ATrainP-4_EDA_V1_FD_E.pdf

NATO STANDARD

ATrainP-4

TRAINING IN RULES OF ENGAGEMENT

(ROE)

Edition A Version 1

RATIFICATION DRAFT 1

MONTH YEAR

NORTH ATLANTIC TREATY ORGANIZATION

ALLIED TRAINING PUBLICATION

Published by the

NATO STANDARDIZATION OFFICE (NSO)

© NATO/OTAN

INTENTIONALLY BLANK

NORTH ATLANTIC TREATY ORGANIZATION (NATO)

NATO STANDARDIZATION OFFICE (NSO)

NATO LETTER OF PROMULGATION

[Date]

1. The enclosed Allied Training Publication ATrainP-4 Edition A Version 1, Training in Tules of Engagement (ROE), which has been approved by the nations in the MCJSB, is promulgated herewith. The agreement of nations to use this publication is recorded in STANAG 2597.

2. ATrainP-4, Edition A, Version 1 is effective upon receipt

3. No part of this publication may be reproduced, stored in a retrieval system, used commercially, adapted, or transmitted in any form or by any means, electronic, mechanical, photo-copying, recording or otherwise, without the prior permission of the publisher. With the exception of commercial sales, this does not apply to member nations and Partnership for Peace countries, or NATO commands and bodies.

4. This publication shall be handled in accordance with C-M(2002)60.

Edvardas MAŽEIKIS Major General, LTUAF

Director NATO Standardization Agency

I Edition A Version 1 Ratification Draft 1

RESERVED FOR NATIONAL LETTER OF PROMULGATION

II Edition A Version 1

III Edition A Version 1

RECORD OF RESERVATIONS

CHAPTER RECORD OF RESERVATION BY NATIONS

Note: The reservations listed on this page include only those that were recorded at time of promulgation and may not be complete. Refer to the NATO Standardization Document Database for the complete list of existing reservations.

IV Edition A Version 1

V Edition A Version 1

RECORD OF SPECIFIC RESERVATIONS

[nation] [detail of reservation]

Note: The reservations listed on this page include only those that were recorded at time of promulgation and may not be complete. Refer to the NATO Standardization Document Database for the complete list of existing reservations.

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VII Edition A Version 1

TABLE OF CONTENTS

CHAPTER 1 1

1.1. TRAINING STANDARD

1.2. DEFINITIONS

1.3. DETAILS OF THE PUBLICATION

1.3.1. Objective of this publication

1.3.2. Responsibilities

1.3.3. Objectives of training

1.3.4. Instruction and training principles

1.3.5. Evaluation of training

1.4. COORDINATION

ANNEX A LEARNING OBJECTIVES AND MAIN TEACHING POINTS ............. A-1

LO 1. INTRODUCTION TO NATO ROE ............................................................. A-1

LO 2. THE RELATIONSHIP BETWEEN SELF-DEFENCE AND NATO ROE ..... A-1

LO 3. NATO ROE AND THE USE OF FORCE ................................................... A-1 LO 4. DEVELOPING NATO ROE ............................................................................ A-2 ANNEX B TEMPLATE FOR TRAINING IN NATO ROE ..................................... B-1

ANNEX C NATO ROE TRAINING EXERCISE SCENARIO ................................ C-1

ANNEX D UNIT LEVEL NATO ROE TRAINING GUIDANCE ............................. D-1

ANNEX E GLOSSARY OF ABBREVIATIONS AND REFERENCE LIST............ E-1

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CHAPTER 1

1.1. TRAINING STANDARD

1.1.1. The training standard is to ensure that all Personnel who may be involved in NATO/NATO-led operations receive training on the following four Learning Objectives (LO): (LO1) understand what NATO ROE are; (LO2) understand the relationship between self-defence and NATO ROE; (LO3) understand NATO ROE and the use of force in NATO/NATO-led operations; and (LO4) commanders and staff understand the procedures for developing, drafting, issuing and changing NATO ROE for a NATO/NATO-led operation.

1.1.2. Nations must ensure that training is provided to Personnel to the above listed training standard. The main teaching points and training materials in the Annexes represent guidance on how to achieve the standard. The positions contained in the Annexes do not necessarily represent the position of any individual nation, do not establish state practice, and may be adapted, in whole or in part, by nations as they conduct training.

1.2. DEFINITIONS

1.2.1. NATO ROE are ROE derived from MC 362/1, NATO Rules of

Engagement (2003). ROE are directives to military forces (including individuals) that define the circumstances, conditions, degree, and manner in which force, or actions which might be construed as provocative, may be applied.

1.2.2. The term “Personnel” is defined as all members of the armed forces as determined by each nation, who may be involved in NATO/NATO-led operations.

1.3. DETAILS OF THE PUBLICATION

1.3.1. Objective of this publication

1. The objective of this publication is to provide guidance to nations on the standard of NATO ROE training to be provided to commanders, staff, units and individuals and to provide an outline for NATO ROE training programs. Annex A lists LO to be followed by nations when conducting training in NATO ROE along with main teaching points that may be used in meeting the standard.

Annex B offers a template for training in NATO ROE for nations to use in the preparation of their national training documents. Annex C represents an example of a NATO ROE training exercise scenario. Annex D represents

2 Edition A Version 1 training guidance for unit level training on NATO ROE. Annex E contains NATO ROE reference material containing abbreviations used throughout this AtrainP-4 and information about other NATO Doctrines related to NATO ROE.

2. If nations wish to use this publication to train persons other than Personnel, they may do so.

3. Nations ratifying STANAG 2597 continue to be guided by their respective national interpretations of international law.

