DODI 3020.41.pdf

Department of Defense

INSTRUCTION

NUMBER 3020.41

October 3, 2005

USD(AT&L)

SUBJECT: Contractor Personnel Authorized to Accompany the U.S. Armed Forces

References: (a) Section 133 of title 10, United States Code

(b) Deputy Secretary of Defense Memorandum, “DoD Directive Review – Phase II,” July 13, 2005

(c) Defense Federal Acquisition Regulation Supplement (DFARS), current edition1

(d) DoD Directive 1100.4, “Guidance for Manpower Management,” February 12, 2005

(e) through (bi), see enclosure 1

1. PURPOSE

Under the authority of references (a) and (b), this Instruction establishes and implements policy and guidance, assigns responsibilities, and serves as a comprehensive source of DoD policy and procedures concerning DoD contractor personnel authorized to accompany the U.S. Armed Forces. This includes defense contractors and employees of defense contractors and their subcontractors at all tiers under DoD contracts, including third country national (TCN) and host nation (HN) personnel, who are authorized to accompany the U.S. Armed Forces under such contracts. Collectively, these persons are hereafter referred to as contingency contractor personnel. One significant sub-category of contingency contractor personnel, called contractors deploying with the force (CDF), is subject to special deployment, redeployment, and accountability requirements and responsibilities. Definitions for these personnel and other key terms are addressed in enclosure 2.

1 The Defense Federal Acquisition Regulation Supplement (DFARS) can be found at http://akss.dau.mil/jsp/default.jsp

DoDI 3020.41, October 3, 2005

2. APPLICABILITY AND SCOPE

This Instruction:

2.1. Applies to the Office of the Secretary of Defense, the Military Departments, the Chairman of the Joint Chiefs of Staff, the Combatant Commands, the Office of the Inspector General of the Department of Defense, the Defense Agencies, the DoD Field Activities, and all other organizational entities in the Department of Defense (hereafter referred to collectively as the “DoD Components”).

2.2. Applies to contingency contractor personnel who deploy with or otherwise provide support in a theater of operations to U.S. Armed Forces deployed outside the United States conducting contingency operations or other military operations.

2.3. Applies to the geographic Combatant Commanders who may also apply this Instruction, or portions thereof, to exercises, subject to applicable law.

2.4. Does not apply to contracts being performed in the United States and U.S. possessions and territories; nor does it apply to contracts being performed at a location other than where U.S.

military forces are deployed for a contingency operation or other military operation.

3. DEFINITIONS

Terms used in this Instruction are defined in enclosure 2.

4. POLICY

It is DoD policy to:

4.1. Implement appropriate contractor planning, visibility, deployment, and redeployment requirements; adhere to theater management procedures; abide by applicable laws, regulations, policies, and international agreements; and use contractor support only in appropriate situations consistent with the Defense Federal Acquisition Regulation Supplement (DFARS) (reference (c)).

4.2. Implement this Instruction in operations plans (OPLANs) and operations orders (OPORDs) and coordinate any proposed contractor logistic support arrangements that may affect the OPLAN/OPORD with the affected geographic Combatant Commands. Contingency plans shall be developed to ensure continuation of services if a defense contractor is unable to perform according to DoD Directive 1100.4 and DoD Instruction 3020.37 (references (d) and (e)).

4.3. Ensure contracts clearly and accurately specify the terms and conditions under which the contractor is to perform, describe the specific support relationship between the contractor and the Department of Defense, and contain standardized clauses to ensure efficient deployment, visibility, protection, authorized levels of health service and other support, sustainment, and redeployment of contingency contractor personnel. The contract shall also specify the appropriate flow-down of these provisions and clauses to subcontracts. Generally, defense contractors are responsible for providing for their own logistical support and logistical support for their employees. Logistical support shall be provided by the Department of Defense only when the commander or the contracting officer determines provision of such support is needed to ensure continuation of essential contractor services and adequate support cannot be obtained by the contractor from other sources.

4.4. Develop a security plan for protection of contingency contractor personnel in locations where there is not sufficient or legitimate civil authority and the commander decides it is in the interests of the Government to provide security because the contractor cannot obtain effective security services, such services are unavailable at a reasonable cost, or threat conditions necessitate security through military means. The contracting officer shall include the level of protection to be provided to contingency contractor personnel in the contract. In appropriate cases, the geographic Combatant Commander may provide security through military means, commensurate with the level of security provided DoD civilians. Specific security measures shall be mission and situation dependent as determined by the geographic Combatant Commander and the following contractor arming policy:

4.4.1. Subject to the approval of the geographic Combatant Commander, contingency contractor personnel may be armed for individual self-defense.

4.4.2. Contracts for security services shall be used cautiously in contingency operations where major combat operations are ongoing or imminent. Authority and armament of contractors providing private security services will be set forth in their contracts.

