHVFDOHGHIHQVLYHRSHUDWLRQV 
 $UP\ IRUFHVPD\FRQGXFWODUJHVFDOHFRPEDWRSHUDWLRQVLQXUEDQ DUHDVZLWKLQ WKH-2$ RUWKHDWHURI
RSHUDWLRQV&XUUHQWO\PRUHWKDQSHUFHQWRIWKHZRUOG¶VSRSXODWLRQOLYHVLQXUEDQDUHDVDQGWKLVLVOLNHO\
WRLQFUHDVHWRSHUFHQWE\PDNLQJODUJHVFDOHFRPEDWRSHUDWLRQVLQFLWLHVOLNHO\&RPPDQGHUVPD\
FRQGXFWXUEDQRSHUDWLRQVEHFDXVHWKH\SURYLGHDWDFWLFDOSROLWLFDORUHFRQRPLFDGYDQWDJHRUZKHQQRWGRLQJ
VRWKUHDWHQVWKHMRLQWFDPSDLJQ$UP\ IRUFHVFRQGXFWODUJHVFDOHFRPEDWRSHUDWLRQVLQXUEDQDUHDVHLWKHUDV
D VSHFLILFXQLTXHRSHUDWLRQRUPRUHW\SLFDOO\DVRQHRIDODUJHUVHULHVRIRSHUDWLRQVLQDMRLQWFDPSDLJQ
8UEDQRSHUDWLRQVIRFXVRQWKHWKUHDWWRRUZLWKLQWKHXUEDQDUHDDQGDOORZRWKHUIRUFHVWRFRQGXFWRSHUDWLRQV
HOVHZKHUH&RQGXFWLQJ RSHUDWLRQVLQ GHQVH XUEDQ WHUUDLQLV FRPSOH[DQG UHVRXUFHLQWHQVLYH 'XH WRWKH
FRPSOH[LW\ RI DQ XUEDQ HQYLURQPHQW FRPPDQGHUV PXVW FDUHIXOO\ DUUDQJH WKHLU IRUFHVDQG RSHUDWLRQV
DFFRUGLQJWRSXUSRVHWLPHDQG VSDFHWRDFFRPSOLVKWKHPLVVLRQ,Q PRVWXUEDQ RSHUDWLRQVWKHWHUUDLQWKH
GHQVHSRSXODWLRQ PLOLWDU\IRUFHVDQG XQLILHGDFWLRQSDUWQHUVZLOOIXUWKHUFRPSOLFDWHWKLVDUUDQJHPHQW 6HH
)0IRUDQLQGHSWKGLVFXVVLRQRIRSHUDWLRQVLQXUEDQDUHDV 
 7KH SHUIRUPDQFHRIRIIHQVLYHWDVNVLVWUDGLWLRQDOO\DVVRFLDWHGZLWK D IDYRUDEOHFRPEDWSRZHUUDWLR
&RPEDWPXOWLSOLHUVRIWHQSURYLGHSRVLWLRQVRIUHODWLYHDGYDQWDJHHYHQZKHQ$UP\IRUFHVDUHRXWQXPEHUHG
1XPHULFDO VXSHULRULW\LV QRW D SUHFRQGLWLRQIRU SHUIRUPLQJ RIIHQVLYH WDVNV 5DWKHU FRPPDQGHUV PXVW
FRQWLQXRXVO\VHHNHYHU\RSSRUWXQLW\WRVHL]HWKHLQLWLDWLYHWKURXJKRIIHQVLYHWDVNVHYHQZKHQWKHIRUFHDVD
ZKROHLVRQWKHGHIHQVH7KLVUHTXLUHVFRPPDQGHUVWRSHUIRUPHFRQRP\RIIRUFHPHDVXUHVWRDGHTXDWHO\
UHVRXUFHWKHLUPDLQHIIRUWV0RELOLW\VXUSULVHDQGDJJUHVVLYHH[HFXWLRQDUHWKHPRVWHIIHFWLYHPHDQVIRU
DFKLHYLQJWDFWLFDOVXFFHVVZKHQSHUIRUPLQJERWKRIIHQVLYHDQGGHIHQVLYHWDVNV%ROGDJJUHVVLYHWDFWLFVPD\
LQYROYH VLJQLILFDQWULVNKRZHYHUJUHDWHUJDLQVQRUPDOO\UHTXLUHJUHDWHUULVNV$QXPHULFDOO\LQIHULRUIRUFH
FDSDEOHRIEROGDQGDJJUHVVLYHDFWLRQFDQFUHDWHRSSRUWXQLWLHVWRVHL]HDQGH[SORLWWKHLQLWLDWLYH 6HHFKDSWHU
IRUDGLVFXVVLRQRIODUJHVFDOHRIIHQVLYHRSHUDWLRQV 

7+5($7
$ JHQHUDOLQDOORIKLVSURMHFWVVKRXOGQRWWKLQNVRPXFKDERXWZK DWKHZLVKHVWRGRDV
ZKDWKLVHQHP\ZLOOGRWKDWKHVKRXOGQHYHUXQGHUHVWLPDWHWKLVHQHP\EXWKHVKRXOGSXW
KLPVHOILQKLVSODFHWRDSSUHFLDWHGLIILFXOWLHVDQGKLQGUDQFHVWKHHQHP\FRXOGLQWHUSRVH
WKDWKLVSODQVZLOOEHGHUDQJHGDWWKHVOLJKWHVWHYHQWLIKHKDVQRWIRUHVHHQHYHU\WKLQJDQG
LIKHKDVQRWGHYLVHGPHDQVZLWKZKLFKWRVXUPRXQWWKHREVWDFOHV
)UHGHULFN WKH*UHDW

6 December 2017 FM 3-0, C1 5-5


Chapter 5

 7KH HQHP\ZLOOVHHNWRUHQGHU86 FRPEDWSRZHULQHIIHFWLYHE\ V\VWHPLFDQG FRQWLQXDODWWDFNVLQ


PXOWLSOHGRPDLQV DQG WKH LQIRUPDWLRQHQYLURQPHQW EHIRUHDQG GXULQJ FRPEDW RSHUDWLRQV7KLV LQFOXGHV
DWWDFNVRQ86 VXVWDLQPHQWDFWLYLWLHVDQG PLVVLRQFRPPDQGQHWZRUNVLQDGGLWLRQWRWUDGLWLRQDODWWDFNVRQ
PDQHXYHUIRUFHV7KHHQHP\ZLOODWWHPSWWRLVRODWHDQGFRQWDLQIULHQGO\PDQHXYHUIRUPDWLRQVDQGIRUFHWKHP
LQWRHQJDJHPHQWVWKDWGRQRWEHDURQWKHGHFLVLYHSRLQW7KHGHVWUXFWLRQRIKLJKYLVLELOLW\RUXQLTXHV\VWHPV
HPSOR\HGE\ 86 IRUFHVRIIHUVH[SRQHQWLDOYDOXH LQWHUPVRIHQHP\JRDOV7KHVHDFWLRQVDUH QRW DOZD\V
OLQNHGWRPLOLWDU\REMHFWLYHV7KH\RIWHQVHHNWRPD[LPL]HHIIHFWVLQWKHLQIRUPDWLRQDQGSV\FKRORJLFDODUHQDV
WRDFKLHYHSROLWLFDOREMHFWLYHV
 )ULHQGO\ KLJKYDOXH V\VWHPVWKDW FRXOGEH LGHQWLILHGIRUGHVWUXFWLRQE\ WKH HQHP\ LQFOXGH VWHDOWK
DLUFUDIWDWWDFNKHOLFRSWHUVFRXQWHUEDWWHU\DUWLOOHU\UDGDUVDHULDOVXUYHLOODQFHSODWIRUPVRUORQJUDQJHILUHV
V\VWHPV/RVVHVRIWKHVHV\VWHPVGHJUDGHRSHUDWLRQDOFDSDELOLW\DQGLQKLELWHPSOR\PHQWRIFULWLFDOZHDSRQV
V\VWHPV&RPPDQGHUVVKRXOG DVVXPH HQHP\ XVH RI SUHFLVLRQPXQLWLRQVPDVVHG ILUHVDQG DUHD HIIHFWV
PXQLWLRQV (QHP\ XVH RI FDPRXIODJHGHFHSWLRQGHFR\ RU PRFNXS V\VWHPVFDQ GHJUDGH WKH HIIHFWVRI
IULHQGO\ VHQVRUV\VWHPV$OVR HQHPLHVFDQ HPSOR\ JOREDO SRVLWLRQLQJV\VWHPMDPPLQJ WR GLVUXSW 86
SUHFLVLRQPXQLWLRQV WDUJHWLQJ VHQVRUWRVKRRWHU OLQNV DQG QDYLJDWLRQ $Q HQHP\ FRPPDQGHU PD\ XVH
ORQJUDQJHPLVVLOHVDQGURFNHWVDGYDQFHGDLUGHIHQVHVHQVRUDQG(:ZHDSRQVXQPDQQHG DLUFUDIWV\VWHPV
8$6V SUHFLVLRQJXLGHGDUWLOOHU\DUHDGHQLDOPXQLWLRQVDQGGLUHFWHGHQHUJ\ZHDSRQVWRGHJUDGH$UP\DQG
MRLQWFDSDELOLWLHV
 3HHUWKUHDWVZLOOPLQLPL]HPDVVHGIRUPDWLRQVSDWWHUQHGHFKHORQPHQWDQGOLQHDURSHUDWLRQVZKHQHYHU
SRVVLEOH7KH\ ZLOO KLGHDQG GLVSHUVHIRUFHVLQDUHDVRIVDQFWXDU\WROLPLWWKHDELOLW\RIIULHQGO\IRUFHVWR
DSSO\ WKHLUIXOOUDQJHRIFDSDELOLWLHV7KH\ZLOODWWHPSWWRUHWDLQWKHDELOLW\WRUDSLGO\PDVVIRUFHVDQGILUHV
IURPGLVSHUVHGORFDWLRQVDWWKHWLPHVDQGSODFHVRIWKHLUFKRRVLQJ:KHQHYHUSRVVLEOHDQHQHP\ZLOOXVHWKH
SK\VLFDOHQYLURQPHQWDQGQDWXUDOFRQGLWLRQVWRQHXWUDOL]HRURIIVHW86LQIRUPDWLRQFROOHFWLRQDVVHWV
 3HHU WKUHDWV FRQWHVW 86 IRUFHV DFURVV DOO GRPDLQV LQFOXGLQJ DLU PDULWLPH ODQG VSDFH DQG
F\EHUVSDFH7KH\ FRQWHVW86 XVH RIWKH (06 DQG WKH LQIRUPDWLRQHQYLURQPHQW (QHPLHVDUH OLNHO\ WR
HPSOR\$ VWUDWHJLHVWRSUHYHQWWKHMRLQWIRUFH¶VDELOLW\WRSURMHFWDQG VXVWDLQFRPEDWSRZHULQWRDUHJLRQ
DQGDUHDGHQLDOVWUDWHJLHVWRFRQVWUDLQ86IRUFHV¶IUHHGRPRIDFWLRQZLWKLQWKHUHJLRQ$VVXUHGDFFHVV²WKH
XQKLQGHUHG QDWLRQDO XVH RI WKH JOREDO FRPPRQV DQG VHOHFWHGVRYHUHLJQ WHUULWRU\ZDWHUV DLUVSDFH DQG
F\EHUVSDFH²LVDFKLHYHG E\ SURMHFWLQJDOO WKH LQVWUXPHQWVRI QDWLRQDO SRZHU 2IWHQ 86 IRUFHVUHTXLUH
RSHUDWLRQDODFFHVVZKLFK LV WKH DELOLW\ WRSURMHFWPLOLWDU\ IRUFHLQWRDQ RSHUDWLRQDODUHD ZLWK VXIILFLHQW
IUHHGRPRIDFWLRQWRDFFRPSOLVKWKHPLVVLRQ

67$%,/,7< ,1/$5*(6&$/( &20%$723(5$7,216


/LPLWHGUHVRXUFHVDQGFDSDELOLWLHVRIWHQPDNHLWLPSRVVLEOHWRDFFRPSOLVKDOOREMHFWLYHVDW
RQFH7KHUHIRUHWKHGHVLJQDWLRQRISULRULWLHVDOORFDWLRQRIUHVRXUFHVDQGDVVLJQPHQWRI
WDVNVUHTXLUHFDUHIXOFRQVLGHUDWLRQ3ODQVPXVWEHDSSUDLVHGUHDOLVWLFDOO\LQWKHOLJKWRI
WKHLUVKRUWDQGORQJUDQJHLPSDFWRQWKHSRSXODWLRQDQGRQWKHEHQHILWVZKLFKZLOODFFUXH
WRWKHJRYHUQPHQW
)0 Stability Operations 

 *HQHUDOO\ WKH UHVSRQVLELOLW\IRU SURYLGLQJ IRU WKH QHHGVRI WKH FLYLOLDQ SRSXODWLRQ UHVWVZLWK WKH
KRVWQDWLRQJRYHUQPHQWRUGHVLJQDWHGFLYLODXWKRULWLHVDJHQFLHVDQGRUJDQL]DWLRQV$UP\IRUFHVSHUIRUP
PLQLPXPHVVHQWLDOVWDELOLW\WDVNVWRSURYLGHVHFXULW\IRRGZDWHUVKHOWHUDQGPHGLFDOWUHDWPHQWZKHQWKHUH
LVQR OHJLWLPDWHFLYLO DXWKRULW\ SUHVHQW&RPPDQGHUVDVVHVVDYDLODEOH UHVRXUFHVDJDLQVWWKHLUPLVVLRQVWR
GHWHUPLQHKRZEHVWWRFRQGXFWWKHVHPLQLPXPHVVHQWLDOVWDELOLW\WDVNVDQGZKDWULVNVPXVWEHDFFHSWHG 6HH
$'53IRUDGGLWLRQDOLQIRUPDWLRQRQPLQLPDOHVVHQWLDOVWDELOLW\WDVNV 
 /DUJHVFDOHFRPEDWRSHUDWLRQVLQYROYH WKHFRPELQDWLRQRIRIIHQVHGHIHQVHDQGVWDELOLW\WDVNV 7KH
SULRULWLHV DQG HIIRUW JLYHQ WR VWDELOLW\ WDVNV YDU\ ZLWKLQ VXERUGLQDWH XQLW $2V &RUSV DQG GLYLVLRQ
FRPPDQGHUVDQDO\]H WKH VLWXDWLRQVWKH\ IDFHWR GHWHUPLQHWKH PLQLPXPHVVHQWLDOVWDELOLW\ WDVNV DQG WKH
SULRULW\DVVRFLDWHGZLWK HDFKWDVN7KLV DQDO\VLVLQFOXGHVD SODQQHG WUDQVLWLRQWRFRQVROLGDWLRQRIJDLQVLQ
RSHUDWLRQDODUHDVRQFHODUJHVFDOHFRPEDWRSHUDWLRQVFXOPLQDWH

5-6 FM 3-0, C1 6 December 2017


/DUJH6FDOH&RPEDW 2SHUDWLRQV

67$%,/,7< 7$6.6
 6WDELOLW\ WDVNV GXULQJ ODUJHVFDOHFRPEDW RSHUDWLRQVLQFOXGH UHVWRUDWLRQRI HVVHQWLDOVHUYLFHV DQG
SRSXODWLRQFRQWUROLQDUHDVFRQWUROOHGE\IULHQGO\IRUFHV'XULQJWKHSHUIRUPDQFHRIGHIHQVLYHWDVNVIRUFHV
SURWHFWFLYLOLDQVIURPHQHP\DWWDFNVPDLQWDLQFRQWURORUHYDFXDWHFLYLOLDQVIURP$2VFRQWUROOHGE\IULHQGO\
XQLWV ,QLWLDOO\ WKH SHUIRUPDQFHRI VWDELOLW\ WDVNV PD\ EH LQFLGHQWDO WR FRPEDW RSHUDWLRQV 'LYLVLRQV
FRQGXFWLQJODUJHVFDOHFRPEDWRSHUDWLRQVDUHQRWWDVNRUJDQL]HGWRVLPXOWDQHRXVO\SHUIRUPVWDELOLW\WDVNV
EXWWKH\RIWHQLQFOXGHFLYLODIIDLUV &$ XQLWVLQWKHLURUJDQL]DWLRQV$FRUSVKHDGTXDUWHUVUHWDLQVFRQWURORYHU
IXQFWLRQDOVXSSRUW EULJDGHV VXFK DV PLOLWDU\SROLFH 03 DQG HQJLQHHUVVRLW FDQ UHLQIRUFH VXERUGLQDWH
GLYLVLRQVRUGLUHFWWKHSHUIRUPDQFHRIVWDELOLW\WDVNV$FRUSVKHDGTXDUWHUVDGMXVWVVXERUGLQDWHGLYLVLRQWDVN
RUJDQL]DWLRQVLQDQWLFLSDWLRQRIWKHPSHUIRUPLQJVWDELOLW\WDVNVDVFRPEDWUHTXLUHPHQWVGLPLQLVK
 &RPPDQGHUVDWDOOHFKHORQVSODQIRUORJLVWLFDQGPHGLFDOVXSSRUWWRLQGLJHQRXVSRSXODWLRQVDIIHFWHG
E\ FRPEDWRSHUDWLRQV7KHODQG FRPSRQHQWFRUSVDQG GLYLVLRQKHDGTXDUWHUVVWDIIVW\SLFDOO\ZRUNGLUHFWO\
ZLWK DQ\ KRVWQDWLRQDXWKRULWLHVORFDWHGZLWKLQ RU UHVSRQVLEOHIRU SRUWLRQVRI WKHLU $2V WR LGHQWLI\ WKH
PLQLPXPHVVHQWLDOVXSSRUWWKDW86IRUFHVPXVWSURYLGHWRPHHWLQWHUQDWLRQDODFFRUGV&RUSVDQG GLYLVLRQ
VWDIIVFROODERUDWHZLWKWKHODQGFRPSRQHQWWKHDWHUDUP\ DQGMRLQWWDVNIRUFHVWDIIWRIRUHFDVWUHTXLUHPHQWV
IRUHDFK VXFFHVVLYHSKDVHRIRSHUDWLRQV$V UHTXLUHGWKH WKHDWHUDUP\ UHTXHVWVDGGLWLRQDO$UP\ XQLWV WR
PDQDJHVWDELOLW\WDVNVLQLWV$2
 &RPPDQGHUVPXVW RIWHQUHRUJDQL]HWKHLUIRUFHV WRSHUIRUPVWDELOLW\WDVNV GXULQJ WKH FRXUVHRI DQ
RSHUDWLRQ7KLV LV HVSHFLDOO\WKH FDVH DV FRUSV DQG GLYLVLRQ FRQVROLGDWLRQDUHDV DUH HVWDEOLVKHG &RUSV
GLYLVLRQDQG %&7 FRPPDQGHUVDVVLVWHGE\ DWWDFKHGRUVXSSRUWLQJ&$ XQLWVLGHQWLI\WKHLQLWLDOUHVSRQVH
WUDQVIRUPDWLRQDQG IRVWHULQJVXVWDLQDELOLW\VWDELOLW\UHTXLUHPHQWVRIWKHLUUHVSHFWLYH $2V 7KH\ SODQ WKH
SHUIRUPDQFHRIVWDELOLW\WDVNVDQGWKHLUDVVRFLDWHGWUDQVLWLRQVIURPPLOLWDU\XQLWVWROHJLWLPDWHDXWKRULWLHV
 &RUSV DQG GLYLVLRQ FRPPDQGHUV SODQ WKH WLPH DQG PHWKRG QHFHVVDU\ WR WDVNRUJDQL]H IRUFHV
UHDOORFDWHVXERUGLQDWH$2VDQG SULRULWLHVRIVXSSRUWDQG UHTXHVWDGGLWLRQDOIRUFHVWRSHUIRUPSUHYLRXVO\
LGHQWLILHGVWDELOLW\WDVNVXVLQJWKHDERYHLQIRUPDWLRQ7KHVHDGGLWLRQDOIRUFHVQRUPDOO\LQFOXGH03PHGLFDO
ORJLVWLFVJHQHUDOHQJLQHHULQJDQG H[SORVLYHRUGQDQFHGLVSRVDO (2' XQLWV03XQLWVSURYLGHSRSXODWLRQ
FRQWURODQGLQIUDVWUXFWXUHVHFXULW\0HGLFDOXQLWVSURYLGHSXEOLFKHDOWKVHUYLFHV/RJLVWLFVXQLWVSURYLGHIRRG
DQG ZDWHU LQFOXGLQJ ZDWHU SXULILFDWLRQ DQG EXON ZDWHU WUDQVSRUW *HQHUDO HQJLQHHULQJ XQLWV UHSDLU
LQIUDVWUXFWXUHRUSURYLGHHPHUJHQF\VKHOWHU(2' XQLWVFOHDUXQH[SORGHGRUGQDQFHZLWKLQ WKHLUFDSDELOLW\
DFFRUGLQJWRWKHFRPPDQGHU¶VSULRULWLHV+RZHYHUWKH86GRHVQRWFRQGXFWKXPDQLWDULDQGHPLQLQJ
 &$ DQG SV\FKRORJLFDORSHUDWLRQVXQLWVDQG RWKHULQIRUPDWLRQUHODWHGFDSDELOLW\ ,5&  XQLWVVXSSRUW
VWDELOLW\WDVNV GXULQJ ODUJHVFDOHFRPEDWRSHUDWLRQVHQJDJLQJ WKH FLYLOLDQ SRSXODWLRQ ZLWKLQ WKHFRUSVRU
GLYLVLRQ $2 7KH\ DOVRWDUJHWVHOHFWHGIRUHLJQFLYLOLDQ SRSXODWLRQVRXWVLGHRIWKRVH$2V 7KH\ SXEOLFL]H
FXUIHZVFKHFNSRLQWSURFHGXUHVHYDFXDWLRQ URXWHVIRRGDQG ZDWHU GLVWULEXWLRQSRLQWVHPHUJHQF\KHDOWK
FDUH DQG QHFHVVDU\YHFWRUFRQWUROPHDVXUHVWR DVVLVWWKH RYHUDUFKLQJ VWDELOLW\ HIIRUWPLQLPL ]H FLYLOLDQ
FDVXDOWLHVIDFLOLWDWHIUHHGRPRIPRYHPHQWDQGDYHUWSRWHQWLDOKXPDQLWDULDQWUDJHGLHV

23(5$7,216,17+( 6833257 $1'&2162/,'$7,21 $5($6


,QWKHSDVWFRPEDWRSHUDWLRQVLQWKHUHDUDUHDKDYHSURYHQWREHGLIILFXOWWRGHIHQGDJDLQVW
DQGWREHYHU\GLVUXSWLYHWRIRUZDUGVXSSRUW
)0 Rear Battle 

 $FRUSVRUGLYLVLRQFRPPDQGHUW\SLFDOO\DVVLJQVUHVSRQVLELOLW\IRUDFRUSVRUGLYLVLRQVXSSRUWDUHDWR
DPDQHXYHU HQKDQFHPHQWEULJDGH 0(% ZKLOHDVVLJQLQJUHVSRQVLELOLW\IRUWKHFRQVROLGDWLRQDUHDWRDWDVN
RUJDQL]HG %&7 LQ WKH GLYLVLRQ  RU D WDVNRUJDQL]HG GLYLVLRQ LQ WKH FRUSV  7KH IRUFHVQHFHVVDU\ WR
FRQVROLGDWHJDLQVUHSUHVHQWDVHSDUDWHDQG GLVWLQFWUHTXLUHPHQWEH\RQGWKH%&7V DQG GLYLVLRQVUHTXLUHGWR
FRQGXFWFORVHDQGGHHSRSHUDWLRQV7RSURSHUO\FRQVROLGDWHJDLQVWKHWKHDWHUDUP\PXVWSODQDQGUHTXHVWWKH
DGGLWLRQDOUHTXLUHGIRUFHVWKURXJKWKHIRUFHWDLORULQJSURFHVVGXULQJWKHHDUO\VWDJHVRIWKHFRQIOLFWEXLOGXS
 )RUD YDULHW\ RIUHDVRQVHFKHORQVSHFLILFVXSSRUWDUHDVPD\ RUPD\ QRWEH ORFDWHGZLWKLQ D ODUJHU
FRQVROLGDWLRQ DUHD DVVLJQHG WR D %&7 RU GLYLVLRQ +RZHYHU SRVLWLRQLQJ WKH VXSSRUW DUHD ZLWKLQ D
FRQVROLGDWLRQDUHDZKHQSRVVLEOHUHGXFHVWKHDUHDVHFXULW\EXUGHQRQWKH0(%VLJQLILFDQWO\7KHSURYLVLRQ
RID%&7 KHDGTXDUWHUVZLWKLWVDVVRFLDWHG8QLWHG6WDWHV$LU)RUFH 86$) WDFWLFDODLUFRQWUROSDUW\HQDEOHV

6 December 2017 FM 3-0, C1 5-7


Chapter 5

WKHUDSLGHPSOR\PHQWRIMRLQWILUHVDJDLQVWWKUHDWVWRIULHQGO\XQLWVLQWKHVXSSRUWDUHD/LNHZLVHDGLYLVLRQ
KHDGTXDUWHUVZLWK LWVDVVRFLDWHG86$) WKHDWHUDLUFRQWUROV\VWHPVHOHPHQWDQGMRLQWDLUJURXQGLQWHJUDWLRQ
FHQWHU -$*,&  HQDEOHVWKHUDSLG HPSOR\PHQWRIMRLQWILUHVLQWKHFRUSVFRQVROLGDWLRQDUHD7KH 0(% LV
VSHFLILFDOO\RUJDQL]HG WR H[HFXWHWKH QLQH GRFWULQDO UHVSRQVLELOLWLHV LQKHUHQW WR D XQLW DVVLJQHG DQ $2
'LYLVLRQ FRPPDQGHUVW\SLFDOO\DVVLJQ WKHLUWDVNRUJDQL]HG0(% UHVSRQVLELOLW\IRUEDVH DQG EDVH FOXVWHU
GHIHQVHZLWKLQWKHGLYLVLRQVXSSRUWDUHD

6XSSRUWRI%DVH6HFXULW\ DQG'HIHQVH
 $Q DVVLJQHG XQLW FRQGXFWVDQG FRRUGLQDWHVEDVH FDPS DQG EDVH FOXVWHUVHFXULW\DQG GHIHQVH7KH
DVVLJQHGXQLWLVUHVSRQVLEOHIRUDUHDVHFXULW\EDVHDQGEDVHFOXVWHUVHFXULW\DQGGHIHQVHZLWKLQLWV$27KH
GHVLJQDWHGEDVHFDPSFRPPDQGHURUEDVHRSHUDWLQJVXSSRUWLQWHJUDWRUZLWKLQWKHDVVLJQHGXQLW¶V$2VKRXOG
EH XQGHU WKH WDFWLFDO FRQWURO 7$&21  RI WKH DVVLJQHG XQLW¶V FRPPDQGHU 7KH EDVH RSHUDWLQJ
VXSSRUWLQWHJUDWRU LV WKH GHVLJQDWHG VHUYLFH FRPSRQHQW RU MRLQW WDVN IRUFH FRPPDQGHU DVVLJQHG WR
V\QFKURQL]HDOOVXVWDLQPHQWIXQFWLRQVIRUDFRQWLQJHQF\EDVH7KHHOHPHQWVRSHUDWLQJZLWKLQLQGLYLGXDOEDVHV
RUEDVHFDPSVVKRXOGEHXQGHUWKHRSHUDWLRQDOFRQWURO 23&21 RU7$&21RIWKHEDVHFDPSFRPPDQGHU
7KH DVVLJQHGXQLWWDVNVWKHVHWHQHWRUJDQL]DWLRQVWRFRQGXFWLQIRUPDWLRQFROOHFWLRQVHFXULW\DQG ORFDORU
SHULPHWHUGHIHQVHRSHUDWLRQV
 7KHDVVLJQHGXQLWLQWHJUDWHVWKHEDVHDQG EDVHFOXVWHUVHFXULW\DQGVHOIGHIHQVHSODQV(LWKHUWKHEDVH
FDPS FRPPDQGHU RU EDVH RSHUDWLQJ VXSSRUWLQWHJUDWRUSHUIRUPWKLV DGGLWLRQDO UHVSRQVLELOLW\XQGHU WKH
RYHUVLJKWRIWKHDVVLJQHGXQLWFRPPDQGHU7KH DVVLJQHGXQLWFDQPDVVIRUFHVFDSDELOLWLHVRUV\VWHPVIURP
VHYHUDOEDVHVRUEDVHFOXVWHUVWRLQWHJUDWHV\QFKURQL]HDQG PDVVFRPEDWSRZHUWRGHIHDWDOHYHO ,,, WKUHDW
3DUDJUDSKV WKURXJK GLVFXVVWKUHDW OHYHOV 6HH $73 IRUGHWDLOV RQ EDVH VHFXULW\DQG
GHIHQVH 
 7KUHDWVLQWKHGLYLVLRQVXSSRUWDUHDDUHFDWHJRUL]HGE\WKHWKUHHOHYHOVRIGHIHQVHUHTXLUHGWRFRXQWHU
WKHP$Q\RUDOOWKUHDWOHYHOVPD\H[LVWVLPXOWDQHRXVO\LQWKHGLYLVLRQVXSSRUWDUHD(PSKDVLVRQEDVHGHIHQVH
DQG VHFXULW\PHDVXUHVPD\ GHSHQGRQWKHDQWLFLSDWHGWKUHDWOHYHO$ /HYHO, WKUHDWLVD VPDOOHQHP\IRUFH
WKDWFDQEHGHIHDWHGE\WKRVHXQLWVQRUPDOO\RSHUDWLQJLQWKHHFKHORQVXSSRUWDUHDRUE\WKHSHULPHWHUGHIHQVHV
HVWDEOLVKHGE\IULHQGO\EDVHVDQG EDVHFOXVWHUV $73 $/HYHO,WKUHDWIRUDW\SLFDOEDVHFRQVLVWVRID
VTXDGVL]HGXQLWRUVPDOOHUJURXSVRIHQHP\VROGLHUVDJHQWVRUWHUURULVWV7\SLFDOREMHFWLYHVIRUD /HYHO,
WKUHDWLQFOXGHVXSSO\LQJWKHPVHOYHVIURPIULHQGO\VXSSO\VWRFNVGLVUXSWLQJIULHQGO\PLVVLRQFRPPDQGQRGHV
DQGORJLVWLFVIDFLOLWLHVDQGLQWHUGLFWLQJIULHQGO\OLQHVRIFRPPXQLFDWLRQ
 $ /HYHO,, WKUHDW LVDQ HQHP\ IRUFHRUDFWLYLWLHVWKDW FDQ EH GHIHDWHGE\ D EDVHRUEDVH FOXVWHU¶V
GHIHQVLYHFDSDELOLWLHVZKHQDXJPHQWHGE\D UHVSRQVHIRUFH $73 $W\SLFDOUHVSRQVHIRUFHLVDQ03
SODWRRQ ZLWKDSSURSULDWHVXSSRUWLQJILUHV KRZHYHULWFDQEHDFRPELQHGDUPVPDQHXYHUHOHPHQW/HYHO,,
WKUHDWVFRQVLVWRIHQHP\VSHFLDORSHUDWLRQVWHDPVORQJUDQJHUHFRQQDLVVDQFHXQLWVPRXQWHGRUGLVPRXQWHG
FRPEDWUHFRQQDLVVDQFHWHDPVDQG SDUWLDOO\DWWULWHGVPDOOFRPEDWXQLWV7\SLFDO REMHFWLYHVIRU D /HYHO ,,
WKUHDWLQFOXGHWKHGHVWUXFWLRQDVZHOODVWKHGLVUXSWLRQRIIULHQGO\PLVVLRQFRPPDQGQRGHVDQGORJLVWLFVDQG
FRPPHUFLDOIDFLOLWLHVDQGWKHLQWHUGLFWLRQRIIULHQGO\OLQHVRIFRPPXQLFDWLRQV
 $ /HYHO,,, WKUHDWLVDQHQHP\IRUFHRUDFWLYLWLHVEH\RQGWKHGHIHQVLYHFDSDELOLW\RIERWKWKHEDVHDQG
EDVHFOXVWHUDQGDQ\ORFDOUHVHUYHRUUHVSRQVHIRUFH $73 ,WFRQVLVWVRIPRELOHHQHP\FRPEDWIRUFHV
3RVVLEOHREMHFWLYHVIRUD /HYHO ,,, WKUHDW LQFOXGHVHL]LQJNH\ WHUUDLQLQWHUIHULQJ ZLWK WKH PRYHPHQW DQG
FRPPLWPHQWRIUHVHUYHVDQGDUWLOOHU\DQGGHVWUR\LQJIULHQGO\FRPEDWIRUFHV,WVREMHFWLYHVFRXOGDOVRLQFOXGH
GHVWUR\LQJIULHQGO\VXVWDLQPHQWIDFLOLWLHVVXSSO\SRLQWVFRPPDQGSRVWIDFLOLWLHVDLUILHOGVDYLDWLRQDVVHPEO\
DUHDVDUPLQJ DQG UHIXHOLQJSRLQWVDQG LQWHUGLFWLQJOLQHVRIFRPPXQLFDWLRQVDQG PDMRUVXSSO\ URXWHV7KH
GLYLVLRQUHVSRQVHWRD/HYHO,,, WKUHDWLVDWDFWLFDOFRPEDWIRUFH 7&) $ WDFWLFDOFRPEDWIRUFHLVDUDSLGO\
GHSOR\DEOHDLUJURXQG PRELOHFRPEDWXQLW ZLWK DSSURSULDWHFRPEDWVXSSRUWDQG FRPEDWVHUYLFHVXSSRUW
DVVHWVDVVLJQHGWRDQGFDSDEOHRIGHIHDWLQJ/HYHO,,,WKUHDWVLQFOXGLQJFRPELQHGDUPV -3 
 (DFKGHVLJQDWHGEDVHDQGEDVHFOXVWHUFRPPDQGHURUEDVHRSHUDWLQJVXSSRUWLQWHJUDWRULVUHVSRQVLEOH
IRURUJDQL]LQJ DQGSUHSDULQJHLWKHUDQ LQLWLDOUHVSRQVHIRUFHRUDPRELOHVHFXULW\IRUFH$QLQLWLDOUHVSRQVH
IRUFHFRPHVIURPWKHDVVHWVRIWKHEDVH¶VDVVLJQHGDWWDFKHG23&21RU7$&21 XQLWV$ PRELOHVHFXULW\
IRUFHW\SLFDOO\DQ03XQLWFRPHVIURPVXSSRUWLQJRUUHLQIRUFLQJFRPEDWIRUFHVGLUHFWHGWRFRQGXFWFRPEDW
RSHUDWLRQVLQVXSSRUWRIWKHXQLWRZQLQJWKH$27KHLQLWLDOUHVSRQVHIRUFHRSHUDWHVXQGHUFRQWURORILWVEDVH

5-8 FM 3-0, C1 6 December 2017


/DUJH6FDOH&RPEDW 2SHUDWLRQV

GHIHQVHRSHUDWLRQVFHQWHUWRGHIHDW/HYHO,DQGVRPH/HYHO,,WKUHDWVXQWLOWKHEDVHFOXVWHUFRPPDQGHUFDQ
UHVSRQGZLWKWKHPRELOHVHFXULW\IRUFHRU7&)
 $EDVHFOXVWHUFRPPDQGHULVUHVSRQVLEOHIRURUJDQL]LQJDQGSUHSDULQJDPRELOHVHFXULW\IRUFHIRU/HYHO
,, WKUHDWV IURP WKH DVVHWV DYDLODEOH ZLWKLQ WKH EDVH FOXVWHU 7KH PRELOH VHFXULW\ IRUFHDVVHPEOHV DQG
FRXQWHUDWWDFNVWR HOLPLQDWH/HYHO ,, WKUHDWV 7KH EDVH FOXVWHUFRPPDQGHU UHFRQVWLWXWHVDQRWKHU PRELOH
VHFXULW\IRUFHXSRQ FRPPLWPHQWRI WKH RULJLQDO UHVSRQVHIRUFH7KH EDVH FOXVWHUFRPPDQGHU RU EDVH
RSHUDWLQJVXSSRUWLQWHJUDWRUQRWLILHVWKHORFDOFRPPDQGHUZKHQD/HYHO,,WKUHDWLVGHWHFWHGRUEHLQJUHDFWHG
WR7KHFRPPDQGHUW\SLFDOO\UHVSRQGVWRD/HYHO,,,WKUHDWZLWKDUHVHUYHRUGHGLFDWHG7&)

7DFWLFDO &RPEDW)RUFH LQWKH6XSSRUW$UHD


 6XSSRUWDUHDFRPPDQGHUVGHIHDW/HYHO,DQGVRPH/HYHO,,WKUHDWVZLWKLQWKHLUDVVLJQHGEDVHVDQGEDVH
FDPSV 7KH FRPPLWPHQWRI D PRELOHVHFXULW\ IRUFHUHVHUYH RU D 7&) EHFRPHVD VLJQLILFDQW PLVVLRQ
FRPPDQGDQG SRWHQWLDOIUDWULFLGHSUREOHPWKDWUHKHDUVDOVDQG VWDQGLQJ RSHUDWLQJSURFHGXUHVFDQPLWLJDWH
7\SLFDOO\WKHVXSSRUWDUHD¶VFRPPDQGHUVXSHUYLVHVWKHRSHUDWLRQVRIWKHUHVSRQVHIRUFHWKHHFKHORQUHVHUYH
DQGWKH7&)VLQFHWKHVHIULHQGO\IRUFHVPD\FRQYHUJHZLWKRWKHUVWDWLRQDU\IULHQGO\IRUFHV

$LUVSDFH &RQWURO,Q&RQVROLGDWLRQDQG6XSSRUW$UHDV
 %RWK FRUSV DQG GLYLVLRQV UHTXLUH WKH FDSDELOLW\ WR FRQWURO DLUVSDFH $LUVSDFH FRQWURO LQ WKH
FRQVROLGDWLRQDQG VXSSRUW DUHDVPD\ EH DFFRPSOLVKHGE\ D YDULHW\ RIPHWKRGV,I WKH FRUSVLV SULPDULO\
IRFXVHGRQVKDSLQJIRULWVIRUZDUGGLYLVLRQVWRGHIHDWHQHP\IRUFHVLQWKHFORVHDQGGHHSDUHDVWKHQWKHFRUSV
PD\ GHOHJDWHDLUVSDFHFRQWURORYHUWKHFRQVROLGDWLRQDUHDWRWKHXQLW RUGLYLVLRQ UHVSRQVLEOHIRULW,IWKH
FRUSVLVSULPDULO\FRQGXFWLQJRSHUDWLRQVWRFRQVROLGDWHJDLQVWKHQLWPD\FKRRVHWRUHWDLQFRQWURORIDLUVSDFH
RYHUWKHHQWLUHFRUSV$2
 'HOHJDWLQJDLUVSDFHFRQWUROWRWKHGLYLVLRQUHVSRQVLEOHIRUWKHFRQVROLGDWLRQDUHDDOORZVWKHFRUSVWR
IRFXVRQUDSLGO\ FRRUGLQDWLQJDLUVSDFHIRUFRUSVILUHVDQG IRUG\QDPLF UHSRVLWLRQLQJRIFRUSVDLUFUDIW7KH
QDWXUHRIFRUSVGHHSILUHVUHTXLUHVWKDWWKHFRQVROLGDWLRQDUHDGLYLVLRQWKHILHOGDUWLOOHU\EULJDGHWKHFRUSV
DQG WKH -)$&& FRQWURODQG UHSRUWLQJ FHQWHUHVWDEOLVKD UDSLG DLUVSDFH FRRUGLQDWLRQQHWZRUN WR HQDEOH
UHVSRQVLYHILUHV
 'XULQJRSHUDWLRQVWRFRQVROLGDWHJDLQVFRUSVDLUVSDFHFRQWUROHOHPHQWVIRFXVRQWKHQRQFRUSVDLUVSDFH
XVHUVRSHUDWLQJRYHUWKHFRUSV$2 $LUVSDFHXVHUVRYHUWKHFRUSVFRQVROLGDWLRQDUHDVPD\ UHTXLUHSRVLWLYH
FRQWUROEH\RQGWKHFDSDELOLW\RIWKHGLYLVLRQDVVLJQHGWKHFRQVROLGDWLRQDUHD7KLVPD\ UHTXLUHHLWKHUDQDLU
WUDIILFFRQWUROIDFLOLW\RUD-)$&&FRQWURODQGUHSRUWLQJFHQWHU
 $ 0(%DVVLJQHGDVXSSRUWDUHDKDVWKHFDSDELOLW\WRFRQWURO$UP\DLUVSDFHXVHUVRYHULWV$2 ,IWKH
FRUSVKDVGHOHJDWHGDLUVSDFHFRQWUROWRWKHFRQVROLGDWLRQDUHDGLYLVLRQWKH0(%FRQWUROOLQJWKHFRUSVVXSSRUW
DUHDFRRUGLQDWHVDLUVSDFHFRQWUROUHTXLUHPHQWVZLWKWKDWGLYLVLRQ,IWKHFRUSVKDVUHWDLQHGDLUVSDFHFRQWURO
RYHUWKHFRQVROLGDWLRQDUHDWKHQWKH0(% FRRUGLQDWHVDLUVSDFHFRQWUROUHTXLUHPHQWVZLWKWKHFRUSV,Q D
VLPLODU PDQQHU WKH %&7 UHVSRQVLEOHIRU WKH GLYLVLRQ FRQVROLGDWLRQ DUHD FRRUGLQDWHV DLUVSDFH FRQWURO
UHTXLUHPHQWVZLWKWKDWGLYLVLRQ

SECTION II – TACTICAL ENABLING TASKS


 &RPPDQGHUVGLUHFWWDFWLFDOHQDEOLQJWDVNVWRVXSSRUWWKHSHUIRUPDQFHRIDOORIIHQVLYHGHIHQVLYHDQG
VWDELOLW\WDVNV7DFWLFDOHQDEOLQJWDVNVDUHXVXDOO\HPSOR\HGE\FRPPDQGHUVDVSDUWRIVKDSLQJRSHUDWLRQV
7KH WDFWLFDOHQDEOLQJWDVNVDUHUHFRQQDLVVDQFHVHFXULW\WURRSPRYHPHQWUHOLHILQSODFHSDVVDJHRIOLQHV
HQFLUFOHPHQWRSHUDWLRQVDQGPRELOLW\DQGFRXQWHUPRELOLW\RSHUDWLRQV

5(&211$,66$1&(
7KHSXUSRVHRIUHFRQQDLVVDQFHLVWRJDWKHULQIRUPDWLRQXSRQZKLFKFRPPDQGHUVPD\EDVH
SODQVGHFLVLRQVDQGRUGHUV5HFRQQDLVVDQFHLQFOXGHVVXUYHLOODQFHWKDWLV V\VWHPDWLF
REVHUYDWLRQE\DQ\PHDQV
)0 Cavalry Operations 

6 December 2017 FM 3-0, C1 5-9


Chapter 5

 5HFRQQDLVVDQFHLVDPLVVLRQXQGHUWDNHQWRREWDLQE\YLVXDO REVHUYDWLRQRURWKHUGHWHFWLRQPHWKRGV


LQIRUPDWLRQDERXW WKHDFWLYLWLHVDQG UHVRXUFHVRIDQ HQHP\RUDGYHUVDU\ RUWRVHFXUHGDWD FRQFHUQLQJWKH
PHWHRURORJLFDOK\GURJUDSKLFRUJHRJUDSKLFFKDUDFWHULVWLFVRID SDUWLFXODUDUHD -3 5HFRQQDLVVDQFH
SULPDULO\UHOLHVRQKXPDQEHLQJVUDWKHUWKDQWHFKQLFDOPHDQV5HFRQQDLVVDQFHLVDIRFXVHGFROOHFWLRQHIIRUW
,W LV SHUIRUPHGEHIRUHGXULQJ DQG DIWHURWKHURSHUDWLRQVWRSURYLGH LQIRUPDWLRQXVHGLQ WKH LQWHOOLJHQFH
SUHSDUDWLRQRIWKHEDWWOHILHOGSURFHVVDQGE\FRPPDQGHUVLQRUGHUWRIRUPXODWHFRQILUPRUPRGLI\DFRXUVH
RIDFWLRQ
 &RPPDQGHUVRULHQWWKHLUUHFRQQDLVVDQFHDVVHWVE\LGHQWLI\LQJD UHFRQQDLVVDQFHREMHFWLYHZLWKLQ DQ
$2 7KH UHFRQQDLVVDQFHREMHFWLYHLVD WHUUDLQIHDWXUHJHRJUDSKLFDUHD HQHP\IRUFHDGYHUVDU\ RURWKHU
PLVVLRQRURSHUDWLRQDOYDULDEOHVXFKDVVSHFLILFFLYLOFRQVLGHUDWLRQVDERXWZKLFK WKHFRPPDQGHUZDQWV WR
REWDLQ DGGLWLRQDO LQIRUPDWLRQ $'53   7KH UHFRQQDLVVDQFH REMHFWLYH FODULILHV WKH LQWHQW RI WKH
UHFRQQDLVVDQFHHIIRUWE\VSHFLI\LQJWKHPRVWLPSRUWDQWUHVXOWWRREWDLQIURPWKHUHFRQQDLVVDQFHHIIRUW(YHU\
UHFRQQDLVVDQFHPLVVLRQVSHFLILHVDUHFRQQDLVVDQFHREMHFWLYH&RPPDQGHUVDVVLJQUHFRQQDLVVDQFHREMHFWLYHV
EDVHGRQSULRULW\LQIRUPDWLRQUHTXLUHPHQWVUHVXOWLQJIURPWKHLQWHOOLJHQFHSUHSDUDWLRQRIWKHEDWWOHILHOG ,3% 
SURFHVVDQG WKH UHFRQQDLVVDQFHDVVHW¶V FDSDELOLWLHVDQG OLPLWDWLRQV$ UHFRQQDLVVDQFHREMHFWLYH FDQ EH
LQIRUPDWLRQDERXWDVSHFLILFJHRJUDSKLFORFDWLRQVXFKDVWKHFURVVFRXQWU\WUDIILFDELOLW\RIDVSHFLILFDUHDD
VSHFLILFHQHP\RUDGYHUVDU\ DFWLYLW\WREHFRQILUPHGRUGHQLHGRUDVSHFLILFHQHP\RUDGYHUVDU\ XQLWWREH
ORFDWHGDQGWUDFNHG$UHFRQQDLVVDQFHXQLWXVHVWKHUHFRQQDLVVDQFHREMHFWLYHWRJXLGHLWLQVHWWLQJSULRULWLHV
ZKHQLWGRHVQRWKDYHHQRXJKWLPHWRFRPSOHWHDOOWKHWDVNVDVVRFLDWHGZLWKDVSHFLILFIRUPRIUHFRQQDLVVDQFH
 7KHUH DUH VHYHQ IXQGDPHQWDOV RI VXFFHVVIXO
UHFRQQDLVVDQFHRSHUDWLRQV&RPPDQGHUV² 7KHUHDUHHLJKW IRUPVRIFRQWDFW—GLUHFW
LQGLUHFW QRQKRVWLOH RUFLYLOLDQ REVWDFOH
z (QVXUHFRQWLQXRXVUHFRQQDLVVDQFH &%51 DHULDO YLVXDO DQG HOHFWURQLF
z 'RQRWNHHSUHFRQQDLVVDQFHDVVHWVLQUHVHUYH (OHFWURQLFLQFOXGHVFRQWDFWLQ
z 2ULHQWRQWKHUHFRQQDLVVDQFHREMHFWLYH F\EHUVSDFH
z 5HSRUWLQIRUPDWLRQUDSLGO\DQGDFFXUDWHO\
z 5HWDLQIUHHGRPRIPDQHXYHU
z *DLQDQGPDLQWDLQHQHP\FRQWDFW
z 'HYHORSWKHVLWXDWLRQUDSLGO\
 7KH UHVSRQVLELOLW\IRUFRQGXFWLQJUHFRQQDLVVDQFHRSHUDWLRQVGRHVQRWUHVLGHVROHO\ZLWKVSHFLILFDOO\
RUJDQL]HGXQLWV(YHU\XQLWKDVDQLPSOLHGPLVVLRQWRUHSRUWLQIRUPDWLRQDERXWWKHWHUUDLQFLYLOLDQDFWLYLWLHV
DQG IULHQGO\DQG HQHP\GLVSRVLWLRQV7KLVLVUHJDUGOHVVRIDXQLW¶V ORFDWLRQRUSULPDU\IXQFWLRQ7URRSVLQ
FRQWDFWZLWKDQ HQHP\DQG UHFRQQDLVVDQFHSDWUROVRIPDQHXYHUXQLWVDWDOOHFKHORQVFROOHFWLQIRUPDWLRQRQ
HQHP\XQLWVDQGDFWLYLWLHV,QWKHVXSSRUWDQG FRQVROLGDWLRQDUHDVUHVHUYHPDQHXYHU IRUFHVIXQFWLRQDODQG
PXOWLIXQFWLRQDOVXSSRUWDQG VXVWDLQPHQWHOHPHQWVRWKHUJRYHUQPHQWDODJHQFLHVDQG PXOWLQDWLRQDOIRUFHV
REVHUYHDQG UHSRUWFLYLOLDQ DGYHUVDU\ DQG HQHP\DFWLYLW\ DQGVLJQLILFDQWFKDQJHVLQWHUUDLQWUDIILFDELOLW\
$OWKRXJK DOO XQLWV FRQGXFWUHFRQQDLVVDQFHWKRVHVSHFLILFDOO\WUDLQHGLQ UHFRQQDLVVDQFHWDVNVDUH JURXQG
FDYDOU\ DYLDWLRQDWWDFNUHFRQQDLVVDQFHXQLWVVFRXWV5DQJHUXQLWV&$XQLWVDQG 62)6RPHXQLWVVXFKDV
HQJLQHHUV&$ DQG WKHFKHPLFDOFRUSVKDYH VSHFLILFUHFRQQDLVVDQFHWDVNVWRSHUIRUPWKDWFRPSOHPHQWWKH
IRUFH¶VRYHUDOOUHFRQQDLVVDQFHHIIRUW+RZHYHU%&7 GLYLVLRQDQG FRUSVFRPPDQGHUVSULPDULO\XVHWKHLU
RUJDQLFRUDWWDFKHGUHFRQQDLVVDQFH²JURXQGRUDLU²DQG LQWHOOLJHQFHHOHPHQWVWRFRQGXFWUHFRQQDLVVDQFH
RSHUDWLRQV
 7KHUHDUHILYHIRUPVRIUHFRQQDLVVDQFHRSHUDWLRQV7KH\DUH²
z 5RXWHUHFRQQDLVVDQFH
z =RQHUHFRQQDLVVDQFH
z $UHDUHFRQQDLVVDQFH
z 5HFRQQDLVVDQFHLQIRUFH
z 6SHFLDOUHFRQQDLVVDQFH
7KHVHIRUPVRIUHFRQQDLVVDQFHDUHGLVFXVVHGLQSDUDJUDSKVWKURXJK

5-10 FM 3-0, C1 6 December 2017


/DUJH6FDOH&RPEDW2SHUDWLRQV

5287(5(&211$,66$1&(
 5RXWHUHFRQQDLVVDQFHLVDGLUHFWHGHIIRUWWRREWDLQGHWDLOHGLQIRUPDWLRQRIDVSHFLILHGURXWHDQGDOO
WHUUDLQIURPZKLFKWKHHQHP\FRXOGLQIOXHQFHPRYHPHQWDORQJWKDWURXWH $'53 7KDWURXWHPD\EH
D FURVV FRXQWU\ PRELOLW\ FRUULGRU 5RXWH UHFRQQDLVVDQFH SURYLGHV QHZ RU XSGDWHG LQIRUPDWLRQ RQ URXWH
FRQGLWLRQVVXFKDVREVWDFOHVDQGEULGJHFODVVLILFDWLRQVDQGHQHP\DGYHUVDU\DQGFLYLOLDQDFWLYLW\DORQJWKH
URXWH&RPPDQGHUVQRUPDOO\DVVLJQWKLVPLVVLRQZKHQZDQWLQJWRXVHDVSHFLILFURXWHIRUIULHQGO\PRYHPHQW

=21(5(&211$,66$1&(
 =RQH UHFRQQDLVVDQFH LV D IRUP RI UHFRQQDLVVDQFH WKDW LQYROYHV D GLUHFWHG HIIRUW WR REWDLQ GHWDLOHG
LQIRUPDWLRQ RQ DOO URXWHV REVWDFOHV WHUUDLQ DQG HQHP\ IRUFHV ZLWKLQ D ]RQH GHILQHG E\ ERXQGDULHV
$'53 2EVWDFOHVLQFOXGHH[LVWLQJUHLQIRUFLQJDQGDUHDVZLWK&%51FRQWDPLQDWLRQ&RPPDQGHUV
DVVLJQD]RQHUHFRQQDLVVDQFHPLVVLRQZKHQWKH\QHHGDGGLWLRQDOLQIRUPDWLRQRQD]RQHEHIRUHFRPPLWWLQJ
RWKHUIRUFHV,WLVDSSURSULDWHZKHQWKHHQHP\VLWXDWLRQLVYDJXHH[LVWLQJNQRZOHGJHRIWKHWHUUDLQLVOLPLWHG
RU FRPEDW RSHUDWLRQV KDYH DOWHUHG WKH WHUUDLQ $ ]RQH UHFRQQDLVVDQFH PD\ LQFOXGH VHYHUDO URXWH RU DUHD
UHFRQQDLVVDQFHPLVVLRQVDVVLJQHGWRVXERUGLQDWHXQLWV

$5($5(&211$,66$1&(
 $UHDUHFRQQDLVVDQFHLVDIRUPRIUHFRQQDLVVDQFHWKDWIRFXVHVRQREWDLQLQJGHWDLOHGLQIRUPDWLRQDERXW
WKHWHUUDLQRUHQHP\DFWLYLW\ZLWKLQDSUHVFULEHGDUHD $'53 7KLVDUHDPD\LQFOXGHDWRZQDULGJHOLQH
DIRUHVWDQDLUKHDGRUDQ\RWKHUFULWLFDORSHUDWLRQDOIHDWXUH7KHDUHDPD\FRQVLVWRIDVLQJOHSRLQWVXFKDV
DEULGJHRUDQLQVWDOODWLRQ7KHSULPDU\GLIIHUHQFHEHWZHHQDQDUHDUHFRQQDLVVDQFHDQGD]RQHUHFRQQDLVVDQFH
LVWKDWLQDQDUHDUHFRQQDLVVDQFHXQLWVFRQGXFWLQJWKHUHFRQQDLVVDQFHILUVWPRYHWRWKHDUHDLQZKLFKWKH
UHFRQQDLVVDQFHZLOOWDNHSODFH,QD]RQHUHFRQQDLVVDQFHWKHXQLWVFRQGXFWLQJWKHUHFRQQDLVVDQFHVWDUWIURP
DOLQHRIGHSDUWXUH$UHDVDUHQRUPDOO\VPDOOHUWKDQ]RQHVDQGDUHQRWXVXDOO\FRQWLJXRXVWRRWKHUIULHQGO\
DUHDVWDUJHWHGIRUUHFRQQDLVVDQFH%HFDXVHWKHDUHDLVVPDOOHUDQDUHDUHFRQQDLVVDQFHW\SLFDOO\WDNHVOHVV
WLPHWRFRPSOHWHWKDQD]RQHUHFRQQDLVVDQFH

5(&211$,66$1&(,1)25&(
 $UHFRQQDLVVDQFHLQIRUFHLVDGHOLEHUDWHFRPEDWRSHUDWLRQGHVLJQHGWRGLVFRYHURUWHVWWKHHQHP\¶V
VWUHQJWKGLVSRVLWLRQVDQGUHDFWLRQVRUWRREWDLQRWKHULQIRUPDWLRQ $'53 %DWWDOLRQVL]HWDVNIRUFHV
RUODUJHURUJDQL]DWLRQVXVXDOO\FRQGXFWDUHFRQQDLVVDQFHLQIRUFH$FRPPDQGHUDVVLJQVDUHFRQQDLVVDQFHLQ
IRUFHZKHQDQHQHP\LVRSHUDWLQJZLWKLQDQDUHDDQGWKHFRPPDQGHUFDQQRWREWDLQDGHTXDWHLQWHOOLJHQFHE\
DQ\RWKHUPHDQV$XQLWPD\DOVRFRQGXFWDUHFRQQDLVVDQFHLQIRUFHLQUHVWULFWLYHWHUUDLQZKHUHDQHQHP\LV
OLNHO\WRDPEXVKVPDOOHUUHFRQQDLVVDQFHIRUFHV$UHFRQQDLVVDQFHLQIRUFHLVDQDJJUHVVLYHUHFRQQDLVVDQFH
FRQGXFWHG DV DQ RIIHQVLYH WDVN ZLWK FOHDUO\ VWDWHG UHFRQQDLVVDQFH REMHFWLYHV 7KH RYHUDOO JRDO RI D
UHFRQQDLVVDQFH LQ IRUFH LV WR GHWHUPLQH HQHP\ ZHDNQHVVHV WKDW FDQ EH H[SORLWHG ,W GLIIHUV IURP RWKHU
UHFRQQDLVVDQFHRSHUDWLRQVEHFDXVHLWLVQRUPDOO\FRQGXFWHGRQO\WRJDLQLQIRUPDWLRQDERXWDQHQHP\DQGQRW
WKH WHUUDLQ 7KH XQLW FRPPDQGHU SODQV IRU ERWK WKH UHWURJUDGH RU UHLQIRUFHPHQW RI WKH IRUFH LQ FDVH LW
HQFRXQWHUVVXSHULRUHQHP\IRUFHVDQGIRUWKHH[SORLWDWLRQRILWVVXFFHVV

6 October 2017 FM 3-0 5-11


Chapter 5

$PELJXRXV(QYLURQPHQW)LJKWLQJIRU,QIRUPDWLRQ

2Q$SULOVW%ULJDGHG,QIDQWU\'LYLVLRQ 0HFKDQL]HG PRXQWHGDQRSHUDWLRQ
LQWRZHVWHUQ%DJKGDGLQSUHSDUDWLRQIRUWKHGLYLVLRQ’VDGYDQFHRQWKH,UDTLFDSLWDO7KH
PLVVLRQ ZDV SODQQHG DV D EDWWDOLRQVL]HG UHFRQQDLVVDQFHLQIRUFH LQ RUGHU WR
GHWHUPLQHWKHFRPSRVLWLRQVWUHQJWKDQGGLVSRVLWLRQRIHQHP\GHIHQVHV7KLVPDUNHG
WKHILUVWDUPRUHGIRUD\LQWRDPDMRUFLW\VLQFH:RUOG:DU,,

7KHRSHUDWLRQH[HFXWHGE\VW%DWWDOLRQWK$UPRUZDVFRQVLGHUHGDUHDVRQDEOH
DQGDFFHSWDEOHULVNGHVSLWHWKHDPELJXLW\RIWKHHQHP\VLWXDWLRQ&RPPDQGJXLGDQFH
ZDVVLPSO\WR“FRQGXFWDPRYHPHQWWRFRQWDFWQRUWKDORQJ+LJKZD\WRGHWHUPLQHWKH
HQHP\’VGLVSRVLWLRQVWUHQJWKDQGZLOOWRILJKW”DVWDWHPHQWWKDWRIIHUHGERWKDFOHDU
LQWHQWDQGSXUSRVH7KHVHPLVVLRQW\SHRUGHUVDOORZHGIRUDJUHDWGHDORIIOH[LELOLW\LQ
VHL]LQJ WKH LQLWLDWLYH DQG UHDFWLQJ WR WKH HQHP\ 8QLW FRPPDQGHUV EHOLHYHG WKDW WKH
VXSHULRUTXDOLW\RIWKHLU6ROGLHUVZRXOGPLWLJDWHWKHLQKHUHQWULVNLQWKHRSHUDWLRQ7KH\
ZHUH ULJKW 'HVSLWH KHDY\ UHVLVWDQFH WKH DUPRUHG FROXPQ TXLFNO\ UHDFKHG LWV
REMHFWLYH &RPPDQGHUV FRQFOXGHG WKH UHFRQQDLVVDQFH LQ IRUFH KDG WDNHQ HQHP\
IRUFHVFRPSOHWHO\E\VXUSULVHDQGGDPDJHGWKHLUSK\VLFDODQGPHQWDODELOLW\WRUHVLVW

7KHRSHUDWLRQGHPRQVWUDWHGWKDW86DUPRUHGIRUFHVFRXOGSHQHWUDWH%DJKGDGZKLOH
VXIIHULQJPLQLPDOFDVXDOWLHV0RUHRYHULWPHWWKHRULJLQDOLQWHQWE\SURYLGLQJH[FHOOHQW
LQGLFDWRUVRIHQHP\WDFWLFVVWUHQJWKDQGORFDWLRQV6HQLRUFRPPDQGHUVFDPHWRYLHZ
WKHUHFRQQDLVVDQFHLQIRUFHDVDSUHOXGHWRDGGLWLRQDODUPRUHGPLVVLRQVLQDQGRXWRI
WKHFLW\WKDWZRXOGGLVUXSWWKH,UDTLGHIHQVHVLQWKHFLW\DQGXOWLPDWHO\FDXVHWKHUHJLPH
WRFROODSVH8VLQJWKHOHVVRQVOHDUQHGRQ$SULOG,QIDQWU\'LYLVLRQODXQFKHGDQRWKHU
RSHUDWLRQRQDODUJHUVFDOHRQ$SULOZKLFKUHVXOWHGLQWKHRFFXSDWLRQRIGRZQWRZQ
%DJKGDGDQGWKHILQDOIDOORIWKH%DDWKLVWJRYHUQPHQW

63(&,$/5(&211$,66$1&(
 6SHFLDOUHFRQQDLVVDQFHLVUHFRQQDLVVDQFHDQGVXUYHLOODQFHDFWLRQVFRQGXFWHGDVDVSHFLDORSHUDWLRQLQ
KRVWLOHGHQLHGRUGLSORPDWLFDOO\DQGRUSROLWLFDOO\VHQVLWLYHHQYLURQPHQWVWRFROOHFWRUYHULI\LQIRUPDWLRQRI
VWUDWHJLF RU RSHUDWLRQDO VLJQLILFDQFH HPSOR\LQJ PLOLWDU\ FDSDELOLWLHV QRW QRUPDOO\ IRXQG LQ FRQYHQWLRQDO
IRUFHV -3   7KHVH DFWLRQV SURYLGH DQ DGGLWLRQDO FDSDELOLW\ IRU FRPPDQGHUV DQG VXSSOHPHQW RWKHU
FRQYHQWLRQDOUHFRQQDLVVDQFHDQGVXUYHLOODQFHDFWLRQV(YHQZLWKORQJUDQJHVHQVRUVDQGRYHUKHDGSODWIRUPV
VRPHLQIRUPDWLRQFDQEHREWDLQHGRQO\E\YLVXDOREVHUYDWLRQRURWKHUFROOHFWLRQPHWKRGVLQWKHWDUJHWDUHD
62)FDSDELOLWLHVIRUJDLQLQJDFFHVVWRGHQLHGDQGKRVWLOHDUHDVZRUOGZLGHFRPPXQLFDWLRQVDQGVSHFLDOL]HG
DLUFUDIWDQGVHQVRUVHQDEOHWKHPWRFRQGXFWVSHFLDOUHFRQQDLVVDQFHDJDLQVWWDUJHWVLQDFFHVVLEOHWRRWKHUIRUFHV
RUDVVHWV6SHFLDOUHFRQQDLVVDQFHWDVNVLQFOXGH²
z (QYLURQPHQWDOUHFRQQDLVVDQFH
z $UPHGUHFRQQDLVVDQFH
z 7DUJHWDQGWKUHDWDVVHVVPHQW
z 3RVWVWULNHUHFRQQDLVVDQFH

6HH-3IRUDGGLWLRQDOLQIRUPDWLRQRQWKHVHVSHFLDOUHFRQQDLVVDQFHWDVNV6HH)0DQG)0
IRUDGGLWLRQDOLQIRUPDWLRQRQWKHRWKHUIRXUIRUPVRIUHFRQQDLVVDQFH 

6(&85,7<23(5$7,216
6HFXULW\ LQFOXGHV DOO PHDVXUHV WDNHQ E\ D FRPPDQG WR SURWHFW LWVHOI IURP HQHP\
REVHUYDWLRQVDERWDJHDQQR\DQFHRUVXUSULVH,WVSXUSRVHLVWRSUHVHUYHVHFUHF\DQGWR
JDLQDQGPDLQWDLQIUHHGRPRIDFWLRQ
)0Combat Support Company, Infantry Division Battle Group

5-12 FM 3-0 6 October 2017


/DUJH6FDOH&RPEDW2SHUDWLRQV

 6HFXULW\RSHUDWLRQVDUHWKRVHRSHUDWLRQVXQGHUWDNHQE\DFRPPDQGHUWRSURYLGHHDUO\DQGDFFXUDWH
ZDUQLQJRIHQHP\RSHUDWLRQVWRSURYLGH WKH IRUFHEHLQJSURWHFWHG ZLWKWLPHDQG PDQHXYHUVSDFH ZLWKLQ
ZKLFK WR UHDFW WR WKH HQHP\ DQG WR GHYHORS WKH VLWXDWLRQ WR DOORZ WKH FRPPDQGHU WR HIIHFWLYHO\ XVH WKH
SURWHFWHGIRUFH $'53 7KHXOWLPDWHJRDORIVHFXULW\RSHUDWLRQVLVWRSURWHFWWKHIRUFHIURPVXUSULVH
DQGUHGXFHWKHXQNQRZQVLQDQ\VLWXDWLRQ6HFXULW\RSHUDWLRQVPD\DOVRSURWHFWWKHFLYLOLDQSRSXODWLRQFLYLO
LQVWLWXWLRQVDQGFLYLOLDQLQIUDVWUXFWXUHZLWKLQWKHXQLW¶V$26HFXULW\RSHUDWLRQVFDQEHHLWKHURIIHQVLYHRU
GHIHQVLYH$FRPPDQGHUPD\FRQGXFWVHFXULW\RSHUDWLRQVWRWKHIURQWIODQNVRUUHDURIWKHIULHQGO\IRUFH
7KHPDLQGLIIHUHQFHEHWZHHQVHFXULW\RSHUDWLRQVDQGUHFRQQDLVVDQFHRSHUDWLRQVLVWKDWVHFXULW\RSHUDWLRQV
RULHQWRQWKHIRUFHRUIDFLOLW\EHLQJSURWHFWHGZKLOHUHFRQQDLVVDQFHLVHQHP\DQGWHUUDLQRULHQWHG6HFXULW\
RSHUDWLRQVDUHVKDSLQJRSHUDWLRQV$VDVKDSLQJRSHUDWLRQHFRQRP\RIIRUFHLVRIWHQDFRQVLGHUDWLRQZKHQ
SODQQLQJWDFWLFDOVHFXULW\RSHUDWLRQV
 6HFXULW\RSHUDWLRQVHQFRPSDVVILYHWDVNV²VFUHHQJXDUGFRYHUDUHDVHFXULW\DQGORFDOVHFXULW\
z 6FUHHQLVDVHFXULW\WDVNWKDWSULPDULO\SURYLGHVHDUO\ZDUQLQJWRWKHSURWHFWHGIRUFH $'53 
z *XDUGLVDVHFXULW\WDVNWRSURWHFWWKHPDLQERG\E\ILJKWLQJWRJDLQWLPHZKLOHDOVRREVHUYLQJDQG
UHSRUWLQJLQIRUPDWLRQDQGSUHYHQWLQJHQHP\JURXQGREVHUYDWLRQRIDQGGLUHFWILUHDJDLQVWWKHPDLQ
ERG\8QLWVFRQGXFWLQJDJXDUGPLVVLRQFDQQRWRSHUDWHLQGHSHQGHQWO\EHFDXVHWKH\UHO\XSRQILUHV
DQGIXQFWLRQDODQGPXOWLIXQFWLRQDOVXSSRUWDVVHWVRIWKHPDLQERG\ $'53 
z &RYHULVDVHFXULW\WDVNWRSURWHFWWKHPDLQERG\E\ILJKWLQJWRJDLQWLPHZKLOHDOVRREVHUYLQJDQG
UHSRUWLQJLQIRUPDWLRQDQGSUHYHQWLQJHQHP\JURXQGREVHUYDWLRQRIDQGGLUHFWILUHDJDLQVWWKHPDLQ
ERG\ $'53 &RYHURSHUDWLRQVDOVRW\SLFDOO\RSHUDWHRXWRIUDQJHRIWKHSURWHFWHGIRUFHVR
XQLWVPXVWEHRUJDQL]HGZLWKWKHHQDEOLQJFDSDELOLWLHVIRULQGHSHQGHQWRSHUDWLRQV
z $UHD VHFXULW\ LV D VHFXULW\ WDVN FRQGXFWHG WR SURWHFW IULHQGO\ IRUFHV LQVWDOODWLRQV URXWHV DQG
DFWLRQVZLWKLQDVSHFLILFDUHD $'53 
z /RFDOVHFXULW\LVDVHFXULW\WDVNWKDWLQFOXGHVORZOHYHOVHFXULW\DFWLYLWLHVFRQGXFWHGQHDUDXQLWWR
SUHYHQWVXUSULVHE\WKHHQHP\ $'53 /RFDOVHFXULW\LVFORVHO\DVVRFLDWHGZLWKXQLWIRUFH
SURWHFWLRQHIIRUWV
 6FUHHQDQGJXDUGPLVVLRQVFDQEHIRUZDUGRQWKHIODQNRULQWKHUHDURIWKHPDLQERG\DQGWKH\FDQ
EHPRYLQJRUVWDWLRQDU\0RYLQJIODQNJXDUGVPXVWDOVRFRQGXFWD]RQHUHFRQQDLVVDQFHEHWZHHQWKHPDLQ
ERG\DQGWKHJXDUGIRUFHWRSUHYHQWE\SDVVLQJVLJQLILFDQWHQHP\IRUFHV7KHVFUHHQJXDUGDQGFRYHUVHFXULW\
WDVNVUHVSHFWLYHO\FRQWDLQLQFUHDVLQJOHYHOVRIFRPEDWSRZHUDQGSURYLGHLQFUHDVLQJOHYHOVRIVHFXULW\IRU
WKH PDLQ ERG\ +RZHYHU PRUH FRPEDW SRZHU LQ WKH VHFXULW\ IRUFH PHDQV OHVV IRU WKH PDLQ ERG\ $OVR
FRPPDQGHUV VKRXOG LQFRUSRUDWH VLJQDWXUH UHGXFWLRQ WHFKQLTXHV LQWR ORFDO VHFXULW\ SODQV $UHD VHFXULW\
SUHVHUYHV D FRPPDQGHU¶V IUHHGRP WR PRYH UHVHUYHV SRVLWLRQ ILUH VXSSRUW DVVHWV SURYLGH IRU PLVVLRQ
FRPPDQGDQGFRQGXFWVXVWDLQLQJRSHUDWLRQV/RFDOVHFXULW\SURYLGHVLPPHGLDWHSURWHFWLRQWRWKHIULHQGO\
IRUFH 6HH$'53IRUPRUHLQIRUPDWLRQRQSURWHFWLRQ 
 $OOPDQHXYHUIRUFHVDUHFDSDEOHRIFRQGXFWLQJVHFXULW\RSHUDWLRQV$OOWKUHHW\SHVRI$UP\%&7V²
DUPRUHGLQIDQWU\DQG6WU\NHU²KDYHFRQGXFWVHFXULW\RSHUDWLRQVDVSDUWRIWKHLUPLVVLRQHVVHQWLDOWDVNOLVWV
0(7/V &RPPDQGHUVHQVXUHWKDWVXERUGLQDWHXQLWVSHUIRUPWKRVHVSHFLILFVHFXULW\WDVNVUHTXLUHGE\WKH
VLWXDWLRQ+DELWXDOVXSSRUWUHODWLRQVKLSVZLWKDWWDFKPHQWVDQGVWDQGDUGRSHUDWLQJSURFHGXUHVDUHUHTXLUHGWR
REWDLQSURILFLHQF\LQWKHFRQGXFWRIWKHVHWDVNV
 6XFFHVVIXOVHFXULW\RSHUDWLRQVGHSHQGRQSURSHUO\DSSO\LQJILYHIXQGDPHQWDOV
z 3URYLGHHDUO\DQGDFFXUDWHZDUQLQJ
z 3URYLGHUHDFWLRQWLPHDQGPDQHXYHUVSDFH
z 2ULHQWRQWKHIRUFHRUIDFLOLW\WREHVHFXUHG
z 3HUIRUPFRQWLQXRXVUHFRQQDLVVDQFH
z 0DLQWDLQHQHP\FRQWDFW

6HH)0DQG)0IRUDGGLWLRQDOLQIRUPDWLRQRQWKHFRQGXFWRIVHFXULW\RSHUDWLRQV 

75223029(0(17
 7KHDELOLW\RIDFRPPDQGHUWRSRVWXUHIULHQGO\IRUFHVIRUDGHFLVLYHRUVKDSLQJRSHUDWLRQGHSHQGVRQ
WKHFRPPDQGHU¶VDELOLW\WRPRYHWKDWIRUFH7KHHVVHQFHRIEDWWOHILHOGDJLOLW\LV WKHFDSDELOLW\WRFRQGXFW

6 October 2017 FM 3-0 5-13


Chapter 5

UDSLGDQGRUGHUO\PRYHPHQWWRFRQFHQWUDWHFRPEDWSRZHUDWGHFLVLYHSRLQWVDQGWLPHV6XFFHVVIXOPRYHPHQW
SODFHV WURRSV DQG HTXLSPHQW DW WKHLU GHVWLQDWLRQ DW WKH SURSHU WLPH UHDG\ IRU FRPEDW 7UDQVLWLRQ IURP
PRYHPHQWWRPDQHXYHURFFXUVZKHQHQHP\FRQWDFWLVH[SHFWHG
 7URRS PRYHPHQW LV WKH PRYHPHQW RI WURRSV IURP RQH SODFH WR DQRWKHU E\ DQ\ DYDLODEOH PHDQV
$'53 7URRSPRYHPHQWVDUHPDGHE\GLIIHUHQWPHWKRGVVXFKDVGLVPRXQWHGDQGPRXQWHGPDUFKHV
XVLQJ RUJDQLF FRPEDW DQG WDFWLFDO YHKLFOHV PRWRU WUDQVSRUW DQG DLU UDLO DQG ZDWHU PHDQV LQ YDULRXV
FRPELQDWLRQV7KHPHWKRGHPSOR\HGGHSHQGVRQWKHVLWXDWLRQWKHVL]HDQGFRPSRVLWLRQRIWKHPRYLQJXQLW
WKHGLVWDQFHWKHXQLWPXVWFRYHUWKHXUJHQF\RIH[HFXWLRQDQGWKHFRQGLWLRQRIWKHWURRSV,WDOVRGHSHQGVRQ
WKH DYDLODELOLW\ VXLWDELOLW\ DQG FDSDFLW\ RI WKH GLIIHUHQW PHDQV RI WUDQVSRUWDWLRQ 7URRS PRYHPHQWV RYHU
H[WHQGHGGLVWDQFHVKDYHH[WHQVLYHVXVWDLQPHQWFRQVLGHUDWLRQV:KHQQHFHVVDU\GLVPRXQWHGDQGPRXQWHG
PDUFKHVFDQEHKXUULHGE\FRQGXFWLQJDIRUFHGPDUFK

',602817('0$5&+(6
 $GLVPRXQWHGPDUFKLVPRYHPHQWRIWURRSVDQGHTXLSPHQWPDLQO\E\IRRWZLWKOLPLWHGVXSSRUWE\
YHKLFOHV )0 $OVRFDOOHGIRRWPDUFKHVGLVPRXQWHGPDUFKHVLQFUHDVHWKHFRPPDQGHU¶VPDQHXYHU
RSWLRQV 7KHLU SRVLWLYH FKDUDFWHULVWLFV LQFOXGH FRPEDW UHDGLQHVV DOO 6ROGLHUV FDQ LPPHGLDWHO\ UHVSRQG WR
HQHP\DWWDFNZLWKRXWWKHQHHGWRGLVPRXQW HDVHRIFRQWURODGDSWDELOLW\WRWHUUDLQDQGLQGHSHQGHQFHIURP
WKHH[LVWLQJURDGQHWZRUN7KHLUOLPLWDWLRQVLQFOXGHDVORZPRYHPHQWUDWHDQGLQFUHDVHGSHUVRQQHOIDWLJXH
6ROGLHUVFDUU\LQJKHDY\ORDGVRYHUORQJGLVWDQFHVRUODUJHFKDQJHVLQHOHYDWLRQJHWWLUHG$XQLWFRQGXFWVD
GLVPRXQWHG PDUFK ZKHQ WKH VLWXDWLRQ UHTXLUHV VWHDOWK WKH GLVWDQFH WR WUDYHO LV VKRUW WUDQVSRUW RU IXHO LV
OLPLWHGRUWKHWHUUDLQSUHFOXGHVXVLQJDODUJHQXPEHURIYHKLFOHV

02817('0$5&+(6
 $PRXQWHGPDUFKLVWKHPRYHPHQWRIWURRSVDQGHTXLSPHQWE\FRPEDWDQGWDFWLFDOYHKLFOHV$UPRUHG
DQGPHFKDQL]HGXQLWVURXWLQHO\FRQGXFWPRXQWHGPDUFKHV7KHVSHHGRIWKHPDUFKDQGWKHLQFUHDVHGDPRXQWV
RIVXSSOLHVWKDWFDQDFFRPSDQ\WKHXQLWFKDUDFWHUL]H WKLV PDUFK PHWKRG $UPRUHGDQG 6WU\NHU PDQHXYHU
XQLWV DUH QRUPDOO\ VHOIVXIILFLHQW WR FRQGXFW PRXQWHG PDUFKHV RYHU OLPLWHG GLVWDQFHV /LJKW LQIDQWU\
PDQHXYHUXQLWVDQGPRVWIXQFWLRQDODQGPXOWLIXQFWLRQDOVXSSRUWDQGVXVWDLQPHQWXQLWVDUHQRWFRPSOHWHO\
PRELOHZLWKRUJDQLFWUXFNDVVHWVDQGWKH\QHHGDVVLVWDQFHIURPWUDQVSRUWDWLRQHOHPHQWVWRFRQGXFWPRXQWHG
PDUFKHV&RQVLGHUDWLRQVIRUPRXQWHGPDUFKHVRYHUH[WHQGHGGLVWDQFHVLQFOXGH²
z 7KHDELOLW\RIWKHURXWHQHWZRUNWRVXSSRUWWKH QXPEHUVVL]HV DQG ZHLJKWVRIWKHWDFWLFDODQG
FRPEDWYHKLFOHVDVVLJQHGWRRUVXSSRUWLQJWKHXQLWPDNLQJWKHPRYH
z $YDLODEOHUHIXHOLQJPDLQWHQDQFHDQGUHVWDUHDV
z 7KHQHHGIRUPDLQWHQDQFHUHFRYHU\DQGHYDFXDWLRQDVVHWV

$50<$,5029(0(176
 $UP\DLUPRYHPHQWVDUHRSHUDWLRQVLQYROYLQJWKHXVHRIXWLOLW\DQGFDUJRURWDU\ZLQJDVVHWVIRURWKHU
WKDQDLUDVVDXOWV&RPPDQGHUVFRQGXFWDLUPRYHPHQWVWRPRYHWURRSVDQGHTXLSPHQWWRHPSODFHV\VWHPV
DQGWRWUDQVSRUWDPPXQLWLRQIXHODQGRWKHUKLJKYDOXHVXSSOLHV&RPPDQGHUVPD\HPSOR\DLUPRYHPHQWV
DV D VXEVWLWXWH IRU JURXQG WDFWLFDO PRYHPHQWV $LU PRYHPHQWV DUH JHQHUDOO\ IDVWHU WKDQ JURXQG WDFWLFDO
PRYHPHQWVEXWWKH\FDQEHYXOQHUDEOHWRHQHP\DLUGHIHQVHV\VWHPVRULQIOXHQFHGE\EDGZHDWKHU7KHVDPH
JHQHUDO FRQVLGHUDWLRQV WKDW DSSO\ WR DLU DVVDXOW RSHUDWLRQV DOVR DSSO\ WR $UP\ DLU PRYHPHQWV 6HH
$73IRUDGGLWLRQDOLQIRUPDWLRQFRQFHUQLQJDLUPRYHPHQW 

$50<5$,/$1':$7(5029(0(176
 2SHUDWLQJIRUFHVFDQXVHUDLODQGZDWHUPRGHVWRFRQGXFWWURRSPRYHPHQWVLIWKH\DUHDYDLODEOHLQDQ
$2 7KHLU XVH FDQ SURYLGH IOH[LELOLW\ E\ IUHHLQJ RWKHU PRGHV RI WUDQVSRUW IRU RWKHU PLVVLRQV 7KHLU XVH
QRUPDOO\LQYROYHVDPL[WXUHRIPLOLWDU\DQGFRPPHUFLDODVVHWVVXFKDVGHIHQVHIUHLJKWUDLOZD\LQWHUFKDQJH
UDLOFDUVSXOOHGE\SULYDWHO\RZQHGGLHVHOHOHFWULFHQJLQHVWRWUDQVSRUWWDQNVDORQJUDLOURDGULJKWRIZD\VIURP
RQHUDLOWHUPLQXVWRDQRWKHU5HVSRQVLELOLW\IRUFRRUGLQDWLQJWKHXVHRIUDLOURDGVDQGZDWHUZD\VUHVLGHVLQWKH
$5)25KHDGTXDUWHUVLQWKHWKHDWHURIRSHUDWLRQV

5-14 FM 3-0 6 October 2017


/DUJH6FDOH&RPEDW2SHUDWLRQV

)25&('0$5&+(6
 ,QFDVHVRIWDFWLFDOQHFHVVLW\DXQLWFDQDFFHOHUDWHLWVUDWHRIPRYHPHQWE\FRQGXFWLQJDIRUFHGPDUFK
VR WKDW LW DUULYHV DW LWV GHVWLQDWLRQ TXLFNO\ $UPRUHG PRWRUL]HG DQG LQIDQWU\ XQLWV FDQ FRQGXFW IRUFHG
PDUFKHV)RUFHGPDUFKHVUHTXLUHVSHHGH[HUWLRQDQGDQLQFUHDVHLQWKHQXPEHURIKRXUVPDUFKHGRUWUDYHOHG
E\YHKLFOHVHDFKGD\EH\RQGQRUPDOVWDQGDUGV6ROGLHUVFDQQRWVXVWDLQIRUFHGPDUFKHVIRUPRUHWKDQOLPLWHG
SHULRGVVLQFHXQLWVGRQRWKDOWDVRIWHQRUIRUDVORQJDVLVW\SLFDOO\UHTXLUHGIRUPDLQWHQDQFHUHVWIHHGLQJ
DQGIXHO,PPHGLDWHO\IROORZLQJDORQJIRUFHGPDUFKXQLWVPD\VXIIHUDGHJUDGDWLRQLQFRPEDWHIIHFWLYHQHVV
DQGFRKHVLRQGXHWRIDWLJXHVXSSO\DQGPDLQWHQDQFHLVVXHV3ODQVIRUIRUFHGPDUFKHVVKRXOGDFFRXQWIRU
VWUDJJOHUVJUHDWHUIXHOFRQVXPSWLRQDQGLQFUHDVHGPDLQWHQDQFHIDLOXUHV

$'0,1,675$7,9(029(0(17
 $GPLQLVWUDWLYHPRYHPHQWLVDPRYHPHQWLQZKLFKWURRSVDQGYHKLFOHVDUHDUUDQJHGWRH[SHGLWHWKHLU
PRYHPHQWDQGFRQVHUYHWLPHDQGHQHUJ\ZKHQQRHQHP\JURXQGLQWHUIHUHQFHLVDQWLFLSDWHG7KHFRPPDQGHU
RQO\FRQGXFWVDGPLQLVWUDWLYHPRYHPHQWVLQVHFXUHDUHDV([DPSOHVRIDGPLQLVWUDWLYHPRYHPHQWVLQFOXGHUDLO
DQGKLJKZD\PRYHPHQWLQWKHFRQWLQHQWDO8QLWHG6WDWHV2QFHXQLWVGHSOR\LQWRDWKHDWHURIZDUFRPPDQGHUV
QRUPDOO\GRQRWHPSOR\DGPLQLVWUDWLYHPRYHPHQWV6LQFHWKHVHW\SHVRIPRYHVDUHQRQWDFWLFDOWKHHFKHORQ
DVVLVWDQWFKLHIRIVWDIIORJLVWLFV * RUWKHEDWWDOLRQRUEULJDGHORJLVWLFVVWDIIRIILFHU 6 XVXDOO\VXSHUYLVHV
WKHP 6HH$73IRUDGLVFXVVLRQRIURXWHV\QFKURQL]DWLRQSODQQLQJ 

5(/,(),13/$&(
 $UHOLHILQSODFHLVDQRSHUDWLRQLQZKLFKE\WKHGLUHFWLRQRIKLJKHU
DXWKRULW\DOORUSDUWRIDXQLWLVUHSODFHGLQDQDUHDE\WKHLQFRPLQJXQLW
DQGWKHUHVSRQVLELOLWLHVRIWKHUHSODFHGHOHPHQWVIRUWKHPLVVLRQDQGWKH
DVVLJQHG ]RQH RI RSHUDWLRQV DUH WUDQVIHUUHG WR WKH LQFRPLQJ XQLW
-3  6HHILJXUH1RWH7KH$UP\XVHV$2LQVWHDGRID]RQHRI
RSHUDWLRQV  7KH LQFRPLQJ XQLW FRQWLQXHV WKH RSHUDWLRQ DV RUGHUHG $
FRPPDQGHU FRQGXFWV D UHOLHI LQ SODFH DV SDUW RI D ODUJHU RSHUDWLRQ
SULPDULO\ WR PDLQWDLQ WKH FRPEDW HIIHFWLYHQHVV RI FRPPLWWHG XQLWV 7KH 
KLJKHUHFKHORQ KHDGTXDUWHUV GLUHFWV ZKHQDQG ZKHUHWRFRQGXFWDUHOLHI 
DQG HVWDEOLVKHV WKH DSSURSULDWH FRQWURO PHDVXUHV 1RUPDOO\ GXULQJ WKH  Figure 5-1. Relief
FRQGXFW RI ODUJHVFDOH FRPEDW RSHUDWLRQV WKH XQLW EHLQJ UHOLHYHG LV  in place
GHIHQGLQJ+RZHYHUDUHOLHIPD\VHWWKHVWDJHIRUUHVXPLQJWKHRIIHQVH
$UHOLHIPD\DOVRVHUYHWRIUHHWKHUHOLHYHGXQLWIRURWKHUWDVNVVXFKDV
GHFRQWDPLQDWLRQUHFRQVWLWXWLRQURXWLQHUHVWUHVXSSO\PDLQWHQDQFHVSHFLDOL]HGWUDLQLQJRUUHGHSOR\PHQW
6RPHWLPHVDVSDUWRIDODUJHURSHUDWLRQDFRPPDQGHUZDQWVDQHQHP\IRUFHWRGLVFRYHUWKHUHOLHIEHFDXVH
WKDWGLVFRYHU\PLJKWFDXVHDQHQHP\WRGRVRPHWKLQJLQUHVSRQVHWKDWLVFRQWUDU\WRLWVLQWHUHVWVVXFKDV
PRYHUHVHUYHVIURPDQDUHDZKHUHWKHIULHQGO\FRPPDQGHUZDQWVWRFRQGXFWDSHQHWUDWLRQ
 7KHUH DUH WKUHH WHFKQLTXHV IRU FRQGXFWLQJ D UHOLHI VHTXHQWLDOO\ VLPXOWDQHRXVO\ RU VWDJJHUHG $
VHTXHQWLDOUHOLHIRFFXUVZKHQHDFKHOHPHQWZLWKLQWKHUHOLHYHGXQLWLVUHOLHYHGLQVXFFHVVLRQIURPULJKWWR
OHIWRUOHIWWRULJKWGHSHQGLQJRQKRZWKHXQLWLVGHSOR\HG$VLPXOWDQHRXVUHOLHIRFFXUVZKHQDOOHOHPHQWV
DUH UHOLHYHG DW WKH VDPH WLPH $ VWDJJHUHG UHOLHI RFFXUV ZKHQ D FRPPDQGHU UHOLHYHV HDFK HOHPHQW LQ D
VHTXHQFHGHWHUPLQHGE\WKHWDFWLFDOVLWXDWLRQQRWLWVJHRJUDSKLFRULHQWDWLRQ6LPXOWDQHRXVUHOLHIWDNHVWKH
OHDVWWLPHWRH[HFXWHEXWLVPRUHHDVLO\GHWHFWHGE\WKHHQHP\6HTXHQWLDORUVWDJJHUHGUHOLHIVFDQWDNHSODFH
RYHU D VLJQLILFDQW DPRXQW RI WLPH 7KHVH WKUHH UHOLHI WHFKQLTXHV FDQ RFFXU UHJDUGOHVV RI WKH PLVVLRQ DQG
RSHUDWLRQDOHQYLURQPHQW 2( LQZKLFKWKHXQLWLVSDUWLFLSDWLQJ
 $UHOLHIFDQEHFKDUDFWHUL]HGDVHLWKHUGHOLEHUDWHRUKDVW\GHSHQGLQJRQWKHDPRXQWRISODQQLQJDQG
SUHSDUDWLRQV DVVRFLDWHG ZLWK WKH UHOLHI 7KH PDMRU GLIIHUHQFHV DUH WKH GHSWK DQG GHWDLO RI SODQQLQJ DQG
SRWHQWLDOO\WKHH[HFXWLRQWLPH'HWDLOHGSODQQLQJJHQHUDOO\IDFLOLWDWHVVKRUWHUH[HFXWLRQWLPHE\GHWHUPLQLQJ
H[DFWO\ ZKDW WKH XQLW FRPPDQGHU EHOLHYHV QHHGV WR EH GRQH DQG WKH UHVRXUFHV QHHGHG WR DFFRPSOLVK WKH
PLVVLRQ'HOLEHUDWHSODQQLQJDOORZVXQLWFRPPDQGHUVDQGVWDIIVWRLGHQWLI\GHYHORSDQGFRRUGLQDWHVROXWLRQV
WRPRVWSRWHQWLDOSUREOHPVEHIRUHWKH\RFFXUDQGWRHQVXUHWKHDYDLODELOLW\RIUHVRXUFHVZKHQDQGZKHUHWKH\
DUHQHHGHG 6HH)0IRUDGGLWLRQDOLQIRUPDWLRQRQWKHFRQGXFWRIDUHOLHILQSODFH 

6 October 2017 FM 3-0 5-15


Chapter 5

3$66$*(2)/,1(6
7KHSDVVDJHRIOLQHVLVDQRSHUDWLRQGHVLJQHGWRIDFLOLWDWHDQRWKHUWDFWLFDORSHUDWLRQ7KH
GLYLVLRQ¶VWDVNRUJDQL]DWLRQVXSSRUWVWKHSULPDU\WDFWLFDOPLVVLRQ&HQWUDOL]HGSODQQLQJ
DQGH[HFXWLRQFKDUDFWHUL]HSDVVDJHRIOLQHVRSHUDWLRQV
)0Air Assault Division Operations

 3DVVDJHRIOLQHVLVDQRSHUDWLRQLQZKLFKDIRUFHPRYHVIRUZDUGRUUHDUZDUGWKURXJKDQRWKHUIRUFH¶V
FRPEDWSRVLWLRQVZLWKWKHLQWHQWLRQRIPRYLQJLQWRRURXWRIFRQWDFWZLWKWKHHQHP\ -3 $SDVVDJH
PD\EHGHVLJQDWHGDVDIRUZDUGRUUHDUZDUGSDVVDJHRIOLQHV$FRPPDQGHUFRQGXFWVDSDVVDJHRIOLQHVWR
FRQWLQXHDQDWWDFNRUFRQGXFWDFRXQWHUDWWDFNUHWURJUDGHRUVHFXULW\RSHUDWLRQZKHQRQHXQLWFDQQRWE\SDVV
DQRWKHU XQLW¶V SRVLWLRQ 7KH FRQGXFW RI D SDVVDJH RI OLQHV SRWHQWLDOO\ LQYROYHV FORVH FRPEDW ,W LQYROYHV
WUDQVIHUULQJWKHUHVSRQVLELOLW\IRUDQ$2EHWZHHQWZRFRPPDQGHUV7KDWWUDQVIHURIDXWKRULW\XVXDOO\RFFXUV
ZKHQURXJKO\WZRWKLUGVRIWKHSDVVLQJIRUFHKDVPRYHGWKURXJKWKHSDVVDJHSRLQW,IQRWGLUHFWHGE\KLJKHU
DXWKRULW\WKHWZRXQLWFRPPDQGHUVGHWHUPLQHE\PXWXDODJUHHPHQWWKHWLPHWRWUDQVIHUFRPPDQG7KH\
GLVVHPLQDWHWKLVLQIRUPDWLRQWRWKHORZHVWOHYHOVRIERWKRUJDQL]DWLRQV
 7KHUHDUHVHYHUDOUHDVRQVIRUDFRPPDQGHUWRFRQGXFWDSDVVDJHRIOLQHV7KH\LQFOXGHWR²
z 6XVWDLQWKHWHPSRRIWKHRIIHQVH
z 0DLQWDLQWKHYLDELOLW\RIWKHGHIHQVHE\WUDQVIHUULQJUHVSRQVLELOLW\IURPRQHXQLWWRDQRWKHU
z 7UDQVLWLRQIURPDGHOD\RUVHFXULW\RSHUDWLRQE\RQHIRUFHWRDGHIHQVH
z )UHHDXQLWIRUDQRWKHUPLVVLRQRUWDVN

7KHKHDGTXDUWHUVGLUHFWLQJWKHSDVVDJHRIOLQHVLVUHVSRQVLEOHIRUGHWHUPLQLQJZKHQWKHSDVVDJHVWDUWVDQG
ILQLVKHV
 $SDVVDJHRIOLQHVRFFXUVXQGHUWZREDVLFFRQGLWLRQV$IRUZDUGSDVVDJHRIOLQHVRFFXUVZKHQDXQLW
SDVVHVWKURXJKDQRWKHUXQLW¶VSRVLWLRQVZKLOHPRYLQJWRZDUGWKHHQHP\ $'53 $UHDUZDUGSDVVDJH
RI OLQHV RFFXUV ZKHQ D XQLW SDVVHV WKURXJK DQRWKHU XQLW¶V SRVLWLRQV ZKLOH PRYLQJ DZD\ IURP WKH HQHP\
$'53 ,GHDOO\DSDVVDJHRIOLQHVGRHVQRWLQWHUIHUHZLWKFRQGXFWLQJWKHVWDWLRQDU\XQLW¶VRSHUDWLRQV
6HH)0IRUDGGLWLRQDOLQIRUPDWLRQRQSDVVDJHRIOLQHV 

(1&,5&/(0(1723(5$7,216
(DVWDQGQRUWKRI%DVWRJQHDOLQHURXJKO\WKUHHPLOHVIURPWKHWRZQWKDWVWDOZDUW6ROGLHUV
RIWKHVW$LUERUQH'LYLVLRQDQGDVVRUWHGOHVVHUXQLWVKDGHVWDEOLVKHGDQGKHOGWKURXJK
WKHGD\VRIHQFLUFOHPHQWUHPDLQHGLQWDFW
&HQWHUIRU0LOLWDU\+LVWRU\3XEOLFDWLRQThe Last Offensive

 (QFLUFOHPHQW RSHUDWLRQV DUHRSHUDWLRQV ZKHUH RQH IRUFH ORVHV LWV IUHHGRP RI PDQHXYHU EHFDXVH DQ
RSSRVLQJ IRUFH LV DEOH WR LVRODWH LW E\ FRQWUROOLQJ DOO JURXQG OLQHV RI FRPPXQLFDWLRQV DQG UHLQIRUFHPHQW
$'53 $XQLWFDQFRQGXFWRIIHQVLYHHQFLUFOHPHQWRSHUDWLRQVGHVLJQHGWRLVRODWHDQHQHP\IRUFHRU
FRQGXFWGHIHQVLYHHQFLUFOHPHQWRSHUDWLRQVDVDUHVXOWRIWKHXQLW¶VLVRODWLRQE\WKHDFWLRQVRIDQHQHP\IRUFH
(QFLUFOHPHQW RSHUDWLRQV RFFXU EHFDXVH FRPEDW RSHUDWLRQV LQYROYLQJ PRGHUQL]HG IRUFHV DUH OLNHO\ WR EH
FKDRWLFLQWHQVHDQGKLJKO\GHVWUXFWLYHH[WHQGLQJDFURVVODUJHDUHDVFRQWDLQLQJUHODWLYHO\IHZXQLWVDVHDFK
VLGHPDQHXYHUVDJDLQVWWKHRWKHUWRREWDLQSRVLWLRQDODGYDQWDJH 6HHFKDSWHUIRUDGLVFXVVLRQRIGHIHQGLQJ
HQFLUFOHG DQG EUHDNRXW IURP DQ HQFLUFOHPHQW 6HH FKDSWHU  IRU D GLVFXVVLRQ RI RIIHQVLYH HQFLUFOHPHQW
RSHUDWLRQV 

02%,/,7<23(5$7,216
 )UHHGRPWRPRYHDQGPDQHXYHUZLWKLQDQRSHUDWLRQDODUHDLVHVVHQWLDOWRWKHDSSOLFDWLRQRIFRPEDW
SRZHUDQGDFKLHYLQJUHVXOWVDFURVVWKHUDQJHRIPLOLWDU\RSHUDWLRQV$Q2(ZLOOSUHVHQWQXPHURXVFKDOOHQJHV
WRPRYHPHQWDQGPDQHXYHU7KHVHDUHW\SLFDOO\RYHUFRPHWKURXJKWKHLQWHJUDWLRQRIFRPELQHGDUPVPRELOLW\
DQGFRXQWHUPRELOLW\LQVXSSRUWRIPLVVLRQUHTXLUHPHQWV

5-16 FM 3-0 6 October 2017


/DUJH6FDOH&RPEDW 2SHUDWLRQV

%5($&+,1*
 %UHDFKLQJ DFWLYLWLHVDUH FRQGXFWHGWR DOORZ PDQHXYHU GHVSLWHWKH SUHVHQFHRI HQHP\ UHLQIRUFLQJ
REVWDFOHVWKDW DUHFRYHUHGE\ ILUHDQG XVHG WRVKDSH HQJDJHPHQW DUHDV %UHDFKLQJLV DQ LQKHUHQWSDUW RI
PDQHXYHU DQG LW LV RQH RI WKH PRVW GLIILFXOWFRPEDW WDVNV WR SHUIRUP %UHDFKLQJ DFWLYLWLHVVKRXOG EH
FRQGXFWHGRQO\LIE\SDVVLQJ DQREVWDFOHLVQRWSRVVLEOH%UHDFKLQJDFWLYLWLHVDUHFKDUDFWHUL]HGE\ WKRURXJK
UHFRQQDLVVDQFHGHWDLOHGSODQQLQJH[WHQVLYHSUHSDUDWLRQDQGUHKHDUVDODQGDPDVVLQJRIFRPEDWSRZHU
 $ EUHDFKLVD V\QFKURQL]HGFRPELQHGDUPVDFWLYLW\XQGHU WKHFRQWURORIWKHPDQHXYHU FRPPDQGHU
FRQGXFWHGWRDOORZ PDQHXYHU WKURXJK DQ REVWDFOH $73  %UHDFKLQJ EHJLQV ZKHQ IULHQGO\IRUFHV
GHWHFWDQ REVWDFOHDQG EHJLQ WR DSSO\ WKH EUHDFKLQJ IXQGDPHQWDOV %UHDFKLQJ HQGV ZKHQ EDWWOH KDQGRYHU
RFFXUVEHWZHHQIROORZRQIRUFHVDQGWKHXQLWFRQGXFWLQJWKHEUHDFK%UHDFKLQJHVWDEOLVKHVRQHRUPRUHODQHV
WKURXJK D PLQHILHOG DQG UHGXFHV RWKHU REVWDFOHV *HQHUDOO\ EUHDFKLQJ UHTXLUHV VLJQLILFDQW FRPEDW
HQJLQHHULQJVXSSRUWWRDFFRPSOLVK:KHQSODQQLQJ DEUHDFKWKHVWDIIFRQVLGHUVWKHIXQGDPHQWDOVGHVFULEHG
E\WKHPHPRU\DLG6265$ZKLFKVWDQGVIRU²
z 6XSSUHVV
z 2EVFXUH
z 6HFXUH
z 5HGXFH
z $VVDXOW
6HH$73IRUDGHWDLOHGGLVFXVVLRQRIHDFKIXQGDPHQWDO 
 0RVWFRPELQHGDUPV EUHDFKLQJ LVFRQGXFWHGE\ D %&7 RUD EDWWDOLRQVL]HWDVN IRUFHDV D WDFWLFDO
PLVVLRQEXW FRUSVDQG GLYLVLRQVPD\ DOVRH[HFXWHFRPELQHGDUPVEUHDFKLQJ WDVNV 6LJQLILFDQWHQJLQHHU
DXJPHQWDWLRQIURPHFKHORQVDERYHEULJDGHLVW\SLFDOO\UHTXLUHGWRHQDEOHD %&7 EUHDFKRUDEDWWDOLRQWDVN
IRUFHKDVW\RUGHOLEHUDWHEUHDFK
 %XOOLQJ RUIRUFLQJWKURXJKLVQRWWKHSUHIHUUHGEUHDFKLQJWHFKQLTXH%XOOLQJRUIRUFLQJWKURXJK LVD
GHFLVLRQPDGHZKHQ DFRPPDQGHU EDVHGRQDUDSLGULVNDVVHVVPHQW PXVWUHDFWLPPHGLDWHO\WRH[WULFDWHD
IRUFHIURPDQXQWHQDEOHSRVLWLRQZLWKLQDQREVWDFOHDQGQRRWKHUEUHDFKLQJDVVHWVDUHDYDLODEOH:KHQDIRUFH
LVLQDPLQHILHOGDQG LWLVUHFHLYLQJILUHVDQG WDNLQJ KHDY\ ORVVHVWKHFRPPDQGHUPD\ GHFLGHLPPHGLDWHO\
EXOOLQJWKURXJKWKHPLQHILHOGLVWKHOHVVHUULVNWRWKHIRUFHUDWKHUWKDQDZLWKGUDZDO RUUHGXFLQJWKHREVWDFOH
:KHQEUHDFKLQJDXQLWGHYHORSVDVFKHPHRIPRYHPHQWDQG PDQHXYHU VSHFLILFDOO\GHVLJQHGWRQHXWUDOL]H
WKH HIIHFWVRI WKH REVWDFOHDQG FRQWLQXHLWVPLVVLRQ0DQHXYHU FRPSDQ\ WHDPV WDVNV IRUFHVDQG %&7V
FRQGXFWWKHEUHDFK1RUPDOO\DWDVNIRUFHH[HFXWHVDEUHDFKDQGWKHFRPSDQ\WHDPVDUHDVVLJQHGDVVXSSRUW
EUHDFK DQG DVVDXOW IRUFHV+LJKHU HFKHORQXQLWV ZLOO FRQGXFW D EUHDFK ZKHQ WKH IRUFHDOORFDWLRQUDWLR
LQGLFDWHVWKDWDFRQILUPHGHQHP\VLWXDWLRQLVEH\RQGVXERUGLQDWHXQLWFDSDELOLWLHV:KHQDVXERUGLQDWHXQLW
FDQQRWVXFFHVVIXOO\FRQGXFWDEUHDFKWKHKLJKHUHFKHORQXQLWZLOOWDVNRUJDQL]HWRFRQGXFWWKHEUHDFK,WZLOO
DOVRFRQGXFWDKLJKHUOHYHOEUHDFKZKHQDVXERUGLQDWHXQLWKDVIDLOHGLQLWVDWWHPSWWREUHDFKHQHP\REVWDFOHV

&/($5,1*
 0DQHXYHU FRPPDQGHUVPD\ RUGHUFOHDULQJDFWLYLWLHVWRIDFLOLWDWHPRELOLW\ZLWKLQDQ$27KH\PD\
RUGHUDFULWLFDOURXWHRUDUHDWREHFOHDUHGRIPLQHVH[SORVLYHKD]DUGVRURWKHUREVWDFOHV7KHDFWLYLW\FRXOG
EHFRQGXFWHGDVDVLQJOHPLVVLRQWRRSHQRUUHRSHQDURXWHRUDUHDRULW PD\ EHFRQGXFWHGRQD UHFXUULQJ
EDVLVLQVXSSRUWRIHIIRUWVWRGHIHDWDQHQHP\¶VUHHVWDEOLVKPHQWRIREVWDFOHVDORQJFULWLFDOURXWHV
 &OHDULQJLVDPRELOLW\WDVNWKDWLQYROYHVWKHHOLPLQDWLRQRUQHXWUDOL]DWLRQRIDQREVWDFOHWKDWLVXVXDOO\
SHUIRUPHGE\IROORZRQHQJLQHHUVDQGLVQRWGRQHXQGHUILUH $73  ,WLVJHQHUDOO\DFFRPSOLVKHGE\
GHVWUR\LQJ DOWHULQJ RU UHPRYLQJ REVWDFOHV &OHDULQJ RI D URXWH RU DQ DUHD LV RIWHQ SHUIRUPHG E\ D
FRPELQHGDUPV IRUFH EXLOW DURXQG DQ HQJLQHHUEDVHG FOHDUDQFH XQLW &OHDULQJ LV FRQGXFWHG ZKHQ D
FRPPDQGHURUGHUVHQHP\REVWDFOHVWREHFOHDUHGZLWKLQDQDVVLJQHGDUHDRUDORQJDVSHFLILHGURXWH$URXWH
FOHDUDQFHPD\ LQFOXGHD WUDQVLWLRQWRDQ LQVWULGHFRPELQHGDUPVEUHDFKLIWKHHQFRXQWHUHGREVWDFOHVDUH
FRYHUHGE\ ILUHDQG DQ HIIHFWLYHEUHDFK RUJDQL]DWLRQLV DYDLODEOH ZLWKLQ WKH WDVN RUJDQL]DWLRQ RUFDQ EH
HVWDEOLVKHG2QFHWKHLQVWULGHEUHDFKLVFRPSOHWHGDQGWKHHQHP\¶VDELOLW\WRLQWHUIHUHZLWKURXWHFOHDULQJ
KDVEHHQQHXWUDOL]HGWKHFOHDULQJIRUFHUHYHUWVWRWKHSULPDU\PLVVLRQRIURXWHFOHDUDQFH$FOHDULQJPLVVLRQ
LVQRWOLPLWHGWRUHGXFLQJDODQHRUODQHVWKURXJKWKHLGHQWLILHGREVWDFOHVDVLVWKHFDVHLQDEUHDFKLQJVLQFH

6 December 2017 FM 3-0, C1 5-17


Chapter 5

D FOHDULQJPLVVLRQLVIRFXVHGRQ PRYHPHQW DORQJ WKHURXWHRU ZLWKLQ DQ DUHD UDWKHUWKDQ VXSSRUWLQJWKH


PDQHXYHURIDFRPEDWDVVDXOWIRUFH,QURXWHDQGDUHDFOHDUDQFHHQJLQHHUDQG(2'XQLWVGHVWUR\RUUHPRYH
H[SORVLYHREVWDFOHVWKDWDUHDWKUHDWWRPRELOLW\DORQJWKHURXWHRUZLWKLQWKHVSHFLILHGDUHD5RXWHVDQGDUHDV
FOHDUHGDUH FRQVLGHUHGFOHDUHGRQO\ LI WKH\ UHPDLQ FRQWUROOHGE\ IULHQGO\ IRUFHV 6HH $73 IRU
DGGLWLRQDOLQIRUPDWLRQRQWKHSHUIRUPDQFHRIWKHFOHDULQJWDVN 

*$3&5266,1*23(5$7,216
 *DSFURVVLQJLQVXSSRUWRIPDQHXYHULVVLPLODUWRDEUHDFKLQWKDWWKHIRUFHLVYXOQHUDEOHZKLOHPRYLQJ
WKURXJKDODQHRUDFURVVDJDS0DQHXYHUXQLWVDUHIRUFHGWREUHDNPRYHPHQWIRUPDWLRQVFRQFHQWUDWHZLWKLQ
ODQHVRUDW FURVVLQJSRLQWVDQG UHIRUPRQWKHIDUVLGHEHIRUHFRQWLQXLQJWRPDQHXYHU :KLOHPXFK RIWKH
WHUPLQRORJ\DQGSODQQLQJ DVVRFLDWHGZLWKJDSFURVVLQJLVWKHVDPHDVWKDWXVHGLQDEUHDFKJDSFURVVLQJDQG
EUHDFK GLIIHULQ VFRSH 7KH DPRXQW DQG W\SH RI DVVHWVLQYROYHG DOVR GLIIHU&RPELQHGDUPV EUHDFKLQJ
VRPHWLPHVLQFOXGHVJDSFURVVLQJVDVDUHGXFWLRQPHWKRG6LQFHWKHSULPDU\IRFXVRISODQQLQJDQGSUHSDUDWLRQ
LVRQWKHEUHDFKWKH\DUHW\SLFDOO\GLVFXVVHGDVDVXERUGLQDWHSDUWRIWKHEUHDFKUDWKHUWKDQDVDVHSDUDWHJDS
FURVVLQJ:HWJDSFURVVLQJVWHQGWREHPRUHFRPSOH[DQGGHPDQGLQJWKDQGU\JDSFURVVLQJV
 7KH JDS FURVVLQJW\SHVDUHGHOLEHUDWHKDVW\DQG FRYHUW(DFKJDS FURVVLQJW\SHKDVD JHQHUDOOLVWRI
FRQGLWLRQVWKDWKHOSGHILQHLWVFDWHJRU\7KHSODQQLQJUHTXLUHPHQWVIRUHDFKW\SHRIJDSFURVVLQJDUHVLPLODU
+RZHYHUWKHUHTXLUHGGHJUHHRIGHWDLODQGQHFHVVDU\FRQGLWLRQVIRUDKLJKGHJUHHRIVXFFHVVZLOOYDU\EDVHG
RQWKHW\SHDQGWKHXQLTXHIHDWXUHVDVVRFLDWHGZLWKDFURVVLQJPLVVLRQ,QDOOFDVHVWKHDELOLW\WRFRQGXFWDQ\
W\SHRIFURVVLQJEHJLQVE\ SURYLGLQJ D FURVVLQJIRUFHZLWKWKHQHFHVVDU\JDSFURVVLQJPHDQVDQG FRQWURO
HOHPHQWV DQG LGHQWLI\LQJ WKRVH UHTXLUHPHQWV HDUO\ GXULQJ SODQQLQJ 6HH $73  IRU DGGLWLRQDO
LQIRUPDWLRQRQJDSFURVVLQJLQVXSSRUWRIPDQHXYHUDQGPRYHPHQW 

&20%$752$'6$1'75$,/6
 &RPEDWURDGVDQGWUDLOVDUHEXLOWSULPDULO\DVDKDVW\VXSSOHPHQWRUE\SDVVWRDQH[LVWLQJURXWHWKDWLV
LPSDFWHG E\ QDWXUDO RU PDQPDGH REVWDFOHV7KH\ IXOILOO LPPHGLDWH UHTXLUHPHQWVWR PRYH SHUVRQQHO
HTXLSPHQWDQGVXSSOLHVWKURXJKRXWDQ$2WRDFKLHYHWKHFRPPDQGHU¶VLQWHQWGHVSLWHWHUUDLQUHVWULFWLRQV
 $ FRPEDWURDG LVD WUDYHOHGZD\ WKDW KDV EHHQFOHDUHGRIREVWDFOHVDQG WHPSRUDULO\VXUIDFHGZLWK
PDWHULDO XVXDOO\JUDYHORUFUXVKHGURFN RUE\DQH[SHGLHQWPHDQVWRLQFUHDVHLWVWUDIILFDELOLW\&RPEDWURDGV
XVXDOO\GRQRWKDYH DQDVSKDOWRUFRQFUHWHVXUIDFH&RPEDWURDGVDUHJHQHUDOO\QHHGHGWRVXSSRUWZKHHOHG
YHKLFOHVXQVXLWHGIRUUXJJHGWHUUDLQ&RPEDWURDGVUHTXLUHPRUHHIIRUWWREXLOGWKDQWUDLOVEXWWKH\VXSSRUWD
EURDGHUUDQJHRIYHKLFOHVDQGWHQGWRODVWORQJHU%XLOGLQJFRPEDWURDGV DQGWUDLOV LVDFRPEDWHQJLQHHULQJ
WDVN WKDW LVFRQGXFWHGLQ FORVHVXSSRUWWRJURXQG PDQHXYHU IRUFHVWKDWDUHLQ FORVHFRPEDW+LJKHUOHYHO
URDGZRUNLVD JHQHUDOHQJLQHHUWDVN VHH$73 0&:3 DQGWKHVSHFLILFDSSOLFDWLRQRIWKDW
OHYHORIURDGFRQVWUXFWLRQLVGHWDLOHGLQ70 7KHSULPDU\GLIIHUHQFHEHWZHHQFRPEDWURDGVDQG
FRQYHQWLRQDOURDGVLVWKHGHJUHHRISHUPDQHQFHDQG WKHFKDUDFWHULVWLFVRIWKHWUDIILFWKH\DUHGHVLJQHGWR
VXSSRUW&RPEDWURDGVDUHEXLOWWRKDQGOHORZYROXPHVRIWUDIILFIRUDVKRUWWLPH
 $ FRPEDWWUDLOLV D WUDYHOHG ZD\ WKDW KDV EHHQ FOHDUHGRIREVWDFOHVEXW KDV QRW EHHQ WHPSRUDULO\
VXUIDFHG$ WUDLOPD\EHURXJKO\JUDGHGE\ FRPEDWHDUWKPRYLQJHTXLSPHQWWRSURYLGHD UHODWLYHO\VPRRWK
VXUIDFH&RPEDWWUDLOVDUHXVXDOO\DGHTXDWHIRUWUDFNHGDQGZKHHOHGFRPEDWYHKLFOHV
 $ FRPPDQGHU¶VUHTXLUHPHQWIRUFRPEDWURDGVRUWUDLOVLVJHQHUDOO\GHWHUPLQHGE\WKHFKDUDFWHULVWLFV
RIWKHLQWHQGHGWUDIILFWKHGXUDWLRQRIWKHUHTXLUHPHQWDQGWKHLQKHUHQWWUDIILFDELOLW\RIWKHH[LVWLQJJURXQG
VXUIDFHEDVHGRQLWVVRLOFKDUDFWHULVWLFVDQGZHDWKHUFRQGLWLRQV,QIODWGHVHUWDUHDVZLWKGU\FRQGLWLRQVIRU
H[DPSOHRQFHD SDWKZD\ LVFOHDUHGRIREVWDFOHVDQG PDUNHG WKHUHVXOWLQJWUDLOFDQXVXDOO\VXSSRUWDORZ
YROXPHRIPRVWW\SHVRIYHKLFXODUWUDIILFIRUDVKRUWWLPHZLWKRXWDQ\DGGLWLRQDOHIIRUW 6HH$73IRU
DGGLWLRQDOLQIRUPDWLRQRQWKHFRQVWUXFWLRQDQGPDLQWHQDQFHRIFRPEDWURDGVDQGWUDLOV 

)25:$5' $9,$7,21 &20%$7(1*,1((5,1*


 &RPEDWHQJLQHHULQJLQVXSSRUWRIDYLDWLRQRSHUDWLRQVLQFOXGHVWKHFRPEDWHQJLQHHULQJWDVNVSHUIRUPHG
VSHFLILFDOO\WRVXSSRUWWKHDLUPRYHPHQWRISHUVRQQHOHTXLSPHQWDQG VXSSOLHVZLWKLQ DQ RSHUDWLRQDODUHD
HVSHFLDOO\LQFRPSOH[WHUUDLQRUZKHQJURXQGOLQHVRIFRPPXQLFDWLRQVKDYHEHHQGLVUXSWHG)RUZDUGDYLDWLRQ

5-18 FM 3-0, C1 6 December 2017


/DUJH6FDOH&RPEDW2SHUDWLRQV

FRPEDW HQJLQHHULQJ DOVR LQFOXGHV WKRVH WDVNV WKDW VXSSRUW IRUZDUG DYLDWLRQ RSHUDWLQJ IDFLOLWLHV LQFOXGLQJ
IRUZDUGDUPLQJDQGUHIXHOSRLQWVDQGWDFWLFDO8$6ODXQFKDQGUHFRYHU\VWULSV)RUZDUGDYLDWLRQRSHUDWLQJ
IDFLOLWLHVVKRUWHQWKHGLVWDQFHEHWZHHQDQDYLDWLRQXQLW¶VSURMHFWHGDUHDRIFRPPLWPHQWDQGLWVVXVWDLQPHQW
DUHD UHGXFLQJ WXUQDURXQG WLPHV )RUZDUG DYLDWLRQ FRPEDW HQJLQHHULQJ DOVR HQKDQFHV WKH DYDLODELOLW\ DQG
UHVSRQVLYHQHVVRIDYLDWLRQDVVHWV
 &RPEDWHQJLQHHULQJLQVXSSRUWRIDYLDWLRQRSHUDWLRQVLVDFRPEDWHQJLQHHULQJPLVVLRQKRZHYHU
JHQHUDOHQJLQHHULQJXQLWVPD\EHUHTXLUHGWRSHUIRUPRUDXJPHQWFRPEDWHQJLQHHUVWKDWDUHSHUIRUPLQJWKLV
WDVNGHSHQGLQJRQWKHVLWXDWLRQ7KH%&7RUJDQLFHQJLQHHULQJFDSDELOLWLHVUHTXLUHDXJPHQWDWLRQWRPHHWWKH
IXOOUDQJHRIDYLDWLRQVXSSRUWUHTXLUHPHQWVHVSHFLDOO\WKHUHTXLUHPHQWVWKDWZLOOOLNHO\EHPRUHSHUPDQHQW
DVWKHSKDVHVRIDQRSHUDWLRQSURJUHVV&RPEDWHQJLQHHULQJLQVXSSRUWRIDYLDWLRQRSHUDWLRQVLQFOXGHVWKHVH
WDVNV²
z &RQVWUXFWODQGLQJ]RQHV
z &RQVWUXFWH[WUDFWLRQ]RQHV
z &RQVWUXFWPDLQWDLQDQGUHSDLUPDQQHGDQGXQPDQQHGODQGLQJVWULSV
z &RQVWUXFWPDLQWDLQDQGUHSDLUIRUZDUGDYLDWLRQRSHUDWLQJIDFLOLWLHV

 &RPEDW HQJLQHHULQJ LQ VXSSRUW RI DYLDWLRQ RSHUDWLRQV LQFOXGHV UHTXLUHPHQWV IRU WKH KDVW\
FRQVWUXFWLRQ RU UHKDELOLWDWLRQ RI DYLDWLRQ IDFLOLWLHV WKDW VXSSRUW IL[HG DQG URWDU\ZLQJ DLUFUDIW DV ZHOO DV
8$6V,WLQFOXGHVWKHUHTXLUHPHQWVWRLPSURYHGURS]RQHVDQGH[WUDFWLRQ]RQHVIRUDLUERUQHLQVHUWLRQVDQG
DHULDO DLUGURS GHOLYHU\7KHFRQVLGHUDWLRQVDVVRFLDWHGZLWKSHUIRUPLQJIRUZDUGDYLDWLRQFRPEDWHQJLQHHULQJ
DUHVLPLODUWRWKRVHDVVRFLDWHGZLWKWKHFRQVWUXFWLRQRIFRPEDWURDGVDQGWUDLOV%RWKDUHEDVHGRQH[SHGLHQW
KRUL]RQWDOFRQVWUXFWLRQWHFKQLTXHVDQGDUHFRQVLGHUHGFRPEDWHQJLQHHULQJPLVVLRQVDOWKRXJKWKH\FDQEH
FRQGXFWHGE\XQLWVWKDWDUHGHVLJQHGWRSHUIRUPJHQHUDOHQJLQHHULQJWDVNV
 /DQGLQJ ]RQHV DOORZ DLUFUDIW WR ODQG DQG GHOLYHU WURRSV HTXLSPHQW DQG ORJLVWLFV 7KH FRPEDW
HQJLQHHULQJDSSOLHGWRODQGLQJ]RQHVFDQUDQJHIURPFOHDULQJWUHHVIURPWKHURWRU]RQHWRSODFLQJH[SHGLHQW
VXUIDFHPDWHULDOWRIDFLOLWDWHVXUIDFHVWDELOLW\DQGWRFRQWUROGXVW
 6XVWDLQLQJJURXQGIRUFHVPD\UHTXLUHDHULDOUHVXSSO\E\PHDQVRWKHUWKDQDLUODQGLQJDQGDLUGURSV
([WUDFWLRQ ]RQHV DUH VSHFLILFDOO\ XVHG WR VXSSRUW ORZDOWLWXGH DHULDO GHOLYHULHV WKDW XVH WKH ORZDOWLWXGH
SDUDFKXWHH[WUDFWLRQV\VWHP([WUDFWLRQ]RQHVUHTXLUHUHODWLYHO\IODWVWXPSIUHHWHUUDLQZLWKPHDVXUHPHQWV
VLPLODUWRWKRVHVSHFLILHGIRUD&ODQGLQJVWULS6LQFHWKHIL[HGZLQJWUDQVSRUWDLUFUDIWW\SLFDOO\D&
GRHVQRWODQGZKHQGLVFKDUJLQJLWVFDUJRWKHJURXQGVWUHQJWKUHTXLUHPHQWVDUHEDVHGRQWKHHTXLSPHQWEHLQJ
GLVFKDUJHG ,QIRUPDWLRQ RQ JURXQG VWUHQJWK LV SURYLGHG LQ 70  ([WUDFWLRQ ]RQH FULWHULD DQG
PDUNLQJUHTXLUHPHQWVDUHGHVFULEHGLQ70
 7KH ODQGLQJ VWULS DOVR UHIHUUHG WR DV D IOLJKW VWULS  LV WKH SRUWLRQ RI DQ DLUILHOG WKDW LQFOXGHV WKH
ODQGLQJDUHDWKHHQG]RQHVDQGWKHVKRXOGHUDUHDV$ODQGLQJVWULSLVGHVLJQHGFRQVWUXFWHGDQGPDLQWDLQHG
WR VXSSRUW WKH ODQGLQJ DQG WDNHRII RI VSHFLILHG IL[HGZLQJ DLUFUDIW DQG 8$6V /DQGLQJ VWULSV PXVW EH
UHODWLYHO\IODWZLWKDVXUIDFHFDSDEOHRIVXSSRUWLQJIXOO\ORDGHGDLUFUDIW3URSHUVLWHVHOHFWLRQLVHVVHQWLDOLQ
PLQLPL]LQJ WKH HQJLQHHULQJ HIIRUW QHHGHG IRU PHHWLQJ WKH GHVLJQ DQG FRQVWUXFWLRQ FULWHULD SUHVFULEHG LQ
70
 &RPEDW HQJLQHHUV FRQVWUXFW PDLQWDLQ DQG UHSDLU IRUZDUG DYLDWLRQ RSHUDWLQJ IDFLOLWLHV LQFOXGLQJ
ODQGLQJ ]RQHV LQLWLDO KHOLSRUWV DQG KHOLSDGV DQG IRUZDUG DUPLQJ DQG UHIXHOLQJ SRLQWV 7KHVH DYLDWLRQ
IDFLOLWLHVDUHSRVLWLRQHGWRH[WHQGWKHWDFWLFDOUHDFKRIDWWDFNOLIWUHFRQQDLVVDQFHDQGXQPDQQHGDYLDWLRQ
DVVHWVDQGRSWLPL]H WKHWLPH RQWDUJHW0DLQWHQDQFHLQFOXGHVWKHDFWLYLWLHVQHHGHGWRFRUUHFWGHILFLHQFLHV
UHVXOWLQJIURPQRUPDOXVHDQGGHWHULRUDWLRQGXHWRZHDWKHUDQGUHSDLULWHPVZLWKGDPDJHGXHWRDEQRUPDO
XVHDFFLGHQWVVHYHUHZHDWKHUDQGWKUHDWDFWLRQV 6HH $73IRUDGGLWLRQDOLQIRUPDWLRQRQIRUZDUG
DYLDWLRQFRPEDWHQJLQHHULQJ 

&2817(502%,/,7<23(5$7,216
 &RXQWHUPRELOLW\ RSHUDWLRQVDUH WKRVHFRPELQHGDUPVDFWLYLWLHVWKDWXVHRUHQKDQFHWKHHIIHFWVRI
QDWXUDO DQG PDQPDGH REVWDFOHV WR GHQ\ HQHP\ IUHHGRP RI PRYHPHQW DQG PDQHXYHU $73  7KH
SULPDU\SXUSRVHVRIFRXQWHUPRELOLW\RSHUDWLRQVDUHWRVKDSHHQHP\PRYHPHQWDQGPDQHXYHUDQGWRSUHYHQW
WKHHQHP\IURPJDLQLQJDSRVLWLRQRIDGYDQWDJH&RXQWHUPRELOLW\RSHUDWLRQVLQFOXGHWKHIROORZLQJWDVNV

6 October 2017 FM 3-0 5-19


Chapter 5

z 6LWHFRQVWUXFWLRQ
z &RQVWUXFWHPSODFHRUGHWRQDWHREVWDFOHV
z 0DUNUHSRUWDQGUHFRUGREVWDFOHV
z 0DLQWDLQREVWDFOHLQWHJUDWLRQ

 ,Q VXSSRUW RI RIIHQVLYH WDVNV FRXQWHUPRELOLW\ RSHUDWLRQV DUH FRQGXFWHG WR LVRODWH REMHFWLYHV DQG
SUHYHQW HQHP\ IRUFHV IURP UHSRVLWLRQLQJ UHLQIRUFLQJ DQG FRXQWHUDWWDFNLQJ 7KH\ DUH DOVR FRQGXFWHG WR
HQDEOHIODQNSURWHFWLRQDVFRPEDWRSHUDWLRQVSURJUHVVLQWRWKHGHSWKRIHQHP\GHIHQVHVRUDVDQLQWHJUDWHG
HFRQRP\RIIRUFH HIIRUW WR SURYLGH JHQHUDO IODQN VHFXULW\ 7KH FRPPDQGHU¶V RSWLRQV IRU HPSODFLQJ
UHLQIRUFLQJREVWDFOHVLQWKHRIIHQVHDUHRIWHQOLPLWHGEHFDXVHRIFKDOOHQJHVLQJDLQLQJHDUO\DFFHVVWRPXFK
RI DQ $2 7KLV LQFUHDVHV WKH LPSRUWDQFH RI WDNLQJ DGYDQWDJH RI H[LVWLQJ REVWDFOHV DQG WKH QDWXUDO
UHVWULFWLYHQHVV RI WKH WHUUDLQ ,W DOVR LQFUHDVHV WKH FRPPDQGHU¶V UHOLDQFH RQ UDSLG REVWDFOH HPSODFHPHQW
FDSDELOLWLHVHVSHFLDOO\UHPRWHO\GHOLYHUHGREVWDFOHVWRUHLQIRUFHWKHWHUUDLQ
 ,Q VXSSRUW RI GHIHQVLYH WDVNV FRXQWHUPRELOLW\ RSHUDWLRQV DUH FRQGXFWHG WR GLVUXSW HQHP\ DWWDFN
IRUPDWLRQVDQGDVVLVWIULHQGO\IRUFHVLQGHIHDWLQJDQHQHP\LQGHWDLOWRFKDQQHODWWDFNLQJHQHP\IRUFHVLQWR
HQJDJHPHQWDUHDVWKURXJKRXWWKHGHSWKRIWKHGHIHQVHDQG WRSURWHFWWKHIODQNVRIIULHQGO\FRXQWHUDWWDFN
IRUFHV 7KH\ VKDSH HQJDJHPHQWV PD[LPL]H WKH HIIHFWV RI ILUHV DQG SURYLGH FORVHLQ SURWHFWLRQ DURXQG
GHIHQVLYHSRVLWLRQVWRKHOSGHIHDWDQHQHP\¶VILQDODVVDXOWDQGWRSUHYHQWDQGZDUQRILQWUXVLRQLQWRFULWLFDO
IL[HGVLWHVVXFKDVEDVHFDPSVDQGVXVWDLQPHQWVLWHV(UHFWLQJREVWDFOHVLVDOVRDFULWLFDOVXSSRUWLYHWDVNWR
FRQGXFWLQJGHQLDORSHUDWLRQV
 ,Q DGGLWLRQ WR WKH UDSLG REVWDFOH HPSODFHPHQW FDSDELOLWLHV WKDW DUH RIWHQ XVHG LQ WKH RIIHQVH
FRPPDQGHUVFDQDOVRXVHPRUHWLPHDQGUHVRXUFHLQWHQVLYHWHFKQLTXHVWRUHLQIRUFHWKHWHUUDLQIRUORQJHUWLPH
SHULRGV6XFKWHFKQLTXHVSULPDULO\LQFOXGHFRQVWUXFWHGREVWDFOHVDQGVRPHGHPROLWLRQREVWDFOHV(QVXULQJ
WKDWWKHVHWDVNVDUHFRQGXFWHGHIILFLHQWO\DQGHIIHFWLYHO\LVFULWLFDOWRVXFFHVV$GGLWLRQDOO\WKHSULRULWL]DWLRQ
RIWDVNVLVHVVHQWLDOLQUHVROYLQJWKHFRPSHWLQJGHPDQGVRIPRELOLW\FRXQWHUPRELOLW\DQGVXUYLYDELOLW\WDVNV
DQGHQVXULQJWKDWWKHPRVWLPSRUWDQWWDVNVDUHDFFRPSOLVKHGILUVW
 7KHFRQGXFWRIFRXQWHUPRELOLW\RSHUDWLRQVW\SLFDOO\LQYROYHVHQJLQHHUVDQGLQFOXGHVSURSHUREVWDFOH
LQWHJUDWLRQ ZLWK WKH PDQHXYHU SODQ DGKHUHQFH WR REVWDFOH HPSODFHPHQW DXWKRULW\ DQG SRVLWLYH REVWDFOH
FRQWURO &RPELQHG DUPV REVWDFOH LQWHJUDWLRQ V\QFKURQL]HV FRXQWHUPRELOLW\ RSHUDWLRQV LQWR WKH FRQFHSW RI
RSHUDWLRQV &RPPDQGHUV PXVW HQVXUH WKDW REVWDFOHV DUH LQWHJUDWHG ZLWK REVHUYDWLRQ DQG ILUHV DQG IXOO\
V\QFKURQL]HGZLWKWKHFRQFHSWRIRSHUDWLRQVWRDYRLGKLQGHULQJDQ\IULHQGO\IRUFHPRELOLW\%HFDXVHPRVW
REVWDFOHVKDYHWKHSRWHQWLDOWRGHQ\WKHIUHHGRPRIPRYHPHQWDQGPDQHXYHUWRIULHQGO\IRUFHVDQGHQHP\
IRUFHVLWLVFULWLFDOWKDWFRPPDQGHUVSURSHUO\ZHLJKWKHULVNVDQGHYDOXDWHWKHWUDGHRIIVRIHPSOR\LQJYDULRXV
W\SHVRIREVWDFOHV 6HH$73IRUPRUHLQIRUPDWLRQDERXWFRXQWHUPRELOLW\ 

SECTION III – FORCIBLE ENTRY


$LUERUQH IRUFHV H[HFXWH SDUDFKXWH RU DLUODQGHG DVVDXOWV WR VHL]H DQG KROG LPSRUWDQW
REMHFWLYHVXQWLOJURXQGOLQNXSRUZLWKGUDZDOFDQEHDFFRPSOLVKHGRUXQWLOUHLQIRUFHGE\
DLURUDPSKLELRXVODQGLQJ
)0Airborne Operations

 )RUFLEOHHQWU\LVWKHVHL]LQJDQGKROGLQJRIDPLOLWDU\ORGJPHQWLQWKHIDFHRIDUPHGRSSRVLWLRQRU
IRUFLQJDFFHVVLQWRDGHQLHGDUHDWRDOORZPRYHPHQWDQGPDQHXYHUWRDFFRPSOLVKWKHPLVVLRQ -3 $
IRUFLEOHHQWU\RSHUDWLRQPD\EHWKH-)&¶VRSHQLQJPRYHWRVHL]HWKHLQLWLDWLYH)RUH[DPSOHD-)&PLJKW
GLUHFWIULHQGO\IRUFHVWRVHL]HDQGKROGDQDLUKHDGRUDEHDFKKHDGWRIDFLOLWDWHWKHFRQWLQXRXVODQGLQJRIWURRSV
DQG PDWHULHO DQG H[SDQG WKH PDQHXYHU VSDFH QHHGHG WR FRQGXFW IROORZRQ RSHUDWLRQV )RUFLEOH HQWU\
RSHUDWLRQV GXULQJ WKH GRPLQDWH SKDVH RI DQ RSHUDWLRQ RU FDPSDLJQ PD\ EH XVHG IRU D FRXS GH PDLQ
FRQGXFWLQJRSHUDWLRQDOPRYHPHQWDQGPDQHXYHUWRDWWDLQSRVLWLRQDODGYDQWDJHRUDVDWDFWLFDOGHFHSWLRQ
 $UP\IRUFHVDVSDUWRIDMRLQWIRUFHPXVWEHFDSDEOHRIGHSOR\LQJDQGILJKWLQJWRJDLQDFFHVVWR
JHRJUDSKLFDUHDVFRQWUROOHGE\IRUFHVKRVWLOHWR86QDWLRQDOLQWHUHVWVWREHFUHGLEOHERWKDVDGHWHUUHQWDQG
DVDYLDEOHPLOLWDU\RSWLRQIRUSROLF\HQIRUFHPHQW6ZLIWDQGGHFLVLYHYLFWRU\LQWKHVHFDVHVUHTXLUHVIRUFLEOH
HQWU\DQGWKHDELOLW\WRVXUJHIROORZRQIRUFHV

5-20 FM 3-0 6 October 2017


/DUJH6FDOH&RPEDW 2SHUDWLRQV

 &RPPDQGHUVGHVLJQ WKHLUIRUFLEOHHQWU\ RSHUDWLRQVWR VHL]H DQG KROG D ORGJPHQW DJDLQVW DUPHG
RSSRVLWLRQ$ ORGJPHQWLVD GHVLJQDWHGDUHDLQ D KRVWLOHRUSRWHQWLDOO\KRVWLOHRSHUDWLRQDODUHD WKDW ZKHQ
VHL]HGDQGKHOGPDNHVWKHFRQWLQXRXVODQGLQJRIWURRSVDQGPDWHULHOSRVVLEOHDQGSURYLGHVPDQHXYHUVSDFH
IRUVXEVHTXHQWRSHUDWLRQV -3 $ORGJPHQWPD\EHDQDLUKHDGDEHDFKKHDGRUDFRPELQDWLRQWKHUHRI
$ ORGJPHQWDUHDLVODUJHHQRXJKWRSURYLGHPDQHXYHUVSDFHIRUVXEVHTXHQWRSHUDWLRQV$IRUFHGHIHQGVWKH
SHULPHWHURIDORGJPHQWXQWLOLWKDVVXIILFLHQWIRUFHVWREUHDNRXWRIWKHORGJPHQWDQGFRQGXFWRIIHQVLYHWDVNV
)RUFLEOH HQWU\ RSHUDWLRQV DUH LQKHUHQWO\ MRLQW )RUFLEOH HQWU\ GHPDQGV FDUHIXO SODQQLQJ DQG WKRURXJK
SUHSDUDWLRQ V\QFKURQL]HG YLROHQW DQG UDSLG H[HFXWLRQDQG OHDGHULQLWLDWLYH DW HYHU\ OHYHO WR GHDO ZLWK
IULFWLRQFKDQFHDQGRSSRUWXQLW\7KHUHDUHWKUHHW\SHVRIIRUFLEOHHQWU\RSHUDWLRQVDPSKLELRXVDLUERUQH
DQGDLUDVVDXOW

)RUFLEOH(QWU\ 23(5$7,21 -867 &$86(


'XULQJ 23(5$7,21 -867 &$86( WKH DUPHG IRUFHV RI WKH 8QLWHG 6WDWHV UDSLGO\
DVVHPEOHG GHSOR\HGDQGFRQGXFWHGDIRUFLEOHHQWU\RSHUDWLRQ7KHZHOOWDLORUHG IRUFH
LQYROYHG LQ WKLV RSHUDWLRQ VLPXOWDQHRXVO\ VHL]HG PXOWLSOH NH\ WDUJHWV LQ 3DQDPD
YLUWXDOO\ HOLPLQDWLQJ RUJDQL]HG UHVLVWDQFH LQWKH VSDFHRIDIHZ KRXUV7KH RSHUDWLRQ
GHPRQVWUDWHG WKH FDSDELOLW\ RI WKH 86 PLOLWDU\ WR SURMHFW IRUFHV UDSLGO\ DJDLQVW
RSSRVLWLRQ ZKLOHV\QFKURQL]LQJPXOWLSOH HOHPHQWV RIFRPEDWSRZHU

,Q WKH PLGV GLSORPDWLF UHODWLRQV EHJDQ WR GHWHULRUDWH EHWZHHQ WKH OHDGHU RI
3DQDPD0DQXHO 1RULHJDDQGWKH86%\'HFHPEHU1RULHJDGHFODUHGWKDWD
VWDWH RIZDU H[LVWHG EHWZHHQ WKH 86 DQG 3DQDPD DQG WKUHDWHQHG WKH OLYHV RI WKH
DSSUR[LPDWHO\  86FLWL]HQVOLYLQJ LQ3DQDPD 7KHUH ZHUH QXPHURXV FODVKHV
DQGFRQIURQWDWLRQVEHWZHHQ 86DQG3DQDPDQLDQ IRUFHVRQH860DULQHKDGEHHQ
NLOOHG

/DWH RQ  'HFHPEHU  D MRLQW IRUFH RI  6ROGLHUV 6DLORUV $LUPHQ DQG
0DULQHVGHSOR\HGIURP86 EDVHVERXQGIRU3DQDPD'XULQJWKHHDUO\PRUQLQJKRXUV
RI  'HFHPEHU WKLV IRUFH—VXSSRUWHG E\ 8QLWHG 6WDWHV 6RXWKHUQ &RPPDQG
IRUZDUGGHSOR\HG IRUFHVLQ3DQDPD—VLPXOWDQHRXVO\ DWWDFNHG WDUJHWV DWVHSDUDWH
ORFDWLRQV 7KH VXFFHVV RI WKH DWWDFN DJDLQVW NH\ 3DQDPDQLDQ 'HIHQVH )RUFH
VWURQJKROGV UHTXLUHGDVHTXHQFHRIVWHDOWK\ PRYHV E\DQDVVRUWPHQW RI86 VSHFLDO
RSHUDWLRQV IRUFHV DQG HOHPHQWV IURPWKH G $LUERUQH'LYLVLRQ WKH WK 0HFKDQL]HG
'LYLVLRQWKHWK,QIDQWU\'LYLVLRQVDQG86 0DULQH&RUSV7KHVH ZHUHVXSSRUWHG E\
WKH86$) DQG 861DY\ LQDYDULHW\RIZD\VLQFOXGLQJDLUOLIWDQGVHDOLIW VXSSUHVVLRQ
RI HQHP\ DLU GHIHQVHV DQG $& JXQVKLS VWULNHV 0LVVLRQ RUGHUV GHFHQWUDOL]HG
H[HFXWLRQ DQGLQGLYLGXDO LQJHQXLW\FRQWULEXWHGJUHDWO\WRWKHDELOLW\RIWKHMRLQWIRUFHWR
UDSLGO\SDUDO\]HWKH3DQDPDQLDQ 'HIHQVH)RUFH’s UHVSRQVHFDSDELOLW\

 2SHUDWLRQDODFFHVVLV WKH GHVLUHGFRQGLWLRQWKDW WKH 8QLWHG 6WDWHV VHHNVWR PDLQWDLQ LQ DUHDV RI
VWUDWHJLFLPSRUWDQFHWR DFKLHYH DVVXUHG DFFHVV$UP\ IRUFHVDV SDUW RI MRLQWIRUFHVSURMHFWIRUFHVDQG
FDSDELOLWLHVLQWRDQ RSHUDWLRQDODUHD7KH\ FRQGXFWRSHUDWLRQVWRGHIHDWHQHP\$DQG$' FDSDELOLWLHVDQG
HVWDEOLVKVHFXULW\FRQGLWLRQVDQG FRQWURORIWHUULWRU\7KLVSUHVHUYHVWKHIRUFH¶VIUHHGRPRIPRYHPHQWDQG
DFWLRQIRUIROORZRQRSHUDWLRQVRUGHQLHVWKHHQHP\XVHRIDQ DUHD)RUFLEOHHQWU\RSHUDWLRQVDUHFRPSOH[
DQG DOZD\V LQYROYH WDNLQJ SUXGHQW ULVNWRJDLQ D SRVLWLRQRIUHODWLYHDGYDQWDJH RYHU DQ HQHP\ -3 
HVWDEOLVKHVMRLQWGRFWULQHIRUIRUFLEOHHQWU\-3HVWDEOLVKHVMRLQWGRFWULQHIRUDPSKLELRXVRSHUDWLRQV
)0HVWDEOLVKHVGRFWULQHIRUDLUERUQHDQGDLUDVVDXOWRSHUDWLRQV 

6 December 2017 FM 3-0, C1 5-21


Chapter 5

SECTION IV – TRANSITION TO CONSOLIDATE GAINS


,QWKHFDVHRIDVWDWHWKDWLVVHHNLQJQRWFRQTXHVWEXWWKHPDLQWHQDQFHRILWVVHFXULW\WKH
DLPLVIXOILOOHGLIWKHWKUHDWEHUHPRYHG²LIWKHHQHP\LVOHGWRDEDQGRQKLVSXUSRVH
6LU%DVLO+/LGGHOO +DUW

 $UP\IRUFHVSURYLGHWKH-)&WKHDELOLW\WRFDSLWDOL]HRQRSHUDWLRQDOVXFFHVVE\FRQVROLGDWLQJJDLQV
&RQVROLGDWHJDLQV LVDQ LQWHJUDOSDUW RIZLQQLQJ DUPHGFRQIOLFWDQG DFKLHYLQJ VXFFHVVDFURVVWKHUDQJH RI
PLOLWDU\RSHUDWLRQV,WLVHVVHQWLDOWRUHWDLQLQJWKHLQLWLDWLYHRYHUGHWHUPLQHGHQHPLHVDQGDGYHUVDULHV$UP\
IRUFHVUHLQIRUFHDQGLQWHJUDWHWKHHIIRUWVRIDOOXQLILHGDFWLRQSDUWQHUVZKHQWKH\FRQVROLGDWHJDLQV
 $UP\ IRUFHVFRQVROLGDWHJDLQVLQVXSSRUWRIDKRVWQDWLRQDQG LWVFLYLOLDQSRSXODWLRQRUDVSDUWRI
WKHSDFLILFDWLRQRIDKRVWLOHVWDWH7KHVHJDLQVPD\LQFOXGHWKHHVWDEOLVKPHQWRISXEOLFVHFXULW\WHPSRUDULO\
E\XVLQJWKHPLOLWDU\DVDWUDQVLWLRQDOIRUFHWKHUHORFDWLRQRIGLVSODFHGFLYLOLDQVUHHVWDEOLVKPHQWRIODZDQG
RUGHUSHUIRUPDQFHRIKXPDQLWDULDQDVVLVWDQFHDQGUHVWRUDWLRQRINH\LQIUDVWUXFWXUH&RQFXUUHQWO\FRUSVDQG
GLYLVLRQV PXVW EH DEOH WR DFFRPSOLVK WKHVHDFWLYLWLHV ZKLOH VXVWDLQLQJ UHSRVLWLRQLQJ DQG UHRUJDQL]LQJ
VXERUGLQDWHXQLWVWRFRQWLQXHRSHUDWLRQVLQWKHFORVHDUHD
 8SRQ VXFFHVVIXOWHUPLQDWLRQRI ODUJHVFDOHFRPEDW RSHUDWLRQV$UP\ IRUFHVLQ WKH FORVHDUHD
WUDQVLWLRQUDSLGO\WRWKHFRQGXFWRIFRQVROLGDWLRQRIJDLQVDFWLYLWLHV$OWHUQDWLYHO\WKH\PD\EHUHOLHYHGLQ
SODFHE\ DQRWKHUXQLW &RQVROLGDWLRQRIJDLQV DFWLYLWLHVPD\ HQFRPSDVVD OHQJWK\ SHULRGRISRVWFRQIOLFW
RSHUDWLRQVSULRUWRUHGHSOR\PHQW7KLV WUDQVLWLRQWRFRQVROLGDWLRQRIJDLQV PD\ RFFXUHYHQ LI ODUJHVFDOH
FRPEDWRSHUDWLRQVDUHRFFXUULQJLQRWKHUSDUWVRIDQ$2LQRUGHUWRH[SORLWWDFWLFDOVXFFHVV$QWLFLSDWLRQDQG
HDUO\SODQQLQJIRUDFWLYLWLHVDIWHUODUJHVFDOHFRPEDWRSHUDWLRQVHDVHWKHWUDQVLWLRQSURFHVV
 7KH-)&GHILQHVWKHFRQGLWLRQVWRZKLFKDQ$2LVWREHVWDELOL]HG7KHWKHDWHUDUP\LVQRUPDOO\WKH
RYHUVHHURIWKHRUGHUO\WUDQVLWLRQRIDXWKRULW\WRDSSURSULDWH86LQWHUQDWLRQDOLQWHUDJHQF\RUKRVW QDWLRQ
DJHQFLHV7KHWKHDWHUDUP\DQGVXERUGLQDWHFRPPDQGHUVHPSKDVL]HWKRVHDFWLYLWLHVWKDWUHGXFHSRVWFRQIOLFW
RUSRVWFULVLVWXUPRLODQGKHOSVWDELOL]HDVLWXDWLRQ&RPPDQGHUVDGGUHVVWKHGHFRQWDPLQDWLRQGLVSRVDODQG
GHVWUXFWLRQRIZDU PDWHULHO7KH\ DGGUHVV WKH UHPRYDO DQG GHVWUXFWLRQRIXQH[SORGHG RUGQDQFH DQG WKH
UHVSRQVLELOLW\IRUGHPLQLQJRSHUDWLRQV 7KHFRQVROLGDWLRQRIIULHQGO\DQGDYDLODEOHHQHP\PLQHILHOGUHSRUWV
LVFULWLFDOWRWKLVPLVVLRQ $GGLWLRQDOO\WKHWKHDWHUDUP\PXVWEHSUHSDUHGWRSURYLGH$UP\+HDOWK6\VWHP
VXSSRUWHPHUJHQF\UHVWRUDWLRQRIXWLOLWLHVVXSSRUWWRVRFLDOQHHGVRIWKHLQGLJHQRXVSRSXODWLRQDQG RWKHU
KXPDQLWDULDQDFWLYLWLHVDVUHTXLUHG 6HH$'53DQG)0IRUPRUHLQIRUPDWLRQRQWKHSHUIRUPDQFH
RIVWDELOLW\WDVNV 

5-22 FM 3-0, C1 6 December 2017




Chapter 6
Large-Scale Defensive Operations
,QZDUWKHGHIHQVLYHH[LVWVPDLQO\WKDWWKHRIIHQVLYHPD\DFWPRUHIUHHO\
$OIUHG7KD\HU0DKDQ

7KLVFKDSWHUEHJLQVZLWKDJHQHUDOGLVFXVVLRQRIWKHGHIHQVHIROORZHGE\DGLVFXVVLRQ
RI KRZ DQHQHP\ PD\ DWWDFN ,W FRQWLQXHV ZLWK VHFWLRQV RQ SODQQLQJ DQGSUHSDULQJ
FRUSVDQGGLYLVLRQGHIHQVHV,WWKHQDGGUHVVHVWKHWKUHHSULPDU\GHIHQVLYHWDVNVDQG
FRQFOXGHVZLWKDGLVFXVVLRQRQGHIHQGLQJHQFLUFOHG

29(59,(:2)/$5*(6&$/('()(16,9(23(5$7,216
 $ GHIHQVLYH WDVN LV D WDVN FRQGXFWHG WR GHIHDW DQ HQHP\ DWWDFN JDLQ WLPH HFRQRPL]H IRUFHV DQG
GHYHORSFRQGLWLRQVIDYRUDEOHIRURIIHQVLYHRUVWDELOLW\WDVNV $'53 7KHUHDUHWKUHHSULPDU\GHIHQVLYH
WDVNV DUHD GHIHQVH PRELOH GHIHQVH DQG UHWURJUDGH +RZHYHU WKH SHUIRUPDQFH RI GHIHQVLYH WDVNV DORQH
QRUPDOO\FDQQRWDFKLHYHDGHFLVLRQ7KHLUSXUSRVHLVWRFUHDWHFRQGLWLRQVIRUDFRXQWHURIIHQVLYHWKDWDOORZV
$UP\IRUFHVWRUHJDLQWKHLQLWLDWLYH2WKHUUHDVRQVIRUSHUIRUPLQJGHIHQVLYHWDVNVLQFOXGH²
z 5HWDLQLQJGHFLVLYHWHUUDLQRUGHQ\LQJDYLWDODUHDWRDQHQHP\
z &RQGXFWLQJGHIHQVLYHFRYHULQJIRUFHRSHUDWLRQVWRSURWHFWIRUFHVIORZLQJLQWRWKHDWHU
z $WWULWLQJRUIL[LQJDQHQHP\DVDSUHOXGHWRRIIHQVLYHWDVNV
z &RXQWHULQJDQHQHP\DWWDFN
z ,QFUHDVLQJHQHP\YXOQHUDELOLWLHVWRIRUFHWKHHQHP\FRPPDQGHUWRFRQFHQWUDWHVXERUGLQDWHIRUFHV