1.3.2. Responsibilities

1. NATO ROE training is a national responsibility.

2. The responsibility to train staff assigned to NATO headquarters (HQ) rests with the appropriate HQ.

1.3.3. Objectives of training

1. The overall objective of NATO ROE training is to ensure that Personnel properly understand, develop and/or apply NATO ROE commensurate with their position and responsibility.

2. The training objectives are:

a. To enable commanders and staff to understand NATO ROE structure and procedures;

b. To provide Personnel with the knowledge they require to perform their duties in compliance with NATO ROE;

c. To ensure awareness of the potential consequences of breaches of NATO

ROE.

1.3.4. Instruction and training principles

1. The following instruction and training principles are to be applied:

a. Personnel engaged in the development and staffing of NATO ROE for NATO/NATO-led operations are to be trained in NATO ROE.

b. Personnel deploying on NATO/NATO-led operations must receive instruction on mission-specific NATO ROE prior to the conduct of operations.

c. NATO ROE training should be commensurate with the degree of responsibility of Personnel and their operational role. Therefore, commanders and staff require specialised NATO ROE training.

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d. Nations should ensure that NATO ROE training is delivered by properly trained instructors.

e. NATO ROE training should include realistic scenarios and case studies, exercises and practical field training. When preparing units for NATO/NATO-led operations, specific emphasis should be placed upon practical field training and the application of mission-specific ROE.

f. Nations should consider adding NATO ROE training in their military education, individual and collective training, and exercises.

g. The effectiveness of NATO ROE training should be evaluated at all levels of command. Lessons learned and identified and after action reports should be incorporated into the development of training programmes.

1.3.5. Evaluation of training

Nations are encouraged to evaluate their national NATO ROE training programmes and to tailor the evaluation to the specific needs of their audience in accordance with national requirements and this publication. Nations are encouraged to use a combination of methods to evaluate the knowledge of the training audience.

Evaluation methods may include class room assessment, test papers and field training scenarios.

1.4. COORDINATION

Nations should regularly inform each other of NATO ROE training programmes.

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ANNEX A TO

A-1 Edition A Version 1

ANNEX A LEARNING OBJECTIVES AND MAIN TEACHING POINTS

LO 1. Introduction to NATO ROE Aim: The aim of this learning objective is to ensure that Personnel understand what NATO ROE are.

The main teaching points for this learning objective are:

1.1 Understand the definition of NATO ROE

1.2 Be familiar with the MC 362/1 structure and content

1.3 Understand the purpose and function of NATO ROE

1.4 Understand the relationship between law and NATO ROE

1.5 Understand the need for compliance with NATO ROE

LO 2. The Relationship between Self-Defence and NATO ROE Aim: The aim of this learning objective is to ensure that Personnel understand the relationship between self-defence and NATO ROE.

The main teaching points for this learning objective are:

2.1 Be aware of the MC 362/1 concept of self-defence and know that the legal basis for use of force in self-defence is an issue of national law

2.2 Know that national laws differ with respect to the use of force in self-defence

2.3 Understand the relationship between self-defence and NATO ROE

2.4 Be aware of the NATO concept of “extended self-defence”

2.5 Understand the relationship between self-defence and Commanders’ control of the use of force

LO 3. NATO ROE and the Use of Force Aim: The aim of this learning objective is to ensure that Personnel understand

NATO ROE and the use of force as developed from the principles and concepts contained in MC 362/1.

The main teaching points for this learning objective are:

3.1 Be familiar with MC 362/1 principles on the use of force

3.2 Understand the application of NATO ROE in different operations

3.3 Understand the MC 362/1 concepts of “minimum force” and “deadly force”

ANNEX A TO

A-2 Edition A Version 1

3.4 Understand the MC 362/1 definition of “attack” in the context of NATO ROE series 42

3.5 Understand the MC 362/1 definition and methodology for determining “hostile act (not constituting actual attack)” and “hostile intent (not constituting an imminent attack)”

LO 4. Developing NATO ROE Aim: The aim of this learning objective is to ensure that commanders and staff understand the procedures for developing, drafting, issuing and changing NATO ROE for a NATO/NATO-led operation.

4.1 Recognise the inter-relationships of the bodies responsible for developing NATO

ROE

4.2 Understand operational planning process and relationship between OPLAN &

NATO ROE

4.3 Distinguish the factors and considerations affecting the development of NATO

ROE

4.4 Know how NATO ROE are drafted and promulgated

4.5 Have a general overview of Annex A to MC 362/1 and understand structure of

NATO ROE

4.6 Understand specific messages format required to establish mission specific ROE

4.7 Understand role of national caveats, restrictions and limitations

4.8 Distinguish and understand the security classification of NATO ROE

4.9 Understand the commander’s role in developing and applying NATO ROE

ANNEX B TO

B-1 Edition A Version 1

ANNEX B TEMPLATE FOR TRAINING IN NATO ROE

• This template develops the Learning Objectives and Main Teaching points addressed in Annex A. It is intended to assist nations to meet the standard for training in NATO ROE and to enhance understanding of MC 362/1, NATO Rules of Engagement, 2003.

• Training in NATO ROE is a national responsibility. Nations are invited to use these training standards based on this template in order to ensure Personnel are properly trained in NATO ROE.

• The training materials contained in this template are recommendations. Individual nations are free to amend and translate any portion of the template used to train their forces in NATO ROE.

• Instructors should consult their chain of command and specialist advisors for additional support and guidance on nationally approved content for training in

NATO ROE.

• Training based on this template should be further supported by practical training.

