DoDI 3020.41, December 20, 2011, Incorporating Change 2 on August 31, 2018

Department of Defense

INSTRUCTION

NUMBER 3020.41

December 20, 2011

Incorporating Change 2, August 31, 2018

USD(A&S)

SUBJECT: Operational Contract Support (OCS)

References: See Enclosure 1

1. PURPOSE. This Instruction:

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

b. Establishes policy, assigns responsibilities, and provides procedures for OCS, including

OCS program management, contract support integration, and integration of defense contractor

personnel into contingency operations outside the United States in accordance with the guidance

in DoD Directive (DoDD) 3020.49 (Reference (b)) and the authority in DoDD 5134.01

(Reference (c)).

2. APPLICABILITY. This Instruction applies to:

a. Office of the Secretary of Defense, the Military Departments, the Office of the Chairman

of the Joint Chiefs of Staff (CJCS) and the Joint Staff, the Combatant Commands, the Office of

the Inspector General of the Department of Defense, the Defense Agencies, the DoD Field

Activities, and all other organizational entities within the DoD (hereinafter referred to

collectively as the “DoD Components”).

b. DoD operations (contingency, humanitarian assistance, and other peace operations)

outside the United States; other military operations as determined by a Combatant Commander

(CCDR); or as directed by the Secretary of Defense (hereinafter referred to collectively as

“applicable contingency operations”).

3. DEFINITIONS. See Glossary.

4. POLICY. It is DoD policy that:

DoDI 3020.41, December 20, 2011

Change 2, 08/31/2018

a. OCS actions (e.g., planning, accountability, visibility, deployment, protection, and

redeployment requirements) shall be implemented to:

(1) Incorporate appropriate contingency program management processes during

applicable contingency operations.

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

agreements.

(3) Use contract support only in appropriate situations consistent with subpart 7.5 of the

Federal Acquisition Regulation (FAR), subpart 207.503 of the Defense Federal Acquisition

Regulation Supplement (DFARS), and DoDI 1100.22 (References (d), (e), and (f)).

(4) Fully consider, plan for, integrate, and execute acquisition of, contracted support,

including synchronizing and integrating contracted support flowing into an operational area from

systems support, external support and theater support contracts, and managing the associated

contractor personnel, into applicable contingency operations consistent with CCDR policies and

procedures and Joint Publication (JP) 4-10 (Reference (g)).

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

However, in austere, uncertain, and/or hostile environments, the DoD may provide logistical

support to ensure continuation of essential contractor services. Contractors authorized to

accompany the force (CAAF) may receive Government-furnished support commensurate with

the operational situation in accordance with the terms and conditions of their contract.

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

(1) That CAAF deploying from outside the operational area be processed through formal

deployment (replacement) centers or a DoD-approved equivalent process prior to departure, and

through in-theater reception centers upon arrival in the operational area, as specified in

Enclosure 2.

(2) That contractors provide personnel who are medically, dentally, and psychologically

fit, and if applicable, professionally tested and certified, to perform contract duties in applicable

contingency operations. Enclosure 2 details medical support and evacuation procedures.

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

(3) Solicitations and contracts address any applicable host country and designated

operational area performance considerations.

d. Contracts for highly sensitive, classified, cryptologic, and intelligence projects and

programs shall implement this Instruction to the maximum extent practicable, consistent with

applicable laws, Executive Orders, Presidential Directives, and DoD issuances.

DoDI 3020.41, December 20, 2011

Change 2, 08/31/2018

e. In applicable contingency operations, contractor visibility and accountability shall be

maintained through a common joint database, the Synchronized Predeployment and Operational

Tracker (SPOT) or its successor.

5. RESPONSIBILITIES. See Enclosure 4.

6. INFORMATION COLLECTIONS. The SPOT System, referred to throughout this issuance,

has been assigned OMB control number 0704-0460 in accordance with the procedures in

Volume 2 of DoD Manual 8910.01 (Reference (bs)). The expiration date of this information

collection is listed on the DoD Information Collections System at

https://eitsdext.osd.mil/sites/dodiic/Pages/default.aspx.

7. PROCEDURES. See Enclosures 2 and 3.

8. RELEASABILITY. Cleared for public release. This Instruction is available on the DoD

Issuances Website at http://www.dtic.mil/whs/directives.

9. SUMMARY OF CHANGE 2. This change corrects the information collections and reassigns

the office of primary responsibility for this instruction to the Under Secretary of Defense for

Acquisition and Sustainment in accordance with the July 13, 2018 Deputy Secretary of Defense

Memorandum (Reference (bt)).

9. EFFECTIVE DATE. This Instruction is effective December 20, 2011.

Frank Kendall

Acting Under Secretary of Defense

for Acquisition, Technology and Logistics

Enclosures

1. References

2. Procedures

3. Guidance for Contractor Medical and Dental Fitness

4. Responsibilities

Glossary

DoDI 3020.41, December 20, 2011

Change 2, 08/31/2018 CONTENTS

TABLE OF CONTENTS

ENCLOSURE 1: REFERENCES ...................................................................................................6

ENCLOSURE 2: PROCEDURES ................................................................................................10

REQUIREMENTS, RELATIONSHIPS, AND RESTRICTIONS ..........................................10

OCS PLANNING ....................................................................................................................12

DEPLOYMENT AND IN-THEATER ADMISSION REQUIREMENTS AND

PROCEDURES..................................................................................................................15

CONTRACTOR THEATER MANAGEMENT REQUIREMENTS .....................................21

REDEPLOYMENT PROCEDURES ......................................................................................26

ENCLOSURE 3: GUIDANCE FOR CONTRACTOR MEDICAL AND

DENTAL FITNESS .................................................................................................................28

GENERAL ...............................................................................................................................28

MEDICAL AND DENTAL EVALUATIONS .......................................................................28

GLASSES AND CONTACT LENSES ...................................................................................29

MEDICATIONS ......................................................................................................................29

COMFORT ITEMS .................................................................................................................30

IMMUNIZATIONS .................................................................................................................30

HUMAN IMMUNODEFICIENCY VIRUS (HIV) TESTING ...............................................30

ARMED FORCES REPOSITORY OF SPECIMEN SAMPLES FOR THE

INDENTIFICATION OF REMAINS (AFRSSIR) ............................................................31

PRE-EXISTING MEDICAL CONDITIONS ..........................................................................31

CONDITIONS USUALLY PRECLUDING MEDICAL CLEARANCE ...............................32

EXCEPTIONS TO MEDICAL STANDARDS (WAIVERS) .................................................35

ENCLOSURE 4: RESPONSIBILITIES .......................................................................................36

USD(AT&L) ............................................................................................................................36

DIRECTOR, DPAP .................................................................................................................36

DASD(PS)................................................................................................................................37

DIRECTOR, DEFENSE LOGISTICS AGENCY (DLA) .......................................................38

DIRECTOR, DEFENSE CONTRACT MANAGEMENT AGENCY

(DCMA)...................................................... ...................................................................... 39

UNDER SECRETARY OF DEFENSE FOR INTELLIGENCE (USD(I)) .............................39

ASD(HA) .................................................................................................................................39

DEPUTY ASSISTANT SECRETARY OF DEFENSE FOR READINESS

(DASD(READINESS)) .....................................................................................................39

DIRECTOR, DEFENSE MANAGEMENT DATA CENTER (DMDC) ................................40

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

FINANCIAL OFFICER (CFO), DEPARTMENT OF DEFENSE ...................................40

DoDI 3020.41, December 20, 2011

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SECRETARIES OF THE MILITARY DEPARTMENTS AND DIRECTORS OF THE

DEFENSE AGENCIES AND DOD FIELD ACTIVITIES ..............................................40

CJCS ........................................................................................................................................42

GEOGRAPHIC CCDRS AND CDRUSSOCOM ...................................................................42

FUNCTIONAL CCDRS ..........................................................................................................45

GLOSSARY ..................................................................................................................................46

PART I: ABBREVIATIONS AND ACRONYMS ................................................................46

PART II: DEFINITIONS ........................................................................................................48

DoDI 3020.41, December 20, 2011

Change 2, 08/31/2018 ENCLOSURE 1

ENCLOSURE 1

REFERENCES

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

Forces,” October 3, 2005 (hereby cancelled)

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

Management of Contingency Acquisition Planning and its Operational Execution,”

March 24, 2009

Logistics (USD(AT&L)),” December 9, 2005, as amended

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

Acquisition Regulation, current edition

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

Regulation Supplement, current edition

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

April 12, 2010

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

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

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

1949

(j) Sections 7(9), 2441, and 3261

of title 18, United States Code

(k) Sections 133, 153, 155, 235, 2330a and 2463 and chapter 47

of title 10, United States

Code

(l) Secretary of Defense Memorandum, “UCMJ Jurisdiction Over DoD Civilian Employees,

DoD Contractor Personnel, and Other Persons Serving With or Accompanying the Armed

Forces Overseas During Declared War and in Contingency Operations,” March 10, 2008

(m) DoD Directive 1000.20, “Active Duty Service Determinations for Civilian or Contractual

Groups,” September 11, 1989

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

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

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

Activities,” May 29, 2003, as amended

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

Implementation Guidance,” May 28, 2009

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

National Defense Authorization Act for Fiscal Year 2008 (FY 2008 NDAA) – Guidelines

and Procedures on In-Sourcing New and Contracted Out Functions,” April, 4, 2008

(s) Chairman of the Joint Chiefs of Staff Manual 3122.02C, Joint Operation Planning and

Execution System (JOPES) Volume III, “Crisis Action Time-Phased Force and

Deployment Data Development and Deployment Execution,” May 21, 2015

Also known as “The Military Extraterritorial Jurisdiction Act of 2000 (MEJA), as amended”

Also known as “The Uniform Code of Military Justice (UCMJ)”

Available to authorized users at https://ca.dtic.mil/cjcs_directives/cjcs/manuals.htm. Electronic access to this

directive is restricted by the Joint Staff Office of Primary Responsibility

DoDI 3020.41, December 20, 2011

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

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

(w) DoD Directive 5205.02E, “DoD Operations Security (OPSEC) Program,” June 20, 2012

(x) DoD Instruction 5000.02, “Operation of the Defense Acquisition System,” January 7,

2015, as amended

(y) Subpart 225.74 of the Defense Federal Acquisition Regulation Supplement – Procedures,

Guidance and Information, current edition

(z) DoD Foreign Clearance Guide, current edition

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

2008,” January 28, 2008

(ab) DoD Directive 5160.41E, “Defense Language, Regional Expertise, and Culture (LREC)

Program,” August 21, 2015, as amended

(ac) Chairman of the Joint Chiefs of Staff Manual 3150.13C, “Joint Reporting Structure –

Personnel Manual,” March 10, 2010

(ad) Deputy Under Secretary of Defense (Logistics and Materiel Readiness) and Deputy Under

Secretary of Defense (Program Integration) Memorandum “Designation of Synchronized

Predeployment and Operational Tracker (SPOT) as Central Repository for Information on

Contractors Deploying with the Force,” January 25, 2007

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

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

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

Enterprise (DoD IE),” March 17, 2016

(ah) DoD Instruction 8320.02, “Sharing Data, Information, and Technology (IT) Services in

the Department of Defense,” August 5, 2013

(ai) DoD Instruction 8330.01, “Interoperability of Information Technology (IT), Including

National Security Systems (NSS),” May 21, 2014(aj) DoD Directive 8500.01, “

Cybersecurity,” March 14, 2014

(ak) DoD Instruction 1000.13, “Identification (ID) Cards for Members of the Uniformed

Services, Their Dependents, and Other Eligible Individuals,” January 23, 2014

(al) DoD Manual 1000.13, Volume 1, “DoD Identification (ID) Cards: ID Card Life-Cycle,”

January 23, 2014

(am) DoD Instruction 4161.02, “Accountability and Management of Government Contract

Property,” April 27, 2012

(an) DoD Directive 6485.02E, “Human Immunodeficiency Virus (HIV)/Acquired Immune

Deficiency Syndrome (AIDS) Prevention Program to Support Foreign Militaries,”

December 6, 2013

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

(ap) DoD Directive 6490.02E, “Comprehensive Health Surveillance,” February 8, 2012, as

amended

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

Operations, Humanitarian or Peace Operations, or Other Military Operations or Exercises,”

July 22, 2009, as amended

(ar) Chairman of the Joint Chiefs of Staff Instruction 3500.01F, “Joint Training Policy and

Guidance for the Armed Forces of the United States,” November 19, 2010

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

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

DoDI 3020.41, December 20, 2011

Change 2, 08/31/2018 ENCLOSURE 1

(at) DoD Instruction O-2000.16, Volume 1, “DoD Antiterrorism (AT) Program

Implementation: DoD AT Standards,” November 17, 2016

(au) DoD Instruction O-3002.05, “Personnel Recovery (PR) Education and Training,”

April 12, 2016

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

2009, as amended

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

(ax) DoD Instruction 3002.03, “DoD Personnel Recovery – Reintegration of Recovered

Personnel,” July 15, 2013, as amended

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

November 10, 2003

(az) DoD Directive 3025.14, “Evacuation of U.S. Citizens and Deisgnated Aliens from

Threatened Areas Abroad,” February 26, 2013

(ba) Joint Publication 1-0, “Personnel Support to Joint Operations,” March 25, 2013

(bb) Assistant Secretary of Defense for Logistics and Materiel Readiness Publication, “Business