 7KHGHIHQVHLVZKDWSURYLGHVWLPHIRUDFRPPDQGHUWREXLOGFRPEDWSRZHUDQGHVWDEOLVKFRQGLWLRQVWR
WUDQVLWLRQWRWKHRIIHQVH7KHGHIHQVHLVLGHDOO\DVKLHOGEHKLQGZKLFKDFRPPDQGHUPDLQWDLQVRUUHJDLQVWKH
LQLWLDWLYH,QLWLDOO\DGHIHQGLQJFRPPDQGHULVOLNHO\WREHDWUHODWLYHGLVDGYDQWDJHDJDLQVWDQDWWDFNLQJHQHP\
VLQFHWKDWHQHP\FDQFKRRVHZKHQDQGZKHUHWRVWULNH6LJQLILFDQWFDSDELOLW\JDSVLQWHUPVRIILUHVLQFOXGLQJ
DLUDQGPLVVLOHGHIHQVH $0' FRXQWHUPRELOLW\SURWHFWLRQDQGDYLDWLRQPD\H[LVWHDUO\RQLQDQ\FDPSDLJQ
$OVRMRLQWILUHVPD\QRWEHDYDLODEOHLQLWLDOO\LQVXIILFLHQWTXDQWLW\RUWKHHQHP\PD\KDYHGRPLQDQFHLQ
RQHRUPRUHRIWKHGRPDLQVWKDWOLPLWVMRLQWFDSDELOLWLHV
 7KHLQKHUHQWVWUHQJWKVRIWKHGHIHQVHLQFOXGHWKHGHIHQGHU¶VDELOLW\WRRFFXS\SRVLWLRQVEHIRUHDQDWWDFN
DQG XVH WKH DYDLODEOH WLPH WR SUHSDUH WKRVH GHIHQVHV $ GHIHQGLQJ IRUFH VWRSV LPSURYLQJ LWV GHIHQVLYH
SUHSDUDWLRQVRQO\ZKHQLWUHWURJUDGHVRUEHJLQVWRHQJDJHDQHQHP\'XULQJFRPEDWDGHIHQGLQJIRUFHWDNHV
WKHRSSRUWXQLWLHVDIIRUGHGE\OXOOVLQDQDFWLRQWRLPSURYHLWVSRVLWLRQVDQGUHSDLUFRPEDWGDPDJH$GHIHQGHU
GRHV QRW ZDLW SDVVLYHO\ WR EH DWWDFNHG $ GHIHQGHU DJJUHVVLYHO\ VHHNV ZD\V RI DWWULWLQJ DQG ZHDNHQLQJ
DWWDFNLQJHQHP\IRUFHVEHIRUHFORVHFRPEDWEHJLQV$GHIHQGHUPDQHXYHUVWRSODFHDQHQHP\LQDSRVLWLRQ
RIGLVDGYDQWDJHDQGDWWDFNVWKDWHQHP\DWHYHU\RSSRUWXQLW\XVLQJILUHVHOHFWURQLFZDUIDUH (: DYLDWLRQ
LQIRUPDWLRQUHODWHGFDSDELOLWLHV ,5&V F\EHUVSDFHRSHUDWLRQVDQGREVWDFOHVDVZHOODVMRLQWDVVHWVVXFKDV
DLULQWHUGLFWLRQFORVHDLUVXSSRUW &$6 DQGVSHFLDORSHUDWLRQVIRUFHV 62) 7KHVWDWLFDQGPRELOHHOHPHQWV
RIDGHIHQVHFRPELQHWRGHSULYHDQHQHP\RIWKHLQLWLDWLYH$GHIHQGHUFRQWDLQVDQHQHP\ ZKLOHVHHNLQJ
HYHU\RSSRUWXQLW\WRWUDQVLWLRQWRWKHRIIHQVH
 &KDUDFWHULVWLFV RI WKH GHIHQVH LQFOXGH GLVUXSWLRQ IOH[LELOLW\ PDQHXYHU PDVV DQG FRQFHQWUDWLRQ
RSHUDWLRQV LQ GHSWK SUHSDUDWLRQ DQG VHFXULW\ 6HH $'53  IRU D GLVFXVVLRQ RI WKHVH VHYHQ
FKDUDFWHULVWLFV 7KHSHUIRUPDQFHRIHIIHFWLYHGHIHQVLYHWDVNVFDSLWDOL]HVRQDFFXUDWHDQGWLPHO\LQWHOOLJHQFH
DQGRWKHUUHOHYDQWLQIRUPDWLRQUHJDUGLQJHQHP\IRUFHVZHDWKHUWHUUDLQDQGFLYLOLDQORFDWLRQV $GHIHQGHU
GHOLEHUDWHO\VHHNVRSSRUWXQLWLHVWRGLVUXSWDQGDWWULWDQDWWDFNHUWKURXJKRXWWKHGHSWKRIWKHHQHP\IRUPDWLRQ
WRHVWDEOLVKWKHFRQGLWLRQVIRUWKHGHFLVLYHRSHUDWLRQ

6 October 2017 FM 3-0 6-1


Chapter 6

(1(0<$77$&.
1RSODQVXUYLYHVFRQWDFWZLWKWKHHQHP\
)LHOG0DUVKDO+HOPXWKYRQ0ROWNHWKH(OGHU

 2SHUDWLRQDOO\ WKH GHIHQVH EX\V WLPH HFRQRPL]HV IRUFHV DQG GHYHORSV FRQGLWLRQV IDYRUDEOH IRU
UHVXPLQJ WKH RIIHQVH ,W SUHYHQWV HQHP\ IRUFHV IURP DFKLHYLQJ WKHLU JRDOV DQG PHHWLQJ WKHLU RSHUDWLRQDO
REMHFWLYHV7KH%ULWLVKGHIHDWLQ0DOD\D LVDKLVWRULFDOH[DPSOHRIDSRRUO\H[HFXWHGGHIHQVHDWERWKWKH
RSHUDWLRQDODQGWDFWLFDOOHYHOV,WDOVRLVDQH[DPSOHRIDSHHUWKUHDWH[SORLWLQJVXSHULRUSODQQLQJOHDGHUVKLS
DQGDJJUHVVLYHRIIHQVLYHDFWLRQDFURVVPXOWLSOHGRPDLQVZKLOHRYHUFRPLQJQXPHULFDOLQIHULRULW\DJDLQVWWKH
GHIHQGLQJ%ULWLVKIRUFH

)DXOW\$VVXPSWLRQV—'HIHDW$FURVV0XOWLSOH'RPDLQV0DOD\D
DQG6LQJDSRUH

2Q'HFHPEHU,PSHULDO-DSDQHVHIRUFHVODXQFKHGWKHLQYDVLRQRI0DOD\DIURP
WKHLU VWURQJKROGV LQ )UHQFK ,QGRFKLQD -DSDQHVH LQWHOOLJHQFH VXJJHVWHG WKDW /7*
<DPDVKLWD’VWURRSVZHUHRXWQXPEHUHGQHDUO\WRVRKHFRQFOXGHGWKDWRQO\
D EROG UDSLGO\ H[HFXWHG DWWDFN ZLWK DJJUHVVLYH ZHOO WUDLQHG WURRSV ZRXOG HQVXUH
YLFWRU\7KH%ULWLVK (PSLUHZDVGHFLVLYHO\HQJDJHG LQ1RUWK$IULFDWKHEDWWOHRIWKH
$WODQWLF DQG WKH GHIHQVH RI WKH KRPH LVODQGV :KLOH LW GHSOR\HG DGGLWLRQDO JURXQG
QDYDODQGDLUXQLWVWR6LQJDSRUHWKHFRPELQDWLRQRIWLPHGLVWDQFHDQGGHPDQGVLQ
RWKHUWKHDWHUVPDGHIXUWKHUUHLQIRUFHPHQWXQOLNHO\7KRVHIRUFHVWKDWDUULYHGEHIRUH
WKHFRPPHQFHPHQWRIKRVWLOLWLHVKDGOLWWOHWLPHWRWUDLQRUSUHSDUHIRURSHUDWLRQVDJDLQVW
DQRSSRQHQWRIXQNQRZQTXDOLW\LQDQXQIDPLOLDUHQYLURQPHQW

7KHDOOLHGGHIHQVHRI0DOD\DUHVWHGRQVHYHUDOIDOVHDVVXPSWLRQV)LUVWDOOLHGIRUFHV
DVVXPHGWKHUHZRXOGEHVXIILFLHQWZDUQLQJRIDQDWWDFNZKLFKLQWXUQZRXOGDOORZIRU
DGHTXDWH DLU DQG QDYDO UHLQIRUFHPHQWV 7KH IHZ PDMRU QDYDO UHLQIRUFHPHQWV WKH
EDWWOHVKLS 3ULQFH RI :DOHV DQG EDWWOH FUXLVHU 5HSXOVH  ZHUH VXQN DQG WKH DLUFUDIW
UDSLGO\ORVWDJDLQVWDTXDOLWDWLYHO\VXSHULRU-DSDQHVHDLUDUP7KH$OOLHVDVVXPHGWKDW
WKHGHQVHMXQJOHWHUUDLQZRXOGLPSHGHHQHP\JURXQGPRYHPHQWDQGVLPSOLI\GHIHQVH
RIWKHSHQLQVXODEXWLWDFWXDOO\KLQGHUHGWKHGHIHQGHUVPRUHWKDQWKH-DSDQHVH7KH
$OOLHVDVVXPHGWKHHQHP\PDLQHIIRUWZRXOGFRPHIURPWKHVHDZKLFKZDVWKHPRVW
KHDYLO\ IRUWLILHG SDUW RI WKHLU GHIHQVH ,W GLG QRW 7KH\ DVVXPHG WKHLU DLU IRUFH WR EH
VXSHULRUWRWKDWRIWKH-DSDQHVH,WZDVQRW7KH\DOVRDVVXPHGWKDWWKH%ULWLVKDQG
&RPPRQZHDOWKWURRSVZHUHEHWWHUWUDLQHGWKDQWKH-DSDQHVH$UP\7KH\ZHUHQRW
7KHVHEHOLHIVFRVWWKH$OOLHVGHDUO\

7KH-DSDQHVHODXQFKHGDVXFFHVVIXOQLJKWDPSKLELRXVDVVDXOWRQWKHQRUWKHUQFRDVWV
RI0DOD\DDQGDGYDQFHGVRXWKDORQJWKHHDVWHUQFRDVW7KH\DOVRPDGHVLPXOWDQHRXV
ODQGLQJVLQ7KDLODQGMXVWQRUWKRIWKH7KDLODQG0DOD\DQERUGHUDQGVHQWXQLWVVRXWK
LQWRWKHLQWHULRUDQGDORQJWKHZHVWFRDVW7KH$OOLHVDWWHPSWHGWRVORZWKH-DSDQHVH
DGYDQFHZLWKSUHSDUHGSRVLWLRQVDORQJWKHURDGVDQGE\GHVWUR\LQJEULGJHVEXWWKH
-DSDQHVHUHSHDWHGO\E\SDVVHGWXUQHGRUHQYHORSHGVWDWLFSRVLWLRQVE\PRYLQJRIIWKH
URDGV2Q'HFHPEHU-DSDQVDQNWKHODVWPDMRUDOOLHGQDYDOXQLWVDQGDFKLHYHGDLU
VXSUHPDF\ 7KH -DSDQHVH ZHUH WKHQ DEOH WR ODQG WURRSV DW ZLOO DOORZLQJ WKHP WR
UHSHDWHGO\WXUQWKHDOOLHGGHIHQGHUVRXWRIWKHLUEDWWOHSRVLWLRQV

6-2 FM 3-0 6 October 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

)DXOW\$VVXPSWLRQV—'HIHDW$FURVV0XOWLSOH'RPDLQV0DOD\D
DQG6LQJDSRUHFRQWLQXHG

%\  -DQXDU\  DOOLHG IRUFHV KDG UHWUHDWHG DFURVV WKH VWUDLW RQWR WKH LVODQG RI
6LQJDSRUH-DSDQVXEVHTXHQWO\LQYDGHG6LQJDSRUHRQ)HEUXDU\DQGFRPSOHWHGLWV
FRQTXHVWRQWKHWK 6HHILJXUH ,QMXVWRYHUWZRPRQWKV<DPDVKLWD’VWK$UP\
RIWURRSVGHFLVLYHO\GHIHDWHGDGHIHQGLQJIRUFHRIRYHUVROGLHUVDWWKH
FRVWRIMXVWXQGHU




Figure 6-1. Operations in Malaya

6 October 2017 FM 3-0 6-3


Chapter 6

)DXOW\$VVXPSWLRQV—'HIHDW$FURVV0XOWLSOH'RPDLQV0DOD\D
DQG6LQJDSRUHFRQWLQXHG

FDVXDOWLHV<DPDVKLWD’VXVHRIVSHHGPDQHXYHUDQGVXUSULVHDOORZHGKLPWR
GLFWDWHWKHRSHUDWLRQDOWHPSRRIWKHLQYDVLRQ+HDEO\H[SORLWHGRSSRUWXQLWLHVSURYLGHG
E\ WKH -DSDQHVH DLU DQG QDYDO IRUFHV ZKLOH JHQHUDWLQJ KLV RZQ ZLWK DJJUHVVLYH
PDQHXYHURQWKHJURXQG7KHVLPXOWDQHRXVSUHVHQWDWLRQRIPXOWLSOHGLOHPPDVDFURVV
WKH DLU PDULWLPH DQG ODQG GRPDLQV OHG WR WKH ODUJHVW VXUUHQGHU RI %ULWLVK IRUFHV LQ
KLVWRU\

 (QHP\WDFWLFVHTXLSPHQWFDSDELOLWLHVDQGSUREDEOHFRXUVHVRIDFWLRQDOOLQIRUPSODQQLQJDGHIHQVH
'HIHQGLQJ FRPPDQGHUV PXVW VHH WKH WHUUDLQ DQG WKHLU RZQ IRUFHV¶ FDSDELOLWLHV DQG GLVSRVLWLRQV IURP WKH
HQHP\ SHUVSHFWLYH WR IXOO\ XQGHUVWDQG ZHDNQHVVHV WKDW DQ HQHP\ FRXOG H[SORLW DQG DFW WR FRXQWHU WKHP
'HIHQGLQJFRPPDQGHUVLGHQWLI\SUREDEOHHQHP\REMHFWLYHVDQGSRVVLEOHHQHP\DSSURDFKHVWRDFKLHYHWKHP
,GHQWLI\LQJ HQHP\ OLPLWDWLRQV DQG FRQVWUDLQWV GHWHUPLQHV ZKHUH DQG ZKHQ WR H[SORLW SRVLWLRQV RI UHODWLYH
DGYDQWDJH
 'XULQJRIIHQVLYHRSHUDWLRQVHQHP\IRUFHVW\SLFDOO\DWWHPSWWRPDVNWKHORFDWLRQRIWKHLUPDLQHIIRUW
ZLWKPXOWLSOHIL[LQJDWWDFNVRQWKHJURXQGZKLOHXVLQJILUHVWRGLVUXSWFULWLFDOIULHQGO\QRGHV IRUH[DPSOH
FRPPDQGSRVWV>&3V@UDGDUVDQGILUHGLUHFWLRQFHQWHUV DQGLVRODWHIULHQGO\IRUZDUGXQLWV*HQHUDOO\HQHP\
IRUFHV VHHN WR UHLQIRUFH VXFFHVV PDVVLQJ FDSDELOLWLHV DW D YXOQHUDEOH SRLQW WR DFKLHYH ODUJH IRUFH UDWLR
DGYDQWDJHVWRHQDEOHDUDSLGSHQHWUDWLRQRIIULHQGO\GHIHQVHV7KHHQHP\XVHVPRELOHIRUFHVWRH[SORLWWKH
SHQHWUDWLRQUDSLGO\WRWKHPD[LPXPSRVVLEOHGHSWKLQRUGHUWRPDNHWKHRYHUDOOIULHQGO\GHIHQVLYHSRVWXUH
XQWHQDEOH7KUHDWIRUFHVFDQKDYHDGYDQWDJHVLQERWKYROXPHDQGUDQJHRIILUHVVRWKH\FDQVLPXOWDQHRXVO\
PDVVILUHVRQWKHSRLQWRISHQHWUDWLRQWRHQDEOHUDSLGFORVXUHDQGEUHDNWKURXJKIL[RWKHUIULHQGO\HOHPHQWV
DORQJWKHIRUZDUGOLQHRIRZQWURRSV )/27 DQGWDUJHWNH\IULHQGO\PLVVLRQFRPPDQGDQGORJLVWLFVQRGHV
DORQJWKHGHSWKRIWKHGHIHQVH7KUHDWIRUFHVSUHIHUWRXVHILUHVWRPRYHDURXQGIL[HGSRVLWLRQVZKHQSRVVLEOH
DQG WKURXJK GHVWUR\HG XQLWV ZKHQ QHFHVVDU\ 7KUHDW IRUFHV VHHN WR PDQHXYHU WDFWLFDOO\ WR D GHSWK WKDW
DFKLHYHV RSHUDWLRQDO REMHFWLYHV LQ VXSSRUW RI KLV RYHUDOO VWUDWHJLF SXUSRVH 7KUHDW IRUFHV ZLOO HPSOR\
LQWHOOLJHQFHVXUYHLOODQFHDQGUHFRQQDLVVDQFH(:LQIRUPDWLRQZDUIDUH62)DQGDOORWKHUFDSDELOLWLHVDW
WKHLUGLVSRVDO7KHVHDUHOLNHO\WRLQFOXGHFKHPLFDOZHDSRQV)LJXUHVKRZVDW\SLFDOHQHP\GLVUXSWLRQ
IRUFHLQWKHDWWDFN)LJXUHRQSDJHVKRZVW\SLFDOHQHP\IL[LQJDQGEUHDFKLQJDEULJDGHFRPEDWWHDP
%&7  GHIHQVH )LJXUH  RQ SDJH  LOOXVWUDWHV DQ HQHP\ H[SORLWDWLRQ IRUFH )LJXUH  RQ SDJH 
LOOXVWUDWHVWKHRUJDQL]DWLRQRIDQDUP\OHYHOLQWHJUDWHGILUHVFRPPDQG

6-4 FM 3-0 6 October 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

+Figure 6-2. Enemy disruption forces in the attack

6 December 2017 FM 3-0, C1 6-5


Chapter 6

+Figure 6-3. Enemy fixing and assault forces breach U.S. defenses

6-6 FM 3-0, C1 6 December 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

+Figure 6-4. Enemy exploitation forces attack to destroy assigned objectives

6 December 2017 FM 3-0, C1 6-7


Chapter 6

Figure 6-5. Threat army-level integrated fires command

3/$11,1*&2536$1'',9,6,21'()(16,9(7$6.6
,Q SUHSDULQJIRU EDWWOH, KDYHDOZD\VIRXQGWKDWSODQVDUH XVHOHVVEXW SODQQLQJLV
LQGLVSHQVDEOH
3UHVLGHQW 'ZLJKW'(LVHQKRZHU

 'HIHQGLQJFRUSVDQG GLYLVLRQFRPPDQGHUVVHHNWRSXVK WKHHQHP\RIIEDODQFHLQPXOWLSOHGRPDLQV


DQGWKHLQIRUPDWLRQHQYLURQPHQWZKHQWKDWHQHP\LQLWLDOO\KDVWKHLQLWLDWLYH7KHMRLQWWDVNIRUFH -7) ODQG
FRPSRQHQWRU$5)25 FRPPDQGHUVHWVWKHVWDJHIRUSODQQLQJ WKHFRQGXFWRIFRUSVDQGGLYLVLRQGHIHQVLYH
WDVNV2QHRIWKHVHRSHUDWLRQDOFRPPDQGHUVDVVLJQVWKHFRUSVRUGLYLVLRQDQDUHD RIRSHUDWLRQV $2 DQG
SURYLGHVWKHFRUSVRUGLYLVLRQFRPPDQGHUDFOHDUFRPPDQGHU¶VLQWHQWDQGDFRQFHSWRIRSHUDWLRQV/LNHZLVH
WKH FRUSVRU GLYLVLRQ FRPPDQGHUDVVLJQ VXERUGLQDWH$2V DQG SURYLGH WKH FRUSVRUGLYLVLRQ¶V DWWDFKHG
RSHUDWLRQDOFRQWURO 23&21 RUWDFWLFDOFRQWURO 7$&21  VXERUGLQDWHGLYLVLRQRUEULJDGHFRPPDQGHUVD
FOHDULQWHQWDQGFRQFHSWRIRSHUDWLRQV7KLVJXLGDQFHLVKRZDFRUSVRUGLYLVLRQFRPPDQGHULQLWLDWHVSODQQLQJ
IRUWKHFRQGXFWRIWKHGHIHQVH 6HH$'53IRUGRFWULQHRQSODQQLQJDQGWKHRSHUDWLRQVSURFHVV 
 7KH FRUSV RU GLYLVLRQ FRPPDQGHU¶V FRQFHSW RI RSHUDWLRQV ZLOO QRUPDOO\ UHIOHFWWKH RSHUDWLRQDO
IUDPHZRUNXVHGE\WKHKLJKHUHFKHORQFRPPDQGHU &KDSWHUGLVFXVVHVWKHRSHUDWLRQDOIUDPHZRUN &RUSV

6-8 FM 3-0, C1 6 December 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

DQG GLYLVLRQ FRPPDQGHUV RUJDQL]H WKHLU GHIHQVLYH SODQV EDVHG RQ WKH RUGHUV RI WKHLU KLJKHU HFKHORQ
FRPPDQGHUVDQGWKHVLWXDWLRQLQWKH$27KH\LGHQWLI\DQGZDUJDPHSRVVLEOHHQHP\UHDFWLRQVIRULQFOXVLRQ
LQ WKRVH SODQV %UDQFK SODQV WR WKH GHIHQVLYH SODQ HQDEOH VXERUGLQDWH FRPPDQGHUV DQG VWDIIV WR UHPDLQ
SURDFWLYHDQGUHDG\IRUSRVVLEOHIXWXUHVLWXDWLRQV
 7KH NH\ WR D VXFFHVVIXO FRUSV RU GLYLVLRQ GHIHQVH LV WKH
RUFKHVWUDWLRQ DQG V\QFKURQL]DWLRQ RI FRPEDW SRZHU DFURVV DOO
DYDLODEOHGRPDLQVDQGWKHLQIRUPDWLRQHQYLURQPHQWWRFRQYHUJH
HIIHFWV&RPPDQGHUVGHFLGHZKHUHWRFRQFHQWUDWHFRPEDWSRZHU
DQG ZKHUH WR DFFHSW ULVN DV WKH\ HVWDEOLVK HQJDJHPHQW DUHDV
($V  6HHILJXUH 6XFFHVVPD\UHTXLUHWKDWDGHIHQGLQJXQLW
H[SORLW RSSRUWXQLWLHV WR VHL]H WKH LQLWLDWLYH WKDW GR QRW ULVN WKH
LQWHJULW\RIWKHGHIHQVHVXFKDVDVSRLOLQJDWWDFNRUFRXQWHUDWWDFN
 7LPH LV RIWHQ WKH PRVW LPSRUWDQW UHVRXUFH IRU GHIHQGLQJ 
IRUFHV7KHHQHP\FKRRVHVWKHWLPHDQGORFDWLRQIRUDWWDFNVRWKH  Figure 6-6. Engagement
DPRXQWRIWLPHIULHQGO\XQLWVKDYHWRSUHSDUHDGHIHQVHLVRIWHQ  area
XQNQRZQRULQDGHTXDWH'HIHQGLQJFRUSVDQGGLYLVLRQVQHHGWLPH $Qengagement areaLVDQDUHD
WRFRPSOHWHWKHLUSODQQLQJFRRUGLQDWLQJLQIRUPDWLRQFROOHFWLRQ ZKHUHWKHFRPPDQGHULQWHQGVWR
DQGUHKHDUVDOV7KHLUVXERUGLQDWHXQLWVQHHGWLPHWRGHYHORS($V FRQWDLQDQGGHVWUR\DQHQHP\IRUFH
E\SUHSDULQJEDWWOHSRVLWLRQVSUHSRVLWLRQLQJVXVWDLQPHQWDVVHWV ZLWKWKHPDVVHGHIIHFWVRIDOO
DQG HPSODFLQJ REVWDFOHV )LJXUH  RQ SDJH  LOOXVWUDWHV DYDLODEOHZHDSRQVDQGVXSSRUWLQJ
REVWDFOHFRQWUROPHDVXUHV  V\VWHPV )0 ($VFDQEH
GHVLJQDWHGE\HLWKHUQXPEHUVRU
 'HIHQGLQJFRPPDQGHUVWU\WRJDLQDGHTXDWHWLPHWRSUHSDUH QDPHV
DQ HIIHFWLYH GHIHQVH $ FRUSV RU GLYLVLRQ FRPPDQGHU PD\
WDVNRUJDQL]HDQGUHVRXUFHDIRUZDUGVHFXULW\IRUFHWRSHUIRUPWKHWDVNRIJXDUGRUFRYHUWRJLYHPDLQEDWWOH
DUHD 0%$ IRUFHVDGGLWLRQDOSUHSDUDWLRQWLPH/DFNRIWLPHFRXOGFDXVHDFRPPDQGHUWRPDLQWDLQDODUJHU
UHVHUYH

6&+(0(2)0$1(89(5,17+('()(16(
 $VXFFHVVIXOGHIHQVHUHTXLUHVWKHLQWHJUDWLRQDQGV\QFKURQL]DWLRQRIDOODYDLODEOHDVVHWV7KHGHIHQGLQJ
FRPPDQGHU DVVLJQV PLVVLRQV DOORFDWHV IRUFHV LQFOXGLQJ WKH UHVHUYH  DQG DSSRUWLRQV IXQFWLRQDO DQG
PXOWLIXQFWLRQDOVXSSRUWDQGVXVWDLQPHQWUHVRXUFHVZLWKLQWKHFRQVWUXFWRIGHFLVLYHVKDSLQJDQGVXVWDLQLQJ
RSHUDWLRQVLQDQRSHUDWLRQDOIUDPHZRUNRIGHHSFORVHVXSSRUWDQGFRQVROLGDWLRQDUHDV LIDSSOLFDEOH 7KH
FRPPDQGHUGHWHUPLQHVZKHUHWRFRQFHQWUDWHGHIHQVLYHHIIRUWVDQGZKHUHWRWDNHULVNVEDVHGRQWKHUHVXOWVRI
WKH LQWHOOLJHQFH SUHSDUDWLRQ RI WKH EDWWOHILHOG ,3%  SURFHVV &RPPDQGHUV VWULYH WR GHIHDW HQHP\ DWWDFNV
DFURVVHDFKUHOHYDQWGRPDLQ&RPPDQGHUVFDQUDSLGO\UHGLUHFWPDQQHGRUXQPDQQHGDWWDFNUHFRQQDLVVDQFH
DYLDWLRQDQGDUWLOOHU\V\VWHPVLQLWLDOO\DOORFDWHGWRVKDSLQJRSHUDWLRQVWRVXSSRUWWKHGHFLVLYHRSHUDWLRQDWWKH
DSSURSULDWH WLPH &RPPDQGHUV RUJDQL]H IRUFHV GLIIHUHQWO\ IRU FRQWLJXRXV DQG QRQFRQWLJXRXV DUHDV RI
RSHUDWLRQV
 7KHPDLQEDWWOHDUHDLVWKHDUHDZKHUHWKHFRPPDQGHULQWHQGVWRGHSOR\WKHEXONRIWKHXQLW¶VFRPEDW
SRZHUDQGFRQGXFWKLVGHFLVLYHRSHUDWLRQV WRGHIHDWDQDWWDFNLQJHQHP\ $'53 ,QWKHH[DPSOHLQ
ILJXUHRQSDJHWKH 0%$LVDOVRWKHGLYLVLRQFORVHDUHD &RUSVDQGGLYLVLRQGHIHQVLYHSODQQLQJ
QRUPDOO\FDOOVIRUWKHGHFLVLYHRSHUDWLRQWRFXOPLQDWHLQWKH0%$ZLWKWKHDWWDFNLQJHQHP\¶VGHIHDW7KH
SODQDOORZVWKHFRUSVRUGLYLVLRQWRVKLIWDQGV\QFKURQL]HFRPEDWSRZHUZKHUHQHFHVVDU\WRUHLQIRUFH0%$
XQLWV 6SRLOLQJ DWWDFNV DQG FRXQWHUDWWDFNV GHVLJQHG WR GLVUXSW WKH HQHP\ DQG WR SUHYHQW WKH HQHP\ IURP
PDVVLQJ RU H[SORLWLQJ VXFFHVV DUHSDUW RI 0%$ RSHUDWLRQV7KH KHDGTXDUWHUV IXWXUH RSHUDWLRQV DQG SODQV
LQWHJUDWLQJFHOOVFRQGXFWFRQWLQJHQF\SODQQLQJWRFRXQWHUSRWHQWLDOHQHP\SHQHWUDWLRQVRIIRUZDUGGHIHQVHV
ZLWKLQWKH0%$

6 October 2017 FM 3-0 6-9


Chapter 6

Figure 6-7. Main battle area

 &RPPDQGHUVKDYHVHYHUDOFRQVLGHUDWLRQVZKHQSODQQLQJDGHIHQVH7KHNH\VWRDVXFFHVVIXOGHIHQVH
DUH²
z 7LPHO\GHWHFWLRQRIWKHHQHP\¶VFRXUVHRIDFWLRQ
z &RQFHQWUDWLQJHIIHFWVDWWKHGHFLVLYHWLPHDQGSODFH
z 'HSWK
z 6HFXULW\ IRUZDUGIODQNDUHDDQGORFDOVHFXULW\LQVXSSRUWDUHDV 
z $ELOLW\WRVKDSHDQGH[SORLWWHUUDLQDGYDQWDJHRXVO\
z )OH[LELOLW\
z 'HVLJQDWLRQFRPSRVLWLRQORFDWLRQDQGHPSOR\PHQWRIWKHUHVHUYH
z 7LPHO\UHVXPSWLRQRIWKHRIIHQVH

6-10 FM 3-0 6 October 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

Figure 6-8. Obstacle control measures

 7KHGHIHQVHFRQFHSWUHTXLUHVWKDWXQLWVLQGHIHQVLYHSRVLWLRQVDFFRPSOLVKWKHLUPLVVLRQLQGHSHQGHQWO\
RULQFRPELQDWLRQE\GHIHDWLQJWKHHQHP\E\ILUHDEVRUELQJWKHVWUHQJWKRIWKHDWWDFNZLWKLQWKHSRVLWLRQRU
GHVWUR\LQJWKHHQHP\ZLWKDORFDORUPDMRUFRXQWHUDWWDFN&RPPDQGHUVFRPELQHWKHDGYDQWDJHVRIILJKWLQJ
IURP SUHSDUHG SRVLWLRQV REVWDFOHV SODQQHG ILUHV DQG FRXQWHUDWWDFNV WR LVRODWH DQG RYHUZKHOP VHOHFWHG
HQHP\ IRUPDWLRQV &RPPDQGHUV PXVW EH SUHSDUHG WR UDSLGO\ VKLIW WKH QDWXUH DQG ORFDWLRQ RI WKHLU PDLQ
HIIRUWVUHSRVLWLRQLQJXQLWVWRPDVVILUHVDJDLQVWWKHDWWDFNHUWRSUHYHQWEUHDNWKURXJKVRUSUHVHUYHWKHLQWHJULW\
RIWKHGHIHQVH
 $GHIHQVLYHSODQGHVLJQDWHVD[HVRIDGYDQFHDQGURXWHVIRUWKHFRPPLWPHQWRUPRYHPHQWRIIRUFHV
RUWKHIRUZDUGRUUHDUZDUGSDVVDJHRIRQHXQLWWKURXJKDQRWKHU,WVKRXOGLGHQWLI\DLUPRYHPHQWFRUULGRUV
DQG RWKHU DLUVSDFH FRRUGLQDWLQJ PHDVXUHV WR HQKDQFH WKH DHULDO PDQHXYHU RI DWWDFN UHFRQQDLVVDQFH
KHOLFRSWHUV XQPDQQHG DLUFUDIW V\VWHPV 8$6V  DLU DVVDXOW XQLWV RU IL[HGZLQJ DLUFUDIW 7KH RSHUDWLRQV

6 October 2017 FM 3-0 6-11


Chapter 6

SURFHVV LGHQWLILHV GHFLVLRQ SRLQWV DVVRFLDWHG ZLWK WKH LQLWLDWLRQ RI FRXQWHUDWWDFNV UHSRVLWLRQLQJ RI IRUFHV
FRPPLWPHQWRIWKHUHVHUYHH[HFXWLRQRIVLWXDWLRQDOREVWDFOHVDQGRWKHUDFWLRQV7KHDELOLW\WRG\QDPLFDOO\
UHSRVLWLRQLVGHSHQGHQWRQWKHGHIHQGLQJIRUFHKDYLQJVXSHULRUWDFWLFDOPRELOLW\:LWKRXWWDFWLFDOPRELOLW\
GHIHQGLQJIRUFHVPD\EHIRUFHGWRUHPDLQLQSUHSDUHGSRVLWLRQVDQGDFFHSWWKHSRVVLELOLW\RIEHLQJIL[HGDQG
E\SDVVHGRUHQFLUFOHG
 $ FRPPDQGHU DVVLJQLQJ WKH
GHIHQVLYH PLVVLRQ GHILQHV WKH DUHD WR
GHIHQG $ FRPPDQGHU GHIHQGLQJ RQ D
EURDGIURQWPD\EHIRUFHGWRDFFHSWJDSV
DQG FRQGXFW QRQFRQWLJXRXV RSHUDWLRQV
7KH )/27 ZLOO QRW EH FRQWLJXRXV 6HH
ILJXUH   'HIHQGLQJ VKDOORZ $2V
UHGXFHV IOH[LELOLW\ DQG UHTXLUHV WKH
FRPPDQGHUWRILJKWZHOOIRUZDUG1DUURZ
IURQWDJHV DQG GHHS $2V LQFUHDVH WKH
HODVWLFLW\ RI D GHIHQVH E\ LQFUHDVLQJ WKH
FRPPDQGHU¶VPDQHXYHURSWLRQV
 7KH LGHDO GHIHQVH LV RQH ZKHUH
HIIHFWLYHPXWXDOVXSSRUWH[LVWVWKURXJKRXW 
WKH ZLGWK DQG GHSWK RI WKH GHIHQGHU¶V  Figure 6-9. Forward line of own troops
WDFWLFDOSRVLWLRQVDFURVVPXOWLSOHGRPDLQV 7KHforward line of own troopsLVDOLQHWKDWLQGLFDWHVWKH
7KH FRPPDQGHU FRQVLGHUV SK\VLFDO PRVWIRUZDUGSRVLWLRQVRIIULHQGO\IRUFHVLQDQ\NLQGRI
WHPSRUDO YLUWXDO DQG FRJQLWLYH IDFWRUV PLOLWDU\RSHUDWLRQDWDVSHFLILFWLPH -3 
ZKHQ DVVLJQLQJ SRVLWLRQV WR VXERUGLQDWH
XQLWV7KLVRFFXUVZKHWKHUWKHGHIHQGLQJFRPPDQGHUHPSOR\VDGHIHQVHLQDQ$2GHIHQGVE\EDWWOHSRVLWLRQ
RUHPSOR\VDFRPELQDWLRQRIERWK 6HHILJXUH 7KHGHIHQGLQJXQLWPDLQWDLQVWDFWLFDOLQWHJULW\ZLWKLQ
HDFKW\SHGHIHQVLYHDUHD$XQLWFRQGXFWLQJDQDUHDGHIHQVHQRUPDOO\DGGUHVVHVWKHVHFXULW\UHTXLUHPHQWVRI
HDFKIODQNE\DVVLJQLQJUHVSRQVLELOLW\WRDVXERUGLQDWH HOHPHQWRURUJDQL]LQJD VHSDUDWH VHFXULW\ IRUFHWR
VSHFLILFDOO\SHUIRUPIODQNJXDUGRUVFUHHQWDVNVWRSURYLGHHDUO\ZDUQLQJUHDFWLRQWLPHDQGPDQHXYHUVSDFH
WRWKHGHIHQGLQJFRPPDQGHU
 &RPPDQGHUV WDNH WUDQVLWLRQV LQWR
FRQVLGHUDWLRQ ZKHQ FRQVLGHULQJ KRZ WR
VKDSH WKHLU $2 )RU H[DPSOH WDUJHWLQJ D
EULGJHIRUGHVWUXFWLRQLQWKHGHIHQVHVKRXOG
EHZHLJKHGDJDLQVWWKHQHHGIRUWKHEULGJH
LQIXWXUHRIIHQVLYHRSHUDWLRQVRUGXULQJWKH
FRQVROLGDWLRQRIJDLQV

3/$11,1*23(5$7,216,1'(37+,1
7+('()(16(
 $ FRUSV RU GLYLVLRQ FRPPDQGHU 
HPSOR\V ILUHV WR QHXWUDOL]H VXSSUHVV RU 
Figure 6-10. Battle position
GHVWUR\ HQHP\ IRUFHV )LUHV GHOD\ RU 
GLVUXSWDWDUJHWHGHQHP\IRUFH¶VFDSDELOLW\ $battle positionLVDGHIHQVLYHORFDWLRQRULHQWHGRQDOLNHO\
WRH[HFXWHDJLYHQFRXUVHRIDFWLRQ$FRUSV HQHP\DYHQXHRIDSSURDFK $'53 7KHUHDUHILYH
RU GLYLVLRQ FRPPDQGHU GLUHFWV WKH W\SHVRIEDWWOHSRVLWLRQV—SULPDU\DOWHUQDWH
HVWDEOLVKPHQWRISHUPLVVLYHDQGUHVWULFWLYH VXSSOHPHQWDU\VXEVHTXHQWDQGVWURQJSRLQW
ILUH VXSSRUW FRRUGLQDWLRQ PHDVXUHV
)6&0V WKDWVXSSRUWWKHFRXUVHRIDFWLRQ
7KH HIIHFWLYH SODQQLQJ DQG XVH RI )6&0V HQDEOHV UDSLG FOHDUDQFH RI ILUHV DQG VWULNHV ZLWK WKH UHTXLUHG
VLPXOWDQHLW\WRPDVVFRPELQHGOHWKDODQGQRQOHWKDOHIIHFWV
 &RPPDQGHUVGHWHUPLQHZKDWFURVVGRPDLQHIIHFWVZRXOGEHVWVXSSRUWWKHGHIHQVHDQGUHTXHVWWKRVH
FDSDELOLWLHVWKDWDUHQRWRUJDQLFIURP KLJKHUHFKHORQV7KH\DQWLFLSDWH ZKLFK FDSDELOLWLHV DUH OLNHO\ WREH

6-12 FM 3-0 6 October 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

DYDLODEOH DQG HQVXUHWKDWWKHYLDELOLW\ RIWKHGHIHQVHGRHVQRWGHSHQGHQWLUHO\XSRQFDSDELOLWLHVWKH\GRQRW


FRQWURO
 7KH KHDGTXDUWHUVILUHVFHOOSODQVWKHHPSOR\PHQWRIDYDLODEOH $UP\ DQG MRLQWILUHVWRDFKLHYHGHSWK
DQG VLPXOWDQHLW\DQG VHFXUHDGYDQWDJHV IRUIXWXUHRSHUDWLRQV7KLVLVRQHRIWKHSULPDU\PHDQVE\ZKLFKD
FRPPDQGHUVKDSHV WKH $2 IRUVXERUGLQDWHXQLWV 7KH KHDGTXDUWHUVVWDII KHOSVWKH FRPPDQGHULQWHJUDWH
LQGLUHFWILUHVHOHFWURQLFDWWDFNVDYLDWLRQPDQHXYHU DQG MRLQWILUHVLQWRWKHGHIHQVLYHSODQ 7KLV DOORZVWKH
GHIHQGLQJFRPPDQGHUWRGHJUDGHWKHFRPEDWFDSDELOLWLHVRIDGYDQFLQJHQHP\IRUFHVEHIRUHWKH\HQWHUFORVH
FRPEDW RSHUDWLRQV7KLV LQFOXGHV GLVUXSWLQJ WKH HQHP\¶V DSSURDFK WR DQG PRYHPHQW ZLWKLQ WKH 0%$
GHVWUR\LQJKLJKSD\RIIWDUJHWV +37V GHQ\LQJRULQWHUUXSWLQJYLWDOFRPSRQHQWVRIHQHP\RSHUDWLQJV\VWHPV
DQGXVLQJREVFXUDQWVWRFRQFHDOIULHQGO\PRYHPHQW6RPHNH\+37VDUHWKHHQHP\¶VWUDLOLQJRUUHVHUYHXQLWV
DLUGHIHQVHVLWHVILUHGLUHFWLRQFHQWHUVNH\HQHP\FRPPDQGDQGFRQWURO & QRGHVDQGNH\LQIUDVWUXFWXUH
VXFKDVEULGJHVRYHUPDMRUULYHUV$WWDFNVDJDLQVWLQIUDVWUXFWXUHPXVWEHGHOLEHUDWHDQGWKH\DUHHVVHQWLDOWR
WKHVXFFHVVRIWKHGHIHQVLYHSODQEHFDXVHRILQIUDVWUXFWXUH¶VLPSRUWDQFHWRFRQVROLGDWLRQRIJDLQV
 7KH FRPPDQGHU¶VLQWHQWDQG FRQFHSWRIRSHUDWLRQVPD\ EHWRXVHDYDLODEOH ILUHVWRGHIHDWGHWHURU
GHOD\DQHQHP\EHIRUHPDMRUHQHP\IRUFHVFRPHLQWRGLUHFWILUHUDQJHRIWKH%&7VORFDWHGZLWKLQWKH0%$
$OWHUQDWLYHO\WKHFRPPDQGHU¶VFRQFHSWPD\EHIRUILHOGDUWLOOHU\FDQQRQDQGURFNHWVWRFRQGXFWVXSSUHVVLRQ
RIHQHP\DLUGHIHQVHV VXSSUHVVLRQRIHQHP\DLUGHIHQVHV WRHQDEOHFRPEDWDYLDWLRQEULJDGH &$% DWWDFN
UHFRQQDLVVDQFHDVVHWVDQG MRLQWILUHVWRGHOD\ RUGLVUXSWWKHDSSURDFKRIHQHP\VHFRQGHFKHORQRUUHVHUYH
IRUFHV7KLVDOORZVWKRVH0%$%&7VWRFRPSOHWHWKHLUGHIHDWRIWKHHQHP\¶VLQLWLDODWWDFNZLWKWKHLURUJDQLF
DVVHWV EHIRUH HQHP\ VHFRQG HFKHORQ RU UHVHUYH IRUFHV MRLQ FORVH FRPEDW RSHUDWLRQV 7KH GHIHQGLQJ
FRPPDQGHUGLUHFWVWKHGHOLYHU\RIHIIHFWVLQPXOWLSOHGRPDLQVWRHVWDEOLVKSRVLWLRQVRIUHODWLYHDGYDQWDJH
QHFHVVDU\IRUDVXFFHVVIXOFRXQWHUDWWDFN,Q HLWKHUFDVHWKHFRQWUROOLQJFRPPDQGHUFRRUGLQDWHVIRUWKHILUH
VXSSRUWFRRUGLQDWLRQOLQH )6&/ WREHFORVHUWRWKHIRUZDUGHGJHRIWKHEDWWOHDUHD )(%$ WREHWWHUIDFLOLWDWH
WKHHPSOR\PHQWRIMRLQWILUHV%&7FRPPDQGHUVHVWDEOLVKFRRUGLQDWHGILUHOLQHVWRIDFLOLWDWHWKHHPSOR\PHQW
RIVXUIDFHWRVXUIDFHILUHV 6HHILJXUH
 3DUW RI WKH WDUJHWLQJ SURFHVV LQ
SODQQLQJLVGHFLGLQJZKLFKHQHP\V\VWHPV
DQG FDSDELOLWLHV WR DWWDFN 7KLV GHFLGH
IXQFWLRQEHJLQVWKH³GHFLGHGHWHFWGHOLYHU
DQG DVVHVV´ WDUJHWLQJ F\FOH 7KH GHFLGH
VWHS SURYLGHV WKH RYHUDOO IRFXV DQG VHWV
SULRULWLHV DQG FULWHULD IRU LQWHOOLJHQFH
FROOHFWLRQDQG HQJDJHPHQW SODQQLQJ 7KH
GHFLGH IXQFWLRQ GUDZV KHDYLO\ RQ
NQRZOHGJH RIWKH HQHP\ D GHWDLOHG,3%
DQGFRQWLQXRXVDVVHVVPHQWRIWKHVLWXDWLRQ
(DFK SKDVH RU FULWLFDO HYHQW ZLWKLQ WKH
GHIHQVHKDVWDUJHWLQJSULRULWLHVUHIOHFWHGLQ
SURGXFWVWKDWLQFOXGHD+37WDUJHWOLVWDQG
DWWDFNJXLGDQFH7KHVWDIIGHVLJQDWHVWDUJHW
DUHDV RI LQWHUHVW 7$,V  ZKHUH ZHDSRQ
V\VWHPVFDQEHVWDWWDFN+37V7KHVKDSHRI +Figure 6-11. The forward edge of the
D 7$, UHIOHFWVWKH W\SH RI WDUJHW DQG WKH battle area
ZHDSRQ V\VWHP LQWHQGHG WR HQJDJH WKDW 7KHforward edge of the battle area LVWKHIRUHPRVWOLPLWRI
WDUJHW 6HHILJXUHRQSDJH  DVHULHVRIDUHDVLQZKLFKJURXQG FRPEDWXQLWVDUH
GHSOR\HG H[FOXGLQJ WKHDUHDVLQZKLFKWKHFRYHULQJ RU
 ,QWKHILUHVXSSRUWFRQWH[WDWDUJHWLV VFUHHQLQJIRUFHVDUHRSHUDWLQJ GHVLJQDWHG WRFRRUGLQDWH
DQDUHDGHVLJQDWHGDQGQXPEHUHGIRUIXWXUH ILUHVXSSRUWWKHSRVLWLRQLQJ RIIRUFHVRUWKHPDQHXYHURI
ILULQJ -3   7KHUH DUH FRQWURO XQLWV -3 
PHDVXUHVIRUSRLQWWDUJHWVFLUFXODUWDUJHWV
UHFWDQJXODU WDUJHWV DQG OLQHDU WDUJHWV
)LJXUH  RQ SDJH  GHSLFWV WKHVH V\PEROV &RPPDQGHUV PD\ JURXS WZR RU PRUH WDUJHWV IRU
VLPXOWDQHRXVHQJDJHPHQW7KLVLVFDOOHGDJURXSRIWDUJHWV&RPPDQGHUVPD\DOVRDWWDFNLQGLYLGXDOWDUJHWV
DQGJURXSVRIWDUJHWVLQVHULHVRULQDSUHGHWHUPLQHGVHTXHQFH:KHQWKLVRFFXUVLWLVUHIHUUHGWRDVDVHULHV
RIWDUJHWV7KH IDFWWKDW D VHULHVRUJURXS RIWDUJHWVKDV EHHQ GHVLJQDWHGGRHVQRWSUHFOXGHWKHDWWDFN RI

6 December 2017 FM 3-0, C1 6-13


Chapter 6

LQGLYLGXDO WDUJHWVZLWKLQWKHVHULHVRUJURXS,WDOVRGRHV
QRWSUHFOXGHWKHDWWDFNRIRQHRUPRUHJURXSVRIWDUJHWV
ZLWKLQWKHVHULHV
 7KH SODQ IRUD PRELOHGHIHQVHPLJKW LQYROYH WKH
VWULNLQJ IRUFHDWWDFNLQJ EH\RQG FRQYHQWLRQDO DUWLOOHU\
UDQJH&RPPDQGHUVDGGUHVVWKHIRUZDUGGLVSODFHPHQWRI
FDQQRQDQGURFNHWDUWLOOHU\DQG&$%DVVHWVVHSDUDWHO\RU
LQFRUSRUDWH WKHP LQWR WKH VWULNLQJ IRUFH¶V PRYHPHQW
FROXPQV$UP\ DQG MRLQWILUHDVVHWVVXFK DV RIIHQVLYH
F\EHUVSDFHRSHUDWLRQV 2&2 DQG(:DGGZHLJKWWRWKH
FRPEDWSRZHU RIWKH VWULNLQJIRUFH&RPPDQGHUVSODQ
DQGH[HFXWH ZLWKWKHSURSHUDXWKRULW\ HIIHFWVRQLQDQG
WKURXJK F\EHUVSDFH DQG WKH HOHFWURPDJQHWLF VSHFWUXP
(06  $GGLWLRQDO SODQQLQJ FRQVLGHUDWLRQVIRUILUHVLQ Figure 6-12. Target area of
WKHGHIHQVHFDQ EH IRXQGLQ )0 6HH)0 interest
IRUD GHWDLOHGGLVFXVVLRQRISODQQLQJ FRQVLGHUDWLRQVIRU $ target area of interest LVWKHJHRJUDSKLFDO
OHWKDO ILUHV DQG QRQOHWKDO HIIHFWV 6HH -3  IRU D DUHDZKHUHKLJKYDOXH WDUJHWVFDQEH
GLVFXVVLRQRIWKHHPSOR\PHQWRIMRLQWILUHVXSSRUW  DFTXLUHG DQGHQJDJHG E\IULHQGO\ IRUFHV
-3  
 &RPSOHPHQWDU\ DQG UHLQIRUFLQJ MRLQW DQG
PXOWLQDWLRQDO ILUH FDSDELOLWLHV SURYLGH UHGXQGDQF\ WR
PLWLJDWHRUJDQLFILUHVVKRUWFRPLQJV6XSSRUWLQJWKHVFKHPHRIILUHVGXULQJWKHGHIHQVHLQYROYHV DFTXLULQJ
GLVFULPLQDWLQJDQGHQJDJLQJWDUJHWVWKURXJKRXWDQ$2ZLWKPDVVHGDQGSUHFLVLRQILUHVLQFOXGLQJMRLQW(:
2&2DQG ,5&V7KH HVVHQWLDOHOHPHQWRIVXFFHVVIXOILUHVH[HFXWLRQLVWKHDELOLW\WRGHWHFWWDUJHWVWKURXJK
WKHGHSWKRIDQ$2 7KHUHFRQQDLVVDQFHDQGVXUYHLOODQFHSODQPXVWEHUHGXQGDQWDQGLQGHSWKZLWKSULPDU\
DQG DOWHUQDWH REVHUYHUV DFURVV DOO LQWHOOLJHQFHGLVFLSOLQHV²FRXQWHULQWHOOLJHQFH JHRVSDWLDO LQWHOOLJHQFH
KXPDQ LQWHOOLJHQFHPHDVXUHPHQWDQG VLJQDWXUHLQWHOOLJHQFHVLJQDOVLQWHOOLJHQFH 6,*,17  DQG WHFKQLFDO
LQWHOOLJHQFH3ODQQLQJFRQVLGHUDWLRQVIRUVXSSRUWLQJWKHVFKHPHRIPDQHXYHUGXULQJWKHGHIHQVHLQFOXGH ²
z :HLJKWWKHPDLQHIIRUW
z &RQVLGHUSRVLWLRQLQJILUHVDQG UHFRQQDLVVDQFHDVVHWVWR H[SORLW ZHDSRQV UDQJHV DQG SUHFOXGH
XQWLPHO\GLVSODFHPHQWZKHQILUHVDUHQHHGHGWKHPRVW
z 3URYLGHVXSSUHVVLRQRIHQHP\DLUGHIHQVHV\VWHPV
z 3URYLGHFRXQWHUILUH
z 3URYLGHHDUO\ZDUQLQJDQGGLVVHPLQDWLRQ
z 3URYLGHZLGHDUHDVXUYHLOODQFH
z 3URYLGHILUHVWRSURWHFWIRUFHVSUHSDULQJIRUDQGDVVHWVFULWLFDOWRWKHXQLW¶VGHIHQVLYHDFWLRQV
z 'LVUXSWHQHP\DWWDFNVE\DWWDFNLQJHQHP\IRUFHVPDVVLQJWRDWWDFN
z ,QWHUGLFWHQHP\LQGLUHFWILUHVDQGVXVWDLQPHQWHIIRUWV
z 3ODQREVHUYDWLRQDQGILUHVWRGHIHDWRUGLVUXSWHQHP\DWWHPSWVWREUHDFKIULHQGO\REVWDFOHV
z 3ODQREVFXUDQWILUHVWRGHQ\HQHP\REVHUYDWLRQRUVFUHHQIULHQGO\PRYHPHQWVEHWZHHQGHIHQVLYH
SRVLWLRQV
z $OORFDWHUHVSRQVLYHILUHVWRVXSSRUWWKHGHFLVLYHRSHUDWLRQ
z $OORFDWHILUHVWRQHXWUDOL]HE\SDVVHGHQHP\FRPEDWIRUFHVGXULQJWKHFRQGXFWRIFRXQWHUDWWDFNV
z 3ODQ IRUWDUJHWDFTXLVLWLRQDQG VHQVRUVWRSURYLGH FRYHUDJHRIQDPHG DUHDV RILQWHUHVW 1$,V 
7$,V DQGFULWLFDODVVHWV

6-14 FM 3-0, C1 6 December 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

Figure 6-13. Fire support target symbol

3/$11,1*5(&211$,66$1&($1'6(&85,7<23(5$7,216,17+('()(16(
 &RPPDQGHUVXVHUHFRQQDLVVDQFHDQGVHFXULW\RSHUDWLRQVWRFRQIXVHWKHHQHP\DERXWWKHORFDWLRQRI
WKHIULHQGO\0%$SRVLWLRQVSUHYHQWHQHP\REVHUYDWLRQRIIULHQGO\SUHSDUDWLRQVDQGSRVLWLRQVDQGNHHSWKH
HQHP\IURPGHOLYHULQJREVHUYHGILUHRQIULHQGO\SRVLWLRQV&RPPDQGHUVSODQWRXVHWKHLUVHFXULW\IRUFHVWR
IRUFH WKH DWWDFNLQJ HQHP\ WR GHSOR\ SUHPDWXUHO\ 6HFXULW\ RSHUDWLRQV FDQ RIIVHW WKH DWWDFNHU¶V LQKHUHQW
DGYDQWDJHRILQLWLDWLYHUHJDUGLQJWKHWLPHSODFHSODQGLUHFWLRQVWUHQJWKDQGFRPSRVLWLRQRIWKHDWWDFNE\
IRUFLQJWKHHQHP\WRDWWDFNEOLQGLQWRSUHSDUHGGHIHQVHV
 &RPPDQGHUV FRXQWHU HQHP\ JURXQG UHFRQQDLVVDQFH DFWLYLWLHV WKURXJK ERWK DFWLYH DQG SDVVLYH
PHDVXUHV&RPPDQGHUVSUHYHQWWKHHQHP\IURPGHWHUPLQLQJWKHSUHFLVHORFDWLRQDQGVWUHQJWKRIGHIHQVLYH
SRVLWLRQVREVWDFOHV($VDQGUHVHUYHVLQWZRZD\V)LUVWWKHGHIHQGLQJIRUFHFRQGXFWVUHFRQQDLVVDQFHWR
JDLQDQGPDLQWDLQFRQWDFWZLWKWKHHQHP\6HFRQGHDFKHFKHORQQRUPDOO\HVWDEOLVKHVDVHFXULW\DUHDIRUZDUG
RILWV0%$WRGHQ\WKHHQHP\IUHHGRPRIDFWLRQ7KHVHFXULW\DUHDLVWKDWDUHDWKDWEHJLQVDWWKHIRUZDUG
HGJHRIWKHEDWWOHDUHDDQGH[WHQGVDVIDUWRWKHIURQWDQGIODQNVDVVHFXULW\IRUFHVDUHGHSOR\HG)RUFHVLQWKH
VHFXULW\ DUHD IXUQLVK LQIRUPDWLRQ RQ WKH HQHP\ DQG GHOD\ GHFHLYH DQG GLVUXSW WKH HQHP\ DQG FRQGXFW
FRXQWHUUHFRQQDLVVDQFH $'53 
 $OO XQLWV FRQGXFW DJJUHVVLYH VHFXULW\ RSHUDWLRQV ZLWKLQ WKHLU $2V LQFOXGLQJ WKH VXSSRUW DUHD WR
LGHQWLI\DQGGHVWUR\HQHP\UHFRQQDLVVDQFHIRUFHV&RXQWHUUHFRQQDLVVDQFHLQFOXGHVGHIHDWLQJHQHP\62)
DQGLUUHJXODUIRUFHV8$6FRQYHQWLRQDOUHFRQQDLVVDQFHIRUFHVDQGDLUFUDIW,WDOVRLQFOXGHVGHQ\LQJHQHP\
QHWZRUN LQWUXVLRQV 8QLWV PLQLPL]H (06 DQG OLJKW VLJQDWXUHV XVH HIIHFWLYH FDPRXIODJH FRYHU DQG
FRQFHDOPHQWHPSODFHGHFR\SRVLWLRQVDQGLPSOHPHQWRSHUDWLRQVVHFXULW\ 236(& DQGRWKHULQIRUPDWLRQ
SURWHFWLRQPHDVXUHVWRGHQ\RUGHFHLYHWKHHQHP\LQIRUPDWLRQDERXWIULHQGO\GLVSRVLWLRQVDQGORFDWLRQV 6HH
)0IRUPRUHLQIRUPDWLRQRQWKHWDFWLFVDVVRFLDWHGZLWKWKHFRQGXFWRIVHFXULW\WDVNV 

3/$11,1*5(6(59(23(5$7,216,17+('()(16(
$ VXGGHQ SRZHUIXO WUDQVLWLRQ WR WKH RIIHQVLYHWKH IODVKLQJ VZRUG RI YHQJHDQFHLV WKH
JUHDWHVWPRPHQWIRUWKHGHIHQVH
&DUOYRQ&ODXVHZLW]

 7KH GHIHQVH SODQ UHWDLQV D UHVHUYH UHJDUGOHVV RI WKH GHIHQVLYH WDVN DVVLJQHG 7KH UHVHUYH LV DQ
XQFRPPLWWHG IRUFH DYDLODEOH IRU FRPPLWPHQW DW WKH GHFLVLYH PRPHQW ,W SURYLGHV IOH[LELOLW\ IRU WKH

6 October 2017 FM 3-0 6-15


Chapter 6

FRPPDQGHUWKURXJKRIIHQVLYHDFWLRQ7KHUHVHUYHLVPRUHGLIILFXOWWRUHVRXUFHLQWKHPRELOHGHIHQVHEHFDXVH
VR PXFK RI WKH DYDLODEOH FRPEDW SRZHU LV DOORFDWHG WR WKH VWULNLQJ IRUFH 7KH GLYLVLRQ RU %&7 WDVNHG WR
SURYLGH WKH GHIHQVLYH IRUZDUG VHFXULW\ IRUFH²FRQGXFWLQJ HLWKHU D FRYHU RU D JXDUG²VKRXOG QRW DOVR EH
GHVLJQDWHGDVWKHFRUSVRUGLYLVLRQUHVHUYHRQFRPSOHWLRQRILWVVHFXULW\RSHUDWLRQVGXHWRWKHOLNHOLKRRGRI
UHTXLULQJH[WHQVLYHUHFRQVWLWXWLRQIROORZLQJFRPSOHWLRQRIWKHVHFXULW\PLVVLRQ
 &RPPDQGHUVVSHFLI\ZKHWKHUWKHUHVHUYHLVWRFRXQWHUDWWDFNE\ILUHRUDVVDXOWWKHREMHFWLYHRUHQHP\
IRUFH7KHUHVHUYHPXVWUHPDLQDJLOHWRUHVSRQGWRDQ\HQHP\SHQHWUDWLRQRIWKH0%$WKDWRFFXUUHGHDUOLHU
WKDQRUDWDGLIIHUHQWORFDWLRQWKDQWKDWYLVXDOL]HGE\WKHFRPPDQGHU
 &RPPDQGHUV GHVLJQDWH SODQQLQJ SULRULWLHV ZLWK VXSSRUWLQJ RQRUGHU JUDSKLF FRQWURO PHDVXUHV IRU
FRPPLWPHQWRIWKHUHVHUYH&RPPDQGHUVSODQWKHPRYHPHQWRIWKHUHVHUYHIURPLWVDVVHPEO\DUHDWROLNHO\
FRPPLWPHQWORFDWLRQVWRGHFRQIOLFWWKHUHVHUYH¶VPRYHPHQWZLWKRWKHUPRYHPHQWVLQFOXGLQJVXVWDLQPHQW
FRQYR\VDUWLOOHU\UHSRVLWLRQLQJDQGWKHPRYHPHQWRI%&7VZLWKLQWKHLU$2V
 7KHUHVHUYHFDQEHDVODUJHDVRQHWKLUGRIWKHFRPPDQGHU¶VDYDLODEOHFRPEDWSRZHUEXWLWLVQRUPDOO\
QRWVPDOOHUWKDQD%&7VL]HGHOHPHQWIRUDFRUSV8QFHUWDLQW\DERXWHQHP\LQWHQWLRQVDQGVWUHQJWKJHQHUDOO\
GULYHVDUHTXLUHPHQWIRUODUJHUUHVHUYH7KHUHVHUYHLVWKHFRPPDQGHU¶VSULQFLSDOPHDQVRILQIOXHQFLQJFORVH
FRPEDWRSHUDWLRQV8SRQFRPPLWPHQWLWLVVXSSRUWHGZLWKDGGLWLRQDODVVHWVVXFKDVDUWLOOHU\&$6DWWDFN
UHFRQQDLVVDQFHKHOLFRSWHUV(:HQJLQHHUFKHPLFDOELRORJLFDOUDGLRORJLFDODQGQXFOHDU &%51 GHIHQVH
DQGVXVWDLQPHQW

3/$11,1*5(752*5$'(23(5$7,216,17+('()(16(
 $GHIHQVLYHVLWXDWLRQPD\UHTXLUHWKHKHDGTXDUWHUVVWDIIWRSODQIRUUHWURJUDGHWDVNVLQFRPELQDWLRQ
VHTXHQWLDOO\RUVXEVHTXHQWWRWKHGHIHQVLYHPLVVLRQ3ODQQLQJDQGUHKHDUVLQJDUHDUZDUGSDVVDJHRIOLQHVRI
VHFXULW\IRUFHVIRUZDUGRIWKH0%$LVFULWLFDOWRHQVXULQJSURSHUH[HFXWLRQZKLOHXQGHUHQHP\SUHVVXUH7KH
FRPSOH[LW\DQGIOXLGLW\RIUHWURJUDGHRSHUDWLRQVDQGWKHQHHGWRV\QFKURQL]HWKHHQWLUHRSHUDWLRQGLFWDWHWKH
QHHGIRUGHWDLOHGFHQWUDOL]HGSODQQLQJDQGFRRUGLQDWLRQZLWKGHFHQWUDOL]HGH[HFXWLRQ$UHWURJUDGHPD\EH
IRUFHGRUYROXQWDU\,QHLWKHUHYHQWDKLJKHUHFKHORQFRPPDQGHUPXVWDSSURYHLW
 'HIHQVLYHSODQVDGGUHVVSHUIRUPLQJPRUHWKDQRQHUHWURJUDGHWDVN$FRPELQDWLRQRIWKHVHWDVNV²
GHOD\ZLWKGUDZDORUUHWLUHPHQW²LVSHUIRUPHGHLWKHUVLPXOWDQHRXVO\E\DGMDFHQWXQLWVRUE\RQHUHWURJUDGH
WDVNGHYHORSLQJLQWRDQRWKHU)RULQVWDQFHDZLWKGUDZDOIURPDFWLRQPD\SUHFHGHDUHWLUHPHQWRUD%&7
PD\ H[HFXWH GHOD\LQJ DFWLRQV WR FRYHU WKH UHWLUHPHQW RI RWKHU IRUFHV 7KH GHIHQVLYH SODQ DGGUHVVHV WKH
FRQVWLWXWLRQ DQG ORFDWLRQ RI WKH UHVHUYH WKURXJKRXW WKH SHUIRUPDQFH RI DOO WKUHH UHWURJUDGH WDVNV ,I
VXERUGLQDWHXQLWV¶UHWURJUDGHPRYHPHQWVWDNHWKHPRXWVLGHRIWKHFRUSVRUGLYLVLRQ$2WKLVGHIHQVLYHSODQ
DGGUHVVHVWKHLUFRPPDQGDQGVXSSRUWUHODWLRQVKLSV
 $V LQ RWKHU RSHUDWLRQV WKH FRPPDQGHU¶V FRQFHSW RI RSHUDWLRQV DQG LQWHQW GULYH SODQQLQJ IRU WKH
UHWURJUDGH5HWURJUDGHVLQKHUHQWO\SXWXQLWFRKHVLRQDWULVN&RPPDQGHUVDWHYHU\OHYHOPLQLPL]HWKLVULVN
E\²
z 7KRURXJKSODQQLQJHIILFLHQWFRQWURODQGDJJUHVVLYHOHDGHUVKLS
z 0DLQWDLQLQJDQDJJUHVVLYHDWWLWXGHWKURXJKRXWWKHIRUFH
z (QVXULQJWKHSXUSRVHRIWKHRSHUDWLRQLVFOHDUO\XQGHUVWRRG
z (QVXULQJJRRGVLWXDWLRQDODZDUHQHVVDQGDFRPPRQRSHUDWLRQDOSLFWXUHDPRQJDWWDFKHG23&21
7$&21DQGVXSSRUWLQJXQLWKHDGTXDUWHUV
 7KHODUJHUWKHGLIIHUHQFHLQWDFWLFDOPRYHPHQWFDSDELOLWLHVEHWZHHQDXQLWFRQGXFWLQJDUHWURJUDGHDQG
DQDGYDQFLQJHQHP\IRUFHWKHJUHDWHUWKHXQLW¶VFKDQFHWRFRQGXFWWKHUHWURJUDGHVXFFHVVIXOO\7KHFRUSVRU
GLYLVLRQFRPPDQGHUDQGVXERUGLQDWHFRPPDQGHUVHQKDQFHWKHDELOLW\RIWKHLUXQLWVWRPRYHE\²
z &RQGXFWLQJNH\OHDGHUUHFRQQDLVVDQFHRISRWHQWLDOURXWHVDQGEDWWOHSRVLWLRQV
z ,PSURYLQJH[LVWLQJURDGQHWZRUNVDQGFRQWUROOLQJWKHIORZRIWUDIILFDORQJWKRVHURXWHV
z ([HFXWLQJZHOOUHKHDUVHGXQLWPRYHPHQWDQGEDWWOHGULOOV
z 3RVLWLRQLQJVHFXULW\IRUFHVDWFULWLFDOFKRNHSRLQWV
z (YDFXDWLQJFLYLOLDQSHUVRQQHORUUHVWULFWLQJWKHLUPRYHPHQWVWRQRQPLOLWDU\URXWHV

6-16 FM 3-0 6 October 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

z (YDFXDWLQJFDVXDOWLHVUHFRYHUDEOHVXSSOLHVDQGXQQHFHVVDU\VWRFNVHDUO\
z 'LVSODFLQJQRQHVVHQWLDO&3VDQGVXVWDLQPHQWDFWLYLWLHVHDUO\

3/$11,1*)256833257$1'&2162/,'$7,21$5($6(&85,7<,17+('()(16(
 7KHVXFFHVVRIWKHGHIHQVHGHSHQGVKHDYLO\RQSURWHFWLQJWKHFRUSVRUGLYLVLRQVXSSRUWDUHDIURPHQHP\
DWWDFNV 'HIHQVLYH SODQQLQJ DGGUHVVHV WKH HDUO\ GHWHFWLRQ DQG LPPHGLDWH GHVWUXFWLRQ RI HQHP\ IRUFHV
DWWHPSWLQJWRRSHUDWHLQRUQHDUXQLWVXSSRUWDUHDV7KHZLGHUDQJHRIWKUHDWVWRNH\QRGHVLQWKHVXSSRUWDUHD
LQFOXGHEXWDUHQRWOLPLWHGWRLQGLYLGXDOVDERWHXUVDLUERUQHRUDLUDVVDXOWLQVHUWLRQVORQJUDQJHDUWLOOHU\DQG
PLVVLOH VWULNHV DQG JURXQG PDQHXYHU SHQHWUDWLRQV $WWDFNV DJDLQVW IULHQGO\ IRUFHV LQ WKH VXSSRUW DUHD
HVSHFLDOO\IURPVPDOOXQLWVPD\SUHFHGHWKHRQVHWRIODUJHVFDOHFRPEDWRSHUDWLRQVDQGEHLQGLVWLQJXLVKDEOH
IURPWHUURULVWDFWV
 7KHFRPPDQGHUGHILQHVUHVSRQVLELOLWLHVIRUWKHVHFXULW\RIXQLWVZLWKLQWKHVXSSRUWDUHD7KHPDQHXYHU
HQKDQFHPHQWEULJDGH 0(% FRPPDQGHU¶V$2ZLOOEHDVXSSRUWDUHD7KH0(%FRPPDQGHULVUHVSRQVLEOH
IRU DUHD VHFXULW\ RSHUDWLRQV ZLWKLQ WKDW $2 7KH 0(% FRPPDQGHU KDV WKH DXWKRULW\ WR GHVLJQDWH WKH
FRPPDQGHUVRIWHQDQWXQLWVZLWKLQWKHVXSSRUWDUHD H[FHSW$UP\0HGLFDO'HSDUWPHQWRIILFHUV DVEDVHDQG
EDVHFOXVWHUFRPPDQGHUVUHVSRQVLEOHIRUWKHORFDOVHFXULW\RIWKHLUUHVSHFWLYHEDVHVDQGEDVHFOXVWHUV7KH
0(%FRPPDQGHUGHVLJQDWHV SURWHFWLRQVWDQGDUGVDQGGHIHQVLYHUHDGLQHVVFRQGLWLRQV IRUWHQDQW XQLWVDQG
XQLWVWUDQVLWLQJWKURXJKWKHVXSSRUWDUHD7KH0(%FRPPDQGHUFRRUGLQDWHVZLWKWKHFRUSVRUGLYLVLRQPDLQ
&3 RU VXSSRUW DUHD FRPPDQG SRVW 6$&3  WR PLWLJDWH WKH HIIHFWV RI VHFXULW\ RSHUDWLRQV RQ WKH SULPDU\
IXQFWLRQVRIXQLWVORFDWHGZLWKLQWKHVXSSRUWDUHD
 &RUSVDQGGLYLVLRQFRPPDQGHUVFDUHIXOO\EDODQFHDYDLODEOHDVVHWVDJDLQVWUHTXLUHPHQWVWRGHWHUPLQH
ZKDW FRQVWLWXWHV DFFHSWDEOH ULVN GXULQJ GHIHQVLYH RSHUDWLRQV 7KH\ PXVW GHFLGH EHWZHHQ VLPXOWDQHRXV
FRPSHWLQJGHPDQGVLQWKHVXSSRUWDUHDFRQVROLGDWLRQDUHDDQG0%$%DODQFLQJHIIHFWLYHQHVVDQGHIILFLHQF\
UHTXLUHV DFFXUDWH LQIRUPDWLRQ WROHUDQFH IRU ULVN DQG DFXWH VLWXDWLRQDO DZDUHQHVV &RPPDQGHUV UHJXODUO\
UHH[DPLQHWKHLUDVVXPSWLRQVLQWHUPVRIIULHQGO\DQGWKUHDWFDSDELOLWLHVLQWKHFRQWH[WRIFXUUHQWDQGIXWXUH
RSHUDWLRQVWRHQVXUHULVNFDOFXODWLRQVDUHLQIRUPHGE\WKHEHVWDYDLODEOHLQIRUPDWLRQ

Note,QWKHGHIHQVHFRPPDQGHUVW\SLFDOO\RQO\GHVLJQDWHFRQVROLGDWLRQDUHDVZKHQWKHGHIHQVH
IROORZVDQRIIHQVHWKDWVXFFHVVIXOO\VHL]HGQHZDUHDV

 &RUSV DQG GLYLVLRQ FRPPDQGHUV GLVSHUVH PLVVLRQ FRPPDQG QRGHV DQG VXSSRUW FDSDELOLWLHV LQ WKH
VXSSRUWDQGFRQVROLGDWLRQDUHDVWRDYRLGSURYLGLQJOXFUDWLYHWDUJHWVIRUWKHHQHP\7KH\HVWDEOLVKUHGXQGDQF\
WRWKH PD[LPXPH[WHQWSRVVLEOHEXWWKH\ PXVWEDODQFHERWKGLVSHUVLRQDQGUHGXQGDQF\DJDLQVWSRWHQWLDO
ORVVHVLQHIIHFWLYHQHVV:KLOHGLVSHUVLRQPD\SURYLGHSURWHFWLRQDJDLQVWORQJUDQJHILUHVLWSRWHQWLDOO\PDNHV
GHIHQGLQJDJDLQVWRWKHUWKUHDWVOLNHLUUHJXODUIRUFHVRU62)PRUHGLIILFXOW
 7KH 0(% XVHV LWV PLOLWDU\ SROLFH 03  DQG RWKHU DVVLJQHG VHFXULW\ IRUFHV WR SURYLGH DUHD VHFXULW\
DURXQGIULHQGO\&3IDFLOLWLHVDQGFULWLFDOVLWHV7KHFRUSVRUGLYLVLRQFRPPDQGHUDVVLJQVWKH0(%WKHPLVVLRQ
RIGHYHORSLQJVHFXULW\SODQVIRUEDVHVEDVHFOXVWHUVDQGGHVLJQDWHGURXWHVZLWKLQWKHVXSSRUWDUHD7KHVH
SODQVDGGUHVVXQLWEDVHDQGFRQYR\GHIHQVHDJDLQVW/HYHO,WKUHDWV7KHVHSODQVDGGUHVV0(%UHVSRQVHIRUFH
RSHUDWLRQVGLUHFWHGDJDLQVW/HYHO,,WKUHDWV$UHDVSUHYLRXVO\RFFXSLHGE\HQHP\IRUFHVVKRXOGEHFOHDUHGLI
VXVWDLQPHQWDVVHWVPXVWWUDQVLWWKHPDQGRWKHUPDQHXYHUIRUFHVKDYHQRWGRQHVR
 7KHFRPPDQGHUDXJPHQWVWKH0(%ZLWKDWDFWLFDOFRPEDWIRUFH 7&) WRFRXQWHUDQ\SURMHFWHG/HYHO
,,,WKUHDWV7KH7&)UHTXLUHVWDFWLFDOPRELOLW\DQGHQRXJKFRPELQHGDUPVFDSDELOLW\WRGHDOZLWKWKHWKUHDWV
LWLVOLNHO\WRIDFH,WVKRXOGLQFOXGHRUEHVXSSRUWHGE\ILUHVDYLDWLRQDQGHQJLQHHUDVVHWV7KHPRVWOLNHO\
/HYHO,,,WKUHDWWRWKHVXSSRUWDUHDDQGLWVPRELOLW\FRUULGRUVGXULQJWKHFRQGXFWRIGHIHQVLYHWDVNVDUHPRELOH
HQHP\IRUFHVLQWHQWRQ²
z 6HYHULQJRUGLVUXSWLQJFRUSVRUGLYLVLRQ¶VPLVVLRQFRPPDQGV\VWHPVDQGQRGHV VXFKDV&3V 
z 'LVUXSWLQJRUGHVWUR\LQJVXVWDLQPHQWHOHPHQWVDQGVWRFNVEHLQJEURXJKWIRUZDUGWRFRPPLWWHG
XQLWVDQGVXVWDLQPHQWVLWHV
z ,QWHUGLFWLQJPDLQVXSSO\URXWHVDQGVXSSO\SRLQWV

6 October 2017 FM 3-0 6-17


Chapter 6

z 'HVWUR\LQJ&3IDFLOLWLHVDLUILHOGVDYLDWLRQDVVHPEO\DUHDVDQGDUPLQJDQGUHIXHOLQJSRLQWV
z ,QWHUIHULQJZLWKWKHFRPPLWPHQWRIWKHUHVHUYH
 :KHQDFRQVROLGDWLRQDUHDLVGHVLJQDWHG%&7VDVVLJQHGUHVSRQVLELOLW\IRUDFRQVROLGDWLRQDUHDSURYLGH
VLJQLILFDQWDUHDVHFXULW\FDSDELOLW\WKDWUHGXFHVWKHEXUGHQRQWKH0(%E\UHGXFLQJWKHVL]HRIWKHVXSSRUW
DUHD&RUSVDQGGLYLVLRQFRPPDQGHUVFRRUGLQDWH$0'FRYHUDJHRIFULWLFDOIULHQGO\FDSDELOLWLHVLQERWKWKH
VXSSRUWDQGFRQVROLGDWLRQDUHDV5HVHUYHIRUFHVPXVWEHUHDG\WRSHUIRUPFRXQWHUDWWDFNVLQWKHVHDUHDVDV
ZHOO
 'HIHQGLQJ FRUSV DQG GLYLVLRQ KHDGTXDUWHUV GHYHORS SODQV WR ILQG IL[ DQG GHVWUR\ HQHP\ IRUFHV
FRQGXFWLQJSHQHWUDWLRQVLQWRWKHVXSSRUWDUHDV$GHIHQGLQJFRPPDQGHUPD\WDNHWKHIROORZLQJDFWLRQV LQ
RUGHURISULRULW\ 
z $VVLJQSULRULW\RIFROOHFWLRQDQGILUHVWRWKHPRVWDSSURSULDWHXQLWSRVLWLRQHGWRUHVSRQGWRWKLV
HQHP\WKUHDWLQFOXGLQJDWWDFNDYLDWLRQDUPHG8$6RU&$6
z &RRUGLQDWHIRUUHLQIRUFLQJILUHVIURPKLJKHUHFKHORQRUDGMDFHQWFRPPDQGVWRVXSSRUWWKUHDWHQHG
VXERUGLQDWHXQLWV
z 'LUHFWWKHUHSRVLWLRQLQJRIDGMDFHQWXQLWVWRHQJDJHHQHP\IRUFHVZKHQSRVVLEOH
z &RPPLWWKHORFDO7&)WRGHIHDWD/HYHO,,,WKUHDW FRPPLWPHQWFULWHULDPXVWEHFOHDUO\GHVFULEHG
LQRUGHUV 
z &RPPLWWKHUHVHUYHWRUHLQIRUFHWKHWKUHDWHQHGXQLW FRPPLWPHQWFULWHULDPXVWEHFOHDUO\GHVFULEHG
LQRUGHUV 
 7KHNH\FRQVLGHUDWLRQEHIRUHGLYHUWLQJDQ\DVVHWVIURPWKHFRUSVRUGLYLVLRQ¶VGHFLVLYHRSHUDWLRQLVLI
WKHWKUHDWWRLWVVXVWDLQPHQWFDSDELOLWLHVMHRSDUGL]HVPLVVLRQDFFRPSOLVKPHQW$OWKRXJKDFRUSVRUGLYLVLRQ
PD\VXVWDLQWKHWHPSRUDU\ORVVRIVXVWDLQPHQWIURPLWVVXSSRUWDUHDLWORVHVWKHEDWWOHLIGHIHDWHGLQWKH0%$
6HHFKDSWHURI$73IRUDGGLWLRQDOGLVFXVVLRQRIGLYLVLRQVXSSRUWDUHDVHFXULW\ 

35(3$5,1*&2536$1'',9,6,216)257+('()(16(
 3UHSDUDWLRQ FRQVLVWV RI WKRVH DFWLYLWLHV SHUIRUPHG E\ XQLWV DQG 6ROGLHUV WR LPSURYH WKHLU DELOLW\ WR
H[HFXWHDQRSHUDWLRQ $'3 &RUSVDQGGLYLVLRQVWDNHIXOODGYDQWDJHRIDOOWKHWLPHDYDLODEOHWRSUHSDUH
WKH GHIHQVH 7LPH LV RI WKH HVVHQFH LQ JHWWLQJ WKH IRUFH SUHSDUHG WR ILJKW 7KH GLYLVLRQ FRPPDQGHU DQG
VXERUGLQDWH FRPPDQGHUV DQG VWDIIV FRQGXFW VLPXOWDQHRXV SUHSDUDWLRQV )0  GLVFXVVHV JHQHULF
GHIHQVLYHSUHSDUDWLRQFRQVLGHUDWLRQVIRUDOOWKUHHW\SHVRIGHIHQVLYHWDVNV 3DUDJUDSKVWKURXJK
GLVFXVVDUHDVRIVSHFLDOLQWHUHVWWRFRUSVDQGGLYLVLRQVSUHSDULQJWRFRQGXFWDGHIHQVH

&216,'(5$7,216:+(135(3$5,1*$1$5($'()(16(
7KHFRPPDQGHUDGRSWVDSODQZKLFKWDNHVDGYDQWDJHRIWKHQDWXUDOGHIHQVLYHVWUHQJWKRI
WKHWHUUDLQ
)0Infantry Division

 $QDUHDGHIHQVHLVW\SLFDOO\FRQGXFWHGZKHQWKHWHUUDLQIDYRUVWKHGHIHQGHURUWKHUHLVLQVXIILFLHQW
GHSWKWRFRQGXFWDPRELOHGHIHQVHIRUZDUGRIWKHQRSHQHWUDWLRQOLQH&RPPDQGHUVSODQQLQJDQDUHDGHIHQVH
IRFXV WKHLU SUHSDUDWLRQV RQ WKRVH DGGLWLRQDO LQIRUPDWLRQ FROOHFWLRQ RSHUDWLRQV UHTXLUHG WR DQVZHU FULWLFDO
LQIRUPDWLRQUHTXLUHPHQWVUHILQLQJWKHSODQ LQFUHDVLQJFRRUGLQDWLRQDQGV\QFKURQL]DWLRQDQGFRQGXFWLQJ
VKDSLQJ DFWLRQV &RUSV DQG GLYLVLRQ FRPPDQGHUV PD\ KDYH WR FRPPLW VXEVWDQWLDO IRUFHV WR VHFXULW\
RSHUDWLRQVRUFRQGXFWDVSRLOLQJDWWDFNLIWKH\NQRZWKDWWKHHQHP\ZLOODWWDFNEHIRUHWKHLUVXERUGLQDWHXQLWV
ILQLVKWKHLUGHIHQVLYHSUHSDUDWLRQV7KHVSRLOLQJDWWDFNRUVHFXULW\RSHUDWLRQEX\VUHDFWLRQWLPHDQGPDQHXYHU
VSDFHIRUVXERUGLQDWHVWRFRPSOHWHWKHLUGHIHQVLYHSUHSDUDWLRQV
 $ XQLW QRUPDOO\ WUDQVLWLRQV WR WKH GHIHQVH DIWHU LW FRPSOHWHV WKH GHSOR\PHQW SURFHVV FRPSOHWHV LWV
RIIHQVLYHDFWLRQVRULVLQDQDVVHPEO\DUHD7KHXQLWFRPPDQGHULVVXHVDZDUQLQJRUGHUVWDWLQJWKHPLVVLRQ
DQGLGHQWLI\LQJDQ\VSHFLDOFRQVLGHUDWLRQV7KHKHDGTXDUWHUVVWDIIFRQGXFWVGHWDLOHGSODQQLQJZKLOHWKHUHVW
RIWKHXQLWFRPSOHWHVLWVFXUUHQWPLVVLRQ7KHVWDIIFRRUGLQDWHVIRUWKHSUHSRVLWLRQLQJRIDPPXQLWLRQDQG
EDUULHUPDWHULDOLQDVHFXUHDUHDQHDUVXERUGLQDWHXQLWGHIHQVLYHSRVLWLRQVEHIRUHVWDUWLQJWKHRSHUDWLRQ

6-18 FM 3-0 6 October 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

 /HDGHUV DW DOO HFKHORQV FRQGXFW D UHFRQQDLVVDQFH EHIRUH RFFXS\LQJ D GHIHQVLYH SRVLWLRQ 7KLV
UHFRQQDLVVDQFHHIIRUWLVDVGHWDLOHGDVWKHVLWXDWLRQDOORZVWLPHDQGWKHSUHVHQFHRIWKHHQHP\DUHQRUPDOO\
WKHFRQWUROOLQJYDULDEOHV 5HFRQQDLVVDQFHPD\ FRQVLVWRIDVLPSOHPDS UHFRQQDLVVDQFHRUDPRUHGHWDLOHG
OHDGHUV¶UHFRQQDLVVDQFHWKDWGHWHUPLQHVWKHLQLWLDOOD\RXWRIWKHQHZSRVLWLRQ/HDGHUVDOVRWDNHDGYDQWDJHRI
GLJLWDO HQDEOHUVVXFK DV WKH 'LVWULEXWHG&RPPRQ *URXQG 6\VWHP$UP\ DQG JHRVSDWLDO LQWHOOLJHQFHWR
LQFUHDVHWKHLUXQGHUVWDQGLQJRIWKHLU$2V
 'HIHQGLQJVXERUGLQDWHGLYLVLRQVDQG%&7VRFFXS\WKHLUGHIHQVLYHSRVLWLRQVDQGEHJLQSUHSDUDWLRQDV
VRRQ DV SUDFWLFDO DIWHU UHFHLYLQJ WKH PLVVLRQ &RPPDQGHUV HVWDEOLVK D IRUZDUG VHFXULW\ DUHD EHIRUH
VXERUGLQDWHGLYLVLRQVDQG%&7VEHJLQRFFXS\LQJWKHLUGHIHQVLYHSRVLWLRQV
 3UHSDUDWLRQRIGHIHQVLYHSRVLWLRQVUHTXLUHVWKHFRQVWUXFWLRQRIILJKWLQJ DQG SURWHFWLYHSRVLWLRQVDQG
REVWDFOHV7KHREVWDFOHHIIHFWVZLOOEORFNWXUQIL[RUGLVUXSWGLIIHUHQWSRUWLRQVRIWKHDGYDQFLQJ HQHP\IRUFH
LQRUGHUWRDOORZLWVGHIHDWLQGHWDLO$WWKH%&7OHYHOWKHHQJLQHHUHIIRUWDVVRFLDWHGZLWKWKHVHVXUYLYDELOLW\
DQG FRXQWHUPRELOLW\ WDVNV JUHDWO\ H[FHHGV WKH FDSDFLW\ RI WKH %&7¶V HQJLQHHU EDWWDOLRQ &RQVWUXFWLQJ
VXUYLYDELOLW\SRVLWLRQVUHTXLUHVFRQVLGHUDEOHWLPHRUWKHDXJPHQWDWLRQRIWKHEULJDGHHQJLQHHUEDWWDOLRQZLWK
HQJLQHHUFDSDFLW\IURPKLJKHUHFKHORQV$ XQLWPD\ SUHSRVLWLRQVXSSOLHVVXFKDVDPPXQLWLRQDQG EDUULHU
PDWHULHORQFHLWHVWDEOLVKHVVHFXULW\IRUWKRVHSRVLWLRQV7KHDSSURDFKLQJHQHP\WURRSVDQGVXSSRUWDYDLODEOH
DQGWLPHDYDLODEOHDUHWKHGHFLGLQJFRQVLGHUDWLRQVLQHVWDEOLVKLQJSULRULWLHVRIZRUNZLWKSODQQLQJXQLWVFDQ
DFFRPSOLVKPXOWLSOHGHIHQVLYHWDVNVVLPXOWDQHRXVO\
 'HIHQGLQJ XQLWVXVH FDPRXIODJHDQG FRQFHDOPHQWWRKLGHGHIHQVLYH SUHSDUDWLRQV7KH\ OLPLW(06
HPLVVLRQVDQGSURWHFWPLVVLRQFRPPDQGV\VWHPVDQGWKHLQWHJULW\RIGDWDRQWKRVHV\VWHPV7KH\XVHWHUUDLQ
WRPDVNHPLWWHUVVRDVWRUHGXFHWKHSUREDELOLW\RIHQHP\6,*,17 DQG(:GHWHFWLRQDQGRIIVHWHPLWWHUVIURP
&3VWRLQFUHDVHVXUYLYDELOLW\ LIWKH\ DUH GHWHFWHG,QIRUPDWLRQRSHUDWLRQVIRFXVRQHQFRXUDJLQJ WKHORFDO
FLYLOLDQSRSXODWLRQWRDYRLG LQWHUIHULQJZLWK XQLW RSHUDWLRQVLQWKHFORVHVXSSRUWDQG FRQVROLGDWLRQDUHDV
6HH)0 IRUDGGLWLRQDOLQIRUPDWLRQRQ WKHSHUIRUPDQFHRISUHSDUDWLRQWDVNVDVVRFLDWHGZLWK DUHD
GHIHQVHRSHUDWLRQV 

&216,'(5$7,216:+(1 35(3$5,1*$02%,/( '()(16(


 $ PRELOHGHIHQVHLVW\SLFDOO\FRQGXFWHGZKHQ WKHWHUUDLQIDYRUVWKHDWWDFNHUDQG WKHUHLVVXIILFLHQW
GHSWK WRHPSOR\D VWULNLQJIRUFHIRUZDUGRIWKHQRSHQHWUDWLRQOLQH3UHSDUDWLRQVIRUFRQGXFWLQJD PRELOH
GHIHQVH LQFOXGH GHYHORSLQJ IL[LQJ IRUFH GHIHQVLYH SRVLWLRQV DQG ($V &RPPDQGHUV DJJUHVVLYHO\ XVH
LQIRUPDWLRQFROOHFWLRQDVVHWVWRWUDFNHQHP\XQLWVDVWKH\DSSURDFK(QJLQHHUVSDUWLFLSDWHLQFRQGXFWLQJURXWH
DQG DUHDUHFRQQDLVVDQFHWRORFDWHDQGFODVVLI\FRXQWHUDWWDFNURXWHV7KH\LPSURYHH[LVWLQJURXWHVDQGRSHQ
QHZ URXWHVIRUGHIHQGLQJIRUFHVWRXVHGXULQJ FRPEDWRSHUDWLRQV7KH\ FRQVWUXFWREVWDFOHHIIHFWVWREORFN
WXUQIL[DQGGLVUXSWGLIIHUHQWSRUWLRQVRIWKHDGYDQFLQJHQHP\IRUFHDQGWKDWHQHP\IRUFH¶VFRPELQHGDUPV
WHDPWRDOORZLWVGHIHDWLQGHWDLOE\WKHVWULNLQJIRUFH
 7KH VWULNLQJIRUFHDVVHPEOHVLQRQHRUPRUHDUHDVGHSHQGLQJ RQWKH ZLGWK RIWKH $2 WKHWHUUDLQ
HQHP\ FDSDELOLWLHVDQG WKH FRPPDQGHU¶VLQWHQW %HIRUHWKHHQHP\DWWDFN EHJLQV WKH VWULNLQJIRUFHPD\
GHSOR\VRPHRUDOORILWVHOHPHQWVIRUZDUGLQWKH0%$WR²
z 'HFHLYHWKHHQHP\UHJDUGLQJWKHSXUSRVHRIWKHIRUFH
z 2FFXS\GXPP\EDWWOHSRVLWLRQV
z &UHDWHD IDOVHLPSUHVVLRQRIXQLWERXQGDULHVZKLFKLVLPSRUWDQWZKHQRSHUDWLQJZLWKDPL[ RI
DUPRUHG6WU\NHUDQGLQIDQWU\IRUFHVRUPXOWLQDWLRQDOIRUFHV
z &RQGXFWUHFRQQDLVVDQFHRIURXWHVEHWZHHQWKHVWULNLQJIRUFH¶VD[LVRIDGYDQFHDQGSRWHQWLDO($V
 (QHP\IRUFHVDWWHPSWWRGLVFRYHUWKHVWUHQJWKFRPSRVLWLRQDQG ORFDWLRQRIWKHXQLWVWKDWFRQVWLWXWH
WKHIL[LQJ IRUFHDQG WKH VWULNLQJIRUFH'HIHQGLQJFRPPDQGHUVXVHSURWHFWLYHPHDVXUHVVXFKDV VHFXULW\
IRUFHVDQG 236(& WRGHQ\ WKHHQHP\WKLVLQIRUPDWLRQDQG GHJUDGH WKHFROOHFWLRQFDSDELOLWLHVRIHQHP\
UHFRQQDLVVDQFHDQGVXUYHLOODQFHDVVHWV7KHFRUSVRUGLYLVLRQFRPPDQGHUUHSRVLWLRQVVXERUGLQDWHIRUPDWLRQV
WRPLVOHDGWKHHQHP\SURWHFWWKHIRUFHDQGSRUWUD\DQDUHDGHIHQVHWRWKHHQHP\E\KLGLQJWKHVWULNLQJIRUFH

6 December 2017 FM 3-0, C1 6-19


Chapter 6

35(3$5,1*)250,66,21&200$1',17+( '()(16(
 &RUSVDQGGLYLVLRQFRPPDQGHUVHQVXUHWKDWVXERUGLQDWHDQGVXSSRUWLQJFRPPDQGHUVXQGHUVWDQGWKHLU
GHIHQVLYHFRQFHSWRIRSHUDWLRQVE\FRQGXFWLQJUHKHDUVDOV,ISRVVLEOHWKHFRPPDQGHUWDNHVVXERUGLQDWHDQG
VXSSRUWLQJ FRPPDQGHUV WR D SK\VLFDO YDQWDJH SRLQW WKDW IDFLOLWDWHV VKDUHG YLVXDOL]DWLRQ WR JL YH WKH
FRPPDQGHU¶V LQWHQW WR GHVFULEH FRPPRQFRQWUROPHDVXUHV DQG WR FRQGXFW FRPPDQGHUWRFRPPDQGHU
FRRUGLQDWLRQ:KHQXVHRID SK\VLFDOYDQWDJH SRLQWLVLPSUDFWLFDOFRPPDQGHUVXVHDOORWKHUUHVRXUFHVDW
WKHLUGLVSRVDOVXFKDVDFRPSXWHUJHQHUDWHGGHSLFWLRQRIWKHWHUUDLQVDQGWDEOHVRUPDSRYHUOD\V
 &RUSVDQG GLYLVLRQPDLQ&3VORFDWHZKHUHWKH\FDQEHVWSHUIRUPWKHLUV\QFKURQL]DWLRQDQGSODQQLQJ
DFWLYLWLHVZKLOHGHQ\LQJWKHHQHP\LQWHOOLJHQFHLQIRUPDWLRQ0DLQ&3VVKRXOGEHRXWRIWKHUDQJHRIHQHP\
FDQQRQDUWLOOHU\DQG PRVWHQHP\PXOWLSOHURFNHWODXQFKHUV\VWHPV/RFDWLQJWKHPDLQ &3LQRUQHDURWKHU
EDVHVDQGEDVHFOXVWHUVLQFUHDVHVVHFXULW\DJDLQVW/HYHO,WKUHDWV
 ,IWKHSODQFDOOVIRUWKHWDFWLFDO&3WRFRQWURORSHUDWLRQVLQWKHIRUZDUGVHFXULW\DUHDRUWKHFRPPLWPHQW
RIWKHVWULNLQJIRUFHWKHWDFWLFDO&3GLVSODFHVWRWKHDSSURSULDWHORFDWLRQZKHUHLW FDQ EHVWFRQWUROWKRVH
RSHUDWLRQV:KHQ WKH HQHP\ KDV 6,*,17 FDSDELOLW\ WKH WDFWLFDO&3 VKRXOG ORFDWHDZD\ IURPWKH XQLW
VFKHGXOHGWRFRQGXFWWKHGHFLVLYHRSHUDWLRQ7KH6$&3SODQVDQGFRRUGLQDWHVIRUVXVWDLQPHQWVXSSRUWWHUUDLQ
PDQDJHPHQWPRYHPHQWFRQWURODQGVHFXULW\ZLWKLQWKHVXSSRUWDUHD

35(3$5,1*)25029(0(17 $1'0$1(89(5 ,17+( '()(16(


7URRSVFDUU\RXWWKHRUJDQL]DWLRQRIWKHSRVLWLRQLQDFFRUGDQFHZLWKDSODQRIFRQVWUXFWLRQ
H[SUHVVHGLQRUGHUVLQWKHIRUPRISULRULWLHV
)0 Field Service Regulations Operations

 $ GHWDLOHG UHFRQQDLVVDQFHRI DQ $2 KHOSV FRPPDQGHUVDQG VWDIIV UHILQHWKH GHIHQVLYH SODQ DQG
GHWHUPLQHWKHPRVWHIIHFWLYHZD\WRXVHWKHWHUUDLQDQGDYDLODEOH UHVRXUFHV7KHVHUHILQHPHQWVKHOSVHFXULW\
IRUFHVXQLWVSUHSDULQJLQWKH0%$WKHUHVHUYHDQGRSHUDWLRQVLQWKHVXSSRUWDQGFRQVROLGDWLRQDUHDV
 'XULQJ WKH SUHSDUDWRU\SKDVH FRUSVDQG GLYLVLRQ VXERUGLQDWHDQG VXSSRUWLQJ XQLWVPRYH LQWRWKHLU
DVVLJQHGORFDWLRQVDQGFRQWLQXRXVO\LPSURYHWKHLUSRVLWLRQV7KH\FRPSOHWHWDVNRUJDQL]DWLRQDQGH[FKDQJH
RIOLDLVRQRIILFHUV$GMDFHQWXQLWVPDNHFRQWDFWZLWKHDFKRWKHUDQGFRPSOHWHFRRUGLQDWLRQ7KHVWULNLQJIRUFH
ZLWKGUDZV WRDWWDFNSRVLWLRQVDQGSUHSDUHVWRFRQGXFWWKHGHFLVLYHDWWDFN 6HH)0IRUDGLVFXVVLRQ
RQFRQVLGHUDWLRQVIRURFFXS\LQJGHIHQVLYHSRVLWLRQVLQERWKWKHVHFXULW\DUHDDQGWKH0%$ 
 03WHDPVIURPWKH0(%DQG03EULJDGHVDXJPHQWPDQHXYHUFRQWUROWHDPVDVVLVWLQJWKHFRPPDQGHU
DVVLVWDQWFKLHIRIVWDIIRSHUDWLRQV * DQGWUDQVSRUWDWLRQRIILFHUFRQWUROWURRSPRYHPHQWVZLWKLQWKHFRUSV
RUGLYLVLRQ$2GXULQJWKHSUHSDUDWLRQDQGH[HFXWLRQSKDVHVRIWKHGHIHQVH
 8QLWV LPSURYH WKH QDWXUDO GHIHQVLYH TXDOLWLHV RI DYDLODEOH WHUUDLQ 7KH\ DXJPHQW GHIHQVLYH DQG
EORFNLQJSRVLWLRQVE\ HPSODFLQJPLQHILHOGVSUHSDULQJREVWDFOHVFDPRXIODJLQJ ILJKWLQJ DQG VXUYLYDELOLW\
SRVLWLRQVDQGLPSURYLQJREVHUYDWLRQDQGILHOGVRIILUH7KH\FRQGXFWWKHGHWDLOHGFRRUGLQDWLRQQHFHVVDU\WR
LQWHJUDWHILUHSODQV($VDQGPDQHXYHUIRUFHVSDUWLFXODUO\WKHUHVHUYHRUVWULNLQJIRUFH 6HH)0IRU
DGLVFXVVLRQRISULRULWLHVRIZRUNZKHQRFFXS\LQJDQDUHD 
 2EVWDFOHVIL[WKHHQHP\XQGHUILUHRUGLYHUWWKHHQHP\LQWRDUHDVWREHGHVWUR\HGE\PDQHXYHU7KH
SODFHPHQWRIREVWDFOH]RQHVDQGEHOWVFRPSOLPHQWVDQGH[SORLWVWKHDGYDQWDJHVRIH[LVWLQJQDWXUDOREVWDFOHV
%&7VVKDSHWHUUDLQXVLQJZLUHYHKLFOHGLWFKHVDEDWLVORJREVWDFOHVDQGPLQHILHOGVWREORFNGHILOHVLPSHGH
HQHP\PRYHPHQWDQGFDQDOL]HWKHHQHP\LQWR($V
 ,QIDQWU\ WDVN IRUFHV FRQVWUXFW VWURQJSRLQWVWR UHWDLQ NH\ WHUUDLQQHFHVVDU\IRUWKH LQWHJULW\RIWKH
GHIHQVH,QIDQWU\EULJDGHFRPEDWWHDPV ,%&7V DQWLFLSDWLQJFRQWDFWZLWKHQHP\DUPRUUHTXLUHSRVLWLRQVWKDW
LQFRUSRUDWHHQRXJKREVWDFOHVFRYHUHGE\ DQWLWDQN JXLGHG PLVVLOHV\VWHPVWRSUHYHQW HQHP\DUPRUIURP
FORVLQJZLWKDQGSHQHWUDWLQJWKHLUGHIHQVHV
 :KHQSUHSDULQJDQ DUHDGHIHQVHWKH%&7 FRPPDQGHUGHWHUPLQHVWKHSULRULW\RIHIIRUWIRUHQJLQHHU
XQLWV WR VXSSRUW WKH FRQFHSW RI RSHUDWLRQVDQG PLWLJDWH WKH SULPDU\ WKUHDW 1RUPDOO\ WKH SULRULW\ LV
FRXQWHUPRELOLW\DQG WKHQ VXUYLYDELOLW\ :KHQ QHFHVVDU\WKHFRPPDQGHUWDVNVWKHVXSSRUWLQJVXVWDLQPHQW
EULJDGH WRKHOS ZLWK WKHIRUZDUG VWDJLQJ RIREVWDFOHPDWHULDOPLQHVDQG GHPROLWLRQV7KH HQJLQHHUVWDII

6-20 FM 3-0, C1 6 December 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

RIILFHUUHTXHVWVDGGLWLRQDOHQJLQHHUDVVHWVIURPWKH0(%RUVXSSRUWLQJIXQFWLRQDOHQJLQHHUEULJDGHWRSURYLGH
DQ\DGGLWLRQDOPRELOLW\VXSSRUWLQWKHVXSSRUWDUHDRQFHWKHFRUSVRUGLYLVLRQRFFXSLHVLWV$2
 ,QDPRELOHGHIHQVHWKHSULRULW\RIHIIRUWIRUHQJLQHHUXQLWVLVQRUPDOO\WRHQVXUHWKHVWULNLQJIRUFH¶V
PRELOLW\ DQG WKHQ WR WKH VXUYLYDELOLW\ DQG FRXQWHUPRELOLW\ HIIRUWV RI WKH %&7V LQ WKH IL[LQJ IRUFH 7KH
FRPPDQGHUPD\UHVWULFWREVWDFOHHPSODFHPHQWE\VXERUGLQDWHXQLWVLQWKHIL[LQJIRUFHVRDVWRQRWKLQGHUWKH
VWULNLQJIRUFHZKHQLWLVFRPPLWWHG%&7FRPPDQGHUVZLWKLQWKHVWULNLQJIRUFHWDVNRUJDQL]HPDQHXYHUXQLWV
ZLWKHQJLQHHUVFDSDEOHRIFRQGXFWLQJLQVWULGHREVWDFOHDQGJDSEUHDFKHVHQVXULQJDVVHWVDUHZHOOIRUZDUG
DQGLQWHJUDWHGLQWROHDGPDQHXYHUIRUPDWLRQV
 :KHQSUHSDULQJWRFRQGXFWDUHWURJUDGHWKHSULRULW\RIHIIRUWIRUHQJLQHHUXQLWV ZLWKLQ HDFKRIWKH
EULJDGHVLVQRUPDOO\WKHPRELOLW\RIWKHPDLQERG\$VHFRQGDU\SULRULW\LVWRWKHPRELOLW\RIDQ\GHWDFKPHQWV
OHIWLQFRQWDFWDQGWKHQWRWKHFRXQWHUPRELOLW\HIIRUWGHVLJQHGWRLPSHGHWKHDGYDQFHRIHQHP\IRUFHV
 7KHFRUSVRUGLYLVLRQFRPPDQGHUXVHVDWWDFKHG23&21RU7$&21LQIRUPDWLRQFROOHFWLRQDVVHWVWR
JDLQ LQIRUPDWLRQ DERXW WKH HQHP\ WHUUDLQ ZHDWKHU DQG FLYLO FRQVLGHUDWLRQV 7KH FRPPDQGHU IRFXVHV
UHFRQQDLVVDQFHIRUFHVDQGVXUYHLOODQFHFDSDELOLWLHVDORQJSUREDEOHHQHP\DYHQXHVRIDSSURDFK7KHFRUSV
* WDVNV VXERUGLQDWH XQLWV IRU LQIRUPDWLRQ FROOHFWLRQ ZKHQ WKH FRUSV H[SHGLWLRQDU\ PLOLWDU\ LQWHOOLJHQFH
EULJDGH (0,% FDQQRWPHHWDOORIWKHFRUSV¶LQIRUPDWLRQFROOHFWLRQUHTXLUHPHQWV
 %&7V XVH WKHLU FDYDOU\ VTXDGURQV ZLWK RUJDQLF EULJDGH 8$6 RU DXJPHQWLQJ &$% DVVHWV WR FROOHFW
LQIRUPDWLRQ &RPELQLQJ DLU DQG JURXQG DVVHWV FDQ SURYLGH JUHDWHU ILGHOLW\ DQG WLPHOLQHVV WKDQ HLWKHU
FDSDELOLW\XVHGDORQH$HULDODVVHWVFDQFXHJURXQGDVVHWVWRSRVVLEOHHQHP\ORFDWLRQVHLWKHUWRDYRLGWKHP
RUJHWLQWRDEHWWHUSRVLWLRQWRREVHUYHWKHP*URXQGDVVHWVFDQDOVRFXHDHULDODVVHWVWRHQHP\ORFDWLRQVVR
WKH\FDQWUDFNHQHP\IRUFHVZKHQWKH\PRYH7KLVLQIRUPDWLRQDOORZV%&7GLUHFWVXSSRUWDUWLOOHU\EDWWDOLRQV
WKHFRUSVILHOGDUWLOOHU\EULJDGHDQGWKH&$%WRFRRUGLQDWHVWULNHFRRUGLQDWLRQDQGUHFRQQDLVVDQFHRSHUDWLRQV
$UP\ DYLDWLRQDWWDFN PLVVLRQVDQGMRLQW ILUHV 7KH\FDQDOVRDFWDVREVHUYHUVGXULQJ VWULNHVDQGSURYLGH
EDWWOHGDPDJHDVVHVVPHQWV
 *URXQGPDQHXYHUDQGUHFRQQDLVVDQFHXQLWVVXFKDVDFDYDOU\VTXDGURQSURYLGHORFDOVHFXULW\IRUWKH
(0,%6,*,17V\VWHPVORFDWHGZLWKLQD%&7$27KLVHQDEOHVWKH(0,%WRSRVLWLRQWKHVH6,*,17V\VWHPV
IRUZDUGWRJDWKHUVLJQDOVLQWHOOLJHQFHRULJLQDWLQJEH\RQGWKH)/27
 &RXQWHULQWHOOLJHQFHDQGKXPDQLQWHOOLJHQFHWHDPVIURPWKH(0,%PD\EHXQGHUWKH7$&21RI%&7
FRPPDQGHUV7KH\SURYLGHWKH%&7VZLWKDJUHDWHUFDSDELOLW\WRFRQGXFWVWDELOLW\DQGGHIHQVLYHWDVNVZLWKLQ
WKHLU $2V FROOHFWLQJ LQIRUPDWLRQ IURP GHWDLQHHV DQG WKH ORFDO SRSXODWLRQ WR SURYLGH FRPPDQGHUV EHWWHU
VLWXDWLRQDOXQGHUVWDQGLQJ
 2EVFXUDWLRQFRQVLGHUDWLRQVLQFOXGHPDQPDGHREVFXUDQWVGXVWIURPPRYLQJYHKLFOHVDQGIRJUDLQ
RUVQRZ2EWDLQLQJVXIILFLHQWPDQPDGHREVFXUDQWVLVFULWLFDOWRFRXQWHUHQHP\HOHFWURRSWLFDOVHQVRUV

35(3$5,1*)25,17(//,*(1&(,17+('()(16(
 %HIRUHDEDWWOHFRPPDQGHUVDWDOOHFKHORQVUHTXLUHLQIRUPDWLRQ6SHFLILFDOO\WKH\QHHGWRNQRZ²
z 7KH FRPSRVLWLRQ HTXLSPHQW LQWHQW VWUHQJWKV ZHDNQHVVHV DQG VFKHPH RI PDQHXYHU RI WKH
DWWDFNLQJHQHP\IRUFH
z 7KHORFDWLRQGLUHFWLRQDQGVSHHGRIHQHP\UHFRQQDLVVDQFHHOHPHQWV
z 7KHORFDWLRQDQGDFWLYLWLHVRIHQHP\XQLWVDQGUHVHUYHV
z (QHP\&DQGFRPPXQLFDWLRQVIDFLOLWLHV
z 7KHORFDWLRQRIHQHP\ILUHVXSSRUWDQGDLUGHIHQVHV\VWHPVZLWKDVVRFLDWHGFRPPDQGDQGFRQWURO
QHWV
 7KH DVVLVWDQW FKLHI RI VWDII LQWHOOLJHQFH *  XVHV WKH SUHSDUDWLRQ SKDVH WR FRPSOHWH LQIRUPDWLRQ
FROOHFWLRQLQWHJUDWLRQDQGV\QFKURQL]DWLRQ&RUSVDQGGLYLVLRQVUHO\RQMRLQWDQGQDWLRQDOV\VWHPVWRGHWHFW
DQG WUDFN WDUJHWV EH\RQG WKHLU RUJDQLF FDSDELOLWLHV 7KH KHDGTXDUWHUV HPSOR\V DYDLODEOH LQIRUPDWLRQ
FROOHFWLRQDVVHWVWRUHILQHLWVNQRZOHGJHRIWKHWHUUDLQDQGFLYLOFRQVLGHUDWLRQVZLWKLQLWV$2,QIRUPDWLRQ
FROOHFWLRQ DVVHWV LGHQWLI\ IULHQGO\ YXOQHUDELOLWLHV DQG NH\ GHIHQVLEOH WHUUDLQ 7KH GLYLVLRQ KHDGTXDUWHUV
FRQGXFWVSHULRGLFLQIRUPDWLRQFROOHFWLRQRIDQ\XQDVVLJQHGDUHDVWRSUHYHQWWKHHQHP\IURPH[SORLWLQJWKHVH
DUHDVWRDFKLHYHVXUSULVH

6 October 2017 FM 3-0 6-21


Chapter 6

 &RPPDQGHUV FRQWLQXRXVO\ UHILQH WKH


LQWHOOLJHQFH SLFWXUH RI HQHP\ IRUFHV
WKURXJKRXW WKHLU DUHDV RI LQWHUHVW DV SDUW RI
GHHS RSHUDWLRQV 7KH\ IRFXV WKHLU
LQIRUPDWLRQ FROOHFWLRQ HIIRUWV RQ NH\
JHRJUDSKLFDODUHDVDQGHQHP\FDSDELOLWLHVRI
SDUWLFXODU FRQFHUQ XVLQJ WKH 1$, FRQWURO
PHDVXUH 6HHILJXUH
 &RQVWDQW VXUYHLOODQFH RI WKH $2 DQG
HIIHFWLYH UHFRQQDLVVDQFH DUH QHFHVVDU\ WR
DFTXLUH WDUJHWV DQG WR YHULI\ DQG HYDOXDWH
SRWHQWLDO HQHP\ FRXUVHV RI DFWLRQ DQG
FDSDELOLWLHV ,QIRUPDWLRQ FROOHFWLRQ HIIRUWV
IRFXVRQLGHQWLI\LQJZKHQZKHUHDQGZLWK
ZKDW VWUHQJWK WKH HQHP\ ZLOO DWWDFN 7KLV
DOORZVWKHFRPPDQGHUWRLGHQWLI\RSSRUWXQH
WLPHV WR FRQGXFW VSRLOLQJ DWWDFNV DQG
UHSRVLWLRQIRUFHV Figure 6-14. Named area of interest
$ named area of interest LVWKH JHRVSDWLDODUHDRU
35(3$5,1*)25),5(6,1 7+('()(16( V\VWHPVQRGHRUOLQNDJDLQVWZKLFKLQIRUPDWLRQWKDWZLOO
VDWLVI\DVSHFLILFLQIRUPDWLRQUHTXLUHPHQWFDQEH
 (IIHFWLYHILUHVSODQQLQJLVHVVHQWLDOWR
FROOHFWHGXVXDOO\WRFDSWXUHLQGLFDWLRQVRIDGYHUVDU\
WKH VXFFHVV RI DQ\ GHIHQVH )LUH UHKHDUVDOV FRXUVHVRIDFWLRQ -3 
KHOSVWDIIVXQLWVDQGLQGLYLGXDOILUHVXSSRUW
SHUVRQQHOWREHWWHUXQGHUVWDQGWKHLUVSHFLILF
UROH LQ XSFRPLQJ RSHUDWLRQV V\QFKURQL]H H[HFXWLRQ RI WKH VFKHPH RI ILUHV DQG HQVXUH HTXLSPHQW DQG
ZHDSRQVDUHSURSHUO\IXQFWLRQLQJ
 )LUHV SUHSDUDWLRQ EHJLQV EHIRUH GHSOR\PHQW DQG FRQWLQXHV GXULQJ SODQQLQJ DQG WKURXJKRXW DQ
RSHUDWLRQ8QFRPPLWWHGILULQJXQLWVSUHSDUHIRUFRQWLQJHQFLHVDQGDQWLFLSDWHWKHQH[WSKDVHRUEUDQFKRIDQ
RSHUDWLRQ)LUHVXSSRUWLQWKHGHIHQVHLVJHQHUDOO\PRUHFHQWUDOL]HGWKDQLQWKHRIIHQVHLQRUGHUWRTXLFNO\
PDVVHIIHFWVDJDLQVWDVXSHULRUHQHP\IRUFH6LQFHDPRELOHGHIHQVHLQFOXGHVFKDUDFWHULVWLFVRIERWKGHIHQVH
DQGRIIHQVHLWUHTXLUHVPRUHIOH[LEOHILUHVXSSRUWSODQQLQJ
 'HIHQVLYHILUHVSUHSDUDWLRQEHJLQVDWUHFHLSWRIPLVVLRQ 'HIHQVLYHILUHVSUHSDUDWLRQVLQLWLDOO\IRFXV
RQ²
z 'HWHFWLQJ+37V
z 'HHSRSHUDWLRQVDJDLQVWDSSURDFKLQJHQHP\IRUFHV
z 6XSSRUWLQJWKHDFWLRQVRIIULHQGO\IRUFHVHVSHFLDOO\WKRVHRIIRUZDUGVHFXULW\IRUFHV
z (PSOR\LQJUDSLGO\HPSODFHGUHPRWHO\FRQWUROOHGPXQLWLRQVWRVHOHFWLYHO\GHQ\DUHDVRULQWHUGLFW
PRYHPHQWFKRNHSRLQWV
z 6XSSUHVVLRQRIHQHP\DLUGHIHQVHV
z &RXQWHUILUH

 :KHWKHULQDQDUHDGHIHQVHRUPRELOHGHIHQVHILUHVZHLJKWWKHFRPPDQGHU¶VGHFLVLYHRSHUDWLRQ,QDQ
DUHDGHIHQVHWKHGHFLVLYHRSHUDWLRQLVZKHUHWKHGHIHQVHFRYHUVWKHHQHP\¶VPDLQDYHQXHRIDSSURDFK7KH
DWWDFNRIWKHVWULNLQJIRUFHLVWKHGHFLVLYHRSHUDWLRQLQDPRELOHGHIHQVH7KHFRPPDQGHUVHHNVSRVLWLRQVRI
UHODWLYH DGYDQWDJH IRU $UP\ ILUH VXSSRUW DVVHWV $UP\ DYLDWLRQ MRLQW ILUHV DQG VXSSRUWLQJ QRQOHWKDO
FDSDELOLWLHVVXFKDV(:DQG2&27KHVHSRVLWLRQVDUHZKHUHWKHVHFDSDELOLWLHVFDQEHVWVXUYLYHHQHP\DWWDFN
ZKLOHSURYLGLQJFRQWLQXRXVHIIHFWVPDVVHGLQVXSSRUWRIWKHGHFLVLYHRSHUDWLRQ
 )LULQJXQLWVSODQDQGSUHSDUHSULPDU\DQGDOWHUQDWHILULQJSRVLWLRQVEDVHGRQWKHHQHP\¶VFRXQWHUILUH
FDSDELOLWLHV)LULQJXQLWVUHKHDUVHPRYHPHQWWRDQGRFFXSDWLRQRIDOWHUQDWLYHSRVLWLRQV
 7KHGLYLVLRQMRLQWDLUJURXQGLQWHJUDWLRQFHQWHU -$*,& V\QFKURQL]HVWKHXVHRIMRLQWDLUDQGJURXQG
ILUHVWRHQJDJHHQHP\DLUDQGJURXQGV\VWHPVZKLOHSUHYHQWLQJIUDWULFLGH7KHFRUSVZRUNVZLWKLWVFRUSV

6-22 FM 3-0 6 October 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

WDFWLFDODLUFRQWUROSDUW\DQG WKH/&& EDWWOHILHOGFRRUGLQDWLRQGHWDFKPHQW %&' WRV\QFKURQL]HWKHXVHRI


MRLQWILUHV

'HWHFWLQJ+LJK3D\RII7DUJHWV
 &RUSVDQGGLYLVLRQVIRFXVRQWKHWLPHO\DFFXUDWHLGHQWLILFDWLRQRI+37VGXULQJGHIHQVLYHSUHSDUDWLRQV
5HFRQQDLVVDQFHXQLWVDQG VXUYHLOODQFHV\VWHPVUHFHLYHWDVNVFRPPHQVXUDWHZLWKWKHLUFDSDELOLWLHV0RELOH
+37V UHTXLUHFRQWLQXRXVWUDFNLQJDIWHUGHWHFWLRQ6XUYHLOODQFHDVVHWV²LQFOXGLQJ8$6 (: VSDFHEDVHG
DQG62)²IRFXVHGRQD7$, QRUPDOO\DVVRFLDWHGZLWKWKHDFTXLVLWLRQRID+377UDFNLQJSULRULWLHVDUHEDVHG
RQWKHFRQFHSWRIWKHRSHUDWLRQDQGWDUJHWLQJSULRULWLHV7KHILUHVFHOOWHOOVWKH*WKHGHJUHHRIDFFXUDF\DQG
GZHOO WLPH UHTXLUHG WR HQJDJH VSHFLILFWDUJHWV 7KH * PXVW PDWFK DFFXUDF\ UHTXLUHPHQWVZLWK WKH
FDSDELOLWLHVRIWKHFROOHFWLRQV\VWHPVZKLOHWKH*GLUHFWVWKHDSSURSULDWHFROOHFWLRQDVVHWVDJDLQVWWDUJHW
W\SHVEDVHGXSRQWKHLUHOHFWURQLFYLVXDORUWKHUPDOVLJQDWXUHVDQGHVWLPDWHVRIZKHQDQGZKHUHWKHHQHP\
WDUJHWZLOOEHORFDWHG
 $VDVVHWVFROOHFWLQIRUPDWLRQIRUWDUJHWGHYHORSPHQWDQDO\VLVDQGFRQWUROHOHPHQWLQWHOOLJHQFHDQDO\VWV
XVHWKHLQIRUPDWLRQIRUWDUJHWGHYHORSPHQWDQG VLWXDWLRQDODZDUHQHVV7KH\ SDVVWDUJHWLQIRUPDWLRQWRWKH
ILUHVFHOORQFHWKH\LGHQWLI\DWDUJHWDVDQ+377KHILUHVFHOOH[HFXWHVWKHDWWDFNJXLGDQFHDJDLQVWWKHWDUJHW
7KH SUHVHQFHRID ILHOGDUWLOOHU\LQWHOOLJHQFHRIILFHULQWKHDQDO\VLVDQG FRQWUROHOHPHQWIDFLOLWDWHVHVVHQWLDO
FORVHFRRUGLQDWLRQEHWZHHQWKHLQWHOOLJHQFHDQGWKHILUHVFHOOV
 7KH WDUJHWLQJVHFWLRQKHOSVWKHFRPPDQGHUFRQWLQXRXVO\DVVHVVHQHP\ DFWLYLWLHVWKDW FDQ LQIOXHQFH
IULHQGO\RSHUDWLRQV&RPPDQGHUVDGMXVWWKHDWWDFNJXLGDQFHPDWUL[WRH[SORLWRSSRUWXQLWLHVDQGWDUJHWWKRVH
FDSDELOLWLHVWKHHQHP\FRPPDQGHUUHTXLUHVPRVW

'HHS2SHUDWLRQVDV3DUWRI'HIHQVLYH3UHSDUDWLRQV
 ,Q JHQHUDOFRUSVGHHSRSHUDWLRQVRFFXUEH\RQGWKHDUHDDGLYLVLRQFDQHIIHFWLYHO\HPSOR\LWVFRPEDW
SRZHU7KH H[WHQWWRZKLFK DGLYLVLRQFRQGXFWVGHHSRSHUDWLRQVLVOLPLWHGLQWZRZD\V WKURXJKWKHXVHRI
FRQWUROPHDVXUHVDQGE\WKHUDQJHVRIWKHFDSDELOLWLHVLWFRQWUROV,QIRUPDWLRQFROOHFWLRQILUHVDQGWKHDELOLW\
WRPDQDJHDLUVSDFHDUHFULWLFDOFDSDELOLWLHVGXULQJGHHSRSHUDWLRQV2UFKHVWUDWLRQRIWKRVHFDSDELOLWLHVLQWKH
PRVWHIIHFWLYHPDQQHUUHTXLUHVVLJQLILFDQWSODQQLQJDQGFRRUGLQDWLRQERWKRIZKLFKDUHPRVWHII LFLHQWZKHQ
UHVSRQVLELOLWLHVDUHFOHDUO\GHOLQHDWHGEHWZHHQ HFKHORQV&RUSVGHHS RSHUDWLRQVVKRXOGIDFLOLWDWHGLYLVLRQ
IUHHGRPRIDFWLRQLQWKH FORVHDQG GHHSDUHDV(QHP\ IRUFHVLQWKH GHHSDUHDDUH QRWRXWRIFRQWDFWLQ D
PXOWLGRPDLQHQYLURQPHQWVLQFHVSDFHF\EHUVSDFHDQGLQIRUPDWLRQRSHUDWLRQVKDYHIHZUDQJHFRQVWUDLQWV
 &RUSVDQG GLYLVLRQ FRPPDQGHUVPRQLWRUWKHDSSURDFK RIHQHP\ IRUPDWLRQVDQG WDUJHW +37V ZLWK
RUJDQLFVXSSRUWLQJDQG MRLQWV\VWHPVDVIDUIURPIULHQGO\IRUFHVDVSRVVLEOH$LUDQG JU RXQGEDVHGILUHV
(: VSDFH F\EHUVSDFHPLOLWDU\ GHFHSWLRQ 0,/'(&  DQG RWKHULQIRUPDWLRQUHODWHGFDSDELOLWLHVWHUUDLQ
VKDSLQJ DFWLYLWLHVDQG 62) FDQ DOO FRQWULEXWHWR FRUSVDQG GLYLVLRQ GHHS RSHUDWLRQV&RPPDQGHUVPD\
HPSOR\VXERUGLQDWHPDQHXYHU XQLWVWRFRQGXFWGHHSDLURUJURXQG PDQHXYHU RSHUDWLRQVZKHQ WKHGHVLUHG
HIIHFWVRXWZHLJKWKHLQKHUHQWULVNV
 'HHSRSHUDWLRQVGLVUXSW WKHHQHP\¶V PRYHPHQW LQ GHSWK GHVWUR\+37V DQG GLVUXSWHQHP\ & DW
FULWLFDOWLPHV 7KH\ FDQ GHQ\ WKH HQHP\ WKH LQLWLDWLYH HDUO\ DQG OLPLW HQHP\ FRPPDQGHU RSWLRQV,W LV
LPSRUWDQWWR FOHDUO\GHOLQHDWHFRUSVDQG GLYLVLRQ UHVSRQVLELOLWLHV DQGIRFXVLQ WHUPVRI WLPH VSDFH DQG
GRPDLQV)DLOXUHWRGRVROHDGVWRLQHIILFLHQWDSSOLFDWLRQRIIULHQGO\FDSDELOLWLHV&RPPDQGHUVXVHFRQWURO
PHDVXUHV VXFK DV ERXQGDULHV )6&0V DQG DLUVSDFH FRRUGLQDWLQJPHDVXUHV WR DVVLJQ GHHS RSHUDWLRQV
UHVSRQVLELOLWLHVWRWKHDSSURSULDWHHFKHORQV
 $Q LPSRUWDQWSHUPLVVLYH)6&0 LVWKHNLOOER[ .LOOER[HVDOORZOHWKDODWWDFNDJDLQVWVXUIDFHWDUJHWV
ZLWKRXW IXUWKHUFRRUGLQDWLRQZLWK WKH HVWDEOLVKLQJFRPPDQGHU DQG ZLWKRXW WKH UHTXLUHPHQWIRUWHUPLQDO
DWWDFN FRQWURO$ NLOO ER[LV D WKUHHGLPHQVLRQDOSHUPLVVLYHILUH VXSSRUW FRRUGLQDWLRQPHDVXUH ZLWK DQ
DVVRFLDWHGDLUVSDFHFRRUGLQDWLQJPHDVXUHXVHGWRIDFLOLWDWHWKHLQWHJUDWLRQRIILUHV -3 .LOOER[HVDUH
GHVLJQDWHGDVEOXHRUSXUSOH 6HHILJXUHRQSDJH  7KHSXUSRVHRID EOXHNLOOER[LVWRIDFLOLWDWH
WKHDWWDFNRIVXUIDFHWDUJHWVZLWKDLUWRVXUIDFHPXQLWLRQV7KHSXUSRVHRIDSXUSOHNLOOER[LVWRIDFLOLWDWHWKH
DWWDFNRIVXUIDFHWDUJHWVZLWKVXUIDFHWRVXUIDFHDQGDLUWRVXUIDFHPXQLWLRQV6XUIDFHWRVXUIDFHGLUHFWILUHV
DUHQRWUHVWULFWHGE\WKHHVWDEOLVKPHQWRIHLWKHUW\SHRINLOOER[ $73 GLVFXVVHVEOXHDQGSXUSOHNLOO

6 December 2017 FM 3-0, C1 6-23


Chapter 6

ER[HV)LJXUHGRHVQRWVKRZWKHVWULNHFRRUGLQDWLRQDQGUHFRQQDLVVDQFHRUWKHNLOOER[FRRUGLQDWRU7KH
XVHRIDNLOOER[UHTXLUHVWKHGHVLJQDWLRQRIDVWULNHFRRUGLQDWLRQDQGUHFRQQDLVVDQFHRUDNLOOER[FRRUGLQDWRU
 7KH FRUSVFRPPDQGHU GHWHUPLQHVWKRVHFDSDELOLWLHV DQG DXWKRULWLHVDOORFDWHG WR WKH GLYLVLRQV WR
FRQGXFWGHHSRSHUDWLRQVZKLOHUHWDLQLQJRWKHUVXQGHUFRUSVFRQWURO5HWDLQLQJFDSDELOLWLHVDWFRUSVOHYHOWKDW
FDQQRW EH HIIHFWLYHO\ HPSOR\HG EH\RQG WKH GLYLVLRQ GHHS DUHD PD\ QRW XVH UHVRXUFHVWR EHVW HI IHFW
&RQYHUVHO\ SXVKLQJ FDSDELOLWLHVGRZQ WR GLYLVLRQV RU EULJDGHV WKDW ODFN WKH FDSDFLW\ WR HPSOR\ WKHP
HIIHFWLYHO\ZDVWHVVFDUFHUHVRXUFHV7KHDOORFDWLRQRIUHVRXUFHVWRWKHPRVWHIIHFWLYHHFKHORQLVLQIRUPHGE\
PDQ\IDFWRUVLQFOXGLQJWKHVFKHPHRIILUHV
 &RUSVDQGGLYLVLRQFRPPDQGHUDUHDVRILQWHUHVWDQGLQIOXHQFHH[WHQGIDUHQRXJKIRUZDUGRIWKH)/27
WRJLYHWKHPWLPHWRUHDFWWRDSSURDFKLQJHQHP\IRUFHVDVVHVVRSWLRQVDQGH[HFXWHRSHUDWLRQVDFFRUGLQJO\
&RUSV DQG GLYLVLRQ GHHS RSHUDWLRQV EHJLQ LQ WKH F\EHUVSDFH DQG VSDFH GRPDLQV DQG WKH LQIRUPDWLRQ
HQYLURQPHQWORQJEHIRUHWKHHQHP\SK\VLFDOO\FORVHVZLWKIULHQGO\IRUFHV7KH\DUHRQJRLQJDQGFRQWLQXRXV
&RPPDQGHUVHPSOR\DLUFDSDELOLWLHVERWKMRLQWDQG$UP\ WRDFKLHYHD SRVLWLRQRIUHODWLYHDGYDQWDJH IRU
VXERUGLQDWHHFKHORQVDVWKHEDWWOHGHYHORSVLQWKHIRUZDUGVHFXULW\DUHDDQGWKH0%$
 7KH ILUHVXSSRUWFRRUGLQDWRUVXSSRUWLQJ 8QLWHG6WDWHV $LU )RUFH 86$)  HOHPHQWV* DQG *
FRRUGLQDWHWRHQVXUHWKDWGHHSRSHUDWLRQVVXSSRUWWKHFRUSVRUGLYLVLRQFRPPDQGHU¶VGHIHQVLYHFRQFHSWDQG
VXFFHVVIXOO\VXSSRUW WKHRYHUDOO GHIHQVH'HHS RSHUDWLRQVWKDW PDVV HIIHFWV DJDLQVWHQHP\ IRUFHVDFURVV
PXOWLSOHGRPDLQV DUHWKHEHVWPHDQV RIJDLQLQJ DQG PDLQWDLQLQJ WKHLQLWLDWLYHGXULQJ WKH SHUIRUPDQFHRI
GHIHQVLYHWDVNV'HHSRSHUDWLRQVEHJXQGXULQJWKHSUHSDUDWLRQSKDVHFRQWLQXHGXULQJWKHH[HFXWLRQSKDVHRI
WKHGHIHQVH 6HH$73IRUDGGLWLRQDOLQIRUPDWLRQRQGHHSRSHUDWLRQV 

+Figure 6-15. A blue kill box

6-24 FM 3-0, C1 6 December 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

35(3$5,1*)256867$,10(17,17+( '()(16(
7KHRUJDQL]DWLRQRIVXSSO\DQGHYDFXDWLRQLVFRQWUROOHGE\WKHFRQVLGHUDWLRQWKDWLWPXVW
EHFDSDEOHRIDGDSWLQJLWVHOIWRWKHFRQVWDQW DQGRIWHQUDSLGO\FKDQJLQJ FRQGLWLRQVRI
PLOLWDU\ RSHUDWLRQV )OH[LELOLW\ HODVWLFLW\ PRELOLW\ DQG VLPSOLFLW\ DUH WKHUHIRU H WKH
FDUGLQDOSULQFLSOHVRIWKHV\VWHPRIVXSSO\DQGHYDFXDWLRQ
Field Service Regulations United States Army

 6XERUGLQDWH EULJDGHV SUHSDULQJ WKHLUGHIHQVHUHTXLUHVLJQLILFDQWTXDQWLWLHV RI EDUULHUPDWHULDO DQG


DPPXQLWLRQ 7KH DVVLVWDQWFKLHIRIVWDIIORJLVWLFV * HQVXUHVWKDW WKH VXSSRUWLQJ VXVWDLQPHQWEULJDGH
SURYLGHVPDWHULHOLQWLPHVDQGORFDWLRQVWKDWH[SHGLWHGHIHQVLYHSUHSDUDWLRQV&RQVXPSWLRQRI&ODVV,9DQG
9 VXSSOLHVLQ WKH GHIHQVHLV W\SLFDOO\ KLJKHU WKDQ LQ WKH RIIHQVH7KH GLYLVLRQ RU %&7 FRQVWLWXWLQJWKH
FRPPDQG¶VIRUZDUGVHFXULW\IRUFHRUVWULNLQJIRUFHUHTXLUHD JUHDWHUDPRXQWRI&ODVV,,,DQG PDLQWHQDQFH
VXSSRUWWKDQWKHLU0%$FRXQWHUSDUWV,QERWKFDVHVWKHPRUHGLVWDQFHWKHIRUZDUGVHFXULW\IRUFHDQGVWULNLQJ
IRUFHPXVWFRYHUWRDFFRPSOLVKWKHLUPLVVLRQVWKHJUHDWHUVXVWDLQPHQWWKH\UHTXLUH:KHQWKHVHWZRIRUFHV
DUHORFDWHGDWDVLJQLILFDQWGLVWDQFHIURPWKHVXSSRUWDUHDHVWDEOLVKLQJDIRUZDUGORJLVWLFVDUHDWRVXSSRUWWKH
SODQQHG HPSOR\PHQWRIWKHVHWZRIRUFHVPD\ EHQHFHVVDU\7KH SUHSDUDWLRQSKDVHLVDOVRD JRRGWLPHWR
SURYLGHXQLWUHSODFHPHQWV
 $UP\ DYLDWLRQ XQLWV IURPWKH &$% FRQGXFWDLU PRYHPHQW RI SHUVRQQHOOHDGHUVFULWLFDOVXSSOLHV
HTXLSPHQWDQG V\VWHPVGXULQJ WKHGHIHQVH$LUPRYHPHQWRSHUDWLRQVFDQVXSSRUWD YDULHW\RIRSHUDWLRQV
LQFOXGLQJ WKHHPHUJHQF\UHVXSSO\RIFRPEDWXQLWV $YLDWLRQ XQLWVFDQ PRYH EDUULHUPDWHULDOVPXQLWLRQV
IXHODQG SHUVRQQHO7KLVFDQUHGXFHULVNWRJURXQGORJLVWLFVXQLWVZKLOHVXVWDLQLQJWKHWHPSRRIRSHUDWLRQV
DQGH[WHQGLQJWKHWDFWLFDOUHDFKRIWKHFRPELQHGDUPVWHDP
 0HGLFDO HYDFXDWLRQ IURP WKH IRUZDUG VHFXULW\RU VWULNLQJ IRUFHDUHD SRVHV VLJQLILFDQWFKDOOHQJHV
EHFDXVHRIGLVWDQFHOLPLWHGVLWXDWLRQDODZDUHQHVVDQG UDSLGFKDQJHVLQWKHWDFWLFDOVLWXDWLRQ7KHVHIRUFHV
PD\ EHFRQGXFWLQJQRQFRQWLJXRXVFRPEDWRSHUDWLRQVDQGWKHUHLVDKLJK SUREDELOLW\WKDWPRYHPHQWURXWHV
PD\ EH WHPSRUDULO\LQWHUGLFWHG 7KLV PDNHV LW LPSHUDWLYH WKDW WKH FRPPRQ RSHUDWLRQDO SLFWXUH  &23 
DYDLODEOH WRJURXQG DQG DLU DPEXODQFHV LV DFFXUDWHDQG XSGDWHG DV IUHTXHQWO\DV SRVVLEOH7KH FRUSVRU
GLYLVLRQVXUJHRQGHYHORSVWKHXQLW¶VRYHUDOOPHGLFDOHYDFXDWLRQSODQZRUNLQJFORVHO\ZLWKVXSSRUWLQJDHULDO
PHGLFDOHYDFXDWLRQ XQLW DQG VXSSRUWLQJ PHGLFDOXQLWV7KH XQLW¶V PHGLFDOHYDFXDWLRQ SODQV UHIOHFWWKUHDW
DUWLOOHU\DQGDLUGHIHQVHFDSDELOLWLHV
 (QJLQHHUXQLWVWDVNRUJDQL]HGWR0(%VRUIXQFWLRQDOHQJLQHHUEULJDGHVLQLWLDWHDQ\ UHTXLUHGJHQHUDO
HQJLQHHULQJWDVNVLQVXSSRUWDUHDVGXULQJGHIHQVLYHSUHSDUDWLRQV7KHVHWDVNVLQFOXGHHVWDEOLVKLQJWHPSRUDU\
VLWHVGHVLJQHGWRKROGGLVSODFHGDQGGHWDLQHGSHUVRQV
 'XULQJ WKH SUHSDUDWLRQ SKDVH WKH FRUSV KHDGTXDUWHUV FRRUGLQDWHVZLWK WKH WKHDWHU VXVWDLQPHQW
FRPPDQG H[SHGLWLRQDU\VXVWDLQPHQWFRPPDQG (6& KHDGTXDUWHUVDQG RWKHUVXVWDLQPHQWDVVHWVRXWVLGH
WKH0%$WRSURWHFWWKHPDJDLQVWHQHP\XQFRQYHQWLRQDOIRUFHVDQGILUHV
 'LYLVLRQVFRRUGLQDWHWKHSRVLWLRQLQJRIWKHLUVXSSRUWLQJVXVWDLQPHQWEULJDGH FRPEDWVXVWDLQPHQW
VXSSRUW EDWWDOLRQV &66%V  DQG DQ\ VXSSRUWLQJ IXQFWLRQDO VXVWDLQPHQW EDWWDOLRQ HOHPHQWVLQ D VLPLODU
PDQQHU6XVWDLQPHQWEULJDGHV&66%VDQG IXQFWLRQDOXQLWVSURYLGLQJJHQHUDOVXSSRUWRUDUHDVXSSRUWWRWKH
GLYLVLRQFRRUGLQDWHWKHLUSRVLWLRQLQJZKHUHWKH\FDQEHVWSURYLGHVXSSRUW7KLVPD\EHZLWKLQ WKHGLYLVLRQ
VXSSRUWDUHDRUZLWKLQWKHGLYLVLRQ0%$

35(3$5,1*)253527(&7,21 ,17+( '()(16(


 7KH GHIHQGLQJ IRUFH¶V %&7V RFFXS\ WKHLU UHVSHFWLYH $2V DV VRRQ DV SRVVLEOH WR PD[LPL]H
SUHSDUDWLRQ WLPH IRU GHIHQVLYH SRVLWLRQV DQG REVWDFOHV 7KLV LQFOXGHV WKH FRQVWUXFWLRQRI ILJKWLQJ DQG
VXUYLYDELOLW\SRVLWLRQV7KRVHSURWHFWLYHDFWLYLWLHVDUHRXWOLQHGLQ)0
 6HFXULW\DFWLYLWLHVGXULQJWKHSUHSDUDWRU\SKDVHDUHVLPLODUWRWKRVHGLVFXVVHGLQ $'537KH
SURWHFWLRQFHOOFRRUGLQDWHVZLWKWKH0(%DVLWRUJDQL]HVWKHVXSSRUWDUHDSUHSDUHVXQLWVORFDWHGZLWKLQ WKH
VXSSRUW DUHD WRGHIHQG WKHPVHOYHV DQG SURYLGHV URXWHDQG FRPPXQLFDWLRQVVHFXULW\ %&7V DQG VXSSRUW
EULJDGHVFRQGXFWORFDOVHFXULW\DFWLYLWLHVLQWKHLUGHIHQVLYHSRVLWLRQVDVVHPEO\DUHDVDQGDWWDFNSRVLWLRQV

6 December 2017 FM 3-0, C1 6-25


Chapter 6

6-104. MP units from the MEB or a functional MP brigade enhance force protection capabilities by
conducting reconnaissance within support areas. They perform response-force operations to defeat Level II
threats against bases and base clusters, and maintain contact with Level III threats until the TCF can respond.
6-105. Explosive ordnance disposal (EOD) units may be in a direct support or general support relationship
to the MEB. Maneuver units may breach obstacles, but only EOD units have the capability to reduce
minefields and render improvised explosive devices and explosive ordnance safe.
6-106. All units have an inherent responsibility to improve the survivability of their own fighting positions,
bases, or base camps. This includes preparation for operations in a CBRN environment, which requires
planning for immediate or operational decontamination. Survivability operations enhance the ability to avoid
or withstand hostile actions by altering the physical environment. They accomplish this through four tasks:
constructing fighting positions, constructing protective positions, hardening facilities, and employing
camouflage and concealment. The first three tasks focus on providing cover while the fourth task focuses on
providing concealment from observation and surveillance.
6-107. CBRN personnel contribute to unit protection by performing vulnerability assessments. These
assessments provide a list of recommended activities actions ranging from CBRN protection to
contamination mitigation for commanders to consider.
6-108. All units employ a mix of passive and active AMD measures to protect defensive preparations from
enemy aerial observation and attack. Most enemy forces can employ UASs, even if they lack capable fixed-
or rotary-wing forces. The protection cell in coordination with the fires cell refines division plans to take
advantage of available AMD coverage. When preparing to conduct an area defense, commanders take
advantage of the AMD air defense umbrella to the maximum extent possible by placing critical nodes and
activities within that coverage. When preparing to conduct a mobile defense, the movement of the striking
force complicates coverage by AMD assets. Commanders prioritize between protecting both the fixing force
and the striking force when submitting the defended asset list through the chain of command to the area air
defense commander (AADC.)

DEFENSIVE TASKS
[T]he best protection against the enemy's fire is a well-directed fire from our own guns.
Flag Officer David G. Farragut

6-109. There are three basic defensive tasks—area defense, mobile defense, and retrograde. These apply to
both the tactical and operational levels of war, although the mobile defense is more often associated with the
operational level. The three tasks are significantly different concepts and pose significantly different
challenges in planning and execution. Although the names of these defensive tasks convey the overall aim of
a selected defense, each typically contains static and mobile elements.
6-110. All three basic defensive tasks use terrain, depth, and mutual supporting fires as force multipliers.
Proper use of terrain provides economy of force and helps to mass the effects of combat power at decisive
points. Terrain influences the tempo of enemy attacks and provides the defender with cover and concealment.
The depth of an AO provides commanders with operational flexibility, allows subordinate units to disperse
and maneuver, and reduces risk. Ideally, committed divisions and BCTs should have enough depth to provide
security through the employment of either a covering or a guard force. Mutual support results from the
defending commander’s integration of the fires and movement between subordinate units. This mutual
support allows commanders to focus effects across multiple domains at decisive points to defeat attacking
enemy forces.
6-111. Normally a successful defensive battle culminates in the MBA through the orchestrated application
of combat power that defeats the attacking enemy force. +While current combat operations unfold in the
MBA, the staffs focus on shaping operations that set the conditions necessary for conduct of the decisive
operations in the next phase of the operation. The focus of MBA units is on conducting operations according
to the commander’s intent within the current phase of the campaign or major operation.