A sample training exercise scenario is contained in Annex C.

• Explanation of used abbreviations and supporting NATO doctrine contained in this template correspond with Annex E.

B-2 Edition A Version 1

Slide 1.

Topic: LO 1: Introduction to NATO ROE Suggested image on the slide:

None.

Suggested text for the slide:

Introduction to NATO ROE

(Learning Objective 01)

Suggested text for the instructors’ notes The aim of this learning objective is to ensure that Personnel understand what NATO ROE are.

B-3 Edition A Version 1

Slide 2.

Outline

• NATO ROE definition

• MC 362/1

• Structure of MC 362/1 and its Annex A

• Purpose & function of NATO ROE

• Law & NATO ROE

• Compliance with NATO ROE

• Understand the definition of NATO ROE

• Be familiar with MC 362/1structure and content

• Understand the purpose and function of NATO ROE

• Understand the relationship between law and NATO ROE

• Understand the need for compliance with NATO ROE

B-4 Edition A Version 1

Slide 3.

NATO ROE Definition

• “ROE are directives to military forces (including individuals) that define the circumstances, conditions, degree, and manner in which force, or actions which might be construed as provocative, may be applied.”

This NATO definition of ROE can be found in MC 362/1, para 2.

[NOTE TO INSTRUCTOR]

NATO defines ROE as “directives” although in some nations they may be considered orders and in others as guidance. Instructors should confirm their national position on whether NATO ROE are considered orders or whether they must be transformed by national authorities into orders to become binding upon Personnel.

B-5 Edition A Version 1

Slide 4.

MC 362/1

• MC 362/1 is the single NATO publication for ROE

• MC 362/1 contains a compendium of strategic and operational ROE and

NATO policy for approving and implementing these rules for all NATO/NATO-led operations

• Mission specific ROE developed from MC 362/1 are applicable to all NATO/NATO-led forces at all times and in all places

MC 362/1 provides the policies and procedures to create mission specific ROE, have it approved by the NATO chain of command, and released for use at operational and tactical levels of NATO/NATO-led forces.

MC 362/1 is used to develop NATO ROE for all types of NATO/NATO-led operations and all types of forces.

B-6 Edition A Version 1

Slide 5.

Structure and Basic Contents of MC 362/1

• Five Parts

– Part One: Introduction

– Part Two: Self-Defence

– Part Three: Principles Concerning the Use of Force

– Part Four: Political Direction to Military Authorities

– Part Five: ROE Structure and Procedures

• Six Annexes

– A. Compendium of ROE

– B. Guidance on the use of ROE in Air Operations

– C. Guidance on the use of ROE in Land Operations

– D. Guidance on the use of ROE in Maritime Operations

– E. Guidance on the use of formatted ROE messages

– F. Definitions and Amplifying Guidance on the Meaning of Terms

MC 362/1 provides written guidance on the use of force, including definitions. The Annexes provide detailed guidance on NATO ROE development and on the use of NATO ROE in operations.

Parts 1-3 define what NATO ROE are and how they apply to the individual, while Parts 4 and 5 are more directed to commanders and staff officers.

B-7 Edition A Version 1

Slide 6.

Compendium of NATO ROE

• Annex A to MC 362/1 provides a compendium of possible NATO ROE

• The “Rules” are grouped into number of “Series” which cover different aspects of military actions

• Every “Rule” is written either as a prohibition or authorisation Example:

Series 37 Use of Electronic countermeasures Rule 370. Use of Electronic countermeasures is prohibited Rule 374. Unrestricted use of Electronic countermeasures is authorised

Annex A of the MC 362/1 provides a compendium of ROE from which mission specific ROE may be chosen.

NATO ROE exist in a pre-written catalogue of “Rules” (message forms) in a numeric order. They range from geographic positioning, detention, harassment and counter-harassment, to attack.

It must be emphasised that some NATO ROE authorise actions and others restrain actions. NATO ROE are intended to regulate all actions that can be construed as provocative at all levels: strategic, operational, and tactical.

B-8 Edition A Version 1

Slide 7.

Purpose and Function of NATO ROE

• NATO ROE provide political and military direction for the conduct of NATO/NATO-led operations

• NATO ROE are used to control the threat or use of force or actions which might be construed as provocative, both in peacetime and in armed conflict situations

• By authorising or prohibiting certain actions or means, NATO ROE define when, where, how, how much and against whom force may be used

• NATO ROE are not used to assign concrete tasks or missions

• With the exception of self-defence, NATO ROE provide the sole authority to

NATO/NATO-led forces to use force

NATO ROE are the means by which the NAC provides political guidance on the conduct of military operations. They are not used to assign missions or tasks, NATO missions and tasks will be specified in the SACEUR’s OPLAN.

NATO ROE provide parameters within which NATO/NATO-led forces must operate in order to accomplish an assigned mission. For instance, in high intensity conflicts, the ROE enable domination of the battle space. In post-conflict situations, NATO ROE are designed to reduce violence during the NATO/NATO-led operations.

The MC 362/1 distinguishes peacetime NATO ROE from armed conflict ROE by referring to the authorisation of the use of force in peacetime and the limitations of the use of force during armed conflict. However, for policy reasons that have emerged from NATO’s recent operations, this distinction is no longer as certain.

Current NATO ROE, whether in peacetime or armed conflict, are a mixture of authorisations and limitations. As a result, any use of force other than in self-defence requires ROE.

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NATO ROE are sets of prohibitions and permissions that define:

WHEN force may be used. For instance, to board vessels, prevent interference with freedom of movement, defend military facilities, or attack opposing forces.