4.5. Maintain by-name accountability of all CDF personnel and contract capability information in a joint database. This database shall provide a central source of CDF personnel information and a summary of services or capabilities provided by all external support and systems support contracts. This information shall be used to assist planning for the provision of force protection, medical support, personnel recovery, and other support. It should also provide planners an awareness of the nature, extent, and potential risks and capabilities associated with contracted support in the area of responsibility (AOR). This requirement may be waived by the Under Secretary of Defense for Acquisition, Technology and Logistics (USD(AT&L)).

4.6. Designate in all external support and system support contracts the specific deployment center or process CDF must use to prepare for deployment and redeployment.

4.7. Designate the requirement for all CDF to process through the joint reception center (JRC) designated by the geographic Combatant Commander in all external support and system support contracts. This requirement may be waived by USD(AT&L).

4.8. Require defense contractors provide medically and physically qualified contingency contractor personnel to perform duties in contingency operations. Medical support procedures shall be consistent with the following:

4.8.1. All external support and systems support contracts contain or incorporate by reference: minimum medical and dental standards for CDF; a requirement to make available CDF medical and dental records (including current panograph) for deployment center validation;

a requirement to submit a specimen sample suitable for deoxyribonucleic acid (DNA) analysis for CDF; and immunization requirements for the relevant joint operations area (JOA). Selected theater support contracts (e.g., for food handlers) should, as appropriate, contain minimum medical and dental standards and immunization requirements.

4.8.2. Generally, all contingency contractor personnel who support U.S. forces in contingency operations or other military operations may be provided resuscitative care, stabilization, hospitalization at level III military treatment facilities (MTF), and assistance with patient movement in emergencies where loss of life, limb, or eyesight could occur.

Hospitalization will be limited to stabilization and short-term medical treatment with an emphasis on return to duty or placement in the patient movement system. The contract and the appropriate medical authorities must specifically authorize medical or dental care beyond this standard.

4.8.3. All costs associated with treatment and transportation of contingency contractor personnel to a selected civilian facility will be the responsibility of the contingency contractor personnel, their employer, or their health insurance provider.

5. RESPONSIBILITIES

5.1. The Under Secretary of Defense for Acquisition, Technology, and Logistics shall:

5.1.1. Serve as the Principal Staff Assistant for this Instruction.

5.1.2. Develop and implement standard DFARS (reference (c)) clauses for inclusion in DoD contracts for which contingency contractor personnel are expected to support contingency operations or other military operations, or exercises designated by the geographic Combatant Commanders, in coordination with the Under Secretary of Defense for Personnel and Readiness (USD (P&R)), the Under Secretary of Defense for Intelligence (USD(I)), and the DoD Components as appropriate. This action will facilitate efficient deployment, visibility, protection, sustainment, and redeployment of contingency contractor personnel. The DFARS clause(s) appropriate for contracts associated with CDF shall require the Letter of Authorization addressed in subparagraph 6.2.7.4. A template of the Letter of Authorization shall be included in the DFARS Procedures, Guidance & Information (reference (f)).

5.1.3. Ensure the joint database addressed in subparagraph 6.2.6. is established.

5.2. The Deputy Under Secretary of Defense for Logistics and Material Readiness, under the USD(AT&L), shall monitor and manage the implementation of this Instruction.

5.3. The Under Secretary of Defense for Personnel and Readiness, in coordination with the USD(AT&L), shall:

5.3.1. Designate or develop a web-based joint database and procedures for its use according to subparagraph 6.2.6. as the central repository of information for all CDF personnel and contract capability information provided by external support and systems support contracts.

5.3.2. Establish procedures to maintain by-name accountability and visibility of CDF personnel and relevant contract capability information.

5.4. The Under Secretary of Defense for Intelligence shall develop and implement, as required, procedures for counterintelligence and security screenings of contingency contractor personnel and assist in drafting appropriate contract clauses for counterintelligence briefings and debriefings, in coordination with the USD(AT&L).

5.5. The Chairman of the Joint Chiefs of Staff shall take appropriate actions to incorporate this Instruction into relevant joint doctrine and training as appropriate.

5.6. The Geographic Combatant Commanders, through the Chairman of the Joint Chiefs of Staff, shall:

5.6.1. Implement this Instruction within their AOR including integration of contingency contractor personnel in OPLANs and OPORDs and provide this information to the DoD Components to incorporate into applicable contracts according to subparagraph 6.2.2.

5.6.2. Develop contingency plans to ensure continuation of essential contractor services according to references (d) and (e) and DoD Instruction 1100.19 (reference (g)).

5.6.3. Establish theater and/or joint operations area (JOA) admission procedures and requirements, including country and theater clearance, waiver authority, immunizations, required training or equipment, and any restrictions necessary to ensure proper deployment, visibility, security, accountability, and redeployment of contingency contractor personnel deploying to their AOR. Update the DoD 4500.54-G (reference (h)), with the specific procedures according to DoD Directive 4500.54 (reference (i)).

