NATO Bi-SC 75-3 Exercise Directive (1 Aug 07)

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NORTH ATLANTIC TREATY ORGANISATION

Supreme Allied Commander, Europe B-7010 SHAPE Belgium

Supreme Allied Commander, Transformation Norfolk, Virginia 23551-2490

United States of America SH J7/TEX/003/EC/07 – 202670 3000 TI-35 / Ser: NU0032 TO: See Distribution SUBJECT: Promulgation of Bi-SC 75-3 Exercise Directive DATE: 1 August 2007 REFERENCE: A. Bi-SC Letter SH J7/TEX/003/VV/06-106848/3000 TI-

30/Ser:NU0112, dated 27 Feb 06 1. The Interim version of Bi-SC Exercise Directive 75-3 was promulgated at Reference A, with the intension of a one-year trial period and a review, leading to a final version. Please now find attached the final Bi-SC 75-3 Exercise Directive. 2. This Directive provides Bi-Strategic Command strategic direction pertaining to the NATO military exercise process, and should be used as a comprehensive guideline on how to plan for, execute and assess a NATO military exercise. 3. This Bi-SC Exercise Directive 75-3 has been updated to more fully transform the legacy event-driven exercise planning process into a coherent product-oriented process that reflects the NATO Command Structure and better enables exercise design, planning, execution and assessment. However, there have been no changes introduced based upon possible conclusions of the ACO/ACT directed trial of various delineations of ‘OCE’ roles and responsibilities being conducted for selected STEADFAST Exercises during 2007/2008. Although generally following the ED guidelines and methodology, noticeable disparities between the ED and the actual processes used for specific exercises involved in the trial may occur. 4. This Directive has been developed to reflect the changes in NATO that have occurred over past years and the experiences gained during the trial period. It will come into effect immediately and be a living document under the custodianship of Bi- Strategic Commanders.

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FOR THE SUPREME ALLIED COMMANDERS, EUROPE AND TRANSFORMATION: Rainer Schuwirth Jan Arp General, DEU A Lieutenant-General, CAN F Chief of Staff Chief of Staff ENCLOSURE: 1. Bi-SC 75-3 Exercise Directive DISTRIBUTION: External – Action: JFC HQ Brunssum JFC HQ Naples Joint HQ Lisbon PCC (For Distribution to Partner Nations) HQ NAEW&C FC HQ ASC Joint Warfare Centre Joint Forces Training Centre Joint Analysis and Lessons Learned Centre CC-Mar HQ Northwood CC-Mar HQ Naples CC-Land HQ Heidelberg CC-Land HQ Madrid CC-Air HQ Ramstein CC-Air HQ Izmir NCSA HQ Information: HQ STRIKFORNATO HQ FRMARFOR HQ ITMARFOR HQ SPMARFOR HQ UKMARFOR HQ ARRC HQ NRDC-GENL HQ NRDC-IT HQ NRDC-SP



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HQ NRDC-TU HQ EC HQ FR RRC HQ MNC NE HQ 2nd PL CORPS HQ NDC-GR Internal – Action: SHAPE: ACOS J7 HQ SACT: JEEA JET List III (NLRs) Information: SHAPE: SO NMR Echelon DCOS OPS DCOS SPT ACOS J1 ACOS J2 ACOS J3 ACOS J4 ACOS J5 ACOS J6 ACOS J8 ACOS J9 POLAD LEGAD PIO PROTOCOL



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Supreme Allied Commander, Europe 7010 SHAPE Belgium


United States of America

Bi-SC EXERCISE DIRECTIVE 75-3

1 AUGUST 2007


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Supreme Allied Commander, Europe 7010 SHAPE Belgium


United States of America

Bi-SC DIRECTIVE 1 August 2007 NUMBER 75-3 Bi-STRATEGIC COMMAND (Bi-SC) EXERCISE DIRECTIVE

This directive is effective immediately and supersedes the Bi-SC Directive 75-3 (Interim) dated 15 February 2006.

1. Promulgation. This directive is an overarching document for the Bi-SCs’ Exercise programme. This Directive provides Bi-Strategic Command strategic direction pertaining to the NATO military exercise process and it should be used as a comprehensive guideline on how to plan, execute and assess a NATO military exercise. 2. Implementation. The SCs, the ACT Centres, the J(F)Cs and their Component/Combatant Commands are to apply this directive when they next develop their supplementary exercise directives. 3. Interim Changes. Interim changes will be authorised by both SCs and approved and by the Directors of Staff. Bi-SC DIR 75-3 will be a living document. The Bi-SCs will ensure an appropriate revision period. 4. Distribution. This directive is to be distributed in accordance with the distribution list. Addressees are responsible for the subsequent reproduction and distribution of the Directive, including subsequent changes, to their subordinate formations as appropriate. FOR THE SUPREME ALLIED COMMANDERS, EUROPE AND TRANSFORMATION:

Rainer Schuwirth Jan Arp General, DEU A Lieutenant-General, CAN F Chief of Staff Chief of Staff


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DISTRIBUTION: External – Action: JFC HQ Brunssum JFC HQ Naples Joint HQ Lisbon PCC (For Distribution to Partner Nations) HQ NAEW&C FC HQ ASC Joint Warfare Centre Joint Forces Training Centre Joint Analysis and Lessons Learned Centre CC-Mar HQ Northwood CC-Mar HQ Naples CC-Land HQ Heidelberg CC-Land HQ Madrid CC-Air HQ Ramstein CC-Air HQ Izmir NCSA HQ Information: HQ STRIKFORNATO HQ FRMARFOR HQ ITMARFOR HQ SPMARFOR HQ UKMARFOR HQ ARRC HQ NRDC-GENL HQ NRDC-IT HQ NRDC-SP HQ NRDC-TU HQ EC HQ FR RRC HQ MNC NE HQ 2nd PL CORPS HQ NDC-GR Internal – Action: SHAPE: ACOS J7 HQ SACT:


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JEEA JET Information: SHAPE: SO NMR Echelon (to include all NMRs/MM) DCOS OPS DCOS SPT ACOS J1 ACOS J2 ACOS J3 ACOS J4 ACOS J5 ACOS J6 ACOS J8 ACOS J9 POLAD LEGAD PIO PROTOCOL HSG S1 Central Records HQ SACT: List III (NLRs)


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Frontispiece This Directive provides Bi-Strategic Command strategic direction pertaining to the NATO military exercise process and it should be used as a comprehensive guideline on how to plan, execute and assess a NATO military exercise. In order to portray all of the inter-related exercise process requirements the most intense, difficult and complex exercise is modelled in this directive. As a result, there are multiple requirements listed, which indeed are necessary to be fulfilled in a complex exercise but may not be required for a less complex exercise. For those exercises supported by the JWC, JFTC, JALLC and/or the OPD, specific details are added peculiar to the support available.

This Bi-SC Exercise Directive (ED) has been updated to more fully transform the legacy event-driven exercise planning process into a coherent product-oriented process that reflects the NATO Command Structure and better enables exercise design, planning, execution and assessment.1 The ED is directive for the SCs and their subordinate commands, agencies and centres as specified in Paragraph 1-6 herein. Significant changes are:

• Elaborates on the role of ACT and its subordinates (JJJs) in support of ACO collective training and exercises.

• Introduces “Officer Directing the Exercise (ODE)” to describe the roles and responsibilities of a supporting organisation, typically from ACT (JWC/JFTC), which may be designated by the OSE to provide the senior officer directing an exercise and provide training and exercise support to the OCE during the Exercise Process.

• Restructures the Exercise Process into the stages, activities steps and deliverables rather than a structure of conferences.

• Establishes a nominal exercise process period of 12 months between the final draft EXSPEC and the start of Exercise Phase III for major exercises, recognising that a specific exercise may be further constrained to the time available.

• Clarifies the intent of the various exercise planning documents and combines the former Exercise Planning Instruction (EXPI) and the Exercise Operations Plan (EXOPLAN) from the Bi-SC Exercise Planning Guide into a single Exercise Plan (EXPLAN) document.

• Names commanders’ exercise guidance issued by the OSE as “Exercise Guidance” and OCE as “Exercise Planning Guidance”.

• Establishes the term OPR (Officer with Primary Responsibility) as the designated staff officer in each HQs, agency and centre with primary responsibility for coordinating the planning, preparation, execution and analysis of an exercise on behalf of his commander. In this directive, specific OPRs are identified with the appropriate prefix; for example; “OSE OPR”.

• Incorporates the Operational Preparation Directorate’s (OPD) role and responsibilities only for NRF related exercises as appropriate in the main body as well as at Annex O.

• Renamed the “execution” stage of the EP to “Operational Conduct” stage to fall under the Systems Approach to Training “Conduct” step and to minimise confusion with the Exercise Training Model “Execution” Phase.

1. There is a current ACO/ACT directed series of ‘OCE’ trials (essentially regarding the

delineation of ‘OCE’ roles and responsibilities) being conducted for various STEADFAST Exercises during 2007/8. Although generally following the guidelines and methodology of the ED, noticeable disparities between the contents of the main document and the current Exercise planning, policy and procedures for specific exercises involved in the trial may occur.


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Recommendations for Changes to the Bi-SC Draft Exercise Directive 75-3 The Bi-SC Exercise Directive (75-3) Comment format below is to be used to record and report any recommendations/changes to the Bi-SC Exercise Directive 75-3. Users are requested to submit recommendations/comments to the appropriate POC; ACO users to SHAPE J7 TEX; ACT users to SACT TI-355 and partner users to PCC. Comments Provided by: (Enter HQs/Office/Name/Contact details) Date: Serial Chap/Anx1 Para2 Comment/Recommendation3 Rationale/Justification

001 002 003 004 005 006 007 008 009 010 011 012 013 014 015 016 017 018 019 020

1. Identify the chapter, annex or appendix. Examples: Ch 2; Annex D; Appendix D-6. 2. Examples: 2.4.c.(1); 6.5. 3. Including proposed words, reference, etc; if extensive, attach separate document with file name referenced to Comment Serial.


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Log of Changes and Updates

Date Para Change Remarks


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Table of Contents Bi-SC DIRECTIVE ................................................................................................................... i Frontispiece.......................................................................................................................... iv Table of Contents................................................................................................................ vii References …………………………………………………………………………………………. x 1 - INTRODUCTION............................................................................................. 1-1

1-1 Aim of NATO Military Exercises............................................................................. 1-1 1-2 General .................................................................................................................. 1-1 1-3 Aim......................................................................................................................... 1-1 1-4 Scope..................................................................................................................... 1-1 1-5 Organisation .......................................................................................................... 1-2 1-6 Applicability ............................................................................................................ 1-2 1-7 Methodology .......................................................................................................... 1-2 1-8 Exercise Process Key Terms................................................................................. 1-3 1-9 NATO Exercise-Related Documents ..................................................................... 1-6 1-10 NATO Systems Approach to Training (SAT)........................................................ 1-9 1-11 NATO Exercise Training Model.......................................................................... 1-10 1-12 Exercise Steps, Stages and Phases Interrelationships...................................... 1-11 1-13 Exercise Relationships between the Strategic Commanders............................. 1-11 1-14 ACO Exercise Roles and Responsibilities.......................................................... 1-12 1-15 ACT Exercise Roles and Responsibilities .......................................................... 1-14 1-16 Partnership Coordination Cell (PCC) Exercise Roles and Responsibilities ....... 1-16 1-17 Exercise Programming ....................................................................................... 1-16 1-18 ACT JJJ Programme of Work............................................................................. 1-17 1-19 The NATO Training Process vs Internal HQs Training Programmes................. 1-18 1-20 Security of NATO Classified Information............................................................ 1-19

2 - THE NATO EXERCISE PROCESS ................................................................ 2-1 2-1 Introduction ............................................................................................................ 2-1 2-2 Exercise Concept and Specification Development Stage...................................... 2-1 2-3 Exercise Planning and Product Development Stage ............................................. 2-3 2-4 Exercise Operational Conduct Stage..................................................................... 2-4 2-5 Exercise Analysis and Reporting Stage................................................................. 2-5

3 - EXERCISE CONCEPT AND SPECIFICATION DEVELOPMENT STAGE .... 3-1 3-1 Introduction ............................................................................................................ 3-1 3-2 Preconditions ......................................................................................................... 3-1 3-3 Concept and Specification Development Stage Deliverables................................ 3-4 3-4 Concept and Specification Development Stage Main Roles and Responsibilities. 3-6 3-5 Concept and Specification Development Process Key Activities........................... 3-7

4 - EXERCISE PLANNING AND PRODUCT DEVELOPMENT STAGE ............. 4-1 4-1 Introduction ............................................................................................................ 4-1 4-2 Planning and Product Development Stage Deliverables ....................................... 4-5 4-3 Planning and Product Development Stage Roles and Responsibilities................. 4-7 4-4 Planning and Product Development Process Key Activities .................................. 4-8

5 - EXERCISE OPERATIONAL CONDUCT STAGE........................................... 5-1 5-1 Introduction ............................................................................................................ 5-1 5-2 Definitions .............................................................................................................. 5-1 5-3 Operational Conduct Stage Deliverables............................................................... 5-1 5-4 Operational Conduct Stage Roles and Responsibilities ........................................ 5-2 5-5 Operational Conduct Stage Process Key Activities ............................................... 5-5


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6 - EXERCISE ANALYSIS AND REPORTING STAGE ...................................... 6-1 6-1 Introduction ............................................................................................................ 6-1 6-2 Exercise Analysis and Reporting Data/Information Categories ............................. 6-1 6-3 Exercise Analysis and Reporting Stage Deliverables ............................................ 6-3 6-4 Exercise Analysis and Reporting Stage Process Key Activities ............................ 6-5

Annex A. Glossary of Abbreviations, Acronyms, Terms and Definitions ................A-1 Annex B. Roles and Responsibilities in the Exercise Process .................................B-1 Annex C. Exercise Planning Group and Core Planning Team Terms of ReferenceC-1 Annex D. Exercise Process Deliverable Templates....................................................D-1 Annex E. Exercise Process Milestones and Timings.................................................E-1 Annex F. Guide to Exercise Budgeting .......................................................................F-1 Annex G. Guide to Planning CIS Support to NATO Exercises ................................. G-1 Annex H. Roles and Responsibilities of the Exercise Control Staff .........................H-1 Annex I. Visitors, Observers and Inspectors.............................................................. I-1 Annex J. Public Information (PI) Considerations....................................................... J-1 Annex K. Force Protection (FP) Considerations.........................................................K-1 Annex L. Host Nation Support Considerations ..........................................................L-1 Annex M. Scenario Development................................................................................. M-1 Annex N. Modelling and Simulation Support to Exercises........................................N-1 Annex O. OPD Support TO NRF EXERCISES............................................................. O-1 Annex P. Operational Experimentation Integration....................................................P-1 Annex Q. Live Exercises and Environmental Protection Considerations ............... Q-1 Annex R. Military Cooperation Programmes...............................................................R-1 Annex S. Lessons Identified in the Exercise Process ...............................................S-1 Annex T. Security Guidance for Partners/Non-NATO Organisations as Exercise Process Participants and Observers ...............................................................................T-1 Annex U. Templates for EXPLAN Annexes .................................................................U-1

Table of Figures Figure 1-3 SAT Model Steps / Exercise Process Stages Interrelationships ........................ 1-9 Figure 1-4 NATO Exercise Training Model Phases ........................................................... 1-10 Figure 1-5 Exercise Steps, Stages and Phases Interrelationships .................................... 1-11 Figure 1-6 ACT JJJ Programme of Work Staff Process .................................................... 1-17 Figure 2-1 The Exercise Process Overview......................................................................... 2-1 Figure 3-1 Exercise Concept and Specification Development Process............................... 3-2 Figure 3-2 Exercise Levels, Forms and Types ................................................................. 3-10 Figure 4-1 Exercise Planning and Product Development Stage Overview.......................... 4-1 Figure 4-2 Planning and Product Development Stage Activities 1 through 4 ...................... 4-2 Figure 4-3 Planning and Product Development Stage Activities 5 through 8 ...................... 4-3 Figure 4-4 Planning and Product Development Stage Activities 9 through 11 .................... 4-4 Figure 4-5 Exercise of Operational Planning Process for a CPX......................................... 4-7 Figure 4-6 Exercise of Operational Planning Process for a LIVEX...................................... 4-7


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Figure 5-1 Exercise Operational Conduct Stage Overview ................................................. 5-1 Figure 5-2 Notional Phase II EXCON Organisation ............................................................. 5-2 Figure 5-3 Notional Sub-Phase IIIA EXCON Organisation .................................................. 5-3 Figure 5-4 Notional Sub-Phase IIIB EXCON Organisation for a Major CPX........................ 5-3 Figure 6-1 Exercise Analysis and Reporting Stage Overview ............................................. 6-1 Figure A-1 NATO Military Exercise Categories................................................................A-15 Figure A-2 Real, Synthetic, Fictionalised and Fictitious Scenario Design Relationships.A-32 Figure H-1 JWC EXCON Model...........................................................................................H-1 Figure H-2 JWC EXCEN Model ..........................................................................................H-4 Figure N-1-1 Simulation during a CPX............................................................................ N-1-2


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References This Bi-SC directive implements the following Military Committee policy documents insofar as they pertain to NATO military exercises. The remaining reference documents are identified in the text or in footnotes at their first point of reference.

MC 53/3 Terms of Reference for the Supreme Allied Commander Europe (Final)(NR), 6 August 2004

MC 58/3 Terms of Reference for the Supreme Allied Commander Transformation (Final)(NR), 6 August 2004

MC 94/4 Military Committee Policy on the Conduct of NATO Exercises [Funding chapter and annex only] (Final)(NU/PfP/WEU), 14 February 2001

MC 195/7 NATO Minimum Interoperability Fitting Standards for Communications and Information Systems (CIS) Equipment onboard Ships, Submarines and Maritime Aircraft (Final)(NR), 20 February 2006

MC 317/1 The NATO Force Structure (Final)(NR), 8 July 2002 MC 324/1 The NATO Military Command Structure (Final)(NR), 28 May 2004 MC 389/2 MC Policy on NATO’s Combined Joint Task Force (CJTF) (Military

Decision)(NR), 4 May 2004 MC 400/2 MC Guidance for Military Implementation of Alliance Strategy (Final)(NC), 23

May 2000 MC 411/1 NATO Military Policy on Civil-Military Cooperation (CIMIC) (Final)(NU), 17

July 2001 MC 457 NATO Military Policy on Public Information (Final)(NU/PfP), 14 June 2001 MC 458/1 NATO Education, Training, Exercise and Evaluation Policy (Final)(NU/PfP),

27 March 2006 MC 477 Military Concept for the NATO Response Force (Final) (NR), 18 June 2003 MC 510 Terms of Reference for Directors JWC, JFTC & JALLC (Final)(NR), 30 April

2004 MC 550 MC Guidance for the Military Implementation of the CPG (Final)(NR), 27 July

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1 - INTRODUCTION

1-1 Aim of NATO Military Exercises The aim of NATO military exercises as described in MC 400/2, MC Guidance for the Military Implementation of Alliance Strategy, is:

“. . . to establish, enhance and display NATO’s Military Capabilities across the Alliance's full mission spectrum and to exercise the current Command and Control structure.”

1-2 General NATO plans and conducts military exercises at strategic, operational and tactical levels in order to achieve the following:

a. Enhance operational capabilities, readiness, standardisation and effectiveness of NATO Command Structure (NCS) and NATO Force Structure (NFS) headquarters (HQs) and assigned forces.

b. Demonstrate NATO’s capabilities and ensure the effective integration of assigned forces

c. Enhance civil-military cooperation.

d. Enhance the production of operationally effective, interoperable and capable partners’ forces for NATO-led Crisis Response Operations (CROs) and NATO Response Force (NRF).

e. Exploit opportunities for transformation, insofar as they are reflecting common NATO procedures and/or agreed experimentation; in particular Concept Development and Experimentation (CD&E) in support of the Strategic Commanders’ Transformation Goals of Achieving Coherent Effects, Achieving Decision Superiority and Achieving Joint Deployment and Sustainment.

f. Complement the NATO Commanders’ internal training programmes.

g. Support the evaluation process.

1-3 Aim The aim of the Exercise Directive (ED) is to provide Bi-Strategic Commanders’ (Bi-SCs’) direction and guidance to exercise planners and their superiors in strategic, joint and component commands, the Operational Preparation Directorate (OPD), NFS HQs, supporting Centres1, Agencies2 and NATO Education Facilities (NEFs)3, for preparation and conduct of NATO collective training events and exercises including military cooperation programmes.

1-4 Scope The ED provides strategic direction pertaining to the organisations, responsibilities, processes, arrangements, procedures and principal deliverables for the concept and specification development, planning and product development, execution and exercise analysis and reporting of NATO military exercises.

1. Joint Warfare Centre (JWC), Joint Force Training Centre (JFTC), Joint Analysis and Lessons

Learned Centre (JALLC), NATO Undersea Research Centre (NURC), NATO Maritime Interdiction Operational Training Centre (NMIOTC) and Centres of Excellence (COEs).

2. NATO CIS Services Agency (NCSA), NATO C3 Agency (NC3A) and Joint Electronic Warfare Core Staff (JEWCS).

3. The NATO Defence College, NATO School Oberammergau and NATO CIS School.


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1-5 Organisation This Directive is organised into six Chapters as described below with supporting annexes.

a. Chapter 1 – Introduction. Provides a general introduction to this Directive including its purpose, scope, applicability and methodology, definition of key terms, primary references and major responsibilities.

b. Chapter 2 – The NATO Exercise Process. Provides an overview of the four stages in the life cycle of an exercise including the principal inputs, activities and deliverables for each stage.

c. Chapter 3 – Exercise Concept and Specification Development Stage. Describes the required inputs, organisational responsibilities, key activities, related steps and milestones for producing the OSE’s Exercise Guidance and the Exercise Specification (EXSPEC).

d. Chapter 4 – Exercise Planning and Product Development Stage. Describes the required inputs, organisational responsibilities, key activities, related steps and milestones for producing the OCE’s Exercise Planning Guidance and the Exercise Plan (EXPLAN) for the preparation, conduct and assessment of the exercise, as well as the exercise scenario, operational planning documents, timeline and Main Events Lists and Main Incidents Lists (MEL/MIL), as required.

e. Chapter 5 – Exercise Operational Conduct Stage. Describes the required inputs, organisational responsibilities, key activities, related steps and milestones for conducting, controlling, supporting and assessing exercise phases/sub-phases.

f. Chapter 6 – Exercise Analysis and Reporting Stage. Describes the required inputs, organisational responsibilities, key activities and milestones for analysis and assessment of the exercise results including achievement of the exercise and training objectives.

g. Annexes. Annexes provide additional exercise process details, guidance and considerations as well as supporting references, document templates and checklists.

1-6 Applicability The ED is applicable to all levels of the NATO Command Structure (NCS) within Allied Command Operations (ACO) and Allied Command Transformation (ACT), as well as those national and multi-national HQs from the NATO Force Structure (NFS) participating in exercises identified in the Bi-SC Military Training and Exercise Programme (MTEP). In addition, the ED can be applied to the planning and conduct of national and multinational exercise within the NFS as well as the Military Cooperation Programmes. NATO HQs, centres and agencies should develop implementing documentation, as required, in the form of directives, supplements, standard operating procedures (SOPs) and/or handbooks detailing their internal staff procedures at their respective level.

1-7 Methodology Each stage of an exercise is described following the format below:

• Purpose. Describes the purpose of that stage of the exercise process.

• Required Deliverables. Provides a detailed description of products to be developed in that stage, including when and to whom they must be delivered.

• Roles and Responsibilities. Introduces the primary roles and responsibilities for the development of deliverables as well as the accomplishment of key tasks and suggests organisational arrangements.


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• Key Activities. Describes the main activities and related steps required to deliver the products from that stage.

1-8 Exercise Process Key Terms The following key terms will be used extensively throughout this Directive. An expanded list of exercise-related definitions is at Annex A, Glossary of Abbreviations, Acronyms, Terms and Definitions.

a. Officer Scheduling the Exercise (OSE). The OSE is the NATO Commander who establishes the operational requirement for the exercise, schedules it in the MTEP, directs the exercise planning and execution, ensures that it is adequately resourced, validates the exercise results and endorses lessons learned. The OSE is responsible for the development and distribution of the Exercise Specification (EXSPEC) that establishes his aim and objectives for the exercise as well as his overall concept for achieving them. For NATO Response Force (NRF) Joint and Component level exercises, the OSE is supported by the OPD as described in Annex O, OPD Support to NRF Exercises. The OSE may also serve as OCE and/or the Commander of the Primary Training Audience.

b. Officer Conducting the Exercise (OCE). The OCE can be an ACO Commander or a national authority from a NATO or Partner nation. For a national authority to assume OCE responsibilities or if there is more than one OCE an OCE COORD will be assigned. Where several exercises are conducted simultaneously the same applies. The OCE is responsible for the detailed planning and overall execution of an exercise or an allocated part of it as well as reporting exercise results including achievement of training/exercise objectives and lessons to be learned. This includes the responsibilities for provision of real life support and Communications Information Systems (CIS) support. In this capacity the OCE is responsible for establishing the Core Planning Team (CPT) and for the production of the Exercise Plan (EXPLAN) as well as related products. For NRF Joint and Component level exercises, the OCE is supported by the OPD as described in Annex O.

c. Officer Directing the Exercise (ODE). The ODE, when designated by the OSE, supports the OCE in the planning, execution and review of the exercise. The ODE assumes overall responsibility for setting the conditions to allow the OCE to achieve the exercise aim and objectives established by the OSE and may act as the Exercise Director, in support of the OCE. For ACT-supported exercises the ODE will normally be the Director of the JWC or the JFTC. For other exercises, when appropriate, the ODE will be a designated NCS/NFS Commander. The relationship between the OSE, OCE and ODE is portrayed at Figure 1-1, OSE-OCE-ODE Relationship and the supported/supporting details will be laid down in the EXSPEC.

d. Exercise Director (EXDIR). The Exercise Director, proposed by the OCE and approved by the OSE, is the senior officer responsible for the overall direction and control in support of the exercise aim and objectives as well as the approved training objectives. The EXDIR will be designated during the Exercise Concept and Specification Development Stage and engage in the remainder of the exercise process in support of the OCE. He will head the Exercise Control (EXCON) organisation and direct all aspects of execution of an exercise on behalf of the OCE.


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Figure 1-1 OSE-OCE-ODE Relationship

e. Director of Evaluation (DIREVAL). The DIREVAL is the senior officer responsible for the overall direction and control of the evaluation efforts. The DIREVAL will be chosen during the Exercise Concept and Specification Development Stage. He coordinates the interaction of different evaluation and analysis teams with the EXCON and Training Audience and is the advisor to the EXDIR regarding evaluation and analysis team requests to modify the MEL/MIL scrip.

f. Officer with Primary Responsibility (OPR). The OPR is the designated staff officer in each HQ, agency and centre with primary responsibility for coordinating the planning, preparation, execution and analysis of an exercise on behalf of his commander/director. In this directive, specific OPRs are identified with the appropriate prefix; for example, “OSE OPR”. For purposes of providing OPR continuity during all four Exercise Process Stages of a specific exercise ‘Co-OPRs’ may be named to allow for reposting or extended deployments of the primary OPR.

g. Primary Training Audience (PTA). The PTA is that command/participant/unit identified in the EXSPEC as the main focus of the training and thus ordered to perform its military roles, functions and responsibilities during the exercise to achieve the OSE’s exercise aim and objectives.

h. Secondary Training Audience (STA). The STA is that command/participant/unit related to the PTA, whose participation in the exercise is identified in the Bi-SC MTEP as necessary to fully achieve the exercise aim and objectives. The STA may be able to exploit additional training opportunities within the scope of the exercise, in which case they become a secondary focus. Collectively the PTA and STA are referred to as the training audience (TA).

i. Exercise Planning Group (EPG). The EPG is established by the OSE to support his exercise process responsibilities and activities. Its membership should be drawn from the OSE’s staff, and may also include, as appropriate, selected members from other participating HQs, agencies and centres as well as from the TA. The EPG size will vary from meeting to meeting depending on the agenda and the subject matter expertise required. Members of the EPG will be responsible for the production of their respective portions of the EXSPEC under the leadership of the OSE OPR.

j. Core Planning Team (CPT). The CPT is established by the OCE in accordance with the CPT Terms of Reference issued by the OSE to carry out the detailed planning, coordination and preparation of the exercise according to the EXSPEC and the OSE’s Planning Guidance. The CPT is chaired by the OCE’s OPR and comprises


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representatives from the OSE, participating commands, participating evaluation teams4 and supporting centres and agencies as well as the ODE when designated. When an exercise consists of transformational elements, a HQ SACT OPR will be included in the CPT responsible for coordinating these aspects.

k. Exercise Project Team (EPT). TAs and other participating organisations may establish EPTs as required to provide cross-functional support for all stages of the Exercise Process.

l. Exercise Specification (EXSPEC). The EXSPEC is promulgated by the OSE and specifies the exercise aim and objectives, the concept of the exercise including the level, type and form of the exercise, the exercise area, scenario and/or Host Nation, participation requirement and the designation of the OCE as well as the ODE and any required coordinating instructions. The EXSPEC approval process is addressed in MC 458/1, NATO Education, Training, Exercise and Evaluation Policy (Final).

m. Exercise Plan (EXPLAN). The EXPLAN is issued by the OCE and provides direction and guidance to all exercise participants for real life support as well as detailed direction, guidance and instructions to the CPT, EXCON supporting commands, centres, agencies or other activities for the preparation, conduct, support, analysis and reporting of the exercise. It establishes requirements, responsibilities and the schedule of activities for the provision of training events and activities, scenario modules, simulation support, real-life support, communications, exercise control and exercise analyses and reports. Operational planning products developed for use by the training audience (exercise intelligence products/studies, exercise forces, planning directives, messages, orders, etc.) are issued in accordance with operational procedures and are not part of the EXPLAN. EXPLANs may be executed incrementally when one or more exercise phases/sub-phases is required to be conducted before the EXPLAN is complete.

n. Exercise Objectives. Exercise Objectives are defined by the OSE based on his overall strategic/operational vision, aim and intent for the exercise as well as the Essential Training Goals.5 The Exercise Objectives are promulgated in the EXSPEC. The number of Exercise Objectives will be kept to the minimum required to focus exercise planning, execution and analysis to ensure that specific operational requirements are met. During planning and execution of an exercise, if there is a conflict between achieving the Exercise Objectives and the Training Objectives, the Exercise Objectives take precedence.

o. Training Objectives (TOs). A TO is a desired goal expressed in terms of Mission Essential Tasks (METs) to be performed under set conditions and related to a defined standard. The Commander’s TOs should describe the desired outcome of a training activity for a training audience as well as the measures for assessing the performance outcome. Training objectives consist of a specific performance requirement (task), the training situation (conditions) and the level of performance (standard).6 TOs include the

4. Deployable Forces evaluations, when conducted by the OPD for NRF, are undertaken by

‘Evaluation Groups’ comprised of evaluation teams at the training audiences’ locations. 5. MC 458/1 (Final) defines ETGs as “Prioritised by an SC and if not achieved, may result in

failure to attain or sustain a critical capability and, thereby, jeopardize achieving the mission” and states “Because these requirements and priorities are subject to continually changing threat assessments, this eNETEEP [sic, MC 458/1] lays down only the methodology to develop Essential Training Goals (ETG) and deduce training and exercise requirements, derived from the Strategic Commands’ (SCs’) missions and tasks”. However MC 458/1 does not lay down the methodology of ETG development.

6. Bi-SC Directive 80-90, NATO Tasks List, 18 June 2004 (under revision).


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primary, supporting and enabling tasks to be trained during the conduct of the exercise. TOs focus exercise planning and execution to ensure that Commanders’ training requirements are met. As illustrated in Figure 1-2, TOs are defined by the TA Commanders based on their METs, recommended and prioritised by the OCE, approved by the OSE, and promulgated with the OCE’s Exercise Planning Guidance. For OPD support to the development and approval of TOs for NRF exercises, see Annex O.

Figure 1-2 Responsibilities in the Training Objectives Development Process

p. Host Nation. NATO defines Host Nation (HN) as a nation which, by agreement: receives forces and materiel of NATO and/or other nations operating on/from or transiting through its territory; allows materiel and/or NATO organisations to be located on its territory; and/or provides support for these purposes. This term is also used in a generic sense to identify a NATO military structure entity that ‘hosts’ or provides support to participants in a NATO exercise; for example JWC and JFTC. However, issues like Force Protection will always remain with the nation. For NATO exercises, ‘host nations’ should be identified early to enable the requisite memoranda, arrangements and support agreements to be finalised as well as to allow for required build up of infrastructure and to ease coordination between the OSE, OCE, ODE and the HN. See Annex L, Host Nation Support Considerations.

1-9 NATO Exercise-Related Documents The planning, preparation, conduct and reporting of NATO military exercises are governed by specific exercise-related NATO Military Committee (MC) policy documents, Bi-SC directives and the other documents identified and described below. The ED has been developed in accordance with the governing documents and refers to them where appropriate. The principal documents are:

a. MC 458/1 - NATO’s Education, Training, Exercise and Evaluation Policy.7 MC 458/1 is NATO’s capstone policy document for these areas. NATO exercise planners should be aware of the policies relative to training and evaluation. In particular, exercise planners should be thoroughly familiar with the Systems Approach to Training (SAT) as it relates to exercises, including the development of Essential Training Goals (ETGs) and Partnership Goals for Partners.

7. MC 458/1(Final) supersedes MC 94/4(Final) and MC 458(Final) except for the relevant

Funding Chapters which, in the interim, will remain in force.


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b. MC 94/4, Military Committee Policy on the Conduct of NATO Exercises. MC 458/1(Final) supersedes MC 94/4(Final) with the exception of the MC 94/4 Chapter 8 (Funding) and Annex B (List of Items Eligible for Common Funds) which, in the interim, will remain in force

c. Operational Capability Concept (OCC) Evaluation and Feedback (E&F) Programme.8 The OCC E&F programme aims to improve, through evaluation and feedback, the level of interoperability and operational effectiveness of declared partner forces and/or capabilities of staffs, units and force components with regard to their overall capability.

d. Bi-SC Directive 75-2, Education, Training, Exercise and Evaluation Directive (ETEED).9 The ETEED is the capstone Bi-SC directive for education, training, exercises and evaluation. Exercise planners should refer to this document specifically for essential detailed guidance on NATO training and exercise programming including their Commander’s training audiences, their training responsibilities and the required training frequencies.

e. Bi-SC Military Training and Exercise Programme (MTEP). The purpose of the MTEP is to develop, schedule, synchronise and publish the approved NATO Military Training and Exercise Programme. It is published annually and covers a period of six years and includes exercises with non-NATO members. It provides detailed information on collective training activities, exercises and related activities scheduled for the first two calendar years, and outline information for the following four calendar years. The MTEP is coordinated fully with the Medium-term Financial Plan (MTFP) for the same period. Relevant parts of the MTEP are published as well in the Euro-Atlantic Partnership Work Plan (EAPWP), Mediterranean Dialogue Work Programme (MDWP), the Istanbul Cooperation Initiative (ICI) menu of practical issues and other cooperation programmes in accordance with Annex R, Military Cooperation Programmes. The MTEP also includes non-NATO military exercises that are of interest and open to NATO and member nations. Exercise planners should refer to this document specifically for identification of the OSE, OCE, overall aim of the exercise and main participants as well as PfP, MD and ICI nations’ participation in NATO exercises. The Electronic Military Training & Exercise Program (eMTEP)10 on the NATO Secret Wide Area Network contains the same information. The MTEP is further described under Paragraph 1-17, Exercise Programming.

f. Bi-SC Directive 75-4, Experimentation Directive (Bi-SC EXPD). Exercise planners should refer to the Bi-SC EXPD for integration of experimentation into exercise specification, planning and execution.

8. Promulgated in IMSM-0615-2005, Operational Capabilities Concept (OCC) Evaluation and

Feedback (E&F) Programme, 10 Aug 05. 9. Bi-SC Education, Training, Exercises and Evaluation Directive 75-2, 12 Dec 06. 10. In 2006, ACT (350 Branch) designed and introduced a new online software program (the

eMTEP) for all J7 planners throughout NATO to utilize in construction of all future NATO MTEPs. The immediate effect has been to ensure a near real-time, transparent and sustainable program for all exercise planners in all levels of the NATO Command Structure, the Nations and Partners to consult in the construction of their respective exercise programs as well as ensuring compliance with budget timelines. It supersedes the old method of constructing and assembling an exercise programme on paper. Parallel processes such as the JJJ and Experimentation Programs of Works have been subsequently aligned and in future development will be linked to the eMTEP program for real-time coordination and budgeting purposes.


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g. Bi-SC Interim Guide for Lessons Learned.11 This guide is applicable for all Allied HQs, centres and agencies participating in or supporting NATO’s operations, exercises, training events and experimentations as well as normal daily activities for NCS HQs. The guide is applicable throughout all NATO System Approach to Training Model steps and all Exercise Process stages. The guide applies to both the NCS and NFS HQs by providing guidance to Commanders on implementing and executing the Lessons Learned process as well as how the recommended improvements should be addressed.

h. Bi-SC Directive 80-90, NATO Tasks List (NTL). The NTL provides a common terminology and reference system for NATO’s Strategic Commanders (SCs), their subordinate commanders and agencies, operational planners, and for training and exercise planners to communicate mission requirements. The NTL supports the development of the Commander’s Mission Essential Tasks (METs) that identify required capabilities for mission success. Exercise planners should refer to this document specifically for its comprehensive listing of military tasks that Alliance headquarters and forces may be required to perform and its methodology for identifying tasks and standards to which a NATO Commander and his staff should be trained. The NTL method for Commanders to develop their METs is used for development of the OCE’s Training Objectives as described in this directive.

i. ACO Forces Standards (AFS). AFS Volumes I through V promulgate the HQs and forces’ standards for the essential operational capabilities, interoperability and flexibility as defined in MC 400/2.12 AFS Volumes VI through IX promulgate the ACO evaluation programmes13 and associated evaluation criteria under which SACEUR and subordinate ACO Commanders carry out their MC 458/1 responsibilities for planning, execution and reporting of evaluations of the readiness, capabilities and performance of their HQs and forces.

j. ACT Evaluation of Education and Training (E&T) Directive. Evaluation of E&T consists of a series of processes and methods used to measure, in a continuous and systematic way, the effectiveness of the E&T system. ACT will establish the principles, guidelines and procedures for evaluation of education and individual training within NATO in a specific directive. This directive will be applicable to ACT, NATO Education and Training Facilities and ACO E&T as well as COEs and Partner Training Centres (PTCs). MC 458/1 encourages NATO and Partner Nations to use this directive.

k. ACO HQs/JJJs Exercise and Training Planning Supplements. Subordinate ACO HQs and ACT centres will develop supplementary documents to establish implementing procedures for their respective organisations. JWC’s NATO Guidance for Experimentation Planning (NAGEP) provides specific guidance on the integration of experimentation into exercises.

l. Joint Functional Area Training Guides (JFATGs). The JFATGs are developed by ACT for areas where detailed guidance is needed, the area’s nature is specific and the need for standardisation and interoperability is paramount. The JFATGs will include, as a minimum: Essential Training Goals (ETGs); individual and collective training requirements; clearly defined areas of concern; mechanisms for

11. The Bi-SC Interim Guide for Lessons Learned, 25 January 2006. 12. MC 400/2, MC Guidance for Military Implementation of Alliance Strategy, 23 May 2000. 13. AFS evaluation programmes include: Headquarters Evaluations (HQ EVAL) for ACO Joint

Headquarters; Tactical Evaluation (TACEVAL) for air HQs and units; Combat Readiness Evaluation (CREVAL) for land HQs and units; and Maritime Evaluation (MAREVAL) for maritime HQs and units.


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implementing Systems Approach to Training (SAT); delineation of responsibilities for conducting training and exercises; and coordination of resources. Bi-SCD 75-2 is the authoritative document for the JFATGs.

m. JFCs’ Training Directives. JFCs14 develop training directives to support and standardise training in specific areas such as for operational mission related training and Deployable Forces HQ augmentation training.

1-10 NATO Systems Approach to Training (SAT) NATO’s policy as laid down in MC 458/1 is that military training and exercises will be developed, conducted and evaluated at all levels using the Systems Approach to Training (SAT) model. This model is designed to provide a more effective, efficient, and economical approach to training by focusing on mission essential tasks, their respective requirements and necessary training objectives. The SAT model encompasses the four major steps described below. Figure 1-3 portrays the interrelationships between the four major steps of the SAT model and the four stages of the Exercise Process.

a. Analysis. This first SAT step for the commander and staff is to analyse the missions and essential tasks, the necessary capability requirements to achieve them and SACEUR’s strategic priorities as well as his own Terms of Reference. This analysis should result in the commander’s list of refined METs complete with conditions, standards and criteria as well as the commander’s prioritised training objectives based on his assessment of training needs for the next training cycle. This SAT step corresponds to the Concept and Specification Development Stage in the Exercise Process where the OCE and TA assessments of their METs are essential input to the Exercise Specification.

Figure 1-3 SAT Model Steps / Exercise Process Stages Interrelationships

b. Design. The SAT Design Step should ensure the required training objectives are met. Training design should address, inter alia: objectives to achieve; contents to deliver; methods to use; audience(s) to consider; resources required; establishment of schedules; requisite evaluation; and determination of costs. This step should be based on a detailed assessment of training needed as described above to perform METs, including individual and collective training in NATO specific processes and procedures, as well as the use of proven techniques and operational Automated Information Systems (AIS) to ensure that training skills are in place and that HQs SOPs are up to date and practised. The SAT Design of Training step corresponds to the Concept and Specification Development Stage as well as to the Planning

14. The term “JFC” is used in this directive as a collective term to represent Joint Force

Command Brunssum, Joint Force Command Naples and Joint Command Lisbon.


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and Product Development Stage in the Exercise Process.

c. Conduct. The Exercise Process Operational Conduct Stage corresponds to the SAT Conduct Step and includes the four phases of the NATO Exercise Training Model described below.

d. Evaluation. The SAT Evaluation Step will be conducted to determine if the commanders’ training objectives were achieved and whether the headquarters’ staff could perform its individual and collective tasks for the designated mission. Evaluation can be internal or external. In the Exercise Process the evaluations will be centred on training audience activities and performance during the NATO Exercise Training Model Crisis Response Planning and Execution Phases. The SAT Evaluation Step reports are delivered during the Exercise Analysis and Reporting Stage of the Exercise Process.

1-11 NATO Exercise Training Model NATO’s exercise process is evolving to meet the training needs of Deployable Forces (DF) for planning and conducting combined joint expeditionary operations. The current Exercise Training Model process consists of the four phases portrayed at Figure 1-4 and described below.

a. Phase I - Individual and Collective Training. The Individual and Collective Training Phase includes, inter alia, specialised Functional Training, Academics, Key Leader Training and Battle Staff Training. Some of this training must be completed before the Crisis Response Planning Phase. However, collective training for functional areas, cross functional boards, centres and groups as well as the entire HQ may extend beyond the Crisis Response Planning Phase but should be completed before the Execution Phase.

Figure 1-4 NATO Exercise Training Model Phases

b. Phase II - Crisis Response Planning. The Crisis Response Planning Phase should be designed to ensure integration with the NATO Crisis Response System (NCRS), application of the collaborative and parallel Operational Planning Process (OPP) and production of a detailed Combined Joint Statement of Requirements (CJSOR) as a basis for generating forces, as well as executable OPLANs, including an Allied Force List (AFL), an Allied Disposition List (ADL), Multinational Detailed Deployment Plans (MNDDPs) and sustainment plans. Normally training audience products from the Crisis Response Planning Phase are used to support collective training events before or during the Execution Phase.

c. Phase III – Execution. This Phase consists of two sub-phases, each of which may be further sub-divided to address specific training objectives:

(1) Force Activation, Deployment, RSOM15 and Integration Sub-Phase. This sub-phase should enable HQs to practice critical tasks related to the assessment of force requirements and force capabilities; force balancing and adjusting the OPLANs and/or the Allied Disposition List (ADL) force flow; coordinating the

15. Reception, Staging and Onward Movement (RSOM).


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Multinational Detailed Deployment Planning (MNDDP) and tracking force movements; preparation and mounting of deployable HQs, enabling and stand-up of C2 capabilities in-theatre; Reception, Staging and Onward Movement and Integration (RSOM&I) of forces in-theatre; and Transfer of Authority (TOA) to the NATO Commanders. Practise and proficiency of the tasks in this sub-phase are critical to developing strategic and operation capabilities to project Allied Forces in joint expeditionary operations.

(2) Operations Sub-Phase. The Operations Sub-Phase should be focused on practicing critical tasks in an Allied expeditionary operation in order to assess the adequacy of planning and force generation for the conduct of operations.

d. Phase IV - Assessment. The Assessment Phase, which may include a Mid-Exercise Review (MER) and end of exercise (ENDEX) After Action Review (AAR), should capture actionable lessons identified and requirements for correcting deficiencies and making improvements in HQs organisation, processes, procedures and training as well as identifying issues for higher HQs and external agencies.

1-12 Exercise Steps, Stages and Phases Interrelationships The major interrelationships between the SAT steps, the EP stages and the NATO Exercise Training Model phases are portrayed at Figure 1-5. The SAT Analysis and Design Steps contribute primarily to the EP Concept and Specification Development Stage. The SAT Conduct Step contributes to all EP stages while the SAT Evaluation Step contributes to the latter two EP stages. The EP Operational Conduct Stage includes all four phases of the Exercise Training Model.

Figure 1-5 Exercise Steps, Stages and Phases Interrelationships

1-13 Exercise Relationships between the Strategic Commanders Within the NATO Command Structure as laid down in MC 324/116 the exercise responsibilities and roles of the two Strategic Commanders have been clearly established.

a. SACEUR is the Supported Commander. He has lead responsibility for NATO and Military Cooperation Programmes collective training including exercises and the

16. MC 324/1 The NATO Military Command Structure, 28 May 2004.


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evaluation of headquarters, designated subordinate entities and assigned forces. He is supported by SACT with exercise design, planning, execution and evaluation support, especially for joint training of HQs at the operational and component level.

b. SACT is the Supporting Commander. SACT has lead responsibility for NATO and Military Cooperation Programmes joint individual education and training, and associated policy. He supports SACEUR’s exercise requirements throughout analysis, design, conduct and evaluation under the Systems Approach to Training. SACT has the additional responsibility under MC 458/1 for collating lessons learned and their subsequent inclusion in Education and Training (E&T) practices and procedures.

1-14 ACO Exercise Roles and Responsibilities The roles and responsibilities of all exercise participants are described in the remaining chapters and annexes of this directive. Below are the broad exercise responsibilities within the NATO Command Structure and NATO Force Structure.

a. SACEUR. SACEUR has lead responsibility for NATO and PfP collective training including exercises and the evaluation of designated subordinate entities and assigned forces. SACEUR develops an overall exercise vision and intent as well as specific exercise requirements and scheduling in the MTEP. He coordinates participation with nations and support with ACT and other supporting agencies and activities. SACEUR will normally be the OSE for NATO’s strategic and operational level exercises. Accordingly, SHAPE will draft the OSE Exercise Guidance for SACEUR. SHAPE will provide the Officers of Primary Responsibility (OPRs) for these exercises and create the OSE Exercise Planning Group (EPG) to develop each exercise. SACEUR will be responsible for negotiating host nation arrangements for exercises. In most cases SACEUR, in consultation with the IMS, will approve exercise documents such as the EXSPEC.

b. SHAPE. SHAPE should participate in major NATO exercises such as Major Joint Operations (MJO) exercises, as the HQ immediately superior to the Joint HQs, and in Crisis Management Exercises (CMXs), as the HQ immediately subordinate to HQ NATO, the Primary Training Audience (PTA). This participation could be at one of three levels, depending upon real world commitments.

(1) Participation as PTA. This would be with the SHAPE Command Group and the SHAPE Direction Centre (SDC) actively involved in the exercise; with the SDC creating an exercise desk similar to the SDC desks for real world operations, through which all issues are handled, coordinated and distributed to the SHAPE Divisions. SHAPE would use the established doctrinal means of receiving and transmitting directions, requests and information to the other members of the TA.

(2) Participation as HICON Response Cell through a SDC ‘Front End’. The SHAPE HICON, consisting of representatives of all Divisions and relevant Branches, will form a Response Cell and provide necessary support for the Command Group’s exercise involvement with duty hours as required by the EXSPEC. SHAPE HICON will use the established doctrinal means of receiving and transmitting directions, requests and information to the PTA insofar as possible.

(3) Deployable Forces Exercise Participation. A small exercise desk should be created in the SDC through which issues are distributed to a SHAPE Mini-HICON, consisting of POLAD, LEGAD, J6, J5, J4, J3 (including Special Operations and Information Operations), J7, J8 and J9 dedicated


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representatives working normal hours from their peace time locations. SHAPE J7 Liaison officers in the EXCON would monitor exercise activities to determine when the SHAPE Command Group should be involved as well as to monitor overall SHAPE participation. The SHAPE Mini-HICON would use the established doctrinal means of receiving and transmitting directions, requests and information to the PTA insofar as practicable.

c. Joint Commanders. The three Joint Commanders may act as OCE for a NATO major joint exercise or may be delegated as OSE for component exercises. They will designate an Exercise Officer with Primary Responsibility (OPR) to head the Core Planning Team (CPT). The OCE CPT produces the EXPLAN, which the OCE may approve or, if required to by the EXSPEC, forward it to the OSE for approval. If a smaller scale exercise in the MTEP has been proposed by a JFC/JC, that JFC/JC will normally be tasked in the MTEP to assume OSE responsibilities.

d. NATO Command Structure (NCS) Component Commanders. NCS Component Commanders may be delegated OSE and/or OCE responsibilities for exercises identified as component exercises. They may be part of the Training Audience for Strategic and Operational level exercises.

e. NATO Force Structure (NFS) Component Commanders. National and Multi-national HQs from the NATO Force Structure may serve as NRF component commands. When assigned this role they may act as OCE when conducting component exercises. They may be part of the Training Audience for Strategic and Operational level exercises.

f. Director of the Operational Preparation Directorate (OPD). The OPD Director provides training, coordination and evaluation support to NRF Operational Commanders in accordance with the Commanders’ intent and requirements as well as SACEUR’s strategic guidance, in order to achieve coherent preparation and development of the NRF. See Annex O.

g. NATO CIS Services Agency (NCSA) Director. The NCSA’s mission is "To ensure the provision of secure end-to-end information exchange services required for NATO Consultation, Command and Control using fielded Communication and Information Systems in the most cost effective manner." The NCSA consists of a headquarters at Mons (BE), ten NCSA Sectors, two NATO Signal Battalions (NSBs) and the NATO CIS School (NCISS). Based on Information Exchange Requirements (IERs) submitted by the OCE and validated by SHAPE J6, NCSA roles and responsibilities during exercises include:

(1) Planning of CIS services supporting exercises led by the NCSA HQ Operations, Exercise and Logistics Planning (OELP) Division.

(2) Provision of clear guidance and procedures through OELP, in coordination with SHAPE J6, for the requesting and assignment of Deployable CIS (DCIS) capability to ACO Officers Conducting Exercises.

(3) Provision of support services by the static CIS infrastructure extended by NATO deployable CIS assets. The NCSA HQ, together with one or more of the NCSA Sectors and the NSBs can:

• Deploy elements of the NSBs in order to provide a CIS operating centre as part of a deployed exercise HQ;

• Assist in the establishment of a deployed CIS Control Centre;

• Coordinate the interface between NATO owned or leased communication systems and services to the tactical systems deployed with any of the NATO


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or national forces.

(4) Coordinating and processing CIS Service Requests in support of exercises as agreed during planning meeting. The Combined SHAPE and NCSA HQ Tasking Order may serve as an appropriate tool for execution.

(5) Assisting with the detailed arrangements for the management, operation, support and control of deployable CIS assets in the EXPLAN for the specific exercise.

1-15 ACT Exercise Roles and Responsibilities17 SACT supports SACEUR with exercise design, planning and evaluation support, especially for joint training of HQs at the operational and component level. Below are the broad exercise roles and responsibilities of SACT and its subordinate centres.

a. SACT. SACT is responsible to ensure that the transformational aspects are reflected in the planning and conduct of the exercise. SACT will support with analysis and assessment of transformational requirements and analysis of future capabilities. SACT is responsible for the design and assessment of experiments to be conducted during the exercise. Furthermore, SACT is responsible for the development, testing and integration of emerging and mature concepts, doctrine and technology.

(1) Exercise Support.

(a) Support to the OSE Exercise Planning Group. HQ SACT supports the OSE during development of the EXSPEC with respect to Concept Development and Experimentation (CD&E) as well as analysis of future capabilities. Furthermore SACT participation requirements and the delineation of responsibilities of JWC, JFTC and JALLC i.a.w. the JJJ program of work are decided.

(b) Participation in the OCE’s Core Planning Team Meetings. HQ SACT supports the OCE during development of the Exercise Plan with respect to integration of Experiments in the Exercise.

(c) Overall ACT integration. HQ SACT provides the overall ACT integration required to maintain the coherency of the support provided by JWC, JFTC and JALLC (JJJs) to the exercise. HQ SACT manages the JJJs’ Programme of Work that ensures the JJJs have the resources to undertake the responsibilities allocated to them in the EXSPEC.

(d) Policy. HQ SACT has the leading role in developing the policy for individual education and training in NATO. In cooperation with SHAPE, HQ SACT develops the MC 458/1 (NATO Education, Training, Exercise and Evaluation Policy) and the Bi-SCD 75-2 (ETEED) that have a direct impact in the training and exercise design.

(e) Senior Mentor (SM) and/or Senior Concept Developer (SCD) Support. HQ SACT, through the SM/SCD Coordination Office provides the designation, contracting, training and support of the SM/SCDs to support selected NATO exercises.

(f) Scenario Development. Through the Scenario Development Working

17. MC-510, Terms of Reference for Directors JWC, JFTC and JALLC, 30 April 2004; and ACT

Directive 80-3, Operating Requirements for the JWC, JFTC and JALLC, 10 March 2005, detail the responsibilities and roles of the ACT “JJJ” entities (JWC/JFTC/JALLC).


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Group, HQ SACT provides overall coordination and support to development of scenarios for major NATO exercises.

(g) External National Support. HQ SACT is the focal point to initiate and coordinate support provided to NATO exercises by national reserve forces commands and other entities.18 This support includes encouraging and facilitating reserve participation in exercises, experiments and lessons learned processes. For example; reserves from CAN, DEU, NLD and USA armed forces as well as those from other nations and the (USA) Joint War Fighting Center.

(2) Analysis and Assessment of Transformational Requirements.

(a) NATO Training Model Evaluation and Refinement. During NRF/CJTF exercises the HQ SACT Training and Education Review Element (TERE), amongst other tasks, analyses and evaluates the application of the Systems Approach to Training (SAT) as well as the application of the four phases of the NATO Training Model. In so doing the TERE team focuses on strategic issues in support of the training event and the overall exercise process.

(b) Future Capability and Concept Requirements Analysis. One of the responsibilities of SACT is to analyse and evaluate the future capability and concept requirements for NATO’s Deployable Forces and their headquarters. This is performed by the ACT Future Capabilities Analysis Team (AFCAT) primarily participating in exercises and experiments. The AFCAT is lead by the Strategic Concept Analysis branch from Future Capabilities Research and Technology (FCRT) division.

(c) Evaluation of E&T. SACT, under MC 458/1, establishes the principles, guidelines and procedures for evaluation of education and training within NATO, which will consist of a series of processes and methods used to measure, in a continuous and systematic way, the effectiveness of the E&T system. Some of these E&T evaluations may be conducted in conjunction with some exercise phases/sub-phases.

(3) Experimentation in Support of Emerging Concepts, Doctrine and Technology. SACT is tasked with responsibility for NATO’s Concept Development and Experimentation Programme. Much of the experimental programme will be conducted within the framework of NATO MTEP exercises. The amount of experimentation included in an individual exercise and the acceptable impact will be the subject of Bi-SC discussion and promulgated for each exercise in the EXSPEC. ACT will provide an Experiment Venue Coordinator (EVC) to work with the Core Planning Team on the integration of experimentation. The Exercise Experimentation Plan will be in Annex H to Part 1 of the EXPLAN and normally will be supplemented by an Operational Experimentation Plan (OEPLAN) giving detailed requirements, guidance and instructions to the experiment teams for the integration of the experiments.

(4) Participation of Centres of Excellence (COEs). COEs are funded nationally or multinationally and provide opportunities for NATO and PfP leaders/units to improve interoperability and capabilities, test and develop doctrine, and validate concepts through experimentation. HQ SACT will inform COEs about upcoming NRF exercises and coordinate possible participation of COEs.

18. Letter of Understanding between National Reserves Forces Committee and Allied Command

Transformation, 23 January 2007.


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b. JWC. As directed by SACT, the JWC promotes and conducts NATO’s joint and combined experimentation, analysis and doctrine development processes to maximise transformational synergy and to improve NATO’s capabilities and interoperability.

(1) When JWC is designated as ODE for an exercise the OCE will provide the requisite support to the ODE to enable setting the conditions for achievement of the OSE’s aim and objectives.

(2) The JWC will assume responsibility for detailed coordination with International Organisation/Non-Governmental Organisation (IO/NGO) related issues for exercises supported by the JWC and JFTC.

(3) JWC, as SACT’s agent, will be responsible for managing collective experimentation in exercises. Furthermore, JWC provides concept integration of innovative or mature concepts (methods, procedures and/or techniques) as directed by HQ SACT and ACO on exercises focussing on the operational level.

c. JFTC. When the JFTC is designated as ODE the OCE will provide the requisite support to the ODE to enable his setting the conditions for achievement of the OSE’s aim and objectives.

d. JALLC. The JALLC receives lessons through the NATO wide Lessons Learned process as described in the Bi-SC Interim Guide for Lessons Learned. If actively engaged in the exercise through the JJJ Programme of Work, the JALLC will conduct Joint Analysis during the exercise based on the analysis requirements of the OSE and/or the OCE.

1-16 Partnership Coordination Cell (PCC) Exercise Roles and Responsibilities The PCC is a Bi-SC body responsible for dealing with all routine coordination issues involving partners. The overall mission of the PCC is to coordinate and assess military aspects of cooperation activities in support of the SCs in order to achieve NATO’s objectives. The core tasks of the PCC are activity coordination (Exercises, Education and Training); assessment of cooperation programmes and coordination for the release of NATO documents to partners. All documentation from and to partners as well as funding and visa support will be conducted through PCC. All requests for documentation release supporting the exercise objectives will be forwarded to the PCC.

1-17 Exercise Programming Exercise programming is the process by which a NATO exercise is conceived, approved, prioritised and resourced out to six years in advance of its planning and execution. It is therefore a separate activity not within the scope of this Directive but essential to the exercise process.

a. Military Training and Exercise Programme (MTEP). The MTEP is the vehicle by which NATO programmes exercises and other training events. As a programmed exercise progresses through the MTEP process its description becomes fuller as more details are fleshed out. Thus the information about exercises in the coming year will be more complete than for exercises programmed five (5) years out. The first two years shall provide detailed information about the planned exercises in order to allow for timely selection of the host nation (HN) and to provide information and invitations to possible participating nations. The following years shall give an outline of the expected programme. The information provided in the MTEP and the eMTEP provides the start point for the EP and particularly the allocation of resources. The CD&E Annex to the MTEP discusses the CD&E process, identifies potential venues for experimentation and provides information to access ACT’s


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Experimentation Program of Work. b. Budget. An exercise is allocated resources by the SCs based on their priorities and

a manageable level of funding risk. This allocation is made during the annual budget development process and is reflected in the Medium-term Financial Plan (MTFP). When an exercise is programmed with ACT support, ACT will establish and control the budgets for JJJ support. The amount budgeted for an exercise should be based on analysis of the type and scale of exercise required to achieve the anticipated exercise aim and objectives. This analysis should take into consideration, as soon as practicable, whether or not the appropriate simulation tools and their data development will be required, historic precedent, affordability and the advice of exercise budget specialists. Exercise planners have a responsibility to monitor expenditures and update their budgets routinely to ensure that the amount allocated to an exercise is sufficient to achieve the actual exercise aim and objectives. A detailed description of the exercise budgetary process is at Annex F, Guide to Exercise Budgeting.

c. Coordination with Nations. Exercise programming includes coordination of exercise requirements with member and partner nations, including specific training to be accomplished, national contributions from the NATO Force Structure, as well as host nation support for exercise venues, especially LIVEXs. Given the requirement to regularly conduct LIVEX deployments of the NRF beyond the NATO area, it is essential that exercise programming specifically address LIVEX requirements to non-member nations in order to determine possible operating areas suitable for different NRF missions. For exercises with projected partner participation, the coordination with partner nations should be conducted through the PCC. Non-NATO nations’ participation in training and exercises must follow the procedures described in Annex R, Military Cooperation Programmes.

1-18 ACT JJJ Programme of Work The Programme of Work (POW) for the JJJs in support of Military Training and Exercise Programme (MTEP) will be assembled, staffed, approved and disseminated via the following process as portrayed in Figure 1-6:

Figure 1-6 ACT JJJ Programme of Work Staff Process

a. At each step in the process, specific dates will be established with specified output products. For purposes of describing this process, generic months are used below:

(1) SHAPE collects inputs from within its HQ and JFCs first and provides the


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prioritised list to HQ SACT not later than September of each year. For NRF exercises, the OPD recommends training priorities. HQ SACT collects inputs from its subordinate organisations and includes experimentation, evaluation and analysis requirements not associated with an existing ACO event. End state is that both ACO and ACT have collected POW inputs from their subordinates and have prioritized those inputs within their command priorities.

(2) The inputs are then merged into a Bi-SC priorities list. This list is then staffed and approved not later than October. The output is the publication of the Bi-SC POW priorities list.

(3) The initial staffing will take place within the JJJs to facilitate the detailed discussions at the POW Workshop. Additional details may be requested to populate the POW with necessary planning data. Initial JJJ staff estimate is developed and provided to HQ, SACT by November and serves as the basis for the POW Workshop. The output is a draft POW with detailed points of coordination for the upcoming workshop.

(4) The POW Workshop will be conducted not later than January. The goal of the workshop is collect more detailed information on the support requirements within the prioritised list and to develop mutually agreeable support solutions within identified constraints. The output is that the draft POW contains all available details of requested support to allow JJJs to complete their staff estimates.

(5) Final staffing will conclude not later than end of January and integrates the budget forecast. The output is to have the final POW document with all known and projected requirements, prioritised and synchronized.

(6) Not later than end of January, the POW will be submitted for approval. End state is that the POW is approved for execution, fully budgeted and promulgated to all customers. The POW then serves as basis of further development of support during the exercise planning process for each event in the POW.

b. As experienced previously, there will doubtless be emergent requirements during a year of execution. As these develop, SHAPE will forward them to HQ SACT with recommendation as to where each fits within the Bi-SC priorities. These emergent requirements will then be staffed with the JJJs and resources appropriately allocated. Feedback will be in the form of publication of an addendum to the POW.

c. In addition to MTEP support requirements, there are certain requirements, particularly current and future operations analysis requirements, which must be included in the POW. Because these are often based in the near-term future, their associated details may not be available within the timeline constraints of this process. For purposes of conducting resource analysis, placeholders within the POW will be created and estimates developed based on past experience.

1-19 The NATO Training Process vs Internal HQs Training Programmes The four training phases introduced in the NATO Exercise Training Model do not explicitly address all of the tasks required to plan, generate, deploy, stand-up, employ, sustain, transition and redeploy a NATO expeditionary force. For example the Training Phase II Crisis Response Planning and the Training Sub-Phases IIIA/IIIB of the Execution Phase explicitly encompass a number of essential tasks such as: force generation; sustainment, movement and functional planning; deployment, Initial Entry Operations; RSOM&I; establishment of theatre C2 capabilities; roulement of forces/HQs staff; transition to a follow-on force; and redeployment. NATO Commanders, especially for Deployable Forces (DF),


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should ensure their exercise planners consider incorporation of these tasks into their ongoing training programmes so that their HQ periodically practises those tasks essential for the successful accomplishment of their mission. The emphasis during MTEP exercises on the different portions of mission planning and execution may be included in the MTEP or during the OSE’s concept and specification development of the exercise.

1-20 Security of NATO Classified Information All NATO exercise documents, data and information will be marked, released, transmitted and safeguarded in accordance with the appropriate NATO security directives. References in exercise documents will be made to NATO Documents C-M(2002)49, C-M(2002)50 and AC/322-D/1, the appropriate SC security directive(s) (ACO Directive 70-1 and/or SACLANT Staff Security Manual, 5510.1E) and other lower HQs applicable security directives.


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2 - THE NATO EXERCISE PROCESS

2-1 Introduction This Chapter provides an overview of the NATO Exercise Process (EP) as well as the Bi-SCs’ direction for planning, development, conduct and reporting of exercises. The EP consists of four stages as depicted in Figure 2-1:

• Exercise Concept and Specification Development.

• Exercise Planning and Product Development.

• Exercise Operational Conduct.

• Exercise Analysis and Reporting.

Figure 2-1 The Exercise Process Overview

Chapters 3 through 6 describe each of these stages in detail. Annex E, Exercise Process Key Milestones and Timings provides a complete list of the EP activities and steps including milestones and notional timings as well as HQs/individuals normally responsible for their accomplishment. Principal procedures for partners’ participation in the exercise building blocks and the exercise are at Annex R, Military Cooperation Programmes.

2-2 Exercise Concept and Specification Development Stage The purpose of the Exercise Concept and Specification Development Stage is to determine the overall exercise requirement, establish the aim, objectives and end-state; and develop a viable exercise concept for achieving them. It includes the analysis of requirements, providing initial guidance, developing options and the OSE’s decision on the exercise option to be developed by the OCE. It culminates with the OSE issuing an Exercise Specification document. The OSE is responsible for the Exercise Concept and Specification Development Stage for any exercise. However the EPG, contribute to development of the Concept and


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Specification Development Stage deliverables. Chapter 3 provides details of the activities, steps and deliverables of this stage, which are summarised below.

a. Preconditions. Developing the specifications for an exercise requires that the OSE staff and involved staff from OCE/ODE and TA HQs are able to review essential references, including:

(1) SACEUR’s Vision for ACO.

(2) SACEUR’s Strategic Plan.

(3) NATO Military Training and Exercise Programme (MTEP) Exercise Description.

(4) Defence Requirements Review (DRR) Planning Situations.

(5) Deployable Forces Certification Requirements.

(6) Essential Training Goals (ETGs).

(7) TA Commanders’ Mission Essential Tasks (METs).

(8) OCE Operational and Training Assessments.

(9) Lessons Learned.

(10) Current ACO Prioritised List of Analysis Requirements.

(11) Host Nation Support Memoranda, Arrangements and Agreements.

b. Deliverables. The key deliverables developed during the EP Concept and Specification Development Stage are:

(1) Exercise Planning Group (EPG) Terms of Reference (TOR).

(2) OSE’s Exercise Guidance.

(3) Exercise Specification (EXSPEC).

(4) Core Planning Team (CPT) Terms of Reference (TOR).

(5) Approved Training Objectives (TOs)

(6) Exercise Milestone Planning Schedule.

(7) OSE’s Analysis Requirements.

(8) OSE’s Approved Experiments.

(9) Exercise Specification Conference Minutes.

c. Roles and Responsibilities. The OSE Officer of Primary Responsibility (OPR) for the exercise leads the Concept and Specification Development Stage. The major supported entity is the OSE Exercise Planning Group (OSE EPG) which is led by the OSE OPR. The major supporting entities are: OCE OPR; ODE OPR and the ODE Exercise Project Team (EPT), if designated; and the OPD and TA OPRs as appropriate. Details of the roles and responsibilities for this stage are at Annex B, Roles and Responsibilities in the Exercise Process.

d. Key Activities. The Concept and Specification Development Stage is organised under the following eight key activities with specific steps for each activity detailed at Chapter 3.

(1) Activate OSE Exercise Planning Staff.

(2) Review Strategic Direction and Guidance.

(3) Develop and Issue OSE’s Exercise Guidance.


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(4) Develop and Coordinate the OCE/TA Training Objectives.

(5) Analyse Exercise Design Requirements and Limitations.

(6) Develop Exercise Design and Concept.

(7) Develop Exercise Specification.

(8) Conduct Exercise Specification Conference.

2-3 Exercise Planning and Product Development Stage Once the Concept and Specification Development Stage of the exercise is complete and the OSE has issued the EXSPEC and CPT TOR, inter alia, the OCE assumes responsibility for the Exercise Planning and Product Development Stage. The purpose of this stage is to determine specific planning requirements and to draft, coordinate, and promulgate the Exercise Plan (EXPLAN) as well as all required information related to the planning situation and scenario.

a. Deliverables. The Planning and Product Development Stage must provide all deliverables that enable the exercise to be executed successfully. The key deliverables are:

(1) OCE’s Exercise Planning Guidance.

(2) The Exercise Plan (EXPLAN) covering all exercise phases and sub-phases of the Operational Conduct Stage.

(3) Planning Situation/Scenario Modules. These include documents and data covering the following:

(a) Module 1 - Geo-Strategic Situation.

(b) Module 2 - Theatre of Operations Information.

(c) Module 3 - Strategic Initiation.

(d) Module 4 – Crisis Response Planning Information.

(e) Module 5 – Force Activation and Deployment Information.

(f) Module 6 – Execution Information.

b. Roles and Responsibilities. The OCE OPR for the exercise leads the Exercise Planning and Product Development Stage. The OCE OPR-led Core Planning Team (CPT) is the major supported entity. The major supporting entities are: the OSE Exercise Planning Group (OSE EPG); the ODE OPR and the ODE Exercise Project Team (EPT), if designated; and, as appropriate, the OPD and TA OPRs and subject matter experts. Details of the roles and responsibilities for this stage are at Annex B, Roles and Responsibilities in the Exercise Process.

c. Key Activities. The Exercise Planning and Product Development Stage is organised under the following eleven key activities with specific steps for each activity detailed at Chapter 4.

(1) Activate Core Planning Team (CPT).

(2) Analyse OCE Requirements and Limitations.

(3) Issue OCE Exercise Planning Guidance.

(4) Develop Initial Draft Exercise Plan (EXPLAN).

(5) Develop Module 2 - Theatre of Operations.

(6) Conduct Site Survey.


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(7) Conduct Initial Planning Conference (IPC).

(8) Develop Refined Draft Exercise Plan (EXPLAN) and Products.

(9) Conduct Main Planning Conference (MPC).

(10) Finalise Exercise Plan (EXPLAN) and Products.

(11) Conduct Final Coordination Conference (FCC).

