NATO UNCLASSIFIED

SUPREME HEADQUARTERS ALLIED POWERS

EUROPE

GRAND QUARTIER GÉNÉRAL DES PUISSANCES ALLIÉES

EN EUROPE

B-7010 SHAPE, BELGIUM

Our Ref: SH/PLANS/J5/PLS/16-311768/1 Tel: +32-(0)65-44-7111 (Operator)

Tel: +32-(0)65-44-6817
NCN: 254-6817
Date: 16 February 2016 Fax: +32-(0)65-44-3545 (Registry)

ACO DIRECTIVE 080-103

TOOLS FOR OPERATIONS PLANNING FUNCTIONAL AREA SERVICES (TOPFAS)

CONCEPT OF USE – INTERIM VERSION

REFERENCES: A. Allied Command Operations Comprehensive Operations Planning

Directive COPD Interim Version 2.0, dated 04 October 2013.
B. SH/CPP/SPLl10-271016, Use of Tools for Operations Planning
Functional Area Service (TOPFAS) in ACO, dated 17 August 2010.
C. NATO Crisis Response System Manual (NCRSM) 2014.
D. MC 0133/4, NATO’s Operations Planning, dated 24 November 2010.
E. Bi-SCD 075-003, Collective Training and Exercise Directive (CT&ED),
dated 02 October 2013.
F. TOPFAS 5: Administrator Guide, dated August 2014.
G. TOPFAS 5: Installation and Configuration Guide, dated June 2015.

1. Status. This is a new Allied Command Operations (ACO) Directive.

2. Purpose. The purpose of this directive is to provide direction and guidance for
functional use of TOPFAS in support of NATO's operations planning within the context of the
NATO Crisis Response System and its associated NATO Crisis Management Process.

3. Applicability. This directive is applicable to all ACO entities and NATO Force Structure
(NFS) entities where TOPFAS is deployed.

4. Publication Updates. Updates are authorised when approved by the Director of

Management (DOM), SHAPE.

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5. Proponent. The proponent for this directive is SHAPE PLANS J5 Planning Support
Branch.

E ALLIED COMMANDER, EUROPE:

ia
Briga ier General, BEL A
Director of Management

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TABLE OF CONTENTS
PAGE PARA.
CHAPTER 1 – INTRODUCTION

Aim 5 1-1
NATO Crisis Response System, NATO Crisis Management 5 1-2
Process and Operations Planning Process (OPP)
Situational Awareness, Situation Understanding and 8 1-3
Planning in a Complex Environment
TOPFAS in Support of the OPP 8 1-4

CHAPTER 2 – TOPFAS MANAGEMENT

TOPFAS Roles and Responsibilities 10 2-1

TOPFAS Working Area Management 12 2-2
ACO Databases Management 15 2-3
ORBAT Management 15 2-4

CHAPTER 3 – USE OF TOPFAS IN ACO

TOPFAS Preparation 16 3-1

TOPFAS Application in Crisis Identification Process 20 3-2
TOPFAS Application During Crisis Response Planning 21 3-3

CHAPTER 4 – TOPFAS DEVELOPMENT AND SUPPORT

TOPFAS Lifecycle Management 25 4-1

TOPFAS Change Management 27 4-2
TOPFAS Data Exchange 30 4-3
TOPFAS Technical Support 30 4-4
TOPFAS Training 32 4-5

CHAPTER 5 – TOPFAS AND CONUSE DEVELOPMENT

Continued Development 35 5-1

TOPFAS Action Plan 35 5-2
Lessons Learned Process 35 5-3

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ANNEXES:

A. Key Reference Documents.

B. Abbreviations.
C. TOPFAS User Group -Terms of Reference.
D. TOPFAS Functional User Responsibilities.
E. TOPFAS Naming Conventions.
F. TOPFAS Management Conventions.
G. TOPFAS User Roles.
H. TOPFAS Object Status Management.
I. Integration of Changes to the Operational Baseline and Configuration Control.
J. TOPFAS Request for Change Form.

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CHAPTER 1 – INTRODUCTION

1 -1 . Aim

a. TOPFAS is a suite of tools developed by NATO to support the NATO Crisis

Response Planning (CRP) process. It supports system analysis, the Operations
Planning Process (OPP) and operations assessment. It also serves as a tool to create
and manage Orders of Battle (ORBATs).

b. TOPFAS Standing Operating Procedures (SOPs), developed by the NCI Agency,

support this Directive and are embedded in the TOPFAS software. These SOPs
describe how the relevant TOPFAS tools should interact and be used during the NATO
planning process as described in the Comprehensive Operations Planning Directive
(COPD) Interim V 2.0 (Reference A).

c. The requirement for TOPFAS, in particular the Operations Planning Tool (OPT),
to be used throughout ACO both for NATO operations and exercises was clearly
articulated at Reference B. Further, it highlighted the need for operations planners to be
competent in the use of the tool. To date, TOPFAS has not been fully exploited,
potentially impacting on ACO’s ability to collaboratively develop consistent, standard
and comprehensive operations plans.

d. This TOPFAS Concept of Use (CONUSE) Interim Version provides the

conceptual framework for the organisation and responsibilities for TOPFAS, and aims to
drive forward its widespread use across ACO. It has also been developed in
cooperation with NCI Agency TOPFAS project Management Team. It describes specific
requirements for TOPFAS management, training and the coordination of all resources
needed to support operations planning. It should be used as a reference when
developing functional SOPs at the subordinate levels of command. A list of key
TOPFAS-related documents is at Annex A and abbreviations at Annex B.

1 -2 . NATO Crisis Response System, NATO Crisis Management Process and

Operations Planning Process

a. The NATO Crisis Response System (NCRS)

(1) The purpose of the NCRS (Reference C) is to provide the required

preparedness and support for crisis and conflict prevention and for crisis
management across the range of Article 5 and Non-Article 5 operations. It also
provides the basis for the initiation of the OPP as well as some elements to be
applied in the planning process such as Crisis Response Measures (CRMs).

(2) The NCRS consists of the following complementary components:

(a) Preventive Options.

(b) Crisis Response Measures.

(c) Counter-Surprise.

(d) Counter-Aggression.

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(e) NATO Security Alert States.

b. NATO Crisis Management Process (NCMP). The NCMP (Reference C) is the

six-phase consultation, decision making and management process that can be adapted
to any crisis situation. NCMP is the process by which the Alliance addresses and aims
to manage and resolve crises throughout the whole range of possible Article 5 and
Non-Article 5 missions.

c. Operations Planning Process (OPP). The NATO OPP prepares the Alliance to
meet any future possible crisis through the development of appropriate planning
products as well as to provide the timely and efficient development of operations plans
in response to a current or developing crisis. Therefore, the OPP details all aspects of
initiation, development, coordination, approval, execution, review, revision and
cancellation of operations plans. These plans fall into two main categories:

(1) Advance Planning (Standing Defence Plans – SDPs, Contingency Plans –

COPs, Generic Contingency Plans – GCOPs, Graduated Response Plans –
GRPs) 1.

(2) Operations Planning (Operation Plans – OPLANS) 2.

d. The NATO Crisis Response Planning (CRP) Process. The NATO CRP
Process is depicted in Figure 1.1.

1
The GRP Concept aims to underpin improved responsiveness across the Alliance.
2
The tool can support any type of planning process (normal, accelerated, etc.).

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NATO Crisis Response Planning

PME Strategic Political-Military Plan (SPMP) Strategic Political-Military Plan review

development
Phase 1
Phase 2 Phase 3
NAC/MC

Indications and
Assessment Development Phase 5 Phase 6
Warnings of Phase 4 Planning
of the of Response Execution Transition
Potential/Actual
Crisis Options
Crisis NAC NAC Approved
Tasker for MRO NID with MC Approved Strategic Tasker for NAC DS for
Tasker for SSA Strategic OPLAN, SPMP Aproved
Guidance Strategic NAC Periodic Mission Transition NAC
Strategic CONOPS FAD OPLAN, ROEREQ, planning with Strategic Execution
Information Military Execution Review
CONOPS with SORs TCSOR MC Guidance Transition Directive
Sharing SACEUR’s Response With MC Directive SACEUR’s
with MC Guidance1 ROEREQ with OPLAN With MC
Strategic Options with MC Mission Strategic
Illustrative CJSOR Guidance MC Guidance with Guidance
Assessment (MRO) Guidance Progress Transition
and TCSOR MC Guidance
(SSA) Report OPLAN
Phase 1
Initial Phase 3 Phase 4 Strategic Plan Development
SHAPE

Phase 2
Situational Military Phase 5 Phase 6
Strategic Phase 4a
Phase 4b
Awareness of Response Strategic OPLAN Development Execution Transition
Assessment Strategic CONOPS Development
Potential/Actual Options (Force Generation)
Crisis
Strategic Draft MROs Strategic
Strategic Draft Op Strategic
Warning CONOPS Op Strategic
Information SACEUR’s OPLAN OPLAN Op ACTORD Operations
Planning Draft Op CONOPS Planning Disengagement
Sharing Order Strategic OPLAN
Directive CONOPS Approval SORs ROEIMP Assessment Directive
Assessment Operational Approval Planning
with, ROE REQ
Advice illustrative SORs
Phase 1
Initial Phase 2 Phase 3 Phase 4 Operational Plan Development
Operational Estimate
JHQ

Situational Operational Appreciation Phase 4a

Phase 5 Phase 6
Phase 3a Phase 3b Phase 4b
Awareness of of the Mission COA Operational CONOPS Execution Transition
Operational OPLAN Development
Potential/Actual Strategic Environment Analysis Development Development
Crisis
SSA Draft Op ACTORD Operational
CONOPS, Comp ROEIMP Planning
Draft MROs Draft Comp Op
Operational Operational illustrative CONOPS Guidance/
Information Operational Operations
Planning Planning Draft Comp SORs Approval Plan OPLAN Comp
Sharing Warning Assessment Directive Disengagement
Component Guidance Directive CONOPS with Op SORs, Plan Planning
Order illustrative SORs ROE REQ Approval
Advice CONOPS
(As Req)
Phase 1
Components

Initial Phase 4 Component Plan Development

Phase 2 Phase 3
Situational Phase 5 Phase 6
Component Appreciation of the Component Phase 4a Phase 4b
Awareness of Component CONOPS Component OPLAN/ORDER Execution Transition
Strategic Environment Estimate
Potential/Actual Development Development
Crisis
Notes: 1. 1.
Notes: Following
FollowingFAD
FAD receipt,
receipt,SACEUR
SACEURwill
willrelease
release provisional CJSOR with
provisional CJSOR withACTWARN
ACTWARNtotocommence
commence formal
formal Force
Force Generation
Generation
2. As
2. As part
part of of
thethe collaborativeplanning
collaborative planningprocess
processdocuments
documents submitted
submitted to
tothe
theMC
MCwill
willalso
alsobebepassed
passedto to
subordinate Cdrs
subordinate Cdrs

1. Figure 1.1 – Crisis Response Planning Process

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1 -3 . Situational Awareness, Situation Understanding and Planning in a Complex

Environment

a. Modern crises are characterized by complex interdependencies; conflicts are

underpinned by combinations of historical, political, military, social, cultural and
economic factors that have to be analysed in relation to each other.

b. Furthermore, the strategic environment has evolved into a highly complex,

dynamic and adaptive system of systems with many new state and non-state actors
(both local and international). Understanding their relationships and their
interdependencies within a designated Area of Interest (AOI) is key to identifying crises
with potential impact to NATO’s security interests and for developing Situational
Awareness and Understanding in support of Operations Planning, Execution and
Assessment.

c. The NATO OPP takes a systemic view of the complex strategic environment, the
intended effects, objectives and the desired end-state in order to ensure that a
comprehensive understanding of the environment is achieved across all the Political,
Military, Economic, Socio-cultural, Information, Infrastructure (PMESII) domains.

(1) System analysis examines potential adversaries and friendly and neutral
actors holistically as complex adaptive systems to understand their behaviour,
capabilities and interaction within the operations environment. Through an
analysis of the goals, strengths, weaknesses and interdependencies of the main
actors as well as their ability to adapt, it is possible develop knowledge about
their behaviours.

(2) That knowledge can then be used by planners at all levels to determine
how these actors might be influenced to achieve the Alliance’s strategic
objectives and desired end-state.

(3) Finally, the systems view of the environment can be used to generate
measures and assessments of progress towards reaching the end-state once a
plan is executed.