Rules for the Synchronized Predeployment and Operational Tracker (SPOT),” current

edition

(bc) DoD Directive 1300.22, “Mortuary Affairs Policy,” October 30, 2015

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

(be) DoD Instruction 6200.03, “Public Health Emergency Management within the Department

of Defense,” March 5, 2010, as amended

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

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

(bh) DoD Instruction 5154.30, “Armed Forces Medical Examiner Systems (AFMES),”

December 29, 2015

(bi) Assistant Secretary of Defense for Health Affairs Memorandum, “Policy Guidance for

Deployment-Limiting Psychiatric Conditions and Medications,” November 7, 2006

(bj) Operational Contract Support Functional Capabilities Integration Board (FCIB) Charter,

June 27, 2014

(bk) Quadrennial Defense Review, current edition

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

24, 2014, as amended

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

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

2009

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

current edition

(bp) DoD Directive 5210.56, ““Arming and the Use of Force,” November 18, 2016

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

Terms,” current edition

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

(bs) DoD Manual 8910.01, Volume 2, “DoD Information Collections: Procedures for DoD

Public Information Collections,” June 30, 2014, as amended"

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

DoDI 3020.41, December 20, 2011

Change 2, 08/31/2018 ENCLOSURE 1

(bt) Deputy Secretary of Defense Memorandum, “Establishment of the Office of the Under

Secretary of Defense for Research and Engineering and the Office of the Under Secretary

of Defense for Acquisition and Sustainment,” July 13, 2018

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

Conventions,” April 16, 2012, as amended

DoDI 3020.41, December 20, 2011

Change 2, 08/31/2018 ENCLOSURE 2

ENCLOSURE 2

PROCEDURES

1. REQUIREMENTS, RELATIONSHIPS, AND RESTRICTIONS. In implementing this

Instruction, the Heads of the DoD Components shall abide by applicable laws, regulations, DoD

policy, and international agreements as they relate to contractor personnel supporting applicable

contingency operations.

a. Status of Contractor Personnel

(1) Pursuant to applicable law, contracted services may be utilized in applicable

contingency operations for all functions not inherently governmental. Contractor personnel may

be utilized in support of such operations in a non-combat role as long as contractor personnel

residing with the force in foreign contingencies have been designated as CAAF by the force they

accompany and are provided with an appropriate identification card pursuant to the Geneva

Convention Relative to the Treatment of Prisoners of War (Reference (h)). If captured during

international armed conflict, contractors with CAAF status are entitled to prisoner of war status.

Some contractor personnel may be covered by the Geneva Convention Relative to the Protection

of Civilian Persons in Time of War (Reference (i)) should they be captured during armed

conflict. All contractor personnel may be at risk of injury or death incidental to enemy actions

while supporting military operations. CAAF status does not apply to contractor personnel

supporting domestic contingencies.

(2) Contractor personnel may support applicable contingency operations such as by

providing communications support; transporting munitions and other supplies; performing

maintenance functions for military equipment; providing private security services; providing

foreign language interpretation and translation services, and providing logistic services such as

billeting and messing. Each service to be performed by contractor personnel in applicable

contingency operations shall be reviewed on a case-by-case basis in consultation with the

cognizant manpower official and servicing legal office to ensure compliance with Reference (f)

and relevant laws and international agreements.

b. Local and Third-Country Laws. Subject to the application of international agreements, all

contingency contractor personnel must comply with applicable local and third-country laws.

Contractor personnel may be hired from U.S., local national (LN), or third-country sources and

their status may change (e.g., from non-CAAF to CAAF), depending on where they are detailed

to work by their employer or on the provisions of the contract. The CCDRs, as well as

subordinate commanders and Service component commanders, and the Directors of the Defense

Agencies and DoD Field Activities should be cognizant of limiting factors regarding the

employment of LN and third-country national (TCN) personnel. Limiting factors may include

imported labor worker permits; workforce and hour restrictions; medical, life, and disability

insurance coverage; taxes, customs, and duties; cost of living allowances; hardship differentials;

access to classified information; and hazardous duty pay.

DoDI 3020.41, December 20, 2011

Change 2, 08/31/2018 ENCLOSURE 2

c. U.S. Laws. CAAF, with some exceptions, are subject to U.S. laws and Government

regulations. For example, all U.S. citizen and TCN CAAF may be subject to prosecution

pursuant to Federal law including, but not limited to, section 3261 of title 18, U.S.C. (also known

and hereinafter referred to as “The Military Extraterritorial Jurisdiction Act of 2000 (MEJA), as

amended” (Reference (j))). MEJA extends U.S. Federal criminal jurisdiction to certain defense

contractor personnel for offenses committed outside U.S. Territory. Additionally, CAAF are

subject to prosecution pursuant to chapter 47 of title 10, U.S.C. (also known and hereinafter

referred to as “The Uniform Code of Military Justice (UCMJ)” (Reference (k))) in accordance

with Secretary of Defense Memorandum (Reference (l)). Other laws may allow prosecution of

offenses by contractor personnel, such as section 7(9) of Reference (j). Immediate consultation

with the servicing legal office and the contracting officer is required in all cases of suspected

MEJA and/or UCMJ application to conduct by CAAF personnel, especially in non-combat

operations or in undeclared contingencies.

d. Contractual Relationships. The contract is the only legal basis for the relationship

between the DoD and the contractor. The contract shall specify the terms and conditions, to

include minimum acceptable professional standards, under which the contractor is to perform;

the method by which the contractor will be notified of the deployment procedures to process

contractor personnel; and the specific support relationship between the contractor and the DoD.

The contract shall contain standardized clauses to ensure efficient deployment, accountability,

visibility, protection, authorized levels of health service, and other support, sustainment, and

redeployment of contractor personnel. It shall also specify the appropriate flow-down of

provisions and clauses to subcontracts, and shall state that the service performed by contractor

personnel is not considered to be active duty or active service in accordance with DoDD 1000.20

and section 106 of title 38, U.S.C. (References (m) and (n)).

e. Restrictions on Contracting Inherently Governmental Functions. Inherently governmental

functions and duties are barred from private sector performance in accordance with Reference

(f), subpart 207.503 of Reference (e), subpart 7.5 of Reference (d), Public Law (P.L.) 105-270

(Reference (o)), and Office of Management and Budget Circular A-76 (Reference (p)). As

required by subpart 7.503(e) of Reference (d), subpart 207.503 of Reference (e), and Deputy

Secretary of Defense Memorandum (Reference (q)), contracting officials shall request requiring

officials to certify in writing that functions to be contracted (or to continue to be contracted) are

not inherently governmental. Requiring officials shall determine whether functions are

inherently governmental based on the guidance in Reference (f).

f. Restrictions on Contracting Functions Exempted From Private Sector Performance. As

required by subpart 207.503 of Reference (e) and Reference (q), contracting officials shall

request requiring officials to certify in writing that functions to be contracted (or continue to be

contracted) are not exempted from private sector performance. Requiring officials shall

determine whether functions are exempted from private sector performance based on the

guidance in Reference (f).

g. Requirements for Contracting Commercial Functions. As required by section 2463 of

Reference (k) and Reference (q), in advance of contracting for commercial functions or

continuing to contract for commercial functions, requiring officials shall consider using DoD

DoDI 3020.41, December 20, 2011

Change 2, 08/31/2018 ENCLOSURE 2

civilian employees to perform the work. Requiring officials shall determine whether DoD

civilian employees should be used to perform the work based on the guidance in Reference (q)

and Deputy Secretary of Defense Memorandum (Reference (r)).

h. International Laws, Local Laws, and Host Nation (HN) Support Agreements. Planners

and requiring activities, in coordination with contracting officers, shall take international laws,

local laws, and HN support agreements into account when planning for contracted support,

through assistance and coordination of the staff judge advocates (SJAs) office of the geographic

CCDRs; the Commander, United States Special Operations Command (CDRUSSOCOM); the

Commander, United States Transportation Command; and the Service component commander

SJA offices. These laws and support agreements may affect contracting by restricting the

services to be contracted, limiting contracted services to LN or HN contractor sources or, in

some cases, by prohibiting contractor use altogether.

i. Status-of-Forces Agreements (SOFAs). Planners and requiring activities, in coordination

with contracting officers shall review applicable SOFAs and related agreements to determine

their effect on the status and use of contractors in support of applicable contingency operations,

with the assistance and coordination of the geographic CCDR SJA offices.

2. OCS PLANNING. Combatant and subordinate joint force commanders (JFCs) determine

whether contracted support capabilities are appropriate in support of a contingency. When

contractor personnel and equipment are anticipated to support military operations, military

planners will develop orchestrated, synchronized, detailed, and fully developed contract support

integration plans (CSIPs) and contractor management plans (CMPs) as components of concept

plans (CONPLANs) and operational plans (OPLANs), in accordance with appropriate strategic

planning guidance. CONPLANS without time-phased force and deployment data (TPFDD) and

operational orders (OPORDs) shall contain CSIP- and CMP-like guidance to the extent

necessary as determined by the CCDR. OCS planning will, at a minimum, consider HN support

agreements, acquisition cross-servicing agreements, and Military logistics support agreements.

a. CSIPs. All CCDR CONPLANs with TPFDD and OPLANs shall include a separate CSIP

(i.e., Annex W) in accordance with Chairman of the Joint Chiefs of Staff Manual 3122.02C and

JP 4-0 (References (s) and (t)). Further, plans and orders should contain additional contract

support guidance, as appropriate, in applicable annexes and appendixes within the respective

plans (e.g., contracted bulk fuel support guidance should be addressed in the Class III(B)

Appendix to the Logistic Annex). Service component commanders shall provide supporting

CSIPs as directed by the CCDR.

b. CMPs. All CCDR CONPLANs with TPFDD and OPLANs shall include a separate CMP

and/or requisite contractor management requirements document in the applicable appendix or

annex of these plans (e.g., private security contractor rules for the use of force should be

addressed in the Rules of Engagement Appendix to the Concept of the Operation Annex) in

accordance with References (s) and (t). Service component commanders shall provide

supporting CMPs as directed by the CCDR.

DoDI 3020.41, December 20, 2011

Change 2, 08/31/2018 ENCLOSURE 2

c. Continuation of Essential Contractor Services. To ensure that critical capabilities are

maintained, it is necessary to assess the risk of premature loss of mission-essential contracted

support. Supported and supporting commanders shall plan for the mitigation from the risk of

premature loss of contingency contractor personnel who are performing essential contractor

services. Planning for continuation of essential contractor services during applicable

contingency operations includes:

(1) Determining all services provided overseas by defense contractors that must continue

during an applicable contingency operation. Contracts shall obligate defense contractors to

ensure the continuity of essential contractor services during such operations.

(2) Developing mitigation plans for those tasks identified as essential contractor services

to provide reasonable assurance of continuation during crisis conditions. These mitigation plans

should be developed as part of the normal CSIP development process.

(3) Ensuring the Secretaries of the Military Departments and the geographic CCDRs

plan for the mitigation from the risk of premature loss of contingency contractor personnel who

are performing essential contractor services. When the cognizant DoD Component Commander

or geographic CCDR has a reasonable doubt about the continuation of essential services by the

incumbent contractor during applicable contingency operations, the commander shall prepare a

mitigation plan for obtaining the essential services from alternative sources (military, DoD

civilian, HN, or other contractor(s)). This planning requirement also applies when the

commander has concerns that the contractor cannot or will no longer fulfill the terms of the

contract:

(a) Because the threat level, duration of hostilities, or other factors specified in the

contract have changed significantly;

(b) Because U.S., international, or local laws; HN support agreements; or SOFAs

have changed in a manner that affect contract arrangements; or

(4) Encouraging contingency contractor personnel performing essential contractor

services overseas to remain in the respective operations area.

d. Requirements for Publication. CCDRs shall make OCS planning factors, management

policies, and specific contract support requirements available to affected contingency contractor

personnel. To implement the OCS-related requirements of DoDD 1100.4 and DoDI 5205.02

(References (u) and (w)), the mandated CCDR website at

http://www.acq.osd.mil/dpap/pacc/cc/areas_of_responsibility.html shall include the information

in subparagraphs d.(1) through d.(9) of this section (the data owner must review this information

for security classification and operations security (OPSEC) considerations prior to its posting)).

DoDI 3020.41, December 20, 2011

Change 2, 08/31/2018 ENCLOSURE 2

(1) Theater Business Clearance and Contract Administration Delegation requirements for

external support and systems support contracts executing or delivering contracted support in the

CCDR’s area of responsibility (AOR) (implemented at the CCDR’s discretion).

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

support agreements.

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

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

contracts.

(5) OPSEC plans and restrictions.

(6) Force protection policies.

(7) Personnel recovery procedures.

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

(9) Redeployment procedures.

e. Implementing OCS Plan Decisions Into Contracts

(1) Specific contract-related considerations and requirements set forth in Annex Ws of

CONPLANs with TPFDD and OPLANs shall be reflected and addressed in CCDR policies (e.g.,

Theater Business Clearance/Contract Administration Delegation) and orders that apply to

contractors and their personnel, maintained on CCDR OCS Webpages and integrated into

contracts performing or delivering in a CCDR area of responsibility. When such CCDR policies

potentially affect contracts other than those originated in the CCDR AOR, the CCDR should

consult the contingency contracting section of the Office of the Director, Defense Procurement

and Acquisition Policy (DPAP), for advice on how best to implement these policies. All

contracted services in support of contingency operations shall be included and accounted for in

accordance with sections 235 and 2330a of Reference (k). This accounting shall be completed

by the operational CCDR requiring the service.”

