Ms Professor

ATP 1-06.2

The Commanders’ Emergency Response Program

MAY 2017

DISTRIBUTION RESTRICTION. Approved for public release; distribution is unlimited.

This publication supersedes ATP 1-06.2, dated 5 April 2013.

Headquarters Department of the Army

This publication is available at the Army Publishing Directorate site (http://www.apd.army.mil),

and the Central Army Registry site (https://atiam.train.army.mil/catalog/dashboard)

ATP 1-06.2

Distribution Restriction: Approved for public release; distribution is unlimited.

This publication supersedes ATP 1-06.2, dated 5 April 2013. i

Army Techniques Publication

No. 1-06.2

Headquarters

Department of the Army

Washington, DC, 22 May 2017

The Commanders’ Emergency Response Program

Contents

Page

PREFACE.............................................................................................................. iv

INTRODUCTION .................................................................................................... v

Chapter 1 PROGRAM OVERVIEW .................................................................................... 1-1 Purpose of Commanders’ Emergency Response Program (CERP) .................. 1-1 Project Selection ................................................................................................. 1-1 Desired Effects and Performance Metrics .......................................................... 1-2 Program Uses ..................................................................................................... 1-3 Program Restrictions .......................................................................................... 1-8 Reporting Requirements ..................................................................................... 1-9 Theater Policy Considerations.......................................................................... 1-10

Chapter 2 PERSONNEL RESPONSIBILITIES ................................................................... 2-1

Section I – Roles and Responsibilities ........................................................... 2-1 Commander ........................................................................................................ 2-1 Assistant Chief of Staff, Civil Affairs Operations ................................................ 2-2 CERP Manager .................................................................................................. 2-2 Assistant Chief of Staff, Financial Management................................................. 2-2 Information Operations Officer ........................................................................... 2-3 Engineer ............................................................................................................. 2-3 Deputy Disbursing Officer/Disbursing Agent ...................................................... 2-3 Contracting Officer .............................................................................................. 2-3 Staff Judge Advocate ......................................................................................... 2-3 Project Manager ................................................................................................. 2-4 Project Purchasing Officer .................................................................................. 2-4 Paying Agent ...................................................................................................... 2-4

Section II – Administrative Preparation ......................................................... 2-6 CERP Manager .................................................................................................. 2-6 Project Manager ................................................................................................. 2-6 Project Purchasing Officer .................................................................................. 2-6 Paying Agent ...................................................................................................... 2-6

Contents

ii ATP 1-06.2 22 May 2017

Chapter 3 PROCESS OVERVIEW ...................................................................................... 3-1

Section I – Individually-Funded Requirements .............................................. 3-1 Assessment/Coordination/Nomination ................................................................ 3-1 Approval .............................................................................................................. 3-1 Funding ............................................................................................................... 3-2 Execution/Monitoring/Evaluation ......................................................................... 3-2 Acceptance/Payment .......................................................................................... 3-2 Project Monitoring and Performance Metrics ...................................................... 3-2 Clearance ............................................................................................................ 3-2 Closure ................................................................................................................ 3-3 Turnover .............................................................................................................. 3-3 Flowchart ............................................................................................................. 3-3

Section II – Bulk-Funded Requirements ......................................................... 3-4 Funding ............................................................................................................... 3-5 Assessment/Coordination/Nomination ................................................................ 3-5 Approval .............................................................................................................. 3-6 Execution ............................................................................................................ 3-6 Acceptance/Payment .......................................................................................... 3-6 Clearance ............................................................................................................ 3-6 Closure ................................................................................................................ 3-6 Turnover .............................................................................................................. 3-7 Flowchart ............................................................................................................. 3-7

Section III – Bulk-Funded Special Payments (Condolence, Battle Damage, Hero, Former Detainee) .................................................................... 3-7 Funding ............................................................................................................... 3-8 Approval .............................................................................................................. 3-8 Certification/Payment .......................................................................................... 3-8 Clearance/Closure .............................................................................................. 3-8 Flowchart ............................................................................................................. 3-9

Section IV – Micro-Grants ................................................................................ 3-9 Solicitation ......................................................................................................... 3-10 Approval ............................................................................................................ 3-10 Funding ............................................................................................................. 3-10 Certification/Payment ........................................................................................ 3-10 Clearance .......................................................................................................... 3-10 Closure .............................................................................................................. 3-11 Monitor Enterprise ............................................................................................. 3-11 Flowchart ........................................................................................................... 3-11

Chapter 4 TRANSFER OF AUTHORITY ............................................................................ 4-1 Transfer of authority overview ............................................................................. 4-1 Documentation .................................................................................................... 4-1 Files Disposition .................................................................................................. 4-2

Appendix A COMMANDER AND CIVIL AFFAIRS STAFF OFFICER CONSIDERATIONS A-1

Appendix B PROJECT PURCHASING OFFICER TECHNIQUES ....................................... B-1

Appendix C PROJECT MANAGER TECHNIQUES .............................................................. C-1

Contents

22 May 2017 ATP 1-06.2 iii

Appendix D PAYING AGENT TECHNIQUES ....................................................................... D-1

Appendix E SAMPLE FORMS AND DOCUMENTS ............................................................. E-1

GLOSSARY .......................................................................................... Glossary-1

REFERENCES .................................................................................. References-1

INDEX .......................................................................................................... Index-1

Figures

Figure 2-1. CERP relationships .............................................................................................. 2-5

Figure 3-1. Individually-funded CERP requirement flowchart ................................................ 3-4

Figure 3-2. Paying agent and field ordering officer GFEBS process ..................................... 3-5

Figure 3-3. Bulk-funded CERP requirement flowchart ........................................................... 3-7

Figure 3-4. Bulk-funded special payment flowchart ............................................................... 3-9

Figure 3-5. Micro-grant payment flowchart ........................................................................... 3-12

Figure E-1. Sample DA Form 3953, (Purchase Request and Commitment) .........................E-2

Figure E-2. Sample appointment of project purchasing officer memorandum for record ..................................................................................................................E-3

Figure E-3. Sample contracting officer’s representative appointment memorandum ............E-7

Figure E-4. Sample paying agent DD Form 577, (Appointment/Termination Record – Authorized Signature) .......................................................................................E-10

Figure E-5. Sample justification for CERP memorandum ....................................................E-11

Figure E-6. Sample sustainment memorandum of agreement ............................................E-13

Figure E-7. Sample land use memorandum of agreement ..................................................E-14

Figure E-8. Sample CERP transfer of authority memorandum for record ...........................E-16

Figure E-9. Sample project purchasing officer certifying officer DD Form 577, (Appointment/Termination Record) ...................................................................E-17

Figure E-10. Sample commander’s clearance of CERP memorandum for record ..............E-18

Figure E-11. Sample special payments approval memorandum for record .........................E-19

Figure E-12. Sample request for additional funding memorandum......................................E-20

Figure E-13. Sample DD Form 1351-6, (Multiple Payments List) ........................................E-22

iv ATP 1-06.2 22 May 2017

Preface

ATP 1-06.2, Commanders’ Emergency Response Program (CERP), provides financial management Soldiers

and Civilians with techniques for executing duties under the CERP at the strategic, operational and tactical

levels while in support of unified land operations.

The principal audience for ATP 1-06.2 is all members of the profession of arms. Commanders and staffs of

the Army headquarters serving as joint task force or multinational headquarters should also refer to applicable

joint or multinational doctrine concerning the range of military operations and joint or multinational forces.

Trainers and educators throughout the Army will also use this publication.

Commanders, staffs, and subordinates ensure that their decisions and actions comply with applicable United

States, international, and in some cases host-nation laws and regulations. Commanders at all levels ensure

that their Soldiers operate in accordance with the law of war and the rules of engagement. (See FM 27-10

and DOD Law of War Manual.)

ATP 1-06.2 uses joint terms where applicable. Selected joint and Army terms and definitions appear in both

the glossary and the text. Terms for which ATP 1-06.2 is the proponent publication (the authority) are

italicized in the text and are marked with an asterisk (*) in the glossary. Terms and definitions for which ATP

1-06.2 is the proponent publication are boldfaced in the text. For other definitions shown in the text, the term

is italicized and the number of the proponent publication follows the definition.

ATP 1-06.2 applies to the Active Army, Army National Guard/Army National Guard of the United States,

and the United States Army Reserve unless otherwise stated.

The proponent of the ATP 1-06.2 is the United States Army Financial Management School. The preparing

agency is the Capabilities Development and Integration Directorate, Doctrine Division, United States Army

Soldier Support Institute. Send comments and recommendations using Department of Army (DA) Form 2028

(Recommended Changes to Publications and Blank Forms) to Commander, United States Army Soldier

Support Institute, ATTN: ATSG-CDI, Building 10000, Fort Jackson, SC 29207-7045, by email to

usarmy.jackson.93-sig-bde.list.jackson-atsg-cdid-fm-doctrine@mail.mil; or submit an electronic DA Form

2028. In addition to submission on DA Form 2028, provide same comments and recommendations in

MilWiki for rapid dissemination to doctrine authors and for universal review at https://www.milsuite.mil.

22 May 2017 ATP 1-06.2 v

Introduction

ATP 1-06.2 provides doctrinal guidance to commanders and financial managers on how to leverage existing

programs like the CERP, which has become a critical capability in the commander’s toolbox for conducting

stability, development, and humanitarian assistance operations where Congress has specifically authorized

its use. ATP 1-06.2 supercedes any other publications or references dealing with CERP, such as the “Money

as a Weapon System” (MAAWS). CERP funds provide tactical commanders a means to conduct multiple

stability tasks that have traditionally been performed solely by United States (U.S.), foreign, or indigenous

professional civilian personnel or agencies. These tasks include but are not limited to the reconstruction of

infrastructure, support to governance, restoration of public services, and support to economic development.

The Department of State has the primary responsibility, authority, and funding through the United States

Agency for International Development (USAID) to conduct foreign assistance on behalf of the United States

Government (USG). The legal authority for the Department of State security assistance and development

assistance missions is found in the Foreign Assistance Act of 1961, 22 USC §2151.1. An exception to this

authority occurs when Congress enacts a Department of Defense (DOD) appropriation and/or authorization

to conduct foreign assistance. The CERP, as currently funded, falls within this exception for humanitarian

assistance authorizations and appropriations.

CERP is resourced with federally appropriated funds of the USG but is not subject to the provisions of the

Federal Acquisition Regulation and the Prompt Payment Act. These funds are provided to military

commanders to meet the urgent humanitarian relief and reconstruction requirements of the civilian population

of the host nation. CERP is expected to be coordinated with existing civilian efforts (USG and others) to

ensure that at the least, avoidance of duplication of efforts, and at best, a leveraging of funds occur. The U.S.

Army Budget Office provides CERP funds to the Army Service Component Commander who, in turn,

distributes these funds to subordinate theater commanders. The Army Service Component Commander

provides guidance, establishes priorities, and identifies focus areas for the use of CERP amongst subordinate

headquarters in support of theater-specific strategic objectives and desired effects. These objectives may vary

over time. Examples of theater-level objectives for the CERP include the following:

 Ensuring urgent humanitarian relief and reconstruction requirements are met for the indigenous

population.

