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

NATO UNCLASSIFIED
Releasable to EU/PfP/MD
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 TI30/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.
1
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FOR THE SUPREME ALLIED COMMANDERS, EUROPE AND TRANSFORMATION:
Rainer Schuwirth
General, DEU A
Chief of Staff
Jan Arp
Lieutenant-General, CAN F
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
2
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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
3
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7010 SHAPE
Belgium

Bi-SC
EXERCISE DIRECTIVE 75-3
1 AUGUST 2007
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7010 SHAPE
Belgium

Bi-SC DIRECTIVE
NUMBER 75-3
1 August 2007
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
General, DEU A
Chief of Staff
Jan Arp
Lieutenant-General, CAN F
Chief of Staff
i
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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:
ii
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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)
iii
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BI-SCD 75-3
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 interrelated 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 Directorates (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:
Chap/Anx 1
Para 2
Serial
001
002
003
004
005
006
007
008
009
010
011
012
013
014
015
016
017
018
019
020
1.
2.
3.
(Enter HQs/Office/Name/Contact details)

Comment/Recommendation 3
Date:
Rationale/Justification
Identify the chapter, annex or appendix. Examples: Ch 2; Annex D; Appendix D-6.

Examples: 2.4.c.(1); 6.5.
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
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Remarks
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Table of Contents
Bi-SC DIRECTIVE ................................................................................................................... i
Frontispiece.......................................................................................................................... iv
Table of Contents................................................................................................................ vii
References . x
11-1
1-2
1-3
1-4
1-5
1-6
1-7
1-8
1-9
1-10
1-11
1-12
1-13
1-14
1-15
1-16
1-17
1-18
1-19
1-20
INTRODUCTION............................................................................................. 1-1
Aim of NATO Military Exercises............................................................................. 1-1
General .................................................................................................................. 1-1
Aim......................................................................................................................... 1-1
Scope..................................................................................................................... 1-1
Organisation .......................................................................................................... 1-2
Applicability ............................................................................................................ 1-2
Methodology .......................................................................................................... 1-2
Exercise Process Key Terms................................................................................. 1-3
NATO Exercise-Related Documents ..................................................................... 1-6
NATO Systems Approach to Training (SAT)........................................................ 1-9
NATO Exercise Training Model.......................................................................... 1-10
Exercise Steps, Stages and Phases Interrelationships...................................... 1-11
Exercise Relationships between the Strategic Commanders............................. 1-11
ACO Exercise Roles and Responsibilities.......................................................... 1-12
ACT Exercise Roles and Responsibilities .......................................................... 1-14
Partnership Coordination Cell (PCC) Exercise Roles and Responsibilities ....... 1-16
Exercise Programming ....................................................................................... 1-16
ACT JJJ Programme of Work............................................................................. 1-17
The NATO Training Process vs Internal HQs Training Programmes................. 1-18
Security of NATO Classified Information............................................................ 1-19
22-1
2-2
2-3
2-4
2-5
THE NATO EXERCISE PROCESS ................................................................ 2-1

Introduction ............................................................................................................ 2-1
Exercise Concept and Specification Development Stage...................................... 2-1
Exercise Planning and Product Development Stage ............................................. 2-3
Exercise Operational Conduct Stage..................................................................... 2-4
Exercise Analysis and Reporting Stage................................................................. 2-5
33-1
3-2
3-3
3-4
3-5
EXERCISE CONCEPT AND SPECIFICATION DEVELOPMENT STAGE .... 3-1

Introduction ............................................................................................................ 3-1
Preconditions ......................................................................................................... 3-1
Concept and Specification Development Stage Deliverables................................ 3-4
Concept and Specification Development Stage Main Roles and Responsibilities. 3-6
Concept and Specification Development Process Key Activities........................... 3-7
44-1
4-2
4-3
4-4
EXERCISE PLANNING AND PRODUCT DEVELOPMENT STAGE ............. 4-1

Introduction ............................................................................................................ 4-1
Planning and Product Development Stage Deliverables ....................................... 4-5
Planning and Product Development Stage Roles and Responsibilities................. 4-7
Planning and Product Development Process Key Activities .................................. 4-8
55-1
5-2
5-3
5-4
5-5
EXERCISE OPERATIONAL CONDUCT STAGE........................................... 5-1

Introduction ............................................................................................................ 5-1
Definitions .............................................................................................................. 5-1
Operational Conduct Stage Deliverables............................................................... 5-1
Operational Conduct Stage Roles and Responsibilities ........................................ 5-2
Operational Conduct Stage Process Key Activities ............................................... 5-5
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66-1
6-2
6-3
6-4
EXERCISE ANALYSIS AND REPORTING STAGE ...................................... 6-1

Introduction ............................................................................................................ 6-1
Exercise Analysis and Reporting Data/Information Categories ............................. 6-1
Exercise Analysis and Reporting Stage Deliverables ............................................ 6-3
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 Reference C-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
MC 58/3
MC 94/4
MC 195/7
MC 317/1
MC 324/1
MC 389/2
MC 400/2
MC 411/1
MC 457
MC 458/1
MC 477
MC 510
MC 550
Terms of Reference for the Supreme Allied Commander Europe (Final)(NR),

6 August 2004
Terms of Reference for the Supreme Allied Commander Transformation
(Final)(NR), 6 August 2004
Military Committee Policy on the Conduct of NATO Exercises [Funding
chapter and annex only] (Final)(NU/PfP/WEU), 14 February 2001
NATO Minimum Interoperability Fitting Standards for Communications and
Information Systems (CIS) Equipment onboard Ships, Submarines and
Maritime Aircraft (Final)(NR), 20 February 2006
The NATO Force Structure (Final)(NR), 8 July 2002
The NATO Military Command Structure (Final)(NR), 28 May 2004
MC Policy on NATOs Combined Joint Task Force (CJTF) (Military
Decision)(NR), 4 May 2004
MC Guidance for Military Implementation of Alliance Strategy (Final)(NC), 23
May 2000
NATO Military Policy on Civil-Military Cooperation (CIMIC) (Final)(NU), 17
July 2001
NATO Military Policy on Public Information (Final)(NU/PfP), 14 June 2001
NATO Education, Training, Exercise and Evaluation Policy (Final)(NU/PfP),
27 March 2006
Military Concept for the NATO Response Force (Final) (NR), 18 June 2003
Terms of Reference for Directors JWC, JFTC & JALLC (Final)(NR), 30 April
2004
MC Guidance for the Military Implementation of the CPG (Final)(NR), 27 July
2006
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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 NATOs 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 NATOs 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 Centres 1, Agencies 2 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.
2.
3.
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).
NATO CIS Services Agency (NCSA), NATO C3 Agency (NC3A) and Joint Electronic
Warfare Core Staff (JEWCS).
The NATO Defence College, NATO School Oberammergau and NATO CIS School.
1-1
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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 OSEs 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 OCEs 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 OSEs
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 OSEs 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 OSEs
Planning Guidance. The CPT is chaired by the OCEs OPR and comprises
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representatives from the OSE, participating commands, participating evaluation teams 4
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 Commanders 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.
5.
6.
Deployable Forces evaluations, when conducted by the OPD for NRF, are undertaken by
Evaluation Groups comprised of evaluation teams at the training audiences locations.
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.
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 OCEs 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.
7.
MC 458/1 - NATOs Education, Training, Exercise and Evaluation Policy. 7 MC

458/1 is NATOs 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.
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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8.
9.
10.
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 Commanders 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.
Promulgated in IMSM-0615-2005, Operational Capabilities Concept (OCC) Evaluation and

Feedback (E&F) Programme, 10 Aug 05.
Bi-SC Education, Training, Exercises and Evaluation Directive 75-2, 12 Dec 06.
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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11.
12.
13.
g.
Bi-SC Interim Guide for Lessons Learned. 11 This guide is applicable for all Allied
HQs, centres and agencies participating in or supporting NATOs 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 NATOs 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 Commanders 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 OCEs 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 programmes 13 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. JWCs 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 areas 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
The Bi-SC Interim Guide for Lessons Learned, 25 January 2006.
MC 400/2, MC Guidance for Military Implementation of Alliance Strategy, 23 May 2000.
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. JFCs 14 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)
NATOs 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 SACEURs strategic priorities as well as his own Terms of Reference.
This analysis should result in the commanders list of refined METs complete with
conditions, standards and criteria as well as the commanders 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.
14.
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
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

