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NORTH ATLANTIC MILITARY COMMITTEE

COMITE MILITAIRE DE L'ATLANTIOUE NORD

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G July 2010 MCM-0056-2010

SECRETARY GENERAL, NORTH ATLANTIC TREATY ORGANISATION

NATO CONCEPT DEVELOPMENT AND EXPERIMENTATION (CD&E) PROCESS

References MCM-0174-2005, NATO CD&E Process, 12 Oct 05 MCM-0053-2010, MC Guidance for Allied Command Transformation Annual Report, 12 May 10

BACKGROUND

The Policy for NATO CD&E (MC 0583) sets out the role of CD&E in support of the Alliance's transformation, to explore, demonstrate and evaluate future operational concepts and define the principles of CD&E supporting NATO's transformational programme. In accordance with Reference A, HQ SACT was to derive a detailed and updated NATO CD&E Process and submit it to MC for approval.

AIM

To forward, for NAC notation, the NATO CD&E Process.

CONSIDERATIONS

The MC considers that the NATO CD&E Process is well structured and covers all aspects of the subject and notes the ACT CD&E WG TOR.

CONCLUSION

The MC approves the NATO CD&E Process.

RECOMMENDATIONS

It is recommended that the NAO notes this MCM.

This document supersedes Reference A and clears IMSWM-0075-2010, 2 Mar 10 and all SDs thereto.

FOR THE MILITARY COMMITTEE:

Annex A. NATO CD&E Process

Enclosure: 1. ACT Directive 10-1, Terms of Reference for the Concept Development and Experimentation Working Group, 08 Mar 10

Copy To SDL T Action Officers LtCol R. Pu§, P&P (5771)

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tfi.J.M. GODDERIJ ieutenant General, NLDAF

Director International Military Staff

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ANNEX A TO MCM-0056-2010

NATO CD&E PROCESS

Table of Contents Page

Chapter 1 INTRODUCTION 3

Background 3 Aim 3

Scope 4

Chapter 2 INPUTS TO THE NATO CD&E PROCESS - DEFINITIONS 5

CD&E and NATO Defence Planning Process inputs 5

CD&E and other inputs 7 CD&E defined 9 Roles and responsibilities 11

Chapter 3 CD&E PROJECTS 14

Project Initiation 15 Project Development 16 Project Outputs 19

Chapter 4 CD&E MANAGEMENT 21

CD&E Proposal Initiation 21

Management of CD&E 22 Resource allocation 26 Quality Assurance 27

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Chapter 5 CD&E ENGAGEMENT 29

CD&E outputs 29 Process and Method 30 CD&E Conference 31

Appendix 1 Acronyms A-1-1


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CHAPTER 1

INTRODUCTION

BACKGROUND

The revision of the NATO Military Command Structure (MC 324), specifies the division of responsibilities between Allied Command Operations (ACO) and Allied Command Transformation (ACT) along functional lines, with ACT providing the lead for transformation. NATO Transformation seeks to deliver increased capabilities, greater interoperability and standardisation, and ultimately improved military effectiveness of the Alliance.

The MC Policy for NATO Concept Development and Experimentation (CD&E) (MC 0583), sets out the role of CD&E in support of the Alliance's transformation and describes CD&E as "one of the tools that drives NATO's transformation by enabling the structured development of creative and innovative ideas into viable solutions for capability development. This could be conducted in an iterative manner, since there might be a cyclic dependency of concepts being spirally improved by experimentation".

CD&E is an integral part of capability development, providing potential solutions to conceptual gaps identified within NATO's capability shortfalls. Generally, a conceptual gap provides the rationale for development of a capability and any supporting Research and Technology (R&T). This conceptual gap may be filled by one or more changes in the DOTMLPF11 spectrum. CD&E provides a method to explore, refine, assess, validate and demonstrate new conceptual ideas to identified capability shortfalls and gaps in a forward looking and innovative way.

Evolutionary and organisational changes necessitate adjustment and update of the CD&E process, particularly in light of MC 0583.

AIM

The aim of this document is to provide direction on the implementation of Concept Development and Experimentation activities within NATO by describing:

a. How CD&E is understood, directed and coordinated with the NATO Defence Planning Process (NDPP), the Lessons Learned Process

1 Doctrine, Organization, Training, Material, Leadership, Personnel, Facilities and Interoperability provides the spectrum in which solutions to capability gaps needs to be addressed.


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(LL), and the Crisis Response Operations (CRO) Urgent Requirements (CURs);

b. How CD&E activities are organized in NATO to include:

the initiation, approval, execution, and finalisation of a CD&E project, from its inception to its possible implementation;

the management of the CD&E activities;

the CD&E engagement with Nations and within NATO.

SCOPE

This document sets forth a common basis for NATO CD&E activities and provides essential direction and guidance on the conduct of CD&E.

This document describes the NATO CD&E process and the cooperation among NATO entities, Allied Nations or other potential Partner Nations. It is not intended to instruct nations on how to execute their own CD&E programmes within their national endeavours.

This document clarifies how CD&E interacts with other internal processes such as NATO Defence Planning, Research and Technology (R&T), Lessons Learned and the CURs. It defines procedures to serve as a robust basis for the proper application of CD&E within the Alliance, with specific emphasis on the management of CD&E projects and on the training tools available in this domain.

Along with MC 0583, it serves as a foundation for other CD&E documents, including a CD&E handbook, to be developed and updated by HQ SACT, for use by CD&E staffs within the Alliance. The policy, this directive and all related texts will define the common understanding of CD&E, from the MC level down to staff level.


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CHAPTER 2

INPUTS TO THE NATO CD&E PROCESS DEFINITIONS

10. Decisions to apply CD&E are made after other processes have determined a shortfall in capability. The NATO Defence Planning Process (NDPP) is the process which dominates the determination of capability shortfalls, while the following provide further insight into what constitutes a Minimum Capability Requirement (MCR):

the overall Capability Requirement Review (CRR) analytical process;

knowledge of the national and NATO programmes of work and transformation priorities;

needs identified through the LL process;

CURs;

innovation resulting from R&T;

assessments of potential future requirements and/or trends informed by prospective works such as the Multiple Futures Project;

or sheer innovative thinking processes and Long Term Requirement Studies (LTRS).

11. Insight into possible solutions to fill capability gaps can be gained through R&T, CD&E and other processes. Solutions recommended by these processes will be pursued where appropriate. This includes the prioritisation of capability requirements in order to better focus further development within NATO.

CD&E AND NATO DEFENCE PLANNING PROCESS INPUTS

12. NATO Defence Planning provides a framework within which national and Alliance defence planning activities can be effectively harmonised and aligned. It facilitates the timely identification, development and delivery of military capabilities. The NDPP is conducted by NATO HQ, ACT and ACO, with SACT in the lead at the SC level in step 2 and 3.

13. The NDPP follows a five step approach (shown in figure 1). The steps in which CD&E may interact are step 2 (determine requirements), step 3 (apportion requirements and set targets) and step 4 (facilitate implementation).

a. Step 2 comprises two parts in the Capability Requirements Review (CRR). First, the identification of MCR to fulfil the full set of the Alliance missions set out in step 1. In the second part, these requirements are compared with national and NATO existing and planned capabilities, thereby deriving three outputs: the fulfilled requirements, the shortfalls


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and the non-required existing capabilities. The shortfalls are assessed for operational and transformational impact to deliver the Prioritised Shortfall Areas (PSA).