 Improving local governance capacity by partnering with provincial government agencies in

identifying, prioritizing, selecting, and developing projects.

 Ensuring the larger, strategic projects and services are connected to the end user in local

communities.

 Creating momentum and conditions for economic recovery and development.

Funding unified land operations is one of the most challenging elements that must be accomplished to ensure

success. This has become more critical with budget reductions, fiscal restraints, and a need to ensure our

dollars are applied to maximize the effectiveness of their use. Leaders must know not only what funding

resources are available to them, but how to best apply them in the operating environment. Resources,

particularly the coordinated and synchronized use of money, have a central role in ongoing operations given

the effects they bring to bear on the fight. While the scope of requirements, multitude of legislative

authorities, fiscal law challenges and perpetual operational contract support needs may appear daunting, they

are manageable.

ATP 1-06.2 contains four chapters, which describe the broad reach of the CERP.

Chapter 1 provides an overview of the program and describes its congressional intent and considerations for

implementation. It allows participants to understand the purpose of the program and provides guidelines to

maximize its use.

Chapter 2 describes roles and responsibilities within the program and allows all participants to understand

their interaction and why their duties are unique.

Introduction

vi ATP 1-06.2 22 May 2017

Chapter 3 illustrates the different processes associated with the procurement of goods or services and special

payments involved in the program and the timing of each participant’s duties. This chapter assists participants

in understanding the chronological flow of different methods for funding a CERP requirement and the stages

that each method undergoes.

Chapter 4 explains specific tasks associated with the transfer of authority (TOA) between units and sets the

conditions for smooth transition.

The subsequent appendices provide process matrices and sample forms.

22 May 2017 ATP 1-06.2 1-1

Chapter 1

Program Overview

This chapter provides an overview and describes the congressional intent of the CERP

and considerations for implementation. CERP enables local commanders during

contingency operations to respond with a nonlethal weapon to urgent, small-scale,

humanitarian relief, and reconstruction projects and services that immediately assist

the indigenous population. The Department of Defense (DOD) defines “urgent” as any

chronic or acute inadequacy of an essential good or service that in the judgment of the

local commander calls for immediate action. Prior coordination with community

leaders helps increase goodwill between the two nations. This chapter allows

participants to understand the purpose of the program and provides guidelines to

maximize results. ATP 1-06.2 supercedes any other publications or references dealing

with CERP, such as the “Money as a Weapon System” (MAAWS).

PURPOSE OF COMMANDERS’ EMERGENCY RESPONSE

PROGRAM (CERP)

1-1. When specifically authorized by Congress, CERP enables local commanders during contingency operations to respond with a nonlethal weapon to urgent, small-scale, humanitarian relief, and reconstruction

projects and services that immediately assist the indigenous population within their area of responsibility.

As of the time of publication of this Army techniques publication (ATP), Congress has only authorized CERP

funds for use in Afghanistan. CERP projects are intended to benefit the local populace in areas such as

agriculture, education, health care, and sanitation until larger, more formal reconstruction projects can be

initiated. Commanders consider CERP vital for improving security and implementing counterinsurgency

operations, because it is a critical tool for quickly addressing humanitarian needs, and supporting public

infrastructure building. The National Defense Authorization Act of 2016 describes the CERP and it includes

the latest amendments to the program, covering a range of topics from purpose, intent, to dollar amount limits

per project.

Note: Because Congressional appropriations are written for a specified time and purpose, it is

important to understand that CERP is exclusively authorized in the time of this publication. This

specific appropriation may or may not continue to exist and may not be available in commanders’

areas of operations in the future.

1-2. In order to maximize the effects and optimize the use of funding for the program, commanders are required to verify that local, national, donor nation, nongovernmental organizations (NGO), or other aid or

reconstruction resources are not reasonably available before using CERP funds. Because it is a commander’s

program, commanders should be actively engaged in the execution of the CERP.

Note: Unit commanders without approval authority should develop requirements within their area

of operations and staff them through their next higher-level command CERP Manager.

PROJECT SELECTION

1-3. CERP funds provide commanders with a non-lethal weapon system for high payoff projects and a quick and effective method to institute an immediate positive impact. Commanders should reduce their focus

on larger projects where execution is protracted, and concentrate on projects with immediate benefit to the

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1-2 ATP 1-06.2 22 May 2017

local population. National-level projects are better suited for other aid organizations. Commanders should

also prioritize those CERP projects that focus on urgent humanitarian relief while providing significant

employment opportunities for the general population. After a baseline assessment is conducted that identifies

needs or sources of instability, the keys to a project’s selection are its ability to:

 Provide an immediate and measurable benefit to the local population.

 Be completed quickly.

 Promote local national employment.

 Be highly visible to the local populace.

 Be sustained by the host nation after turnover.

 Incorporate host nation entities throughout the life of the project, from inception to turnover.

 Accepted as beneficial by the local indigenous population.

DESIRED EFFECTS AND PERFORMANCE METRICS

1-4. Since CERP enables the delivery of non-lethal effects, it is important to develop performance metrics that easily measure the project’s desired effects in a timely fashion. The Department of Defense Financial

Management Regulation (DODFMR) 7000.14-R, Volume 12, Chapter 27 states, “procedures for evaluating

proposed projects should consider the:

 Extent of immediate benefit to the local population.

 Sustainability of the project.

 Name and stability of the local partner.

 Number of the local population engaged in the project.

 Number of locals benefitting which can also be considered as a cost-benefit or per capita analysis.

 Executability of the project (in terms of completion, operation and sustainment of the project).

 Relationship to other similar efforts (replicating other successful projects funded with CERP

and/or other donors).”

1-5. Commanders need to ensure project justifications provide facts which accurately describe the current problem, and then articulate how the CERP project is the solution to reach the desired end state. For

significant infrastructure and development projects, commanders should ensure the justification clearly

defines the humanitarian urgency in order to differentiate the CERP project from projects better suited for

execution by other agencies. Ultimately, commanders need to evaluate how projects can add value to the

local community in order to build capacity, promote peace and hope for future generations, and build trust

and lasting support. Close coordination between commanders, local leaders, engineers, Civil Affairs forces,

financial managers, judge advocates, contracting officers, contracting officer representatives, medical

professionals, and other appropriate subject matter experts is vital to ensure funds are applied consistently to

achieve desired effects.

1-6. Following a baseline assessment which aims to identify the appropriate source of instability or the most urgent needs in a tactically significant village or cluster of villages, commanders will ensure that CERP

projects focus primarily on:

 Projects that can be sustained by the local population or government and are relatively small in

nature.

 Reconstructing structures damaged during military operations to rapidly improve conditions (e.g.,

repairing homes, roads, and mosques).

 Making emergency repairs on critical facilities (e.g., hospitals, water treatment facilities, and

electrical plants).

 Fostering local economic development through micro-grants, agricultural improvements (e.g.,

wheat seed distribution, fruit saplings) and other small-scale projects.

 Resolving small-scale critical infrastructure shortfalls that can be rapidly repaired (e.g., bridges,

clinics and irrigation systems).

 Reducing the risk of injury to the local populace by: constructing security fences and barriers;

removal of trash and sewage; and installing traffic control and other warning signs.

Program Overview

22 May 2017 ATP 1-06.2 1-3

 Procuring critical equipment: to replace lost, stolen, non-repairable items; and to establish critical

community essential services (e.g., new parts for a water pump or backup generators for a

hospital).

 Employing as many members of the indigenous population to execute the above projects (after

determining an appropriate cost-share agreement) in order to leverage local resources (e.g., labor,

funding), foster ownership, and build capacity.

 Other areas as the commander deems appropriate.

PROGRAM USES

1-7. CERP may be used to assist the host nation populace in several areas. It is essential to determine whether sufficient capacity exists for energy sources and maintenance parts for any of the below-mentioned

projects. Risks must also be identified during a project’s inception stages to prevent its subsequent targeting

or use by the insurgency. CERP may be used for projects categorized as:

Note: The following 20 categories are IAW the DODFMR 7000.14-R, Volume 12, Chapter 27,

Annex A, which is subject to change by Office of the Secretary of Defense (OSD). These

categories are accurate as of the publication of this manual. Ensure consistency with current

DODFMRs.

AGRICULTURE/IRRIGATION

1-8. Projects to increase agricultural production or cooperative agricultural programs. This includes irrigation systems and the following:

 Reforestation (e.g., fruit and nut producing trees), timber production.

 Wind breaks for fields.

 Pesticide control for crops.

 Veterinary clinics, supplies, and care of animals.

 Seeds for planting.

 Purchase of parent livestock for herds.

 Animal health.

 Animal production.

 Aquaculture.

 Fish farms.

 Conservation programs.

 Biotechnology.

 Purchase of initial farm equipment or implements.

 Irrigation wells (for drinking wells, see Water & Sanitation).

 Irrigation ditches.

 Canal cleanup.

 Water pumps.

 Siphon tubes.

 Development and construction of terracing.

 Sprinkler irrigation.

 Dust suppression.

 Central pivot irrigation.

 Sub-irrigation.

 Aquifer development.

 Agricultural Training Facilities and Demo-Farms.

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1-4 ATP 1-06.2 22 May 2017

BATTLE DAMAGE REPAIR

1-9. Projects to repair, or make payments for repairs, of property damage that results from U.S., multinational, or supporting military operations and is not compensable under the Foreign Claims Act.

CIVIC CLEANUP ACTIVITIES

1-10. Projects to cleanup public areas and area beautification:

 Streets and roads.

 Parks.

 Demolition of old buildings/structures.

 Trash removal.

CIVIC SUPPORT VEHICLES

1-11. Projects to purchase or lease vehicles by public/government officials in support of civic and community activities:

 Construction vehicles for public works.

 Water and trash trucks.

 Governmental vehicles for official duties.

CONDOLENCE PAYMENTS

1-12. CERP is authorized for payments to individuals in case of death or physical injury caused by U.S. or multinational military operations, not compensable under the Foreign Claims Act. Condolence payments can

be paid to express sympathy and to provide urgent humanitarian relief. Commanders must verify that a claim

against the USG is not a viable option under the Foreign Claims Act prior to using CERP for condolence

payments. Condolence payments are different from claims and are not an admission of fault by the USG. It

is crucial to remember that when a commander uses CERP funds, it is not an acknowledgement of any moral

or legal responsibility for someone’s death, injury, or damaged property. Condolence payments are symbolic

gestures and are not paid to compensate someone for a loss.

Note: CERP condolence payments are not Solatia payments and will not be referred to as such.

Solatia payments must not be tied directly to a combat action and are given because it is local

custom to do so. Solatia payments are paid with Operations and Maintenance, Army. For example,

if an improvised explosive device detonates and the target is U.S. forces, but host nation civilians

are hurt, a commander may choose to issue a Solatia payment. On the other hand, if U.S. forces

accidentally hurt civilians during combat operations, condolence payments are more appropriate.