NATOs 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, RSOM 15 and Integration Sub-Phase. This subphase 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 standup 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 subphase 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 MidExercise 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 324/1 16 the exercise
responsibilities and roles of the two Strategic Commanders have been clearly established.
a.
16.
SACEUR is the Supported Commander. He has lead responsibility for NATO and
Military Cooperation Programmes collective training including exercises and the
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 SACEURs 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 NATOs 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 Groups 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 MiniHICON, 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 Multinational 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 SACEURs strategic guidance, in order to achieve coherent preparation and
development of the NRF. See Annex O.
g.
NATO CIS Services Agency (NCSA) Director. The NCSAs 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 Responsibilities 17
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 OCEs 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 NATOs 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 NATOs 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 NATOs joint and
combined experimentation, analysis and doctrine development processes to
maximise transformational synergy and to improve NATOs 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 OSEs 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 SACTs 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
OSEs 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 NATOs
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 ACTs
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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. NonNATO 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 followon 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 OSEs 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 BiSCs 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 OSEs 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) SACEURs Vision for ACO.
(2) SACEURs 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) OSEs 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) OSEs Analysis Requirements.
(8) OSEs 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 OSEs 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) OCEs 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 OSEs 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
OSEs 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 subphases.
(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
OSEs aim and objectives and the OCEs 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 OCEs 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
OSEs 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 OSEs direction issued, there are a number of
essential documents that have to be consulted as defined below.
a.
SACEURs Vision for ACO. OSE and OCE exercise planners should review and
understand SACEURs intent as laid out in SACEURs Vision for ACO 2. It
specifically describes SACEURs 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.
1.
2.
3.
b.
SACEURs Strategic Plan. This document lays down SACEURs 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 Objectives 3. 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 SACEURs strategic priorities and achieve the
required levels of operational readiness. It provides the OSEs 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:
The Exercise Specification Conference was previously called the Pre-Initial Planning
Conference (Pre-IPC).
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.
For example; SACEURs 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 ACTs
Experimentation Program of Work. The eMTEP on HQ SACTs CDEMS portal
provides the same information.
(11) Point of Contact (POC).
4.
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 SACEURs
Deployable Forces training and combat readiness certification programme 4 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
SACEURs 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.
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 commanders training assessment of their
staffs 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 Requirements 5 developed by SHAPE as a
basis for developing the JALLC Programme of Work. It is compiled annually based
on SHAPEs 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.
5.
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
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.
OSEs Exercise Guidance. The OSEs Exercise Guidance is the OSEs 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 OSEs
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 OSEs 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 OCEs Exercise
Planning Guidance. A template for the OSEs Exercise Guidance is at Appendix 1
to Annex D.
c.
Exercise Specification (EXSPEC). The Exercise Specification is the OSEs 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 OSEs 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 OSEs 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.
OSEs Analysis Requirements. The EPG will determine the OSEs 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.
OSEs 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 OSEs 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 OCEs 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 SACEURs 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 SACEURs 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 OSEs direction and guidance to the OSE staff. Additionally it should
provide sufficient information to the OCE to develop the OCEs initial Exercise
Planning Guidance. The OSEs 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
SACEURs 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 SACEURs 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 NATOs deployable command and control
information systems.
(7) Establish OSEs 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
commanders 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 OCEs 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 OSEs 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 OSEs exercise objectives is required.
(2) Determine Required Operational Conditions. Based on the OSEs 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. OSEs 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 OSEs 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 OSEs guidance and
the EPGs 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 OSEs
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 PreExercise 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 TAs 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 multilevel 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
OSEs 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 OSEs aim and objectives.
(8) Coordinate Exercise Specification. The EPG will facilitate coordination and
incorporate appropriate comments on the OSEs 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 OSEs 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 OSEs Analysis Requirements and the OSEs
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.
OCEs Exercise Planning Guidance. The OCE Exercise Planning Guidance is the
OCEs 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
OCEs Exercise Planning Guidance should further address scenario requirements
and possible options for achieving the OCEs 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
OCEs Exercise Planning Guidance. A template for the OCEs 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 OCEs 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
OSEs 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, STARTEX 1 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.
2.
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.
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 OPLANs 3 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 SCs 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
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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 nondeployable 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 OSEs 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 OCEs Exercise Planning Guidance for approval. The steps
(1) Develop Guidance on Missions, Forces and Tasks. The guidance should be
based on the OSEs aim and objectives taking OCEs 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 OCEs 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 TAs 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 preOperational 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 OCEs 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
2077 6, 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.
5.
6.
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
Definitions of synthetic, fictionalised and fictitious scenario design types are in Annex A.
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 OSEs Exercise Objectives and the OCEs 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 additional 8 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 OCEs 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 OSEs aim and
objectives and the OCEs 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
(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 Commanders
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
TAs 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 SubPhase 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, J4Medical, 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
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 OSEs 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 OSEs 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 OSEs exercise aim
and objectives and the OCEs 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 OCEs 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 EXDIRs 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 teams 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 SubPhase IIIB addressing specific analysis objectives derived from the OSEs
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 NATOs 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 week 1 of academics aimed:
1.
To ensure that TA achieve a common understanding of the NATO mission to be

exercised and how it is to be executed.
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 NATOs 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 TAs 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 SubPhase 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 SubPhase IIIA STARTEX conditions based on, inter alia, the OSEs aim and
objectives and the OCEs 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 TAs 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 EXDIRs meetings/VTCs/briefings. It will also contain details of the Chief
EXCENs 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 SubPhase IIIB STARTEX, conditions based on, inter alia, the OSEs aim and
objectives and the OCEs TOs, should be applied to wargaming of the TAs
OPLANs, other Phase II products and the TAs 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 OSEs 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 Commanders 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 OSEs
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 TAs 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 EXDIRs meetings/VTCs/briefings. It will also contain details of the Chief
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EXCENs 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 Plans 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 OSEs approval of the OCEs 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
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 checkoff 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 OCEs 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 OCEs FER is the authoritative report of an
exercise to the OSE. It contains, inter alia, the OCEs assessment of whether
the exercise achieved the OSEs 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 OCEs FER. The FER will include the training
audiences assessments of the exercise as well as inputs from all participants.
The OCEs 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 OCEs 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 OCEs 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 OCEs 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 OCEs Final Exercise Report (FER). The OCE will develop and
coordinate the OCEs FER as specified in the EXPLAN to be delivered to the OSE
within 90 days of completing the exercise 3. 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.
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).
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 OCEs 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.
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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
AC/35
ACC
ACROSS
ACTORD
ADAMS
ADL
AFCAT
AFS
AMCC
APIC
ASG
BET
BO
BST
C2
C2IS
C3
CAX
CCIS
CCT
CD&E
CDEMS
CET
CFE
CFX
CGS
CIS
CJTF
CMX
After Action Review

NATO Security Committee
Air Component Command
Allied Command Resources Optimization Software System
Activation Order
Allied Deployment and Movement System
Advanced Distributed Learning
ACT Future Capabilities Analysis Team
ACO Forces Standards
Allied Movement Coordination Centre
Allied Press Information Centre
Administrative Support Group
Bi-Strategic Commands Evaluation Team
Budget Officer
Battle Staff Training
Command and Control
Command and control information system
Consultation, Command and Control
Computer Assisted Exercise
Command and Control Information Systems
Commanders Conceptual Training
Concept Development and Experimentation
CD&E Management System
Combat Enhancement Training
Treaty on Conventional Armed Forces in Europe
Command Post Field Exercise
Communications Gateway Shelters
Communication and information systems
Combined Joint Task Force
NATO Crisis Management Exercise
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COE
COM
COMMEX
COMSITFOR
CORSOM
CPE
CPT
CPTM
CPX
CREVAL
CRP
CSME
CSR
CVER
DCAOC
DCIS
DEPEXDIR
DEPREX
DF
DIREVAL
DISTAFF
DJTF
DOB
DRR
DSGT
DV
E&F
E&T
EAPMC
EAPWP
EBUG
ECC
ED
eMTEP
ENDEX
EO
EP
EPG
EPP
ePRIME
EPT
ESC
ETE
ETEED
Centre of Excellence
Communications Module
Communications Exercise
Commander Situational Forces
COalition Reception, Staging and Onward Movement
Contact Point Embassy
Core Planning Team
Core Planning Team Meeting
Command Post Exercise
Combat Readiness Evaluation of Land HQs and units
Crisis Response Planning
Combined Spectrum Management Element
Commanders Summary Report
Consolidated Venue Experiment Report
Deployable Combined Air Operations Centre
Deployable CIS
Deputy Exercise Director
Deployment Readiness Exercises
Deployable Forces
Director of Evaluation
Directing Staff
Deployable Joint Task Force
Deployed Operating Base
Defence Requirements Review
Deployable Satellite Ground Terminal
Distinguished Visitor
Evaluation and Feedback
Education and Training
Euro-Atlantic Partnership Military Committee
Euro-Atlantic Partnership Work Plan
Exercise Budget Users Group (ACO)
Experimentation Coordination Cell
Exercise Directive
Electronic Military Training and Exercise Program
End-of -Exercise
Exercise Objective
Exercise Process
Exercise Planning Group
Exercise Planning Process (superseded by EP, Exercise Process)
electronic Partnership Real time Information Management and Exchange system
Exercise Project Team
Exercise Specification Conference
Education Training Experimentation (ACT budget)
Education, Training, Exercise and Evaluation Directive (Bi-SCD 75-2)
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ETG
ETRT
EVC
EVE
EXBRIEF
EXCEN
EXCON
EXDIR
EXOPLAN
EXPD
EXPI
EXPLAN
EXPROG
EXSPEC
FCC
FCRT
FER
FIR
FIT
FLR
FM
FMB
FMO
FOC
FP
FPG
FS
FTX
GO
GOP
HAZMAT
HQSG
HICON
HN
HNS
IATO
ICC
ICI
ICIMPA
ICRC
IEG
IEPR
IER
IMS
Exercise Training Goal