2-4 Exercise Operational Conduct Stage The EXPLAN will have described the overall conduct of all phases and sub-phases of the exercise, including the pre-training, crisis response planning and the execution of the operation as well as the organisation of Exercise Control (EXCON) and support. The Operational Conduct Stage will typically commence prior to the completion of the Planning and Product Development Stage in order to allow the individual and collective training associated with the exercise as well as integration of outputs from the Phase II – Crisis Response Planning into subsequent development of deliverables required for Sub-Phase IIIA. The OCE retains overall responsibility for exercise execution but will delegate authority for the direction and control of training and exercise events to the EXDIR.

a. Deliverables. The major deliverables from the Exercise Operational Conduct Stage are:

(1) Achievement of the OSE’s Exercise Objectives.

(2) Fulfilment of the Training Objectives.

(3) Achievement of the Analysis Objectives and Evaluation Requirements.

(4) Achievement of the Experimentation Objectives.

(5) Training Observations and Assessments.

(6) Mid Exercise Review (MER) if applicable and at the discretion of EXDIR.

(7) After-Action Review (AAR).

b. Roles and Responsibilities. The EXDIR directs the EXCON who control the exercise execution in order to set the conditions to allow the OCE to achieve the OSE’s Exercise Aim and Objectives as well as the Training Objectives.

(1) The EXDIR will be responsible for developing and directing the organisational and support structures required for Exercise Control (EXCON) training as well as the sub-elements of the EXCON located at all exercise sites during exercise execution.

(2) JWC will be responsible for developing and directing the organisational and support structures required for experimentation.

(3) The DIREVAL is responsible for coordinating on behalf of the SCs, OSE and OCE, the different evaluation, analysis and experimental activities during exercise execution.

c. Key Activities. The Exercise Operational Conduct Stage is organised under the following eight key activities with specific steps for each activity detailed at Chapter 5.

(1) Phase I – Individual and Collective Training, which can include four sub-phases.

(a) Conduct Sub-Phase IA: Internal Training.

(b) Conduct Sub-Phase IB: Academic Seminar.


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(c) Conduct Sub-Phase IC: Key Leader Training (KLT).

(d) Conduct Sub-Phase ID: Battle Staff Training (BST).

(2) Conduct Phase II - Crisis Response Planning (CRP).

(3) Phase III – Execution.

(a) Conduct Sub-Phase IIIA – Force Activation, Deployment, RSOM and Integration.

(b) Conduct Sub-Phase IIIB – Operations.

(4) Conduct Phase IV -- Assessment.

2-5 Exercise Analysis and Reporting Stage The purpose of this stage is to determine whether the exercise succeeded in achieving the OSE’s aim and objectives and the OCE’s TOs, as well as to capture and validate lessons identified. The OCE is responsible for conducting Exercise Analysis and delivering a Final Exercise Report to the OSE for all exercises and additionally to the PCC for COOP Exercises. Analysis and reporting should focus on developing conclusions and recommendations related to the achievement of the exercise and training objectives and address the impact of exercise design, the exercise plan and the exercise execution. Analysis and reporting is independent of evaluation or assessment reports prepared by other organisations.

a. Deliverables. The major deliverables from the Exercise Analysis and Reporting Stage are:

(1) Commanders’ Summary Report (CSR).

(2) First Impressions Reports (FIRs).

(3) Evaluation Reports.

(4) Specific Analysis Reports

(5) Training Improvement Report (TIR).

(6) Consolidated Venue Experiments Report (CVER).

(7) Final Exercise Report (FER).

b. Exercise Organisation. The OCE is responsible for establishing the organisational responsibilities and procedures for collecting observations, capturing lessons identified and preparing the Final Exercise Report. He will coordinate with other designated organisations for the timely coordination and submission of their reports. The EXPLAN will provide coordinating instructions for the exchange of information and submission of reports to the OCE during the Exercise Analysis and Reporting Stage.

c. Key Activities. The Exercise Analysis and Reporting Stage is organised under the following twelve key activities with specific steps for each activity detailed at Chapter 6.

(1) Collect Observations and Data.

(2) Conduct Hotwash-Up.

(3) Conduct Preliminary Analyses.

(4) Prepare and Issue First Impression Reports.

(5) Conduct Post-Exercise Analysis.


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(6) Consolidate Lessons Identified.

(7) Publish Training Improvement Report (TIR).

(8) Conduct OCE's Post-Exercise Discussion (PXD).

(9) Publish Evaluation Report(s).

(10) Publish Consolidated Venue Experiments Report (CVER).

(11) Publish Specific Analysis Reports.

(12) Prepare and issue OCE’s Final Exercise Report (FER).


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3 - EXERCISE CONCEPT AND SPECIFICATION DEVELOPMENT STAGE

3-1 Introduction The purpose of the Exercise Concept and Specification Development Stage is to determine the overall exercise requirement and establish the aim, objectives and end-state as well as to develop a viable exercise concept for their achievement. It includes the analysis of requirements, the provision of OSE initial guidance, the development of options and the OSE’s decision on the exercise option to be further developed by the OCE. It results in the OSE promulgating the approved Exercise Specification (EXSPEC) following the Exercise Specification Conference (ESC)1. The OSE is responsible for the Exercise Concept and Specification Development. However the EPG contributes to development of the Concept and Specification Development Stage deliverables. Figure 3-1 portrays an overview of the Exercise Concept and Specification Development Stage oriented on its eight main activities.

3-2 Preconditions Before the exercise can be specified and the OSE’s direction issued, there are a number of essential documents that have to be consulted as defined below.

a. SACEUR’s Vision for ACO. OSE and OCE exercise planners should review and understand SACEUR’s intent as laid out in “SACEUR’s Vision for ACO”2. It specifically describes SACEUR’s intent to:

(1) Embrace change.

(2) Create and maintain a capability that can be used by the Alliance for the full range of missions; from peace support to high intensity warfare, from theatre missile defence to counter terrorism.

(3) Develop and exercise an integrated command and force structure supported by seamlessly networked C2 systems, that can be maintained at high readiness, and then rapidly deploy and sustain an operationally effective combined and joint force over a strategic distance.

b. SACEUR’s Strategic Plan. This document lays down SACEUR’s intent, key strategic tasks and priorities for the planning and allocation of his resources. It flows from NATO policy and extant NMA Strategic Priorities and Objectives3. It is normally published annually and covers the next six-year period.

c. NATO Military Training and Exercise Programme (MTEP) Exercise Description. The MTEP is the Bi-SCs’ programme, agreed by nations, for the use of exercises and exercise resources to implement SACEUR’s strategic priorities and achieve the required levels of operational readiness. It provides the OSE’s overall exercise aim and initial objectives as well as the authority for budget and augmentation and is published annually covering the next six-year period. The MTEP also includes participation from PfP, MD and ICI nations in training and exercises. The MTEP provides the following information to support initiation of this stage for exercises to be executed within approximately two years:

1. The Exercise Specification Conference was previously called the “Pre-Initial Planning

Conference” (Pre-IPC). 2. This SACEUR paper should not be confused with the Strategic Commanders’ “Strategic

Vision: The Military Challenge”, which provides a long term vision of the way in which the SCs expect future Alliance operations will be conducted and, therefore, guide the transformation of forces, concepts and capabilities beyond current initiatives out to 15 years.

3. For example; SACEUR’s Strategic Plan 2006-2011, dated 4 Dec 05.


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Figure 3-1 Exercise Concept and Specification Development Process


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(1) Form/Type.

(2) Dates (Duration).

(3) Area.

(4) OSE, OCE, OCE (COORD), ODE.

(5) Description.

(6) Aim, PTA, Augmentation, HICON, LOCON.

(7) ACT Support.

(8) Pre-Exercise quality Threshold Evaluation (PETE) Requirements.

(9) Budget Request.

(10) Experimentation. The CD&E Annex addresses the CD&E process, potential venues for experimentation, and provides information on accessing ACT’s Experimentation Program of Work. The eMTEP on HQ SACT’s CDEMS portal provides the same information.

(11) Point of Contact (POC).

d. Defence Requirements Review (DRR) Planning Situations. The DRR Planning Situations (PSs) provide a link between Force Planning and Operational Planning. They are to be used as references for OSE and OCE exercise planners in determining exercise requirements and developing specific exercise specifications, as well as scenarios. The PSs are derived from, and consistent with the MC 161 series (NATO Intelligence Estimates/Assessments), NATO General Intelligence Estimate, Ministerial Guidance and the MC 400 series (Guidance for the Military Implementation of Alliance Strategy). They are guided by actionable mid-term NATO agreed intelligence that takes into account the current and evolving security environment.

e. Deployable Forces Certification Requirements. The OSE should determine any requirements and priorities for conducting activities in support of SACEUR’s Deployable Forces training and combat readiness certification programme4 under MC 477 and MC 389/2.

f. Essential Training Goals (ETGs). The OSE OPR should review ETGs established by SACEUR based on his training priorities for ACO. ETGs are derived from the SACEUR’s missions and tasks and reflect current operational requirements and priorities. They should assist the OPR in deducing training and exercise requirements as well as the exercise aim and objectives. For Cooperative Exercises, Partnership Goals with embedded NTL tasks should also be taken into account.

g. TA Commanders’ Mission Essential Tasks (METs). OSE and OCE exercise planners should review the TA Commanders’ METs in order to better appreciate the TA Commanders’ training requirements. The list of METs represents the mission essential tasks selected by each commander in accordance with Bi-SCD 80-90 to accomplish his peacetime mission or an assigned operational mission. It includes associated tasks, conditions and standards and requires the identification of supporting tasks. It facilitates the set up of logical, sequential training programmes and provides guidance and direction to subordinate HQs.

4. SHAPE - Deployable Forces Training Concept after NRF FOC, 5 May 06.


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h. Commanders’ Operational and Training Assessments. The TA OPRs will provide the TA Commanders’ assessments of training and readiness levels of the TA to the OSE OPR. ACO subordinate commanders are to conduct these assessments periodically (annually as a minimum) to assess the competence level of their own HQ as well as subordinate commands to perform their mission essential tasks against ACO Forces Standards. The commander’s training assessment of their staff’s ability to perform their mission essential tasks, produced during the SAT model Analysis Step, is a critical input to the specification of the Training Objectives.

i. Lessons Learned. Lessons Identified and Lessons Learned from previous exercises and/or operations of similar type as envisioned for the exercise should be reviewed by the OSE and the OCE at this stage. All pertinent lessons should be used in the creation of the EXSPEC, exercise design, EXPLAN and training objectives. See Annex S, Lessons Identified in the Exercise Process.

j. Current ACO Prioritised List of Analysis Requirements. The OSE should review the current ACO prioritised list of Analysis Requirements5 developed by SHAPE as a basis for developing the JALLC Programme of Work. It is compiled annually based on SHAPE’s assessment and prioritisation of ACO issues requiring operational analysis and informs exercise planners of issues of potential relevance to upcoming exercises as well as the potential for JALLC POW support.

k. Host Nation Support Memoranda of Understanding/Technical Arrangements/Joint Implementation Agreements. The Host Nation(s) for the exercise will have been established in the MTEP. The NATO Host Nation Support (HNS) Requests to NATO nations should be made two years in advance of the exercise Phase III by SHAPE J7. HNS Requests to Partner nations should be made three years in advance by SHAPE J7 in coordination with the PCC and SHAPE J5 Cooperation for Partners Section. HNS selection, including either standing or developed Memoranda of Understanding (MOUs) should be concluded by SHAPE and the HN(s) one year in advance or a decision will be made on the continuance of the exercise. Technical Arrangements (TAs) should be concluded by the JFC and the HN(s) six months in advance or a decision will be made on the continuance of the exercise. Joint Implementation Agreements (JIAs), if required, must be concluded by the Component Commands/Sending Nations by the Initial Planning Conference. See Annex L.

3-3 Concept and Specification Development Stage Deliverables The Concept and Specification Development Stage is designed to produce all the documentation that will enable the OCE and the participants to plan and prepare the exercise. The following, in order of delivery, are the deliverables developed during Concept and Specification Development Stage:

a. Exercise Planning Group (EPG) Terms of Reference (TOR). The EPG TOR establishes the purpose, membership, authority and responsibilities of EPG to act on behalf of the OSE. It is drafted by the OSE OPR and approved by the OSE before the beginning of this stage to activate staff, including representatives from HQ SACT, the OCE, participating evaluation teams and TAs as well as other organisations, as required to assist the OPR in developing the exercise guidance, concept and specification. It tasks members to participate in EPG meetings and to deliver specific assessments and input to the EXSPEC and other OSE exercise

5. The ACO Analysis Requirements are promulgated each year and, along with any

amendments, may be accessed on the “SHAPE J7 TTX” web page on the NS WAN.


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documents and requirements. The EPG size will vary from meeting to meeting depending on the agenda and the subject matter expertise required. The EPG TOR and the EPG responsibilities are at Appendices 1 and 2, respectively, to Annex C.

b. OSE’s Exercise Guidance. The OSE’s Exercise Guidance is the OSE’s direction and guidance to the EPG on what he expects the exercise to achieve and how the EPG should place it into a strategic context. The OSE will establish his aim and objectives as well as his vision of the exercise including any specific strategic and operational conditions that must be established. The Exercise Guidance shall be delivered at the initiation of the Exercise Process. It is essential that the OSE’s Exercise Guidance be promulgated prior to OCE initiating exercise planning and development activities (nominally 12 months before Phase III). It shall outline what is expected from the exercise as well as provide a delineation of responsibilities. This guidance is required to orient and focus the OSE’s OPR and the OSE Exercise Planning Group (EPG) in the analysis of requirements and the subsequent development of the exercise concept and specification. The OPR, with the EPG, will assist the OSE in developing this guidance. The Exercise Guidance will be provided to the OCE to support development of the OCE’s Exercise Planning Guidance. A template for the OSE’s Exercise Guidance is at Appendix 1 to Annex D.

c. Exercise Specification (EXSPEC). The Exercise Specification is the OSE’s order to the OCE (and the ODE, when designated) to plan, conduct and analyse the exercise and requires the personal involvement of the OSE Commander in establishing objectives, issuing guidance and approving the concept. The EXSPEC is developed as a collaborative effort with the OCE and the ODE, as well as with other HQs, agencies and centres participating in the exercise. The EXSPEC should include the Geo-Strategic Situation and the draft Exercise Milestone Planning Schedule. It shall provide enough details to support development of the Exercise Plan (EXPLAN) but allow for the shaping of the exercise by the OCE (and the ODE if designated) to ensure full achievement of the OSE’s exercise aim and objectives. It is essential that the Final Draft EXSPEC be promulgated prior to OCE initiating exercise planning and development activities (nominally 12 months before Phase III). Once approved it remains in force unless specifically changed by the OSE. The EXSPEC will be provided to superior command levels as required by MC 458/1. A template for the EXSPEC is at Appendix 2 to Annex D.

d. Core Planning Team (CPT) Terms of Reference (TOR). The CPT TOR establishes the purpose, membership, authority and responsibilities of CPT to act on behalf of the OCE in developing the EXPLAN and required deliverables. It is drafted by the OSE OPR, in coordination with the OCE OPR, and approved by the OSE as soon as requirements are fully defined but not later than the approval of the EXSPEC. It provides the authority for the OCE to activate representatives from external organisations as required, including the TAs, the analysis/evaluation entities, the host nation(s), ACT and the JJJ centres. It tasks members to participate in CPT Meetings (CPTMs), to coordinate requirements and develop planning input to the EXPLAN. Preferably, members of the CPT will act as syndicate chairmen at the planning conferences and will be responsible for the production of their respective portions of the EXPLAN. The CPT TOR and the CPT responsibilities are at Appendices 3 and 4, respectively, to Annex C.

e. Approved Training Objectives (TOs). The development of TOs for an exercise takes place in parallel with the development of the EXSPEC and helps to optimise exercise training value. The TA commander with the advice of JWC and JFTC (as


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applicable) will develop a consolidated and prioritised list of TOs based on the TAs’ annual training requirements list derived from assessment of the TA Commanders’ METs. The OSE in conjunction with the OCE/TA and the participating evaluation team will review the proposed TOs against the TA commanders’ operational and training assessments and the OSE’s aim and objectives to identify training requirements that can be met within the scope and scale of the EXSPEC. TOs will be approved by the OSE and promulgated by the OCE in the EXPLAN. If the exercise includes partners’ participation their NTL tasks in the Partnership Goals should also be taken into account.

f. Exercise Milestone Planning Schedule. The Draft Exercise Milestone Planning Schedule should be presented by the OSE at the ESC. The Draft Exercise Milestone Planning Schedule will be updated throughout the remainder of the exercise process. The Exercise Milestone Planning Schedule may be developed from Annex E, Exercise Process Key Milestones and Timings.

g. OSE’s Analysis Requirements. The EPG will determine the OSE’s analysis requirements for the exercise based upon examination of the current ACO Analysis Requirements as well as consideration of the potential analysis opportunities available within the exercise aim, objectives, scope and scale.

h. OSE’s Approved Experiments. HQ SACT JEEA Division will provide information to the EPG on the nature, scale and scope of any experiments to be considered for inclusion in the exercise. The EPG shall assess potential impacts to achievement of the OSE’s aim and objectives as well as to the approved TOs to determine the level and scope of experiment(s) to be submitted to the OSE for approval. See Annex P, Operational Experimentation Integration.

i. Exercise Specification Conference Minutes. The minutes of the Exercise Specification Conference will include, as appropriate, the commitments of the exercise participants, Nations and Host Nations.

3-4 Concept and Specification Development Stage Main Roles and Responsibilities The MTEP designates the Commanders to serve as the OSE, OCE/OCE (COORD) and the ODE as well as the TA. The main roles and responsibilities associated with the Exercise Concept and Specification Development Stage are:

a. The Officer Scheduling the Exercise (OSE). The OSE is responsible for the organisation and conduct of the Concept and Specification Development Stage. He will designate an Officer of Primary Responsibility (OPR) and activate an Exercise Planning Group (EPG) to accomplish the key tasks and develop the essential deliverables as detailed in Annex B.

b. The Officer Conducting the Exercise (OCE). The OCE is responsible for providing prioritised training requirements and recommended Training Objectives (TO) as well as advice to the OSE during the Concept and Specification Development Stage. He will designate an Officer of Primary Responsibility (OPR) to accomplish the key tasks and develop his essential inputs as detailed in Annex B.

c. The Officer Directing the Exercise (ODE). The ODE for an exercise may be designated in the MTEP or named by the OSE under normal command arrangements. The OSE will establish the division of responsibilities between the OCE and ODE in the EXSPEC to ensure cooperation and mutual support. The ODE will advise the OCE in the development of input for the EXSPEC, the CPT TOR and Exercise Milestones, as well as the development of the OCE’s prioritised training objectives. The ODE appoints an OPR who will assume the roles and responsibilities as detailed in Annex B.


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d. Training Audience (TA) HQs and Units. Upon initiation of the EP, the TA HQs and unit Commanders will designate an OPR and activate an Exercise Project Team to support the OPR. The TAs’ OPRs become members of the EPG and will assume the roles and responsibilities as detailed in Annex B. The TA commanders will provide their operational and training assessments to the OSE.

3-5 Concept and Specification Development Process Key Activities The Concept and Specification Development Stage is organised into eight key activities, each with supporting steps as described below. The milestones and approximate timings for these activities and steps are presented in Annex E, Exercise Process Key Milestones and Timings.

a. Activate the Exercise Planning Group (EPG). The steps supporting this activity are:

(1) Activate OSE OPR.

(2) Issue Exercise Planning Group (EPG) Terms of Reference (TOR). The EPG TOR are at Appendix 2 to Annex C.

(3) Activate the Core EPG. The core EPG consists of the minimal members of the OSE staff essential to support the initial EPG tasks and responsibilities. The EPG responsibilities are at Appendix 1 to Annex C.

(4) Request OCE/TA Operational and Training Assessments and Staff Input. In conjunction with issuing the EPG TOR, the OSE OPR tasks the OPRs from the OCE and TA (as members of the EPG) to forward their current Operational and Training Assessments, as well as prioritised training requirements and recommended TOs. The OSE EPG members are tasked to provide functional assessments and prioritised functional training requirements.

b. Review Strategic Direction and Guidance. The OSE OPR supported by the core EPG will review relevant strategic direction and guidance as the basis for development of the OSE Exercise Guidance and subsequent products. The steps supporting this activity are:

(1) Review MTEP and MTFP. The OSE OPR will provide the MTEP Exercise Description and Budget allocation to establish a common understanding of the exercise parameters as outlined above.

(2) Review Strategic Vision for ACO and Strategic Plan. The EPG must gain a common understanding of SACEUR’s intent, as it should apply to the exercise as well as his strategic priorities for ACO.

(3) Review Contingency Planning Priorities and General Intelligence Estimate. The planning and intelligence representatives will ensure that the EPG members are aware of SACEUR’s contingency planning priorities as well as the priority planning situations, including likely risks and threats.

(4) Review Previous Exercise Assessments, After-Action Reports and Lessons Learned. The EPG will review copies of key documents relevant to the exercise.

(5) Review ACT JJJ Programme of Work. The OSE OPR will confirm the availability of ACT support specified in the JJJ POW.

c. Develop and Issue OSE Exercise Guidance. The OSE Exercise Guidance is to provide the OSE’s direction and guidance to the OSE staff. Additionally it should provide sufficient information to the OCE to develop the OCE’s initial Exercise Planning Guidance. The OSE’s Exercise Guidance template is at Appendix 1 to


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Annex D. The steps supporting this activity are:

(1) Develop Priorities for Missions, HQs, Forces and Functions. The core EPG should recommend priorities for missions, HQs, forces and command functions to be exercised based on extant strategic guidance as well as current priorities.

(2) Review OCE/TA Training Assessments. Based on initial advice from the OCE, the participating evaluation team and TA OPRs, the core EPG should identify and assess training needs and provide broad recommendations regarding the Commanders’ METs and required exercise conditions.

(3) Develop OSE Exercise Aim, Objectives and End-State. The core EPG will recommend OSE exercise aim, objectives and end-state based on results of the analyses to this point.

(4) Develop Guidance on Operational C2 Arrangements. This will be based mainly on the relevant Deployable Forces certification and rotation cycle as well as preparation for possible contingencies and sustainment of current operations.

(5) Develop Guidance on Planning Situations and Settings. Based on analysis of SACEUR’s contingency planning priorities and priority planning situations, as well as likely risks and threats, the core EPG should offer recommendations and seek advice on the use of real or fictional geography, keeping in mind possible political sensitivities.

(6) Develop Guidance on Use of Operational Networks and Command and Control Information Systems (C2IS). Consistent with SACEUR’s vision to develop an integrated command and force structure supported by seamlessly networked command and control systems, the core EPG should provide recommendations on the integration and use of NATO’s deployable command and control information systems.

(7) Establish OSE’s Evaluation and Analysis Requirements. The OSE OPR will determine requirements for evaluations to be conducted during the exercise. OSE analysis requirements may be selected from the current ACO Analysis Requirements or derived from other sources.

(8) Establish Experimentation Requirements for the Exercise. HQ SACT will provide experimentation aims and objectives. All experimentation requirements will be closely coordinated with and approved by the OSE. After approval from SACT and ACO, JWC is responsible for the integration of new concepts into exercises (and training) for joint and combined staff. Once integration of one or more new concepts has been approved, concept sponsors should establish contact with the OSE OPR in order to bring new concepts into the exercise. See Annex P

(9) Coordinate Recommendations. The core EPG members will coordinate draft guidance with their respective staff divisions and HQs and coordinate revisions with the OSE OPR.

(10) Issue OSE Exercise Guidance. The OSE OPR will present and discuss the coordinated draft Exercise Guidance with the OSE for his input as well as his subsequent approval and release. Once the Exercise Guidance has been released the OSE OPR must keep the OSE fully apprised of progress during commander’s update briefs at command group meetings etc.

(11) Activate Full EPG.

d. Develop and Coordinate the OCE/TA Training Objectives. The OCE should translate and consolidate his training requirements into training objectives, which


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describe the desired outcome of a training activity for a training audience and the measures for assessing the performance outcome. Training objectives should consist of a specific performance requirement (task from the OCE/TA METs), the training situation (conditions), the required level of performance (standards) and the performance measures (criteria).

(1) Analyse and Refine TA training End-State. The EPG must determine the condition and status of the TA with respect to its level of training and operational readiness as the conclusion of the exercise, based on the Exercise Objectives and the TOs.

(2) Develop OCE/TA Proposed Training Objectives. The OCE should develop these from the TAs’ METs.6 The OCE may conduct a Training Objective Workshop, involving OCE, TA, the participating evaluation teams and ODE to develop and coordinate OCE/TA TOs. The OCE’s proposed TOs should be presented to the OSE as early as possible in the Concept and Specification Development Stage to enable EPG examination.

(3) Determine Mission Essential Task-Based Training Objectives. On the basis of the preceding analysis and the proposed TOs from the OCE, the EPG should establish a prioritised list of the TA Commanders’ mission essential tasks to be exercised as TOs.

(4) Analyse and Refine OCE/TA Training Objectives. The EPG must determine the extent to which TOs can be accomplished within the OSE’s Exercise Objectives and recommend any refinements to the OCE and TA TOs as required.

e. Analyse Exercise Design Requirements and Limitations. Based on their initial analysis and the OSE Exercise Guidance, the EPG should conduct a thorough analysis of exercise requirements and limitations as a basis for developing an exercise concept. The steps within this activity are:

(1) Analyse and Refine Exercise Objectives. The EPG must determine if any further refinement of the OSE’s exercise objectives is required.

(2) Determine Required Operational Conditions. Based on the OSE’s guidance the EPG should further describe specific operational conditions to be established in the exercise related to the Training Audience Commanders’ mission essential tasks.

(3) Determine Operational Time, Space and Force Requirements. Based on advice from the J2, J3, and J5, as well as the OCE and TA OPRs, the EPG should outline the operational timeline, theatre geometry and force requirements derived from the Exercise Objectives, TOs and METs.

(4) Confirm Host Nation Availability for Exercise Venue. The Host Nation(s) (HN) will have been established in the MTEP. The OSE OPR must confirm the continued willingness and ability of the HN(s) to host the exercise and arrange for OSE and OCE visits as required. See Annex L.

(5) Determine Restraints and Constraints. The EPG should identify any limitations that will impact exercise design including, inter alia; time, use of real world geography, resource limitations, etc.

(6) Determine Key Factors and Deductions. The EPG should capture those key factors that must be addressed in the exercise concept as well as their potential

6. Bi-SC Directive 80-90, NATO Tasks List.


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implications.

(7) Determine Level and Scope of Experiment(s). HQ SACT will provide information on the nature, scale and scope of any experiments to be considered for inclusion in the exercise. The EPG must determine related requirements, assess potential impacts and recommend a decision by OSE on the acceptation, refusal or recommendation for amendments to these experiments. See Annex P.

(8) Determine CIS Constraints and Guidance on the Use of Deployable Equipment. OSE’s guidance should establish whether Deployable Forces Capability Packages are to be deployed.

f. Develop Exercise Concept and Design. This activity is designed to determine how best to design and conduct the exercise in order to accomplish the OSE’s Exercise Objectives and the TOs and achieve the end-state. It will establish how to sequence activities and employ exercise resources. The steps supporting this activity are:

(1) Determine Scope and Level of Participation. The EPG must determine those HQs and forces (when not prescribed by MTEP) as well as other NATO and non-NATO organisations that are required to accomplish the Exercise Objectives and TOs. This should refine the TA and identify requirements for specific response cells.

(2) Develop Planning Situation/Scenario Options. Given the OSE’s guidance and the EPG’s assessment of missions, tasks and conditions, the EPG should determine which planning situations/ scenarios would be suitable, acceptable and feasible or whether a new scenario has to be developed. The JWC managed Bi-SC Scenario Inventory Database should provide an inventory of available planning situations/scenarios.

(3) Develop Exercise Form and Type Alternatives. The MTEP will establish the exercise Form. The EPG should consider alternative types and sub-types which would best support the requirements. The relationship between exercise forms and types/sub-types is illustrated in Figure 3-2. See Appendix 1 to Annex N. The major types that could be associated with CPXs are defined at Annex A.

Figure 3-2 Exercise Levels, Forms and Types

(4) Consider Alternative Sequences of Major Activities. To ensure identification and examination of the most viable exercise design options for the OSE’s decision briefing, the EPG should explore alternative sequences of the major exercise activities. These sequences should address the various means of training the mission essential tasks within different training events or exercise


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phases/sub-phases.

(5) Consider Alternative Exercise Locations and Distribution. Given the various facilities and exercise venues associated with the different exercise forms, types and sub-types the EPG should assess alternatives considering, inter alia, cost/benefit factors. See Paragraph 16, Exercise Location, of Annex F.

(6) Establish the Optimal Level of Partner Participation. The MTEP will establish the planned level of partner participation. The OSE OPR should coordinate with the Partnership Coordination Cell (PCC) to ensure partners are involved as early as possible in line with current NATO policy. The OSE OPR should ensure that the NATO documents required for release to partners participating in the exercise are identified and released as soon as practicable.

(7) Determine the Need to Conduct a PETE for LIVEX open to Partners. Determine the non-NATO participation and the requirement to conduct a Pre-Exercise quality Threshold Evaluation (PETE) and what the PETE needs to include need to be determined for a NATO LIVEX open to Partners. The requirement should be stated in the electronic Partnership Real time Information Management and Exchange system (ePRIME).

(8) Determine Exercise Security Environment Requirements. The EPG, with the support of the HQ Security Authorities, should determine the security environment requirements for the exercise. This must be based upon participation of the partners (as scheduled in the MTEP) and the participation of members of non-NATO organisations required to support the OCE OPR/CPT during the Exercise Planning and Product Development Stage as well as the EXCON during the Operational Conduct Stage. This includes the security environments of the TA’s deployed HQs and their deployed support elements as well as reach-back elements during the Operational Conduct Stage. This step should consider, inter alia: regulation and coordination of all physical, personnel, information and electronic information security issues; document classification, marking and release requirements; identification and authentication/access control; identification of release authorities; CIS multi-level mode of operation requirements; requirements for new Security Agreements/Security Assurances; and any requirements that require SHAPE, MC or NAC staffing. See Annex T.

(9) Determine Costs and Update/Develop Initial Budget Submission. The initial budget submission should be updated based on the exercise scope and level of participation with the associated costs. The requirement for recourses to support costs of non-NATO participation and supportive security arrangements needs to be determined.

(10) Develop and Coordinate Options and Recommendations. Sufficient analysis and wargaming of the options and recommendations should be conducted to support the exercise design options presented to the OSE. The OCE and TA OPRs will coordinate these within their respective HQs and provide feedback from their commands.

(11) Determine Options for Conducting Experiment(s). Based on exercise design, concept and specification, the HQ SACT member of the EPG should confirm each Operational Experiment to be considered for conduct during the exercise. See Annex P.

(12) Present Exercise Design Options to OSE for Decision. The OSE OPR will coordinate the time and place to brief the OSE on exercise design options for


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his decision and, with the support of the EPG, present options and recommendations as well as any requests of further guidance on issues to be developed.

g. Develop Exercise Specification. The EXSPEC is drafted by the EPG based on the OSE’s decisions, direction and guidance, coordinated with the HQs involved and finalised at the ESC. The Exercise Specification template is at Appendix 2 to Annex D. The steps supporting this activity are:

(1) Draft Initial EXSPEC. The initial draft of the EXSPEC is prepared by the EPG and distributed within the OSE HQ and to the OCE, the participating evaluation team, the TA, the participating nation(s) and the ODE, when designated.

(2) Develop Module 1 - Geo-Strategic Situation. The Geo-Strategic Situation Module is prepared by the EPG and should include: a generic description of the crisis area, the major regional actors, a summary description of the current crisis and the historical background of the crisis as well as the major political, military, economic, cultural, humanitarian and legal conditions that support a NATO military response. The Geo-Strategic Situation is summarised in the EXSPEC main body and expanded in an EXSPEC Annex.

(3) Develop the Draft Exercise Milestone Planning Schedule. The Draft Exercise Milestone Planning Schedule should include the major exercise events to be included within the EXSPEC. It will be updated throughout the exercise process.

(4) Determine and Coordinate Exercise Budget Responsibilities. The OSE Fund Manager must coordinate responsibilities with the OCE Fund Manager and the ODE when designated.

(5) Determine the Exercise Public Information Policy. The OSE will determine the PI policy for the Exercise. See Annex J.

(6) Conduct Exercise Reconnaissance, Liaison and Coordination Visits. The OSE OPR will determine the requirements for, assign tasks and coordinate reconnaissance, liaison and coordination visits conducted by or under the responsibility of the EPG. Host Nation confirmation will be requested and, if applicable, site surveys will be conducted. See Annex L.

(7) Determine Real Life Support Responsibilities. The responsibilities for real life support should be clearly delineated in the EXSPEC to ensure availability of resources sufficient to support achievement of the OSE’s aim and objectives.

(8) Coordinate Exercise Specification. The EPG will facilitate coordination and incorporate appropriate comments on the OSE’s Initial Draft EXSPEC for presentation at the ESC.

(9) Prepare Core Planning Team (CPT) Terms of Reference (TORs). The TOR for the CPT are at Appendix 4 to Annex C.

h. Conduct Exercise Specification Conference. The ESC is convened by the OSE with representation of the OCE, HQ SACT, TA, the participating evaluation teams, ODE and Host Nation(s) involved. The ESC aim is to present the coordinated draft EXSPEC for endorsement, to address Host Nation arrangements, to finalise the CPT TOR for the OSE’s signature and to agree the Exercise Milestone Planning Schedule.

(1) Prepare Administrative Arrangements.

(2) Issue ESC Calling Message and Draft Agenda. The OSE OPR will issue the


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calling notice and prepare all administrative details and read ahead material for the ESC. If the exercise is open to partners the OSE will ensure the Partnership Coordination Cell (PCC) is invited to attend the ESC in order to represent partners’ interests.

(3) Convene and Conduct ESC.

(4) Issue Exercise Specification Conference Minutes. The Exercise Specification Conference minutes should be issued as soon as practicable after the ESC.

(5) Provide Exercise Details to PCC for Partners’ Participation. Directly after the ESC, the OSE will provide the PCC the details of all the exercise events to which partners will be invited to attend. The details should include all exercise conference dates, locations, reference documents, etc.7

(6) Finalise EXSPEC and Training Objectives and Forward for Approval. The OSE OPR will incorporate all EXSPEC changes resulting from the ESC and forward the EXSPEC and the Training Objectives for OSE approval.

(7) Issue OSE Approved EXSPEC and Training Objectives. The approved EXSPEC should be distributed by the OSE OPR to the OSE/EPG, OCE, ACT, Host Nation(s), TAs, ODE, supporting Agencies and participating Nations. Procedures for sending the EXSPEC to participating partner countries should be in accordance with Annex R (Military Cooperation Programmes). The OSE approved TOs will be sent to OCE for promulgation in the OCE Exercise Planning Guidance. The OSE’s Analysis Requirements and the OSE’s Approved Experiments will be issued at the same time

7. Participating partners should be invited to all the planning events from the Initial Planning

Conference (IPC) onwards. The OCE is responsible for sending through the PCC the invitations to participate in the IPC. Invitations should be sent at latest three months prior to the event.


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4 - EXERCISE PLANNING AND PRODUCT DEVELOPMENT STAGE

4-1 Introduction The purpose of this Chapter is to provide a detailed breakdown of activities and steps of the Exercise Planning and Product Development Stage of the EP. This stage is led by the OCE and includes development of the EXPLAN and other exercise deliverables including the remaining Scenario Modules. It begins immediately following the Exercise Specification Conference (ESC), pending final approval of the EXSPEC, continuing though with development and approval of the EXPLAN and ends following the Final Coordination Conference (FCC).

Figure 4-1 illustrates an overview of the key activities and products of the Exercise Planning and Product Development Stage as well as its overlapping relationships with phases and sub-phases of the Operational Conduct Stage.

Figure 4-2 portrays the first four activities of the Exercise Planning and Product Development Stage leading to approval of the OCE Exercise Planning Guidance and the production of the initial draft EXPLAN with all of the supporting steps for each activity.

Figure 4-3 portrays the next four activities of this stage including the Initial Planning Conference (IPC) and leading to production of Scenario Modules 3 and 4 as well as the refined draft EXPLAN with all of the supporting steps for each activity.

Figure 4-4 portrays the final three activities of this stage including conduct of the Main Planning Conference (MPC) and the FCC as well as approval of the Final EXPLAN and production and finalisation of Modules 5 and 6 with all of the supporting steps for each activity.

Figure 4-1 Exercise Planning and Product Development Stage Overview


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Figure 4-2 Planning and Product Development Stage Activities 1 through 4


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4-2 Planning and Product Development Stage Deliverables The major deliverables of the Planning and Product Development Stage are the EXPLAN, the MEL/MIL and the collection of stand-alone data and information required to be provided to the training audiences in order to achieve the exercise aim and objectives.

a. OCE’s Exercise Planning Guidance. The OCE Exercise Planning Guidance is the OCE’s detailed direction and guidance to his planners on what he expects the exercise to achieve and how they should place it into an operational context. The OCE’s Exercise Planning Guidance should further address scenario requirements and possible options for achieving the OCE’s envisioned training objectives. This guidance must be in place before the CPT commences work on the EXPLAN. The OCE OPR, supported by the CPT nucleus will draft recommendations for the OCE’s Exercise Planning Guidance. A template for the OCE’s Exercise Planning Guidance is at Appendix 3 to Annex D.

b. Exercise Plan. The EXPLAN (formerly called the Exercise Planning Instructions) is the title given to the primary CPT deliverable of the Exercise Planning and Product Development Stage. The EXPLAN is prepared for and used by personnel and organisations responsible for the planning, conduct and analysis of the exercise as well as standing down the exercise locations after the exercise. The EXPLAN provides direction and guidance to the EPG, CPT, EPTs and the EXCON including the participating evaluation teams, analysis teams and experimentation teams. It shall detail the exercise planning and execution within the parameters given by the OSE. The EXPLAN should refer to the EXSPEC as appropriate rather than copying its content. The EXPLAN is not designed or intended for use by the TA in their operational role; therefore, operational information, which is disseminated using operational procedures, should not be included in the EXPLAN. The EXPLAN is sub-divided into three parts as described below and the Framework EXPLAN is at Appendix 4 to Annex D.

(1) Part 1 - Exercise Instructions and Scenario Development. Part 1 is the most complex part of the EXPLAN and its production will be the primary responsibility of the CPT. It is the OCE’s plan of the schedule, activities, tasks and coordinating instructions for the preparation, conduct and analysis of the exercise. Its major elements include: the Situation; the Mission including the OSE’s exercise aim and objectives; Execution including exercise milestones; Service Support and Command and Control. The Part 1 annexes cover plans/instructions for, inter alia: task organisations/participation, geo-strategic situation, exercise setting/scenario overview, scenario modular products schedule, TOs, STARTEX1 conditions, M&S control plan, RLS, Non-NATO participants, legal, PI, VOB, CPX/LIVEX service/functional/support, environmental protection, exercise safety, force protection, Exercise Process lessons identified/learned and budget.

(2) Part 2 - Exercise Control. Part 2 provides plans and instructions to cover all of the elements of planning, resourcing, executing and reporting the EXCON functional responsibilities.2 The Part 2 annexes cover the EXCON Organisational Structure, Terms of Reference of all EXCON entities and

1. A brevity term used to identify the date and time an exercise phase or sub-phase is planned

to start. The STARTEX date/time may be actual (real world calendar) or based on the days/hours after an earlier exercise event, such as the “G-Day”, that pre-established STARTEX conditions are met.

2. Detailed EXCON organisational information and guidelines used by the JWC and JFTC may be found at Annex H, Roles and Responsibilities of the Exercise Control Staff.


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complete EXCON direction, guidance and instructions.

(3) Part 3 - Evaluation, Analysis and Reporting. Part 3 includes, inter alia, the overall aim of the evaluation and analysis efforts and the mission statements and processes of the Evaluation and Analysis Teams as well as direction, guidance and instructions for: evaluation organisation and evaluation team command relations and post-exercise evaluation/analysis meetings. The Part 3 annexes cover: Evaluation Plan, Exercise Analysis Plan(s), First Impression Report (FIR) Instructions, Hotwash-up and Post-Exercise Discussion (PXD) Instructions and Final Exercise Report (FER) Instructions.

c. Operational Planning and Execution Enabling Deliverables. Documents, information and data intended for use by the TA in their operational role will be disseminated to the TA in accordance with ACO operational processes and procedures using appropriate operational C3 systems to the extent possible. These deliverables include operational and referential data and information from the five remaining scenario modules defined in Appendix 1 to Annex M. These documents, information and data are produced by or under the oversight of the CPT and some may be produced by the appropriate strategic, operational and component commands as well as supporting organisations. The major deliverables to be provided in this manner include:

(1) Module 2 - Theatre of Operations Information.

(2) Module 3 - Strategic Initiation.

(3) Module 4 – Crisis Response Planning Information. When the exercise includes Phase II, Crisis Response Planning (CRP), the participating HQs should produce and deliver OPLANs3 and other associated products fully developed to NATO standards. However, the requisite higher-level planning products need to be produced under the auspices of the higher level HQ when it is not participating in the exercise or produced as specified in the EXPLAN. The CPT/EXCON will produce the required operational plans when there is no CRP exercise phase or when subordinate commands are not part of the TA. An illustration of this process for a CPX at the SHAPE and JFC/JC levels is provided at Figure 4-5 on the next page. This process for a LIVEX is illustrated at Figure 4-6. In case of conducting LIVEXs in a Joint environment; e.g. if different Component Commands (CCs) are conducting their exercises coordinated, in the same timeframe and under one scenario; some of the requirements from the Joint CPX will need to be met.

(4) Module 5 – Force Activation and Deployment Information.

(5) Module 6 – Execution Information.

3. Note that in the past OPLANs produced by some exercise HQs’ Operational Planning

Groups were referred to as “EXOPLANs”. The security classification marking of these plans were often not compatible with the SC’s Security Directives. The ACO Guidelines for Operational Planning (GOP) has clarified operational plan naming and security marking requirements in its Para 8.3b.


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Figure 4-5 Exercise of Operational Planning Process for a CPX

Figure 4-6 Exercise of Operational Planning Process for a LIVEX

4-3 Planning and Product Development Stage Roles and Responsibilities Responsibility for the key deliverables shifts from the OSE to the OCE for the Planning and Product Development Stage. The specific roles and responsibilities that are associated with the Planning and Product Development Stage are:

a. The Officer Scheduling the Exercise (OSE). Once the OSE issues the EXSPEC he hands over the lead for Exercise Planning and Product Development to the OCE and assumes a monitoring and support role as detailed in Annex B.

b. The Officer Conducting the Exercise (OCE). The OCE is responsible for the organisation and conduct of the Exercise Planning and Product Development Stage. He will activate and convene the CPT, as required, to accomplish the key tasks and develop the essential deliverables. He will be supported by a designated EXDIR as specified in the EXSPEC who will assume the roles and responsibilities as detailed in Annex B. The OCE is responsible for the EXPLAN and the scenario modules production.

c. The Officer Directing the Exercise (ODE). When designated, the ODE assumes


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specific roles and responsibilities in support of the OCE as established in the EXSPEC and the CPT TOR. He will normally serve as the EXDIR. He will designate an OPR, and activate an ODE Exercise Planning Team (EPT) to accomplish his planning responsibilities as detailed in Annex B.

d. Exercise Director (EXDIR). The EXDIR will be specified in the EXSPEC and may be provided by the OCE or by the ODE when designated and will assume the roles and responsibilities as detailed in Annex B.

e. Training Audience Roles and Responsibilities. The TAs’ OPRs will assume the roles and responsibilities as detailed in Annex B.

4-4 Planning and Product Development Process Key Activities The Planning and Product Development Stage is organised into eleven key activities, each with supporting steps as described below. The milestones and approximate timings for these activities and steps are presented in Annex E, Exercise Process Key Milestones and Timings.

a. Activate Core Planning Team (CPT). Based on the approved CPT TOR the OCE OPR activates the CPT and holds first Core Planning Team Meeting (CPTM 1). The steps supporting this activity are for the OPR to:

(1) Issue CPT TOR and Request Activation of CPT.

(2) Issue the Calling Message to Convene the CPT.

b. Analyse OCE Requirements and Limitations. The OPR prepares the first CPT meeting, convenes the CPT and leads the CPT through the following steps:

(1) Review OSE Exercise Guidance and EXSPEC. The CPT conducts a mission analysis based on an analysis of the EXSPEC and other references.

(2) Review OCE Operational Priorities. The CPT reviews the mission essential tasks and conditions and conducts a careful comparison of the Exercise Objectives and the approved TOs in order to ensure harmonisation at OCE level and recommend OCE operational priorities based on advice from the TA. The TOs and operational priorities will form the foundation of the work of both the scenario and the MEL/MIL development syndicates. See Annex M, Scenario Development.

(3) Establish Training Audience HQs C2 Requirements. Consider any further development of the C2 arrangements to be exercised.

(4) Develop Operational Requirements for Planning Situation/Scenario. Based on the analysis of the mission essential tasks to be exercised and required conditions the exercise must create, the CPT should articulate further operational level requirements that must be met by the exercise planning situation.

(5) Determine IERs and Develop IER Matrix. For all phases of the Operational Conduct Stage the CPT must determine three basic categories of Information Exchange Requirements (IERs) and Functional Services (FS) requirements during the Planning and Product Development Stage; those to be used by the non-deployable Training Audience, those to be used by the Deployable Forces TAs and those required by the EXCON and its supporting elements. Close coordination between the CPT IER/FS members and the OCE OPR is required in order to stay within the given budget and other administrative limits. The product of this exercise process step should be identification of the NCSA support, TA HQs’ and other assets required to support all three categories’


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IERs and FS requirements during each exercise phase/sub-phase of the Operational Conduct Stage.

(a) Non-Deployable Training Audience IERs and FS Requirements. The non-deployable TA HQs should have HQ-specific standing crisis management plans that specify the IERs and FS requirements for real world crisis situations. For a real world crisis situation it is expected that the IERs and FS requirements in the standing plans would be updated by the responsible HQ IER/FS specialists during the crisis response planning. The CPT should analyse the IERs and FS requirements specified in the standing plans with respect to the envisioned exercise IERs and FS requirements to determine and document any modifications or additional IERs and FS requirements required for the TA participation in the exercise.

(b) Deployable Forces HQs IERs and FS Requirements. Each of the deployable TA HQs should have a generic crisis response plan with IER and FS requirements templates that would be modified to produce real world IERs and FS requirements in the event that the HQ is tasked to join and/or support a real world NATO Deployed Forces (DF) operation. These IERs should be based upon, inter alia, the Minimum Military Requirements (MMRs) for Deployable Forces C2 to achieve interoperability between NATO and National C2 systems to facilitate common situational awareness.4 For a real world crisis situation it is essential that the generic crisis response plan IERs and FS requirements are updated by the responsible DF HQ IER/FS specialists during the crisis response planning. The CPT should compare the generic crisis response plan IERs and FS requirements with the MMRs and with the IERs and FS requirements envisioned by the CPT to establish the C3 systems and capabilities that will be required to accomplish the DF HQ’ mission essential tasks.

(c) Exercise Control IERs and FS Requirements. The CPT should for each exercise phase/sub-phase determine both the EXCON operational IERs and FS requirements, including requirements of the evaluation, analysis and experimentation teams; and the IERs and FS requirements related to EXCON interaction with the TA. This category also includes the IERs and the FS related to interfacing with the TA command and control information systems. Early determination of IERs and FS requirements is important. Full utilisation of IER/FS subject matter experts (SMEs) from the ODE and other supporting HQs, agencies and centres is essential to ensure that the EXCON IERs and FS requirements are identified and planned for, in order ensure a realistic interaction between EXCON and TA; and to reduce any negative impact on the CIS of the TA.

(6) Determine C2IS Integration Requirements. C2IS in peace HQs will normally be operating on a NATO Secret (NS) Wide Area Network (WAN) during exercises. Deployable Forces HQs will operate on a NS WAN and/or on a Mission Secret (MS) WAN. The CPT should ensure the appropriate subject matter experts, including NATO CIS Services Agency (NCSA) representatives, determine the C2IS Integration Requirements for the exercise taking into account, inter alia,

4. IMSM 083-2005 NRF MMR for Common Funded Deployable CIS and HQ CSS Equipment, 7

July 2005, requires NATO and National C2 systems to be compliant with the standard developed by the Multinational Interoperability Programme (MIP).


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the availability, training fidelity, costs and benefits of use of both NS and MS WANs.

(7) Determine Pre-Operational Conduct Training Requirements. Based on its analysis of the TOs as well as the Operational and Training Assessments provided by the OCE and TA, the CPT will determine and prioritise requirements for pre-Operational Conduct individual and collective training.

(8) Consider Pre-LIVEX Combat Enhancement Training (CET) and Force Integration Training (FIT) Requirements. Although conduct of CET and FIT is primarily a national responsibility, the CPT should initiate identification of potential CET and FIR requirements to reduce potential conflicts with training audiences’ participation in the LIVEX phases/sub-phases.

(9) Refine Evaluation and Analysis Requirements. The CPT will review exercise requirements for evaluation and analysis and determine the need for the OCE, in consultation with the OSE and the JALLC (if scheduled in the JJJ POW), to identify individuals to lead these efforts and support the CPT in the development of the Evaluation and Analysis Plans. The CPT and the JALLC (if scheduled in the JJJ POW)) will refine the OSE’s Analysis Requirements into more specific analysis objectives that are clear, demonstrable and achievable.

(10) Develop Experiment Integration Requirements and Limitations. Early engagement by the HQ SACT Operational Experimentation Branch and the JWC Capability Development Division is essential when experiments are to be conducted during the exercise. Due to the nature of the experimentation concepts and tasks the exact form of operational experiments to be conducted may not be finalised until late in the EP. This does not absolve planners from ensuring close links with each other to ensure that mismatches do not occur between the exercise aim, exercise objectives, the TOs and the collective experimental requirements. For ACO exercises, experiments will be accommodated to the fullest possible extent but they will always be subordinate to the achievement of exercise and training objectives. If, based on a review of requirements, the CPT, on behalf of the OCE, determines that there is a need for an Experimentation Integrator, responsible for the integration of experiments and development of the Experimentation Annex to the EXPLAN, HQ SACT will assign one. Costs of incorporation of experiments into an exercise will be monitored throughout the exercise process and will be allocated under the “costs lie where they fall” NATO funding principle. See Annex P.

(11) Determine Initial EXCON Requirements. Based on the EXSPEC and OCE guidance the CPT must determine the EXCON requirements, including the evaluation and analysis team manning, given the TA C2 arrangements and exercise locations. The CPT will consult with the ODE, if designated. If no ODE has been designated the EXDIR will be consulted.

(12) Establish Modelling and Simulation (M&S) Requirements and Constraints. The CPT should determine initial M&S requirements based on the PTA mission essential tasks to be exercised, the required conditions the exercise must create and the C2IS employed by the TA. Although normally only associated with providing SYNEX support to Command Post Exercises (CPXs), M&S tools can play a role in all types and forms of exercise. NATO has a wide range of M&S tools that should be considered for the OCE to develop the scenario modules and to deliver exercise data in the proper formats and granularity to provide the best training for the TA. Some Bi-SC AIS Functional Services such as TOPFAS and ADAMS can also be used by the EXCON as M&S tools in


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designing the scenario or in wargaming potential events/incidents and their supporting injections. The use of M&S tools by EXCON must be transparent to the TA. Further considerations for use of M&S in support of exercise development and during exercise conduct can be found at Annex N.

(13) Assess M&S Tool Options and Cost/Benefits. Care must be taken to identify the M&S solution for the exercise that best will ensure that the exercise aim and objectives are achieved. New scenarios with complex in-theatre forces and fictional geography may require the development of M&S databases with long lead times. Computer assistance for developing, managing and delivering the MEL/MIL injections can enhance a CPX with little additional resource expenditure. M&S can ensure a consistent time/space/force/information representation of a complex scenario as well as provide an automated feed of information in the proper formats and levels of granularity to the C2IS employed by the TA. However, caution must be taken when the M&S tools supporting the Opposing Force (OPFOR) simulation also are providing the OPFOR ‘ground truth’ to TA situational awareness Functional Services, such as the TAs’ common/recognised operational pictures, as it is unlikely that the TA would have the same fidelity of information for an actual operation. Employment of a tailored M&S solution can also reduce the required number of personnel in the EXCON structure. Cost/benefits analyses should be conducted to identify the best M&S tools package for the exercise. See Annex N.

(14) Determine Operational CIS Requirements and Constraints. Analysis of the operational CIS requirements should be based on the TA C2 arrangements as well as EXCON requirements during the entire exercise. The CPT CIS member should advise on the availability of organic systems and maximum Points of Presence (PoPs) that can be supported as well as any costs for leased CIS. Rental and/or acquisition of CIS is possible if Deployable CIS (DCIS) assets or NCSA CIS services are not available and if eligible for NATO funding (eg; in compliance with in STANAG 5048 for NATO land forces). Detailed CIS support considerations are provided at Annex G, Guide to Planning CIS Support to NATO Exercises.

(15) Determine Real Life Support (RLS) Requirements. RLS requirements for exercises will vary from minimal (eg; for exercises that take place within own HQs of the participants) to moderate (eg; for exercises where some HQ elements are deployed in the field or to a training centre) to extreme (eg; where HQs and forces deploy for LIVEX). The CPT should assist the J4 and his own HQ Support Group subject matter experts (SMEs) in determining preliminary requirements based on venues and the level and scope of participation at deployed locations, including for EXCON. Provision of RLS is the responsibility of the operations departments in coordination with the respective HQ.

(16) Determine Deactivation Requirements for Exercise Sites. The CPT should determine requirements for deactivation of all exercise sites after each appropriate phase/sub-phase. These requirements should include redeployment of all participants as well as NATO and troop-contributing national assets and completion of all contractual claims, environmental tasks and actions.

(17) Determine Budget Requirements and Eligibility. The OCE Exercise Fund Manager will review and further develop budget requirements and funding eligibility with the CPT for different functional areas such as CIS, RLS, HNS, etc. When the exercise and all connected events have been approved in the respective partner programmes, funds will be allocated for the exercise.


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Detailed exercise budget considerations are provided at Annex F, Guide to Exercise Budgeting.

(18) Prepare and Submit the Draft Initial Exercise Press Release (IEPR) to SHAPE. The OCE PIO is responsible for developing, in close coordination with the host nation, the draft IEPR. The draft IEPR must be submitted through the OSE to PIA/IMS at least nine weeks prior to STARTEX of the Operations Conduct phase or the intended IEPR date, whichever is earlier. If SHAPE is not the OSE then the draft IEPR must be submitted at least 10 weeks prior to STARTEX or the intended IEPR date, whichever is earlier. After approval of the IEPR by the Military Committee (MC), Political Committee (PC) or the Political Military Steering Committee (PMSC), the OSE has PI release authority for the exercise. Subsequent release authority may be delegated to the OCE. See Annex J.

c. Issue OCE Exercise Planning Guidance. The OPR, supported by the CPT will draft and staff the OCE’s Exercise Planning Guidance for approval. The steps supporting this activity are:

(1) Develop Guidance on Missions, Forces and Tasks. The guidance should be based on the OSE’s aim and objectives taking OCE’s intent, constraints and limitations into account as well. It should describe OCE desired flow of the exercise and the missions and tasks to be planned and/or executed by the TA during the exercise. The OCE desired exercise flow will be the basis for the detailed exercise design required for further scenario development.

(2) Provide Further Guidance on TA Command Arrangements. This guidance to the CPT should ensure the scenario is designed to allow freedom of action for the TA to design an operational C2 structure and command arrangements appropriate for the mission and mission essential tasks to be exercised during the different exercise phases/sub-phases.

(3) Provide Guidance on Scenario Development. The OCE’s scenario guidance should focus on further describing those essential strategic and operational conditions that the scenario must establish in order to exercise the mission and essential tasks in an environment and conditions that conform to the TA’s most likely or most challenging potential employment options. See Appendix 1 to Annex N. Factors for the CPT to consider in developing the guidance include, inter alia:

(a) Scenario documents and Bi-SC AIS Functional Services/tools compliant data may have to be developed based on the availability, maturity and completeness of the off-the-shelf scenario and its supporting data.

(b) Selection of off-the-shelf scenarios with geography supported by digital mapping products, intelligence supported by satellite and other imagery, comprehensive country study reports with challenging but uncontroversial ethnic, separatist and religious groupings, realistic orders of battle in NATO data formats etc; may reduce the scenario module development time. The JWC scenario library should be considered as a potential source.

(c) Off-the-shelf scenarios may not be capable of manipulation to meet the exercise or training objectives.

(d) The OCE/ODE scenario developers should consider possible restrictions imposed on the OCE in his choice of scenario, due to development cost, time available or political sensitivities.


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(e) Decisions to use real-world country data as a basis for a fictitious scenario must be made prior to the ESC to ensure time for any NATO HQ approval process.

(f) Use of real-world country data for of LIVEX scenarios may be influenced by political factors. LIVEXs require scenarios in which real forces are working in a real environment in order to benefit from the tactical training. These scenarios are to be built to promote the training objectives. The scenario has to be built around the ‘live’ factors. This is also valid for NRF LIVEX scenarios, which may contain limited details from the major Joint CPX where they fit without negative impact on the tactical training.

(4) Provide Direction for Use of Operational Networks and C2IS.

(5) Provide Guidance on Pre-Operational Conduct Training. This guidance to the CPT should cover all pre-Operational Conduct EXCON training for each Exercise Phase. The training programmes to be referenced in the EXPLAN should include individual and collective training requirements for EXCON specialised tools as well as the training requirements for EXCON use of Bi-SC AIS Functional Services. If appropriate, the guidance should include pre-Operational Conduct training for members of the evaluation and analysis teams participating in the exercise. If desired, the guidance may also address some pre-Operational Conduct training requirements for TA commanders and staff. However, the TA HQs will remain responsible for individual and collective training of their own commanders and staff.

(6) Provide Guidance on Pre-LIVEX Combat Enhancement Training (CET) and Force Integration Training (FIT). For LIVEXs.

(7) Provide Guidance on Evaluation Requirements and Analysis Objectives. The OCE and representatives of the participating evaluation teams and each HQ planning analysis activities during any exercise phase/sub-phase shall examine the ACO evaluation requirements and planned analysis objectives to ensure they fit within the scope and scale of the exercise without compromise to the exercise aim, exercise objectives and TOs.

(8) Provide Guidance on Experimentation. The OCE Experimentation point of contact in cooperation with the HQ SACT Experimentation Venue Coordinator and/or JWC Experimentation Integrator will review the experiments and new concepts planned to be conducted during the exercise as approved by the OSE. The purpose is to make sure that any possible new developments regarding approved experiments will not interfere with the exercise aim and objectives and the training objectives. Any potential issues will be resolved between the OSE, through SHAPE, and HQ SACT. See Annex P.

(9) Provide Guidance on EXCON. The OCE guidance on EXCON should address organisation, manning, training, RLS-issues and reflect exercise design, scenario, TA C2 structure, etc.

(10) Provide Guidance on Modelling and Simulation Tools. The OCE M&S guidance should address M&S requirements and resources including manpower, hardware/software, networking and databases. See Annex N.

(11) Provide Guidance on the Use of Deployable CIS and AIS. This should focus on achieving the MMRs for Deployable Forces C2 to achieve interoperability between NATO and National C2 systems to facilitate common situational awareness, NATO and national C2 information, and tracking of forces during all phases of the operations. It should address requirements for integrating Bi-SC


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AIS Functional Services and ensure the availability of requisite theatre and force data. See Annex G.

(12) Provide Guidance on the Use of Deployable Equipment and HNS. Requests for usage of the deployable equipment shall be directed to SHAPE J-4. Taking into account the training objectives, the OCE OPR will submit the request to SHAPE J-4 as early as possible during the Exercise Process. The request will be balanced against real world requirements and the guidance provided by SHAPE DCOS Ops on the usage of CP-156 equipment for training purposes.

(13) Develop Guidance on Establishment and Conduct of Syndicates and Additional Conferences. The CPT must identify these requirements early and ensure they are included in the EP Milestones. Insofar as practicable, exercise planning and development coordination, syndicate meetings and conferences should be conducted virtually using video-teleconferencing (VTC) or network conferencing tools. On syndicates linked to the already planned conferences in the EP the OCE should give general guidance. A list of syndicates and additional conferences is included at Appendix 3 to Annex D.

(14) Develop Task Allocation and Coordination Requirements. The CPT will determine the requirements for task allocation and coordination and produce the refined milestones and coordinating instructions.

(15) Present Options and Recommendations to OCE for Approval. The CPT will have identified any issues requiring further OCE guidance as well as those that require referral to the OSE for additional direction and/or guidance. The OCE OPR will brief the OCE on the results of the CPT analysis and recommended OCE guidance for his consideration and endorsement.

(16) Issue OCE Exercise Planning Guidance.

d. Develop Initial Draft Exercise Plan (EXPLAN). In parallel with the approval and release of the OCE Exercise Planning Guidance, the OCE OPR will task the CPT to develop their respective portions of the initial draft EXPLAN and initial planning information in preparation for the site survey and the Initial Planning Conference (IPC). The Framework EXPLAN at Appendix 4 to Annex D provides a guide. However, the CPT must adapt this format to their actual requirements. Specific steps to be completed by the CPT are:

(1) Review OCE Exercise Planning Guidance.

(2) Develop the OCE's Intent and Concept of the Exercise. This will be based on the OCE Exercise Planning Guidance and further developed to describe how he intends to conduct the exercise.

(3) Develop OCE’s C2 Structure and Arrangements. This is the C2 structure and arrangements for the conduct and support of the exercise, not the C2 structure and arrangements to be developed by the TA.

(4) Develop C2IS Architecture/Data Management Plan.

(5) Draft Pre-Operational Conduct Training Plan (Schedule of Activities). This plan should cover all pre-Operational Conduct EXCON training to support each Exercise Phase. The plan should include individual and collective training requirements for EXCON specialised tools as well as the training requirements for EXCON use of Bi-SC AIS Functional Services.

(6) Develop Concept of Evaluation/Analysis. This concept should be developed by the DIREVAL in coordination with the designated evaluation/analysis team leaders.


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(7) Develop Initial Draft Experimentation Annex. HQ SACT lead, with experiment SMEs will develop initial draft Experimentation Annex. The annex should have a main body, and appendices for each experiment that include experiment information, the concept and scope of the experiment, aims and objectives, conduct of experiment, support requirements, etc. See Annex P.

(8) Develop EXCON Concept and Structure.

(9) Develop M&S Architecture and Data Exchange Requirements.

(10) Determine EXCON CIS Requirements. See Annex G.

(11) Develop CIS Architecture.

(12) Develop RLS Concept.

(13) Update Exercise Budget. See Annex F.

(14) Convene the CPT to Coordinate and Consolidate the Initial Draft EXPLAN. The purpose of this meeting is to produce the initial draft EXPLAN. Note: the number and timing of CPT meetings should be at the prerogative of the OCE OPR rather than only at specific points in the exercise process.

(15) Develop Exercise Synchronisation Matrix. The CPT will use the Exercise Milestone Planning Schedule as the foundation to develop the Exercise Synchronisation Matrix which should include the following major lines of activities (1) Operational Conduct Stage Activities/Steps; (2) for LIVEXs, national CET and FIT activities; (3) the training audiences’ participation in the exercise training model phases/sub-phases; and, (4) the exercise scenario Main Events. The Exercise Synchronisation Matrix can be used throughout the EP Stages 2 and 3 as a tool to facilitate coordination and synchronisation between the CPT/EXCON requirements, related tasks and the exercise planning milestones.

(16) Determine EXPLAN Annex Requirements.

(17) Develop HNS Requirements. These requirements should guide the Site Survey and contribute to the subsequent development of the Statement of Requirements for HNS.

(18) Allocate and Coordinate Tasks.

(19) Issue Initial Draft EXPLAN.

e. Develop Module 2 - Theatre of Operations. The Theatre of Operations Module is the second scenario module. It is developed from the Geo-Strategic Module produced during the Exercise Concept and Specification Development Stage and published with the EXSPEC. The Theatre of Operations Module contains static information/data about the region to support strategic assessments and operational planning. This module may consist of wholly or various mixes of real, synthetic and fictitious information/data. Information/data will be produced according to NATO information standards and support the use of Bi-SC AIS Functional Services. Products should be developed by the CPT in a cross-functional Operational Information Management Syndicate or Theatre Data Working Group. Products will be required prior to the CRP Initiation, which may occur before the MPC, and may be required earlier to support HQ-specific pre-Operational Conduct training events. The steps supporting this activity are:

(1) Review Scenario Module 1 – Geo-Strategic Situation. The Geo-Strategic Situation Module published with the EXSPEC should be reviewed to ensure its coherency with the corresponding elements of the Theatre of Operations


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Module. This may result in scenario design refinements with respect to the use of real, synthetic, fictionalised or fictitious scenario data.5 Scenario designers should select the design refinements that best comply with political sensitivities, unavailability of theatre information or other constraints.

(2) Develop Exercise Map Datasets. Information/data will be produced according to NATO information standards and support the use Bi-SC AIS Functional Services. Geospatial information/data must be compatible with the Bi-SC AIS Core GIS Service.

(3) Develop Theatre of Operations Country Information/Studies. The country data/information should be provided in the applicable format; i.e. STANAG 20776, Country Catalogue or as specified.

(4) Develop Theatre of Operations ORBAT Data. Select real, fictional or generic forces and provide data in the format and level of detail that would be available if the situation were real. The locations of the ‘friendly’ forces at this point should be their home stations.

(5) Develop Theatre of Operations Infrastructure Data.

(6) Develop OPFOR Campaign Plan (for use by EXCON only).

f. Conduct Site Survey. The Host Nation(s) (HN) will have been established in the MTEP and confirmed by the OSE during the Exercise Concept and Specification stage. As soon as practicable, the OCE OPR should coordinate with the HN(s) for site surveys to establish the basis for planning including the availability and cost of HNS. Key steps to be completed during the site surveys are:

(1) Identify and Coordinate Legal Issues. This is especially important when the exercise venue is in a country that has not ratified either the NATO or PfP Status of Forces Agreement (SOFA). The OCE OPR should determine existence and requirements for SHAPE-level Memoranda of Understanding (MOU), JFC-level Technical Arrangements (TAs) and component-level Joint Implementation Arrangements (JIAs). The OCE OPR should also consider any Arms Control treaties and agreements to which the HN is a signatory and which may impact on the exercise. See Annex L.

(2) Survey and Coordinate CIS Support. See Annex G.

(3) Survey and Coordinate Logistical Services and Support. This should include coordination for the use of facilities, infrastructure and real estate as required.

(4) Survey and Coordinate Force Protection Arrangements. Force protection (FP) measures will be included in all training event and exercise planning and conduct. Exercise planners will incorporate aspects of FP, starting prior to the IPT and continuing throughout the exercise process. FP considerations for exercises are at Annex K.

g. Conduct Initial Planning Conference (IPC). The IPC is the first meeting conducted by the OCE with representatives from all participating NATO and national commands comprising the TA as well as the HN, supporting centres and agencies. The numbers of participants per delegation are to be defined by the OCE taking into account the programme of work of the IPC. The aim is to present the initial draft EXPLAN and draft Scenario Module 2, confirm requirements, develop commitments and capture pertinent information required to develop and coordinate

5. Definitions of synthetic, fictionalised and fictitious scenario design types are in Annex A. 6. STANAG 2077, Intelligence Records, Edition 7, 13 February 2003.


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a draft EXPLAN and further develop the scenario. Syndicates will convene in accordance with the IPC programme of work to further develop the EXPLAN and input and requirements for scenario Modules 2 (Theatre of Operations) and 3 (Strategic Initiation). The steps supporting this activity are:

(1) Determine Requirements for IPC Syndicates. The CPT should determine the optimal requirements for syndicates to be conducted during the IPC including essential subject matter expert representation from participating organisations. The OCE OPR will incorporate these into the IPC Programme of Work.

(2) Prepare Administrative Arrangements. Ensure adequate facilities for plenary and syndicate working areas.

(3) Issue IPC Calling Message and Draft Agenda. The OCE OPR will issue the calling notice and prepare all administrative details and read ahead material for the IPC. This material should include as a minimum the Initial Draft EXPLAN.7

(4) Convene IPC.

(5) Review OSE Exercise Guidance, EXSPEC and OCE Exercise Planning Guidance. The IPC will be opened by the OSE OPR with review of the OSE Exercise Guidance, the EXSPEC and the Exercise Milestone Planning Schedule; then the chair will be handed over to the OCE OPR.

(6) Review Requirements, Tasks, Synch Matrix and Milestones. The OCE OPR should establish the means to keep track of requirements, related taskings and milestones as well as use the Exercise Synchronisation Matrix to facilitate coordination.

(7) Confirm Player HQs/Forces Level and Scope of Participation.

(8) Task Organise IPC into Syndicates. The OCE OPR will task designated CPT members and SMEs to organise and lead syndicates as established in the IPC Programme of Work.

(9) Review Planning Situation and Theatre Information Requirements.

(10) Assess C2IS Information Management/Data Population.

(11) Assess External Training Support Requirements. This should include, inter alia, the requirements for observer and training teams as well as senior mentors.

(12) Assess Requirements for Augmentation and Support for TA.

(13) Assess Evaluation, Observation and Analysis Requirements. For NATO Open LIVEX and COOP LIVEX, determine if any Partner wants to conduct any evaluation and finalize PETE Requirements.

(14) Assess Experiment Integration and Training Requirements. The Experimentation Syndicate, in coordination with other IPC syndicates as

7. For the PFP, MD and ICI nations the invitation and unclassified documents are to be sent at

latest three months prior to the event both via the Partnership Real-time Information Management and Exchange System (PRIME) and the PCC with a copy to SHAPE J5 COOP Branch. Classified documents are not to be uploaded on the ePRIME; they are only to be sent via the PCC with a copy to SHAPE J5 COOP Branch. The NATO-Russia Interoperability Framework Programme (NRIFP) and other cooperation programmes will be in accordance with separate guidelines provided with each programme; in the event of no such guidance, contact SHAPE J5 Military Cooperation for format and procedures. The procedures for inviting partners can be found at Annex R, Military Cooperation Programmes.


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required, will conduct initial assessment of experiment integration and training requirements, based on the Experiment Specification Sheets issued in the read ahead documentation. See Annex P.

(15) Assess EXCON Manning and Resources.

(16) Assess Interface of M&S Tools with Operational C2IS. The M&S syndicate in cooperation with CIS syndicate will conduct an initial assessment of requirements for M&S tools to interface with operational C2IS. Developing and testing required interfaces will be an integral part of the SYNEX preparation and be published together with the plan for SYNEX preparation, in the EXPLAN. See Annex N.

