Attach 2 MNF-I OVERARCHING FRAGO 09-109 Complete.pdf

UNCLASSIFIED

HQ, MNF-I

VICTORY BASE, IRAQ

071345CMAR09

ROUTINE (72HRS)

(U) MNF-I FRAGO 09-109 [ARMED CONTRACTORS / DOD CIVILIANS AND PSC]

(U) SUBJECT: OVERARCHING FRAGO FOR REQUIREMENTS, COMMUNICATIONS, PROCEDURES,

RESPONSIBILITIES FOR CONTROL, COORDINATION, MANAGEMENT AND OVERSIGHT OF

ARMED CONTRACTORS / DOD CIVILIANS AND PRIVATE SECURITY COMPANIES (PSC)

(U) REFERENCES:

A. (U) MNF-I EXORD for US Embassy-Baghdad, Multinational Force-Iraq, Joint Campaign Plan (25 DEC

08) DTD 24 JAN 09

B. (U) U.S. Embassy-Baghdad, Multinational Force-Iraq, Joint Campaign Plan, dated 25 DEC 08

C. (U) National Defense Authorization Act (NDAA) for FY 2008, Pub. L. No. 110-181, Title VIII, Subtitle F (Sections 861-864), Contracts in Iraq and Afghanistan

D. (U) National Defense Authorization Act (NDAA) for FY 2009, Pub. L. No 110-417, Title VIII, Subtitle F (Sections 851-854) Matters Relating to Iraq and Afghanistan; (Section 861), Contracts in Iraq and Afghanistan

E. (U Memorandum Of Agreement Between the Department of Defense and the Department of State on USG Private Security Contractors in Iraq, DTD 05 DEC 07

F. (U) DEPSECDEF Memorandum, SUBJECT: Management of DoD Contractors and Contractor Personnel Accompanying U.S. Armed Forces in Contingency Operations Outside the United States, DTD

25 SEP 07

G. (U). DODI 3020.41, Contractor Personnel Authorized to Accompany the U.S. Armed Forces, 3 OCT 05

H. (U) of the Coalition Provisional Authority, MNF-Iraq, Certain Missions and Personnel in Iraq, DTD 27 JUN 04

I. (U) Private Security Companies Regulations According to the Memorandum 17 for 2004 and the MOI Instructions, Republic of Iraq, Ministry of the Interior (document available on the internet at http://iraqiinterior.com/PSCD/Pscd_registry1.htm)

J. (U) CPA Order Number 86 (with Annex A), May 2004, Traffic Code

(U) TIME ZONE USED THROUGHOUT THIS ORDER: Charlie

1. (U) SITUATION. Change.

1.A. (U) Operations in Iraq require Private Security Companies (PSCs) to fulfill a variety of important security functions for the Department of Defense, Department of State, and other entities operating in the Iraq Theater of Operations (ITO). This includes the protection of fixed facilities, mobile convoys, assets, and personnel.

1.B. (U) Command oversight at all levels remains critical to ensuring PSCs, as well as civilians, armed for personal protection are adhering to issued guidance, policies, and processes. Additionally, it is vital that clear lines of command responsibility exist for proper oversight, management, and accountability of these personnel, and that clear lines of communication exist to insure information flow is timely and accurate.

UNCLASSIFIED

1.C. (U) MNF-I issued the original PSC FRAGO in DEC 07 to strengthen such oversight, management, and accountability for PSCs and other armed contractors operating in the ITO. This new FRAGO updates MNF-I policy and direction regarding armed contractors in the ITO based on lessons learned from operating under MNF-I FRAGO 07-428 (MODS 1-4) for the last 14 months.

1.D. (U) Through the publication of various PSC FRAGOs during the last fourteen months, we have provided clarification of the processes supporting the requiring activity commander’s key role of maintaining active oversight and control of their armed contractors with essential support and assistance from the Contracting Officer Representative (COR) and Contracting Officer (KO). The military commander is responsible for the entire mission assigned to him including any contracted work and those contracted to accomplish that work.

1.E. (U) This FRAGO is a compilation of all the MNF-I PSC FRAGOs into one overarching FRAGO and contains mandatory guidance for PSCs operating under DoD contract, other armed DoD contractors and armed DoD civilians.

1.F.(U) This FRAGO includes coordination and communication procedures between MNF-I and US Embassy Baghdad for movement of PSCs within the ITO, incident reporting and management, as well as investigative procedures in the event that a serious incident occurs. MNF-I will ensure the movements of all USG PSC convoys are properly coordinated with the battlespace owners. (As of 01 JAN 09, MNF-I no longer owns the “battlespace” within the ITO. However, for purposes of this FRAGO, “battlespace” will refer to that geographic location within the MNF-I AOR and the “battlespace owner” shall refer to the MND or other subordinate commander responsible for the relevant AOR.)

2. (U) MISSION. No Change.

3. (U) EXECUTION. Change.

3.A. (U) COMMANDER'S INTENT. No Change.

3.B. (U) CONCEPT OF OPERATIONS. Change.

3.B.1. (U) This FRAGO establishes a common set of rules, regulations and requirements that govern PSCs operating under DoD contract, other armed DoD contractors and armed DoD civilians operating in the ITO.

3.B.2. (U) This FRAGO includes the following annexes, which provide detailed guidance on key subject areas applicable to armed contractors and civilians in the ITO:

3.B.2.A. (U) Annex A - Required Contract Provisions. This annex identifies MNF-I required contract clauses for all contracts under which contractors provide private security services or otherwise carry arms.

3.B.2.B. (U) Annex B - Contractor Arming Authorization Requirements, Procedures, and Responsibilities.

3.B.2.C. (U) Annex C - Rules for the Use of Force (RUF) and Graduated Force Response (GFR) Procedures for Armed DoD Contractors and Civilians.

3.B.2.D. (U) Annex D – Contractor Reporting of Serious Incidents. This annex establishes requirements, procedures, and responsibilities for filing Serious Incident Reports (SIR), including, but not limited to, all contractor weapons discharges.