Education and Training Review Team
Experiment Venue Coordinator
Effective Visible Execution
Exercise Brief
Exercise Centre
Exercise Control
Exercise Director
Exercise Operations Plan (now EXPLAN)
Experimentation Directive
Exercise Planning Instruction (now EXPLAN)
Exercise Plan
Exercise Programme
Exercise Specification
Final Coordination Conference
Future Capabilities Research and Technology
Final Exercise Report
First Impression Report
Force Integration Training
Forces of Lower Readiness
Fund Manager
Forward Mounting Base
Frequency Management Office
Full Operational Capability
Force Protection
Functional Planning Guide
Functional service
Field Training Exercise
Governmental Organisation
Guidelines for Operational Planning
Hazardous Material (aka Toxic Industrial Hazard)
Headquarters Support Group
Higher Control
Host Nation
Host Nation Support
Interim Authorisation to Operate (CIS)
Integrated Command and Control
Istanbul Cooperation Initiative
Istanbul Cooperation Initiative Menu of Practical Activities
International Committee of Red Cross
Information Exchange Gateway
Initial Exercise Press Release
Information Exchange Requirement
International Military Staff (of NATO HQ)
A-3
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INTREP
IO
IP
IPC
IPF
IS
ISM
ITU
JCATS
JEEA
JEMM
JEWCS
JF
JFATG
JIA
JJJ
Intelligence Report (message)

International Organisation
Implementing Procedures (for the NATO Financial Regulations)
Initial Planning Conference
In-Place Force
International Staff (of NATO HQ)
Information Services Module
International Telecommunication Union
Joint conflict and tactical simulation
Joint Experimentation Exercises & Assessment (HQ SACT element)
Joint Exercise Management Module
Joint Electronic Warfare Core Staff
Joint Force(s)
Joint Functional Area Training Guide
Joint Implementation Arrangement
JLSG
JMET
JMETL
JOIIS
JTLS
KLT
LCC
LCCIS/LC2IS
LINC
LIVEX
LLDb
LO
LOCON
LOGREP
LOPSCONDIR
LOPSCONTROL
LOS
M&S
MAREVAL
MC
MD
MDWP
MEL/MIL
MER
MET
METOC
MIP
Joint Logistics Support Group

Joint Military Essential Task
Joint Military Essential Task List
Joint Operations Intelligence Information System
Joint Theatre Level Simulation
Key Leader Training
Land Component Command
Land Command and Control Information System
Limited interim NRF CIS
Live Exercise
Lessons Learned Database
Liaison Officer
Lower Control
Logistic Report (message)
Local Operations Control Director
Local Operations Control
Line of Sight
Modelling and Simulation
Maritime Evaluation
Military Committee
Mediterranean Dialogue
Mediterranean Dialogue Work Programme
Main Events List and Main Incidents List
Mid-Exercise Review
Mission Essential Task
Meteorological and Oceanographic
Multinational Interoperability Programme
Joint Warfare Centre, Joint Forces Training Centre and Joint Analysis and Lessons
Learned Centre
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MJO
MM
MMR
MOA
MOU
MOVPC
MPC
MSMP
MTEP
MTFP
MTI
MTRP
MYR
NAFS
NAGEP
NBC-JAT
NCRS
NCS
NCSA
NEF
NETF
NFR
NFS
NGCS
NGO
NIC
NMA
NMR
NRC-MR
NRIFP
NS
NSB
NSWAN
NTF
NTL
O&M
O/T
OCC
OCC E&F
OCE
OCE COORD
OCP
ODE
OELP
Major Joint Operation

Master Messages (PI) / Military Mission (to SHAPE)
Minimum Military Requirement
Memorandum of Agreement
Memorandum of Understanding
Movement Planning Conference
Main Planning Conference
NATO Modelling and Simulation Master Plan
NATO Military Training and Exercise Programme
Medium-term Financial Plan
Military Tasks for Interoperability (subsumed into the NATO Tasks List)
Medium-term Resource Plan
Mid Year Review (NATO budgeting term)
NATO Automated Financial System
NATO Guidance for Experimentation Planning
Nuclear, Biological and Chemical Joint Analysis Team
NATO Crisis Response System
NATO Command Structure
NATO CIS Services Agency
NATO Education Facility
NATO Education and Training Facilities
NATO Financial Regulations
NATO Force Structure
NATO General Purpose Segment Communications System
Non-Governmental Organisation
National Intelligence Cell
NATO Military Authority
NATO Military Representative (to SHAPE)
NATO-Russia Council at Military Representatives Level
NATO-Russia Interoperability Framework Programme
NATO Secret
NATO Signal Battalion
NATO Secret Wide Area Network
NATO training federation
NATO Tasks List
Operations and Maintenance
Observer/Trainer
Operational Capabilities Concept
Operational Capabilities Concept Evaluation and Feedback Programme
Officer Conducting Exercise
Officer Conducting Exercise Coordinating
JALLC Observation Collection Program
Officer Directing Exercise
Operations, Exercise and Logistics Planning Branch of NCSA
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OEPLAN
OJT
OLRT
OPD
OPFOR
OPP
OPR
ORBATTOA
OSE
PABX
PAF
PARP
PBH
PC
PCC
PER
Operational Experimentation Plan

On-the-Job Training
Operational Liaison and Reconnaissance Team
Operational Preparation Directorate
Opposing Force
Operational Planning Process
Officer of Principal Responsibility
Order of Battle Transfer of Authority (message)
Officer Scheduling Exercise
Private automatic branch exchange (in a telephone system)
Personnel Administration Form
PfP planning and review process
Principal Budget Holder
Political Committee
Partnership Coordination Cell
Preliminary Exercise Report
PETE
Pre-exercise quality Threshold Evaluation for Partners
PI
Public Information
PIA
Public Information Adviser (to the International Military Staff)
PIC
PICDIR/DIRPIC
PMSC
POC
POCC
POD
PoP
POW
PRIME
PS
PTA
PTC
PXD
RCPWG
REA
RFIMS
RFS
RLS
ROEAUTH
ROEIMPL
RRS
SAL
SAT
SCD
SDC
Press and Information Centre

Press and Information Centre Director
Political Military Steering Committee
Point of contact
Psychological Operations Component Command
Port of Debarkation
Point of Presence
Programme of Work
Partnership Real-time Information Management and Exchange System
Planning Situation
Primary Training Audience
Partner Training Centre
Post-Exercise Discussion
Rolling Certification Programme Working Group
Rapid Environmental Assessment
Request for Information Management System
Radio Frequency Spectrum
Real-Life Support
Rules of Engagement Authorisation (message)
Rules of Engagement Implementation (message)
Readiness Reporting System
Service Allocation (CIS)
NATO Systems Approach to Training
Senior Concept Developer
SHAPE Direction Centre
A-6
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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
SACEURs report to the MC and the report by any NATO Commander to a higher HQ
containing the significant aspects of the past years 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 years exercises, trends in exercises and training, and other exercise and
training issues as deemed appropriate. [MC 458/1]
Related terms: commanders 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. [AAP6(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, commanders 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 HQs 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; Commanders 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; Commanders 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); Commanders
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 Alliances 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
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).
Commanders Conceptual Training (CCT)
Commanders 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);
operational training; staff element/enhancement training; training.
Commanders Summary Report (CSR)
The Commanders 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 nondistributed 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 OSEs Planning Guidance. The CPT is
chaired by the OCEs 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
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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 OSEs 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 SCs 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. [AAP6(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; commanders 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 prescripted 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 OSEs
Exercise Objectives and the OCEs training objectives in order to present alternative
exercise designs for the OSEs 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 Forces 1). 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 OSEs 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 crossfunctional 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
AIREX
AIROFEX
ALEX
ARTEX
ASUWEX
ASWEX
CASEX
CAX
CFX
COMBEX
CONVEX
DEPEX
DEPREX
DISTEX
EWEX
FLTEX
FTX
GUNEX
INVITEX
JOINTEX
LOGEX
MAPEX
MCMEX
MEDEX
MINEX
MOVEX
NCSEX
PASSEX
PHIBEX
PREREADEX
RECEEX
An exercise in air defence that may include operations by air units, surface
units, and submarines
Air Exercise
Air Offensive Exercise
Alert Exercise
Artillery Exercise
Anti-Surface Warfare Exercise
Anti-Submarine Warfare Exercise
Combined Anti Submarine Warfare Exercise
Computer Assisted Exercise
Command Field Exercise
Combined Exercise involving two or more forces of two or more allies
Convoy Exercise embracing both control and protection of shipping
Deployment Exercise
Deployment Readiness Exercise
Disaster Exercise
Electronic Warfare Exercise
A fleet exercise that may embrace all or part of carrier, amphibious,
convoy, submarine, mobile logistic support and maritime patrol air
operations
Field Training Exercise
Gunnery Exercise
National exercise to which forces of nations may be invited to participate
Joint Exercise involving forces of two or more services of the same nation
Logistic Exercise
Map Exercise
Mine Counter Measure Exercise
Medical Exercise
Mine Laying Exercise
Movement Exercise
Naval Control of Shipping Exercise
Exercise arranged with forces on passage
An amphibious Exercise, including landing forces
Pre-readiness Exercise
Reconnaissance Exercise
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SACEX
SAREX
SEARCHEX
SIGEX
SMASHEX
STRIKEX
SUBEX
SWITCHEX
SWMOVEX
SYNAX
SYNDEX
Supporting Arms Coordination Exercise