6-26 FM 3-0, C1 6 December 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

 &RUSVDQGGLYLVLRQFRPPDQGHUVFRPELQHDUHDDQGPRELOHGHIHQVHWDVNVEDVHGXSRQDYDLODELOLW\RI
DVVHWVWHUUDLQWKHLUKLJKHUHFKHORQFRPPDQGHU¶VFRQFHSWRIRSHUDWLRQVDQGHQHP\FDSDELOLWLHV&RUSVDQG
GLYLVLRQV PD\ DOVR FRQGXFW UHWURJUDGH RSHUDWLRQV %RWK WKH DUHD DQG PRELOH GHIHQVHV FRQWDLQ VWDWLF DQG
G\QDPLFHOHPHQWV7KHG\QDPLFHOHPHQWVLQYROYHWKHPDQHXYHURIFRPEDWIRUFHVDQGWKHPRYHPHQWRIWKHLU
VXSSRUWLQJ FRPEDW PXOWLSOLHUV 8VLQJ RQO\ SXUHO\ VWDWLF GHIHQVLYH HOHPHQWV SXWV IULHQGO\ IRUFHV DW JUHDW
GLVDGYDQWDJHZKHQHQHP\ILUHVXSSRUWV\VWHPVRXWUDQJHWKRVHDYDLODEOHWRWKHGHIHQGHURUZKHQWKHHQHP\
KDVPDQ\PRUHVXFKV\VWHPVDYDLODEOH
 &RUSVDQGGLYLVLRQFRPPDQGHUVRUJDQL]HWKHLUVXERUGLQDWHXQLWVDQGDVVLJQWKHPWRWKHLUUHVSHFWLYH
$2V EDVHG RQ WKHLU FRQFHSW RI RSHUDWLRQV IRU GHIHDWLQJ WKH DWWDFNLQJ HQHP\¶V PDLQ HIIRUW &RPPDQGHUV
DFFHSW ULVN WR PDVV FRPEDW SRZHU LQ GHSWK DORQJ DQ HQHP\¶V PDLQ D[LV RI DGYDQFH &RUSV DQG GLYLVLRQ
KHDGTXDUWHUVUHLQIRUFHWKHVXERUGLQDWHXQLWRUXQLWVFRQGXFWLQJWKHLUGHFLVLYHRSHUDWLRQRUPDLQHIIRUWZLWK
DGGLWLRQDOILUHVLQIRUPDWLRQFROOHFWLRQHQJLQHHUDWWDFNUHFRQQDLVVDQFHDYLDWLRQDQG$0'VXSSRUW
 &RUSV DQG GLYLVLRQ FRPPDQGHUV RUJDQL]H WKHLU GHIHQVH LQ GHSWK 7KH\ DOORZ WKHLU VXERUGLQDWH
GLYLVLRQVRU%&7VPDQHXYHUURRPWRFRQGXFWWKHLURZQGHIHQVH7KHDUHDVHOHFWHGE\WKHFRUSVRUGLYLVLRQ
FRPPDQGHUIRUGHIHQVHEHFRPHVWKDWHFKHORQ¶V0%$
 &RUSVDQGGLYLVLRQFRPPDQGHUVVKDSHWKHLUGHIHQVLYHEDWWOHVWKURXJKLQIRUPDWLRQFROOHFWLRQMRLQW
ILUHV DQG F\EHUVSDFH HOHFWURPDJQHWLF DFWLYLWLHV &(0$  EHIRUH DQ HQHP\ UHDFKHV WKH 0%$ 'HIHQVLYH
F\EHUVSDFH RSHUDWLRQV '&2  DUH WKUHDWVSHFLILF DQG PLVVLRQ SULRULWL]HG WR UHWDLQ WKH DELOLW\ WR XVH WKH
'HSDUWPHQWRI'HIHQVH,QIRUPDWLRQ1HWZRUN '2',1 &RUSVDQGGLYLVLRQKHDGTXDUWHUVIRFXVRQGLVUXSWLQJ
DWWDFNLQJHQHP\IRUFHVEHIRUHWKH\HQFRXQWHUWKH0%$DQGEUHDNLQJXSWKHLQWHJULW\RIWKHLUDWWDFN&RUSV
FRPPDQGHUVSD\SDUWLFXODUDWWHQWLRQWRGLVUXSWLQJDQHQHP\¶V&HOHPHQWVWKURXJKWKHHPSOR\PHQWRIOHWKDO
DQG QRQOHWKDO HIIHFWV ZLWK WKH LQWHQW RI PDNLQJ HQHP\ IRUFHV PRUH YXOQHUDEOH WR FRUSV DQG GLYLVLRQ
FRXQWHUDWWDFNVDQGVSRLOLQJDWWDFNV
 $JJUHVVLYHDFWLRQE\$UP\IRUFHVLQWKHODQGDLUPDULWLPHVSDFHDQGF\EHUVSDFHGRPDLQVDQGWKH
LQIRUPDWLRQHQYLURQPHQWDUHQHFHVVDU\IRUWKHVXFFHVVIXOSHUIRUPDQFHRIGHIHQVLYHWDVNV$UP\IRUFHVDWWDFN
WKHHQHP\¶VLQWHJUDWHGDLUGHIHQVHV\VWHP ,$'6 ZLWKDUWLOOHU\FDQQRQDQGURFNHWV\VWHPV$UP\IRUFHV
GHVWUR\HQHP\WDUJHWDFTXLVLWLRQDQGDLUGHIHQVHILUHFRQWUROQRGHVLGHQWLILHGE\$UP\DQGMRLQWLQIRUPDWLRQ
FROOHFWLRQ HIIRUWV $UP\ PDQHXYHU IRUFHV GHVWUR\ HQHP\ ,$'6V ZKHUHYHU WKH\ DUH HQFRXQWHUHG 7KHVH
DWWDFNVRSHQZLQGRZVRIYXOQHUDELOLW\IRU$UP\DQGMRLQWDLUFUDIWWRDWWDFNRWKHUFRPSRQHQWVRIWKHHQHP\
,$'6 DQG HQHP\ PDQHXYHU XQLWV 7KH FRUSV FRRUGLQDWHV IRU (: VSDFH DQG F\EHUVSDFH FDSDELOLWLHV WR
GHJUDGHHQHP\,$'6WDUJHWDFTXLVLWLRQDQG&FDSDELOLWLHV7KHVHDWWDFNVV\VWHPDWLFDOO\FDXVHWKHFROODSVH
RI WKH HQHP\ ,$'6 RYHU WLPH 6XFFHVV DJDLQVW WKH HQHP\ ,$'6V DOORZV WKH -7) FRPPDQGHU WR DOORFDWH
DGGLWLRQDO&$6DQGDLULQWHUGLFWLRQVRUWLHVWRGHVWUR\HQHP\ORQJUDQJHILUHVV\VWHPVDQGPDQHXYHUV\VWHPV
EH\RQGWKH)/27'LYLVLRQVDQGFRUSVDOVRHPSOR\$UP\DYLDWLRQDWWDFNUHFRQQDLVVDQFHXQLWVXVLQJWHUUDLQ
PDVNLQJDQGVXSSRUWHGE\VXSSUHVVLRQRIHQHP\DLUGHIHQVHVWRGHIHDWHQHP\,$'6DQGPDQHXYHUIRUFHV
$UP\DYLDWLRQDWWDFNDQGUHFRQQDLVVDQFHXQLWVFDQEHKLJKO\HIIHFWLYHLQWKHGHIHQVHZKHQPDVVHGDWWKH
GHFLVLYH SRLQW RU DV D FRXQWHUSHQHWUDWLRQ IRUFH $UP\ DYLDWLRQ DVVDXOW XQLWV FDQ HIIHFWLYHO\ UHSRVLWLRQ
DQWLDUPRU WHDPV WR DGG JUHDWHU GHSWK DQG DJLOLW\ WR WKH GHIHQVH RU DV D WDFWLFDO FRPEDW IRUFH WR FRXQWHU
SHQHWUDWLRQVRIWKH0%$
 'XULQJWKHSHUIRUPDQFHRIGHIHQVLYHWDVNVWKHUHPD\EHHQHP\SHQHWUDWLRQVRIDFRUSVRUGLYLVLRQ
0%$LQWRWKHVXSSRUWDUHD'HIHQGLQJXQLWVPDLQWDLQFRQWDFWZLWKSHQHWUDWLQJHQHP\IRUFHVWRGHOD\WKHP
ZKLOHGHWHUPLQLQJWKHLUVL]HFRPSRVLWLRQGLUHFWLRQRIDWWDFNSUREDEOHREMHFWLYHDQGUDWHRIPRYHPHQW7KH
IRUFHLQFRQWDFWUHSRUWVWKLVLQIRUPDWLRQWRWKHKLJKHUHFKHORQKHDGTXDUWHUVDVUDSLGO\DVSRVVLEOH
 $GHIHQGLQJFRPPDQGHU WDNHVLPPHGLDWHDFWLRQWREORFN IXUWKHUHQHP\ DGYDQFHV LQGHSWKRUWR
EORFNH[SDQVLRQRIDQHQHP\SHQHWUDWLRQ7KLVPD\UHTXLUHFKDQJLQJWDVNRUJDQL]DWLRQDGMXVWLQJVXERUGLQDWH
XQLWERXQGDULHVDQGWDVNVH[HFXWLQJVLWXDWLRQDORUUHVHUYHREVWDFOHVVKLIWLQJSULRULW\RIILUHVDQGDVVXPLQJ
ULVN
 'HIHQGLQJ PDQHXYHU DQG RWKHU XQLWV PD\ QHHG WR PRYH DZD\ IURP D SHQHWUDWLRQ EDVHG RQ WKH
GLUHFWLRQRIDQHQHP\DWWDFN&RPPDQGHUVFRQWUROWKHVH PRYHPHQWVWRHQVXUH WKH\GRQRWLQWHUIHUH ZLWK
FRXQWHUDWWDFN SODQV RU WKH PDQHXYHU RI VXERUGLQDWH PDQHXYHU IRUFHV $ GHIHQGLQJ FRPPDQGHU EDODQFHV
PRYLQJVXVWDLQPHQWDFWLYLWLHVDQGVXSSO\SRLQWVDZD\IURPWKHDUHDRIHQHP\SHQHWUDWLRQDQGWKHSRVVLEOH

6 October 2017 FM 3-0 6-27


Chapter 6

WHPSRUDU\ORVVRIVXSSRUWIURPWKRVHORFDWLRQVZLWKWKHSUREDELOLW\RIORVLQJVXVWDLQPHQWXQLWVDQGVXSSO\
VWRFNVSHUPDQHQWO\LIHQHP\IRUFHVRYHUUXQIULHQGO\SRVLWLRQV
 %DVHG RQ WKH VL]H FRPSRVLWLRQ DQG GLUHFWLRQ RI WKH HQHP\ DWWDFN FRPPDQGHUV VHOHFW WKH EHVW
ORFDWLRQWRGHIHDWRUGHVWUR\WKHSHQHWUDWLRQ7KHUHVHUYHPD\FRXQWHUDWWDFNLQWRWKHHQHP\IODQNRULWPD\
HVWDEOLVKDGHIHQVLYHSRVLWLRQLQGHSWKWRGHIHDWRUEORFNIXUWKHUHQHP\DGYDQFHV7KHFRUSVDQGGLYLVLRQ
VWDIIVHVWDEOLVKFRQWUROPHDVXUHVIRUFRXQWHUDWWDFNVE\WKHUHVHUYHGHYHORSDVXSSRUWLQJVFKHPHRIILUHVDQG
FRQVLGHUUHTXLUHGDGMXVWPHQWVWR)6&0VXFKDVWDUJHWUHIHUHQFHSRLQWVDQG7$,V7KH\DOVRGHFLGHRQWKH
HPSOR\PHQWRIREVWDFOHVWRVXSSRUWWKHFRXQWHUDWWDFN7UDIILFFRQWUROLVHVSHFLDOO\FULWLFDO6XIILFLHQWURXWHV
PXVWEHGHVLJQDWHGDQGNHSWFOHDUIRUXVHE\WKHUHVHUYHDVLWPDQHXYHUV

$5($'()(16(
 7KHDUHDGHIHQVHLVDGHIHQVLYHWDVNWKDWFRQFHQWUDWHVRQGHQ\LQJHQHP\IRUFHVDFFHVVWRGHVLJQDWHG
WHUUDLQ IRU D VSHFLILF WLPH UDWKHU WKDQ GHVWUR\LQJ WKH HQHP\ RXWULJKW $'53   7KH IRFXV RI DQ DUHD
GHIHQVHLVRQUHWDLQLQJWHUUDLQZKHUHWKHEXONRIDGHIHQGLQJIRUFHSRVLWLRQVLWVHOILQPXWXDOO\VXSSRUWLQJ
SUHSDUHG SRVLWLRQV 8QLWV PDLQWDLQ WKHLU SRVLWLRQV DQG FRQWURO WKH WHUUDLQ EHWZHHQ WKHVH SRVLWLRQV 7KH
GHFLVLYHRSHUDWLRQIRFXVHVRQILUHVLQWR($VSRVVLEO\VXSSOHPHQWHGE\DFRXQWHUDWWDFN7KHUHVHUYHPD\RU
PD\QRWWDNHSDUWLQWKHGHFLVLYHRSHUDWLRQ&RPPDQGHUVFDQXVHWKHLUUHVHUYHWRUHLQIRUFHILUHVDGGGHSWK
EORFNUHVWRUHDSRVLWLRQE\FRXQWHUDWWDFNVHL]HWKHLQLWLDWLYHDQGGHVWUR\HQHP\IRUFHV8QLWVDWDOOHFKHORQV
FDQ FRQGXFW DQ DUHD GHIHQVH 6HH )0  IRU D GLVFXVVLRQ RI WKH DGYDQWDJHV DQG GLVDGYDQWDJHV RI D
GHIHQVHLQGHSWKDQGDIRUZDUGGHIHQVHGXULQJWKHFRQGXFWRIDQDUHDGHIHQVH 
 'HIHQGLQJFRPPDQGHUVLQDQDUHDGHIHQVHGHQ\WKHHQHP\GHVLJQDWHGWHUUDLQIRUDVSHFLILHGWLPH
7KHFRUSVRUGLYLVLRQFRPPDQGHUDOORFDWHVVXIILFLHQWFRPEDWSRZHUDJDLQVWHQHP\DYHQXHVRIDSSURDFKWR
DFKLHYHDUHDVRQDEOHFKDQFHRIVXFFHVVHYHQZLWKRXWWKHFRPPLWPHQWRIWKHUHVHUYH&RPPDQGHUVDVVXPH
ULVNLQOHVVWKUHDWHQHGDUHDVE\DOORFDWLQJOHVVIRUFHLQWKHVHDUHDV0DQHXYHUZLWKLQDQDUHDGHIHQVHXVXDOO\
FRQVLVWVRIUHSRVLWLRQLQJEHWZHHQEDWWOHSRVLWLRQVDQGORFDOFRXQWHUDWWDFNV
 &RPPDQGHUVEXLOGWKHGHFLVLYHRSHUDWLRQDURXQGLGHQWLILHGGHFLVLYHSRLQWVVXFKDVNH\WHUUDLQDQG
HQHP\+37V7KHFRPPDQGHU¶VGHFLVLYHRSHUDWLRQLQDQDUHDGHIHQVHIRFXVHVRQUHWDLQLQJWHUUDLQE\XVLQJ
ILUHV IURP PXWXDOO\ VXSSRUWLQJ SUHSDUHG SRVLWLRQV VXSSOHPHQWHG E\ RQH RU PRUH FRXQWHUDWWDFNV DQG WKH
UHSRVLWLRQLQJRIIRUFHVIURPRQHORFDWLRQWRDQRWKHU7KHFRPPDQGHU¶VGHFLVLYHRSHUDWLRQQRUPDOO\LQYROYHV
FORVHFRPEDWVLQFHDQDUHDGHIHQVHHPSKDVL]HVWHUUDLQUHWHQWLRQ
 8OWLPDWHO\WKHPLVVLRQRI%&7VORFDWHGZLWKLQWKH0%$LVWRGHIHDWWKHHQHP\DWWDFNRUWRGHVWUR\
WKHDWWDFNLQJHQHP\IRUFH7KHVH%&7VSHUIRUPPDQ\GLIIHUHQWWDVNV²GHIHQGLQJGHOD\LQJDWWDFNLQJRU
SHUIRUPLQJLQDQHFRQRP\RIIRUFHUROH²WRDFFRPSOLVKWKLV PLVVLRQ%&7VSODQWRFRQGXFWIRUZDUGDQG
UHDUZDUGSDVVDJHVRI OLQHV7KH\ QRUPDOO\SODQWRDYRLGEHLQJE\SDVVHGE\HQHP\ IRUFHVGXULQJFRPEDW
RSHUDWLRQVXQOHVVLWILWVZLWKLQWKHFRUSVRUGLYLVLRQFRPPDQGHU¶VLQWHQW

&RQWLJXRXV)UDPHZRUN
 7KHSUHVHQFHRIDVLJQLILFDQWOLQHDUREVWDFOHDORQJWKH)(%$VXFKDVDULYHUIDYRUVWKHXVHRID
FRQWLJXRXVRSHUDWLRQDOIUDPHZRUNDQGWKH UHWHQWLRQRIWHUUDLQ)LJXUHLOOXVWUDWHVFRQWLJXRXV $2V$
ULYHURURWKHUQDWXUDOOLQHDUREVWDFOHDGGVWRWKHUHODWLYHFRPEDWSRZHURIWKHGHIHQGHUE\PDNLQJHQHP\
IRUZDUG PRYHPHQW GLIILFXOW 5HVHUYHV DW DOO OHYHOV GHVWUR\ IRUFHV ZKLFK SHQHWUDWH GHIHQVLYH REVWDFOHV RU
HVWDEOLVK EULGJHKHDGV RQ WKH IDU VLGH RI OLQHDU REVWDFOHV (QHP\ IRUFHV DWWHPSWLQJ WR HVWDEOLVK VXFK D
EULGJHKHDGPXVWEHGHVWUR\HGZKLOHWKHEULGJHKHDGLVVPDOOEHIRUHWKH\DUHUHLQIRUFHG,IWKH\DUHQRWWKH\
FDQHQDEOHHQRXJKHQHP\FRPEDWSRZHUWRFURVVDQGUXSWXUHWKHFRKHUHQFHRIWKHGHIHQVH

6-28 FM 3-0 6 October 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

Figure 6-16. Example corps contiguous area defense

 /DUJHHQHP\IRUFHVZLOODWWHPSWWRSHQHWUDWHRQHRUPRUH0%$ORFDWLRQV7KLVLVPRUHOLNHO\WR
RFFXUZKHQWKHHQHP\LVDEOHWRXVHORQJUDQJHILUHVLQFRQMXQFWLRQZLWKDWWDFNDYLDWLRQDQG&$6WRWDUJHW
VHOHFWHGIULHQGO\GHIHQGLQJIRUFHVIRULVRODWLRQDQGGHVWUXFWLRQ(QHP\IRUFHVZLOOHPSOR\ODUJHVFDOH2&2
DQG(06GHQLDORSHUDWLRQVLQVXSSRUWRIWKLVHIIRUW7KH\PD\DOVRHPSOR\QXFOHDURUFKHPLFDOPXQLWLRQV
(QHP\FRPPDQGHUVZLOODWWHPSWWRH[SORLWLQLWLDOVXFFHVVE\ZLGHQLQJWKHJDSRUJDSVFUHDWHGE\WKHLVRODWLRQ
RUGHVWUXFWLRQRIIULHQGO\XQLWVWRSHQHWUDWHLQWRWKHGHSWKRIWKHFRUSVRUGLYLVLRQGHIHQVH&RUSVDQGGLYLVLRQ
FRPPDQGHUVFDQGLUHFW%&7VLQWKH0%$DZD\IURPWKHHQHP\SRLQWVRISHQHWUDWLRQWRFRXQWHUDWWDFNLQWR
WKHIODQNVRIVXFFHVVIXOHQHP\DWWDFNV7KH\FDQDOVRHPSOR\WKHLUUHVHUYHWREORFNSHQHWUDWLRQVRIWKH0%$
DQGSUHYHQWHQHP\IRUFHVIURPH[SORLWLQJLQLWLDOVXFFHVV

1RQFRQWLJXRXV)UDPHZRUN
 &RUSVDQGGLYLVLRQFRPPDQGHUVPD\DOVRVWUXFWXUHDQRQFRQWLJXRXVGHIHQVHZLWKHOHPHQWVGHSOR\HG
LQGHSWKDORQJPDMRUDYHQXHVRIDSSURDFK)LJXUHRQSDJHLOOXVWUDWHVQRQFRQWLJXRXV$2VZLWKWKH
JUHHQDUURZVLOOXVWUDWLQJPRYHPHQWFRUULGRUV)RUZDUGSRUWLRQVRIWKH0%$DUHRFFXSLHGE\WKHPLQLPXP
IRUFHVQHFHVVDU\WRZDUQRILPSHQGLQJDWWDFNFDQDOL]HWKHDWWDFNLQJHQHP\IRUFHVLQWROHVVIDYRUDEOHWHUUDLQ
DQGEORFNRULPSHGHWKHDWWDFNLQJHQHP\IRUFH7KHVHIRUZDUGGHIHQVLYHSRVLWLRQVFRQVLVWRIDPL[WXUHRI
EDWWOHSRVLWLRQVRUJDQL]HGIRUDOODURXQGGHIHQVHVWURQJSRLQWVDQGFRPEDWRXWSRVWV7KHVHSRVLWLRQVPD\RU
PD\QRWEHPXWXDOO\VXSSRUWLQJ,QWKLVFDVHWKHIULHQGO\FRPPDQGHUHQKDQFHVWKHGHIHQVHE\UHWDLQLQJRXW
DODUJHPRELOHUHVHUYHDQGE\FRPPLWWLQJIHZHUHOHPHQWVWRWKHLQLWLDO0%$GHIHQVH&RPPLWWHGHOHPHQWV
LQVXFKDGHIHQVHFRQWDLQLQLWLDOHQHP\SHQHWUDWLRQVDQGWKHQFRXQWHUDWWDFNWRHOLPLQDWHWKRVHSHQHWUDWLRQV

6 October 2017 FM 3-0 6-29


Chapter 6

Figure 6-17. Example corps noncontiguous area defense

2UJDQL]DWLRQRI)RUFHVIRUDQ$UHD'HIHQVH
 &RPPDQGHUV RUJDQL]H D GHIHQGLQJ IRUFH WR DFFRPSOLVK LQIRUPDWLRQ FROOHFWLRQ VHFXULW\ 0%$
UHVHUYHDQGVXVWDLQPHQWIXQFWLRQV&RUSVDQGGLYLVLRQFRPPDQGHUVQRUPDOO\KDYHIHZUHVRXUFHVWRGHYRWH
WRWKHSHUIRUPDQFHRIFRQVROLGDWLRQRIJDLQVWDVNVGXULQJWKHGHIHQVH&RPPDQGHUVPD\GHIHQGIRUZDUGRU
LQGHSWK:KHQDFRPPDQGHUGHIHQGVIRUZDUGWKHGHIHQGLQJIRUFHLVRUJDQL]HGVRWKDWPRVWRIWKHDYDLODEOH
FRPEDWSRZHULVFRPPLWWHGHDUO\LQWKHGHIHQVLYHHIIRUW7RDFFRPSOLVKWKLVDGHIHQGLQJFRPPDQGHUPD\
GHSOR\IRUFHVIRUZDUGDQGSODQFRXQWHUDWWDFNVZHOOIRUZDUGLQWKH0%$RUHYHQEH\RQGWKH0%$:KHQ
GHIHQGLQJLQGHSWKFRPPDQGHUVHPSOR\VHFXULW\IRUFHVDQG0%$HOHPHQWVWRLGHQWLI\GHILQHDQGGHIHDW
WKH HQHP\ PDLQ HIIRUW ZLWKLQ WKH 0%$ ZKLOH XVLQJ WKH PLQLPXP QHFHVVDU\ FRPEDW SRZHU WR GHIHDW
VXSSRUWLQJDWWDFNV7KLVDOORZVFRPPDQGHUVWRFRQVHUYHFRPEDWSRZHUVWUHQJWKHQWKHUHVHUYHDQGEHWWHU
UHVRXUFHWKHFRXQWHUDWWDFN

Information Collection in the Area Defense


 &RPPDQGHUVGLUHFWLQIRUPDWLRQFROOHFWLRQDVVHWVWRFRQWLQXRXVO\GHWHUPLQHWKHORFDWLRQVVWUHQJWKV
DQGSUREDEOHLQWHQWLRQVRIWKHDWWDFNLQJHQHP\IRUFH&RPPDQGHUVVHHNHDUO\LGHQWLILFDWLRQRIWKHHQHP\¶V
PDLQ HIIRUW &RPPDQGHUV PD\ QHHG WR FRPSOHPHQW VXUYHLOODQFH ZLWK RIIHQVLYH DFWLRQ WKDW WHVWV HQHP\
LQWHQWLRQV)LJKWLQJIRULQIRUPDWLRQFDQKDYHWZREHQHILWVLWFDQIRUFHWKHHQHP\WRUHYHDOLQWHQWLRQVDQG
GLVUXSWHQHP\SUHSDUDWLRQV
 ,QDQDUHDGHIHQVHUHFRQQDLVVDQFHDQGVXUYHLOODQFHRSHUDWLRQVRYHUODSWKHGHIHQGLQJXQLW¶VSODQQLQJ
DQGSUHSDULQJSKDVHV/HDGHUVSHUIRUPLQJUHFRQQDLVVDQFHDQGVXUYHLOODQFHWDVNVPXVWXQGHUVWDQGWKDWWKH\
RIWHQGHSOR\EHIRUHWKHFRPPDQGHUIXOO\GHYHORSVWKHSODQ7KHVHOHDGHUVPXVWEHUHVSRQVLYHWRFKDQJHVLQ

6-30 FM 3-0 6 October 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

RULHQWDWLRQDQG PLVVLRQ7KH FRPPDQGHU HQVXUHV WKDW WKH VWDII IXOO\ SODQV SUHSDUHV DQG DVVHVVHVWKH
H[HFXWLRQRIWKHLQWHOOLJHQFHSRUWLRQRIWKHRYHUDOOSODQ

Security Forces in the Area Defense


 'HIHQGLQJFRUSVDQGGLYLVLRQVQHHGWRSHUIRUPIRUZDUGDQGIODQNVHFXULW\WDVNV7KHUHDUHDOVRDUHD
DQG ORFDOVHFXULW\WDVNVWRSHUIRUPLQWKHFRUSVDQG GLYLVLRQVXSSRUWDQG FRQVROLGDWLRQDUHDV$ FRUSVRU
GLYLVLRQFRPPDQGHUPXVWSODQDQGLIWLPHDOORZVUHKHDUVHDUHDUZDUGSDVVDJHRIOLQHVDQGEDWWOHKDQGRYHU
E\IRUZDUGVHFXULW\IRUFHVVXFKDVDFRYHULQJIRUFHWKURXJKXQLWVLQWKH0%$
 &RUSVFRPPDQGHUVHPSOR\VHFXULW\IRUFHVWRWKHLUIURQWDQGIODQNVWRSURYLGHDGGLWLRQDOVHFXULW\IRU
GLYLVLRQVDQG%&7VLQWKH0%$ 7KHVHVHFXULW\IRUFHVSHUIRUPDFRYHUJXDUG RUVFUHHQWDVNGHSHQGLQJRQ
WKHPLVVLRQYDULDEOHV8VXDOO\WKHFRUSVHPSOR\VDGHIHQVLYHFRYHULQJIRUFHLQIURQWRI0%$GLYLVLRQV7KLV
FRYHULQJIRUFHLVD FRPELQHGDUPVIRUFHWDVNRUJDQL]HGWRRSHUDWHIRUZDUGRXWRIVXSSRUWLQJUDQJHRIWKH
FRUSV¶0%$ GLYLVLRQV WKHSURWHFWHGIRUFH 7KHFRUSVFRPPDQGHUDVVLJQVWKHFRYHULQJIRUFHDQ$2ZLWK
HQRXJKGHSWKWRDOORZVXIILFLHQWURRPWRPDQHXYHUDQGWRIRUFHWKHHQHP\WRUHSRVLWLRQLWVDUWLOOHU\DQGDLU
GHIHQVHV\VWHPVSULRUWRDWWDFNLQJLQWRWKH0%$ (QHP\UHSRVLWLRQLQJRIDUWLOOHU\DQG DLUGHIHQVHDUWLOOHU\
$'$  LQGLFDWHVWKHHQHP\PDLQ HIIRUWPDNHVWKRVHV\VWHPVYXOQHUDEOHWRIULHQGO\DWWDFNVLQGHSWKDQG
OLPLWVWKHHIIHFWLYHQHVVRIHQHP\PDVVHGDUWLOOHU\ILUHV
 7KHFRYHULQJIRUFHEDWWOHLQWKHIRUZDUGVHFXULW\IRUFHDUHDLVGLUHFWO\WLHGWRWKHIXWXUHEDWWOHLQWKH
0%$DVSDUWRIWKHRYHUDOOGHIHQVLYHVFKHPHRIPDQHXYHU&RUSVDQGGLYLVLRQFRPPDQGHUVPXVWXQGHUVWDQG
KRZ WKHFRYHULQJIRUFHLQIOXHQFHVRSHUDWLRQVLQWKHFORVHDUHD6HFXULW\IRUFHRSH UDWLRQVQRUPDOO\VXSSRUW
WKHFRPPDQGHU¶VLQWHQWUHJDUGLQJ ZKHUHWRGHIHDWRUGHVWUR\WKHHQHP\)RUH[DPSOH D FRPPDQGHUPD\
GLUHFWWKHFRYHULQJIRUFHWRDYRLGLQIOLFWLQJDWWULWLRQWKDWFDXVHVWKHHQHP\WRFXOPLQDWHIRUZDUGRIWKH0%$
EHFDXVHWKHFRUSVSODQ LVWRGHVWUR\WKHPDMRULW\RIHQHP\IRUFHVZLWKFRXQWHUDWWDFNVLQWKH0%$ WRVHW
FRQGLWLRQVIRUIXWXUHRIIHQVLYHRSHUDWLRQV
 7KHGHIHQVLYHFRYHULQJIRUFH¶VPLVVLRQPD\LQFOXGHVKDSLQJWKHORFDWLRQRIWKHHQHP\¶VSHQHWUDWLRQ
LGHQWLI\LQJWKHHQHP\PDLQHIIRUWDQGDWWULWLQJOHDGHQHP\HFKHORQV6HFXULW\WDVNVDUHVLPLODUIRUERWKWKH
PRELOHDQG DUHDGHIHQVH+RZHYHUWKHFRUSVFRPPDQGHUQRUPDOO\UHWDLQVFRQWURORIWKHFRYHULQJIRUFHWR
HQVXUHXQLW\RIHIIRUWLQVKDSLQJWKHHQHP\SHQHWUDWLRQGXULQJDPRELOHGHIHQVH
 $GLYLVLRQFRPPDQGHUQRUPDOO\DVVLJQVDUHLQIRUFHG%&7WRFRQGXFWDGLYLVLRQFRYHULQJIRUFHEDWWOH
LQWKHDEVHQFHRIDFRUSVFRYHULQJIRUFH$GLYLVLRQFRQWUROOHGFRYHULQJIRUFHDOORZVDGLYLVLRQWRVHL]HWKH
LQLWLDWLYHIURPDQ DWWDFNLQJ HQHP\IRUFH7KH VL]HDQG FRPSRVLWLRQRIWKHFRYHULQJIRUFHGHSHQGVRQ LWV
PLVVLRQWKHHQHP\WKHWHUUDLQDQGIRUFHVDYDLODEOH7KHVHPLVVLRQYDULDEOHVWDNHRQDGGHGVLJQLILFDQFHDQG
FRPSOH[LW\GHSHQGLQJRQWKHHQHP\FRXUVHRIDFWLRQ7KHGHSWKDQGZLGWKRIWKH$2FRPSULVLQJWKHIRUZDUG
VHFXULW\DUHDDQGWKHWLPHUHTXLUHGWRSUHSDUHWKH0%$JUHDWO\LQIOXHQFHFRYHULQJIRUFHRSHUDWLRQVDVZHOO
 'HIHQGLQJ FRUSV DQG GLYLVLRQ FRPPDQGHUV HPSOR\ VHFXULW\ IRUFHV RQ WKHLU H[SRVHG IODQNV
7\SLFDOO\ WKHVHVHFXULW\IRUFHVSHUIRUPWKH VHFXULW\WDVN RI JXDUG RU VFUHHQ7KH UHVRXUFHVUHTXLUHGWR
HVWDEOLVKD FRYHULQJIRUFHWHQG WR SUHFOXGHEHLQJ DEOH WR VLPXOWDQHRXVO\HVWDEOLVKD IODQN VHFXULW\IRUFH
FDSDEOHRISHUIRUPLQJWKHFRYHUWDVN
 &RUSVDQGGLYLVLRQVSHUIRUPDUHDDQGORFDOVHFXULW\WDVNVLQWKHLUVXSSRUWDQGFRQVROLGDWLRQDUHDVWR
DVVXUHIUHHGRPRIPDQHXYHUDQGFRQWLQXLW\RIRSHUDWLRQV7KH\VHFXUHOLQHVRIFRPPXQLFDWLRQVDQGPRELOLW\
FRUULGRUVEHWZHHQWKHVHDUHDVDQG WKH0%$ &RUSVDQG GLYLVLRQFRPPDQGHUVDVVLJQUHVSRQVLELOLW\IRUWKH
VXSSRUWDQG FRQVROLGDWLRQDUHDV7KLV LVXVXDOO\DGLYLVLRQRUD %&7 IRUWKHFRQVROLGDWLRQDUHDDQGD 0(%
IRUWKHVXSSRUWDUHD7KHVHXQLWVFRQWUROWKHSHUIRUPDQFHRIDUHDVHFXULW\WDVNVZLWKLQWKHLU$2VEDVHGRQ
JXLGDQFHIURPWKHFRPPDQGHU
 8QLWVSHUIRUPLQJVHFXULW\WDVNVLQWKHVHWZRDUHDVGLVSOD\WKHVDPHLQLWLDWLYHPRELOLW\YHUVDWLOLW\
DQGV\QFKURQL]DWLRQUHTXLUHGIRURSHUDWLRQVLQWKHFORVHDQGGHHSDUHDV7KHIRXUFRPSRQHQWVRIDUHDVHFXULW\
LQWKHVXSSRUWDQGFRQVROLGDWLRQDUHDVDUHLQIRUPDWLRQFROOHFWLRQEDVHDQGEDVHFOXVWHUVHOIGHIHQVHUHVSRQVH
RSHUDWLRQVDQGFRPELQHGDUPV7&)RSHUDWLRQV 6HH)0IRUDGLVFXVVLRQRIVHFXULW\WDVNV 

6 December 2017 FM 3-0, C1 6-31


Chapter 6

Main Battle Area Forces in an Area Defense


 &RPPDQGHUVQRUPDOO\SRVLWLRQWKHLUHFKHORQ¶VPDLQERG\LQFOXGLQJWKHEXONRIWKHLUFRPEDWSRZHU
ZLWKLQWKH0%$ ZKHUHWKHFRPPDQGHUZDQWV WRFRQGXFWWKHGHFLVLYHRSHUDWLRQ7KHFRPPDQGHURUJDQL]HV
WKHPDLQERG\WRKDOWGHIHDWDQGXOWLPDWHO\GHVWUR\DWWDFNLQJHQHP\IRUFHV0RVWRIWKHPDLQERG\GHSOR\V
LQWRSUHSDUHGGHIHQVLYHSRVLWLRQVZLWKLQWKH0%$+RZHYHUPRELOHHOHPHQWVRIWKHIRUFHDUHUHDG\WRGHSOR\
ZKHUHDQGZKHQQHHGHG
 'HIHQGLQJFRUSVDQG GLYLVLRQFRPPDQGHUVGHIHDWWKHHQHP\¶VPDMRUDWWDFNLQJIRUFHVLQDQXPEHU
RIZD\V,QPRVWFDVHVKRZHYHUWKH\ILJKWDVHULHVRIHQJDJHPHQWVZLWKLQWKH0%$WR²
z 'LVORFDWHHQHP\IRUFHVE\SODFLQJGHIHQGLQJIULHQGO\IRUFHVLQXQH[SHFWHGORFDWLRQVWKDWSXWWKH
HQHP\LQDSRVLWLRQRIGLVDGYDQWDJHLQPXOWLSOHGRPDLQV
z 'LVLQWHJUDWHWKHHQHP\¶VFRPPDQGDQGFRQWUROV\VWHPE\HPSOR\LQJOHWKDODQGQRQOHWKDOHIIHFWV
WRWDUJHWHQHP\FRPPDQGSRVWVFRPPXQLFDWLRQVV\VWHPVDQGQHWZRUNV
z ,VRODWHVHOHFWHGSRUWLRQVRIWKHHQHP\IRUGHVWUXFWLRQLQGHWDLORUWRGHQ\WKHLUDELOLW\WRPXWXDOO\
VXSSRUWHDFKRWKHU
z 'HVWUR\FULWLFDOHOHPHQWVRIHQHP\IRUPDWLRQVWRGHQ\ WKHPWKHDELOLW\WRPDVVHIIHFWVDJDLQVW
IULHQGO\IRUFHVLQDFRRUGLQDWHGPDQQHUDQGHYHQWXDOO\UHQGHUWKHRYHUDOOHQHP\IRUFHLQHIIHFWLYH
 'HIHQGLQJFRPPDQGHUVFRQGXFWWKHLUGHFLVLYHRSHUDWLRQDQGFRQFHQWUDWHFRPEDWSRZHULQVXSSRUW
RILW&RUSVDQG GLYLVLRQFRPPDQGHUVVKLIWWKHLUPDLQHIIRUWDVRWKHUWKUHDWVWRWKHLQWHJULW\RIWKHGHIHQVH
GHYHORS 7KH\ FRQWLQXHWRGRVRIRUDVORQJ DV LVQHFHVVDU\XQWLO WKHHQHP\FXOPLQDWHV0DQHXYHU XQLWV
GHIHQGGHOD\DWWDFNDQGSHUIRUPVHFXULW\WDVNVDVUHTXLUHGE\WKHVLWXDWLRQ
 'HIHQGLQJ FRUSVDQG GLYLVLRQV ILJKW WKH GHFLVLYH EDWWOH LQ DFFRUGDQFHZLWK WKHLUFRPPDQGHU¶V
FRQFHSWRIRSHUDWLRQV7KDWEDWWOHRFFXUVHLWKHUDWWKH)(%$RUZLWKLQWKH0%$&RPPDQGHUVSRVLWLRQIRUFHV
LQWKH0%$ WRFRQWURORUWRUHSHOHQHP\SHQHWUDWLRQV7KHGLYLVLRQFRPPDQGHUDVVLJQVHDFK%&7DQ$2
ZLWKLQWKH0%$RQWKHEDVLVRIWKHGHIHQGLQJ%&7¶VFDSDELOLW\WKHWHUUDLQZLWKLQWKDW$2DQGWKHPLVVLRQ
$VVLJQHG %&7 $2V XVXDOO\ FRLQFLGH ZLWK D PDMRU UHJLPHQWDO RU EULJDGHVL]H DYHQXHV RI DSSURDFK
&RPPDQGHUVVKRXOGQRWVSOLWUHVSRQVLELOLWLHVIRUDYHQXHV RIDSSURDFK 7KH IRUFHUHVSRQVLEOHIRUWKHPRVW
GDQJHURXV$2LQWKH0%$QRUPDOO\UHFHLYHVSULRULW\LQWKHLQLWLDODOORFDWLRQRIDUWLOOHU\HQJLQHHU(:DQG
&$6 FDSDELOLWLHV,WLVWKHLQLWLDOPDLQHIIRUW
 'LYLVLRQFRPPDQGHUVVWUHQJWKHQWKHHIIRUWDWWKHPRVWGDQJHURXVDYHQXHRIDSSURDFKE\QDUURZLQJ
WKH$2RIWKH%&7 DVVLJQHGWRWKDWDYHQXH RIDSSURDFK7KHFRUSVRUGLYLVLRQFRPPDQGHUPD\XVHF DYDOU\
VTXDGURQV6WU\NHUEDWWDOLRQVRURWKHUPDQHXYHUIRUFHVDVDQ HFRQRP\RIIRUFHPHDVXUHLQFORVHWHUUDLQRU
WRVHFXUHRQHRIWKHGLYLVLRQ¶VIODQNV (FRQRP\RIIRUFHUHTXLUHVDVRXQGHVWLPDWHRIZKDWLVVXIILFLHQWIRU
WKH VHFXULW\PLVVLRQWR DOORZ WKH PDVVLQJ RIFRPEDW SRZHU DW WKH GHFLVLYHWLPH DQG SODFH,W LV QRWWKH
DSSOLFDWLRQRIDVOLWWOHIRUFHDVSRVVLEOH 7KLVDOORZVWKHGLYLVLRQFRPPDQGHUWRFRQFHQWUDWH%&7VRQWKH
PRVWGDQJHURXVDSSURDFKHV&RUSVDQGGLYLVLRQGHIHQVLYHSODQVPXVWEHIOH[LEOHHQRXJKWRDOORZFKDQJHVLQ
WKHPDLQHIIRUWGXULQJWKHFRXUVHRIWKHEDWWOH

Reserve in the Area Defense


7KHSULPDU\PLVVLRQRIWKHUHVHUYHLVWRHQWHUWKHDFWLRQRIIHQVLYHO\DWWKHSURSHUSODFHDQG
PRPHQWWRFOLQFKWKHYLFWRU\RUH[SORLWVXFFHVV
)0 Field Service Regulations: Operations 

 7KHSULPDU\SXUSRVHRIWKHUHVHUYHLQWKHGHIHQVHLVWRVWULNHDGHFLVLYHEORZDJDLQVWWKHHQHP\DQG
VHL]HWKHLQLWLDWLYH7KHUHVHUYHDOVRVHUYHVDVDKHGJHDJDLQVWULVNZKHQWKHDWWDFNHUKDVWKHLQLWLDWLYHVLQFH
QRGHIHQVHFDQEHVWURQJHYHU\ZKHUH&RPPDQGHUVPXVWUHFRQVWLWXWHDUHVHUYHDIWHUFRPPLWWLQJWKHH[LVWLQJ
RQH
 &RPPDQGHUVXVHUHVHUYHVWRFRXQWHUDWWDFNWRH[SORLWHQHP\ZHDNQHVVHVVXFKDVH[SRVHGIODQNVRU
XQLWVYXOQHUDEOHWRGHIHDWLQGHWDLORUGHQ\WKHHQHP\FRQWURORIFULWLFDOWHUUDLQ7KHUHVHUYHFDQDOVRUHLQIRUFH
IRUZDUGGHIHQVLYHSRVLWLRQVFRQWDLQHQHP\SHQHWUDWLRQVRUUHDFWWRWKUHDWVLQWKHVXSSRUWRUFRQVROLGDWLRQ
DUHDV&RPPDQGHUVGHFLGHRQWKHVL]HFRPSRVLWLRQDQG PLVVLRQRIWKH UHVHUYHDVHDUO\DV SRVVLEOHDIWHU
GHWHUPLQLQJZKDW ULVNLVDFFHSWDEOH&RPPDQGHUVGRZQ WRWKH%&7 OHYHOQRUPDOO\UHWDLQRQHWKLUGRIWKHLU

6-32 FM 3-0, C1 6 December 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

PDQHXYHUVWUHQJWKLQUHVHUYHWKHKLJKHUWKHGHJUHHRIXQFHUWDLQW\UHJDUGLQJWKHHQHP\WKHODUJHUWKHUHVHUYH
VKRXOGEH
 7LPLQJ LV FULWLFDO WR FRXQWHUDWWDFNV EXW D FRPPDQGHU PD\ KDYH OLWWOH ODWLWXGH WR GHWHUPLQH ZLWK
FHUWDLQW\ ZKHQ WR FRPPLW WKH UHVHUYH &RPPDQGHUV PXVW DQWLFLSDWH WKH OHDG WLPHV UHTXLUHG WR PRYH WKH
UHVHUYH WR GLIIHUHQW DUHDV WR HQVXUH WKDW ZKHQ FRPPLWWHG LW DUULYHV LQ WKH ULJKW SODFH LQ WKH ULJKW FRPEDW
IRUPDWLRQDWWKHULJKWWLPH,IFRPPLWWHGSUHPDWXUHO\WKHUHVHUYHPD\QRWEHDYDLODEOHIRUDPRUHGDQJHURXV
FRQWLQJHQF\DQGEHQHHGOHVVO\H[SRVHGWRHQHP\DFWLRQ,IFRPPLWWHGWRRODWHLWPD\QRWDUULYHLQWLPHWR
PDWWHU&RPPDQGHUVUHFRQVWLWXWHWKHLUUHVHUYHIURPXQFRPPLWWHGIRUFHVRUIURPIRUFHVLQOHVVWKUHDWHQHG
ORFDWLRQVDIWHUFRPPLWWLQJWKHLURULJLQDOUHVHUYH6LWXDWLRQVWKDWGHPDQGFRPPLWPHQWRIWKHUHVHUYHRIWHQ
UHTXLUHDQDGGLWLRQDOUHVHUYHWRGHDOZLWKDQHZSUREOHP
 &RPPDQGHUVPXVWDFFXUDWHO\HVWLPDWHWKHORFDWLRQWLPHDQGGLVWDQFHIRUIROORZRQHQHP\HFKHORQV
WR FORVH ZKHQ SODQQLQJ FRXQWHUDWWDFNV 7KHQ WKH\ PXVW GHWHUPLQH ZKLFK XQLWV FDQ DWWDFN HVWLPDWH WKHLU
ORFDWLRQDQGOLNHO\VWDWXVDIWHUWKHFRXQWHUDWWDFNDQGZKDWRWKHUFDSDELOLWLHVLQRWKHUGRPDLQVFDQEHXVHGWR
GLVUXSWDQGLVRODWHWKHWDUJHWHGHQHP\IRUFH&RXQWHUDWWDFNLQJXQLWVVHHNWRDYRLGHQHP\VWUHQJWK7KHPRVW
HIIHFWLYH FRXQWHUDWWDFNV WDUJHW WKH HQHP\¶V H[SRVHG IODQNV DQG UHDU 7\SLFDOO\ HQHP\ QHWZRUNV
FRPPXQLFDWLRQVDQGVXVWDLQPHQWFDSDELOLWLHVDUHH[SRVHGDVWKH\PRYHRUGLVSODFH
 5HVHUYHVDUHRSWLPDOO\DPL[WXUHRIPHFKDQL]HGRU6WU\NHUXQLWVEHFDXVHRIWKHLUPRELOLW\:KLOH
DUWLOOHU\DQG $UP\DYLDWLRQDVVHWVDUHQRWNHSWLQUHVHUYHWKH\VKRXOGEHDOORFDWHGWRVXSSRUWWKHUHVHUYH
ZKHQLWLVFRPPLWWHG
 5HVHUYHDLUDVVDXOWIRUFHVFDQUHVSRQGUDSLGO\LIFRQGLWLRQVDOORZDVVDXOWDYLDWLRQWRIO\,QVXLWDEOH
WHUUDLQWKH\PD\UHLQIRUFHSRVLWLRQVWRWKHIURQWRURQDIODQNRIDQHQHP\DWWDFNLQJIRUFH,QDWKUHDWHQHG
DUHDWKH\PD\EHSRVLWLRQHGLQGHSWK$LUDVVDXOWIRUFHVZLWKHVFRUWLQJDWWDFNKHOLFRSWHUVDQGDUPHG8$6V
DUHVXLWDEOHDJDLQVWHQHP\DLUERUQHRUDLUODQGLQJXQLWVLQWKHFRUSVRUGLYLVLRQVXSSRUWDQGFRQVROLGDWLRQ
DUHDV2QFHFRPPLWWHGKRZHYHULQVHUWHGGLVPRXQWHGLQIDQWU\KDYHOLPLWHGJURXQGWDFWLFDOPRELOLW\
 7KHPRELOLW\DQGILUHSRZHURIDWWDFNDYLDWLRQIRUPDWLRQVRIWHQPDNHWKHPWKHTXLFNHVWDQGPRVW
HIIHFWLYH PHDQV IRU VWRSSLQJ SHQHWUDWLRQV RI %&7 0%$ GHIHQVLYH SRVLWLRQV SDUWLFXODUO\ DJDLQVW HQHP\
PHFKDQL]HG RU PRWRUL]HG IRUPDWLRQV %DVHG RQ WKH PLVVLRQ YDULDEOHV DWWDFN UHFRQQDLVVDQFH KHOLFRSWHUV
HPSOR\HG DW WKH FRPSDQ\ RU EDWWDOLRQ OHYHO SURYLGH OHWKDOLW\ SURWHFWLRQ VKRFN HIIHFW DQG IOH[LELOLW\
+RZHYHUZKHQIDFLQJDWWDFNLQJHQHP\PDQHXYHUIRUFHVHPSOR\LQJDWWDFNDYLDWLRQLQSLHFHPHDOWHDPVLQ
VXSSRUW RI PXOWLSOH JURXQG PDQHXYHU IRUFHV GLOXWHV FRPEDW SRZHU DQG ZLOO OLNHO\ QRW SURGXFH GHFLVLYH
UHVXOWV
 &RUSV DQG GLYLVLRQ FRPPDQGHUV VKRXOG VKLIW FRPPLWWHG %&7 IRUFHV LQ WKH 0%$ ODWHUDOO\ IURP
SUHSDUHGSRVLWLRQVRQO\DVDODVWUHVRUWEHFDXVHRIWKUHHVLJQLILFDQWULVNV)LUVWDQDWWDFNLQJHQHP\FDQLQKLELW
RUSUHYHQWVXFKIULHQGO\ODWHUDOPRYHPHQWVZLWKDLURUDUWLOOHU\LQWHUGLFWLRQDQGZLWK(:RU2&2$QHQHP\
PD\ HYHQ HPSOR\ FKHPLFDO PXQLWLRQV 6HFRQG ZKHQ D IRUFH LV HQJDJHG HYHQ E\ VPDOO SURELQJ RU
UHFRQQDLVVDQFH DFWLRQV LW LV QHLWKHU SK\VLFDOO\ QRU SV\FKRORJLFDOO\ SUHSDUHG WR PDNH ODWHUDO PRYHPHQWV
7KLUGYDFDWLQJDQ0%$SRVLWLRQHYHQWHPSRUDULO\LQYLWHVSHQHWUDWLRQDQGH[SORLWDWLRQE\ XQFRPPLWWHG
HQHP\IRUFHV
 :KHQGHFLGLQJZKHUHWRSODFHWKHUHVHUYHFRPPDQGHUVGHFLGHZKHWKHUWRRULHQWWKHUHVHUYHRQLWV
PRVW OLNHO\ PLVVLRQ RU LWV PRVW LPSRUWDQW PLVVLRQ &RPPDQGHUV DQG VWDIIV HQVXUH WKH FRPPDQGHU FDQ
HIIHFWLYHO\XVHWKHUHVHUYHZKHQQHHGHG&RPPDQGHUVLGHDOO\ORFDWHWKHUHVHUYHZLWKLQWKH$2ZKHUHLWFDQ
HPSOR\ WKH URDG QHWZRUN WR UDSLGO\ GLVSODFH LQ UHVSRQVH WR WKH JUHDWHVW QXPEHU RI RSSRUWXQLWLHV RU
FRQWLQJHQFLHV &RPPDQGHUV FRQVLGHU WHUUDLQ URXWHV HQHP\ DYHQXHV RI DSSURDFK DQG SUREDEOH HQHP\
SHQHWUDWLRQV ZKHQ SRVLWLRQLQJ WKH UHVHUYH &RPPDQGHUV PD\ LQLWLDOO\ SRVLWLRQ WKH UHVHUYH LQ D IRUZDUG
ORFDWLRQWRGHFHLYHWKHHQHP\DQGREVFXUHVXERUGLQDWHXQLWERXQGDULHVHVSHFLDOO\WKRVHRIGLVVLPLODUXQLWV
VXFKDVDUPRUHGDQGGLVPRXQWHGLQIDQWU\

6 October 2017 FM 3-0 6-33


Chapter 6

&RQWURO0HDVXUHVIRUDQ$UHD'HIHQVH
 &RPPDQGHUVRUJDQL]HDQDUHDGHIHQVHE\GHVLJQDWLQJWKH
0%$DQGDVVLJQLQJ $2VRU EDWWOHSRVLWLRQVWRVXERUGLQDWHXQLWV
ORFDWHG ZLWKLQWKH 0%$&RPPDQGHUVGHVLJQDWH EDWWOHSRVLWLRQV
VR WKDW WKH\ DUH DVWULGH OLNHO\ HQHP\ DYHQXHV RI DSSURDFK
&RPPDQGHUVFUHDWHDVHFXULW\DUHDLQIURQWRIWKH0%$RUDURXQG
D EDVH RI RSHUDWLRQV :KHQ SRVVLEOH WKH ERXQGDULHV RI WKH
VXERUGLQDWHHOHPHQWVRIWKHVHFXULW\IRUFHFRLQFLGHZLWKWKRVHRI
WKHPDMRUGHIHQGLQJXQLWVLQWKH0%$&RPPDQGHUVDOVRGHVLJQDWH
D VXSSRUW DUHD &RPPDQGHUV KDYH WKH RSWLRQ RI GHVLJQDWLQJ D 
FRQVROLGDWLRQDUHD  Figure 6-18. Passage point
$passage pointLVDVSHFLILFDOO\
 $UHD GHIHQVH PDQHXYHU JUDSKLF FRQWURO PHDVXUHV PD\ GHVLJQDWHGSODFHZKHUHWKH
LQFOXGHSKDVHOLQHV 3/V ($VWKH)(%$WKHEDWWOHKDQGRYHUOLQH SDVVLQJXQLWVSDVVWKURXJKWKH
%+/ VWURQJSRLQWVWDUJHWUHIHUHQFHSRLQWV 753V 1$,V7$,V VWDWLRQDU\XQLW )0 7KH
GHFLVLRQ SRLQWV DQG YDULRXV RWKHU PHDVXUHV VXFK DV ILQDO ORFDWLRQRIWKLVSRLQWLVZKHUHWKH
SURWHFWLYH ILUHV )3)V  DQG REVWDFOH FRQWURO PHDVXUHV 7DFWLFDO FRPPDQGHUZDQWVVXERUGLQDWH
PLVVLRQWDVNVDVVLJQHGDVSDUWRIWKHPLVVLRQFDQDOVREHFRQWURO XQLWVWRSK\VLFDOO\H[HFXWHD
SDVVDJHRIOLQHV
PHDVXUHV 6HH)0IRUPRUHLQIRUPDWLRQRQWKHVHFRQWURO
PHDVXUHV 
 7KHEDWWOHKDQGRYHUOLQHLVDGHVLJQDWHGSKDVHOLQHRQWKH
JURXQGZKHUHUHVSRQVLELOLW\WUDQVLWLRQVIURPWKHVWDWLRQDU\IRUFHWR
WKHPRYLQJIRUFHDQGYLFHYHUVD $'53 7KHFRPPRQKLJKHU
HFKHORQ FRPPDQGHU RI WKH WZR IRUFHV HVWDEOLVKHV WKH %+/ DIWHU
FRQVXOWLQJ ERWK FRPPDQGHUV 7KH VWDWLRQDU\ FRPPDQGHU
GHWHUPLQHV WKH ORFDWLRQ RI WKH OLQH 7KH %+/ LV IRUZDUG RI WKH
)(%$LQWKHGHIHQVHRUWKH)/27LQWKHRIIHQVH7KHFRPPDQGHU
GUDZV LW ZKHUH HOHPHQWV RI WKH SDVVLQJ XQLW FDQ EH HIIHFWLYHO\ 
VXSSRUWHGE\WKHGLUHFWILUHVRIWKHIRUZDUGFRPEDWHOHPHQWVRIWKH 
Figure 6-19. Passage lane
VWDWLRQDU\XQLWXQWLOSDVVDJHRIOLQHVLVFRPSOHWH7KHDUHDEHWZHHQ 
WKH %+/ DQG WKH VWDWLRQDU\ IRUFH EHORQJV WR WKH VWDWLRQDU\ IRUFH $passage laneLVDODQHWKURXJK
FRPPDQGHU7KHVWDWLRQDU\IRUFHFRPPDQGHUPD\HPSOR\VHFXULW\ DQHQHP\RUIULHQGO\REVWDFOHWKDW
SURYLGHVVDIHSDVVDJHIRUD
IRUFHVREVWDFOHVDQGILUHVLQWKHDUHD)LJXUHGHSLFWVD%+/ SDVVLQJIRUFH )0 7KDW
XVHGLQFRQMXQFWLRQZLWKRWKHUFRQWUROPHDVXUHVLQFOXGLQJSDVVDJH IULHQGO\REVWDFOHPD\EHDQRWKHU
SRLQWV DQG SDVVDJH ODQHV IRU D UHDUZDUG SDVVDJH RI OLQHV 6HH XQLW7KDWURXWHVKRXOGDOORZWKH
ILJXUHVDQG )RUFODULW\WKHGDWHWLPHJURXSVDVVRFLDWHG SDVVLQJXQLWWRPRYHUDSLGO\
ZLWKFRQWDFWSRLQWVLQWKLVILJXUHDUHRPLWWHGDVDUHSDVVDJHODQH through the stationary unit’s area.
GHVLJQDWLRQV DQG XQLW GHVLJQDWLRQV RQ $2 ERXQGDULHV 6HH
)0IRUPRUHLQIRUPDWLRQRQWKHXVHRISDVVDJHSRLQWVDQGWDFWLFVDVVRFLDWHGZLWKWKHFRQGXFWRID
SDVVDJHRIOLQHV 

6-34 FM 3-0 6 October 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

 )3)VDUHWKHKLJKHVWW\SHRISULRULW\WDUJHWVDQGWKH\WDNH
SUHFHGHQFHRYHU DOO RWKHUILUHUHTXHVWV 6HHILJXUH  )3)V
GLIIHUIURPVWDQGDUG SULRULW\WDUJHWVLQ WKDW WKH\ DUH ILUHGDW WKH
PD[LPXPUDWHRIILUHXQWLOWKHILULQJXQLWLVRUGHUHGWRVWRSRUXQWLO
DOO DPPXQLWLRQLV H[SHQGHG 7KH\ DUH GHVLJQHGWRFUHDWHD ILQDO
EDUULHURIILUHVWRSUHYHQWWKHFORVXUHRIHQHP\IRUFHVRQIULHQGO\
SRVLWLRQV7KHULVNHVWLPDWHGLVWDQFHIRUDJLYHQGHOLYHU\V\VWHPLV
D IDFWRULQ KRZ FORVHWKH)3)VFDQ EHSODFHGLQIURQWRIIULHQGO\
IURQWOLQHV&ORVHU)3)VDUHHDVLHUWRLQWHJUDWHLQWRGLUHFWILUHILQDO
SURWHFWLYH OLQHV 'DQJHU FORVH LQ FORVH DLU VXSSRUW DUWLOOHU\ Figure 6-20. Final
protective fire
PRUWDUDQG QDYDO JXQILUHVXSSRUWILUHVLVWKHWHUPLQFOXGHGLQWKH
PHWKRGRIHQJDJHPHQWVHJPHQWRIDFDOOIRUILUHWKDWLQGLFDWHVWKDW Final protective fire LVDQ
IULHQGO\IRUFHVDUHZLWKLQFORVHSUR[LPLW\RIWKHWDUJHW -3  LPPHGLDWHO\ DYDLODEOH SUHDUUDQJHG
7KH FORVHSUR[LPLW\ GLVWDQFHLV GHWHUPLQHG E\ WKH ZHDSRQ DQG EDUULHURIILUHGHVLJQHG WRLPSHGH
PXQLWLRQILUHG HQHP\PRYHPHQWDFURVV
GHIHQVLYH OLQHVRUDUHDV
-3  

+Figure 6-21. BHL used with other control measures during a rearward passage of lines

6 December 2017 FM 3-0, C1 6-35


Chapter 6

([HFXWLQJ DQ$UHD'HIHQVH
 $GHIHQGLQJXQLWZLWKLQWKH0%$XVHVDYDULHW\RIWDFWLFVWHFKQLTXHVDQGSURFHGXUHVWRDFFRPSOLVK
WKHPLVVLRQ$WRQHHQGRIWKHDUHDGHIHQVLYHFRQWLQXXPLVDWRWDOO\VWDWLFGHIHQVHRULHQWHGRQWHUUDLQUHWHQWLRQ
7KLVGHIHQVHGHSHQGVRQWKHXVHRIILUHSRZHUIURPSUHSDUHGSURWHFWHGSRVLWLRQVWRFRQFHQWUDWHFRPEDWSRZHU
DJDLQVWDWWHPSWHGHQHP\EUHDNWKURXJKVDQGIODQNLQJPRYHPHQWVWRGHQ\WKHHQHP\WHUUDLQ$WWKHRWKHUHQG
RI WKH DUHD GHIHQVLYH FRQWLQXXP LV D G\QDPLF GHIHQVH IRFXVHGRQ WKH HQHP\ WKDW URXWLQHO\ GLVSODFHV
GHIHQGLQJ IRUFHVIURPSRVLWLRQWRSRVLWLRQ7KH GHIHQGLQJ FRPPDQGHUXVHVPRELOHIRUFHV WRFRYHUJDSV
EHWZHHQGHIHQVLYHSRVLWLRQVUHLQIRUFHVWKRVHSRVLWLRQVDVQHFHVVDU\DQGFRXQWHUDWWDFNVWRVHDOSHQHWUDWLRQV
RUEORFNHQHP\DWWHPSWVDWIODQNLQJPRYHPHQWV7KURXJKRXWWKHDUHDGHIHQVHFRQWLQXXPWKHGHIHQGLQJIRUFH
UHSHDWHGO\OXUHVRUGULYHVWKHHQHP\LQWR($VIRUGHVWUXFWLRQLQGHWDLO7KHSHUIRUPDQFHRIPRVWDUHDGHIHQVH
IDOOVVRPHZKHUHEHWZHHQWKHWZRH[WUHPHV
 &RQGXFWLQJVKDSLQJ RSHUDWLRQVLQDQ DUHD GHIHQVHLVVLPLODUWRVKDSLQJ RSHUDWLRQVLQWKHRIIHQVH
7KH FRPPDQGHU¶V FRQFHSW RI WKH RSHUDWLRQ DQG WKH HQHP\ GHWHUPLQH KRZ FORVHO\WKH FRPPDQGHU
V\QFKURQL]HVVKDSLQJ RSHUDWLRQVZLWK WKHGHFLVLYHRSHUDWLRQ&RPPDQGHUVFRQGXFWVKDSLQJ RSHUDWLRQVWR
UHJDLQWKHLQLWLDWLYHE\OLPLWLQJWKHDWWDFNHU¶VRSWLRQVDQGGLVUXSWLQJWKHDWWDFNHU¶VSODQ&RPPDQGHUVSUHYHQW
HQHP\ IRUFHVIURPPDVVLQJ DQG FUHDWHZLQGRZV RIRSSRUWXQLW\ IRUWKH FRQGXFW RIVSRLOLQJ DWWDFNV DQG
FRXQWHUDWWDFNVDOORZLQJ WKH GHIHQGLQJ IRUFHWRGHIHDWWKH DWWDFNLQJ HQHP\ LQ GHWDLO &RPPDQGHUVDOVR
HPSOR\VKDSLQJRSHUDWLRQVWRGLVUXSWHQHP\RSHUDWLRQVE\DWWDFNLQJHQHP\&3VDWFULWLFDOVWDJHVLQWKHEDWWOH
RUE\ VWULNLQJDQG HOLPLQDWLQJNH\UHVRXUFHVVXFKDVZHWJDS FURVVLQJHTXLSPHQWDQG VXSSOLHVLQDUHJLRQ
WKDW FRQWDLQV QXPHURXV XQIRUGDEOH ULYHUV 7KH SHUIRUPDQFH RI UHFRQQDLVVDQFH DQG VHFXULW\ WDVNV E\
VXERUGLQDWHXQLWVDUHQRUPDOO\FRPSRQHQWVRIWKHFRPPDQGHU¶VVKDSLQJRSHUDWLRQV 6HH)0IRUPRUH
LQIRUPDWLRQRQWKHDUHDGHIHQVHWDVN

Conducting a Spoiling Attack in the Area Defense


 $ VSRLOLQJDWWDFNLVD WDFWLFDOPDQHXYHU HPSOR\HGWRVHULRXVO\LPSDLUD KRVWLOHDWWDFN ZKLOH WKH
HQHP\LVLQWKHSURFHVVRIIRUPLQJRUDVVHPEOLQJIRUDQDWWDFN )0 7KHREMHFWLYHRIDVSRLOLQJDWWDFN
LVWRGLVUXSWWKHHQHP\¶VRIIHQVLYHFDSDELOLWLHVDQGWLPHOLQHVZKLOHGHVWUR\LQJWDUJHWHGHQHP\SHUVRQQHODQG
HTXLSPHQWQRWWRVHL]HWHUUDLQDQGRWKHUSK\VLFDOREMHFWLYHV$FRPPDQGHUFRQGXFWVDVSRLOLQJDWWDFNWR ²
z 'LVUXSWWKHHQHP\¶VRIIHQVLYHSUHSDUDWLRQV
z 'HVWUR\NH\ DVVHWVWKDW WKH HQHP\ UHTXLUHVWR DWWDFN VXFK DV ILUHVXSSRUW V\VWHPVIXHO DQG
DPPXQLWLRQVWRFNVDQGEULGJLQJHTXLSPHQW
z *DLQDGGLWLRQDOWLPHIRUWKHGHIHQGLQJIRUFHWRSUHSDUHLWVSRVLWLRQV
z 5HGXFHWKHHQHP\¶VFXUUHQWDGYDQWDJHLQWKHFRUUHODWLRQRIIRUFHV
 $ VSRLOLQJDWWDFNSUHHPSWVRUVHULRXVO\LPSDLUVWKHHQHP\¶VDELOLW\WRODXQFKDQ DWWDFNE\ IRUFLQJ
WKH HQHP\ WRUHDFWGLVUXSWLQJ WLPHOLQHVFDXVLQJ ORVVHV DQG SODFLQJ WKH HQHP\¶V SODQ RI DWWDFN DW ULVN
&RPPDQGHUV V\QFKURQL]HWKH FRQGXFWRI WKH VSRLOLQJDWWDFN ZLWK RWKHUGHIHQVLYH DFWLRQV )LJXUH  
LOOXVWUDWHVWKHFRQFHSWRIDVSRLOLQJDWWDFN 
 &RPPDQGHUVFRQGXFWD VSRLOLQJDWWDFNZKHQHYHU SRVVLEOHDJDLQVWDQ HQHP\IRUFHZKLOHLWLVLQ
DVVHPEO\DUHDVRUDWWDFNSRVLWLRQVSUHSDULQJIRULWVRZQ RIIHQVLYHWDVNVRUZKHQ LWLVWHPSRUDULO\VWRSSHG
7KHIRUFHVFRQGXFWLQJDVSRLOLQJDWWDFNUHTXLUHHQRXJKFRPEDWSRZHUWRGHYHORSWKHVLWXDWLRQ7KH\PXVWEH
DEOHWRGHIHQGWKHPVHOYHVDJDLQVWWKRVHHQHP\IRUFHVWKDWWKH\H[SHFWWRHQFRXQWHU$VSRLOLQJDWWDFNXVXDOO\
HPSOR\VPHFKDQL]HGIRUFHVDWWDFNKHOLFRSWHUVPRELOHDUWLOOHU\MRLQWILUHV(:2&2DQG0,/'(&
 &RPPDQGHUV FDQ HPSOR\ UHVHUYH IRUFHV LQD VSRLOLQJ DWWDFN &RPPDQGHUV DVVXPH WKH ULVN RI
WHPSRUDULO\QRWKDYLQJ DUHVHUYHRUWKH\GHVLJQDWHDQRWKHUIRUFHDVWKHUHVHUYH7KHIROORZLQJFRQVLGHUDWLRQV
DIIHFWWKHVSRLOLQJDWWDFN²
z &RPPDQGHUVPD\ZDQWWROLPLWWKHVL]HRIWKHIRUFHXVHGLQH[HFXWLQJWKHVSRLOLQJDWWDFN
z 6SRLOLQJDWWDFNVDUHQRWFRQGXFWHGLIWKHORVVRUGHVWUXFWLRQRIWKHIULHQGO\DWWDFNLQJIRUFHZRXOG
MHRSDUGL]HWKHFRPPDQGHU¶VDELOLW\WRDFFRPSOLVKWKHGHIHQVLYHPLVVLRQ

6-36 FM 3-0, C1 6 December 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

z 7KH PRELOLW\RIWKHIRUFHDYDLODEOHIRUWKHVSRLOLQJDWWDFNVKRXOGEHHTXDOWRRUJUHDWHUWKDQ WKDW


RIWKHWDUJHWHGHQHP\IRUFH
z 2SHUDWLRQV E\ DUWLOOHU\RU DYLDWLRQ V\VWHPV WR SUHYHQW HQHP\ HOHPHQWVQRW LQ FRQWDFW IURP
LQWHUIHULQJZLWKWKHVSRLOLQJDWWDFNDUHQHFHVVDU\WRHQVXUHWKHVXFFHVVRIWKHRSHUDWLRQ

+Figure 6-22. Spoiling attack

 7KHUHDUHWZRFRQGLWLRQVWKDWPXVWEHPHWWRFRQGXFWDVXFFHVVIXOVSRLOLQJDWWDFNDW DQ DFFHSWDEOH


FRVW7KHVHFRQGLWLRQVDUH²
z 7KHVSRLOLQJDWWDFN¶VREMHFWLYHPXVWEHREWDLQDEOHEHIRUHWKHHQHP\LVDEOHWRUHVSRQGWRWKHDWWDFN
LQDV\QFKURQL]HGDQGFRRUGLQDWHGPDQQHU
z 7KHFRPPDQGHUSUHYHQWVWKHIRUFHFRQGXFWLQJWKHVSRLOLQJDWWDFNIURPEHFRPLQJRYHUH[WHQGHG
 ,I WKHVSRLOLQJDWWDFNIDLOVWRPHHWERWK FRQGLWLRQVLWZLOO OLNHO\ IDLO7KH RUJDQL]DWLRQRIIRUFHV
FRQWUROPHDVXUHVDQGSODQQLQJ SUHSDUDWLRQDQGH[HFXWLRQFRQVLGHUDWLRQVIRUDVSRLOLQJDWWDFNDUHWKHVDPH
DVIRUDQ\RWKHUDWWDFNZLWKWKHDGGLWLRQRIWKRVHFRQVLGHUDWLRQVPHQWLRQHGLQSDUDJUDSK

Conducting a Counterattack During an Area Defense


 $ FRXQWHUDWWDFNLVDQDWWDFNE\SDUWRUDOORIDGHIHQGLQJIRUFHDJDLQVWDQHQHP\DWWDFNLQJIRUFHIRU
VXFKVSHFLILFSXUSRVHVDVUHJDLQLQJJURXQGORVWRUFXWWLQJRIIRUGHVWUR\LQJHQHP\DGYDQFHXQLWVDQGZLWK
WKHJHQHUDOREMHFWLYHRIGHQ\LQJWRWKHHQHP\WKHDWWDLQPHQWRIWKHHQHP\¶VSXUSRVHLQDWWDFNLQJ,QVXVWDLQHG
GHIHQVLYH RSHUDWLRQVLW LV XQGHUWDNHQ WR UHVWRUHWKH EDWWOH SRVLWLRQDQG LV GLUHFWHGDW OLPLWHGREMHFWLYHV
)0 &RUSVDQGGLYLVLRQFRPPDQGHUVGLUHFWFRXQWHUDWWDFNVWR²
z 'HIHDWRUGHVWUR\HQHP\IRUFHV
z ([SORLWDQHQHP\ZHDNQHVVVXFKDVDQH[SRVHGIODQN
z 5HJDLQFRQWURORIWHUUDLQDQGIDFLOLWLHVDIWHUDQHQHP\VXFFHVV
z 5HJDLQWKHLQLWLDWLYHIURPWKHHQHP\WKURXJKRIIHQVLYHDFWLRQ
&RXQWHUDWWDFNVDUHQRUPDOO\FRQGXFWHGIURPDGHIHQVLYHSRVWXUH

6 December 2017 FM 3-0, C1 6-37


Chapter 6

 &RXQWHUDWWDFNSODQVLQFOXGHDVVXPSWLRQVUHJDUGLQJWKHVL]HDQGVKDSHRIWKHDQWLFLSDWHGSHQHWUDWLRQ
RUHQHP\IRUPDWLRQWKHVWUHQJWKDQGFRPSRVLWLRQRIWKHHQHP\IRUFHDQGWKHVWDWXVRIWKHUHVHUYHDQGIRUFHV
LQWKH0%$ &RPPDQGHUVSODQ WRFRQGXFWFRXQWHUDWWDFNVZKHQ DQGZKHUHWKHHQHP\LVPRVWYXOQHUDEOH
7KLVLVQRUPDOO\ZKHQ WKHHQHP\LVIL[HGZKLOHDWWHPSWLQJWRRYHUFRPHIULHQGO\GHIHQVLYHSRVLWLRQV2WKHU
IDFWRUVWKDWDIIHFWDFRXQWHUDWWDFNLQFOXGHWKHFDSDELOLW\WRFRQWDLQDQ HQHP\VKDSLQJRSHUDWLRQVWRVXSSRUW
WKHDWWDFNDQGWKHVWUHQJWKDQGUHVSRQVLYHQHVVRIWKHUHVHUYH
 7KH WZROHYHOVRIFRXQWHUDWWDFNVDUHPDMRUDQG ORFDOFRXQWHUDWWDFNV,QERWKFDVHVZDLWLQJIRUWKH
HQHP\WRDFWILUVWPD\UHYHDOWKHHQHP\¶VPDLQHIIRUWDQGFUHDWHDQDVVDLODEOHIODQNWRH[SORLW$GHIHQGLQJ
XQLWFRQGXFWVDPDMRUFRXQWHUDWWDFNWRVHL]HWKHRYHUDOOLQLWLDWLYHIURPWKHHQHP\WKURXJKRIIHQVLYHDFWLRQ
&RPPDQGHUVDOVRFRQGXFWPDMRUFRXQWHUDWWDFNVWRGHIHDWRUEORFNDQHQHP\SHQHWUDWLRQWKDWHQGDQJHUVWKH
LQWHJULW\RIWKHHQWLUHGHIHQVHRUWRDWWULWWKHHQHP\E\WKHGHIHDWRUGHVWUXFWLRQRIDQLVRODWHGSRUWLRQRIWKH
DWWDFNLQJHQHP\)LJXUHLOOXVWUDWHVWKHFRQFHSWRIDPDMRUFRXQWHUDWWDFN

Figure 6-23. Projected major counterattacks

 7KHFRXQWHUDWWDFNLQJIRUFHPDQHXYHUVWRLVRODWHDQGGHVWUR\GHVLJQDWHGHQHP\IRUFHV,WFDQDWWDFN
E\ILUHLQWRDQ($WRGHIHDWRUGHVWUR\VHOHFWHGHQHP\IRUFHVUHVWRUHWKHRULJLQDOSRVLWLRQRUEORFNDQHQHP\
SHQHWUDWLRQ2QFHODXQFKHGDFRXQWHUDWWDFNXVXDOO\EHFRPHVWKHFRPPDQGHU¶VGHFLVLYHRSHUDWLRQ

6-38 FM 3-0, C1 6 December 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

 1RUPDOO\ FRPPDQGHUV DWWHPSW WR UHWDLQ D UHVHUYH RU VWULNLQJ IRUFH WR FRQGXFW D GHFLVLYH
FRXQWHUDWWDFN RQFH WKH HQHP\ PDLQ IRUFH FRPPLWV WR WKH DWWDFN &RPPDQGHUV DVVLJQ REMHFWLYHV WR
FRXQWHUDWWDFNLQJIRUFHVZKHQWKH\DUHLQWHQGHGWRDVVDXOWWKHHQHP\&RPPDQGHUVQRUPDOO\DVVLJQDWWDFNE\
ILUHSRVLWLRQVZKHQFRXQWHUDWWDFNLQJXVLQJSULPDULO\GLUHFWDQGLQGLUHFWILUHV 6HH)0IRUDGLVFXVVLRQ
RI WKH RUJDQL]DWLRQ RI IRUFHV DVVRFLDWHG FRQWURO PHDVXUHV DQG SODQQLQJ SUHSDUDWLRQ DQG H[HFXWLRQ
FRQVLGHUDWLRQVDVVRFLDWHGZLWKSHUIRUPLQJWKHFRXQWHUDWWDFNWDVN 

&RQVROLGDWLRQRI*DLQVLQWKH$UHD'HIHQVH
 7KHXQLW¶VGHIHQVLYHSODQVPXVWDGGUHVVKRZSUHSDUDWLRQVIRUDQGWKHFRQGXFWRIWKHDUHDGHIHQVH
LPSDFWWKHFLYLOLDQSRSXODWLRQRIWKH$27KLVLQFOXGHVWKHFRQGXFWRIQRQFRPEDWDQWHYDFXDWLRQRSHUDWLRQV
IRU86FLYLOLDQVDQGRWKHUDXWKRUL]HGJURXSV7KHFRPPDQGHU¶VOHJDOREOLJDWLRQVWRWKDWFLYLOLDQSRSXODWLRQ
PXVWEHPHWDVORQJDVPHHWLQJWKRVHREOLJDWLRQVGRHVQRWGHSULYHWKHGHIHQVHRIQHFHVVDU\UHVRXUFHV,GHDOO\
WKHKRVWQDWLRQJRYHUQPHQWZLOOKDYHWKHFDSDELOLW\WRSURYLGHDUHDVHFXULW\IRULWVSRSXODWLRQDQGFRQGXFW
WKHSULPDU\VWDELOLW\WDVNV7RWKHH[WHQWWKDWDKRVWQDWLRQJRYHUQPHQWLVXQDEOHWRFRQGXFWWKHLPPHGLDWHO\
QHFHVVDU\ VWDELOLW\ WDVNV WKH GHIHQGLQJ XQLW ZLOO SHUIRUP VWDELOLW\ WDVNV ZLWKLQ LWV FDSDELOLW\ DQG UHTXHVW
IXUWKHUVXSSRUW

02%,/('()(16(
0RELOHGHIHQVHLVWKDWPHWKRGRIGHIHQVHLQZKLFKWKHIRUZDUGGHIHQVLYHDUHDLVRFFXSLHG
E\WKHPLQLPXPIRUFHVQHFHVVDU\WRZDUQRILPSHQGLQJDWWDFNFDQDOL]HWKHDWWDFNLQJIRUFHV
LQWROHVVIDYRUDEOHWHUUDLQDQGEORFNRULPSHGHWKHDWWDFNLQJIRUFHVZKLOHWKHEXONRIWKH
GHIHQGLQJIRUFHLVHPSOR\HGLQRIIHQVLYHDFWLRQWRGHVWUR\WKHHQHP\DWWKHWLPHDQGSODFH
PRVWIDYRUDEOHWRWKHGHIHQGHU
)0Field Service Regulations: Operations

 7KHPRELOHGHIHQVHLVDGHIHQVLYHWDVNWKDWFRQFHQWUDWHVRQWKHGHVWUXFWLRQRUGHIHDWRIWKHHQHP\
WKURXJK D GHFLVLYH DWWDFN E\ D VWULNLQJ IRUFH $'53   7KH PRELOH GHIHQVH IRFXVHV RQ GHIHDWLQJ RU
GHVWUR\LQJDQHQHP\E\DOORZLQJHQHP\IRUFHVWRDGYDQFHWRDSRLQWZKHUHWKH\DUHH[SRVHGWRDGHFLVLYH
FRXQWHUDWWDFNE\DVWULNLQJIRUFH7KHVWULNLQJIRUFHLVDGHGLFDWHGFRXQWHUDWWDFNIRUFHLQDPRELOHGHIHQVH
FRQVWLWXWHGZLWKWKHEXONRIDYDLODEOHFRPEDWSRZHU $'53 $IL[LQJIRUFHVXSSOHPHQWVWKHVWULNLQJ
IRUFH&RPPDQGHUVXVHDIL[LQJIRUFHWRKROGDWWDFNLQJHQHP\IRUFHVLQSRVLWLRQWRKHOSFKDQQHODWWDFNLQJ
HQHP\IRUFHVLQWRDPEXVKDUHDVDQGWRUHWDLQDUHDVIURPZKLFKWRODXQFKWKHVWULNLQJIRUFH
 $VXFFHVVIXOPRELOHGHIHQVHUHTXLUHVWKHRUFKHVWUDWLRQDQGV\QFKURQL]DWLRQRIDYDLODEOHFDSDELOLWLHV
DFURVVPXOWLSOHGRPDLQVWRPD[LPL]HWKHFRPEDWSRZHURIWKHGHIHQGLQJXQLWVSDUWLFXODUO\WKHVWULNLQJIRUFH
&RPPDQGHUV RUFKHVWUDWH WKH GHOLYHU\ RI WKHLU FRPELQHG HIIHFWV LQ RUGHU WR UHJDLQ WKH LQLWLDWLYH DQG VHL]H
SRVLWLRQVRIUHODWLYHDGYDQWDJHIRUODWHUH[SORLWDWLRQ&RUSVSODQVDGGUHVVWKHSHUIRUPDQFHRILQIRUPDWLRQ
FROOHFWLRQDUHDGHIHQVLYHWDVNVDQGRIIHQVLYHWDVNVGRZQWRWKH%&7OHYHO'LYLVLRQSODQVDGGUHVVWKRVH
VDPHWDVNVGRZQWRWKHEDWWDOLRQOHYHO
 3ODQV LQ D PRELOH GHIHQVH DGGUHVV KRZ WKH FRQGXFW RI WKH PRELOH GHIHQVH LPSDFWV WKH FLYLOLDQ
SRSXODWLRQ RI WKH $2 7KLV LV PRUH LPSRUWDQW GXULQJ D PRELOH GHIHQVH WKDQ LW LV GXULQJ DQ DUHD GHIHQVH
EHFDXVH WKH VFRSH RI PDQHXYHU WHQGV WR EH PXFK ODUJHU &LYLOLDQ DWWHPSWV WR DYRLG DGYDQFLQJ HQHP\
IRUPDWLRQVDQGORFDWLRQVZKHUHFRPEDWRFFXUVZLOOLPSHGHWKHJURXQGPDQHXYHURIGHIHQGLQJXQLWVXQOHVV
VWHSVDUHWDNHQWRDFFRXQWIRUWKHLUSUHVHQFHDQGSURYLGHDOWHUQDWLYHURXWHVIRUWKHVHGLVORFDWHGFLYLOLDQVWR
XVH&RPPDQGHUVFRPPXQLFDWHWKHVHURXWHVWRPHPEHUVRIWKHFLYLOLDQSRSXODWLRQWRHQVXUHWKH\XQGHUVWDQG
,GHDOO\ KRVWQDWLRQ FLYLOLDQ RU WKLUGSDUW\ FLYLOLDQ RUJDQL]DWLRQV SURYLGH FLYLOLDQ WUDIILF UHJXODWLRQ DQG
LPPHGLDWH HVVHQWLDO VHUYLFHV DORQJ WKRVH FLYLOLDQ HYDFXDWLRQ URXWHV +RZHYHU LI WKH KRVW QDWLRQ FDQQRW
SHUIRUPWKHVHWDVNVGHIHQGLQJXQLWVSHUIRUPWKHPWRWKHH[WHQWWKDWWKHLUSHUIRUPDQFHGRHVQRWGLYHUWFRPEDW
SRZHU IURP WKH GHIHQVH &RPPDQGHUV WDNH DFWLRQ WR SUHFOXGH HQHP\ DJHQWV IURP XVLQJ WKHVH URXWHV WR
LQILOWUDWH IULHQGO\ GHIHQVLYH SRVLWLRQV 6LPXOWDQHRXVO\ FRPPDQGHUV PHHW OHJDO REOLJDWLRQV WR FLYLOLDQ
SRSXODWLRQV
 $PRELOHGHIHQVHUHTXLUHVDQ$2ZLWKFRQVLGHUDEOHGHSWK$FRUSVRUGLYLVLRQFRPPDQGHUPXVWEH
DEOHWRVKDSHDEDWWOHILHOGFDXVLQJDQ HQHP\ IRUFHWRRYHUH[WHQGLWVOLQHVRIFRPPXQLFDWLRQVH[SRVHLWV

6 October 2017 FM 3-0 6-39


Chapter 6

IODQNVDQGGLVVLSDWHLWVFRPEDWSRZHU/LNHZLVHFRPPDQGHUVPXVWEHDEOHWRPRYHIULHQGO\IRUFHVDURXQG
DQGEHKLQGDQHQHP\IRUFHWDUJHWHGIRULVRODWLRQDQGGHVWUXFWLRQ
 $PRELOHGHIHQVHLVHQHP\IRUFHRULHQWHG$FRUSVRUGLYLVLRQFRPPDQGHUFKRRVHVWRFRQGXFWD
PRELOHGHIHQVHLQWZRLQVWDQFHVZKHQGHIHQGLQJDODUJH$2DJDLQVWDPRELOHHQHP\IRUFHRUZKHQGHIHQGLQJ
DJDLQVWDQHQHP\IRUFHZLWKJUHDWHUFRPEDWSRZHUEXWOHVVPRELOLW\$PRELOHGHIHQVHLQFXUVJUHDWULVNEXW
RIIHUVDVWURQJFKDQFHRILQIOLFWLQJDGHFLVLYHGHIHDWDQGGHVWUR\LQJWKHHQHP\IRUFH
 :KHQDFRPPDQGHUGLUHFWVDPRELOHGHIHQVHVXERUGLQDWHXQLWVFRQGXFWHLWKHUDQDUHDGHIHQVHRUD
GHOD\WRVKDSHWKHSHQHWUDWLRQRIWKHHQHP\DWWDFNDVSDUWRIWKHIL[LQJIRUFH2SHUDWLRQDOOHYHOFRPPDQGHUV
GRQRWDVVLJQWKHPLVVLRQRIDPRELOHGHIHQVHWRVXERUGLQDWHXQLWVVPDOOHUWKDQDGLYLVLRQEHFDXVHRIWKHLU
ODFNRIUHVRXUFHV'\QDPLFPRYHPHQWIURPEDWWOHSRVLWLRQWREDWWOHSRVLWLRQFKDUDFWHUL]HVDPRELOHGHIHQVH
$FRPPDQGHUPD\GLUHFWD%&7WRFRQGXFWDGHOD\DVSDUWRIWKHGLYLVLRQPRELOHGHIHQVH
 &RPPDQGHUVPD\SODQWRVKDSHWKHEDWWOHILHOGE\GHIHQGLQJLQRQHDUHDWRGHQ\WHUUDLQWRWKHHQHP\
ZKLOHWKH\GHOD\LQDQRWKHUDUHDWRFUHDWHWKHLOOXVLRQRIVXFFHVV6XERUGLQDWHXQLWVFRQGXFWLQJDGHOD\FDQ
FDXVHWKHHQHP\WRSHUFHLYHVXFFHVVFUHDWLQJDQRSSRUWXQLW\IRUWKHVWULNLQJIRUFHWRDWWDFN&RPPDQGHUV
PD\DOVRSODQWRHQWLFHWKHDGYDQFLQJHQHP\LQWRDQ($E\DSSHDULQJWRXQFRYHURUZHDNO\GHIHQGDQDUHD
LQWRZKLFKWKHHQHP\GHVLUHVWRPRYH
 &RPPDQGHUVPD\SODQRQHRUPRUHVSRLOLQJDWWDFNVWREUHDNXSWKHHQHP\¶VPRPHQWXPGLVUXSW
WKHHQHP\¶VWLPHWDEOHFDXVHWKHHQHP\WRVKLIWIRUFHVRUDOORZWLPHIRUIULHQGO\IRUFHVWRFRPSOHWHWKHLU
SUHSDUDWLRQV3ODQQLQJVKRXOGHQVXUHWKHVWULNLQJIRUFHFRPSULVHVWKHPD[LPXPFRPEDWSRZHUDYDLODEOHWR
WKHLUFRPPDQGHUDWWKHSURMHFWHGWLPHRIWKHLUDWWDFN$WDPLQLPXPWKHVWULNLQJIRUFH¶VHOHPHQWVKDYHHTXDO
RUJUHDWHUFRPEDWSRZHUWKDQWKHIRUFHWKH\DUHGHVLJQHGWRGHIHDWRUGHVWUR\)LUHVXSSRUWDVVHWVFDQRIIVHW
PDQHXYHUIRUFHVKRUWIDOOV
 7KHSODQIRUWKHPRELOHGHIHQVHLQFRUSRUDWHVREVWDFOHUHVWULFWHG]RQHVWKDWDOORZVXERUGLQDWHXQLWV
IOH[LELOLW\ LQ SRVLWLRQLQJ 7KH KHDGTXDUWHUV¶ JHRVSDWLDO LQIRUPDWLRQ VXSSRUW WHDP SURYLGHV QHHGHG WHUUDLQ
SURGXFWVWRVXSSRUWWKHSODQQLQJSURFHVV6SHFLILFWHUUDLQDQDO\VLVSURGXFWVKHOSPDQHXYHUSODQQLQJDQGDLG
LQGHVLJQLQJREVWDFOHV\VWHPVWRFRPSOHPHQWPDQHXYHUSODQV

2UJDQL]DWLRQRI)RUFHVIRUD0RELOH'HIHQVH
 'LYLVLRQVDQGODUJHUHFKHORQ IRUPDWLRQV QRUPDOO\H[HFXWH PRELOHGHIHQVHV%&7VDQGPDQHXYHU
EDWWDOLRQVSDUWLFLSDWHLQDPRELOHGHIHQVHDVSDUWRIDIL[LQJIRUFHRUDVWULNLQJIRUFHEHFDXVHXQLWVVPDOOHU
WKDQDGLYLVLRQGRQRWKDYHWKHFDSDELOLW\WRILJKWPXOWLSOHHQJDJHPHQWVWKURXJKRXWWKHZLGWKGHSWKDQG
KHLJKWRIWKHLU$2VZKLOHVLPXOWDQHRXVO\UHVRXUFLQJVWULNLQJIL[LQJDQGUHVHUYHIRUFHV%&7VFDQFRQVWLWXWH
DSRUWLRQRIWKHUHVHUYH
 &RPPDQGHUVRUJDQL]HWKHPDLQERG\LQWRWZRSULQFLSDO JURXSVWKHIL[LQJIRUFHDQGWKHVWULNLQJ
IRUFH ,Q WKH PRELOH GHIHQVH UHFRQQDLVVDQFH DQG VHFXULW\ UHVHUYH FRQVROLGDWLRQ DQG VXVWDLQLQJ IRUFHV
DFFRPSOLVKWKHVDPHWDVNVDVLQDQDUHDGHIHQVH&RPPDQGHUVFRPSOHWHDQ\UHTXLUHGDGMXVWPHQWVLQWDVN
RUJDQL]DWLRQEHIRUHFRPPLWWLQJVXERUGLQDWHXQLWVWRFRPEDW

Fixing Force
 7KHIL[LQJIRUFHWXUQVEORFNVDQGGHOD\VWKHDWWDFNLQJHQHP\IRUFH7KHFRPPDQGHURUJDQL]HVLW
ZLWKWKHPLQLPXPFRPEDWSRZHUQHHGHGWRDFFRPSOLVKLWVPLVVLRQ,WWULHVWRVKDSHWKHHQHP\SHQHWUDWLRQ
RUFRQWDLQWKHHQHP\¶VDGYDQFH7\SLFDOO\LWKDVPRVWRIWKHFRXQWHUPRELOLW\DVVHWVRIWKHGHIHQGLQJXQLW
7KHIL[LQJIRUFHPD\FRQGXFWGHIHQVLYHDFWLRQVRYHUFRQVLGHUDEOHGHSWKZLWKLQWKH0%$+RZHYHULWPXVW
EH SUHSDUHG WR VWRS DQG KROG WHUUDLQ RQ VKRUW QRWLFH WR DVVLVW WKH VWULNLQJ IRUFH RQ LWV FRPPLWPHQW 7KH
RSHUDWLRQVRIWKHIL[LQJIRUFHHVWDEOLVKWKHFRQGLWLRQVIRUDGHFLVLYHDWWDFNE\WKHVWULNLQJIRUFHDWDIDYRUDEOH
WDFWLFDOORFDWLRQ7KHIL[LQJIRUFHH[HFXWHVLWVSRUWLRQRIWKHEDWWOHHVVHQWLDOO\DVDFRPELQDWLRQRIDQDUHD
GHIHQVHDQGDGHOD\LQJDFWLRQ7KHDFWLRQVRIWKHIL[LQJIRUFHDUHVKDSLQJRSHUDWLRQV

Striking Force
 7KHVWULNLQJIRUFHGHFLVLYHO\HQJDJHVWKHHQHP\DVDWWDFNLQJHQHP\IRUFHVEHFRPHH[SRVHGLQWKHLU
DWWHPSWVWRRYHUFRPHWKHIL[LQJIRUFH7KHWHUP³VWULNLQJIRUFH´LVXVHGUDWKHUWKDQUHVHUYHEHFDXVHWKHWHUP

6-40 FM 3-0 6 October 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

³UHVHUYH´LQGLFDWHVDQXQFRPPLWWHGIRUFH7KHVWULNLQJIRUFHLVDFRPPLWWHGIRUFHDQGKDVWKHUHVRXUFHVWR
FRQGXFWDGHFLVLYHFRXQWHUDWWDFNDVSDUWRIWKHPRELOHGHIHQVH,WLVWKHFRPPDQGHU¶VGHFLVLYHRSHUDWLRQ
 7KHVWULNLQJIRUFHFRQWDLQVWKHPD[LPXPFRPEDWSRZHUDYDLODEOHWRDFRPPDQGHUDWWKHWLPHRIWKH
XQLW¶VFRXQWHUDWWDFN7\SLFDOO\WKHVWULNLQJIRUFHLQD PRELOHGHIHQVHPD\FRQVLVWRIRQH KDOIWRWZRWKLUGV
RIWKHGHIHQGHU¶VFRPEDWSRZHU7KH VWULNLQJIRUFHLVDFRPELQHGDUPVIRUFHWKDWKDVJUHDWHUFRPEDWSRZHU
DQG PRELOLW\WKDQWKHIRUFHLWVHHNVWRGHIHDWRUGHVWUR\&RPPDQGHUVFRQVLGHUWKHHIIHFWVRIVXUSULVHZKHQ
GHWHUPLQLQJWKHUHODWLYHFRPEDWSRZHURIWKHVWULNLQJIRUFHDQGLWVWDUJHWHGHQHP\XQLW7KHVWULNLQJIRUFHLV
QRUPDOO\IXOO\WDVNRUJDQL]HGZLWKDOOIXQFWLRQDODQGPXOWLIXQFWLRQDOVXSSRUWDQG VXVWDLQPHQWDVVHWVEHIRUH
LWVDFWXDOFRPPLWPHQW&RPPDQGHUVLQWHJUDWHHQJLQHHUPRELOLW\HQKDQFLQJDVVHWVLQWRWKHOHDGHOHPHQWVRI
WKHVWULNLQJIRUFH
 7KHFRPPDQGHUUHVSRQVLEOHIRUWKHRYHUDOOPRELOHGHIHQVHVKRXOGUHWDLQFRQWURORIWKHVWULNLQJIRUFH
XQOHVVFRPPXQLFDWLRQGLIILFXOWLHVPDNHWKLVLPSRVVLEOH1RUPDOO\WKLVLVWKHFRUSVRUGLYLVLRQFRPPDQGHU
7KHGHIHQGLQJFRPPDQGHU¶VPRVWFULWLFDOGHFLVLRQVDUHZKHQZKHUHDQGXQGHUZKDWFRQGLWLRQVWRFRPPLW
WKHVWULNLQJIRUFH7KHGHIHQGLQJFRPPDQGHUQRUPDOO\DFFRPSDQLHVWKHVWULNLQJIRUFHXSRQLWVFRPPLWPHQW

Reserve
 5HVRXUFLQJD UHVHUYHLQ D PRELOHGHIHQVHLV GLIILFXOWDQG UHTXLUHVFRPPDQGHUVWR DVVXPHULVN
&RPPDQGHUVJHQHUDOO\XVHWKHUHVHUYHWRVXSSRUWWKHIL[LQJIRUFH+RZHYHULIWKHUHVHUYHLVDYDLODEOHWRWKH
VWULNLQJIRUFHLWH[SORLWVWKHVXFFHVVRIWKHVWULNLQJIRUFH

&RQWURO0HDVXUHV IRUD0RELOH'HIHQVH
 $ FRPPDQGHUFRQGXFWLQJD PRELOHGHIHQVHXVHVFRQWUROPHDVXUHVWRV\QFKURQL]HWKHRSHUDWLRQ
7KHVHFRQWUROPHDVXUHVLQFOXGHGHVLJQDWLQJWKH$2V RIWKHIL[LQJDQG VWULNLQJIRUFHVZLWKWKHLUDVVRFLDWHG
ERXQGDULHVEDWWOHSRVLWLRQVDQG3/V7KH GHIHQGLQJFRPPDQGHUGHVLJQDWHVDOLQHRIGHSDUWXUHRUDOLQHRI
FRQWDFWDVSDUWRIWKHJUDSKLFFRQWUROPHDVXUHVIRUWKHVWULNLQJIRUFH7KHFRPPDQGHUPD\GHVLJQDWHDQD[LV
RIDGYDQFH IRUWKHVWULNLQJIRUFH7KHFRPPDQGHUFDQGHVLJQDWHDWWDFNE\ ILUHRUVXSSRUWE\ILUHSRVLWLRQV
7KH FRPPDQGHUXVHV($V 753V7$,V DQG )3)VDVQHFHVVDU\7KH FRPPDQGHUGHVLJQDWHV1$,V WRIRFXV
WKHHIIRUWVRILQIRUPDWLRQFROOHFWLRQDVVHWV7KLV DOORZVWKHFRPPDQGHUWRGHWHUPLQHWKHHQHP\¶VFKRVHQ
FRXUVHRIDFWLRQ7KH FRPPDQGHUGHVLJQDWHVFKHFNSRLQWVFRQWDFWSRLQWVSDVVDJHSRLQWVDQGSDVVDJHODQHV
IRUXVHE\UHFRQQDLVVDQFHDQGVXUYHLOODQFHDVVHWVVHFXULW\XQLWVDQG
WKHVWULNLQJIRUFH 6HHILJXUH 
 &RPPDQGHUVDQG VWDIIVFRQVLGHUQRWRQO\FXUUHQWRSHUDWLRQV
EXW DOVR IXWXUH RSHUDWLRQV ZKHQ SODQQLQJ REVWDFOHV (IIHFWLYH
REVWDFOHVEORFNWXUQRUIRUFHDQHQHP\ WRDWWHPSWWREUHDFKWKHP
&RPPDQGHUVLQWHJUDWHREVWDFOHVZLWK ILUHVIRUJUHDWHUHIIHFWLYHQHVV
&RPPDQGHUVGHVLJQWKHHPSODFHPHQWRIREVWDFOHVVXSSRUWLQJFXUUHQW
RSHUDWLRQV VR WKDW WKH\ GR QRW KLQGHU IXWXUH RSHUDWLRQV $Q\
FRPPDQGHU DXWKRUL]HG WR HPSOR\ REVWDFOHVFDQ GHVLJQDWH FHUWDLQ
REVWDFOHVWRVKDSH WKHEDWWOHILHOGDV KLJKSULRULW\UHVHUYHREVWDFOHV
&RPPDQGHUV DVVLJQ UHVSRQVLELOLW\IRUSUHSDUDWLRQ WRD VXERUGLQDWH
XQLWEXW UHWDLQDXWKRULW\IRURUGHULQJWKHLUFRPSOHWLRQ2QHH[DPSOH
RIDUHVHUYHREVWDFOHLVDKLJKZD\ EULGJHRYHUDPDMRUULYHUGHVLJQDWHG
IRU GHPROLWLRQ 6XFK REVWDFOHV UHFHLYH WKH KLJKHVW SULRULW\ LQ
SUHSDUDWLRQDQG LIRUGHUHGH[HFXWLRQE\ WKHGHVLJQDWHGVXERUGLQDWH Figure 6-24. Checkpoint
XQLW $ checkpoint LVDSUHGHWHUPLQHG
SRLQW RQWKHJURXQGXVHGWR
([HFXWLQJ D0RELOH'HIHQVH FRQWUROPRYHPHQW WDFWLFDO
PDQHXYHU DQGRULHQWDWLRQ
 $ FRPPDQGHU H[HFXWLQJ D PRELOH GHIHQVHPXVW KDYH WKH $'53 
IOH[LELOLW\ WR \LHOG WHUUDLQ DQG VKDSH WKH HQHP\ SHQHWUDWLRQ $
FRPPDQGHU PD\ HQWLFH DQ HQHP\ E\ DSSHDULQJ WR XQFRYHU DQ
REMHFWLYHRI YDOXH WR WKH HQHP\ 7KH VWULNLQJ IRUFHPDQHXYHUV WR FRQGXFW WKH GHFLVLYH RSHUDWLRQ²WKH

6 December 2017 FM 3-0, C1 6-41


Chapter 6

FRXQWHUDWWDFN²RQFHWKHUHVXOWVRIWKHDFWLRQVRIWKHIL[LQJIRUFHVKDSHWKHVLWXDWLRQWRPHHWWKHFRPPDQGHU¶V
LQWHQW
 )L[LQJWKHHQHP\HVWDEOLVKHVWKHFRQGLWLRQVQHFHVVDU\IRUGHFLVLYHRSHUDWLRQVE\WKHVWULNLQJIRUFH
7\SLFDOO\ WKHFRPPDQGHURIWKHGHIHQGLQJIRUFHDOORZVWKHHQHP\IRUFHWRSHQHWUDWHWKH0%$ EHIRUHWKH
VWULNLQJIRUFHDWWDFNV )LJXUHLOOXVWUDWHVWKLVFRQFHSW 7KHIL[LQJIRUFHPD\HPSOR\DFRPELQDWLRQRI
DUHDGHIHQVHGHOD\DQGVWURQJSRLQWWHFKQLTXHVWRVKDSHWKHHQHP\SHQHWUDWLRQ7KHLQWHQWRIWKHIL[LQJIRUFH
LVQRWQHFHVVDULO\WRGHIHDWWKHHQHP\EXWWRVKDSHWKHSHQHWUDWLRQWRIDFLOLWDWHDGHFLVLYHFRXQWHUDWWDFNE\WKH
VWULNLQJIRUFH&RPPDQGHUVHQVXUHWKDWWKHPLVVLRQVDQG WDVNRUJDQL]DWLRQRIVXERUGLQDWHXQLWVZLWKLQWKH
IL[LQJIRUFHDUHFRQVLVWHQWZLWKWKHFRQFHSWIRUVKDSLQJ WKHHQHP\SHQHWUDWLRQ'HIHQVLYHSRVLWLRQVZLWKLQ
WKHIL[LQJIRUFHPD\QRWEHFRQWLJXRXVVLQFHWKHIL[LQJIRUFHFRQWDLQVRQO\WKHPLQLPXPHVVHQWLDOFRPEDW
SRZHUWRDFFRPSOLVKLWVPLVVLRQ

+Figure 6-25. Mobile defense before the striking force’s commitment

 7KHGHIHQGLQJFRPPDQGHUODXQFKHVWKHVWULNLQJIRUFHLQDFRXQWHUDWWDFNZKHQLWVRIIHQVLYHSRZHU
UHODWLYHWRWKDWRIWKHWDUJHWHGHQHP\HOHPHQWLVWKHJUHDWHVW3LHFHPHDOFRPPLWPHQWRIWKHVWULNLQJIRUFHLQ
VXSSRUWRIORFDOREMHFWLYHVMHRSDUGL]HVWKHVXFFHVVRIWKHRYHUDOORSHUDWLRQ7KHVWULNLQJIRUFHPXVWH[HFXWH
WKHFRXQWHUDWWDFNUDSLGO\DQGYLROHQWO\HPSOR\LQJDOOFRPEDWSRZHUQHFHVVDU\WRHQVXUHVXFFHVV7KHVWULNLQJ
IRUFHPD\EHFRPPLWWHGDWDGLIIHUHQWWLPHWKDQ DQWLFLSDWHGDQG LQDQ HQWLUHO\GLIIHUHQWDUHDWKDQSODQQHG
7KXV LWPXVWEHDEOHWRUHVSRQGWRXQH[SHFWHGGHYHORSPHQWVUDSLGO\DQG GHFLVLYHO\)LJXUH LOOXVWUDWHV
WKHPRELOHGHIHQVHDIWHUFRPPLWPHQWRIWKHVWULNLQJIRUFH 6HH)0IRUDGGLWLRQDOLQIRUPDWLRQRQWKH
H[HFXWLRQRIPRELOHGHIHQVHRSHUDWLRQV 

5(752*5$'(
 7KH UHWURJUDGHLV D GHIHQVLYH WDVN WKDW LQYROYHV RUJDQL]HG PRYHPHQW DZD\ IURP WKH HQHP\
$'53 $QHQHP\PD\IRUFHWKHVHRSHUDWLRQVRUDFRPPDQGHUPD\H[HFXWHWKHPYROXQWDULO\,QHLWKHU
FDVHWKHKLJKHUHFKHORQFRPPDQGHURIDIRUFHH[HFXWLQJDUHWURJUDGHPXVWDSSURYHWKHUHWURJUDGHRSHUDWLRQ
EHIRUHLWVLQLWLDWLRQ$ UHWURJUDGHLVD WUDQVLWLRQDORSHUDWLRQ,W LVQRWFRQGXFWHGLQLVRODWLRQ,WLVSDUWRID
ODUJHUVFKHPHRIPDQHXYHUGHVLJQHGWRUHJDLQWKHLQLWLDWLYHDQGGHIHDWWKHHQHP\

6-42 FM 3-0, C1 6 December 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

Figure 6-26. Mobile defense after commitment of striking force

 7KHWKUHHIRUPVRIWKHUHWURJUDGHDUHGHOD\ZLWKGUDZDODQGUHWLUHPHQW$GHOD\LQJRSHUDWLRQLVDQ
RSHUDWLRQLQZKLFKDIRUFHXQGHUSUHVVXUHWUDGHVVSDFHIRUWLPHE\VORZLQJGRZQWKHHQHP\¶VPRPHQWXP
DQGLQIOLFWLQJPD[LPXPGDPDJHRQWKHHQHP\ZLWKRXWLQSULQFLSOHEHFRPLQJGHFLVLYHO\HQJDJHG -3 
,Q GHOD\V XQLWV \LHOG JURXQG WR JDLQ WLPH ZKLOH UHWDLQLQJ IOH[LELOLW\ DQG IUHHGRP RI DFWLRQ WR LQIOLFW WKH
PD[LPXPGDPDJHRQDQHQHP\$ZLWKGUDZDORSHUDWLRQLVDSODQQHGUHWURJUDGHRSHUDWLRQLQZKLFKDIRUFH
LQ FRQWDFW GLVHQJDJHV IURP DQ HQHP\ IRUFH DQG PRYHV LQ D GLUHFWLRQ DZD\ IURP WKH HQHP\ -3  
:LWKGUDZLQJXQLWVZKHWKHUDOORUSDUWRIDFRPPLWWHGIRUFHYROXQWDULO\GLVHQJDJHIURPDQHQHP\WRSUHVHUYH
WKHIRUFHRUUHOHDVHLWIRUDQHZPLVVLRQ$ZLWKGUDZDOLVWKHULVNLHVWRIDOORSHUDWLRQV'HFHSWLRQRSHUDWLRQV
FDQUHGXFHWKLVRSHUDWLRQDOULVN$UHWLUHPHQWLVDIRUPRIUHWURJUDGHLQZKLFKDIRUFHRXWRIFRQWDFWPRYHV
DZD\IURPWKHHQHP\ $'53 ,QHDFKIRUPRIWKHUHWURJUDGHDIRUFHQRWLQFRQWDFWZLWKDQHQHP\
PRYHVWRDQRWKHUORFDWLRQQRUPDOO\E\DWDFWLFDOURDGPDUFK,QDOOUHWURJUDGHRSHUDWLRQVILUPFRQWURORI
IULHQGO\PDQHXYHUHOHPHQWVLVDSUHUHTXLVLWHIRUVXFFHVV
 )ULHQGO\ IRUFHV FRQGXFWLQJ UHWURJUDGH RSHUDWLRQV PDNH PD[LPXP XVH RI DYDLODEOH FRPEDW
PXOWLSOLHUVWRUHGXFHULVN7KHVHFRPEDW PXOWLSOLHUVDUHQRWQHFHVVDULO\RUJDQLFWRWKHUHWURJUDGLQJ IRUFH
([DPSOHV RI QRQRUJDQLF FRPEDW PXOWLSOLHUV LQFOXGH WKH XVH RI (: WRREVFXUH SRUWLRQV RI WKH (06 WKDW
HQHP\ WHFKQLFDO V\VWHPV QHHG WR GHWHFW WKH UHDUZDUG PRYHPHQW RI IULHQGO\ IRUFHV 1RQRUJDQLF FRPEDW
PXOWLSOLHUVFRXOGDOVRLQFOXGH0,/'(&DFWLYLWLHVE\RWKHUXQLWV

'HOD\
 7KHFRUSVRUGLYLVLRQSODQVSHFLILHVFHUWDLQSDUDPHWHUVWRWKHVXERUGLQDWHXQLWVFRQGXFWLQJWKHGHOD\
)LUVWLWGLUHFWVRQHRIWZRDOWHUQDWLYHVGHOD\ZLWKLQWKHLU$2VRUGHOD\IRUZDUGRIDVSHFLILHGWULJJHUOLQHRU
WHUUDLQIHDWXUHIRUDVSHFLILHGWLPH 6HHILJXUHRQSDJH 7KHVHFRQGSDUDPHWHULVWKDWWKHRUGHU
VSHFLILHV WKH DFFHSWDEOH ULVN 7KH FRPPDQGHU SUHVFULEHV WKH GHOD\LQJ IRUFH¶V PLVVLRQ FRPSRVLWLRQ DQG
LQLWLDOORFDWLRQ7KHGHOD\LQJIRUFHDFFRPSOLVKHVLWVPLVVLRQE\GHOD\LQJRQVXFFHVVLYHSRVLWLRQVE\GHOD\LQJ
RQDOWHUQDWHSRVLWLRQVRUE\DFRPELQDWLRQRIWKHWZR,WDOVRDWWDFNVGHIHQGVIHLQWVRUGHPRQVWUDWHV 6HH

6 October 2017 FM 3-0 6-43


Chapter 6

FKDSWHURI)0IRUDGGLWLRQDOSODQQLQJSUHSDUDWLRQDQGH[HFXWLRQFRQVLGHUDWLRQVIRUFRQGXFWLQJD
GHOD\ 
 7KH GHOD\ LV RQH RI WKH PRVW GHPDQGLQJ JURXQG
FRPEDW RSHUDWLRQV $ GHOD\ ZHDUV GRZQ WKH HQHP\ VR WKDW $disengagement lineLVDSKDVHOLQH
ORFDWHGRQLGHQWLILDEOHWHUUDLQWKDWZKHQ
IULHQGO\ IRUFHV FDQ UHJDLQ WKH LQLWLDWLYH WKURXJK RIIHQVLYH
FURVVHGE\WKHHQHP\VLJQDOVWR
DFWLRQ EX\ WLPH WR HVWDEOLVK DQ HIIHFWLYH GHIHQVH RU GHIHQGLQJHOHPHQWVWKDWLWLVWLPHWR
GHWHUPLQH HQHP\ LQWHQWLRQV DV SDUW RI WKH SHUIRUPDQFH RI GLVSODFHWRWKHLUQH[WSRVLWLRQ $'53
HFKHORQ VHFXULW\ WDVNV 1RUPDOO\ LQ D GHOD\ LQIOLFWLQJ  7KHFRPPDQGHUXVHVWKLVOLQHLQWKH
FDVXDOWLHV RQ WKH HQHP\ LV VHFRQGDU\ WR JDLQLQJ WLPH )RU GHOD\DQGWKHGHIHQVHZKHQWKH
H[DPSOHDIODQNVHFXULW\IRUFHFRQGXFWVDGHOD\RSHUDWLRQWR FRPPDQGHUGRHVQRWZDQWWKHGHIHQGLQJ
SURYLGH WLPH IRU WKH SURWHFWHG IRUFH WR HVWDEOLVK D YLDEOH XQLWWREHFRPHGHFLVLYHO\HQJDJHG7KH
GHIHQVHDORQJLWVWKUHDWHQHGIODQN([FHSWZKHQGLUHFWHGWR FRPPDQGHUHVWDEOLVKHVFULWHULDIRUWKH
SUHYHQWHQHP\SHQHWUDWLRQRID3/IRUDVSHFLILFGXUDWLRQD GLVHQJDJHPHQWVXFKDVQXPEHURI
HQHP\YHKLFOHVE\W\SHIULHQGO\ORVVHV
IRUFH FRQGXFWLQJ D GHOD\ QRUPDOO\ GRHV QRW EHFRPH
RUHQHP\PRYHPHQWWRIODQNLQJ
GHFLVLYHO\ HQJDJHG 7KH IL[LQJ IRUFH LQ D PRELOH GHIHQVH ORFDWLRQV&RPPDQGHUVPD\GHVLJQDWH
PLJKWDOVRFRQGXFWDGHOD\WRPDQHXYHUWKHDWWDFNLQJHQHP\ PXOWLSOHGLVHQJDJHPHQWOLQHVRQHIRU
IRUFH LQWR D ORFDWLRQ ZKHUH WKH VWULNLQJ IRUFH FDQ PDNH D HDFKV\VWHPLQWKHGHIHQVH
GHFLVLYHDWWDFNRQHQHP\IRUFHHOHPHQWVWRGHIHDWWKDWHQHP\
IRUFHLQGHWDLO
 $GHOD\RSHUDWLRQFDQRFFXUZKHQDFRPPDQGHUGRHVQRWKDYHHQRXJKIULHQGO\IRUFHVWRDWWDFNRU
GHIHQG,W PD\DOVRRFFXUEDVHGRQD XQLW¶V PLVVLRQLQFRQMXQFWLRQ ZLWKD KLJKHUHFKHORQFRPPDQGHU¶V
LQWHQW7KHGHFLVLRQWRFRQGXFWDGHOD\PD\QRWEHEDVHGRQWKHXQLW¶VFRPEDWSRZHUEXWEHFDXVHRIRWKHU
UHDVRQV )RU H[DPSOH GXULQJ WKH SHUIRUPDQFH RI VHFXULW\ WDVNV D FRPPDQGHU PD\ FRQGXFW D GHOD\ DV D
VKDSLQJ RSHUDWLRQ WR GUDZ DQ HQHP\ LQWR DQ DUHD ZKHUH WKH DWWDFNLQJ HQHP\ IRUFH LV YXOQHUDEOH WR D
FRXQWHUDWWDFN$QRWKHUH[DPSOHLVZKHQDFRPPDQGHUGLUHFWVDGHOD\DVDQHFRQRP\RIIRUFHPHDVXUHWR
DOORZWKHFRPPDQGHUWRPDVVFRPEDWSRZHUDQGFRQGXFWRIIHQVLYHDFWLRQVHOVHZKHUH
 7KH DELOLW\ RI D IRUFH WR WUDGH
VSDFH IRU WLPH UHTXLUHV GHSWK ZLWKLQ WKH
$2 DVVLJQHG WR WKH GHOD\LQJ IRUFH 7KH
DPRXQW RI GHSWK UHTXLUHG GHSHQGV RQ
VHYHUDOIDFWRUVLQFOXGLQJWKH²
z $PRXQWRIWLPHWREHJDLQHG
z 5HODWLYH FRPEDW SRZHU RI
IULHQGO\DQGHQHP\IRUFHV
z 5HODWLYHPRELOLW\RIWKHIRUFHV
z 1DWXUHRIWKHWHUUDLQ
z $ELOLW\ WR VKDSH WKH $2 ZLWK
REVWDFOHVDQGILUHV
z 'HJUHHRIDFFHSWDEOHULVN

2UGLQDULO\WKHJUHDWHUWKHDYDLODEOHGHSWK 
ZLWKLQDQ$2WKHORZHUWKHULVNLQYROYHG  Figure 6-27. Trigger line
WR WKH GHOD\LQJ IRUFH DQG WKH JUHDWHU WKH $trigger lineLVDSKDVHOLQHORFDWHGRQLGHQWLILDEOHWHUUDLQ
FKDQFHIRUVXFFHVV WKDWFURVVHVWKHHQJDJHPHQWDUHDWKDWLVXVHGWRLQLWLDWH
DQGPDVVILUHVLQWRDQHQJDJHPHQWDUHDDWD
Organization of Forces for a Delay SUHGHWHUPLQHGUDQJHIRUDOORUOLNHZHDSRQV\VWHPV
$'53 7KHFRPPDQGHUFDQGHVLJQDWHRQHWULJJHU
 $FRPPDQGHUQRUPDOO\RUJDQL]HV OLQHIRUDOOZHDSRQV\VWHPVRUVHSDUDWHWULJJHUOLQHVIRU
WKH GHOD\LQJ IRUFH LQWR D PDLQ ERG\ D HDFKZHDSRQRUW\SHRIZHDSRQV\VWHP
VHFXULW\IRUFHDQGDUHVHUYH7KHVHFXULW\
IRUFHXVXDOO\FRQGXFWVDVFUHHQIRUZDUGRI
WKHLQLWLDOGHOD\SRVLWLRQV7KHVHFXULW\IRUFHPD\EHDUHLQIRUFHGDUPRUHGEULJDGHFRPEDWWHDP $%&7 RU
6WU\NHUEULJDGHFRPEDWWHDP 6%&7 IRUDFRUSVRUGLYLVLRQFRQGXFWLQJDGHOD\7KHFRUSVVHFXULW\IRUFH

6-44 FM 3-0 6 October 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

FRXOGEHDGLYLVLRQVL]HHOHPHQW)RUD%&7FRQGXFWLQJDGHOD\WKHVHFXULW\IRUFHPD\FRQVLVWRIWKH%&7
FDYDOU\VTXDGURQRUDEDWWDOLRQWDVNIRUFH

Control Measures for a Delay


 $ GHOD\ FRQVLVWV RI D VHULHV RI PXWXDOO\ VXSSRUWLQJ LQGHSHQGHQW VPDOO DFWLRQV RFFXUULQJ
VLPXOWDQHRXVO\DFURVVWKH)/27,QDGHOD\VXERUGLQDWHVUHTXLUHIUHHGRPRIDFWLRQ&RPPRQJUDSKLFVXVHG
LQ D GHOD\ LQFOXGH $2V 3/V EDWWOH SRVLWLRQV FRQWDFW SRLQWV FKHFNSRLQWV ($V WULJJHU OLQHV 753V DQG
GLVHQJDJHPHQWOLQHV7KHGHOD\LQJFRPPDQGHUGHVLJQDWHVFRQWDFWSRLQWVLQIURQWRIEHWZHHQDQGEHKLQG
XQLWVWRDVVLVWFRRUGLQDWLRQHQVXUHFRQWLQXLW\RIWKHGHOD\DQGGUDZDWWHQWLRQWRHQHP\DYHQXHVRIDSSURDFK
LQWRXQLWIODQNV
 7KH XQLW FRPPDQGHU GHVLJQDWHV DGGLWLRQDO 3/V EH\RQG WKRVH HVWDEOLVKHG E\ WKH KLJKHU HFKHORQ
FRPPDQGHUDVQHFHVVDU\WRFRQWUROWKHXQLW¶VPRYHPHQWGXULQJWKHGHOD\$GHOD\OLQHLVDSKDVHOLQHZKHUH
WKHGDWHDQGWLPHEHIRUHZKLFKWKHHQHP\LVQRWDOORZHGWRFURVVWKHSKDVHOLQHLVGHSLFWHGDVSDUWRIWKH
JUDSKLFFRQWUROPHDVXUH )0 'HVLJQDWLQJGHOD\OLQHVLVDFRPPDQGGHFLVLRQWKDWLPSRVHVDKLJK
GHJUHHRIULVNRQWKHGHOD\LQJXQLW7KHGHOD\LQJXQLWPXVWGRHYHU\WKLQJLQLWVSRZHULQFOXGLQJDFFHSWLQJ
GHFLVLYHHQJDJHPHQWWRSUHYHQWWKHHQHP\IURPFURVVLQJWKDWOLQHEHIRUHWKHWLPHLQGLFDWHG$GHOD\OLQH
PD\DOVREHHYHQWGULYHQ)RUH[DPSOHDFRPPDQGHUFDQRUGHUDGHOD\LQJXQLWWRSUHYHQWSHQHWUDWLRQRIWKH
GHOD\OLQHXQWLOVXSSRUWLQJHQJLQHHUVFRPSOHWHFRQVWUXFWLRQRIDUHDUZDUGREVWDFOHEHOW 6HH)0IRU
DGGLWLRQDOLQIRUPDWLRQRQWKHFRQGXFWRIGHOD\RSHUDWLRQV 

:LWKGUDZDO
 :LWKGUDZDOSODQQLQJEHJLQVZLWKSUHSDUDWLRQRIWKHSODQIRUWKHQH[WPLVVLRQ2QFHWKHQHZSODQLV
GUDZQXSWKHFRUSVGLYLVLRQDQGVXERUGLQDWHVWDIIVPDNHSODQVIRUWKHZLWKGUDZDOLQFOXGLQJ²
z 7KHORFDWLRQFRPSRVLWLRQDQGPLVVLRQRIVHFXULW\IRUFHV
z 7KHRUJDQL]DWLRQRIWKHZLWKGUDZLQJIRUFHIRUFRPEDW
z &RQWUROPHDVXUHVLQFOXGLQJURXWHVWUDIILFFRQWUROSRVWVDQG3/V
z )LUHVXSSRUWSODQV
z 6XVWDLQPHQWSULRULWLHV
z 0,/'(&RSHUDWLRQVWRSUHVHUYHWKHIRUFH

 1RUPDOO\ WKH FRUSV RU GLYLVLRQ ZLWKGUDZDO SODQ HPSOR\V D FRYHULQJ IRUFH WR SUHVHUYH WKH
FRPPDQG¶V LQWHJULW\ 7KHUHIRUH ZKHQ SODQQLQJ WR FRQGXFW D ZLWKGUDZDO XQGHU SUHVVXUH D FRPPDQGHU
UHVRXUFHVDVWURQJFRYHULQJIRUFH7KHFDSDELOLWLHVRI$%&7VDQG6%&7VPDNHWKHPPRVWVXLWDEOHIRUXVH
DVDFRYHULQJIRUFHGXULQJWKHFRQGXFWRIDZLWKGUDZDO$Q,%&7QHHGVUHLQIRUFHPHQWE\DGGLWLRQDOILUHV
DQWLDUPRUHQJLQHHUDYLDWLRQDQGWUDQVSRUWDWLRQDVVHWVEHIRUHLWFDQDFWDVDFRYHULQJIRUFH
 :LWKGUDZDOVDUHLQKHUHQWO\GDQJHURXVEHFDXVHWKH\LQYROYHPRYLQJXQLWVWRWKHUHDUDQGDZD\IURP
ZKDWLVXVXDOO\DVWURQJHUHQHP\IRUFH7KHKHDYLHUWKHSUHYLRXVILJKWLQJDQGWKHFORVHUWKHFRQWDFWZLWKWKH
HQHP\WKHPRUHGLIILFXOWWKHZLWKGUDZDO236(&LVH[WUHPHO\LPSRUWDQW$XQLWXVXDOO\FRQILQHVLWVUHDUZDUG
PRYHPHQWWRWLPHVDQGFRQGLWLRQVZKHQWKHDGYDQFLQJHQHP\IRUFHFDQQRWREVHUYHWKHDFWLYLW\VRWKDWWKH
HQHP\ FDQQRW HDVLO\ GHWHFW WKH RSHUDWLRQ 7R KHOS SUHVHUYH VHFUHF\ DQG IUHHGRP RI DFWLRQ IRU H[DPSOH
FRPPDQGHUVPXVWFRQVLGHUYLVLELOLW\FRQGLWLRQVDQGWLPHVZKHQHQHP\UHFRQQDLVVDQFHVDWHOOLWHVFDQREVHUYH
IULHQGO\ PRYHPHQWV 236(& LV HVSHFLDOO\ FULWLFDO GXULQJ WKH LQLWLDO VWDJHV RI D GHOD\ ZKHQ PRVW RI WKH
IXQFWLRQDODQGPXOWLIXQFWLRQDOVXSSRUWDQGVXVWDLQPHQWHOHPHQWVGLVSODFH
 $XQLWZLWKGUDZVWRDQDVVHPEO\DUHDRUDQHZGHIHQVLYHSRVLWLRQ$OWHUQDWLYHO\LWFDQZLWKGUDZ
LQGLUHFWO\ WR HLWKHU DUHD WKURXJK RQH RU PRUH LQWHUPHGLDWH SRVLWLRQV :KHQ SUHSDULQJ D QHZ SRVLWLRQ WKH
FRPPDQGHUEDODQFHVWKHQHHGIRUVHFXULW\ZLWKWKHQHHGWRJHWDQHDUO\VWDUWRQWKHGHIHQVLYHHIIRUW

Organization of Forces for a Withdrawal


 &RPPDQGHUVW\SLFDOO\RUJDQL]HDZLWKGUDZLQJXQLWLQWRDVHFXULW\IRUFHDPDLQERG\DQGDUHVHUYH
&RPPDQGHUVDOVRRUJDQL]HDGHWDFKPHQWOHIWLQFRQWDFWDQGVWD\EHKLQGIRUFHVLIWKHVFKHPHRIPDQHXYHU
UHTXLUHV WKHP &RPPDQGHUV DYRLG FKDQJLQJ WDVN RUJDQL]DWLRQ XQOHVV FLUFXPVWDQFHV GLFWDWH UDSLG WDVN

6 October 2017 FM 3-0 6-45


Chapter 6

RUJDQL]DWLRQFKDQJHVLPPHGLDWHO\EHIRUHWKHZLWKGUDZDOVXFKDVZKHQWKHXQLWPXVWFRQGXFWDQLPPHGLDWH
ZLWKGUDZDOWRSUHYHQWHQFLUFOHPHQW

Control Measures for a Withdrawal


 :LWKGUDZLQJ UHTXLUHV FDUHIXO FRRUGLQDWLRQ DPRQJ DOO IRUFHV LQYROYHG 7KURXJKRXW WKH RSHUDWLRQ
FRPPDQGHUVPXVWWLJKWO\FRQWUROUHDUZDUGPRYHPHQWDQGPDLQWDLQWKHDELOLW\WRFRQFHQWUDWHGHFLVLYHFRPEDW
SRZHUDWNH\WLPHVDQGSODFHV7KHFRQWUROPHDVXUHVXVHGLQDZLWKGUDZDODUHWKHVDPHDVWKRVHLQDGHOD\
RUGHIHQVH7KHURXWHVXVHGE\HDFKXQLWLQDZLWKGUDZDODQGWKHEORFNPRYHPHQWWLPHVDUHDOVRZLWKGUDZDO
FRQWUROPHDVXUHV 6HH)0IRUDGGLWLRQDOLQIRUPDWLRQRQWKHFRQGXFWRIZLWKGUDZDORSHUDWLRQV 

5HWLUHPHQW
$UHWUHDWLQJIRUFHFRYHUVLWVUHWLUHPHQWE\WKHGHWDLORIDUHDUJXDUG:KHQWURRSVKDYH
EHHQLQDFWLRQWKHUHDUJXDUGLVFRQVWLWXWHGIURPWKHOHDVWWULHGDYDLODEOHXQLWV
)LHOG6HUYLFH5HJXODWLRQV8QLWHG6WDWHV$UP\

 $UHWLUHPHQWLVDQRSHUDWLRQLQZKLFKDIRUFHRXWRIFRQWDFWPRYHVDZD\IURPWKHHQHP\5HWLUHPHQW
RSHUDWLRQVDUHDGPLQLVWUDWLYHLQQDWXUH+RZHYHUFRPPDQGHUVDQGVWDIIVFRQVLGHUVHFXULW\WKURXJKRXWWKH
SODQQLQJ SURFHVV $V LQ DOO WDFWLFDO PRYHPHQWV DOOURXQG VHFXULW\ RI WKH PDLQ ERG\ LV QHFHVVDU\ XVLQJ
DGYDQFHIODQNDQGUHDUVHFXULW\IRUFHV%UDQFKHVWRWKHSODQDGGUHVVHQHP\FDSDELOLWLHVWRHPSOR\/HYHO,
,,DQG,,,WKUHDWVDJDLQVWUHWLULQJXQLWVGXULQJWKHLUPRYHPHQW/HYHO,WKUHDWFRQVLGHUDWLRQVDGGUHVVWHUURULVW
DWWDFNVDORQJPRYHPHQWURXWHV
 &RPPDQGHUVXVXDOO\FRQGXFWUHWLUHPHQWRSHUDWLRQVWRUHSRVLWLRQIRUFHVIRUIXWXUHRSHUDWLRQVRUWR
DFFRPPRGDWH WKH FXUUHQW FRQFHSW RI RSHUDWLRQV $ UHWLULQJ XQLW RUJDQL]HV IRU FRPEDW EXW LW GRHV QRW
DQWLFLSDWHLQWHUIHUHQFHIURPHQHP\JURXQGIRUFHV7\SLFDOO\DQRWKHUXQLW¶VVHFXULW\IRUFHSURYLGHVVHFXULW\
GXULQJWKHPRYHPHQWRIWKHXQLWFRQGXFWLQJDUHWLUHPHQW+RZHYHUPRELOHHQHP\IRUFHVXQFRQYHQWLRQDO
IRUFHV DLU VWULNHV DLU DVVDXOW RSHUDWLRQV RU ORQJUDQJH ILUHV PD\ DWWHPSW WR LQWHUGLFW WKH UHWLULQJ XQLW
&RPPDQGHUVPXVWSODQIRUHQHP\DFWLRQVDQGRUJDQL]HWKHXQLWIRUVHOIGHIHQVH
 :KHQD ZLWKGUDZDOIURPDFWLRQSUHFHGHVDUHWLUHPHQW WKHDFWXDOUHWLUHPHQWEHJLQVDIWHUWKHXQLW
EUHDNVFRQWDFWDQGRUJDQL]HVLQWRLWVPDUFKIRUPDWLRQ:KLOHDIRUFHZLWKGUDZLQJZLWKRXWHQHP\SUHVVXUH
FDQ DOVR XVH PDUFK FROXPQV WKH GLIIHUHQFH EHWZHHQ WKH WZR VLWXDWLRQV LV WKH SUREDELOLW\ RI HQHP\
LQWHUIHUHQFH 8QLWV FRQGXFW UHWLUHPHQWV DV WDFWLFDO URDG PDUFKHV ZKHUH VHFXULW\ DQG VSHHG DUH WKH PRVW
LPSRUWDQWFRQVLGHUDWLRQV

Organization of Forces for a Retirement


 &RPPDQGHUVQRUPDOO\GHVLJQDWHIRUFHVWRSURYLGHDGYDQFHUHDUDQGIODQNVHFXULW\WRWKHPDLQERG\
LQDUHWLUHPHQW7KHIRUPDWLRQDQGQXPEHURIFROXPQVHPSOR\HGGXULQJDUHWLUHPHQWGHSHQGRQWKHQXPEHU
RIDYDLODEOHURXWHVDQGWKHSRWHQWLDOIRUHQHP\LQWHUIHUHQFH&RPPDQGHUVW\SLFDOO\PRYHPDMRUHOHPHQWVWR
WKHUHDUVLPXOWDQHRXVO\+RZHYHUDOLPLWHGURDGQHWRUDIODQNWKUHDWPD\UHTXLUHVWDJJHULQJDPRYHPHQWLQ
WHUPVRIWLPHDQGJURXQGORFDWLRQV

Control Measures for a Retirement


 7KHFRQWUROPHDVXUHVXVHGLQDUHWLUHPHQWDUHWKHVDPHDVWKRVHLQDGHOD\DQGDZLWKGUDZDO$VLQ
D ZLWKGUDZDO WKRURXJK SODQQLQJ DQG VWULFW DGKHUHQFH WR URXWHV DQG PRYHPHQW WLPHV IDFLOLWDWH DQ RUGHUO\
UHWLUHPHQW7\SLFDOO\FRPPDQGHUVFRQWUROPRYHPHQWXVLQJPRYHPHQWWLPHVURXWHVDQGFKHFNSRLQWV 6HH
)0  IRU PRUH LQIRUPDWLRQ RQ WKHVH PRYHPHQW FRQWURO PHDVXUHV 6HH )0  IRU DGGLWLRQDO
LQIRUPDWLRQRQWKHFRQGXFWRIUHWLUHPHQWRSHUDWLRQV 

'()(1',1*(1&,5&/('
 'HIHQGLQJIRUFHVFDQEHFRPHHQFLUFOHGDWDQ\WLPHGXULQJODUJHVFDOHFRPEDWRSHUDWLRQV7KLVLV
HVSHFLDOO\ WUXH GXULQJ QRQFRQWLJXRXV RSHUDWLRQV $Q HQFLUFOHG IRUFH FDQ FRQWLQXH WR GHIHQG HQFLUFOHG
FRQGXFWDEUHDNRXWH[ILOWUDWHWRZDUGRWKHUIULHQGO\IRUFHVRUDWWDFNGHHSHULQWRHQHP\FRQWUROOHGWHUULWRU\

6-46 FM 3-0 6 October 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

VHHSDUDJUDSKVWKURXJK $FRPPDQGHU¶VIRUPRIPDQHXYHURQFHEHFRPLQJHQFLUFOHGGHSHQGV
RQWKHVHQLRUFRPPDQGHU¶VLQWHQWDQGWKHPLVVLRQYDULDEOHVLQFOXGLQJWKH²
z $YDLODELOLW\RIGHIHQVLEOHWHUUDLQ
z 5HODWLYHFRPEDWSRZHURIIULHQGO\DQGHQHP\IRUFHV
z 6XVWDLQPHQWVWDWXVRIWKHHQFLUFOHGIRUFHDQGLWVDELOLW\WREHUHVXSSOLHGLQFOXGLQJWKHDELOLW\WR
WUHDWDQGHYDFXDWHZRXQGHG6ROGLHUV
z 0RUDOHDQGILJKWLQJFDSDFLW\RIWKH6ROGLHUV

 (QFLUFOHPHQWRIDIULHQGO\IRUFHLVPRVWOLNHO\WRRFFXUGXULQJKLJKO\PRELOHDQGIOXLGRSHUDWLRQV
RUZKHQRSHUDWLQJLQUHVWULFWLYHWHUUDLQ$XQLWPD\ILQGLWVHOIHQFLUFOHGDVDUHVXOWRILWVRIIHQVLYHDFWLRQVDV
D GHWDFKPHQWOHIWLQFRQWDFW ZKHQGHIHQGLQJD VWURQJSRLQW ZKHQRFFXS\LQJDFRPEDW RXWSRVW RU ZKHQ
GHIHQGLQJ DQ LVRODWHG GHIHQVLYH SRVLWLRQ &RPPDQGHUV DQWLFLSDWH EHFRPLQJ HQFLUFOHG ZKHQ DVVLJQHG D
VWD\EHKLQG IRUFH PLVVLRQ ZKHQ RFFXS\LQJ HLWKHU D VWURQJ SRLQW RU D FRPEDW RXWSRVW RU DW WKH RXWVHW RI
IRUFLEOHHQWU\RSHUDWLRQVEHIRUHDOLQNXSLVFRPSOHWHG7KHSULQFLSOHVRIGHIHQGLQJHQFLUFOHGDOVRDSSO\WR
EDVHDQGEDVHFOXVWHUGHIHQVHLQVXSSRUWDQGFRQVROLGDWLRQDUHDV
 7KH VHQLRU FRPPDQGHU H[FHSW $UP\ 0HGLFDO 'HSDUWPHQW RIILFHUV  LQ DQ HQFLUFOHPHQW DVVXPHV
FRPPDQG RYHU DOO HQFLUFOHG IRUFHV DQG WDNHV LPPHGLDWH DFWLRQ WR SURWHFW WKHP :KHQ WKDW FRPPDQGHU
GHWHUPLQHVWKHXQLWLVDERXWWREHHQFLUFOHGWKHFRPPDQGHUPXVWGHFLGHTXLFNO\ZKDWDVVHWVVWD\DQGZKDW
DVVHWVOHDYH7KHFRPPDQGHULPPHGLDWHO\LQIRUPVKLJKHUKHDGTXDUWHUVRIWKHVLWXDWLRQ6LPXOWDQHRXVO\WKH
FRPPDQGHUGLUHFWVWKHDFFRPSOLVKPHQWRIWKHIROORZLQJWDVNV
z (VWDEOLVKVHFXULW\
z 5HHVWDEOLVKDFKDLQRIFRPPDQG
z (VWDEOLVKDYLDEOHGHIHQVH
z 0DLQWDLQPRUDOH

 &RPPDQGHUVSRVLWLRQVHFXULW\HOHPHQWVDVIDUIRUZDUGDVSRVVLEOHWRUHHVWDEOLVKFRQWDFWZLWKWKH
HQHP\DQGSURYLGHHDUO\ZDUQLQJ9LJRURXVSDWUROOLQJEHJLQVLPPHGLDWHO\(DFKXQLWFOHDUVLWVSRVLWLRQWR
HQVXUHWKDWWKHUHDUHQRHQHP\IRUFHVLQWKHSHULPHWHU7HFKQLFDODVVHWVVXFKDV-RLQW6XUYHLOODQFH7DUJHW
$WWDFN 5DGDU6\VWHPDQG(:V\VWHPVDXJPHQWORFDOVHFXULW\HOHPHQWVDQGORFDWH WKRVHDUHDVDORQJWKH
SHULPHWHUZKHUHWKHHQHP\LVGHSOR\LQJDGGLWLRQDOIRUFHV
 7KH HQFLUFOHG FRPPDQGHU UHHVWDEOLVKHV XQLW\ RI FRPPDQG 7KH FRPPDQGHU UHRUJDQL]HV DQ\
IUDJPHQWHGXQLWVDQGSODFHV6ROGLHUVVHSDUDWHGIURPWKHLUSDUHQWXQLWVXQGHUWKHFRQWURORIRWKHUXQLWV7KH
FRPPDQGHU HVWDEOLVKHV D FOHDU FKDLQ RI FRPPDQG WKURXJKRXW WKH HQFLUFOHG IRUFH UHHVWDEOLVKHV
FRPPXQLFDWLRQV ZLWK XQLWV RXWVLGH WKH HQFLUFOHPHQW DQG DGMXVWV FRPPDQG DQG VXSSRUW UHODWLRQVKLSV WR
UHIOHFWWKHQHZRUJDQL]DWLRQ

25*$1,=$7,212))25&(6:+(1'()(1',1*(1&,5&/('
 7RHVWDEOLVKDYLDEOHGHIHQVHWKHFRPPDQGHURIDQHQFLUFOHGIRUFHHVWDEOLVKHVDSHULPHWHUGHIHQVH
7KHFRPPDQGHUNQRZVWKHVSHFLILFFDSDELOLWLHVDQGOLPLWDWLRQVRIWKHGLIIHUHQWIULHQGO\XQLWVLVRODWHGLQWKH
HQFLUFOHPHQW7KHUHIRUHWKHFRPPDQGHUGHVLJQVWKHGHIHQVHWRPD[LPL]HWKHFDSDELOLWLHVRIDYDLODEOHIRUFHV
)RUZDUG XQLWV HVWDEOLVK PXWXDOO\ VXSSRUWLQJ SRVLWLRQV DURXQG WKH SHULPHWHU DQG LQ GHSWK DORQJ SULQFLSDO
DYHQXHVRIDSSURDFK8QLWVRFFXS\WKHEHVWDYDLODEOHGHIHQVLYHWHUUDLQ&RPPDQGHUVPD\DWWDFNWRVHL]HNH\
RUGHFLVLYHWHUUDLQVRWKDWLWLVLQFRUSRUDWHGLQWRWKHSHULPHWHUGHIHQVH2QFHWKHFRPPDQGHUDVVLJQVGHIHQVLYH
$2VDQGEDWWOHSRVLWLRQVWKHSUHSDUDWLRQVDUHWKHVDPHDVLQWKHDUHDGHIHQVH(QFLUFOHGXQLWVPDNHWKHLU
GHIHQVLYHSRVLWLRQVDVVWURQJDVSRVVLEOHJLYHQWLPHDQGUHVRXUFHFRQVWUDLQWV7KHFRPPDQGHUDQWLFLSDWHV
WKDWWKHHQHP\ZLOODWWHPSWWRVSOLWWKHGHIHQVHVRIWKHHQFLUFOHGIRUFHDQGGHIHDWLWLQGHWDLO 6HHFKDSWHU
RI)0IRUPRUHLQIRUPDWLRQRQWKHFRQGXFWRIDSHULPHWHUGHIHQVH 
 7KHHQFLUFOHGIRUFHFRPPDQGHUHVWDEOLVKHVDUHVHUYHWKDWLVPRELOHHQRXJKWRUHDFWTXLFNO\WRHYHQWV
DQ\ZKHUHDORQJWKHSHULPHWHU*LYHQWKHDYDLODELOLW\RIVXIILFLHQWIXHOWKHFRPPDQGHUFRQVWLWXWHVDUHVHUYH
XVLQJ DUPRUHG FRPEDW YHKLFOHV IURP $%&7 DQG 6%&7 HOHPHQWV WUDSSHG ZLWKLQ WKH HQFLUFOHPHQW 7KH
HQFLUFOHGFRPPDQGHUFHQWUDOO\SRVLWLRQVWKLVPRELOHUHVHUYHWRWDNHDGYDQWDJHRILQWHULRUOLQHVZKLFKH[LVW
LIWKHHQFLUFOHGIRUFHFRPPDQGHUFDQPDQHXYHUWKHUHVHUYHRUUHLQIRUFHWKUHDWHQHGSRVLWLRQVRQWKHSHULPHWHU
IDVWHUWKDQWKHHQHP\FDQVKLIWORFDWLRQRUUHLQIRUFH7KHHQFLUFOHGFRPPDQGHUFDQDFKLHYHLQWHULRUOLQHV

6 October 2017 FM 3-0 6-47


Chapter 6

WKURXJK D FHQWUDO SRVLWLRQ ZLWK RSHUDWLRQV GLYHUJLQJ IURP D FHQWUDO SRLQW  IURP VXSHULRU ODWHUDO OLQHV RI
FRPPXQLFDWLRQVRUVXSHULRUWDFWLFDOPRELOLW\,IRQO\GLVPRXQWHGLQIDQWU\IRUFHVDUHDYDLODEOHWKHHQFLUFOHG
FRPPDQGHUHVWDEOLVKHVVPDOOORFDOUHVHUYHVSRVLWLRQHGDWNH\SRLQWVDURXQGWKHSHULPHWHUWRUHDFWWRSRWHQWLDO
WKUHDWV7KHHQFLUFOHGFRPPDQGHURUJDQL]HVDPRELOHDQWLDUPRUHOHPHQWIURPWKHEHVWDYDLODEOHDQWLDUPRU
V\VWHPV,ISRVVLEOHVXERUGLQDWHXQLWVDOVRUHWDLQWKHLURZQUHVHUYHV

&21752/0($685(6:+(1'()(1',1*(1&,5&/('
 7KHFRPPDQGHULQDSHULPHWHUGHIHQVHGHVLJQDWHVWKHWUDFHRIWKHSHULPHWHUEDWWOHSRVLWLRQVFRQWDFW
SRLQWVDQGODWHUDODQGIRUZDUGERXQGDULHV7KHFRPPDQGHUGHVLJQDWHVFKHFNSRLQWVFRQWDFWSRLQWVSDVVDJH
SRLQWV DQG SDVVDJH URXWHV IRU XVH E\ ORFDO UHFRQQDLVVDQFH VXUYHLOODQFH DQG VHFXULW\ HOHPHQWV RSHUDWLQJ
RXWVLGHWKHERXQGDU\RIWKHSHULPHWHU&RPPDQGHUVFDQXVH($V753VDQG)3)VDVILUHFRQWUROPHDVXUHV
6HHILJXUHIRUDGHSLFWLRQRIDSHULPHWHUGHIHQVHHPSOR\LQJ($V753VDQG)3)V 

Figure 6-28. Perimeter defense when encircled

%5($.287)520$1(1&,5&/(0(17
 $ EUHDNRXW LV DQ RSHUDWLRQ FRQGXFWHG E\ DQ HQFLUFOHG IRUFH WR UHJDLQ IUHHGRP RI PRYHPHQW RU
FRQWDFWZLWKIULHQGO\XQLWV,WGLIIHUVIURPRWKHUDWWDFNRQO\LQWKDWVLPXOWDQHRXVGHIHQVHLQRWKHUDUHDVRIWKH
SHULPHWHUPXVWEHPDLQWDLQHG $'53 $EUHDNRXWFDQRFFXULQERWKWKHRIIHQVHDQGWKHGHIHQVH$Q
HQFLUFOHGIRUFHQRUPDOO\DWWHPSWVWRFRQGXFWEUHDNRXWRSHUDWLRQVZKHQRQHRIWKHIROORZLQJIRXUFRQGLWLRQV
H[LVW
z 7KH VHQLRU FRPPDQGHU GLUHFWV WKH EUHDNRXW RU WKH EUHDNRXW IDOOV ZLWKLQ WKH LQWHQW RI D KLJKHU
HFKHORQFRPPDQGHU
z 7KHHQFLUFOHGIRUFHGRHVQRWKDYHVXIILFLHQWUHODWLYHFRPEDWSRZHUWRGHIHQGLWVHOIDJDLQVWHQHP\
IRUFHVDWWHPSWLQJWRUHGXFHWKHHQFLUFOHPHQW

6-48 FM 3-0 6 October 2017


/DUJH6FDOH'HIHQVLYH2SHUDWLRQV

z 7KHHQFLUFOHGIRUFHGRHVQRWKDYHDGHTXDWHWHUUDLQDYDLODEOHWRFRQGXFWLWVGHIHQVH
z 7KH HQFLUFOHG IRUFH FDQQRW VXVWDLQ LWVHOI ORQJ HQRXJK WR EH UHOLHYHG E\ IRUFHV RXWVLGH WKH
HQFLUFOHPHQW

(;),/75$7,21
 ,IWKHVXFFHVVRIDEUHDNRXWDWWDFNDSSHDUVTXHVWLRQDEOHRULILWIDLOVDQGDUHOLHIRSHUDWLRQLVQRW
SODQQHGRQHZD\WRSUHVHUYHDSRUWLRQRIWKHIRUFHLVWKURXJKRUJDQL]HGH[ILOWUDWLRQ 6HH)0IRUD
GHWDLOHGGHVFULSWLRQRIH[ILOWUDWLRQ 

$77$&.,1*'((3(5,172(1(0<7(55,725<
 $FRXUVHRIDFWLRQWKDWDQHQHP\LVQRWOLNHO\WRH[SHFWIURPDQHQFLUFOHGIRUFHLVWRDWWDFNGHHSHU
LQWRHQHP\WHUULWRU\WRVHL]HNH\WHUUDLQ7KLVW\SHRIDWWDFNLQYROYHVJUHDWULVNEXWLWPD\RIIHUWKHRQO\
IHDVLEOHFRXUVH RIDFWLRQ XQGHUVRPHFLUFXPVWDQFHV $WWDFNLQJ PD\DOORZDQHQFLUFOHGXQLWWR PRYHWRD
ORFDWLRQZKHUHLWFDQEHH[WUDFWHGE\RWKHUJURXQGQDYDORUDLUIRUFHV$WWDFNLQJGHHSHULVRQO\IHDVLEOHLID
XQLWFDQVXVWDLQLWVHOIZKLOHLVRODWHGDOWKRXJKVRPHRIWKDWVXVWDLQPHQWFDQFRPHIURPDHULDOUHVXSSO\DQG
HQHP\VXSSO\VWRFNV
 :KHQDQHQHP\LVDWWDFNLQJDQHQFLUFOHGIULHQGO\IRUFHWKDWDWWDFNVGHHSHULQWRWKHHQHP\UHDUDUHD
PD\GLVUXSWWKHHQHP\¶VRIIHQVHDQGSURYLGHDQRSSRUWXQLW\IRUOLQNXSIURPDQRWKHUGLUHFWLRQ,IDQHQHP\
LVGHIHQGLQJDQGWKHDWWDFNLQJIRUFHILQGVLWVHOILVRODWHGWKURXJKWKHSHUIRUPDQFHRILWVRZQRIIHQVLYHWDVNV
LW PD\ FRQWLQXH WKH DWWDFN WRZDUG LWV DVVLJQHG REMHFWLYH RU D QHZ REMHFWLYH ORFDWHG RQ PRUH IDYRUDEOH
GHIHQVLYHWHUUDLQ

/,1.83
 $ OLQNXS LV D PHHWLQJ RI IULHQGO\ JURXQG IRUFHV ZKLFK RFFXUV LQ D YDULHW\ RI FLUFXPVWDQFHV
$'53 ,WKDSSHQVZKHQDQDGYDQFLQJIRUFHUHDFKHVDQREMHFWLYHDUHDSUHYLRXVO\VHL]HGE\DQDLUERUQH
DWWDFNRUDLUDVVDXOW,WRFFXUVZKHQDQHQFLUFOHGHOHPHQWEUHDNVRXWWRUHMRLQIULHQGO\IRUFHVRUDIRUFHFRPHV
WRWKHUHOLHIRIDQHQFLUFOHGIRUFH,WDOVRRFFXUVZKHQFRQYHUJLQJPDQHXYHUIRUFHVPHHW%RWKIRUFHVPD\EH
PRYLQJWRZDUGHDFKRWKHURURQHPD\EHVWDWLRQDU\:KHQHYHUSRVVLEOHMRLQLQJIRUFHVH[FKDQJHDVPXFK
LQIRUPDWLRQDVSRVVLEOHEHIRUHVWDUWLQJDQRSHUDWLRQ7KHKHDGTXDUWHUVRUGHULQJWKHOLQNXSHVWDEOLVKHV²
z $&23XVLQJDYDLODEOHPLVVLRQFRPPDQGV\VWHPV
z &RPPDQGUHODWLRQVKLSDQGUHVSRQVLELOLWLHVRIHDFKIRUFHEHIRUHGXULQJDQGDIWHUOLQNXS
z &RRUGLQDWLRQRIILUHVXSSRUWEHIRUHGXULQJDQGDIWHUOLQNXSLQFOXGLQJFRQWUROPHDVXUHV
z /LQNXSPHWKRG
z 5HFRJQLWLRQVLJQDOVDQGFRPPXQLFDWLRQSURFHGXUHVLQFOXGLQJS\URWHFKQLFVDUPEDQGVYHKLFOH
PDUNLQJVJXQWXEHRULHQWDWLRQSDQHOVFRORUHGVPRNHOLJKWVDQGFKDOOHQJHDQGSDVVZRUGV
z 2SHUDWLRQVWRFRQGXFWIROORZLQJOLQNXS

&2162/,'$7,212)*$,16,17+('()(16(
 &RPPDQGHUVKDYHIHZUHVRXUFHVWRGHYRWHWRWKHFRQVROLGDWLRQRIJDLQVGXULQJWDFWLFDORSHUDWLRQV
IRFXVHG RQ WKH GHIHQVH 7KHUH LV QR QHZ JURXQG WR FRQVROLGDWH JDLQV RQ XQOHVV WKH GHIHQVH IROORZV DQ
RIIHQVLYHSKDVH7KHSULPDU\FRQVROLGDWLRQRIJDLQVDFWLYLWLHVGXULQJRSHUDWLRQVIRFXVHGRQWKHFRQGXFWRI
GHIHQVLYHWDVNVHQVXUHWKDWWKHIXWXUHFRQGXFWRIFRQVROLGDWLRQRIJDLQVWDVNVDUHDGHTXDWHO\DGGUHVVHGLQ
VHTXHODQGEUDQFKSODQVWRWKHFXUUHQWRSHUDWLRQVRUGHU 6HHFKDSWHUIRUPRUHLQIRUPDWLRQRQFRQVROLGDWLRQ
RIJDLQV 

6 October 2017 FM 3-0 6-49


This page intentionally left blank.