5.6.4. Develop a security plan according to subparagraph 6.3.4.

5.7. The Commanders of the Functional Combatant Commands, through the Chairman of the Joint Chiefs of Staff, shall follow the implementing guidance established by the geographic Combatant Commanders pursuant to paragraph 5.6. depending on the geographic location for execution of the contract.

5.8. The Secretaries of the Military Departments and the Directors of the Defense Agencies shall incorporate this Instruction into applicable Component policy, doctrine, programming, training, and contracts and ensure:

5.8.1. The Military Departments plan for the effective retention or replacement of contingency contractors, in wartime or contingency operations, who are performing essential contractor services according to references (d), (e) and (g).

5.8.2. The joint database addressed in subparagraph 6.2.6. is designated and its use required in all external support contracts and systems support contracts where CDF have the potential to support contingency operations or other military operations.

5.8.3. Assigned contracting activities populate the joint database addressed in subparagraph 6.2.6. with a summary of contract services or capability information when external support contracts or systems support contracts are awarded.

5.8.4. Contingency contractor personnel meet all theater and/or JOA admission procedures and requirements prior to entering the theater or JOA.

5.8.5. Contracting officers include in the contract appropriate DFARS clause(s) according to subparagraphs 5.1.2. and 6.1.4.; specific deployment and theater admission requirements according to subparagraphs 6.2.7. and 6.3.1.; specific medical preparation requirements according to subparagraph 6.2.7.5.; and the level of protection to be provided to contingency contractor personnel according to subparagraph 6.3.4.

6. PROCEDURES

This section provides an authoritative and comprehensive roadmap of policy and procedures applicable to contractor personnel authorized to accompany the U.S. Armed Forces. Key areas addressed include: contractor legal status; planning requirements; visibility; deployment, theater reception, and in-theater management processes; force protection and security; and medical.

This section is organized in near-chronological sequence to address actions required during phases of contingency operations. These include pre-deployment planning, deployment, reception, management within the theater, and redeployment.

6.1. The DoD Components shall abide by applicable laws, regulations, DoD policy, and international agreements as they relate to contingency contractor personnel supporting contingency operations.

6.1.1. International Law and Contractor Legal Status. Under applicable law, contractors may support military operations as civilians accompanying the force, so long as such personnel have been designated as such by the force they accompany and are provided with an appropriate identification card under the provisions of the 1949 Geneva Convention Relative to the Treatment of Prisoners of War (GPW) (reference (j)). If captured during armed conflict, contingency contractor personnel accompanying the force are entitled to prisoner of war status.

Contingency contractor personnel may be at risk of injury or death incidental to enemy actions while supporting other military operations. Contingency contractor personnel may support contingency operations through the indirect participation in military operations, such as by providing communications support, transporting munitions and other supplies, performing maintenance functions for military equipment, providing security services according to subparagraph 6.3.5. and providing logistic services such as billeting, messing, etc. Contingency contractor personnel retain the inherent right of individual self-defense as addressed in subparagraph 6.3.4. Each service to be performed by contingency contractor personnel in contingency operations shall be reviewed on a case-by-case basis in consultation with the servicing legal office to ensure compliance with relevant laws and international agreements.

6.1.2. HN and TCN Laws. Subject to the application of international agreements, contingency contractor personnel must comply with applicable HN and TCN laws. They may be hired from U.S., HN, or TCN sources. Their legal status may change depending on where they are detailed to work by their employer or under the contract. DoD Component Commanders shall ascertain how HN and TCN laws may affect contract support, to the extent feasible, and consider any limiting factors in both deliberate and crisis action planning and in the development of applicable contracts, in coordination with their planners and contracting officers and with the assistance of the servicing legal office. Limiting factors may include workforce and hour restrictions; medical, life, and disability insurance coverage; taxes, customs and duties; cost of living allowances; hardship differentials; and danger pay.

6.1.3. U.S. Laws. Contingency contractor personnel remain subject to U.S. laws and regulations. For example, contingency contractor personnel fulfilling contracts with the U.S.

Armed Forces may be subject to prosecution under Federal law, including but not limited to the Military Extraterritorial Jurisdiction Act (MEJA), 18 U.S.C. 3261 (reference (k)), which extends U.S. Federal criminal jurisdiction to certain DoD contingency contractor personnel, for certain offenses committed outside U.S. territory. For such cases, the DoD regulations to be followed to comply with MEJA are contained in DoD Instruction 5525.11 (reference (l)). Pursuant to the War Crimes Act, 18 U.S.C. 2441 (reference (m)), Federal criminal jurisdiction also extends to conduct that is determined to constitute a violation of the law of war when committed by a civilian national of the United States. In addition, when there is a formal declaration of war by Congress, DoD contingency contractor personnel may be subject to prosecution under the Uniform Code of Military Justice (UCMJ) (reference (n)). Other laws may allow prosecution of offenses by contingency contractor personnel, such as 18 U.S.C. 7(9) (reference (o)), which may provide for prosecution of U.S. nationals who commit offenses on military facilities in foreign countries. Immediate consultation with the servicing legal office and the contracting officer is required in all cases of suspected criminal conduct by contingency contractor personnel.