(17) Assess CIS Resources and Connectivity. See Annex G.

(18) Assess Force Protection with SNs and HNs. The OCE and the host nation(s) jointly share the principal responsibility for FP planning in regards to the execution of exercises and their associated conferences, and must develop a plan that the sending nations (SNs) providing LIVEX forces consider adequate. Published as an EXPLAN annex, this plan must include FP for all stages of the exercise process including all exercise execution phases/sub-phases. Once the FP plan has been agreed to by the OCE, SNs and HN(s), the agreed-to provisions will be incorporated into either the HN support Memorandum of Understanding (MOU) or the Technical Arrangement. See Annex K for specific FP guidance.

(19) Determine Funding Requirements for the Allied Press Information Centre (APIC). See Annex J.

(20) Assess Augmentation, External Support and HNS.

(21) Assess Cost Responsibilities with HN.

(22) Draft the STARTEX Conditions for Sub-Phase IIIA and Sub-Phase IIIB. The STARTEX conditions for these sub-phases should be drafted to support achievement of the OSE’s Exercise Objectives and the OCE’s TOs. The draft STARTEX conditions should be designed to take into consideration the effects of the TAs’ products and performance from the previous phase/sub-phase as well as the circumstances and relationships that must exist to allow the TAs to practise activities required to fulfil the sub-phase objectives. These draft conditions will be finalised at the MPC.

(23) Determine Partners’ Document Requirements. The OCE OPR should, through the different syndicates, determine if there are any additional8 documents crucial for the exercise that should be released to Partners and forward requests for their release to PCC through the OSE OPR.

(24) Consolidate Requirements and Issue Tasking.

(25) Establish Points of Contact for All Participating Organisations.

(26) Determine Requirements for IO/NGO Participation/Support. The participation of IOs and NGOs in NATO military exercises must be coordinated with the MC and NAC as per MC 411/1, AJP 9 and MC 550, unless covered in a Memorandum of Understanding (MOU), Letter of Agreement (LOA) or another similar agreement, or that the participation follows a routine cooperation with

8. The authoritative list of NATO documents released to partners is maintained by the PCC

Integration and Document Release Branch (0032-65-44-5918).


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NATO and is limited to the portrayal of its own role in the exercise; otherwise participation must be coordinated with SHAPE J9. IOs/NGOs will be invited by the OCE, (JWC for STEADFAST series joint exercises) to send representatives to participate in all NATO exercises. The OCE will coordinate all necessary details with regards to the IO/NGO participation, including participation in exercise planning, developing the MEL/MIL and exercise execution, reimbursing expenses as necessary, and based on the existing arrangements on a case-by-case basis.

(27) Determine Key Issues for Resolution and Way Ahead.

(28) Issue IPC Minutes, Decisions, Issues and Way Ahead. The OCE OPR will prepare and present a summary of main points at the conclusion of the IPC, including decisions, issues for OCE/OSE clarification and way ahead. He will issue the minutes within five working days.

h. Develop Refined Draft Exercise Plan (EXPLAN) and Products. Following the IPC the CPT should have adequate information to complete the refined draft EXPLAN as well as to proceed with the full development of Scenario Module 2 (Theatre of Operations) and begin developing Scenario Modules 3 (Strategic Initiation) and 4 (Crisis Response Planning Information). The steps supporting this activity are:

(1) Finalise OCE's Intent and Concept of the Exercise.

(2) Finalise OCE’s Operational C2 Structure and Arrangements.

(3) Develop Module 3 - Strategic Initiation. The Strategic Initiation Module establishes the international and NATO political desired end-state, objectives, limitations and directions as well as the supporting strategic military assessments and planning guidance following the NATO Crisis Response System. This module should include, as a minimum:

• Road to Crisis (a narrative summary of the main events leading to planning situation, included in MEL/MIL database).

• UNSC Resolutions or other documents providing the legal basis for the operation.

• Strategic Military Assessment.

• NAC Initiating Directive.

• SACEUR and intermediate Commanders’ Planning Guidance/ Directives.

(4) Develop Module 4 - Crisis Response Planning Information. The Crisis Response Planning Information Module provides current updated information and data about the international and regional situation. Information and data are produced in accordance with ACO directives and in Bi-SC AIS Functional Services and doctrinal APP-11 series formats (where available). This module should include:

• Current Intelligence Summary.

• Friendly Forces. Forces available for planning based on NRF Readiness Reporting System (RRS) and NATO ORBAT as well as current disposition of friendly forces in the theatre area.

• Target Integrated Data Base (IDB).

• Civil Military Assessment/data.


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• Environmental Assessment/data.

• OLRT Recce Reports.

• NCRS messages and measures.

• TOPFAS/LogBase dataset.

• Intelligence dataset, including regional forces’ data.

• MEL/MIL as appropriate for Phase II.

(5) Deliver C2IS Database(s) for Operational Planning. The CPT should ensure that databases are sufficient to support operational planning.

(6) Refine Phase I Training Annex. This should include the external training support and the NATO Exercise Training Model Phase I activities.

(7) Develop Evaluation and Analysis Plans.

(8) Assemble Experimentation Annex.

(9) Finalise EXCON Structure and Arrangements.

(10) Finalise the Exercise Process Lessons Identified, MER and AAR Procedures.

(11) Finalise Exercise CIS Architecture and Implementation Annex. See Annex G.

(12) Finalise the PI Annex in the EXPLAN. See Annex J.

(13) Finalise Support Annex and Arrangements.

(14) Update/Refine Exercise Budget. See Annex F.

(15) Issue Refined Draft EXPLAN to CPT.

(16) Convene CPT to Review the Refined Draft EXPLAN.

(17) Issue Refined Draft EXPLAN. The OCE OPR will staff the refined draft EXPLAN for approval with the HQ and then distribute it.

(18) Finalise Phase I Training Package. This should include, inter alia, vignettes, practical exercises and subject matter expert presentations.

i. Conduct Main Planning Conference (MPC). The steps supporting this activity are:

(1) Determine Requirements for MPC Syndicates. The CPT should determine the optimal requirements for syndicates to be conducted during the MPC including essential subject matter expert representation from participating organisations. The OCE OPR will incorporate these into the MPC Programme of Work.

(2) Prepare Administrative Arrangements. Ensure adequate facilities for plenary and syndicate working areas.

(3) Issue Calling Message and Draft Agenda. Calling message should include, at least, participation requirements/limitations, draft agenda and the refined draft EXPLAN. The procedures for inviting partners can be found at Annex R, Military Cooperation Programmes. For exercise participation IOs/NGOs are invited by the OCE.

(4) Convene MPC. Participation in the MPC will represent the same organisations as for the IPC. The MPC should allow further coordination between all planners, including exercise, operational and functional experts (finance, VOB, exercise control) to be achieved. Coordination issues for PfP/MD/ICI nations will be conducted as in the IPC. The aim of the MPC is to collect final inputs to the EXPLAN as required to gain endorsement and enable the development of


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the remaining scenario modules.

(5) Review Requirements, Tasks, Synch Matrix and Milestones. The OCE OPR should review requirements, related taskings and milestones as well as use the Exercise Synchronisation Matrix to facilitate coordination.

(6) Review/Update EXPLAN Development.

(7) Task Organise MPC into Syndicates. As during the IPC the OCE OPR will task designated individuals to organise and lead syndicates as established in the MPC Programme of Work.

(8) Finalise C2IS Implementation.

(9) Confirm (LIVEX) Force Contributions. This should include participating force balancing and confirmation of LIVEX RLS.

(10) Finalise External Training Support.

(11) Finalise Evaluation Requirements/Analysis Objectives.

(12) Finalise Evaluation, Analysis and Experimentation Structures. Finalise the DIREVAL, Evaluation, Analysis and Experimentation structures, together with all reporting requirements; assign responsibilities for evaluation, analysis and, experimentation including respective responsibilities for the collection of data and any augmentation requirements.

(13) Issue PETE Results. (for LIVEX)

(14) Finalise PfP/MD/ICI Coordination Requirements. Coordination issues for PfP/MD/ICI nations will be conducted as in the IPC.

(15) Finalise Experimentation Annex. This should include finalisation of all experiment integration issues.

(16) Finalise STARTEX Conditions for Sub-Phase IIIA and Sub-Phase IIIB. STARTEX conditions for Sub-Phase IIIA and Sub-Phase IIIB should be finalised to ensure conditions are set for achievement of the OSE’s aim and objectives and the OCE’s TOs. The Sub-Phase IIIA STARTEX conditions will be applied following completion of the analysis of the TAs’ Phase II products.

(17) Finalise EXCON Manning. This should include finalisation of the EXCON organisational structure, manning and fulfilment. Finalisation of augmentation requirements by HQs, agencies, centres and Nations.

(18) Finalise CIS Implementation and Transportation Plan/Cost. This should include final details of CIS support for the training audiences, EXCON and all supporting elements, agencies and centres for all four exercise phases. See Annex G.

(19) Review M&S Support Plan.

(20) Determine Distinguished Visitors, Observers and International Inspectors.

(21) Confirm RLS. Resolution of all RLS/Host Nation issues remaining. Report on any final Reconnaissance and other Surveys: Real Life Support, Force Protection, Environmental, Legal etc. Approval of the live support requirements, including set-up of exercise location, Host Nation Support, C2 architecture and Force Protection. The development of the EXPLAN must address safety and environmental issues, especially for LIVEXs, and ensure that provisions are made to deal with potential real world emergencies such as fires, oil spills, medical emergencies, etc. See Annex L.


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(22) Confirm Force Protection (FP). The FP syndicate should review updated threat information and its products should include provisions for dealing with potential threat or crises that could emerge during the exercise. See Annex K, Force Protection (FP) Considerations.

(23) Determine Key Issues for Resolution and Way Ahead. Open issues should be identified and staffed if possible to recommend the way ahead for their resolution before the FCC, or, if appropriate, before exercise phases that they would impact.

(24) Issue MPC Minutes, Decisions, Issues and Way Ahead. The OCE OPR will prepare and present a summary of main points at the conclusion of the MPC, including decisions, issues for OCE/OSE clarification and way ahead. He will issue the MPC minutes within 5 working days.

j. Finalise Exercise Plan (EXPLAN) and Products. Following the MPC the CPT should have adequate information to finalise the draft EXPLAN as well as scenario Modules 2 (Theatre of Operations), 3 (Strategic Initiation) and 4 (Crisis Response Planning Information) for approval. Following Phase II, Crisis Response Planning and the availability of the TAs’ OPLANs and other planning products, the CPT should finalise development of scenario Module 5 (Force Activation and Deployment) and Module 6 - Execution (STARTEX and MEL/MIL). The steps supporting this activity are:

(1) Finalise EXPLAN and Forward for Approval. As soon as possible after the MPC and prior to the exercise Phase II, Crisis Response Planning, the OPR will forward the Final EXPLAN to the OCE for approval, accompanied with any comments, remarks or concerns by the participating HQs or member nations. The OCE OPR may convene a CPTM if required to facilitate completion.

(2) Issue Approved EXPLAN. The EXPLAN is an order to action addressees and will be referenced by HQs, agencies and centres when issuing Operation Orders (OPORDs) for activation and deployment of EXCON elements to support exercise phases/sub-phases. Administrative/Logistics Orders issued in conjunction with or in relation to EXPLAN may be used as a basis for the orders of supporting units and to provide information to other EXCON or supporting elements.

(3) Develop Module 5 - Force Activation and Deployment Information. Once the TA initiates Phase II, Crisis Response Planning, the CPT/EXCON will coordinate/generate the national and strategic force generation, activation and deployment information as required to enable the development and completion of the respective OPLAN. This Module provides external information/data in response to player CONOPS and CJSOR as well as player Commander’s Critical Information Requirements (CCIRs) as required to complete execution planning and to initiate deployment and initial entry operations. Specific products (eg; ACTORD and ORBATTOAs) may be issued prior to or during Sub-Phase IIIA. The CPT/EXCON should carefully analyse the results of the TA’s operational, sustainment, deployment and specialised functional planning against the pre-established Sub-Phase IIIA STARTEX conditions necessary to achieve the exercise objectives and conduct wargaming of the execution of these plans to determine the optimal STARTEX date/time for the exercise Sub-Phase IIIA. Module 5 information/data are to be produced in accordance with ACO directives and in Bi-SC AIS Functional Services and APP-11 series doctrinal formats (where available); including:

• ACTWARN/ACTREQ Messages.


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• FORCEPREP Messages.

• Allied Force List.

• Force Balancing Results.

• Status of Forces Agreements (SOFAs)/Memoranda of Understanding (MOUs)/Technical Arrangements (TAs).

• MNDDP (Developed by Allied Movement Coordination Centre (AMCC)/ HICON).

• Current Intelligence Summary (INTSUM)/ Intelligence Report (INTREP) (as required).

• Joint Target List.

• NCRS Messages.

• Rules of Engagement Authorisation (ROEAUTH)/Implementation (ROEIMPL) Messages.

• ACTPRED/ACTORD Messages.

• ORBATTOA Messages.

• MEL/MIL as appropriate for Sub-Phase IIIA.

(4) Analyse and Assess Phase II – Crisis Response Planning Products. EXCON will analyse the completed planning products to ensure that they are adequate and will enable the exercise aim, objectives and TOs to be accomplished in Sub-Phases IIIA and IIIB.

Note: This step corresponds to the Stage III Observe and Evaluate/Analyse the CRP step in Chapter 5, paragraph 5-5 b (6).

(5) Develop Module 6 - Execution (STARTEX and MEL/MIL). The Execution Module describes the current situations at STARTEX for Sub-Phases IIIA and Phase IIIB, based on a careful analysis of the OPLANs against the Exercise Objectives and TOs and the likely situation in the theatre. The CPT/EXCON should carefully analyse the TA performance results of the Sub-Phase IIIA against the pre-established Sub-Phase IIIB STARTEX conditions necessary to achieve the exercise objectives to determine the optimal Sub-Phase IIIB STARTEX date/time. All Module 6 information/data are to be produced in accordance with ACO directives and in Bi-SC AIS Functional Services and doctrinal APP-11 series formats (where available). This module should include, as appropriate:

• Road to War (Narrative summary of main events leading to current situation, included in MEL/MIL).

• Current Intelligence Summary (INTSUM)/ Intelligence Report (INTREP) (as required).

• Current ASSESSREP.

• Order of Battle/Transfer of Authority Land/Air/Sea.

• STARTEX Forces lay down.

• Current SITREPS for Land, Air, Navy, PIO, CIMIC, CIS, METOC, Deployment, Logistics, etc.


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• Area of Interest (AOI) Common Operating Picture (COP) data and information. These include data/information products required by ‘Recognised Picture’ Functional Services (eg; ICC, MCCIS, LC2IS) that contribute automatically to the COP; specialised Functional Services (eg; JOIIS/BICC, EVE, TOPFAS, AFOD) that provide data and information to the COP as required; and theatre functional databases (eg; CIMIC, J4-Medical, J-Engineer) that contribute to COP overlays through overlay management agents (eg; Interim Geo-Spatial Intelligence Tool (iGeoSIT)). Some of these data/information products may be generated by LOCON and some may be developed with assistance of M&S/synthetic tools.

• Main Events List and Main Incidents List. The Main Events for an exercise should be developed to support achievement of the exercise objectives and to set the stage for achievement of the TOs. Those events taking place on the MEL/MIL should be synchronized with the simulation model. A detailed and accurate MEL/MIL database is the foundation for an effective and successful exercise. ‘Scripters’ should be sourced from those organisations that will be represented in EXCON (HICON/LOCON). They should not be drawn from the Sub-Phases IIIA/IIIB training audiences. Evaluation teams should assist in development of the MEL/MIL and may request specific incidents and/or injections designed to support their evaluation requirements. All injections supporting the incidents should be communicated to the appropriate players through the EXCON organisation using the doctrinal TA CIS and formats.

(6) Develop M&S Theatre Data (from C2IS Data) per Strategic Guidance. Once the CPT has developed the operational data for use by NATO C2IS and the TA have developed their OPLANs to a degree that the CPT can determine those operations to be modelled and simulated to support to Sub-Phase IIIA based on Scenario Module 6, the OCE/ODE OPR can allow the designated SME to proceed with the development and testing of the M&S data.

(7) Develop and Test M&S Databases and Information Exchanges. In parallel with the development of scenario Module 6 Execution (STARTEX and MEL/MIL) M&S SMEs will develop and test required M&S data and information exchange between M&S tools and operational C2IS. Close cooperation between scenario developers and M&S SMEs will facilitate the required synchronisation of scenario and M&S data. Refer to Annex N.

k. Conduct Final Coordination Conference (FCC). The purpose of the FCC is to accomplish final coordination activities required for conduct of the Operational Conduct Stage Sub-Phases IIIA and IIIB. FCC participation should be limited to only those participants required to resolve outstanding issues and to complete products for Sub-Phases IIIA and IIIB. The steps supporting this activity are:

(1) Issue Calling Message and Draft Agenda. Participation is only by invitation of the OCE. The procedures for inviting partners can be found at Annex R.

(2) Finalise Module 5 - Force Activation and Deployment Information. The products in this module will be required before the STARTEX of the Force Activation, Deployment, RSOM and Integration sub-phase and thus possibly could be required before the FCC is conducted.

(3) Finalise Module 6 - Execution Information. Some of the products in this module cannot be finalised until the completion of exercise Sub-Phase IIIA.

(4) Finalise Outstanding Experimentation Issues.


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(5) Finalise any Outstanding Support Issues. Address any remaining support issues such as RLS, CIS, HNS, Force Protection, contracting, etc.

(6) Finalise Visitors and Observers Programme (VOP). See Annex I, Visitors, Observers and Inspectors (VO) Considerations.

(7) Issue FCC Minutes, Decisions, Issues and Way Ahead. .


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5 - EXERCISE OPERATIONAL CONDUCT STAGE

5-1 Introduction The purpose of this chapter is to provide an overview of the Exercise Operational Conduct Stage focusing on NCS and NFS HQs training. See Annex Q for additional considerations for LIVEXs.

All four phases of the NATO Exercise and Training Model are conducted during the Exercise Operational Conduct Stage. This stage begins with the first Individual and Collective Training Sub-Phase and continues through the Crisis Response Planning Exercise Phase and both of the Exercise Execution Sub-Phases and ends with the completion of the final exercise event in the Assessment Phase. The Exercise Operational Conduct Stage may begin before the Final Coordination Conference. Figure 5-1 illustrates an overview of the Operational Conduct Stage.

Figure 5-1 Exercise Operational Conduct Stage Overview

5-2 Definitions a. Direction. Direction is the authoritative instruction issued by the EXDIR to guide the exercise activity to best achieve the OSE’s aim and objectives.

b. Control. Control is the minute-by-minute activity that ensures the exercise is conducted as planned. A crucial aspect of control is ensuring that the progress towards the achievement of the training objectives is constantly monitored. Where the execution of the exercise is failing to allow the TA to meet its training objectives, remedial action is required through additional direction from the EXDIR.

5-3 Operational Conduct Stage Deliverables The major deliverables of the Operational Conduct Stage are:

a. Achievement of the OSE’s Exercise Objectives.


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b. Fulfilment of the Training Objectives.

c. Achievement of the Analysis Objectives and Evaluation Requirements.

d. Achievement of the Experimentation Objectives.

e. Training Observations and Assessments.

f. Mid Exercise Review (MER) if applicable and at the discretion of EXDIR.

g. After-Action Review (AAR).

5-4 Operational Conduct Stage Roles and Responsibilities Acting on behalf of the OCE, the EXDIR will have significant freedom to use Exercise Control (EXCON) structures that are most appropriate for achieving the OSE’s exercise aim and objectives and the OCE’s TOs. Therefore, this Chapter is based on the principle that the EXDIR directs (as defined above) the EXCON who control the exercise execution in order to set the conditions to allow the OCE to achieve the exercise aim and objectives established by the OSE.

During the Exercise Phase I, whilst OCE maintains overall responsibility for the exercise, ODE (when appointed) and/or EXDIR assumes, in coordination with the OCE, responsibility and authority for achievement of the OCE’s training objectives. The TA Commander maintains the responsibility for approval of the academic curriculum and determining participation of the TA.

During Exercise Phase II and Sub-Phases IIIA and IIIB, the EXDIR establishes an EXCON organisation that enables him to establish the conditions for the execution required to achieve the Exercise Objectives and TOs. The EXCON organisation will provide the resources for supporting the EXDIR’s role of exercise direction as well as provide the resources for control of the exercise. The roles and responsibilities of the EXCON elements for each Exercise Phase/Sub-Phase should be included in the EXPLAN.

Real life support at the exercise locations will be resourced by each host HQ/agency/centre.

For illustrative purposes a notional Exercise Control (EXCON) model for a Phase II event is shown at Figure 5-2, a notional EXCON model for a Sub-Phase IIIA event is shown at Figure 5-3 and a notional EXCON model for a large scale Sub-Phase IIIB Command Post Exercise (CPX)/Synthetic Exercise (SYNEX) is shown at Figure 5-4. These notional models may be supported by M&S tools for the EXCON as well as computers that simulate the operational environment and provide event resolution in a distributed form. These EXCON models should be adjusted according to the specific exercise requirements. Details of EXCON organisational responsibilities as well as EXCON and EXCON Centre (EXCEN) structures as employed by JWC and JFTC can be found at Annex H.

Figure 5-2 Notional Phase II EXCON Organisation


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Figure 5-3 Notional Sub-Phase IIIA EXCON Organisation

Figure 5-4 Notional Sub-Phase IIIB EXCON Organisation for a Major CPX

a. Direction. The EXDIR may have a Deputy (DEPEXDIR) and/or a Chief of Staff (COS EXCON) to assist with the direction of the exercise.

b. Control. The EXCON organisation structure, manning and functions will be based on the specific requirements of each exercise.

(1) Chief, Exercise Centre (EXCEN). The Chief EXCEN will be responsible to the EXDIR for control of the exercise.

(2) EXCEN Sub-Elements. Where the Training Audiences are dispersed, yet their contributions to the exercise justify a degree of local control, Sub-Elements of the EXCEN will be established. The head of each EXCEN Sub-Element will be responsible to the Chief EXCEN for his team’s activity at the dispersed Training Audiences’ sites.

(3) EXCEN Liaison Officers (EXCEN LOs). Where the Training Audiences are dispersed, yet their contributions to the exercise do not justify a degree of local


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direction, EXCEN Liaison Officers should be employed. EXCEN LOs will be responsible to the Chief EXCEN for EXCON activity at the dispersed Training Audiences’ sites.

(4) EXCEN Response Cells. Responsible to the Chief EXCEN, the Response Cells provide the minute-by-minute interface with the Training Audience.

c. ACT Training Education Review Element (TERE). SACT and the Directors/Commanders of his subordinate Centres, NEFs, COEs and Partner Training Centres, in carrying out their responsibilities for measuring in a continuous and systematic way the effectiveness of the E&T system, could appoint representatives in an ACT TERE during specific exercises. In order to reduce the number of non-TA teams during specific exercises, all representatives from HQ SACT, the JJJs, NEFs, COEs and Partner Training Centres will always be under a single ACT TERE as specified in the EXPLAN.

d. Director of Evaluation (DIREVAL). The DIREVAL is responsible for coordinating on behalf of the SCs, OSE and OCE, the different evaluation, analysis and experimental activities that will be conducted during each exercise phase. He coordinates the activities of all evaluation, analysis and experimental teams as detailed in the EXPLAN in order to improve information sharing amongst the teams, minimise the impact on the EXCON and TA and enhance achievement of the Exercise Objectives and TOs. The DIREVAL shall also coordinate evaluation, analysis and experimental team requests for modification of planned incidents and/or injections as well as requests for incidents and/or injections designed to support specific evaluation/analysis objectives. Specific evaluation, analysis and experimental teams could include:

(1) Evaluation Teams. SACEUR and his subordinate ACO Commanders, in carrying out their responsibilities for planning and execution of evaluations of their subordinate HQs (HQ EVAL) and designated units and forces (TACEVAL, CREVAL and MAREVAL) will stand up evaluation teams during most exercises. Evaluation teams shall have access, on a non-interference basis, to all exercise areas including, inter alia, EXCON and SITCEN as well as access to the requisite EXCON information, meetings and tools; for example MEL/MIL database.

(2) JALLC Analysis Team. Standing NATO and PfP analysis requirements are developed by SACEUR in coordination with NATO commands and agencies and are compiled in the Current ACO Prioritised List of Analysis Requirements. This list reflects the broad analysis concerns of NATO regarding doctrine, concepts, procedures, structures, organisations and materiel in order to sustain optimum benefit from analysis activities. The JALLC Analysis Team will typically conduct data collection during Phase II, Sub-Phase IIIA and Sub-Phase IIIB addressing specific analysis objectives derived from the OSE’s Analysis Requirements for the exercise and as specified in the EXPLAN.

(3) ACT Future Capabilities Analysis Team (AFCAT). AFCAT is tasked to conduct analysis of strategic concepts in exercises and experiments in order to provide concept developers, defence planners and NATO Research and Technology bodies with insight in future recommended directions and requirements to develop NATO’s expeditionary capabilities. The AFCAT will typically conduct data collection during Phase II, Sub-Phase IIIA and Sub-Phase IIIB as directed by SACT and as specified in the EXPLAN.

(4) Experimentation Integration Coordination Cell (EICC). The EICC coordinates all experimentation activity during the conduct of an exercise under the


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guidance and direction of the EICC Chief and as specified in the EXPLAN. Included within the EICC are the experiment analysis teams, consisting of observer(s)/analyst(s) for each of the experiments being conducted during the exercise.

5-5 Operational Conduct Stage Process Key Activities The EXDIR oversees the Operational Conduct Stage on behalf of the OCE. The EP Operational Conduct Stage is organised into eight key activities, each with supporting steps as described below. The milestones and approximate timings for these activities and steps are presented in Annex E, Exercise Process Key Milestones and Timings.

a. Phase I - Individual and Collective Training. The allocation of responsibilities for training will depend on institutional budgeting and established programmes of work (POWs) for supporting organisations. The entire training calendar needs careful planning to best use limited SACT and SACEUR Command Structure resources in support of the individual and collective training requirements. Phase I may be conducted in up to four sub-phases. The number of sub-phases will depend on the type and size of the exercise. Each Individual and Collective Training sub-phase could require its own planning process with administrative instructions, plans and steps as specified in the EXPLAN.

b. Conduct Sub-Phase IA: Internal Training. Internal Individual and Collective Training will be conducted at the discretion of TA Commanders utilising NATO educational facilities, Centres of Excellence or own resources. The steps supporting this activity are:

(1) Establish Training Site.

(2) Activate Training Team(s).

(3) Conduct HQ Internal Training.

(4) Prepare and Conduct Sub-Phase IA Review.

c. Conduct Sub-Phase IB: Academic Seminar. The overall purpose of the Academic Seminar is to prepare TA Commanders and their key staff for the challenges of NATO operational missions, and to function as a Joint Force HQ as planned in Phase II, Sub-Phase IIIA and Sub-Phase IIIB of the exercise. Sub-Phase IB normally should consist of a week1 of academics aimed:

• To ensure that TA achieve a common understanding of the NATO mission to be exercised and how it is to be executed.

1. NOTE: When the Phase IB academic seminar is led and facilitated by the JWC Joint

Training Development Division (JTDD), it will be a four to five day Exercise Study event. JWC training methodology may vary from lectures, discussions to work shops. These may be further oriented toward functional area training or key leader training. While each training programme must be tailored to the TA, this seminar will not be used to teach basic Joint Doctrine. Instead, content will focus on those operational topics applicable to the NATO joint environment and may include instruction pertaining to any experimentation intended for the later phases of the exercise. SMEs for delivering lectures and leading discussions or work shops are drawn from JWC, Senior Mentors, TA, IO/NGO or from any suitable source as deemed by DIR JWC. Examples from relevant real-world events, military operations and exercises should be used whenever possible. Senior Mentors aligned with the TA should participate in the training, and may be used to facilitate development of training material. As a minimum, JWC must ensure the programme supports desired training objectives with the appropriately sourced and rehearsed material.


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• To ensure that joint processes and integration are fully understood throughout the TA.

• To focus on the Deployable Forces’ actual capabilities and expected performance, rather than its theoretical concepts.

• To identify and achieve all possible synergies within the Deployable Forces and to ensure maximum interoperability.

• To make the TA Key Staff aware of the areas that causes difficulties when working in a joint multinational environment, and to seek for solutions to overcome these.

• To bring to the attention of TA, the Lessons Identified and Learned from previous operations and exercises.

• To bring to the attention of TA, the latest versions of NATO concepts.

The steps supporting this activity are:



(3) Stand up Analysis Teams.

(4) Conduct Requisite Training for Experimentation. Training, when necessary, will be provided by the agency conducting the experiment.

(5) Conduct Academic Seminar.

(6) Prepare and Conduct Sub-Phase IB Review.

d. Conduct Sub-Phase IC: Key Leader Training (KLT). KLT is collective training designed for the ‘key leaders’ for a specific exercise venue or upcoming military operation. The KLT will normally be planned and conducted by TA Commanders -- potentially as a group of Task Force key leaders -- with own capabilities as specified in the EXPLAN. The steps supporting this activity are:



(3) Conduct Training Modules/Programme.


(5) Conduct Key Leader Training.

(6) Prepare and Conduct Sub-Phase IC Review.

e. Conduct Sub-Phase ID: Battle Staff Training (BST). Battle Staff Training (BST) consists of staff training and scenario-driven exercises focussing on practical application of staff skills. BST may include mentors. Staff officers from current stand-by NRF ready forces and JWC and/or JFTC as appropriate usually will assist mentors. The BST will normally be planned and conducted by TA Commanders with own capabilities as specified in the EXPLAN. The steps supporting this activity are:



(3) Conduct Training Modules/Programme. Conduct internal training events and events supported/conducted by JWC, JFTC or other agencies.


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(5) Conduct Requisite Training for Experimentation. Training, when necessary, will be provided by the agency conducting the experiment.

(6) Conduct HQ Battle Staff Training. This collective training is based on the training requirements and should contribute to enhancement of command and staff interaction appropriate to the mission. Training is usually conducted at a single level, is often procedural in nature and may require a HICON and a LOCON response cell. It normally will be conducted in an Exercise Study venue.

(7) Prepare and Conduct Sub-Phase ID Review.

f. Conduct Phase II - Crisis Response Planning (CRP). The CRP exercise phase is specifically designed for the TA to conduct the OPP within the scope of the NATO Crisis Management Process and NATO’s Operational Planning System.2 The TA will be provided with the political-military estimates, strategic assessments, advice and directives as well as operational level products, if appropriate, created beforehand by the OSE EPG, OCE CPT, ODE EPT and/or the EXCON that would be appropriate for the compelling simulated situation. The TA will utilise the ACO GOP guidelines as well as ACO directives and their SOPs to activate their appropriate HQ crisis organisations, conduct the OPP, acquire the requisite operational data and information, establish and maintain situational awareness, attain situational understanding and produce the CRP exercise phase deliverables within the applicable timeframe. The TA deliverables will include the fully developed and executable Operational Plan(s) as well as other functional and specific developed planning deliverables; e.g.; Theatre Capability Statement of Requirements (TCSOR), Manpower SOR, sustainment and other specialised functional plans, Allied Force List (AFL) etc. Phase II normally should consist of a minimum of 10-14 full days at the joint level to ensure completion of the above deliverables to support Sub-Phases IIIA and IIIB. The steps supporting this activity are:

(1) Establish Training Site(s).

(2) Establish and Maintain EXCON. The Phase II EXCON should include, inter alia; response cell capabilities for: play of the Phase II MEL/MIL incidents and injections; utilisation of the Request for Information Management System (RFIMS) and NCRS and role-players for a deployed in-theatre Strategic Assessment Team (SAT) and/or Operational Liaison and Reconnaissance Team (OLRT) as well as strategic level functional expertise to include, inter alia, strategic operational planning, sustainment planning, manpower planning, strategic force generation/balancing and strategic deployment planning.

(3) Activate Trainer Team(s) Support.

(4) Activate Evaluation, Analysis and Experimental Team(s), as applicable.

(5) Initiate and Control the Conduct of the TA’s Crisis Response Planning. Scenario Module 4 and selected own force-related elements of Scenario Module 5 must be delivered to the TA in order for them to complete this step. This should be organised in line with the stages of the Operational Planning Process.

2. As laid down in the NATO Crisis Response System Manual (NCRSM) and MC 133/3,

respectively.


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• Initiation.

• Orientation.

• Concept Development.

• Plan Development. In order to accommodate full operational plan development in the exercise environment, EXCON should conduct simulated CJSOR fulfilment using own-forces’ data that will be used in Exercise Sub-Phases IIIA and IIIB.

• Plan Review.

(6) Observe and Evaluate the CRP. Evaluation team(s) will conduct evaluations as specified in the EXPLAN. EXCON will analyse the completed CRP exercise phase deliverables to ensure that they lead to the accomplishment of the exercise aim, objectives and TOs and are suitable for setting the Exercise Sub-Phase IIIA STARTEX under the pre-determined conditions as well as supporting the Phase IIIA execution.

Note: This step corresponds to the Stage III Analyse and Assess Phase II – Crisis Response Planning Products step in Chapter 4, paragraph 4-3 j (4).

(7) Prepare and Conduct Phase II Review.

g. Conduct Sub-Phase IIIA – Force Activation, Deployment, RSOM and Integration. Practise of the command and staff tasks that fall under the Force Activation, Deployment, RSOM and Integration exercise sub-phase is critical to developing strategic and operation capabilities to project Allied forces in joint expeditionary operations. Sub-Phase IIIA may be conducted in conjunction with a NATO Deployment/Movements/RSOM exercise using the forces provided by the EXCON in fulfilment of the TAs’ Phase II planning products as well as the sustainment and other functional plans developed during the preceding Phase II. During Phase IIIA the appropriate elements of the TA staff should be exercised in the following areas, inter alia:

• Assisting SHAPE refinement of CJSOR due to force contributions as well as with any force balancing required.

• Evaluating force contributions’ availability and capabilities and adjusting OPLANs as required.

• Development of the ADL planned force flow in coordination with AMCC.

• Monitoring AMCC receipt and processing of the National DDPs and supporting AMCC development of the MNDDP.

• Tracking SHAPE and Nations’ force activation activities.

• Controlling preparation, mounting, loading and deployment of own deployable HQs personnel and equipment as well as that of the HQs’ supporting elements.

• Directing deployment/pre-deployment of theatre enabling forces and establishing entry points, lines of communications (LOCs) and lodgement.

• Monitoring strategic deployment MNDDP execution coordinating with AMCC and Nations as required.

• Coordination of in-theatre initial infrastructure requirements and deployment activities with Host Nation(s).


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• Monitoring initialisation and conduct of Reception Staging and Onward Movement (RSOM) activities.

• Monitoring reception of Movement Control Teams (MCTs) and their employment at Movement Control Check Points (MCCPs), Railheads, APOEs and for SPOEs.

• Monitoring integration of in-theatre Command and Control capabilities and Communications Systems as laid down in the OPLANs.

• Monitoring exchange of liaison within joint rear area amongst arriving forces.

• Monitoring establishment of joint rear area Force Protection capabilities as laid down in OPLANs.

• Monitoring flow synchronisation of arriving units.

• Monitoring of establishment of joint rear area Situational Awareness as laid down in OPLANs.

• Monitoring in-theatre activation and availability of requisite CIS support as laid down in OPLANs.

• Establishing, conducting and synchronising mission force tracking in theatre as laid down in OPLANs.

• Monitoring unit integration activities including establishment of integration Liaison exchanges as laid down in OPLANs.

• Establishing and maintaining C2 over arriving units as laid down in OPLANs.

• Monitoring arriving units’ preparations in Staging Areas.

• Monitoring establishment of Supporting/Supported Relationships as laid down in OPLANs.

• Monitoring unit mission rehearsals, Combat Enhancement Training (CET) and Force Integration Training (FIT) as laid down in OPLANs.

• Monitoring Transfer of Authority to the NATO Commanders and executing own TOA activities as authorised by Nations.

• Monitoring establishment of Deployed HQs initial and full operational capability as laid down in OPLANs.

The TA will be provided with the appropriate documentation, data and information created beforehand by the OSE EPG, OCE CPT, ODE EPT and/or the EXCON that would be available if the simulated situation were real. The TA will conduct activities in accordance with the appropriate NATO policies, doctrine and processes as well as ACO directives and their SOPs. The steps supporting this activity are:

(1) Determine Exercise Sub-Phase IIIA STARTEX. The pre-established Sub-Phase IIIA STARTEX conditions based on, inter alia, the OSE’s aim and objectives and the OCE’s TOs, should be applied to wargaming of the TAs’ OPLANs and other Phase II products against the OPFOR campaign plan within dynamic theatre conditions and environment.

(2) Refine and Issue the Requisite STARTEX Documentation, Data and Information for the TA. This will primarily be found in Scenario Module 5 and in the TA products from the Phase II.

(3) Refine OPFOR Campaign Plan (for use by EXCON only). EXDIR supported by


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EXCON, OSE/OCE/ODE J2/J5/J7 and with TA OPR.

(4) Establish Training Site(s).

(5) Establish and Maintain EXCON. A small tailored EXCON will be activated to support Sub-Phase IIIA. See notional Sub-Phase IIIA EXCON organisational structure at Paragraph 5-4. The EXCON required for Sub-Phase IIIA of a LIVEX will be significantly different from that required for a CPX.


(7) Activate Evaluation, Analysis and Experimental Team(s).

(8) Initiate and Control the Conduct of the TA’s Force Activation, Deployment, RSOM and Integration Operations.

(9) Manage the Scenario MEL/MIL/Simulation.

(10) Control Response Cells. The Chief EXCEN will direct and control the Response Cells as well as be responsible for maintaining the EXCON exercise log. This will contain details of all significant decisions and the proceedings of the EXDIR’s meetings/VTCs/briefings. It will also contain details of the Chief EXCEN’s interactions with EXCEN Sub-Elements and LOs.

(11) Observe and Evaluate the Force Activation, Deployment, RSOM and Integration Phase. Daily feedback from deployed observers, trainers and senior mentors (when employed) are used to assess the progress toward the accomplishment of exercise and training objectives.

(12) Conduct Deactivation Activities for Exercise Sites. If required.

(13) Prepare and Conduct Sub-Phase IIIA Review.

h. Conduct Sub-Phase IIIB – Operations. During Sub-Phase IIIB, a selected timeframe, or timeframes of the OPLANs produced in Phase II and deployed in Sub-Phase IIIA is represented. Normally this is in the form of a CPX/SYNEX with execution of current operations and activities along with planning of future operations. The steps supporting this activity are:

(1) Determine Exercise Sub-Phase IIIB STARTEX. The pre-established Sub-Phase IIIB STARTEX, conditions based on, inter alia, the OSE’s aim and objectives and the OCE’s TOs, should be applied to wargaming of the TAs’ OPLANs, other Phase II products and the TA’s Sub-Phase IIIA products against the OPFOR campaign plan within dynamic theatre conditions and environment.

(2) Refine OPFOR Campaign Plan (for use by EXCON only). The EXDIR will ensure that the appropriate members of the EXCON refine the OPFOR Campaign Plan based upon the Phase IIIA results to optimise achievement of the OSE’s aim and objectives and the TOs.

(3) Refine and Issue the Requisite STARTEX Documentation, Data and Information for the TA. This will primarily be found in Scenario Module 6 and modified/updated based on the TA products from the Sub-Phase IIIA.

(4) Establish RLS/CSS at Exercise Sites.

(5) Establish CIS Connectivity and CIS Services. All CIS and supporting structures must be in place and tested at all exercise sites ahead of the arrival of the TAs. If the deployment and establishment of the operational CIS is included in the Exercise Aim and Objectives or TOs these activities are to be accomplished by the TA. All EXCON elements should have full CIS connectivity and CIS


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services operational before EXCON stand-up. See Annex G.

(6) Activate Force Protection (FP) Plan. The requisite FP measures should be in place at each exercise site as detailed in the EXPLAN. FP coordination and security teams need to be among the first to arrive at each exercise site. Exercise FP considerations are provided at Annex K.

(7) Implement Safety and Environmental Measures. All exercise sites must have precautions in place for real world emergencies such as fires, oil spills, medical emergencies, etc. A sequence of appropriate drills must be performed at each site prior to the start of the exercise, particularly when the exercise is conducted in underground command facilities or aboard a command ship. LIVEX safety and environmental issues are addressed in Annex Q, Live Exercises and Environmental Protection Considerations.

(8) Stand-up EXCON. The EXCON will be established as specified in EXPLAN.

(9) Stand-up/Deploy Training Team.

(10) Conduct EXCON Training.

(11) Activate Response Cells.

(12) Rehearse EXCON Procedures.


(14) Activate the EXCON VOB/APIC. This should include preparations for the APIC establishment and implementation of PI plans with the host nation on equipment, manning, etc. These two support functions may be combined and be subsumed in the support organisation for exercises with limited press access or few visitors/ observers. The integrity of the PI function must be maintained with the CPIO as a member of the Commander’s personal staff with direct access to proffer PI advice. Where there is a large press presence and/or large numbers of DV/VIP visitors it is strongly advised that the two functions are kept separate. In this case the EXDIR may wish to have his own personal advisors as part of his direction team. Every location where DV/VIPs are foreseen will make their own arrangements to handle these activities independently but reporting to EXCON VOB. See Annex I, Visitors, Observers and Inspectors (VO) Considerations and Annex J, Public Information (PI) Considerations.

(15) Activate Evaluation, Analysis and Experimental Team(s). The DIREVAL will coordinate observation collection and other activities of the evaluation, analysis and experimental teams in coordination with the EXDIR to minimise TA distractions whilst enabling the best environment for achievement of the OSE’s aim and objectives as well as the TOs. The DIREVAL will present periodic summaries of evaluation, analysis and experimental activities at the EXCON meetings.

(16) Initiate and Control the Conduct of the TA’s Operations.

(17) Provide Observer/Trainer Support. Provide Training Team Support (Senior Mentors, Observer/Trainers and Analysts) in accordance with the EXPLAN.

(18) Manage and Control Scenario MEL/MIL and Simulation.

(19) Control Response Cells. The Chief EXCEN will direct and control the Response Cells as well as be responsible for maintaining the EXCON exercise log. This will contain details of all significant decisions and the proceedings of the EXDIR’s meetings/VTCs/briefings. It will also contain details of the Chief


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EXCEN’s interactions with EXCEN Sub-Elements and LNOs.

(20) Conduct Evaluation.

(21) Conduct Analysis.

(22) Conduct Experimentation. The Experimentation Coordination Cell Chief, through the EXDIR and in accordance with the EXPLAN may use the EXCON organisation to monitor and adjust the Experimentation Plan’s progress.

(23) Analyse Observer/Trainer Feedback. Daily feedback from deployed observers, trainers and senior mentors (when employed) are used to assess the progress toward the accomplishment of exercise and training objectives.

(24) Observe Conduct of Operations. Collect Daily Training Observations and conduct Daily Assessments. These are essential for the EXDIR to provide periodic feedback as well as team direction and exercise control. Additionally, all EXCON members should record Lessons Identified. The EXCEN will act as the collection point for training observations that are to be collected on a daily basis.

(25) Prepare and Conduct Mid-Exercise Review. Many exercises are designed to have time jumps. Where there is a distinct discontinuity between the situation and activities before and after a time jump a mid-exercise training review should be programmed to capture impressions and assessments before the exercise resumes.

(26) Conduct Deactivation Activities for Exercise Sites. As required.

i. Conduct Phase IV -- Assessment. At the conclusion of Phase III (Execution) the EXDIR prepares and conducts a facilitated AAR for the TA, supported by appropriate members of the EXCON. For JWC/JFTC supported exercises, the Senior Mentor(s) and the Chief(s) Training Team contribute to the AAR. The TA Commanders and the key staffs are led by the EXDIR in reviewing critical activities to assess their own performance in relation to the Training Objectives and discover what happened, why it happened and how to improve their performance. Key steps include:

(1) Prepare the AAR Site(s).

(2) Collect and analyse key observations.

(3) Develop significant findings, conclusions and recommendations. Recommendations must be derived from current doctrine and may include ACO validated best practices.

(4) Coordinate AAR key points with OCE.

(5) Conduct AAR.


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6 - EXERCISE ANALYSIS AND REPORTING STAGE

6-1 Introduction The purpose of this Chapter is to provide an overview of the activities that constitute the Exercise Analysis and Reporting Stage. The Exercise Analysis and Reporting Stage begins with the collection of observations and conduct of evaluations as well as assessments compiled throughout the Exercise Process. It includes post exercise analysis and reporting by the TA to the OCE and supporting organisations in accordance with requirements and procedures established in the EXPLAN.1 It ends with the OSE’s approval of the OCE’s Final Exercise Report (FER) summarising the extent to which OSE Exercise Objectives and TOs were achieved during the exercise, as well as Lessons Learned with respect to essential operational capabilities, training and future exercises. Figure 6-1 provides a high-level overview of the Exercise Analysis and Reporting Stage.

Figure 6-1 Exercise Analysis and Reporting Stage Overview

6-2 Exercise Analysis and Reporting Data/Information Categories There are three categories of data and information, as described below, that should be used to support exercise analysis and reporting as described below. The EXPLAN should set the requirements, timings and responsibilities for collection, archiving and appropriate distribution of each category.

a. Training Audience Data and Information. These data and information are perishable and requirements for their collection by designated means should be laid down in the EXPLAN.

(1) Training Audience Lessons Identified. Throughout all training phases of the exercise, the TAs should be making, collecting and processing observations in accordance with their command lessons learned programme as required by the

1 Reporting requirements established by other organisations will be conducted according to

their respective procedures/EXPLAN.


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Bi-SC Interim Guide for Lessons Learned and supplementing instructions. For exercise analysis and reporting purposes, arrangements should be made with the TA OPRs for provision of access to these lessons and these arrangements included in the EXPLAN. See Annex S, Lessons Identified in the Exercise Process.

(2) Training Audience Training and Deployability Records. Some evaluation requirements and/or analysis objectives may require the evaluation/analysis team to have access to a HQ’ personnel training and deployability records. Examples include: (1) Request for the numbers of staff in a specialised crisis response group who have attended a required NATO training course; eg, JOPG members who have attended the Operations Planning Course and the TOPFAS user course. (2) Requests for lists of the personnel assigned to deployable Crisis Establishment post with confirmation of their fulfilment of the Deployable Forces personnel requirements satisfied; eg; DJTF HQ personnel who meet readiness standards in: medical readiness, physical readiness, individual NBC training and equipment, first aid training, etc. These access requirements should be stated beforehand in the applicable evaluation or analysis EXPLAN annex or, by exception, during an exercise as approved by the DIREVAL.

(3) Training Audience Official Documents. The messages, decision briefings, VTC tapes, records, reports, etc that are produced by the TAs during the course of the exercise should be archived for exercise analysis and reporting purposes. These documents may also be examined by analysis and evaluation teams in pursuit of identification and justification of potential recommendations for improvement of doctrine, SOPs, etc. If the exercise includes the Crisis Response Planning phase, the Annexes CC (Command Information Management) of the OPLANs will promulgate the TA HQs’ requirements for collecting and archiving the HQs’ official records, orders, information exchange reports, requests, command historical records, visual information and combat documentation.

(4) Training Audience Diaries/Battle Logs. Command diaries and battle logs of events and decisions are an essential tool for the preparation of the TA First Impressions Reports.

(5) Training Audience Operational Data. Data from Command and Control and common operational picture systems should be periodically copied and archived for post-exercise analysis and reporting purposes. The requirements for backup and archival of the operational data should be laid down in the TA HQs’ OPLANs.

b. EXCON/Specific Teams Data and Information. The EXPLAN should establish the specific requirements for EXCON staff together with evaluation, analysis and experimentation teams to collect data and information as well as record their observations and comments throughout the entire exercise process. These data, information, observations and comments will be in various forms:

(1) EXCON Logs. EXCON log of events, decisions and daily meetings are an essential tool for exercise analysis and reporting. The EXCON Log should assist those staffing the FIRs to put the comments into perspective as well as enhance the objectivity of the Final Exercise Report (FER).

(2) Observations. A wide range of personnel can be tasked with observing the training audience or particular aspects of the exercise and its support functions. These observations must be collated by authorities detailed in the EXPLAN and


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their products passed to the OCE for analysis during the staffing of the FER. These may be required to be entered in the JALLC Observation Collection Program (OCP) database shared amongst the organisations collecting observations.

(3) Assessment Reports. Where capabilities are marked for assessment during an exercise the reports should be made available to the OCE before staffing of the FER.

(4) Training Process Reports. Training Process Reports which provide information on how well the exercise delivered the TOs for the PTA and/or supported the training needs of the STAs should be made available to the OCE for development of the FER.

(5) Experimentation Review(s). The analysis of any experiments undertaken during an exercise may be prolonged. However the experiment leaders should provide the OCE “quick look” reviews addressing observations and recommendations appropriate to the design, structure and conduct of the exercise.

(6) Questionnaires. A variety of Teams may request participants complete check-off lists or questionnaires during specific phases of the exercise or throughout the EP. Analysis results from these should be made available to the OCE before staffing of the FER.

(7) Lessons Identified. Throughout the exercise process, from activation of the OSE OPR through approval and distribution of the FER; the OPRs, EPG, CPT, CPT syndicates, EXCON and specialised Teams should be making, collecting and processing observations for EP improvement in accordance with their command lessons learned programme and as required by the Bi-SC Interim Guide for Lessons Learned and supplementing directives. These Lessons should be made available to the OCE for development of the FER. For exercise analysis and reporting purposes this requirement should be included in Annex BB (Exercise Process Lessons Learned Instructions) of the EXPLAN.

c. Real Life Support (RLS) Data and Information. For exercise analysis and reporting purposes, the term RLS includes the communications and technical support provided for conduct of the exercise; for example, NCSA, NATO Signal Battalion and contractor support.

(1) RLS Lessons Identified. Throughout all training phases of the exercise, the RLS entities should be making, collecting and processing observations in accordance with their command lessons learned programme as required by the Bi-SC Interim Guide for Lessons Learned and supplementing directives. For exercise analysis and reporting purposes arrangements should be made with the RLS OPRs for provision of access to these lessons and included in the EXPLAN.

(2) RLS Official Documents. The RLS official documents deemed essential for specific analysis objectives or for support of experiments should be collected and archived for exercise analysis and reporting purposes.

6-3 Exercise Analysis and Reporting Stage Deliverables The responsibilities for the production of the various exercise reports lie with the OCE and participating organisations, including the ODE when employed, and specific groups or teams deployed for the exercise only. However the responsibility for coordinating the delivery of the various reports and the collation of the FER and the draft Lessons Identified/Learned lies


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with the OCE. Personnel from the EPG, CPT, EXCON, JALLC, analysis teams and evaluation teams may be tasked in the EXPLAN to assist the OCE with the FER.

There are two major categories of Exercise analyses and reports - those addressing the performance/accomplishments of the training audiences and those addressing the planning and execution of the exercise, analyses of specific objectives or experiment aims. Additionally, there may be special purpose reports that do not fall into either category. For example, post-exercise reports required by SHAPE J5 MilCoop after an event included in cooperation programmes. All are reported in accordance with the EXPLAN and delivered to the OSE as specified in the EXSPEC.

a. Performance Reports. Performance reports address the performance of organisations or accomplishment of specific objectives of the TA. Performance reports include:

(1) Commanders’ Summary Report (CSR). The CSR is provided by the Director JWC or Director JFTC to the Commander of the TA when the JWC or the JFTC acts as the EXDIR as specified in the EXPLAN. The format of the CSR is determined by the JWC.

(2) Evaluation Reports. When the EXSPEC lays down requirements for ACO evaluations of HQs, the evaluation teams will submit reports as laid down in the EXPLAN. For OPD evaluation reports of NRF HQs, see Annex O.

(3) Training Improvement Report (TIR). After each training event conducted by the JWC, JTDD analysts will provide input on training improvement recommendations in a First Impression Report (if requested by the EXCEN Director) and write the Training Improvement Report (TIR) for the JWC Director. The TIR will focus on what JWC can do to improve training and will include JWC divisional responsibility for each change. The TIR is an internal report dedicated to solve short-term issues faced during the Training Event and is not normally released outside of the JWC.

b. Exercise Reports. Exercise reports address the adequacy of planning and execution of the exercise in the accomplishment of specific objectives or experiment aims. These include:

(1) First Impression Reports (FIRs). The FIR provides the participants’ initial assessment of the exercise to the OCE. Each participating organisation will submit FIRs to the OCE immediately after the exercise or each exercise phase, as specified in the EXPLAN. The OCE may direct participants to address specific issues in their FIR. The format, addressees and deadlines for FIRs should be included in the EXPLAN to enable the OCE to compile the FIRs and submit the OCE’s FIR to the OSE within 30 days after the exercise. A template for the FIR is at Appendix 5 to Annex D.

(2) Final Exercise Report (FER). The OCE’s FER is the authoritative report of an exercise to the OSE. It contains, inter alia, the OCE’s assessment of whether the exercise achieved the OSE’s aim as well as each objective. The participants’ FIRs as well as the PXD and Analysis and Evaluation reports contribute to the basis of the OCE’s FER. The FER will include the training audiences’ assessments of the exercise as well as inputs from all participants. The OCE’s FER should draw conclusions, make recommendations and, where lessons are identified, provide the remedial/corrective actions that can be taken by the OCE (as OCE FER Lessons Learned) as well as those lessons identified (LIs) that are beyond the capability of the OCE to correct. The OCE FER Lessons Learned should be provided as a JALLC Observation Collection


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Program (OCP) Lessons Learned Database (LLDb) format export. These will contribute to the MC 458 series mandated Strategic Commanders’ annual briefing to the MC and appropriate cooperation fora on lessons learned from the previous year's exercises, trends in exercises and training, and other exercise and training issues as deemed appropriate.

Based on the FER, the OSE should address those LI forwarded to him for action. The OSE will ensure the FER OCP export file is forwarded to the JALLC. The deadlines for exercise participants’ FERs should be included in the EXPLAN to enable the OCE to compile all participants’ FERs and submit the OCE’s FER to the OSE for approval and final comments within 90 days after the exercise. A template for the FER is at Appendix 6 to Annex D.

(3) Specific Analysis Reports. When requirements for analysis of specific objectives are directed in the EXPLAN the applicable Analysis Teams will submit reports as laid down in the EXPLAN.

(4) Consolidated Venue Experiments Report (CVER). The Consolidated Venue Experiments Report gives a summary of the main highlights of each experiment and is submitted to OCE as well as the Operational Commanders of the event as laid down in the EXPLAN.

6-4 Exercise Analysis and Reporting Stage Process Key Activities The Exercise Analysis and Reporting Stage is organised into twelve key activities as described below. Some of these activities may begin during earlier stages of the EP as specified in the EXPLAN. The milestones and approximate timings for the Exercise Analysis and Reporting Stage activities are presented in Annex E, Exercise Process Key Milestones and Timings. When partners have participated in an exercise, the analysis and reporting procedures should be in accordance with Annex R, Military Cooperation Programmes.

a. Collect Observations and Data. Conduct of observations and collection of data will be accomplished in accordance with procedures laid down in the appropriate annex/appendix of the EXPLAN and as specified in analysis and evaluation teams’ SOPs.

b. Conduct Hotwash-Up. Hotwash events will be conducted at the echelon levels and timings as specified in the EXPLAN.

c. Conduct Preliminary Analyses. The analysis and evaluation Team Chiefs should conduct preliminary analyses early during the exercise Operational Conduct Stage to assess the adequacy of their observation and collection plans and whether the remaining MEL/MIL incidents/injections will provide sufficient opportunities to support their objective achievement as well as to identify concerns that may affect other teams.

d. Prepare and Issue First Impression Reports. First Impression Reports (FIRs) are to be made upon completing the exercise or end of a phase of an exercise, by each participating HQ, agency and team as specified in the EXPLAN. FIRs contain the first assessment of the exercise or exercise phase. A FIR template is at Appendix 5 to Annex D.

e. Conduct Post-Exercise Analysis. To develop the content of the OCE's Post Exercise Discussion and to develop the FER the OCE’s staff must analyse all the relevant operational and functional data collected during the exercise, review the reports and reviews submitted and consult with key individuals.

f. Consolidate Lessons Identified. Annex BB (Exercise Process Lessons Learned Instructions) of the EXPLAN will include the procedures to be used by the EPG,


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CPT and EXCON for collection and analysis of lessons identified throughout the EP for the exercise. Lessons Identified/Learned will be processed as specified in the EXPLAN and the Bi-SC Interim Guide for Lessons Learned.2

g. Publish Training Improvement Report (TIR). The ODE Exercise Project Team (EPT), when conducting a Training Improvement Analysis as specified in the EXPLAN, should present the results in the form of a Training Improvement Report (TIR). The TIR will include new lessons identified (including recommendations and action bodies), as well as a validation of past lessons.

h. Conduct OCE's Post-Exercise Discussion (PXD). The OCE’s PXD is an excellent forum for active discussion among participants at Command level after the exercise. The aim of a PXD is to: benefit from the exchange of viewpoints and ideas with other participants; discuss the performance of forces and commands during the exercise, particularly in relation to the OSE’ aim and objectives; and take immediate advantage of the experience gained and Lessons Identified/Learned. Details of the coordination of the PXD agenda should be published in the EXPLAN and it should be scheduled by the OCE to take place after sufficient analyses have been accomplished to warrant Commander level participation and while impressions are still fresh in mind.

i. Publish Evaluation Report(s). The evaluation team leaders will develop and publish evaluation reports as directed in ACO Forces Standards Volumes VI through IX and as specified in the EXPLAN.

j. Publish Consolidated Venue Experiments Report (CVER). The Experimentation Coordination Cell Chief will compile and develop the CVER based on inputs from the Experiment Team Leaders and as specified in the EXPLAN.

k. Publish Specific Analysis Reports. Analysis Team Chiefs will develop and publish analysis reports as directed in the EXSPEC and as specified in the EXPLAN.

l. Prepare and issue OCE’s Final Exercise Report (FER). The OCE will develop and coordinate the OCE’s FER as specified in the EXPLAN to be delivered to the OSE within 90 days of completing the exercise3. Where the OCE has accepted a Lesson Identified (LI) it may be identified as a “Lesson”. Where the lesson identified is beyond the capability of the OCE to remedy he will include it in the FER with proposed remedial/corrective actions for the OSE or higher authority to action. In addition a list of all LIs by all exercise participants during the exercise should be collated by the OCE. All applicable Lessons Identified/Lessons should be processed by the respective HQs/Agencies/Centres and forwarded to the JALLC through the JWC in accordance with the Bi-SC Interim Guide for Lessons Learned. A FER template is at Appendix 6 to Annex D.

2 Lessons identified by the training audiences that do not concern the Exercise Process will be

collected and processed in accordance with the standing lessons learned procedures of the participating HQs’ and purpose-established organisations (eg; NBC-JAT).

3 OCE review of the reports of the various evaluation, analysis and experimentation teams who participate in or observe an exercise is essential to ensure the FER is balanced and comprehensive. However, these reports are not written for that purpose. For example the experimentation CVERs are written with the experimentation community of interest in mind, not the FER. Thus if these reports are to be of value in drafting the FER, they must be submitted or drafts available early enough for the OCE’s FER team to open dialogue with each team as necessary. This may be particularly difficult with ad hoc teams who are not committed to remain available after the exercise. The EXPLAN should lay down requirements for exchange of draft reports as required for development of the FER.


ANNEX A TO BI-SCD 75-3 DATED: 1 AUG 07

A-1 Releasable to EU/PfP/MD

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ANNEX A. GLOSSARY OF ABBREVIATIONS, ACRONYMS, TERMS AND DEFINITIONS

GENERAL This annex presents a glossary of abbreviations, acronyms and terms, as well as definitions used in the exercise process. Some of these definitions may not have been used elsewhere in this directive but are included for completeness of the NATO exercise lexicon. Other common abbreviations and acronyms may be found in AAP-15, Glossary of Abbreviations Used in NATO (current edition) and other common terms are defined in AAP-6, NATO Glossary of Terms and Definitions (current edition).

ABBREVIATIONS, ACRONYMS AND TERMS

AAR After Action Review AC/35 NATO Security Committee ACC Air Component Command ACROSS Allied Command Resources Optimization Software System ACTORD Activation Order ADAMS Allied Deployment and Movement System ADL Advanced Distributed Learning AFCAT ACT Future Capabilities Analysis Team AFS ACO Forces Standards AMCC Allied Movement Coordination Centre APIC Allied Press Information Centre ASG Administrative Support Group BET Bi-Strategic Commands Evaluation Team BO Budget Officer BST Battle Staff Training C2 Command and Control C2IS Command and control information system C3 Consultation, Command and Control CAX Computer Assisted Exercise CCIS Command and Control Information Systems CCT Commander’s Conceptual Training CD&E Concept Development and Experimentation CDEMS CD&E Management System CET Combat Enhancement Training CFE Treaty on Conventional Armed Forces in Europe CFX Command Post Field Exercise CGS Communications Gateway Shelters CIS Communication and information systems CJTF Combined Joint Task Force CMX NATO Crisis Management Exercise




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COE Centre of Excellence COM Communications Module COMMEX Communications Exercise COMSITFOR Commander Situational Forces CORSOM COalition Reception, Staging and Onward Movement CPE Contact Point Embassy CPT Core Planning Team CPTM Core Planning Team Meeting CPX Command Post Exercise CREVAL Combat Readiness Evaluation of Land HQs and units CRP Crisis Response Planning CSME Combined Spectrum Management Element CSR Commanders’ Summary Report CVER Consolidated Venue Experiment Report DCAOC Deployable Combined Air Operations Centre DCIS Deployable CIS DEPEXDIR Deputy Exercise Director DEPREX Deployment Readiness Exercises DF Deployable Forces DIREVAL Director of Evaluation DISTAFF Directing Staff DJTF Deployable Joint Task Force DOB Deployed Operating Base DRR Defence Requirements Review DSGT Deployable Satellite Ground Terminal DV Distinguished Visitor E&F Evaluation and Feedback E&T Education and Training EAPMC Euro-Atlantic Partnership Military Committee EAPWP Euro-Atlantic Partnership Work Plan EBUG Exercise Budget Users Group (ACO) ECC Experimentation Coordination Cell ED Exercise Directive eMTEP Electronic Military Training and Exercise Program ENDEX End-of -Exercise EO Exercise Objective EP Exercise Process EPG Exercise Planning Group EPP Exercise Planning Process (superseded by EP, Exercise Process) ePRIME electronic Partnership Real time Information Management and Exchange system EPT Exercise Project Team ESC Exercise Specification Conference ETE Education Training Experimentation (ACT budget) ETEED Education, Training, Exercise and Evaluation Directive (Bi-SCD 75-2)




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ETG Exercise Training Goal ETRT Education and Training Review Team EVC Experiment Venue Coordinator EVE Effective Visible Execution EXBRIEF Exercise Brief EXCEN Exercise Centre EXCON Exercise Control EXDIR Exercise Director EXOPLAN Exercise Operations Plan (now EXPLAN) EXPD Experimentation Directive EXPI Exercise Planning Instruction (now EXPLAN) EXPLAN Exercise Plan EXPROG Exercise Programme EXSPEC Exercise Specification FCC Final Coordination Conference FCRT Future Capabilities Research and Technology FER Final Exercise Report FIR First Impression Report FIT Force Integration Training FLR Forces of Lower Readiness FM Fund Manager FMB Forward Mounting Base FMO Frequency Management Office FOC Full Operational Capability FP Force Protection FPG Functional Planning Guide FS Functional service FTX Field Training Exercise GO Governmental Organisation GOP Guidelines for Operational Planning HAZMAT Hazardous Material (aka Toxic Industrial Hazard) HQSG Headquarters Support Group HICON Higher Control HN Host Nation HNS Host Nation Support IATO Interim Authorisation to Operate (CIS) ICC Integrated Command and Control ICI Istanbul Cooperation Initiative ICIMPA Istanbul Cooperation Initiative Menu of Practical Activities ICRC International Committee of Red Cross IEG Information Exchange Gateway IEPR Initial Exercise Press Release IER Information Exchange Requirement IMS International Military Staff (of NATO HQ)




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INTREP Intelligence Report (message) IO International Organisation IP Implementing Procedures (for the NATO Financial Regulations) IPC Initial Planning Conference IPF In-Place Force IS International Staff (of NATO HQ) ISM Information Services Module ITU International Telecommunication Union JCATS Joint conflict and tactical simulation JEEA Joint Experimentation Exercises & Assessment (HQ SACT element) JEMM Joint Exercise Management Module JEWCS Joint Electronic Warfare Core Staff JF Joint Force(s) JFATG Joint Functional Area Training Guide JIA Joint Implementation Arrangement JJJ Joint Warfare Centre, Joint Forces Training Centre and Joint Analysis and Lessons

Learned Centre JLSG Joint Logistics Support Group JMET Joint Military Essential Task JMETL Joint Military Essential Task List JOIIS Joint Operations Intelligence Information System JTLS Joint Theatre Level Simulation KLT Key Leader Training LCC Land Component Command LCCIS/LC2IS Land Command and Control Information System LINC Limited interim NRF CIS LIVEX Live Exercise LLDb Lessons Learned Database LO Liaison Officer LOCON Lower Control LOGREP Logistic Report (message) LOPSCONDIR Local Operations Control Director LOPSCONTROL Local Operations Control LOS Line of Sight M&S Modelling and Simulation MAREVAL Maritime Evaluation MC Military Committee MD Mediterranean Dialogue MDWP Mediterranean Dialogue Work Programme MEL/MIL Main Events List and Main Incidents List MER Mid-Exercise Review MET Mission Essential Task METOC Meteorological and Oceanographic MIP Multinational Interoperability Programme




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MJO Major Joint Operation MM Master Messages (PI) / Military Mission (to SHAPE) MMR Minimum Military Requirement MOA Memorandum of Agreement MOU Memorandum of Understanding MOVPC Movement Planning Conference MPC Main Planning Conference MSMP NATO Modelling and Simulation Master Plan MTEP NATO Military Training and Exercise Programme MTFP Medium-term Financial Plan MTI Military Tasks for Interoperability (subsumed into the NATO Tasks List) MTRP Medium-term Resource Plan MYR Mid Year Review (NATO budgeting term) NAFS NATO Automated Financial System NAGEP NATO Guidance for Experimentation Planning NBC-JAT Nuclear, Biological and Chemical – Joint Analysis Team NCRS NATO Crisis Response System NCS NATO Command Structure NCSA NATO CIS Services Agency NEF NATO Education Facility NETF NATO Education and Training Facilities NFR NATO Financial Regulations NFS NATO Force Structure NGCS NATO General Purpose Segment Communications System NGO Non-Governmental Organisation NIC National Intelligence Cell NMA NATO Military Authority NMR NATO Military Representative (to SHAPE) NRC-MR NATO-Russia Council at Military Representatives Level NRIFP NATO-Russia Interoperability Framework Programme NS NATO Secret NSB NATO Signal Battalion NSWAN NATO Secret Wide Area Network NTF NATO training federation NTL NATO Tasks List O&M Operations and Maintenance O/T Observer/Trainer OCC Operational Capabilities Concept OCC E&F Operational Capabilities Concept Evaluation and Feedback Programme OCE Officer Conducting Exercise OCE COORD Officer Conducting Exercise Coordinating OCP JALLC Observation Collection Program ODE Officer Directing Exercise OELP Operations, Exercise and Logistics Planning Branch of NCSA




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OEPLAN Operational Experimentation Plan OJT On-the-Job Training OLRT Operational Liaison and Reconnaissance Team OPD Operational Preparation Directorate OPFOR Opposing Force OPP Operational Planning Process OPR Officer of Principal Responsibility ORBATTOA Order of Battle Transfer of Authority (message) OSE Officer Scheduling Exercise PABX Private automatic branch exchange (in a telephone system) PAF Personnel Administration Form PARP PfP planning and review process PBH Principal Budget Holder PC Political Committee PCC Partnership Coordination Cell PER Preliminary Exercise Report PETE Pre-exercise quality Threshold Evaluation for Partners PI Public Information PIA Public Information Adviser (to the International Military Staff) PIC Press and Information Centre PICDIR/DIRPIC Press and Information Centre Director PMSC Political Military Steering Committee POC Point of contact POCC Psychological Operations Component Command POD Port of Debarkation PoP Point of Presence POW Programme of Work PRIME Partnership Real-time Information Management and Exchange System PS Planning Situation PTA Primary Training Audience PTC Partner Training Centre PXD Post-Exercise Discussion RCPWG Rolling Certification Programme Working Group REA Rapid Environmental Assessment RFIMS Request for Information Management System RFS Radio Frequency Spectrum RLS Real-Life Support ROEAUTH Rules of Engagement Authorisation (message) ROEIMPL Rules of Engagement Implementation (message) RRS Readiness Reporting System SAL Service Allocation (CIS) SAT NATO Systems Approach to Training SCD Senior Concept Developer SDC SHAPE Direction Centre




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SDD Service Delivery Division (of NCSA) SEAS Simulation Environments for Analysis and Simulation (M&S tool) SET Staff Enhancement Training SITCEN Situation Centre SITFOR Situation Forces SITREP Situation Report (message) SM Senior Mentor SME // SME Subject matter expert // Spectrum Management Element SN Sending Nation SOCC Special Operations Component Command SOFA Status of Forces Agreement SOM Scheme of manoeuvre (for LIVEX) SOR Statement of Requirement SSRS Specific Security Requirement Statement (for CIS) STA Secondary Training Audience STANAG NATO Standardisation Agreement STARTEX Start of Exercise SYNEX Synthetic Exercise TA Training Audience TA Technical Arrangement TACEVAL Tactical Evaluation of Air Forces TCSOR Theatre Capability Statement of Requirements TEEP Training and Education Enhancement Programme TERE Training Education Review Element TFMC Theatre Frequency Management Cell TIH Toxic Industrial Hazard TIR Training Improvement Report TLT Theatre Liaison Team TO Training Objective TOR Terms of Reference TOPFAS Tool for Operational Planning, Force Activation and Simulation TSGT Transportable Satellite Ground Terminal TT Training Team UNOCHA United Nations Office for the Coordination of the Humanitarian Affairs VOB Visitors and Observers Bureau VOBDIR/DIRVOB Visitors and Observers Bureau Director VTC Video teleconferencing WAN Wide-Area Network

DEFINITIONS Most exercise process definitions lacking doctrinal reference have been derived for this directive. They require being evaluated by users through experience in execution of the exercise process. Additional exercise terminology not used elsewhere within this directive is




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provided for ease of interpretation.