For more information on Solatia payments, contact your supporting Judge Advocate.

ECONOMIC, FINANCIAL, AND MANAGEMENT IMPROVEMENTS

1-13. Projects to improve economic or financial security:

 Marketing assistance programs.

 Refurbishment of Bazaars.

 Micro-Grants to individuals or small businesses. These payments provide financial assistance to

disadvantaged entrepreneurs engaged in small and micro-business activities that can support

humanitarian relief and reconstruction.

 Refurbishment of district centers.

EDUCATION

1-14. Projects to repair or reconstruct schools, or to purchase school supplies or equipment:

 Build, repair, and refurbish schools (e.g., primary, middle, high, schools; colleges; trade schools

and Centers of Educational Excellence).

Program Overview

22 May 2017 ATP 1-06.2 1-5

 Tents for use as schools/classrooms.

 School supplies, textbooks.

 Furniture, desks, mats.

 Sports equipment (e.g., soccer balls/goals).

Note: Caution must be exercised prior to allocating funds for the repair/rebuilding of schools and

medical facilities. First ensure building materials used are locally acquired or match with locally

available materials to facilitate local populace purchase for the purpose of maintaining structures.

Second, for these facilities to be beneficial to the populace, they must have qualified teachers and

medical personnel available to provide services for which construction/renovation has been

provided.

ELECTRICITY

1-15. Projects to repair, restore, or improve electrical production, distribution, and secondary distribution infrastructure. Cost analysis must be conducted so the village or district may collect revenues to ensure

operation and maintenance of the system for long-term use:

 Electrical production (solar, hydro, wind, and fossil) for villages and districts (not specific to

individual government buildings or homes).

 Distribution of high and low voltage to villages and districts (not specific to individual government

buildings or homes).

 Secondary distribution to individual buildings and homes.

 Generators (regardless of where used). Ensure a reliable/consistent and local supply of fuel and

parts.

 Studies.

Note: The cost analysis conducted must be documented, maintained in the project file, and

uploaded in the civil information management (CIM) system of record. If the project exceeds a

prescribed threshold, the cost analysis may be required to be documented in the sustainment

memorandum of agreement (MOA) between the USG and responsible Ministry. Second, to ensure

safe regulation regarding high and low voltage electrical distribution and connection, consult U.S.

Army Corps of Engineers.

FOOD PRODUCTION & DISTRIBUTION

1-16. Projects to increase food production or distribution processes to further economic development:

 Food handling technology, including refrigeration, storage, and warehousing.

 Adequate production and supply logistics, based on demand and need.

 Food labeling and packaging.

 Food production safety.

 Capacity building for production and regulation of food.

 Storage capability for pre-distribution holding.

FORMER DETAINEE PAYMENTS

1-17. Payments to individuals upon release from Multinational non-Theater detention facilities or detainee holding areas. Detainees released from detention facilities are normally paid a prescribed amount for each

day they were held in the detention facility. This payment will be automatic unless there is a finding by the

facility commander that payment is not appropriate in a particular case. The payments will be made to provide

humanitarian relief to the family and community for time spent in detention. This policy does not authorize

payments to detainees upon transfer to theater detention facilities. Detainee payments are not compensation,

but are expressions of sympathy for wages lost during detention and to provide urgently needed humanitarian

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1-6 ATP 1-06.2 22 May 2017

relief to individuals and their families. Detainee payments are not claims, are not an admission of fault by the

government, and are not an acknowledgement of any moral or legal responsibility for a person’s detention.

Note: This policy does not authorize payments to detainees upon transfer to Theater Detention

Facilities.

HEALTHCARE

1-18. Projects to repair, or improve infrastructure, equipment, medical supplies, immunizations, and training of individuals and facilities in respect to efforts made to maintain or restore health especially by trained and

licensed professionals:

 Construction/repair of clinics.

 Ambulances/transportation for doctors in rural areas.

 Construction/repair of hospitals.

 Cooperative medical assistance visits and supplies.

 Healthcare specific furnishings (beds, mattresses, etc.).

 Refrigeration for medication.

 Expendable supplies.

 Durable and non-expendable equipment for medical facilities.

Note: Health care for animals belongs in the Agriculture/Irrigation category.

HERO PAYMENTS 1-19. Payments made to the surviving spouses or next of kin of defense or police personnel who were killed

as a result of U.S., multinational, or supporting military operations. Hero payments are defined as a payment

to the surviving spouse or next of kin of host nation’s personnel who were killed as a result of U.S.,

Multinational, or supporting military operations. Hero payments are considered a subset of the Office of the

Secretary of Defense (OSD) authorized condolence payment, but are only payable in the event of the death

of security force individuals and at the same amounts as condolence payments. Commanders must bear in mind that a country’s Ministry of Defense and Ministry of Interior make hero payments to the families of

defense members and the national police force to provide long-term assistance. Full consideration must be

given to the hero payment system. Hero payments for non-national and national police casualties must be

approved on a case-by-case basis. All claims must be reviewed by a U.S. DOD attorney in order to determine

whether CERP, Solatia, or Foreign Claims funds will be used for payment.

PROTECTIVE MEASURES

1-20. Projects to repair or improve protective measures to enhance the durability and survivability of a critical infrastructure site (e.g., oil pipelines, power distribution) such as:

 Fencing.

 Lights.

 Barrier materials.

 Berms.

 Guard towers.

REPAIR OF CIVIC & CULTURAL FACILITIES

1-21. Projects to repair or restore civic or cultural buildings or facilities:

 Religious buildings.

 Civic/community centers.

 Women's centers.

 Athletic venues.

Program Overview

22 May 2017 ATP 1-06.2 1-7

 Libraries.

 Museums.

Note: Includes repair or reconstruction of previously existing structures only, not original

construction.

RULE OF LAW & GOVERNANCE

1-22. Projects to repair government buildings (e.g., administrative offices, court houses). CERP can be used to construct new rule of law or governance facilities in a local community. However, before beginning the

project, the commander must verify that the community already had rule of law and/or governance operations

ongoing. For example, if a community did not operate a court house, a jail, or an administration office, the

use of CERP is inappropriate to create that infrastructure. But, where a community was or is executing

governmental operations, CERP projects are appropriate to add capacity to those operations:

 Repair of governmental buildings.

 Support for the judicial system.

 Repair of jails or temporary holding facilities.

 Improvements to public service facilities.

 Support to divergent political party development.

Note: Includes repair or reconstruction of previously existing structures only, not original

construction

TELECOMMUNICATIONS

1-23. Projects to repair or extend communication over a distance. The term telecommunication covers all forms of distance and/or conversion of the original communications, including radio, telegraphy, television,

telephony, data communication, and computer networking. Includes projects to repair or reconstruct

telecommunications systems or infrastructure:

 TV stations (including equipment purchase, repair, and maintenance).

 Radio stations (including equipment purchase, repair, and maintenance).

 Governmental communications systems (telephones, two-way radios, repeaters, antennas).

 Loudspeaker systems.

 Landline point to point connections to connect systems.

TRANSPORTATION

1-24. Projects to repair or restore transportation to include infrastructure and operations. Infrastructure includes the transport networks (e.g., roads, railways, airways, canals, pipelines) that are used, as well as the

nodes or terminals (e.g., airports, railway stations, bus stations, seaports). The operations deal with the control

of the system (e.g., traffic signals and ramp meters, railroad switches, air traffic control):

 Transportation infrastructure (e.g., roads, railway tracks, airports, ports).

 Roads (e.g., dirt, gravel, cobblestone, brick).

 Culverts.

 Bridging.

 Traffic control measures.

WATER & SANITATION

1-25. Projects to repair or improve drinking water availability, to include purification and distribution. Building wells in adequate places is a way to produce more water, assuming the aquifers can supply an

adequate flow. Other water sources such as rainwater and river or lake water must be purified for human

consumption. The processes include filtering, boiling, and distillation among more advanced techniques (e.g.,

Chapter 1

1-8 ATP 1-06.2 22 May 2017

reverse osmosis). The distribution of drinking water is done through municipal water systems or as bottled

water. Sanitation, an important public health measure that is essential for the prevention of disease, is the

hygienic disposal or recycling of waste materials, particularly human excrement:

 Wells (regardless of the end user, unless the end user is the security forces).

 Water pumps.

 Water treatment facilities.

 Production or distribution of potable water and sanitation of that production capability.

 Establishing trash collection points.

 Waste disposal sites.

 Sewage treatment solutions.

 Retaining walls for flood prevention.

 Dumpsters.

 Public latrines.

 Water studies, including watershed studies.

 Water Testing.

OTHER URGENT HUMANITARIAN OR RECONSTRUCTION PROJECTS

1-26. There are unique projects to repair collateral damage that are not otherwise payable due to combat exclusions or condolence payments. For other urgent humanitarian projects, this category should be used

only when no other category is applicable. Under extraordinary circumstances, units can purchase the below

items for immediate distribution (within 30 days) to meet the urgent, humanitarian needs of the local

populace. Stock-piling of humanitarian assistance (HA) supplies is not authorized.

Note: CERP-funded humanitarian assistance should only be at the written request of United

Nations aid organizations. It will only be used for the indigenous populace and not for other

countries seeking refuge. This type of assistance should be the exception, not the norm.

 Tents.

 Tarps, plastic sheeting.

 Blankets.

 Clothes, shoes/boots, winter coats/gloves.

 Hygiene kits.

 Food (e.g., rice, beans, salt, sugar, tea, cooking oil).

 Stoves.

 Wood for stoves.

 Coal / charcoal.

 Refreshments for a conference in support of a CERP project.

1-27. Prior to the start of a CERP project, it is customary for U.S. or multinational forces to have a conference/meeting to identify the project and work out any specifics (e.g., location and land agreements,

security, labor, and sustainment). Also, during construction, additional conferences are customary to work

through any issues that may arise. The category for the conference will be the same as the category of the

specific CERP project(s) discussed at the conference.

Note: The intent of the conference must be in support of a specified CERP project(s). The category

for the meeting will be consistent with the subject of the specific CERP project(s).

PROGRAM RESTRICTIONS

1-28. Appropriated funds made available for CERP shall not be used for the following purposes:

 Direct or indirect benefit to U.S., multinational, or supporting military personnel.

Program Overview

22 May 2017 ATP 1-06.2 1-9

 Providing goods, services, or funds to national armies, National Guard forces, border security

forces, civil defense forces, infrastructure protection forces, highway patrol units, police, special

police, or intelligence or other security forces (except contract guards).

 Weapons buy-back programs or other purchases of firearms or ammunition, except as authorized

by law and separate implementing guidance.

 Entertainment (except light refreshment costs purely incidental to either an approved CERP

project opening ceremony or a conference in support of a CERP project).

 Reward programs.

 Removal of unexploded ordnance (unless incidental to construction or an agricultural

development project).

 Duplication of services available through municipal governments.

 Salaries, bonuses, or pensions for host nation military or civilian government personnel.

