Chapter 4 - Planning and Guidance
- Advance planning and preparation are critical to effective contracting support.
- Working with J4, each contingency contracting officer (CCO) has the ability to influence and affect the tactical or operational outcome.
- CCOs must be familiar with the four phases of contracting support.
- CCOs must always be prepared to forward-deploy if the mission changes.
- CCOs must get as much information as possible about the country or domestic disaster area before deployment.
- Part of a CCO’s job is to locate sources and become familiar with local conditions, security, and force protection matters.
- Within 30 days after redeployment, the CCO must submit an electronic after action report (AAR).
- CCOs should coordinate with their operational planners, the Defense Contract Management Agency (DCMA), and the Defense Logistics Agency (DLA) about redeployments and the drawdown of equipment, personnel, and services.
- CCOs must be familiar with the statutes, directives, treaties, and agreements that will affect contracting operations when they are deployed.
- Seek guidance from the host nation support team, Command J4, and the US embassy.
Joint force commanders (JFCs) use the Joint operation planning process (JOPP) in developing plans for the employment of military power to shape events, meet contingencies, and respond to unforeseen crises. The JOPP is an adaptive, collaborative process to provide actionable direction to commanders and their staffs across multiple echelons of command. It underpins planning at all levels and for missions across the full range of military operations. The JOPP applies to both supported and supporting JFCs and to Joint force component commands (including the Joint Contracting Command) and is designed to facilitate interactions among the commander, staff, and subordinate headquarters throughout planning. The JOPP includes all activities that must be accomplished to plan for an anticipated operation (mobilization, deployment, employment, and sustainment of forces). The contingency contracting support phases covered in this chapter are closely aligned to those in the JOPP.
The JOPP helps commanders, their staffs, and the CCO organize their planning activities, share a common understanding of the mission and the commander’s intent, and develop effective plans, orders, and contracts. Additional information is available in Joint Publication (JP) 5-0, “Joint Operation Planning.”
In the JOPP, contingency contracting is addressed in Annex W to Combatant Command (COCOM) deliberate and crisis action planning products. Annex W includes two primary plans, the contract support integration plan (CSIP) and the contractor management plan (CMP). The CSIP provides a broad concept of operational contract support (OCS) integration and oversight for the planned operation. The CSIP includes a general overview of how contracting supports the operation. The CSIP articulates the commander’s priorities, intent, and specific OCS command guidance (by phase of the operation). The CSIP should also address overall contract support arrangements. The CMP identifies theater-specific contractor management requirements, including key staff and subordinate command responsibilities. These requirements include contractors authorized to accompany the force (CAAF), in-theater management, and government-furnished support coordination and support requirements. The CMP also addresses certain contractor management requirements for non-CAAF contracted employees. The office of primary responsibility for Annex W and OCS planning is the COCOM J4. In general, a chief of the contracting office (COCO) or CCO should review the applicable Annex W before deploying. The handbook DVD includes a template for the CSIP.
This chapter discusses types of contingencies, predeployment, and phases of deployment. The chapter also addresses how to plug in downrange and provides relevant information from JP 4-10, “Operational Contract Support,” on support phases, types of support, contract organizations, and capabilities and support agencies.
Contingency contracting encompasses all contracting performed in a contingency environment. A contingency can be declared or nondeclared, occur domestically or overseas, and fall anywhere on the broad range of military operations, from major wars to emergency responses. No two contingencies are alike, but the main elements that define the overall contingency contracting environment include the urgency of requirements, possible austere or limited business infrastructure, and possible cultural or ethical differences that the CCO might face.
From a legal standpoint, there are two types of contingencies: declared and nondeclared.
Declared contingency. The formal declaration of a contingency operation is very significant for the CCO (as shown in Figure 6 in Chapter 5), triggering an increase in the micropurchase threshold and simplified acquisition threshold (SAT). (Subpart 18.2 of the Federal Acquisition Regulation [FAR Subpart 18.2]) In accordance with Section 101(a)(13) of Title 10 of the United States Code (10 U.S.C. Section 101(a)(13)) and FAR 2.101, a declared DoD contingency operation may be established as follows:
- Designated by the Secretary of Defense when members of the armed forces become involved in military actions against an enemy of the United States
- Declared by the President or Congress when members of the uniformed forces are called to active duty (a reserve component mobilization) under 10 U.S.C. or any provision of law during a declared war or national emergency.
Figure 4 summarizes the contingency process requirements.
Figure 4. Summary of Contingency Threshold Requirements
Nondeclared contingency. In a nondeclared contingency operation, the micropurchase threshold and the SAT are unchanged ($3,000 and $150,000, respectively), except for the acquisition of supplies or services that, as determined by the head of the agency, will be used to facilitate defense against (or recovery from) chemical, biological, radiological, or nuclear attack. (FAR 13.201(g)(1)) Nondeclared contingencies generally do not benefit from the legal flexibilities conferred to a declared contingency.
Types of operational designations. CCOs might support several types of military operations, including major operations, smaller-scale contingencies, noncombat contingency operations, and domestic disasters or emergency relief operations. CCOs also might support military training exercises, routine installation and base operations, and CONUS or OCONUS systems or inventory control point contracting. JP 3-0, “Joint Operations,” includes additional information on types of operations.
Major operations and campaigns. In some conflicts, hostilities are ongoing, imminent, or likely, and there is a substantial commitment of US military forces. Operation Enduring Freedom and Operation Iraqi Freedom are examples of major operations and campaigns. During such operations, contracting usually supplements robust combat support and combat service support infrastructures.
Smaller-scale contingencies. Some conflicts involve ongoing, imminent, or likely hostilities with the US military, but smaller-scale contingencies involve fewer places and usually a more restricted time schedule (e.g., Operation Just Cause in Panama). Contracting often supplements combat support and combat service support capabilities that are limited by the location, strategic lift, or staffing ceilings.
Humanitarian or peacekeeping operations. Contingency contracting may be performed to support humanitarian or peacekeeping operations, defined as a military operation in support of the provision of humanitarian or foreign disaster assistance or in support of a peacekeeping operation under Chapter VI or VII of the Charter of the United Nations. (10 U.S.C. Section 2302(8) and 218.270 of the Defense Federal Acquisition Regulation Supplement (DFARS 218.270) The term does not include routine training. Recent humanitarian missions include Operation Tomadachi (Japan) and Operation Unified Assistance (Thailand).
Domestic disaster and emergency relief. According to JP 3-28, domestic disaster and emergency relief operations can range from domestic natural and man-made disasters to civil disturbances or terrorist incidents in the United States. DoD disaster relief missions include efforts to mitigate the results of natural or man-made disasters such as hurricanes, earthquakes, floods, oil spills, riots, and air, rail, or highway accidents. Examples of domestic disaster and emergency relief efforts are DoD support for relief efforts following Hurricanes Isabel, Floyd, Hugo, and Katrina. Chapter 9 includes additional information on domestic disaster and emergency relief operations.
Military exercises. Routine military exercises can feel anything but routine to the CCO supporting them. Anyone who participated in Foal Eagle, Cobra Gold, Joint Dawn, Key Resolve, National Training Center rotation, or similar types of exercises will attest to the very definite associated sense of urgency, pressure, or risk to life or national interest. Moreover, such exercises do not qualify as declared contingencies or as a major contingency type and thus generally receive no special consideration for other forms of relief. CCOs must be fully cognizant of the distinction between actions that are contractually permitted in an actual contingency and actions that are permitted in an exercise preparing for such a contingency.
Personnel and administrative preparations. The following generic list of documents and equipment that a CCO might need to initiate a contingency contracting operation is useful not only for CCOs, but also for the requesting unit, which should reference the need for such information in the line remarks of individual deployment tasking letters (or tasking orders) and may modify the list as necessary to meet deployment location mission support requirements:
- Official passport and 6 to 10 extra photographs for visas. Visas might be required to move from country to country. Official passports might be required for each CCO designated to support no-notice deployments that demand immediate departure to countries requiring a passport for entry. Each unit shall determine whether the CCO needs to obtain an official passport when initially designated as a CCO.
- Travel orders prepared through the Defense Travel Service.
- Standard Form (SF) 1402, “Certificate of Appointment as a Contracting Officer,” with authority equal to potential responsibilities.
- Prepacked kit of regulatory guidance, forms, supplies, and equipment.
- International driver’s license.
- Civilian clothes. In some instances, military uniforms might not be advisable. The regional contracting center (RCC) chief will provide additional instructions regarding the wearing of uniforms.
- Governmentwide commercial purchase card (GCPC) that is bulk-funded to the level possible, enabling immediate expenditure upon arrival.
- List of unit-assigned procurement instrument identification numbers (PIINs), in accordance with DFARS 204.7003 and the uniform PIIN issued by the senior contracting official (SCO).
- Where possible, advance registration for any applicable systems, such as the Contracting Officer’s Representative Tracking (CORT) Tool, Federal Procurement Data System–Next Generation (FPDS-NG), Contractor Performance Assessment Reporting System (CPARS), Joint Contingency Contracting System (JCCS), and Electronic Data Access (EDA) system.
- Department of Defense (DD) Form 1833, “Isolated Personnel Report (ISOPREP).” The ISOPREP contains data elements that have personal data, photographs, and other information to help in the recovery of US military, civilian, or DoD contractor personnel who are isolated, missing, detained, or captured. The ISOPREP and the evasion plan of action are the most important tools for executing timely rescue and recovery. Once DD Form 1833 is completed, it becomes classified confidential and therefore should be submitted electronically, not carried on the person. Army Graphic Training Aid (GTA) 80-01-001 provides additional information on personnel recovery.
