V. CIMIC contribution to the planning processes
5.1. CIMIC in operational Planning
The Operational Planning Process (OPP) on operational level follows the Comprehensive Operations Planning Directive (COPD). The TPP on tactical level follows APP-28 “Land Tactical Planning”.
The CIMIC Functional Planning Guide (CFPG) applies these processes from the X9/ CIMIC personnel perspective. The COPD is usually applied above corps and component command (CC) levels. Exceptionally, a corps HQ might also choose to use the COPD for particular reasons. However,
the COPD is usually applied by joint HQs of the NATO Command Structure (NCS), such as the Joint Force Commands Brunssum, Naples, and Norfolk, and by the Supreme Headquarters Allied Powers Europe (SHAPE) for the strategic level planning. The CFPG is the reference and prime document for CIMIC contributions to the NATO Crisis Response Planning (NCRP) and OPP. CIMIC planners must familiarize themselves with the COPD and read the CFPG in conjunction with it.
The tactical level planning follows APP-28 for “Land Tactical Planning”.
This chapter is restricted to an overview chart of the NCRP/ OPP from political, down to operational level to depict the complexity of the planning processes from political down to operational level. Furthermore, the chapter provides some basic principles for CIMIC planners and focuses on the CIMIC contribution to tactical planning according to APP-28.
NATO Crisis Response Planning (Political to Operational level)
Figure 5.1 - NATO Crises Response Planning (NCRP)
Figure 5.1 is taken from the CFPG and depicts the NCRP Process and OPP. It is noteworthy that the Comprehensive Approach is already reflected in political-level planning, using a combination of all instruments of power (political, military, economic, and information).
Some note-worthy principles for planning
There are some principles for planning to be highlighted. For experienced planners and practitioners, they might be trivial, but for others, they are important to consider in the process of planning:
1) CIMIC planning does not happen in isolation. The CIMIC Staff is always part of a broader planning team of the respective HQ. On the operational level the planning groups are usually called joint operations planning groups (JOPG). On the land tactical level, they are called land operations planning groups (LOPG). Each HQ does have its standard operating procedures/ instructions (SOP/ SOI) for operations planning groups (OPG) which detail the respective steps, activities and products to be delivered.
2) Planning does not start with “planners” only. A frequent misperception is that upon receipt of a planning task, the plans section starts working (e.g. searching and collecting information) and other sections of the division “wait” for the execution. Upon receiving a planning task, the whole X9 division is activated for the tasks. Like the X5 (Plans) does not do all the planning on its own, the X9 “planner” is supported by the X9 analysts (usually in the operations or knowledge development branches) and liaison elements to provide information, analysis, and assessment and to use their network to respond to information requirements.
3) Planning does not stop with the execution phase. In fact, an operations plan (OPLAN) is finalized at the end of phase 4b (operational level). The same plan will be executed in phase 5 (after turning into an operations order OPORD). During execution, planners develop branch plans or sequels for the OPLAN which serve as contingency plans for risks or follow-on-plans for subsequent phases (e.g. a restore phase for liberating occupied territory or a transition phase). Also, a subsequent campaign/ change in the campaign theme might trigger follow-up planning.
4) For effective planning, the planner needs to understand operations. A planner conducts mentally an operation in the future. This is why a planner must not only be a master of the steps and phases of the planning process but also understand and master CIMIC in operations (Chapter 3).
5) Tactical level planning starts with a (warning-) order and a clear mission for the tactical commander: The main difference between political, strategic and operational planning, and tactical planning is that ends, ways and means to attain the end state and achieve military strategic objectives, have already been identified. The tactical commander “just” provides the domain-specific military means to contribute to military strategic and operational objectives. The tactical commander does so by accomplishing a identified mission with assigned capabilities and assets. Tactical planning identifies how to employ these capabilities to accomplish the commander’s mission. Consequently CIMIC tactical planning (and execution) focuses on how to support the commander’s mission accomplishment.
Initial situational awareness (Phase 1)
From a CIMIC perspective, this phase is dedicated to forming a common understanding of the linkages in the civil environment. Due to sensitivities, planning efforts are classified. Direct liaison authority (DIRLAUTH) is unlikely at this stage, so there will be little external engagement. The CIMIC estimate may start by J/ X9 in this phase. CIMIC would identify non-military actors and determine their role their relations, and the HN civil emergency structures. The CIMIC planner can start to work on the actor's diagram and has to determine what CIMIC-related aspects will impact possible engagement and initial deductions. Coordination between X2/ X9 is necessary at all levels. Analysis should also include (where possible and where applicable) a study of HN resiliency status.
