unclassified appendix 11 (rules of engagement) to annex c … · appendix 11 (rules of engagement)...

UNCLASSIFIED

APPENDIX 11 (RULES OF ENGAGEMENT) TO ANNEX C (OPERATIONS) TO 1/4

ABCT OPORD 21-01A (RAIDERS RALLY) (U)

C-11-1

UNCLASSIFIED

(U) REFERENCES:

a. (U) 4ID OPORD 21-01 (IRONHORSE CHALLENGE)

b. (U) CFLCC OPORD 59991-21 (CASPIAN CHALLENGE) 15 Jan 21.

c. (U) JTF CASPIAN CONPLAN 49991-20 (CASPIAN GUARD) 15 Jun 20.

d. (U) UN Security Council, S/RES/4482 (2009), 1 Nov 09.

e. (U) UN Security Council, S/RES/4555 (2009), 21 Nov 09.

f. (U) Rules of Engagement. CJCSI 3121.01A, “CJCS Rules of Engagement (Standing

ROE) for U.S. Forces,” 13 Jun 05.

g. (U) Legal Review of Rules of Engagement. DODD 3000.3, “Policy for Nonlethal

Weapons;” DODD 3025.14, “Protection and Evacuation of U.S. Citizens and Designated Aliens

in Danger Areas Abroad” (Short Title: “Noncombatant Evacuation Operations”).

h. (U) Law of War/Law of Armed Conflict. DOD Directive 5100.77, “DOD Law of War

Program,” 9 Dec 98; DOD Instruction 1000.1, “Identity Cards Required by the Geneva

Conventions,” 30 Jan 75 with CH-1, 03 Jun 75 and CH-2, 05 Jun 91; CJCSI 5810.01B,

“Implementation of the DOD Law of War Program,” 25 Mar 02; CJCSM 3141.01A, “Procedures

for the Review of Operation Plans,” 15 Sep 98.

i. (U) Reporting Violations of the Law of War. DODD 5100.77, “DOD Law of War

Program;” CJCSI 5810.01, “Implementation of the DOD Law of War Program.”

ji. (U) Treaties and International Agreements. Charter of the United Nations, 26 Jun 45; DA

Pam 27-1, “Treaties Governing Land Warfare;” DA Pam 27-24, “Selected International

Agreements, Vol. II;” DA Pam 27-161-1, “Law of Peace, Vol. I;” FM 27-10, “Law of Land

Warfare;” SECNAVINST 5820.4F, “NWP 9 (Rev. A)”/FM 1-10, “Commander’s Handbook on

the Law of Naval Operations;” NWIP 10-2, “Law of Naval Warfare;” SFP 110-20, “Selected

International Agreements;” AFP 110-31, “International Law – The Conduct of Armed Conflict

and Air Operations;” AFP 110-34, “International Law – Commander’s Guide to the Law of

Armed Conflict.”

k. (U) Nonlethal Weapons. “Tactical Employment of Nonlethal Weapons (NLW),” FM 3-

22.40; AFTTP (I) 3-2.45; USCG Pub 3-07.31; MCWP 3-15.8; NTTP 3-07.3.2.

l. (U) Nuclear, Biological, and Chemical Weapons. E.O. 11850, “Renunciation of Certain

Uses in War of Chemical Herbicides and Riot Control Agents,” 8 Apr 75; CJCSI 2030.01A,

“Chemical Weapons Convention Compliance Policy Guidance,” 09 Aug 01.

UNCLASSIFIED



C-11-2

UNCLASSIFIED

m. (U) Captured Weapons, War Trophies, Documents and Equipment. AR 608-4, “Control

and Registration of War Trophies and War Trophy Firearms,” 28 Aug 69; AR 870-

20/OPNSVINST 3460.7A/AFR 125-13/MCO 5800.6A; VCSA Message DTG 301301Z Mar 98.

n. (U) Enemy Prisoners of War. DODD 2310.1, “DOD Program for Enemy Prisoners of

War (EPWs) and Other Detainees” (Short Title: “DOD Enemy POW Detainee Program”), 18

Aug 94; CJCSI 3290.01, “Program for Enemy Prisoners of War, Retained Personnel, Civilian

Internees, and Other Detained Personnel,” 20 Mar 96; AR 190-8/OPNAVINST 3461.6/AFJI 31-

304/MCO 3461.1, “Enemy Prisoners of War, Retained Personnel, Civilian Internees and Other

Detainees,” 1 Oct 97.

1. (U) Situation.

a. (U) General. Refer to 1/4 ABCT OPORD 20-01A (RAIDERS RALLY).

b. (U) Enemy. Refer to Annex B, (Intelligence), to 1/4 ABCT OPORD 20-01A (RAIDERS

RALLY).

c. (U) Friendly. Refer to basic OPORD and Annex A, (Task Organization), to 1/4 ABCT

OPORD 20-01A (RAIDERS RALLY).

d. (U) Assumptions. Refer to 1/4 ABCT OPORD 20-01A (RAIDERS RALLY).