Mature versus immature contracting environments. CCOs must consider the maturity factor when planning for contingency operations because different contracting tools will be needed based on maturity and the contingency phase, as follows:
- Mature. A mature contracting environment is characterized by a sophisticated distribution system that can rapidly respond to changing requirements and priorities; sufficient vendors that can comply with FAR requirements to meet contingency contracting demands and have previous experience contracting with the US government; and, in the best case, an in-place DoD contracting office or structure. Examples of mature contracting environments include Kuwait, Saudi Arabia, Qatar, Korea, and Western Europe.
- Immature. An immature contracting environment is an area with little or no built-up infrastructure and few vendors. Moreover, of the available vendors, few if any have previous experience contracting with the US government. An example of an immature contracting environment is the Horn of Africa.
Contracting during hostilities. Hostilities can break out during any phase of a contingency operation. The more rapidly the CCO matures the contracting operation, the better support that CCO can provide if hostilities do occur. However, some problems are unavoidable, such as the following:
- Contractor employees might not report for work or might abandon the job site or refuse to drive vehicles in certain areas.
- Vendors and shops might close during hours of darkness or might cease operations.
- The threat of snipers, terrorists, and enemy action against the CCO while traveling in the local community might increase significantly.
As a CCO, you will have a significant opportunity to observe the local community. CCOs are responsible for interacting with the intelligence unit to identify any threats and for reporting any suspicious activity. If you cannot perform the CCO contracting mission, you must advise supported units so that they can plan to perform essential contracted tasks with military personnel. If a contractor refuses to perform, you need to find another contractor (and prevent lapses in service), seek alternate arrangements, or do without the service. CCOs must keep customers informed about contracting activities so that they can plan accordingly.
Research as the key. If you know that you are going to deploy, you should get as much advance information as possible about the country or domestic disaster area. As a high priority, CCOs must review site surveys that other advance echelon (ADVON) teams have performed and then use this information to develop a site survey checklist. CCOs should read relevant acquisition guidance—such as acquisition instructions for the US Central Command (USCENTCOM)—for the area of responsibility (AOR) to be supported. CCOs should become familiar with the currency, conversion rate, and local business customs. In addition, cultural and social differences, such as language or literacy barriers, can further compound the difficulties that the CCO must include in planning (as described in Chapter 8). Good sources for investigating a country include the following:
- AARs (unclassified reports available at https://www.acc.dau.mil/contingency).
- Central Intelligence Agency World Factbook, available at https://www.cia.gov/library/publications/the-world-factbook/.
- Websites of US embassies, consulates, and diplomatic missions, available at http://www.usembassy.gov/
- Department of State website, available at http://www.state.gov/countries/.
- United States Agency for International Development (USAID), which has a website at http://www.usaid.gov/. USAID is an excellent source of country-specific information. One of the USAID missions is support for economic growth and trade (e.g., the USAID Trade for African Development and Enterprise and the USAID economic opportunity projects in Jordan), making it an excellent source for locating vendors and contractors. USAID typically has offices in each US embassy.
- US Navy husbanding contracts to support fleet port visits, which might be able to support an initial response for humanitarian assistance or disaster response, helping the CCO at the very beginning of an event. One of the following regional Fleet Logistics Centers (FLCs) can help determine whether a contracting vehicle is in place to support critical needs for an emergency response, but orders must be placed by the applicable FLC contracting officer:
FLC Yokosuka, United States Pacific Command (USPACOM) AOR, with a website at https://www.navsup.navy.mil/navsup/ourteam/navsupgls/navsupflcy
FLC Sigonella, United States European Command (EUCOM), USCENTCOM, and US Africa Command (AFRICOM) AOR, with a website at https://www.navsup.navy.mil/navsup/ourteam/navsupgls/navsupflcsi
FLC Norfolk, United States Southern Command (USSOUTHCOM) and US Northern Command (USNORTHCOM) AORs, with a website at https://www.navsup.navy.mil/navsup/ourteam/navsupgls/navsupflcn
After action reports. Lessons learned, or AARs, should be forwarded through the responsible SCO within 30 days after redeployment to home station. AARs should include follow-on plans for contracts issued in support of the contingency mission. The recommendation is that CCOs should start writing the AAR as soon as they arrive and should leave a copy of the AAR in the continuity book before leaving the area. To access sample AARs, take the following steps:
- Step 1. To join the acquisition community connection, go to https://acc.dau.mil/join. After you receive membership notification, you must request access to AARs.
- Step 2. Send a message to email@example.com noting the reason for access. When your access is approved, you will receive a confirmation message. AAR lessons learned are available at https://acc.dau.mil/contingency.
Contingency contracting officer continuity book. When the CCO arrives at the deployed location, one of the first requirements is reviewing information in the CCO continuity book. The CCO will maintain and continually update the CCO continuity book for follow-on CCOs. When a deployment is terminated, the last CCO will forward the continuity book to the applicable J4 supporting the AOR. The book should include the following at a minimum:
- Current vendor or contractor source listing, including vendor names, addresses, telephone numbers, points of contact (POCs), and type of supplies or services provided
- Current list of vendors and contractors willing to provide emergency support 24 hours a day
- Copies of all headquarters policy letters, acquisition instructions, and guidance messages received to date
- Minutes of all meetings attended by CCO personnel, including open action items impacting the contracting function
- List of all ratification actions to date
- Contractor delivery information and gate security
- Copies of all customer education handouts developed to date
- Key POCs at the deployed site, including names, grades, duty title units, telephone numbers, and after-hours POCs, if available
- Lessons learned during the deployment to date
- Copies of weekly reports of actions and dollars spent to date
- Reconciliation reports
- Bulk-funding logs showing remaining balance
- List of local contractors and vendors not to do business with
- Disposition of purchase records
- AAR, submitted electronically within 30 days after redeployment by each CCO to the parent command, which in turn will forward the report to the theater command supporting the AOR, with select AARs forwarded to the Defense Acquisition University (DAU) for inclusion in the contingency contracting community of practice
- Current list of enduring contract vehicles with contingency clauses.
Advance echelon teams. Within the first 30 days after a contingency declaration, a CCO will deploy with the ADVON team. At a minimum, the team should consist of a CCO, engineering representative, finance representative, logistics personnel, comptroller representative or funds certifier, and legal representative. The size and number of teams will depend on the contingency, humanitarian assistance or peacekeeping operational requirements, and operational requirements of the mission, as determined by the head of the contracting activity (HCA) and SCO. The CCO in charge of the procurement function needs to arrive with the ADVON team. This experienced CCO should locate sources; become familiar with local conditions; and, before arrival of unit personnel, consult with the Army Criminal Investigation Division (CID), Air Force Office of Special Investigations (OSI), and Naval Criminal Investigative Service (NCIS) concerning security and force protection and also personnel recovery matters. In addition, the CCO should consult with the embassy regional security officer to identify any existing interfaces with interagency or host nation recovery procedures. Plans should provide for adequate security arrangements and disbursing officer support during advanced deployments. Bulk funds (and a means to replenish those funds) also should be provided. The CCO or ordering officer (OO) should carry an approved GCPC to facilitate the procurement process whenever and wherever possible.
In addition, the Joint Contingency Acquisition Support Office (JCASO) provides expeditionary support in the initial phases of a declared contingency through its Joint operational contract support teams (JOCSTs). These JOCSTs are intended for use as an intact staff augmentation element, not as individual augmentees.
Additional information on JCASO and JOCSTs is available in the concept of operations.
Site surveys. In general, the ADVON team will conduct the site survey, which should include sources, business customs, maps, interpreter sources, and other important information. The CCO should take a camera on the site survey and document everything on film. Pictures of runways, water pumps, generators, control towers, and perimeter fencing will greatly aid engineering, operations, and security forces personnel who could not make it to the site survey. Photographs will also refresh the CCO’s memory for subsequent requirements. However, the CCO must check with the US embassy or host nation to confirm whether permission is needed to take pictures.
Once the CCO’s feet hit the ground, the next task is to learn how to plug in to the new environment. The CCO must quickly find the support structure (J4) and meet with the onsite commander to accomplish the following:
- Discuss purchase request (PR) control procedures, including funds accountability, PR validation and approval, inspection, acceptance, quality assurance procedures, and disposition of purchased assets
- Inform the onsite commander that additional duties might impede contracting responsibilities or create a conflict of interest
- Advise the onsite commander that only the CCO is authorized to obligate the US government for local purchases, and offer to present a briefing on this topic at the first commander’s call
- Have the onsite commander create policy that no one should place undue pressure or command influence on CCOs to purchase any goods and services that violate laws or regulations.
The CCO must promptly locate customers, obtain finance support, and identify POCs at the local embassy. As part of an early deployment, one of the first CCO actions should be contacting the US embassy in the respective host nation. Specifically, two embassy contacts are of major importance from a contingency contracting perspective—the government services officer (GSO) and the executive coordinating agency (ECA). The GSO is essentially a contracting officer within the embassy who would know the support agreements that are in place. It is important to know that if an embassy is asked to assist with contracting actions, an international cooperative and administrative support service fee is charged. If the country hosting the deployment has an acquisition and cross-servicing agreement (ACSA) in place, it could provide the force with logistics support, supplies, and services. The CCO should check the Department of State website (under Treaties in Force) with the command to determine whether an ACSA is in effect for a given country.