(2) When making logistics sustainability recommendations, the DoD Components and

acquisition managers shall consider the requirements of DoDI 5000.02 (Reference (x)) and

paragraph 1.e. of this enclosure. Early in the contingency or crisis action planning process, they

shall coordinate with the affected supported and supporting commands any anticipated

requirements for contractor logistics support arrangements that may affect existing CONPLANs,

OPLANs, and OPORDs. As part of the supporting plans, supporting organizations (Service

components, defense agencies, others) must provide adequate data (e.g., estimates of the

numbers of contractors and contracts and the types of supplies or services that will be required to

support their responsibilities within the OPLAN) to the supported command planners to ensure

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the supported commander has full knowledge of the magnitude of contracted support required

for the applicable contingency operation.

f. TPFDD Development. Deployment data for CAAF and their equipment supporting the

Military Services must be incorporated into TPFDD development and deployment execution

processes in accordance with Reference (s). The requirement to provide deployment data shall

be incorporated into known system support and external support contracts and shall apply

regardless of whether defense contractors will provide or arrange their own transportation.

3. DEPLOYMENT AND THEATER ADMISSION REQUIREMENTS AND PROCEDURES.

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

a. General

(1) The CCDR or subordinate JFC shall provide specific deployment and theater

admission requirements to the DoD Components for each applicable contingency operation.

These requirements must be delineated in supporting contracts as explained in subpart 225.74 of

DFARS Procedures, Guidance, and Information (Reference (y)). At a minimum, contracting

officers shall ensure that contracts address operational area-specific contract requirements and

the means by which the Government will inform contractors of the requirements and procedures

applicable to a deployment.

(2) A formally designated group, joint, or Military Department deployment center (e.g.,

replacement center, Federal deployment center, unit deployment site) shall be used to conduct

deployment and redeployment processing for CAAF, unless contractor-performed theater

admission preparation is authorized according to paragraph 3.e., or waived pursuant to paragraph

3.o., of this enclosure. However, a Government-authorized process that incorporates all the

functions of a deployment center may be used if designated in the contract.

b. Country Entry Requirements. Special area, country, and theater personnel clearance

documents must be current in accordance with the DoD Foreign Clearance Guide (Reference (z))

and coordinated with affected agencies (e.g., Intelligence Community agencies) to ensure that

entry requirements do not impact accomplishment of mission requirements. CAAF employed in

support of a DoD mission are considered DoD-sponsored personnel for Reference (z) purposes.

Contracting officers shall ensure contracts include a requirement that CAAF must meet theater

personnel clearance requirements and must obtain personnel clearances prior to entering

applicable contingency operations. Contracts shall require CAAF to obtain proper identification

credentials (e.g., passport, visa) as required by the terms and conditions of the contract.

c. Accountability and Visibility of Contingency Contracts and Contractor Personnel

(1) DoD contracts and contractors supporting an applicable contingency operation shall

be accountable and visible in accordance with this Instruction, Reference (y), and section 862 of

P.L. 110-181 (Reference (aa)). Additionally, contract linguist utilization will be tracked using

the Contract Linguist Enterprise-wide Database in accordance with DoDD 5160.41E (Reference

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(ab)). OCS requirements and contractor accountability and visibility must be preplanned and

integrated into plans and OPORDs in accordance with References (g) and (s) and U.S. citizen,

U.S. legal alien contractor, LN, and TCN information provided in accordance with CJCS Manual

3150.13C (Reference (ac)).

(2) As stated in the Deputy Under Secretary of Defense (Logistics and Materiel

Readiness) and Deputy Under Secretary of Defense (Program Integration) Memorandum

(Reference (ad)), SPOT was designated as the joint web-based database to assist the CCDRs in

maintaining awareness of the nature, extent, and potential risks and capabilities associated with

OCS for contingency operations, humanitarian assistance and peacekeeping operations, or

military exercises designated by the CCDR. To facilitate integration of contingency contractors

and other personnel as directed by the Under Secretary of Defense for Acquisition, Technology

and Logistics (USD(AT&L)) or the CCDR, and to ensure accountability, visibility, force

protection, medical support, personnel recovery, and other related support can be accurately

forecasted and provided, these procedures shall apply for establishing, maintaining, and

validating the database:

(a) SPOT or its successor shall:

1. Serve as the central repository for up-to-date status and reporting on

contingency contractor personnel as directed by the USD(AT&L), subpart 252.225-7040 of

Reference (e) and Reference (y), or the CCDR, as well as other Government agency contractor

personnel as applicable.

2. Track contract information for all DoD contracts supporting applicable

contingency operations, as directed by the USD(AT&L), References (y) and (ac), or the CCDR.

SPOT data elements are intended to provide planners and CCDRs an awareness of the nature,

extent, and potential risks and capabilities associated with contracted support.

3. Provide personnel accountability via unique identifier (e.g., Electronic Data

Interchange Personnel Identifier of DoD contingency contractor personnel and other personnel as

directed by the USD(AT&L), Reference (y), Reference (ac), or the CCDR.

4. Contain, or link to, minimum contract information (e.g., contract number,

contract category, period of performance, contracting agency and contracting office) necessary to

establish and maintain accountability and visibility of the personnel in subparagraph 3.c.(2)(a)1

of this section, to maintain information on specific equipment related to private security

contracts, and the contract capabilities in contingency operations, humanitarian assistance, and

peacekeeping operations, or military exercises designated by the CCDR.

5. Comply with the personnel identity protection program requirements of

Reference (w), DoD 5400.11-R (Reference (ae)), and DoD 6025.18-R (Reference (af)); be

consistent with the DoD Information Eenterprise Architecture in DoDD 8000.01 (Reference

(ag)); and be compliant with DoDIs 8320.02 and 8330.01 and DoDD 8500.01 (References (ah),

(ai), and (aj)).

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(b) All required data must be entered into SPOT or its successor before a contractor

employee is permitted to deploy to or enter a military theater of operations. Contracting officers,

through the terms of the contracts, shall require contractors to enter data before an employee’s

deployment and to maintain and update the information for all CAAF, as well as non-CAAF as

directed by the USD(AT&L), Reference (y), or the CCDR. The contract shall require the

contractor to use SPOT or its successor, to enter and maintain data on its employees.

awarded to support contingency, humanitarian assistance, and peacekeeping operations, to

include theater, external, and systems support contracts, shall be entered into SPOT or its

successor in accordance with subpart 252.225-7040 of Reference (e) and Reference (y).

(d) In accordance with applicable acquisition policy and regulations, all defense

contractors awarded contracts that support applicable contingency operations shall be required,

under the terms and conditions of each affected contract, to input employee data and maintain

by-name accountability of designated contractor personnel in SPOT or its successor as required

by subpart 252.225-7040 of Reference (e) and Reference (y). Contractors shall be required

under the terms and conditions of their contracts to maintain policies and procedures for knowing

the general location of their employees and to follow the procedures provided to them to submit

up-to-date, real-time information reflecting all personnel deployed or to be deployed in support

of contingency, humanitarian assistance, and peacekeeping operations. Prime contractors shall

be required under the terms and conditions of their contract to follow the procedure provided to

them to submit into SPOT or its successor, up-to-date, real-time information regarding their

subcontractors at all tiers.

(e) In all cases, classified information responsive to the requirements of this

Instruction shall be reported and maintained on systems approved for the level of classification

of the information provided.

d. Letter of Authorization (LOA). A SPOT-generated LOA shall be issued by the

contracting officer or designee to all CAAF as required by the clause in subpart 252.225-7040 of

Reference (e) and selected non-CAAF (e.g., LN private security contractors) as required under

Reference (y) or otherwise designated by the CCDR. The contract shall require that all

contingency contractor personnel who are issued an LOA will carry the LOA with them at all

times. For systems authorized in accordance with paragraph 3.c.(2)(b) of this enclosure, DoD

Components shall coordinate with the SPOT program manager to obtain an LOA handled within

appropriate security guidelines.

e. Deployment Center Procedures

(1) Affected contracts shall require that all CAAF process through a designated

deployment center or a Government-authorized, contractor-performed deployment processing

facility prior to deploying to an applicable contingency operation. Upon receiving the contracted

company’s certification that employees meet deployability requirements, the contracting officer

or his/her representative will digitally sign the LOA. The LOA will be presented to officials at

the deployment center. The deployment process shall be for, but not limited to:

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

(b) Issuing applicable Government-furnished equipment.

vaccinations and immunizations (e.g., anthrax, smallpox).

(d) Verifying and, when necessary, providing required training (e.g., Geneva

Conventions; law of armed conflict; general orders; standards of conduct; force protection;

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

the use of chemical, biological, radiological, nuclear (CBRN) protective ensemble), country and

cultural awareness briefings, and other training and briefings as appropriate.

(2) Affected contingency contracts shall require that, prior to deployment, contractors

certify to the Government authorizing representative named in the contract that all required

deployment processing actions have been completed for each individual.

f. CAAF Identification, Training, and Security Clearance Requirements. Contracts shall

require eligible CAAF to be issued an identification card with the Geneva Conventions

Accompanying the Force designation in accordance with DoDI 1000.01 and 1000.13

(References (bu) and (ak)) and Volume 1 of DoD Manual 1000.13 (Reference (al)). CAAF shall

be required to present their SPOT generated LOA as proof of eligibility at the time of ID card

issuance. All CAAF shall receive training regarding their status under the law of war and the

Geneva Convention. In addition and to the extent necessary, the contract shall require the

defense contractor to provide personnel who have the appropriate security clearance or are able

to satisfy the appropriate background investigation to obtain access required for the applicable

contingency operation.

g. Government Support. Generally, contingency contracts shall require that contractors

provide all life, mission, and administrative support to their employees necessary to perform the

contract in accordance with DoDI 4161.02 (Reference (am)) and CCDR guidance as posted on

the CCDR OCS website. As part of preparing an acquisition requirement, the requiring activity

will include an estimate of the Government support that is required to be provided to CAAF and

selected non-CAAF in accordance with References (d) and (y). The requiring activity will

confirm with theater adjudication authorities that the Government has the capacity, capability,

and willingness to provide the support. However, in many contingency operations, especially

those in which conditions are austere, uncertain, and/or non-permissive, the contracting officer

may decide it is in the interest of the Government to allow for selected life, mission, medical, and

administrative support to some contingency contractor personnel. Prior to awarding the contract,

the contracting officer will request the requiring activity to verify that proper arrangements for

Government support at the deployment center and within the designated operational area have

been made. The contract shall specify the level of Government-furnished support to be provided

to CAAF and selected non-CAAF and what support is reimbursable to the Government. The

requiring activity will ensure that approved GFS is available.

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h. Medical Preparation

(1) In accordance with Enclosure 3 of this Instruction, contracts shall require that

contractors provide medically and physically qualified contingency contractor personnel to

perform duties in applicable contingency operations as outlined in the contract. Any CAAF

deemed unsuitable to deploy during the deployment process due to medical or dental reasons will

not be authorized to deploy. The Secretary of Defense may direct immunizations as mandatory

for CAAF performing DoD-essential contractor services in accordance with References (t) and

(ac). For CAAF who are U.S. citizens, contracts shall require contractors to make available the

medical and dental records (including current panographic x-ray) of the deploying employees

who grant release authorization for this purpose, according to contract terms based on this

enclosure, DoDD 6485.02E (Reference (an)), applicable joint force command surgeon guidance,

and relevant Military Department policy.

(2) Government personnel cannot force a contractor employee to receive an

immunization or disclose private medical records against his or her will; therefore, particularly

for medical requirements that arise after contract award, the contracting officer will allow

contractors time to notify and/or hire employees who are willing to meet Government medical

requirements and disclose their private information.

(3) Medical threat pre-deployment briefings will be provided to all CAAF to

communicate health risks and countermeasures in the designated operational area in accordance

with DoDI 6490.03 (Reference (ao)). Health readiness, force health protection capability, either

as a responsibility of the contractor or the DoD Components, will be fully delineated in plans,

orders, and contracts to ensure appropriate medical staffing in the operational area. Health

surveillance activities shall also include plans for contingency contractor personnel who are

providing essential contractor services (as detailed in DoDD 6490.02E (Reference (ap)).

Deoxyribonucleic acid (DNA) collection and other medical requirements are further addressed in

Enclosure 3 of this Instruction.

i. Individual Protective Equipment (IPE). When necessary and directed by CCDR, the

contracting officer will include language in the contract authorizing CAAF and selected non-

CAAF, as designated by the CCDR, to be issued military IPE (e.g., CBRN protective ensemble,

body armor, ballistic helmet) in accordance with Reference (u). This equipment shall typically

be issued at the deployment center, before deployment to the designated operational area, and

must be accounted for and returned to the Government or otherwise accounted for in accordance

with appropriate DoD Component standing regulations (including Reference (am), directives,

instructions, and supplementing publications). It is important to plan and resource IPE as

required by the geographic CCDR or subordinate JFC, and the terms of the contract. Training on

the proper care, fitting, and maintenance of issued protective equipment will be provided as part

of contractor deployment training. This training will include practical exercises within the

context of the various mission-oriented protective posture levels. When a contractor is required

under the terms and conditions of the contract to provide IPE, such IPE shall meet minimum

standards as defined by the contract.

