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CONTINGENCY PREPAREDNESS PLANNING MANUAL
VOLUME 3 - EXERCISES
COMDTINST M3010.13C
NOVEMBER 2016
DISTRIBUTION – SDL No. 167
a b c d e f g h i j k l m n o p q r s t u v w x y z
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NON-STANDARD DISTRIBUTION: External distribution listed on page 4
COMDTINST M3010.13C
17 Nov 2016
COMMANDANT INSTRUCTION M3010.13C
Subj: CONTINGENCY PREPAREDNESS PLANNING MANUAL VOLUME 3 –
EXERCISES
Ref: (a) National Preparedness, Presidential Policy Directive-8 (PPD-8)
(b) Department of Homeland Security (DHS), Homeland Security Exercise and
Evaluation Program (HSEEP), April 2013
(c) Coast Guard After Action Program, COMDTINST 3010.19 (series)
(d) Contingency Preparedness Planning Manual (CPPM)Volume I: Contingency
Planning Policy, COMDTINST M3010.11 (series)
(e) Federal Continuity Directive 1, Federal Executive Branch National Continuity
Program and Requirements, October 2012
(f) Federal Continuity Directive 2, Federal Executive Branch Mission Essential
Functions and Candidate Primary Mission Essential Functions Identification and
Submission Process, July 2013
(g) Federal Emergency Management Agency (FEMA), National Exercise Division
(NED), National Exercise Program Implementation Plan (I-PLAN), December 200
(h) Medical Countermeasures Following a Biological Attack, Executive Order 13527
(i) Oil Pollution Act of 1990, Pub. L. 101-380
(j) 2016 National Preparedness for Response Exercise Program (PREP) Guidelines
(k) Maritime Transportation Security Act of 2002, Pub. L. 107-295
(l) Navigation and Vessel Inspection Circular (NVIC) No. 9-02, COMDTPUB
P16700.4 (series)
(m) Continuity Of Operations, Policy and Planning, COMDTINST M3010.15 (series)
(n) (FOUO)Coast Guard Standard Operational Planning Process/Global Force
Management, COMDTINST M3120.4 (series)
1. PURPOSE. This Manual provides policy and guidance for the U.S. Coast Guard’s (USCG)
contingency exercise program and for planning, conducting and evaluating exercises.
2. ACTION. All Coast Guard unit commanders, commanding officers, officers-in-charge,
Commandant
United States Coast Guard
US Coast Guard Stop 7516
2703 Martin Luther King Jr Ave SE
Washington, DC 20593-7516
Staff Symbol: CG-5RI
Phone: (202) 372-2000
COMDTINST M3010.13C
2
deputy/assistant commandants, and chiefs of headquarters staff elements shall comply with
the provisions of this manual. Internet release is authorized.
3. DIRECTIVES AFFECTED. Contingency Preparedness Planning Manual Vol III:
Exercises, COMDTINST M3010.13B, is superseded. Exercise Program Management and
National Exercise Program Implementation Roles & Responsibilities, COMDTINST 3500.6,
is canceled.
4. DISCUSSION. Contingency Exercises are a cornerstone of overall preparedness. They play
a vital role in national preparedness by enabling whole community stakeholders to test and
validate plans and capabilities, and identify gaps and areas for improvement. This revision
updates exercise policy and guidance to reflect changes in Coast Guard and DHS
requirements.
5. DISCLAIMER. This guidance is not a substitute for applicable legal requirements, nor is it
itself a rule. It is intended to provide operational guidance for Coast Guard personnel and is
not intended to nor does it impose legally-binding requirements on any party outside the
Coast Guard.
6. MAJOR CHANGES. The Manual has been revised to:
a. Incorporate updates from the 2013 revision of HSEEP, including exercise cycle phase
changes, terminology modifications, and other details.
b. Include updated Multi-year Training and Exercise Plan (MTEP) guidance.
c. Include an updated Appendix A to reflect additional exercise requirements, changes in
required frequencies, and the identification of source requirement documents.
d. Appendices have been added and removed for clarity.
7. ENVIRONMENTAL ASPECT AND IMPACT CONSIDERATIONS.
a. The development of this directive and the general policies contained within it have been
thoroughly reviewed by the originating office and are categorically excluded under
current USCG categorical exclusion (CE) # 33 from further environmental analysis, in
accordance with Section 2.B.2 and Figure 2-1 of the National Environmental Policy Act
Implementing Procedures and Policy for Considering Environmental Impacts,
COMDTINST M16475.1 (series) and Federal Register Notice of July 2002; also listed as
(CE) L5 of DHS Instruction Manual 023-1.
b. This directive will not have any of the following: significant cumulative impacts on the
human environment; substantial controversy or substantial change to existing
environmental conditions; or inconsistencies with any Federal, State, or local laws or
administrative determinations relating to the environment. All future specific actions
resulting from the general policies in this Manual must be individually evaluated for
compliance with the National Environmental Policy Act (NEPA), DHS, and Coast Guard
NEPA policy, and compliance with all other environmental mandates.
9. DISTRIBUTION. No paper distribution will be made of this Manual. An electronic version
will be located on the following Commandant (CG-612) web sites. Internet:
http://www.uscg.mil/directives/ and CG Portal:
https://cgportal2.uscg.mil/library/directives/SitePages/Home.aspx.
COMDTINST M3010.13C
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10. RECORDS MANAGEMENT CONSIDERATIONS. This Manual has been thoroughly
reviewed during the directives clearance process, and it has been determined there are no
further records scheduling requirements, in accordance with Federal Records Act, 44 U.S.C.
3101 et seq., National Archives and Records Administration requirements, and Information
and Life Cycle Management Manual, COMDTINST M5212.12 (series). This policy does
not have any significant or substantial change to existing records management requirements.
11. RELATED CONTINGENCY PREPAREDNESS PLANNING MANUAL VOLUMES.
a. Contingency Preparedness Planning Manual, Vol I: Contingency Planning Policy,
COMDTINST M3010.11 (series). This separately published Manual provides the basis
for USCG planning policy across all Coast Guard missions and contingencies.
b. Contingency Preparedness Planning Manual, Vol II: Personnel and Equipment
Requirements, COMDTINST M3010.12 (series). This separately published Manual
provides the planning factors used in resource management plans and establishes
guidance for developing resource management plans to use in Coast Guard planning.
c. Contingency Preparedness Planning Manual, Vol 4: Incident Management and Crisis
Response, COMDTINST M3010.24 (series). This separately published Manual provides
the overarching policy for Coast Guard incident management and crisis response
activities across all Coast Guard missions and contingencies. This Manual mandates
specific preparedness and response management activities within the Coast Guard to
ensure connectivity with all levels of interagency governance during disaster
preparedness and response activities.
12. FORMS/REPORTS. None.
13. REQUESTS FOR CHANGES. Requests for changes to this Manual should be directed to
Office of Contingency Preparedness and Exercise Policy, Commandant (CG-CPE) at
Ms. Dana S. Tulis /s/
U.S. Coast Guard
Director of Incident Management & Preparedness Policy
COMDTINST M3010.13C
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External Distribution
U.S. Department of Homeland Security (DHS)
U.S. Environmental Protection Agency (EPA)
Federal Emergency Management Agency (FEMA)
National Exercise Division, Washington, DC
Emergency Management Institute, Emmitsburg, MD
U.S. Department of Transportation (DOT)
U.S. Department of the Interior (DOI), Emergency Management Directorate
CNO Washington, DC (OP-605) CMC Washington, DC (MC-PP-5) CSA Washington, DC
(DAMO-ZC) CSAF Washington, DC (AFXOX)
U.S. Department of Transportation, Office of Emergency Transportation (DET-1)
National Defense University:
AFSC, Norfolk, VA
NWC Fort McNair, Washington, DC
ICAF Fort McNair, Washington, DC
Air War CollegeMaxwell AFB, Alabama
Naval War CollegeNewport, Rhode Island
Army War CollegeCarlisle, Pennsylvania
Marine Corps War College—Quantico, Virginia
U.S. Northern Command
COMDTINST M3010.13C
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RECORD OF CHANGES
CHANGE
NUMBER
DATE OF
CHANGE DATE ENTERED
BY WHOM
ENTERED
COMDTINST M3010.13C
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COMDTINST M3010.13C
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TABLE OF CONTENTS
COMMANDANT INSTRUCTION M3010.13C ........................................................................ 1
Record of Changes ........................................................................................................................ 5
Table of Contents ........................................................................................................................... i
List of Figures ............................................................................................................................... vi
List of Tables vii
Chapter 1. Introduction to Coast Guard Contingency Exercises ..................................... 1-1
A. Purpose of Manual ........................................................................................................... 1-1
1. Presidential Policy Directive-8 (PPD-8) .................................................................... 1-1
2. National Exercise Program Alignment ...................................................................... 1-1
B. Goal .................................................................................................................................. 1-3
C. Contingency Exercise ...................................................................................................... 1-3
D. Purpose of Exercises ........................................................................................................ 1-3
1. Validation ................................................................................................................... 1-3
2. Relationships .............................................................................................................. 1-3
3. Readiness ................................................................................................................... 1-3
4. Resourcing ................................................................................................................. 1-3
5. Training ...................................................................................................................... 1-3
6. Familiarization ........................................................................................................... 1-3
E. Relationship Between the Exercise Cycle and the Preparedness Cycle .......................... 1-3
F. Managing the Exercise and Preparedness Cycles ............................................................ 1-3
1. Plans ........................................................................................................................... 1-4
2. Concept of Exercise (COE) ....................................................................................... 1-4
3. Coast Guard Standard After Action Information and Lessons Learned System (CG-
SAILS) ....................................................................................................................... 1-4
4. Remedial Action Management Program (RAMP) ..................................................... 1-4
Chapter 2. Contingency Exercise Requirements................................................................ 2-1
A. Overview .......................................................................................................................... 2-1
B. Internal ............................................................................................................................. 2-1
C. Federal Interagency .......................................................................................................... 2-1
D. DHS National Exercise Program (NEP) .......................................................................... 2-1
COMDTINST M3010.13C
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E. Closed Point of Dispensing .............................................................................................. 2-1
F. National Preparedness for Response Exercise Program (PREP) ..................................... 2-2
G. Area Maritime Security Training and Exercise Program (AMSTEP) ............................. 2-2
H. Continuity of Operations (COOP) ................................................................................... 2-2
I. DOD Sponsored ............................................................................................................... 2-2
Chapter 3. Coast Guard Exercise Program Roles and Responsibilities .......................... 3-1
A. Coast Guard Preparedness ............................................................................................... 3-1
B. Contingency Exercise Roles and Responsibilities ........................................................... 3-1
1. Commandant’s Leadership Council ........................................................................... 3-1
2. Deputy Commandant for Operations (DCO) ............................................................. 3-1
3. Director of Incident Management and Preparedness Policy (CG-5RI) ..................... 3-1
4. Coast Guard Office of Contingency Preparedness and Exercise Policy, Commandant
(CG-CPE) ................................................................................................................... 3-1
5. Areas .......................................................................................................................... 3-3
6. Districts ...................................................................................................................... 3-4
7. Sectors and Commands with Contingency Plans....................................................... 3-5
8. Exercise Sponsors ...................................................................................................... 3-5
9. Coast Guard Program Offices .................................................................................... 3-6
10. Additional Exercise Stakeholders. ............................................................................. 3-9
11. Additional Contingency Preparedness Support. ...................................................... 3-12
Chapter 4. Contingency Exercise Program Management ................................................. 4-1
A. Contingency Exercise Program Management .................................................................. 4-1
1. Contingency Preparedness Assessment (CPA) .......................................................... 4-2
2. Commander's Exercise and Training Strategy (CETS) ............................................. 4-4
B. Standard Operational Planning Process (SOPP) and the MTEP Process ........................ 4-4
1. CG-DCO Planning Guidance ..................................................................................... 4-4
2. Planning Assessments ................................................................................................ 4-4
3. Force Apportionments ............................................................................................... 4-5
4. Strategic Planning Direction / Operational Planning Direction (SPD/OPD)............. 4-5
C. Exercise Program Resource Management ....................................................................... 4-6
1. Financial Management ............................................................................................... 4-6
2. Operational/Support Resources ................................................................................. 4-8
Chapter 5. Exercise Methodology ........................................................................................ 5-1
COMDTINST M3010.13C
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A. Overview .......................................................................................................................... 5-1
B. Exercise Types ................................................................................................................. 5-1
C. Exercise Cycle Phases...................................................................................................... 5-2
1. Phase 1: Design and Development ........................................................................... 5-3
2. Phase 2: Conduct...................................................................................................... 5-34
3. Phase 3: Exercise Evaluation and Phase 4: Improvement Planning ........................ 5-40
Chapter 6. Contingency Preparedness Training and Technology.................................... 6-1
A. Overview .......................................................................................................................... 6-1
B. Contingency Planner Qualification, Subspecialty Assignment, and Training ................. 6-1
1. Contingency Preparedness (MARECP) Qualification ............................................... 6-1
2. Contingency Planning Subspecialty (OAR-18) Competency .................................... 6-1
3. Internal Exercise Training Management .................................................................... 6-2
4. External Exercise Training Management ................................................................... 6-2
C. Professional Development ............................................................................................... 6-3
D. Exercise Technology ........................................................................................................ 6-5
1. OILMAP .................................................................................................................... 6-5
2. GNOME ..................................................................................................................... 6-5
3. ADIOS ....................................................................................................................... 6-5
4. ESI.............................................................................................................................. 6-5
5. Environmental Response Management Application® (ERMA) ............................... 6-6
6. Incident Management System Software (IMSS) ....................................................... 6-6
7. WebEOC .................................................................................................................... 6-6
8. Homeland Security Information Network (HSIN) .................................................... 6-6
Appendix A. Contingency Exercise Requirements............................................................... A-1
Appendix B. Credit for Real-World Operations .................................................................. B-1
A. Planned Event ................................................................................................................. B-1
B. Incident/Threat ................................................................................................................ B-1
C. Exercise Credit Process................................................................................................... B-1
1. Ports, Waterways, and Coastal Security (PWCS) ..................................................... B-1
2. Military Outload (MOL) ........................................................................................... B-1
3. Oil and Hazardous Substances .................................................................................. B-2
Appendix C. Contingency Preparedness Assessment / Commander’s Exercise and
Training Strategy .............................................................................................. C-1
COMDTINST M3010.13C
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Appendix D. Exercise Planning Meetings ............................................................................. D-1
A. Overview ......................................................................................................................... D-1
1. Meeting Preparation. ................................................................................................. D-2
B. Concept & Objectives Meeting ....................................................................................... D-3
1. Length ....................................................................................................................... D-3
2. Location .................................................................................................................... D-3
3. Discussion Points ...................................................................................................... D-3
4. Tools ......................................................................................................................... D-3
5. Outcomes .................................................................................................................. D-4
C. Initial Planning Meeting ................................................................................................. D-4
1. Length ....................................................................................................................... D-4
2. Location .................................................................................................................... D-4
3. Discussion Points ...................................................................................................... D-4
4. Tools ......................................................................................................................... D-5
5. Outcomes .................................................................................................................. D-5
D. Mid-Term Planning Meeting .......................................................................................... D-6
1. Length ....................................................................................................................... D-6
2. Location .................................................................................................................... D-6
3. Discussion Points ...................................................................................................... D-6
4. Tools ......................................................................................................................... D-7
5. Outcomes .................................................................................................................. D-7
E. Master Scenario Events List Planning Meeting .............................................................. D-7
1. Length ....................................................................................................................... D-7
2. Location .................................................................................................................... D-7
3. Discussion Points ...................................................................................................... D-7
4. Tools ......................................................................................................................... D-8
5. Outcomes .................................................................................................................. D-8
F. Final Planning Meeting ................................................................................................... D-8
1. Length ....................................................................................................................... D-8
2. Location .................................................................................................................... D-8
3. Discussion Points ...................................................................................................... D-8
4. Tools ......................................................................................................................... D-8
COMDTINST M3010.13C
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5. Outcomes .................................................................................................................. D-8
Appendix E. Master Exercise Checklist ................................................................................ E-1
Appendix F. Glossary .............................................................................................................. F-1
Appendix G. Acronym List ..................................................................................................... G-1
COMDTINST M3010.13C
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LIST OF FIGURES
Figure 1-1: Manual Differences from HSEEP ............................................................................ 1-1
Figure 1-2: Preparedness and Exercise Cycle ............................................................................. 1-3
Figure 3-1: Coast Guard's Preparedness Program ...................................................................... 3-1
Figure 4-1: MTEP Sequential Process ........................................................................................ 4-2
Figure 4-2: MTEP Review and Synchronization Process........................................................... 4-3
Figure 4-3: SOPP and MTEP Process Relationships (months may vary) .................................. 4-5
Figure 4-4: Poorly Written COEs ............................................................................................... 4-7
Figure 5-1: HSEEP Exercise Cycle ............................................................................................ 5-2
Figure 5-2: Design & Development Phase ................................................................................. 5-3
Figure 5-3: Exercise Planning Team Organization for Multiple Operational Periods ............. 5-10
Figure 5-4: SMART Example ................................................................................................... 5-11
Figure 5-5: Exercise Participant Badges ................................................................................... 5-21
Figure 5-6: Conduct Phase ........................................................................................................ 5-34
Figure 5-8: Exercise Evaluation Process .................................................................................. 5-40
Figure 5-7: Evaluation & Improvement Planning Phases ......................................................... 5-40
Figure 5-9: AAR/IP Process ..................................................................................................... 5-46
Figure 5-10: Continual Improvement Process .......................................................................... 5-48
COMDTINST M3010.13C
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LIST OF TABLES
Table 1-1: Crosswalk between HSEEP and the Coast Guard Contingency Exercise Program .. 1-2
Table 3-1: Coast Guard's Contingency Program Offices ............................................................ 3-6
Table 4-1: Exercise Program Management Components and Key Elements ............................. 4-1
Table 5-1: Exercise Types .......................................................................................................... 5-1
Table 5-2: Exercise Roles ........................................................................................................... 5-6
Table 5-3: Exercise Planning Timeline for a large FSE ............................................................. 5-7
Table 5-4: Transition of Exercise Planning Team Members ...................................................... 5-8
Table 5-5: Exercise Documents ................................................................................................ 5-16
Table 5-6: Participant Responsibilities and Documents ........................................................... 5-20
Table 5-7: Exercise Evaluation Documentation ....................................................................... 5-32
Table 5-8: AAR/IP Process Timeline ....................................................................................... 5-47
Table 6-1: Example Professional Development Courses............................................................ 6-4
Table D-2: Timelines for Exercise Planning Meetings............................................................... D-1
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COMDTINST M3010.13C
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CHAPTER 1. INTRODUCTION TO COAST GUARD CONTINGENCY EXERCISES
A. Purpose of Manual. This Manual provides policy, guidance, and doctrine for the Coast
Guard Contingency Exercise Program. It is designed to assist Coast Guard commands in
managing an effective exercise program to improve preparedness. It aligns the Coast Guard
exercise program with the Homeland Security Exercise and Evaluation Program (HSEEP)
(see Figure 1-1 and Table 1-1), as required by Presidential Policy Directive-8 (PPD-8) and
the National Exercise Program (NEP).
1. Presidential Policy Directive-8 (PPD-8). PPD-8, Reference (a), strengthens the security
and resilience of the United States through systematic preparation for the threats that pose
the greatest risk to the security of the nation, including acts of terrorism, cyber-attacks,
pandemics, and catastrophic man-made and natural disasters. To accomplish this, PPD-8
directs executive departments and agencies with roles in the national planning
frameworks (e.g. National Prevention Framework, National Protection Framework,
National Mitigation Framework, National Response Framework, and the National
Disaster Recovery Framework) to develop department-level operational plans to support
the interagency operational plans, as needed. The Coast Guard satisfies the requirement
of incorporating the PPD-8 mission areas of Prevention, Protection, Mitigation,
Response, and Recovery into Area / District All Hazards Concept Plans (CONPLANs),
which serve as the all threats– all hazards preparedness backbone for all other Coast
Guard contingency plans. There are various operational plans in support of the national
frameworks that require regular exercises.
2. National Exercise Program Alignment. The National Exercise Program is the Nation’s
overarching exercise program. It was mandated by the National Security
Council/Homeland Security Council
(NSC/HSC) and developed by the Federal
Emergency Management Agency (FEMA)
National Exercise Division (NED). FEMA
manages the National Exercise Program and
created the Homeland Security Exercise and
Evaluation Program (HSEEP), Reference (b), to
standardize exercise procedures and
terminology. HSEEP provides general
guidance and best practices for exercise
program management and individual exercise
methodology. The National Exercise Program
requires that all federal Departments and
Agencies use HSEEP to ensure the U.S.
Government (USG) has a single,
comprehensive exercise plan. The Coast Guard has adopted HSEEP as the standardized
policy and methodology for exercises.
The following activities are key to achieve a national standard for all exercises:
a. Conduct Training and Exercise Plan Workshops (TEPWs) and develop, maintain, and
update a Multi-year Training and Exercise Plan (MTEP).
There are occasional differences between
the use of HSEEP and this Manual, e.g.,
capability-based planning and certain
exercise evaluation criteria. When these
differences occur, the guidance in this
Manual should be followed, since it is
specifically tailored for use by Coast
Guard personnel to ensure the Coast
Guard’s exercise program complies with
federal statutory requirements and
mission mandates which obligates
adherence by the Coast Guard.
Figure 1-1: Manual Differences from
HSEEP
COMDTINST M3010.13C
1-2
b. Plan and conduct exercises in accordance with HSEEP.
c. Develop and submit an After Action Report/Improvement Plan (AAR/IP) for all
exercises in accordance with reference (c). The Remedial Action Management
Program (RAMP) within the Contingency Preparedness System (CPS) serves as the
IP for the Coast Guard, but specific exercises may benefit from a separate local IP to
track stakeholder completion of identified improvement items.
d. Track and implement remedial actions identified in the AAR/IP.
Table 1-1: Crosswalk between HSEEP and the Coast Guard Contingency Exercise Program
THE EIGHT KEY STEPS OF EXERCISE DESIGN AND DEVELOPMENT
HSEEP (2013) COAST GUARD CONTINGENCY EXERCISE PROGRAM
Setting the exercise
foundation by reviewing
elected and appointed
officials’ guidance, the Multi-
year Training and Exercise
Plan (TEP), and other factors.
Coast Guard exercise foundation is the MTEP process. Coast Guard units will
enter all exercises into CPS. It is understood some exercises entered for future
calendar years are an estimate. These Concept of Exercises will also include
spend plans and any exercise support required for planning /executing the
exercise.
Selecting participants for an
exercise planning team and
developing an exercise
planning timeline with
milestones.
Per the HSEEP exercise timeline units will begin to formulate their exercise
planning team and will develop the appropriate timeline and changes will be
updated in CPS.
Developing exercise-specific
objectives and identifying core
capabilities based on the
guidance of elected and
appointed officials.
All specifics exercise objectives, core capabilities, and guidance from program
managers will be captured in CPS.
Example: During initial exercise planning activities for an Area Exercise, units
are required to coordinate wih interagency state/local government officials to
ensure exercise objectives are inclusive and support all participating agencies.
Exercise the whole plan in a quadrennial cycle. CPS should capture which parts
of the plan or PREP Components that will be exercised.
Identifying evaluation
requirements.
The Exercise Planning Team will discuss their evaluation criteria during the
design and development of the exercise.
Developing the exercise
scenario.
The Exercise Planning Team will develop a specific scenario and will enter all
of the exercise information into CPS.
Creating documentation.
The Exercise Planning Team will create the documentation appropriate for the
exercise type. Concepts of Exercise, After Action Reports, exercise budget and
expenditure reports (when required) are entered into CPS. Additional documents
that may be pertinent to the AAR can be uploaded into CPS with the AAR.
Coordinating logistics.
Exercise Planning Team along with the Logistics Department/Support Staff will
work together to identify what is needed to execute the exercise. A tabletop
exercise will require less logistical assistance than a Full Scale Exercise.
Planning for exercise control
and evaluation.
The Exercise Planning Team will need to identify controllers and evaluators
(C/E) for the exercise. Typically, evaluators would be subject matter experts on
the particular plan or contingency that is being tested.
At the conclusion of the exercise the unit is required to complete an After
Action Report in CPS and report any Remedial Action Issues identified during
the Exercise Hotwash, C/E Debrief or through participant feedback.
COMDTINST M3010.13C
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B. Goal. The goal of the exercise program is to improve the Coast Guard’s ability to conduct
effective contingency operations.
C. Contingency Exercise. A contingency exercise is a simulated emergency in which players
discuss or carry out actions, functions, and responsibilities that would be expected of them in
a real emergency. An exercise is the discussion or employment of personnel and resources in
a controlled environment to evaluate, test, validate, and/or improve a specific plan or
capability in pursuit of stated objectives.
D. Purpose of Exercises. The overarching objective of all exercises is to validate and improve
plans and procedures. Exercises improve preparedness through:
1. Validation. Validating plans, policies, doctrine, procedures and the ability to conduct
contingency operations.
2. Relationships. Building, clarifying, and strengthening relationships with partners and
stakeholders prior to an actual threat or response.
3. Readiness. Assessing preparedness/readiness with an emphasis on identifying shortfalls
and closing gaps.
4. Resourcing. Refining plans, identifying available resources and capabilities, conducting
training, and evaluating training plans.
5. Training. Providing familiarization and on-the-job
training for players in their roles and responsibilities
for conducting contingency operations.
6. Familiarization. Familiarizing players with National
Incident Management System/Incident Command
System (NIMS/ICS) terminology and processes.
E. Relationship Between the Exercise Cycle and the
Preparedness Cycle. Figure 1-2 depicts the relationship
between the Contingency Exercise Project Management
Cycle and the Preparedness Cycle. The Exercise phase of
the Preparedness Cycle includes all the steps of the
Contingency Exercise Project Management Cycle. The
Exercise Cycle starts with Design / Development and
completes with the Improvement Planning (AAR/IP)
phase. The AAR/IP provides input to the
Evaluate/Improve phase of the Preparedness Cycle. Each
year, hundreds of exercises are conducted, evaluated, and
AAR/IPs submitted. At the Commandant level, these
AAR/IPs are grouped by contingency for program manager analysis. The analysis of
exercise AAR/IPs is one input into the Evaluate/Improve phase of the Preparedness Cycle.
To gain the most from the Contingency Exercise Program, the Preparedness Cycle phases
should be completed and issues resolved before they are exercised again.
F. Managing the Exercise and Preparedness Cycles. The Contingency Preparedness System
(CPS) is the Coast Guard’s primary application to manage the Preparedness Cycle and
Exercise Cycle. CPS is accessible to users throughout the Coast Guard via the CG-Portal.
Figure 1-2: Preparedness and
Exercise Cycle
COMDTINST M3010.13C
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CPS provides an efficient means of entering, integrating, managing, and monitoring
Contingency Plans, Concepts of Exercise (COE), spend plans, and AARs, from real-world
and planned events, incidents, and exercises.
CPS is comprised of four distinct but connected modules:
1. Plans. The PLANS module contains the unit’s various contingency plans.
2. Concept of Exercise (COE). The COE module links COEs to the plan(s) intended to be
exercised. COEs are primarily used as a tool for scheduling, requesting support, basic
exercise design (objectives/goals), and budgeting.
3. Coast Guard Standard After Action Information and Lessons Learned System (CG-
SAILS). The CG-SAILS is the Coast Guard’s AAR/IP builder, which links back to the
COE and PLANS modules. CG-SAILS can also be used to capture after action
information from a real-world and planned events without a COE.
4. Remedial Action Management Program (RAMP). The RAMP is the Coast Guard’s
corrective action system, which is linked back to the other three modules. RAMP
functions include identifying, analyzing, validating, assigning responsibility for, and
monitoring the remediation of issues and problems resulting from operations, exercises,
or training events.
Units are required to enter all exercises into CPS. This includes Coast Guard sponsored
exercises, and any non-Coast Guard sponsored exercise with participation by Coast Guard
personnel (e.g., DOD’s BOLD ALLIGATOR exercise series).
COMDTINST M3010.13C
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CHAPTER 2. CONTINGENCY EXERCISE REQUIREMENTS
A. Overview. This chapter summarizes the sources of contingency exercise requirements.
These requirements are set by internal Coast Guard Program Sponsors (i.e., Headquarters
program offices) and interagency (Executive, Legislative, and Department) mandates. For a
more detailed list of exercise requirements, see Appendix A.
B. Internal. Each Contingency Sponsor establishes exercise requirements for their contingency.
Required contingency plans are listed in Contingency Preparedness Planning Manual,
Volume I: Contingency Planning Policy, COMDTINST M3010.11 (series), Reference (d),
along with a list of contingencies that should be minimally included in Area / District All
Hazards Concept Plans (CONPLANs). The required frequency and type of exercises varies
with each contingency (see Appendix A). Each operational level (Areas, Districts, Sectors,
and Units) may establish additional planning and exercise requirements to address their
specific preparedness needs and risks.
C. Federal Interagency. As directed by the Secretary of Homeland Security through references
(e) and (f) and in close collaboration with the National Security Staff and National Advisory
Council, federal agency participation in the National Exercise Program is encouraged for all
threats and all hazards contingencies. Congress mandates that the Coast Guard manages
contingency programs with exercises for oil and hazardous material and maritime security.
As an agency under the Department of Homeland Security (DHS), the Coast Guard
participates in Homeland Security operations and supports the National Response Framework
(NRF), which requires regular all threats and all hazards exercises. The Coast Guard as a
military service has traditionally participated in some Homeland Defense exercises sponsored
by the Department of Defense (DOD).
D. DHS National Exercise Program (NEP). The Coast Guard participates in the DHS National
Exercise Program (reference (g)). The NEP is a two-year progressive cycle of exercises
ending in a CAPSTONE national level exercise. The Federal Emergency Management
Agency (FEMA) leverages selected exercises already being conducted throughout the nation,
as tracked in FEMA’s National Exercise Schedule (NEXS), to assess national preparedness.
Coast Guard units that would like to nominate an exercise for incorporation into the NEP
should submit a recommendation through the chain of command to Commandant (CG-CPE).
Commandant (CG-CPE) also reviews COE entries for potential nominations and coordinates
with the respective Area.
E. Closed Point of Dispensing. Executive Order (E.O.) 13527 (reference (h)) directs the federal
government to develop the capacity to rapidly distribute Medical Countermeasures (MCMs)
following a biological attack. MCMs include antibiotics, antivirals, or vaccines that may be
used in the event of a pandemic or bioterrorism event. In the case of a biological event (such
as Anthrax or a Pandemic) DHS policy identifies Points of Dispensing (PODs) as the method
for DHS components to distribute MCMs to DHS personnel, mission critical contractors, and
others necessary to ensure mission essential functions. Closed PODs (CPODs) will be used
to dispense Coast Guard MCMs to a restricted Coast Guard client base (as opposed to open
PODs, which are available to the general public). This client base is generally limited to
active duty members, civilian employees, reservists, military dependants and critical
contractors. Within the Coast Guard CPOD sites are established by Memoranda of
Understanding (MOU) with local public health agencies. In 2014, the DHS Pandemic
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Workforce Protection Plan (PWPP) directed 100% of DHS and component CPOD locations
with signed MOUs to be exercised each calendar year.
F. National Preparedness for Response Exercise Program (PREP). PREP was established to
meet the exercise requirements of the Oil Pollution Act of 1990 (reference (i)). PREP is a
unified Federal effort that focuses on preparedness for prevention, response, and recovery. It
satisfies the oil and hazardous material exercise requirements of the Coast Guard,
Environmental Protection Agency (EPA), Department of Transportation Office of Pipeline
and Hazardous Materials Safety Administration (DOT PHMSA) and the Department of
Interior (DOI) Bureau of Safety and Environmental Enforcement (BSEE). The PREP
guidelines (reference (j)) were jointly developed by these agencies, with industry input.
G. Area Maritime Security Training and Exercise Program (AMSTEP). AMSTEP was
established to meet the exercise requirements of the Maritime Transportation Security Act of
2002 (reference (k)), as codified in 33 Code of Federal Regulation (CFR) 103 and the Safe
Port Act. It supports the Port, Waterways, Coastal Security (PWCS) mission and its full
spectrum of prevention, protection, response, and recovery efforts. AMSTEP focuses on
preparedness for community-based, anti-terrorism measures covered by Area Maritime
Security (AMS) Plans. AMSTEP standards are published in Navigation and Vessel
Inspection Circular (NVIC) 09-02 (series) (reference (l)), which includes guidance for
conducting multiple-objective exercises in conjunction with other contingencies.
H. Continuity of Operations (COOP). Federal Continuity Directives (FCD) 1 and 2 (references
(e) and (f)), are the source of COOP requirements to establish and maintain a comprehensive
and effective national continuity capability to ensure resilience and the preservation of our
form of Government under the Constitution and the continuing performance of National
Essential functions under all conditions. FCD 1 provides guidance for Federal agencies to
identify and carry out their Primary Mission Essential Functions. Effective continuity
planning and programs enhance the resilience of organizations and facilitate the performance
of essential functions during all-hazards emergencies or other situations that may disrupt
normal operations. Coast Guard policy for COOP exercises is provided in Continuity of
Operations, Policy and Planning, COMDTINST M3010.15 (series) (FOUO) (reference (m)).
I. DOD Sponsored. The Coast Guard has a unique relationship with the DOD, the U.S. Navy
(USN), and Combatant Commanders (CCDRs). Through a series of DOD-DHS Memoranda
of Agreement (MOAs), DHS and DOD have recognized that certain Coast Guard assets are
appropriate for use by the CCDRs for certain defense roles missions, and functions in support
of the National Military Strategy; established that the Coast Guard Area Commanders are the
supported commanders for Maritime Homeland Security (MHS) and CDRUSNORTHCOM
and CDRUSPACOM are the supported commanders for Maritime Homeland Defense
(MHD); and established mechanisms enabling the rapid transfer of forces between DOD and
the Coast Guard to support MHS or MHD mission execution. These command relationships
and mechanisms are periodically exercised by the Coast Guard and the DOD. Additionally,
Area Commanders have MOAs/MOUs with the USN Numbered Fleets that may require
exercises. This Manual does not address all Coast Guard involvement with DOD exercises,
especially those which are operational training events, rather than contingency exercises.
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CHAPTER 3. COAST GUARD EXERCISE PROGRAM ROLES AND
RESPONSIBILITIES
A. Coast Guard Preparedness. Preparedness is often referred to as a cycle with many phases
that are linked to one another. The Coast
Guard’s Contingency Exercise Program
provides a system to identify, analyze,
and monitor improvements to Coast
Guard preparedness. The Contingency
Exercise Program is a key component of
the Coast Guard’s Preparedness
Program.
Responsibilities and functions of the
Coast Guard Preparedness Program are
depicted in the outer ring of Figure 3-1.
The five phases shown in the inner ring
of Figure 3-1 are consistent with the
National Planning Frameworks. Using
this common preparedness approach
improves the Coast Guard’s ability to
synchronize with Other Government
Agencies (OGAs) and private sector
capabilities to manage the Coast Guard’s
Contingency Exercise Program.
B. Contingency Exercise Roles and Responsibilities. Preparedness is an enterprise-wide effort
at all levels of the Coast Guard. Each echelon within the Coast Guard is responsible for the
development and maintenance of specific contingency exercises listed in Appendix A. The
overarching program manager for the Coast Guard’s Contingency Exercise Program is the
Assistant Commandant for Response Policy (CG-5R).
1. Commandant’s Leadership Council. The Commandant’s Leadership Council establishes
Coast Guard strategic preparedness priorities.
2. Deputy Commandant for Operations (DCO). CG-DCO provides response policy for all
levels of the Coast Guard. CG-DCO is charged with the development of, and overseeing
the execution of, operational planning, policy, and international engagement at the
strategic level. Additionally, CG-DCO and subordinate headquarters offices establish
and maintain relations with interagency partners and maritime stakeholders to support
policy development and implementation.
