Topic / Narrator Script / Associated Graphics and Text Shown
Introduction / Procurement Support of Theater Security Cooperation Efforts
Introduction / Procurement Support of Theater Security Cooperation Efforts
Introduction
FOUO
This podcast is aboutjoint Department of Defense and Department of State policies on procurement support for theater security cooperation efforts. If you’re listening to this, you’re probably a Defense Attache Officer, Security Assistance Officer, Combatant Command or Service Component planner,or Service contracting person who supports theater security cooperation efforts. You might also be a DoS General Services Officer or Management Officer who acts as the DoS Contracting Officer at an overseas mission.
Our intent is to help you plan and successfully execute procurement support of theater security cooperation. We will provide you with information on the basic process, considerations, and limitations related to that support.
What exactly is “theater security cooperation”? The term refers to activities conducted with allies and friends, in accordance with Secretary of Defense guidance, to:
- Build relationships that promote specified U.S. interests,
- Build allied and friendly capabilities for self-defense and coalition operations, and
- Provide peacetime and contingency access for U.S. forces.
The extent to which you follow the policies in this podcast will directly impact the success of suchactivities. Experience has shown that failing to follow these policiescan causemission interruptions. It can also harm relationships between contractors, foreign government officials, and the U.S. Government in country. Further, it can harm relationships and communications between DoD and DoS Components within a given country. / [DoD and DoS seals]
[Chart linking Theater Security Cooperation to: DAO, SAO, Combatant Command or Service Component Planner, Contracting, and DoS General Services Officer or Management Officer]
Plan and successfully execute procurement support of theater security cooperation
- Process
- Considerations
- Limitations
[DoD seal]
- Build relationships that promote specified U.S. interests
- Build allied and friendly capabilities for self-defense and coalition operations
- Provide peacetime and contingency access for U.S. forces.
[Photos of military exercises and training events]
[Photo of U.S. military officials and foreign government officials, split into two parts]
Case after case around the globe has shown that a lack of procurement planning, communication, and awareness can interrupt mission.
For example, the DSCA approved some humanitarian relief projects for a large country in South America. These projects were developed in close collaboration with USAID. As such, USAID partner NGOs were identified to support these unique efforts. The efforts included rainwater cisterns, solar-powered water-pumping systems, and training for sustainable malaria control with insecticide-treated mosquito nets. A SOUTHCOM representative noted that, because of the unique requirements and past DoS contracting support, the most efficient and effective way to fulfill these needs was to ask for DoS contracting support. Having seen the new cable, the agency representative asked OSD about getting a policy exception to allow this. However, the request was denied as this was beyond post contracting, outside of ICASS, and problems were detected in previous procurements
While DoSContracting Officers may have provided contracting support for theater security cooperation efforts in the past, the Military is inherently responsible for executing such support required outside of ICASS and should plan for it.
The following vignettes highlight some other examples.
A Service military exercise in the PACOM AOR was impacted when the Service Component’s Deputy Comptroller sent requirements to the embassy requesting $400,000 in procurement support two days before the start of the exercise.
Failure to plan ahead can impact ability to execute.
A DAO from a country in the EUCOM AOR made hotel reservations for participants in a Joint Combined Exchange Training exercise. The DAO told the DoSContracting Officer that the hotel bills could be paid from MIPR funds and the bill sent to the embassy for payment. The Contracting Officer disagreed, saying they needed a contract or purchase order on which to obligate funds. The Contracting Officer explained that the absence of these documents would constitute an unauthorized commitment.
Military personnel continue to fail to understand basic contracting concepts, such as the fact that MIPRs do not constitute contracting authority. Only contracting officers, ordering officers, or credit card holders can obligate the government.
A U.S. embassy in the AFRICOM AOR ceased to provide contingency and operational contracting support to a deployed military unit, based on cable guidance and due to a shortfall in its resources. The unit did not possess a Government Purchase Card and thus needed help for its procurement support.
It is the responsibility of the military unit deploying to arrange in advance for organic military contracting support, including a Purchase Card. / Lack of procurement planning, communication, and awareness can interrupt mission.
[DoD Security Cooperation Agency seal, outline of South America, USAID seal]
[Photos ofrainwater cisterns, solar-powered water-pumping systems, and training for sustainable malaria control with insecticide-treated mosquito nets]
[Outline of South America]
[DoS seal]
“Contracting Support” over DoS seal, SOUTHCOM seal, document titled “Request for Policy Exception,” “Not Approved” red stamp over document]
While DoS Contracting Officers may have provided contracting support for theater security cooperation in the past,
the Military is inherently responsible for executing such support required outside of ICASS and should plan for it.
[Photo of military exercise, PACOM seal]
$400,000
Failure to plan ahead can impact ability to execute.
[EUCOM seal, photo of European hotel, MIPR form]
Military personnel continue to fail to understand basic contracting concepts, such as the fact that MIPRs do not constitute contracting authority.
Only contracting officers, ordering officers, or credit card holders can obligate the government.
[AFRICOM seal, photos showing contingency and operational contracting support, Government Purchase Card]
It is the responsibility of the military unit deploying to arrange in advance for organic military contracting support, including a Purchase Card.
