DoDI_3020.41.pdf

Department of Defense

INSTRUCTION

NUMBER 3020.41

December 20, 2011

Incorporating Change 1, April 11, 2017

USD(AT&L)

SUBJECT: Operational Contract Support (OCS)

References: See Enclosure 1

1. PURPOSE. This Instruction:

a. Reissues DoD Instruction (DoDI) 3020.41 (Reference (a)) with a new title.

b. Establishes policy, assigns responsibilities, and provides procedures for OCS, including OCS program management, contract support integration, and integration of defense contractor personnel into contingency operations outside the United States in accordance with the guidance in DoD Directive (DoDD) 3020.49 (Reference (b)) and the authority in DoDD 5134.01 (Reference (c)).

2. APPLICABILITY. This Instruction applies to:

a. Office of the Secretary of Defense, the Military Departments, the Office of the Chairman of the Joint Chiefs of Staff (CJCS) and the Joint 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 within the DoD (hereinafter referred to collectively as the “DoD Components”).

b. DoD operations (contingency, humanitarian assistance, and other peace operations) outside the United States; other military operations as determined by a Combatant Commander (CCDR); or as directed by the Secretary of Defense (hereinafter referred to collectively as “applicable contingency operations”).

3. DEFINITIONS. See Glossary.

DoDI 3020.41, December 20, 2011

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4. POLICY. It is DoD policy that:

a. OCS actions (e.g., planning, accountability, visibility, deployment, protection, and redeployment requirements) shall be implemented to:

(1) Incorporate appropriate contingency program management processes during applicable contingency operations.

(2) Comply with applicable U.S., international, and local laws, regulations, policies, and agreements.

(3) Use contract support only in appropriate situations consistent with subpart 7.5 of the Federal Acquisition Regulation (FAR), subpart 207.503 of the Defense Federal Acquisition Regulation Supplement (DFARS), and DoDI 1100.22 (References (d), (e), and (f)).

(4) Fully consider, plan for, integrate, and execute acquisition of, contracted support, including synchronizing and integrating contracted support flowing into an operational area from systems support, external support and theater support contracts, and managing the associated contractor personnel, into applicable contingency operations consistent with CCDR policies and procedures and Joint Publication (JP) 4-10 (Reference (g)).

b. Contractors are generally responsible for providing their own logistical support.

However, in austere, uncertain, and/or hostile environments, the DoD may provide logistical support to ensure continuation of essential contractor services. Contractors authorized to accompany the force (CAAF) may receive Government-furnished support commensurate with the operational situation in accordance with the terms and conditions of their contract.

c. Contracting officers will ensure that contracts used to support DoD operations require:

(1) That CAAF deploying from outside the operational area be processed through formal deployment (replacement) centers or a DoD-approved equivalent process prior to departure, and through in-theater reception centers upon arrival in the operational area, as specified in Enclosure 2.

(2) That contractors provide personnel who are medically, dentally, and psychologically fit, and if applicable, professionally tested and certified, to perform contract duties in applicable contingency operations. Enclosure 2 details medical support and evacuation procedures.

Enclosure 3 provides guidance on contractor medical, psychological, and dental fitness.

(3) Solicitations and contracts address any applicable host country and designated operational area performance considerations.

d. Contracts for highly sensitive, classified, cryptologic, and intelligence projects and programs shall implement this Instruction to the maximum extent practicable, consistent with applicable laws, Executive Orders, Presidential Directives, and DoD issuances.

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e. In applicable contingency operations, contractor visibility and accountability shall be maintained through a common joint database, the Synchronized Predeployment and Operational Tracker (SPOT) or its successor.

5. RESPONSIBILITIES. See Enclosure 4.

6. PROCEDURES. See Enclosures 2 and 3.

7. RELEASABILITY. UNLIMITED Cleared for public release. This Instruction is approved for public release and is available on the Internet from the DoD Issuances Website at http://www.dtic.mil/whs/directives.

8. EFFECTIVE DATE. This Instruction is effective upon its publication to the DoD Issuances Website December 20, 2011.

Frank Kendall Acting Under Secretary of Defense for Acquisition, Technology and Logistics

Enclosures

1. References

2. Procedures

3. Guidance for Contractor Medical and Dental Fitness

4. Responsibilities Glossary

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TABLE OF CONTENTS

ENCLOSURE 1: REFERENCES

ENCLOSURE 2: PROCEDURES

REQUIREMENTS, RELATIONSHIPS, AND RESTRICTIONS

OCS PLANNING

DEPLOYMENT AND IN-THEATER ADMISSION REQUIREMENTS AND

PROCEDURES

CONTRACTOR THEATER MANAGEMENT REQUIREMENTS

REDEPLOYMENT PROCEDURES

ENCLOSURE 3: GUIDANCE FOR CONTRACTOR MEDICAL AND

DENTAL FITNESS

GENERAL

MEDICAL AND DENTAL EVALUATIONS

GLASSES AND CONTACT LENSES

MEDICATIONS

COMFORT ITEMS

IMMUNIZATIONS

HUMAN IMMUNODEFICIENCY VIRUS (HIV) TESTING

ARMED FORCES REPOSITORY OF SPECIMEN SAMPLES FOR THE

INDENTIFICATION OF REMAINS (AFRSSIR)

PRE-EXISTING MEDICAL CONDITIONS

CONDITIONS USUALLY PRECLUDING MEDICAL CLEARANCE

EXCEPTIONS TO MEDICAL STANDARDS (WAIVERS)

ENCLOSURE 4: RESPONSIBILITIES

USD(AT&L)