ACO Forces Standards (AFS) ACO Forces Standards are developed to cover the complete array of essential operational capabilities, interoperability and flexibility as defined in MC 400/2 for ACO HQs and forces. AFS promulgate the programmes and standards under which SACEUR and subordinate ACO Commanders carry out their responsibilities for planning and execution of evaluations of the military combat readiness and capabilities of their subordinate HQs and designated forces. Related term: force standards.

Advanced Training To achieve and maintain a higher level of knowledge and skills to enable individuals/units to accomplish a broader spectrum of assigned tasks/missions. [MC 458/1, Final] Note: Advanced training is the tactical level training required to qualify units to take their place in NATO or national operational forces. Related terms: basic training; Battle Staff Training (BST); collective training; Combat Enhancement Training (CET); Force Integration Training (FIT); individual training; Key Leader Training (KLT); modular training; On-the-Job Training (OJT); operational training; staff element/enhancement training; training.

After Action Review (AAR) A facilitated discussion that actively involves the training audience. Through self-discovery, the training audience will discuss the following three basic questions about performance in relation to the Training Objectives: What happened? Why did it happen? How can we do it better? [JWC/JTDD] Related terms: Hotwash; Mid-Exercise Review (MER); Post Exercise Discussion (PXD).

Analysis The study of a whole by thoroughly examining its parts and their interactions. Note: In the context of military forces, the hierarchical relationship in logical sequence is: assessment, analysis, evaluation, validation and certification. [AAP-6(2007)] Related terms: assessment; evaluation; certification; validation.

Analyst An analyst is a person who conducts analysis.

Annual Military Exercise Report SACEUR’s report to the MC and the report by any NATO Commander to a higher HQ containing the significant aspects of the past year’s exercise activity.

“The MC and appropriate cooperation fora (e.g. EAPMC, NATO-Russia Council, etc.) will receive an annual briefing by the Strategic Commanders on lessons learned from the previous year’s exercises, trends in exercises and training, and other exercise and training issues as deemed appropriate.” [MC 458/1]

Related terms: commander’s summary report; exercise analysis report; Final Exercise Report (FER); First Impression Report (FIR); Preliminary Exercise Report (PER).

Assessment The process of estimating the capabilities and performance of organisations, individuals, material or systems. Note: In the context of military forces, the hierarchical relationship in logical sequence is: assessment, analysis, evaluation, validation and certification. [AAP-6(2007)] Related terms: analysis; certification; evaluation; feedback; validation.

Basic Training To achieve and maintain a minimum level of knowledge and skills that will enable individuals/units to accomplish a limited spectrum of assigned tasks/missions. [MC 458/1, Final]




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Battle (Operational) Rhythm 1) A deliberate daily cycle of command, staff and unit activities intended to synchronise strategic, operational, and tactical current and future processes and operations. Activities at each echelon must incorporate higher headquarters’ guidance, commander’s intent and subordinate units’ requirements for mission planning, preparation, and execution.

2) A schedule of important events that should be synchronised within a command level and with other levels of the command.

Battle Staff Training (BST) 1) Conventional term used to further describe that collective training designed for the ‘battle staff’ of a specific military headquarters.

2) JFC HQs/JHQ Battle Staff Training (BST) is an integrated training event designed to maintain and improve the HQ’s capabilities in mission-essential tasks comprising responsibilities from several functional areas. The aim of BST is the preparation of staffs for operations and exercises with a special focus on CJTF and NRF. It is, in principle, open to Partners. [MC 389/2]

3) Battle Staff Training (BST) consists of staff training and scenario-driven exercises focussing on practical application of staff skills. BST may include mentors in the DISTAFF (sic). Staff officers from current stand-by NRF ready forces and by JWC and/or JFTC as appropriate usually will assist mentors. [SHAPE COFS Ltr - Deployable Forces Training Concept after NRF FOC 5 May 06]

Related terms: advanced training; basic training; collective training; Combat Enhancement Training (CET; Commander’s Conceptual Training (CCT); Force Integration Training (FIT); individual training; Key Leader Training (KLT); modular training; On-the-Job Training (OJT); operational training; staff element/enhancement training; training.

Best Practise Best Practise is a management idea which asserts that there is a technique, method, process, activity, incentive or reward that is more effective at delivering a particular outcome than any other technique, method, process, etc. The idea is that with proper processes, checks, and testing, a project can be rolled out and completed with fewer problems and unforeseen complications. Best practises observed during NATO military exercise design, planning, execution and assessment as well as those observed during real world operations should be entered into the NATO Lessons Identified/Learned system for incorporation into NATO doctrine, processes and/or procedures.

Certification The process of officially recognizing that organisations, individuals, materiel or systems meet defined standards or criteria. Note: In the context of military forces, the hierarchical relationship in logical sequence is: assessment, analysis, evaluation, validation and certification. [AAP-6(2007)] Related terms: analysis; assessment; evaluation; validation.

CJTF Staff Training CJTF Staff Training is a JFC HQ / JHQ responsibility and is defined in the Bi-SC TEED and programmed in the MTEP. The aim is to train the respective staffs to conduct operational planning prior to augmentation, and to facilitate augmentation integration. [MC 389/2] Related terms: advanced training; basic training; Battle Staff Training (BST); collective training; Commander’s Conceptual Training (CCT); Force Integration Training (FIT); individual training; Key Leader Training (KLT); modular training; On-the-Job Training (OJT); operational training; staff element/enhancement training; training

Collective Training




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Preparing a military team to perform military tasks/missions to ensure that the defined standards are met. It encompasses procedural drill and repeated application in practice of doctrines and procedures to acquire, maintain, and improve tactical and operational capabilities. [MC 458/1, Final] Related terms: advanced training; basic training; Battle Staff Training (BST); CJTF Staff Training; Combat Enhancement Training (CET); Commander’s Conceptual Training (CTT); Force Integration Training (FIT); individual training; Key Leader Training (KLT); modular training; On-the-Job Training (OJT); operational training; staff element/enhancement training; training.

Combat Enhancement Training (CET) Operational training that is conducted to enhance the combat capability of individual units or joint forces. Related terms: advanced training; basic training; Battle Staff Training (BST); collective training; CJTF Staff Training; Force Integration Training (FIT); individual training; Key Leader Training (KLT); modular training; On-the-Job Training (OJT); operational training; staff element/enhancement training; training.

Combined Joint Task Force (CJTF) A CJTF is a combined (multi-national) and joint (multi-service) deployable task force, tailored to the mission, and formed for the full range of the Alliance’s military missions. A CJTF consists of 3 layers: the CJTF HQ, subordinated Component Command HQs, and forces assigned for the operation. It may include elements from non-NATO contributing nations (NNCN). [MC 389/2] Related terms: Combined Joint Task Force HQ; Deployable Joint Task Force (DJTF) HQ; NATO Response Force (NRF).

Combined Joint Task Force HQ The CJTF HQ is a deployable, non-permanent combined and joint HQ of variable size, tailored to the mission. It assists the Commander CJTF (COMCJTF) in exercising command and control over the entire CJTF and can be either land or sea- based. [MC 389/2] Related terms: Combined Joint Task Force (CJTF); Deployable Joint Task Force (DJTF) HQ; NATO Response Force (NRF).

Command Field Exercise (CFX) A CFX form exercise is a combination of a CPX-type and a FTX-type in which command, control, and communications elements deploy, but only selected units of troops deploy in an FTX mode. The OSE will determine when troops will be used, in what numbers, and for what purpose(s). In the land context, full deployment will generally not exceed Brigade size. Related terms: Command Post Exercise (CPX); Crisis Management Exercise (CMX); exercise form; Field Training Exercise (FTX); Synthetic Exercise (SYNEX).

Command Post Exercise (CPX) A CPX-form exercise is primarily concerned with the training of HQ staff elements and HQs at all three Command levels. A CPX involves commanders, their staffs and communications within and between HQs. There are two principal purposes for which a CPX may be conducted:

• Procedural CPX. To practice and validate specific plans and procedures. The ENDEX situation is pre-determined, and exercise events are controlled to ensure required plans and procedures are practised and validated.

• Decision-Making CPX. To allow Commanders and their staffs to participate in the decision-making process, supported by valid plans and procedures. The ENDEX situation is determined by player action. Some exercise events are controlled in order to ensure that players have the opportunity to make strategic, operational or tactical decisions.




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Related terms: exercise type; Command Field Exercise (CFX); exercise study; Field Training Exercise (FTX); Live Exercise (LIVEX); Synthetic Exercise (SYNEX).

Commander’s Conceptual Training (CCT) Commander’s Conceptual Training (CCT) consists of seminars during which commanders articulate their vision to staff and subordinate commands. The commander will usually be assisted by other NRF-ready Force Commanders whose forces are on current stand-by. They may also be assisted by the JWC and/or JFTC as appropriate. [SHAPE COFS Ltr - Deployable Forces Training Concept after NRF FOC 5 May 06] Related terms: advanced training; basic training; Battle Staff Training (BST); CJTF Staff Training; Combat Enhancement Training (CET); Collective Training); Force Integration Training (FIT); individual training; Key Leader Training (KLT); modular training; On-the-Job Training (OJT); operational training; staff element/enhancement training; training.

Commander’s Summary Report (CSR) The Commander’s Summary Report is part of the exercise documentation provided by JWC and JFTC when acting as the ODE for an ACO exercise. Related terms: annual military exercise report; exercise analysis report; Final Exercise Report (FER); First Impression Report (FIR); Preliminary Exercise Report (PER).

Communications Exercises (COMMEX) COMMEX train and rehearse the full range of communications during operations and exercises. A COMMEX can also be used to exercise/train the NATO Reporting system. [SHAPE COFS Ltr - Deployable Forces Training Concept after NRF FOC 5 May 06] Related terms:

Component Command (CC) Training (CC Trng) Training events, which provide the opportunity to prepare HRF HQ to become NRF CC HQ. The event focuses on the procedural differences between being an NRF HQ and being a CC HQ. [SHAPE COFS Ltr - Deployable Forces Training Concept after NRF FOC 5 May 06]

Component Command Inter-Operability Exercise A Component Command Inter-Operability exercise is where different national headquarters and forces of the NATO Force Structure (NFS), trained and certified to NATO standards, operate within the NATO Command Structure (NCS) in such a way as to form an effective, homogeneous and cohesive force. Related terms: exercise level; joint force command exercise; NATO-wide exercise; strategic command exercise.

Computer Assisted Exercise (CAX) 1) A CAX is a sub-type of a CPX/SYNEX where computers simulate the operational environment and provide event resolution that may be used in a distributed or non-distributed form or a combination of both.

• Distributed CAX. Participants remain at home stations, simulation resolution is provided by special communication means from a central location, and information is distributed by networked computers.

• Non-distributed CAX. All participants exercise at a central location. 2) An exercise using modelling and simulation technology to create an artificial environment, identical to the real-world, that will stimulate decision-making and follow-on command and control actions. [JWC Definition]

Related terms: Command Post Exercise (CPX); exercise type; Synthetic Exercise (SYNEX).

Concept Integration Concept Integration is the process to bring together new methods, procedures and




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techniques into exercises as directed by HQ SACT and SHAPE.

Control (of an Exercise) Control of an exercise is the minute-by-minute activity that ensures the exercise is conducted as planned. A crucial aspect of control is ensuring that the progress towards the achievement of the training objectives is constantly monitored. Where the execution of the exercise is failing to allow the TA to meet its training objectives remedial action is required through additional direction from the EXDIR.

Controlled Exercise Controlled Exercises are characterised by the imposition of constraints on some or all of the participants with the principal intention of provoking interaction. Variation in control can be achieved by:

• Pre-Scripting the Events. EXCON predetermine all events and activity in an attempt to guarantee achievement of the exercise objectives, irrespective of player action.

• Dynamic scripting of the Events. EXCON allows a degree of free play to develop with incidents being injected as play unfolds.

Related terms: exercise control methods; free play exercise.

Core Planning Team (CPT) The CPT is established by the OCE in accordance with the CPT Terms of Reference issued by the OSE to carry out the detailed planning, coordination and preparation of the exercise according to the Exercise Specification and the OSE’s Planning Guidance. The CPT is chaired by the OCE’s OPR and comprises representatives from the OSE, participating commands, participating evaluation teams and supporting centres and agencies as well as the ODE when designated. When an exercise consists of transformational elements, an HQ SACT OPR will be included in the CPT responsible to coordinate these aspects. Related terms: Exercise Planning Group (EPG); Officer with Primary Responsibility (OPR).

Crisis Management Exercise (CMX) A CMX is a NATO HQ level exercise which exercises input and direction from the political, military and civil authorities from nations at NATO HQ. SHAPE and appropriate subordinate command levels could also participate in a CMX. Related terms: Command Post Exercise (CPX); exercise form; Synthetic Exercise (SYNEX).

Deployable Forces (DF) Deployable Forces (DF) are available for the full range of NATO missions, fully deployable throughout Alliance territory and beyond, composed of primarily multinational HQs and forces and held at the appropriate readiness level. They are organised in a pool of national and multinational HQs/forces and provide the capability for rapid reaction and reinforcement of In-Place Forces (IPF) in case of any Article 5 operation as well as for rapid reaction and rotation of HQs/forces in case of non-Article 5 CRO. [MC 317/1]

Deployable Forces Training Concept The Deployable Forces Training Concept is established and described in SHAPE Letter, Deployable Forces Training Concept after NRF FOC (June 2006), dated 5 May 06.

Deployable Joint Task Force (DJTF) HQ The Deployable Joint Task Force (DJTF) HQ is a standing, permanent staff element within each of the three second level HQs. Commanded by a one or a two star officer, its DJTF HQ Staff Element is single-hatted and able to cover the J1 through J9 disciplines and offers a standing capability to deploy a forward command element within 5 days. [MC 477] Related terms: Combined Joint Task Force (CJTF); Combined Joint Task Force HQ; NATO Response Force (NRF).




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Deployment Readiness Exercises (DEPREX) DEPREX are scaled exercises to train and rehearse rapid deployment systems including air, sea, rail and convey procedures. [SHAPE COFS Ltr - Deployable Forces Training Concept after NRF FOC, 5 May 06]

Direction (of an exercise) Direction of an exercise is the authoritative instruction issued by the EXDIR to guide the exercise activity to best achieve the OSE’s aim and objectives.

Director of Evaluation (DIREVAL) The Director of Evaluation is the senior officer responsible for the overall direction and control of the evaluation and analysis efforts. The DIREVAL will be chosen during the Exercise Concept and Specification Development Stage. He will coordinate the interaction of different evaluation and analysis teams with the EXCON and Training Audience and be the advisor to the EXDIR regarding all aspects of evaluation and analysis, including any requests to modify the MEL/MIL script.

Education (Military) The permanent process of the examination of staff, units and force components with regard to their capabilities to effectively and efficiently conduct given mission and task. It also investigates the validity and reliability of systems, procedures, programmes and objectives. It includes analysis, assessment, feedback, and lesson learned. (MC 458/1, Final)

ENDEX A brevity term used to identify the date and time an exercise, or a phase/sub-phase of an exercise, is planned to end. Related term: STARTEX.

Essential Task A task derived from the Assigned or Implied Tasks identified during the Operational Planning mission analysis stage and approved by the commander that is absolutely necessary, indispensable or critical to the success of a mission. [GOP, Para 4-42] Related terms: Joint Mission Essential Task (JMET); Mission Essential Task (MET; supporting task).

Essential Training Goal (ETG) 1) The rationale for programming and executing military training and exercises is to prepare the NATO Command and Force Structures (NCS, NFS) for operations in peace, crisis and war. Therefore, the exercise and training objectives at all levels must mirror current operational requirements and priorities. Because these requirements and priorities are subject to continually changing threat assessments, the NETEEP lays down only the methodology to develop Essential Training Goals (ETG) and deduce training and exercise requirements, derived from the Strategic Commands' (SCs') missions and tasks. ETGs are derived from the SC’s missions and tasks and should reflect current operational requirements and priorities. They should assist in deducing training and exercise requirements as well as the exercise aim and objectives. Prioritised by an SC, ETGs, if not achieved, may result in failure to attain or sustain a critical capability and, thereby, jeopardize achieving the mission. [Derived from MC 458/1, Final]

2) A training goal prioritised by a Strategic Command, which, if not achieved, may result in failure to attain or sustain a critical capability and thereby jeopardize achievement of the mission. [Bi-SCD 75-2 ETEED]

Related terms: training goal; training objective.

Evaluation




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The structured process of examining activities, capabilities and performance against defined standards or criteria. Note: In the context of military forces, the hierarchical relationship in logical sequence is: assessment, analysis, evaluation, validation and certification. [AAP-6(2007)] Related terms: analysis; assessment; certification; Evaluation of Education and Training (E&T); validation.

Evaluation criteria Evaluation criteria are used by evaluation teams for evaluation of HQs and forces and are: (a) based on and referenced to NATO policy, doctrine, directives, processes, procedures and/or arrangements; (b) stated in terms of tasks or measures of performance, eg: “Designate Lead Nations (LNs)” or “Fulfilment of DJTF Personnel Medical Readiness Requirements”; and (c) described, referenced and supported by means of measuring delivered capabilities and/or demonstrated performance of the Commanders, HQ staff and/or forces. Related terms: evaluation requirements; evaluation standards.

Evaluation requirements Evaluation requirements, as used in this directive, are the requisite exercise conditions and resources that enable the appropriate evaluation team to accomplish their mission during a specific exercise. Related terms: evaluation criteria; evaluation standards.

Evaluation standards Evaluation standards are the operational, procedural, material and technical standards and their associated measurement/performance criteria derived from the ACO Forces Standards and which are used by SACEUR and his subordinate commanders to evaluate and assess headquarters and forces. Evaluation standards may be either an exact value, a physical entity, or an abstract concept, established and defined by authority, custom, or common consent to serve as a reference, model, or rule in measuring quantities or qualities, establishing practices or procedures, or evaluating results. Evaluation standards consist of measures that provide the basis for describing varying levels of task performance and criteria that define the minimum acceptable level of performance associated with a particular measure of task performance. Related terms: evaluation criteria; evaluation requirements.

Evaluation of Education and Training (E&T) Evaluation of E&T consists of a series of processes and methods used to measure, in a continuous and systematic way, the effectiveness of the E&T system. To establish the principles, guidelines and procedures for evaluation of education and training within NATO a specific directive will be issued by ACT. This directive will be applicable to ACT, NATO Education and Training Facilities (NETF), ACO, as well as COEs, Partner Training Centres (PTCs), NATO and Partner Nations are encouraged to use this directive. [MC 458/1, Final] Related terms: analysis; assessment; certification; evaluation of HQs and forces during exercises; validation.

Event An inserted major occurrence or a sequence of related incidents which fit into an exercise framework and are supported by injections designed to generate response(s) from the exercise participants. Related terms: incident; injection; MEL/MIL.

Exercise Analysis Report A report prepared as a result of any analysis conducted during the exercise. It contains the independent views and findings of the analysis team. Related terms: annual military exercise report; commander’s summary report; Final Exercise Report (FER); First Impression Report (FIR); Preliminary Exercise Report (PER).

Exercise Brief (EXBRIEF)




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The document used to obtain MC/DPC approval for the Military Exercise Press Releases. Related term: Initial Exercise Press Release (IEPR).

Exercise Category There are two Categories of NATO Military exercises -- Collective Defence (Article 5) and Non-Article 5 exercises. However, for the design and development of a specific exercise these categories can be further characterised using the following criteria: Levels, Form, Type and Control. Related terms: exercise control, exercise form; exercise level; exercise type.

Figure A-1 NATO Military Exercise Categories

Exercise Commander A commander taking part in the exercise who will issue appropriate operation orders to forces placed under his control. He may be allocated responsibilities regarding controlling, conducting, and/or directing the exercise in addition to that of command. [AAP-6(2007)]

The OCE (or OCE COORD) may assume the duties of Exercise Commander or he may delegate the task to an appropriate Flag Officer. This officer will issue orders to forces placed under his operational command or control for the purposes of the exercise. He may be allocated responsibilities regarding controlling, conducting and/or directing the exercise in addition to that of command.

Related terms: Exercise Director (EXDIR); Officer Conducting Exercise (Coordinating); Officer Conducting the Exercise (OCE); Officer Directing the Exercise (ODE); Officer Scheduling the Exercise (OSE).

Exercise Control (EXCON) EXCON is the term used to describe all of the participants during the Operational Conduct of an exercise who are not in the training audience and thus who are under the control of the Exercise Director (EXDIR). The EXCON includes, inter alia: the EXDIR support staff; the evaluation, analysis and experimentation teams (under supervision of the Director of Evaluation (DIREVAL)); the EXCON real life support, including CIS, visitors bureau and public information; the training teams and mentors; the situation control elements (scenario, RFI and MEL/MIL management); and the response cells (higher, lower, situational forces and non-NATO entities). Related terms: higher control; lower control; MEL/MIL; response cells; request for information (RFI); senior mentor; training audience; training team.

Exercise Control Methods NATO exercises of all types and forms of both categories generally fall into one of two methods of control – controlled or free play. Controlled exercises may have either pre-scripted or dynamic scripted events or both. Related terms: controlled exercise; exercise form; exercise category; exercise type; free play exercise.

Exercise Design Conventional term used in describing the activities and steps of the Exercise Concept and Specification Development Stage that analyse the strategic requirements, the OSE’s Exercise Objectives and the OCE’s training objectives in order to present alternative exercise designs for the OSE’s decision briefing.




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Exercise Directing Staff (DISTAFF) A group of officers who by virtue of experience, qualifications, and a thorough knowledge of the exercise instructions, are selected to direct or control an exercise. [AAP-6(2007)] Note: Although not used in NATO military exercises, this term is presently used by HQ NATO when describing the functional organisations for controlling and directing HQ NATO level exercises.

Exercise Director (EXDIR) The Exercise Director, proposed by the OCE and approved by the OSE, is the senior officer responsible for the overall direction and control in support of the exercise aim and objectives as well as the approved training objectives. The EXDIR will be designated during the Exercise Concept and Specification Development Stage and engage in the remainder of the Exercise Process in support of the OCE. He will head the Exercise Control (EXCON) organisation and direct all aspects of execution of an exercise on behalf of the OCE. Related terms: exercise commander; Officer Conducting Exercise (Coordinating); Officer Conducting the Exercise (OCE); Officer Directing the Exercise (ODE); Officer Scheduling the Exercise (OSE).

Exercise Forces Forces used in exercises to replicate NATO Command, Assigned, Earmarked, Other Forces for NATO and Opposing Forces. Exercise forces can consist of:

BLUE Forces. Those forces used in a friendly role during NATO exercises.

LIME, ORANGE or SITFOR (Situation Forces1). Those forces used in a situational or opposing role during NATO exercises.

PURPLE Forces. Those forces used to oppose both BLUE and SITFOR in NATO exercises. This is most usually applicable to submarines and aircraft.

WHITE Forces. Those units used as umpires in an LIVEX.

Note: During FREE PLAY phases of an exercise colours different from the first three above may be introduced to denote those forces that oppose each other but use their own national and NATO characteristics and tactics.

Related term: generic forces.

Exercise Form There are three NATO military exercise forms: Command Post Exercise (CPX); Exercise Study; and Live Exercise (LIVEX). Related terms: Command Post Exercise (CPX); exercise study; exercise type; Live Exercise (LIVEX).

Exercise Level The term Exercise Level indicates the number and degree of participating Command Levels (Echelons) within a given NATO Military Exercise. Related terms: component command inter-operability exercise; joint force command exercise; NATO-wide exercise; strategic command exercise.

Exercise Objectives Exercise Objectives are defined by the OSE based on his overall strategic/operational vision, aim and intent for the exercise as well as the Essential Training Goals. The Exercise Objectives are promulgated in the EXSPEC. Exercise Objectives serve to focus exercise planning, execution and evaluation and analysis to ensure that specific operational requirements are met. During planning and execution of an exercise, if there is a conflict

1 Also referred to as OPFOR (Opposing Forces).




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between achieving the Exercise Objectives and the Training Objectives, the Exercise Objectives take precedence. Related term: Training Objectives (TOs).

Exercise Operational Plan (EXOPLAN) The ‘EXOPLAN’ term was alternatively used in the past to describe both the plans for exercise real life support as well as the exercise operational plans produced during the exercise by the TA. In 2004 the GOP was changed to state that “For NATO exercises and other training events, the term “EXOPLAN” should only be used for operational plans that address the exercise-relevant support aspects of the event as specified in the EPG (sic). Operational Plans developed during exercises or those developed to support the training scenario should be named as “OPLANs” with page markings to clearly indicate they are ‘exercise’ OPLANs in accordance with ACO Security Directive 70-1”. [GOP, Para 8.3 b]

Exercise Plan (EXPLAN) The EXPLAN is issued by the OCE and provides detailed instructions to exercise participants and supporting commands, centres, agencies or other activities for the preparation, conduct, support, evaluation and reporting of the exercise. It establishes requirements, responsibilities and the schedule of activities for the provision of training events and activities, scenario modules, simulation support, real-life support, communications, exercise control and exercise analyses and reports. Operational planning products developed for use by the training audience (exercise intelligence products/studies, exercise forces, planning directives, messages, orders, etc.) are issued in accordance with operational procedures and are not part of the EXPLAN. Related term: framework EXPLAN.

Exercise Planning Group (EPG) The EPG is established by the OSE to support his exercise process responsibilities, activities and steps. Its membership should be drawn from the OSE’s staff, and may also include, as appropriate, selected members from other participating HQs, agencies and centres as well as from the training audiences. The EPG size will vary from meeting to meeting depending on the agenda and the subject matter expertise required. Members of the EPG will be responsible for the production of their respective portions of the EXSPEC under the leadership of the OSE OPR. The EPG should continue during the EP to provide specific expertise to the OSE OPR and also to the OCE in areas such as budget, intelligence, political advice, legal affairs, etc. Related terms: Core Planning Team (CPT); Officer with Primary Responsibility (OPR)

Exercise Project Team (EPT) TA and other participating organisations may establish EPTs as required to provide cross-functional support for all stages of the Exercise Process.

Exercise Records The means by which exercise data are compiled and forwarded for evaluation. They include, inter alia: tapes, plots, charts and Exercise Forms.

Exercise Synchronisation Matrix A grid-like array based on the Exercise Milestone Planning Schedule that is used as a tool for CPT/EXCON synchronisation of the exercise process Operational Conduct Stage Activities/Steps, the training audiences’ participation in the exercise training model phases/sub-phases and the exercise scenario main events.

Exercise Specification (EXSPEC) The EXSPEC is promulgated by the OSE and specifies the exercise aim and objectives, the concept of the exercise including the level, type and form of the exercise, the exercise area, scenario and/or Host Nation, participation requirement and the designation of the Officer(s)




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Conducting the Exercise (OCE) as well as the ODE and any required coordinating instructions.

Exercise Study An Exercise Study is a form of exercise which includes map exercises, war-games, lectures, discussion groups, seminars or operational analyses and that involve a limited number of participants with a specific functional focus. Related terms: Command Post Exercise (CPX); exercise type; Live Exercise (LIVEX); Synthetic Exercise (SYNEX).

Exercise Type The type of an exercise is a further characterisation of the exercise form (CPX, Exercise Study or LIVEX) by the manner in which the exercise is delivered to the exercise participants and controlled. The exercise type will be selected by the OSE to be the type deemed to be most effective in achieving the exercise aim and objectives. More than one type may be designated below category, level and form. Exercise types are normally referred to by using abbreviations or brevity terms indicating the classification or nature of the exercise. The following list contains a number of examples and is not intended to be all inclusive. Other abbreviations or brevity terms may be employed to designate special types of military exercises provided they are defined the first time they are used in each exercise related document. Related terms: Command Post Exercise (CPX); exercise form; exercise study; Live Exercise (LIVEX).

ADEX An exercise in air defence that may include operations by air units, surface units, and submarines

AIREX Air Exercise AIROFEX Air Offensive Exercise ALEX Alert Exercise ARTEX Artillery Exercise ASUWEX Anti-Surface Warfare Exercise ASWEX Anti-Submarine Warfare Exercise CASEX Combined Anti Submarine Warfare Exercise CAX Computer Assisted Exercise CFX Command Field Exercise COMBEX Combined Exercise involving two or more forces of two or more allies CONVEX Convoy Exercise embracing both control and protection of shipping DEPEX Deployment Exercise DEPREX Deployment Readiness Exercise DISTEX Disaster Exercise EWEX Electronic Warfare Exercise FLTEX A fleet exercise that may embrace all or part of carrier, amphibious,

convoy, submarine, mobile logistic support and maritime patrol air operations

FTX Field Training Exercise GUNEX Gunnery Exercise INVITEX National exercise to which forces of nations may be invited to participate JOINTEX Joint Exercise involving forces of two or more services of the same nation LOGEX Logistic Exercise MAPEX Map Exercise MCMEX Mine Counter Measure Exercise MEDEX Medical Exercise MINEX Mine Laying Exercise MOVEX Movement Exercise NCSEX Naval Control of Shipping Exercise PASSEX Exercise arranged with forces on passage PHIBEX An amphibious Exercise, including landing forces PREREADEX Pre-readiness Exercise RECEEX Reconnaissance Exercise




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SACEX Supporting Arms Coordination Exercise SAREX Search and Rescue Exercise SEARCHEX Sea/Air Search Exercise SIGEX Signal Exercise SMASHEX Submarine Search Escape and Rescue Exercise STRIKEX Exercise involving operations of a Striking Fleet SUBEX Submarine Exercise SWITCHEX Circuit Switching Exercise SWMOVEX Special Weapons Movement Exercise SYNAX Synthetic Air Exercise SYNDEX Synthetic Exercise

Experimentation Experimentation is a procedure for discovery, testing of hypotheses, or demonstrating known facts.

Experiment Type The general types of experiments are: collective, demonstration, discovery, hypothesis-testing and stand-alone. [Current MTEP]

Collective Experiment. Collective experimentation involves the integration of discrete experiment events into NATO and national exercises. It allows testing of concepts under “operational” conditions and exposes the training audience to possible future capabilities. [MTEP]

Demonstration Experiment. Demonstration experiments are designed experiments in which known truth is recreated, analogous to those in high school in which students follow instructions to show that the laws of chemistry and physics operate as the underlying theories predict. For NATO these activities are cooperative demonstrations of technology to show that an innovation can, under carefully orchestrated conditions, improve the efficiency, effectiveness or speed of a military activity. The technologies employed are well established and the setting (e.g., scenario, participants) is orchestrated to show that these technologies can be employed efficiently and effectively. [MTEP]

Discovery Experiment. Discovery experiments are designed to create recommendations of concepts that are most likely to produce successful future military and/or political capabilities for the Alliance. Their outcomes are expected to be insights rather than optimality or rigorous quantitative analyses; they do not produce final answers. Discovery-type capabilities experiments produce actionable recommendations that address desired operational capabilities and potential investment streams. [MTEP]

Hypothesis-testing Experiment. Hypothesis-testing experiments are the classic type used to advance knowledge by seeking to falsify specific hypotheses (if…then statements) or discover their limiting conditions. They also are used to test whole theories or observable hypotheses derived from such theories. To conduct a hypothesis-testing experiment, the experimenter creates a situation in which one or more dependent variables can be systematically observed under conditions with varying independent variables, while other potentially relevant factors (i.e., control variables) are held constant, either empirically or through statistical manipulation. Hence, results from hypothesis-testing experiments are always caveated with “all other things being equal. [MTEP]

Stand-alone Experiment. Stand-alone experiments require venues that are tailored to support the experiments themselves. These experiments typically are not suitable for




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integration into a training exercise without having a disruptive impact on that exercise. [MTEP]

Feedback Providing an assessment of an activity to all parties concerned. Its purpose is to yield information to improve performance in the missions and tasks being assessed. [MC 458/1, Final] Related term: assessment.

Fictionalised Scenario Design A fictionalised scenario depicts a fictional situation made by changing real world details. A fictionalised scenario may have a real setting with a made-up situation or a real situation with a made-up setting to achieve the exercise objectives with all other aspects being real. An exercise of a Contingency Operational Plan (COP) using real NATO forces in a made-up world is an example of a fictionalised scenario. Related terms: fictitious scenario design; real scenario design; synthetic scenario design; scenario design.

Fictitious Scenario Design A fictitious scenario depicts a totally imaginary setting and situation. A fictitious scenario will have an imaginary situation in an imaginary setting with all other aspects being invented to achieve the exercise objectives. An exercise study with vignettes based on notional NRF forces being deployed under an imaginary international security organisation mandate to an imaginary operational area is an example of a fictitious scenario. Related terms: fictionalised scenario design; real scenario design; synthetic scenario design; scenario design.

Field Training Exercise (FTX) A FTX-type exercise is an exercise where only selected units are deployed into the field such as elements of a GRF or FLR or a Communications unit. The non-deployed troops are represented by their HQ deployed in the exercise area. Related terms: Command Field Exercise (CFX); Command Post Exercise (CPX); exercise type; exercise study; Live Exercise (LIVEX); Synthetic Exercise (SYNEX).

Final Exercise Report (FER) The authoritative report of an exercise issued by the OCE within 90 days of completing the exercise and approved by the OSE. It contains comments on the exercise, together with conclusions and recommendations and a statement on the actions to be taken. MC 458/1 (MILDEC) requires the FER to contain validated lessons learned. The OSE is to ensure the FER is forwarded to the Joint Analysis and Lessons Learned Centre (JALLC). Related terms: annual military exercise report; commander’s summary report; exercise analysis report; First Impression Report (FIR); Preliminary Exercise Report (PER).

First Impression Report (FIR) The report made within 30 days of completing the exercise or end of a phase of an exercise by a commander or designated commanding officer as specified in the EXPLAN. It contains the first assessment of the exercise or exercise phase. Related terms: annual military exercise report; commander’s summary report; exercise analysis report; Final Exercise Report (FER); Preliminary Exercise Report (PER).

Force Activation In order to execute an OPLAN it is necessary to activate and deploy the forces required by that OPLAN. Force activation is the responsibility of SACEUR and is initiated by a NAC Force Activation Directive and the force activation process will normally commence prior to OPLAN approval and could be coincident with CONOPS approval. [MC 133/3] Related term: force generation.

Force Commander




NATO UNCLASSIFIED

The officer designated to exercise operational control over specific forces for a particular period during an exercise.

Force Generation Required for all NATO military operations which: must begin early in concurrence with the OPP; must be adapted to situation; depends on NAC/National decisions; is multi-level based upon guidance and tasks down and determination of force requirements up; establishes force flow to implement concept of operations; requires planners, operators and movers; and is limited by force readiness, availability and mobility. Related term: force activation.

Force Integration Training (FIT) Operational training that is conducted to practise and improve the force integration of service or joint forces enroute to (for air/maritime forces) or immediately prior to deploying to an operational theatre for a specific mission. Related terms: advanced training; basic training; Battle Staff Training (BST); collective training; Combat Enhancement Training (CET); individual training; integration; Key Leader Training (KLT); modular training; On-the-Job Training (OJT); operational training; staff element/enhancement training; training.

Force Protection 1) Passive and active defence of personnel, weapon systems and infrastructure to minimise the effects of any adversarial action, to include the effects of WMD, whilst ensuring Allied freedom of action and force effectiveness. [MC 400/2]

2) All measures and means to minimize the vulnerability of personnel, facilities, equipment and operations to any threat and in all situations, to preserve freedom of action and the operational effectiveness of the force. [MC 458/1, Final; Bi-SCD 80-25]

Force Standards The operational and logistics capability requirements and, where applicable, performance criteria for nations to plan and train forces to be allocated to NATO. They enable the Strategic Allied Commanders and Commanders-in-Chief to assess their respective forces' abilities to perform their assigned missions. [MC 458/1, Final] Related term: ACO Forces Standards (AFS).

Framework A basic storyline that provides the skeleton around which the actual play for an exercise is constructed. Related terms: geo-strategic situation; setting; storyboard; storyline.

Framework EXPLAN A framework EXPLAN is the term used in this directive to describe the document developed by the OCE’s Core Planning Team prior to the initial Planning Conference (IPC) to enable the production of the Initial Draft Exercise Plan (EXPLAN). Related term: EXPLAN.

Free Play Exercise Free play exercises are used to test the capabilities of participants under contingency and/or wartime conditions. Action is limited only by the need to achieve the overall exercise aims and objectives, and/or by imposing artificialities or restrictions required by peacetime safety regulations. Related terms: controlled exercise; exercise control methods.

Functional Services (FS) Functional Services are Software Based Systems (SBS) capabilities that provide support to a specific staff function or process. They will, in general, be oriented towards a specific staff mission or mission area. They will be components of the system baseline and should therefore make best use of core capabilities and other functional services within the system. Examples of Functional Services include: TOPFAS, ICC, JOIIS, ADAMS, LOGREP. [EAPC (NC3B)WP(2003)003, NATO Software Management Guidance]




NATO UNCLASSIFIED

Generic Forces Military and/or paramilitary forces developed for an exercise that are representative of real world forces with respect to unit identification, strength and command structure; disposition of their personnel, units and equipment; and doctrine. All information and data for Generic Forces should be compatible with the appropriate NATO processes and Bi-SC AIS Functional Services.

Geo-Strategic Situation A conventional term that describes the overall setting and current situation for an exercise. It includes, inter alia, crisis area geographical information, the major regional actors, a description of the current crisis and the historical background of the crisis as well as the major political, military, economic, cultural, humanitarian and legal conditions, including membership in relevant Arms Control treaties and agreements, that support a NATO military response. Related terms: framework; scenario; setting, STARTEX; storyboard; storyline.

Higher Control (HICON) Conventional term used to describe the Response Cells that represent the command levels/echelons that would normally be at the level above the TA. Related terms: Exercise Control Staff (EXCON), LOCON, Response Cell, White Cell.

Host Nation (HN) A nation which, by agreement: (a) receives forces and materiel of NATO or other nations operating on/from or transiting through its territory; (b) allows materiel and/or NATO organisations to be located on its territory; and/or (c) provides support for these purposes. 4/10/00 [AAP-6] Note: This term is also used during the exercise process in a generic sense to identify a NATO military HQ, centre, agency or other entity that ‘hosts’ or provides support to participants in a NATO exercise; for example JWC or JFTC. However, issues like Force Protection will always remain with the HN as defined above. For NATO exercises, all ‘host nations’ should be identified early to enable the requisite MOUs and support agreements to be finalised as well as to allow for required build up of infrastructure and to ease coordination between the OSE, OCE, ODE and the HN. Hotwash/Hotwash-up Conventional terms used to describe various ways in which ACO Commanders may conduct informal debriefings or follow-up discussions and evaluations of the performance of a HQ or multiple HQs during an exercise or major event or following its conclusion. The main purpose of a hotwash is to identify strengths and weaknesses recognised during the exercise/event, which may then lead to identifying lessons in order to avoid repeating errors made in the past. A hotwash-up normally includes all the parties that participated in the exercise or event. Related terms: After Action Review (AAR); Mid-Exercise Review (MER); Post Exercise Discussion (PXD).

Incident An incident is an element or subset of an exercise event. It is an action or situation that provides greater clarity to an event by the utilisation of injections to the exercise audience. Related terms: event; injection; MEL/MIL.

Individual Training Preparing an individual military member to perform specified military tasks in a centralized military training organisation or in a military unit/headquarters. It encompasses procedural drill and repeated application in practice of doctrine, tactics, and procedures to acquire, maintain and improve the required skills. [MC 458/1, Final] Related terms: advanced training; basic training; Battle Staff Training (BST); collective training; Combat Enhancement Training (CET); Force Integration Training (FIT); Key Leader Training (KLT); modular




NATO UNCLASSIFIED

training; On-the-Job Training (OJT); operational training; staff element/enhancement training; training.

Information Exchange Requirement (IER) The IER is a statement of the need to exchange information between cooperating forces or headquarters. They specify the information to be exchanged in a standardized manner, within the context of the mission, key tasks, required degree of interoperability and the parameters of communications and information systems involved. [APP-11(A)]

Initial Exercise Press Release (IEPR) A statement containing the first information to be released to the public concerning an exercise, usually with prior Military Committee and Political Committee or Political Military Steering Committee consideration and agreement. [MC 457] Related term: Exercise Brief (EXBRIEF).

Injection The way of bringing an incident to the attention of the players for whom it was created (and from whom a reaction is expected). Injections are to be made by response cells or by the MEL/MIL Steering Group through the using doctrinal communications means and, where available, formats and media. The intent is to simulate the likely source of such information in a real situation/operation (e.g., intelligence report, newspaper article, operational report, etc.). Related terms: event; incident; MEL/MIL.

Inspector Inspectors are sponsored individuals who are obliged by treaty to ascertain specific details of an exercise and have been correctly declared in accordance with that treaty.

Integration Integration is the process of bringing together the various national units into a joint multinational force under the command of the JFC. [AJP-3-13, Final Draft] Related terms: Force Integration Training (FIT); onward movement; reception; Reception, Staging and Onward Movement (RSOM); Reception, Staging, Onward Movement and Integration (RSOM&I); staging; strategic deployment.

Interoperability The ability of Alliance forces and, when appropriate, the forces of Partner and other nations to train, exercise and operate effectively together in the execution of assigned missions and tasks. [AAP-6(2007)]

Joint Force Command Exercise A Joint Force Command Exercise is where the JFC is identified as the TA. When just the JFC is being exercised it will be a level one (1) exercise. If identified parts of ACO and/or a number of CCs are involved the level of the exercise will be numbered based on the number of Command levels playing. If all three levels were participants it would be a three (3) level exercise. Related terms: exercise level; component command inter-operability exercise; NATO-wide exercise; strategic command exercise.

Joint Mission Essential Task (JMET) A task the Joint Force Commander designates as essential to mission accomplishment and defined using the common language of the NATO Tasks List (NTL). Each MET should have the defined minimum acceptable proficiency required in the performance of the task. This is either an exact value, a physical entity, or an abstract concept, established and defined by authority, custom, or common consent to serve as a reference, model, or rule in measuring quantities or qualities, establishing practices or procedures, or evaluating results. For JMET, each task standard is defined using the ACO Forces Standards (AFS) and/or relevant NATO documents, by the joint force commander, component commander or agency director and




NATO UNCLASSIFIED

consists of a measure and criterion. [Bi-SCD 80-90 NTL] Related terms: essential task; Mission Essential Task (MET); supporting task.

Key Leader Training (KLT) Conventional term used to further describe that collective training designed for the ‘key leaders’ for a specific exercise venue or upcoming military operation. Related terms: advanced training; basic training; Battle Staff Training (BST); collective training; Combat Enhancement Training (CET); Force Integration Training (FIT); individual training; modular training; On-the-Job Training (OJT); operational training; staff element/enhancement training; training.

Lesson Identified One or more findings that have been staffed and deemed to be beneficial to others. This staffing includes, but is not restricted to, discussion of the nature and causes of the observation, recommendation of actions to be taken, as well as proposed action body. [Bi-SC Interim Guide for Lessons Learned]

Lesson Learned 1) Information derived from an experience that may be beneficial to others. It consists of validated information gained during the evaluation, which serves as the basis for remedial action, improvements in training, enhancement of operational capabilities and elimination of shortfalls/deficiencies. [MC 458/1, Final]

2) Results from the implementation of a recommended action that produced an improved performance or increased capability. [Bi-SC Interim Guide for Lessons Learned]

Lessons Learned Database (LLDb) 1) A centrally held, but shared collection of lessons learned presented in a particular format. [MC 458/1, Final]

2) A centrally kept, shared and easy searchable collection of Findings, Lessons Identified and Lessons Learned, in a user-friendly format. [Bi-SC Interim Guide for Lessons Learned]

Live Exercise (LIVEX) 1) A LIVEX exercise is primarily concerned with the integration of forces and the conduct of operations by these forces.

2) Exercises which provide the opportunity to conduct force integration training at the component level during the NRF preparation phase and to conduct proficiency training during the NRF stand-by period. [SHAPE COFS Ltr - Deployable Forces Training Concept after NRF FOC 5May06]

Related terms: Command Field Exercise (CFX); Command Post Exercise (CPX); exercise type; exercise study; Field Training Exercise (FTX); Synthetic Exercise (SYNEX).

Lower Control (LOCON) Conventional term used to describe the Response Cells that represent the command levels/echelons that would normally be at the level below the TA. Exercise Control Staff (EXCON), HICON, Response Cell, White Cell.

Main Events List/Main Incidents List (MEL/MIL) The MEL/MIL, the main tool (normally a database) for the EXCON to control the exercise, is maintained by EXCON and it is structured on the main events developed to support achievement of the exercise objectives. Each main event will have one or more incidents that are presented to the training audiences by means of injections. The MEL/MIL should encompass the complete timeline of the exercise and, at ENDEX, be updated to include all




NATO UNCLASSIFIED

dynamic and unscripted events, incidents and injections utilised during the exercise conduct. Related terms: ENDEX; event; incident; injection; timeline.

Mid-Exercise Review (MER) An AAR conducted after phase change, change of mission, or as designated in the EXPLAN to take immediate advantage of fresh thought and allow for immediate improvement. Related terms: After Action Review (AAR); hotwash/hotwash-up; Post Exercise Discussion (PXD).

Military Experimentation The process of exploring innovative ways of improving current capabilities and methods and in particular the evaluation of the feasibility, usefulness and limitations of such methods. Experimentation is a subset of Concept Development and Experimentation (CD&E).

Military Tasks for Interoperability (MTI) A Bi-SC planning tool for all PfP activities that defines in broad terms the area of interoperability and for each MTI includes a list of related source documents and which most MTI are limited to the tactical level with a main focus on operational procedures. [Bi-SC MTI] Note: The MTI tasks are being fully incorporated in the 2007 revision of the NATO Tasks List.

Mission Essential Task (MET) A task the commander designates as essential to mission accomplishment and defined using the common language of the NATO Tasks List (NTL). [Bi-SCD 80-90, NTL] Related terms: essential task; Joint Mission Essential Task (JMET); supporting task.

Mission Secret network A Mission Secret network is deployed to provide Communication Information Systems (CIS) support to NATO Deployed Forces HQs. The network operates in a Mission Secret System High Mode in which all individuals with access to the CIS are cleared to the highest classification level of information within the system, but not all individuals with access have a common need-to-know for the information within the system. To enable interconnection between a network handling NATO Secret information and a network handling Mission Secret information, it will be necessary to develop an Information Exchange Gateway (IEG).

Mission Rehearsal Exercise (MRE) Conventional term used to further describe that collective training designed for headquarters staff for an upcoming military operation.

Modelling In exercise development, execution and/or analysis; a simplified description, especially a mathematical one, of a system or process, to assist calculations and predictions. Related term: simulation.

Modular Training Based on the concept of building up skills, knowledge, and attitudes in self-contained blocks, as the trainee requires. These blocks should be capable of being taken in any order, although a degree of routing may be imposed where necessary. [MC 458/1, Final] Related terms: advanced training; basic training; Battle Staff Training (BST); collective training; Combat Enhancement Training (CET); Force Integration Training (FIT); individual training; Key Leader Training (KLT); On-the-Job Training (OJT); operational training; staff element/enhancement training; training.

Module In exercise scenario design and development; each of a set of standardised parts or independent units that can be used to construct a more complex structure.




NATO UNCLASSIFIED

Monitoring/Monitor The act of listening, carrying out surveillance on, and/or recording the emissions of one's own or allied forces for the purpose of maintaining and improving procedural standards and security, or for reference, as applicable.

NATO Assigned Forces The nationally declared Force Designation Category which describes: Forces/HQs which nations agree to place under the operational command or operational control of a NATO commander in accordance with the NATO Precautionary System/NATO Crisis Response System, or as specified in special agreements such as MOU or when requested by a Strategic Commander through an ACTORD on the basis of a NAC-Agreed OPLAN and Execution Directive. [MC 317/1] Related terms: NATO Command Forces; NATO Earmarked Forces; Other Forces for NATO.

NATO Command Forces The nationally declared Force Designation Category which describes: Forces/HQs in being which nations have placed under the operational command or the operational control of a NATO commander. [MC 317/1] Related terms: NATO Assigned Forces; NATO Earmarked Forces; Other Forces for NATO.

NATO Earmarked Forces The nationally declared Force Designation Category which describes: Forces/HQs which nations agree to place under the operational command or the operational control of a NATO commander at some future time. [MC 317/1] Related terms: NATO Assigned Forces; NATO Command Forces; Other Forces for NATO.

NATO Military Exercise 1) A military manoeuvre or simulated wartime operation involving planning, preparation and execution. It is carried out for the purpose of training and evaluation. It may be a combined, joint or single service exercise, depending on participating organisations. 1/3/81 [AAP-6 (2005)]

2) An exercise scheduled by a NATO authority, is one in which NATO forces and/or personnel perform military functions with the object of improving the capabilities of NATO forces, headquarters or agencies in the implementation of NATO’s full spectrum of capabilities. NATO military exercises include exercises with or without projected European Union (EU) or Partner (PfP) participation. NATO/PfP military exercises are designed to improve interoperability with Partner nations. NATO military exercises open to Partners participation are designed to meet NATO requirements with a secondary goal of Partner interoperability.

NATO Response Force (NRF) 1) The NRF is a high readiness, joint and combined force, capable of performing certain missions on its own, as well as participating in an operation as part of a larger force, or serving as an initial entry force that prepares the theatre for follow-on forces. The NRF will be able to participate in the full range of NATO operations and be capable of conducting opposed entry into a hostile area. The NRF is limited in size, composition and capabilities. [MC 477]

2) NATO Response Forces (NRF) will be deployable high readiness forces drawn from the entire NATO Force Structure, as well as from other forces offered by NATO Nations, on the basis that they meet the high readiness criteria set by the Strategic Commander for Operations. [MC 477]




NATO UNCLASSIFIED

Related terms: Combined Joint Task Force (CJTF); Combined Joint Task Force HQ; Deployable Joint Task Force (DJTF) HQ.

NATO-Wide Exercise A NATO-wide exercise that involves SACEUR, the Joint Force Commanders (JFCs) and a majority of their Component Commanders (CCs) (with or without forces) and MODs is considered a four (4) level exercise. Related terms: Exercise Level; Component Command Inter-Operability Exercise; Joint Force Command Exercise; Strategic Command Exercise.

Observation The detailed examination of phenomena prior to analysis, diagnosis or interpretation. [MC 458/1, Final]

Observers Observers are sponsored individuals who attend an exercise with a specific military or diplomatic objective to fulfil. Sponsors would normally be either the Host Nation or the NAC.

Observers/Trainers See Training Team.

Off the Shelf (OTS) Scenario An OTS scenario is a scenario and its modules which could be used as is, or adapted to meet an exercise requirement. Some or all of the OTS scenario’s modules may require alteration or updating to be compatible with changes in doctrine or for use in new versions of Functional Service tools.

Operational Experimentation Plan (OEPLAN) The OEPLAN describes ACT/JWC/JFTC experimentation execution during an exercise. The OEPLAN will consist of a main body with annexes as required, including the Experiment Design, the Analysis Plan and the Data Collection Plan for each experiment.

Officer Conducting the Exercise (Coordinating) If a NATO or Partner nation wishes to assume OCE responsibilities or if there is more than one OCE (normally at the same level) a coordinating OCE (OCE COORD) will be assigned. Related terms: exercise commander; Exercise Director (EXDIR); Officer Conducting the Exercise (OCE); Officer Directing the Exercise (ODE); Officer Scheduling the Exercise (OSE).

Officer Conducting the Exercise (OCE) The OCE is designated by the OSE and can be an ACO Commander or a national authority from a NATO or Partner nation. The OCE is responsible for the detailed planning and overall execution of an exercise or an allocated part of it as well as reporting exercise results including achievement of training/exercise objectives and lessons to be learned. This includes the responsibilities for provision of real life support and Communications Information Systems (CIS) support. In this capacity the OCE is responsible for establishing the Core Planning Team (CPT) and for the production of the Exercise Plan (EXPLAN) as well as related products. The OCE may also be the TA Commander or participant. Related terms: exercise commander; Exercise Director (EXDIR); Officer Conducting the Exercise (Coordinating); Officer Directing the Exercise (ODE); Officer Scheduling the Exercise (OSE).

Officer Directing the Exercise (ODE) The ODE, when designated by the OSE, supports the OCE in the planning, execution and review of the exercise. The ODE assumes overall responsibility for setting the conditions to allow the OCE to achieve the exercise aim and objectives established by the OSE and may act as the Exercise Director, in support of the OCE. Related terms: exercise commander; Exercise Director (EXDIR); Officer Conducting Exercise (Coordinating); Officer Conducting the Exercise (OCE); Officer Scheduling the Exercise (OSE).




NATO UNCLASSIFIED

Officer with Primary Responsibility (OPR) The OPR is the designated staff officer in each HQ, agency and centre with primary responsibility for coordinating the planning, preparation, execution and analysis of an exercise on behalf of his commander/director. Related terms: Core Planning Team (CPT); Exercise Planning Group (EPG).

Officer Scheduling the Exercise (OSE) The OSE is the NATO Commander who establishes the operational requirement for the exercise, schedules it in the MTEP, directs the exercise planning and execution, ensures that it is adequately resourced, validates the exercise results and endorses lessons learned. The OSE is responsible for the development and distribution of the Exercise Specification (EXSPEC) that establishes his aim and objectives for the exercise as well as his overall concept for achieving them. The OSE may also serve as OCE and/or the TA Commander. Related terms: exercise commander; Exercise Director (EXDIR); Officer Conducting Exercise (Coordinating); Officer Conducting the Exercise (OCE); Officer Directing the Exercise (ODE).

On-the-Job Training (OJT) Training individual members serving in specific positions in military units or staffs to provide them with the skills relevant to those positions. [MC 458/1, Final] Related terms: advanced training; basic training; Battle Staff Training (BST); collective training; Combat Enhancement Training (CET); Force Integration Training (FIT); individual training; Key Leader Training (KLT); modular training; operational training; staff element/enhancement training; training.

Onward Movement Onward Movement is the process of moving units and accompanying materiel from reception facilities and staging areas on to their final destination (e.g. tactical assembly areas). [AJP-3-13, Final Draft] Related terms: integration; reception; Reception, Staging and Onward Movement (RSOM); Reception, Staging, Onward Movement and Integration (RSOM&I); staging; strategic deployment.

Operation Plan (OPLAN) An OPLAN is designed to counter an actual or developing crisis, both Article 5 and non-Article 5. … An OPLAN is a detailed and comprehensive plan capable of execution, which has forces assigned and all necessary preparations undertaken for successful execution of the assigned mission. … In circumstances where multiple operations are conducted concurrently within a single region, it may be deemed necessary to develop a single, theatre-wide campaign plan, to ensure proper coordination, unity of purpose and economy of effort of all military activities involved in the execution of, and support for, these operations. … [MC 133/3]

Operational Capabilities Capabilities a unit must possess to accomplish its assigned missions. The requirements are amplified in force standards specific to each service. [MC 458/1, Final]

Operational Training Operational Training is the conventional term used to further describe the collective training conducted to develop, maintain or improve the operational readiness of units. Related terms: advanced training; basic training; Battle Staff Training (BST); collective training; Combat Enhancement Training (CET); Force Integration Training (FIT); individual training; Key Leader Training (KLT); modular training; On-the-Job Training (OJT); staff element/enhancement training; training.

Order of Battle (ORBAT)




NATO UNCLASSIFIED

The identification, strength, command structure, and disposition of the personnel, units, and equipment of any military force. [AAP-6(2007)]

Other Forces for NATO The nationally declared Force Designation Category which describes: Force/HQs which might be placed under the operational command or the operational control of a NATO commander in circumstances which should be specified, or forces which might cooperate with NATO forces. [MC 317/1] Related terms: NATO Assigned Forces; NATO Command Forces; NATO Earmarked Forces.

Overall Training Requirements List (OTRL) SHAPE is to develop an Overall Training Requirements List (OTRL) from (J)METL, the Essential Operational Capabilities (EOCs), and the Alliance Strategic Concept and define the Training Objectives to be achieved through NATO/PfP ADL deliverable courses and content. Clearly defined Training Objectives, which are required to be achieved, form the basis from which Advanced Distributed Learning (ADL) deliverable training courses and content are designed, developed, executed and evaluated. [BSCD 75-2]

Partnership Coordination Cell (PCC) The PCC is a Bi-SC body and will deal with all routine coordination issues involving partners. The overall mission of the PCC is to coordinate and evaluate military aspects of cooperation activities in support of the Strategic Commands in order to achieve NATO’s objectives. The core tasks of the PCC are Activity Coordination (Exercises, Education and Training); evaluation of cooperation programmes; and coordinate the release of NATO documents to partners.

Post Exercise Discussion (PXD) The Post Exercise Discussion (PXD) is the forum for active discussion among participants after the exercise, while thoughts and impressions are still fresh. The aim is to discuss the performance of forces and commands during the exercise and take immediate advantage of the experience gained. Related term: After Action Review (AAR); hotwash/hotwash-up; Mid-Exercise Review (MER).

Preliminary Exercise Report (PER) A report which may be submitted by the OCE in the case of CJTF and NRF capability exercises, where the initial evaluation indicates lessons of major significance or an urgent need for remedial action. Related terms: annual military exercise report; commander’s summary report; exercise analysis report; Final Exercise Report (FER); First Impression Report (FIR).

Primary Participants (PP) Personnel assigned to HQs, units, activities or forces of the PTA. Related terms: Primary Training Audience (PTA); Secondary Participants (SP); Secondary Training Audience (STA).

Primary Training Audience (PTA) The PTA is that Command/Participant/Unit identified in the EXSPEC as the main focus of the training and thus ordered to perform its military roles, functions and responsibilities during the exercise to achieve the OSE’s exercise aim and objectives. Related terms: Primary Participants (PP); Secondary Participants (SP); Secondary Training Audience (STA); Training Audience (TA)).

Prudent risk management An exercise budgeting term defined as: The technique of introducing calculated risk into budgetary processes, with the objective of optimising forecast credit coverage with actual expenditure requirements. Risk is undertaken in specific instances in partnership between nations, SCs and JFCs.




NATO UNCLASSIFIED

Rapid Environmental Assessment (REA) The REA provides for environmental information that can be used during the planning and execution of military operations. The information required consists of an agreed depiction of the meteorology, oceanography, hydrography and geography of the operating area providing a seamless characterisation of the battle space. The REA structure draws information and products from appropriate meteorological forecasting centres. REA provides the framework to address all operational activities required to draw operationally meaningful information out of the available data (archived, modelled, measured or observed) to support maritime operations. [EXTAC 0777]

Reach Back Reach back is the process of obtaining mission essential C2, products, services and applications, in a timely manner, by using Communication and Information Systems (CIS) technology between non-deployed and forward-deployed elements forming a single HQ in order to achieve operational efficiency. [Bi-SC Letter to DIMS, “Reach Back for Deployed Operations”, 4 Nov 04]

Real Geography Geography based on real world maps and data, but which may have political features altered such as country boundaries and names. Related terms: synthetic geography; transposed geography.

Real Scenario Design A real scenario depicts a real Crisis Response Planning situation in a real world setting and with all other aspects being real. A Mission Rehearsal Exercise is an example of a real scenario. Related terms: fictionalised scenario design; fictitious scenario design; synthetic scenario design; scenario design.

Reception Reception operations include all functions that are required to prepare, receive and clear unit personnel, equipment and materiel through the Forward Mounting Base (FMB)/Port of Debarkation (POD). [AJP-3-13, Final Draft] Related terms: integration; onward movement; Reception, Staging and Onward Movement (RSOM); Reception, Staging, Onward Movement and Integration (RSOM&I); staging; strategic deployment.

Reception, Staging and Onward Movement (RSOM) RSOM is the phase of the deployment process that transitions units, personnel, equipment and materiel from arrival at ports of debarkation (POD) to their final destinations (FD). [AJP-04.4(A)] Related terms: integration; onward movement; reception; Reception, Staging, Onward Movement and Integration (RSOM&I); staging; strategic deployment.

Reception, Staging, Onward Movement and Integration (RSOM&I) RSOM & I is the essential process that transitions deploying forces, consisting of personnel, equipment and materiel arriving in the JOA, into forces capable of meeting the JFC’s operational requirements. [AJP-3-13, Final Draft] Related terms: integration; onward movement; reception; Reception, Staging and Onward Movement (RSOM); staging; strategic deployment.

Recommended Action (RA) A possible action that serves to rectify a fault or improve conditions. [Bi-SC Interim Guide for Lessons Learned] Related term: remedial action.

Remedial Action 1) An action that serves to correct faults, remedy defects or improve conditions. Specifically related to Lessons Learned. [Bi-SCD 75-2, ETEED]




NATO UNCLASSIFIED

2) Corrects faults, remedies defects or improves conditions. [MC 458/1, Final]

Related term: Recommended Action (RA).

Request for Information (RFI) 1) The format in which an intelligence requirement (IR) is passed to Collection Coordination and Intelligence Requirements Management (CCIRM) authorities at higher, lower or adjacent levels. [AJP-02.1]

2) Essential Elements of Information or Specific Intelligence Requirements formatted into a request for processing along the chain of command. It includes the parameters of the information as originator, urgency, priority, suspense date, justification and background. [Bi-SCD 65-5]

3) Some HQ use the “RFI” term during exercises for internal HQ staff requests for information regarding own forces or other areas outside of the Intelligence function. These are sometimes referred to as “Blue RFI” and are conventionally directed through a CJOC RFI Manager to the HQ staff section most likely to be able to provide the requested information.

Request for Information Management System (RFIMS) The NATO system for submitting, tracking and searching for RFI information. [AJP-02.1] Related term: Request for Information.

Response Cells (RCs) These are Cells within the EXCON that represent absent superior, equivalent, or subordinate levels of command reactions during an exercise. They are the main tools for creating realism for the players. They replicate all agencies that the players would interact with in a real operation. Response cells inject incidents in the most realistic manner possible, task the players and are tasked by the players. For SYNEX, these cells, inter alia, provide the interface between the participants’ doctrinal information exchange media and the simulation computer system. Related terms: Exercise Control Staff (EXCON), HICON, LOCON, White Cell.

Resolution (simulation) The level of detail of a model or simulation.

Scenario 1) A scenario is the lead-in background story of a crisis or conflict and consists of a sketch, outline or description of an imagined situation or of any possible sequence of future events used for training NATO Command Structure (NCS) staff elements, HQs or Forces as well as in seminar, academic or experimentation environments. A scenario will be composed of specific modules essential to the accomplishment of the NATO Commander’s objectives or of the seminar/academic/experiment objectives.

2) The background story that describes the historical, political, military, economic, cultural, humanitarian and legal events and circumstances that have led to the current exercise crisis or conflict. The scenario is designed to support exercise and training objectives and, like the setting, can be real, fictionalised or synthetic as is appropriate. [JWC Definition] Related terms: framework; storyboard/storyline; setting.

Scenario Design There are four basic categories of scenario designs with varying combinations of situations, settings and scenarios used for NATO exercises with relationships as portrayed at Figure A-2. Related terms: fictionalised scenario design; fictitious scenario design; real scenario design; synthetic scenario design.




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Figure A-2 Real, Synthetic, Fictionalised and Fictitious Scenario Design Relationships

Secondary Participants (SP) Personnel receiving training as a result of their assignment to HQs, units, activities or forces of the STA participation. Related terms: Primary Participants (PP); Primary Training Audience (PTA); Secondary Training Audience (STA).

Secondary Training Audience (STA) The STA is that Command/Participant/Unit related to the PTA, whose participation in the exercise is identified in the Bi-SC Military Training and Exercise Programme as necessary to fully achieve the exercise aim and objectives. The PTA may be able to exploit additional training opportunities within the scope of the exercise, in which case they become a secondary focus. Related terms: Primary Participants (PP); Primary Training Audience (PTA); Secondary Participants (SP).

Senior Mentor Senior Mentors are subject matter experts (SMEs) with extensive military operational experience, who are available to pass on their expertise to NATO commanders and staffs during training, exercises, mission rehearsal events and operational situations. SMs provide coaching and advice on the conduct of operations, including leadership and staff functionality both for existing and newly developing concepts and doctrine, through participation in experimentation, seminars, workshops and exercises, including the preparation for and engagement in NATO-led operations. The integration of SMs in these activities shall be laid down in the SM Programme, to be drafted by HQ SACT, and will be in line with NATO’s transformation, experimentation, exercise and training programmes. The SM Programme is reviewed annually.

Setting 1) A setting describes the situation and conditions resulting from a pre-STARTEX series of events, without political rationale, which exist upon commencement of the active phase of an exercise.

2) A geographic and strategic situation designed to provide all the conditions required to support the achievement of high level exercise aims and objectives. The setting, which can be real world, fictionalised or synthetic is the framework on which the scenario can be developed.

Related terms: framework; geo-strategic setting, scenario; STARTEX; storyboard/storyline.

Simulation 1) Unique instruction, with emphasis on operational training, to facilitate complex and integrated learning, primarily utilising electronic means to imitate, as realistically as possible, the operating environment (e.g. natural and tactical). [MC 458/1, Final] Related term:




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modelling.

2) The execution over time of models representing the attributes of one or more entities or processes. Human-in-the-loop simulations, also known as simulators, are a special class of simulations. [NATO Modelling and Simulation Master Plan (MSMP) 1998]. Note: The MSMP defines three categories of simulations: live simulations which involve real people operating real equipment; virtual simulations which involve real people using simulated equipment; and constructive simulations which involve simulated people operating simulated systems.

3) A means of representing dynamically the operating conditions of a real system. Simulation used in training dynamically models real environments and/or equipment to enable trainees to acquire and practice of skills, knowledge and attitudes. [JWC Definition]

Snapshot A snapshot is a selected situation. Snapshots are usually used as training aids where particularly complex situations occur that need to be walked through. A snapshot is directly related to, and supports the achievement of, the exercise aim and objectives. A series of snapshots conducted at intervals to train or exercise staff progressively is often termed vignettes. Related term: vignette.

Staff Element/Enhancement Training (SET) SET is an internal training Exercise Study event conducted by a military Headquarters, normally with minimal outside assistance, as preparation for future missions. A SET may be based upon the scenario for a related exercise or it could be based upon a stand-alone scenario that pertains only to that training event. SET training objectives may focus on individual staff Branches or the HQ as a whole. Its purpose normally is to practice operational planning and staff procedures peculiar to that HQ or peculiar to a given mission, such as mounting and deploying an NRF operation. It may be used to confirm or examine SOPs. A SET could also be conducted as a CPX. Related terms: advanced training; basic training; Battle Staff Training (BST); collective training; Combat Enhancement Training (CET); Force Integration Training (FIT); individual training; Key Leader Training (KLT); modular training; On-the-Job Training (OJT); operational training; training.

Staging Staging assembles, temporarily holds and organises arriving forces, equipment and materiel into component units in preparation for onward movement, integration and tactical operations. [AJP-3-13, Final Draft] Related terms: integration; onward movement; reception; Reception, Staging and Onward Movement (RSOM); Reception, Staging, Onward Movement and Integration (RSOM&I); strategic deployment.

STARTEX A brevity term used to identify the date and time an exercise phase or sub-phase is planned to start. The STARTEX date/time may be actual (real world calendar) or based on the days/hours after an earlier exercise event, such as the “G-Day”, that pre-established STARTEX conditions are met. Related term: ENDEX.

Storyboard Conventional term used to describe the mechanism and documentation related to the synchronization of multiple scenario elements. The storyboard synchronises all aspects of a scenario for all MEL/MIL main events. Related terms: Exercise Synchronisation Matrix; framework; Main Events List/Main Incidents List (MEL/MIL); scenario; setting; storyline; timeline.

Storyline




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Conventional term used to identify a specific aspect of an exercise scenario. Describes within a MEL/MIL main event, one developing situation that will set conditions and provide the Training Audience an opportunity to achieve a specific Training Objective. Related terms: framework; incident; scenario; setting; storyboard; timeline; Training Objective.

Strategic Command Exercise A strategic command exercise involving SACEUR and/or one JFC and/or his CCs and/or forces will determine the level of the exercise. If just the SC were the TA without subordinate HQs play it would be a one (1) level exercise. If all three levels of Command were involved it would be a three (3) level exercise. Related terms: Exercise Level; Component Command Inter-Operability Exercise; Joint Force Command Exercise; NATO-Wide Exercise.

Strategic Deployment Strategic Deployment transports mission-assigned forces, consisting of personnel, equipment and their sustainment, from a Port of Embarkation (POE) to a Forward Mounting Base (FMB)/Port of Debarkation (POD). [AJP-3-13, Final Draft] Related terms: integration; onward movement; reception; Reception, Staging and Onward Movement (RSOM); Reception, Staging, Onward Movement and Integration (RSOM&I); staging.

Supporting task A specific activity that contributes to accomplishing a joint mission-essential task. Supporting tasks are accomplished by the command staff or subordinate commands. [Bi-SCD 80-90, NTL] Related terms: essential task; Joint Mission Essential Task (JMET); Mission Essential Task (MET).

Synthetic Exercise (SYNEX) A SYNEX is an exercise type in which forces are generated, displayed and moved by electronic or other means on computers, simulators or other training devices. Command Post Exercises and Exercise Studies can be conducted as a SYNEX and SYNEXs can be conducted in support of a LIVEX. Related terms: Command Post Exercise (CPX); Computer Assisted Exercise (CAX); exercise study; exercise type; live exercise (LIVEX).

Synthetic Geography Artificially constructed physical and cultural geography. It is difficult and expensive to develop this to a high resolution, so such geography may contain patches of real geography to support operational and tactical level training. Related terms: real geography; transposed geography.

Synthetic Scenario Design A synthetic scenario depicts an artificial situation in a real world setting and with all other aspects being real or generic. An exercise of a Contingency Operational Plan (COP) using generic NATO forces in a real world setting is an example of a synthetic scenario. Related terms: fictionalised scenario design; fictitious scenario design; real scenario design; scenario design.

Theme Conventional exercise planners’ term used to describe, inter alia:

1) The relationships between one or more exercise events and the exercise aim and objectives.

2) An anticipated operational phase that will be deduced by the Training Audience operational planners and which would serve as a means for exercise planners to organise and associate events, incidents and injections. For example; “Training in the initial phase of an operation in order to create a safe and secure environment”.




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Related terms: storyboard/storyline; timeline.

Time jump Exercise planners’ conventional term used to describe the practise of accelerating time during periods when the exercise players are not active in order to establish specific situations and conditions to enhance achievement of the exercise aim and objectives. Time jumps must be supported by EXCON development and provision of situational data and information to set conditions for putting the training audience in the STARTEX picture after the time jump. Related terms: ENDEX, STARTEX.

Timeline Conventional exercise planners’ term used to describe the times of occurrence of past events/incidents that support the exercise scenario, current or ongoing events/incidents that assist establishment of the exercise setting and projected events/incidents through the envisioned period that exercise play will take place. Related terms: MEL/MIL; storyboard; storyline; theme.