3.B.2.E. (U) Annex E – Commander / Requiring Activity Review and Investigation of Contractor Serious Incidents.

3.B.2.F. (U) Annex F – Acronyms.

3.B.2.G. (U) Annex G – Contracting Officer Representative’s (COR) Role in Management and Oversight of Private Security Company Services. This annex addresses the COR’s

UNCLASSIFIED

critical role in operational contract support and includes enhanced command involvement and knowledge management procedures for MNF-I elements requiring contract security services. It provides the necessary information to properly designate, train, and support the COR in the government oversight and administration of security contracts.

3.B.2.H. (U) Annex H - Armed Contractor Negligent Discharge Procedures. This Annex provides guidance for standardized procedures upon reported negligent discharge by armed contractors

3.B.2.I. (U) Annex I – Required Communications Procedures in Support of all Private Security Companies Operating within the ITO. This annex describes required communications architecture for all entities involved in PSC movement, oversight and support.

3.B.2.J. (U) Annex J – Rules for the Road for PSCs Operating within the Iraqi Theater of Operations (ITO). This Annex provides updated MNF-I theater-wide guidance for PSC / Armed Contractor operations on Iraqi roads that will enhance safety for everyone on the roads and simplify operations for the many PSCs who provide convoy security and private security details throughout Iraq.

3.C. (U) TASKS TO SUBORDINATE UNITS AND STAFF. Change.

3.C.1. (U) MNF-I STAFF DIRECTORATES.

3.C.1.A. (U) CJ3. (Lead).

3.C.1.A.1. (U) Lead agency for MNF-I support, participation, and overall coordination of the MNF-I effort is the CJ3 Armed Contractor Oversight Division (ACOD) or its successor, the Armed Contractor Oversight Branch (ACOB).

3.C.1.A.2. (U) Develop policy for the management and oversight of Armed Contractors, Armed DoD Civilians, and PSCs as outlined in Annexes A through J of this FRAGO.

3.C.1.A.3. (U) Provide oversight for Armed Contractors / DoD Civilians and PSCs operating in the ITO.

3.C.1.A.4. (U) Conduct coordination between MNF-I, the USM-I, GoI, individual PSCs, and other entities with PSCs operating in the ITO as required.

3.C.1.A.5. (U) Co-chair, with the RSO, a Joint Incident Review Board on a quarterly basis to determine trends, and identify recommendations for improvements in PSC operations.

3.C.1.A.6. (U) Report the findings and minutes of the Joint Incident Review Board to MNF-I Director CJ3.

3.C.1.A.7. (U) Provide a single point of contact for RFIs for releasable information concerning Armed Contractors, Armed DoD Civilians, and PSCs.

3.C.1.A.8. (U) Ensure each Requiring Activity commander reviews its PSCs’ SIRs and, as appropriate in accordance with Annex E, either endorses the report, completes his own investigation, or refers the matter for criminal investigation.

Ensure the Requiring Activity commander initiates corrective or disciplinary action, as appropriate.

3.C.1.A.9. (U) Maintain copies of the following documents for all serious incidents for use in developing lessons learned and in providing reports to higher headquarters: (a) the PSC’s final incident report, (b) the Requiring Activity’s

UNCLASSIFIED

endorsement, report of investigation or referral for criminal investigation, and (c) as applicable, the criminal investigation report.

3.C.1.A.10. (U) As required, ACOD, through the CJ3 Director, may direct an independent 15-6 investigation.

3.C.1.A.11. (U) Develop and maintain clear and constructive lines of communication with the MoI Directorate of Registration and Assessment of Private Security Companies (DRAPSC). Notify MoI DRAPSC of all serious incidents involving Iraqi citizens.

3.C.2. (U) ALL MSCs.

3.C.2.A. (U) Adhere to and execute policy for the management and oversight of Armed Contractors, Armed DoD Civilians, and PSCs as outlined in Annexes A through J of this

FRAGO.

3.C.2.B. (U) Ensure Requiring Activity commanders maintain effective command and control over their armed contractors, including PSCs, in accordance with Annexes A through J.

3.C.2.C. (U) Ensure Requiring Activity commanders appoint Contracting Officer Representatives (CORs) who are properly trained, qualified, and assigned COR duties as a primary task.

3.C.2.D. (U) Ensure Requiring Activity commanders provide copies of all serious incident endorsements or investigation final reports, as well as any resulting corrective or disciplinary actions initiated by the commander, to the MNF-I CJ3 Armed Contractor Oversight Division (ACOD) and to the MNC-I SJA in accordance with Annex E.

3.C.3. (U) MNC-I.

3.C.3.A. (U) Maintain Contractor Operations Cells (CONOCs) at appropriate levels.

Ensure the CONOC provides battlefield coordination, control of PSC movement throughout the ITO, and expedient reporting of incidents involving PSCs.

3.C.3.B. (U) Maintain a liaison officer in the RSO TOC for coordination concerning U.S.

Embassy movements, QRF, MEDEVAC, and / or Intelligence, Surveillance, and Reconnaissance (ISR) support and for convoy closure reports.

3.C.3.C. (U) Receive one LNO from the RSO U.S. Embassy to coordinate, plan and monitor all U.S. Embassy Baghdad PSD movements outside of CF operating bases.

3.C.3.D. (U) Limit distribution of Chief of Mission (COM) personnel movements, or other movements as designated by U.S. Embassy Baghdad, to only U.S. personnel with a need to know, and coordinate with RSO to ensure such information is compartmentalized.

3.C.3.E. (U) Review all DoS PSD movements and provide recommendations to the RSO TOC or CONOC, as appropriate, as to whether the movement should be altered or canceled based on the threat levels along selected routes or disposition of Coalition Forces. Direct cancellation or alteration of such movements, as necessary, based on the threat levels or disposition of Coalition Forces along selected routes.

3.C.3.F. (U) Provide QRF, MEDEVAC and vehicle recovery support to PSCs as available.

3.C.3.F.1. (U) When an MNC-I QRF is activated, BPT assume command of the scene upon arrival with a positive radio or visual handoff from the PSD. The immediate purpose of the QRF is normally to support the safe extraction of the

USG PSD.