3. Director of Incident Management and Preparedness Policy (CG-5RI). As Director of
Incident Management and Preparedness Policy, Commandant (CG-5RI) will, with input
from the Office of Contingency Preparedness and Exercise Policy (CG-CPE) and Coast
Guard Contingency Mission Program Offices / Contingency Exercise Sponsors, oversee
the Coast Guard’s Contingency Exercise Program.
4. Coast Guard Office of Contingency Preparedness and Exercise Policy, Commandant
(CG-CPE). Commandant (CG- CPE) serves as the Program Office directly responsible
Figure 3-1: Coast Guard's Preparedness Program
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for the development of contingency exercise service-wide policy. Furthermore,
Commandant (CG-CPE) manages national level exercises, exercise related training, and
the Coast Guard AAR/IP Program. Commandant (CG-CPE) must:
a. Develop and maintain this Manual.
b. Oversee the Multi-year Training and Exercise Plan (MTEP) process:
(1) Host the annual Training and Exercise Plan Workshop (TEPW) and publish the
CG-MTEP; and
(2) Coordinate a review of Area MTEP exercise schedules by Commandant
Contingency Exercise Sponsors.
c. Provide strategic contingency exercise priorities for inclusion in the Strategic
Planning Direction and MTEP guidance.
d. Ensure continued program alignment with the NEP, HSEEP, PREP, AMSTEP, DOD,
and other Coast Guard Contingency programs as appropriate:
(1) Negotiate Coast Guard participation in National Level exercises with the
National Exercise Division; and
(2) Recommend exercises for inclusion to the NEP to the National Exercise
Division.
e. Establish preparedness program training requirements in coordination with the Office
of Marine Environmental Response Policy (CG-MER).
f. Sponsor the All Contingency Preparedness Summit.
g. Develop a Coast Guard-wide contingency exercise program management budget:
(1) Manage and disburse funding for exercises, exercise specific training, and
exercise program management; and
(2) Monitor exercise spending.
h. Provide direction on, and administer, the Coast Guard After Action Program and the
processes for gathering contingency event and exercise after action reports,
cataloging lessons learned, and pursuing remedial actions to improve contingency
preparedness.
i. Serve as the manager for the design, development, training and maintenance of CPS:
(1) Coordinate and manage the Coast Guard After Action Program;
(2) Coordinate with applicable Contingency Exercise Sponsors to review AAR
submissions;
(3) Manage the issues requiring corrective actions through the Remedial Action
Management Program (RAMP); and
(4) Assign Remedial Action Issues (RAIs) from exercise and real-world AAR/IPs.
j. Coordinate the sharing of exercise AAR/IPs across Coast Guard organizational levels:
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(1) Facilitate and oversee as appropriate the transfer of AARs to DOD, DHS, and
other agencies, when necessary; and
(2) Submit pertinent portions of the published AAR for wider distribution.
k. Act as the Coast Guard AAR liaison to DHS, FEMA, and other federal entities.
l. Continue development and modifications of CG exercise management tools.
m. Provide exercise project management for Coast Guard participation in NEP.
5. Areas. Areas are expected to coordinate schedules with regional partners and CCDRs.
Areas are designated as the Principal Planning Agent for CCDR contingency planning
and exercise coordination. Areas shall:
a. Augment exercise guidance provided in MTEP guidance and Strategic Planning
Direction by promulgating the Operational Planning Direction to Districts.
b. MTEP specific responsibilities:
(1) Host an annual internal TEPWs with Districts;
(2) Participate in national and regional-level TEPWs; and
(3) Review and approve MTEPs for each District and submit Area MTEP to
Commandant (CG-CPE).
c. Review and approve requests for exercises that fall outside of the MTEP Cycle, after
notifying Commandant (CG-CPE).
d. Participate in the DOD semi-annual Worldwide Joint Training and Scheduling
Conference.
e. Ensure all of their subordinate units are capturing all exercises (sponsored or
participated in) in CPS.
f. Ensure quality of COEs which are primarily used as a tool for scheduling, requesting
support, basic exercise design (objectives/goals), and budgeting.
g. Maintain all required information that will assist Program Managers during the
MTEP Process.
h. For the National Exercise Program:
(1) Participate in Coast Guard Exercise Planning Team (EPT) to represent the
interest of the operational commander;
(2) Provide input on strategic and policy objectives through Commandant (CG-
CPE);
(3) Translate strategic objectives into operational/tactical objectives; and
(4) Act as the Venue Exercise Planning Team Leader (EPTL) for exercises.
i. Formally document Area approval of District exercise schedules, exercise support,
exercise budgets, and training requests in MTEP process.
j. Fulfill Area roles for exercises.
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k. Assign Exercise Director (ED) for Area hosted exercises.
l. Assign Coast Guard EPTL and Venue EPTL for all Area-directed exercises.
m. Assign Area assets and resources to support exercises as appropriate.
n. Provide Area support resources, e.g., communications, Coast Guard Incident
Management Assistance Team (CG-IMAT), etc., to fill priority requests.
o. Provide Deployable Specialized Forces (DSF) to support the design, development,
conduct, and evaluation of contingency exercises when requested and approved.
p. Request resource support from appropriate organizational elements.
q. Participate in national and regional level exercises.
r. Maintain list of experienced evaluators.
6. Districts. Districts provide staff to accomplish their own exercise requirements, and to
assist Sectors in exercise development, conduct, evaluation, and improvement planning.
Each District has a staff that can assist with both program and project management. Most
districts have Master Exercise Practitioners and Certified Emergency Managers. These
members are a valuable resource for contingency exercises and support. Districts shall:
a. Augment Area exercise guidance through MTEP guidance and/or District Operational
Planning Direction (OPD) to Sectors.
b. MTEP specific responsibilities:
(1) Host an annual internal workshop with Sectors;
(2) Attend state level and/or FEMA regional TEPWs;
(3) Coordinate exercise schedule with international and regional partners and
domestic stakeholders;
(4) Assist Sectors in preparation of their Contingency Preparedness Assessments
(CPA) and Command Exercise and Training Strategies (CETS);
(5) Review Sector CPAs and CETSs;
(6) Assist Sectors in selecting the most appropriate type of exercises to support
CPA results;
(7) Ensure their subordinate units are entering all exercises into CPS; and
(8) Ensure quality of COEs which are primarily used as a tool for scheduling,
requesting support, basic exercise design (objectives/goals), and budgeting.
c. Formally document District approval of Sector exercise schedules, exercise support,
exercise budgets, and training requests in MTEP process.
d. Provide District resources to support Sector exercises.
e. Coordinate intra-District Sector resources to support Sector exercises.
f. Fulfill District roles for exercises.
g. Assign EPTL or Venue EPTL for District directed exercises.
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h. Approve AAR/IP for District-led exercises.
i. Coordinate delivery of exercise preparatory ICS courses to units as approved in the
MTEP.
j. Designate assignments for all non-District resources.
k. Maintain list of experienced evaluators.
7. Sectors and Commands with Contingency Plans. Sectors, Marine Safety Units (MSUs)
with Captain of the Port (COTP) authority and other plan holders shall:
a. Ensure their unit has entered all exercises into CPS. Units who sponsor or participate
in an exercise are required to enter a COE into CPS. Units are also required to
conduct an AAR after a Type I or Type II real-world event in their AOR. While an
AAR is not required for a Type III event, units are highly encouraged to enter an
AAR for information sharing purposes.
b. Develop and maintain stakeholder lists and face-to-face relationships.
c. Attend or host port level TEPWs for units and stakeholders.
d. Attend state level TEPWs.
e. For local exercises:
(1) Serve as the Exercise Director; and
(2) Assign the EPTL or Venue EPTL for all Sector directed contingency plan
exercises.
f. Designate assignments for all non-Sector/MSU resources.
8. Exercise Sponsors. Exercise Sponsors provide direction, much like an agency executive.
Additionally, they serve as the Contingency Exercise Sponsors for the Coast Guard’s
Contingency Exercise Program. Contingency Exercise Sponsors shall:
a. Update contingency policy and organizational doctrine.
b. Propose contingency exercise and training requirements to Commandant (CG-CPE).
c. Notify Commandant (CG-CPE) of any new international/interagency agreements to
conduct joint exercises.
d. Develop Resource Proposals (RPs) to improve preparedness and to meet the strategic
intent and Congressional initiatives.
e. Coordinate with Commandant (CG-CPE) to provide contingency exercise priorities
for inclusion in the Strategic Planning Direction and MTEP planning guidance.
f. Ensure the exercise schedule proposed through the MTEP meets policy and
legislative requirements.
g. Review AARs and take action on issues related to policy and resources.
h. Coordinate and work with Commands/Units and other programs, as necessary, to
resolve any open RAIs requiring their subject matter expertise and attention.
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9. Coast Guard Program Offices. It is important to understand that the Coast Guard
Preparedness Program depicted in Figure 3-1 crosses multiple missions with
responsibilities residing in several Commandant Program Offices within CG-DCO and
the Deputy Commandant for Mission Support (DCMS). The Coast Guard Program
Offices provide resources and mission area training to increase contingency capabilities.
Program Offices are responsible for taking actions to improve their program’s
preparedness. Furthermore, these Program Offices share responsibility for contingency
preparedness with the operational commanders. Program Offices are also typically the
Exercise Sponsor.
Table 3-1: Coast Guard's Contingency Program Offices
CONTINGENCY OR PROGRAM PROGRAM OFFICE
Chemical, Biological, Radiological, or Nuclear (CBRN) Attack Commandants (CG-ODO), (CG-MER)
Civil Disturbance Commandant (CG-MLE)
Communicable Disease Commandant (CG-CPE)
Short Notice Maritime Response Commandant (CG-ODO)
Cyber Incident Response Commandant (CG-2), Commandant (CG-
FAC), Cyber Command
Foreign Humanitarian Assistance/Disaster Response Commandants (CG-DCO-I), (CG-ODO), (CG-
CPE)
Homeland Defense Commandant (CG-ODO)
Marine Transportation System Disruption Commandant (CG-FAC)
Mass Migration Commandant (CG-MLE)
Mass Rescue Operations Commandant (CG-SAR)
Military Outload (MOL) Commandant (CG-MSR)
Natural/Manmade Disaster Commandant (CG-CPE)
Oil and Hazardous Substances Commandant (CG-MER)
Combatant Commander Support Commandant (CG-ODO)
Ports, Waterways, and Coastal Security (PWCS) Anti-
Terrorism Commandant (CG-MSR)
Continuity of Operations (COOP) Commandant (CG-CPE)
a. The Office of Contingency Preparedness and Exercise Policy (CG-CPE).
Commandant (CG-CPE) oversees the overall Coast Guard contingency exercise
program and the Communicable Disease and Natural/Manmade Disaster programs.
Communicable Disease and Natural/Manmade Disaster are two of the 14
contingencies that fall under the annual CONPLAN exercise requirement. Exercises
for both programs would fit well as standalone Coast Guard exercises, but the
exercise requirement could easily be met through incorporating unit exercise
objectives into a broader interagency exercise that contribute to community and
national preparedness as per reference (a). The contingency exercised and the
exercise type and scope should be dependent on the risk posed by that contingency,
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the length of time since that contingency has been exercised and the requirement to
validate those appendices of the CONPLAN.
b. The Office of Maritime Security Response Policy (CG-MSR). All Commanders of
Units with COTP authority that have Commander, Military Surface Deployment and
Distribution Command designated National Port Readiness Network (NPRN)
Strategic Commercial Seaports within their AOR are required to maintain a Military
Outload (MOL) Plan as an appendix to the Concept Plan (9700/9800 CONPLAN).
These plans require annual review and should be updated as needed. At a minimum,
a discussion-based exercise shall be held every 3 years. Maritime Security and
Response Operations (MSRO) Manual COMDTINST M16600.6 (series) requires
Area, District, and Commanders of Units with COTP authority to develop, maintain,
and exercise comprehensive contingency plans for PWCS Anti-Terrorism (AT)
activities at elevated MARSEC levels. The process for receiving exercise credit for
Real-World Events is outlined in Appendix B.
c. The Office of Counterterrorism and Defense Operations Policy (CG-ODO).
Commandant (CG-ODO) oversees the Short Notice Maritime, Homeland Defense
and Combatant Commander Support programs and coordinates with other programs
for the CBRN Attack and Foreign Humanitarian Assistance/Disaster Response
programs.
Coast Guard participation in DOD exercises continues to grow. It is incumbent upon
Principal Planning Agents (PPA) to ensure that Coast Guard participation in DOD
exercises is in line with Headquarters strategic objectives. PPAs should also carefully
review the cost/benefit of Coast Guard Participation in DOD sponsored exercises, to
include requests from Combatant Commander, Joint Staffs, and Service Chiefs to
ensure resources are available and exercise objectives can be met. Funding for
participation in planning meetings, as well as exercise execution, should be requested
from the requesting entity. Coast Guard exercise funding may be available as a
secondary source for DOD engagements with significant Coast Guard equities.
Districts, Sectors, and Coast Guard Liaisons should inform CG-ODO and PPA of
their intent to participate in DOD exercises.
DOD exercises requesting participation by Coast Guard Emergency Preparedness
Liaison Officers (EPLO) should be approved by the respective PPA. EPLO
participation should be included in the MTEP process with submittal of a COE into
CPS.
d. The Office of Port and Facility Compliance (CG-FAC). Commandant (CG-FAC)
oversees the AMSTEP program which includes the exercise requirements for the
MTSA of 2002 and the Safe Port Act. It supports the Ports, Waterways, Coastal
Security (PWCS) mission and its full spectrum of prevention, protection, response,
and recovery. Following release of the Coast Guard Cyber Strategy, multiple
program offices are working to incorporate cyber security and resiliency issues into
their planning documents so they can be properly exercised. While this is being
finalized, units should strive to incorporate cyber objectives into other exercise
programs where possible (including AMSTEP). Pending resource availability and
operational demands, units are strongly encouraged to be proactive in participating in
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other local exercises with a cyber nexus. While these may not be traditional Coast
Guard exercises, they provide valuable insight into cyber response capabilities.
e. The Office of Search and Rescue Policy (CG-SAR). Commandant (CG-SAR)
oversees the Mass Rescue Operations (MRO) program. Global MRO events have
highlighted key lessons learned which should be included as objectives when
designing MRO exercises. These include, but are not limited to: landing site
management, On Scene Coordinator roles and responsibilities, medical surge
operations, etc. Districts must work with their respective Passenger Vessel Safety /
MRO Specialist to indentify the greatest risk potential for an MRO (i.e., cruise ship,
passenger ferry, aircraft, etc.) and to best determine the scope and breadth of the
exercises in order to meet plausible and realistic objectives. Additionally, in support
of MRO response and preparedness goals, Districts shall also conduct and/or
participate in one discussion based (e.g. seminar, workshop, game, or tabletop) and
one operations based (e.g. drills, functional, full scale) MRO exercise over a five year
period.
f. The Office of Marine Environmental Response Policy (CG-MER). Commandant
(CG-MER) serves as the Oil and Hazardous Substance program office, coordinates
with Commandant (CG-ODO) for the CBRN Attack program, and serves as the Coast
Guard representative to the Preparedness for Response Exercise Program
Compliance, Coordination and Consistency Committee (PREP 4C).
(1) PREP 4C. The PREP was established to meet the exercise requirements of the
Oil Pollution Act of 1990. The PREP 4C was established to replace the legacy
National Scheduling Coordination Committee (NSCC) and assumes all
responsibilities of the former NSCC, but expands and formalizes its roles.
Primary roles and responsibilities of the PREP 4C include:
(a) Review incidents and exercises that have national level PREP policy and
program implications. Grant exercise credit when appropriate;
(b) Discuss emerging trends in industry's response planning, exercise
performance and preparedness, and share lessons learned as appropriate;
(c) Develop unified recommendations and best practices for exercise planning,
execution, and evaluation; agency compliance activities, and response;
(d) Create a national level common operating picture with respect to all
operations-based exercises; and
(e) Publish a common national exercise schedule for EPA and Coast Guard-led
exercises.
(2) National PREP schedule. The schedules will no longer be an annual, Coast
Guard-centric document published on the Federal Register. Commandant (CG-
CPE) and Commandant (CG-MER) will distribute the Coast Guard Area
Exercise schedule via MTEP memo. Commandant (CG-MER) will generate the
schedule from Concept of Exercises pulled from CPS. Requests to receive
PREP credit for real world events must be submitted to PREP 4C for
consideration at one of its quarterly meetings. Additionally, the PREP 4C will
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require a live briefing from the requesting unit (via web/teleconference). This
will allow the committee to engage in real time questions and answers, to more
quickly address concerns. Additional information regarding the PREP exercise
requirements are outlined in the 2016 PREP Guidelines.
g. The Office of Maritime Law Enforcement (CG-MLE). The USCG participates as one
component in a nationwide response plan for Mass Migration. This response is
coordinated and exercised using two DHS contingency operations plans: Operation
Vigilant Sentry and the DHS Southern Border and Approaches Maritime Migration
Contingency Plan. Both plans achieve DHS unity of effort in preparation for, and
execution of a response to maritime migration surge or mass migration event in the by
establishing well-coordinated and synchronized key responsibilities for DHS
Components, Task Forces, Directorates, and Offices.
h. Assistant Commandant for Intelligence (CG-2). Commandant (CG-2) oversees the
Coast Guard intelligence program, including planning, policy, programming,
budgeting, training, security, and information systems support. Commandant (CG-2)
serves as the primary interface between the Coast Guard and the Intelligence
Community. The following components within Commandant (CG-2) are responsible
for specific aspects of the USCG’s intelligence efforts: Coast Guard
Counterintelligence Service, and Coast Guard Cryptologic Group.
10. Additional Exercise Stakeholders.
a. Deputy Commandant for Mission Support (DCMS). The DCMS is the contingency
preparedness support manager. DCMS is charged with the development and
maintenance of contingency preparedness support doctrine, an All-Hazards
Contingency Support Plan (9930 Plan), and operational support TTP and training in
coordination with FORCECOM. Additionally, DCMS will direct DCMS units to
provide contingency preparedness support to operational commanders in coordination
with FORCECOM.
b. Force Readiness Command (FORCECOM). FORCECOM is tasked with enhancing
mission execution by providing clear Tactics, Techniques, and Procedures (TTP),
relevant training and quality assessments of unit preparedness, and will:
(1) Manage Coast Guard preparedness training courses;
(2) Analyze AAR/IPs for shortfalls related to doctrine and TTP; and
(3) Provide Exercise Support from Exercise Support Division (FC-ES) for the
design, development, conduct, and evaluation of contingency exercises, as
requested through the MTEP process and described in more detail below.
c. Exercise Support Division (FC-ES). This program was established to support
exercise design, conduct, evaluation, and AAR/IP preparation. An EST is typically
comprised of three members with exercise and preparedness experience.
The ESTs provide exercise subject matter expertise and development skills to assist
the EPT Leader with all phases of an exercise, see Chapter 5. During the initial
meeting, the EST Team Leader and Exercise Director and/or EPT Leader determine
exactly what support will be provided (e.g., which meetings and conferences require
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support and facilitation, which documents will be developed, how the ESTs will
support exercise control and evaluation, etc.). The EST signs an agreement with the
Exercise Director that lists the services they will provide with deadlines. It is
important that the ESTs and the EPT Leader honor this agreement. Since each EST
supports multiple exercises at the same time, they have limited capacity to perform
functions beyond those listed in the agreement. ESTs may assist with the following
specific items:
(1) Support and facilitation of:
(a) Contingency Plan Review
(b) Concept & Objectives (C&O) Meeting
(c) Initial Planning Meeting (IPM)
(d) Mid-term Planning Meeting (MPM)
(e) Master Scenario Events List (MSEL) Meeting
(f) Final Planning Meeting (FPM)
(g) Controller/Evaluator Orientation and Briefing
(h) Player Briefing
(i) Hot-Wash
(j) After Action Meeting
(2) Management of:
(a) Exercise Control Staff
(b) Exercise Simulation Cell (SimCell)
(c) Exercise Evaluation Team
(d) Very Important Personnel (VIP) and Observers
(3) Creation and dissemination of:
(a) Exercise Plan (ExPlan)
(b) Situation Manual (SitMan)
(c) Controller and Evaluator (C/E) Handbook
(d) Evaluation Plan (EvalPlan) and Exercise Evaluation Guides (EEGs)
(e) Draft AAR/IP
(4) Follow-up on:
(a) Planning meeting participant feedback
(b) Exercise program improvements
(c) Assistance with the exercise selection process during next MTEP
d. Areas. Areas, as PPAs to the CCDRs, shall ensure that Coast Guard participation in
DOD exercises is in line with Headquarters strategic objectives and should also
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carefully review the cost/benefit of all Combatant Command requests for Coast
Guard exercise participation by ensuring that there are bona fide Coast Guard
exercise objectives that can be met and that the cost of providing resources is
balanced by the benefits of participation. Areas are also the resource providers for
DSFs and therefore approve and coordinate DSF exercise participation. Specifically,
Pacific Area coordinates all Coast Guard Port Security Units (PSUs) and Ready Dive
Lockers (RDL), while Atlantic Area coordinates the National Strike Force (NSF),
Public Information Assist Team (PIAT), Coast Guard Incident Management
Assistance Team (CG-IMAT), the Maritime Security Response Team (MSRT) and
Tactical Law Enforcement Teams (TACLETs). Both Areas coordinate the Maritime
Safety and Security Teams (MSSTs) within their respective Areas. Areas may
require a formal Request for Forces submission in addition to the MTEP request to
ensure exercise needs are fully understood and matched with available resources.
e. Deployable Specialized Force (DSF).
(1) National Strike Force. Deployable elements of the NSF include three Strike
Teams, the Coast Guard Incident Management Assistance Team (CG-IMAT),
and Public Information Assist Team (PIAT), described below.
(a) Strike Teams. The Strike Teams are highly trained specialists in spill
response techniques, Incident Command System (ICS), and operations
documentation. NSF personnel are recognized experts in preparedness
and response to mitigate the effects of Chemical, Biological, Radiological
and Nuclear (CBRN) incidents, hazardous substance releases, oil
discharges, and other emergencies. The NSF supports oil and hazardous
substance response exercises at all levels.
(b) Coast Guard Incident Management Assistance Team (CG-IMAT). The
CG-IMAT provides qualified and proficient National Incident
Management System (NIMS) Type 1 and Type 2 Incident Management
Assistance Teams and individuals to assist operational commanders in
managing incidents. CG-IMAT supports exercises at all levels as ICS
coaches.
(c) Public Information Assist Team (PIAT). The PIAT is composed of
experienced public affairs specialists who coordinate interaction with the
media during major incidents or operations-based exercises. The PIAT is
an especially useful resource for Sectors without a full time Public Affairs
Officer (PAO). The PIAT supports exercises at all levels.
(2) Maritime Safety and Security Teams (MSSTs). The MSSTs specialize in
protecting harbors from terrorist attacks and other security threats. MSSTs
augment local USCG commands to safeguard the public and protect vessels and
port facilities from crime or terrorist activity and to respond if such activity
should occur. MSSTs can enforce moving and fixed security zones, conduct
high speed intercepts and boardings, respond to criminal or terrorist acts, and
supplement U.S. Armed Forces. MSSTs may be called upon to conduct
missions usually performed by TACLETs. MSSTs often support anti-
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terrorism/counter-terrorism exercises with boat forces and Maritime Law
Enforcement and Force Protection teams.
(3) Maritime Security Response Teams (MSRTs). The MSRTs are designed to
conduct a full spectrum of maritime security and law enforcement. MSRTs are
the Coast Guard’s advanced interdiction force for higher risk law enforcement
and counter-terrorism operations. The MSRTs conducts maritime threat
response unilaterally or as part of an interagency adaptive force package. The
MSRTs are capable of interdicting, boarding, verifying threats, and engaging in
offensive operations against a hostile threat. MSRT resources include tactical
aviation and boat delivery; CBRN response; precision marksmen; canine teams;
and explosive ordnance detection equipment. The MSRTs support Coast Guard
and national level and international level anti-terrorism/counter-terrorism
exercises.
(4) Port Security Units (PSUs). The PSUs are Coast Guard Reserve forces that
conduct port security and defense operations in support of Combatant
Commanders’ operations worldwide. They provide security and protection for
military and critical logistics material and handling. PSUs also provide
waterborne and limited land-based anti-terrorism and force protection for
shipping and critical port facilities. PSUs may be deployed for domestic
security or natural disaster operations. PSUs participate in Coast Guard security
and DOD exercises.
(5) Tactical Law Enforcement Teams (TACLETs). The TACLETs support of
Coast Guard and Other Government Agencies (OGA) operational commanders.
TACLETs perform counter-drug, national defense, proliferation security
initiative, and national maritime security operations. TACLETs are primarily
involved in international and DOD exercises.
(6) Regional Dive Lockers (RDL). These units conduct military diving operations
in support of PWCS, ATON, and Polar Operations missions. RDLs operate
primarily in the inland operational area and are capable of conducting SCUBA
operations, shallow water search, inspection, light repair and recovery, light
salvage, ship husbandry and providing Remotely Operated Vehicle (ROV) and
limited SONAR capability. RDLs do not conduct explosive ordnance disposal.
11. Additional Contingency Preparedness Support.
a. Incident Management Preparedness Advisor (IMPA). District IMPAs primarily serve
as the Regional Response Team Co-chair and the district representative to the FEMA
Regional Interagency Steering Committee (RISC). IMPAs are leading experts on
Coast Guard operations and connectivity under the National Contingency Plan (NCP)
and NRF. They serve as a vital link between the district and the RISC, a deployable
response resource coordinator, and technical advisor to the District Commander.
IMPAs oversee the integration of Coast Guard plans with regional intergovernmental
plans and ensure that the preparedness cycle of planning, training, exercising,
evaluating, and revising is continually implemented in order to make steady
improvements in district response capabilities.
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b. District Response Groups (DRGs). DRGs are formed to assist Federal On-Scene
Coordinators (FOSCs) with oil spill technical assistance, personnel, and equipment.
The DRG includes a District Response Advisory Team (DRAT) that consists of full-
time spill professionals who can assist the FOSC with pre-positioned equipment and
oil/hazardous materials response. Individuals from the DRG or DRAT may provide
subject matter expertise during the design and development of an exercise and/or
participate as players, controllers, or evaluators.
c. Port Security Specialist. Civilian security specialists within a Sector’s Contingency
Preparedness & Force Readiness (CPFR) or District staff coordinate Ports,
Waterways and Coastal Security (PWCS) operations and support emergency response
efforts. Their responsibilities include administration of Port Readiness Committees,
maintenance of 9700/9800 plans and unit level Military Outload (MOL) plans, and
exercise planning. Specifically, they review and maintain Area Maritime Security
Plans (AMSPs) and provide strategic and tactical port security expertise. They are
also responsible for the Maritime Security Risk Analysis Model (MSRAM), which
provides unit commanders the ability to assess the risk of attacks on maritime
infrastructure and transportation systems. While security specialists are an essential
part of the EPT for security exercises, their experience may be leveraged for any
contingency exercise.
d. Preparedness Specialist. Preparedness specialists within a Sector’s CPFR staff are
responsible for working on existing plans including the Area Contingency Plan
(ACP), Geographic Response Plan (GRP), and Salvage and Marine Firefighting
(SMFF) Plan; assisting in the coordination of the local Area Committee (AC) and
subcommittees; and the formulation and preparation of contingency and all-hazards
incident response plans.
e. Intelligence Coordination Center (ICC). The Intelligence Coordination Center (ICC)
is the USCG’s National Level Coordinator for collection, analysis, production, and
dissemination of intelligence. The ICC provides all-source, tailored, and integrated
intelligence and intelligence services to DHS, the Commandant, senior decision
makers, field commanders, the Intelligence Community, Combatant Commanders,
and other services and agencies. The ICC’s primary functions are providing global
situational awareness, strategic intelligence analysis, vessel and person screening, and
interagency intelligence collaboration. The ICC reports to Commandant (CG-2).
f. Maritime Intelligence Fusion Centers (MIFCs). MIFC LANT and MIFC PAC
provide timely, actionable intelligence to Coast Guard forces to drive mission
execution and rapidly fuse and report Coast Guard gathered intelligence to the
respective Area; as well as DHS, the Intelligence Community, DOD, and foreign
partners
g. CG CYBERCOM. The Coast Guard is responsible for defending its information and
communication systems and networks. The Coast Guard monitors its computer
networks for malicious or anomalous activity, and takes steps to mitigate the
vulnerabilities and consequences of malicious cyber activity. Coast Guard networks
are part of the DOD Information Network and are subject to compliance with DOD
information assurance policies on network security. The Coast Guard also uses
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National Security Systems, which are subject to the regulations that govern the
Intelligence Community. CG CYBERCOM staff can provide cyber related subject
matter expertise during the design and development of an exercise and/or participate
as players, controllers, or evaluators during exercise conduct.
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CHAPTER 4. CONTINGENCY EXERCISE PROGRAM MANAGEMENT
A. Contingency Exercise Program Management. Managing contingency exercises is primarily
planning and resource management. The HSEEP MTEP process provides the basic structure
for Coast Guard program management planning. In the MTEP process a multi-year training
and exercise schedule is developed to meet Coast Guard strategic priorities, meet mandated
exercise requirements, and address capability shortfalls. Financial, operational, personnel
and equipment resources are all available for exercise support through this process.
Proper program management will ensure the development of the best exercise regime for
improving preparedness. The Coast Guard MTEP is a four year rolling schedule of
contingency exercises which identifies AFC-30 funding requests, preparatory training, and
exercise support requests. The Coast Guard MTEP ensures the Coast Guard Contingency
Preparedness and Exercise Program satisfies both Congressionally-mandated and
Commandant-directed exercises and ensures exercise integration with FEMA’s NEP.
The Coast Guard’s MTEP Contingency Preparedness Assessment (CPA) / Commander’s
Exercise and Training Strategy (CETS) form enables operational commanders to accurately
assess the current state of command preparedness, set priorities, and develop a tailored
training and exercise schedule for their unit. Table 4-1 identifies the Exercise Program
Management components and key elements. The MTEP process shall be completed by
Sectors, MSUs with COTP authority, Districts, and Areas each year. Additional units may
need to participate in the MTEP process if new exercise requirements are promulgated, or if
they hold contingency plans with exercise requirements.
Table 4-1: Exercise Program Management Components and Key Elements
COMPONENT KEY ELEMENTS
Contingency Preparedness Assessment (CPA) Contingency Preparedness Assessment Checklist
Contingency Preparedness Assessment Visit
Commander’s Exercise and Training Strategy
(CETS)
Command Priorities
MTEP Planning Guidance
Exercise Requirements
Multi-year Training and Exercise Plan (MTEP) CPA
CETS
Exercise Schedule
Exercise Support
MTEP Review and Approval
MTEP Memorandum
Training and Exercise Plan Workshops (TEPW)
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Figure 4-1: MTEP Sequential Process
1. Contingency Preparedness Assessment (CPA). The CPA, the first process loop in Figure
4-1, is an internal unit appraisal designed to identify gaps in preparedness. The CPA is a
self-evaluation of command preparedness made from a standardized checklist of
measureable parameters or indicators. The checklist consists of questions about 1) risk
estimate, 2) standards of preparedness, and 3) capabilities shortfalls / best practices.
These assessments are conducted annually by Areas, Districts, Sectors and MSUs with
COTP authority. The CPA is completed by the command’s staff as part of the MTEP
process and should result in identification of standard and capability shortfalls.
a. Risk Assessment. The operational commanders should conduct a risk estimate of
contingencies by considering the probability, vulnerability, and impact of a contingency
in their Area of Responsibility (AOR). The Maritime Security Risk Assessment Model
(MSRAM), the DHS Threat and Hazard Identification Risk Assessment (THIRA) Model,
or other methods may be utilized to inform this risk assessment. The THIRA
incorporates the whole community throughout the threat assessment process and includes
the Reference (a) directed core-capabilities focus. State and local agencies are very
familiar with the THIRA model.
b. After Action Report (AAR) Review. The CPFR staff should review AAR/IPs and
RAIs to identify shortfalls that have not been corrected. Field commands are aware of
the capabilities needed to successfully execute a contingency operation and should
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specify those critical capabilities that need improvement. Capability shortfalls for normal
operations would be exacerbated by the need to execute a contingency operation. These
shortfalls would be indicated on the capabilities portion of the Contingency Preparedness
Assessment.
The CPA template with instructions, which may be refined based on field input, can be
found in Appendix C, and the latest version will be posted on the Commandant (CG-
CPE), CG Portal web site.
c. FEMA Regions, States, and Local Training and Exercise Plan Workshops (TEPWs).
TEPWs are workshops attended by potential public and private exercise participants
from a given geographic area. Participants have the opportunity to combine
exercises, participate in another entity’s exercise, or garner support for exercises they
sponsor. During TEPWs, the exercise participants present their training and exercise
requirements, proposed schedules or MTEPs, exercise objectives, and available
resources. The regional TEPWs sponsored by FEMA provide the opportunity to
coordinate efforts that may impact the command’s MTEP annual revisions (see
Figure 4-2). TEPWs are hosted annually by FEMA Regions and by most States.
These TEPWs are held throughout the year, but mostly in the fourth and first quarters
of the FY. Local level TEPWs are held less often, whenever a local entity chooses to
host one. All three levels involve stakeholders.
There should be Coast Guard representation at all TEPWs that have maritime
components on their agenda. It is important that Coast Guard commands make early
contact with agency partners to obtain TEPW schedules and initiate participation.
Prior to attending a partner’s TEPW, commands should have their updated MTEP
Figure 4-2: MTEP Review and
Synchronization Process
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schedule with exercise types and objectives they need to conduct. The responsibility
for attending is dispersed throughout the Coast Guard chain of command.
(1) Sectors. Sectors are expected to participate in local and/or State-sponsored
TEPWs. A local TEPW should include participation of maritime partners and
stakeholders. When appropriate, existing port level committee meetings should
be used to gather information for the MTEP. The local TEPW should address
all required or proposed exercises. Ideally, the Sector’s draft MTEP schedule
should be vetted through the local and State TEPWs before being sent to the
District (See Figure 4-2). However, the State TEPW schedule may not line up
with the CG-MTEP timeline. In these cases, units submit their MTEPs as
directed by the chain-of-command.
(2) Districts. Districts are expected to coordinate their MTEP schedules by
attending TEPWs hosted by the States and/or FEMA Regions. Districts should
also coordinate with international partners to ensure international exercise
requirements are included in the Coast Guard MTEP process.
(3) Areas. Areas are expected to coordinate schedules with regional partners,
CCDRs and certain International partners such as the North Pacific Coast Guard
Forum (NPCGF) and Arctic Council. Areas may also consider participating
their FEMA Region’s TEPW. Areas are designated as the Principal Planning
Agent for CCDR contingency planning and exercise coordination.
(4) Deputy Commandant for Operations (DCO). CG-DCO is expected to
coordinate schedules with the NEP, the Joint Staff, and other federal
departments/agencies.
2. Commander's Exercise and Training Strategy (CETS). Units should combine CPA
results (Risk Estimates, Standards, and Capability shortfalls) with Required Exercise and
MTEP guidance to develop an overall CETS (see Appendix C). This strategy should
ensure training and exercise goals are best incorporated into the multi-year schedule.
B. Standard Operational Planning Process (SOPP) and the MTEP Process. Contingency
operations and exercises are addressed in both the SOPP and the MTEP process. The
interactions between the MTEP process and SOPP are shown in Figure 4-3. A description of
the SOPP and its relationship with the MTEP process follows.
The SOPP, (Reference (n)), manages all resources for apportionment, allocation, and
assignment within the Coast Guard. A brief summary is included here for awareness.