Training Generic term for preserving and improving the ability of military individuals, staffs, and forces to conduct sound military operations. It encompasses individual and collective training. [MC 458/1, Final] Related terms: advanced training; basic training; Battle Staff Training (BST); collective training; Combat Enhancement Training (CET); Force Integration Training (FIT); individual training; Key Leader Training (KLT); modular training; On-the-Job Training (OJT); operational training; staff element/enhancement training.

Training Audience (TA) Collective term that includes both the Primary Training Audience and the Secondary Training Audience. Related terms: Primary Training Audience; Secondary Training Audience.

Training Goal General description of an envisaged end-state to be reached through training. [MC 458/1, Final] Related terms: Essential Training Goal; training objective.

Training Objective (Generic Term) Desired goal expressed in terms of performance under set conditions for a defined standard. It describes the knowledge, skills or attitudes to be reached during training. [MC 458/1, Final]

Training Objective (TO) A TO is a desired goal expressed in terms of mission essential tasks to be performed under set conditions and related to a defined standard. TOs consist of a specific performance requirement (task), the training situation (conditions) and the level of performance (standard). TOs encompass the primary, supporting and enabling tasks to be trained during the conduct of the exercise. TOs focus exercise planning and execution to ensure that required processes are performed by Commanders, their staffs and forces to meet the training requirement. TOs are defined by the TA Commanders based on their Mission Essential Tasks (METs), recommended and prioritised by the OCE, approved by the OSE, and promulgated in the OCE’s EXPLAN. Related term: exercise objective; mission essential task.

Training Team (TT) The TT is comprised of subject matter experts (SMEs) who provide staff level mentoring to the Training Audience (TA) in functional areas (examples: planning, logistics, communications, force protection, intelligence and so forth). SMEs are generally – but not necessarily – drawn from non-TA headquarters such as Joint Warfare Centre, Joint Force Training Centre, CIMIC Group North or even from IOs/NGOs such as the ICRC and




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UNOCHA. The TT usually acts in two roles simultaneously: as Observers who note the performance and operational practices of the TA, and as Trainers who coach the TA in the execution of their staff duties. Hence they are commonly known as Observer/Trainers (O/T). The TT works closely with the SM to advise EXDIR on the performance of the TA. Related term: Senior Mentor (SM).

Transposed Geography Real Geography that is moved to another location on the surface of the earth. Related terms: real geography; synthetic geography.

Validation The confirmation of the capabilities and performance of organisations, individuals, materiel or systems to meet defined standards or criteria, through the provision of objective evidence. Note: In the context of military forces, the hierarchical relationship in logical sequence is: assessment, analysis, evaluation, validation and certification. [AAP-6(2007)] Related terms: analysis; assessment; certification; evaluation.

Vignette A brief description, account or episode which evokes strong images, memories or feelings. A vignette-based Exercise Study is an exercise that uses the vignette details as the exercise setting and situation. Related terms: exercise study; snapshot.

Visitors Visitors are individuals or small groups (committees etc) from participating organisations or countries who are invited to attend a designated, programmed and possibly pre-scripted, portion of an exercise.

White Cell Conventional term used to describe a response cell that is composed of subject matter experts or role players representing agencies, organisations, institutions and individuals outside of the NATO force structure and outside of the opposing forces structure. The composition of WC must be tailored for each exercise, but typically it may include IO/NGO, local governments at Federal/ Provincial/ Municipal levels, local Police forces and local civilians. Exercise Control Staff (EXCON), HICON, LOCON, Response Cell.

Workshop An Exercise Process meeting at which a select group engages in intensive discussion and activity on a particular subject or project. Workshops should have specific product requirements and/or end-states established before the meeting.


ANNEX B TO BI-SCD 75-3 DATED: 1 AUG 07

B-1 Releasable to EU/PfP/MD

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ANNEX B. ROLES AND RESPONSIBILITIES IN THE EXERCISE PROCESS

1. This annex presents the detailed OSE, OCE, ODE and TA roles and responsibilities for the Concept and Specification Development and the Planning and Product Development stages. The roles and responsibilities for the last two stages are subsumed within the appropriate chapters.

Concept and Specification Development Stage Main Roles and Responsibilities 2. The MTEP sets forth the HQs that have been designated to serve as the OSE, OCE/OCE (COORD) and the ODE as well as the PTA and, for some exercises, the STA. The main roles and responsibilities associated with the Exercise Concept and Specification Development Stage are:

a. The Officer Scheduling the Exercise (OSE). The OSE is responsible for the organisation and conduct of the Concept and Specification Development Stage. He will designate an Officer of Primary Responsibility (OPR) and activate an Exercise Planning Group (EPG) to accomplish the key tasks and develop the essential deliverables as follows:

(1) OSE Officer of Primary Responsibility (OPR). The OSE OPR is activated by the OSE J7 to initiate the exercise process and lead the Concept and Specification Development Stage.

(a) Roles: Once activated the OSE’s OPR acts as the sole exercise point of contact within the OSE’s HQ and will be the OSE’s exercise liaison officer with the OCE’s OPR. The OSE OPR leads the OSE’s Exercise Planning Group as well as the ESC. He serves as the principal advisor to the OSE on the development of the exercise.

(b) Responsibilities: The OSE OPR is responsible for leading the Concept and Specification Development Stage on behalf of the OSE. He activates the OPRs in the OCE, ODE and TA. He is responsible for developing the TOR for and activating the OSE’s Exercise Planning Group (EPG), drafting the OSE’s Exercise Guidance, developing the exercise concept and the EXSPEC as well as developing the TOR for the OCE’s CPT. The OSE OPR will draft the Exercise Milestone Planning Schedule, the OSE’s Analysis Requirements and lead the EPG analysis of the OCE’s TOs. He will lead the examination of any impact of the experiments considered for inclusion in the exercise. He will ensure that all the OSE’s specification deliverables are correctly staffed and produced on time.

(2) OSE Exercise Planning Group (EPG). The EPG is activated at the beginning of the Concept and Specification Development Stage by the OPR on behalf of the OSE.

(a) Roles: The EPG provides functional expertise and advice to OSE OPR from across the OSE’s HQ and may include additional subject matter expertise from external organisations as required to produce the OSE’s deliverables. The EPG facilitates coordination of draft exercise products. It also provides specific expertise to the OCE in areas such as budget, intelligence, international and legal affairs, etc.

(b) Responsibilities: The OSE EPG is responsible for assisting in drafting the OSE’s Exercise Guidance and subsequently with the analysis and




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coordination of exercise requirements, exercises options, an exercise concept and the analysis of the OCE’s TOs as well as the production of the EXSPEC. The EPG will assist the OSE OPR in drafting the Exercise Milestone Planning Schedule, the OSE’s Analysis Requirements and the OCE’s CPT TORs. The EPG will also assist with the ACO functional experts’ examination of any impact of the experiments considered for inclusion in the exercise.

b. The Officer Conducting the Exercise (OCE). The OCE is designated in the MTEP. He is responsible for providing operational and training assessments, prioritised training requirements and recommended Training Objectives (TO) as well as advice to the OSE during the Concept and Specification Development Stage. He will designate an Officer of Primary Responsibility (OPR) and activate the nucleus of a Core Planning Team (CPT) to accomplish the key tasks and develop his essential input as follows:

(1) OCE OPR. The OCE OPR is activated at the request of the OSE’s OPR to assist with Concept and Specification Development.

(a) Roles: The OCE OPR acts as the sole exercise point of contact within the OCE’s HQ and is the OCE’s exercise liaison officer with the OSE and all exercise participating and supporting HQs, agencies and centres. He represents the OCE as a member of the EPG and during the ESC. He chairs the OCE CPT after its activation.

(b) Responsibilities: The OCE OPR is responsible for developing and coordinating the OCE’s operational and training assessments, prioritised training requirements and recommended TOs with the OSE OPR for OSE approval. The OCE OPR will coordinate provision of OCE subject matter expertise, as requested by the OSE OPR, to assist the EPG with: drafting the OSE’s Exercise Guidance, developing the exercise concept, drafting the EXSPEC, developing the OCE CPT TOR, drafting the Exercise Milestone Planning Schedule, determining the OSE’s Analysis Requirements and supporting the examination of any impact of the experiments considered for inclusion in the exercise. He will ensure that all the OCE’s deliverables are correctly staffed and produced on time.

(2) Core Planning Team (CPT) (Nucleus). Prior to promulgation of the CPT TOR, the OCE will activate key members of his staff as well as external TA HQs and units, to form the nucleus of the CPT to support the OCE OPR during the Concept and Specification Development stage.

(a) Roles: The CPT nucleus provides cross-functional support from across the OCE HQ as required to assist the OPR in developing the OCE’s input to the OSE’s exercise concept and specification as well as the recommended TOs.

(b) Responsibilities: The CPT nucleus is responsible for developing input to the CPT TORs and the OCE’s operational and training assessments, prioritised training requirements and recommended TOs as well as coordinating the initial draft EXSPEC.

c. The Officer Directing the Exercise (ODE). The ODE for an exercise may be designated in the MTEP or named by the OSE under normal command arrangements. The OSE will establish the division of responsibilities between the OCE and ODE in the EXSPEC and further elaborate these in the CPT TOR to ensure cooperation and mutual support. The ODE will advise the OCE in the development of input for the EXSPEC, the




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CPT TOR and Exercise Milestones, as well as the development of the OCE’s prioritised training objectives. The ODE appoints an OPR who will assume the following roles and responsibilities:

(1) ODE OPR.

(a) Roles: The ODE OPR acts as the ODE’s action officer and sole exercise point of contact within the ODE’s HQ and will be the ODE’s exercise liaison officer with the OSE EPG, the OCE’s CPT and subordinate participants as well as supporting agencies and centres. The ODE OPR will provide advice and assistance to the OCE OPR in developing OCE exercise requirements, as required.

(b) Responsibilities: The ODE OPR is the responsible for coordinating assistance the ODE may provide to the OCE as well as the support the ODE will require from the OCE. He will attend OSE EPG and OCE CPT nucleus meetings as required, as well as the ESC.

(2) ODE Exercise Project Team (EPT).

(a) Roles: The EPT supports the ODE OPR with subject matter expertise from across the ODE HQ and from outside the HQ as required to support the development of the exercise concept and specification.

(b) Responsibilities: The EPT will assist the ODE OPR in coordinating the division of responsibilities between the OCE and the ODE and provides advice on the OCE/PTA Training Objectives.

d. Primary Training Audience (PTA) HQs and Units. The PTA HQs and Units are identified in the MTEP. Upon initiation of the EP, the PTA HQs and unit Commanders will designate an OPR and activate an Exercise Project Team to support the OPR. The PTA OPR becomes a member of the OCE’s CPT.

(1) PTA OPR.

(a) Roles: The PTA OPR is the action officer responsible for the exercise. He acts as the sole exercise point of contact within that HQ and is PTA’s exercise liaison officer with both the OCE’s CPT and subordinate participants. He plays an essential role in the formulation and staffing of the PTA Training Objectives to the OCE and is a member of the CPT. Where part of the OCE’s HQ is the Primary Training Audience (i.e. when a CJTF HQ is to be exercised) there should be two separate OPRs; one for the OCE and one to represent the views of the PTA.

(b) Responsibilities: Each individual PTA OPR is responsible for developing and coordinating the PTA’s operational and training assessments, prioritised training requirements and recommended TOs with the OCE. He will coordinate the initial draft EXSPEC within the PTA HQ and ensure that the PTA Commander is kept aware of progress with respect to implementation of his training requirements.

e. Secondary Training Audiences (STA) HQs and Units. The STA may not be indicated in the MTEP. Potential STA are identified by the OSE and OCE during the analysis of requirements and designated in the EXSPEC on the basis of coordination between the OCE and respective STA HQs. The STA do not impose requirements on the Exercise Concept and Specification Development but may be consulted for advice and recommendations. Once designated, the STA commander will appoint an OPR.




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(1) STA OPR.

(a) Roles: STA OPR serves as HQ’s action officer for the exercise and is the sole exercise point of contact within that HQ. He acts as the exercise liaison officer with both the OCE’s CPT and the PTA. STA OPRs may be invited to assist in the formulation and staffing of the PTA’s Training Objectives or in support of those of the PTA.

(b) Responsibilities: Each individual STA will have an OPR who will be within that HQ and be that STA’s exercise liaison and the single point of contact officer with both the OCE’s CPT and the PTA. He is delegated the responsibility for conducting that STA’s portion of the whole EP.

Planning and Product Development Stage Roles and Responsibilities 3. Responsibility for the key deliverables shifts from the OSE to the OCE for the Planning and Product Development Stage. The specific roles and responsibilities that are associated with the Planning and Product Development Stage are:

a. The Officer Scheduling the Exercise (OSE). Once the OSE issues the EXSPEC he hands over the lead for Exercise Planning and Product Development to the OCE and assumes a monitoring and support role.

(1) OSE OPR.

(a) Roles: The OPR remains the primary exercise point of contact within the OSE’s HQ and becomes the OSE’s representative on the CPT. He continues to lead the EPG as required to support the OCE and facilitate the resolution of issues with the OSE and higher authorities.

(b) Responsibilities: The OPR will ensure that the provisions laid down in the EXSPEC are reflected in the OCE planning and facilitates provision of the requisite support beyond the OCE’s means to the OCE as required. He will support the IPC, MPC and FCC as well as CPT Meetings (CPTMs) and monitor the remainder of the EP. He ensures that the OSE is advised of potential problems with recommendations for the way ahead.

(2) OSE Exercise Planning Group (EPG).

(a) Roles: The EPG continues to support the OSE OPR with cross functional advice and expertise required to develop OSE input to the EXPLAN as well as stand-alone products. Members provide specific expertise in the first instance to the OPR and then to the OCE in areas such as budget, intelligence, international and legal affairs etc.

(b) Responsibilities: EPG members are responsible for functional area development and coordination of the EXPLAN and stand-alone products as well as providing functional subject matter expertise in support of the OSE OPR’s recommendations to the OSE.

b. The Officer Conducting the Exercise (OCE). The OCE is responsible for the organisation and conduct of the Exercise Planning and Product Development Stage. He will activate and convene the CPT, as required, to accomplish the key tasks and develop the essential deliverables. He will be supported by a designated EXDIR as specified in the EXSPEC.

(1) OCE OPR.




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(a) Roles: The OCE OPR continues to act as the OCE’s principal action officer and point of contact within the OCE’s HQ and with the OSE, ODE, OPD and TA OPRs. He leads the CPT and oversees the development of the EXPLAN and stand-alone products.

(b) Responsibilities: The OCE OPR is responsible for drafting the OCE’s Exercise Planning Guidance, organising and conducting the activities required during the Exercise Planning and Product Development Stage as well as ensuring that deliverables are properly developed in accordance with the EXSPEC and the OCE’s guidance and delivered on time. He chairs the IPC, MPC and FCC as well as the CPT Meetings.

(2) OCE Core Planning Team (CPT). The OCE activates the full CPT according to the CPT TOR. The CPT comprises representatives from the OSE as well as participating and contributing commands, centres and agencies. Additional subject matter expertise may be included to enable the production of the OCE’s deliverables.

(a) Roles: The CPT’s primary role is to develop the EXPLAN and required stand-alone documents. The CPT assists with the organisation and conduct of the MPC and FCC together with any workshops and additional conferences.

(b) Responsibilities: The CPT is responsible for drafting, coordinating and publishing the EXPLAN and required stand-alone documents. CPT members participate in CPTMs and lead syndicates to develop the EXPLAN and other products.

c. The Officer Directing the Exercise (ODE). When designated, the ODE assumes specific roles and responsibilities in support of the OCE as established in the EXSPEC and the CPT TOR. He will normally serve as the Exercise Director (EXDIR). He will designate an OPR, and activate an ODE Exercise Planning Team (EPT) to accomplish his planning responsibilities.

(1) ODE OPR.

(a) Roles: The ODE OPR continues to act as the ODE’s principal action officer for the exercise and point of contact within the ODE’s HQ and liaison to the OSE, OCE and TA. He supports the OCE OPR in the development of the EXPLAN, and stand-alone products and with the conduct of CPT meetings as well as the MPC and FCC, as required. He leads ODE’s EPT.

(b) Responsibilities: The ODE OPR is responsible for coordinating with and supporting the OCE OPR in organising and conducting the ODE activities required during the Exercise Planning and Product Development Stage including the development of the EXCON, scenario modules and training support as well as modelling and simulation in accordance with the EXSPEC and the OCE’s guidance. He supports the OCE OPR during the IPC, MPC and FCC as well as CPT Meetings.

(2) ODE Exercise Planning Team (EPT). The ODE activates his EPT according to the requirements established in the EXSPEC and CPT TOR. The ODE EPT comprises functional staff from across the ODE HQs and may include additional subject matter expertise to enable the production of the ODE’s deliverables.




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(a) Roles: The EPT’s primary role is the supervision of the production of the ODE’s portion of the EXPLAN and scenario modules based on the OCE’s delineation of EXPLAN and scenario module responsibilities. The team assists the OCE’s CPT with the organisation and conduct of the MPC and FCC together with any workshops and additional conferences.

(b) Responsibilities: The ODE’s EPT is responsible for producing and coordinating designated portions of the EXPLAN and stand-alone products in conjunction with the OCE’s CPT according to the agreed delineation of tasks between the CPT and the EPT.

d. Exercise Director (EXDIR). The EXDIR will be specified in the EXSPEC and may be provided by the OCE or by the ODE when designated.

(a) Roles: The EXDIR oversees the execution of the EXPLAN and the manning, training and employment of the EXCON on behalf of the OCE and the ODE to ensure accomplishment of the exercise aim and objectives as well as TOs. He is an advisor to the OCE on matters pertaining to the exercise.

(b) Responsibilities: The EXDIR will ensure that the requisite scenario modules are available and distributed in the appropriate manner prior to initiation of each exercise phase/sub-phase. He will monitor the CPT/EPT as well as participate in the IPC, MPC and FCC.

e. Primary Training Audience Roles and Responsibilities.

(1) PTA OPRs.

(a) Roles: The PTA’s OPR continues to be the principal action officer and point of contact for the exercise. His primary role during the Planning and Product Development Stage is to ensure that the EXPLAN will deliver a viable exercise that will allow the PTA successfully achieves its TOs.

(b) Responsibilities: The PTA’s OPR monitors the development of the EXPLAN and stand-alone products to assess their adequacy and ensure that the PTA Commander is kept aware of the exercise development and any issues that may impact his training requirements.

f. Secondary Training Audiences’ Roles and Responsibilities.

(1) STA OPRs.

(a) Roles: The primary role of each STA OPR is to ensure that the EXPLAN delivers appropriate training opportunities for their STA consistent with their level of participation and to advise his commander of any issues.

(b) Responsibilities: The STA’s OPRs monitor the development of the EXPLAN and stand-alone products to assess their adequacy and ensure that the STA Commander is kept aware of the exercise development and any issues that may impact his training requirements.


ANNEX C TO BI-SCD 75-3 DATED: 1 AUG 07

C-1 Releasable to EU/PfP/MD

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ANNEX C. EXERCISE PLANNING GROUP AND CORE PLANNING TEAM TERMS OF REFERENCE

INTRODUCTION This Annex presents four appendices which describe the responsibilities as well as provide Terms of Reference (TOR) forms for the Exercise Planning Group (EPG) and the Core Planning Team (CPT).

The appendixes list the overall responsibilities for the EPG and the CPT as well as present the skeleton for the "Terms of Reference" (TOR). These appendixes shall be used in all exercises and by all exercise participating entities in order to promote a common understanding and to standardise the work of these groups. If a Headquarter requires additional regulations, these may be added as Annexes to the standardised TORs or delineation of responsibilities as long as those added Annexes / Responsibilities are not standing against the given standards. Under normal circumstances, the standardised formats should be sufficient.

Appendices: Appendix 1 - Exercise Planning Group (EPG) Terms of Reference (TOR)

Appendix 2 - Exercise Planning Group (EPG) Responsibilities

Appendix 3 - Core Planning Team (CPT) Terms of Reference (TOR)

Appendix 4 - Core Planning Team (CPT) Responsibilities


APPENDIX 1 TO ANNEX C TO BI-SCD 75-3 DATED: 1 AUG 07

C-1-1 Releasable to EU/PfP/MD

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APPENDIX 1 TO ANNEX C EXERCISE PLANNING GROUP (EPG) TERMS OF REFERENCE (TOR)

The EPG TOR is issued by the OSE in order to provide the necessary support for the OCE

TERMS OF REFERENCE FOR THE EXERCISE PLANNING GROUP (EPG)

1. In order to start the planning for Exercise XYZ, an Exercise Planning Group (EPG) will be established by the officer scheduling the exercise (OSE), led by an officer with primary responsibility (OPR) from his HQ and further composed of members from OCE and other supporting HQs and agencies.

2. The Exercise Planning Group (EPG) will coordinate the overall OSE planning efforts for Exercise XYZ as summarised in Bi-SCD 75-3, Annex C, Appendix 2 (Exercise Planning Group (EPG) Responsibilities) and recommend additional appropriate tasking, if required.

3. Direct liaison is authorised to applicable staff elements of the strategic commanders (SCs), JWC, OPD and Joint Analysis and Lessons Learned Centre (JALLC).

4. The EPG will prepare and conduct the Exercise Specification Conference and provide on-call subject-matter expertise to all other Exercise Process conferences and any other meetings required for the exercise.

5. The EPG will draft and coordinate the Exercise Specification (EXSPEC) and obtain officer scheduling the exercise (OSE)’s approval to distribute it.

6. The EPG will define additional planning requirements and recommend to the OSE the set-up of additional functional planning cells as required.

7. The EPG will publish exercise documents on an OSE determined web page.

8. Each member of the EPG will be responsible for maintaining appropriate files and will have a deputy appointed in writing, able to assume the member’s functions in case of absence.

9. Tentative Milestones: (Developed by OSE with the support of OCE).

10. The EPG will develop further milestones for the planning schedule as required. The EXSPEC will confirm/adapt as required the tentative milestones.

11.Possible Composition of the EPG

a. OSE OPR (Chairman)

b. OCE OPR

c. HQ SACT OPR

d. ACT (ODE) OPR

e. POLAD

f. LEGAD

g. Evaluation

h. Analysis

i. SCENARIO/INTEL




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j. CIS

k. Manning

l. Logistics

m. Exercise Control (EXCON/MEL-MIL)

n. Simulation and Modelling support (including Synthetic Exercise tools)

o. CIMIC

p. Real Life Support

q. Visitor/Observer Bureau

r. Press Information Centre

s. Budget Issues

t. Host Nation Support

u. Experiment Venue Coordinator/Experimentation Integrator




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APPENDIX 2 TO ANNEX C EXERCISE PLANNING GROUP (EPG) RESPONSIBILITIES

Introduction 1. This Appendix describes the task organisation, process and responsibilities of the OSE’s Exercise Planning Group (EPG) responsibilities.

2. An OSE EPG will be established for an exercise led by the OSE OPR and consisting of a representative from each OSE’s staff and centre, agency and TAs participating in an exercise (normally the respective OPRs) with additional subject matter experts (SMEs) as required to support the development of specific parts of the exercise design and/or the EXSPEC. The OPRs coordinate the specific exercise planning activities within their respective Headquarters, centres and agencies. The EPG has overall responsibility for the activities to be conducted and the products to be delivered during the Exercise Concept and Specification Development Stage. The OSE EPG is ultimately responsible for the development and production of the EXSPEC. The EPG will derive its planning information from the exercise policy documents and SC directives as well as the following sources:

a. Higher authority planning guidance, military assessments etc. (OSE Exercise Guidance, the OSE Exercise Guidance).

b. SACEUR’s Vision for ACO.

c. SACEUR’s Strategic Plan.

c. NATO Military Training and Exercise Programme (MTEP).

d. Defence Requirements Review (DRR).

e. Deployable Forces Certification Requirements.

f. Essential Training Goals (ETGs).

g. TA Commanders’ Mission Essential Task (METs).

h. OCE Operational and Training Assessments.

i. List of forces and agencies.

j. Lessons Learned and Recommendations from previous, appropriate exercises.

k. Allied publications (AP) and Standardization Agreements (STANAGs).

EPG Deliverables 3. The EPG primary deliverables include:

a. EPG Terms of Reference (TOR).

b. OSE’s Exercise Guidance.

c. Exercise Specification (EXSPEC).

d. Core Planning Team (CPT) Terms of Reference (TOR).

e. Approved Training Objectives (TOs).

f. Exercise Milestone Planning Schedule.

g. OSE’s Analysis Requirements.

h. OSE’s Approved Experiments.




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i. Exercise Specification Conference Minutes.

EPG Organisation 4. The chairman of the OSE EPG should be that headquarters’ OPR. To assist the OPR a small coordinating team will be established to focus the work of the functional area representatives making up the rest of the EPG. The EPG will start with the HQ ‘internal’ participants. This nucleus will develop the Initial OSE Guidance on behalf of OSE. The standardised EPG TOR is at Appendix 2. If additional regulations or delineation of responsibilities are required these may be added as Annexes to the standardised TOR.

5. Functional area membership should be based on the exercise design and the training objectives to be achieved during the exercise. Each member will be responsible for specific contributions to the EXSPEC. It is recommended that a similar structure is adopted in all HQs/agencies/centres supporting the exercise for the Exercise Project Team (EPTs). Supporting HQ OPRs will normally represent those HQs at the OSE CPTMs.

EPG Process 6. The EPG process is composed of:

a. EPG Meetings. The agenda for the EPG’s first meeting (EPGM 1) is normally determined by the OSE OPR. The meeting is convened as soon as the OSE J7 activates the exercise planning staff (OPR and Co-OPR). There are no limits to the number of EPGMs to be held but at a minimum there should be a meeting to inform the EPG members about the exercise. The minimum agenda for EPGM 1 should include:

(1) Exercise Planning Group (EPG) Terms of Reference (TOR).


(3) Geographical area of the exercise for LIVEXs. Strategic level decision in EXSPEC.

(4) Review of Strategic Direction and Guidance.

(5) Develop and issue OSE Exercise Guidance.

(6) Develop and coordinate the OCE/TA Training Objectives.

(7) Analyse Exercise Design Requirements and Limitations.

(8) Develop Exercise Design and Concept.

(9) Develop Exercise Specification.

(10) Conduct Exercise Specification Conference (ESC).

b. EPG Responsibilities. The EPG is responsible mainly to prepare and issue the OSE Exercise Guidance and EXSPEC, to develop and coordinate the TAs’ training objectives, to set the exercise and to develop and issue the CPT TOR.

(1). The OSE’s Exercise Guidance is the OSE’s direction and guidance to the EPG on what he expects the exercise to achieve and how the EPG should place it into a strategic context. The OSE will establish his strategic aim and objectives as well as his vision of the exercise including any specific strategic and operational conditions that must be established. The Exercise Guidance shall be delivered at the initiation of the Exercise Process. It is essential that the OSE’s Exercise Guidance be promulgated prior to OCE initiating exercise planning and development activities (nominally 12 months before Phase III). It shall outline what is expected from the




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exercise as well as provide a delineation of responsibilities. This guidance is required to orient and focus the OSE’s OPR and the OSE’s EPG in the analysis of requirements and the subsequent development of the exercise concept and specification. The OPR, with the EPG, will assist the OSE in developing this guidance. The Exercise Guidance will be provided to the OCE to support development of the OCE’s Exercise Planning Guidance.

(2) The Exercise Specification is the OSE’s order to the OCE (and the ODE, when designated) to plan, conduct and analyse the exercise and requires the personal involvement of the OSE Commander in establishing objectives, issuing guidance and approving the concept. The EXSPEC is developed as a collaborative effort with the OCE and the ODE, as well as with other HQs, agencies and centres participating in the exercise. The EXSPEC should complement the Exercise Guidance and include the Geo-Strategic Situation and the draft Exercise Milestone Planning Schedule. It shall provide enough details to support development of the Exercise Plan (EXPLAN) but allow for the shaping of the exercise by the OCE (and the ODE if designated) to ensure full achievement of the OSE’s exercise aim and objectives. It is essential that the Final Draft EXSPEC be promulgated prior to OCE initiating exercise planning and development activities (nominally 12 months before Phase III). Once approved it remains in force unless specifically changed by the OSE.

(3) The development of TOs for an exercise takes place in parallel with the development of the EXSPEC and helps to optimise exercise training value. The TA commander with the advice of JWC and JFTC (as applicable) will develop a consolidated and prioritised list of TOs based on the TAs’ annual training requirements list derived from assessment of the TA Commanders’ METs. If the exercise includes partners’ participation; Partnership Goals and partners’ NATO Tasks List tasks should also be taken into account. The OSE in conjunction with the OCE/TA J7s and the participating evaluation teams will review the proposed TOs against the OCE’s operational and training assessment and the OSE’s aim and objectives to identify training requirements that can be met within the scope and scale of the EXSPEC. TOs will be approved by the OSE and promulgated by the OCE in his Exercise Planning Guidance and EXPLAN.

(4) The Develop Exercise Concept and Design activity is designed to determine how best to design and conduct the exercise in order to accomplish the OSE’s Exercise Objectives and the TOs and achieve the end-state. It will establish how to sequence activities and employ exercise resources. The steps supporting this activity are:

a) Determine Scope and Level of Participation.

b) Develop Planning Situation/Scenario Options.

c) Develop Exercise Form and Type Alternatives.

d) Develop Alternative Sequences of Major Activities.

e) Develop Alternative Exercise Locations and Distribution.

f) Establish the Optimal Level of Partner Participation.

g) Determine the Need to Conduct a Pre-Exercise quality Threshold Evaluation (PETE) for Partners.

h) Determine Costs and Update/Develop Initial Budget Submission.




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i) Develop and Coordinate Options and Recommendations.

j) Determine Options for Conducting Experiment(s).

k) Present Exercise Design Options to OSE for Decision.




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APPENDIX 3 TO ANNEX C CORE PLANNING TEAM (CPT) TERMS OF REFERENCE (TOR)

This appendix shall be used in all exercises and by all exercise participating entities in order to promote a common understanding and to standardise the work of the ACO Core Planning Teams.

If an OCE HQ requires additional regulations or additional delineation of responsibilities, these may be added as Annexes to the standardised terms of Reference.

TERMS OF REFERENCE FOR THE CORE PLANNING TEAM (CPT)

1. In order to start the planning for Exercise XYZ, a Core Planning Team (CPT) will be established by the officer conducting the exercise (OCE), led by an officer with primary responsibility (OPR) from his HQ supported by ODE (if applicable) and further composed of members from OSE and other supporting HQs, agencies and centres.

2. On behalf of the OCE, the Core Planning Team (CPT) will coordinate the overall planning efforts for this Exercise in accordance with the EXSPEC, the OSE’s Planning Guidance and Bi-SCD 75-3, Annex C, Appendix 4 (Core Planning Team (CPT) Responsibilities). The CPT will recommend additional appropriate tasking, if required.

3. Direct liaison is authorised to applicable staff elements of the strategic commanders (SCs), JWC, JFTC, Joint Analysis and Lessons Learned Centre (JALLC), OPD, NCSA and other agencies as defined in the CPT composition.

4. The CPT will participate in the Initial Planning Conference and take over planning responsibility from the OSE’s Exercise Planning Group (EPG) during this conference.

5. The CPT will prepare and conduct the Main Planning Conferences, the Final Coordination Conference and any other meetings required for the exercise.

6. The CPT will draft and coordinate with all participants the Exercise Plan (EXPLAN) and obtain the OSE’s approval to execute.

7. The CPT will define additional planning requirements and recommend to the OCE the set-up of additional functional planning cells as required.

8. The CPT will monitor all staff activities to support the Operational Planning Process (OPP) at all levels.

9. The CPT will publish exercise documents on an OCE determined web page.

10. The CPT will develop the exercise control tools required to conduct the exercise.

11. Each member of the CPT will be responsible for maintaining appropriate files and will have a deputy appointed in writing, able to assume the member’s functions in case of absence.

12. The CPT will develop further milestones for the planning schedule as required. The EXSPEC will confirm/adapt as required the tentative milestones.

13. Possible Composition of the CPT

a. OCE OPR (Chairman)

b. OSE OPR




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c. HQ SACT OPR

d. ODE OPR, if designated

e. Evaluation (OPD, SHAPE or ACO HQ)

f. Analysis (JALLC or OCE)

g. Scenario/Intelligence (OCE, JWC or JFTC)

h. CIS, exercise related (NCSA and OCE)

i. Manning augmentation/management (OCE)

j. Logistics, exercise related (OCE)

k. Exercise Control (EXCON/MEL-MIL) (JWC, JFTC or other ODE)

l. Simulation and Modelling support (including Synthetic Exercise tools) (JWC, JFTC or other ODE and Support Contractors)

m. CIMIC and IO/NGO (SHAPE, JWC, JFTC or other ODE)

n. Real Life Support, for each exercise site

o. Visitor/Observer Bureau (OCE)

p. Press Information Centre (OCE)

q. Budget Issues (OCE)

r. Host Nation Support (Host Nation(s))

s. Experiment Venue Coordinator/Experimentation Integrator (HQ SACT or JWC)

t. Security, Accreditation, Partner Integration (as appropriate)




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APPENDIX 4 TO ANNEX C CORE PLANNING TEAM (CPT) RESPONSIBILITIES

INTRODUCTION 1. This Appendix describes the task organisation, process and responsibilities of the OCE’s Core Planning Team (CPT).

2. An OCE CPT will be established for an exercise led by the OCE OPR and consisting of a representative from each command, centre and agency participating in an exercise (normally the respective OPRs) with additional subject matter experts (SMEs) as required to support the development of specific parts of the exercise design and/or the EXPLAN. The OPRs coordinate the specific exercise planning activities within their respective Headquarters, centres and agencies. The CPT has overall responsibility for the activities to be conducted and the products to be delivered during the Exercise Planning and Product Development Stage as required by the EXSPEC. The OCE CPT is ultimately responsible for the development and production of the EXPLAN. The CPT will derive its planning information from the exercise policy documents and SC directives as well as the following sources:

a. Higher authority planning guidance, military assessments etc. (OSE Exercise Guidance, The OCE Exercise Planning guidance)

b. The EXSPEC.

c. A draft or outline EXPLAN.

d. Any exercise instructions additional to the EXSPEC or Framework EXPLAN.

e. List of forces and agencies.

f. Lessons Learned and Recommendations from previous, appropriate exercises.

g. Allied publications (AP).

CPT DELIVERABLES 3. The CPT primary deliverables include:

a. Deliverables Coordination.

(1) EXPLAN (Coordination).

(2) TOR (Coordination).

(3) Main Planning Conference (Coordination).

(4) Final Coordination Conference (Coordination).

(5) Final Exercise Report (Coordination).

b. Deliverables Production.

(1) EP Milestone Planning Schedule.

CPT ORGANISATION 4. The chairman of the OCE CPT should be that headquarters’ OPR. To assist the OPR a small coordinating team will be established to focus the work, the functional area representatives making up the rest of the CPT. The CPT will start with the HQ ‘internal’ participants. This nucleus will develop the Initial OCE Exercise planning guidance (based on OSE Exercise guidance) and the OCE Exercise planning guidance (based on the final




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EXSPEC). The standardised CPT TORs are at Appendix 4. If additional regulations or delineation of responsibilities are required these may be added as Annexes to the standardised TOR.

5. Functional area membership should be based on the exercise design and the training objectives to be achieved during the exercise. Each member will be responsible for specific contributions to the EXPLAN. It is recommended that a similar structure is adopted in all HQs/agencies/centres supporting the exercise for the Exercise Project Team (EPTs). Supporting HQ OPRs will normally represent those HQs at the OCE CPTMs. CPT PROCESS 6. The CPT process is composed of:

a. CPT Meetings. The agenda for the CPT’s first meeting (CPTM 1) is normally agreed during the ESC. The meeting is convened as soon as practicable after the ESC minutes have been distributed. There are no limits to the number of CPTMs to be held but at a minimum there should be a meeting before each major exercise process conference. The minimum agenda for CPTM 1 should include:

(1) Core Planning Team (CPT) Terms of Reference (TOR).


(3) Geographical area of the exercise for LIVEXs. Strategic level decision in EXSPEC.

(4) Exercise Specification Conference Minutes.

(5) Approved Training Objectives (TOs).

(6) Detailed analysis of the EXSPEC and the OSE’s Planning Guidance to thoroughly examine the OSE’s aim, objectives and desired endstate as well as all assigned and implied tasks, in order to state precisely the OCE’s mission and desired endstate.

(7) OCE’s Mission Analysis. Identification of factors, making planning assumptions and deducing conclusions that are relevant and useful in determining the OCE’s requirements and specific conditions that must be established with respect to forces, time and space.

(8) Identification of any additional restraints and constraints, e.g. Arms Control treaty/agreement considerations, i.e. Vienna Document 99/CFE implications, financial limitations etc.

(9) Provisional distribution list of the EXPLAN for NATO/national and/or specialised agencies.

(10) Experimentation, evaluation and analysis requirements based upon the OSE’s Analysis Requirements and Approved Experiments.

(11) Composition of the CPT and delineation of responsibilities.

b. IPC, MPC and FCC Planning and Execution. The IPC is the transition point from OSE to OCE responsibility for planning the exercise. The OSE is responsible for organising and initiating the Initial Planning Conference (IPC) before handing over the chair to the OCE OPR. For the sake of continuity the OCE CPT will provide the chairmen of the support and operations syndicates throughout the IPC reporting to the appropriate conference chairman (OSE or OCE). The CPT Chairman will organise, and




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act as chairman or secretary (depending on rank) for, the Main Planning and Final Coordination Conferences (MPC/FCC); administratively supported by the remainder of his CPT.

c. Conference Management. During the organisation and conduct of an IPC (post OSE to OCE handover), MPC or FCC the J7 and the CPT from the OCE will fill the functions of Chairman, Co-Chairman, Secretary, Administrative Support and Coordination Committee leader. The remainder of the Administrative Support staff has to be provided by the host HQ. The number of delegates (participating HQs, units and nations) to form functional area syndicates will obviously vary with the extent and complexity of the exercise. In order to get the right mix and number of delegates the invitation must be very clear as far as syndicates and agenda are concerned. This will also ensure that delegations attending an IPC, MPC or FCC are kept to an appropriate size.

d. Syndicate Composition. As a rule, the syndicates formed for the planning conferences should be based on the functional area annexes that will appear in the EXPLAN. The following list, therefore, provides some guidance on the types of syndicates that may be required. Linked to responsibilities three overarching groups can be identified: Exercise instructions and Scenario development; EXCON; and evaluation, analysis and reporting. Depending on the nature and complexity of the exercise, some syndicates may need to be divided into sub-syndicates; others could perhaps be combined. For example; EXCON subjects as well as (34) Evaluation, Analysis and Reporting.

(1) Coordination Committee.

(2) Task Organisation and Participation [For each exercise phase/sub-phase.]

(3) Geo-Strategic Situation, Exercise Setting and Scenario Overview

(4) Scenario Modular Products Schedule

(5) Training Objectives [As approved by the OSE.]

(6) STARTEX Conditions [For each exercise phase/sub-phase.]

(7) Modelling and Simulation Control Plan/Instructions [For each exercise phase/sub-phase and where appropriate throughout exercise execution.]

(8) Real Life Support [For all EXCON, EXCON Support and TA participants]

(a) Medical Plan/Instructions

(b) Augmentee Preparation and Processing Plan/Instructions

(c) Logistic Support Plan/Instructions

(d) Movements and Transportation Plan/Instructions

(e) Personnel Lodging/Accommodation Plan/Instructions

(f) Catering Plan/Instructions

(g) Administration Plan/Instructions

(h) Office Allocation Plan/Instructions

(9) Experimentation Plan/Instructions [For each exercise phase/sub-phase.]

(10) [Not Used]




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(11) Non-NATO Participant Plan/Instructions

(12) Legal Instructions [To include exercise medical.]

(13) Public Information Plan/Instructions

(14) Visitors and Observers Plan/Instructions

(15) Land Exercise Instructions [LIVEX only]

(16) Air Exercise Instructions [LIVEX only]

(17) Maritime Exercise Instructions [LIVEX only]

(18) Amphibious Exercise Instructions [LIVEX only]

(19) Psychological Operations Exercise Instructions [LIVEX only]

(20) Special Operations Exercise Instructions [LIVEX only]

(21) Information Operations Exercise Instructions [LIVEX only]

(22) Electronic Warfare Operations Exercise Instructions [LIVEX only]

(23) CIS and Bi-SC AIS Core and Functional Services Plan/Instructions [For each exercise phase/sub-phase.]

(24) METOC Support/Rapid Environmental Assessment Instructions

(25) Geographic Support Instructions

(26) Environmental Protection Instructions [to include medical environmental health issues, LIVEX only]

(27) Exercise Safety Instructions [LIVEX only]

(28) Force Protection Plan/Instructions [For each exercise phase/sub-phase.]

(29) Exercise Process Lessons Learned Instructions [Including requirement for Lessons Identified/Learned to be provided as in the format of the JALLC Observation Program (OCP) Lessons Learned Database (LLDB) export.]

(30) Budget Instructions [Detailed budget allocation for the exercise; addressing, if appropriate, Partner, MD and ICI Subsidisation funds.]

(31) Exercise Control

(a) EXCON Structure. [For each exercise phase/sub-phase.]

(b) Terms of Reference to include the EXDIR, EXCON staff at SC/JFC/CC levels and Local Operations Control (LOPSCONTROL) if used.

(c) EXCON instructions to include: Organisation, Tasks, Working Schedule and timelines, Coordination Meetings, Location Plan, Manning, Real Life Support, Communications and ADP Support, Administration, After Action Review requirements, Instructions for the FIR and FER.

(32) Evaluation, Analysis and Reporting

(a) Evaluation Plan

(b) Exercise Analysis Plans

(c) First Impression Report (FIR) Instructions

(d) Hotwash-up Instructions [If appropriate.]




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(e) Post-Exercise Discussion (PXD) Instructions

(f) Final Exercise Report (FER) Instructions

CPT RESPONSIBILITIES 7. The OCE OPR is responsible for ensuring that the allocation of work to syndicates covers all subjects and that the work of the syndicates is not duplicated. Drafts produced by the syndicates are cross-checked for inconsistencies by other syndicates before the Coordination Committee allows for reproduction and distribution. The master copy of the EXPLAN contains the latest syndicate drafts. Minutes of the Coordination Committee meetings should be maintained.

8. Each syndicate will have a chairman (preferably a CPT Member) nominated who will be responsible for coordinating the efforts of its syndicate with those of other syndicates and for keeping their work to the time schedule.

CPT PREPARATIONS FOR CONFERENCES 9. CPT preparations for organising the initial and main planning conferences should be made well in advance, preferably in conjunction with a representative of each of the major participants.

10. Well in advance the CPT should prepare an administrative document containing the description, organisation, task and conduct of the meeting including:

a. The proposed Agenda.

b. Secretarial arrangements.

c. Proposed syndicate composition.

d. Tasks allocated to syndicates.

e. Room allocations.

f. Coordination instructions, including the Personnel Administration Form (PAF) coordinated with hosting HQ.

g. Exercise Milestone Planning Schedule.

h. Main Planning References as listed at 1 above.

i. Current Draft EXPLAN. (1= IPC, 2= MPC)

j. Relevant MC documents, SC Directives and Allied publications (APs).

11. After reception of the PAFs the host HQ should produce a Conference guide. It should contain:

a. Cover letter.

b. Attendee and accommodation list.

c. Security regulations pass.

d. Real life support timetable.

e. Contact Numbers.

f. Administrative arrangements including details of:

(1) Transport,




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(2) Accommodation,

(3) Messing, etc.

g. Receipt Note.

CONFERENCE WORKING SCHEDULE Where members of the Coordination Committee and the CPT are not normally collocated, the first day of the conference should be devoted to their meeting in order to establish detailed instructions for the other syndicates. Only members of the Coordination Committee, syndicate chairmen and the secretary should attend. On the second day, prior to the syndicate work, the chairmen will ensure common understanding within their syndicate on the full particulars of the meeting. The Coordination Committee will meet daily with all chairmen to coordinate the development of the EXPLAN. As soon as a portion of the EXPLAN has been drafted and coordinated it will be reproduced and distributed.

CHECKLIST FOR PLANNING CONFERENCES The following administrative checklist is provided for guidance to the OCE or other HQ/agency/centre OPR organising the conference:

a. Obtain sufficient conference and syndicate working space allocations; consider force protection and security requirements and possible need for “debugging” spaces.

b. Reserve accommodation based on anticipated number of out-of-area attendees.

c. Establish local transport arrangements.

d. Obtain required reference material, routine office supplies, maps, charts, etc, for use by syndicates.

e. Arrange reproduction facilities.

f. Prepare information folders.

g. Arrange for coffee and messing.

h. Arrange for security passes.

i. Arrange for clerical support.

j. Prepare listing of attendees.

k. Arrange for safe keeping of classified material.

l. Arrange for preparation of classified material for despatch/carriage to parent authorities.

m. Arrange NATO Secret WAN links if locally available.

n. Arrange for a realistic number of unclassified e-mail facilities.

o. Arrange provision of ADP support to each syndicate.

p. Arrange stationery support, White boards, pens, flipcharts etc.

q. Provide extra commercial, military and where available secure telephones.

r. Arrange secure and unclassified FAX access.

s. Provide VCR and digital projectors.

t. Welcome by the host commander or a senior representative.




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u. Introduction by ACO/Exercise Commander.


ANNEX D TO BI-SCD 75-3 DATED: 1 AUG 07

D-1 Releasable to EU/PfP/MD

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ANNEX D. EXERCISE PROCESS DELIVERABLE TEMPLATES This Annex provides templates for the major Exercise Process deliverables.

Appendices:

Appendix 1 – OSE’s Exercise Guidance Template

Appendix 2 - Exercise Specification (EXSPEC) Template

Appendix 3 – OCE’s Exercise Planning Guidance Template

Appendix 4 – Exercise Plan (EXPLAN)

Appendix 5 – First Impression Report (FIR) Template

Appendix 6 – Final Exercise Report (FER) Template


APPENDIX 1 TO ANNEX D TO BI-SCD 75-3 DATED: 1 AUG 07

D-1-1 Releasable to EU/PfP/MD

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APPENDIX 1 TO ANNEX D OSE’S EXERCISE GUIDANCE TEMPLATE

REFERENCES: A. NATO Military Training and Exercise Programme (MTEP)

B. SACEUR’s Intent Statement

C. Bi-SC Exercise Directive

D. MC 458/1 NATO Military Training and Exercise Policy

E. ………

1. Introduction 1-1. As Officer Scheduling Exercise (OSE), I direct the [who] to conduct an [what kind of] exercise, named [what], on [when] in accordance with the MTEP (Reference A). The NRF phase will be open to PfP as observers and to eligible Partners. The transition and follow-on force execution phase will be open to PfP as participants and [who] as observers.

1-2. The HQs training process will be in accordance with the DF Training Concept. Commander [who], through the Operational Preparation Directorate (OPD), will provide, in coordination with OCE, training coordination and evaluation/certification support to the Operational Commanders for the preparation and development of NRF within the [exercise name(s)].

1-3. This document details my guidance for [exercise]:

a. To my Exercise Planning Group (EPG) and Officer of Primary Responsibility (OPR);

c. To Commander Joint Force Command [which] as Officer Conducting the Exercise (OCE) and his Component Commanders, as Primary Training Audiences;

b. To [who], as the Officer Directing the Exercise (ODE); and

d. To the Director OPD.

2. Aim 2-1 ……

3. Scope 4. Relation to other Exercises 5. Delineation of Responsibilities 6. Principal Objectives 7. Funding

….




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APPENDIX 2 TO ANNEX D EXERCISE SPECIFICATION (EXSPEC) TEMPLATE

REFERENCES This section should include all higher HQ directives, as well as own directives, for the planning and conduct of the exercise. A list of supporting documents should be attached as a separate Annex.

GENERAL DATA This section should present the details by which the exercise will be identified throughout the planning process.

a. NICKNAME

b. SERIAL NUMBER (if exercise is repeated same Calendar Year)

c. CATEGORY

d. LEVEL

e. FORM

f. TYPE

g. DATES

h. AREA

i. OSE

j. OCE (and OCE COORD, if necessary)

k. TA

l. ODE

k. DIREVAL

OVERALL REQUIREMENTS This section should outline the requirements for the exercise, the purpose and the relationship(s) to other exercise(s).

EXERCISE AIM AND OBJECTIVES

This section should specify the OSE’s aim and exercise objectives. For NATO exercises open to Partner participation include the goals and objectives to be achieved. Objectives should be achievable within the scope and scale of the exercise. Additionally mention of any evaluation and/or analysis requirements should be made here.

GEO-STRATEGIC SITUATION

This paragraph should summarise the major regional actors, a description of the current crisis with the historical background of the crisis as well as the major political, military, economic, cultural, humanitarian and legal conditions that support a NATO military response, including membership in relevant Arms Control treaties and agreements. An expansion of the Geo-Strategic Situation will be included as an annex to assist the Exercise Planning Group in determining scenario requirements.




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CONCEPT OF THE EXERCISE

This section should set out the concept of the exercise and how it will be designed to achieve the aim and objectives. Outline the setting, including the current and projected political, military, economic, humanitarian situations, etc.; which provide the background for the development of the Exercise Planning Documents (Strategic Military Assessment (SMA), Initiating Directive (ID), Target Lists, etc), which will be used by the exercise players to initiate the Operational Planning Process (OPP) for the exercise.

PARTICIPATION REQUIREMENTS

This section should be divided into NATO and national (NATO, Partner, and other non-Allies) participation by phases, as appropriate, and where required, into different force requirements indicating likely employment and/or roles. When deemed necessary, the intended employment of forces nominated to simulate certain events or military situations should be stated. Participation requirements (to be confirmed in the EXPLAN) should indicate:

a. Parties involved.

b. Envisaged kind and size of headquarters.

c. Envisaged number of troops. (LIVEX only)

d. Types of armed forces involved. (LIVEX only)

e. Envisaged levels of Command participation.

f. Partner Participation

g. Pre-Exercise quality Threshold Evaluation (PETE). (if applicable)

h. Any other important exercise information.

i. In the case of a Synthetic Exercise (SYNEX), the extent of simulation should be indicated.

EXTERNAL SUPPORT

This paragraph should include external support requirements to be requested from other NATO HQs and/or agencies. For example, support from CIS, staff augmentation, special analysis/evaluation teams or international/non-governmental organisations.

POLITICAL IMPLICATIONS

This paragraph should address the possible political implications of the exercise. More specifically, it should identify areas of possible difficulty and the recommendation on implications with respect to Arms Control treaty/arrangement membership, i.e. the CFE Treaty and Vienna Document 1999 provisions.

PLANNING SCHEDULE

This paragraph should include the proposed Exercise Process (EP) schedule. It is necessary to include the dates by which firm allocations and nominations of forces are required.

PUBLIC INFORMATION POLICY

Unless indicated otherwise by the OSE, the PI policy for NATO Military Exercises is "Active."

VISITORS AND OBSERVERS

This section should include the details for organising a Visitors’ and Observers Bureau




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(VOB), Visitors and Observers Day and any Distinguished Visitor Day (DV-Day) proposed for the exercise.

ADMINISTRATION, LOGISTICS, REAL LIFE SUPPORT AND FUNDING REQUIREMENTS

This section should include all requirements that cannot be met within current OCE capabilities. This includes the estimated cost to NATO for the exercise.

REPORTING REQUIREMENTS

This paragraph should include the necessary guidelines on the form and timelines for reporting on the exercise. This section will also include the need for a PXD or not.

OTHER SPECIAL INSTRUCTIONS

This section includes other necessary guidance; for example on how the exercise design will be conducted, conditions for initiation of the Crisis Response Planning, etc.

ANNEXES

Annex A – Geo-Strategic Situation

Additional annexes as required. For NATO exercises open to Partner participation, it is mandatory to include an Annex listing the appropriate NATO Tasks List tasks to be exercised.

SIGNATURE

The EXSPEC should be signed by the OSE. An EXSPEC for a Bi-SC, CJTF, NRF or NATO/PfP exercise must be approved by the SC and endorsed by the MC and noted by the NAC.

EXSPEC NOTES:

1. Classify the document at the appropriate NATO Security Classification level and release designator consistent with the non-NATO nations and organisations participating.

2. The OSE’s analysis requirements may be provided to the OCE under separate cover.




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APPENDIX 3 TO ANNEX D OCE’S EXERCISE PLANNING GUIDANCE TEMPLATE

This appendix provides a template for the OCE Exercise Planning Guidance. The form and content of the actual OCE Exercise Planning Guidance will depend on the depth of the OSE Planning Guidance and the level of detail of the EXSPEC. The exercise planning guidance must enable the Core Planning Team (CPT) to develop the EXPLAN and the required scenario modules.

After the issuance of the OSE Exercise Guidance the OCE internal CPT will produce the “OCE Initial Exercise Planning Guidance”. There is no template for this initial guidance. As soon as the final draft of the EXSPEC is available the OCE internal CPT will produce the OCE Exercise Planning Guidance. During CPTM 1 this Guidance will be provided to the complete CPT and further distributed as appropriate.

REFERENCES: A. NATO Military Training and Exercise Programme (MTEP)

B. SACEUR’s Intent Statement

C. Bi-SC Exercise Directive

D. MC 458/1, NATO Military Training and Exercise Policy

E. OSE’s Exercise Guidance

F. OCE initial Exercise Planning Guidance

F. EXSPEC

G. ………1

1. Introduction 1-1. As Officer Conducting the Exercise (OCE), I direct the

1-3. This document details my guidance for [exercise]:

a. To my Core Planning Team (CPT) and Officer of Primary Responsibility (OPR);

c. To ……

2. Aim 2-1 As described in the EXSPEC, possibly with the addition of Operational level specifics.

3. Scope 3-1 As described in the EXSPEC, possibly with the addition of Operational level specifics.

4. Relation to other Exercises

1 In its role as the equivalent of the ‘initiating directive’ for an exercise, the EXSPEC should

include the appropriate references to ensure clear, unequivocal definition and understanding of the OSE’s aim, objectives, direction and guidance. These supporting references may be included as an annex to the EXSPEC.




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4-1 As described in the EXSPEC, possibly with the addition of Operational level specifics such as internal and component level exercises and preparations.

5. Delineation of Responsibilities 5-1 As described in the EXSPEC, possibly with the addition of Operational level specifics. OCE; ODE; OPD; EXDIR; DIREVAL…

6. Principal Objectives 6-1 As described in the EXSPEC, constraints and limitations linked to operational level.

7. Funding 7-1 As described in the EXSPEC; possibly with the addition of restrictions and priorities.

8. Training Objectives (TOs) 8-1 The approved TO’s are promulgated in this guidance.

9. Scenario Development 9-1 Allow freedom of action for the TA to design appropriate C2 structure and command arrangements.

10. Framework EXPLAN 10-1 Provide direction and / or guidance on, as a minimum:

• C2IS and operational networks

• Pre Ex training

• Eval requirements

• Analysis objectives

• Experimentation

• EXCON

• M&S

• Deployable CIS and AIS

• Deployable equipment

11. Expected Exercise Planning Timetable (non exhaustive) 11-1 Meeting related: CPTM1, CPTM, MPC, CPTM, FCC.

11-2 Product (EXPLAN) related: First Draft EXPLAN, second draft, third draft, final draft.

11-3 Product (Scenario) related including Scenario Modules 2 through 6.




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APPENDIX 4 TO ANNEX D EXERCISE PLAN (EXPLAN)

The EXPLAN is a detailed amplification of the EXSPEC. The EXPLAN will set the frame and principles upon which the exercise will be conducted. It provides direction and guidance to all exercise participants for real life support as well as detailed direction, guidance and instructions to the CPT, EXCON supporting commands, centres, agencies or other activities for the preparation, conduct, support, assessment and reporting of the exercise.

The EXPLAN is a living document that begins life as a ‘framework EXPLAN’, developed by the Core Planning Team following the OCE’s Exercise Planning Guidance, issued as an ‘Initial Draft EXPLAN’ prior to the IPC, issued again as a ‘Refined Draft EXPLAN’ prior to the MPC, examined and finalised and signed by the OCE at the conclusion of the MPC. During this period it provides valuable instructions for the exercise preparation and a framework for the further development of other exercise documents.

The EXPLAN is not designed or intended for use by the TA in their operational role; therefore, exercise operational information, which is to be disseminated using operational procedures, should not be included in the EXPLAN. Examples of operational information not to be included in the EXPLAN include: Scenario Module documents, data and information, other country information/studies, participating/simulated forces’ orders of battle or intelligence summaries.

The EXPLAN consists of three parts and their annexes, some elements of which may not be required for a specific exercise. The EXPLAN may be executed in increments when exercise phases/sub-phases are conducted before the EXPLAN is complete.

Prior to activation and deployment of EXCON elements (including EXCON supporting units) to support an exercise phase/sub-phase the appropriate NATO Commanders/Directors should issue Operation Orders (OPORDs)1 in execution of the appropriate elements of the EXPLAN. Administrative/Logistics Orders may be issued in conjunction with or in relation to an OPORD, to be used as a basis for the orders of Combat Service Support (CSS) commanders to their units and to provide information to other EXCON or supporting elements.

The Framework EXPLAN example template is provided below and templates for select EXPLAN annexes are provided at Annex U to this directive.

EXERCISE PLAN

a. Letter of Promulgation

b. REFERENCES: List of maps, charts and relevant documents

c. Distribution List

PART 1 - EXERCISE INSTRUCTIONS AND SCENARIO DEVELOPMENT PRELIMINARY PAGES

a. Table of Contents and Effective Pages

b. Record of Changes

1. STANAG 2014; Formats for Orders and Designation of Timings, Locations and Boundaries; Edition 9.




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c. List of Abbreviations

MAIN BODY

a. TASK ORGANISATION: Reference to EXPLAN Annex A may be made.

b. SITUATION. This paragraph should reflect the executing OCE's appreciation of the exercise process planning and product development situation, and should provide information to subordinate commanders for their appreciation of the situation including the mission and intent of the OSE.

NOTE: If any of the sections below are not provided or are not applicable, then they should be omitted. [Include summary of the Geo-Strategic Situation from EXSPEC and refer to EXSPEC as appropriate]

(1) General.

(a) Background. Information on the background to the development of the EXPLAN.

(b) Strategic Conditions. Describe the strategic conditions that lead to the development of the EXPLAN. [Roadmap from MTEP through EXSPEC]

(c) Desired End State. The OSE’s end state (if given).

(d) Objectives. With respect to the OCE’s role, responsibilities and tasks.

(e) Planning Limitations. (If given from higher headquarters).

• Constraints, that imposes specific obligations that must be met.

• Restraints, that set limits on what may be done. They are prohibitive - EXPLANs must not include these prohibited actions.

(2) Opposing Forces. Provide an Intelligence overview of the real world threat assessment during the exercise. [Will be dependent upon real world present and projected force protection/warning status at all exercise sites.]

(3) Friendly Forces. Other forces and commands whose listed actions will directly affect the issuing commander’s OCE tasks but are not a part of his OCE’s task organisation. Higher, adjacent and supporting commands and agencies should be identified including their mission and employment that will impact OCE operations. [HQs/Agencies outside of the OCE’s HQ.]

(4) Attachments and Detachments. External forces/elements that may be committed to OCE’s command and forces/elements provided by own command to other commands. [eg; Training Audiences, NATO HQs/Agencies/Centres, National HQs/forces (including individual Reserves) and Analysis/Evaluation/ Experimentation Teams.]

(5) Given Assumptions.

(a) Political Assumptions. List the political assumptions, including variations or constraints that may be imposed by agencies outside the Alliance (such as the UN, OSCE, WEU, etc.) and considerations regarding neutral countries that may be involved in the exercise with NATO forces. [Real world political assumptions that could impact on the accomplishment of the exercise aim and objectives.]




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(b) Military Assumptions. List the real world military assumptions that could impact on the accomplishment of the exercise aim and objectives.

(6) Tasks. List identified mission essential exercise development, control and assessment tasks.

e. Mission. A clear, concise statement detailing who will plan and conduct the exercise, what is to be done, when it will take place, where it will occur and why it is being conducted. The order of the elements may vary.

f. Execution.

(1) Commander’s Intent. This summary should provide the OCE’s overall intent and establish the purpose of the EXPLAN. It is an important focusing statement for the OCE’s subordinate commanders as well as supporting Commanders, Agencies and Centres.

(a) The aim of the exercise.

(b) Military Objectives that underlie the EXPLAN.

(c) Desired Military End-State after accomplishment of the EXPLAN.

(2) Commander’s Evaluation. Gives briefly the OCE’s evaluation of the situation including:

(a) Centres of Gravity. Decisive Points that will influence accomplishment of the OSE’s aim and objectives during the exercise.

(b) Pre-conditions for Success. Describes other factors that may influence accomplishment of the OSE’s aim and objectives during the exercise.

(c) Risk Assessment. A brief description of the identified risks and an assessment of their likely influence on successful accomplishment of the OSE’s aim and objectives during the exercise.

(3) Concept of Operations. A short summary of the concept of operations for conducting the exercise that should identify actions, normally in planned phases of accomplishment and including the standing down of the exercise sites as well as the Exercise Major Milestones. The structure of this section may vary depending upon the OCE’s approach and the type of exercise.

(4) Tasks. Allocation of tasks to each participating and supporting commander/ director with cross-reference, as appropriate, to exercises covered by other plans.

(5) Coordinating Instructions. Instructions applicable to two or more elements of the exercise process task organisation.

g. Service Support. Statement of the administrative and logistics arrangements to support the exercise and of primary interest to the units, formations and detachments being supported. It may also contain the OCE’s direction to service commanders. Logistics details may be included in annexes to the plan, including appendices to the EXPLAN Annex G, Real Life Support , and referenced here.

(1) Logistics Concept.

(2) Logistics Standards and Requirements.

(3) Movements.

(4) Medical Support.




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(5) Personnel.

(6) Supply.

(7) Host Nation Support.

(8) Funding and Contracting Support.

h. Command and Control. Contains the EXCON’s locations and movements, liaison arrangements, recognition and identification instructions as well as general rules concerning the use of communications and other electronic equipment as necessary. An EXPLAN Communications and Information Exchange Annex may be used for detailed instructions when considered appropriate. Include reference to EXPLAN Annex A, Task Organisation and Participation.

ANNEXES [As provided by appropriate Syndicates.]

A. Task Organisation and Participation [For each exercise phase/sub-phase.]

B. Geo-Strategic Situation, Exercise Setting and Scenario Overview

C. Scenario Modular Products Schedule

D. Training Objectives [Available here for users of the EXPLAN; however also will be in the OCE Exercise Planning Guidance.]

E. STARTEX Conditions [For each exercise phase/sub-phase.]

F. Modelling and Simulation Control Plan/Instructions [For each exercise phase/sub-phase and where appropriate throughout exercise execution.]

G. Real Life Support [For all EXCON, EXCON Support and TA participants at all locations and for all phases and sub-phases in a non exhaustive list.]

(1) Medical Plan/Instructions

(2) Augmentee Preparation and Processing Plan/Instructions

(3) Logistic Support Plan/Instructions

(4) Movements and Transportation Plan/Instructions

(5) Personnel Lodging/Accommodation Plan/Instructions

(6) Catering Plan/Instructions

(7) Administration Plan/Instructions

(8) Office Allocation Plan/Instructions

(9) CIS support plan

(10) Site accreditation, security regulations

(11) Force protection - local regulations

H. Experimentation Plan/Instructions [For each exercise phase/sub-phase.]

I. CIMIC

J. Non-NATO Participant Plan/Instructions

K. Legal Instructions [To include exercise medical.]

L. Public Information Plan/Instructions




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M. Visitors and Observers Plan/Instructions

N. Land Exercise Instructions [LIVEX only]

O. Air Exercise Instructions [LIVEX only]

P. Maritime Exercise Instructions [LIVEX only]

Q. Amphibious Exercise Instructions [LIVEX only]

R. Psychological Operations Exercise Instructions [LIVEX only]

S. Special Operations Exercise Instructions [LIVEX only]

T. Information Operations Exercise Instructions [LIVEX only]

U. Electronic Warfare Operations Exercise Instructions [LIVEX only]

V. CIS and Bi-SC AIS Core and Functional Services Plan/Instructions [For each exercise phase/sub-phase.]

W. METOC Support/Maritime Rapid Environmental Assessment (REA)2 Instructions

X. Geographic Support Instructions

Y. Environmental Protection Instructions [to include medical environmental health issues, LIVEX only]

Z. Exercise Safety Instructions [LIVEX only]

AA. Force Protection Plan/Instructions [For each exercise phase/sub-phase.]

BB. Exercise Process Lessons Learned Instructions [Including requirement for Lessons Identified/Learned to be provided as in the format of the JALLC Observation Program (OCP) Lessons Learned Database (LLDB) export.]

CC. Budget Instructions [Detailed budget allocation for the exercise; addressing, if appropriate, Partner, MD and ICI Subsidisation funds.]

PART 2 - EXERCISE CONTROL PRELIMINARY PAGES




MAIN BODY

a. EXCON Mission

b. Execution. [For each exercise phase/sub-phase.]

c. Service Support

d. Command and Signal

ANNEXES

A. EXCON Structure. [For each exercise phase/sub-phase.]

2. Bi-SC Directive 80-30, Recognised Environmental Picture (REP) Concept, 1 April 2003.




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B. Terms of Reference to include the EXDIR, EXCON staff at SC/JFC/CC levels and Local Operations Control (LOPSCONTROL) if used.

C. EXCON instructions to include: Organisation, Tasks, Working Schedule (‘battle rhythm’)and timelines, Coordination Meetings, Location Plan, Manning, Real Life Support, Communications and ADP Support, EXCON Administration, After Action Review requirements. The EXCON instructions should minimise redundancy with the EXPLAN Part 1 Real Life Support Annex.

PART 3 - EVALUATION, ANALYSIS AND REPORTING PRELIMINARY PAGES




MAIN BODY

a. Evaluation/Analysis/Reporting Mission

b. Execution [For each exercise phase/sub-phase.]

c. Service Support

d. Command and Signal

ANNEXES

A. Evaluation and Analysis Structure

B. DIREVAL Terms of Reference and Delineation of Responsibilities

C. Evaluation Plan(s)

D. Exercise Analysis Plan(s)

E. First Impression Report (FIR) Instructions

F. Hotwash-up Instructions [If appropriate.]

G. Post-Exercise Discussion (PXD) Instructions

H. Final Exercise Report (FER) Instructions




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APPENDIX 5 TO ANNEX D FIRST IMPRESSION REPORT (FIR) TEMPLATE

1. Overall appraisal of the exercise.

2. Assessment of the achievement of the OSE’s Exercise Objectives.

3. Assessment of the achievement of the OCE’s Training Objectives.

4. Assessment of the achievement of the FIR Submitter’s Objectives. This should be written from the FIR submitter’s perspective. For example: the Analysis Team’s achievement of the OSE’s Analysis Requirements; achievement of a TA’s Training Objectives/adequate practise of the Commander’s METs; etc.

5. Topics requiring urgent/immediate correction.

• Item:

• Discussion:

• Recommendation:

• Action by:

• Recommended Suspense:

6. Topics for the PXD.

• Item:

• Discussion:

• Recommendation:

• Action by:

• Recommended Suspense:




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APPENDIX 6 TO ANNEX D FINAL EXERCISE REPORT (FER) TEMPLATE

The sections of the FER are:

1. Letter of Promulgation. This letter should address any anomalies within the report and give general comments on the exercise.

2. Summary of Action Items. Those action items identified by the OCE in the Subject Enclosures.

3. Exercise Abstract. This section contains all information on the exercise in a condensed form, including:

a. Identification of Exercise, (name, form, type, area, date).

b. OSE, OCE, ODE.

c. Participating commands and forces (in summary tables).

d. Exercise aim and objectives.

4. Exercise Description. This enclosure should provide sufficient information for the unfamiliar reader to gain an appreciation of the concept of operations and objectives of the exercise. This information should include a description of the setting, the scenario and the conduct of the exercise.

5. Achievement of the OSE’s Exercise Objectives. The OCE’s evaluation of the level of achievement of each of the OSE’s Exercise Objectives.

6. Subject Area Enclosures. Comments and recommendations associated with the exercise, grouped by subject area. Subject areas may be warfare areas such as ASW or AAW, or other areas such as exercise planning, logistics, doctrine, reach-back or communications, that either supports the warfare areas, or the conduct of the exercise. These enclosures should include the following, as appropriate:

a. Issues raised that are peculiar to the particular subject area.

b. General comments by the OCE.

c. Major conclusions and recommendations of the OCE that require action, with a concise identification of the action to be taken, and the action authority. The recommendations may be categorized as follows:

• Those that record errors of judgement or mistakes that are unlikely to recur, and will not be pursued further, are noted as “Exercise Experiences.”

• Those that involve an improvement to exercise design, development and planning are noted as “Exercise Planners Recommendations.”

• Those that involve shortcomings, deficiencies, or changes to operational plans, publications, procedures, or other matters that require remedial action by NATO or National authorities are annotated “Remedial Action.

d. The results of trials of tactical doctrine and recommendations on whether or not the doctrine should be incorporated into tactical publications.

e. Standardization deficiencies that may have degraded or affected the conduct of the exercise. In particular, deficiencies associated with doctrine, communications and materials.




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7. Lessons Identified. Introduction to the lessons identified which should be submitted as in the JALLC OCP export format.


ANNEX E TO BI-SCD 75-3 DATED: 1 AUG 07

E-1 Releasable to EU/PfP/MD

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ANNEX E. EXERCISE PROCESS MILESTONES AND TIMINGS The Milestones and Timings table provided in this annex is taken from the Bi-SC Exercise Process Milestone Planning Schedule Microsoft Project template. As shown below, this template includes all EP stages, activities and steps, the envisioned responsible EP entities and notional timings of when each key activity could be finalised. Appropriate EP steps are coded and serialised to assist in EP management. The step codes are at the end of this annex. The OSE’s major exercise milestones (MS) are expressed in notional months from the first step in this table. Once delivered to the OCE, these milestones will be updated at every CPTM and presented at all EP Conferences.