DoSand DoD want to make the procurement process work as smoothly as possible. There has been an increase in DoD unauthorized commitments and lack of planning for military exercises and training events with host nations. This has led to revisions to the joint Cable titled “Procurement Roles and Responsibilities—General Service Officer and Department of Defense Personnel.” The revisions provide additional clarity on responsibilities and processes. However, they don’t change the basic tenets that DoS contracting support is very limited and the military is responsible to plan ahead and provide the requisite military contracting support to execute its own DoD-unique requirements and programs. Also, DoD has made related updates to the Defense Federal Acquisition Regulation Supplement Procedures, Guidance, and Information language on planning for and executing such support. / [DoD and DoS seals]
[Photos showing military exercises]
[Department of State Cable 11 STATE 30953 “Procurement Roles and Responsibilities – GSO and DoD Personnel,” 4 APR 11, shown at DPAP Web page,
[DFARS/PGI, shown under “Hot Topics” heading on DPAP Website home page,
Compliance Requirements / Procurement Support of Theater Security Cooperation Efforts
Compliance Requirements / Support of Theater Security Cooperation Efforts
Compliance Requirements
In a 6 May 2011 memorandum, Mr. Shay Assad, Director, Defense Procurement and Acquisition Policy, called for the DoD Components to ensure compliance with the theater security cooperation procurement policy updates.
In short, you’ll need to keep in mind the following key points. / [Calendar, photo of Mr. Assad, memorandum]
DoD personnel employing the services of DoSContracting Officers are responsible for providing documentation that specifies any DoD-unique requirements. The documentation must provide assurance that the requirements comply with all applicable statutes, regulations, and directives. / [Memorandum graphic]
- Specify any DoD-unique requirements
- Comply with statutes, regulations, and directives
DoD Components may not ask DoS to procure property or services in excess of the simplified acquisition threshold without a waiver approved by the Director, Defense Procurement and Acquisition Policy. Generally, DoS contracting support is limited to those routine, low-dollar, non-complex, commercial-type services and supplies used by U.S. Government Personnel permanently assigned at post. Those items are covered under the local ICASS agreement that all agencies at post have with DoS.
The Military is responsible to provide procurement support for DoD-unique requirements and programs. These include efforts related to Partnership for Peace, Humanitarian Assistance, FMS case work for host governments, military exercises and training, base operations, weapons procurement, aviation fuels, construction, and the President’s Emergency Plan for AIDS Relief. / [Memorandum graphic]
- Requests limited to SAT unless waiver approved
- Limited to routine services and supplies
- Items covered by local ICASS agreement
[Photos depicting efforts related to Partnership for Peace, Humanitarian Assistance, FMS case work for host governments, military exercises and training, base operations, weapons procurement, aviation fuels, construction, and the President’s Emergency Plan for AIDS Relief]
DoD personnel are encouraged to use the DoD Government-Wide Commercial Purchase Card for acquisitions while at overseas posts.
If a purchase card transaction is not appropriate, DoD personnel should generally look first to their normal DoD source of procurement support. / [Government Purchase Card]
Use the Government-Wide Commercial Purchase Card
Post procurement offices are not staffed to support military personnel on temporary duty. Such personnel must arrange for contracted transportation, lodging, and most other contracted support by using their own government travel or purchase cards, as appropriate, or through their supporting contracting offices. / [Government Purchase Card]
Post procurement offices may assist with POCs and vendor information, but cannot complete certain transactions
Procurement Process / Procurement Support of Theater Security Cooperation Efforts
Procurement Process / Procurement Support of Theater Security Cooperation Efforts
Procurement Process
While procedures will vary depending on your circumstances, it’s always important to keep in mind the basic procedures involved in a successful procurement process. / [Federal Acquisition Regulation at Acquisition Central,
All procurement actions take a certain amount of lead time, and advance planning is one of the best ways to ensure success. Begin working arrangements more than the minimum of 60 days prior to the need, or as soon as practicable. This should include contacting the DAO and DoSContracting Officer to understand local conditions and support, and to seek advice about sourcing requirements locally.It also includes arranging for organic military contracting support when DoS support is not authorized. / [Scrolling graphic of Federal Acquisition Regulation]
Acquisition Planning
[Photo of military planning team]
- Advance planning is mandatory
- Contact DAO and DoS Contracting Officer at minimum 60 days prior to need
Splitting a procurement request to avoid a mandated procurement threshold is illegal. Obligation of funds with specifics to be determined later, in order to obligate them prior to the end of a fiscal year, is not acceptable. Nor is obligation of funds on a procurement document for needs that may arise in the next fiscal year. / [Stacks of dollar bills]
Requisition Practices
Splitting Procurement
[Strikethrough symbol through the words “Splitting Procurement”]
Specifics determined later
[Strikethrough symbol through the words “Specifics determined later”]
Next Year’s Needs
[Strikethrough symbol through the words “Next Year’s Needs”]
DoSContracting Officers normally have a warrant of $100,000 or $250,000. They must receive approval from State’s Office of the Procurement Executive before soliciting proposals and awarding a contract with a dollar value exceeding their warrant limitation. / Contracting Authority