Search and Rescue Exercise
Sea/Air Search Exercise
Signal Exercise
Submarine Search Escape and Rescue Exercise
Exercise involving operations of a Striking Fleet
Submarine Exercise
Circuit Switching Exercise
Special Weapons Movement Exercise
Synthetic Air Exercise
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, hypothesistesting 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 (ifthen
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; commanders 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; commanders 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
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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 OCEs 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]
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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
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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
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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; 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. [BiSC 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
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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
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.
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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 NATOs 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]
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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 scenarios 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).
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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 nonArticle 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, theatrewide 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
Order of Battle (ORBAT)
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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 NATOs 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; MidExercise 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; commanders
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 OSEs 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.
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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). [AJP04.4(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 JFCs
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]
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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. [BiSCD 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 Commanders 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 A2. 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 NATOs 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; NATOWide 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. [BiSCD 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);
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 OCEs 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.
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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 OSEs OPR acts as the sole exercise point of
contact within the OSEs HQ and will be the OSEs exercise liaison officer
with the OCEs OPR. The OSE OPR leads the OSEs 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 OSEs Exercise Planning Group (EPG), drafting the
OSEs Exercise Guidance, developing the exercise concept and the EXSPEC
as well as developing the TOR for the OCEs CPT. The OSE OPR will draft
the Exercise Milestone Planning Schedule, the OSEs Analysis Requirements
and lead the EPG analysis of the OCEs TOs. He will lead the examination of
any impact of the experiments considered for inclusion in the exercise. He
will ensure that all the OSEs 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 OSEs HQ and may include additional subject matter
expertise from external organisations as required to produce the OSEs
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
OSEs 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 OCEs TOs as well as the production of the EXSPEC.
The EPG will assist the OSE OPR in drafting the Exercise Milestone Planning
Schedule, the OSEs Analysis Requirements and the OCEs 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 OSEs OPR to
assist with Concept and Specification Development.
(a) Roles: The OCE OPR acts as the sole exercise point of contact within the
OCEs HQ and is the OCEs 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 OCEs 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
OSEs Exercise Guidance, developing the exercise concept, drafting the
EXSPEC, developing the OCE CPT TOR, drafting the Exercise Milestone
Planning Schedule, determining the OSEs Analysis Requirements and
supporting the examination of any impact of the experiments considered for
inclusion in the exercise. He will ensure that all the OCEs 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 OCEs input to
the OSEs 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 OCEs 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 OCEs 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 ODEs action officer and sole exercise
point of contact within the ODEs HQ and will be the ODEs exercise liaison
officer with the OSE EPG, the OCEs 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 OCEs 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 PTAs
exercise liaison officer with both the OCEs 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 OCEs
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 PTAs 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 HQs 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 OCEs CPT and the PTA. STA OPRs may be invited to
assist in the formulation and staffing of the PTAs 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 STAs exercise liaison and the single point of contact
officer with both the OCEs CPT and the PTA. He is delegated the
responsibility for conducting that STAs 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
OSEs HQ and becomes the OSEs 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 OCEs 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
OPRs 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 OCEs principal action
officer and point of contact within the OCEs 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 OCEs
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 OCEs 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 OCEs
deliverables.
(a) Roles: The CPTs 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 ODEs principal action
officer for the exercise and point of contact within the ODEs 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 ODEs 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 OCEs 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 ODEs deliverables.
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(a) Roles: The EPTs primary role is the supervision of the production of the
ODEs portion of the EXPLAN and scenario modules based on the OCEs
delineation of EXPLAN and scenario module responsibilities. The team
assists the OCEs CPT with the organisation and conduct of the MPC and
FCC together with any workshops and additional conferences.
(b) Responsibilities: The ODEs EPT is responsible for producing and
coordinating designated portions of the EXPLAN and stand-alone products in
conjunction with the OCEs 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 PTAs 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 PTAs 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 STAs 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.
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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
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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 members 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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EXERCISE PLANNING GROUP (EPG) RESPONSIBILITIES
Introduction
1. This Appendix describes the task organisation, process and responsibilities of the
OSEs 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 OSEs 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.
Guidance, the OSE Exercise Guidance).
b.
SACEURs Vision for ACO.
c.
SACEURs 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.
(OSE Exercise
The EPG primary deliverables include:

a.
EPG Terms of Reference (TOR).
b.
OSEs 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.
OSEs Analysis Requirements.
h.
OSEs 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 EPGs 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.
EXSPEC.
Strategic level decision in
(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 OSEs Exercise Guidance is the OSEs 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 OSEs 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 OSEs OPR and the OSEs 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 OCEs Exercise Planning Guidance.
(2) The Exercise Specification is the OSEs 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 OSEs 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 OCEs operational and training assessment and the OSEs 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 OSEs
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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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 OSEs 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 OSEs 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 OSEs 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 members 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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CORE PLANNING TEAM (CPT) RESPONSIBILITIES
INTRODUCTION
1. This Appendix describes the task organisation, process and responsibilities of the
OCEs 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 CPTs 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 OSEs Planning Guidance to
thoroughly examine the OSEs aim, objectives and desired endstate as well as
all assigned and implied tasks, in order to state precisely the OCEs mission
and desired endstate.
(7) OCEs Mission Analysis. Identification of factors, making planning assumptions
and deducing conclusions that are relevant and useful in determining the
OCEs 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 OSEs
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.
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ANNEX D.
EXERCISE PROCESS DELIVERABLE TEMPLATES
This Annex provides templates for the major Exercise Process deliverables.
Appendices:
Appendix 1 OSEs Exercise Guidance Template
Appendix 2 - Exercise Specification (EXSPEC) Template
Appendix 3 OCEs Exercise Planning Guidance Template
Appendix 4 Exercise Plan (EXPLAN)
Appendix 5 First Impression Report (FIR) Template
Appendix 6 Final Exercise Report (FER) Template
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OSES EXERCISE GUIDANCE TEMPLATE
REFERENCES:
A. NATO Military Training and Exercise Programme (MTEP)

B. SACEURs 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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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 OSEs 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 nonAllies) 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 OSEs analysis requirements may be provided to the OCE under separate
cover.
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OCES 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. SACEURs Intent Statement
C. Bi-SC Exercise Directive
D. MC 458/1, NATO Military Training and Exercise Policy
E. OSEs 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
specifics.
4. Relation to other Exercises
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 OSEs 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
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 TOs 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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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 OCEs 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
1.
a.
Table of Contents and Effective Pages
b.
Record of Changes
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 OSEs end state (if given).
(d) Objectives. With respect to the OCEs 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 commanders OCE tasks but are not a part of his OCEs 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 OCEs HQ.]
(4) Attachments and Detachments. External forces/elements that may be
committed to OCEs 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) Commanders Intent. This summary should provide the OCEs overall intent
and establish the purpose of the EXPLAN. It is an important focusing statement for
the OCEs 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) Commanders Evaluation. Gives briefly the OCEs evaluation of the situation
including:
(a) Centres of Gravity. Decisive Points that will influence accomplishment of
the OSEs aim and objectives during the exercise.
(b) Pre-conditions for Success. Describes other factors that may influence
accomplishment of the OSEs 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
OSEs 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 OCEs 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 OCEs 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 EXCONs 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/subphase 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
a.
b.
Record of Changes
c.
MAIN BODY
a.
EXCON Mission
b.
Execution. [For each exercise phase/sub-phase.]
c.
Service Support
d.
Command and Signal
ANNEXES
A.
2.
EXCON Structure. [For each exercise phase/sub-phase.]
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
a.
b.
Record of Changes
c.
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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FIRST IMPRESSION REPORT (FIR) TEMPLATE
1.
Overall appraisal of the exercise.
2.
Assessment of the achievement of the OSEs Exercise Objectives.
3.
Assessment of the achievement of the OCEs Training Objectives.
4. Assessment of the achievement of the FIR Submitters Objectives. This should be

written from the FIR submitters perspective. For example: the Analysis Teams
achievement of the OSEs Analysis Requirements; achievement of a TAs Training
Objectives/adequate practise of the Commanders METs; etc.
5.
6.
Topics requiring urgent/immediate correction.
Item:
Discussion:
Recommendation:
Action by:
Recommended Suspense:
Topics for the PXD.
Item:
Discussion:
Recommendation:
Action by:
Recommended Suspense:
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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 OSEs Exercise Objectives. The OCEs evaluation of the level of
achievement of each of the OSEs 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.
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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 OSEs 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
001
002
003
004
005
006
007
008
009
010
011
012
013
014
015
016
017
018
1 - Exercise Concept and Specification Development (ECS)

