1. 1 - AN OVERVIEW

2. 2 DEFINITION Rules of Engagement (ROE) are orders issued by competent military authority that define the extent to which military personnel may use force in self-defense or to accomplish their mission.

3. 3 HISTORY OF U.S. ROE 1962- First Standardized ROE- for maritime units 1986- Standardized ROE for all joint forces 1994- Standing ROE for both peace & war

4. 4 PURPOSE OF ROE Command & Control Tool For National Civilian Leaders: –self-defense guidance –mission accomplishment guidance For Military Commanders: –ensure compliance with civilian strategic guidance –self-defense & mission accomplishment

5. 5 FACTORS AFFECTING ROE National Policy Objectives Operational Situation & Requirements Legal Obligations –domestic & international

6. 6 FACTORS AFFECTING ROE National Policy ROE Operational Legal

7. 7 ROE FOR UNIT SELF-DEFENSE U.S. commanders: – always retain the right & obligation respond to a hostile act or demonstrated hostile intent –may use all necessary means available and take all appropriate action –to defend the unit, including elements & personnel, or other U.S. forces in the vicinity

8. 8 INDIVIDUAL SELF-DEFENSE A U.S. service member may: –use all necessary means available and take all appropriate action –in self-defense & defense of other U.S. forces in the vicinity –in response to a hostile act or demonstrated hostile intent. Unit commander may limit individual self defense

9. 9 ELEMENT OF NECESSITY IN SELF-DEFENSE U.S. View: hostile act or hostile intent Determining “hostile intent” involves many factors –if time & circumstances allow, commander should first warn

10. 10 ELEMENT OF PROPORTIONALITY IN SELF-DEFENSE Only amount of force required to decisively counter hostile act or hostile intent –pursue and engage only if hostile person or force continues to commit hostile acts or demonstrate hostile intent

11. 11 ROE FOR MISSION ACCOMPLISHMENT 2 Types of U.S. “supplemental measures” –certain lawful tactics & weapons requiring Secretary of Defense or Combatant Commander approval –limits imposed by commanders on all other lawful tactics & weapons

12. 12 ROE FOR MISSION ACCOMPLISHMENT Tactical commander may issue “restrictive-type” ROE for clarity ROE more restrictive than those approved by Secretary of Defense must be notified to Secretary ROE cards issued to individual service members

13. 13 ROE & U.S. MISSION PLANNING PROCESS Joint Planning Process –Deliberate Planning –Crisis Action Planning President or Secretary of Defense may choose to approve ROE –once OPLAN approved tactical ROE are set

14. 14 Who? ARFOR Combatant Commander SECDEF / JCS /Interagency Allied or Coalition Leaders MARFORAFFORNAVFOR Tactical Operational/ Tactical Operational Strategic Joint Task Force Component Commanders U.S. ROE CRISIS ACTION DEVELOPMENT

15. 15 IMPLEMENTING ROE AT TACTICAL LEVEL Do not include: – strategy & doctrine – restatement of law of armed conflict – tactics – safety-related restrictions Provide understandable, memorable, & applicable ROE

16. 16 No translation ROE EXAMPLE International Armed Conflict

17. 17 ROE EXAMPLE International Armed Conflict Strategic mission guidance from the Diilsland Minister of Defense: –deploy to Flatland –conduct combat operations with Flatland forces to destroy Redland military units in Flatland –only air operations in Redland against military objectives supporting invasion –respect neutrality of other nations –minimize harm to civilians –enforce contraband regime against Redland

18. 18 ROE EXAMPLE International Armed Conflict Operational Level Supplemental Measures: Pre-existing Self-Defense Measure: 01 & 02- unit & individual self-defense against attack or threat of imminent attack Supplemental Self-Defense Measures: 05- self- defense of Flatland units & personnel 06- self-defense of Flatland civilians 08- self-defense of military equipment & property

19. 19 ROE EXAMPLE International Armed Conflict Operational Level Supplemental Measures: 15- Entry into land territory, internal waters, territorial sea, and airspace of Flatland is authorized. 31- Entry into airspace of Redland is authorized. 32- Do not approach Blueland and Hilly borders closer than 15 kilometers. 19- On order, Redland units and personnel are declared hostile and may be attacked.