Food, water, fuel, transportation, and facilities quite possibly might be provided, eliminating many problems (such as having to procure such services at startup). Embassies have important country-specific knowledge and can help guide the CCO in what to do and what not to do—and can serve as a prime resource for locating vendors and contractors. The CCO should also know whether the Surface Deployment and Distribution Command or the Navy has port contracts. Some embassies have an ECA, which might provide greater support than the GSO. Like other organizations, embassies differ in how much and how well they can support a CCO, depending on the location and the attitudes of their staff members. A list of US embassies is available at http://www.usembassy.gov/.
Acquisition and cross-servicing agreements. Per Department of Defense Directive (DoDD) 2010.9, ACSAs are bilateral international agreements that allow for the provision of cooperative logistics support under the authority granted in 10 U.S.C. Section 2341-2350. Key aspects of an ACSA include the following:
- Transactions that may be cash reimbursements, equal-value exchanges, or replacement-in-kind of logistic support, supplies, and services
- The kinds of logistics support that may be exchanged are food; billeting; transportation; petroleum, oil, and lubricants (POL); communications services; nonaccredited training; ammunition; emergency medical services; and base operations
- Categories of support that may never be exchanged are guided missiles and kits, major end items, chemical or nuclear munitions, formal accredited course training, official uniforms, or major construction projects
- Additional ACSA information is available at https://ca.dtic.mil/jcs/j4/projects/acsa/.
Host nation support. It is essential that the CCO establish a link with the host nation support (HNS) teams and obtain cooperation from HNS authorities and personnel to enhance the contracting officer’s ability to fulfill contingency contracting obligations. It is also important for the CCO to understand support that can be obtained through HNS. Contact with local US authorities and higher-level headquarters officials will help determine whether HNS is available. Before deployment, coordination with legal assistance, civil affairs units, intelligence, and the US embassy will prove useful for identifying information on contractors in the area. A liaison officer should have knowledge of HNS laws, regulations, and military command structures and should be able to coordinate with the host nation to initiate site surveys. Reconnaissance visits to proposed contingency, humanitarian assistance, or peacekeeping operation sites will help identify the support that the host nation can provide.
Status of forces agreement. A status of forces agreement (SOFA) is intended to clarify the terms under which the foreign military is allowed to operate. Typically, purely military issues such as the location of bases and access to facilities are covered by separate agreements. SOFAs are more concerned with the legal issues associated with military individuals and property, including issues such as entry into, and exit from, the country; tax liabilities; postal services; or employment terms for host-country nationals—but the most contentious issues are civil and criminal jurisdiction over the bases. For civil matters, SOFAs cover procedures for the determination and payment of civil damages caused by the forces.
There are two situations when a CCO might be deployed for NATO: a national tasking (US troop contribution), when the FAR and a normal warrant would be used; and a NATO tasking against a crisis establishment staffing document, normally supporting a NATO headquarters, when NATO rules apply. For example, CCOs stationed at Camp Bondsteel in Kosovo use US rules, while CCOs stationed at KFOR Headquarters (HQ) in Pristina use NATO rules. The application of rules comes down to funding: if US funds are used, then US rules and US warrants apply; if NATO funds are used, NATO rules and NATO warrants apply. If tasked to support a NATO operation, CCOs should be aware that the contracting rules are vastly different from US rules. You will work as a procurement and contracting (P&C) officer and will be assigned to a regional Allied contracting office. You will not be required to comply with the FAR, but rather must comply with Bi-Strategic Command (Bi-SC) Directive 60-70, available at http://www.aco.nato.int/resources/20/finance/dir60_70.pdf.
The HQ chief for procurement and contracting nominates P&C officers, and the NATO HQ commander or chief of staff appoints them. The P&C officer authority, provided in the form of a written warrant, is only valid for contracts issued on behalf of NATO HQ or the agencies to which the CCO is assigned or designated to support. No other warrant will be considered valid authority for Bi-SC P&C officers.
CCOs should consider a number of additional planning elements. For example, the impacts of agreements and operation plans can affect how work is performed under the contract, including the following:
- Applicability of any international agreements such as SOFAs to the acquisition. Check with the relevant command, or see the Department of State website (under Treaties in Force) for a list of these agreements
- Security requirements applicable to the AOR
- All contractor personnel authorized to be armed who must be fully briefed on US laws, host nation laws, SOFAs, and JFC policies regarding the circumstances in which they may use force
- Standards of conduct for the prospective contractor and its employees and any consequences for violation of the standards of conduct
- Requirements for use of foreign currencies, including applicability of US holdings of excess foreign currencies
- Availability of government-furnished logistical support for contractor employees (e.g., lodging, meals, medical, and office supplies; physical inventory of all government-furnished property, which the contractor shall perform periodically in accordance with FAR clause 52.245.1)
- Information on taxes and duties and possible government exemption from them (including information available from the local embassy)
- Applicability of ACSAs (DoDD 2010.9, “Acquisition and Cross-Servicing Agreements”), available at http://www.dtic.mil/whs/directives/corres/pdf/201009p.pdf.
SOFAs and other international agreements and treaties also can affect contract work, including the following:
- For work performed in Japan, US-Japan bilateral agreements govern the status of contractors and employees, criminal jurisdiction, and taxation. United States Forces Japan, component policy, and US-Japan bilateral agreements govern logistics support and base privileges of contractor employees.
- For work performed in Korea, US-Korea bilateral agreements govern the status of contractors and employees, criminal jurisdiction, and taxation. United States Forces Korea and component policy as well as US-Korea bilateral agreements govern logistics support and base privileges of contractor employees.
- The state of the local banking system and its impact on contract business arrangements also can affect contract work.
Referrals and reachback. There might be PRs that cannot be fulfilled through the local market. The CCO should not overlook or underestimate the usefulness of the referral system for fulfilling requirements. Requirements may be referred to another contracting activity for action or may be returned to a CONUS location for reachback support. Usually many sources of contracting expertise that are geographically separated from the deployed CCO could be used, such as the following:
- US embassy or consulate
- Nearest permanent military installation contracting office
- Theater J4
- CONUS contracting offices
At times, CONUS contracting offices may be asked to support OCONUS contingencies for one of several reasons. In some cases, the forward-deployed assets might not be able to process the deluge of requirements for large-scale contingencies. In some cases, conditions in the contingency area of operations might be so dangerous that a large contracting footprint cannot be maintained. In other cases, the complexity of the contract requirement might lead to its assignment to a contracting center of excellence for the pre-award and contract award phases and then its transfer to the CONUS activity for contract administration. No matter what factors have driven the current situation, the following ground rules govern supporting an OCONUS contingency from a CONUS site:
- It is important for the OCONUS CCO who will administer the contract to participate in the contract award process and to be informed about the development of the acquisition strategy. The OCONUS CCO is the person who understands the environment in which the contract must be executed. The requiring activity might not recognize all the ins and outs of delivering supplies or people to the AOR or might not understand the basic facts of contracting life at the OCONUS site. An unexecutable contract is not helpful to anyone. The OCONUS CCO thus must be contacted early and often.
- The CONUS office must be aware of any established memorandum of understanding or memorandum of agreement with the OCONUS partner to ensure that the operation-specific issues are clearly specified and that the CCO knows which SOFAs and other international agreements apply.
The CCO should not arbitrarily limit the potential markets available to satisfy a customer’s needs. For example, in the Pacific theater, the PACOM Contingency Acquisition Program has pre-identified redundant sources of supply in more than 10 countries that are willing and able to satisfy many known USPACOM requirements.
For CCOs using reachback buying units, basic funding and shipment information will be useful. In most cases, the vendor will be asked to deliver to a specified AOR buying office—the normal free on board (FOB) destination point. Approximately $100 should be included for shipping and handling per item (depending on the size and weight of an item) in case the CONUS vendor’s FOB point is at origin, not destination. If the items are critical and require expedited delivery to the CCO’s deployed location, more funds might be needed. An accurate estimate of required funding will help the reachback buying unit complete the CCO’s order without the need to ask the CCO for additional funds. Because it will normally take 3 to 6 weeks from the time the CCO forwards a request to the reachback buying unit to the time that the CCO receives the items, delays in requesting additional funds will only frustrate the customer who requires the item. The CCO must know that the more preferred purchasing method is through the local AOR to prevent customs and delivery nightmares. The CCO should check the local market before resorting to reachback solutions or Internet purchases.
Civil augmentation programs (CAPs) plan for the use of civilian contractors during contingencies or in wartime to augment the logistics support of selected forces. Typically, these programs could apply in all phases of contingency operations. The Army, Navy, and Air Force each have a CAP contract. CCOs need to understand the capabilities of each type of contract. All three CAPs support US Joint operations worldwide and prevent the dilution of military forces that would occur if the military provided the required services and support. However, these contracts are expensive, so they should be used only when it is not appropriate for military personnel to provide needed services and functions. Commanders must be vigilant in the use of civilian augmentation because contract costs can easily become inflated, particularly when changes or additions are made late in the execution phase. However, these civilian augmentation contracts often are the only means for obtaining the skilled people and services needed to quickly construct and repair buildings and equipment.