6.1.4. Contractual Relationships. The contract is the principal legal basis for the relationship between the Department of Defense and the contractor. The contract shall specify the terms and conditions under which the contractor is to perform; the method by which the contractor will be notified of the deployment procedures to process contingency contractor personnel; and the specific support relationship between the contractor and the Department of Defense. The contract shall contain standardized clauses to ensure efficient deployment, visibility, protection, authorized levels of health service and other support, sustainment, and redeployment of contingency contractor personnel. It shall also specify the appropriate flow-down of these provisions and clauses to subcontracts. Each contract shall also state that the service performed by contingency contractor personnel is not active duty or service under 38 U.S.C. 106 (reference (p)) and DoD Directive 1000.20 (reference (q)).

6.1.5. Restrictions on Contracting Inherently Governmental Functions and Coordination with Manpower Authorities. Functions and duties that are inherently governmental are barred from private sector performance according to the Federal Activities Inventory Reform Act of 1998, Office of Management and Budget Circular A-76 (reference (r)), subpart 7.5 of the Federal Acquisition Regulation (reference (s)), and the Manpower Mix Criteria (reference (t)). In addition, 10 U.S.C. 2383 (reference (u)) requires the contracting officer make certain determinations before entering into a contract for the performance of each function closely associated with inherently governmental functions. There also are functions that are not inherently governmental that should not ordinarily be performed by contractors in areas of operations, as explained in reference (t). Program Managers shall coordinate with the DoD Component manpower authority before contracting for operational support services, to ensure contracts are not awarded for tasks and duties that are designated as inherently governmental, or that should not ordinarily be performed by contractors in areas of operations. The DoD Components shall determine workforce mix according to reference (d) and guided by reference (t).

6.1.6. International and HN Support Agreements. Planners and contracting officers shall take international agreements and HN support agreements into account when planning for contractor support, with the assistance of the servicing legal office and in coordination with the geographic Combatant Commander Staff Judge Advocate’s office. These support agreements may affect contracting by restricting services to be contracted, by limiting contracted services to HN contractor sources, or, in some cases, by prohibiting contractor use altogether.

6.1.7. Status of Forces Agreements (SOFAs). Planners and contracting officers shall review applicable SOFAs and related agreements to determine their effect on the status and use of contractors in support of contingency operations, with the assistance of the servicing legal office and in coordination with the geographic Combatant Commander Staff Judge Advocate’s office.

6.2. Contractor Planning, Deployment, and Redeployment Requirements. The DoD Components shall accomplish the following planning, deployment, visibility, and redeployment requirements concerning contingency contractor personnel who accompany military forces in support of contingency operations:

6.2.1. Continuation of Essential Contractor Services. The DoD Components shall plan for the continuation of essential contractor services as described in references (d), (e) and (g), CJCS Manual 3141.01A (reference (v)), and CJCS Instruction 3110.03B (reference (w)).

Planning for continuation of essential contractor services during contingency operations includes:

6.2.1.1. Determining all services provided overseas by defense contractors that must continue during a contingency operation. Contracts shall obligate defense contractors to ensure the continuity of essential contractor services during a contingency operation.

6.2.1.2. Developing contractor contingency plans for those tasks identified as essential contractor services to provide reasonable assurance of continuation during crisis conditions.

6.2.1.3. Ensuring the Secretaries of the Military Departments and Combatant Commanders plan for effective retention or replacement of contingency contractor personnel who are performing essential contractor services in contingency operations. For situations where the cognizant DoD Component Commander has a reasonable doubt about the continuation of essential services by the incumbent contractor during crisis situations, the commander shall prepare a contingency plan for obtaining the essential services from alternative sources (military, DoD civilian, HN, or contractor(s)). This shall include situations where the commander has concerns the contractor cannot or will no longer fulfill the terms of the contract because the threat level, duration of hostilities, or other factors specified in the contract have changed significantly, or because U.S. laws, international or HN support agreements, or SOFAs have changed in a manner that affect contract arrangements, or due to political or cultural reasons.

6.2.1.4. Encouraging contingency contractor personnel performing essential contractor services overseas to remain in theater.

6.2.2. Integrated Planning. The geographic Combatant Commanders shall identify operational specific contractor policies and requirements in the OPLAN/OPORD, including at a minimum: restrictions imposed by applicable international and HN support agreements;

contractor-related deployment, theater reception and accountability reporting; operational security plans and restrictions; force protection; personnel recovery; medical support; and redeployment. The OPLAN/OPORD, or a separate contractor integration plan specifying the operational specific contractor integration requirements, shall be provided to the DoD Components to incorporate into applicable contracts.

