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20 April 2023 DOCUMENT

AC/4-D(2022)0018-REV1 (INV)
INVESTMENT COMMITTEE
TEMPLATES FOR PROJECT PROPOSALS AND TYPE B COST ESTIMATES

SUBMITTED BY HOST NATIONS
Note by the Chair
1. I attach a revised report by the International Staff on templates for Project Proposals
and Type B Cost Estimates submitted by Host Nations. This document is scheduled for the
Investment Committee meeting on 25 April, for agreement.
1 Annex Action Officer: B. WILDER ext. 4004

Original: English
3 Appendices
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TEMPLATES FOR PROJECT PROPOSALS AND TYPE B COST ESTIMATES

SUBMITTED BY HOST NATIONS
Report by the International Staff
References: (a) PO(2018)0259

(b) AC/335-D(2019)0004 (INV)
(c) AC/4-D(2019)0007-FINAL (INV)
(d) AC/4-N(2019)0031-FINAL (INV)
(e) AC/4-D(2021)0012
(f) AC/4-DS(2022)0020 (INV)
(g) PO(2021)0336
(h) PO(2021)0286
(i) PO(2021)0204
INTRODUCTION
1. In June 2018, the Council agreed the new Common Funded Capability Delivery
Governance Model (CFCDGM, reference (a)). The model’s goal is to accelerate the delivery
of required capabilities that meet military requirements within agreed scope, timelines and
cost. As part of its work to operationalise the CFCDGM, in accordance with guidance from
the Resource Policy and Planning Board (RPPB) (reference (b), the Investment Committee
agreed the elements that should form the basis for Project Proposals submitted by Host
Nations at references (c) and (d). With reference (e), the Committee further agreed
measures to adapt existing Capability Package (CP) processes and products to align with
the CFCDGM.
2. In addition, the decision to broaden the use of common funding by Allies at the 2022
Madrid Summit provides an impetus for all stakeholders in the resource community to
implement ‘better, faster, smarter’. As briefed to the Committee on 12 July 2022 (reference
(f)), one of the improvement measures envisioned is the development of ready-to-use
templates for management products presenting the right level of information for governance
decision-making.
3. Against this background, the template at Appendix 1 was prepared to facilitate

effective decision-making by the IC and to standardise Project Proposals (PPs) and Type B
Cost Estimates (TBCEs) to fit their purpose as management products intended for
governance decision-making.
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AIM
4. Seeking to align governance processes under the CP Process with the Model, this
document provides Host Nations a common format for the submission of Project Proposals
and Type B Cost Estimates and elaborates on the guidance issued in reference (c).
CONSIDERATIONS
5. As noted by the RPPB at reference (b), the CFCDGM introduces a culture change
at all levels with regard to the interaction between Nations at the governance level, the lead
management authority and the Staffs. For the IC, this means that, in practice, Project
Proposals submitted by the Host Nation, together with the Staff advice, will be the basis on
which the IC grants the single project-level authorisation (reference (c)). This is unlike the
arrangements under the CP Process, whereby the Staff Screening Report served this
purpose.
6. For Host Nations, the implication is such that technical and engineering details,
which are important for the development of Staff advice and coordination within the
Capability Management Function (CMF), should not obstruct the essential and strategic
elements required for a governance decision. Clearly, there is a requirement within the host
nation organisation to prepare, hold and manage all required project data, as per recognised
programme/project management disciplines, and to make this data available within the CMF
to ensure full coordination. On the other hand, this level of detail is not required for
governance decision-making.
7. A crucial element of the adoption of the template at Appendices 1, 2, and 3 is the

early engagement and coordination with the Staff. The NATO Office of Resources (IS-NOR)
will provide advice to Host Nations on which supplemental information is required for each
proposal. Particularly, Staff from the Capability Branches of the IS-NOR hold the expertise
necessary for the assessment of Project Proposals from a project management and
engineering perspective.
8. With the view to further align governance processes under the CP Process with the
Model, the templates in Appendices 1, 2, and 3 are intended to be used for projects in CPs
and CPPs, and as such, replace existing guidance for the submission of TBCEs. In addition,
further work is required to develop a policy framework addressing risk management and
tolerances, as well as its application to projects in Capability Packages.
TEMPLATE FOR PROJECT PROPOSALS AND TBCEs
9. The template is based on the Committee’s decisions at references (c) and (d),
whereby the core elements of a Project Proposal should consist of:
9.1. a Project Overview that provides a statement of how and when a project’s
objectives are to be achieved, by showing the major products, activities and resources
required;
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9.2. the Project Requirements including scope, schedule and (through-life) cost, noting
that the forecast expenditures and project implementation milestones must be recorded in
the Common-funded Integrated Resource Information System (CIRIS);
9.3. the Project Implementation Approach or Project Execution;
9.4. a Policy Compliance Statement confirming that the Project Proposal has been
developed in accordance with IC guidelines, as per reference (d), to be signed by the senior
leadership of the Host Nation. This is in accordance with the accountability arrangements
agreed by the RPPB at reference (b).
10. The template is designed to be succinct, with the main objective of highlighting key
information required for governance decision-making.
TECHNICAL APPENDIX SUPPORTING THE PROJECT PROPOSAL AND TBCE
11. Appendicesx 2 & 3 provides a templates for the submission of technical information
supporting the C3/CIS/C4ISR or Civil Works proposals (respectively), with information
that could be required for the development of the Staff advice. Host Nations are invited to
consult with the Staff on the applicability of each element for their particular project.
12. The technical appendix also provides Host Nations with the opportunity to inform
the Committee of their efforts to incorporate gender perspectives in the development of the
Project Proposal, as applicable. As part of the NATO Action Plan for the Implementation of
the NATO/EAPC Policy on Women, Peace, and Security 2021-2025 (reference (g)), NATO
has committed to the integration of gender perspectives in capability development, including
the development of Capability Programme Plans. With reference (h), the Council noted the
RPPB and Military Committee’s conclusions that Capability Programme Plans and Joint
Staff Reports will specifically address gender perspectives for governance consideration at
Gate 2. Host Nations are encouraged, as applicable, to continue these efforts at Gate 3 to
ensure that common funded capabilities delivered through the NSIP have no differentiated
effect on women and men.
RECOMMENDATIONS
13. The Investment Committee is invited to:
13.1. agree that the templates at Appendices 1, 2, and 3 will serve as the principal format
in which Project Proposals and Type B Cost Estimates are to be submitted by Host Nations;
13.2. agree that these templates be used for projects in Capability Programme Plans and
Capability Packages by no later than 01 September 2023January 2025;
13.3. invite Host Nations to engage and coordinate with the Staff as early as possible,
with the view of supporting the timely planning, submission, and technical advice of Project
Proposals;
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13.4. invite the International Staff to develop guidance for Host Nations to request project-
level tolerances based on a risk management framework and present it to the Committee
by no later than the end of MarchJune 2023;
13.5. propose that the Staff conduct a training for HN personnel- regarding the
implementation of the templates and familiarization with the Risk Management Framework
by the end of JuneJuly 2023;
13.6. invite the International Staff to conduct a review and assessment of the
implementation of this template and present it to the Investment Committee for discussion
by September 2025January 2026.
Benjamin WILDER
Portfolio Delivery Branch
NATO Office of Resources
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PROJECT PROPOSAL TEMPLATE FOR PP OR TBCE
This template (hereafter referred to as the proposal) is guidance for developing a