DIRECTOR, DPAP

DASD(PS)

DIRECTOR, DEFENSE LOGISTICS AGENCY (DLA)

DIRECTOR, DEFENSE CONTRACT MANAGEMENT AGENCY

(DCMA)

UNDER SECRETARY OF DEFENSE FOR INTELLIGENCE (USD(I))

ASD(HA)

DEPUTY ASSISTANT SECRETARY OF DEFENSE FOR READINESS

(DASD(READINESS))

DIRECTOR, DEFENSE MANAGEMENT DATA CENTER (DMDC)

UNDER SECRETARY OF DEFENSE (COMPTROLLER) (USD (C))/CHIEF

FINANCIAL OFFICER (CFO), DEPARTMENT OF DEFENSE

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SECRETARIES OF THE MILITARY DEPARTMENTS AND DIRECTORS OF THE

DEFENSE AGENCIES AND DOD FIELD ACTIVITIES

CJCS

GEOGRAPHIC CCDRS AND CDRUSSOCOM

FUNCTIONAL CCDRS, EXCEPT CDRUSJFCOM WHEN A SUPPORTED CCDR

GLOSSARY

PART I: ABBREVIATIONS AND ACRONYMS

PART II: DEFINITIONS

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ENCLOSURE 1

REFERENCES

(a) DoD Instruction 3020.41, “Contractor Personnel Authorized to Accompany the U.S. Armed

Forces,” October 3, 2005 (hereby cancelled)

(b) DoD Directive 3020.49, “Orchestrating, Synchronizing, and Integrating Program

Management of Contingency Acquisition Planning and its Operational Execution,” March 24, 2009

(c) DoD Directive 5134.01, “Under Secretary of Defense for Acquisition, Technology, and Logistics (USD(AT&L)),” December 9, 2005, as amended

(d) Subparts 4.1301, 4.1303, 52.204-9, 7.5, 7.503(e), 2.101, and 3.502 of the Federal Acquisition Regulation, current edition

(e) Subparts 207.503, 252.225-7040 and 202.101, of the Defense Federal Acquisition Regulation Supplement, current edition

(f) DoD Instruction 1100.22, “Policy and Procedures for Determining Workforce Mix,” April 12, 2010

(g) Joint Publication 4-10, “Operational Contract Support,” October 17, 2008 July 16, 2014

(h) Geneva Convention Relative to the Treatment of Prisoners of War, August 12, 1949

(i) Geneva Convention Relative to the Treatment of Civilians in Time of War, August 12,

(j) Sections 7(9), 2441, and 32611 of title 18, United States Code

(k) Sections 133, 153, 155, 235, 2330a and 2463 and chapter 472 of title 10, United States

Code

(l) Secretary of Defense Memorandum, “UCMJ Jurisdiction Over DoD Civilian Employees, DoD Contractor Personnel, and Other Persons Serving With or Accompanying the Armed Forces Overseas During Declared War and in Contingency Operations,” March 10, 2008

(m) DoD Directive 1000.20, “Active Duty Service Determinations for Civilian or Contractual Groups,” September 11, 1989

(n) Section 106 of title 38, United States Code

(o) Public Law 105-270, “Federal Activities Inventory Reform Act of 1998,” October 19, 1998

(p) Office of Management and Budget Circular A-76, “Performance of Commercial

Activities,” May 29, 2003, as amended

(q) Deputy Secretary of Defense Memorandum, “In-sourcing Contracted Services –

Implementation Guidance,” May 28, 2009

(r) Deputy Secretary of Defense Memorandum, “Implementation of Section 324 of the

National Defense Authorization Act for Fiscal Year 2008 (FY 2008 NDAA) – Guidelines and Procedures on In-Sourcing New and Contracted Out Functions,” April, 4, 2008

(s) Chairman of the Joint Chiefs of Staff Manual 3122.02C, Joint Operation Planning and Execution System (JOPES) Volume III, “Crisis Action Time-Phased Force and Deployment Data Development and Deployment Execution,” June 19, 2006 May 21, 20153

1 Also known as “The Military Extraterritorial Jurisdiction Act of 2000 (MEJA), as amended” 2 Also known as “The Uniform Code of Military Justice (UCMJ)” 3 Available to authorized users at https://ca.dtic.mil/cjcs_directives/cjcs/manuals.htm. Electronic access to this directive is restricted by the Joint Staff Office of Primary Responsibility

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(t) Joint Publication 4-0, “Joint Logistics,” July 18, 2008 October 16, 2013

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

(v) DoD Instruction 1100.19, “Wartime Manpower Mobilization Planning Policies and

Procedures,” February 20, 1986

(w) DoD Directive 5205.02E, “DoD Operations Security (OPSEC) Program,” March 6, 2006

June 20, 2012

(x) DoD Instruction 5000.02, “Operation of the Defense Acquisition System,” December 8, 2008 January 7, 2015, as amended

(y) Subpart 225.74 of the Defense Federal Acquisition Regulation Supplement – Procedures, Guidance and Information, current edition

(z) DoD Foreign Clearance Guide, current edition4

(aa) Section 862 of Public Law 110-181, “National Defense Authorization Act for Fiscal Year

2008,” January 28, 2008

(ab) DoD Directive 5160.41E, “Defense Language Program (DLP)”, October 21, 2005

“Defense Language, Regional Expertise, and Culture (LREC) Program,” August 21, 2015, as amended

(ac) Chairman of the Joint Chiefs of Staff Manual 3150.13C, “Joint Reporting Structure – Personnel Manual,” March 10, 2010