20. 20 ROE EXAMPLE International Armed Conflict 24- Use of all types of conventional weapons necessary to accomplish the mission is authorized. 28- Minimize incidental injury to civilians and collateral damage to civilian objects. Tactical Supplemental Measures: 25- Positive identification is required prior to opening fire. 29- Do not target military objects which are also civilian infrastructure, lines of communication, or economic targets except in self-defense.

21. 21 ROE EXAMPLE International Armed Conflict Land Forces Supplemental Measures: 42- Use of unobserved fires in built-up areas prohibited. 43- Deployment of non-command-detonated anti-personnel mines requires the prior approval of the Land Force Commander. Maritime Forces Supplemental Measures: 109- Visit & search merchant vessels in international waters approaching N. Republic & Blue; escort vessels carrying contraband to Diilsland

22. 22 ACTUAL TACTICAL ROE KFOR Kosovo Card Mission Assist in implementing & ensuring compliance with Military Technical Agreement Self-Defense 1. You have the right to use necessary and proportional force in self-defense. 2. Use only the minimum force necessary to defend yourself.

23. 23 ACTUAL TACTICAL ROE KFOR Kosovo Card General Rules 1. Use the minimum force necessary to accomplish your mission. 2. Hostile forces/belligerents who want to surrender will not be harmed. Disarm them and turn them over to your superiors. 3. Treat everyone, including civilians and detained hostile forces/belligerents, humanely.

24. 24 ACTUAL TACTICAL ROE KFOR Kosovo Card General Rules (Continued) 4. Collect and care for the wounded, whether friend or foe. 5. Respect private property. Do not steal. Do not take “war trophies”. 6. Prevent and report all suspected violations of the law of armed conflict to superiors.

25. 25 ACTUAL TACTICAL ROE KFOR Kosovo Card Challenging and Warning Shots 1. If the situation permits, issue a challenge: in English: “NATO! Stop or I will fire!” or in Serbo-Croat: “NATO! Stani ili pucam!” 2. If the person fails to halt, you may be authorized by the on-scene commander or by standing orders to fire a warning shot.

26. 26 ACTUAL TACTICAL ROE KFOR Kosovo Card Opening Fire You may open fire only if you, friendly forces, or persons or property under your protection are threatened with deadly force. This means: 1. You may open fire against an individual who fires, or aims his weapon at, or otherwise demonstrates an intent to imminently attack you, friendly forces, or persons/property with designated special status under your protection.

27. 27 ACTUAL TACTICAL ROE KFOR Kosovo Card Opening Fire (Continued) 2. You may open fire against an individual who plants, throws, prepares to throw, or otherwise demonstrates an in intent to imminently attack with an explosive or incendiary device- you, friendly forces, or persons/property with designated special status under your protection. 3. You may open fire against an individual who deliberately drives a vehicle at you, friendly forces, or persons/property with a designated special status under your protection.

28. 28 ACTUAL TACTICAL ROE KFOR Kosovo Card Opening Fire (Continued) 4. You may also fire against an individual who attempts to take possession of friendly force weapons, ammunition, or property with designated special status, and there is no other way of avoiding this. 5. You may use minimum force, including opening fire, against an individual who unlawfully commits, or is about to commit, an act which endangers life, or is likely to cause serious bodily harm, in circumstances where there is no other way to prevent the act.

29. 29 ACTUAL TACTICAL ROE KFOR Kosovo Card Minimum Force 1. If you have to open fire, you must: - fire only aimed shots, and - fire no more rounds than necessary, and - take all reasonable efforts not to unnecessarily destroy property, and - stop firing as soon as the situation permits.

30. 30 ACTUAL TACTICAL ROE KFOR Kosovo Card Minimum Force (Continued) 2. You may not intentionally attack civilians or property that is exclusively civilian or religious in character, except if the property is being used for military purposes or engagement is authorized by your commander.

31. 31 IMPLEMENTING ROE AT THE TACTICAL LEVEL TRAINING is Critical! –General ROE Training –Tactics, Techniques, Procedures –ROE Scenario Brief –Situational Training Exercises

32. 32 CONCLUSION ROE are a command & control tool Must factor in national policy, operational situation & requirements, and the law Separate ROE for self- defense and mission accomplishment Time & resources must be devoted to training personnel in the ROE

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