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j. Clothing. Defense contractors or their personnel are responsible for providing their own

personal clothing, including casual and working clothing required by the assignment. Generally,

commanders shall not issue military clothing to contractor personnel or allow the wearing of

military or military look-alike uniforms. However, a CCDR or subordinate JFC deployed

forward may authorize contractor personnel to wear standard uniform items for operational

reasons. Contracts shall require that this authorization be in writing and maintained in the

possession of authorized contractor personnel at all times. When commanders issue any type of

standard uniform item to contractor personnel, care must be taken to ensure, consistent with

force protection measures, that contractor personnel are distinguishable from military personnel

through the use of distinctive patches, arm bands, nametags, or headgear.

k. Weapons. Contractor personnel shall not be authorized to possess or carry firearms or

ammunition during applicable contingency operations except as provided in paragraphs 4.e. and

4.f. of this enclosure and in DoDI 3020.50 (Reference (aq)). The contract shall provide the terms

and conditions governing the possession of firearms.

l. Training. Joint training policy and guidance for the Military Services, including DoD

contractors, is provided in CJCS Instruction 3500.01F (Reference (ar)). Standing training

requirements shall be placed on the CCDR OCS websites for reference by contractors. Training

requirements that are specific to the operation shall be placed on the CCDR websites

immediately after a declared contingency so that contracting officers can incorporate them into

the appropriate contracts as soon as possible. Training requirements must be contained or

incorporated by reference in contracts employing contractor personnel in support of an

applicable contingency operation. Training requirements include specific training requirements

established by the CCDR and training required in accordance with this Instruction, Reference

(aq), DoDI 2000.12 (Reference (as)), Volume 1 of DoDI O-2000.16 and DoDI O-3002.05

(References (at) and (au)).

m. Legal Assistance. Individual contractor personnel are responsible to have their personal

legal affairs in order (including preparing and completing powers of attorney, wills, trusts, estate

plans, etc.) before reporting to deployment centers. Contractor personnel are not entitled to

military legal assistance either in-theater or at the deployment center.

n. Contractor Integration. It is critical that CAAF brought into an operational area are

properly integrated into the military operation through a formal reception process. This shall

include, at a minimum, ensuring as they move into and out of the operational area, and

commensurate with local threat levels, that they:

(1) Have met theater entry requirements and are authorized to enter the theater.

(2) Are accounted for.

(3) Possess any required IPE, including CBRN protective ensemble.

(4) Have been authorized any required Government-furnished support and force

protection.

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o. Waivers. For contract support in the operational area that is required for less than 30

consecutive days, the CCDR or designee may waive a portion of the formal procedural

requirements in paragraph 3.e. of this enclosure, which may include waiving the requirement for

processing through a deployment center. However, the requirements to possess proper

identification cards and to establish and maintain accountability and visibility for all defense

contractors in accordance with applicable policy shall not be waived, nor shall any medical

requirement be waived without the prior approval of qualified medical personnel. If contingency

contractor personnel are authorized to be armed, the requirements of paragraphs 4.e. and 4.f. of

this enclosure cannot be waived.

4. CONTRACTOR IN-THEATER MANAGEMENT REQUIREMENTS. The DoD

Components shall adhere to the in-theater management policies of this section in managing

contingency contractor personnel in support of applicable contingency operations.

a. Reception. All CAAF shall be processed into the operational area through a designated

reception site. The site shall verify, based upon a visual inspection of the LOA, that contractor

personnel are entered into SPOT or its successor, and verify that personnel meet theater-specific

entry requirements. Contractor personnel already in the designated operational area when a

contingency is declared must report to the appropriate designated reception site as soon as it is

operational. If any CAAF does not have the proper documentation, the person will be refused

entry into the theater, and the contracting officer will notify the contractor to take action to

resolve the reason for the lack of proper documentation for performing in that area. Should the

contractor fail to take that action, the person shall be sent back to his or her departure point, or

directed to the Service component command or Defense Agency responsible for that specific

contract for theater entrance processing.

b. Contractor Use Restrictions. CCDRs, through their respective contracting officers or their

representatives, may place specific restrictions on locations or timing of contracted support based

on the prevailing operational situation, in coordination with subordinate commanders and the

applicable Defense Agencies.

c. Contractor Security Screening. Contractor screening requirements for CAAF and non-

CAAF who require access to U.S. facilities will be integrated into OPSEC programs and plans.

d. Contractor Conduct and Discipline. Terms and conditions of contracts shall require that

CAAF comply with theater orders, applicable directives, laws, and regulations, and that

employee discipline is maintained. Non-CAAF who require base access will be directed to

follow base force protection and security related procedures as applicable.

(1) Contracting officers are the legal link between the requiring activity and the

contractor. The contracting officer may appoint a designee (usually a contracting officer

representative (COR)) as a liaison between the contracting officer and the contractor and

requiring activity. This designee monitors and reports contractor performance and requiring

activity concerns to the contracting officer. The requiring activity has no direct contractual

DoDI 3020.41, December 20, 2011

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relationship with or authority over the contractor. However, the ranking military commander

may, in emergency situations (e.g., enemy or terrorist actions or natural disaster), urgently

recommend or issue warnings or messages urging that CAAF and non-CAAF personnel take

emergency actions to remove themselves from harm’s way or take other appropriate self-

protective measures.

(2) The contractor is responsible for disciplining contingency contractor personnel.

However, in accordance with paragraph h(1) of subpart 252.225-7040 of Reference (e), the

contracting officer may direct the contractor, at its own expense, to remove and replace any

contingency contractor personnel who jeopardize or interfere with mission accomplishment, or

whose actual field performance (certification/professional standard) is well below that stipulated

in the contract, or who fail to comply with or violate applicable requirements of the contract.

Such action may be taken at Government discretion without prejudice to its rights under any

other provision of the contract, including the Termination for Default. A commander also has

the authority to take certain actions affecting contingency contractor personnel, such as the

ability to revoke or suspend security access or impose restrictions from access to military

installations or specific worksites.

(3) CAAF, with some restrictions (e.g., LN CAAF are not subject to MEJA), are subject

to prosecution under MEJA and UCMJ in accordance with References (j) and (l). Commanders

possess significant authority to act whenever criminal activity is committed by anyone subject to

MEJA and UCMJ that relates to or affects the commander’s responsibilities. This includes

situations in which the alleged offender’s precise identity or actual affiliation is to that point

undetermined. Reference (l) sets forth the scope of this command authority in detail.

Contracting officers will ensure that contractors are made aware of their status and liabilities as

CAAF and the required training requirements associated with this status. Subject to local or HN

law, SOFA, and the jurisdiction of the Department of State (e.g., consulate or chief of mission)

over civilians in another country, commanders retain authority to respond to an incident, restore

safety and order, investigate, apprehend suspected offenders, and otherwise address the

immediate needs of the situation.

(4) The Department of Justice may prosecute misconduct under applicable Federal laws,

including MEJA and section 2441 of Reference (j). Contingency contractor personnel are also

subject to the domestic criminal laws of the local nation absent a SOFA or international

agreement to the contrary. When confronted with disciplinary problems involving contingency

contractor personnel, commanders shall seek the assistance of their legal staff, the contracting

officer responsible for the contract, and the contractor’s management team.

(5) In the event of an investigation of reported offenses alleged to have been committed

by or against contractor personnel, appropriate investigative authorities shall keep the contracting

officer informed, to the extent possible without compromising the investigation, if the alleged

offense has a potential contract performance implication.

e. Force Protection and Weapons Issuance. CCDRs shall develop security plans for

protection of CAAF and selected non-CAAF (e.g., those working on a military facility or as

otherwise determined by the operational commander) in locations where the civil authority is

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either insufficient or illegitimate, and the commander determines it is in the interests of the

Government to provide security because the contractor cannot obtain effective private security

services; such services are unavailable at a reasonable cost; or threat conditions necessitate

security through military means.

(1) In appropriate cases, the CCDR may provide security through military means

commensurate with the level of security provided DoD civilians. Specific security measures

shall be mission and situation dependent as determined by the CCDR and provided to the

contracting officer. The contracting officer shall include in the contract the level of protection to

be provided to contingency contractor personnel as determined by the CCDR or subordinate JFC.

Specific procedures for determining requirements for and integrating contractors into the joint

operational area (JOA) force protection structure will be placed on the geographic CCDR

websites.

(2) Contracts shall require all contingency contractor personnel to comply with

applicable CCDR and local commander force protection policies. Contingency contractor

personnel working within a U.S. Military facility or in close proximity of U.S. Military forces

may receive incidentally the benefits of measures undertaken to protect U.S. forces in

accordance with Reference (as). However, it may be necessary for contingency contractor

personnel to be armed for individual self-defense. Procedures for arming for individual self-

defense are:

(a) According to applicable U.S., HN, or international law; relevant SOFAs;

international agreements; or other arrangements with local authorities and on a case-by-case

basis when military force protection and legitimate civil authority are deemed unavailable or

insufficient, the CCDR (or a designee no lower than the general/flag officer level) may authorize

contingency contractor personnel to be armed for individual self-defense.

(b) The appropriate SJA to the CCDR shall review all applications for arming

contingency contractor personnel on a case-by-case basis to ensure there is a legal basis for

approval. In reviewing applications, CCDRs shall apply the criteria mandated for arming

contingency contractor personnel for private security services provided in paragraph 4.f. of this

enclosure and Reference (aq). In such cases, the contractor will validate to the contracting

officer, or designee, that weapons familiarization, qualification, and briefings regarding the rules

for the use of force have been provided to contingency contractor personnel in accordance with

CCDR policies. Acceptance of weapons by contractor personnel shall be voluntary and

permitted by the defense contractor and the contract. In accordance with paragraph (j) of subpart

252.225-7040 of Reference (e), the contract shall require that the defense contractor ensure such

personnel are not prohibited by U.S. law from possessing firearms.

authorized to use force for individual self-defense. Unless immune from local laws or HN

jurisdiction by virtue of an international agreement or international law, the contract shall include

language advising contingency contractor personnel that the inappropriate use of force could

subject them to U.S. and local or HN prosecution and civil liability.

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f. Use of Contractor Personnel for Private Security Services. If, consistent with applicable

U.S., local, and international laws; relevant HN agreements, or other international agreements

and this Instruction, a defense contractor may be authorized to provide private security services

for other than uniquely military functions as identified in Reference (f). Specific procedures

relating to contingency contractor personnel providing private security services are provided in

Reference (aq).

g. Personnel Recovery, Missing Persons, and Casualty Reporting

(1) DoDD 3002.01 (Reference (av)) outlines the DoD personnel recovery program and

JP 3-50 (Reference (aw)) details its doctrine. The DoD personnel recovery program covers all

CAAF employees regardless of their citizenship. If a CAAF becomes isolated or unaccounted

for, the contractor must expeditiously file a search and rescue incident report (SARIR) (available

at http://www.armystudyguide.com/content/the_tank/army_report_and_message_formats/search-

and-rescue-inciden.shtml) to the theater’s personnel recovery architecture, i.e., the component

personnel recovery coordination cell or the Combatant Command joint personnel recovery

center.

(2) Upon recovery following an isolating event, a CAAF returnee shall enter the first of

three phases of reintegration in DoDI 3002.03 (Reference (ax)). The additional phases of

reintegration in Reference (ax) shall be offered to the returnee to ensure his or her physical and

psychological well being while adjusting to the post-captivity environment.

(3) Accounting for missing persons, including contractors, is addressed in DoDD

2310.07E (Reference (ay)). Evacuation of dependents of contractor personnel is addressed in

DoDD 3025.14 (Reference (az)). All CAAF and non-CAAF casualties shall be reported in

accordance with JP 1-0 and Assistant Secretary of Defense for Logistics and Materiel Readiness

(ASD(L&MR)) SPOT Business Rules (References (ba) and (bb)).

h. Mortuary Affairs

(1) CAAF who die while in support of U.S. forces shall be covered on a reimbursable

basis by the DoD mortuary affairs program as described in DoDD 1300.22 (Reference (bc)).

Every effort shall be made to identify remains and account for un-recovered remains of

contractors and their dependents who die in military operations, training accidents, and other

multiple fatality incidents. The remains of CAAF who are fatalities resulting from an incident in

support of military operations deserve and shall receive the same dignity and respect afforded

military remains.

(2) The DoD may provide mortuary support for the disposition of remains and personal

effects at the request of the Department of State. The Under Secretary of Defense for Personnel

and Readiness (USD(P&R)) shall coordinate this support with the Department of State to include

cost reimbursement, where appropriate. The disposition of non-CAAF contractors (LNs and

TCNs) shall be given the same dignity and respect afforded U.S. personnel. The responsibility

for coordinating the transfer of these remains to the HN or affected nation resides with the

geographic CCDR in coordination and conjunction with the Department of State and other

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federal agencies through the embassies or the International Committee of the Red Cross, the

International Federation of the Red Cross and Red Crescent Societies as appropriate, and in

accordance with applicable contract provisions.

i. Medical Support and Evacuation. Theater-specific contract language to clarify available

healthcare can be found on the CCDR websites. During applicable contingency operations in

austere, uncertain, and/or hostile environments, CAAF may encounter situations in which they

are unable to access medical support on the local economy. Generally, the DoD will only

provide resuscitative care, stabilization, hospitalization at military medical treatment facilities

(MTFs), and assistance with patient movement in emergencies where loss of life, limb, or

eyesight could occur. In accordance with DoDI 6000.11 (Reference (bd)), all costs associated

with the treatment and transportation of CAAF to the selected civilian facility are reimbursable

to the Government and shall be the responsibility of contractor personnel, their employers, or

their health insurance providers. Nothing in this paragraph is intended to affect the allowability

of costs incurred under a contingency contract. Medical support and evacuation procedures are:

(1) Emergency Medical and Dental Care. All CAAF will normally be afforded

emergency medical and dental care if injured while supporting contingency operations.