 Training, equipping, or operating costs of host nation security forces.

 Conducting military information support operations, information operations, or other U.S.,

multinational, or host nation Security Force operations.

 Support to individuals or private businesses (except for condolence, former detainee, hero or battle

damage payments as well as micro-grants).

Note: The above categories are IAW the DODFMR 7000.14-R, Volume 12, Chapter 27, which is

subject to change by OSD. These categories are accurate as of the publication of this manual.

Ensure consistency with current DODFMR.

REPORTING REQUIREMENTS

1-29. Pursuant to DOD Directive 5101.1, “DOD Executive Agent,” dated September 3, 2002, the Secretary of the Army shall serve as executive agent for the CERP, and in that capacity shall forward quarterly reports

to Congress, and shall promulgate through the responsible combatant commander and designated forward

commands, detailed procedures as necessary for commanders to carry out the CERP in a manner consistent

with applicable laws, regulations, and DODFMR 7000.14-R, Volume 12, Chapter 27. These procedures shall

include rules for expending CERP funds through contracts and grants.

1-30. Because of this directive, CERP projects need to be properly documented and continually monitored and maintained from project identification to project closure and turnover in the civil information

management (CIM) process, to include the uploading of complete project files. The CIM process uploads the

required data into the civil information grid. All CERP funds must be properly accounted for and reported

accurately to higher headquarters.

1-31. The overall success of CERP reporting is a central reporting database with checks and balances. The three main systems that track CERP information are the CIM system of record, the CERP

Reviewing/Reporting Toolset (CRRT), and the General Funds Enterprise Business System (GFEBS). The

CIM system of record is the database used to document and track all CERP projects within the theater of

operations. GFEBS is the system that tracks commitments, obligations, expenses, and disbursements. The

CRRT meets the Under Secretary of Defense – Comptroller’s revised reporting guidance by consolidating

financial information and project data.

1-32. The CIM system of record tracks project performance, provides all users an accurate status of current projects throughout the theater, provides a historical project file, and enables strategic and operational

planning for current and future operations. Data generated from this system is also used by other government

organizations Government Officials and Nongovernment Officials (NGOs) to synchronize projects, ensuring

there is no duplication of effort and the needs of the local populace are met. The battalion or brigade civil

affairs operations staff officer (S-9)/assistant chief of staff, civil affairs operations (G-9) should review all

civil affairs operations (CAO) projects to ensure the project is accurately and thoroughly reported by the

submitting unit. The S-9/G-9 will ensure that all CAO projects submitted support the commander's intent and

his civil-military operations plan. The S-9/G-9 will then submit the projects to the CIM within the civil-

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1-10 ATP 1-06.2 22 May 2017

military operations center for the purpose of updating and fusing of the civil information within the supported

command.

THEATER POLICY CONSIDERATIONS

1-33. Since this ATP is used as a doctrinal base, it does not contain specific policies that are prevalent in existing theater standard operating procedures or handbooks. Therefore, theater commanders must address

the following policies in order to implement the CERP within a specific theater:

 The need for a comprehensive baseline assessment as a justification criterion.

 General monetary threshold of the following projects or payments (anything above the established

threshold should be subject to higher levels of approval):

 General CERP projects.

 Rule of law projects.

 Micro-grants.

 HA Yard Replenishments.

 HA Yard Requests.

 Community Defense Initiative, Commander’s Small-Scale Projects, and other initiatives.

 Bulk funding limit (per echelon).

 Special Payments (Condolence, Battle Damage, Former Detainee, and Hero Payments).

 Additional funding approvals for in-progress projects and percentage increase thresholds.

 Validation requirements for special payments (i.e., providing pictures or an address of the payee

to verify legitimacy and to prevent fraudulent payments).

 Threshold amount for requirement for a commander’s justification.

 Procedures and threshold for legal reviews (i.e., systematic review in CIM system of record vs.

memorandum format).

 Appointing authorities for accountable positions within the CERP: project manager (PM), project

purchasing officer (PPO), paying agent (PA).

 Delegation authority/threshold for approval.

 Frequency, method, and format of reports.

 Physical project file/financial system reconciliation procedures.

 Frequency and method of assistant chief of staff. civil affairs operations (S-9/G-9) and assistant

chief of staff. financial management (G-8) staff assistance visit.

 PPO contracting thresholds.

 Host nation capacity in planning/execution of projects (e.g., amount of host nation engineers that

must be involved in the planning/execution of projects, alignment of the commander and his staff

with appropriate host nation government officials).

 Threshold for requirement of sustainability MOA with local government (should be determined

and agreed upon prior to money being obligated).

 PM/PPO project volume threshold.

 Validation requirements for payments to contractors working on projects as they are completed

IAW measures of performance and measures of effectiveness established for each project.

 Evaluation of CERP leaders based on delivery of desired effects, not money spent.

 Feasibility of cost-share agreements (e.g., U.S. will fund 75% of a project if host nation or local

government funds 25%).

 Policies that mitigate risk associated with misinterpretation of signatory documents (e.g.,

contracts, memorandums of agreement) signed by host nation officials or local government leaders

(e.g., feasibility of signing with thumb prints, translation of documents, host nation government

co-signatory).

 Policies that mitigate risk associated with the employment of minors (due to misidentification).

22 May 2017 ATP 1-06.2 2-1

Chapter 2

Personnel Responsibilities

This chapter describes roles, responsibilities, and the administrative preparation of

personnel who will execute the program. This chapter lays the foundation for all

participants to understand the responsibilities of each member and the uniqueness of

their roles. It also outlines the requirements to appoint the Departmental Accountable

Officials and Certifying Officers who are involved in the program. These appointments

are required prior to program execution.

SECTION I – ROLES AND RESPONSIBILITIES

2-1. In order for the Commander to reach the desired end state during CERP operations, an enterprise of critical players at local, military, and national level have to come together. Each organization has a specific

role in the process.

COMMANDER

2-2. The Under Secretary of Defense (Comptroller)/Chief Financial Officer, DOD, is responsible for establishing, overseeing, and supervising the execution of CERP policies and procedures. The Under

Secretary is also responsible for reporting CERP activities timely to congressional defense committees

through the quarterly reports required under section 1202(b) of the “National Defense Authorization Act for

FY 2006,” January 6, 2006, as amended. The Secretary of the Army serves as executive agent for CERP and

is responsible for forwarding the quarterly reports to Congress and issuing detailed procedures for military

commanders to implement CERP consistent with applicable laws, regulations, and guidance.

2-3. The Theater Commander has oversight over CERP within the Theater of Operations. The commander shall publish guidance identifying objectives and goals, and shall coordinate reports for submission to higher

authorities. Annually, he or she will publish the Commander’s CERP Guidance illustrating his priorities for

humanitarian assistance within the theater. The commander will review all CERP projects greater than $1M

and approve them for submission to the appropriate combatant commander (i.e. COCOM). For projects

greater than $1M, the ommander will ensure that local, national, donor nation, nongovernment organizations,

or other aid or reconstruction resources are not reasonably available before CERP funds are used.

2-4. Commanders have oversight over CERP within their area of operations and coordinate, identify, and approve CERP projects or payments for subordinate units. They ensure proper management, reporting, and

fiscal controls are in place to account for CERP funding. Commanders also appoint PMs, PPOs, and PAs to

execute CERP. Commanders must ensure that the PMs, PPOs, and PAs are not over-extended and duties are

commensurate with their skill set and that every PA entrusted with CERP funds is provided a vault, safe, or

other adequate secured facility for his exclusive use. Commanders ensure that local, national, donor nation,

NGOs, or other aid or reconstruction resources are not reasonably available before any CERP funds are used

and are responsible for determining the appropriate allocation of CERP funds amongst subordinate

commands. At least annually, they publish the ommander’s CERP Guidance, which illustrates priorities for

humanitarian assistance within their area of operations. Lastly, they review and submit CERP reports through

the chain of command to the Secretary of the Army to ensure that the commanders’ use of CERP funds are

consistent with the intent of the program, maximize the benefits to the local population, and best influence

conditions on the ground.

Chapter 2

2-2 ATP 1-06.2 22 May 2017

ASSISTANT CHIEF OF STAFF, CIVIL AFFAIRS OPERATIONS

2-5. The assistant chief of staff, civil affairs operations (G-9) is the principal and coordinating staff officer for synchronizing CAO and integrating civil military operations in relation to CERP requirements. The G-9

conducts the initial assessment during mission analysis that determines civil affairs (CA) force augmentation

requirements. The G-9 coordinates with supporting CA forces and the civil-military operation center to

conduct interagency collaborative planning/coordination and integration of nonmilitary stakeholders with the

staff to synchronize operations. The civil affairs planning team augments and supports the G-9 staffs at

division and higher levels to assist in this process. The G-9 staff provides direction and staff oversight of the

supporting CA unit during CERP execution. The commander develops guidance for his unit on how to

appropriately manage CERP projects from nomination to closure and possible transfer to the host nation

government. He advises the commander on the prioritization and monitoring of expenditures of allocated

Overseas Humanitarian Disaster and Civic Aid, CERP, payroll, and other funds and develops tangible performance metrics to measure effectiveness of projects dedicated to CAO objectives. The G-9 facilitates a

CERP Review Board (chaired by the Executive Officer /Chief of Staff, which validates and prioritizes CERP

Projects that require the commander’s approval. The G-9 ensures subordinate units understand the

movement, security, and control of funds and coordinates with the G-8 to meet the commander’s objectives.

The G-9 has overall responsibility to review and submit an accurate cumulative Project Status Report monthly

and quarterly as required by the DODFMR 7000.14-R, Volume 12, Chapter 27. If the unit does not have an

assigned CAO staff officer, the commander may assign these responsibilities to another staff member.

CERP MANAGER

2-6. The CERP Manager with CERP requirements. A CERP Manager is required for every battalion-level U.S. commander and above who participates in the CERP, and the management of the CERP should be this

individual’s primary duty. The CERP Manager provides liaison between the subordinate units and higher

headquarters in relation to all CERP projects executed under his commander’s authority by ensuring

consistency between subordinate CERP Managers, identifying timelines for program updates, and routinely

conducting staff assistance visits. The CERP Manager ensures that CERP projects are in accordance with

CERP guidelines outlined in DODFMR 7000.14-R, Volume 12, Chapter 27 and assists the G9/S9 in

coordinating CERP requirements through the unit’s functional staff and with higher level command. The

CERP Manager manages the unit’s CERP budget, ensures that the unit’s commitments and obligations do

not exceed allocated funding and validates that the funds committed and obligated are only for projects for

which they were approved. He conducts routine CERP refresher training for all appointed PMs, PPOs, and

PAs and coordinates with supporting staff. The CERP Manager provides PMs with sufficient time to manage

projects from project design, validation, and execution through sustainment and periodically reviews a

sample of completed projects listed on the CRRT and reconciles them with the project files in the civil

information manager system of record.