UNCLASSIFIED

3.C.3.F.2. (U) BPT secures the scene where a serious incident occurs, to the extent that the security situation permits, IOT identify injured, fatalities, property damage and to preserve the ability to collect evidence.

3.C.3.G. (U) Assist U.S. Embassy Baghdad investigators with revisiting the scene of a serious incident in order for them to conduct an investigation and interview witnesses as required.

3.C.3.H. (U) Assist U.S. Embassy Baghdad and other entities with their distribution of timely and appropriate condolence payments as required.

3.C.3.I. (U) Prepare and update, as needed, a Law of Armed Conflict (LOAC) training package for use in required training of Armed Contractors, Armed DoD Civilians and PSCs.

3.C.3.J. (U) Prepare and update, as needed, a RUF training package for use in required training of Armed Contractors, Armed DoD Civilians and private security companies. This training package should include, at a minimum, the current rules for the use of force applicable to Armed Contractors, Armed DoD Civilians and PSCs, and current Graduated Force Response procedures employed throughout the ITO.

3.C.3.K. (U) Manage the Civilian Arming Program in accordance with Annex B.

3.C.4. (U) JCC-I/A.

3.C.4.A. (U) Ensure all DoD contracts with civilian arming requirements and performance in Iraq are cleared through JCC-I/A and managed by JCC-I/A, or its designated Administrative Contracting Officer (ACO). Ensure all such contracts contain the contract clauses required by Annex A of this FRAGO.

3.C.4.B. (U) Maintain (or ensure DCMA maintains when delegated administration) a current contact list of KOs, CORs and RAs for all DoD contracts under which PSCs or other armed contractors operate in the ITO, whether the PSC operates at the prime or subcontract level.

On the 5th of each month provide this list to MNF-I ACOD, identified CORs, MNC-I C3 and

MNC-I C8.

3.C.4.C. (U) Ensure (or ensure DCMA maintains when delegated administration) adequately trained Contracting Officer Representatives (CORs) are appointed to provide effective oversight of PSC contracts and other contracts under which contractors are armed in Iraq. Provide an updated record of COR training to MNF-I ACOD on the 5th of the month.

3.C.4.D. (U) Provide MNF-I ACOD with contract data, Requiring Activity, and vendor points of contact on request.

3.C.4.E. (U) Provide requested information in support of MNF-I ACOD oversight of PSC incident reporting, review and investigation.

3.C.4.F. (U) Record PSC and armed contractor performance data in order to provide historical performance data to current and future RAs.

3.C.4.G. (U) JCC-IA shall ensure all PSC contracts require all data, information, technical data, and reports produced during the contract that are delivered by any armed contractor are delivered with at least Government Purpose Rights. JCC-IA must also ensure that all such data, information, technical data, and reports produced during the contract may be freely shared with multiple support contractors. It is important to note that this FRAGO calls for both technical data controlled by the Defense Federal Acquisition Regulation Supplement (DFARS) as well as data controlled by the Federal Acquisition Regulation (FAR) therefore JCC-IA must ensure adequate contracting language is used for both categories given the DFARS does not deal with non-technical data.

3.D. (U) COORDINATING INSTRUCTIONS. Change.

3.D.1. (U) US EMBASSY, BAGHDAD. Request adherence and implementation of policy for the management and oversight of Armed Contractors, Armed DoD Civilians and PSCs IAW Department of Defense, Department of State Memorandum Of Agreement, Dated 05 December 2007.

3.D.2. (U) PRIVATE SECURITY COMPANIES AND CONTRACTORS OR SUBCONTRACTORS

(WITH ARMED EMPLOYEES).

3.D.2.A. (U) Adhere to the policies, procedures, and requirements contained in Annexes A

– J and ensure adherence by all subcontracted companies.

3.D.2.B. (U) PSCs shall comply with Iraq law and regulations (See Ref. K and Annex J), including flowing with traffic and not disturbing local driving patterns. Follow speed limits, unless mission and intel requires variations. Drive with the intent of sharing the road rather than owning the road.

3.D.2.C. (U) Each Private Security Company must provide to the MNF-I ACOD a single point of contact for all of the parent company’s USG contracts in theater.

3.D.3. (U) This FRAGO contains enduring guidance and will be included in future drafts of the

OPORD.

3.D.4. (U) This FRAGO supersedes:

• MNF-I FRAGO 05-108, Operationalize the RROC, 16 May 05

• MNF-I FRAGO 05-231 with MOD 1 [REPORTING AND INVESTIGATING INCIDENTS

INVOLVING CONTRACTORS FIRING WEAPONS], 18 Jan 06

• MNF-I FRAGO 06-310 [CIVILIAN ARMING], 13 Jun 06

• MNF-I FRAGO 07-428 [ARMED CONTRACTORS/DOD CIVILIANS AND PSCs], MODS 1-

• MNF-I FRAGO 08-411 [DOD PSCs AND ARMED CONTRACTORS – RULES FOR THE

ROAD]

• MNF-I FRAGO 08-448 [DOD PSCs/ARMED CONTRACTORS – COMMUNICATION IN

THE BATTLESPACE]

• MNF-I FRAGO 08-575 [DOD PSCS AND ARMED CONTRACTORS – SERIOUS

REPORTING INCIDENTS IN THE MNF-I BATTLESPACE]

• MNF-I FRAGO 08-605 [ DOD PSCs/ARMED CONTRACTORS – REQUIRED CONTRACT

PROVISIONS]

• MNF-I FRAGO 08-641 [DOD PSCs AND ARMED CONTRACTORS RULES FOR THE

USE OF FORCE (RUF) AND GRADUATED FORCE RESPONSE (GFR) PROCEDURES]

3.D.5. (U) MNF-I CJ3 ACOD (Armed Contractor Oversight Division). POC is Col Mark Schulte.

Unclassified: MNF-I.CJ3.ACOD@iraq.centcom.mil ; DSN: 239-9204. Commercial: 1-703-544- 1633.

4. (U) SERVICE SUPPORT. No Change.