Reference (n) should be consulted for more information on the SOPP process.
1. CG-DCO Planning Guidance. The SOPP cycle is initiated annually with the release of
the CG-DCO Planning Guidance in October. The Planning Guidance sets the timeline
for the various SOPP product submissions and contains preliminary operational and
contingency preparedness planning direction. It outlines strategic level policies and
priorities for two years that inform the MTEP Planning Guidance (Figure 4-3).
2. Planning Assessments. The SOPP Planning Assessments are submitted by districts,
areas, DCMS-53 and FORCECOM in the first and second quarters of the FY to inform
CG-DCO of current and future operational, support and training mission area challenges.
Each district solicits input from field commands to develop individual District Planning
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Assessments for inclusion in the Area Planning Assessment. District and Area Planning
Assessments identify operational challenges (readiness shortfalls) which may also impact
contingency preparedness and are a direct input during the development of the MTEPs.
3. Force Apportionments. The draft district and area MTEPs provide major exercises and
planned event schedules as input to the Force Apportionment workshop.
Figure 4-3: SOPP and MTEP Process Relationships (months may vary)
4. Strategic Planning Direction / Operational Planning Direction (SPD/OPD). The CG-
MTEP provides an approved schedule of contingency events and exercises. It sets annual
mission and contingency preparedness priorities, apportions resources, and provides
performance targets to the Area Commanders. The SPD guides operations and
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contingency preparedness efforts for the next two FYs. This direction is further refined
by areas and districts as Operational Planning Directions.
C. Exercise Program Resource Management. Resources are essential to successful multi-year
exercise program management. This section describes the typical resources available, how to
request them, and their suggested use. Resource considerations include: Financial
Management and Operational / Support Resources.
1. Financial Management. Commandant (CG-CPE) distributes funding based on needs
clearly articulated in CPS.
a. Fund Sources. The sources of funding for Coast Guard preparedness activities are:
(1) Oil Pollution Act of 1990 (OPA-90) funds
(2) Maritime Transportation Security Act of 2002 (MTSA) funds
(3) AREA “GAC” funds for annual Contingency Preparedness Support
(4) DOD funds for participation in DOD sponsored exercises
(5) Reserve Training funds (Allotment Fund Code (AFC)-90)
(6) Unit AFC-30 funds
b. Financial Management. Effective financial management is the responsibility of all
levels of the Coast Guard. The objective of the budget process is effective and
efficient use of preparedness funds. It is important for program managers to maintain
awareness of available resources and expected expenditures. Preliminary budget
requests should be based on input from field commands. Funding allocations shall be
based on program priorities as indicated in the annual MTEP Planning Guidance as
well as stated priorities by Sectors/Districts/Areas.
The fund sources collectively form the primary funding source for the exercise
program. Funds are prioritized, approved, and allocated based on well-documented
spend plans attached to the COEs.
Area/district funding requests for exercise program management activities are
documented in one unique COE, with an attached spend plan, titled “PROGRAM
MANAGEMENT ACTIVITIES”.
Beyond initial exercise funding allocations, commands may request additional funds
through the chain of command. Additionally, area and district program
representatives may make backlog/fallout funding available at the end of the fiscal
year.
c. Spend Plan Development. The MTEP contains COEs with spend plans, which are the
primary method of requesting financial support. A well-documented COE and spend
plan greatly enhances the likelihood of approval. Likewise, an incomplete COE or
spend plan will not fare well against submittals that clearly articulate and support
their requests.
Funding requests could include consumable items, training and training aids, travel
and per diem, and upgrades to command posts that are listed in the plan and owned
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by a government agency. Conversely, requests for funding to upgrade commercially
owned facilities will be carefully scrutinized.
Well-supported COEs with spend plans must be entered into the CPS database two
years before the scheduled start date of the exercise. COE submissions shall have
command approval.
(1) Approval. Preparedness staffs present the proposed unit’s MTEP to the
Commander and key staff in an internal meeting for their review and approval.
Internal reviews occur at all Coast Guard command levels. Many Districts and
the Areas already have an “exercise control board” which reviews and approves
the proposed MTEPs.
Each level of the chain of command shall approve their subordinate's MTEP
submissions before submitting their Multi-year Exercise and Training Plan
Memorandum to the next level of command. Districts shall review command
approved COEs, including spend plans to ensure
Sectors and MSUs (with COTP Authority)
submitted well-documented requests. If the District
does not approve the COE and spend plan, $0.00
will be entered in the “District Reviewed AFC-30”
column and will be required to comment why they
are not approving the COE. A COE shall be
entered for all units that participate in or sponsor
an exercise. Well documented COEs with detailed
spend plans assist the next level of review for
approval (see Figure 4-4). Exercises expected to be executed within two years
shall have a firm list of participants, dates, objectives, and exercise support
requests. Any changes must be reflected in CPS and the unit shall notify their
Chain of Command and any exercise support provider they requested (CG-
IMAT, EST etc.).
Commandant (CG-CPE) and Program Managers will review all submitted
COEs to ensure units are meeting exercise requirements and submitting
appropriate spend plans. Upon the conclusion of the yearly Multi-year Training
and Exercise Planning Workshop, Commandant (CG-CPE) will publish the
MTEP schedule with final approval of contingency preparedness exercises,
training, support, and funding.
(2) Funds Transfers. After receiving funds from Commandant (CG-CPE), the Area
Exercise Funds Manager reviews the spend plan and initiates funds transfer
through the chain of command. The detailed Funds Transfer Authorization
(FTA) is sent to each district for further distribution to the field units. The FTA
specifically identifies the receiving unit, the total amount earmarked for the
exercise, and the associated COE number. The linkage of funds to the COE
number helps guide the movement of support through the Coast Guard
accounting systems and facilitates communications through all levels of the
service. Additionally, an entry is made in CPS that reflects the amount
transferred to the corresponding District for a specific exercise. This entry
Poorly written COEs will
not be supported with
funding or external
support for the exercise.
Figure 4-4: Poorly
Written COEs
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provides visibility of funding to the Exercise Director, EPT Leader, and
appropriate Contingency Sponsors. A spend plan template can be found in
CPS.
(3) Expenditure Reports. Exercise expenditure reports provide Commandant (CG-
CPE) the information needed to support exercise budget model adjustments.
Units are required to attach an expenditure report for all exercises planned to be
in excess of $5,000.00.
2. Operational/Support Resources. Exercise planners must consider the need for operational
resources, including resources under the control of other Coast Guard commands, the
Coast Guard Auxiliary, and exercise participants (e.g., federal, state, local, and private
sector). This section provides an overview of operational resources commonly used in
exercises. The operational resources requested should support exercise objectives.
a. Coast Guard Resources. The EPT Leader should discuss with the Exercise Director
and Exercise Sponsor how much, if any, of the unit’s Contingency Personnel
Requirements List (CPRL) should be used for the exercise, based on exercise scope,
objectives, and funding. The CPRL contains a listing of CG personnel requirements
needed to respond to a given contingency operation or exercise scenario.
Planners should request reserve personnel as needed through the Reserve Forces
Readiness System (RFRS) staff at Sectors or Districts. If personnel from outside the
unit need to be activated, then travel funding may be required and should be
requested in the COE spend plan.
(1) Resource Request Process. Resource requests are initially made in the COE and
documented in the MTEP and should be clearly tied to specific exercise
objectives. Upon approval of the MTEP, requests are updated as needed and
reflected in the appropriate COE. Each level of the chain of command should
be given opportunity to provide input to the resource scheduling process.
Resource providers (e.g., ESTs, operational assets/teams) shall have final input
in resource allocations in the CG-MTEP, in conjunction with Commandant
(CG-CPE) and Areas.
Initial requests for Coast Guard operational assets, including Deployable
Specialized Forces (DSF), are submitted through the MTEP process.
Commands may be required to further document their final request if deemed
necessary by the capability provider, by using the Request for Forces (RFF) or
other process.
(2) Quality COE Submissions. The development and review/approval of COEs is
critical to the success of the MTEP. Discovering during the approval of an after
action report that an exercise did not fulfill the expectations of given exercise
requirement indicates poor use of limited contingency preparedness resources.
Thorough development of the COE by the unit conducting the exercise,
including well-crafted exercise objectives and an appropriate level of
anticipated play, helps avoid an exercise that falls short of expectations.
Equally important is the review of submitted COEs by District, Area, and
Headquarters MTEP-coordinating staffs, and by appropriate Headquarters
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Program Offices, to ensure exercises being placed on the MTEP are likely to
fulfill the expectations of the exercise requirement. Incomplete COEs, missing
critical information such as objectives, participants, spend plans, etc., will not
be funded / supported through the MTEP process. Further, actual planning
meeting dates should be socialized with stakeholders and entered into the COE
rather than leaving the default CPS generated dates.
b. DOD Resources. To obtain DOD assets not covered by an existing MOA or
Interagency Agreement, Area Commanders must initiate a Request for Assistance
(RFA). Commandant (CG-ODO) reviews and routes the RFA through CG-DCO to
the Joint Staff and Office of the Secretary of Defense Staff (OSD) Executive
Secretary. RFAs ultimately require a Secretary of Defense decision before DOD
assets are allocated to the Coast Guard through the DOD Global Force Management
Process.
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CHAPTER 5. EXERCISE METHODOLOGY
A. Overview. This chapter focuses on exercise project management, i.e., the methodology used
to plan, conduct and evaluate a single exercise. It is important to keep in mind that Coast
Guard contingency exercises involve participants from many different entities including
representatives of federal, state, tribal and local governments/agencies as well as non-
government organizations, private industry, and the public. In order to facilitate coordinated
planning between the Coast Guard and other exercise participants, the Homeland Security
Exercise and Evaluation Program (HSEEP) methodology for planning, conducting, and
evaluating exercises is the foundation for Coast Guard exercise policies and procedures.
B. Exercise Types. Table 5-1 describes the seven types of exercises the Coast Guard uses.
Table 5-1: Exercise Types
DISCUSSION-BASED EXERCISES
Exercise Type Exercise Description Exercise Benefits
Seminar Seminars generally orient participants to, or provide an
overview of, authorities, strategies, plans, policies,
procedures, protocols, resources, concepts, and ideas. As a
discussion-based exercise, seminars can be valuable for
entities that are developing or making major changes to
existing plans or procedures. Seminars can be similarly
helpful when attempting to gain awareness of, or assess, the
capabilities of interagency or inter-jurisdictional operations.
Provides presentation/
training of new or current
plans, resources, strategies,
concepts, procedures or
tactics.
Workshop Although similar to seminars, workshops differ in two
important aspects: participant interaction is increased, and the
focus is placed on achieving or building a product. Effective
workshops entail the broadest attendance by relevant
stakeholders. Products produced from a workshop can include
new standard operating procedures, emergency operations
plans, continuity of operations plans, and mutual aid
agreements. To be effective, workshops should focus on a
specific issue, and the desired objective, product, or goal must
be clearly defined.
Achieves a specific goal or
builds a product (e.g., plan
development or plan
refinement).
Tabletop
Exercise (TTX)
A TTX is typically held in an informal setting intended to
generate discussion of various issues regarding a hypothetical,
simulated emergency. TTXs can be used to enhance general
awareness, validate plans and procedures, rehearse concepts,
and/or assess the types of systems needed to guide the
prevention of, protection from, mitigation of, response to, and
recovery from a defined incident. Generally, TTXs are aimed
at facilitating conceptual understanding, identifying strengths
and areas for improvement, and/or achieving changes in
attitudes.
Validates plans and
procedures and provides
experience for participants by
using a scenario to drive
discussions. Good format for
discussing Command and
Control (C2) policies.
Game A game is a simulation of operations that often involves two
or more teams, usually in a competitive environment, using
rules, data, and procedures designed to depict an actual or
hypothetic situation. Games explore the consequences of
player decisions and actions and are therefore excellent tools
to use when validating or reinforcing plans and procedures or
evaluating resource requirements.
Explores decision-making
process and examines
consequences of those
decisions. Infrequently used
by the Coast Guard.
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OPERATIONS-BASED EXERCISES
Exercise Type Exercise Description Exercise Benefits
Drill A drill is a coordinated, supervised activity usually employed
to validate a specific operation or function in a single agency
or organization. Drills are commonly used to provide training
on new equipment, develop or validate new policies or
procedures, or practice and maintain current skills.
Focuses on a single operation
or function of an agency.
Maximizes on-the-job
training benefits.
Functional
Exercise (FE)
Functional exercises are designed to validate and evaluate
capabilities, multiple functions and/or sub-functions, or
interdependent groups of functions. FEs are typically focused
on exercising plans, policies, procedures, and staff members
involved in management, direction, command, and control
functions. In FEs, events are projected through an exercise
scenario with event updates that drive activity at the
management level. An FE is conducted in a realistic, real-time
environment; however, movement of personnel and
equipment is usually simulated.
Evaluates plans, functions,
capabilities and staffs of
Incident Command, Unified
Command, intelligence
centers, or other multi-agency
coordination centers. Good
format to evaluate Command,
Control, and Communication
(C3) capabilities (e.g.,
Command Centers, command
posts, etc.).
Full-Scale
Exercise (FSE)
FSEs are typically the most complex and resource-intensive
type of exercise. They involve multiple agencies,
organizations, and jurisdictions and validate many facets of
preparedness. FSEs often include many players operating
under cooperative systems such as the Incident Command
System or Unified Command.
Same as FE but with actual
deployment of field forces;
includes mobilization of
operational and support
resources, conduct of
operations, and integrated
elements of exercise play.
C. Exercise Cycle Phases. This chapter is organized according to the four phases of the HSEEP
Exercise Cycle as shown in Figure 5-1: Phase 1: Design and Development, Phase 2:
Conduct, Phase 3: Evaluation, Phase 4: Improvement Planning.
Figure 5-1: HSEEP Exercise Cycle
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1. Phase 1: Design and Development. This phase, highlighted in Figure 5-2, is where the
EPT comes together to build the exercise. EPT members are identified to schedule
planning meetings, identify and develop exercise objectives,
design the scenario, create documentation, plan exercise
conduct and evaluation, and coordinate logistics. At key
points in this process, the EPT engages elected and
appointed officials (including the Coast Guard Commanding
Officer) to ensure their intent is captured and that the
officials are prepared to support the exercise as necessary.
The eight steps of exercise design and development include:
Step 1 – Foundation. Setting the exercise foundation by
reviewing elected and appointed officials’ guidance, the
MTEP, and other factors;
Step 2 – Exercise Organization. Selecting participants for an
EPT and developing an exercise planning timeline with milestones;
Step 3 – Scope and Objectives. Developing exercise-specific objectives and identifying
core capabilities based on the guidance of elected and appointed officials;
Step 4 – Evaluation. Identify evaluation requirements.
Step 5 – Scenario. Developing the exercise scenario;
Step 6 – Exercise documents. Creating documentation;
Step 7 – Exercise logistics. Coordinating logistics; and
Step 8 – Plan for exercise control and evaluation. Planning for exercise control and
evaluation.
a. Step 1 – Foundation. Establishing a solid foundation is essential to conducting
effective exercises.
(1) Program Manager Review. Prior to the beginning of the development of the
exercise, program managers should review and consider the following items:
(a) Contingency Sponsor / Chain of Command’s intent and guidance;
(b) Create a base of support (stakeholders);
(c) Determine the plan(s) to be exercised and any known gaps with those plans;
(d) MTEP guidance;
(e) Relevant AAR/IPs from real-world events and exercises; and
(f) Risk, threat, and hazard assessments.
(2) Activities Common to all Exercises. These activities are common to all
exercises but differ in complexity with the exercise type and scope.
Responsibility for these planning activities depends on whether the Coast Guard
is sponsoring or participating in the exercise.
Figure 5-2: Design &
Development Phase
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(a) Intent and Guidance. Commands must be fully engaged in the exercise
process from the beginning by providing strategic vision for the planning
team. Without strong leadership engagement at the foundation, exercises
will not be successful.
(b) Base of Support. Establishing a base of support involves a firm
commitment from senior officials of participating entities, including elected
and appointed officials. The appropriate senior officials should be briefed at
the Concept and Objectives (C&O) Meeting to gain their support. This
provides senior officials with the opportunity to determine and outline the
level of commitment for their individual organizations.
(c) Contingency Plans form the basis for Coast Guard exercises. Exercises
should not occur unless they are testing a plan, along with the procedures
and capabilities identified in that plan.
(d) MTEP. Exercise frequency and cycle requirements, along with the
command priority shortfalls generated while developing the MTEP, help in
identifying gaps in preparedness. These gaps are used to develop exercise
objectives and identify elements of contingency plans that are to be
exercised.
(e) Review AARs. The EPT should review AARs from past exercises and real-
world events to determine if there are lessons learned that have yet to be
corrected or identify patterns in the lessons learned that would necessitate an
element be included intermittently in an exercise. This data will be used to
identify gaps in preparedness. These gaps are used to develop exercise
objectives and identify elements of contingency plans that are to be
exercised.
b. Step 2 – Exercise Organization. All exercises have an Exercise Sponsor, an Exercise
Director, and an EPT. The size and composition of the EPT depends on the
complexity and scope of the exercise. The Exercise Sponsor and Exercise Director
for various levels of Coast Guard sponsored exercises are shown in Table 5-2, but
may vary based on specific exercise needs.
(1) Exercise Sponsor. The Exercise Sponsor is the organizational element that
prescribes the policy and obtains the funding for the contingency being
exercised. The Exercise Sponsor provides direction, much like an agency
executive. In the Coast Guard, the functions of Exercise Sponsor as defined in
HSEEP are split between strategic and tactical functions. Coast Guard Program
Offices fulfill the strategic policy and objectives guidance Exercise Sponsor
role, while the Coast Guard Exercise Director fulfills the tactical Exercise
Sponsor roles. The Exercise Sponsor shall:
(a) Establish the type of exercise required to validate a contingency plan and
force capability;
(b) Assign the Exercise Director;
(c) Ensure the exercise schedule proposed through the MTEP meets Coast
Guard policy and regulatory requirements;
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(d) Ensure adequate funding and resources;
(e) Provide strategic policy guidance;
(f) Provide strategic level objectives;
(g) Provide oversight on planning, conduct, and evaluation of exercises;
(h) Provide SMEs; and
(i) Track post-exercise corrective actions.
(2) Exercise Director. The Exercise Director is the plan holder and is responsible
for conducting operations. The Exercise Director fulfills the exercise project
management responsibilities. The Exercise Director role may be shared with
other lead agencies, since the Coast Guard should pursue exercises with port
community partners. The Exercise Director shall:
(a) Provide supporting objectives that link to the strategic objectives and
Commander’s Priority Shortfalls;
(b) Solicit participation in the EPT, ensuring the team is adequately staffed and
contains the appropriate number of non-Coast Guard representatives;
(c) Assign the EPT Leader;
(d) Create the base of support with senior officials from stakeholders;
(e) Articulate the Coast Guard’s position to interagency/other agency exercise
partners
(f) Approve:
[1] Concept of Exercise (COE) and exercise spend plan
[2] Products developed by the EPT (e.g., objectives, scenario, exercise
documentation)
[3] AAR/IP
(g) Ensure exercise timelines and milestones are realistic and being met by the
EPT; and
(h) Communicate the exercise timeline and milestones to all commands and
entities in sufficient time to align support, schedule participation, and
address any planning or resource shortfalls.
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Table 5-2: Exercise Roles
LEVEL OF EXERCISE EXERCISE SPONSOR DIRECTOR
National COMDT (CG-DCO) COMDT (CG-CPE)
Combatant Commander Support COMDT (CG-ODO) Area
International Various COMDT Program Managers COMDT, Area or District
Regional Various COMDT Program Managers Area or District
State or Local Various COMDT Program Managers Sector/Unit/COTP
(3) Exercise Planning Team. The EPT is responsible for exercise planning, design,
development, conduct, control, and evaluation. Planning team members refine
the COE and create the scenario and supporting events to focus on the exercise
objectives and requirements. The team schedules and conducts exercise
planning meetings, briefings, and training sessions. The EPT develops exercise
documentation to meet exercise objectives; selects the processes used in
evaluation, control, and simulation; and develops and distributes pre-exercise
materials. The EPT is required to accomplish these requirements without
exceeding resource and budgetary constraints.
A Venue EPT is an EPT at a different command level or geographic area. For
example, an Area will be the Venue EPT Leader for a national level exercise.
In larger exercises, one or more Venue EPTs may be established to support the
EPT. The EPT coordinates with any Venue EPTs in the exercise. Venue EPTs
are responsible for exercise planning, design, development, conduct, control and
evaluation at the operational and tactical level. The Venue EPTs report to the
EPT Leader.
(a) EPT Principles. EPTs operate according to the following principles:
[1] Organized Structure. EPTs should adhere to a clear organizational
structure and span of control, with a distinct chain of command, roles
and responsibilities, and accountability to the EPT Leader. (The ICS
model is just one example).
[2] Project Management. EPTs are responsible for identification,
development, and control of critical and supporting activities. This
requires frequent communication on the project plans, status reports, and
milestones. Planners are encouraged to use tools such as assignment
checklists or project management software for all exercises. Checklists
for exercises are posted on the Commandant (CG-CPE) Coast Guard
Portal web site. These tools are especially helpful when used early in
the planning process and updated frequently.
[3] Objectives-driven. Identify and understand the desired objectives for
the exercise and the associated plan components and/or core capabilities.
The entire exercise should be designed and developed according to the
objectives chosen.
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[4] Evaluation Planning. Incorporate evaluation planning from the start of
the exercise. Proper evaluation planning will validate the exercise
objectives or alert the EPTs to needed changes early on.
[5] Subject Matter Expertise (SMEs). SMEs should be used to develop
realistic and challenging scenarios and outline expected actions.
[6] During Functional Exercise planning, SMEs play an important role in
crafting realistic injects during Master Scenario Events List (MSEL)
development. They should also be used as evaluators during the
exercise. Those who serve as evaluators are the primary personnel
responsible for developing draft comments for the AAR.
Table 5-3: Exercise Planning Timeline for a large FSE
EXERCISE PHASE TIME* (E=DATE OF
EXERCISE START) EXERCISE RELATED TASKS/EVENTS
Design and
Development
E minus 18 months Establish the Foundation
MTEP Agreements on:
Host/Exercise Director
General scenario
Type(s) of exercise
Preliminary objectives
Resource commitments
Schedule tentative dates for planning conferences
E minus 8-12 months* Assign EPT Leader
E minus 6-10 months Initial contact with Exercise Support Team (if
assigned)
Review tentative timeline
E minus 5-9 months Meeting between the EPT Leader and EST Leader
(if assigned)
Concept and Objectives (C&O) Meeting
Solicit planning team members from partners,
stakeholders, and unit
Complete Exercise Support Agreement with EST
(if assigned)
E minus 3-7 months Initial Planning Meeting (IPM)
E minus 2-4 months Mid-Term Planning Meeting (MPM)
Refine MSEL
E minus 1-3 month Final Planning Meeting (FPM)
Final Master Scenario Events List synchronization
conference (MSEL Sync)
Conduct/ Evaluation Exercise Conduct
Hotwash
Improvement Planning E plus 3 weeks After Action Meeting
E plus 8 weeks Finalized AAR/IP
* The range in planning time depends upon the scope of the exercise being conducted.
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(b) EPT Composition. The EPT should represent the full range of participating
organizations, but remain manageable in size. At a minimum, the
participating organizations should provide SMEs to draft scenario events for
their functional area. When possible, the EPT should meet in person to
facilitate interaction and the exchange of information. For a larger exercise,
the EPT should include representatives from each port community and
participating functional area (e.g., Area Committee, fire and rescue, law
enforcement, public works, public health, Citizen Corp Council, private
sector).
(c) EPT Role During an Exercise. Because planning team members are highly
involved in the exercise, they are excellent candidates to serve as exercise
facilitator, controller, or evaluator positions, as shown in Table 5-4.
Generally, the EPT Leader will oversee the EPT throughout the entire
process and become the senior controller during the exercise. The
knowledge gained by EPT members about the scenario events renders them
ineligible to participate in the exercise as players, except in cases where
resources are severely limited. Planning team members are designated as
“trusted agents” who should not release scenario-related information to
players prior to an exercise
Table 5-4: Transition of Exercise Planning Team Members
EXERCISE PLANNING TEAM POSITION EXERCISE POSITION
EPT Leader Senior Controller
Evaluation Leader Senior Evaluator
EPT Members Facilitator, Controller, Evaluator, as assigned
(d) EPT Scalability. The EPT membership should be tailored to fit the type and
scope of the exercise. The larger and more complex the exercise, the larger
the EPT. For smaller exercises, EPT members can be assigned multiple
functional responsibilities. The following are estimates of the number of
staff required to plan the different types of exercises.
[1] Discussion-Based:
[a] Seminar or Workshop. One planner should be able to plan,
facilitate, and evaluate a single objective seminar or workshop.
SME(s) will be needed to conduct/facilitate these exercises.
[b] Tabletop Exercise (TTX). For a TTX, the planning section should
have a minimum of two or three planners to conduct planning
meetings, construct the scenario, develop documents, etc. Logistics
and Administration/Finance would become collateral duties of the
Planning Team Leader, and Operations may have a facilitator for the
conduct of the exercise.
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[c] Game. A game requires one or more planners with subject matter
expertise to design simulated conditions for exercise play.
Controllers present the outcome of player actions and ensure that
play takes place within the game rules and timeframe.
[2] Operations-Based:
[a] Drill. One planner can manage preparations for a drill. SMEs will
be needed to execute and evaluate participant performances during
the drill.
[b] Functional Exercise (FE). An FE requires at least three planners
with part-time assistance from SMEs to draft realistic scenario
events for the MSEL. FEs requires the largest MSEL of any exercise
type due to the amount of simulation involved. FEs may require
full-time support for exercise logistics and part-time support for
Administration/ Financial support. An Evaluation Plan (EvalPlan)
and training for evaluators is also necessary. Planners must prepare
an ExPlan, a Controller and Evaluator (C/E) Handbook, and Exercise
Evaluation Guides (EEGs).
[c] Full Scale Exercise (FSE). An FSE may require performing all the
functions shown in Figure 5-3. Currently, most FSEs are completed
in eight hours or less due to participating entities’ time constraints.
However, some FSEs are conducted on a 24-hour/day basis over
several days. This simulates the increased stress on the operational
and support systems present in an actual contingency and, therefore,
requires more staffing.
(e) EPT Organization. The EPT Organizational Diagram in Figure 5-3 depicts
staffing organization and responsibilities or functions for a large FSE
conducted 24 hours/day for 2-5 days. A single planner may fulfill multiple
functions. The number of planners will depend on the scope and complexity
of the exercise. Figure 5-3 organization is based on ICS organizational
concepts, with section chiefs reporting to the EPT Leader. This is just an
example and planners may use any organization or division of labor which
meets their specific needs.
EPT members are assigned specific responsibilities based on the scope of
the exercise. The EPT structure (Figure 5-3) includes:
[1] EPT Leader. The EPT Leader is responsible for providing planning
team members with clearly stated roles and responsibilities, assignment
of controllers and evaluators, delivery of exercise documents to the
Exercise Director, coordinating planning team meetings, and developing
and maintaining an exercise project management timeline. The EPT
Leader shall report directly to the Exercise Director(s).
[2] Command Staff. Command Staff, including Liaison, Public Affairs
Officer (PAO), and Safety Officers report directly to the Exercise
Director(s), but in coordination with the EPT Leader.
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Figure 5-3: Exercise Planning Team Organization for Multiple Operational Periods
[3] Planning Section. The Planning Section is responsible for compiling
and developing all exercise documentation. They review exercise
objectives and the contingency plan(s) to exercised. The Planning
Section is responsible for determining the simulated actions of agencies
not participating in the exercise and planning exercise evaluation.
[4] Logistics Section. The Logistics Section provides the supplies,
materials, facilities, and services that enable the exercise to function
smoothly. It consists of two subsections: service and support. The
service section provides transportation, barricades, signage, real-life
medical capability, exercise-site perimeter security, and food and drinks
(if provided by a non-Coast Guard entity). The support section provides
communications, purchasing, general supplies, very important personnel
(VIP)/observer processing, and recruitment/management of
victims/actors. For more information on logistics, see Step 7 - Exercise
Logistics, of this chapter.
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[5] Administration/Finance Section. The Administration/Finance Section
provides fiscal management and administrative support throughout
exercise development. It is responsible for the registration process and
coordinates schedules for the planning team, the EPT Leader,
participating agencies.
[6] Operations Section. Unlike other sections, the Operations Section does
not stand-up until Start of Exercise (StartEx), with most of the Planning
Section members transitioning to Operations Section positions during
exercise conduct. The Operations Section is responsible for control,
simulation, opposition and evaluation during the conduct phase of the
exercise cycle.
c. Step 3 – Scope and Objectives. In exercise project management, contingency plans,
capabilities, and objectives are the cornerstones of design and development.
Contingency plans cover a range of information and should include the capabilities
needed to execute the plan.
(1) Scope. Defining the exercise scope involves determine the type, the duration,
and the number/types of objectives, location/sites, entities, and participants.
Alterations to the scope must be reviewed with the exercise objectives in mind;
planners must consider whether a change in scope will improve or impeded the
ability of players to meet stated objectives.
(2) Objectives. Well-defined exercise objectives provide the framework for
scenario and MSEL development as well as exercise evaluation criteria. They
provide common goals for various participating agencies and focus support on
exercise priorities. Capabilities, tasks, and objectives are identified during the
C&O Meeting. Objectives are discussed and refined during the Initial Planning
Meeting (IPM). Generally, planners should limit the number of exercise
objectives to no more than seven; three to five is ideal. The scope of each
objective should also be limited to what can be performed and properly
evaluated within the timeframe and scope of the exercise. With input from the
Exercise Director and participating entities, the EPT should refine objectives
based on capability shortfalls and recent improvements. Limiting objectives
enables timely exercise conduct and supports successful completion of exercise
goals
(3) SMART Objectives. A SMART objective example is provided in Figure 5-4.
Planners shall ensure exercise objectives are SMART:
(a) Specific – Activity-based and detailed;
(b) Measurable – Expressed in precise, fixed units or measurements such as
time, speed, capacity, quantity, or distance; or as an indisputable “yes” or
“no”;
(c) Achievable – Possible to accomplish within
the control, influence, and resources of
exercise play and participant actions; Examine the ability of Sector
Puget Sound to communicate
directly with the Area Maritime
Security Committee using the
Alert Warning System within
one hour of notification of the
incident.
Figure 5-4: SMART Example
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(d) Relevant – Instrumental to the mission of the organization and linked to
strategic intent and/or goals; and
(e) Time-bound – Assigned a specified and reasonable timeline.
(4) Core Capabilities. State and local exercise participants using grant money are
required under HSEEP to use Capability based plans, and design exercise
objectives, based on the Core Capabilities in the National Preparedness Goal, as
per reference (b). The Coast Guard uses contingency based plans, but
capabilities from these plans are still exercised. The Coast Guard has used three
terms to describe functions similar to capabilities: mission essential tasks, core
components, and plan elements. Additionally, the Coast Guard Universal Task
List (CG UTL), COMDTINST 3501.6 (series), could be used to describe
capabilities, but it has not been fully developed for Sector contingency
operations. Coast Guard planners should utilize the Core Capabilities in the
National Preparedness Goal in exercises whenever possible and supplement
those with contingency plan based objectives as required.
d. Step 4 – Identify Evaluation requirements. It is important to develop exercise
evaluation requirements early in the design process, as they will guide development
of the exercise scenarios, discussion questions, and/or MSEL. Evaluation
requirements clearly articulate what will be evaluated during the exercise and how
exercise play will be assessed. This information is documented in exercise evaluation
guides (EEGs).
As stated in the above Capability discussion, HSEEP guidance calls for EEGs to be
based on Core Capabilities further broken down into Capability Targets and Critical
Tasks. Capability Targets are the performance thresholds for each core capability;
they state the exact amount of capability that players aim to achieve. Generally, these
targets are based on targets identified as part of an organization’s THIRA or other risk
assessment. Critical tasks are the distinct elements required to perform a core
capability. Critical tasks may be derived from Mission Area frameworks,
organizational plans, or discipline-specific standards. For the Coast Guard, this
evaluation process should be used whenever possible and supplemented with
contingency plan based objectives and evaluation criteria as required by Contingency
Sponsors. Further, Coast Guard planners need to be aware that other participating
agencies will likely be evaluating their own objectives according to this method.
e. Step 5 – Scenario. A scenario is the storyline or theme that drives an exercise. It is
based on the contingency(ies) being exercised and is a sequence of events. The
scenario can be written as a narrative or depicted as a timeline.
The scenario should facilitate achievement of the exercise objectives. Scenarios
should be constructed to avoid sensitivities that may arise, such as the use of real
names of terrorist groups or sensitive venues (e.g., a school or private company). The
EPT shall develop scenario events that focus on the capabilities and tasks supporting
each objective.
A scenario should be realistic, plausible, and a challenging worst case, but not so
complicated that it overwhelms the players. A scenario consists of three basic
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elements: general context or comprehensive; conditions to meet the exercise
objectives; and technical details necessary to depict a realistic scenario.
The following factors are taken into consideration when developing a scenario: Level
of realism; Type of threat/hazard; Weather variables; and Optimal date and time for
conducting the exercise.
(1) Realism. Exercise scenarios reflect a range of probable threats that participants
face. They must be credible enough for players to suspend their inherent
disbelief in hypothetical situations. To enhance realism, the levels of risk and
white noise should be considered.
(a) Risk. The Contingency Preparedness Assessment examines the probability,
vulnerability and impact of various threats. This analysis can contribute to
scenario development. For example, if a certain area is known to be
susceptible to earthquakes, the exercise scenario could feature a quake
affecting that location. EPT members should also consider previous real-
world incidents and existing plans that have been developed.
(b) White Noise. White noise is information that does not necessarily pertain to
development of the scenario event but does occur in actual operations, (e.g.,
someone calling to complain about boating traffic). The level of detail
provided in a scenario should reflect real-world uncertainty. The use of
white noise should not detract from completing the objectives of the
exercise. The inclusion of white noise should be discussed and agreed upon
by the EPT Leader and Exercise Director
(2) Threat/Hazard. The first step in drafting a scenario is determining the type of
threat/hazard or contingency for the exercise. The EPT should choose a
threat/hazard that best validates the capabilities, tasks, and objectives on which
the exercise will focus. For example, if validating evacuation capabilities, the
EPT could use a hurricane scenario requiring the evacuation of the general
public from low lying coastal areas.
The identification of this threat/hazard scenario should be based on the entity’s
risk analysis of probability, consequence, and vulnerability. For the Coast
Guard, this process is part of the Contingency Preparedness Assessment. For
example, the threat of chemical, biological, or radiological terrorism may be
considered more probable in a densely populated, high-profile city than in a
rural area. Likewise, the threat of hurricanes is high in the southeastern United
States while earthquakes are a concern on the west coast.
(3) Weather. For FSEs, exercise planners must decide whether to use real-world
weather conditions or simulated weather conditions to prompt a certain chain of
events. Wind direction and speed are typical examples of conditions that are
simulated so that exercise play can be more easily controlled (e.g., in order to
more readily disperse a chemical). If weather elements are simulated, the
weather information should be written into the ExPlan and player briefing,
which are described in more detail in the Exercise Documentation section.