6.2.3. Operational Considerations for Contractor Logistics Support (CLS) Decisions.

Acquisition program managers shall consider the requirements of subparagraphs 6.1.5 and 6.2.2 when making logistics sustainability decisions according to DoD Directive 5000.1 (reference (x)) and coordinate any proposed CLS arrangements that may affect OPLANs/OPORDs with the affected geographic Combatant Commanders.

6.2.4. Time-Phased Force and Deployment Data (TPFDD) Development. Deployment data for CDF and equipment deploying with the force must be incorporated into TPFDD development and deployment execution processes according to CJCS Manual 3122.02C (reference (y)) and applicable Military Department regulations. These requirements shall be incorporated into contracts and will apply, regardless of whether the defense contractor will provide or arrange their own transportation, to ensure transportation itineraries follow approved lines of communication, do not conflict with other support and operational traffic, and to allow for emergency recall.

6.2.5. Country Entry Requirements. The geographic Combatant Commanders shall coordinate with the Office of the Under Secretary of Defense for Policy to ensure special area, country, and theater personnel clearance requirements are current in reference (h). Contingency contractor personnel in support of a DoD contract are considered DoD-sponsored personnel for Foreign Clearance Guide purposes. The DoD Components shall ensure contracts include a requirement that deploying CDF must meet theater personnel clearance requirements and obtain personnel clearance prior to entering the AOR. All contingency contractor personnel are responsible for obtaining proper identification credentials (e.g., passport, visa). In some cases, contingency contractor personnel hired in the AOR may require specific country clearances to work in other countries.

6.2.6. Visibility of Contingency Contractor Personnel and Contracts. The geographic Combatant Commanders, with assistance from their Component Commanders and applicable DoD Agencies, are responsible for overall contractor visibility within their AOR and integrating contractor support into OPLANs and OPORDs according to Joint Publication 4-0 (reference (z)) and references (g), (v), and (y), and will provide U.S. citizen and U.S. legal alien contractor information according to CJCSM 3150.13 (reference (aa)). To assist the geographic Combatant Commander in having awareness of the nature, extent, and potential risks and capabilities associated with contracted support in the AOR and to facilitate integration of CDF to ensure visibility, force protection, medical support, personnel recovery, and other related support can be accurately forecasted and provided, the following procedures shall apply for establishing, maintaining, and validating a joint contractor database:

6.2.6.1. The USD(P&R), in coordination with the USD(AT&L), shall designate or develop a joint web-based database, and procedures for its use, as the central repository of CDF personnel and contract capability information for all external support contracts and systems support contracts. Contract capability information shall provide planners and Combatant Commanders an awareness of the nature, extent, and potential risks and capabilities associated with the contracted effort supporting OPLANs/OPORDs. This database shall provide by-name accountability of all CDF, and contain, or link to, minimum contract information (e.g., contract number, company contact information, sponsoring military unit contact information, and a summary of services or capability provided by the contract) necessary to establish and maintain CDF personnel accountability and visibility of contract capability in the AOR. It shall comply with the personnel identity protection program requirements of DoD Directive 1000.25 (reference (ab)), be consistent with the DoD Global Information Grid Enterprise Architecture addressed in DoD Directive 8100.1 (reference (ac)), and be compliant with DoD Directive 8320.2, DoD Directive 4630.5 and DoD Directive 8500.1 (references (ad) through (af)).

6.2.6.2. The Military Departments and the Directors of the Defense Agencies shall ensure this joint database is designated, and its use required, in all external support contracts and systems support contracts where CDF have the potential to support contingency operations or other military operations.

6.2.6.3. DoD contracting activities shall populate the joint database with a summary of contract services or capability when external support contracts or systems support contracts are awarded.

6.2.6.4. Defense contractors awarded external support contracts and systems support contracts shall input employee data and maintain by-name accountability of CDF in the joint database designated in the contract. Defense contractors are responsible for knowing the general location of their employees and shall keep the database up-to-date to reflect all CDF actually deployed in the AOR in support of contingency operations. Prime contractors are responsible for ensuring the database contains up-to-date information regarding their subcontractors at all tiers.

This requirement also applies to forward-deployed system support and external support contractors designated to remain in place in theater when a contingency is declared.

6.2.6.5. The DoD Components shall validate and update as necessary the personnel information in the joint database at the deployment center or the JRC, and at other times as necessary, and use the information to support the reporting requirements of reference (aa).

6.2.6.6. The geographic Combatant Commander may designate use of the database, stipulated above for CDF, in selected theater support contracts to capture by-name accountability of theater support contractors (e.g., to assist in monitoring contingency contractor personnel who may work on U.S.-controlled facilities, for force protection, or personnel recovery reasons) and visibility of contract capability in the theater.