The Bi-SC Exercise Process Milestone Planning Schedule template will be accessible for downloading from the SHAPE J7 web page on the NS WAN. EP MILESTONE PLANNING SCHEDULE Serial Stage/Activity/Step Notional

MS 001 1 - Exercise Concept and Specification Development (ECS) 002 ESC1 Activate the Exercise Planning Group (EPG) 003 Activate OSE OPR. 004 Issue Exercise Planning Group (EPG) Terms of Reference (TOR) 005 Activate the Core EPG 006 Request OCE/TA Operational and Training Assessments and Staff Input 007 ESC2 Review Strategic Direction and Guidance 008 Review MTEP and MTFP 009 Review Strategic Vision for ACO and Strategic Plan 010 Review Contingency Planning Priorities and General Intelligence Estimate 011 Review Previous Exercise Assessments, After-Action Reports and Lessons Learned 012 Review ACT JJJ Programme of Work 013 ESC3 Develop and Issue OSE Exercise Guidance 014 EAO1 Develop Priorities for Missions, HQs, Forces and Functions 015 ETO1 Review OCE/TA Training Assessments 016 EAO2 Develop OSE Exercise Aim, Objectives and End-State 017 CC1 Develop Guidance on Operational C2 Arrangements 018 PS01 Develop Guidance on Planning Situations and Settings

019 IM1 Develop Guidance on Use of Operational Networks and Command and Control Information Systems (C2IS)

020 EA01 Establish OSE’s Evaluation and Analysis Requirements 021 EXP01 Establish Experimentation Requirements for the Exercise 022 Coordinate Recommendations 023 Issue OSE Exercise Guidance 024 Activate Full EPG MS01 025 ESC4 Develop and Coordinate the OCE/TA Training Objectives 026 ETO2 Analyse and Refine TA training End-State 027 ETO3 Develop OCE/TA Proposed Training Objectives 028 ED01 Determine Mission Essential Task-Based Training Objectives 029 ETO4 Analyse and Refine OCE/TA Training Objectives 030 ESC5 Analyse Exercise Design Requirements and Limitations 031 EAO3 Analyse and Refine Exercise Objectives 032 ED02 Determine Required Operational Conditions 033 ED03 Determine Operational Time, Space and Force Requirements 034 CMC1 Confirm Host Nation Availability for Exercise Venue 035 ED04 Determine Restraints and Constraints




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Serial Stage/Activity/Step Notional MS

036 ED05 Determine Key Factors and Deductions 037 EXP02 Determine Level and Scope of Experiment(s)

038 CIS01 Determine CIS Constraints and Guidance on the Use of Deployable Equipment

039 ESC6 Develop Exercise Concept and Design 040 CC2 Determine Scope and Level of Participation 041 PS02 Develop Planning Situation/Scenario Options 042 ED06 Develop Exercise Form and Type Alternatives 043 ED07 Consider Alternative Sequences of Major Activities 044 ED08 Consider Alternative Exercise Locations and Distribution 045 PC1 Establish the Optimal Level of Partner Participation 046 PC2 Determine the Need to Conduct a PETE for LIVEX open to Partners 047 Determine Exercise Security Environment Requirements 048 BFC1 Determine Costs and Update/Develop Initial Budget Submission 049 ED09 Develop and Coordinate Options and Recommendations 050 EXP03 Determine Options for Conducting Experiment(s) 051 ED10 Present Exercise Design Options to OSE for Decision 052 ESC7 Develop Exercise Specification 053 EXSP1 Draft Initial EXSPEC 054 PS03 Develop Module 1 - Geo-Strategic Situation 055 EXSP2 Develop the Draft Exercise Milestone Planning Schedule 056 BFC2 Determine and Coordinate Exercise Budget Responsibilities 057 PIO1 Determine the Exercise Public Information Policy 058 Conduct Exercise Reconnaissance, Liaison and Coordination Visits 059 RLS01 Determine Real Life Support Responsibilities 060 EXSP3 Coordinate Exercise Specification 061 Prepare Core Planning Team (CPT) Terms of Reference (TORs) MS03 062 ESC8 Conduct Exercise Specification Conference 063 Prepare Administrative Arrangements 064 Issue ESC Calling Message and Draft Agenda 065 Convene and Conduct ESC 066 EXSP4 Issue Exercise Specification Conference Minutes. 067 Provide Exercise Details to PCC for Partners’ Participation 068 EXSP5 Finalise EXSPEC and Training Objectives and Forward for Approval 069 EXSP6 Issue OSE Approved EXSPEC and Training Objectives MS04 070 2 - Exercise Planning and Product Development (PPD) 071 PPD01 Activate Core Planning Team (CPT) 072 Issue CPT TOR and Request Activation of CPT 073 Issue the Calling Message to Convene the CPT 074 PPD02 Analyse OCE Requirements and Limitations 075 Review OSE Exercise Guidance and EXSPEC 076 Review OCE Operational Priorities 077 CC3 Establish Training Audience HQs C2 Requirements 078 PS04 Develop Operational Requirements for Planning Situation/Scenario 079 IM2 Determine IERs and Develop IER Matrix 080 IM3 Determine C2IS Integration Requirements 081 TNG01 Determine Pre-Operational Conduct Training Requirements

082 Consider Pre-LIVEX Combat Enhancement Training (CET) and Force Integration Training (FIT) Requirements

083 EA02 Refine Evaluation and Analysis Requirements




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084 EXP04 Develop Experiment Integration Requirements and Limitations 085 EXC01 Determine Initial EXCON Requirements 086 MS1 Establish Modelling and Simulation (M&S) Requirements and Constraints 087 MS2 Assess M&S Tool Options and Cost/Benefits 088 CIS02 Determine Operational CIS Requirements and Constraints 089 RLS02 Determine Real Life Support (RLS) Requirements 090 RLS03 Determine Deactivation Requirements for Exercise Sites 091 BFC3 Determine Budget Requirements and Eligibility 092 PIO2 Prepare and Submit the Draft Initial Exercise Press Release (IEPR) to SHAPE 093 PPD03 Issue OCE Exercise Planning Guidance 094 Develop Guidance on Missions, Forces and Tasks 095 CC4 Provide Further Guidance on TA Command Arrangements 096 PS05 Provide Guidance on Scenario Development 097 IM4 Provide Direction for Use of Operational Networks and C2IS 098 TNG02 Provide Guidance on Pre-Operational Conduct Training

099 Provide Guidance on Pre-LIVEX Combat Enhancement Training (CET) and Force Integration Training (FIT)

100 EA03 Provide Guidance on Evaluation Requirements and Analysis Objectives 101 EXP05 Provide Guidance on Experimentation 102 EXC02 Provide Guidance on EXCON 103 MS3 Provide Guidance on Modelling and Simulation Tools 104 CIS03 Provide Guidance on the Use of Deployable CIS and AIS 105 RLS04 Provide Guidance on the Use of Deployable Equipment and HNS

106 Develop Guidance on Establishment and Conduct of Syndicates and Additional Conferences

107 Develop Task Allocation and Coordination Requirements 108 Present Options and Recommendations to OCE for Approval 109 Issue OCE Exercise Planning Guidance MS05 110 PPD04 Develop Initial Draft Exercise Plan (EXPLAN) 111 Review OCE Exercise Planning Guidance 112 Develop the OCE's Intent and Concept of the Exercise 113 CC5 Develop OCE’s C2 Structure and Arrangements 114 IM5 Develop C2IS Architecture/Data Management Plan 115 TNG03 Draft Pre-Operational Conduct Training Plan (Schedule of Activities) 116 EA04 Develop Concept of Evaluation/Analysis 117 EXP06 Develop Initial Draft Experimentation Annex 118 EXC03 Develop EXCON Concept and Structure 119 MS4 Develop M&S Architecture and Data Exchange Requirements 120 CIS04 Determine EXCON CIS Requirements 121 CIS05 Develop CIS Architecture 122 RLS05 Develop RLS Concept 123 BFC4 Update Exercise Budget 124 Convene the CPT to Coordinate and Consolidate the Initial Draft EXPLAN 125 Develop Exercise Synchronisation Matrix 126 Determine EXPLAN Annex Requirements 127 CMC2 Develop HNS Requirements 128 Allocate and Coordinate Tasks 129 Issue Initial Draft EXPLAN MS06 130 PPD05 Develop Module 2 - Theatre of Operations 131 Review Scenario Module 1 – Geo-Strategic Situation




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132 PS06 Develop Exercise Map Datasets 133 PS07 Develop Theatre of Operations Country Information/Studies 134 PS08 Develop Theatre of Operations ORBAT Data 135 PS09 Develop Theatre of Operations Infrastructure Data 136 PS10 Develop OPFOR Campaign Plan (for use by EXCON only) 137 PPD06 Conduct Site Survey 138 CMC3 Identify and Coordinate Legal Issues 139 CIS06 Survey and Coordinate CIS Support 140 RLS06 Survey and Coordinate Logistical Services and Support 141 FP1 Survey and Coordinate Force Protection Arrangements 142 PPD07 Conduct Initial Planning Conference (IPC) 143 Determine Requirements for IPC Syndicates 144 Prepare Administrative Arrangements 145 Issue IPC Calling Message and Draft Agenda 146 Convene IPC 147 Review OSE Exercise Guidance, EXSPEC and OCE Exercise Planning Guidance 148 Review Requirements, Tasks, Synch Matrix and Milestones 149 CC6 Confirm Player HQs/Forces Level and Scope of Participation 150 Task Organise IPC into Syndicates 151 PS11 Review Planning Situation and Theatre Information Requirements 152 IM6 Assess C2IS Information Management/Data Population 153 TNG04 Assess External Training Support Requirements 154 PER1 Assess Requirements for Augmentation and Support for TA 155 EA05 Assess Evaluation, Observation and Analysis Requirements 156 EXP07 Assess Experiment Integration and Training Requirements 157 EXC04 Assess EXCON Manning and Resources 158 MS5 Assess Interface of M&S Tools with Operational C2IS 159 CIS07 Assess CIS Resources and Connectivity 160 FP2 Assess Force Protection with SNs and HNs

161 PIO3 Determine Funding Requirements for the Allied Press Information Centre (APIC)

162 RLS07 Assess Augmentation, External Support and HNS 163 BFC5 Assess Cost Responsibilities with HN 164 Draft the STARTEX Conditions for Sub-Phase IIIA and Sub-Phase IIIB 165 PC3 Determine Partners’ Document Requirements 166 Consolidate Requirements and Issue Tasking 167 Establish Points of Contact for All Participating Organisations 168 CMC4 Determine Requirements for IO/NGO Participation/Support 169 Determine Key Issues for Resolution and Way Ahead 170 Issue IPC Minutes, Decisions, Issues and Way Ahead MS07 171 PPD08 Develop Refined Draft Exercise Plan (EXPLAN) and Products 172 Finalise OCE's Intent and Concept of the Exercise 173 CC7 Finalise OCE’s Operational C2 Structure and Arrangements 174 PS12 Develop Module 3 - Strategic Initiation 175 PS13 Develop Module 4 - Crisis Response Planning Information 176 IM7 Deliver C2IS Database(s) for Operational Planning 177 TNG05 Refine Phase I Training Annex 178 EA06 Develop Evaluation and Analysis Plans 179 EXP08 Assemble Experimentation Annex 180 EXC05 Finalise EXCON Structure and Arrangements




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181 TNG06 Finalise the Exercise Process Lessons Identified, MER and AAR Procedures 182 CIS08 Finalise Exercise CIS Architecture and Implementation Annex 183 PIO4 Finalise the PI Annex in the EXPLAN 184 RLS08 Finalise Support Annex and Arrangements 185 BFC6 Update/Refine Exercise Budget 186 Issue Refined Draft EXPLAN to CPT 187 Convene CPT to Review the Refined Draft EXPLAN 188 Issue Refined Draft EXPLAN 189 TNG07 Finalise Phase I Training Package 190 PPD09 Conduct Main Planning Conference (MPC) 191 Determine Requirements for MPC Syndicates 192 Prepare Administrative Arrangements 193 Issue Calling Message and Draft Agenda 194 Convene MPC 195 Review Requirements, Tasks, Synch Matrix and Milestones 196 Review/Update EXPLAN Development 197 Task Organise MPC into Syndicates 198 IM8 Finalise C2IS Implementation 199 Confirm (LIVEX) Force Contributions 200 TNG08 Finalise External Training Support 201 EA07 Finalise Evaluation Requirements/Analysis Objectives 202 EA08 Finalise Evaluation, Analysis and Experimentation Structures 203 PC4 Issue PETE Results 204 PC5 Finalise PfP/MD/ICI Coordination Requirements 205 EXP09 Finalise Experimentation Annex 206 Finalise STARTEX Conditions for Sub-Phase IIIA and Sub-Phase IIIB 207 EXC06 Finalise EXCON Manning 208 CIS09 Finalise CIS Implementation and Transportation Plan/Cost 209 MS6 Review M&S Support Plan 210 Determine Distinguished Visitors, Observers and International Inspectors 211 RLS09 Confirm RLS 212 FP3 Confirm Force Protection (FP) 213 Determine Key Issues for Resolution and Way Ahead 214 Issue MPC Minutes, Decisions, Issues and Way Ahead MS09 215 PPD10 Finalise Exercise Plan (EXPLAN) and Products 216 Finalise EXPLAN and Forward for Approval 217 Issue Approved EXPLAN 218 PS14 Develop Module 5 - Force Activation and Deployment Information 219 EXC07 Analyse and Assess Phase II – Crisis Response Planning Products 220 PS15 Develop Module 6 - Execution (STARTEX and MEL/MIL) 221 MS7 Develop M&S Theatre Data (from C2IS Data) per Strategic Guidance 222 MS8 Develop and Test M&S Databases and Information Exchanges 223 PPD11 Conduct Final Coordination Conference (FCC) 224 Issue Calling Message and Draft Agenda 225 PS16 Finalise Module 5 - Force Activation and Deployment Information 226 PS17 Finalise Module 6 - Execution Information 227 EXP10 Finalise Outstanding Experimentation Issues 228 RLS10 Finalise any Outstanding Support Issues 229 Finalise Visitors and Observers Programme (VOP)




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230 Issue FCC Minutes, Decisions, Issues and Way Ahead MS10 231 EOC1 Conduct Sub-Phase IA: Internal Training 232 TNG09 Establish Training Site 233 TNG10 Activate Training Team(s) 234 TNG11 Conduct HQ Internal Training 235 TNG12 Prepare and Conduct Sub-Phase IA Review 236 EOC2 Conduct Sub-Phase IB: Academic Seminar 237 TNG13 Establish Training Site 238 TNG14 Activate Training Team(s) 239 EA09 Stand up Analysis Teams 240 EXP11 Conduct Requisite Training for Experimentation 241 TNG15 Conduct Academic Seminar 242 TNG16 Prepare and Conduct Sub-Phase IB Review 243 EOC3 Conduct Sub-Phase IC: Key Leader Training (KLT) 244 TNG17 Establish Training Site 245 TNG18 Activate Training Team(s) 246 TNG19 Conduct Training Modules/Programme 247 EA10 Stand up Analysis Teams 248 TNG20 Conduct Key Leader Training 249 TNG21 Prepare and Conduct Sub-Phase IC Review 250 EOC4 Conduct Sub-Phase ID: Battle Staff Training (BST) 251 TNG22 Establish Training Site 252 TNG23 Activate Training Team(s) 253 TNG24 Conduct Training Modules/Programme 254 EA11 Stand up Analysis Teams. 255 EXP12 Conduct Requisite Training for Experimentation 256 TNG25 Conduct HQ Battle Staff Training 257 TNG26 Prepare and Conduct Sub-Phase ID Review 258 EOC5 Conduct Phase II - Crisis Response Planning (CRP) MS11 259 TNG27 Establish Training Site(s) 260 EXC08 Establish and Maintain EXCON 261 TNG28 Activate Trainer Team(s) Support 262 EA12 Activate Evaluation, Analysis and Experimental Team(s) 263 EXC09 Initiate and Control the Conduct of the TA’s Crisis Response Planning 264 EA17 Observe and Evaluate the CRP 265 TNG29 Prepare and Conduct Phase II Review

266 EOC6 Conduct Sub-Phase IIIA – Force Activation, Deployment, RSOM and Integration

267 PS18 Determine Exercise Sub-Phase IIIA STARTEX

268 PS19 Refine and Issue the Requisite STARTEX Documentation, Data and Information for the TA

269 PS20 Refine OPFOR Campaign Plan (for use by EXCON only) 270 RLS11 Establish Training Site(s) 271 EXC10 Establish and Maintain EXCON 272 TNG30 Activate Training Team(s) 273 EA13 Activate Evaluation, Analysis and Experimental Team(s)

274 EXC11 Initiate and Control the Conduct of the TA’s Force Activation, Deployment, RSOM and Integration Operations

275 EXC12 Manage the Scenario MEL/MIL/Simulation 276 EXC13 Control Response Cells




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277 TNG31 Observe and Evaluate the Force Activation, Deployment, RSOM and Integration Phase

278 RLS12 Conduct Deactivation Activities for Exercise Sites 279 TNG32 Prepare and Conduct Sub-Phase IIIA Review 280 EOC7 Conduct Sub-Phase IIIB – Operations MS12 281 PS21 Determine Exercise Sub-Phase IIIB STARTEX 282 PS22 Refine OPFOR Campaign Plan (for use by EXCON only)

283 PS23 Refine and Issue the Requisite STARTEX Documentation, Data and Information for the TA

284 RLS13 Establish RLS/CSS at Exercise Sites 285 CIS10 Establish CIS Connectivity and CIS Services 286 FP4 Activate Force Protection (FP) Plan 287 FP5 Implement Safety and Environmental Measures 288 EXC14 Stand-up EXCON 289 TNG33 Stand-up/Deploy Training Team 290 EXC15 Conduct EXCON Training 291 EXC16 Activate Response Cells 292 EXC17 Rehearse EXCON Procedures 293 TNG34 Activate Training Team(s) 294 PIO5 Activate the EXCON VOB/APIC 295 EA14 Activate Evaluation, Analysis and Experimental Team(s) 296 EXC18 Initiate and Control the Conduct of the TA’s Operations 297 TNG35 Provide Observer/Trainer Support. 298 EXC19 Manage and Control Scenario MEL/MIL and Simulation 299 EXC20 Control Response Cells 300 EA15 Conduct Evaluation 301 EA16 Conduct Analysis 302 EXP13 Conduct Experimentation 303 TNG36 Analyse Observer/Trainer Feedback 304 TNG37 Observe Conduct of Operations 305 TNG38 Prepare and Conduct Mid-Exercise Review 306 RLS14 Conduct Deactivation Activities for Exercise Sites 307 EOC8 Conduct Phase IV -- Assessment 308 TNG39 Prepare the AAR Site(s) 309 TNG40 Collect and analyse key observations 310 TNG41 Develop significant findings, conclusions and recommendations 311 TNG42 Coordinate AAR key points with OCE 312 TNG43 Conduct AAR MS12.5313 4 - Post Exercise Analysis and Reporting (PXR) 314 PXR01 Collect Observations and Data 315 PXR02 Conduct Hotwash-Up 316 PXR03 Conduct Preliminary Analyses 317 PXR04 Prepare and Issue First Impression Reports 318 PXR05 Conduct Post-Exercise Analysis 319 PXR06 Consolidate Lessons Identified 320 PXR07 Publish Training Improvement Report (TIR) 321 PXR08 Conduct OCE's Post-Exercise Discussion (PXD) 322 PXR09 Publish Evaluation Report(s) 323 PXR10 Publish Consolidated Venue Experiments Report (CVER) 324 PXR11 Publish Specific Analysis Reports




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325 PXR12 Prepare and issue OCE’s Final Exercise Report (FER) MS15 Exercise Process Step Codes

Step Codes Functions ACO ACT EAO Exercise Aim and Objectives X ETO Exercise Training X ED Exercise Design X CC Operational C2 X PS Planning Situation/Scenario X PIO Public Information X PC Partner Coordination X PER Personnel/Augmentation X IM Operational Info management X TNG Pre-Operational Conduct Training X EA Evaluation, Analysis X X EXP Experimentation X EXC Exercise Control X X MS Modelling and Simulation X X CIS Communications and Information Systems X CMC Civil-Military Cooperation, HNS X RLS Real Life Support/CSS X BFC Budget, Finance, Contracting X FP Force Protection X


ANNEX F TO BI-SCD 75-3 DATED: 1 AUG 07

F-1 Releasable to EU/PfP/MD

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ANNEX F. GUIDE TO EXERCISE BUDGETING

Purpose 1. The purpose of this annex is to outline some general terms regarding the funding principles and budgetary framework and procedures. Furthermore the purpose is to delineate funding and budget responsibilities during the exercise planning and execution process primarily focusing on Officer Scheduling the Exercise (OSE) and Officer Conducting the Exercise (OCE) staffs.

References 2. The following documents contain the principles for budget planning and eligibility:

a. NATO Financial Regulations (NFR) and their Implementing Procedures (IP)

b. MC 94/4, NATO Military Exercise Policy, Chapter 8, Funding1 (Final), 14 Feb 02

c. MC 458/1, NATO Education, Training, Exercise and Evaluation Policy (Final), 27 Mar 06

d. Bi-SCD 75-2, Bi-SC Education, Training, Exercises, and Evaluation, 12 Dec 06

e. Yearly budget guidance issued by SHAPE and HQ SACT

f. Military Budget Committee, decisions on the budget proposals

g. SACEUR’s expectations of Host Nation Support (HNS) during exercises

h. Standing HNS MOUs with NATO and PfP nations

Funding Principles 3. The funding principles are described in various documents and a summary is provided here. NATO education, training and exercises are to be conducted in the most cost effective manner, which meets NATO Alliance strategic interests and the operational objectives of the OSE/OCE. The NATO Financial Regulations (NFR) direct all financial processes involving NATO funds and NATO-administered funds at the strategic, operational and tactical levels. In accordance with the NFR, NATO Commanders at all levels are responsible for the cost-effective and accurate administration of resources provided to support exercise and training activities. In order to accommodate emerging requirements within approved budget ceilings, commanders will frequently be required to take difficult decisions regarding relative priorities of competing training and exercise programme elements.

4. Costs and Funding. Funding for the expenses incurred by military forces and personnel in connection with NATO Exercises falls into several categories:

a. National Funding. Includes funding for both direct and reimbursable costs incurred by a Nation for the support of forces or national command organisations. All costs for food and accommodation fall into this category as does all transportation cost for personnel and equipment from national units

b. Multinational/Shared Funding. Includes funding for costs that are affirmed in advance to be the responsibility of more than one nation, and are to be borne in accordance with a pre-agreed cost sharing formula. Multinational agreements for

1. At present (May 07) the draft funding chapter is not included in MC 458/1 (Final) and the

funding chapter and annex in MC 94/4 are still in force.




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sharing of costs may take the form of MOU, MOA, Technical Arrangements (TA), Joint Implementation Plans (JIP) or similar documents. Into this category falls all cost of exercise participation from the multinationally funded parts of the NATO Force Structure.

c. NATO Common Funding. Includes funding for costs that the NATO funding committees recommend and the NAC approves as both eligible and affordable for funding through NATO international budgets. This funding comes from the 26/25 Alliance Nations “collective pot” based on a nation’s established cost shares. It is important to note that eligibility for common funding does not automatically equal affordability. In principle, only costs associated with Peace Establishment-based NATO Command Structure participation in exercise and training activities or the provision thereof will be included in common funded budgets. For inclusion in the ACO exercise and training budget the activity needs to be listed in the MTEP. The MTEP includes cost estimates for the different exercises. This is not to be confused with the budget. The following table summarises eligibility for NATO common funding.

Summary Of NATO Funding Eligibility Categories

HQ Category Cost Category

Peacetime/ Normal

(including exercises)

When deployed under NATO OPLAN as a CJTF HQ, NRF

DJTF HQ, or a CE-based Deployed CC-level NATO HQ (incremental costs only, iaw

SRB decisions)

When deployed as a force-level

HQ or NRF entity

O&M MB MB

(OPLAN budget)

N/A SC, JFC HQ, JHQ, CC HQ, ACCS CAOC, DAC2 Elements, JWC, JFTC, JALLC, and other NCS agencies/ organisations with international PE3

C2 & Infra

NSIP NSIP N/A

O&M National/

Multinational

MB

(OPLAN budget)

National/

Multinational HRF, FLR HQ (NFS), Non-ACCS CAOC, multinationally-funded and non-PE manned entities of NCS or NFS

C2 & Infra

NSIP/

Multinational

NSIP National/

Multinational

O&M National/

Multinational

MB

(OPLAN budget)

National/

Multinational Other HQ (NFS)

C2 & Infra

NSIP/

Multinational

NSIP National/

Multinational

O&M National N/A National

National Forces C2 & Infra

National N/A National

d. Customer funding. In exercises, for example, a HN could provide catering services

2. Deployable Air Component including the DCAOCS and the DARS. 3. This includes National Intelligence Cells assigned to NCS HQs.




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on individual payments or reimbursements from other nations. Another example is when the NATO HQ organises mandatory catering and accommodation arrangements on a reimbursable basis by the individuals or the nations. Such arrangements must be agreed before the exercises.

Financial Planning and Budgets 5. Budgetary Framework. NATO common funding is provided through the ACO Exercise and training budget borne by 26 nations. The ACO Exercise and Training budget borne by 25 nations (France excluded) presently only includes the nuclear preparation exercises. The ACT Education Training Experimentation (ETE) budget is among other purposes supporting the NATO exercise programme. According to the programme of work the ACT ETE budget can pay for such requirements as:

a. Scenario development.

b. Exercise control organisation.

c. CAX development.

d. Pre-Operational Conduct training.

e. Experimentation integration (all incremental cost to the exercise incurred by including experiments in the exercise).

f. Certification, evaluation and analysis.

g. Modelling and simulation.

h. ACT travel cost.

6. Medium-term Financial Plan (MTFP)/Medium-term Resource Plan (MTRP). The MTEP is produced for the six following years and covers both the next year’s budget and the five following years MTFP. The MTFP provides a project-level statement of the planned and prioritised resource requirements for the next five years. It is reviewed by the Military Budget Committee (MBC) and submitted to the Senior Resource Board (SRB) as the MBC's contribution to the Board's analysis of overall common-funded resource requirements. Each SC, as part of the MTFP/MTRP process, must prepare a five-year forecast beyond the next budget year of training and exercise costs. The prioritised results will form the framework from which annual budgets will be developed. The final result of the MTFP/MTRP will be the Resource Allocation Figure for the SCs.

7. Exercise and Training Budgets. Based upon the approved MTEP and the overall funding ceiling provided by the NAC, each SC gives budget holders a planning figure ceiling for their budget preparations. Education, training, exercises and evaluation, are considered to be routine activities of all NATO Commands. However, due to the cyclical (non-annual) nature of certain exercise events, normal HQ expenditure profiles would be distorted if these costs were distributed via the annual HQ budgets. As such, exercises should be budgeted and prioritized centrally by the SC. The SC are responsible for screening the budget inputs from subordinate HQ, and assembling detailed SC-wide exercise budgets for their upcoming financial year. These budgets are reviewed by the MBC, and approved by the NAC. For centralized budgets, the SC will delegate parts to the HQ responsible for executing the various budget segments. Each SC is responsible for budgeting for its own contribution to the training effort. Training providers must budget the full cost of providing training, and training audiences must budget the full costs of their own travel and participation.

8. Responsibilities; OCE, Budget Officer (BO) and Fund Manager (FM). The persons involved in this process are the BO and the FM. The HQ FM is responsible for collecting




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and costing of the requirements and the affordability within the resource allocation. The HQ BO will check the FM’s submission for technical compliance and the eligibility. Formal budgetary communication between commands follows J8 BO channels. The OCE, represented by his exercise project officer is responsible for matching the total resources to the exercise aim expressed in the EXSPEC.

9. Budget and MTFP Preparation Cycle. Budgeting is a continuous process with some significant milestones:

a. In January each year the ACT JJJ Programme of Work (POW) is finalized for the following year. This POW will define the division of responsibilities for the following year and the level of support the ACO exercise programme will receive.

b. Normally in February the budget and MTFP guidance is produced giving detailed guidance for the preparations. This guidance will include the templates for the submissions.

c. March/April; the ACO Exercise Budget Users Group (EBUG) meets to compile the individual commands budgetary requirements and to discuss the budget submission. In this conference the Fund Managers and Budget Officers from ACO/ACT/JWC and NCSA meet to coordinate the requirements.

d. The MTEP is produced in parallel and the final draft in March will be the basis for the budget requirement submissions from subordinate commands and the budget submission. The MTEP will include, for information only, the budget and MTFP estimates available at this time. These numbers are not to be confused with the budget.

e. In May the Principal Budget Holder (PBH, SHAPE ACOS J7); for the ACO exercise budget submits the MTFP and budget proposal to SHAPE and HQ SACT.

f. The budgets are finalised by SHAPE and HQ SACT and submitted to the Military Budget Committee (MBC). The presentation to the MBC will occur in every September/October.

g. In late September/October the EBUG will meet again to discuss adjustments to next year’s budget presented to the MBC. For the ACO exercise budget, the final delegation of funds for next year will be discussed and agreed for recommendation to the PBH.

h. The budgets are normally approved by NAC in December, and the delegation of funds can commence from the 1 January in the budget year.

10. Budget Execution. NATO Commanders at all levels are responsible for conducting their exercise and training programmes within budget or financial limits allocated to them by the SC; as well as the proper accounting for all funds provided. SC Commanders are also responsible for ensuring the propriety of all expenditure, and the overall cost-effectiveness of their activities. In turn, the SC is responsible to the nations for the proper inclusion of exercise and training activities in SC financial reports, and the overall cost-effectiveness of the SC exercise and training programme. The following milestones are applicable to the execution:

a. January: Based on the NAC approved budgets, the SCs upload the budgets in the NATO Automated Financial System (NAFS). Furthermore the SCs issue delegation letters (when applicable) and record the delegations. JFCs in their turn delegate to their subordinate Commands.

b. January-April: The budget Mid Year Review (MYR) process will result in a submission to the MBC for adjustments to the budget. Normally new funding will not be




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provided by the MBC so the owner of new requirements will have to find offsets within their own delegation.

c. March/April: The MYR is coordinated at the EBUG.

d. June/July: The SCs screen and submit the MYR.

e. August/September: The MBC approves the MYR.

f. Late September/October: The EBUG will discuss and recommend reallocation of lapsable credits identified in the current budget year.

11. Based on the BO uploaded budgets the FM can spend money on behalf of his commander. The decision to spend money is the first to be recorded (Reservation/Pending Commitment). Only the FM can commit the funds. No legal obligation for payment can be made without previous formal commitment from the FM. The FM must also approve increases to existing commitments. For procurement this reservation then goes to the Purchase and Contracting officer who does his job and turns the reservation into a Purchase Order and a formal commitment. Now the money is fenced off for this procurement until payment (maximum two years following the budget year). When the invoice is received the FM will have to verify the invoice and release the payment. It is essential that the FM keeps proper records.

Budgeting and Execution Strategy 12. It is extremely important to use realistic estimates in exercise budget submittals. Every year, unused funds are returned to the nations (unless committed against a known expense which NATO will/has incurred). Several examples can be given of commands that request extra funding during the MYR, and then return large amounts at the end of the year when the funds cannot be reallocated meaningfully. Meanwhile, many projects are scaled back or cancelled each year due to the lack of funding. Every budget holder is expected to apply prudent risk management4 Good fiscal and risk management demands consideration for the entire NATO mission, not just one exercise.

13. The NATO Fund Managers should continuously reassess their requirements and inform each other and BUDFIN on any significant changes. Immediately after an exercise, the appropriate project officer should, as an example, compare the number of communication circuits actually activated and transportation actually performed with the planned quantities and advise the respective Fund Manager and BUDFIN of any significant changes. Budget and Execution Lessons Learned are extremely valuable to the exercise planner.

Cost Types and Eligibility 14. General. For exercise purposes, common funding from training budgets can be used to cover the incremental costs (those above and beyond routine HQ activity levels) associated with the preparation, conduct, and after action analysis of approved NATO Military Exercises. This includes meetings, conferences and symposia; which are included in the MTEP or readily identified to a specific exercise or type of exercise.

4. Definition: The technique of introducing calculated risk into budgetary processes, with the

objective of optimising forecast credit coverage with actual expenditure requirements. Risk is undertaken in specific instances in partnership between nations, SCs and JFCs. Examples: The annual requirement is submitted with detailed requirements totalling 100,000; however historically the programme has usually only committed 80% of authorisations. The Budget Officer endorses the entire programme as submitted, but only requests budget credits of 80,000 while taking the remaining 20,000 as a “manageable risk”.




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15. Augmentation of NATO HQ. It is recognised that peacetime staff complements at most HQs are insufficient to support wartime or other 24-hour operational requirements. It is generally accepted practice that NATO capabilities will be rounded out by augmentation from nations or from other NATO HQ. The sending organisation is paying for the travel cost to and from the HQ that is augmented. Travel cost of the augmentee during his duty in the augmented HQ, is the responsibility of the augmented HQ. A training provider may exceptionally require specialist support that is only available from staff of another SC or an external organisation. In such cases, the training provider/OSE could fund exceptional augmentation support for their own programmes. However, subsistence and lodging costs for military personnel shall in all cases remain a national responsibility.

16. Exercise Location. Unless there are valid reasons to the contrary (i.e. the purpose of the exercise is to practise deployment, the event is too large for the HQ conference facility, etc), NATO exercises and related events should normally be conducted at NATO installations using the capabilities of the NATO Command Structure. Selection of exercise locations should be based on compatibility with exercise objectives, site suitability, military judgement, and overall cost effectiveness compared to other alternatives/offers. Exercise location for NATO/PfP exercises should preferably be a Partner nation.

17. Types of Eligible Costs. As aforementioned, for exercise purposes, common funding can be used to cover the various costs. The major budgetary categories for these costs include the following:

a. Personnel.

b. Administrative and technical support.

c. Lease of assets (or acquisition when cost effective compared to lease).

d. Running cost of Communications and Information System (CIS) requirements.

e. Transportation of NATO personnel and equipment.

18. Operational requirements not specific to an exercise identified during the work up phase for an exercise should normally not be funded through the exercise budget. Such shortfalls should be addressed through the NSIP or HQs budgets using expedited authorization procedures.

19. The SCs will issue annual budget preparation guidance detailing specific accounts and activity codes to be used in preparing budget documents. Requirements not falling into the categories described in those instructions should be referred to the appropriate SC Financial Controller for validation prior to inclusion in budget estimates.

20. Special Procedures for Military Cooperation Activities. As a rule, Nations participating in NATO Cooperation programmes generally bear the costs of their participation in training activities on the same basis as NATO nations. They are responsible for all expenses associated with transportation, accommodation, meals, tuition, course fees, and miscellaneous expenses of personnel they send to participate in NATO education, training, exercise and evaluation activities. However, certain nations can apply for subsidies for the personnel participating in the building block events (exercise planning conferences and after action review) for the exercises (not for the exercise itself). These subsidies are not chargeable to the exercise budget and the procedures are outside the scope of this directive.

Host Nation Support (HNS) Responsibilities 21. General. NATO exercises are not to be used as a means to subsidise the operating costs of national forces or to fund national infrastructure. The purpose of the NATO’s HNS




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concept is to provide effective support to the NATO exercises and to achieve efficiencies and economies of scale through the best use of the HN’s available resources. Furthermore, HN should not derive revenue from the official activities of NATO HQ or forces conducting or participating in operations, exercises, conferences or similar events on their territory. To this end, NATO will not reimburse the salaries, subsistence or other national costs of military personnel. HN should apply all provisions of the Paris Protocol, the NATO Status of Forces Agreement (SOFA), and the further Additional Protocol (to the NATO/PfP SOFA) to all NATO HQ and Allied or Partner personnel/forces participating in NATO exercise events. A Memorandum of Understanding (MOU), Technical Arrangement (TA) or Joint Implementation Arrangement (JIA) will normally be developed to detail HNS arrangements and obligations for each exercise. Templates for such agreements are available in AJP 4.5(A).

22. The HN will provide support to the greatest extent possible on the basis of national legislation, national priorities and the actual capabilities and available resources of the HN. HNS may be rendered on a reimbursable basis, to include direct financial reimbursement, replacement in kind and/or equal value exchange and may include provision at no cost.

23. Support provided by HNs Free of Charge. Offers to host NATO exercises should be made with the understanding that the HN is normally expected to provide the following support free of charge to the NATO HQ:

a. A suitable facility to conduct the exercise or event, which does not require renovation or construction in order to serve the purpose.

b. All security associated with exercise/event facilities.

c. Fire protection and emergency medical services for exercise facilities and personnel.

d. Air lift or transport support for recce and other events as detailed per the SOR.

e. Access to APOD and SPOD free of harbour/airport fees not directly associated with services requested, provided and received.

f. Electricity, water, sewage, and other utilities not metered directly to an exclusive NATO facility.

g. Rubbish removal.

h. Contracting support (subject to payment for material purchased).

i. Services of military personnel.

j. Access to/use of training ranges.

k. Customs clearances.

24. Reimbursable HNS. Offers to host NATO exercises should be made with the understanding that the HN is expected to be able to provide the following HNS on a reimbursable basis (chargeable at the same rates chargeable to HN forces less taxes):

a. Purchase of consumable supplies.

b. Rental/purchase of non-military equipment when military equipment is unavailable.

c. Military accommodation of exercise/event participants at the same rates charged to HN personnel.

d. Messing at military facilities at the same rates chargeable to HN military personnel.




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e. Installation of room dividers or other temporary modifications to configure otherwise suitable facilities to the needs of the NATO Commander.

f. Installation of NATO CIS and administrative equipment.

g. Telephone and other communications services.

h. Incremental installations of electricity, water, sewage and other utilities that can be metered exclusively to NATO facilities during exercises/events.

i. Stationery, printing, postage and packing.

j. Hire of temporary civilian personnel.

k. Rental of commercial facilities, when military facilities are unavailable, or unsuitable.

l. Commercial services.

m. Targets and incremental services at training ranges requested by the NATO Commander.

n. POL for NATO vehicles.

o. Ground transportation, subject to reimbursement of incremental costs only.

25. The above detailed standards are not exhaustive, and Commanders may request additional levels of support beyond those mentioned herein (i.e. barracks accommodation in existing facilities, etc). Subordinate HQ may request SC assistance and further guidance when they are unable to obtain appropriate levels of support from HN during the exercise process. SC may request assistance of the National Military Representatives (NMR) and NATO delegations in resolving HNS issues. Some points of attention, regarding HNS, are:

a. Final financial arrangements, particularly those related to NATO Common Funding, will likely only be determined just prior to the implementation of a NATO operation/exercise. Expenses not specifically agreed as being a NATO funded expense, prior to the expense being incurred, will not receive NATO Common Funding.

b. The HN will not incur any financial liability on behalf of the NATO Commander or Sending Nations (SNs), unless specifically requested to do so in advance by an authorized representative, and unless responsibility for payment of the expenses is agreed.

c. The MOU does not represent a specific funding obligation on the part of the NATO Commander or SN. Detailed financial arrangements and reimbursement procedures will be specified in the follow-on documents. JIAs are especially the financially obligating documents .

d. Invoices for provisions and services provided by the HN should be accompanied by the signed documents for those provisions/ services.

e. Within NATO, the Logistics (J/A/G/M-4 Divisions) staff has the lead for HNS planning and the development of HNS arrangements.


ANNEX G TO BI-SCD 75-3 DATED: 1 AUG 07

G-1 Releasable to EU/PfP/MD

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ANNEX G. GUIDE TO PLANNING CIS SUPPORT TO NATO EXERCISES

Purpose 1. The purpose of this annex is to outline some general terms regarding the strategic Deployable CIS Capability, to provide direction on NATO strategic Communications and Information Systems (CIS) exercise planning, and to delineate CIS related responsibilities during the Exercise Process primarily focusing on Officer Scheduling the Exercise (OSE) and Officer Conducting the Exercise (OCE) staffs. C2 is an operational requirement. As such, all C2 arrangements used or foreseen for the conduct of the “operation” during the exercise should be arranged for by the operational side of the Headquarters. That C2 required to run the exercise (for EXCON, EVAL-Team etc…) shall be arranged for by the Exercise Planners. References 2. The following are the principle references for planning CIS support to NATO exercises:

STANAG 5048 [Ed5], Minimum Scale of CIS Connectivity for NATO Land Forces, 16 Feb 00

MC 195/7, NATO Minimum Interoperability Fitting Standards for Communications and Information Systems (CIS) Equipment Onboard Ships, Submarines and Maritime Aircraft (Final), 20 Feb 06

MCM-092-03, Implementation Directive for NATO Command Structure, 23 Apr 03

IMSM-144-01, NATO Force Structure Review: Definition of Interim Operational Capability (IOC) and Final Operational Capability (FOC) and translation of the agreed Military Criteria for HRF/FLR HQs, 28 Feb 2001 MCM-0083-2005, NRF MMR for Common Funded DCIS, 07 Jul 2005 IMSM-0336-2005, The DCIS Concept, NL request for NAEW Support, 7-8 May 2005

NATO C3 Architecture Framework (NAF)

NCSA OSI A-04-01,Service Provision Management Process for NCSA Centrally Provided Services, Draft 7th Revise March 2007

Strategic Deployable CIS Capability 3. The Strategic Deployable CIS (DCIS) capability is used to support NATO operations and exercises. The equipment, together with trained manpower, under the Administrative Control (ADCON) of the NATO CIS Services Agency (NCSA), is available to provide a CIS capability to support NATO exercises, if not deployed for operations. The DCIS Capability is comprised of two separate sets of resources.

a. NATO Signal Battalions (NSB) Equipment and Personnel. The two NSBs include, but are not limited to, the Communications Gateway Shelters (CGS), Line of Sight (LOS) equipment, legacy and new generation Transportable Satellite Ground Terminals (TSGT), Communications Modules (COM) and Information Services Modules (ISM). Furthermore the LINC (Limited interim NRF CIS) equipment, consisting of Deployable Satellite Ground Terminals (DSGTs), more scalable server modules, Bandwidth Management Equipment, workstations and PABXs is available for NRF exercises. These assets are under Administrative Control (ADCON) of NCSA Operations,




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Exercises and Logistics Plans Division (OELP) and under Operational Command (OPCOM) of SACEUR and can be utilized to support both operations and exercises. In all cases, the decision to assign these assets remains the responsibility of NCSA based on Information Exchange Requirements (IERs) of the operation/exercise and the Exercise Specification (EXSPEC).

b. The DCIS Generic Assets Pool. This comprises numerous smaller CIS equipment (routers, switches, workstations, telephone sets, etc.) that can also be utilized to support exercises. The requirement for the user assets (workstations, projectors, telephones, etc.) should be identified by the OCE within the development of the IERs during the Exercise Process.

Eligibility 4. NATO strategic CIS services for exercises can only be provided for exercises contained in the NATO Military Training and Exercise Programme (MTEP). However, other exercises, not listed in the MTEP, which are operationally justified, may also be supported on a case-by-case basis if the trained CIS manpower and assets are available and neither ongoing operations nor MTEP exercises are in jeopardy due to the support of these non-MTEP exercises. Exercises involving Partners, MD- and ICI Countries or other non-allied nations require appropriate arrangements with regard to CIS including interoperability, connectivity and provision for secure communications.

5. Only those exercises that are either included in the MTEP or operationally validated are considered supportable exercises and are eligible for requesting NATO CIS services.

Funding 6. The responsibilities for funding CIS consumables and leased lines will lay with the NCSA Delegated Exercise Budget as arranged with SHAPE Exercise Funds Manager. Travel of NCSA personnel will be funded by ACO Exercise Budget as locally arranged among ACO HQ’s and co-located NCSA units. Transportation costs of CIS assets will be covered by OCE Exercise Budget. Furthermore, NCSA HQ has to actively contribute to Exercise Budget Users Group (EBUG) and provide inputs (estimates, etc.) as well.

7. Usually the exercise budget is not foreseen for the procurement of DCIS assets. Articulation of the operational requirement by using the Urgent Requirement Request at the beginning of the exercise process increases the chance of procuring equipment.

NCSA 8. The establishment of the NATO CIS Services Agency (NCSA) changed the procedures in which exercises receive essential support. NCSA has ADCON responsibility for DCIS capability set against Allied Command Operations (ACO) Levels of Ambition (LOA) to support current and future operations and the exercises as detailed in the MTEP. Operational and exercise CIS support requirements should be harmonized in order to ensure continued effectiveness of NCSA personnel and equipment. Therefore, SHAPE J6 is responsible for setting priorities and arbitration of DCIS assets against conflicting requirements from Supported HQ and OCE based on SHAPE J7 guidance. Furthermore, NCSA HQ OELP and SHAPE J6 co-chair the NATO Exercise CIS Support Meeting (NECSM) twice a year to tailor available CIS capabilities. Integration of static Allied Command Transformation (ACT) training facilities, along with parallel planning and programming with NCSA, is essential to ensure the exercise support requirements are met.

CIS Exercise Planning 9. CIS Planning Deliverables. The CIS planning deliverables are:




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a. Information Exchange Requirements (IERs). The OCE produces the EXCON IERs to reflect the EXCON requirement for the NATO Signal Battalion (NSB) and user assets during the Planning and Product Development Stage of the Exercise Process. The Headquarters / entities to be trained produce their mission IERs to reflect the operational requirements for communication during their conduct of the Operational Planning Process. The mission IERs are to be provided by the operational personnel. Close coordination with the OCE OPR is required in order to stay within the given budget and other administrative limits.

b. Support Requirements. The EXPLAN must detail the transportation and budget requirements to move the assets to the exercise venue. In addition it must detail the layout, space, accommodation etc needed once on site. The data required is to be collected in close coordination between the Exercise Planners and the operational users.

10. CIS Planning Organisation. The Checklist of CIS Support Planning to ACO Exercises is presented at Appendix 1 to this annex. Also, the responsibility matrix portrayed in Appendix 2 to this annex summarizes the main action items against responsibilities and the Exercise Process Conferences.

11. The CIS planning is an integral part of the overall Exercise Process under the guidance of the exercise planning staff. The vehicle for the CIS planning should be the CIS Syndicate. The CIS staff of the OCE should nominate the CIS Syndicate leader. In addition, key members of the CIS Syndicate are the CIS representatives from the OSE, NCSA, each target audience of the exercise, and the Exercise Control (EXCON). Depending on the nature of the exercise other organisations may be requested to send their subject matter experts (SMEs). In essence, the CIS Syndicate constitutes the CIS Core Planning Team of the exercise. In order to avoid duplication in efforts, it is imperative that the same personnel be delegated to the participating parent HQs J7-led Core Planning Team as well.

12. The CIS Syndicate should primarily be in session during the scheduled exercise planning conferences, however, additional events, such as CIS site surveys or Core Planning Team Meetings, might be convened occasionally bearing in mind that some NATO Nations have severely limited TDY budgets.

13. It must also be noted that current and anticipated operational tempo, coupled with the limitation in strategic Deployable CIS capabilities, does not allow conducting more than two larger-scale exercises per half a year provided one of them utilizes NRF fenced-off capabilities and, moreover, there are no more than two deployed CIS Points of Presence (PoP) to be established for each exercise.

14. In order to allow all planners to meet the related deadlines it is essential that the required information is available in time and in the requested extent.

15. The first step of the CIS Exercise Process is to identify the Command and Control (C2) structure of the exercise including all the EXCON elements and geographic dispersal of exercise participants. This should normally be the responsibility of the OSE staff since the OSE's duty is to issue the basic instructions with the EXSPEC, which includes the form of the exercise, the designation of the exercise area, the allocation of forces, the OCE, and further co-coordinating instructions.

16. As such, the C2 structure is delineated in the EXSPEC; therefore, it is normally to be finalized during the Initial Planning Conference (IPC) of an exercise. Once the C2 structure is available there is a need for identifying the physical locations of the C2 elements taking into account the necessary co-locations based on the Combined Joint Task Force / NATO




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Response Force (CJTF/NRF) concepts and also taking into consideration the exercise constraints and restraints as well as other excise related artificialities.

17. Once the aforementioned issues are endorsed the next step is to identify the CIS PoP. There may be a number of C2 elements collocating with each other creating a single CIS PoP.

18. Once the CIS PoP are determined the OCE CIS staff, in close co-operation with the CIS Syndicate and the relevant representatives of the C2 entities including EXCON elements, should develop the IERs bearing in mind the recommendations in the CJTF/NRF CIS Concepts. It is important to consider if there is a significant difference between the numbers of a HQs’ Peace/Crisis Establishment (PE/CE) slots and of active users.

19. Active users are an average of 70% of the total CE slots of a C2 element. Those are the users who need access to CIS services at a time taking into account shift work and peak time activities. This figure is 30% for the HQ support units.

Spectrum Management and Exercise Planning 20. This section identifies NATO doctrine and concepts that provide the foundation for military use and control of the radio-frequency spectrum within NATO exercises and associated areas of interest. Included in this are descriptions of the spectrum management responsibilities and processes used within the internal NATO organisation (including the NATO Command Structure) and the NATO Force Structure and their relationship with any PfP or other coalition partners. These process activities are deemed essential for planning, coordinating and managing the use of the electromagnetic spectrum for military exercises.

21. In support of this, NATO use of the radio-frequency spectrum will be in accordance with International Telecommunication Union (ITU) Radio Regulations, of which each NATO nation is a member, and also in accordance with NATO military spectrum and frequency doctrine, policies and procedures. Both of these types of governing documents are applicable in times of peace, crisis and war (to the extent stated in the individual documents).

22. Throughout this annex the general term Spectrum Management Office (SMO) is used to cover the personnel, procedures and activities of organisations responsible for managing the radio-frequency spectrum within the NATO structure. When deploying as a force, these organisations may also be known as a Frequency Management Office (FMO), Spectrum Management Element (SME), Theatre Frequency Management Cell (TFMC), Combined Spectrum Management Element (CSME) or other similar name. The term SMO may also be used to represent this function for a single service, Joint service or even Combined national services environment.

23. It is also important to note that the term C3 in the NATO context refers to Consultation, Command and Control (and not command, control and communications). This is essential since consultation among the nations must occur before command and control can be exercised in support of the decision taken. However, within the spectrum management community the most important aspect is coordination – the SMO must coordinate with the proper authorities in order to obtain required frequencies for use by the NATO nation or military element they represent.

24. Spectrum Management References. The following are principle references for planning Spectrum Management support to NATO exercises:

• ACP 190 (B) NATO Guide to Spectrum Management in Military Operations

• NATO Spectrum Management Handbook




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• NATO Joint Civil/Military Agreement 2002

• NATO Military Position on Spectrum Management

• AD 80-72, ACO Policy on Military Access to the Radio Frequency Spectrum (RFS)

25. General Roles and Responsibilities of a NATO SMO. Regardless of the level of responsibility, a SMO in NATO is responsible for ensuring the following:

a. Being the single focal point at that level of activity for all frequency and spectrum issues.

b. Developing and maintaining the frequency and spectrum plans, policies, operational concepts and procedures, and other guiding documents appropriate for that level of activity.

c. Being involved with and coordinating on the development of military plans, policies, operational concepts and procedures, and other guiding documents at that level of activity that make essential use of the frequencies and the spectrum.

d. Coordinating with the appropriate level counterpart civil national and international frequency and spectrum authorities concerning frequency and spectrum coordination, usage and management within the area of exercise.

e. Ensuring the next level down SMO(s) has(have) adequate personnel and resources to perform its(their) roles and responsibilities.

f. Overseeing the next level down SMO(s) to ensure the above stated activities are performed.

Phases of Planning in Spectrum Management for Exercises 26. Spectrum Management planning for NATO exercises has to relay on a bilateral agreement (MoU or TA) between Host Nation and OSE’s HQ regarding the access of visiting troops to the HN Radio Spectrum. For exercises involving non-NATO nations, NATO SMB / FMSC will be consulted over the best way to proceed for frequency coordination.

27. While the aim of many NATO CPXs precludes spectrum management exercise play, the J6/A6/G6/N6 planners should always attempt to use the exercise as a basis for spectrum management training. This will include carrying out the process, creating a Spectrum Management Plan, using tools to create assignment and allotment tables, and reporting lessons learned following the operational procedure. The value of an exercise lies in the possibility of drawing useful lessons and conclusions.

a. Routine or Pre-Planning Phase.

(1) Equipment Parameters: Successful military spectrum management relies on accurate data. Much of this data can be gathered on a continuous basis by a nominated authority. Within NATO the Frequency Supportability process provides accurate information on friendly nation’s transmitters, receivers and antennas. Such information will be made available to those NATO nations, headquarters and authorities using automated spectrum management tools.

(2) International Organisations: The ITU and the CEPT publish information, which may be of particular value when operating in a non-NATO country. This information is published on a regular basis.




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(3) Electromagnetic Compatibility Reports: Much information is published by the Technical Working Group (TWG) of the FMSC. This information should be stored and used as background information by the spectrum managers.

b. Planning Phase.

(1) Spectrum Requirements: The operational level of command is responsible for identifying the spectrum requirements for the deploying force. This should include the requirements of all Components. This is achieved through liaison with:

• J3 over the composition and initial locations of the forces within the operational area.

• National authorities providing forces to identify the types and number of nets, links and individual surveillance equipment being deployed with their individual frequency requirements.

(2) Available Spectrum: Before deployment, interference-free spectrum must be identified that is available for use in the operational area. This is achieved through liaison with national authority responsible for managing the spectrum. Frequency requests will be submitted in a format agreed by the operational command and the nation. If no authority exists, monitoring and public information (e.g. ITU information and databases) may be used.

(3) Production of a Spectrum Management Plan: The Spectrum Management Plan is used to inform the force of spectrum management issues and the processes to be used on the deployment. It should also include individual frequency assignments and allotments for the force. Further details on the Spectrum Management Plan can be found in ACP 190(B).

c. Deployment / Implementation Phase. On arrival in the operational theatre, the tactical element will implement the plan and eliminate interference. Where a national spectrum management administration does not exist, the operational commander is to assume the responsibilities of the sovereign nation and be prepared to coordinate all frequency requests for both military and civil users. This information is to be retained in a database until a civil authority has been established, at which point the information on civil use is passed back to the designated authority.

d. Recovery Phase.

(1) When a NATO force completes its operational phase, the senior operational spectrum manager is responsible for ensuring:

• All spectrum requirements for an incoming/replacement force have been met.

• All unused frequencies are handed back to the host nation.

• That individual units and users hand back frequencies to enable them to be used by others.

(2) The senior SMO is responsible for producing a Spectrum Management Report to the Strategic Command and to the Military Frequency Group of FMSC via the Regional Command. This report will be used to inform the training process and other operations. The report should include, inter alia, information on:

• How the standard process had to be changed to meet the situation.

• Anomalies in propagation due to the terrain and meteorological conditions.




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• Unforeseen conflicts between systems, its impact and the resolution.

Determination of the IERs 28. It is essential that all the C2 entities and the EXCON delegate their representatives to the CIS Syndicate and it is imperative that those personnel, already in the IPC, have a clear understanding of their represented elements' IERs in order to allow the CIS Syndicate to build up the first draft IERs.

29. It is essential that provision of NATO CIS for NRF operations follow the principles outlined in extant MC guidance, STANAG 5048, MC 195 and IMSM-144-01. In applying these principles to the NRF structure, the concept for deployable CIS categorized the levels of provision to indicate the extent to which each C2 element is supported by NATO deployable CIS. These categories of CIS provision are as follows:

a. “TO”. “TO” facilitates provision of strategic connectivity from the NGCS/NATO WAN to a specific NRF C2 element. A minimum CIS capability, including a limited local area network (LAN) provides a number of users access into the NATO network, but further expansion of the capability to other users within this location is the responsibility of that specific C2 element. This “To” normally applies for CC HQs and theatre support.

b. “THROUGH”. “THROUGH” facilitates provision of a CIS link provided from the NGCS/NATO WAN to the DJTF HQ, NATO sourced CC or C2 element, and includes the further expansion of CIS connectivity, including LAN connectivity to all NATO CIS users throughout the HQ.

c. “AUGMENTATION”. “AUGMENTATION” facilitates provision of specific NATO CIS user items, sufficient to meet the specific needs of NATO CIS users, based on the needs of the operation. This category mostly relates to sea-based HQs, where the nation providing the afloat command platform also provides the link into the NGCS/NATO WAN.

30. As a general rule, C2 entities of the NATO Command Structure (NCS), for example the land based Parent HQ, are regarded as THROUGH type of C2 elements. In essence, the following entities are exclusively regarded as THROUGH type of C2 entities: sea based and land based DJTF/CJTF HQ (including CJTF HQ shore outstation in sea based scenario), land based DJTF HQ/CJTF HQ Support Units, NCS Component Commands (CCs), Joint Logistic Support Group (JLSG), Liaison Teams (e.g. Theatre Liaison Teams (TLT) or Operational Liaison and Reconnaissance Teams (OLRT)) and each EXCON element. THROUGH type of CIS facilities are provided by NCSA from the NATO General Purpose Segment Communications System (NGCS). The service provision includes the further expansion of the CIS connectivity including data networks to the users throughout each THROUGH type of C2 entity.

31. Within a DJTF-related THROUGH C2 entity the following CIS terminal allocation should be followed.

Terminal No. of Equipment VTC One for every PoP location (STANAG 5048) TACSAT One for every CC and 2 for each DOB and AOC OLRT NS Capability1 One for every OLRT NS Workstations One for every active user NS Network Printers One for every 5 active users NU Workstations 5 in total each will need access to Internet.

1. TATMAN BOX or Equivalent NS CIS Capability.




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Terminal No. of Equipment NU Network Printers 2 in total Non-Secure Telephones One for every 3 active users Secure Telephones One for every 3 active users Secure FAX One for every 20 active users, but ensuring there is one fax

machine in each functional area. Non-Secure FAX One for every 10 users Mobile Phone One for each Cell and Key Personnel

32. Within a CJTF-related THROUGH C2 entity the following minimum CIS terminal allocation should be envisaged.

Terminal No. of Equipment VTC One for every PoP location (STANAG 5048) TACSAT One for every CC and 2 For each DOB and AOC OLRT NS Capability One for every OLRT NS or MS Workstations One for every active user NS or MS Network Printers One for every 10 active users NU Workstations One for 5% of active users NU Network Printers One for every 10 NU workstations Non-Secure Telephones One for every 2 active users Non-Secure FAX One for every 10 active users Secure Telephones One for every 5 active users Secure FAX One for every 20 active users but ensuring there is one

Fax in each functional area Mobile Phone One for each Branch /Division and Key Personnel

a. In addition it should be ensured that each functional area is equipped with the aforementioned items regardless the number of their personnel.

b. Each workstation should be capable of exchange of e-mail and web browsing.

c. Each functional area should initiate through the CIS syndicate its requirements for Functional Services (FS); especially FS not assigned to NCSA - ICC, MCCIS, NAFS and NDSS.

33. The TO types of C2 entities, in principle, are part of the NATO Force Structure (NFS) or commands established for Deployable Forces operations. These TO C2 entities include: NRF Land Component Commands (LCCs), NRF Air Component Commands (ACCs), Special Operations Component Commands (SOCCs), Psychological Operations Component Commands (POCCs), CBRN Defence Battalions (CBRN BNs), Deployed Operating Base (DOBs) commands and Ports of Debarkation (PODs) commands. TO type of CIS facilities are also provided by NCSA from the NGCS. A minimum CIS capability provides a bare minimum of users (10-11) access to the NGCS. However, the further expansion of the capability to other users within the HQ is the responsibility of the TO type of C2 entity.

34. Last but not least, the only AUGMENTATION type of C2 element is the NFS Maritime Component Commands (MCC). AUGMENTATION type of elements are yet not foreseen however may be possible in the future when nations may offer sea based Command platforms for hosting the DJTF HQ.

35. Having worked out the IERs based on the guidance above, the OCE CIS OPR staff will submit the final version of the IER matrix at least 4 months prior to the STARTEX to SHAPE J6 OEB via OSE (if SHAPE is not committed as OSE) or appropriate chain of command for




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validation. Amendments to the IER matrix will be frozen 3 months prior to the STARTEX. Appendix 3 to this annex shows the IER matrix that should be utilized in submitting the IERs to SHAPE J6 OEB.2

OBTAINING STRATEGIC CIS SERVICES FROM NCSA 36. Once the IERs are submitted by the OCE through the OSE to SHAPE J6 OEB, and after staffing with NCSA HQ and validation of the requirements, SHAPE J6 OEB and NCSA HQ edit a Combined Tasking Order to reflect CIS support for the exercise and delineation of responsibilities (OCE – NCSA – Other). Given the exercise timeframe, level 1 diagram containing the locations of CIS PoPs and the initial IERs pertaining to each CIS PoP NCSA OELP will analyse the requirements, balance with available resources, then allocate the appropriate NCSA Sector(s) and/or NATO Signal Battalion representatives to different exercise planning conferences. NCSA keeps records of NATO CIS resource, received requirements, scheduled commitments and possible shortfalls in a database for each exercise which are eligible for NCSA services for use of ACO.

37. If it comes to prioritisation NCSA in close cooperation with SHAPE J6 investigates the availability of DCIS assets to achieve a smooth and coherent planning. From the results the following priorities are to be applied on DCIS support requests:

1st priority: to Current Ops,

2nd priority: to NRF stand-by requirements,

3rd priority: to NRF preparation exercises in MTEP,

4th priority: to NRF preparation exercises not included in MTEP,

5th priority: to the other exercises included in MTEP Chapter 4,

6th priority: to Multi-National Exercises linked to NATO, and

7th priority: to NATO Nations’ National Exercises.

38. In essence, the ACO CIS community (J/G/A/N6) represent the users. OCE CIS AO is required to initiate a basic Service Request (SR) through NCSA Sector as defined in the Combined Tasking Order, using the Service Request Tracking System. Once Interim Authorisation to Operate (IATO) has been given by J2 INTEL (initially requested by OCE following Specific Security Requirement Statement (SSRS) Process). NCSA HQ Service Delivery Division (SDD) Service Allocation (SAL) Branch will release Circuit Activation Orders. NCSA Operating and Support Instruction (OSI) A-04-01 (Title: Service Provision Management Process for NCSA Centrally Provided Services) defines the procedures to be followed in greater detail.

CIS Responsibility Matrix 39. The CIS responsibility matrix illustrated at Appendix 2 to this annex summarizes the main action items against CIS responsibilities during the Exercise Process.

2. The current spreadsheet version is available on the SHAPE J6 NSWAN web page at

http://nww.shape.nato.int/WISE/CISDivisio/CISDivisio645/OPERATIONS/SDCJ6Exerc/ExercisePl/TemplatesC.


APPENDIX 1 TO ANNEX G TO BI-SCD 75-3 DATED: 1 AUG 07

G-1-1 Releasable to EU/PfP/MD

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APPENDIX 1 TO ANNEX G - CHECKLIST OF CIS SUPPORT TO ACO EXERCISES (INFORMATIVE PURPOSES)

Responses S/N

Ref

eren

ce

Questions (Version 1) Yes No Ongoing

Action1 Desk/s Desk/s to be coordinated2

1 MTEP Is the exercise in the Military Training and Exercise Programme (MTEP)? OSE/OCE

2 ED 75-3 Is the coordination done with SHAPE J7 /J3 in terms of operational validation (Note: this not necessary for the exercises in MTEP)? Support

Requestor

TO: SHAPE J7, CC: SHAPE J3 and SDC, J5 (if required), SHAPE J6 OEB, NCSA OELP

3 CIS FPG Is C2 Structure Diagram of exercise sent to SHAPE J6? OCE TO: SHAPE J6 OEB CC: NCSA OELP

4 CIS FPG Is C2 Connectivity Diagram (with their geographic locations) sent to SHAPE J6? OCE TO: SHAPE J6 OEB CC: NCSA

OELP

5 Is the EXSPEC document ready and approved by a NATO authority and Is a copy of it sent to SHAPE J6? (at least it should include Locations, Date/Time, etc.)

OCE CC: SHAPE J6 OEB (Note: JCL,JFCN, JFCB and CCs (through JFCs))

6 ED 75-3 Has the Information Exchange Requirements (IER) (CIS Services Matrix) been filled out and sent to SHAPE J6 OEB? OCE

TO: SHAPE J6 OEB, CC: NCSA, (Note:JCL,JFCN, JFCB and CCs (through JFCs))

7 ED 75-3 Has the IER been coordinated with NCSA OELP? SHAPE J6 OEB TO: NCSA OELP

8 Is there any requirement to coordinate this support with SHAPE J2? (such as installation of new PC or equipment into the NS WAN / Accreditation issues?)

OCE TO:SHAPE J2 CC: SHAPE J6 OEB, NCSA OELP

1 ACTION may mean that it may require Review and Validation and also for further action like passing it to NCSA. 2 TO: means that it requires an ACTION; CC: means that it is sent for INFORMATION ONLY.




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APPENDIX 1 TO ANNEX G - CHECKLIST OF CIS SUPPORT TO ACO EXERCISES (INFORMATIVE PURPOSES)

Responses S/N

Ref

eren

ce

Questions (Version 1) Yes No Ongoing

Action1 Desk/s Desk/s to be coordinated2

9 Is the coordination done with SHAPE J7 in terms of final funding approval from the supporting JFC J7 Fund Manager) OCE

TO: SHAPE J7, CC: SHAPE J6 OEB, NCSA OELP, J3 and SDC, J6

10 ED 75-3 Is there any transportation requirement (personnel and equipment) for this support? NCSA OELP TO: OSE/OCE, J4 / CC:

SHAPE J6 OEB

11 ED 75-3 Is there any fund requirement for this transportation (personnel and equipment)? (Note: Inform the sponsoring JFC J7 Fund Manager.) NCSA OELP TO: OSE/OCE CC: SHAPE J6

and J4 /J7 /J8

12 Has a cost estimation for this transportation been sent and the sponsoring JFC J7 Fund Manager? (Note: Funding principle = Costs lie where they fall)

NCSA OELP and NAMSA TO: OSE/OCE CC: J4, J7,J8

13

Is there enough fund for this exercise? (including transportation and personnel travel cost and etc.). (Note: Reply to be provided by sponsoring JFC J7 Fund Manager.)(Is the sponsoring JFC able to fund the identified costs of support to the Exercise?)

OCE TO: SHAPE J7 (through JFC J7) CC: SHAPE J6 OEB

14 Is there any requirement for this exercise to purchase new CIS equipment? The Ex budget is NOT the default option to procure new CIS equipment

NCSA OELP TO: SHAPE J6 OEB, CC: SHAPE J7, J8, and NAMSA

15 Is the Initial Floor-Plan for this exercise ready? And Has it been sent to NCSA? OCE TO: NCSA OELP CC: SHAPE

J6 OEB Note: Those are extractions from documents in order to facilitate CIS planning




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APPENDIX 2 TO ANNEX G - CIS PLANNING RESPONSIBILITIES DURING THE EXERCISE PROCESS Event OSE OCE NCSA C2 Entities A/G/N 6

Initial Planning Conference (IPC)

Support CIS Syndicate set-up Exercise outline.

Set-up the CIS Syndicate. Exercise outline. Timings and dates. Initial CIS inputs to EXPLAN. Rough overall CIS Connectivity chart. First draft of the IER matrix.

Related NATO Signal Bn. and C2 Relation to be identified for the Exercise. Update on the availability of CIS personnel and assets to support the exercise.

Initial inputs to the IER matrix.

Initial Site Survey/ Recce

Initial Coordination with LOCAL PTT (and MOD-when applicable) for contracting Commercial (and Military Lines -when applicable)

Main Planning conference (MPC)

Summary of the ongoing issues from OSE J6 point of view.

Complete CIS inputs to EXPLAN.. Final version of IER matrix. Results of the site surveys, including floor plans and equipment locations. Inputs to the Real Life Support Plan (RLSP).

Initial CIS diagrams (BME connectivity). Initial CIS CE (IP layer connectivity). Planned timelines of deployment detailing Real Life Support (RLS) requirements. CIS conference is scheduled to be held between MPC and FCC.

Final inputs to the IER matrix.

Final Coordination Conference (FCC)

Summary of the EP and way ahead

Final minor changes to floor plans, CIS requirements. Resolve Real Life Support Issues. Final Recce.

Final CIS diagrams. Final DCIS and CIS assets availability. The final CIS CE manning list. Final Coordination with LOCAL PTT (and MOD-when applicable) for contracting Commercial (and Military Lines -when applicable)

Refine IERs inputs - if required.

CIS Pre-configuration exercises

Supervision/ coordination as required

Coordination/providing inputs as required

Plan/organise/conduct (NSB) Card assignment and connectivity for the CGS. Detailed information on LANs and NIAC information on VOICE connectivity

Providing inputs as required

Transportation Funding Coordinate with AMCC as required

LOG coordinate with AMCC Provide OCE J4 with all required inputs (dimensions, weights, etc.)

Deployment Supervise Conduct (OPCON on supporting DCIS supporting element)

Execute Provide Admin/Logistic support to DCIS supporting unit as required

Redeployment Supervise Conduct (OPCON on supporting DCIS supporting element until leave

Execute Provide Admin/Logistic support to DCIS supporting unit as required




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APPENDIX 2 TO ANNEX G - CIS PLANNING RESPONSIBILITIES DURING THE EXERCISE PROCESS Event OSE OCE NCSA C2 Entities A/G/N 6

theatre) until leave theatre




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APPENDIX 3 TO ANNEX G - IER MATRIX TO BE UTILIZED IN SUBMITTING THE IERS TO SHAPE J6 OEB




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ANNEX H TO BI-SCD 75-3 DATED: 1 AUG 07

H-1 Releasable to EU/PfP/MD

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ANNEX H. ROLES AND RESPONSIBILITIES OF THE EXERCISE CONTROL STAFF

The purpose of this annex is to identify the roles and responsibilities of key members of the Exercise Control (EXCON) staff as employed by JWC and JFTC. ACO HQs conducting own exercises are encouraged to use the terms, roles and responsibilities in this annex insofar as practicable for purposes of standardisation within NATO. Schematic depictions of notional EXCON structures are shown at Figures 5-2, 5-3 and 5-4 while Figure H-1 illustrates the current JWC EXCON structure and Figure H-2 the current JWC EXCEN structure. The EXCON and EXCEN structures should be tailored to suit the specific requirements of each exercise. Since the ODE, EXDIR and DIREVAL have been described in earlier chapters they will not be included in this annex.

Figure H-1 JWC EXCON Model

1. GENERAL PRINCIPLES a. EXCON has both direction and control functions which allow it to establish the conditions necessary for achievement of the exercise aim and objectives and Training Objectives (TOs) by the Training Audience (TA). As the Chief of EXCON, the EXDIR may steer exercise play – both in direction and tempo – as necessary to enhance learning opportunities, reinforce key lessons and achieve objectives. He also has the authority to terminate, modify or suspend an exercise or parts thereof if concerns for safety of participants or others dictate.

b. In the event that the TA is established in dispersed locations, it may also be necessary for EXCON to disperse its elements to provide the most suitable coverage, assistance and control. These elements normally consist of, at minimum, a Liaison Officer (LO) but may also include Training Teams, Senior Mentors, Role Players, Administrative Support and Umpires. Reliable communication means between EXCON elements is critical for their effectiveness and these may include telephones, radios, email and video-teleconferences.

c. The Exercise Control Staff shall work closely coordinated with forward Trainer-Observers and with the DIREVAL and the evaluation teams. In doing so, the training




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within the exercise may be optimized to reach the aim by repetition of events and injects, which did not lead to the desired (training) effect in the first place.