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(4) Date and Time. For all exercise scenarios, the date and time of the events affect
exercise play. Many communities have different population demographics on
weekdays, weekends, and holidays, as well as at night and during special
events. These differences may affect players’ expected actions and can be
incorporated into the scenario. For example, when a major sporting event is
held at a stadium, it may temporarily increase a community’s population and
change traffic patterns. This will in turn affect evacuation routes and/or
response times. Exercise planners may consider conducting an exercise on a
weekend or at night to test off-hour resource levels and to minimize disruption
to traffic and ongoing operations.
f. Step 6 - Exercise Documents. This section describes typical documents used during
exercises. The number of documents and level of detail depends upon the type of
exercise. Discussion-based exercises generally do not use as many types of
documents as operations-based exercises. Table 5-5 lists the types of documents, the
exercises that use that document, the primary audience, and the key features of each
document. It is important to ensure participants receive the correct documentation in
order to be prepared for their roles in the exercise. Table 5-6 summarizes exercise
participant responsibilities and associated documents. Examples of the documents
are posted on the Commandant (CG-CPE) CG Portal page,
https://cg.portal.uscg.mil/units/cgcpe/SitePages/Home.aspx.
(1) Concept of Exercise. COEs are primarily used as a tool for scheduling,
requesting support, basic exercise design (objectives/goals), and budgeting.
(2) Confirmation or Invitation Letters. A Confirmation letter from the Exercise
Director notifies all participating entities and commands of the time and place
for start of the exercise planning process. It requests confirmation of prior
commitments to participate that were previously made at Training and Exercise
Plan Workshops (TEPWs) or other venues.
An Invitation Letter notifies potential participants of the intent to hold an
exercise, probable date and probable scope. It is used to determine interest as
well as make notification of intent to proceed.
(3) Situation Manual (SitMan). A SitMan is developed for TTXs, FEs, and FSEs
and distributed to players, facilitators, evaluators, controllers, and observers.
(a) SitMan Elements. The SitMan includes:
[1] Introduction - schedule of events, exercise purpose, scope, capabilities,
tasks, and objectives
[2] Exercise assumptions and artificialities
[3] Instructions for exercise facilitators, players, and observers
[4] Exercise structure (order of the modules)
[5] StartEx scenario background
[6] Discussion questions and key issues
[7] List of participating entities
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[8] Appendices with relevant supporting information, such as:
[a] Threat-specific – information;
[b] Relevant documents, e.g., plans, Standard Operating Procedures
(SOP), etc.; and
[c] A list of reference terms
(b) SitMan Content.
[1] The SitMan’s introduction provides an overview of the exercise,
including scope, capabilities, tasks and objectives, structure, rules, and
conduct, as well as an exercise agenda. The scenario is often divided
into chronologically sequenced modules. Each module represents a
specific time segment of the overall scenario, e.g., pre-incident warning,
notification, response, or recovery, that is connected to exercise
objectives. For example, hurricane exercises typically contain pre-
landfall module, whereas terrorism scenarios offer planners the
opportunity to include a warning phase and initial response modules.
[2] Each module is followed by discussion questions, usually divided by
professional discipline (e.g., public safety, port security, emergency
management, public affairs) or function (e.g., command and control,
communications, operations, logistics, etc.). These discussion questions
can be derived from objectives contained within each EEG. Responses
to the discussion questions are the focus of the exercise and reviewing
them provides the basis for evaluating exercise results.
(4) Facilitator Guide. Facilitator Guide is designed to help facilitators manage a
discussion-based exercise. It usually outlines instructions and key issues for
discussion during the event and provides background information to help the
facilitator answer questions from participants or players. This guide may also
include an evaluation section that provides evaluation staff members with
guidance and instructions on evaluation or observation methodology to be used
as well as essential materials required to execute their specific functions
Multimedia Presentation. Video and/or audio presentations, and periodic news
updates, “paint the picture” for players, add realism and help stimulate players
during the exercise.
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Table 5-5: Exercise Documents
DOCUMENT
TITLE
EXERCISE
USAGE DISTRIBUTION KEY DOCUMENT FEATURES
Concept of
Exercise (COE)
All Exercises All Coast Guard
preparedness staff
This Coast Guard specific document is created
in CPS and supports MTEP, funding, AAR/IP.
Invitation and/or
Confirmation letter
All Exercises Entity leaders Notifies participants of need to start planning.
Requests confirmation of intent to participate
Situation Manual
(SitMan)
TTXs Players, Observers Provides background for exercise. Includes
administrative information and scenario details.
Facilitator Guide Discussion-based Facilitators Helps facilitators manage a discussion-based
exercise, outlines instructions and key issues
Multimedia
Presentation
All Exercises, as
needed
All exercise
participants
Enhances exercise realism with audio visual
depiction of scenario details.
Exercise Plan
(ExPlan)
Operations-based Players, Observers Includes general exercise information, but does
not contain scenario details. Enables players to
understand their roles and responsibilities in the
exercise.
Player Handout All Exercises, as
needed
Players, Observers Provides quick reference information to
exercise players and can supplement the
SitMan or ExPlan.
Rules of Play All Exercises All exercise
participants
The Rules of Play set limitations on exercise
play.
Master Scenario
Events List
(MSEL)
FEs and FSEs Controllers,
Evaluators,
Simulators
Lists the events and injects that drive exercise
play/ discussion. Produced in either short quick
reference, or long all-encompassing formats.
Controller and
Evaluator (C/E)
Handbook
Operations-based Controllers,
Evaluators
Supplements the ExPlan with exercise control
information and scenario details.
Extent of Play
Agreement (XPA)
FEs and FSEs EPT Can be used to define the level of play for each
participating organization.
Exercise
Evaluation Guides
(EEGs)
TTXs and
Operations-based
Evaluators,
controllers
Helps evaluators assess performance of
capabilities, tasks, and objectives during an
exercise.
Participant
Feedback Forms
All Exercises Players, Observers Provides an opportunity for feedback from
players and observers regarding lessons learned
and completion of exercise objectives.
Quick Look
Report (QLR)
All Exercises, as
needed
Chain of
Command
This Coast Guard specific document is used
when the Hotwash identifies urgent issues that
have Coast Guard-wide impact and/or require
immediate attention to correct. A template is
provided in Ref (b).
After Action
Report/
Improvement Plan
(AAR/IP)
All Exercises All exercise
participants
Identifies strengths and areas for improvement
based on evaluation of exercise objectives.
Provides recommendations for improvements.
The format for Coast Guard AAR/IPs is located
in the CPS online tutorial.
COMDTINST M3010.13C
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(5) Exercise Plan (ExPlan). The ExPlan is distributed to participants and observers
in operations-based exercises prior to StartEx. Size of the ExPlan will vary
depending on the scope and type of exercise being conducted. It provides a
brief synopsis of the exercise, addresses exercise objectives and scope, and
assigns activities and responsibilities for exercise conduct. It enables
participants to understand their roles and responsibilities in exercise planning,
conduct, and evaluation. The ExPlan does not contain detailed scenario
information. ExPlan elements include:
(a) Administrative handling instructions/security designation
(b) Purpose, scope, objectives, and capabilities
(c) EPT, Venue EPT and control staff organization
(d) List of participating entities
(e) Roles and responsibilities
(f) Rules of conduct
(g) Safety issues, including real emergency codes/phrases, safety controller
responsibilities, prohibited activities, and weapons policies
(h) Logistics
(i) Security and access to the exercise site
(j) Communications (e.g., radio frequencies/channels)
(k) Duration, date, and time of exercise and schedule of events
(l) Maps and directions
(6) Player Handout. The Player Handout provides key information to exercise
players. A Player Handout can supplement the SitMan or ExPlan by providing a
quick-reference guide to logistics, agenda or schedule, and key contact data for
players.
(7) Rules of Play. The Rules of Play are particularly important when conducting a
FSE or operational drill that involves Opposition Forces (OPFOR) or Red
Teams. The Rules of Play set limitations on exercise play. They identify
neutral parties and give guidance on non-exercise encounters, weapons use, and
"engagement rules." For example, Rules of Play may require OPFOR on small
boats to fly an identifying pennant to distinguish them from the general boating
public. Rules of Play are meant to protect both the exercise players as well as
the public and surrounding environment. Rules of Play are either included as an
annex to the ExPlan or incorporated into the plan itself.
(8) Master Scenario Events List (MSEL). A MSEL is used in FEs and FSEs to
document the chronological list of injects that drive scenario events in exercise
play. The MSEL links simulation to action by listing injects that prompt players
to perform the capabilities and tasks being validated. Injects are MSEL entries
that simulators, controllers or OPFOR deliver. Expected action events are
MSEL entries that represent expected player actions.
COMDTINST M3010.13C
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(a) MSEL elements include:
[1] Designated exercise time
[2] Capability, task, or objective to be demonstrated (if applicable)
[3] Event description
[4] Controller responsible for delivering the inject with controller/evaluator
special instructions (if applicable)
[5] Intended player (i.e., agency or individual player for whom the MSEL
event is intended)
[6] Expected action (i.e., player response expected after a MSEL inject is
delivered)
[7] Notes section for controllers and evaluators to track actual events against
those listed in the MSEL with special instructions for individual
controllers and evaluators (if applicable)
(b) MSEL Times. Times listed in a MSEL should reflect the time an inject is to
be delivered and the expected timeline for completion. These times should
be as realistic as possible and should be based on input from SMEs. The
MSEL helps identify where contingency injects are needed to elicit the
desired player response. The three types of events that comprise a MSEL
are contextual injects, expected action events, and contingency injects.
(c) Contextual Injects. Contextual Injects are introduced to a player by a
controller to help build the exercise operating environment. These injects
provide information about the scenario and the actions of simulator players.
(d) Expected Action Events. Expected Action Events reserve a place in the
MSEL timeline and notify controllers when a response action should
typically take place.
(e) Contingency Injects. Contingency Injects are communicated by a controller
to a player if the expected action does not take place. This ensures that play
moves forward, as needed, to adequately evaluate performance of activities.
For example, if a simulated secondary device is placed at the scene during a
terrorism exercise, but is not discovered, a controller may want to direct a
victim/actor to approach a player and say that he/she witnessed suspicious
activity close to the device. This should cause the responder to discover the
device and result in subsequent execution of the desired notification
procedures. A controller intending to introduce a contingency inject should
check with the Lead Controller before doing so.
(9) Controller and Evaluator (C/E) Handbook. The C/E Handbook, used in FEs and
FSEs to describe the roles and responsibilities of exercise controllers and
evaluators, including the procedures they must follow. Because the C/E
Handbook contains information about the scenario and exercise administration,
it is distributed only to designated controllers and evaluators. The C/E
Handbook supplements the ExPlan. It points readers to the ExPlan for more
COMDTINST M3010.13C
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general exercise information, such as participant lists, activity schedules,
required briefings, and the roles and responsibilities of participants.
(a) C/E Handbook elements include:
[1] Controller and evaluator assignments, roles and responsibilities,
instructions, and organization chart
[2] Detailed scenario information
[3] Exercise safety plan
[4] Controller communications plan (phone list, call-down tree, instructions
for the use of radio channels, etc.)
[5] Description of Simulation Cell (SimCell) interaction with players
[6] Controller tools (e.g., MSEL and timeline forms)
[7] Evaluator tools (e.g., EEGs)
(b) Controller Staff Instruction and EvalPlans. Stand-alone Controller Staff
Instruction and EvalPlans may be used for large and/or complex exercises
that require more coordination among control and evaluation staffs.
[1] Controller Staff Instruction. The Controller Staff Instruction contains
guidance for controllers and simulators on procedures and
responsibilities for exercise control, simulation, management structure,
and support.
[2] Evaluation Plan (EvalPlan). The EvalPlan provides evaluation staff with
guidance and instructions on evaluation/observation methodology to be
used and essential materials required to execute their specific functions.
The EvalPlan is a limited distribution document. Evaluators use it in
conjunction with the ExPlan and the MSEL.
(10) Extent of Play Agreement (XPA). XPAs can be used to define the organizations
participating in the exercise as well as their extent of play (e.g., one fire station for
8 hours, county Emergency Operations Center [EOC] activated at level A for 24/7
exercise operations). These agreements are formed between exercise participants
and the exercise sponsor, and can be vital to the planning of an exercise,
recruitment of evaluators, and development of support requirements.
(11) Exercise Evaluation Guides (EEGs). EEGs provide consistent standards and
guidelines for observations and data collection. EEGs are used to compare
exercise results to exercise objectives for further assessment and analysis. They
are a valuable tool and should be developed early in the exercise planning
process since they aid in designing exercise events. They streamline data
collection, enable a thorough assessment of objective capabilities and support
development of the AAR/IP.
(a) Coast Guard EEG Format. A Coast Guard standard EEG format with
instructions can be found on the Commandant (CG-CPE) CG Portal web
site. Information in the EEG follows the typical flow of activities and tasks
to be accomplished. The EEG should provide space to record observations.
COMDTINST M3010.13C
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While EEGs are generally developed for use by SMEs, they should be
organized for use by less experienced personnel. Evaluators use EEGs
before and during the exercise to determine the activities, tasks, and
expected outcomes associated with the exercise objectives.
(b) Exercise Partner EEG Format. State and local exercise partners will likely
use the standard HSEEP EEG format evaluating exercises against the DHS
Core Capabilities, Capability Targets, and Critical Tasks. Coast Guard
exercise planners should be familiar with how DHS Core Capabilities can be
integrated with Coast Guard contingency-specific capabilities as identified
by contingency program sponsors.
Table 5-6: Participant Responsibilities and Documents
ROLE KEY RESPONSIBILITIES DOCUMENT DISTRIBUTION
Players Conduct mission by reacting to injects or OPFOR ExPlan or SitMan
Multimedia Presentation
Controllers Implement MSEL to Guide Exercise Play
C/E Handbook or Controller Staff
Instruction
ExPlan or SitMan
Multimedia Presentation
MSEL
Evaluators Observe and record player activities
C/E Handbook or EvalPlan
ExPlan or SitMan
Multimedia Presentation
MSEL
Victims/Actors Deliver MSEL injects as directed, role players ExPlan
MSEL
Observers/VIPs Not to interfere with exercise play ExPlan or SitMan
Opposing Forces
(OPFOR) Represent adversary in exercise play
ExPlan or SitMan
MSEL
Multimedia Presentation
SimCell Represent non-participating personnel or entity in
exercise play
ExPlan or SitMan
Multimedia Presentation
MSEL
Exercise Director Overall management of exercise All
(12) Participant Feedback Forms. Participant Feedback Forms provide participants
an opportunity to report on the strengths and shortfalls that they identified
during exercise conduct.
COMDTINST M3010.13C
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(13) Quick Look Report (QLR). The Exercise Director is responsible for developing
a QLR when the Hotwash identifies urgent issues that have Coast Guard-wide
impact and/or require immediate attention to correct.
(14) After Action Report/Improvement Plan (AAR/IP). The AAR/IP provides a
description of what happened, describes any best practices or strengths,
identifies areas for improvement, and provides recommendations for achieving
improvements. The format for AAR/IPs is located in the CPS online tutorial.
g. Step 7 - Exercise Logistics. Logistics is an extremely important aspect of an exercise.
Successful implementation of logistical details can make the difference between a
smooth, seamless exercise and one that is inefficient, frustrating and unproductive.
The level of logistical planning will greatly vary with the size and scope of the
exercise.
(1) Room Considerations. Facilities/Rooms for discussion-based exercises or
planning meetings must be appropriate for the exercise scope and attendance
with adequate tables, chairs, and audio/visual capability. Additionally, planners
should consider supplies, badges, table tents, room layout, and the registration
table/breakout.
(2) Sensitive Information. One of the primary security considerations for
discussion-based exercises is sensitive information control. Control procedures
for documents marked Sensitive Security Information (SSI) or For Official Use
Only (FOUO) should be discussed in detail during the participant briefings.
(3) Color-Coded Badge System. Figure 5-5 is an optional color-coded system that
may be used to identify the various types of participants.
Figure 5-5: Exercise Participant Badges
(4) Facilities. FEs and FSEs have more facility requirements than discussion-based
exercises since they have more participants, field operations, and may have
more than one exercise site.
(a) Space. Adequate space is needed for controllers, SimCell, Command
Posts, Joint Information Centers and media briefing rooms. For exercises
over eight hours long, messing and berthing should be centrally located to
facilitate potential recalls, reduce transportation needs, ease watch relief,
etc.
COMDTINST M3010.13C
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(b) Facility Provider. The exercise facility provider should be listed in the
ExPlan. For Coast Guard-sponsored exercises, the use of commercial
facilities, such as hotels, is discouraged since the money spent on adding
phone lines and computer networks does not benefit the Coast Guard after
the exercise is completed.
(c) Site Breakdown. The EPT should oversee site breakdown at the end of the
exercise. This may include clearing, collecting, and/or destroying any
exercise-specific or sensitive information in the areas. The team should
ensure any equipment, supplies, and A/V resources are returned, packed,
stored, etc., and the room is returned to its original configuration. All
participant lists, player evaluation forms, issue cards (if used), controller
materials, and evaluator documents should be collected for input into the
AAR. The team should meet with the venue points of contact (POCs) to
discuss final logistical details (e.g., address billing, final room closeout, and
other concerns).
(d) Command Centers. The command centers designated in contingency plans
for use in actual contingencies should be used in FEs and FSEs. However,
participants should be briefed on procedures to pause or move exercise play
if real-world events arise that would preclude exercise activity within the
command center.
(5) Assembly Areas/Staging Areas. These areas are the gathering places for
deployable resources prior to StartEx, as determined by exercise design or as
determined during exercise) play. Assembly areas are managed by the
Assembly Area Controller as described in the control section earlier in this
chapter. Assembly/staging areas must be identified and reserved during the
early planning stages. To minimize traffic congestion and safety concerns, the
deploying units should assemble in the staging area prior to the exercise. By
having all deployable units in a staging area, the controllers can optimize the
realistic timing of their arrival to achieve exercise objectives. All participants
who are assigned to off-site locations, such as port facilities, Emergency
Operations Centers (EOCs), Unified Commands (UCs), etc., should report to
the assembly/staging areas designated by their respective organizations.
Because personnel may be gathered in the assembly/staging areas for extended
periods of time prior to dispatch, it is important to provide potable water, food,
restrooms, shelter, etc.
(6) Areas of Play. Operation areas are large spaces where tactical operations, such
as waterside security, oil spill response, decontamination, or render safe
procedures, take place. If exercising in port areas, specific exercise play areas
shall be predetermined with all concerned parties. Any logistical needs
pertaining to use of these areas must be coordinated well in advance of the
exercise in order to reduce the possibility of accidents and liability issues.
Directions, maps, and/or charts should be produced and provided to participants
before the exercise. Areas of play for operations-based exercises should be
clearly marked and have minimal impact on the non-exercise population.
COMDTINST M3010.13C
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(7) Parking. Sufficient parking should be available and clearly labeled for VIP,
observers, media, and exercise participants.
(8) Food and Lodging. While Coast Guard exercise funding cannot be used to
purchase food and refreshments, arrangements should be made so that food is
available for purchase if an exercise exceeds four hours in length. In joint or
interagency exercises, other participating agencies can be asked to provide food
and/or refreshments if allowed by their policy. For FSEs conducted for longer
than one day, berthing, messing, and medical services need to be made
available. Transportation from operational sites to berthing and messing sites
should be provided.
(9) Visual Recording. Video Recording is a good way to document exercise events
for future training, additional evaluator observation, public awareness
initiatives, or even public record. Due to security concerns, it is important for
the EPT to determine which parts of an exercise, if any, may be video recorded.
If there is a visual recording team, members should be clearly identified and
should be escorted through the exercise play space. Use clear identification to
avoid confusion with members of the media.
(10) Weapons Safety Policy. If weapons play is expected in an exercise, a written
weapon safety policy must be approved by the Exercise Director and senior
officials of participating entities prior to exercise conduct. This policy should
be in accordance with the Ordnance Manual, COMDTINST M8000.2 (series)
(FOUO) and all participating agency weapons policies. The Exercise Director
must designate a Weapons Safety Officer, who serves under the exercise Safety
Officer. Each entity participating in the weapons portion of the exercise should
provide a representative on the staff of the Weapons Safety Officer and ensure
their personnel adhere to the Weapon Safety Policy. Weapons for exercise
participants must be clearly marked to indicate they are safe for use in exercise
play.
(11) Site Security. Law enforcement and site security personnel not participating in
the exercise may continue to carry assigned weapons in accordance with
existing agency weapons policy. In addition to normal safety precautions, the
Weapons Safety Officer should note and communicate any site-specific
weapons restrictions in advance of exercise conduct.
Due to the sensitive nature of some exercises, it is important to consider site
security, especially at vulnerable locations. Site security includes protecting
exercise resources and personnel. Additionally, Operations Security (OPSEC)
should be considered to prevent unauthorized observation of sensitive
operations and tactics. Local law enforcement agencies are valuable resources
for site security. The EPT should contact the appropriate jurisdiction early in
the development process to ensure site security is established. The EPT should
contact port facilities that require a Transportation Worker Identification
Credential (TWIC) for site access to coordinate entry for exercise participants.
COMDTINST M3010.13C
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(12) Safety. Safety is the most important consideration in planning an operations-
based exercise. The following actions must take place to ensure a safe
environment:
(a) Identify and designate safety controller (s) (not to be confused with a safety
officer on the player side);
(b) Whenever unsafe conditions are observed, exercise play should be stopped
and actions should then be reported to the nearest controller;
(c) Controllers should use the term “StopEx” to communicate unsafe conditions
to all exercise participants; only the Senior Controller can order play to
resume;
(d) For FSEs, conduct an Operational Risk Management (ORM) assessment, as
described in Operational Risk Management, COMDTINST 3500.3 (series),
and complete exercise specific ICS-208 Site Safety Plan;
(e) Consider other safety issues outside the scope of exercise control (e.g.,
weather, heat stress, hypothermia, fire/pyrotechnics, weapons, animals/K-9s,
use of force, use of personal protective equipment); and
(f) Ensure availability of ambulance unit(s) for potential real-world
emergencies during the exercise.
(13) Exercise Enhancements. Enhanced exercises provide a realistic scenario or
field environment and increase the learning potential for participants.
Enhancements can include multimedia presentations, detailed research on a
specific hazard, props, equipment, victims/actors, special effects, and OPFOR.
(14) Communications.
(a) Voice Communications. Prior to the exercise, players, controllers/SimCell
operators, and evaluators should be assigned separate radio frequencies or
designated exercise channels. The frequencies shall not interfere with
operations that are outside the scope of the exercise. Because the potential
exists for exercise communication to be confused with real-world
operations, all transmissions shall begin and end with language such as
“This is an exercise…” Consider using encrypted communications during
security exercises for players and SimCell operators. A separate radio
frequency is assigned to controllers for coordinating logistics, updating
exercise status, and relaying information on real emergencies. When
feasible, handheld radios should be provided to all controllers prior to an
exercise. All radio and telephone requirements for players, controllers, and
SimCell operators must be identified and published prior to StartEx. The
logistics section is responsible for developing a communications plan for the
exercise. The PAO will share this plan with the media, as appropriate. ICS
form 205 may be used for this purpose.
(b) Written Communications. Any written exercise communications, to include
email and message traffic, must be clearly marked with language such as
“exercise material only” and shall not interfere with normal operations.
COMDTINST M3010.13C
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(15) External Affairs. The External Affairs program is organized into two functional
sections: 1) public affairs work with the media and 2) government affairs
coordinates with government officials. Districts usually have personnel
assigned to fulfill both functions. Sectors may only have a PAO as a collateral
duty. For operations-based exercises, the EPT, PAO and Government Affairs
Officer use the Communications Action Plan (CAP) process to decide what
actions are appropriate. An External Affairs Plan is developed and included in
the ExPlan or SitMan as appropriate.
(a) Real-World Media. Members of the real-world media have the ability to
fulfill an important function before, during, and after an exercise. Prior to
an exercise, they inform the public that an exercise will take place. During
an exercise, they can remind the public that the exercise is taking place and
facilitate the validation of public information plans and procedures.
Following an exercise, the media may release details to the host community
on the lessons learned or accomplishments of the exercise, if the Exercise
Director provides such information.
[1] Media Interviews. For Coast Guard sponsored exercises, the media
should have an opportunity to conduct interviews with key Coast Guard
exercise planners and Coast Guard participants prior to and after the
exercise.
[2] Media Coordination. The Coast Guard PAO has primary responsibility
for coordinating with media representatives and assigning media escorts
during Coast Guard sponsored exercises. At discussion-based exercises,
the media shall not be present during the discussion of any potentially
sensitive information, such as operational tactics. If the media would
like video footage of exercise proceedings and participants, they should
be allowed to film from the back of the room until scenario discussions
begin. This allows participants to speak freely and openly during the
exercise without outside distractions or intimidation.
[3] Media Cautions. During operations-based exercises, media may be
allowed to video certain activities, but should be cautioned not to
interfere with exercise play. The media should not be present during
sensitive operational play.
(b) Public Announcement. The public, the media, and other agencies are very
sensitive about potential threats or terrorist incidents. To minimize
confusion, public announcements shall be made prior to a Coast Guard-
sponsored operations-based exercise, especially if OPFOR are involved. In
addition, sharing exercise communications plans with the media, as
appropriate, may further reduce confusion.
Announcements can be made through local television or radio, local
newspapers, press releases, mass mailings or pamphlets, unit web pages,
and/or signs near the exercise site. When OPSEC is a concern, the
announcement for a security exercise should not contain detailed scenario
information, such as the type of threat/hazard or venue, nor should it contain
COMDTINST M3010.13C
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information that might hinder exercise outcomes. It may be appropriate to
release limited initial information to the public prior to StartEx, followed by
a more detailed announcement after the End of Exercise (EndEx).
Announcements should confirm that Coast Guard assets will be deployed to
prevent false media reports.
(c) Press Release. Prior to a Coast Guard sponsored exercise, the EPT Leader,
in coordination with the PAO is responsible for the development of a written
press release that informs the media and the public about general exercise
information, with consideration for OPSEC as mentioned above. Typical
press releases include:
[1] Coast Guard, or multi-agency, letterhead
[2] Introduction, including exercise program information
[3] Purpose and expected outcomes
[4] Scope and duration
[5] General scenario information (e.g., site/venue, goals, objectives)
[6] Confirmation that Coast Guard (and other participating agency) assets
will deploy
[7] Participating agencies or disciplines
[8] Contact information
(d) Exercise Media. If mock media (exercise controllers or actors simulating
the real-world media) are employed during an exercise, they shall be kept
separate from any real-world media that may be observing the exercise.
h. Step 8 – Plan for Exercise Control and Evaluation. Controllers plan and manage
exercise play, set up and operate the exercise site, simulate the roles of individuals
and entities not actually playing in the exercise, and manage the performance of
victims/actors and OPFOR personnel. Controllers in the Simulation Cell (SimCell)
“paint the picture” for players (verbally or with limited written materials). StartEx
multimedia presentations (video/ audio from news organizations) of situation and
periodic news updates adds realism and helps to stimulate players during the exercise.
Controllers give key data to players and may prompt or initiate certain player actions
(as listed in the MSEL) to ensure exercise continuity with objectives. Proactive
planning and organization prior to an operational exercise is imperative to ensure
effective exercise control. The control team is responsible for exercise play at all
locations. A controller may also serve as an evaluator, as long as the scope of the
exercise does not detract from their ability to meet the performance requirements for
both roles.
(1) Goals. The control team should be organized to accomplish the following:
(a) Make controller assignments—there should be a lead controller for each
field site, venue, or functional activity and a senior controller coordinating
the exercise operations in the Exercise Director’s AOR;
COMDTINST M3010.13C
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(b) Define control requirements based on exercise objectives;
(c) Prepare the C/E Handbook; and
(d) Conduct a C/E briefing on day before StartEx.
(2) Control Functions. The control team should fulfill the following duties and
responsibilities:
(a) Introduce MSEL injects at the prescribed time and location;
(b) Track the accomplishment of exercise objectives and inform the Senior
Controller of any significant deviations or changes;
(c) Guide exercise play and coordinate changes to MSEL with Senior or Lead
Controller;
(d) Observe, record, and report exercise artificialities that interfere with exercise
realism or progress;
(e) Respond to player-produced exercise materials intended for entity
representatives who are not participating in the exercise;
(f) Act as safety observers and institute ‘stop exercise’ procedures as necessary;
(g) Enforce the Rules of Play and real-world security requirements;
(h) Suspend exercise play if players are about to make a serious procedural or
tactical error that has no learning benefit or does not contribute to exercise
objectives;
(i) Safeguard the C/E Handbook from unauthorized disclosure; and
(j) Assume final authority over exercise play at the scene.
(3) Control Team Duties. The Exercise Director or the EPT Leader assigns the
Senior Controller. The Exercise Planning Section Chief and the Senior
Controller assign control team members. The control team's primary
responsibility is development and successful implementation of the Control Plan
(part of C/E Handbook) and MSEL injects. Controller assignments and
locations should be described in the Control Plan. Individuals serving as
controllers should be familiar with the exercise control organization, the player
and controller communications systems, and procedures to ensure effective
coordination. Members of the EPT are good candidates for staffing the exercise
control team during the exercise.
(a) Senior Controller. The Senior Controller is responsible for keeping the
exercise focused on the exercise objectives. The Senior Controller should
have the management and leadership skills needed to oversee a team of
controllers, as well as the knowledge and skills to direct the flow of
information during exercise play.
In preparation for the exercise, the Senior Controller is responsible for
development of the MSEL, defining controller requirements, recruiting,
assigning, training controllers, and development of the C/E Handbook or
SitMan. During the exercise, the Senior Controller supervises control of
COMDTINST M3010.13C
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play and the operation of the SimCell. After the exercise, the Senior
Controller supervises the conduct of player Hotwashes and controller
debriefs, ensures that player critiques are collected, and provides controller
input to the AAR. The Senior Controller should be a senior-level individual
who is familiar with:
[1] Capabilities, activities and tasks of the exercise objectives of the
exercising unit(s)
[2] Incident command and decision-making processes of the exercising
unit(s)
[3] Interagency and/or multi-jurisdictional coordination issues relevant to
the exercise
(b) Assembly Area Controller. The assembly area controller is responsible for
the logistical organization of the assembly area, which is used in an FSE as
the gathering place for deployable resources prior to StartEx. The assembly
area controller remains in close communication with other controllers
throughout the exercise to ensure safe, timely and realistic dispatch of units.
Organization of the assembly area is critical to exercise success and safety.
Therefore, it is imperative for the EPT to create a deployment timetable
based on realistic response times from a unit or entity’s home station or
office. Failure to do so will result in an unrealistic and disorganized
exercise. The assembly area controller should be informed of any updates to
the exercise that may require changes to the deployment timetable.
(c) Venue Controller. Exercises that involve multiple jurisdictions and/or
multiple play locations should assign jurisdictional or venue or lead
controllers. Venue lead controllers report to the senior controller and
manage the activities of other controllers assigned to that location or
jurisdiction. The EPT Leader and Senior Controller should make decisions
about control requirements for personnel, time commitments; inject
management, and coordination mechanisms between EPT and Venue EPTs
(when used). These decisions should be documented in the C/E Handbook.
(d) Recruit, Assign, and Train Controllers. Once control requirements have
been defined, the Senior Controller oversees recruiting, assigning, and
training of controllers. The Senior Controller and the EPT Leader should
present their recruiting needs to the Exercise Director. The control
requirements play a critical role in determining the number of controllers,
the subject matter expertise they should possess, where they are assigned,
and what kind of training or instruction may be required.
[1] Recruiting Controllers. The Controllers should have experience and
subject matter expertise in the functional area they are assigned to
control, e.g., Search and Rescue (SAR), oil spill response, command and
control, fire, law enforcement, security, etc. The time commitment for
controlling discussion-based exercises is generally no longer than one
day, including after exercise processes such as the Hotwash. The time
COMDTINST M3010.13C
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commitment for operations-based exercise controllers is usually one to
four days during the exercise plus one day prior to the exercise for
training and one day after the exercise for debriefing and input for the
AAR/IP. Exercise planners should ask other Coast Guard units,
participating entities or their chain of command to help supply
controllers. Coast Guard units and participating entities should
implement a long-term strategy to develop and maintain a cadre of
trained controllers who can regularly participate in exercises. The Coast
Guard Reserve and Auxiliary may be good sources for controllers since
they are available for part-time assignments and have a relatively low
turnover rate.
[2] Assigning Controllers. During operations-based exercises, controllers
should be assigned to different areas of play and venues based on their
subject matter expertise. Reference to the MSEL can help the lead
controllers determine the times at which specific controllers should be at
certain locations. Controller assignments should be established,
documented in the Control Plan or C/E Handbook, and communicated to
evaluators prior to exercise conduct.
[3] Training Controllers. Controller training must take place at least one
day prior to the exercise. This training should address all aspects of the
exercise, including exercise goals and objectives; exercise scenario;
participants; and controller roles, responsibilities, and assignments. The
senior controller should brief controllers on the content of any specific
plans, policies, procedures, or agreements that pertain to exercise
objectives. Controller training should include guidance on
communications, including key contact information for personnel during
play, stop exercise procedures and conduct of a player Hotwash
following the exercise. Prior to training, controllers should be provided
copies of the following materials to review:
[a] Exercise documents such as the SitMan for discussion-based
exercises or the ExPlan, C/E Handbook, and MSEL for operations-
based exercises
[b] Exercise agenda and schedule, controller assignments, controller
materials, Participant Feedback Forms, and other control tools
[c] Appropriate plans, policies, procedures, and agreements of the
exercising entity(ies) related to exercise objectives
(e) Finalize Control Plans. Once exercise requirements are defined and control
planning is completed, the Controller team completes the controller portion
of the C/E Handbook. Operations-based exercises will use a C/E Handbook
to distribute exercise control and evaluation information.
(f) Plans for Exercise Evaluation. The final part of Step 8 (Plan for Exercise
Control and Evaluation) of Phase 1: Design and Development is to plan for
the evaluation. As described earlier, the EPT must identify evaluation
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elements early in the exercise design process in order to validate that the
correct scope and objectives have been chosen while there is still time to
make adjustments. During this phase, the planning team should also be
constructing a proper evaluation team and organization to enable full
capture of lessons learned by knowledgeable evaluators during the actual
exercise. Planning and organizing the evaluation includes:
[1] Appointing a senior evaluator;
[2] Defining evaluation requirements based on exercise objectives;
[3] Developing evaluation documents; and
[4] Recruiting, assigning, and training evaluators.
(g) Appoint a Senior Evaluator. The EPT Leader or Exercise Director should
appoint a Senior Evaluator with experience to oversee all facets of the
evaluation process. The Senior Evaluator shall be responsible for recruiting
evaluators to establish an evaluation team, designating lead evaluators,
creating an evaluation plan, developing EEGs, and giving evaluator training.
During the exercise, the Senior Evaluator will monitor evaluator
performance, conduct briefings, and assist the Senior Controller with post
exercise activities. After the exercise evaluators will compile their data as
input for the AAR. The Senior Evaluator should be familiar with:
[1] Capabilities, activities and tasks of the exercise objectives of the
exercising unit(s)
[2] Plans, policies, and procedures to be exercised
[3] Incident command and decision-making processes to be exercised
[4] Interagency and/or inter-jurisdictional coordination issues relevant to the
exercise
(h) Define Evaluation Requirements. Exercise evaluation requirements are
determined by the exercise scope and objectives along with guidance
produced by the EPT. The exercise evaluation requirements include the
tools, plans, and personnel needed to effectively observe the exercise,
collect data, and analyze information.
[1] Exercise Scope. Exercise scope helps determine the number of
evaluators needed and where evaluators should be placed (e.g.,
facilities/sites, command/control centers, patrol assets). Exercise scope
consists of, but is not limited to, the days and hours and duration of the
exercise, the location/sites for exercise play, the number of exercise
players, the type of exercise, i.e., discussion-based or operations-based.
The objectives help determine the number, subject matter expertise and
locations of evaluators needed. For seminars and workshops, data
collectors record observations during the exercise and document the
exercise outcomes, including best practices and areas for improvement.