CIMIC contribution in Phase 1:
-Open source information gathering.
-Start the SWOT analysis (Identify civil strengths, weaknesses, opportunities, and threats).
-Actors diagram (Identify non-military actors and determine their role and their relations) in the AOI.
-Start of the request for information (RFI) process.
-Start CUOE if initiated.
-Start of the CIMIC estimate (use TOPFAS23, if possible, as a situational awareness tool).
Appreciation of the environment (Phase 2)
Phases 1 and 2 of the OPP are focused on the same central idea – to create a shared understanding of the operating environment at both tactical and operational levels. The only significant difference between the two phases is the level of detailed analysis. Phase 1 is focused on scanning the horizon for potential crises; and once directed by the commander, initiating the CUOE. Phase 2 is a more detailed analysis of the crisis, resulting in advice to the higher level and providing them with the developed CUOE. Regionally focused and already deployed HQs (MNC-NE, MND-SE, NFIUs, etc.) possess unique regional situational awareness that can be used during the OPP. Therefore, RFI process continues. The CUOE phase starts with receiving the warning order from the higher HQ (strategic warning order for the operational level; operational warning order for the tactical level), which will be followed by the activation of the operations planning group (OPG) at every level. Once an OPG is activated, it is usually composed of three teams. CIMIC plans have to support all three teams :blue (friendly forces), red (adversary forces), and green (others). CIMIC work at this phase is captured below:
-Liaise with organisations and agencies as far as authorized (DIRLAUTH).
-Contribute to the operational liaison and reconnaissance team (OLRT) if deployed.
-NFIU - RFIs/ OLRT- RFIs.
-Contribute to CUOE / support the analysis of the PMESII & TE domains.
-Update the CIMIC estimate, SWOT analysis, actors diagram.
-Contribute to the liaison and engagement matrix (led by SHAPE J9).
-Participate in blue, red and green planning teams.
-CIMIC contribution to the CUOE (C3OE) briefing to the OPG.
-Analyse (tactical level) and contribute (operational level) to SACEUR’s strategic assessment.
-Disseminate (operational level) and contribute (tactical level) to SACEUR military response options (MROs)
-Start compiling data for CIMIC sites of significance, key non-military actors, and crisis emergency planning (CEP24) structures and procedures.
-Contribute to CIMIC relevant commander's critical information requirements (CCIRs).
It should be noted that CUOE is cross-functional, drawing engagement from the most appropriate subject-matter experts (SME) across the whole HQ and external augmentation as required to provide a holistic view of all possible PMESII & TE elements in combination with the ASCOPE analysis matrix. At this phase, X9 staff members, in addition to X2, should actively engage with other members across the whole HQ and contribute to their processes in activities such as intelligence preparation of the battle space (IPB), targeting, non-lethal effects and other relevant activities.
Operational Statement (Phase 3)
The focus of Phase 3 is to understand the challenges, the operating environment, and the mission through detailed staff analysis. It is essential that the CIMIC planner understands CIMIC as a joint function, which can influence the whole planning process and should be considered as integral part of collaborative planning.
Phase 3 is divided into two different steps:
1) Phase 3a - Mission analysis (looking for the ‘what’).
2) Phase 3b – Course of action (COA) development (looking for the ‘how’).
Phase 3a - Mission analysis determines the operational/ tactical problem that must be solved, the specific operational/ tactical conditions to be created and the key operational factors. Mission analysis for the CIMIC planner consists of an in-depth analysis of the civil environment to determine the problem to be solved (the “what”) and the conditions that must be established.
The C3OE is completed before starting this phase, and a factor analysis25 (Factor/ Deduction/ Conclusion) summary sheet must be developed as integral part of the CIMIC estimate (Link to CFPG Annex B and F for a sample factor analysis).
The main CIMIC products of Phase 3a are the contribution to the mission analysis and the development of a draft CIMIC concept26. A CIMIC concept depicts how CIMIC will to be employed in the theatre and support the mission. CIMIC work at this sub-phase is captured below:
-Factor analysis (key in the mission analysis).
-Contribute to the development of the liaison matrix.
-Provide input into operations design and centre of gravity (COG27) analysis.
-Complete CIMIC sites of significance.
-Determine NATO and HN CIMIC forces available and CIMIC C2 structure.
-CICOM28 (if relevant) at all levels.
-Identify gaps in civil capacities/capabilities with impact in own operations.
-Update the CIMIC estimate (to be continued until Phase 4b).
-Start drafting the CIMIC concept.
-Prepare the CIMIC contributions to the mission analysis briefing (MAB29).