Step 3 consists of generation of preliminary Courses of Action (CoA) in order to lay out (multinational) implementation feasibility, setting targets for nations and NATO in the medium and long term for the fulfilment of the MOR. Before the targets are apportioned, a decision is made as to who is best suited to find a solution for the identified shortfalls or gaps.

Step 4 focuses on addressing the most important capabilities shortfalls, pursues solutions through the facilitation of the implementation of National and NATO targets, which include, among other the Capability Packages in the NATO Security Investment Programme (NSIP); the Military Training and Exercise Program (MTEP), Standardization Agreements (STANAG) and Interoperability initiatives; it seeks to acquire the capabilities required by the Alliance by monitoring and encouraging national implementation, by facilitating and supporting multinational implementation and by executing collective (NATO assets) implementation.

Review Results

5,1

4

Facilitate Implementation

Establish Political Guidance

1

3

Improving Alliance

Capabilities

Figure 1 NATO Defence Planning Process

14. There are two opportunities when CD&E is invoked within the CRR contribution to the NDPP:


Requirements Set Targets

Apportion

Requirements Determini)

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First, the CRR may have identified a capability shortfall where a concept is needed to identify potential solutions. In the solution development phase between steps 2 and 3, a CD&E project can be initiated to deliver a conceptual solution. Feedback of this solution must be given to the CRR and the preliminary CoA generation within target setting to ensure proper integration of the new capability in the overall NDPP.

Second, a CD&E project may develop a conceptual solution that has not been previously identified through the CRR or an envisaged CoA (by National or R&T inputs, for example). This potential solution may involve developing new approaches to operations, procedures, organizational structures or the application of new technologies. The CD&E output thus modifies the way in which the CRR approaches its analysis of planning situations and capability requirements logic. In target setting to be pursued by relevant proponents it triggers envisaged CoA towards desirable solutions.

CD&E AND OTHER INPUTS

15. The LL, CURs and R&T processes allow for the injection of solution finding based on considerations that occurred outside the NDPP, although NDPP strives to include LL, CURs and R&T when and where applicable. As a

result of vetting new or innovative ideas, insights may be gained on what constitutes an existing identified capability requirement and what has to be taken into account in the next cycle of the CRR to assess the impact on the MCR.

Other solution finding

Figure 2 Capability Development and CD&E


CD&E

1 lution

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Lessons Identified and Lessons Learned

The Lesson Learned process is a structured and inclusive process by which an observation or a commander's requirement is developed, through analysis, into a Lesson Identified (LI) and with remedial action applied, into a LL. LL process helps remedy capability deficiencies and records, enhances and communicates Lessons Learned and best practices. The success of the LL process relies on accurate observations and data collection that identifies issues, assesses related implications and ensures that findings become Lessons Identified. They are assessed at the appropriate level in order to seek remedial actions, which could lead to the use of CD&E and finally become LL. ACO, ACT and Nations are able to initiate proposals for CD&E development through the CD&E management procedures (see chapter 4). The Joint Analysis and Lessons Learned Centre (JALLC), which focus on current operations and analysis, the Joint Force Training Centre (JFTC) and Joint Warfare Centre (JWC) training centres can, in this context, also forward proposals for CD&E development.

CURs and CD&E

CURs usually demand so short a response time that they cannot be addressed by CD&E, even as emerging requirements. Nevertheless, once agreed, this request may lead to the initiation of CD&E projects outside the usual programming cycle, using the "emergent request for development" described in chapter 4 (Paragraph 76). The CD&E process must be sufficiently flexible and balanced to allow urgent development projects by changing its priorities, allocations and resources. Urgent development for a CUR is to be addressed within the HQ SACT internal programming process. Those CURs must be taken into account in the next cycle of the CRR to measure the impact on the MCR.

Research and Technology

CD&E can also contribute to capability development through the introduction of previously unknown capabilities. New ideas may result from "out of the box" thinking or may be gained from R&T endeavours. A new or emerging technology or technique may be identified as having a potential for a military application within NATO. This could be turned into a potential new capability and developed through CD&E if an operational benefit could be expected. The R&T process interacts with the CD&E process by acknowledging that the resources and contacts that the R&T Organization (RTO) provides can not only be a resource and source of information for CD&E projects, but also may provide the fundamental research and solution finding from which the CD&E projects may benefit. Additionally, national R&T organizations and Research and Development entities may provide essential insights to the emergence of new ideas, innovative solutions and new capabilities, which may


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not have yet been identified in the CRR process or observed during exercises and operations. These ideas have to be taken into consideration into the next CRR cycle to be validated as MCRs.

Conversely, CD&E may provide new leads for R&T areas of endeavour.

CD&E DEFINED

The NATO CD&E process is a scientifically supported methodology aimed at developing innovative and novel solutions to capability shortfalls or gaps, through an iterative approach of discovery and refinement. The application of the CD&E methodology requires inherent evaluation and control in order to ensure quality, mitigate risks and prevent constraints on "thinking outside the box". CD&E projects are created for this requirement. Figure 3 provides an overview of the relationship between CD&E projects applying the CD&E methodology, the CD&E management that governs the execution of CD&E projects, and associated engagement activities.

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Proposals

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21. The CD&E process encompasses the use of the CD&E methodology in the development of all accepted projects, the management of related activities and the engagement with nations and within NATO. Three elements constitute the CD&E process:

CD&E Project to initiate, develop, assess, validate and complete a

concept. The CD&E project is described in chapter 3.

CD&E Management (addressed in chapter 4) covers:

i. Management of project proposals to include coordination with the Capability Development lead, other concept proposal fields and existing on-going projects run by nations;

HQ SACT Management of the process, to include prioritization, for the integration in capability development plans, reporting, justification for, validation and approval of activities;

Resource allocation;

iv. Quality Assurance to include a CD&E process custodianship, concept coherence, and adherence to scientific rigour

CD&E Engagement to disseminate and socialise results, to spread and share knowledge on CD&E methods, processes and projects in order to promote best practices amongst NATO nations and partners. The engagement is addressed in chapter 5.

Figure 4 shows the relationship between the 3 elements of the CD&E Process.

CD&E PROCESS rag me

1.1Mcepts

CD&E Engagement

4 1° Con

Figure 4 Elements of the CD&E process


11=114 Reports

Best practices

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21. The CD&E process encompasses the use of the CD&E methodology in

the development of all accepted projects, the management of related activities and the engagement with nations and within NATO. Three elements constitute the CD&E process:

CD&E Project to initiate, develop, assess, validate and complete a concept. The CD&E project is described in chapter 3.

CD&E Management (addressed in chapter 4) covers:

i. Management of project proposals to include coordination with the Capability Development lead, other concept proposal fields and existing on-going projects run by nations;

HQ SACT Management of the process, to include prioritization, for the integration in capability development plans, reporting, justification for, validation and approval of activities;

Resource allocation;

iv. Quality Assurance to include a CD&E process custodianship, concept coherence, and adherence to scientific rigour

CD&E Engagement to disseminate and socialise results, to spread and share knowledge on CD&E methods, processes and projects in order to promote best practices amongst NATO nations and partners. The engagement is addressed in chapter 5.

Figure 4 shows the relationship between the 3 elements of the CD&E Process.

CD&E PROCESS

Proposals

INNIENIESEEM

Concepts

CD&E Management

vs.