Participants, facilitators and planners also contribute to the
documentation of seminars and workshops. In TTXs and operations-
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based exercises, controllers can also function as evaluators; however, a
Senior Evaluator is still necessary to draft the EvalPlan, brief the
controller/evaluators, and provide input to the AAR/IP.
[2] Exercise Objectives. Exercise objectives are composed of the
capabilities, activities, and tasks that a unit or entity wishes to exercise.
They are based on a specific capability in the contingency plan. Each
capability has subordinate activities and tasks that can be separately
evaluated. The evaluator’s goal is to objectively evaluate the capability
based on its component tasks to determine whether the exercise
objectives were met.
[3] Exercise Evaluation Team Organization, Structure, and Responsibilities.
The Senior Evaluator should determine the structure of the exercise
evaluation team based on the scope of the exercise, the exercise
objectives, and the associated capabilities, activities, and tasks that will
be exercised. Exercises that involve multiple jurisdictions and/or
multiple play locations may require venue lead evaluators. Lead
evaluators support the Senior Evaluator and manage the activities of
other evaluators assigned to that location. The Evaluation Team's
responsibilities include, but are not limited to:
[a] Verifying objectives that are specific, measureable, attainable,
realistic and task-oriented (SMART);
[b] Documenting exercise evaluation requirements (e.g., staffing,
funding, data collection requirements);
[c] Identifying potential evaluators and data collectors;
[d] Determining evaluation criteria;
[e] Developing EEGs based on exercise objectives;
[f] Developing procedures for data collection and analysis;
[g] Reviewing MSEL development to ensure consistency with exercise
goals;
[h] Creating the EvalPlan;
[i] Recording observations during exercise conduct;
[j] Participating in the player Hotwash, C/E Debrief and After Action
Meeting;
[k] Developing the AAR; and
[l] Assisting in development of the Improvement Plan.
(i) Develop Evaluation Documents.
[1] Evaluation Plan. Once evaluation requirements and exercise objectives
have been defined, the EvalPlan can be developed. The size and
complexity of the EvalPlan is dictated by the scope of the exercise.
Normally the EvalPlan is part of the C/E Handbook. In large and
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complex exercises, the EvalPlan may be a stand-alone document.
Reviewing the capabilities to be evaluated early in the process will
ensure that the evaluation team develops the appropriate documentation
for evaluation. The Evaluation Plan contains:
[a] Exercise scenario, schedule of events, and evaluation schedule
[b] Evaluation team organization, assignments, and location
[c] Step-by-step direction for evaluators regarding what to do before,
during, and following the exercise
[d] Exercise-specific EEGs and/or analysis forms, MSEL, and process
for post-exercise evaluation analysis
[e] Date of After Action Meeting
[f] The EPT Leader and the Senior Evaluator make decisions about
evaluation requirements for personnel, time commitments,
evaluation tools, and subject-matter expertise. These decisions
should be recorded in a preliminary draft of the EvalPlan.
[g] Sample evaluation materials and templates, including C/E
Handbooks, SitMans, EEGs, and evaluator training briefings, are
available on the Commandant (CG-CPE) CG Portal web site.
[2] Exercise Evaluation Guides (EEGs). EEGs provide exercise evaluators
with standards, guidelines, capabilities, activities and tasks for
observations and data collection during the exercise and support root
cause analysis after the exercise.
[3] Participant Feedback Forms. Participant Feedback Forms provide
participants an opportunity to report on the strengths and shortfalls that
they identified during exercise conduct.
[4] Summary of Evaluation Documentation. Table 5-7 shows which
evaluation documents are used for each exercise type.
Table 5-7: Exercise Evaluation Documentation
EVALUATION DOCUMENTATION
Exercise Type EvalPlan EEG Feedback forms AAR/IP
Seminar X X
Workshop X X
Tabletop X X X
Game X X X
Drill X X X X
Functional X X X X
Full-Scale X X X X
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(j) Recruit, Assign, and Train Evaluators. Once evaluation requirements have
been defined, the Senior Evaluator oversees recruiting, assigning, and
training evaluators. Evaluators have a passive role in the exercise and
should record players’ actions and decisions and times that they occurred.
They should not interfere with exercise flow or decision making by players.
Evaluators record observations and notes on EEG forms and chronological
logs (optional).
[1] Lead Evaluators. Lead evaluators are assigned in operations-based
exercises that involve different exercise type or where player action
takes place in geographically isolated locations or at multiple command
levels. Each of these areas shall have a lead evaluator that reports to the
Senior Evaluator.
[2] Recruiting Evaluators. Evaluators should have experience and subject
matter expertise in the functional area they are assigned to observe e.g.,
command and control, spill response, mass rescue operations, etc.
Evaluators can be selected from the EPT and from non-participating
entities or Coast Guard units. Areas and Districts shall maintain a list of
experienced evaluators in their AOR for assignment to exercises as
needed. EPT members are often excellent candidates for controller and
evaluator roles due to their involvement in developing the scenario,
MSEL and evaluation criteria. When developing plans for recruiting
qualified exercise evaluators, exercising commands and agencies should
consider long-term strategies for developing and maintaining a cadre of
trained evaluators who can regularly participate in exercise evaluation.
The Coast Guard Reserve and Auxiliary are good sources of evaluators
since they are available for part time assignments and have a relatively
low turnover rate. Evaluators should be made aware of the level of
commitment expected for the duration of their participation in the
exercise. Evaluators are encouraged to complete the FEMA’s
Emergency Management Institute (EMI) online Independent Study (IS)
Exercise Evaluation and Improvement Planning (IS-130) course.
[3] Assigning Evaluators. During exercises, evaluators should be assigned
to different exercise play areas based on their subject matter expertise
and evaluator experience. This is especially important during
operations-based exercises. Reviewing the MSEL can help the Senior
Evaluators and lead evaluators determine the times at which specific
evaluators should be at certain locations. Evaluator assignments should
be recorded in the EvalPlan and communicated to evaluators prior to
exercise conduct. The number of evaluators assigned to each exercise
play location depends on the level and scope of the exercise.
[4] Training Evaluators. Evaluator training takes place at least one day
prior to the exercise. It must address all aspects of the exercise and
specific controller and evaluator roles, responsibilities, and assignments.
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Prior to training, evaluators should be provided with copies of the
following materials to review: Exercise documents such as the C/E
Handbook and MSEL, the SitMan or the ExPlan; and appropriate
portions of plans, policies, and procedures being exercised.
Evaluator training should include guidance on monitoring exercise
discussions or observing operations: what to look for, what to record,
and how to use the EEGs and chronologic log. To promote effective
observation evaluators should:
[a] Be at the designated position when players arrive;
[b] Get a good view of player actions/discussions, but avoid getting in
the way;
[c] Focus on observing the activities and tasks in relevant EEGs to
ensure exercise objectives are well documented;
[d] Take legible, detailed notes, including times and sequence of events;
[e] Remain at the assigned post at key times; and
[f] Avoid prompting players or answering player questions.
2. Phase 2: Conduct. This section describes separately how
to conduct a Discussion-Based Exercise and Operations-
Based Exercise (see Figure 5-6).
a. Discussion-Based Exercise. The required activities to
be conducted vary with the type of exercise. Seminars
typically focus on formal presentations, while TTXs
focus on player interaction. The section below
describes key aspects of conducting each type of
discussion-based exercise.
(1) Setup. Members of the EPT assigned to setup
should visit the exercise site at least one day
prior to the event to arrange the room and test
A/V equipment. On the day of the exercise, EPT members should arrive several
hours early to resolve any remaining logistical or administrative items and to
arrange for registration. Prior to exercise conduct; the EPT should deliver the
necessary exercise materials and equipment, which include:
(a) Adequate number of Situation Manuals (SitMans) or other participant
materials
(b) Multimedia presentation
(c) Appropriate A/V equipment (e.g., projectors, screens, microphones, and
speakers)
(d) Table tents
(e) Name badges identifying the role of each exercise participant
(f) Sign-in sheets
Figure 5-6: Conduct Phase
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(g) Participant Feedback Forms
(2) Pre-Exercise Briefings. The exercise StartEx briefing provides relevant
background information to exercise participants. All participants should be
encouraged to contribute to the discussions. Additionally, they should be
reminded that the exercise is a no-fault environment.
The briefing typically starts with remarks by the Exercise Director,
representatives from the EPT or sponsoring entity, and/or senior officials from
the local jurisdiction. Following opening remarks, a brief introduction to the
exercise is given. Attendees are introduced to facilitators and evaluators, given
the background on the exercise process, and advised on their individual roles
and responsibilities.
(3) Exercise Play.
(a) Seminar. A seminar is typically conducted in a lecture format with limited
feedback or interaction from participants. They often feature speakers on
key topics related to the objectives of the exercise. A facilitator is
responsible for keeping participants on track and making sure objectives are
met within the time constraints. Designating a recorder to take notes allows
the facilitator to focus on key discussion issues, time and keeping players on
track. Seminars share these attributes:
[1] Information is conveyed through different instructional techniques,
including lectures, multimedia presentations, panel discussions, case
study discussions, and decision support tools
[2] Discussions are led by the facilitator and are mainly instructional in
nature
[3] There are no firm time constraints
[4] They can be used for small and large groups
(b) Workshop. Workshops involve participant interaction and focus on building
a product, such as a plan or plan improvement.
[1] Workshops share these attributes:
[a] Information is conveyed through different instructional techniques,
including lectures, multimedia presentations, panel discussions, case
study discussions, and decision support tools;
[b] The focus is on building a product;
[c] They use facilitated breakout sessions for large groups;
[d] Discussions are led by the facilitator, but should be highly
interactive;
[e] There are no firm time constraints; and
[f] They can be used for small and large groups.
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[2] Workshop Flow. Typically, workshops begin with a presentation or
briefing that conveys the background, specific activities, and expected
outcomes. The opening presentation may be followed by facilitated
breakout sessions, where smaller groups focus on specific issues.
[3] Workshop Breakout Sessions. These breakout sessions should increase
participant interaction through the use of issues most relevant to the
participant’s expertise. Ideally, breakout sessions are facilitated by
someone with both subject matter expertise and facilitation skills. If this
is not possible, then it is more important to use a strong facilitator that
will keep the discussion on track. Facilitators should be aware of time
constraints, notify participants about progress, and warn them when time
is about to expire. Designating a recorder to take notes allows the
facilitator to focus on key discussion issues, time and keeping players on
track. Following breakout sessions, the groups reconvene in a plenary
session to present outcomes in a structured format that is coordinated by
the lead facilitator. A written product is usually expected.
(c) Tabletop Exercise (TTX). A TTX brings together key decision makers or
SMEs for a functional area into an informal setting to generate discussion of
various issues.
[1] TTX Attributes. TTXs share these attributes:
[a] Information related to the scenario may be conveyed through
multimedia presentations;
[b] They use facilitated breakout sessions and moderated discussion for
large (>20 persons) groups;
[c] Discussions are led by a facilitator;
[d] There are no firm time constraints; and
[e] They can be used for small and large groups.
[2] TTX Conduct. TTXs can be conducted using facilitated and/or
moderated discussion. In a large group, the participants should be
divided into breakout groups. These group discussions occur ideally in
separate rooms or at individual tables in a large room. They are
organized by discipline, function or organization with a facilitator for
each breakout group. The objectives for each TTX should be limited
(one to three issues) to the time (one to three hours) available for
everyone to speak and produce an in-depth discussion of the objectives.
The breakout facilitator is responsible for keeping the discussion focused
on objectives and ensuring all key issues are explored (time permitting).
Players should discuss their responses based on their knowledge of
current plans, polices, doctrine and capabilities. Facilitated discussions
take place before moderated discussions.
[3] Moderated Discussions. In moderated discussions, a representative from
each table presents summarized results of their group’s discussion. This
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representative is selected before the facilitated discussion begins so they
can be prepared to speak on behalf of the group. They summarize the
facilitated discussion, present key findings and issues, and present any
unresolved issues or questions. At the end of the presentation, time is
allotted for questions, answers and brief discussion. At the end of these
moderated presentations, another period for discussions may be
scheduled. At this session, discussion is limited to key spokespersons.
[4] Large TTXs. With a large number of participants, there can be an issue
of equal speaking opportunity during the TTX. Time is limited and the
challenge of listening to every participant’s comments should be clearly
addressed. Supporting staff should pass their questions or comments to
their pre-designated spokesperson. Other players can pass their
questions or comments to facilitators. Unanswered questions/comments
should be collected for review by the EPT.
[5] TTX Recorder. Designating a recorder to take notes allows the
facilitator to focus on key discussion issues, time and keeping players on
track. At the conclusion of the TTX, the facilitator provides an
overview of the day’s activities, followed by comments by the Exercise
Director.
(d) Games. A game is a simulation of operations that often involves two or
more teams, usually in a competitive environment, using rules, data, and
procedures designed to depict an actual or hypothetical situation. Games are
not routinely utilized in the Coast Guard.
b. Operations-Based Exercise. This section describes key aspects of conducting
functional and full-scale exercises. While drills are also an operations-based exercise,
their focus is limited to a specific function in a single agency and do not need to be
planned/conducted according to the detailed guidance in this Manual as long as they
do follow clearly defined plans, procedures, and protocols.
(1) Functional Exercises (FEs). FEs are designed to evaluate capabilities and
interoperability. An FE is typically used to evaluate the management of
command centers and to assess the adequacy of response plans and resources.
Events are projected through an exercise scenario with injects that drive play.
An FE is conducted in a realistic, real-time environment with simulated
movement of field personnel and equipment.
(2) Full-Scale Exercises (FSEs). FSEs involve field forces and are typically the
most complex and resource-intense exercises. An FSE tests many components
of one or more capabilities and is typically used to assess plans, doctrine, and
coordinated response under real-world conditions. The FSE simulates the
realities of a complex response and involves critical thinking, rapid problem
solving, and responses by personnel. The FSE is conducted in realistic, real-
time environment with mobilization of personnel, assets, and equipment.
(3) Setup. The appropriate EPT members begin event setup at the exercise venue(s)
as many days prior to the event as necessary. EPT members should:
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(a) Resolve any remaining logistical or administrative items pertaining to setup;
(b) Mark the appropriate exercise operating areas and perimeters;
(c) Arrange briefing rooms;
(d) Set up and test A/V equipment, run phone lines and data networks for
control and evaluation, and conduct a communications check;
(e) Place props and effects for simulation;
(f) Check for potential safety issues; and
(g) Arrange registration area.
(4) Pre-Exercise Briefings. Briefings educate participants about their roles and
responsibilities prior to an exercise. By scheduling separate briefings for
controllers, evaluators, victims/actors, and on-site and off-site players, EPT
members can tailor material to the different groups. If the EPT has enough
members, briefings may be scheduled simultaneously to prevent delay of
StartEx.
(a) Controller and Evaluator (C/E) Briefing. At least one day before the
exercise, the Senior Controller and Senior Evaluator provide a brief to C/E
staff. This C/E brief includes an exercise overview, schedule of events,
scenario, control and simulation procedures, communications, controller and
evaluator responsibilities, and other relevant information. The staff is given
the opportunity to ask questions and make final preparations. This briefing
often includes a tour of the exercise site(s) so staff knows where they should
position themselves to observe exercise play and how to use equipment
(including computer and phone systems).
(b) Player Briefing. Typically, the Senior Controller conducts a briefing for all
players that includes roles and responsibilities, exercise parameters, safety,
security, Rules of Play, what is being simulated and how to interact with
SimCell staff, OPFOR (if applicable), and any logistical exercise concerns
or questions.
When multiple venues participate in operations-based exercises, a separate
briefing for each venue is generally conducted by the lead controller the day
before the exercise. This brief may include a review of communications
procedures between the main exercise site and venues.
(c) Victim/Actor Briefing. The victim/actor briefing is generally conducted the
morning of the exercise, prior to the victims/actors taking their positions.
The Lead Controller for victims/actors gives the briefing, which covers the
exercise overview, safety, real emergency procedures, symptomatology,
acting instructions, and schedule. Identification badges and
symptomatology cards are distributed before or during this briefing. If
moulage is to be applied to victims/actors, it should be completed before the
briefing.
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(d) Observer/VIP Briefing. An observer briefing informs exercise observers
and VIPs about program background, scenario, schedule of events, observer
limitations, and any other miscellaneous information. Often, observers will
be unfamiliar with public safety procedures and will have questions about
the activities they see. Designating a coordinator to answer questions
prevents observers from asking questions of players, controllers, or
evaluators. The observer briefing is usually conducted prior to StartEx on
the day of an exercise. In exercises with numerous VIPs, a separate annex is
included in the ExPlan for VIP procedures.
(5) Exercise Play.
(a) Controllers. The Senior Controller starts the exercise and oversees the pace
and focus of the exercise. In order to prevent accidental deployments, all
exercise communications must be easily identifiable. This is accomplished
by including a phrase such as “exercise material only” prominently on all
printed communications (e.g., fax, e-mail), and by beginning each verbal
communication stating a phrase such as, “This is an exercise!”
[1] MSEL and Communication. Due to the great deal of simulated activity
that occurs, these exercises require a detailed MSEL and close
communication between the site controller(s) and the SimCell. Site and
venue controllers should advise the SimCell on the pace of exercise play
and request more or fewer injects to maintain an appropriate pace and
focus on objectives. The Senior Controller may authorize deviations
from the original MSEL, if necessary. During exercise play, the
controllers need to be alert for unsafe conditions and stop the exercise if
appropriate.
[2] Assembly Area Controller. During FSEs, the Assembly Area Controller
oversees the dispatch of exercise participants and apparatus to the
exercise location. The Assembly Area Controller ensures all players are
present when a unit arrives at the assembly area. Units are positioned
according to their deployment times. A designated Weapons Safety
Officer performs a weapons check to guarantee the tagging of all
inspected weapons indicating they are safe for exercise play.
Coordinating with the senior or lead controller(s), the appropriate units
are dispatched to arrive on schedule.
[3] Synchronization Conference. For exercises longer than one day, a daily
synchronization conference is held for controllers and evaluators to
provide updates on exercise events.
(b) Evaluators. As players make decisions or discuss actions, evaluators should
take notes to capture key information. For more on evaluation, see the
Phase Three later in this chapter.
(c) Observers. Observers view the exercise or selected portions of exercise
play. Areas of access during the exercise should be clearly communicated to
observers prior to StartEx. Observers should be accounted for and provided
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with rules pertaining to observer participation to alleviate potential
disruptions. They should have an escort to answer their questions.
(d) Opposing Forces (OPFOR). The OPFOR serve as event implementers
during drills and FSEs, and are an integral part of the exercise control
organization. OPFOR must be closely monitored to ensure that they only
implement specific MSEL events. Controlling OPFOR is the responsibility
of the Lead Controller(s) on scene.
3. Phase 3: Exercise Evaluation and Phase 4: Improvement
Planning. Evaluators are responsible for producing an
appraisal of how well the exercise objectives were met
and what shortfalls exist (Phases 3 and 4 as seen in
Figure 5-7). The Coast Guard approach to evaluation
and Improvement Planning adheres to the steps outlined
in HSEEP as shown in Figure 5-8. For further
information, see Reference (c), Coast Guard After Action
Program, COMDTINST 3010.19 (series).
Figure 5-8: Exercise Evaluation Process
a. Step 1 – Collect Data. The debriefs after EndEx provide an opportunity to collect,
discuss and clarify exercise feedback from participants. The focus of debriefs should
be on how well objectives were met.
(1) Player Hotwash. Immediately following the exercise, lead controllers in each
functional area facilitate a Hotwash to allow their players the opportunity to
provide immediate feedback. Lead Controllers and a senior player from each
functional area or location participate in a final Hotwash facilitated by the
Figure 5-7: Evaluation &
Improvement Planning Phases
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Senior Controller. This enables controllers and evaluators to capture
information about exercise events while they are still fresh in the players’
minds. The Hotwash is an opportunity to ascertain the player’s opinion of the
exercise, identify issues or concerns, and propose areas for improvement. At
this time, players are usually more than willing to give their opinions and should
be encouraged to do so in writing. Players complete and submit their
Participant Feedback Forms during or right after the Hotwash. EPT members
should immediately read these player critiques and ask for clarification when
needed. Evaluators conduct and take notes during the Hotwash for later
analysis with other observations from their functional areas. Information from
Participant Feedback Forms is used to help generate the AAR/IP. The EPT
collects and secures attendance lists.
(2) Controller and Evaluator Debrief. The C/E debrief provides each controller and
evaluator with an opportunity to share their findings on the functional area
observed and to discuss both strengths and areas for improvement. The Senior
Evaluator is responsible for this debrief and the EPT Leader provides
facilitation. The C/E debrief typically follows the player Hotwash. During the
debrief, controllers and evaluators complete and submit their EEGs and their
Participant Feedback Forms. Debrief results are captured for inclusion in the
AAR/IP.
b. Step 2 – Analyze Data. One of the most important duties of the exercise evaluation
team is data analysis. The information derived from analysis provides the objective
basis for post-exercise reports. These reports should be used to improve
preparedness. The precise methodology for analyzing exercise evaluation data should
be described in the EvalPlan. The process should include review of Participant
Feedback Forms, completed EEGs or other evaluation tools, and evaluator
data/collector notes. The goal of this process is to identify areas for improvement, i.e.
shortfalls, and best practices for each exercise objective.
(1) Exercise Event Timeline and Analysis. The exercise timeline and detailed
analysis of evaluator observations provide the foundation needed to prepare the
exercise AAR/IP. The analysis should capture all relevant key observations in
the exercise. The exercise timeline records exercise events as they actually
occurred. This timeline can be used with other evaluation tools to answer the
following questions to support the AAR/IP:
(a) What did evaluators observe?
(b) What should evaluators have observed according to policies and doctrine in
the plan(s)?
(c) Is there a difference? If so, why?
(d) What is the consequence of that difference and did it impact the objective?
(e) What improvements are needed and what best practices should be adopted?
(2) Identifying Root Cause and Developing Recommendations. Shortfalls or gaps
are identified by using the root cause process. It is important for evaluators to
discover not only what happened, but exactly why it happened. To arrive at a
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root cause, the evaluation team should trace the problem back to its respective
cause(s). Rootcause analysis may also require the review and evaluation of an
entity’s emergency plans, training programs, staffing, equipment, policies, and
doctrine. Uncovering root causes is key to developing actionable solutions to
shortfalls. These proposed recommendations are based on the evaluation team’s
expertise, experience, and best judgment. The responsibility for accepting and
implementing recommendations ultimately lies with the unit command and/or
responsible entities.
c. Step 3 - Develop the Draft AAR/IP. The AAR/IP provides a description of any best
practices, identifies areas for improvement, and provides recommendations. The
format for AAR/IPs is located in the Contingency Preparedness System online
tutorial.
(1) Preliminary Analysis. Evaluators should review their notes and begin to
develop a preliminary analysis of the exercise. Preliminary analysis involves
developing a chronological narrative of relevant exercise activities and
associated objectives. When developing preliminary analysis, evaluators should
consider the following questions:
(a) Were the objectives met?
(b) Were all personnel able to successfully complete the tasks necessary to
execute each activity? If not, why?
(c) What were the key decisions associated with each activity?
(d) Were all personnel adequately trained to complete the activities/tasks
needed to demonstrate a capability?
(e) Were any resource shortcomings identified that could inhibit the ability to
execute an activity?
(f) Do the current plans, policies, and doctrine support performance of
activities? Are players familiar with these documents?
(g) Do personnel from multiple agencies or jurisdictions need to work
together to perform a task, activity, or capability? If so, are the
agreements or relationships in place to support the required coordination?
(h) What should be learned from this exercise?
(i) What strengths were identified for each activity?
(j) What areas for improvement are recommended for each activity?
(2) AAR Requirements. The following situations require an AAR entry into CPS:
(a) Contingency events designated as (or bearing the characteristics of) ICS
Type 1 or Type 2 incidents. These contingencies may include oil and
hazardous materials releases; suspected terrorist activity or incidents that
involve suspected chemical, biological, radiological, nuclear, or high
explosive materials, weapons, or devices; natural disasters; mass rescue
operations; major marine disasters; migrant interdiction operations; civil
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disturbance events; or major marine events. These include any event for
which an Incident Specific Preparedness Review (ISPR) is conducted.
Submission of an AAR for an ICS Type 3 contingency event, to document
noteworthy situations or lessons, is at the discretion of the operational
commander.
(b) Exercises per the contingency exercise requirements specified in
Reference (d). These include any exercise for which funding was sought
via the provisions of Reference (d).
(c) Military outloads; joint, interagency, and multi-national force operations
and exercises; or operations and exercises involving coordination with the
Department of State.
(d) Any contingency that triggers the provisions of a unit’s Continuity of
Operations Plan (COOP).
(e) As directed by the operational commander.
(f) As directed by Commandant.
(3) AAR Preparation & Submission Responsibilities. The Exercise Director is
responsible for the preparation and submission of the AAR/IP. If a Coast Guard
Command participates in an exercise with a non-Coast Guard Exercise Sponsor
and Director, the Coast Guard command must submit an AAR/IP and should
include an electronic copy of the Director’s AAR/IP, if and when available.
(4) Expenditure Report Submission. An expenditure report shall be submitted as an
attachment to the AAR for exercises with budgeted costs over $5,000. The
expenditure report must include all funds expended, including any local unit
AFC-30 funds. It provides Commandant (CG-CPE) the information needed to
support exercise budget model adjustments. The exercising unit is responsible
for using allocated funds for items in the spend plan. The AARs shall not be
considered complete until expenditures are submitted. An expenditure report
template is accessible in CPS.
d. Step 4 – Identify Remedial Actions. A good Improvement Plan must be relevant to
exercise issues and include attainable outcomes that increase preparedness. A
remedial action is a corrective action that should contain enough detail to make it
useful. It states what types of actions should be performed and who should perform
those actions.
Participating Commands and entities should use the following questions as a guide
for developing remedial actions:
(1) What changes need to be made to plans and procedures to improve
performance?
(2) What changes need to be made to organizational/management structures to
improve performance?
(3) What training is needed to improve performance?
(4) What changes to (or additional) equipment is needed?
COMDTINST M3010.13C
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(5) What lessons can be learned that will direct how to approach a similar problem
in the future?
e. Step 5 – Conduct After Action Meeting. The purpose of the After Action Meeting is
to present, discuss, and refine the AAR/IP, which will be submitted for review and
approval to the Exercise Director. As soon as possible after completion of a draft
AAR/IP, the evaluation team, EPT, and exercise participants should conduct an After
Action Meeting. When setting the meeting date, the EPT Leader should allow
sufficient time for the evaluation team to prepare the draft AAR. The draft AAR/IP
should be distributed to conference participants, key individuals, and organization
representatives for review prior to the After Action Meeting to identify issues they
wish to discuss. Attendees refine the IP and assign a responsible person or unit to
correct each Remedial Action Issue (RAI). It also ensures that exercises are results-
oriented and contribute to preparedness by recommending concrete improvements.
The After Action Meeting is interactive and provides attendees the opportunity to
confirm the observations and recommendations recorded in the draft AAR/IP.
Attendees provide insight into events that may have been omitted or misinterpreted
by evaluators. They provide an account of key exercise events, differences between
expected performance and actual performance, major observations, and the
recommendations for improvement.
f. Step 6 – Finalize AAR/IP and enter into CPS/CG-SAILS. Following the After Action
Meeting, the exercise planning and evaluation teams finalize the AAR/IP. This
involves incorporating corrections, clarifications, and other feedback provided during
the After Action Meeting.
(1) EPT Review. The AAR/IP is distributed to members of the EPT to ensure that
it is an accurate document that covers all the exercise objectives. This step
ensures that the AAR/IP addresses the needs of the Commands and participating
entities and serves as a useful tool to guide the following areas:
(a) Strategy development
(b) Exercise program planning
(c) Sharing lessons learned
(d) Changes to plans, policies, and doctrine
(e) Capability development and refinement
(f) Efforts to focus limited resources upon improvements in preparedness
(2) Exercise Director Review and Approval. Once the exercise planning and
evaluation teams have captured all feedback, the AAR/IP shall be submitted for
review and approval to the Exercise Director. To protect potentially sensitive
information, the EPT should agree on a distribution list for the final AAR/IP
and distribute the document exclusively to those on the list. Information
submitted via the CPS requires Command approval. All AARs once submitted
constitute Command endorsement.
COMDTINST M3010.13C
5-45
(3) AAR Review and Release Responsibilities. The AAR review and release
process is managed by Reference (c). Responsibilities vary depending on the
role.
(a) The Exercise Director shall:
[1] Submit final AAR/IPs to Commandant (CG-CPE) which shall be
IAW Reference (c);
[2] Coordinate the review, validation, and posting of AAR into
CPS/CG-SAILS;
[3] Provide electronic notification of AAR review and release to Coast
Guard Commands and programs; and
[4] As appropriate, provide support to units with regard to CPS/CG-
SAILS usage.
(b) Unit Commanding Officers, Districts, Areas, FORCECOM, and
Commandant Contingency Sponsors shall:
[1] Designate a Remedial Action Coordinator IAW Reference (c) that
oversees the tracking and resolution of RAIs as assigned; and
[2] Ensure Remedial Action Coordinators review RAMP reports in CPS.
(4) AAR Review Process. Figure 5-9 represents the AAR/IP process as it appears
from a CPS user perspective from anywhere in the Coast Guard. An exercise is
conducted by starting in the upper left corner and proceeding counter-clockwise.
AAR/IPs must be entered into CPS within 60 days following completion of
each exercise (see Table 5-8 for deliverable timelines). The exception is PREP
notification exercises, which shall be entered within ten days. Commandant
(CG-CPE) will review all reports. Incomplete reports or ones requiring
corrections are returned to the unit for revisions. The completed AAR is
grouped with others of the same contingency, e.g. oil & hazardous materials
substance response, etc. and reviewed at a program management AAR Meeting.
COMDTINST M3010.13C
5-46
(5) Reviewing Approved AARs. Contingency Sponsors and Exercise Program
Management representatives at all levels of the Coast Guard should routinely
review the collective outputs of exercises and RAI improvements.
(a) AAR Review Purpose. These reviews serve three purposes:
[1] Provide a forum to discuss the mission area program management
issues and processes to identify shortfalls, provide clarity of intent,
and propose opportunities for improvement.
[2] Identify compliance issues with applicable contingency exercise
requirements to facilitate necessary changes in policy.
[3] Ensure that exercises are producing the desired results to highlight
the need for preparedness improvements.
(b) Program Manager AAR Review. Program Managers acquire a working
knowledge of issues affecting the field and recommendations to address
them. The foundation for policy, doctrine, TTP, and resource decisions is
derived from these meetings. Following a meeting, Commandant (CG-
CPE) releases the AARs to the CPS database and assigns each corrective
Figure 5-9: AAR/IP Process
COMDTINST M3010.13C
5-47
action issue, i.e., RAI. An “AAR release” e-mail notifies the unit and
contains a listing of all RAIs and at which level they are assigned to for
action. The action office is given 30 days to submit comments (see Table
5-8), with command approval, on how and when the issue will be
addressed. Commandant (CG-CPE) then reviews the comments. If the
comments fail to address the issue, they are returned to the unit for
clarification. Otherwise, Commandant (CG-CPE) approves the comments
and changes the status of the corrective action issue accordingly (pending
or resolved). Finally, corrective action issues become a basis for
developing COEs and future MTEPs, thus renewing the exercise cycle.
Table 5-8: AAR/IP Process Timeline
DELIVERABLE DUE DATE
PREP Notification AAR/IP 10 days after exercise completion
AAR/IP (all except PREP Notification) 60 days after exercise completion
RAI Action Office Comments 30 days after AAR release
g. Step 7 – Track Implementation. The Remedial Action Management Program
(RAMP) is the primary management tool used to assign responsibility and track the
progress of the RAIs documented in the AAR/IP. The remedial actions identified in
the AAR/IP should be tracked and continually updated as part of RAMP. Timely
action with regard to RAIs is a critical link in fortifying preparedness efforts.
(1) RAMP Positions and Responsibilities:
(a) Remedial Action Coordinator. The Remedial Action Coordinator is
responsible for continuously tracking implementation of the corrective
actions and providing regular updates. Senior levels of Command conduct
oversight and provide assistance as needed to resolve the issue(s). RAMP
provides tools to assist in this oversight. When a Coast Guard command
participates in a non-Coast Guard hosted exercise, the command’s
Remedial Action Coordinator provides updates on progress of Coast
Guard issues to sponsoring entity.
(b) Contingency Sponsor. Each Coast Guard Contingency Sponsor is
responsible for tracking remedial actions related to their contingency
program and sharing contingency-specific lessons learned and best
practices, as they see fit. The Contingency Sponsor should also ensure
that implemented remedial actions are fed back into the exercise program
cycle, such that improvements are exercised, tested, and validated. This
process ensures continual improvement of capabilities. Contingency
sponsors are responsible for incorporating the appropriate policies and
priorities into the Strategic Planning Direction.
(2) RAMP as Part of Continual Improvement Process. Phases Three and Four
described in this chapter offer units and partners a defined process for exercise
COMDTINST M3010.13C
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evaluation and improvement planning. Using this process, an evaluator may
record strengths and areas for improvement using the observations section of
an EEG. Following an exercise, these observations are analyzed in order to
produce broad recommendations for an entity’s improvement. During the
After Action Meeting, these broad recommendations are converted into
corrective actions in the finalized IP. Lastly, IP recommendations are recorded
and tracked in RAMP and the implementation of corrective actions leads to
improvements in preparedness.
Once units and partners have implemented corrective actions, a new cycle of
exercise activities can begin to further test and validate corrective actions and
improve plans and capabilities. This continual improvement process is shown
in Figure 5-10.
Figure 5-10: Continual Improvement Process
COMDTINST M3010.13C
6-1
CHAPTER 6. CONTINGENCY PREPAREDNESS TRAINING AND TECHNOLOGY
A. Overview. This chapter identifies training and technology support for Coast Guard
contingency preparedness specialists who need to possess the flexibility and knowledge to
assist in the development, design and execution of all exercise types. All Coast Guard
missions include planning. Coast Guard planners and exercise practitioners gain the skills
necessary through on-the-job and structured training.
B. Contingency Planner Qualification, Subspecialty Assignment, and Training. Planners need
the skills to facilitate the planning process and to understand the various incident
management structures the Coast Guard uses. The sections below outline the requirements to
obtain the Contingency Preparedness (MARECP) qualification and the Apprentice,
Journeyman, and Master Contingency Planning levels within the Contingency Planning
Subspecialty (OAR-18). Additional training and resources that support continued
professional growth of a Contingency Planner are also included in this Manual.
1. Contingency Preparedness (MARECP) Qualification. All contingency planners should
aspire to achieve this level on completion of their tour at any level in the organization
(Sector, District, Area, or HQ). Any junior member assigned to a Contingency Planning
position should strive to gain operational planning skills and experience in the design,
development, execution, and evaluation of multi-agency exercises using HSEEP criteria.