[Warrant document]
$100,000 or $250,000
Approval required above limit
Procurement requests to DoS begin by filling outForm DS 1970 or equivalent. The request must consist of at least a detailed statement of work, suggested source list, evidence of funding—or rationale if funding is not available, estimated cost, and delivery date. / Procurement Requests
[Form DS 1970]
- Detailed statement of work
- Source list
- Evidence of funding
- Estimated cost
- Delivery date
DoSContracting Officers will not sign a contract or modification, purchase order, or delivery order without a written funds certification from DoD. Funds certification is also needed from the Post Financial Management Officer, if DoD is paying for financial services under ICASS. Funds certification is required by FAR Subpart 32.702. Lack of it violates the Anti-Deficiency Act, which imposes criminal penalties. / Funding
[Contract, purchase order forms, “APPROVED” stamp]
DoD personnel and staff can be especially helpful to the DoSContracting Officer by conducting vendor market research for each procurement. Likewise, visiting military units and personnel should consult with DoSContracting Officers regarding potential local sources, well in advance of theater security cooperation efforts. / Market Surveys
[Photos of military personnel]
Market research
Consult local sources
Government policy is to compete procurements to the maximum extent practicable. The general rule is that for simplified acquisitions in range of $3,000 to $150,000, a minimum of three sources should be asked to provide price quotations. The rule also calls for requirements over $15,000 to be publically posted and provided to all interested firms (see FAR 5.101). For procurements above that amount, all responsible sources should be given an opportunity to compete. / Competition
[Federal Acquisition Regulation at Acquisition Central,
- SAT $3,000 - $150,000
- Minimum three sources
- Over $15,000 publically posted
The StateContracting Officer has the responsibility to prepare the solicitation, publicize the procurement action to promote competition, issue the solicitation, and award the contract if they are the contracting activity. / Solicitation Process
[FedBizOpps,]
- Prepare solicitation
- Publicize procurement
- Issue solicitation
- Award contract
After receiving responses, the State Contracting Officer may ask DoD personnel to help with the evaluation process, but DoD must not present a “done deal.” The Contracting Officer makes the contract award determination. / Evaluation and Award
[Photo of military contracting officer and person signing contract]
Contracting Officer makes contract award determination
Every contract or simplified acquisition must be administered, normally by a Contracting Officer’s Representative (COR) provided by the supported DoD activity. The COR’s duties include monitoring the contractor’s work to ensure compliance with the contract, reporting problems to the Contracting Officer, and reviewing invoices for adequacy. The Office of Federal Procurement Policy has issued new Federal Acquisition Certification requirements for CORs. The requirements become effective on 1 January 2012. / Contract Administration
[Photo of military personnel with paperwork]
- Monitor contractor work
- Report to CO
- Review invoices
The official file for any contract or simplified acquisition conducted by theDoSContracting Officer will be retained by DoS, and copies shared with DoD personnel and the COR. / Procurement Files
[File folder graphic labeled “OFFICIAL FILE”]
[DoS and DoD seals with graphic bubbles labeled “Personnel” and “COR.” DoS seal overset with file folder graphic labeled “OFFICIAL FILE” and graphic bubbles overset with file folder graphics labeled “COPY”]
Other
Considerations / Procurement Support of Theater Security Cooperation Efforts
Other Considerations / Procurement Support of Theater Security Cooperation Efforts
Other Considerations
Generally, DoD purchases and long-term leases of vehicles should be approved and conducted through DoD channels/chains of command in accordance with DoD procurement and motor vehicles program authorities. / Vehicles
[Photos of military vehicles and commercial vehicles in theater]
Unauthorized commitments can have a serious effect on mission accomplishment. Theyoccur whengovernment personnel who do not have authority to obligate the government direct a contractor to work outside the scope of an existing contract or direct a contractor to do work in the absence of a contract. When this happens, work must stop and the contractor cannot be paid unless and until the unauthorized commitment is ratified by the appropriate contracting authority. DoS will not ratify unauthorized commitments made by DoD personnel. Instead, these ratifications must be made by a warranted DoD Contracting Officer with the requisite ratification authority. Government personnel can be held pecuniarily liable for unauthorized commitments and are subject to disciplinary measures. / Unauthorized Commitments
DoD seal
[Photos of military construction, overset with stop sign graphic]
Ratifications must be made by a warranted DoD Contracting Officer with the requisite ratification authority
Government personnel can be held pecuniarily liable for unauthorized commitments and are subject to disciplinary measures
Grants are agreements (not contracts) in which the Federal Government provides funding or a thing of value to support a public purpose authorized by public statute. The U.S. Government is not the recipient of the good or service. Funds can be executed via grants only when authorized by public statute for the specific purpose, and only by those delegated grants authority from the Head of the DoD Component. DoD Contracting Officers can execute grants when the relevant authority is delegated to them. DoS Contracting Officers do not have dual warrants/authority and cannot obligate under assistance instruments, such as grants and cooperative agreements.