ASSISTANT CHIEF OF STAFF, FINANCIAL MANAGEMENT

2-7. The assistant chief of staff, financial management (G-8) provides financial oversight, certifies the availability of CERP funds and ensures fiscal controls are in place. The most common level at which CERP

funds are certified are at the Division G-8 (The Installation Management Command Resource Manager in

garrison does not fund theater projects). The G-8 monitors unliquidated obligations to ensure 100%

disbursement and/or the de-obligation of unexecuted funds in order to maximize use of funding, maintain an

accurate accounting system and routinely provide CERP funding requirement estimates (spend plans). The

G-8 is responsible for updating the financial information of each project into the CRRT and coordinates with

subordinate units to determine specific CERP funding requirements. The G-8 develops annual CERP funding

requirements based on input and the commander’s guidance. He routinely conducts staff assistance visits

with subordinate units and provides guidance on the fiscal prudence of CERP projects and coordinates data

calls for overall CERP requirements to build spend plans and localized budgets. He requests funding on a

quarterly basis, or as needed, and receives annual program authority and funding from higher headquarters.

The G-8/S-8 coordinates with higher headquarters for additional program authority if required and develops

recommended funds distribution plan based on funding requirements identified by subordinate commanders.

Personnel Responsibilities

22 May 2017 ATP 1-06.2 2-3

He distributes funding to subordinate G-8s, following the funds distribution plan as closely as possible and

evaluates funds execution prior to distributing funds increases.

INFORMATION OPERATIONS OFFICER

2-8. Because the non-lethal effects generated by CERP have significant impact on the information environment—particularly in the cognitive dimension, by affecting the attitudes and behaviors of audiences

in the area of operations—the information operations officer ensures that CERP is synchronized with other

non-lethal and information-related effects. This synchronization occurs through the information operations

working group, to which the G-9 is a core member. As necessary, the CERP manager may attend the

information operations working group to ensure CERP efforts are complemented or amplified by the efforts

of other information-related capabilities, such as public affairs, combat camera, and military information

support operations. All members of the information operations working group also seek to mitigate possible

unintended consequences of CERP, such as creating have/have-not scenarios where groups not receiving

CERP report bias.

ENGINEER

2-9. The Engineer is the reconstruction functional program manager responsible for coordinating reconstruction efforts, status reporting, and planning. He has access to reach back capabilities through the

U.S. Army Corps of Engineers that can assist in researching technical solutions that are beyond the capacities

of embedded engineer units and staff members. Within the context of the unit CERP, the staff engineer can

be expected to assist with engineering assessments of indigenous infrastructure systems and public services,

identify options and potential engineering solutions to infrastructure-related issues, and prepare and/or review

the project's statement of work (SOW). The engineer assists in conducting quality control and quality

assurance inspections of completed work and reviews the design schematics for horizontal and vertical

construction projects submitted to the CERP Review Board to ensure technical sufficiency and the adherence

to international building standards. The Engineer coordinates with the host nation government to build host

country capacity in project planning and execution, as necessary.

DEPUTY DISBURSING OFFICER/DISBURSING AGENT

2-10. The disbursing officer (DO) holds an account with the US Treasury and is responsible for all the government funds (cash and negotiable instruments) within a specific area of responsibility. He appoints

Deputy Disbursing Officers (DDO) and Disbursing Agents (DA)s, who are responsible for training, funding,

and clearing PAs. The DO and his agents are charged with complying with existing financial management

regulations, policies, and procedures regarding the management of these funds. The DDO/DA makes cash

payments exceeding the PA’s threshold in addition to electronic funds transfer (EFT) or Limited Depositary

Checking Account payments to vendors at the request of the PPO or contracting officer,

CONTRACTING OFFICER

2-11. The contracting officer is a Service member of Department of Defense civilian with the legal authority to enter into, administer, modify, and/or terminate contracts (JP 4-10). Contracting officers are

responsible for training, appointing, and clearing PPOs. They also train PMs as contracting officer

representatives. Because contracting officers receive in-depth training on contracting procedures, they are

responsible for assisting and ensuring PPO actions comply with contract law, executive orders, regulations,

and other applicable procedures.

STAFF JUDGE ADVOCATE

2-12. A staff judge advocate (SJA) is the principal advisor to the commander and staff on matters of law (including contract and fiscal law). The SJA is an accessible source and wealth of information with whom

the G-8 and S-8 interacts routinely. SJAs conduct legal reviews, which are an important component of any

requirements packet. Though the SJAs opinion does not grant relief from a potential Anti-Deficiency Act

violation, they are nonetheless invaluable in navigating the maze of fiscal law. As a member of the brigade

Chapter 2

2-4 ATP 1-06.2 22 May 2017

combat team commander’s special staff, the specific duties of the brigade SJA will be dictated by the

command and unit standing operating procedures. The brigade SJA can be expected to review project

nominations to ensure they are in compliance with established theater guidelines and orders, receive,

investigate, and recommend adjudication of civilian claims for battle damage of personal property,

recommend adjudication of claims for condolence payments due to civilian deaths or injuries that result from

multinational operations, and propose/support CERP projects for government facilities and services

necessary to enhance the indigenous rule of law capacity. To ensure that commanders do not inadvertently

use CERP funds for a project more appropriately funded with Operations and Maintenance funds, legal

reviews are required for all CERP projects, micro-grants, and humanitarian assistance requests. Depending

on local policy, legal reviews can be documented by a SJA's signature, duty position, and date, on the report

in the CIM system of record or in a memorandum format and uploaded to the CIM system of record. Legal

counsel can be provided via phone to the commander in the field; however, a formal review must be

accomplished, at the earliest date possible. Condolence, battle damage, former detainee & Afghan hero

payments do not require a legal review. However, all claims must be reviewed by a U.S. DOD attorney in

order to determine whether CERP, Solatia, or Foreign Claims funds will be used for payment.

PROJECT MANAGER

2-13. The project manager (PM) monitors and accepts construction projects performed by a vendor. The PM is trained by the contracting officer as a contracting officer representative (COR) to perform these duties.

Because of this, the PM cannot also be appointed as a PA, handle physical cash, or make payments to vendors.

Project Management will be a primary duty of the individual appointed and their supervisor will ensure the

evaluation reports properly reflect project management duties and responsibilities. The PM manages the

project from nomination to completion, updating the CIM system of record as changes occur within the

project’s timeline, closing out active projects appropriately, and maintaining the project file in accordance

with local standard operating procedures. He conducts regular site visits. Upon arrival in theater, PMs

conduct a “right-seat-ride” with the re-deploying PM to foster continuity, practical skill set, knowledge

development, and proper project turnover.

PROJECT PURCHASING OFFICER

2-14. The project purchasing officer (PPO) performs some of the duties of the contracting officer at the unit level. The PPO is a USG employee who is trained by the contracting officer to make contracts in limited

scope with local vendors and places orders for goods or services and whose contracting threshold is

determined by theater contracting policies. PPOs are individuals whose regular duties do not involve

contracting functions and who are not organizationally located in a contracting office. They are appointed to

the position of PPO as a collateral duty and will be under the technical supervision of the contracting officer

in all matters concerning the administration of contracts with vendors. The PPO is paired with a PA in order

to maintain separation of duties. Because of this, the PPO cannot be appointed as a PA, handle physical cash,

make payments to vendors, or hold other accountable positions such as property book officer or property

accountability officer. The PPO, however, may also be a PM. The PPO ordinarily interfaces with the G-8

and the contracting officer on a routine basis.

PAYING AGENT

2-15. The paying agent (PA) is an extension of the DO at the unit level. The PA is an individual who is trained by the DDO/DA to account for government funds and make payments in relatively small amounts to

local vendors. PAs are individuals whose regular duties do not involve disbursing functions and who are not

organizationally located in an FM disbursing office. They are appointed to the position of PA as a collateral

duty, and will be under the exclusive supervision of the DDO/DA in all matters concerning custody and

disposition of funds advanced to them. As mentioned above, the PA is paired with an PPO and cannot be

appointed as an PPO, order or request (i.e., contract for) goods or services, or hold other accountable positions

such as property book officer or property accountability officer or PM. Most importantly, the PA will not

make payments without the express authorization from the PPO. The PA interacts with the DDO/DA on a

routine basis. Figure 2-1, CERP Relationships, displays a representation of the interaction between key

players during a CERP project.

Personnel Responsibilities

22 May 2017 ATP 1-06.2 2-5

Figure 2-1. CERP relationships

Chapter 2

2-6 ATP 1-06.2 22 May 2017

SECTION II – ADMINISTRATIVE PREPARATION

2-16. HQDA Executive Order 048-10 dated 5 December 2009, requires Army units to identify commanders, PMs, PPOs, and PAs no later than 180 days prior to their arrival dates in theater, with individual training

completed no later than 90 days prior to the arrival date. DOD requires all unit personnel with CERP

responsibilities (Commanders, CERP Managers, PMs, PPOs, PAs, SJAs, financial managers, and engineers)

to complete the CERP Foundation Course, offered on-line via Army Learning Management System. The

following personnel need to receive nominations, appointments, and/or training in order to perform duties in

the CERP.

CERP MANAGER

2-17. The CERP Manager must receive appointment orders by the commander as a primary duty. Must hold a rank consistent with theater policy requirements. The CERP Manager provides oversight to CERP’s

research operations, including review of research plans and monitoring of field practices. The CERP Manager

should design a set of quality control protocols for CERP research projects. The CERP Manager also reviews

formal reports to donors and research partners, and provides other support as required.

PROJECT MANAGER

2-18. The PM must be a USG employee, receive nomination by the commander in writing and not be appointed as a CERP Manager or PA. The project manager must receive training and appointment orders

from the contracting officer as a COR. The project manager’s rank must be consistent with theater policy

requirement and must know the technical aspects of assigned projects (i.e., if performing COR duties on a

construction project, must be an engineer by trade).

PROJECT PURCHASING OFFICER

2-19. The PPO must be a USG employee, receive nomination by the commander in writing and not be appointed as a CERP Manager or PA. The project purchasing officer must receive training and appointment

orders from the contracting officer as a PPO. He or she must hold a rank consistent with theater policy

requirement before receiving appointment by the commander as a Certifying Officer on a DD Form 577,

(Appointment/Termination Record-Authorized) Signature. Finally, must receive Certifying Officer

Legislation training (refer to DODFMR 7000.14-R, Volume 5, Chapter 33).

Note: The PPO will be appointed as a certifying officer only for special payments (e.g.,

condolence, battle damage, hero, former detainee) and micro-grants. The PPO will not certify any

payments on contracts or micro-purchases that they make (individually-funded and bulk-funded).

PPOs may be held pecuniary liable for special payments or micro-grants that they certify that are

not appropriate with CERP funds. See Appendix B for more details.