5. (U) COMMAND AND SIGNAL. No Change.

ACKNOWLEDGE:

ODIERNO

GEN

UNCLASSIFIED

OFFICIAL:

MG SWAN

DIRECTOR, CJ3

ATTACHMENTS:

ANNEX A: (U) Required Contract Provisions ANNEX B: (U) Contractor Arming Authorization Requirements, Procedures and Responsibilities ANNEX C: (U) Rules for the Use of Force (RUF) and Graduated Force Response (GFR) Procedures for Armed DoD Contractors and Civilians ANNEX D: (U) Contractor Reporting of Serious Incidents ANNEX E: (U) Commander / Requiring Activity Review and Investigation of Contractor Serious Incidents ANNEX F: (U) Acronyms ANNEX G: (U) Contracting Officer Representative’s (COR) Role in Management and Oversight of Private Security Company Services ANNEX H: (U) Armed Contractor/PSC Negligent Discharge Policy and Procedures ANNEX I: (U) Required Communications Procedures in Support of all Private Security Companies Operating within Iraq.

ANNEX J: (U) Rules for the Road for PSCs Operating within the Iraqi Theater of Operations (ITO).

ANNEX A – Required Contract Provisions

1. (U) Purpose. The purpose of this annex is to provide guidance and identify requirements that must be incorporated in all contracts between any DoD contracting agency and civilian contractor companies that will arm employees, to include Private Security Companies.

2. (U) References.

2.A. (U) DODI 3020.41, Contractor Personnel Authorized to Accompany the US Armed Forces

2.B. (U) DFARS 252.225-7040, Contractor Personnel Authorized to Accompany U.S.

Armed Forces Deployed Outside the United States (Mar 2008)

2.C. (U) National Defense Authorization Act (NDAA) for FY 2008, Pub. L. No. 110-181, Title VIII, Subtitle F (Sections 861-864), Contracts in Iraq and Afghanistan

2.D. (U) CPA Memorandum Number 17, Registration Requirements for Private Security Companies (PSC), 26 Jun 04 (available on the internet at http://iraqiinterior.com/PSCD/Pscd_registry1.htm), applicable to U.S. Government contracted PSCs under authority of CPA Order Number 17 (Revised), Status of the Coalition Provisional Authority, MNF-Iraq, Certain Missions and Personnel in Iraq, DTD 27 Jun 04

2.E. (U) MNF-I FRAGO 06-391 [PRIVATE SECURITY COMPANY WEAPONS

STORAGE AND REGISTRATION IN THE INTERNATIONAL ZONE] DTD 31 JAN 06

3. (U) Arming of Contractors: Iraq. This Annex shall provide guidance to JCC-I/A, the Requiring Activity and the PSC/Armed Contractor. JCC-I/A shall ensure that the following language in paragraphs 3.A. through 3.L.2 of this FRAGO shall be incorporated in all solicitations and contracts where arming of contracted employees is contemplated in Iraq.

3.A. (U) The Contractor and its subcontractors at all tiers that require arming under DoD contracts agree to comply with all existing and future laws, regulations, orders, directives and agreements (to include any SOFA or SOFA-like document) that may be applicable to the use of private security personnel and other armed contractors in Iraq, including US CENTCOM, Multi-National Force Iraq (MNF-I) and Multi-National Corps Iraq (MNC-I) orders, instructions, and directives. This includes this FRAGO, which provides the MNF-I Commander’s overarching directives for armed contractors operating in the Iraqi Theater of Operations. This also includes full compliance with GOI implementation of the licensing requirements of CPA Memorandum 17.

3.A.1. (U) The Contractor shall ensure that all subcontractors and their employees at any tier, armed under the provisions of this contract, comply with the requirements of this clause.

3.A.2. (U) If the use of subcontractors is contemplated for the performance of the contract, the Contractor shall submit its subcontractor plan to JCC-I/A for approval.

3.B. (U) All contractors in the MNF-I theater of operations will comply with and ensure that their personnel supporting MNF-I Forces, including personnel at any tier of subcontracting relationships, are familiar with and comply with all applicable orders, directives, and instructions issued by the MNF-I Commander relating to force protection and safety.

3.B.1. (U) As required by Annex D of this FRAGO, the Contractor shall provide an initial report of all weapons firing incidents or any other serious incidents they or their subcontractors are involved in, to the MNC-I Contractor Operations Cell (CONOC) as soon as practical, but not later than 4 hours after the incident. The Contractor and its subcontractors at all tiers shall submit a final written report to the CONOC, the Contracting Officer (KO) within 96 hours of the incident. Interim reports shall be submitted between the initial and final report, when necessary to the CONOC.

3.B.2. (U) The Contractor, including its subcontractors at all tiers, and contracted employees at all tiers involved in a serious incident with local nationals will also provide first aid and request MEDEVAC (if required) for injured persons, and remain available for Coalition response forces, as appropriate based upon the threat situation. Serious incidents within the meaning of this paragraph includes, but is not limited to, any incident which includes death or injuries which might result in significant physical impairment to include loss of use of a limb, extremities (e.g., fingers), physical mobility, or eyesight.

3.B.3. (U) Contractor employees shall carry their Letter of Arming Authorization (LAAs) at all times that they are armed and may be detained by US or Coalition Forces if they lack proper identification. Prolonged detention may be alleviated if contractor employees carry on their person the Contractor’s name, the contract number, a POC in the Contractor’s management, and the phone number of the MNC-I C3 Contractor Operations Cell (CONOC).

3.B.4. (U) MNF-I forces can stop, search, and detain contractor employees, and seize their weapons if MNF-I forces observe a Graduated Force Response violation IAW Annex C of this FRAGO, weapons discharge incident, or have a reasonable suspicion of criminal behavior, possession of unauthorized weapons, or conduct that threatens security.

3.B.5. (U) MNF-I forces and MNF-I Contractors will report all observed DoD Armed Contractor Employees/DoD Civilians and PSCs use of force incidents through their chain of command to the CONOC.