Additionally, non-CAAF employees who are injured while in the vicinity of U.S. forces will also

normally receive emergency medical and dental care. Emergency medical and dental care

includes medical care situations in which life, limb, or eyesight is jeopardized. Examples of

emergency medical and dental care include examination and initial treatment of victims of sexual

assault; refills of prescriptions for life-dependent drugs; repair of broken bones, lacerations,

infections; and traumatic injuries to the dentition.

(2) Primary Care. Primary medical or dental care normally will not be authorized or be

provided to CAAF by MTFs. When required and authorized by the CCDR or subordinate JFC,

this support must be specifically authorized under the terms and conditions of the contract and

detailed in the corresponding LOA. Primary care is not authorized for non-CAAF employees.

Primary care includes routine inpatient and outpatient services, non-emergency evacuation,

pharmaceutical support, dental services, and other medical support as determined by appropriate

military authorities based on recommendations from the joint force command surgeon and on the

existing capabilities of the forward-deployed MTFs.

(3) Long-Term Care. The DoD shall not provide long-term care to contractor personnel.

(4) Quarantine or Restriction of Movement. The CCDR or subordinate commander has

the authority to quarantine or restrict movement of contractor personnel according to DoDI

6200.03 (Reference (be)).

(5) Evacuation. Patient movement of CAAF shall be performed in accordance with

Reference (bd). When CAAF are evacuated for medical reasons from the designated operational

area to MTFs funded by the Defense Health Program, normal reimbursement policies will apply

for services rendered by the facility. Should CAAF require medical evacuation outside the

continental United States (OCONUS), the sending MTF staff shall assist CAAF in making

arrangements for transfer to a civilian facility of their choice. When U.S. forces provide

DoDI 3020.41, December 20, 2011

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emergency medical care to non-CAAF, these patients will be evacuated or transported via

national means (when possible) to their local medical systems.

j. Other Government-Furnished Support. In accordance with DoD Component policy and

consistent with applicable laws and international agreements, Government-furnished support

may be authorized or required when CAAF and selected non-CAAF are deployed with or

otherwise provide support in the theater of operations to U.S. Military forces deployed

OCONUS. Types of support are listed in Reference (y) and may include transportation to and

within the operational area, mess operations, quarters, phone service, religious support, and

laundry.

(1) In operations where no reliable or local mail service is available, CAAF who are U.S.

citizens will be authorized postal support in accordance with DoD 4525.6-M (Reference (bf)).

CAAF who are not U.S. citizens will be afforded occasional mail service necessary to mail their

pay checks back to their homes of record.

(2) Morale, welfare, and recreation (MWR) and exchange services will be authorized for

CAAF who are U.S. citizens in accordance with section 133 of Reference (k). CAAF who are

not U.S. citizens and non-CAAF are not authorized MWR and exchange services.

5. REDEPLOYMENT PROCEDURES. The considerations in this section are applicable during

the redeployment of CAAF.

a. Transportation Out of Theater. When the terms and conditions of the contract state that

the Government shall provide transportation out of theater:

(1) Upon completion of the deployment or other authorized release, the Government

shall, in accordance with each individual’s LOA, provide contractor employees transportation

from the theater of operations to the location from which they deployed, unless otherwise

directed.

(2) Prior to redeployment from the AOR, the contractor employee, through their defense

contractor, shall coordinate contractor exit times and transportation with the continental United

States (CONUS) Replacement Center (CRC) or designated reception site. Additionally,

intelligence out-briefs must be completed and customs and immigration briefings and inspections

must be conducted. CAAF are subject to customs and immigration processing procedures at all

designated stops and their final destination during their redeployment. CAAF returning to the

United States are subject to U.S. reentry customs requirements in effect at the time of reentry.

b. Post-Deployment Health Assessment. In accordance with Reference (ao), contracts shall

require that CAAF complete a post-deployment health assessment in the Defense Medical

Surveillance System (DMSS) at the termination of the deployment (within 30 days of

redeployment). These assessments will only be used by the DoD to accomplish population-wide

assessments for epidemiological purposes, and to help identify trends related to health outcomes

and possible exposures. They will not be used for individual purposes in diagnosing conditions

DoDI 3020.41, December 20, 2011

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or informing individuals they require a medical follow-up. Diagnosing conditions requiring

medical referral is a function of the contractor.

c. Redeployment Center Procedures. In most instances, the deployment center/site that

prepared the CAAF for deployment will serve as the return processing center. As part of CAAF

redeployment processing, the deployment center/site personnel will screen contractor records,

recover Government-issued identification cards and equipment, and conduct debriefings as

appropriate. The amount of time spent at the return processing center will be the minimum

required to complete the necessary administrative procedures.

(1) A special effort will be made to collect all common access cards (CACs) from

returning deployed contractors.

(2) Contractor employees are required to return any issued clothing and equipment.

Lost, damaged, or destroyed clothing and equipment shall be reported in accordance with

procedures of the issuing facility. Contractor employees shall also receive a post-deployment

medical briefing on signs and symptoms of diseases to watch for, such as tuberculosis. As some

countries hosting an intermediate staging base may not permit certain items to enter their

borders, some clothing and equipment, whether issued by the contractor, purchased by the

employee, or provided by the Government, may not be permitted to exit the AOR. In this case,

alternate methods of accounting for Government-issued equipment and clothing will be used

according to CCDR or JFC guidance and contract language.

d. Update to SPOT. Contracting officers or their designated representative must verify that

defense contractors have updated SPOT to reflect their employee’s change in status within 3

days of his or her redeployment as well as close out the deployment and collect or revoke the

LOA.

e. Transportation to Home Destination. Transportation of CAAF from the deployment

center/site to the home destination is the employer’s responsibility. Government reimbursement

to the employer for travel will be determined by the terms and conditions of the contract.

DoDI 3020.41, December 20, 2011

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ENCLOSURE 3

GUIDANCE FOR CONTRACTOR MEDICAL AND DENTAL FITNESS

1. GENERAL

a. DoD contracts requiring the deployment of CAAF shall include medical and dental fitness

requirements as specified in this enclosure. Under the terms and conditions of their contracts,

defense contractors shall provide personnel who meet such medical and dental requirements as

specified in their contracts.

b. The geographic CCDR will establish theater-specific medical qualifications. When

exceptions to these standards are requested through the contracting officer, the geographic

CCDR will establish a process for reviewing such exceptions and ensuring that a mechanism is

in place to track and archive all approved and denied waivers, including the medical condition

requiring the waiver.

c. The geographic CCDR shall also ensure that processes and procedures are in place to

remove contractor personnel in theater who are not medically qualified, once so identified by a

healthcare provider. The geographic CCDR shall ensure appropriate language regarding

procedures and criteria for requiring removal of contractor personnel identified as no longer

medically qualified is developed, is posted on the CCDR OCS website, and also ensure

contracting officers incorporate the same into all contracts for performance in the AOR.

d. Unless otherwise stated in the contract, all pre-, during-, and post-deployment medical

evaluations and treatment are the responsibility of the contractor.

2. MEDICAL AND DENTAL EVALUATIONS

a. All CAAF deploying in support of a contingency operation must be medically, dentally,

and psychologically fit for deployment as stated in DoDD 6200.04 (Reference (bg)). Fitness

specifically includes the ability to accomplish the tasks and duties unique to a particular

operation and the ability to tolerate the environmental and operational conditions of the deployed

location. Under the terms and conditions of their contracts, defense contractors will provide

medically, dentally, and psychologically fit contingency contractor personnel to perform

contracted duties.

b. Just as military personnel must pass a complete health evaluation, CAAF shall have a

similar evaluation based on the functional requirements of the job. All CAAF must undergo a

medical and dental assessment within 12 months prior to arrival at the designated deployment

center or Government-authorized contractor-performed deployment processing facility. This

assessment should emphasize diagnosing cardiovascular, pulmonary, orthopedic, neurologic,

endocrinologic, dermatologic, psychological, visual, auditory, dental, and other systemic disease

DoDI 3020.41, December 20, 2011

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conditions that may preclude performing the functional requirements of the contract, especially

in the austere work environments encountered in some contingency operations.

c. In accordance with Reference (ao), contracts shall require that CAAF complete a pre-

deployment health assessment in the DMSS at the designated deployment center or a

Government-authorized contractor-performed deployment processing facility. These

assessments will only be used by the DoD to accomplish population-wide assessments for

epidemiological purposes, and to help identify trends related to health outcomes and possible

exposures. They will not be used for individual purposes in diagnosing conditions or informing

individuals they require a medical follow-up. Diagnosing conditions requiring medical referral

is a function of the contractor.

d. In general, CAAF who have any of the medical conditions in section 10 of this enclosure,

based on an individual assessment pursuant to Reference (ao), should not deploy.

e. Individuals who are deemed not medically qualified at the deployment center or at any

period during the deployment process based upon an individual assessment, or who require

extensive preventive dental care (see subparagraph 10.b.(25) of this enclosure) will not be

authorized to deploy.

f. Non-CAAF shall be medically screened when specified by the requiring activity, for the

class of labor that is being considered (e.g., LNs working in a dining facility).

g. Contracts shall require contractors to replace individuals who develop, at any time during

their deployment, conditions that cause them to become medically unqualified.

h. In accordance with Reference (ao), contracts shall require that CAAF complete a post-

deployment health assessment in DMSS at the termination of the deployment (within 30 days of

redeployment).

3. GLASSES AND CONTACT LENSES. If vision correction is required, contractor personnel

will be required to have two pair of glasses. A written prescription may also be provided to the

supporting military medical component so that eyeglass inserts for use in a compatible chemical

protective mask can be prepared. If the type of protective mask to be issued is known and time

permits, the preparation of eyeglass inserts should be completed prior to deployment. Wearing

contact lenses in a field environment is not recommended and is at the contingency contractor

employee’s own risk due to the potential for irreversible eye damage caused by debris, chemical

or other hazards present, and the lack of ophthalmologic care in a field environment.

4. MEDICATIONS. Other than force health protection prescription products (FHPPPs) to be

provided to CAAF and selected non-CAAF, contracts shall require that contractor personnel

deploy with a minimum 90-day supply of any required medications obtained at their own

expense. Contractor personnel must be aware that deployed medical units are equipped and

staffed to provide emergency care to healthy adults. They will not be able to provide or replace

DoDI 3020.41, December 20, 2011

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many medications required for routine treatment of chronic medical conditions, such as high

blood pressure, heart conditions, and arthritis. The contract shall require contractor personnel to

review both the amount of the medication and its suitability in the foreign area with their

personal physician and make any necessary adjustments before deploying. The contract shall

require the contractor to be responsible for the re-supply of required medications.

5. COMFORT ITEMS. The contract shall require that CAAF take spare hearing-aid batteries,

sunglasses, insect repellent, sunscreen, and any other supplies related to their individual physical

requirements. These items will not be provided by DoD sources.

6. IMMUNIZATIONS. A list of immunizations, both those required for entry into the

designated area of operations and those recommended by medical authorities, shall be produced

for each deployment; posted to the geographic CCDR website or other venue, as appropriate; and

incorporated in contracts for performance in the designated AOR.

a. The geographic CCDR, upon the recommendation of the appropriate medical authority

(e.g., Combatant Command surgeon), shall provide guidance and a list of immunizations

required to protect against communicable diseases judged to be a potential hazard to the health of

those deploying to the applicable theater of operation. The Combatant Command surgeon of the

deployed location shall prepare and maintain this list.

b. The contract shall require that CAAF be appropriately immunized before completing the

pre-deployment process.

c. The Government shall provide military-specific vaccinations and immunizations (e.g.,

anthrax, smallpox) during pre-deployment processing. However, the contract shall stipulate that

CAAF obtain all other immunizations (e.g., yellow fever, tetanus, typhoid, flu, hepatitis A and B,

meningococcal, and tuberculin (TB) skin testing) prior to arrival at the deployment center.

d. Theater-specific medical supplies and FHPPPs, such as anti-malarials and pyridostigmine

bromide, will be provided to CAAF and selected non-CAAF on the same basis as they are to

active duty military members. Additionally, CAAF will be issued deployment medication

information sheets for all vaccines or deployment-related medications that are dispensed or

administered.

e. A TB skin test is required within 3 months prior to deployment. Additionally, the contract

shall stipulate that CAAF and selected non-CAAF bring to the JOA a current copy of Public

Health Service Form 791, “International Certificate of Vaccination,” (also known as “shot

record,” available for purchase at http://bookstore.gpo.gov/collections/vaccination.jsp).

7. HUMAN IMMUNODEFICIENCY VIRUS (HIV) TESTING. HIV testing is not mandatory

for contingency contractor personnel unless specified by an agreement or by local requirements.

HIV testing, if required, shall occur within 1 year before deployment.

DoDI 3020.41, December 20, 2011

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8. ARMED FORCES REPOSITORY OF SPECIMEN SAMPLES FOR THE

INDENTIFICATION OF REMAINS (AFRSSIR). For identification of remains purposes, all

CAAF who are U.S. citizens shall obtain a dental panograph and provide a specimen sample

suitable for DNA analysis prior to or during deployment processing. The DoD Components

shall ensure that all contracts require CAAF who are U.S. citizens to provide specimens for

AFRSSIR as a condition of employment according to DoDI 5154.30 (Reference (bh)).