Figure 4 Elements of the CD&E process


Reports

CD&E Engagement

Best practices

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ROLES AND RESPONSIBILITIES

The Military Committee (MC). The MC, as the senior military authority in

NATO, oversees the development of NATO's military policy and doctrine2. In the field of CD&E activities, it approves the Comprehensive Campaign Plan (CCPlan) and associated budget, and has an anytime tasking ability for any CD&E project. The MC is the only entity to formally task a sensitive project whenever they occur. It is also the approval authority for most of the CD&E projects.

Supreme Headquarters Allied Powers Europe (SHAPE). Regarding CD&E activities, SHAPE is mainly responsible of integrating operational command inputs, lessons learned requests and the operational customer's perspective in the CD&E process.

Headquarters SACT (HQ SACT). ACT is responsible to the MC for the conduct of CD&E activities through expertise on CD&E principles, initiation and monitoring of CD&E projects and concept development, to include operational experimentation, operational analysis and modelling and simulation. HQ SACT conducts experimentation to "develop conceptual solutions" and also to "contribute to capability development". Where necessary, HQ SACT provides a coordinating function designed to identify, harmonise, align and coordinate NATO CD&E requirements and activities, and is in charge of the NATO CD&E management and engagement.

Joint Warfare Centre (JWC). JWC supports HQ SACT CD&E. If

required, it can conduct NATO's joint and combined experimentation, analysis, and doctrine development processes. During a venue (e.g. an exercise or live operation), it will be responsible for the integration of an experiment and the subsequent coordination of WI experiments to be performed at that venue.

Joint Force Training Centre (JFTC). JFTC supports HQ SACT CD&E. If required, it can assist with NATO's joint and combined experimentation, analysis, and doctrine development processes. During a venue (e.g. an exercise or live operation), it will be responsible for the integration of an experiment and the subsequent coordination of all experiments to be performed at that venue.

Joint Analysis and Lessons Learned Centre (JALLC). The JALLO feeds the results of joint analysis work and lessons learned back into the transformation network. It will provide support, as requested by HQ SACT, to operational analysis in certain CD&E projects.

NATO Undersea Research Centre (NURC). The NURC will provide support, as requested, to the conduct of operational experiments with applied research and technology development in areas of expertise (i.e. within the maritime domain).

2 MC 57 series


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29. Other NATO Education and Training Facilities (NETF). Other NETF can also contribute to the CD&E process, in accordance with their mandate or their concept.

30. Nations. Through their representation on the MC and associated working groups, nations consider the CCPlan and related budgetary issues for approval, can request any CD&E project to be launched or enquire about the development of any project or other CD&E related activity. Through participation on the CD&E WG and other engagement opportunities (visits, share of best practises, CD&E conference), their defence organizations have an opportunity to cooperate with ACT in CD&E projects. ACT-nation partnership is a cost saving way to achieve common goals in a collaborative spirit. As part of the intent to fully exploit Alliance CD&E efforts, and enhance collaboration, certain activities related to developing concepts such as experimentations may fall to a Nation(s).

CD&E Centres. Nations' CD&E Centres may participate in CD&E forums and provide national technical validation on future CD&E projects. Elements of CD&E project works could be delegated to a Nation's CD&E Centre, under the coordination of HQ SACT.

Centres of Excellence (COE). COEs provide opportunities to enhance education and training, improve interoperability and capabilities, help with doctrine development, and/or test and validate concepts through experimentation. A COE may participate in CD&E forums to leverage the expertise provided. In appropriate situations, a COE could also be designated Concept Development leader, upon request and under the coordination of HQ SACT.

Research and Technology Organization (RTO). RTO provides a forum for the cooperation of nations on research and technology through direct access to national research entities. The nations may collaborate in CD&E efforts through the RTO by providing expert knowledge supporting CD&E projects, initiating activities that directly support conceptual solutions and/or experiments, and advising on R&T solutions that impact CD&E projects.

Subject Matter Experts (SME). Nations may also provide SMEs for dedicated CD&E projects.

31. Conference of National Armaments Directors (CNAD). The CNAD is responsible for armaments cooperation between NATO countries. Cooperation with CNAD is important to the ACT CD&E Process, especially on material- oriented concept development. All equipment-based CD&E projects must be addressed within the relevant CNAD group to avoid duplication and to seek for possibilities for cooperation.

32. NATO Consultation, Command and Control Agency (NC3A). NC3A supports CD&E and performs technology assessments as required. During this activity, it will collaborate closely with all parties engaged in the CD&E project.


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Senior NATO Logisticians' Conference (SNLC). The SNLC is responsible to the Military Committee and Council to ensure that work within the logistics domain supports the accomplishment of the NATO Logistics Vision and Objectives. It ensures the coordination of this work that includes concept development, through subordinate bodies. All logistics-based CD&E projects must be addressed within the relevant SNLC group.

Industry. Industry could be involved in supporting CD&E activities.

Academia. Academia may be invited to participate in CD&E activities.


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CHAPTER 3

CD&E PROJECTS

A CD&E project is the concept work and associated experiments, using scientific methods and analysis, to address identified capability gaps. It

comprises developing and validating a concept, using the CD&E methodology, within a planned time frame and a given resource allocation to find solutions to particular shortfalls. The military problem to be solved is stated, hypothesis solution is prepared, tested, improved if needed, and culminates in a validated and approved concept, with propositions for its implementation. A CD&E project includes: a deeper analysis of the problem and identification of possible conceptual solutions; the drafting of a concept; the development of solutions; the analysis of the adequacy of the solutions, and experimentation to refine and validate the proposed solutions. In general, the CD&E project employs an iterative approach. 'Concept development', 'experimentation' and 'analysis' are the three main techniques used during a CD&E project. While concepts could be developed in many different ways, only the utilization of these three techniques together guarantees the sound practice of analysis and qualitative assessment of conceptual outputs. The characteristic and the intensity of these individual elements can be different, dependent on the topic. None should be excluded from the beginning, and their use must be considered at each stage of the development cycles (spirals of development). The CD&E project covers the development of the concept until the implementation phase, where decisions are made with respect to acquisition and application of the proposed solutions.

With the exception of CD&E projects fully delegated to a nation, HQ SACT is responsible for all NATO CD&E projects. Figure 5 depicts the development of a CD&E project.


ent

Resource allocation, Quality assurance. IVIonitoring.

.\7

Time Initiation Research

Phase

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Update on thz progress

Development Validation Approval Phase Phase

Figure 5 CD&E Project

A CD&E project is initiated, executed and controlled through accepted Project Management practices that permit timely decision, direction and guidance by senior leadership. HQ SACT is to provide appropriate control mechanisms, forms, templates and methods of work to ensure a disciplined, transparent, structured and rational development and to enable inherent evaluation with efficient and well defined validation and review points.

Anytime during the development of a CD&E project, if it appears that the topic becomes sensitive, a formal approval from MC is required (see chapter 4).

PROJECT INITIATION

The decision to apply CD&E to address capability shortfalls lies outside the CD&E process (see chapter 2) and is made after a thorough analysis of the capability shortfall wherein the military problem is clearly stated. The decision process encompasses a stakeholder analysis, problem identification and structuring and a brainstorming of ideas. Once that decision has been made, a CD&E project is initiated. It will formally be part of the collection of CD&E projects managed by HQ SACT. Management, monitoring, funding, approval and quality control procedures are described in chapter 4.