2. (U) Mission. When directed, 1/4 ABCT deploys forces to the area of operations and takes

action to deter and defend Azerbaijan territory against an Ahurastan attack, and, if required,

conducts offensive operations to restore the pre-conflict international borders of Azerbaijan and

Ahurastan.

3. (U) Execution.

a. (U) General.

(1) (U) Nothing in these Rules of Engagement (ROE) limits a commander’s inherent

right, authority, and obligation to use all necessary and lawful means available and to take all

appropriate actions in self-defense of the commander’s unit and other U.S. forces in the AOR as

well as certain designated personnel.

(2) (U) 4ID personnel will always comply with the Law of War (LOW) set forth in

reference f above during the conduct of all operations in support of this OPORD.

(3) (U) The ROE as set forth in reference e above and this Appendix shall be strictly

adhered to at all times during the conduct of all operations by 1/4 ABCT personnel in support of

this OPORD.

UNCLASSIFIED



C-11-3

UNCLASSIFIED

(4) (U) Military necessity does not justify any of the measures expressly prohibited by the

LOW. Every possible safeguard that does not endanger friendly lives or mission success will be

used to avoid non-combatant casualties and the indiscriminate destruction of private property

whenever actions are to be conducted in populated areas. If, in spite of the safeguards, non-

combatant casualties occur, medical treatment should be provided by the responsible

commander’s forces, subject to tactical considerations and available resources.

b. (U) Applicability.

(1) (U) These ROE apply to all U.S. and Multinational forces assigned to, attached to, or

under operational or tactical control of 1/4 ABCT until superseded.

(2) (U) ROE used by Allied Forces shall not be applicable to U.S. forces. Some coalition

forces may have a national obligation to abide by treaties and other international agreements to

which the U.S. is not a party and/or does not recognize as expressions of customary international

law, including some provisions of the Protocols to the Geneva Convention of 12 August 1949 (as

reprinted in reference h above); the 1997 Convention on the Prohibition of the Use, Stockpiling,

Production, and Transfer of Anti-Personnel Mines (APL) and on Their Destruction; and

Protocols III (Incendiaries) and (V (Blinding Lasers) to the 1980 Conventional Weapons

Convention. Refer interoperability problems arising from these differing legal obligations to the

4ID Staff Judge Advocate.

c. (U) Rules of Engagement. These ROE are in effect upon activation of 1/4 ABCT and

apply to all operations under this OPORD. Commanders should refer to the most current 1/4

ABCT ROE authorization contained in any 1/4 ABCT FRAGO to verify the current ROE

posture.

(1) (U) ROE are based upon tactical, political, and legal requirements. The rules may

change as circumstances change. They are in addition to, not in lieu of, restrictions imposed by

the Law of Armed Conflict (LOAC). In addition to the ROE as detailed in this Annex, there are

two appendices which provide further detail.

(a) (U) Weapons Release Authority Matrix. Located at TAB C, shows what level of

command may authorize the use of particular weapons systems.

(b) (U) Request for Changes to ROE. Located at TAB D, permits commanders to

request changes to the current ROE. Supplemental measures consist of detailed instructions

established by senior authorities to keep the actions of subordinates within political and military

policies. Subordinate commanders may not create supplemental measures; however, subordinate

commanders may modify these ROE provided that the modifications are more restrictive in

nature. Subordinate commanders may not make modifications to these ROE that are less

restrictive than the original 1/4 ABCT ROE authorization. Subordinate commanders may

request that their higher command issue a specific ROE provision that is less restrictive than the

original ROE in the OPORD. This request would be prepared based on the example request

UNCLASSIFIED



C-11-4

UNCLASSIFIED

located at TAB D and submitted through command channels to the 4ID SJA for initial review

prior to submission to Commander, 4ID.

d. (U) Definitions.

(1) (U) Inherent Right of Self-Defense. Unit Commanders always retain the inherent

right and obligation to exercise unit self-defense in response to a hostile act or demonstrated

hostile intent. Unless otherwise directed by a unit commander as detailed below, military

members may exercise individual self-defense in response to a hostile act or demonstrated

hostile intent. When individuals are assigned and acting as part of a unit, individual self-defense

should be considered a subset of unit self-defense. As such, unit commanders may limit

individual self-defense by members of their unit. Both unit and individual self-defense includes

defense of other U.S. military forces in the vicinity.