(ad) Deputy Under Secretary of Defense (Logistics and Materiel Readiness) and Deputy Under Secretary of Defense (Program Integration) Memorandum “Designation of Synchronized Predeployment and Operational Tracker (SPOT) as Central Repository for Information on Contractors Deploying with the Force,” January 25, 2007

(ae) DoD 5400.11-R “Department of Defense Privacy Program,” May 14, 2007

(af) DoD 6025.18-R “DoD Health Information Privacy Regulation”, January 24, 2003

(ag) DoD Directive 8000.01, “Management of the Department of Defense Information

Enterprise (DoD IE),” February 10, 2009 March 17, 2016

(ah) DoD Directive Instruction 8320.02, “Data Sharing in a Net-Centric Department of

Defense,” December 2, 2004 “Sharing Data, Information, and Technology (IT) Services in the Department of Defense,” August 5, 2013

(ai) DoD Directive 4630.05, “Interoperability and Supportability of Information Technology (IT) and National Security Systems (NSS),” May 5, 2004 DoD Instruction 8330.01, “Interoperability of Information Technology (IT), Including National Security Systems (NSS),” May 21, 2014

(aj) DoD Directive 8500.01E, “Information Assurance (IA) Cybersecurity,” October 24, 2002 March 14, 2014

(ak) DoD Instruction 1000.13, “Identification (ID) Cards for Members of the Uniformed Services, Their Dependents, and Other Eligible Individuals,” December 5, 1997 January 23, 2014

(al) DTM 08-003, “Next Generation Common Access Card (CAC) Implementation Guidance,” December 1, 2008. DoD Manual 1000.13, Volume 1, “DoD Identification (ID) Cards: ID Card Life-Cycle,” January 23, 2014

(am) DoD Instruction 4161.02, “Management, Control and Disposal of Government Property in the Possession of Contractors,” September 26, 1997 “Accountability and Management of Government Contract Property,” April 27, 2012

4 Available to authorized users at https://www.fcg.pentagon.mil/

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(an) DoD Directive 6485.02E, “Human Immunodeficiency Virus (HIV)/Acquired Immune Deficiency Syndrome (AIDS) Prevention Program: to Support to Foreign Militaries,” November 7, 2006 December 6, 2013

(ao) DoD Instruction 6490.03, “Deployment Health,” August 11, 2006

(ap) DoD Directive 6490.02E, “Comprehensive Health Surveillance,” October 21, 2004

February 8, 2012, as amended

(aq) DoD Instruction 3020.50, “Private Security Contractors (PSCs) Operating in Contingency

Operations, Humanitarian or Peace Operations, or Other Military Operations or Exercises,” July 22, 2009, as amended

(ar) Chairman of the Joint Chiefs of Staff Instruction 3500.01F, “Joint Training Policy and Guidance for the Armed Forces of the United States,” November 19, 2010

(as) DoD Directive Instruction 2000.12, “DoD Antiterrorism (AT) Program,” August 18, 2003 March 1, 2012, as amended

(at) DoD Instruction O-2000.16, Volume 1, “DoD Antiterrorism (AT) Program Implementation: DoD AT Standards,” October 2, 2006 November 17, 2016

(au) DoD Instruction 1300.23 O-3002.05, “Isolated Personnel Training for DoD Civilian and Contractors,” August 20, 2003 “Personnel Recovery (PR) Education and Training,” April 12, 2016

(av) DoD Directive 3002.01E, “Personnel Recovery in the Department of Defense,” April 16, 2009, as amended

(aw) Joint Publication 3-50, “Personnel Recovery,” January 5, 2007 October 2, 2015

(ax) DoD Instruction 2310.4 3002.03, “Repatriation of Prisoners of War (POW), Hostages, Peacetime Government Detainees and Other Missing or Isolated Personnel,” November 21, 2000 “DoD Personnel Recovery – Reintegration of Recovered Personnel,” July 15, 2013, as amended

(ay) DoD Directive 2310.07E, “Personnel Accounting – Losses Due to Hostile Acts,” November 10, 2003

(az) DoD Directive 3025.14, “Protection and Evacuation of U.S. Citizens and Designated Aliens in Danger Areas Abroad (Short Title: Noncombatant Evacuation Operations),” November 5, 1990 “Evacuation of U.S. Citizens and Designated Aliens from Threatened Areas Abroad,” February 26, 2013

(ba) Joint Publication 1-0, “Personnel Support to Joint Operations,” October 16, 2006 March 25,

(bb) Assistant Secretary of Defense for Logistics and Materiel Readiness Publication, “Business Rules for the Synchronized Predeployment and Operational Tracker (SPOT),” current edition5

(bc) DoD Directive 1300.22E, “Mortuary Affairs Policy,” May 25, 2011 October 30, 2015

(bd) DoD Instruction 6000.11, “Patient Movement (PM),” September 9, 1998 May 4, 2012

(be) DoD Instruction 6200.03, “Public Health Emergency Management within the Department of Defense,” March 5, 2010, as amended

(bf) DoD 4525.6-M, “Department of Defense Postal Manual,” August 15, 2002

(bg) DoD Directive 6200.04, “Force Health Protection (FHP)”, October 9, 2004

(bh) DoD Instruction 5154.30, “Armed Forces Institute of Pathology Operations,” March 18, 2003 “Armed Forces Medical Examiner Systems (AFMES),” December 29, 2015

5 Available at http://www.acq.osd.mil/log/PS/spot.html

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(bi) Assistant Secretary of Defense for Health Affairs Memorandum, “Policy Guidance for Deployment-Limiting Psychiatric Conditions and Medications,” November 7, 2006