1 -4 . TOPFAS in Support of the OPP

a. TOPFAS is intended to support all phases of the NATO Crisis Response System
at Strategic, Operational and Tactical levels as follows:

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3 4
COMMON PHASE 1 PHASE 2 PHASE 3 PHASE 4 PHASE 5 PHASE 6

Initial Situational Strategic Military Response Strategic Plan Execution Transition

Awareness of a Assessment Options Development
Potential / Actual Development
5
STRATEGIC TWP Crisis

6
SAT OPT OPT OPT CAT CAT

Supporting tools: supporting tool: Supporting tools Supporting tools Supporting tools: Supporting tools:
7 8 9
OPT , CAT SAT SAT SAT, CAT , SAT, OPT SAT, OPT

Initial Situational Operational Operational Operational Plan Execution Execution

OPERATIONAL Awareness of a Appreciation of Estimate Development
Potential / Actual the Strategic
& TWP Crisis Environment

TACTICAL
SAT OPT OPT OPT CAT CAT

Supporting tools: Supporting tool: Supporting tools: Supporting tools: Supporting tools: Supporting tools:
CAT, OPT SAT SAT, CAT SAT, CAT SAT, OPT SAT, OPT

Figure1.2 – TOPFAS in Support of the OPP

3
Only Operations Assessment is fully supported.
4
Only Operations Assessment is fully supported.
5
TWP – TOPFAS Web Portal.
6
SAT – Systems Analysis Tool.
7
OPT – Operations Planning Tool.
8
CAT – Campaign Assessment Tool.
9
Force Generation is supported in a limited way.

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CHAPTER 2 – TOPFAS MANAGEMENT

2 -1 . TOPFAS Roles and Responsibilities

a. TOPFAS, as a project, is managed by two groups: an Integrated Project

Management Team (IPMT) and the TOPFAS Users Group (TUG) that comprises
representatives of both users and developers.

b. ACO. The User Authority for TOPFAS on behalf of the NATO Command
Structure (NCS) is SHAPE ACOS J5. As such, SHAPE ACOS J5 is the requirements
owner and is responsible for managing and validating the requirements baseline of the
overall TOPFAS capability.

(1) SHAPE. 10 Its role has two core elements:

(a) The establishment of the whole TOPFAS working environment to

facilitate collaboration between those NCS / NFS entities involved in the
OPP 11 and ensuring appropriate technical support is delivered by the
relevant service and/or agency.

(b) The development of strategic level planning products utilising OPT,

and supported by other tools:

1/ Systems Analysis Tool (SAT) – creating, developing and

maintaining knowledge about a designated AOI / Strategic Space in
the agreed Engagement Space (system design diagrams &
influence diagrams, etc.).

2/ ORBAT 12 Management Tool (OMT) – developing own force

ORBATs and opposing forces ORBATs.

3/ Campaign Assessment Tool (CAT) – building elements of

assessment, while contributing to the initial estimate in SAT;
assisting planners with the creation of the strategic operations
design; and the development of operations assessment plans.
Identifying, in close coordination with the planners, the Measures of
Effectiveness (MoE) that will help monitoring the progress towards
Strategic Objectives, Strategic Military Objectives and End State.

4/ TOPFAS Web Portal (TWP) – publication of TOPFAS

products for the Community of Interest (COI).

(2) JFCs, SSCs and CCs. Their role is to conduct the operational and
tactical level activities in accordance with the COPD, in collaboration with
SHAPE, and to develop the operational and tactical level planning products. For
this purpose, they will use TOPFAS as required (SAT, OPT, CAT, OMT).
10
For exercises, it is the OCE (Officer conducting the Exercise) that must prepare the database for the exercise,
in accordance with the provisions of directive Bi-SC 075-003 (Reference D).
11
This preparation as minimum should cover following areas or aspects: geographical support (GIS services),
ensuring the current reference data is provided within the tools, creating or selecting the appropriate workspaces,
etc., as detailed in the Chapter 3.
12
Order of Battle.

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(a) The JFCs, SSCs and CCs are responsible for the management of
their respective designated working areas 13 as well as for the
management of their assigned TOPFAS user roles and permissions (see
Annex D) in the User Management Tool (UMT). They may have to review
the SAT objects and diagrams already developed to add the level of
granularity required for their levels of planning; however, this should be
done without modifying objects and diagrams already prepared at higher
levels (though they may add objects).

(b) JFCs and SSCs, in accordance with ACO Directive 065-011, will
support the continuous Situational Awareness and understanding
development during Phase 1 with the coordinated use of SAT as directed
by the SHAPE CCOMC CIG.

(3) Others. TOPFAS is installed in several Headquarters of NATO Force

Structure (performing roles of NRF Component Commands) and organisations
(e.g. Joint Warfare Centre). Each of these organisations is responsible for the
management of their respective designated working areas as well as for the
management of their assigned TOPFAS user roles and permissions (see Annex
D) in the UMT.

(4) Functional Managers (FM)

(a) The SHAPE J5 TOPFAS FM is the lead Office of Primary

Responsibility (OPR) and FM for ACO. He/she coordinates all TOPFAS
related activities and has functional authority over all TOPFAS FM across
ACO/NFS HQs. Further detail on FM responsibilities is at para 3-1c.

(b) In each of the entities using TOPFAS, local FMs are designated to
coordinate and facilitate TOPFAS activities within their own entity and to
be the local correspondent of the TUG and IPMT as required. In these
entities, one FM may be designated to cover all of the TOPFAS tools
responsibilities or one FM can be designated for each of the tools. Further
detail on FM responsibilities is at para 3-1c.

(5) TOPFAS User Group (TUG). The successful lifecycle management of

NATO’s TOPFAS capability and its effective use across NATO depends on user
involvement. The TUG is established to manage operational requirements and
form a communication stage between the operational users and TOPFAS
capability management. The TUG is established under the authority of SHAPE
Chief of Staff (COS), to serve as the primary operational user representative
supporting the development, implementation as well as the operation of
TOPFAS. Terms of Reference of the TUG are at Annex C.

13
Working area is a generic term to include all ES/WS etc.

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2 -2 . TOPFAS Working Area Management

a. TOPFAS working area management is the mechanism that provides capabilities

to control access to the tools, protect the content of the working areas and manage the
information exchange.

b. The working area management mechanism in TOPFAS provides the following

functions:

(1) Control access to the various TOPFAS tools and their respective working
areas (SAT – Engagement Space, OPT and CAT – Workspace, OMT – ORBAT).

(2) Protection of the working area dedicated to a specific group against

access by any other users.

(3) Control of the suite of possible actions for a particular user, based on roles
and permissions.

(4) Control of the visibility of individual objects in a given working area, thus
limiting the visibility to the members of this work area only (Private objects).

c. TOPFAS Naming conventions are at Annex E and Management Conventions are

at Annex F.

Figure 2.1 – TOPFAS Working Areas

d. SAT

(1) The working area in SAT is the Engagement Space (ES). It generally
corresponds to a designated Area of Interest (AOI) or Strategic Space. Access
to the ES is controlled and users without the necessary permissions on the ES
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will not see it in SAT. The operations’ planners and assessors have (read)
access to the ES on which the plan is based through the ES explorer (accessible
in OPT and CAT).

(2) Users with contribute permissions on the ES and having an analyst role
will be able to create, modify and delete objects in the ES provided the objects’
status is not Approved 14. Users with read permissions on the ES will see the
objects but will not be able to manipulate them in any way.

(3) Any user with contribute permissions and having access to the ES can
change the status of an object to Private 15 (provided this object’s status is not
Approved). This will not have any impact on the analysts working in the ES
because there is only one working area, namely the ES itself. It will have an
impact on the planners who will not be able to see the object details through the
ES explorer in OPT.

(4) Any user with Approve permissions on the ES can change the status of an
object of that ES to Approved. This protects the object from being edited or
deleted. To change the status back to an editable mode (Draft/Proposed 16), the
same level of permission is required; in addition, before being able to make the
change back, it is required to explain in the object’s properties why that change is
necessary.

e. OPT and CAT

(1) The working area in OPT and CAT is the Workspace (WS). Users with
the necessary permission on the WS are able to access it. Users without any
permission on the WS, but having permission on another WS of the same plan
will see the WS greyed-out. Users without any permissions on any of the WS in
OPT or CAT in that plan will not be able to access the plan at all (The plan will
not be visible in the database list of plans). The operations planners and
assessors have at least Read permission on the ES on which the plan is based
through the Engagement Space Explorer (accessible in OPT and CAT).

(2) Users with Contribute permission on the WS and having a Planner (OPT)
or Assessor (CAT) role will be able to create, modify and delete objects in the
WS according to the assigned role (provided these objects’ status is not
Approved). Users with Read permissions will only see the objects but will not be
able to edit their content.

(3) A user with Administrate permission can modify the WS and permissions
of other users on the WS as required. This is done through the security tab of
the WS properties.

(4) All possible actions on workspace objects depending on users’

permissions in a given workspace are collected in Annex H.

14
See Annex H.
15
See Annex H.
16
See Annex H.

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f. TOPFAS Security Model (Figure 2.2)

(1) The first security check is based on the user’s clearance to log on to the
appropriate NATO system. Furthermore, an individual without a TOPFAS
account will not be able to log in to any TOPFAS tool. The same applies to an
individual with a locked account. In both cases, TOPFAS provides an
opportunity to request access (creating of an account or unlocking an existing
account).

(2) The user’s roles and permissions are selected by the HQ’s TOPFAS FM
(UMT Admin) when the initial user account is created. These can later be
amended as required by the FM. TOPFAS’s built-in security then uses the user’s
roles and responsibilities to confirm authorisation to access the various Plans, ES
and WS within the programme.

(3) Any action requested by a user will again activate a check of the
appropriate permissions. These permissions define the range of actions that can
be performed by any user within a given WS. User roles and their assigned
rights are described in the Annex G.

Figure 2.2 – TOPFAS Security Model

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2 -3 . ACO Databases Management

a. SHAPE TOPFAS FM will maintain the OPSBASE database.

b. SHAPE TOPFAS FM will initiate and manage all replication of databases.

c. TOPFAS FMs will maintain locally created databases supporting local training
and/or exercises.

2 -4 . ORBAT Management

a. SHAPE TOPFAS FM will maintain all ORBATs in OPSBASE.

b. SHAPE TOPFAS FM will initiate and manage all replication of ORBATs.

c. TOPFAS FMs will maintain locally created ORBATs supporting local training
and/or exercises.

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CHAPTER 3 – USE OF TOPFAS IN ACO

3 -1 . TOPFAS Preparation

a. TOPFAS is able to support and facilitate all aspects of the OPP in a single
holistic tool. To achieve this for an operation, SHAPE will provide Direction and
Guidance (D&G), at an early stage, on the use of TOPFAS and create the necessary
ES/WS to allow initial preparatory work to commence. In the case of an emerging crisis
or potential operation, this early use of TOPFAS does not signify the formal (NAC)
approval to commence planning. For exercises, this initial D&G may be delegated to
the appropriate lead HQ.

b. To realise the full benefits of TOPFAS, HQs are required to maintain a cadre of
trained TOPFAS personnel to manage and operate the system ensuring the data
entered is accurate, relevant and timely.

c. Functional Preparation

(1) To support ACO in the earliest stages of preparations of potential planning

activities, such as Indicators and Warning (I&W) and prudent thinking, it is
necessary to first create an ES. This will normally correspond to, but not be
limited to SACEUR’s, Strategic Spaces 17 (corresponding to SACEUR’s AOI).
Where there is an overlap, separate ESs may need to be created. Proposed
standing ESs and Plans in the OPS Database are as follows:

(a) SACEUR Strategic Space North.

(b) SACEUR Strategic Space Central.

(c) SACEUR Strategic Space South.

(2) A folder structure will be established for all relevant HQs (see Annex E for
naming conventions) in each ES to facilitate the storage of all diagrams and
documents. Each HQ should then create a sub-folder structure based on their
specific requirements.

(3) Database management key roles and responsibilities are:

(a) SHAPE TOPFAS FM/OPR will provide direction and guidance on

the tasks and responsibilities of all subordinate entities regarding creation,
population and analysis in the ESs based on their domains of expertise or
capabilities’, ensuring the workload is optimised and duplication of effort
avoided. SHAPE TOPFAS FM, in close coordination with other SHAPE
FMs, initiates replication of all TOPFAS products (ESs, Plans, ORBATs)
with appropriate entities through TOPFAS UMT.

(b) SHAPE CCOMC Crisis Identification Group (CIG), in close

coordination with CCOMC Task Forces and J-5, will:

17
SHAPE Comprehensive Crisis and Operations Management Process Handbook 14 July 2015.

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1/ Create appropriate SAT ESs and OPT Plans for crisis areas,
AOOs and AOIs, as required.

2/ Assess what information and data is required for the NATO

Crisis Management Process (NCMP) initially for Phase 1, and later
phases, as required.

3/ Generate a production plan for the development of

knowledge.

4/ Monitor and manage database development.

5/ Subordinate levels will review SAT objects and diagrams

already developed and possibly add the level of granularity required
for their levels (operational/tactical) of planning (this should be done
without modifying objects and diagrams already prepared at higher
levels, only adding new details).