PAYING AGENT

2-20. The PA is usually a USG employee, however defense policies may allow for multinational members. The individual must receive appointment by the commander on a DD Form 577 and not be appointed as a

CERP Manager, PM or PPO. The PA must receive training by the DDO/DA and hold a rank consistent with

theater PA policy requirement

22 May 2017 ATP 1-06.2 3-1

Chapter 3

Process Overview

This chapter provides a general overview of each of the processes associated with a

CERP requirement. It describes the different methods for funding a CERP requirement

and the stages that each method undergoes. This assists participants in understanding

the timing of specific tasks. Detailed individual tasks within these processes are

explained in Appendices A-D and are organized by personnel who manage and execute

CERP. Appendix E contains the respective documents to appoint the personnel along

with the forms they utilize in managing CERP.

SECTION I – INDIVIDUALLY-FUNDED REQUIREMENTS

3-1. This process is appropriate when a requirement is well-defined and scoped. The advantage is that it allows the commander to justify purchases of a larger scale. The disadvantage is that it must be properly

vetted in accordance with local approval procedures, which may take time, depending on the approval

thresholds in place. This process calls for justification of the purchase to the G-8 before certification of funds

availability. Additionally, the necessity to use a contracting officer instead of the PPO to contract for the

goods or services is also determined by prevalent contracting thresholds.

ASSESSMENT/COORDINATION/NOMINATION

3-2. Commanders in conjunction with their CA staff officer coordinate and determine project needs to gain the greatest effect, ensure effect synchronization and provide for documented host nation project acceptance

with follow-on project maintenance and/or sustainment while seeking to meet urgent humanitarian and

reconstruction needs. To accomplish this, they coordinate with local officials and U.S. and foreign

governmental and nongovernmental agencies that operate in their area of operations to prevent duplication

of efforts and resources.

3-3. Once the project has been identified and coordinated by the commander and G-9, the CERP Manager assigns the project to a PPO and/or PM. The individual (PPO or PM) responsible for accepting the goods or

services for a particular project is also responsible for initiating and managing the project’s documentation,

updating the CIM system of record with project information, monitoring financial status in the CRRT,

responding to requests for information from higher headquarters (including U.S. Army Central, U.S. Central

Command, Joint Staff, Army Budget Office, and via the CRRT, and maintaining files for the project from

nomination until closure.

APPROVAL

3-4. Once the project documentation has received concurrence or action from the required functional staff, the CERP Manager reviews the packet for completeness, ensures it is entered into the CIM system of record

and will display in the CRRT, and ideally facilitates a Review Board as part of the approval process (the

commander approves/disapproves projects in this forum). For projects that require a higher level of approval,

the nomination packet must be sent to the next higher-level CERP Manager for review, coordination and/or

approval. This process is mirrored at each level until the proper approval authority has approved or

disapproved the project.

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3-2 ATP 1-06.2 22 May 2017

FUNDING

3-5. In order to obtain funding from the higher command’s G-8, the commander must have a list of validated, critical requirements that have been approved, staffed and are ready to execute. After the

appropriate level of approval, the PPO uploads the commander’s approval documents into the CIM system

of record and forwards the packet to the PPO, who sends the requirements packet to the G-8 for certification

of funds availability. The G-8 assigns a document reference number and certifies the DA Form 3953,

Purchase Request and Commitment (PR&C) by completing blocks 19-22, which includes the assignment of

a line of accounting (LOA), and committing the funds in the accounting system.

3-6. Once the DA Form 3953, (PR&C) has been certified, the G-8 returns the packet to the PPO, who forwards a copy of the approved and funded requirements packet to the CERP Manager. The PPO or PM

uploads the certified DA Form 3953 into the CIM system of record and annotates the project as “In Progress.”

The PPO also forwards a copy of the DA Form 3953, to the PA, who uses the document to draw cash from

the DDO/DA.

EXECUTION/MONITORING/EVALUATION

3-7. With a funded requirements packet, the PPO begins the process of seeking bids and awarding the contract. Once the contract is awarded, the PPO sends a copy of the final contract to the G-8 for obligation

of funds. The G-8 updates GFEBS with obligation information. The PPO/PM maintains a copy of the final

contract.

3-8. The PPO/PM monitors and evaluates the progress of the project until completion and monitors the CRRT to ensure the project data and associated financial data display properly through completion. The

PPO/PM consolidates all documents generated during the project. All required documents listed on the CERP

project file checklist must be forwarded to the CERP Manager to be included in the official project file and

the PPO/PM uploads the documents to the CIM system of record as the project progresses.

ACCEPTANCE/PAYMENT

3-9. Before payment can be made, the vendor must deliver goods or services as outlined in the contract and submit an invoice to the contracting officer/PPO/PM. Once goods or services are accepted, payment must be

made in accordance with the contract terms. Options available for payment are EFT, check, and cash (US or

foreign). All EFT payments are made by the DDO/DA and must be requested by the contracting

officer/PPO/PM. If EFT option is unavailable, the DDO/DA or PA (depending on the amount of the payment)

may make the payment in cash.

3-10. If the contracting officer executed the contract, payment is usually made by the DDO/DA. If the PPO executed the contract, payment is usually made by the PA.

PROJECT MONITORING AND PERFORMANCE METRICS

3-11. All projects must have progress monitoring to ensure payments are commensurate with work accomplished and engineering standards are met. The PO delegation memo should note that assistance from

either the organization’s engineers, or another unit’s engineers, may be requested to assist in determining

construction progress. All projects involving grants must be monitored to ensure grant funds are fully

expended on the approved initiative.

CLEARANCE

3-12. In order to clear the project, the PA first clears with the DDO/DA and furnishes copies of these clearance documents to the PPO. With the PA’s clearance documents, the PPO drafts a commander’s

clearance memorandum and clears with the commander. Finally, the PPO clears with the G-8 with all the

documents associated with a project.

Process Overview

22 May 2017 ATP 1-06.2 3-3

CLOSURE

3-13. Upon project closure, the PPO submits all project documents to the CERP Manager, who obtains a clearance memorandum from the CDR. The PPO/PM adds the commander’s clearance memorandum to the

project file and uploads it to the CIM system of record. The PPO then submits the completed project file to

the G-8 for review and reconciliation. The PPO is responsible for making corrections or providing

memorandums explaining lost or illegible documents. If this situation occurs, the documents must be

endorsed by the approving commander.

3-14. After receiving all the required project documentation, the G-8 reconciles accounts in the accounting system and monitors the CRRT until all final obligation and payment information is accurately reflected. The

G-8 maintains documents on file for future review or audit. Once the project has been completed, terminated,

or cancelled, all bills paid, and the PPO and PA have cleared, the PPO provides all documents to the CERP

Manager, who maintains the files.

TURNOVER

3-15. The PPO/PM closes projects in the CIM system of record that are turned over to local authorities, changes the “Project Status” field to “Completed”, and completes the “Project Closure” section. If funds were

de-obligated, then the “Amount Allocated” field in the CIM system of record should be updated.

FLOWCHART

3-16. The process for individually-funded CERP requirements is depicted in figure 3-1, on page 3-4, (vertical arrows depict chronological sequence; horizontal arrows depict actions performed by specific individuals in

the process).

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3-4 ATP 1-06.2 22 May 2017

Figure 3-1. Individually-funded CERP requirement flowchart

SECTION II – BULK-FUNDED REQUIREMENTS

3-17. This process is appropriate for requirements of a relatively smaller scale. The advantage is that it allows the commander to have funds on hand, ready to make purchases when he identifies a requirement. The

disadvantage is that he is limited in the amount of the purchase. The commander may have a bulk fund

account in addition to individually-funded requirements. Theater approval thresholds may limit the suitability

of this method of funding, since they are usually much lower than that of the individually-funded process.

The most notable difference with this process is that certification of funds availability by the G-8 comes

before the approval of purchases. Additionally, goods or services that are bulk-funded must be received in

whole by the time allotted to clear the bulk funds from the G-8. This generally limits bulk-funded

requirements to goods, special payments (see section III below), or short-term services. As a result of the

Process Overview

22 May 2017 ATP 1-06.2 3-5

above limitations, the commander should bulk-fund those requirements that meet these criteria and seek

funding for larger, individual requirements.

FUNDING

3-18. The PPO initiates the bulk-fund packet and forwards the documentation to the CERP Manager for review. The CERP Manager routes the packet for the commander’s approval. Once the commander approves

the DA Form 3953, the PPO forwards the bulk fund packet to the G-8 who certifies if funds are available or

attempts to acquire funds. The G-8 certifies the DA Form 3953, by completing blocks 19-22, which includes

the assignment of a LOA. The G-8 assigns a document reference number, updates GFEBS with commitment

information and returns the packet to the PPO. The PPO also forwards a copy of the DA Form 3953 to the

PA who then draws cash from the DDO/DA. Within a GFEBS environment the above process is automated.

The following figure 3-2, illustrates the GFEBS process of transactions linked to the PA and the FOO.

Figure 3-2. Paying agent and field ordering officer GFEBS process

3-19. Fund certifiers, certifying officers, contracting officers, and grants officers must have delegated authority to certify the availability of funding (commit or obligate) in GFEBS, certify invoices and vouchers

for payment, award contracts, and award assistance instruments, respectively. This authority is evidenced by

a delegation of authority letter for fund certifiers, a DD Form 577 for certifying officers, a warrant for

contracting officers, and a statement of appointment or warrant for Grants Officers.

ASSESSMENT/COORDINATION/NOMINATION

3-20. Commanders, in conjunction with their CERP Managers, coordinate and determine project needs to gain the greatest effect, ensure the synchronization of effects and provide for documented host nation project

acceptance with follow-on project maintenance and/or sustainment while seeking to meet urgent

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3-6 ATP 1-06.2 22 May 2017

humanitarian and reconstruction needs. To accomplish this, they coordinate with local officials and U.S. and

foreign governmental and nongovernmental agencies that operate in their area of operations to prevent

duplication of efforts and resources. Once projects have been identified and coordinated by the commander

and G-9, the PPO coordinates with other functional staff to nominate projects.

APPROVAL

3-21. Once individual projects have received concurrence or action from the required functional staff, the CERP Manager reviews the requirements for completeness, and the G-9 ideally facilitates a Review Board

as part of the approval process (this is the same Review Board as mentioned for individually-funded

requirements in paragraph 3-4, in which the commander approves or disapproves projects or payments). The

commander signs an approval memorandum for each of the projects within a bulk fund.

EXECUTION

3-22. With funding available, and projects approved and prioritized, the commander bulk-funds those projects that meet the monetary criteria, in the order that they appear on the unfinanced requirements list

prepared by the Review Board. The PPO then begins the process of seeking bids and awarding the contracts

on the bulk fund and monitors the progress of bulk fund projects until completion.

ACCEPTANCE/PAYMENT

3-23. Before payment can be made, the vendor must deliver goods or services as outlined in the contract and submit an invoice to the PPO. Once goods or services are accepted, the PA makes payment in accordance

with the contract terms. Usually, a standard form 44, (Purchase Order-Invoice-Voucher) is used as the

invoice, receipt, and acceptance document. The PPO places identifying GFEBS reference numbers on the SF

44s and then enters the numbers with the corresponding project data in the CIM system of record such that

each individual project of the bulk fund is displayed as a separate line entry (with the correct financial data)

in the CRRT. PPOs shall ensure that all costs (i.e., all SF 44s) for the same project receive the same

identifying reference number.