3.C. (U) Required Contractor Documentation: The Contractor and its subcontractors at all tiers that require arming approval will provide the following to the KO and/or designated Contracting Officer Representative (COR) NLT one day upon request and for new personnel within 15 days after hiring or transfer onto the contract:

3.C.1. (U) Documentation of Training: The Contractor shall provide training for each employee who will be armed under the contract for the following subject areas and document that training on:

3.C.1.A. (U) Weapons Qualification/Familiarization: All employees must meet the qualification requirements established by any DoD or other U.S. government agency for each weapon they are authorized to possess.

3.C.1.B. (U) Law of Armed Conflict (LOAC) training.

3.C.1.C. (U) Rules for the Use of Force (RUF), as defined by current US CENTCOM Policy, (to date US CENTCOM policy dated 06 NOV 06 and CJCSI 3121.01B, Standing Rules of Engagement/Standing Rules for the Use of Force, July 06), as well as MNF-I and MNC-I orders, instructions, and directives addressing RUF and Graduated Force Response (GFR) procedures, including Annex C to this

FRAGO.

3.C.1.D. (U) Acknowledgement of the distinction between the above-prescribed RUF and the Rules of Engagement (ROE), which are applicable only to military forces.

3.C.2. (U) Completed DD Form 2760 (or equivalent documentation) for each armed employee, indicating that the employee is not otherwise prohibited under U.S. law from possessing the required weapon or ammunition.

3.C.3. (U) A copy of a business license from the Iraqi Ministry of Trade (MoT) or documented proof from MoT that the licensing process has been initiated.

3.C.4. (U) A copy of a license to operate as a PSC from the Iraqi Ministry of Interior (MoI) or documented proof from MoI that the licensing process has been initiated.

3.C.5. (U) A communications plan that, at a minimum, meets the criteria set forth in Annex I to this FRAGO.

3.C.6. (U) The Contractor and its subcontractor, as applicable, are responsible for accomplishing background checks on all contractor and subcontractor employees who will be armed under the contract. The Contractor and the subcontractor shall, at a minimum, perform the following (which will be specifically addressed in its plan and which will be documented and furnished to the KO or the designated COR upon completion):

3.C.6.1. (U) Conduct background checks. The sources available for use depend on the nation of origin. To the extent possible, the following sources should be used for conducting a thorough background check: FBI, Country of Origin Criminal Records, Country of Origin US Embassy Information Request, CIA records, and/or any other equivalent records systems.

3.C.6.2. (U) Verify with MNC-I Provost Marshal that no employee has been barred by any commander within Iraq.

3.C.6.3. (U) Certify, after completing all checks, that all persons armed under this contract would not be prohibited from possessing a weapon or ammunition if they were present in the United States under Federal law, including the Gun Control Act of 1964 and implementing regulations.

3.D. (U) Required Contractor Acknowledgements: The Contractor and its subcontractors at all tiers that require arming approval will provide written acknowledgement of the following to the KO or designated COR:

3.D.1. (U) Penalties for Non-Compliance: Failure of Contractor or subcontractor employee(s) to comply with the laws, regulations, orders, and rules governing arming authorization, RUF/GFR procedures or incident reporting requirements may result in the revocation of weapons authorization for specific employee(s) and, where appropriate, the total revocation of weapons authorization for the Contractor (or subcontractor) and sanctions under the contract, including termination.

3.D.1.A. (U) The duration of any total revocation for the Contractor (or subcontractor) (e.g. for a single training/safety day or longer) will be determined by the KO in consultation with MNF-I CJ3 ACOD and appropriate commander based on assessment of the Contractor’s (or subcontractor’s) plan and ability to remedy the issues that resulted in the revocation.

3.D.1.B. (U) Revocation of arming authorization may result in a reduction of payment to the Contractor for the affected period as determined by the Administrative Contracting Officer (ACO) in consultation with ACOD.

3.D.2. (U) Criminal and Civil Liability: Arming of Contractor or subcontractor employees under this contract may subject the Contractor, its subcontractors, and persons employed by the same, to U.S. and Host Nation prosecution and civil liability. “Host Nation” refers to the nation or nations where services under this contract are performed, i.e. Iraq.

3.D.3. (U) Violation of any relevant laws, regulations, orders, directives and instructions (including those issued by USCENTCOM, MNF-I, MNC-I and subordinate commands) may subject an offender to administrative or disciplinary action under the UCMJ, contract terms or criminal prosecution under US or Host Nation law. Employees of DoD contractors and subcontractors must adhere to General Order #1 (DTD 14 FEB 08 or its successor).

3.D.4. (U) Duty to Keep Training Current: Failure to successfully retrain an employee who is armed under this contract within twelve (12) months of the last weapons training date will result in an automatic suspension of the employee’s authorization to possess and carry the weapon. Failure to successfully retrain an armed employee on RUF and GFR procedures within three (3) months of the last RUF/GFR training date will result in an automatic suspension of the employee’s authorization to possess and carry the weapon.

All unauthorized employees will immediately surrender their weapon to the contractor and will remain unarmed until such time as they are retrained and the KO determines that the retraining has been completed.

3.E. (U) Authorized Weapon & Ammunition Types: Unless DCDRUSCENTCOM (or a designee) provides otherwise, all arming requests and authorizations for Contractor or subcontractor employees under this contract shall be limited to U.S. Government-approved weapons and ammunition. This restriction applies to all weapons in the possession of contractor employees, even if such weapons are required for personal protection. The following weapons and ammunition are currently authorized by the U.S. Government for use in Iraq:

3.E.1. (U) The M9, M4, M16, or equivalent (e.g. .45 CAL, AK-47) are the standard weapons used for personal security and protection. Other weapons systems may be requested by the Contractor and approved for inclusion in the contract by the KO. Actual arming authorization to possess requested weapons is processed on an individual, case by case basis when applied for by the sponsoring command (i.e. Requiring Activity) IAW the established MNC-I Civilian Arming Program (CAP).

3.E.1.A. (U) The MP5 class of weapon is not a standard weapon and requires justification and specific authorization.

3.E.1.B. (U) Weapons silencers are not authorized at any time.