6.2.7. Deployment and Theater Admission Requirements and Procedures. The geographic Combatant Commanders shall provide specific deployment and theater admission requirements to the DoD Components according to subparagraph 6.2.2. The DoD Components shall ensure these requirements are delineated in contracts. At a minimum, contracts shall state the means by which the Government will inform contractors of the requirements and procedures applicable to a deployment. The DoD Components shall ensure use of one of the formally designated group or individual joint or Military Department deployment centers (e.g., Continental U.S. Replacement Center, Individual Replacement Center, Federal Deployment Center, Unit Deployment Site) to conduct deployment and redeployment processing for CDF, unless contractor-performed theater admission processing is authorized according to subparagraph 6.2.7.11., or waived pursuant to 6.2.7.2. However, a process that incorporates all the functions of a deployment center may be used instead of processing through a deployment center if it is designated in the contract. The following general procedures, waiver, administrative preparation, medical, training, and equipping considerations are applicable during deployment processing of CDF and for theater admission of contingency contractor personnel, where indicated:

6.2.7.1. General Deployment Procedures. All CDF shall report to the deployment center designated in the contract before deploying to a contingency operation to: validate entry of accountability information in the joint database addressed in subparagraph 6.2.6.; be issued or validate possession of proper identification cards; receive applicable Government-furnished equipment; receive medical and dental screening including required military-specific vaccinations/immunizations (e.g., anthrax, smallpox); and validate or complete any required training (e.g., Geneva Conventions; law of armed conflict; general orders; standards of conduct;

force protection; personnel recovery; medical; operational security; anti-terrorism; nuclear, biological and chemical protective gear; country brief and cultural awareness; and other training as appropriate). Upon completion of deployment processing, certified by annotating the Letter of Authorization or providing a separate deployment processing certification letter, CDF shall bring the deployment process certification with them to the JRC. The CDF who are deploying as part of a specific unit shall have their contractor certification documentation included in the appropriate unit manifest. Any CDF deploying individually shall carry this certification with them at all times.

6.2.7.2. Waivers. For less than 30-day deployments, the geographic Combatant Commander, or designee, may waive a portion of these formal requirements, which may include the requirement for processing through a deployment center. However, the requirements to possess proper identification cards and to establish and maintain accountability in the prescribed database shall not be waived, nor shall any medical requirement be waived without the prior approval of qualified medical personnel. If contingency contractor personnel are authorized to be armed, the requirements of 6.3.4 and 6.3.5 cannot be waived. The contracting officer shall document waivers in the Letter of Authorization. The CDF granted waivers shall carry a copy with them at all times.

6.2.7.3. Administrative Preparation. Contingency contractor personnel shall be issued a standard Geneva Convention Card according to DoD Instruction 1000.1 (reference (ag)) and the multi-Service publication, short title Air Force Instruction 36-3026(I) (reference (ah)).

U.S. citizens and selected other CDF will be issued a DoD Uniformed Services Identification and Privilege Card, a Common Access Card with Geneva Convention identifier, or other appropriate DoD identity credential according to references (ag) and (ah), DoD Instruction 1000.13 (reference (ai)), and DoD Directive 8190.3 (reference (aj)). All CDF shall fill out DoD emergency data forms according to reference (e), reference (ag), and applicable Military Department regulations. In addition, and to the extent necessary, the contract shall require the defense contractor to provide personnel who have the appropriate security clearance or are able to satisfy the appropriate background investigation to obtain necessary access required for the contingency operation.

6.2.7.4. Letter of Authorization. A Letter of Authorization issued by a Government contracting officer, or designee, shall be necessary for CDF to process through a deployment center; to travel to, from, and within the AOR; and to identify any additional authorizations, privileges, or Government support CDF are entitled to under the contract.

6.2.7.4.1. The contracting officer, or designee, shall verify proper arrangements for Government support at the deployment center and within the AOR have been made before preparing the Letter of Authorization.

6.2.7.4.2. The Letter of Authorization shall provide, at a minimum, the prime contract number; the sub-contract number (if applicable); an emergency contact phone number and email address of the Government contracting officer; an emergency contact 24/7 phone number and email address of the defense contractor point of contact; and the contact information of the sponsoring in-theater supported unit. A template of a Letter of Authorization is available in reference (f) (see subparagraph 5.1.2.). All CDF shall carry the Letter of Authorization with them at all times.

6.2.7.4.3. The Letter of Authorization shall state the intended length of assignment in the AOR and identify Government facilities, equipment, and privileges in the AOR as authorized by the contract. Government authorizations may include, among other support: access to exchange facilities according to DoD Instruction 1330.21 (reference (ak));

access to the commissary, and care and treatment at uniformed service medical and dental facilities on a space available, fully reimbursable basis according to reference (ai); Government messing and billeting; DoD-controlled aircraft passenger movement according to DoD 4515.13- R (reference (al)); and individual protective equipment addressed in subparagraph 6.2.7.6.