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Figure H-2 JWC EXCEN Model




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2. SENIOR MENTORS (SMs) SMs are retired Flag/General Officers with extensive Combined and/or Joint operational command experience who are employed in a dual role to support both the EXDIR and the TA Commander at the Joint and/or Component level. Working in close cooperation with the Training Team, the SM advises EXDIR on key major issues pertaining to exercise play and the performance of the TA. The SM provides personal support to the TA Commander, advising on best operational practices, presenting a strategic perspective and facilitating dialogue among the Command Group and between Commanders across the Joint Task Force. The SM programme is managed by HQ SACT’s SCD and SM Coordination Office (SSCO) embedded in JEEA, Training Branch and acts as Contracting Authority.

3. EXERCISE CENTRE Chief Exercise Centre (CHIEF EXCEN). Chief EXCEN manages the central control facility within EXCON, which may include a situation centre, response cells, functional area cells, computer-assisted exercise (CAX1) technical team and LO. His main purposes are to vet, approve and control scripted or impromptu (i.e. ‘dynamic’) play, input information and activity (i.e. ‘injects’) to the TA with a view to provoking a desired reaction or ‘play’, maintaining situational awareness about exercise activity and coordination of the CAX simulation services.

a. Chief of the Situation Centre (CHIEF SITCEN). CHIEF SITCEN maintains the current exercise operational picture and situational awareness and supervises the scenario and MEL/MIL management. He is the central coordinator of EXCEN activity on behalf of CHIEF EXCEN while monitoring the injects made to the TA and their subsequent reactions.

b. Chief of the Scenario (CHIEF SCENARIO). CHIEF SCENARIO develops and manages the scenario upon which the exercise is based. His role permeates throughout the exercise process in close cooperation with SHAPE and the OCE to develop the strategic, operational and geospatial themes. He may assist SHAPE (or he may work alone) in the writing of strategic level documentation such as UN Security Council Resolutions, Ceasefire Agreements between belligerent Parties, NAC Initiating Directives, Strategic Assessments and Activation Orders etc. He develops the portrayal of the Theatre Parties, governments, belligerents and so forth. With technical assistance from geometrics staff, he is the key developer of the geospatial picture, which includes the theatre geography and the theatre data provided in the Scenario Modules.

c. Chief of the MEL/MIL (CHIEF MEL/MIL). CHIEF MEL/MIL develops, manages and coordinates the plan for scripted and impromptu (i.e. ‘dynamic’) exercise play that is input (i.e. ‘injected’) to the TA by EXCON. His role permeates throughout the exercise process by developing storylines, gathering scripting expertise from the TA, building the MEL/MIL database and executing the plan. CHIEF MEL/MIL works closely with the Functional Area Cells who provide subject matter expertise in operational areas to ensure that storylines and incidents make operational and practical sense.

d. Response Cells (RCs). (1) RCs represent subordinate, higher or flanking units and formations, plus other agencies and characters that may operate within, around or even beyond the Theatre of Operations. In the event that one of the main Task Force elements, such as a Component, is not participating as TA then that Headquarters should be represented as a RC. It is best that RCs are staffed by officers actually from those

1. The term “CAX”, as used in this annex may be considered as synonymous with “SYNEX”.




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units, formations and agencies. Examples of the latter would be IO/NGO, local Governmental Organisations and media of all types. RCs provide the continual, direct and realistic interface with the TA through injects, simulation play, reports and returns, press releases, media stories, telephone calls, radio calls and so forth.

(2) RCs representing units and formations subordinate to the TA are known as Lower Control (LOCON). RC representing higher or flanking units, formations and headquarters are known as Higher Control (HICON). For exercises with a TA at the operational level (such as a Joint Force Command HQ), HICON will have to portray organisations such as SHAPE, NAC, MC, UN and so forth. They may have to provide role players for key individuals such as SACEUR, SHAPE COS, NMRs, UN SEC GEN, UNSG Special Representative etc.

(3) White Cell (WC) represents agencies, organisations, institutions and individuals outside of the NATO force structure and outside of the opposing forces structure. The composition of WC must be tailored for each exercise, but typically it may include IO/NGO, local governments at Federal/ Provincial/ Municipal levels, local Police forces and local civilians.

e. EXCEN LO. EXCEN LO assist Chief EXCEN by providing him situational awareness and local control. They may coordinate the activities of EXCON elements that are collocated. They may also provide a conduit for the TA to raise enquiries or correspond to EXDIR.

f. Commander Situational Forces (COMSITFOR). COMSITFOR represents all opposing, neutral or other forces, whether military, paramilitary, rebel factions or otherwise. His forces may be portrayed within the CAX simulation, thus interacting with and impacting upon friendly forces.

4. EXDIR SUPPORT a. Political Advisor (POLAD). The POLAD monitors the real world situation and advises the EXDIR of its impact on the exercise (and vice versa). He may also serve within a RC to interface with the TA in the role of a POLAD or Government official at a higher or flanking formation or agency.

b. EXCON Real Life Support Group (EXCON RLSG). EXCON RLSG provides all necessary real life support (RLS), including accommodation, messing, communications requirements and transportation in close cooperation with the Host Nation. As such, they may implement any agreements in place with the HN such as Memorandum of Understanding (MOU) and Technical Arrangements (TAs). The RLSG must be able to support exercise participants even when dispersed to multiple locations. Generally, the OCE J1/J4/J6 staff would be responsible for planning and resourcing the RLS during the Exercise Process Planning and Product Development Stage and, in accordance with the EXPLAN, may form the core of the RLSG to be placed under control of the EXDIR for the execution phase.

c. Administrative Support Group (ASG). The ASG provides all necessary administrative support to EXCON, and may be dispersed if necessary to various exercise locations. Its main roles include operation of a centralised Orderly Room, processing and distribution of correspondence, maintenance of records and archives, provision of facsimile services and general clerical services.

d. Director of the Visitors and Observers Bureau (DIRVOB). DIRVOB is responsible to the EXDIR for scheduling, coordinating and conducting all visits to the exercise. His tasks may include the conduct of a Distinguished Visitors (DV) Day which likely will require close coordination with the OSE and the HN.




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e. Director of the Press Information Centre (DIRPIC). DIRPIC is responsible to the EXDIR for the production and dissemination of all internal and external public information concerning the exercise as laid down in the EXPLAN. He is the principal spokesperson and release authority for all Public Information. Whilst the VOB is responsible for the general arrangement concerning visits to the exercise, the PIC is responsible for providing suitably qualified media escorts, arranging and supervising interviews etc. DIRPIC is responsible for arranging press conferences and interviews with the Commanders, EXDIR and VIPs as well as ensuring all NATO personnel involved are thoroughly briefed and prepared for facing the media. See Annex J.

f. Training Team (TT). The TT is comprised of subject matter experts (SMEs) who provides staff level mentoring to the TA in functional areas (examples: planning, logistics, communications, force protection, intelligence and so forth). SME are generally – but not necessarily – drawn from non-TA headquarters such as Joint Warfare Centre, Joint Force Training Centre, CIMIC Group North or even from IO/NGO such as the ICRC and UNOCHA. The TT usually acts in two roles simultaneously: as Observers who note the performance and operational practices of the TA, and as Trainers who coach the TA in the execution of their staff duties. Hence they are commonly known as Observer/Trainers (O/T). The TT also includes Analysts that collect O/Ts’ observations and facilitate EXDIR assessment of TA performance and works closely with the SM to advise EXDIR on the performance of the TA.

g. Experimentation Coordination Cell Chief. The Experimentation Coordination Cell Chief (ECC Chief) is responsible for coordination of all experimentation during the conduct of an exercise. The ECC Chief monitors experiment activity and steers and directs the various experiments as required.

h. Medical Advisor. The Medical Advisor advises the EXDIR on a variety of health issues such as casualty treatments, medical evacuation and suitability of HN medical facilities. He should participate as a member of the CPT. He may also serve within a RC to interface with the TA in the role of a medical official at a higher or flanking formation or agency.

i. Umpires. The commander of the umpire organisation is responsible to the EXDIR. Umpires may be used in Live Fire Exercises (LIVEX) to judge the results of individual tactical situations, to enforce the rules and arbitrate on matters arising from the exercise play. They should be recognizable and identified to the TA through vehicle and uniform markings, badges and may employ special procedures to simulate weapons engagements. Umpires should closely coordinate their actions with COMSITFOR.


ANNEX I TO BI-SCD 75-3 DATED: 1 AUG 07

I-1 Releasable to EU/PfP/MD

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ANNEX I. VISITORS, OBSERVERS AND INSPECTORS Policy 1. Invitations to Visitors, Observers and Inspectors must be in line with NATO policy. NATO policy for Visitors and Observers is contained in MC 458/1, NATO Education, Training, Exercise & Evaluation Policy. For the purposes of this Directive the following definitions are made:

VISITORS. Exercise visitors are individuals or small groups (committees etc) from participating organisations or countries who are invited to attend a designated, programmed and possibly pre-scripted, portion of an exercise.

OBSERVERS. Exercise observers are sponsored individuals who attend the exercise with a specific military or diplomatic objective to fulfil. Sponsors would normally be either the Host Nation or the NAC.

INSPECTORS. Exercise inspectors are sponsored individuals who are obliged by treaty to ascertain specific details of an exercise and have been correctly declared in accordance with that treaty.

2. Visitors to NATO military exercises should be encouraged to attend with the following limitations:

a. Attendance has to be controlled to avoid impeding the realism of the exercises; it should not impair the conduct of the exercise and the training.

b. Accommodation, financial and administrative factors may limit the number of visitors.1

3. As per the definition above, if forces of a non-NATO nation or any extra-NATO organisation are participating in a NATO military exercise, that nation or organisation should be considered as a NATO nation/NATO entity with respect to participating in any visitor programme. The sponsorship and control of all the categories of visitors listed below is an OSE responsibility; in certain circumstances, this responsibility may be delegated to the OCE.

Visitor Categories 4. The following categories of visitors have been established in MC 458/1 for NATO exercises:

a. Category 1. Distinguished Visitors such as:

(1) Heads of State or Government.

(2) Members of Royal Families.

(3) Senior Politicians (e.g., Prime Minister, Minister of Defence).

(4) Senior Representatives from International Non-Governmental organisations (e.g. UN, OSCE, EU, ICRC).

(5) EAPC (ambassadorial level).

(6) Military Committee (EAPMC/CHOD level).

(7) NATO Commanders of SC, JFC and CC level and their equivalents from EAPC

1. The responsibilities for funding the costs of hosting Visitors, Observers and Inspectors to

ACO exercises should be identified during the EP.




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nations.

b. Category 2. Senior civilians and senior military officers from NATO HQs and NATO/Partner nations not covered under Category 1, who are directly concerned with PfP issues e.g. PCC or PMSC/MCWG representatives connected with the exercise, participating forces, or planning HQs. This includes those from a superior HQ who are specifically tasked to evaluate/and analyse aspects of the exercise planning and/or execution.

c. Category 3. Senior military officers of national participating forces or HQs not covered by Categories 1 or 2.

d. Category 4. Observers and inspectors participating in accordance with an Arms Control/agreement, i.e. the CFE Treaty and VD 99. During their mission, observers and inspectors will be granted the privileges and immunities in accordance with the Vienna Convention on Diplomatic Relations.

e. Category 5. Representatives from international or Non-Governmental organisations, or non-NATO/non-PfP nations (e.g. Mediterranean Dialogue Countries and ICI) not covered under Categories 1.

Allocation of Visitor Spaces 5. The total number of visitors invited to attend any NATO military exercise and the allocation of invitations is a matter to be decided by the Host Nation, in consultation with the national authorities of other nations participating in the exercises/manoeuvre, the OSE and OCE. The Host Nation should be provided with the names and positions of potential visitors to be invited by the OSE/OCE unless otherwise indicated. Host Nation approval should be received before the invitations are extended.

6. Nations with units allocated to a NATO military exercise must coordinate their requirements for national-sponsored visits to those units with the OSE/OCE early. Host Nation approval must be granted before such visits take place. There is to be no cost to NATO or the Host Nation for such visits. The VOB is to be provided with a detailed itinerary for all such visits and informed of any deviation from said itinerary.

7. A VO policy for an exercise should be set in the EXSPEC and should be specified in more detail in the EXPLAN. The following should be included:

a. Highlights of particular interest to visitors.

b. The proposed allocation of visitor numbers.

c. Security classification required.

d. Date by which requests for visitor spaces should be submitted.

e. Date by which visitor invitation replies should be received.

8. The OSE must judge whether an exercise justifies the inclusion of a Distinguished Visitors Day (DV Day). Should a DV Day be deemed desirable, a proportion of the overall number of exercise visitors must be allocated to the DVs. It is inappropriate to expect the Host Nation to accept an increased number of visitors to accommodate a DV Day.

Request for Visitor Allocation 9. If called for, requests for NATO sponsored visitor spaces should be forwarded to the OSE/OCE for coordination with Host Nation/s through the normal command channels unless stated otherwise in the EXSPEC. The request should include:

a. Exercise name and dates.




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b. Activities to be visited or witnessed.

c. Number of spaces required.

d. Rank, number, nationality, service/civilian appointment and security clearance of each visitor.

e. Accommodation and transportation requirements.

Arrangements for Visitors 10. For NATO sponsored visitors, the OSE/OCE is responsible for:

a. Forwarding relevant instructions, materials, etc, concerning the exercise, either direct to visitors or through their headquarters or sponsor agency.

b. Planning itineraries (once in theatre) - if needed.

c. Arrangements for reception.

d. Production of “Briefing Packages”. These should include information on personal protection requirements such as medical prophylaxis, mine recognition, emergency telephone numbers etc)

e. Accommodation.

f. Local Transportation. The provision of local transport within the exercise area for NATO-sponsored visitors, when required, is the responsibility of the OSE/OCE (see above). This transport can come from OSE/OCEs headquarters resources, commands/units participating in the exercise or Host Nation resources. If this cannot be provided, it is essential that this is known during the exercise planning phase so that visitor numbers can be kept to a minimum. In order to ease the OCE/OSEs problems, visitors from headquarters within reasonable distance of the exercise area should come with official transport for their use during the exercise. Exercise budgets normally have very limited funds available for the hire of extra vehicles.

g. Designation of sponsors for the visitor, if necessary and practicable.

h. Visitors or their parent HQ or agency are responsible for travel arrangements to and from a point in the exercise area designated by the OCE/OSE. The costs of the NATO visitors are borne either by the visitors or their parent headquarters or agency. Any modifications to this policy for the exercise will be issued by the OSE/OCE.

i. Hospitality Arrangements. (i.e. Vin d“Honneur or a meal with drinks, coffee) for NATO visitors should be agreed upon by MODs and NATO headquarters concerned prior to the issuance of invitations. Whenever possible, this will be planned during the Planning and Product Development Stage and the policy decision presented no later than the FCC. It is unusual for NATO funds to be expended for the entertainment of NATO personnel however senior. Planners will have to look to the Host Nation if they perceive the need for special entertainment activities or functions.

Observers at NATO Military Exercises 11. In accordance with the Organisation for Security and Cooperation in Europe (OSCE) Vienna Document 1999 (VD 99) on The Negotiations on Confidence and Security Building Measures (CSBM); the number (up to 2 for each participating state) name and ranks of all OSCE observers who accept the invitation from the “Host State” should be communicated as soon as possible to the OSE/OCE to permit timely planning of suitable arrangements.

12. Responsibilities of the Host State regarding OSCE observers are detailed in Section VI and Annex IV of the VD 99 and amongst other items include:




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a. At the commencement of the programme a briefing on the activity.

b. Transportation (to/from/in the area of the activity) lodging, food and, where appropriate, medical care.

c. Provisions for timely communication with observers’ embassies.

Note: The Host State may delegate some/all of its responsibilities as host to another nation engaged in the military activity on the Host State’s territory. In such cases, the Host State will specify the allocation of responsibilities in the invitation.

13. The OSE/OCE is responsible for providing one or more contact officers fully conversant with the exercise on whom nations can call for assistance when dealing with OSCE observers. Nations are encouraged to include the contact officer(s) as part of the escort team provided for the observers throughout their visit to the forces involved in the exercise. Host States are responsible for the financial arrangements related to OSCE observers as outlined in the VD 99. No commitment should be made from NATO budgets.

14. During their mission, OSCE observers are to be granted the privileges and immunities accorded to diplomatic agents detailed in the Vienna Convention on Diplomatic Relations. Therefore DISTAFF/OCE/participants must to be prepared to accommodate observers from nations whose interests may be at variance to those of the Alliance.

Security Guidance for the Provisions for CFE Inspectors and OSCE Observers 15. In addition to the observers attending under the auspices of the VD 99 inspectors authorised under the CFE Treaty may be attending. The major obstacle to be solved in determining the provisions for CFE inspectors and VD 99 observers (I/Os) lies in the conflict between the need to protect classified information and the intention to reveal as much as possible in the spirit of “confidence building’. However both include Operational Security provisions to protect legitimate security interests.

16. NATO security regulations prohibit the release of any classified information outside NATO, save on the explicit authority of the NAC or MC. These regulations have to be adhered to when dealing with CFE/OSCE I/Os. On this basis, protective measures should include:

a. Determining what information is likely to be sought and establishing what is and what is not “classified” at any given time.

b. Ensuring that exercise participants at all appropriate levels know exactly what is unclassified and may therefore be seen or heard by CFE/OSCE I/Os.

17. The OSE/OCE may wish to consider producing a comprehensive catalogue of items which should not be revealed under any circumstances or discussion of which should be avoided. These could include:

a. Classified weaponry, and classified performance data

b. Classified tactical techniques

c. Details of communication links, systems and protective measures

d. Classified aspects of the exercise scenario.

18. When appropriate this catalogue could go under the Security Annex of the EXPLAN and be subject to limited distribution according to its classification.

19. For the actual conduct of CFE/OSCE I/Os visit the OSE/OCE should consider the following points:




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a. Establishing early liaison with the security and/or Arms Control authorities of the Host State)(s)

b. Ensuring that routes taken by I/Os to and from the exercise area and any premises used by them have no security sensitivity.

c. Providing the I/Os with permanent, fully briefed escorts conversant with the unclassified parameters of the exercise.

d. Bringing to the attention of all, especially escorts, the NATO guidance for official contact with I/Os.

Non-NATO/Non-Partner Observers at NATO Military Exercises 20. A non-Partner nation (e.g., Mediterranean Dialogue, Istanbul Contact Initiative countries or any other potential troop contributing nations) may apply or be invited by the Alliance to send observers to a NATO military exercise. In such cases, the SCs are to forward the nation’s application or the SC’s proposal to the MC for endorsement and NAC approval. If a NATO subordinate commander receives such a request, the application has to be forwarded via ACO. Only after NAC approval is granted may a NATO commander enter a dialogue with a non-NATO/non-Partner nation on its possible involvement in a NATO military exercise.


ANNEX J TO BI-SCD 75-3 DATED: 1 AUG 07

J-1 Releasable to EU/PfP/MD

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ANNEX J. PUBLIC INFORMATION (PI) CONSIDERATIONS General 1. It is the shared responsibility of OSE/OCE through the Public Information offices to ensure the complete, accurate and timely availability of information concerning both the exercise and the activities of all participating forces. The PI policy chosen for an exercise must be based on the Alliance’s current PI policy, and must be consistent with the policies of the Host Nation, participating nationals, operational security and the privacy of the personnel involved.

2. The OSE will define in the Exercise Specification (EXSPEC) the appropriate level of PI activity and any exercise specific PI objectives. Commanders at all levels must ensure that PI planning parallels exercise planning during the development of the EXPLAN. PI goals and objectives will be taken into consideration so as to assure that the following are achieved:

a. Timely and accurate information is made available so that the public and their Governments understand the facts and issues associated with the exercise.

b. Requests for information on topics within the purview of NATO are answered in as timely a manner as possible, adhering to the following guidelines:

(1) PI Officers (PIO) will limit their comments to information that is directly related to their headquarters’ responsibilities. Requests for information that fall under the responsibility of individual nations will be referred to the appropriate Ministry of Defence (MOD) Information Office.

(2) Requests for information of a purely political nature will be referred, without comment, to the NATO HQ Public Diplomacy Division (PDD).

(3) Information should be provided unless its release is precluded by current security classification, policy or national restrictions.

(4) Information should be provided without censorship or embellishment. All bona fide news media agencies should be provided equal access to information.

(5) Information should not be classified or otherwise withheld to protect NATO from criticism or embarrassment.

Public Information (PI) Policy 3. According to MC 457 and AD 95-1 the PI Policy categories are:

a. Active Public Information (PI) Policy. A policy that attempts to stimulate media/public interest about an issue or activity for the purpose of informing the public. Interest is stimulated, for example, by press advisories, news releases, personal contacts, press conferences or other forms of public presentation. This policy is applied to on exercises forecast to provoke significant or broad media interest.

b. Semi-Active Public Information (PI) Policy. A policy which seeks to inform the media/public without intending to expand or intensify media/public interest. The aim is to prevent uninformed speculation and to assist in the long-term management of any controversy surrounding NATO’s military activities. A semi-active approach begins with a news release or interview statement that provides basic information. The PIC Director must then be prepared to respond to possible subsequent queries, but should not pursue an openly aggressive PI agenda.

c. Passive Public Information (PI) Policy. A policy that does not attempt to generate




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media public interest in an issue or activity. However, when the passive policy is in effect, authorities must be prepared to respond to media queries about the issue or activity - to make brief statements to avoid confusion, speculation, misunderstanding or false information that may prevail if media queries go unanswered.

4. Unless otherwise directed, the PI policy for NATO military exercises is “Active.” In formulating the PI policy, objectives and supporting arrangements for an exercise, the OSE/OCE should take into account the following factors:

a. The desirability of keeping the public informed of the important role of exercises in maintaining an effective and credible deterrent posture.

b. The possible impact on the political situation.

c. Security requirements.

d. The potential visibility of the exercises:

(1). Whether little or no public and press attention would develop unless active Public Information policies and arrangements brought the exercise to the notice of the press and public.

(2). Whether public and press awareness is almost certain to develop in spite of passive information policies.

g. The operational concepts being exercised: e.g. those possibly involving public and/or political sensitivities (CBRN, Counter Terrorism, CIMIC etc).

h. Special considerations applicable to initial exercise press releases for manoeuvres to be notified under the terms of the Vienna Document.

5. Consideration of these factors will also determine the extent to which media and public interest will be stimulated.

6. There are occasions where it is unavoidable to publicise an exercise, yet desirable to limit media interest by keeping a low profile. In this circumstance the "semi-active" approach allows the PIC Director to act as the military information source in the public discussion, but not as an agenda-setter in that discussion. The release of a news statement, or a brief comment in an interview, will identify the PIC Director as the source of additional information. Once the initial release is made, the PIC Director should limit information availability to responses to queries from those with an interest in the specific issue. There should be no effort to arouse interest where it does not already exist.

7. A passive PI policy is purely reactive. The decision to provide assistance to a media representative who has expressed an interest in covering an exercise under a passive PI policy should be made on a case-by-case basis and in consultation with appropriate NATO and national authorities.

Approval Process 8. Consistent with current policy (MC 458/1and AD 95-1) the release of any information during exercises must be in accordance with the overall PI guidance issued by the North Atlantic Council through NATO HQ’s Public Diplomacy Division (PDD). The PI Office of the OCE is responsible for developing, in close coordination with the host nation, the draft Initial Exercise Press Release (IEPR). NATO’s International Military Staff, through its Public Information Adviser (PIA/IMS) is responsible for providing military PI guidance and for coordinating the military and political PI aspects of the exercise through the Military Committee and then to the political decision making bodies of the Alliance. After OSE and SCs approval the public information policy and draft IEPR will therefore be forwarded to




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PIA/IMS, who will submit it for approval to the Military Committee (MC) and the Political Committee (PC) or the Political Military Steering Committee (PMSC), according to the category of the exercise. Exercises falling under the following categories will require such approval:

a. NATO-wide and regional military exercises of such a size and extent that they are likely to draw international media attention.

b. Specified deployable Forces LIVEXs (CJTF, NRF etc).

c. Reaction forces exercises.

d. Exercises with participation of the EU/PfP or/and MED Dialogue nations

e. Exercises with potential political sensitivities.

9. The draft IEPR and proposed PI policy should be transmitted to the office of the PIA/IMS at least nine (9) weeks prior to the proposed press release date. Adherence to the specified time frame is essential to permit requisite coordination between the IMS and the appropriate NATO committees

10. When MC, PC or PMSC approval is required for the PI policy, but not for the complete EXSPEC, the following procedure and timetable will apply:

a. The PI Office of the OCE prepares and coordinates the proposed draft IEPR.

b. When the OSE is not an SC, the draft IEPR must be submitted to reach the SC PIO at least 10 weeks prior to the intended IEPR date or STARTEX, whichever is earlier. The exact date of STARTEX must be defined in the EXSPEC and in the EXPLAN.

c. The SC PIO, in accordance with MC 458/1 and AD 95-1 will submit the draft IEPR to the PIA/IMS for MC and PC or PMSC approval at least nine weeks prior to the release date for the IEPR or STARTEX, whichever is earlier.

d. If at any time in the approval process it is considered necessary to change the public information policy, the OSE is to request approval for the change, through the SC if applicable.

e. Where MC, PC or PMSC IEPR approval is required, the IEPR content should be sufficiently detailed for the formulation of a national reaction to the exercise’s political implications.

Public Information Planning 11. Public Information planning for an exercise should normally start at the early stages of the exercise planning and cover the following subjects:

a. Concept and Specification Development Stage. The PI policy and objectives developed and included in the EXSPEC to facilitate the conduct of future PI events in terms of manning and funding.

b. Planning and Product Development Stage.

(1) Funding requirements for the Allied Press Information Centre (APIC) establishment, rental, communications, etc.

(2) Preparation of the PI annex in the EXPLAN to include PI activities, PI policy, messages, etc.

(3) Preparation of pamphlets and brochures if required.

(4) Site survey (i.e. for LIVEXs) to the host nation for the APIC location, etc.




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(5) Preparations for the APIC establishment, coordination with the host nation on equipment, manning, etc.

(6) Preparation, submission of the IEPR to the SC and IMS for approval (10 weeks prior to STARTEX).

Releasing Information Concerning NATO Exercises 12. The first announcement through NATO channels of a NATO military exercise will be made in the Initial Exercise Press Release (IEPR) and based on the approved IEPR text. Thereafter normal NATO News releases will be issued by the OSE or OCE PI Staffs, until the exercise APIC is activated under the APIC Director.

13. The OCE is encouraged to issue press releases and communiqués describing the progress of an exercise in accordance with the OSE/SACEUR’s approved policy. If the scope of the exercise is limited, it may be considered desirable to make a summary release after the exercise, or to issue the IEPR only. Information copies of all press releases and communiqués issued during the exercise are to be forwarded promptly to the SC PIO responsible for monitoring the exercise PI activity and also included in a Public Information assessment which will be used to inform the Final Exercise Report.

14. PI Planners are to ensure that the PIC has an emergency response plan available for dealing with accidents and casualties. It is vital that participating nations have informed the exercise PI planners of any restrictions on the release of information in such circumstances. Care is to be taken that NATO commanders coordinate closely at all times with national authorities before the release of information that could be considered nationally sensitive..

Planning Considerations 15. The policy governing the release of information by NATO commanders concerning accidents and casualties during operations or exercises is outlined in MC 457 and AD 95-1. With PI objectives forming part of the EXSPEC it is possible to mould an EXPLAN to ensure an exercise demonstrates to the media and the public at large, the cohesion and strength of the Alliance. Also an exercise can be planned to stimulate public support for and comprehension of the energy and efforts expended to enhance the effectiveness and credibility of NATO to remain a reliable guarantor and stabilising factor for peaceful coexistence.

16. It is desirable that senior JFC Commanders and other senior NATO officials make public statements that will serve to increase the confidence of the public in the conduct of NATO military affairs. Clear guidance must be obtained before such statements are made.

17. The conduct of a specific NATO exercise may be of political concern to one or more of the nations involved or to the Alliance as a whole. The PI policy and arrangements for an exercise must take account of such developments and be in consonance with the political conditions prevailing at the time the exercise is conducted. This is particularly important if the exercise takes place in a geographical area that has already attracted the attention of the press and public, or if an exercise is in the same time frame as one or more national, multi-national or NATO exercises.

Security 18. PI planners must ensure information regarding exercises, which might be detrimental to the security interests of any member nation, participating nation or the Alliance as a whole, and particularly detailed timings and exact locations facilitating intrusion, is denied to unauthorised parties. PI activities must not:




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a. Compromise current or future allied operations.

b. Compromise intelligence activities or deception plans.

c. Reveal Allied military weaknesses or vulnerabilities.

e. Reveal Allied knowledge of weaknesses or vulnerabilities of potential adversaries.

19. In addition the PI plan must provide a thorough briefing to media representatives concerning the security ground rules. (As a general rule, they are not to be permitted in areas containing classified information. Media representatives are to be escorted at all times in exercise areas. Moreover, host nation restrictions concerning aerial and surface photography are to be strictly adhered to.)

LIVEX Considerations 20. Maritime exercise planners should assume that any exercise could attract public attention for many reasons. In the case of major exercises the deterrent value of the exercise is degraded without an active public information plan. Amphibious exercises will require careful PI planning at beaches with sensitive environmental areas.

21. Land exercises, by their very nature, frequently require public announcements sooner than naval or air exercises. The necessity for previous concentration of major formations, usually movements of forces by rail or road, warnings to local populations, and the possible negotiations for land, make it evident that an exercise is to be held. Therefore, there is no particular security advantage in withholding this information.

22. Air exercise public information planning should be determined primarily by the nature of the individual exercise. Increased takeoffs and landings, disruption of civilian flights and low-level flying will generate public interest and other concerns. PI arrangements should include coordination prior to the exercise with the appropriate national and international PI authorities.

Command Post Exercises 23. By their nature CPX have a low visibility. Therefore a semi-active PI policy is deemed more appropriate, unless events such as involvement of civilian authorities/agencies (NGOs etc), use of civil or new military infrastructure, deployment of command post and signal units, are involved.

Operational Concepts 24. The following operational concepts, inter alia, should be considered:

a. Countering Weapons of Mass Destruction (WMD).

(1) When CBRN or Theatre Missile Defence capabilities are being exercised a clear distinction should be made between whether the exercise is a LIVEX or CPX.

(2) It is almost impossible to hide CBRN defensive training. It should be presented as a normal exercise activity.

(3) Should these exercises include simulation of enemy explosions or chemical attacks, photographic coverage may be permitted. It should be stressed that the devices used are intended for simulation only.

(4) CPX incorporating CBRN events are ideal for training PI personnel from the Training Audience in handling this very sensitive topic. As a general rule, the exercise press release should abide by the sensitivity of the subject and, more specifically, only address hostile WMD use after coordination and with the authorisation of the victim nation.




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(5) Planners should ensure that guidance is sought on all likely areas of media interest to ensure the APIC staff is fully briefed on Alliance PI and Host Nation policy concerning WMD, TMD and CBRN issues.

b. CIMIC Activities.

(1) Again, a clear distinction should be made between LIVEX and CPX.

(2) Exercising CIMIC is an excellent vehicle to demonstrate defence preparedness, co-operation and host-nation support. Specific PI objectives and plans should be devised and coordinated to emphasise this aspect of an exercise.

(3) On the other hand, some aspects are less palatable (evacuation, requisition, mass burials). The possible negative implications of those aspects should be carefully considered by exercise planners and coordinated with the Host Nation.

c. Invitations to Media Representatives.

(1) Plans for the attendance of media representatives should be written into the Public Information Annex to the EXPLAN. Facilities for these representatives must be planned for by OCE or the Host Nation.

(2) There should be no interference with the plans for observers, but plans for the latter should be coordinated with plans for media representatives.

(3) If a decision is made to invite media, invitations must be accompanied by sufficient information about the exercise to stimulate interest.

(4) In cases where it is necessary to issue invitations in advance of the initial exercise press release, the invitation should not be extended formally. This informal invitation should also stipulate that details of the exercise, except as already announced in annual calendars, are not to be published prior to the officially established time.

Allied Press Information Centres (APICs) 25. The APIC establishment is the responsibility of the OCE in coordination with the HN. It should be located as near to the centre of exercise activity as practicable, must be easily accessible to media representatives and at a location from where reporters will be able to file their stories in a timely manner. It is to provide the media with timely and accurate information on exercise issues, events and activities and to provide other support, advice and assistance as necessary. An APIC should provide the following minimum services.

a. Press kits.

b. A daily press release (news and policy permitting).

c. Picture and video coverage of the exercise.

d. Adequate fax, e-mail and telephone connections to the nearest civilian communication system for use by media personnel.

e. Transport for media correspondents to facilitate visits to points of interest and PI activities in general.

f. Further, the PIC/APIC should have adequate ground transportation at the immediate disposal of the PIC/APIC Director (The use of any form of military transport by civilians must be cleared with the providing nation. Some nations have stringent regulations concerning civilian indemnity etc.)

g. Briefing/escort officers to brief, guide and direct media representatives. These




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officers should be fluent in English and the language of the Host Nation, If possible, and should be intimately familiar with the exercise setting, events and area.

h. Administrative services to handle details of arrival and departure of correspondents. i. Consideration should be given to providing language translation support.

j. Media analysis capabilities should be available to inform the exercise director, the SC PIO and the commanders about exercise media reporting.

26. PICs/APICs will not normally be collocated with visitor or protocol centres nor will APIC staff members be assigned duties involving visitors.

27. For major exercises the APIC Director should be considered for inclusion on the EXCON as detailed at Annex H.


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ANNEX K. FORCE PROTECTION (FP) CONSIDERATIONS Introduction This annex provides an overview of the additional EP planning and execution activity with respect to Force Protection (FP). The primary Reference for FP guidance is Bi-SC Directive 80-25, Force Protection Directive, dated 1 January 2003.1

1. Responsibility for the provision of appropriate FP during the execution of an exercise and associated conferences lies jointly with the OCE and the HN. They are to develop a joint plan for the provision of adequate measures for FP. A preliminary plan must be in place to cover the initial planning conference. A comprehensive plan will follow early in the exercise process (EP).

2. Each OCE will issue FP guidance for the exercise within his responsibility. This guidance is to be:

a. Prepared by a syndicate established by the exercise planners encompassing representatives from SNs and the HN.

b. Embodied in an annex to the EXPLAN.

c. Used as the foundation for the development of HN MOUs/TAs.

3. A MOU/TA between the OCE, on behalf of the SNs, and the HN must be developed at the beginning of the EP. Such arrangements are to acknowledge that effective FP support is to be provided by the HN during each phase of the exercise, including post-exercise activities.

4. The following steps are to be taken in developing the FP annex of the EXPLAN:

a. OCE to nominate a POC responsible for all FP matters.

b. SNs are to identify FP requirements to HN and OSE/OCE.

c. HN is to inform SNs and OSE/OCE of its FP capabilities and limitations or restrictions.

d. OCE develops a comprehensive FP plan in coordination with HN.

5. Exercise conferences and meetings are an integral part of the EP. Therefore, effective FP measures are to be taken into account for the conduct of such activities. Consequently, the planners responsible for conferences and meetings are required to:

a. Select, where possible, a secure/protected military facility as the conference venue. If there is no alternative but to use civil facilities, the following aspects are to be considered in concert with current threat assessment and alert status:

(1) Provision of appropriate security brief in preparatory papers and at the beginning of the conference/meeting.

(2) Security of the facilities (including documents, physical security during preparatory and overnight periods) to be provided in co-operation with HN.

(3) Personal security of participants, including accommodation and

2. The content of this annex is taken from Change 4 of the Exercise Planning Guide and is

used as a place-holder until the SHAPE Force Protection contribution to this Bi-SC Directive can be provided as a NATO Unclassified Annex.


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dining/refreshment facilities.

(4) Arrangement of isolated conference rooms, including evacuation requirements.

(5) If appropriate, the use of civilian attire during the conference/meeting.

(6) The provisions of local intelligence threat assessment on the exercise area from NATO and HN resources.

(7) Lowering the public profile of the event, including signs, programmes, flags etc.

(8) Provide for local/HN emergency medical services' capabilities.

b. Avoid, where possible:

(1) Any media announcements of the conference/meetings.

(2) Group travel to and from the conference/meeting.

(3) Predictable or regular transit routes.

(4) Significant programmed assemblies outside the facility (e.g. group photographs).


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ANNEX L. HOST NATION SUPPORT CONSIDERATIONS Introduction 1. This Annex provides an overview of Host Nation Support (HNS) considerations to be addressed during the EP when an exercise venue is other than a NATO HQ. The primary Reference for Host Nation issues is AJP-4.5(A).1 This AJP provides HNS guidance to those involved in support planning for operations and exercises. The Decision 2. The decision on who will host an exercise will be made at SHAPE and normally done during the exercise programming. When applicable, a criteria list for HNS should be available for nations prior to commitment.

3. All NATO and Partner nations should be invited to any NATO military exercise or related activities included in the Euro Atlantic Partnership Work Programme (EAPWP).

4. At least three years in advance and in conjunction with the Bi-SC approval of the MTEP, SHAPE will send a letter to the Nations and PCC requesting volunteers to host NATO and NATO/PfP exercises. Additionally, PCC will send a letter to nations asking for volunteers to host NATO/PfP exercises informing them of the minimum requirements necessary. After receiving the offers from the PCC and nations, SHAPE should evaluate the offers from a Pol/Mil perspective and as one package. As a part of the evaluation, SHAPE should receive guidance from the OSE/OCE on the most appropriate selection of Host Nation (HN). SHAPE will then select the HN. If an exercise remains without a clear host nation one year prior to the exercise then a second request letter will be issued to the nations. If an exercise still requires a designated host nation six months prior to the exercise, then SHAPE will need to decide whether to cancel the exercise or continue to obtain a host nation. Ideally, at least two years before the exercise, the HN for the NATO/PfP exercises should have been selected and inserted in MTEP and EAPWP. SHAPE will provide all official interactions with the nations through SHAPE National Military Representatives (NMRs) and PCC. This official interaction will normally be in the form of a letter to all NATO/PfP nations capable of providing host nation support, which will list exercises requiring host nation support. The OSE/OCE are encouraged to establish unofficial contacts, when desired, to solicit support of a particular exercise. Nations should provide their offer to host a particular exercise to SHAPE by letter from their nation directly, from the SHAPE NMR/PCC, or via the OSE/OCE.

Legal Framework 5. The first stage in developing HNS for an exercise is the establishment of a legal framework. If an exercise is due to take place in the territory of a NATO or PfP member state, the key document will be the NATO SOFA. All NATO members are bound by the provisions of the NATO SOFA. Furthermore, the PfP SOFA applies the provisions of the NATO SOFA to PfP members and therefore all PfP members are also bound by the provisions of the NATO SOFA. The NATO SOFA sets out the conditions governing the presence of military forces on foreign (other members states) territory.

6. Other important documents include the Paris Protocol, the Additional Protocol to the PfP SOFA, and the Further Additional Protocol. Applicability of these documents is dependent upon the HNs ratification of each document.

7. Thereafter, consideration must be given to the existence of a standing HNS MOU with the HN. Many, but not all NATO members have concluded standing MOUs with SHAPE.

1. AJP-04.5(A), Allied Joint Host Nation Support Doctrine and Procedures, May 2005.




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Any such standing HNS MOU is supplementary to the NATO SOFA, and contains general principles covering all operations and exercises on the territory of the HN. If there is no standing HNS MOU between SHAPE and the HN, then a specific HNS MOU must be concluded between SHAPE and the HN.

8. Supplementary agreements, such as Technical Arrangements (TAs) and Joint Implementation Arrangements (JIAs) may also be concluded stipulating the requisite details for the exercise.

9. If an exercise will take place out of area, in other words outside the territory of NATO or PfP members, a Status of Forces Agreement must be concluded between NATO HQ and the HN. Thereafter, an MOU will be required to supplement the general provisions of the SOFA.

HN Deliverables 10. The HN deliverables include:

a. Standing or Exercise HNS MOU. The format and normal content of the standing HNS MOU will be found in AJP-4.5(A). The MOU is the formal undertaking by the Host Nation to accept the exercise on its territory whilst also setting out the general principles and conditions concerning HNS. In the absence of a Standing HNS MOU, a specific exercise HNS MOU should be concluded based on the template standing HNS MOU in AJP 4.5(A). This MOU will define any limitations placed on the exercise and its participants. It is thus essential that this document is handled with the utmost care and equally is staffed promptly.

b. Technical Arrangements (TAs). Following the signature of a standing or exercise HNS MOU the next step is the TA. This document contains specific practical details on HNS; it covers the whole spectrum of the support of the exercise. A TA should be signed between the appropriate NATO JFC and MOD of the Host Nation. AJP 4.5(A) contains the template for TAs.

c. Joint Implementation Agreements (JIAs). The Joint Implementation Agreement(s) (JIA) are contracts that obligate the signatories financially and to provide resources. They must detail costs and how support requirements will be provided to forces. Signatures by appropriate NATO Commanders/SN(s) and the HN will be required prior to implementation. JIAs will normally be published as stand-alone documents. In some cases particularly for small or medium level exercises, it may not be necessary to produce a JIA. The SORs would then stand alone or be annexed to the TA as long as the financial obligations are clear.

11. At the IPC SNs will be provided with one signed copy of the MOU and will be given a sample Statement of Intent (SOI) and Note of Accession (NOA). SNs are expected to sign and return the SOI or NOA NLT 30 days after MPC as official declaration of their intent to participate in the exercise under the legal terms of the MOU.

Organisation 12. The arrangements for planning the HNS may require either a stand-alone syndicate with strong legal lead (most normal for PfP and out of area activities) or a dedicated sub-group of the Logistics Syndicate. It may be necessary to form a specialist cell to address HNS issues ahead of the formation of the CPT. This group will then form the heart of any syndicate/ logistics sub-group formed during the IPC.

13. It could be advised to start a so-called Joint HNS Steering Committee (JHNSSC) see AJP 4.5(A). Generally once the MOU has been concluded, the NATO Commander and the HN will establish a JHNSSC to develop the necessary amplifying arrangements regarding




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HNS. A JHNSSC should be established in any event no later than the conclusion of the Main Logistic Planning Conference (MLPC). This JHNSSC can be continued during the exercise which optimises the contact with the HN related to HNS issues.

Process 14 The starting point for any HNS will be a review of the SOFA and any extant HNS MOU and any national caveats placed upon the MOU. Once complete, channels between the OPR and the national OPR should be formally opened. If desirable the HN should then be invited to host either the ESC or a Recce.

15. The results of such visits should be recorded and made available to all interested parties (care must be taken to ensure released assessments are not contentious – particularly if they are to be released to potential Troop Contributing Nations (TCNs)). If the HN is a relative newcomer to hosting NATO exercises, a great deal of liaison work will be required. It may be useful to use intermediary contacts such as PfP liaison offices or the NATO lead Defence Attaché in the HN capital. Resources will have to be allocated from the outset to cover the costs of choosing a distant or relatively inaccessible HN.

16. The MOU and the Technical Arrangements are to have been approved and signed by the end of the Final Coordination Conference. Any delay on this timing has serious impact on real life movement planning, etc.

Guidance 17. Guidance for HN includes:

a. General Remark. The development of the necessary agreements needs negotiation with all involved nations. Often nations need parliamentary agreements for the required documents so it should taken in account that this is a very time consuming process.

b. The Decision. Occasionally a number of nations will apply to host a particular exercise. SHAPE may need to seek NATO HQ/ ACO International Affairs Advisor advice on the implications of the various bids. If there remains more than one candidate nation, SHAPE will have to balance the nation’s military, infrastructure and bureaucratic capabilities against the cost of supplying deficient items and the likelihood of delays brought about by inefficiencies and logistics failures. Often the political gain will outweigh the military pain.

c. Exercise Specification Conference (ESC). If the decision process has been relatively simple, the Host Nation may have been identified prior to the ESC. Consideration should be given to combining the ESC with a Host Nation Recce. This ensures that EXSPEC drafting process can be informed by the nation’s views and on the spot assessments of the facilities etc on offer. This procedure allows the key syndicate leads at the IPC to have firsthand knowledge of the issues to be addressed at the start of the Planning and Product Development Stage.

d. Legal Framework. The documents which together establish the legal framework also delineate the responsibilities of NATO, the Host Nation and the troop supplying nation with respect to the collective presence in a country and the responsibility for the health, safety and behaviour of an individual. It is suggested that if there is any doubt as to the existence or the content of these documents that LEGAD staff are approached.

(1) These documents also cover issues such as indemnity, insurance and taxation. Host Nations are sometimes slow to inform the local representatives, customs, immigration and other organisations of the existence of an exercise and the




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modified procedures required when handling visiting military personnel, equipment and acquisitions.

(2) It should be noted that the NATO/PfP SOFA usually only applies for personnel attending the exercise. Special arrangements, such as military visas (payment often required) etc will need to be authorised by the HN ahead of any travel. It should be noted that most visas only last 3 months.

18. JWC/JFTC Hosted Exercises. Where the exercise is to be held at JWC/JFTC, Host Nation issues are likely to be few if any. However the process of deciding who provides what, when and at what cost to what budget is applicable – the Reference may prove useful as these processes are developed.

Expectations of Host Nations when Hosting NATO Exercises 19. The HN must be aware of the implications of hosting an exercise. The HN must fully understand and appreciate all the expectations and must be realistic as to the extent of HNS it can offer; all aspects of the support and services required and offered must be coordinated. The HN must understand that it should not expect a financial gain from hosting the exercise and that all governmental taxes, charges duties fees and tolls should be waived for NATO. In addition, the HN should accept that all nations participating in the exercise should be treated as NATO-led forces. The NATO Commander should make a declaration that all nations participating in the exercise are considered as NATO-led forces for the purposes of the exercise. Therefore they should be granted the same rights, privileges and immunities as those enjoyed by NATO forces. This ensures standardisation and parity of dealing. There must be full co-operation and transparency from both NATO and the HN at the outset. The reference policy document provides a framework for that expectation and should represent a common starting point for the HQs when soliciting offers from nations and developing exercise MoUs. For further detail on funding see Annex G.

20. NATO is not a signatory to arms control treaties/agreements, and therefore the responsibility for complying with arms control treaties/agreements falls to the state on whose territory forces are deployed (the host state) and on the state(s) deploying those forces. However, it is in the Alliance’s interest to assist and advise its host states, at least to assure appropriate timely compliance, operational security and force protection, and to coordinate a common approach among Allies. Exercise planners should refer to MC 453, Arms Control and Alliance Military Activity and ACO Directive 80-75, Arms Control Activities and Procedures, for more guidance in this area.

21. It is advised to the HN to establish (or continue as described in Para 13) a so-called Joint HNS Steering Committee (JHNSSC) as specified in AJP 4.5(A). Generally once the MOU has been concluded, the NATO Commander and the HN will establish a JHNSSC to develop the necessary amplifying arrangements regarding HNS.


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ANNEX M. SCENARIO DEVELOPMENT

Introduction 1. The purpose of this annex is to provide greater specificity than can be offered in the individual EP Stage chapters above. Appendix 1 describes the basic scenario modules and Annex N addresses Modelling and Simulation support to Exercises.

Setting, Scenario and Development Deliverables 2. The Setting, Scenario and MEL/MIL Development deliverables are self evident and clearly separated in the EP. However these items are Pol-Mil sensitive and liable to change even after the EXSPEC has been approved. Great care must be taken when drafting the elements of the scenario to ensure sensitivities of Pol-Mil issues are observed at every point.

Setting, Scenario and Development Organisation 3. Scenario and MEL/MIL Development Organisations. In most large exercises, especially those at the strategic and operational levels, the roles of these two groups are separate. It is important for the coordination of the two groups that there is interplay, and indeed shared membership between them, but their roles must be seen as different. One provides the springboard from which the exercise stems; the other the script from which the exercise is controlled. Where “off the shelf” (OTS) scenarios are used, it may be possible for the Scenario working group and the MEL/MIL coordination group to merge. In this case the function of the Scenario working group will be purely to adjust the product to reflect the exercise setting,

4. Scenario Manager Roles and Responsibilities. TBD

5. MEL/MIL Manager Roles and Responsibilities. TBD

Setting, Scenario and MEL/MIL Development Process 6. Setting. The Setting is the EXSPEC description of the exercise’s strategic situation. To create the setting the OPR and the OSE EPG will have used the MTEP exercise description and the OSE’s Exercise Planning Guidance. The Setting may be sufficiently sensitive as to have been the subject of discussion between NATO HQ and ACO prior to the commencement of the EP. Any record of such discussion will be vital.

7. Scenario. The Scenario provides the flesh to the setting’s bones. It is the exercise starting point to which all relevant data for the execution of the exercise are tied. To achieve this, a separate Scenario working group may be established. This group will require the OSE’s Exercise Guidance, the OCE’s Exercise Planning Guidance, the EXSPEC Geo-Strategic Situation, the OSE’s aim and objectives, the OCE’s Approved Training Objectives and all relevant geospatial data.

8. Main Event List/Main Incident List (MEL/MIL). The MEL/MIL uses the scenario as its basis. The MEL/MIL should include all injects provided to the TA, from the Initiating Directive that starts the Crisis Response Planning Phase, the Situation Updates prior to the CPX and through to the end of the exercise (ENDEX). Thus the key requirements of those drafting it (usually a working group under the chairmanship of the CHIEF MEL/MIL Coordination Group (often the J2 CPT representative)) will be the Approved EXSPEC, the Scenario outline and the Approved Training Objectives.

9. Scenario and MEL/MIL Development. The Scenario and MEL/MIL groups will usually hold their meetings during the EP Exercise Planning and Product Development Stage.


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a. Scenario Working Group. The Scenario group should be working in advance of the MEL/MIL group. Where a new scenario is to be developed, the Scenario group may first meet during or even before the IPC. The group may have to programme one or two workshops to enable the coordination of products; otherwise it will probably subdivide into small sections addressing the production of geography and infrastructure, country data and information (for example; political, social, financial, industrial and cultural/religious background material) and order of battle (armed forces and irregular/terrorist group force holdings, distribution etc). When an OTS product is used these timelines can be greatly reduced.

b. MEL/MIL Coordination Group. When an OTS scenario is used the MEL/MIL group can meet relatively soon after the Exercise Planning and Product Development Stage commences. The first task of the MEL/MIL group is to analyse the TOs and the scenario to identify the types of event that will achieve the TOs. Thereafter the group may sub-divide to allow functional and service expertise to be used to develop the Main Events List. This will than lead on to the derivation of suitable incidents to support the individual events.

(1) This work is often best conducted in a workshop environment. For a complex, non-OTS scenario it is likely that a minimum of 2 workshops will be required and that these will have to be held after the Main Planning Conference. Time will be tight and the production schedule tightly managed.

(2) This group has a difficult task balancing the need to ensure the TA is happy with the general direction the MEL is taking whilst not giving away the content of the lists. When the draft and final MEL/MIL are handled, care must be taken that the distribution list is restricted and unlikely to compromise the product.


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APPENDIX 1 TO ANNEX M SCENARIO MODULES

Scenario 1. A scenario is the lead-in background story of a crisis or conflict and consists of a sketch, outline or description of an imagined situation or of any possible sequence of future events used for training NATO Command Structure (NCS) staff elements, HQs or Forces as well as in seminar, academic or experimentation environments. A scenario will be composed of specific modules essential to the accomplishment of the NATO Commander’s objectives or of the seminar/academic/experiment objectives.

Scenario Modules 2. The specific modules are:

a. Module 1 - Geo-Strategic Situation. Includes a generic description of the crisis area including the major regional actors, and a description of the crisis, including its historical background and major political, military, economic, cultural, humanitarian and legal conditions, including membership in relevant Arms Control treaties and agreements, that support a NATO military response. The Geo-Strategic Situation is summarised in the EXSPEC and included in an EXSPEC Annex.

b. Module 2 - Theatre of Operations. Static information/data about the region to support strategic assessments and operational planning. Information/data are produced in Bi-SC AIS Functional Services/doctrinal formats (where available) and includes, inter alia: Mapping/Map Dataset, Theatre Data, Country Studies/Information, regional/national Orders of Battle (ORBATs) and OPFOR Campaign.

c. Module 3 - Strategic Initiation. Establishes the international and NATO political desired end-state, objectives, limitations and directions as well as the supporting strategic military assessments and planning guidance following NATO crisis response system. This module includes, as a minimum:

• Road to Crisis (Narrative summary of the main events leading to planning situation, included in MEL/MIL database).

• UNSC Resolutions.

• Strategic Military Assessment.

• NAC Initiating Directive.

• Strategic Planning Guidance/Directive.

d. Module 4 - Crisis Response Planning Information. Provides current updated information/data about the international and regional situation. Information/data are produced in Bi-SC AIS Functional Services/doctrinal formats (where available). This module includes, as a minimum:

• Current Intelligence Summary.

• Friendly Forces. Provides forces available for planning based on NRF Readiness Reporting System and NATO ORBAT as well as current disposition of forces in the theatre area.

• Target Integrated Data Base (IDB).

• Civil Military Assessment.




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• Environmental Assessment.

• OLRT Recce Reports.

• NCRS messages.

• TOPFAS dataset.

• Intelligence dataset.

• MEL/MIL as appropriate for Phase II.

e. Module 5 - Force Activation and Deployment Information. Provides external information/data in response to player CONOPS and CJSOR as well as CCIR as required to complete execution planning and to initiate deployment and initial entry operations. Information/data are produced in Bi-SC AIS Functional Services/doctrinal formats (where available). This module includes, as a minimum:

• ACTWARN/ACTREQ Messages.

• FORCEPREP Messages.

• Allied Force List (AFL) (ORBAT Force profiles).

• Force Balancing Results.

• SOFAs/MOUs/TAs.

• Multinational Detailed Deployment Plan (MNDDP).

• ACTORD

• ORBATTOA

• Current Intelligence Summary (INTSUM)/Intelligence Report (INTREP) (as required)

• Joint Target List.

• NCRS messages.

• Rules of Engagement Authorisation (ROEAUTH)/Implementation (ROEIMPL).

• MEL/MIL as appropriate for Sub-Phase IIIA.

f. Module 6 - Execution Information. Describes the current situation at STARTEX, based on OPLAN Operational Information Exchange requirements. Information/data are produced in Bi-SC AIS Functional Services/doctrinal formats (where available). This module includes, as a minimum:

• Road to War (Narrative summary of the main events leading to current situation, included in MEL/MIL database).

• Current Intelligence Summary (INTSUM)/Intelligence Report (INTREP) (as required).

• Operational Assessments and Reports. Assessments and Reports that would normally be available in a real situation must be developed and provided before the exercise starts and during execution at predetermined times/situations. These would include periodic Operational Information Exchange Formatted Reports and special reports and these should be included as MEL/MIL injections. Additional information and products should be held until requested by




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the TA using doctrinal processes and procedures. Examples include special intelligence information, port data and CIMIC-oriented reports. The requests for this information could come through the Request for Information Management System (RFIMS) or via other doctrinal processes

• Order of Battle/Transfer of Authority Land/Air/Sea / STARTEX Force Laydowns.

• Current SITREPS for Land, Air, Navy, PIO, CIMIC, CIS, METOC, Deployment, Logistics, etc.

• Common Operating Picture(s). Should include JOIIS/BICC, EVE, AFOD, MCCIS/LCCIS/ICC data.

• Main Events List (MEL)/Main Incidents List (MIL). In order to set the stage for achievement of the exercise objectives a series of events, incidents and injections should be developed before the exercise. They may also be dynamically scripted during the exercise. The purpose is to generate responses from as well as to ‘paint the picture’ for the training audiences. Events are major occurrences or a sequence of related incidents which are actions or situations that provide greater clarity to an event. An injection is the way of bringing an incident to the attention of the players for whom it was created and are to be made using doctrinal communications means and, where available, formats and media. The Main Events List/Main Incidents List (MEL/MIL) includes the complete set of events, incidents and injections, and constitutes the detailed script of the exercise play. The MEL/MIL, in hard copy or database form, and its user instructions are limited in distribution to Exercise Direction and Control staffs only.


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ANNEX N. MODELLING AND SIMULATION SUPPORT TO EXERCISES

Introduction 1. The purpose of this annex is to provide an overview of requirements for modelling and simulation (M&S) support of the exercise process as well as details on the planning activities, steps and resources required to develop and conduct the Synthetic Exercise (SYNEX) type of Command Post Exercise (CPX). A SYNEX is an exercise in which forces (i.e., troops and/or systems) are generated, displayed and moved by electronic or other means on computers, simulators or other training devices. Exercise Studies can also be conducted as a SYNEX. Contained within the SYNEX grouping is the Computer Assisted Exercise (CAX) which is a CPX where computers simulate the operational environment and provide event resolution that may be used in a distributed or non-distributed form or a combination of both.

2. M&S support is often thought to be limited to installing and running a military constructive simulation during a CPX. In this perception M&S support is to replace or to help response cells, high level commands (HICON) and low level commands (LOCON) by running a set of stochastic processes to find out the possible outcomes of the decisions or requests coming from the training audience (TA).

3. However, M&S support is more than setting and running a military constructive simulation system. M&S tools should be involved in all stages of the exercise process to automate the processes, to prevent the duplication of work, to enhance the exercise environment and to ensure that the exercise process flows towards the objectives. The M&S tools in this perspective can be categorized into four classes:

a. Exercise Planning and Management Tools. These tools can be used for the automation of processes, information management and information exchange for the preparation of the exercise specification (EXSPEC) and exercise plan (EXPLAN) documents and the products related to these documents. They can help the preparation of scenario modules as well as the MEL/MIL. This requires access to all Functional Services and the related functional databases as well as exercise tool configuration management, security, availability and deployability. The exercise process requires fully interoperable functional tools and databases to be provided. They can also have interfaces for the M&S tools that fall in the other categories. Through these interfaces the data collected during the specification and planning stages can be directly fed into simulation as well as command and control (C2) software. See Appendix 1.

b. Constructive Simulation Systems and Ancillary Tools. These are the simulation systems and the software needed to run the simulation; e.g., database preparation tools, user interfaces, etc. See Appendix 2.

c. Interfaces to C2 and Functional Services. Simulation systems should be transparent to the TA. Especially primary TA (PTA) should only use C2 systems that would be available during an operation. Therefore, interfaces between the simulation software and C2 systems are needed. Similar interfaces are also needed for the Functional Services because they also need the data related to the exercise scenario.

d. Experimentation and Analysis Tools. These are the programs used for designing and managing experiments by using M&S data and for compiling and presenting the


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data collected by the simulation systems as well as deriving information from these data.

4. Appendix 3 portrays the major SYNEX planning responsibilities during the exercise process.

Appendices Appendix 1 - Modelling and Simulation Support to the Exercise Process

Appendix 2 - Synthetic Exercise Database Development Process

Appendix 3 - Synthetic Exercise Planning Responsibilities during the Exercise Process


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APPENDIX 1 TO ANNEX N MODELLING AND SIMULATION SUPPORT TO THE EXERCISE PROCESS

Overview 1. This appendix addresses the use of Modelling and Simulation (M&S) tools in support of the exercise process. In this appendix, Bi-SC Automated Information Systems (AIS) Core and Functional Services tools used in the development of an exercise or by the EXCON during exercise execution are considered as M&S tools.

Principles of M&S Tools Capabilities for Supporting the Exercise Process 2. The M&S tools should be interoperable with the Bi-SC AIS Functional Services as well as other M&S tools used to support the Exercise Process. The required level of interoperability is to be able to provide services to, and accept services from, other tools, models and simulations and to use the services so exchanged to operate effectively together.

3. The M&S tools should have the capability to operate seamlessly with existing and planned NATO operational CIS such that any simulation is transparent to users.

4. The M&S tools should be interoperable with national simulations to support the training and exercise of national forces, including partner nations.

5. The M&S tools should reduce the requirement for exercise control staff and response cells by providing an automated representation of friendly and opposing force actions, as well as the response of the opposing force operational command structure.

6. The M&S tools should represent the applicable geospatial data as well as the hydrographic regions, the atmosphere, space and weather.

7. The M&S tools should have ‘staff-officer-friendly’ application programs to access and manipulate the databases.

8. The M&S tools should be capable of being populated from the training audiences’ Bi-SC AIS Functional Services as well as providing data and information in the formats and levels of granularity that the training audience would expect to see if the situation were real.

M&S Support to The Exercise Concept and Specification Development Stage 9. The OSE M&S tools used during the Exercise Concept and Specification Development Stage should assist in the: capture, analysis and harmonisation of relevant NATO policy; strategic direction, guidance and essential training goals; lessons learned; etc., to develop the overarching exercise concept, scope and scale and to produce the exercise guidance, specification, geo-political situation, analysis requirements and high level documentation.

10. The OCE M&S tools used during the Exercise Concept and Specification Development Stage should assist in developing the operational commanders’ mission essential tasks and training requirements as well as relevant lessons learned.

11. The EPG, when conducting the Develop Exercise Form and Type Alternatives step, should address the merit and costs of using simulation systems to support the exercise. For example; during a CPX, the situation, the common operational picture and the injections can be generated automatically by a simulation system or created and calculated by the EXCON manually based on main events and incidents (MEL/MIL) lists. Between these two extreme cases there are hybrid approaches where simulation and manual means are used in conjunction as shown in Figure N-1-1. Although this decision can be modified later during the EP, the broad decision for the use of which simulation systems and to what extent,




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should be taken before the approved EXSPEC is issued. At least, it should be decided whether a simulation system will be used or not. This decision should be based on several factors including:

a. Exercise training objectives,

b. Missions and operational tasks,

c. Capabilities and the availabilities of the simulation systems.

d. Constraints on resources such as budget, time, space, manpower and CIS capabilities.

Figure N-1-1 Simulation during a CPX

12. The EPG, when conducting the Develop the Draft Exercise Milestone Planning Schedule step, should consider use of a Core Services project management tool or a Functional Service, such as TOPFAS, to develop and manage the Exercise Milestone Planning Schedule.

M&S Support to the Exercise Planning and Product Development Stage 13. M&S tools used during the Exercise Planning and Product Development Stage should assist the exercise planning and product development staff with:

(a) Collaborative development of all scenario modules with respect to geo-referenced data, information and documentation fully in compliance with NATO policy, doctrine, forces’ standards, mission essential tasks and interoperability requirements of Functional Services.

(b) Collaborative development of pre-scripted events, injections and information flows to support achievement of the exercise aim and objectives and to be provided to the training audience via doctrinal means using Functional Services or other authorised conventional means.

(c) Capturing and managing exercise costs.

(d) Collaborative development of the EXPLAN.

14. The CPT, when conducting the Provide Guidance on Scenario Development step for the OCE Exercise Planning Guidance should carefully consider scrutinizing and merging available off the shelf scenarios or scenario modules. Alternatively a completely new scenario can be developed. In both of these cases a special purpose scenario development tool could prevent the duplication of effort, enhance collaboration and increase efficiency as well as connect the scenario, MEL/MIL and database management team efforts. The scenario development tool should also be capable of producing theatre data and information




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in the formats and levels of granularity required by the training audiences’ Functional Services.

Note: the database management process is explained in detail in the next appendix.

15. The CPT and/or the ODE, when developing Scenario Module 4 - Crisis Response Planning Information, should consider use of a MEL/MIL development, management and execution tool. The tool selected should be capable of, inter alia: associating the exercise objectives, training objectives, events, incidents and injections; allowing collaborative development of events, incidents and injections; allowing modification of injections before transmitting to the training audience; allowing dynamically scripted injections to be introduced; providing the interfaces between the MEL/MIL scripts and the simulation; collecting the lessons identified from the training audiences response to the scripts; supporting training audience response trend analyses; and supporting the post-exercise analysis and reporting phase. An example MEL/MIL tool is the JWC’s Joint Exercise Management Module (JEMM).

M&S Support to Exercise Phase I -- Individual and Collective Training 16. A scenario development tool could be used for producing the scenario related products required for the Individual and Collective Training sub-phases.

17. Functional Services can be used in setting the conditions for training vignettes and M&S tools can be used for wargaming purposes during some Collective Training sub-phases.

M&S Support to Exercise Phase II -- Crisis Response Planning 18. The EXCON M&S tools used to support the Exercise Phase II, Crisis Response Planning, should assist in the preparation of the scenario related products for crisis response, sustainment and deployment planning as well as for wargaming purposes. Functional services; such as RFIMS, the NCRS tool and the Readiness Reporting System; can be used by response cells to provide information and injections to the training audience in the systems they use during their planning activities.

19. There are also M&S tools and Functional Services designed to support the operational, sustainment and deployment planning processes that can be used to analyse the plans produced by the training audience. ADAMS, ACROSS, TOPFAS and SEAS (Simulation Environments for Analysis and Simulation) are examples of this class of tools. They can be used by exercise control staff to provide analytical or simulation support to analyse a selected course of action as well as to assess the impact of potential incidents and injections for inclusion in the MEL/MIL.

M&S Support to Exercise Sub-Phase IIIA -- Force Activation, Deployment, RSOM and Integration Sub-Phase 20. The EXCON M&S tools used during the Exercise Sub-Phase IIIA, Force Activation, Deployment, RSOM and Integration, should assist in the presentation to the training audience through the real Functional Services the data and information in the expected formats and levels of granularity that they would expect to see if the situation were real to include:

(a) Ability of the exercise control staff to execute pre-scripted events, injections and information flows as well as to dynamically script and provide events, injections and information flows oriented toward the exercise aim and objectives.




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(b) Ability of the exercise control staff to receive and process training audience generated requests, reports and orders to support development, coordination and execution of exercise control staff responses.

(c) Modelling and simulation support to assist exercise control staff in identifying potential shortfalls in achieving exercise requirements, evaluating alternative courses of action and recommending modifications and improvements to the exercise director.

21. Examples: JEMM; ADAMS; EVE; CORSOM; NCRS tool and RFIMS.

M&S Support to Exercise Sub-Phase IIIB -- Operations Sub-Phase 22. The EXCON M&S tools used during the Exercise Sub-Phase IIIB, Operations, should assist in the presentation to the training audience through the real Functional Services the data and information in the expected formats and levels of granularity that they would expect to see if the situation were real to include the same requirements as Sub-Phase IIIA.

23. Various constructive simulation systems may be used in the Operations sub-phase of CPXs. Among these the joint theatre level simulation (JTLS) and the joint conflict and tactical simulation (JCATS) are more important for Joint Warfare Centre (JWC) and Joint Force Training Centre (JFTC). JTLS is a highly aggregated joint constructive simulation system used in CAXs supported by JWC. JCATS is a high-resolution joint constructive simulation system used in the exercises supported by JWC and JFTC. NATO training federation (NTF) is a federation of JTLS and JCATS. NTF is used in multi resolution exercises which JWC and JFTC support together and nations can join. NTF can be populated with additional simulation systems and interfaces.

24. SYNEX tools must replicate C4I environments during CAXs. In other words, simulation systems and all the other related software must be transparent to the TA, which should carry out the exercise as if they are in an operation and commanding their subordinates by using C4I systems normally available to them. They should also be able to receive the orders and to send the reports through these systems. This transparency can be achieved by the mediation tools between the simulations and C4I systems. NATO has the mediation tools between NATO C2 systems and simulation systems to fulfil this requirement.

25. As many injections can be created automatically by the simulation systems their inputs to the training audiences’ information systems should be carefully monitored for two reasons:

a. Exercise control staff need to follow the management of the incidents and injections from the beginning to the end.

b. Some of the incidents and injections created automatically can hamper the exercise goals, and therefore may need to be removed in advance before they come into the attention of the TA.

M&S Support to the Exercise Analysis and Reporting Stage 26. The M&S tools used during the Exercise Analysis and Reporting Stage should assist in the observation collection and analysis tasks with tools that can:

a. Relate to the exercise aim, objectives, analysis requirements, mission essential tasks, forces’ standards and essential operational capabilities to assist analyses and production of reports on achievement of exercise aim, objectives and requirements.

b. Identify deficiencies that could inhibit training audience abilities to perform their assigned missions.




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c. Support conduct of comprehensive post-exercise analyses that can reconstruct events and derive lessons for users in real-world operations

27. Example: the JALLC Observation Collection Program (OCP).




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APPENDIX 2 TO ANNEX N SYNTHETIC EXERCISE DATABASE DEVELOPMENT PROCESS

Overview 1. A computer-assisted exercise employs a computer-based simulation model to represent activities of entities in a consistent manner from a point of view of time and space. Physical aspects related to movement, consumption of resources and perception are represented in the simulation model. However the definition and characteristics of entities do not form a part of the simulation model. The collection of actual environment descriptions, entity descriptions and resource characteristics needs to be defined as input for the simulation model. This collection is referred to as the simulation database. Its definition is a collective effort. Entities need to be defined, their descriptive data collected, verified and their behaviour in the simulation validated. The Database Management Team (DMT) is responsible to accomplish this task.

Aim and Scope 2. The purpose of this appendix is to describe the process that will be applied by the JWC/JFTC to build CAX databases and the organisation of the DMTs. Each step of the database development process is described in terms of nature, expected attendance, duration and outcome.

CAX Database 3. Many of the in-theatre entities have already been created and can be used to create a CAX database. Their capabilities and state will need to be validated with respect to the exercise objectives. In addition a considerable amount of alliance forces exist in various other databases and could be imported into the database.

4. CAX Simulation Data may be obtained from many sources, including the other computer files. The data include terrain data, description of military units, modelling parameters, description of targets, logistics parameters, prototype definitions, force command and logistics structures, and lethality data. Terrain is represented in different formats in different simulation systems. For example, in Joint Theatre Level Simulation (JTLS) terrain is represented as homogeneous hexes. The terrain data include items such as the terrain conversion constants, hexagon conversion constants, terrain values (open, city, mountain, ocean, etc.), barrier values (wadi, river, tank ditch, etc.), terrain movement delay multiplier, barrier movement delay multiplier and barrier trafficability threshold.

5. The combat unit data include combat system names, characteristics (losses, weight, speed, supply category, etc.), and probability of kill (pK) tables. Modelling parameters are represented by weapon effects times, nuclear assessment times, and combat assessment times. Target data include time to repair, target category, name, location and size. Logistics data are represented by number of supply categories, convoy speeds, various probabilities of kill, and damage category. An example of the categories of data in the files of a JTLS scenario database is provided in Table N-2-1.

6. DMT typically collects the data indicated as high-level data in Table N-2-1. Low-level data are normally already been collected and in the database. However, there may still be a need to modify some low level data, such as, creating or modifying a tactical unit prototype, creating weather fronts, modifying terrain data and creating and assigning new aircraft loads.