3.E.1.C. (U) Incendiary devices require specific CAP authorization and shall only be used to destroy sensitive equipment in order to prevent such equipment from being compromised.

3.E.2. (U) The M9 or equivalent sidearm will be the standard personal protection weapon unless other weapons are specifically requested and approved.

3.E.3. (U) US Government Ball ammunition is the standard approved ammunition.

3.F. (U) Requirements for Individual Weapons Possession: All employees of the Contractor and its subcontractors at all tiers who are armed under this contract shall:

3.F.1. (U) Possess only those U.S. Government-approved weapons and ammunition for which they are qualified and authorized under the requirements of Annex B of this FRAGO.

3.F.2. (U) Carry weapons only when on duty or at a specific post, unless the threat situation requires continuous arming for personal protection. This determination shall be made by the local FOB or installation commander.

3.F.3. (U) Not conceal any weapons, unless specifically authorized in the LAA.

3.F.4. (U) Have proof of authorization to be armed with the individual at all times. Proof of authorization includes both the Memorandum of Authorization provided by MNC-I and a valid weapons license issued by the Ministry of Interior. Employees not possessing such proof will be deemed unauthorized and must surrender their weapon to their employer or any U.S. military personnel.

3.F.4.A. (U) Until such time as the MOI is fully capable of issuing weapons licenses to properly registered private security companies, those PSC’s not already in possession of an MOI weapons license will only be required to be in possession of the memorandum of authorization to carry weapons.

3.F.4.B. (U) Once the MOI is fully capable of issuing weapons licenses to properly registered private security companies, PSC’s will be required to possess both documents to carry weapons.

3.G. (U) Weapons/Equipment Restrictions, Responsibilities and Inspection are as follows:

3.G.1. (U) Unless otherwise authorized under the contract the Contractor or subcontractor shall be required to provide all weapons and ammunition to those employees that will be armed under the contract. The Contractor and its subcontractors at all tiers will also provide ballistic body armor, ballistic helmets, and the Nuclear, Biological, and Chemical (NBC) protective masks to those employees that require such equipment in the performance of their duties.

3.G.2. (U) Contractor (including subcontractor) arms rooms/storage areas are subject to inspection by the military unit or other U.S. Government entity responsible for security of the area in which the Contractor’s or subcontractor’s facility is located. Contractor and subcontractor facilities within the IZ are currently subject to inspections by JASG-C personnel in accordance with MNF-I FRAGO 06-391, and the Contractor and subcontractor shall provide JASG-C, upon request, copies of all contracts, weapons authorizations, arming authorizations, and training records.

3.H. (U) Rules for the Use of Force (RUF) and Graduated Force Response (GFR) Procedures are as follows:

3.H.1. (U) The Contractor and its subcontractors, including personnel at any tier of subcontracting relationships, shall comply with the CENTCOM RUF and all current and future MNF-I and MNC-I orders, instructions, and directives addressing RUF and GFR procedures and training, including Annex C of this

FRAGO.

3.H.2. (U) In addition to meeting the RUF and GFR training requirements of Annex C of this FRAGO, the Contractor and its subcontractors at all tiers will monitor and report all activities of its armed employees that may violate the

RUF. Prompt reporting of incidents is required in accordance with MNF-I

FRAGO 07-428.

3.H.3. (U) Violations of the RUF include, but are not limited to:

3.H.3.A. (U) Taking a direct part in hostilities or combat actions, other than to exercise self-defense.

3.H.3.B. (U) Failing to cooperate with Coalition and Host Nation forces.

3.H.3.C. (U) Using deadly force (including any warning or disabling shot) except as expressly permitted in Annex C of this FRAGO.

3.H.3.D. (U) Failing to properly use Graduated Force Response procedures.

3.H.3.E. (U) Failing to treat the local civilians with dignity and respect.

3.H.3.F. (U) Detaining local civilians, other than in self-defense or as reflected in the contract terms.

3.H.4. (U) Removing Contractor Personnel from Armed Security Duties Pending Completion of Investigation.

3.H.4.A. (U) The discharge of any weapon, which includes the firing of weapons under the Rules for the Use of Force, (RUF), during Graduated Force Response (GRF) procedures, in response to attacks, and negligent discharges, and other serious incidents require that the Contractor or subcontractor submit an initial Serious Incident Report. Specific requirements and procedures are provided in Annex D of this FRAGO.

3.H.4.B. (U) MNF-I CJ3 ACOD, in consultation with the KO, may decide upon review of the initial Serious Incident Report that removing the Contractor or subcontractor employee(s) involved from armed security duties, pending completion of an investigation or review, is in the best interest of the Government. If required, the KO will direct the Contractor in writing (and if applicable, the Contractor will direct the subcontractor in writing) to remove the employee(s) involved from armed security duties pending completion of the investigation or review. Any employee removed from armed security duties under this clause may, at the discretion of the Contractor or subcontractor, continue to perform administrative or other unarmed support duties. In accordance with Annexes E and H, the KO will advise the Contractor in writing (and if applicable, the Contractor will direct the subcontractor in writing), when employee(s) previously removed from armed security duties may resume such duties.

Specifically, the employee(s) may resume normal duties after 30 days unless the KO either: lifts the removal earlier, extends the removal, or directs other action including discharge of the employee.

Inquiries regarding investigation interim status shall be requested from the Contracting Officer Representative.

3.H.4.C. (U) The Contractor and its subcontractors at all tiers should plan for uninterrupted operations during contingencies as described in this paragraph 3.H; however, it is understood that this precautionary action affecting the Contractor's or subcontractor’s use of its employee(s) may inhibit the Contractor's or subcontractor’s ability to perform the contracted services and may cause the

Contractor or subcontractor to incur additional costs. If the MNF-I directed investigation or review concludes that the employee's actions were an appropriate response under the RUF and GFR procedures, the Contractor may pursue contractual remedies available under the Contract Disputes Act including a request for equitable adjustment in price.