WHERE force may be used or Forces may operate. For instance, NATO ROE may limit operations to a specific geographic area.

HOW force may be used to achieve the desired ends. For instance, prohibiting or restricting use of specific weapons in designated circumstances or use of riot control agents.

HOW MUCH force may be used. NATO ROE may limit the degree, intensity and the necessary duration of the use of force. An example is limiting the use of force to the “use of force not including deadly force.”

AGAINST WHOM force may be used. For instance, interfering with NATO/NATO-led mission, persons demonstrating hostile intent (not constituting an imminent attack) against NATO/NATO-led forces, or attacking forces declared hostile.

See Learning Objective 02 concerning the relationship between self-defence and

NATO ROE.

B-10 Edition A Version 1

Slide 8.

Law and NATO ROE

• International law defines the limits for the use of force during NATO/NATO-led operations

• NATO ROE are not the law but reflect the law and policy applicable to NATO/NATO-led operations

• While NATO ROE must not go beyond the limits defined by law, they may impose greater limitations on the use of force or provocative actions than those required by law

• Personnel participating in NATO/NATO-led operations remain bound by their national laws and cannot be obliged to execute tasks or operations which would constitute a breach of their national laws

The conduct of NATO/NATO-led operations is controlled by international law, to include the applicable provisions of the law of armed conflict (LOAC) and human rights law.

NATO ROE, and the application of them, never permit use of force that violates applicable international law. However, NATO ROE may impose greater limitations on the use of force or provocative actions than those required by law.

Personnel participating in NATO/NATO-led operations must adhere to their own national laws. They are not obliged to execute tasks or operations that would constitute a breach of their national laws. National law may limit the use of force in certain types of military operations or in certain situations. For example, some nations’ laws do not permit the use of force or deadly force to protect property.

When national laws are at variance with NATO ROE, nations participating in NATO/NATO-led operations must inform the NAC and the SACEUR of the inconsistencies as early as possible. Any such national restrictions and/or instructions, often called “national caveats,” must not be more permissive than the

B-11 Edition A Version 1 use of force authorised for the operation. See also Learning Objective 02 for a discussion on self-defence and Learning Objective 04 concerning national caveats.

B-12 Edition A Version 1

Slide 9.

Compliance with NATO ROE

• NATO ROE must be adhered to by all forces engaged in a NATO/NATO-led operation.

• Within implemented ROE, it remains the commander’s responsibility to ensure that forces use only the degree of force that is lawful under the circumstances

• Thus, commanders are responsible for ensuring that subordinates act within the bounds of NATO ROE

• Both commanders and subordinates may be held responsible for any non-compliance with NATO ROE through national disciplinary and other processes

Commanders have a central role in the dynamic process of NATO ROE development, application, review and modification. Commanders have a responsibility to request clarification as well as modification when necessary to achieve mission accomplishment.

Commanders should be aware of further political statements / indications that may be contained in NATO ROE. See Learning Objective 04.

B-13 Edition A Version 1

Slide 10.

Summary

• NATO ROE provide guidance on the use of force and provocative actions across the spectrum of NATO/NATO-led operations

• MC 362/1 represents the NATO publication for ROE

• NATO ROE contain political and military direction for the conduct of

NATO/NATO-led operations

• NATO ROE comply with international law

• In the application of NATO ROE, Personnel remain bound by their national law

• NATO ROE are a command and control tool

B-14 Edition A Version 1

Slide 11.

Topic: LO 2: The Relationship between Self-

Defence and NATO ROE

The Relationship between Self-Defence and NATO ROE

(Learning Objective 02)

The aim of this learning objective is to ensure that Personnel understand the relationship between self-defence and NATO ROE.

B-15 Edition A Version 1

Slide 12.

Defence and NATO ROE

• MC 362/1 definition of self-defence

• Meaning of terms in the MC 362/1 definition of self-defence

• Self-defence and NATO ROE

• MC 362/1 definition of extended self-defence

• Self-defence and Commanders’ control of the use of force

• Be aware of the MC 362/1 concept of self-defence and know that the legal basis for use of force in self-defence is an issue of national law

• Know that national laws differ with respect to the use of force in self-defence

• Understand the relationship between self-defence and NATO ROE

• Be aware of the NATO concept of “extended self-defence”

• Understand the relationship between self-defence and Commanders’ control of the use of force

B-16 Edition A Version 1

Slide 13.

Defence and NATO ROE

Introduction

• Any use of force during NATO/NATO-led operations must be authorised by NATO ROE or in self-defence

See Part I, para 2 (p. 2) and Part II (p. 4) of MC 362/1.

When the use of force is not justified by self-defence, force may only be exercised within the constraints of and permissions authorised by NATO ROE. See Learning Objective 01 slide 7 and Learning Objective 03 slide 25.

B-17 Edition A Version 1

Slide 14.

Defence and NATO ROE

MC 362/1 Definition of “Self-Defence”

• “Self-defence is the use of such necessary and proportional force, including deadly force, by NATO/NATO-led forces and personnel to defend themselves against attack or an imminent attack.”

The concepts of individual and unit self-defence are distinct from state self-defence (e.g. see Article 51 UN Charter). The right of self-defence described in MC 362/1 refers to the individual and unit rights of self-defence and not the right of state self-defence.

This definition of individual and unit self-defence, found in MC 362/1 para 7 and Annex F, is used as a baseline for planning purposes for NATO/NATO-led forces.

The aim of this definition is to provide a general definition of self-defence for use in discussions and planning, which may differ from national definitions. See Learning Objective 04.