(bj) Operational Contract Support Functional Capabilities Integration Board (FCIB) Charter, March 29, 2010 June 27, 2014

(bk) Quadrennial Defense Review, current edition

(bl) DoD Directive 5143.01, “Under Secretary of Defense for Intelligence (USD (I)),”

November 23, 2005 October 24, 2014, as amended

(bm) DoD Instruction 5220.22, “National Industrial Security Program (NISP),” March 18, 2011

(bn) Joint Staff Manual 5100.01, “Organization and Function of the Joint Staff,” January 23,

(bo) DoD 7000.14-R, “Department of Defense Financial Management Regulations (FMRs),” current edition

(bp) DoD Directive 5210.56, “Carrying of Firearms and the Use of Force by DoD Personnel

Engaged in Security, Law and Order, or Counterintelligence Activities,” April 1, 2011 “Arming and the Use of Force,” November 18, 2016

(bq) Joint Publication 1-02, “Department of Defense Dictionary of Military and Associated Terms,” current edition

(br) Manual for Courts-Martial, United States, current edition

(bs) DoD Instruction 1000.01, “Identification (ID) Cards Required by the Geneva

Conventions,” April 16, 2012, as amended

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ENCLOSURE 2

PROCEDURES

1. REQUIREMENTS, RELATIONSHIPS, AND RESTRICTIONS. In implementing this Instruction, the Heads of the DoD Components shall abide by applicable laws, regulations, DoD policy, and international agreements as they relate to contractor personnel supporting applicable contingency operations.

a. Status of Contractor Personnel

(1) Pursuant to applicable law, contracted services may be utilized in applicable contingency operations for all functions not inherently governmental. Contractor personnel may be utilized in support of such operations in a non-combat role as long as contractor personnel residing with the force in foreign contingencies have been designated as CAAF by the force they accompany and are provided with an appropriate identification card pursuant to the Geneva Convention Relative to the Treatment of Prisoners of War (Reference (h)). If captured during international armed conflict, contractors with CAAF status are entitled to prisoner of war status.

Some contractor personnel may be covered by the Geneva Convention Relative to the Protection of Civilian Persons in Time of War (Reference (i)) should they be captured during armed conflict. All contractor personnel may be at risk of injury or death incidental to enemy actions while supporting military operations. CAAF status does not apply to contractor personnel supporting domestic contingencies.

(2) Contractor personnel may support applicable contingency operations such as by providing communications support; transporting munitions and other supplies; performing maintenance functions for military equipment; providing private security services; providing foreign language interpretation and translation services, and providing logistic services such as billeting and messing. Each service to be performed by contractor personnel in applicable contingency operations shall be reviewed on a case-by-case basis in consultation with the cognizant manpower official and servicing legal office to ensure compliance with Reference (f) and relevant laws and international agreements.

b. Local and Third-Country Laws. Subject to the application of international agreements, all contingency contractor personnel must comply with applicable local and third-country laws.

Contractor personnel may be hired from U.S., local national (LN), or third-country sources and their status may change (e.g., from non-CAAF to CAAF), depending on where they are detailed to work by their employer or on the provisions of the contract. The CCDRs, as well as subordinate commanders and Service component commanders, and the Directors of the Defense Agencies and DoD Field Activities should be cognizant of limiting factors regarding the employment of LN and third-country national (TCN) personnel. Limiting factors may include imported labor worker permits; workforce and hour restrictions; medical, life, and disability insurance coverage; taxes, customs, and duties; cost of living allowances; hardship differentials;

access to classified information; and hazardous duty pay.

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c. U.S. Laws. CAAF, with some exceptions, are subject to U.S. laws and Government regulations. For example, all U.S. citizen and TCN CAAF may be subject to prosecution pursuant to Federal law including, but not limited to, section 3261 of title 18, U.S.C. (also known and hereinafter referred to as “The Military Extraterritorial Jurisdiction Act of 2000 (MEJA), as amended” (Reference (j))). MEJA extends U.S. Federal criminal jurisdiction to certain defense contractor personnel for offenses committed outside U.S. Territory. Additionally, CAAF are subject to prosecution pursuant to chapter 47 of title 10, U.S.C. (also known and hereinafter referred to as “The Uniform Code of Military Justice (UCMJ)” (Reference (k))) in accordance with Secretary of Defense Memorandum (Reference (l)). Other laws may allow prosecution of offenses by contractor personnel, such as section 7(9) of Reference (j). Immediate consultation with the servicing legal office and the contracting officer is required in all cases of suspected MEJA and/or UCMJ application to conduct by CAAF personnel, especially in non-combat operations or in undeclared contingencies.

d. Contractual Relationships. The contract is the only legal basis for the relationship between the DoD and the contractor. The contract shall specify the terms and conditions, to include minimum acceptable professional standards, under which the contractor is to perform;

the method by which the contractor will be notified of the deployment procedures to process contractor personnel; and the specific support relationship between the contractor and the DoD.