(c) SHAPE Functional Managers. FMs will establish the ESs and
Plans and then provide relevant access permissions to other HQs FMs.
Detailed roles and responsibilities are at Annex G.

1/ SHAPE SAT FM is responsible for creating ESs in TOPFAS

SAT.

2/ SHAPE OPT FM is responsible for creating Plans in

TOPFAS OPT and providing necessary permissions to operational
level TOPFAS OPT FMs based on the guidance received from the
lead planner.

3/ SHAPE OPT FM creates operational WSs in any given plan.

4/ SHAPE OMT FM is responsible for creating and managing

ORBATs in TOPFAS OMT.

5/ SHAPE CAT FM will be appointed by SHAPE Director

CCOMC. At this stage he/she does not have any specific
responsibilities related to the functional preparation of TOPFAS
(apart from setting a proper Region Group in the tool).

(d) JFCBS, JFCNP, LANDCOM, MARCOM and AIRCOM will:

1/ Manage access to and content in their WSs.

2/ Create user accounts for personnel assigned to their

respective HQs.

3/ Support database population and maintenance in

accordance with D&G.

4/ Initiate the establishment of their own ESs and Plans (i.e.

when a plan is initiated at their level and no ES has already been

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developed at a higher level), informing SHAPE in each case.

Account named SHA_OPR must be added to each new ES / Plan /
ORBAT with ADMIN permission in each case, ensuring FMs at
external HQ are given appropriate (read/contribute) permissions, as
required.

(4) User Management. Each user should have only one account linked to
their parent organization. When personnel are designated to work and use
TOPFAS outside of their parent organization, a local FM should link their
account(s) to proper groups within that organization, and not create any
additional local accounts. On a case by case basis, when requested, SHAPE
TOPFAS OPR can create accounts for users outside of SHAPE, within their own
organizations. The local FM must be informed about such action.

(a) For operations, individual user (by name) accounts should be used.
These accounts should not be shared by multiple users.

(b) Functional accounts should be considered as temporary accounts

as they may pose a security risk and therefore should be closely
monitored by FMs and only used during exercises and training events. On
completion of a specific event, functional accounts should be reviewed
and deleted as necessary.

(c) All accounts should be reviewed periodically, preferably after the

summer rotation period. Accounts with a lack of activity from 12 to 18
months should be locked. Accounts with a lack of activity longer than 18
months must be deleted. On transfer to a new position or on posting,
individual user (by name) accounts should either be deleted or, if
transferring to another NATO HQ with TOPFAS, transferred to the
receiving HQ and permissions amended accordingly.

(5) TOPFAS Web Portal. The TOPFAS Web Portal (TWP) allows selected
TOPFAS products to be accessible to a wider audience. TWP is a fully
customisable tool that provides selected information on products existing in the
databases as well as additional information included by a TWP ADMIN.
Viewable TWP content depends fully on user permissions, providing information
on their accessible Plans and ES. Any user with admin rights is able to tailor the
amount of information available to any other portal visitor or guest who does not
have a valid TOPFAS account. The TWP can serve as an information portal for
broader COI. Each TOPFAS site has its own TWP, but there is no overall ACO
policy on how to utilize the TWP. The following guidance on access to the local
TWP should be used:

(a) Guest Visitor. Any NS-WAN user, provided they know the TWP
address, can access the TWP and see any information that was indicated
as public. This content cannot be altered by visitors.

(b) TOPFAS Users Using Their TOPFAS Credentials. Users will

have access to all public information and the capability to alter it. They
can access Plans and ES, provided they have necessary permissions to

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access them through appropriate tools. Additionally, they have the

capability to create new pages in the TWP.

(c) TWP Admin. A TOPFAS user with Administrate permission can

change not only content of the pages or add new pages, but also alter the
structure of the site through the available administrative tools.

d. Technical Preparation. The detailed CIS architecture and technical

requirements for the use TOPFAS are beyond the scope of this publication. Detailed
information about installation, configuration and maintenance of the software can be
found in the References F and G.

3 -2 . TOPFAS Application in the Crisis Identification Process

a. Crisis Identification Process. It includes scanning and filtering of information

and intelligence across all available domains. It develops fused Situational Awareness,
assesses and reports on new potential crises (Horizon Scanning) and changes to
known potential crises across SACEUR’s Strategic Spaces and Areas of Interest.

(1) TOPFAS supports activities in horizon scanning by providing a common

working area to develop a systems analysis, of potential risks and threats to
NATO’s security. It facilitates collaboration and coordination of effort, and
distribution of responsibilities in building understanding of emerging crises.
TOPFAS provides a potential repository for models of emerging crisis situations
and allows them to be shared within the community of interest.

(2) TOPFAS supports all activities of systems analysis to enhance Situational

Awareness. ESs will be created, populated and maintained to provide a
collaborative working environment.

b. CCOMC Crisis Identification Group (CIG). The group provides the ACO focal
point for Crisis Identification. The CIG is comprised of SHAPE J2 Ops and CCOMC
Civil-Military Analysis (CMA) and supported by other cells / SMEs as required. The CIG
will lead, coordinate and contribute to development of the relevant ES content in close
coordination with assessors and planners.

c. SACEUR’s Strategic Spaces

(1) TOPFAS SAT FM will be responsible for management of the relevant ES

and users in TOPFAS SAT. Development of content will be directed by the
Branch Head of CMA or J2 Operations in line with CIG priorities.

(a) All commands assigned to a strategic WS will nominate relevant

personnel to support its development and maintenance. Local TOPFAS
FMs will create accounts for relevant users or assign existing accounts
with permission to access the relevant ES / WS at the required level
(Read only, Contribute, and Administrate).

(2) SHAPE CIG OPR (TOPFAS SAT FM) will request support from
assessment personnel in SHAPE CCOMC CRG to identify and incorporate into
the ES the Status of Key System Elements Attributes that could be used as
indicators as part of the assessment and/or crisis identification process. These
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may then be used as a means to measure progress towards the achievement of

Strategic Military Objectives and End-State, should the operations planning
process be initiated.

(3) When the decision to initiate prudent preparatory planning activities has
been made, the SHAPE TOPFAS FM will create a new plan selecting the
relevant ES that corresponds geographically to the SACEUR’s Strategic Space.
Should the geographical area of interest require information that involves more
than one ES, it is the SHAPE SAT FM who will manage the copying of objects
and diagrams from one ES to the other.

(4) During prudent preparatory planning, only the members of the relevant
Cross Functional Action Team will have access to the newly created plan.
Usually no other HQ will be allowed to access the plan at that stage of the
development. It is only when the decision has been made to change from
prudent preparatory planning to formal planning that the SHAPE TOPFAS FM
will grant access to additional relevant users and designated subordinate HQs’
FMs.

d. TOPFAS Templates. TOPFAS supports NATO’s CRP and Advance Planning

through the creation of planning templates in accordance with the latest version of the
ACO COPD and can be used or adapted as required.

3 -3 . TOPFAS Application during Crisis Response Planning

a. Phases 1-2 – I&W (Prudent Thinking), Assessment of the Crisis

(1) Before NAC tasking and initiation of operations planning process.

All TOPFAS-related activities are conducted at SHAPE (CCOMC supported by
SHAPE TOPFAS OPR) and supported by ACO in accordance with ACO
Directive 065-011 ACO Intel Production Directive.

(a) SAT ESs content development, maintenance and updates will

continue under SHAPE J2 / CCOMC direction, across the PMESII
domains of strategic spaces’ as directed by the Director CCOMC.

(b) CCOMC Task Forces planners supported by analysts and

assessors will use plans created during preparatory activities for initial
crisis estimation.

(c) TOPFAS SAT will be used to support the collaborative advance

planning effort across ACO within each of SACEUR’ Strategic Spaces.

(d) As required, external non-NATO entities may be requested to

contribute to the development of Situational Awareness/Situation
Understanding. Input will be managed by regular TOPFAS users.

(2) After Formal NAC Tasking/Initiation of Operations Planning Process

(a) SHAPE TOPFAS OPT FM further develops the plan construct. As

the NAC and IMS do not use TOPFAS to provide relevant planning
guidance and direction (in particular NID planning Objects), it is SHAPE
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TOPFAS OPT FM who will advise and facilitate the incorporation of that
data (and depositing of key documents) into the tool by relevant CCOMC
(Cross-functional Action Team or Strategic Planning Group (SPG))
designated users.

(b) TOPFAS FMs should be part of their HQ planning group (SPG,

Joint Operations Planning Group, tactical level planning group). TOPFAS
FMs manage their own WSs in OPT with regard to access and content in
coordination with SHAPE TOPFAS OPR. They actively support the
development of the planning products and promote use of TOPFAS.
TOPFAS FMs perform the role of interface between the users and
technical support.

b. Phase 3 – Development of Response Options. This phase is focused on

developing Military Response Options (MROs) 18. SHAPE TOPFAS OPT FM creates
additional strategic and corresponding operational WSs as required, depending on the
number of MROs to be developed. The products are developed in all WSs
concurrently. The original MRO workspace is to be kept untouched to serve as an initial
point of reference.

c. Phase 4 - Planning. Planning products development culminates during this

phase with the development of the Strategic Planning Directive, the Concept of
Operations (CONOPS) and the generation of the Operation Plan (OPLAN).

(1) SHAPE TOPFAS OPT FM sets the WS containing the chosen MRO as
final. Any follow-up planning product will be then developed in this WS.

(2) SHAPE TOPFAS OPT FM makes sure that assessors are involved in the
development of any planning object that has to be measured in order to
appreciate the progress towards measurement of success and/or to enter in an
exit strategy. At the strategic level, those objects include the End-State,
Strategic Objectives, Strategic Military Objectives and Strategic Effects.

(3) Operational level product development continues in the WS corresponding

to the final strategic MRO WS, supported by local FMs.

(4) Operational level TOPFAS FMs:

(a) Facilitate and support the development of Mission Analysis and

Operational Design.

(b) When directed to do so (after the JOPG lead has received his
Commander’s Intent and guidance for COA development), the FM will
make sure that a Tactical level workspace per subordinate component is
added to the Operational level workspace in which the Mission Analysis
has been conducted. The FM will then duplicate operational level WS as
instructed by the lead planner, (number of COAs, naming of COAs,
verification of the Reference Date). When duplicating the parent COA, the
FM should consider if he/she needs to duplicate also the children
18
As soon as possible, FM should test the generation of the documents in order to verify that the proposed
templates are correct and possibly re-establish missing or corrupt links.

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workspaces (tactical); this is being done by ticking or not the Copy

children tick box. The original Operational Level workspace is to be kept
untouched to serve as an initial reference, and later, as the place to
conduct COA comparison.

(c) The FM makes sure that assessors are involved in the

development of any planning object that has to be measured to contribute
to the operations assessment and appreciate the progress towards
success. At the operational level, those objects include at least the
Operational Objectives, Decisive Conditions, Operational Effects and
Operational Actions; it is also possible to make use of MOEs to appreciate
the situation at Decisive Points and to present the Commander’s Critical
Information Requirements (CCIRs) status.

(d) Component / tactical TOPFAS FMs support the development of

planning products in the relevant WS.

d. Phase 5 - Execution. Currently, TOPFAS only partially supports the execution

phase of an operation. CAT supports the operations assessment process.

(1) In the case of a need to revise the plan, all activities of the planning
process as in phases 2 – 4 could be repeated.

(2) Operations assessment. Use of CAT.

(a) At the Strategic level, TOPFAS FM facilitates the development of

the MOEs, the preparation of the assessment plan and data collection
plan. Once data is collected, the FM will facilitate and contribute to the
production of the Periodic Mission Review (PMR).

(b) At the Operational and Tactical level, TOPFAS FMs facilitate the
development of the MOEs and MOPs, the preparation of the assessment
plan and data collection plan. Once data is collected the FM will facilitate
and contribute to the production of the Operation Assessment Reports.

(3) Phase 6 - Transition. This phase requires a separate process to conduct

transition planning to include a new strategic assessment, proposal of military
response options, transition CONOPS and/or a revised / new OPLAN. In simple
terms, TOPFAS use will be the same throughout phases 2 – 4.

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CHAPTER 4 – TOPFAS DEVELOPMENT AND SUPPORT

4 -1 . TOPFAS Lifecycle Management

a. Military Requirements. It is crucial for the development of the tool that users
are involved at all times with the development, improvement, training and
implementation of TOPFAS in exercises and operations.

b. Iterative Model. TOPFAS follows the iterative capability development model.