CD&E projects derived from a CUR, usually integrated as an emergent request, will be initiated and developed in a delivery time compatible to the tasking authority requirements.


(CD&E Engagement

End of the CD&E Project

Implementation Phase

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PROJECT DEVELOPMENT

A typical CD&E project will display a concurrent, spiral process in which conceptual work, experimental efforts and analytical insights are intermingled to form a process that employs all skills from drafting of documents, brainstorming, war-gaming, research and analysis, Modelling and Simulation (M&S), live experiments, and prototyping to demonstrations. Thus development, refinement, assessment and validation are founded on a spiral development.

Each specific project is entrusted to a Concept Development Team. It is composed, as appropriate, of concept developers, experimenters, analysts, M&S experts and Subject Matters Experts (SMEs). A Nation interested in the project could also be a member of the Concept Development Team.

The Concept Development Leader leads the Concept Development Team and provides overall coordination and management of the CD&E project throughout its duration. He is responsible for producing the concept development plan and for providing information on the current status of the program.

Normally, concept development involves extensive research and may include the production of a series of drafts that are distributed widely for review and comment. Brainstorming sessions can be very beneficial to develop initial drafts and facilitate the collection and collation of inputs from SMEs. Collaborative tools may facilitate the common development of a concept. Formal working groups or other similar bodies may be created to expedite the development of concepts. The research should be focused on finding existing and future solutions to the concept. Research and Technology entities may be requested to contribute and collaborate within the CD&E project to provide expertise and advice on existing solutions and provide information on possible future solutions.

A Concept Development Plan (CD Plan) and a Concept Document are the two main components of any CD&E project. The CD Plan is critical for the co-ordination and management of the CD&E project. It is used to assign tasks and responsibilities, monitor the progress of these tasks, integrate and synchronize efforts of multiple teams or people with different competencies and co-ordinate and integrate activities. Except for a CD&E project totally assigned to a nation, CD Plans are approved by HQ SACT. An assessment of necessary resources is also required (See chapter 4).

A universal concept structure cannot be outlined. Nevertheless, a Concept developer should consider the following generic structure for his work:

a. Introduction

Background (to include military problem statement or capability shortfall)

Aim (of the concept)


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iii. Scope (of the concept; to be understood as range and limitations in time, authority, commands etc.)

b. Main Part (the conceptual solution: what needs to be done)

Definitions

Requirements

Functions

Principles

Roles and Responsibilities

Assessments / Evaluation

Capability Elements (in terms of DOTMLPFI, as applicable)

Resources

c. Implementation (suggested concept owner, actions required to implement the concept)

d. Conclusion and Way Ahead (highlights benefits of the conceptual approach and outlines next steps once the concept is approved)

Some projects, mainly emergent requests (see chapter 4), need a shorter time of development. The whole CD&E Project needs to have the flexibility to allow shortcuts, within an acceptable level of risk, as necessary to meet operational needs.

Analysis

The arsenal of the concept developer must include analysis. Operational analysis, to include static and dynamic modelling work, may provide a cost- effective way to bring insights to the concept.

Analysis can determine at an early stage, stakeholders' interests in the concept and their expectations, the operational value and the feasibility of the concept, and determine possible venues for development by addressing operational validity and effectiveness through modelling. M&S takes this process a step further.

As the development of a concept progresses, the analysis activities look to accumulate evidence to determine and demonstrate the validity and increased effectiveness of the proposed solutions.

The rigour of the analysis and experimentation undertaken is important to increase confidence in a conceptual solution and reduce the risk involved with its implementation.


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The analysis itself that underpins concept development and experimentation must be robust, transparent and presented for peer scrutiny. When empirical tests have been conducted they should be documented in order to allow repetition, if needed.

Experimentation

The role of experimentation is primarily to discover information, confirm or disprove a hypothesis, or provide formal validation that a concept under development will achieve its desired aim. Experimentation uses real (or near- real) environments to provide levels of information and insight not available from other traditional means such as operational analysis or lessons learned analysis. Benefits of experimentation include reduced uncertainty (risk mitigation); objective evaluation of innovations; identification and possible solution of practical problems that cannot be determined through studies and analysis alone; and provision of empirical evidence to inform policy, budgetary and procurement decisions.

While it is possible for experiments to be conducted in the early stages of the project when no firm concept is available, it is imperative that all experiments have an approved conceptual rationale. Concepts underpin experiments even in

embryonic stages when discovery of conceptual ideas is ongoing.

Integration of experimentation into concept development provides opportunities to discover, speculate, hypothesise and validate conceptual ideas within the context and the progress of the concept. In each step of experimentation, a thorough analytical effort has to be made to ensure that the results are derived at using a rigorous scientific method. Analysis of results can also lead to change in CD&E project courses of action, or may indicate that some experiments scheduled later can be cancelled or that other experimentations are necessary. Moreover, experimentation can also exploit a "negative" outcome as a way to refine concepts.

There are three types of experiments: discovery, hypothesis and validation. All three have their own value to support the concept development. During a CD&E project, initial experimentation will typically seek understanding of the functioning of a complex system with regard either to an area perceived to be of concern or one considered to be particularly disposed to improvement. Later experimentation may look to refine this understanding in light of particular solution options. Also, experimentation can broaden perspective and show how such solutions aimed to overcome particular problems might perform across a range of operations and circumstances.

Nations interested in participating in experimentations can be associated, according to the management of CD&E presented in chapter 4.


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PROJECT OUTPUTS

CD&E ultimately aims to achieve approved concepts and provide capability solutions. In order to achieve effective and well-defined project completion, a validation phase is essential.

Concept Validation And Approval

In principle, concept validation is done through a validation experiment. If

the nature of the concept does not allow for that experimentation, validation must be achieved through the approval process.

Validated or finalised concepts are transmitted to the appropriate approval authority. Approval authority for concepts is either the authority that tasked the concept development or the authority which has control of the relevant subject covered by the concept and the related resources. Hence, in most cases, the MC will be the approval authority.

Only a NATO authority, the MC in most cases, can approve a concept for NATO. Nations are free to adopt, according to their own standards, any concept developed in cooperation.

The approving authority appoints a concept owner that will be in charge of the implementation of the concept.

Once the required level of maturity is reached, and the concept is validated and approved, the CD&E project can be closed.

Implementation

Implementation is the transition from an approved concept and accompanying capability solution to a fielded capability. Approved concept answers the "What to do?" question. Implementation phase will develop the "How to do that".

Implementation is not part of the CD&E Process, but is the concept owner's responsibility.

Approved concepts and accompanying capability solutions may be implemented via different methods. Proposals for implementation will normally consist of one (or more) of the following ways: Identification as a National or NATO Target as determined by the NDPP, inclusion in a Capability Package, inclusion in a multinational project realised by several NATO nations, the basis for new doctrine or STANAG development. Additionally, innovative implementation methods may be adopted as appropriate.


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68. The CD&E personnel who have worked on the CD&E project should stand ready to support the implementation, if required. Concept implementation may also require experiments. These experiments are not directly Concept Development related, but serve downstream capability solution development. For reason of transparency, the CCPlan will also include these implementation experiments.