The contract shall contain standardized clauses to ensure efficient deployment, accountability, visibility, protection, authorized levels of health service, and other support, sustainment, and redeployment of contractor personnel. It shall also specify the appropriate flow-down of provisions and clauses to subcontracts, and shall state that the service performed by contractor personnel is not considered to be active duty or active service in accordance with DoDD 1000.20 and section 106 of title 38, U.S.C. (References (m) and (n)).

e. Restrictions on Contracting Inherently Governmental Functions. Inherently governmental functions and duties are barred from private sector performance in accordance with Reference (f), subpart 207.503 of Reference (e), subpart 7.5 of Reference (d), Public Law (P.L.) 105-270 (Reference (o)), and Office of Management and Budget Circular A-76 (Reference (p)). As required by subpart 7.503(e) of Reference (d), subpart 207.503 of Reference (e), and Deputy Secretary of Defense Memorandum (Reference (q)), contracting officials shall request requiring officials to certify in writing that functions to be contracted (or to continue to be contracted) are not inherently governmental. Requiring officials shall determine whether functions are inherently governmental based on the guidance in Reference (f).

f. Restrictions on Contracting Functions Exempted From Private Sector Performance. As required by subpart 207.503 of Reference (e) and Reference (q), contracting officials shall request requiring officials to certify in writing that functions to be contracted (or continue to be contracted) are not exempted from private sector performance. Requiring officials shall determine whether functions are exempted from private sector performance based on the guidance in Reference (f).

g. Requirements for Contracting Commercial Functions. As required by section 2463 of Reference (k) and Reference (q), in advance of contracting for commercial functions or continuing to contract for commercial functions, requiring officials shall consider using DoD

Change 1, 04/11/2017 ENCLOSURE 2 12 civilian employees to perform the work. Requiring officials shall determine whether DoD civilian employees should be used to perform the work based on the guidance in Reference (q) and Deputy Secretary of Defense Memorandum (Reference (r)).

h. International Laws, Local Laws, and Host Nation (HN) Support Agreements. Planners and requiring activities, in coordination with contracting officers, shall take international laws, local laws, and HN support agreements into account when planning for contracted support, through assistance and coordination of the staff judge advocates (SJAs) office of the geographic CCDRs; the Commander, United States Special Operations Command (CDRUSSOCOM); the Commander, United States Transportation Command; and the Service component commander SJA offices. These laws and support agreements may affect contracting by restricting the services to be contracted, limiting contracted services to LN or HN contractor sources or, in some cases, by prohibiting contractor use altogether.

i. Status-of-Forces Agreements (SOFAs). Planners and requiring activities, in coordination with contracting officers shall review applicable SOFAs and related agreements to determine their effect on the status and use of contractors in support of applicable contingency operations, with the assistance and coordination of the geographic CCDR SJA offices.

2. OCS PLANNING. Combatant and subordinate joint force commanders (JFCs) determine whether contracted support capabilities are appropriate in support of a contingency. When contractor personnel and equipment are anticipated to support military operations, military planners will develop orchestrated, synchronized, detailed, and fully developed contract support integration plans (CSIPs) and contractor management plans (CMPs) as components of concept plans (CONPLANs) and operational plans (OPLANs), in accordance with appropriate strategic planning guidance. CONPLANS without time-phased force and deployment data (TPFDD) and operational orders (OPORDs) shall contain CSIP- and CMP-like guidance to the extent necessary as determined by the CCDR. OCS planning will, at a minimum, consider HN support agreements, acquisition cross-servicing agreements, and Military logistics support agreements.

a. CSIPs. All CCDR CONPLANs with TPFDD and OPLANs shall include a separate CSIP (i.e., Annex W) in accordance with Chairman of the Joint Chiefs of Staff Manual 3122.02C and JP 4-0 (References (s) and (t)). Further, plans and orders should contain additional contract support guidance, as appropriate, in applicable annexes and appendixes within the respective plans (e.g., contracted bulk fuel support guidance should be addressed in the Class III(B) Appendix to the Logistic Annex). Service component commanders shall provide supporting CSIPs as directed by the CCDR.

b. CMPs. All CCDR CONPLANs with TPFDD and OPLANs shall include a separate CMP and/or requisite contractor management requirements document in the applicable appendix or annex of these plans (e.g., private security contractor rules for the use of force should be addressed in the Rules of Engagement Appendix to the Concept of the Operation Annex) in accordance with References (s) and (t). Service component commanders shall provide supporting CMPs as directed by the CCDR.

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c. Continuation of Essential Contractor Services. To ensure that critical capabilities are maintained, it is necessary to assess the risk of premature loss of mission-essential contracted support. Supported and supporting commanders shall plan for the mitigation from the risk of premature loss of contingency contractor personnel who are performing essential contractor services. Planning for continuation of essential contractor services during applicable contingency operations includes:

(1) Determining all services provided overseas by defense contractors that must continue during an applicable contingency operation. Contracts shall obligate defense contractors to ensure the continuity of essential contractor services during such operations.

(2) Developing mitigation plans for those tasks identified as essential contractor services to provide reasonable assurance of continuation during crisis conditions. These mitigation plans should be developed as part of the normal CSIP development process.

(3) Ensuring the Secretaries of the Military Departments and the geographic CCDRs plan for the mitigation from the risk of premature loss of contingency contractor personnel who are performing essential contractor services. When the cognizant DoD Component Commander or geographic CCDR has a reasonable doubt about the continuation of essential services by the incumbent contractor during applicable contingency operations, the commander shall prepare a mitigation plan for obtaining the essential services from alternative sources (military, DoD civilian, HN, or other contractor(s)). This planning requirement also applies when the commander has concerns that the contractor cannot or will no longer fulfill the terms of the contract:

(a) Because the threat level, duration of hostilities, or other factors specified in the contract have changed significantly;

(b) Because U.S., international, or local laws; HN support agreements; or SOFAs have changed in a manner that affect contract arrangements; or

(c) Due to political or cultural reasons.