The basic idea behind this model is to develop a capability through repeated cycles
(iterative) and in smaller portions at a time (incremental), allowing software developers
to take advantage of what was learned during development of earlier parts or versions
of the system. Learning comes from both the development and use of the system,
where possible key steps in the process start with a simple implementation of a subset
of the software requirements and iteratively enhance the evolving versions until the full
system is implemented. Design modifications are made and new functional capabilities
are added during each iteration. The iterative model is also effective for managing
changing or unforeseen requirements due to its incremental nature and possibility to
make revisions at each increment. Last but not least, it is possible to inject new
technological advances at every iteration as well. The Figure 4.1 shows the major
phases of the iterative capability development model.

2.
Figure 4.1 – Iterative Capability Development Model

c. Governance. Governance is about ensuring that policies and strategy are

actually implemented, and that required processes are correctly followed. Governance
includes defining roles and responsibilities, measuring, reporting and taking actions to
resolve any issues identified 19. Governance is not a single activity, but a set of
components that are all important to consider in governing a capability during its
complete lifespan. To be effective, the governance framework must include all
organisational stakeholders involved during the complete Capability Lifecycle. The
TOPFAS governance framework described below defines the roles and responsibilities

19
ITIL v3 definition.

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of all relevant organisational entities. It aims to facilitate efficient and effective decision
making on TOPFAS-related matters throughout its lifecycle.

(1) Transformation Authority. The Transformation Authority for TOPFAS is

DCOS Transformation of the Allied Command Transformation (ACT). ACT
oversees the further improvements of TOPFAS and its alignment with the NATO
Crisis Management and Operations Planning processes through its scientific
Programme of Work and relevant Capability Packages. The Transformation
Authority will provide updates during the biannual TOPFAS Users Group (TUG).

(2) User Authority. The User Authority for TOPFAS, on behalf of the NATO
Command Structure, is SHAPE ACOS J5. As such, SHAPE ACOS J5 is the
requirements-owner and responsible for managing and validating the
requirements baseline of the overall TOPFAS capability. SHAPE ACOS J5 may
partly delegate the TOPFAS User Authority responsibilities to the SHAPE
TOPFAS FM.

(a) SHAPE User Authority is responsible for promoting the use of

TOPFAS during operations and exercises as requested by SHAPE COS.

(b) SHAPE User Authority oversees the maintenance of TOPFAS

proficiency level throughout the NCS (see Training paragraph below).

(c) SHAPE User Authority (under the authority of COS SHAPE)

convenes the TUG 20 twice a year. The TUG serves as the primary forum
for operational user representatives supporting the development and
implementation of TOPFAS. The TUG will support the identification and
validation of requirements and as well as acceptance of the functional
capabilities. The TUG consists of representatives of ACO, ACT, the
NATO Command and Force Structures, Nations and NCI Agency.

(3) Implementation and Service Provision Authority. Implementation and

Service Provision Authority (SPA) for TOPFAS is the NCI Agency. As the Host
Nation and Implementation Authority, the NCI Agency is responsible from
managing the acquisition of new TOPFAS increments; and as the Service
Provision Authority, it is responsible for First, Second and Third Level Support as
well as First, Second, Third and Fourth Level Maintenance of the capability.

(4) Budgeting Authority. The Budgeting Authority for continuing operations

and maintenance funds following Final System Acceptance for TOPFAS is
SHAPE J6.

(5) Integrated Project Management Team (IPMT). The TOPFAS Integrated

Project Management Team (IPMT) brings together key stakeholders of TOPFAS
for resolving issues related to any aspect of its lifecycle. The TOPFAS IPMT
consists of representatives from across ACO, SACT, NCI Agency and the
Implementation Contractor, and will be responsible for providing the oversight for
the project. Additional representatives from relevant organizations can be invited
20
TOR for the TUG are at Annex C.

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to participate in the TOPFAS IPMT meetings as needed. TOPFAS IPMT meets

regularly as well as ad hoc when needed. Regular meetings typically take place
after the biannual TOPFAS Users Group Meetings. Between physical meetings,
the TOPFAS IPMT conducts business on-line and via Video Teleconferencing
(VTC) or Virtual Meeting Room (VMR).

4 -2 . TOPFAS Change Management. Changes in TOPFAS may arise in response to new

or additional users’ requirements, to problems or externally imposed requirements, e.g.
security changes, or proactively from seeking improved efficiency and effectiveness or to
enable or reflect business initiatives, or from service improvement initiatives. TOPFAS
Change Management ensures standardized methods, processes and procedures which are
used for all changes. It facilitates efficient and prompt handling of all changes, and maintains
the proper balance between the need for change and the potential detrimental impact of those
changes. Requirements analysis encompasses those tasks that go into determining the needs
or conditions to meet future TOPFAS increments. It does so by taking account of the possible
conflicting requirements of the various stakeholders and by analysing, documenting, validating
and managing software or system requirements.

a. Requests for Change (RFC). TOPFAS RFCs may arise from multiple sources
as explained below (see Figure 4.2). Irrespective of the source, all RFCs are stored in
the TOPFAS Requirements Repository that is managed by NCI Agency. Collection,
sorting and filtering of all RFCs is known as Requirements Capturing. RFCs are
submitted using a template as provided in the Annex I.

(1) TUG. The plenary session of the TUG is followed by syndicate sessions
for each TOPFAS tool, as required. During the syndicate sessions, Subject
Matter Experts from the operational community identify, review and validate
outstanding requirements for each TOPFAS tool. New proposed user
requirements are added to the repository if they pass the peer review. The
TOPFAS Integrated Project Management team (IPMT) has the decision authority
on the implementation of prioritized user requirements into future TOPFAS
versions.

(2) Training & Exercises. Requirements can also be identified during

training events and exercises based on operational users’ feedback. In addition,
new requirements identified by the operational community during an exercise are
described in the exercise Lessons Learned report. These new requirements are
reported by the training instructor or the exercise support experts in their event
reports, and later added to the TOPFAS requirements repository.

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Figure 4.2 – TOPFAS Requirements Capturing Channels

(3) Real-life Usage. Requirements identified during real-life usage of

TOPFAS are reported by initiating a RFC.

(4) Requirements Review Workshops. Before each NATO Security

Investment Programme (NSIP) increment, one or more Requirements Review
Workshops are held with the representatives of the operational user community
to review and validate outstanding requirements. During the workshops, any
obsolete requirements are deleted and new ones are added as needed. As the
implementation authority, the NCI Agency organizes and runs the Requirements
Review Workshops and as the User Authority, SHAPE ACOS J5 ensures the
participation of the operational community representatives.

(5) Configuration Management. Configuration Management of TOPFAS is

under the responsibility of the NCI Agency as the Service Provision Authority.
The configuration and control of TOPFAS is documented, maintained and
managed according to the NCI Agency configuration management policy. For
each new baseline release, a Configuration Change Proposal (CCP) will be
raised and the NCI Agency’s Reference System will be updated before the NCI
Agency conducts formal Independent Tests and Verification (IT&V) for
compliance with the operational baseline 21. Subject to the Change Control
Board’s (CCB) approval, the release will become the next operational baseline.
The Configuration Management System (CMS) for TOPFAS is the Microsoft
Visual Studio Application Lifecycle Management (ALM) suite hosted by NCI
Agency in Mons. All TOPFAS RFCs are stored in the ALM. A list of outstanding
RFCs is also posted regularly on the TOPFAS O&M portal by the NCI Agency.

21
See para 4-4 c.

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b. Prioritisation of Changes

(1) Outstanding RFCs are prioritized by the Change Advisory Board (CAB) for
implementation taking into consideration their importance, cost, effort, risk and
urgency. The key output of the TOPFAS CAB is the change schedule document
which contains the details of approved changes with proposed implementation
dates and target version numbers.

(2) Not every change would require CAB approval. Standard changes which
are pre-authorized, low risk and relatively common changes can be initiated by
the Change Manager without the approval of the CAB, provided the CAB is made
aware of these changes at the following meeting.

(3) Implementation of Changes. TOPFAS has an operational baseline that

corresponds to the version of the fielded (deployed) system. The operational
baseline can be changed as a result of RFCs that are approved by the TOPFAS
CAB. Changes can be categorized as follows:

(a) Normal Change. A change that is not a standard change or an

emergency change (e.g. addition of new functionality).

(b) Standard Change. A pre-authorized change that is low-risk,

relatively common and follows a procedure or work instruction (e.g. bug-
fixing, cosmetic improvements).

(c) Emergency Change. A change that must be implemented as soon

as possible (e.g. to resolve a major incident or implement a security
patch).

c. Integration of Changes to the Operational Baseline

(1) Testing. New TOPFAS versions complete a vigorous testing regime prior
to a release. Detailed procedures are at Annex I.

(2) Documentation. NCI Agency is responsible for amending and updating

of all relevant manual and integrated help system.

4 -3 . TOPFAS Data Exchange. The TOPFAS architecture provides access to information

across the NATO network, even in cases where limited bandwidth is available over the wide-
area network (WAN). The information is synchronized across sites through replication,
providing a collaboration capability. Users will use the Local Area Network (LAN) to connect to
the local database. The TOPFAS Web Portal (TWP) is another means to share selected
information with the wider community of interest (COI). The TWP, however, is not replicated
and can be used as a common web portal, located on the same network as the master or
slave database, containing selected data on all engagement spaces and plans (TWP hosted at
SHAPE) or a TWP can be installed at every TOPFAS location, providing data on the
engagement spaces and plans relevant for the organisation.

a. Data Security/Privacy. Security is concerned with the application of security

principles and measures for the protection from unauthorised access to, interference
with, or destruction of, information stored and processed on the NATO and national
systems. TOPFAS software is designed to operate at the lowest authorised security
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classification level consistent with the intent stated above, while allowing the widest
possible access to authorised users. Consequently, TOPFAS software is classified as
“NATO UNCLASSIFIED Releasable to PfP” and is officially released by NATO to a
limited number of nations and international organizations. It is only the data entered in
a specific plan and/or engagement space that determines the higher security
classification. Within NATO military HQs, the security classification of the shared data
may be up to and including NATO SECRET. It has to be kept in mind that a plan that
was initially created at a given security level (e.g. NATO UNCLASSIFIED) will keep that
level even if information with higher level of classification are entered into it, unless a
manual change is brought to the plan overall classification.

4 -4 . TOPFAS Technical Support

a. Management of Support

(1) As the Service Provision Authority, the NCI Agency has the responsibility
to manage and maintain TOPFAS on behalf of the User Authority (SHAPE ACOS
J5), to support the operational user community and to provide training. Certain
CIS operating responsibilities may be delegated to local NCI Agency Support
Elements, CIS or C4I staffs in accordance with instructions issued within the NCI
Agency chain of command and to NCISG elements supporting DCIS.

b. Support Levels

(1) The Operational Baseline Support Process defines the first, second and
third levels of support in line with existing industry best practices and Service
Level Agreements (SLAs). All levels of support are provided by the Service
Provision Authority (NCI Agency). The Service Provision Authority can contract
other third party commercial entities to provide part of the support at any level as
required. They can also delegate responsibilities to the NCISG SSG supporting
TOPFAS instances on DCIS.

(a) First Level Support. This is the user facing front-line Service
Desk function that performs incident management, routine administration,
and local problem isolation and resolution. The Request Fulfilment
process (i.e. the management of the lifecycle of all service requests from
the users) is managed by the First Level Support. This will be the
responsibility of the local NCI Agency Support Elements, NCISG DPoP,
CIS or C4I Staffs.

(b) Second Level Support. This is the Problem Solver function and
includes incident management, systemic problem isolation and resolution,
capability-level maintenance, and management of deficiency reports and
repairs. This will be conducted by the NCI Agency or the deployed SSG.

(c) Third Level Support. This is a software Engineer function. Any

support that involves the investigation of the development baseline
including source code, identifying potential RFC on that code such as
software patches and updates will be under the responsibility of the NCI
Agency after the one-year warranty period.

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c. Operational Baseline. The operational baseline is the system baseline that is in

use and supported by the Service Provision Authority. In order to maintain smooth
operation of TOPFAS and its interoperability with other systems, all users must ensure
that they are using the current operational baseline. When an operational baseline
changes, the local NCI Agency Support Elements (within NCS sites) or CIS/C4I Staff
(within national sites) as well as the TOPFAS User Authority are informed by the
Service Provision Authority. Final approval for upgrading the baseline will be given by
the TOPFAS User Authority. For deployed TOPFAS, the baseline will be applied by
NCIA and NCISG SSG.

(1) Implementation Timing. The SPA will advise the TOPFAS User Authority
(SHAPE ACOS J5) when new versions of TOPFAS are available. Then, the
TOPFAS UA will recommend to subordinate HQs when to implement the new
version upgrade. ACO TOPFAS FMs are responsible for coordination of local
implementation. Technical implementation is the responsibility of local CIS
support units.

(2) Due to operational and/or exercises requirements, TOPFAS User

Authority (SHAPE) may request that the upgrade be postponed in order to
prevent technical or training compatibility issues.