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CHAPTER 4

CD&E MANAGEMENT

69. The CD&E management consists of all activities dealing with requesting and collecting the CD&E proposals from NATO and Alliance nations, integrating them into the Comprehensive Campaign Plan (CCPlan) and into the NATO budgetary process, and launching and monitoring the CD&E projects while insuring that the CD&E Process and methods are correctly applied. An efficient and synchronized system of reports provides the necessary transparency to this procedure.

70. HQ SACT is responsible for the management of CD&E projects.

CD&E PROPOSAL INITIATION

71. In accordance with MC 0583, proposals for NATO CD&E projects are initiated by:

A direct guidance from the MC,

SHAPE, due to operational request,

HQ SACT, under internal directions, in accordance with political/military strategic goals and objectives, LL, recommendations from R&T, nations or identified shortfalls derived from the NDPP,

Regular Request

72. HQ SACT is responsible for collating potential concept developments and experimentation initiatives. This collection is a preparatory step to the CD&E part of the CCPlan, and is a topic discussed during the CD&E WG. CD&E proposals must allow:

ACO to provide, through SHAPE, operational command inputs, lessons learned requests and their capability development related bodies.

Alliance Nations to convey planned or ongoing initiatives that might support or complement ACT's efforts (national CD&E projects, either being executed or under consideration, for example).

HQ SACT to integrate proposals from LL, R&T, nations and NDPP (See chapter 2). The HQ SACT CRO team, liaising with the SHAPE, analyses CUR and LL for their potential impact on SACT activities.

73. This regular request for proposals can be done through calling letters, and/or on-line systems.


NATO UNCLASSIFIED

HQ SACT collects and compiles these requests and puts them up for discussion during the CD&E Working Group.

Emergent Request

The MC or SACT can direct the start of any specific CD&E project at any time.

The normal manner for requests for CD&E projects to be approved is through integration in the CCPlan. Nevertheless, in order to cope with urgent requirements, emergent requests can be initiated. For example, any proposal issued from a CUR is usually treated as an emergent request. HQ SACT will integrate this emerging requirement into the annual programme of work and manage its development. This integration can delay some of the tasks scheduled in the CCPlan. Alliance Nations and commands will be informed of potential changes in the programming of CD&E projects through the online CD&E information system described in the engagement chapter.

MANAGEMENT OF CD&E

HQ SACT is in charge of planning and programming CD&E activities. To do so, HQ SACT will:

a. In accordance with MC 0583, integrate external and internal SACT proposals for development, into inputs for consideration during the CD&E WG.

b. Prepare and lead the CD&E WG, then integrate its results in the CCPlan;

c. Deal with emerging concept or experiment requirements and adapt accordingly the CCPlan;

d. Manage all NATO CD&E projects;

Decide to initiate new CD&E projects in accordance with paragraph 71

Approve Concept Development Plan

Monitor CD&E projects development

Propose to the appropriate approval authority results of CD&E projects

e. Maintain a database of NATO CD&E projects;

f. Report annually on all NATO CD&E activities;

g. Send approval requests to the MC (for sensitive CD&E work);

h. Reply to any request from MC or Nations about ongoing CD&E projects;


NATO UNCLASSIFIED

Organize all the CD&E engagement activities;

Serve as the NATO custodian of CD&E by:

Creating and maintaining all requested CD&E related documents needed to support this process (directives, Terms Of Reference (TOR), Standard Operating Procedure (SOP))

Proposing to the appropriate authority any needed changes to other CD&E related documents (policy, process), as required.

As part of the intent to fully exploit Alliance CD&E possibilities, some CD&E projects may be led by a Nation on behalf of HQ SACT. If a nation is willing to participate in a project, HQ SACT can assign that Nation responsibility as the concept lead. In this case, the lead Nation performs the assigned tasks and collaborates, as appropriate, with the other parties responsible for concept development. In addition, a National COE may be used for CD&E purposes, under agreement of that Nation, particularly in the development of concepts. Some experimentation run by NATO could overlap with national experimental concern. Nations interested in CD&E project or dedicated experiment can be associated to the CD&E project team. However, a clear delineation of responsibilities for NATO and national CD&E activities must be maintained to ensure accountability of Alliance resources.

Sensitive Subjects

MC is the only entity to task a sensitive project. During the analysis of a capability shortfall, or in the early initiation phase, it will become quickly apparent, whether a possible concept will have political, politico-military or meaningful resource-related reach. In these cases HQ SACT will contact the International Military Staff (IMS) in order to assess whether or not MC tasking is required prior to formally starting concept development. Other means of involving NATO HQ may also be agreed upon. In no case will the MC/IMS be left unaware of sensitive CD&E topics.

For work delegated to a Nation, received results will be scrutinized and, if sensitivity is detected, MC approval will be sought by HQ SACT before publishing those results.

CD&E Working Group

HQ SACT provides the medium through which NATO CD&E requirements and activities can be harmonised, aligned and co-ordinated with nations' projects where appropriate. The CD&E WG is a HQ SACT standing advisory body which formally meets at least once annually, in the spring to address the CD&E part of the next CCPlan. Its main objectives are to:

a. Synchronize NATO and national CD&E efforts;


NATO UNCLASSIFIED

Provide HQ SACT with technical advice or recommendations on HQ SACT proposals for experiments or new concepts to be integrated into the CC Plan and then developed;

Allow exchange of CD&E information and expertise.

SHAPE is invited to attend the CD&E WG to give the operational customer's perspective on the proposed CD&E project proposals.

Comprehensive Campaign Plan

The CCPlan is the document presenting the CD&E activities scheduled in the next three years. From a CD&E perspective, the CCPlan provides an overarching view of the capability development efforts at ACT, demonstrates how CD&E and other programs of work contribute to this effort, and the linkages that exist between them.

The integration of a concept proposal into the CCPlan should be based on a careful consideration of whether the requested concept has applicability and relevance against NATO's core mission. The concept needs to be mapped against its potential to enable transformation, and against other developing or developed conceptual work. An analysis of the idea, an initial assessment of its value and where it fits within NATO's overarching mission will help decide at an early stage in the process whether to proceed with its development. The idea will need to be measured against existing CD&E work to establish its relevance.

ACT submits the annual CCPlan to NATO Headquarters, along with the Consolidated Resource Proposal (CRP). MC endorsement of the CCPlan provides the military validity of the proposed CD&E projects.

Experiments in support of concept implementation or doctrine development are also included in the CCPlan.

Figure 6 describes the creation of the CD&E part of the CCPlan using regular requests, CD&E WG, ACT internal process and submission to the MC.


MQ

ACT

oct Y

ACT

Calling letter

ACT

oct Y Y+1 feb

CD&E read 1 ahead

Package

CD&E Battle-Rhythm

87. HQ SACT initiates a request for CD&E development proposals through annual calling letters. However, proposals can be submitted to HQ SACT throughout the year, as they are identified. The proposals under consideration are prepared by HQ SACT, and then scrutinized during the spring CD&E WG meeting, providing for initial national oversight. The proposed CCPlan, which depicts all the CD&E projects, is briefed to the MC in July. The final step in the approval process is the presentation of the CCPlan to the Military Budget Committee (MBC) for budget approval, as part of the overall HQ SACT budget submission. This approbation determines the CD&E activities to be done the following year.

NATO UNCLASSIFIED

CD&E WG

Figure 6 CCPlan timeline


jul au

MC Mil. Budg. Com.

MC WG D & FP

--1.