B-18 Edition A Version 1

Slide 15.

Defence and NATO ROE

Meaning of Terms in the MC 362/1 Definition of “Self-Defence”

• “Necessary” means that use of force is indispensable for securing self-defence

• “Proportional” means a response commensurate with the perception of the level of the threat posed. Any force used must be limited to the degree, intensity, and duration necessary for self-defence and no more

• “Imminent” means that the need to defend is manifest, instant, and overwhelming

• “Attack” is the use of force against NATO/NATO-led forces and personnel

• “Deadly Force” means force intended or likely to cause death, or serious injury resulting in death

These are NATO definitions contained in para 7 of MC 362/1 and thus its meaning is related to the MC 362/1 concept of self-defence. Deadly force is defined in Annex F to MC 362/1. Be aware that the explanation of the term “Proportional” as mentioned on the slide is different from the Law of Armed Conflict (LOAC) principle of proportionality. Under LOAC, the principle of proportionality requires the evaluation of whether an attack may be expected to cause incidental loss of civilian life, injury to civilians, damage to civilian objects, or a combination thereof, which would be excessive in relation to the concrete and direct military advantage anticipated.

The terms and definitions used in MC 362/1 regarding self-defence do not necessarily reflect the legal notion of self-defence in national laws. Members of the force shall adhere to their national laws on self-defence.

B-19 Edition A Version 1

Slide 16.

Defence and NATO ROE

Self-Defence and NATO ROE

• NATO ROE do not limit the right of self-defence

• In exercising this right, individuals and units will act in accordance with national law

• Because national laws differ, there will not always be consistency between the nations as to where the right to use force in self-defence ends and the use of force authorised by ROE begins

• Personnel must be aware of their national interpretation of the concept of self-defence

See Appendix 1 to Annex A of MC 362/1 for the full discussion of what has been agreed upon by NATO nations.

If you have any questions about your national rules on self-defence, ask your national chain of command.

[NOTE TO INSTRUCTOR]

The legal basis for the use of force in self-defence is an issue of national law.

Present your nation’s rule on individual self-defence.

B-20 Edition A Version 1

Slide 17.

Defence and NATO ROE

MC 362/1 Definition of “Extended Self-Defence”

• “Within the general concept of self-defence, NATO/NATO-led forces and personnel also have the right to take appropriate measures, including the use of necessary and proportional force to defend other NATO/NATO-led forces and personnel from attack or imminent attack.”

This definition is contained in para 8 of MC 362/1.

This MC 362/1 definition of extended self-defence is used as a baseline for planning purposes for NATO/NATO-led forces.

Commanders must be aware that some nations’ laws or policies on self-defence may not include the use of force to protect A) other NATO/NATO-led forces and persons;

B) persons not belonging to NATO/NATO-led forces (e.g. civilian population); and/or C) property.

B-21 Edition A Version 1

Slide 18.

Defence and NATO ROE

MC 362/1 concept of “PDSS” and “PRDSS”

• Some nations’ laws on self-defence do not include the use of force to protect persons not belonging to NATO/NATO-led forces and property

• NATO ROE can authorise use of force to defend designated persons and property using MC 362/1 concepts of PDSS and PRDSS

PDSS = Persons with Designated Special Status PRDSS = Property with Designated Special Status

Because some nations’ laws or policies on self-defence may not include the use of force to protect persons not belonging to NATO/NATO-led forces (e.g. civilian population) and property, the commanders and staff must also consider whether NATO ROE are required to allow such protection for mission accomplishment. In this case, commanders might need NATO ROE to ensure that NATO/NATO-led forces use force uniformly to defend the foregoing from attack or imminent attack.

The MC 362/1in this regard refers to “PDSS” or “PRDSS”

1. Use of force may be authorised within the NATO ROE framework to defend “Persons with Designated Special Status (PDSS)”.

NATO ROE 337 is an example of how this use of force would be authorised.

2. Use of force may be authorised within the NATO ROE framework to defend “Property with Designated Special Status (PRDSS)”.

NATO ROE 333 is an example of how this use of force would be authorised.

PRDSS is usually assigned to mission essential military property or other objects such as water purification plants, electrical generators and communication towers.

Personnel must be aware that designation of special status requires NAC approval.

This authority may be delegated.

B-22 Edition A Version 1

Slide 19.

Defence and NATO ROE

Self-Defence and Commanders’ Control of the Use of Force

• Commanders may give orders to control the use of force by individuals and units

• Subject to national law and policy, such orders may be able to control the exercise of the right of self-defence

Commanders need to ensure their troops understand their right to use force in self-defence as defined by their national law.

[NOTE TO INSTRUCTOR]

Present your nation’s position on the relationship between self-defence and Commanders’ control of the use of force.

B-23 Edition A Version 1

Slide 20.

Defence and NATO ROE

• In NATO/NATO-led operations, actions in self-defence may differ according to national concepts

• Self-defence is a national concept that applies according to your national law (e.g. principle of necessity, proportionality etc.)

• NATO ROE helps assure the commanders of a combined force that force will be used uniformly

B-24 Edition A Version 1

Slide 21.

Topic: LO 3: NATO ROE and the Use of

Force

NATO ROE and the Use of Force

(Learning Objective 03)

The aim of this learning objective is to ensure that Personnel understand NATO ROE and the use of force as developed from the principles and concepts contained in MC 362/1.

B-25 Edition A Version 1

Slide 22.