-Receive/ disseminate (operational level) strategic planning directive (SPD), coordinate and contribute to operational planning directive (OPD) and component planning guidance (CPG30).
This sub-phase ends with the mission analysis briefing (MAB). The key product from the MAB are the operational planning guidance (OPG) at joint level and component planning guidance (CPG) at component level to guide the main subordinate units. The CIMIC planners have to contribute to the OPG and CPG at each level in order to guide the further development/ update of the CIMIC estimate in support of the following stages of the planning process.
Phase 3b – COA development aims to select how best to conduct out operations in accordance with the Commander's intent. It includes a review of the commander's planning guidance, the development of the courses of action (COAs) and contributes to the combined joint statement of requirements (CJSOR). The own (blue) COAs will be tested against the adversary (red) COAs during war gaming to refine them. X9 participates in the war gaming in green team portraying the actions of non-military actors and their impact on the operation and the implications of military (own and adversary) operation on civilian activities and population.
-Update the CIMIC estimate and the liaison and engagement matrix.
-Provide input to both blue and red COAs.
-CICOM at all levels to coordinate the CIMIC Concept for each COA.
-Analyse the effects of non-military actors.
-Participate in the war gaming on the green team.
-CIMIC contribution to MoE-MoPs.
-Contribute with CIMIC relevant input to CJSOR.
-Contribute to operational/ component planning directive.
-Start drafting appendixes 2 (CIMIC Structure) and 5 (Reports and Returns) to the Annex W of the OPLAN.
At the end of this phase, the whole CIMIC Staff must have a clear understanding of the CIMIC capabilities required to support the selected COA, staff augmentation requirements, the CIMIC concept and the supporting C2 arrangement. For the COA decision brief, CIMIC planner has to create a CIMIC concept for each blue COA (a single CIMIC concept can support all the blue COAs,
but can also differ pending on the presented blue COAs).
OpPlan Development (Phase 4)
The purpose of this phase is to transfer the ideas expressed in the chosen and refined COA into a written OPLAN. OPLAN development is split into two distinct parts:
1) Phase 4a - Concept of operations (CONOPS) development.
2) Phase 4b - Operation plan (OPLAN)/ operation order (OPORD) development.
Phase 4a - CONOPS development begins following the revision of the commander’s selected COA (during COA decision brief), the operational/ tactical design, the provisional component mission,
and the corresponding objectives. The CIMIC involvement during this sub-phase will be:
-Update the CIMIC estimate.
-Ensure relevant cross cutting topics31 are considered.
-CICOM at all levels.
-Ensure CIMIC-relevant information is integrated in the main body of the CONOPS*.
-Contribute to the key annexes to the CONOPS*.
-Continue the development of the appendices to annex W to the OPLAN (to include, but not limited to, appendixes 3 ‘Key civil organisations’ and 4 ‘CIMIC Sites of Significance‘.
Phase 4b – The purpose of OPLAN development phase is to implement the CONOPS and to determine the conduct of operations. In the OPLAN development CIMIC contribution to the OPLAN main body and annexes.
-Finalized ANNEX W and its appendixes32.
-CICOM at all levels.
This phase ends with the signed OPLAN as the responsibility for the further planning is now transferred from X5 to X3.
Execution (Phase 5)
This Phase starts after the promulgation of NAC execution directive (NED) and the receipt of the activation order (ACTORD). The purpose of this phase is the execution of the approved OPLAN. It requires interaction with other military and non-military actors to conduct integrated, coordinated and synchronized activities. CIMIC will contribute to this phase by providing the commander with periodic and specific CIMIC assessments.
Phase 5 could have many sub-phases. The NATO planning cycle of PLAN (X5), refine (X35), execute (X3) and assess (operational analysis branch) firmly kicks in. The CIMIC plan will be refined and then given to the X3 shop. The CIMIC planners will likely remain with the OPG and look at subsequent operations and ultimately, the transition.
Transition (Phase 6)
The purpose of this phase is to review, develop and coordinate a tailored OPLAN or SUPPLAN for transition, including the handover of responsibility to the HN, or international organisations , or a follow-on force. The planning for disengagement of NATO forces must be initiated well in advance and may involve a large number of non-NATO actors. Continuous liaison and coordination between Alliance HQs on all levels, the HN, and civil organisations and agencies is essential.
The CIMIC involvement during this phase will be to:
-Participate in the planning process and procedures for the handover of responsibilities.
-Facilitate the interaction with other international or national actors in developing a transition OPLAN or SUPPLAN.
For an illustration of the phases of the OPP, see chapter 8.3.