...11experiments

Validated concept and

Part of CC Plan

Approved CC Plan

ACT

mar apr jul aug

octl: 12LQ

oct")1"

roposals

Internal SACT Internal Research JJJs,

NATIONS, SHAPE

SACT, JJJs, NATIONS, SHAPE

synergies stakeholders

Y+1 feb mar ar

Coordination with Nations

rit'nnual

Calling

ers

Oct Nov I Dec

I

Jan

Engagement

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CD&E WG

Il la- I I 1 1 11 1 14ri I Feb Mar Apr May Jun Jul Aug Sep Oct Nov4 ..-ec

ICD&E Conference I----/

Figure 7 - CD&E Battle Rhythm

Reporting

Reference B mandates an ACT Annual Report to the MC be submitted each year, by the end of March, which identifies the achievements of related objectives, particularly ACT's contribution to the NMA SPOs achievements in the previous year, provides a balanced study of the associated resources and identifies differences from the activities validated within the CC Plan. Additionally, achievements are also presented during the CD&E WG and the NATO CD&E conference conducted in the last quarter of the year.

Reporting duties dedicated to a CD&E project are described in chapter 3. Any modification of the programme of work scheduled in the CCPlan, such as the integration of emergent request, is to be reported to the MC, Nations and NATO commands, via the online CD&E information system and finally through the ACT annual report.

RESOURCE ALLOCATION

The CD&E management ensures that the CD&E process of timely planning and budgeting resource allocation is taken care of.

The integration of an emerging and urgent CD&E project requesting quick funded activities such as an experiment will have an impact on the ongoing year budgetary plan. HQ SACT, while keeping Nations informed, is allowed to


MC Approves ACT CCPlan

ICD&E Course I

NATO, Partner Nations & NATO Organizations

MBC approves

ACT budget

NATO UNCLASSIFIED

reallocate manpower and budgetary resources to cope with this new requirement. If more funds are needed, HQ SACT will initiate a request to the MC.

Once initiated, each CD&E project has its own internal resource management.

If a CD&E project is fully or partly assigned to a nation, a clear delineation between NATO and national tasks will be provided in the development plan, to assure NATO funding is only allocated to NATO activities. During those workload shares, adherence to NATO financial rules still apply, although additional regulation with respect to funding can be found.

QUALITY ASSURANCE

Quality Assurance provides custodial care of the entire CD&E process, especially in the supervision of CD&E projects in order to improve the cooperation between "concept development", "experimentation" and "analysis" to assure concept coherence.

Where the Concept Development Lead has been delegated to a Nation, Quality Assurance can be asserted by inclusion of NATO concept developers, experimenters and analysts in the Concept Development Team.

CD&E Process Custodian

HQ SACT responsibility in the Management of CD&E includes the monitoring of all CD&E projects under development, in order to ensure that only approved CD&E methodology and practices are used.

Concept Coherence

Concepts should form a coherent collective in which overlaps, quality differences and contradictions between concepts are avoided, and in which mutual support, innovation, cohesiveness and similarity are championed. Such coherence is enforced through the various screenings applied to any request for CD&E projects, from an initial request to its integration in the CCPlan, and by associating SMEs in accordance with paragraph 43, the project initiator, and the future lead responsible for the concept to the development team (see chapter 3).


Scientific Rigour

98. As the CD&E methodology is scientifically supported, the rigour with which this support is applied determines greatly the quality of the concept, its validity, feasibility and applicability. During the initial conceptual phases of the CD&E project, the application of sound scientific and analytical methods will guarantee that further development rests on a solid foundation. Critical views embedded within accepted scientific culture and practice will provide the project with a thorough understanding why the project is undertaken, for whom, and what is its content. During experimentation the scientific methods applied will allow for the well founded test plans, proper establishment of acceptance or rejection of hypotheses, valid and useful discovery, and true validation.

NATO UNCLASSIFIED


NATO UNCLASSIFIED

CHAPTER 5

CD&E ENGAGEMENT

99. One of SACT's CD&E related missions is to promote doctrine development. The CD&E engagement objectives are to:

Sustain an effective NATO information management system to allow knowledge about NATO and nations' CD&E activities to be circulated and refreshed;

Maintain or enhance interoperability, collaboration and sharing of best practices within the Alliance;

Assist partners in developing their own CD&E capabilities, fully compatible with NATO CD&E activities.

100. HQ SACT is responsible for CD&E engagement. It fulfils the three above objectives through:

Dissemination of CD&E outputs;

ACT led engagement visits, on-line systems and CD&E courses;

An annual CD&E conference.

101. In a spirit of transparency, openness to new ideas and in order to better share its CD&E views, Partnership for Peace (PfP), Mediterranean Dialogue (MD), Istanbul Cooperation Initiative (ICI), European Union and/or Contact Countries (CC) may be involved in NATO's CD&E engagement activities.

CD&E OUPUTS

102. To comply with the requirement for transparency and promote CD&E, all outputs of the NATO CD&E process are available according to the appropriate classification level:

Online CD&E information systems contain details of approved concepts, ongoing CD&E projects, and the list of validated experiments and proposed concepts for the coming years.

CD&E WG: read ahead packages are sent to every WG participant detailing the experiments and concepts development work proposed for the next year.

CCPlan and ACT Annual Report: Those documents are sent to MC. Nations are informed through their participation to the MC as well as by the online CD&E information systems.


NATO UNCLASSIFIED

Approved concepts: All concepts approved throughout the year are presented at the CD&E WG, the CD&E conference, and, generally during engagement visits. Nations are aware of concepts up for approval via their participation to the MC approval process.

NATO CD&E publications provide the most recent updates regarding internal processes, approved concepts, new engagements, procedures and managing methods relating to CD&E.

PROCESS AND METHOD

As per MC 0583, an effective network connecting national CD&E efforts is necessary. To this end, HQ SACT organizes engagement visits, online CD&E information system, and CD&E courses. Furthermore, newsletters and brochures about CD&E activities are distributed by ACT via the most appropriate and cost effective means.

Visits

Engagement visits are a good opportunity for collaboration with the host nation's CD&E experts (Joint HQ, centres of doctrine, and staff personnel from COE responsible for developing concepts) to assist nations and ACT in developing their own CD&E capabilities and processes.

The engagement visits may also have cooperation objectives (i.e. obtain national assistance or cooperation with NATO CD&E) and/or promotional aims (i.e., to promote NATO CD&E activities).

Nations may submit a request to HQ SACT for an engagement visit. The content of the engagement visit is tailored to the requesting country. The agenda is proposed by the host nation and usually includes a presentation of CD&E in NATO.

Web Based Information Exchange

In order to fulfil the objectives of the CD&E Engagement, an effective information management system is a necessary and cost effective solution. The NATO online CD&E information system is a real-time tool for sharing data about points of contacts, education documents and programs, experiments and concepts under consideration, as well as reports or other works issued by Nations, Organisations or NATO.

Using the NATO protected network (NS WAN) is more secure, but in accordance with the goal of transparency, the need to share data with non- NATO countries and organisations, and mindful that many projects or reports are not classified, the use of the unclassified Internet Network is allowed. Nevertheless, identification procedures must be used to improve overall security.


NATO UNCLASSIFIED

ACT is responsible for developing and maintaining the CD&E databases and websites for accuracy.

The NATO School CD&E Orientation Course

A CD&E Orientation Course is available at the NATO School, Oberammergau, Germany. It aims to familiarize students with the NATO CD&E structure and process. This course provides an overview of CD&E from the MC level down to individual staff officers.