Specimens shall be collected and managed as provided in paragraphs a. through c. of this section.

a. All CAAF who are U.S. citizens processing through a deployment center will have a

sample collected and forwarded to the AFRSSIR for storage. Contracts shall require contractors

to verify in SPOT or its successor that AFRSSIR has received the sample or that the DNA

reference specimen sample has been collected by the contractor.

b. If CAAF who are U.S. citizens do not process through a deployment center or the defense

contractor is authorized to process its own personnel, the contract shall require that the contractor

make its own arrangements for collection and storage of the DNA reference specimen through a

private facility, or arrange for the storage of the specimen by contacting AFRSSIR. Regardless

of what specimen collection and storage arrangements are made, all defense contractors

deploying CAAF who are U.S. citizens must provide the CAAF name and Social Security

number, location of the sample, facility contact information, and retrieval plan to AFRSSIR. If

AFRSSIR is not used and a CAAF who is a U.S. citizen becomes a casualty, the defense

contractor must be able to retrieve identification media for use by the Armed Forces Medical

Examiner (AFME) or other competent authority to conduct a medical-legal investigation of the

incident and identification of the victim(s). These records must be retrievable within 24 hours

for forwarding to the AFME when there is a reported incident that would necessitate its use

for human remains identification purposes. The defense contractor shall have access to:

(1) Completed DD Form 93 or equivalent record.

(2) Location of employee medical and dental records, including panograph.

(3) Location of employee fingerprint record.

c. In accordance with Reference (bh), AFRSSIR is responsible for implementing special

rules and procedures to ensure the protection of privacy interests in the specimen samples and

any DNA analysis of those samples. Specimen samples shall only be used for the purposes

outlined in Reference (bh). Other details, including retention and destruction requirements of

DNA samples, are addressed in Reference (bh).

9. PRE-EXISTING MEDICAL CONDITIONS. All evaluations of pre-existing medical

conditions should be accomplished prior to deployment. Personnel who have pre-existing

medical conditions may deploy if all of these conditions are met:

DoDI 3020.41, December 20, 2011

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a. The condition is not of such a nature that an unexpected worsening is likely to have a

medically grave outcome or a negative impact on mission execution.

b. The condition is stable and reasonably anticipated by the pre-deployment medical

evaluator not to worsen during the deployment under contractor-provided medical care in-theater

in light of the physical, physiological, psychological, environmental, and nutritional effects of

the duties and location.

c. Any required ongoing health care or medications must be available or accessible to the

contractor, independent of the military health system, and have no special handling, storage, or

other requirements (e.g., refrigeration requirements and/or cold chain, electrical power

requirements) that cannot be met in the specific theater of operations. Personnel must deploy

with a minimum 90-day supply of prescription medications other than FHPPPs.

d. The condition does not and is not anticipated to require duty limitations that would

preclude performance of duty or to impose accommodation. (The nature of the accommodation

must be considered. The Combatant Command surgeon (or his delegated representative) is the

appropriate authority to evaluate the suitability of the individual’s limitations in-theater.)

e. There is no need for routine out-of-theater evacuation for continuing diagnostics or other

evaluations.

10. CONDITIONS USUALLY PRECLUDING MEDICAL CLEARANCE

a. This section is not intended to be comprehensive. A list of all possible diagnoses and their

severity that should not be approved would be too expansive to list in this Instruction. In

general, individuals with the conditions in subparagraphs b.(1) through b.(30) of this section,

based on an individual assessment pursuant to Reference (ao), will not normally be approved for

deployment. The medical evaluator must carefully consider whether climate; altitude; nature of

available food and housing; availability of medical, behavioral health, and dental services; or

other environmental and operational factors may be hazardous to the deploying person’s health

because of a known physical or mental condition.

b. Medical clearance for deployment of persons with any of the conditions in this section

shall be granted only after consultation with the appropriate Combatant Command surgeon. The

Combatant Command surgeon makes recommendations and serves as the geographic CCDR

advisor; however, the geographic CCDR is the final approval or disapproval authority except as

provided in paragraph 11.c. of this enclosure. The Combatant Command surgeon can determine

if adequate treatment facilities and specialist support is available at the duty station for:

(1) Physical or psychological conditions resulting in the inability to effectively wear IPE,

including protective mask, ballistic helmet, body armor, and CBRN protective ensemble,

regardless of the nature of the condition that causes the inability to wear the equipment if

wearing such equipment may be reasonably anticipated or required in the deployed location.

DoDI 3020.41, December 20, 2011

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(2) Conditions that prohibit immunizations or use of FHPPs required for the specific

deployment. Depending on the applicable threat assessment, required FHPPs, vaccines, and

countermeasures may include atropine, epinephrine and/or 2-pam chloride auto-injectors, certain

antimicrobials, antimalarials, and pyridostigmine bromide.

(3) Any chronic medical condition that requires frequent clinical visits, that fails to

respond to adequate conservative treatment, or that necessitates significant limitation of physical

activity.

(4) Any medical condition that requires durable medical equipment or appliances or that

requires periodic evaluation and/or treatment by medical specialists not readily available in

theater (e.g., CPAC machine for sleep apnea).

(5) Any unresolved acute or chronic illness or injury that would impair duty performance

in a deployed environment during the duration of the deployment.

(6) Active tuberculosis or known blood-borne diseases that may be transmitted to others

in a deployed environment. (For HIV infections, see subparagraph b.(17) of this section.)

(7) An acute exacerbation of a physical or mental health condition that could affect duty

performance.

(8) Recurrent loss of consciousness for any reason.

(9) Any medical condition that could result in sudden incapacitation including a history

of stroke within the last 24 months, seizure disorders, and diabetes mellitus type I or II, treated

with insulin or oral hypoglycemic agents.

(10) Hypertension not controlled with medication or that requires frequent monitoring to

achieve control.

(11) Pregnancy.

(12) Cancer for which the individual is receiving continuing treatment or that requires

periodic specialty medical evaluations during the anticipated duration of the deployment.

(13) Precancerous lesions that have not been treated and/or evaluated and that require

treatment and/or evaluation during the anticipated duration of the deployment.

(14) Any medical condition that requires surgery or for which surgery has been

performed that requires rehabilitation or additional surgery to remove devices.

(15) Asthma that has a Forced Expiratory Volume-1 (FEV-1) of less than or equal to 50

percent of predicted FEV-1 despite appropriate therapy, that has required hospitalization at least

2 times in the last 12 months, or that requires daily systemic oral or injectable steroids.

DoDI 3020.41, December 20, 2011

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(16) Any musculoskeletal condition that significantly impairs performance of duties in a

deployed environment.

(17) HIV antibody positive with the presence of progressive clinical illness or

immunological deficiency. The Combatant Command surgeon should be consulted in all

instances of HIV seropositivity before medical clearance for deployment.

(18) Hearing loss. The requirement for use of a hearing aid does not necessarily

preclude deployment. However, the individual must have sufficient unaided hearing to perform

duties safely.

(19) Loss of vision. Best corrected visual acuity must meet job requirements to safely

perform duties.

(20) Symptomatic coronary artery disease.

(21) History of myocardial infarction within 1 year of deployment.

(22) History of coronary artery bypass graft, coronary artery angioplasty, carotid

endarterectomy, other arterial stenting, or aneurysm repair within 1 year of deployment.

(23) Cardiac dysrhythmias or arrhythmias, either symptomatic or requiring medical or

electrophysiologic control (presence of an implanted defibrillator and/or pacemaker).

(24) Heart failure.

(25) Individuals without a dental exam within the last 12 months or who are likely to

require dental treatment or reevaluation for oral conditions that are likely to result in dental

emergencies within 12 months.

(26) Psychotic and/or bipolar disorders. For detailed guidance on deployment-limiting

psychiatric conditions or psychotropic medications, see Assistant Secretary of Defense for

Health Affairs (ASD(HA)) Memorandum (Reference (bi)).

(27) Psychiatric disorders under treatment with fewer than 3 months of demonstrated

stability.

(28) Clinical psychiatric disorders with residual symptoms that impair duty performance.

(29) Mental health conditions that pose a substantial risk for deterioration and/or

recurrence of impairing symptoms in the deployed environment.

(30) Chronic medical conditions that require ongoing treatment with antipsychotics,

lithium, or anticonvulsants.

DoDI 3020.41, December 20, 2011

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11. EXCEPTIONS TO MEDICAL STANDARDS (WAIVERS). If a contractor believes an

individual CAAF employee with one of the conditions listed in subparagraphs 10.b.(1) through

10.b.(30) of this enclosure can accomplish his or her tasks and duties and tolerate the

environmental and operational conditions of the deployed location, the contractor may request a

waiver for that individual through the contracting officer or designee.

a. Waivers are unlikely for contractor personnel and an explanation should be given as to

why other persons who meet the medical standards could not be identified to fulfill the deployed

duties. Waivers and requests for waivers will include a summary of a detailed medical

evaluation or consultation concerning the medical condition(s). Maximization of mission

accomplishment and the protection of the health of personnel are the ultimate goals. Justification

will include statements indicating the CAAF member’s experience, position to be placed in, any

known specific hazards of the position, anticipated availability and need for care while deployed,

and the benefit expected to accrue from the waiver.

b. Medical clearance to deploy or continue serving in a deployed environment for persons

with any of the conditions in subparagraphs 10.b.(1) through 10.b.(30) of this enclosure must

have the concurrence by the Combatant Command surgeon, or his designee, who will

recommend approval or disapproval to the geographic CCDR. The geographic CCDR, or his

designee, is the final decision authority for approvals and disapprovals.

c. For CAAF employees working with Special Operations Forces personnel who have

conditions in subparagraphs 10.b.(1) through 10.b.(30) of this enclosure, medical clearance may

be granted after consultation with the appropriate Theater Special Operations Command (TSOC)

surgeon. The TSOC surgeon, in coordination with the Combatant Command surgeon and senior

in-theater medical authority, will ascertain the capability and availability of treatment facilities

and specialist support in the general duty area versus the operational criticality of the particular

SOF member. The TSOC surgeon will recommend approval or disapproval to the TSOC

Commander. The TSOC Commander is the final approval or disapproval authority.

DoDI 3020.41, December 20, 2011

Change 2, 08/31/2018 ENCLOSURE 4

ENCLOSURE 4

RESPONSIBILITIES

1. USD(AT&L). The USD(AT&L) shall develop, coordinate, establish, and oversee the

implementation of DoD policy for managing OCS.

2. DIRECTOR, DPAP. The Director, DPAP, under the authority, direction, and control of the

USD(AT&L), shall:

a. Oversee all acquisition and procurement policy matters including the development of DoD

policies for contingency contracting and the coordinated development and publication of contract

prescriptions and standardized contract clauses in Reference (e) and associated contracting

officer guidance in Reference (y). This includes working collaboratively with OSD Principal

Staff Assistants, CJCS representatives, and the DoD Component Heads in the development of

OCS related policies and ensuring that contracting equities are addressed.

b. Develop contingency contracting policy and implement other OCS related policies into

DFARS in support of applicable contingency operations.

c. Ensure implementation by contracting officers and CORs of relevant laws and policies in

References (d), (e), and (y).

d. Propose legislative initiatives that support accomplishment of the contingency contracting

mission.

e. Improve DoD business processes for contingency contracting while working in

conjunction with senior procurement executives across the DoD. Assist other OSD Principal

Staff Assistants, CJCS representatives, and DoD Component Heads in efforts to improve other

OCS related business processes by ensuring contracting equities and interrelationships are

properly addressed.

f. Support efforts to resource the OCS toolset under the lead of the Deputy Assistant

Secretary of Defense for Program Support (DASD(PS)) pursuant to subparagraph 3.f.(2) of this

enclosure.

g. Coordinate activities with other Government agencies to provide unity of effort. Maintain

an open, user-friendly source for reports and lessons learned and ensure their coordinated

development and publication through participation on the FAR Council.

h. As a member of the Contracting Functional Integrated Planning Team, collaborate with

the Defense Acquisition University to offer education for all contingency contracting personnel.

DoDI 3020.41, December 20, 2011

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i. Participate in the OCS Functional Capability Integration Board (FCIB) to facilitate

development of standard joint OCS concepts, policies, doctrine, processes, plans, programs,

tools, reporting, and training to improve effectiveness and efficiency.

j. In concert with the supported Combatant Commander, coordinate in advance of execution

Executive Agency for Head of Contracting Activity requisite OPLANS, CONPLANS, and

operations, where a lead service or a Joint Theater Support Contracting Command (JTSCC) will

be established.

3. DASD(PS). The DASD(PS), under the authority, direction, and control of the USD(AT&L)

through the ASD(L&MR), is responsible for oversight and management to enable the

orchestration, integration, and synchronization of the preparation and execution of acquisitions

for DoD contingency operations, and shall:

a. Coordinate policy relating to field operations and contingency contractor personnel in

forward areas and the battlespace. In cooperation with the Joint Staff, Military Departments, and

OSD, serve as the DoD focal point for the community of practice and the community of interest

for efforts to improve OCS program management and oversight.

b. Co-chair with the Vice Director, Directorate for Logistics, Joint Staff, (VDJ4) the OCS

FCIB to lead and coordinate OCS with OSD, Military Department, and Defense Agency senior

procurement officers in accordance with the OCS FCIB Charter (Reference (bj)).

c. Ensure integration of joint OCS activities across other joint capability areas and joint

warfighting functions.

d. Provide input to the Logistics Capability Portfolio Manager and the CJCS in the

development of capability priorities; review final capability priorities; and provide advice to the

Under Secretary of Defense for Policy (USD(P)) in developing the Quadrennial Defense Review

(Reference (bk) and defense planning and programming guidance, as appropriate.

e. Serve as the DoD lead to:

(1) Develop a programmatic approach for the preparation and execution of orchestrating,

integrating, and synchronizing acquisitions for contingency operations.