Logistics Civil Augmentation Program. The Army Logistics Civil Augmentation Program (LOGCAP) is a peacetime program to preplan and train for the use of contractor support of emerging requirements. The LOGCAP contracts are designed to provide general logistics and minor construction support to deployed Army, Joint, multinational, and interagency forces. The Army is currently on its fourth LOGCAP contract iteration, LOGCAP IV, which differs from LOGCAP I through III because it now has one support and three performance contractors rather than just one contractor. LOGCAP is characterized by the following elements:
- Capabilities. In general, LOGCAP can be used to provide logistics services and minor construction support for any scale of operation.
- Planning. The LOGCAP Program Management Office (PMO) helps requiring activities by engaging in deliberate strategic planning. LOGCAP planners participate in designated planning conferences and prepare both general and operationally specific plans. In conjunction with various operational commands, the LOGCAP PMO has created a library of plans that cover a range of scenarios, from support plans for contingency operations in developed or undeveloped countries to plans supporting specific regional contingency plans or operation plans across the range of potential military operations. Event planning can begin with an initial discussion between a requiring activity and the LOGCAP PMO. This discussion is generalized and entails an initial assessment of scope, location, and duration and helps both the LOGCAP PMO and the requiring activity in determining whether LOGCAP is an appropriate course of action. After the determination to use LOGCAP is approved, focused planning begins, with the participation of the LOGCAP PMO, Army Contracting Command–Rock Island, requiring activity, and LOGCAP contractors.
- Management. The Army LOGCAP is a Headquarters, Department of the Army (HQDA) program. The HQDA G4 holds primary responsibility for program policy, guidance, and direction and serves as the LOGCAP Management Decision Package (MDEP) program manager proponent and approval authority for the use of LOGCAP services. The Army Materiel Command, through its subordinate Army Sustainment Command, serves as the principal agent responsible for LOGCAP administration, management, and execution. The Army components supporting field support brigade—augmented by a LOGCAP forward team consisting of a LOGCAP deputy program manager and planning team, including DCMA, Defense Contract Audit Agency (DCAA), US Army Corps of Engineers (USACE), elements of the LOGCAP PMO, LOGCAP support contractors, and an element of the LOGCAP Support Group—provide the JFC and Army forces commander with a single focal point for centrally managing LOGCAP planning and execution in the theater of operation. In the operational area, the LOGCAP forward team helps with incorporating LOGCAP requirements into operation plans and fragmentary orders and will provide other assistance to requiring activities with validated LOGCAP requirements.
Air Force Contract Augmentation Program. As described at http://www.afcesa.af.mil/shared/media/document/AFD-111202-015.pdf, the Air Force Contract Augmentation Program (AFCAP) is a worldwide contingency contract tool available to support the Air Force, Joint forces, and any US government agency in need of urgent logistics assistance to support contingency operations. Like all CAP programs, AFCAP is designed to rapidly leverage private industry capabilities as a force multiplier in supplying highly responsive solutions to meet global mission objectives across the full range of military operations. AFCAP contractors have a worldwide capability, coupled to an existing breadth and depth of commercial business interests aligned to meet contingency operations requirements. Unlike the other Service CAPs, AFCAP can be used to procure and expeditiously ship just-in-time (JIT) commodities. Depending on urgency, degree of requirements definition, and task stability, contracts can be tailored as firm-fixed-price, cost-plus-fixed-fee, or cost-plus-award-fee task orders as necessary to best match government needs. AFCAP is characterized by the following elements:
- Capabilities. AFCAP can provide, at a minimum, 72 core general engineering and other logistics services and associated commodity procurement and shipment capabilities. The scope of the AFCAP contract requires contractors to furnish the personnel, equipment, materials, services, travel, and all other services necessary to provide a quick response, worldwide planning, and deployment capability. The contract offers additional capabilities to allow military missions to continue despite facility or service support constraints. AFCAP contractors can provide personnel to complete or augment tasks, a full range of JIT logistics (e.g., acquisitions, deliveries, procurement of commercial off-the-shelf items, heavy equipment leases, bulk materials, war reserve materiel augmentation), and expedient design and build construction. Whenever possible, the AFCAP contractor draws on significant in-place expertise and worldwide commercial vendors with readily available assets. A major contributing effort for AFCAP is the sustainment and maintenance of the deployed forces and the initial force projection. AFCAP can also be used to provide initial force beddown of non–Air Force personnel (the Air Force has organic military capability for its own life support). AFCAP may be used to help transition and upgrade bare bases from initial austere support to temporary standard facilities and utilities. This approach allows the recovery and reconstitution of critical war reserve materiel resources for use at other locations or for the support of additional expansion for a specific mission. AFCAP also can be used for general equipment support, but is not intended for in-depth equipment maintenance or depot-level overhaul at contingency locations because the Air Force already has other provisions for these requirements.
- Planning. AFCAP contractors can be asked to provide rough order of magnitude (ROM) estimates; however, most ROM estimates are performed by the HQ Air Force Civil Engineering Support Agency (AFCESA) staff. Task orders for planning by AFCAP contractors can be awarded to help customers with their requirements.
- Management. HQ AFCESA performs program management functions, and the Air Force Education and Training Command (AETC) provides contracting support for AFCAP requiring activities. HQ AFCESA is located at Tyndall Air Force Base, FL, with program management deployed forward as required. The AFCAP procuring contracting officer (PCO) normally delegates all appropriate contract administration and audit services functions to DCMA in accordance with the specific needs of that task order. DCMA will furnish administrative contracting officer (ACO) support and, in consultation with the auditor, will monitor, review, and approve the contractor business systems (such as accounting, purchasing, and estimating systems). DCMA will also provide property administration and quality assurance support as required. DCMA ACOs have the authority to execute no-cost change orders to task orders. If DCMA experiences a staffing shortfall for field support during the execution of AFCAP, AFCESA will provide field assessment surveillance teams (FASTs). The AFCESA FASTs are based on a multifunctional deployable team concept that can be tailored as needed by task order, location, and region—first-class boots-on-the-ground oversight to ensure cost, schedule, and quality task order performance by the AFCAP contractors. The AETC contracting staff will retain all contracting functions not delegated to DCMA, including all PCO functions (and issuance of all task orders), execution of modifications resulting in price changes to task orders, and execution of modifications to the basic contract (exercise of options).
US Navy global contingency contracts. The Naval Facilities Engineering Command (NAVFAC) has awarded two worldwide contingency theater support contracts, the Global Construction Capability Contract (GCCC) and the Global Contingency Services Contract (GCSC). The GCCC focuses on construction, while the GCSC addresses facilities support; both are described in more detail in this section. Any GCCC or GCSC orders must be coordinated through a NAVFAC coordinating officer.
Global Construction Capability Contract. The GCCC is a competitively solicited, multiple-award, cost-reimbursable contract with award fee. This acquisition vehicle has three prequalified sources to provide a maximum of $1 billion of construction over 5 years. The contract furnishes construction, design and build construction, and related engineering services in response to natural disasters, humanitarian assistance needs, conflicts, or situations with similar characteristics. This scope includes occasional projects to ensure readiness to perform during emergency situations and military exercises. NAVFAC also uses the GCCC as an acquisition tool to support DoDD 4270.5, “Military Construction.”The GCCC is characterized by the following elements:
- Capabilities. The GCCC provides the Navy—or the Navy on behalf of DoD or other federal agencies when authorized—an immediate response for civilian construction capability needs. The scope includes the capability to provide general mobilization services for personnel, equipment, and material to support naval construction forces (NCF) mobilization and similar mobilization efforts and to set up and operate material liaison offices at a deployed site in support of NCF operations. Work is predominately construction; however, services incidental to the construction may also be included. Construction critical response during an emergency will primarily support aid in response to natural disasters, military conflicts, or humanitarian aid needs.
- Planning. Each contractor is required by contract to maintain an in-place contingency response plan, available to facilitate responses to emerging requirements. The plan identifies prepositioned resources, suppliers, and procedures for rapidly developing detailed execution plans tailored to the specific requirements of the emergency.
- Management. NAVFAC Atlantic in Norfolk, VA, manages the GCCC. Other NAVFAC components also may be given ordering office authority under this contract.
Global Contingency Services Contract. The Navy GCSC is an indefinite delivery, indefinite quantity (IDIQ) cost-plus-award-fee contract designed to quickly provide short-term facilities support services with incidental construction at other locations (including remote sites) throughout the world. The GCSC is characterized by the following elements:
- Capability. This performance-based contract is designed to respond to natural disasters, humanitarian effort needs, contingencies, or other requirements (e.g., nonperformance by an incumbent contractor or instances where unanticipated lapses in service occur). The contract has a ceiling of $450 million over 5 years.
- Planning. The contractor is required by contract to maintain an in-place contingency response plan, available to facilitate responses to emerging requirements. The plan identifies prepositioned resources, suppliers, and procedures for rapidly developing detailed execution plans tailored to the specific requirements of the emergency situation.
- Management. NAVFAC Pacific manages the GCSC. Other NAVFAC components may also be given ordering office authority under this contract.