TBCE or Project Proposal for all new NSIP fund requests. The main text of a proposal
should only include the information necessary to support a Governance decision - with
supporting technical screening details provided by the Host Nation in an attached
appendix (illustrative example in Appendix 2).
OVERVIEW:
1. This section provides a brief overview of the request by the Host Nation, and it is
intended to support governance review and authorization. It should be short and concise
with any detailed information provided as appendices or annexes.
2. Summary Table
SUMMARY
Project Description Short description of the project to be delivered.
CURRENT STATUS:
Through-life Estimated Date of Project Completion (month/year)
CapabilityProject Timeline Estimated End of In-Service Life (month/year)
Through-life Cost Estimate Investment - kEUR XXX,XXX from [year] to [year]
(Investment and Operations O&M – Budget(s)/Services impacted (year and amount)
& Maintenance)
Tolerances (profiled) Scope – Match to Capability Programme Plan

Schedule – Project Completion
Cost – Specified to Reflect Risk
Date when this project is Month/Year. Any delays in the delivery of this project
expected to be operationally will…(this statement is developed in coordination with the
available/Impact Statement Strategic Commands via the Capability Management
Function)
SCOPE:
3. This section describes the project scope linked with the overall capability delivery
context and its traceability to the capability scope approved in the Capability Package (CP)
or Capability Programme Plan (CPP). In coordination with the Strategic Commands (SCs)
via the Capability Management Function (CMF), this section should also include an overview
of DOTMLPFI [Doctrine, Organization, Training, Material, Leadership, Personnel, Facilities,
& Interoperability] capability components, which are addressed by the project.
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SCHEDULE:
4. This section provides a consolidated schedule chart, consistent with the CP/CPP,
describing the major project activities and milestones related to time. In coordination with
the SCs via the CMF, any deviations from CP/CPP schedule shall be highlighted with
operational impact.
THROUGH-LIFE COST:
5. This section describes: the NSIP-funded investment (Investment (INV), Internal

Engineering Services (IES), Project Service Costs (PSC), and Operations & Maintenance
(O&M) costs including a project cost table and project expenditure profile (including risk
mitigations and contingences); the cost tolerances; and (for any NATO funded O&M costs)
the O&M cost estimate until End of In-Service Life. These costs and tolerances should be
aligned with those defined in the CP/CPP with any deviations or inconsistencies specifically
addressed.
PROJECT IMPLEMENTATION APPROACH / PROJECT EXECUTION:
6. This section provides an overview of the procurement method, project benefits,

risks, and tolerances for the project. The project tolerances should be aligned with those
defined in the CP/CPP with any deviations or inconsistencies specifically addressed.
POLICY COMPLIANCE STATEMENT:
7. For projects under the CPP process, in line with the RPPB’s decision on
operationalising the 2018 agreed CFCDGM, the Proposal should include a statement from
the Host Nation that the Project Proposal was developed and coordinated in full accordance
with the 2018 agreed Council decisions on the Common Funded Capability Delivery
Governance Model and the RPPB operationalisation guidelines.
8. The host nation should further confirm in the proposal that:
8.1. the preparation of the proposal followed recognised programme/project

management disciplines implemented in accordance with existing host nation procedures;
8.2. the implementation timelines have been estimated on the basis of a developed Level
(X) Work Breakdown Structure (WBS)/Product Breakdown Structure (PBS) of the project
master programme having made necessary allowances to provide for potential delays in
activities and is in accordance with the IOC and FOC timeline stipulated in the military
requirements from the CP/CPP;
8.3. the project costs, the investment portion, have been estimated and represent a solid
and realistic basis for implementation and decision-making;
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8.4. the project has been subject to a risk analysis process based on the [specify] method
which has been used to calculate risk and uncertainty of the project. Using this method, the
host nation anticipates that the cost level defined represents a level where there is a
probability of [xx]% that the project costs will not exceed this level.
RECOMMENDATIONS:
9. This section should include the recommendations to the IC- namely that:
10. The Host Nation recommends that the Investment Committee:
10.1. agrees the implementation schedule;
10.2. agrees the procurement strategy;