Chapter 7
Large-Scale Offensive Operations
2QQRDFFRXQWVKRXOGZHRYHUORRNWKHPRUDOHIIHFWRIDUDSLGUXQQLQJDVVDXOW,WKDUGHQV
WKHDGYDQFLQJVROGLHUDJDLQVWGDQJHUZKLOHWKHVWDWLRQDU\VROGLHUORVHVKLVSUHVHQFHRI
PLQG
&DUOYRQ&ODXVHZLW]

7KLVFKDSWHUEHJLQVZLWKDJHQHUDOGLVFXVVLRQRIWKHRIIHQVHIROORZHGE\DGLVFXVVLRQ
RIKRZDQHQHP\GHIHQVHPD\EHDUUD\HG,WFRQWLQXHVZLWKDVHFWLRQRQKRZFRUSV
DQGGLYLVLRQVKHDGTXDUWHUVSODQIRUWKHRIIHQVH7KLVFKDSWHUWKHQSURYLGHVDGLVFXVVLRQ
RI IRUPV RI PDQHXYHU DQG WKH IRXU RIIHQVLYH WDVNV 7KH FKDSWHU FRQFOXGHV ZLWK D
GLVFXVVLRQRQWKHVXERUGLQDWHIRUPVRIDWWDFN

29(59,(:2)/$5*(6&$/(2))(16,9(23(5$7,216
 $QRIIHQVLYHWDVNLVDWDVNFRQGXFWHGWRGHIHDWDQGGHVWUR\HQHP\IRUFHVDQGVHL]HWHUUDLQUHVRXUFHV
DQGSRSXODWLRQFHQWHUV $'53 2IIHQVLYHWDVNVLPSRVHWKHFRPPDQGHU¶VZLOORQWKHHQHP\$JDLQVWD
FDSDEOHDGDSWLYHHQHP\WKHRIIHQVHLVWKHPRVWGLUHFWDQGVXUHPHDQVRIVHL]LQJUHWDLQLQJDQGH[SORLWLQJ
WKH LQLWLDWLYH WR JDLQ SK\VLFDO WHPSRUDO DQG FRJQLWLYH DGYDQWDJHV DQG DFKLHYH GHILQLWLYH UHVXOWV ,Q WKH
RIIHQVHWKHGHFLVLYHRSHUDWLRQLVDVXGGHQVKDWWHULQJDFWLRQDJDLQVWDQHQHP\ZHDNQHVVWKDWFDSLWDOL]HVRQ
VSHHGVXUSULVHDQGVKRFN,IWKDWRSHUDWLRQGRHVQRWGHVWUR\WKHHQHP\RSHUDWLRQVFRQWLQXHXQWLOHQHP\
IRUFHVGLVLQWHJUDWHRUUHWUHDWWRZKHUHWKH\QRORQJHUSRVHDWKUHDW([HFXWLQJRIIHQVLYHWDVNVFRPSHOVWKH
HQHP\WRUHDFWFUHDWLQJRUUHYHDOLQJDGGLWLRQDOZHDNQHVVHVWKDWWKHDWWDFNLQJIRUFHFDQH[SORLW
 7KHUH DUH IRXU SULPDU\ RIIHQVLYH WDVNV PRYHPHQW WR FRQWDFW DWWDFN H[SORLWDWLRQ DQG SXUVXLW
3DUDJUDSKVWRGLVFXVVWKHVHWDVNV 8QLWVSHUIRUPWKHVHWDVNVVLQJXODUO\RULQFRPELQDWLRQWR
LPSRVHWKHFRPPDQGHU¶VZLOORQWKHHQHP\$FRPPDQGHUPD\DOVRFRQGXFWRIIHQVLYHWDVNVWRGHSULYHWKH
HQHP\ RI UHVRXUFHV VHL]H GHFLVLYH WHUUDLQ GHFHLYH RU GLYHUW WKH HQHP\ GHYHORS LQWHOOLJHQFH RU KROG DQ
HQHP\LQSRVLWLRQ7KLVFKDSWHUGLVFXVVHVWKHRIIHQVLYHEDVLFVDWWKHFRUSVDQGGLYLVLRQHFKHORQV
 &RPPDQGHUV FRQGXFWLQJ RIIHQVLYH WDVNV HPSOR\ WKH IRXU GHIHDW PHFKDQLVPV²GHVWUR\ GLVORFDWH
GLVLQWHJUDWH DQG LVRODWH²LQ YDULRXV FRPELQDWLRQV WR DFFRPSOLVK WKHLU PLVVLRQ DJDLQVW HQHP\ RSSRVLWLRQ
&KDSWHU  GLVFXVVHV WKHVH IRXU PHFKDQLVPV  &RPPDQGHUV VHL]H UHWDLQ DQG H[SORLW WKH LQLWLDWLYH ZKHQ
SHUIRUPLQJRIIHQVLYHWDVNV6SHFLILFRIIHQVLYHWDVNVPD\RULHQWRQDVSHFLILFHQHP\IRUFHRUWHUUDLQIHDWXUH
DVDPHDQVRIDIIHFWLQJWKHHQHP\(YHQZKHQSHUIRUPLQJSULPDULO\GHIHQVLYHWDVNVZUHVWLQJWKHLQLWLDWLYH
IURPWKHHQHP\UHTXLUHVWKHSHUIRUPDQFHRIRIIHQVLYHWDVNV7KHRIIHQVHFDQDOVREHXVHGWRVXSSRUWIULHQGO\
RSHUDWLRQVLQRWKHUGRPDLQVLQFOXGLQJDLUPDULWLPHVSDFHF\EHUVSDFHDQGWKHLQIRUPDWLRQHQYLURQPHQWE\
HPSOR\LQJWKHGHIHDWPHFKDQLVPVDJDLQVWNH\SRLQWVRUDVVHWVWKDWVXSSRUWDQHQHP\¶VRSHUDWLRQV
 &KDUDFWHULVWLFVRIWKHRIIHQVHLQFOXGHDXGDFLW\FRQFHQWUDWLRQVXUSULVHDQGWHPSR7KHSHUIRUPDQFH
RIHIIHFWLYHRIIHQVLYHWDVNVFDSLWDOL]HVRQDFFXUDWH DQGWLPHO\LQWHOOLJHQFHDQGRWKHUUHOHYDQWLQIRUPDWLRQ
UHJDUGLQJ HQHP\ IRUFHV ZHDWKHU DQG WHUUDLQ &RPPDQGHUV PDQHXYHU IRUFHV WR SRVLWLRQV RI UHODWLYH
DGYDQWDJHEHIRUHFRQWDFW&RQWDFWZLWKHQHP\IRUFHVEHIRUHWKHGHFLVLYHRSHUDWLRQLVGHOLEHUDWHDQGGHVLJQHG
WRVKDSHWKHRSWLPXPVLWXDWLRQIRUWKHGHFLVLYHRSHUDWLRQ7KHGHFLVLYHRSHUDWLRQWKDWFRQFOXVLYHO\GHWHUPLQHV
WKHRXWFRPHRIWKHPDMRURSHUDWLRQEDWWOHRUHQJDJHPHQWFDSLWDOL]HVRQVXERUGLQDWHLQLWLDWLYHDQGVKDUHG
XQGHUVWDQGLQJ :LWKRXW KHVLWDWLRQ FRPPDQGHUV YLROHQWO\ H[HFXWH ERWK PRYHPHQW DQG ILUHV²ZLWKLQ WKH
KLJKHU FRPPDQGHU¶V LQWHQW²WR EUHDN WKH HQHP\¶V ZLOO RU GHVWUR\ WKH HQHP\ 6HH $'53  IRU D
GLVFXVVLRQRIWKHVHIRXUFKDUDFWHULVWLFV 

6 October 2017 FM 3-0 7-1


Chapter 7

 $UP\ FRUSV DQG GLYLVLRQV FRQGXFW RIIHQVLYH WDVNV ZLWKLQ D EURDG RSHUDWLRQDO VFKHPH $W WKH
RSHUDWLRQDO OHYHO RIIHQVLYH RSHUDWLRQV GLUHFWO\ RU LQGLUHFWO\ DWWDFN WKH HQHP\ FHQWHU RI JUDYLW\ /DQG
FRPSRQHQW FRPPDQGHUV FRQGXFW ODUJHVFDOH FRPEDW RSHUDWLRQV WR DFKLHYH WKHDWHUOHYHO HIIHFWV EDVHG RQ
WDFWLFDODFWLRQV $UP\VSHFLDORSHUDWLRQVIRUFHV $562)  FRQGXFWSUHFLVLRQVWULNHRSHUDWLRQVDJDLQVWNH\
QRGHVWRDFKLHYHRSHUDWLRQDODQGVWUDWHJLFHIIHFWV$562)HPSOR\LQGLJHQRXVHOHPHQWVDQGFRQGXFWLUUHJXODU
ZDUIDUH DFWLYLWLHV LQ VXSSRUW RI MRLQW IRUFH REMHFWLYHV &RPPDQGHUV GR WKLV E\ DWWDFNLQJ HQHP\ GHFLVLYH
SRLQWV HLWKHU VLPXOWDQHRXVO\ RU VHTXHQWLDOO\ 7R DWWDLQ XQLW\ RI HIIRUW RSHUDWLRQDO FRPPDQGHUV FOHDUO\
GHVFULEHWKHLULQWHQWLGHQWLI\REMHFWLYHVDQGUHLQIRUFHWKHUHODWLRQVKLSVDPRQJVXERUGLQDWHV

,QWHUPLWWHQW&RPPXQLFDWLRQV&RQWLQXRXV0LVVLRQ&RPPDQG
*UDQWDQG6KHUPDQ'HHS2SHUDWLRQDO0DQHXYHU–

$VWKH FDPSDLJQVHDVRQRSHQHG8QLRQIRUFHV DWWHPSWHGWR DFKLHYHGHFLVLYH
PLOLWDU\UHVXOWVDIWHU\HDUVRIRSHUDWLRQDOVWDOHPDWHLQWKH(DVWE\DGYDQFLQJLQWRWKH
KHDUW RI WKH &RQIHGHUDF\ DORQJ PXOWLSOH D[HV WR GHVWUR\ LWV DELOLW\ WR UHVLVW 7KRXJK
*HQHUDO8O\VVHV 6*UDQW LQWKH (DVW DQG*HQHUDO:LOOLDP76KHUPDQLQWKH:HVW
ZRXOG PDNH WKH PDLQ HIIRUWV VXSSRUWLQJ FROXPQV ZRXOG DOVR WLH GRZQ GHIHQGLQJ
&RQIHGHUDWHIRUFHV$V3UHVLGHQW/LQFROQSXWLW“7KRVHQRWVNLQQLQJFDQKROGDOHJ”

:LWK WKH EXON RI RSHUDWLRQDOO\ HIIHFWLYH VRXWKHUQ IRUFHV IDFLQJ WKHP LQ 9LUJLQLD DQG
*HRUJLDERWK*UDQWDQG6KHUPDQHPEDUNHGRQGHHSSHQHWUDWLRQFDPSDLJQVLQWRWKH
KHDUW RI WKH &RQIHGHUDF\ *UDQW’V GULYH RYHUODQG LQ 9LUJLQLD GUHZ WKH VWURQJHVW
RSSRVLWLRQLQWKHIRUPRI5REHUW(/HH’V$UP\RI1RUWKHUQ9LUJLQLDDVLWIRXJKWLWVZD\
LQWRWKH9LUJLQLD7LGHZDWHUPDQHXYHUHGSDVW5LFKPRQGDQGIL[HG/HHLQGHIHQVLYH
SRVLWLRQV DW 3HWHUVEXUJ 0HDQZKLOH 6KHUPDQ PDQHXYHUHG -RH -RKQVWRQ RXW RI D
VHULHVRIVWURQJGHIHQVLYHSRVLWLRQVLQWKHQRUWK*HRUJLDPRXQWDLQVEHIRUHFDSWXULQJ
WKH YLWDO UDLO FHQWHU RI $WODQWD $ VXSSRUWLQJ FROXPQ XQGHU *HQHUDO 3KLO 6KHULGDQ LQ
9LUJLQLD’V 6KHQDQGRDK 9DOOH\ GHYDVWDWHG WKDW JUDLQSURGXFLQJ UHJLRQ GHQ\LQJ YLWDO
VXSSOLHVWR/HH’VDUP\$IWHUGHVWUR\LQJ$WODQWD6KHUPDQ’VFRPPDQGHPEDUNHGRQ
WKH“0DUFKWRWKH6HD”LQODWHVSOLWWLQJWKHHDVWHUQ&RQIHGHUDF\LQWZRDQGVHWWLQJ
FRQGLWLRQVIRUDVXEVHTXHQWGHYDVWDWLQJFDPSDLJQWKURXJKWKH&DUROLQDV

%\ $SULO  ZKHQ *UDQW ILQDOO\ PDQHXYHUHG /HH RXW RI 3HWHUVEXUJ 6KHUPDQ’V
FRPPDQG KDG PDUFKHG RYHU  PLOHV GHVWUR\LQJ DJULFXOWXUDO DQG LQGXVWULDO
LQIUDVWUXFWXUH FULWLFDO WR VXVWDLQLQJ WKH &RQIHGHUDWH HFRQRP\ DQG HURGLQJ LWV ZLOO WR
UHVLVW :KHQ /HH VXUUHQGHUHG 6KHUPDQ ZDV RQO\ D IHZ GD\V’ PDUFK DZD\ DQG
HIIHFWLYHO\ EORFNHG /HH’V HVFDSH %\ PDQHXYHULQJ WKURXJK WKH GHSWKV RI WKH
&RQIHGHUDF\DORQJPXOWLSOHLQGHSHQGHQWD[HVXQLWHGE\DVLQJOHRSHUDWLRQDOSXUSRVH
8QLRQIRUFHVFUHDWHGXQVROYDEOHPLOLWDU\DQGSROLWLFDOGLOHPPDVIRUWKH&RQIHGHUDF\
DQGVXFFHVVIXOO\EURXJKWWKH$PHULFDQ&LYLO:DUWRDFORVH

(1(0<'()(16(
 'XULQJ GHIHQVLYH WDVNV WKH HQHP\ W\SLFDOO\ DWWHPSWV WR VORZ DQG GLVUXSW IULHQGO\ IRUFHV ZLWK D
FRPELQDWLRQRIREVWDFOHVSUHSDUHGSRVLWLRQVDQGIDYRUDEOHWHUUDLQVRWKDWWKH\FDQEHGHVWUR\HGZLWKPDVVHG
ILUHV7KHHQHP\LVOLNHO\WRGHIHQGLQGHSWKDQGZKHQSURYLGHGWLPHZLOOFRQWLQXRXVO\LPSURYHSRVLWLRQV
LQ ZD\V WKDWEHWWHUSURWHFWHQHP\GHIHQGLQJ XQLWV PDNHDWWDFNVDJDLQVWWKHP PRUHFRVWO\DQGDOORZ WKH
HQHP\WRFRPPLWWKHPLQLPXPDPRXQWRIJURXQGFRPEDWSRZHUIRUZDUG)RUZDUGSRVLWLRQHGHQHP\IRUFHV
DUH KHDYLO\ IRFXVHG RQ SURYLGLQJ REVHUYHG ILUHV IRU ORQJ UDQJH V\VWHPV DQG VORZLQJ IULHQGO\ IRUFHV ORQJ
HQRXJK WR EH HQJDJHG HIIHFWLYHO\ E\ WKRVH V\VWHPV 7KH HQHP\ LV OLNHO\ WR FRQGXFW D PRELOH GHIHQVH
ZKHQHYHUFDSDEOHXVLQJDVHULHVRIVXEVHTXHQWEDWWOHSRVLWLRQVWRDFKLHYHGHSWK7KHHQHP\FRPPDQGHU
VHHNV WR XVH ILUHV DQG REVWDFOHV WR SUHYHQW GHFLVLYH HQJDJHPHQW RI WKH GHIHQGLQJ JURXQG IRUFHV DV WKH\
UHSRVLWLRQZKLOHFDXVLQJIULHQGO\IRUFHVWRPRYHPHWKRGLFDOO\XQGHUFRQWLQXRXVILUHZLWKRXWHYHUIL[LQJWKH

7-2 FM 3-0 6 October 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

HQHP\¶VRZQIRUFHV7KHHQHP\FDQEHH[SHFWHGWRHPSOR\VLJQLILFDQWHOHFWURQLFZDUIDUH (: LQWHOOLJHQFH
VXUYHLOODQFHUHFRQQDLVVDQFHDQG LQIRUPDWLRQUHODWHGFDSDELOLWLHVDV SDUW RIWKLVGHIHQVLYHHIIRUW6HYHUDO
SRWHQWLDOHQHPLHVFDQHPSOR\FKHPLFDOZHDSRQVDQGVRPHFRXOGHPSOR\WDFWLFDOQXFOHDUZHDSRQV
 7KH HQHP\PDLQ GHIHQVH]RQH LVRUJDQL]HGLQ D VXFFHVVLRQRILQWHJUDWHGNLOO]RQHVREVWDFOHVDQG
EDWWOHSRVLWRQV)LJXUHILJXUH RQSDJH DQG ILJXUHRQSDJHVKRZD W\SLFDOSHHUHQHP\
GHIHQVLYHVFKHPH

+Figure 7-1. Enemy battle handover from disruption forces to contact forces

6 December 2017 FM 3-0, C1 7-3


Chapter 7

+Figure 7-2. Enemy battle handover from initial contact force to initial shielding force

7-4 FM 3-0, C1 6 December 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

+Figure 7-3. Enemy continuous maneuver defense in depth within enemy main defense zone

3/$11,1*)257+(&2536$1'',9,6,21,17+(2))(16(
,QFDVHRIGRXEWDWWDFN
*HQHUDO *HRUJH 3DWWRQ

 7KH$UP\¶VIUDPHZRUNIRUH[HUFLVLQJPLVVLRQFRPPDQGLVWKHRSHUDWLRQVSURFHVV7KHPDMRUPLVVLRQ
FRPPDQGDFWLYLWLHVSHUIRUPHGGXULQJWKHFRQGXFWRIRIIHQVLYHWDVNVDUHSODQQLQJSUHSDULQJH[HFXWLQJDQG
FRQWLQXRXVO\DVVHVVLQJWKHRSHUDWLRQ7KHRIIHQVHNHHSVWKHHQHP\RIIEDODQFHH[SORLWVSRVLWLRQVRIUHODWLYH
DGYDQWDJH DQGFRQWLQXRXVO\UHGXFHVWKHHQHP\FRPPDQGHU¶VRSWLRQVDFURVVDOOGRPDLQVDQGWKHLQIRUPDWLRQ
HQYLURQPHQW3ODQQLQJUHVXOWVLQDSODQ DQGRUGHUVWKDWV\QFKURQL]HWKHDFWLRQRIIRUFHVLQWLPHVSDFHDQG
SXUSRVHWRDFKLHYHREMHFWLYHVDQGDFFRPSOLVKPLVVLRQV 6HH$'53IRUDGLVFXVVLRQRISODQQLQJ 
 &RUSV DQG GLYLVLRQV SODQ WKHLU EDWWOHV ZLWKLQ DUHDV RI RSHUDWLRQV $2V  DVVLJQHG E\ WKHLU KLJKHU
KHDGTXDUWHUV7KH FRUSVRUGLYLVLRQFRPPDQGHUVWUXFWXUHVDQ$2XVLQJWKHRSHUDWLRQDOIUDPHZRUNWRDVVLJQ
REMHFWLYHVERXQGDULHVSKDVHOLQHV 3/V DQGRWKHUFRQWUROPHDVXUHVDQGDXWKRULWLHVZLWKLQWKDW$2WRHQVXUH
WKH VXFFHVVIXOV\QFKURQL]DWLRQ DQG WLPHO\ FRQYHUJHQFH RI VXERUGLQDWH DQG VXSSRUWLQJ IRUPDWLRQV DQG
FDSDELOLWLHVDJDLQVW WKHHQHP\&RPPDQGHUVEDVHPDQ\ FRQWUROPHDVXUHVRQSUREDEOHOLQHVRIFRQWDFWLQ
GLIIHUHQWGRPDLQV
 &RUSV DQG GLYLVLRQ KHDGTXDUWHUV HQVXUH WKDW WKHLU RIIHQVLYH WDVNV DQG WKH DFWLRQV RI MRLQW DQG
PXOWLQDWLRQDO IRUFHV DVVLJQHG WR RU VXSSRUWLQJ WKHLU RUJDQL]DWLRQV DUH V\QFKURQL]HG WR PD[LPL]H WKH
DSSOLFDWLRQRIFRPEDWSRZHU1RUPDOO\FRUSVDQGGLYLVLRQFRPPDQGHUVDVVLJQVSHFLILF$2VIRUSHUIRUPLQJ

6 December 2017 FM 3-0, C1 7-5


Chapter 7

RIIHQVLYHWDVNV WRGHILQHUHVSRQVLELOLWLHVWRVXERUGLQDWHXQLWV %DVHG RQWKH QDWXUH RIWKH HQHP\ DQG WKH


PLVVLRQWKHVHVXERUGLQDWH$2VPD\EHFRQWLJXRXVRUQRQFRQWLJXRXV
 &RUSVDQG GLYLVLRQFRPPDQGHUVVWUXFWXUHWKH$2 DFFRUGLQJWRWKHLUYLVLRQ,Q VRPHFDVHVWKHFRUSV
RU GLYLVLRQ FRQGXFWVGHHS RSHUDWLRQVWR LVRODWHWKH HQHP\ LQ WKH GHHS DUHD WKXV VHWWLQJ WKH FRQGLWLRQV
QHFHVVDU\IRUVXERUGLQDWHEULJDGHFRPEDWWHDPV %&7V WREHVXFFHVVIXOLQWKHFORVHDUHD,QRWKHULQVWDQFHV
WKHFRUSVRUGLYLVLRQFRQGXFWVDSHQHWUDWLRQRIHQHP\GHIHQVHVLQWKHLUFORVHDUHDRQO\DVDPHDQVWRPDQHXYHU
IRUFHVGHHSLQWRWKHHQHP\¶VGHIHQVHVWRGHVWUR\HQHP\IRUFHVDQGFDSDELOLWLHVDUUD\HGLQGHSWK
 &RPPDQGHUV FRQVLGHUWKH PLVVLRQ YDULDEOHV ZKHQ GHVLJQDWLQJ REMHFWLYHV 6SHFLDO FRQVLGHUDWLRQV
VKRXOG EH JLYHQ WRWKH HQHP\¶V GLVSRVLWLRQV LQGHSWK DQG WKHFRPEDW HIIHFWLYHQHVVRIVXERUGLQDWHXQLWV
&RPPDQGHUV FDQ GHWHUPLQH WKH VFKHPH RI PDQHXYHU DOORFDWLRQ RI DYDLODEOH IRUFHVVFKHPH RI ILUHV
PDQHXYHUVXSSRUWDQGVFKHPHRIVXVWDLQPHQWRQO\DIWHUVHOHFWLQJREMHFWLYHV&RPPDQGHUVDOVRFRQVLGHUWKH
VKDSLQJRIWKH$2ZKHQWKHPLVVLRQWUDQVLWLRQVIURPDIRFXVRQWKHRIIHQVHWRWKHFRQVROLGDWLRQRIJDLQV)RU
H[DPSOHWDUJHWLQJDQ HOHFWULFDOSRZHUVWDWLRQIRUGHVWUXFWLRQLQWKHRIIHQVHVKRXOGEH ZHLJKHGDJDLQVWWKH
QHHGIRUSRZHUZKHQFRQGXFWLQJVWDELOLW\WDVNVGXULQJWKHFRQVROLGDWLRQRIJDLQV
 $IWHUGHVLJQDWLQJREMHFWLYHVFRUSVDQG GLYLVLRQFRPPDQGHUVDQG VWDIIVFRQVLGHUVL[FRPSOHPHQWDU\
HOHPHQWVZKHQSODQQLQJRIIHQVLYHWDVNV
z 6FKHPHRIPDQHXYHU
z &RQWLQXRXVGHHSRSHUDWLRQVGLUHFWHGDJDLQVWNH\ SRUWLRQVRIWKHHQHP\GHIHQVHZLWKLQWKH$2
HOHFWURPDJQHWLFVSHFWUXP (06 F\EHUVSDFHRUSRSXODWLRQ
z 5HFRQQDLVVDQFHDQGVHFXULW\WDVNVFRQGXFWHGIRUZDUGDQGWRWKHIODQNVDQGUHDURIWKHXQLW¶VPDLQ
DQGVXSSRUWLQJDWWDFNV
z 'HFLVLYHRSHUDWLRQVDQG PDLQ DWWDFNVZLWK VKDSLQJ RSHUDWLRQVDQG VXSSRUWLQJ DFWLRQVVXFK DV
HFRQRP\RIIRUFHDFWLYLWLHVDQG WKHFRQGXFWRIYDULRXVUHFRQQDLVVDQFHDQGVHFXULW\PRYHPHQW
PRELOLW\DQGFRXQWHUPRELOLW\WDVNVDVUHTXLUHG
z 5HVHUYHRSHUDWLRQVLQVXSSRUWRIWKHRIIHQVH
z 6XVWDLQPHQWDQGFRQVROLGDWLRQRIJDLQVRSHUDWLRQVQHFHVVDU\WRPDLQWDLQRIIHQVLYHPRPHQWXP
 7KH VL[RIIHQVLYHWDVNSODQQLQJ HOHPHQWVVHUYHDV D XVHIXOJXLGH LQ IRUPXODWLQJFRUSVDQG GLYLVLRQ
FRQFHSWVRIRSHUDWLRQVDQGLQ IDFLOLWDWLQJWKHRUFKHVWUDWLRQDQG LQWHUQDOV\QFKURQL]DWLRQRIDFWLYLWLHVLQWKH
FORVHGHHSVXSSRUWDQGFRQVROLGDWLRQDUHDV&RPPDQGHUVVKRXOGFRQVLGHUZKHUHIULHQGO\IRUFHFDSDELOLWLHV
FDQFRQYHUJHWRDFKLHYHWKHJUHDWHVWSRVVLEOHUHODWLYHDGYDQWDJHWKDWFDQEHUDSLGO\H[SORLWHG$WWHPSWLQJWR
HQJDJHHQHP\FDSDELOLWLHVV\PPHWULFDOO\ IRUH[DPSOHXVLQJORQJUDQJHILUHVDJDLQVWHQHP\ORQJUDQJHILUHV
V\VWHPV PD\QRWJHQHUDWHHQRXJKHIIHFWVWRIDFLOLWDWHVHL]LQJWKHLQLWLDWLYH
 )LUHVXSHULRULW\LVWKDWGHJUHHRIGRPLQDQFHLQWKHILUHVRIRQHIRUFHRYHUDQRWKHUWKDWSHUPLWVWKDW
IRUFHWR FRQGXFW PDQHXYHU DW D JLYHQ WLPH DQG SODFH ZLWKRXW SURKLELWLYH LQWHUIHUHQFHE\ WKH HQHP\
)0 )LUHVXSHULRULW\DSSOLHVWRPRUHWKDQWKHODQGGRPDLQ,WDSSOLHVWRWKHF\EHUVSDFHGRPDLQWKH
LQIRUPDWLRQHQYLURQPHQW DQG WKH (06 DV ZHOO $UP\ DQG MRLQW IRUFHVSODQ DQG H[HFXWH ZLWK SURSHU
DXWKRULWLHV HIIHFWVRQLQDQG WKURXJKF\EHUVSDFHDQG WKH(06&RUSVDQG GLYLVLRQSODQVIRFXVWKHHIIHFWV
RI IULHQGO\ V\VWHPV LQFOXGLQJ WKRVH VXSSRUWLQJ (: RIIHQVLYH F\EHUVSDFH RSHUDWLRQV 2&2  DQG
LQIRUPDWLRQUHODWHGFDSDELOLW\DVVHWVDVVLJQHGWRKLJKHUHFKHORQKHDGTXDUWHUVWRDFKLHYHILUHVXSHULRULW\DQG
DOORZ IULHQGO\PDQHXYHU IRUFHVWREUHDFKHQHP\ GHIHQVLYHQHWZRUNV &RUSV DQG GLYLVLRQV PXVW JDLQ DQG
PDLQWDLQILUHVXSHULRULW\DWFULWLFDOSRLQWVDQGDFURVVPXOWLSOHGRPDLQVGXULQJWKHLUSHUIRUPDQFHRIRIIHQVLYH
WDVNV +DYLQJ ILUH VXSHULRULW\ DOORZV FRPPDQGHUV WR PDQHXYHU IRUFHV ZLWKRXW SURKLELWLYH ORVVHV
&RPPDQGHUVJDLQ ILUHVXSHULRULW\E\XVLQJFRXQWHUILUHVSUHFLVLRQILUHVVXSSUHVVLRQDQGWKHGHVWUXFWLRQRI
NH\DVVHWVVXFKDVUDGDUVDQGHQHP\FROOHFWLRQSODWIRUPV$FKLHYLQJILUHVXSHULRULW\UHTXLUHVWKHFRPPDQGHU
WRWDNHDGYDQWDJH RIWHPSRUDU\SRVLWLRQVRIUHODWLYHDGYDQWDJHXVLQJ²

7-6 FM 3-0, C1 6 December 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

z 7KHUDQJHSUHFLVLRQDQGOHWKDOLW\RIDYDLODEOHZHDSRQV\VWHPV
z $ EOHQG RIIULHQGO\LQIRUPDWLRQPDQDJHPHQW NQRZOHGJH PDQDJHPHQW LQIRUPDWLRQFROOHFWLRQ
DQG(:2&2DQGLQIRUPDWLRQRSHUDWLRQV 2QO\IRUFHVZLWKSURSHUOHJDODQGFRPPDQGDXWKRULW\
FDQ FUHDWH RIIHQVLYH HIIHFWVLQ F\EHUVSDFH RU WKH (06 (FKHORQV WKDW GR QRW KDYH RUJDQLF
FDSDELOLWLHVRUDXWKRULWLHVIRUF\EHUVSDFHRU(:RSHUDWLRQVPD\LQWHJUDWHVXSSRUWLQJHIIHFWVIURP
IRUFHVZLWKWKRVHFDSDELOLWLHVWRVXSSRUWWKHLURSHUDWLRQV
z 0DQHXYHU WR SODFH WKH HQHP\ LQ SRVLWLRQVRI GLVDGYDQWDJH DFURVVPXOWLSOH GRPDLQV DQG WKH
LQIRUPDWLRQHQYLURQPHQWZKHUHHQHP\ZHDSRQ V\VWHPVDQG ORJLFDOHQWLWLHVFDQEHGHVWUR\HGRU
GLVUXSWHGRQHRUPRUHDWDWLPHZLWKUHGXFHGULVNWRIULHQGO\V\VWHPV

6&+(0(2) 0$1(89(5
 $ VFKHPHRIPDQHXYHU H[SDQGV WKH FRPPDQGHU¶VLQWHQW DQG GHVFULEHVD PHWKRG RI DFKLHYLQJ WKH
GHVLUHGRXWFRPH,WGHVFULEHVWKLVLQWHUPVRIZKHUHZKHQ KRZDQG ZLWK ZKDW RIIHQVLYHDFWLYLW\QHHGVWR
RFFXUWRDFKLHYHWKHGHVLUHGHQGVWDWH&RPPDQGHUVVHOHFWDVFKHPHRIPDQHXYHUWKDWVHHNVWRJDLQDSRVLWLRQ
RIDGYDQWDJH RYHUWKHHQHP\WRUDSLGO\FORVHZLWKWKHHQHP\DQGGHVWUR\WKHHQHP\¶VZLOOWRUHVLVW)ULHQGO\
IRUFHVIROORZLQJD VFKHPHRIPDQHXYHU PD\ VWULNHDJDLQVWWKHHQHP\¶VIURQWIODQNRUUHDUDQG PD\ FRPH
IURP WKH JURXQG IURP WKH DLU IURP VSDFH IURP F\EHUVSDFH IURP WKH (06 IURP WKH LQIRUPDWLRQ
HQYLURQPHQW RU IURPD FRPELQDWLRQRI WKHVH DSSURDFKHV &RPPDQGHUV GHWHUPLQHWKH VSHFLILFIRUP RI
PDQHXYHURUWKHFRPELQDWLRQRIIRUPVDIWHUFRQVLGHULQJWKHPLVVLRQYDULDEOHV VHHSDUDJUDSKVWKURXJK
IRUDGLVFXVVLRQRIIRUPVRIPDQHXYHU &RPPDQGHUVVHOHFWDVFKHPHRIPDQHXYHU GHVLJQHGWRVHL]H
WKH REMHFWLYHPRVWUDSLGO\ ZKLOH IDFLOLWDWLQJVXEVHTXHQW RSHUDWLRQV6XUSULVHDQG LQGLUHFWDSSURDFKHVDUH
LPSRUWDQWFRQVLGHUDWLRQVZKHQVHOHFWLQJWKHVFKHPHRIPDQHXYHU
 7KH VFKHPHRIPDQHXYHU LGHQWLILHVZKHUHWKHGHFLVLYHRSHUDWLRQRFFXUV$OO RIDIRUFH¶VUHVRXUFHV
PXVWRSHUDWHLQ FRQFHUWWRDVVXUHWKHVXFFHVVRIWKHGHFLVLYHRSHUDWLRQ&RPPDQGHUVDYRLG EHFRPLQJVR
FRPPLWWHGWRWKHLQLWLDOPDLQHIIRUWWKDWWKH\QHJOHFWRSSRUWXQLWLHV&RPPDQGHUVPXVWEHSUHSDUHGWRDEDQGRQ
IDLOHGDWWDFNVDQG WRH[SORLWXQDQWLFLSDWHGVXFFHVVHVRUHQHP\HUURUV,QVRPHFDVHVWKHVLWXDWLRQPD\EHVR
XQFHUWDLQWKDWFRPPDQGHUVZLOOQRWLQLWLDOO\GHVLJQDWHDPDLQDWWDFN
 &RPPDQGHUVGHWHUPLQHDYDLODEOHIRUFHVDOORFDWLRQFRQFXUUHQWO\ZLWKWKHLUVFKHPHRIPDQHXYHU7KH\
FRQFHQWUDWHDWWDFNLQJIRUFHVDJDLQVWHQHP\ZHDNQHVVHV7KH\ZHLJKWWKHLUPDLQHIIRUWVE\SURYLGLQJWKHP
DGGLWLRQDOPDQHXYHU IRUFHVDVVLJQLQJQDUURZHU$2V RUE\ DVVLJQLQJ SULRULW\RIILUHVVXSSRUWDQG RWKHU
HIIHFWV7KHPDLQHIIRUWLQWKHRIIHQVHQRUPDOO\JHWVSULRULW\IURPFORVHDLUVXSSRUW &$6 DWWDFNKHOLFRSWHUV
DUPHGXQPDQQHG DLUFUDIWV\VWHPV 8$6V FRPEDWHQJLQHHUV(:2&2 LQIRUPDWLRQUHODWHGFDSDELOLWLHV
VXVWDLQPHQWDQGSURWHFWLRQDVVHWV&RPPDQGHUVLQIOXHQFHWKHDFWLRQE\VKLIWLQJWKHVHDVVHWVDVQHFHVVDU\
 6PDOOIRUFHVDWWDFNLQJDWKLJK VSHHGVXSSRUWHGE\ SUHFLVLRQPXQLWLRQVFDSDEOHRIDUHD HIIHFWV(:
2&2 DQG PLOLWDU\LQIRUPDWLRQVXSSRUWRSHUDWLRQV 0,62 PD\ DFKLHYHWKHVDPHVXFFHVVDVODUJHUIRUFHV
VXSSRUWHGZLWKFRQYHQWLRQDOILUHV(:2&2DQG 0,62PD\VRGLVVLSDWHWKHHQHP\¶VVWUHQJWKDQGGLVUXSW
WKH HQHP\¶V FRPELQHG DUPV WHDP WKDW GHHS PXOWLSOH DQG HTXDOO\ ZHLJKWHG DWWDFNV PD\ EH IDYRUDEO\
HQKDQFHGRUQRWUHTXLUHG
 7KH VFKHPHRIPDQHXYHU DGGUHVVHVH[SORLWDWLRQVRWKDWXQLWVGRQRWSDXVH RUORVHPRPHQWXPDIWHU
VHL]LQJDQREMHFWLYH(DFKXQLWPXVWSODQWRPDQHXYHUWKURXJKWKHHQHP\¶VUHVLVWDQFHDQGH[SORLWVXFFHVVHV
UHOHQWOHVVO\ 7KH VFKHPH RI PDQHXYHU VKRXOG IDFLOLWDWH UDSLG GLVSHUVLRQ RI FRQFHQWUDWHG XQLWV RU WKH
LQWURGXFWLRQRIIUHVKIRUFHVWRH[SORLWVXFFHVV

3/$11,1*23(5$7,216,1 '(37+
3ODQVIRUWKHGHHSEDWWOHPXVWEHUHDOLVWLFFRPSOHWHDQGILUPO\OLQNHGWRWKHFRPPDQGHU¶V
FHQWUDOFRQFHSWIRUDQRSHUDWLRQ
)0 Operations, 

6 December 2017 FM 3-0, C1 7-7


Chapter 7

 7KHSXUSRVHRIFRUSVDQGGLYLVLRQGHHSRSHUDWLRQVPLJKWH[WHQGEH\RQGEHLQJVKDSLQJRSHUDWLRQVWKDW
HVWDEOLVKIDYRUDEOHFRQGLWLRQVIRUWKHFRQGXFWRIFORVHDUHDRSHUDWLRQV'HHSRSHUDWLRQVPLJKWHYHQ EHWKH
GHFLVLYH RSHUDWLRQDJDLQVW HQHP\ IRUFHV$V VXFK WKH FRUSVRUGLYLVLRQ KHDGTXDUWHUV PLJKW RQO\ GLUHFW
VXERUGLQDWHRIIHQVLYHWDVNVLQWKHFORVHDUHDWRIDFLOLWDWHGHHSRSHUDWLRQV7KRVHGHHSRSHUDWLRQVPD\LQYROYH
DPL[RIOHWKDODQGQRQOHWKDOHIIHFWV
 )LUHV FRPELQLQJ ERWK OHWKDO DQG QRQOHWKDO HIIHFWV LQ WKH F\EHUVSDFH (06 DQG LQIRUPDWLRQ
HQYLURQPHQWDUHWKHSULPDU\WRROVRIFRUSVDQG GLYLVLRQGHHSRSHUDWLRQV&RUSV DQG GLYLVLRQVWRD OHVVHU
H[WHQW  HQVXUH WKH IXOO LQWHJUDWLRQ RI MRLQW DVVHWVSDUWLFXODUO\ WKH HIIHFWVRI MRLQW ILUHVDQG MRLQW WDUJHW
DFTXLVLWLRQ V\VWHPV ZKHQ FRQGXFWLQJ GHHS RSHUDWLRQV 7KLV LQFOXGHV WKH FRQWULEXWLRQVRI F\EHUVSDFH
HOHFWURPDJQHWLF DFWLYLWLHV DQGLQIRUPDWLRQUHODWHGFDSDELOLWLHV ,5&V  ZKLFK DUH QRW JHQHUDOO\ ERXQG E\
SK\VLFDOUDQJHFRQVWUDLQWV7KHIXOOLQWHJUDWLRQRIMRLQWDVVHWVPD\LQFOXGH$562) ZKLFKFDQVLJQLILFDQWO\
HQKDQFHDFRPPDQGHU¶VRSWLRQVLQWKHGHHSILJKW7KHVHRSHUDWLRQVPD\ EHFRQGXFWHGXQLODWHUDOO\RUPD\
LQFOXGHLQGLJHQRXVSHUVRQQHOQDWLYHWRWKH$2RURWKHUXQLILHGDFWLRQSDUWQHUV$562)FDQDOVRHQKDQFHWKH
FRPPDQGHUV¶DSSUHFLDWLRQRIWKHGHHSDUHDE\FRQGXFWLQJUHFRQQDLVVDQFHVXUYHLOODQFHDQGWDUJHWDFTXLVLWLRQ
RIKLJKSD\RIIWDUJHWV +37V RUWDUJHWVRIRSSRUWXQLW\ZLWKLQWKHGHHSDUHDHLWKHUXQLODWHUDOO\RUZLWKDQG
WKURXJKLQGLJHQRXVDVVHWVRURWKHUXQLILHGDFWLRQSDUWQHUV
 7KH FRUSVRUGLYLVLRQFRQGXFWVGHHSRSHUDWLRQVLQWZRPDLQZD\V ,WPD\LVRODWHVXERUGLQDWHHQHP\
HOHPHQWVLQWKHFORVHDUHDRULWPD\FRQGXFWRSHUDWLRQVWRGHIHDWRUGHVWUR\WKHHQHP\¶VFRKHVLRQQXOOLI\WKH
HQHP\¶VILUHSRZHUGLVUXSWHQHP\FRPPDQGDQG FRQWUROGHVWUR\HQHP\VXSSOLHVRUEUHDN WKHPRUDOHRI
HQHP\FRPPDQGHUVDQGVROGLHUVLQWKHGHHSDUHD,QWKHILUVWZD\FRUSVDQGGLYLVLRQGHHSRSHUDWLRQVLVRODWH
WKHLUUHVSHFWLYHFORVH DUHDV E\ GLVUXSWLQJ RU VHYHULQJ HQHP\ VXSSRUW V\VWHPV DQG HQHP\ FRPPDQG DQG
FRQWUROZKHQWKHLQWHQWRIWKHFRUSVRUGLYLVLRQDWWDFNLVWRFRQGXFWDGHFLVLYHFORVHRSHUDWLRQ1RUPDOO\WKH
FRUSVKHDGTXDUWHUVHVWDEOLVKHVVSHFLILFUHVSRQVLELOLWLHVIRUHDFKVXERUGLQDWHGLYLVLRQ¶VGHHSRSHUDWLRQV7KH
FRUSVKHDGTXDUWHUVPD\SURYLGHJXLGDQFHWRGLYLVLRQVRQRSHUDWLRQVZLWKLQWKHGHHSDUHD
 ,Q WKHVHFRQGZD\ WKHDUUD\RIHQHP\XQLWVLQWKHVHFRQGWDFWLFDOHFKHORQUHVHUYHVFRPPDQGSRVWV
&3V DQG ORJLFDOHQWLWLHVLPSDFWIULHQGO\RSHUDWLRQV,Q WKLVFDVHFRUSVDQG GLYLVLRQVKHDGTXDUWHUVPDVV
HIIHFWVDFURVVPXOWLSOHGRPDLQVLQWKHFORVHDUHDWRHQDEOHPDQHXYHU IRUFHVWRFRQGXFWDSHQHWUDWLRQ$IWHU
WKHLQLWLDOSHQHWUDWLRQIULHQGO\IRUFHVH[SORLWWKHLUVXFFHVVLQVXIILFLHQWGHSWKWRFUHDWHGLOHPPDVIRUWKH
HQHP\FRPPDQGHUDFURVVWKHHQWLUHGHSWKRIWKHHQHP\GHIHQVH,QWKLVFDVHGHIHQGLQJHQHP\IRUFHVPRYH
WRUHVSRQGWRWKH IULHQGO\IRUFH¶VDWWDFN$V HOHPHQWVRIWKH HQHP\LQWHJUDWHGILUHVFRPPDQG ,)&  DQG
LQWHJUDWHGDLUGHIHQVHV\VWHP ,$'6 UHSRVLWLRQWKH\EHFRPHOHVVHIIHFWLYHDQGPRUHYXOQHUDEOHWRDWWDFNE\
MRLQWILUHV

(QHP\ 6HFRQG7DFWLFDO (FKHORQ


 &RUSVDXJPHQW GLYLVLRQFRXQWHUILUHRSHUDWLRQV7KH FRUSVKHDGTXDUWHUVFDQ GHVLJQDWHLWVVXSSRUWLQJ
ILHOGDUWLOOHU\EULJDGHKHDGTXDUWHUVDVWKHIRUFHILHOGDUWLOOHU\KHDGTXDUWHUVDQGKDYH LWRUFKHVWUDWHWKHDWWDFN
RIHQHP\FRXQWHUILUHWDUJHWVWRDWWULWGLVUXSWDQGHYHQWXDOO\GHVWUR\WKHHQHP\¶V ,)&DQG,$'67KH FRUSV
HPSOR\VWKH$UP\7DFWLFDO0LVVLOH6\VWHPWKHH[WHQGHGUDQJHPXOWLSOHODXQFKURFNHWV\VWHPDUPHG8$6V
DQG DWWDFN KHOLFRSWHUVLQDGGLWLRQWRMRLQWILUHVWRGHVWUR\HQHP\FDSDELOLWLHV7KLV FRXQWHUILUHHIIRUWDOVR
HPSOR\VQRQOHWKDOHIIHFWVIURP,5&V VXFK DV (: 2&2 DQG 0,62 7KH FRUSVHVWDEOLVKHVILUHVXSSRUW
FRRUGLQDWLRQPHDVXUHV )6&0V DQGDLUVSDFHFRRUGLQDWLQJPHDVXUHVWRHQVXUHH[SHGLWLRXVDQGVLPXOWDQHRXV
ILUHVDQGDYLDWLRQPDQHXYHU DQGWRHDVHDQG DLGWKHVKLIWLQJRIUHVSRQVLELOLWLHVIRUGHHSRSHUDWLRQVEHWZHHQ
WKHFRUSVDQGLWVVXERUGLQDWHDWWDFNLQJGLYLVLRQV7KRVHFRRUGLQDWLRQPHDVXUHVDUHWKHDXWKRULWLHVJUDQWHGIRU
VSHFLILFDFWLRQVLQWKHFDVHRI(:2&2DQG0,62
 ,Q DGGLWLRQWRHQHP\PDQHXYHU HOHPHQWVFRUSVDQG GLYLVLRQVDWWDFNHQHP\VXSSRUWIDFLOLWLHVRUNH\
LQIUDVWUXFWXUHVXFKDVF\EHUVSDFHQRGHVDQG ORJLVWLFVXQLWVDVSDUWRIWKHLUGHHSRSHUDWLRQV7KH GHWHFWLRQ
DQGWDUJHWLQJRIHQHP\QXFOHDUDQG FKHPLFDOFDSDEOHGHOLYHU\V\VWHPVDQGWKHLUDVVRFLDWHGVSHFLDOPXQLWLRQ
VXSSO\ SRLQWV DUH LPSRUWDQW GHHS RSHUDWLRQVJRDOV 7KHVH V\VWHPVDUH RIWHQEH\RQG WKH UDQJH RI $UP\
LQIRUPDWLRQFROOHFWLRQDQGILUHVV\VWHPVVRWKH\UHTXLUHMRLQWFRRUGLQDWLRQIRUHIIHFWLYHWDUJHWLQJ

7-8 FM 3-0, C1 6 December 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

0RELOH(QHP\5HVHUYHV
 7KHHQHP\¶VUHVHUYHDQGFRXQWHUDWWDFNIRUFHVDUHXVXDOO\+37VIRUFRUSVDQGGLYLVLRQGHHSRSHUDWLRQV
HIIRUWV&RUSVDQG GLYLVLRQV KHDGTXDUWHUVLGHQWLI\ HQHP\ IRUPDWLRQVSRVVHVVLQJVXIILFLHQWILUHSRZHUDQG
PRELOLW\WRLQIOXHQFHWKHRIIHQVLYHWDVNRXWFRPHVLIWKH\DUHQRWFRXQWHUHG7KHFRUSVRUGLYLVLRQKHDGTXDUWHUV
PXVWGLVUXSWRUSUHFOXGHVXFKIRUFHVIURPLQWHUIHULQJZLWK WKHSHQHWUDWLRQRUHQYHORSPHQWRIVWDWLFHQHP\
SRVLWLRQV
 (QHP\ DWWDFN KHOLFRSWHUXQLWV DOVR SRVH D IRUPLGDEOHWKUHDW EHFDXVH RI WKHLU DELOLW\ WR PDVV DQG
PDQHXYHULQVXSSRUWRIWKHHQHP\¶VPDLQGHIHQVLYHSRVLWLRQV,GHDOO\WKHFRUSVKHDGTXDUWHUVLGHQWLILHVDQG
FRQVLGHUVVXFK XQLWV IRU GHVWUXFWLRQZKLOH WKH\ DUH VWLOOLQ WKHLU DVVHPEO\ DUHDV 7KLV XVXDOO\ LQYROYHV
FRQWULEXWLRQVIURPHFKHORQDERYH FRUSVLQWHOOLJHQFHRUJDQL]DWLRQVDQG WKHHPSOR\PHQWRIMRLQWILUHV7KH
FRUSVKHDGTXDUWHUVDOVRDOORFDWHVDQ\ DYDLODEOH VKRUWUDQJHDLUGHIHQVHDVVHWVWRWKHPDLQHIIRUWGLYLVLRQWR
SURYLGH FRYHUDJH DW WKH SRLQW RI SHQHWUDWLRQZKHUH IULHQGO\ IRUFHVDUH OLNHO\ WR EH PRVWFRQFHQWUDWHG
(IIHFWLYH PHDQV RI PLWLJDWLQJ HQHP\ URWDU\ZLQJ WKUHDWV GXULQJ WKH RIIHQVHLQFOXGH D FRPELQDWLRQ RI
VKRUWUDQJHDLU GHIHQVHV\VWHPVFRPELQHGDUPV IRU DLU GHIHQVHGHHS VWULNHVRQ HQHP\ DYLDWLRQ DVVHWV
EDWWOHILHOGREVFXUDWLRQOLPLWHGYLVLELOLW\FRQGLWLRQV(:DQGUDSLGPDQHXYHU

(QHP\ &RPPDQGDQG&RQWURO1RGHVDQG/RJLFDO(QWLWLHV
 7KH FRUSVKHDGTXDUWHUVXVHVMRLQWDVVHWVDQG $UP\(:V\VWHPVWRMDPHQHP\FRPPDQGDQG FRQWURO
&  QHWZRUNV DQG GLVUXSW HQHP\ LQWHOOLJHQFHFROOHFWLRQ HIIRUWV WR SUHFOXGH DQG GLVUXSW WKH IORZ RI
LQIRUPDWLRQ ZLWKLQ DQG EHWZHHQ HQHP\ KHDGTXDUWHUV &RUSV DQG GLYLVLRQ KHDGTXDUWHUV W\SLFDOO\ WDUJHW
LGHQWLILHGHQHP\ &3V WR GLVUXSW WKH HQHP\¶V FDSDELOLW\ WRSURYLGH GLUHFWLRQDQG FRQWURO7KHVH DFWLRQV
GHJUDGH WKHFRKHVLRQRIHQHP\GHIHQVHVDQG OLPLWWKH HQHP\FRPPDQGHU¶VIOH[LELOLW\WRDOWHUWKHHQHP\
GHIHQVLYHVFKHPH&RPPDQGHUVHPSOR\(:DQG2&2DWWDFNVWRGLVUXSWHQHP\ORJLFDOHQWLWLHV6XFKDFWLRQV
VKRXOGEH D FRUSVSULRULW\HIIRUWXQOHVVDQ HIIHFWLYHHQHP\&V\VWHPLVQHFHVVDU\WRVXSSRUWD IULHQGO\
PLOLWDU\GHFHSWLRQ 0,/'(& RULWLVPRUHDGYDQWDJHRXV WRFRQWLQXHWRH[SORLWLQIRUPDWLRQEHLQJREWDLQHG
IURPDSDUWLFXODUHQHP\FRPPDQGQRGH
 )LJXUH  RQ SDJH  LOOXVWUDWHV WKH VHFRQG ZD\ RI SODQQLQJ RSHUDWLRQV LQ GHSWK ,W VKRZV WKH
HVWDEOLVKPHQWRI WZR SXUSOH NLOO ER[HV WKDW H[SHGLWH WKH DWWDFN RI WKH UHSRVLWLRQHG ,)& DQG WKH HQHP\
FRPELQHGDUPVDUP\PDLQ&3 6HH$73IRUPRUHLQIRUPDWLRQRQGHHSRSHUDWLRQV

3/$11,1*5(&211$,66$1&( $1' 6(&85,7< 23(5$7,216


$JLWDWHKLPDQGDVFHUWDLQWKHSDWWHUQRIKLVPRYHPHQW'HWHUPLQHKLVGLVSRVLWLRQVDQGVR
DVFHUWDLQWKHILHOGRIEDWWOH
6XQ7]X

 $ FRUSV RU GLYLVLRQ QRUPDOO\ FRQGXFWVUHFRQQDLVVDQFHIRUZDUG RI LWV VXERUGLQDWH HFKHORQVRU L W
SURYLGHVVHFXULW\EHIRUHPDNLQJ FRQWDFWZLWK WKHHQHP\PDLQ ERG\ +RZHYHU RQFHWKHFRUSVRUGLYLVLRQ
FRPPLWVLWV PDLQ ERG\ IRUFHVWKDW DWWDFNLQJ VXERUGLQDWH HFKHORQD GLYLVLRQ RU %&7 SURYLGHV LWV RZQ
VHFXULW\7KH LQWURGXFWLRQRI DQRWKHU FRUSVRU GLYLVLRQFRQWUROOHGHOHPHQW EHWZHHQ WKH GHHS DUHD DQG
DWWDFNLQJ IRUFHVLQ WKH FORVHDUHD RQO\ WHQGV WR LQFUHDVHWKH FRRUGLQDWLRQQHFHVVDU\EHWZHHQ XQLWV DQG
FRPSOLFDWHVWKHFRQWURODQGH[HFXWLRQRIFORVHRSHUDWLRQV
 ,QVRPHVLWXDWLRQVWKHDWWDFNLQJVXERUGLQDWHHFKHORQPD\GLUHFWO\FRQWUROWKHKLJKHUHFKHORQ¶VVHFXULW\
IRUFH)RUDQ DWWDFNLQJ FRUSVWKLVZRXOG EHWKHGLYLVLRQFRQGXFWLQJWKHPDLQ HIIRUWWKDWLVFRQWUROOLQJWKH
FRUSVIRUZDUGVHFXULW\IRUFHZKLOH LWLVSHUIRUPLQJHLWKHUDIRUZDUGJXDUG RUD FRYHU'LYLVLRQVQRUPDOO\
GHVLJQDWHDQ DGYDQFH JXDUG DQG FRQGXFWD IODQN VFUHHQRIWKHLUPRVWYXOQHUDEOH IODQN +RZHYHU D FRUSV
KHDGTXDUWHUVPD\ SURYLGH D VHSDUDWHVHFXULW\IRUFHWRSHUIRUPHLWKHUD JXDUG RUVFUHHQRQD SDUWLFXODUO\
VHQVLWLYHIODQNVXFKDVDORQJRQHRIWKHFRUSV¶ERXQGDULHV

6 December 2017 FM 3-0, C1 7-9


Chapter 7

+Figure 7-4. Example penetration followed by exploitation

7-10 FM 3-0, C1 6 December 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

3/$11,1*'(&,6,9( $1'6+$3,1* 23(5$7,216$1'0$,1$1'6833257,1* ())2576


2UGHUVVKRXOGQRWDWWHPSWWRDUUDQJHPDWWHUVWRRIDULQDGYDQFHIRUFRXQWHUPHDVXUHVRI
WKHHQHP\DQGXQH[SHFWHGFRQWLQJHQFLHVZLOORIWHQPDNHLWQHFHVVDU\WRUHFDOOWKHRULJLQDO
RUGHUVDQGVXEVWLWXWHRWKHUV
Field Service Regulations 

 7KH FRUSVRU GLYLVLRQ FRPPDQGHU¶V YLVXDOL]DWLRQ DOORZV IRU WKH LVVXH RI WKH FRPPDQGHU¶V LQLWLDO
JXLGDQFHWRWKHVWDIIDVWRKRZWKHFRPPDQGHUZDQWV WRFRQGXFWRIIHQVLYHWDVNV2QHNH\IDFWRULVWKH$2
DVVLJQHGWRWKHFRUSVRUGLYLVLRQE\DKLJKHUKHDGTXDUWHUV7KHFRUSVRUGLYLVLRQFRPPDQGHUVWUXFWXUHVWKLV
$2 E\ DVVLJQLQJ REMHFWLYHVERXQGDULHVSKDVH 3/VDQG RWKHUFRQWUROPHDVXUHVWRHQVXUHWKHVXFFHVVIXO
V\QFKURQL]DWLRQRIVXERUGLQDWHXQLWRSHUDWLRQV
 'XULQJSODQQLQJ WKHFRPPDQGHUEHJLQVWKHSURFHVVE\GHYHORSLQJSODQQLQJJXLGDQFH7KHSODQQLQJ
JXLGDQFHVWDWHVWKHFRPPDQGHU¶VLQWHQWUHILQHVWKHVWDIIGHYHORSHGVXJJHVWLRQVIRUWKHFRPPDQGHU¶VFULWLFDO
LQIRUPDWLRQUHTXLUHPHQWVDQG GLUHFWVWKHVWDIISODQQLQJ HIIRUW7KH VWDIISUHSDUHVRUGHUVIRUVXERUGLQDWH
HFKHORQV DQG HVWDEOLVKHV WKH FRQWURO PHDVXUHV QHFHVVDU\ WR FRQGXFW WKH FRUSV¶ RU GLYLVLRQ¶V GHFLVLYH
RSHUDWLRQV
 7KHFRPPDQGHUDQGVWDIIFRQVLGHUILYHFRPSOHPHQWDU\HOHPHQWVZKHQSODQQLQJRIIHQVLYHWDVNV7KHVH
HOHPHQWVLQFOXGH²
z +RZZLOOWKHFRUSVRUGLYLVLRQFRQGXFWUHFRQQDLVVDQFHDQGVHFXULW\RSHUDWLRQVIRUZDUGDQGWRWKH
IODQNVDQGUHDURIWKHFRUSVRUGLYLVLRQ¶VGHFLVLYHDQGVKDSLQJRSHUDWLRQV"
z +RZZLOOWKHFRUSVRUGLYLVLRQFRQGXFWVKDSLQJRSHUDWLRQVGLUHFWHGDJDLQVWYLWDOHQHP\HOHPHQWV
UHJDUGOHVVRIWKHLUORFDWLRQVLQWKH$2"
z 7KH LQLWLDWLRQ RI WKH FRUSV RU GLYLVLRQ¶V GHFLVLYH RSHUDWLRQV UHTXLUHV WKH UHDFKLQJ RI ZKDW
FRQGLWLRQV"
z :KDWLVWKHDFFHSWDEOHGHJUHHRIULVNLQUHJDUGVWRWKHFRUSVRUGLYLVLRQUHVHUYH ¶VFRPSRVLWLRQ
VL]HDQGORFDWLRQ"
z :KDW DFWLYLWLHVE\ WKH RWKHU HOHPHQWVRI FRPEDW SRZHU DUH QHFHVVDU\WR PDLQWDLQ RIIHQVLYH
PRPHQWXP"
&RPPDQGHUVDQGVWDIIVVKRXOGFRQVLGHUWKHVHHOHPHQWVZKHQIRUPXODWLQJWKHFRQFHSWRIRSHUDWLRQVVFKHPH
RIPDQHXYHU DQG VFKHPHRIILUHVDQG ZKLOHV\QFKURQL]LQJGHFLVLYHVKDSLQJ DQG VXVWDLQLQJRSHUDWLRQVRU
ZKDWHYHU RWKHURSHUDWLRQDOIUDPHZRUNFRPPDQGHUVFKRRVHWRXVH7KH HQHP\IRUFHVDQG VXSSRUWV\VWHPV
WDUJHWHGDVSDUWRIWKHRIIHQVHGHSHQGRQWKHPLVVLRQYDULDEOHV
 &RUSV DQG GLYLVLRQ FRPPDQGHUV QRUPDOO\ DWWHPSW WR SHUIRUPDQ HQYHORSPHQW ZKHQ DWWDFNLQJ DQ
HQHP\ LQ SUHSDUHGGHIHQVLYHSRVLWLRQV 3DUDJUDSKVWKURXJK GLVFXVVWKHHQYHORSPHQW 8QLWV
FRQGXFWLQJWKHGHFLVLYHRSHUDWLRQHLWKHUILQGDQH[SRVHGIODQNRUFRQGXFWDSHQHWUDWLRQRIWKHHQHP\GHIHQVH
WRH[SRVHDIODQN 3DUDJUDSKVDQGGLVFXVVWKHSHQHWUDWLRQ )LQGLQJDQH[SRVHGIODQNLVHDVLHU
WRDFKLHYHZKHQ WKHHQHP\IRUFHRFFXSLHVQRQFRQWLJXRXVGHIHQVLYHSRVLWLRQV:LWKRXWDQ H[SRVHGHQHP\
IODQN WKHFRUSVRUGLYLVLRQLQLWLDOPDLQ HIIRUWIRFXVHVRQSHQHWUDWLQJWKHZHDNHVWSRLQWLQWKHPDLQHQHP\
GHIHQVLYHSRVLWLRQ6XSSRUWLQJ DWWDFNVIL[ DQ\ DGMDFHQW HQHP\IRUFHVRUPRELOHFRXQWHUDWWDFNIRUFHVWKDW
FRXOGUHDFWWRWKHSHQHWUDWLRQ
 7\SLFDOO\WKHPDLQHIIRUWZRXOGWKHQVKLIWWRDWUDLOLQJIULHQGO\XQLW XVXDOO\DGLYLVLRQIRUDFRUSVRU
D%&7IRUDGLYLVLRQ PRYLQJWKURXJKWKHDUHDZKHUHWKHSHQHWUDWLRQRFFXUUHGRQFHWKDWXQLWDVVXPHVFRQWURO
RIWKH$2 DQGEHJLQVLWVDWWDFNDJDLQVWHQHP\GHIHQVHVLQGHSWK7KLVVKLIWGRHVQRWQRUPDOO\RFFXUXQWLODW
OHDVWD%&7 RIWKHWUDLOLQJGLYLVLRQRUDPDQHXYHUEDWWDOLRQRIWKHWUDLOLQJ%&7 KDVSDVVHGWKURXJKWKHDUHD
RISHQHWUDWLRQDQG LVDEOHWRGHSOR\LQWRDQDWWDFNIRUPDWLRQ3ULRULW\RIWKHXQLWVDWWDFNLQJHQHP\GHIHQVHV
LQGHSWKJHQHUDOO\JRHVWRWKHXQLWWDVNHGZLWKGHIHDWLQJDFRXQWHUDWWDFNE\ODUJHPRELOHHQHP\IRUPDWLRQV

3/$11,1*5(6(59( 23(5$7,216
 7KH UHVHUYHLVWKDWSRUWLRQRIDERG\RIWURRSVZKLFK LVZLWKKHOG IURPDFWLRQDWWKHEHJLQQLQJRIDQ
HQJDJHPHQWLQRUGHUWREHDYDLODEOH IRUDGHFLVLYHPRYHPHQW $'53 ,WLVDFRPPDQGHU¶VSULQFLSDO
PHDQVRILQIOXHQFLQJWKHDFWLRQGHFLVLYHO\RQFHDQRSHUDWLRQLVXQGHUZD\ $UHVHUYHLVQRWFRPPLWWHGWRD

6 December 2017 FM 3-0, C1 7-11


Chapter 7

SDUWLFXODUFRXUVHRIDFWLRQ,WGRHVQRWKDYH DSODQQHG VXEVHTXHQWPLVVLRQ,WVFRPPLWPHQWVROHO\GHSHQGV


RQWKHIORZRIWKHEDWWOH7KHFRPPDQGHUHVWDEOLVKHVLWVSODQQLQJSULRULWLHVIRUOLNHO\FRQWLQJHQFLHV$UHVHUYH
UHLQIRUFHVRUPDLQWDLQVWKHDWWDFN¶VPRPHQWXPE\²
z ([SORLWLQJVXFFHVVZKHQWKHRSSRUWXQLW\DULVHV
z &RXQWHULQJWDFWLFDOUHYHUVHVVXFKDVDQHQHP\FRXQWHUDWWDFNDJDLQVWFRPPLWWHGXQLWV
z 6XVWDLQLQJWKHDWWDFNRIDFRPPLWWHGXQLW
z &RXQWHULQJWKUHDWVWRWKHFRUSVRUGLYLVLRQVXSSRUWDUHDVDQG FRQVROLGDWLRQDUHDV LIGHVLJQDWHG
WKDWH[FHHGWKHFDSDELOLWLHVRIORFDOIRUFHVWRGHIHDW
 7KH FRPPDQGHUVKRXOGPDNH SULRUSURYLVLRQVIRUGHVLJQDWLQJ DQRWKHUUHVHUYHXSRQ FRPPLWPHQWRI
WKHFRPPDQG¶VLQLWLDOUHVHUYHIRUFH7KLVLVHVSHFLDOO\LPSRUWDQWLIWKDWFRPPLWPHQWRFFXUVGXULQJWKHHDUO\
VWDJHVRIWKHEDWWOHDQGWKHRULJLQDOUHVHUYHEHFRPHVGHFLVLYHO\HQJDJHG
 ,QDGGLWLRQWRWKHDFWXDOIRUFHGHVLJQDWHGDVWKHFRUSVRUGLYLVLRQUHVHUYHWKHUHDUHWUDLOLQJXQLWVZLWKLQ
HDFK HFKHORQWKDW DOWKRXJK LQLWLDOO\XQHQJDJHG DUH FRPPLWWHGWR D VXEVHTXHQW FRXUVHRIDFWLRQ 7KHVH
WUDLOLQJXQLWVFDQEHGLYHUWHGIURPWKHLURULJLQDOWDVNVLIWKHVLWXDWLRQUHTXLUHV
 &RQWLQJHQFLHVIRUWKHXVHRIWKHUHVHUYHVKRXOGEHSDUWRIWKHFRUSVRUGLYLVLRQSODQ 7KH RSHUDWLRQV
RUGHUDVVLJQV³EHSUHSDUHG´WDVNVWRWKHUHVHUYHWRDLGLQLWVSODQQLQJDQG H[HFXWLRQ3ODQQHUVPXVWFRQVLGHU
WKHDVSHFWVRIWLPHDQG VSDFHZKHQ UHFRPPHQGLQJWKHSRVLWLRQLQJRIUHVHUYHIRUFHVWRWKHLUFRPPDQGHU
&RPPDQGHUVPXVWUHPHPEHUWKDWVXERUGLQDWHFRPPDQGHUVUHTXLUHSODQQLQJ DQG SUHSDUDWLRQWLPHIRUHDFK
³EHSUHSDUHG´PLVVLRQ
 1RUPDOO\FRUSVSODQQLQJ IRFXVHVRQSUREDEOHODUJHVFDOHHQHP\FRXQWHUDWWDFNVDJDLQVWFRPPLWWHG
GLYLVLRQV'LYLVLRQSODQQLQJIRFXVHVRQSUREDEOHHQHP\FRXQWHUDWWDFNVDJDLQVWFRPPLWWHG%&7V,ILWODFNV
WKHQHFHVVDU\FRPEDWSRZHUWRGHIHDWDQ HQHP\FRXQWHUDWWDFNLQJIRUFHWKHUHVHUYHIRUFHFRQGXFWVD KDVW\
DUHDGHIHQVHWREORFNDQHQHP\FRXQWHUDWWDFN)RULQVWDQFHFRUSVDQGGLYLVLRQSODQQHUVVKRXOGDQWLFLSDWHWKH
SRVVLELOLW\RIDFRXQWHUDWWDFNLQWRWKHLUUHDUE\JURXQGPDQHXYHUIRUFHVIURPDGMDFHQWHQHP\XQLWVQRWZLWKLQ
WKHLUUHVSHFWLYH$2V7KLVLVOLNHO\LIWKHFRUSVRUGLYLVLRQ$2RYHUODSVWKHODWHUDOERXQGDULHVRIWZRRUPRUH
GHIHQGLQJHQHP\XQLWV*LYHQWKLVVLWXDWLRQDEULJDGHVL]HUHVHUYHPD\RQO\EHDEOHWRFRQWDLQRUEORFNVXFK
DIRUFH¶VDWWDFN,WPD\ WKHQEHQHFHVVDU\WRGHIHDWRUGHVWUR\WKHIRUFHE\GLYHUWLQJDVVHWVIURPFRPPLWWHG
XQLWV
 &RPPDQG RI WKH FRUSV RU GLYLVLRQ UHVHUYH²DQG LWV DVVRFLDWHG FRQWURO RQFH FRPPLWWHG²LV DQ
LPSRUWDQWFRQVLGHUDWLRQ7KHFRUSVRUGLYLVLRQFRPPDQGHUPD\RSWWRUHWDLQFRQWURORIWKHUHVHUYHLILWPDNHV
FRQWDFWZLWKWKHFRXQWHUDWWDFNLQJHQHP\IRUFHEHIRUHWKDWHQHP\IRUFHFDQQHJDWLYHO\LQIOXHQFHFRPPLWWHG
GLYLVLRQV RU %&7V ,I QRW WKH FRUSV RU GLYLVLRQ FRPPDQGHU PD\ SODFH WKH UHVHUYH LQ D FRPPDQG
UHODWLRQVKLS²DWWDFKHGRSHUDWLRQDO FRQWURO 23&21  RU WDFWLFDOFRPPDQG 7$&21 ²WR D FRPPLWWHG
GLYLVLRQRU%&7 7KHNH\FRQVLGHUDWLRQLVZKLFKKHDGTXDUWHUVFDQEHVWFRQWUROWKHSRVVLEOHFRQYHUJHQFHRI
IULHQGO\XQLWVDQGFRRUGLQDWHWKHLUILUHVDQGPRYHPHQW
 &RPPDQGHUVPD\DOVRFRPPLWWKHUHVHUYHWRVXVWDLQWKHPRPHQWXPRIWKHDWWDFNRIDFRPPLWWHGXQLW
7KHUHDUHWKUHHEDVLFRSWLRQVIRUWKHXVHRIWKHUHVHUYHLQWKLVFDVH)LUVWWKHUHVHUYHFRQWLQXHVWKHDWWDFNDV
DVHSDUDWHIRUFHXQGHUWKHFRQWURORIWKHFRUSVRUGLYLVLRQKHDGTXDUWHUVDQG LW LVJLYHQUHVSRQVLELOLW\IRUWKH
UHPDLQGHURIWKHFRPPLWWHGXQLW¶V$27KHVHFRQGRSWLRQLVWRSODFHWKHUHVHUYHLQDFRPPDQGUHODWLRQVKLS²
DWWDFKHG23&21RU7$&21²WRWKHFRPPLWWHGXQLW7KLVUHLQIRUFHVWKHFRPPLWWHGGLYLVLRQRU%&7ZKRVH
FRPPDQGHULVSUREDEO\PRVWNQRZOHGJHDEOHRIORFDOFRQGLWLRQVZLWKRXWQHHGLQJWRFKDQJHFRQWUROPHDVXUHV
7KHWKLUGRSWLRQLVIRUWKHUHVHUYHWRDVVXPHFRQWURORIWKH$2IURPWKHFRPPLWWHGXQLWE\PHDQVRIDSDVVDJH
RIOLQHVDUHOLHILQSODFHRUDIROORZRQDQG DVVXPHWDFWLFDOPLVVLRQWDVN7KLVDOORZVWKHUDSLGLQWURGXFWLRQ
RIIUHVKIRUFHV,WDOVRDOORZVWKHKLJKHUFRPPDQGHUWRUHFRQVWLWXWHDUHVHUYHIURPWKHIRUPHUO\FRPPLWWHG
XQLWDIWHUWKDWXQLWKDVKDGHQRXJKWLPHWRUHVXSSO\DQGUHRUJDQL]HLWVHOI
 7RH[SORLWVXFFHVVWKHFRPPDQGHUFDQFRPPLWWKHUHVHUYHDWDQ\VWDJHRIWKHEDWWOH+RZHYHULQPRVW
LQVWDQFHVLWLVFRPPLWWHGGXULQJWKHODWHUVWDJHVRIWKHEDWWOHRQFHWKHFRUSVRUGLYLVLRQ¶VFRPPLWWHGIRUFHV
DFKLHYHPRVWRIWKHLUREMHFWLYHV7KH UHVHUYHZLOOWKHQSUREDEO\EHJLYHQ DVHSDUDWH$2 DQG REMHFWLYHWKDW
HQDEOHVWKHDWWDFNWRWUDQVLWLRQLQWRDQH[SORLWDWLRQDQGSRVVLEO\DSXUVXLW

7-12 FM 3-0, C1 6 December 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

 7KHHQWLUHUHVHUYHRUDEDWWDOLRQWDVNIRUFHIURPWKHUHVHUYHPD\EHWDVNHGWRSHUIRUP³EHSUHSDUHG´
PLVVLRQVLQWKHFRUSVRUGLYLVLRQVXSSRUWDQGFRQVROLGDWLRQDUHDVLQUHVSRQVHWR/HYHO,,,WKUHDWVDVWKHWDFWLFDO
FRPEDWIRUFH 7&) 6XSSRUWDQGFRQVROLGDWLRQVHFXULW\WDVNVDUHGLVFXVVHGLQSDUDJUDSKVWKURXJK

3/$11,1*6833257$1'&2162/,'$7,21$5($6(&85,7<
 7KH IOXLGLW\ DQG UDSLG WHPSR RI RSHUDWLRQV SRVH FKDOOHQJHV ZKHQ SODQQLQJ IRU WKH DUHD VHFXULW\ RI
VXSSRUW DQG FRQVROLGDWLRQ DUHDV ,I WKH FRUSV RU GLYLVLRQ LV WR PDLQWDLQ WKH LQLWLDWLYH DQG FRPEDW SRZHU
QHFHVVDU\IRUWKHVXFFHVVIXOSHUIRUPDQFHRIRIIHQVLYHWDVNVWKHFRQWLQXHGIRUZDUGPRYHPHQWRIXQLWVDQG
VXVWDLQPHQWVXSSRUWLVFULWLFDO0DLQWDLQLQJWKHLQLWLDWLYHLQWKHFORVHDUHDRIWHQUHVXOWVLQVLJQLILFDQWQXPEHUV
RIE\SDVVHGHQHP\IRUFHVDQGUHPQDQWVRIGHIHDWHGXQLWVDVIULHQGO\IRUFHVPDQHXYHUGHHSLQWRHQHP\DUHDV
E\DYRLGLQJHQHP\XQLWVLQZHOOSUHSDUHGSRVLWLRQV
 (QHP\FRPPDQGHUVORRNIRURSSRUWXQLWLHVWRFRXQWHURUDWOHDVWKLQGHUWKHSHUIRUPDQFHRIFRUSVDQG
GLYLVLRQRIIHQVLYHWDVNV7KH\DWWHPSWWRVWULNHGHHSO\LQWRIULHQGO\VXSSRUWDQGFRQVROLGDWLRQDUHDVXVLQJ
PXOWLSOHFRPELQDWLRQVRIOHWKDODQGQRQOHWKDOHIIHFWVIURPPXOWLSOHGRPDLQV&RUSVDQGGLYLVLRQKHDGTXDUWHUV
PXVW NHHS &3V RSHUDWLQJ NHHS WKHLU VXVWDLQPHQW FDSDELOLWLHV IXQFWLRQDO NHHS WKHLU UHVSHFWLYH OLQHV RI
FRPPXQLFDWLRQVRSHQRQDWOHDVWDSHULRGLFEDVLVDQGNHHSDQDFFHSWDEOHVWRFNRIVXSSOLHV7KHHQHP\ZLOO
DOPRVW DOZD\V HPSOR\ VSHFLDO SXUSRVH IRUFHV LUUHJXODU IRUFHV (: ORQJUDQJH DUWLOOHU\ URFNHWV DQG
PLVVLOHV ,5&V DQG F\EHUVSDFH HOHFWURPDJQHWLF DFWLYLWLHV &(0$  WR GLVUXSW IULHQGO\ DFWLYLWLHV (QHP\
FRQYHQWLRQDO XQLWV DQG RWKHU HOHPHQWV E\SDVVHG GXULQJ WKH DGYDQFH RI IULHQGO\ IRUFHV PXVW EH IL[HG DQG
GHVWUR\HGE\IROORZRQIRUFHVWRSUHYHQWLQWHUIHUHQFHZLWKIULHQGO\DFWLYLWLHV LQVXSSRUWDQGFRQVROLGDWLRQ
DUHDV7KHFRQGXFWRIQRQFRQWLJXRXVRSHUDWLRQVZLOOLQFUHDVHWKHGLIILFXOW\RIWKHVHWDVNVDVZLOOWKHODFNRI
IULHQGO\KRVWQDWLRQVHFXULW\IRUFHV
 &RUSVDQGGLYLVLRQFRPPDQGHUVDVVLJQUHVSRQVLELOLW\IRUWKHVXSSRUWDUHDWRDPDQHXYHUHQKDQFHPHQW
EULJDGH 0(% KHDGTXDUWHUV7KH0(%FRPPDQGHUGHVLJQDWHVEDVHVDQGEDVHFOXVWHUVIRUDOOXQLWVRSHUDWLQJ
ZLWKLQWKHVXSSRUWDUHD:LWKLQWKDWVXSSRUWDUHDWKH0(%FRPPDQGHUKDV7$&21RIDOOIULHQGO\IRUFHVIRU
WHUUDLQ PDQDJHPHQW PRYHPHQW FRQWURO FOHDUDQFH RI ILUHV DQG VHFXULW\ 'LYLVLRQ FRPPDQGHUV FDQ DOVR
FKRRVHWRHVWDEOLVKDVXSSRUWDUHDFRPPDQGSRVW 6$&3 ZLWKRQHRIWKHDVVLVWDQWGLYLVLRQFRPPDQGHUVWR
SURYLGHEHWWHUFRRUGLQDWLRQDQGPLVVLRQFRPPDQGRIWKHVXSSRUWDUHDXQLWVDQGPLVVLRQV$OOXQLWVORFDWHG
LQVXSSRUWDQGFRQVROLGDWLRQDUHDVDUHUHVSRQVLEOHIRUGHIHQGLQJWKHPVHOYHVDJDLQVWHQHP\/HYHO,WKUHDWV
$OO XQLWV LQ VXSSRUW DQG FRQVROLGDWLRQ DUHDV DOVR SHUIRUP LQIRUPDWLRQ FROOHFWLRQ ZLWKLQ WKHLU RUJDQLF
FDSDELOLWLHVDQGUHSRUWWKDWLQIRUPDWLRQWRWKHDSSURSULDWHKHDGTXDUWHUV
 0LOLWDU\SROLFH 03 XQLWV IURPWKH0(%RUDIXQFWLRQDO 03EULJDGH FRQGXFWDUHDVHFXULW\ ZLWKLQ
FRUSVDQGGLYLVLRQVXSSRUWDUHDV7KH\SHUIRUPURXWHUHFRQQDLVVDQFHDQGVHFXULW\DORQJVHOHFWHGJURXQGOLQHV
RIFRPPXQLFDWLRQVDQGPDLQVXSSO\URXWHVZLWKLQDQGH[WHUQDOWRWKHVXSSRUWDUHD 7KH DVVLVWDQWFKLHIRI
VWDII RSHUDWLRQV >*@ FRRUGLQDWHV WKH SHUIRUPDQFH RI WKHVH WDVNV RXWVLGH WKH VXSSRUW DUHD ZLWK WKH
FRPPDQGHURIWKH$2WKURXJKZKLFKWKHOLQHRIFRPPXQLFDWLRQRUPDLQVXSSO\URXWHVWUDYHUVHV 03XQLWV
PD\EHDVVLVWHGLQWKHVHHIIRUWVE\DQ\PDQHXYHUIRUFHVXQGHUWKHFRPPDQGRIWKH0(%FRPPDQGHUDQG
DQ\DYDLODEOHKRVWQDWLRQVHFXULW\IRUFHV7KLVVDPHJURXSRIIRUFHVSURYLGHVUHDFWLRQIRUFHVWRKHOSIULHQGO\
EDVHVDQGEDVHFOXVWHUVWRGHIHQGWKHPVHOYHVDJDLQVWHQHP\/HYHO,DQG,,WKUHDWVWRWKRVHEDVHVEDVHFOXVWHUV
DQGOLQHVRIFRPPXQLFDWLRQV
 &RUSVDQGGLYLVLRQFRPPDQGHUVDVVLJQVXERUGLQDWHFRPPDQGHUVUHVSRQVLELOLW\IRU$2VFRQVWLWXWLQJ
WKHFRUSVRUGLYLVLRQFRQVROLGDWLRQDUHDVUHVSHFWLYHO\7KRVHVXERUGLQDWHFRPPDQGHUVFOHDUWKHLU$2VRI
VWD\EHKLQG IRUFHVDQGE\SDVVHGHQHP\ XQLWVWRHQVXUH IULHQGO\IUHHGRPRIDFWLRQLQWKRVH DUHDVDVWKHLU
SDUHQW FRUSV RU GLYLVLRQ FRQWLQXHV WR DGYDQFH ,QLWLDOO\ WKHVH GLYLVLRQ DQG %&7 FRPPDQGHUV SULPDULO\
SHUIRUPDWWDFNVDQGDUHDVHFXULW\WDVNVDVWKH\FOHDUWKHLU$2VRIHQHP\JURXQGIRUFHV7KHVHXQLWVVKRXOG
EHFRPELQHGDUPVRUJDQL]DWLRQVVSHFLILFDOO\WDVNRUJDQL]HGIRUWKHFRQVROLGDWLRQRIJDLQVUHTXLUHPHQWVLQ
WKHLU$2V7KHVHXQLWVEHJLQSHUIRUPLQJVHOHFWLYHVWDELOLW\WDVNVRQFHWKH\HVWDEOLVKDUHDVHFXULW\ZLWKLQWKH
FRQVROLGDWLRQDUHD&RQVROLGDWLRQDUHDVUHGXFHWKHDUHDVHFXULW\DQGPLVVLRQFRPPDQGEXUGHQLQWKHVXSSRUW
DUHDEHFDXVHWKH\DOORZWKHGLYLVLRQRUFRUSVFRPPDQGHUVWRGHFUHDVHWKHVL]HRIWKH0(%$2
 7KHPRVWOLNHO\/HYHO,,,WKUHDWVWRDFRUSVRUGLYLVLRQFRQVROLGDWLRQDUHDGXULQJWKHRIIHQVHLVDVLQJOH
ODUJHFRXQWHUDWWDFNLQJHQHP\IRUFHRUWKHUHPQDQWVRIE\SDVVHGHQHP\XQLWV7KHVHXQLWVZLOOEHLQWHQWRQ²

6 October 2017 FM 3-0 7-13


Chapter 7

z 6HYHULQJ RU GLVUXSWLQJ IULHQGO\ FRUSV DQG GLYLVLRQ &3V FRPPXQLFDWLRQ VLWHV DQG VXERUGLQDWH
EULJDGHKHDGTXDUWHUV
z $WWDFNLQJVXVWDLQPHQWIDFLOLWLHVVXSSO\VWRFNVDQGFRQYR\VVXSSRUWLQJFRPPLWWHGXQLWV
z ,QWHUGLFWLQJOLQHVRIFRPPXQLFDWLRQV
z 'HVWUR\LQJDLUILHOGVDYLDWLRQDVVHPEO\DUHDVDQGDUPLQJDQGUHIXHOLQJSRLQWV
z $WWDFNLQJHFKHORQVDERYHEULJDGHDUWLOOHU\RUHQJLQHHUDVVHWV
z 'LVUXSWLQJWKHFRPPLWPHQWRIWKHFRUSVRUGLYLVLRQUHVHUYH
 7KHFRUSVZRXOGHPSOR\D7&)RIDWOHDVWEULJDGHVL]HWRFRQWHQGZLWKVXFKDWKUHDW/LPLWHGUHDFWLRQ
WLPHVDQGH[WHQGHGGLVWDQFHVUHTXLUHFRUSVDQGGLYLVLRQ7&)VWREHH[WUHPHO\PRELOHDQGFDSDEOHRIPRYLQJ
E\HPSOR\LQJDFRPELQDWLRQRIDLUDQGJURXQGDVVHWV$7&)LVW\SLFDOO\DFRPELQHGDUPVIRUPDWLRQZLWK
ERWK DLU DQG JURXQG PRXQWHG PDQHXYHU IRUFHV 7&)V DOVR W\SLFDOO\ FRQWDLQ GHGLFDWHG HQJLQHHU URXWH
FOHDUDQFHDQGPRELOLW\ DQGILHOGDUWLOOHU\DVVHWV$7&)PXVWEHDEOHWRGHVWUR\HQHP\DUPRUHGYHKLFOHVDQG
GLVPRXQWHGLQIDQWU\DVZHOODVEHLQJDEOHWRVXSSUHVVHQHP\DLUGHIHQVHDUWLOOHU\ $'$ V\VWHPVWRDOORZ
WKHHPSOR\PHQWRIIULHQGO\DWWDFNKHOLFRSWHUVDQG8$6VDJDLQVWWKH/HYHO,,,WKUHDW7KHGLYLVLRQDVVLJQHG
WRWKHFRUSVFRQVROLGDWLRQDUHDZRXOGEHWKHSUREDEOHVRXUFHRIDFRUSV7&)/LNHZLVHWKH%&7DVVLJQHGWR
WKHGLYLVLRQFRQVROLGDWLRQDUHDZRXOGEHWKHSUREDEOHVRXUFHRIDGLYLVLRQ7&)

35(3$5,1*&2536$1'',9,6,216)257+(2))(16(
 7LPHPXVWEHLQWHQVLYHO\PDQDJHGZKHQXQLWVSUHSDUHWRSHUIRUPRIIHQVLYHWDVNV6HQLRUFRPPDQGHUV
VKRXOG XVH QR PRUH WKDQ RQHWKLUG RI WKH DYDLODEOH SUHSDUDWLRQ WLPH IRU SODQQLQJ DQG LVVXLQJ RUGHUV
6XERUGLQDWHVPXVWKDYHWLPHWRFRQGXFWQHFHVVDU\LQIRUPDWLRQFROOHFWLRQDFWLYLWLHVFRRUGLQDWLRQDQGWURRS
OHDGLQJSURFHGXUHV7KHVHSUHSDUDWLRQFRQVLGHUDWLRQVDSSO\WRDOOIRXURIIHQVLYHWDVNV

35(3$5,1*)250,66,21&200$1',17+(2))(16(
7REHDWWKHKHDGRIDVWURQJFROXPQRIWURRSVLQWKHH[HFXWLRQRIVRPHWDVNWKDWUHTXLUHV
WKHEUDLQLVWKHKLJKHVWSOHDVXUHRIZDU
/LHXWHQDQW*HQHUDO:LOOLDP76KHUPDQ

 &RUSVDQGGLYLVLRQFRPPDQGHUVFRQWLQXDOO\YLVXDOL]HWKHFXUUHQWVLWXDWLRQDQGIRUPXODWHSODQVWRJHW
WKHLUIRUFHVWRWKHLQWHQGHGHQGVWDWH&RPPDQGHUVJRZKHUHWKH\FDQEHVWLQIOXHQFHWKH RSHUDWLRQ7KLVLV
ZKHUHWKHLUSHUVRQDOSUHVHQFHFDQEHIHOWDQGZKHUHWKHLUZLOOIRUYLFWRU\FDQEHVWEHH[SUHVVHGXQGHUVWRRG
DQGDFWHGRQ&RPPDQGHUVH[HUFLVHFRPPDQGIURPZKHUHYHUWKH\DUHRQWKHEDWWOHILHOGDQGWKDWSRVLWLRQ
VKRXOGEHZKHUHWKH\FDQEHVWGLUHFWOHDGDQGDVVHVVGHFLVLYHRSHUDWLRQV
 &RUSVDQGGLYLVLRQRUGHUVIRUWKHRIIHQVHLQFOXGHWKHPLQLPXPFRQWUROPHDVXUHVUHTXLUHGWRFRRUGLQDWH
WKHRSHUDWLRQ&RQWUROPHDVXUHVGHVFULEHDQGLOOXVWUDWHWKHSODQPDLQWDLQVHSDUDWLRQRIIRUFHVFRQFHQWUDWH
WKHHIIRUWSURYLGHVXERUGLQDWHVIUHHGRPRIDFWLRQDVVLVWWKHFRPPDQGHULQWKHPLVVLRQFRPPDQGRIIRUFHV
DQGDGGIOH[LELOLW\WRWKHPDQHXYHUSODQ$WDPLQLPXPFRQWUROPHDVXUHVSUHVFULEHDOLQHRIGHSDUWXUH /' 
DWLPHRIDWWDFNDQGWKHREMHFWLYH,QDGGLWLRQFRPPDQGHUVFRXOGDVVLJQ$2VDQGDQD[LVRIDGYDQFHURXWHV
3/VFKHFNSRLQWVDQG)6&0V7KH\RSWLPDOO\DOORZVXERUGLQDWHVWKHPD[LPXPIUHHGRPRIDFWLRQFRQVLVWHQW
ZLWKQHFHVVDU\V\QFKURQL]DWLRQ
 :KHQHYHU SRVVLEOH FRPPDQGHUV LVVXH RUGHUV IDFH WR IDFH WR DYRLG PLVXQGHUVWDQGLQJ 6XERUGLQDWH
FRPPDQGHUVPXVWNQRZZKDWWKHFRPPDQGDVDZKROHLVH[SHFWHGWRGRZKDWLVH[SHFWHGRIWKHPDQGZKDW
DGMDFHQW DQG VXSSRUWLQJ FRPPDQGHUV DUH H[SHFWHG WR GR 6XERUGLQDWH FRPPDQGHUV DQG VWDIIV PXVW KDYH
SHUWLQHQWLQIRUPDWLRQDQGDVPXFKWLPHDVSRVVLEOHWRSUHSDUHWKHLU SODQV:DUQLQJRUGHUVWKDWFRQWDLQDV
PXFKLQIRUPDWLRQDVSUDFWLFDODUHYLWDOLQVXERUGLQDWHSDUDOOHODWWDFNSUHSDUDWLRQV
 &RRUGLQDWLRQEHJLQVLPPHGLDWHO\XSRQUHFHLSWRIDPLVVLRQDQGFRQWLQXHVWKURXJKRXW DQRSHUDWLRQ
:KHQWLPHDOORZVFRPPDQGHUVDQGVWDIIVUHYLHZVXERUGLQDWHSODQVJLYLQJDGGLWLRQDOJXLGDQFHDVQHHGHG
WRHQVXUHDFRRUGLQDWHGHIIRUW
 ,QWKHHQGWKHVXFFHVVRIDQRSHUDWLRQGHSHQGVRQSURSHUXQGHUVWDQGLQJRIWKHFRPPDQGHU¶VLQWHQW
DQG DJJUHVVLYH H[HFXWLRQ DW WKH EDWWDOLRQ HFKHORQ DQG EHORZ 6ROGLHUV ZLOO DWWDFN ZLWK WKH UHTXLUHG
FRQILGHQFH DJJUHVVLYHQHVV DQG UHVROYH ZKHQ WKH\ XQGHUVWDQG WKHLU RZQ WDVNV ZLWKLQ WKH VFKHPH RI WKH

7-14 FM 3-0 6 October 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

RYHUDOOSODQDQG FRPPDQGHU¶VLQWHQWDQG ZKHQ WKH\NQRZ ZKDW WKHLUIHOORZ6ROGLHUVRQWKHJURXQGLQWKH


DLULQVSDFHLQF\EHUVSDFHDQGLQWKHLQIRUPDWLRQHQYLURQPHQWZLOOGR
 %DWWOHILHOGVXFFHVVUHTXLUHVHIIHFWLYHFRPPXQLFDWLRQV5HGXQGDQWV\VWHPVDUHQHFHVVDU\WRDOORZIRU
FRPPXQLFDWLRQVWKURXJKRXWFRUSVDQG GLYLVLRQ $2V LQ FRQWHVWHGHQYLURQPHQWV%RWKFRUSV DQG GLYLVLRQ
FRPPDQGHUVPXVWEHDEOHWRFRPPXQLFDWHZLWKDGMDFHQWXQLWVVXSSRUWLQJMRLQWIRUFHVDQGKRVWQDWLRQDQG
PXOWLQDWLRQDO IRUFHVLQ DGGLWLRQ WR WKHLU VXERUGLQDWHV 7KH XVH RI SULPDU\ DOWHUQDWH FRQWLQJHQF\ DQG
HPHUJHQF\ 3$&(  IRUPV RI FRPPXQLFDWLRQDV ZHOO DV RUJDQLF XQLW OLDLVRQ WHDPV DQG GLJLWDO OLDLVRQ
GHWDFKPHQWVSURYLGHFRPPDQGHUVRSWLRQVWRHQVXUHHIIHFWLYHFRRUGLQDWLRQDQGLQWHURSHUDELOLW\&RQWLQXRXV
PLVVLRQFRPPDQGUHTXLUHVDGHTXDWHEXWQRWFRQWLQXRXVFRQQHFWLYLW\
 $Q DWWDFNLQJ FRUSV FRPPDQGHU XVXDOO\ PRYHV ZLWK WKH GLYLVLRQ FRQGXFWLQJ WKH FRUSV GHFLVLYH
RSHUDWLRQDQG FRPPDQGVWKH FRUSVIURPWKLVIRUZDUG ORFDWLRQIURPD FRPEDWYHKLFOH RUWKHWDFWLFDO&3
/LNHZLVHDQ DWWDFNLQJGLYLVLRQFRPPDQGHUPD\ PRYHZLWK WKH%&7 FRQGXFWLQJWKHGLYLVLRQPDLQ DWWDFN
0DLQDQGWDFWLFDO&3VGLVSODFHIRUZDUGRQO\ZKHQQHFHVVDU\DVWKHDWWDFNSURJUHVVHVRUWKHVLWXDWLRQSHUPLWV
7R HQVXUH VXUYLYDELOLW\ FRPPDQGHUV PXVW UHGXFH WKH YLVXDO DQG HOHFWURPDJQHWLF VLJQDWXUH RI WKHLU
KHDGTXDUWHUV7KLV LQFOXGHVPHDVXUHVVXFKDVGLVSHUVLRQRIFRPPDQGSRVWVVXUYLYDELOLW\ SRVLWLRQVXVHRI
ILEHURSWLFFDEOHFDPRXIODJHFRYHUDQGFRQFHDOPHQWPDVNLQJDQWHQQDVZLWKWHUUDLQDQGUHPRWHO\ORFDWLQJ
WKHKHDGTXDUWHUV¶DVVRFLDWHGDQWHQQDVDQGVDWHOOLWHGLVKHV
 6XVWDLQPHQWXQLWVUHTXLUHVXIILFLHQWFRPPXQLFDWLRQVWRPDLQWDLQFRQWURORYHUWKHLUDVVHWVRSHUDWLQJ
IURPGLVSHUVHGORFDWLRQV²VXFKDVVXSSO\SRLQWVPDLQWHQDQFHFROOHFWLRQSRLQWVDPEXODQFHH[FKDQJHSRLQWV
DQG LQWUDQVLWORQJKDXO FRQYR\V²WKURXJKRXWFRUSVDQG GLYLVLRQ $2V 6XVWDLQPHQW UHTXLUHPHQWVDQGWKH
HQHP\ VLWXDWLRQ ZLOO FKDQJH UDSLGO\ LQ ERWK FRQWLJXRXVDQG QRQFRQWLJXRXV HQYLURQPHQWV 7KHVH VPDOO
GLVSHUVHGVXVWDLQPHQWDVVHWVDUH H[WUHPHO\YXOQHUDEOH WR HQHP\SK\VLFDO F\EHUVSDFH(06 GHQLDO DQG
LQIRUPDWLRQDFWLYLWLHVDWWDFNV

35(3$5,1*)25029(0(17 $1' 0$1(89(5 ,1 7+( 2))(16(


 &RUSVDQG GLYLVLRQ VXERUGLQDWHXQLWVSUHSDULQJ WR SHUIRUPRIIHQVLYHWDVNVUHPDLQ GLVSHUVHGXQWLO
LPPHGLDWHO\EHIRUHFRPPHQFHPHQWRIWKHRIIHQVHRQFHWKH\RFFXS\WKHLUUHVSHFWLYH$2V$WWKHSUHVFULEHG
WLPHRUHYHQWWKHFRUSVRUGLYLVLRQFRQFHQWUDWHVLWVVXERUGLQDWHXQLWVVXIILFLHQWO\WRPDVVWKHLUHIIHFWVDWD
VSHFLILFSRLQW LQ WKH HQHP\ GHIHQVH7KLV DFKLHYHV GHFLVLYH UHVXOWVE\ ZHLJKWLQJ WKH PDLQ HIIRUWDQG
SURYLGLQJ RQO\WKHDEVROXWHPLQLPXPFRPEDWSRZHUWRVKDSLQJ RSHUDWLRQV7KH FRUSVRUGLYLVLRQRUWKHLU
VXERUGLQDWHXQLWVFRQGXFWDQDSSURDFKPDUFK RYHUPXOWLSOHURXWHVZKHQDYDLODEOH WRFORVHZLWKWKHHQHP\
LIWKRVHXQLWVPXVWPRYHDFRQVLGHUDEOHGLVWDQFHWRJDLQFRQWDFWRUDWWDFNWKHHQHP\ 6HH)0IRUD
GLVFXVVLRQRIWKHDSSURDFKPDUFK 
 &RUSVDQGGLYLVLRQFRPPDQGHUVQRUPDOO\FRQGXFWGHOLEHUDWHRSHUDWLRQVZKHQWKHLUVWDIIVFDQGHYHORS
WKRURXJK DQG WLPHO\ LQWHOOLJHQFH RQWKH HQHP\ &RUSV DQG GLYLVLRQ SODQV UHWDLQ IOH[LELOLW\WR IDFLOLWDWH
WUDQVLWLRQVWREUDQFKHVDQG VHTXHOVRIWKHEDVHSODQ DOWKRXJK VXERUGLQDWHXQLW GHOLEHUDWHDWWDFNSODQVDUH
GHWDLOHG7KH KLJKHUWKHHFKHORQWKHIXUWKHURXWLQWHUPVRIWLPHDQG VSDFHWKDWHFKHORQ¶VSODQQHUVVKRXOG
SODQ &RUSVORRNGHHSHULQ VSDFHDQG WLPHZKLOHFRQVLGHULQJVHFRQGDQG WKLUGRUGHUHIIHFWVRIFXUUHQWDQG
SODQQHGRSHUDWLRQVWKDQGLYLVLRQVDQGGLYLVLRQVORRNGHHSHUWKDQWKHLUVXERUGLQDWHEULJDGHV
 &RUSVDQG GLYLVLRQXQLWVYDU\ WKHLUWHPSRRIRSHUDWLRQVFRQFHQWUDWHUDSLGO\WRVWULNHWKHHQHP\WKHQ
GLVSHUVHDQGPDQHXYHUWRVXEVHTXHQWREMHFWLYHV7KHVHDFWLRQVKHOSNHHSWKHHQHP\RIIEDODQFHDQGSUHFOXGH
WKHHQHP\¶VHIIHFWLYHHPSOR\PHQWRIPDVVHGILUHVLQFOXGLQJZHDSRQVRIPDVVGHVWUXFWLRQ :0' &RUSV
DQG GLYLVLRQVPD\FRQGXFWDIHLQWGHPRQVWUDWLRQRUUHFRQQDLVVDQFHLQIRUFHWRGHFHLYHWKHHQHP\DQG WHVW
HQHP\GLVSRVLWLRQVEHIRUHWKHLQLWLDWLRQRIWKHGHFLVLYHRSHUDWLRQ

6 December 2017 FM 3-0, C1 7-15


Chapter 7

0RYHPHQWDQG0DQHXYHU7KH$UDE,VUDHOL:DU

$IWHUWKHGHVWUXFWLRQRILWVDLUIRUFHDQGGHIHDWRILWVJURXQGIRUFHVE\,VUDHOLQWKH
6L['D\:DU(J\SWUHRUJDQL]HGLWVDUPHGIRUFHVLQSUHSDUDWLRQIRUZKDW LWVDZDVWKH
LQHYLWDEOH QH[W FRQIOLFW:LWKKHOSIURPWKH 6RYLHW 8QLRQ LWDFTXLUHGD PRGHUQ ,$'6
DQG DQWLWDQN JXLGHG PLVVLOH V\VWHPV WR FRXQWHUWKH ,VUDHOLDLUDQGDUPRU IRUFHVWKDW
KDGEHHQDODUJHIDFWRULQLWVGHIHDWVLQWKUHHSUHYLRXVZDUV7KHQHZFDSDELOLWLHVJDYH
WKH (J\SWLDQ DUP\WKH RSSRUWXQLW\ WR VXUSULVHDQG GLVUXSW WKH SRWHQW ,VUDHOL 'HIHQVH
)RUFHVDLUJURXQGWHDPZKLFKLWH[SORLWHG LQ

,QDZHOOSODQQHG DQGUHKHDUVHG RSHUDWLRQ(J\SWLDQ IRUFHVUDSLGO\DVVDXOWHG DFURVV


WKH6XH]&DQDOSHQHWUDWHG,VUDHOL'HIHQVH )RUFH GHIHQVLYHSRVLWLRQVDQGHVWDEOLVKHG
DGHOLEHUDWH GHIHQVH DIWHUDVKRUWDGYDQFH 7KH,VUDHOLFRXQWHUDWWDFN ZLWKDLUFUDIWDQG
DQDUPRUHGEULJDGHZDV GHIHDWHG ZLWK KHDY\ORVVHV IURPVXUIDFHWRDLUPLVVLOHV DQG
DQWLWDQN JXLGHG PLVVLOH V\VWHPV UHVSHFWLYHO\ 7KH ORVVHV ZHUH D VKRFN WR WKH
SUHYLRXVO\ XQGHIHDWHG ,VUDHOL DLU DQG DUPRU IRUFHV ZKLFK QHHGHG WR TXLFNO\
UHFRQVWLWXWH DQG DGDSW WR D YHU\ GLIIHUHQW RSHUDWLRQDO HQYLURQPHQW WKDQ  7KH
,VUDHOL$UP\UHFRJQL]HGWKDW DPRXQWHG WDQN RQO\DSSURDFKZDV QRW JRLQJWRGHIHDW
ZHOO WUDLQHGLQIDQWU\ZLWKPRGHUQ ORQJUDQJHDQWLWDQNPLVVLOHV RQO\DFRPELQHGDUPV
DSSURDFKWRFORVHFRPEDWZRXOG EHHIIHFWLYH7KXVLQIDQWU\XQLWVZHUHWDVNRUJDQL]HG
LQWRWKHDUPRUHGEULJDGHV

2QFHWKHWDVNRUJDQL]HGEULJDGHV FOHDUHGWKH&KLQHVH)DUPDQGSHQHWUDWHG (J\SWLDQ


ILUVWHFKHORQGHIHQVHVWKH,VUDHOL$UP\ZDVDEOHWRGLVUXSWDQGXOWLPDWHO\ FROODSVH WKH
,$'6XPEUHOOD E\GHVWUR\LQJ YXOQHUDEOH ODXQFKHUV DQG UDGDUVZLWK GLUHFWILUH%\WKH
WLPH WKH ,$'6ZDV ODUJHO\ GHVWUR\HG RQ WKH JURXQGWKH ,VUDHOL$LU)RUFHZDV DJDLQ
UHDG\IRURIIHQVLYHRSHUDWLRQV,WRYHUZKHOPHG WKH(J\SWLDQ$LU)RUFHDQGFRQWULEXWHG
WR WKH FRPSOHWH WDFWLFDO GHIHDW RI WKH (J\SWLDQ DUP\8OWLPDWHO\ WKH ,VUDHOL 'HIHQVH
)RUFHFRXQWHUDWWDFNV KDOWHG MXVW VKRUW RI&DLURGXH PRUH WR ZRUOG SROLWLFDO SUHVVXUH
WKDQPLOLWDU\IDFWRUV

,VUDHOLRYHU GHSHQGHQFH RQ WDQNRQO\ IRUPDWLRQV ZDV DIXQFWLRQRIFDVXDOW\ DYHUVLRQ


DQGLPSDWLHQW FRPPDQGHUV PRUHWKDQ GRFWULQH0RELOL]DWLRQ RIUHVHUYLVWV HYHQ LQWKH
,VUDHOL DUP\WDNHV WLPH DQG WDQN XQLWV PDGH XSWKH SUHSRQGHUDQFH RIUHDG\IRUFHV
ZKHQ WKH ZDU VWDUWHG 7KH QHHG IRUVSHHG ZDV LQIOXHQFHGE\WKH GHPDQGV RIDWZR
IURQWZDUWKDW ZDV VWUHVVLQJ DVPDOO IRUFHLQWHUPV RIWKUHDWVFRSHDQGVFDOHWKDW KDG
QRWEHHQVWUHVVHG EHIRUH

 &RUSVDQGGLYLVLRQVHPSOR\DPL[RIDUPRUHGEULJDGHFRPEDWWHDPV $%&7V LQIDQWU\EULJDGHFRPEDW


WHDPV ,%&7V DQG6WU\NHUEULJDGHFRPEDWWHDPV 6%&7V LQDGGLWLRQWRWKHLURWKHUEULJDGHV²VXFKDVILHOG
DUWLOOHU\FRPEDW DYLDWLRQ DQG PDQHXYHU HQKDQFHPHQW²ZKHQ SUHSDULQJ WR FRQGXFW RIIHQVLYHWDVNV 7R
FDSLWDOL]HRQHDFKW\SHRI%&7¶V XQLTXHFDSDELOLWLHVZKLOHPLQLPL]LQJWKHLUOLPLWDWLRQVFRPPDQGHUVPXVW
GHWHUPLQH²
z 7KHWDVNVWKH\DUHWRDFFRPSOLVK
z 7KHDSSURSULDWHOHYHOZKHUHWDVNRUJDQL]DWLRQVKRXOGRFFXU
z 7KHDSSURSULDWHFRPPDQGRUVXSSRUWUHODWLRQVKLSV
z 7KHUHTXLUHGDPRXQWDQGW\SHRIDXJPHQWDWLRQDQGVXSSRUWWKH\DUHWRSURYLGHWRWKHIRUFH
z 7KHVXVWDLQPHQWFRQFHSW
 $XJPHQWDWLRQQRUPDOO\LVUHTXLUHGLIDFRPPDQGHUDWWDFKHVFRPELQHGDUPVDQG6WU\NHUEDWWDOLRQVWR
,%&7V &RPPDQG DQG VXSSRUW UHODWLRQVKLSFRQVLGHUDWLRQVDQG FDSDELOLWLHVDUH HVVHQWLDOLQ HQVXULQJ WKH
IHDVLELOLW\RI WDVNRUJDQL]LQJ EHWZHHQ GLIIHUHQWW\SHV RI %&7V 'LVPRXQWHG LQIDQWU\ ZLWKLQ 6%&7V DQG
,%&7V FDQ²

7-16 FM 3-0, C1 6 December 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

z ,QILOWUDWHHQHP\SRVLWLRQVDQGHVWDEOLVKVXSSRUWE\ILUHSRVLWLRQVWRIDFLOLWDWHDVXEVHTXHQWDWWDFN
E\FRPELQHGDUPV WDQNDQGLQIDQWU\ILJKWLQJYHKLFOH DQGPRXQWHG6WU\NHUEDWWDOLRQV
z &RQGXFWRSHUDWLRQVLQXUEDQDQGFRPSOH[WHUUDLQ
z 5DSLGO\ UHVSRQG WR WKUHDWV GLUHFWHG DJDLQVW HFKHORQ VXSSRUW DQG FRQVROLGDWLRQ DUHDV ZKHQ
VXSSRUWHGE\DVVDXOWDYLDWLRQ
z &RQGXFWDLUDVVDXOWVWRVHL]HNH\WHUUDLQRUGHVWUR\HQHP\IRUPDWLRQV
z 3HUIRUPHFRQRP\RIIRUFHPLVVLRQV
 'LVPRXQWHG LQIDQWU\ IRUFHVPD\ UHTXLUHDXJPHQWDWLRQ WR LQFUHDVHWKHLUDQWLDUPRU FDSDELOLW\ DQG
PRELOLW\'LVPRXQWHGLQIDQWU\ EDWWDOLRQV DQG FRPSDQLHV FDQ EH DWWDFKHG WR $%&7V DQG 6%&7V DQG YLFH
YHUVD+RZHYHUGLVPRXQWHGLQIDQWU\XQLWVVKRXOGQRWEHVRRYHUEXUGHQHGZLWKDXJPHQWDWLRQWKDWWKH\ORVH
WKHLUXQLTXH FDSDELOLWLHV7KH VFKHPHRIVXVWDLQPHQWPXVW HQVXUHWKDW RUJDQL]DWLRQV UHWDLQWKH DELOLW\ WR
VXSSRUWWDVNRUJDQL]DWLRQFKDQJHVSDUWLFXODUO\ZLWKUHJDUGWRPDLQWHQDQFHIXHOLQJUHDUPLQJDQGUHFRYHU\
RSHUDWLRQV
 )ULHQGO\GLVPRXQWHGLQIDQWU\IRUFHVFDQGHQ\ HQHP\KHDY\ IRUFHVHDV\DFFHVVWKURXJKFORVHWHUUDLQ
7KLV IRUFHVWKHHQHP\ WRILJKW GLVPRXQWHGWRSURWHFWLWVWDQNVDQG RWKHUDUPRUHGYHKLFOHVDQG WRHQJDJH
IULHQGO\GLVPRXQWHGLQIDQWU\7KH FRUSVRUGLYLVLRQFRPPDQGHUFDQWKHQ XVH$%&7V 6%&7V DQG DWWDFN
KHOLFRSWHUVDQGDUPHG8$6VWRVWULNHGHFLVLYHO\DWFKRVHQWLPHVDQGSODFHV
 $%&7V FDQORVHWKHLUDELOLW\WRPDQHXYHUZKHQFRQIURQWHGE\HQHP\IRUFHVGRPLQDWLQJNH\ORFDWLRQV
LQ FORVHWHUUDLQDORQJ IULHQGO\URXWHVRIDGYDQFH +RZHYHU 6%&7V DQG ,%&7V FDQ FRQGXFWGLVPR XQWHG
DWWDFNVRYHUFORVHWHUUDLQWRFORVHZLWKDQGGHVWUR\HQHP\IRUFHVDQGVHL]HWKHVHNH\ORFDWLRQV7KH\FDQDOVR
XVHDLUDVVDXOWVWRVHFXUHGHFLVLYHRUNH\WHUUDLQWRDLGWKHPRYHPHQWRIPRXQWHGIRUFHV6WDIIVPXVWFRQVLGHU
VHYHUDOIDFWRUVZKHQSODQQLQJWKLVW\SHRIRSHUDWLRQ'LVPRXQWHGLQIDQWU\IRUFHVZLOOQHHG²
z $GGLWLRQDO WUDQVSRUWDWLRQDVVHWV WR UDSLGO\ PRYH GLVPRXQWHG LQIDQWU\ FRPEDW HOHPHQWV LQWR
IRUZDUGDVVHPEO\DUHDVRUDWWDFNSRVLWLRQV
z $GGLWLRQDO DUWLOOHU\WRHQKDQFH WKHLURUJDQLFILHOGDUWLOOHU\EDWWDOLRQ¶V FDSDELOLW\ WRHQJDJH WKH
HQHP\ZLWKLQGLUHFWILUHVDQGWRH[HFXWHFRXQWHUILUHV
z $GGLWLRQDOLQWHOOLJHQFHDVVHWV
z 6XSSRUWIURPDWWDFNUHFRQQDLVVDQFHKHOLFRSWHUDQG8$6DVVHWV
z $OORFDWLRQRI&$6VRUWLHV
z $GGLWLRQDODQWLDUPRUDVVHWVWRSURWHFWDJDLQVWDQDUPRUHGWKUHDW
z 6XVWDLQPHQWVXSSRUWRIGLVPRXQWHGLQIDQWU\IRUFHVRQFHWKH\DUHLQVHUWHGRULQILOWUDWHG
 &RUSVDQGGLYLVLRQVDOORFDWHDGGLWLRQDOHQJLQHHUDVVHWVWRWKHPDLQHIIRUWWRJLYHLWJUHDWHUPRELOLW\
7KH HQJLQHHUIRFXVLQ WKH RIIHQVHLVPRELOLW\WKHQ FRXQWHUPRELOLW\&RPPDQGHUVSODFH HQJLQHHUXQLWV
IRUZDUGWRDXJPHQWWKHGLYLVLRQRU%&7 GHVLJQDWHGWKHPDLQHIIRUW(QJLQHHULQJWDVNVSHUIRUPHGE\WKHVH
UHLQIRUFLQJHQJLQHHUVLQFOXGH²
z &RQGXFWLQJFRPELQHGDUPVEUHDFKLQJ
z &RQGXFWLQJDUHDDQGURXWHFOHDUDQFH
z &RQGXFWLQJJDSFURVVLQJ
z &RQVWUXFWLQJDQGPDLQWDLQLQJFRPEDWURDGVDQGWUDLOV
z 3URYLGLQJJHQHUDOHQJLQHHULQJIRUIROORZRQIRUFHVDQGORJLVWLFXQLWV
z $XJPHQWLQJ UHFRQQDLVVDQFHIRUFHVLQ WHUUDLQ DQDO\VLV HVSHFLDOO\LQ EULGJH FODVVLILFDWLRQDQG
PRELOLW\DQDO\VLVIRUURXWHVRIDGYDQFH
z (PSODFLQJ REVWDFOHVRQXQLWIODQNVGLUHFWHGDJDLQVW OLNHO\HQHP\DYHQXHVRIDSSURDFKLQWRDQG
WKURXJKRXWWKH$2
z 0DLQWDLQLQJNH\IDFLOLWLHVVXFKDVDLUILHOGVDQGODQGLQJVWULSV
z &RQVWUXFWLQJSURWHFWLYHSRVLWLRQVWRSURWHFWNH\DVVHWVVXFKDVDYLDWLRQ DVVHPEO\DUHDVIRUZDUG
DUPLQJ DQG UHIXHOLQJSRLQWV SHWUROHXPRLOVDQG OXEULFDQWV 32/ VXSSOLHV DQG DPPXQLWLRQ
SRLQWV
z +DUGHQLQJRWKHUGHVLJQDWHGFULWLFDOIDFLOLWLHVE\WKHLUSULRULW\

6 December 2017 FM 3-0, C1 7-17


Chapter 7

 .H\VWRHIIHFWLYHFRXQWHUREVWDFOHRSHUDWLRQVDUHWKHHIIHFWLYHVXSSUHVVLRQREVFXUDWLRQVHFXULW\DQG
UHGXFWLRQRIDQ REVWDFOHWRHQDEOHWKHDVVDXOW7KLV UHTXLUHVGHWDLOHGFRQWLQJHQF\SODQQLQJ ZHOOUHKHDUVHG
EUHDFKLQJRSHUDWLRQVDQGWUDLQHGHQJLQHHUVIDPLOLDUZLWKXQLWVWDQGDUGRSHUDWLQJSURFHGXUHV7KHVHHQJLQHHUV
DUH LQWHJUDWHG LQWR WKH DWWDFN IRUPDWLRQ &RPSOH[ REVWDFOHV UHTXLUH GHWDLOHG HQJLQHHU HVWLPDWHV DQG
DSSURSULDWHHQJLQHHUDVVHWV
 &RUSVDQG GLYLVLRQ SODQQHUV PXVW DQWLFLSDWHEUHDFKLQJ UHTXLUHPHQWVLQWLPHWR DGHTXDWHO\ SURYLGH
EUHDFKLQJXQLWVZLWKDGGLWLRQDOHQJLQHHUDVVHWVVXFKDVSORZVUDNHVDQG VXSSOHPHQWDU\DUWLOOHU\PXQLWLRQV
IRUREVFXUDWLRQDQG FRXQWHUILUH7KH\ VKRXOG UHTXHVWODUJHVFDOHREVFXUDWLRQ(06 DQG (:REVFXUDWLRQ
HIIHFWVZKHQWKHFDSDELOLWLHVDUHDYDLODEOH:KHQSRVVLEOHDOOXQLWVFRQGXFWEUHDFKLQJRSHUDWLRQVLQVWULGHWR
DOORZWKHIRUFHWRPDLQWDLQWKHDWWDFN¶VPRPHQWXP
 (QJLQHHUXQLWVRSHUDWLQJLQ WKHFRUSVRUGLYLVLRQVXSSRUWDQG FRQVROLGDWLRQDUHDVSULPDULO\FRQGXFW
JHQHUDOHQJLQHHULQJVXUYLYDELOLW\ DQG URXWHDQG DUHD FOHDUDQFHWDVNV7KHVH HQJLQHHUXQLWV PD\ DOVREH
DVVLJQHGUHVSRQVLELOLW\IRUEDVHFDPSGHIHQVHDUHDGHIHQVHRUWHUUDLQPDQDJHPHQW+RZHYHUFRPPDQGHUV
PXVW ZHLJK WKH ULVNVDVVRFLDWHGZLWK DVVLJQLQJ WKHVHPLVVLRQV,Q DGGLWLRQ WR UHPRYLQJ WKHPIURPWKHLU
HQJLQHHUVSHFLILFPLVVLRQWKHVHHQJLQHHUXQLWVUHTXLUHWLPHWRDVVHPEOHEHFDXVHWKH\DUHQRUPDOO\GLVSHUVHG
ZKHQ FRQGXFWLQJ HQJLQHHU PLVVLRQV RQ DQ DUHD EDVLV 7KH\ DOVR UHTXLUH ILUH VXSSRUW DQG DQWLDUPRU
DXJPHQWDWLRQ

35(3$5,1*)25,17(//,*(1&( ,17+( 2))(16(


 7KH LQWHOOLJHQFHHIIRUWKHOSV FRPPDQGHUV GHFLGHZKHQ DQG ZKHUH WR FRQFHQWUDWHFRPEDW SRZHU
&ROOHFWLRQDVVHWVDQVZHU WKHFRUSVRUGLYLVLRQ FRPPDQGHU¶VSULRULW\LQWHOOLJHQFH UHTXLUHPHQWVDQG RWKHU
LQIRUPDWLRQUHTXLUHPHQWVZKLFK IORZ IURP WKH LQWHOOLJHQFHSUHSDUDWLRQRI WKH EDWWOHILHOG ,3% DQG WKH
ZDUJDPLQJ SURFHVV,QIRUPDWLRQUHTXLUHGPD\LQFOXGH²
z (QHP\FHQWHUVRIJUDYLW\RUGHFLVLYHSRLQWV
z /RFDWLRQRULHQWDWLRQDQGVWUHQJWKRIHQHP\GHIHQVHV
z /RFDWLRQRIHQHP\UHVHUYHVILUHVXSSRUWDQGRWKHUDWWDFNDVVHWVLQVXSSRUWRIGHIHQVLYHSRVLWLRQV
z (QHP\DLUDYHQXHVRIDSSURDFKDQGOLNHO\HQHP\HQJDJHPHQWDUHDV ($V 
z .H\WHUUDLQDYHQXHVRIDSSURDFKDQGREVWDFOHV
7KH DVVLVWDQWFKLHIRIVWDIILQWHOOLJHQFH * DOVRLGHQWLILHVWKUHDWVWRWKHFRUSVDQGGLYLVLRQVXSSRUWDQG
FRQVROLGDWLRQDUHDVVXFKDVHQHP\VSHFLDOSXUSRVHIRUFHVDQGLUUHJXODUDFWLYLWLHVZKLFKPD\LQWHUIHUHZLWK
FRUSVRUGLYLVLRQFRQWURORIWKHDWWDFN
 7KH *DVVLVWVWKH*LQV\QFKURQL]LQJWKHFDSDELOLWLHVRIMRLQWPXOWLQDWLRQDODQG QDWLRQDODVVHWV
LQWRWKHFROOHFWLRQHIIRUW7KH*UHFRPPHQGVVSHFLILFUHFRQQDLVVDQFHWDVNVIRUFRUSVRUGLYLVLRQFRQWUROOHG
UHFRQQDLVVDQFHIRUFHVUHDOL]LQJWKHFRPPDQGHUPD\WDVNWKHVHIRUFHVWRFRQGXFWDVHFXULW\RUDWWDFNPLVVLRQ
$ IRFXVHGDSSURDFKLQDOORFDWLQJFROOHFWLRQDVVHWVPD[LPL]HVWKHFDSDELOLW\RIWKHOLPLWHGQXPEHURIDVVHWV
DYDLODEOHWRWKHFRUSVRUGLYLVLRQ
 7KH*V\QFKURQL]HVLQWHOOLJHQFHRSHUDWLRQVZLWKFRPEDWRSHUDWLRQVWRHQVXUHDOOFRUSVDQGGLYLVLRQ
LQIRUPDWLRQFROOHFWLRQPHDQVSURYLGHWLPHO\LQIRUPDWLRQLQVXSSRUWRIRSHUDWLRQV7KH*WDVNVLQIRUPDWLRQ
FROOHFWLRQDVVHWVWRVXSSRUWWKHWDUJHWLQJSURFHVVRIGHFLGHGHWHFWGHOLYHUDQG DVVHVVLQNHHSLQJZLWK WKH
FRUSVRUGLYLVLRQFRPPDQGHU¶VSULRULW\LQWHOOLJHQFHUHTXLUHPHQWV&ROOHFWLRQDVVHWVORFDWHDQG WUDFN+37V
DQG SDVV WDUJHWLQJGDWD WR ILUHVXSSRUW DQG RWKHUHOHPHQWV7KHVH RWKHUHOHPHQWVFRXOGEH RUJDQL]DWLRQV
VXSSRUWLQJWKHFRUSVRUGLYLVLRQWKDWKDVWKHDXWKRULW\WRFRQGXFW2&2RUWKDWFDQFRQGXFW(:

35(3$5,1*)25),5(6,17+( 2))(16(
7KHEXONRIWKHDUWLOOHU\LVHPSOR\HGLQVXSSRUWRIWKHPDLQDWWDFN+RZHYHUSURYLVLRQLV
PDGHIRUWKHPXWXDOVXSSRUWRIWKHDUWLOOHU\ZLWKERWKWKHPDLQDQGKROGLQJDWWDFNVXQOHVV
WKHVHDWWDFNVDUHEH\RQGPXWXDOVXSSRUWLQJGLVWDQFH
)0 Field Artillery Field Manual

7-18 FM 3-0, C1 6 December 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

 $OORFDWLQJDQG V\QFKURQL]LQJDOOILUHVHVSHFLDOO\MRLQWILUHVDQGQRQOHWKDOHIIHFWVFRPSOHPHQWVDQG


ZHLJKWVWKHFRUSVRUGLYLVLRQ¶VGHFLVLYHRSHUDWLRQ7KLVV\QFKURQL]DWLRQHIIRUWDOVRKHOSVWKHFRUSVRUGLYLVLRQ
FRPPDQGHUFRQWUROWKHWHPSRRIWKHDWWDFN$WWDFNLQJFRPPDQGHUVHPSOR\ILUHVWR²
z &RQGXFWLQWHQVHDQGFRQFHQWUDWHGSUHSDUDWRU\ILUHVEHIRUHDQGGXULQJWKHLQLWLDODWWDFNVWDJHV
z &RQGXFWVXSSUHVVLYHILUHVWRLVRODWHWKHREMHFWLYHRIWKHGHFLVLYHRSHUDWLRQDQGWRKHOSIL[HQHP\
IRUFHVGXULQJVKDSLQJRSHUDWLRQVDQGVXSSRUWLQJDWWDFNV
z 3URYLGHFRQWLQXRXVVXSSUHVVLRQWRDOORZDWWDFNLQJIRUPDWLRQVWRFORVHZLWKWKHHQHP\
z &RQGXFWVXSSUHVVLRQRUGHVWUXFWLRQRIHQHP\DLUGHIHQVH
z 6XSSOHPHQW VXERUGLQDWHXQLW FRXQWHUILUHVWRGLPLQLVK RUVWRSDQ HQHP\¶V DELOLW\WR HIIHFWLYHO\
HPSOR\DUWLOOHU\DQGURFNHWV
z ([HFXWHGHHSRSHUDWLRQVLQFRQFHUWZLWKRWKHUFRUSVDQGGLYLVLRQDVVHWV
z 'HQ\WKURXJKHOHFWURQLFDWWDFNDQG2&2HQHP\XVHRIFULWLFDO&ILUHVXSSRUWDQGLQWHOOLJHQFH
V\VWHPVDQGQHWZRUNV
z 2EVFXUHIULHQGO\IRUFHVDQGNH\WHUUDLQ
 &RUSVDQG GLYLVLRQ&3VPXVWDOZD\V NQRZ WKHORFDWLRQVRIWKHLUIULHQGO\XQLWV &RPPDQGHUVPXVW
HQVXUH WKDW RUJDQLF ILUHVXSSRUW DJHQFLHV DQG VXSSRUWLQJ MRLQWDVVHWV FOHDUO\XQGHUVWDQG WKH VFKHPH RI
PDQHXYHUVRWKDWWKH\FDQPD[LPL]HWKHLUFDSDELOLWLHVLQWKHVFKHPHRIILUHVIRUWKHJUHDWHVWHIIHFW

)LUH 6XSSRUWLQWKH2IIHQVH
 )LUHVXSSRUWSUHSDUDWLRQFUHDWHVFRQGLWLRQVWKDWLPSURYHWKHIULHQGO\IRUFHV¶FKDQFHVIRUVXFFHVV,W
IDFLOLWDWHVDQGVXVWDLQVWUDQVLWLRQVLQFOXGLQJWKRVHWREUDQFKHVDQG VHTXHOV)LUHVXSSRUWLQ WKHRIIHQVHLV
JHQHUDOO\PRUHGHFHQWUDOL]HGWKDQLQWKHGHIHQVHLQRUGHUWRVXVWDLQPRPHQWXP3UHSDUDWLRQUHTXLUHVDFWLRQ
E\ILUHVXSSRUWSHUVRQQHODWHYHU\HFKHORQ0LVVLRQVXFFHVVGHSHQGVDVPXFKRQILUHVXSSRUWSUHSDUDWLRQDV
RQILUHVXSSRUWSODQQLQJ )LUHVXSSRUWUHKHDUVDOVKHOSVWDIIVXQLWVDQG LQGLYLGXDO ILUHVXSSRUWSHUVRQQHOWR
EHWWHUXQGHUVWDQGWKHLUVSHFLILFUROHLQXSFRPLQJRSHUDWLRQVV\QFKURQL]HH[HFXWLRQRIWKHILUHVXSSRUWSODQ
SUDFWLFHFRPSOLFDWHGWDVNVEHIRUHH[HFXWLRQDQGHQVXUHHTXLSPHQWDQGZHDSRQVDUHSURSHUO\IXQFWLRQLQJ
 &RPPDQGHUVDUHUHVSRQVLEOHIRUWKHFOHDUDQFHRIILUHV&OHDUDQFHRIILUHVLVWKHSURFHVVE\ZKLFKWKH
VXSSRUWHGFRPPDQGHUHQVXUHVWKDWILUHVRUWKHLUHIIHFWVZLOOKDYH QRXQLQWHQGHGFRQVHTXHQFHVRQIULHQGO\
XQLWVRUWKHVFKHPHRIPDQHXYHU )0 7KHFHQWHURIWKLVSURFHVVLVLQWKHFXUUHQWRSHUDWLRQVLQWHJUDWLQJ
FHOO&OHDUDQFHRIILUHVPD\EHDVVLVWHGWKURXJKVWDIISURFHVVHVFRQWUROPHDVXUHVHPEHGGHGLQDXWRPDWLRQ
FRQWUROV\VWHPVRUWKURXJKDFWLYHRUSDVVLYHUHFRJQLWLRQV\VWHPV
 7LPHO\H[HFXWLRQRIMRLQWILUHVLVFULWLFDOZKHQFRQGXFWLQJRIIHQVLYHWDVNV$OOILUHVXSSRUWSURYLGHUV
PXVWXQGHUVWDQG)6&0DQGSURFHGXUHVIRUFRQWUROOLQJILUHV7KHILUHVXSSRUWFRRUGLQDWLRQOLQH )6&/ JLYHV
VLVWHU6HUYLFHVJUHDWHUIUHHGRPRIDFWLRQLQWKHDUHDEH\RQG WKH)6&/ DQG IDFLOLWDWHVRSHUDWLRQVLQGHSWK
3ODFLQJWKH)6&/WRRIDUIRUZDUGOLPLWVMRLQWILUHVDVVHWVDQGVORZVUHVSRQVHWLPHVWRGHOLYHUHIIHFWVGXHWR
WKHUHTXLUHGFOHDUDQFHRIILUHVSURFHGXUHV7KH)6&/LVQRUPDOO\ORFDWHGDORQJWKHFRUSVFRQWUROOHGIRUZDUG
VHFXULW\IRUFHRUWKHGLYLVLRQ¶VIRUZDUGERXQGDU\ DOWKRXJK WKH)6&/¶V H[DFWORFDWLRQGHSHQGVRQVHYHUDO
IDFWRUV7KHVHIDFWRUVLQFOXGH²
z 7KHORFDWLRQRIHQHP\IRUFHV
z 7KHDQWLFLSDWHGUDWHRIWKHIULHQGO\DGYDQFH
z $UWLOOHU\DQGURFNHWFDSDELOLWLHVRIIULHQGO\DGYDQFLQJIRUFHV
z 7KHVFKHPHRIPDQHXYHULQFOXGLQJWKHPDQHXYHURI$UP\DYLDWLRQXQLWV
z 7KHGHVLUHGWHPSRRIRSHUDWLRQV

$LUDQG0LVVLOH'HIHQVHLQWKH2IIHQVH
 8QOHVVDXJPHQWHG ZLWK DLU DQG PLVVLOHGHIHQVH $0'  FDSDELOLWLHVFRUSVDQG GLYLVLRQV SULPDULO\
FRQGXFWSDVVLYHDLUGHIHQVHPHDVXUHVDQGHPSOR\FRPELQHGDUPVIRUDLUGHIHQVHDJDLQVWHQHP\IL[HGDQG
URWDU\ZLQJDLUFUDIWDQG 8$6V 7KHWKHDWHU$UP\ DLUDQG PLVVLOHGHIHQVHFRPPDQG $$0'& RUDQ$'$
EULJDGH PD\ SURYLGH FRXQWHUURFNHWDUWLOOHU\DQG PRUWDUV\VWHPVRU VKRUWUDQJHDLU GHIHQVHV\VWHPVWR
SURYLGHSURWHFWLRQWRFULWLFDOVLWHV0DQSRUWDEOHDLUGHIHQVHV\VWHPVVKRXOGEHGLVWULEXWHGLQDZHDSRQVKROG
VWDWXVWRSURYLGHGHIHQVHDJDLQVW DWWDFN RUVXUYHLOODQFHE\ HQHP\DHULDOSODWIRUPV(IIHFWLYHXVHRIWKHVH

6 December 2017 FM 3-0, C1 7-19


Chapter 7

V\VWHPVUHTXLUHVH[WHQVLYHWUDLQLQJDQG HIIHFWLYHFRQWUROWRHQDEOHIULHQGO\DHULDOIUHHGRPRIPDQHXYHUDQG
UHGXFHGIUDWULFLGHULVN
 $0' HOHPHQWVZLWKLQ WKH FRUSVDQG GLYLVLRQ KHDGTXDUWHUV FRRUGLQDWHZLWK WKH $$0'& RU $'$
EULJDGHWRHQVXUHDVPXFKLQWHJUDWLRQRIWKHDUHDDLUGHIHQVHFRPPDQGHU¶V $$'&¶V  DLUGHIHQVHSODQ IRU
FRYHUDJHRIFRUSVDQGGLYLVLRQNH\DVVHWVDVSRVVLEOH7KHVHNH\DVVHWVLQFOXGH&3VDYLDWLRQDVVHPEO\DUHDV
ILHOGDUWLOOHU\ORFDWLRQVVXVWDLQPHQWEDVHV DQG UHVHUYHDVVHPEO\ DUHDV7KH $0' HOHPHQWV\QFKURQL]HV
SULRULW\$0'GHIHQVHFRYHUDJHRIWKHGHFLVLYHRSHUDWLRQSDUWLFXODUO\LQDUHDVZKHUHWKHDWWDFNLVYXOQHUDEOH
WRHQHP\DLUDFWLRQVXFKDVDZHWJDSVLWHVDQGFDQDOL]LQJWHUUDLQ7KH $$0'& RU$'$ EULJDGHZRUNIRU
WKH$$'& 7KH $$'& LVQRUPDOO\DOVRWKHMRLQWIRUFHDLUFRPSRQHQWFRPPDQGHU -)$&& 7KHVXSSRUWHG
PDQHXYHUFRPPDQGHUSRVLWLRQVDYDLODEOHVKRUWUDQJHDLUGHIHQVHWRSURWHFWDWWDFNSRVLWLRQVIURPDLUDWWDFN
DQGXQLWVPRYLQJIRUZDUG

35(3$5,1*)256867$,10(17,1 7+( 2))(16(


 &RPPDQGHUV LQWHJUDWH VXVWDLQPHQW DQG WDFWLFDO SODQV DQG HQVXUH VXVWDLQPHQW RSHUDWRUVPDLQWDLQ
VLWXDWLRQDODZDUHQHVVGXULQJ WKHRIIHQVH6XSSRUWHGXQLWVNHHSWKHLUVXVWDLQPHQWHOHPHQWVLQIRUPHGRIWKH
WDFWLFDOVLWXDWLRQWKHLUFXUUHQWVXVWDLQPHQWVWDWXVDQGSURMHFWHGIXWXUHRSHUDWLRQV7KLVPD\UHTXLUHWDFWLFDO
XQLWVWRSK\VLFDOO\GHOLYHUWDFWLFDOXSGDWHVDQG UHSRUWVWRWKHLUVXSSRUWLQJVXVWDLQPHQWRUJDQL]DWLRQVZKHQ
XVHRIWKH (06 DQG F\EHUVSDFHLVQRW SRVVLEOHRULVGHJUDGHG 6XFFHVVIXOFRUSVDQG GLYLVLRQ RSHUDWLRQV
GHSHQGLQODUJHSDUWRQWKHLQLWLDWLYHDQGLQQRYDWLRQRIVXVWDLQPHQWSODQQHUVDQGRSHUDWRUV
 ,Q WKHRIIHQVHFRPPDQGHUVJHQHUDOO\SRVLWLRQVXVWDLQPHQWXQLWVDQG IDFLOLWLHVDVFORVHDVSRVVLEOHWR
WKHWDFWLFDOXQLWVWKH\VXSSRUWLQ RUGHUWRUHGXFHWUDYHO WLPHDQG LQFUHDVHUHVSRQVLYHQHVV&RQVXPSWLRQRI
&ODVV,,, VXSSOLHVLVW\SLFDOO\KLJKHULQ WKHRIIHQVHZKLOHWKHFRQVXPSWLRQRI&ODVV,9 DQG 9 VXSSOLHVLV
W\SLFDOO\OHVV6XVWDLQPHQWHOHPHQWVSURYLGLQJ HVVHQWLDOVXSSRUW LQFOXGLQJDPPXQLWLRQ DQG 32/ VKRXOG
PRYHIRUZDUGGXULQJWKHSHULRGMXVWSULRUWRWKHEHJLQQLQJRIWKHRIIHQVH,ISRVVLEOHVXFKPRYHPHQWVVKRXOG
RFFXUDWQLJKWRUZKHQIULHQGO\DFWLRQVKLQGHUHQHP\GHWHFWLRQFDSDELOLWLHV
 6XVWDLQPHQWSODQQHUVFRRUGLQDWHDVVLVWDQFHIURPVWDWLRQDU\XQLWVZKHQWKHFRUSVRUGLYLVLRQSODQFDOOV
IRUXQLWVWRFRQGXFWDIRUZDUGSDVVDJHRIOLQHVGXULQJWKHRIIHQVH6WDWLRQDU\XQLWVPD\EHDEOHWRDVVLVWWKRVH
XQLWVPRYLQJ IRUZDUGWKURXJKWKHLUSRVLWLRQVZLWK32/PHGLFDODLGRURWKHUVXSSRUW7KH UHTXLUHPHQWIRU
32/IURPVXVWDLQPHQWXQLWVGXULQJWKHDWWDFNGHFUHDVHVZKHQVXVWDLQPHQWRSHUDWRUVFDQNHHSWKHLURZQEXON
32/WUDQVSRUWHUVIXOOE\KDYLQJRWKHUXQLWVWRSRIIFRPEDWYHKLFOHVSULRUWRDQDWWDFN
 $QWLFLSDWLQJVXVWDLQPHQWUHTXLUHPHQWVHIIHFWLYHO\UHTXLUHVDQXQGHUVWDQGLQJRIWKHW\SHRIEDWWOHWKH
FRUSVDQG GLYLVLRQFRPPDQGHUVH[SHFWWRILJKW)RUH[DPSOHILJKWLQJSHHUVZLWK DLUIRUFHVUHTXLUHVODUJH
TXDQWLWLHV RI$0' PXQLWLRQV&RQVXPSWLRQ PD\ EH UHODWLYHO\ OLJKW LQ DWWDFNV DJDLQVW ZHDNO\ GHIHQGHG
ORFDWLRQV8QLWVILJKWLQJHQHP\LQIDQWU\LQUHVWULFWHGDQGXUEDQWHUUDLQXVHODUJHTXDQWLWLHVRIVPDOODUPVDQG
DUWLOOHU\DPPXQLWLRQDQG ZDWHU %UHDFKLQJDQG ZHWJDS RSHUDWLRQVFRQVXPHODUJHDPRXQWVRIREVFXUDQWV
8QLWVDWWDFNLQJHQHP\DUPRUHGIRUFHVUHTXLUHODUJHTXDQWLWLHVRIDQWLDUPRUPXQLWLRQVDQGIXHO(QVXULQJ
WKDW PDQHXYHU DQG VXVWDLQPHQWFRPPDQGHUVVKDUHD FRPPRQYLVXDOL]DWLRQRIKRZ D EDWWOHVKRXOGXQIROG
HQDEOHVPRUHUHVSRQVLYHVXVWDLQPHQW6XVWDLQHUVRSHUDWLRQDOL]HWKHLUVXSSRUWEDVHGRQWKHPLVVLRQYDULDEOHV
XQLTXHWRHDFKFDVH
 6XVWDLQPHQWSODQQHUVQHHGWRSURDFWLYHO\SUHSDUHWRVXSSRUWPDQHXYHU XQLWVGXULQJ WKHRIIHQVH2QH
WHFKQLTXHWKH\FDQXVHLVWRSUHSDUHSXVKSDFNDJHVRIDPPXQLWLRQ32/DQGUHSDLUSDUWV,IFRPPXQLFDWLRQV
DUHGHJUDGHGVXVWDLQHUVDXWRPDWLFDOO\GLVSDWFKWKHVHSXVKSDFNDJHVWRVXSSRUWHGXQLWV
 /HQJWKHQLQJOLQHVRIFRPPXQLFDWLRQVUHTXLUHVIUHTXHQWIRUZDUGPRYHPHQWRIVWRFNVDQGVXVWDLQPHQW
XQLWVDQGWKHHVWDEOLVKPHQWRIVXSSRUWDUHDVZLWKLQ%&7$2V'LVSODFLQJVXVWDLQPHQWXQLWVQRUPDOO\FDQQRW
SURYLGHVXSSRUW6XVWDLQPHQWSODQQHUVPXVWHQVXUHFRQWLQXRXVVXSSRUWZKHQ SODQQLQJ WKHGLVSODFHPHQWRI
VXVWDLQPHQWXQLWVDQGFDSDELOLWLHV7KLVLVSDUWLFXODUO\QHFHVVDU\ZLWKUHJDUGWR$UP\KHDOWKVXSSRUW
 &RUSV DQG GLYLVLRQ VXERUGLQDWH XQLWV FDQ XVH FDSWXUHG VXSSOLHV DQG PDWHULHORU ORFDOO\REWDLQHG
VXSSOLHVWRVXSSOHPHQWWKHLUVXSSO\VWRFNVDQGWRLQFUHDVHWKHLURSHUDWLQJDQGVDIHW\OHYHOV&RPPDQGHUVFDQ
PDNHWKHORFDWLRQRIHQHP\DQGORFDOVXSSOLHVDQGPDWHULHODVLQIRUPDWLRQUHTXLUHPHQWVIRUWKHLULQIRUPDWLRQ
FROOHFWLRQDVVHWV([SORVLYH RUGQDQFHGLVSRVDO (2'  SHUVRQQHOSURYLGH VXEMHFWPDWWHUH[SHUWLVHRQ WKH
GLVSRVLWLRQRIFDSWXUHGDQG UHFRYHUHGHQHP\DQG IRUHLJQRUGQDQFHVWRUHVRUODUJHFDFKHUHFRYHULHV7KLV

7-20 FM 3-0, C1 6 December 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

H[SHUWLVHLQFOXGHVVXSSRUW WRZHDSRQV WHFKQLFDOLQWHOOLJHQFHWKDW HQKDQFHVIRUFHSURWHFWLRQDQG VXSSRUWV


LQWHOOLJHQFHEDVHGRSHUDWLRQV,QDVLPLODUIDVKLRQDYHWHULQDULDQZLOOQHHGWRFOHDUFDSWXUHGIRRGVWXIIVDQG
32/VSHFLDOLVWVQHHGWRFOHDUFDSWXUHGIXHOIRUIULHQGO\XVH&LYLODIIDLUV &$ DUHDVWXGLHVDQGRSHQVRXUFH
PDWHULDOVFDQKHOSSLQSRLQWSRWHQWLDOORFDWLRQVRIKRVWQDWLRQORFDOVXSSOLHVDQGPDWHULHO
 :DWHUFDQEHDVFULWLFDODFRPPRGLW\DVDPPXQLWLRQ&RPEDWWDNHVD WUHPHQGRXVDPRXQWRIHQHUJ\
DQG VXEVWDQWLDOO\ LQFUHDVHVWKH KXPDQ ERG\¶V UHTXLUHPHQWIRUZDWHU 9HKLFOHVRSHUDWLQJ XQGHU FRQVWDQW
PHFKDQLFDO VWUDLQ DOVR XVH ODUJH DPRXQWV RI ZDWHU 3ODQQHUVFRQVLGHUZDWHU VRXUFHVDORQJ WKH URXWH RI
DGYDQFH3ODQQHUVFRQVLGHUWKHLPSDFWRIWKHDFFLGHQWDORULQWHQWLRQDOUHOHDVHRIWR[LFLQGXVWULDOPDWHULDOVDQG
XVHRIFKHPLFDOPXQLWLRQVRQWKHDYDLODEOH ZDWHU VXSSO\ 2SHUDWLRQVLQ GHVHUWDUHDVFDQ EHOLPLWHGE\ WKH
VRXUFHVRIZDWHUDQGWKHPHDQVWRWUDQVSRUWLW
 3ODQQHUVVHOHFWDQGXVHVXSSO\URXWHVFDUHIXOO\:KHQSRVVLEOHWUXFNFRQYR\VPRYLQJVXSSOLHVIRUZDUG
XVHVHFRQGDU\URXWHVWRDYRLGGHWHFWLRQRUWKH\VKRXOGEHLQWHJUDWHGLQWRWKHPRYHPHQWRIPDQHXYHUXQLWV
6XVWDLQPHQWDFWLYLWLHVDOVRDYRLGVHWWLQJDSDWWHUQZKLFKFRXOGGLVFORVHWKHORFDWLRQVRIPDQHXYHUDQGRWKHU
XQLWVEHLQJVXSSRUWHG0DQHXYHU DQG RWKHUXQLWV²VXFKDVDUWLOOHU\DQG HQJLQHHUV²FDUU\DVPXFKPDWHULHO
DVSRVVLEOHLQWREDWWOHEHFDXVHVXSSO\V\VWHPGLVUXSWLRQVZLOORFFXU6XVWDLQPHQWSODQQHUVDQG FRPPDQGHUV
UHYLHZ WKHDXWKRUL]HGVWRFNDJHOLVWDQG WKHSUHVFULEHGORDGOLVWRIHDFKXQLW WRHQVXUHXQLWVRQO\WUDQVSRUW
FRPEDWHVVHQWLDOLWHPV&RPPDQGHUVDXWKRUL]HWKHLUPDLQWHQDQFHWHDPVWRPDNHPD[LPXPXVHRIFRQWUROOHG
VXEVWLWXWLRQVWR UHWXUQ PDLQWHQDQFH IDLOXUHVDQG EDWWOH ORVVHV WRDFWLRQ 0DLQWHQDQFH OHDGHUVWUDLQ WKHLU
PHFKDQLFVRQEDWWOHGDPDJHDVVHVVPHQWDQGUHSDLUDQGUHFRYHU\RSHUDWLRQV

35(3$5,1*)253527(&7,21 ,1 7+( 2))(16(


 8QLW PRYHPHQW LQWR DWWDFN SRVLWLRQVLV WKRURXJKO\ FRRUGLQDWHGDQG SODQQHG LQ GHWDLO WR SUHVHUYH
VXUSULVH)RUFHFRQFHQWUDWLRQVWDNHSODFHTXLFNO\DQG PDNHPD[LPXPXVHRIRSHUDWLRQVVHFXULW\ 236(& 
8QLWVXVHFRYHUDQG FRQFHDOPHQWVLJQDOVHFXULW\DQGPLOLWDU\GHFHSWLRQ 0,/'(& DFWLRQV,QGLFDWRUVWKDW
ZLOODOHUWWKHHQHP\WRWKHFRPLQJDWWDFNDUHDYRLGHGVLQFHGHFHSWLRQLVYLWDOWRVXFFHVV7KHDWWDFNLQJIRUFH
RUJDQL]HVWRFRSHZLWKWKHHQYLURQPHQW7KLVPD\LQFOXGHDWWDFNLQJDFURVVREVWDFOHVDQGULYHUVGXULQJVQRZ
RUUDLQDWQLJKWRURQEDWWOHILHOGVFRQWDLQLQJQXFOHDUDQG FKHPLFDOKD]DUGV (QJLQHHUUHFRQQDLVVDQFHXQLWV
DVZHOO DVFKHPLFDOELRORJLFDOUDGLRORJLFDODQG QXFOHDU &%51 UHFRQQDLVVDQFHXQLWVVXSSRUWPDQHXYHU
XQLWVWKURXJKRXWWKHLUDWWDFN&%51UHFRQQDLVVDQFHXQLWVRULHQWRQFRPPDQGREMHFWLYHVLGHQWLILHGGXULQJ
WKH,3%SURFHVV&RPPDQGHUVSRVLWLRQDYDLODEOHGHFRQWDPLQDWLRQDVVHWVWRVXSSRUWWKHLUVFKHPHRIPDQHXYHU
DQGDUUD\DYDLODEOHREVFXUDWLRQPHDQVWRFRXQWHUHQHP\VHQVRUV

)25062)0$1(89(5
 )RUPV RI PDQHXYHU DUH GLVWLQFW WDFWLFDO FRPELQDWLRQV RI ILUH DQG
Forms of maneuver
PRYHPHQWZLWKD XQLTXH VHWRIGRFWULQDOFKDUDFWHULVWLFVWKDWGLIIHUSULPDULO\
LQWKHUHODWLRQVKLSEHWZHHQWKHPDQHXYHULQJ IRUFHDQGWKHHQHP\ $'53 x (QYHORSPHQW
 7KH$UP\KDVVL[IRUPVRIPDQHXYHUHQYHORSPHQWIODQNDWWDFNIURQWDO x )ODQN DWWDFN
DWWDFN LQILOWUDWLRQ SHQHWUDWLRQ DQG WXUQLQJ PRYHPHQW 0DQHXYHU XQLWV x )URQWDO DWWDFN
DFFRPSOLVK WKHLU PLVVLRQV E\ V\QFKURQL]LQJ WKH FRQWULEXWLRQV RI DOO x ,QILOWUDWLRQ
ZDUILJKWLQJ IXQFWLRQV WR H[HFXWH WKHVH IRUPV RI PDQHXYHU &RPPDQGHUV
x 3HQHWUDWLRQ
JHQHUDOO\FKRRVHRQHIRUPRQ ZKLFK WREXLOG D FRXUVHRIDFWLRQ $ KLJKHU
HFKHORQFRPPDQGHUUDUHO\VSHFLILHVWKHVSHFLILFIRUPRIPDQHXYHU+RZHYHU x 7XUQLQJ PRYHPHQW
WKDWKLJKHUFRPPDQGHU¶VJXLGDQFHDQGLQWHQWDORQJZLWKWKHPLVVLRQDQGDQ\
LPSOLHGWDVNVPD\LPSRVHFRQVWUDLQWV²VXFKDVWLPHVHFXULW\DQGGLUHFWLRQRIDWWDFN²WKDWQDUURZWKHIRUPV
RIPDQHXYHUWRRQHDOWHUQDWLYH$GGLWLRQDOO\WKH$2¶VFKDUDFWHULVWLFVDQGWKHHQHP\¶VGLVSRVLWLRQVDOVRKHOS
FRPPDQGHUVGHWHUPLQHWKHIRUPRIPDQHXYHU $ VLQJOHRSHUDWLRQPD\FRQWDLQVHYHUDOIRUPVRIPDQHXYHU
VXFKDVDIURQWDODWWDFNWRFOHDUDQHQHP\¶VGLVUXSWLRQ]RQHIROORZHGE\DSHQHWUDWLRQWRFUHDWHDJDSLQHQHP\
GHIHQVHV7KHQWKHFRPPDQGHUPLJKWXVHDIODQNDWWDFNWRH[SDQGWKDWJDSDQGGHVWUR\WKHHQHP\¶VILUVWOLQH
RIGHIHQVH

6 December 2017 FM 3-0, C1 7-21


Chapter 7

(19(/230(17
7KHGHHSHQYHORSPHQWEDVHGRQVXUSULVHZKLFKVHYHUVWKHHQHP\¶VVXSSO\OLQHVLVDQG
DOZD\VKDVEHHQWKHPRVWGHFLVLYHPDQHXYHURIZDU$ VKRUWHQYHORSPHQWZKLFKIDLOVWR
HQYHORSDQGOHDYHVWKHHQHP\¶VVXSSO\V\VWHPLQWDFWPHUHO\GLYLGHV\RXURZQIRUFHVDQG
FDQOHDGWRKHDY\ORVVDQGHYHQMHRSDUG\
*HQHUDO 'RXJODV0DF$UWKXU

 (QYHORSPHQWLVD IRUPRIPDQHXYHU LQZKLFK DQ DWWDFNLQJIRUFHVHHNVWRDYRLG WKHSULQFLSDOHQHP\


GHIHQVHVE\VHL]LQJREMHFWLYHVEHKLQGWKRVHGHIHQVHVWKDWDOORZWKHWDUJHWHGHQHP\IRUFHWREHGHVWUR\HGLQ
WKHLU FXUUHQW SRVLWLRQV )0   (QYHORSPHQWV DUH FRPPRQ ZKHQ HPSOR\LQJ D QRQFRQWLJXRXV
RSHUDWLRQDOIUDPHZRUN $W WKH WDFWLFDOOHYHO HQYHORSPHQWVIRFXVRQ VHL]LQJ WHUUDLQ GHVWUR\LQJVSHFLILF
HQHP\IRUFHVDQG LQWHUGLFWLQJHQHP\ZLWKGUDZDO URXWHV7KH FRPPDQGHU¶VGHFLVLYHRSHUDWLRQIRFXVHVRQ
PDQHXYHULQJ DURXQG DQ DVVDLODEOHIODQN ,W DYRLGV WKH HQHP\¶V VWUHQJWK²WKHHQHP\¶V IURQW²ZKHUHWKH
HIIHFWVRIHQHP\ILUHVDQGREVWDFOHVDUHJUHDWHVW*HQHUDOO\DFRPPDQGHUSUHIHUVWRFRQGXFWDQHQYHORSPHQW
LQVWHDGRIDSHQHWUDWLRQRUDIURQWDODWWDFNEHFDXVHWKHDWWDFNLQJIRUFHWHQGVWRVXIIHUIHZHUFDVXDOWLHVZKLOH
KDYLQJ WKHPRVWRSSRUWXQLWLHVWRGHVWUR\WKHHQHP\(QYHORSPHQWDOVRSURGXFHVJUHDWSV\FKRORJLFDOVKRFN
WRWKHHQHP\,I QRDVVDLODEOHIODQN LVDYDLODEOH WKHDWWDFNLQJ IRUFHFUHDWHVRQHWKURXJKWKHFRQGXFWRID
SHQHWUDWLRQ
 7KHIRXUYDULHWLHVRIHQYHORSPHQWDUHWKHVLQJOHHQYHORSPHQWGRXEOHHQYHORSPHQWHQFLUFOHPHQWDQG
YHUWLFDO HQYHORSPHQW )LJXUH LOOXVWUDWHVD VLQJOH HQYHORSPHQW  $ VLQJOHHQYHORSPHQW LVD IRUP RI
PDQHXYHU WKDW UHVXOWV IURP PDQHXYHULQJ DURXQG RQH DVVDLODEOH IODQN RI D GHVLJQDWHG HQHP\ IRUFH 
)0 7KH9,, DQG ;9,,, &RUSVH[HFXWHGDVLQJOHHQYHORSPHQWRIWKH,UDTL$UP\ GXULQJ2SHUDWLRQ
'HVHUW6WRUPLQ$GRXEOHHQYHORSPHQWUHVXOWVIURPVLPXOWDQHRXVPDQHXYHULQJDURXQGERWKIODQNVRI
D GHVLJQDWHGHQHP\IRUFH )0 (QFLUFOHPHQWRSHUDWLRQVDUHZKHUHRQHIRUFHORVHVLWVIUHHGRPRI
PDQHXYHUWRDQRSSRVLQJIRUFHWKDWLVDEOHWRLVRODWHLWE\FRQWUROOLQJDOOJURXQGOLQHVRIFRPPXQLFDWLRQVDQG
UHLQIRUFHPHQW9HUWLFDOHQYHORSPHQWVDUHWDFWLFDOPDQHXYHUVLQZKLFKWURRSVHLWKHUDLUGURSSHGRUDLUODQGHG
DWWDFNWKHUHDUDQG IODQNVRIDIRUFHLQHIIHFWFXWWLQJRIIRUHQFLUFOLQJWKHIRUFH -3 )LJXUHVKRZV
DQH[DPSOHRIFRQWUROPHDVXUHVXVHGZKHQFRQGXFWLQJDVLQJOHHQYHORSPHQW

+Figure 7-5. Example of a single envelopment

7-22 FM 3-0, C1 6 December 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

Figure 7-6. Envelopment control measures

 7KHFRPPDQGHUDWDPLQLPXPGHVLJQDWHV$2VIRUHDFKXQLWSDUWLFLSDWLQJLQWKHHQYHORSPHQWE\XVLQJ
ERXQGDULHV7KHFRPPDQGHUDOVRGHVLJQDWHV3/VVXSSRUWE\ILUHSRVLWLRQVDWWDFNE\ILUHSRVLWLRQVFRQWDFW
SRLQWVDQGDSSURSULDWH)6&0VVXFKDVDUHVWULFWLYHILUHOLQHRUERXQGDU\EHWZHHQFRQYHUJLQJIRUFHVDQG
DQ\RWKHUFRQWUROPHDVXUHVQHFHVVDU\WRFRQWUROWKHHQYHORSPHQW 6HH )0IRUDGLVFXVVLRQRIWKH
RUJDQL]DWLRQ RI IRUFHV DQG SODQQLQJ SUHSDUDWLRQ DQG H[HFXWLRQ FRQVLGHUDWLRQV DVVRFLDWHG ZLWK WKH
SHUIRUPDQFHRIWKHHQYHORSPHQWWDVN6HH)0IRUDGLVFXVVLRQRIHQFLUFOHPHQWRSHUDWLRQV 

)/$1.$77$&.
(YHU\RQHNQRZVWKHPRUDOHIIHFWVRIDQDPEXVKRUDQDWWDFNLQIODQNRUUHDU
&DUOYRQ&ODXVHZLW]