(4) Encouraging contingency contractor personnel performing essential contractor services overseas to remain in the respective operations area.

d. Requirements for Publication. CCDRs shall make OCS planning factors, management policies, and specific contract support requirements available to affected contingency contractor personnel. To implement the OCS-related requirements of DoDD 1100.4 and DoDIs 1100.19 and 5205.02 (References (u), (v), and (w)), the mandated CCDR website at http://www.acq.osd.mil/dpap/pacc/cc/areas_of_responsibility.html shall include the information in subparagraphs d.(1) through d.(9) of this section (the data owner must review this information for security classification and operations security (OPSEC) considerations prior to its posting)).

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(1) Theater Business Clearance and Contract Administration Delegation requirements for external support and systems support contracts executing or delivering contracted support in the CCDR’s area of responsibility (AOR) (implemented at the CCDR’s discretion).

(2) Restrictions imposed by applicable international and local laws, SOFAs, and HN support agreements.

(3) CAAF-related deployment requirements and theater reception.

(4) Reporting requirements for accountability of contractor personnel and visibility of contracts.

(5) OPSEC plans and restrictions.

(6) Force protection policies.

(7) Personnel recovery procedures.

(8) Availability of medical and other Government-furnished support.

(9) Redeployment procedures.

e. Implementing OCS Plan Decisions Into Contracts

(1) Specific contract-related considerations and requirements set forth in Annex Ws of CONPLANs with TPFDD and OPLANs shall be reflected and addressed in CCDR policies (e.g., Theater Business Clearance/Contract Administration Delegation) and orders that apply to contractors and their personnel, maintained on CCDR OCS Webpages and integrated into contracts performing or delivering in a CCDR area of responsibility. When such CCDR policies potentially affect contracts other than those originated in the CCDR AOR, the CCDR should consult the contingency contracting section of the Office of the Director, Defense Procurement and Acquisition Policy (DPAP), for advice on how best to implement these policies. All contracted services in support of contingency operations shall be included and accounted for in accordance with sections 235 and 2330a of Reference (k). This accounting shall be completed by the operational CCDR requiring the service.”

(2) When making logistics sustainability recommendations, the DoD Components and acquisition managers shall consider the requirements of DoDI 5000.02 (Reference (x)) and paragraph 1.e. of this enclosure. Early in the contingency or crisis action planning process, they shall coordinate with the affected supported and supporting commands any anticipated requirements for contractor logistics support arrangements that may affect existing CONPLANs, OPLANs, and OPORDs. As part of the supporting plans, supporting organizations (Service components, defense agencies, others) must provide adequate data (e.g., estimates of the numbers of contractors and contracts and the types of supplies or services that will be required to support their responsibilities within the OPLAN) to the supported command planners to ensure

Change 1, 04/11/2017 ENCLOSURE 2 15 the supported commander has full knowledge of the magnitude of contracted support required for the applicable contingency operation.

f. TPFDD Development. Deployment data for CAAF and their equipment supporting the Military Services must be incorporated into TPFDD development and deployment execution processes in accordance with Reference (s). The requirement to provide deployment data shall be incorporated into known system support and external support contracts and shall apply regardless of whether defense contractors will provide or arrange their own transportation.

3. DEPLOYMENT AND THEATER ADMISSION REQUIREMENTS AND PROCEDURES.

The considerations in this section are applicable during CAAF deployment processing.

a. General

(1) The CCDR or subordinate JFC shall provide specific deployment and theater admission requirements to the DoD Components for each applicable contingency operation.

These requirements must be delineated in supporting contracts as explained in subpart 225.74 of DFARS Procedures, Guidance, and Information (Reference (y)). At a minimum, contracting officers shall ensure that contracts address operational area-specific contract requirements and the means by which the Government will inform contractors of the requirements and procedures applicable to a deployment.

(2) A formally designated group, joint, or Military Department deployment center (e.g., replacement center, Federal deployment center, unit deployment site) shall be used to conduct deployment and redeployment processing for CAAF, unless contractor-performed theater admission preparation is authorized according to paragraph 3.e., or waived pursuant to paragraph 3.o., of this enclosure. However, a Government-authorized process that incorporates all the functions of a deployment center may be used if designated in the contract.

b. Country Entry Requirements. Special area, country, and theater personnel clearance documents must be current in accordance with the DoD Foreign Clearance Guide (Reference (z)) and coordinated with affected agencies (e.g., Intelligence Community agencies) to ensure that entry requirements do not impact accomplishment of mission requirements. CAAF employed in support of a DoD mission are considered DoD-sponsored personnel for Reference (z) purposes.

Contracting officers shall ensure contracts include a requirement that CAAF must meet theater personnel clearance requirements and must obtain personnel clearances prior to entering applicable contingency operations. Contracts shall require CAAF to obtain proper identification credentials (e.g., passport, visa) as required by the terms and conditions of the contract.

c. Accountability and Visibility of Contingency Contracts and Contractor Personnel

(1) DoD contracts and contractors supporting an applicable contingency operation shall be accountable and visible in accordance with this Instruction, Reference (y), and section 862 of P.L. 110-181 (Reference (aa)). Additionally, contract linguist utilization will be tracked using the Contract Linguist Enterprise-wide Database in accordance with DoDD 5160.41E (Reference

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(ab)). OCS requirements and contractor accountability and visibility must be preplanned and integrated into plans and OPORDs in accordance with References (g) and (s) and U.S. citizen, U.S. legal alien contractor, LN, and TCN information provided in accordance with CJCS Manual 3150.13C (Reference (ac)).