4 -5 . TOPFAS Training. Training is provided at individual and collective levels for each of
the individual tools (see Figure 4.3). The TOPFAS User Authority (SHAPE ACOS J5)1 will
monitor the strength and quality of the TOPFAS trained cadre and ongoing training
requirement. This information shall be used to monitor ACO’s ability to conduct collaborative
operations planning using TOPFAS and manage long-term training needs especially in light of
a future move to customer funding.

a. General Management

(1) NCI Agency and NCISS shall provide SHAPE TOPFAS OPR with a list of
course participants on a regular basis, including any outsourced training. After
any course, the training organisation or individual trainer must send to the
TOPFAS User Authority the list of the trained students22 with an appreciation of
their level of proficiency (passed, fail, need more training/practice).

(2) SHAPE TOPFAS FM, through subordinate HQs FMs, will maintain a list of
requirements for trained users, against trained strength for all levels (Basic,
Advanced, Train the Trainers, for each of the tools and Functional managers). It
is all HQs TOPFAS FMs’ responsibility to make sure that continuity is maintained
at all levels and that courses are identified on a cost-efficient basis throughout
the NCS.

(3) The primary sources of TOPFAS training are NCI Agency and individual
Trained Trainers in HQs. However, basic level and practitioner courses as well
as collective training may be sourced from other providers, subject to additional
funding being identified.

22
If a PE/CE Job Description lists TOPFAS as a NATO Required Course in Part III Qualifications, then information
on who has attended should be available through the Automated Personnel Management System (APMS)
managed by SHAPE J1 HRDS and/or ACT’s electronic Individual Training and Education Programme (eITEP).

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b. Basic Level (User/Operator) Course. The basic level course can be taught by
specially trained trainers in each of the different HQs. (see Train the Trainers course at
para f. below). The training objectives for these courses are identical to any of the basic
practitioner ones, but may be adapted (content or length) to meet specific requirements
of a particular HQ, as long as they are delivered by an approved organization or
individual. These courses may not meet the required pre-requisites for advanced
courses (train the trainer/functional manager).

c. Practitioner Course. The Practitioner Course (SAT/OPT/CAT) is for individual

training with the objective to teach the basic functionalities of the specified tool to the
students. At the end of the course, students are able to use TOPFAS to perform the
relevant activities of NATO’s Operations Planning Process (OPP). At the end of the
course, the participants are able to:

(1) Identify the main functions as per COPD and their associated integrated
TOPFAS tools;

(2) Use of the specified tool’s main functionalities as a single user;

(3) Contribute to an Operations Planning Group (OPG) using the tool in a

collaborative environment.

d. Functional Manager Course. The Functional Manager Course is for individual

training and whose objective is to teach the functional administration and management
related features of the tool to the students. These features are above and beyond what
a normal user needs.

e. Collective Course. The Collective Course is for group training and whose
objective is to teach the group how to conduct the relevant parts of the NATO’s OPP
using TOPFAS. In the Collective Course, the OPP products are produced as a group
where each student plays a role. The Collective Course follows a realistic but fictitious
scenario and is often tied to a military exercise. The course does not replace any
practitioner courses.

f. Train the Trainer Course (TTT). The TTT Course is for individuals where the
students gain TOPFAS instructor skills. Successful graduates of the TOPFAS TTT are
qualified to provide TOPFAS (basic/practitioner) training back in their own
organisations.

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Figure 4.3 – TOPFAS Training

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CHAPTER 5 – TOPFAS and CONUSE (Interim Version) Development

5 -1 . Continued Development. The requirement for TOPFAS to support collaborative

planning for operations and exercises has been well documented, as has the need to train
sufficient staff in its use. This TOPFAS Concept of Use (CONUSE) endeavours to provide an
initial conceptual framework for the organisation and management of TOPFAS in ACO,
however recognises it will need to be reviewed and updated to meet emerging user
requirements and continued TOPFAS development.

5 -2 . TOPFAS Action Plan. This CONUSE formalises many of the responsibilities,

processes and procedures for the deployment, management, support and employment of
TOPFAS in ACO. The potential of TOPFAS to support the OPP is yet to be fully exploited,
affecting consistency and standardization of planning, productivity, quality and collaboration.
To address this, a TOPFAS action plan will be created based on an analysis of the current
state of TOPFAS implementation and utilisation, the desired end-state and a roadmap to reach
it. SHAPE PLANS J5, as the TOPFAS User Authority will develop the overall TOPFAS action
Plan and staff it through the TUG. A key element of the action plan will be to contribute to the
further development of this Interim Version CONUSE.

5 -3 . Lessons Learned Process. A formal Lessons Learned/feedback process already

exists for operations and exercises (SHAPE J7/JALLC, etc.) which may include lessons for
TOPFAS. SHAPE TOPFAS OPR will be responsible for monitoring these and presenting
appropriate lessons through the TUG. In addition, any TOPFAS users may input lessons
through their HQ FM to the SHAPE TOPFAS FM or through the biannual TUG.

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KEY REFERENCE DOCUMENTS

A. STANAG 1059 – Codes for Geographical Entities, Edition 8, dated 19 February 2004
(NU).
B. MC 0053/4 Terms of Reference (TOR) for the Supreme Allied Commander Europe,
dated 12 April 2010 (NR).
C. Standing Operating Procedures (SOP) for the Use of TOPFAS at the Strategic Level,
Version 1.0, dated July 2010 (NU).
D. SACT Training Needs Analysis Final Report on Comprehensive Operations Process,
5000/TPX-0330/TT-7182/Ser: NU0457, dated 05 August 2011 (NU).
E. Use of Tools for Operations Planning Functional Area Service (TOPFAS) in ACO,
SHAPE SH/CPP/SPL/10-271016, dated 17 August 2010 MC 0133/4 NATO’s
Operations Planning, dated 24 November 2010 (NR).
F. Standing Operating Procedures (SOP) for the Use of TOPFAS at the Operational Level,
Version 1.0, dated 31 May 2011 (NU).
G. SHAPE Directive (SD) 80-15, Standing Operating Procedure for the Shape Cross-
Functional Action Team for Crisis Response, dated 18 September 2015 (NU).
H. NATO Operations Assessment Handbook, dated 01 July 2015 (NU).
I. AAP-15(2015), NATO Glossary of Abbreviations Used in NATO Documents and
Publications.
J. AAP-06(2015), NATO Glossary of Terms and Definition.
K. Allied Command Operations Forces Standards Volume V – Joint Headquarters, dated
25 February 2013 (NR).
L. ACO Directive 065-011 ACO Standing Policy and Procedures for Intelligence
Production Management, dated 13 March 2013 (NC).
M. SACEUR’s Annual Guidance on NATO Education, Training, Exercise and Evaluation
2014, dated 08 August 2013.
N. Tools for Operations Planning Functional Area Service (TOPFAS) Concept of
Operations, Version 1.0, dated 11 September 2013 (NU).
O. BI-SC Collective Training and Exercise Directive (CT&ED) 075-003, dated 02 October
2013 (NU).
P. Allied Command Operations Comprehensive Operations Planning Directive COPD
Interim Version 2.0, dated 04 October 2013 (NU).
Q. TOPFAS 5: Administrator Guide, dated August 2014 (NU).
R. TOPFAS 5: DMT Manual, dated June 2015 (NU).
S. TOPFAS 5: Installation and Configuration Guide, dated June 2015 (NU).
T. TOPFAS 5: OMT Manual, dated June 2015 (NU).
U. TOPFAS 5: OPT Manual, dated June 2015 (NU).
V. TOPFAS 5: UMT Manual, dated June 2015 (NU).NATO Crisis Response System
Manual (NCRSM) 2014 (NR).
W. SHAPE Comprehensive Crisis and Operations Management (CCOM) Process
Handbook, dated 14 July 2015 (NU).

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ABBREVIATIONS

Abbreviation Term Source

ACO Allied Command Operations AAP-15

AOI Area of Interest AAP-15

BSO Battle Space Object

CAT 1. Campaign Analysis Tool

2. Cross-functional Action Team CCOMC HB

CBRN Chemical, Biological, Radiological and Nuclear AAP-15

CC Component Command AAP-15

CCIR Commander’s Critical Information Requirement COPD V2.0

CG Command Group COPD V2.0

CIG Crisis Identification Group

CJSOR Combined Joint Statement of Requirement

CMA Civil Military Analysis

CMI Civil Military Interaction

COA Course of Action AAP-15

CONOPS Concept of Operations AAP-15

CONUSE Concept of Use new acronym

COP 1. Contingency Plan AAP-15

2. Crisis and Operations Panel COPD V2.0

COPD Comprehensive Operations Planning Directive COPD V2.0

CRG Crisis Review Group

CRM Crisis Response Measure NCRSM 2014

DOM Director of Management

ES Engagement Space

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FOG SHAPE Force Generation Branch

GCOP Generic Contingency Plan

HQ Headquarters AAP-15

I&W Indications and Warnings AAP-15

IKM Information and Knowledge Management

INTAF International Affairs

INTEL-FS Intelligence Functional Services

IT Information Technology

JFC Joint Force Command AAP-15

JOIIS Joint Operations – Intelligence Information System

KD Knowledge Development

KDD Knowledge Development Direction

KM Knowledge Management

LAN Local Area Network

MOE Measure of Effectiveness

MOP Measure of Performance

MRO Military Response Option

NAC North Atlantic Council AAP-15

NCIA NATO Communications and Information Agency

NCMP NATO Crisis Management Process NCRSM 2014

NCRS NATO Crisis Response System NCRSM 2014

NITB NATO Intelligence Toolbox

NSIP NAT Security Investment Programme

NS WAN NATO Secret Wide Area Network

OMT ORBAT Management Tool

OPI Operations and Intelligence Directorate

OPLAN Operation Plan AAP-15

OPP Operations Planning Process AAP-15

OPT Operations Planning Tool

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ORBAT Order of Battle AAP-15

PIR Priority Intelligence Requirement AAP-15

PMR Periodic Mission Review AAP-15

RTO Research and Technology Organisation

SA Situational Awareness AAP-15

SACEUR Supreme Allied Commander Europe AAP-15

SAT Systems Analysis Tool

SDP Standing Defence Plan AAP-15

SHAPE Supreme Headquarters Allied Powers Europe AAP-15

SOP Standing Operating Procedure AAP-15

SOR Statement Of Requirements AAP-15

SOSA System of Systems Analysis

SPG Strategic Planning Group

SSC Single Service Command

TOPFAS Tools for Operations Planning Functional Area Service AAP-15

TOR Terms of Reference AAP-15

TWP TOPFAS Web Portal

UMT User Management Tool

WAN Wide Area Network

WS Workspace

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ANNEX C TO
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TOPFAS USER GROUP - TERMS OF REFERENCE

REFERENCES: A. Implementation of TOPFAS, SHJ5PLANS/7750-73/09-207589, 23

September 2009 (NU).
B. Use of TOPFAS in ACO, SHAPE SH/CPP/SPL/10-271016, 17 August
2010 (NR).
C. Capability Package 5A0007 - Provide IS in support of the ACE-Wide
Operations Mission Area, 14 January 1998 (NR).
D. Capability Package 9C0107 – Functional Services for Command &
Control of Operations (OPS FS), 23 October 2008 (NR).

1. Introduction. The successful lifecycle management of NATO’s Tools for Operations

Planning Functional Area Services (TOPFAS) capability as well as its efficient and effective
use in NATO exercises and real-life operations depends on user involvement. The TOPFAS
Users Group (TUG) is established to manage operational requirements and form a
communication stage between the operational users and TOPFAS capability management.

2. Purpose. These Terms of Reference (TOR) describe the structure, role, mission,
functions, and responsibilities of the TOPFAS Users Group (TUG).

3. Authority. The TUG is established under the authority of SHAPE Chief of Staff (COS),
to serve as the primary operational user representatives supporting the development,
implementation as well as the operation of TOPFAS. The TUG will periodically report on the
progress and findings with respect to the future requirement, development and implementation
of TOPFAS to the SHAPE COS. The TUG has an advisory role on TOPFAS lifecycle matters.
Routine governance and decision authority will rest with the Integrated Project Management
Team (IPMT) whose members are also permanent members of the TUG. The TUG may form
and maintain sub-user groups to address any specific areas of concern on a case by case
basis.

4. Responsibilities. The primary responsibilities of the TUG are:

a. Identify, validate and prioritize operational user requirements.

b. Propose and advise on training, exercise and real-life support requirements.

c. Participate in user reviews and acceptance testing of new TOPFAS versions.

d. Additional responsibilities of the TUG members are:

(1) Exchange information and provide advice on TOPFAS implementation,

operationalization and training at their user-sites.

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(2) Review and provide comment on TOPFAS related products and

documents.