3.I. (U) Government Oversight includes:

3.I.1. (U) Retention and Review of Records: The Contractor and all subcontractors at all tiers shall maintain records on weapons training, LOAC and RUF/GFR training, and the screening of employees for at least six (6) months following the expiration (or termination) of the contract. The Contractor and its subcontractors at all tiers will make these records available to the KO or designated representative, at no additional cost to the government, within 72 hours of a request.

3.I.2. (U) Quality Assurance Visits: Upon request by the KO or the designated COR, the Contractor shall allow the KO, the COR, and/or a government quality assurance representative to: (1) enter any contractor facility in the ITO for the purpose of reviewing and evaluating the Contractor’s performance, and (2) accompany any of the Contractor’s private security detail(s) (PSDs) and/or convoy escort team(s) (CETs) on contract mission(s) for the purpose of reviewing and evaluating the Contractor’s performance. The government will give appropriate consideration to mission requirements in arranging such quality assurance visits.

3.J. (U) Contractor Vehicles: Vehicles used by Contractor and subcontractor personnel in the course of their security duties shall not be painted or marked to resemble US/Coalition or host nation military and police force vehicles.

3.K. (U) Quarterly Reporting: The Contractor will report quarterly (NLT 1 January, 1 April, 1 July and 1 October for each quarter of the calendar year) to the KO responsible for this contract, JCC-I/A, the MNF-I CJ3, Armed Contractor Oversight Division (ACOD), and any other organization designated by the KO, the following information under this contract:

3.K.1. (U) The total number of contracted employees supporting the contract (including employees at any tier of subcontracting), delineated by company, and within each company, by number of US, Third Country National (TCN) and Local National (LN) personnel.

3.K.2. (U) The total number of armed contracted employees supporting the contract(including employees at any tier of subcontracting), delineated by company, and within each company, by number of US, Third Country National (TCN) and Local National (LN) personnel.

3.K.3. (U) The names and contact information of its subcontractors at all tiers.

3.K.4. (U) A weapons inventory by type and serial number.

3.L. (U) The RA shall not request, nor shall it allow, the PSC/Armed Contractor under contract with the RA command to perform any acts outside the scope of work detailed in the governing contract. Such prohibited acts may include, but are not limited to:

3.L.1. (U) The detention of Local Nationals (LN) or Third Country Nationals (TCN). While it may be necessary in the performance of their official duty under the governing contract to detain and/or subdue person(s) such as LNs or TCNs deemed to be an immediate threat to security, such detention shall be temporary in nature and only until such time as the proper Coalition Forces (CF) and/or Iraqi Security Forces (ISF) can be notified and arrive to take official custody. At no time shall CF or ISF ask a PSC/Armed Contractor personnel to detain LN or TCN persons.

3.L.2. (U) Use of weapons for other than self-defense or permitted uses IAW applicable orders, directives, and instructions issued by the MNF-I Commander or delegated authority relating to force protection and safety is strictly prohibited. (e.g. shooting at wild animals, unauthorized target practice, unauthorized warning shots, etc.)

4.. (U) POCs.

4.A. (U) MNF-I CJ3 ACOD (Armed Contractor Oversight Division). POC is Col Mark Schulte. Unclassified: MNF-I.CJ3.ACOD@iraq.centcom.mil ; DSN: 239-9204.

Commercial: 1-703-544-1633.

4.B (U) JCC-I/A J2/J5/J7, PCO Email: JCCI.J2J5J7@pco-iraq.net, current POC is LT Colin Hartigan, JCC-I/A, PCO Email: colin.hartigan@pco-iraq.net, DSN, 318-239- 88264.

4.C (U) DCMA (Defense Contract Management Agency). POC is Maj Larry Woods, harold.woods@pco-iraq.net, COMM: 703-428-1005, Option 1, Ext 70184#, DSN 312- 328-1005, Option 1, Ext 70184#.

Annex B - Contractor Arming Authorization Requirements, Procedures, and Responsibilities

1. (U) Purpose. This annex provides guidance for the arming of DoD Contractors/ civilians and PSCs in Iraq. The procedures established in Annex B require that the individuals and PSCs approved for arming are properly certified with their weapons and properly trained in the permissible use of their weapons. Annex B also outlines stringent documentation standards for arming requests that must be met prior to authorization.

2.A. (U) USCENTCOM OPORD 05-01, Annex B, Appendix 8 to Annex C, Arming and Use of Force Policy, 10 Aug 05.

2.B. (U) USCENTCOM Message DTG 070902ZNOV06, Subject: Modification to USCENTCOM Civilian and Contractor Arming Policy and Delegation of Authority for Iraq and Afghanistan.

2.C. (U) USCENTCOM SJA Information Paper, Required Information to Process Requests to Arm DoD Civilians and Contractors in Iraq and Afghanistan, 23 Dec 05.

2.D. (U) USCENTCOM General Order 1B, Prohibited Activities for U.S. DoD Personnel Assigned to USCENTCOM or Present Within the USCENTCOM AOR, 13 Mar 06.

2.E. (U) MNF-I EXORD FOR US EMBASSY-BAGHDAD, MULTINATIONAL FORCE-IRAQ,

JOINT CAMPAIGN PLAN (25 DEC 08) DTD 24 JAN 09

2.F. (U) MNF-I FRAGO 06-310, Civilian Arming, DTD 13 Jun 06

2.G. (U) MNF-I FRAGO 06-391, Private Security Company Weapon Storage and Registration in the International Zone, DTD 31 Jul 06

2.H. (U) MNF-I CG Memorandum, Subject: Delegation of Authority to Approve Arming Requests for DoD Civilian / Contractor Personnel and the Acquisition of Private Security Companies (PSC), 18 Feb 06.

2.I. (U) MNC-I General Order 1, Prohibited Activities for U.S. DoD Personnel Assigned to MNC-I or Present in the MNC-I AOR, 14 Feb 08.

2.J. (U) MNC-I Policy Letter 12, Iraqi-Wide Installation Bar, 11 Feb 06.

2.K. (U) MNC-I CG Memorandum, Delegation of Authority to Approve Individual and Personnel Security Company Arming Requests, 27 Feb 06.