ESC1 Activate the Exercise Planning Group (EPG)
Activate OSE OPR.
Issue Exercise Planning Group (EPG) Terms of Reference (TOR)
Activate the Core EPG
Request OCE/TA Operational and Training Assessments and Staff Input
ESC2 Review Strategic Direction and Guidance
Review MTEP and MTFP
Review Strategic Vision for ACO and Strategic Plan
Review Contingency Planning Priorities and General Intelligence Estimate
Review Previous Exercise Assessments, After-Action Reports and Lessons Learned
Review ACT JJJ Programme of Work
ESC3 Develop and Issue OSE Exercise Guidance
EAO1 Develop Priorities for Missions, HQs, Forces and Functions
ETO1 Review OCE/TA Training Assessments
EAO2 Develop OSE Exercise Aim, Objectives and End-State
CC1 Develop Guidance on Operational C2 Arrangements
PS01 Develop Guidance on Planning Situations and Settings
IM1 Develop Guidance on Use of Operational Networks and Command and Control
Information Systems (C2IS)
EA01 Establish OSEs Evaluation and Analysis Requirements
EXP01 Establish Experimentation Requirements for the Exercise
Coordinate Recommendations
Issue OSE Exercise Guidance
Activate Full EPG
ESC4 Develop and Coordinate the OCE/TA Training Objectives
ETO2 Analyse and Refine TA training End-State
ETO3 Develop OCE/TA Proposed Training Objectives
ED01 Determine Mission Essential Task-Based Training Objectives
ETO4 Analyse and Refine OCE/TA Training Objectives
ESC5 Analyse Exercise Design Requirements and Limitations
EAO3 Analyse and Refine Exercise Objectives
ED02 Determine Required Operational Conditions
ED03 Determine Operational Time, Space and Force Requirements
CMC1 Confirm Host Nation Availability for Exercise Venue
ED04 Determine Restraints and Constraints
019
020
021
022
023
024
025
026
027
028
029
030
031
032
033
034
035
E-1
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Notional
MS
MS01
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Serial
036
037
038
039
040
041
042
043
044
045
046
047
048
049
050
051
052
053
054
055
056
057
058
059
060
061
062
063
064
065
066
067
068
069
070
071
072
073
074
075
076
077
078
079
080
081
082
083
Stage/Activity/Step
ED05 Determine Key Factors and Deductions
EXP02 Determine Level and Scope of Experiment(s)
CIS01 Determine CIS Constraints and Guidance on the Use of Deployable
Equipment
ESC6 Develop Exercise Concept and Design
CC2 Determine Scope and Level of Participation
PS02 Develop Planning Situation/Scenario Options
ED06 Develop Exercise Form and Type Alternatives
ED07 Consider Alternative Sequences of Major Activities
ED08 Consider Alternative Exercise Locations and Distribution
PC1 Establish the Optimal Level of Partner Participation
PC2 Determine the Need to Conduct a PETE for LIVEX open to Partners
Determine Exercise Security Environment Requirements
BFC1 Determine Costs and Update/Develop Initial Budget Submission
ED09 Develop and Coordinate Options and Recommendations
EXP03 Determine Options for Conducting Experiment(s)
ED10 Present Exercise Design Options to OSE for Decision
ESC7 Develop Exercise Specification
EXSP1 Draft Initial EXSPEC
PS03 Develop Module 1 - Geo-Strategic Situation
EXSP2 Develop the Draft Exercise Milestone Planning Schedule
BFC2 Determine and Coordinate Exercise Budget Responsibilities
PIO1 Determine the Exercise Public Information Policy
Conduct Exercise Reconnaissance, Liaison and Coordination Visits
RLS01 Determine Real Life Support Responsibilities
EXSP3 Coordinate Exercise Specification
Prepare Core Planning Team (CPT) Terms of Reference (TORs)
ESC8 Conduct Exercise Specification Conference
Prepare Administrative Arrangements
Issue ESC Calling Message and Draft Agenda
Convene and Conduct ESC
EXSP4 Issue Exercise Specification Conference Minutes.
Provide Exercise Details to PCC for Partners Participation
EXSP5 Finalise EXSPEC and Training Objectives and Forward for Approval
EXSP6 Issue OSE Approved EXSPEC and Training Objectives
2 - Exercise Planning and Product Development (PPD)
PPD01 Activate Core Planning Team (CPT)
Issue CPT TOR and Request Activation of CPT
Issue the Calling Message to Convene the CPT
PPD02 Analyse OCE Requirements and Limitations
Review OSE Exercise Guidance and EXSPEC
Review OCE Operational Priorities
CC3 Establish Training Audience HQs C2 Requirements
PS04 Develop Operational Requirements for Planning Situation/Scenario
IM2 Determine IERs and Develop IER Matrix
IM3 Determine C2IS Integration Requirements
TNG01 Determine Pre-Operational Conduct Training Requirements
Consider Pre-LIVEX Combat Enhancement Training (CET) and Force Integration
Training (FIT) Requirements
EA02 Refine Evaluation and Analysis Requirements
E-2
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Notional
MS
MS03
MS04
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Serial
Stage/Activity/Step
084
085
086
087
088
089
090
091
092
093
094
095
096
097
098
EXP04 Develop Experiment Integration Requirements and Limitations