(2) (U) Principles of Self-Defense. All necessary means available and all appropriate

actions may be used in self-defense. Determining the appropriate level of force in self-defense

requires consideration of the following elements:

(a) (U) De-escalation. When time and circumstances permit, the forces committing

hostile acts or demonstrating hostile intent should be warned and given the opportunity to

withdraw or cease threatening actions.

(b) (U) Necessity. Exists when a hostile act occurs or when a force demonstrates

hostile intent. When such conditions exist, use of force in self-defense is authorized while the

force continues to commit hostile acts or exhibit hostile intent.

(c) (U) Proportionality. The use of force in self-defense should be sufficient to

respond decisively to hostile acts or demonstrations of hostile intent. Such use of force may

exceed the means and intensity of the hostile act or hostile intent, but the nature, duration and

scope of force used should not exceed what is required. The concept of proportionality in self-

defense should not be confused with attempts to minimize collateral damage during offensive

operations.

(3) (U) Collective Self-Defense. Defense of designated non-U.S. military forces and/or

designated foreign nationals and their property from a hostile act or demonstrated hostile intent.

Only the President or SECDEF may authorize collective self-defense.

(4) (U) Hostile Force. Any civilian, paramilitary or military force, or terrorist unit, with

or without national designation, that has been declared hostile by the President. Once a force is

declared hostile by appropriate authority, U.S. units need not observe a hostile act or a

demonstration of hostile intent before engaging that force.

(5) (U) Hostile Act. An attack or other use of force against the United States, U.S. forces

or other designated persons or property. It also includes force used directly to preclude or

UNCLASSIFIED



C-11-5

UNCLASSIFIED

impede the mission and/or duties of U.S. forces, including the recovery of U.S. personnel or vital

U.S. government property.

(6) (U) Hostile Intent. The threat of imminent use of force against the United State, U.S.

forces, or other designated persons or property. It also includes the threat of force to preclude or

impede the mission and/or duties of U.S. forces, including the recovery of U.S. personnel or vital

U.S. government property.

(7) (U) Imminent Use of Force. The determination of whether the use of force against

U.S. forces imminent will be based on an assessment of all facts and circumstances known to

U.S. forces at the time and may be made at any level. Imminent does not necessarily mean

immediate or instantaneous.

(8) (U) Economic Objects. Facilities, structures and related equipment (e.g. pipelines)

customarily associated with the production, refinement and/or storage of commercial products

such as crude oil, petroleum, petrochemicals, natural gas, fertilizers, and hydrogen.

(9) (U) Infrastructure. Facilities, structures and related equipment customarily associated

with sustaining the population (public works), such as communication facilities (television,

telephone, radio, microwave, etc.), port facilities, dams, dykes, power generation facilities,

canals and similar objects.

(10) (U) Lines of communication. Structures and related equipment such as roads,

highways, bridges, tunnels and rail systems (including rail yards and rolling stock) used for

transportation.

(11) (U) Positive target identification. Positive target identification occurs when the unit

has identified the military target with reasonable certainty. Commanders may use any

reasonably reliable means of determining the nature of the target. This includes, but is not

limited to HUMINT, SIGINT, ELINT, radar acquisition, or direct observation.

e. (U) Lawful targets. The following types of targets may be engaged by all lawful means

subject to the restrictions contained in these ROE:

(1) (U) Hostile Forces. No forces have been declared hostile at this time. Any forces,

once declared hostile by the President or other appropriate authority may be engaged by all

lawful means upon identification until neutralized, destroyed, or captured. Hostile forces may be

engaged on their status alone, there is no requirement to wait for a hostile act or the

demonstration of hostile intent. Engagement of hostile forces is subject to the following

restrictions:

(a) (U) Do not engage anyone who has surrendered.

(b) (U) Do not engage anyone who is out of battle due to sickness or wounds.

UNCLASSIFIED



C-11-6

UNCLASSIFIED

(c) (U) Do not engage aircrews descending by parachute from disabled aircraft.

(d) (U) Do not engage shipwrecked personnel.

(2) (U) Unlike when engaging declared hostile forces, 1/4 ABCT forces engaging hostile

actors should use the minimum force necessary to decisively counter the specific threat.

Warning shots are NOT authorized. When the situation permits, the following graduated steps to

the use of force should be used when dealing with hostile actors:

(a) (U) Shout. Verbal warnings to cease hostile act.

(b) (U) Show. Show of force may include an increase in numbers of troops in area or

the pointing of weapons.

(c) (U) Shove. Use of non-lethal force including all measures short of deadly force.

(d) (U) Shoot. Use of deadly force. This is deliberate, aimed fire until the threat is

eliminated.

(3) (U) Military objectives. Positive target identification is required prior to engagement

of any military objective or target.