10.3. grants the authority to issue the invitation for bids and to commit NATO funds;
10.4. authorizes the Host Nation to implement the project within the scope as described
at an estimated total cost of XXX in scope and funds (include a breakdown of costs including
investment, IES, NAE, PSC, PMC etc);
10.5. authorizes the Host Nation the following tolerances: scope tolerance, cost tolerance
and schedule tolerance.
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TECHNICAL APPENDIX SUPPORTING THE PROJECT PROPOSAL / TBCE

FOR CIS, C3, OR C4ISR PROJECTS
This appendix provides a common format for further information which may be
required for the technical screening of a TBCE or PP, and for many projects, some of the
areas below will be optional or not applicable. Therefore, each section of the appendix is
marked as either “Required” or “If applicable.” Host Nations should coordinate with the Staff,
at the earliest possible opportunity, in advance of drafting and submission of the proposal to
receive guidance on recommended and/or required sections in support of technical
screening by the Staff. Maximum use should be made of summary tables, drawings, and
charts, which may be incorporated into the text or attached as annexes.
OVERVIEW:
1. INTRODUCTION (Required): This section provides a concise overview of the

capability, the military/operational requirements, the project scope, and how it will be used
from an operational perspective- addressing questions such as: whether it will be used in
peacetime excercises and/or during wartime operations; anticipated mission types; security
level(s); and operational interoperability with other systems/nations.
1.1. The following attributes should also be specifically addressed:
1.1.1. (If applicable) the parent Capability Package (CP)/Capability Programme Plan
(CPP) (or lack thereof as appropriate);
1.2. (If applicable) a summary of the relationship and interdependencies to previous or

other projects (if any; with full details provided in Section 20);
1.2.1. (If applicable) any pre-financing, cost share arrangements, and/or previous
authorizations which apply to the project;
1.2.2. (If applicable) key legal requirements, codes, or standards applicable to the project;
1.2.3. (If applicable) any known departure from established NATO policy or procedures.
2. MILITARY/OPERATIONAL REQUIREMENTS (Required): This section should

detail the Operational requirements applicable to the project, as they have been defined, or
referred to, in the approved CP or CPP/Operational Requirements Statement (ORS).
2.1. (Required) This section should provide a high-level overview of the operational
requirements- providing operational context and specifying what the system or service shall
do when fielded and operated in its intended environment.
2.2. (Required) Via the Capability Management Function (CMF), Host Nations should
ensure that there is concurrence from the Strategic Commands with this section of the
appendix before it is submitted- presenting outstanding or contentious aspects to the
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appropriate level of the Capability Management Authority (CMA) for coordination and
resolution.
3. CAPABILITY REQUIREMENTS (Required): This section details the Capability
requirements applicable to the project, as they have been defined, or referred to, in the
approved Capability Programme Plan (CPP)/ Capability Package (CP) and/or Capability
Requirements Brief (CRB).
4. COORDINATION (If applicable): The appendix should also state whether the
proposal has been reviewed by other entities (e.g. Working Group of National Technical
Experts (WGNTE), Change Control Board, and/or Steering Committee) or whether other
supporting documents are already available (e.g. a Concept of Operations, a System
Specific Security Requirement Statement and Architectural Operational View Templates).
PROJECT REQUIREMENTS:
5. PROJECT SCOPE (Required): This section describes the project requirements

linked with the overall capability delivery context and its traceability to the capability
requirements approved in the CP or CPP.
5.1. FUNCTIONAL REQUIREMENTS (Required): This section provides a detailed
explanation of the intended users (strategic/operational/tactical) and shall fully specify what
the system/ service/product shall do when fielded and operated in its intended operating
environment.
5.2. NON-FUNCTIONAL REQUIREMENTS (Required): This section provides the non-

functional requirements (quality, performance, interoperability, security, supportability
requirements) applicable to the project.
5.3. REQUIREMENT TRACEABILITY (Required): This section should provide

traceability between the capability requirements provided in the CP/CPP (covered above in
Section 3) and the technical solution described here.
5.4. REQUIREMENTS MATURITY (If applicable): This section should describe the
assessment of the maturity of the project requirements. In some projects, the HN may
decide to provide initial/overarching functional requirements allowing room for alternative
technical solutions (with associated detailed technical requirements) by the contractor.
5.5. INTERFACES & INTERDEPENDENCIES (If applicable): This section should identify
and describe system/service/product interfaces and interdependencies where they exist.
6. SCHEDULE (Required): This section should provide a detailed project schedule
including all through-life considerations using a clearly identified work breakdown structure
& formal project milestones- taking into account the risks, assumptions and constraints
applicable to the project.
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6.1. SCHEDULE CHART (Required): The appendix should contain a schedule chart,
consistent with the CP/CPP, describing the major project activities and milestones related
to time. Details of the models for schedule estimation should be provided.
6.2. MAJOR ACTIVITIES & MILESTONES (Required): The expected project

implementation schedule with milestones and expenditure profile linked to the following
project milestones:
6.2.1. (If applicable) For the TBCE (under a CP):
6.2.1.1. Date of Advance Planning Funds (APF) Authorisation;
6.2.1.2. Date of TBCE Submission;
6.2.1.3. Date of First Stage Authorisation (FST);
6.2.1.4. Date of Authority to Issue the Invitation for Bids (IFB) Authorisation;
6.2.1.5. Date of Contract Award (EDS);
6.2.1.6. Estimated Date of Completion (EDC);
6.2.1.7. Date of JFAI Submission;
6.2.1.8. Date of Audit Submission.
6.2.1.9. If multiple phases of a project are covered in the appendix, the milestones should
be described for each phase by establishing each phase/horizon/wave with a different
increment with a unique set of milestones (for reporting purposes to the IC).
6.2.2. (If applicable) For the PP (under a CPP):
6.2.2.2. Date of PP Submission;
6.2.2.3. Date of Single Authorisation (SA);
6.2.2.4. Date of Contract Award (CA);
6.2.2.6. Date of JFAI Submission/Project Technical Acceptance;
6.2.2.7. Date of Audit Submission/Project Financial Acceptance.
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be described for each phase.
6.3. ASSUMPTIONS (If applicable): This section should provide any project assumptions
which will or may affect the schedule.
6.4. PROJECT/SERVICE DEPENDENCIES (If applicable): This describes schedule-based