 $IODQNDWWDFNLVDIRUPRIRIIHQVLYHPDQHXYHUGLUHFWHGDWWKHIODQNRIDQHQHP\ )0  6HH


ILJXUH  RQ SDJH   )ODQN DWWDFNV RFFXU ZKHQ HPSOR\LQJ ERWK FRQWLJXRXV DQG QRQFRQWLJXRXV
RSHUDWLRQDOIUDPHZRUNV$IODQNLVWKHULJKWRUOHIWVLGHRIDFRPEDWIRUPDWLRQDQGLWLVQRWRULHQWHGWRZDUG
WKHHQHP\,WLVXVXDOO\QRWDVVWURQJLQWHUPVRIIRUFHVRUILUHVDVWKHIURQWRIDFRPEDWIRUPDWLRQ$IODQN
PD\EHFUHDWHGWKURXJKWKHXVHRIILUHVRUE\DVXFFHVVIXOSHQHWUDWLRQ
 $IODQNDWWDFNLVVLPLODUWRDQHQYHORSPHQWEXWLWLVJHQHUDOO\FRQGXFWHGRQDVKDOORZHUD[LV,WLV
GHVLJQHG WR GHIHDW DQ HQHP\ IRUFH ZKLOH PLQLPL]LQJ WKH HIIHFW RI WKH HQHP\¶V IURQWDOO\RULHQWHG FRPEDW
SRZHU)ODQNDWWDFNVDUHQRUPDOO\FRQGXFWHGZLWKWKHPDLQHIIRUWGLUHFWHGDWWKHIODQNRIWKHHQHP\8VXDOO\
D VXSSRUWLQJ HIIRUW HQJDJHV WKH HQHP\¶V IURQW E\ ILUH DQG PDQHXYHU ZKLOH WKH PDLQ HIIRUW PDQHXYHUV WR
DWWDFNWKHHQHP\¶VIODQN7KLVVXSSRUWLQJHIIRUWGLYHUWVWKHHQHP\¶VDWWHQWLRQIURPWKHWKUHDWHQHGIODQN$
IODQNDWWDFNLVRIWHQXVHGIRUDKDVW\DWWDFNRUPHHWLQJHQJDJHPHQWZKHUHVSHHGDQGVLPSOLFLW\DUHFUXFLDOWR
PDLQWDLQLQJEDWWOHWHPSRDQGWKHLQLWLDWLYH

6 October 2017 FM 3-0 7-23


Chapter 7

Figure 7-7. Flank attack

 7KHSULPDU\GLIIHUHQFHEHWZHHQDIODQNDWWDFNDQGDQHQYHORSPHQWLVRQHRIGHSWK$IODQNDWWDFNLV
DQHQYHORSPHQWGHOLYHUHGVTXDUHO\RQWKHHQHP\¶VIODQN$QHQYHORSPHQWLVDQDWWDFNGHOLYHUHGEH\RQGWKH
HQHP\¶VIODQNDQGLQWRWKHHQHP\¶VVXSSRUWDUHDVEXWVKRUWRIWKHGHSWKDVVRFLDWHGZLWKDWXUQLQJPRYHPHQW
 -XVWDVWKHUHLVDUHODWLRQVKLSEHWZHHQXQLWVL]HDQGWKHDELOLW\RIDIULHQGO\IRUFHWRH[HFXWHDWXUQLQJ
PRYHPHQWLQVWHDGRIDQHQYHORSPHQWWKLVUHODWLRQVKLSH[WHQGVGRZQZDUGEHWZHHQDQHQYHORSPHQWDQGD
IODQNDWWDFN&RUSVDQGGLYLVLRQVDUHWKHPRVWOLNHO\HFKHORQVWRFRQGXFWWXUQLQJPRYHPHQWV'LYLVLRQVDQG
%&7VDUHWKHHFKHORQVPRVWOLNHO\WRFRQGXFWHQYHORSPHQWV²VLQJOHRUGRXEOH6PDOOHUVL]HGWDFWLFDOXQLWV
VXFKDVPDQHXYHUEDWWDOLRQVFRPSDQLHVDQGSODWRRQVDUHPRUHOLNHO\WRFRQGXFWIODQNDWWDFNVWKDQODUJHU
WDFWLFDO XQLWV 7KLV LV ODUJHO\ D UHVXOW RI WURRSWRVSDFH UDWLRV DQG VXVWDLQPHQW DQG PLVVLRQ FRPPDQG
FRQVWUDLQWV7KH&RQIHGHUDWHDWWDFNE\WKHIRXUGLYLVLRQVRI6WRQHZDOO-DFNVRQ¶V,,&RUSVRIWKH$UP\RI
1RUWKHUQ9LUJLQLDRQWKH8QLRQ;,&RUSVRIWKH$UP\RIWKH3RWRPDFDW&KDQFHOORUVYLOOHRQ0D\LV
DKLVWRULFDOH[DPSOHRIDIODQNDWWDFN
 7KHFRQWUROPHDVXUHVDVVRFLDWHGZLWKDIODQNDWWDFNDUHVLPLODUWRWKRVHDGGUHVVHGLQWKHHQYHORSPHQW
GLVFXVVLRQLQSDUDJUDSK7KHSULPDU\GLIIHUHQFHEHWZHHQWKHVHIRUPVRIPDQHXYHULVZKLFKSRUWLRQRI
WKHHQHP\SRVLWLRQLVDWWDFNHG

)5217$/$77$&.
$UHWKHUHQRWRWKHUDOWHUQDWLYHVWKDQVHQGLQJRXUDUPLHVWRFKHZEDUEHGZLUHLQ)ODQGHUV"
:LQVWRQ6&KXUFKLOO

 $ IURQWDODWWDFNLVDIRUPRIPDQHXYHULQZKLFKDQDWWDFNLQJIRUFHVHHNVWRGHVWUR\DZHDNHUHQHP\
IRUFHRUIL[DODUJHUHQHP\IRUFHLQSODFHRYHUDEURDGIURQW )0 )URQWDODWWDFNVRFFXUPRVWRIWHQ
ZKHQWKHFRPPDQGHUHPSOR\VDFRQWLJXRXVRSHUDWLRQDOIUDPHZRUN)LJXUHLOOXVWUDWHVDIURQWDODWWDFN

7-24 FM 3-0 6 October 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

+Figure 7-8. Frontal attack

 $W WKHWDFWLFDOOHYHODQ DWWDFNLQJ IRUFHFDQXVHDIURQWDODWWDFN WRUDSLGO\ RYHUUXQD ZHDN HQHP\


IRUFH$FRPPDQGHUFRPPRQO\XVHVDIURQWDODWWDFNDVDVKDSLQJRSHUDWLRQLQFRQMXQFWLRQZLWKRWKHUIRUPV
RIPDQHXYHU$FRPPDQGHUQRUPDOO\HPSOR\VDIURQWDODWWDFNWR²
z &OHDUHQHP\VHFXULW\IRUFHV
z 2YHUZKHOPDVKDWWHUHGHQHP\GXULQJDQH[SORLWDWLRQRUSXUVXLW
z )L[HQHP\IRUFHVLQSODFHDVSDUWRIDVKDSLQJRSHUDWLRQ
z &RQGXFWDUHFRQQDLVVDQFHLQIRUFH
 )URQWDODWWDFNVDUHDOVRQHFHVVDU\ZKHQDVVDLODEOHIODQNVGRQRWH[LVW:KHUHDSHQHWUDWLRQLVDVKDUS
DWWDFNGHVLJQHGWRUXSWXUHWKHHQHP\SRVLWLRQWKHFRPPDQGHUGHVLJQVDIURQWDODWWDFNWRPDLQWDLQFRQWLQXRXV
SUHVVXUHDORQJWKHHQWLUHIURQWXQWLOHLWKHUD EUHDFKRFFXUVRUWKHDWWDFNLQJ IRUFHVVXFFHHGLQSXVKLQJ WKH
HQHP\ EDFN )URQWDO DWWDFNV FRQGXFWHG ZLWKRXW RYHUZKHOPLQJ FRPEDW SRZHU DUH VHOGRP GHFLVLYH
&RQVHTXHQWO\WKHFRPPDQGHU¶VFKRLFHWRFRQGXFWDIURQWDODWWDFNLQVLWXDWLRQVZKHUHWKHFRPPDQGHUGRHV
QRWKDYH RYHUZKHOPLQJ FRPEDWSRZHULVUDUHO\MXVWLILHGXQOHVVWKHWLPHJDLQHG LVYLWDO WRWKHRSHUDWLRQ¶V
VXFFHVV7KH 9WK DQG 9,,WK &RUSVDPSKLELRXV ODQGLQJV RQ2PDKD DQG 8WDK %HDFKHVRQ-XQHDUH
H[DPSOHVRIDIURQWDODWWDFN 6HH)0IRUDGLVFXVVLRQRIWKHRUJDQL]DWLRQRIIRUFHVFRQWUROPHDVXUHV
DQGSODQQLQJSUHSDUDWLRQDQGH[HFXWLRQFRQVLGHUDWLRQVDVVRFLDWHGZLWKWKHSHUIRUPDQFHRIWKHIURQWDODWWDFN
WDVN 

6 December 2017 FM 3-0, C1 7-25


Chapter 7

 $ FRPPDQGHUFRQGXFWLQJDIURQWDODWWDFNPD\QRWUHTXLUHDQ\ DGGLWLRQDOFRQWUROPHDVXUHVEH\RQG


WKRVHHVWDEOLVKHGWRFRQWUROWKHRYHUDOOPLVVLRQ7KLV LQFOXGHVDQ $2 GHILQHGE\ XQLW ERXQGDULHVDQG DQ
REMHFWLYHDW DPLQLPXP7KH FRPPDQGHUFDQ DOVRXVHDQ\ RWKHUFRQWUROPHDVXUHQHFHVVDU\WRFRQWUROWKH
DWWDFNLQFOXGLQJ²
z $WWDFNSRVLWLRQV
z /LQHRIGHSDUWXUH /' 
z 3/V
z $VVDXOWSRVLWLRQV
z /LPLWRIDGYDQFH /2$ 
z 'LUHFWLRQRIDWWDFNRUD[LVRIDGYDQFHIRUHYHU\PDQHXYHUXQLW
$Q DWWDFNSRVLWLRQLVWKHODVWSRVLWLRQDQDWWDFNLQJIRUFHRFFXSLHVRUSDVVHVWKURXJKEHIRUHFURVVLQJWKHOLQH
RIGHSDUWXUH $'53 $QDWWDFNSRVLWLRQIDFLOLWDWHVWKHGHSOR\PHQWDQGODVWPLQXWHFRRUGLQDWLRQRIWKH
DWWDFNLQJIRUFHEHIRUHLWFURVVHVWKH/'$QDVVDXOWSRVLWLRQLVDFRYHUHGDQGFRQFHDOHGSRVLWLRQVKRUWRIWKH
REMHFWLYH IURP ZKLFK ILQDO SUHSDUDWLRQV DUH PDGH WR DVVDXOW WKH REMHFWLYH $'53  7KHVH ILQDO
SUHSDUDWLRQVFDQLQYROYHWDFWLFDOFRQVLGHUDWLRQVVXFKDVDVKRUWKDOWWRFRRUGLQDWHWKHILQDODVVDXOWUHRUJDQL]H
WRDGMXVWWRFRPEDWORVVHVRUPDNHQHFHVVDU\DGMXVWPHQWVLQWKHDWWDFNLQJIRUFH¶VGLVSRVLWLRQV
 )LJXUHVKRZVWKHFRQWUROPHDVXUHVOLVWHGLQSDUDJUDSK ,W GRHVQRWVKRZ D GLUHFWLRQRI
DWWDFNVLQFHWKLVFRQWUROPHDVXUHLVXVHGSULPDULO\DWWKHEDWWDOLRQOHYHODQGEHORZ$XQLWFRQGXFWLQJDIURQWDO
DWWDFNQRUPDOO\KDVDZLGHU$2 WKDQDXQLWFRQGXFWLQJDSHQHWUDWLRQ

Figure 7-9. Frontal attack control measures

7-26 FM 3-0, C1 6 December 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

,1),/75$7,21
 $QLQILOWUDWLRQLVDIRUPRIPDQHXYHULQZKLFKDQDWWDFNLQJIRUFHFRQGXFWVXQGHWHFWHGPRYHPHQW
WKURXJKRULQWRDQDUHDRFFXSLHGE\HQHP\IRUFHVWRRFFXS\DSRVLWLRQRIDGYDQWDJHEHKLQGWKRVHHQHP\
SRVLWLRQVZKLOHH[SRVLQJRQO\VPDOOHOHPHQWVWRHQHP\GHIHQVLYHILUHV )0 ,QILOWUDWLRQVFDQRFFXU
ZKHQXVLQJDFRQWLJXRXVRUQRQFRQWLJXRXVRSHUDWLRQDOIUDPHZRUN+LVWRULFDOO\WKHVFRSHRIWKHPLVVLRQIRU
DQLQILOWUDWLQJIRUFHKDVEHHQOLPLWHG

Note,QILOWUDWLRQLVDOVRDPDUFKWHFKQLTXHXVHGZLWKLQIULHQGO\WHUULWRU\WRPRYHIRUFHVLQVPDOO
JURXSVDWH[WHQGHGRULUUHJXODULQWHUYDOV 6HH)0IRUDGLVFXVVLRQRILQILOWUDWLRQDVDPDUFK
WHFKQLTXH 

 ,QILOWUDWLRQRFFXUVE\ODQGZDWHUDLURUDFRPELQDWLRQRIPHDQV0RYLQJDQG DVVHPEOLQJIRUFHV


FRYHUWO\WKURXJKHQHP\SRVLWLRQVWDNHVDFRQVLGHUDEOHDPRXQWRIWLPH7RVXFFHVVIXOO\LQILOWUDWHWKHIRUFH
PXVWDYRLGGHWHFWLRQDQGHQJDJHPHQW6LQFHWKLVUHTXLUHPHQWOLPLWVWKHVL]HDQGVWUHQJWKRIWKHLQILOWUDWLQJ
IRUFH²DQG LQILOWUDWHG IRUFHV DORQH FDQ UDUHO\ GHIHDW DQ HQHP\ IRUFH²LQILOWUDWLRQ LV QRUPDOO\ XVHG LQ
FRQMXQFWLRQZLWKDQGLQVXSSRUWRIWKHRWKHUIRUPVRIRIIHQVLYHPDQHXYHU
 &RPPDQGHUVRUGHUDQLQILOWUDWLRQWRPRYHDOORUSDUWRIDXQLWWKURXJKJDSVLQHQHP\GHIHQVHVWR²
z 5HFRQQRLWHU NQRZQ RU WHPSODWHG HQHP\ SRVLWLRQV DQG FRQGXFW VXUYHLOODQFH RI QDPHG DUHDV RI
LQWHUHVW 1$,V DQGWDUJHWHGDUHDVRILQWHUHVW 7$,V 
z $WWDFNHQHP\KHOGSRVLWLRQVIURPDQXQH[SHFWHGGLUHFWLRQ
z 2FFXS\DVXSSRUWE\ILUHSRVLWLRQWRVXSSRUWWKHGHFLVLYHRSHUDWLRQ
z 6HFXUHNH\WHUUDLQ
z &RQGXFWDPEXVKHVDQGUDLGVWRGLVUXSWWKHHQHP\¶VGHIHQVLYHVWUXFWXUHE\DWWDFNLQJUHVHUYHVILUH
VXSSRUWDQGDLUGHIHQVHV\VWHPVFRPPXQLFDWLRQQRGHVDQGVXVWDLQPHQW
z &RQGXFWDFRYHUWEUHDFKRIDQREVWDFOHRUREVWDFOHFRPSOH[

 6SHFLDORSHUDWLRQVIRUFHV 62) DQGOLJKWLQIDQWU\XQLWVXSWREULJDGHVL]HDUHEHVWVXLWHGWRFRQGXFW


DQ LQILOWUDWLRQ ,Q VRPH FLUFXPVWDQFHV DUPRUHG DQG 6WU\NHUHTXLSSHG IRUFHV RSHUDWLQJ LQ VPDOO XQLWV FDQ
FRQGXFW DQ LQILOWUDWLRQ +RZHYHU DV WKH SUROLIHUDWLRQ RI WHFKQRORJ\ OHDGV WR LQFUHDVHG VLWXDWLRQDO
XQGHUVWDQGLQJ WKH DELOLW\ RI WKHVH IRUFHV WR DYRLG HQHP\ FRQWDFW DQG PRYH XQGHWHFWHG WKURXJK HQHP\
SRVLWLRQVLVUHGXFHG7RLQFUHDVHWKHOLNHOLKRRGRIDVXFFHVVIXOLQILOWUDWLRQRIODUJHUIRUFHVDFRPPDQGHUPD\
FRQGXFW DQ LQILOWUDWLRQ LQ FRRUGLQDWLRQ ZLWK SUHFLVLRQ ILUHV GHFHSWLRQ RSHUDWLRQV DQG HOHFWURQLF DQG
F\EHUDWWDFNVDVDSUHOXGHWRDQLQILOWUDWLRQ 6HH)0IRUDGLVFXVVLRQRIWKHRUJDQL]DWLRQRIIRUFHV
DQG WKH SODQQLQJ SUHSDUDWLRQ DQG H[HFXWLRQ FRQVLGHUDWLRQV DVVRFLDWHG ZLWK WKH SHUIRUPDQFH RI WKH
LQILOWUDWLRQWDVN 
 6LQFHLQILOWUDWLQJIRUFHVDUHGLVSHUVHGWKH\UHTXLUHDVLJQLILFDQWQXPEHURIFRQWUROPHDVXUHV&RQWURO
PHDVXUHVIRUDQLQILOWUDWLRQLQFOXGHDVDPLQLPXP²
z $Q$2IRUWKHLQILOWUDWLQJXQLW
z 2QHRUPRUHLQILOWUDWLRQODQHV
z $Q/'RUSRLQWRIGHSDUWXUH
z 0RYHPHQWURXWHV ZLWKWKHLUDVVRFLDWHGVWDUWSRLQWVDQGUHOHDVHSRLQWVRUDGLUHFWLRQRUD[LVRI
DWWDFN
z /LQNXSRUUDOO\SRLQWVLQFOXGLQJREMHFWLYHUDOO\SRLQWV
z $VVDXOWSRVLWLRQV
z 2QHRUPRUHREMHFWLYHV
z $Q/2$

 &RPPDQGHUVFDQLPSRVHRWKHUPHDVXUHVWRFRQWUROWKHLQILOWUDWLRQLQFOXGLQJFKHFNSRLQWV3/VDQG
DVVDXOWSRVLWLRQVRQWKHIODQNRUUHDURIHQHP\SRVLWLRQV,ILWLVQRWQHFHVVDU\IRUWKHHQWLUHLQILOWUDWLQJXQLW
WRUHDVVHPEOHWRDFFRPSOLVKLWVPLVVLRQWKHREMHFWLYHPD\EHEURNHQLQWRVPDOOHUREMHFWLYHV(DFKLQILOWUDWLQJ
HOHPHQWWKHQPRYHVGLUHFWO\WRLWVREMHFWLYHWRFRQGXFWRSHUDWLRQV

6 October 2017 FM 3-0 7-27


Chapter 7

3(1(75$7,21
 $ SHQHWUDWLRQLVDIRUPRIPDQHXYHULQZKLFKDQDWWDFNLQJIRUFHVHHNVWRUXSWXUHHQHP\GHIHQVHV
RQ D QDUURZ IURQW WR GLVUXSW WKH GHIHQVLYH V\VWHP )0   3HQHWUDWLRQV PRVW RIWHQ RFFXU ZKHQ D
FRPPDQGHUHPSOR\VDFRQWLJXRXVRSHUDWLRQDOIUDPHZRUN7KH\DOVRRFFXUGXULQJWKHUHGXFWLRQRIHQHP\
HQFLUFOHGSRFNHWV 'HVWUR\LQJWKHFRQWLQXLW\RI WKDWGHIHQVHDOORZVWKH HQHP\¶VVXEVHTXHQWLVRODWLRQDQG
GHIHDWLQGHWDLOE\H[SORLWLQJIULHQGO\IRUFHV7KHSHQHWUDWLRQH[WHQGVIURPWKHHQHP\¶VVHFXULW\DUHDWKURXJK
PDLQGHIHQVLYHSRVLWLRQVLQWRWKHHQHP\VXSSRUWDUHD&RPPDQGHUVHPSOR\DSHQHWUDWLRQZKHQWKHUHLVQR
DVVDLODEOHIODQNHQHP\GHIHQVHVDUHRYHUH[WHQGHGZHDNVSRWVDUHGHWHFWHGLQWKHHQHP\¶VSRVLWLRQVRUWLPH
SUHVVXUHV GR QRW SHUPLW HQYHORSPHQW 7KH )LUVW 86 $UP\¶V 2SHUDWLRQ &REUD WKH EUHDNRXW IURP WKH
1RUPDQG\ ORGJPHQW LQ -XO\   LV D FODVVLF H[DPSOH RI D SHQHWUDWLRQ )LJXUH  LOOXVWUDWHV SRWHQWLDO
FRUUHODWLRQRIIRUFHVRUFRPEDWSRZHUIRUDSHQHWUDWLRQ)LJXUHVKRZVDQH[DPSOHFRUSVSHQHWUDWLRQ
6HH)0IRUDGLVFXVVLRQRIWKHRUJDQL]DWLRQRIIRUFHVFRQWUROPHDVXUHVDQGSODQQLQJSUHSDUDWLRQ
DQGH[HFXWLRQFRQVLGHUDWLRQVDVVRFLDWHGZLWKWKHSHUIRUPDQFHRIWKHSHQHWUDWLRQWDVN 

Figure 7-10. Penetration: relative combat power

7-28 FM 3-0 6 October 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

Figure 7-11. An example of a corps penetration

 7KHFRQWUROPHDVXUHVDVVRFLDWHGZLWKDSHQHWUDWLRQLQFOXGHDQ$2IRUHYHU\PDQHXYHUXQLWD/'RU
OLQH RI FRQWDFW D WLPH RI WKH DWWDFN RU WLPH RI DVVDXOW 3/V DQ REMHFWLYH DQG DQ /2$ WR FRQWURO DQG
V\QFKURQL]HWKHDWWDFN $FRPPDQGHUFDQXVHDEDWWOHKDQGRYHUOLQHLQVWHDGRIDQ/2$LIWKHFRPPDQGHU
NQRZVZKHUHWKHOLNHO\FRPPLWPHQWRIDIROORZDQGDVVXPHIRUFHZLOORFFXU  )LJXUH RQSDJH
VKRZV WKHVH FRQWURO PHDVXUHV  &RPPDQGHUV GUDZ WKH ODWHUDO ERXQGDULHV RI WKH XQLW PDNLQJ WKH GHFLVLYH
RSHUDWLRQ QDUURZO\ &RPPDQGHUV ORFDWH WKH /2$ EH\RQG WKH HQHP\¶V PDLQ GHIHQVLYH SRVLWLRQ WR HQVXUH
FRPSOHWLQJWKHEUHDFK,IDQRSHUDWLRQUHVXOWVLQRSSRUWXQLWLHVWRH[SORLWVXFFHVVDQGSXUVXHDEHDWHQHQHP\
FRPPDQGHUVDGMXVWH[LVWLQJERXQGDULHVWRDFFRPPRGDWHWKHQHZVLWXDWLRQ

6 October 2017 FM 3-0 7-29


Chapter 7

Figure 7-12. Penetration control measures

7851,1*029(0(17
 $ WXUQLQJPRYHPHQWLVDIRUPRIPDQHXYHULQZKLFKWKHDWWDFNLQJIRUFHVHHNVWRDYRLGWKHHQHP\¶V
SULQFLSOHGHIHQVLYHSRVLWLRQVE\VHL]LQJREMHFWLYHVEHKLQGWKHHQHP\¶VFXUUHQWSRVLWLRQVWKHUHE\FDXVLQJWKH
HQHP\IRUFHWRPRYHRXWRIWKHLUFXUUHQWSRVLWLRQVRUGLYHUWPDMRUIRUFHVWRPHHWWKHWKUHDW )0 
7XUQLQJ PRYHPHQWV FDQ RFFXU ZKHQ WKH FRPPDQGHU XVHV D FRQWLJXRXV RU QRQFRQWLJXRXV RSHUDWLRQDO
IUDPHZRUN+RZHYHUDFRPPDQGHUFDQHPSOR\DYHUWLFDOHQYHORSPHQWXVLQJDLUERUQHRUDLUDVVDXOWIRUFHV
WRHIIHFWDWXUQLQJPRYHPHQW$QDLUERUQHDVVDXOWLVWKHXVHRIDLUERUQHIRUFHVWRSDUDFKXWHLQWRDQREMHFWLYH
DUHDWRDWWDFNDQGHOLPLQDWHDUPHGUHVLVWDQFHDQGVHFXUHGHVLJQDWHGREMHFWLYHV -3 $QDLUDVVDXOWLV
WKH PRYHPHQW RI IULHQGO\ DVVDXOW IRUFHV E\ URWDU\ZLQJ RU WLOWURWRU DLUFUDIW WR HQJDJH DQG GHVWUR\ HQHP\
IRUFHVRUWRVHL]HDQGKROGNH\WHUUDLQ -3 ,WFDQDOVREHFRQGXFWHGXVLQJZDWHUERUQHRUDPSKLELRXV
PHDQV 6HH-3IRUDGLVFXVVLRQRIDPSKLELRXVRSHUDWLRQV6HHILJXUH IRUDJUDSKLFGHSLFWLRQRID
WXUQLQJPRYHPHQW 

7-30 FM 3-0 6 October 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

Figure 7-13. Example of a corps turning movement

 7KH FRPPDQGHUGHVLJQDWHVWKH$2V IRUHDFKXQLWSDUWLFLSDWLQJ


LQ WKH WXUQLQJ PRYHPHQW E\ HVWDEOLVKLQJ ERXQGDULHV 7KH FRPPDQGHU
DOVRGHVLJQDWHVDGGLWLRQDOFRQWUROPHDVXUHVDVQHFHVVDU\WRV\QFKURQL]H
WKH VXERUGLQDWH IRUFH RSHUDWLRQV 7KHVH DGGLWLRQDO FRQWURO PHDVXUHV
LQFOXGH3/VFRQWDFWSRLQWVREMHFWLYHV/2$V DQG DSSURSULDWH)6&0V
$ FRQWDFW SRLQW LQ ODQG ZDUIDUH LV D SRLQW RQ WKH WHUUDLQ HDVLO\
LGHQWLILDEOHZKHUHWZRRUPRUHJURXQGXQLWVDUHUHTXLUHGWRPDNHFRQWDFW
-3 ,WFRQWDLQVWKHGDWHWLPHJURXSZKHQ FRQWDFWLVWRRFFXU 6HH
ILJXUH Figure 7-14. Contact
 $FRPPDQGHUXVHVDWXUQLQJPRYHPHQWWRVHL]HYLWDODUHDVLQWKH point
HQHP\¶V VXSSRUW DUHD EHIRUHWKH PDLQ HQHP\ IRUFH FDQ ZLWKGUDZ RU
UHFHLYHVXSSRUWRUUHLQIRUFHPHQWV&RPPDQGHUVIUHTXHQWO\WUDQVLWLRQWKLVIRUPRIPDQHXYHUIURPWKHDWWDFN

6 December 2017 FM 3-0, C1 7-31


Chapter 7

LQWR DQ H[SORLWDWLRQ RU SXUVXLW $ WXUQLQJ PRYHPHQW GLIIHUV IURP DQ HQYHORSPHQW EHFDXVH WKH IRUFH
FRQGXFWLQJ D WXUQLQJ PRYHPHQW VHHNVWR PDNH WKH HQHP\ IRUFHVGLVSODFH IURPWKHLU FXUUHQWORFDWLRQV
ZKHUHDVDQ HQYHORSLQJIRUFHVHHNVWRIL[DQG GHVWUR\WKHHQHP\IRUFHVLQWKHLUFXUUHQWORFDWLRQVIURPDQ
XQH[SHFWHGGLUHFWLRQ 6HH)0IRUDGLVFXVVLRQRIWKHRUJDQL]DWLRQRIIRUFHVFRQWUROPHDVXUHVDQG
SODQQLQJ SUHSDUDWLRQ DQG H[HFXWLRQ FRQVLGHUDWLRQV DVVRFLDWHG ZLWK WKH SHUIRUPDQFH RI WKH WXUQLQJ
PRYHPHQWWDVN 

2))(16,9(7$6.6
 7KHUHDUHIRXUEDVLFRIIHQVLYHWDVNV²PRYHPHQWWRFRQWDFWDWWDFNH[SORLWDWLRQDQGSXUVXLW7KHVH
DSSO\ WRWKHWDFWLFDODQG RSHUDWLRQDOOHYHOVRIZDUIDUH7KH H[HFXWLRQRIWKHVHIRXUWDVNVSRVHVLJQLILFDQWO\
GLIIHUHQWFKDOOHQJHV$OWKRXJKWKHQDPHVRIWKHVHRIIHQVLYHWDVNVFRQYH\WKHRYHUDOODLPRIDVHOHFWHGRIIHQVH
HDFKW\SLFDOO\FRQWDLQVHOHPHQWVRIWKHRWKHU&RUSVDQGGLYLVLRQFRPPDQGHUVFRPELQHWKHVHWDVNVZLWKWKH
IRUPVRIPDQHXYHUEDVHGRQWKHLULQWHQWDQGWKHLUKLJKHUHFKHORQFRPPDQGHU¶VFRQFHSWRIRSHUDWLRQV
 7KH RUJDQL]DWLRQ RI IRUFHV IRU HDFK RIIHQVLYH WDVN LV VOLJKWO\ GLIIHUHQW &RUSV DQG GLYLVLRQ
FRPPDQGHUVRUJDQL]HWKHLUVXERUGLQDWHXQLWVDQGDVVLJQWKHPWRWKHLUUHVSHFWLYH$2VEDVHGRQWKHLUFRQFHSW
RIRSHUDWLRQVIRUGHIHDWLQJWKHHQHP\ &RUSVDQG GLYLVLRQFRPPDQGHUVDFFHSWULVNWRPDVVWKHHIIHFWVRI
FRPEDWSRZHUIRUWKHLUGHFLVLYHRSHUDWLRQVRUPDLQ HIIRUW&RUSVDQGGLYLVLRQVKHDGTXDUWHUVUHLQIRUFHWKH
VXERUGLQDWHXQLWVFRQGXFWLQJWKHGHFLVLYHRSHUDWLRQZLWK DGGLWLRQDOILUHVLQIRUPDWLRQFROOHFWLRQHQJLQHH U
DWWDFNDYLDWLRQDLUGHIHQVHDQGVXVWDLQPHQWVXSSRUW
 'XULQJWKHSHUIRUPDQFHRIRIIHQVLYHWDVNVWKHUHPD\ EHHQHP\FRXQWHUDWWDFNSHQHWUDWLRQVLQWRWKH
IODQNVRIDGYDQFLQJ GLYLVLRQVDQG%&7V7KH GLYLVLRQVDQG%&7VHPSOR\VHFXULW\IRUFHVRQH[SRVHGIODQNV
WRSURYLGHHDUO\ZDUQLQJDQGUHDFWLRQWLPH,IIODQNVHFXULW\IRUFHVFDQQRWGHIHDWRUIL[HQHP\FRXQWHUDWWDFNV
'LYLVLRQVDQG%&7V DIIHFWHGE\WKHVHHQHP\FRXQWHUDWWDFNVTXLFNO\WUDQVLWLRQWRDGHIHQVHRUDGHOD\7KH
FRUSVRUGLYLVLRQFRPPDQGHUGHWHUPLQHVVL]HFRPSRVLWLRQGLUHFWLRQRIDWWDFNSUREDEOHREMHFWLYHDQGUDWH
RIPRYHPHQWRIWKHFRXQWHUDWWDFNLQJHQHP\IRUFH7KLVDOORZVWKHFRUSVRUGLYLVLRQFRPPDQGHUWRDVVHVV
ULVNDQGGHYHORSFRXUVHVRIDFWLRQWRGHIHDWWKHFRXQWHUDWWDFNLQJHQHP\IRUFH7KHVHFRXUVHVRIDFWLRQZLOO
HPSOR\D PL[ RIG\QDPLF GHIHQVLYHDFWLRQVWRWXUQWKHHQHP\IRUFHLQWRHQJDJHPHQWDUHDVDQG EORFNLWV
IXUWKHUDGYDQFH 7KLV PD\ UHTXLUHFKDQJLQJ WDVN RUJDQL]DWLRQ ,W ZLOO UHTXLUHDGMXVWLQJ VXERUGLQDWH XQLW
ERXQGDULHVDVVLJQHGPLVVLRQVDQGFRQWUROPHDVXUHV7KHFRPPDQGHUGLUHFWVWKHH[HFXWLRQRIVLWXDWLRQDORU
UHVHUYHREVWDFOHVWKHVKLIWLQJRISULRULW\RIILUHVDQGWKHDVVXPSWLRQRIULVN&RUSVDQGGLYLVLRQFRPPDQGHUV
HPSOR\RIIHQVLYHDFWLRQVWRLVRODWHDQG GHVWUR\D FRXQWHUDWWDFNLQJHQHP\IRUFHRQFHLWLV IL[HGLQ WKHVH
HQJDJHPHQWDUHDV

029(0(17 72&217$&7
'XULQJWKHDGYDQFHWRFRQWDFWHYHU\DJHQF\RILQWHOOLJHQFHUHFRQQDLVVDQFHDQGVHFXULW\
LVXWLOL]HGWRHQVXUHWKDWWKHPDLQIRUFHVDUHHQJDJHGXQGHUWKHPRVWIDYRUDEOHFRQGLWLRQV
)0 Field Service Regulations: Operations 

 0RYHPHQWWRFRQWDFWLVDQ RIIHQVLYHWDVNGHVLJQHGWRGHYHORSWKHVLWXDWLRQDQG HVWDEOLVKRUUHJDLQ


FRQWDFW $'53 &RPPDQGHUVFRQGXFWDPRYHPHQWWRFRQWDFWZKHQDQHQHP\VLWXDWLRQLVYDJXHRUQRW
VSHFLILF HQRXJK WR FRQGXFW DQ DWWDFN $ PRYHPHQW WR FRQWDFW HPSOR\V SXUSRVHIXO DQG DJJUHVVLYH
UHFRQQDLVVDQFHDQGVHFXULW\RSHUDWLRQVWRJDLQFRQWDFWZLWKWKHHQHP\PDLQERG\DQG GHYHORSWKHVLWXDWLRQ
7KHPRYHPHQWWRFRQWDFWIRUFHGHIHDWVHQHP\IRUFHVZLWKLQLWVFDSDELOLW\,IWKHPRYHPHQWWRFRQWDFWIRUFH
PHHWVDVXSHULRUIRUFHWKDWLWLVXQDEOHWRGHIHDWWKHPRYHPHQWWRFRQWDFWIRUFHFRQGXFWVVHFXULW\RUGHIHQVLYH
WDVNVDVQHFHVVDU\WRIXUWKHUGHYHORSWKHVLWXDWLRQ7KHIXQGDPHQWDOVRIDPRYHPHQWWRFRQWDFWDUH²
z )RFXVDOOHIIRUWVRQILQGLQJWKHHQHP\
z 0DNH LQLWLDO FRQWDFWZLWK WKH VPDOOHVWIRUFHSRVVLEOHFRQVLVWHQWZLWK SURWHFWLQJWKH IRUFHDQG
DYRLGLQJ GHFLVLYHHQJDJHPHQWZKLOHUHWDLQLQJHQRXJKFRPEDWSRZHUWRGHYHORSWKHVLWXDWLRQDQG
PLWLJDWH WKH DVVRFLDWHG ULVN &RQWDFW PD\ EH LQLWLDWHG LQ F\EHUVSDFH RU WKH LQIRUPDWLRQ
HQYLURQPHQW
z 7DVNRUJDQL]HWKHIRUFHDQGXVHPRYHPHQWDQGFRPEDWIRUPDWLRQVWRGHSOR\DQGDWWDFNUDSLGO\LQ
DQ\GLUHFWLRQ

7-32 FM 3-0, C1 6 December 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

z .HHS VXERUGLQDWH IRUFHV ZLWKLQ VXSSRUWLQJ GLVWDQFHV WR IDFLOLWDWH D IOH[LEOH DQG PXWXDOO\
VXSSRUWLQJUHVSRQVH
z 0DLQWDLQFRQWDFWUHJDUGOHVVRIWKHFRXUVHRIDFWLRQDGRSWHGRQFHFRQWDFWLVJDLQHG
 &ORVHDLUVXSSRUWDLULQWHUGLFWLRQ$UP\DYLDWLRQ UHFRQQDLVVDQFHVHFXULW\DQG DWWDFNVF\EHUVSDFH
HOHFWURPDJQHWLFDFWLYLWLHV,5&VVSDFHRSHUDWLRQVDQGFRXQWHUDLURSHUDWLRQVDUHHVVHQWLDOWRWKHVXFFHVVRI
ODUJHVFDOHPRYHPHQWVWRFRQWDFW/RFDODLUVXSHULRULW\RUDWDPLQLPXPDLUSDULW\LVYLWDOWRWKHRSHUDWLRQ¶V
VXFFHVV$VXFFHVVIXOO\H[HFXWHGPRYHPHQWWRFRQWDFWFUHDWHVIDYRUDEOHFRQGLWLRQVIRUVXEVHTXHQWWDFWLFDO
DFWLRQV
 $ XQLW PD\ FRQGXFW D PRYHPHQW WR FRQWDFW ZLWK LWV VXERUGLQDWH HOHPHQWVDEUHDVW ZLWK HDFK
VXERUGLQDWHHOHPHQWLQWXUQFRQGXFWLQJDPRYHPHQWWRFRQWDFWLQLWV$2 $VDQDOWHUQDWLYHD XQLWPD\OHDG
ZLWK RQHVXERUGLQDWHHOHPHQWDQG IROORZZLWK DQRWKHU)LJXUHLOOXVWUDWHVDFRUSVZLWK WZR GLYLVLRQV
FRQGXFWLQJDPRYHPHQWWRFRQWDFWZLWKRQHGLYLVLRQOHDGLQJ

Figure 7-15. Example of a corps movement to contact

 ,QILJXUHWKHOHDGGLYLVLRQLVWKHGHFLVLYHRSHUDWLRQDQGWKHWUDLOGLYLVLRQIROORZVDQGVXSSRUWV
7KHOHDGGLYLVLRQHQJDJHVDQGGHVWUR\VHQHP\VHFXULW\IRUFHV7KHWUDLOGLYLVLRQZLWKWKHIROORZDQGVXSSRUW
PLVVLRQHOLPLQDWHVE\SDVVHGHQHP\IRUFHVVHFXUHVNH\WHUUDLQVFUHHQVWKHIODQNVRIWKHFRUSVDQGFRQGXFWV
PLQLPXPHVVHQWLDOVWDELOLW\WDVNVLIUHTXLUHG,WDOVRSURYLGHVRQH,%&7 DV WKHFRUSVUHVHUYH'HSHQGLQJ
XSRQWKHPLVVLRQYDULDEOHVWKHWUDLOGLYLVLRQPD\FRQGXFWDIRUZDUGSDVVDJHRIOLQHVWKURXJKWKHOHDGGLYLVLRQ
DQGFRQGXFWWKHFRUSVGHFLVLYHRSHUDWLRQ,QWKLVH[DPSOHWKHFRUSVUHVHUYHLVDQ,%&7SRVLWLRQHGLQDKHDY\
SLFNXS]RQHLQWKHFRUSV$2 7KH FRUSVSURYLGHVDYLDWLRQ VXSSRUWREWDLQHGE\WDVNLQJWKHFRPEDWDYLDWLRQ

6 December 2017 FM 3-0, C1 7-33


Chapter 7

EULJDGHV &$%V RILWVVXERUGLQDWHGLYLVLRQVDQG FRRUGLQDWHVZLWKWKH8QLWHG6WDWHV$LU)RUFH 86$) DQG


WKHDWHUDYLDWLRQEULJDGHWRDLUPRYHRUDLUDVVDXOWWKHUHVHUYHXSRQFRPPLWPHQW$FRUSVQRUPDOO\XVHV3/V
WRFRQWURODQ RSHUDWLRQDV LWVGLYLVLRQV DGYDQFH $ FRUSVWUDQVLWLRQVWRD GHOLEHUDWHRSHUDWLRQLIWKH OHDG
GLYLVLRQHQFRXQWHUVDSUHSDUHGHQHP\GHIHQVH$FRUSVFRQGXFWVKDVW\RSHUDWLRQVDQGH[SORLWVDQ\IDYRUDEOH
VLWXDWLRQVLIDQHQHP\LVXQSUHSDUHGRUGHIHQGLQJZHDNO\
 $ PRYHPHQWWRFRQWDFWPD\ UHVXOWLQD PHHWLQJHQJDJHPHQW$ PHHWLQJHQJDJHPHQWLVDFRPEDW
DFWLRQWKDWRFFXUVZKHQDPRYLQJIRUFHLQFRPSOHWHO\GHSOR\HGIRUEDWWOHHQJDJHVDQHQHP\DWDQXQH[SHFWHG
WLPHDQG SODFH )0 2QFHFRQWDFWLVPDGHZLWK DQ HQHP\IRUFHWKHFRPPDQGHUKDVILYHRSWLRQV
DWWDFNGHIHQGE\SDVVGHOD\RUZLWKGUDZ 0RYHPHQWWRFRQWDFWLVDSULPDU\PHDQVWRGHYHORSWKHVLWXDWLRQ
WKURXJKDFWLRQ 6HH)0IRUDGGLWLRQDOLQIRUPDWLRQRQWKHSHUIRUPDQFHRIDPRYHPHQWWRFRQWDFW 

2UJDQL]DWLRQRI)RUFHV IRUD0RYHPHQWWR&RQWDFW
 $ PRYHPHQWWRFRQWDFWLVRUJDQL]HGZLWK D IRUZDUGVHFXULW\IRUFH²HLWKHUDFRYHULQJIRUFHRUDQ
DGYDQFH JXDUG²DQG D PDLQ ERG\ %DVHG RQWKHPLVVLRQYDULDEOHV D FRPPDQGHUPD\ LQFUHDVHWKHXQLW¶V
VHFXULW\E\UHVRXUFLQJDQRIIHQVLYHFRYHULQJIRUFHDQGDQ DGYDQFH JXDUG IRUHDFKFROXPQDVZHOODVIODQN
DQGUHDUVHFXULW\ QRUPDOO\DVFUHHQRUJXDUG 
 $ PRYHPHQWWRFRQWDFWPLVVLRQUHTXLUHVWKHFRPPDQGHUQRWWRKDYH FRQWDFWZLWKWKHHQHP\PDLQ
ERG\+RZHYHU WKHFRPPDQGHUPD\VWLOONQRZ WKHORFDWLRQRIDWOHDVWVRPHHQHP\UHVHUYHDQG IROORZRQ
IRUFHV,I WKH FRUSV RU GLYLVLRQ FRPPDQGHU KDV HQRXJK LQIRUPDWLRQ DQG LQWHOOLJHQFHWR WDUJHW HQHP\
XQFRPPLWWHGIRUFHVUHVHUYHVRUVXVWDLQLQJDFWLYLWLHVWKHFRPPDQGHUQRUPDOO\GHVLJQDWHVIRUFHVVXFKDV
ORQJUDQJHDUWLOOHU\V\VWHPVDWWDFN KHOLFRSWHUVH[WHQGHGUDQJH8$6V DQG IL[HGZLQJ DLUFUDIWWR HQJDJH
NQRZQHQHP\HOHPHQWVUHJDUGOHVVRIWKHLUORFDWLRQVZLWKLQWKH$2$WDOOWLPHVWKHIRUZDUGVHFXULW\HOHPHQW
DQG WKH PDLQ ERG\ SHUIRUPLQIRUPDWLRQFROOHFWLRQ5HFRQQDLVVDQFHLV ODUJHO\ IRUFHRULHQWHGDQG QRW DV
GHWDLOHGDVD W\SLFDO]RQHUHFRQQDLVVDQFHWKDWJDWKHUVGHWDLOHGLQIRUPDWLRQRQERWKWKHHQHP\DQG WHUUDLQ
7KHWHUUDLQUHFRQQDLVVDQFHWDVNVDUHPLQLPL]HGWRRQO\WKRVHQHFHVVDU\WRIDFLOLWDWHPRELOLW\RIWKHIRUFH

Security Elements
 $ FRPPDQGHUFRQGXFWLQJDPRYHPHQWWRFRQWDFWW\SLFDOO\RUJDQL]HVWKHIRUZDUGVHFXULW\HOHPHQW
LQWRD FRYHULQJIRUFHRUDQDGYDQFHG JXDUG WRSURWHFWWKHPRYHPHQWRIWKHPDLQERG\DQG WRGHYHORSWKH
VLWXDWLRQEHIRUHFRPPLWWLQJWKHPDLQERG\7KLVIRUZDUGVHFXULW\HOHPHQWLVQRUPDOO\WKHXQLW¶VLQLWLDOPDLQ
HIIRUW$FRYHULQJIRUFHLVWDVNRUJDQL]HGWRDFFRPSOLVKVSHFLILFWDVNVLQGHSHQGHQWRIWKHPDLQERG\VXFKDV
FRQGXFWPRELOLW\DQGVHOHFWHGFRXQWHUPRELOLW\WDVNVLQDFFRUGDQFHZLWKWKHPLVVLRQYDULDEOHV7KLVFRYHULQJ
IRUFHUHSRUWVGLUHFWO\WRWKH HVWDEOLVKLQJFRPPDQGHU,I LWLVXQDEOH WRUHVRXUFHDFRYHULQJ IRUFHD IRUFH
FRQGXFWLQJDPRYHPHQWWRFRQWDFWPD\XVHDQDGYDQFHJXDUGLQWKHSODFHRIDFRYHULQJIRUFH7KHDGYDQFHG
JXDUGDFFRPSOLVKHVVLPLODUWDVNVDVWKHFRYHULQJIRUFHEXWLWPXVWUHPDLQZLWKVXSSRUWLQJUDQJHRIWKHPDLQ
ERG\UHVXOWLQJLQOHVVSURWHFWLRQDQGUHDFWLRQWLPHIRUWKHPDLQERG\
 $ FRUSVFRQGXFWLQJD PRYHPHQW WRFRQWDFWQRUPDOO\ WDVNRUJDQL]HVLWVRIIHQVLYHFRYHULQJ IRUFH
DURXQGDEDVHSURYLGHGE\DQ$%&7 RUD6%&7 7KHFRUSVIRUZDUGFRYHULQJIRUFHLVXVXDOO\UHLQIRUFHGZLWK
ILHOG DUWLOOHU\ DWWDFN UHFRQQDLVVDQFH DYLDWLRQ XQLWV VKRUWUDQJH DLU GHIHQVH V\VWHPV HQJLQHHUV DQG
VXVWDLQPHQWDVVHWV
 $ GLYLVLRQ FRQGXFWLQJ D PRYHPHQW WR FRQWDFW VHSDUDWH IURP D FRUSV RSHUDWLRQ QRUPDOO\
WDVNRUJDQL]HVDGLYLVLRQRIIHQVLYHFRYHULQJIRUFHDURXQGDEDVHSURYLGHGE\DFRPELQHGDUPVEDWWDOLRQRUD
6WU\NHU EDWWDOLRQ 7KH GLYLVLRQ FRYHULQJ IRUFH LV DOVR UHLQIRUFHG ZLWK ILHOG DUWLOOHU\ URWDU \ZLQJ
DWWDFNUHFRQQDLVVDQFHDYLDWLRQVKRUWUDQJHDLUGHIHQVHDQGHQJLQHHUV
 $LUJURXQGRSHUDWLRQVDUHHVVHQWLDOWRVXFFHVVIXOPRYHPHQWVWRFRQWDFW$W WKHGLYLVLRQOHYHOWKH
DWWDFNUHFRQQDLVVDQFHEDWWDOLRQ DQG *UD\ (DJOH 8$6 FRPSDQ\ RUJDQLF WR WKH &$% PD\ UHPDLQ XQGHU
GLYLVLRQFRQWUROXQWLOFRQWDFWLVPDGH 7KH KHDY\ DWWDFN UHFRQQDLVVDQFHVTXDGURQZLWK LWVRUJDQLF$+
WURRSVDQG6KDGRZ 8$6 SODWRRQVIURPWKH&$% PD\EHXQGHU23&21RUGLUHFWVXSSRUWWRWKHFRYHULQJRU
DGYDQFH JXDUG IRUFHOHDGLQJWKHPRYHPHQWWRFRQWDFW7KHKHDY\ DWWDFNUHFRQQDLVVDQFHVTXDGURQSURYLGHV
PD[LPXP UHFRQQDLVVDQFHIRUZDUG ZKLOH WKH GLYLVLRQ¶V UHWHQWLRQRIFRQWURORIWKH DWWDFNUHFRQQDLVVDQFH
EDWWDOLRQ HQDEOHVDJLOH DQG OHWKDOFRPEDW SRZHU HPSOR\PHQWWRHQDEOH WKH GHFLVLYHRSHUDWLRQVRQFHWKH

7-34 FM 3-0, C1 6 December 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

VLWXDWLRQ LV GHYHORSHG ,I D &$% LV WDVNRUJDQL]HG WR D FRUSV WKH FRUSV KHDGTXDUWHUV PD\ HPSOR\ &$%
FRPSRQHQWVLQDVLPLODUPDQQHU
 0LOLWDU\ LQWHOOLJHQFH XQLWV DQG V\VWHPV FRQGXFW RSHUDWLRQV WR ORFDWH HQHP\ XQLWV DQG V\VWHPV
WKURXJKRXWWKHSHUIRUPDQFHRIWKHPRYHPHQWWRFRQWDFWWDVN6LJQDOVLQWHOOLJHQFH 6,*,17 DQG(:V\VWHPV
XVXDOO\RSHUDWHZLWKWKHFRYHULQJIRUFHDQGIODQNJXDUG7KHFRYHULQJIRUFHFRPPDQGHUGLUHFWV(:DJDLQVW
HQHP\&DQGILUHVXSSRUWQHWV7KHFRPPDQGHUPD\XVHHOHFWURQLFGHFHSWLRQWRGHFHLYHWKHHQHP\DVWR
WKHORFDWLRQRIWKHPDLQERG\6SDFHEDVHGDQGF\EHUVSDFHV\VWHPVDQGDFWLYLWLHVDOVRVXSSRUWWKHVHFXULW\
IRUFH LQ ORFDWLQJ DQG GHWHUPLQLQJ WKH SUHVHQFH RI HQHP\ GLVUXSWLRQ IRUFHV FRQWDFW IRUFHV DQG VKLHOGLQJ
IRUFHV
 (DFKFROXPQZLWKLQHLWKHUWKHFRUSVRUGLYLVLRQPDLQERG\PD\GHVLJQDWHDQDGYDQFHJXDUGWRDVVLVW
WKHFRYHULQJIRUFHDQGWRSUHYHQWSUHPDWXUHGHSOR\PHQWRIWKHPDLQERG\7KLVDGYDQFHJXDUGGHYHORSVWKH
VLWXDWLRQDORQJDQD[LVRIDGYDQFHRUDORQJGHVLJQDWHGURXWHV$URXWHLVWKHSUHVFULEHGFRXUVHWREHWUDYHOHG
IURPDVSHFLILFSRLQWRIRULJLQWRDVSHFLILFGHVWLQDWLRQ )0 $FROXPQDGYDQFHJXDUGLVXVXDOO\D
WDQNKHDY\RUEDODQFHGEDWWDOLRQWDVNIRUFHPRYLQJLQIURQWRIHDFK%&7,WRSHUDWHVZLWKLQUDQJHRIWKHILHOG
DUWLOOHU\PRYLQJZLWKWKHPDLQERG\ 6HHILJXUH 
 )ODQNDQGUHDUJXDUGVPD\EHXVHGWRSURWHFWWKHPDLQERG\IURPJURXQGREVHUYDWLRQVXUSULVHDQG
GLUHFWILUH$IODQNRUUHDUJXDUGXVXDOO\FRQVLVWVRIRQHRUWZRFRPSDQ\WHDPVIRUHDFK%&7ZLWKLQWKHPDLQ
ERG\

Figure 7-16. Route

Main Body
 7KHPDLQERG\RIDFRUSVRUGLYLVLRQFRQGXFWLQJDPRYHPHQWWRFRQWDFWFRQVLVWVRIFRUSVRUGLYLVLRQ
IRUFHVQRWGHWDLOHGWRVHFXULW\GXWLHV,WLVQRUPDOO\WKHPDLQERG\WKDWFRQGXFWVWKHGHFLVLYHRSHUDWLRQZLWKLQ
WKH FRQGXFW RI WKH PRYHPHQW WR FRQWDFW 7KH PDLQ ERG\ PD\ FRQGXFW HLWKHU D WDFWLFDO URDG PDUFK RU DQ
DSSURDFKPDUFK 6HH)0IRUDGLVFXVVLRQRIWKHVHWZRWDVNV 7KHFRPEDWHOHPHQWVRIWKHPDLQERG\
SUHSDUHWRUHVSRQGWRHQHP\FRQWDFWZLWKWKHXQLW¶VVHFXULW\IRUFHV

6 October 2017 FM 3-0 7-35


Chapter 7

 (DFK%&7ZLWKLQWKHFRUSVRUGLYLVLRQPDLQERG\QRUPDOO\UHTXLUHVWKHXVHRIDWOHDVWWZRURXWHVDV
LWPRYHVIRUZDUG$GLYLVLRQPDLQERG\QRUPDOO\PRYHVZLWKDWOHDVWWZR%&7VDEUHDVWPRYLQJDORQJWZR
JHQHUDOO\ SDUDOOHO D[HV RI DGYDQFH $ GLYLVLRQ FRPPDQGHU PD\ SUHIHU IRU DOO VXERUGLQDWH %&7V WR PRYH
DEUHDVW ZKHQ HQHP\ IRUFHV DUH QRW RUJDQL]HG LQ GHSWK 7KLV DVVXPHV WKH SUHVHQFH RI DGHTXDWH PRELOLW\
FRUULGRUV /LNHZLVH D FRUSV FRQGXFWLQJ D PRYHPHQW WR FRQWDFW QRUPDOO\ PRYHV ZLWK D OHDVW WZR RI LWV
GLYLVLRQVDEUHDVWRIHDFKRWKHU
 %&7FRPPDQGHUVSRVLWLRQRQHRUWZRRIWKHEDWWHULHVLQHDFK%&7¶VILHOGDUWLOOHU\EDWWDOLRQZHOO
IRUZDUGLQHDFK%&7¶VFROXPQ(QJLQHHUPRELOLW\DVVHWVIURPHDFK%&7¶VEULJDGHHQJLQHHUEDWWDOLRQDOVR
PRYHZLWKWKH%&7¶VOHDGLQJFRPSDQLHV
 7KH FRUSV RU GLYLVLRQ FRPPDQGHU FDQ DVVLJQ D IROORZ DQG VXSSRUW PLVVLRQ WR D VXERUGLQDWH XQLW
ZLWKLQWKHPDLQERG\7KLVDOORZVWKDWVXERUGLQDWHXQLWWRUHOLHYHIRUZDUGVHFXULW\IRUFHVIURPVXFKWDVNVDV
REVHUYLQJE\SDVVHGHQHP\IRUFHVKDQGOLQJGLVORFDWHGFLYLOLDQVDQGFOHDULQJURXWHV7KLVSUHYHQWVPDLQERG\
IRUZDUGDQGIODQNVHFXULW\IRUFHVIURPEHLQJGLYHUWHGIURPWKHLUSULPDU\PLVVLRQ

Reserve
 &RPPDQGHUVGHVLJQDWHDSRUWLRQRIWKHPDLQERG\IRUXVHDVWKHUHVHUYH7KHVL]HRIWKHUHVHUYHLV
EDVHGRQWKHPLVVLRQYDULDEOHVDQGWKHDPRXQWRIXQFHUWDLQW\FRQFHUQLQJWKHHQHP\7KHPRUHYDJXHWKH
HQHP\ VLWXDWLRQ WKH ODUJHU WKH UHVHUYH 7KH UHVHUYH LQ D PRYHPHQW WR FRQWDFW W\SLFDOO\ FRQVWLWXWHV
DSSUR[LPDWHO\RQHIRXUWKWRRQHWKLUGRIWKHIRUFH2QFRQWDFWZLWKWKHHQHP\WKHUHVHUYHSURYLGHVIOH[LELOLW\
WRUHDFWWRXQIRUHVHHQFLUFXPVWDQFHVDQGDOORZVWKHXQLWWRTXLFNO\UHVXPHLWVPRYHPHQW

&RQWURO0HDVXUHVIRUD0RYHPHQWWR&RQWDFW
 &RPPDQGHUVDQGVWDIIVXVHFRQWUROPHDVXUHVWRIRFXVPRYHPHQWFRQWUROILUHVLQWHJUDWHDLUVSDFH
XVH DQG HQDEOH IUHHGRP RI DFWLRQ ZKHQ H[HFXWLQJ D PRYHPHQW WR FRQWDFW 7KHVH PHDVXUHV LQFOXGH
GHVLJQDWLRQRIDQ$2ZLWKOHIWULJKWIURQWDQGUHDUERXQGDULHV LQFRQWLJXRXVRSHUDWLRQV RUDVHSDUDWH$2
ERXQGHGE\DFRQWLQXRXVERXQGDU\ LQQRQFRQWLJXRXVRSHUDWLRQV 7KHFRPPDQGHUIXUWKHUGLYLGHVWKH$2
LQWRVXERUGLQDWHXQLW$2VWRIDFLOLWDWHVXERUGLQDWHXQLWDFWLRQV
 7KHRSHUDWLRQXVXDOO\VWDUWVIURPDQ/'DWWKHWLPH
$ line of departure LVDSKDVHOLQH
VSHFLILHG LQ WKH RSHUDWLRQ RUGHU 2325'  &RPPDQGHUV FURVVHGDWDSUHVFULEHGWLPHE\WURRSV
FRQWURODPRYHPHQWWRFRQWDFWE\XVLQJ3/VFRQWDFWSRLQWV LQLWLDWLQJDQRIIHQVLYHWDVN $'53 
DQGFKHFNSRLQWVDVUHTXLUHG&RPPDQGHUVFRQWUROWKHGHSWK 7KHSXUSRVHRIWKH/'LVWRFRRUGLQDWH
RI WKH PRYHPHQW WR FRQWDFW E\ XVLQJ D /2$ RU D IRUZDUG WKHDGYDQFHRIWKHDWWDFNLQJIRUFHVR
ERXQGDU\ 7KH OLPLW RI DGYDQFH RU IRUZDUG ERXQGDU\ LV WKDWLWVHOHPHQWVVWULNHWKHHQHP\LQWKH
W\SLFDOO\SODFHGRQVXLWDEOHWHUUDLQIRUWKHIRUFHWRHVWDEOLVKD RUGHUDQGDWWKHWLPHGHVLUHG
KDVW\ GHIHQVH ,W VKRXOG QRW EH LQ ORFDWLRQV GRPLQDWHG E\
HQHP\FRQWUROOHGWHUUDLQIHDWXUHVWKDWZRXOGSODFHWKHIRUFHDWULVNRQFHWKH/2$LVDFKLHYHG
 &RUSVGLYLVLRQRU%&7FRPPDQGHUVXVHERXQGDULHVWRVHSDUDWH YDULRXVRUJDQL]DWLRQDO HOHPHQWV
DQGFOHDUO\HVWDEOLVKUHVSRQVLELOLWLHVEHWZHHQGLIIHUHQWRUJDQL]DWLRQV&RPPDQGHUVFDQGHVLJQDWHDVHULHVRI
3/V WKDW FDQ VXFFHVVLYHO\ EHFRPH WKH QHZ UHDU ERXQGDU\ RI WKH IRUZDUG VHFXULW\ HOHPHQW DV WKDW IRUFH
DGYDQFHV(DFKUHDUERXQGDU\EHFRPHVWKHIRUZDUGERXQGDU\RIWKHPDLQERG\DQGVKLIWVDVWKHVHFXULW\
IRUFHPRYHVIRUZDUG7KHUHDUERXQGDU\RIWKHPDLQERG\GHVLJQDWHVWKHOLPLWRIUHVSRQVLELOLW\RIWKHUHDU
VHFXULW\HOHPHQW7KLVOLQHVKLIWVDVWKHPDLQERG\PRYHVIRUZDUG 6HH$'53IRUDGLVFXVVLRQRIWKHVH
FRQWUROPHDVXUHV 
 $OWHUQDWLYHO\DFRPPDQGHUFRXOGGHVLJQDWHLQWHUPHGLDWHDQGSULPDU\REMHFWLYHVWROLPLWWKHH[WHQW
RIWKHPRYHPHQWWRFRQWDFWDQGRULHQWWKHIRUFH+RZHYHUWKHVHDUHRIWHQWHUUDLQRULHQWHGDQGXVHGRQO\WR
JXLGHPRYHPHQW$OWKRXJKDPRYHPHQWWRFRQWDFWPD\UHVXOWLQWDNLQJDWHUUDLQREMHFWLYHWKHSULPDU\IRFXV
UHPDLQV RQ ILQGLQJ WKH PDLQ HQHP\ IRUFH ,I WKH ORFDWLRQ RI VLJQLILFDQW HQHP\ IRUFHV LV NQRZQ SULRU WR
LQLWLDWLRQRIWKHPRYHPHQWWRFRQWDFWWKHFRPPDQGHUSODQVWKHFRQGXFWRIDQRWKHURIIHQVLYHWDVN

7-36 FM 3-0 6 October 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

6SHFLILF3ODQQLQJ&RQVLGHUDWLRQVIRUD0RYHPHQWWR&RQWDFW
 $FRUSVRUGLYLVLRQFRQGXFWVDPRYHPHQWWRFRQWDFWWRILQGWKHHQHP\DQGGHWHUPLQHWKHHQHP\¶V
GLVSRVLWLRQV ZKHQ WKH LQWHOOLJHQFH SLFWXUH LV LQFRPSOHWH RU VWDOH 7KLV RFFXUV ZKHQ IULHQGO\ LQIRUPDWLRQ
FROOHFWLRQLVLQFRPSOHWHRUZKHQWKHHQHP\HIIHFWLYHO\FRQWHVWVXVHRIVSDFHVXFKDVLQDGHJUDGHGGHQLHG
DQGGLVUXSWHGVSDFHRSHUDWLRQVHQYLURQPHQW NQRZQDV'62( WKH(06DQGF\EHUVSDFH7KHFRPPDQGHU
LVLQFUHDVLQJO\GHSHQGHQWXSRQJURXQGDQG$UP\DYLDWLRQUHFRQQDLVVDQFHLQVXFKFLUFXPVWDQFHV
 &RPPDQGHUV VHHN WR JDLQ FRQWDFW E\ XVLQJ WKH VPDOOHVW HOHPHQWV SRVVLEOH 7KHVH HOHPHQWV DUH
QRUPDOO\ JURXQG VFRXWV RU DHULDO VFRXWV SHUIRUPLQJ UHFRQQDLVVDQFH EXW WKH\ PD\ DOVR EH 8$6V RU RWKHU
UHFRQQDLVVDQFHDQGVXUYHLOODQFHDVVHWV7KHFRPPDQGHUPD\WDVNRUJDQL]HWKHXQLW¶VVFRXWVZLWKDGGLWLRQDO
FRPEDW SRZHU WR DOORZ WKHP WR GHYHORS WKH VLWXDWLRQ 7KH FRPPDQGHU VHOHFWV WKH XQLW¶V PRYHPHQW DQG
FRPEDWIRUPDWLRQVWRPDNHLQLWLDOFRQWDFWZLWKWKHVPDOOHVWIRUFHSRVVLEOH0RYHPHQWIRUPDWLRQVVKRXOGDOVR
SURYLGH IRU HIILFLHQW PRYHPHQW RI WKH IRUFH DQG HIIHFWLYH SODFHPHQW RI WKH UHVHUYH 7KH FRPPDQGHU FDQ
FKRRVHWRKDYHDOORUSDUWRIWKHIRUFHFRQGXFWDQDSSURDFK PDUFKDVSDUWRIWKH PRYHPHQWWRFRQWDFW WR
SURYLGHWKDWHIILFLHQWPRYHPHQW$QDSSURDFKPDUFKFDQIDFLOLWDWHWKHFRPPDQGHU¶VGHFLVLRQVE\DOORZLQJ
IUHHGRPRIDFWLRQDQGHIILFLHQWPRYHPHQWRIWKHPDLQERG\ 6HH)0IRUDGLVFXVVLRQRIDQDSSURDFK
PDUFK 

Information Collection in a Movement to Contact


 7KHFRPPDQGHUFRQGXFWVLQIRUPDWLRQFROOHFWLRQDFWLYLWLHVWRGHWHUPLQHWKHHQHP\¶VORFDWLRQDQG
LQWHQWZKLOHFRQGXFWLQJVHFXULW\WDVNVWRSURWHFWWKHPDLQERG\7KLVLQFOXGHVWKHXVHRIDYDLODEOHIL[HGZLQJ
DLUFUDIW (: $UP\ DYLDWLRQ PDQQHG DQG XQPDQQHG DWWDFN DQG UHFRQQDLVVDQFH DLUFUDIW VSDFHEDVHG
VXUYHLOODQFH SODWIRUPV DQG F\EHUVSDFH DVVHWV 7KLV DOORZV WKH PDLQ ERG\ WR IRFXV LWV SODQQLQJ DQG
SUHSDUDWLRQLQFOXGLQJUHKHDUVDOVRQWKHFRQGXFWRI KDVW\DWWDFNVE\SDVV PDQHXYHUVDQGKDVW\GHIHQVHV
3ODQQLQJ DGGUHVVHV QRW RQO\ DFWLRQV DQWLFLSDWHG E\ WKH FRPPDQGHU EDVHG RQ DYDLODEOH LQIRUPDWLRQ DQG
LQWHOOLJHQFH EXW DOVR LQFOXGHV WKH FRQGXFW RI PHHWLQJ HQJDJHPHQWV DW DQWLFLSDWHG WLPHV DQG ORFDWLRQV²
SUREDEOHOLQHVRIFRQWDFW²ZKHUHWKH\PLJKWRFFXULQPXOWLSOHGRPDLQV7KHFRPPDQGHUWDVNVWKHIRUZDUG
VHFXULW\IRUFHZLWKFRQGXFWLQJKDVW\URXWHUHFRQQDLVVDQFHRIURXWHVWKHPDLQERG\ZLOOWUDYHUVH
 ,QIRUPDWLRQFROOHFWLRQPD\EHPRUHUDSLGLQDPRYHPHQWWRFRQWDFWWKDQLQD]RQHUHFRQQDLVVDQFH
EHFDXVHWKHHPSKDVLVLVRQPDNLQJFRQWDFWZLWKWKHHQHP\+RZHYHULQFUHDVLQJWKHVSHHGRIWKHLQIRUPDWLRQ
FROOHFWLRQHIIRUWPD\UHVXOWLQLQFUHDVHGULVN,IWKHPLVVLRQUHTXLUHVLWWKHFRUSVRUGLYLVLRQFRPPDQGHUFDQ
WDVNVXERUGLQDWH%&7VDQG&$%VRUWKHFDYDOU\VTXDGURQVLQWKRVHVXERUGLQDWH%&7VWRIXUWKHUGHYHORSWKH
VLWXDWLRQGXULQJDFWLRQVRQFRQWDFW 6HH)0IRUDGLVFXVVLRQRIDFWLRQVRQFRQWDFW 
 7KH*DVVLVWHGE\WKHHQJLQHHUDQGDLUGHIHQVHVWDIIUHSUHVHQWDWLYHVPXVWFDUHIXOO\DQDO\]HWKH
WHUUDLQLQFOXGLQJDLUDYHQXHVRIDSSURDFK7KH*LGHQWLILHVWKHHQHP\¶VPRVWGDQJHURXVFRXUVHRIDFWLRQ
LQWKHZDUJDPLQJSRUWLRQRIWKHPLOLWDU\GHFLVLRQPDNLQJSURFHVV%HFDXVHRIWKHIRUFH¶VYXOQHUDELOLW\WKH
*PXVWQRWXQGHUHVWLPDWHWKHHQHP\GXULQJDPRYHPHQWWRFRQWDFW
$ WKRURXJK DQDO\VLV RI WKH HQHP\ GXULQJ ,3%²E\ GHYHORSLQJ WKH
PRGLILHG FRPELQHG REVWDFOH RYHUOD\ LQFOXGLQJ LQWHUYLVLELOLW\
RYHUOD\V DQGRWKHUSURGXFWVVXFKDVWKHHYHQWWHPSODWHV²HQKDQFHV
WKHIRUFH¶VVHFXULW\E\LQGLFDWLQJGDQJHUDUHDVZKHUHWKHIRUFHLVPRVW
OLNHO\ WR PDNH FRQWDFW ZLWK WKH HQHP\ ,W DOVR KHOSV WR GHWHUPLQH
PRYHPHQW WLPHV EHWZHHQ 3/V DQG RWKHU ORFDWLRQV 3RWHQWLDO GDQJHU
DUHDV DUH OLNHO\ HQHP\ GHIHQVLYH ORFDWLRQV ($V REVHUYDWLRQ SRVWV
DQG REVWDFOHV 7KH ILUHV V\VWHP WDUJHWV WKHVH DUHDV E\ GHVLJQDWLQJ Figure 7-17. Target
WDUJHW UHIHUHQFH SRLQWV DQG WKH\ EHFRPH RQRUGHU SULRULW\ WDUJHWV reference point
SODFHGLQWRHIIHFWDQGFDQFHOOHGDVWKHOHDGHOHPHQWFDQFRQILUPRU $ target reference point LVD
GHQ\HQHP\SUHVHQFH 6HHILJXUH 7KHLQWHOOLJHQFHDQQH[RIWKH SUHGHWHUPLQHGSRLQWRI
PRYHPHQW WR FRQWDFW RUGHU PXVW DGGUHVV FRYHUDJH RI WKHVH GDQJHU UHIHUHQFHQRUPDOO\D
DUHDV ,I UHFRQQDLVVDQFH DQG VXUYHLOODQFH IRUFHV FDQQRW FOHDU WKHVH SHUPDQHQWVWUXFWXUHRUWHUUDLQ
DUHDVPRUHGHOLEHUDWHPRYHPHQWWHFKQLTXHVDUHUHTXLUHG IHDWXUHWKDWFDQEHXVHGZKHQ
GHVFULELQJDWDUJHWORFDWLRQ
-3  

6 October 2017 FM 3-0 7-37


Chapter 7

Scheme of Maneuver for a Movement to Contact


 &RPPDQGHUVGHYHORSGHFLVLRQSRLQWVWRVXSSRUWFKDQJHVLQWKHIRUFH¶VPRYHPHQWIRUPDWLRQRUD
FKDQJHIURPDQDSSURDFKPDUFKWRDFRPEDWIRUPDWLRQ8VLQJERWKKXPDQDQGWHFKQLFDOPHDQVWRYDOLGDWH
GHFLVLRQ SRLQWV FRPPDQGHUV PXVW GHWHUPLQH WKH DFFHSWDEOH GHJUHH RI ULVN EDVHG RQ WKH PLVVLRQ $
FRPPDQGHU¶V FRQILGHQFH LQ WKH SURGXFWV RI WKH ,3% SURFHVV DQG WKH DFFHSWDEOH ULVN GHWHUPLQH WKH XQLW¶V
FRPEDWIRUPDWLRQDQGVFKHPHRIPDQHXYHU,QDKLJKULVNHQYLURQPHQWLWLVXVXDOO\EHWWHUWRLQFUHDVHWKH
GLVWDQFHEHWZHHQIRUZDUGHOHPHQWVDQGWKHPDLQERG\WKDQWRVORZWKHVSHHGRIDGYDQFH
 7KHIURQWDJHDVVLJQHGWRDXQLWLQDPRYHPHQWWRFRQWDFWPXVWDOORZLWWRDSSO\VXIILFLHQWFRPEDW
SRZHUWRPDLQWDLQWKHPRPHQWXPRIWKHRSHUDWLRQ5HGXFLQJWKHIURQWDJHQRUPDOO\JLYHVWKHXQLWDGHTXDWH
FRPEDWSRZHUWRGHYHORSWKHVLWXDWLRQRQFRQWDFWZKLOHPDLQWDLQLQJWKHUHTXLUHGPRPHQWXP&RYHULQJIRUFH
DQGDGYDQFHJXDUGFRPPDQGHUVVKRXOGKDYHXQFRPPLWWHGIRUFHVDYDLODEOHWRGHYHORSWKHVLWXDWLRQZLWKRXW
UHTXLULQJWKHGHSOR\PHQWRIWKHPDLQERG\
 %\SDVVFULWHULDVKRXOGEHFOHDUO\VWDWHGDQGLWGHSHQGVRQWKHPLVVLRQYDULDEOHV)RUH[DPSOHDQ
$%&7RU6%&7FRPPDQGHULQDQRSHQGHVHUWHQYLURQPHQWPD\GLUHFWWKDWQRPRXQWHGHQHP\IRUFHODUJHU
WKDQDSODWRRQFDQEHE\SDVVHGDQGWKDWDOORWKHUIRUFHVZLOOEHFOHDUHGIURPWKHEULJDGHD[LVRIDGYDQFH$Q\
IRUFHWKDWE\SDVVHVDQHQHP\XQLWPXVWPDLQWDLQFRQWDFWZLWKLWXQWLOWKDWIRUFHFDQKDQGWKDWFRQWDFWRIIWR
DQRWKHUIULHQGO\HOHPHQWXVXDOO\DIRUFHDVVLJQHGDIROORZDQGVXSSRUWPLVVLRQ
 &RUSVDQGGLYLVLRQVFDQH[HFXWHVKDSLQJRSHUDWLRQVLQVXSSRUWRIWKHLUVXERUGLQDWH%&7VDVSDUWRI
DPRYHPHQWWRFRQWDFWDOWKRXJKE\GHILQLWLRQDIRUFHFRQGXFWVDPRYHPHQWWRFRQWDFWZKHQWKHHQHP\
VLWXDWLRQLVYDJXHRUWRWDOO\XQNQRZQ6KDSLQJRSHUDWLRQVWRVXSSRUWDPRYHPHQWWRFRQWDFWRFFXUZKHQWKH
LQIRUPDWLRQ UHJDUGLQJ HQHP\ UHVHUYHV DQG IROORZRQ IRUFHV LV DYDLODEOH EXW LQIRUPDWLRQ UHJDUGLQJ WKRVH
HQHP\ IRUFHV LQ FORVH SUR[LPLW\ WR IULHQGO\ IRUFHV LV QRW DYDLODEOH $V LQ DQ\ RWKHU W\SH RI RSHUDWLRQ
FRPPDQGHUVSODQWRIRFXVRSHUDWLRQVRQILQGLQJWKHHQHP\DQGWKHQGHOD\LQJGLVUXSWLQJDQGGHVWUR\LQJ
HQHP\IRUFHVDVPXFKDVSRVVLEOHEHIRUHDUULYLQJLQGLUHFWILUHUDQJH
 ,QDPRYHPHQWWRFRQWDFWWKHFRPPDQGHUPD\QRWGHVLJQDWHDGHFLVLYHRSHUDWLRQXQWLOVXERUGLQDWH
IRUFHVPDNHFRQWDFWZLWKWKHHQHP\,QWKLVFDVHWKHFRPPDQGHUUHWDLQVUHVRXUFHVXQGHUGLUHFWFRQWUROWR
UHLQIRUFHWKHGHFLVLYHRSHUDWLRQZKHQLWLVGHVLJQDWHG,QWXUQWKHFRPPDQGHUPD\GHVLJQDWHWKHGHFLVLYH
RSHUDWLRQGXULQJWKHLQLWLDOVWDJHVRIDPRYHPHQWWRFRQWDFWEHFDXVHRIWKHSUHVHQFHRIDNH\SLHFHRIWHUUDLQ
RUDQDYHQXHRIDSSURDFK2QFHVXERUGLQDWHXQLWVPDNHFRQWDFWZLWKWKHPDLQHQHP\IRUFHDQGGHWHUPLQH
HQHP\ GLVSRVLWLRQV WKH FRUSV RU GLYLVLRQ FRPPDQGHU PDQHXYHUV RWKHU IRUFHV LQWR WKH EDWWOH WR VHL]H NH\
WHUUDLQDQGH[SORLWSRVLWLRQVRIUHODWLYHDGYDQWDJH

Scheme of Fires for a Movement to Contact


 &RPPDQGHUVUHO\SULPDULO\RQILUHDVVHWVDQG $UP\DYLDWLRQ DVVHWVWR ZHLJKWWKHOHDGHOHPHQW¶V
FRPEDWSRZHUEXWFRPPDQGHUVDOVRSURYLGHLWZLWKWKHDGGLWLRQDOFRPEDWPXOWLSOLHUVLWQHHGVWRDFFRPSOLVK
WKH PLVVLRQ 7KH ILUHV V\VWHP KHOSV GHYHORS ILUH VXSHULRULW\ ZKHQ RUJDQL]HG FRUUHFWO\ WR ILUH LPPHGLDWH
VXSSUHVVLRQPLVVLRQVWRKHOSPDQHXYHUIRUFHVJHWZLWKLQGLUHFWILUHUDQJHRIWKHHQHP\
 &RUSVDQGGLYLVLRQFRQWUROOHG(:DVVHWVDWWDFNHQHP\WDFWLFDOFRPPXQLFDWLRQVEHIRUHPDQHXYHU
IRUFHV PDNHSK\VLFDOFRQWDFWZLWKHQHP\IRUFHV(OHFWURQLFVXUYHLOODQFHDVVHWVDUHSULPDULO\HPSOR\HGWR
SURYLGHHDUO\GHWHFWLRQDQGORFDWLRQRIHQHP\IRUFHVLQFRQFHUWZLWKPDQHXYHUIRUFHV2QFHIRXQGWKHVWDII
DVVLVWVWKHFRPPDQGHULQLGHQWLI\LQJHQHP\XQLWVLQFRQWDFWGHWHUPLQLQJWKHLUVWUHQJWKGLVSRVLWLRQVSRVWXUH
DQG LQWHQWLRQV ,QIRUPDWLRQ FROOHFWLRQ UHVRXUFHV PXVW DFFRPSOLVK WKHVH WDVNV HDUO\ LQ RUGHU IRU WKH
FRPPDQGHU WR FRQFHQWUDWH (: DQG 2&2 QRQOHWKDO HIIHFWV WR GHYHORS DQG LQIOXHQFH WKH VLWXDWLRQ LQ
V\QFKURQL]DWLRQZLWKOHWKDOHIIHFWV

([HFXWLQJD0RYHPHQWWR&RQWDFW
 (DFKHOHPHQWRIDFRUSVRUGLYLVLRQSHUIRUPLQJDPRYHPHQWWRFRQWDFWV\QFKURQL]HVLWVDFWLRQVZLWK
DGMDFHQWDQGVXSSRUWLQJXQLWV(DFKHOHPHQWPDLQWDLQVFRQWDFWDQGFRRUGLQDWHVDVSUHVFULEHGLQRUGHUVDQG
XQLWVWDQGDUGRSHUDWLQJSURFHGXUHV

7-38 FM 3-0 6 October 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

Execution of a Movement to Contact by Security Forces


 (DFK FROXPQ¶V DGYDQFH JXDUG PDLQWDLQV FRQWDFW ZLWK WKH FRUSV RU GLYLVLRQ¶V RIIHQVLYH FRYHULQJ
IRUFH5HDUDQGIODQNVHFXULW\IRUFHVPDLQWDLQFRQWDFWZLWKDQGRULHQWRQWKHPRYHPHQWRIWKHPDLQERG\
7KHVHVHFXULW\IRUFHVSUHYHQWXQQHFHVVDU\GHOD\RIWKHPDLQERG\DQGSUHYHQWWKHGHSOR\PHQWRIWKHPDLQ
ERG\DVORQJDVSRVVLEOH5HFRQQDLVVDQFHHOHPHQWVRSHUDWHWRWKHIURQWDQGIODQNVRIHDFKFROXPQ¶VDGYDQFH
JXDUGDQGPDLQWDLQFRQWDFWZLWKWKHVHFXULW\IRUFH7KHFRPPDQGHUPD\LQVWUXFWIROORZDQGVXSSRUWIRUFHV
IURPHDFKFROXPQWRHOLPLQDWHVPDOOSRFNHWVRIUHVLVWDQFHE\SDVVHGE\WKHFROXPQ¶VDGYDQFHJXDUG
 7KHFRPPDQGHURIWKHFRUSVRUGLYLVLRQRIIHQVLYHFRYHULQJIRUFHFKRRVHVDFRPEDWIRUPDWLRQWR
PDNHFRQWDFWZLWKWKHVPDOOHVWSRVVLEOHIRUFHZKLOHSURYLGLQJIOH[LELOLW\IRUPDQHXYHU7KLVLVW\SLFDOO\D
ZHGJH RU D ER[ IRUPDWLRQ GHSHQGLQJ RQ ZKHWKHU WKH RIIHQVLYH FRYHULQJ IRUFH KDV WKUHH RU IRXU PDMRU
VXERUGLQDWHPDQHXYHUFRPPDQGV7KHFRYHULQJIRUFHFRPPDQGHUHQVXUHVWKDWWKHURXWHRUD[LVRIDGYDQFH
WUDYHOHGE\WKHPDLQERG\LVIUHHRIHQHP\IRUFHV7KHRIIHQVLYHFRYHULQJIRUFHPD\PRYHFRQWLQXRXVO\
XVLQJWUDYHOLQJDQGWUDYHOLQJRYHUZDWFK RUE\ERXQGV XVLQJERXQGLQJRYHUZDWFK ,WPRYHVE\ ERXQGV
ZKHQFRQWDFWZLWKWKHHQHP\LVLPPLQHQWDQGWKHWHUUDLQLVIDYRUDEOH
 $GYDQFH DQG IODQN JXDUGV NHHS HQRXJK GLVWDQFH EHWZHHQ WKHPVHOYHV DQG WKH RIIHQVLYH FRYHULQJ
IRUFHWRPDLQWDLQIOH[LELOLW\IRUPDQHXYHU7KLVGLVWDQFHYDULHVZLWKWKHOHYHORIFRPPDQGWKHWHUUDLQDQG
WKHDYDLODELOLW\RILQIRUPDWLRQDERXWWKHHQHP\
 6,*,17 DQG (: V\VWHPV GHSOR\ ZHOO IRUZDUG DV SDUW RI WKH IRUZDUG VHFXULW\ IRUFH )URP WKHVH
SRVLWLRQV WKH\ SURYLGH VXSSRUW WR PDQHXYHU XQLWV FRQVWLWXWLQJ WKH VHFXULW\ IRUFH 7KHVH DVVHWV GLVSODFH
IRUZDUGXVLQJDOWHUQDWHERXQGVWRPDLQWDLQFRQWLQXRXVVXSSRUW6,*,17V\VWHPVPRQLWRUUDGLRVDQGRWKHU
HPLWWHUVDVVRFLDWHGZLWKHQHP\UHFRQQDLVVDQFHIRUFHVFRQWDFWIRUFHVDQGILUHVXSSRUWV\VWHPV(:DVVHWV
MDPHQHP\FRPPDQGDQGFRQWUROQHWVHVSHFLDOO\WKRVHEHWZHHQHQHP\UHFRQQDLVVDQFHXQLWVDQGWKHLUFRQWURO
KHDGTXDUWHUV7KH\DOVRMDPHQHP\ZHDSRQVV\VWHPVZKLFKUHO\RQHOHFWURQLFJXLGDQFHRUFRQWURO
 $ FRUSV RU GLYLVLRQ SHUIRUPLQJ D PRYHPHQW WR FRQWDFW PXVW DWWHPSW WR FURVV DQ\ REVWDFOHV LW
HQFRXQWHUVZLWKRXWORVVRIPRPHQWXPE\FRQGXFWLQJKDVW\ LQVWULGH EUHDFKHV&RPPDQGHUVXVHIRUZDUG
VHFXULW\ IRUFHVLQDQDWWHPSW WRVHL]HLQWDFWEULGJHV ZKHQHYHUSRVVLEOH /HDGVHFXULW\HOHPHQWVE\SDVVRU
EUHDFKREVWDFOHVDVTXLFNO\DVSRVVLEOHWRPDLQWDLQWKHPRPHQWXPRIWKHPRYHPHQW&RPPDQGHUVGLUHFW
VXEVHTXHQWHOHPHQWVRIWKHPDLQERG\WRE\SDVV DQREVWDFOHVLWHDQGWDNHWKHOHDGLIWKHVHOHDGHOHPHQWV
FDQQRWRYHUFRPHREVWDFOHV)ROORZLQJ IRUFHVFDQDOVRUHGXFHREVWDFOHVWKDWKLQGHUWKHXQLW¶VVXVWDLQPHQW
IORZ 6HH)0IRUDGGLWLRQDOLQIRUPDWLRQRQWKHSHUIRUPDQFHRIWKHPRYHPHQWWRFRQWDFWWDVN 

Execution of a Movement to Contact by the Main Body


 0RYHPHQWVKRXOGEHDVUDSLGDVWKHWHUUDLQWKHPRELOLW\RIWKHIRUFHDQGWKHHQHP\VLWXDWLRQSHUPLW
2SHQ WHUUDLQ SURYLGHV PDQHXYHU VSDFH RQ HLWKHU VLGH RI WKH OLQH RI PDUFK DQG IDFLOLWDWHV KLJKVSHHG
PRYHPHQW,WDOVRDOORZVIRUJUHDWHUGLVSHUVDODQGXVXDOO\SHUPLWVPRUHVHSDUDWLRQEHWZHHQIRUZDUGVHFXULW\
HOHPHQWV DQG WKH PDLQ ERG\ WKDQ UHVWULFWHG WHUUDLQ DOORZV $ FRUSV RU GLYLVLRQ FRPPDQGHU VKRXOG QHYHU
FRPPLWWKHPDLQERG\WRFDQDOL]LQJWHUUDLQEHIRUHIRUZDUGVHFXULW\HOHPHQWVKDYHDGYDQFHGIDUHQRXJKWR
HQVXUHWKDWWKHPDLQERG\ZLOOQRWEHFRPHIL[HGZLWKLQWKDWWHUUDLQ7KHHQHP\PD\KDYHDOVRHVWDEOLVKHG
)6&0VWKDWDOORZWKHHQHP\WRHPSOR\QRQREVHUYHGKDUDVVLQJDQGLQWHUGLFWLRQILUHVWRLQWHUGLFWIULHQGO\
IRUFHVWUDYHUVLQJWKHVHFKRNHSRLQWV$VWKHHQHP\VLWXDWLRQEHFRPHVNQRZQWKHFRPPDQGHUPD\VKRUWHQ
WKHGLVWDQFHEHWZHHQPDLQERG\HOHPHQWVWRGHFUHDVHUHDFWLRQWLPHRUGHSOR\WKHIRUFHWRSUHSDUHIRUFRQWDFW
 7KH FRUSV RU GLYLVLRQ PDLQ ERG\ DGYDQFHV RYHU PXOWLSOH SDUDOOHO URXWHV ZLWK QXPHURXV ODWHUDO
EUDQFKHVWRUHPDLQIOH[LEOHDQGUHGXFHWKHWLPHQHHGHGWRLQLWLDWHPDQHXYHUEHKLQGWKHVHIRUZDUGVHFXULW\
HOHPHQWV,QDPRYHPHQWWRFRQWDFWWKHPDLQERG\¶VPDUFKGLVSRVLWLRQVPXVWDOORZPD[LPXPIOH[LELOLW\IRU
PDQHXYHULQJGXULQJPRYHPHQWDQGZKHQUHDFWLQJWRIRUZDUGRUIODQNVHFXULW\IRUFHVPDNLQJFRQWDFWZLWK
HQHP\IRUFHV
 7KHFRUSVRUGLYLVLRQPDLQERG\GHSOR\VRQFHWKHHQHP\¶VORFDWLRQLVGHWHUPLQHG7KHPDLQERG\
PD\ H[HFXWH D WDFWLFDO URDG PDUFK RU DQ DSSURDFK PDUFK IRU DOO RU SDUW RI WKH PRYHPHQW WR FRQWDFW WR
HIILFLHQWO\XVHWKHDYDLODEOHURDGQHWZRUNRUUHGXFHWKHWLPHQHHGHGWRPRYHIURPRQHORFDWLRQWRDQRWKHU
&3VDQGVXSSRUWHOHPHQWVWUDYHODORQJKLJKPRELOLW\URXWHVZLWKLQWKH$2DQGRFFXS\KDVW\SRVLWLRQVDV
QHFHVVDU\

6 October 2017 FM 3-0 7-39


Chapter 7

 7KHFRPPDQGHUPRYHVZHOOIRUZDUGLQWKHPRYHPHQWIRUPDWLRQ2QFHWKHIRUPDWLRQPDNHVFRQWDFW
ZLWKWKHHQHP\WKHFRPPDQGHUFDQPRYHTXLFNO\WRWKHDUHDRIFRQWDFWDQDO\]HWKHVLWXDWLRQDQGGLUHFW
HOHPHQWVDJJUHVVLYHO\7KHXQLW¶VVHFXULW\HOHPHQWVFRQGXFWDFWLRQVRQFRQWDFWWRGHYHORSWKHVLWXDWLRQRQFH
WKH\ILQGWKHHQHP\2QFHWKH\PDNHFRQWDFWZLWKWKHHQHP\DQXPEHURIDFWLRQVRFFXU²GHSOR\DQGUHSRUW
HYDOXDWH DQG GHYHORS WKH VLWXDWLRQ FKRRVH D FRXUVH RI DFWLRQ H[HFXWH VHOHFWHG FRXUVH RI DFWLRQ DQG
UHFRPPHQGDFRXUVHRIDFWLRQWRWKHKLJKHUHFKHORQFRPPDQGHU 8QLWVHTXLSSHGZLWKDIXOOVHWRIGLJLWDO
LQIRUPDWLRQV\VWHPVPD\EHDEOHWRFRPELQHRUVNLSRQHRUPRUHRIWKHVWHSVLQWKDWVHTXHQFH7KRVHXQLWV
ZLOOFRQGXFWPDQHXYHUDQGUHPDLQZLWKLQVXSSRUWLQJGLVWDQFHRIHDFKRWKHUZLWKDVLJQLILFDQWO\ODUJHU$2
WKDQXQLWVHTXLSSHGZLWKDQDORJV\VWHPV 7KHVHDFWLRQVQRUPDOO\FRQVWLWXWHDPDMRUSRUWLRQRIWKHXQLW¶V
VKDSLQJRSHUDWLRQV
 7KHFRPPDQGHU¶VILUHVXSSRUWV\VWHPVWHQGWRIRFXVRQVXSSUHVVLRQPLVVLRQVWRGLVUXSWHQHP\IRUFHV
DVWKH\DUHHQFRXQWHUHGDQGVPRNHPLVVLRQVWRREVFXUHRUVFUHHQH[SRVHGIULHQGO\IRUFHVZKHQFRQGXFWLQJD
PRYHPHQWWRFRQWDFW7KHFRPPDQGHUVFKHGXOHVWKHPRYHPHQWVRIILUHVXSSRUWV\VWHPVLQV\QFKURQL]DWLRQ
ZLWKWKHPRYHPHQWRIWKHUHVWRIWKHIRUFH)LUHVXSSRUWV\VWHPVWKDWFDQQRWPDWFKWKHFURVVFRXQWU\PRELOLW\
RIJURXQGPDQHXYHUXQLWVFDXVHWKHPWRVORZWKHLUUDWHRIDGYDQFH,QWKLVFDVHLIJURXQGPDQHXYHUXQLWVGR
QRW VORZ GRZQ WKH\ UXQ WKH ULVN RI RXWUXQQLQJ WKHLU ILUH VXSSRUW 7KH FRPPDQGHU V\QFKURQL]HV WKH
HPSOR\PHQWRI&$6WRSUHYHQWWKHHQHP\IURPUHJDLQLQJEDODQFHZKLOHWKHFRPPDQGHU¶VJURXQGILUHVXSSRUW
DVVHWVDUHUHSRVLWLRQLQJ7KHPDLQERG\XSGDWHVLWVSULRULW\WDUJHWOLVWGXULQJDPRYHPHQWWRFRQWDFW
 7KHFRQVLGHUDWLRQVLQSDUDJUDSKDUHVLPLODUWRWKHFRQVLGHUDWLRQVWKDWDSSO\WR$0'$FRUSV
RUGLYLVLRQFRPPDQGHUFRQGXFWLQJDPRYHPHQWWRFRQWDFWUHPDLQVDZDUHRIWKH$0'XPEUHOODSURYLGHGE\
6HQWLQHOUDGDUVDQG$$0'&3DWULRWV\VWHPVVKRUWUDQJHDLUGHIHQVHV\VWHPV8$6GHIHDWMDPPHUVDQGWKH
FRPEDWDLUSDWUROSURYLGHGE\86$)861DY\DQG860DULQH&RUSVILJKWHUDLUFUDIW
 7KH XQLW¶V WHPSR PRPHQWXP WDFWLFDO GLVSHUVDO XVH RI FRYHU DQG FRQFHDOPHQW DQG DWWHQWLRQ WR
HOHFWURPDJQHWLF HPLVVLRQ FRQWURO FRPSOLFDWH WKH HQHP\¶V DELOLW\ WR GHWHFW DQG WDUJHW WKH PDLQ ERG\ XQWLO
FRQWDFWLVPDGH2QFHWKHIRUFHPDNHVFRQWDFWDQGFRQFHQWUDWHVLWVHIIHFWVDJDLQVWGHWHFWHGHQHP\IRUFHVLW
EHFRPHVYXOQHUDEOHWRVWULNHVE\HQHP\FRQYHQWLRQDOZHDSRQVDQG:0',WPXVWFRQFHQWUDWHLWVFRPEDW
HIIHFWVUDSLGO\LQDPHHWLQJHQJDJHPHQWDQGGLVSHUVHDJDLQDVVRRQDVLWRYHUFRPHVUHVLVWDQFHWRDYRLGHQHP\
FRXQWHUDFWLRQVLIWKHPRYHPHQWWRFRQWDFWLVWRFRQWLQXH+RZHYHUWKHUHVXOWVRIWKDWPHHWLQJHQJDJHPHQW
ZLOOGHWHUPLQHWKHVSHFLILFFRXUVHRIDFWLRQVHOHFWHG

$77$&.
7KHHQHP\VD\WKDW$PHULFDQVDUHJRRGDWDORQJVKRW EXWFDQQRWVWDQGWKHFROGLURQ,
FDOOXSRQ\RXWRJLYHDOLHWRWKHVODQGHU&KDUJH
%ULJDGLHU*HQHUDO:LQILHOG6FRWW

 $QDWWDFNLVDQRIIHQVLYHWDVNWKDWGHVWUR\VRUGHIHDWVHQHP\IRUFHVVHL]HVDQGVHFXUHVWHUUDLQRU
ERWK $'53 $WWDFNVLQFRUSRUDWHFRRUGLQDWHGPRYHPHQWVXSSRUWHGE\ILUHV7KH\PD\EHSDUWRIHLWKHU
GHFLVLYHRUVKDSLQJRSHUDWLRQV$FRPPDQGHUPD\GHVFULEHDQDWWDFNDVKDVW\RUGHOLEHUDWHGHSHQGLQJRQ
WKHWLPHDYDLODEOHIRUDVVHVVLQJWKHVLWXDWLRQSODQQLQJDQGSUHSDULQJ$FRPPDQGHUPD\GHFLGHWRFRQGXFW
DQDWWDFNXVLQJRQO\ILUHVLQFOXGLQJ(:2&2DQGRWKHU,5&V$QDWWDFNGLIIHUVIURPDPRYHPHQWWRFRQWDFW
EHFDXVHLQDQDWWDFNFRPPDQGHUVNQRZDWOHDVWSDUWRIDQHQHP\¶VGLVSRVLWLRQ7KLVNQRZOHGJHHQDEOHV
FRPPDQGHUV WR EHWWHU RUFKHVWUDWH WKH ZDUILJKWLQJ IXQFWLRQV DQGFRQYHUJH WKH HIIHFWV RI DYDLODEOH FRPEDW
SRZHUPRUHHIIHFWLYHO\
 $WWDFNV WDNH SODFH DORQJ D FRQWLQXXP GHILQHG DW RQH HQG E\ IUDJPHQWDU\ RUGHUV WKDW GLUHFW WKH
H[HFXWLRQRIUDSLGO\H[HFXWHGEDWWOHGULOOVE\IRUFHVLPPHGLDWHO\DYDLODEOH7KHRWKHUHQGRIWKHFRQWLQXXP
LQFOXGHVSXEOLVKHGGHWDLOHGRUGHUVZLWKPXOWLSOHEUDQFKHVDQGVHTXHOVGHWDLOHGNQRZOHGJHRIDOODVSHFWVRI
HQHP\GLVSRVLWLRQVDIRUFHWKDWKDVEHHQWDVNRUJDQL]HGVSHFLILFDOO\IRUWKHRSHUDWLRQDQGWKHFRQGXFWRI
H[WHQVLYH UHKHDUVDOV 0RVW DWWDFNV IDOO EHWZHHQ WKH HQGV RI WKH FRQWLQXXP DV RSSRVHG WR HLWKHU H[WUHPH
$'53GLVFXVVHVWKLVFRQWLQXXPEHWZHHQKDVW\DQGGHOLEHUDWHRSHUDWLRQV 
 7\SLFDOO\DFRUSVHPSOR\VPXOWLSOHGLYLVLRQVLQWKHDWWDFN1RUPDOO\DFRUSVDWWDFNVZLWKWZRRU
PRUHGLYLVLRQVDEUHDVWDQGRQHRUWZRGLYLVLRQVIROORZLQJHLWKHULQVXSSRUW IROORZDQGVXSSRUW RUSUHSDUHG
WRFRQWLQXHWKHRIIHQVH IROORZDQGDVVXPH $FRUSVFRPPDQGHUQRUPDOO\UHWDLQVDWOHDVWRQH%&7DVWKH

7-40 FM 3-0 6 October 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

FRUSVUHVHUYH+RZHYHUWKHVL]HRIWKHUHVHUYHUHIOHFWVWKHFRPPDQGHU¶VULVNDVVHVVPHQW²PRUHULVNUHTXLUHV
DODUJHUUHVHUYH
 ,IWKHVLWXDWLRQSHUPLWVDFRUSVIL[HVWKHPDLQHQHP\GHIHQVHXVLQJIHLQWVDQGOLPLWHGDWWDFNVZKLOH
FRQGXFWLQJDWXUQLQJPRYHPHQWZLWKWZRGLYLVLRQV)LJXUHLOOXVWUDWHVDIRXUGLYLVLRQFRUSVDWWDFNFRXUVH
RIDFWLRQXVLQJ WZR GLYLVLRQVWRFRQGXFWD WXUQLQJ PRYHPHQW 7KH FRUSVFRPPDQGHUZHLJKWVWKH WXUQLQJ
PRYHPHQW GHFLVLYHRSHUDWLRQ DWWDFNLQJWKHHQHP\,)& DQG ,$'6XVLQJDVHFRQGGLYLVLRQZLWKWZR%&7V
WRIROORZDQGVXSSRUW7KHFRUSV¶ILHOGDUWLOOHU\EULJDGHSRVLWLRQVLWVHOIWRVXSSRUWWKHWXUQLQJPRYHPHQWDQG
DOVRDWWDFNWKHHQHP\,)&DQG ,$'6 7KH GLYLVLRQVLQWKHWXUQLQJPDQHXYHU UHFHLYHDOODYDLODEOH FRUSVDQG
MRLQWDVVHWV,QWKLVH[DPSOHWKHFRUSVFRPPDQGHUUHWDLQHGRQH%&7LQUHVHUYH

+Figure 7-18. Example of a corps attack

 ,IDFRUSVFDQQRWHQYHORSRUWXUQDQHQHP\¶VGHIHQVHWKHFRUSVFRQGXFWVDSHQHWUDWLRQ7\SLFDOO\D
FRUSVFRQFHQWUDWHVRQHGLYLVLRQLQDQDUURZ$2DQGSODFHVDVHFRQGODUJHUGLYLVLRQLQSRVLWLRQWRIROORZDQG
DVVXPH7KH FRUSVPDNHVWKHSHQHWUDWLRQGLYLVLRQ WKHPDLQ HIIRUWDQG WKHIROORZRQGLYLVLRQWKHGHFLVLYH

6 December 2017 FM 3-0, C1 7-41


Chapter 7

RSHUDWLRQDVVRRQDVWKHSHQHWUDWLRQDOORZVH[SORLWDWLRQ7KHRWKHUGLYLVLRQVFRQGXFWVKDSLQJDWWDFNVPLOLWDU\
GHFHSWLRQDQGHFRQRP\RIIRUFHPHDVXUHV3DUDJUDSKVDQGGLVFXVVWKHSHQHWUDWLRQDVDIRUPRI
PDQHXYHU 6HH)0IRUDGGLWLRQDOLQIRUPDWLRQRQWKHSHUIRUPDQFHRIDQDWWDFN 

2UJDQL]DWLRQRI)RUFHV IRUDQ$WWDFN
 2QFHDFRPPDQGHUGHWHUPLQHVWKHVFKHPHRIPDQHXYHUWKHFRPPDQGHUWDVNRUJDQL]HVWKHIRUFHWR
JLYHHDFKXQLWHQRXJKFRPEDWSRZHUWRDFFRPSOLVKLWVPLVVLRQ&RPPDQGHUVQRUPDOO\RUJDQL]HWKHDWWDFNLQJ
IRUFH LQWR D VHFXULW\ IRUFH D PDLQ ERG\ DQG D UHVHUYH DOO VXSSRUWHG E\ VRPH W\SH RI VXVWDLQPHQW
RUJDQL]DWLRQ &RPPDQGHUV VKRXOG FRPSOHWHDQ\ FKDQJHV LQ WDVNRUJDQL]DWLRQ LQ WLPH WR DOORZ XQLWV WR
FRQGXFWUHKHDUVDOVZLWKWKHLUDWWDFKHGDQGVXSSRUWLQJHOHPHQWV7KHEHVWSODFHDQGWLPHIRUDQDWWDFNLQJIRUFH
WRWDVNRUJDQL]HLVZKHQLWLVLQDQDVVHPEO\DUHD

Security Forces for an Attack


 &RPPDQGHUVUHVRXUFHGHGLFDWHGVHFXULW\IRUFHVGXULQJDQDWWDFNRQO\LIWKHDWWDFNZLOOXQFRYHURQH
RUPRUHIODQNVRUWKHUHDURIWKHDWWDFNLQJIRUFHDVLWDGYDQFHV,QWKLVFDVHWKHFRPPDQGHUGHVLJQDWHVDIODQN
RUUHDUVHFXULW\IRUFHDQGDVVLJQVLWDJXDUGRUVFUHHQPLVVLRQGHSHQGLQJRQWKHPLVVLRQYDULDEOHV1RUPDOO\
DQDWWDFNLQJXQLWGRHVQRWQHHGH[WHQVLYHIRUZDUGVHFXULW\IRUFHVPRVWDWWDFNVDUHODXQFKHGIURPSRVLWLRQV 
LQFRQWDFWZLWKWKHHQHP\ZKLFKUHGXFHVWKHXVHIXOQHVVRIDVHSDUDWHIRUZDUGVHFXULW\IRUFH$QH[FHSWLRQ
RFFXUVZKHQWKHDWWDFNLQJXQLWLVWUDQVLWLRQLQJIURPWKHGHIHQVHWRDQDWWDFNDQGKDG SUHYLRXVO\HVWDEOLVKHG
DIRUZDUGVHFXULW\DUHDDVSDUWRIWKHGHIHQVH

Main Body in an Attack


 &RPPDQGHUV RUJDQL]H WKH PDLQ ERG\ LQWR FRPELQHG DUPV IRUPDWLRQVWR FRQGXFW WKH GHFLVLYH
RSHUDWLRQDQG QHFHVVDU\VKDSLQJRSHUDWLRQV&RPPDQGHUVIRFXVWKHGHFLVLYHRSHUDWLRQWRZDUGWKHGHFLVLYH
SRLQWZKLFKFDQFRQVLVWRIWKHLPPHGLDWHDQGGHFLVLYHGHVWUXFWLRQRIWKHHQHP\IRUFHLWVZLOOWRUHVLVWVHL]XUH
RIDWHUUDLQREMHFWLYHRUWKHGHIHDWRIWKHHQHP\¶VSODQ 7KHVFKHPHRIPDQHXYHULGHQWLILHVWKHIRFXVRIWKH
GHFLVLYHRSHUDWLRQ$OORIWKHIRUFH¶VDYDLODEOHUHVRXUFHVRSHUDWHLQFRQFHUWLQPXOWLSOHGRPDLQVWRDVVXUHWKH
VXFFHVVRIWKHGHFLVLYHRSHUDWLRQ7KHVXERUGLQDWHXQLWRUXQLWVGHVLJQDWHGWRFRQGXFWWKHGHFLVLYHRSHUDWLRQ
FDQFKDQJHGXULQJWKHFRXUVHRIWKHDWWDFN,IFRPPDQGHUVH[SHFWWRFRQGXFWDEUHDFKRSHUDWLRQGXULQJWKH
DWWDFNFRPPDQGHUVGHVLJQDWHDVVDXOWEUHDFKDQGVXSSRUWIRUFHV
 ,ILWLVLPSUDFWLFDOWRGHWHUPLQHLQLWLDOO\ZKHQRUZKHUHWKHGHFLVLYHRSHUDWLRQZLOOEHFRPPDQGHUV
UHWDLQIOH[LELOLW\E\DUUDQJLQJIRUFHVLQGHSWKKROGLQJRXWVWURQJUHVHUYHVDQGPDLQWDLQLQJFHQWUDOL]HGFRQWURO
RIORQJUDQJHILUHVXSSRUWV\VWHPVDWWDFNUHFRQQDLVVDQFHKHOLFRSWHUV(:2&2DQG RWKHU,5&V $VVRRQ
DV WKH WDFWLFDOVLWXDWLRQLVFOHDUHQRXJK WRDOORZ WKHFRPPDQGHUWRGHVLJQDWH WKHGHFLVLYHRSHUDWLRQWKH
FRPPDQGHU IRFXVHVDYDLODEOH UHVRXUFHV WR VXSSRUW WKRVH VXERUGLQDWH IRUFHV FRQGXFWLQJ WKDW GHFLVLYH
RSHUDWLRQVRWKDWWKH\FDQDFKLHYHWKHLUDVVLJQHGREMHFWLYHV(QHP\DFWLRQVPLQRUFKDQJHVLQWKHVLWXDWLRQ
RUWKHODFNRIVXFFHVVE\RWKHUDWWDFNLQJHOHPHQWVFDQQRWEH DOORZHGWRGLYHUW WKRVHIRUFHVRUVXSSRUWLQJ
HIIHFWVIURPWKHGHFLVLYHRSHUDWLRQ
 &RPPDQGHUVPD\QHHGWRGHVLJQDWHDXQLWRUXQLWVWRFRQGXFWVKDSLQJRSHUDWLRQVWRFUHDWHZLQGRZV
RI RSSRUWXQLW\ IRUH[HFXWLQJ WKH GHFLVLYH RSHUDWLRQ&RPPDQGHUV DOORFDWHWKH XQLW RU XQLWV DVVLJQHG WR
FRQGXFW VKDSLQJ RSHUDWLRQV WKH PLQLPXP FRPEDW SRZHU QHFHVVDU\ WR DFFRPSOLVK WKHLU PLVVLRQV
2YHUZKHOPLQJ FRPEDWSRZHUFDQQRWEHHPSOR\HGHYHU\ZKHUHGXULQJODUJHVFDOHFRPEDWRSHUDWLRQV8QLWV
FRQGXFWLQJVKDSLQJ RSHUDWLRQVXVXDOO\KDYH D ZLGHU $2 WKDQ WKRVHFRQGXFWLQJD GHFLVLYHRSHUDWLRQ,I D
FRPPDQGHUKDVVXIILFLHQWIRUFHVWRFRQGXFWVKDSLQJRSHUDWLRQVWKHFRPPDQGHUFDQDVVLJQWKHWDVNVRIIROORZ
DQGDVVXPHRUIROORZDQGVXSSRUWWRVXERUGLQDWHXQLWV )0GHILQHVWKHVHWZRWDFWLFDOPLVVLRQWDVNV 

Reserve in the Attack


 &RPPDQGHUV XVH WKHLU UHVHUYHV WR H[SORLW VXFFHVV GHIHDW HQHP\ FRXQWHUDWWDFNV RU UHVWRUH
PRPHQWXPWR D VWDOOHGDWWDFN 2QFH FRPPLWWHGWKH UHVHUYH¶VDFWLRQVQRUPDOO\ EHFRPHRU UHLQIRUFHWKH
GHFLVLYHRSHUDWLRQ&RPPDQGHUVPDNHHYHU\HIIRUWWRUHFRQVWLWXWHDQRWKHUUHVHUYHIURPXQLWVPDGHDYDLODEOH
E\WKHUHYLVHGVLWXDWLRQ2IWHQDFRPPDQGHU¶VPRVWGLIILFXOWDQGLPSRUWDQWGHFLVLRQFRQFHUQVWKHWLPHSODFH

7-42 FM 3-0, C1 6 December 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

DQGFLUFXPVWDQFHVIRUFRPPLWWLQJWKHUHVHUYH7KHUHVHUYHLVQRWDFRPPLWWHGIRUFHLWLVQRWXVHGDVDIROORZ
DQGVXSSRUWIRUFHRUDIROORZDQGDVVXPHIRUFH
 $WWDFNLQJFRPPDQGHUVDOORFDWHFRPEDWSRZHUWRWKHUHVHUYHSULPDULO\RQWKHOHYHORIXQFHUWDLQW\
DERXWWKHHQHP\HVSHFLDOO\WKHVWUHQJWKRIDQ\H[SHFWHGHQHP\FRXQWHUDWWDFNV$UHVHUYHKDVPRELOLW\HTXDO
WRRUJUHDWHUWKDQWKHPRVWGDQJHURXVHQHP\JURXQGWKUHDWWREHDEOHWRFRXQWHUWKDWWKUHDW7KHUHVHUYHVKRXOG
DOVRSRVVHVVDWOHDVWFRPSDUDEOHFRPEDWSRZHUWRWKHPRVWOLNHO\HQHP\FRXQWHUDWWDFNLQJIRUFHLILWLVJRLQJ
WRDWWDFNDQGGHIHDWWKDWHQHP\FRXQWHUDWWDFNDQGDOORZLWVSDUHQWFRUSVRUGLYLVLRQWRFRQWLQXHLWVDWWDFN
 ,Q DGGLWLRQ WKH VWUHQJWK DQG FRPSRVLWLRQ RI WKH UHVHUYH YDU\ ZLWK WKH UHVHUYH¶V FRQWHPSODWHG
PLVVLRQVWKHIRUFHVDYDLODEOHWKHIRUPRIRIIHQVLYHPDQHXYHUVHOHFWHGWKHWHUUDLQDQGWKHULVNDFFHSWHG
7KHFRPPDQGHURQO\QHHGVWRUHVRXUFHDVPDOOUHVHUYHWRUHVSRQGWRXQDQWLFLSDWHGHQHP\UHDFWLRQVZKHQ
GHWDLOHGLQIRUPDWLRQDERXWWKHHQHP\H[LVWV&RPPDQGHUVVKRXOGQRWFRQVWLWXWHWKHUHVHUYHE\ZHDNHQLQJ
WKHGHFLVLYHRSHUDWLRQ

&RQWURO0HDVXUHVIRUDQ$WWDFN
 8QLWV FRQGXFWLQJ RIIHQVLYH WDVNV
DUH DVVLJQHG DQ $2 ZLWKLQ ZKLFK WR
RSHUDWH :LWKLQ WKH $2 WKH FRPPDQGHU
QRUPDOO\GHVLJQDWHVWKHIROORZLQJFRQWURO
PHDVXUHVUHJDUGOHVVRIZKHWKHUWKHDWWDFN
WDNHV SODFH LQ D FRQWLJXRXV RU
QRQFRQWLJXRXVHQYLURQPHQW
z $2V IRU VXERUGLQDWH XQLWV RI
EDWWDOLRQVL]HRUODUJHU
z $3/DVWKH/'ZKLFKPD\DOVR
EH WKH OLQH RI FRQWDFW 6HH
ILJXUH 
z 7KH WLPH WR LQLWLDWH WKH
RSHUDWLRQ
z 7KHREMHFWLYH

 ,I QHFHVVDU\ D FRPPDQGHU FDQ  Figure 7-19. Line of contact
XVHHLWKHUDQD[LVRIDGYDQFHRUDGLUHFWLRQ
$line of contactLVDJHQHUDOWUDFHGHOLQHDWLQJWKHORFDWLRQ
RI DWWDFN WR IXUWKHU FRQWURO PDQHXYHU
ZKHUHIULHQGO\DQGHQHP\IRUFHVDUHHQJDJHG )0 
IRUFHV $XWKRULWLHV JUDQWHG WR D ,QWKHRIIHQVHDOLQHRIFRQWDFWLVRIWHQFRPELQHGZLWKWKH
FRPPDQGHU DFW DV FRQWURO PHDVXUHV IRU /'
(: 2&2 DQG WKH HPSOR\PHQW RI RWKHU
,5&V
 $FRPPDQGHUFDQXVHDQ\RWKHUFRQWUROPHDVXUHVQHFHVVDU\WRFRQWUROWKHDWWDFN6KRUWRIWKH/'
RUOLQHRIFRQWDFWDFRPPDQGHUPD\GHVLJQDWHDVVHPEO\DUHDVDQGDWWDFNSRVLWLRQVZKHUHWKHXQLWSUHSDUHV
IRURIIHQVLYHDFWLRQVRUZDLWVIRUWKHHVWDEOLVKPHQWRIWKHUHTXLUHGFRQGLWLRQVWRLQLWLDWHWKHDWWDFN%H\RQG
WKH/'RUOLQHRIFRQWDFWWKHFRPPDQGHUPD\GHVLJQDWHFKHFNSRLQWV3/VSUREDEOHOLQHVRIGHSOR\PHQW
DVVDXOWSRVLWLRQVGLUHFWILUHFRQWUROPHDVXUHVDQG)6&0%HWZHHQWKHSUREDEOHOLQHRIGHSOR\PHQWDQGWKH
REMHFWLYHDFRPPDQGHUFDQXVHDILQDOFRRUGLQDWLRQOLQHDVVDXOWSRVLWLRQVDWWDFNE\ILUHDQGVXSSRUWE\ILUH
SRVLWLRQVDQGDWLPHRIDVVDXOWWRIXUWKHUFRQWUROWKHILQDOVWDJHRIWKHDWWDFN 6HHILJXUHRQSDJH 
$FRPPDQGHUFDQLPSRVHDQ/2$EH\RQGWKHREMHFWLYHLIWKHFRPPDQGHUGRHVQRWZDQWWKHXQLWWRFRQGXFW
H[SORLWDWLRQRUSXUVXLWRSHUDWLRQV $SSHQGL[$RI)0GLVFXVVHVWKHVHFRQWUROPHDVXUHV 
 &RPPDQGHUV QHHG WR PDLQWDLQ WLJKW FRQWURO RYHU WKH PRYHPHQW RI DOO DWWDFNLQJ HOHPHQWV GXULQJ
DWWDFNV FRQGXFWHG XQGHU OLPLWHGYLVLELOLW\ FRQGLWLRQV WR SUHYHQW IUDWULFLGH GXH WR D ORVV RI VLWXDWLRQDO
DZDUHQHVV E\ VPDOO XQLWV 7KHVH FRQGLWLRQV UHTXLUH FRPPDQGHUV WR LPSRVH DGGLWLRQDO FRQWURO PHDVXUHV
EH\RQGWKRVHXVHGLQGD\OLJKWDWWDFNV7KHVHDGGLWLRQDOPHDVXUHVPD\LQFOXGHXVLQJDSRLQWRIGHSDUWXUHDQG
DGLUHFWLRQRIDWWDFN

6 October 2017 FM 3-0 7-43


Chapter 7

([HFXWLQJDQ$WWDFN
 $Q DWWDFN PXVW EH YLROHQW DQG UDSLG WR VKRFN WKH
HQHP\DQGWRSUHYHQWWKHHQHP\¶VUHFRYHU\XQWLOGHVWUXFWLRQ
RIWKHLQWHJULW\RIWKHHQHP\GHIHQVHRFFXUV$QDWWDFNPD\
UHTXLUH D SRZHUIXO DQG YLROHQW GLUHFW DVVDXOW RI
HQHP\RFFXSLHG NH\ RU GHFLVLYH WHUUDLQ DOWKRXJK LQ D
QRQFRQWLJXRXV HQYLURQPHQW LQGLUHFW DSSURDFKHV PD\ UHVXOW
LQIHZHUFDVXDOWLHV7KHDWWDFNHUPXVWPLQLPL]HH[SRVXUHWR
HQHP\ ILUHV E\ XVLQJ PDQHXYHU DQG FRXQWHUILUH DYRLGLQJ
REVWDFOHV WDNLQJ DGYDQWDJH RI WKH WHUUDLQ PDLQWDLQLQJ
VHFXULW\ DQG LQVXULQJ FRQWLQXHG RUFKHVWUDWLRQ RI WKH
ZDUILJKWLQJIXQFWLRQVDFURVVPXOWLSOHGRPDLQV6\QFKURQL]HG 
PRYHPHQW DQG ILUHV FRXSOHG ZLWK WKH FRQWULEXWLRQV RI DOO  Figure 7-20. Attack by fire
ZDUILJKWLQJ IXQFWLRQV DFURVV PXOWLSOH GRPDLQV DUH XVHG WR  position
DFKLHYH VXSHULRU FRPEDW SRZHU DW WKH SRLQW RI DVVDXOW $Qattack by fireSRVLWLRQLVWKHJHQHUDO
$UWLOOHU\ SUHSDUDWLRQ VXSSUHVVLYH ILUHV LVRODWLRQ RI WKH SRVLWLRQIURPZKLFKDXQLWFRQGXFWVWKH
WDFWLFDOWDVNRIDWWDFNE\ILUH
HQHP\IRUFHFRQFHQWUDWLRQRIFRPEDWSRZHUDQGSK\VLFDOO\
$'53 7KHSXUSRVHRIDQDWWDFN
RYHUUXQQLQJ HQHP\ SRVLWLRQV DOO FRPELQH WR GHVWUR\ D E\ILUHSRVLWLRQLVWRPDVVWKHHIIHFWVRI
GHIHQGLQJ HQHP\ $Q DWWDFNLQJ IRUFH QHHGV WR UHPDLQ GLUHFWILUHV\VWHPVIRURQHRUPXOWLSOH
RUJDQL]HGDVDFRKHVLYHIRUFHIRUWKHEDWWOHRQLWVREMHFWLYH ORFDWLRQVWRZDUGWKHHQHP\
DQGWKHH[SORLWDWLRQRIEDWWOHILHOGVXFFHVV
 &RPPDQGHUVPXVWEHZHOOIRUZDUGIRUSV\FKRORJLFDOUHDVRQVDVZHOODVIRUHIIHFWLYHFRQWURORIWKHLU
XQLWV7KH\DUHEHVWDEOHWRPDNHDVVHVVPHQWVDQGLVVXHLQVWUXFWLRQVE\UHPDLQLQJQHDUWKHVRXUFHRIFRPEDW
LQIRUPDWLRQ :KLOH RQ WKH PRYH IRUFHV FRPPXQLFDWH SULPDULO\ E\ FRPEDW QHW UDGLR EXW WKH\ UHPDLQ
SUHSDUHGWRFRQWLQXHWKHLUIRUZDUGPDQHXYHUZKHQWKHHQHP\FRQWHVWVXVHRIWKH(06&RPPDQGHUVPXVW
JXDUGWKLVDQGRWKHUPHDQVRIFRPPXQLFDWLRQVDQGGHPDQGGLVFLSOLQHLQSDVVLQJRQO\HVVHQWLDOLQIRUPDWLRQ
%UHYLW\ UHGXFHV WKH (06 VLJQDWXUH FODULW\ UHPDLQV HVVHQWLDO &RPPDQGHUV IDFLOLWDWH FRRUGLQDWLRQ E\
PRQLWRULQJWKHUHSRUWVRIDGMDFHQWXQLWV
 $UP\FRUSVDQGGLYLVLRQVDWWDFNXQGHUDYDULHW\RIFLUFXPVWDQFHV,QODUJHVFDOHFRPEDWRSHUDWLRQV
WKH\PRVWRIWHQDWWDFNIURPGHIHQVLYHSRVLWLRQVWKDWIRUPDSHULPHWHUDURXQGWKHLULQLWLDOORGJPHQWZLWKLQD
MRLQWRSHUDWLRQVDUHD -2$ RUWKHDWHURIRSHUDWLRQV7KDWSHULPHWHUGHIHQVHPD\RUPD\QRWKDYHZLWKVWRRG
DQHQHP\DWWDFN7KHHQHP\PD\RUPD\QRWKDYHFRQWHVWHGWKDWLQLWLDOORGJPHQW&RUSVDQGGLYLVLRQVZLOO
DWWDFNDIWHUWKHMRLQWIRUFHFRPPDQGHU -)& EXLOGVXSVXIILFLHQWIRUFHVZLWKLQWKHORGJPHQW7KHEUHDNRXW
IURPWKHORGJPHQWPD\WDNHWKHIRUPRIDPRYHPHQWWRFRQWDFWLIWKHHQHP\KDVGHIHDWHG86LQIRUPDWLRQ
FROOHFWLRQPHDQVLQPXOWLSOHGRPDLQV&RUSVDQGGLYLVLRQVFRQGXFWDPHHWLQJHQJDJHPHQWIROORZLQJWKHLU
PRYHPHQWWRFRQWDFWLQWKLVFDVH
 &RUSV DQG GLYLVLRQ FRPPDQGHUV HPSOR\ WKHLU LQIRUPDWLRQ FROOHFWLRQ DVVHWV SULPDULO\
UHFRQQDLVVDQFHDQGVHFXULW\WRIXUWKHUGHYHORSWKHVLWXDWLRQLIWKHPHHWLQJHQJDJHPHQWLVQRWIXOO\VXFFHVVIXO
:KHQFRQGXFWLQJPRUHGHOLEHUDWHRSHUDWLRQVFRUSVDQGGLYLVLRQFRPPDQGHUVHQVXUHWKDWWKHLUIRUFHVGRQRW
EHFRPH GLVRUJDQL]HG RU YXOQHUDEOH WR DQ HQHP\ FRXQWHUDWWDFN E\ FRQYHQWLRQDO IRUFHV (: F\EHUVSDFH
RSHUDWLRQVLQIRUPDWLRQDFWLYLWLHVDQG:0'&RPPDQGHUVPDNHQHFHVVDU\DGMXVWPHQWGHFLVLRQVDQGGLUHFW
SRUWLRQVRIWKH IRUFHWRHVWDEOLVKKDVW\GHIHQVLYHSRVLWLRQV ZKHQ QHFHVVDU\2WKHUSDUWV RIWKH IRUFH PD\
RFFXS\DVVHPEO\DUHDV5DSLGGLVSHUVLRQLVHVVHQWLDOEXWLWPXVWEHRUGHUO\HQRXJKWRDOORZWKHDWWDFNWR
FRQWLQXH DIWHU D EULHI SHULRG RI UHRUJDQL]DWLRQ DQG UHVXSSO\ ZLWK FRQFXUUHQW PXOWLHFKHORQ SODQQLQJ DQG
FRRUGLQDWLRQ
 &RPPDQGHUVFRQFHQWUDWHDOODYDLODEOHILUHSRZHURQWKHHQHP\RFFXSLHGSRVLWLRQVDWWKHEHJLQQLQJ
RIWKHDVVDXOW7KHVHILUHVVKLIWWRWDUJHWVEH\RQGWKHDVVDXOWREMHFWLYHDVWURRSVPRYHRQWRWKHREMHFWLYH
7KLVUHTXLUHVGHWDLOHGSODQQLQJSUHFLVHH[HFXWLRQDQGFRQVLGHUDEOHGLVFLSOLQHLQWKHILUHVXSSRUWIRUFHDV
ZHOODVLQWKHDVVDXOWIRUFH'LVPRXQWHGDVVDXOWIRUFHVVKRXOGPRYHDVFORVHEHKLQGWKHLURZQILUHVDVSRVVLEOH
$UPRUHGIRUFHVVKRXOGDVVDXOWXQGHUWKHFORVHFRYHURIRYHUKHDGDUWLOOHU\ILUH
 7KHDWWDFNHURYHUFRPHVHQHP\UHVLVWDQFHE\YLROHQWFRQFHQWUDWHGILUHSRZHUDQGDUDSLGDGYDQFH
XSRQUHDFKLQJWKHDVVDXOWREMHFWLYH6SHHGGXULQJWKLVSKDVHRIWKHDWWDFNLVDEVROXWHO\HVVHQWLDOWRUHGXFH
FDVXDOWLHVDQGWRDYRLGEHLQJVWDOOHGLQWKHHQHP\¶VNLOO]RQHV7KHDVVDXOWPXVWPRYHFRPSOHWHO\DFURVVWKH

7-44 FM 3-0 6 October 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

HQHP\RFFXSLHGSRVLWLRQ)RUWLILHGSRVLWLRQVRQWKHDVVDXOWREMHFWLYHDUHWKHQDWWDFNHGIURPWKHIODQNRUUHDU
DIWHUWKHDVVDXOWLQJIRUFHKDVSDVVHGDURXQGWKHP
 &RUSVDQGGLYLVLRQKHDGTXDUWHUVRUFKHVWUDWHDFRRUGLQDWHGHIIRUWWRVXSSUHVVHQHP\,)&,$'6DQG
&DFURVVPXOWLSOHGRPDLQVLQVXSSRUWRIDVVDXOWLQJIRUFHV7KRVHHQHP\IRUFHVLQGHSWKSRVLQJWKHJUHDWHVW
WKUHDWWRWKHDWWDFNLQJIRUFHDUHQXFOHDURUFKHPLFDOGHOLYHU\V\VWHPV&IDFLOLWLHVRIWKHIRUFHEHLQJDWWDFNHG
UHVHUYHIRUFHVDQGWKH,)&&RUSVDQGGLYLVLRQVWDUJHWWKHVHHQHP\DVVHWVIRUGLVORFDWLRQDQGLVRODWLRQXQWLO
%&7PDQHXYHUXQLWVFDQPDQHXYHUFORVHO\WRGHVWUR\WKHVHHQHP\DVVHWVZLWKGLUHFWDQGLQGLUHFWILUH
 $WWDFNLQJ%&7PDQHXYHUIRUFHVPXVWGLVSHUVHUDSLGO\DQGLQLWLDWHDQH[SORLWDWLRQRQFHWKH\WDNH
HQHP\RFFXSLHGSRVLWLRQV7KHHQHP\ZLOOWDUJHWLWVSRVLWLRQVDJDLQVWWKHSRVVLELOLW\RIWKHLUORVV([SORLWDWLRQ
RFFXUVHLWKHUE\FRQWLQXLQJWKHDWWDFNZLWKWKHVDPHIRUFHRUE\WKHIRUZDUGSDVVDJHRIDQRWKHUIRUFH$%&7V
DQG6%&7VQRUPDOO\H[SORLWVXFFHVVH[SHULHQFHGE\GLVPRXQWHGLQIDQWU\DWWDFNVRQIRUWLILHGGHIHQVHV$Q\
SDXVHLQWKHFRQGXFWRIRIIHQVLYHWDVNVLQFUHDVHVWKHIRUFH¶VYXOQHUDELOLW\WRFRQYHQWLRQDOFRXQWHUDWWDFNRU
FRXQWHUDWWDFNE\XQFRQYHQWLRQDOPHDQVVXFKDV(:F\EHUVSDFHDQGQXFOHDURUFKHPLFDOILUHV$SDXVHDOVR
JLYHVWKHHQHP\WLPHWRUHRUJDQL]HVXFFHVVLYHGHIHQVLYHDUUD\V

(;3/2,7$7,21$1' 38568,7
 ([SORLWDWLRQDQGSXUVXLWSURFHHGGLUHFWO\IURPWKHDWWDFNDQGDUHLQLWLDWHGIURPDWWDFNGLVSRVLWLRQV
$QH[SORLWDWLRQRUDSXUVXLWLVSODQQHGDVDVHTXHOWRDQDWWDFN([SORLWDWLRQLVWKHEROGFRQWLQXDWLRQRIDQ
DWWDFNWRPD[LPL]HVXFFHVV3XUVXLWLVWKHUHOHQWOHVVGHVWUXFWLRQRIUHWUHDWLQJHQHP\IRUFHVZKRKDYHORVWWKH
FDSDELOLW\ WR HIIHFWLYHO\ UHVLVW &RUSV DQG GLYLVLRQ FRPPDQGHUV FRQWLQXDOO\ PRQLWRU WKH SURJUHVV RI WKHLU
DWWDFNWRGHWHUPLQHLIWKH\FDQWUDQVLWLRQWRSXUVXLWRUH[SORLWDWLRQ7KH\FORVHO\ PRQLWRUWKH VLWXDWLRQWR
GHWHFWWKHGHYHORSPHQWRIDQ\VLJQLILFDQWHQHP\WKUHDWWRWKHLUFRPPDQGE\UHLQIRUFLQJHQHP\IRUPDWLRQV
&RUSVDQGGLYLVLRQGHHSRSHUDWLRQVGXULQJWKHSHUIRUPDQFHRIH[SORLWDWLRQDQGSXUVXLWQRUPDOO\IRFXVRQ²
z ,VRODWLQJWKHUHWUHDWLQJHQHP\IRUFHDQGSUHYHQWLQJLWVUHLQIRUFHPHQW
z $WWDFNLQJWKHHQHP\IRUFHVDWFULWLFDOFKRNHSRLQWVWRIDFLOLWDWHWKHLUGHVWUXFWLRQ
z 'LVUXSWLQJWXUQLQJDQGVWRSSLQJOHDGHOHPHQWVRIWKHUHWUHDWLQJHQHP\IRUFH
z $WWDFNLQJHQHP\VXSSRUWLQJHQDEOHUVDQGUHSRVLWLRQLQJUHLQIRUFHPHQWV

([SORLWDWLRQ
 ([SORLWDWLRQIRUFHVGULYHVZLIWO\IRUGHHSREMHFWLYHVVHL]LQJHQHP\FRPPDQGSRVWVVHYHULQJHQHP\
HVFDSH URXWHV DQG VWULNLQJ DW HQHP\ UHVHUYHV DUWLOOHU\ DQG ORJLVWLFV XQLWV WR SUHYHQW WKH HQHP\ IURP
UHRUJDQL]LQJ DQ HIIHFWLYH GHIHQVH ([SORLWDWLRQ IRUFHV VKRXOG EH ODUJH DQG UHDVRQDEO\ VHOIVXIILFLHQW
FRPELQHGDUPVRUJDQL]DWLRQVVXFKDV%&7V7KH\VKRXOGEHDEOHWRFKDQJHGLUHFWLRQRIPRYHPHQWRQVKRUW
QRWLFH([SORLWDWLRQIRUFHVUHFHLYHVXSSRUWIURPMRLQWILUHV$UP\DYLDWLRQDQGHFKHORQVDERYHFRUSV(:
DQG2&2DVVHWV&RPPDQGHUVDQGVWDIIVFRRUGLQDWHWRPHHWWKHVXVWDLQPHQWUHTXLUHPHQWVRIH[SORLWDWLRQ
IRUFHVLQFOXGLQJDHULDOUHVXSSO\WRPRYHHPHUJHQF\OLIWVRI32/DQGDPPXQLWLRQDQGPHGLFDOHYDFXDWLRQ
'XULQJWKHH[SORLWDWLRQWKHOHDGH[SORLWLQJIRUFHXVXDOO\FRQGXFWVWKHPDLQDWWDFNZKLOHIROORZDQGVXSSRUW
XQLWVFRQGXFWVXSSRUWLQJDWWDFNV
 $ FRPPDQGHU QRUPDOO\ HPSOR\V SHUPLVVLYH )6&0 GXULQJ H[SORLWDWLRQ $ FRRUGLQDWHG ILUH OLQH
HQVXUHVUDSLGUHVSRQVH 6HHILJXUHRQSDJH 0RYHPHQWRIWKHFRRUGLQDWHGILUHOLQHLVSDUWLFXODUO\
LPSRUWDQW WR SURYLGH DGHTXDWH VXSSRUW DV WKH IRUFH FRQWLQXHV WR DGYDQFH (YHQ LI WKH FXOPLQDWLRQ RI WKH
H[SORLWDWLRQLVQRWDQWLFLSDWHGHVWDEOLVKLQJDIRUZDUGERXQGDU\LVLPSRUWDQWWRIDFLOLWDWHRSHUDWLRQVEH\RQG
WKDW ERXQGDU\ E\ D KLJKHU HFKHORQ KHDGTXDUWHUV &RPPDQGHUV VKRXOG FRQVLGHU WKDW SODFLQJ WKH IRUZDUG
ERXQGDU\ WRR GHHS OLPLWV WKH DELOLW\ IRU RWKHU KLJKHU HFKHORQ IRUFHV WR JHQHUDWH HIIHFWV WR HQDEOH WKH
H[SORLWDWLRQ RU SXUVXLW IRUFHV &RPPDQGHUV FDQ XVH DGGLWLRQDO FRQWURO PHDVXUHV VXFK DV WDUJHWV DQG
FKHFNSRLQWVDVUHTXLUHG

6 October 2017 FM 3-0 7-45


Chapter 7

Mission Command in Exploitation


 3ODQQLQJ IRU H[SORLWDWLRQ EHJLQV
GXULQJWKHSUHSDUDWLRQIRUDQDWWDFN&RUSV
DQG GLYLVLRQ FRPPDQGHUV WHQWDWLYHO\
LGHQWLI\IRUFHVREMHFWLYHVDQG$2VIRUWKH
H[SORLWDWLRQIRUFHEHIRUHWKHDWWDFNEHJLQV
WRDYRLGORVLQJFULWLFDOWLPH6XERUGLQDWHV
UHSRUW LQGLFDWLRQV RI WKH GLVLQWHJUDWLRQ RI
HQHP\ GHIHQVHV &RPPDQGHUV TXLFNO\
LVVXH ZDUQLQJ RUGHUV JURXS IRUFHV
HVWDEOLVKFRQWUROPHDVXUHVDQGDUUDQJHWR
PHHW WKH H[SORLWLQJ IRUFHV¶ VXVWDLQPHQW
UHTXLUHPHQWV ZKHQ WKH RSSRUWXQLW\ WR
H[SORLWRFFXUV&RPPDQGHUVRIFRPPLWWHG
IRUFHV DFW TXLFNO\ WR H[SORLW ORFDO
DGYDQWDJHV &RUSV DQG GLYLVLRQV VKRXOG
DLPIRUDQHDUO\DQGUDSLGWUDQVLWLRQIURP Figure 7-21. Coordinated fire line
DWWDFN WR H[SORLWDWLRQ 0RVW H[SORLWDWLRQV 7KHcoordinated fire line LVD OLQHEH\RQGZKLFK
DUH LQLWLDWHG IURP WKH IURQW UDWKHU WKDQ FRQYHQWLRQDOVXUIDFHWRVXUIDFHGLUHFWILUHDQGLQGLUHFWILUH
GLUHFWHGIURPWKHUHDU:KHQSRVVLEOHWKH VXSSRUWPHDQVPD\ILUHDWDQ\WLPHZLWKLQWKHERXQGDULHV
OHDGLQJIRUFHVRIWKHDWWDFNUHWDLQWKHOHDG RIWKHHVWDEOLVKLQJKHDGTXDUWHUVZLWKRXWDGGLWLRQDO
IRU WKH H[SORLWDWLRQ &RPPDQGHUV FRRUGLQDWLRQ -3  7KH SXUSRVHRIWKHFRRUGLQDWHGILUH
QRUPDOO\ GHVLJQDWH H[SORLWLQJ IRUFHV E\ OLQHLVWRH[SHGLWHWKHVXUIDFHWRVXUIDFHDWWDFNRIWDUJHWV
EH\RQGWKHFRRUGLQDWHGILUHOLQHZLWKRXWFRRUGLQDWLRQZLWK
LVVXLQJ IUDJPHQWDU\ RUGHUV GXULQJ WKH
WKHJURXQGFRPPDQGHULQZKRVHDUHDWKHWDUJHWVDUH
FRXUVHRIDQDWWDFN ORFDWHG
 $VVLJQHG PLVVLRQV IRU DQ
H[SORLWLQJIRUFHLQFOXGHVHL]LQJREMHFWLYHVGHHSLQWKHHQHP\UHDUFXWWLQJHQHP\OLQHVRIFRPPXQLFDWLRQV
LVRODWLQJDQGGHVWUR\LQJHQHP\XQLWVDQGGLVUXSWLQJHQHP\&7KHH[SORLWLQJIRUFHFRPPDQGHUPXVWKDYH
WKHJUHDWHVWSRVVLEOHIUHHGRPRIDFWLRQWRDFFRPSOLVKWKHPLVVLRQ7KLVFRPPDQGHUWDNHVWKHLQLWLDWLYHDQG
PRYHVDJJUHVVLYHO\DQGEROGO\7KHREMHFWLYH²DFULWLFDOHQHP\FRPPXQLFDWLRQVFHQWHUDPRXQWDLQSDVVRU
NH\WHUUDLQWKDWVLJQLILFDQWO\FRQWULEXWHVWRGHVWUXFWLRQRIRUJDQL]HGHQHP\UHVLVWDQFH²PD\RIWHQEHVRPH
GLVWDQFHDZD\$WRWKHUWLPHVWKHREMHFWLYHPD\VLPSO\EHDSRLQWRIRULHQWDWLRQ([SORLWDWLRQRSHUDWLRQVDUH
GHFHQWUDOL]HG
 &RUSV RU GLYLVLRQ FRPPDQGHUV PDLQWDLQ VXIILFLHQW FRQWURO WR DOWHU WKH GLUHFWLRQ RI WKH H[SORLWLQJ
IRUFHRUWRSUHYHQWLWVRYHUH[WHQVLRQ7KRVHFRPPDQGHUVUHO\RQWKHLUVXERUGLQDWHFRPPDQGHUVWRILQGWKH
IDVWHVWZD\WRWKHLUREMHFWLYHVWRGHSOR\DVQHFHVVDU\WRILJKWDQGWRVHL]HDOORSSRUWXQLWLHVWRGDPDJHWKH
HQHP\ RU WR DFFHOHUDWH WKH SDFH RI WKH RSHUDWLRQ $ FRUSVRU GLYLVLRQ FRPPDQGHU XVHV PLQLPXP FRQWURO
PHDVXUHVEXWLVVXHVFOHDULQVWUXFWLRQVFRQFHUQLQJVHL]XUHRINH\WHUUDLQDQGWKHVL]HRIHQHP\IRUFHVZKLFK
PD\EHE\SDVVHG([SORLWLQJIRUFHFRPPDQGHUVPXVWEHFDUHIXOQRWWRGLVVLSDWHFRPEDWSRZHULQDFKLHYLQJ
PLQRU WDFWLFDO VXFFHVVHV RU LQ UHGXFLQJ VPDOO HQHP\ IRUFHV 7KHLU DLP LV WR UHDFK WKH REMHFWLYH ZLWK WKH
PD[LPXP VWUHQJWK DV UDSLGO\ DV SRVVLEOH +LJKHU HFKHORQ FRPPDQGHUV PRYH GLYLVLRQ DQG %&7 UHDU
ERXQGDULHVIRUZDUGDVDSSURSULDWHWRDYRLGWKHVL]HRIWKHVHHFKHORQ$2VEHFRPLQJVLJQLILFDQWO\ODUJHUWKDQ
WKHLUDUHDVRILQIOXHQFH$WVRPHSRLQWWKHODQGFRPSRQHQWFRPPDQGPD\DOVRQHHGWRPRYHWKHFRUSVUHDU
ERXQGDU\IRUZDUG
 &RQWUROLVYLWDOWRSUHYHQWRYHUH[WHQVLRQRIHLWKHUWKHH[SORLWLQJIRUFHRUWKHORJLVWLFVUHTXLUHGWR
VXVWDLQLW7KLVFRQWUROLVHVSHFLDOO\LPSRUWDQWLIWKHHQHP\LVFDSDEOHRIUHJURXSLQJXQH[SHFWHGO\WRDWWDFN
WKH H[SORLWLQJ IRUFH $YDLODEOH MRLQW ILUHV WDUJHW HQHP\ IRUFHV LQ PXOWLSOH GRPDLQV DQG WKH LQIRUPDWLRQ
HQYLURQPHQWWKDWFDQQRWEHE\SDVVHGRUFRQWDLQHG6SDFHFRQWURODFWLYLWLHVDUHXVHGWRGHIHDWHQHP\HIIRUWV
WKDWLQWHUIHUHZLWKRUDWWDFN86RUDOOLHGVSDFHV\VWHPVDQGQHJDWHHQHP\VSDFHFDSDELOLWLHV5DSLGDGYDQFHV
SURYLGH VHFXULW\ IURP HQHP\ FRXQWHUDWWDFNV HPSOR\LQJ FRQYHQWLRQDO RU XQFRQYHQWLRQDO²F\EHUVSDFH DQG
QXFOHDU²PHDQV E\ NHHSLQJ HQHP\ IRUFHV RII EDODQFH DQG GHJUDGLQJ WKHLU LQWHOOLJHQFH DQG VXUYHLOODQFH
FDSDELOLWLHV([SORLWDWLRQFRQWLQXHVGD\DQGQLJKWDVORQJDVWKHRSSRUWXQLW\UHPDLQV&RPPDQGHUVPXVWJLYH
VSHFLILFDWWHQWLRQWRWKHFRQWURORIORJLVWLFXQLWVDQGFRQYR\VWRVXVWDLQDQH[SORLWDWLRQDQGWRHQVXUHWKDW
VXSSOLHVDQGVXSSRUWUHDFKWKHIRUFHVDIHO\DQGRQWLPH([SORLWLQJFRPPDQGHUVPXVWFDOOWKHVHVXVWDLQPHQW

7-46 FM 3-0 6 October 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

DVVHWVIRUZDUGDQGJXLGHWKHPDURXQGE\SDVVHGHQHP\SRVLWLRQVDQGREVWDFOHV$HULDOUHVXSSO\E\HLWKHU
$UP\DYLDWLRQRUDLUGURSPD\EHDYLDEOHRSWLRQWRVXVWDLQDQH[SORLWDWLRQ
 &RUSVDQGGLYLVLRQFRPPDQGHUVPXVWH[HUFLVHDJJUHVVLYHDQGGHPDQGLQJOHDGHUVKLSWRNHHSXQLWV
DGYDQFLQJGXULQJDQH[SORLWDWLRQEHFDXVHWURRSVDUHXVXDOO\WLUHGZKHQWKHH[SORLWDWLRQRSSRUWXQLW\RFFXUV
0HHWLQJDQGRYHUFRPLQJUHSHDWHGOLJKWUHVLVWDQFHFDQDFWXDOO\DGGWRWKHPRPHQWXPRIZHOOWUDLQHGXQLWV
HYHQLIWKH\DUHIDWLJXHG&RUSVDQGGLYLVLRQFRPPDQGHUVVKRXOGFRQWLQXHWRH[SORLWZLWKIUHVKIRUFHVZKHQ
IDWLJXHGLVRUJDQL]DWLRQRUDWWULWLRQZHDNHQVWKHRULJLQDOH[SORLWLQJIRUFH7KHLQWURGXFWLRQRIIUHVKIRUFHVLV
DOVR LPSRUWDQW ZKHQ WKH RULJLQDO H[SORLWLQJ IRUFH PXVW KROG JURXQG RU UHVXSSO\ &RUSV DQG GLYLVLRQ
FRPPDQGHUVHQVXUHWKDWWKHLQWURGXFWLRQRIIUHVKIRUFHVGRHVQRWFRQJHVWURXWHVDQGFUHDWHOXFUDWLYHWDUJHWV
DVWKH\PRYHIRUZDUG

Maneuver in Exploitation
 ([SORLWDWLRQ IRUFHV QRUPDOO\ DGYDQFH UDSLGO\ RQ D ZLGH IURQW WRZDUG WKHLU REMHFWLYHV /HDGLQJ
HOHPHQWVPDLQWDLQRQO\WKRVHORFDOUHVHUYHVQHFHVVDU\WRHQVXUHIOH[LELOLW\RIRSHUDWLRQPDLQWDLQFRQWLQXHG
PRPHQWXPLQWKHDGYDQFHDQGSURYLGHHVVHQWLDOVHFXULW\$%&7VDQG6%&7VDUHEHVWVXLWHGIRUH[SORLWDWLRQ
RQWKHJURXQG$LUDVVDXOWIRUFHVDUHH[WUHPHO\XVHIXOLQVHL]LQJGHILOHVFURVVLQJREVWDFOHVDQGRWKHUZLVH
FDSLWDOL]LQJRQWKHLUPRELOLW\WRDWWDFNDQGFXWRIIGLVRUJDQL]HGHQHP\HOHPHQWV7KH\FDQDOVRVHL]HNH\
WHUUDLQVXFKDVLPSRUWDQWZHWJDSFURVVLQJVLWHVRUYLWDOHQHP\FRPPXQLFDWLRQVQRGHVDORQJDQH[SORLWLQJ
IRUFH¶VURXWHRULQWKHHQHP\UHDU$WWDFNKHOLFRSWHUXQLWVFDQLQWHUGLFWDQGKDUDVVHQHP\DUPRUHGDQGRWKHU
IRUFHVDQGGHOD\WKHLUUHWUHDW
 ([SORLWDWLRQ DFWLRQV DUH UDSLG EROG DQG DJJUHVVLYH LQ LQIRUPDWLRQ FROOHFWLRQ SURPSW WR XVH
ILUHSRZHU DQG TXLFN WR HPSOR\ XQFRPPLWWHG XQLWV $Q H[SORLWLQJ IRUFH FOHDUV RQO\ HQRXJK RI LWV $2 WR
SHUPLW LWV DGYDQFH ,W FRQWDLQV E\SDVVHV RU GHVWUR\V WKRVH HQHP\ SRFNHWV RI UHVLVWDQFH WRR VPDOO WR
MHRSDUGL]H WKH PLVVLRQ ,W UHSRUWV E\SDVVHG HQHP\ IRUFHV WR DGMDFHQW XQLWV IROORZLQJ XQLWV DQG KLJKHU
HFKHORQKHDGTXDUWHUV,WDWWDFNVIURPWKHPDUFKDQGRYHUUXQVHQHP\IRUPDWLRQVRUSRVLWLRQVVWURQJHQRXJK
WRSRVHDWKUHDWWRWKHPLVVLRQ,IDQHQHP\LVWRRVWURQJIRUOHDGLQJHOHPHQWVRIDQH[SORLWDWLRQIRUFHWR
GHVWUR\DQGFDQQRWEHE\SDVVHGVXFFHHGLQJHOHPHQWVRIWKHIRUFHPRXQWKDVW\DWWDFNV
 ,QH[SORLWDWLRQDQGSXUVXLWRSHUDWLRQVIROORZDQGVXSSRUWIRUFHV²
z :LGHQRUVHFXUHWKHVKRXOGHUVRIWKHLQLWLDOSHQHWUDWLRQ
z 'HVWUR\E\SDVVHGHQHP\XQLWV
z 5HOLHYHVXSSRUWHGXQLWVWKDWKDYHKDOWHGWRFRQWDLQHQHP\IRUFHV
z %ORFNWKHPRYHPHQWRIHQHP\UHLQIRUFHPHQWV
z 2SHQDQGVHFXUHOLQHVRIFRPPXQLFDWLRQV
z *XDUGSULVRQHUVNH\DUHDVDQGLQVWDOODWLRQV
z &RQWUROGLVORFDWHGFLYLOLDQV

$FRPPDQGHUFDQDVVLJQDOORIWKHVHWDVNVH[FHSWZLGHQRUVHFXUHWKHVKRXOGHUVRIWKHLQLWLDOSHQHWUDWLRQWR
DXQLWDVVLJQHGWRDFRQVROLGDWLRQDUHDWRHQDEOHWKHFRQWLQXHGIUHHGRPRIDFWLRQIRUIULHQGO\IRUFHV
 $ IROORZ DQG VXSSRUW IRUFH LQ DQ H[SORLWDWLRQ LV QRW D UHVHUYH ,W LV D FRPPLWWHG IRUFH DQG LW LV
SURYLGHGWKHDSSURSULDWHDUWLOOHU\HQJLQHHUDQGVXVWDLQPHQWVXSSRUW%&7VPD\KDYHPLVVLRQVWRIROORZDQG
VXSSRUWLQGLYLVLRQRSHUDWLRQV,QFRUSVH[SORLWDWLRQVGLYLVLRQVPD\IROORZDQGVXSSRUWRWKHUGLYLVLRQV
 $Q H[SORLWLQJ IRUFH GHSHQGV SULPDULO\ RQ LWV VSHHG DQG HQHP\ GLVRUJDQL]DWLRQ IRU VHFXULW\
2YHUH[WHQVLRQLVDULVNLQKHUHQWLQDJJUHVVLYHH[SORLWDWLRQ:KLOHFRUSVDQGGLYLVLRQFRPPDQGHUVPXVWEH
FRQFHUQHG DERXW RYHUH[WHQVLRQ WKH\ JXDUG DJDLQVW EHLQJ RYHUFDXWLRXV DV ZHOO 7KH\ UHO\ RQ DJJUHVVLYH
UHFRQQDLVVDQFH E\ DLUFUDIW 8$6V 62) DQG MRLQW WHFKQLFDO V\VWHPV LQFOXGLQJ VSDFHEDVHG V\VWHPV ,Q
DGGLWLRQHFKHORQDERYHFRUSV(:DQG2&2DVVHWVFDQVHHNRXWHQHP\FRXQWHUDWWDFNIRUFHVDQGMDPHQHP\
&ILUHVXSSRUWDQGLQWHOOLJHQFHQHWVDQGGLVUXSWWKHORJLFDOHQWLWLHVQHFHVVDU\IRUWKHVHHQHP\HOHPHQWVWR
IXQFWLRQ
 (FKHORQVDERYHEULJDGHHQJLQHHUVLQWHJUDWHLQWRH[SORLWLQJ%&7RSHUDWLRQVWRKHOSEUHDFKREVWDFOHV
DQGNHHSIRUFHVPRYLQJIRUZDUG7KHVHHQJLQHHUVDOVRNHHSVXSSO\URXWHVRSHQDQGXQLPSHGHGIRUXVHLQ
VXVWDLQLQJWKHVH%&7V