6.2.7.5. Medical Preparation. Defense contractors are responsible to provide medically and physically qualified contingency contractor personnel to perform duties in contingency operations as outlined in the contract. Any CDF deemed unsuitable to deploy during the deployment process, due to medical or dental reasons, will not be authorized to deploy with the military force. The Secretary of Defense may direct immunizations as mandatory for CDF performing DoD-essential contractor services per reference (e) and DoD Instruction 6205.4 (reference (am)). The Military Departments shall ensure CDF are not deployed without collection of required medical, dental, and DNA reference specimens for accession into the Armed Forces Repository of Specimen Samples for the Identification of Remains (AFRSSIR) according to DoD Instruction 5154.30 (reference (an)). The DNA collection and other medical requirements are further addressed in enclosure 3. The DoD Components shall ensure all contracts requiring contingency contractor personnel contain, or incorporate by reference, minimum medical standards and immunization requirements. In addition, for CDF, the DoD Components shall require the contractor to make available CDF medical and dental records (including current panograph) according to enclosure 3, reference (e), DoD Directive 6485.1 (reference (ao)), applicable joint force command surgeon guidance and relevant Military Department policy. Medical threat pre-deployment briefings will be provided to all CDF to communicate health risks and countermeasures in the theater or JOA according to DoD Instruction 6490.3 (reference (ap)). The DoD Components shall ensure health service support (HSS), either as a responsibility of the contractor or the DoD Components, is fully delineated in OPLANs, OPORDs, and contracts to ensure appropriate medical staffing in the AOR. The Component Commands and DoD Agencies shall also include CDF, who are providing essential contractor services, in their health surveillance plans as defined in DoD Directive 6490.2 (reference (aq)).

6.2.7.6. Individual Protective Equipment. The contract shall specify the level of Government-furnished support and what support is reimbursable to the Government. Generally, contractors shall be required to provide all life, mission, and administrative support to its employees necessary to perform the contract according to DoD Instruction 4161.2 (reference (ar)). However, in many contingency operations, the Government may decide it is in its interests to provide selected life, mission, and administrative support to some contingency contractor personnel. When necessary, and as determined by the Component Commander, according to the geographic Combatant Commander guidance, contingency contractor personnel may be issued military individual protective equipment (e.g., chemical defensive gear, body armor, personal protective equipment) according to reference (e), applicable Military Department regulations, and the terms of the contract. This equipment shall typically be issued before deployment to the AOR at the deployment center and must be returned to the Government, otherwise accounted for, or purchased, after use. The Military Departments shall plan and source individual protective equipment as required by the Component Commander and the terms of the contract.

6.2.7.7. Clothing. The individual contractor or contingency contractor personnel are responsible for providing their own personal clothing, including casual and working clothing required by the particular assignment. Generally, commanders shall not issue military clothing to contingency contractor personnel or allow the wearing of military or military look-alike uniforms. However, geographic Combatant Commanders may authorize certain contingency contractor personnel to wear standard uniform items for operational reasons. This authorization shall be in writing and carried by authorized contingency contractor personnel. When commanders issue any type of standard uniform item to contingency contractor personnel, care must be taken to ensure, consistent with force protection measures, the contingency contractor personnel are distinguishable from military personnel through the use of distinctive patches, arm bands, nametags, or headgear.

6.2.7.8. Weapons. Contingency contractor personnel will not be authorized to possess or carry personally owned firearms or ammunition or be armed during contingency operations except as provided under subparagraphs 6.3.4. or 6.3.5.

6.2.7.9. Training. Contracting activities, the Military Departments, and the DoD Components shall ensure any training requirements, including specific training requirements established by the geographic Combatant Commander, and training required according to DoD Directive 2000.12, DoD Instruction 2000.16, DoD Instruction 1300.23 (references (as) through (au)), and reference (e), are contained, or incorporated by reference, in contracts employing CDF. Operational specific training required by non-CDF will be determined and executed by the joint force and Component Commanders.

6.2.7.10. Legal Assistance. The individual contractor or contingency contractor personnel are responsible for preparing and completing personal legal affairs (including powers of attorney, wills, trusts, estate plans, etc.) before reporting to deployment centers. Generally, contingency contractor personnel are not entitled to military legal assistance with personal legal affairs, either in theater or at the deployment center. The DoD Components shall ensure theater admission requirements state contingency contractor personnel should prepare and execute any necessary wills or powers of attorney before reporting to deployment centers.

6.2.7.11. Contractor-Performed Theater Admission Processing. Contracting officers may authorize contractor-performed theater admission processing because of the number of CDF, frequency of CDF deployment, or large amounts of equipment. Contracting officers shall coordinate with and obtain approval from the appropriate Military Department or agency and ensure all requirements of the DoD deployment centers are met. Defense contractors shall establish initial CDF accountability by entering contractor personnel data in the joint database addressed in subparagraph 6.2.6. The DoD Components shall validate CDF accountability information in the database at the JRC or other points as necessary. The use of contractor-performed theater admission processing does not negate the responsibility for all CDF to process through the JRC.