(a) (U) Subject to any restraints outlined in these ROE, military objectives may be

engaged by all lawful means. Military objectives are those objects which, by their purpose,

nature, location, or use make an effective contribution to military action and whose destruction

offers a definite military advantage. Examples include civilian transportation vehicles and

infrastructure used to move enemy combatant personnel and equipment and civilian factories

outside of the military industrial complex which are now producing military equipment.

(b) (U) The military objectives analysis must apply the principle of proportionality –

the anticipated loss of life and damage to property incidental to attacks must not be excessive in

relation to the concrete and direct military advantage to be gained – which implements the

commander’s requirement to distinguish combatants from non-combatants and military

objectives from protected property or protected places.

(c) (U) The concept of distinction prohibits indiscriminate attacks that result in the

specific targeting of civilian populations, civilian individuals, or unnecessary or excessive

collateral damage. Collateral damage is not considered a LOAC violation. However, any

collateral damage should be reported to the 1/4 ABCT Commander, 4ID through G3 channels,

with notice to the 4ID SJA, as soon as possible with the location and extent of the collateral

damage being detailed.

UNCLASSIFIED



C-11-7

UNCLASSIFIED

(4) (U) Cultural and historic buildings, nonmilitary structures, civilian population centers,

mosques and other religious places, hospitals, and facilities displaying the Red Crescent or Red

Cross will not be attacked except when they are being used for military purposes and the force

used is justified by military necessity. A list of NO STRIKE targets will be maintained by 1/4

ABCT in support of this operation.

(5) (U) Operations will be conducted, insofar as possible, to limit adverse impact on the

indigenous civilian population and to ensure that collateral damage to civilians and civilian

objects is not excessive in light of the military advantage anticipated by military operations.

f. (U) Captured and Detained Personnel.

(1) (U) All personnel captured, surrendering, or otherwise coming into custody of 1/4

ABCT forces will be treated humanely and in accordance with domestic and international

obligations under the Law of Armed Conflict and other international obligations. All efforts will

be made to expeditiously process, transport, and detain those individuals determined to be

Enemy Prisoners of War (EPW) as outlined in AR 190-8.

(2) (U) If doubt arises over the status of a captured or detained person, an Article 5

Tribunal will be conducted in accordance with the 1949 Geneva Convention Relative to the

Protection of Civilian Persons in Time of War. Regardless of an individual’s status, all captured

or detained personnel will initially be afforded EPW rights and treatment at a minimum, until

their status is definitely determined.

g. (U) Treatment of non-combatants.

(1) (U) Host Nation law, any existing Status of Forces Agreement (SOFA), Memorandum

of Agreement (MOA), or Memorandum of Understanding (MOU) with Host Nation must be

reviewed prior to entry into Host Nation and prior to development of any operational plan that

will deal with the movement and/or treatment of Host Nation civilians.

(2) (U) Civilians are protected persons entitled to respect of both their person and

property. Do not target civilians unless in self-defense, defense of others, or defense of

designated property in response to a hostile act of demonstrated hostile intent. Report all

engagements of protected persons to the servicing judge advocate, as well as the appropriate civil

affairs element.

(3) (U) Civilian restraint and movement restriction.

(a) (U) Civilians may be restrained (arrest, detention, interrogation, disarmed, etc.) to

protect lives, property, or the security of operational facilities and areas.

(b) (U) Civilian movement may be restricted when required by military necessity.

Civilians failing to comply with movement restrictions in areas under 1/4 ABCT control may be

UNCLASSIFIED



C-11-8

UNCLASSIFIED

stopped and required to show identification and/or apprehended and detained (including their

means of transportation) using the minimum amount of force necessary.

(c) (U) Generally, civilians are denied access to secure areas/facilities (airfields,

tactical operation centers, support areas, communication centers, etc.). Those attempting

unauthorized access will be challenged, identified, and informed of access restrictions. Those

gaining unauthorized access will be apprehended using the minimum force necessary and

detained while determining if further action is warranted.

(d) (U) As a force protection measure, battalion level commanders may authorize

probable cause searches of any persons, vehicles, and/or places when there are reasonable

grounds to suspect the presence of weapons or ordnance and may seize those weapons or

ordnance. When possible, coordinate searches with local civilian authorities. Absent any hostile

or criminal acts, persons releasing weapons or ordnance to U.S. forces will be released. Others

should be turned over to local civilian authorities as soon as possible.

(4) (U) Civilian property. Do not seize civilian property without approval of a company

level commander, and only for articulated military purposes. If the property is occupied when

seized, provide the owner with a receipt describing the condition of the property and keep a

copy.

h. (U) Demolition, Mines, and Obstacles.

(1) (U) Destruction of infrastructure, to include public utilities is not authorized without

4ID Commander approval.