5. Composition. The chair will be assigned by COS SHAPE and supported by ACO
Functional Managers responsible for specific areas of TOPFAS.

a. Permanent Members

(1) ACO, NATO Command Structure and NATO Force Structure

representatives (representing the operational users).

(2) ACT representatives (representing the transformation authority).

(3) NCI Agency Representatives (representing the implementation and O&M

authority).

(4) Representatives of NATO School and Education Centres.

b. Ad-Hoc Members

(1) Representatives of the NSIP Implementation Contractor,

(2) POCs from other NATO, National and International organizations and
projects related to TOPFAS, when required.

c. Observer Members

(1) Representatives of the coordinated user and working groups;

(2) National representatives;

(3) Representatives of NATO Centres of Excellence.

d. Member organizations should nominate representatives on a permanent basis to

enhance expertise and coordination.

6. Method of Work

a. Meetings

(1) The TUG will meet twice a year at alternating locations determined by the
TUG participants. If circumstances require, the chair may convene extraordinary
meetings or cancel a meeting.

(2) The agenda of the TUG will facilitate bi-directional information flow
between the operational user community and the TOPFAS capability
management.

b. Convening Procedures

(1) In other than exceptional circumstances, the chair of the TUG will issue an
invitation approximately 10 weeks prior to the meeting date with a draft agenda.

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The final agenda will be forwarded not later than 3 weeks before the meeting
date.

(2) All delegates to the TUG should come to the meeting fully briefed by their
organizations and, whenever appropriate, should be prepared and authorized to
present the views of the organization they are representing.

c. Timelines for Transfer of Information. To meet preparation time requirements

for the meetings, the following timelines have to be considered (X = date of next TUG
meeting):

Time What From To

X – 10 weeks Invitation for the TUG Chairman Official POCs

meeting, including a Draft
Agenda
X – 7 weeks Proposals for the Agenda Official POCs Chairman

X – 3 weeks Final Agenda Chairman Official POCs

X – 3 weeks Registration Message Participating POCs Organization Secretary

as indicated in the
invitation
X – 1 week Upload presentations and Chairman TUG Community
documents to TUG
homepage
X + 4 weeks TUG Meeting Minutes Chairman Official POCs

d. Coordination. The chair will update the Operations Planning Working Group
(OPWG), Situational Awareness Interoperability Working Group (SA-IWG) and other
relevant Working Groups, sharing information and coordinating where necessary.

e. Approval of TOR. These Terms of Reference were approved by the TOPFAS

User Group.

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TOPFAS FUNCTIONAL USER RESPONSIBILITIES

1. This annex describes responsibilities of TOPFAS users who perform unique roles in
employment of the tool across any site (headquarters). These special functions include:

a. SHAPE TOPFAS FM / TOPFAS OPR

b. TOPFAS HQ Functional Manager.

c. TOPFAS UMT Admin (normally the FM).

d. TOPFAS SAT/OPT/CAT Trainer.

e. TOPFAS Data Admin.

f. TOPFAS System Admin.

2. SHAPE TOPFAS FM / TOPFAS OPR. These are the specific responsibilities of the
SHAPE TOPFAS FM over and beyond the standard HQ FM responsibilities.

a. Designated by SHAPE ACOS J5.

b. Advisor to COS/Chief CCOMC for the functional use of TOPFAS.

c. TOPFAS functional authority for all TOPFAS FMs (internal and external).

d. Single POC for NCI Agency.

e. Reviews and monitors Naming Conventions.

f. Coordinates the requests for changes and improvements before they are
submitted to the developers or organisations providing TOPFAS training.

g. Maintains the ACO list of:

(1) Requirement for trained users,

(2) Actually trained users.

h. Maintains the link with tool’s requirements writer(s).

i. Maintains the link with developers (NCI Agency, Industry).

j. Maintains the link with training organisations (within NATO, external).

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3. TOPFAS HQ FM. Any HQ FM is responsible to execute a number of activities that
enables/facilitates the use of TOPFAS within the HQ/organization.

a. Management of TOPFAS users and groups of his HQ/organization, including

assignment of roles and permissions in any working area.

b. Advanced configurations management to enable services for use in TOPFAS.

c. Setup of his organization’s logo and details for document properties.

d. Setup of JOIIS interoperability configuration (SAT specific).

e. Creation and management of region group(s) (CAT specific).

f. If required, creation of plans, engagement spaces and ORBATs (when the

HQ/organization is the master HQ/organization and/or for training purposes).

g. Creation and management of new workspaces for his HQ/organization.

h. Management of plan templates specifically related to his HQ/organization.

i. Preparation and management of the TOPFAS Web Portal (TWP) for his
HQ/Organization.

j. Setup of OPT-related options and plan properties such as actors, affiliations,

ORBATs to be used, as required and in coordination with the SHAPE TOPFAS FM
(plan level).

k. Management of his HQ/organization workspaces such as classification and

releasability, (smart) folders and reference date.

l. Management of external geographical map data and map layers for use in his
HQ/organization used in the TOPFAS map tool.

m. Advice to “Lead Planner” about objects’ and diagrams’ maturity statuses.

n. Import/export of objects and products as required (e.g. SOR, ADL, Documents to

Word, Excel files).

o. Use of advanced features such as promotion of objects, setting a WS as Final,

approval of objects.

p. Coordination of all TOPFAS-related matters with the SHAPE TOPFAS FM and

peer TOPFAS HQ FMs.

4. TOPFAS UMT Admin. If this function is not performed by the HQ TOPFAS FM, the
following specifics are the responsibilities of the HQ UMT Admin.

a. Management of TOPFAS users and groups of his HQ/organization, including

assignment of roles to users.

b. Set-up of his organization’s logo and details for document properties.

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c. Creation of ORBATs.

5. TOPFAS Trainer. A TOPFAS SAT/OPT/CAT trainer is responsible to provide the

required tool’s training (SAT/OPT/CAT) within his HQ/Organization. For OPT, the trainer must
have attended the TOPFAS FM course and so, the majority of responsibilities for the
preparation are well-known. For SAT and CAT, a trainer does not have to attend the FM
course and may be required to conduct some management activities. A tool’s trainer
responsibilities include:

a. Preparation of the training environment, including coordination with CIS for the
restoration of the training database.

b. Advanced configurations management to enable services for use in TOPFAS (as

per FM course).

c. Setup of his organization’s logo and details for document properties (as per FM
course).

d. Set-up of JOIIS interoperability configuration (SAT specific).

e. Creation and management of region group(s) (CAT specific).

f. If required, creation of plans, engagement spaces and ORBATs for training

purposes, if different than the ones provided in the TOPFAs Training Database.

g. Conduct of the introduction or practitioner’s course of the tool.

h. Maintenance of the list of all trained HQ/organization personnel and to what

degree (introduction, custom or full practitioner’s course).

i. Provision of the list of all persons having attended a full practitioner’s course to
the SHAPE TOPFAS FM and NCISS Latina. Only these persons will be eligible for a
TTT course.

6. TOPFAS Data Admin. A Data Admin is responsible to execute a number of activities

that enables/facilitates the use of TOPFAS and ensures interoperability with other tools per
database. As these are highly technical activities, this role and responsibilities rest with the
NCI Agency. For information, hereafter are some Data Admin responsibilities:

a. Update of RICs and GEOLOCs (interoperability with LOGFAS).

b. Update of Nation codes.

c. Creation and maintenance of topics.

d. Maintenance of look-up tables used in all tools such as classification types, types
of operation, plan categories.

7. TOPFAS System Admin. A System Admin is responsible for the supervision of all
aspects of installation and maintenance of the application within the HQ/organization,
conducted by NCIA C2 Service Line in NCS HQ or by CIS/C4I Staff (within national sites) or
NCISG for Deployed CIS.

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(1) Any TOPFAS HQ Manager should coordinate the proper installation and
use of TOPFAS within his HQ/organization with the TOPFAS System Admin.

8. NCIA C2 Service Line 23. The NCIA C2 Service Line is responsible to the customer for
planning and executing all lifecycle management activities for TOPFAS (including subject
matter expertise, research and development, software development, acquisition and
operations and maintenance).

23
Service Level Agreement for NATO Centralised CIS Services

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TOPFAS NAMING CONVENTIONS

1. Geographical Names. All geographical names are to be abbreviated in accordance

with the latest version of the STANAG 1059 – Codes for Geographical Entities, when available.
When fictional country names are used during exercises, the abbreviation is to be created
using three first letters of their full names (for example Kamon would be abbreviated as KAM,
Tytan as TYT).

2. Objects in the Engagement Space. The auto labelling of the SAT will be used. It
consists of a combination of the prefix (SS-subsystem or SE-system element), followed by the
Nation code, followed by a PMESII code, and followed by a sequence code of four digits, e.g.
SEBEL2-0002 (System element, Belgium, Military domain, number 0002).

3. Object Labels. All objects’ names in the Engagement Space must be constructed as
follows:

a. Geographical id = 3 letter code when available (for example GBR, RUS, etc.) OR
the whole officially recognised abbreviation when available (for example UN, EU) OR
the whole officially recognised entity’s name (for example World Bank).

b. The name identifying specific system element, sub-system in the PMESII

domains (for example Government, Armed Forces).

c. The combination of these two elements will create a unique and easily
recognisable object name (for example RUS Government, RUS Armed Forces).

4. Formatting. Uppercase format is to be used only for official abbreviations and the first
letter of the names. Any special symbols are to be avoided when constructing the names.

5. Objects in the Plan (OPT and CAT). All object labels should start with a letter
combination allowing the easy identification of their originator, taking into account the specifics
of the plan. The representative list of planning object labels is collected in the table on the
following page. The list is not exhaustive and can be expanded if needed.

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PLANNING OBJECTS
STRATEGIC LEVEL
End State ActorES - Name
Strategic Objective SO## - Name
Strategic Effect SE## - Name
Military Strategic Objective Military Strategic MSO## - Name
Effect MSE## - Name
Military Strategic Action MSA## - Name
Complementary Non-Military Action CNMA## - Name
Measure of Effectiveness for MSE MSE##MOE## - Name
Measure of Effectiveness for MSO MSO##MOE## - Name
Measure of Performance MSA##MOP## - Name)
Metric SHA### - Name
OPERATIONAL LEVEL
Operational Objective OO## - Name
Operational LOOs LO## - Name
Decisive Conditions DC## - Name
Decision Points DP## - Name
Operational Effects OE## - Name
Operational Actions OA## - Name
Measure of Effectiveness for OE OE##MOE## - Name
Measure of Effectiveness for DC DC##MOE## - Name
Measure of Effectiveness for OO OO##MOE## - Name
Measure of Performance OA##MOP## - Name
Metric JFC### - Name
COMPONENT LEVEL
CC Objective XXXTO## - Name
CC LOOs XXXLO## - Name
CC Decisive Conditions XXXDC## - Name
CC Decision Points XXXDP## - Name
CC Effects XXXTE## - Name
CC Actions XXXTA## - Name
CC Measure of Effectiveness for TE XXXTE##MOE## - Name
CC Measure of Effectiveness for DC XXXDC##MOE## - Name
CC Measure of Effectiveness for O XXXTO##MOE## - Name
CC Measure of Performance XXXTA##MOP## - Name
CC Metric XXX### - Name
DIAGRAMS
All diagrams XXX_Name
Note:
- each # represents a numeral (for example ## = 01, ### = 011)
- XXX represents unique name of the Command (for example SHA, JFCXX, MCC, ACC, LCC,
JLSG, SOCC, etc.) the abbreviation is not limited to three letters, it should clearly identify the
entity; in case of Joint Force Commands, there could be situation with both commands present
in the same plan, therefore JFCBS and JFCNP abbreviations are to used, respectively.

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ANNEX F TO
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TOPFAS MANAGEMENT CONVENTIONS

1. Management of References in TOPFAS Reference Browser. Any user with

contribute permission on any working areas is able to create, upload and delete a reference.
All references are shown in the reference browser. To enable clear identification of who has
created the reference and minimizing the risk of inadvertently deletion of the reference, the
label of the reference will indicate the organisation to which the creator belongs. The same
convention as for metrics will be adhered to. The label will start with xxx plus the reference
number (e.g. LCC Ref 12). XXX represents the unique name of the Command (for example
SHA, JFC, MCC, ACC, LCC, JLSG, SOCC, etc.). The abbreviation is not limited to three
letters as it should clearly identify the entity. The name of the reference shall clearly identify
the subject of the reference, e.g. UNSCR 2015-006 Piracy.

2. Management of TOPFAS Documents in DHS. TOPFAS documents can be uploaded

into and retrieved from any Document Handling System (DHS). A TOPFAS document can
only be linked to one DHS at any given time. The organisation to which the TOPFAS
document belongs is the one to upload and manage it in its own DHS. Another solution is to
reserve a part of a given DHS for a specific purpose (e.g. Exercise TRJE15) to which all
TOPFAS users of all organisations have access and manage the subject related TOPFAS
document in that DHS (e.g. SHAPE DHS creates a part for EXTRJE15 to which all EXTRJE15
participants have access).