Force

• MC 362/1 Principles on Use of Force

• NATO ROE in Different Operations

• MC 362/1 Concept of Use of “Minimum Force”

• MC 362/1 Definition of “Attack” in the Context of NATO ROE Series 42

• MC 362/1 Concepts of “Hostile Act (not constituting actual attack)” and

“Hostile Intent (not constituting an imminent attack)”

• Be familiar with MC 362/1 Principles on the Use of Force

• Understand the application of NATO ROE in different operations

• Understand the MC 362/1 concepts of “minimum force” and “deadly force”

• Understand the MC 362/1 definition of “attack” in the context of NATO ROE series 42

• Understand the MC 362/1 concepts of “hostile act (not constituting actual attack)” and “hostile intent (not constituting an imminent attack)”

B-26 Edition A Version 1

Slide 23.

Force

MC 362/1 Principles Concerning the Use of Force in Peacetime Operations and in Operations Prior to the Commencement of Armed Conflict

• Generally, effort should be made to control a situation without the use of force

• If possible, give warning and opportunity to withdraw or cease threatening actions

• With respect to mission accomplishment, the degree, intensity and duration of the force used must be no more than is necessary to achieve the objective

NATO ROE for peacetime operations and in operations prior to the commencement of armed conflict consist of authorisations and restrictions a commander may use to direct, control and order the use of force to achieve an assigned mission, or to protect NATO-led or non-NATO forces and Personnel.

During periods of tension or crisis, violence, conflict or hostilities may erupt without amounting to an armed conflict.

Generally, NATO ROE in such circumstances will only permit the use of force in response to threats. Reasonable and prudent effort should be made to control a situation without the use of force. When time and conditions permit, the potential hostile forces should be warned and given the opportunity to withdraw or cease threatening actions.

With respect to mission accomplishment, the degree of force used must be no more than that necessary to carry out duties and accomplish assigned objectives of the mission. Any force used must be limited to the degree, intensity, and duration necessary to achieve the objective. NATO/NATO-led forces generally should avoid action which may be perceived as provocative or aggressive.

B-27 Edition A Version 1

Slide 24.

Principles Concerning the Use of Force in Armed Conflict

• For operations entailing participation in armed conflict, the Law of Armed Conflict (LOAC) applies

• Under LOAC, the use of force is governed by the principles of distinction, military necessity, proportionality and humanity

Because any NATO ROE that violate the law of armed conflict are unlawful, it is important that Personnel are familiar with the law of armed conflict and any other legal regime that may be applicable. NATO ROE are self-imposed rules that must fall within the scope of the law of armed conflict.

[NOTE TO INSTRUCTOR]

Allied Joint Doctrine for Joint Targeting, AJP 3.9, provides information in the NATO procedures on the planning and conduct of operations involving kinetic and non-kinetic means.

The principles of LOAC are explained in STANAG 2449, Edition 2. In some nations, as a matter of policy LOAC principles are applied to military operations abroad regardless of whether it is an armed conflict. Instructors should research their national position on this point and present it during their training.

B-28 Edition A Version 1

Slide 25.

NATO ROE in Peacetime Operations and Armed Conflict

• All use of force during NATO/NATO-led operations must be in accordance with NATO ROE except for use of force in self-defence

• MC 362/1 provides that NATO ROE for peacetime operations are formulated as permissions, while NATO ROE for armed conflict are formulated as restrictions

• Current NATO ROE, whether in peacetime or armed conflict, are a mixture of authorisations and limitations

The general premise is that all use of force during NATO/NATO-led operations must be in accordance with NATO ROE except for use of force in self-defence.

The MC 362/1 distinguishes between NATO ROE for peacetime operations from armed conflict operations by authorising the use of force in peacetime and limiting the use of force during armed conflict. However, for policy reasons, the distinction is no longer as certain, and current NATO ROE are a mixture of authorisations and limitations for all types of operations.

Because NATO ROE rarely will permit all use of force that would otherwise be lawful, due to political and military considerations, NATO ROE will generally limit or restrict the otherwise lawful use of force. Furthermore, current practice is that all use of force must be in accordance with the applicable NATO ROE, regardless of the type of operation. This means that if there is no NATO ROE allowing a certain use of force or other provocative action, that action is not permitted. In such circumstances, a commander may decide to request new NATO ROE. New NATO ROE must be authorised by the NAC.

Concerning the relationship between law and NATO ROE, see Learning Objective 01.

B-29 Edition A Version 1

Slide 26.

Differences in the Use of NATO ROE for Different Operations

• For peacetime operations and operations prior to the commencement of armed conflict, NATO ROE will be drawn from Series 10, 20 and/or 30, and Rules 421-426

• For armed conflict, NATO ROE will be drawn from all Series, including Rules 427-429

Suggested text for the instructor’s note:

Peacetime operations and operations prior to the commencement of armed conflict will generally be conducted in order to limit or de-escalate the situation in order to avoid hostilities. In some cases, however, provocative measures may be authorised in order to determine strengths, capabilities and reactions of enemy forces and to defend NATO/NATO-led forces and operations in situations not covered by the right of self-defence.

Series 30 Series 10/20

Rules 427 to 429

Rules 421 to 426

Actions that could be seen as provocative

Use of minimum force to accomplish designated mission

Attack against elements constituting a threat to

NATO/

NATO led forces

Attack against forces declared hostile

B-30 Edition A Version 1

During armed conflict, persons and objects may be designated hostile in accordance with the law of armed conflict, and attacked on the basis of this status. Rules 427-429 are used to authorise such attacks.

B-31 Edition A Version 1

Slide 27.