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Table N-2-1 JTLS Database Requirements Data Category Description (Partial Only)

Low level data Random number streams Altitude and depth zone definitions Combat system definitions Supply category definitions

Modelling Parameters

Weather conditions and fronts Playing surface size in hexes Hexagon conversion factors Terrain Data Barrier and hex trafficability data Target class definitions Target Category Data Aircraft classes, SSM types, etc. Force side definitions Tactical unit prototypes Ship unit prototypes High resolution unit prototypes

Prototype Data

Faction prototypes Targetable weapon definitions Target type Group Aircraft loads Load assignments Weapon type lethality Mine field lethality data

Lethality Data

Lanchester data High level data

Faction definitions Individual unit data Command and support hierarchies Naval formation data

Unit Data

Individual high resolution unit data Individual target data networks Pipeline and railroad Bridge and tunnel target networks IADS networks

Target Data

Supply movement assets Unit arrival times TPFDD Data Arrival data LOGIN times Receiving units Strategic Re-supply Data Supplies lists Types and times of events External Event Data Event-specific data

Organisation of Database Management Team 7. The Database Management Team (DMT) will have the following composition (typical):

a. DMT Coordinator. JWC CAX Support Branch/JFTC Training Support Branch assigns a DMT Coordinator responsible for monitoring the overall process and for ensuring that database development process is running according to the exercise process timings and the exercise objectives.




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b. DMT Own Forces Team. Primary Training Audience constitutes a DMT Own Forces Team, which ensures that the database contains all the elements related to the own forces and alliance required to meet the intended flows of Sub-Phases IIIA/IIIB. This team is typically composed of members, who carry out the following tasks, i.e., the number of members is dependent on the exercise structure:

(1) Coordinator (typically J2/J3/J5/J7 of TA)

(2) Alliance Air

(3) Alliance Land

(4) Alliance Maritime

(5) Alliance Logistics

(6) Alliance SOCC

(7) Alliance POCC

(8) CBRN

(9) CIMIC

(10) C2 Databases

(11) OPP Tools Databases

(12) Additional forces according to the exercise design

c. DMT Scenario Team. JWC/JFTC Scenario Development Team constitutes a DMT Scenario Team composed of the following members, who ensure that the data base contains all the elements related to SITFOR, the neutral forces, weather and geography required to meet the intended flows of Sub-Phases IIIA and IIIB.

(1) Coordinator (typically Scenario Team Leader)

(2) Geography

(3) Country books and area nations

(4) Weather

(5) Air

(6) Land

(7) Maritime

(8) SOCC

(9) POCC

(10) Logistics

(11) CBRN

(12) CIMIC

(13) NGO/IO

(14) Fixed Target List

(15) Additional event required entities

d. DMT Technical Team. JWC CAX Support Branch/JFTC Training Support Branch




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normally facilitates the services by an external agency, i.e., typically NC3A, to build and maintain the CAX database based on the inputs from Own Forces and Scenario Teams. The external agency provides at least one database manager reporting to the Exercise DMT Coordinator, and several database builders, typically two or three, to provide training and technical support on the database tools, e.g., Orbat Editor, used by Own Forces and Scenario Teams, to merge the data collected by DMT, to enter the parameters related to low level data, to coordinate low level data with DMT, to run database verification and validation tools, to correct the minor problems reported by the verification tools, and to report the more complex warnings or errors to the DMT. JWC/JFTC also assigns a CAX Database Engineer in support of the DMT Technical Team. The CAX Database Engineer provides technical support to DMT scenario team, and ensures technical requirements for the DMT activities carried out in JWC/JFTC facilities, i.e., hardware and software for database preparation are fulfilled.

CAX Database Preparation Process 8. DMT Coordinator briefs Scenario and CAX Syndicate during IPC about the following:

a. DMT organisation for the exercise

b. Tasks of the DMT members

c. Database preparation timelines for the exercise

9. Primary Training Audience and JWC Scenario Team nominate the DMT members before the MPC.

10. DMT constitution meeting. The first DMT meeting is usually during the MPC meeting. The key DMT personnel attend this meeting. The objectives of the first meeting are:

a. To define decisions as a lead to CAX database development.

b. To define the database building process.

c. To define the timelines for database build.

d. To discuss database-building tools and introduce the scenario used for the exercise data base and the existing lists of alliance units.

11. DMT Entity Design Meeting. The DMT Entity Design Meeting will usually take place 20 weeks before STARTEX. In view of the new set of headquarters participating in the process, the entire DMT should attend. The objectives of the meeting are:

a. To refine the main database entity design decisions:

• Describe the important geographical features that are included in the data base and how they are derived from source data,

• Define the various sides and factions within sides to support the intended Sub-Phase IIIA and IIIB flows,

• Define the level of detail to which entities should be described and how they will be organised in a coherent structure including the non-combatant or irregular forces,

• Define the approach that will be adopted to develop the logistic support entities,

• Establish the list of C2 systems that will consume data from the simulation and to agree on an approach for initialising these systems.

b. To describe and distribute an initial ORBAT data base and to agree on who is




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responsible for modifying which parts.

c. To review and amend the database building timeline in order to complete the process in time for STARTEX definition and for the preparation of EXCON training including battle captains.

d. To identify any areas of uncertainty in the definition of the exercise setting that require decision by exercise planners so that their requirements can be incorporated into the simulation database.

e. To present the database building tools and data exchange procedures that will be employed to build and to exchange data between data providers and database builders. A tutorial in using the database building tools is provided to DMT members.

f. To demonstrate how the final product of the DMT work will be employed during Sub-Phases IIIA and IIIB by conducting a short simulation execution session.

g. To distribute the initial scenario database and associated data collection and review tools to DMT members.

12. Within four weeks after the Entity Design Meeting, the DMT members collect and build their forces in the application provided by the DMT Technical Team, i.e., ORBAT Editor for JTLS, and forward the exported data base to the DMT Technical Team.

13. Database Verification (Review) Session. The first database review session is usually 4 weeks after the Entity Design Meeting and can be repeated if necessary 4 weeks after the first review session. If feasible should it be after the CRP (Crisis Response Planning)/FGC (Force Generation Conference). Each data provider will come to attend the workshop for 1.5 days during this period on a schedule basis by functional area. The schedule will be established to enable the database builder(s) to spend sufficient time on correcting the forces in the scenario database. Functional Areas are as follows:

a. Ground forces + Logistics

b. SOCC/POCC

c. Air force assets

d. Maritime assets

14. The overall purpose of the database verification session is for the DMT members to review and discuss the implementation of the data in the consolidated JTLS/JCATS database. This session will allow data providers and builders to resolve questions that have arisen during the data collection process e.g. how to represent certain capabilities and during the consolidation process e.g. why support structure has been designed in a specific manner. The following data will be reviewed and discussed:

a. ORBAT. Unit C2 structure, unit composition in terms of combat systems, air defence assets, engineering assets (bridging, mine clearing), sensors, jammers and other associated entities, e.g. runways and shelters for airbases.

b. Logistic support structure. Support relationships, critical supply categories and associated stockage levels and weapon expenditure rates

c. Terrain. In terms of expected trafficability by units

d. Targets. Selected fixed target sets and associated naming convention

e. Air Defence. Air defence system characteristics




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f. Aircrafts. Aircraft characteristics and weapon loads

g. Sensors. Sensor and jammer characteristics

h. SOF. Assets and capabilities

15. An amended database will be produced as a result of the session and distributed to members.

16. The DMT members can make final modifications until 1 Week before the Database validation session and forward any changes to NC3A for incorporation

17. Database (CAX) validation session. The Database validation is conducted 6 weeks before STARTEX. Each data provider will come to attend the workshop for 2 to 3 days, during that period supported by a team of subject matter experts the data will be validated.

18. The purpose of the validation session is to run the simulation with the exercise database and conduct a controlled set of dynamic tests to ensure that the units, equipment, targets and terrain behave and interact in a realistic manner. Therefore participants should gather reference data concerning the performance of units and systems prior to the validation session.

19. More specifically the following will be tested and compared to the expected values that participants will have gathered:

a. Maritime. Capabilities to move, communicate, sustain own and airborne operations, detect, jam, cause attrition, clear and lay minefields. If relevant the ability to support carrier and amphibious operations or remain undetected.

b. Air. Aircraft ability to perform specific roles with expected level of attrition and success. Standard conventional load composition by mission profile in terms of sensors, jammers, weapons and fuel. Air defence capability to engage and destroy aircraft target categories. Ability to detect and jam by fixed or mobile sensors and emitters. Ability of airbases to support and sustain operations for a specified amount of time.

c. Land. Direct fire combat, indirect fire ability and effect, manoeuvre capability and speed, engineering assets to lay bridges, mines, destroy obstacles, clear/breach minefields, ability of air defence to engage and attrit, ability of army aviation to detect, engage and attrit, transport assets and supplies. Combat thresholds. Ability of units to collect intelligence through intrinsic or explicit assets, e.g., counter-battery radars, teams. Trafficability and movement.

d. Special Operation Forces. Ability to create teams and task them to perform specific operations.

e. Logistics. Support distances and holdings in terms of transportation assets. Repair capability of factions. Requisition times and convoy re-supply times.

20. A wider attendance is required for Database Validation Meeting. Indeed DMT team members, and force contributing representatives need to be augmented with functional area experts in order to assess, evaluate and modify simulation data to achieve an acceptable behaviour by simulation entities. DMT Technical Team is also expanded to ensure that the various functional area tests can be executed in parallel.

21. A standard suite of tests has been developed to validate the various aspects of the simulation data base. Modifications to unit and parametric data can be implemented during the validation in an iterative manner and tests need to be performed until an acceptable behaviour has been demonstrated. The associated modifications are recorded and




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implemented in the exercise database. As a result of the session, a new version of the database will be released to DMT members.

22. STARTEX Validation / Wargaming Session. The STARTEX situation is expected to be agreed after the operational planning process is completed. The STARTEX Validation/ Wargaming workshop will usually be conducted 4 weeks before STARTEX. The session should coincide with the conclusion of the MEL/MIL scripting workshop. Components will be required to provide STARTEX data one week before STARTEX Validation/Wargaming session to DMT Technical Team.

23. The main goal of STARTEX Validation is to ensure that the scenario database and more specifically the STARTEX position, force ratio (capability) and logistics supply level of forces will provide the ability to meet the training objectives by being able to implement the planned exercise flow including branches that may depend on decisions by the training audience. Events expected to occur during the exercise will be presented at the beginning of the session. A number of critical aspects from a time and space aspect will be war-gamed with the simulation to check whether the timelines foreseen by the storyline developers can be met. At this time the MEL/MIL synchronisation will be done. Whenever adjustments to the STARTEX situation are required, it will be done during the session and the process is reiterated. This session will be conducted in a joint manner using the OPLANs, sustainment plans and deployment/RSOM plans that have been developed during Phase II of the exercise process.

24. A tailored attendance is required for this critical session. One representative from Training Audience J5/J2, SOCC S5, ACC A5, LCC G5 and MCC N5 needs to attend the first day of the meeting to present the OPLANs that have been developed. DMT members, exercise flow managers and the SITFOR coordinator(s) should attend the entire meeting.

25. As a result of this session, the final simulation database will be compiled. It will be used for training and for the exercise.

26. The session will also be used to develop an anticipated exercise flow, which can be expressed in a synchronization matrix for all alliance and other forces as well as for neutrals.

27. C2 initialization workshop. Having developed a validated STARTEX database, a workshop is held with the database managers of the C2 systems that are employed by the exercising headquarters. The workshop is usually 4 weeks before STARTEX. The database managers of the C2 systems in the exercise and DMT Technical Team attend this meeting.

28. STARTEX ATO production and verification. At STARTEX, aircraft should be flying. Therefore the ACC will need to build the ATO that is executing on the first day of the exercise prior to the exercise. Since the ATO is processed in an automated manner by the ATO parser, certain rules need to be followed to allow the translation to execute effectively. This process has the following steps:

a. DMT Technical Team releases a representative ICC STARTEX data base 8 weeks before STARTEX.

b. The CAOC in combination with army aviation, maritime air planners and SOF air planners is expected to produce a representative ATO in the following 2 weeks and to attend a validation workshop 4 weeks before STARTEX.

c. DMT Technical Team releases a STARTEX ICC data base no later than 3 weeks before STARTEX.

d. The CAOC in combination with army aviation, maritime air planners and SOF air planners is expected to produce the STARTEX ATO 1 week before STARTEX.




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e. The ATO will be verified in a dynamic fashion at the EXCON site with the response cell. The JFACC should be reachable for comments.

f. The AOC should also plan to participate in the EXCON mini-exercise to gain familiarity with the real time management of air operations in the exercise setting.

29. Database AAR (After Action Review). After ENDEX JWC CAX Support/JFTC Training Support Branch saves the simulation database including the checkpoint and time files and archive it onto a suitable media. The classification, the name of the exercise has to be indicated on the MRM (Machine Readable Media) and the media has to be stored at an appropriate location. A record of available scenario databases including the Versions and tools used during the building process will be maintained by the JWC CAX Support/JFTC Training Support Branch.




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APPENDIX 3 TO ANNEX N SYNTHETIC EXERCISE PLANNING RESPONSIBILITIES DURING THE EXERCISE PROCESS

Event OSE OCE CAX OPR Supporting Agencies (NC3A, JWFC..)

PTA / CC

Initial Planning Conference

Support CAX Syndicate set-up. Exercise outline

Set-up CAX Syndicate. Exercise outline. Timing and dates. Collect CAX inputs to EXPLAN. First Draft for CAX-C2 System IER matrix

Assessment of M&S requirements and resources. Initiate DMT Establishment. Initial draft EXPLAN Annex F. Rough CAX Design. DMT composition. Initial Draft of CAX-C2 system IER.

Provide inputs as required

Provide nominees for DMT composition

Main Planning Conference

Summary of the ongoing issues from OSE CAX point of view. Provide CJSOR used for the Exercise.

Complete CAX inputs to EXPLAN. Final version of CAX-C2 IER matrix. Results of the site surveys, including floor plans and equipment locations.

Refined Draft Exercise Plan Annex F. First Draft of EXCON structure. First Draft of CAX Manning. Final Draft of CAX-C2 system IER. Conduct of first DMT Constitution Meeting.

Provide inputs as required. Participation to DMT Constitution Meeting

Provide inputs as required, Participation to DMT Constitution Meeting

DMT Entity Design Meeting

Train DMT Members on database tools.

Provide support as required

Provide participation as required

Database Verification (may be repeated in 4 weeks)

Build the simulation database and verify the entities


Provide participation and ORBAT as required

Final Coordination Conference

Summary of the EP and way ahead

Final minor changes to CAX requirements.

Finalize Draft Exercise Plan Annex F. Finalize EXCON structure. Finalize EXCON manning. Finalize CAX EXCON specific training. MINIEX CAX design requirements


Provide inputs as required

Database Validation

Modify the database as required and test the modelling capabilities


Provide participation and changes to




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Event OSE OCE CAX OPR Supporting Agencies (NC3A, JWFC..)

PTA / CC

the ORBAT as required

MEL/MIL Scripting Workshop

Support as required Provide support as required

Provide participation and inputs as required

STARTEX Validation

Implement the outcome of the Phase and scripting workshop. Validate the STARTEX positions, EXPLAN and proposed courses of action.


Provide participation and STARTEX inputs as required

Exercise Execution

Execute Provide support as required

Provide support for EXCON

Transportation Funding Coordinate with AMCC as required

Log coordinate with AMCC Provide OCE J4 with all required inputs (dimension, weight, etc.)


Deployment Supervise Conduct (OPCON on supporting DCAX supporting element)


Provide Admin/Logistic support to DCAX supporting unit as required

Redeployment Supervise Conduct (OPCON on supporting DCAX supporting element) until leave theatre


Provide Admin/Logistic support to DCAX supporting unit as required


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ANNEX O. OPD SUPPORT TO NRF EXERCISES Introduction 1. The purpose of this annex is to provide an overview of the roles, responsibilities and key activities of the Operational Preparation Directorate (OPD) in support of NATO Response Force (NRF) training and evaluation.

2. The OPD provides training coordination and certification/evaluation support to the Operational Commanders, in accordance with SACEUR’s strategic guidance and the Operational Commanders’ intent and requirements, in order to achieve coherent preparation and development of the NRF.1

3. In order to provide NRF training coordination, the OPD participates in the entire Exercise Process in a supporting role.

4. The OPD evaluates the NRF Joint HQs (Deployed Joint Task Force (DJTF) HQ, Reach-back, Headquarters Support Group (HSG), Joint Logistics Support Group (JLSG) HQ and NBC-Joint Assessment Team (JAT)) as well as the interactions between the NRF Component Command (CC) HQs and the Joint HQ during NRF Joint exercises. Additionally, the OPD provides the core of the Evaluation Group for NRF Joint level HQ exercises and normally monitors the evaluation of NRF Component level HQs.

5. The evaluation team leader(s) produce(s) an evaluation report(s) of NRF Joint HQs and CC HQs that is used as a tool for certification and is forwarded to the NRF Commander with copies furnished to SHAPE and JALLC.

JOINT EXERCISES Exercise Concept and Specification Development Stage 6. The Officer Scheduling the Exercise (OSE) is responsible for the Exercise Concept and Specification Development Stage. The key OPD activities and planning considerations follow:

a. As a member of the OSE’s Exercise Planning Group (EPG), contribute to the production of the OSE’s Exercise Guidance, the Exercise Specification (EXSPEC) and the Approved Training Objectives (TOs) submitted by the JFC.

b. Attend the EXSPEC Conference and throughout this concept stage, assist development of the evaluation requirements if planned, helping ensure their accordance with the OSE Exercise Guidance and the J(F)C’s intent, whilst also considering them in light of the TO and experimentation objectives.

c. Attend the TO workshop, if conducted, and during the TO staffing process, recommend inclusion of additional TO when appropriate.

Exercise Planning and Product Development Stage 7. The Officer Conducting the Exercise (OCE) is responsible for the Exercise Planning and Product Development Stage. The key OPD activities and planning considerations follow:

a. As a Core Planning Team (CPT) member, support the overall planning stage effort and contribute to the production of the OCE Exercise Planning Guidance and the Exercise Plan (EXPLAN).

1 Terms of Reference for Director OPD, IMSM-0698-2005.




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b. Also as a CPT member, participate in analysis of OCE requirements and limitations, and in the process, refinement of the evaluation requirements. Additionally in conjunction with the JFCs, the Joint Warfare Centre (JWC), the Joint Forces Training Centre (JFTC), and Joint Analysis Lessons Learned Centre (JALLC) (when necessary while evaluating CC HQs), contribute to the Evaluation Plan and to the Evaluation Group organisational structure.

c. Assist the OCE development of the initial Draft EXPLAN, particularly with the evaluation concept.

d. Contribute to the development of the Evaluation Plan Annex and related Evaluation and Reporting portions of the EXPLAN’s Part 3 “Evaluation, Analysis, and Reporting’’, ensuring that it meets COM NRF needs, including a Collection Plan and Reporting Template.

e. During the Initial Planning Conference as coordinated through the evaluation syndicate, provide an initial assessment of the Evaluation Group’s requirements regarding Real Life Support (RLS), Manning and Augmentation, Communication and Information Systems (CIS), and Training.

f. During the Main Planning Conference as coordinated through the evaluation syndicate, define and finalise the Evaluation Group’s manning (including augmentation) requirements; develop the EG’s C2 and CIS structures, and training programme; finalise assessment of and coordinate the group’s RLS requirements.

g. Participate in MEL/MIL scripting workshops to draft training injects that will challenge the evaluated HQ and meet the TO. Also participate as a member of the stage’s Evaluation and Steering Syndicates, and when necessary, also the Logistics, RLS, CIS and Manning Syndicates.

h. Throughout this stage, work closely with the JWC and JFTC (EXCON and Observer/Trainers) to achieve maximum coordination and efficiency during Phase II and Sub-Phases IIIA and IIIB of the Operational Conduct Stage.

Exercise Operational Conduct Stage 8. On request of the OSE, the OPD provides the Director of Evaluation (DIREVAL) and the core of the Evaluation Group (EG).

a. The EG consists of: a Coordination Cell (consisting of admin support, EXCON and O/T Coordination Officer(s)/Liaison Officers (LNOs), and a writing team) and a series of evaluation teams covering the DJTF HQ, JHQ Reach-Back, JLSG HQ, CBRN Bn HQ, NBC-JAT and CC HQ(s).

b. The Evaluation Teams observe the activities and evaluate the performance against the chosen performance stated in the OPD Evaluation Criteria Manual, (created from the standards defined in the ACO Forces Standards and other doctrinal references) in accordance with the Evaluation Objectives and TO. The team collects, collates and records its findings throughout the exercise. Whenever requested, possible and practical, Evaluation Teams will be led by an OPD member, and like the Coordination cell, will usually include augmentation from outside the OPD as coordinated through NCS.

c. The OPD EG leaders participate in Sub-Phase IB, Academic Seminar, to remain current on issues that may affect OPD work and to gain a better understanding of how the evaluated HQs operate.

d. The OPD supports the EG training and integration of augmentees into the EG. To




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help facilitate this, the OPD may lead an Evaluator Training Seminar before deployment to the Phase III exercise area, and possible also before Phase II. Training must include exercise scenario familiarization, OPD Evaluation Criteria familiarization and Evaluation Team/Group Collection Plan coordination.

e. Running up to deployment to the respective Phase II and III exercise areas, The EG ensures all required external support is arranged for RLS like common admin supplies, automation and CIS items and services. Also, the EG finalises a coordinated interaction plan with the EXCON.

f. During Phase II, Crisis Response Planning, the EG evaluates the performance, to include the final Operational Planning Process products (OPLANs and SUPLANs).

g. The EG evaluates the procedures and performance of the evaluated HQs during both Phase III (Execution) sub-phases while they execute the OPLANs and SUPLANs. The EG uses checklists as the primary tools to record evaluator-level observations, data, assessments and recommendations. The EG uses many sources from which to collect observations and data (to possibly include reactions to MEL/MIL incidents and injects), but relies primarily on first hand information. Collection and analysis starts early in Phase, and impressions, conclusions, and recommendations are gradually formed and consolidated throughout both phases’ duration.

h. Phase IV (Analysis and Reporting). The EG collates the observations from Phase II and both sub-phases of Phase III in order to form the evaluation report.

Exercise Analysis and Reporting Stage 9. The EG produces and forwards the evaluation report to the COM NRF, with copies furnished to SHAPE and the JALLC. The activities and considerations follow (some of which will overlap with the previous stage):

a. The evaluation report will contain a certification recommendation, help drive the Lessons Identified/Lessons Learned process and contribute to the improved effectiveness of both the NRF operational procedures and performance, and the evaluation and certification processes.

b. When DIREVAL or EG deem necessary, they may call a meeting with the evaluated bodies Command Group during the evaluation at the exercise location, in order to help adjust their focus.

c. After redeploying from the exercise location, but before the Post Exercise Discussion (PXD) and subsequent evaluation report publication, the EG further discusses its observations and develops conclusions and recommendations.

d. Before participation in the PXD, the EG collects comments on and summarises all relevant functional areas, command and staff interactive processes at and between both JFC and CC levels, and the overall evaluation process. The aim is three-fold: to give the JFC and CCs a comprehensive view of own performance and the interaction between the two levels; to provide the JALLC a tool to improve the entire future NRF pool; to give the entire NATO community the necessary input to improve the evaluation and certification processes.

e. The OPD participates in the PXD to provide input to the Evaluated HQ’s performance, to identify trends, suggested improvements and sustainments as well as to provide valuable insight towards improving the exercise, the evaluation and certification processes.

COMPONENT LEVEL EXERCISES




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10. Standard Functions. Primarily, the OPD monitors the CC evaluation process (and certification of CC force elements when requested). When requested by JFCs and when within its means and resources, the OPD might also support the CC’s EP development and/or augment the JFC and/or CC(s) Evaluation Group.

a. Exercise Concept and Development Specification Stage. When requested and within means and resources, the OPD assists the OSE in order to establish the evaluation requirements.

b. Exercise Planning and Product Development Stage. When requested and within means and resources, the OPD assists the OCE to:

(1) Provide guidance on TO and Exercise Objectives.

(2) Develop the evaluation concept and refine evaluation requirements.

(3) Assess evaluation RLS requirements.

(4) Review the Evaluation Annex and Appendices and related portions of Part III of the EXPLAN.

(5) Finalise the evaluation objectives.

(6) Assist the Evaluation Group manning.

c. Exercise Operational Conduct Stage.

(1) The OPD provides monitors during the exercise Operational Conduct Stage with the following activities and considerations:

• Observe how the CCs conduct the evaluation, as well as the JFC role in the exercise, in order to provide the OPD Director, the JFC and the CC Commander(s) with a relevant assessment of evaluation and the effects on performance (this assessment might aid the JFC validation of the CC evaluation).

• Monitor the methods and results of the internal evaluation with respect to the existing NRF certification, training and evaluation concepts.

• Gain a better understanding of the CC-level capabilities (to include interaction with the JFC), and their organisational and tactical procedures.

(2) When specifically requested by COM CC, the OPD can also monitor the certification process of CC force elements through a review of training records and CCs’ RRS reports, observation of DIRLAUTH and/or LIVEX evaluations, or through a combination of these activities.

(3) When requested, and within its means and resources, the OPD augments the JFC and/or CC Evaluation Group(s). This could include providing the DIREVAL.

d. Exercise Analysis and Reporting Stage. In all cases, ultimately the OPD’s Monitoring Team reports to the OPD Director, who briefs the appropriate JFC and CC Commander(s), using his findings as a contribution to the overall evaluation report.

(1) When augmenting the evaluation of CC HQs and/or providing the DIREVAL: OPD augmentees provide their contribution using CREVAL, TACEVAL and MAREVAL manuals and checklists to the DIREVAL, but might also use the OPD Evaluation Criteria Manual checklists that specifically apply to evaluating the CCs interaction with the JHQ and horizontal interaction with other CC HQs




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and the JLSG.

11. Conduct a full evaluation of a CC(s) HQ. In rare cases, the OPD performs a ‘full-blown’ evaluation of a CC(s) HQ during a CC exercise. In this case only, the OPD uses the procedures that follow those while evaluating and subsequently reporting on a JFC exercise. The OPD uses the appropriate CREVAL, TACEVAL and MAREVAL manuals and checklists.


ANNEX P TO BI-SCD 75-3 DATED: 1 AUG 07

P-1 Releasable to EU/PfP/MD

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ANNEX P. OPERATIONAL EXPERIMENTATION INTEGRATION

Introduction 1. This annex provides an overview of the experimentation planning process to integrate experimentation into an operational NATO exercise.

2. Using NATO exercises as venues for experimentation requires careful planning to minimize the impact of experiments on the conduct of the exercise and achievement of exercise objectives while simultaneously accommodating the needs of the experiment(s).

3. HQ SACT manages a database of concepts and experiments. Scheduled experiments are compiled in an annual Experimentation Programme of Work (EPOW). Some of these experiments identify specific exercises in the Military Training and Exercise Programme (MTEP) as the desired venues to host the experiments.

4. JWC, as SACT’s agent, is responsible for planning and coordinating the integration and managing the execution of collective experimentation in exercises. JWC’s NATO Guidance for Experimentation Planning (NAGEP) provides planning requirements to support the integration of experiments.

Experiment Integration Deliverables 5. The EXSPEC will also specify the tasks and responsibilities of the different organisations related to experimentation. Inputs to the EXSPEC will be finalized at the Exercise Specification Conference (ESC).

6. An Annex to the EXPLAN will provide an overview on all the experiments to be conducted in the exercise, including appendices with detailed information on each experiment. As required, there will also be experimentation inputs to other parts of the EXPLAN.

7. An Operational Experimentation Plan (OEPLAN) will provide information required for teams to conduct their scheduled activities in an exercise. The OEPLAN describes experimentation execution during an exercise. The OEPLAN consists of a main body with annexes as required; including the Experiment Design Document, the Analysis Plan, the Data Collection Plan for each experiment and timelines for submission of experiment Initial Impressions Reports.

8. After the exercise a Consolidated Venue Experiment Report (CVER) will provide the OCE and the Operational Commander a summary of the highlights of each experiment integrated in the exercise.

Experiment Integration Organisation 9. The HQ SACT/JWC Experiment Coordinator is responsible for experimentation inputs to the EXSPEC, preparing the experimentation package and handover to the Experimentation Integrator at the IPC.

10. The Experiment Integrator, from the IPC on, is responsible for the integration of experiments into the exercise, and attends CPTMs, MPC and FCC. He is responsible for collecting and delivering experimentation inputs to the EXPLAN, included the Experimentation annex, and he compiles and produces the OEPLAN.

11. An Experimentation structure will be established as part of EXCON if experimentation is integrated in an exercise. An Experiment Coordination Cell (ECC) will be formed to control and coordinate experimentation activity in the exercise. In major NATO exercises the JWC


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leads the ECC. At the tactical level this function may be delegated to the JFTC or retained by the JWC. For each experiment there will be a team and an Experiment Lead.

12. The Experiment Coordination Cell Chief (ECC Chief) is responsible for coordination of all experimentation during the conduct of an exercise. The ECC Chief will monitor experiment activity and steer and direct the various experiments as required.

13. The Experiment Lead is responsible for the management of the Experiment Team prior to and during an exercise to meet experiment objectives. Experiment Leads are responsible for providing documentation for their experiment to the Experiment Integrator for delivery to the EXPLAN.

Experimentation Integration Process 14. An Experimentation Planning Process, see Appendix 1, is required to ensure close coordination and smooth integration of experimentation into exercises. This process is time driven, and is carried out both parallel to and integrated with the exercise planning process.

15. HQ SACT will define an Experimentation Package for the exercise, having carried out Bi-SC level coordination for approval as required. Once this Experimentation Package is approved the process to integrate the experiments into the exercise can start. The transfer of responsibility for integration from HQ SACT to JWC will take place before the Main Planning Conference (MPC) of the exercise.

16. The Experimentation Planning Process is completed when the Operational Experimentation Plan (OEPLAN) is approved (normally by Director JWC), the experiments are ready to be conducted, and all details are coordinated through the HQs and units involved.


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APPENDIX 1 TO ANNEX P -- EXPERIMENTATION PLANNING PROCESS IN NATO EXERCISES


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ANNEX Q TO BI-SCD 75-3 DATED: 1 AUG 07

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ANNEX Q. LIVE EXERCISES AND ENVIRONMENTAL PROTECTION CONSIDERATIONS

Introduction 1. The purpose of this Annex is to provide an overview of additional planning activity required for a LIVEX as well as considerations for environment protection for LIVEXs and deployed elements of CPXs. LIVEXs are a vital part of the exercise armoury. Even with advanced assistance from computers, CPXs are unlikely to discover interoperability and other “real” difficulties. The key to LIVEX planning is to ensure that the objectives offer nations sufficient training payback for the expense of deploying troops. Additionally LIVEX need to be programmed well in advance with sufficient detail to allow national asset programmers the opportunity to fit unit schedules around the exercise.

LIVEX Planning Considerations 2. The following are a series of additional factors that have to be considered when planning a LIVEX:

a. Host Nation Selection. The choice of HN can be a major influence on the degree of planning required. There will often be a payoff between the sophistication of the infrastructure to support the exercise and the restrictions placed on the use of exercise areas, amount of low flying, night time activity etc. See Annex L, Host Nation Support Considerations, for further guidance.

b. Exercise Area Review. It is no surprise that the availability of suitable exercise areas must come high on the list of considerations. It may be necessary to programme Exercise Area Recces for the units scheduled to operate in them. There are three aspects to take into account:

(1) Size. There is a serious shortage of large exercise areas suitable for joint manoeuvre. For instance: If an amphibious exercise is to be anything more than procedural the exercise must have more than just a suitable beach. Width is required for more than one unit disembarkation while 24 hour availability is required to enable a true beachhead to be established and depth inland is required to facilitate post consolidation manoeuvre.

(2) Capabilities. Exercise area capability factors include:

(a) Can the roads accept the largest expected vehicles? (b) What is the capacity of the road and rail infrastructure? (c) Can the facilities support the numbers of troops expected? (d) Are live fire opportunities available? If so what are the largest calibre

weapons acceptable? (e) Are any ranges instrumented?

(3) Restrictions. Exercise area restriction factors include:

(a) When are the areas available? (b) Is there any minimum/maximum height or airspeed restrictions placed on

flying activity? (c) What are the arrangements for cooperating with the local populace? (d) Is crop and other damage a Host Nation or a sending nation responsibility? (e) Is there any arms control limitation, e.g CFE ceilings ?




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c. LIVEX Environmental Factors.

(1) Exercise on the environment.

(a) Exercise areas are often home to rare fauna and flora. (b) Noise limitations (low flying). (c) Out of hours activity restrictions may limit tactical realism.

(2) Environment on the exercise. A full environmental survey may be required to discover hazards to personnel; e.g. Toxic Waste, environmental health issues, endemic disease etc.

d. Scheme of Manoeuvre. To enable nations to understand the OCE’s concept for the exercise, a scheme of manoeuvre (SOM) will have to be drawn up for distribution with the final draft EXSPEC prior to the IPC.

e. Statement of Requirement. An SOR will accompany the SOM. This will state in general terms the types and numbers of forces the OCE thinks he requires to achieve the SOM.

f. SOM/SOR Modification. Once the nations have indicated their intent to participate and their expected contribution, the OCE will have to modify the SOM and SOR to reflect the reality of the declared participation. These two will form the basis of the Operational Plan the CPT will have to devise. The CPT must be prepared for rapid planning changes as national commitments remove or indeed add to the expected list of participants.

g. Time Jumps. To make the most of the presence of the training audience it is tempting to build a number of phases or time jumps into a LIVEX. Such events are useful to HQs but usually involve the redeployment of forces on the ground or at sea. The time taken to achieve this eats into the available exercise time and may be a waste of scarce national resources such as fuel or flying hours. If this is to be accomplished successfully, these jumps will need widespread consultation and careful planning.

h. Force Protection. An early assessment of the exercise Force Protection posture is essential. The FP requirements may be so great that they restrict tactical freedom and prevent free-play on the grounds that unexpected activity may elicit dangerous FP responses. Throughout the planning and the conduct of the exercise, Force Protection (FP) will be given the highest priority. Protection of personnel participating in and material deployed for the planning and the conduct of the exercise is the responsibility of the HN in close coordination with the OCE. Nations are to inform the OCE and Host Nation of the detailed force protection requirements for their participants. If required, a generic Force Protection TA will be developed to supplement the MOU. The HN is requested to provide appropriate Security Support and to discuss changes in security situation with the OCE as soon as possible, and to discuss potential preventive counter-measures with OCE prior to implementing them. OCE will appoint a Security Officer, who will be the Security Advisor to the Exercise Co-Directors together with HN Security Officer assigned for the exercise. Security Officers will elaborate a security plan for all aspects of security to the exercise. See Annex K, Force Protection Considerations.

i. Safety. Safety as opposed to Force Protection will require a great deal of attention in a LIVEX. Everything from the establishment of attack corridors and the use of safety cells and frequencies for the control of air attacks at sea to the rule of engagement for sentries issued with live ammunition. Aspects such as the issuance of Notice to Mariners and Notices to Airmen have to be coordinated.




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k. OPFOR. Orders for OPFOR have to be prepared, STARTEX positions determined, etc. Great care has to be taken that Plans and orders are given the correct distribution.

l. Distinguished Visitors Day. LIVEX attract high level interest from both NHQ and nations. There will be pressure to plan a DV Day. This will have to be merged into the exercise play with care. Programme it too near the start and the troops may not be fully ready for a display. Leave it too late and some participants may be packing to leave or have already left. Planning the DV Day for the middle will ensure the practise day and the actual day do not cut right across important training time. A compromise will always have to be met taking the OSE and OCE’s diaries into account. See Annex I, Visitors, Observers and Inspectors Considerations.

LIVEX Organisation 3. LIVEX organisation factors to be considered include, inter alia:

a. Planning. A complex, joint LIVEX will require considerable coordination. The EP, whilst having to take a broader range of issues into account, will not require a vastly changed planning organisation. There will undoubtedly be a larger number of syndicates to convene at planning conferences and probably a larger attendance list. However the CPT should remain a small manageable team with augmentees added only when called for. There will probably be the need for a number of extra coordination conferences to deal with issues such as air safety, movement planning etc. Difficult situations with an unclear situation about the HN may require a longer than the projected 12 months planning cycle. Time consuming (politically implicated) questions need to be solved before this 12 month cycle.

b. Execution. The execution organisation will need to be augmented. The Exercise control organisation will probably need the addition of an Umpires structure to act as control on the ground whilst an additional Response Cell known as Local OPS CONTROL (LOPSCONTROL) should be considered. A template for LOPSCONTROL Terms of Reference (TOR) is at Appendix 1. It is almost certain that a large LIVEX will attract both Visitor and Media interest. In these circumstances the EXPLAN may have made the VOBDIR and the PICDIR EXCON.

LIVEX Process 4. The EP throughout the LIVEX remains the same as in any other exercise. However, it should be clear who must make the decision with respect to the LIVEX location and this decision must be made before the EXSPEC is written. To ensure all aspects such as recces, extra workshops and conferences are catered for it may be necessary to commence the EP for a LIVEX considerably earlier than for a major CPX. It is important to remember to ensure deliverables can reach operational units in a timely manner.

LIVEX Milestones 5. The notional milestone timings summarised in Annex E should be adequate for LIVEXs, however the decision making process with respect to the host nation(s) may need to be initiated before the notional 12 month exercise process period. This should include consideration of the host nation searching process; i.e whether there is only one offer or multiple offers, whether it will be a NATO country or a non-NATO country.

ENVIRONMENTAL PROTECTION CONSIDERATIONS 6. Need for Environmental Planning. By considering environmental issues early during the planning process, the JFC may continue to achieve operational objectives while minimizing the impact on human health and the environment. Failure to consider the




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environmental impacts of all activities may adversely affect the operation. Potential effects include delaying exercise commencement, limited future use of exercise or HN areas, and adverse public opinion, potentially impacting the success of an exercise. Commanders should make environmental considerations an integral part of the mission planning and operational decision-making process. In joint operations, it is important that all Services implement these requirements in the same way. The JFC and subordinate CC should develop and publish environmental policies and procedures in the “Environmental Protection” appendix to the OPLAN that will minimize the impact of environmental health effects on an exercise and the exercise effects on the environment. By early assessment of environmental considerations, commanders may become aware of the potential environmental effects or impacts of mission accomplishment while alternatives still exist to address mitigating actions. By planning early, the JFC and joint force staff will be aware of the environmental requirements, and will be able to plan more efficiently and act accordingly. Furthermore, careful and visible attention to environmental considerations in the conduct of an exercise can assist in shaping a positive image both internationally and domestically.

6. Elements of Environmental Planning. The OCE should plan the exercise to achieve mission objectives while minimizing the environmental effects and observing environmental requirements. Although not all of the following elements will be applicable to all exercises, they may prove helpful during planning.

• Identification of operational objectives and the activities that are proposed to obtain these objectives, including logistics and identification of hazardous materials that may be used.

• Identification of potential alternative means of obtaining operational objectives. Alternatives include such ideas as computer simulation or use of new technologies to minimize impact on the environment.

• Identification of the environmental requirements that are applicable to the exercise area.

• Identification of adverse environmental health and environmental impacts that may result from conducting the exercise.

• Establish formal relationships and coordination with other disciplines that have roles in environmental planning and operations (e.g., medical and legal).

• Identification of the characteristics of the environment potentially affected.

• Identification of possible environmental contingencies that may occur during the operation, such as accidental spills. Determination of how the environmental contingency would affect the environment in the exercise area and how it could be prevented or mitigated should it occur.

• Determination of the environmental and operational risk associated with the operation. If risks are unacceptable, identification of alternatives that will mitigate associated risks.

• Negotiation of applicable agreements to allow for the unimpeded transit of hazardous materials or waste by military and contracted assets for environmentally sound treatment or disposal.

• Determination of contractor status, to include privileges and immunities in support of the operation.




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7. Key Environmental Factors. JFCs should consider environmental and force health protection during each phase of an operation. In planning and conducting joint operations, regardless of geographic location, commanders should give appropriate consideration to the following:

• Pre-existing environmental conditions impacting site selection, environmental health vulnerabilities and potential liabilities associated with the operation.

• Ensure a pre-deployment site assessment is performed. Military preventive medicine and Environmental Protection personnel, part of the initial deployment team on site, will perform an Environmental Baseline Survey to document the occupational and environmental health status of a bed down location.

• Air emissions.

• Hazardous materials, including pesticides.

• Hazardous waste. Appropriate disposition could include recovery, treatment, or disposal within the operational area or, where necessary, transit to another country for these purposes.

• Oil and hazardous substance spills prevention, control, and response training.

• Medical and infectious waste.

• Solid waste.

• Water and wastewater, to include sanitary wastewater.

• Natural resources to include endangered or threatened species and marine mammals.

• Historic and cultural resources.

• Noise abatement.

• Resource and energy conservation through pollution prevention practices.

• Camp closure and site cleanup prior to redeployment.

• Incident reporting and documentation of any cleanup action.

• Transportation of excess material and equipment from the tactical area in an environmentally sound manner. Contractors and contractor vehicles need to be assured of unhindered transit of international borders.

8. Environmental Risk Management. Environmental risk management is the process of assessing, detecting and controlling the environmental risk arising from operational actions and balancing environmental risk with mission benefits and gains. Knowledge of the environmental factors is key to planning and decision making. With this knowledge, leaders can promote operational success, quantify environmental risks, detect problem areas, reduce the possibility of injury or death to military personnel and affected civilian populations, reduce property damage, and ensure that operations are consistent with environmental requirements. The JFC should integrate environmental risk management into the overall planning of operations.

9. Environmental Contingencies a. Oil and Hazardous Substance Spills. The laws and policies that control oil and hazardous substances protect water, soil, and air from harmful levels of contamination.




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Joint forces should ensure that they minimize environmental contamination from oil and hazardous substances. The JFC or subordinate CC should complete an oil and hazardous substance spill contingency plan for an operation as part of the “Environmental Protection” appendix to the OPLAN prior to commencing joint operations. Spill contingency plans should address prevention procedures and practices, spill reporting, initial control and recovery actions, cleanup actions, and C2 responsibilities. The plans should also address availability and location of equipment (e.g., personal protective equipment) for control and cleanup, safety and health of personnel, and training.

b. Environmental Non-Compliance. During an exercise, environmental non-compliance may occur due to machinery and equipment breakdown or malfunction, enemy actions, or the inadvertent or wilful disregard or violation of environmental requirements by operating force personnel. Failure to take prompt and appropriate action may endanger human health and exacerbate the consequences of the incident. The “Environmental Protection” appendix to the EXPLAN and the appropriate OPLANs should address such environmental contingencies, including reporting requirements.


ANNEX R TO BI-SCD 75-3 DATED: 1 AUG 07

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ANNEX R. MILITARY COOPERATION PROGRAMMES General 1. All NATO and NATO/PfP exercises open to partners and the supporting building blocks, once developed and approved within MTEP, are to be included in the cooperation programmes - the Euro-Atlantic Partnership Work Plan (EAPWP), the Mediterranean Dialogue Work Programme (MDWP), the Istanbul Cooperation Initiative (ICI) menu of practical activities, the NATO-Russia Interoperability Framework Programme, (NRIFP) or other respective cooperation programmes – as approved by NAC. For NATO’s Action Authorities this approach will facilitate the commonality of procedures, synchronization of efforts and adherence to the established policies regarding the preparation, coordination and execution of NATO-led events offered to the partners. Therefore, all exercise related events for inclusion in the annual EAPWP are to be developed, at latest, in March of the previous year. Procedurally practical implementation of the exercises and related events must be executed in accordance with principal requirements for military cooperation events.

2. Invitation. An invitation letter to partner countries must be issued by the OSE/OCE HQ a minimum of 90 days prior an event-taking place. The following information must be covered:

a. Event reference number, nickname, date, place and duration.

b. Event objectives and estimated outcome.

c. Target audience, skills requirements.

d. Security requirements.

e. Outline agenda.

f. Linkages to certain NATO Tasks List tasks in the Partnership Goals and the event’s association with primary and supported areas of cooperation.

g. POC details, including rank, name, phone/fax number and an unclassified e-mail address.

h. Comprehensive administrative information regarding an event to include the location, hotel accommodation, transportation arrangements, registration deadline, dress code, financial conditions (tuition fee, entitlement for subsidisation, etc.).

i. Joining report form.

3. Invitation Distribution. For PfP, MD and ICI nations the Action Authorities are requested to abide by the following procedures:

a. For partners the invitation letters have to be distributed as follows:

(1) Hard copy submitted to PCC (copy to SHAPE J5 Military Cooperation) for subsequent distribution to invited partners and NATO nations.

(2) Signed and scanned copy of invitation materials simultaneously uploaded in ePRIME and registration process must be set as “open”.

(3) Direct military to military contact between Action Authorities conducting activities and partner’s designated POCs is authorised once the activities have been formally staffed via the letter of invitation.

b. The NATO-Russia Interoperability Framework Programme and other cooperation programmes will be in accordance with separate guidelines provided with each programme; in the event of no such guidance, contact SHAPE J5 Military




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Cooperation for format and procedures.

4. Joining Instructions. Detailed joining instructions must be submitted by the event action authority, for PfP, MD and ICI nations through the PCC (copy to SHAPE J5 Military Cooperation) a minimum of 30 days prior to an event commencing. The same materials must also be made available in ePRIME. At a minimum, these instructions must contain:

a. Final event agenda.

b. List of participants.

c. Local transportation arrangements.

d. Accommodation check-in/check-out procedures.

For other cooperation programmes according to separate guidelines on the individual programme, or if there are no such guidelines through SHAPE J5 Military Cooperation branch.

5. Read-Ahead Package. Wherever possible and appropriate, a read-ahead package to support event objectives is to be developed and delivered for PfP, MD and ICI nations through the PCC (copy to SHAPE J5 Military Cooperation) to all identified participants at least 20 days prior an event. Package content must be designed to prepare the participants for an event itself, providing necessary background and specific information. For other cooperation programmes according to separate guidelines on the individual programme, or if there are no such guidelines through SHAPE J5 Military Cooperation.

6. Administration. The administrative issues to be observed by all ACO HQs and the PCC include, but are not limited to, the following:

a. Security. All security regulations need to be addressed well in advance and be fixed before the target audience, date and location of an event are determined. Event related security requirements must be clearly stated in the invitation letter and for PfP, MD and ICI related events also promulgated in PRIME. See Annex T to this directive.

b. Supporting Documentation. Any requests for release of NATO documents must be forwarded and handled, for PfP, MD and ICI nations through the PCC. Once release authority is granted, the PCC is to ensure that requested documentation is obtained, cleared and released in accordance with NATO’s security regulations. If classification permits, released documents are to be subsequently uploaded, by the respective action authorities, into ePRIME. For other cooperation programmes according to separate guidelines on the individual programme, or if there are no such guidelines through SHAPE J5 Military Cooperation.

c. Resources. The event action authority must maintain continual liaison with its own HQ Military Cooperation fund manager to ensure that necessary funds are readily available within the constraints of the approved budget.

d. Visa Support. For PfP, MD and ICI nations the PCC is the central point to facilitate visa support for participating partners. NATO’s event action authorities are to manage visa issues through the PCC, providing necessary participants’ data and executing the appropriate coordination. For other cooperation programmes according to separate guidelines on the individual programme, or if there are no such guidelines through SHAPE J5 Military Cooperation.

7. Feedback and After Action Report. Along with the reports required by the present established guidance (see Chapter 6), other specific reports are required, especially aimed for the evaluation of the military cooperation with partners. For the NATO-Russia




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Interoperability Framework Programme and other special cooperation programmes, the procedures to be followed will be in accordance with separate instructions provided for each programme. In the event of a lack of specific guidance for any of the programmes, SHAPE J5 Military Cooperation branch should be contacted for format and procedures to be followed. For EAPWP, MDWP and ICI MPA, the events’ outcome must be summarised and reported as follows:

a. An initial feedback report is to be produced within two weeks of event completion. This report must be developed using ePRIME’s appropriate format and posted in this database.

b. The comprehensive after action report requested in the Allied Command Operations Guidance for the Development of the Military Cooperation programmes, can be replaced with the FIR and the minutes from the IPC, MPC and FCC proving they indicate the number of participants from each country and costs incurred with partners participation

c. All materials regarding military cooperation lessons learnt must simultaneously be submitted to SHAPE J5 Military Cooperation and the Partnership Coordination Cell Bi-Strategic Commands Evaluation Team (BET) for subsequent analysis.

8. Cancellations or Postponements. Any cancellation or postponement must be coordinated and authorised through SHAPE J5 Military Cooperation branch, in liaison with SHAPE J7. Once SHAPE authorises the postponement or cancellation of an event, the event action authority is to submit an appropriate notification letter for Partners to the PCC and introduce the related changes in ePRIME, if appropriate.

9. New Activities or Modification to Approved Activities. New activities or changes to approved activities (i.e. event objectives, dates, locations etc.) require formal NAC approval through the out-of-cycle process. Out-of-cycle requests are to be submitted, by the event action authority, to SHAPE J5 Military Cooperation at least 90 days prior to the start of the event.

10. Financial Assistance. The NATO financial assistance to the eligible partners is to be managed in accordance with the appropriate NATO financial regulations in force. The NATO subsidy is granted to partners participating in exercises related events (so called “building blocks”) but not in the actual exercises themselves.


ANNEX S TO BI-SCD 75-3 DATED: 1 AUG 07

S-1 Releasable to EU/PfP/MD

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ANNEX S. LESSONS IDENTIFIED IN THE EXERCISE PROCESS Introduction The annex provides guidance for the collection and processing of lessons identified/learned during conduct of the exercise process. It applies to all members of the HQs’ exercise planning staffs, Exercise Planning Groups (EPGs), Core Planning Teams (CPTs) and Exercise Control (EXCON) organisations/teams. The lessons identified/learned by the training audience will be collected and processed in line with the Bi-SC Interim Guide for Lessons Learned as supplemented by the ACO and National HQs Lessons Learned directives and procedures.

Definitions Observation. As used in this directive, a term used as a synonym for the term “Lesson Identified”. It is also the title of the first field of the lessons identified/learned format.

Finding. A concise statement based upon observations, data or information. [Bi-SC Interim Guide for Lessons learned]

Lesson Identified. One or more findings that have been staffed and deemed to be beneficial to others. This staffing includes, but is not restricted to, discussion of the nature/causes of the observation, recommendation of actions to be taken as well as proposed Action Body (AB). [Bi-SC Interim Guide for Lessons learned]

Lessons Learned. Information derived from an experience that may be beneficial to others. It consists of validated information gained during the evaluation, which serves as the basis for remedial action, improvements in training, enhancement of operational capabilities, and elimination of shortfalls/deficiencies. [MC 458/1]

Observation Collection Program (OCP). The OCP is a Microsoft FoxPro database tool and is an element of the JALLC Functional Area Services (FAS). The OCP was designed for use by specialised analysis/certification/evaluation teams and participants in exercises as well as specialised analysis teams in real operations. The OCP provides a structured format for collecting and staffing observations and provides exports in the NATO Lessons Learned Database (LLDb) format. The OCP administrator can set up the OCP to enforce the entry of observations linked to exercise process stages and activities as well as other useful categories such as the Essential Operational Capabilities, NATO Tasks List and Doctrine, Operations, Training, Material, Leadership, Personnel and Facilities.

Exercise Process Lessons Identified/Learned Implementation Feedback from all exercise process activities is vital to continue the transformation of Alliance capabilities and improvement of the NATO military exercise programme. To make proper use of that feedback, lessons must first be properly identified and disseminated, followed by analysis and, when appropriate, the application of corrective action to produce actual Lessons Learned. The process must also be continuous in nature and clearly understood in order to ensure coherent application of resources towards the improvement of the NATO military exercise programme.

The exercise process Lessons Identified/Learned release authority is the Officer Conducting the Exercise (OCE) and the EXPLAN will contain the implementing details for each exercise. Exercise process Lessons Identified/Learned will be approved by the OCE, coordinated if necessary with higher headquarters, prior to submission to the JALLC for inclusion in the LLDb.


ANNEX S TO BI-SCD 75-3 DATED: 1 AUG 07

S-2 Releasable to EU/PfP/MD

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Appendix 1 - Lesson Identified/Learned Format


APPENDIX 1 TO ANNEX S TO BI-SCD 75-3 DATED: 1 AUG 07

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APPENDIX 1 TO ANNEX S LESSON IDENTIFIED/LEARNED FORMAT

The format below should be used for collection of observations and Lessons Identified during the exercise process. This format is taken from the Bi-SC Interim Guide for Lessons Learned and is compatible with the NATO-owned Observation Collection Program (OCP) format which is designed to be imported into the NATO Lessons Learned Database (LLDb). The Action Body, Intended Completion Date and Comment fields are only used if a Recommended Action (RA) is determined to be required after processing by the OCE.

ORIGINATOR Title: Date: Issue: Updated: Event: Classification:

Title

Observation

Discussion

Conclusion

Recommendation

Action Body

Intended Completion Date

Comment Name: Rank: Service: Phone: IVSN: Fax: E-mail: Billet: Parent HQ:

NOTES:

1. Title. The title should encapsulate the essence of the Lesson Identified/Learned in such a way as to give a reasonable indication as to content. A short but explicit title will make it easier to use when presented through the LLDb.

2. Observation. This field should present a short factual description of the observed issue or problem and the results of dealing with it. This statement can be positive (something that worked well) or negative (something that failed to work properly). It should be based on facts, which are correlated and verified. Details should be presented in the discussion paragraph. Each lesson should be limited to a single problem or issue.


APPENDIX 1 TO ANNEX S TO BI-SCD 75-3 DATED: 1 AUG 07

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3. Discussion. This field should amplify the observation statement and include the who, what, where, when, why, how and how long details of the situation observed. The impact to the exercise process activities and/or steps as well as their products should be defined. The discussion may address:

(a) What exercise process stages, activities and/or steps were affected and how?

(b) What procedures or other tools were in use in the problem area?

(c) What extra amount of time was required to correct the situation?

(d) What was the number of times this problem had occurred before?

(e) Whether this same problem could happen again and how often?

(f) Description of what was learned.

(g) Description of the work-rounds in order to solve the problem.

(h) Details of the work-around finally used.

(i) Justification of a better work-around or an altogether new solution

4. Conclusion. This field should include the concluding statements which complete the observation and discussion. Conclusions should sum up the essential elements of what has been reported in the discussion and should support the recommendation(s).

5. Recommendation. This field should include recommendations for implementing a successful Lesson Identified or for rectifying/amending a Lesson Identified that was not successful. Recommendations may be advisory where the overall Lesson Learned is designed to be of broad and ongoing applicability. This field should include recommendations when a Lesson Identified requires new or modified publications, capture of exercise tools functional requirements, changes to the Bi-SC Exercise Directive 75-3, improving training or some other factor to make it successful. This field should also include a statement about who is responsible for making the correction.


ANNEX T TO BI-SCD 75-3 DATED: 1 AUG 07

T-1 Releasable to EU/PfP/MD

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ANNEX T. SECURITY GUIDANCE FOR PARTNERS/NON-NATO ORGANISATIONS AS EXERCISE PROCESS PARTICIPANTS AND

OBSERVERS Introduction 1. This annex is derived from NATO Security Directives1 and provides general guidance with respect to compliance with NATO security directives throughout the Exercise Process. The respective ACO HQs Security Authority should be consulted for further details and assistance. This security guidance is applicable to the following:

• Partners, as scheduled in the MTEP, when supporting the OCE during the Exercise Planning and Product Development Stage and when supporting the EXCON during the Exercise Operational Conduct Stage.

• Partners, as scheduled in the MTEP, when observing performance of the Training Audience during exercises.

• Partners, as scheduled in the MTEP, when participating as members of the Training Audience during exercises.

• Members of non-NATO organisations supporting the OCE during the Exercise Planning and Product Development Stage.

• Members of non-NATO organisations supporting the EXCON during the Exercise Operational Conduct Stage.

• Members of non-NATO organisations when participating as members of the Training Audience during exercises.

• Partners, as scheduled in the MTEP, and members of non-NATO organisations when supporting evaluation, analysis and experimentation activities during the Exercise Process.

Prerequisites for Partners’ Observation and Participation in the Exercise Process 2. Eligibility for PfP Partner Nations.2 Participation in most Command Post Exercises (CPX) related to specific NRF deployments or rotations will be open to qualified Partner units (and appropriate staff in their chain of command) that: are declared to the PfP planning and review process (PARP); have agreed to the Partnership Goal on high readiness forces; are declared to the OCC Pool of Forces and have completed a minimum Level 2 Self-Evaluation; and are fully committed to completing a Level 2 NATO evaluation under the Evaluation and Feedback (E&F) Programme. Other PfP Partner nations will be allowed to participate only as observers to seminars and CPXs related to specific NRF deployments or rotations. However, all PfP Partners may attend general seminars, training and educational activities not tied to specific NRF deployments or rotations, when those activities are

1. The Security Directives referenced for this appendix are: CM(2002)49, NATO Security Policy, Corrigendum 3, dated 5 Dec 06; AC/35-D2000, Directive on Personnel Security, Revision 2, dated 2 Dec 06; AC/35-D2001, Directive on Physical Security, Revision 1, dated 7 Dec 06; AC/35-D2002, Directive on the Security of Information, Revision 3, dated 6 Dec 06; and ACO Security Directive 70-1, 31 Mar 06, with Corrigendum dated 20 Mar 07. Bi-SC Exercise Directive 75-3 users should maintain close coordination with their HQ Security Authority pending promulgation of the fully amended ACO Security Directive 70-1 which will, inter alia, incorporate the referenced NATO Security Committee’s (AC/35) directives.

2. SHAPE SHJ7/TTX/0070/LD/06-200119, Interim Guidance for Partner Participation in Exercise Planning, 24 May 07.




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identified as open to all PfP Partners in the MTEP. The NAC retains the right to restrict or revoke the eligibility of Partners to participate in NRF-related activities.

3. Procedures for Qualified PFP Partner Nations. Qualified Partner unit members are to declare their intention to participate at the IPC. The OSE forwards the requests to SHAPE J7 for assessment whether these Partner units will be qualified to participate in the exercise, depending upon their commitment in the OCC E&F. SHAPE J7 informs the OSE, OCE and PCC on the results of the SHAPE assessment and the PCC inform the respective Partners. SHAPE J7 then forwards a request for the possible participation of the qualified Partner unit members to NATO HQ for NAC approval. Pending the NAC decision, the planning should continue with the assumption that the members of qualified Partner units assessed to be eligible will, in fact, be approved to participate in the exercise. If there is no decision by the NAC 90 days before the exercise, the participation of qualified Partner unit members in the exercise will be cancelled. When the NAC has approved the participation of qualified Partner unit members in the exercise, SHAPE J7 informs the OSE, OCE and PCC and the PCC inform the respective Partners on the NAC decision.

4. Eligibility for Other Partner Nations. Relevant MTEP activities open to non-NATO countries are published annually in the Euro-Atlantic Partnership Work Plan (EAPWP), the Mediterranean Dialogue Work Programme (MDWP), the Istanbul Cooperation Initiative Menu of Practical Activities (ICIMPA) and the NATO-Russia Council at Military Representatives Level (NRC-MR) Work Plan. The current MTEP is organised to provide a comprehensive presentation of Partner and non-NATO nation opportunities for participation or observation, and to allow easier incorporation into the respective Partnership or cooperation programmes.

Prerequisites for Non-NATO Organisations’ Participation in the Exercise Process 5. Authorisation. The participation of non-NATO organisations in NATO military exercises must be coordinated with the MC and NAC as per MC 411/1, AJP 9 and MC 550, unless covered in a Memorandum of Understanding (MOU), Letter of Agreement (LOA) or another similar agreement, or that the participation follows a routine cooperation with NATO and is limited to the portrayal of its own role in the exercise. Otherwise participation must be coordinated with SHAPE J9.

6. Invitations. Non-NATO organisations will be invited by the OCE, (JWC for STEADFAST series joint exercises) to send representatives to participate in all NATO exercises. The OCE will coordinate all necessary details with regards to the non-NATO organisations’ participation, including participation in exercise planning, developing the MEL/MIL and exercise execution, reimbursing expenses as necessary, and based on the existing arrangements on a case-by-case basis.

Requirements for Release of NATO Classified Information to Non-NATO Nations/ Organisations3

7. Release Authority. The NAC is the ultimate authority for the release of NATO classified information to non-NATO recipients. This authority adheres to the principle of originator consent and is delegated to SACEUR or DSACEUR for information classified up to and including NS, which is identified as being releasable to xFOR, or is classified NATO/xFOR SECRET (mission SECRET) under the specified conditions and the Mission Commander, for an operation involving non-NATO Troop Contributing Nations, as endorsed by the NAC, for information classified up to and including NS that has already been

3. Authority for release of NATO classified information to non-NATO recipients is laid down in

Chapter 4 to Part III of the ACO Security Directive 70-1 with Corrigendum dated 20 Mar 07.




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determined as releasable to the mission (xFOR), under the specified conditions.

8. Security Agreement. A Security Agreement, signed by the Secretary General on behalf of NATO and by a representative duly mandated4 by the non-NATO recipient, must have been conducted. Where a Security Agreement is in force with an international organisation, the release of information to its non-NATO members shall be in accordance with the relevant provisions of the Security Agreement as well as other established rules concerning their participation in NATO activities.

Arrangements for Non-NATO Nations/Organisations’ Access to NATO Secure Areas 9. Arrangements for Normal Operations. Individuals from non-NATO nations/International Organisations who, because of their assignment and official duties, need regular interface with NATO staffs may be granted unescorted access to a NATO Secure Areas. Such individuals may also be assigned office space within a NATO Secure Area, in order to fulfil their assignment and official duties. The granting of unescorted access and/or the assignment of office space, shall be handled on a case-by-case basis, and shall be in accordance with the criteria set out in Annex E to Chapter 1 to Part II of the ACO Security Directive 70-1 with Corrigendum dated 20 Mar 07.

10. Arrangements for Military Exercises. The OCE’s Security Authority will ensure that appropriate arrangements are made with respect to provision of the requisite access to NATO security zones/areas for members of non-NATO Nations and non-NATO organisations approved for participation in the exercise process. Approved individuals shall receive a special access pass or badge, which indicates that the individual is permitted unescorted access to a specific zone in the NATO secure area. This special pass will not provide access to any other NATO secure areas. All security precautions and procedures with respect to non-NATO presence in NATO secure zones remain in force. Only the escort requirement from the access point to the specific zone in the NATO secure area is waived.

Escorted Access to NATO Secure Areas 11. General. For personnel of non-NATO Nations/Organisations without NATO Security Agreements, provision shall be made for escorts or equivalent controls to prevent unauthorized access to NATO classified information or to information systems and networks processing NATO classified information as well as uncontrolled entries to NATO secure areas. Exceptionally, such access may be permitted but only when stringent precautions have been taken to prevent unauthorized access to NATO classified material.

12. Escorted Personnel. Escorted personnel of non-NATO Nations/Organisations without NATO Security Agreements will not be allowed access to primary sources of NATO classified information or to information systems and networks processing NATO classified information. They may be permitted access to meetings/briefings only after NATO classified information to be used in them has been approved for release.

13. Secure Area Escorts. Secure Area Escorts are duly-designated personnel who have appropriate clearances and access authorisation for the NATO secure area and who are fully aware of their responsibilities to control the activities and access of the individual(s) being escorted.

4. A “representative duly mandated” is an officially authorised representative who is either the

direct recipient of released information or is a senior representative responsible for ensuring the protection of information released in support of a cooperative activity.


ANNEX U TO BI-SCD 75-3 DATED: 1 AUG 07

U-1 Releasable to EU/PfP/MD

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ANNEX U. TEMPLATES FOR EXPLAN ANNEXES This Exercise Directive annex provides templates for selected annexes of an EXPLAN. The following list of EXPLAN annexes is taken from Annex D above and templates for the bolded-underlined EXPLAN annex names are provided as appendices to this annex.

Appendix Annex Name Annex

Task Organisation and Participation A

Geo-Strategic Situation, Exercise Setting and Scenario Overview B

Scenario Modular Products Schedule C

Training Objectives D

STARTEX Situation E

1 Modelling and Simulation Control Plan/Instructions F

Real Life Support G

Experimentation Plan/Instructions H

CIMIC I

2 Non-NATO Participant Plan/Instructions J

Legal Instructions K

Public Information Plan/Instructions L

Visitors and Observers Plan/Instructions M

Land Exercise Instructions [LIVEX only] N

Air Exercise Instructions [LIVEX only] O

Maritime Exercise Instructions [LIVEX only] P

Amphibious Exercise Instructions [LIVEX only] Q

Psychological Operations Exercise Instructions [LIVEX only] R

Special Operations Exercise Instructions [LIVEX only] S

Information Operations Exercise Instructions [LIVEX only] T

Electronic Warfare Operations Exercise Instructions [LIVEX only] U

Communications and Bi-SC AIS Core and Functional Services Instructions

V

METOC Support/Rapid Environmental Assessment Instructions W

Geographic Support Instructions X

Environmental Protection Instructions [LIVEX only] Y

Exercise Safety Instructions [LIVEX only] Z

Force Protection Plan/Instructions AA

Exercise Process Lessons Learned Instructions BB

Budget Instructions CC


APPENDIX 1 TO ANNEX U TO BI-SCD 75-3 DATED: 1 AUG 07

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APPENDIX 1 TO ANNEX U EXPLAN ANNEX F - MODELLING AND SIMULATION CONTROL PLAN /

INSTRUCTIONS TEMPLATE This Exercise Directive appendix provides a template that proposes the appropriate details to be included in an EXPLAN for an exercise that is supported by Modelling and Simulation tools. The EXPLAN Annex F is a living document. The Modelling and Simulation Coordinator issues it in every EXPLAN version including the initial draft. New sections are written or already existing sections are modified in every version as explained in the template. Apart from three major versions of EXPLAN Annex J, other versions may also be prepared and exchanged among the SYNEX Team, Database Management Team (DMT) and SYNEX MEL/MIL Development Support Team members.

ANNEX F - MODELLING AND SIMULATION CONTROL PLAN / INSTRUCTIONS REFERENCES.

A. JWC SOP-164 CAX Event Support

B. JWC SOP-803 Scenario Development

C. JWC SOP-804 Main Events List/Main Incidents List (MEL/MIL) Development

1. Modelling and Simulation Support Planning Guidelines. 2. SYNEX Support Planning Guidelines.

(This section is written for Initial Draft EXPLAN, and modified in Refined Draft EXPLAN)

a. Modelling and Simulation Requirements and Architecture

(1) SYNEX Setup Assumptions.

(2) Modelling and Simulation Tool Selection and Construct.

(3) SYNEX Planning and Management Tools.

(4) Ancillary Tools and Requirements.

b. Mediationware Requirements.

(1) C2 System – Simulation Mediationware and C2 System Initialization Requirements.

(2) OPP Tools Initialization Requirements.

(3) Initialization Requirements for the other Functional Services.

c. Database Management Team (DMT).

(1) DMT Organisation and Tasks of DMT Members.

(2) Database Building Timelines.

d. CAX MEL/MIL Development Support Team (CMDST).

(1) CMDST Organisation and Tasks of CMDST Members.

(2) MEL/MIL Development Support Timelines.

3. CAX Architecture and Data Exchange Requirements. (This section is written for Refined Draft EXPLAN, and modified in Final EXPLAN)




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a. CAX Architecture

(1) CAX Servers and Locations.

(2) CAX Terminals and Locations.

b. Data Exchange Requirements.

4. CAX Databases. (This section is written for Refined Draft EXPLAN, and modified in Final EXPLAN)

a. Modelling and Simulation Database.

(1) Description of the Database used for the Scenario.

(2) Database Entity Design.

(3) Results of the Database Verification.

(4) Database Validation Plan.

(5) Definition of STARTEX and STARTEX Validation Plan

b. C2 Database Initialization Plans.

c. OPP Tools Database Initialization Plans.

d. Database Initialization Plans for the Other Functional Services.

5. MEL/MIL Development Support. (This section is written for Refined Draft EXPLAN, and modified in Final EXPLAN)

a. Hardware and Software Requirements.

b. MEL/MIL Database.

c. MEL/MIL Development Support Timelines.

6. CAX Support Manpower and Training Requirements. (This section is written for Refined Draft EXPLAN, and modified in Final EXPLAN)

a. CAX Support Manpower Requirements

(1) CAX Support Coordinator and Managers.

(2) CAX Support Liaison Officers.

(3) CAX Support Operators.

b. Supporting Agencies and Requirements.

c. Supporting National Simulation Centres and Requirements.

d. CAX Support Training Requirements and Plans

(1) CAX Support Liaison Officers.

(2) CAX Support Operators.

(3) EXCON Training.

7. CAX Support in Execution Phase. (This section is written for Refined Draft EXPLAN, and modified in Final EXPLAN)

a. CAX Support Team Organisation and Tasks in the Execution Phase




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b. Build up Period and Requirements.

c. Checkpoint and Backup Plans.

d. Tear down Period and Requirements

Appendices

1. CAX Architecture Diagram

2. CAX Server and Terminal Plan




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APPENDIX 2 TO ANNEX U EXPLAN ANNEX J - NON-NATO PARTICIPANT PLAN/INSTRUCTIONS TEMPLATE

This Exercise Directive appendix provides a template that proposes the appropriate details to be included in an EXPLAN for participation of non-NATO partners which may be out of the Partnership for Peace Programme (PfP), the Mediterranean Dialogue (MD) or the Istanbul Cooperation Initiative (ICI).

The main body of the appendix should provide essential details about principal requirements for the effective preparation, coordination and conduct of military cooperation events in the scope of the respective working programmes for the different partners.

Proposed EXPLAN Annex J Appendices

1 --PfP Countries [List of all PfP Nations by alphabet, with capital and country code]

2 -- MD Countries [List of all MD Nations by alphabet, with capital and country code]

3 -- ICI countries [List of all ICI Nations by alphabet, with capital and country code]

4 -- Working Programme Overview [Short description of all three Working Programmes: Euro Atlantic Partnership Work Plan (EAPWP); Mediterranean Dialogue Work Programme (MDWP); Istanbul Cooperation Initiative Menu of Practical Activities (ICI MPA)]

5 -- Partnership Goals (PG) [Definition of Partnership Goals and where to find them for different countries]

6 -- Military Tasks for Interoperability (MTI) [List of all MTIs, General, Land, Air, Maritime]

7 -- Preparations of MilCoop Events [Excerpt from SHAPE’s Guidance on invitation process]

8 -- Partner Participation / After Action Activities [Excerpt from SHAPE’s Guidance on Partner participation and after action activities (After Action Report, Action Assessment)]

9 -- Operational Capabilities Concept (OCC), Evaluation and Feedback (E&F) Programme [Excerpt from SHAPE Guidance on OCC / E&F]

10 -- Financial Instructions [Excerpt from SHAPE Guidance on Financial subsidization for Partner Nations