6 October 2017 FM 3-0 7-47


Chapter 7

 'XULQJDQH[SORLWDWLRQDQGSXUVXLWWKHH[WHQGHGGLVWDQFHVDQGFKDQJLQJUDWHVRIDGYDQFHPDNHLW
PRUHIHDVLEOHIRUWKHOHDGLQJHOHPHQWV WKHH[SORLWLQJIRUFHDQGHQFLUFOLQJIRUFH WRFRQWUROVHFXULW\WRWKH
FRUSV¶IURQWDQGIRUZDUGIODQNV7KHPRUHXQFHUWDLQWKHVLWXDWLRQWKHPRUHWKHFRUSVRUGLYLVLRQKHDGTXDUWHUV
PXVW UHO\ RQ LWV DYLDWLRQ DVVHWV LQIRUPDWLRQ FROOHFWLRQ DVVHWV DQG MRLQW UHFRQQDLVVDQFH DQG VXUYHLOODQFH
FDSDELOLWLHVIRUWKHLQIRUPDWLRQQHFHVVDU\IRUVLWXDWLRQDOXQGHUVWDQGLQJ6LPXOWDQHRXVO\WKHFRUSVRUGLYLVLRQ
KHDGTXDUWHUVUHO\RQOHWKDOHIIHFWVGHOLYHUHGE\DWWDFNKHOLFRSWHUVDUPHG8$6VDQGIL[HGZLQJDLUFUDIWIRU
UDSLGUHVSRQVH
 )ODQNVHFXULW\LQDQH[SORLWDWLRQLVGLIILFXOWIRUWKHGLYLVLRQVWRUHVRXUFHDQGFRRUGLQDWH7KHUHIRUH
WKHFRUSVVKRXOGSURYLGHDVVHWVWRVFUHHQWKHFRUSV¶PRVWYXOQHUDEOHIODQN7KHGLVWDQFHRIDIODQNPD\EH
WRRH[WHQVLYHIRUDVLQJOHXQLW7KHUHIRUHWKHFRUSVPD\HOHFWWRFRYHUWKHIODQNRILWVOHDGLQJHFKHORQVDQG
WRGLUHFWIROORZDQGVXSSRUWIRUFHVWRFRYHUWKHLURZQIODQNV
 'XULQJDQH[SORLWDWLRQ RUSXUVXLW FRUSVDQGGLYLVLRQXQLWVRSHUDWHDWJUHDWHUGLVWDQFHVDQGQRUPDOO\
PRYHPXFKPRUHUDSLGO\WKDQGXULQJDQDWWDFN([WHQGHGGLVWDQFHVPDNHLWGLIILFXOWIRUDFRUSVRUGLYLVLRQ
UHVHUYHWRSURYLGHUHVSRQVLYHVXSSRUWWRWKHOHDGLQJHOHPHQWRIWKHH[SORLWLQJIRUFH7KHSUHVHQFHRIDWWDFN
DYLDWLRQDQGDUPHG8$6HOHPHQWVDQGGLVPRXQWHGLQIDQWU\ZLWKQHFHVVDU\DVVDXOWDYLDWLRQHOHPHQWVLQWKH
FRUSVRUGLYLVLRQUHVHUYHWRFRQGXFWDLUDVVDXOWRSHUDWLRQVUHGXFHVWKRVHGLIILFXOWLHV
 7KHQHHGWRSRVLWLRQDIROORZDQGVXSSRUWIRUFHRUDGLUHFWSUHVVXUHIRUFHLPPHGLDWHO\EHKLQGWKH
OHDG HOHPHQWV PDNHV LW GLIILFXOW WR ORFDWH D FRUSV RU GLYLVLRQ UHVHUYH LQ D SRVLWLRQ WR VXSSRUW WKH HFKHORQ
H[SORLWLQJ IRUFH&RQVHTXHQWO\D JUHDWHUGHFHQWUDOL]DWLRQRIDVVHWVDQGFRQWURORI WKHEDWWOHWRWKHVH OHDG
HOHPHQWVLVXVXDOO\QHFHVVDU\7KHH[SORLWLQJIRUFHVVKRXOGEHVXIILFLHQWO\ZHLJKWHGZLWKHQRXJKFRPEDW
SRZHUVRWKDWWKH\FDQUHVRXUFHWKHLURZQORFDOUHVHUYHV7KHVHORFDOUHVHUYHVFDQWKHQVXVWDLQWKHDWWDFNVRI
WKHH[SORLWLQJIRUFHDQGFRQWLQXHWRH[SORLWVXFFHVV

Fires in Exploitation
 )LHOGDUWLOOHU\XQLWVVKRXOGDOZD\VEHDYDLODEOHWRILUHLQWRDQGEH\RQGUHWUHDWLQJHQHP\FROXPQV,Q
VRPHFDVHVILHOGDUWLOOHU\EDWWDOLRQVIURPWKHFRUSVILHOGDUWLOOHU\EULJDGHDUHSODFHGLQDVXSSRUWUHODWLRQVKLS
WRWKHRUJDQLFILHOGDUWLOOHU\EDWWDOLRQLQH[SORLWLQJ%&7V3UHFLVLRQPXQLWLRQVPD\EHXVHIXOIRUGHVWUR\LQJ
DQHQHP\,)&,$'6RUUHVHUYHIRUFHV7KH\FDQDOVRFORVHURXWHVRIHVFDSHDQGHQJDJHVXLWDEOHWDUJHWVRI
RSSRUWXQLW\
 $LU GHIHQVH DUUDQJHPHQWV IRU WKH LQLWLDO DWWDFN VKRXOG UHPDLQ HIIHFWLYH IRU WKH H[SORLWDWLRQ
0DQSRUWDEOH DLU GHIHQVH V\VWHPV GLVWULEXWHG EHIRUH DQ DWWDFN FRQWLQXH WR EH WUDQVSRUWHG E\ DGYDQFLQJ
PDQHXYHU IRUFHV 7KRVH VDPH VKRUWUDQJH V\VWHPV DFFRPSDQ\ DQG SURWHFW FRQYR\V WUDLQV DQG &3V 7KH
$$'&PD\FKRRVHWRSRVLWLRQRWKHU$0'V\VWHPVIRUZDUGWRSURYLGHFRYHUDJHIRUFRUSVDQGGLYLVLRQIRUFHV
DVWKHH[SORLWDWLRQJDLQVJURXQG7KHDLUGHIHQVHFRYHUDJHE\WKH$$0'&EHFRPHVOHVVHIIHFWLYHDVWKH
FRUSVDQGGLYLVLRQ$2VH[WHQGGXULQJWKHH[SORLWDWLRQDQGWKHOLPLWHGQXPEHUVRI$0'DVVHWVPXVWFRYHU
PRUHDUHD7KXVLWLVSDUWLFXODUO\LPSRUWDQWGXULQJDQH[SORLWDWLRQWKDW WKH$$'&¶VFRXQWHUDLURSHUDWLRQV
HVWDEOLVKORFDODLUVXSHULRULW\RYHUFRUSVDQGGLYLVLRQ$2V

Sustainment During Exploitation


 ([SORLWDWLRQVDQGSXUVXLWVPD\EHOLPLWHGPRUHE\YHKLFOHIDLOXUHVDQGWKHQHHGIRUIXHOWKDQE\
FRPEDW ORVVHV DQG DPPXQLWLRQ 6XSSOLHV DQG WKH WUDQVSRUWDWLRQ DVVHWV WR FDUU\ WKH VXSSOLHV QHFHVVDU\ WR
VXVWDLQ WKH IRUFH EHFRPH LQFUHDVLQJO\ LPSRUWDQW DV DQ H[SORLWDWLRQ SURJUHVVHV $V VXSSO\ OLQHV OHQJWKHQ
VHFXULW\RIURXWHVZLOODOVREHFRPHDSUREOHP7KHODUJHVWSRVVLEOHVWRFNVRIIXHOVSDUHSDUWVDQGDPPXQLWLRQ
VKRXOGDFFRPSDQ\WKHH[SORLWLQJIRUFHVRWKDWPRPHQWXPGRHVQRWVORZIRUODFNRIVXSSRUW:KHQSRVVLEOH
HFKHORQVDERYHEULJDGHVXVWDLQPHQWDVVHWVVKRXOGIROORZDQH[SORLWLQJIRUFHIRUGLVWULEXWLRQDORQJOLQHVRI
FRPPXQLFDWLRQV 2UJDQLF PDLQWHQDQFH WHDPV ZLWKLQ WKH DWWDFNLQJ%&7V UHSDLU GLVDEOHG YHKLFOHV RU VHQG
WKHPWRFROOHFWLRQSRLQWVDORQJGHVLJQDWHGPDLQVXSSO\URXWHVIRUHYDFXDWLRQDQGUHSDLU
 6XVWDLQPHQW VXSSRUW DUUDQJHPHQWV PXVW EH H[WUHPHO\ IOH[LEOH 6RPH VXVWDLQPHQW XQLWV DQG
FDSDELOLWLHV PD\ EH SODFHG LQ D FRPPDQG UHODWLRQVKLS WR FRUSV DQG GLYLVLRQ PDQHXYHU IRUFHV LQ GHHS RU
GLYHUJLQJH[SORLWDWLRQV

7-48 FM 3-0 6 October 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

3XUVXLW
,QSXUVXLW\RXPXVWDOZD\VVWUHWFKSRVVLELOLWLHVWRWKHOLPLW7URRSVKDYLQJEHDWHQWKHHQHP\
ZLOOZDQWWRUHVW7KH\PXVWEHJLYHQDVREMHFWLYHVQRWWKRVHWKDW\RXWKLQNWKH\ZLOOUHDFK
EXWWKHIDUWKHVWWKDWWKH\FRXOGSRVVLEO\UHDFK
)LHOG0DUVKDO9LVFRXQW$OOHQE\

 1RUPDOO\DSXUVXLQJFRPPDQGHUPDLQWDLQVSUHVVXUHRQWKHHQHP\WRSUHYHQWWKHUHFRQVWUXFWLRQRI
DQRUGHUO\ZLWKGUDZDOZKLOHVLPXOWDQHRXVO\GLVSDWFKLQJIRUFHVWRHQFLUFOHRUWRFXWRIIWKHHQHP\3XUVXLW
UHTXLUHVJUHDWHQHUJ\DQGUHVROXWLRQRQWKHSDUWRIDQDWWDFNLQJFRPPDQGHU)DWLJXHGZLQGOLQJVXSSOLHV
GLYHUVLRQRIIULHQGO\ XQLWVWRRWKHUWDVNVDQGDSSURDFKLQJ GDUNQHVV PD\DOOEHUHDVRQVWRGLVFRQWLQXHDQ
DWWDFNEXWFRPPDQGHUVPXVWLQVLVWRQFRQWLQXRXVSXUVXLWDVORQJDVWKHHQHP\LVGLVRUJDQL]HGDQGIULHQGO\
IRUFHVFDQFRQWLQXH)LJXUHRQSDJHLOOXVWUDWHVDFRUSVSXUVXLWFRQFHSW
 &RQWUROPHDVXUHVDVVRFLDWHGZLWKDSXUVXLWLQFOXGHDQ$2IRUHDFKPDQHXYHUXQLW&RPPDQGHUVXVH
3/VWRGHVLJQDWHDIRUZDUGDQGUHDUZDUGERXQGDU\IRUWKHGLUHFWSUHVVXUHIRUFH&RPPDQGHUVFDQGHVLJQDWH
DURXWHDQD[LVRIDGYDQFHRUDQ$2WRDOORZWKHHQFLUFOHPHQWIRUFHWRPRYHSDUDOOHOWRDQGHYHQWXDOO\JHW
DKHDGRIWKHIOHHLQJHQHP\&RPPDQGHUVFDQGHVLJQDWHDWHUUDLQREMHFWLYHDVDJXLGHIRUHQFLUFOLQJIRUFHV
7KH FRPPDQGHU HVWDEOLVKHV D ERXQGDU\ RU D UHVWULFWLYH ILUH OLQH EHWZHHQ WKH IRUFH FRQGXFWLQJ WKH
HQFLUFOHPHQWDQGWKHIRUFHH[HUWLQJGLUHFWSUHVVXUHEHIRUHWKHHQFLUFOLQJIRUFHUHDFKHVLWVREMHFWLYH2WKHU
)6&0VDURXQGWKHDUHDFXUUHQWO\RFFXSLHGE\WKHIRUFHFRQGXFWLQJWKHHQFLUFOHPHQWDUHHVWDEOLVKHGWRUHOLHYH
WKHHQFLUFOLQJIRUFHRIXQQHFHVVDU\ILUHVXSSRUWFRRUGLQDWLRQUHVSRQVLELOLWLHV7KHRYHUDOOFRPPDQGHUGLUHFWV
VHFXULW\ RSHUDWLRQV EH\RQG WKH HQFLUFOLQJ IRUFH DOORZLQJ LW WR HQJDJH WKH ZLWKGUDZLQJ HQHP\ ZLWKRXW
GHYRWLQJUHVRXUFHVWRIODQNDQGUHDUVHFXULW\7KHRYHUDOOFRPPDQGHUHVWDEOLVKHVDGGLWLRQDOFRQWUROPHDVXUHV
WR FRQWURO WKH FRQYHUJHQFH RI ERWK HOHPHQWV RI WKH IULHQGO\ IRUFH VXFK DV UHVWULFWLYH ILUH OLQHV 3/V DQG
FRQWDFWSRLQWV)LJXUHRQSDJHLOOXVWUDWHVWKHVHFRQWUROPHDVXUHV

Transition to a Pursuit
 $VWKHHQHP\EHFRPHVGHPRUDOL]HGDQGWKHHQHP\GHIHQVHEHJLQVWRGLVLQWHJUDWHH[SORLWDWLRQPD\
GHYHORSLQWRSXUVXLW&RPPDQGHUVRIDOOH[SORLWLQJXQLWVPXVWDQWLFLSDWHWKHWUDQVLWLRQWRSXUVXLWDQGFRQVLGHU
QHZFRXUVHVRIDFWLRQDVHQHP\ UHVLVWDQFHEUHDNVGRZQ6XFFHVVIXOSXUVXLWUHTXLUHV XQUHOHQWLQJSUHVVXUH
DJDLQVW WKH HQHP\ WR SUHYHQW HQHP\ UHRUJDQL]DWLRQ DQG SUHSDUDWLRQ RI GHIHQVHV 3XUVXLW FRPSOHWHV WKH
GHVWUXFWLRQRIDQHQHP\ IRUFHWKDWORVHVWKHDELOLW\WRGHIHQGDQGDWWHPSWVWREUHDNFRQWDFW ZLWKIULHQGO\
IRUFHV7KHFRPPDQGHUPD\GHVLJQDWHDWHUUDLQREMHFWLYHIRURULHQWDWLRQEXWWKHHQHP\IRUFHLVWKHSULPDU\
REMHFWLYH$WWDFNLQJFRUSVRUGLYLVLRQFRPPDQGHUVPD\EHDEOHWRODXQFKDSXUVXLWDIWHUDQLQLWLDODVVDXOWLI
WKH\SURPSWO\H[SORLWSUHFLVLRQOHWKDODQGPXOWLGRPDLQQRQOHWKDOHIIHFWV

Mission Command in Pursuit


 &RPPDQGHUVORFDWHWKHPVHOYHVZHOOIRUZDUGWRHQVXUHFRQWLQXDWLRQRIWKHSXUVXLW¶VPRPHQWXPDQG
DSSO\FRQWLQXRXVSUHVVXUHRQGLVSODFLQJHQHP\XQLWV7KHSXUVXLWDOORZVJUHDWHUULVNVWKDQRWKHUW\SHVRI
RIIHQVLYHWDVNVEHFDXVHRIWKHHQHP\¶VGLVRUJDQL]DWLRQ3XUVXLWVDUHDJJUHVVLYHDQGGHFHQWUDOL]HG7URRSVLQ
D SXUVXLW SXVK WKHPVHOYHV DQG WKHLU HTXLSPHQW WR WKH XWPRVW HQGXUDQFH OLPLWV GXULQJ ERWK GD\OLJKW DQG
GDUNQHVV&RUSVDQGGLYLVLRQFRPPDQGHUVIRFXVWKHLUDWWHQWLRQIRUZDUG7KH\GHOHJDWHJUHDWHUDXWKRULW\WKDQ
XVXDO WR VXERUGLQDWHV VR WKDW WKH\ FDQ DJJUHVVLYHO\ H[SORLW ZLQGRZV RI RSSRUWXQLW\ DV WKH\ RFFXU
&RPPDQGHUVXVHPLQLPDOFRQWUROPHDVXUHVWRHQDEOHIOH[LELOLW\EXWWKH\LVVXHFOHDULQVWUXFWLRQVFRQFHUQLQJ
VHL]XUHRINH\WHUUDLQDQGWKHVL]HRIHQHP\IRUFHVZKLFKPD\EHE\SDVVHG

6 October 2017 FM 3-0 7-49


Chapter 7

Figure 7-22. Example of a corps in a pursuit

7-50 FM 3-0 6 October 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

Figure 7-23. Pursuit control measures

Movement and Maneuver in Pursuit


 ,QWKHSXUVXLWWKHFRPPDQGHUUHOHQWOHVVO\PDLQWDLQVGLUHFWSUHVVXUHRQUHWUHDWLQJHQHP\IRUFHVZKLOH
DQ HQFLUFOLQJ IRUFH FXWV HQHP\ OLQHV RI UHWUHDW 7KH SXUVXLQJ IRUFH DWWHPSWV GRXEOH HQYHORSPHQWV RI WKH
UHWUHDWLQJ PDLQHQHP\ IRUFH ZKHQFRQGLWLRQVSHUPLW ,W PDNHV PD[LPXP XVHRIDYDLODEOHDLUDVVDXOWDQG
DWWDFNDYLDWLRQFDSDELOLWLHVLQDGGLWLRQWRMRLQWILUHV'XULQJWKHSXUVXLWDUWLOOHU\HQJLQHHUDQGVXVWDLQPHQW
XQLWVZLOORIWHQEHDWWDFKHGWRWKHPDQHXYHUXQLWVWKH\VXSSRUW3XUVXLWRSHUDWLRQVUHTXLUH²
z $ GLUHFWSUHVVXUH IRUFH WKDW NHHSV HQHP\ XQLWV LQ IOLJKW GHQ\LQJ WKHP DQ\ FKDQFH WR UHVW WR
UHJURXSRUWRUHVXSSO\
z $QHQFLUFOLQJIRUFHWRHQYHORSWKHIOHHLQJIRUFHFXWLWVHVFDSHURXWHDQGLQFRQMXQFWLRQZLWKWKH
GLUHFWSUHVVXUHIRUFHWRDWWDFNDQGWRGHVWUR\WKHHQHP\IRUFH
 7KH GLUHFWSUHVVXUH IRUFH FRQGXFWV KDVW\ DWWDFNV WR PDLQWDLQ HQHP\ FRQWDFW DQG LWV IRUZDUG
PRPHQWXPXQWLOWKHFRPSOHWHGHVWUXFWLRQRIWKHUHWUHDWLQJHQHP\IRUFH,QWKHSXUVXLWWKHGLUHFWSUHVVXUH
IRUFHXVXDOO\FRQGXFWVWKHPDLQDWWDFNXQWLOWKHHQHP\IRUFHLVGHVWUR\HGRUHQFLUFOHG7KHGLUHFWSUHVVXUH
IRUFH SUHYHQWV HQHP\ GLVHQJDJHPHQW DQG VXEVHTXHQW UHFRQVWLWXWLRQ RI WKH HQHP\¶V GHIHQVH DQG LQIOLFWV
PD[LPXPFDVXDOWLHV7KHGLUHFWSUHVVXUHIRUFHVKRXOGFRQVLVWRIDUPRUKHDY\IRUFHV,WVOHDGLQJHOHPHQWV
PRYHUDSLGO\DORQJDOODYDLODEOHURDGVDQGFRQWDLQRUE\SDVVVPDOOHQHP\SRFNHWVRIUHVLVWDQFH)ROORZDQG
VXSSRUW XQLWV UHGXFH WKHVH VPDOO FRQWDLQHG RU E\SDVVHG HQHP\ IRUFHV $W HYHU\ RSSRUWXQLW\ WKH GLUHFW
SUHVVXUHIRUFHHQYHORSVLVRODWHVDQGGHVWUR\VHQHP\GHWDFKPHQWVSURYLGHGVXFKDFWLRQVGRQRWLQWHUIHUH
ZLWKLWVSULPDU\PLVVLRQ

6 October 2017 FM 3-0 7-51


Chapter 7

 $QHQYHORSLQJIRUFHJHWVWRWKHHQHP\¶VUHDUDUHDDVVZLIWO\DVSRVVLEOHE\WKHPRVWDGYDQWDJHRXV
URXWHVWRFXWRII WKHHQHP\¶VUHWUHDWDQGEORFNVWKHHQHP\¶VHVFDSH7KLVUHVXOWVLQWKH UHWUHDWLQJHQHP\
IRUFH¶V HQFLUFOHPHQW DQG GHVWUXFWLRQ EHWZHHQ WKH GLUHFWSUHVVXUH DQG HQYHORSLQJ IRUFHV 7KH HQYHORSLQJ
IRUFH DGYDQFHV DORQJ RU IOLHV RYHU URXWHV WKDW SDUDOOHO WKH HQHP\¶V OLQH RI UHWUHDW WR UHDFK GHILOHV
FRPPXQLFDWLRQVFHQWHUVEULGJHVDQGRWKHUNH\WHUUDLQRUFKRNHSRLQWVDKHDGRIWKHHQHP\¶VPDLQIRUFH
7KLVUHTXLUHVWKDWWKHHQFLUFOLQJIRUFHEHDWOHDVWDVPRELOHDVWKHHQHP\$LUDVVDXOWIRUFHVDUHLGHDOO\VXLWHG
IRUWKLVUROH7KHHQYHORSLQJIRUFHRUJDQL]HVDKDVW\GHIHQVHRQFHSRVLWLRQHGRQWKLVIDYRUDEOHWHUUDLQ,ILW
FDQQRWRXWGLVWDQFHWKHHQHP\WKHHQYHORSLQJIRUFHDWWDFNVWKHPDLQERG\RIWKHUHWUHDWLQJHQHP\IRUFHRQ
RQHRUERWKRILWVIODQNV,IWKHDWWHPSWWRFXWWKHHQHP\¶VHVFDSHURXWHVIDLOVWKHFRUSVRUGLYLVLRQFRPPDQGHU
LPPHGLDWHO\GLVSDWFKHVDQHZHQYHORSLQJIRUFH
 $Q HQFLUFOHPHQW FDQ FRPSOHWHO\ GHVWUR\ WKH HQHP\ $ FRUSV RU GLYLVLRQ FRPPDQGHU PD\ VHH
SRVVLELOLWLHVIRUFXWWLQJRIIDQGHQFLUFOLQJHQHP\HOHPHQWVGXULQJWKHH[SORLWDWLRQRIVXFFHVVIXOSHQHWUDWLRQV
LQWRWKHHQHP\¶VUHDU+RZHYHUWKDWFRPPDQGHUPXVWQRWLQLWLDWHDQHQFLUFOHPHQWSUHPDWXUHO\RUGLYHUWIURP
PRUHLPSRUWDQWPLVVLRQV7RHQFLUFOHDQHQHP\IRUFHWKHSXUVXLQJIRUFHPXVWRYHUWDNHWKHUHWUHDWLQJHQHP\
DQG EORFN WKH HQHP\¶V HVFDSH 6WURQJ IRUFHV VKRXOG SRVLWLRQ WKHPVHOYHV WR EORFN HQHP\ EUHDNWKURXJK
DWWHPSWV$LUDVVDXOWIRUFHVVXSSRUWHGE\DWWDFNKHOLFRSWHUVDUPHG8$6VDQGMRLQWILUHVFDQSHUIRUPWKLV
PLVVLRQ2QFHWKHHQHP\LVHQFLUFOHGWKHFRUSVDQGGLYLVLRQPDLQDQGVXSSRUWLQJHIIRUWVPD\EHFRPHWKH
UHGXFWLRQRIWKHHQFLUFOHGIRUFHV
 )ULHQGO\IRUFHVPXVWSUHYHQWHQHP\DWWHPSWVWREUHDNRXWDWDQ\SRLQWLQFOXGLQJWKURXJKIRUHVWV
EURNHQWHUUDLQVZDPSVDQGDFURVVZDWHUREVWDFOHV$OORIWKHVHDUHDVVKRXOGEHVHFXUHGRUFRYHUHGDJDLQVW
HQHP\H[ILOWUDWLRQ)LUHVRUEDUULHUVLQFOXGLQJVFDWWHUDEOHPLQHVPD\EORFNJDSVLIVXIILFLHQWFRPEDWWURRSV
DUHQRWDYDLODEOH0DQHXYHUDQGILUHVRIDOOIRUFHVLQYROYHGLQWKHHQFLUFOHPHQWPXVWEHFRRUGLQDWHG&RQVWDQW
SUHVVXUHLQFOXGLQJ(:0,62DQG2&2ZLOOZHDNHQWKHHQHP\
 7KHHQHP\FRPPDQGHUPXVWQRWKDYHWLPHWRRUJDQL]HDQDOODURXQGGHIHQVH,IWKHHQHP\LVDEOH
WRIRUPDSHULPHWHUWKHSXUVXLWIRUFHPXVWUHSHDWHGO\VSOLWLWLQWRVPDOOHUHOHPHQWVXQWLOWKHILQDOGHVWUXFWLRQ
RUFDSLWXODWLRQRIWKHHQFLUFOHGHQHP\IRUFH,IWLPHLVQRWFULWLFDOWKHFRPPDQGHUFDQNHHSWKHHQFLUFOHPHQW
FORVHGVWRSHQHP\EUHDNRXWDQGEUHDNLQDWWHPSWVDQGZHDNHQWKHHQHP\E\ILUHVDORQH7KHFROODSVHRID
ODUJH DQGHQFLUFOHGHQHP\ IRUFHFDQEHDFFHOHUDWHGFRQVLGHUDEO\E\WKH PDVVHGHPSOR\PHQWRISUHFLVLRQ
PXQLWLRQVDVVLVWHGE\(:2&20,62DQGRWKHU,5&V 6HH)0IRUDGGLWLRQDOLQIRUPDWLRQRQWKH
UHGXFWLRQRIHQFLUFOHGHQHP\IRUFHV 

68%25',1$7()25062)7+($77$&.
 6XERUGLQDWHIRUPVRIWKHDWWDFNKDYHVSHFLDOSXUSRVHVDQGLQFOXGHWKH
Forms of the attack
DPEXVK FRXQWHUDWWDFN GHPRQVWUDWLRQ IHLQW UDLG DQG VSRLOLQJ DWWDFN 7KH
FRPPDQGHU¶VLQWHQWDQGWKHPLVVLRQYDULDEOHVGHWHUPLQHZKLFKRIWKHVHIRUPVRI x $PEXVK
DWWDFN FRPPDQGHUV HPSOR\ &RPPDQGHUV FDQ FRQGXFW HDFK RI WKHVH IRUPV RI x &RXQWHUDWWDFN
DWWDFNH[FHSW IRUDUDLGDVHLWKHUDKDVW\RUDGHOLEHUDWH RSHUDWLRQ&KDSWHU x 'HPRQVWUDWLRQ
GLVFXVVHVWKHFRXQWHUDWWDFNDQGVSRLOLQJDWWDFNVRWKRVHWDVNVDUHQRWGLVFXVVHG x )HLQW
LQWKLVFKDSWHU
x 5DLG
x 6SRLOLQJDWWDFN
$0%86+
$PEXVKHVDUHSUHSDUHGE\FRQVWUXFWLQJFRQFHDOHGREVWDFOHVDORQJWKH
PRVWSUREDEOHURXWHVRIKRVWLOHDGYDQFHDQGVLWLQJIL[HGZHDSRQVWRVZHHSWKHPZLWKILUH
2XWJXDUGV SURYLGH IRU WKH VHFXULW\ RI WKH FRPPDQG SUHSDULQJ DPEXVKHV LQ DGYDQFHG
SRVLWLRQVWREUHDNWKHDWWDFNEHIRUHLWUHDFKHVWKHGHIHQVLYHSRVLWLRQRUWRHQDEOHFDSWXUH
RIKRVWLOHSDWUROV
)0Infantry Field Manual-Organization and Tactics of Infantry: The Rifle Battalion


 $QDPEXVKLVDQDWWDFNE\ILUHRURWKHUGHVWUXFWLYHPHDQVIURPFRQFHDOHGSRVLWLRQVRQDPRYLQJRU
WHPSRUDULO\KDOWHGHQHP\ )0 $QDPEXVKVWRSVGHQLHVRUGHVWUR\VHQHP\IRUFHVE\PD[LPL]LQJ
WKH HOHPHQW RI VXUSULVH $PEXVKHV FDQ HPSOR\ GLUHFW ILUH V\VWHPV DQG RWKHU GHVWUXFWLYH PHDQV VXFK DV
FRPPDQGGHWRQDWHGPLQHVLQGLUHFWILUHVDQGVXSSRUWLQJQRQOHWKDOHIIHFWV7KH\PD\LQFOXGHDQDVVDXOWWR

7-52 FM 3-0 6 October 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

FORVHZLWKDQGGHVWUR\HQHP\IRUFHV,QDQDPEXVKJURXQGREMHFWLYHVGRQRWKDYHWREHVHL]HGDQGKHOG
6PDOOWDFWLFDOHFKHORQVH[HFXWHDPEXVKHV

'(021675$7,21
$GHPRQVWUDWLRQLVDQRSHUDWLRQGHVLJQHGWRFRQIXVHWKHHQHP\WRGHOD\RUUHGXFHWKH
HIIHFWLYHQHVV RI KLV GLVSRVLWLRQV DQG WR FDXVH KLP WR FRPPLW KLV UHVHUYHV DJDLQVW WKH
GHPRQVWUDWLQJIRUFH
)0Amphibious Operations: Battalion in Assault Landings

 $GHPRQVWUDWLRQLQPLOLWDU\GHFHSWLRQLVDVKRZRIIRUFHVLPLODUWRDIHLQWZLWKRXWDFWXDOFRQWDFW
ZLWKWKHDGYHUVDU\LQDQDUHDZKHUHDGHFLVLRQLVQRWVRXJKWWKDWLVPDGHWRGHFHLYHDQDGYHUVDU\ -3 
7KHSODQQLQJSUHSDULQJDQGH[HFXWLQJFRQVLGHUDWLRQVIRUDGHPRQVWUDWLRQDUHWKHVDPHDVIRUWKHRWKHUIRUPV
RIDWWDFN)RUH[DPSOHWKHWKDQGWK0DULQH([SHGLWLRQDU\%ULJDGHVUHPDLQHGDERDUGWKHLUDPSKLELRXV
VKLSVLQWKH3HUVLDQ*XOIGXULQJ2SHUDWLRQ'HVHUW6WRUP,QWKLVFDSDFLW\WKH\VHUYHGDVDGHPRQVWUDWLRQWR
GLYHUW ,UDTL DWWHQWLRQ DQG IRUFHV IURP WKH DFWXDO ORFDWLRQ RI WKH FRDOLWLRQ IRUFH¶V JURXQG DWWDFN &HQWUDO
&RPPDQGH[SORLWHGWKH860DULQH&RUSV¶KLJKPHGLDSURILOHWRGLVWUDFW,UDTLSODQQHUVXQWLOWKHZDU¶VHQG
7KHWKUHDWSRVHGE\WKHLUDPSKLELRXVFDSDELOLWLHVFDXVHGWKH,UDTLVWRNHHSVHYHQGLYLVLRQVIRFXVHGRQWKH
FRDVWWRVWRSDODQGLQJWKDWQHYHUFDPH

)(,17
 $IHLQWLQPLOLWDU\GHFHSWLRQLVDQRIIHQVLYHDFWLRQLQYROYLQJFRQWDFWZLWKWKHDGYHUVDU\FRQGXFWHG
IRUWKHSXUSRVHRIGHFHLYLQJWKHDGYHUVDU\DVWRWKHORFDWLRQDQGRUWLPHRIWKHDFWXDOPDLQRIIHQVLYHDFWLRQ
-3   ,Q D IHLQW WKH FRPPDQGHU DVVLJQV WKH IRUFH DQ REMHFWLYH OLPLWHG LQ VL]H RU VFRSH )RUFHV
FRQGXFWLQJ D IHLQW PDNH GLUHFW ILUH FRQWDFW ZLWK WKH HQHP\ EXW WKH\ DYRLG GHFLVLYH HQJDJHPHQW 7KH
SODQQLQJSUHSDULQJDQGH[HFXWLQJFRQVLGHUDWLRQVIRUDIHLQWDUHWKHVDPHDVIRUWKHRWKHUIRUPVRI DWWDFN
)RUH[DPSOHWKH*HUPDQ$UP\*URXS%¶VDWWDFNLQWRWKH1HWKHUODQGVDQGQRUWKHUQDQGFHQWUDO%HOJLXPLQ
0D\FDQEHFRQVLGHUHGDIHLQW ,WFDQDOVREHFRQVLGHUHGDVDVXSSRUWLQJDWWDFN ,WFRQYLQFHGWKH%ULWLVK
DQG)UHQFKKLJKFRPPDQGWKDWWKH*HUPDQPDLQHIIRUWZDVLQWKHQRUWKLQVWHDGRI*HUPDQ$UP\*URXS$¶V
DGYDQFHWKURXJKWKH$UGHQQHVWRZDUG6HGDQ

5$,'
 $UDLGLVDQRSHUDWLRQWRWHPSRUDULO\VHL]HDQDUHDLQRUGHUWRVHFXUHLQIRUPDWLRQFRQIXVHDQHQHP\
FDSWXUHSHUVRQQHORUHTXLSPHQW RUWRGHVWUR\DFDSDELOLW\ FXOPLQDWLQJ LQDSODQQHG ZLWKGUDZDO -3 
5DLGV DUH XVXDOO\ VPDOO LQYROYLQJ EDWWDOLRQVL]HG RU VPDOOHU IRUFHV 6HH )0  IRU DGGLWLRQDO
LQIRUPDWLRQRQSHUIRUPLQJWKHUDLGWDVN 

27+(57$&7,&$/&216,'(5$7,216
 &RUSVDQGGLYLVLRQFRPPDQGHUVKDYHRWKHUWDFWLFDOFRQVLGHUDWLRQVZKHQFRQGXFWLQJRIIHQVLYHWDVNV
7KH\XVXDOO\DGGUHVVWKHVHWDFWLFDOFRQVLGHUDWLRQVDVSDUWRIWKHLUVKDSLQJRSHUDWLRQVRUVXSSRUWLQJHIIRUWV

)25:$5'3$66$*(2)/,1(6
 7KHRIIHQVHEHJLQVZLWKDIRUZDUGSDVVDJHRIOLQHVDWDVNLQZKLFKRQHIULHQGO\XQLWPRYHVIRUZDUG
WKURXJKSRVLWLRQVKHOGE\DQRWKHU,WPXVWEHZHOOSODQQHGDQGFRRUGLQDWHGWRHQVXUHPLQLPXPFRQJHVWLRQ
DQGFRQIXVLRQ:KHQSRVVLEOHDSDVVDJHVKRXOGEHWKURXJKHOHPHQWVWKDWDUHQRWLQFRQWDFW
 7KHUHVSHFWLYHVXERUGLQDWHXQLWFRPPDQGHUVFRRUGLQDWHVSHFLILFGHWDLOVRIWKHSDVVDJH1RUPDOO\
WKHRYHUDOOFRPPDQGHUDVVLJQVERXQGDULHVWRGHVLJQDWHDUHDVWKURXJKZKLFKVXERUGLQDWHHOHPHQWVZLOOSDVV
6XFKERXQGDULHVXVXDOO\FRUUHVSRQGWRWKRVHRIWKHVWDWLRQDU\IRUFH7KHVWDWLRQDU\XQLWRFFXSLHVFRQWDFWDQG
SDVVDJHSRLQWVVXSSOLHVJXLGHVDQGSURYLGHVLQIRUPDWLRQFRQFHUQLQJWKHHQHP\VXFKDVWKHORFDWLRQDQG
FRPSRVLWLRQRIPLQHILHOGDQGRWKHUREVWDFOHV
 7KH VWDWLRQDU\ XQLW PD\ SURYLGH WKH LQLWLDO ORJLVWLF VXSSRUW WR WKH IRUZDUG SDVVLQJ XQLW WR HQVXUH
FRQWLQXRXVVXSSRUWZLWKRXWLQFUHDVLQJEDWWOHILHOGFOXWWHU2QFHVWDUWHGWKHSDVVLQJXQLWPRYHVWKURXJKWKH

6 October 2017 FM 3-0 7-53


Chapter 7

VWDWLRQDU\XQLWDVTXLFNO\DVSRVVLEOHWRPLQLPL]HWKHYXOQHUDELOLW\RIWKHWZRIRUFHV7KHPRYLQJIRUFHPXVW
DVVXPHFRQWURORIWKHEDWWOHDVVRRQDVLWVOHDGHOHPHQWVKDYHSDVVHGWKURXJKWKHVWDWLRQDU\IRUFH$UWLOOHU\
VXSSRUWLQJWKHVWDWLRQDU\IRUFHDQGLWVGLUHFWILUHVVKRXOGEHLQWHJUDWHGLQWRWKHILUHVXSSRUWSODQRIWKHSDVVLQJ
XQLW 6HH)0IRUPRUHLQIRUPDWLRQRQSDVVDJHRIOLQHV 

86(2)7(55$,1
 $WWDFNLQJIRUFHVVKRXOGVHOHFWDYHQXHVRIDSSURDFKWKDWSHUPLWUDSLGDGYDQFHDOORZIRUPDQHXYHU
E\ WKH DWWDFNLQJ IRUFH SURYLGH FRYHU DQG FRQFHDOPHQW SHUPLW ODWHUDO VKLIWLQJ RI UHVHUYHV DOORZ JRRG
FRPPXQLFDWLRQVUHVLVWFRQVWULFWLRQHIIRUWVE\HQHP\HQJLQHHUVDQGRULHQWRQNH\WHUUDLQ
 %DWWDOLRQWDVNIRUFHVDQGFRPSDQ\WHDPVDGYDQFHIURPRQHFRYHUHGDQGFRQFHDOHGSRVLWLRQWRWKH
QH[W&RUSVDQGGLYLVLRQVPRYHDORQJPDQHXYHUFRUULGRUVDQGOLQHVRIFRPPXQLFDWLRQVWKDWSURYLGHIRUUDSLG
DGYDQFHRIDOOFRPELQHGDUPVDQGVXSSRUWLQJIRUFHV7RVXVWDLQIRUZDUGPRPHQWXPDOOHOHPHQWVRIFRPEDW
SRZHU²OHDGHUVKLS LQIRUPDWLRQ PLVVLRQ FRPPDQG PRYHPHQW DQG PDQHXYHU LQWHOOLJHQFH ILUHV
VXVWDLQPHQWDQGSURWHFWLRQ²PRYHIRUZDUGLQDQRUFKHVWUDWHGPDQQHUDVSDUWRIWKHFRPELQHGDUPVWHDP
 7HUUDLQ FKRVHQ IRU WKH GHFLVLYH RSHUDWLRQ¶V PDLQ HIIRUW VKRXOG DOORZ UDSLG PRYHPHQW LQWR WKH
HQHP\¶VUHDU&RUSVDQGGLYLVLRQFRPPDQGHUVVKRXOGQRUPDOO\LGHQWLI\DQGDYRLGWHUUDLQWKDWZLOOKLQGHUD
UDSLGDGYDQFH+RZHYHU LIWKHHQHP\FDQEHVXUSULVHG DQLQLWLDO PDQHXYHURYHUGLIILFXOWWHUUDLQ PD\EH
GHVLUDEOH:KHUHSRVVLEOHFRPPDQGHUVDWDOOHFKHORQVVKRXOGSHUVRQDOO\UHFRQQRLWHUWKHWHUUDLQSDUWLFXODUO\
WHUUDLQZKHUHWKHGHFLVLYHRSHUDWLRQRUPDLQHIIRUWLVWREHFRQGXFWHG
 &RUSV DQG GLYLVLRQ FRPPDQGHUV RUFKHVWUDWH WKH IRUZDUG PRYHPHQW RI WKHLU VXERUGLQDWH FRPEDW
HOHPHQWV WR SURYLGH DV PXFK PXWXDO VXSSRUW DV SRVVLEOH +RZHYHU UDSLGO\ PRYLQJ IRUFHV VKRXOG QRW
JHQHUDOO\EHKHOGEDFNWRSUHVHUYHDXQLIRUPUDWHRIDGYDQFH(OHPHQWVPD\VHL]HLQWHUPHGLDWHREMHFWLYHVWR
SURYLGHPXWXDOVXSSRUWDQGSURWHFWLRQIRUDGMDFHQWXQLWVPRYLQJRQPRUHH[SRVHGURXWHV.H\WHUUDLQDORQJ
WKHURXWHRIDGYDQFHPXVWEHHLWKHUVHL]HGRUFRQWUROOHGE\ILUH:KHQSUHVHQWGHFLVLYHWHUUDLQEHFRPHVWKH
DWWDFN¶VIRFDOSRLQW

)/$1.6(&85,7<
 $WWDFNLQJ FRUSV DQG GLYLVLRQ FRPPDQGHUV VKRXOG QRW LJQRUH WKH WKUHDW WR WKHLU IODQNV 7KDW ULVN
LQFUHDVHVDVWKHDWWDFNSURJUHVVHV7KH\PXVWDVVLJQUHVSRQVLELOLW\IRUIODQNVHFXULW\WRDWWDFNLQJXQLWVRU
GHVLJQDWHRWKHUIRUFHVWRSHUIRUPWKHWDVNRIFRYHUJXDUGRUVFUHHQ,WPD\VRPHWLPHVEHQHFHVVDU\WRUHGXFH
IODQNSURWHFWLRQWRPDLQWDLQIRUZDUGPRPHQWXP7KHVSHHGRIDWWDFNLWVHOIRIIHUVDGHJUHHRIVHFXULW\EHFDXVH
LWPDNHVHQHP\GHIHQVLYHUHDFWLRQVOHVVHIIHFWLYH
 2EVWDFOHVFRYHUHGE\VHFXULW\IRUFHVFDQLPSURYHIODQNVHFXULW\&RPPDQGHUVVKRXOGEHPLQGIXORI
KRZWKH\DIIHFWPDQHXYHURSWLRQVZKHQGLUHFWLQJWKHHVWDEOLVKPHQWRIREVWDFOH]RQHVDQGREVWDFOHEHOWVDORQJ
XQLWIODQNV

:(7*$3&5266,1*23(5$7,216
 &RPPDQGHUVPXVWSODQWRTXLFNO\FURVVZKDWHYHUULYHUVRUVWUHDPVDUHLQWKHSDWKRIDGYDQFH$
ZHWJDSFURVVLQJUHTXLUHVVSHFLDOSODQQLQJDQGVXSSRUW7KHVL]HRIWKHREVWDFOHDQGWKHHQHP\VLWXDWLRQZLOO
GLFWDWHKRZWRPDNHWKHFURVVLQJ$WWDFNHUVVKRXOGVWULYHWRFURVVULYHUVZLWKRXWORVVRIPRPHQWXPUHJDUGOHVV
RIKRZWKH\JHWDFURVV2QO\DVDODVWUHVRUWVKRXOGWKHDWWDFNLQJIRUFHSDXVHWREXLOGXSIRUFHVDQGHTXLSPHQW
6HH$73IRUPRUHLQIRUPDWLRQRQZHWJDSFURVVLQJRSHUDWLRQV 

%5($&+,1*23(5$7,216,17+(2))(16(
 8QLWVFRQGXFWLQJRIIHQVLYHWDVNVFDQH[HFXWHWKUHHW\SHVRIEUHDFKHV²GHOLEHUDWHKDVW\DQGFRYHUW
%UHDFKLQJEHJLQVZKHQIULHQGO\IRUFHVGHWHFWDQREVWDFOHDQGEHJLQWRDSSO\WKHEUHDFKLQJIXQGDPHQWDOV
%UHDFKLQJHQGVZKHQEDWWOHKDQGRYHURFFXUVEHWZHHQIROORZRQIRUFHVDQGWKHXQLWFRQGXFWLQJWKHEUHDFK
$ EUHDFKLQJ DFWLYLW\ LQFOXGHV WKH UHGXFWLRQ RI PLQHILHOGV RWKHU H[SORVLYH KD]DUGV DQG RWKHU REVWDFOHV
*HQHUDOO\EUHDFKLQJUHTXLUHVVLJQLILFDQWFRPEDWHQJLQHHULQJVXSSRUWWRDFFRPSOLVK 6HH$73IRU
DGGLWLRQDOLQIRUPDWLRQRQEUHDFKLQJ 

7-54 FM 3-0 6 October 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

(1&,5&/(0(1723(5$7,216
 &RUSVDQGGLYLVLRQFRPPDQGHUVFRQGXFWRIIHQVLYHHQFLUFOHPHQWVWRLVRODWHWDUJHWHGHQHP\IRUFHV
7\SLFDOO\HQFLUFOHPHQWVUHVXOWIURPSHQHWUDWLRQVDQGHQYHORSPHQWVRUDUHH[WHQVLRQVRIH[SORLWDWLRQDQG
SXUVXLW RSHUDWLRQV $V VXFK WKH\ DUH QRW D VHSDUDWH IRUP RI WKH RIIHQVH EXW DQ H[WHQVLRQ RI DQ RQJRLQJ
RSHUDWLRQ7KH\PD\EHSODQQHGVHTXHOVRUUHVXOWIURPH[SORLWLQJDQXQIRUHVHHQRSSRUWXQLW\7KH\XVXDOO\
UHVXOWIURPWKHOLQNXSRIWZRHQFLUFOLQJDUPVFRQGXFWLQJDGRXEOHHQYHORSPHQW+RZHYHUWKH\FDQRFFXULQ
VLWXDWLRQVZKHUHWKHDWWDFNLQJFRPPDQGHUXVHVDPDMRUREVWDFOHVXFKDVDVKRUHOLQHDVDVHFRQGHQFLUFOLQJ
IRUFH$OWKRXJKDFRPPDQGHUPD\GHVLJQDWHWHUUDLQREMHFWLYHVLQDQHQFLUFOHPHQWLVRODWLQJDQGGHIHDWLQJ
HQHP\IRUFHVDUHWKHSULPDU\JRDOV,GHDOO\DQHQFLUFOHPHQWUHVXOWVLQWKHUDSLGVXUUHQGHURIWKHHQFLUFOHG
IRUFH7KLVPLQLPL]HVIULHQGO\IRUFHORVVHVDQGUHVRXUFHH[SHQGLWXUHV

2UJDQL]DWLRQRI)RUFHVIRUDQ2IIHQVLYH(QFLUFOHPHQW
 $Q HQFLUFOHPHQW RSHUDWLRQ XVXDOO\ KDV DW OHDVW WZR SKDVHV²WKH DFWXDO HQFLUFOHPHQW DQG DFWLRQV
WDNHQ DJDLQVW WKH LVRODWHG HQHP\ &RPPDQGHUV FRQVLGHU DGMXVWLQJ VXERUGLQDWH XQLW WDVN RUJDQL]DWLRQV
EHWZHHQSKDVHVWRPD[LPL]HXQLWHIIHFWLYHQHVVLQHDFKSKDVH7KHILUVWSKDVHLVWKHDFWXDOHQFLUFOHPHQWWKDW
UHVXOWVLQWKHHQHP\IRUFH¶VLVRODWLRQ7KHRUJDQL]DWLRQRIIRUFHVIRUDQHQFLUFOHPHQWLVVLPLODUWRWKDWRID
PRYHPHQW WR FRQWDFW RU DQ HQYHORSPHQW 7KH FRPPDQGHU H[HFXWLQJDQ HQFLUFOHPHQW RSHUDWLRQ RUJDQL]HV
HQFLUFOLQJIRUFHVLQWRDGLUHFWSUHVVXUHIRUFHDQGRQHRUPRUHHQFLUFOLQJDUPV$%&7V6%&7VDQGDLUDVVDXOW
DQGDLUERUQHXQLWVDUHHVSHFLDOO\ZHOOVXLWHGIRUXVHDVDQHQFLUFOLQJDUPVLQFHWKH\KDYHWKHWDFWLFDOPRELOLW\
WR UHDFK SRVLWLRQV WKDW FXW HQHP\ OLQHV RI FRPPXQLFDWLRQV %\SDVVHG DQG HQFLUFOHG HQHP\ IRUFHV RQ WKH
IODQNVDQGUHDURIDGYDQFLQJIULHQGO\IRUFHVUHTXLUHWKHVHHQFLUFOLQJIRUFHVWRPDLQWDLQDOODURXQGVHFXULW\
ZKLFKLQFOXGHVORFDOVHFXULW\PHDVXUHVDQGVHFXULW\IRUFHV
 2QH FRPPDQGHU VKRXOG GLUHFW WKH HQFLUFOHPHQW HIIRUW +RZHYHU WKHUH PXVW DOVR EH XQLW\ RI
FRPPDQGIRUHDFKHQFLUFOLQJDUP7KHHQFLUFOLQJIRUFHKHDGTXDUWHUVPD\QDPHRQHRILWVVXERUGLQDWHXQLWV
DVWKHKHDGTXDUWHUVIRUDQHQFLUFOLQJDUP$OWHUQDWLYHO\WKDWIRUFH¶VKHDGTXDUWHUVPD\FUHDWHDWHPSRUDU\
FRPPDQGSRVWIURPRUJDQLFDVVHWVVXFKDVLWVWDFWLFDO&3WRFRQWURORQHRUPRUHDUPVRIWKHHQFLUFOHPHQW
,IDQHQFLUFOLQJDUPKDVVXERUGLQDWHLQQHUDQGRXWHUDUPVHDFKRIWKHPDOVRUHTXLUHVVHSDUDWHVXERUGLQDWH
FRPPDQGHUV 7KH PLVVLRQV DQG VSDWLDO RULHQWDWLRQ EHWZHHQ WKH LQQHU DQG RXWHU HQFLUFOLQJ DUPV DUH
VXIILFLHQWO\GLIIHUHQWWKHUHIRUHRQHIRUFHFDQQRWDFWLQERWKGLUHFWLRQVDWRQFH
 ,I WKHUH LV QR SRVVLELOLW\ RI WKH HQFLUFOHG IRUFHV UHFHLYLQJ UHOLHI IURP HQHP\ IRUFHV RXWVLGH WKH
HQFLUFOHPHQWFRPPDQGHUVRQO\RUJDQL]HDQLQQHUHQFLUFOLQJDUP,IWKHUHLVGDQJHURIDQHQHP\UHOLHIIRUFH
UHDFKLQJWKHHQFLUFOHGHQHP\IRUFHFRPPDQGHUVRUJDQL]HERWKLQQHUDQGRXWHUHQFLUFOLQJDUPV&RPPDQGHUV
DVVLJQWKHRXWHUHQFLUFOLQJDUPDVHFXULW\PLVVLRQDQRIIHQVLYHPLVVLRQWRGULYHDZD\DQ\HQHP\UHOLHIIRUFH
RUDGHIHQVLYHPLVVLRQWRSUHYHQWWKHHQHP\UHOLHIIRUFHIURPPDNLQJFRQWDFWZLWKWKHHQFLUFOHGHQHP\IRUFH
2QFHWKHHQFLUFOHPHQWLVFRPSOHWHWKHVHLQQHURURXWHUHQFLUFOLQJDUPVIRUPDSHULPHWHU

6 October 2017 FM 3-0 7-55


Chapter 7

2IIHQVLYH(QFLUFOHPHQW&RQWURO0HDVXUHV
 &RQWUROPHDVXUHVIRUDQHQFLUFOHPHQWDUHVLPLODU
WR WKRVH RI RWKHU RIIHQVLYH WDVNV HVSHFLDOO\ DQ
HQYHORSPHQWEXWZLWKDIHZDGGLWLRQDOFRQVLGHUDWLRQV,I
WKHFRPPDQGHUXVHVERWKDQLQQHUDQGDQRXWHUHQFLUFOLQJ
DUP WKH FRPPDQGHU PXVW HVWDEOLVK D ERXQGDU\ EHWZHHQ
WKHP 7KH FRPPDQGHU SODFHV WKH ERXQGDU\ VR WKDW HDFK
HOHPHQWKDVHQRXJKVSDFHWRDFFRPSOLVKWKHPLVVLRQ7KH
LQQHUIRUFHUHTXLUHVHQRXJKVSDFHWRILJKWDGHIHQVLYHEDWWOH
WRSUHYHQWWKHHQFLUFOHGIRUFHIURPEUHDNLQJRXW7KHRXWHU
IRUFHUHTXLUHVDGHTXDWHWHUUDLQDQGGHSWKWRLWV$2WRGHIHDW
DQ\DWWHPSWWRUHOLHYHWKHHQFLUFOHGIRUFH

 7KH FRPPDQGHU ZKR FRQWUROV ERWK FRQYHUJLQJ 
Figure 7-24. Free-fire area
IRUFHV HVWDEOLVKHV D UHVWULFWLYH ILUH OLQH EHWZHHQ WKHP
$free-fire areaLVDVSHFLILFDUHDLQWRZKLFK
&RPPDQGHUV PD\ DOVR HVWDEOLVK D IUHHILUH DUHD ZKLFK
DQ\ZHDSRQV\VWHPPD\ILUHZLWKRXW
HQFORVHV WKH DUHD RFFXSLHG E\ D E\SDVVHG RU HQFLUFOHG DGGLWLRQDOFRRUGLQDWLRQZLWKWKH
HQHP\ IRUFHV 6HH ILJXUH   &RPPDQGHUV PD\ HVWDEOLVKLQJKHDGTXDUWHUV -3 
HVWDEOLVK D QRILUH DUHD RYHU ORFDWLRQV DQG IDFLOLWLHV
UHTXLUHG IRU WKH FRQVROLGDWLRQ RI JDLQV 6HH ILJXUH 
6HHDSSHQGL[$RI)0IRUPRUHLQIRUPDWLRQRQWKHXVHRIUHVWULFWLYHILUHOLQHIUHHILUHDUHDVDQG
RWKHU)6&0V &RPPDQGHUVPD\DOVRHVWDEOLVKFRQWDFWSRLQWV

([HFXWLQJDQ(QFLUFOHPHQW
 2QH UHVXOW RI DQ HQYHORSPHQW PLJKW EH DQ
HQFLUFOHPHQW(QFLUFOHPHQWVDUHPRVWFRPPRQGXULQJWKH
FRQGXFW RI GRXEOH HQYHORSPHQWV +RZHYHU HQFLUFOHG
HQHP\IRUFHVFDQUHVXOWIURPDVLQJOHHQYHORSPHQWRUIODQN
DWWDFNWKDWSLQVDQHQHP\IRUFHDJDLQVWDPDMRUREVWDFOH
&RQGXFWLQJ RIIHQVLYH WDVNV LQ D QRQFRQWLJXRXV
HQYLURQPHQW²VXFK DV RFFXU GXULQJ WKH FRQGXFW RI
H[SORLWDWLRQV DQG SXUVXLW²FDQ DOVR UHVXOW LQ WKH
HQFLUFOHPHQWRIE\SDVVHGHQHP\IRUFHV
 &RPPDQGHUVFRQGXFWHQFLUFOHPHQWRSHUDWLRQVWR
GHSULYHHQHP\IRUFHVRIWKHLUIUHHGRPRIPDQHXYHU7KLV
GHQLHV WKHP RI WKH FDSDELOLW\ WR GHIHQG RU GHOD\ LQ DQ

RUJDQL]HG IDVKLRQ (QFLUFOHPHQW RSHUDWLRQV DOVR VHHN WR
 Figure 7-25. No-fire area
FXWRII HQHP\ HYDFXDWLRQ DQG UHLQIRUFHPHQW URXWHV
(QFLUFOHPHQWV PD\ EH GHOLEHUDWHO\ SODQQHG RU WKH\ PD\ $no-fire areaLVDQDUHDGHVLJQDWHGE\WKH
DSSURSULDWHFRPPDQGHULQWRZKLFKILUHVRU
RFFXUGXULQJWKHSHUIRUPDQFHRIDOORIIHQVLYHWDVNV WKHLUHIIHFWVDUHSURKLELWHG -3 
 3ULRU SODQQLQJ LV SUREDEO\ WKH PRVW LPSRUWDQW
FRQVLGHUDWLRQRIHQFLUFOHPHQWRSHUDWLRQV7KHHQFLUFOLQJFRPPDQGHULGHQWLILHVDQGVHWVWKHFRQGLWLRQVRIWKH
HQFLUFOHPHQWEHIRUHLWGHYHORSVLQRUGHUWRGHQ\WKH HQHP\ IRUFHDV PDQ\DGYDQWDJHV²VXFKDV VHFXULQJ
DGYDQWDJHRXVWHUUDLQ²DVSRVVLEOHEHIRUHVXUURXQGLQJLW(QFLUFOHPHQWVFDQRFFXUDVDFRQVHTXHQFHRIDQ
RSHUDWLRQDODFWLRQDWDFWLFDODFWLRQRUDFRPELQDWLRQRIERWK+RZHYHUWKHUHGXFWLRQRIDQHQFLUFOHPHQWLV
VWULFWO\DWDFWLFDODFWLRQ$QHQFLUFOHPHQWFRQVLVWVRIILYHDFWLRQV
z 3HQHWUDWLQJWKHHQHP\¶VGHIHQVHV
z ([SORLWLQJDQGDWWDFNLQJRQFRQYHUJLQJD[HV
z /LQNLQJXSIRUFHVDQGHVWDEOLVKLQJWKHLQQHUHQFLUFOHPHQW
z (VWDEOLVKLQJDQRXWHUULQJWRFRXQWHUHQHP\UHVHUYHVDQGFRQWLQXHWKHH[SORLWDWLRQ
z 'HVWUR\LQJWKHHQFLUFOHGHQHP\IRUFH

 7KHLQLWLDOVWDWHRIWKHHQFLUFOHPHQWLVWKHSHQHWUDWLRQRIWKHHQHP\¶VGHIHQVHVLQVHYHUDOORFDWLRQV
$UPRUHG6WU\NHUDQGDLUDVVDXOWLQIDQWU\HOHPHQWV²LIWKHHQHP\DLUGHIHQVHVLWXDWLRQ DOORZVWKHXVHRI

7-56 FM 3-0 6 October 2017


/DUJH6FDOH2IIHQVLYH2SHUDWLRQV

DVVDXOWDYLDWLRQIRUZDUGRIWKHIRUZDUGOLQHRIRZQWURRSV )/27 ²TXLFNO\DGYDQFHLQWRWKHGHSWKVRIWKH


HQHP\¶VGHIHQVHVDQGVHFXUHWKHLQQHUHQFLUFOHPHQWULQJ)ROORZRQIRUFHVVXSSRUWWKHLQQHUULQJDQGIRFXV
RQGHVWUR\LQJWKHHQHP\SRFNHW)ROORZRQIRUFHVHVWDEOLVKDQRXWHUULQJZKLOHDUPRUHG6WU\NHUDQGDLU
DVVDXOWIRUFHVFRQWLQXHWKHH[SORLWDWLRQDQGGHYHORSWKHRIIHQVLYHRQWKHH[WHUQDOIURQW
 (QFLUFOHPHQWRIWKHHQHP\LVFRPSOHWHRQO\DIWHUWKHFUHDWLRQRIWKHLQWHULRUULQJWKHRXWHUULQJDQG
WKHRUJDQL]DWLRQRIDQDLU(:F\EHUVSDFHDQGLQIRUPDWLRQEORFNDGH DQGQDYDOEORFNDGHZKHUHDSSOLFDEOH 
7KHIULHQGO\IRUFHPXVWSUHYHQWWKHHQHP\IURPUHVXSSO\LQJRURWKHUZLVHVXSSRUWLQJHQFLUFOHGHQHP\IRUFHV
 &RPPDQGHUV DQG VWDIIV PXVW SODQ IRU GHDOLQJ ZLWK E\SDVVHG HQHP\ IRUFHV 7KLV LQFOXGHV WKH
FKDOOHQJHVWKDWGHWDLQHHVDQGGLVORFDWHGFLYLOLDQVFDXVH2QFHDGHFLVLRQLVPDGHWRUHGXFHDQHQFLUFOHPHQW
WKHFRPPDQGHUQRUPDOO\XVHVRQHRIWZRSRVVLEOHPHWKRGVRIUHGXFWLRQ²ILUHDORQHRUILUHDQGPRYHPHQW
 5HGXFWLRQE\ILUHDORQHLPSOLHVWKDWWKHHQFLUFOLQJIULHQGO\FRPPDQGHUZLOOXVHILUHVXSSRUWDVWKH
SULPDU\RUVROHPHDQVRIUHGXFLQJWKHHQFLUFOHPHQW 7KLVLQFOXGHVHPSOR\LQJDUWLOOHU\GLUHFWILUHV&$6
(:2&2,5&VDQGDWWDFNKHOLFRSWHUVDQGDUPHG8$6VDJDLQVWWKHHQHP\SHULPHWHU5HGXFWLRQE\ILUH
DORQH DOVR UHGXFHV WKH QXPEHU RI FDVXDOWLHV VXIIHUHG E\ WKH IULHQGO\ HQFLUFOLQJ IRUFH +RZHYHU LW PD\
LQFUHDVHWKHQXPEHURIFLYLOLDQFDVXDOWLHVDQGDPRXQWRIFROODWHUDOGDPDJHZKLFKPD\EHLPSRUWDQWODWHUDV
IULHQGO\IRUFHVVHHNWRFRQVROLGDWHJDLQV
 8QIRUWXQDWHO\UHGXFWLRQE\ILUHDORQHKDVGLVDGYDQWDJHV5HGXFWLRQE\ILUHUHTXLUHVDVLJQLILFDQW
DPRXQW RI ZHDSRQV DPPXQLWLRQ DQG WLPH )ULHQGO\ IRUFHV XVLQJOHWKDO DQG QRQOHWKDO HIIHFWV DJDLQVW WKH
HQFLUFOHGIRUFHDUHQRWDYDLODEOHIRURWKHUPLVVLRQV$QRWKHUGLVDGYDQWDJHRIUHGXFWLRQE\ILUHLVLWVLQDELOLW\
WRJXDUDQWHHUHVXOWV)LUHVDORQHPLJKWQRWEHVXIILFLHQWWRIRUFHWKHVXUUHQGHURIWKHHQFLUFOHGHQHP\IRUFH
 5HGXFWLRQE\ILUHDQGPDQHXYHUXVHVDFRPELQDWLRQRIILUHDQGJURXQGPDQHXYHUIRUFHVWRDWWDFN
DQGGHVWUR\DQHQFLUFOHPHQW,WLVWKHVXUHVWPHWKRGRIUHGXFWLRQEHFDXVHLWIRUFHVWKHHQHP\WRVXUUHQGHU
GLVSODFHRUIDFHDQQLKLODWLRQ7KLVPHWKRGDOVRDOORZVWKHIULHQGO\HQFLUFOLQJIRUFHFRPPDQGHUWRUHWDLQWKH
LQLWLDWLYH 7KH PDMRU GUDZEDFN RI UHGXFWLRQ E\ ILUH DQG PDQHXYHU LV WKDW LW UHGXFHV WKH VWUHQJWK RI WKH
HQFLUFOLQJIRUFHWKURXJKDWWULWLRQ
 &RPPDQGHUVPXVWGHWHUPLQHZKLFKUHGXFWLRQWHFKQLTXHWRXVHDIWHUVHOHFWLQJWKHUHGXFWLRQPHWKRG
7KLVLVKRZFRPPDQGHUVZLOOHPSOR\WKDWUHGXFWLRQPHWKRG5HGXFWLRQE\ILUHDORQHXVHVRQO\RQHWHFKQLTXH
WKHDSSOLFDWLRQRIRYHUZKHOPLQJILUHDQGLWUHTXLUHVGHFLVLRQVRQVHOHFWLRQRIPXQLWLRQVGHOLYHU\PHDQVDQG
WDUJHWV 5HGXFWLRQ E\ ILUH DQG PDQHXYHU LQFRUSRUDWHV DW OHDVW IRXU WHFKQLTXHV UHGXFWLRQ E\ FRQWLQXRXV
H[WHUQDOSUHVVXUHGLYLGHDQGFRQTXHUVHOHFWLYHUHGXFWLRQDQGUHGXFWLRQE\LQILOWUDWLRQ
 7KHILUVWWHFKQLTXHUHGXFWLRQE\FRQWLQXRXVH[WHUQDOSUHVVXUHLVWKHFODVVLFVLHJHWHFKQLTXH7KH
HQFLUFOLQJIULHQGO\IRUFHFRQWDLQVWKHHQFLUFOHGHQHP\IRUFH7KHIULHQGO\IRUFHXVHVILUHVDJDLQVWWKHHQHP\
SRFNHWDQGLWFRQGXFWVJURXQGDWWDFNVDJDLQVWWKHHQFLUFOHGHQHP\¶VSHULPHWHULQDEDWWOHRIDWWULWLRQ
 7KLVWHFKQLTXH KDVVRPHGLVDGYDQWDJHV 7KH HQFLUFOHGHQHP\ IRUFHXVXDOO\ KDVWKHDGYDQWDJHRI
VWURQJGHIHQVLYHSRVLWLRQVDQGLQWHULRUOLQHV7KLVDOORZVWKHHQHP\FRPPDQGHUWRTXLFNO\WUDQVIHUIRUFHV
ZLWKLQWKHGHIHQVLYHSHULPHWHU/DVWDVDUHVXOWRIWKHVHWZRGHIHQVLYHDGYDQWDJHVWKHDWWDFNLQJIULHQGO\
IRUFHFDQH[SHFWWRVXIIHUDJUHDWHUQXPEHURIFDVXDOWLHVWKDQWKHGHIHQGLQJHQHP\,QFRPSDULVRQZLWKWKH
RWKHUWHFKQLTXHVUHGXFWLRQE\FRQWLQXRXVH[WHUQDOSUHVVXUHKDVIHZLIDQ\DGYDQWDJHVXQOHVVWKHHQFLUFOLQJ
IRUFHKDVDQRYHUZKHOPLQJIRUFHDGYDQWDJH
 7KHGLYLGHDQGFRQTXHUWHFKQLTXHLVDPRUHYLDEOHDQGOHVVFRVWO\WHFKQLTXH,WLVDOVRWKHWHFKQLTXH
*HUPDQDQG6RYLHWDUPLHVXVHGDJDLQVWSRFNHWVRIUHVLVWDQFHGXULQJ:RUOG:DU,,2QFHDIRUFHVXUURXQGV
DQG FRQWDLQV D SRFNHW WKH HQFLUFOLQJ IRUFH ODXQFKHV D SHQHWUDWLRQ WR GLYLGH WKH SRFNHW LQ WZR $QRWKHU
SHQHWUDWLRQWKHQGLYLGHVWKHVHSRFNHWVLQWRVPDOOHURQHV7KHVHSHQHWUDWLRQVDQGVXEGLYLVLRQVFRQWLQXHXQWLO
UHVLVWDQFHVXEVLGHV7KLVWHFKQLTXHHOLPLQDWHVWKHHQHP\¶VDGYDQWDJHRILQWHULRUOLQHV
 7KHWKLUGWHFKQLTXHVHOHFWLYHUHGXFWLRQDWWDFNVWKHFRKHVLRQRIDQHQFLUFOHGIRUFHE\IRFXVLQJRQ
WKHVHTXHQWLDOGHVWUXFWLRQRIVSHFLILFWDUJHWV IRUH[DPSOHLQDVLWXDWLRQZKHUHWKHHQFLUFOHGIRUFHLVVWURQJ
LQ DLU GHIHQVH DQG DUWLOOHU\ DVVHWV  7KH IULHQGO\ HQFLUFOLQJ IRUFH PLJKW IRFXV RQ HOLPLQDWLQJ WKH SRFNHW¶V
$0'V\VWHPVILUVW,WWKHQXVHV$UP\DYLDWLRQ&$6DQGJURXQGPDQHXYHUIRUFHVWRHOLPLQDWHWKHHQFLUFOHG
HQHP\¶VDUWLOOHU\7KHHQFLUFOLQJIULHQGO\IRUFHFRXOGWKHQXVHDUPRUHGILJKWLQJYHKLFOHVWRDWWDFNHQHP\
ORJLVWLFVDVVHWV'LVPRXQWHGLQIDQWU\DWWDFNVDJDLQVWHQHP\DUPRUHGHOHPHQWVFRXOGIROORZ7KHREMHFWLYHLV
WKH HURGLQJ RI WKH WRWDO FRPELQHG DUPV VWUHQJWK RI WKH SRFNHW E\ HOLPLQDWLQJ VSHFLILF FDSDELOLWLHV RI WKH

6 October 2017 FM 3-0 7-57


Chapter 7

HQFLUFOHGHQHP\FRPELQHGDUPVWHDP&RPPDQGHUVDQGVWDIIVFDQXVHWKLVWHFKQLTXHLQFRPELQDWLRQZLWK
WKHRWKHUUHGXFWLRQWHFKQLTXHV
 7KHIRXUWKWHFKQLTXHUHGXFWLRQE\LQILOWUDWLRQPRYHVIULHQGO\IRUFHVWKURXJKWKHSHULPHWHURIWKH
HQFLUFOHPHQW7KLVLVRODWHVDQGUHGXFHVVPDOOSRUWLRQVRIWKHSRFNHWZLWKRXWH[WHUQDOLQWHUIHUHQFH
 7KH HQFLUFOLQJ FRPPDQGHU LGHQWLILHV VSHFLDO SODQQLQJ FRQVLGHUDWLRQV IRU WKH HQWLUH IRUFH DQG IRU
VSHFLILF PHPEHUV RI WKH FRPELQHG DUPV WHDP LQ DGGLWLRQ WR VHOHFWLQJ UHGXFWLRQ PHWKRGV DQG WHFKQLTXHV
7KHVHSODQQLQJFRQVLGHUDWLRQVLQFOXGH²
z 7KHHIIHFWVRIDSDXVHWRUHRUJDQL]H
z 0DQHXYHUDQGILUHVXSSRUWFRQWUROPHDVXUHV
z &RQWLQXRXVUHFRQQDLVVDQFH
z (QFLUFOHPHQWLVRODWLRQ
z 0,62
z (:
z (QHP\XVHRI:0'
z &UHDWLRQDQGHPSOR\PHQWRIDPRELOHUHDFWLRQIRUFH
z 6XVWDLQPHQW
z 'HDOLQJZLWKDQRXWVLGHHQHP\IRUFHDWWHPSWLQJWRDVVLVWWKHHQFLUFOHGHQHP\IRUFH

&2162/,'$7,212)*$,16,17+(2))(16(
 $VFRUSVDQGGLYLVLRQVFRQWLQXHWRDGYDQFHDWVRPHSRLQWLQWLPHWKH\ZLOOWUDQVLWLRQIURPRQHSKDVH
RIWKHPDMRURSHUDWLRQVRUFDPSDLJQSODQWRDQRWKHUDQGEHJLQH[HFXWLQJDVHTXHOWRWKHLUSUHYLRXVRIIHQVLYH
RUGHU7KHHQGRIRIIHQVLYHWDVNVPD\QRWEHWKHGHFLVLYHDFW&RQVROLGDWLRQRIJDLQVPD\EHWKHGHFLVLYH
RSHUDWLRQLQWKHPDMRURSHUDWLRQRUFDPSDLJQ7KHWUDQVLWLRQWRDIRFXVRQWKHFRQGXFWRIDUHDVHFXULW\DQG
VWDELOLW\WDVNVIURPWKHFRQGXFWRIRIIHQVLYHWDVNVFDQQRWEHDQDIWHUWKRXJKW6HWWLQJWKHFRQGLWLRQVIRUWKH
FRQVROLGDWLRQ RI JDLQV PD\ KDYH VLJQLILFDQW LPSDFW RQ WKH SODQQLQJ DQG H[HFXWLRQ RI RIIHQVLYHFHQWULF
DFWLRQV 6HHFKDSWHUIRUPRUHLQIRUPDWLRQRQFRQVROLGDWLRQRIJDLQV 



7-58 FM 3-0 6 October 2017




Chapter 8
Operations to Consolidate Gains
,WLVQRGRXEWDJRRGWKLQJWRFRQTXHURQWKHILHOGRIEDWWOHEXWLWQHHGVJUHDWHUZLVGRP
DQGJUHDWHUVNLOOWRPDNHXVHRIYLFWRU\
3RO\ELXV

7KH FKDSWHU EHJLQV ZLWK DQ RYHUYLHZ RI RSHUDWLRQV WR FRQVROLGDWH JDLQV 1H[W LW
GHVFULEHVWKUHDWVDQGFKDOOHQJHVWRWKHFRQVROLGDWLRQRIJDLQV$QH[SDQGHGGHVFULSWLRQ
RI WKH RSHUDWLRQDO IUDPHZRUN DQG WKH FRQVROLGDWLRQ DUHD IROORZV 7KH FKDSWHU
FRQFOXGHVZLWKDGHVFULSWLRQRIFRQVROLGDWLRQDFWLYLWLHVDQGWKHUROHVRIWKHDWHUDUP\
FRUSVGLYLVLRQDQGEULJDGHFRPEDWWHDPV %&7V LQRSHUDWLRQVWRFRQVROLGDWHJDLQV

29(59,(:2)23(5$7,21672&2162/,'$7(*$,16
/RVVRIKRSHUDWKHUWKDQORVVRIOLIHLVWKHIDFWRUWKDWUHDOO\GHFLGHVZDUVEDWWOHVDQGHYHQ
WKHVPDOOHVWFRPEDWV7KHDOOWLPHH[SHULHQFHRIZDUIDUHVKRZVWKDWZKHQPHQUHDFKWKH
SRLQWZKHUHWKH\VHHRUIHHOWKDWIXUWKHUHIIRUWDQGVDFULILFHFDQGRQRPRUHWKDQGHOD\
WKHHQGWKH\FRPPRQO\ORVHWKHZLOOWRVSLQLWRXWDQGERZWRWKHLQHYLWDEOH
6LU%DVLO/LGGHOO+DUW

 &RQVROLGDWHJDLQVDUHWKHDFWLYLWLHVWRPDNHHQGXULQJDQ\WHPSRUDU\RSHUDWLRQDOVXFFHVVDQGVHWWKH
FRQGLWLRQVIRUDVWDEOHHQYLURQPHQWDOORZLQJIRUDWUDQVLWLRQRIFRQWUROWROHJLWLPDWHDXWKRULWLHV $'53 
&RPPDQGHUV FRQWLQXRXVO\ FRQVLGHU DFWLYLWLHV QHFHVVDU\ WR FRQVROLGDWH JDLQV DQG DFKLHYH WKH HQG VWDWH
&RQVROLGDWH JDLQV LV LQWHJUDO WR ZLQQLQJ DUPHG FRQIOLFW DQG DFKLHYLQJ HQGXULQJ VXFFHVV ,W LV HVVHQWLDO WR
UHWDLQLQJWKHLQLWLDWLYHRYHUGHWHUPLQHGHQHPLHVEHFDXVHLWXOWLPDWHO\UHPRYHVERWKWKHFDSDELOLW\DQGZLOO
IRU IXUWKHU UHVLVWDQFH ,W LV WKH ILQDO H[SORLWDWLRQ RI WDFWLFDO VXFFHVV $UP\ IRUFHV ZKHQ LQWHJUDWLQJ DQG
UHLQIRUFLQJ WKH HIIRUWV RI DOO XQLILHG DFWLRQ SDUWQHUV SURYLGH WKH MRLQW IRUFH FRPPDQGHU -)&  VLJQLILFDQW
FDSDELOLW\WRFRQVROLGDWHJDLQV
 &RQVROLGDWLRQ RI JDLQV RFFXUV LQ SRUWLRQV RI DQ DUHD RI RSHUDWLRQV $2  ZKHUH ODUJHVFDOH FRPEDW
RSHUDWLRQVDUHQRORQJHURFFXUULQJ&RQVROLGDWLRQRIJDLQVDFWLYLWLHVFRQVLVWRIVHFXULW\DQGVWDELOLW\WDVNV
DQGZLOOOLNHO\LQYROYHFRPEDWRSHUDWLRQVDJDLQVWE\SDVVHGHQHP\IRUFHVDQGUHPQDQWVRIGHIHDWHGXQLWV
7KHUHIRUHXQLWVPD\LQLWLDOO\FRQGXFWRQO\PLQLPDOHVVHQWLDOVWDELOLW\WDVNVDQGWKHQWUDQVLWLRQLQWRDPRUH
GHOLEHUDWHH[HFXWLRQRIVWDELOLW\WDVNVDVWKHSULPDU\PLVVLRQDVVHFXULW\LPSURYHV2SHUDWLRQVWRFRQVROLGDWH
JDLQVUHTXLUHFRPELQHGDUPVFDSDELOLWLHVDQGWKHDELOLW\WRHPSOR\ILUHVDQGPDQDJHDLUVSDFHEXWDWDVPDOOHU
VFDOHWKDQODUJHVFDOHFRPEDWRSHUDWLRQV8QLWVLQWKHFORVHDUHDLQYROYHGLQFORVHFRPEDWGRQRWFRQGXFW
FRQVROLGDWLRQRIJDLQVDFWLYLWLHV&RQVROLGDWLRQRIJDLQVDFWLYLWLHVDUHFRQGXFWHGE\DVHSDUDWHPDQHXYHUIRUFH
LQWKHGHVLJQDWHGFRUSVRUGLYLVLRQFRQVROLGDWLRQDUHDV
 $UP\ IRUFHV FRQGXFW FRQVROLGDWLRQ RI JDLQV WKURXJKRXW WKH UDQJH RI PLOLWDU\ RSHUDWLRQV 7KH 86
$UP\KDVDOZD\VEHHQUHTXLUHGWRFRQVROLGDWHJDLQV,WGLGVRZLWKYDU\LQJGHJUHHVRIVXFFHVVLQWKH,QGLDQ
:DUVDIWHUWKH &LYLO:DUGXULQJ 5HFRQVWUXFWLRQDIWHUWKH 6SDQLVK $PHULFDQ:DUGXULQJ:RUOG:DU,,
.RUHD DQG 9LHWQDP DQG PRUH UHFHQWO\ LQ +DLWL $IJKDQLVWDQ DQG ,UDT +RZ VXFFHVVIXO LWV HIIRUWV WR
FRQVROLGDWHJDLQVZHUHLQIRUPHGKRZWKHRXWFRPHVRIWKRVHZDUVFDQEHYLHZHGWRGD\(DFKFRQIOLFWZDV
XQLTXHDQGLQYROYHGDQ$UP\UROHLQWKHJRYHUQDQFHRIDQDUHDIRUSHULRGVRIWLPHWKDWZHUHQRWSUHGLFWHG
EHIRUHKDQG$VVXFKSODQQLQJWRFRQVROLGDWHJDLQVLVHVVHQWLDOWRDQ\RSHUDWLRQ
 &RQVROLGDWLRQ RI JDLQV LV QRW D V\QRQ\P IRU VWDELOLW\ FRXQWHULQVXUJHQF\ RU QDWLRQEXLOGLQJ ,W
GHVFULEHV DFWLYLWLHV GHVLJQHG WR PDNH WKH DFKLHYHPHQW RI WKH PLOLWDU\ REMHFWLYH HQGXULQJ $V VXFK LW
HQFRPSDVVHVDEURDGDUUD\RIWDVNVFRPELQHGLQYDULDEOHZD\VRYHUWLPHLQDVSHFLILFRSHUDWLRQDOFRQWH[W

6 October 2017 FM 3-0 8-1


Chapter 8

2IIHQVLYHGHIHQVLYHDQGVWDELOLW\WDVNVDOOFRQWULEXWHWRWKHFRQVROLGDWLRQRIJDLQV&RQVROLGDWHJDLQVLVD
FRQWLQXRXV SODQQLQJ FRQVLGHUDWLRQ QRW WLHG WR D VSHFLILF WLPHOLQH RU SKDVH ,W LV DERXW H[SORLWLQJ WDFWLFDO
VXFFHVVE\HVWDEOLVKLQJVHFXULW\DQGVWDELOLW\LQDPDQQHUGHFLVLYHHQRXJKWRDFKLHYHQDWLRQDOVWUDWHJLFDLPV
 7RFRQVROLGDWHJDLQVLQWKHPRVWHIIHFWLYHDQGHIILFLHQWPDQQHUUHTXLUHVDFOHDUXQGHUVWDQGLQJRIERWK
WKHSXUSRVHRIWKHRSHUDWLRQDQGDOOSRWHQWLDOHQHP\FDSDELOLWLHVWRUHVLVW7KHFULWLFDODVVXPSWLRQIRUSODQQLQJ
LVWKDWHQHP\IRUFHVZLOOXVHDOOPHDQVDWWKHLUGLVSRVDODQGVHHNQHZPHDQVWRSURWUDFWDFRQIOLFWHYHQDV
WKH\GLUHFWUHPDLQLQJIRUFHVLQWKHILHOG,WLVWKHVLPXOWDQHRXVH[SORLWDWLRQRIH[LVWLQJDGYDQWDJHDQG WKH
UDSLGSXUVXLWRIUHPDLQLQJPHDQVRIUHVLVWDQFHWKDWGHQ\DQHQHP\WKHDELOLW\WRSURORQJFRQIOLFWDIWHUHQHP\
LQLWLDO IRUFHV LQ WKH ILHOG DUH GHIHDWHG 7KLV H[SORLWDWLRQ DQG SXUVXLW FDQ LQYROYH PDQ\ D[HV RI DWWDFN
LQFOXGLQJ²
z 3K\VLFDOVHL]XUHRIVWRUDJHDUHDVFRQWDLQLQJZHDSRQVPXQLWLRQVDQGIXHOVHL]XUHRIVHUYHUIDUPV
UDGLRDQGWHOHYLVLRQVWDWLRQVEDUUDFNVDQGSROLFHVWDWLRQVDQGVHL]XUHRINH\WHUUDLQWKDWFRQWUROV
PRYHPHQWOLNHEULGJHVDQGERUGHUFURVVLQJV
z &RQWURO RI HQHP\ VHFXULW\ VHUYLFHV WR LQFOXGH DFFRXQWDELOLW\ RI WKRVH QRW DOUHDG\ FDSWXUHG RU
FDVXDOWLHV KRZHYHU WUDLQHGPDQSRZHUVKRXOGEHHQFRXUDJHGWRFRQWLQXH VHUYLFH WRFRXQWU\DV
SDUWRIDEHWWHUIXWXUHZKHUHYHUSRVVLEOH
z 5DSLGSK\VLFDOFRQWURORISRSXODWLRQFHQWHUVDQGWKHHVWDEOLVKPHQWRISXEOLFRUGHUEDFNHGE\IRUFH
LQDFFRUGDQFHZLWKWKHUXOHVRIHQJDJHPHQWDQGWKHODZRIODQGZDUIDUH
z 5DSLGDQGFRPSUHKHQVLYHXVHRILQIRUPDWLRQRSHUDWLRQVWRVKDSHSXEOLFRSLQLRQGLVFUHGLWHQHP\
QDUUDWLYHVDQGSURPRWHIULHQGO\QDUUDWLYHV
 'XULQJWKHFRQGXFWRIODUJHVFDOHFRPEDWRSHUDWLRQVWKHVL]HRIFRQVROLGDWLRQDUHDVJHQHUDOO\LQFUHDVH
RYHUWLPHDVGRHVWKHHFKHORQRIFRPPDQGUHVSRQVLEOHIRUWKRVHDUHDV)RUH[DPSOHDGLYLVLRQPD\LQLWLDOO\
DVVLJQ D %&7 UHVSRQVLELOLW\ IRU WKH GLYLVLRQ¶V FRQVROLGDWLRQ DUHD +RZHYHU FRQGLWLRQV FRXOG UHTXLUH WKH
FRPPLWPHQWRIDGGLWLRQDOIRUFHVWRFRQGXFWFRQVROLGDWHJDLQVDFWLYLWLHVLQPXOWLSOHGLYLVLRQFRQVROLGDWLRQ
DUHDV$VGLYLVLRQERXQGDULHVVKLIWWREHWWHUHQDEOHVXFFHVVLQWKHGHHSDQGFORVHDUHDVDFRUSVPD\HVWDEOLVK
DFRUSVFRQVROLGDWLRQDUHD&RUSVZRXOGWKHQDVVLJQDGLYLVLRQWKHUHVSRQVLELOLW\IRUFRQVROLGDWLQJJDLQVLQ
WKHFRUSV¶FRQVROLGDWLRQDUHD(YHQWXDOO\PRVW$UP\XQLWVFDQH[SHFWWRFRQGXFWFRQVROLGDWHJDLQVDFWLYLWLHV
ZKHQ ODUJHVFDOH FRPEDW RSHUDWLRQV DUH FRPSOHWH 2SHUDWLRQV WRFRQVROLGDWH JDLQV UHSUHVHQW D VLJQLILFDQW
WUDQVLWLRQLQIRFXVIRUWKHHFKHORQRIFRPPDQGWDVNHGZLWKWKHPLVVLRQ
 2SHUDWLRQVWRFRQVROLGDWHJDLQVUHTXLUHWKHG\QDPLFH[HFXWLRQRIDUHDVHFXULW\DQGVWDELOLW\WDVNVEDVHG
RQWKHGHVLUHGRSHUDWLRQDOHQGVWDWHWKDWVXSSRUWVWKHVWUDWHJLFREMHFWLYHRIWKHFDPSDLJQ&RQVROLGDWHJDLQV
DFWLYLWLHV LQFOXGH WKH UHORFDWLRQ RI GLVSODFHG FLYLOLDQV UHHVWDEOLVKPHQW RI ODZ DQG RUGHU SURYLGHQFH RI
KXPDQLWDULDQDVVLVWDQFHDQGUHVWRUDWLRQRINH\LQIUDVWUXFWXUH&RQFXUUHQWO\$UP\IRUFHVPXVWEHDEOHWR
DFFRPSOLVK VXFK DFWLYLWLHV ZKLOH VXVWDLQLQJ UHSRVLWLRQLQJ DQG UHRUJDQL]LQJ IRUFHV IRU RQJRLQJ RU IXWXUH
RSHUDWLRQV&RPPDQGHUVPDNHDFRQVFLRXVVKLIWLQHPSKDVLVIURPGHIHDWRIHQHP\IRUFHVLQWKHILHOGWRWKRVH
PHDVXUHVWKDWDGGUHVVWKHORQJWHUPVHFXULW\DQGVWDELOLW\RIDSDUWLFXODUQDWLRQRUDUHDDQGLWVSRSXODWLRQ
7KHJRDOLVWRWUDQVLWLRQFRQWURORYHUWHUULWRU\DQGSRSXODWLRQVWROHJLWLPDWHDXWKRULWLHVLQDZD\WKDWDOORZV
86IRUFHVWRPDNHWKHVWUDWHJLFSRVLWLRQRIUHODWLYHDGYDQWDJHJDLQHGGXULQJFRPEDWRSHUDWLRQVHQGXULQJ
 &RPPDQGHUV PXVW DQDO\]H DOO DYDLODEOH VRXUFHV RI FDSDELOLW\ DQG FDSDFLW\ WR IDFLOLWDWH WKH
FRQVROLGDWLRQ RI JDLQV :KHQ SURSHUO\ FRRUGLQDWHG XQLILHG DFWLRQ SDUWQHUV LQFOXGLQJ 86 DQG IRUHLJQ
JRYHUQPHQWDJHQFLHVLQWHUQDWLRQDODJHQFLHVQRQJRYHUQPHQWDORUJDQL]DWLRQVDQGFRQWUDFWRUVFDQSURYLGH
VLJQLILFDQW UHVRXUFHV 7KH WKHDWHU DUP\ KDV WKH PRVW VLJQLILFDQW UROH LQ WKH SODQQLQJ FRRUGLQDWLRQ DQG
DOORFDWLRQRIUHVRXUFHV,WLV PRVWOLNHO\WKHHQWU\SRLQW IRUERWKFRRUGLQDWLRQDQGLQWURGXFWLRQRI XQLILHG
DFWLRQSDUWQHUFDSDELOLWLHVLQWRDQ$2
 $UP\IRUFHVPXVWGHOLEHUDWHO\SODQDQGSUHSDUHIRUFRQVROLGDWLQJJDLQVWRFDSLWDOL]HRQRSHUDWLRQDO
VXFFHVV3ODQQLQJFRQVLGHUDWLRQVLQFOXGHWDFWLFDORSHUDWLRQDODQGVWUDWHJLFULVNFKDQJHVWRWDVNRUJDQL]DWLRQ
DQGQHZRUDGGLWLRQDODVVHWVUHTXLUHGWRDFKLHYHWKHGHVLUHGHQGVWDWH7KHVHDVVHWVPD\LQFOXGHHQJLQHHUV
PLOLWDU\SROLFH 03 H[SORVLYHRUGQDQFHGLVSRVDO (2' XQLWVFLYLODIIDLUV &$ PHGLFDOVXSSRUWUHTXLUHG
IRUVWDELOLW\WDVNVRUDGGLWLRQDOPDQHXYHUIRUFHVWRFRQGXFWDUHDVHFXULW\WDVNV,QLWLDOO\LWLVOLNHO\WKDW$UP\
IRUFHV ZLOO EH UHVSRQVLEOH IRU LQWHJUDWLQJ DQG RUFKHVWUDWLQJ FRQVROLGDWH JDLQV DFWLYLWLHV $V WKH VHFXULW\
VLWXDWLRQLPSURYHV$UP\IRUFHVPD\WUDQVLWLRQWRVXSSRUWRIRWKHURUJDQL]DWLRQVVXFKDVWKH8QLWHG1DWLRQV
7RFRQVROLGDWHJDLQV$UP\IRUFHVWDNHVSHFLILFDFWLRQV7KHVHDFWLRQVLQFOXGH²

8-2 FM 3-0 6 October 2017


2SHUDWLRQVWR&RQVROLGDWH*DLQV

z &RQGXFWDUHDVHFXULW\)RUFHVFRQGXFWVHFXULW\WDVNVWRGHIHDWHQHP\UHPQDQWVDQGSURWHFWIULHQGO\
IRUFHVURXWHVFULWLFDOLQIUDVWUXFWXUHSRSXODWLRQVDQGDFWLRQVZLWKLQDQDVVLJQHG$2
z &RQGXFW VWDELOLW\ WDVNV )RUFHV LQLWLDOO\ H[HFXWH PLQLPXPHVVHQWLDO VWDELOLW\ WDVNV DQG WKHQ
WKURXJKH[HFXWLQJSULPDU\VWDELOLW\WDVNVWKH\SURYLGHHVVHQWLDOJRYHUQPHQWDOVHUYLFHVHPHUJHQF\
LQIUDVWUXFWXUHUHFRQVWUXFWLRQDQGKXPDQLWDULDQUHOLHI
z ,QIOXHQFHORFDODQGUHJLRQDODXGLHQFHV&RPPDQGHUVFRPPXQLFDWHFUHGLEOHQDUUDWLYHVWRVSHFLILF
DXGLHQFHVWRSUHYHQWLQWHUIHUHQFHDQGXOWLPDWHO\JHQHUDWHVXSSRUWIRURSHUDWLRQV
z (VWDEOLVKVHFXULW\IURPH[WHUQDOWKUHDWV&RPPDQGHUVHQVXUHVXIILFLHQWFRPEDWSRZHULVHPSOR\HG
WR SUHYHQW SK\VLFDO GLVUXSWLRQ IURP WKUHDWV DFURVVWKH YDULRXV GRPDLQV DQG WKH LQIRUPDWLRQ
HQYLURQPHQW
 &RQVROLGDWLQJJDLQVLVQRWWKHVDPHDVXQLWFRQVROLGDWLRQ$UP\IRUFHVURXWLQHO\FRQGXFWFRQVROLGDWLRQ
XSRQ RFFXS\LQJ D QHZ SRVLWLRQ RQ WKH EDWWOHILHOGRU DFKLHYLQJ PLOLWDU\ VXFFHVV&RQVROLGDWLRQLV WKH
RUJDQL]LQJDQGVWUHQJWKHQLQJDQHZO\FDSWXUHGSRVLWLRQVRWKDWLWFDQEHXVHGDJDLQVWWKHHQHP\ )0 
&RQVROLGDWLRQLVD VHFXULW\UHODWHGVHWRIWDVNVWKDW UHSUHVHQWWKHLQLWLDOVWHSVLQ RSHUDWLRQVWRFRQVROLGDWH
JDLQV&RQVROLGDWLRQDFWLYLWLHVLQFOXGH²
z &RQGXFWLQJUHFRQQDLVVDQFH
z (VWDEOLVKLQJVHFXULW\
z (OLPLQDWLQJHQHP\SRFNHWVRIUHVLVWDQFH
z 3RVLWLRQLQJ IRUFHVWR HQDEOH WKHP WR FRQGXFW D KDVW\ GHIHQVH E\ EORFNLQJ SRVVLEOH HQHP\
FRXQWHUDWWDFNV
z $GMXVWLQJILUHSODQQLQJ
z 3UHSDULQJIRUSRWHQWLDODGGLWLRQDOPLVVLRQV
z 6KDSLQJ WKHLQIRUPDWLRQHQYLURQPHQW
6HH)0IRUDQDGGLWLRQDOGLVFXVVLRQRIFRQVROLGDWLRQ 
 :KHQ FRQVROLGDWLQJJDLQV HVWDEOLVKLQJDQG VXVWDLQLQJ VHFXULW\LV WKH XQLW¶V ILUVWSULRULW\:LWKRXW
VHFXULW\WKHDFFRPSOLVKPHQWRIPDQ\ VWDELOLW\WDVNVEHFRPHVSUREOHPDWLF6HFXULW\RSHUDWLRQVZLOOOLNHO\
LQYROYH FRPEDWRSHUDWLRQVDJDLQVWHQHP\UHPQDQWVRULUUHJXODUIRUFHVILJKWLQJRQRUIURPDPRQJWKHORFDO
SRSXODWLRQDQG LQ UHPRWHDUHDVDVZHOODVFULPLQDOHOHPHQWVWDNLQJDGYDQWDJH RIWKHODFNRIFLYLO FRQWURO
IRUFHVLQ D JLYHQ DUHD $ FULWLFDOFRQVLGHUDWLRQIRU$UP\ XQLWV H[HFXWLQJDUHD VHFXULW\WDVNV LV WR DYRLG
DFWLYLWLHVWKDWFUHDWHWKHSHUFHSWLRQRIGRLQJPRUHKDUPWKDQ JRRG'XULQJWKHWUDQVLWLRQIURPODUJHVFDOH
JURXQGFRPEDWWRFRQVROLGDWLRQRIJDLQVFRPPDQGHUVPD\LPSOHPHQWPRUHUHVWULFWLYHUXOHVRIHQJDJHPHQW
WKDQWKRVHXVHGGXULQJODUJHVFDOHFRPEDWRSHUDWLRQV,IFRPPDQGHUVGRQRWPDQDJHWKHDSSOLFDWLRQRIIRUFH
FDUHIXOO\WKHSHUFHSWLRQVRIIULHQGO\IRUFHVDQGWKHORFDOSRSXODWLRQDERXWZKDW FRQVWLWXWHVDFFHSWDEOHOHYHOV
RI YLROHQFH PD\ UDSLGO\ GLYHUJH 7KXV FRPPDQGHUV HVWDEOLVK DQG PDLQWDLQ FRPPXQLFDWLRQVZLWK WKH
SRSXODWLRQWRDVVLVWWKHPLQXQGHUVWDQGLQJWKHRYHUDOOJRDORIPLOLWDU\DFWLRQVDQGKRZWKRVHDFWLRQVEHQHILW
WKHP&DSDELOLWLHVVXFKDVPLOLWDU\LQIRUPDWLRQVXSSRUWRSHUDWLRQV 0,62 SXEOLFDIIDLUVDQGFRPEDWFDPHUD
FDQDVVLVWLQWKLVHIIRUW
 7KH ZLQGRZ RIRSSRUWXQLW\IRUVHWWLQJDJHRJUDSKLFDUHDRQDGHVLUDEOHSDWKWRFRQVROLGDWHJDLQVLV
SRWHQWLDOO\QDUURZ &RPPDQGHUVVKRXOG H[SHFWFRXQWHUDWWDFNVEHORZWKH WKUHVKROGRIRSHQVWDWH RQVWDWH
KRVWLOLWLHV FRQGXFWHG E\ UHPQDQWV RI GHIHDWHG HQHP\ IRUFHV 7KHVH UHPQDQW HQHP\ IRUFHV PD\ EH
FRQYHQWLRQDOLUUHJXODURUFULPLQDO(QHP\DFWLRQVZLOOPRVWOLNHO\LQYROYHDFWLRQVWRLQFLWHFLYLOXQUHVWDQG
XOWLPDWHO\UHVLVWFRQVROLGDWLRQRIJDLQVE\ FRQWLQXLQJWKHFRQIOLFW7KHUHIRUHLIWKH\DUHWRSODQHIIHFWLYHO\
FRPPDQGHUVUHTXLUH VXIILFLHQWVLWXDWLRQDO DZDUHQHVV WR XQGHUVWDQG ZKDW QHHGV WR KDSSHQ ZKDW FDQQRW
KDSSHQ DQG ZKDW FRXOGKDSSHQ LQWKHLU$2 (VWDEOLVKLQJD VXVWDLQDEOHSRVLWLRQRIUHODWLYHDGYDQWDJH WKDW
IDFLOLWDWHVDFKLHYHPHQWRIPLOLWDU\REMHFWLYHVLVWKHJRDODQGDOOFRQVROLGDWHJDLQVWDVNVVKRXOGVXSSRUWWKDW
JRDO
 $UP\ IRUFHVFRQGXFWFRQWLQXRXVUHFRQQDLVVDQFHDQG LIQHFHVVDU\JDLQRUPDLQWDLQ FRQWDFWZLWKWKH
HQHP\WRGHIHDWRUSUHHPSWHQHP\DFWLRQVDQGUHWDLQWKHLQLWLDWLYH&RQVROLGDWLQJJDLQVPD\LQFOXGHDFWLRQV
UHTXLUHG WR GHIHDW DQ\ LVRODWHGRU E\SDVVHG WKUHDW IRUFHV WRLQFUHDVHDUHD VHFXULW\DQG SURWHFWOLQHV RI
FRPPXQLFDWLRQV&RPPDQGHUVHQVXUHWKDWIRUFHVDUHSURSHUO\WDVNRUJDQL]HGDQGSUHSDUHGWRTXLFNO\GHIHDW
UHPDLQLQJFRQYHQWLRQDODQG LUUHJXODUHQHP\IRUFHV'XULQJWKHFRQVROLGDWLRQRIJDLQV $UP\ IRUFHVDUH
UHVSRQVLEOHIRUDFFRPSOLVKLQJERWKWKH PLQLPXPHVVHQWLDOVWDELOLW\WDVNV DQG WKH$UP\ SULPDU\ VWDELOLW\

6 December 2017 FM 3-0, C1 8-3


Chapter 8

WDVNV&RPPDQGHUVPXVWTXLFNO\HQVXUHWKHSHUIRUPDQFHRIPLQLPXPHVVHQWLDOVWDELOLW\WDVNVRISURYLGLQJ
VHFXULW\ IRRG ZDWHU VKHOWHU DQG PHGLFDO WUHDWPHQW 2QFH FRQGLWLRQV DOORZ WKHVH WDVNV DUH D OHJDO
UHVSRQVLELOLW\RI$UP\IRUFHV
 &RPPDQGHUVPD\WUDQVLWLRQPLQLPXPHVVHQWLDOVWDELOLW\WDVNVWRRWKHUIRUFHVRUDSSURSULDWHFLYLOLDQ
RUJDQL]DWLRQVLIWKH\DUHDEOHWRSHUIRUPWKHP)RUH[DPSOHWKHUHPD\EHVXIILFLHQWKRVWQDWLRQFLYLOLDQRU
PLOLWDU\JRYHUQDQFHLQSODFHWRHQVXUHWKDWWKHSRSXODWLRQKDVDGHTXDWHIRRGDQGPHGLFDOFDUH,QWKDWFDVH
$UP\ IRUFHVZRXOGFRQWLQXHFRQVROLGDWLQJJDLQVE\ FRQGXFWLQJWKH$UP\¶V SULPDU\VWDELOLW\WDVNVLQWKHLU
DVVLJQHGDUHDVRIRSHUDWLRQHVWDEOLVKFLYLOVHFXULW\HVWDEOLVKFLYLOFRQWUROUHVWRUHHVVHQWLDOVHUYLFHVVXSSRUW
JRYHUQDQFH VXSSRUW HFRQRPLFDQG LQIUDVWUXFWXUHGHYHORSPHQW DQG FRQGXFW VHFXULW\FRRSHUDWLRQ$UP\
IRUFHVZLOOUHWDLQWKHOHDGDQG SHUIRUPWDVNVWRHVWDEOLVKFLYLOVHFXULW\WKURXJKWKHFRQGXFWRIVHFXULW\IRUFH
DVVLVWDQFH 6)$  (YHQWXDOO\ WKHOHDGIRUWKHRWKHUIRXUWDVNVZLOO WUDQVIHUWRDQRWKHUPLOLWDU\RUFLYLOLDQ
RUJDQL]DWLRQDOWKRXJK$UP\ IRUFHVPD\UHWDLQDVXSSRUWLQJUROH 6HH$'53IRUPRUHLQIRUPDWLRQRQ
VWDELOLW\WDVNV 
 $FWLYLWLHVWRFRQVROLGDWHJDLQVPD\RFFXURYHUDVLJQLILFDQWDPRXQWRIWLPHDQGLQYROYHWUDQVLWLRQVLQ
ERWKIRFXVDQG SDUWQHUV(PSKDVLVZLOOVKLIWIURPDFWLRQVWRHQVXUHWKHGHIHDWRIUHPDLQLQJWKU HDWIRUFHVWR
PHDVXUHVWKDWDGGUHVVWKHQHHGVRIWKHSRSXODWLRQDQG HYHQWXDOO\WRWKHWUDQVIHURIUHVSRQVLELOLW\IURP$UP\
IRUFHVWRDKRVWQDWLRQJRYHUQPHQWLQWHUDJHQF\SDUWQHUVRURWKHURUJDQL]DWLRQV
 $FLYLOLDQSRSXODWLRQ¶VSHUFHSWLRQRIOHJLWLPDF\PD\LQIOXHQFHKRZLWUHDFWVWRPLOLWDU\IRUFHV)RUFHV
HVWDEOLVK FUHGLELOLW\ DQG OHJLWLPDF\ ZLWK ORFDO SRSXODWLRQV WKURXJK WKH ZD\ WKH\ FRQGXFW RSHUDWLRQV
$GYHUVDULHV DUHOLNHO\WRVHHNOHJLWLPDF\E\ DVVXPLQJ UROHVWKDW JDLQ IDYRU ZLWK WKH SRSXODWLRQVXFK DV
UHVROYLQJGLVSXWHVLQIOXHQFLQJNH\VRFLDOOHDGHUVSURYLGLQJHVVHQWLDOVHUYLFHVRUSURYLGLQJSURWHFWLRQIURP
FULPLQDOHOHPHQWV&RQVROLGDWLRQRI JDLQV DFWLYLWLHVPD\ XOWLPDWHO\GHFLGH ZKR SRVVHVVHVWKH DELOLW\ WR
FRPSHOFRQWUROLQIOXHQFHDQGJDWKHUVXSSRUWIURPDSRSXODWLRQ7KHUHIRUHWKURXJKRXWDQRSHUDWLRQ$UP\
OHDGHUVKDYHOHJDODQG PRUDOUHVSRQVLELOLWLHVWRHVWDEOLVKDUHDVHFXULW\DQGUHVWRUHVHUYLFHVZKLOHFRXQWHULQJ
WKHHIIRUWVRIWKRVHZRUNLQJ DJDLQVWIULHQGO\JRDOV 6HH$'53IRUIXUWKHULQIRUPDWLRQRQOHJLWLPDF\
DQGRWKHUVWDELOLW\FRQVLGHUDWLRQV 
 7R ZLQ LQ WKH ODQG GRPDLQ UHTXLUHV$UP\ IRUFHVWR FRQVROLGDWHJDLQV DQG WUDQVLWLRQ DQ $2 WR D
OHJLWLPDWHDXWKRULW\DEOHWRPDLQWDLQVHFXULW\DQGSXEOLFRUGHU5HJDUGOHVVRIWKHVFDOHDQGVFRSHRIFRPEDW
RSHUDWLRQVGHWDLOHG DQG FRQWLQXRXVSODQQLQJ WDVNRUJDQL]LQJ DQG DFFRXQWLQJ IRU WKH HIIHFWVRI FRPEDW
GXULQJ DOO RSHUDWLRQVLV HVVHQWLDOWRDFKLHYLQJ WKH GHVLUHGHQG VWDWH$FKLHYLQJ D VXVWDLQDEOH SRVLWLRQRI
UHODWLYHDGYDQWDJH DFURVVGRPDLQVDQGLQWKHLQIRUPDWLRQHQYLURQPHQWUHTXLUHVXQLILHGDFWLRQDQGDJJUHVVLYH
OHDGHUVKLS

7+5($76727+(&2162/,'$7,212)*$,16
7KHPHULWRIDQDFWLRQOLHVLQILQLVKLQJLWWRWKHHQG
*HQJKLV .KDQ

 $Q HQHP\RUDGYHUVDU\DWWHPSWVWRSUHYHQWHIIHFWLYHFRQVROLGDWLRQRIJDLQVLQRUGHUWRJDLQWLPHIRUD


IDYRUDEOHSROLWLFDOVHWWOHPHQWVHWFRQGLWLRQVIRUSURWUDFWHGUHVLVWDQFHDQGDOWHUWKHQDWXUHRIWKHFRQIOLFWWR
VXLWLWVSRVLWLRQVRIUHODWLYHDGYDQWDJH$QHQHP\RUDGYHUVDU\ZLOOWDUJHWERWKIULHQGO\IRUFHVDQGSRSXODWLRQV
LQDYDULHW\IRUZD\V
 7KUHDWLQIRUPDWLRQZDUIDUHDFWLYLWLHVZLOOIRFXVRQERWKDOWHULQJWKHYDOXHRIFRQWLQXHGRSHUDWLRQVWR
WKH8QLWHG6WDWHVDQGDOWHULQJWKHSHUFHLYHGYDOXHWRRWKHUDFWRUVRIFRQWLQXLQJWRDFWLQDPDQQHUFRLQFLGHQW
WR WKH LQWHUHVWVRI WKH 8QLWHG 6WDWHV 7KLV HIIRUWVHHNVWR XQGHUPLQH WKH DXWKRULW\ DQG HIIHFWLYHQHVVRI
JRYHUQLQJHOHPHQWVDFWLQJLQFRQFHUWZLWK86IRUFHV
 7KUHDW IRUFHVZLOOH[SORLWDQ\ ODFNRIFXOWXUDOXQGHUVWDQGLQJGLVSOD\HGE\ 86 IRUFHV7KUHDWIRUFHV
ZLOO FRQGXFWLQIRUPDWLRQFDPSDLJQV WKDW SRUWUD\D 8QLWHG 6WDWHVEHQW RQ SROLWLFDODQG HFRQRPLFJOREDO
GRPLQDWLRQ7KH\ZLOOSDLQW86PLOLWDU\IRUFHVDVEUXWDODQGXQFRQVWUDLQHGE\WKHDFFHSWHGUXOHVRIZDUIDUH
7KH\ZLOOVHHNUHFUXLWVIURPSRSXODWLRQVDOLHQDWHGE\86IRUFHV

8-4 FM 3-0, C1 6 December 2017


2SHUDWLRQVWR&RQVROLGDWH*DLQV

 7KUHDW IRUFHVZLOO VHHNWRVKLIWWKH QDWXUH RI WKH FRQIOLFW LQ ZD\V WKDW IDYRU WKHLUFDSDELOLWLHV DQG
GLVFUHGLWWKHVWDWHGJRDOVRIIULHQGO\IRUFHV7KUHDW IRUFHVZLOO VHHN WR SUHYHQW FRQVROLGDWLRQ DUHDV IURP
EHFRPLQJVHFXUHHQRXJKWRSHUPLWVXEVWDQWLDOVWDELOLW\DFWLYLWLHV
 7KUHDWIRUFHVZLOOH[SORLWVRFLDODVSHFWVRIWKHHQYLURQPHQWIRUSURWHFWLRQDQGIUHHGRPWRPDQHXYHU
7KH\ FDQGRWKLVE\XVLQJUHOLJLRXVPHGLFDODQG RWKHUVHQVLWLYHIDFLOLWLHVDVVDQFWXDULHVFRQFHDOLQJIRUFHV
DPRQJSRSXODWLRQVDQGLQIOXHQFLQJSRSXODWLRQVWRRSSRVHIULHQGO\IRUFHV
 )ULHQGO\IRUFHVVKRXOGDQWLFLSDWHWKDWRSHUDWLRQVWRFRQVROLGDWHJDLQVZLOO EHRSSRVHG7KUHDW IRUFHV
DUHOLNHO\WRH[SORLWDQ\RSSRUWXQLW\DVORQJDVWKH\UHWDLQWKHZLOOWRUHVLVW$GYHUVDULHVSURPRWHLQVWDELOLW\
E\ HQFRXUDJLQJ FRPSHWLWLRQIRUUHVRXUFHVSURPRWLQJ UHVLGXDOWHUULWRULDOFODLPVFUHDWLQJ HWKQLFWHQVLRQ
VXSSRUWLQJUHOLJLRXVIDQDWLFLVPDQGSRVLWLRQLQJSUR[LHVLQWKHJRYHUQPHQW+LVWRULFDOO\ IRUH[DPSOHLQWKH
3KLOLSSLQHV9LHWQDP$IJKDQLVWDQDQG,UDT DSURWUDFWHGLQVXUJHQF\FDQUHYHUVHFRQYHQWLRQDOPLOLWDU\JDLQV
 (QHP\ IRUFHVZLOO OLNHO\ FRQWLQXH WR ILJKW HYHQ DIWHU IULHQGO\ IRUFHVDWWDLQ WKHLU LQLWLDO PLOLWDU\
REMHFWLYHVLQWKHFORVHDUHD6RPHHQHP\IRUPDWLRQVPD\EHLQWHQWLRQDOO\RUXQLQWHQWLRQDOO\E\SDVVHGGXULQJ
FORVHRSHUDWLRQVDVIULHQGO\IRUFHVDUHIRFXVHGRQWKHGHFLVLYHHIIRUW$QHQHP\LVOLNHO\WRPDLQWDLQOLPLWHG
FRQYHQWLRQDOFDSDELOLWLHVUREXVWLUUHJXODUFDSDELOLWLHVDQGDQDUUD\RIGLVUXSWLYHFDSDELOLWLHV$QHQHP\PD\
DWWHPSW WR PRYH UHPDLQLQJ DVVHWVDQG FDSDELOLWLHVLQWR VDQFWXDU\ ORFDWLRQV(TXLSPHQW DQG DPPXQLWLRQ
VWRFNSLOHVQRWGHVWUR\HGGXULQJFRPEDWRSHUDWLRQVPD\EHREWDLQHGE\ RWKHUDFWRUVFDFKHGIRUODWHUXVHRU
PRYHG WRVDQFWXDU\ DUHDV5HJLRQDODGYHUVDULHVPD\ DVVLVWDQ HQHP\E\ SURYLGLQJ SUR[\VXSSRUWWKURXJK
RWKHUUHJLRQDODFWRUV

&2162/,'$7,21$5($)5$0(:25.
 'XULQJODUJHVFDOHFRPEDWRSHUDWLRQVDFRQVROLGDWLRQDUHDUHIHUVWRDQ$2WKDWH[WHQGVIURPDKLJKHU
HFKHORQKHDGTXDUWHUVERXQGDU\ WRWKHERXQGDU\ RIIRUFHVLQWKHFORVHDUHD7KHFRQVROLGDWLRQDUHDLVZKHUH
IRUFHVKDYH HVWDEOLVKHGD OHYHO RIFRQWUROWKDWDOORZV WKHSHUIRUPDQFHRIWDVNVWRFRQVROLGDWHJDLQV 7KH
FRQVROLGDWLRQDUHDPD\ RUPD\ QRWFRQWDLQVXSSRUWDUHDVWKDWDUHIRFXVHGRQVXSSRUWWRIRUZDUGGHSOR\HG
XQLWV$VVLJQLQJDFRQVROLGDWLRQDUHDWRDVXERUGLQDWHKHDGTXDUWHUVDOORZVWKHKLJKHUHFKHORQKHDGTXDUWHUV
WRDGHTXDWHO\IRFXVUHVRXUFHVRQFORVHRSHUDWLRQVDQG DOORZVDVXERUGLQDWHKHDGTXDUWHUVWRPDNHSURJUHVV
WRZDUGV FRQVROLGDWLQJ JDLQV DQG DFKLHYLQJ GHVLUHG REMHFWLYHV ,W LV WKH ILUVW VWHS WRZDUGV WKH RYHUDOO
FRQVROLGDWLRQRIJDLQVGXULQJODUJHVFDOHFRPEDWRSHUDWLRQV)LJXUH RQSDJH VKRZVFRUSVDQGGLYLVLRQ
FRQVROLGDWLRQDUHDVZLWKLQDJHRJUDSKLFIUDPHZRUNRIODUJHVFDOHFRPEDWRSHUDWLRQV
 ,IVXSSRUWDUHDVDUHVXUURXQGHGE\ DFRQVROLGDWLRQDUHDWKHKLJKHUHFKHORQKHDGTXDUWHUVPXVWFOHDUO\
DUWLFXODWHWKHUROHVDQGUHVSRQVLELOLWLHVIRUFRQWUROOLQJVXSSO\URXWHVWUDQVLWLRQLQJWKHDUHDWKHFOHDUDQFHRI
ILUHV DQG DLUVSDFH FRQWURO DXWKRULWLHV &RPPDQGHUV FOHDUO\ GHILQH UROHV DQG UHVSRQVLELOLWLHVWR DOORZ
VXVWDLQPHQWXQLWVWRIRFXVRQWKHLUSULPDU\IXQFWLRQV
 &RQVROLGDWLRQDUHDDFWLYLWLHVUHTXLUHD EDODQFLQJ RIDUHDVHFXULW\DQG VWDELOLW\WDVNV$ XQLW DVVLJQHG
WKHUHVSRQVLELOLW\IRUDFRQVROLGDWLRQDUHDPD\QRWVLPXOWDQHRXVO\SHUIRUPDOOW\SHVRIWDVNV,WPD\LQLWLDOO\
IRFXVRQVHFXULW\WDVNVDQG PLQLPXPHVVHQWLDOVWDELOLW\WDVNV2QFHWKHWKUHDWLQWKHFRQVROLGDWLRQDUHDKDV
GLPLQLVKHGFRPPDQGHUVPD\H[SDQG WKHLUHIIRUWVWRWKHPRUHGHOLEHUDWHFRQGXFWRISULPDU\VWDELOLW\WDVNV
DQG DW VRPHSRLQWLQWLPHPD\ IDFLOLWDWHWUDQVLWLRQRIVRPHDFWLYLWLHVWRIROORZRQXQLWVRURWKHUXQLILHG
DFWLRQSDUWQHUV
 'LYLVLRQVDQG FRUSVDVVLJQ VXERUGLQDWHXQLWV UHVSRQVLELOLW\IRUFRQVROLGDWLRQDUHDV WRSUHVHUYHWKH
WHPSRRIRSHUDWLRQV&RPPDQGHUVDVVLJQFRQVROLGDWLRQDUHDVWRXQLWVLQDIROORZDQGVXSSRUWUROHWRDYRLG
SXOOLQJ FRPEDW SRZHU IURP WKH FORVHDQG GHHS DUHDV 8QLWV DVVLJQHG D FRQVROLGDWLRQDUHD UHTXLUHWKH 
FDSDELOLW\WRFRQGXFWGHFLVLYHDFWLRQZKLFKLQFOXGHVRIIHQVLYHGHIHQVLYHDQGVWDELOLW\WDVNVWRGHIHDWHQHP\
UHPQDQWVRUE\SDVVHGIRUFHVDQGSUHVHUYHIUHHGRPRIDFWLRQIRUWKHLUKLJKHUKHDGTXDUWHUV7KHFRQVROLGDWLRQ
DUHDJHQHUDOO\UHGXFHVWKHVL]HRIWKHVXSSRUWDUHDDQG LPSURYHVLWVVHFXULW\DOORZLQJXQLWVLQWKHVXSSRUW
DUHDWRIRFXVSULPDULO\RQIXQFWLRQDOWDVNVDQGWKHORFDOVHFXULW\RIEDVHFOXVWHUVDQGURXWHV

Note$ FRQVROLGDWLRQDUHDUHTXLUHVDGGLWLRQDOFRPEDWSRZHUDQG LVQRWLQWHQGHGWRGUDZ IRUFHV


IURPWKHFORVHRUGHHSDUHD7KHDWHUDUPLHVLQFRRUGLQDWLRQZLWKFRUSVPXVWSODQIRUDQGUHTXHVW
IRUFHVIRUWKHFRQVROLGDWLRQDUHD

6 December 2017 FM 3-0, C1 8-5


Chapter 8

 &RPPDQGHUVVKRXOGSODQIRUFRQVROLGDWLRQDUHDVHDUO\LQWKHSODQQLQJSURFHVVDQGDVVLJQIRUFHVWRWKH
FRQVROLGDWLRQDUHDVDVVRRQDVSRVVLEOHLQRUGHUWRDOORZFRPEDWIRUFHVWRH[WHQGRSHUDWLRQVLQWKHFORVHDQG
GHHSDUHDV$NH\FRPSRQHQWRIWKLVLVUHTXHVWLQJFULWLFDODXWKRULWLHVWRHQVXUHHIIHFWLYHDSSOLFDWLRQRIVXFK
WKLQJVDVUXOHVRIHQJDJHPHQWGLUHFWOLDLVRQF\EHUVSDFHPLVVLRQVDQGLQIRUPDWLRQRSHUDWLRQV%\VPRRWKO\
WUDQVLWLRQLQJFRQVROLGDWLRQDUHDV WRIROORZRQIRUFHV DVFORVHDUHDV DUH VHFXUHGWKH FRPPDQGHUHQDEOHV
FRPEDWIRUFHVLQGHHSRSHUDWLRQVWRPDLQWDLQWKHLQLWLDWLYHDQGPDQHXYHUZLWKRXWORVVRIPRPHQWXP

+Figure 8-1. Consolidation area during large-scale combat operations

 %RXQGDULHVIRUWKHGLYLVLRQDQG FRUSVFRQVROLGDWLRQDUHDVPD\ VKLIWWRUHIOHFWWKHFDSDELOLWLHVRIWKH


XQLWVDVVLJQHGWKHPDQG WKHPRYHPHQWRIIULHQGO\IRUFHV&RPPDQGHUVSXUSRVHIXOO\WDVNRUJDQL]HXQLWVWR
FRQVROLGDWHJDLQVEDVHGRQVHFXULW\RIWKHXQLWLWVHOIGHIHDWRIHQHP\UHPQDQWVZLWKLQWKHFRQVROLGDWLRQDUHD
VHFXULW\RIWKHOLQHVRIFRPPXQLFDWLRQVVHFXULW\RIWKHVXSSRUWDUHDDQG PLQLPDOHVVHQWLDOVWDELOLW\WDVNV
2QFH WKH ERXQGDULHV RI WKH GLYLVLRQ FRQVROLGDWLRQ DUHD EHFRPH IL[HG IRU ORQJHU SHULRGV XQLWV LQ WKH
FRQVROLGDWLRQDUHDZLOOKDYH RSSRUWXQLWLHVWRH[SDQGVWDELOLW\WDVNVZLWKLQ WKHLU$2V$FRUSVFRQVROLGDWLRQ
DUHDPD\ JHWODUJHUZLWK WKHLQWHQWRIKDQGLQJ RYHU UHVSRQVLELOLW\IRUSRUWLRQVRILWV$2 WRKRVWQDWLRQRU
RWKHUIRUFHVDVWKH\EHFRPHDYDLODEOH
 2YHUWLPHXQLWVDVVLJQHGDFRQVROLGDWLRQDUHDFRQWLQXRXVO\LPSURYHWKHVHFXULW\DQGVWDELOLW\RIWKHLU
$2V 7KLV LVVLPLODUWRWKHZD\ XQLWVLQWKHGHIHQVHFRQWLQXRXVO\LPSURYHWKHLUSRVLWLRQV7KLVPHDQVWKDW
WKHFRQVROLGDWLRQDUHDFRPPDQGHUUHTXHVWVVXSSRUWDQGDGGLWLRQDOFDSDELOLWLHVWKURXJKWKHGLYLVLRQRUFRUSV
KHDGTXDUWHUV ZKHQ WKH FRPPDQGHU LV UHTXLUHG WR PDNH DGGLWLRQDO SURJUHVV 5HTXHVWV FRXOG LQFOXGH
QRQJRYHUQPHQWDO RUJDQL]DWLRQ SUHVHQFHWR DFFRPSOLVK VSHFLILFWDVNV RU KRVWQDWLRQ IRUFHVLQ RUGHU WR
IDFLOLWDWHDWUDQVLWLRQRIFRQWUROIURPWKHXQLWWRDOHJLWLPDWHFLYLOLDQDXWKRULW\

8-6 FM 3-0, C1 6 December 2017


2SHUDWLRQVWR&RQVROLGDWH*DLQV

 8OWLPDWHO\PRVW$UP\PDQHXYHUIRUFHVPD\EHDVVLJQHGFRQVROLGDWLRQDUHDVZKHQWKHRYHUDOOIRFXV
RIRSHUDWLRQVKDVWUDQVLWLRQHGIURPODUJHVFDOHFRPEDWRSHUDWLRQVWRFRQVROLGDWLQJJDLQV:KHQWKLVKDSSHQV
WKHRSHUDWLRQDOIUDPHZRUNWUDQVLWLRQVIURPRQHVXLWHGIRUODUJHVFDOHFRPEDWRSHUDWLRQVWRRQHWKDWDFFRXQWV
IRU WKH FKDQJH RI IRFXV 7\SLFDOO\ FRQVROLGDWLRQDUHDV ZLOO FRQVLVWRI FRQWLJXRXV XQLW ERXQGDULHV WKDW
IDFLOLWDWHDVVLJQLQJUHVSRQVLELOLW\IRUDUHDVHFXULW\DQG FRQWURORISK\VLFDOWHUUDLQWRVXERUGLQDWHHFKHORQV
&KDQJLQJWKHRSHUDWLRQDOIUDPHZRUNPD\UHTXLUHVLJQLILFDQWUHSRVLWLRQLQJRIXQLWVDQGSRWHQWLDOO\FKDQJLQJ
WDVNRUJDQL]DWLRQ
 &RPPDQGHUVPD\ GHFLGHWRSODFHWKHVXSSRUWDUHDZLWKLQ WKHFRQVROLGDWLRQDUHDGXULQJ ODUJH VFDOH
FRPEDWRSHUDWLRQVWREHWWHUVHFXUHLW:KHQSODFLQJWKHVXSSRUWDUHDLQVLGHDFRQVROLGDWLRQDUHDWKHKLJKHU
HFKHORQKHDGTXDUWHUV DVVLJQV FOHDU UROHVDQG UHVSRQVLELOLWLHVIRU WKH DIIHFWHGVXERUGLQDWH KHDGTXDUWHUV
&RPPDQGHUVDOORFDWHVXIILFLHQWFRPEDWSRZHUWRDGGUHVVWKHUHTXLUHPHQWVDQGWKHWDVNVDVVRFLDWHGZLWKERWK
DUHDV7KH DGYDQWDJHV RISODFLQJ WKHVXSSRUWDUHD LQVLGHD FRQVROLGDWLRQDUHDLQFOXGHXQLW\ RIHIIRUWDQG
DOLJQPHQWRIXQLWFDSDELOLWLHVZLWKSURSHUO\VL]HGDUHDVRIRSHUDWLRQ$%&7DVVLJQHGDGLYLVLRQFRQVROLGDWLRQ
DUHD KDV RUJDQLFFRPELQHGDUPV DQG DLUVSDFHFRQWUROFDSDELOLWLHVWKDW DOORZ WKH PDQHXYHU HQKDQFHPHQW
EULJDGH 0(% DQG VXVWDLQPHQWXQLWVWRIRFXVRQVXSSRUWWRFORVHDQGGHHSRSHUDWLRQVDQG QRWKDYH WREH
FRQFHUQHGZLWKE\SDVVHGHQHP\IRUPDWLRQVRUFOHDUDQFHRIILUHV7KHPDQHXYHUHQKDQFHPHQWEULJDGHUHWDLQV
UHVSRQVLELOLW\IRUVHFXULW\RIWKHVXVWDLQPHQWEDVHFOXVWHUVDQG URXWHVXSRQZKLFK WKH\WUDQVLWLQ WKHFORVH
DUHD ZKLOHWKHXQLW DVVLJQHGWKHFRQVROLGDWLRQDUHD PDLQWDLQVUHVSRQVLELOLW\IRUWKHUHPDLQGHURIWKHDUHD
EHWZHHQWKHEULJDGHDQGGLYLVLRQUHDUERXQGDULHV
 'XULQJ RSHUDWLRQV WKHUH PD\ EH RWKHU FRUSV DQG GLYLVLRQ DVVHWV SRVLWLRQHG ZLWKLQ WKH GLYLVLRQ
FRQVROLGDWLRQDUHDEXWRXWVLGHRIDGHVLJQDWHGVXSSRUWDUHD0DLQWDLQLQJVLWXDWLRQDODZDUHQHVVRIWKHYDULRXV
IULHQGO\DQG HQHP\IRUPDWLRQVOLNHO\WREHORFDWHGLQWKHFRQVROLGDWLRQDUHDLVFULWLFDO$VWKHWHUUDLQRZQHU
DQG PDQDJHU WKH FRPPDQGHU UHVSRQVLEOH IRU WKH FRQVROLGDWLRQ DUHD LV UHVSRQVLEOH IRU DGYLVLQJ DQG
GHFRQIOLFWLQJIULHQGO\ WHUUDLQPDQDJHPHQW ZLWK KLJKHU KHDGTXDUWHUV 'LYLVLRQ PD\ FKRRVHWR HVWDEOLVKD
VXSSRUW DUHD FRPPDQG SRVW 6$&3  OHG E\ DQ DVVLVWDQW GLYLVLRQFRPPDQGHU WRKHOS PDQDJH ERWK WKH
VXSSRUWDQG FRQVROLGDWLRQDUHDV 6HHFKDSWHUIRUDGLVFXVVLRQRIFRPPDQGSRVWV>&3V@DQGWKHGLYLVLRQ
6$&3 

&2162/,'$7,212)*$,16$&7,9,7,(6
:DULVPRUHWKDQDWUXHFKDPHOHRQWKDWVOLJKWO\DGDSWVLWVFKDUDFWHULVWLFVWRWKHJLYHQFDVH
$VDWRWDOSKHQRPHQRQLWVGRPLQDQWWHQGHQFLHVDOZD\VPDNHZDUDSDUDGR[LFDOWULQLW\²
FRPSRVHGRISULPRUGLDOYLROHQFHKDWUHGDQGHQPLW\ZKLFKDUHWREHUHJDUGHGDVDEOLQG
QDWXUDOIRUFHVRIWKHSOD\RIFKDQFHDQGSUREDELOLW\ZLWKLQZKLFKWKHFUHDWLYHVSLULWLVIUHH
WRURDPDQGRILWVHOHPHQWRIVXERUGLQDWLRQDVDQLQVWUXPHQWRISROLF\ZKLFKPDNHVLW
VXEMHFWWRUHDVRQDORQH
&DUOYRQ&ODXVHZLW]

 1RUPDOO\PRVWRIDXQLW¶VHIIRUWVDUHIRFXVHGRQWKHSHUIRUPDQFHRIDUHDVHFXULW\WDVNVDWWKHRQVHWRI
RSHUDWLRQVWRFRQVROLGDWHJDLQV$UHDVHFXULW\LQFOXGHVDFWLYLWLHVWRSURWHFWIULHQGO\IRUFHVLQVWDOODWLRQVDQG
URXWHVZLWKLQ D VSHFLILFDUHD7KH SURWHFWHGIRUFHVDQG LQVWDOODWLRQVPD\ EH WKHFLYLOLDQ SRSXODWLRQFLYLO
LQVWLWXWLRQVDQG FLYLOLDQ LQIUDVWUXFWXUH7KH ZHLJKW RIHIIRUWZLOOVKLIWWRZDUG WKHSHUIRUPDQFHRIVWDELOLW\
WDVNVDVRSHUDWLRQVSURJUHVV8OWLPDWHO\DPLOLWDU\FRPPDQGHUZLOOWUDQVIHUFRQWURORIWKHDUHDWRDOHJLWLPDWH
FLYLOLDQ DXWKRULW\ 7KHUHIRUH ZKHQ FRQVLGHULQJ IRUFH VWUXFWXUH FRPPDQGHUV VKRXOG FRQVLGHU WKH
SURJUHVVLRQRIFDSDELOLWLHVUHTXLUHGRYHUWLPHDVDUHDVHFXULW\DQGPLQLPDOHVVHQWLDOVWDELOLW\REMHFWLYHVDUH
PHWZLWKLQWKHFRQVROLGDWLRQDUHD
 8QLWVSHUIRUPLQJDUHDVHFXULW\WDVNVUHTXLUHDIRUFHVWUXFWXUHFDSDEOHRISHUIRUPLQJWKHWDVNVUHTXLUHG
7KLV UHTXLUHVD WDVN RUJDQL]DWLRQ WKDW DGGUHVVHVWKH ZDUILJKWLQJ IXQFWLRQVDV DSSURSULDWH WR WKH FXUUHQW
RSHUDWLRQDOYDULDEOHV ZLWKLQ WKH DVVLJQHG FRQVROLGDWLRQDUHD 7KH XQLW FRQGXFWLQJ FRQVROLGDWLRQRI JDLQV
UHIRFXVHVLWVSULRULWLHVWRZDUGWKHSHUIRUPDQFHRIWKHLQLWLDOUHVSRQVHWDVNVIRUWKHVL[SULPDU\VWDELOLW\WDVNV
DVWKHVHFXULW\VLWXDWLRQVWDELOL]HV 6HH$73IRUDGLVFXVVLRQRIWKHVHLQLWLDOUHVSRQVHWDVNV 
 7KLV UHIRFXVLQJRI SULRULWLHVZLOO UHTXLUHD IRUFHUHVWUXFWXULQJIRUPRUH WDFWLFDOXQLWV FDSDEOH RI
KRUL]RQWDODQGYHUWLFDOHQJLQHHULQJ&$PLOLWDU\LQIRUPDWLRQVXSSRUWFRPPXQLFDWLRQVORJLVWLFVSURWHFWLRQ
DVVHWVDQGRWKHUFULWLFDOVWDELOLW\UHODWHGFDSDELOLWLHV)RUFHVWDVNHGZLWKWKHFRQVROLGDWLRQRIJDLQVVKRXOGEH

6 December 2017 FM 3-0, C1 8-7


Chapter 8

WDLORUHG WDVNRUJDQL]HG IRUWKHVHWDVNV)RUH[DPSOHPHGLFDOSHUVRQQHOPD\EHQHFHVVDU\LQWKHVKRUWWHUP


WRSURYLGHLPPHGLDWHPHGLFDOWUHDWPHQW(QJLQHHUDVVHWVPD\ EHJLYHQ RQRUGHUPLVVLRQVWRLPSURYHFLYLO
LQIUDVWUXFWXUHDVWKHFRQGLWLRQVLPSURYH&$ SHUVRQQHOZLOOKDYH D ODUJHUROHLQDVVHVVLQJWKHVLWXDWLRQDQG
SURYLGLQJJXLGDQFHWRWKHFRPPDQGHURQWKHSULRULWL]DWLRQRIDOORFDWHGUHVRXUFHV

$5($ 6(&85,7< 23(5$7,216


 %\ GHILQLWLRQ DUHD VHFXULW\ RSHUDWLRQVIRFXV RQ WKH SURWHFWHGIRUFHLQVWDOODWLRQ URXWH RU DUHD
3URWHFWHGIRUFHVUDQJHIURPHFKHORQKHDGTXDUWHUVWKURXJK DUWLOOHU\DQG HFKHORQUHVHUYHVWRWKHVXVWDLQLQJ
EDVH3URWHFWHGLQVWDOODWLRQVFDQDOVREHSDUWRIWKHVXVWDLQLQJEDVHRUWKH\FDQFRQVWLWXWHSDUWRIWKHDUHD¶V
LQIUDVWUXFWXUH$UHDVWRVHFXUHLQ WKHFRQVROLGDWLRQRIJDLQVPD\ UDQJHIURPVSHFLILFSRLQWV IRUH[DPSOH
EULGJHVDQG GHILOHV DQGWHUUDLQIHDWXUHV LQFOXGLQJULGJHOLQHVDQG KLOOV WRODUJHFLYLOLDQSRSXODWLRQFHQWHUV
DQG WKHLUDGMDFHQWDUHDV3RSXODWLRQFHQWULFDUHDVHFXULW\PLVVLRQVDUHFRPPRQDFURVVWKHUDQJHRIPLOLWDU\
RSHUDWLRQVEXWWKH\DUHDOPRVWDUHTXLUHPHQWGXULQJLUUHJXODUZDUIDUH7KHVHSRSXODWLRQFHQWULFDUHDVHFXULW\
RSHUDWLRQVW\SLFDOO\FRPELQHDVSHFWVRI WKHDUHD GHIHQVHDQG RIIHQVLYHWDVNV OLNH VHDUFK DQG DWWDFN DQG
FRUGRQDQGVHDUFKWRHOLPLQDWHLQWHUQDOGHIHQVHWKUHDWV

2SHUDWLRQVWR&RQVROLGDWH*DLQV/X]RQ

2Q -DQXDU\HOHPHQWV RIWKH 866L[WK $UP\ODQGHG RQWKHLVODQG RI/X]RQ


LQ WKH 3KLOLSSLQHV DQG UDSLGO\ EURNH RXW RI WKHLU EHDFKKHDG WRZDUGV WKH FDSLWDO RI
0DQLOD $IWHUWZR PRQWKV RIKHDY\ ILJKWLQJWKH WHQ $PHULFDQGLYLVLRQV FRPPLWWHG WR
WKH FDPSDLJQ RYHUFDPH DOO UHVLVWDQFH LQWKH GHQVHO\SDFNHG FLW\DQG WKH VXUYLYLQJ
-DSDQHVHIOHGWRWKHPRXQWDLQRXV DQGUHPRWH UHJLRQVRIWKHLVODQG

,QRUGHUWR FRQVROLGDWH WKHVH KDUGZRQ JDLQV6ROGLHUV EHJDQ DWRQFHWR UHHVWDEOLVK


ODZ DQG RUGHU ILUVW XQGHU D PLOLWDU\ JRYHUQPHQW EXW ODWHU WUDQVLWLRQLQJ WR ORFDO
DXWKRULWLHV 7KH -DSDQHVH KDGH[SRUWHG PRVW RIWKH LVODQG’V ULFHFURSWR WKHLUKRPH
LVODQGVDQGWKHFLWL]HQVUHTXLUHGDPDVVLYH LQIXVLRQRIIRRGWRSUHYHQW DIDPLQH$OOLHG
SULVRQHUV RIZDU OLEHUDWHG IURP FDPSV DFURVVWKH LVODQG QHHGHG LPPHGLDWH PHGLFDO
FDUH0XFKRIWKH LVODQG’V LQIUDVWUXFWXUHHVSHFLDOO\DURXQG 0DQLOD KDG WR EHUHEXLOW
LQFOXGLQJYLWDO EULGJHVDQGSRUWVHVVHQWLDO WRPRYLQJ VXSSOLHV $WWKHVDPHWLPH XQLWV
RI WKH (LJKWK $UP\ ZHUH VWLOO HQJDJHG LQ FRPEDW LQ PDQ\ RI WKH RXWO\LQJ LVODQGV
DWWHPSWLQJ WRUHGXFHWKHODVW SRFNHWVRI-DSDQHVHUHVLVWDQFH

'HVSLWH WKHVHFKDOOHQJHV E\WKH8QLWHG 6WDWHV HIIHFWLYHO\SDVVHG FRQWURORIWKH


LVODQGVWRWKH3KLOLSSLQHJRYHUQPHQW &RPPHUFHKDGUHVXPHGDQGPRVW 86FRPEDW
IRUFHVKDGVXFFHVVIXOO\UHGHSOR\HG7KRXJKVLJQLILFDQWFKDOOHQJHVUHPDLQHGLQFOXGLQJ
WKHWKUHDWRIDQLQVXUJHQF\E\WKHFRPPXQLVW +XNV WKHLVODQGV KDGDIXQFWLRQLQJFLYLO
JRYHUQPHQW VWURQJHQRXJKWRFRXQWHUWKHWKUHDW

+LVWRULDQVDWWULEXWHWKHVXFFHVVRI86IRUFHVWRSULRUSODQQLQJDQGHIIHFWLYHH[HFXWLRQ
RIRSHUDWLRQV WKDW GHWHUUHG RSSRVLWLRQ IRUFHVDQG SUHYHQWHG VLJQLILFDQW YLROHQFH DQG
WKHEUHDNGRZQ RIFLYLORUGHU

 $UHD VHFXULW\IRUFHV PXVWUHWDLQUHDGLQHVVRYHU ORQJSHULRGVZLWK LQWHUPLWWHQWH QHP\FRQWDFW 7KH


HQHP\QRUPDOO\WULHVWRDYRLG HQJDJLQJ IULHQGO\IRUFHVH[FHSWRQIDYRUDEOHWHUPV)RUFHVSHUIRUPLQJDUHD
VHFXULW\WDVNV VKRXOG QRW GHYHORS D IDOVH VHQVH RI VHFXULW\HYHQ LI WKH HQHP\ DSSHDUV WR KDYH FHDVHG
RSHUDWLRQVLQD SDUWLFXODUDUHD&RPPDQGHUVPXVWDVVXPHWKDWWKHHQHP\LVREVHUYLQJIULHQGO\RSHUDWLRQV
DQGLVVHHNLQJWKHRSSRUWXQLW\WRDWWDFN

6HDUFK DQG$WWDFN
 $VSDUWRIDUHDVHFXULW\WKHFRQVROLGDWLRQRIJDLQVIRUFHPD\KDYH WRLGHQWLI\DQGGHVWUR\UHPDLQLQJ
SRFNHWVRIHQHP\IRUFHV6HDUFKDQGDWWDFNLVDWHFKQLTXHIRUFRQGXFWLQJDPRYHPHQWWRFRQWDFWWKDWVKDUHV

8-8 FM 3-0, C1 6 December 2017


2SHUDWLRQVWR&RQVROLGDWH*DLQV

PDQ\RIWKHFKDUDFWHULVWLFVRIDQDUHDVHFXULW\PLVVLRQ )0 &RPPDQGHUVFRQGXFWDVHDUFKDQGDWWDFN


IRURQHRUPRUHRIWKHIROORZLQJSXUSRVHV
z 'HVWUR\WKHHQHP\UHQGHUHQHP\XQLWVLQWKH$2FRPEDWLQHIIHFWLYH
z 'HQ\WKHDUHDSUHYHQWWKHHQHP\IURPRSHUDWLQJXQKLQGHUHGLQDJLYHQDUHD IRUH[DPSOHLQDQ\
DUHDWKHHQHP\LVXVLQJIRUDEDVHFDPSRUIRUORJLVWLFVVXSSRUW 
z 3URWHFWWKHIRUFHSUHYHQWWKHHQHP\IURPPDVVLQJWRGLVUXSWRUGHVWUR\IULHQGO\PLOLWDU\RUFLYLOLDQ
RSHUDWLRQVHTXLSPHQWSURSHUW\DQGNH\IDFLOLWLHV
z &ROOHFWLQIRUPDWLRQJDLQLQIRUPDWLRQDERXWWKHHQHP\DQGWKHWHUUDLQWRFRQILUPWKHHQHP\FRXUVH
RIDFWLRQSUHGLFWHGE\WKHLQWHOOLJHQFHSUHSDUDWLRQRIWKHEDWWOHILHOG ,3% SURFHVV
 $ FRPPDQGHUHPSOR\VWKH VHDUFKDQG DWWDFN IRUPRID PRYHPHQW WR FRQWDFWZKHQ WKH HQHP\ LV
RSHUDWLQJ DV VPDOO GLVSHUVHGHOHPHQWVZKRVH ORFDWLRQVFDQQRW EH GHWHUPLQHGWR WDUJHWDEOHDFFXUDF\ E\
PHWKRGVRWKHUWKDQ D SK\VLFDOVHDUFKRUZKHQ WKHWDVNLVWRGHQ\ WKHHQHP\WKHDELOLW\WRPRYHZLWKLQ D
JLYHQDUHD$VHDUFKDQGDWWDFNLVFRQGXFWHGSULPDULO\E\GLVPRXQWHGLQIDQWU\IRUFHVDQGRIWHQVXSSRUWHGE\
DUPRUHGPHFKDQL]HGPRWRUL]HGDQG DYLDWLRQ IRUFHV VHHILJXUH $ VHDUFKDQG DWWDFNQRUPDOO\RFFXUV
GXULQJWKHFRQGXFWRILUUHJXODUZDUIDUH+RZHYHULWPD\DOVREHQHFHVVDU\ZKHQFRQGXFWLQJQRQFRQWLJXRXV
RSHUDWLRQVZLWKLQODUJHVFDOHFRPEDW

Figure 8-2. Search and attack

 $OOXQLWVFDQFRQGXFWVHDUFKDQGDWWDFNRSHUDWLRQVDOWKRXJKDGLYLVLRQZLOOUDUHO\FRQGXFWVHDUFKDQG
DWWDFNRSHUDWLRQVVLPXOWDQHRXVO\WKURXJKRXWLWV$2%&7VPDQHXYHU EDWWDOLRQVDQG FRPSDQLHVQRUPDOO\
FRQGXFWVHDUFKDQGDWWDFNRSHUDWLRQV+RZHYHUGXULQJ:RUOG:DU,, *HUPDQ\DQG-DSDQ ZLWKWKHLUDOOLHV
FRQGXFWHGGLYLVLRQDQGHYHQFRUSVVL]HGVHDUFKDQGDWWDFNVGHVLJQHGWRVHFXUHPDMRUOLQHVRIFRPPXQLFDWLRQV

6 December 2017 FM 3-0, C1 8-9


Chapter 8

LQ5XVVLDWKH%DONDQVDQG&KLQD%&7VDVVLVWWKHLUVXERUGLQDWHPDQHXYHUEDWWDOLRQVFRQGXFWLQJVHDUFKDQG
DWWDFNE\HQVXULQJWKHDYDLODELOLW\RIILUHVDQGRWKHUVXSSRUW
 $ FRPPDQGHUFDQWDVNRUJDQL]HD XQLWLQWRUHFRQQDLVVDQFHIL[LQJDQG ILQLVKLQJIRUFHVHDFKZLWKD
VSHFLILFSXUSRVHDQGWDVNWRDFFRPSOLVK$OWHUQDWLYHO\DOOXQLWVFDQEHLQYROYHGLQWKHUHFRQQDLVVDQFHHIIRUW
ZLWKLQGLYLGXDOVXERUGLQDWHHOHPHQWVEHLQJWDVNHGWRSHUIRUPWKHIL[LQJDQGILQLVKLQJIXQFWLRQVEDVHGRQWKH
VSHFLILFVRIWKHVLWXDWLRQ
 &RPPDQGHUVHVWDEOLVKFRQWUROPHDVXUHVWKDWDOORZIRUGHFHQWUDOL]HGDFWLRQVDQGVPDOOXQLWLQLWLDWLYH
WRWKHJUHDWHVWH[WHQWSRVVLEOH7KH PLQLPXPFRQWUROPHDVXUHVIRUD VHDUFKDQG DWWDFN DUH DQ $2 WDUJHW
UHIHUHQFHSRLQWVREMHFWLYHVFKHFNSRLQWVDQG FRQWDFWSRLQWV7KH XVHRIWDUJHWUHIHUHQFHSRLQWVIDFLOLWDWHV
UHVSRQVLYHILUHVXSSRUW RQFHWKH UHFRQQDLVVDQFHIRUFHPDNHV FRQWDFW ZLWK WKH HQHP\ &RPPDQGHUV XVH
REMHFWLYHVDQGFKHFNSRLQWVWRJXLGHWKHPRYHPHQWRIVXERUGLQDWHHOHPHQWV&RQWDFWSRLQWVLQGLFDWHDVSHFLILF
ORFDWLRQDQGWLPHIRUFRRUGLQDWLQJILUHVDQGPRYHPHQWEHWZHHQDGMDFHQWXQLWV&RPPDQGHUVXVHRWKHUFRQWURO
PHDVXUHVVXFKDVSKDVHOLQHV 3/V DQGQDPHGDUHDVRILQWHUHVW 1$,V DVQHFHVVDU\
 7KH VHDUFKDQG DWWDFN SODQ SODFHVWKHILQLVKLQJ IRUFHDVWKHGHFLVLYHRSHUDWLRQZKHUH LWFDQ EHVW
PDQHXYHUWRGHVWUR\HQHP\IRUFHVRUHVVHQWLDOIDFLOLWLHVRQFHORFDWHGE\UHFRQQDLVVDQFHDVVHWV7\SLFDOO\WKH
ILQLVKLQJ IRUFHRFFXSLHVD FHQWUDO ORFDWLRQ LQ WKH $2 +RZHYHU WKH PLVVLRQYDULDEOHV PD\ DOORZ WKH
FRPPDQGHU WR SRVLWLRQWKH ILQLVKLQJ IRUFHRXWVLGHWKH VHDUFK DQG DWWDFN DUHD &RPPDQGHUV ZHLJKW WKH
GHFLVLYHRSHUDWLRQRUPDLQ HIIRUWE\XVLQJ SULRULW\RIILUHVDQG DVVLJQLQJ SULRULWLHVRIVXSSRUWWRDYDLODEOH
FRPEDWPXOWLSOLHUVVXFK DV HQJLQHHUHOHPHQWVDQG KHOLFRSWHUOLIWVXSSRUW&RPPDQGHUVHVWDEOLVKFRQWURO
PHDVXUHVDVQHFHVVDU\WRFRQVROLGDWHXQLWVDQGFRQFHQWUDWHWKHFRPEDWSRZHURIWKHLUIRUFHVEHIRUHWKHDWWDFN
2QFH WKHUHFRQQDLVVDQFHIRUFHORFDWHV WKHHQHP\WKH IL[LQJ DQG ILQLVKLQJ IRUFHVFDQ IL[DQG GHVWUR\LW
&RPPDQGHUVDOVRGHYHORSFRQWLQJHQF\SODQVLQWKHHYHQWWKDWWKHUHFRQQDLVVDQFHIRUFHLVFRPSURPLVHG
 (DFK VXERUGLQDWH HOHPHQWRSHUDWLQJ LQ LWV RZQ $2 LV WDVNHG WR GHVWUR\HQHP\ IRUFHVZLWKLQ LWV
FDSDELOLW\8QLWVPD\HQWHUDQ$2 E\LQILOWUDWLQJDVDQ HQWLUHXQLWDQGWKHQVSOLWWLQJRXWRUE\LQILOWUDWLQJDV
VPDOOHUXQLWV YLD JURXQG DLURUZDWHU &RPPDQGHUVVKRXOGKDYH LQ SODFHSUHYLRXVO\HVWDEOLVKHGFRQWURO
PHDVXUHVDQG FRPPXQLFDWLRQVPHDQVEHWZHHQDQ\ FORVLQJHOHPHQWVWRSUHYHQW IUDWULFLGHDQGIULHQGO\ILUH
LQFLGHQWV7KHUHFRQQDLVVDQFHIRUFHFRQGXFWVD]RQHUHFRQQDLVVDQFHWRUHFRQQRLWHULGHQWLILHG1$,V
 2QFH WKH UHFRQQDLVVDQFHIRUFHILQGV WKH HQHP\ IRUFHWKH IL[LQJ IRUFHGHYHORSV WKH VLWXDWLRQ DQG
H[HFXWHVRQHRIWZRRSWLRQVEDVHGRQWKHFRPPDQGHU¶VJXLGDQFHDQGWKHPLVVLRQYDULDEOHV7KHILUVWRSWLRQ
LVWREORFNLGHQWLILHGURXWHVWKDWWKHGHWHFWHGHQHP\FDQXVHWRHVFDSHRULQWHUGLFWZLWKUHLQIRUFHPHQWV7KH
IL[LQJIRUFHPDLQWDLQVFRQWDFWZLWKWKHHQHP\DQGSRVLWLRQVLWVIRUFHVWRLVRODWHDQGIL[HQHP\IRUFHVEHIRUH
WKHILQLVKLQJIRUFHDWWDFNV7KH VHFRQGRSWLRQLVWRFRQGXFWDQ DWWDFN WRIL[HQHP\IRUFHVLQWKHLUFXUUHQW
SRVLWLRQVXQWLOWKHILQLVKLQJIRUFHDUULYHV7KHIL[LQJIRUFHDWWDFNVLIDWWDFNLQJPHHWVWKHFRPPDQGHU¶VLQWHQW
DQG LI LW FDQ JHQHUDWHVXIILFLHQWFRPEDW SRZHU DJDLQVW WKH GHWHFWHGHQHP\ 'HSHQGLQJ RQ WKH HQHP\¶V
PRELOLW\ DQG WKH OLNHOLKRRGRI WKH UHFRQQDLVVDQFHIRUFHEHLQJ FRPSURPLVHGFRPPDQGHUVPD\ QHHG WR
SRVLWLRQWKHIL[LQJIRUFHEHIRUHWKHUHFRQQDLVVDQFHIRUFHHQWHUVWKH$2 6HH)0IRUPRUHLQIRUPDWLRQ
RQWKHSHUIRUPDQFHRIWKHVHDUFKDQGDWWDFNWDVN 