The NATO school CD&E orientation course is delivered by staff from HQ SACT.

CD&E CONFERENCE

In order to further mature CD&E projects, promote and increase situational awareness on NATO and Nations' CD&E activities, HQ SACT and the Joint Concept and Development directorate of the United States Joint Forces Command (USJFCOM) co-sponsor an annual CD&E conference. This international conference attracts participants involved in CD&E from NATO and partner Nations and other organisations.

The conference agenda usually consists of plenary presentations with associated break-out discussions and workshops.

Appendix: 1. Acronyms


NATO UNCLASSIFIED

APPENDIX 1 TO ANNEX A TO

ACRONYMS MCM-0056-2010

Allied Command Operations Allied Command Transformation

Contact Countries Comprehensive Campaign Plan Capability Development Concept Development and Experimentation Conference of National Armaments Directors Centre of Excellence Crisis Response Operations Consolidated Resource Proposal Capability Requirements Review ORO Urgent Requirements

Doctrine, Organization, Training, Material, Leadership, Personnel, Facilities and lnteroperability

European Union

Headquarters

Istanbul Cooperation Initiative International Military Staff

Joint Analysis and Lessons Learned Centre Joint Force Training Centre Joint Warfare Centre

Lessons Learned Long Term Requirement Studies

Modelling and Simulation Military Budget Committee Military Committee Minimum Capability Requirements Mediterranean Dialogue Military Training and Exercise Program

NATO Consultation, Command and Control Agency

NATO Command Structure

A-1-1 NATO UNCLASSIFIED

ACO ACT

CC CCPlan CD CD&E CNAD COE CRO CRP CRR CURs

DOTMLPFI

EU

HQs

ICI IMS

JALLO JFTC JWC

LL LTRS

M&S MBC MC MOR MD MTEP

NC3A

NOS

NDPP NETF NSIP NS WAN NURC

SACT SHAPE SME SNLC SOP STANAG

TOR

USJFCOM

WG

NATO Defence Planning Process NATO Education and Training Facility NATO Security Investment Programme NATO Secret Wide Area Network NATO Undersea Research Centre

NATO UNCLASSIFIED

Supreme Allied Commander Transformation Supreme Headquarters Allied Powers Europe Subject matter experts Senior NATO Logisticians' Conference Standard Operating Procedure Standardization Agreements

Terms Of Reference

United States Joint Forces Command

Working group

A-1-2 NATO UNCLASSIFIED

PfP Partnership for Peace PSA Priority Shortfall Areas

R&T Research and Technology RTO R&T Organization

ACT DIRECTIVE NUMBER 10-1

NATO UNCLASSIFIED Releasable to Partner Nations and EU

TERMS OF REFERENCE FOR THE CONCEPT DEVELOPMENT AND EXPERIMENTATION

WORKING GROUP

This is a new Allied Command Transformation (ACT) directive, which will be included in the next publication of the List of Effective ACT (HQ SACT) Directives Index.

References: A. MC 324/2 NATO Military Command Structure 04 November 09 B. MC 0583 NATO Policy for NATO CD&E 30 September 09

Applicability. This directive is applicable to Headquarters, Supreme Allied Commander Transformation (HQ SACT) and its subordinate commands. In addition, this directive informs the nations' representatives.

Interim Changes. Supplementation by organisations subordinate to HQ SACT is not authorized without approval by COS HQ SACT.

Purpose. To define the composition, tasks and procedures of the ACT Concept Development and Experimentation Working Group (CD&E WG).

BACKGROUND

The revision of the NATO Military Command Structure (Ref A) specifies the division of responsibilities between Allied Command Operations (ACO) and ACT along functional lines, with ACT providing the lead for CD&E. Ref B recognises that NATO nations contribute to CD&E through their participation in the ACT CD&E WG to review past and current activities and assess the CD&E proposals. As such, the ACT CD&E WG is part of the management sub-process of the NATO CD&E process. The Terms of Reference for the CD&E WG are given below.

Reference B states that at the Strategic Command (SC) level, HQ SACT has the lead in organizing and managing NATO's CD&E programme and process, supported by the Supreme Headquarters Allied Powers Europe (SHAPE) when appropriate. HQ SACT provides a clearing house function designed to identify Alliance high value CD&E requirements and then harmonise, align and coordinate NATO CD&E requirements and

1


ENCLOSURE 1 TO MCM-0056-2010

08 Mar 2010


activities with nations' projects, and to promote multi-national participation in national and NATO CD&E events. This will improve the synergy of Alliance efforts, maximize the exchange of best practices, and ensure the principles of resource efficiency across NATO and its member nations. Nations are thus encouraged to provide information on their national CD&E projects, either being executed or under construction, in order to make recommendations that will help align and focus efforts and to allow identification of opportunities where NATO and/or nations might capitalise on each other's work.

Having an effective CD&E management system with efficient and well-defined validation and review points is essential. The CD&E portion of the ACT Comprehensive Campaign Plan (CCPlan) is the key vehicle for overarching management and coordination of NATO CD&E process, supporting collaboration, cooperation and oversight. HQ SACT publishes its Comprehensive Campaign Plan (CCPlan) annually to inform NATO HQ, SHAPE and NATO Nations of its intended plan of work for a three years period. It provides an output focused, capability based, three years projection of capability development activities with clear linkages upwards to NATO Military Authorities (NMA) direction and guidance, and down to the individual programmes and Programmes of Work (POWs). The CCPlan includes a complete list of CD&E activities as integral elements of the broader capability development process.

Funding for CD&E and other ACT programmes supporting capability development is authorised by the Military Budget Committee (MBC). The Military Committee (MC), supported by the relevant Military Committee Working Group (MCWG) makes an assessment of the military validity of the programmes, collated and linked under the CCPlan and confirms this validity to the MBC, who will then conduct resource considerations on the ACT budget'. The MCWG's work relies specifically on initial scrutiny and guidance by national and NATO organizations' CD&E representatives reviewing CD&E activities and projects and in particular technical validity of experiments within the Experimentation Programme of Work (EPOW).

SCOPE

The ACT CD&E WG is an advisory body, working-level focal point for all CD&E efforts within the Alliance, whether already delivered, ongoing or planned. In order to achieve this, the CD&E WG focuses its efforts primarily in the following areas:

a. Cooperation, Collaboration and Engagement

Promote transparency through an open exchange of CD&E information and expertise in order to identify areas of possible collaboration between Nations and/or among the Alliance to benefit both ACT and national CD&E programmes.

1 MC military validity is a prerequisite for MBC budget considerations.

2 NATO UNCLASSIFIED Releasable to Partner Nations and EU

NATO UNCLASSIFIED Releasable to Partner Nations and EU-

Concept Development (CD)

Consider all concept development activities proposed as part of the CD input to the CC Plan, and provide recommendations to HQ SACT.

Experimentation

Provide HQ SACT with technical advice on ACT experiment proposals submitted for inclusion in the CCPlan.

To ensure synergy, full consistency and coherence of the staffing initiated by the CD&E WG, a close dialogue between the national CD&E WG members and the national MCWG representatives is a prerequisite to guarantee the alignment of national programmes and/or commitments with ACT's proposed CC Plan.

The HQ SACT point of contact for the CD&E WG is the branch head of "Principles and Plans", within the Capability Engineering (CE) subdivision of the Capability Development (CD) Division, at NCN 555-4100.