(2) Establish and oversee DoD policies for OCS program management in the planning

and execution of combat, post-combat, and other contingency operations involving the Military

Departments, other Government agencies, multinational forces, and non-governmental

organizations, as required.

f. Improve DoD business practices for OCS.

DoDI 3020.41, December 20, 2011

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(1) In consultation with the USD(P&R); the Director, DPAP; and the CJCS, ensure a

joint web-based contract visibility and contractor personnel accountability system (currently

SPOT) is designated and implemented, including business rules for its use.

(2) Lead the effort to resource the OCS toolset providing improved OCS program

management, planning, OCS preparation of the battlefield, systems support, and theater support

contracts, contractor accountability systems, and automated contract process capabilities,

including reach back from remote locations to the national defense contract base (e.g., hardware

and software).

g. In consultation with the Heads of the OSD and DoD Components, provide oversight of

experimentation efforts focusing on concept development for OCS execution.

h. Serve as the DoD lead for the oversight of training and education of non-acquisition, non-

contracting personnel identified to support OCS efforts.

4. DIRECTOR, DEFENSE LOGISTICS AGENCY (DLA). The Director, DLA, under the

authority, direction, and control of the USD(AT&L), through the ASD(L&MR) shall, through

the Joint Contingency Acquisition Support Office (JCASO), provide enabler OCS support to

CCDR OCS planning efforts and training events, and, when requested, advise, assist, and support

JFC oversight of OCS operations. Specifically, the Director, JCASO, shall:

a. Provide OCS planning support to the CCDR through Joint OCS Planners embedded

within the geographic Combatant Command staff. Maintain situational awareness of all plans

with significant OCS equity for the purposes of exercise support and preparation for operational

deployment. From JCASO forward involvement in exercises and operational deployments,

develop and submit lessons learned that result in improved best practices and planning.

b. When requested, assist the Joint Staff in support of the Chairman’s OCS responsibilities

listed in paragraph 10 of this enclosure.

c. Facilitate improvement in OCS planning and execution through capture and review of

joint OCS lessons learned. In cooperation with the Joint Staff, the Military Services, other DoD

Components, and interagency partners, collect joint operations focused OCS lessons learned and

best practices from contingency operations and exercises to inform OCS policy and recommend

doctrine, organization, training, materiel, leadership, personnel, and facilities (DOTMLPF)

solutions.

d. Participate in joint exercises, derive OCS best practices from after-action reports and

refine tactics/techniques/procedures, deployment drills, and personal and functional training (to

include curriculum reviews and recommendations). Assist in the improvement of OCS related

policy, doctrine, rules, tools, and processes.

e. Provide the geographic CCDRs, when requested, with deployable experts to assist the

CCDR and subordinate JFCs in managing OCS requirements in a contingency environment.

DoDI 3020.41, December 20, 2011

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f. Practice continuous OCS-related engagement with interagency representatives and

multinational partners, as appropriate and consistent with existing authorities.

g. Participate in the OCS FCIB to facilitate development of standard joint OCS concepts,

policies, doctrine, processes, plans, programs, tools, reporting, and training to improve

effectiveness and efficiency.

5. DIRECTOR, DEFENSE CONTRACT MANAGEMENT AGENCY (DCMA). The Director,

DCMA, under the authority, direction, and control of the USD(AT&L), through the

ASD(Acquisition), plans for and performs contingency contract administration services in

support of the CJCS and CCDRs in the planning and execution of military operations, consistent

with DCMA's established responsibilities and functions.

6. UNDER SECRETARY OF DEFENSE FOR INTELLIGENCE (USD(I)). The USD(I), as the

Principal Staff Assistant for intelligence, counterintelligence, and security in accordance with

DoDD 5143.01 (Reference (bl)), shall:

a. Develop, coordinate, and oversee the implementation of DoD security programs and

guidance for those contractors covered in DoDI 5220.22 (Reference (bm)).

b. Assist the USD(AT&L) in determining appropriate contract clauses for intelligence,

counterintelligence, and security requirements.

c. Establish policy for contractor employees under the terms of the applicable contracts that

support background investigations in compliance with subparts 4.1301, 4.1303, and 52.204-9 of

Reference (d).

d. Coordinate security and counterintelligence policy affecting contract linguists with the

Secretary of the Army pursuant to Reference (ab).

7. ASD(HA). The ASD(HA), under the authority, direction, and control of the USD(P&R),

shall assist in the development of policy addressing the reimbursement of funds for qualifying

medical support received by contingency contractor personnel in applicable contingency

operations.

8. DEPUTY ASSISTANT SECRETARY OF DEFENSE FOR READINESS

(DASD(READINESS)). The DASD(Readiness) under the authority, direction, and control of

the USD(P&R), shall develop policy and set standards for managing contract linguist

capabilities supporting the total force to include requirements for linguists and tracking linguist

and role players to ensure that force readiness and security requirements are met.

DoDI 3020.41, December 20, 2011

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9. DIRECTOR, DEFENSE MANAGEMENT DATA CENTER (DMDC). The Director,

DMDC, under the authority, direction, and control of the USD(P&R), through the Director, DoD

Human Resources Activity, shall:

a. Serve as the central repository of information for all historical data on contractor

personnel who have been issued CAC and are included in SPOT or its successor, that is to be

archived.

b. Ensure all data elements of SPOT or its successor to be archived are USD(P&R)-approved

and DMDC-system compatible, and ensure the repository is protected at a level commensurate

with the sensitivity of the information contained therein.

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

FINANCIAL OFFICER (CFO), DEPARTMENT OF DEFENSE. The USD(C)/CFO shall

develop policy addressing the reimbursement of funds for qualifying medical support received

by contingency contractor personnel in applicable contingency operations.

11. SECRETARIES OF THE MILITARY DEPARTMENTS AND DIRECTORS OF THE

DEFENSE AGENCIES AND DoD FIELD ACTIVITIES. The Secretaries of the Military

Departments and the Directors of the Defense Agencies and DoD Field Activities shall

incorporate this Instruction into applicable policy, doctrine, programming, training, and

operations and ensure:

a. Assigned contracting activities populate SPOT with the required data in accordance with

Reference (bb) and that information has been reviewed for security and OPSEC concerns in

accordance with paragraph 3.c(2)(e) of Enclosure 2.

b. CAAF meet all theater and/or JOA admission procedures and requirements prior to

deploying to or entering the theater or JOA.

c. Contracting officers include in the contract:

(1) Appropriate terms and conditions and clause(s) in accordance with subpart 252.225-

7040 of Reference (e) and Reference (y).

(2) Specific deployment and theater admission requirements according to subpart

252.225-7040 of Reference (e), Reference (y), and the applicable CCDR websites.

(3) Specific medical preparation requirements according to paragraph 3.h. of Enclosure

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(4) The level of protection to be provided to contingency contractor personnel in

accordance with paragraph 4.e. of Enclosure 2. Contracting officers shall follow the procedures

on the applicable CCDR websites to obtain theater-specific requirements.

(5) Government-furnished support and equipment to be provided to contractor personnel

with prior coordination and approval of theater adjudication authorities, as referenced on the

applicable CCDR websites.

(6) A requirement for contractor personnel to show and have verified by the COR, proof

of professional certifications/proficiencies as stipulated in the contract

d. Standardized contract accountability financial and oversight processes are developed and

implemented.

e. Requirements packages are completed to include all required documentation (e.g., letter of

justification, performance work statement, nominated COR, independent Government estimate

(IGE)) are completed and funding strategies are articulated and updated as required.

f. CORs are planned for, resourced, and sustained as necessary to ensure proper contract

management capabilities are in place and properly executed.

g. Assigned contracting activities plan for, and ensure the contractor plans for, the resources

necessary to implement and sustain contractor accountability in forward areas through SPOT or

its successor.

h. CSIPs and CMPs are developed as directed by the supported CCDR.

i. The risk of premature loss of mission-essential OCS is assessed and the mitigation of the

loss of contingency contractor personnel in wartime or contingency operations who are

performing essential contractor services is properly planned for.

j. Assigned contracting activities comply with theater business clearance and contract

administration delegation policies and processes when implemented by CCDRs to support any

phase of a contingency operation.

k. Agency equities are integrated and conducted in concert with the CCDR’s plans for OCS

intelligence of the battlefield.

l. The implementation of a certification of, and a waiver process for, contractor-performed

deployment and redeployment processing in lieu of a formally designated group, joint, or

Military Department deployment center.

m. Support the effort to resource the OCS toolset under the lead of the DASD(PS) pursuant

to subparagraph 3.h.(2) of this enclosure.

DoDI 3020.41, December 20, 2011

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12. CJCS. The CJCS shall:

a. Where appropriate, incorporate program management and elements of this Instruction into

joint doctrine, joint instructions and manuals, joint training, joint education, joint capability

development, joint strategic planning system (e.g., JOPES), and CCDR oversight.

b. Co-chair with theVDJ4 the OCS FCIB to lead and coordinate OCS with OSD, Military

Department, and Defense Agency senior procurement officers in accordance with Reference (bj).

Provide the OCS FCIB with input and awareness of the CJCS functions and activities as defined

in sections 153 and 155 of Reference (k).

c. Perform OCS related missions and functions as outlined in the Joint Staff Manual 5100.01

(Reference (bn)) and the Chairman’s authorities as defined in Reference (k).

13. GEOGRAPHIC CCDRS AND CDRUSSOCOM. The geographic CCDRs and the

CDRUSSOCOM (when they are the supported commander) shall:

a. Plan and execute OCS program management, contract support integration, and contractor

management actions in all applicable contingency operations in their AOR.

b. Conduct integrated planning to determine and synchronize contract support requirements

to facilitate OCS planning and contracting and contractor management oversight.

c. In coordination with the Services and functional components, identify military capabilities

shortfalls in all the joint warfighting functions that require contracted solutions. Ensure these

requirements are captured in the appropriate CCDR, subordinate JFC, Service component and

combat support agency CSIP or other appropriate section of the CONPLAN with TPFDD,

OPLAN or OPORD.

d. Require Service component commanders and supporting Defense Agencies and DoD

Field Activities to:

(1) Identify and incorporate contract support and operational acquisition requirements in

supporting plans to OPLANs and CONPLANs with TPFDD, and to synchronize their supporting

CSIPs, CMPs, and contracted requirements and execution plans within geographic CCDR

OPLANs and CONPLANs with TPFDD.

(2) Review their supporting CSIPs and CMPs and identify funding strategies for

particular contracted capabilities identified to support each OPLAN and CONPLAN.

(3) Develop acquisition-ready requirements documents as identified in CSIPs including

Performance Work Statements, IGEs, task order change documents, and sole source

justifications.

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(4) Ensure CAAF and their equipment are incorporated into TPFDD development and

deployment execution processes in accordance with Reference (s).

(5) Ensure financial management policies and procedures are in place in accordance with

DoD 7000.14-R (Reference (bo)) and applicable service specific financial management

implementation guidance.”

e. Develop and publish comprehensive OCS plans. Synchronize OCS requirements among

all Service components and Defense Agencies and DoD Field Activities operating within or in

support of their AORs. Optimize operational unity of effort by analyzing existing and projected

theater support and external support contracts to minimize, reduce, and eliminate redundant and

overlapping requirements and contracted capabilities.

f. Ensure OCS requirements for the Defense Agencies, multinational partners, and other

Governmental agencies are addressed and priorities of effort for resources are deconflicted and

synchronized with OCS to military forces.

g. Ensure policies and procedures are in place for reimbursing Government-furnished

support of contingency contractor personnel, including (but not limited to) subsistence, military

air, intra-theater lift, and medical treatment, when applicable.

h. Ensure CAAF and equipment requirements (regardless if provided by the Government or

the contractor) in support of an operation are incorporated into plan TPFDDs.

i. Review Service component assessments of the risk of premature loss of essential

contractor services and review contingency plans to mitigate potential premature loss of essential

contractor services.

j. Establish and communicate to contracting officers theater and/or JOA CAAF admission

procedures and requirements, including country and theater clearance, waiver authority,

immunizations, required training or equipment, and any restrictions necessary to ensure proper

deployment, visibility, security, accountability, and redeployment of CAAF to their AORs and/or

JOAs. Implement Reference (z).

k. Coordinate with the Office of the USD(P) to ensure special area, country, and theater

personnel clearance requirements are current in accordance with Reference (z), and coordinate

with affected agencies (e.g., Intelligence Community agencies) to ensure that entry requirements

do not impact mission accomplishment.

l. Determine and distribute specific theater OCS organizational guidance in plans, to include

command, control, and coordination, and HCA relationships.

m. Develop and distribute AOR/JOA-wide contractor management requirements, directives,

and procedures into a separate contractor management plan as an annex or the appropriate

section of the appropriate plan.

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n. Establish, staff, and execute appropriate OCS-related boards, centers, and working groups.

o. Integrate OCS into mission rehearsals and training exercises.

p. When contracts are being or will be executed in an AOR/JOA, designate and identify the

organization responsible for managing and prescribing processes to:

(1) Establish procedures and assign authorities for adjudicating requests for provision of

Government-furnished equipment and services to contractors when such support is operationally

required. This should include procedures for communicating approval to the requiring activity

and the contracting officer for incorporation into contracts.

(2) Authorize trained and qualified contractor personnel to carry weapons for personal

protection not related to the performance of contract-specific duties.