EXC01 Determine Initial EXCON Requirements
MS1 Establish Modelling and Simulation (M&S) Requirements and Constraints
MS2 Assess M&S Tool Options and Cost/Benefits
CIS02 Determine Operational CIS Requirements and Constraints
RLS02 Determine Real Life Support (RLS) Requirements
RLS03 Determine Deactivation Requirements for Exercise Sites
BFC3 Determine Budget Requirements and Eligibility
PIO2 Prepare and Submit the Draft Initial Exercise Press Release (IEPR) to SHAPE
PPD03 Issue OCE Exercise Planning Guidance
Develop Guidance on Missions, Forces and Tasks
CC4 Provide Further Guidance on TA Command Arrangements
PS05 Provide Guidance on Scenario Development
IM4 Provide Direction for Use of Operational Networks and C2IS
TNG02 Provide Guidance on Pre-Operational Conduct Training
Provide Guidance on Pre-LIVEX Combat Enhancement Training (CET) and Force
Integration Training (FIT)
EA03 Provide Guidance on Evaluation Requirements and Analysis Objectives
EXP05 Provide Guidance on Experimentation
EXC02 Provide Guidance on EXCON
MS3 Provide Guidance on Modelling and Simulation Tools
CIS03 Provide Guidance on the Use of Deployable CIS and AIS
RLS04 Provide Guidance on the Use of Deployable Equipment and HNS
Develop Guidance on Establishment and Conduct of Syndicates and Additional
Conferences
Develop Task Allocation and Coordination Requirements
Present Options and Recommendations to OCE for Approval
Issue OCE Exercise Planning Guidance
PPD04 Develop Initial Draft Exercise Plan (EXPLAN)
Review OCE Exercise Planning Guidance
Develop the OCE's Intent and Concept of the Exercise
CC5 Develop OCEs C2 Structure and Arrangements
IM5 Develop C2IS Architecture/Data Management Plan
TNG03 Draft Pre-Operational Conduct Training Plan (Schedule of Activities)
EA04 Develop Concept of Evaluation/Analysis
EXP06 Develop Initial Draft Experimentation Annex
EXC03 Develop EXCON Concept and Structure
MS4 Develop M&S Architecture and Data Exchange Requirements
CIS04 Determine EXCON CIS Requirements
CIS05 Develop CIS Architecture
RLS05 Develop RLS Concept
BFC4 Update Exercise Budget
Convene the CPT to Coordinate and Consolidate the Initial Draft EXPLAN
Develop Exercise Synchronisation Matrix
Determine EXPLAN Annex Requirements
CMC2 Develop HNS Requirements
Allocate and Coordinate Tasks
Issue Initial Draft EXPLAN
PPD05 Develop Module 2 - Theatre of Operations
Review Scenario Module 1 Geo-Strategic Situation
099
100
101
102
103
104
105
106
107
108
109
110
111
112
113
114
115
116
117
118
119
120
121
122
123
124
125
126
127
128
129
130
131
E-3
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Notional
MS
MS05
MS06
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Serial
132
133
134
135
136
137
138
139
140
141
142
143
144
145
146
147
148
149
150
151
152
153
154
155
156
157
158
159
160
161
162
163
164
165
166
167
168
169
170
171
172
173
174
175
176
177
178
179
180
Stage/Activity/Step
PS06 Develop Exercise Map Datasets
PS07 Develop Theatre of Operations Country Information/Studies
PS08 Develop Theatre of Operations ORBAT Data
PS09 Develop Theatre of Operations Infrastructure Data
PS10 Develop OPFOR Campaign Plan (for use by EXCON only)
PPD06 Conduct Site Survey
CMC3 Identify and Coordinate Legal Issues
CIS06 Survey and Coordinate CIS Support
RLS06 Survey and Coordinate Logistical Services and Support
FP1 Survey and Coordinate Force Protection Arrangements
PPD07 Conduct Initial Planning Conference (IPC)
Determine Requirements for IPC Syndicates
Issue IPC Calling Message and Draft Agenda
Convene IPC
Review OSE Exercise Guidance, EXSPEC and OCE Exercise Planning Guidance
Review Requirements, Tasks, Synch Matrix and Milestones
CC6 Confirm Player HQs/Forces Level and Scope of Participation
Task Organise IPC into Syndicates
PS11 Review Planning Situation and Theatre Information Requirements
IM6 Assess C2IS Information Management/Data Population
TNG04 Assess External Training Support Requirements
PER1 Assess Requirements for Augmentation and Support for TA
EA05 Assess Evaluation, Observation and Analysis Requirements
EXP07 Assess Experiment Integration and Training Requirements
EXC04 Assess EXCON Manning and Resources
MS5 Assess Interface of M&S Tools with Operational C2IS
CIS07 Assess CIS Resources and Connectivity
FP2 Assess Force Protection with SNs and HNs
PIO3 Determine Funding Requirements for the Allied Press Information Centre
(APIC)
RLS07 Assess Augmentation, External Support and HNS
BFC5 Assess Cost Responsibilities with HN
Draft the STARTEX Conditions for Sub-Phase IIIA and Sub-Phase IIIB
PC3 Determine Partners Document Requirements
Consolidate Requirements and Issue Tasking
Establish Points of Contact for All Participating Organisations
CMC4 Determine Requirements for IO/NGO Participation/Support
Determine Key Issues for Resolution and Way Ahead
Issue IPC Minutes, Decisions, Issues and Way Ahead
PPD08 Develop Refined Draft Exercise Plan (EXPLAN) and Products
Finalise OCE's Intent and Concept of the Exercise
CC7 Finalise OCEs Operational C2 Structure and Arrangements
PS12 Develop Module 3 - Strategic Initiation
PS13 Develop Module 4 - Crisis Response Planning Information
IM7 Deliver C2IS Database(s) for Operational Planning
TNG05 Refine Phase I Training Annex
EA06 Develop Evaluation and Analysis Plans
EXP08 Assemble Experimentation Annex
EXC05 Finalise EXCON Structure and Arrangements
E-4
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Notional
MS
MS07
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Serial
Stage/Activity/Step
181
182
183
184
185
186
187
188
189
190
191
192
193
194
195
196
197
198
199
200
201
202
203
204
205
206
207
208
209
210
211
212
213
214
215
216
217
218
219
220
221
222
223
224
225
226
227
228
229
TNG06 Finalise the Exercise Process Lessons Identified, MER and AAR Procedures
CIS08 Finalise Exercise CIS Architecture and Implementation Annex
PIO4 Finalise the PI Annex in the EXPLAN
RLS08 Finalise Support Annex and Arrangements
BFC6 Update/Refine Exercise Budget
Issue Refined Draft EXPLAN to CPT
Convene CPT to Review the Refined Draft EXPLAN
Issue Refined Draft EXPLAN
TNG07 Finalise Phase I Training Package
PPD09 Conduct Main Planning Conference (MPC)
Determine Requirements for MPC Syndicates
Issue Calling Message and Draft Agenda
Convene MPC
Review Requirements, Tasks, Synch Matrix and Milestones
Review/Update EXPLAN Development
Task Organise MPC into Syndicates
IM8 Finalise C2IS Implementation
Confirm (LIVEX) Force Contributions
TNG08 Finalise External Training Support
EA07 Finalise Evaluation Requirements/Analysis Objectives
EA08 Finalise Evaluation, Analysis and Experimentation Structures
PC4 Issue PETE Results
PC5 Finalise PfP/MD/ICI Coordination Requirements
EXP09 Finalise Experimentation Annex
Finalise STARTEX Conditions for Sub-Phase IIIA and Sub-Phase IIIB
EXC06 Finalise EXCON Manning
CIS09 Finalise CIS Implementation and Transportation Plan/Cost
MS6 Review M&S Support Plan
Determine Distinguished Visitors, Observers and International Inspectors
RLS09 Confirm RLS
FP3 Confirm Force Protection (FP)
Determine Key Issues for Resolution and Way Ahead
Issue MPC Minutes, Decisions, Issues and Way Ahead
PPD10 Finalise Exercise Plan (EXPLAN) and Products
Finalise EXPLAN and Forward for Approval
Issue Approved EXPLAN
PS14 Develop Module 5 - Force Activation and Deployment Information
EXC07 Analyse and Assess Phase II Crisis Response Planning Products
PS15 Develop Module 6 - Execution (STARTEX and MEL/MIL)
MS7 Develop M&S Theatre Data (from C2IS Data) per Strategic Guidance
MS8 Develop and Test M&S Databases and Information Exchanges
PPD11 Conduct Final Coordination Conference (FCC)
Issue Calling Message and Draft Agenda
PS16 Finalise Module 5 - Force Activation and Deployment Information
PS17 Finalise Module 6 - Execution Information
EXP10 Finalise Outstanding Experimentation Issues
RLS10 Finalise any Outstanding Support Issues
Finalise Visitors and Observers Programme (VOP)
E-5
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Notional
MS
MS09
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Serial
230
231
232
233
234
235
236
237
238
239
240
241
242
243
244
245
246
247
248
249
250
251
252
253
254
255
256
257
258
259
260
261
262
263
264
265
266
267
268
269
270
271
272
273
274
275
276
Stage/Activity/Step
Issue FCC Minutes, Decisions, Issues and Way Ahead
EOC1 Conduct Sub-Phase IA: Internal Training
TNG09 Establish Training Site
TNG10 Activate Training Team(s)
TNG11 Conduct HQ Internal Training
TNG12 Prepare and Conduct Sub-Phase IA Review
EOC2 Conduct Sub-Phase IB: Academic Seminar
EA09 Stand up Analysis Teams
EXP11 Conduct Requisite Training for Experimentation
TNG15 Conduct Academic Seminar
TNG16 Prepare and Conduct Sub-Phase IB Review
EOC3 Conduct Sub-Phase IC: Key Leader Training (KLT)
TNG19 Conduct Training Modules/Programme
EA10 Stand up Analysis Teams
TNG20 Conduct Key Leader Training
TNG21 Prepare and Conduct Sub-Phase IC Review
EOC4 Conduct Sub-Phase ID: Battle Staff Training (BST)
TNG24 Conduct Training Modules/Programme
EA11 Stand up Analysis Teams.
EXP12 Conduct Requisite Training for Experimentation
TNG25 Conduct HQ Battle Staff Training
TNG26 Prepare and Conduct Sub-Phase ID Review
EOC5 Conduct Phase II - Crisis Response Planning (CRP)
TNG27 Establish Training Site(s)
EXC08 Establish and Maintain EXCON
TNG28 Activate Trainer Team(s) Support
EA12 Activate Evaluation, Analysis and Experimental Team(s)
EXC09 Initiate and Control the Conduct of the TAs Crisis Response Planning
EA17 Observe and Evaluate the CRP
TNG29 Prepare and Conduct Phase II Review
EOC6 Conduct Sub-Phase IIIA Force Activation, Deployment, RSOM and
Integration
PS18 Determine Exercise Sub-Phase IIIA STARTEX
PS19 Refine and Issue the Requisite STARTEX Documentation, Data and
Information for the TA
PS20 Refine OPFOR Campaign Plan (for use by EXCON only)
RLS11 Establish Training Site(s)
EXC10 Establish and Maintain EXCON
EXC11 Initiate and Control the Conduct of the TAs Force Activation, Deployment,
RSOM and Integration Operations
EXC12 Manage the Scenario MEL/MIL/Simulation
EXC13 Control Response Cells
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Notional
MS
MS10
MS11
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Serial
277
278
279
280
281
282
283
284
285
286
287
288
289
290
291
292
293
294
295
296
297
298
299
300
301
302
303
304
305
306
307
308
309
310
311
312
313
314
315
316
317
318
319
320
321
322
323
324
Stage/Activity/Step
TNG31 Observe and Evaluate the Force Activation, Deployment, RSOM and
Integration Phase
RLS12 Conduct Deactivation Activities for Exercise Sites
TNG32 Prepare and Conduct Sub-Phase IIIA Review
EOC7 Conduct Sub-Phase IIIB Operations
PS21 Determine Exercise Sub-Phase IIIB STARTEX
PS22 Refine OPFOR Campaign Plan (for use by EXCON only)
PS23 Refine and Issue the Requisite STARTEX Documentation, Data and
Information for the TA
RLS13 Establish RLS/CSS at Exercise Sites
CIS10 Establish CIS Connectivity and CIS Services
FP4 Activate Force Protection (FP) Plan
FP5 Implement Safety and Environmental Measures
EXC14 Stand-up EXCON
TNG33 Stand-up/Deploy Training Team
EXC15 Conduct EXCON Training
EXC16 Activate Response Cells
EXC17 Rehearse EXCON Procedures
PIO5 Activate the EXCON VOB/APIC
EXC18 Initiate and Control the Conduct of the TAs Operations
TNG35 Provide Observer/Trainer Support.
EXC19 Manage and Control Scenario MEL/MIL and Simulation
EXC20 Control Response Cells
EA15 Conduct Evaluation
EA16 Conduct Analysis
EXP13 Conduct Experimentation
TNG36 Analyse Observer/Trainer Feedback
TNG37 Observe Conduct of Operations
TNG38 Prepare and Conduct Mid-Exercise Review
RLS14 Conduct Deactivation Activities for Exercise Sites
EOC8 Conduct Phase IV -- Assessment
TNG39 Prepare the AAR Site(s)
TNG40 Collect and analyse key observations
TNG41 Develop significant findings, conclusions and recommendations
TNG42 Coordinate AAR key points with OCE
TNG43 Conduct AAR
4 - Post Exercise Analysis and Reporting (PXR)
PXR01 Collect Observations and Data
PXR02 Conduct Hotwash-Up
PXR03 Conduct Preliminary Analyses
PXR04 Prepare and Issue First Impression Reports
PXR05 Conduct Post-Exercise Analysis
PXR06 Consolidate Lessons Identified
PXR07 Publish Training Improvement Report (TIR)
PXR08 Conduct OCE's Post-Exercise Discussion (PXD)
PXR09 Publish Evaluation Report(s)
PXR10 Publish Consolidated Venue Experiments Report (CVER)
PXR11 Publish Specific Analysis Reports
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Notional
MS
MS12
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Serial
325
Notional
MS
MS15
Stage/Activity/Step
PXR12 Prepare and issue OCEs Final Exercise Report (FER)
Exercise Process Step Codes