(2) (U) Commander 4ID may approve use of self-deactivating and command detonated

mines in support of assigned missions. Commander 4ID may delegate approval authority for the

use of self-deactivating and command detonated mines to component commanders. Further

delegations by the Commander 4ID are permitted. Use of other types of mines is not authorized

without presidential approval.

i. (U) Electronic Warfare (EW).

(1) (U) Electronic Protection (EP) is authorized. Includes actions taken to protect

personnel, facilities, or equipment from any effects of friendly or enemy employment of EW that

degrades, neutralizes, or destroys friendly combat capability.

(2) (U) Electronic Warfare Support (EWS) is authorized. Actions tasked by, or under

direct control of, an operational commander to search for, intercept, identify, and locate sources

of radiated electro magnetic energy for immediate threat recognition in support of EW operations

and other tactical actions such as threat avoidance, targeting, and homing.

UNCLASSIFIED



C-11-9

UNCLASSIFIED

(3) (U) Electronic Countermeasures (Electronic Combat) is authorized. This includes the

use of electromagnetic or directed energy to attack personnel, facilities, or equipment with the

intent of degrading, neutralizing, or destroying enemy combat capabilities.

j. (U) Air Defense Artillery. WCS Hold. Do not fire except in self-defense or in response

to a formal order.

k. (U) Air-Operations and Naval Operations.

(1) (U) Offensive Counter Air (OCA) operations are authorized.

(2) (U) Air-Interdiction (AI) is authorized.

(3) (U) All pilots will be briefed on location of friendly positions, hostile positions, and

particularly enemy air defense positions.

(4) (U) Engagement of enemy civilian aircraft is not authorized without 4ID Commander

approval.

l. (U) Close Air Support Targets. Positive target identification is required prior to

engagement. Positive target identification means that the unit has identified the military target

with reasonable certainty. Commanders may use any reasonably reliable means of determining

the nature of the target. This includes, but is not limited to HUMINT, SIGINT, ELINT, radar

acquisition, or direct observation.

m. (U) Illumination. Use of all illumination systems is authorized.

n. (U) Riot Control Agents (RCA). Use of RCAs for combat operations is prohibited.

o. (U) Cross-Border Operations.

(1) (U) Entry into the airspace, land territory, internal waters, and territorial seas of

Georgia, Azerbaijan, and Armenia is authorized to conduct assigned missions.

(2) (U) Entry into the airspace, land territory, internal waters, and territorial seas of

Georgia, Azerbaijan, Armenia, and Turkey is authorized to conduct personnel recovery

operations.

p. (U) Tasks.

(1) (U) 4ID. Subordinate and attached unit ROE that supplement or interpret 4ID Rules

of Engagement will be forwarded to 4ID Commnader for approval.

UNCLASSIFIED



C-11-10

UNCLASSIFIED

(2) (U) Service Components and Supporting Commands. Inform members of their

command of these ROE and emphasize the importance of minimizing collateral damage.

q. (U) Coordinating Instructions.

(1) (U) Service Components and Supporting Commands will disseminate this Appendix

and supplemental ROE Authorization serials to subordinate commands. Service Components

and Supporting Commands will ensure that their soldiers know, understand, and follow all ROE.

Subordinate Service Component and Supporting Commands will prepare ROE cards. Cards will

be submitted to the 4ID Staff Judge Advocate for review and approval.

(2) (U) Provisions for supplementation or interpretation will not have the effect of

circumventing any part of these ROE.

(3) (U) Commanders can expect to receive amended supplemental ROE measures from

higher authority that provide modifications, deletions, or additions to current ROE. ROE may be

modified by:

(a) (U) Direction of high authority. (b) (U) Component commanders can modify these ROE, provided such modifications

are compatible with the intent of these ROE and readiness procedures, result in a more restrictive or definitive rule, enhance mission accomplishment, and do not impair the commanders’ inherent right of self-defense.

(c) (U) If operationally required, subordinate commanders will promulgate additional

ROE/amplified ROE guidance applicable to forces under their command and will submit them to

commander, 4ID for review/approval. Use of TAB D to this Appendix to request modifications

is recommended. Commanders will be instructed to ensure that modified ROE:

1. (U) Remain compatible with the intent of these ROE. 2. (U) Result in more definitive guidance to subordinate commanders. 3. (U) Do not impair the commander’s inherent right of self-defense.

4. (U) Sustainment. Refer to Annex F (Sustainment) and Annex P (Host-Nation Support).

5. (U) Command and Signal.

a. (U) Command. See base OPORD and SOP.

b. (U) Control.

UNCLASSIFIED



C-11-11

UNCLASSIFIED

(1) (U) Command Posts. See base OPORD and SOP. (2) (U) Reports.

(a) (U) Reporting IAW 4ID staff requirements.