(3) Establish procedures for, including coordination of, inter-theater strategic movements

and intra-theater operational and tactical movements of contractor personnel and equipment.

(4) Collect information on and refer to the appropriate Government agency offenses,

arrests, and incidents of alleged misconduct committed by contractor personnel on or off-duty.

(5) Collect and maintain information relating to CAAF and selected non-CAAF

kidnappings, injuries, and deaths.

(6) Identify the minimum standards for conducting and processing background checks,

and for issuing access badges to HN, LN, and TCN personnel employed, directly or indirectly,

through Government-awarded contracts.

(7) Remove CAAF from the designated operational area who do not meet medical

deployment standards, whose contract period of performance has expired, or who are

noncompliant with contract requirements.

(8) Designate additional contractor personnel not otherwise covered by personnel

recovery policy for personnel recovery support in accordance with Reference (av).

(9) Ensure that contract oversight plans are developed, and that adequate personnel to

assist in contract administration are identified and requested, in either a separate contractor

management plan as an annex of plans and orders and/or within appropriate parts of plans and

orders.

(10) Develop a security plan for the protection of contingency contractor personnel

according to paragraph 4.e. of Enclosure 2.

(11) Develop and implement theater business clearance and, if required, Contract

Administration Delegation policies and procedures to ensure visibility of and a level of control

DoDI 3020.41, December 20, 2011

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over systems support and external support contracts providing or delivering contracted support in

contingency operations.

q. Enforce the individual arming policy and use of private security contractors in accordance

with Reference (aq) and DoDD 5210.56 (Reference (bp)).

r. Establish a process for reviewing exceptions to medical standards (waivers) for the

conditions in section 11 of Enclosure 3, including a mechanism to track and archive all approved

and denied waivers and the medical conditions requiring waiver. Additionally, serve as the final

approval/disapproval authority for all exceptions to this policy, except in special operations

where the TSOC commander has the final approval or disapproval authority.

s. Establish mechanisms for ensuring contractors are required to report offenses alleged to

have been committed by or against contractor personnel to appropriate investigative authorities.

t. Assign responsibility for providing victim and witness protection and assistance to

contractor personnel in connection with alleged offenses.

u. Ensure applicable predeployment, deployment, in-theater management, and redeployment

guidance and procedures are readily available and accessible by planners, requiring activities,

contracting officers, contractors, contractor personnel and other interested parties on a webpage,

and related considerations and requirements are integrated into contracts through contract terms,

consistent with security considerations and requirements.

v. Ensure OCS preparation of the battlefield is vetted with intelligence agencies when

appropriate.

w. Integrate OCS planning with operational planning across all primary and special staff

sections.

14. FUNCTIONAL CCDRS. The functional CCDRs utilizing OCS shall ensure their

Commands follow the procedures in this Instruction and applicable operational-specific guidance

provided by the supported geographic CCDR.

DoDI 3020.41, December 20, 2011

Change 2, 08/31/2018 GLOSSARY

GLOSSARY

PART I. ABBREVIATIONS AND ACRONYMS

AFME Armed Forces Medical Examiner

AFRSSIR Armed Forces Repository of Specimen Samples for the Identification

of Remains

AOR area of responsibility

ASD(HA) Assistant Secretary of Defense for Health Affairs

ASD(L&MR) Assistant Secretary of Defense for Logistics and Materiel Readiness

CAAF contractors authorized to accompany the force

CAC common access card

CBRN chemical, biological, radiological, nuclear

CCDR Combatant Commander

CDRUSSOCOM Commander, United States Special Operations Command

CDRUSTRANSCOM Commander, United States Transportation Command

CJCS Chairman of the Joint Chiefs of Staff

CMP contractor management plan

CONPLAN concept plan

CONUS continental United States

COR contracting officer representative

CRC CONUS replacement center

CSIP contract support integration plan

DASD(PS) Deputy Assistant Secretary of Defense for Program Support

DASD(Readiness) Deputy Assistant Secretary of Defense for Readiness

DCMA Defense Contract Management Agency

DFARS Defense Federal Acquisition Regulation Supplement

DLA Defense Logistics Agency

DMDC Defense Manpower Data Center

DMSS Defense Medical Surveillance System

DNA deoxyribonucleic acid

DoDI DoD Instruction

DoDD DoD Directive

DOTMLPF doctrine, organization, training, materiel, leadership, personnel, and

facilities

DPAP Defense Procurement and Acquisition Policy

FAR Federal Acquisition Regulation

FCIB functional capability integration board

FEV-1 forced expiratory volume-1

FHPPP force health protection prescription product

HIV human immunodeficiency virus

DoDI 3020.41, December 20, 2011

Change 2, 08/31/2018 GLOSSARY

HN host nation

IG inherently governmental

IGE independent Government estimate

IPE individual protective equipment

JCASO Joint Contingency Acquisition Support Office

JFC joint force commander

JOA joint operations area

JP joint publication

JTSCC Joint Theater Support Contracting Command

LN local national

LOA letter of authorization

MEJA Military Extraterritorial Jurisdiction Act

MTF medical treatment facility

MWR morale, welfare, and recreation

OCONUS outside the continental United States

OCS operational contract support

OPLAN operation plan

OPORD operation order

OPSEC operational security

P.L. public law

SARIR search and rescue incident report

SJA staff judge advocate

SOFA status-of-forces agreement

SPOT Synchronized Predeployment and Operational Tracker

TB tuberculin

TCN third country national

TPFDD time-phased force and deployment data

TSOC Theater Special Operations Command

UCMJ Uniform Code of Military Justice

U.S.C. United States Code

USD(AT&L) Under Secretary of Defense for Acquisition, Technology, and

Logistics

USD(C)/CFO Under Secretary of Defense (Comptroller)/Chief Financial Officer,

Department of Defense

USD(I) Under Secretary of Defense for Intelligence

USD(P) Under Secretary of Defense for Policy

USD(P&R) Under Secretary of Defense for Personnel and Readiness

DoDI 3020.41, December 20, 2011

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VDJ4 Vice Director, Director of Logistics, Joint Staff

PART II. DEFINITIONS

Unless otherwise noted, these terms and their definitions are for the purposes of this Instruction.

acquisition. Defined in section 2.101 of Reference (d).

CAAF. Contractor personnel, including all tiers of subcontractor personnel, who are authorized

to accompany the force in applicable contingency operations and have been afforded CAAF

status through LOA. CAAF generally include all U.S. citizen and TCN employees not normally

residing within the operational area whose area of performance is in the direct vicinity of U.S.

forces and who routinely are co-located with U.S. forces (especially in non-permissive

environments). Personnel co-located with U.S. forces shall be afforded CAAF status through

LOA. In some cases, CCDR subordinate commanders may designate mission-essential HN or

LN contractor employees (e.g., interpreters) as CAAF. CAAF includes contractors identified as

contractors deploying with the force in References (a) and (av). CAAF status does not apply to

contractor personnel in support of contingencies within the boundaries and territories of the

United States.

contingency acquisition. The process of acquiring supplies, services, and construction in support

of contingency operations.

contingency contract. A legally binding agreement for supplies, services, and construction let by

Government contracting officers in the operational area, as well as other contracts that have a

prescribed area of performance within a designated operational area. Contingency contracts

include theater support, external support, and systems support contracts.

contingency contractor personnel. Individual contractors, individual subcontractors at all tiers,

contractor employees, and sub-contractor employees at all tiers under all contracts supporting the

Military Services during contingency operations.

contingency operation. Defined in Joint Publication 1-02 (Reference (bq)).

contingency program management. The process of planning, organizing, staffing, controlling,

and leading the OCS efforts to meet JFC objectives.

contract administration. A subset of contracting that includes efforts that ensure supplies and

services are delivered in accordance with the conditions and standards expressed in the contract.

Contract administration is the oversight function, from contract award to contract closeout,

performed by contracting professionals and designated non-contracting personnel.

DoDI 3020.41, December 20, 2011

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contract administration delegation. A CCDR policy or process related to theater business

clearance that allows the CCDR to exercise control over the assignment of contract

administration for that portion of contracted effort that relates to performance in, or delivery to,

designated area(s) of operations and allows the CCDR to exercise oversight to ensure the

contractor’s compliance with CCDR and subordinate task force commander policies, directives,

and terms and conditions. Whether the CCDR chooses to implement such a process depends on

the situation.

contracting. Defined in section 2.101 of Reference (d).

contracting officer. Defined in section 2.101 of Reference (d).

contractor management. The oversight and integration of contractor personnel and associated

equipment providing support to the joint force in a designated operational area.

COR. Defined in subpart 202.101 of Reference (e).

defense contractor. Any individual, firm, corporation, partnership, association, or other legal

non-Federal entity that enters into a contract directly with the DoD to furnish services, supplies,

or construction. Foreign governments, representatives of foreign governments, or foreign

corporations wholly owned by foreign governments that have entered into contracts with the

DoD are not defense contractors.

designated reception site. The organization responsible for the reception, staging, integration,

and onward movement of contractors deploying during a contingency. The designated reception

site includes assigned joint reception centers and other Service or private reception sites.

essential contractor service. A service provided by a firm or an individual under contract to the

DoD to support vital systems including ships owned, leased, or operated in support of military

missions or roles at sea and associated support activities, including installation, garrison, base

support, and linguist/translator services considered of utmost importance to the U.S. mobilization

and wartime mission. The term also includes services provided to foreign military sales

customers under the Security Assistance Program. Services are considered essential because:

The DoD Components may not have military or DoD civilian employees to perform the

services immediately.

The effectiveness of defense systems or operations may be seriously impaired and

interruption is unacceptable when the services are not available immediately.

external support contracts. Prearranged contracts or contracts awarded during a contingency

from contracting organizations whose contracting authority does not derive directly from theater

support or systems support contracting authorities.

functional Combatant Commands. U.S. Special Operations Command, U.S. Strategic

Command, and U.S. Transportation Command.

DoDI 3020.41, December 20, 2011

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geographic Combatant Commands. U.S. Africa Command, U.S. Central Command, U.S.

European Command, U.S Northern Command, U.S. Pacific Command, and U.S. Southern

Command.

HN. A nation that permits, either by written agreement or official invitation, government

representatives and/or agencies of another nation to operate, under specified conditions, within

its borders.

hostile environment. Defined in Reference (bq).

LN. An individual who is a permanent resident of the nation in which the United States is

conducting contingency operations.

LOA. A document issued by a procuring contracting officer or designee that authorizes

contractor personnel to accompany the force to travel to, from, and within an operational area,

and outlines Government-furnished support authorizations within the operational area, as agreed

to under the terms and conditions of the contract. For more information, see section 225.74 of

Reference (y).

long-term care. A variety of services that help a person with comfort, personal, or wellness

needs. These services assist in the activities of daily living, including such things as bathing and

dressing. Sometimes known as custodial care.

non-CAAF. Personnel who are not designated as CAAF, such as LN employees and non-LN

employees who are permanent residents in the operational area or TCNs not routinely residing

with U.S. forces (and TCN expatriates who are permanent residents in the operational area) who

perform support functions away from the close proximity of, and do not reside with, U.S. forces.

Government-furnished support to non-CAAF is typically limited to force protection, emergency

medical care, and basic human needs (e.g., bottled water, latrine facilities, security, and food

when necessary) when performing their jobs in the direct vicinity of U.S. forces.

OCS. The ability to orchestrate and synchronize the provision of integrated contract support and

management of contractor personnel providing support to the joint force within a designated

operational area.

prime contract. Defined in section 3.502 of Reference (d).

qualifying contingency operation. In accordance with Article 2(a)(10) of the UCMJ, a military

contingency operation conducted for the purpose of engaging an enemy or a hostile force in

combat where disciplinary authority over civilians under Article 2(a)(10) is governed by the

UCMJ, Reference (l), and the Manual for Courts-Martial 2000 (Reference (br)).

replacement center. The centers at selected installations that ensure personnel readiness

processing actions have been completed prior to an individual reporting to the aerial port of

embarkation for deployment to a designated operational area.

DoDI 3020.41, December 20, 2011

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requiring activity. The organization charged with meeting the mission and delivering the

requirements the contract supports. This activity is responsible for delivering the services to

meet the mission if the contract is not in effect. The requiring activity may also be the

organizational unit that submits a written requirement, or statement of need, for services required

by a contract. This activity is responsible for ensuring compliance with References (f), (q), and

(r).

subcontract. Defined in section 3.502 of Reference (d).

systems support contracts. Prearranged contracts awarded by Service acquisition program

management offices that provide fielding support, technical support, maintenance support, and,

in some cases, repair parts support, for selected military weapon and support systems. Systems

support contracts routinely are put in place to provide support to many newly fielded weapons

systems, including aircraft, land combat vehicles, and automated command and control systems.

Systems support contracting authority, contract management authority, and program

management authority reside with the Service system materiel acquisition program offices.

Systems support contractors, made up mostly of U.S. citizens, provide support in CONUS and

often deploy with the force in both training and contingency operations. The JFC generally has

less control over systems support contracts than other types of contracts.

theater business clearance. A CCDR policy or process to ensure visibility of and a level of

control over systems support and external support contracts executing or delivering support in

designated area(s) of operations. The breadth and depth of such requirements will be situational.

Theater business clearance is not necessarily discrete and can be implemented to varying degrees

on a continuum during all phases of an operation.

theater support contracts. Contingency contracts awarded by contracting officers deployed to an

operational area serving under the direct contracting authority of the Service component, special

operations force command, or designated joint contracting authority for the designated

contingency operation.

uniquely military functions. Defined in Reference (f).