Step Codes
Functions
EAO
Exercise Aim and Objectives
ETO
Exercise Training
ED
Exercise Design
CC
Operational C2
PS
Planning Situation/Scenario
PIO
Public Information
PC
Partner Coordination
PER
Personnel/Augmentation
IM
Operational Info management
TNG
Pre-Operational Conduct Training
EA
Evaluation, Analysis
EXP
Experimentation
EXC
Exercise Control
MS
Modelling and Simulation
CIS
Communications and Information Systems
CMC
Civil-Military Cooperation, HNS
RLS
Real Life Support/CSS
BFC
Budget, Finance, Contracting
FP
Force Protection
E-8
NATO UNCLASSIFIED
ACO
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
ACT
X
X
X
X
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ANNEX F TO
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DATED: 1 AUG 07
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, Funding 1 (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.
SACEURs 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 costeffective 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 nations 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
SC, JFC HQ, JHQ, CC HQ,

ACCS CAOC, DAC 2
Elements, JWC, JFTC,
JALLC, and other NCS
agencies/ organisations with
international PE 3
HRF, FLR HQ (NFS), NonACCS CAOC,
multinationally-funded and
non-PE manned entities of
NCS or NFS
Cost
Category
O&M
Peacetime/
Normal
(including
exercises)
MB
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
MB
N/A
(OPLAN budget)
C2 &
Infra
NSIP
NSIP
N/A
O&M
National/
MB
National/
Multinational
(OPLAN budget)
Multinational
C2 &
Infra
NSIP/
NSIP
National/
O&M
National/
MB
National/
Multinational
(OPLAN budget)
Multinational
C2 &
Infra
NSIP/
NSIP
National/
O&M
National
N/A
National
C2 &
Infra
National
N/A
National
Multinational
Multinational
Other HQ (NFS)
National Forces
d.
2.
3.
Multinational
Multinational
Customer funding. In exercises, for example, a HN could provide catering services

Deployable Air Component including the DCAOCS and the DARS.
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 years 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 FMs 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
years 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 management 4 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 NATOs 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 HNs 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.
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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 caseby-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 HQs 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 OSEs 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 nations 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
VTC
TACSAT
OLRT NS Capability 1
NS Workstations
NS Network Printers
NU Workstations
1.
No. of Equipment
One for every PoP location (STANAG 5048)
One for every CC and 2 for each DOB and AOC
One for every OLRT
One for every active user
One for every 5 active users
5 in total each will need access to Internet.
TATMAN BOX or Equivalent NS CIS Capability.
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Terminal
NU Network Printers
Non-Secure Telephones
Secure Telephones
Secure FAX
Non-Secure FAX
Mobile Phone
No. of Equipment
2 in total
One for every 20 active users, but ensuring there is one fax
machine in each functional area.
One for every 10 users
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
VTC
TACSAT
OLRT NS Capability
NS or MS Workstations
NS or MS Network Printers
NU Workstations
NU Network Printers
Non-Secure Telephones
Non-Secure FAX
Secure Telephones
Secure FAX
Mobile Phone
No. of Equipment
One for every PoP location (STANAG 5048)
One for every CC and 2 For each DOB and AOC
One for every OLRT
One for every active user
One for 5% of active users
One for every 10 NU workstations
One for every 20 active users but ensuring there is one
Fax in each functional area
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/Exerc
isePl/TemplatesC.
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APPENDIX 1 TO ANNEX G - CHECKLIST OF CIS SUPPORT TO ACO EXERCISES (INFORMATIVE PURPOSES)

Responses
Reference
S/N
Questions (Version 1)
Yes
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
OCE
TO: SHAPE J6 OEB CC: NCSA

OELP
Is C2 Connectivity Diagram (with their geographic locations) sent to

SHAPE J6?
OCE
TO: SHAPE J6 OEB CC: NCSA

OELP
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))
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))
ED 75-3
CIS FPG Is C2 Structure Diagram of exercise sent to SHAPE J6?
CIS FPG
ED 75-3
ED 75-3 Has the IER been coordinated with NCSA OELP?
SHAPE J6 OEB TO: NCSA OELP
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?)
1
2
Ongoing
OSE/OCE
MTEP
Desk/s to be coordinated 2
Is the exercise in the Military Training and Exercise Programme

(MTEP)?
No
Action 1 Desk/s
OCE
ACTION may mean that it may require Review and Validation and also for further action like passing it to NCSA.
TO: means that it requires an ACTION; CC: means that it is sent for INFORMATION ONLY.
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TO:SHAPE J2 CC: SHAPE J6

OEB, NCSA OELP
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S/N
Reference
APPENDIX 1 TO ANNEX G - CHECKLIST OF CIS SUPPORT TO ACO EXERCISES (INFORMATIVE PURPOSES)
Responses
Questions (Version 1)
Yes
No
Action 1 Desk/s
Desk/s to be coordinated 2
Ongoing
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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Event
Initial Planning
Conference
(IPC)
Initial Site
Survey/ Recce
Main Planning
conference
(MPC)
Final
Coordination
Conference
(FCC)
CIS Preconfiguration
exercises
Transportation
Deployment
Redeployment
APPENDIX 2 TO ANNEX G - CIS PLANNING RESPONSIBILITIES DURING THE EXERCISE PROCESS

OSE
OCE
NCSA
C2 Entities A/G/N 6
Support CIS
Set-up the CIS Syndicate.
Related NATO Signal Bn. and C2 Relation to be
Initial inputs to the IER matrix.
Syndicate set-up
Exercise outline.
identified for the Exercise.
Exercise outline.
Timings and dates.
Update on the availability of CIS personnel and
Initial CIS inputs to EXPLAN.
assets to support the exercise.
Rough overall CIS Connectivity chart.
First draft of the IER matrix.
Initial Coordination with LOCAL PTT (and MODwhen applicable) for contracting Commercial (and
Military Lines -when applicable)
Summary of the
Complete CIS inputs to EXPLAN..
Initial CIS diagrams (BME connectivity).
Final inputs to the IER matrix.
ongoing issues
Final version of IER matrix.
Initial CIS CE (IP layer connectivity).
from OSE J6 point
Results of the site surveys, including
Planned timelines of deployment detailing Real
of view.
floor plans and equipment locations.
Life Support (RLS) requirements.
Inputs to the Real Life Support Plan
CIS conference is scheduled to be held between
(RLSP).
MPC and FCC.
Summary of the EP Final minor changes to floor plans,
Final CIS diagrams.
Refine IERs inputs - if required.
and way ahead
CIS requirements.
Final DCIS and CIS assets availability.
Resolve Real Life Support Issues.
The final CIS CE manning list.
Final Recce.
Final Coordination with LOCAL PTT (and MODwhen applicable) for contracting Commercial (and
Military Lines -when applicable)
Supervision/
Coordination/providing inputs as
Plan/organise/conduct (NSB)
Providing inputs as required
coordination as
required
Card assignment and connectivity for the CGS.
required
Detailed information on LANs and NIAC
information on VOICE connectivity
Funding
LOG coordinate with AMCC
Provide OCE J4 with all required inputs
Coordinate with
(dimensions, weights, etc.)
AMCC as required
Supervise
Conduct (OPCON on supporting
Execute
Provide Admin/Logistic support to
DCIS supporting element)
DCIS supporting unit as required
Supervise
Conduct (OPCON on supporting
Execute
Provide Admin/Logistic support to
DCIS supporting element until leave
DCIS supporting unit as required
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Event
OSE
APPENDIX 2 TO ANNEX G - CIS PLANNING RESPONSIBILITIES DURING THE EXERCISE PROCESS

OCE
NCSA
C2 Entities A/G/N 6
theatre)
until leave theatre
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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 TrainerObservers 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 SACTs 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 (CAX 1) 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.
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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 dHonneur 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 States 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
nations application or the SCs 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.
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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 Alliances 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 NATOs 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 HQs 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). NATOs 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 exercises 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 communiqus describing the
progress of an exercise in accordance with the OSE/SACEURs 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
communiqus 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, multinational 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 lowlevel 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.
i.
Administrative services to handle details of arrival and departure of correspondents.