dependencies on other programmes, projects, or entities. Associated milestones should be
included the table from Section 6.2.
6.5. WORK BREAKDOWN STRUCTURE (Required): A detailed work breakdown structure

showing project subtasks and phasing should be described here.
6.6. SCHEDULE, MILESTONE, AND KPIs FOR RISK MANAGEMENT (Required): This
section should describe the schedule milestones for risk management and mitigation.
6.7. CRITICAL PATH ANALYSIS (Required): The project schedule should include a
discussion of the critical path analysis for the project.
7. THROUGH-LIFE COST (Required): This section describes the through-life cost

estimate of the project- including a detailed expenditure profile, the methodology/parameters
used to estimate the cost, and the impact of the identified risks (explaining where they come
from and how the cost impact was calculated).
7.1. NSIP FUNDED INVESTMENT (Required): The assessment of the through-life cost
model should cover the NSIP-funded investment and any Military Budget (MB)-funded O&M
costs identified and presented in a relevant way (impacted budgets/services should be
identified and the date when O&M costs will be effective). If the project has NATO Workforce
implications, these should be clarified and, when relevant, included in the O&M cost
estimates. Non-eligible elements that may have an impact on military budgets should also
be mentioned here.
7.1.1. Explanation of all Support and Overhead provisions and costs, including personnel
(NATO employed), maintenance, operating and running costs;
7.1.2. Explanation of the method of cost estimation. Use of parametric cost estimation, a
statistical quantitative approach considering historic and market data, at granularity levels
according to complexity, is highly preferred by governance.
7.2. PROJECT COST TABLE / EXPENDITURE PROFILE (Required): As per AC/4-

N(2017)0037, a financial table breaking down the project costs (at component level) and
expenditure profile over project implementation period, with a narrative and technical
description of the works, traceability to the WBS, and referencing technical drawings as
necessary.
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7.3. CURRENCY (Required): In most cases, the cost estimate is prepared using the
currency of the territorial host nation (as required, totals are eventually converted in Euro
through official NATO rates).
7.4. OPERATION & MAINTENANCE (O&M) COSTS (If applicableRequired): A

financial planning profile for O&M costs funded by the MB, showing the current and future
costs, and indicatingon the transition from legacy to new capability, taking into account the
warranty for new equipment.
7.5. NATO WORKFORCE (If applicableRequired): If relevant for NSIP funding,

overview of additional Workforce requirements for the NATO Command Structure and for
C3 projects with the NCI Agency, quantified in Full Time Equivalent FTE.
PROJECT IMPLEMENTATION APPROACH:
8. TECHNICAL APPROACH (Required): This section describes the technical

solution proposed by the Host Nation. This should describe both the “As Is” and “To Be”
states. It also includes the technical approach on design, functional, and/or performance
targets and materiel, with specific reference to long-lead items, based on approved
architectures, interfaces, standards.
8.1. STATEMENT OF WORK (Required): If available, the detailed statement of work,

which will be issued to potential contractors, should be provided. Otherwise, a high-level
description of the intended statement of work describing the notional activities, deliverables,
and timetable for the project.
8.2. (Required) Sufficient high-level diagrams, conceptual diagrams, and detailed
system schematics should be provided to link the technical approach to the operational
requirements. At a minimum, the appendix should include:
8.2.1. (Required) A high-level operational concept graphic- detailing how the project fits
into the overarching capability programme/portfolio and operational environment;
8.2.2. (Required) A conceptual system diagram- detailing the system design, architecture,
components, boundaries, and internal & external interfaces;
8.2.3. (Required) Description of applicable Project/Solution Architecture and description of

proposed technical solution illustrated with notional technical diagrams;
8.2.3.1. Service integration aspects;
8.2.3.2. Cyber Security aspects;
8.2.3.3. Security accreditation;
8.2.3.4. Service Management and Control;
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8.2.3.5. Technical coherence.
8.3. DOTMLPFI COMPONENTS (Required): This section should describe any

DOTMLPFI components included in the project.
9. ANALYSIS OF TECHNICAL IMPLEMENTATION OPTIONS (Required): This

section describes the implementation options (evaluated options and selection of chosen
option), if applicable, considered by the Host Nation and the underlying assumptions of the
chosen approach. It is not about acquisition alternatives (service, adopt, buy, create) or
procurement strategies (single contract awarded sole source or alike); it is about true
implementation options (road vs. tunnel, video walls vs. beamers, centralisation vs.
distributed environment). In this vein, through-life cost and risks are always an element of
the decision matrix. In addition, this section should discuss previous coordination with the
Investment Committee or other NATO advisory groups for activities in support of the
proposal (Notification of Intent (NOI), Request for Bidder’s View (RFBV), market surveys,
etc.) by the Host Nation.
10. SERVICE INTEGRATION (If applicable): This section describes the integration of
the solution into existing systems or services.
11. PHASING OUT OF OBSOLETE SYSTEMS OR SERVICES (If applicable): This

section should address issues of lifecycle management for the project including
maintenance/support of the project deliverables, parallel operation of old and new systems,
and planning for obsolescence. Any requirement for special transportation should also be
described.
12. INTEROPERABILITY (If applicable): The solution to interoperability requirements