6.3. Contractor Theater Management Requirements. The DoD Components shall adhere to the following theater management policies in managing contingency contractor personnel in support of contingency operations.

6.3.1. Reception. All CDF shall be processed in and out of the AOR through a JRC or other personnel centers designated by the geographic Combatant Commander. The JRC validates CDF are entered into the joint database addressed in subparagraph 6.2.6. and verifies personnel meet theater specific entrance requirements. The CDF already in the AOR when a contingency is declared must report to the appropriate JRC as soon as the JRC is placed into operation. Any CDF not properly qualified shall be either sent back to their departure point or turned over to the appropriate Component Command or Defense Agency for in-theater processing. Although subcontractor personnel with a formal subcontract relationship under an external support contract or systems support contract must be entered in the contractor database addressed in subparagraph 6.2.6, TCN and HN personnel hired using local procurement (e.g., day laborers) under theater support contracts or hired in theater by external support contractors are not required to process through the JRC.

6.3.2. Contractor Use Restrictions. The geographic Combatant Commanders may place specific restrictions on locations or timing of contractor support based on the prevailing operational situation, in coordination with the Component Commands and applicable DoD Agencies.

6.3.3. Contractor Direction and Discipline. Defense contractors are responsible for ensuring employees perform under the terms of the contract; comply with theater orders, and applicable directives, laws, and regulations; and maintain employee discipline. The contracting officer, or designee, is the liaison between the commander and the defense contractor for directing or controlling contractor performance because commanders have no direct contractual relationship with the defense contractor. However, the ranking military commander may, in emergency situations (e.g., enemy or terrorist actions or natural disaster), direct contingency contractor personnel to take lawful action as long as those actions do not require them to assume inherently governmental responsibilities barred under subparagraph 6.1.5. Contingency contractor personnel shall conform to all general orders applicable to DoD civilian personnel issued by the ranking military commander. Outside the assertion of criminal jurisdiction for misconduct, the contractor is responsible for disciplining contingency contractor personnel.

Commanders have limited authority to take disciplinary action against contingency contractor personnel. However, a commander has authority to take certain actions affecting contingency contractor personnel, such as the ability to revoke or suspend security access or impose restriction from installations or facilities. Only the Department of Justice may prosecute misconduct under applicable Federal laws, including references (k) and (m), absent a formal declaration of war by Congress (which would subject civilians accompanying the force to UCMJ jurisdiction). Contingency contractor personnel are subject to the domestic criminal laws of the HN, absent a SOFA or international agreement to the contrary. When confronted with disciplinary problems involving contingency contractor personnel, commanders shall seek the assistance of their legal staff, the contracting officer responsible for the contract, and the contractor’s management team.

6.3.4. Force Protection and Weapons Issuance. The geographic Combatant Commanders shall develop a security plan for protection of those contingency contractor personnel in locations where there is not sufficient or legitimate civil authority and the commander decides that it is in the interests of the Government to provide security because the contractor cannot obtain effective security services, such services are unavailable at a reasonable cost, or threat conditions necessitate security through military means. The contracting officer shall include in the contract the level of protection to be provided to contingency contractor personnel. In appropriate cases, the geographic Combatant Commander may provide security through military means, commensurate with the level of security provided DoD civilians. Specific security measures shall be mission and situation dependent as determined by the geographic Combatant Commander. All contingency contractor personnel shall comply with applicable Combatant Commander and local commander force protection policies. Contingency contractor personnel working within a U.S. military facility or in close proximity of U.S. forces may receive incidentally the benefits of measures undertaken to protect U.S. forces according to reference (as). However, it may be necessary for contingency contractor personnel to be armed for individual self-defense. Procedures for arming for individual self-defense are addressed below:

6.3.4.1. According to applicable U.S., HN, and international law, relevant SOFAs or international agreements, or other arrangements with local HN authorities, on a case-by-case basis when military force protection and legitimate civil authority are deemed unavailable or insufficient, the geographic Combatant Commander (or a designee no lower than the general or flag officer level) may authorize contingency contractor personnel to be armed for individual self-defense. In such a case the Government shall provide or ensure weapons familiarization, qualifications, and briefings on the rules regarding the use of force to the contingency contractor personnel. Acceptance of weapons by contractor personnel shall be voluntary and permitted by the defense contractor and the contract. These personnel must not be otherwise prohibited from possessing weapons under U.S law. The defense contractor shall ensure such personnel are not prohibited under U.S. law to possess firearms. When armed for personal protection, contingency contractor personnel are only authorized to use force for individual self-defense. Unless immune from HN jurisdiction by virtue of an international agreement or international law, contingency contractor personnel shall be advised of the inappropriate use of force could subject them to U.S.

or HN prosecution and civil liability.

6.3.4.2. Contingency…