Administrative requirements for referrals. Referral packages should be tracked until completed. This tracking will support the CCO in knowing referral status and the finance officer and resource manager in tracking outstanding commitments. Before sending a requirement to another location, usually via email or fax, the CCO should ensure that the acquisition package is complete. The package should include, as appropriate, a PR, full item description, commitment of funds (including stock funds), brand name or sole-source justification, depot waivers, customs clearances (if required), transportation control number, and transportation account codes. In addition, the complete mailing address and telephone number for a single POC (preferably the customer or requester) must be provided. For contract repair items, a DD Form 1149 or other hand receipt also should be included with the item for repair. Funds should be transferred in accordance with Department of Defense Instruction (DoDI) 4000.19, “Interservice and Intergovernmental Support.”
Other contracting offices in the AOR. DoD has contracting offices around the world. No matter where CCOs deploy, a contracting office is always in the geographic vicinity. A few of the unified commands have contract representation on the J4 staffs, but most delegate theater contracting to an SCO. DoD unified commands and associated contact information are as follows:
USCENTCOM: 813-827-6420; http://www2.centcom.mil/sites/contracts/Pages/Default.aspx
Fleet Logistics Centers. The regional Fleet Logistics Centers (FLC) structure provides contracting support for Navy units. The regional FLC can offer details on potential existing contract support for noncombative contingency operations. FLC Norfolk is the lead for the 2nd and 4th Fleets (US East Coast and USSOUTHCOM); FLC San Diego is the lead for the 3rd Fleet (US West Coast); FLC Sigonella is the lead for the 5th and 6th Fleets (USCENTCOM, EUCOM, and AFRICOM); and FLC Yokosuka is the lead for the 7th Fleet (Far East).
Defense contractors outside of the United States. The contractor support option is available to field commanders to augment available military support resources and HNS. In the initial stages of an operation, the supplies, services, and construction provided by local contractors can improve response time and free military resources for combat operations. As the operation progresses, contractors provide traditional logistics support and other nonlogistics-related support. Contractors may also provide services such as interpreters, communications, or infrastructure support. Such contractor support allows the commander to minimize the number of combat personnel used for such noncombat functions and to maximize the number of combat personnel focused on combat operations. At the conclusion of operations, contractors can also facilitate early redeployment of military personnel.
DoDI 1100.22, “Policy and Procedures for Determining Workforce Mix,” sets restrictions on those functions that contractors can provide and those functions that are inherently governmental. Activities that are restricted at least in part include security furnished in hostile or volatile areas as well as procurement functions.
Functions that may be provided by private security contractors (PSCs) include the protection of fixed facilities, assets, personnel and the use of mobile convoy security to protect personnel and materiel movements in the insecure areas outside US bases. PSCs must be employed cautiously when major combat operations are ongoing or imminent. Several factors should be weighed when considering specific security contracts, including the location where contract security personnel will operate; anticipated threat; property or personnel to be protected; manner in which the contractor will be operating in areas of increased risk, including command and control, sharing of threat information, and communication with forces; and the training and qualifications of contract security personnel.
DoDI 3020.50, “Private Security Contractors (PSCs) Operating in Contingency Operations,” establishes policy for the use of PSCs in contingency operations and is implemented through DFARS clause 225.370 and DFARS clause 252.225-7039, both entitled “Contractors Performing Private Security Functions.” Policies and procedures already implemented require that PSCs are subject to official background checks and are trained, qualified, and authorized by the combatant commander to be armed. PSCs operate under strict rules for the use of force, which must be defensive in nature and carefully supervised, and for the use of deadly force, which is allowed only as a last resort in response to imminent threats and for the inherent individual right of self-defense. All DoD and Department of State private security companies and their personnel are also regulated, as required, by the appropriate host country. These regulations must be considered when contracting for PSC services. For example, in most cases, PSCs must be licensed by the host country.
DoD provides overarching guidance regarding the integration of defense contractor personnel into contingency operations. (DoDI 3020.41, “Operational Contract Support”) This instruction applies to all DoD components, combatant commanders, and contingency contractor personnel. The instruction does not apply to contracts performed within the United States or at any location that is not part of a contingency, humanitarian assistance, or peacekeeping operation. The requirements in DFARS clause 225.7402-5 ensure the incorporation of DFARS clause 252.225-7040 when the contract authorizes contractor personnel to accompany US armed forces deployed outside the United States (CAAF). In addition, other specific requirements apply: FAR 28.305, “Overseas Workers Compensation and War Hazard Insurance,” and FAR 28.309, “Contract Clauses for Workers Compensation Insurance,” for incorporation of FAR clause 52.228-4, “Workers Compensation and War-Hazard Insurance Overseas,” and FAR clause 52.228-3, “Workers Compensation Insurance (Defense Base Act).” Information on the Defense Base Act (DBA) is available at http://www.dol.gov/owcp/dlhwc/DBAFaqs.htm. Note that FAR clause 52.228-3 is required in all contracts for services, even if the personnel performing under such contracts are not CAAF or are required to be included in the Synchronized Predeployment and Operational Tracker (SPOT) database.
General deployment procedures. All CAAF personnel shall report to the deployment center designated in the contract before departing for a contingency operation to complete the following general deployment procedures:
- Validate entry of accountability information in the SPOT database
- Issue or validate possession of proper identification cards
- Receive applicable government-furnished equipment
- Receive medical and dental screening, including required military-specific vaccinations and immunizations (e.g., against anthrax, smallpox, and typhoid)
- Validate or complete required training on topics such as the Geneva Conventions; law of armed conflict; general orders; standards of conduct; force protection; personnel recovery; medical issues; operational security; antiterrorism efforts; nuclear, biological, and chemical protective gear; country briefing and cultural awareness; combating trafficking in persons (CTIP); and other appropriate subjects.
After completing deployment processing, certified by annotation of the letter of authorization or provision of a separate deployment processing certification letter, CAAF personnel receive deployment process certifications to bring with them to the Joint reception center (JRC). The contractor certification documentation for CAAF personnel deploying as part of a specific unit will be included in the appropriate unit manifest. CAAF personnel deploying individually are required to carry this certification at all times.
In-theater contractor personnel management. In-theater contract and contractor management challenges discussed in this section include accountability, reception, onward movement, and restrictions on contractor support (by area, phase of operation, or other measures as appropriate). Other key in-theater contractor personnel management considerations (such as discipline, force protection, and security) are addressed in other sections of this chapter.
Personnel accountability. JFCs view the proper establishment and maintenance of the accountability of all CAAF personnel as extremely important. Without such information, it is impossible to properly plan for and integrate contingency contractor personnel into the overall operation. Personnel accountability is critical in determining and resourcing government support requirements such as facilities, life support, force protection, and force health protection in hostile or austere operational environments. Because of the difficulty of incorporating contractor personnel information into existing personnel accountability systems, the Office of the Under Secretary of Defense (OUSD) for Acquisition, Technology, and Logistics (AT&L) has recently designated SPOT as a DoD enterprise system for managing and maintaining accountability (by name) of contractor personnel when they are deployed to an operational area. SPOT is a Web-based application that allows authorized users to view, enter, and manage contractor personnel predeployment, accountability, and location data. In addition, SPOT is designed to issue automated letters of authorization as part of the contractor accountability process. Specific SPOT-related policies and procedures are currently in development.
Reception. All CAAF personnel will be processed in and out of the operational area through a JRC or other personnel centers designated by the JFC. The JRC will verify that the contractor personnel are included in the SPOT database and that they meet all theater entrance requirements. Contractor personnel who do not satisfy established theater entrance requirements may be returned to the point of origin or placed in a holding area until these requirements are met. Geographic combatant commanders (GCCs) and their subordinate JFCs need to set and enforce specific policies for handling CAAF personnel who do not meet all established theater entrance requirements.
Onward movement. After the JRC fully verifies that the contractor is included in the SPOT database and that all theater entrance requirements are met, the required operationally specific identification documents should be issued to contractor personnel. The JRC will arrange for transportation of the contractor and contractor equipment to the point of performance. The arrangement of intratheater transportation of CAAF personnel will include appropriate force protection and security measures, commensurate with the force protection and security measures taken for DoD civilians.
Location and movement considerations. Contractors can be expected to perform virtually anywhere in the operational area, subject to the terms of the contract and the JFC risk assessment of the local threat level. On the basis of this risk assessment, the JFC or subordinate area commanders may place specific restrictions on the location and timing of contract support; however, care must be taken to coordinate such restrictions with component commanders, applicable DoD agencies, and contracting officers. In addition, contractor personnel location reporting and equipment movement must be incorporated into the JFC movement control, personnel accountability, and force protection plans.
Synchronized Predeployment and Operational Tracker registration. Registration is required to access SPOT at https://spot.altess.army.mil. The required registration cannot be completed until a designated organizational sponsor sends an approval email to firstname.lastname@example.org. Additional information on SPOT registration and contractor personnel letters of authorization is available at https://www.us.army.mil/suite/kc/12559209. An Army Knowledge Online logon is required to visit this website.
CCOs, their designated representatives, and contractors must be aware of the personnel recovery architecture that is designed to support their recovery. Isolated personnel training provides information on the processes and actions required if someone is isolated from friendly control. This training includes individual survival, evasion, resistance, and escape (SERE) training, as specified by the requiring activity and supported by JFC and the Service component. SERE 100 is a universal basic requirement for all theaters.
The four phases of contracting support that typically occur during contingencies are mobilization and initial deployment, buildup, sustainment, and termination and redeployment (as depicted in Figure 5).