2. Contingency Planning Subspecialty (OAR-18) Competency. This competency has three
levels: Apprentice, Journeyman, and Master. The competency levels provide a formal
way of measuring the level of proficiency a planner has obtained. Each level may require
demonstrated skills, knowledge levels, particular qualifications, and/or a requisite
minimum number of years in a certain billet type. The OAR-18 competency is an
element of the Officer Specialty Management System (OSMS). Additional information is
available at http://www.uscg.mil/opm/Opm3/opm-3OSMS.asp. There may be differences
between the guidance on the OSMS web site and this Manual, e.g., training requirements
and waiver. When these differences occur, the guidance on the OSMS web site should be
followed, since it is updated regularly.
a. Apprentice Level. Officers at this level are considered entry level contingency
planning professionals. Apprentice level personnel perform Contingency Planning
duties at a Sector, District, Area, on the FORCECOM Exercise Support Team, or at a
joint service tour. They are actively engaged in the cycle of Coast Guard preparedness
including the development, training, and updates of Contingency Plans. To obtain the
Apprentice Level OAR-18 Competency the following requirements must be
completed:
(1) Contingency Preparedness (MARECP) qualification
(2) Homeland Security Exercise and Evaluation Program (HSEEP) (FEMA)
(3) IS-230 (series) Fundamentals of Emergency Management (FEMA)
(4) IS-235 (series) Emergency Planning (FEMA)
(5) IS-453 (series) Introduction to Homeland Security Planning (FEMA)
COMDTINST M3010.13C
6-2
b. Journeyman Level. To obtain the Journeyman Level OAR-18 Competency,
Apprentice Planners must complete these advanced education/certification
requirements:
(1) Three (3) years in a Response Ashore oriented billet
(2) Team Leader Facilitator Course (USCG 500203)
(3) ICS Type 3 Position Qualification (IC, PSC, OSC)
(4) IS-240 (series) Leadership and Influence (FEMA)
(5) IS-242 (series) Effective Communication (FEMA)
(6) IS-454 (series) Fundamentals of Risk Management (FEMA)
(7) IS-547 (series) Introduction to Continuity of Operations (FEMA)
c. Master Level. To obtain the Master Level OAR-18 Competency, Journeyman
Planners must complete these advanced education/certifications:
(1) One (1) tour in a OAR-18 coded billet
(2) Master Exercise Practitioner (MARMEP) (FEMA)
(3) Defense Support of Civil Authorities (DSCA) Phase 1 (DOD)
(4) IS-293 (series) Mission Assignment Overview (FEMA)
3. Internal Exercise Training Management. Commandant (CG-CPE) serves as the program
manager for two Training Center Yorktown courses: Basic Preparedness and Exercise
Course (BPEC) and Strategic Preparedness Course (SPC), which is still in development
and is replacing the former Advanced Planning and Exercise Course. These courses will
ensure contingency planners become proficient in their craft and educate senior leaders
on the intricacies of preparedness and incident management topics.
a. Basic Preparedness and Exercise Course (BPEC). The BPEC, offered three times
annually, is designed for planning specialists at Sectors, Districts, Marine Safety
Units and DSF community.
b. Strategic Preparedness Course (SPC). The SPC is currently under development and
is designed to provide supervisors of mid- to senior-level officers and civilians
assigned to Area and District planning staffs insight into the “Planners World of
Work.” SPC will provide students with information on specific roles and
responsibilities, exercise requirements, contingency preparedness assessment, and
MTEP processes. Commandant (CG-CPE) anticipates SPC will be developed by
fiscal year 2017 and will be offered annually.
Members interested in attending the above “C” schools should enter an Electronic
Training Request through their unit Training Officer.
4. External Exercise Training Management. FEMA’s Emergency Management Institute
(EMI) serves as a secondary source for resident training for Coast Guard planning and
exercise staffs, and is the primary source for self-paced online independent study
correspondence courses.
COMDTINST M3010.13C
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a. Homeland Security Exercise Evaluation Program (HSEEP). Coast Guard exercises
are required to follow HSEEP guidance. HSEEP is an intermediate-level course that
provides a comprehensive overview of exercise design along with practical skills
development in accordance with the HSEEP Doctrine. The three-day course uses
activities that give participants an opportunity to interact with many of the templates
and other materials provided by the National Exercise Division to ensure exercises
are conducted in a consistent manner. Members must complete the prerequisite
course, IS 120(series) - An Introduction to Exercises, before submitting an
application for the HSEEP resident course. HSEEP is a prerequisite for the Master
Exercise Practitioner Program.
b. Master Exercise Practitioner. The EMI created the Master Exercise Practitioner
Program (MEPP) specifically to improve capabilities of state and local emergency
management personnel involved in all aspects of All Hazards, All Threats exercises.
The MEPP is the senior-most course offered by the federal government for the design
and conduct of exercises. The MEPP is a three-week instruction block divided into
one-week sessions. Additional information about MEPP can be found on the FEMA
web site: https://training.fema.gov/mepp/. There are 10 required prerequisite courses
to apply to the MEPP:
(1) IS-100.b, Introduction to the Incident Command System (ICS)
(2) IS-120, An Introduction to Exercises
(3) IS-130, Exercise Evaluation and Improvement Planning
(4) IS-200.b, ICS for Single Resources and Initial Action Incidents
(5) IS-230, Fundamentals of Emergency Management
(6) IS-235, Emergency Planning
(7) IS-700, National Incident Management System (NIMS), An Introduction
(8) IS-775, Emergency Operations Center (EOC) Management and Operations
(9) IS-800, National Response Framework (NRF), An Introduction
(10)L/K0146 – Homeland Security Exercise Evaluation Program (HSEEP)
MEPP is designed to raise the proficiency of Coast Guard Preparedness Staff
nationwide. Master Exercise Practitioner skills complement the various Coast Guard
and DOD preparedness courses taken by planning and exercise staffs. The combined
competencies guide unit commands to more meaningful exercises that improve
preparedness for All Threats, All Hazards. Commandant (CG-CPE) has sponsored
members to participate in the MEPP since 2005, with the goal of having all Exercise
Support Team members graduate and at least one MEPP graduate at each Sector,
MSU with COTP Authority, District, Area, and National Strike Force.
C. Professional Development. In addition to required courses, there are numerous opportunities
available to Contingency Planners at each competency level to support their professional
development and to further enhance their planning skills. For example, a Contingency
Planner could serve as a Lead Controller or Lead Evaluator in a Full-Scale Exercise (FSE) or
a Functional Exercise (FE) and actively participate drafting the Exercise AAR. The EMI
COMDTINST M3010.13C
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offers resident and self-paced courses designed for contingency planners and exercise
practitioners. Many of the courses are linked directly to Coast Guard Personnel Qualification
Standards, Officer Specialty Codes, Homeland Security Exercise Evaluation Program
(HSEEP), and professional development paths such as Certified Emergency Manager. Some
examples of professional development opportunities include courses outlined in Table 6-1.
Additional courses can be found at: FEMA EMI, both resident and IS courses
(https://training.fema.gov/programs/) and Department of Defense Joint Knowledge Online
Site (http://jko.jten.mil/).
Table 6-1: Example Professional Development Courses
COURSE CODE COURSE TITLE
IS-15.b Special Events Contingency Planning for Public Safety Agencies
IS-56(series) Hazardous Materials Contingency Planning
IS-100(series) Introduction to the Incident Command System
IS-120(series) Introduction to Exercises
IS-130 Exercise Evaluation and Improvement Planning
IS-156(series) Building Design for Homeland Security for Continuity of Operations
IS-200(series) ICS for Single Resources and Initial Action Incidents
IS-230 Fundamentals of Emergency Management (FEMA
IS-235(series) Emergency Planning
IS-453 Introduction to Homeland Security Planning
IS-457 Fundamentals of Risk Management (FEMA)
IS-520 Introduction to COOP for Pandemic Influenzas
IS-522 Exercising Continuity Plans for Pandemics
IS-523 Resilient Accord – Exercising Continuity Plans for Cyber Incidents
IS-524 Continuity of Operations (COOP) Planner's Workshop
IS-545(series) Reconstitution Planning
IS-546(series) Continuity of Operations Planning Awareness
IS-547(series) Introduction to Continuity of Operations
IS-550 Continuity Exercise Design Course
IS-662(series) Improving Preparedness and Resilience through Public-Private Partnerships
IS-700(series) National Incident Management System (NIMS) An Introduction
IS-800(series) National Response Framework (NRF)
IS-809 Emergency Support Function (ESF) #9 - Search and Rescue
IS-810 Emergency Support Functions (ESF) #10 - Oil and Hazardous Materials Response Annex
IS-907 Active Shooter: What You Can Do
IS-910(series) Emergency Management Preparedness Fundamentals
IS-2001 Threat and Hazard Identification and Risk Assessment (THIRA)
COMDTINST M3010.13C
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COURSE CODE COURSE TITLE
IS-2900 National Disaster Recovery Framework (NDRF) Overview
JPME-1 Joint Professional Military Education – 1
AFR-AFDL-010212 A PC 02: Joint Operational Planning (JOP)
J3ST-US010 Defense Support of Civil Authorities Phase I
------ Defense Support of Civil Authorities Phase II – (Resident Course)
D. Exercise Technology. Using technology during exercises improves realism. Several
software and mapping tools for spill response and planning have been developed to better
prepare response communities for real-world incidents. These tools include OILMAP, the Oil
Spill Model and Response System; GNOME, a trajectory forecasting tool; Automated Data
Inquiry for Oil Spills (ADIOS), an oil weathering model; Environmental Sensitivity Index
(ESI) maps that identify vulnerable resources and habitats; ERMA®, a GIS-based tool that
consolidates key response data; Incident Management System Software (IMSS), a Coast
Guard incident management tool; and information management tools including WebEOC and
the Homeland Security Information Network (HSIN). Other tools assist during exercise play
and creating a common operating picture.
1. OILMAP. This software provides rapid predictions of movement of spilled oil. In
addition to trajectories it also has the capability to integrate response plans, display
dispersant applications, and more. This software is available to units when the Exercise
Support Teams are supporting the exercise. http://asascience.com/software/oilmap/
2. GNOME. The GNOME Trajectory Import Tool is designed to import GNOME "splots"
or National Oceanic and Atmospheric Administration (NOAA) trajectory products into
ArcMap 9.x and 10.x. Splots are point information showing movement of the individual
Lagrangian elements used in GNOME. http://response.restoration.noaa.gov/gnome
3. ADIOS. The Automated Data Inquiry for Oil Spills (ADIOS) is NOAA's oil weathering
model, an oil spill response tool that models how different types of oil weather (undergo
physical and chemical changes) in the marine environment. Working from a database of
more than a thousand different crude oils and refined products, ADIOS quickly estimates
the expected characteristics and behavior of spilled oil.
http://response.restoration.noaa.gov/ADIOS
4. ESI. These maps provide a concise summary of coastal resources that are at risk if an oil
spill occurs nearby. Examples of at-risk resources include biological resources (such as
birds and shellfish beds), sensitive shorelines (such as marshes and tidal flats), and
human-use resources (such as public beaches and parks). When an oil spill occurs, ESI
maps can help responders meet one of the main response objectives: reducing the
environmental consequences of the spill and the cleanup efforts. Additionally, ESI maps
can be used by planners—before a spill happens—to identify vulnerable locations,
establish protection priorities, and identify cleanup strategies.
http://response.restoration.noaa.gov/maps-and-spatial-data/environmental-sensitivity-
index-esi-maps.html
COMDTINST M3010.13C
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5. Environmental Response Management Application® (ERMA). ERMA® is an online
mapping tool that integrates both static and real-time data, such as Environmental
Sensitivity Index (ESI) maps, ship locations, weather, and ocean currents, in a
centralized, easy-to-use format for environmental responders and decision makers.
ERMA® enables a user to quickly and securely upload, manipulate, export, and display
spatial data in a Geographic Information System (GIS) map.
http://response.restoration.noaa.gov/maps-and-spatial-data/environmental-response-
management-application-erma
6. Incident Management System Software (IMSS). This software has the ability to support
all functional areas of Coast Guard Incident Management, Incident Action Plan (IAP)
development, and incident preparedness. IMSS is a proven incident management tool
that improves response operations and dramatically enhances information sharing by
helping incident management teams expedite the creation of an IAP and other forms used
during ICS operations. Commandant (CG-CPE) recently implemented training sessions
for IMSS. http://imss.iapsoftware.com/
7. WebEOC. With WebEOC, crisis information is immediately and universally available to
authorized users everywhere. It can be configured based on local requirements, while
giving agencies and organizations the ability to link to a wide assortment of different
systems. A web-based product, WebEOC ushered in the era of “virtual” EOCs, making it
possible to monitor and manage an emergency response from anywhere in the world.
WebEOC can be used during the planning, mitigation, response, and recovery phases of
any emergency. It can also be used by agencies and organizations during day-to-day
activities to manage routine, non-emergency operations.
https://www.intermedix.com/solutions/webeoc
8. Homeland Security Information Network (HSIN). HSIN serves as the DHS network for
operational information sharing and collaboration to maintain situational awareness, and
monitoring response and recovery efforts resulting from terrorist, natural and human-
caused disasters. The Coast Guard can use HSIN as a coordination tool during exercises
and/or missions that require large-scale and real-time collaboration.
https://www.dhs.gov/homeland-security-information-network-hsin
Appendix A to COMDTINST M3010.13C
A-1
APPENDIX A. CONTINGENCY EXERCISE REQUIREMENTS
Table A-1: Contingency Exercises
PLAN CONTINGENCIES OPERATIONAL UNIT EXERCISE TYPE / FREQUENCY 1 SOURCE REQUIREMENT
CG CONPLAN
(9700/9800 series)
Natural/Manmade Disasters
Areas and Districts;
Sectors/MSUs, as directed Any Type / Annually COMDTINST M3010.11 (series)
Communicable Diseases
Oil and Hazardous Substances
Mass Rescue Operations (MRO)
Marine Transportation System
Disruption
Foreign Humanitarian Assistance and Disaster Response
Chemical, Biological, Radiological, or
Nuclear Attack
Mass Migration
Civil Disturbance
Ports, Waterways and Coastal Security
(PWCS) Anti-Terrorism
Short Notice Maritime Response
(SNMR) (Areas only)
Cyber Incident Response
Homeland Defense
Combatant Commander Support
CG CONPLAN Annex or
AMSP Supplement Military Outload (MOL)
Sectors/MSUs with NPRN
designated Strategic Commercial
Seaports
Discussion-based / Triennially
COMDTINST M16600.6 (series)
and COMDTINST M3010.11 (series)
CG CONPLAN Annex or
COOP (standalone) Continuity of Operations (COOP) Areas, Districts, Sectors
Any Type / Annually.
Reconstitution & Devolution: Any
type / Bi-annually
Federal Continuity Directive -1 and
COMDTINST M3010.15 (series)
CG CONPLAN Annex or
MRO (standalone) Mass Rescue Operations (MRO) Districts
1 Discussion-based & 1 Operations-
based over 5-year cycle
COMDTINST 16711.2 (series) Enc.
(2)
Area Maritime Security
Plan (AMSP) PWCS Anti-Terrorism
District Eight & Sectors &
MSUs with COTP Authority
1 Operations-based & 3 discussion-based
over 4-year cycle
MTSA 2002,
NVIC 09-02 (series), and 33 CFR 103.515
Appendix A to COMDTINST M3010.13C
A-2
PLAN CONTINGENCIES OPERATIONAL UNIT EXERCISE TYPE / FREQUENCY 1 SOURCE REQUIREMENT
OVS / MOTR National Level Exercises (NLEs) and
CAPSTONE exercise As Directed As Directed Scenario Specific
CPOD MOU Closed Points of Dispensing (CPOD) Units with signed CPOD MOU
with external Health Agency Any type / Annually COMDTINST M3121.2 (series)
Area Contingency Plan
(ACP)
Oil & Hazardous Substances
Sectors and MSUs with COTP
Authority
Minimum of 1 Operations-based
and 3 discussion-based over 4-year
cycle 2,3
Notification drills / Quarterly.
OPA90/FWPCA and PREP Guidelines (2016)4
National Contingency Plan
(NCP) / Regional
Contingency Plan (RCP)
Areas and Districts FSE / Quadrennial i.e. Spill of National Significance (SONS)
Canada-United States Joint
Marine Pollution
Contingency Plan (CANUS JCP).
Encompasses 5 geographic
annexes
National Level or As Directed Every 5-yrs for each Annex. One must
be national level.
CAN-US Joint Marine Contingency
Plan
Joint Contingency Plan
Between Mexico and the
United States Regarding
Pollution of the Marine
Environment by Discharges
of Hydrocarbons and Other
Hazardous Substances
(MEXUS Plan).
Encompasses 2 geographic
annexes
Border Districts Any Type/ Triennially MEX-US Joint Marine Contingency
Plan
Notes:
1. All exercises are based on a calendar year, unless noted.
2. VOSS annual exercise requirements remain in effect for District 7 (San Juan), District 14, District 17, and the NSF.
3. SORS annual exercise requirements remain in effect for all 225’ Coast Guard buoy tenders (WLBs) outfitted with SORS.
4. Specifics can be found in the Preparedness for Response Exercise Program Compliance, Coordination and Consistency Committee Guidelines (2016).
Appendix B to COMDTINST M3010.13C
B-1
APPENDIX B. CREDIT FOR REAL-WORLD OPERATIONS
A. Planned Event. Planned events provide enough lead-time to plan for a structured evaluation
of objectives. A request for an event to be used for credit in lieu of an exercise can be made
when event operations meet or exceed the required objectives for an exercise. A recurring
event or one planned far enough in advance, such as a National Special Security Event
(NSSE) or intelligence-driven surge operation, can be included in a unit’s Multi-year
Training and Exercise Plan (MTEP). An event included in the MTEP is planned and
evaluated like an exercise. If an event is not scheduled far enough in advance to be included
in the MTEP, then the process for receiving credit should follow that of an incident.
B. Incident/Threat. Exercise credit for incidents that are evaluated and reported can be
requested by the procedures listed below. The exercise credit process for an incident is
standard for most contingency operations. Ports, Waterways, and Coastal Security (PWCS),
Military Outload (MOL), and Oil and Hazardous Material contingencies have additional
criteria and approval requirements described below.
C. Exercise Credit Process. The request for credit, Concept of Exercise (COE) (for planned
events), and After Action Report/ Improvement Plan (AAR/IP) must be submitted to the
Operational Commander for approval within six months of the operation’s completion.
1. Ports, Waterways, and Coastal Security (PWCS). Tab C, of Enclosure (4) of the
Navigation and Vessel Inspection Circular (NVIC) 9-02 (series) outlines the requirements
and process to obtain credit for exercises and real-world operations that are not entered into
Contingency Preparedness System (CPS) as an Area Maritime Security Training and
Exercise Program (AMSTEP) exercise, or as a crisis management exercise conducted by
another governmental agency. Elements of other exercises and actual security operations
such as Maritime Security (MARSEC) level increases, NSSE, and Department of Defense
(DOD) military exercises may adequately test elements of the Area Maritime Security Plan
(AMSP), and would therefore be eligible for credit towards meeting AMSTEP exercise
requirements.
2. Military Outload (MOL). To be eligible for credit, multiple approvals are required before
and the after the event for it to be considered.
a. The Port Readiness Committee must agree prior to the event that it adequately meets
or exceeds the required objective of a MOL exercise as outlined in the requirements
of the local Military Outload Plan.
b. The National Port Readiness Network Working Group (NPRNWG) must have no
objection for exercise credit. To satisfy this step, email the entire package as it would
be routed for the Area Commander’s approval to Commandant (CG-MSR-2).
Commandant (CG-MSR-2) will distribute the package to the NPRNWG for review.
If necessary Commandant (MSR-2) will assist in resolving any submitted objections.
No contrary NPRNWG feedback within 10 business days will fulfill the “no
objection” requirement. Commandant (CG-MSR-2) will advise the Port Readiness
Committee point of contact of the “no objection” status.
c. The Port Readiness Committee must approve the AAR prior to it being submitted to
the Operational Commander for approval and submission in CPS.
Appendix B to COMDTINST M3010.13C
B-2
3. Oil and Hazardous Substances. Real world credit for FSEs must involve a Type 3
incident or greater (IAP required). Generally speaking, requests for credit must be
submitted to PREP4C within 1 year of the incident. For deviations, contact MER PREP
Program manager..
CHECKLIST FOR CREDIT OF REAL-WORLD OPERATIONS1
Planned Event
Determine what capabilities used in event operations match the objectives of the exercise requirement
Complete a COE in CPS
During the MTEP process, request evaluators be present during the event
Evaluate designated objectives
Note capability areas needing improvement
Prepare an AAR
Obtain AAR approval
Submit AAR into CPS
Retain credit record for 3 years
Incident/Threat
Determine appropriate objectives to be evaluated based upon record of incident operations
Review incident situation reports and hotwash to determine the eligibility of the incident being credited
towards an exercise requirement
Discuss incident with key Coast Guard personnel who participated in the incident
Develop a memo requesting credit for real-world operations including1;
Incident name, date and plan(s) used
Mission areas and objectives evaluated
Level of port community participation
Modify relevant COE in CPS to describe incident
Prepare an AAR
Obtain AAR approval from the Operational Commander and, if appropriate, a committee
Submit AAR into CPS
Retain credit record for 3 years
Notes:
1. When working through the checklist for MOL Credit please keep in mind the National Port Readiness
Network is a multi-agency network, members may need to discuss the incident with key personnel who
participated in the event.
Appendix C to COMDTINST M3010.13C
C-1
APPENDIX C. CONTINGENCY PREPAREDNESS ASSESSMENT /
COMMANDER’S EXERCISE AND TRAINING STRATEGY
CONTINGENCY PREPAREDNESS ASSESSMENT (CPA) / COMMANDER’S EXERCISE AND
TRAINING STRATEGY (CETS)
Unit: Date:
POC: POC Phone:
Coast Guard preparedness is measured in a variety of ways. This Contingency Preparedness Assessment /
Commander’s Exercise and Training Strategy (CPA / CETS) form is a tool developed by the Office of
Contingency Preparedness and Exercise Policy (CG-CPE) for the self-evaluation of command preparedness and
to assist units in the development of the unit Multi-year Training and Exercise Plan (MTEP).
The Homeland Security Exercise and Evaluation Program (HSEEP) uses capability based plans and exercises.
The USCG has contingency based plans; however we do exercise capabilities from these plans. The USCG has
used three terms to describe functions similar to capabilities: 1) mission essential tasks, 2) core components, and
3) plan elements. At present the USCG does not have a standardized set of capabilities clearly defined for use and
measurement. However, many of the 32 core capabilities identified in the National Preparedness Goal are directly
applicable to the USCG and may be useful to review as input to this assessment.
In this assessment, there is no standardized means of weighing the relative importance of each listed parameter.
Commands should use their own best judgment in prioritizing shortfalls. Commands may want to consider the
use of MSRAM and/or the DHS Threat and Hazard Identification and Risk Assessment (THIRA) process.
The CPA/CETS form utilizes four sections. The first three assess unit contingency preparedness and the fourth
uses that assessment to develop a multi-year strategy:
I. Risk Estimate
II. Standards
III. Capability Shortfalls / Best Practices
IV. Commander’s Exercise and Training Strategy
I. Risk Estimate
Rankings:
A. Rank at least the top 5 contingencies by relative risk within your AOR based on your knowledge of the
probability, vulnerability, impact and public expectation of USCG responsibility for each contingency. Use
(1) for highest and (5) for lowest risk. Input from stakeholders is encouraged. The contingencies listed below
are from CIM 3010.11(series) Appendix B.
( ) Severe Weather / Natural Disaster
(specify) ____________________ ( ) Civil Disturbance
( ) Communicable Diseases ( ) Ports, Waterways, and Coastal Security
( ) Oil & Hazardous Substances ( ) Short Notice Maritime Response (SNMR)
( ) Mass Rescue Operations ( ) Military Outload
( ) Marine Transportation System Disruption ( ) Cyber Incident Response
( ) Foreign Humanitarian Assistance and
Disaster Relief ( ) Homeland Defense
( ) Chemical, Biological, Radiological, or
Nuclear Attack. ( ) Combatant Commander Support
( ) Mass Migration ( ) Other (specify) ____________________
B. Have any of these risks changed in the past fiscal year (FY) or anticipated to change in the near future? If so,
please explain.
Appendix C to COMDTINST M3010.13C
C-2
Remarks:
II. Standards
A. Status of Contingency Plans
(1) Are all plans listed and dates updated in the Contingency Preparedness System (CPS)? If not, please
explain.
Remarks:
(2) Which contingency plans did your unit update in the last CY?
Remarks:
(3) Which contingency plans are in the process of being updated or need to be updated?
Remarks:
B. Watch Quarter Station Bill (WQSB) Status
For All Units/Commands:
(1) Does your unit’s WQSB meet the requirements of CIM 3010.24(series) and CIM 5401.6(series)?
Remarks:
(2) Does your unit display its WQSB physically and/or electronically?
Remarks:
(3) Does your unit use the National Incident Management System (NIMS) Incident Command System (ICS)
organization for its WQSB?
Remarks:
(4) Does your unit have sufficient number of personnel assigned to its WQSB and trained/able to sustain the
initial 48 hours of contingency operations?
Appendix C to COMDTINST M3010.13C
C-3
Remarks:
(5) When your unit last utilized the WQSB in a Real-World Event (RWE) or exercise, what plan was used?
Please explain below.
Remarks:
(6) For Sectors: How many personnel does your unit have for each of the following positions?
Position Title (Type 3 minimum) # Required1 # Qualified
Incident Commander 2
Public Information Officer 2
Liaison Officer 2
Agency Representative 2
Safety Officer 2
Operations Section Chief 3
Division/Group Supervisor 4
Planning Section Chief 2
Planning Staff 6
Resources Unit Leader 2
Situation Unit Leader 2
Documentation Unit Leader 1
Marine Transportation System Recovery Unit Leader 2
Demobilization Unit Leader 1
Intel/Inv Section Chief 1
Air Operations Branch Director (AirSta) 1
Logistics Section Chief (Sector or Base/DOL) 2
Logistics Staff (Base/DOL) 6
Communications Unit Leader (Base/DOL) 2
Supply Unit Leader (Base/DOL) 2
Facilities Unit Leader (Base/DOL) 2
Medical Unit Leader (Base/DOL) 1
Finance/Admin Section Chief (Base/DOL) 1
Cost/Time Unit Leader (Base/DOL) 1
Procurement Unit Leader (Base/DOL) 2
Appendix C to COMDTINST M3010.13C
C-4
Sector Type 3 Incident Management Team
Positions for Reserve Augmentation
# Required1 # Qualified
Incident Commander 2
Liaison Officer 2
Safety Officer 1
Operations Section Chief 2
Division/Group Supervisor 4
Planning Section Chief 2
Planning Staff 2
Resources Unit Leader 2
Situation Unit Leader 2
Documentation Unit Leader 2
Demobilization Unit Leader 2
Intel/Inv Section Chief 2
Logistics Section Chief (Sector or Base/DOL) 2
Logistics Staff (Base/DOL) 3
Communications Unit Leader (Base/DOL) 2
Supply Unit Leader (Base/DOL) 2
Facilities Unit Leader (Base/DOL) 2
Finance/Admin Section Chief (Base/DOL) 2
Cost/Time Unit Leader (Base/DOL) 2
Notes:
(1) Required by CIM 3010.24 (series) – 12 hr shift model
(2) Provided by Sector or Base/DOL
(7) Marine Safety Units (MSUs): How many personnel does your unit have for each of the following
positions?
Position Title (Type 3 minimum) # Required1 # Qualified
Incident Commander 1
Operations Section Chief 1
Division/Group Supervisor 2
Planning Section Chief 1
Notes:
(1) Required by CIM 3010.24 (series) – 12 hr shift model
Appendix C to COMDTINST M3010.13C
C-5
(8) Districts: How many personnel does your unit have for each of the following positions?
Position Title (Type 3 minimum) # Required1 # Qualified
Area Commander/Deputy 2
Public Information Officer 2
Liaison Officer 2
Safety Officer 2
Asst Area Commander Planning 2
Critical Resources Unit Leader 2
Situation Unit Leader 2
Documentation Unit Leader 2
Marine Transportation System Recovery Unit Leader 2
Asst Area Commander Logistics2 2
Communications Unit Leader2 2
Information Technology Specialist2 2
Facilities Unit Leader2 2
Asst Area Commander Finance/Admin Chief2 2
Intelligence Officer 2
Regional Response Coordination Center (RRCC) Staffing by District
Emergency Preparedness Liaison Officer (EPLO) 2
Assistant EPLO 2
Personnel trained in RRCC operations 2
Notes:
(1) Required by CIM 3010.24 (series) – 24hr Op Period
(2) Provided by District/DOL/Base
Appendix C to COMDTINST M3010.13C
C-6
(9) Areas: How many personnel does your unit have for each of the following positions?
Position Title (Type 3 minimum) # Required1 # Qualified
Area Commander/Deputy 2
Public Information Officer 2
Liaison Officer 2
Safety Officer 2
Asst Area Commander Planning 2
Critical Resources Unit Leader 2
Situation Unit Leader 2
Documentation Unit Leader 2
Marine Transportation System Recovery Unit Leader 2
Asst Area Commander Logistics2 2
Communications Unit Leader2 2
Information Technology Specialist2 2
Facilities Unit Leader2 2
Asst Area Commander Finance/Admin2 2
Intelligence Officer 2
Notes:
(1) Required by CIM 3010.24 (series) – 24hr Op Period
(2) Provided by CG Area/DCMS/DOL
(10)For Areas/Districts: Has the command received NIMS-Area Command training and feel confident to
perform those duties?
Remarks:
(11)For All Units/Commands: Please elaborate on any specific shortfalls and/or for “No” answers from
WQSB questions above.
Remarks:
Appendix C to COMDTINST M3010.13C
C-7
C. Real-World Events (RWE)
(1) During the past CY did your unit respond to a RWE or incident that was beyond the command’s organic
capability? If so, what was the RWE or incident?
Remarks:
(2) Was the RWE or incident evaluated for exercise credit? If not, why not?
Remarks:
(3) Were the lessons learned captured for the RWE or incident? If not, why not?
Remarks:
D. Contingency Committees and Stakeholders
(1) If applicable, list the frequency of committee meetings and comment on effectiveness.
Committee Frequency of Meetings Committee Effectiveness
Area Maritime Security
Regional Response Team
Area Committee
Port Readiness
Other (please specify)
(2) For Sectors: Has the Sector Commander established lines of communication with all appropriate
Emergency Operations Centers within the Sector AOR?
Remarks:
(3) Has the unit maintained close coordination and communications with stakeholders in its AOR?
Remarks:
E. Training and Exercise Plan Workshops (TEPW) attended?
Appendix C to COMDTINST M3010.13C
C-8
(1) Did you attend Local TEPW?
Remarks:
(2) Did you attend State TEPW?
Remarks:
(3) Did you attend FEMA Region TEPW?
Remarks:
III. Capability Shortfalls / Best Practices
Identify capability shortfalls as an estimation of relative overall preparedness within your AOR. There are several
sources for finding capability shortfalls, the most obvious being pending Remedial Action Issues (RAI) from past
AARs.
Describe each shortfall by selecting a capability title from the below list or assigning a title appropriate to the
capability shortfall (e.g. lack of worst case scenario planning).
Capability Title The National Preparedness Goal / Core Capabilities
Mission Essential Task List / CG Universal Task List
Response Plan core components (for OHM). Appendix A of PREP guidelines
Plan Elements (for AMS). Enclosure (4) of NVIC 9-02 (series)
Testing, Training and Exercising capabilities (for COOP). CIM 3010.15(series), Enclosure 5
Coast Guard capabilities based on 9700/9800 plan format
Each capability shortfall can be broken down into one or more sub-categories or “Activities”, a “Task” and
finally the root cause of the problem. See examples below. Higher headquarters preparedness specialists can help
with this during the Contingency Preparedness Assessment Visit and Review process.
Numerous “shortfalls” may be identified in this Contingency Preparedness Assessment. The command should
prioritize these based on their relative impact on overall command preparedness. Record the top five priority
shortfalls below. Some capability shortfalls cannot be addressed with training or exercises, such a lack of
resources or key assets. The Command’s shortfalls listed are those that can realistically be addressed through
training and/or exercises, as scheduled in unit’s MTEP.
Example of high priority capability shortfalls: The table below is an example. Capability activity
task(s): root cause.
(Example) C2 Operations what oil clean up strategies should be used: Root cause is a varying
opinion among adjacent Area committees for large scale spills.
(Example) Personnel Mobilization qualifications and expertise lacking: Root cause is a lack of
trained or experienced personnel for unit required functions.
A. Shortfalls
Appendix C to COMDTINST M3010.13C
C-9
(1) List the five highest priority capability shortfalls:
a.
b.
c.
d.
e.
(2) Briefly comment on the progress (or challenges) regarding the shortfalls that were identified last year on
this form.
Remarks:
B. Remedial Action Issues (RAI)
Please justify any outstanding RAIs older than 18 months and explain what actions are required to resolve them.
Remarks:
C. Best practices
Please provide a brief synopsis of your unit’s top three best practices.
a.
b.
c.
IV. Commander’s Exercise and Training Strategy
Units should combine CPA results (Risk Estimates, Standards, and Capability shortfalls) with Required Exercise
and MTEP guidance to develop an overall Commander's Exercise and Training Strategy (CETS). This strategy
should ensure training and exercise goals are best incorporated into the multi-year schedule.
A. Exercise & Training Goals
List the Command's exercise and training goals after considering shortfalls and risks identified earlier in Sections
I-III. Exercise and training goals discussed here are related to contingency preparedness. Necessary training
should be scheduled prior to exercise, and should be related to exercise goals. This section applies for the first
two years of the MTEP planning cycle and only needs to cover major unit goals, not necessarily every objective
for every exercise. Individual Concept of Exercises (COE) should more fully detail exercise objectives based off
this analysis.
Major Goals / Objectives for Exercises Related Exercise (Name/COE/FY)
a. a.
b. b.
Appendix C to COMDTINST M3010.13C
C-10
c. c.
d. d.
e. e.
Major Goals / Needs for Training Related Exercise (Name/COE/FY)
a. a.
b. b.
c. c.
d. d.
e. e.
B. Multi-year schedule
Please input the type of exercises (i.e., TTX, FE, FSE) and its corresponding COE number from your unit’s
MTEP for the 4 year MTEP planning horizon as well as two years prior. This multi-year view assists with
ensuring exercise type/frequency requirements are met.
Exercise FY__ FY__ FY__ FY__ FY__ FY__
AMSTEP Type
COE#
PREP Type
COE#
COOP Type
COE#
CONPLAN Type
COE#
MRO Type
COE#
CPOD Type
COE#
Other (specify) Type
COE#
Other (specify) Type
COE#
C. Exercise Priorities
(1) For all Units/Commands: What are your unit’s top three prioritized exercises for the next FY (not
including sub-unit exercises)?
a.
b.
c.
Appendix C to COMDTINST M3010.13C
C-11
(2) For Districts/Areas only: Please list and describe below the top sub-unit level exercises that address
AOR risks. (Please list a minimum of five / maximum of ten sub-unit exercises)
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
D. District / Area Review
For Districts/Area comment on sub-unit’s submission: If desired, elaborate or comment on any item in this
form.
Remarks:
Appendix C to COMDTINST M3010.13C
C-12
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Appendix D to COMDTINST M3010.13C
D-1
APPENDIX D. EXERCISE PLANNING MEETINGS
A. Overview. The following section provides information on the primary exercise planning
meetings: Concept and Objectives (C&O) Meeting, Initial Planning Meeting (IPM), Mid-
term Planning Meeting (MPM), Master Scenario Events List (MSEL) Meeting, Final
Planning Meeting (FPM) and the After Action Meeting used in the exercise development
cycle. It provides information on tools (e.g., agendas, draft documents, presentations) used
to assist the EPT in developing, conducting and evaluating an exercise. Not every meeting
listed here is necessary for every exercise. For simple discussion-based exercises and drills,
only an IPM and FPM may be necessary. Many meetings may be conducted via telephone
conference or video teleconference (VTC). Checklists for each of the meetings can be
accessed on the Coast Guard Office of Contingency Preparedness & Exercise Policy, Coast
Guard Web Portal. Table D-1: Timelines for Exercise Planning Meetings lists suggested
timelines to conduct these meetings.