(2) As stated in the Deputy Under Secretary of Defense (Logistics and Materiel Readiness) and Deputy Under Secretary of Defense (Program Integration) Memorandum (Reference (ad)), SPOT was designated as the joint web-based database to assist the CCDRs in maintaining awareness of the nature, extent, and potential risks and capabilities associated with OCS for contingency operations, humanitarian assistance and peacekeeping operations, or military exercises designated by the CCDR. To facilitate integration of contingency contractors and other personnel as directed by the Under Secretary of Defense for Acquisition, Technology and Logistics (USD(AT&L)) or the CCDR, and to ensure accountability, visibility, force protection, medical support, personnel recovery, and other related support can be accurately forecasted and provided, these procedures shall apply for establishing, maintaining, and validating the database:

(a) SPOT or its successor shall:

1. Serve as the central repository for up-to-date status and reporting on contingency contractor personnel as directed by the USD(AT&L), subpart 252.225-7040 of Reference (e) and Reference (y), or the CCDR, as well as other Government agency contractor personnel as applicable.

2. Track contract information for all DoD contracts supporting applicable contingency operations, as directed by the USD(AT&L), References (y) and (ac), or the CCDR.

SPOT data elements are intended to provide planners and CCDRs an awareness of the nature, extent, and potential risks and capabilities associated with contracted support.

3. Provide personnel accountability via unique identifier (e.g., Electronic Data Interchange Personnel Identifier of DoD contingency contractor personnel and other personnel as directed by the USD(AT&L), Reference (y), Reference (ac), or the CCDR.

4. Contain, or link to, minimum contract information (e.g., contract number, contract category, period of performance, contracting agency and contracting office) necessary to establish and maintain accountability and visibility of the personnel in subparagraph 3.c.(2)(a)1 of this section, to maintain information on specific equipment related to private security contracts, and the contract capabilities in contingency operations, humanitarian assistance, and peacekeeping operations, or military exercises designated by the CCDR.

5. Comply with the personnel identity protection program requirements of Reference (w), DoD 5400.11-R (Reference (ae)), and DoD 6025.18-R (Reference (af)); be consistent with the DoD Global Information Grid eEnterprise aArchitecture in DoDD 8000.01 (Reference (ag)); and be compliant with DoDIs 8320.02 and 8330.01 and DoDDs 8320.02, 4630.05, and 8500.01E (References (ah), (ai), and (aj)).

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(b) All required data must be entered into SPOT or its successor before a contractor employee is permitted to deploy to or enter a military theater of operations. Contracting officers, through the terms of the contracts, shall require contractors to enter data before an employee’s deployment and to maintain and update the information for all CAAF, as well as non-CAAF as directed by the USD(AT&L), Reference (y), or the CCDR. The contract shall require the contractor to use SPOT or its successor, to enter and maintain data on its employees.

(c) A summary of all DoD contract services or capabilities for all contracts that are awarded to support contingency, humanitarian assistance, and peacekeeping operations, to include theater, external, and systems support contracts, shall be entered into SPOT or its successor in accordance with subpart 252.225-7040 of Reference (e) and Reference (y).

(d) In accordance with applicable acquisition policy and regulations, all defense contractors awarded contracts that support applicable contingency operations shall be required, under the terms and conditions of each affected contract, to input employee data and maintain by-name accountability of designated contractor personnel in SPOT or its successor as required by subpart 252.225-7040 of Reference (e) and Reference (y). Contractors shall be required under the terms and conditions of their contracts to maintain policies and procedures for knowing the general location of their employees and to follow the procedures provided to them to submit up-to-date, real-time information reflecting all personnel deployed or to be deployed in support of contingency, humanitarian assistance, and peacekeeping operations. Prime contractors shall be required under the terms and conditions of their contract to follow the procedure provided to them to submit into SPOT or its successor, up-to-date, real-time information regarding their subcontractors at all tiers.

(e) In all cases, classified information responsive to the requirements of this Instruction shall be reported and maintained on systems approved for the level of classification of the information provided.

d. Letter of Authorization (LOA). A SPOT-generated LOA shall be issued by the contracting officer or designee to all CAAF as required by the clause in subpart 252.225-7040 of Reference (e) and selected non-CAAF (e.g., LN private security contractors) as required under Reference (y) or otherwise designated by the CCDR. The contract shall require that all contingency contractor personnel who are issued an LOA will carry the LOA with them at all times. For systems authorized in accordance with paragraph 3.c.(2)(b) of this enclosure, DoD Components shall coordinate with the SPOT program manager to obtain an LOA handled within appropriate security guidelines.

e. Deployment Center Procedures

(1) Affected contracts shall require that all CAAF process through a designated deployment center or a Government-authorized, contractor-performed deployment processing facility prior to deploying to an applicable contingency operation. Upon receiving the contracted company’s certification that employees meet deployability requirements, the contracting officer or his/her representative will digitally sign the LOA. The LOA will be presented to officials at the deployment center. The deployment process shall be for, but not limited to:

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(a) Verifying accountability information in SPOT or its successor.

(b) Issuing applicable Government-furnished equipment.

(c) Verifying medical and dental screening, including required military-specific vaccinations and immunizations (e.g., anthrax, smallpox).

(d) Verifying and, when necessary, providing required training (e.g., Geneva Conventions; law of armed conflict; general orders; standards of conduct; force protection;

personnel recovery; first aid; operations security; anti-terrorism; counterintelligence reporting;

the use of chemical, biological, radiological, nuclear (CBRN) protective ensemble), country and cultural awareness briefings, and other training and briefings as appropriate.