(if any) should be specifically described and the measures to test interoperability solutions
identified.
13. PROCUREMENT METHOD (Required): This section provides an explanation of

the procurement strategy as proposed by the Host Nation- ensuring compliance with NSIP
policies (including those impacting IES) and, if applicable, the Budget Procurement
Guidance. For projects under the CFCDGM, the approach shall be aligned with the
acquisition strategy approved at Gate 2 (CPP). If the host nation proposes a different
procurement method from the default method established by NATO policy, a detailed
justification should be provided in this section.
14. RISKS (RequiredIf applicable): This section should provide a thorough risk
analysis, risk register, and mitigation/management plan, with detailed elements,
interdependencies, and activities assessed and included within the project plan. This section
describes the Risk Management Plan presented by the Host Nation (ensuring that risks are
realistic and relevant) and covers risks, opportunities, and key assumptions. Changes
introduced after Decision Gate 2 approval should be highlighted and justified. Risks initially
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identified at programme level and which could be managed at project level shall be
transferred to the project.
15. PROPOSED RISK-BASED PROJECT TOLERANCES (RequiredIf applicable):

This section should describe the risk-based tolerances proposed by the Host Nation-
evaluating their consistency with the updated programme risk register and project risk
register, and (in coordination with the Strategic Commands via the Capability Management
Function) confirming that accumulated project tolerances stay within the overall programme
tolerances set by the Council.
16. CONTINGENCIES (RequiredIf applicable): Contingencies are extra funds for
unforeseen expenses and cost deviations in the initial estimate. Typically, 10% is added to
the project cost based on estimation accuracy (design detail depth and items/quantity
uncertainties) and unpredictable market response to the IFB.
17. DELIVERABLES AND OUTCOMES (Required): Describe the physical and

measureable outputs of the project in terms of physical items, systems, hardware, software,
services, etc.
18. LIFE-CYCLE SUPPORT (Required): Provide details of plans for project Logistics
Support, Configuration Management, and in-life operations.
19. PROJECT ACCEPTANCE CRITERIA (Required): In coordination with the

Strategic Commands via the CMF, the appendix shall provide the Operational Acceptance
Criteria applicable to the project. All functional and non-functional requirements shall be
verifiable against measurable criteria and traceable to the user requirements that are the
basis for operational acceptance of the project.
20. LINKAGES & DEPENDENCIES (If applicable): A description of the internal and
external linkages and dependencies with other projects, programmes, or agencies as well
as other DOTMLPFI elements. Analysis and description of interrelated works (such as
Communications for a Civil Works project), and links to other investment/initiatives (NATO,
national, multinational, etc.). For external dependencies, ensure that associated milestones
are included in the project schedule (under Section 6.4).
21. ASSUMPTIONS, LIMITATIONS, & CONSTRAINTS (If applicable): This section
shall provide the assumptions, limitations, and constraints that may impact the realization of
the project benefits.
22. VERIFICATION AND VALIDATION (Required): This section should describe how,
who, and when the testing, verification, and validation will be performed to ensure that
project deliverables meet the project acceptance criteria.
23. POLICY COMPLIANCE (If applicable): The technical solution proposed for
implementation should meet the Minimum Military Requirement (MMR) in the most cost
effective manner and follow all applicable Technical Standards and NATO Policies. Any
known deviation from NATO policies or standards should be described and justified.
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24. CONSIDERATION OF GENDER PERSPECTIVES (Required): This section should

describe and explain the steps that the HN has taken to ensure that gender perspectives
have been fully taken into account with respect to the design, technical solution,
implementation, acceptance criteria, and future O&M processes (reference g). The
objective is to confirm that the proposed and implemented project will deliver systems and
infrastructure that can be implemented, operated and maintained regardless of gender.
25. CONSIDERATION OF CLIMATE CHANGE AND SECURITY (Required): In 2021,
NATO Leaders endorsed a new NATO Action Plan on Climate Change and Security
(reference i). This section should describe and explain the steps that the HN has
taken to reduce and adapt to the impacts of climate change on military activities,
systems, and installations.
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APPENDIX 3
ANNEX 1
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TECHNICAL APPENDIX SUPPORTING THE PROJECT PROPOSAL / TBCE

FOR CIVIL WORKS PROJECTS
This appendix provides a common format for further information which may be
required for the technical screening of a TBCE or PP, and for many projects, some of the
areas below will be optional or not applicable. Therefore, each section of the appendix is
marked as either “Required” or “If applicable.” Host Nations should coordinate with the Staff,
at the earliest possible opportunity, in advance of drafting and submission of the proposal to
receive guidance on recommended and/or required sections in support of technical
screening by the Staff. Maximum use should be made of summary tables, drawings, and
charts, which may be incorporated into the text or attached as annexes.
OVERVIEW:
1. INTRODUCTION (Required): This section provides a concise overview of the

capability, the military/operational requirements, the project scope, and how it will be used
from an operational perspective- addressing questions such as: whether it will be used in
peacetime excercises and/or during wartime operations; anticipated mission types; security
level(s); and operational interoperability with other systems/nations.
1.1. The following attributes should also be specifically addressed:
1.1.1. (If applicable) the parent Capability Package (CP)/Capability Programme Plan
(CPP) (or lack thereof as appropriate);
1.2. (If applicable) a summary of the relationship and interdependencies to previous or

other projects (if any; with full details provided in Section 20);
1.2.1. (If applicable) any pre-financing, cost share arrangements, and/or previous
authorizations which apply to the project;
1.2.2. (If applicable) key legal requirements, codes, or standards applicable to the project;
1.2.3. (If applicable) any known departure from established NATO policy or procedures.
2. MILITARY/OPERATIONAL REQUIREMENTS (Required): This section should