&RUGRQDQG6HDUFK
 2QFHWKUHDWVKDYH EHHQLGHQWLILHGZLWKLQDFHUWDLQSDUWRIWKHFRQVROLGDWLRQRIJDLQVDUHDFRUGRQDQG
VHDUFKLVDWHFKQLTXHWKDWFDQEHXVHGIRUQHXWUDOL]LQJWKHWKUHDWRUFRQILVFDWLQJPDWHULDOWKDWFRXOGEHXVHG
DJDLQVWIULHQGO\IRUFHV&RUGRQDQGVHDUFKLVDWHFKQLTXHRIFRQGXFWLQJDPRYHPHQWWRFRQWDFWWKDWLQYROYHV
LVRODWLQJDWDUJHWDUHDDQGVHDUFKLQJVXVSHFWHGORFDWLRQVZLWKLQWKDWWDUJHWDUHDWRFDSWXUHRUGHVWUR\SRVVLEOH
HQHP\IRUFHVDQGFRQWUDEDQG )0 &RUGRQDQGVHDUFKRSHUDWLRQVWDNHSODFHWKURXJKRXWWKHUDQJHRI
PLOLWDU\RSHUDWLRQV&RPPDQGHUVFRQGXFWLQJD FRUGRQDQG VHDUFKRUJDQL]HWKHLUXQLWVLQWRIRXUHOHPHQWV
FRPPDQG VHFXULW\VHDUFKRUDVVDXOW DQG VXSSRUW 6HHILJXUH 7KH VHFXULW\HOHPHQWPXVWEH ODUJH
HQRXJKWRHVWDEOLVKERWKDQ LQQHUDQG DQ RXWHUFRUGRQDURXQGWKHWDUJHWDUHDRIWKHVHDUFK,Q WKDWDVSHFW
FRUGRQ DQG VHDUFK RSHUDWLRQV DUH VLPLODU WR HQFLUFOHPHQW RSHUDWLRQV &RUGRQ DQG VHDUFK LV QRUPDOO\
FRQGXFWHGDW WKH PDQHXYHU EDWWDOLRQ HFKHORQDQG EHORZ )0 GLVFXVVHVHQFLUFOHPHQW RSHUDWLRQV
$73 GLVFXVVHVPXOWL6HUYLFHWDFWLFVWHFKQLTXHVDQGSURFHGXUHVIRUFRUGRQDQGVHDUFKRSHUDWLRQV 

8-10 FM 3-0, C1 6 December 2017


2SHUDWLRQVWR&RQVROLGDWH*DLQV

Figure 8-3. Cordon and search

67$%,/,7< 7$6.6
 2SHUDWLRQVIRFXVHGRQVWDELOLW\VHHNWRVWDELOL]HWKHHQYLURQPHQWHQRXJKVRWKDWWKHKRVWQDWLRQFDQ
EHJLQWRUHVROYHWKHURRWFDXVHVRIFRQIOLFWDQGVWDWHIDLOXUH'XULQJFRQVROLGDWLRQRIJDLQVWKHVHRSHUDWLRQV
IRFXVRQVWDELOLW\WDVNVWRHVWDEOLVKFRQGLWLRQVWKDWVXSSRUWWKHWUDQVLWLRQWROHJLWLPDWHDXWKRULWLHV,QLWLDOO\
WKLVLVDFFRPSOLVKHGE\SHUIRUPLQJWKHPLQLPXPHVVHQWLDOVWDELOLW\WDVNVRISURYLGLQJVHFXULW\IRRGZDWHU
VKHOWHUDQGPHGLFDOWUHDWPHQW2QFHFRQGLWLRQVDOORZWKHVHWDVNVDUHDOHJDOUHVSRQVLELOLW\RI$UP\IRUFHV
+RZHYHUFRPPDQGHUVPD\QRWQHHGWRKDYH$UP\IRUFHVFRQGXFWDOORIWKHVHHVVHQWLDOWDVNV2WKHUPLOLWDU\
XQLWVRUDSSURSULDWHFLYLOLDQRUJDQL]DWLRQVPD\EHDYDLODEOH WRDGHTXDWHO\ SHUIRUPWKHP$VWKHRSHUDWLRQDO
HQYLURQPHQW 2( DQG WLPHDOORZWKHHIIRUWZLOO WUDQVLWLRQWRWKHPRUHGHOLEHUDWHRIH[HFXWLRQRIWKHVL[
VWDELOLW\WDVNV 6HH$'53IRUDGGLWLRQDOLQIRUPDWLRQRQVWDELOLW\WDVNV 

(VWDEOLVK &LYLO6HFXULW\
 &LYLOVHFXULW\LVWKHSURYLVLRQRIVHFXULW\IRUVWDWHHQWLWLHVDQGWKHSRSXODWLRQLQFOXGLQJSURWHFWLRQIURP
LQWHUQDODQGH[WHUQDOWKUHDWV(VWDEOLVKLQJDVDIHVHFXUHDQGVWDEOHHQYLURQPHQWLVFUXFLDOWRREWDLQLQJORFDO
VXSSRUW IRUPLOLWDU\ RSHUDWLRQV7KH SULPDU\ WDVN RIHVWDEOLVKLQJ FLYLO VHFXULW\PD\ LQFOXGH 6)$ WDVNV
GHSHQGLQJRQWKHWDVNVDVVLJQHG$VVRRQDVDKRVWQDWLRQ¶VVHFXULW\IRUFHVFDQSHUIRUPWKLVWDVN$UP\IRUFHV
WUDQVLWLRQFLYLOVHFXULW\UHVSRQVLELOLWLHVWRWKHP:LWKLQWKHVHFXULW\VHFWRUWUDQVIRUPDWLRQWDVNVIRFXVRQ
GHYHORSLQJ OHJLWLPDWHVXVWDLQDEOH DQG VWDEOHVHFXULW\LQVWLWXWLRQV&LYLO VHFXULW\VHWVWKH FRQGLWLRQVIRU
HQGXULQJVWDELOLW\DQGSHDFH

6 December 2017 FM 3-0, C1 8-11


Chapter 8

 7UDQVLWLRQDO SXEOLF VHFXULW\ LV WKH PLOLWDU\ IRUFHV¶ HVWDEOLVKPHQW SURPRWLRQ UHVWRUDWLRQ DQG
PDLQWHQDQFH RI SXEOLF RUGHU ,W LV DQ XUJHQW WDVN RI PLOLWDU\ FRPPDQGHUV DIWHU PDMRU FRPEDW FHDVHV
7UDQVLWLRQDOSXEOLFVHFXULW\HQDEOHVWKHSURYLVLRQRIZDWHUIRRGDQGPHGLFDOFDUH3URYRVWPDUVKDOVDQG03
XQLWVKDYH H[SHULHQFHZLWK WUDQVLWLRQDOSXEOLF VHFXULW\WDVNVDVPRVWWUDQVLWLRQDOSXEOLFVHFXULW\WDVNVDUH
SROLFLQJ WDVNV DQG WKH\ FDQ DGYLVH FRPPDQGHUV DFFRUGLQJO\ 6HH -3  IRU PRUH LQIRUPDWLRQ RQ
WUDQVLWLRQDOSXEOLFVHFXULW\ 

(VWDEOLVK &LYLO&RQWURO
 &LYLOFRQWUROIRVWHUVWKHUXOHRIODZ7KHUXOHRIODZPHDQVWKDWDOOSHUVRQVLQVWLWXWLRQVDQGHQWLWLHV²
SXEOLFDQGSULYDWHLQFOXGLQJWKHVWDWHLWVHOI²DUHDFFRXQWDEOHWRODZVWKDWDUHSXEOLFO\SURPXOJDWHGHTXDOO\
HQIRUFHGLQGHSHQGHQWO\DGMXGLFDWHGDQGFRQVLVWHQWZLWKLQWHUQDWLRQDOKXPDQULJKWVSULQFLSOHV7RVWUHQJWKHQ
FLYLO FRQWURODQG WKHUXOHRIODZ $UP\ XQLWVVHHNWRLPSURYHWKH FDSDELOLW\ FDSDFLW\DQG OHJLWLPDF\RI
KRVWQDWLRQMXGLFLDO DQG FRUUHFWLRQVV\VWHPVE\ SURYLGLQJ WUDLQLQJ DQG VXSSRUW WR ODZ HQIRUFHPHQWDQG
MXGLFLDOSHUVRQQHO$UP\XQLWVIRFXVRQLPSOHPHQWLQJWHPSRUDU\RULQWHULPFDSDELOLWLHVWROD\WKHIRXQGDWLRQ
IRUKRVWQDWLRQRULQWHURUJDQL]DWLRQDOGHYHORSPHQWRIMXGLFLDOV\VWHPV

5HVWRUH(VVHQWLDO6HUYLFHV
 5HVWRULQJVHUYLFHVHVVHQWLDOWRORFDOH[SHFWDWLRQVRIQRUPDOF\DOORZV SHRSOHWRUHWXUQWRWKHLUGDLO\
DFWLYLWLHV DQG SUHYHQWV IXUWKHU GHVWDELOL]DWLRQ ,GHDOO\ WKH KRVWQDWLRQ¶V JRYHUQPHQW DQG FLYLOLDQ UHOLHI
DJHQFLHVVKRXOGUHVWRUHDQGGHYHORSHVVHQWLDOVHUYLFHV,QPRVWFDVHVORFDOLQWHUQDWLRQDODQG86DJHQFLHV
KDYHDUULYHGLQFRXQWU\ORQJEHIRUH86IRUFHV+RZHYHUZKHQSDUWQHURUJDQL]DWLRQVDUHQRWZHOOHVWDEOLVKHG
RUODFNFDSDFLW\$UP\XQLWVDFFRPSOLVKWKHVHWDVNVXQWLORWKHURUJDQL]DWLRQVFDQ

6XSSRUW*RYHUQDQFH
 *RYHUQDQFHLVWKHVHWRIDFWLYLWLHVFRQGXFWHGE\DJRYHUQPHQWRUFRPPXQLW\RUJDQL]DWLRQWRPDLQWDLQ
VRFLHWDORUGHUGHILQHDQG HQIRUFHULJKWVDQG REOLJDWLRQVDQGIDLUO\DOORFDWHJRRGVDQG VHUYLFHV(IIHFWLYH
OHJLWLPDWHJRYHUQDQFHHQVXUHVWKHVHDFWLYLWLHVDUHWUDQVSDUHQWDFFRXQWDEOHDQGLQYROYH SXEOLFSDUWLFLSDWLRQ
(OHFWLRQVZKLOHRIWHQDQHQGVWDWHFRQGLWLRQLQSODQQLQJ GRQRWHQVXUHWKHVHRXWFRPHV,QVRFLHWLHVGLYLGHG
DORQJ HWKQLF WULEDO RU UHOLJLRXVOLQHV HOHFWLRQVPD\ IXUWKHUSRODUL]H IDFWLRQV*HQHUDOO\ UHSUHVHQWDWLYH
LQVWLWXWLRQVEDVHG RQXQLYHUVDO VXIIUDJHRIIHUWKHEHVWPHDQV RIIRVWHULQJJRYHUQDQFH DFFHSWDEOHWRPRVW
FLWL]HQV,IDKRVWQDWLRQ¶VJRYHUQPHQWRUFRPPXQLW\RUJDQL]DWLRQVFDQQRWSURYLGHJRYHUQDQFHVRPHGHJUHH
RIPLOLWDU\VXSSRUWPD\EHQHFHVVDU\,QH[WUHPHFDVHVZKHUHFLYLOJRYHUQPHQWRUFRPPXQLW\RUJDQL]DWLRQV
DUHG\VIXQFWLRQDORUDEVHQWLQWHUQDWLRQDOODZUHTXLUHVPLOLWDU\IRUFHVWRSURYLGHEDVLFFLYLODGPLQLVWUDWLRQ

6XSSRUW(FRQRPLFDQG,QIUDVWUXFWXUH 'HYHORSPHQW
 /RQJWHUP SHDFH DQG VWDELOLW\ UHTXLUH VXVWDLQDEOH KRVWQDWLRQ HFRQRPLF DQG LQIUDVWUXFWXUH
GHYHORSPHQW 7KH HQG VWDWHLV WKH FUHDWLRQRID VXVWDLQDEOH HFRQRP\,Q SRVWFRQIOLFWDQG IUDJLOHVWDWHV
KRVWQDWLRQ DFWRUV LQWHUDJHQF\ SDUWQHUV DQG LQWHURUJDQL]DWLRQDO SDUWQHUV RIWHQ KDYH WKH PRVW XVHIXO
NQRZOHGJHDQGVNLOOVUHJDUGLQJWKHUHVWRUDWLRQDQGIDFLOLWDWLRQRIHFRQRPLFDQGLQIUDVWUXFWXUHGHYHORSPH QW
+RZHYHULIVHFXULW\FRQVLGHUDWLRQVRURWKHUIDFWRUVUHVWULFWWKHLUDELOLW\WRLQWHUYHQH$UP\XQLWVVKRXOGDVVLVW
KRVWQDWLRQHQWLWLHVWRIRVWHUVXVWDLQDEOHHFRQRPLFDQGLQIUDVWUXFWXUHGHYHORSPHQW
 7KH $UP\ ILQDQFLDOPDQDJHPHQW HQWHUSULVHZKLFK LQFOXGHVWKHILQDQFLDO PDQDJHPHQW RIILFHU DQG
EDQNLQJ RIILFHULQFOXGHVHFRQRPLF DQDO\VLVSODQQLQJ LQ FROODERUDWLRQZLWK XQLILHGDFWLRQ SDUWQHUV 86
QDWLRQDOSURYLGHUVDQG ORFDODXWKRULWLHV7KLV HQWHUSULVHVXSSRUWVWKHKRVWQDWLRQ¶VFDSDELOLW\WRUHJDLQWKH
DXWKRULW\WRJRYHUQ DQG DGPLQLVWHUEDQNLQJ V\VWHPV 6HH)0IRUDGGLWLRQDOLQIRUPDWLRQRQILQDQFLDO
PDQDJHPHQWRSHUDWLRQV 

&RQGXFW6HFXULW\ &RRSHUDWLRQ
 6HFXULW\FRRSHUDWLRQDVSDUWRIFRQVROLGDWLRQRIJDLQVHQKDQFHVPLOLWDU\HQJDJHPHQWDQG EXLOGVWKH
VHFXULW\FDSDFLW\RISDUWQHUVWDWHV6HFXULW\FRRSHUDWLRQLVFRPSULVHGRIPXOWLSOHDFWLYLWLHVSURJUDPVDQG
PLVVLRQVDQG LWLVIXQFWLRQDOO\DQG FRQFHSWXDOO\UHODWHGWRVHFXULW\DVVLVWDQFH6)$ LQWHUQDOGHIHQVHDQG
GHYHORSPHQWIRUHLJQLQWHUQDOGHIHQVHDQG VHFXULW\VHFWRUUHIRUP$V DQ H[DPSOHVHFXULW\VHFWRUUHIRUP

8-12 FM 3-0, C1 6 December 2017


2SHUDWLRQVWR&RQVROLGDWH*DLQV

LQYROYHV GLVDUPLQJ GHPRELOL]LQJ DQG UHLQWHJUDWLRQ RI IRUPHU ZDUULQJ IDFWLRQV LQ WKH DIWHUPDWK RI DQ
LQVXUJHQF\DVVLVWVWKHKRVWQDWLRQUHIRUPLWVVHFXULW\IRUFHV IRUH[DPSOHPLOLWDU\DQGSROLFH EROVWHUVUXOH
RIODZWKURXJKFRQVWLWXWLRQDOUHIRUPDQGFRQGXFWVDGYLVRU\PLVVLRQV$UP\IRUFHVPD\EHJUDQWHGVSHFLDO
DXWKRULWLHVDQGFDOOHGXSRQWRH[HFXWHWDVNVLQVXSSRUWRIWKHVHSURJUDPVWKDWEXLOGSDUWQHUFDSDFLW\LQVXSSRUW
RIEURDGHUQDWLRQDOVHFXULW\LQWHUHVWV6HFXULW\FRRSHUDWLRQDFWLYLWLHVFDQEHH[HFXWHGGLVFUHWHO\RULQFRQFHUW
ZLWKHDFKRWKHUDFURVVWKHUDQJHRIPLOLWDU\RSHUDWLRQVFRQVROLGDWLQJPDQ\UHTXLUHPHQWVDXWKRULWLHVDQG
IRUFHVWUXFWXUHV 6HH)0IRUPRUHLQIRUPDWLRQRQVHFXULW\FRRSHUDWLRQDFWLYLWLHV 

&2162/,'$7(*$,165(63216,%,/,7,(6%<(&+(/21
$QDWLRQFDQQRWEHNHSWSHUPDQHQWO\LQWHUQHG
6LU%DVLO/LGGHOO+DUW

 7KHDWHU DUP\ FRUSV GLYLVLRQV DQG EULJDGH FRPEDW WHDPV DOO KDYH GLIIHUHQW UHVSRQVLELOLWLHV ZKHQ
FRQVROLGDWLQJJDLQV7KHVHUHVSRQVLELOLWLHVDUHGLVFXVVHGLQSDUDJUDSKVWKURXJK

7+($7(5$50<
 7KHDWHUDUP\VXSSRUWVFRQVROLGDWLRQRIJDLQVWKURXJKWKHH[HFXWLRQRI7LWOH8QLWHG6WDWHV&RGH
86& DQGH[HFXWLYHDJHQWDFWLYLWLHV'XULQJSODQQLQJWKHWKHDWHUDUP\KHDGTXDUWHUVDQWLFLSDWHVDQGUHTXHVWV
WKHDGGLWLRQDO$UP\FRPEDWIRUFHVIXQFWLRQDOFDSDELOLWLHVDQGUHVRXUFHVUHTXLUHGWRFRQVROLGDWHJDLQV,W
SODQVWKHPHFKDQLVPVUHTXLUHGWRPRYHWKRVHFDSDELOLWLHVLQDQGRXWRIWKHWKHDWHURIRSHUDWLRQV8SRQUHTXHVW
IURPWKHMRLQWIRUFHFRPPDQGHURUWKHDFWLYDWLRQRIWKHWLPHSKDVHGIRUFHDQGGHSOR\PHQWGDWDWKHWKHDWHU
DUP\UHTXHVWVIRUFHVWRVXSSRUWWKH$5)25LQHQDEOLQJORFDODXWKRULWLHVDFURVVDOOSKDVHVRIDQRSHUDWLRQ
7KHWKHDWHUDUP\VKRXOGSURYLGHWKHMRLQWWDVNIRUFH -7) ZLWKWURRSVVSHFLILFDOO\WDVNRUJDQL]HGWRIRFXV
RQDUHDVHFXULW\DQGVWDELOLW\WDVNVDVSDUWRIIRUFHWDLORULQJ7KLVUHTXLUHVUHILQHGORJLVWLFHVWLPDWHVVHFXULW\
FRRSHUDWLRQSODQVHQJLQHHUXQLWVFDSDEOHRILQIUDVWUXFWXUHGHYHORSPHQW&$UHTXLUHPHQWVFRPPXQLFDWLRQV
VKRUWFRPLQJVDQGRWKHUFULWLFDOFDSDELOLWLHV
 (QDEOLQJOHJLWLPDWHDXWKRULWLHVWRSURYLGHHVVHQWLDOVHUYLFHVLVDIULHQGO\IRUFHREMHFWLYH7KLVUHTXLUHV
FRRUGLQDWLRQ ZLWK XQLILHG DFWLRQ SDUWQHUV DV ZHOO DV D IDYRUDEOH DWWLWXGH DPRQJ WKH SRSXODWLRQ WRZDUGV
IULHQGO\IRUFHVVXSSRUWLQJWKHHIIRUW7KHJRDOLVWRUHSODFH86FRPEDWIRUFHVZLWKRUJDQL]DWLRQVSHUIRUPLQJ
VHFXULW\FRRSHUDWLRQDFWLYLWLHVGXULQJWKHFRQVROLGDWLRQRIJDLQV7KHDWHUDUP\LVUHVSRQVLEOHIRUFRRUGLQDWLQJ
WKHVHDFWLYLWLHV
 6)$LVDNH\FRPSRQHQWRIDQ\SODQWRFRQVROLGDWHJDLQV6)$UHTXLUHVWUDLQHGHGXFDWHGSURIHVVLRQDO
RIILFHUV DQG QRQFRPPLVVLRQHG RIILFHUV DV WUXVWHG DGYLVRUV WR SDUWQHU QDWLRQ VHFXULW\ IRUFHV 7DOHQW
PDQDJHPHQWLQDVVLJQLQJWKLVFULWLFDODVSHFWRIFRQVROLGDWHJDLQVVKRXOGEHH[SOLFLWLQWKHWKHDWHUDUP\UHTXHVW
RUDVVLJQPHQWRIIRUFHV-RLQWIRUFHFRPPDQGHUVEXLOGFRQYHQWLRQDOIRUFHDQGVSHFLDORSHUDWLRQVIRUFHV 62) 
LQWHUGHSHQGHQFHLQWR6)$SODQVWRDFKLHYHREMHFWLYHV
 7KH WKHDWHU DUP\ DOVR PDQDJHV $UP\ VXSSRUW WR RWKHU VHUYLFHV $626  IRUFHV DFURVV WKH DUHD RI
UHVSRQVLELOLW\ $25 ,WLVRIWHQEHQHILFLDOWRHQJDJHRWKHUUHJLRQDODFWRUVWRDVVLVWLQSURPRWLQJWKHVWDELOLW\
RIWKHUHJLRQRQFHWKHOHYHORIFRQIOLFWVXEVLGHVWRZKHUHLWLVDFFHSWDEOHWRWKHOHDGHUVDQGSRSXODWLRQRI
WKHVHUHJLRQDODFWRUV7KHWKHDWHUDUP\LVFULWLFDOLQPDQDJLQJWKLVVXSSRUW
 2QH RI WKH PRVW FULWLFDO WDVNV LV WKH ILQDO WUDQVLWLRQ RI DXWKRULW\ IURP PLOLWDU\ IRUFHV WR OHJLWLPDWH
FLYLOLDQDXWKRULWLHV,QPRVWFDVHVVXFFHVVIXOFRQVROLGDWLRQRIJDLQVUHTXLUHVWKHWKHDWHUDUP\WRUHWURJUDGH
HTXLSPHQWFORVHWKH-2$FRRUGLQDWHIRUWKHUHGHSOR\PHQWRI$UP\IRUFHVDQGPDQDJHDORQJWHUPVHFXULW\
FRRSHUDWLRQSODQ

&2536
 7KH FRUSV KHDGTXDUWHUV PDQDJHV GLYLVLRQ DQG EULJDGH FRQVROLGDWLRQ RI JDLQV ZKLOH DQWLFLSDWLQJ
SODQQLQJDQGVKDSLQJWKHQH[WDUHDVWDUJHWHGIRUWKHVHRSHUDWLRQV&RUSVKHDGTXDUWHUVUHTXHVWWKHDGGLWLRQDO
IRUFHVQHFHVVDU\WRFRQVROLGDWHJDLQVDQGDOORFDWHWKHPWRGLYLVLRQV7KLVUHTXLUHVFRRUGLQDWLRQDQGSODQQLQJ
VLPXOWDQHRXVZLWKRSHUDWLRQVRFFXUULQJLQWKHFRUSVGHHSDQGFORVHDUHDV$VSDUWRIWKLVFRQVROLGDWHJDLQV
DFWLYLWLHVPD\UHTXLUHWKH$UP\FRUSVWRHPSOR\IRUFHVWRSHUIRUPWKHVHWDVNV

6 October 2017 FM 3-0 8-13


Chapter 8

z (VWDEOLVKDUHDVHFXULW\WKURXJKRXWWKHHQWLUHFRUSV$27KLVLQFOXGHVRIIHQVHDQGGHIHQVHWDVNVWR
GHVWUR\RUQHXWUDOL]HUHPDLQLQJWKUHDWVDQGSURWHFWWKHFLYLOLDQSRSXODWLRQDQGLQIUDVWUXFWXUH
z &RQGXFWVWDELOLW\WDVNVQHFHVVDU\WRFUHDWHFRQGLWLRQVWKDWDOORZIRUWKHHYHQWXDOWUDQVLWLRQWRD
OHJLWLPDWHDXWKRULW\
z &RQGXFWVHFXULW\IRUFHDVVLVWDQFHWREXLOGWKHFDSDELOLW\DQGFDSDFLW\RIIRUHLJQVHFXULW\IRUFHV
z 'LVVXDGHHQHPLHVDQGDGYHUVDULHVIURPUHLQLWLDWLQJKRVWLOHRUGLVUXSWLYHRSHUDWLRQVDQGSHUVXDGLQJ
WKHPWRDELGHE\VDQFWLRQVODZVRULQWHUQDWLRQDOGLFWDWHV
z &RRUGLQDWHDQGLQIOXHQFHWKHDVVXPSWLRQRIUHVSRQVLELOLW\E\KRVWQDWLRQRURWKHUDXWKRULWLHV
z 6\QFKURQL]HSV\FKRORJLFDODFWLRQVDOLJQHGZLWKIULHQGO\XQLWDFWLYLWLHV LQFOXGLQJGHHGVZRUGV
DQG LPDJHV  WR IDYRUDEO\ LQIOXHQFH FLYLOLDQ DWWLWXGHV WRZDUG IULHQGO\ VHFXULW\ IRUFHV DQG WKH
HYHQWXDOWUDQVLWLRQWROHJLWLPDWHDXWKRULW\
 $VODUJHVFDOHFRPEDWRSHUDWLRQVFRQFOXGHLQDFRUSV$2WKHFRUSVKHDGTXDUWHUVUHRUJDQL]HVWKH$2
LQWRDUHDVDSSURSULDWHIRUWKHRSHUDWLRQDODQGPLVVLRQYDULDEOHVWRIDFLOLWDWHWKHPRVWUDSLGFRQVROLGDWLRQRI
JDLQV2SHUDWLRQVSULPDULO\IRFXVRQSURYLGLQJDUHDVHFXULW\LQKLJKWKUHDWDUHDVIROORZHGE\WKHSHUIRUPDQFH
RI VWDELOLW\ WDVNV LQ ORZHU WKUHDW DUHDV $V VKRZQ LQ ILJXUH  D FRUSV FDQ VLPXOWDQHRXVO\ DWWDFN DQG
FRQVROLGDWH JDLQV GXULQJ WKLV WUDQVLWLRQDO SHULRG 6XERUGLQDWH GLYLVLRQV PD\ VWLOO KDYH %&7V FRQGXFWLQJ
ODUJHVFDOHFRPEDWRSHUDWLRQVZKLOHFRPPLWWLQJRQHRUPRUH%&7VWRFRQGXFWFRQVROLGDWLRQRIJDLQVLQWKH
FRQVROLGDWLRQDUHD,GHDOO\ WKH FRUSV KHDGTXDUWHUV WDVNRUJDQL]HVIROORZDQGVXSSRUWGLYLVLRQVWRH[HFXWH
VWDELOLW\UHODWHGWDVNV

8-14 FM 3-0 6 October 2017


2SHUDWLRQVWR&RQVROLGDWH*DLQV

Figure 8-4. Consolidating gains after large-scale combat operations

',9,6,216
 /LNHZLVH GLYLVLRQ FRPPDQGHUV DQG VWDIIV FRQVLGHU WKH LPSDFW RI VLPXOWDQHRXVO\ FRQGXFWLQJ
FRQVROLGDWLRQRIJDLQV DFWLYLWLHVDQG ODUJHVFDOHFRPEDW RSHUDWLRQVWKURXJKRXW DOO SKDVHV RI WKHLUSODQV
&RQVLGHUDWLRQVLQFOXGHSULRULW\RIDVVHWVWLPHSKDVLQJRIRSHUDWLRQVWDVNRUJDQL]DWLRQFKDQJHVFOHDUDQFHRI
ILUHVLQWKHFRQVROLGDWLRQDUHDVDQGGLVWDQFHEHWZHHQWKHIRUZDUGHGJHRIWKHFORVHDUHDDQGWKHIRUZDUGHGJH
RIFRQVROLGDWLRQDUHDV,WLVOLNHO\WKDWFRQFXUUHQWODUJHVFDOHFRPEDWRSHUDWLRQVDUHRQJRLQJDFURVVWKH$2
DQG WKDW DGGLWLRQDOFRPEDWIRUFHVDUHQHFHVVDU\WRFRQVROLGDWHJDLQV'LYLVLRQVPXVWVROYHWKHSUREOHPRI
KRZ WR VXVWDLQ WKRVHIRUFHVLQ FRPEDW RSHUDWLRQVFRQFXUUHQWO\ZLWK RSHUDWLRQVWR FRQVROLGDWHJDLQV ,Q
DGGLWLRQGLYLVLRQVXSSRUWDVVHWVPXVWEHSUHSDUHGWRGLVSODFHIURPHVWDEOLVKHGVXSSRUWDUHDVWKURXJKDUHDV

6 December 2017 FM 3-0, C1 8-15


Chapter 8

ZKHUHVHFXULW\PD\ QRW \HWEHHVWDEOLVKHGWRQHZ VXSSRUWDUHDVWREHWWHUVXSSRUWWKRVHIRUFHVLQFRPEDW


RSHUDWLRQVSULRUWRDUHDVHFXULW\EHLQJHVWDEOLVKHG
 'LYLVLRQVPDQDJH %&7¶V DV WKH\HVWDEOLVKDUHD VHFXULW\DQG SHUIRUPVWDELOLW\WDVNVWKURXJKRXWWKH
GLYLVLRQFRQVROLGDWLRQDUHDV7KLVLQFOXGHVSHUIRUPLQJRIIHQVLYHDQGGHIHQVLYHWDVNVWRGHVWUR\RUQHXWUDOL]H
UHPDLQLQJWKUHDWV XVXDOO\FRPSDQ\VL]HRUVPDOOHU WKDWZHUHHLWKHUE\SDVVHGLQFRPEDWRSHUDWLRQVRUKDYH
UHFRQVROLGDWHGIROORZLQJODUJHVFDOHJURXQG FRPEDWLQ WKH FORVHDUHD 6LPXOWDQHRXVO\ D WDVNRUJDQL]HG
IROORZDQG DVVXPH%&7 SURWHFWVWKHFLYLOLDQSRSXODWLRQDQG LQIUDVWUXFWXUHIURPDWWDFNVE\ LUUHJXODUIRUFHV
DQGFULPLQDOHOHPHQWVZLWKLQWKHGLYLVLRQFRQVROLGDWLRQDUHD
 'LYLVLRQV SHUIRUPWKH VWDELOLW\ WDVNV QHFHVVDU\WR FUHDWHFRQGLWLRQVZLWKLQ DQ $2 WKDW DOORZ IRU
WUDQVLWLRQWR D OHJLWLPDWHFLYLOLDQ DXWKRULW\ RU D XQLILHG DFWLRQSDUWQHU WR DFW DV D WUDQVLWLRQDODXWKRULW\
'LYLVLRQVDOVRPDQDJHEULJDGHVDVWKH\FRQGXFWVHFXULW\IRUFHDVVLVWDQFHWREXLOGWKHFDSDELOLW\DQGFDSDFLW\
RI IRUHLJQVHFXULW\IRUFHV)LQDOO\ GLYLVLRQV GLVVXDGH DGYHUVDULHV IURPUHLQLWLDWLQJKRVWLOHRU GLVUXSWLYH
RSHUDWLRQVDQGSHUVXDGHWKHPWRDELGHE\VDQFWLRQVODZVRULQWHUQDWLRQDOGLFWDWHV
 'LYLVLRQV DUH WKH ILUVWWDFWLFDO HFKHORQ ZLWK D GHGLFDWHG VWDII WUDLQHG WR V\QFKURQL]H DFWLRQV RI
LQIRUPDWLRQUHODWHGFDSDELOLWLHV ,5&V 7KHVHFDSDELOLWLHVPD\EHXVHGWRLQIOXHQFHORFDOJRYHUQPHQWVDQG
SRSXODWLRQVWKURXJKFRPSHOOLQJQDUUDWLYHVWKDWH[SODLQDFWLRQVGLVFUHGLWHQHP\SURSDJDQGDDQG KLJKOLJKW
FRPPRQJRDOVWKHPHVDQGPHVVDJHV1RWKLQJPDNHVQDUUDWLYHVPRUHFRPSHOOLQJWKDQZLWQHVVLQJSRVLWLYH
SK\VLFDOVHFXULW\DQGVWDELOLW\DFWLYLW\RQWKHJURXQG
 'LYLVLRQVHQDEOHVXERUGLQDWH%&7V WRFRQGXFWGHWDLOHGLQIRUPDWLRQFROOHFWLRQ%&7V KDYH OLPLWHG
RUJDQLF LQIRUPDWLRQ FROOHFWLRQDVVHWV %&7V RIWHQ UHTXLUH DGGLWLRQDO DVVHWV WR XQGHUVWDQG VKDSH DQG
LQIOXHQFHWKH 2( DQG FRQVROLGDWHSRVLWLYHJDLQV WKDW OHDG WRZDUG GHVLUHGREMHFWLYHVGXULQJ RSHUDWLRQVWR
FRQVROLGDWHJDLQV$ GLYLVLRQKHDGTXDUWHUVSURYLGHVPHVVDJLQJWKHPHVDOLJQHGZLWK IULHQGO\XQLWDFWLYLWLHV
RQWKHJURXQGDQGIRFXVHGRQSRVLWLYHO\LQIOXHQFLQJFLYLOLDQDWWLWXGHVDERXWWKHVHFXULW\IRUFHVDQGHYHQWXDO
WUDQVLWLRQWRFLYLOLDQDXWKRULW\
 'LYLVLRQVZRUNZLWKKRVWQDWLRQRURWKHUDXWKRULWLHVWRDVVXPHUHVSRQVLELOLW\LQFRQVROLGDWLQJJDLQV
7KH\SURPRWHXQLILHGDFWLRQSDUWQHUHIIRUWVWRHQVXUHDUHDVHFXULW\DQGVWDELOLW\'LYLVLRQFRPPDQGHUVH[WHQG
WKHLULQIOXHQFHLQWKH$2WKURXJKWKHV\QFKURQL]DWLRQRIHIIRUWVE\YDULRXVXQLILHGDFWLRQSDUWQHUV

%5,*$'( &20%$77($06$1' 7$6. )25&(6


 7DVNRUJDQL]HG %&7V RU WDVN IRUFHV SHUIRUP PRVW DUHD VHFXULW\ WDVNV DQG WKH\ IDFLOLWDWH WKH
DFFRPSOLVKPHQWRIPRVWVWDELOLW\WDVNVLQ FRQFHUWZLWKXQLILHGDFWLRQSDUWQHUV$UP\ IRUFHVWDNHVSHFLILF
DFWLRQV XSRQ FXOPLQDWLRQ RI ODUJHVFDOHFRPEDW RSHUDWLRQVDJDLQVW D FRQYHQWLRQDO IRUFH7KHVH DFWLRQV
LQFOXGH²
z &RQVROLGDWLRQ
z (VWDEOLVKDUHDVHFXULW\
z &RQGXFWVWDELOLW\WDVNV
 7KH WUDQVLWLRQIURPODUJHVFDOHFRPEDWRSHUDWLRQVWR DUHD VHFXULW\ WDVNV DJDLQVW D FDSDEOH HQHP\
HQWDLOVULVN8QLWVVKLIWLQJIRFXVIURPFRPEDWWRFRQVROLGDWLRQDUHYXOQHUDEOH WRFRXQWHUDWWDFN+LVWRULFDO
HYLGHQFHVXJJHVWVDIRUFHLVPRVWYXOQHUDEOHDIWHUDKDUGIRXJKWZLQ&RPPDQGHUVDQGVWDIIVVKRXOGSODQIRU
DTXLFNWUDQVLWLRQDQGVWUHVVWKHLPSRUWDQFHRIORFDOVHFXULW\ 6HH)0IRUDGGLWLRQDOLQIRUPDWLRQRQ
FRQVROLGDWLRQ 
 )RUFHVILUVWSHUIRUPPLQLPXPHVVHQWLDOVWDELOLW\WDVNVDQG WKHQWKH\PDLQWDLQRUUHHVWDEOLVKDVWDEOH
2(DQG SURYLGHHVVHQWLDOJRYHUQPHQWDOVHUYLFHVHPHUJHQF\LQIUDVWUXFWXUHUHFRQVWUXFWLRQDQGKXPDQLWDULDQ
UHOLHI%&7V IXUWKHUGHYHORS DQG UHDVVHVV VLWXDWLRQVSHUFHSWLRQVDQG RSSRUWXQLWLHVWKURXJK FRQWLQXRXV
LQIRUPDWLRQFROOHFWLRQWRPDLQWDLQSRVLWLYHPRPHQWXPWRDFKLHYHDGGLWLRQDOJDLQV
 %&7V FRQGXFW RSHUDWLRQV E\ VHL]LQJ UHWDLQLQJ DQG H[SORLWLQJ RSSRUWXQLWLHV %&7V OHYHUDJH
LQIRUPDWLRQFROOHFWLRQLQWHUDFWLRQVZLWKSHRSOHDQGRUJDQL]DWLRQVRIIHQVLYHDQGGHIHQVLYHWDVNV,5&V DQG
F\EHUVSDFHHOHFWURPDJQHWLFDFWLYLWLHV &(0$ WRDFKLHYHWKHVHFXULW\FRQGLWLRQVHVVHQWLDOWRWKHHIIHFWLYH
SHUIRUPDQFHRIVWDELOLW\WDVNV

8-16 FM 3-0, C1 6 December 2017


2SHUDWLRQVWR&RQVROLGDWH*DLQV

75$16,7,21
 7KHWUDQVIHURIDQ$2WRDOHJLWLPDWHDXWKRULW\UHOLHYHVWKHODQGIRUFHRIDUHDVHFXULW\DQGVWDELOLW\
WDVNVDQGUHSUHVHQWVDWUDQVLWLRQIURPRSHUDWLRQVWRFRQVROLGDWHJDLQVWRRSHUDWLRQVWRVKDSHRUSUHYHQW$V
WKHWKHDWHUDUP\KHDGTXDUWHUVFRRUGLQDWHVWKHPRYHPHQWRIPRVW$UP\IRUFHVRXWRIWKHDWHULWUHVXPHVWKH
WDVNVQHFHVVDU\WRVXVWDLQWKHJDLQVFRQVROLGDWHGGXULQJODUJHVFDOHFRPEDWRSHUDWLRQV&RQGLWLRQVRQWKH
JURXQGDQGUHVRXUFHVDYDLODEOHGHWHUPLQHZKDWVHFXULW\DQGFRRSHUDWLRQWDVNVKDYHSULRULW\,WLVSRVVLEOH
WKDW$UP\IRUFHVRFFXS\ORQJWHUPJDUULVRQVWRSUHYHQWDUHFXUUHQFHRIKRVWLOLWLHVDVKDSSHQHGLQ(XURSH
-DSDQ DQG .RUHD LQ WKH WK FHQWXU\ $OWHUQDWLYHO\ WKHUH PD\ EH D PRUH UREXVW VHFXULW\ FRRSHUDWLRQ
DUUDQJHPHQWLQYROYLQJWUDLQLQJRIIRUFHV5HJDUGOHVVRIWKHWDVNVUHTXLUHGLQDVSHFLILF$2$UP\XQLWVZLOO
FRQWLQXHWRSHUIRUPWKHPLVVLRQVWKDWUHIOHFWWKHLUVWUDWHJLFUROHVRIVKDSHSUHYHQWZLQDQGFRQVROLGDWHJDLQV
LQVXSSRUWRI86LQWHUHVWV


6 October 2017 FM 3-0 8-17


This page intentionally left blank.


Appendix A
Command and Support Relationships

7KLVDSSHQGL[GLVFXVVHVFRPPDQGDQGVXSSRUWUHODWLRQVKLSVIRUMRLQWDQG$UP\IRUFHV
&RPPDQGDQGVXSSRUWUHODWLRQVKLSVSURYLGHWKHEDVLVIRUXQLW\RIFRPPDQGDQGXQLW\
RIHIIRUWLQRSHUDWLRQV

)81'$0(17$/&216,'(5$7,216
$ (VWDEOLVKLQJFOHDUFRPPDQGDQGVXSSRUWUHODWLRQVKLSVLVDNH\DVSHFWRIDQ\RSHUDWLRQ/DUJHVFDOH
FRPEDWRSHUDWLRQVSUHVHQWXQLTXHDQGFRPSOH[FKDOOHQJHVWKDWGHPDQGZHOOGHILQHGFRPPDQGDQGVXSSRUW
UHODWLRQVKLSVDPRQJXQLWV7KHVHUHODWLRQVKLSVHVWDEOLVKUHVSRQVLELOLWLHVDQGDXWKRULWLHVEHWZHHQVXERUGLQDWH
DQGVXSSRUWLQJXQLWV6RPHFRPPDQGDQGVXSSRUWUHODWLRQVKLSVOLPLWWKHFRPPDQGHU¶VDXWKRULW\WRSUHVFULEH
DGGLWLRQDOUHODWLRQVKLSV.QRZLQJWKHLQKHUHQWUHVSRQVLELOLWLHVRIHDFKFRPPDQGDQGVXSSRUWUHODWLRQVKLS
DOORZVFRPPDQGHUVWRHIIHFWLYHO\RUJDQL]HWKHLUIRUFHVDQGKHOSVVXSSRUWLQJFRPPDQGHUVXQGHUVWDQGWKHLU
XQLW¶VUROHLQWKHRUJDQL]DWLRQDOVWUXFWXUH

-2,17&200$1'5(/$7,216+,36
$ $VSDUWRIDMRLQWIRUFH$UP\FRPPDQGHUVDQGVWDIIVPXVWXQGHUVWDQGMRLQWFRPPDQGUHODWLRQVKLSV
-3VSHFLILHVDQGGHWDLOVIRXUW\SHVRIMRLQWFRPPDQGUHODWLRQVKLSV
z &RPEDWDQWFRPPDQG FRPPDQGDXWKRULW\  &2&20 
z 2SHUDWLRQDOFRQWURO 23&21 
z 7DFWLFDOFRQWURO 7$&21 
z 6XSSRUW

&20%$7$17&200$1' &200$1'$87+25,7< 
$ &RPEDWDQWFRPPDQGLVDXQLILHGRUVSHFLILHGFRPPDQGZLWKDEURDGFRQWLQXLQJPLVVLRQXQGHUDVLQJOH
FRPPDQGHUHVWDEOLVKHGDQGVRGHVLJQDWHGE\WKH3UHVLGHQWWKURXJKWKH6HFUHWDU\RI'HIHQVHDQGZLWKWKH
DGYLFHDQGDVVLVWDQFHRIWKH&KDLUPDQRIWKH-RLQW&KLHIVRI6WDII -3 7LWOH8QLWHG6WDWHV&RGH 86& 
VHFWLRQ  VSHFLILHV WKLV DXWKRULW\ LQ ODZ 1RUPDOO\ WKH FRPEDWDQW FRPPDQGHU H[HUFLVHV WKLV DXWKRULW\
WKURXJK VXERUGLQDWH MRLQW IRUFH FRPPDQGHUV -)&V  6HUYLFH FRPSRQHQW FRPPDQGHUV DQG IXQFWLRQDO
FRPSRQHQWFRPPDQGHUV

23(5$7,21$/&21752/
$ 2SHUDWLRQDOFRQWUROLVWKHDXWKRULW\WRSHUIRUPWKRVHIXQFWLRQVRIFRPPDQGRYHUVXERUGLQDWHIRUFHV
LQYROYLQJ RUJDQL]LQJ DQG HPSOR\LQJ FRPPDQGV DQG IRUFHV DVVLJQLQJ WDVNV GHVLJQDWLQJ REMHFWLYHV DQG
JLYLQJ DXWKRULWDWLYH GLUHFWLRQ QHFHVVDU\ WR DFFRPSOLVK WKH PLVVLRQ -3   23&21 QRUPDOO\ LQFOXGHV
DXWKRULW\ RYHU DOO DVSHFWV RI RSHUDWLRQV DQG MRLQW WUDLQLQJ QHFHVVDU\ WR DFFRPSOLVK PLVVLRQV ,W GRHV QRW
LQFOXGHGLUHFWLYHDXWKRULW\IRUORJLVWLFVRUPDWWHUVRIDGPLQLVWUDWLRQGLVFLSOLQHLQWHUQDORUJDQL]DWLRQRUXQLW
WUDLQLQJ7KHFRPEDWDQWFRPPDQGHUPXVWVSHFLILFDOO\GHOHJDWHWKHVHHOHPHQWVRI&2&2023&21GRHV
LQFOXGHWKHDXWKRULW\WRGHOLQHDWHIXQFWLRQDOUHVSRQVLELOLWLHVDQGRSHUDWLRQDODUHDVRIVXERUGLQDWH -)&V,Q
WZR LQVWDQFHV WKH 6HFUHWDU\ RI 'HIHQVH PD\ VSHFLI\ DGMXVWPHQWV WR DFFRPPRGDWH DXWKRULWLHV EH\RQG
23&21 LQ DQ HVWDEOLVKLQJ GLUHFWLYH ZKHQ WUDQVIHUULQJ IRUFHV EHWZHHQ FRPEDWDQW FRPPDQGHUV RU ZKHQ
WUDQVIHUULQJPHPEHUVRURUJDQL]DWLRQVIURPWKHPLOLWDU\GHSDUWPHQWVWRDFRPEDWDQWFRPPDQG$GMXVWPHQWV
ZLOOEHFRRUGLQDWHGZLWKWKHSDUWLFLSDWLQJFRPEDWDQWFRPPDQGHUV

6 October 2017 FM 3-0 A-1


Appendix A

7$&7,&$/&21752/
$ 7DFWLFDO FRQWURO LV WKH DXWKRULW\ RYHU IRUFHV WKDW LV OLPLWHG WR WKH GHWDLOHG GLUHFWLRQ DQG FRQWURO RI
PRYHPHQWVRU PDQHXYHUV ZLWKLQWKHRSHUDWLRQDODUHDQHFHVVDU\WRDFFRPSOLVK PLVVLRQV RUWDVNVDVVLJQHG
-3 7$&21LVLQKHUHQWLQ23&21,WPD\EHGHOHJDWHGWRDQGH[HUFLVHGE\FRPPDQGHUVDWDQ\HFKHORQ
DW RU EHORZ WKH OHYHO RI FRPEDWDQW FRPPDQG 7$&21 SURYLGHV VXIILFLHQW DXWKRULW\ IRU FRQWUROOLQJ DQG
GLUHFWLQJWKHDSSOLFDWLRQRIIRUFHRUWDFWLFDOXVHRIFRPEDWVXSSRUWDVVHWVZLWKLQWKHDVVLJQHGPLVVLRQRUWDVN
7$&21GRHVQRWSURYLGHRUJDQL]DWLRQDODXWKRULW\RUDXWKRULWDWLYHGLUHFWLRQIRUDGPLQLVWUDWLYHDQGORJLVWLF
VXSSRUWWKHFRPPDQGHURIWKHSDUHQWXQLWFRQWLQXHVWRH[HUFLVHWKHVHDXWKRULWLHVXQOHVVRWKHUZLVHVSHFLILHG
LQWKHHVWDEOLVKLQJGLUHFWLYH

6833257
$ 6XSSRUWLVWKHDFWLRQRIDIRUFHWKDWDLGVSURWHFWVFRPSOHPHQWVRUVXVWDLQVDQRWKHUIRUFHLQDFFRUGDQFH
ZLWKDGLUHFWLYHUHTXLULQJVXFKDFWLRQ -3 6XSSRUWLVDFRPPDQGDXWKRULW\LQMRLQWGRFWULQH$VXSSRUWHG
DQGVXSSRUWLQJUHODWLRQVKLSLVHVWDEOLVKHGE\DVXSHULRUFRPPDQGHUEHWZHHQVXERUGLQDWHFRPPDQGHUVZKHQ
RQH RUJDQL]DWLRQ VKRXOG DLG SURWHFW FRPSOHPHQW RU VXVWDLQ DQRWKHU IRUFH 'HVLJQDWLQJ VXSSRUWLQJ
UHODWLRQVKLSV LV LPSRUWDQW ,W FRQYH\V SULRULWLHV WR FRPPDQGHUV DQG VWDIIV SODQQLQJ RU H[HFXWLQJ MRLQW
RSHUDWLRQV'HVLJQDWLQJDVXSSRUWUHODWLRQVKLSGRHVQRWSURYLGHDXWKRULW\WRRUJDQL]HDQGHPSOR\FRPPDQGV
DQGIRUFHVQRUGRHVLWLQFOXGHDXWKRULWDWLYHGLUHFWLRQIRUDGPLQLVWUDWLYHDQGORJLVWLFVXSSRUW-RLQWGRFWULQH
GLYLGHVVXSSRUWLQWRWKHFDWHJRULHVOLVWHGLQWDEOH$
7DEOH$-RLQWVXSSRUWFDWHJRULHV
Category Definition
General support 7KDWVXSSRUWZKLFKLVJLYHQWRWKHVXSSRUWHGIRUFHDVDZKROHDQGQRWWRDQ\
SDUWLFXODUVXEGLYLVLRQWKHUHRI -3 
Mutual support 7KDWVXSSRUWZKLFKXQLWVUHQGHUHDFKRWKHUDJDLQVWDQHQHP\EHFDXVHRIWKHLU
DVVLJQHGWDVNVWKHLUSRVLWLRQUHODWLYHWRHDFKRWKHUDQGWRWKHHQHP\DQGWKHLU
LQKHUHQWFDSDELOLWLHV -3 
Direct support $PLVVLRQUHTXLULQJDIRUFHWRVXSSRUWDQRWKHUVSHFLILFIRUFHDQGDXWKRUL]LQJLWWR
DQVZHUGLUHFWO\WRWKHVXSSRUWHGIRUFH’VUHTXHVWIRUDVVLVWDQFH -3 
Close support 7KHDFWLRQRIWKHVXSSRUWLQJIRUFHDJDLQVWWDUJHWVRUREMHFWLYHVWKDWDUHVXIILFLHQWO\
QHDUWKHVXSSRUWHGIRUFHDVWRUHTXLUHGHWDLOHGLQWHJUDWLRQRUFRRUGLQDWLRQRIWKH
VXSSRUWLQJDFWLRQ -3 

$ 6XSSRUW LV E\ GHVLJQ VRPHZKDW YDJXH EXW YHU\ IOH[LEOH (VWDEOLVKLQJ DXWKRULWLHV HQVXUH ERWK
VXSSRUWHG DQG VXSSRUWLQJ FRPPDQGHUV XQGHUVWDQG WKH DXWKRULW\ RI VXSSRUWHG FRPPDQGHUV -)&V RIWHQ
HVWDEOLVKVXSSRUWHGDQGVXSSRUWLQJUHODWLRQVKLSVDPRQJFRPSRQHQWV)RUH[DPSOHWKHPDULWLPHFRPSRQHQW
FRPPDQGHULVQRUPDOO\WKHVXSSRUWHGFRPPDQGHUIRUVHDFRQWURORSHUDWLRQVWKHDLUFRPSRQHQWFRPPDQGHU
LVQRUPDOO\WKHVXSSRUWHGFRPPDQGHUIRUFRXQWHUDLURSHUDWLRQV$Q$UP\KHDGTXDUWHUVGHVLJQDWHGDVWKH
ODQGFRPSRQHQWPD\EHWKHVXSSRUWLQJIRUFHGXULQJVRPHFDPSDLJQSKDVHVDQGWKHVXSSRUWHGIRUFHLQRWKHU
SKDVHV
$ 7KH-)&PD\HVWDEOLVKDVXSSRUWUHODWLRQVKLSEHWZHHQIXQFWLRQDODQG6HUYLFHFRPSRQHQWFRPPDQGHUV
&RQGXFWLQJ RSHUDWLRQV DFURVV D ODUJH RSHUDWLRQDO DUHD RIWHQ LQYROYHV ERWK WKH ODQG DQG DLU FRPSRQHQW
FRPPDQGHUV7KHMRLQWWDVNIRUFH -7) FRPPDQGHUSODFHVWKHODQGFRPSRQHQWLQJHQHUDOVXSSRUWRIWKHDLU
FRPSRQHQWXQWLOWKHODWWHUDFKLHYHVDLUVXSHULRULW\&RQYHUVHO\ZLWKLQWKHODQGDUHDRIRSHUDWLRQVWKHODQG
FRPSRQHQW FRPPDQGHU /&&  EHFRPHV WKH VXSSRUWHG FRPPDQGHU DQG WKH DLU FRPSRQHQW FRPPDQGHU
SURYLGHVFORVHVXSSRUW$MRLQWVXSSRUWUHODWLRQVKLSLVQRWXVHGZKHQDQ$UP\FRPPDQGHUWDVNRUJDQL]HV
$UP\IRUFHVLQDVXSSRUWLQJUROH:KHQWDVNRUJDQL]HGWRVXSSRUWDQRWKHU$UP\IRUFH$UP\IRUFHVXVHRQH
RIWKHIRXU$UP\VXSSRUWUHODWLRQVKLSV

27+(5$87+25,7,(6
$ $OWKRXJKGLVFXVVHGLQMRLQWGRFWULQHFRRUGLQDWLQJDXWKRULW\DQGGLUHFWOLDLVRQDXWKRUL]HGDUHGLUHFWO\
DSSOLFDEOH WR $UP\ IRUFHV 7KHVH UHODWLRQVKLSV FDQ DVVLVW FRPPDQGHUV LQ IDFLOLWDWLQJ FROODERUDWLRQ ERWK

A-2 FM 3-0 6 October 2017


&RPPDQGDQG6XSSRUW5HODWLRQVKLSV

ZLWKLQ DQG RXWVLGH WKHLU UHVSHFWLYH RUJDQL]DWLRQV DQG WKH\ FDQ SURPRWH LQIRUPDWLRQ VKDULQJ FRQFHUQLQJ
GHWDLOVRIPLOLWDU\RSHUDWLRQV

&RRUGLQDWLQJ$XWKRULW\
$&RRUGLQDWLQJDXWKRULW\LVDFRPPDQGHURULQGLYLGXDO ZKR KDVWKHDXWKRULW\WRUHTXLUHFRQVXOWDWLRQ
EHWZHHQWKHVSHFLILFIXQFWLRQVRUDFWLYLWLHVLQYROYLQJIRUFHVRIWZRRUPRUH6HUYLFHVMRLQWIRUFHFRPSRQHQWV
RUIRUFHVRIWKHVDPH6HUYLFHRUDJHQFLHVEXWGRHVQRWKDYHWKHDXWKRULW\WRFRPSHODJUHHPHQW -3 ,QWKH
HYHQWWKDWHVVHQWLDODJUHHPHQWFDQQRWEHREWDLQHGWKHPDWWHUVKDOOEHUHIHUUHGWRWKHDSSRLQWLQJDXWKRULW\
&RRUGLQDWLQJ DXWKRULW\ LV D FRQVXOWDWLRQ UHODWLRQVKLS QRW DQ DXWKRULW\ WKURXJK ZKLFK FRPPDQG PD\ EH
H[HUFLVHG&RRUGLQDWLQJDXWKRULW\LVPRUHDSSOLFDEOHWRSODQQLQJDQGVLPLODUDFWLYLWLHVWKDQWRRSHUDWLRQV)RU
H[DPSOHDMRLQWVHFXULW\FRPPDQGHUH[HUFLVHVFRRUGLQDWLQJDXWKRULW\RYHUDUHDVHFXULW\RSHUDWLRQVZLWKLQ
WKH MRLQW VHFXULW\ DUHD &RPPDQGHUV RU OHDGHUV DW DQ\ HFKHORQ DW RU EHORZ FRPEDWDQW FRPPDQG PD\ EH
GHOHJDWHGFRRUGLQDWLQJDXWKRULW\7KHVHLQGLYLGXDOVPD\EHDVVLJQHGUHVSRQVLELOLWLHVHVWDEOLVKHGWKURXJKD
PHPRUDQGXPRIDJUHHPHQWEHWZHHQPLOLWDU\DQGQRQPLOLWDU\RUJDQL]DWLRQV 6HH-3IRUPRUHLQIRUPDWLRQ
RQFRRUGLQDWLQJDXWKRULW\ 

'LUHFW/LDLVRQ$XWKRUL]HG
$'LUHFW OLDLVRQ DXWKRUL]HG LV WKDW DXWKRULW\ JUDQWHG E\ D FRPPDQGHU DQ\ OHYHO  WR D VXERUGLQDWH WR
GLUHFWO\FRQVXOWRUFRRUGLQDWHDQDFWLRQZLWKDFRPPDQGRUDJHQF\ZLWKLQRURXWVLGHRIWKHJUDQWLQJFRPPDQG
-3 'LUHFWOLDLVRQDXWKRUL]HGLVPRUHDSSOLFDEOHWRSODQQLQJWKDQRSHUDWLRQVDQGDOZD\VFDUULHVZLWKLWWKH
UHTXLUHPHQWRINHHSLQJWKHFRPPDQGHUJUDQWLQJGLUHFWOLDLVRQDXWKRUL]HGLQIRUPHG'LUHFWOLDLVRQDXWKRUL]HG
LVDFRRUGLQDWLRQUHODWLRQVKLSQRWDQDXWKRULW\WKURXJKZKLFKFRPPDQGPD\EHH[HUFLVHG

$50<&200$1'$1'68332575(/$7,216+,36
$$UP\FRPPDQGDQGVXSSRUWUHODWLRQVKLSVDUHVLPLODUEXWQRWLGHQWLFDOWRMRLQWFRPPDQGDXWKRULWLHV
DQGUHODWLRQVKLSV'LIIHUHQFHVVWHPIURPWKHZD\$UP\IRUFHVWDVNRUJDQL]HLQWHUQDOO\DQGWKHQHHGIRUD
V\VWHPRIVXSSRUWUHODWLRQVKLSVEHWZHHQ$UP\IRUFHV$QRWKHULPSRUWDQWGLIIHUHQFHLVWKHUHTXLUHPHQWIRU
$UP\FRPPDQGHUVWRKDQGOHWKHDGPLQLVWUDWLYHVXSSRUWUHTXLUHPHQWVWKDWPHHWWKHQHHGVRI6ROGLHUV7KHVH
GLIIHUHQFHVDOORZIRUIOH[LEOHDOORFDWLRQRI$UP\FDSDELOLWLHVZLWKLQYDULRXV$UP\HFKHORQV$UP\FRPPDQG
DQG VXSSRUW UHODWLRQVKLSV DUH WKH EDVLV IRU EXLOGLQJ $UP\ WDVN RUJDQL]DWLRQV &HUWDLQ UHVSRQVLELOLWLHV DUH
LQKHUHQWLQWKH$UP\¶VFRPPDQGDQGVXSSRUWUHODWLRQVKLSV

$50<&200$1'5(/$7,216+,36
$$UP\FRPPDQGUHODWLRQVKLSVGHILQHVXSHULRUDQGVXERUGLQDWHUHODWLRQVKLSVEHWZHHQXQLWFRPPDQGHUV
%\ VSHFLI\LQJ D FKDLQ RI FRPPDQG FRPPDQG UHODWLRQVKLSV XQLI\ HIIRUW DQG HQDEOH FRPPDQGHUV WR XVH
VXERUGLQDWHIRUFHVZLWKPD[LPXPIOH[LELOLW\$UP\FRPPDQGUHODWLRQVKLSVLGHQWLI\WKHGHJUHHRIFRQWURORI
WKHJDLQLQJ$UP\FRPPDQGHU7KHW\SHRIFRPPDQGUHODWLRQVKLSRIWHQUHODWHVWRWKHH[SHFWHGORQJHYLW\RI
WKHUHODWLRQVKLSEHWZHHQWKHKHDGTXDUWHUVLQYROYHGDQGLWTXLFNO\LGHQWLILHVWKHGHJUHHRIVXSSRUWWKDWWKH
JDLQLQJDQGORVLQJ$UP\FRPPDQGHUVSURYLGH$UP\FRPPDQGUHODWLRQVKLSVLQFOXGH²
z 2UJDQLF
z $VVLJQHG
z $WWDFKHG
z 23&21 VHHSDUDJUDSK$ 
z 7$&21 VHHSDUDJUDSK$ 

6HHWDEOH$RQSDJH$IRUDQLOOXVWUDWLRQRI$UP\FRPPDQGUHODWLRQVKLSV 

6 October 2017 FM 3-0 A-3


Appendix A

7DEOH$$UP\FRPPDQGUHODWLRQVKLSV
Then inherent responsibilities:
8QOHVV &DQLPSRVH
If +DYH PRGLILHG $UH
(VWDEOLVK
RQJDLQHG
relation- 0D\EH DQG +DYH
FRPPDQG $'&21 DVVLJQHG 3URYLGH XQLWIXUWKHU
ship WDVN PDLQWDLQ SULRULWLHV
UHODWLRQ UHVSRQVL SRVLWLRQ OLDLVRQ FRPPDQGRU
RUJDQL]HG FRPPXQL HVWDEOLVK
is— VKLS ELOLW\JRHV RU$2 WR— VXSSRUW
E\— FDWLRQV HGE\—
ZLWK— WKURXJK— E\— UHODWLRQVKLS
ZLWK—
  RI—
$OO
$UP\+4 $WWDFKHG
RUJDQLF
VSHFLILHG 23&21
IRUFHV 2UJDQLF 2UJDQLF 2UJDQLF
2UJDQLF LQ 1$ 1$ 7$&21
RUJDQL]HG +4 +4 +4
RUJDQL]LQJ *6*65
ZLWKWKH
GRFXPHQW 5'6
+4
$V $V $6&&RU
23&21 $VUHTXLUHG
*DLQLQJ *DLQLQJ *DLQLQJ UHTXLUHG UHTXLUHG 6HUYLFH
$VVLJQHG FKDLQRI E\23&21
XQLW +4 $UP\+4 E\ E\ DVVLJQHG
FRPPDQG +4
23&21 23&21 +4
$V $WWDFKHG
UHTXLUHG 8QLWWR 23&21
*DLQLQJ *DLQLQJ *DLQLQJ *DLQLQJ *DLQLQJ
$WWDFKHG E\ ZKLFK 7$&21
XQLW XQLW $UP\+4 XQLW XQLW
JDLQLQJ DWWDFKHG *6*65
XQLW 5'6
3DUHQW
XQLWDQG
JDLQLQJ $V
$V
XQLW UHTXLUHG 23&21
UHTXLUHG
*DLQLQJ JDLQLQJ *DLQLQJ E\JDLQLQJ *DLQLQJ 7$&21
23&21 3DUHQWXQLW E\
XQLW XQLWPD\ XQLW XQLWDQG XQLW *6*65
JDLQLQJ
SDVV SDUHQW 5'6
XQLW
23&21 XQLW
WRORZHU
+4
$V
$V
UHTXLUHG
UHTXLUHG
*DLQLQJ 3DUHQW *DLQLQJ E\JDLQLQJ *DLQLQJ 7$&21*6
7$&21 3DUHQWXQLW E\
XQLW XQLW XQLW XQLWDQG XQLW *655'6
JDLQLQJ
SDUHQW
XQLW
XQLW
Note. ,Q1$72WKHJDLQLQJXQLWPD\QRWWDVNRUJDQL]HDPXOWLQDWLRQDOIRUFH 6HH7$&21 

$'&21 DGPLQLVWUDWLYHFRQWURO+4KHDGTXDUWHUV
$2 DUHDRIRSHUDWLRQV1$QRWDSSOLFDEOH
$6&& $UP\6HUYLFHFRPSRQHQWFRPPDQG1$721RUWK$WODQWLF7UHDW\2UJDQL]DWLRQ
'6 GLUHFWVXSSRUW23&21RSHUDWLRQDOFRQWURO
*6 JHQHUDOVXSSRUW5UHLQIRUFLQJ
*65 JHQHUDOVXSSRUW–UHLQIRUFLQJ7$&21WDFWLFDOFRQWURO

2UJDQLF
$2UJDQLFIRUFHVDUHWKRVHDVVLJQHGWRDQGIRUPLQJDQHVVHQWLDOSDUWRIDPLOLWDU\RUJDQL]DWLRQDVOLVWHG
LQLWVWDEOHRIRUJDQL]DWLRQIRUWKH$UP\$LU)RUFHDQG0DULQH&RUSVDQGDUHDVVLJQHGWRWKHRSHUDWLQJ
IRUFHV IRU WKH 1DY\ -3   -RLQW FRPPDQG UHODWLRQVKLSV GR QRW LQFOXGH RUJDQLF EHFDXVH D -)& LV QRW
UHVSRQVLEOHIRUWKHRUJDQL]DWLRQDOVWUXFWXUHRIXQLWV7KDWLVD6HUYLFHUHVSRQVLELOLW\
$7KH$UP\HVWDEOLVKHVRUJDQLFFRPPDQGUHODWLRQVKLSVWKURXJKRUJDQL]DWLRQDOGRFXPHQWVVXFKDVWDEOHV
RIRUJDQL]DWLRQDQGHTXLSPHQWDQGWDEOHVRIGLVWULEXWLRQDQGDOORZDQFHV,IWHPSRUDULO\WDVNRUJDQL]HGZLWK
DQRWKHUKHDGTXDUWHUVRUJDQLFXQLWVUHWXUQWRWKHFRQWURORIWKHLURUJDQLFKHDGTXDUWHUVDIWHUFRPSOHWLQJWKH
PLVVLRQ7RLOOXVWUDWHZLWKLQDEULJDGHFRPEDWWHDP %&7 WKHHQWLUHEULJDGHLVRUJDQLF,QFRQWUDVWZLWKLQ
PRVWIXQFWLRQDODQGPXOWLIXQFWLRQDOEULJDGHVWKHUHLVD ³EDVH´RIRUJDQLFEDWWDOLRQVDQGFRPSDQLHVDQGD
YDULDEOHPL[RIDVVLJQHGDQGDWWDFKHGEDWWDOLRQVDQGFRPSDQLHV

A-4 FM 3-0 6 October 2017


&RPPDQG DQG6XSSRUW5HODWLRQVKLSV

$VVLJQHG
$ $VVLJQLVWRSODFHXQLWVRUSHUVRQQHOLQDQRUJDQL]DWLRQZKHUHVXFKSODFHPHQWLVUHODWLYHO\SHUPDQHQW
DQGRUZKHUHVXFKRUJDQL]DWLRQFRQWUROVDQGDGPLQLVWHUVWKHXQLWVRUSHUVRQQHOIRUWKHSULPDU\IXQFWLRQRU
JUHDWHUSRUWLRQRIWKHIXQFWLRQVRIWKHXQLWRUSHUVRQQHO -3 8QOHVVVSHFLILFDOO\VWDWHGWKLVUHODWLRQVKLS
LQFOXGHVDGPLQLVWUDWLYHFRQWURO $'&21 

$WWDFKHG
$ $WWDFKLVWKHSODFHPHQWRIXQLWVRUSHUVRQQHOLQ DQ RUJDQL]DWLRQZKHUHVXFKSODFHPHQWLVUHODWLYHO\
WHPSRUDU\ -3 $ XQLWPD\EHWHPSRUDULO\SODFHGLQWRDQ RUJDQL]DWLRQIRUWKHSXUSRVHRIFRQGXFWLQJD
VSHFLILFRSHUDWLRQRIVKRUWGXUDWLRQ$WWDFKHGXQLWVUHWXUQWRWKHLUSDUHQWKHDGTXDUWHUV DVVLJQHGRURUJDQLF
ZKHQ WKHUHDVRQIRUWKHDWWDFKPHQWHQGV7KH $UP\ KHDGTXDUWHUVWKDWUHFHLYHVDQRWKHU$UP\XQLWWKURXJK
DVVLJQPHQWRUDWWDFKPHQWDVVXPHVUHVSRQVLELOLW\IRUWKH$'&21UHTXLUHPHQWVDQGSDUWLFXODUO\VXVWDLQPHQW
WKDWQRUPDOO\H[WHQGGRZQWRWKDWHFKHORQXQOHVVPRGLILHGE\GLUHFWLYHV

$50<6833257 5(/$7,216+,36
$ 7DEOH $ RQ SDJH $ OLVWV $UP\ VXSSRUW UHODWLRQVKLSV $UP\ VXSSRUW UHODWLRQVKLSVDUH QRW D
FRPPDQGDXWKRULW\DQG DUHPRUHVSHFLILFWKDQ MRLQWVXSSRUWUHODWLRQVKLSV&RPPDQGHUVHVWDEOLVKVXSSRUW
UHODWLRQVKLSVZKHQVXERUGLQDWLRQRIRQHXQLWWRDQRWKHULVLQDSSURSULDWH$UP\VXSSRUWUHODWLRQVKLSVDUH²
z 'LUHFWVXSSRUW
z *HQHUDOVXSSRUW
z 5HLQIRUFLQJ
z *HQHUDOVXSSRUWUHLQIRUFLQJ
$ &RPPDQGHUVDVVLJQDVXSSRUWUHODWLRQVKLSIRUVHYHUDOUHDVRQV7KH\LQFOXGHZKHQ²
z 7KH VXSSRUWLVPRUHHIIHFWLYHLIDFRPPDQGHUZLWK WKHUHTXLVLWHWHFKQLFDODQG WDFWLFDOH[SHUWLVH
FRQWUROVWKHVXSSRUWLQJXQLWUDWKHUWKDQWKHVXSSRUWHGFRPPDQGHU
z 7KH HFKHORQRIWKHVXSSRUWLQJXQLWLVWKHVDPHDVRUKLJKHUWKDQ WKDWRIWKHVXSSRUWHGXQLW )RU
H[DPSOHWKHVXSSRUWLQJXQLWPD\EHDEULJDGHDQGWKHVXSSRUWHGXQLWPD\EHDEDWWDOLRQ,WZRXOG
EHLQDSSURSULDWHIRUWKHEULJDGH WREH VXERUGLQDWHGWRWKHEDWWDOLRQKHQFHWKHHFKHORQXVHVDQ
$UP\VXSSRUWUHODWLRQVKLS
z 7KH VXSSRUWLQJ XQLW VXSSRUWV VHYHUDO XQLWV VLPXOWDQHRXVO\ 7KH UHTXLUHPHQW WR VHW VXSSRUW
SULRULWLHVWRDOORFDWHUHVRXUFHVWRVXSSRUWHGXQLWVH[LVWV$VVLJQLQJ VXSSRUWUHODWLRQVKLSVLVRQH
DVSHFWRIPLVVLRQFRPPDQG

6 December 2017 FM 3-0, C1 A-5


Appendix A

7DEOH$$UP\VXSSRUWUHODWLRQVKLSV
If Then inherent responsibilities—
relation- +DYH 0D\EH 5HFHLYH $UH 3URYLGH (VWDEOLVK +DYH &DQ LPSRVH
ship FRPPDQG WDVN VXVWDLQ DVVLJQHG OLDLVRQ DQG SULRULWLHV RQ JDLQHG
is— UHODWLRQ RUJDQL]HG PHQW SRVLWLRQ RU WR— PDLQWDLQ HVWDEOLVKHG XQLWIXUWKHU
VKLSZLWK— E\— IURP— DQ DUHD RI FRPPXQL E\— VXSSRUW
RSHUDWLRQV FDWLRQV UHODWLRQVKLS
E\— ZLWK— RI—
'LUHFW 3DUHQW XQLW 3DUHQW 3DUHQW 6XSSRUWHG 6XSSRUWHG 3DUHQW XQLW 6XSSRUWHG 6HHQRWH
VXSSRUW  XQLW XQLW XQLW XQLW VXSSRUWHG XQLW
XQLW
5HLQIRUF 3DUHQW XQLW 3DUHQW 3DUHQW 5HLQIRUFHG 5HLQIRUFHG 3DUHQW XQLW 5HLQIRUFHG 1RW
LQJ XQLW XQLW XQLW XQLW UHLQIRUFHG XQLWWKHQ DSSOLFDEOH
XQLW SDUHQW XQLW
*HQHUDO 3DUHQW XQLW 3DUHQW 3DUHQW 3DUHQW XQLW 5HLQIRUFHG 5HLQIRUFHG 3DUHQW XQLW 1RW
VXSSRUW XQLW XQLW XQLWDQG XQLWDQG DV WKHQ DSSOLFDEOH
UHLQIRUF DV UHTXLUHG E\ UHLQIRUFHG
LQJ UHTXLUHG SDUHQW XQLW XQLW
E\SDUHQW
XQLW
*HQHUDO 3DUHQW XQLW 3DUHQW 3DUHQW 3DUHQW XQLW $V $VUHTXLUHG 3DUHQW XQLW 1RW
VXSSRUW XQLW XQLW UHTXLUHG E\SDUHQW DSSOLFDEOH
E\SDUHQW XQLW
XQLW
Note.  &RPPDQGHUV RI XQLWVLQ GLUHFWVXSSRUW PD\IXUWKHU DVVLJQVXSSRUW UHODWLRQVKLSV EHWZHHQ WKHLU VXERUGLQDWH XQLWV DQG
HOHPHQWV RI WKHVXSSRUWHG XQLWDIWHU FRRUGLQDWLRQ ZLWKWKHVXSSRUWHG FRPPDQGHU

$ $UP\VXSSRUWUHODWLRQVKLSVDOORZVXSSRUWLQJFRPPDQGHUVWRHPSOR\WKHLUXQLWV¶FDSDELOLWLHVWRDFKLHYH
UHVXOWVUHTXLUHGE\VXSSRUWHGFRPPDQGHUV6XSSRUWUHODWLRQVKLSVDUHJUDGXDWHGIURPDQH[FOXVLYHVXSSRUWHG
DQGVXSSRUWLQJUHODWLRQVKLSEHWZHHQWZRXQLWV²DVLQGLUHFWVXSSRUW²WRDEURDGOHYHORIVXSSRUWH[WHQGHGWR
DOOXQLWVXQGHUWKHFRQWURORIWKHKLJKHUKHDGTXDUWHUV²DVLQ JHQHUDOVXSSRUW6XSSRUWUHODWLRQVKLSVGRQRW
DOWHU DGPLQLVWUDWLYH FRQWURO &RPPDQGHUV VSHFLI\ DQG FKDQJH VXSSRUW UHODWLRQVKLSV WKURXJK WDVN
RUJDQL]DWLRQ
$ Direct supportLVDVXSSRUWUHODWLRQVKLSUHTXLULQJDIRUFHWRVXSSRUWDQRWKHUVSHFLILFIRUFHDQG
DXWKRUL]LQJLWWRDQVZHUGLUHFWO\WRWKHVXSSRUWHGIRUFH’VUHTXHVWIRUDVVLVWDQFH$XQLWDVVLJQHGDGLUHFW
VXSSRUWUHODWLRQVKLSUHWDLQVLWVFRPPDQGUHODWLRQVKLSZLWK LWVSDUHQW XQLW EXW LWLVSRVLWLRQHG E\ DQG KDV
SULRULWLHVRIVXSSRUWHVWDEOLVKHGE\ WKHVXSSRUWHGXQLW -RLQWGRFWULQHFRQVLGHUVGLUHFWVXSSRUWD PLVVLRQ
UDWKHUWKDQ D VXSSRUWUHODWLRQVKLS $ ILHOGDUWLOOHU\XQLWLQ GLUHFWVXSSRUWRIDPDQHXYHU XQLW LVFRQFHUQHG
SULPDULO\ZLWK WKHILUHVXSSRUWQHHGVRIRQO\WKDWXQLW 7KH ILUHVFHOORIWKHVXSSRUWHGPDQHXYHUXQLWSODQV
DQGFRRUGLQDWHVILUHVWRVXSSRUWWKHPDQHXYHUFRPPDQGHU¶VLQWHQW7KHFRPPDQGHURIDXQLWLQGLUHFWVXSSRUW
UHFRPPHQGVSRVLWLRQDUHDVDQG FRRUGLQDWHVIRUPRYHPHQWFOHDUDQFHVZKHUHWKHXQLWFDQ EHVWVXSSRUWWKH
PDQHXYHUFRPPDQGHU¶VFRQFHSWRIWKHRSHUDWLRQ
$ *HQHUDOVXSSRUWLVWKDWVXSSRUWZKLFKLVJLYHQWRWKHVXSSRUWHGIRUFHDVDZKROH,WLVQRWJLYHQWRDQ\
SDUWLFXODUVXEGLYLVLRQRIWKH IRUFH8QLWVDVVLJQHGD JHQHUDOVXSSRUWUHODWLRQVKLSDUHSRVLWLRQHG DQG KDYH
SULRULWLHVHVWDEOLVKHGE\WKHLUSDUHQWXQLW$ ILHOGDUWLOOHU\XQLWDVVLJQHGLQJHQHUDOVXSSRUWRIDIRUFHKDVDOO
RILWVILUHVXQGHUWKHLPPHGLDWHFRQWURORIWKHVXSSRUWHGFRPPDQGHURUKLVGHVLJQDWHGIRUFHILHOGDUWLOOHU\
KHDGTXDUWHUV
$ 5HLQIRUFLQJLVDVXSSRUWUHODWLRQVKLSUHTXLULQJDIRUFHWRVXSSRUWDQRWKHUVXSSRUWLQJXQLW2QO\
OLNHXQLWV IRUH[DPSOHDUWLOOHU\WRDUWLOOHU\ FDQEHJLYHQDUHLQIRUFLQJPLVVLRQ$XQLWDVVLJQHGDUHLQIRUFLQJ
VXSSRUWUHODWLRQVKLSUHWDLQVLWVFRPPDQGUHODWLRQVKLSZLWKLWVSDUHQWXQLWEXWLWLVSRVLWLRQHGE\WKHUHLQIRUFHG
XQLW$XQLWWKDWLVUHLQIRUFLQJKDVSULRULWLHVRIVXSSRUWHVWDEOLVKHGE\WKHUHLQIRUFHGXQLWWKHQWKHSDUHQWXQLW
)RU H[DPSOH ZKHQ D GLUHFWVXSSRUWILHOGDUWLOOHU\EDWWDOLRQ UHTXLUHVPRUHILUHVWR PHHWPDQHXYHU IRUFH
UHTXLUHPHQWVDQRWKHUILHOGDUWLOOHU\EDWWDOLRQPD\EHGLUHFWHGWRUHLQIRUFHWKHGLUHFWVXSSRUWEDWWDOLRQ
$ +General support—reinforcingLVDVXSSRUWUHODWLRQVKLSDVVLJQHGWRDXQLWWRVXSSRUWWKHIRUFHDV
DZKROHDQGWRUHLQIRUFHDQRWKHUVLPLODUW\SHXQLW$XQLWDVVLJQHGDJHQHUDOVXSSRUWUHLQIRUFLQJVXSSRUW

A-6 FM 3-0, C1 6 December 2017


&RPPDQGDQG6XSSRUW5HODWLRQVKLSV

UHODWLRQVKLSLVSRVLWLRQHGDQGKDVLWVSULRULWLHVHVWDEOLVKHGE\LWVSDUHQWXQLWDQGVHFRQGO\E\WKHUHLQIRUFHG
XQLW)RUH[DPSOHDQDUWLOOHU\XQLWWKDWKDVDJHQHUDOVXSSRUWUHLQIRUFLQJUHODWLRQVKLSVXSSRUWVWKHIRUFHDVD
ZKROHDQGSURYLGHVUHLQIRUFLQJILUHVIRURWKHUDUWLOOHU\XQLWV

$'0,1,675$7,9(&21752/
$$GPLQLVWUDWLYHFRQWUROLVGLUHFWLRQRUH[HUFLVHRIDXWKRULW\RYHUVXERUGLQDWHRURWKHURUJDQL]DWLRQVLQ
UHVSHFWWRDGPLQLVWUDWLRQDQGVXSSRUW -3 $'&21LVQRWDFRPPDQGRUVXSSRUWUHODWLRQVKLSLWLVD6HUYLFH
DXWKRULW\,WLVH[HUFLVHGXQGHUWKHDXWKRULW\RIDQGLVGHOHJDWHGE\WKH6HFUHWDU\RIWKH$UP\$'&21LV
V\QRQ\PRXVZLWKWKH$UP\¶V7LWOHDXWKRULWLHVDQGUHVSRQVLELOLWLHV
$$'&21UHVSRQVLELOLWLHVRI$UP\IRUFHVLQYROYHWKHHQWLUH$UP\DQGWKH\DUHGLVWULEXWHGEHWZHHQWKH
$UP\LQVWLWXWLRQDOIRUFHDQGWKHRSHUDWLQJIRUFHV7KHLQVWLWXWLRQDOIRUFHFRQVLVWVRIWKRVH$UP\RUJDQL]DWLRQV
ZKRVHSULPDU\PLVVLRQLVWRJHQHUDWHDQGVXVWDLQWKHRSHUDWLQJIRUFH¶VFDSDELOLWLHVIRUHPSOR\PHQWE\-)&V
2SHUDWLQJIRUFHVFRQVLVWRIWKRVHIRUFHVZKRVHSULPDU\PLVVLRQVDUHWRSDUWLFLSDWHLQFRPEDWDQGWKHLQWHJUDO
VXSSRUWLQJHOHPHQWVWKHUHRI2IWHQFRPPDQGHUVLQWKHRSHUDWLQJIRUFHDQGFRPPDQGHUVLQWKHLQVWLWXWLRQDO
IRUFHVXEGLYLGHVSHFLILFUHVSRQVLELOLWLHV$UP\LQVWLWXWLRQDOIRUFHFDSDELOLWLHVDQGRUJDQL]DWLRQVDUHOLQNHGWR
RSHUDWLQJIRUFHVWKURXJKFRORFDWLRQDQGUHDFKEDFN
$7KH$UP\6HUYLFHFRPSRQHQWFRPPDQG $6&& LVDOZD\VWKHVHQLRU$UP\KHDGTXDUWHUVDVVLJQHGWR
D FRPEDWDQW FRPPDQG ,WV FRPPDQGHU H[HUFLVHV FRPPDQG DXWKRULWLHV DV DVVLJQHG E\ WKH FRPEDWDQW
FRPPDQGHUDQG$'&21DVGHOHJDWHGE\WKH6HFUHWDU\RIWKH$UP\$'&21LVWKH$UP\¶VDXWKRULW\WR
DGPLQLVWHUDQGVXSSRUW$UP\IRUFHVHYHQZKLOHLQDFRPEDWDQWFRPPDQGDUHDRIUHVSRQVLELOLW\&2&20LV
WKHEDVLFDXWKRULW\IRUFRPPDQGDQGFRQWURORIWKHVDPH$UP\IRUFHV7KH$UP\LVREOLJDWHGWRPHHWWKH
FRPEDWDQW FRPPDQGHU¶V UHTXLUHPHQWV IRU WKH RSHUDWLQJ IRUFHV (VVHQWLDOO\ $'&21 GLUHFWV WKH $UP\¶V
VXSSRUWRIRSHUDWLQJIRUFHUHTXLUHPHQWV
$8QOHVV PRGLILHG E\ WKH 6HFUHWDU\ RI WKH $UP\ DGPLQLVWUDWLYH UHVSRQVLELOLWLHV QRUPDOO\ IORZ IURP
'HSDUWPHQWRIWKH$UP\WKURXJKWKH$6&&WRWKRVH$UP\IRUFHVDVVLJQHGRUDWWDFKHGWRWKDWFRPEDWDQW
FRPPDQG$6&&VXVXDOO\³VKDUH´$'&21IRUDWOHDVWVRPHDGPLQLVWUDWLYHRUVXSSRUWIXQFWLRQV ³6KDUHG
$'&21´ UHIHUV WR WKH LQWHUQDO DOORFDWLRQ RI 7LWOH  86 &RGH VHFWLRQ  E  UHVSRQVLELOLWLHV DQG
IXQFWLRQV7KLVLVHVSHFLDOO\WUXHIRU5HVHUYH&RPSRQHQWIRUFHV&HUWDLQDGPLQLVWUDWLYHIXQFWLRQVVXFKDV
SD\ VWD\ ZLWK WKH 5HVHUYH &RPSRQHQW KHDGTXDUWHUV HYHQ DIWHU XQLW PRELOL]DWLRQ 6KDUHG $'&21 DOVR
DSSOLHVWRGLUHFWUHSRUWLQJXQLWVRIWKH$UP\WKDWW\SLFDOO\SHUIRUPVLQJOHRUXQLTXH IXQFWLRQV7KHGLUHFW
UHSRUWLQJ XQLW UDWKHU WKDQ WKH $6&& W\SLFDOO\ PDQDJHV LQGLYLGXDO DQG XQLW WUDLQLQJ IRU WKHVH XQLWV 7KH
6HFUHWDU\RIWKH$UP\GLUHFWVVKDUHG$'&21


6 October 2017 FM 3-0 A-7


This page intentionally left blank.


Appendix B
Risk Considerations

7KLVDSSHQGL[GHVFULEHVULVNVDVVRFLDWHGWRODUJHVFDOHJURXQGFRPEDW,WWKHQSURYLGHV
FRPPDQGHUVDQGVWDIIVFRQVLGHUDWLRQVWRPLWLJDWHWKRVHULVNV
% 5LVNXQFHUWDLQW\DQGFKDQFHDUHLQKHUHQWLQDOOPLOLWDU\RSHUDWLRQV&RPPDQGHUVVHHNWRXQGHUVWDQG
EDODQFH DQG WDNH ULVNV UDWKHU WKDQ DYRLG ULVNV :KHQ FRPPDQGHUV DFFHSW ULVN LQ ODUJHVFDOH FRPEDW
RSHUDWLRQVWKH\FUHDWHRSSRUWXQLWLHVWRVHL]HUHWDLQDQGH[SORLWWKHLQLWLDWLYHDQGDFKLHYHGHFLVLYHUHVXOWV
2SSRUWXQLWLHVFRPHZLWKULVNV7KHZLOOLQJQHVVWRLQFXUULVNLVRIWHQWKHNH\WRH[SRVLQJHQHP\ZHDNQHVVHV
WKDW WKH HQHP\ FRQVLGHUV EH\RQG IULHQGO\ UHDFK 8QGHUVWDQGLQJ ULVN UHTXLUHV DVVHVVPHQWV FRXSOHG ZLWK
EROGQHVV DQG LPDJLQDWLRQ 6XFFHVVIXO FRPPDQGHUV DVVHVV DQG PLWLJDWH ULVN FRQWLQXRXVO\ WKURXJKRXW DQ
RSHUDWLRQ
% &RPPDQGHUVVXSSRUWHGE\WKHLUVWDIIVPDNHUHDVRQDEOHHVWLPDWHVDQGLQWHQWLRQDOO\DFFHSWULVNVLQ
FRPEDW 7KH\ IRFXV RQ FUHDWLQJ RSSRUWXQLWLHV WR ZLQ UDWKHU WKDQ VLPSO\ SUHYHQWLQJ GHIHDW²HYHQ ZKHQ
SUHYHQWLQJ GHIHDW DSSHDUV VDIHU &RPPDQGHUV FDUHIXOO\ GHWHUPLQH ULVNV DQDO\]H DQG PLQLPL]H DV PDQ\
KD]DUGVDVSRVVLEOHDQGH[HFXWHDSODQWKDWDFFRXQWVIRUWKRVHKD]DUGV
% &RPPDQGHUVEDODQFHWKHWHQVLRQEHWZHHQSURWHFWLQJWKHIRUFHDQGDFFHSWLQJULVNVLQRUGHUWRDFKLHYH
PLOLWDU\ REMHFWLYHV 7KXV FRPPDQGHUV PXVW DGHTXDWHO\ SODQ DQG SUHSDUH IRU RSHUDWLRQV DQG WKH\ DUH
LQIRUPHGE\DFRPSUHKHQVLYHXQGHUVWDQGLQJRIDQRSHUDWLRQDOHQYLURQPHQW 2( &RPPDQGHUVFROODERUDWH
DQGGLDORJZLWKVXERUGLQDWHVZKHQGHFLGLQJKRZPXFKULVNWRDFFHSWDQGKRZWRPLQLPL]HWKHHIIHFWVRIULVN
&RPPDQGHUVDOVRDYRLGGHOD\LQJDFWLRQZKLOHZDLWLQJIRUUHILQHGLQWHOOLJHQFHRUSHUIHFWV\QFKURQL]DWLRQ
([SHULHQFHGFRPPDQGHUVEDODQFHDXGDFLW\DQGLPDJLQDWLRQZLWKULVNDQGXQFHUWDLQW\7KH\VWULNHDWDWLPH
DQGSODFHDQGLQDPDQQHUZKROO\XQH[SHFWHGE\WKHHQHP\
% ,WLVLPSRUWDQW WRUHPHPEHUWKDWDFFHSWLQJULVNLVD IXQFWLRQRIFRPPDQGDQGLWLVD NH\SODQQLQJ
FRQVLGHUDWLRQ7KHFRPPDQGHUDORQHGHWHUPLQHVWKHOHYHORIULVNWKDWLVDFFHSWDEOHZLWKUHVSHFWWRDVSHFWVRI
RSHUDWLRQV7KLVOHYHORIULVNVKRXOGEHH[SUHVVHGLQWKHFRPPDQGHU¶VJXLGDQFHLQFRUSRUDWHGLQWRDOOSODQV
DQGRUGHUVDQGFOHDUO\XQGHUVWRRGE\VXERUGLQDWHFRPPDQGHUV
% 6LWXDWLRQDO XQGHUVWDQGLQJ LV HVVHQWLDO WR PDQDJLQJ ULVN 6HHLQJ XQGHUVWDQGLQJ DQG UHVSRQGLQJ WR
ZLQGRZVRIYXOQHUDELOLW\RURSSRUWXQLW\ZLWKLQHDFKGRPDLQDQGWKHLQIRUPDWLRQHQYLURQPHQWFDQUHGXFH
ULVNWRWKHIRUFHDQGHQKDQFHVXFFHVVLQFKDRWLFDQGKLJKWHPSRRSHUDWLRQV&ULWLFDOWRXQGHUVWDQGLQJKRZ
PXFKULVNWRLQFXULVWKHUHJXODUUHYLHZRIDVVXPSWLRQVWKDWXQGHUOLHSDUWLFXODUFRXUVHVRIDFWLRQ&KDOOHQJLQJ
DVVXPSWLRQVDQGGHPDQGLQJDFFXUDWHVWDIIHVWLPDWHVKHOSVWRHQVXUHWKDWZKHQWKHFRPPDQGHUGHFLGHVWR
DFFHSWULVNWKHGHFLVLRQLVEDVHGRQDUHDVRQDEOHXQGHUVWDQGLQJRIKRZPXFKULVNLVEHLQJWDNHQ7DEOH%RQ
SDJH%OLVWVH[DPSOHVRIULVNFRQVLGHUDWLRQVWKDWFRPPDQGHUVVKRXOGUHYLHZZKHQPDNLQJGHFLVLRQVRQ
ULVN

6 October 2017 FM 3-0 B-1


Appendix B

7DEOH%5LVNFRQVLGHUDWLRQV
Commander’s risk considerations
+RZPXFKFRPEDWSRZHUWKHPDLQHIIRUWUHFHLYHVDQGZK\" &RPPDQGHUVFRQILUPWKHWDVNRUJDQL]DWLRQ
DQQH[6XERUGLQDWHXQLWVVWULFWO\IROORZWKHSDUDPHWHUVRIFRPPDQGRUVXSSRUWUHODWLRQVKLSVRXWOLQHGLQ
DSSHQGL[$RIWKLVPDQXDO 
,VVXIILFLHQWJXLGDQFHSURYLGHGWRHPSRZHUSURYLGHYLVLRQDQGSXUSRVHDQGVHWFRQGLWLRQVIRUWKHWHDP
WRVXFFHHG" &RPPDQGHUVGULYHWKHRSHUDWLRQVSURFHVVWKURXJKXQGHUVWDQGLQJYLVXDOL]LQJGHVFULELQJ
GLUHFWLQJOHDGLQJDQGDVVHVVLQJ 
:KHUHGRHVWKHFRPPDQGHUEHVWFRPPDQGWKHRUJDQL]DWLRQ" 7KHFRPPDQGHU’VSUHVHQFHFDQPLWLJDWH
FRQIXVLRQLQFRPEDWDQGSUHYHQWWKHKHDGTXDUWHUVIURPORVLQJIRFXV 
:KDWDXWKRULWLHVH[LVWWRHPSRZHUVXERUGLQDWHFRPPDQGHUVWREXLOGUHODWLRQVKLSVRIWUXVWZLWKXQLILHG
DFWLRQSDUWQHUVDQGORFDORIILFLDOVZLWKLQWKHLUDVVLJQHGDUHDRIRSHUDWLRQV" /HDGHUVQHHGWREXLOGWKRVH
UHODWLRQVKLSV&RPPDQGHUVVKRXOGFRQVLGHUDQ\REVWDFOHVWREXLOGLQJWKRVHUHODWLRQVKLSVUHJDUGOHVVRI
KRZVOLJKWDVKDYLQJWKHSRWHQWLDOWRGLVUXSWFRPEDWRSHUDWLRQV 
+RZFDQFRPPDQGHUVHQVXUHWKDWWKHLUVWDIIVGRQRWRYHUFODVVLI\SURGXFWV" 2YHUFODVVLILFDWLRQVORZV
VKDUHGXQGHUVWDQGLQJZLWKXQLILHGDFWLRQSDUWQHUV 
+RZGRHVWKHXQLWPRYHLQWRSRVLWLRQVRIDGYDQWDJHLQUHVWULFWHGWHUUDLQZLWKRXWEHLQJKHDYLO\GLVUXSWHGE\
HQHP\DVVHWV" 8QLWVREVHUYHGE\HQHP\IRUFHVFDQEHHQJDJHG8QLWVHQJDJHGE\DQHQHP\RQWKH
HQHP\’VWHUPVFDQEHGHVWUR\HG 
$UHVWDIIVDWKLJKHUHFKHORQVHQDEOLQJSDUDOOHOSODQQLQJDFURVVDOOHFKHORQKHDGTXDUWHUV" 6WDIIVQHHGWR
WDNHIXOODGYDQWDJHRIOLDLVRQRIILFHUV7KH\VKRXOGDOVRXVHGLJLWDOV\VWHPVWRVKDUHSODQQLQJLQIRUPDWLRQ
ZLWKWKHVWDIIVRIVXERUGLQDWHVXSSRUWLQJDQGVXSSRUWHGVWDIIVLIGLJLWDOFRQQHFWLYHO\H[LVWV 
$UHSURFHVVHVLQSODFHWRDOORZVWDIIVWRLQWHUDFWZLWKWKHXQLWFRPPDQGHUDQGH[WUDFWWKHFRPPDQGHU’V
LQWHQWDQGRYHUDOOYLVXDOL]DWLRQZKHQSUREOHPVDUHLGHQWLILHG" 7KHVWDIIEDWWOHUK\WKPQHHGVWRSURYLGH
WKHVWDIIZLWKWLPHWRLQWHUDFWZLWKWKHFRPPDQGHUGXULQJWKHGD\ 
$UHVWDIIVGHYHORSLQJDQGUHKHDUVLQJV\VWHPVWRHQVXUHWKHIORZRILQIRUPDWLRQIURPDOOVRXUFHVWRWKH
UHVSHFWLYHVWDIIIXQFWLRQVDQGV\QFKURQL]DWLRQFHOOV" &KLHIVRIVWDIIDQGH[HFXWLYHRIILFHUVDUH
UHVSRQVLEOHIRUHQVXULQJDOOHFKHORQVKDYHDIHHGEDFNPHFKDQLVPWRWKHKHDGTXDUWHUVLQFOXGLQJVSHFLDO
RSHUDWLRQV 
'RWKHHIIRUWVRIVSHFLDOVWDIIRIILFHUVVXSSRUWWKHVFKHPHRIPDQHXYHUDQGWKHLQIRUPDWLRQQDUUDWLYH"
7KLVVKRXOGRFFXUZLWKRXWSODFLQJH[FHVVLYHGHPDQGVRQVXERUGLQDWHFRPPDQGHUV 
'RHVWKHVWDIIXVHVLPXODWLRQDQGJDPLQJWHFKQLTXHVWRUHILQHRUV\QFKURQL]HRSHUDWLRQVDVSDUWRI
GLIIHUHQWUHKHDUVDOH[HUFLVHVDFURVVHFKHORQVDQGDFURVVGRPDLQV" 7KLVUHTXLUHVHOHPHQWVRIWKHVWDIIWR
RSHUDWHDVDUHGWHDPWRVXEMHFWLPSRUWDQWSDUWVRIWKHSODQWRH[DPLQDWLRQ 
,VWKHVWDIIVHHNLQJV\QFKURQL]DWLRQDFURVVPXOWLSOHGRPDLQV" 6WDIIVGHWHUPLQHZLQGRZVZKHQHLWKHU
EHFDXVHRIEDWWOHUK\WKPRUHIIHFWVDQHQHP\’VFROOHFWLRQRUOHWKDOHIIHFWVFDSDELOLW\LVOLPLWHG6WDIIV
UHFRPPHQGWKRVHZLQGRZVRIWLPHIRUPRYHPHQWVRUDWWDFNVE\VXERUGLQDWHXQLWV 
:KDWRSHUDWLRQVVHFXULW\FRQVLGHUDWLRQVDUHPRVWLPSRUWDQWIRUUHGXFLQJULVNWRIULHQGO\IRUFHV" 7KLV
UHTXLUHVDQDFFXUDWHNQRZOHGJHRIHQHP\LQIRUPDWLRQFROOHFWLRQPHDQVDQGFDSDELOLWLHVRQWKHSDUWRIWKH
DVVLVWDQWFKLHIRIVWDIILQWHOOLJHQFH * DQGEDWWDOLRQRUEULJDGHLQWHOOLJHQFHVWDIIRIILFHU 6 DQG
SURWHFWLRQFHOOVWDIIV 
:KHQDQGZKHUHFRXOGPLOLWDU\GHFHSWLRQRSHUDWLRQVEHVWUHGXFHIULHQGO\YXOQHUDELOLWLHVZKLOHFUHDWLQJ
HQHP\GLOHPPDV" 7KLVUHTXLUHVDQDFFXUDWHNQRZOHGJHRIHQHP\LQIRUPDWLRQFROOHFWLRQPHDQVDQG
FDSDELOLWLHV,WDOVRUHTXLUHVDQXQGHUVWDQGLQJRIKRZWKHWDUJHWHGHQHP\GHFLVLRQPDNHUUHFHLYHVDQG
SURFHVVHVLQIRUPDWLRQLQDGGLWLRQWRWKDWOHDGHU’VIUDPHRIUHIHUHQFH 





B-2 FM 3-0 6 October 2017




6RXUFH1RWHV

7KLVGLYLVLRQOLVWVVRXUFHVE\SDJHQXPEHU:KHUHPDWHULDODSSHDUVLQDSDUDJUDSKLW
OLVWVERWKWKHSDJHQXPEHUIROORZHGE\WKHSDUDJUDSKQXPEHU$OOZHEVLWHVDFFHVVHG
-XO\
 ³:DULVWKXVDQDFW«´&DUOYRQ&ODXVHZLW]2Q:DUHGLWHGDQGWUDQVODWHGE\0LFKDHO+RZDUG
DQG3HWHU3DUHW 3ULQFHWRQ1-3ULQFHWRQ8QLYHUVLW\3UHVV 
 &ORVH&RPEDW+UWJHQ)RUHVW$UP\8QLYHUVLW\3UHVVVWDIIXQSXEOLVKHGWH[W
 /HWKDOLW\(DVWHUQ8NUDLQH$UP\8QLYHUVLW\3UHVVVWDIIXQSXEOLVKHGWH[W
 ³1RPDWWHUKRZFOHDUO\«´6LU0LFKDHO+RZDUGTXRWHGLQ'HYHORSPHQWV&RQFHSWVDQG
'RFWULQH&HQWUH)XWXUH&KDUDFWHURI&RQIOLFW6WUDWHJLF7UHQGV3URJUDPPH 8QLWHG.LQJGRP
0LQLVWU\RI'HIHQFH 
 ³6LQFHPHQOLYHXSRQ«´-XOLDQ6&RUEHWW6RPH3ULQFLSOHVRI0DULWLPH6WUDWHJ\ $QQDSROLV
0'1DYDO,QVWLWXWH3UHVV 
 ³3ULQWLVWKHVKDUSHVW«´-RVHI6WDOLQ6SHHFK$SULO%DUWOHWW
V)DPLOLDU4XRWDWLRQV
1HZ<RUN/LWWOH%URZQDQG&RPSDQ\ 
 ³,NQRZIURPSHUVRQDO«´*HQHUDO0DUN&ODUNLQ³)RU,5HVROYH«´$VEXU\3DUN3UHVV
$VEXU\3DUN1--DQXDU\ $YDLODEOHDW
KWWSVZZZQHZVSDSHUVFRPQHZVSDJH
 ³>6@HSDUDWHJURXQGVHDDQG«´'ZLJKW'(LVHQKRZHU³6SHFLDO0HVVDJHWRWKH&RQJUHVVRQ
5HRUJDQL]DWLRQRIWKH'HIHQVH(VWDEOLVKPHQW´$SULO2QOLQHE\*HUKDUG3HWHUVDQG
-RKQ7:RROOH\7KH$PHULFDQ3UHVLGHQF\3URMHFW
KWWSZZZSUHVLGHQF\XFVEHGXZV"SLG 
 ³,VKRXOGOLNHWR«´6DODGLQLQ%HKD(GGLQ7KH/LIHRI6DODGLQ /RQGRQ&RPPLWWHHRIWKH
3DOHVWLQH([SORUDWLRQ)XQG 
 ³:HLQ$PHULFDKDYH«´5RQDOG5HJDQ³5HPDUNVDWD&HUHPRQ\&RPPHPRUDWLQJWKHWK
$QQLYHUVDU\RIWKH1RUPDQG\,QYDVLRQ'GD\-XQH´7KH3XEOLF3DSHUVRI3UHVLGHQW
5RQDOG:5HDJDQ5RQDOG5HDJDQ3UHVLGHQWLDO/LEUDU\$YDLODEOHDW
KWWSVZZZUHDJDQOLEUDU\DUFKLYHVJRYDUFKLYHVVSHHFKHVDKWP
 ³7REHSUHSDUHGIRUZDU«´*HRUJH:DVKLQJWRQ'LFWLRQDU\RI0LOLWDU\DQG1DYDO4XRWDWLRQV
FRPSLOHGE\5REHUW'HEV+HLQO-U $QQDSROLV0'8QLWHG6WDWHV1DYDO,QVWLWXWH 
 ³:DU¶VYHU\REMHFWLV«´*HQHUDO'RXJODV0DF$UWKXU6SHHFKWR&RQJUHVVLQ+RXVHRI
5HSUHVHQWDWLYHV$SULO$YDLODEOHDW
KWWSVZZZWUXPDQOLEUDU\RUJZKLVWOHVWRSVWXG\BFROOHFWLRQVNRUHDQZDULQGH[SKS"DFWLRQ SGI
GRFXPHQWLG PD
 ³/RVVRIKRSH«´%+/LGGHOO+DUWLQ0LOLWDU\$LU3RZHU7KH&$'5('LJHVWRI$LU3RZHU
2SLQLRQVDQG7KRXJKWVFRPSLOHGE\&KDUOHV0:HVWHQKRII 0D[ZHOO$LU)RUFH%DVH$/$LU
8QLYHUVLW\3UHVV 
 ³7KHFRPPXQLW\RIGDQJHU«´;HQRSKRQ'LFWLRQDU\RI4XRWDWLRQV &ODVVLFDO 7KRPDV
%HQILHOG+DUERWWOH 1HZ<RUN6ZDQ6RQQHQVFKHLQ &R/LPLWHG 
 ³,WLVHYHQEHWWHU«´&DUOYRQ&ODXVHZLW]2Q:DU'LFWLRQDU\RI0LOLWDU\DQG1DYDO
4XRWDWLRQVFRPSLOHGE\5REHUW'HEV+HLQO-U $QQDSROLV0'8QLWHG6WDWHV1DYDO,QVWLWXWH
 
 ³,QZDUWULYLDO«´-XOLXV&DHVDU'H%HOOR*DOOLFRL%&'LFWLRQDU\RI0LOLWDU\DQG
1DYDO4XRWDWLRQVFRPSLOHGE\5REHUW'HEV+HLQO-U $QQDSROLV0'8QLWHG6WDWHV1DYDO
,QVWLWXWH 

6 October 2017 FM 3-0 Source Notes-1


Source Notes

 ³1HYHUWHOOSHRSOH«´*HQHUDO*HRUJH3DWWRQ³4XRWHV´$YDLODEOHDW
KWWSZZZJHQHUDOSDWWRQFRPTXRWHV
 ³>7@KHUHLVDZLGH«´;HQRSKRQ0HPRUDELOLD7KH3HUVHXV3URMHFW7XIWV8QLYHUVLW\
7KH$QQHQEHUJ&3%3URMHFWSURYLGHGVXSSRUWIRUHQWHULQJWKLVWH[W$YDLODEOHDW
KWWSSHUVHXVXFKLFDJRHGXSHUVHXV
FJLFLWHTXHU\SO"GEQDPH *UHHN)HE TXHU\ ;HQ0HP JHWLG 
³1HYHUIRUJHWWKDWQRPLOLWDU\OHDGHUKDVHYHUEHFRPHJUHDWZLWKRXWDXGDFLW\´&DUOYRQ
&ODXVHZLW]
 ³7KHPRUH,VHH«´)LHOG0DUVKDO:DYHOOFLWHGLQ6SHDNLQJ*HQHUDOO\ /RQGRQ ±
LQ0DUWLQ9DQ&UHYHOG¶V6XSSO\LQJ:DU/RJLVWLFVIURP:DOOHQVWHLQWR3DWWRQ 1HZ<RUN
&DPEULGJH8QLYHUVLW\3UHVV ±
 ³7RUHPDLQVHSDUDWHGIRU«´)LHOG0DUVKDO+HOPXWKYRQ0ROWNHWKH(OGHULQ70LOOHU
0DJXLUH³&DPSDLJQLQ%RKHPLD´7KH8QLWHG6HUYLFH0DJD]LQH /RQGRQ:LOO&ORZHV 
6RQV/LPLWHG ±
 ³$QGWRFRQWUROPDQ\«´6XQ7]X7KH$UWRI:DUWUDQVODWHGE\6DPXHO%*ULIILWK 1HZ
<RUN2[IRUG8QLYHUVLW\3UHVV 
&KDSWHU
 ³>7@KHUHDOREMHFWRI«´(OLKX5RRW$QQXDO5HSRUWVRIWKH:DU'HSDUWPHQW9RO,9
:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH 
 ³7KHODQGGRPDLQLV´-3&RPPDQGDQG&RQWUROIRU/DQG2SHUDWLRQV)HEUXDU\
$YDLODEOHDWKWWSZZZGWLFPLOGRFWULQHQHZBSXEVMRLQWSXEKWP
 6XVWDLQPHQW23(5$7,216'(6(576+,(/'DQG'(6(5767250YLJQHWWHLQ)0
>REVROHWH@2SHUDWLRQV :DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH 
 ³6XFFHVVLQZDUFDQ´0DMRU*HQHUDO/HRQDUG:RUGLQ)LHOG6HUYLFH5HJXODWLRQ :DVKLQJWRQ
'&*RYHUQPHQW3ULQWLQJ2IILFH 
 ³1RDUP\FDQEH«´*HQHUDO:LOOLDP76KHUPDQ0HPRLUVRI:LOOLDP76KHUPDQE\+LPVHOI
1HZ<RUN'$SSOHWRQDQG&RPSDQ\ 
 ³,DPGRLQJDOO«´)LHOG0DUVKDO(DUO.LWFKHQHULQ³.´DVSHHFKE\WKH(DUORI'DUE\7KH
/RUG.LWFKHQHU0HPRULDO%RRNHGLWHGE\6LU+HGOH\/H%DV 1HZ<RUN+RGGHUDQG
6WRXJKWRQ 3XEOLVKHGRQEHKDOIRIWKH/RUG.LWFKHQHUQDWLRQDOPHPRULDOIXQG$YDLODEOH
DWKWWSZZZDUFKLYHRUJGHWDLOVORUGNLWFKHQHUPHPOHED
 ³8QOHVV\RXXQGHUVWDQGWKH«´0DR7VH7XQJ6HOHFWHG0LOLWDU\:ULWLQJVRI0DR7VH7XQJ
3HNLQJ)RUHLJQ/DQJXDJHV3UHVV 
 ³/HDGPHIROORZPH«´*HQHUDO*HRUJH6PLWK3DWWRQ-U
KWWSZZZJHQHUDOSDWWRQFRPTXRWHV
 ³,KDYHSXEOLVKHGXQGHU´)LHOG0DUVKDO6OLP/HFWXUHWRWKH6WDII&ROOHJH1RYHPEHU
)LHOG0DUVKDO9LVFRXQW:LOOLDP6OLP'HIHDWLQWR9LFWRU\%DWWOLQJ-DSDQLQ%XUPDDQG,QGLD
² 1HZ<RUN&RRSHU6TXDUH3UHVV 
 ³7KHUHKDVQHYHUEHHQ«´3UHVLGHQW+DUU\7UXPDQ³*RLQJ)RUZDUGZLWKD&DPSDLJQRI
7UXWK´6WDWH'HSDUWPHQW%XOOHWLQ :DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH0D\ 

 ³,QZDUWLPHWUXWKLV«´:LQVWRQ6&KXUFKLOO7KH6HFRQG:RUOG:DU9ROXPH&ORVLQJWKH
5LQJ %RVWRQ+RXJKWRQ0LIIOLQ&RPSDQ\ 
 ³7KHPLQGRIWKHHQHP\«´%ULJDGLHU*HQHUDO6DPXHO%*ULIILWK,,860&³,QWURGXFWLRQ´WR
)0)530DR7VHWXQJRQ*XHUULOOD:DUIDUH :DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ
2IILFH 
 0HVVDJLQJ$JDLQVW,UDTL)RUFHV$UP\8QLYHUVLW\3UHVVVWDIIXQSXEOLVKHGWH[W
 ³'LYHUVHDUHWKHVLWXDWLRQV´)LHOG0DUVKDO+HOPXWKYRQ0ROWNHWKH(OGHU³0ROWNHV7DNWLVFK
VWUDWHJLVFKH$XIVlW]HDXVGHQ-DKUHQELV=XUKXQGHUWMlKULJHQ*HGHQNIHLHUGHU
*HEXUWGHV*HQHUDO)HOGPDUVFKDOOV*UDIHQYRQ0ROWNH´SXEOLVKHGLQ9HURUGQXQJHQIUGLH
K|KHUHQ7UXSSHQIKUHU-XQHLQ0DMRU*HQHUDO:HUQHU:LGGHU *HUPDQ$UP\ 

Source Notes-2 FM 3-0 6 October 2017


6RXUFH1RWHV

³$XIWUDJVWDNWLNDQG,QQHUH)KUXQJ7UDGHPDUNVRI*HUPDQ/HDGHUVKLS´0LOLWDU\5HYLHZ
6HSWHPEHU2FWREHU 
 ³1LQHWHQWKVRIWDFWLFVDUH«´7(/DZUHQFH³7KH(YROXWLRQRID5HYROW´7KH$UP\
4XDUWHUO\9ROXPH /RQGRQ:LOOLDP&ORZHV 6RQV/WG2FWREHUDQG-DQXDU\ 

 ³,QZDUQRWKLQJLV«´'ZLJKW'(LVHQKRZHU³'ZLJKW'(LVHQKRZHU´$YDLODEOHDW
KWWSVZZZFLDJRYOLEUDU\FHQWHUIRUWKHVWXG\RILQWHOOLJHQFHFVLSXEOLFDWLRQVERRNVDQG
PRQRJUDSKVRXUILUVWOLQHRIGHIHQVHSUHVLGHQWLDOUHIOHFWLRQVRQXV
LQWHOOLJHQFHHLVHQKRZHUKWPO
 ³+DUGSRXQGLQJWKLVJHQWOHPHQ«´'XNHRI:HOOLQJWRQ³$QHFGRWHVRIWKH'XNHRI
:HOOLQJWRQDWWKH%DWWOHRI:DWHUORR´7KH6FRWV0DJD]LQHDQG(GLQEXUJK/LWHUDU\0LVFHOODQ\
%HLQJD*HQHUDO5HSRVLWRU\RI/LWHUDWXUH+LVWRU\DQG3ROLWLFVIRU9ROXPH
(GLQEXUJK$UFKLEDOG&RQVWDEOHDQG&RPSDQ\ 
 ³(YHQWKHEUDYHVWFDQQRW«´+RPHULQ7KH,OLDG[LLLF%&'LFWLRQDU\RI0LOLWDU\DQG
1DYDO4XRWDWLRQVFRPSLOHGE\5REHUW'HEV+HLQO-U $QQDSROLV0'8QLWHG6WDWHV1DYDO
,QVWLWXWH 
 ³0RELOLW\LVWKHWUXHWHVW«´%+/LGGHOO+DUW4XRWHVIRU$LU)RUFH/RJLVWLFLDQ9ROXPH,
0D[ZHOO$LU)RUFH%DVH$/$LU)RUFH/RJLVWLFV0DQDJHPHQW$JHQF\ 
 ³3HWW\JHQLXVHVDWWHPSWWR«´)UHGHULFNWKH*UHDW³7KH,QVWUXFWLRQRI)UHGHULFNWKH*UHDWIRU
+LV*HQHUDOV´YLL5RRWVRI6WUDWHJ\7KH*UHDWHVW0LOLWDU\&ODVVLFVRI$OO7LPHHGLWHG
E\7KRPDV53KLOOLSV +DUULVEXUJ3$6WDFNSROH%RRNV 
 ³7KXVDYLFWRULRXVDUP\«´6XQ7]X7KH$UWRI:DUWUDQVODWHGE\6DPXHO%*ULIILWK 1HZ
<RUN2[IRUG8QLYHUVLW\3UHVV 
 5HDGLQHVV7DVN)RUFH6PLWK'HSDUWPHQWRI0LOLWDU\+LVWRU\VWDIIXQSXEOLVKHGWH[W
 ³7ROHDGXQWUDLQHGSHRSOH«´&RQIXFLXVTXRWHGE\(&0H\HU³$GGUHVVWRWKH
3UH&RPPDQG&RXUVH-XO\´)RUW/HDYHQZRUWK.6
 ³7KHLQVWUXPHQWVRIEDWWOH«´&KDUOHV$UGDQWGX3LFT%DWWOH6WXGLHV$QFLHQWDQG0RGHUQ
%DWWOHVWUDQVODWHGE\-RKQ1*UHHO\DQG5REHUW&&RWWRQ 1HZ<RUN0DF0LOOLDQ&RPSDQ\
 
 )LJKWDV<RX7UDLQ.DVVHULQH3DVV$UP\8QLYHUVLW\3UHVVVWDIIXQSXEOLVKHGWH[W
&KDSWHU
 ³7KHKLVWRU\RIIDLOXUH«´*HQHUDO'RXJODV0DF$UWKXUTXRWHGLQ:LOOLDP0DQFKHVWHU
$PHULFDQ&DHVDU'RXJODV0DF$UWKXU± %RVWRQ/LWWOH%URZQDQG&RPSDQ\ 

 6HFXULW\)RUFH$VVLVWDQFHDQG/RQJ7HUP&RQVROLGDWLRQRI*DLQV&RORPELD:KLWH3DSHU
³7KH$UFRI&KDQJH2SHUDWLRQDO7LPHWR,QIOXHQFH7UDMHFWRULHV´8QLWHG6WDWHV$UP\6SHFLDO
2SHUDWLRQV&RPPDQG*VWDII)RUW%UDJJ1&
 ³$OOSODQQLQJSDUWLFXODUO\VWUDWHJLF«´&DUOYRQ&ODXVHZLW]2Q:DUHGLWHGDQGWUDQVODWHGE\
0LFKDHO+RZDUGDQG3HWHU3DUHW 3ULQFHWRQ1-3ULQFHWRQ8QLYHUVLW\3UHVV 
 +XPDQLWDULDQ$VVLVWDQFH5HSXEOLFRI&DPHURRQYLJQHWWHLQ)0>REVROHWH@
2SHUDWLRQV :DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH 
 ³:KHQQHDUKHPDNHV«´6XQ7]X7KH$UWRI:DUWUDQVODWHGE\6DPXHO%*ULIILWK 1HZ
<RUN2[IRUG8QLYHUVLW\3UHVV 
&KDSWHU
 ³7KHXOWLPDWHGHWHUPLQDQWLQ«´5HDU$GPLUDO-&:\OLH0LOLWDU\6WUDWHJ\$*HQHUDO
7KHRU\RI3RZHU&RQWURO $QQDSROLV0'1DYDO,QVWLWXWH3UHVV 
 ³7KHSULFHRIJUHDWQHVV«´:LQVWRQ&KXUFKLOO6SHHFK³7KH*LIWRID&RPPRQ7RQJXH
6HSWHPEHU+DUYDUG´7KH,QWHUQDWLRQDO&KXUFKLOO6RFLHW\$YDLODEOHDW
KWWSVZZZZLQVWRQFKXUFKLOORUJUHVRXUFHVVSHHFKHVZDUOHDGHUWKHSULFHRI
JUHDWQHVVLVUHVSRQVLELOLW\

6 October 2017 FM 3-0 Source Notes-3


Source Notes

 3UHYHQW23(5$7,21'(6(576+,(/'$UP\8QLYHUVLW\3UHVVVWDIIXQSXEOLVKHGWH[W

 ³><@RXGRQ
WKDYHWR«´5RQDOG5HDJDQ³5HPDUNVDWD&DPSDLJQ5DOO\IRU6HQDWRU5REHUW:
.DVWHQ-ULQ:DXNHVKD:LVFRQVLQ2FWREHU´7KH3XEOLF3DSHUVRI3UHVLGHQW5RQDOG
:5HDJDQ5RQDOG5HDJDQ3UHVLGHQWLDO/LEUDU\
KWWSVUHDJDQOLEUDU\DUFKLYHVJRYDUFKLYHVVSHHFKHVGKWP
 )OH[LELOLW\WK86$UP\LQ.RUHD$UP\8QLYHUVLW\3UHVVVWDIIXQSXEOLVKHGWH[W
 ³>,@WLVDQXQIRUWXQDWH«´-RKQ).HQQHG\³6SHHFKRI6HQDWRU-RKQ).HQQHG\&LYLF
$XGLWRULXP6HDWWOH:$´6HSWHPEHU2QOLQHE\*HUKDUG3HWHUVDQG-RKQ7:RROOH\
7KH$PHULFDQ3UHVLGHQF\3URMHFWKWWSZZZSUHVLGHQF\XFVEHGXZV"SLG 
 ³,WLVGLVFLSOLQHWKDWPDNHV«´;HQRSKRQLQ³6SHHFKWRWKH*UHHNRIILFHUVDIWHUWKHGHIHDWRI
&\UXVDW&XQD[D´%&'LFWLRQDU\RI0LOLWDU\DQG1DYDO4XRWDWLRQVFRPSLOHGE\5REHUW
'HEV+HLQO-U $QQDSROLV0'8QLWHG6WDWHV1DYDO,QVWLWXWH 
 'HWHUUHQFH(;(5&,6(5()25*(5$UP\8QLYHUVLW\3UHVVVWDIIXQSXEOLVKHGWH[W
 ³+HLVEHVWVHFXUH«´3XEOLOLXV6\UXV'LFWLRQDU\RI0LOLWDU\DQG1DYDO4XRWDWLRQVFRPSLOHG
E\5REHUW'HEV+HLQO-U $QQDSROLV0'8QLWHG6WDWHV1DYDO,QVWLWXWH 
 ³6HFUHWRSHUDWLRQVDUHHVVHQWLDO«´6XQ7]X7KH$UWRI:DUWUDQVODWHGE\6DPXHO%*ULIILWK
1HZ<RUN2[IRUG8QLYHUVLW\3UHVV 
&KDSWHU
 ³7KHUHIRUHWKHSXUSRVHRI«´*HQHUDO'RQQ6WDUU\LQ³2SHUDWLRQDO&RQFHSWIRUWKH$LUODQG
%DWWOH´75$'2&3DP>REVROHWH@7KH$LUODQG%DWWOHDQG&RUSV :DVKLQJWRQ'&
*RYHUQPHQW3ULQWLQJ2IILFH 
 ³-RLQWQHVVLPSOLHVFURVV6HUYLFH«´-3'RFWULQHIRUWKH$UPHG)RUFHVRIWKH8QLWHG6WDWHV
:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH0DUFK L[
 ³$JHQHUDOLQDOORIKLV«´)UHGHULFNWKH*UHDWLQ,QVWUXFWLRQVIRU+LV*HQHUDOVLLL
'LFWLRQDU\RI0LOLWDU\DQG1DYDO4XRWDWLRQVFRPSLOHGE\5REHUW'HEV+HLQO-U $QQDSROLV
0'8QLWHG6WDWHV1DYDO,QVWLWXWH 
 ³/LPLWHGUHVRXUFHVDQGFDSDELOLWLHV«´)0>REVROHWH@6WDELOLW\2SHUDWLRQV :DVKLQJWRQ
'&*RYHUQPHQW3ULQWLQJ2IILFH 
 ³,QWKHSDVWFRPEDWRSHUDWLRQV«´)0>REVROHWH@5HDU%DWWOH :DVKLQJWRQ'&
*RYHUQPHQW3ULQWLQJ2IILFH 
 ³7KHSXUSRVHRIUHFRQQDLVVDQFH«´)0>REVROHWH@&DYDOU\2SHUDWLRQV :DVKLQJWRQ
'&*RYHUQPHQW3ULQWLQJ2IILFH 
 $PELJXRXV(QYLURQPHQW)LJKWLQJIRU,QIRUPDWLRQ$UP\8QLYHUVLW\3UHVVVWDII
XQSXEOLVKHGWH[W
 ³6HFXULW\LQFOXGHVDOOPHDVXUHV«´)0>REVROHWH@&RPEDW6XSSRUW&RPSDQ\,QIDQWU\
'LYLVLRQ%DWWOH*URXS2SHUDWLRQV :DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH 
 ³7KHSDVVDJHRIOLQHVLV«´)0>REVROHWH@$LU$VVDXOW'LYLVLRQ2SHUDWLRQV
:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH 
 ³(DVWDQGQRUWKRI%DVWRJQH«´&KDUOHV%0DF'RQDOG³9LFWRU\LQWKH$UGHQQHV´7KH/DVW
2IIHQVLYH :DVKLQJWRQ'&&HQWHUIRU0LOLWDU\+LVWRU\ 
 ³$LUERUQHIRUFHVH[HFXWHSDUDFKXWH«´)0>REVROHWH@86$UP\86$LU)RUFH
'RFWULQHIRU$LUERUQH2SHUDWLRQV :DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH 
 )RUFLEOH(QWU\23(5$7,21-867&$86($UP\8QLYHUVLW\3UHVVVWDIIXQSXEOLVKHGWH[W

 ³,QWKHFDVHRI´%+/LGGHOO+DUW6WUDWHJ\ 1HZ<RUN6LJQHW3ULQWLQJ ±
&KDSWHU
 ³,QZDUWKHGHIHQVLYHH[LVWV«´$OIUHG7KD\HU0DKDQ1DYDO6WUDWHJ\&RPSDUHGDQG
&RQWUDVWHG:LWKWKH3ULQFLSOHVDQG3UDFWLFHRI0LOLWDU\2SHUDWLRQVRQ/DQGOHFWXUHVGHOLYHUHG

Source Notes-4 FM 3-0 6 October 2017


6RXUFH1RWHV

DW861DYDO:DU&ROOHJH1HZSRUW5,EHWZHHQWKH\HDUV %RVWRQ/LWWOH%URZQ
DQG&RPSDQ\ 
 ³1RSODQVXUYLYHVFRQWDFW«´+HOPXWKYRQ0ROWNHWKH(OGHU'LFWLRQDU\RI
0LOLWDU\DQG1DYDO4XRWDWLRQVFRPSLOHGE\5REHUW'HEV+HLQO-U $QQDSROLV0'8QLWHG
6WDWHV1DYDO,QVWLWXWH 
 0DOD\DDQG6LQJDSRUH)DXOW\$VVXPSWLRQV—'HIHDW$FURVV0XOWLSOH'RPDLQV$UP\
8QLYHUVLW\3UHVVVWDIIXQSXEOLVKHGWH[W
 ³,QSUHSDULQJIRUEDWWOH«´'ZLJKW'DYLG(LVHQKRZHUTXRWHGLQ5LFKDUG1L[RQ6L[&ULVHV
1HZ<RUN3\UDPLG%RRN 
 ³$VXGGHQSRZHUIXOWUDQVLWLRQ«´&DUOYRQ&ODXVHZLW]2Q:DUHGLWHGDQGWUDQVODWHGE\
0LFKDHO+RZDUGDQG3HWHU3DUHW 3ULQFHWRQ1-3ULQFHWRQ8QLYHUVLW\3UHVV 
 ³7KHFRPPDQGHUDGRSWVDSODQ«´)0>REVROHWH@,QIDQWU\'LYLVLRQ :DVKLQJWRQ'&
*RYHUQPHQW3ULQWLQJ2IILFH 
 ³7URRSVFDUU\RXWWKHRUJDQL]DWLRQ«´)0>REVROHWH@)LHOG6HUYLFH5HJXODWLRQV
2SHUDWLRQV :DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH 
 ³7KHRUJDQL]DWLRQRIVXSSO\«´)LHOG6HUYLFH5HJXODWLRQV8QLWHG6WDWHV$UP\ :DVKLQJWRQ
'&*RYHUQPHQW3ULQWLQJ2IILFH 
 ³>7@KHEHVWSURWHFWLRQDJDLQVW´-RKQ5DQGROSK6SHDUV'DYLG*)DUUDJXW 3KLODGHOSKLD3$
*HRUJH:-DFREV &RPSDQ\ 
 ³7KHSULPDU\PLVVLRQRIWKHUHVHUYH«´)0>REVROHWH@)LHOG6HUYLFH5HJXODWLRQV
2SHUDWLRQV :DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH 
 ³0RELOHGHIHQVHLVWKDWPHWKRG«´)0>REVROHWH@)LHOG6HUYLFH5HJXODWLRQV
2SHUDWLRQV :DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH 
 ³$UHWUHDWLQJIRUFHFRYHUVLWV«´)LHOG6HUYLFH5HJXODWLRQV8QLWHG6WDWHV$UP\ :DVKLQJWRQ
'&*RYHUQPHQW3ULQWLQJ2IILFH 
&KDSWHU
 ³2QQRDFFRXQWVKRXOGZH«´&DUOYRQ&ODXVHZLW]3ULQFLSOHVRI:DU'LFWLRQDU\RI
0LOLWDU\DQG1DYDO4XRWDWLRQVFRPSLOHGE\5REHUW'HEV+HLQO-U $QQDSROLV0'8QLWHG
6WDWHV1DYDO,QVWLWXWH 
 ,QWHUPLWWHQW&RPPXQLFDWLRQV&RQWLQXRXV0LVVLRQ&RPPDQG*UDQWDQG6KHUPDQ'HHS
2SHUDWLRQDO0DQHXYHU$UP\8QLYHUVLW\3UHVVVWDIIXQSXEOLVKHGWH[W
 ³,QFDVHRIGRXEW«´*HQHUDO*HRUJH3DWWRQKWWSJHQHUDOSDWWRQFRPTXRWHV
 ³3ODQVIRUWKHGHHSEDWWOH«´)0>REVROHWH@2SHUDWLRQV :DVKLQJWRQ'&*RYHUQPHQW
3ULQWLQJ2IILFH 
 ³$JLWDWHKLPDQGDVFHUWDLQ«´6XQ7]X7KH$UWRI:DUWUDQVODWHGE\6DPXHO%*ULIILWK 1HZ
<RUN2[IRUG8QLYHUVLW\3UHVV 
 ³2UGHUVVKRXOGQRWDWWHPSW«´)LHOG6HUYLFH5HJXODWLRQV8QLWHG6WDWHV$UP\ :DVKLQJWRQ
'&*RYHUQPHQW3ULQWLQJ2IILFH 
 ³7REHDWWKHKHDG«´*HQHUDO:LOOLDP76KHUPDQ0HPRLUVRI*HQHUDO:LOOLDP76KHUPDQ
E\+LPVHOI%ORRPLQJWRQ,1,QGLDQD8QLYHUVLW\3UHVV 
 0RYHPHQWDQG0DQHXYHU7KH$UDE,VUDHOL:DU&RPELQHG$UPV'RFWULQH
'LUHFWRUDWHVWDIIXQSXEOLVKHGWH[W
 ³7KHEXONRIWKHDUWLOOHU\«´)0>REVROHWH@)LHOG$UWLOOHU\)LHOG0DQXDO7DFWLFVDQG
7HFKQLTXHV :DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH 
 ³7KHGHHSHQYHORSPHQWEDVHG´*HQHUDORIWKH$UP\'RXJODV0DF$UWKXU7RSODQQLQJ
FRQIHUHQFHEHIRUHWKH,QFKRQODQGLQJV$XJXVWLQ-RLQW0LOLWDU\2SHUDWLRQV+LVWRULFDO
&ROOHFWLRQ :DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH ,,
 ³(YHU\RQHNQRZVWKHPRUDOHIIHFWV´&DUOYRQ&ODXVHZLW]2Q:DUHGLWHGDQGWUDQVODWHGE\
0LFKDHO+RZDUGDQG3HWHU3DUHW 3ULQFHWRQ1-3ULQFHWRQ8QLYHUVLW\3UHVV 

6 October 2017 FM 3-0 Source Notes-5


Source Notes

 ³$UHWKHUHQRWRWKHU«´6LU:LQVWRQ&KXUFKLOO/HWWHUWR3ULPH0LQLVWHU$VTXLWK'HFHPEHU
$YDLODEOHDWZZZQDWLRQDOFKXUFKLOOPXVHXPRUJFKXUFKLOOLQZRUOGZDULDQG
DIWHUPDWKKWPO
 ³'XULQJWKHDGYDQFHWRFRQWDFW«´)0>REVROHWH@)LHOG6HUYLFH5HJXODWLRQV2SHUDWLRQV
:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH 
 ³7KHHQHP\VD\«´:LQILHOG6FRWW7RWKHWK,QIDQWU\DW&KLSSHZD&DQDGD-XQHLQ
'LFWLRQDU\RI0LOLWDU\DQG1DYDO4XRWDWLRQVFRPSLOHGE\5REHUW'HEV+HLQO-U $QQDSROLV
0'8QLWHG6WDWHV1DYDO,QVWLWXWH 
 ³,QSXUVXLW\RXPXVW«´)LHOG0DUVKDO9LVFRXQW:DYHOORI&\UHQDFLDDQG:LQFKHVWHU$OOHQE\
6ROGLHUDQG6WDWHVPDQ 7RURQWR*HRUJH*+DUUDS &R/WG 
 ³$PEXVKHVDUHSUHSDUHGE\«´)0>REVROHWH@,QIDQWU\)LHOG0DQXDO2UJDQL]DWLRQDQG
7DFWLFVRI,QIDQWU\7KH5LIOH%DWWDOLRQ :DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH 

 ³$GHPRQVWUDWLRQLVDQRSHUDWLRQ«´)0>REVROHWH@$PSKLELRXV2SHUDWLRQV%DWWDOLRQLQ
$VVDXOW/DQGLQJV :DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH 
&KDSWHU
 ³,WLVQRGRXEWDJRRG«´3RO\ELXVLQ-RVHSK&DOOR-RKQ3DXO-RQHV$PHULFD¶V)LUVW6HD
:DUULRU $QQDSROLV0'1DYDO,QVWLWXWH3UHVV 
 ³/RVVRIKRSHUDWKHU«´%+/LGGHOO+DUWLQ0LOLWDU\$LU3RZHU7KH&$'5('LJHVWRI$LU
3RZHU2SLQLRQVDQG7KRXJKWVFRPSLOHGE\&KDUOHV0:HVWHQKRII 0D[ZHOO$LU)RUFH%DVH
$/$LU8QLYHUVLW\3UHVV 
 ³7KHPHULWRIDQDFWLRQ«´*HQJKLV.KDQ$GYLFHWRKLVVRQV$'LFWLRQDU\RI0LOLWDU\
4XRWDWLRQVFRPSLOHGE\7UHYRU5R\OH /RQGRQ5RXWOHGJH 
 ³:DULVPRUHWKDQ«´&DUOYRQ&ODXVHZLW]2Q:DUHGLWHGDQGWUDQVODWHGE\0LFKDHO+RZDUG
DQG3HWHU3DUHW 3ULQFHWRQ1-3ULQFHWRQ8QLYHUVLW\3UHVV 
 2SHUDWLRQVWR&RQVROLGDWH*DLQV/X]RQ$UP\8QLYHUVLW\3UHVVVWDIIXQSXEOLVKHGWH[W

 ³$QDWLRQFDQQRW«´%+/LGGHOO+DUW'LFWLRQDU\RI0LOLWDU\DQG1DYDO4XRWDWLRQVFRPSLOHG
E\5REHUW'HEV+HLQO-U $QQDSROLV0'8QLWHG6WDWHV1DYDO,QVWLWXWH 
$SSHQGL[$
7KLVDSSHQGL[KDVQRVRXUFHQRWHV
$SSHQGL[%
7KLVDSSHQGL[KDVQRVRXUFHQRWHV





Source Notes-6 FM 3-0 6 October 2017




*ORVVDU\

7KHJORVVDU\OLVWVDFURQ\PVDQGWHUPVZLWK$UP\RUMRLQWGHILQLWLRQV:KHUH$UP\DQG
MRLQWGHILQLWLRQVGLIIHU $UP\ SUHFHGHVWKHGHILQLWLRQ7HUPVIRUZKLFK)0LVWKH
SURSRQHQWDUHPDUNHGZLWKDQDVWHULVN 7KHSURSRQHQWSXEOLFDWLRQIRURWKHUWHUPV
LVOLVWHGLQSDUHQWKHVHVDIWHUWKHGHILQLWLRQ

SECTION I – ACRONYMS AND ABBREVIATIONS


$ DQWLDFFHVV
$$'& DUHDDLUGHIHQVHFRPPDQGHU
$$0'& $UP\DLUDQGPLVVLOHGHIHQVHFRPPDQG
$%&7 DUPRUHGEULJDGHFRPEDWWHDP
$' DUHDGHQLDO
$'$ DLUGHIHQVHDUWLOOHU\
$'&21 DGPLQLVWUDWLYHFRQWURO
$'3 $UP\GRFWULQHSXEOLFDWLRQ
$'53 $UP\GRFWULQHUHIHUHQFHSXEOLFDWLRQ
$0' DLUDQGPLVVLOHGHIHQVH
$2 DUHDRIRSHUDWLRQV
$25 DUHDRIUHVSRQVLELOLW\
$5 $UP\UHJXODWLRQ
$5&<%(5 8QLWHG6WDWHV$UP\&\EHU&RPPDQG
$5)25 6HH7HUPV
$562) $UP\VSHFLDORSHUDWLRQVIRUFHV
$6&& $UP\6HUYLFHFRPSRQHQWFRPPDQG
$626 $UP\VXSSRUWWRRWKHU6HUYLFHV
$73 $UP\WHFKQLTXHVSXEOLFDWLRQ
%&' EDWWOHILHOGFRRUGLQDWLRQGHWDFKPHQW
%&7 EULJDGHFRPEDWWHDP
%+/ EDWWOHKDQGRYHUOLQH
& FRPPDQGDQGFRQWURO
&$ FLYLODIIDLUV
&$% FRPEDWDYLDWLRQEULJDGH
&$&20 FLYLODIIDLUVFRPPDQG
&$6 FORVHDLUVXSSRUW
&%51 FKHPLFDOELRORJLFDOUDGLRORJLFDODQGQXFOHDU
&(0$ F\EHUVSDFHHOHFWURPDJQHWLFDFWLYLWLHV
&2&20 FRPEDWDQWFRPPDQG FRPPDQGDXWKRULW\ 
&2186 FRQWLQHQWDO8QLWHG6WDWHV

6 October 2017 FM 3-0 Glossary-1


Glossary

&23 FRPPRQRSHUDWLRQDOSLFWXUH
&3 FRPPDQGSRVW
&66% FRPEDWVXVWDLQPHQWVXSSRUWEDWWDOLRQ
&7& FRPEDWWUDLQLQJFHQWHU
&:0' FRXQWHULQJZHDSRQVRIPDVVGHVWUXFWLRQ
'62( GHQLHGGHJUDGHGDQGGLVUXSWHGVSDFHRSHUDWLRQDOHQYLURQPHQW
'$ 'HSDUWPHQWRIWKH$UP\
'&2 GHIHQVLYHF\EHUVSDFHRSHUDWLRQV
',9$57< GLYLVLRQDUWLOOHU\
'2' 'HSDUWPHQWRI'HIHQVH
'2'' 'HSDUWPHQWRI'HIHQVHGLUHFWLYH
'2',1 'HSDUWPHQWRI'HIHQVHLQIRUPDWLRQQHWZRUN
'2',1$ 'HSDUWPHQWRI'HIHQVHLQIRUPDWLRQQHWZRUN$UP\
($ HQJDJHPHQWDUHD
(0,% H[SHGLWLRQDU\PLOLWDU\LQWHOOLJHQFHEULJDGH
(06 HOHFWURPDJQHWLFVSHFWUXP
(2' H[SORVLYHRUGQDQFHGLVSRVDO
(6& H[SHGLWLRQDU\VXVWDLQPHQWFRPPDQG
(: HOHFWURQLFZDUIDUH
)$5& 5HYROXWLRQDU\$UPHG)RUFHVRI&RORPELD
)'2 IOH[LEOHGHWHUUHQWRSWLRQ
)(%$ IRUZDUGHGJHRIWKHEDWWOHDUHD
),' IRUHLJQLQWHUQDOGHIHQVH
)/27 IRUZDUGOLQHRIRZQWURRSV
)0 ILHOGPDQXDO
)256&20 8QLWHG6WDWHV$UP\)RUFHV&RPPDQG
)3) ILQDOSURWHFWLYHILUH
)52 IOH[LEOHUHVSRQVHRSWLRQ
)6&/ ILUHVXSSRUWFRRUGLQDWLRQOLQH
)6&0 ILUHVXSSRUWFRRUGLQDWLRQPHDVXUH
)6) IRUHLJQVHFXULW\IRUFHV
* DVVLVWDQWFKLHIRIVWDIILQWHOOLJHQFH
* DVVLVWDQWFKLHIRIVWDIIRSHUDWLRQV
* DVVLVWDQWFKLHIRIVWDIIORJLVWLFV
* DVVLVWDQWFKLHIRIVWDIIVLJQDO
*&& JHRJUDSKLFFRPEDWDQWFRPPDQGHU
+16 KRVWQDWLRQVXSSRUW
+37 KLJKSD\RIIWDUJHW
,$'6 LQWHJUDWHGDLUGHIHQVHV\VWHP
,%&7 LQIDQWU\EULJDGHFRPEDWWHDP
,)& LQWHJUDWHGILUHVFRPPDQG

Glossary-2 FM 3-0 6 October 2017


*ORVVDU\

,3% LQWHOOLJHQFHSUHSDUDWLRQRIWKHEDWWOHILHOG
,5& LQIRUPDWLRQUHODWHGFDSDELOLW\
- ORJLVWLFVGLUHFWRUDWHRIDMRLQWVWDII
-$*,& MRLQWDLUJURXQGLQWHJUDWLRQFHQWHU
-$2& MRLQWDLURSHUDWLRQVFHQWHU
-)$&& MRLQWIRUFHDLUFRPSRQHQWFRPPDQGHU
-)& MRLQWIRUFHFRPPDQGHU
-2$ MRLQWRSHUDWLRQVDUHD
-3 MRLQWSXEOLFDWLRQ
-6$ MRLQWVHFXULW\DUHD
-62$ MRLQWVSHFLDORSHUDWLRQVDUHD
-7) MRLQWWDVNIRUFH
/&& ODQGFRPSRQHQWFRPPDQGHU
/2$ OLPLWRIDGYDQFH
/7& OLHXWHQWDQWFRORQHO
/7* OLHXWHQDQWJHQHUDO
0%$ PDLQEDWWOHDUHD
0(% PDQHXYHUHQKDQFHPHQWEULJDGH
0('&20 '6  PHGLFDOFRPPDQG GHSOR\PHQWVXSSRUW 
0(7/ PLVVLRQHVVHQWLDOWDVNOLVW
0* PDMRUJHQHUDO
0,%7 PLOLWDU\LQWHOOLJHQFHEULJDGHWKHDWHU
0,/'(& PLOLWDU\GHFHSWLRQ
0,62 PLOLWDU\LQIRUPDWLRQVXSSRUWRSHUDWLRQV
03 PLOLWDU\SROLFH
1$, QDPHGDUHDRILQWHUHVW
1$72 1RUWK$WODQWLF7UHDW\2UJDQL]DWLRQ
2&2 RIIHQVLYHF\EHUVSDFHRSHUDWLRQV
2&6 RSHUDWLRQDOFRQWUDFWVXSSRUW
2( RSHUDWLRQDOHQYLURQPHQW
23&21 RSHUDWLRQDOFRQWURO
23/$1 RSHUDWLRQSODQ
2325' RSHUDWLRQRUGHU
236(& RSHUDWLRQVVHFXULW\
3$&( SULPDU\DOWHUQDWHFRQWLQJHQF\DQGHPHUJHQF\
3/ SKDVHOLQH
32/ SHWUROHXPRLOVDQGOXEULFDQWV
562, UHFHSWLRQVWDJLQJRQZDUGPRYHPHQWDQGLQWHJUDWLRQ
6 EDWWDOLRQRUEULJDGHLQWHOOLJHQFHVWDIIRIILFHU
6 EDWWDOLRQRUEULJDGHRSHUDWLRQVVWDIIRIILFHU
6 EDWWDOLRQRUEULJDGHORJLVWLFVVWDIIRIILFHU

6 October 2017 FM 3-0 Glossary-3


Glossary

6 EDWWDOLRQRUEULJDGHVLJQDOVWDIIRIILFHU
6$&3 VXSSRUWDUHDFRPPDQGSRVW
6%&7 6WU\NHUEULJDGHFRPEDWWHDP
6)$ VHFXULW\IRUFHDVVLVWDQFH
6,*,17 VLJQDOVLQWHOOLJHQFH
62) VSHFLDORSHUDWLRQVIRUFHV
66( VSDFHVXSSRUWHOHPHQW
665 VHFXULW\VHFWRUUHIRUP
7$&' WDFWLFDOGHFHSWLRQ
7$&21 WDFWLFDOFRQWURO
7$, WDUJHWDUHDRILQWHUHVW
7& WUDLQLQJFLUFXODU
7&) WDFWLFDOFRPEDWIRUFH
7&3 WKHDWHUFDPSDLJQSODQ
7(& WKHDWHUHQJLQHHUFRPPDQG
70 WHFKQLFDOPDQXDO
753 WDUJHWUHIHUHQFHSRLQW
76& WKHDWHUVXVWDLQPHQWFRPPDQG
776% WKHDWHUWDFWLFDOVLJQDOEULJDGH
8$6 XQPDQQHGDLUFUDIWV\VWHP
86 8QLWHG6WDWHV
86$) 8QLWHG6WDWHV$LU)RUFH
86& 8QLWHG6WDWHV&RGH
86&<%(5&20 8QLWHG6WDWHV&\EHU&RPPDQG
8675$16&20 8QLWHG6WDWHV7UDQVSRUWDWLRQ&RPPDQG
:0' ZHDSRQVRIPDVVGHVWUXFWLRQ

SECTION II – TERMS
DGPLQLVWUDWLYHFRQWURO
'LUHFWLRQRUH[HUFLVHRIDXWKRULW\RYHUVXERUGLQDWHRURWKHURUJDQL]DWLRQVLQUHVSHFWWRDGPLQLVWUDWLRQ
DQGVXSSRUW -3 
DGYHUVDU\
$SDUW\DFNQRZOHGJHGDVSRWHQWLDOO\KRVWLOHWRDIULHQGO\SDUW\DQGDJDLQVWZKLFKWKHXVHRIIRUFHPD\
EHHQYLVDJHG -3 
DLUDVVDXOW
7KHPRYHPHQWRIIULHQGO\DVVDXOWIRUFHVE\URWDU\ZLQJRUWLOWURWRUDLUFUDIWWRHQJDJHDQGGHVWUR\
HQHP\IRUFHVRUWRVHL]HDQGKROGNH\WHUUDLQ -3 
DLUERUQHDVVDXOW
7KHXVHRIDLUERUQHIRUFHVWRSDUDFKXWHLQWRDQREMHFWLYHDUHDWRDWWDFNDQGHOLPLQDWHDUPHGUHVLVWDQFH
DQGVHFXUHGHVLJQDWHGREMHFWLYHV -3 
DLUVSDFHFRQWURO
&DSDELOLWLHVDQGSURFHGXUHVXVHGWRLQFUHDVHRSHUDWLRQDOHIIHFWLYHQHVVE\SURPRWLQJWKHVDIHHIILFLHQW
DQGIOH[LEOHXVHRIDLUVSDFH -3 

Glossary-4 FM 3-0 6 October 2017


*ORVVDU\

DLUWDVNLQJRUGHU
$PHWKRGXVHGWRWDVNDQGGLVVHPLQDWHWRFRPSRQHQWVVXERUGLQDWHXQLWVDQGFRPPDQGDQGFRQWURO
DJHQFLHVSURMHFWHGVRUWLHVFDSDELOLWLHVDQGRUIRUFHVWRWDUJHWVDQGVSHFLILFPLVVLRQV -3 
DOORFDWLRQ
7KHGLVWULEXWLRQRIOLPLWHGIRUFHVDQGUHVRXUFHVIRUHPSOR\PHQWDPRQJFRPSHWLQJUHTXLUHPHQWV
-3 
DPEXVK
$QDWWDFNE\ILUHRURWKHUGHVWUXFWLYHPHDQVIURPFRQFHDOHGSRVLWLRQVRQDPRYLQJRUWHPSRUDULO\
KDOWHGHQHP\ )0 
DUHDGHIHQVH
$GHIHQVLYHWDVNWKDWFRQFHQWUDWHVRQGHQ\LQJHQHP\IRUFHVDFFHVVWRGHVLJQDWHGWHUUDLQIRUDVSHFLILF
WLPHUDWKHUWKDQGHVWUR\LQJWKHHQHP\RXWULJKW $'53 
DUHDRILQIOXHQFH
$JHRJUDSKLFDODUHDZKHUHLQDFRPPDQGHULVGLUHFWO\FDSDEOHRILQIOXHQFLQJRSHUDWLRQVE\PDQHXYHU
RUILUHVXSSRUWV\VWHPVQRUPDOO\XQGHUWKHFRPPDQGHU¶VFRPPDQGRUFRQWURO -3 
DUHDRILQWHUHVW
7KDWDUHDRIFRQFHUQWRWKHFRPPDQGHULQFOXGLQJWKHDUHDRILQIOXHQFHDUHDVDGMDFHQWWKHUHWRDQG
H[WHQGLQJLQWRHQHP\WHUULWRU\ -3 
DUHDRIRSHUDWLRQV
$QRSHUDWLRQDODUHDGHILQHGE\DFRPPDQGHUIRUODQGDQGPDULWLPHIRUFHVWKDWVKRXOGEHODUJHHQRXJK
WRDFFRPSOLVKWKHLUPLVVLRQVDQGSURWHFWWKHLUIRUFHV -3 
DUHDUHFRQQDLVVDQFH
$IRUPRIUHFRQQDLVVDQFHWKDWIRFXVHVRQREWDLQLQJGHWDLOHGLQIRUPDWLRQDERXWWKHWHUUDLQRUHQHP\
DFWLYLW\ZLWKLQDSUHVFULEHGDUHD $'53 
DUHDVHFXULW\
$VHFXULW\WDVNFRQGXFWHGWRSURWHFWIULHQGO\IRUFHVLQVWDOODWLRQVURXWHVDQGDFWLRQVZLWKLQDVSHFLILF
DUHD $'53 
$5)25
7KH$UP\FRPSRQHQWDQGVHQLRU$UP\KHDGTXDUWHUVRIDOO$UP\IRUFHVDVVLJQHGRUDWWDFKHGWRD
FRPEDWDQWFRPPDQGHUVXERUGLQDWHMRLQWIRUFHFRPPDQGMRLQWIXQFWLRQDOFRPPDQGRUPXOWLQDWLRQDO
FRPPDQG )0 
$UP\SHUVRQQHOUHFRYHU\
7KHPLOLWDU\HIIRUWVWDNHQWRSUHSDUHIRUDQGH[HFXWHWKHUHFRYHU\DQGUHLQWHJUDWLRQRILVRODWHG
SHUVRQQHO )0 
$UP\6HUYLFHFRPSRQHQWFRPPDQG
7KHFRPPDQGUHVSRQVLEOHIRUUHFRPPHQGDWLRQVWRWKHMRLQWIRUFHFRPPDQGHURQWKHDOORFDWLRQDQG
HPSOR\PHQWRI$UP\IRUFHVZLWKLQDFRPEDWDQWFRPPDQG -3 
DVVDXOWSRVLWLRQ
$FRYHUHGDQGFRQFHDOHGSRVLWLRQVKRUWRIWKHREMHFWLYHIURPZKLFKILQDOSUHSDUDWLRQVDUHPDGHWR
DVVDXOWWKHREMHFWLYH $'53 
DVVLJQ
7RSODFHXQLWVRUSHUVRQQHOLQDQRUJDQL]DWLRQZKHUHVXFKSODFHPHQWLVUHODWLYHO\SHUPDQHQWDQGRU
ZKHUHVXFKRUJDQL]DWLRQFRQWUROVDQGDGPLQLVWHUVWKHXQLWVRUSHUVRQQHOIRUWKHSULPDU\IXQFWLRQRU
JUHDWHUSRUWLRQRIWKHIXQFWLRQVRIWKHXQLWRUSHUVRQQHO -3 
DWWDFK
7KHSODFHPHQWRIXQLWVRUSHUVRQQHOLQDQRUJDQL]DWLRQZKHUHVXFKSODFHPHQWLVUHODWLYHO\WHPSRUDU\
-3 