CLEARANCE

3-24. In order to clear the project, the PA first clears with the DDO/DA and furnishes copies of these clearance documents to the PPO. With the PA’s clearance documents, the PPO drafts a commander’s

clearance memorandum for each project and clears with the commander. Finally, the PPO clears with the G-

8 with all the documents associated with a project.

CLOSURE

3-25. Upon project closure, the PPO submits all project documents to the CERP Manager, who obtains clearance memorandums for each project from the commander. The PPO adds the commander’s clearance

memorandum to the project file and uploads it to the CIM system of record. The PPO then submits the

completed project file to the G-8 for review and reconciliation. The PPO is responsible for making corrections

or providing memorandums explaining lost or illegible documents. If this situation occurs, the documents

must be endorsed by the approving commander.

3-26. After receiving all the required project documentation, the G-8 reconciles accounts in the accounting systems and monitors the CRRT until all final obligation and payment information is reflected accurately.

The G-8 maintains documents on file for future review or audit. Once the project has been completed,

terminated, or cancelled, all bills paid, and the PPO and PA have cleared, the PPO provides all documents to

the CERP Manager, who maintains the files.

Process Overview

22 May 2017 ATP 1-06.2 3-7

TURNOVER

3-27. The PPO closes projects in the CIM system of record that are turned over to local authorities, changes the “Project Status” field to “Completed”, and completes the “Project Closure” section. If funds were de-

obligated, then the “Amount Allocated” field in the CIM system of record should be updated.

FLOWCHART

3-28. The process for bulk-funded CERP requirements is depicted in figure 3-3 below (vertical arrows depict chronological sequence; horizontal arrows depict actions performed by specific individuals in the process).

Figure 3-3. Bulk-funded CERP requirement flowchart

SECTION III – BULK-FUNDED SPECIAL PAYMENTS (CONDOLENCE, BATTLE DAMAGE, HERO, FORMER DETAINEE)

3-29. This section outlines procedures associated with special payments, such as Condolence, Battle Damage, Hero, and Former Detainee payments. They are usually made from a bulk fund and paid on a

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3-8 ATP 1-06.2 22 May 2017

Department of Defense (DD) Form 1351-6, (Multiple Payments List). Because they are not procurement-

related, there is no acceptance of goods and services and a loss can only occur due to combat action. These

payments necessitate the requirement for the PPO to be appointed as a Certifying Officer in order to certify

that payments are proper with CERP funds. Certifying Officers have pecuniary liability (personal

responsibility) when certifying payments made from appropriated funds.

Note: Projects to rectify battle damage may be done in lieu of making cash payments. In this case,

follow the procedures for bulk or individually-funded requirements.

FUNDING

3-30. The PPO initiates the bulk-fund packet and forwards the documentation to the CERP Manager for review. The CERP Manager routes the packet for the commander’s approval. Once the commander approves

the DA Form 3953, the PPO forwards the bulk fund packet to the G-8 who certifies if funds are available or

attempts to acquire funds. The G-8 assigns a document reference number and certifies the DA Form 3953,

by completing blocks 19-22, which includes the assignment of a LOA. The G-8 updates GFEBS with

commitment information and returns the packet to the PPO. The PPO also forwards a copy of the DA Form

3953, to the PA who then draws cash from the DDO/DA

APPROVAL

3-31. The PPO drafts an approval memorandum and routes it to the CERP Manager, who reviews it for completeness and ideally facilitates a Review Board as part of the approval process (this is the same Review

Board as mentioned for individually-funded requirements in paragraph 3-4, in which the commander

approves or disapproves projects or payments). Special payments must be approved by the commander (this

includes confinement facility commanders), except for certain payments which are automatically entitled

(e.g., Former Detainee Payments), unless specifically prohibited by a commander. For payments that require

a higher level of approval, the approval memorandum must be sent to the next higher-level CERP Manager

for review, coordination and/or approval. This process is mirrored at each level until the proper approval

authority has approved or disapproved the payment.

CERTIFICATION/PAYMENT

3-32. After the commander approves the payment, it must be certified by the PPO (this can be done on the approval memo). With funds available for the payment, the commander’s approval, and the PPO’s

certification that the payment is proper, the PA makes payment to the individual, usually using an SF 44. The

PA shall number each SF 44 with the appropriate GFEBS document reference number.

CLEARANCE/CLOSURE

3-33. In order to clear the project, the PA clears with the DDO/DA. The PA provides the clearance documents to the PPO, who consolidates all documents and submits them to the CERP Manager. The CERP Manager

obtains a clearance memorandum from the CDR. The PPO adds the commander’s clearance memorandum

to the project file and uploads it to the CIM system of record. The PPO then submits the completed project

file to the G-8 for review and reconciliation. The PPO is responsible for making corrections or providing

memorandums explaining lost or illegible documents. If this situation occurs, the documents must be

endorsed by the approving commander.

3-34. After receiving all the required project documentation, the G-8 reconciles accounts in the accounting systems and monitors the CRRT until all final obligation and payment information is reflected accurately.

The G-8 maintains documents on file for future review or audit. Once the project has been completed,

terminated, or cancelled, all bills paid, and the PPO and PA have cleared, the PPO provides all documents to

the CERP Manager, who maintains the files.

Process Overview

22 May 2017 ATP 1-06.2 3-9

FLOWCHART

3-35. The process for bulk-funded special payments is depicted below in figure 3-4 (vertical arrows depict chronological sequence; horizontal arrows depict actions performed by specific individuals in the process).

Figure 3-4. Bulk-funded special payment flowchart

SECTION IV – MICRO-GRANTS

3-36. The micro-grant program expands the flexibility of CERP and authorizes commanders to provide cash, equipment, tools, or other material support to small businesses that lack available credit or financial

resources. Micro-grants must be used with strict disciplinary measures in place to ensure the economic

development objectives of the command are being advanced. The intent of the program is to increase

economic activity, particularly in areas where small businesses have suffered because of insurgent or

sectarian violence. Micro-grant payments are not procurement, because there is no explicit delivery or

acceptance of goods or services (i.e., there is no formal contract), though the monitoring of results can

determine the effectiveness of the grant and subsequent grant-making activities.

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3-10 ATP 1-06.2 22 May 2017

SOLICITATION

3-37. Commanders and CA staff officers shall maximize the use of partners through coordination in order to maximize and solicit applicants to the extent practical. Potential local partners include Provincial

Development Committees, Community Development Councils, NGOs, tribal leadership, college and

university officials, agricultural cooperatives, business development centers, and any other formal or

informal entity supportive of efforts with sufficient outreach in their community. Final selection of grant

recipients, however, remains with the commander. Regardless of the source of the applicant and

recommendations for approval, only those applications proposing viable business ideas should be approved.

Once a thorough solicitation has been done by the commander and G-9, the PPO coordinates with other

functional staff to nominate applicants.

APPROVAL

3-38. Grants are awarded based on applications submitted by potential grantees. As the target grantees are experienced, but not large entrepreneurs, application procedures should be kept as simple as practical. Formal

business plans or financial projections should not be required. Once the grants have received concurrence or

action from the required functional staff, the CERP Manager reviews the packet for completeness, ensures it

is entered into the CIM system of record and the CRRT, and ideally facilitates a Review Board as part of the

approval process (this is the same review board as mentioned for individually-funded requirements in

paragraph 3-4, in which the commander approves or disapproves projects or payments). For grants that

require a higher level of approval, the nomination packet must be sent to the next higher-level CERP Manager

for review, coordination and/or approval. This process is mirrored at each level until the appropriate approval

authority has approved or disapproved the grant.

FUNDING

3-39. After the appropriate level of approval, the PPO uploads the commander’s approval documents into the CIM system of record and forwards the packet to the PPO, who sends the requirements packet to the G-

8 for certification of funds availability. The G-8 certifies the DA Form 3953, by completing blocks 19-22,

which includes the assignment of an LOA, and committing the funds in GFEBS accounting system. Since

the G-8 will also have the approved micro-grants in the packet, he may also obligate funds at that time.

Note: GFEBS is the Army’s integrated financial management system for funds distribution,

execution and reporting. The system provides real-time visibility of transactions as well as

historical data to enable better analyses and to make better informed decisions.

3-40. Once the DA Form 3953, has been certified, the G-8 enters a document reference number on the form, updates GFEBS with commitment information and returns the packet to the PPO, who forwards a copy of

the approved and funded requirements packet to the CERP Manager. The PPO or PM uploads the certified

DA Form 3953, into the CIM system of record, enters the financial document reference number, and

annotates the project as “In Progress.” The PPO also forwards a copy of the DA Form 3953, to the PA who

uses the document to draw cash from the DDO/DA.

CERTIFICATION/PAYMENT

3-41. After the commander approves the payment, it must be certified by the PPO. With funds available for the payment, the commander’s approval, and the PPO’s certification that the payment is proper, the PA makes

payment to the individual.

CLEARANCE

3-42. At the completion of payment, it is mandatory to clear the project to maintain visibility and accurate records. Both the PA and PPO must perform clearance tasks. In order to clear the project, the PA clears with

the DDO/DA and the PPO clears with the commander and G-8.

Process Overview

22 May 2017 ATP 1-06.2 3-11

CLOSURE

3-43. Upon project closure, the PPO submits all project documents to the CERP Manager, who obtains a clearance memorandum from the commander. The PPO/PM adds the commander’s clearance memorandum

to the project file and uploads it to the CIM system of record. The PPO then submits the completed project

file to the G-8 for review and reconciliation. The PPO is responsible for making corrections or providing

memorandums explaining lost or illegible documents. If this situation occurs, the documents must be

endorsed by the approving commander.

3-44. After receiving all the required project documentation, the G-8 reconciles accounts in the accounting systems and monitors the CRRT until all final obligation and payment information is accurately reflected.

The G-8 maintains documents on file for future review or audit. Once the project has been completed,

terminated, or cancelled, all bills paid, and the PPO and PA have cleared, the PPO provides all documents to

the CERP Manager, who maintains the files.

MONITOR ENTERPRISE

3-45. Once a grant is distributed, the progress of the supported enterprise is monitored to ensure the grant funds have been fully expended on the approved initiative. The intent is to assess the effectiveness of the

grant, not to provide mentoring or other support for the enterprise. The effectiveness of prior grants should

be used as a guide in subsequent grant-making activities.

3-46. All units are required to maintain records and provide financial reports. Commanders must maintain documentation that records the amount and character of each grant (e.g., a list of the equipment provided and

its cost) and the commander’s determination that the grant met the requirements set forth in local policy.

FLOWCHART

3-47. The process for micro-grant payments is depicted in figure 3-5 on page 3-12, Micro-Grant Payment Flowchart, (vertical arrows depict chronological sequence; horizontal arrows depict actions performed by

specific individuals in the process).