detail the Operational requirements applicable to the project, as they have been defined, or
referred to, in the approved CP or CPP/Operational Requirements Statement (ORS).
2.1. (Required) This section should provide a high-level overview of the operational
requirements- providing operational context and specifying what the system or service shall
do when fielded and operated in its intended environment.
2.2. (Required) Via the Capability Management Function (CMF), Host Nations should
ensure that there is concurrence from the Strategic Commands with this section of the
appendix before it is submitted- presenting outstanding or contentious aspects to the
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appropriate level of the Capability Management Authority (CMA) for coordination and
resolution.
3. CAPABILITY REQUIREMENTS (Required): This section details the Capability
requirements applicable to the project, as they have been defined, or referred to, in the
approved Capability Programme Plan (CPP)/ Capability Package (CP) and/or Capability
Requirements Brief (CRB).
4. COORDINATION (If applicable): The appendix should also state whether the
proposal has been reviewed by other entities (e.g. Working Group of National Technical
Experts (WGNTE), Change Control Board, and/or Steering Committee) or whether other
supporting documents are already available (e.g. a Concept of Operations, a System
Specific Security Requirement Statement and Architectural Operational View Templates).
PROJECT REQUIREMENTS:
For most Infrastructure projects, the majority of the information in this section will
usually be provided in a technical report by an External A/E firm.
5. PROJECT SCOPE (Required): This section describes the project requirements

linked with the overall capability delivery context and its traceability to the capability
requirements approved in the CP or CPP.
5.1. FUNCTIONAL REQUIREMENTS (Required): This section provides a detailed
explanation of the intended users (strategic/operational/tactical) and shall fully specify what
the system/ service/product shall do when fielded and operated in its intended operating
environment.
5.2. NON-FUNCTIONAL REQUIREMENTS (Required): This section provides the non-

functional requirements (quality, performance, interoperability, security, supportability
requirements) applicable to the project.
5.3. REQUIREMENT TRACEABILITY (Required): This section should provide

traceability between the capability requirements provided in the CP/CPP (covered above in
Section 3) and the technical solution described here.
5.4. REQUIREMENTS MATURITY (If applicable): This section should describe the
assessment of the maturity of the project requirements. In some projects, the HN may
decide to provide initial/overarching functional requirements allowing room for alternative
technical solutions (with associated detailed technical requirements) by the contractor.
5.5. INTERFACES & INTERDEPENDENCIES (If applicable): This section should identify
and describe system/service/product interfaces and interdependencies where they exist.
6. SCHEDULE (Required): This section should provide a detailed project schedule
including all through-life considerations using a clearly identified work breakdown structure
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& formal project milestones- taking into account the risks, assumptions and constraints
applicable to the project.
6.1. SCHEDULE CHART (Required): The appendix should contain a schedule chart,
consistent with the CP/CPP, describing the major project activities and milestones related
to time. Details of the models for schedule estimation should be provided.
6.2. MAJOR ACTIVITIES & MILESTONES (Required): The expected project

implementation schedule with milestones and expenditure profile linked to the following
project milestones:
6.2.1. (If applicable) For the TBCE (under a CP):
6.2.1.2. Date of TBCE Submission;
6.2.1.3. Date of First Stage Authorisation (FST);
6.2.1.4. Date of Authority to Issue the Invitation for Bids (IFB) Authorisation;
6.2.1.5. Date of Contract Award (EDS);
6.2.1.7. Date of JFAI Submission;
6.2.1.8. Date of Audit Submission.
be described for each phase by establishing each phase/horizon/wave with a different
increment with a unique set of milestones (for reporting purposes to the IC).
6.2.2. (If applicable) For the PP (under a CPP):
6.2.2.2. Date of PP Submission;
6.2.2.3. Date of Single Authorisation (SA);
6.2.2.4. Date of Contract Award (CA);
6.2.2.6. Date of JFAI Submission/Project Technical Acceptance;
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6.2.2.7. Date of Audit Submission/Project Financial Acceptance.
be described for each phase.
6.3. ASSUMPTIONS (If applicable): This section should provide any project assumptions
which will or may affect the schedule.
6.4. PROJECT/SERVICE DEPENDENCIES (If applicable): This describes schedule-based

dependencies on other programmes, projects, or entities. Associated milestones should be
included the table from Section 6.2.
6.5. WORK BREAKDOWN STRUCTURE (Required): A detailed work breakdown structure

showing project subtasks and phasing should be described here.
6.6. SCHEDULE, MILESTONE, AND KPIs FOR RISK MANAGEMENT (Required): This
section should describe the schedule milestones for risk management and mitigation.
6.7. CRITICAL PATH ANALYSIS (Required): The project schedule should include a
discussion of the critical path analysis for the project.
7. THROUGH-LIFE COST (Required): This section describes the through-life cost

estimate of the project- including a detailed expenditure profile, the methodology/parameters
used to estimate the cost, and the impact of the identified risks (explaining where they come
from and how the cost impact was calculated).
7.1. NSIP FUNDED INVESTMENT (Required): The assessment of the through-life cost
model should cover the NSIP-funded investment and any Military Budget (MB)-funded O&M
costs identified and presented in a relevant way (impacted budgets/services should be
identified and the date when O&M costs will be effective). If the project has NATO Workforce
implications, these should be clarified and, when relevant, included in the O&M cost
estimates. Non-eligible elements that may have an impact on military budgets should also
be mentioned here.
7.1.1. Explanation of all Support and Overhead provisions and costs, including personnel
(NATO employed), maintenance, operating and running costs;
7.1.2. Explanation of the method of cost estimation. Use of parametric cost estimation, a
statistical quantitative approach considering historic and market data, at granularity levels
according to complexity, is highly preferred by governance.
7.2. PROJECT COST TABLE / EXPENDITURE PROFILE (Required): As per AC/4-