Phase I: mobilization and initial deployment. This phase is normally the first 30 to 45 days of a deployment and is characterized by an extremely high operations tempo, confusion, and controlled chaos. CCOs should take care of themselves first. CCOs should be prepared to procure and request the items needed to set up contracting operations immediately upon arrival. CCOs should take the following actions immediately after entering the theater because such actions are essential in supporting an effective contingency contracting organization:
- Obtain a low-profile security vehicle (assigned or rented) for the CCO’s dedicated use in making purchases, establishing supply sources, and picking up supplies in the local market.
- If necessary, at the earliest opportunity, obtain an interpreter or guide who not only is bilingual, but also is familiar with the local culture and market area. If possible, contact the local US embassy for assistance. In addition, contact the local CID, OSI, and NCIS to conduct a brief background check or to interview the interpreter candidate, thereby increasing antiterrorism protection and determining whether any risks are associated with the local interpreter and associated ties to the community. Host nation business schools are an excellent source of qualified translators.
- Identify an approved medical authority (e.g., veterinarians, public health office, and medical doctors) for all ice, water, and food purchases. The Approved Food Sources link on the US Army Veterinarian website provides locations by theater at http://vetcom.amedd.army.mil/.
- Establish contact with the nearest component personnel recovery coordination center (PRCC) or the Joint Task Force’s Joint Personnel Recovery Center (JPRC). Fill out DD Form 1833, and submit it electronically to the PRCC or the JPRC.
- Establish suitable communications (such as mobile radios and telephones for the office and mobile unit), including at least one Class A telephone with Defense Switched Network (DSN) and off-base access to ensure that customers and vendors can contact the CCO.
- Identify a paying agent to accompany the CCO with currency for local purchases when necessary.
- Review applicable COCOM policies and procedures.
- Contact the HCA designee, existing military installations in the deployment area, or, in the absence of these, the US embassy or consulate in the host nation for guidance on contracting information or HNS agreements.
- Obtain a central, but separate, location with adequate and secure floor space that is near customers, other contracting support functions, the staff judge advocate, and logistics activities. Give consideration to the location of contracting offices with respect to vendor accessibility. The main contracting office should be separate from individual billeting and should be located near the J4 or G4 personnel from whom the CCO typically obtains the majority of relevant requirements and planning guidance. If this is not possible, consider establishing the contracting office in a local hotel with appropriate business amenities, which facilitates access to fax services, computer services, translators, telephones, copiers, and Internet access; provides a certain degree of security; and also helps contractors locate the office for business purposes. The location of the contracting office depends on the tactical situation and logistical scheme of operations.
- Obtain maps of adjacent towns or settlements and conduct personal visits to learn the availability of necessary items, supplies, and services. Mark maps and prepare source lists, as discussed at http://www.jpra.jfcom.mil/.
- Secure telephone books of the local area, if available. Maps and source lists should be updated as new information becomes available. Source lists should be annotated to reflect those contractors that will provide a 24-hour emergency response.
- Work with the JFC to establish good working relations with local officials, and keep the JFC informed about contracting matters.
- Identify personnel, by name or position, who are authorized to approve PRs as well as the name of the individual (or office) providing the funding source.
- Work with the subordinate JFC, SCO, and RCC chief to establish a combatant commander logistics procurement support board or some type of system for customers to submit PRs for local acquisitions to (1) update customer training to orient customers to the purchasing system as soon as practical and (2) adapt the system to suit local conditions.
- Appoint CCO representatives, and provide applicable training.
- Appoint decentralized OOs within functional areas, as necessary, with CCO-supervised purchasing authority up to the maximum order limit of the IDIQ contract, requirements contract, or blanket purchase agreement (BPA).
- Train OOs, field ordering officers, and GCPC holders in the use of simplified acquisition procedures and funds accountability.
- Train procurement purchasing officers about using Commanders’ Emergency Response Program (CERP) funds.
- Identify functional personnel who deployed with a GCPC and home station funding.
- Coordinate and control purchase card activity according to PR approval procedures to achieve economical purchases and avoid duplication of purchased resources.
- Advise deployed cardholders about local market conditions, limitations, and statement reconciliation procedures.
- Contact DCMA, the CAP liaison, USACE, and JCASO forward-deployed team.
Initial requirements. The CCO should be able to determine initial requirements without any great effort. One of the CCO’s first priorities is basic life support requirements because the CCO provides contracting support for the arrival of initial forces. These forces will require supplies and services for the initial beddown, including food, potable water, shelter, transportation, communications, office supplies, computer and fax equipment, power adapters, ground fuel, heavy equipment rentals, laundry and bath services, refuse and sanitation services, utilities, interpreters, force protection measures, and quality-of-life services. During this phase, CCOs may find themselves in the undesirable position of serving as the requestor, approving official, certifying officer, and transportation office for deliveries because the CCO must be prepared to award contracts immediately upon arrival at the deployment site. Consequently, it is important for the CCO to have access to boilerplate statements of work (SOWs), PIIN logs, contracting forms, and other documents as required. Boilerplate items should be preloaded onto the CCO’s laptop and included in hard copy in the contingency contracting kit. SF 44s, purchase orders, the GCPC, and BPAs will be the primary contracting methods that the CCO uses in this phase. The contracting statements that are incorporated in a solicitation and award are defined as follows:
- Statement of objectives. The statement of objectives (SOO) is a government-prepared document that is incorporated in the solicitation that states overall performance objectives. The government uses a SOO in solicitations when it intends to provide maximum flexibility to each offeror to propose an innovative approach.
- Statement of work. The customer provides the SOW to explain the work to be accomplished on a requested project. Details might include the general scope of work, complexity, purpose of the supplies or services that the government will acquire under the contract, place of performance, standards to be followed, procedures for evaluating the results, and other pertinent requirements.
- Performance work statement. The performance work statement (PWS) is a SOW for performance-based acquisitions that describes the required results in clear, specific, and objective terms with measurable outcomes. The PWS should be written concurrently with a quality assurance surveillance plan (QASP). The QASP is a government-prepared document that defines the process for evaluating contractor performance.
Phase II: Joint reception, staging, onward movement, and integration. The Joint reception, staging, onward movement, and integration (JRSOI) phase is characterized by a reception and beddown of the main body of deploying forces. In this phase, additional contracting, contract support, and DCAA audit support personnel generally will arrive with their units, although not necessarily at a rate commensurate with the number of troops to be supported. CCO priorities during this phase will continue to be responsiveness to life support requirements, but attention must also be given to the following actions:
- Gain effective command and control over contracting and contracting support personnel.
- Coordinate with the unit commander and the JPRC or PRCC for inclusion in force protection and personnel recovery plans.
- Develop procedures that will best support the customer’s needs. This action will entail establishing a set of rules for customers to follow when submitting requirements. The rules will include instructions on purchase descriptions, funding, approval channels, contract processing, finance and supply coordination, pickup and delivery procedures, and quality control responsibilities. The rules will also address consolidating requirements, if possible, to avoid unnecessary trips to the contracting office when the deployed units are located at remote sites. The main thrust of the plan is to familiarize customers with the in-theater environment, mission, and procedures to expedite purchasing and service contracting.
- Coordinate with the deployed unit commander, who will identify personnel, by name or position, who are authorized to approve PRs and the name of the individual or office providing the funding source. In addition, the unit commander should advise all personnel that only the CCO and duly appointed representatives are authorized to obligate the US government for purchases and should direct all personnel that no undue pressure or command influence should be placed on CCOs or appointed representatives to purchase any goods or services that violate laws and regulations.
- Implement procedures with the finance staff to ensure that funds are available to pay for purchases and that transactions are properly recorded. Related instructions should identify any restrictions on equipment or services that are not properly chargeable to the appropriations cited.
- Comply with the policy that CCOs should not be assigned as paying agents of the disbursing office. This policy improves internal controls over the distribution of funds to the contractor, avoids a potential conflict of interest for the CCO, and makes the CCO less susceptible to personal risk.
- Confirm that security personnel shall be notified when a significant amount of cash ($10,000 or more) will be moved (as described in DoD Financial Management Regulation, Volume 5, Chapter 3).
- Continue working with the JFC to establish good working relationships with local officials and local vendors and to keep the JFC informed about contracting matters.
- Continue to appoint and train representatives.
- Attend all logistics and engineering key meetings and establish communications with liaison officers and commanders. Attend daily intelligence and operations meetings. Provide early and frequent briefings to the commander, subordinate commanders, logisticians, and engineers.
- Establish contact and coordination with finance, comptroller, host nation liaison, civil affairs, legal, logistics, contract support, and audit support personnel.
- Establish nonappropriated funds (NAF) contracting procedures to support quality-of-life programs. Implement procedures acceptable to the assigned commander and the chief of morale, welfare, recreation, and services that address (1) formats for NAF contracting and NAF orders for supplies or services, (2) approval and signature authority for NAF contracting, (3) approval and signature authority for NAF contracting, (4) use of SF 44s or cash to make local purchases of supplies and resale merchandise, and (5) use of BPAs and concession contracts.
- Establish BPAs that consolidate requirements into purchase orders and contracts rather than using high-volume and physically time-consuming cash transactions.
- Help in establishing property books and accountability.
Phase III: sustainment. This phase provides contracting support from the completion of the buildup phase until the beginning of the redeployment of the force. This phase includes stability and reconstruction operations, which are now a core DoD mission elevated to the same priority as combat missions and sustainment operations.