(b) (U) Service Components and Supporting Commands will submit timely requests for supplemental ROE to 4ID when changes in ROE are necessary to support courses of action or the situation dictates. Requests in narrative format are authorized. Should the situation require an immediate response, voice requests for supplemental ROE may be submitted to 4ID Commander via the command net. Voice requests will be followed by an amplifying message.

(c.) (U) Violations of the ROE will be reported immediately through command

channels to 4ID Commander for investigation. c. (U) Signal. Refer to Annex H (Signal).

ACKNOWLEDGE:

__________

MG

OFFICIAL:

_____________

SJA

ATTACHMENTS: Tabs: A - No Strike List - TBP B - Restricted Target List - TBP C - Weapons Release Authority Matrix D - Request for Changes to ROE

E - ROE Matrix

UNCLASSIFIED

TAB C (WEAPONS RELEASE AUTHORITY MATRIX) TO APPENDIX 11 (RULES OF

ENGAGEMENT) TO ANNEX C (OPERATIONS) TO TO 1/4 ABCT OPORD 20-01A

(RAIDERS RALLY) (U)

UNCLASSIFIED

C-11-C-1

1. (U) This matrix shows who has authority to employ various weapon systems in operations

other than self-defense.

- “X” marks the lowest level of release authority. Higher levels are clearly included.

- Subordinate commanders may further restrict release authority below their levels.

- This matrix does not restrict the use of any weapon system in self-defense. Weapon

systems used should be proportional to the threat and consider collateral damage.

Serial Weapon Level of Command With Release Authority Notes

COM

JTF

CFLCC DIV BDE BN CO PLT IND

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

1. Personal

Weapon

X

2. Machine

Gun

X

3. Grenade

X

4. Light AT

Weapon

X Dragon &

Javelin

5. Heavy AT

Weapon

X TOW

6. Mortar (Illum/Smk)

X

7. Mortar

(HE)

X

8. Artillery X

9. Air Defense

System

X

UNCLASSIFIED

TAB C (WEAPONS RELEASE AUTHORITY MATRIX) TO APPENDIX 11 (RULES OF

ENGAGEMENT) TO ANNEX C (OPERATIONS) TO TO 1/4 ABCT OPORD 20-01A

(RAIDERS RALLY) (U)

UNCLASSIFIED

C-11-C-2

Serial Weapon Level of Command With Release Authority Notes

COM

JTF

CFLCC DIV BDE BN CO PLT IND

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

10. Attack

Helicopters

X

11. Close Air

Support

X

12. Mines X Subject to

emplace-

ment

restrict-

tions.

See rules

41-50.

13. Demolition X

14 RCA

- Rear

Echelon

Offensive

Use

X PRES/

SECDEF

UNCLASSIFIED

TAB D (REQUEST FOR CHANGES TO ROE) TO APPENDIX 11 TO ANNEX C

(OPERATIONS) TO TO 1/4 ABCT OPORD 20-01A (RAIDERS RALLY) (U)

UNCLASSIFIED

C-11-D-1

MEMORANDUM THRU ________________________

FOR COM4ID, ATTN: SJA

SUBJECT: ROE or Weapons Release Authority Change/Supplemental Measure Request (U)

1. (U) Description of the ROE change requested: (self-explanatory, refer to the rule number)

2. (U) Reason for requesting ROE change: (does the change address a current or anticipated

problem?)

______

3. (U) Justification for ROE change: (provide a reasoned explanation for the requested change)

4. (U) Unit point of contact (name, unit, phone number, and electronic email address):

UNCLASSIFIED

TAB E (ROE MATRIX) TO APPENDIX 11 TO ANNEX C (OPERATIONS) TO TO 1/4


UNCLASSIFIED

C-11-E-1

RULES OF ENGAGEMENT – IN EFFECT IN AZERBAIJAN

Phase I Phase II & III

Rule HOSTILE FORCE STATUS

1 X X Standing Rules of Engagement. Use necessary and proportional force in self-defense of hostile acts or intent.

2 X AH Hostile Force Declared by NCA. Engage identifiable AH enemy forces on order. Combat ROE. Engage enemy until neutralized.

Rule Phase I Phase II & III

Not in Effect WEAPON AND AMMUNITION STATUS

11 X Carry weapons, no ammunition.

12 X Carry weapons, ammunition in pouch.

13 X Carry weapons, ammunition loaded, uncharged.

14 X Carry weapons, ammunition loaded, charged (locked and loaded).

Rule


Not in Effect GRADUATED FORCE AGAINST NON-COMBATANTS

21 X X SHOUT. Verbal order to halt or disband.

22 X X SHOW. Show weapons or threat of force.

23 X X SHOVE. Use physical force to restrain individuals.

24 X SHOOT to warn (warning shot).

25 X X SHOOT to disable, or SHOOT to kill. Deadly force Authorized in self-defense. Use only necessary force, proportional to the threat. Minimize collateral damage to bystanders.