NATO ROE Apply the Following Use of Force Concepts

• Use of Force not including deadly force

• Use of Minimum Force

• Attack o Attack in response to hostile intent (not constituting an imminent attack) o Attack in response to hostile act (not constituting actual attack) o Attack on lawful targets to include objects and persons declared hostile

This use of force concepts are developed and covered by MC 362/1 definitions in the following slides. Apart from NATO ROE, use of force may also be based on self-defence.

See Learning Objective 02.

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Slide 28.

Use of Force Not Including Deadly Force

• For political or other reasons, the use of force may be limited to use of force not including deadly force

• If this strategic decision is made, for example, the following NATO ROE may be provided:

Rule 333: “Use of non-deadly force to prevent the taking possession of or destruction of water facilities is authorised”

NATO ROE are provided for mission accomplishment. In some situations, it may be appropriate to authorise the use of force not including deadly force. If there is a decision to authorise use of force not including deadly force, the rule will be drafted as shown in the example above.

[NOTE TO INSTRUCTOR]

Annex A of MC 362/1 in each of its ROE series explains procedures to follow when the NATO ROE prohibits the use of deadly force in certain situations.

B-33 Edition A Version 1

Slide 29.

Force

Use of Minimum Force

• Use of “minimum force” includes, by definition, the authority to use up to and including “deadly force”

• Minimum Force is defined as “force, up to and including deadly force, limited to the degree, intensity, and duration necessary to achieve the objective”

• Deadly Force is defined as “force intended or likely to cause death, or serious injury resulting in death” Example:

• Rule 333: “Use of minimum force to prevent the taking of possession or destruction of radio tower is authorised”

Use of minimum force in NATO ROE includes the authorisation to use up to and including deadly force. In any situation, the force used must be limited to the degree, intensity, and duration necessary to achieve the objective.

These definitions can be found in Annex F of MC 362/1.

B-34 Edition A Version 1

Slide 30.

Force

Attack in the Context of NATO ROE Series 42

• Under NATO ROE Series 42, NATO/NATO-led forces and Personnel may be authorised to attack:

o in response to hostile intent (not constituting an imminent attack) o in response to hostile act (not constituting actual attack) o on lawful targets to include objects and persons declared hostile

In the context of NATO ROE Series 42, the term “attack” is generally used to mean the use of force by NATO/NATO-led forces against DESIG persons, forces, or targets. Note, however, that when referred to as “actual attack” or “imminent attack,” “attack” means the use of force against NATO/NATO-led forces (or DESIG forces or personnel).

See Learning Objective 02 slide 15 for the discussion of attack on NATO/NATO-led forces in the context of self-defence.

B-35 Edition A Version 1

Slide 31.

Force

Hostile Intent (not constituting an imminent attack)

“Hostile intent (not constituting an imminent attack)” is defined as a “likely and identifiable threat recognisable on the basis of both the following conditions:

a) capability and preparedness of individuals, groups of personnel or units which pose a threat to inflict damage and,

b) evidence, including intelligence, which indicates an intention to attack or otherwise inflict damage”

Rules 421 and 423 permit attack against designated forces or individuals who demonstrate hostile intent (not constituting an imminent attack) against NATO/NATO-led forces or designated forces or Personnel.

In case of imminent attack, use of force in self-defence is permitted and therefore not regulated by NATO ROE. “Imminent” means a condition that is manifest, instant and overwhelming; usually refers to a threat to which defensive action is required (see Annex F of MC 362/1).

MC 362/1 lists non-exhaustive tactical and non-tactical events that may lead military personnel to respond against designated forces or individuals who demonstrate hostile intent:

a) manoeuvring into weapons launch positions (whether within effective range or not)

b) the deployment of remote targeting methods and the use of shadowers or tattletails to provide picture compilation

c) increased indications of mobilisation or warlike gestures revealed to public or gained from intelligence

d) increased movements of ammunition and the requisition of transportation

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Note that isolated acts of harassment without intelligence or other information indicating an intention to attack or otherwise inflict damage, will not normally be considered hostile intent.

[NOTE TO INSTRUCTOR]

Use examples from your current national practice.

B-37 Edition A Version 1

Slide 32.

Force

Hostile Act (not constituting actual attack)

• NATO ROE can authorise NATO/NATO-led forces to attack designated forces and individuals who commit or directly contribute to a hostile act (not constituting actual attack)

• “Hostile Act (not constituting actual attack)” is defined as “any intentional act causing serious prejudice or posing a serious danger to NATO/NATO-led forces or designated forces or Personnel.”

Rules 422 and 424 permit attack against designated forces or individuals who commit or directly contribute to a hostile act not constituting an actual attack. In case of actual attack, use of force in self-defence is permitted and therefore not regulated by NATO ROE.

The status of the crisis, the political situation at the time and, if known, the intent of the perpetrator (e.g., a defecting pilot) all play a part in determining if a “hostile act (not constituting actual attack)” has occurred.

MC 362/1 provides a non-exhaustive list of four examples of “hostile act (not constituting actual attack)”:

a) one or more units conducting mine-laying operations imposing restrictions upon the movements of NATO/NATO-led forces or PDSS;

b) military aircraft penetrating NATO airspace or airspace over a secure area and refusing to comply with interception instructions;

c) intentionally impeding NATO/NATO-led military operations; or

d) breaching or attempting to breach the security of a NATO/NATO-led military installation or restricted area.

[NOTE TO INSTRUCTOR]

Use examples from your current national practice.

B-38 Edition A Version 1

Slide 33.