This TOR will be periodically rewieved according to the NATO CD&E process directive.

MISSION

The CD&E WG is to review the past and monitor the current CD&E activities and assess the CD&E proposals for the next CCPlan2, identify opportunities for synergy and assess the technical validity of ACT experiment proposals in order to make recommendations to HQ SACT.

TASKS

Discuss HQ SACT concepts under development or proposed for development. Additionally the WG will investigate national concept proposals that may be relevant to ACT's CD&E activities, as well as NATO concepts that may be of interest for national participation in further concept development. The WG will strive to assist HQ SACT in finding areas and conduits for cooperation or, if feasible, integration of overlapping HQ SACT and National CD&E activities in order to achieve synergy and to avoid duplication of work.

Review the CD&E activities of the past year CCPlan. HQ SACT will comment on the concepts or experimentations postponed or deleted. Monitor and assess ongoing CD&E activities in order to make relevant recommendations to HQ SACT.

2 The CD&E management sub-process is described in the NATO CD&E process directive.



15. Discuss nations' and NATO entities' interaction within the field of CD&E to clearly identify areas and methods of cooperation and note Nations' main areas of interest regarding ongoing and future CD&E activities.

16. Review the draft HQ SACT experiment proposals for the following year's programme in order to assess the technical validity of planned experiments. The ultimate objectives are to identify possible synergies between national or multi-lateral experimentation and the draft proposed experiments by offering national contributions for consideration. This includes the review of national and NATO venues that may be suitable for experimentation and make recommendations accordingly. However, an identical or closely similar conceptual rationale for the experiments is prerequisite for any possible synergies

17. Revisit/review the NATO CD&E process and timelines as needed and make recommendations.

18. Develop a report for HQ SACT, including:

A list of proposed concepts recommended for inclusion in the CCPlan with identified provenance; see annex A.

A list of proposed screened and technically validated experiments for inclusion in the CCPlan; see annex B.

METHOD OF WORK

19. The CD&E WG will conduct the majority of its work routinely and electronically, but will meet in accordance with annex C, and as driven by the NATO budget cycle to conduct business and perform tasks as listed in the Tasks chapter. Should any issue remain atter the CD&E WG meeting in spring, a dialogue between HQ SACT and any nation that raised comments will be conducted electronically in order to meet the due date of the CCPlan submission (See annex C). The CD&E WG participants are encouraged to familiarise themselves with ACT's CD&E Web Portal and CDEMS as these sites, together with email traffic, will be the primary venue for dissemination of CD&E information, to include plans, reports and programmes.

COMPOSITION AND ORGANISATION

20. The branch head for ACT/CD/CE/P&P (Principles and Plans) within the Capability Engineering (CE) subdivision chairs the CD&E WG. HQ SACT will provide secretariat services for the WG.

21. The CD&E WG will be comprised of:

Members:

- HQ SACT, SHAPE, NATO nations' CD&E representatives


In attendance:

International Military Staff (IMS), - HQ SACT subordinate commands (as determined by HQ SACT),

SHAPE subordinate commands (as determined by SHAPE), - The Research and Technology Organization (RTO), - Conference of National Armament Directors (CNAD), - NATO Consultation, Command and Control Agency (NC3A), - Other NATO organizations involved in CD&E (SNLC, NAMSA etc), - COE's and SMEs as required.

22. CD&E WG members are expected to:

Be familiar with SACT's current-year CCPlan (published annually) and new concept and experiment proposals (to be sent out as read-ahead NLT 4 weeks prior to the CD&E WG meeting).

Have staffed new concept proposals with appropriate subject matter experts within their respective CD&E organizations.

Have staffed new experiment proposals with appropriate subject matter experts within their respective CD&E organizations.

Come to the meeting fully prepared to discuss technical validity and possible synergies with CD&E national efforts.

Provide information on national points of contact for specific concepts and experiments to enable a profitable network to be established from which synergies can be realized.

FOR THE SUPREME ALLIED COMMANDER TRANSFORMATION:


,

R 'Gib LING Vice Adm* al, GBR N Chief of St ff

ANNEXES:

A. Transformational Justification for CD



Technical Validity of Experiments Generic Milestone Chart

DISTRIBUTION:

External

Action:

HQ SACT Directive 35-1List III and VI ACO/CMD

Information:

NATO HQ/IMS RTO CNAD NC3A SNLC NAMSA Centres of Excellence

Internal

Action:

DCOS CAP DEV ACOS CAP ENG

Information:

SACT SACTREPEUR DCOS SPP DCOS JFT DCOS IRM ACOS CAP REQ ACOS C4ISR & NNEC ACOS JD & S ACOS PPM JALLC JWC JFTC NURC



ANNEX A TO ACT DIR 10-1

08 MAR 10

Transformational Justification for Concept Development

A concept proposal should be built in accordance with the following template:

Concept Title

Concept type (capstone - operating - functional)

Description of the problem, shortfall or capability gap addressed. Purpose of the concept (rough outline of aim, scope and effects on DOTMLPFI).

Identification of the customer (who is asking for this work)

Proposed tasker issuing authority (to be tasked by either SACT, Bi-SC or MC)

Proposed concept approving authority (To be approved by either SACT, Bi-SC or MC)

Reference NATO documents (if any)

Relevant N MA SPO, Capability Shortfall Area's and deliverables (if possible)

Related Concepts (NATO or national). List approved concepts or ongoing CD in NATO or other Nations

Foreseeable / envisaged experimentation (if any).

A-1



ANNEX B TO ACT DIR 10-1 08 MAR 10

Technical Validation of Experiments

Technical validity: An experiment3 is deemed technically valid when the following criteria are agreed (not in priority order):

An identified conceptual rationale is provided4, to include reference to a Deliverable (if possible) and Bi-SC Priority Shortfall Area (PSA) and an identified NMA SPO.

Identification of the concept owner (who is asking for this experimentation)

A clearly defined aim and the anticipated type and form5 of experimentation are described.

A description of the tasks to be carried out within the experiment is provided.

The output of the experiment is identified and especially what is the operational benefit expected (product, report, verify/falsify hypothesis etc) and consists a description of the contribution to the development of a concept in support to capability development (DOTMLPFI).

A statement on synergy is provided, including a clear statement concerning potential duplication of effort within NATO or the Nations. There must be an identical or largely similar conceptual rationale if potential duplication is stated. The statement should also address planned, ongoing or already executed NATO or national experimentation that is in the NATO domain and where outputs are made available to the NATO community in order to maximize synchronization and synergy.

For MC's assessment of military validity, the following areas will also be addressed:

Resource implications

Impact statement

3 Experiments are categorized in accordance with the MC 0583 Policy for NATO CD&E's definitions: Discovery, Hypothesis Testing and Validation Experiments. 4 The conceptual rationale for Experimentation could range from an initial conceptual idea to an approved

concept. Concept Development provides the rationale for Experimentation and Experimentation provides

information to refine the concept.

5 In accordance with Guide for Understanding and Implementing Defence Experimentation (GUIDEx).

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UNCLASSIFIED - Home :: NATO's ACT · 2019-08-09 · NATO UNCLASSIFIED NORTH ATLANTIC MILITARY...

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Transcript of UNCLASSIFIED - Home :: NATO's ACT · 2019-08-09 · NATO UNCLASSIFIED NORTH ATLANTIC MILITARY...