Sustainment. The contracting activity during this phase will expand into contracts for enhanced quality of life, more permanent facilities and equipment, and additional office supplies, tools, equipment, and discretionary services. Contingency contracting operations will focus on the business advisor role, file documentation, cost reduction, and other efficiencies. CCO priorities during the sustainment phase are as follows:
- Establish long-term contracts (IDIQ requirements contracts and additional BPAs), and consolidate requirements wherever possible to achieve economies of scale, reduce costs, and mitigate risks. Emphasize the use of performance-based SOWs to avoid unnecessary costs as well as contracting with reliable sources at reasonable prices.
- Improve file documentation of contracting actions and internal controls.
- Increase competition and depth of vendor base.
- Establish agreements with the other Services and agencies to share contract arrangements (e.g., transportation, laundry, other functions).
- Establish procedures to acquire local purchase items that are not available in the AOR. Consider alternatives such as (1) stateside support from the unit home base; (2) contracting offices in the vicinity of the deployment, but outside the AOR; (3) stateside location to receive, process, and forward items to the deployment site; (4) Army Air Force Exchange Service or Navy Exchange Service if available at the deployment site; and (5) DLA.
- Minimize the use of letter contracts and undefinitized contract actions. Verify that documentation is sufficient for purchases made during initial buildup. Document all contracting actions in sufficient detail to provide an audit trail of the acquisition. Include the PR, award document, justification of fair and reasonable price (if required), receiving reports, invoices, and final payment vouchers.
- Plan for transition to follow-on forces or for termination and redeployment.
- Minimize claim backlogs.
- Minimize cash payments, and use electronic funds transfer as much as possible.
Stability and reconstruction operations. Stability and reconstruction operations are defined as contingency contracting performed during peacekeeping operations, combat operations, and post-conflict operations, including stabilization and reconstruction operations involving interagency operations, if required. Stability and reconstruction actions include overseeing contracts and ensuring that US commanders deployed in foreign countries are able to secure contract support rapidly. Oversight may be needed to ensure Joint and cross-service coordination. Contracting support for stability operations can be a tremendous challenge to the JFC, especially when the JFC mission requires significant contracting support for major reconstruction actions and restoration of essential government services. Normally, this reconstruction-related contracting effort will be performed in support of the chief of mission, but in some cases may be conducted in direct support of the JFC. Additional information is provided in DoDD 3000.05, “Stability Operations.”
Phase IV: termination and redeployment. This phase is characterized by significant pressure and urgency to send the troops home. Typical new requirements include packing, crating, and freight services; construction and operation of wash racks for vehicles; and commercial air passenger services if United States Transportation Command (USTRANSCOM) is not providing that service. The CCO will be required to terminate and close out existing contracts and orders. Ratifications and claims must be processed to completion. Contracting for life support services must continue until the last troops leave. When a follow-on force is required, the CCO must prepare contracts and files for delegation or assignment to the incoming contracting agency, such as the DCMA and the United Nations. Often, the CCO can expect to be one of the last personnel to leave the area. A list of common items that a CCO should consider—and some valuable lessons learned once a CCO is notified about a contingency termination or redeployment—is included on the handbook website and DVD (under the Additional Text topic and the Redeployment topic).
Many supplies and services for any contingency operation can be obtained through the logistics supply pipeline established for the operation. (Table 3 lists the basic supply classes.) Therefore, before initiating any local acquisition for supplies and services, the CCO must ensure that requiring officials have exhausted the established logistics supply pipeline and that the supply pipeline cannot provide the required supplies or services to meet mission needs in a timely manner.
Table 3. Supply Classes
In any contingency operation, quality acquisition support for the commander is critical to mission accomplishment. As stated previously, virtually all requested services, supplies, and construction will be urgent and high priority. Local procurement actions should be initiated only when the following have been exhausted:
- Basic deployment kits and prepositioned items. CCOs should check with the J4 network to determine whether basic deployment kits and prepositioned items are readily available before making a local purchase. Harvest Eagle and Harvest Falcon are two examples of deployment kits that, combined, are known as the Air Force Basic Expeditionary Airfield Resources (BEAR) program. The BEAR program is designed and sized to support simultaneous major theater wars. The equipment provided in these two kits gives theater warfighters the capability to support a total of 68,200 combat troops and 822 aircraft at austere locations, working from the ground up to build complete bases.
- Other required government sources. CCOs must comply with FAR Part 8 and DFARS Part 208, which establish required sources for supplies and services throughout the government, DoD, General Services Administration (via federal supply schedules), and other agencies. Legal advisors to an operation also must become familiar with FAR Part 8 and DFARS Part 208 to ensure that contracting officials in any operation must fully use these sources.
- Host nation and allied forces supply sources. CCOs also must become familiar with the supplies and services that the host nation has agreed to supply under any applicable HNS agreements for the operation. Allied forces that are contingency partners might have agreed to provide supplies or services pursuant to implementing an arrangement to an ACSA. A memorandum of understanding (MOU) or protocol to the implementing arrangement might have been executed for the contingency. However, if the host nation has agreed to supply an item, contracting for such an item may be considered fraud, waste, and abuse.
- Interservice support agreements. These agreements cover actions by one military Service or element to provide logistics or administrative support to another military Service or element. Such actions can be recurring or nonrecurring on an installation, in an area, or even worldwide.
- Contingency (coalition) partners. Allied forces who are contingency partners might have agreed to provide supplies or services pursuant to an implementing arrangement to an ACSA. An MOU or protocol to the implementing arrangement might have been executed for the contingency.
Types of contracted support. It is important for CCOs to understand the different types of contracts that are commonly used to support contingency operations. Support contracts can be broken down into three categories: theater support contracts, systems support contracts, and external support contracts. These three categories are key to adequately describing the numerous contracting and contract administration authorities that provide support in the operational area and to outlining the limits on the JFC’s ability to control or influence these different types of contracted support (also discussed in Chapter 5 and Chapter 8). The characteristics of these three contract categories are described in this section.
Theater support contracts. Theater support contracts are awarded by contracting officers in the operational area, serving under the direct contracting authority of the Service component, special operations forces command, or designated Joint HCA for the specific contingency operation. During a contingency, theater support contracts are normally executed under expedited contracting authority and provide supplies, services, and construction from commercial sources that, in general, are in the operational area. Theater support contracts are typically associated with contingency contracting. Also important from the contractor management perspective are the local national personnel who make up the bulk of the theater support contract employees.
Theater support contracts are most commonly referred to as contingency contracts. Theater support contracting can be used to acquire support from commercial sources, similar to external support contract services. In addition, theater support contracting can be used to acquire commercially available supply items from both local and global sources.
Additional details on Service theater support contracting organizations and capabilities are furnished in JP 4-10, Appendix C, “Services’ Theater Support Contracting Organizations and Capabilities.”
Systems support contracts. Systems support contracts are awarded by a military department acquisition PMO that provides technical support, maintenance, and (in some cases) repair parts for selected military weapon and support systems. Systems support contracts are routinely put in place to support newly fielded weapons systems, including aircraft, land combat vehicles, and automated command and control systems. Systems support contracting, contract management, and program management authority reside with the military department systems materiel acquisition program offices. Systems support contractor employees, mostly US citizens, provide support in garrison and often deploy with the force in both training and contingency operations.
Much of a Service component’s equipment is maintained either partially or fully through contracted logistics support. Often there is no military or other support alternative for the support provided by the original equipment manufacturer (OEM) through field service representatives (also referred to as tech reps). These support contracts are generally issued when the military department systems contracting activities award the original systems contracts. Because such support is generally awarded long before a particular deployment requirement, the GCC and subordinate JFC must be cognizant of the impact of overly restrictive CAAF theater entrance requirements. The main JFC concern with the use of systems support contracts in military operations is related to contractor personnel management issues.
Individual Services need to ensure that their systems support contracts contain appropriate deployment clauses in accordance with the FAR and DFARS and also adhere to DoD and Service policies. Before deploying contractor personnel into the operational area, systems support contracting officers, in coordination with the supported units, must ensure that contractor personnel have met specific theater entrance requirements. In addition, the supported GCC and subordinate JFC must confirm that the theater entrance requirements and other operationally specific contractor management directives are published, updated, and readily available so that the systems support contractor personnel, contracting officer, and supported units are aware of these requirements. This logistics support requirement and the accountability of contractor personnel in the operational area are the main focus of the supported GCC and subordinate JFC in regard to planning and execution of systems support contracts.
DoDI 3020.41, “Contractor Personnel Authorized to Accompany the US Armed Forces,” is the primary DoD policy document that covers contractor personnel deployment and other contractor personnel integration policy. In addition, an overview of Service systems support contracts and management capabilities is included in JP 4-10, Appendix A, “Services’ Systems Support Contract Overview.”
External support contracts. External support contracts are awarded by contracting organizations with a contracting authority that does not derive directly from the theater support contracting HCAs or from systems support contracting authorities. External support contracts provide a variety of logistics and other noncombat-related services and supply support. External support contracts are illustrated by the Services’ CAP contracts, including the Army LOGCAP, Air Force AFCAP, Navy GCCC and GCSC, DLA prime vendor contracts, and Navy fleet husbanding contracts. External support contracts normally include a mix of US citizens, third-country nationals, and local national contractor employees.