UNCLASSIFIED



UNCLASSIFIED

C-11-E-2

Rule

Phase I Phase II & III STOPPING NON-COMBATANT VEHICLES/ DETENTION OF NON-COMBATANTS

26 X X Stopping civilian vehicles for security purposes authorized.

27 X X Disabling fire to stop any vehicle that does not stop on order authorized.

28 X X Detention of civilians authorized for security purposes.

29 X X Use of force authorized to protect civilian noncombatants from acts of violence. Deadly force authorized to prevent or stop violent crimes such as murder, rape, arson or assaults likely to result in serious bodily injury or death.

29A X X Use of force authorized to protect personnel from the Red Cross/ Crescent, UN, and U.S./UN Supported Organizations.

Rule Phase I Phase II & III TARGET IDENTIFICATION

31 X Positive identification is to be established visually. Targets in the vicinity of units in close contact must be identified by a friendly ground or air observer. Unobserved indirect fires will not be directed against targets in populated areas unless one of the following conditions is satisfied: (1) Force in contact and in serious danger of being overrun. (2) Directed or approved by CDR, 4ID.

32 X Targeting of public utilities such as power generation or distribution facilities, water treatment plants, civilian communications nodes, radio or television towers, dams, dikes, levees, chemical plants or nuclear power plants, or oil refineries authorized with prior approval from CDR, 4ID.

33 X No fires or air strikes will be directed across any international boundary or within any nation’s air or sea space outside of Azerbaijan without Presidential approval except when necessary for immediate self-defense.

33A X Fires and air strikes across the international boundary or within the air or sea space of AH are authorized.

Rule Phase I Phase II & III TARGET IDENTIFICATION

UNCLASSIFIED



UNCLASSIFIED

C-11-E-3

Rule Phase I Phase II &

III Not in Effect DEMOLITION, MINES, AND OBSTACLES

41 X Preparation of non-explosive barriers and obstacles only for perimeter security of fixed installations authorized.

42 X Preparation of non-explosive barriers and obstacles in attack zones, assembly areas or attack positions authorized.

43 X Preparation but not the execution of demolition in specified areas designated by higher headquarters authorized. (Guard until executed.)

44 X Laying, arming and detonating command detonated anti-personnel mines (Claymores) in declared secure areas, safe areas, or military restricted areas for protection, subject to marking, fencing, and reporting exact location of all mined areas IAW FM 20-32 authorized.

45 X

Emplacement and arming of remotely controlled minefields (MOPMS), subject to marking, fencing, and reporting exact locations of all mined areas IAW FM 20-32 authorized. Emplacement authority rests with the DIV COM and is further delegable no lower than BN CDR.


Not in Effect DEMOLITION, MINES, AND OBSTACLES

46 X

Use of scatterable ground delivered mines (FASCAM includes, RAAM, ADAM, ground delivered Volcano, and PDM) authorized. 4

34 X* (entry

into airspace, land territory,

internal waters, and

territorial seas of

Georgia, AZ and AR

authorized to conduct assigned missions)

No ground operations, to include “hot pursuit” of enemy forces in contact, will be conducted across any international boundary or within any nation’s air or sea space outside of Azerbaijan without Presidential approval.

34A X Ground operations, to include “hot pursuit” of enemy forces in contact, across the international boundary or within the air or sea space of AH are authorized.

UNCLASSIFIED



UNCLASSIFIED

C-11-E-4

HR ADAM, RAAM, and VOLCANO emplacement authority is DIV COM forward of the CFL, Dep COM4ID behind the CFL, and on order the Cdr of the Reserve. Emplacement authority may not be delegated below BDE level without approval of COM4ID.

47 X *(not

authorized w/o 4ID CDR

Approval)

X Destruction of dams, bridges and tunnels authorized.

48 X* (not


approval)

X Destruction of public utilities: electrical stations, power plants, water treatment plants, and railyards authorized.


ELECTRONIC WARFARE (These rules do not constrain the use of passive EP or self defensive EP)

51 X X Electronic Protection (EP) authorized. Actions taken to protect personnel, facilities, or equipment from any effects of friendly or enemy employment of EW that degrades, neutralizes, or destroys friendly combat capability.

52 X X Electronic Warfare Support (ES) authorized. Actions tasked by, or under direct control of, an operational commander to search for, intercept, identify, and locate sources of radiated electromagnetic energy for immediate threat recognition in support of EW operations and other tactical actions such as threat avoidance, targeting, and homing.

53 X Electronic Countermeasures/Electronic Counter-Countermeasures (ECM/Electronic Attack)(Joint Manuals refer to this as Electronic Combat) authorized. The use of electromagnetic or directed energy to attack personnel, facilities, or equipment with the intent of degrading, neutralizing, or destroying enemy combat capabilities.