N(2017)0037, a financial table breaking down the project costs (at component level) and
expenditure profile over project implementation period, with a narrative and technical
description of the works, traceability to the WBS, and referencing technical drawings as
necessary.
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7.3. CURRENCY (Required): In most cases, the cost estimate is prepared using the
currency of the territorial host nation (as required, totals are eventually converted in Euro
through official NATO rates).
7.4. OPERATION & MAINTENANCE (O&M) COSTS (If applicable): A financial planning
profile for O&M costs funded by the MB, showing the current and future costs, and indication
the transition from legacy to new capability, taking into account the warranty for new
equipment.
7.5. NATO WORKFORCE (If applicable): If relevant for NSIP funding, overview of
additional Workforce requirements for the NATO Command Structure and for C3 projects
with the NCI Agency, quantified in Full Time Equivalent FTE.
PROJECT IMPLEMENTATION APPROACH:
For most Infrastructure projects, the majority of the information in this section will
usually be provided in a technical report by an External A/E firm.
8. TECHNICAL APPROACH (Required): This section describes the technical

solution proposed by the Host Nation. This should describe both the “As Is” and “To Be”
states. It also includes the technical approach on design, functional, and/or performance
targets and materiel, with specific reference to long-lead items, based on approved
architectures, interfaces, standards.
8.1. STATEMENT OF WORK (Required): If available, the detailed statement of work,

which will be issued to potential contractors, should be provided. Otherwise, a high-level
description of the intended statement of work describing the notional activities, deliverables,
and timetable for the project.
8.2. Detailed Description of Works (Required): Sufficient high-level diagrams,
concept diagrams, schematic layouts, and detailed system schematics should be
provided to clarify all relevant aspects specific to the project and link the technical
approach to the operational requirements. At a minimum, the appendix should include:
8.2.1. (Required) A high-level operational concept graphic- detailing how the project fits
into the overarching capability programme/portfolio and operational environment;
8.2.2. (Required) A conceptual system diagram- detailing the system design, architecture,
components, boundaries, and internal & external interfaces;
8.2.3. (Required) If available, a technical report, usually provided by an external

engineering firm, with design narrative and analysis including code analysis by all disciplines
(e.g., A/E report) should be provided. In the absence of an external technical report, the HN
should provide sufficient technical rationale, details, and calculations to support their chosen
implementation option within, or as addenda to, the proposal;
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8.2.4. (Required) Single line schematic drawings for Mechanical, Electrical, Plumbing,
Comms, etc.
8.2.4.8.2.5. (If applicable) Include the relevant layouts/Comprehensive Interior Design

plans (if part of the programmed scope), colour boards, and Preliminary Furniture footprints
as applicable;
8.3. DOTMLPFI COMPONENTS (Required): This section should describe any

DOTMLPFI components included in the project.
9. ANALYSIS OF TECHNICAL IMPLEMENTATION OPTIONS (Required): This

section describes the implementation options (evaluated options and selection of chosen
option), if applicable, considered by the Host Nation and the underlying assumptions of the
chosen approach. It is not about acquisition alternatives (service, adopt, buy, create) or
procurement strategies (single contract awarded sole source or alike); it is about true
implementation options (road vs. tunnel, video walls vs. beamers, centralisation vs.
distributed environment). In this vein, through-life cost and risks are always an element of
the decision matrix. In addition, this section should discuss previous coordination with the
Investment Committee or other NATO advisory groups for activities in support of the
proposal (Notification of Intent (NOI), Request for Bidder’s View (RFBV), market surveys,
etc.) by the Host Nation.
10. SERVICE INTEGRATION (If applicable): This section describes the integration of
the solution into existing systems or services.
11. PHASING OUT OF OBSOLETE SYSTEMS OR SERVICES (If applicable): This

section should address issues of lifecycle management for the project including
maintenance/support of the project deliverables, parallel operation of old and new systems,
and planning for obsolescence. Any requirement for special transportation should also be
described.
12. INTEROPERABILITY (If applicable): The solution to interoperability requirements

(if any) should be specifically described and the measures to test interoperability solutions
identified.
13. PROCUREMENT METHOD (Required): This section provides an explanation of

the procurement strategy as proposed by the Host Nation- ensuring compliance with NSIP
policies (including those impacting IES) and, if applicable, the Budget Procurement
Guidance. For projects under the CFCDGM, the approach shall be aligned with the
acquisition strategy approved at Gate 2 (CPP). If the host nation proposes a different
procurement method from the default method established by NATO policy, a detailed
justification should be provided in this section.
14. RISKS (RequiredIf applicable): This section should provide a thorough risk
analysis, risk register, and mitigation/management plan, with detailed elements,
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interdependencies, and activities assessed and included within the project plan. This section
describes the Risk Management Plan presented by the Host Nation (ensuring that risks are
realistic and relevant) and covers risks, opportunities, and key assumptions. Changes
introduced after Decision Gate 2 approval should be highlighted and justified. Risks initially
identified at programme level and which could be managed at project level shall be
transferred to the project.
15. PROPOSED RISK-BASED PROJECT TOLERANCES (RequiredIf applicable):

This section should describe the risk-based tolerances proposed by the Host Nation-
evaluating their consistency with the updated programme risk register and project risk
register, and (in coordination with the Strategic Commands via the Capability Management
Function) confirming that accumulated project tolerances stay within the overall programme
tolerances set by the Council.
16. CONTINGENCIES (RequiredIf applicable): Contingencies are extra funds for
unforeseen expenses and cost deviations in the initial estimate. Typically, up to 10% is
added to the project cost based on estimation accuracy (design detail depth and
items/quantity uncertainties) and unpredictable market response to the IFB.
17. DELIVERABLES AND OUTCOMES (Required): Describe the physical and

measureable outputs of the project in terms of physical items, systems, hardware, software,
services, etc.
18. LIFE-CYCLE SUPPORT (Required): Provide details of plans for project Logistics
Support, Configuration Management, and in-life operations.
19. PROJECT ACCEPTANCE CRITERIA (Required): In coordination with the