3. Management of TOPFAS Templates. TOPFAS Plan/Engagement Space templates

can be created and edited through the Template Organiser in OPT, SAT and CAT. The aim is
to have as many commonly accepted templates as possible to enhance standardization.
These templates will be reviewed by the functional managers of the HQs, at least, on a yearly
basis during the functional managers’ workshop. Should there be a need for specific
templates, then a naming convention is required. To enable clear identification of who has
created the template and minimizing the risk of inadvertent deletion and misuse of the
template, the label of the template will indicate the organisation to which the creator belongs.
The same convention as for metrics will be adhered to. The label will start with xxx plus the
type of the template and a number (e.g. JFC Snippet 1). XXX represents the unique name of
the Command (for example SHA, JFC, MCC, ACC, LCC, JLSG, SOCC, etc.). The name of
the template shall clearly identify the subject of the template (e.g. Green actor analysis).

4. Management of TOPFAS Smart Folder Rule. Smart folder rules will be set up in the
workspace templates and reflect the planning object and its characteristics as clearly as
possible with respect to the process step (e.g. Approved desired end-state). These smart
folders rules will be reviewed by the functional managers as required. It is possible that there
will be a need for specific smart folders in a plan, or the actualisation of a smart folder rule, e.g.
it is not possible to know beforehand what Nation is involved in what plan, so the Nation or
Actor must be updated in the plan. It is the responsibility of the FM of the organisation that
controls the workspace to create/edit the smart folder and its rule to the needs of the
organisation. This should be done in cooperation with the other FMs (SHAPE, JFC, and CC).
The name of the smart folder shall clearly identify the listed planning objects (e.g. STELLARIA
operational effects).

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TOPFAS USER ROLES

1. Management TOPFAS User Roles. The User Management Tool (UMT) is used to
manage TOPFAS users to include their possible roles in relationship to the specific tools and
provide various functionalities. A user without any role assigned will not be able to use any of
the TOPFAS tools. Any user can be assigned any role by a UMT Admin using the UMT.
Fixed roles delivered with the tool are preferred as they provide a user with those capabilities
related to their given job responsibilities. New roles can be created by a UMT Admin, if
needed. Such an action must be coordinated with NCI Agency TOPFAS Functional Manager
and approved by SHAPE TOPFAS OPR.

2. Fixed Roles & Rights. Currently, there are seven fixed roles in the whole TOPFAS
suite. A detailed list of all rights related to a specific fixed role is provided in the following table.

a. Analyst. This role contains all the rights needed to work in SAT. Suitable for
users dealing with Intelligence and development of knowledge related topics.

b. Assessor. The role contains all the rights needed to work in CAT when planning
and conducting Operations Assessment.

c. Data Admin. This role provides user with rights allowing changes to reference
data. This is role is required for the overall top management level of TOPFAS (SHAPE
or NCI Agency).

d. Functional Manager. The role enables the user to conduct actions on

workspaces in CAT, OMT, OPT and SAT beyond the reach of a regular user. The FM
is capable of preparing the whole working environment in a given tool.

e. OMT Admin. A user with rights pertinent to ORBATs manipulation required for
work in OMT.

f. Planner. The role contains all rights needed to work with OPT.

g. UMT Admin. The role with rights enabling user management with use of UMT.

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24 Functional UMT
Type Analyst Assessor Data Admin OMT Admin Planner
Manager Admin
C R U D C R U D C R U D C R U D C R U D C R U D C R U D
Planning Objects
Action X X X X X X X X X X
Actor X X X X X X X X X X X
Asset X X X X X X X X X X X
Attribute
X X X X X X X X X X
State
Bookmark X X X X X X X X X X X X X X X X
Bookmark
X X X X X X X X X X X X X X X X
Collection
Centre of
X X X X X X X X X X
Gravity
Comment X X X X X X X X X X X X X X X X X X X X X X X X
Commitment
X X Y X X X X X
Status
Debarkation
X X X X X X X X X X
Point
Decision
X X X X X X X X X X
Point
Decisive
X X X X X X X X X X
Condition
Effect X X X X X X X X X X
End State X X X X X X X X X X
Engagement
X X X X X X X
Space
Error Script X X X X X X X X X X X X X
Error Script
X X X X X X X X X X X X X
Collection
Event X X X X X X X X X X X X X
Feedback X X X X X X X X X X X X X X X X X X X
Fixed Event X X X X X X X X X X X X X
Generic
X X X X X X X X X X
Object
Image X X X X X X X X X X X X
Line of
X Y X X X X X X X X
Operation
Metric X X X X X X X X X X
MoE X X X X X X X X X X
MoP X X X X X X X X X X
Objective X X X X X X X X X X
Operational
X X X X X X X X X X
Workspace
ORBAT X X X X X X X
Organization
X X X X X X X X X X
(Resource)
Organization X X X X X X X X X X X X
Override
X X X X X X X X X X
Status
Phase X X X X X X X X X X
Picture X X X X X X X X X X X X X X X X
Plan X X X X X X X X
Plan Task X X X X X X X X X X X X X X X X
Reference X X X X X X X X X X X X X X X X
Region X X X X X X X X X X
Resource X X X X X X X X X X
Resource
Assignment X X X X X X X X X X
(ADL)
State
X X X X X X X X X X
Attribute
Strategic
X X X X X X X X X X
Workspace

24
C – create; R – read; U – update; D - delete

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24 Functional UMT
Type Analyst Assessor Data Admin OMT Admin Planner
Manager Admin
C R U D C R U D C R U D C R U D C R U D C R U D C R U D
System
Element / X X X X X X X X X X
Subsystem
Tactical
X X X X X X X X X X X X X X X X X
Workspace
Tag X X X X X X X X X X X X X X X X X X X X
Tag
X X X X X X X X X
Replacement
Task X X X X X X X X X X X X X
Text Item X X X X X X X X X X X X X X X X
User X X X X X X X X X X X X X X X
Values X X X X X X X X X X
Links
Action –
X X X X X X X X X X
Action
Action –
Generic X X X X X X X X X X
Object
Action –
X X X X X X X X X X
Resource
Action –
State X X X X X X X X X X
Attribute
Action –
System X X X X X X X X X X
Element
Action – Text
X X X X X X X X X X
Item
Action
X X X X X X X X X X
Hierarchy
Centre of
Gravity – X X X X X X X X X X
Action
Centre of
Gravity – X X X X X X X X X X
Effect
Centre of
Gravity –
X X X X X X X X X X
System
Element
Centre of
Gravity – X X X X X X X X X X
Text Item
Diagram
Node – Text X X X X X X X X X X X X X X X X
Item
Effect –
X X X X X X X X X X
Action
Effect –
X X X X X X X X X X
Effect
Effect –
Generic X X X X X X X X X X X X X
Object
Effect – State
X X X X X X X X X X X X X
Attribute
Effect –
System X X X X X X X X X X X X X
Element
Effect – Text
X X X X X X X X X X X X X
Item
Effect
X X X X X X X X X X
Hierarchy
Event –
System X X X X X X X X X X
Element
Event – Text
X X X X X X X X X X X X X
Item
Fixed Event
X X X X X X X X X X X X X X X X
– Attribute

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24 Functional UMT
Type Analyst Assessor Data Admin OMT Admin Planner
Manager Admin
C R U D C R U D C R U D C R U D C R U D C R U D C R U D
Fixed Event
– Fixed X X X X X X X X X X X X X
Event
Fixed Event
– System X X X X X X X X X X X X X
Element
Fixed Event
X X X X X X X X X X X X X
– Text Item
Generic
Object – X X X X X X X X X X
Attribute
Generic
Object –
X X X X X X X X X X
Generic
Object
Generic
Object –
X X X X X X X X X X
State
Attribute
Generic
Object –
X X X X X X X X X X
System
Element
Generic
Object – Text X X X X X X X X X X
Item
Generic Unit
X X X X X X X X
– Capability
Generic Unit
– Reportable X X X X X X X X
Item
Generic Unit
X X X X X X X X
Hierarchy
Line of
Operation – X X X X X X X X X X
Text Item
Map Drawing
Object – X X X X X X X X X X
Action
Map Drawing
Object –
X X X X X X X X X X
Centre of
Gravity
Map Drawing
Object – X X X X X X X X X X
Effect
Map Drawing
Object - X X X X X X X X X X X X X
Event
Map Drawing
Object – X X X X X X X X X X X X X
Fixed Event
Map Drawing
Object –
X X X X X X X X X X
Generic
Object
Map Drawing
Object – Map
X X X X X X X X X X X X X X X X
Drawing
Object
Map Drawing
X X X X X X X X X X
Object – MoE
Map Drawing
X X X X X X X X X X
Object - MoP
Map Drawing
Object – X X X X X X X X X X
Resource
Map Drawing
Object –
X X X X X X X X X X X X X
State
Attribute

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24 Functional UMT
Type Analyst Assessor Data Admin OMT Admin Planner
Manager Admin
C R U D C R U D C R U D C R U D C R U D C R U D C R U D
Map Drawing
Object –
X X X X X X X X X X X X X
System
Element
Map Drawing
Object – Text X X X X X X X X X X X X X X X X
Item
Map Theme
– Map
X X X X X X X X X X X X X
Drawing
Layer
Metric – Text
X X X X X X X X X X
Item
MoE – State
X X X X X X X X X X
Attribute
MoE – Text
X X X X X X X X X X
Item
MoP – State
X X X X X X X X X X
Attribute
MoP – Text
X X X X X X X X X X X
Item
Organization
X X X X X X X X X X X X
– Plan
Organization
X X X X X X X X X X X
- User
Plan –
Engagement X X X X X X X X X X X X X
Space
Plan –
X X X X X X X X X X
Region
Planning
Object
Definition – X X X X X X X X
Attribute
Group
Region -
X X X X X X X X X X
Image
Resource –
X X X X X X X X X X
Capability
Resource –
X X X X X X X X X X
Item
Resource –
Reportable X X X X X X X X X X
Item
Resource –
X X X X X X X X X X
Resource
Resource –
X X X X X X X X X X
Text Item
Resource
X X X X X X X X X X
Hierarchy
Role –
Planning X X X X X X X X X X X X
Product
State
Attribute –
X X X X X X X X X X
State
Attribute
State
Attribute – X X X X X X X X X X
Text Item
System
Element – X X X X X X X X X X
Attribute
System
Element –
X X X X X X X X X X
System
Element
System
Element –
X X X X X X X X X X
Topic

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24 Functional UMT
Type Analyst Assessor Data Admin OMT Admin Planner
Manager Admin
C R U D C R U D C R U D C R U D C R U D C R U D C R U D
System
Element X X X X X X X X X X
Hierarchy
Text Item –
X X X X X X X X X X X X X X X X
Attribute
Text Item –
X X X X X X X X X X
Text Item
Unit –
X X X X X X X X X X X X X X X X
Attribute
Unit –
X X X X X X X X X X X
Capability
Unit
Organization X X X X X X X X X X X X X X
– Item
Unit
Organization X X X X X X X X X X X
– Text Item
User (Group)
X X X X X X X X X X X X X X X X X X X X X X X X X X X X
– Plan
User (Group)
– User X X X X X X X X X X X X
(Group)
User (Group)
X X X X X X X X X X X X X X X X X X X X
- Workspace
Reference Data
Action Link
X X X X X X X X
Type
Attribute X X X X X X X X X X X X X X X X X
Attribute
X X X X X X X X X X X X X X X X X
Group
Capability X X X X X X X
Capability
X X X X X X X X X
Code
Capability
Code
X X X X X X X X X X
Hierarchy
Group
Capability
Code
X X X X X X X X X X
Hierarchy
Group
Capability
Code X X X X X X X X X X
Statement
Capability
X X X X X X X X X X
Statement
Classification X X X X X
Document
X X X X X X X X X X X X X X
Template
Echelon X X X X X X X
Event
X X X X X X X X X X X
Category
Fixed Event
X X X X X X X X
Link Type
Force
X X X X X X X
Category
Functional
X X X X X X X
Category
Generic
Object Link X X X X X
Type
Generic
X X X X X X X X
Object Type
Generic Unit X X X X X X X X
Generic Unit
X X X X X X X X
Family
Generic Unit
X X X X X X X X
Type
Geo Location X X X X X X X X X X X X X
Item X X X X X X X X X X X X X X