(2) Affected contingency contracts shall require that, prior to deployment, contractors certify to the Government authorizing representative named in the contract that all required deployment processing actions have been completed for each individual.

f. CAAF Identification, Training, and Security Clearance Requirements. Contracts shall require eligible CAAF to be issued an identification card with the Geneva Conventions Accompanying the Force designation in accordance with DoDIs 1000.01 and 1000.13 (References (bs) and (ak)) and DTM 08-003 Volume 1 of DoD Manual 1000.13 (Reference (al)).

CAAF shall be required to present their SPOT generated LOA as proof of eligibility at the time of ID card issuance. All CAAF shall receive training regarding their status under the law of war and the Geneva Convention. 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 access required for the applicable contingency operation.

g. Government Support. Generally, contingency contracts shall require that contractors provide all life, mission, and administrative support to their employees necessary to perform the contract in accordance with DoDI 4161.02 (Reference (am)) and CCDR guidance as posted on the CCDR OCS website. As part of preparing an acquisition requirement, the requiring activity will include an estimate of the Government support that is required to be provided to CAAF and selected non-CAAF in accordance with References (d) and (y). The requiring activity will confirm with theater adjudication authorities that the Government has the capacity, capability, and willingness to provide the support. However, in many contingency operations, especially those in which conditions are austere, uncertain, and/or non-permissive, the contracting officer may decide it is in the interest of the Government to allow for selected life, mission, medical, and administrative support to some contingency contractor personnel. Prior to awarding the contract, the contracting officer will request the requiring activity to verify that proper arrangements for Government support at the deployment center and within the designated operational area have been made. The contract shall specify the level of Government-furnished support to be provided to CAAF and selected non-CAAF and what support is reimbursable to the Government. The requiring activity will ensure that approved GFS is available.

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h. Medical Preparation

(1) In accordance with Enclosure 3 of this Instruction, contracts shall require that contractors provide medically and physically qualified contingency contractor personnel to perform duties in applicable contingency operations as outlined in the contract. Any CAAF deemed unsuitable to deploy during the deployment process due to medical or dental reasons will not be authorized to deploy. The Secretary of Defense may direct immunizations as mandatory for CAAF performing DoD-essential contractor services in accordance with References (t) and (ac). For CAAF who are U.S. citizens, contracts shall require contractors to make available the medical and dental records (including current panographic x-ray) of the deploying employees who grant release authorization for this purpose, according to contract terms based on this enclosure, DoDD 6485.02E (Reference (an)), applicable joint force command surgeon guidance, and relevant Military Department policy.

(2) Government personnel cannot force a contractor employee to receive an immunization or disclose private medical records against his or her will; therefore, particularly for medical requirements that arise after contract award, the contracting officer will allow contractors time to notify and/or hire employees who are willing to meet Government medical requirements and disclose their private information.

(3) Medical threat pre-deployment briefings will be provided to all CAAF to communicate health risks and countermeasures in the designated operational area in accordance with DoDI 6490.03 (Reference (ao)). Health readiness, force health protection capability, either as a responsibility of the contractor or the DoD Components, will be fully delineated in plans, orders, and contracts to ensure appropriate medical staffing in the operational area. Health surveillance activities shall also include plans for contingency contractor personnel who are providing essential contractor services (as detailed in DoDD 6490.02E (Reference (ap)).

Deoxyribonucleic acid (DNA) collection and other medical requirements are further addressed in Enclosure 3 of this Instruction.

i. Individual Protective Equipment (IPE). When necessary and directed by CCDR, the contracting officer will include language in the contract authorizing CAAF and selected non- CAAF, as designated by the CCDR, to be issued military IPE (e.g., CBRN protective ensemble, body armor, ballistic helmet) in accordance with Reference (u). This equipment shall typically be issued at the deployment center, before deployment to the designated operational area, and must be accounted for and returned to the Government or otherwise accounted for in accordance with appropriate DoD Component standing regulations (including Reference (am), directives, instructions, and supplementing publications). It is important to plan and resource IPE as required by the geographic CCDR or subordinate JFC, and the terms of the contract. Training on the proper care, fitting, and maintenance of issued protective equipment will be provided as part of contractor deployment training. This training will include practical exercises within the context of the various mission-oriented protective posture levels. When a contractor is required under the terms and conditions of the contract to provide IPE, such IPE shall meet minimum standards as defined by the contract.

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j. Clothing. Defense contractors or their personnel are responsible for providing their own personal clothing, including casual and working clothing required by the assignment. Generally, commanders shall not issue military clothing to contractor personnel or allow the wearing of military or military look-alike uniforms. However, a CCDR or subordinate JFC deployed forward may authorize contractor personnel to wear standard uniform items for operational reasons. Contracts shall require that this authorization be in writing and maintained in the possession of authorized contractor personnel at all times. When commanders issue any type of standard uniform item to contractor personnel, care must be taken to ensure, consistent with force protection measures, that contractor personnel are distinguishable from military personnel through the use of distinctive patches, arm bands, nametags, or headgear.

k. Weapons. Contractor personnel shall not be authorized to possess or carry firearms or ammunition during applicable contingency operations except as provided in paragraphs 4.e. and 4.f. of this enclosure and in DoDI 3020.50 (Reference (aq)). The contract shall provide the terms and conditions governing the possession of firearms.

l. Training. Joint training policy and guidance for the Military Services, including DoD contractors, is provided in CJCS Instruction 3500.01F (Reference (ar)). Standing training requirements shall be placed on the CCDR OCS websites for reference by contractors.