UNCLASSIFIED



UNCLASSIFIED

C-11-E-5


Not in Effect AIR DEFENSE ARTILLERY

(Weapons Control Status (WCS))

61 X WCS Hold. Do not fire except in self-defense or in response to a formal order.

62 X WCS Tight. Fire only at air targets positively identified as hostile according to the prevailing hostile criteria promulgated by the Air Control Authority.

63 X WCS Free. Fire at any target not positively identified as friendly.


AIR-OPERATIONS

71 X X Brief pilots on location of friendly positions, enemy positions, and particularly enemy air defense positions.

72 X Offensive Counter Air (OCA) authorized.

73 X Air-Interdiction (AI) authorized.

74 X Close Air Support (CAS) authorized. Targets in the vicinity of units in close contact must be identified by a friendly ground or air observer.

75 X” (not


Approval)

X Engagement of enemy civilian aircraft engaged in the following activities authorized: (1) Are engaging in acts of war on behalf of the enemy. (2) Acting as an auxiliary aircraft to an enemy’s armed forces. (3) Are incorporated into the enemy’s intelligence-gathering system. (4) Flying under the protection of accompanying enemy warships or military aircraft. (5) Refusing to identify itself, divert from its track, or proceed for visit and search to a belligerent airfield that is safe for that type of aircraft involved and reasonably accessible, or operating fire control equipment that could reasonably be construed to be part of an aircraft weapon system, or on being intercepted clearly maneuvering to attack the intercepting belligerent military aircraft. (6) Being armed with air-to-air or air-to-surface weapons. (7) Other wise making an effective contribution to military action


Not in Effect NAVAL OPERATIONS

76 X Engagement of AH military vessels authorized.

77 X Destruction of enemy merchant vessels

UNCLASSIFIED



UNCLASSIFIED

C-11-E-6

under the following circumstances are authorized: (1) Persistently refusing to stop upon being duly summoned to do so. (2) Actively resisting visit, search, or capture. (3) Sailing under convoy of enemy warships. (4) If armed. (5) If assisting, in any way the intelligence system of the enemy’s armed forces. (6) If acting in any capacity as a naval or military auxiliary to an enemy’s armed forces.

Rule


Not in Effect CLOSE AIR SUPPORT (CAS) TARGETS (To control the risk of collateral damage during operations which use technical means of target

designation such as close air support (CAS) and Naval Gunfire Support.

81 X* Targets are to be designated visually (observed fire, laser, or marker rounds).

82 X Targets are to be designated by the most feasible military means available (observed fire, laser, marker rounds, radar, and beacons

*Targets in the vicinity of units in close contact must be identified by a friendly ground or air observer.


ILLUMINATION

91 X Use of searchlights for illumination authorized.

92 X Use of pyrotechnics or flares for illumination authorized.

93 X Use of illuminating rounds (starshell) for illumination authorized.

94 X X Use of all illumination systems authorized.


RIOT CONTROL AGENTS

(RCAs may only be employed in defensive military modes to save lives in areas under direct military control)

101 X * No RCA authorized in combat

ops

No use of RCA without PRES/SECDEF or delegated approval.

102 X* (Division

Cdr release authority for all uses of

RCA)

RCA use authorized to control rioting prisoners of war.

103 X RCA use authorized in rear echelon areas outside the zone of immediate combat to protect from civil disturbances, terrorists, and paramilitary organizations.

104 X RCA use authorized in Non-Combatant Evacuation

UNCLASSIFIED



UNCLASSIFIED

C-11-E-7

Operations where civil disturbances threaten operations outside the zone of combat.

106 X RCA use authorized to disperse civilians used to mask hostile forces.

107 x RCA use authorized in rescue missions in combat areas for downed aircrews and passengers.

Chemical Weapons. -Use of chemical weapons is prohibited. -Riot Control Agents (RCAs). RCAs may only be used upon receipt of proper authorization and when directed by higher headquarters. RCAs may only be employed in defensive military modes to save lives in areas under direct military control. Examples include: 1) Rioting prisoners of war. 2) Rear echelon areas outside the zone of immediate combat to protect convoys from civil disturbances, terrorists, and paramilitary organizations. 3) Non-Combatant Evacuation Operations where civil disturbances, terrorists, or others threaten the operation in rear areas outside the zone of combat. -RCAs may not be employed in the following situations. 1) When civilians are used to mask or screen hostile forces. 2) Rescue missions in combat areas for downed aircrews and passengers. -Cayenne Pepper. Cayenne pepper is recognized as an RCA by the Chemical Weapons Convention Treaty. Use requires authorization from higher headquarters. -Herbicides. Herbicides may only be used upon receipt of proper authorization and when directed by higher headquarters.