Table D-2: Timelines for Exercise Planning Meetings
EXERCISE PLANNING MEETING TIMELINES
EXERCISE PLANNING MEETINGS LARGE SCALE /
COMPLEX
SMALL SCALE /
ROUTINE
Seminar
Concept and Objectives (C&O) Meeting 6 months Concurrently with IPM
Initial Planning Meeting (IPM) 4 months 3 months
Mid-term Planning Meeting (MPM) N/A N/A
Master Scenario Events List (MSEL) Meeting N/A N/A
Final Planning Meeting (FPM) 1 month 3 weeks
After Action Meeting N/A N/A
Workshop
Concept and Objectives (C&O) Meeting 6 months Concurrently with IPM
Initial Planning Meeting (IPM) 4 months 3 months
Mid-term Planning Meeting (MPM) N/A N/A
Master Scenario Events List (MSEL) Meeting N/A N/A
Final Planning Meeting (FPM) 1 month 3 weeks
After Action Meeting N/A N/A
Tabletop Exercise (TTX)
Concept and Objectives (C&O) Meeting 8 months 4 months or concurrently
with IPM
Initial Planning Meeting (IPM) 6 months 3 months
Mid-term Planning Meeting (MPM) N/A N/A
Master Scenario Events List (MSEL) Meeting N/A N/A
Final Planning Meeting (FPM) 2 months 1 month
After Action Meeting TBD NLT than 30 days after
EndEx
Appendix D to COMDTINST M3010.13C
D-2
EXERCISE PLANNING MEETING TIMELINES
EXERCISE PLANNING MEETINGS LARGE SCALE /
COMPLEX
SMALL SCALE /
ROUTINE
Game
Concept and Objectives (C&O) Meeting 9 months 5 months or concurrently
with IPM
Initial Planning Meeting (IPM) 7 months 4 months
Mid-term Planning Meeting (MPM) 5 months 4 months
Master Scenario Events List (MSEL) Meeting N/A N/A
Final Planning Meeting (FPM) 2 months 3 weeks
After Action Meeting N/A N/a
Drill
Concept and Objectives (C&O) Meeting N/A Concurrently with IPM
Initial Planning Meeting (IPM) 3 months
Mid-term Planning Meeting (MPM) N/A
Master Scenario Events List (MSEL) Meeting N/A
Final Planning Meeting (FPM) 3 weeks
After Action Meeting N/A
Functional Exercise (FE)
Concept and Objectives (C&O) Meeting 12 months 8 months
Initial Planning Meeting (IPM) 8 months 6 months
Mid-term Planning Meeting (MPM) 5 months 4 months
Master Scenario Events List (MSEL) Meeting 4 months 3 months
Final Planning Meeting (FPM) 2 months 1 month
After Action Meeting TBD NLT than 30 days after End
Ex
Full-Scale Exercise (FSE)
Concept and Objectives (C&O) Meeting 18 months 9 months
Initial Planning Meeting (IPM) 13 months 7 months
Mid-term Planning Meeting (MPM) 8 months 4 months
Master Scenario Events List (MSEL) Meeting 5 months 3 months
Final Planning Meeting (FPM) 2 months 1 month
After Action Meeting TBD
NLT than 30 days after End
Ex
1. Meeting Preparation. In preparation for the IPM, the Exercise Director shall provide the
EPT Leader with information on the exercise goals and scope, draft objectives,
capabilities, and limitations. The EPT Leader and team members decide on the number
of meetings needed to successfully plan a given exercise. Providing information to
Appendix D to COMDTINST M3010.13C
D-3
planning team members prior to meetings can significantly enhance the efficiency and
effectiveness of planning meetings (if they read the information before the meeting).
Materials should be provided in a read-ahead packet that typically includes: proposed
agenda, relevant background information (e.g., rationale for conducting the exercise), and
expected meeting outcomes. These items should be delivered to all meeting participants
at least one week prior to the meeting.
B. Concept & Objectives Meeting. The C&O Meeting is the formal beginning of the exercise
planning process. The goals of this meeting are to verify the purpose of the exercise,
location, commitments of resources (personnel, equipment, funding), exercise objectives, and
more specific dates and duration. Attendees include the Exercise Director, and the EPTL,
representatives of the sponsoring organization, and officials from participating and
potentially participating organizations. The C&O meeting is a good opportunity to recruit
additional entities and confirm commitments for participation and support.
For small exercises, the C&O Meeting can be combined with the IPM. Typically, the C&O
Meeting is held before the IPM for large-scale exercises, complex FSEs, or high-profile
exercises that necessitate a high level of support from executives or authorities
1. Length. Depending on the scope of the exercise, the C&O Meeting can range from two
to eight hours.
2. Location. The Exercise Director determines the location of the meeting in consideration
of the senior officials in attendance. The C&O Meeting can also be held via
teleconference where expenses or schedules preclude a face-to-face meeting.
3. Discussion Points. Possible topics or issues for a C&O Meeting include the following:
a. Exercise purpose.
b. All previous exercise After Action Reports (AARs), lessons learned, and appropriate
Remedial Action Management Program (RAMP) items
c. Proposed exercise scenario, capabilities, tasks, and objectives
d. Available exercise resources
e. Proposed exercise location, date, and duration
f. EPT and exercise participants
g. Exercise assumptions and artificialities
h. Exercise control and evaluation
i. Exercise-related training
j. Exercise security organization and structure
k. Local issues, concerns, and sensitivities
l. Exercise logistics
4. Tools. The primary tools for the C&O Meeting are a read-ahead packet containing the
COE, entity goals and objectives, AAR/IPs and RAIs from previous exercises, agenda,
and background/rationale for conducting the exercise. Briefings are useful for presenting
Appendix D to COMDTINST M3010.13C
D-4
the preliminary commitments made by participating entities as well as the proposed
exercise methodology for those unfamiliar with HSEEP.
5. Outcomes. The EPT should accomplish the following:
a. Review the risk assessments for the port or jurisdictional area.
b. Discuss the exercise purpose.
c. Agree on exercise name, type, scenario, portion of plan to be exercises, capabilities,
tasks, objectives, and assumptions and artificialities.
d. Address local issues and concerns.
e. Discuss exercise security, organization and structure.
f. Determine basic cost and resource-sharing agreements.
g. Identify training needs.
h. Update the COE.
i. Determine which other entities should be invited to the IPM.
j. Agree on exercise location, approximate date, and duration.
k. Confirm planning team membership and participants.
l. Assign roles and responsibilities to planning team members.
m. Distribute meeting minutes.
n. Prepare IPM agenda.
o. Invite potential participating entities to the IPM.
C. Initial Planning Meeting. The Initial Planning Meeting marks the beginning of the exercise
development phase. The primary purpose for the IPM is to verify the exercise scope by
seeking input from the participating entities represented on the EPT. Exercise scope includes
threat/hazard, duration, location(s), objectives and participating entities. The capabilities,
tasks, and objectives should be developed in sufficient detail to drive the design of an
exercise scenario. Planning team members are assigned responsibility and due dates for each
task.
1. Length. Depending on the type and scope of the exercise, the IPM can range from four
hours to three full working days.
2. Location. The exercise director determines the location for the IPM with input from
Planning Team members. The meeting facilities should be accessible to all participants,
have computer work station, and provide a work environment free from distraction.
3. Discussion Points. Possible topics or issues for an IPM include the following:
a. Understand the rationale for exercise development.
b. Ensure clearly defined and measurable capabilities, tasks, and objectives.
Appendix D to COMDTINST M3010.13C
D-5
c. Incorporate community Emergency Operations Plans (EOPs), Memorandums of
Agreement (MOA), participating agency Standard Operating Procedures (SOPs),
and/or other relevant policy into the exercise design.
d. Identify local issues, concerns, or sensitivities.
e. Determine the extent of play for each participating entity by establishing what each
entity will demonstrate and be evaluated on at the exercise, allowing for appropriate
logistical needs to be arranged in order to support those activities.
f. Develop a schedule for training and briefings.
g. Ensure that exercise planners consider themselves trusted agents and understand that,
in most cases, they will participate as facilitators, controllers, or evaluators (rather
than as players).
h. Choose subjects for photographs and/or audio/visual (A/V) recordings to incorporate
into exercise documents and multimedia presentations (to enhance realism).
i. Decide whether or not to record exercise proceedings.
j. Determine the optimum duration of the exercise.
k. Ensure that exercise planners understand that the exercise is conducted in a no-fault
environment intended to validate plans and procedures and identify problems and
potential solutions.
l. Select or customize the appropriate Exercise Evaluation Guides (EEGs) to determine
whether or not exercise capabilities, tasks, and objectives were achieved and to allow
participants to provide feedback.
m. Reach a consensus regarding the date, time, and location for the next meeting.
4. Tools. The primary tools for the IPM are the agenda, the list of capabilities to be
exercised, hazard information (if applicable), a proposed room layout (for discussion-
based exercises), maps and/or charts of proposed exercise area (for operations based
exercises), the Project Management timeline, and a briefing for presenting an overview of
the exercise to the planning team.
5. Outcomes. The EPT should accomplish the following:
a. Confirm exercise development schedule.
b. Develop clearly defined, realistic, and measurable capabilities, tasks, and objectives.
c. Select and customize EEGs.
d. Determine the extent of play, the objectives to be evaluated, and the appropriate
scenario events for each participating entity.
e. Identify exercise scenario variables (e.g., scope of hazard, venue, conditions).
f. Confirm a list of exercise participants, individuals or organizations, and their
assignments; these should be listed in an Extent of Play document.
g. Confirm training schedule.
h. Update COE.
Appendix D to COMDTINST M3010.13C
D-6
i. Identify the availability of SMEs and presenters for scenario event and inject drafting,
vetting, control, and/or evaluation.
j. Prepare draft exercise scenario and injects prior to MPM or MSEL synchronization
meeting.
k. Select subjects for photographs and/or A/V recordings to incorporate into exercise
documents and presentations to enhance realism (optional).
l. Determine whether to record exercise play.
m. Confirm roles of exercise planners as controllers, evaluators, or facilitators during the
exercise.
n. Determine which exercise documents and presentations must be developed and give
assignments for drafting each with associated timelines.
o. Review and ensure availability of all documents (e.g., policies, plans, procedures)
needed to draft exercise documents and presentations, and a source for each.
p. Assign responsibility for exercise logistical issues (e.g., messing, berthing,
registration, badges, and invitations).
q. Agree on date, time, agenda and location for the next meeting and the exercise.
r. Complete or schedule a visit to all facilities that will be used for exercise play and
control to ensure adequate space for the participants and exercise staff.
s. Identify IT needs to allow sufficient time to meet contracting timelines.
t. Disseminate IPM minutes.
D. Mid-Term Planning Meeting. Mid-term Planning Meetings are typically used only in FEs
and FSEs. MPMs provide additional opportunity to resolve logistics and organizational
issues that arise during planning. The MPM is a working session to discuss: 1) exercise
participant organization and staffing; 2) scenario and timeline development; 3) draft
documentation, e.g., scenario, Exercise Plan (ExPlan), Controller and Evaluator (C/E)
Handbook, MSEL; 4) scheduling; 5) training; 6) logistics; and 7) administrative
requirements. A time consuming aspect is the development of the MSEL. For large,
complex exercises, a separate MSEL meeting may be held. See the section on MSEL
Meeting for more information.
1. Length. Depending on the agenda, the MPM is generally a one to two-day meeting
(usually two if no separate MSEL planning meeting is scheduled).
2. Location. The MPM should be held at or near the exercise site to facilitate the walk-
through.
3. Discussion Points. Possible topics or issues for an MPM include the following:
a. Comments on draft exercise documentation
b. Identification of exercise venue artificialities and/or limitations
c. Agreement on final logistical items
d. Assignment of additional responsibilities
Appendix D to COMDTINST M3010.13C
D-7
e. Construction of the scenario timeline, usually the MSEL, if an additional MSEL
planning meeting will not be held
4. Tools. MPM tools include, at minimum, a status briefing, an agenda, IPM minutes, a
draft scenario timeline, draft documentation (e.g., ExPlan, C/E Handbook), and other
selected documentation needed to illustrate exercise concepts and provide planning
guidance. These documents should be distributed to MPM attendees at least 3 - 4 days in
advance.
5. Outcomes. The EPT should accomplish the following:
a. Determine exercise venue artificialities and/or limitations.
b. Finalize exercise MSEL with well-developed scenario injects (imperative if no
additional meetings are scheduled).
c. Finalize exercise documentation (e.g., ExPlan, scenario, C/E Handbook, etc.).
d. Agree on the exercise site(s).
e. Perform a walk-through of the exercise site.
f. Assign outstanding tasks to planning team members with associated timelines.
g. Finalize date, time, agenda, and location of the FPM.
h. Finalize COE.
i. Finalize procurement or contracting needs for IT and other support.
j. Disseminate MPM minutes.
E. Master Scenario Events List Planning Meeting. The Master Scenario Events List (MSEL)
Meeting focuses on developing the MSEL. It can be merged with the MPM when exercise
participants from each agency/organization bring their developed MSELs. A teleconference
or document exchange can be conducted prior to the MPM to allow planners to determine
progress or identify problems prior to the MPM/MSEL Meeting. In developing a MSEL, the
exercise planning section should first consider the capabilities, tasks and conditions
supporting each exercise objective. The team should craft the MSEL to ensure the exercise
focuses on the objectives.
1. Length. The length of a MSEL Meeting varies according to the scope of the exercise and
MSEL development team’s level or preparedness for the meeting. The EPTL should
schedule one to three days to conduct a MSEL Meeting.
2. Location. The location of the MSEL meeting should have adequate work stations and
room to project the draft MSEL on a large screen to facilitate editing.
3. Discussion Points. In developing a MSEL, the EPT must first consider the tasks,
conditions, and standards set forth by each exercise objective. As described completing a
task is one step toward demonstrating a capability. A condition is the environment in
which a task is performed and can be provided by the scenario or through the MSEL.
If scenario conditions do not stimulate performance of the appropriate task, the EPT must
develop a MSEL entry to simulate the desired situation. A well-written entry considers
the following questions:
Appendix D to COMDTINST M3010.13C
D-8
a. Is the event key (i.e., is it directly related to meeting an exercise objective)?
b. What is the desired task? Who will demonstrate the task?
c. What puts the inject into play (e.g., course of play, phone call, victim/actor, video)?
Who receives it and how?
d. What action is the player expected to complete?
e. Should a contingency inject be developed to use in case the players fail to
demonstrate the task?
4. Tools. MSEL Meeting tools include, but are not limited to, previous planning meeting
minutes, draft exercise documentation, computer and projector, and an agreed-upon
MSEL template.
5. Outcomes. Following a MSEL Meeting, the status of the MSEL’s completion may vary.
At a minimum, key events and the time of inject delivery are identified. Responsibility
for constructing the remaining events is assigned to planning team members. Once the
MSEL is drafted, the exercise planning section coordinates and sequences the event
entries to resolve conflicts and ensure the smooth progression of events throughout the
exercise. The final MSEL need to be completed at least one month prior to the exercise
so the simulation staff can review the injects.
F. Final Planning Meeting. The Final Planning Meeting is the final forum for reviewing
exercise processes and procedures. Prior to the FPM, the EPT finishes final drafts of all
exercise materials. The FPM is generally held one month prior to StartEx. No major
changes to the design or scope of the exercise or its supporting documentation should take
place at or after the FPM. The FPM ensures that all logistical requirements have been met,
all outstanding issues have been identified and resolved, and all exercise products are ready
for printing.
1. Length. Generally, the FPM is a half-day meeting for discussion-based exercises and a
one to three-day meeting for operations-based exercises.
2. Location. The FPM should be located in close proximity to the planned exercise site to
allow for a final walk-through. The facility should be accessible to all participants and
conducive to discussing and accomplishing work.
3. Discussion Points. The following items are addressed during the FPM:
a. Any open issues related to exercise planning and last-minute concerns that may arise
b. Exercise logistical activities review, e.g., equipment, supplies, contracts, schedule,
registration, attire, messing and berthing (if needed), special needs, etc.
c. Comprehensive, final review and approval of all exercise documents, e.g., SitMan,
ExPlan, MSEL, C/E Handbook, presentation materials, etc.
d. MSEL review by Controllers/SimCell
4. Tools. The primary tools for the FPM include IPM and/or MPM minutes, an agenda, and
final draft exercise documents. If possible, these materials should be delivered to other
Planning Team members five days prior to the FPM.
5. Outcomes. The EPT should accomplish the following:
Appendix D to COMDTINST M3010.13C
D-9
a. Give final approval for exercise processes and procedures.
b. Have a clear understanding of participants’ roles for exercise conduct, e.g., players,
controllers, evaluators, and check-in personnel.
c. Finalize and approve exercise documents and materials for production.
d. Identify and resolve last minute issues.
e. Schedule and confirm logistical elements, including A/V equipment, contracts,
supplies, room configuration and setup, refreshments, and schedule.
f. Disseminate FPM minutes.
g. Disseminate exercise documentation to appropriate personnel prior to the exercise.
Appendix D to COMDTINST M3010.13C
D-10
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Appendix E to COMDTINST M3010.13C
E-1
APPENDIX E. MASTER EXERCISE CHECKLIST
EXERCISE CHECKLIST
Exercise Name:
COE:
Exercise Director (ED):
Exercise Date: Actual Exercise Planning Dates:
Exercise Type:
# ACTION ITEMS ACTION
OFFICER(S)
%
COMPLETE
EXERCISE
TYPE
Post MTEP exercise planning activities
1 Designate EPTL ED All
2 Confirm exercise goals, scope, general objectives,
capabilities to be tested and limitations with ED EPTL All
3 Assign personnel to EPT ED All
4
Review Command Priority shortfalls to ensure that
exercise objectives address these gaps in
preparedness
Planning All
5 Refine exercise objectives, approximate dates and
duration in COE Planning All
6 Review the portions of plan(s) to be exercised Planning All
7 Prepare invitation or confirmation letter to C&O
meeting or IPC. Planning All
8 Identify C&O meeting location and date EPTL, ED TTX, FE, FSE
9 Ensure meeting space is well equipped and
adequate for the number of attendees Logistics All
10 Compile list of committed and potential entities
for participation in C&O meeting or IPC. Planning All
11 Decide on how many meetings are needed to plan
exercise EPTL All
12 Draft exercise planning timeline EPTL All
13 Ensure scope, type and scenario are compatible
with exercise objectives EPTL All
Preparations for C&O Meeting
14
Promulgate invitation letter. Include exercise
name, type, scenario, purpose, scope, objectives,
duration and location of the exercise, and location,
time, and date of C&O meeting. Distribute to
participating entities at least two weeks prior to the
C&O meeting.
EPTL, ED
signs TTX, FE, FSE
15 Develop participant's read ahead package to
include; Planning TTX, FE, FSE
15a Committed and potential participating entities Planning TTX, FE, FSE
15b Agenda, basic exercise info from COE and
invitation letter and expected meeting outcomes Planning TTX, FE, FSE
Appendix E to COMDTINST M3010.13C
E-2
# ACTION ITEMS ACTION
OFFICER(S)
%
COMPLETE
EXERCISE
TYPE
15c Proposed exercise planning timeline Planning TTX, FE, FSE
15d Review discussion points to develop C&O Agenda Planning TTX, FE, FSE
15e Distribute to participating entities at least one
week prior to C&O Planning TTX, FE, FSE
16 Draft proposed staffing for EPT organization EPTL TTX, FE, FSE
17 Confirm number of participating entities for C&O
meeting Admin TTX, FE, FSE
18 Develop C&O presentation EPTL TTX, FE, FSE
19 Develop sign-in sheet for C&O meeting Admin TTX, FE, FSE
Conduct C&O Meeting
20 Conduct C&O meeting with Exercise Director,
EPTL & senior officials of participating entities ED, EPTL TTX, FE, FSE
21 Review the risk assessment for AOR All C&O
attendees TTX, FE, FSE
22 Confirm exercise name, type, scenario, purpose,
and scope of exercise
All C&O
attendees TTX, FE, FSE
23
Verify exercise objectives and the portion of
plan(s) which contain capabilities and tasks to be
exercised
All C&O
attendees TTX, FE, FSE
24 Ensure exercise objectives are SMART EPTL ALL
25 Develop an exercise organization, i.e. EPT, and
confirm membership and responsibilities
All C&O
attendees TTX, FE, FSE
26 Verify participating entities and list potential
entities to be invited to IPM
All C&O
attendees TTX, FE, FSE
27 Agree on exercise location(s), approximate date
and duration
All C&O
attendees TTX, FE, FSE
28 Address local issues and concerns All C&O
attendees TTX, FE, FSE
29 Determine needs and costs for exercise resources
and resource sharing agreements
All C&O
attendees TTX, FE, FSE
30 Identify training needs All C&O
attendees TTX, FE, FSE
31 Determine date, time and location for IPM All C&O
attendees TTX, FE, FSE
32 Validate exercise planning schedule with
participating entities for all meetings
All C&O
attendees
TTX, FE, FSE
TTX, FE, FSE
33 Determine security classification for all exercise
documents EPTL TTX, FE, FSE
34 Coordinate HOMEPORT access for EPT members Logistics TTX, FE, FSE
35 Check for desired Outcomes of C&O EPTL TTX, FE, FSE
Appendix E to COMDTINST M3010.13C
E-3
# ACTION ITEMS ACTION
OFFICER(S)
%
COMPLETE
EXERCISE
TYPE
Post C&O Conference and/or Preparations for IPM
36 Prepare C&O minutes and distribute to
participating entities within 5 working days Planning All
37 Compile list of attendees at C&O and potential
attendees for IPM Admin All
38 Update COE in CPS Planning All
39
Promulgate invitation letter. Include exercise
name, type, scenario, purpose, scope, objectives,
duration and location of the exercise, and location,
time, and date of IPM. Distribute to participants
and potential exercise participating entities at least
two weeks prior to the IPM.
EPTL, ED
signs All
40 Develop initial draft of ExPlan/SitMan for review
(may only contain basic information from COE) Plan concepts All
40a
Ensure capabilities, tasks and objectives are clearly
defined and can be properly tested and evaluated
in the time available.
Senior
evaluator TTX, Ops
40b Ensure other entity plans are incorporated into
exercise design Planning TTX, FE, FSE
40c Identify local issues, concerns or sensitivities Planning All
40d Draft of logistical needs Planning All
41
Review information needed for exercise
documents (ExPlan or SitMan, C/E handbook,
Players Handout, etc.)
Plan eval All
42 Develop initial draft of Exercise Evaluation
Guides (EEGs) based on COE objectives Planning All
43 Post draft documents to HOMEPORT Planning All
44
Develop participant's read ahead package for IPC
to include copy of invitation ltr, updated IPC
agenda and draft ExPlan or SitMan.
Planning All
45 Update exercise info from C&O meeting (if held) Planning All
46 Distribute read ahead package to participating and
potential entities NLT 1 week prior to IPM Admin All
47 Create IPM sign-in sheet (use names from C&O
meeting if held) Admin All
48 Make Table Tents and Name Badges Admin All
49 Develop presentation for IPM EPTL All
50 Develop proposed schedule for training Plan resources TTX, Ops
51 Determine proposed use of audio/visual (A/V) aids
for multimedia presentations
PAO/PIO,
Planning TTX, Ops
Conduct IPM
Appendix E to COMDTINST M3010.13C
E-4
# ACTION ITEMS ACTION
OFFICER(S)
%
COMPLETE
EXERCISE
TYPE
52 Verify/Identify EPT members
Participating
entity reps,
EPTL
All
53 Identify and assign action items and due dates to
the EPT members. EPTL All
54
Validate all dates on exercise planning timeline
with milestones (Such as, MSEL development
workshop with MPM, MSEL sync workshop with
FPM)
Participating
entity reps,
EPTL
All
55
Identify the availability of SMEs and presenters
for scenario event and inject drafting, vetting,
control, and/or evaluation
Participating
entity reps,
EPTL
FE, FSE
56 Identify potential VIPs and observers Admin, PAO TTX, Ops
57
Review, discuss and begin collection of
information for development of draft ExPlan or
SitMan
Plan concepts All
57a Exercise purpose and scope EPTL All
57b Duration, date and time of exercise and schedule
of events All
57c
List of participating entities with resources
(personnel, equipment, assets on ICS form 204,
Assignment List) tentatively assigned to exercise,
i.e. extent of play document
Planning Ops
57d Compile list of entity plans being tested Plan concepts All
57e Confirm roles and responsibilities of EPT
members during the exercise EPTL All
57f Develop scenario based on objectives, mission
capabilities, scope, and participating entities Plan concepts TTX, Ops
57g
Verify and refine exercise objectives based on
priority shortfalls, scope, scenario, capabilities,
hazards & threats and participating entities. Ensure
that they are SMART.
Plan concepts All
57h Determine exercise weather conditions (pre-
determined or real-world) Plan concepts TTX, Ops
57i Assumptions and artificialities EPTL TTX, Ops
57j Logistics Logistics FSE
57k Communications Logistics TTX, Ops
57l Safety Safety Officer TTX, Ops
57m Rules of Play Plan control FSE
58 Controller and/or evaluator Plan EPTL TTX, Ops
58a Identify Facilitator/Controllers and number
required Senior
controller, TTX, Ops
Appendix E to COMDTINST M3010.13C
E-5
# ACTION ITEMS ACTION
OFFICER(S)
%
COMPLETE
EXERCISE
TYPE EPTL
58b
Identify Evaluator/Recorders and number required
(evaluators should be external to command and
SMEs on the subject/area they will evaluate)
Senior
controller,
EPTL
TTX, Ops
58c Discuss MSEL development of scenario events Plan concepts FE, FSE
59 Confirm training scheduled and further needs
(ICS, Response procedures, etc.)
Participating
entities TTX, Ops
60 Confirm HOMEPORT access for all new EPT
members Admin All
61 Determine the following designated areas for
exercise EPT All
61a Exercise venues EPT FE, FSE
61b SimCell location Senior
controller FE, FSE
61c Parking areas Logistics TTX, FE, FSE
61d Registration areas Admin TTX, FE, FSE
61e Assembly area Plan control FSE
61f Response routes Logistics FSE
Appendix E to COMDTINST M3010.13C
E-6
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Appendix F to COMDTINST M3010.13C
F-1
APPENDIX F. GLOSSARY
TERM DEFINITION
Actor Briefing
An Actor Briefing is generally conducted before the exercise and provides actors with
an overview of the exercise, including: exercise overview, safety, real emergency
procedures, symptomatology, acting instructions, and schedule. Identification badges
and symptomatology cards are distributed before or during this briefing.
After Action Meeting
The After Action Meeting is a meeting held among elected and appointed officials or
their designees from the exercising organizations, as well as the lead evaluator and
members of the EPT, to debrief the exercise and to review and refine the draft AAR/IP.
The After Action Meeting should be an interactive session, providing attendees the
opportunity to discuss and validate the analytical findings and corrective actions in the
draft AAR/IP.
After Action Report/
Improvement Plan
(AAR/IP)
The main product of the evaluation and improvement planning process is the AAR/IP.
The AAR/IP has two components: 1) an AAR, which captures observations of an
exercise and makes recommendations for post-exercise improvements; and 2) an IP,
which identifies specific corrective actions, assigns them to responsible parties, and
establishes targets for their completion.
Area Maritime
Security Training
and Exercise
Program (AMSTEP)
AMSTEP is a U.S. Coast Guard contingency training and exercise program designed to
assess the effectiveness of Area Maritime Security Plans (AMSPs) and port
communities’ ability to prevent, respond to, and recover from a transportation security
incident (TSI).
Assembly Area
The assembly area is the gathering place for deployable resources (e.g., fire engines,
police cars) before the start of an operations-based exercise. The assembly area
simulates each department or agency’s home station or office. The assembly area
provides a safer and more controlled environment than deploying apparatus from each
agency’s home station. In order to realistically simulate the response from the agency’s
home station or office, response times should be collected for each unit, so units can be
appropriately released from the assembly area after they have been dispatched.
Assembly Area
Controller
The assembly area controller is responsible for the logistical organization of the
assembly area, including placement locations for units and coordination of exiting
patterns for dispatched units.
Awareness
Awareness is the continual process of collecting, analyzing, and disseminating
intelligence, information, and knowledge to allow organizations and individuals to
anticipate requirements and to react effectively.
Best Practices
Best practices are peer-validated techniques, procedures, and solutions that prove
successful and are solidly grounded in actual experience in operations, training, and
exercises. AAR/IPs should identify lessons learned and highlight best practices.
Capabilities-Based
Planning
Capabilities-based planning is defined as planning, under uncertainty, to build
capabilities suitable for a wide range of threats and hazards while working within an
economic framework that necessitates prioritization and choice. Capabilities-based
planning is the basis for guidance such as the National Preparedness Goal.
Capability The ability of a unit, asset, or resource to perform an assigned task in order to achieve
an objective.
Coast Guard
Standard After
Action Information
and Lessons Learned
System (CG-SAILS)
CG-SAILS resides within the Contingency Preparedness System (CPS) and is an
unclassified system. CG-SAILS is used to collect, compile, monitor the resolution of,
and report the status of After Action Reports (AARs), Lessons Learned, and Best
Practices.
Appendix F to COMDTINST M3010.13C
F-2
TERM DEFINITION
Combatant
Commander
(CCDR)
A CCDR is the commander of one of the unified or specified geographic or functional
combatant commands established by the President. There six geographic combatant
commands that are assigned a geographic AOR within which their missions are
accomplished with assigned and/or attached forces; they include U.S. Africa Command
(USAFRICOM), U.S. Central Command (USCENTCOM), U.S. European Command
(USEUCOM), U.S. Pacific Command (USPACOM), U.S. Northern Command
(USNORTHCOM), and U.S. Southern Command (USSOUTHCOM). There are three
functional combatant commands, including US Strategic Command (USSTRATCOM),
US Special Operations Command (USSOCOM), and US Transportation Command
(USSTRATCOM).
Command Post
Exercise (CPX)*
In CPXs forces are simulated, involving the commander, the staff, and communications
within and between headquarters and field command posts.
Commander’s
Exercise and
Training Strategy
(CETS)
The Commander’s Exercise and Training Strategy (CETS) is the commander’s strategy
for making the best use of the available resources to improve preparedness through
exercises and exercise preparatory training. The strategy guides the command in
developing its exercise and training schedule. The CETS is developed based on
Command priority shortfalls from the Preparedness Assessment, MTEP Planning
Guidance strategic priorities, and exercise requirements.
Concept and
Objectives (C&O)
Meeting
A C&O Meeting is the formal beginning of the exercise planning process. It is held to
identify the scope and objectives of the exercise. For less complex exercises and for
organizations with limited resources, the C&O Meeting can be conducted in conjunction
with the IPM.
Contingency
Potential threats and hazards of concern (specified by Coast Guard directives, or
identified through a Threat and Hazard Identification and Risk Assessment) anticipated
to occur within a unit or command's area of responsibility.
Contingency
Preparedness
Assessment
An internal appraisal designed to identify gaps or shortfalls in contingency
preparedness. It is a self evaluation of command preparedness made from a
standardized checklist of measureable parameters or indicators. The checklist consists of
questions about 1) contingency risk; 2) standards of preparedness; and 3) capabilities.
Contingency
Preparedness System
(CPS)
CPS is an online searchable database intended to connect exercise planning and conduct
with contingency plans, lessons learned, and corrective actions. It is used to enhance
management of the Coast Guard Exercise Program and individual contingency planning
programs. CPS provides an efficient means of entering, integrating, managing, and
monitoring Contingency Plans and COEs, spend plans, and AARs, from real events,
incidents, and exercises.
Contingency Sponsor The Contingency Sponsor, previously the program manager, is the CG office
responsible for policy, guidance, requirements, and support for a given Contingency.
Control Staff
Instructions
The Control Staff Instructions contains guidance that controllers may need concerning
procedures and responsibilities for exercise control, simulation, and support. These
instructions, typically only used in larger, more complex exercises, are designed to help
exercise controllers understand their roles and responsibilities in exercise execution in
order to conduct an effective exercise. For most exercises, however, the Control Staff
Instructions can be combined with an Evaluation Plan (EvalPlan) to produce a
Controller and Evaluator (C/E) Handbook.
Controller/Evaluator
(C/E) Briefing
The C/E Briefing is a pre-exercise overview for controllers, evaluators, and the exercise
administrative staff. The briefing summarizes the C/E Handbook (or the Control Staff
Instructions and EvalPlan) and focuses on explaining the roles and responsibilities of
controllers and evaluators.
Appendix F to COMDTINST M3010.13C
F-3
TERM DEFINITION
Controller/Evaluator
(C/E) Debriefing
The C/E Debriefing provides a forum for functional area controllers and evaluators to
review the exercise. The EPT leader facilitates this debriefing, which provides each
controller and evaluator with an opportunity to provide an overview of the functional
area they observed and to discuss both strengths and areas for improvement. During the
debriefing, controllers and evaluators complete and submit their EEGs and their
Participant Feedback Forms. Debriefing results are captured for inclusion in the
AAR/IP.
Controller/Evaluator
(C/E) Handbook
The C/E Handbook specifically describes the roles and responsibilities of exercise
controllers and evaluators and the procedures they must follow. Because the C/E
Handbook contains information about the scenario and about exercise administration, it
is distributed to only those individuals specifically designated as controllers or
evaluators.
Controllers
In operations-based and some complex discussion-based exercises, controllers plan and
manage exercise play, set up and operate the exercise incident site, and possibly take the
roles of individuals and agencies not actually participating in the exercise. Controllers
direct the pace of exercise play, provide key data to players, and may prompt or initiate
certain player actions and injects to the players as described in the MSEL to ensure
exercise continuity. Controllers issue exercise materials to players as required, monitor
the exercise timeline, and supervise the safety of all exercise participants. Controllers
are the only participants who should provide information or direction to players. All
controllers should be accountable to one senior controller.
Corrective Action
Corrective actions are the concrete, actionable steps outlined in IPs that are intended to
resolve preparedness gaps and shortcomings experienced in exercises or real-world
events.
Corrective Action
Program (CAP)
A CAP is an HSEEP element of improvement planning process through which
corrective actions from the AAR/IP are prioritized, tracked, and analyzed continuously
until they have been fully implemented and validated. RAMP is the USCG comparable
program.
Drill
A drill is a coordinated, supervised activity usually employed to validate a specific
operation or function in a single agency or organization. Drills are commonly used to
provide training on new equipment, develop or validate new policies or procedures, or
practice and maintain current skills.
Discussion-Based
Exercise
Discussion-based exercises include seminars, workshops, TTXs, and games. They are
normally used as a starting point in the building-block approach to the exercise cycle.
These types of exercises typically highlight existing plans, policies, Memorandums of
Agreement (MOAs), and doctrine, and are used to familiarize agencies and personnel
with an entity’s current or expected capabilities. Discussion-based exercises typically
focus on strategic, policy-oriented issues.
Doctrine
Fundamental principles by which military forces or elements thereof guide their actions
in support of national objectives. Doctrine is authoritative but requires judgment in
application, and provides decision makers and personnel a standard frame of reference.
Drill
A drill, a type of operations-based exercise, is a coordinated, supervised activity usually
employed to test a single specific operation or function in a single agency. Drills are
commonly used to provide training on new equipment, develop or test new policies or
TTP, or practice and maintain current skills.
Appendix F to COMDTINST M3010.13C
F-4
TERM DEFINITION
Emergency
Operations Center
(EOC)
An EOC is the physical location at which the coordination of information and resources
to support domestic incident management activities normally takes place. An EOC may
be a temporary facility or may be located in a central or permanently established
facility, perhaps at a higher level of organization within a jurisdiction. EOCs may be
organized by major functional disciplines, by jurisdiction, or by some combination
thereof.
Evaluation Plan
(EvalPlan)
The EvalPlan is typically used for exercises of a large scope and scale. An EvalPlan
provides evaluation staff with guidance and instructions on evaluation or observation
methodology to be used as well as essential materials required to execute their specific
functions.
Evaluation Team
The evaluation team consists of evaluators trained to observe and record participant
actions. These individuals should be familiar with the exercising jurisdiction’s plans,
policies, procedures, and agreements.