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 Attach 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 nations 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 nations 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 Alliances 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 exercises strategic situation. To
create the setting the OPR and the OSE EPG will have used the MTEP exercise description
and the OSEs 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 settings 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
OSEs Exercise Guidance, the OCEs Exercise Planning Guidance, the EXSPEC GeoStrategic Situation, the OSEs aim and objectives, the OCEs 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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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 Commanders 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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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 JWCs 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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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
Modelling Parameters
Random number streams
Altitude and depth zone definitions
Combat system definitions
Supply category definitions
Weather conditions and fronts
Playing surface size in hexes
Terrain Data
Hexagon conversion factors
Barrier and hex trafficability data
Target class definitions
Target Category Data
Aircraft classes, SSM types, etc.
Force side definitions
Tactical unit prototypes
Prototype Data
Ship unit prototypes
High resolution unit prototypes
Faction prototypes
Targetable weapon definitions
Target type
Group Aircraft loads
Lethality Data
Load assignments
Weapon type lethality
Mine field lethality data
Lanchester data
High level data
Faction definitions
Individual unit data
Unit Data
Command and support hierarchies
Naval formation data
Individual high resolution unit data
Individual target data networks
Pipeline and railroad
Target Data
Bridge and tunnel target networks
IADS networks
Supply movement assets
Unit arrival times
TPFDD Data
Arrival data
LOGIN times
Strategic Re-supply Data
Receiving units
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 SubPhase 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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SYNTHETIC EXERCISE PLANNING RESPONSIBILITIES DURING THE EXERCISE PROCESS
Event
OSE
OCE
CAX OPR
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 CAXC2 System IER matrix
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.
DMT Entity
Design Meeting
Database
Verification
(may be
repeated in 4
weeks)
Final
Coordination
Conference
Database
Validation
Summary of the EP and

way ahead
Final minor changes to CAX

requirements.
Supporting Agencies
(NC3A, JWFC..)
Provide inputs as
required
PTA / CC
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.
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.
Train DMT Members on database
tools.
Provide support as
required
Build the simulation database and

verify the entities
Provide support as
required
Finalize Draft Exercise Plan Annex

F. Finalize EXCON structure.
Finalize EXCON manning. Finalize
CAX EXCON specific training.
MINIEX CAX design requirements
Provide support as
required
Provide inputs
as required
Modify the database as required

and test the modelling capabilities
Provide support as
required
Provide
participation
and changes to
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Provide inputs as
required. Participation
to DMT Constitution
Meeting
Provide
nominees for
DMT
composition
Provide inputs
as required,
Participation to
DMT
Constitution
Meeting
Provide
participation as
required
Provide
participation
and ORBAT as
required
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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
STARTEX
Validation
Implement the outcome of the

Phase and scripting workshop.
Validate the STARTEX positions,
EXPLAN and proposed courses of
action.
Execute
Provide support as
required
Exercise
Execution
Transportation
Deployment
Funding Coordinate with

AMCC as required
Supervise
Redeployment
Supervise
Log coordinate with AMCC

Conduct (OPCON on
supporting DCAX supporting
element)
Conduct (OPCON on
supporting DCAX supporting
element) until leave theatre
Provide OCE J4 with all required

inputs (dimension, weight, etc.)
Execute
Execute
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Provide support as
required
Provide support as
required
Provide support as
required
Provide support as
required
Provide
participation
and inputs as
required
Provide
participation
and STARTEX
inputs as
required
Provide support
for EXCON
Provide
Admin/Logistic
support to
DCAX
supporting unit
as required
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 SACEURs 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, Reachback, 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 OSEs Exercise Planning Group (EPG), contribute to the
production of the OSEs 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)Cs 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).
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 EXPLANs 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 Groups 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 Groups manning (including augmentation)
requirements; develop the EGs C2 and CIS structures, and training programme;
finalise assessment of and coordinate the groups 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
stages 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 HQs
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 CCs 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 OPDs
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.
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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 SACTs agent, is responsible for planning and coordinating the integration and
managing the execution of collective experimentation in exercises. JWCs 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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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)
(b)
(c)
(d)
Can the roads accept the largest expected vehicles?

What is the capacity of the road and rail infrastructure?
Can the facilities support the numbers of troops expected?
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 OCEs 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 countermeasures 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 OCEs 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 noncompliance 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.
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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 NATOs 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
events association with primary and supported areas of cooperation.
g.
POC details, including rank, name, phone/fax number and an unclassified email 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 partners 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 NATOs 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. NATOs 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 ePRIMEs 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.
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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.
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Appendix 1 - Lesson Identified/Learned Format
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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:
Issue:
Event:
Date:
Updated:
Classification:
Title
Observation
Discussion
Conclusion
Recommendation
Action Body
Intended Completion Date
Comment
Name:
Phone:
E-mail:
Rank:
IVSN:
Billet:
Service:
Fax:
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.
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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.
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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 Directives 1 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

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

Members of non-NATO organisations when participating as members of the Training

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 SelfEvaluation; 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.
2.
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 Committees (AC/35) directives.
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/
Organisations 3
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 mandated 4 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 OCEs 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.
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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
Geo-Strategic Situation, Exercise Setting and Scenario Overview
Scenario Modular Products Schedule
Training Objectives
STARTEX Situation
Modelling and Simulation Control Plan/Instructions
Real Life Support
Experimentation Plan/Instructions
CIMIC
Non-NATO Participant Plan/Instructions
Legal Instructions
Public Information Plan/Instructions
Visitors and Observers Plan/Instructions
Land Exercise Instructions [LIVEX only]
Air Exercise Instructions [LIVEX only]
Maritime Exercise Instructions [LIVEX only]
Amphibious Exercise Instructions [LIVEX only]
Psychological Operations Exercise Instructions [LIVEX only]
Special Operations Exercise Instructions [LIVEX only]
Information Operations Exercise Instructions [LIVEX only]
Electronic Warfare Operations Exercise Instructions [LIVEX only]
Communications and Bi-SC AIS Core and Functional Services

Instructions
METOC Support/Rapid Environmental Assessment Instructions
Geographic Support Instructions
Environmental Protection Instructions [LIVEX only]
Exercise Safety Instructions [LIVEX only]
Force Protection Plan/Instructions
AA
Exercise Process Lessons Learned Instructions
BB
Budget Instructions
CC
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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.
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.
a. Hardware and Software Requirements.
b. MEL/MIL Database.
c. MEL/MIL Development Support Timelines.
6. CAX Support Manpower and Training Requirements.
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.
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 SHAPEs Guidance on invitation
process]
8 -- Partner Participation / After Action Activities [Excerpt from SHAPEs 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
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NATO UNCLASSIFIED

NORTH ATLANTIC TREATY ORGANISATION

Supreme Allied Commander, Europe

Supreme Allied Commander, Transformation

3000 TI-35 / Ser: NU0032

Promulgation of Bi-SC 75-3 Exercise Directive

A. Bi-SC Letter SH J7/TEX/003/VV/06-106848/3000 TI30/Ser:NU0112, dated 27 Feb 06

Bi-SC 75-3 Exercise Directive

NORTH ATLANTIC TREATY ORGANISATION

Supreme Allied Commander, Europe

Supreme Allied Commander, Transformation

This page left blank intentionally

NORTH ATLANTIC TREATY ORGANISATION

Supreme Allied Commander, Europe

Supreme Allied Commander, Transformation

Bi-STRATEGIC COMMAND (Bi-SC) EXERCISE DIRECTIVE

Incorporates the Operational Preparation Directorates (OPD) role and responsibilities

(Enter HQs/Office/Name/Contact details)

Identify the chapter, annex or appendix. Examples: Ch 2; Annex D; Appendix D-6.

Log of Changes and Updates

THE NATO EXERCISE PROCESS ................................................................ 2-1

EXERCISE CONCEPT AND SPECIFICATION DEVELOPMENT STAGE .... 3-1

EXERCISE PLANNING AND PRODUCT DEVELOPMENT STAGE ............. 4-1

EXERCISE OPERATIONAL CONDUCT STAGE........................................... 5-1

EXERCISE ANALYSIS AND REPORTING STAGE ...................................... 6-1

Glossary of Abbreviations, Acronyms, Terms and Definitions ................A-1

Roles and Responsibilities in the Exercise Process .................................B-1

Exercise Process Deliverable Templates....................................................D-1

Exercise Process Milestones and Timings.................................................E-1

Guide to Exercise Budgeting ....................................................................... F-1

Guide to Planning CIS Support to NATO Exercises ................................. G-1

Roles and Responsibilities of the Exercise Control Staff .........................H-1

Visitors, Observers and Inspectors.............................................................. I-1

Public Information (PI) Considerations ....................................................... J-1

Force Protection (FP) Considerations.........................................................K-1

Host Nation Support Considerations .......................................................... L-1

Scenario Development................................................................................. M-1

Modelling and Simulation Support to Exercises ........................................N-1

OPD Support TO NRF EXERCISES ............................................................. O-1

Operational Experimentation Integration....................................................P-1

Live Exercises and Environmental Protection Considerations ............... Q-1

Military Cooperation Programmes...............................................................R-1

Lessons Identified in the Exercise Process ...............................................S-1

Templates for EXPLAN Annexes .................................................................U-1

Terms of Reference for the Supreme Allied Commander Europe (Final)(NR),

Enhance civil-military cooperation.

d. Enhance the production of operationally effective, interoperable and capable

Complement the NATO Commanders internal training programmes.

Support the evaluation process.

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

Required Deliverables. Provides a detailed description of products to be developed

Figure 1-1 OSE-OCE-ODE Relationship

Figure 1-2 Responsibilities in the Training Objectives Development Process

MC 458/1 - NATOs Education, Training, Exercise and Evaluation Policy. 7 MC

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

MC 94/4, Military Committee Policy on the Conduct of NATO Exercises. MC

Operational Capability Concept (OCC) Evaluation and Feedback (E&F)

Bi-SC Directive 75-2, Education, Training, Exercise and Evaluation Directive

Bi-SC Directive 75-4, Experimentation Directive (Bi-SC EXPD). Exercise planners

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

ACT Evaluation of Education and Training (E&T) Directive. Evaluation of E&T

ACO HQs/JJJs Exercise and Training Planning Supplements. Subordinate ACO

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

Conduct. The Exercise Process Operational Conduct Stage corresponds to the