6 October 2017 FM 3-0 Glossary-5


Glossary

DWWDFN
$QRIIHQVLYHWDVNWKDWGHVWUR\VRUGHIHDWVHQHP\IRUFHVVHL]HVDQGVHFXUHVWHUUDLQRUERWK
$'53 
DWWDFNE\ILUHSRVLWLRQ
7KHJHQHUDOSRVLWLRQIURPZKLFKDXQLWFRQGXFWVWKHWDFWLFDOWDVNRIDWWDFNE\ILUH $'53 
DWWDFNSRVLWLRQ
$UP\ 7KHODVWSRVLWLRQDQDWWDFNLQJIRUFHRFFXSLHVRUSDVVHVWKURXJKEHIRUHFURVVLQJWKHOLQHRI
GHSDUWXUH $'53 
EDWWOHKDQGRYHUOLQH
$GHVLJQDWHGSKDVHOLQHRQWKHJURXQGZKHUHUHVSRQVLELOLW\WUDQVLWLRQVIURPWKHVWDWLRQDU\IRUFHWRWKH
PRYLQJIRUFHDQGYLFHYHUVD $'53 
EDWWOHSRVLWLRQ
$GHIHQVLYHORFDWLRQRULHQWHGRQDOLNHO\HQHP\DYHQXHRIDSSURDFK $'53 
ERXQGDU\
$OLQHWKDWGHOLQHDWHVVXUIDFHDUHDVIRUWKHSXUSRVHRIIDFLOLWDWLQJFRRUGLQDWLRQDQGGHFRQIOLFWLRQRI
RSHUDWLRQVEHWZHHQDGMDFHQWXQLWVIRUPDWLRQVRUDUHDV -3 
EUHDNRXW
$QRSHUDWLRQFRQGXFWHGE\DQHQFLUFOHGIRUFHWRUHJDLQIUHHGRPRIPRYHPHQWRUFRQWDFWZLWKIULHQGO\
XQLWV,WGLIIHUVIURPRWKHUDWWDFNRQO\LQWKDWVLPXOWDQHRXVGHIHQVHLQRWKHUDUHDVRIWKHSHULPHWHUPXVW
EHPDLQWDLQHG $'53 
EUHDFK
$V\QFKURQL]HGFRPELQHGDUPVDFWLYLW\XQGHUWKHFRQWURORIWKHPDQHXYHUFRPPDQGHUFRQGXFWHGWR
DOORZPDQHXYHUWKURXJKDQREVWDFOH $73 
FKHFNSRLQW
$SUHGHWHUPLQHGSRLQWRQWKHJURXQGXVHGWRFRQWUROPRYHPHQWWDFWLFDOPDQHXYHUDQGRULHQWDWLRQ
$'53 
FOHDUDQFHRIILUHV
7KHSURFHVVE\ZKLFKWKHVXSSRUWHGFRPPDQGHUHQVXUHVWKDWILUHVRUWKHLUHIIHFWVZLOOKDYHQR
XQLQWHQGHGFRQVHTXHQFHVRQIULHQGO\XQLWVRUWKHVFKHPHRIPDQHXYHU )0 
FOHDULQJ
$PRELOLW\WDVNWKDWLQYROYHVWKHHOLPLQDWLRQRUQHXWUDOL]DWLRQRIDQREVWDFOHWKDWLVXVXDOO\SHUIRUPHG
E\IROORZRQHQJLQHHUVDQGLVQRWGRQHXQGHUILUH $73 
FORVHDUHD
7KHSRUWLRQRIDFRPPDQGHU¶VDUHDRIRSHUDWLRQVDVVLJQHGWRVXERUGLQDWHPDQHXYHUIRUFHV
$'53 
FORVHVXSSRUW
7KHDFWLRQRIWKHVXSSRUWLQJIRUFHDJDLQVWWDUJHWVRUREMHFWLYHVWKDWDUHVXIILFLHQWO\QHDUWKHVXSSRUWHG
IRUFHDVWRUHTXLUHGHWDLOHGLQWHJUDWLRQRUFRRUGLQDWLRQRIWKHVXSSRUWLQJDFWLRQ -3 
FRPEDWSRZHU
$UP\ 7KHWRWDOPHDQVRIGHVWUXFWLYHFRQVWUXFWLYHDQGLQIRUPDWLRQFDSDELOLWLHVWKDWDPLOLWDU\XQLWRU
IRUPDWLRQFDQDSSO\DWDJLYHQWLPH $'53 
FRPEDWDQWFRPPDQG
$XQLILHGRUVSHFLILHGFRPPDQGZLWKDEURDGFRQWLQXLQJPLVVLRQXQGHUDVLQJOHFRPPDQGHU
HVWDEOLVKHGDQGVRGHVLJQDWHGE\WKH3UHVLGHQWWKURXJKWKH6HFUHWDU\RI'HIHQVHDQGZLWKWKHDGYLFH
DQGDVVLVWDQFHRIWKH&KDLUPDQRIWKH-RLQW&KLHIVRI6WDII -3 

Glossary-6 FM 3-0 6 October 2017


*ORVVDU\

commander’s visualization
7KHPHQWDOSURFHVVRIGHYHORSLQJVLWXDWLRQDOXQGHUVWDQGLQJGHWHUPLQLQJDGHVLUHGHQGVWDWHDQG
HQYLVLRQLQJDQRSHUDWLRQDODSSURDFKE\ZKLFKWKHIRUFHZLOODFKLHYHWKDWHQGVWDWH $'3 
FRPPDQGJURXS
7KHFRPPDQGHUDQGVHOHFWHGVWDIIPHPEHUVZKRDVVLVWWKHFRPPDQGHULQFRQWUROOLQJRSHUDWLRQVDZD\
IURPDFRPPDQGSRVW )0 
FRPPDQGSRVW
$XQLWKHDGTXDUWHUVZKHUHWKHFRPPDQGHUDQGVWDIISHUIRUPWKHLUDFWLYLWLHV )0 
FRPPRQXVHUORJLVWLFV
0DWHULHORUVHUYLFHVXSSRUWVKDUHGZLWKRUSURYLGHGE\WZRRUPRUH6HUYLFHV'HSDUWPHQWRI'HIHQVH
DJHQFLHVRUPXOWLQDWLRQDOSDUWQHUVWRDQRWKHU6HUYLFH'HSDUWPHQWRI'HIHQVHDJHQF\QRQ'HSDUWPHQW
RI'HIHQVHDJHQF\DQGRUPXOWLQDWLRQDOSDUWQHULQDQRSHUDWLRQ -3 
FRQVROLGDWHJDLQV
$FWLYLWLHVWRPDNHHQGXULQJDQ\WHPSRUDU\RSHUDWLRQDOVXFFHVVDQGVHWWKHFRQGLWLRQVIRUDVWDEOH
HQYLURQPHQWDOORZLQJIRUDWUDQVLWLRQRIFRQWUROWROHJLWLPDWHDXWKRULWLHV $'53 
FRQVROLGDWLRQ
7KHRUJDQL]LQJDQGVWUHQJWKHQLQJDQHZO\FDSWXUHGSRVLWLRQVRWKDWLWFDQEHXVHGDJDLQVWWKHHQHP\
)0 
FRQVROLGDWLRQDUHD
7KHSRUWLRQRIWKHFRPPDQGHU¶VDUHDRIRSHUDWLRQVWKDWLVGHVLJQDWHGWRIDFLOLWDWHWKHVHFXULW\DQG
VWDELOLW\WDVNVQHFHVVDU\IRUIUHHGRPRIDFWLRQLQWKHFORVHDUHDDQGWRVXSSRUWWKHFRQWLQXRXV
FRQVROLGDWLRQRIJDLQV $'53 
FRQWDFWSRLQW
,QODQGZDUIDUHDSRLQWRQWKHWHUUDLQHDVLO\LGHQWLILDEOHZKHUHWZRRUPRUHXQLWVDUHUHTXLUHGWRPDNH
FRQWDFW -3 
FRQWUROPHDVXUH
$PHDQVRIUHJXODWLQJIRUFHVRUZDUILJKWLQJIXQFWLRQV $'53 
FRRUGLQDWHGILUHOLQH
$OLQHEH\RQGZKLFKFRQYHQWLRQDOVXUIDFHWRVXUIDFHGLUHFWILUHDQGLQGLUHFWILUHVXSSRUWPHDQVPD\
ILUHDWDQ\WLPHZLWKLQWKHERXQGDULHVRIWKHHVWDEOLVKLQJKHDGTXDUWHUVZLWKRXWDGGLWLRQDOFRRUGLQDWLRQ
-3 
FRRUGLQDWLQJDXWKRULW\
$FRPPDQGHURULQGLYLGXDOZKRKDVWKHDXWKRULW\WRUHTXLUHFRQVXOWDWLRQEHWZHHQWKHVSHFLILF
IXQFWLRQVRUDFWLYLWLHVLQYROYLQJIRUFHVRIWZRRUPRUH6HUYLFHVMRLQWIRUFHFRPSRQHQWVRUIRUFHVRI
WKHVDPH6HUYLFHRUDJHQFLHVEXWGRHVQRWKDYHWKHDXWKRULW\WRFRPSHODJUHHPHQW -3 
FRUGRQDQGVHDUFK
$WHFKQLTXHRIFRQGXFWLQJDPRYHPHQWWRFRQWDFWWKDWLQYROYHVLVRODWLQJDWDUJHWDUHDDQGVHDUFKLQJ
VXVSHFWHGORFDWLRQVZLWKLQWKDWWDUJHWDUHDWRFDSWXUHRUGHVWUR\SRVVLEOHHQHP\IRUFHVDQGFRQWUDEDQG
)0 
FRXQWHUDWWDFN
$WWDFNE\SDUWRUDOORIDGHIHQGLQJIRUFHDJDLQVWDQHQHP\DWWDFNLQJIRUFHIRUVXFKVSHFLILFSXUSRVHV
DVUHJDLQLQJJURXQGORVWRUFXWWLQJRIIRUGHVWUR\LQJHQHP\DGYDQFHXQLWVDQGZLWKWKHJHQHUDO
REMHFWLYHRIGHQ\LQJWRWKHHQHP\WKHDWWDLQPHQWRIWKHHQHP\¶VSXUSRVHLQDWWDFNLQJ,QVXVWDLQHG
GHIHQVLYHRSHUDWLRQVLWLVXQGHUWDNHQWRUHVWRUHWKHEDWWOHSRVLWLRQDQGLVGLUHFWHGDWOLPLWHGREMHFWLYHV
)0 
FRXQWHUPRELOLW\RSHUDWLRQV
$UP\0DULQH&RUSV 7KRVHFRPELQHGDUPVDFWLYLWLHVWKDWXVHRUHQKDQFHWKHHIIHFWVRIQDWXUDODQG
PDQPDGHREVWDFOHVWRGHQ\HQHP\IUHHGRPRIPRYHPHQWDQGPDQHXYHU $73 

6 October 2017 FM 3-0 Glossary-7


Glossary

FRYHU
$UP\ $VHFXULW\WDVNWRSURWHFWWKHPDLQERG\E\ILJKWLQJWRJDLQWLPHZKLOHDOVRREVHUYLQJDQG
UHSRUWLQJLQIRUPDWLRQDQGSUHYHQWLQJHQHP\JURXQGREVHUYDWLRQRIDQGGLUHFWILUHDJDLQVWWKHPDLQ
ERG\ $'53 
F\EHUVSDFH
$JOREDOGRPDLQZLWKLQWKHLQIRUPDWLRQHQYLURQPHQWFRQVLVWLQJRIWKHLQWHUGHSHQGHQWQHWZRUNVRI
LQIRUPDWLRQWHFKQRORJ\LQIUDVWUXFWXUHVDQGUHVLGHQWGDWDLQFOXGLQJWKH,QWHUQHWWHOHFRPPXQLFDWLRQV
QHWZRUNVFRPSXWHUV\VWHPVDQGHPEHGGHGSURFHVVRUVDQGFRQWUROOHUV -3>5@ 
F\EHUVSDFHHOHFWURPDJQHWLFDFWLYLWLHV
7KHSURFHVVRISODQQLQJLQWHJUDWLQJDQGV\QFKURQL]LQJF\EHUVSDFHDQGHOHFWURQLFZDUIDUHRSHUDWLRQV
LQVXSSRUWRIXQLILHGODQGRSHUDWLRQV $'53 
GDQJHUFORVH
,QFORVHDLUVXSSRUWDUWLOOHU\PRUWDUDQGQDYDOJXQILUHVXSSRUWILUHVWKHWHUPLQFOXGHGLQWKHPHWKRG
RIHQJDJHPHQWVHJPHQWRIDFDOOIRUILUHWKDWLQGLFDWHVWKDWIULHQGO\IRUFHVDUHZLWKLQFORVHSUR[LPLW\RI
WKHWDUJHW -3 
GHFLVLYHDFWLRQ
7KHFRQWLQXRXVVLPXOWDQHRXVFRPELQDWLRQVRIRIIHQVLYHGHIHQVLYHDQGVWDELOLW\RUGHIHQVHVXSSRUWRI
FLYLODXWKRULWLHVWDVNV $'53 
GHFLVLYHRSHUDWLRQ
7KHRSHUDWLRQWKDWGLUHFWO\DFFRPSOLVKHVWKHPLVVLRQ $'53 
GHHSDUHD
7KHSRUWLRQRIWKHFRPPDQGHU¶VDUHDRIRSHUDWLRQVWKDWLVQRWDVVLJQHGWRVXERUGLQDWHXQLWV
$'53 
GHIHDWPHFKDQLVP
$PHWKRGWKURXJKZKLFKIULHQGO\IRUFHVDFFRPSOLVKWKHLUPLVVLRQDJDLQVWHQHP\RSSRVLWLRQ
$'53 
GHIHQVLYHWDVN
$WDVNFRQGXFWHGWRGHIHDWDQHQHP\DWWDFNJDLQWLPHHFRQRPL]HIRUFHVDQGGHYHORSFRQGLWLRQV
IDYRUDEOHIRURIIHQVLYHRUVWDELOLW\WDVNV $'53 
GHOD\OLQH
$SKDVHOLQHZKHUHWKHGDWHDQGWLPHEHIRUHZKLFKWKHHQHP\LVQRWDOORZHGWRFURVVWKHSKDVHOLQHLV
GHSLFWHGDVSDUWRIWKHJUDSKLFFRQWUROPHDVXUH )0 
GHOD\LQJRSHUDWLRQ
$QRSHUDWLRQLQZKLFKDIRUFHXQGHUSUHVVXUHWUDGHVVSDFHIRUWLPHE\VORZLQJGRZQWKHHQHP\¶V
PRPHQWXPDQGLQIOLFWLQJPD[LPXPGDPDJHRQWKHHQHP\ZLWKRXWLQSULQFLSOHEHFRPLQJGHFLVLYHO\
HQJDJHG -3 
GHPRQVWUDWLRQ
,QPLOLWDU\GHFHSWLRQDVKRZRIIRUFHVLPLODUWRDIHLQWZLWKRXWDFWXDOFRQWDFWZLWKWKHDGYHUVDU\LQDQ
DUHDZKHUHDGHFLVLRQLVQRWVRXJKWWKDWLVPDGHWRGHFHLYHDQDGYHUVDU\ -3 
'HSDUWPHQWRI'HIHQVHLQIRUPDWLRQQHWZRUN
7KHVHWRILQIRUPDWLRQFDSDELOLWLHVDQGDVVRFLDWHGSURFHVVHVIRUFROOHFWLQJSURFHVVLQJVWRULQJ
GLVVHPLQDWLQJDQGPDQDJLQJLQIRUPDWLRQRQGHPDQGWRZDUILJKWHUVSROLF\PDNHUVDQGVXSSRUW
SHUVRQQHOZKHWKHULQWHUFRQQHFWHGRUVWDQGDORQHLQFOXGLQJRZQHGDQGOHDVHGFRPPXQLFDWLRQVDQG
FRPSXWLQJV\VWHPVDQGVHUYLFHVVRIWZDUH LQFOXGLQJDSSOLFDWLRQV GDWDVHFXULW\VHUYLFHVRWKHU
DVVRFLDWHGVHUYLFHVDQGQDWLRQDOVHFXULW\V\VWHPV -3 

Glossary-8 FM 3-0 6 October 2017


*ORVVDU\

GHVWUR\
$WDFWLFDOPLVVLRQWDVNWKDWSK\VLFDOO\UHQGHUVDQHQHP\IRUFHFRPEDWLQHIIHFWLYHXQWLOLWLV
UHFRQVWLWXWHG$OWHUQDWLYHO\WRGHVWUR\DFRPEDWV\VWHPLVWRGDPDJHLWVREDGO\WKDWLWFDQQRWSHUIRUP
DQ\IXQFWLRQRUEHUHVWRUHGWRDXVDEOHFRQGLWLRQZLWKRXWEHLQJHQWLUHO\UHEXLOW )0 
GLUHFWOLDLVRQDXWKRUL]HG
7KDWDXWKRULW\JUDQWHGE\DFRPPDQGHU DQ\OHYHO WRDVXERUGLQDWHWRGLUHFWO\FRQVXOWRUFRRUGLQDWHDQ
DFWLRQZLWKDFRPPDQGRUDJHQF\ZLWKLQRURXWVLGHRIWKHJUDQWLQJFRPPDQG -3 
GLUHFWVXSSRUW
$UP\ $VXSSRUWUHODWLRQVKLSUHTXLULQJDIRUFHWRVXSSRUWDQRWKHUVSHFLILFIRUFHDQGDXWKRUL]LQJLWWR
DQVZHUGLUHFWO\WRWKHVXSSRUWHGIRUFH¶VUHTXHVWIRUDVVLVWDQFH
GLVHQJDJHPHQWOLQH
$SKDVHOLQHORFDWHGRQLGHQWLILDEOHWHUUDLQWKDWZKHQFURVVHGE\WKHHQHP\VLJQDOVWRGHIHQGLQJ
HOHPHQWVWKDWLWLVWLPHWRGLVSODFHWRWKHLUQH[WSRVLWLRQ $'53 
GLVLQWHJUDWH
7RGLVUXSWWKHHQHP\¶VFRPPDQGDQGFRQWUROV\VWHPGHJUDGLQJLWVDELOLW\WRFRQGXFWRSHUDWLRQVZKLOH
OHDGLQJWRDUDSLGFROODSVHRIWKHHQHP\¶VFDSDELOLWLHVRUZLOOWRILJKW $'53 
GLVORFDWH
7RHPSOR\IRUFHVWRREWDLQVLJQLILFDQWSRVLWLRQDODGYDQWDJHUHQGHULQJWKHHQHP\¶VGLVSRVLWLRQVOHVV
YDOXDEOHSHUKDSVHYHQLUUHOHYDQW $'53 
GLVPRXQWHGPDUFK
0RYHPHQWRIWURRSVDQGHTXLSPHQWPDLQO\E\IRRWZLWKOLPLWHGVXSSRUWE\YHKLFOHV )0 
GRXEOHHQYHORSPHQW
7KLVUHVXOWVIURPVLPXOWDQHRXVPDQHXYHULQJDURXQGERWKIODQNVRIDGHVLJQDWHGHQHP\IRUFH
)0 
HDUO\HQWU\FRPPDQGSRVW
$OHDGHOHPHQWRIDKHDGTXDUWHUVGHVLJQHGWRFRQWURORSHUDWLRQVXQWLOWKHUHPDLQLQJSRUWLRQVRIWKH
KHDGTXDUWHUVDUHGHSOR\HGDQGRSHUDWLRQDO )0 
HOHFWURPDJQHWLFVSHFWUXP
7KHUDQJHRIIUHTXHQFLHVRIHOHFWURPDJQHWLFUDGLDWLRQIURP]HURWRLQILQLW\,WLVGLYLGHGLQWR
DOSKDEHWLFDOO\GHVLJQDWHGEDQGV -3 
HQFLUFOHPHQWRSHUDWLRQV
2SHUDWLRQVZKHUHRQHIRUFHORVHVLWVIUHHGRPRIPDQHXYHUEHFDXVHDQRSSRVLQJIRUFHLVDEOHWRLVRODWH
LWE\FRQWUROOLQJDOOJURXQGOLQHVRIFRPPXQLFDWLRQVDQGUHLQIRUFHPHQW $'53 
HQHP\
$SDUW\LGHQWLILHGDVKRVWLOHDJDLQVWZKLFKWKHXVHRIIRUFHLVDXWKRUL]HG $'53 
HQJDJHPHQWDUHD
$QDUHDZKHUHWKHFRPPDQGHULQWHQGVWRFRQWDLQDQGGHVWUR\DQHQHP\IRUFHZLWKWKHPDVVHGHIIHFWV
RIDOODYDLODEOHZHDSRQVDQGVXSSRUWLQJV\VWHPV )0 
HQYHORSPHQW
$IRUPRIPDQHXYHULQZKLFKDQDWWDFNLQJIRUFHVHHNVWRDYRLGWKHSULQFLSDOHQHP\GHIHQVHVE\
VHL]LQJREMHFWLYHVEHKLQGWKRVHGHIHQVHVWKDWDOORZWKHWDUJHWHGHQHP\IRUFHWREHGHVWUR\HGLQWKHLU
FXUUHQWSRVLWLRQV )0 
IHLQW
,QPLOLWDU\GHFHSWLRQDQRIIHQVLYHDFWLRQLQYROYLQJFRQWDFWZLWKWKHDGYHUVDU\FRQGXFWHGIRUWKH
SXUSRVHRIGHFHLYLQJWKHDGYHUVDU\DVWRWKHORFDWLRQDQGRUWLPHRIWKHDFWXDOPDLQRIIHQVLYHDFWLRQ
-3 

6 October 2017 FM 3-0 Glossary-9


Glossary

ILQDOSURWHFWLYHILUH
$QLPPHGLDWHO\DYDLODEOHSUHDUUDQJHGEDUULHURIILUHGHVLJQHGWRLPSHGHHQHP\PRYHPHQWDFURVV
GHIHQVLYHOLQHVRUDUHDV -3 
ILUHVXSHULRULW\
7KDWGHJUHHRIGRPLQDQFHLQWKHILUHVRIRQHIRUFHRYHUDQRWKHUWKDWSHUPLWVWKDWIRUFHWRFRQGXFW
PDQHXYHUDWDJLYHQWLPHDQGSODFHZLWKRXWSURKLELWLYHLQWHUIHUHQFHE\WKHHQHP\ )0 
ILUHVXSSRUWFRRUGLQDWLRQOLQH
$ILUHVXSSRUWFRRUGLQDWLRQPHDVXUHHVWDEOLVKHGE\WKHODQGRUDPSKLELRXVIRUFHFRPPDQGHUWR
VXSSRUWFRPPRQREMHFWLYHVZLWKLQDQDUHDRIRSHUDWLRQEH\RQGZKLFKDOOILUHVPXVWEHFRRUGLQDWHG
ZLWKDIIHFWHGFRPPDQGHUVSULRUWRHQJDJHPHQWDQGVKRUWRIWKHOLQHDOOILUHVPXVWEHFRRUGLQDWHGZLWK
WKHHVWDEOLVKLQJFRPPDQGHUSULRUWRHQJDJHPHQW -3 
ILUHVZDUILJKWLQJIXQFWLRQ
7KHUHODWHGWDVNVDQGV\VWHPVWKDWSURYLGHFROOHFWLYHDQGFRRUGLQDWHGXVHRI$UP\LQGLUHFWILUHVDLU
DQGPLVVLOHGHIHQVHDQGMRLQWILUHVWKURXJKWDUJHWLQJSURFHVVHV $'53 
IODQNDWWDFN
$IRUPRIRIIHQVLYHPDQHXYHUGLUHFWHGDWWKHIODQNRIDQHQHP\ )0 
IOH[LEOHGHWHUUHQWRSWLRQ
$SODQQLQJFRQVWUXFWLQWHQGHGWRIDFLOLWDWHHDUO\GHFLVLRQPDNLQJE\GHYHORSLQJDZLGHUDQJHRI
LQWHUUHODWHGUHVSRQVHVWKDWEHJLQZLWKGHWHUUHQWRULHQWHGDFWLRQVFDUHIXOO\WDLORUHGWRFUHDWHDGHVLUHG
HIIHFW -3 
IOH[LEOHUHVSRQVH
7KHFDSDELOLW\RIPLOLWDU\IRUFHVIRUHIIHFWLYHUHDFWLRQWRDQ\HQHP\WKUHDWRUDWWDFNZLWKDFWLRQV
DSSURSULDWHDQGDGDSWDEOHWRWKHFLUFXPVWDQFHVH[LVWLQJ -3 
IRUFHSURMHFWLRQ
7KHDELOLW\WRSURMHFWWKHPLOLWDU\LQVWUXPHQWRIQDWLRQDOSRZHUIURPWKH8QLWHG6WDWHVRUDQRWKHU
WKHDWHULQUHVSRQVHWRUHTXLUHPHQWVIRUPLOLWDU\RSHUDWLRQV -3 
IRUFHWDLORULQJ
7KHSURFHVVRIGHWHUPLQLQJWKHULJKWPL[RIIRUFHVDQGWKHVHTXHQFHRIWKHLUGHSOR\PHQWLQVXSSRUWRI
DMRLQWIRUFHFRPPDQGHU $'53 
IRUFLEOHHQWU\
6HL]LQJDQGKROGLQJRIDPLOLWDU\ORGJPHQWLQWKHIDFHRIDUPHGRSSRVLWLRQRUIRUFLQJDFFHVVLQWRD
GHQLHGDUHDWRDOORZPRYHPHQWDQGPDQHXYHUWRDFFRPSOLVKWKHPLVVLRQ -3 
IRUHLJQLQWHUQDOGHIHQVH
3DUWLFLSDWLRQE\FLYLOLDQDQGPLOLWDU\DJHQFLHVRIDJRYHUQPHQWLQDQ\RIWKHDFWLRQSURJUDPVWDNHQE\
DQRWKHUJRYHUQPHQWRURWKHUGHVLJQDWHGRUJDQL]DWLRQWRIUHHDQGSURWHFWLWVVRFLHW\IURPVXEYHUVLRQ
ODZOHVVQHVVLQVXUJHQF\WHUURULVPDQGRWKHUWKUHDWVWRLWVVHFXULW\ -3 
IRUPVRIPDQHXYHU
'LVWLQFWWDFWLFDOFRPELQDWLRQVRIILUHDQGPRYHPHQWZLWKDXQLTXHVHWRIGRFWULQDOFKDUDFWHULVWLFVWKDW
GLIIHUSULPDULO\LQWKHUHODWLRQVKLSEHWZHHQWKHPDQHXYHULQJIRUFHDQGWKHHQHP\ $'53 
IRUZDUGHGJHRIWKHEDWWOHDUHD
7KHIRUHPRVWOLPLWRIDVHULHVRIDUHDVLQZKLFKJURXQGFRPEDWXQLWVDUHGHSOR\HGH[FOXGLQJWKHDUHDV
LQZKLFKWKHFRYHULQJRUVFUHHQLQJIRUFHVDUHRSHUDWLQJGHVLJQDWHGWRFRRUGLQDWHILUHVXSSRUWWKH
SRVLWLRQLQJRIIRUFHVRUWKHPDQHXYHURIXQLWV -3 
IRUZDUGSDVVDJHRIOLQHV
2FFXUVZKHQDXQLWSDVVHVWKURXJKDQRWKHUXQLW¶VSRVLWLRQVZKLOHPRYLQJWRZDUGWKHHQHP\
$'53 

Glossary-10 FM 3-0 6 October 2017


*ORVVDU\

IUHHILUHDUHD
$VSHFLILFDUHDLQWRZKLFKDQ\ZHDSRQV\VWHPPD\ILUHZLWKRXWDGGLWLRQDOFRRUGLQDWLRQZLWKWKH
HVWDEOLVKLQJKHDGTXDUWHUV -3 
IURQWDODWWDFN
$IRUPRIPDQHXYHULQZKLFKDQDWWDFNLQJIRUFHVHHNVWRGHVWUR\DZHDNHUHQHP\IRUFHRUIL[DODUJHU
HQHP\IRUFHLQSODFHRYHUDEURDGIURQW )0 
JHQHUDOVXSSRUW
7KDW VXSSRUWZKLFKLVJLYHQWRWKHVXSSRUWHGIRUFHDVDZKROHDQGQRWWRDQ\ SDUWLFXODUVXEGLYLVLRQ
WKHUHRI -3 
 JHQHUDOVXSSRUWUHLQIRUFLQJ
$UP\ $VXSSRUWUHODWLRQVKLSDVVLJQHGWRDXQLWWRVXSSRUWWKHIRUFHDVDZKROHDQGWRUHLQIRUFH
DQRWKHUVLPLODUW\SHXQLW
JUDSKLFFRQWUROPHDVXUH
$V\PEROXVHGRQPDSVDQG GLVSOD\VWRUHJXODWHIRUFHVDQGZDUILJKWLQJIXQFWLRQV $'53
JXDUG
$VHFXULW\WDVNWRSURWHFWWKHPDLQIRUFHE\ILJKWLQJWRJDLQWLPHZKLOHDOVRREVHUYLQJDQGUHSRUWLQJ
LQIRUPDWLRQDQGSUHYHQWLQJHQHP\JURXQGREVHUYDWLRQRIDQG GLUHFWILUHDJDLQVWWKHPDLQERG\8QLWV
FRQGXFWLQJDJXDUGPLVVLRQFDQQRWRSHUDWHLQGHSHQGHQWO\EHFDXVHWKH\UHO\XSRQILUHVDQGIXQFWLRQDO
DQGPXOWLIXQFWLRQDOVXSSRUWDVVHWVRIWKHPDLQERG\ $'53
KRVWQDWLRQVXSSRUW
&LYLODQGRUPLOLWDU\DVVLVWDQFHUHQGHUHGE\DQDWLRQWRIRUHLJQIRUFHVZLWKLQLWVWHUULWRU\GXULQJ
SHDFHWLPHFULVHVRUHPHUJHQFLHVRUZDUEDVHGRQDJUHHPHQWVPXWXDOO\FRQFOXGHGEHWZHHQQDWLRQV
-3 
LQILOWUDWLRQ
$IRUPRIPDQHXYHULQZKLFKDQDWWDFNLQJIRUFHFRQGXFWVXQGHWHFWHGPRYHPHQWWKURXJKRULQWRDQ
DUHDRFFXSLHGE\HQHP\IRUFHVWRRFFXS\DSRVLWLRQRIDGYDQWDJH EHKLQGWKRVHHQHP\SRVLWLRQVZKLOH
H[SRVLQJRQO\VPDOOHOHPHQWVWRHQHP\GHIHQVLYHILUHV )0
LQIRUPDWLRQRSHUDWLRQV
7KHLQWHJUDWHGHPSOR\PHQWGXULQJPLOLWDU\RSHUDWLRQVRILQIRUPDWLRQUHODWHGFDSDELOLWLHVLQFRQFHUW
ZLWKRWKHUOLQHVRIRSHUDWLRQWRLQIOXHQFHGLVUXSWFRUUXSWRUXVXUSWKHGHFLVLRQPDNLQJRIDGYHUVDULHV
DQGSRWHQWLDODGYHUVDULHVZKLOHSURWHFWLQJRXURZQ -3 
LQWHOOLJHQFHZDUILJKWLQJIXQFWLRQ
7KHUHODWHGWDVNVDQGV\VWHPVWKDWIDFLOLWDWHXQGHUVWDQGLQJWKHHQHP\WHUUDLQZHDWKHUFLYLO
FRQVLGHUDWLRQVDQGRWKHUVLJQLILFDQWDVSHFWVRIWKHRSHUDWLRQDOHQYLURQPHQW $'53 
LQWHUGLFWLRQ
$Q DFWLRQWRGLYHUWGLVUXSWGHOD\RUGHVWUR\WKHHQHP\¶VPLOLWDU\VXUIDFHFDSDELOLW\EHIRUHLWFDQEH
XVHGHIIHFWLYHO\DJDLQVWIULHQGO\IRUFHVRUWRDFKLHYHHQHP\REMHFWLYHV -3 
LQWUDQVLWYLVLELOLW\
7KHDELOLW\WRWUDFNWKHLGHQWLW\VWDWXVDQGORFDWLRQRI'2'XQLWVDQGQRQXQLWFDUJR H[FOXGLQJEXON
SHWUROHXPRLOVDQGOXEULFDQWV DQGSDVVHQJHUVSDWLHQWVDQGSHUVRQDOSURSHUW\IURPRULJLQWR
FRQVLJQHHRUGHVWLQDWLRQDFURVVWKHUDQJHRIPLOLWDU\RSHUDWLRQV -3
LVRODWH
$WDFWLFDOPLVVLRQWDVNWKDWUHTXLUHVDXQLWWRVHDORII²ERWKSK\VLFDOO\DQGSV\FKRORJLFDOO\²DQHQHP\
IURPVRXUFHVRIVXSSRUWGHQ\WKHHQHP\IUHHGRPRIPRYHPHQWDQGSUHYHQWWKHLVRODWHGHQHP\IRUFH
IURPKDYLQJ FRQWDFWZLWKRWKHUHQHP\IRUFHV )0
MRLQWRSHUDWLRQV
0LOLWDU\DFWLRQVFRQGXFWHGE\MRLQWIRUFHVDQGWKRVH6HUYLFHIRUFHVHPSOR\HGLQVSHFLILHGFRPPDQG
UHODWLRQVKLSVZLWKHDFKRWKHUZKLFKRIWKHPVHOYHVGRQRWHVWDEOLVKMRLQWIRUFHV -3 

6 December 2017 FM 3-0, C1 Glossary-11


Glossary

NLOOER[
$WKUHHGLPHQVLRQDOSHUPLVVLYHILUHVXSSRUWFRRUGLQDWLRQPHDVXUHZLWKDQDVVRFLDWHGDLUVSDFH
FRRUGLQDWLQJPHDVXUHXVHGWRIDFLOLWDWHWKHLQWHJUDWLRQRIILUHV -3 
ODQGSRZHU
7KHDELOLW\²E\WKUHDWIRUFHRURFFXSDWLRQ²WRJDLQVXVWDLQDQG H[SORLWFRQWURORYHUODQGUHVRXUFHV
DQGSHRSOH $'53
OHDGHUVKLS
7KHSURFHVVRILQIOXHQFLQJSHRSOHE\SURYLGLQJSXUSRVHGLUHFWLRQDQGPRWLYDWLRQWRDFFRPSOLVKWKH
PLVVLRQDQGLPSURYHWKHRUJDQL]DWLRQ $'3
/HYHO,WKUHDW
$VPDOOHQHP\IRUFHWKDWFDQEHGHIHDWHGE\WKRVHXQLWVQRUPDOO\RSHUDWLQJLQWKHHFKHORQVXSSRUWDUHD
RUE\WKHSHULPHWHUGHIHQVHVHVWDEOLVKHGE\IULHQGO\EDVHVDQGEDVHFOXVWHUV $73 
/HYHO,,WKUHDW
$Q HQHP\IRUFHRUDFWLYLWLHVWKDWFDQEHGHIHDWHGE\DEDVHRUEDVHFOXVWHU¶VGHIHQVLYHFDSDELOLWLHV
ZKHQDXJPHQWHGE\DUHVSRQVHIRUFH $73 
/HYHO,,,WKUHDW
$Q HQHP\IRUFHRUDFWLYLWLHVEH\RQGWKHGHIHQVLYHFDSDELOLW\RIERWKWKHEDVHDQGEDVHFOXVWHUDQGDQ\
ORFDOUHVHUYHRUUHVSRQVHIRUFH $73 
OLQHRIFRQWDFW
$JHQHUDOWUDFHGHOLQHDWLQJWKHORFDWLRQZKHUHIULHQGO\DQGHQHP\IRUFHVDUHHQJDJHG )0 
OLQHRIGHSDUWXUH
$UP\ $SKDVHOLQHFURVVHGDWDSUHVFULEHGWLPHE\WURRSVLQLWLDWLQJDQRIIHQVLYHWDVN $'53  
OLQNXS
$PHHWLQJRIIULHQGO\JURXQGIRUFHVZKLFKRFFXUVLQDYDULHW\RIFLUFXPVWDQFHV $'53 
ORFDOVHFXULW\
$VHFXULW\WDVNWKDWLQFOXGHVORZOHYHOVHFXULW\DFWLYLWLHVFRQGXFWHGQHDUDXQLWWRSUHYHQWVXUSULVHE\
WKHHQHP\ $'53
ORGJPHQW
$GHVLJQDWHGDUHDLQDKRVWLOHRUSRWHQWLDOO\KRVWLOHRSHUDWLRQDODUHDWKDWZKHQVHL]HGDQGKHOGPDNHV
WKHFRQWLQXRXVODQGLQJRIWURRSVDQGPDWHULHOSRVVLEOHDQGSURYLGHVPDQHXYHUVSDFHIRUVXEVHTXHQW
RSHUDWLRQV -3 
PDLQEDWWOHDUHD
7KHDUHDZKHUHWKHFRPPDQGHULQWHQGVWRGHSOR\WKHEXONRIWKHXQLW¶VFRPEDWSRZHUDQGFRQGXFW
GHFLVLYHRSHUDWLRQVWRGHIHDWDQDWWDFNLQJHQHP\ $'53 
PDLQFRPPDQGSRVW
$IDFLOLW\FRQWDLQLQJWKHPDMRULW\RIWKHVWDIIGHVLJQHGWRFRQWUROFXUUHQWRSHUDWLRQVFRQGXFWGHWDLOHG
DQDO\VLVDQGSODQIXWXUHRSHUDWLRQV )0 
PDLQHIIRUW
$GHVLJQDWHGVXERUGLQDWHXQLWZKRVHPLVVLRQDWDJLYHQSRLQWLQWLPHLVPRVWFULWLFDOWRRYHUDOOPLVVLRQ
VXFFHVV $'53
PDQHXYHU
(PSOR\PHQWRIIRUFHVLQWKHRSHUDWLRQDODUHDWKURXJKPRYHPHQWLQFRPELQDWLRQZLWKILUHVWRDFKLHYHD
SRVLWLRQRIDGYDQWDJH LQUHVSHFWWRWKHHQHP\ -3
PHHWLQJHQJDJHPHQW
$FRPEDWDFWLRQWKDWRFFXUVZKHQDPRYLQJIRUFHLQFRPSOHWHO\GHSOR\HGIRUEDWWOHHQJDJHVDQHQHP\
DWDQXQH[SHFWHGWLPHDQGSODFH )0

Glossary-12 FM 3-0, C1 6 December 2017


*ORVVDU\

PLOLWDU\GHFHSWLRQ
$FWLRQVH[HFXWHGWRGHOLEHUDWHO\PLVOHDGDGYHUVDU\PLOLWDU\SDUDPLOLWDU\RUYLROHQWH[WUHPLVW
RUJDQL]DWLRQGHFLVLRQPDNHUVWKHUHE\FDXVLQJWKHDGYHUVDU\WRWDNHVSHFLILFDFWLRQV RULQDFWLRQV WKDW
ZLOOFRQWULEXWHWRWKHDFFRPSOLVKPHQWRIWKHIULHQGO\PLVVLRQ -3 
PLOLWDU\HQJDJHPHQW
7KHURXWLQHFRQWDFWDQGLQWHUDFWLRQEHWZHHQLQGLYLGXDOVRUHOHPHQWVRIWKH$UPHG)RUFHVRIWKH8QLWHG
6WDWHVDQGWKRVHRIDQRWKHUQDWLRQ¶VDUPHGIRUFHVRUIRUHLJQDQGGRPHVWLFFLYLOLDQDXWKRULWLHVRU
DJHQFLHVWREXLOGWUXVWDQGFRQILGHQFHVKDUHLQIRUPDWLRQFRRUGLQDWHPXWXDODFWLYLWLHVDQGPDLQWDLQ
LQIOXHQFH -3 
PLVVLRQFRPPDQGV\VWHP
7KHDUUDQJHPHQWRISHUVRQQHOQHWZRUNVLQIRUPDWLRQV\VWHPVSURFHVVHVDQGSURFHGXUHVDQGIDFLOLWLHV
DQGHTXLSPHQWWKDWHQDEOHFRPPDQGHUVWRFRQGXFWRSHUDWLRQV $'3 
PLVVLRQFRPPDQGZDUILJKWLQJIXQFWLRQ
7KHUHODWHGWDVNVDQGV\VWHPVWKDWGHYHORSDQGLQWHJUDWHWKRVHDFWLYLWLHVHQDEOLQJDFRPPDQGHUWR
EDODQFHWKHDUWRIFRPPDQGDQGWKHVFLHQFHRIFRQWUROLQRUGHUWRLQWHJUDWHWKHRWKHUZDUILJKWLQJ
IXQFWLRQV $'53 
PRELOHGHIHQVH
$GHIHQVLYHWDVNWKDWFRQFHQWUDWHVRQWKHGHVWUXFWLRQRUGHIHDWRIWKHHQHP\WKURXJKDGHFLVLYHDWWDFN
E\DVWULNLQJIRUFH $'53 
PRYHPHQWDQGPDQHXYHUZDUILJKWLQJIXQFWLRQ
7KHUHODWHGWDVNVDQGV\VWHPVWKDWPRYHDQGHPSOR\IRUFHVWRDFKLHYHDSRVLWLRQRIUHODWLYHDGYDQWDJH
RYHUWKHHQHP\DQGRWKHUWKUHDWV $'53 
PRYHPHQWWRFRQWDFW
$UP\ $QRIIHQVLYHWDVNGHVLJQHGWRGHYHORSWKHVLWXDWLRQDQGHVWDEOLVKRUUHJDLQFRQWDFW
$'53 
PXOWLHFKHORQWUDLQLQJ
$WUDLQLQJWHFKQLTXHWKDWDOORZVIRUWKHVLPXOWDQHRXVWUDLQLQJRIPRUHWKDQRQHHFKHORQRQGLIIHUHQWRU
FRPSOHPHQWDU\WDVNV $'53 
PXWXDOVXSSRUW
7KDWVXSSRUWZKLFKXQLWVUHQGHUHDFKRWKHUDJDLQVWDQHQHP\EHFDXVHRIWKHLUDVVLJQHGWDVNVWKHLU
SRVLWLRQUHODWLYHWRHDFKRWKHUDQGWRWKHHQHP\DQGWKHLULQKHUHQWFDSDELOLWLHV -3 
QDPHGDUHDRILQWHUHVW
7KHJHRVSDWLDODUHDRUV\VWHPVQRGHRUOLQNDJDLQVWZKLFKLQIRUPDWLRQWKDWZLOOVDWLVI\DVSHFLILF
LQIRUPDWLRQUHTXLUHPHQWFDQEHFROOHFWHGXVXDOO\WRFDSWXUHLQGLFDWLRQVRIDGYHUVDU\FRXUVHVRIDFWLRQ
-3 
RIIHQVLYHWDVN
$WDVNFRQGXFWHGWRGHIHDWDQGGHVWUR\HQHP\IRUFHVDQGVHL]HWHUUDLQUHVRXUFHVDQGSRSXODWLRQ
FHQWHUV $'53 
RSHUDWLRQ
$VHTXHQFHRIWDFWLFDODFWLRQVZLWKDFRPPRQSXUSRVHRUXQLI\LQJWKHPH -3 
RSHUDWLRQDODSSURDFK
$EURDGGHVFULSWLRQRIWKHPLVVLRQRSHUDWLRQDOFRQFHSWVWDVNVDQGDFWLRQVUHTXLUHGWRDFFRPSOLVKWKH
PLVVLRQ -3 
RSHUDWLRQDODUW
7KHFRJQLWLYHDSSURDFKE\FRPPDQGHUVDQGVWDIIV²VXSSRUWHGE\WKHLUVNLOONQRZOHGJHH[SHULHQFH
FUHDWLYLW\DQGMXGJPHQW²WRGHYHORSVWUDWHJLHVFDPSDLJQVDQGRSHUDWLRQVWRRUJDQL]HDQGHPSOR\
PLOLWDU\IRUFHVE\LQWHJUDWLQJHQGVZD\VDQGPHDQV -3 

6 October 2017 FM 3-0 Glossary-13


Glossary

RSHUDWLRQDOFRQWURO
7KHDXWKRULW\WRSHUIRUPWKRVHIXQFWLRQVRIFRPPDQGRYHUVXERUGLQDWHIRUFHVLQYROYLQJRUJDQL]LQJ
DQGHPSOR\LQJFRPPDQGVDQGIRUFHVDVVLJQLQJWDVNVGHVLJQDWLQJREMHFWLYHVDQGJLYLQJDXWKRULWDWLYH
GLUHFWLRQQHFHVVDU\WRDFFRPSOLVKWKHPLVVLRQ -3 
RSHUDWLRQDOHQYLURQPHQW
$FRPSRVLWHRIWKHFRQGLWLRQVFLUFXPVWDQFHVDQGLQIOXHQFHVWKDWDIIHFWWKHHPSOR\PHQWRI
FDSDELOLWLHVDQGEHDURQWKHGHFLVLRQVRIWKHFRPPDQGHU -3 
RSHUDWLRQDOIUDPHZRUN
$FRJQLWLYHWRROXVHGWRDVVLVWFRPPDQGHUVDQGVWDIIVLQFOHDUO\YLVXDOL]LQJDQGGHVFULELQJWKH
DSSOLFDWLRQRIFRPEDWSRZHULQWLPHVSDFHSXUSRVHDQGUHVRXUFHVLQWKHFRQFHSWRIRSHUDWLRQV
$'3 
RSHUDWLRQDOUHDFK
7KHGLVWDQFHDQGGXUDWLRQDFURVVZKLFKDIRUFHFDQVXFFHVVIXOO\HPSOR\PLOLWDU\FDSDELOLWLHV -3 
RSHUDWLRQVSURFHVV
7KHPDMRUPLVVLRQFRPPDQGDFWLYLWLHVSHUIRUPHGGXULQJRSHUDWLRQVSODQQLQJSUHSDULQJH[HFXWLQJ
DQGFRQWLQXRXVO\DVVHVVLQJWKHRSHUDWLRQ $'3 
RUJDQLF
$VVLJQHGWRDQGIRUPLQJDQHVVHQWLDOSDUWRIDPLOLWDU\RUJDQL]DWLRQDVOLVWHGLQLWVWDEOHRIRUJDQL]DWLRQ
IRUWKH$UP\$LU)RUFHDQG0DULQH&RUSVDQGDUHDVVLJQHGWRWKHRSHUDWLQJIRUFHVIRUWKH1DY\
-3 
SDVVDJHRIOLQHV
$QRSHUDWLRQLQZKLFKDIRUFHPRYHVIRUZDUGRUUHDUZDUGWKURXJKDQRWKHUIRUFH¶VFRPEDWSRVLWLRQV
ZLWKWKHLQWHQWLRQRIPRYLQJLQWRRURXWRIFRQWDFWZLWKWKHHQHP\ -3 
SDVVDJHODQH
$ODQHWKURXJKDQHQHP\RUIULHQGO\REVWDFOHWKDWSURYLGHVVDIHSDVVDJHIRUDSDVVLQJIRUFH
)0 
SDVVDJHSRLQW
$VSHFLILFDOO\GHVLJQDWHGSODFHZKHUHWKHSDVVLQJXQLWVSDVVWKURXJKWKHVWDWLRQDU\XQLW )0 
SHQHWUDWLRQ
$IRUPRIPDQHXYHULQZKLFKDQDWWDFNLQJIRUFHVHHNVWRUXSWXUHHQHP\GHIHQVHVRQDQDUURZIURQWWR
GLVUXSWWKHGHIHQVLYHV\VWHP )0 
SKDVH
$UP\ $SODQQLQJDQGH[HFXWLRQWRROXVHGWRGLYLGHDQRSHUDWLRQLQGXUDWLRQRUDFWLYLW\ $'53 
SRVLWLRQRIUHODWLYHDGYDQWDJH
$ORFDWLRQRUWKHHVWDEOLVKPHQWRIDIDYRUDEOHFRQGLWLRQZLWKLQWKHDUHDRIRSHUDWLRQVWKDWSURYLGHVWKH
FRPPDQGHUZLWKWHPSRUDU\IUHHGRPRIDFWLRQWRHQKDQFHFRPEDWSRZHURYHUDQHQHP\RULQIOXHQFH
WKHHQHP\WRDFFHSWULVNDQGPRYHWRDSRVLWLRQRIGLVDGYDQWDJH $'53 
SUHSDUDWLRQ
7KRVHDFWLYLWLHVSHUIRUPHGE\XQLWVDQG6ROGLHUVWRLPSURYHWKHLUDELOLW\WRH[HFXWHDQRSHUDWLRQ
$'3 
SUHSDUDWLRQRIWKHHQYLURQPHQW
$QXPEUHOODWHUPIRURSHUDWLRQVDQGDFWLYLWLHVFRQGXFWHGE\VHOHFWLYHO\WUDLQHGVSHFLDORSHUDWLRQV
IRUFHVWRGHYHORSDQHQYLURQPHQWIRUSRWHQWLDOIXWXUHVSHFLDORSHUDWLRQV -3 
SURWHFWLRQZDUILJKWLQJIXQFWLRQ
7KHUHODWHGWDVNVDQGV\VWHPVWKDWSUHVHUYHWKHIRUFHVRWKHFRPPDQGHUFDQDSSO\PD[LPXPFRPEDW
SRZHUWRDFFRPSOLVKWKHPLVVLRQ $'53 

Glossary-14 FM 3-0 6 October 2017


*ORVVDU\

UDLG
$QRSHUDWLRQWRWHPSRUDULO\VHL]HDQDUHDLQRUGHUWRVHFXUHLQIRUPDWLRQFRQIXVHDQHQHP\FDSWXUH
SHUVRQQHORUHTXLSPHQWRUWRGHVWUR\DFDSDELOLW\FXOPLQDWLQJZLWKDSODQQHGZLWKGUDZDO -3 
UHDUZDUGSDVVDJHRIOLQHV
2FFXUVZKHQDXQLWSDVVHVWKURXJKDQRWKHUXQLW¶VSRVLWLRQVZKLOHPRYLQJDZD\IURPWKHHQHP\
$'53 
UHFRQQDLVVDQFH
$PLVVLRQXQGHUWDNHQWRREWDLQE\YLVXDOREVHUYDWLRQRURWKHUGHWHFWLRQPHWKRGVLQIRUPDWLRQDERXW
WKHDFWLYLWLHVDQGUHVRXUFHVRIDQHQHP\RUDGYHUVDU\RUWRVHFXUHGDWDFRQFHUQLQJWKHPHWHRURORJLFDO
K\GURJUDSKLFRUJHRJUDSKLFFKDUDFWHULVWLFVRIDSDUWLFXODUDUHD -3 
UHFRQQDLVVDQFHLQIRUFH
$GHOLEHUDWHFRPEDWRSHUDWLRQGHVLJQHGWRGLVFRYHURUWHVWWKHHQHP\¶VVWUHQJWKGLVSRVLWLRQVDQG
UHDFWLRQVRUWRREWDLQRWKHULQIRUPDWLRQ $'53 
UHFRQQDLVVDQFHREMHFWLYH
$WHUUDLQIHDWXUHJHRJUDSKLFDUHDHQHP\IRUFHDGYHUVDU\RURWKHUPLVVLRQRURSHUDWLRQDOYDULDEOH
VXFKDVVSHFLILFFLYLOFRQVLGHUDWLRQVDERXWZKLFKWKHFRPPDQGHUZDQWVWRREWDLQDGGLWLRQDO
LQIRUPDWLRQ $'53 
UHLQIRUFLQJ
$VXSSRUWUHODWLRQVKLSUHTXLULQJDIRUFHWRVXSSRUWDQRWKHUVXSSRUWLQJXQLW
UHOLHILQSODFH
$QRSHUDWLRQLQZKLFKE\GLUHFWLRQRIKLJKHUDXWKRULW\DOORUSDUWRIDXQLWLVUHSODFHGLQDQDUHDE\
WKHLQFRPLQJXQLWDQGWKHUHVSRQVLELOLWLHVRIWKHUHSODFHGHOHPHQWVIRUWKHPLVVLRQDQGWKHDVVLJQHG
]RQHRIRSHUDWLRQVDUHWUDQVIHUUHGWRWKHLQFRPLQJXQLW -3 
UHVHUYH
$UP\ 7KDWSRUWLRQRIDERG\RIWURRSVZKLFKLVZLWKKHOGIURPDFWLRQDWWKHEHJLQQLQJRIDQ
HQJDJHPHQWLQRUGHUWREHDYDLODEOHIRUDGHFLVLYHPRYHPHQW $'53 
UHWLUHPHQW
$IRUPRIUHWURJUDGHLQZKLFKDIRUFHRXWRIFRQWDFWPRYHVDZD\IURPWKHHQHP\ $'53 
UHWURJUDGH
$UP\ $GHIHQVLYHWDVNWKDWLQYROYHVRUJDQL]HGPRYHPHQWDZD\IURPWKHHQHP\ $'53 
URXWHUHFRQQDLVVDQFH
$GLUHFWHGHIIRUWWRREWDLQGHWDLOHGLQIRUPDWLRQRIDVSHFLILHGURXWHDQGDOOWHUUDLQIURPZKLFKWKH
HQHP\FRXOGLQIOXHQFHPRYHPHQWDORQJWKDWURXWH $'53 
VHDUFKDQGDWWDFN
$WHFKQLTXHIRUFRQGXFWLQJDPRYHPHQWWRFRQWDFWWKDWVKDUHVPDQ\RIWKHFKDUDFWHULVWLFVRIDQDUHD
VHFXULW\PLVVLRQ )0 
VFUHHQ
$VHFXULW\WDVNWKDWSULPDULO\SURYLGHVHDUO\ZDUQLQJWRWKHSURWHFWHGIRUFH $'53 
VHFXULW\DUHD
7KDWDUHDWKDWEHJLQVDWWKHIRUZDUGDUHDRIWKHEDWWOHILHOGDQGH[WHQGVDVIDUWRWKHIURQWDQGIODQNVDV
VHFXULW\IRUFHVDUHGHSOR\HG)RUFHVLQWKHVHFXULW\DUHDIXUQLVKLQIRUPDWLRQRQWKHHQHP\DQGGHOD\
GHFHLYHDQGGLVUXSWWKHHQHP\DQGFRQGXFWFRXQWHUUHFRQQDLVVDQFH $'53 
VHFXULW\IRUFHDVVLVWDQFH
7KH'HSDUWPHQWRI'HIHQVHDFWLYLWLHVWKDWFRQWULEXWHWRXQLILHGDFWLRQE\WKH8QLWHG6WDWHV
*RYHUQPHQWWRVXSSRUWWKHGHYHORSPHQWRIWKHFDSDFLW\DQGFDSDELOLW\RIIRUHLJQVHFXULW\IRUFHVDQG
WKHLUVXSSRUWLQJLQVWLWXWLRQV -3 

6 October 2017 FM 3-0 Glossary-15


Glossary

VHFXULW\IRUFHV
'XO\FRQVWLWXWHGPLOLWDU\SDUDPLOLWDU\SROLFHDQGFRQVWDEXODU\IRUFHVRIDVWDWH -3 
VHFXULW\FRRSHUDWLRQ
$OO'HSDUWPHQWRI'HIHQVHLQWHUDFWLRQVZLWKIRUHLJQVHFXULW\HVWDEOLVKPHQWVWREXLOGVHFXULW\
UHODWLRQVKLSVWKDWSURPRWHVSHFLILF8QLWHG6WDWHVVHFXULW\LQWHUHVWVGHYHORSDOOLHGDQGSDUWQHUQDWLRQ
PLOLWDU\DQGVHFXULW\FDSDELOLWLHVIRUVHOIGHIHQVHDQGPXOWLQDWLRQDORSHUDWLRQVDQGSURYLGH8QLWHG
6WDWHVIRUFHVZLWKSHDFHWLPHDQGFRQWLQJHQF\DFFHVVWRDOOLHGDQGSDUWQHUQDWLRQV -3 
VHFXULW\RSHUDWLRQV
7KRVHRSHUDWLRQVXQGHUWDNHQE\DFRPPDQGHUWRSURYLGHHDUO\DQGDFFXUDWHZDUQLQJRIHQHP\
RSHUDWLRQVWRSURYLGHWKHIRUFHEHLQJSURWHFWHGZLWKWLPHDQGPDQHXYHUVSDFHZLWKLQZKLFKWRUHDFWWR
WKHHQHP\DQGWRGHYHORSWKHVLWXDWLRQWRDOORZWKHFRPPDQGHUWRHIIHFWLYHO\XVHWKHSURWHFWHGIRUFH
$'53 
VHFXULW\VHFWRUUHIRUP
$FRPSUHKHQVLYHVHWRISURJUDPVDQGDFWLYLWLHVXQGHUWDNHQE\DKRVWQDWLRQWRLPSURYHWKHZD\LW
SURYLGHVVDIHW\VHFXULW\DQGMXVWLFH -3 
VKDSLQJRSHUDWLRQ
$QRSHUDWLRQWKDWHVWDEOLVKHVFRQGLWLRQVIRUWKHGHFLVLYHRSHUDWLRQWKURXJKHIIHFWVRQWKHHQHP\RWKHU
DFWRUVDQGWKHWHUUDLQ $'53 
VLQJOHHQYHORSPHQW
$IRUPRIPDQHXYHUWKDWUHVXOWVIURPPDQHXYHULQJDURXQGRQHDVVDLODEOHIODQNRIDGHVLJQDWHGHQHP\
IRUFH )0 
VSDFHGRPDLQ
7KHVSDFHHQYLURQPHQWVSDFHDVVHWVDQGWHUUHVWULDOUHVRXUFHVUHTXLUHGWRDFFHVVDQGRSHUDWHLQWRRU
WKURXJKWKHVSDFHHQYLURQPHQW )0 
VSHFLDOUHFRQQDLVVDQFH
5HFRQQDLVVDQFHDQGVXUYHLOODQFHDFWLRQVFRQGXFWHGDVDVSHFLDORSHUDWLRQLQKRVWLOHGHQLHGRU
GLSORPDWLFDOO\DQGRUSROLWLFDOO\VHQVLWLYHHQYLURQPHQWVWRFROOHFWRUYHULI\LQIRUPDWLRQRIVWUDWHJLFRU
RSHUDWLRQDOVLJQLILFDQFHHPSOR\LQJPLOLWDU\FDSDELOLWLHVQRWQRUPDOO\IRXQGLQFRQYHQWLRQDOIRUFHV
-3 
VSRLOLQJDWWDFN
$WDFWLFDOPDQHXYHUHPSOR\HGWRVHULRXVO\LPSDLUDKRVWLOHDWWDFNZKLOHWKHHQHP\LVLQWKHSURFHVVRI
IRUPLQJRUDVVHPEOLQJIRUDQDWWDFN )0 
VWDELOLW\PHFKDQLVP
7KHSULPDU\PHWKRGWKURXJKZKLFKIULHQGO\IRUFHVDIIHFWFLYLOLDQVLQRUGHUWRDWWDLQFRQGLWLRQVWKDW
VXSSRUWHVWDEOLVKLQJDODVWLQJVWDEOHSHDFH $'53 
VWDELOLW\WDVNV
7DVNVFRQGXFWHGDVSDUWRIRSHUDWLRQVRXWVLGHWKH8QLWHG6WDWHVLQFRRUGLQDWLRQZLWKRWKHULQVWUXPHQWV
RIQDWLRQDOSRZHUWRPDLQWDLQRUUHHVWDEOLVKDVDIHDQGVHFXUHHQYLURQPHQWDQGSURYLGHHVVHQWLDO
JRYHUQPHQWDOVHUYLFHVHPHUJHQF\LQIUDVWUXFWXUHUHFRQVWUXFWLRQDQGKXPDQLWDULDQUHOLHI
$'53 
VWULNLQJIRUFH
$GHGLFDWHGFRXQWHUDWWDFNIRUFHLQDPRELOHGHIHQVHFRQVWLWXWHGZLWKWKHEXONRIDYDLODEOHFRPEDW
SRZHU $'53 
VXSSRUW
7KHDFWLRQRIDIRUFHWKDWDLGVSURWHFWVFRPSOHPHQWVRUVXVWDLQVDQRWKHUIRUFHLQDFFRUGDQFHZLWKD
GLUHFWLYHUHTXLULQJVXFKDFWLRQ -3 

Glossary-16 FM 3-0 6 October 2017


*ORVVDU\

VXSSRUWDUHD
7KHSRUWLRQRIWKHFRPPDQGHU¶VDUHDRIRSHUDWLRQVWKDWLVGHVLJQDWHGWRIDFLOLWDWHWKHSRVLWLRQLQJ
HPSOR\PHQWDQGSURWHFWLRQRIEDVHVXVWDLQPHQWDVVHWVUHTXLUHGWRVXVWDLQHQDEOHDQGFRQWURO
RSHUDWLRQV $'53 
VXSSRUWLQJHIIRUW
$GHVLJQDWHGVXERUGLQDWHXQLWZLWKDPLVVLRQWKDWVXSSRUWVWKHVXFFHVVRIWKHPDLQHIIRUW $'53 
VXUYLYDELOLW\
$UP\ $TXDOLW\RUFDSDELOLW\RIPLOLWDU\IRUFHVZKLFKSHUPLWVWKHPWRDYRLGRUZLWKVWDQGKRVWLOH
DFWLRQVRUHQYLURQPHQWDOFRQGLWLRQVZKLOHUHWDLQLQJWKHDELOLW\WRIXOILOOWKHLUSULPDU\PLVVLRQ
$73 
VXUYLYDELOLW\RSHUDWLRQV
7KRVHPLOLWDU\DFWLYLWLHVWKDWDOWHUWKHSK\VLFDOHQYLURQPHQWWRSURYLGHRULPSURYHFRYHUFDPRXIODJH
DQGFRQFHDOPHQW $73 
VXVWDLQLQJRSHUDWLRQ
$QRSHUDWLRQDWDQ\HFKHORQWKDWHQDEOHVWKHGHFLVLYHRSHUDWLRQRUVKDSLQJRSHUDWLRQE\JHQHUDWLQJDQG
PDLQWDLQLQJFRPEDWSRZHU $'53 
VXVWDLQPHQWZDUILJKWLQJIXQFWLRQ
7KHUHODWHGWDVNVDQGV\VWHPVWKDWSURYLGHVXSSRUWDQGVHUYLFHVWRHQVXUHIUHHGRPRIDFWLRQH[WHQG
RSHUDWLRQDOUHDFKDQGSURORQJHQGXUDQFH $'53 
WDFWLFDOFRPEDWIRUFH
$UDSLGO\GHSOR\DEOHDLUJURXQGPRELOHFRPEDWXQLWZLWKDSSURSULDWHFRPEDWVXSSRUWDQGFRPEDW
VHUYLFHVXSSRUWDVVHWVDVVLJQHGWRDQGFDSDEOHRIGHIHDWLQJ/HYHO,,,WKUHDWVLQFOXGLQJFRPELQHGDUPV
-3 
WDFWLFDOFRPPDQGSRVW
$IDFLOLW\FRQWDLQLQJDWDLORUHGSRUWLRQRIDXQLWKHDGTXDUWHUVGHVLJQHGWRFRQWUROSRUWLRQVRIDQ
RSHUDWLRQIRUDOLPLWHGWLPH )0 
WDFWLFDOFRQWURO
7KHDXWKRULW\RYHUIRUFHVWKDWLVOLPLWHGWRWKHGHWDLOHGGLUHFWLRQDQGFRQWURORIPRYHPHQWVRU
PDQHXYHUVZLWKLQWKHRSHUDWLRQDODUHDQHFHVVDU\WRDFFRPSOLVKPLVVLRQVRUWDVNVDVVLJQHG -3 
WDUJHW
$QDUHDGHVLJQDWHGDQGQXPEHUHGIRUIXWXUHILULQJ -3 
WDUJHWDUHDRILQWHUHVW
7KHJHRJUDSKLFDODUHDZKHUHKLJKYDOXHWDUJHWVFDQEHDFTXLUHGDQGHQJDJHGE\IULHQGO\IRUFHV
-3 
WDUJHWUHIHUHQFHSRLQW
$SUHGHWHUPLQHGSRLQWRIUHIHUHQFHQRUPDOO\DSHUPDQHQWVWUXFWXUHRUWHUUDLQIHDWXUHWKDWFDQEHXVHG
ZKHQGHVFULELQJDWDUJHWORFDWLRQ -3 
WKUHDW
$Q\FRPELQDWLRQRIDFWRUVHQWLWLHVRUIRUFHVWKDWKDYHWKHFDSDELOLW\DQGLQWHQWWRKDUP8QLWHG6WDWHV
IRUFHV8QLWHG6WDWHVQDWLRQDOLQWHUHVWVRUWKHKRPHODQG $'53 
WULJJHUOLQH
$SKDVHOLQHORFDWHGRQLGHQWLILDEOHWHUUDLQWKDWFURVVHVWKHHQJDJHPHQWDUHDWKDWLVXVHGWRLQLWLDWHDQG
PDVVILUHVLQWRDQHQJDJHPHQWDUHDDWDSUHGHWHUPLQHGUDQJHIRUDOORUOLNHZHDSRQV\VWHPV
$'53 
WURRSPRYHPHQW
7KHPRYHPHQWRIWURRSVIURPRQHSODFHWRDQRWKHUE\DQ\DYDLODEOHPHDQV $'53 

6 October 2017 FM 3-0 Glossary-17


Glossary

WXUQLQJPRYHPHQW
$UP\ $IRUPRIPDQHXYHULQZKLFKWKHDWWDFNLQJIRUFHVHHNVWRDYRLGWKHHQHP\¶VSULQFLSOH
GHIHQVLYHSRVLWLRQVE\VHL]LQJREMHFWLYHVEHKLQGWKHHQHP\¶VFXUUHQWSRVLWLRQVWKHUHE\FDXVLQJWKH
HQHP\IRUFHWRPRYHRXWRIWKHLUFXUUHQWSRVLWLRQVRUGLYHUWPDMRUIRUFHVWRPHHWWKHWKUHDW
)0 
XQLILHGODQGRSHUDWLRQV
6LPXOWDQHRXVRIIHQVLYHGHIHQVLYHDQGVWDELOLW\RUGHIHQVHVXSSRUWRIFLYLODXWKRULWLHVWDVNVWRVHL]H
UHWDLQDQGH[SORLWWKHLQLWLDWLYHWRVKDSHWKHRSHUDWLRQDOHQYLURQPHQWSUHYHQWFRQIOLFWFRQVROLGDWH
JDLQVDQGZLQRXU1DWLRQ¶VZDUVDVSDUWRIXQLILHGDFWLRQ $'53 
ZDUILJKWLQJIXQFWLRQV
$JURXSRIWDVNVDQGV\VWHPVXQLWHGE\DFRPPRQSXUSRVHWKDWFRPPDQGHUVXVHWRDFFRPSOLVK
PLVVLRQVDQGWUDLQLQJREMHFWLYHV $'53 
ZLWKGUDZDORSHUDWLRQ
$SODQQHGUHWURJUDGHRSHUDWLRQLQZKLFKDIRUFHLQFRQWDFWGLVHQJDJHVIURPDQHQHP\IRUFHDQGPRYHV
LQDGLUHFWLRQDZD\IURPWKHHQHP\ -3 
]RQHUHFRQQDLVVDQFH
$IRUPRIUHFRQQDLVVDQFHWKDWLQYROYHVDGLUHFWHGHIIRUWWRREWDLQGHWDLOHGLQIRUPDWLRQRQDOOURXWHV
REVWDFOHVWHUUDLQDQGHQHP\IRUFHVZLWKLQD]RQHGHILQHGE\ERXQGDULHV $'53 






Glossary-18 FM 3-0 6 October 2017


5HIHUHQFHV

$OO85/VDFFHVVHGRQ$XJXVW

5(48,5('38%/,&$7,216
5HDGHUVUHTXLUHWKHVHSXEOLFDWLRQVIRUIXQGDPHQWDOFRQFHSWVWHUPVDQGGHILQLWLRQV
'2' 'LFWLRQDU\RI0LOLWDU\DQG$VVRFLDWHG7HUPV $XJXVW
$'537HUPVDQG0LOLWDU\6\PEROV1RYHPEHU
$'53 2SHUDWLRQV 2FWREHU

5(/$7('38%/,&$7,216
7KHVHSXEOLFDWLRQVDUHUHIHUHQFHGLQWKLVSXEOLFDWLRQ

-2,17$1' '(3$570(17'()(16(38%/,&$7,216
0RVW'HSDUWPHQWRI'HIHQVHSXEOLFDWLRQVDUHDYDLODEOHDWWKH'HSDUWPHQWRI'HIHQVH,VVXDQFHV
ZHEVLWHZZZGWLFPLO?ZKV?GLUHFWLYHV
-RLQWSXEOLFDWLRQVDUHDYDLODEOHDWKWWSZZZGWLFPLOGRFWULQHQHZBSXEVMRLQWSXEKWP
'2''0LOLWDU\&RQVWUXFWLRQ)HEUXDU\
-3'RFWULQHIRUWKH$UPHG)RUFHVRIWKH8QLWHG6WDWHV0DUFK
-3 -RLQW,QWHOOLJHQFH2FWREHU
-3 -RLQW,QWHOOLJHQFH3UHSDUDWLRQRIWKH2SHUDWLRQDO(QYLURQPHQW0D\
-3 -RLQW2SHUDWLRQV-DQXDU\
-3 &RXQWHULQJ$LUDQG0LVVLOH7KUHDWV$SULO
-3 $PSKLELRXV2SHUDWLRQV-XO\
-3 -RLQW,QWHUGLFWLRQ6HSWHPEHU
-3 -RLQW6KLSERDUG+HOLFRSWHUDQG7LOWURWRU$LUFUDIW2SHUDWLRQV'HFHPEHU
-3 6SHFLDO2SHUDWLRQV-XO\
-3 6WDELOLW\$XJXVW
-3 3HDFH2SHUDWLRQV$XJXVW
-3 -RLQW)LUH6XSSRUW'HFHPEHU
-3 &ORVH$LU6XSSRUW1RYHPEHU
-3 -RLQW6HFXULW\2SHUDWLRQVLQ7KHDWHU1RYHPEHU
-3>5@ &\EHUVSDFH2SHUDWLRQV)HEUXDU\
-3 ,QIRUPDWLRQ2SHUDWLRQV1RYHPEHU
-3 (OHFWURQLF:DUIDUH)HEUXDU\
-3 0LOLWDU\'HFHSWLRQ)HEUXDU\
-3 0XOWLQDWLRQDO2SHUDWLRQV-XO\
-3 $LU0RELOLW\2SHUDWLRQV6HSWHPEHU
-3 -RLQW)RUFLEOH(QWU\2SHUDWLRQV 0D\
-3 6HFXULW\&RRSHUDWLRQ0D\
-3 )RUHLJQ,QWHUQDO'HIHQVH-XO\

1RYHPEHU2017 FM 3-0& References-1


References

-3 &RPPDQG DQG &RQWURORI-RLQW$LU 2SHUDWLRQV  )HEUXDU\ 


-3 &RPPDQG DQG &RQWUROIRU -RLQW/DQG 2SHUDWLRQV  )HEUXDU\ 
-3 -RLQW7DVN )RUFH +HDGTXDUWHUV  -XO\ 
-3 'HSOR\PHQW DQG 5HGHSOR\PHQW2SHUDWLRQV  -DQXDU\ 
-3 &RXQWHULQJ :HDSRQV RI0DVV 'HVWUXFWLRQ  2FWREHU 
-3 3HUVRQQHO 5HFRYHU\  2FWREHU 
-3 -RLQW $LUVSDFH &RQWURO  1RYHPEHU 
-3 -RLQW7DUJHWLQJ  -DQXDU\ 
-3 3XEOLF $IIDLUV  1RYHPEHU 
-3-RLQW/RJLVWLFV  2FWREHU 
-3 6HDOLIW6XSSRUWWR-RLQW2SHUDWLRQV 'HFHPEHU 
-3 'LVWULEXWLRQ 2SHUDWLRQV  'HFHPEHU 
-3-RLQW3ODQQLQJ -XQH 
-3-RLQW&RPPXQLFDWLRQV6\VWHP  -XQH 

$50<38%/,&$7,216
$UP\GRFWULQDOSXEOLFDWLRQVDUHDYDLODEOHDW KWWSZZZDSGDUP\PLO
$'3 'RFWULQH3ULPHU6HSWHPEHU
$'32SHUDWLRQV2FWREHU
$'3 6WDELOLW\$XJXVW
$'3 7KH2SHUDWLRQV3URFHVV0D\
$'3 0LVVLRQ&RPPDQG0D\
$'3$UP\/HDGHUVKLS$XJXVW
$'53 7KH$UP\3URIHVVLRQ-XQH
$'53 7KH$UP\8QLYHUVDO7DVN/LVW2FWREHU
$'53 ,QWHOOLJHQFH$XJXVW
$'53 6SHFLDO2SHUDWLRQV$XJXVW
$'53 6WDELOLW\$XJXVW
$'53 )LUHV$XJXVW
$'53 3URWHFWLRQ$XJXVW
$'53 2IIHQVHDQG'HIHQVH$XJXVW
$'53 6XVWDLQPHQW-XO\
$'53 7KH2SHUDWLRQV3URFHVV0D\
$'53 0LVVLRQ&RPPDQG0D\
$'53 7UDLQLQJ8QLWVDQG'HYHORSLQJ/HDGHUV$XJXVW
$5 $UP\6HFXULW\&RRSHUDWLRQ3ROLF\0DUFK
$5 0LOLWDU\2SHUDWLRQV$UP\'HSOR\PHQWDQG5HGHSOR\PHQW1RYHPEHU
$5 0DQSRZHUDQG(TXLSPHQW&RQWURO +RVW1DWLRQ6XSSRUW0DUFK
$5 /RJLVWLFV$UP\,Q7UDQVLW9LVLELOLW\6HSWHPEHU
$73 3ODQ5HTXLUHPHQWVDQG$VVHVV&ROOHFWLRQ $XJXVW
$730&53$ ,QWHOOLJHQFH3UHSDUDWLRQRIWKH%DWWOHILHOG%DWWOHVSDFH1RYHPEHU
$73 &RUSVDQG'LYLVLRQ,QWHOOLJHQFH7HFKQLTXHV0DUFK
$73$YLDWLRQ7DFWLFDO(PSOR\PHQW$SULO
$73 )RUHLJQ,QWHUQDO'HIHQVH$XJXVW

References-2 FM 3-0& 1RYHPEHU


5HIHUHQFHV

$730&531773$)773 0XOWL6HUYLFH7DFWLFV7HFKQLTXHVDQG
3URFHGXUHVIRU&RUGRQDQG6HDUFK2SHUDWLRQV$XJXVW
$73 6WDELOLW\7HFKQLTXHV$XJXVW
$73 7KH%DWWOHILHOG&RRUGLQDWLRQ'HWDFKPHQW-XO\
$73 7HFKQLTXHVIRUWKH)LUHV%ULJDGH1RYHPEHU
$730&53+1773$)773 .LOO%R[0XOWL6HUYLFH7DFWLFV
7HFKQLTXHVDQG3URFHGXUHVIRU.LOO%R[3ODQQLQJDQG(PSOR\PHQW$SULO
$730&53%1773$)773 0XOWL6HUYLFH7DFWLFV7HFKQLTXHVDQG
3URFHGXUHVIRU&KHPLFDO%LRORJLFDO5DGLRORJLFDODQG1XFOHDU$VSHFWVRI&RPPDQGDQG
&RQWURO1RYHPEHU
$73 (QJLQHHU2SHUDWLRQV²(FKHORQV$ERYH%ULJDGH&RPEDW7HDP-XQH
$730&:3 *HQHUDO(QJLQHHULQJ)HEUXDU\
$73 $UP\'HSOR\PHQWDQG5HGHSOR\PHQW0DUFK
$73$UP\3UH3RVLWLRQHG2SHUDWLRQV2FWREHU
$730&53' %DVH&DPSV-DQXDU\
$730&:3 6XUYLYDELOLW\2SHUDWLRQV-XQH
$73 6HFXULW\DQG0RELOLW\6XSSRUW2FWREHU
$730&53)1773$)773 7$*6 0XOWL6HUYLFH7DFWLFV7HFKQLTXHVDQG
3URFHGXUHVIRUWKH7KHDWHU$LU*URXQG6\VWHP-XQH
$730&53$1773$)773 ,652SWLPL]DWLRQ0XOWL6HUYLFH7DFWLFV
7HFKQLTXHVDQG3URFHGXUHVIRU,QWHOOLJHQFH6XUYHLOODQFHDQG5HFRQQDLVVDQFH2SWLPL]DWLRQ
$SULO
$73 7HFKQLTXHVIRU,QIRUPDWLRQ&ROOHFWLRQ'XULQJ2SHUDWLRQV$PRQJ3RSXODWLRQV$SULO

$73 7DUJHWLQJ0D\
$730&:3 &RPELQHG$UPV0RELOLW\0DUFK
$730&:3 &RPELQHG$UPV&RXQWHUPRELOLW\2SHUDWLRQV6HSWHPEHU
$73&RPELQHG$UPV&RXQWHULQJ:HDSRQVRI0DVV'HVWUXFWLRQ-XQH
$73'LYLVLRQ2SHUDWLRQV2FWREHU
$73 7KH-RLQW$LU*URXQG,QWHJUDWLRQ&HQWHU-XQH
$73 &RUSV2SHUDWLRQV$SULO
$73 7KHDWHU$UP\2SHUDWLRQV1RYHPEHU
$73 'HHS2SHUDWLRQV6HSWHPEHU
$73 $UP\+HDOWK6\VWHP6XSSRUWWR'HWDLQHH2SHUDWLRQV$SULO
$730&53+1773$)0$12 0XOWL6HUYLFH7DFWLFV7HFKQLTXHVDQG
3URFHGXUHVIRU2SHUDWLRQDO&RQWUDFW6XSSRUW)HEUXDU\
$73/RJLVWLFV&LYLO$XJPHQWDWLRQ3URJUDP6XSSRUWWR8QLILHG/DQG2SHUDWLRQV$XJXVW

$73 ([SHGLWLRQDU\5DLOZD\&HQWHU2SHUDWLRQV0D\
$73 $UP\:DWHUFUDIW2SHUDWLRQV $SULO
$73 0RYHPHQW&RQWURO$SULO
$73 ([SORVLYH2UGQDQFH'LVSRVDO (2' 2SHUDWLRQV6HSWHPEHU
$73([SORVLYH2UGQDQFH'LVSRVDO (2' *URXSDQG%DWWDOLRQ+HDGTXDUWHUV2SHUDWLRQV
-DQXDU\
$73([SORVLYH2UGQDQFH'LVSRVDO (2' &RPSDQ\3ODWRRQDQG7HDP2SHUDWLRQV
)HEUXDU\
$73 3HWUROHXP6XSSO\2SHUDWLRQV$XJXVW

6 October 2017 FM 3-0 References-3


References

$73$VVLVWDQW6HFUHWDU\RIWKH$UP\IRU$FTXLVLWLRQ/RJLVWLFVDQG7HFKQRORJ\)RUZDUG
6XSSRUWWR8QLILHG/DQG2SHUDWLRQV0D\
$73$UP\)LHOG6XSSRUW%ULJDGH'HFHPEHU
$73&RQWUDFWLQJ6XSSRUWWR8QLILHG/DQG2SHUDWLRQV2FWREHU
$736XVWDLQPHQW%ULJDGH$SULO
$737KHDWHU6XVWDLQPHQW&RPPDQG-XQH
$73$UP\'HVLJQ0HWKRGRORJ\-XO\
$73&RPPDQG3RVW2UJDQL]DWLRQDQG2SHUDWLRQV0DUFK
)0+XPDQ5HVRXUFHV6XSSRUW$SULO
)0)LQDQFLDO0DQDJHPHQW2SHUDWLRQV$SULO
)086$UP\$LUDQG0LVVLOH'HIHQVH2SHUDWLRQV1RYHPEHU
)0$UP\$YLDWLRQ-XO\
)0$LU7UDIILF6HUYLFHV2SHUDWLRQV)HEUXDU\
)0$UP\6SHFLDO2SHUDWLRQV-DQXDU\
)08UEDQ2SHUDWLRQV2FWREHU
)06WDELOLW\-XQH
)0)LHOG$UWLOOHU\2SHUDWLRQVDQG)LUH6XSSRUW$SULO
)00&:31:3$)7730XOWLVHUYLFH'RFWULQHIRU&KHPLFDO%LRORJLFDO
5DGLRORJLFDODQG1XFOHDU2SHUDWLRQV-XO\
)0&\EHUVSDFHDQG(OHFWURQLF:DUIDUH2SHUDWLRQV$SULO
)0,QIRUPDWLRQ2SHUDWLRQV'HFHPEHU
)0$UP\6SDFH2SHUDWLRQV$XJXVW
)0$UP\6XSSRUWWR6HFXULW\&RRSHUDWLRQ-DQXDU\
)00LOLWDU\3ROLFH2SHUDWLRQV$XJXVW
)0$UP\3HUVRQQHO5HFRYHU\6HSWHPEHU
)0$LUVSDFH&RQWURO2FWREHU
)00LOLWDU\,QIRUPDWLRQ6XSSRUW2SHUDWLRQV-DQXDU\
)0,QIRUPDWLRQ&ROOHFWLRQ0D\
)0&LYLO$IIDLUV2SHUDWLRQV2FWREHU
)03XEOLF$IIDLUV2SHUDWLRQV$SULO
)0'HWDLQHH2SHUDWLRQV$SULO
)00DQHXYHU(QKDQFHPHQW%ULJDGH$SULO
)02IIHQVHDQG'HIHQVH9ROXPH,0DUFK
)05HFRQQDLVVDQFH6HFXULW\DQG7DFWLFDO(QDEOLQJ7DVNV9ROXPH,,0DUFK
)07KHDWHU$UP\&RUSVDQG'LYLVLRQ2SHUDWLRQV$SULO
)0%ULJDGH&RPEDW7HDP2FWREHU
)05HFRQQDLVVDQFHDQG6HFXULW\2SHUDWLRQV-XO\
)0$LUERUQHDQG$LU$VVDXOW2SHUDWLRQV0DUFK
)0$UP\+HDOWK6\VWHP$XJXVW
)0/RJLVWLFV2SHUDWLRQV$SULO
)0&RPPDQGHUDQG6WDII2UJDQL]DWLRQDQG2SHUDWLRQV0D\
)06LJQDO6XSSRUWWR2SHUDWLRQV-DQXDU\
)0/HDGHU'HYHORSPHQW-XQH
)07UDLQWR:LQLQD&RPSOH[:RUOG2FWREHU
)07KH/DZRI/DQG:DUIDUH-XO\

References-4 FM 3-0 6 October 2017


5HIHUHQFHV

7& $UP\$YLDWLRQ0DLQWHQDQFH)HEUXDU\
7& 6HFXULW\)RUFH$VVLVWDQFH'HSOR\PHQW+DQGERRN0D\
7& 2SSRVLQJ)RUFH7DFWLFV'HFHPEHU
70 7KHDWHURI2SHUDWLRQV5RDGV$LUILHOGVDQG+HOLSRUWV²5RDG'HVLJQ)HEUXDU\

70 7KHDWHURI2SHUDWLRQV5RDGV$LUILHOGVDQG+HOLSRUWV²$LUILHOGDQG+HOLSRUW'HVLJQ
)HEUXDU\

2%62/(7(38%/,&$7,216
7KLVVHFWLRQFRQWDLQVUHIHUHQFHVWRREVROHWHKLVWRULFDOGRFWULQH7KH$UFKLYDODQG6SHFLDO&ROOHFWLRQV
LQWKH&RPELQHG$UPV5HVHDUFK/LEUDU\ &$5/ RQ)RUW/HDYHQZRUWKLQ.DQVDVFRQWDLQV
FRSLHV7KHVHSXEOLFDWLRQVDUHREVROHWHGRFWULQHSXEOLFDWLRQVUHIHUHQFHGIRUFLWDWLRQVRQO\
)LHOG6HUYLFH5HJXODWLRQ:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH
)LHOG6HUYLFH5HJXODWLRQV8QLWHG6WDWHV$UP\:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH
)LHOG6HUYLFH5HJXODWLRQV8QLWHG6WDWHV$UP\:DVKLQJWRQ'& *RYHUQPHQW3ULQWLQJ2IILFH
)LHOG6HUYLFH5HJXODWLRQV8QLWHG6WDWHV$UP\:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH
)0>REVROHWH@)LHOG$UWLOOHU\)LHOG0DQXDO7DFWLFVDQG7HFKQLTXHV:DVKLQJWRQ'&
*RYHUQPHQW3ULQWLQJ2IILFH
)0>REVROHWH@,QIDQWU\)LHOG0DQXDO2UJDQL]DWLRQDQG7DFWLFVRI,QIDQWU\7KH5LIOH%DWWDOLRQ
:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH
)0>REVROHWH@&RPEDW6XSSRUW&RPSDQ\,QIDQWU\'LYLVLRQ%DWWOH*URXS2SHUDWLRQV
:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH
)0>REVROHWH@,QIDQWU\'LYLVLRQ:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH
)0>REVROHWH@&DYDOU\2SHUDWLRQV:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH
)0>REVROHWH@6WDELOLW\2SHUDWLRQV:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH
)0>REVROHWH@86$UP\86$LU)RUFH'RFWULQHIRU$LUERUQH2SHUDWLRQV:DVKLQJWRQ'&
*RYHUQPHQW3ULQWLQJ2IILFH
)0>REVROHWH@$PSKLELRXV2SHUDWLRQV%DWWDOLRQLQ$VVDXOW/DQGLQJV:DVKLQJWRQ'&
*RYHUQPHQW3ULQWLQJ2IILFH
)0>REVROHWH@$LU$VVDXOW'LYLVLRQ2SHUDWLRQV:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ
2IILFH
)0>REVROHWH@5HDU%DWWOH:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH
)0>REVROHWH@)LHOG6HUYLFH5HJXODWLRQV2SHUDWLRQV:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ
2IILFH
)0>REVROHWH@)LHOG6HUYLFH5HJXODWLRQV2SHUDWLRQV:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ
2IILFH
)0>REVROHWH@)LHOG6HUYLFH5HJXODWLRQV2SHUDWLRQV:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ
2IILFH
)0 >REVROHWH@2SHUDWLRQV:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH
)0>REVROHWH@2SHUDWLRQV:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH
)0)530DR7VHWXQJRQ*XHUULOOD:DUIDUH:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH

75$'2&3DP>REVROHWH@7KH$LUODQG%DWWOHDQG&RUSV:DVKLQJWRQ'&*RYHUQPHQW
3ULQWLQJ2IILFH

27+(538%/,&$7,216
$'LFWLRQDU\RI0LOLWDU\4XRWDWLRQV&RPSLOHGE\7UHYRU5R\OH/RQGRQ5RXWOHGJH
%DUWOHWW
V)DPLOLDU4XRWDWLRQV1HZ<RUN/LWWOH%URZQDQG&RPSDQ\

6 October 2017 FM 3-0 References-5


References

&DOOR-RVHSK-RKQ3DXO-RQHV$PHULFD¶V)LUVW6HD:DUULRU$QQDSROLV0'1DYDO,QVWLWXWH3UHVV

&KXUFKLOO:LQVWRQ6/HWWHUWR3ULPH0LQLVWHU$VTXLWK'HFHPEHU$YDLODEOHDW
ZZZQDWLRQDOFKXUFKLOOPXVHXPRUJFKXUFKLOOLQZRUOGZDULDQGDIWHUPDWKKWPO
&KXUFKLOO:LQVWRQ67KH6HFRQG:RUOG:DU9ROXPH&ORVLQJWKH5LQJ%RVWRQ+RXJKWRQ0LIIOLQ
&RPSDQ\
&KXUFKLOO:LQVWRQ6³7KH*LIWRID&RPPRQ7RQJXH6HSWHPEHU+DUYDUG´7KH
,QWHUQDWLRQDO&KXUFKLOO6RFLHW\$YDLODEOHDW
KWWSVZZZZLQVWRQFKXUFKLOORUJUHVRXUFHVVSHHFKHVZDUOHDGHUWKHSULFHRI
JUHDWQHVVLVUHVSRQVLELOLW\
&ODXVHZLW]&DUOYRQ2Q:DU(GLWHGDQGWUDQVODWHGE\3HWHU3DUHWDQG0LFKDHO(+RZDUG3ULQFHWRQ
1-3ULQFHWRQ8QLYHUVLW\3UHVV
&RUEHWW-XOLDQ66RPH3ULQFLSOHVRI0DULWLPH6WUDWHJ\$QQDSROLV0'1DYDO,QVWLWXWH3UHVV
&UHYHOG0DUWLQ9DQ6XSSO\LQJ:DU/RJLVWLFVIURP:DOOHQVWHLQWR3DWWRQ1HZ<RUN&DPEULGJH
8QLYHUVLW\3UHVV
'HYHORSPHQWV&RQFHSWVDQG'RFWULQH&HQWUH)XWXUH&KDUDFWHURI&RQIOLFW6WUDWHJLF7UHQGV
3URJUDPPH8QLWHG.LQJGRP0LQLVWU\RI'HIHQFH
'LFWLRQDU\RI0LOLWDU\DQG1DYDO4XRWDWLRQV&RPSLOHGE\5REHUW'HEV+HLQO-U$QQDSROLV0'
8QLWHG6WDWHV1DYDO,QVWLWXWH
GX3LFT&KDUOHV$UGDQW%DWWOH6WXGLHV$QFLHQWDQG0RGHUQ%DWWOHV7UDQVODWHGE\-RKQ1*UHHO\
DQG5REHUW&&RWWRQ1HZ<RUN0DF0LOOLDQ&RPSDQ\
'XNHRI:HOOLQJWRQ³$QHFGRWHVRIWKH'XNHRI:HOOLQJWRQDWWKH%DWWOHRI:DWHUORR´7KH6FRWV
0DJD]LQHDQG(GLQEXUJK/LWHUDU\0LVFHOODQ\%HLQJD*HQHUDO5HSRVLWRU\RI/LWHUDWXUH
+LVWRU\DQG3ROLWLFVIRU9ROXPH(GLQEXUJK$UFKLEDOG&RQVWDEOHDQG&RPSDQ\

³'ZLJKW'(LVHQKRZHU´$YDLODEOHDWKWWSVZZZFLDJRYOLEUDU\FHQWHUIRUWKHVWXG\RI
LQWHOOLJHQFHFVLSXEOLFDWLRQVERRNVDQGPRQRJUDSKVRXUILUVWOLQHRIGHIHQVHSUHVLGHQWLDO
UHIOHFWLRQVRQXVLQWHOOLJHQFHHLVHQKRZHUKWPO
(GGLQ%HKD7KH/LIHRI6DODGLQ/RQGRQ&RPPLWWHHRIWKH3DOHVWLQH([SORUDWLRQ)XQG
(LVHQKRZHU'ZLJKW'³6SHFLDO0HVVDJHWRWKH&RQJUHVVRQ5HRUJDQL]DWLRQRIWKH'HIHQVH
(VWDEOLVKPHQW´$SULO2QOLQHE\*HUKDUG3HWHUVDQG-RKQ7:RROOH\7KH$PHULFDQ
3UHVLGHQF\3URMHFWKWWSZZZSUHVLGHQF\XFVEHGXZV"SLG 
³)RU,5HVROYH«´$VEXU\3DUN3UHVV -DQXDU\ $YDLODEOHDW
KWWSVZZZQHZVSDSHUVFRPQHZVSDJH
)UHGHULFNWKH*UHDW³7KH,QVWUXFWLRQRI)UHGHULFNWKH*UHDWIRU+LV*HQHUDOV´5RRWVRI6WUDWHJ\7KH
*UHDWHVW0LOLWDU\&ODVVLFVRI$OO7LPH(GLWHGE\7KRPDV53KLOOLSV+DUULVEXUJ3$
6WDFNSROH%RRNV
+DUERWWOH7KRPDV%HQILHOG'LFWLRQDU\RI4XRWDWLRQV &ODVVLFDO 1HZ<RUN6ZDQ6RQQHQVFKHLQ 
&R/LPLWHG
+DUW%+/LGGHOO6WUDWHJ\1HZ<RUN6LJQHW3ULQWLQJ
-RLQW0LOLWDU\2SHUDWLRQV+LVWRULFDO&ROOHFWLRQ:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ2IILFH
.HQQHG\-RKQ)³6SHHFKRI6HQDWRU-RKQ).HQQHG\&LYLF$XGLWRULXP6HDWWOH:$6HSWHPEHU
´2QOLQHE\*HUKDUG3HWHUVDQG-RKQ7:RROOH\7KH$PHULFDQ3UHVLGHQF\3URMHFW
$YDLODEOHDWKWWSZZZSUHVLGHQF\XFVEHGXZV"SLG 
.LWFKHQHU)LHOG0DUVKDO(DUO³.´7KH/RUG.LWFKHQHU0HPRULDO%RRN(GLWHGE\6LU+HGOH\/H%DV
1HZ<RUN+RGGHUDQG6WRXJKWRQ
/DZUHQFH7(³7KH(YROXWLRQRID5HYROW´7KH$UP\4XDUWHUO\9ROXPH/RQGRQ:LOOLDP
&ORZHV 6RQV/WG2FWREHUDQG-DQXDU\

References-6 FM 3-0 6 October 2017


5HIHUHQFHV

0DF$UWKXU*HQHUDO'RXJODV³6SHHFKWR&RQJUHVVLQ+RXVHRI5HSUHVHQWDWLYHV$SULO´
$YDLODEOHDW
KWWSVZZZWUXPDQOLEUDU\RUJZKLVWOHVWRSVWXG\BFROOHFWLRQVNRUHDQZDULQGH[SKS"DFWLRQ SGI
GRFXPHQWLG PD
0DF'RQDOG&KDUOHV%³9LFWRU\LQWKH$UGHQQHV´ 7KH/DVW2IIHQVLYH:DVKLQJWRQ'&&HQWHUIRU
0LOLWDU\+LVWRU\
0DJXLUH70LOOHU³&DPSDLJQLQ%RKHPLD´ 7KH8QLWHG6HUYLFH0DJD]LQH/RQGRQ:LOO&ORZHV 
6RQV/LPLWHG
0DKDQ$OIUHG7KD\HU1DYDO6WUDWHJ\&RPSDUHGDQG&RQWUDVWHG:LWKWKH3ULQFLSOHVDQG3UDFWLFHRI
0LOLWDU\2SHUDWLRQVRQ/DQGOHFWXUHVGHOLYHUHGDW861DYDO:DU&ROOHJH1HZSRUW5,
EHWZHHQWKH\HDUV%RVWRQ/LWWOH%URZQDQG&RPSDQ\
0DQFKHVWHU:LOOLDP$PHULFDQ&DHVDU'RXJODV0DF$UWKXU±%RVWRQ/LWWOH%URZQDQG
&RPSDQ\
0DR7VH7XQJ6HOHFWHG0LOLWDU\:ULWLQJVRI0DR7VH7XQJ3HNLQJ)RUHLJQ/DQJXDJHV3UHVV
0F'RQDOG&KDUOHV%7KH/DVW2IIHQVLYH86$UP\&HQWHURI0LOLWDU\+LVWRU\3XEOLFDWLRQ
$YDLODEOHDWKWWSZZZKLVWRU\DUP\PLOFDWDORJSXEVKWPO
0H\HU(&³$GGUHVVWRWKH3UH&RPPDQG&RXUVH-XO\´)RUW/HDYHQZRUWK.6
0LOLWDU\$LU3RZHU7KH&$'5('LJHVWRI$LU3RZHU2SLQLRQVDQG7KRXJKWV&RPSLOHGE\&KDUOHV
0:HVWHQKRII0D[ZHOO$LU)RUFH%DVH$/$LU8QLYHUVLW\3UHVV
1L[RQ5LFKDUG6L[&ULVHV1HZ<RUN3\UDPLG%RRN
3DWWRQ*HQHUDO*HRUJH6³4XRWHV´$YDLODEOHDWKWWSZZZJHQHUDOSDWWRQFRPTXRWHV
4XRWHVIRU$LU)RUFH/RJLVWLFLDQ9ROXPH,0D[ZHOO$LU)RUFH%DVH$/$LU)RUFH/RJLVWLFV
0DQDJHPHQW$JHQF\
5HDJDQ5RQDOG³5HPDUNVDWD&DPSDLJQ5DOO\IRU6HQDWRU5REHUW:.DVWHQ-ULQ:DXNHVKD
:LVFRQVLQ2FWREHU´ 7KH3XEOLF3DSHUVRI3UHVLGHQW5RQDOG:5HDJDQ5RQDOG
5HDJDQ3UHVLGHQWLDO/LEUDU\$YDLODEOHDW
KWWSVUHDJDQOLEUDU\DUFKLYHVJRYDUFKLYHVVSHHFKHVGKWP
5HJDQ5RQDOG³5HPDUNVDWD&HUHPRQ\&RPPHPRUDWLQJWKHWK$QQLYHUVDU\RIWKH1RUPDQG\
,QYDVLRQ'GD\-XQH´7KH3XEOLF3DSHUVRI3UHVLGHQW5RQDOG:5HDJDQ5RQDOG
5HDJDQ3UHVLGHQWLDO/LEUDU\$YDLODEOHDW
KWWSVZZZUHDJDQOLEUDU\DUFKLYHVJRYDUFKLYHVVSHHFKHVDKWP
5RRW(OLKX$QQXDO5HSRUWVRIWKH:DU'HSDUWPHQW9RO,9:DVKLQJWRQ'&*RYHUQPHQW3ULQWLQJ
2IILFH
6KHUPDQ*HQHUDO:LOOLDP70HPRLUVRI:LOOLDP76KHUPDQE\+LPVHOI1HZ<RUN'$SSOHWRQDQG
&RPSDQ\
6OLP)LHOG0DUVKDO9LVFRXQW:LOOLDP'HIHDWLQWR9LFWRU\%DWWOLQJ-DSDQLQ%XUPDDQG,QGLD
²1HZ<RUN&RRSHU6TXDUH3UHVV
6SHDUV-RKQ5DQGROSK'DYLG*)DUUDJXW3KLODGHOSKLD*HRUJH:-DFREV &RPSDQ\
6XQ7]X7KH$UWRI:DU7UDQVODWHGE\6DPXHO%*ULIILWK1HZ<RUN2[IRUG8QLYHUVLW\3UHVV
7UXPDQ+DUU\³*RLQJ)RUZDUGZLWKD&DPSDLJQRI7UXWK´ 6WDWH'HSDUWPHQW%XOOHWLQ:DVKLQJWRQ
'&*RYHUQPHQW3ULQWLQJ2IILFH0D\
8QLWHG6WDWHV$UP\6SHFLDO2SHUDWLRQV&RPPDQG*:KLWH3DSHU³7KH$UFRI&KDQJH2SHUDWLRQDO
7LPHWR,QIOXHQFH7UDMHFWRULHV´)RUW%UDJJ1&
8QSXEOLVKHGGDWD$UP\8QLYHUVLW\3UHVV
8QSXEOLVKHGGDWD&RPELQHG$UPV'RFWULQH'LUHFWRUDWHVWDII
8QSXEOLVKHGGDWD'HSDUWPHQWRI0LOLWDU\+LVWRU\
:LGGHU0DMRU*HQHUDO:HUQHU *HUPDQ$UP\  ³$XIWUDJVWDNWLNDQG,QQHUH)KUXQJ7UDGHPDUNVRI
*HUPDQ/HDGHUVKLS´ 0LOLWDU\5HYLHZ 6HSWHPEHU2FWREHU 

6 October 2017 FM 3-0 References-7


References

:\OLH5HDU$GPLUDO-&0LOLWDU\6WUDWHJ\$*HQHUDO7KHRU\RI3RZHU&RQWURO$QQDSROLV0'
1DYDO,QVWLWXWH3UHVV
;HQRSKRQ0HPRUDELOLD$YDLODEOHDWKWWSSHUVHXVXFKLFDJRHGXSHUVHXV
FJLFLWHTXHU\SO"GEQDPH *UHHN)HE TXHU\ ;HQ0HP JHWLG 

81,7('67$7(6/$:
0RVWDFWVDQGSXEOLFODZVDUHDYDLODEOHDWKWWSWKRPDVORFJRYKRPHWKRPDVSKS
7LWOH8QLWHG6WDWHV&RGH$UPHG)RUFHV
7LWOH8QLWHG6WDWHV&RGH)RUHLJQ5HODWLRQVDQG,QWHUFRXUVH

35(6&5,%(')2506
7KLVVHFWLRQFRQWDLQVQRHQWULHV

5()(5(1&(')2506
8QOHVVRWKHUZLVHLQGLFDWHG'$IRUPVDUHDYDLODEOHRQWKH$UP\3XEOLVKLQJ'LUHFWRUDWH:HEVLWH
KWWSZZZDSGDUP\PLO
'$)RUP5HFRPPHQGHG&KDQJHVWR3XEOLFDWLRQVDQG%ODQN)RUPV





References-8 FM 3-0 6 October 2017




,QGH[

(QWULHVDUHE\SDUDJUDSKQXPEHU


 FRQGXFWLQJDVSRLOLQJDWWDFN DYLDWLRQPDQHXYHU
LQ– XQPDQQHG 
A FRQVROLGDWLRQRIJDLQVLQ FDSDELOLWLHV FRPEDWSRZHU 
DGPLQLVWUDWLYHFRQWURO  –
$–$ FRQWLJXRXVIUDPHZRUN FRPPDQGDQGVXSSRUW
GHILQHG$ – UHODWLRQVKLSV$–$
DGPLQLVWUDWLYHPRYHPHQW FRQWUROPHDVXUHV– F\EHUVSDFHRUJDQL]DWLRQV
 –
DGPLQLVWUDWLYHUHVSRQVLELOLWLHV GHILQHG HFKHORQV–
FRUSV– H[HFXWLQJDQ– HFKHORQVFDSDELOLWLHVDQG
GLYLVLRQ LQIRUPDWLRQFROOHFWLRQLQ WUDLQLQJ–
WKHDWHUDUP\ – HFKHORQVFDSDELOLWLHVDQG
DGYHUVDU\GHILQHG PDLQEDWWOHDUHDIRUFHVLQ WUDLQLQJRYHUYLHZRI
DLUDQGPLVVLOHGHIHQVH– – IRUFHVLQODUJHVFDOHFRPEDW
 QRQFRQWLJXRXVIUDPHZRUN RSHUDWLRQV–
LQWKHRIIHQVH–  IRUFHVGXULQJRSHUDWLRQVWR
RUJDQL]DWLRQRIIRUFHVIRU SUHYHQW–
$LUDQG0LVVLOH'HIHQVH
– LQMRLQWRSHUDWLRQV–
&RPPDQG$UP\–
UHVHUYHLQ– 
DLUDVVDXOWGHILQHG VHFXULW\IRUFHVLQ– RUJDQL]DWLRQV
DLUGHIHQVHWUDLQLQJ  $UP\SHUVRQQHOUHFRYHU\
FRQVLGHUDWLRQV DUHDRILQIOXHQFHGHILQHG GHILQHG
DLUPRYHPHQWV$UP\  $UP\SUHSRVLWLRQHGVWRFNV
DLUWDVNLQJRUGHUGHILQHG DUHDRILQWHUHVWGHILQHG –
DLUERUQHDVVDXOWGHILQHG DUHDRIRSHUDWLRQVGHILQHG UDLODQGZDWHUPRYHPHQWV
  
DLUVSDFHFRQWURO– ODQGIRUFH– $UP\6HUYLFHFRPSRQHQW
GHILQHG DUHDRIUHVSRQVLELOLW\– FRPPDQG$–$
LQFRQVROLGDWLRQDQGVXSSRUW  GHILQHG
DUHDV– DUHDUHFRQQDLVVDQFHGHILQHG $UP\VSHFLDORSHUDWLRQV
WUDLQLQJFRQVLGHUDWLRQV  IRUFHV
– VXSSRUWWRRWKHU6HUYLFHV
DUHDVHFXULW\GHILQHG DQGFRPPRQXVHU
DOORFDWLRQGHILQHG RSHUDWLRQV– ORJLVWLFV–
DPEDVVDGRU8QLWHG6WDWHV DUHDVFORVHGHHSVXSSRUW VXSSRUWWRWKHDWHUFDPSDLJQ
GLSORPDWLFPLVVLRQ– DQGFRQVROLGDWLRQ– SODQQLQJ–
DPEXVKGHILQHG  DVVDXOWSRVLWLRQGHILQHG
DPSKLELRXVDUHDRIRSHUDWLRQV $UP\FRPPDQGUHODWLRQVKLSV DVVHVVPHQWVRSHUDWLRQV–
 $–$ 
DQWLFLSDWHGRSHUDWLRQDO VSHFLDORSHUDWLRQVIRUFHV
 DVVLJQGHILQHG$
HQYLURQPHQWV–
VXSSRUWUHODWLRQVKLSV$– DWWDFKGHILQHG$
DUHDFORVH– $
FRQVROLGDWLRQ– DWWDFN–
$LUDQG0LVVLOH'HIHQVH FRQWUROPHDVXUHVIRU
GHHS– &RPPDQG–
VXSSRUW– –
DLUPRYHPHQWV GHILQHG
DUHDGHIHQVH– DYLDWLRQPDQHXYHU H[HFXWLQJDQ–
FRQGXFWLQJDFRXQWHUDWWDFN PDQQHG  PDLQERG\LQ–
GXULQJ–

6 October 2017 FM 3-0 Index-1


Index

(QWULHVDUHE\SDUDJUDSKQXPEHU

DWWDFN continued  RSHUDWLRQV– RUJDQL]DWLRQDQG


RUJDQL]DWLRQRIIRUFHVIRU FRPPDQG– HPSOR\PHQW
– FLYLODIIDLUVLQWHJUDWLRQWUDLQLQJ FRQVLGHUDWLRQV–
UHVHUYHLQ– FRQVLGHUDWLRQV 
VHFXULW\IRUFHVIRU VXSSRUWDUHD–
VXERUGLQDWHIRUPV– FLYLOFRQWUROHVWDEOLVK VXUYLYDELOLW\–
 FLYLOVHFXULW\HVWDEOLVK– WDFWLFDO–
DWWDFNSRVLWLRQGHILQHG  FRPPDQGUHODWLRQVKLSV$UP\
DWWDFNLQJGHHSHULQWRHQHP\ FLYLOPLOLWDU\RSHUDWLRQVFRUSV $–$
WHUULWRU\–  MRLQW$–$
DYLDWLRQFRPPDQGWKHDWHU FOHDUDQFHRIILUHVGHILQHG FRPPDQGHUDQGVWDIIUROHV
–  –
FOHDULQJGHILQHG commander’s role, intelligence,
B –
FOHDULQJRSHUDWLRQV–
EDVHVHFXULW\DQGGHIHQVH FRPPRQXVHUORJLVWLFVDQG
FORVHDUHD–
VXSSRUWRI– $UP\VXSSRUWWRRWKHU
GHILQHG
EDWWOHPXOWLGRPDLQ– 6HUYLFHV–
FORVHGHHSVXSSRUWDQG
EDWWOHKDQGRYHUOLQHGHILQHG GHILQHG
FRQVROLGDWLRQDUHDV–
  FRPPXQLFDWLRQVSODQQLQJ
EDWWOHILHOGPXOWLGRPDLQ FRQVLGHUDWLRQV
FRJQLWLYHFRQVLGHUDWLRQV
H[WHQGHG–  FRQFHSW$UP\RSHUDWLRQDO
EDWWOHILHOGFRRUGLQDWLRQ –
FRPEDWDYLDWLRQEULJDGH–
GHWDFKPHQW–  FRQGXFWLQIRUPDWLRQ
EUHDFKGHILQHG RSHUDWLRQV–
FRPEDWHQJLQHHULQJIRUZDUG
ODUJHVFDOHJURXQGFRPEDW
EUHDFKLQJRSHUDWLRQV– DYLDWLRQ–

 FRPEDWRSHUDWLRQV VHFXULW\FRRSHUDWLRQ
LQWKHRIIHQVH FKDUDFWHULVWLFV WKHRSHUDWLRQVSURFHVV
EUHDNRXWGHILQHG ODUJHVFDOH– –
EULJDGHFRPEDWDYLDWLRQ FRPEDWSRZHUFRQVLGHUDWLRQV FRQGXFWLQJDFRXQWHUDWWDFN
– ZKLOHEXLOGLQJ– GXULQJDQDUHDGHIHQVH
H[SHGLWLRQDU\FRPEDW GHILQHG –
DYLDWLRQ HOHPHQWVRI–
FRQGXFWLQJDVSRLOLQJDWWDFNLQ
ILHOGDUWLOOHU\– FRPEDWURDGVDQGWUDLOV– WKHDUHDGHIHQVH–
PDQHXYHUHQKDQFHPHQW  
–
FRPEDWDQWFRPPDQGGHILQHG FRQIOLFWFRQWLQXXPUDQJHRI
VXVWDLQPHQW–
$ PLOLWDU\RSHUDWLRQVDQG
EULJDGHFRPEDWWHDPV–
FRPELQHGWUDLQLQJDQG FRQVLGHUDWLRQVFRJQLWLYH

H[HUFLVHV 
FRQVROLGDWHJDLQV
UHVSRQVLELOLWLHV– FRPPDQGDQGFRQWUROQRGHV RSHUDWLRQDOIUDPHZRUN
 HQHP\– 
FRPPDQGDQGVXSSRUW SK\VLFDO
EULJDGHV–
UHODWLRQVKLSV$–$ WHPSRUDO
IXQFWLRQDO–
$UP\$–$ YLUWXDO
PXOWLIXQFWLRQDO–
IXQGDPHQWDOFRQVLGHUDWLRQV ZKHQSUHSDULQJDPRELOH
PXOWLIXQFWLRQDODQG
$ GHIHQVH–
IXQFWLRQDO–
ZKHQSUHSDULQJDQDUHD
VXVWDLQPHQW– FRPPDQGJURXS– GHIHQVH–
GHILQHG ZKLOHEXLOGLQJFRPEDW
C
FRPPDQGSRVWFRQWLQJHQF\ SRZHU–
FDSDELOLW\H[SHGLWLRQDU\ –
– FRQVROLGDWHJDLQV–
GHILQHG 
FKHPLFDOELRORJLFDO HDUO\HQWU\– GHILQHG
UDGLRORJLFDODQGQXFOHDU HIIHFWLYHQHVV– RSHUDWLRQVWR–
EULJDGH PDLQ UHVSRQVLELOLWLHVE\HFKHORQ
GHIHQVHRSHUDWLRQV– RSHUDWLRQDO WUDQVLWLRQWR–
 RSHUDWLRQV–
FLYLODIIDLUVFRUSV

Index-2 FM 3-0 6 October 2017


,QGH[

(QWULHVDUHE\SDUDJUDSKQXPEHU

FRQVROLGDWHJDLQV DGPLQLVWUDWLYH F\EHUVSDFHDQGHOHFWURQLF


UHVSRQVLELOLWLHVEULJDGH UHVSRQVLELOLWLHV– ZDUIDUHWUDLQLQJ
FRPEDWWHDPV–  FRQVLGHUDWLRQV–
FRUSV– FLYLODIIDLUV F\EHUVSDFHHOHFWURPDJQHWLF
GLYLVLRQV– FLYLOPLOLWDU\RSHUDWLRQV DFWLYLWLHV–
WDVNIRUFHV–  FRUSV
WKHDWHUDUP\– FRQVROLGDWHJDLQV GHILQHG
FRQVROLGDWLRQGHILQHG UHVSRQVLELOLWLHV–
 F\EHUVSDFHRUJDQL]DWLRQV
FRQVROLGDWLRQDUHD– F\EHUVSDFHHOHFWURPDJQHWLF $UP\–
 DFWLYLWLHV
GHILQHG D
GXULQJRSHUDWLRQVWR
IUDPHZRUN– GDQJHUFORVHGHILQHG
SUHYHQW–
RSHUDWLRQV– HPSOR\PHQW GHFLVLYHDFWLRQ–
VHFXULW\SODQQLQJ– HQJLQHHURSHUDWLRQV GHILQHG
 ILUHV GHFLVLYHRSHUDWLRQGHILQHG
FRQVROLGDWLRQRIJDLQV LQIRUPDWLRQRSHUDWLRQV 
DFWLYLWLHV–  GHFLVLYHRSHUDWLRQVSODQQLQJ
LQRSHUDWLRQVWRSUHYHQW LQWHOOLJHQFHRSHUDWLRQV –
– –
LQWKHDUHDGHIHQVH PLOLWDU\LQIRUPDWLRQVXSSRUW GHFLVLYHVKDSLQJVXVWDLQLQJ
LQWKHGHIHQVH RSHUDWLRQV RSHUDWLRQV–
LQWKHRIIHQVH RSHUDWLRQDOUHVSRQVLELOLWLHV GHHSDUHD–
WKUHDWVWR– – GHILQHG
FRQWDFWSRLQWGHILQHG RSHUDWLRQVVHFXULW\ GHHSRSHUDWLRQVDVSDUWRI
SODQQLQJ– GHIHQVLYHSUHSDUDWLRQV
FRQWLJXRXVIUDPHZRUNDUHD
SODQQLQJIRUWKHRIIHQVH –
GHIHQVH–
–
FRQWLQJHQF\FRPPDQGSRVW SUHSDULQJIRUWKHRIIHQVH GHIHDWDQGVWDELOLW\
– – PHFKDQLVPV–
FRQWLQXLW\RIRSHUDWLRQV SURWHFWLRQ GHIHDWPHFKDQLVPGHILQHG
SODQQLQJ– UHVHUYH 
FRQWUROPHDVXUHGHILQHG VHFXULW\RSHUDWLRQV GHIHDWPHFKDQLVPV–
 VSDFHRSHUDWLRQV
GHIHQGLQJHQFLUFOHG–
VXSSRUWDUHD
FRQWUROPHDVXUHV– 
VXVWDLQPHQW
DUHDGHIHQVH– DWWDFNLQJGHHSHULQWR
WUDQVLWLRQWRWKHRIIHQVH
DWWDFN– HQHP\WHUULWRU\–

GHIHQGLQJHQFLUFOHG 
GHOD\– FRUSVDQGEHORZ EUHDNRXWIURP
PRELOHGHIHQVH– RUJDQL]DWLRQV– FRQWUROPHDVXUHVZKHQ
 FRUSVDQGGLYLVLRQGHIHQVLYH 
PRYHPHQWWRFRQWDFW WDVNVSODQQLQJ– H[ILOWUDWLRQ
– FRUSVDQGGLYLVLRQVSUHSDULQJ OLQNXS
RIIHQVLYHHQFLUFOHPHQW IRUWKHGHIHQVH– RUJDQL]DWLRQRIIRUFHVZKHQ
– –
FRXQWHUDWWDFNGHILQHG
UHWLUHPHQW GHIHQVHFRQVROLGDWLRQRIJDLQV
ZLWKGUDZDO FRXQWHUILUHWUDLQLQJ LQ
FRQVLGHUDWLRQV HQHP\–
FRQYHQWLRQDODQGVSHFLDO
RSHUDWLRQVIRUFHV FRXQWHULQJZHDSRQVRIPDVV PRELOH–
LQWHUGHSHQGHQFH GHVWUXFWLRQ GHIHQVLYHSUHSDUDWLRQVGHHS
LQWHURSHUDELOLW\DQG FRXQWHUPRELOLW\RSHUDWLRQV RSHUDWLRQV–
LQWHJUDWLRQ– – GHIHQVLYHWDVNGHILQHG
FRRUGLQDWLQJDXWKRULW\GHILQHG GHILQHG
GHIHQVLYHWDVNV–
$ FRXQWU\WHDP–
FRRUGLQDWLRQLQWHUDJHQF\ FRYHUGHILQHG
– F\EHUVSDFHDQGWKH
FRUGRQDQGVHDUFKGHILQHG HOHFWURPDJQHWLFVSHFWUXP
 –
FRUSV– GHILQHG

6 October 2017 FM 3-0 Index-3


Index

(QWULHVDUHE\SDUDJUDSKQXPEHU

GHOD\– HOHFWURPDJQHWLFVSHFWUXPDQG H[HFXWLQJDPRYHPHQWWR


FRQWUROPHDVXUHVIRU F\EHUVSDFH– FRQWDFWPDLQERG\–
– GHILQHG 
RUJDQL]DWLRQRIIRUFHVIRU HOHFWURQLFDQGF\EHUVSDFH VHFXULW\IRUFHV–
 ZDUIDUHWUDLQLQJ 
GHOD\OLQHGHILQHG FRQVLGHUDWLRQV– H[ILOWUDWLRQ
GHOD\LQJRSHUDWLRQGHILQHG HOHPHQWVRIRSHUDWLRQDODUW H[SDQGHGWKHDWHU
 – H[SHGLWLRQDU\FDSDELOLW\
GHPRQVWUDWLRQGHILQHG RIFRPEDWSRZHU– –
 RSHUDWLRQ
'HSDUWPHQWRI'HIHQVH
LQIRUPDWLRQQHWZRUNGHILQHG HPSOR\PHQWFRUSV FRPEDWDYLDWLRQEULJDGH
 HQDEOHFLYLODXWKRULW\ 
ODQGIRUFHV– VXVWDLQPHQWFRPPDQG
GHSOR\PHQW– –
GHVWUR\GHILQHG HQFLUFOHPHQWRSHUDWLRQV
– H[SORLWWKHLQLWLDWLYH–
GHWHFWLQJKLJKSD\RIIWDUJHWV FRQWUROPHDVXUHV– H[SORLWDWLRQILUHVLQ–
–  
GHWHQWLRQRSHUDWLRQV– GHILQHG PDQHXYHULQ–
 GHILQHG PLVVLRQFRPPDQGLQ
GHWHU GHILQHG –
H[HFXWLQJ– VXVWDLQPHQWGXULQJ–
GLUHFWOLDLVRQDXWKRUL]HG
RUJDQL]DWLRQRIIRUFHV 
GHILQHG$
– H[SORLWDWLRQDQGSXUVXLW–
GLUHFWVXSSRUWGHILQHG$
HQHP\DWWDFN– 
GLVLQWHJUDWHGHILQHG FRPPDQGDQGFRQWURO H[SORVLYHRUGQDQFHGLVSRVDO
GLVORFDWHGHILQHG QRGHVDQGORJLFDO 
GLVPRXQWHGPDUFKGHILQHG HQWLWLHV–
GHIHQVH– H[SORVLYHRUGQDQFHGLVSRVDO
 JURXS
GHILQHG
GLYLVLRQDGPLQLVWUDWLYH UHVHUYHVPRELOH– H[WHUQDOVXSSRUWFRQWUDFWRUV
UHVSRQVLELOLWLHV VHFRQGWDFWLFDOHFKHORQ 
LQRSHUDWLRQVWRSUHYHQW –
 F
RSHUDWLRQDOUHVSRQVLELOLWLHV HQJLQHHUFRPPDQGWKHDWHU
IDFLOLWLHV
– –
HQJLQHHURSHUDWLRQVFRUSV IHLQWGHILQHG
SODQQLQJIRUWKHRIIHQVH
–  ILHOGDUWLOOHU\–
EULJDGH–
GLYLVLRQV–– HQWU\RSHUDWLRQV–
 ILJKWLQJIRULQWHOOLJHQFH–
HQYHORSPHQW–
FRQVROLGDWHJDLQV 
GHILQHG
UHVSRQVLELOLWLHV– ILUHVXSHULRULW\GHILQHG
HQYLURQPHQWLQIRUPDWLRQ
 ILUHVXSSRUWLQWKHRIIHQVH
–
SUHSDULQJIRUWKHRIIHQVH –
– HVVHQWLDOVHUYLFHVUHVWRUH
 ILUHVXSSRUWFRRUGLQDWLRQOLQH
GRPDLQ– GHILQHG
HVWDEOLVKFLYLOFRQWURO
GRPLQDWH ILUHV–
FLYLOVHFXULW\–
GRXEOHHQYHORSPHQWGHILQHG FRUSV
H[HFXWHIOH[LEOHGHWHUUHQW
 H[SORLWDWLRQ–
RSWLRQVDQGIOH[LEOH
SUHSDULQJIRULQWKHGHIHQVH
E UHVSRQVHRSWLRQV–
–
HDUO\HQWU\FRPPDQGSRVW  H[HFXWLQJDUHDGHIHQVH SUHSDULQJIRULQWKHRIIHQVH
– – –
GHILQHG DWWDFN– WUDLQLQJFRQVLGHUDWLRQV
HFKHORQV$UP\– HQFLUFOHPHQW– –
PRELOHGHIHQVH–
HFRQRPLFGHYHORSPHQW ILUHVZDUILJKWLQJIXQFWLRQ

VXSSRUW– GHILQHG
PRYHPHQWWRFRQWDFW
HIIHFWLYHQHVVFRPPDQGSRVW – IL[LQJIRUFHPRELOHGHIHQVH
– 

Index-4 FM 3-0 6 October 2017


,QGH[

(QWULHVDUHE\SDUDJUDSKQXPEHU

IODQNDWWDFN– I J
GHILQHG LQILOWUDWLRQ– MRLQWFRPPDQGDQGFRQWURO
IODQNVHFXULW\– GHILQHG WKHDWHUDUP\FRQWULEXWLRQV
IOH[LEOHGHWHUUHQWRSWLRQV LQIRUPDWLRQ– WR–
GHILQHG FRPPDQGUHODWLRQVKLSV
LQIRUPDWLRQFROOHFWLRQGHILQHG $–$
IOH[LEOHUHVSRQVHRSWLRQV  ODUJHVFDOHFRPEDW
GHILQHG LQDUHDGHIHQVH– RSHUDWLRQV–
IRUFHSURMHFWLRQ–  RSHUDWLRQDODUHDV
GHILQHG LQPRYHPHQWWRFRQWDFW RSHUDWLRQV–
– RSHUDWLRQVDUHD
IRUFHGPDUFKHV
LQIRUPDWLRQHQYLURQPHQW– VHFXULW\DUHD
IRUFHVFKDOOHQJHV–
 VSHFLDORSHUDWLRQVDUHD
IRUFLEOHHQWU\– GHILQHG 
GHILQHG
LQIRUPDWLRQRSHUDWLRQV MRLQWRSHUDWLRQVGHILQHG
IRUHLJQGLVFORVXUH FRQGXFW– WKH$UP\LQ–
IRUHLJQLQWHUQDOGHIHQVH– FRUSV
 GHILQHG K
GHILQHG VKDSLQJ– NLOOER[GHILQHG
IRUPVRIPDQHXYHU– WUDLQLQJFRQVLGHUDWLRQV
– L

GHILQHG LQIRUPDWLRQRSHUDWLRQVJURXSV ODQGFRQWURORI
IRUZDUGDYLDWLRQFRPEDW WKHDWHU ODQGFRPSRQHQWKHDGTXDUWHUV
HQJLQHHULQJ– LQIRUPDWLRQZDUIDUH– LQODUJHVFDOHFRPEDW
RSHUDWLRQV
IRUZDUGSDVVDJHRIOLQHV LQIUDVWUXFWXUHGHYHORSPHQW
– VXSSRUW– ODQGIRUFHDUHDRIRSHUDWLRQV
GHILQHG –
LQWHJUDWLRQ–
IURQWDODWWDFN– ODQGSRZHUGHILQHG
LQWHOOLJHQFH–
GHILQHG commander’s role, 2– ODUJHVFDOHFRPEDWRSHUDWLRQV
IXQFWLRQDOEULJDGHV–  –
 ILJKWLQJIRU– $UP\IRUFHVLQ–
SUHSDULQJIRULQWKHGHIHQVH MRLQW–
IXQGDPHQWDOFRQVLGHUDWLRQV
– ODQGFRPSRQHQW
FRPPDQGDQGVXSSRUW
SUHSDULQJIRULQWKHRIIHQVH KHDGTXDUWHUVLQ
UHODWLRQVKLSV$
– VWDELOLW\LQ–
G VKDSLQJDFWLYLWLHV– ODUJHVFDOHGHIHQVLYH
JDSFURVVLQJRSHUDWLRQV–  RSHUDWLRQV–
 WUDLQLQJFRQVLGHUDWLRQV RYHUYLHZRI–
– ODUJHVFDOHJURXQGFRPEDW
JHQHUDOVNLOOV–
LQWHOOLJHQFHRSHUDWLRQVFRUSV FRQGXFW
JHQHUDOVXSSRUWGHILQHG$ – ODUJHVFDOHRIIHQVLYH
JHQHUDOVXSSRUW—UHLQIRUFLQJ LQWHOOLJHQFHZDUILJKWLQJ RSHUDWLRQV–
GHILQHG$ IXQFWLRQGHILQHG RYHUYLHZ–
JRYHUQDQFHVXSSRUW LQWHUDJHQF\FRRUGLQDWLRQ OHDGHUVKLS–
JUDSKLFFRQWUROPHDVXUH – GHILQHG
GHILQHG LQWHUGHSHQGHQFH /HYHO,WKUHDWGHILQHG
JXDUGGHILQHG LQWHURSHUDELOLW\DQG /HYHO,,WKUHDWGHILQHG
LQWHJUDWLRQRIFRQYHQWLRQDO
H DQGVSHFLDORSHUDWLRQV /HYHO,,,WKUHDWGHILQHG
KHDOWKVHUYLFHVXSSRUW– IRUFHV– OHYHOVRIZDUIDUH–
 LQWHUGLFWLRQGHILQHG OLQNXS
KLJKSD\RIIWDUJHWVGHWHFWLQJ LQWUDQVLWYLVLELOLW\GHILQHG ORFDOVHFXULW\GHILQHG
–
LVRODWHGHILQHG ORGJPHQWGHILQHG
KRVWQDWLRQVXSSRUW–
– LVRODWLRQ– ORJLFDOHQWLWLHVHQHP\–
GHILQHG 
KXPDQLWDULDQHIIRUWV ORJLVWLFV–

6 October 2017 FM 3-0 Index-5


Index

(QWULHVDUHE\SDUDJUDSKQXPEHU

M PRELOHGHIHQVH– PXOWLIXQFWLRQDOEULJDGHV–
PDLQFRPPDQGSRVWGHILQHG FRQWUROPHDVXUHV– 
 
GHILQHG N
PDLQDQGVXSSRUWLQJHIIRUWV H[HFXWLQJ– QRQFRQWLJXRXVIUDPHZRUN
– IL[LQJIRUFH DUHDGHIHQVH
PDLQEDWWOHDUHDGHILQHG RUJDQL]DWLRQRIIRUFHV
– O
PDLQEDWWOHDUHDIRUFHVLQDQ
DUHDGHIHQVH– UHVHUYH RIIHQVHDLUDQGPLVVLOH
VWULNLQJIRUFH– GHIHQVHLQ–
PDLQERG\DWWDFN– ILUHVXSSRUWLQ–
 PRELOHHQHP\UHVHUYHV–
H[HFXWLQJDPRYHPHQWWR  RIIHQVLYHHQFLUFOHPHQWFRQWURO
FRQWDFW– PRELOLW\DQGFRXQWHUPRELOLW\ PHDVXUHV–
PRYHPHQWWRFRQWDFW WUDLQLQJFRQVLGHUDWLRQV RIIHQVLYHWDVNGHILQHG
– – RIIHQVLYHWDVNV–
PDLQHIIRUWGHILQHG PRELOLW\RSHUDWLRQV– RQZDUGPRYHPHQW–
PDLQHIIRUWVSODQQLQJ– 
RSHUDWLRQGHILQHG
 PRXQWHGPDUFKHV H[SHGLWLRQDU\
PDLQWHQDQFH– PRYHPHQW– RSHUDWLRQDODQGVWUDWHJLF
PDQHXYHUGHILQHG DGPLQLVWUDWLYH UHDFK–
H[SORLWDWLRQ– WURRS– FRPPDQGSRVW
IRUPVRI– PRYHPHQWDQGPDQHXYHU FRQFHSW–
PDQHXYHUHQKDQFHPHQW – PRYHPHQWDQGPDQHXYHU
EULJDGH– RSHUDWLRQDO– –
SUHSDULQJIRULQWKHGHIHQVH UHVSRQVLELOLWLHV–
PHGLFDOFRPPDQG GHSOR\PHQW
– RSHUDWLRQDODSSURDFKGHILQHG
VXSSRUW  SUHSDULQJIRULQWKHRIIHQVH 
PHGLFDOVXSSRUWWKHDWHUDUP\ –
FRQWULEXWLRQVWR– RSHUDWLRQDODUW–
SXUVXLW–
GHILQHG
PLOLWDU\GHFHSWLRQ– WUDLQLQJFRQVLGHUDWLRQV
HOHPHQWVRI–
 –
GHILQHG RSHUDWLRQDOFRQWUDFWVXSSRUW
PRYHPHQWDQGPDQHXYHU

PLOLWDU\HQJDJHPHQWGHILQHG ZDUILJKWLQJIXQFWLRQGHILQHG
  RSHUDWLRQDOFRQWUROGHILQHG
$
PLOLWDU\LQIRUPDWLRQVXSSRUW PRYHPHQWWRFRQWDFW–
RSHUDWLRQV–  RSHUDWLRQDOHQYLURQPHQWV
FRUSV FRQWUROPHDVXUHVIRU DQWLFLSDWHG–
– VKDSH–
PLOLWDU\LQWHOOLJHQFHEULJDGH WUHQGVLQ–
WKHDWHU– GHILQHG
H[HFXWLQJ– RSHUDWLRQDOIUDPHZRUN–
PLOLWDU\SROLFHFRPPDQG LQIRUPDWLRQFROOHFWLRQ 
PLVVLRQFRPPDQG– – FRQVLGHUDWLRQV
– PDLQERG\– GHILQHG
LQH[SORLWDWLRQ– RUJDQL]DWLRQRIIRUFHV RSHUDWLRQDOUHDFKGHILQHG
LQSXUVXLW – 
SUHSDULQJIRULQWKHGHIHQVH UHVHUYH
– VFKHPHRIILUHV– RSHUDWLRQDOUHVSRQVLELOLWLHV
SUHSDULQJIRULQWKHRIIHQVH  FRUSV–
– VFKHPHRIPDQHXYHU GLYLVLRQ–
V\VWHP– – RSHUDWLRQVDUHDVHFXULW\
WUDLQLQJFRQVLGHUDWLRQV VHFXULW\HOHPHQWV– –
–  DVVHVVPHQWV–
PLVVLRQFRPPDQGV\VWHP VSHFLILFSODQQLQJ EUHDFKLQJ–
GHILQHG FRQVLGHUDWLRQV– EUHDFKLQJLQWKHRIIHQVH
 
PLVVLRQFRPPDQGZDUILJKWLQJ FLYLODIIDLUV–
IXQFWLRQGHILQHG PXOWLGRPDLQEDWWOH–
H[WHQGHGEDWWOHILHOG– FOHDULQJ–
WDVNV– FRPPDQGSRVW–

PLVVLRQHVVHQWLDOWDVNV 

Index-6 FM 3-0 6 October 2017


,QGH[

(QWULHVDUHE\SDUDJUDSKQXPEHU

RSHUDWLRQV continued  RUJDQL]DWLRQVFRUSVDQG UHVHUYHRSHUDWLRQVLQWKH


FRXQWHUPRELOLW\– EHORZ– GHIHQVH–
 $UP\ UHWURJUDGHRSHUDWLRQVLQWKH
GHFLVLYHVKDSLQJ RWKHUWDFWLFDOFRQVLGHUDWLRQV GHIHQVH–
VXVWDLQLQJ– – VXSSRUWDQGFRQVROLGDWLRQ
HQFLUFOHPHQW– DUHDVHFXULW\–
HQWU\– RYHUYLHZ$UP\HFKHORQV VXSSRUWDQGFRQVROLGDWLRQ
JDSFURVVLQJ– FDSDELOLWLHVDQGWUDLQLQJ DUHDVHFXULW\LQWKH
LQWKHVXSSRUWDQG $UP\RSHUDWLRQV– GHIHQVH–
FRQVROLGDWLRQDUHDV ODUJHVFDOHFRPEDW
RSHUDWLRQV– SODQQLQJFRQVLGHUDWLRQV
– FRPPXQLFDWLRQV
LQIRUPDWLRQ– ODUJHVFDOHGHIHQVLYH
MRLQW– RSHUDWLRQV– SRVLWLRQRIUHODWLYHDGYDQWDJH
ODUJHVFDOHGHIHQVLYH– ODUJHVFDOHRIIHQVLYH GHILQHG
 RSHUDWLRQV– SRVLWLRQVRIUHODWLYHDGYDQWDJH
ODUJHVFDOHRIIHQVLYH– RSHUDWLRQVWRFRQVROLGDWH –
 JDLQV–
RSHUDWLRQVWRSUHYHQW– SUHFOXVLRQ
PRELOLW\–
 SUHSDUDWLRQGHILQHG
RYHUYLHZRI$UP\–
 RSHUDWLRQVWRVKDSH– SUHSDUDWLRQRIWKHHQYLURQPHQW
SODQQLQJLQGHSWK–  GHILQHG
 P SUHSDULQJDUHDGHIHQVH
SODQQLQJLQGHSWKLQWKH FRQVLGHUDWLRQVZKHQ–
SDVVDJHRIOLQHV–
GHIHQVH– 
GHILQHG
VHFXULW\– FRUSVDQGGLYLVLRQVIRUWKH
VHTXHQFLQJ– SDWKVWRYLFWRU\– GHIHQVH–
WKHDWHURI SHQHWUDWLRQ– FRUSVDQGGLYLVLRQVIRUWKH
WRFRQVROLGDWHJDLQV– GHILQHG RIIHQVH–
 SHUVRQQHOUHFRYHU\– ILUHVLQWKHGHIHQVH–
WRSUHYHQW–  
WRVKDSH– ILUHVLQWKHRIIHQVH–
ZHWJDSFURVVLQJ SHUVRQQHOVHUYLFHV 
RSHUDWLRQVSODQQLQJFRQWLQXLW\ SKDVHGHILQHG LQWHOOLJHQFHLQWKHGHIHQVH
– SK\VLFDOFRQVLGHUDWLRQV –
LQWHOOLJHQFHLQWKHRIIHQVH
RSHUDWLRQVSURFHVVFRQGXFW SODQDQGFRQGXFWVSDFH
–
– DFWLYLWLHV– PLVVLRQFRPPDQGLQWKH
GHILQHG SODQQLQJ GHIHQVH–
RSHUDWLRQVVHFXULW\FRUSV FRUSV– PLVVLRQFRPPDQGLQWKH
 FRUSVDQGGLYLVLRQ RIIHQVH–
WUDLQLQJFRQVLGHUDWLRQV GHIHQVLYHWDVNV– PRELOHGHIHQVH
–  FRQVLGHUDWLRQVZKHQ
RUJDQLF$–$ FRUSVDQGGLYLVLRQLQWKH –
RIIHQVH– PRYHPHQWDQGPDQHXYHULQ
RUJDQLFIRUFHVGHILQHG$ GHFLVLYHDQGVKDSLQJ WKHGHIHQVH–
RUJDQL]DWLRQWKHDWHUDUP\ RSHUDWLRQVRUPDLQDQG PRYHPHQWDQGPDQHXYHULQ
– VXSSRUWLQJHIIRUWV– WKHRIIHQVH–
RUJDQL]DWLRQRIIRUFHVDUHD  SURWHFWLRQLQWKHGHIHQVH
GHIHQVH– RSHUDWLRQVLQGHSWK– –
DWWDFN–  SURWHFWLRQLQWKHRIIHQVH
GHIHQGLQJHQFLUFOHG– RSHUDWLRQVLQGHSWKLQWKH 
 GHIHQVH– VXVWDLQPHQWLQWKHGHIHQVH
GHOD\ UHFRQQDLVVDQFHDQG –
PRELOHGHIHQVH– VHFXULW\RSHUDWLRQV VXVWDLQPHQWLQWKHRIIHQVH
 – –
PRYHPHQWWRFRQWDFW UHFRQQDLVVDQFHDQG
SUHSRVLWLRQHGVWRFNV–
– VHFXULW\RSHUDWLRQVLQWKH
RIIHQVLYHHQFLUFOHPHQW GHIHQVH– SUHYHQWDFWLYLWLHV–
– UHVHUYHRSHUDWLRQV– FRQIOLFW
UHWLUHPHQW 
ZLWKGUDZDO

6 October 2017 FM 3-0 Index-7


Index

(QWULHVDUHE\SDUDJUDSKQXPEHU

SULPDU\DOWHUQDWHFRQWLQJHQF\ UHODWLYHDGYDQWDJHSRVLWLRQV VHFRQGWDFWLFDOHFKHORQ


DQGHPHUJHQF\SODQV RI– HQHP\–
– UHOLHILQSODFH– VHFXULW\DUHDGHILQHG
SURMHFWWKHIRUFH GHILQHG VHFXULW\DVVLVWDQFHGHILQHG
SURWHFWLRQ– UHVHUYHDUHDGHIHQVH– 
FRUSV  VHFXULW\FRRSHUDWLRQ–
GXULQJWUDQVLW– DWWDFN– 
SUHSDULQJIRULQWKHGHIHQVH FRUSV FRQGXFW
– GHILQHG GHILQHG
SUHSDULQJIRULQWKHRIIHQVH PRELOHGHIHQVH
 PRYHPHQWWRFRQWDFW VHFXULW\HOHPHQWVPRYHPHQW
WKHDWHUDUP\FRQWULEXWLRQV WRFRQWDFW–
UHVHUYHRSHUDWLRQVSODQQLQJ
WRSURWHFWLRQ– – VHFXULW\IRUFHDVVLVWDQFH
WUDLQLQJFRQVLGHUDWLRQV SODQQLQJLQWKHGHIHQVH –
– – EULJDGH
SURWHFWLRQZDUILJKWLQJIXQFWLRQ GHILQHG
UHVSRQVLELOLWLHVDGPLQLVWUDWLYH
GHILQHG  VHFXULW\IRUFHVDWWDFN
SV\FKRORJLFDORSHUDWLRQJURXS FRQVROLGDWHJDLQVE\ DUHDGHIHQVH–
– HFKHORQ– GHILQHG
RSHUDWLRQDO– H[HFXWLQJDPRYHPHQWWR
SXEOLFDIIDLUV– FRQWDFW–
SXUVXLW– UHVWRUHHVVHQWLDOVHUYLFHV
 VHFXULW\RSHUDWLRQV–
PLVVLRQFRPPDQGLQ FRUSV
PRYHPHQWDQGPDQHXYHU UHWDLQWKHLQLWLDWLYH– GHILQHG
LQ– UHWLUHPHQW– SODQQLQJ–
WUDQVLWLRQWR FRQWUROPHDVXUHVIRU VHFXULW\VHFWRUUHIRUP–
Q-R GHILQHG 
RUJDQL]DWLRQRIIRUFHVIRU GHILQHG
UDLGGHILQHG 
UDLO$UP\ VHL]HLQLWLDWLYH
UHWURJUDGH–
UDQJHRIPLOLWDU\RSHUDWLRQV GHILQHG VHL]HUHWDLQDQGH[SORLWWKH
FRQIOLFWFRQWLQXXPDQG LQLWLDWLYH–
UHWURJUDGHRSHUDWLRQVLQWKH
UHDUZDUGSDVVDJHRIOLQHV GHIHQVHSODQQLQJ– VHTXHQFLQJRSHUDWLRQV–
GHILQHG  
UHFHSWLRQ ULVN– VHUYLFHVDQGVXSSOLHV
UHFHSWLRQVWDJLQJRQZDUG FRQVLGHUDWLRQV%–% VHWWKHWKHDWHU–
PRYHPHQWDQGLQWHJUDWLRQ ULVNPDQDJHPHQW– VKDSH
– URDGVFRPEDW– RSHUDWLRQDOHQYLURQPHQWV
UHFRQQDLVVDQFH– –
UROHVFRPPDQGHUDQGVWDII
GHILQHG – VKDSLQJDFWLYLWLHV–
UHFRQQDLVVDQFHDQGVHFXULW\ DGGLWLRQDO–
URXWHGHILQHG
RSHUDWLRQVLQWKHGHIHQVH VKDSLQJRSHUDWLRQGHILQHG
SODQQLQJ– URXWHUHFRQQDLVVDQFHGHILQHG 

UHFRQQDLVVDQFHLQIRUFH VKDSLQJRSHUDWLRQVSODQQLQJ
GHILQHG S –
UHFRQQDLVVDQFHREMHFWLYH VDQFWXDU\– VLJQDOVXSSRUWWKHDWHUOHYHO
GHILQHG VFKHPHRIILUHVPRYHPHQWWR 
UHFRQQDLVVDQFHRSHUDWLRQV FRQWDFW– VLQJOHHQYHORSPHQWGHILQHG
SODQQLQJ– VFKHPHRIPDQHXYHU– 
UHJLRQDOVXSSRUWJURXSV  VSDFHDFWLYLWLHVSODQDQG
UHJLRQDOO\DVVLJQHGDQG GHIHQVH– FRQGXFW–
DOLJQHGIRUFHV– PRYHPHQWWRFRQWDFW VSDFHGRPDLQ–
– GHILQHG
UHLQIRUFLQJGHILQHG$
VFUHHQGHILQHG VSDFHLQWHJUDWLRQWUDLQLQJ
UHODWLRQVKLSVFRPPDQGDQG
VXSSRUW$–$ VHDUFKDQGDWWDFN– FRQVLGHUDWLRQV–
GHILQHG VSDFHRSHUDWLRQVFRUSV

Index-8 FM 3-0 6 October 2017


,QGH[

(QWULHVDUHE\SDUDJUDSK QXPEHU

VSHFLDORSHUDWLRQV DQG VXSSRUWUHODWLRQVKLSV $UP\ PLVVLRQFRPPDQG


FRQYHQWLRQDO IRUFHV $–$ ZDUILJKWLQJ IXQFWLRQ
LQWHUGHSHQGHQFH VXSSRUWLQJ HIIRUW GHILQHG –
LQWHURSHUDELOLW\ DQG  WHPSRUDO FRQVLGHUDWLRQV
LQWHJUDWLRQ RI– 
VXSSRUWLQJ HIIRUWVSODQQLQJ
VSHFLDORSHUDWLRQV IRUFHV – WHUUDLQ XVHRI–
$UP\ 
VXUYLYDELOLW\ – WKHDWHU DYLDWLRQ FRPPDQG
VSHFLDOUHFRQQDLVVDQFH FRPPDQGSRVW– –
GHILQHG   HQJLQHHU FRPPDQG–
VSHFLILFSODQQLQJ GHILQHG  
FRQVLGHUDWLRQV PRYHPHQWWR VXUYLYDELOLW\ RSHUDWLRQV H[SDQGHG 
FRQWDFW– GHILQHG  LQIRUPDWLRQ RSHUDWLRQV
VSRLOLQJ DWWDFNGHILQHG  JURXSV
VXVWDLQLQJ RSHUDWLRQ GHILQHG PLOLWDU\ LQWHOOLJHQFH EULJDGH
VWDELOLW\ DQG GHIHDW  –
PHFKDQLVPV– VXVWDLQPHQW–
LQODUJHVFDOHFRPEDW WKHDWHU DUP\ –
EULJDGH – –
RSHUDWLRQV – EULJDGHV – FRQVROLGDWH JDLQV
VWDELOLW\ PHFKDQLVPGHILQHG FRUSV UHVSRQVLELOLWLHV –
 H[SORLWDWLRQ –

VWDELOLW\ PHFKDQLVPV– SUHSDUDWLRQ – FRQWULEXWLRQV WRPHGLFDO
 SUHSDULQJ IRULQWKHGHIHQVH VXSSRUW–
– FRQWULEXWLRQV WRMRLQW
VWDELOLW\ WDVNV– SUHSDULQJ IRULQWKHRIIHQVH
– FRPPDQGDQGFRQWURO
– –
GHILQHG  WUDLQLQJ FRQVLGHUDWLRQV FRQWULEXWLRQV WRSURWHFWLRQ
VWDELOL]H  – –
VWDJLQJ GHILQHG  VXVWDLQPHQWFRPPDQG RUJDQL]DWLRQ –
VWUDWHJLFDQGRSHUDWLRQDO H[SHGLWLRQDU\ – WKHDWHU RSHUDWLRQV 
UHDFK– WKHDWHU – RIZDU
VWUDWHJLFUROHV VXVWDLQPHQWZDUILJKWLQJ VXSSRUWFRQWUDFWV–
IXQFWLRQ GHILQHG  
VWULNLQJ IRUFHGHILQHG 
PRELOHGHIHQVH – V\VWHPPLVVLRQFRPPDQG VXVWDLQPHQWFRPPDQG
 – –
VXERUGLQDWH IRUPVRIWKH V\VWHPVXSSRUWFRQWUDFWV WKHDWHUOHYHO VLJQDOVXSSRUW
DWWDFN– V\VWHPVZDUIDUH– 
VXSSOLHVDQGVHUYLFHV WKUHDW GHILQHG 
T LQODUJHVFDOHFRPEDW
VXSSRUWEDVHVHFXULW\DQG RSHUDWLRQV –
WDFWLFDOFRPPDQGSRVW–
GHIHQVH – SODQQLQJ IRU

GHILQHG $
JRYHUQDQFH  WDFWLFDOFRPEDWIRUFHGHILQHG WKUHDWV– –
 –
VXSSRUWDQGFRQVROLGDWLRQ DUHD FKDOOHQJHV E\
LQWKHVXSSRUWDUHD
VHFXULW\LQWKHGHIHQVH WRWKHFRQVROLGDWLRQ RI
SODQQLQJ IRU– WDFWLFDOFRPPDQGSRVW
GHILQHG  JDLQV–
VXSSRUWDUHD – WUDLOVFRPEDW–
FRPPDQGSRVW– WDFWLFDOFRQWUROGHILQHG $
 WUDLQLQJ 
WDFWLFDOGHFHSWLRQ WUDLQLQJ
FRUSV FRQVLGHUDWLRQV – FRQVLGHUDWLRQV E\
GHILQHG  ZDUILJKWLQJ IXQFWLRQ
WDFWLFDOHQDEOLQJ WDVNV– –
RSHUDWLRQV –  WHFKQLTXHV –
VXSSRUWDUHDVHFXULW\SODQQLQJ WDLORU $UP\IRUFHV–
– WUDLQLQJ DQG H[HUFLVHV
WDUJHW GHILQHG  FRPELQHG
VXSSRUWHFRQRPLFDQG
LQIUDVWUXFWXUH GHYHORSPHQW WDUJHWLQJ GHILQHG  WUDLQLQJ FRQVLGHUDWLRQV DLU
– WDVNIRUFHVFRQVROLGDWH JDLQV GHIHQVH 
UHVSRQVLELOLWLHV – DLUVSDFHFRQWURO–
VXSSRUWJURXSVUHJLRQDO  
WDVNVIRFXV

6 December 2017 FM 3-0, C1 Index-9


Index

(QWULHVDUHE\SDUDJUDSK QXPEHU

$UP\DYLDWLRQ PDQHXYHU WRFRQVROLGDWH JDLQV– OHYHOV RI–


PDQQHG    V\VWHPV–
$UP\DYLDWLRQ PDQHXYHU WRSXUVXLW ZDUILJKWLQJ IXQFWLRQ WUDLQLQJ
XQPDQQHG   WUDQVLWLRQ WRWKHRIIHQVHFRUSV FRQVLGHUDWLRQV E\–
FLYLODIIDLUVLQWHJUDWLRQ  

FRXQWHUILUH  WUDQVSRUWDWLRQ  ZDUILJKWLQJ IXQFWLRQVGHILQHG
WUHQGVRSHUDWLRQDO 
F\EHUVSDFHDQGHOHFWURQLF
ZDUIDUH– HQYLURQPHQWV – ZDWHUPRYHPHQWV$UP\
HOHFWURQLFDQG F\EHUVSDFH WURRSPRYHPHQW – ZHDSRQVRIPDVVGHVWUXFWLRQ
ZDUIDUH– GHILQHG  FRXQWHULQJ 
ILUHV– WXUQLQJ PRYHPHQW– HQHP\XVHRI
LQWHOOLJHQFH – SURWHFWLRQ IURP

PLVVLRQFRPPDQG–
GHILQHG  ZHWJDS FURVVLQJRSHUDWLRQV


PRELOLW\ DQG U
FRXQWHUPRELOLW\ – ZLQ
XQLILHG DFWLRQ 
 ZLWKGUDZDO –
PRYHPHQWDQGPDQHXYHU XQLILHG ODQG RSHUDWLRQV FRQWUROPHDVXUHVIRU
– GHILQHG  RUJDQL]DWLRQ RIIRUFHVIRU
RSHUDWLRQV VHFXULW\– 8QLWHG 6WDWHVGLSORPDWLF 
 PLVVLRQDPEDVVDGRU– ZLWKGUDZDO RSHUDWLRQ GHILQHG
SURWHFWLRQ –  
VSDFHLQWHJUDWLRQ – XVHRIWHUUDLQ –

VXVWDLQPHQW– V X-Y-Z
WDFWLFDOGHFHSWLRQ – YHUWLFDO HQYHORSPHQWV GHILQHG ]RQHUHFRQQDLVVDQFHGHILQHG
  
WUDLQLQJ IRUODUJHVFDOH FRPEDW YLFWRU\ SDWKVWR–
RSHUDWLRQV –
YLUWXDO FRQVLGHUDWLRQV 
WUDQVLWSURWHFWLRQ GXULQJ –
 W
WUDQVLWLRQ  ZDUIDUHLQIRUPDWLRQ –

Index-10 FM 3-0, C1 6 December 2017


)0
2FWREHU

By Order of the Secretary of the Army:

0$5.$0,//(<
General, United States Army
Chief of Staff

Official:

GERALD B. O’KEEFE
Administrative Assistant to the
Secretary of the Army


DISTRIBUTION:
Active Army, Army National Guard, and United States Army Reserve: To be distributed in
accordance with the initial distrubution number (IDN) , requirements for )0.
3,1

Vous aimerez peut-être aussi