External support contracts are often used to provide significant logistics support and selected nonlogistics support to the Joint forces. The type and scope of this support vary among operations, but can be very extensive depending on a variety of operational factors. In addition, in some operations, DLA may use existing contracts or award new prime vendor contracts to furnish selected supply support (primarily subsistence and bulk fuels) during contingency operations. Other examples of external support contracts include fuel contracts awarded by the Defense Energy Support Center, construction contracts awarded by USACE, contracts awarded by the Air Force Center for Engineering and the Environment, and translator contracts awarded by the Army Intelligence and Security Command.
Similar to the authority for systems support contracts, external support contracting authority does not directly result from the contingency operation. In general, these contracts are issued during peacetime for use during contingencies. The Army LOGCAP requirements are managed by the Army Sustainment Command (ASC), and the contracts are awarded and managed by the Army Contracting Command (ACC). ASC and ACC are major subordinate commands of the US Army Materiel Command (AMC). For the GCC, this means that contracting authority, and therefore the ability to modify LOGCAP task orders, resides with AMC (or designated DCMA ACOs), not with the theater support contracting HCA. It is important to understand that these CAP and other external support contracts remain under the control of the Service components and do not normally fall under the authority of the GCC operational contract support.
The JFC should know that CAP support contracts are generally more expensive than theater support contracts because of the overhead, management, general, and administrative charges associated with external support contracts. Although logistics planners must make allowances for CAP contracts early in the contingency, every effort should be made to transition individual CAP task orders to theater support contracts as soon as practical. Of course, operation-specific factors such as security considerations, availability of local sources of support, and on-hand theater support contracting management capabilities will be the actual drivers of the number of these CAP task orders that can be transferred to theater support contracts and how rapidly that transfer occurs. Additional details on the Service CAP organizations and capabilities are included in JP 4-10, Appendix B, “Services’ External Support Contract Overview.”
Coordination of theater support and external support contracting effort. It is very important for the J4 staff to ensure that the CSIP synchronizes the theater support, Service CAP, and any DLA contracting efforts to avoid undue competition for the same locally available supplies, equipment, and subcontractor employees. Without proper coordination, this competition between CAP and theater support contracts will inevitably drive up the prices of local goods and services and could create shortages.
Interagency support. Similar to multinational support, US forces may be required to provide common user logistics support for governmental actors as well as international bodies such as the United Nations and nongovernmental organizations (NGOs) such as the International Red Cross. Contracting officers must be aware of NGOs operating in the area, their status with both the host nation and the US military, and the parameters restricting support to and from the NGO before entering into any contractual arrangement where the NGO is either the supplier or customer.
In many operations, interagency support can be limited in scope and might not pose a significant challenge to the JFC; however, in some stability operations, this support can be much more significant, as discussed in the next section. In most cases, a lead Service will provide this support through theater support contracts, CAP task orders, or a combination of both. The key to the success of interagency support is establishing clear communication channels to the supported organization and collecting requirements as early as possible in the planning cycle.
Theater support contracting organization capabilities differ among military Services. On the basis of the individual mission and organization, each Service has its own approach to developing, training, and deploying contracting personnel. Although differing in organization, training, and experience, each Service must have its contracting personnel meet the Defense Acquisition Workforce Improvement Act (DAWIA) certification requirements. However, knowing the organizational approaches, capabilities, strengths, and weaknesses of each Service can help the JFC maximize the capabilities provided by each Service.
Air Force. The Air Force has a large theater support contracting capability and meets its needs for such support as follows:
- Develop enlisted and officer military contracting professionals, who are expected to spend the majority of their careers in the contracting field
- Augment the Air Force home-base contracting experience with contingency training and exercises
- Organize all military personnel for potential deployment, using flexible modular skills packages called unit type codes (UTCs)
- Employ staff members in a predictable, structured, and managed aerospace expeditionary force deployment process.
Air Force policy is that military contracting officers spend the majority of their careers gaining expertise through a progression of home-based contracting assignments. These assignments include acquisition and administration of operational support services, construction, and commodities. Many contracting officers gain experience in logistics and weapon system acquisition as well. All of these skills are applicable to the contracting requirements they will face during contingencies.
The Air Force organizes and deploys CCOs via skill and capability mixes called unit type codes (UTCs). Each UTC specifies a package of capabilities based on the supported population, completion of requisite acquisition professional development program levels, needed equipment, number of contracting personnel required, and grade restrictions, if any. UTCs give combatant commanders a highly modular, flexible contracting force. The Air Force deployment packages are generally skill based, not rank dependent. Because of the rigorous Air Force training requirements, the Air Force maintains a large and experienced group of enlisted contracting officers.
Army. The Army recently moved to a modular approach in its contingency contracting structure. The Army’s core of military commissioned officers and noncommissioned officers (NCOs), trained as CCOs, is now part of a separate, O-6–level Contracting Support Brigade (CSB). These CSBs are assigned to the Expeditionary Contracting Command, a major subordinate command of the Army Contracting Command, but are regionally aligned to the existing Army Service component command headquarters. The Army CSBs are composed of contingency contracting battalions and contingency contracting teams. CSB commanders are responsible for the training and readiness of their subordinate units. The CSB is the primary contracting support planner, advisor, and contingency contracting command commander for the theater Army. Senior contingency contracting teams (SCCTs) fall under the CSB commander’s acquisition authority.
Each of the Army’s modular contracting units trains and deploys as a unit and provides general support to better meet and address contingency operation requirements.
In addition to its uniformed CCOs and NCOs, the Army has two other methods to supplement its formal contingency contracting force structure, by deploying Department of the Army civilian contracting specialists and by using its Emergency Essential Department of the Army Civilian (EEDAC) program. EEDAC (1102) contract specialists volunteer to deploy via the Army G3 Worldwide Individual Augmentation System. EEDAC contracting officers deploy as required based on the level of support required, phase of operation, and local security conditions.
Navy. The Navy contingency contracting capability is based on the following two principles:
- The Navy does not maintain a dedicated contingency contracting force. Instead, naval officers and civilians, assigned to field contracting and systems acquisitions commands performing contracting functions, are deployed as CCOs as operations dictate.
- The Navy leverages a network that provides global logistics support to maritime and expeditionary forces.
When a combatant commander identifies a long-term requirement and obtains the necessary contingency contracting staffing through the Joint staffing document process, contracting officer billets sourced by the Navy would result in the assignment of a uniformed contracting officer as an individual augmentee or as a Global War on Terrorism support assignment staff member; both personnel assignments are currently managed at the Navy-wide level by the Fleet Forces Command, with recommendations by the Navy Personnel Command. Civilian contracting officers are not used in either the individual augmentee or the Global War on Terrorism support programs.
Marine Corps. The Marine Corps has a limited number of uniformed contingency contracting personnel who deploy as part of a Marine air-ground task force (MAGTF). The MAGTF contracting section develops a contract support plan as part of the overall logistics support plan, which includes the number of personnel to be deployed. In general, the Marine Corps does not deploy civilian contracting professionals to support contingency operations. In addition, Marine Corps contracting officers do not contract for construction and do not possess the necessary skill sets to support major reconstruction efforts. The Marine Corps Institute Contingency Contracting Manual is available at https://cmpg.hqi.usmc.mil/.
Defense Logistics Agency. DLA is responsible for providing effective and efficient worldwide logistics support to military departments and COCOMs under conditions of peace and war; other DoD components and federal agencies; and, when authorized by law, state and local government organizations, foreign governments, and intergovernmental organizations. The DLA director reports to the OUSD (AT&L) through the Deputy Under Secretary of Defense for Logistics and Materiel Readiness. DLA also has its own contracting authority and can provide supply and service contracting during contingency operations. DoD established DLA JCASO to advance acquisition management of OCS and, when requested by the combatant commander, to deploy as an enabling Joint staff organization to augment the combatant commander staff for OCS support.
JP 4-10, Appendix B, “Services External Support Contract Overview,”offers additional details on the capabilities and deployed organizational structure of DLA.
Defense Contract Management Agency. DCMA is responsible for ensuring that major DoD acquisition programs (e.g., for systems, supplies, and services) are delivered on time and within projected cost or price and also meet performance requirements. DCMA’s major role and responsibilities in contingency operations are to furnish contingency contract administration services (CCAS) for delegated external support contracts, selected weapons system support contracts with place of performance in the operational area, and theater support contracts when CCAS is delegated by the PCO.
JP 4-10, Appendix D, “Defense Contract Management Agency Contingency Functions and Capabilities,” provides additional details on the capabilities and deployed organizational structure of DCMA.
Defense Contract Audit Agency. Although not a combat support agency, DCAA provides invaluable in-theater support. DCAA is under the authority, direction, and control of the Under Secretary of Defense (Comptroller). DCAA shall perform all necessary contract audits for DoD and shall provide accounting and financial advisory services regarding contracts and subcontracts to all DoD components responsible for procurement and contract administration. These services shall be furnished in connection with the negotiation, administration, and settlement of contracts and subcontracts to ensure that taxpayer dollars are spent on fair and reasonable contract prices. DCAA shall provide contract audit services to other federal agencies as appropriate.
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- Chapter 4 PowerPoint Briefing
- Chapter 4 Test Questions
- Trainings Related to Chapter 4
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- Topical Index webpages
- Acquisition Planning
- After Action Reports (AAR)
- Agreements: ACSAs and SOFAs
- Contractors Authorized to Accompany the Force (CAAF)
- Host Nation Support
- Initial Setup Actions
- NATO Taskings
- Predeployment Planning
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