2.L. (U) MNC-I FRAGO 158 to MNC-I OPORD 07-01 (Task 7 – Civilian Arming), DTD 25 Jul

2.M. (U) CPA Memorandum Number 17, Registration Requirements for Private Security Companies (PSC), 26 JUN 04 (available on the internet at http://iraqiinterior.com/pscd/pscd_registry1.htm), applicable to U.S. Government contracted PSCs under authority of CPA Order Number 17 (revised), status of the Coalition Provisional Authority, MNF-Iraq, Certain Missions and Personnel in Iraq, DTD 27 Jun 04

2.N. (U) Annex G (Access Control Policy) to MNF-I Memorandum 11-1 (Command Policies and Procedures)

3. (U) Requirements.

3.A. (U) DoD Contractors and DoD Civilian personnel in Iraq may request personal protection and other arming authorizations only as provided herein. All requests shall be voluntary and contain the information specified in paragraphs 4.B.1.A. through 4.B.1.F. of this annex as well as the endorsement of and coordination with the supported DoD command. The requirement to comply with the procedures outlined in this paragraph shall be included in all existing and future DoD contracts to supply goods and services in Iraq.

3.B. (U) Arming DoD Civilians, DoD Contractors, and PSCs operating under DoD contract in Iraq.

3.B.1. (U) The decision to arm DoD Civilians and DoD Contractors for personal protection, and PSCs operating under DoD contract for security services, shall be decided on a case-by-case basis in accordance with this policy. All requests shall be submitted to the authorized U.S. commander. Authority to approve or deny requests to arm civilians on the battlefield, designate mission essential property for protection, or allow the use of non-DoD weapons is delegated to the CDR MNF-I, per reference 2.H.

Approving authority has been further delegated to MNC-I Chief of Staff per reference 2.K.

3.B.2. (U) Notwithstanding the delegation of authority within paragraph 3.B.1., the CDR MNF-I is the sole authority to approve the use of contract security to protect U.S. and Coalition military personnel in Iraq. This authority cannot be further delegated.

3.B.3. (U) DoD Civilians and DoD Contractors armed for personal protection, and PSCs under DoD contract are non-combatants. Actions inconsistent with their status, such as offensive participation in hostilities against enemy forces, could jeopardize their legal protections, risk their being directly targeted, and could result in criminal prosecution.

3.B.4. (U) PSCs under DoD contract, authorized to protect Iraqi military or civilian facilities, equipment or personnel, if in accordance with host-nation law, are not limited in regards to which Iraqi personnel, facilities or equipment they are authorized to protect, even if the U.S. Government provides the funding or contracting.

3.B.5. (U) The transient presence of U.S. military personnel or equipment within non military convoys will not otherwise restrict authorized use of DoD contracted PSCs in the performance of their mission within the scope of their statement of work. All other provisions of this policy remain applicable when the PSC is under DoD contract authority.

3.C. (U) Arming requests must be submitted by the first line military unit supported by the DoD Civilian, DoD Contractor, or PSC.

3.C.1. (U) All requests from MNC-I subordinate units must be forwarded through the appropriate chain of command to the Chief of Staff, MNC-I IAW reference 2.L. Each Commander in the chain will endorse the request and make a recommendation regarding

3.C.2. (U) Requests from units subordinate to MNF-I (i.e. MNSTC-I, TF 134, LAOTF, GRD, JCC-I/A, JASG-C) will be endorsed by the MNF-I Major Subordinate Command (MSC) Commander and forwarded to the MNC-I Civilian Arming Program (CAP).

3.C.3. (U) Blanket requests for groups, organizations or job specialties will not be approved.

3.C.4. (U) Immediately upon receipt of a contractor arming request, MNC-I C3 CAP will forward the request via email to JCC-I/A (JCCI.J2J5J7@pco-iraq.net) for review to verify the contract under which arming is requested complies with all applicable requirements.

At a minimum, the package forwarded to JCC-I/A will include the sponsoring DoD unit’s or agency’s letter, a list of the contractor/subcontractor employees for whom arming is requested, and copies of the prime contract and, as applicable, sub-contracts.

3.C.4.A. (U) Upon receipt of the contractor arming request from MNC-I C3 CAP, JCC-I/A will:

3.C.4.A.1. (U) Verify that the contract is administered by either JCC-I/A or DCMA, as required for all contracts under which PSCs operate in Iraq.

For contracts not yet administered by JCC-I/A or DCMA, actions required prior to arming authorization may include; JCC-I/A directing that administration of the contract be passed to DCMA, or JCC-I/A delegation of a JCC-I/A contract newly identified as including a PSC function to DCMA for administration.

3.C.4.A.2. (U) Verify that the contractor's employees listed in the contractor arming request are correctly entered in the Synchronized Pre-deployments Tracking (SPOT) System, which is the DoD enterprise source for contingency contractor information management and accountability.

3.C.4.B. (U) Within 72 hours of receipt of a contractor arming request package, JCC-I/A will provide an approval/disapproval recommendation to the MNC-I C3 CAP. A disapproval recommendation will itemize the specific deficiencies that require corrective action by the sponsoring DoD unit or agency and/or the contractor prior to arming authorization approval.

3.C.4.C. (U) Contractor arming requests for which JCC-I/A issues a disapproval recommendation will not be approved until the JCC-I/A identified deficiencies listed in the disapproval recommendation have been rectified.

3.C.5. (U) MNC-I may accept the MNF-I Theater Access Badge in lieu of the requirements outlined in paragraph 3.C.6. The following process exists to meet the civilian arming requirements. If access to US/Coalition Bases is required, the contractor must follow the current procedures outlined in Annex G (Access Control Policy) to MNF-I Memorandum 11-1 (Command Policies and Procedures).

3.C.6. (U) All local nationals (LN) and third country nationals (TCN) from countries that sponsor terrorism will complete CJ2 name checks including biometric screening (name check against a biometric database) prior to an interim arming approval being granted.

Biometric Automated Toolset (BATS) enrollment must be completed within 60 days for the arming approval to remain valid.