Force

• Except for use of force in self-defence, NATO ROE provide the sole authority on use of force for mission accomplishment in all NATO/NATO-led operations

• Current NATO ROE, whether in peacetime or armed conflict, are a mixture of authorisations and limitations

• MC 362/1 provides different series of ROE on provocative actions, use of force for mission accomplishment and attack

• Personnel should be aware of MC 362/1 key concepts and terminology for use of force in NATO/NATO-led operations:

o “minimum force” and “deadly force” o “attack” in the context of NATO ROE series 42 o “hostile act (not constituting actual attack)” and “hostile intent (not constituting an imminent attack)”

B-39 Edition A Version 1

Slide 34.

Topic: LO 4: Developing NATO ROE

Developing NATO ROE

(Learning Objective 04)

The aim of this learning objective is to ensure that commanders and staff understand the procedures for developing, drafting, issuing and changing NATO ROE for a NATO/NATO-led operation.

B-40 Edition A Version 1

Slide 35.

• NATO ROE as a commander’s tool

• Bodies responsible for developing NATO ROE

• Operational planning process; OPLAN & NATO ROE

• Factors and different considerations affecting development of NATO ROE

• Drafting and promulgating NATO ROE

• Structure of Annex A to MC 362/1 and example of ROE

• NATO ROE specific messages (ROEAUTH, ROEREQ, ROEIMPL)

• Dormant, spare, and retained ROE

• National Caveats, restrictions and limitations

• The commander’s role in developing and applying NATO ROE

• Security Classification

• Recognise the inter-relationships of the bodies responsible for developing

NATO ROE

• Understand operational planning process and relationship between OPLAN &

NATO ROE

• Distinguish the factors and considerations affecting the development of NATO

ROE

• Know how NATO ROE are drafted and promulgated

• Have a general overview of Annex A to MC 362/1and understand structure of

NATO ROE

• Understand specific messages format required to establish mission specific

ROE

• Understand role of national caveats, restrictions and limitations

• Distinguish and understand the security classification of NATO ROE

• Understand the commander’s role in developing and applying NATO ROE

B-41 Edition A Version 1

Slide 36.

NATO ROE as a Commander’s Tool

• NATO ROE are a tool for command and control

• Commanders at all levels are responsible for the application of force by their subordinates and must therefore understand the implications of the development and application of NATO ROE

B-42 Edition A Version 1

Slide 37.

Topic: LO4: Developing NATO ROE

Responsible Bodies

• NATO ROE Development is a cooperative political / military process

• NAC authorises the goals of NATO/NATO-led operations

• SACEUR directs subordinate commands to provide their input on the ROE development

The North Atlantic Council (NAC) is the principal political decision-making body and oversees the political and military process relating to security issues affecting the whole Alliance.

These political decisions are influenced by UN Security Council Resolutions (UNSCRs), actions by other international organisations and the national perspectives of the member nations of the Alliance.

The NAC gives direction on the goals to be achieved during the NATO/NATO-led mission.

SACEUR

(development)

NAC

(authorisation)

Subordinate Commands (implementation)

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In the NATO ROE Development process, SACEUR, who directs Allied Command Operations (ACO), then directs subordinate commands to provide their input to the multi-phased NATO military staff process for NATO ROE Development.

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Slide 38.

Operational Planning Process

• The Comprehensive Operations Planning Directive (COPD) is the key NATO publication for operational planning

• Operational planning and NATO ROE development are parallel but collaborative processes

The Comprehensive Operations Planning Directive (COPD) represents key NATO publication for operational planning. (COPD Interim Version 2.0, as of 4 October 2013).

COPD outlines the procedures and responsibilities governing the preparation, approval, implementation, assessment and review of operations plans to ensure a common approach to operations planning.

It details the path of the Alliance operations planning process and it translates political direction into military operation reality.

Consideration of the application of the military element of power begins whenever the NAC is concerned about a developing situation. The creation of NATO ROE are the result of a continuous planning sequence that begins with the monitoring of a situation and concludes with the delivery of an approved OPLAN with Annex E providing the operational NATO ROE. NATO ROE are developed to meet the requirements of the Strategic Planning Directive issued by SACEUR.

B-45 Edition A Version 1

Slide 39.

NATO OPLAN & ROE

• For each operation, a strategic OPLAN (approved by the NAC) and an operational OPLAN (approved by SACEUR) are produced

• The NATO ROE staffing and approval process may be independent from the staffing of an OPLAN, but it is always linked to it

• Mission specific ROE are an integral part of the OPLAN and are designed to facilitate mission accomplishment

• Authorisation to use force for mission accomplishment is contained in Annex E to OPLAN

• When OPLAN is put into effect it becomes “Operation Order” (OPORD)

An Operation Plan (OPLAN) is a “plan for a single or series of connected operations to be carried out simultaneously or in succession. It is usually based upon stated assumptions and is the form of directive employed by higher authority to permit subordinate commanders to prepare supporting plans and orders. The designation "plan" is usually used instead of "order" in preparing for operations well in advance.

An operation plan may be put into effect at a prescribed time, or on signal, and then becomes the operation order.”

An Operation Order (OPORD) is a “directive, usually formal, issued by a commander to subordinate commanders for the purpose of effecting the coordinated execution of an operation.”

(AAP-06 NATO GLOSSARY OF TERMS AND DEFINITIONS, 2012, Ver.2.)

The NATO ROE staffing and approval process may be independent from the staffing of an OPLAN, but it is always linked to the development or revision of the relevant

OPLAN.

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The NAC authorises NATO ROE and sends that authorisation to SACEUR. SACEUR then implements those NATO ROE by including them in the OPORD. It is only at that point that they are available to the commander for mission accomplishment.

As a product of the NATO operational planning process, NATO ROE are the…