Evaluator
Evaluators, selected from participating agencies, are chosen based on their expertise in
the functional areas they will observe. Evaluators use EEGs to measure and assess
performance, capture unresolved issues, and analyze exercise results. Evaluators
passively assess and document players’ performance against established emergency
plans and exercise evaluation criteria, in accordance with HSEEP standards and without
interfering with exercise flow.
Event An event is an expected action in the MSEL that is planned to take place during an
exercise.
Exercise
An exercise is an instrument to train for, assess, practice, and improve performance in
prevention, protection, mitigation, response, and recovery capabilities in a risk-free
environment. Exercises can be used for testing and validating policies, plans,
procedures, training, equipment, and interagency agreements; clarifying and training
personnel in roles and responsibilities; improving interagency coordination and
communications; improving individual performance; identifying gaps in resources; and
identifying opportunities for improvement.
Exercise Director
(ED)
The Exercise Director oversees all exercise functions during exercise conduct; oversees
and remains in contact with controllers and evaluators; debriefs controllers and
evaluators following the exercise; and oversees setup and cleanup of the exercise as well
as positioning of controllers and evaluators.
Exercise Evaluation
Guide (EEG)
EEGs provide a template for observing and collecting exercise data in relation to
objectives and associated core capabilities. EEGs typically identify targets and critical
tasks for exercise objectives and core capabilities and enable evaluators to capture
structured and unstructured data regarding exercise performance. Evaluators should
develop and customize EEGs to meet the unique objectives of their exercise and to
reflect jurisdiction-specific capability targets.
Exercise Plan
(ExPlan)
An ExPlan is a general information document that helps operations-based exercises run
smoothly by providing participants with a synopsis of the exercise. It is published and
distributed to the participating organizations following development of most of the
critical elements of the exercise. In addition to addressing exercise objectives and scope,
an ExPlan assigns activities and responsibilities for exercise planning, conduct, and
evaluation. The ExPlan is intended to be seen by the exercise players and observers—
therefore, it does not contain detailed scenario information that may reduce the realism
of the exercise.
Appendix F to COMDTINST M3010.13C
F-5
TERM DEFINITION
Exercise Planning
Team (EPT)
The EPT is responsible for the successful execution of all aspects of an individual
exercise. The planning team determines exercise objectives and core capabilities,
creates a realistic scenario to achieve the exercise objectives, and develops documents to
guide exercise conduct and evaluation. The planning team’s organization and
management principles should include clearly defined roles and responsibilities and a
manageable span of control.
Exercise Play Area The exercise play area is the site or facility where the bulk of tactical player activities
and tasks are demonstrated during an exercise.
Exercise Play Rules
Exercise play rules are the parameters that exercise participants follow during the
exercise. Exercise play rules describe appropriate exercise behavior, particularly in the
case of real-world emergencies.
Exercise Program
Management
Contingency exercise program management uses a multi-year approach to selecting
exercises and building an exercise schedule to better improve preparedness. Exercise
program management includes a set of processes to help commands with contingency
plans determine their training and exercise needs and develop a Multi-year Training and
Exercise Plan (MTEP) for achieving them. By completing these processes, the
command will create strategies that effectively focus their preparedness efforts.
Exercise Project
Management
Exercise project management is the act of engaging in design and development,
conduct, evaluation, and improvement planning for an individual exercise. Effective
project management ensures that all aspects of planning and executing an individual
exercise are done efficiently and are grounded in common approaches and best
practices.
Exercise Sponsor
(ES)
The Exercise Sponsor (ES) is the organizational element that prescribes the policy and
obtains funding for the contingency being exercised. The ES provides direction, much
like an agency executive. For duties of the sponsor, see page 5-5 of this Manual.
Exercise Support
Team (EST)
The EST Program was established to support Coast Guard Commands in exercise
design, planning, conduct, and. Currently, ESTs support all hazards and all threats
exercises at the Federal, State, local, tribal, private sector, and international levels. An
EST typically has three to four members with exercise and preparedness improvement
experience.
Facilitated
Discussion
A facilitated discussion is the focused discussion of specific issues through a facilitator
with functional area or subject-matter expertise.
Facilitator
During a discussion-based exercise, the facilitator(s) is responsible for keeping
participant discussions on track with exercise objectives and ensuring all issues and
objectives are explored as thoroughly as possible within time constraints. If an exercise
uses breakout groups, more than one facilitator may be needed.
Field Training
Exercise (FTX)*
In an FTX actual forces are used to train commanders, staffs, and individual units in
basic, intermediate, and advanced-level warfare skills. Generally, a multi-day, 24hr/day
exercise.
Final Planning
Meeting (FPM)
The FPM is the final forum for reviewing exercise processes and procedures. An FPM
should be conducted for all exercises to ensure that all elements of the exercise are
ready for conduct. Prior to the FPM, the exercise planning team receives final drafts of
all exercise materials. No major changes to exercise’s design, scope, or supporting
documentation should take place at or following the FPM. The FPM ensures that all
logistical requirements have been met, outstanding issues have been identified and
resolved, and exercise products are ready for printing.
Appendix F to COMDTINST M3010.13C
F-6
TERM DEFINITION
Full-Scale Exercise
(FSE)
FSEs are typically the most complex and resource-intensive type of exercise. They
involve multiple agencies, organizations, and jurisdictions and validate many facets of
preparedness. FSEs often include many players operating under cooperative systems
such as the Incident Command System or Unified Command.
Functional Exercise
(FE)
Functional exercises are designed to validate and evaluate capabilities, multiple
functions and/or sub-functions, or interdependent groups of functions. FEs are typically
focused on exercising plans, policies, procedures, and staff members involved in
management, direction, command, and control functions. In FEs, events are projected
through an exercise scenario with event updates that drive activity at the management
level. An FE is conducted in a realistic, real-time environment; however, movement of
personnel and equipment is usually simulated.
Governmental
Affairs Committee
(GAC)
GAC funds for annual Contingency Preparedness Support are maintained by each Area
and used for the 9700/9800 plan contingencies.
Game
A game is a simulation of operations that often involves two or more teams, usually in a
competitive environment, using rules, data, and procedures designed to depict an actual
or hypothetic situation. Games explore the consequences of player decisions and actions
and are therefore excellent tools to use when validating or reinforcing plans and
procedures or evaluating resource requirements.
Ground Truth
Ground Truth is a component of prevention exercise documentation comprised of the
detailed elements of the scenario that must remain consistent during exercise
development and conduct to ensure that realism is maintained and objectives are met in
the unscripted move-countermove exercise environment.
Ground Truth
Advisor
In prevention exercises, the ground truth advisor tracks how the adversary (i.e., red
team) and exercise participant moves and countermoves change the fabric of the
exercise environment, potentially creating additional truths. To ensure consistency, each
unscripted MSEL inject should be vetted by the ground truth advisor.
Homeland Security
Exercise and
Evaluation Program
(HSEEP)
HSEEP is a program that provides a set of guiding principles for exercise programs, as
well as a common approach to exercise program management, design and development,
conduct, evaluation, and improvement planning.
HOMEPORT
HOMEPORT is a U.S. Coast Guard online tool to facilitate compliance with the
requirements set forth in the Maritime Transportation Security Act (MTSA) of 2002.
HOMEPORT provides secure information dissemination, advanced collaboration,
electronic submission for vessel and facility security plans, and complex electronic and
telecommunication notification capabilities. HOMEPORT should be used for
collaboration on exercise related documents that are SSI.
Hotwash
A Hot Wash is a facilitated discussion held immediately after an exercise among
exercise players. It captures feedback about any issues, concerns, or proposed
improvements players may have about the exercise. The Hot Wash is an opportunity for
players to voice their opinions on the exercise and their own performance.
Improvement Plan
(IP)
The IP identifies specific corrective actions, assigns them to responsible parties, and
establishes target dates for their completion. The IP is developed in conjunction with the
AAR.
Incident An occurrence or event, natural or human-caused that requires an emergency response
to protect life or property.
Incident Command
System (ICS)
A standardized on-scene emergency management construct designed to aid in the
management of resources during incidents.
Appendix F to COMDTINST M3010.13C
F-7
TERM DEFINITION
Initial Planning
Meeting (IPM)
The IPM marks the beginning of the exercise development phase. An IPM’s purpose is
to determine exercise scope by gathering input from the exercise planning team; design
requirements and conditions (e.g., assumptions and artificialities); objectives; extent of
play; and scenario variables (e.g., time, location, hazard selection). The IPM is also used
to develop exercise documentation by obtaining the planning team’s input on exercise
location, schedule, duration, and other relevant details.
Inject
Injects are MSEL events that prompt players to implement the plans, policies, and
procedures that planners want the exercise to validate. Exercise controllers provide
injects to exercise players to drive exercise play toward achievement of objectives.
Injects can be written, oral, televised, and/or transmitted via any means (e.g., fax, phone,
e-mail, voice, radio). Injects can be contextual or contingency.
A controller introduces a contextual inject to a player to help build the exercise
operating environment. For example, if the exercise is designed to test information-
sharing capabilities, a MSEL inject can be developed to direct a controller to select an
actor to portray a suspect. The inject could then instruct the controller to prompt
another actor to approach a law enforcement officer and inform him/her that this person
was behaving suspiciously.
A controller introduces a contingency inject to a player if players are not performing
the actions needed to sustain exercise play. This ensures that play moves forward, as
needed, to adequately test performance of activities. For example, if a simulated
secondary device is placed at an incident scene during a terrorism response exercise, but
is not discovered, a controller may want to prompt an actor to approach a player to say
that he/she witnessed suspicious activity close to the device location. This should
prompt the responder’s discovery of the device, and result in subsequent execution of
the desired notification procedures.
Joint Exercise*
A Joint Exercise is a joint military maneuver, simulated wartime operation, or other
event designated by the Chairman of the Joint Chiefs of Staff or by a combatant
commander that involves planning, preparation, execution, and evaluation. The forces
of two or more military departments interact with a combatant commander or
subordinate joint force commander, as well as with joint forces and/or staffs. The
exercise is conducted using joint doctrine or joint tactics, techniques, and procedures.
Lead Evaluator
The lead evaluator should participate fully as a member of the exercise planning team
and should be a senior-level individual familiar with all relevant issues associated with
the exercise, including plans, policies, and procedures of the exercising organizations;
Incident Command and decision-making processes of the exercising organizations; and
interagency and/or inter-jurisdictional coordination issues relevant to the exercise. The
lead evaluator should have the management skills needed to oversee a team of
evaluators over an extended process as well as the knowledge and analytical skills to
undertake a thorough and accurate analysis of all capabilities being tested during an
exercise.
Lessons Learned
(LL)
Knowledge gained through operational experience (actual events or exercises) that
improve performance of others in the same discipline. Exercise AAR/IPs should
identify lessons learned and highlight best practices.
Master Scenario
Events List (MSEL)
The MSEL is a chronological timeline of expected actions and scripted events to be
injected into exercise play by controllers to generate or prompt player activity. It
ensures necessary events happen so that all objectives are met. Larger, more complex
exercises may also use a procedural flow, which differs from the MSEL in that it
contains only expected player actions or events. The MSEL links simulation to action,
enhances exercise experience for players, and reflects an incident or activity meant to
prompt players to action.
Appendix F to COMDTINST M3010.13C
F-8
TERM DEFINITION
Media Personnel
Some media personnel may be present as observers, pending approval by exercise
personnel and exercise support team members. The SimCell may simulate media
interaction in order to enhance realism and to meet related exercise objectives.
Mid-Term Planning
Conference (MPM)
The MPM is a planning meeting for exercises. It is used to discuss exercise organization
and staffing concepts; scenario and timeline development; and scheduling, logistics, and
administrative requirements. It is also a session to review draft documentation.
Mission
The Coast Guard has 11 missions falling under three broad roles. The three roles
include Maritime Safety, Maritime Security, and Maritime Stewardship. The missions
include Search and Rescue; Marine Safety; Marine Environmental Protection; Living
Marine Resources; Ice Operations; Aids to Navigation; Other Law Enforcement;
Defense Readiness; Migrant Interdiction; Drug Interdiction; and Ports, Waterways, and
Coastal Security.
Moderated
Discussion
A moderated discussion is a facilitated, discussion-based forum where a representative
from each functional area breakout presents to participants a summary and results from
a group’s earlier facilitated discussion. During moderated discussions, spokespersons
summarize the facilitated discussion, present key findings and issues, and discuss any
unresolved issues or questions. At the end of the moderated discussion period, the floor
is open for questions.
Multi-year Training
and Exercise Plan
(MTEP)
The MTEP is the foundational document guiding a successful exercise program. The
MTEP provides a mechanism for long-term coordination of training and exercise
activities toward an entity’s preparedness goals. This plan describes the program’s
training and exercise priorities and associated capabilities, and aids in employing the
building block approach for training and exercise activities. Within the MTEP, the
multi-year schedule graphically illustrates training and exercise activities that support
the identified priorities. The schedule is color-coded by priority and presents a multi-
year outlook for task and priority achievement. As training and exercises are
completed, the document can be updated, modified, and revised to reflect changes to the
priorities and new capabilities that need to be assessed. The MTEP and schedule are
produced based on the outcomes of the Training and Exercise Plan Workshop (TEPW).
National Exercise
Division (NED)
NED is the FEMA component that provides exercise and evaluation policy and planning
support to FEMA, DHS, the federal interagency, and state and local stakeholders.
National Exercise
Program (NEP)
The NEP’s mission is to serve as the principal exercise mechanism for examining the
preparedness and measuring the readiness of the United States across the entire
homeland security enterprise by designing, coordinating, conducting, and evaluating a
progressive cycle of exercises that rigorously test the Nation’s ability to perform
missions or functions that prevent, protect against, respond to, recover from, and
mitigate all hazards.
National Incident
Management System
(NIMS)
The NIMS standard was designed to enhance the ability of the United States to manage
domestic incidents by establishing a single, comprehensive system for incident
management. It is a system mandated by Homeland Security Presidential Directive 5
(HSPD-5) that provides a consistent, nationwide approach for Federal, State, local,
tribal, and territorial governments; the private sector; and nongovernmental
organizations to work effectively and efficiently together to prepare for, respond to, and
recover from domestic incidents, regardless of cause, size, or complexity.
Appendix F to COMDTINST M3010.13C
F-9
TERM DEFINITION
Objectives
Objectives are the distinct outcomes an organization wishes to achieve during an
individual exercise. Objectives should reflect the exercise sponsor’s specific needs,
environment, plans, and procedures, while providing a framework for scenario
development and a basis for evaluation. Objectives can be based on outcomes from a
THIRA, from Homeland Security Strategies, and other preparedness documents.
Planners should create objectives that are specific, measurable, achievable, relevant, and
time-bound (SMART) and should limit the number of exercise objectives to enable
timely exercise conduct, facilitate reasonable scenario design, and support successful
evaluation.
Observer
Observers do not directly participate in the exercise; rather, they observe selected
segments of the exercise as it unfolds, while remaining separated from player activities.
Observers view the exercise from a designated observation area and are asked to remain
within the observation area during the exercise. A dedicated controller or public
information officer should be assigned to manage these groups. In a discussion-based
exercise, observers may support the development of player responses to the situation
during the discussion by delivering messages or citing references.
Observer Briefing
An Observer Briefing is generally conducted the day of an exercise and informs
observers and VIPs about program background, scenario, schedule of events, observer
limitations, and any other miscellaneous information. Participant Handouts and ExPlans
or SitMans, depending on the type of exercise being conducted, are often distributed
during this briefing.
Observer/Media
Area
This is a designated area that provides observers and real-world media representatives
with a view of the exercise but prevents them from interfering with exercise play.
Operational
Planning Direction
(OPD)
The OPD is part of the multi-year planning cycle and a product of the Standard
Operating Planning Process (SOPP). The Strategic Planning Direction (SPD) is used to
develop the OPD.
Operations-Based
Exercise
Operations-based exercises include drills, functional exercises (FEs), and full-scale
exercises (FSEs). These exercises can be used to validate plans, policies, agreements,
and procedures; clarify roles and responsibilities; and identify resource gaps.
Operations-based exercises are characterized by actual reaction to an exercise scenario,
such as initiating communications or mobilizing personnel and resources.
Participant Participants are the overarching group that includes all players, controllers, evaluators,
and staff members involved in conducting an exercise.
Partners Partners are the federal, state, and local government agencies that work with the Coast
Guard to secure and protect ports and waterways.
Planning Meetings
Effective exercise design and development involve a combination of exercise planning
meetings. These meetings bring together the full range of exercise stakeholders to
discuss and agree on key aspects of the exercise’s design and development. Various
factors—including exercise scope, type, and complexity—inform the types of meetings
needed, and exercise planners should tailor the planning meeting schedule to suit the
particular nature of the exercise.
Player
Players have an active role in preventing, responding to, or recovering from the risks
and hazards presented in the scenario, by either discussing or performing their regular
roles and responsibilities. Players initiate actions that will respond to and/or mitigate the
simulated emergency.
Appendix F to COMDTINST M3010.13C
F-10
TERM DEFINITION
Player Briefing
The player briefing, held immediately prior to an operations-based exercise, addresses
individual roles and responsibilities, exercise parameters, safety, badges, and any other
logistical items. For a drill or FSE, player briefings typically take place in the assembly
area.
Policy
A Player Briefing is held immediately before an exercise and addresses individual roles
and responsibilities, exercise parameters, safety, badges, and any other logistical items.
For a drill or full-scale exercise, Player Briefings typically occur in the exercise
assembly area.
Preparedness
The range of deliberate, critical tasks and activities necessary to build, sustain, and
improve the operational capability to prevent, protect against, respond to, and recover
from domestic incidents.
Prevention
The Prevention element of the Ports, Waterways & Coastal Security (PWCS) mission
encompasses activities that serve to safeguard the domestic maritime domain from
intentional and unintentional threats to ports, waterways, waterway facilities, MTSA-
regulated facilities, vessels, and other maritime infrastructure and the supply chain.
They are actions and compliance measures taken to avoid or deter an incident or to
intervene to stop an incident from occurring. They involve actions and measures taken
to prevent the loss of lives and property and infrastructure. Prevention involves
applying regulatory requirements; applying intelligence and other information to a range
of activities that may include such countermeasures as deterrence operations;
heightened inspections; improved surveillance and security operations; investigations to
determine the full nature and source of the threat; public health and agricultural
surveillance and testing processes; immunizations, isolation, or quarantine; and, as
appropriate, specific law enforcement operations aimed at deterring, preempting,
interdicting, or disrupting illegal activity and apprehending potential perpetrators and
bringing them to justice.
Prevention Exercises Prevention exercises may focus on issues that pertain to information and intelligence
sharing, credible threats, surveillance, and/or opposing forces.
Props
Props are nonfunctional replications of objects. The presence or discovery of props
requires certain actions by exercise players. Examples of props include simulated
bombs, bomb blast debris (shrapnel), mannequins or body parts, and foam bricks and
beams. Simulants that mimic the effects of chemical or radiological hazards or that
cause a positive reading of an actual detection device are also considered props.
Protection The capabilities necessary to secure the homeland against acts of terrorism and
manmade or natural disasters.
Quick Look Report
(QLR)
The QLR is an abbreviated version of the AAR that provides commanders and/or senior
leadership a preliminary “snapshot” of issues arising from operations, exercises, or
training events. The QLR documents the results of the hotwashes and highlights
preliminary areas for improvement and strengths. The QLR also identifies issues that
require immediate attention beyond the unit’s capability to correct.
Recommendations Recommendations are developed to address the areas for improvement identified during
an exercise and are listed in the AAR/IP.
Appendix F to COMDTINST M3010.13C
F-11
TERM DEFINITION
Recovery
Recovery consists of short-term and long-term phases. Unless otherwise stated, Coast
Guard exercises involving recovery focus on the short-term phase. Short-term recovery
covers the period during which impacted infrastructure and supporting activities within
the incident area have been returned to service and are capable of operations or service
at some level. Initial activities, policies, or mitigation strategies aimed at recovery are
notionally considered to be achievable in 90 days or less. Principal Coast Guard
activities include restoration of infrastructure and navigation systems, mitigation of
effects of oil and hazardous materials spills, and facilitation of recovery of the Marine
Transportation System. Long-term recovery covers the period in which infrastructure
and supporting activities have been returned to pre-incident conditions or service, or
have the capacity or capability to operate or provide service at pre-incident levels.
Activities, policies, or mitigation strategies aimed at long-term recovery may take
longer than 90 days. Long-term recovery as used here parallels long-term community
recovery measures associated with National Response Framework Emergency Support
Function (ESF) #14.
Red Team/
Opposition Force
(OPFOR)
The Red Team, or opposition force (OPFOR), is a group of subject matter experts
(SMEs) from various appropriate disciplinary backgrounds who provide an independent
peer review of plans and processes, act as the adversary’s advocate, and knowledgeably
role-play the adversary using a controlled, realistic, interactive process during
operations planning, training, and exercising. In prevention exercises, this group of
operators adapt to player decisions and actions according to the prescribed adversary’s
motivations and tactics, which often provide players with instant feedback.
Remedial Action
Issue (RAI)
An RAI is an issue or problem identified in an After Action Report/ Improvement Plan
that was not or could not be resolved during the course of the event. Problems related to
the performance of individuals are not to be addressed and will not be identified for
remedial action.
Response The capabilities necessary to save lives, protect property and the environment, and meet
basic human needs after an incident has occurred.
Risk Probability, vulnerability and impact of losses linked to hazards.
Rules of Play
In prevention exercises, the Rules of Play provide specific guidance for the behavior of
all exercise participants. These rules define the boundaries for exercise play; establish
limits on Red Team activity; ensure that useful information is gathered; and most
importantly, ensure participant safety.
Safety Controller
The safety controller is responsible for monitoring exercise safety during exercise setup,
conduct, and cleanup. All exercise controllers assist the safety controller by reporting
any safety concerns. The safety controller should not be confused with the safety
officer, who is identified by the incident commander during exercise play.
Scenario
A scenario provides the storyline that drives an exercise to test objectives. The scenario
selected for an exercise should be informed by the actual threats and hazards faced by
the exercise stakeholders. The exercise scenario should realistically stress the delivery
of core capabilities, providing a mechanism for testing objectives and assessing core
capability levels and gaps.
Scope
Scope is an indicator of extent of the exercise. The key elements in defining exercise
scope include exercise type, participation level, exercise duration, exercise location, and
exercise parameters.
Appendix F to COMDTINST M3010.13C
F-12
TERM DEFINITION
Seminar
Seminars generally orient participants to, or provide an overview of, authorities,
strategies, plans, policies, procedures, protocols, resources, concepts, and ideas. As a
discussion-based exercise, seminars can be valuable for entities that are developing or
making major changes to existing plans or procedures. Seminars can be similarly
helpful when attempting to gain awareness of, or assess, the capabilities of interagency
or inter-jurisdictional operations.
Senior Controller
The senior controller is responsible for the overall organization of the exercise. The
senior controller monitors exercise progress and coordinates decisions regarding
deviations or significant changes to the scenario caused by unexpected developments
during play. The senior controller monitors actions by controllers and ensures they
implement designated and modified actions at the appropriate time. The senior
controller debriefs controllers and evaluators after the exercise and oversees the setup
and takedown of the exercise.
Simulation
(1) An electronic simulation is a method for predicting the results of implementing a
model over time, i.e., modeling and simulation. (2) Simulation of nonparticipating
personnel and agencies is a technique for increasing realism in exercises.
Simulation Cell
(SimCell)
A SimCell is used to generate injects for, receive player responses for, and provide
information in place of nonparticipating organizations that would likely participate
actively if exercise events were real. Physically, the SimCell is a working location for a
number of qualified professionals who portray these nonparticipating organizations.
Situation Manual
(SitMan)
A SitMan is provided for TTXs and games as the core documentation that provides the
textual background for a multimedia, facilitated exercise. The SitMan supports the
scenario narrative and serves as the primary reference material for all participants
during conduct.
SMART Exercise
Objectives
SMART Guidelines for Exercise Objectives
Specific: Objectives should address the five Ws- who, what, when, where, and why.
The objective specifies what needs to be done with a timeline for completion.
Measurable: Objectives should include numeric or descriptive measures that define
quantity, quality, cost, etc. Their focus should be on observable actions and outcomes.
Achievable: Objectives should be within the control, influence, and resources of
exercise play and participant actions.
Relevant: Objectives should be instrumental to the mission of the organization and
link to its goals or strategic intent.
Time-bound: A specified and reasonable timeframe should be incorporated into all
objectives.
Spend Plan The spend plan is a list of requested funding used to track exercise budgets. It is
attached to the COE in the CPS.
Stakeholders
A stakeholder is a person, group, or organization who is involved with conducting
contingency operations or exercises. The term includes government partners and private
entities.
Standard
Operational
Planning Process
(SOPP)
The SOPP is a systematic, standardized operational planning process that uses
assessments to develop and communicate direction, priorities, and resource
apportionment throughout the chain of command. The SOPP provides alignment at the
Sectors, Districts, Areas, FORCECOM, Mission Support Organization, and CG-DCO. It
provides enterprise guidance, while preserving the autonomy of units to conduct
operations, as events require. The principal aim of the SOPP is to ensure effective
translation of strategic intent to mission outcomes.
Appendix F to COMDTINST M3010.13C
F-13
TERM DEFINITION
Strategic Planning
Direction (SPD)
Annual preparedness priorities are established by the Deputy Commandant for
Operations (CG-DCO) mission program managers through the SPD. The SPD is a
product of the SOPP.
Subject Matter
Expert (SME)
SMEs add functional knowledge and expertise in a specific area or in performing a
specialized job, task, or skill. They help to develop a realistic and plausible scenario
and ensure entities have the appropriate capabilities to respond.
Support Staff Exercise support staff includes individuals who are assigned administrative and
logistical support tasks during the exercise (e.g., registration, catering).
Tabletop Exercise
(TTX)
A TTX is typically held in an informal setting intended to generate discussion of various
issues regarding a hypothetical, simulated emergency. TTXs can be used to enhance
general awareness, validate plans and procedures, rehearse concepts, and/or assess the
types of systems needed to guide the prevention of, protection from, mitigation of,
response to, and recovery from a defined incident. Generally, TTXs are aimed at
facilitating conceptual understanding, identifying strengths and areas for improvement,
and/or achieving changes in attitudes.
Tactics, Techniques,
and Procedures
(TTP)
TTP are the codified, specific, and measurable actions and methods that implement
doctrine or policy. Tactics involve the employment and ordered arrangement of forces
in relation to each other. Techniques are non-prescriptive ways or methods used to
perform missions, functions, or tasks. Procedures are standard, detailed steps that
prescribe how to perform specific tasks.
Training and
Exercise Plan (TEP)
See Multi-year Training and Exercise Plan (MTEP)
Training and
Exercise Planning
Workshop (TEPW)
TEPW is usually conducted to create a Multi-year TEP. At a TEPW, stakeholders work
together in a collaborative workshop environment to identify and set exercise program
priorities based on core capabilities. Based on these program priorities, TEPW
stakeholders develop a multi-year schedule of specific training and exercises.
Venue A venue is the primary location of exercise conduct.
Workshop
Although similar to seminars, workshops differ in two important aspects: participant
interaction is increased, and the focus is placed on achieving or building a product.
Effective workshops entail the broadest attendance by relevant stakeholders. Products
produced from a workshop can include new standard operating procedures, emergency
operations plans, continuity of operations plans, and mutual aid agreements. To be
effective, workshops should focus on a specific issue, and the desired objective,
product, or goal must be clearly defined.
Note: * Indicates a term used by the Department of Defense
Appendix F to COMDTINST M3010.13C
F-14
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Appendix G to COMDTINST M3010.13C
G-1
APPENDIX G. ACRONYM LIST
A
AAR/IP After Action Report/Improvement Plan
AC Area Committee
ACP Area Contingency Plan
ADOS Active Duty Operational Support
AFC Allotment Fund Code
AMS Area Maritime Security
AMSC Area Maritime Security Committee
AMSP Area Maritime Security Plan
AMSTEP Area Maritime Security Training and Exercise Program
AOR Area of Responsibility
APEC Advanced Preparedness Exercise Course
AT Anti-Terrorism
A/V Audio/Visual
AWS Alert Warning System
B
BOEM Bureau of Ocean Energy Management
BPEC Basic Preparedness Exercise Course
BSEE Bureau of Safety and Environmental Enforcement
C
C2 Command and Control
C3 Command, Control, and Communications
CAMEO Computer Aided Management of Emergency Operations
CANUS Canada - United States
CAP DHS Corrective Action Program or CG Communications Action Plan
CBRNE Chemical, Biological, Radiological, Nuclear and high-yield Explosive
CCDR Combatant Commander
CCS Combatant Commander Support
CPA Contingency Preparedness Assessment
Appendix G to COMDTINST M3010.13C
G-2
CPS Contingency Preparedness System
CD Civil Disturbance
CDP Center for Domestic Preparedness
C/E Controller/Evaluator
CETS Commander’s Exercise and Training Strategy
CFR Code of Federal Regulation
CG Coast Guard
CG-CPE Commandant-Office of Contingency Preparedness and Exercise Policy
CG-DCO Deputy Commandant for Operations
CG-IMAT Coast Guard Incident Management Assistance Team
CG-MER Commandant-Office of Marine Environmental Response Policy
CG-ODO Commandant-Office of Counterterrorism and Defense Operations
CG-SAILS Coast Guard Standard After Action Information and Lessons Learned
System
CGAAP Coast Guard After Action Program
CI Commandant’s Instruction
CPOD Closed Point of Dispensing
C&O Concept and Objectives
COE Concept of Exercise
COMDT Commandant
COMDINST Commandant Instruction
COML Communications Unit Leader
CONPLANS Concept Plans
COOP Continuity of Operations
COTP Captain of the Port
CPFR Contingency Planning & Force Readiness
CPPM Contingency Preparedness Planning Manual
CPRL Contingency Personnel Requirements List
CPS Contingency Preparedness System
CPX (DOD term) Command Post Exercise
CT Counter-Terrorism
Appendix G to COMDTINST M3010.13C
G-3
D
DCMS Deputy Commandant for Mission Support
DDS Design and Development System
DHS Department of Homeland Security
DOD Department of Defense
DOI Department of Interior
DOT U.S. Department of Transportation
DRAT District Response Advisory Team
DRG District Response Group
DSF Deployable Specialized Forces
E
E-GIS Enterprise Geographical Information Systems
ED Exercise Director
EEG Exercise Evaluation Guide
EMI Emergency Management Institute
EndEx End of Exercise
EOC Emergency Operations Center
EOP Emergency Operation Plans
EPA Environmental Protection Agency
EPT Exercise Planning Team
EPTL Exercise Planning Team Leader
ERMA Environmental Response Management Application
ESF Emergency Support Function
ESI Environmental Sensitivity Index
ETR Electronic Training Request
EvalPlan Evaluation Plan
ExPlan Exercise Plan
F
FE Functional Exercise
FEMA Federal Emergency Management Agency
Appendix G to COMDTINST M3010.13C
G-4
FMSC Federal Maritime Security Coordinator
FORCECOM (FC) Force Readiness Command
FC-ES Force Readiness Command Exercise Support Division
FOSC Federal On-Scene Coordinator
FOUO For Official Use Only
FPM Final Planning Meeting
FSE Full-Scale Exercise
FTA Funds Transfer Authorization
FTX (DOD term) Field Training Exercise
FY Fiscal Year
G
GAC Governmental Affairs Committee
GIS Geographic Information System
GRP Geographic Response Plan
H
HSC Homeland Security Council
HSEEP Homeland Security Exercise and Evaluation Program
HSIN Homeland Security Information Network
HSPD Homeland Security Presidential Directive
HSTF – SE Homeland Security Task Force – Southeast
I
IAW In Accordance With
ICC Intelligence Coordination Center
ICP Incident Command Post
ICS Incident Command System
IMAT Incident Management Assist Team
IMPA Incident Management Preparedness Advisor
IMSS Incident Management System Software
IP Improvement Plan
IPM Initial Planning Meeting
Appendix G to COMDTINST M3010.13C
G-5
IT Information Technology
J
JCP Joint Marine Contingency Plan
L
LANTAREA Atlantic Area
M
MEP Marine Environmental Protection
MEPP Master Exercise Practitioner Program
MEXUS Mexico – United States
MIFC Maritime Intelligence Fusion Center
MLE Maritime Law Enforcement
MMD Major Marine Disaster
MMIO Mass Migration Interdiction Operation
MOA Memorandum of Agreement
MOL Military Outload
MOU Memorandum of Understanding
MPM Mid-term Planning Meeting
MRO Mass Rescue Operations
MSEL Master Scenario Events List
MSRAM Maritime Security Risk Analysis Model
MSRT Maritime Security Response Team
MSST Maritime Safety and Security Team
MSU Marine Safety Unit
MTEP Multi-Year Training and Exercise Plan
MTSA Maritime Transportation Security Act
MTSR Marine Transportation System Recovery
N
NCP National Contingency Plan
NED National Exercise Division
Appendix G to COMDTINST M3010.13C
G-6
NEP National Exercise Program
NEXS National Exercise Schedule
NIMS National Incident Management System
NLE National Level Exercise
NLT No Later Than
NOAA National Oceanic and Atmospheric Administration
NRF National Response Framework
NSC National Security Council
NSCC National Schedule Coordination Committee
NSF National Strike Force
NSSE National Special Security Event
NVIC Navigation and Vessel Inspection Circular
O
OCONUS Outside the Continental United States
OGA Other Government Agency
OPA-90 Oil Pollution Act of 1990
OPD Operational Planning Direction
OPFOR Opposing Forces
OPSEC Operations Security
OSD Office of the Secretary of Defense
P
PAC Pacific Area
PACAREA Pacific Area
PAO Public Affairs Officer
PHMSA Pipelines and Hazardous Materials Safety Administration
PIAT Public Information Assist Team
PISCES Potential Incident Simulation Control and Evaluation System
POC Point of Contact
PPA Principal Planning Agent
PREP National Preparedness for Response Exercise Program
Appendix G to COMDTINST M3010.13C
G-7
PREP 4C Preparedness for Response Exercise Program Compliance, Coordination
and Consistency Committee
PSU Port Security Unit
PWCS Ports, Waterways, and Coastal Security
Q
QLR Quick Look Report
QRC Quick Response Card
R
RAI Remedial Action Issues
RAMP Remedial Action Management Program
RCP Regional Contingency Plan
RERT Radiological Emergency Response Team
RFA Request for Assistance
RFF Request For Forces
RFRS Reserve Forces Readiness System
RISC Regional Interagency Steering Committee
S
SAR Search and Rescue
SimCell Simulation Cell
SitMan Situation Manual
SMART Specific, Measurable, Achievable, Realistic, Time-bound
SME Subject Matter Expert
SMFF Salvage and Marine Firefighting
SONS Spills of National Significance
SOP Standard Operating Procedures
SOPP Standard Operational Planning Process
SORS Spilled Oil Recovery System
SPD Strategic Planning Direction
SSC Scientific Support Coordinator
SSI Sensitive Security Information
Appendix G to COMDTINST M3010.13C
G-8
StartEx Start of Exercise
T
TACLET Tactical Law Enforcement Team
TBD To Be Determined
TCL Target Capabilities List
TEPW Training and Exercise Plan Workshop
THIRA Threat and Hazard Identification Risk Assessment
TRACEN Training Center
TSA Transportation Security Administration
TTP Tactics, Techniques, and Procedures
TTX Tabletop Exercise
TWIC Transportation Worker Identification Credential
U
UC Unified Command
USCG United States Coast Guard
USG United States Government
USN United States Navy
UTL Universal Task List
V
VIP Very Important Personnel
VOSS Vessel of Opportunity Skimming System
VTC Video Tele-Conference
W
WMD Weapons of Mass Destruction