Strategic Commands via the CMF, the appendix shall provide the Operational Acceptance
Criteria applicable to the project. All functional and non-functional requirements shall be
verifiable against measurable criteria and traceable to the user requirements that are the
basis for operational acceptance of the project.
20. LINKAGES & DEPENDENCIES (If applicable): A description of the internal and
external linkages and dependencies with other projects, programmes, or agencies as well
as other DOTMLPFI elements. Analysis and description of interrelated works (such as
Communications for a Civil Works project), and links to other investment/initiatives (NATO,
national, multinational, etc.). For external dependencies, ensure that associated milestones
are included in the project schedule (under Section 6.4).
21. ASSUMPTIONS, LIMITATIONS, & CONSTRAINTS (If applicable): This section
shall provide the assumptions, limitations, and constraints that may impact the realization of
the project benefits.
22. VERIFICATION AND VALIDATION (Required): This section should describe how,
who, and when the testing, verification, and validation will be performed to ensure that
project deliverables meet the project acceptance criteria.
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23. POLICY COMPLIANCE (If applicable): The technical solution proposed for
implementation should meet the Minimum Military Requirement (MMR) in the most cost
effective manner and follow all applicable Technical Standards and NATO Policies. Any
known deviation from NATO policies or standards should be described and justified.
24. CONSIDERATION OF GENDER PERSPECTIVES (Required): This section

should describe and explain the steps that the HN has taken to ensure that gender
perspectives have been fully taken into account with respect to the design, technical
solution, implementation, acceptance criteria, and future O&M processes (reference g).
The objective is to confirm that the proposed and implemented project will deliver systems
and infrastructure that can be implemented, operated and maintained regardless of gender.
25. CONSIDERATION OF CLIMATE CHANGE AND SECURITY (Required): In 2021,

NATO Leaders endorsed a new NATO Action Plan on Climate Change and Security
(reference i). This section should describe and explain the steps that the HN has
taken to reduce and adapt to the impacts of climate change on military activities,
systems, and installations.
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20 April 2023 DOCUMENT

TEMPLATES FOR PROJECT PROPOSALS AND TYPE B COST ESTIMATES

Note by the Chair

1 Annex Action Officer: B. WILDER ext. 4004

Org. Seg. : DGRDN-PC

TEMPLATES FOR PROJECT PROPOSALS AND TYPE B COST ESTIMATES

Report by the International Staff

References: (a) PO(2018)0259

3. Against this background, the template at Appendix 1 was prepared to facilitate

Org. Seg. : DGRDN-PC

7. A crucial element of the adoption of the template at Appendices 1, 2, and 3 is the

TEMPLATE FOR PROJECT PROPOSALS AND TBCEs

Org. Seg. : DGRDN-PC

9.3. the Project Implementation Approach or Project Execution;

TECHNICAL APPENDIX SUPPORTING THE PROJECT PROPOSAL AND TBCE

13. The Investment Committee is invited to:

Org. Seg. : DGRDN-PC

Org. Seg. : DGRDN-PC

PROJECT PROPOSAL TEMPLATE FOR PP OR TBCE

This template (hereafter referred to as the proposal) is guidance for developing a

Tolerances (profiled) Scope – Match to Capability Programme Plan

Org. Seg. : DGRDN-PC

5. This section describes: the NSIP-funded investment (Investment (INV), Internal

PROJECT IMPLEMENTATION APPROACH / PROJECT EXECUTION:

6. This section provides an overview of the procurement method, project benefits,

POLICY COMPLIANCE STATEMENT:

8. The host nation should further confirm in the proposal that:

8.1. the preparation of the proposal followed recognised programme/project

Org. Seg. : DGRDN-PC

10. The Host Nation recommends that the Investment Committee:

10.1. agrees the implementation schedule;

10.2. agrees the procurement strategy;

Org. Seg. : DGRDN-PC

TECHNICAL APPENDIX SUPPORTING THE PROJECT PROPOSAL / TBCE

1. INTRODUCTION (Required): This section provides a concise overview of the

1.2. (If applicable) a summary of the relationship and interdependencies to previous or

2. MILITARY/OPERATIONAL REQUIREMENTS (Required): This section should

Org. Seg. : DGRDN-PC

5. PROJECT SCOPE (Required): This section describes the project requirements

5.2. NON-FUNCTIONAL REQUIREMENTS (Required): This section provides the non-

5.3. REQUIREMENT TRACEABILITY (Required): This section should provide

Org. Seg. : DGRDN-PC

6.2. MAJOR ACTIVITIES & MILESTONES (Required): The expected project

6.2.1. (If applicable) For the TBCE (under a CP):

6.2.1.1. Date of Advance Planning Funds (APF) Authorisation;

6.2.1.2. Date of TBCE Submission;

6.2.1.3. Date of First Stage Authorisation (FST);

6.2.1.5. Date of Contract Award (EDS);

6.2.1.6. Estimated Date of Completion (EDC);

6.2.1.7. Date of JFAI Submission;

6.2.1.8. Date of Audit Submission.

6.2.2. (If applicable) For the PP (under a CPP):

6.2.2.1. Date of Advance Planning Funds (APF) Authorisation;

6.2.2.2. Date of PP Submission;

6.2.2.3. Date of Single Authorisation (SA);

6.2.2.4. Date of Contract Award (CA);

6.2.2.5. Estimated Date of Completion (EDC);

6.2.2.6. Date of JFAI Submission/Project Technical Acceptance;

6.2.2.7. Date of Audit Submission/Project Financial Acceptance.

Org. Seg. : DGRDN-PC

6.4. PROJECT/SERVICE DEPENDENCIES (If applicable): This describes schedule-based

6.5. WORK BREAKDOWN STRUCTURE (Required): A detailed work breakdown structure