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24 Functional UMT
Type Analyst Assessor Data Admin OMT Admin Planner
Manager Admin
C R U D C R U D C R U D C R U D C R U D C R U D C R U D
Item Type X X X X X X X
JOIIS Colour
X X X X X X X X
Code
Location
X X X X X X X
Category
Location
X X X X X X X X
Type
Nation X X X X X X X X X
Operation
X X X X X
Type
Organization
Advanced X X X X X X X X X X X X X X X X
Configuration
Plan
X X X X X
Authority
Plan
X X X X X
Category
Planning
Object X X X X X
Definition
Planning
X X X X X X
Product
Planning
Product X X X X X X X X X X X X X X X X
Version
Province /
X X X X X X X
State
Rating
X X X X X X X
Range
Readiness
X X X X X X X
Category
Releasability X X X X X
Reliability
X X X X X X X
(Intel)
Report Query X X X X X X X X X X
Report
X X X X X X X X
Template
Reportable
X X X X X X X X
Item
Resource
X X X X X X X
Type
Role X X X X X X X X X X X X
Service X X X X X X X
State
Attribute X X X X X X X X
Type
State
X X X X X X X
Template List
System
Element X X X X X X X X
Category
System
Element Link X X X X X X X
Type
System
Element X X X X X X X X
Type
Text Item
X X X X X X X X X X X
Link Type
Unit X X X X X X X X X X X X
Unit
X X X X X X X X X X X
Commitment
Unit Current
X X X X X X X X X X X
Location
Unit Home
X X X X X X X X X X X
Location
Unit of
X X X X X X X X X X
Measure
Unit
X X X X X X X X X X X
Organization

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24 Functional UMT
Type Analyst Assessor Data Admin OMT Admin Planner
Manager Admin
C R U D C R U D C R U D C R U D C R U D C R U D C R U D
Unit
X X X X X X X X X X X
Readiness
Views
Assessment X X X X X X X X X X
C2
X X X X X X X X X
Arrangement
CoA
X X X X X X X X X X
Comparison
Dashboard X X X X X X X X X X
Diagram
X X X X X X X X X X X X X
Document
Diagram Link X X X X X X X X X X X X X X X X
Diagram
X X X X X X X X X X X X X X X X
Node
Document X X X X X X X X X X X X X X X X
Document
X X X X X X X X X X X X X X X X
Detail
Factor
X X X X X X X X X
Analysis
Influence X X X X X X X X X X
JPCAL X X X X X X X X X X
JPDAL X X X X X X X X X X
Map X X X X X X X X X X X X X X X X
Map Drawing
X X X X X X X X X X X X X X X X
Layer
Map Drawing
X X X X X X X X X X X X X X X X
Object
Mindmap X X X X X X X X X X X X X X X X
Ops Design X X X X X X X X X X
ORBAT C2
X X X X X X X X
Chart
PCAL X X X X X X X X X X
Sketch Matrix X X X X X X X X X
Slide X X X X X X X X X X X X X X X X
Snippet X X X X X X X X X X X X X X X X
Synchmatrix X X X X X X X X X X
System
X X X X X X X X X X
Design
Table
X X X X X X X X X X X X X
Template
Timeline X X X X X X X X X X
Topic Tree X X X X X X X X X X X X X X X X
Workflow X X X X X X X X X X X X X X X X
Web Services
External
X X X X X X X X X X X X
Subscription
Notification X X X X X X X X X X X X X X X X
Publication X X X X X X X X X X
Subscription X X X X X X X X X X X X X X X X
Topic X X X X X X X X X X X X
User
X X X X X X X X X X X X
Subscription
User
Subscription
X X X X X X X X X X X X
– Notification
Link
Actions
Catalogue X X X X X X X
Import ADL X X X X
Import
X X X X
Assessment
Import C2
X X X X
Arrangement
Import CoA
X X X X
Comparison
Import
X X X X
Dashboard
Import
X X X X
Document

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24 Functional UMT
Type Analyst Assessor Data Admin OMT Admin Planner
Manager Admin
C R U D C R U D C R U D C R U D C R U D C R U D C R U D
Import Factor
X X X X
Analysis
Import
X X X X
Influence
Import
X X X X
Mindmap
Import
X X X X
Objects
Import Ops
X X X X
Design
Import
ORBAT C2 X X X X
Chart
Import Plan X X X X
Import
X X X X
Sketch Matrix
Import Slide X X X X
Import Synch
X X X X
Matrix
Import
System X X X X
Design
Import
X X X X
Timeline
Import Topic
X X X X
Tree
Set JOISS
X X X X
Settings
Set
Reference X X X X
Settings
Template
X X X X
Assessment
Template C2
X X X X
Arrangement
Template
CoA X X X X
Comparison
Template
X X X X
Dashboard
Template
X X X X
Document
Template
Factor X X X X
Analysis
Template
X X X X
Influence
Template
X X X X
Mindmap
Template
X X X X
Ops Design
Template
ORBAT C2 X X X X
Chart
Template
X X X X X X X
Plan
Template
X X X X
Sketch Matrix
Template
X X X X
Slide
Template
X X X X
Snippet
Template
X X X X
Synch Matrix
Template
System X X X X
Design
Template
Timeline X X X X

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24 Functional UMT
Type Analyst Assessor Data Admin OMT Admin Planner
Manager Admin
C R U D C R U D C R U D C R U D C R U D C R U D C R U D
Template
X X X X
Topic Tree
Template
X X X X
Workspace
Word
X X X X X X X
Template

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ANNEX H TO
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TOPFAS OBJECT STATUS MANAGEMENT

1. Most TOPFAS objects (to include diagrams) have a maturity status that can be
changed, with possible options listed below. The status will impact the way users can
manipulate content in the working area. The status can be used as a property filter to include
selection criteria in smart folders. Furthermore, an object can be protected through the use of
the Private status. This functionality provides an element of protection to certain objects in the
workspace. Status categories are detailed below.
a. Draft. When a user creates an object, it is designated with a default Draft status.
A Draft status allows full manipulation options to include permanent deletion of the
object. Its content is not protected and any user having access rights to the workspace
with, at least Contribute permission, can change or remove this object.
b. Proposed. The change of the status to Proposed reflects the situation, where
users assess its status as ready to be approved and communicate this fact to their
superiors. A Proposed status does not introduce any level of protection; the object’s
behaviour is identical as for a Draft object.
c. Private. Should there be sensitive objects that need to be hidden from other
levels of planning (e.g. from subordinate and/or higher levels HQs) while the rest of the
workspace information is released, then individual object details can be hidden from
view to users who do not have permissions on that workspace. This is achieved
through assigning the Private status to the object you want to protect. Please note that
this status impacts planners working in the OPT. It has no real significance when
working in the Engagement Space in the SAT, as it is a single workspace.
d. Approved. An object can be approved by a person having Approve permissions
in the working area. An object with an Approved status cannot be edited and/or
deleted, unless its status is changed back to a Draft / Proposed / Rejected. When
discarding Approved status, a user is requested to provide an explanation in a proper
field in the object properties.
e. Rejected. An object can be rejected by a person having Approve permissions in
the working area. A Rejected status does not introduce any level of protection; the
object’s behaviour is identical as for a Draft object.

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Figure H.1 TOPFAS object status

User Draft Object Proposed Rejected Approved Private Private

permission Object Object Object object object
(the same WS) (elsewhere)

Read View
Contribute
create/edit/delete edit/delete edit/delete
 proposed  draft edit/delete view draft Object is
 private private proposed listed but
Administrate no
content
create/edit/delete edit/delete edit/delete edit/delete
draft visible
proposed draft draft draft
proposed
Approve private rejected proposed proposed
rejected
 approved approved approved approved
private
rejected private private rejected

equals “change a status to …”

Table H.2. TOPFAS Permissions and Possible Actions on Objects

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INTEGRATION OF CHANGES TO THE OPERATIONAL BASELINE AND CONFIGURATION

CONTROL
1. Testing. The figure below illustrates the various testing that is conducted on new
TOPFAS versions prior to a release.

Figure I.1 – TOPFAS Testing Overview

a. Unit Testing. Each developer tests the functionality of the code changes he/she
introduces into the code base. The new code is checked into the code base if it passes
through the unit testing.

b. Integration Testing. Integration Testing is conducted by the development team

to find out whether any regression has occurred as a result of code changes.
Integration testing checks if the TOPFAS system is performing according to functional
and non-functional specifications as a whole. The result of Integration Testing is
reported at the handover of the code changes.

c. System Testing. System Testing consists of the Independent Verification &

Validation (IV&V) Testing and Security testing, and objectively conducted by the testing
experts of the NCI Agency who are not part of the development team. The Security
Testing also includes penetration testing which is a method of evaluating the security of
a computer system or network by simulating an attack from malicious outsiders (who do
not have an authorized means of accessing the organization's systems) and malicious
insiders (who have some level of authorized access). The process involves an active
analysis of the system for any potential vulnerability that could result from poor or
improper system configuration, either known and unknown hardware or software flaws,
or operational weaknesses in process or technical countermeasures. This analysis is
carried out from the position of a potential attacker and can involve active exploitation of
security vulnerabilities. The outcome of IV&V and System Testing is reported by the
NCI Agency. Prospective new software versions that fail from IV&V or System Testing
are not accredited for release.

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d. User Acceptance Testing (UAT). UAT is a process to obtain confirmation that

the utility of the new version of TOPFAS meets mutually agreed-upon requirements
between the User Authority and Implementation Authorities. TOPFAS test designers
draw up formal tests and devise a range of severity levels. The UAT is a fit-for-purpose
test acting as a final verification of the User Authority that the new version of TOPFAS
functions properly in emulated real-world usage conditions. UAT is performed by a
group of user representatives convened by the TOPFAS User Group Chairman (Major
HQs TOPFAS FM should at least be included in the UATs). The outcome of the UAT is
reported in a UAT Report. Any critical issues identified in the UAT are fixed (and tested
again) before the new version can be released. For Major Work carried out by the
industrial contractor, a Factory Acceptance Test (FAT) complements the UAT. A FAT
includes a check of completeness, verification against contractual requirements, a proof
of functionality (either by simulation or a conventional function test) and a final
inspection.

2. TOPFAS Configuration Control

a. Local Autonomy Data. The only national and organization-specific data is

related to ORBATs (that include force profiles and their holdings, geographical
locations). This information should be transferred from the nation to NATO through the
FGMT into the OMT. This capability is not yet implemented and is envisaged through
the TOPFAS NSIP Increment 2 project.

b. Reference Data. In order to provide unambiguous common information to the

users, NCI Agency will coordinate and harmonize the management of the following
reference data with other tools:

Reference Data Data Source Ref. Data Exchange

Requirements
GeoLocs LOGFAS TOPFAS / LOGFAS
RIC LOGFAS TOPFAS / LOGFAS
Nation Codes STANAG 1059 (2004) TOPFAS / LOGFAS / FGMT
Capability Codes BI-SC Agreed Capability Codes TOPFAS / LOGFAS / FGMT /
and Capability Statements (2011) NDPP

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ANNEX J TO
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DATED 16 FEB 16

TOPFAS REQUEST FOR CHANGE FORM

1. This TOPFAS Request for Change (RFC) Form is divided into three sections. Section 1
is intended for use by the individual submitting the change request. Section 2 is intended for
use by the Project Manager to document/communicate their initial impact analysis of the
requested change. Section 3 is intended for use by the Change Control Board (CCB) to
document their final decision regarding the requested change.

1. SUBMITTER - GENERAL INFORMATION

CR# [CR001]
Type of CR Enhancement Defect
Project/Program/Initiative
Submitter Name [John Doe]
Brief Description of Request [Enter a detailed description of the change being requested]
Date Submitted [dd/mm/yyyy]
Date Required [dd/mm/yyyy]
Priority Low Medium High Mandatory
Reason for Change [Enter a detailed description of why the change is being requested]
Other Artefacts Impacted [List other artefacts affected by this change]
Assumptions and Notes [Document assumptions or comments regarding the requested change]
Comments [Enter additional comments]
Attachments or References Yes No
Link:
Approval Signature [Approval Signature] Date Signed [mm/dd/yyyy]

2. PROJECT MANAGER - INITIAL ANALYSIS

Hour Impact [#hrs] [Enter the hour impact of the requested change]
Duration Impact [#dys] [Enter the duration impact of the requested change]
Schedule Impact [WBS] [Detail the impact this change may have on schedules]
Cost Impact [Cost] [Detail the impact this change may have on cost]
Comments [Enter additional comments]
Recommendations [Enter recommendations regarding the requested change]
Approval Signature [Approval Signature] Date Signed [mm/dd/yyyy]

3. CHANGE CONTROL BOARD – DECISION

Decision Approved Approved with Rejected More Info
Conditions
Decision Date [dd/mm/yyyy]
Decision Explanation [Document the CCB’s decision]
Conditions [Document and conditions imposed by the CCB]
Approval Signature [Approval Signature] Date Signed [mm/dd/yyyy]

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