Chapter 3

3-12 ATP 1-06.2 22 May 2017

Figure 3-5. Micro-grant payment flowchart

22 May 2017 ATP 1-06.2 4-1

Chapter 4

Transfer of Authority

This chapter provides guidance on techniques associated with the transfer of authority

between units. In order to ensure full accountability of all active CERP projects and

improve program management for the lifecycle of the project, units document turnover

actions.

TRANSFER OF AUTHORITY OVERVIEW

4-1. Prior to a unit departing theater, the outgoing and incoming unit must complete a transfer of authority (TOA) review for all CERP projects. This includes projects in the following project status:

 Nominated – the project has been nominated by a unit, but has not yet been approved by the

appropriate approval authority.

 In Progress – the project has been approved by the appropriate approval authority, the funding

document has been certified, and the funds have been committed and/or obligated in GFEBS.

 Completed – the project was completed by the outgoing unit during their tour, the funds have been

fully disbursed, the project has been transferred and the clearance letters have been signed and

uploaded in the CIM system of record.

4-2. The unit should also include a description in the file that describes the recommended follow-on steps for the project, documenting the effects those projects had at the beginning and at the end. It also addresses

whether there will be subsequent projects to continue momentum. Each project should be treated as a leg of

a relay race where one unit passes the baton to the next and creates the most fertile space for a logical follow-

on. Projects executed in a vacuum during the course of one tour that are not successfully transitioned become

underutilized. In contrast, maybe the project should be discontinued for legitimate reasons that should be

recorded in the CIM system of record so that future units do not make the same error.

4-3. The TOA review is documented using the transfer of authority memorandum format. Once signed, this memorandum authorizes the transfer of all CERP projects listed to the incoming unit; however, this

memorandum does not relieve outgoing unit personnel of any pecuniary liability or administrative or

disciplinary actions for negligent or illegal CERP activities conducted during their tenure, to include theft,

fraud, waste, and abuse.

DOCUMENTATION

4-4. All outgoing PMs and/or PPOs ensure that for all projects, the necessary documentation has been updated and uploaded in the CIM system of record.

 A complete inventory of the project files should be conducted no later than 30 days prior to the

arrival of the incoming unit. The inventory continues to be updated as new projects are added. The

outgoing unit will ensure that all files are present and complete. Any deficiencies should be

identified and corrected prior to the incoming unit’s arrival. Minor deficiencies and/or missing

documents that cannot be corrected prior to the incoming unit’s arrival will be annotated on the

TOA memorandum. memorandums for record (MFRs) documenting the deficiencies, attempts

made to rectify them, and the circumstances in which they occurred, should be prepared and

included in the project file.

 The outgoing PMs and/or PPOs will review all open documents with the incoming unit and explain

the terms of each contract, specified tasks directed to the vendor, payment terms, payment

schedule and a detailed record of payments made to-date, and the latest quality assurance

(QA)/quality control report.

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4-2 ATP 1-06.2 22 May 2017

 The outgoing PPOs will introduce the incoming PPOs to the vendors or their representatives. The

incoming PPOs and PAs should be introduced to any agents of the vendor authorized to receive

payments.

 To the greatest extent possible, the outgoing PM/PPO should arrange site visits for the incoming

PM/PPO. If feasible, the vendor should accompany the USG representatives on their site visits.

 The outgoing PA will clear with the local DDO/DA and return any remaining cash-on-hand.

 After turnover, the outgoing and incoming PMs/PPOs will complete a TOA memorandum. The

signed TOA memorandum will be submitted to the unit’s CERP Manager for validation and then

consolidated for the commander.

4-5. The outgoing commander will ensure that, for all projects, the necessary documentation has been updated and uploaded in the CIM system of record. The outgoing commander will review all projects listed

on the TOA memorandum with the incoming commander. The commander and CERP personnel should

thoroughly review all projects obligated and/or completed by the outgoing unit to ensure the incoming

personnel are properly prepared to answer any audit questions or Congressional inquiries of projects executed

or initiated by their predecessors. During this review, the incoming CERP personnel will verify that all CERP

guidelines have been met in accordance with local policies, unless an exception has been authorized and is

on file.

4-6. The incoming commander will ensure the appropriate personnel have received a thorough briefing from the outgoing CERP personnel which details all projects being transferred. He also ensures his CERP

managers, PMs, PPOs, and PAs receive documented initial training. Upon a complete review of

documentation, project file transfer, and satisfactory training, both the incoming and the outgoing commander

will sign the TOA memorandum. The incoming commander now accepts responsibility for maintaining all

CERP project files and for representing CERP operations during any audit or investigation.

FILES DISPOSITION

4-7. Files Disposition:

 The PM or PPO is responsible for maintaining the CERP project file until the project has been

closed out in accordance with local policy. Once the complete project file has been uploaded to

the CIM system of record, the PM will then notify the unit CERP Manager.

 No later than the 5th of each month, the unit CERP Manager is required to provide their higher

headquarters a list of all CERP projects closed during the previous month. From this list, the CERP

Manager, in conjunction with the G8, will conduct a CIM system of record file audit on all closed

projects. If missing documentation is identified, then the higher headquarters will provide the

CERP Manager with a list of action items.

 Once the file audit has been completed and the higher headquarters has confirmed that the files

are in accordance with local policy, the CERP Manager will then download a hardcopy from the

CIM system of record and maintain the hardcopy on file for one fiscal year.

 After the next fiscal year, CERP Manager will send all CERP project files to the higher

headquarters CERP Manager for archiving.

4-8. Units re-deploying without follow-on U.S. forces, or who are being replaced by a multinational or foreign nation, should initiate a plan to complete all projects in progress prior to re-deployment. For projects

that cannot be completed prior to re-deployment, the outgoing unit may need to designate a stay-behind

CERP team, or request assistance from their Major Subordinate Command for the assignment of U.S. liaison

officers to conduct QA/Quality Control on the remaining open projects and to make payments to the vendor.

Designated personnel must be trained CERP PMs, PPOs, and PAs.

Note: Prior to re-deployment, the outgoing unit must ensure all completed project files have been

uploaded in the CIM system of record and the hard copies should be delivered to their Major

Subordinate Command’s CERP Manager. (The files must be retained in accordance with files

disposition described above.)

Transfer of Authority

22 May 2017 ATP 1-06.2 4-3

4-9. For projects that are still on-going, once the project has been completed and closed, the designated personnel must ensure the complete project file is uploaded in the CIM system of record and the hard copy

file has been sent to the Major Subordinate Command’s CERP Manager

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22 May 2017 ATP 1-06.2 A-1

Appendix A

Commander and Civil Affairs Staff Officer Considerations

This appendix outlines tasks specific to the commander and G-9 or CA staff officer.

The G-9 is the primary staff officer concerned with implementation of CERP within a

unit’s area of operations. However, since it is a commander’s program, the commander

must be actively involved and interface with key local leaders and U.S. governmental

and nongovernmental agencies as the G-9 recommends. Furthermore, no goods or

services shall be purchased nor payments made without the expressed approval of the

commander.

ASSESSMENT

A-1. The Commander along with his CA staff assess current conditions against a defined norm or established standards. This assessment begins at receipt of the mission and continues through the mission

analysis process focusing on defining the civil components of the supported commander’s AO. This step

looks at the nonmilitary factors (areas, structures, capabilities, organizations, people, and events) that shape the operational environment. CA personnel assess each of the 14 CA functional specialties, as well as

the general aspects of the AO. The product of this step is an initial estimate and restated mission statement.

Commanders and CA staff officers should then follow the six-step Civil Affairs operations project

management model. Namely, they identify, validate, plan, coordinate, facilitate, and monitor both material

and nonmaterial Civil Affairs operations projects to achieve the supported commander’s objectives relating

to the civil component of the operational environment. For more information, refer to FM 3-57, Civil Affairs

Operations.

COORDINATION BETWEEN U.S. AND FOREIGN GOVERNMENT OFFICIALS AND NGOS

A-2. Commanders in conjunction with their CA staff officers coordinate and determine project needs to gain the greatest effect, ensure the synchronization of effects and provide for documented host nation project

acceptance with follow-on project maintenance and sustainment (as required) while seeking to meet urgent

humanitarian and reconstruction needs. To accomplish this, they coordinate with local officials and U.S. and

foreign governmental and nongovernmental agencies that operate in their area of operations to prevent

duplication of efforts and resources.

A-3. It is crucial that commanders and CA staff officers coordinate efforts with partnering entities in order to synchronize effects. This includes both U.S. and foreign governmental and nongovernmental entities.

Several of these entities may already provide complementary programs. Examples of such entities (non-

inclusive) are:

 USAID.

 Provincial Development Committees.

 Provincial Reconstruction Teams.

 Agribusiness Development Teams.

 Regional Command commanders (in non-U.S. operational areas).

 Civil Affairs.

 Other nongovernmental agencies operating in the area of operations (e.g., International Federation

of Red Cross and Red Crescent Societies).

A-4. The result of this coordination will be documented in the Letter of Justification or other appropriate MFR.

Appendix A

A-2 ATP 1-06.2 22 May 2017

LOCAL GOVERNMENT OFFICIALS

A-5. Once synchronization with partnering entities is achieved, the CA staff officer and commander must coordinate with local officials before nominating a project. Coordination with local officials is critical to

ensure that the project meets a perceived need by the population, is appropriate for the culture, and will be

maintained in the future. Operations, maintenance, and staffing should be discussed before any project begins

and to gain the greatest effect, ensure the synchronization of effects, and provide for documented project

acceptance with follow-on project maintenance and sustainment, as required.

A-6. Projects that incur excessive operating or sustainment costs may require an MOA between the project sponsoring unit and the appropriate representative (either local, provincial, or national) with the authority to

accept follow-on maintenance and sustainment requirements of the project, acknowledging responsibility

and his/her commitment to budget for and execute this agreement. If it is the responsibility of another donor

nation or NGO to sustain the facility or equipment, then the responsible official from that donor nation or

NGO must also sign an MOA. The following two clauses need to be inserted into all MOAs that the

subordinate commander may enter into with a responsible official from that donor nation for the follow-on

sustainment of projects:

 “Nothing in this MOA authorizes the commitment or obligation of appropriated funds of the

United States of America prior to their availability, or in violation of any applicable statute,

regulation or policy of the government of the United States of America.”

 “This document expresses the participants’ intent to achieve the goals of this project. The

participants intend for this project to benefit the local community and its people. It is not, however,

a legal instrument that binds the participants under international law. Rather, it embodies the

aspirations towards which the participants strive.”

A-7. The intent is to educate the applicable government entity on the project itself, while ensuring understanding of the project’s out-year operating and sustainment costs. If the government official is not

willing to fund operating costs or maintain the investment, do not nominate the project. The MOA may be a

required document in the submission of a funding packet.

MICRO-GRANTS COORDINATION AND SOLICITATION

A-8. Commanders and CA staff officers shall maximize the use of partners through coordination in order to maximize and solicit applicants to the extent practical. Potential local partners include Provincial

Development Committees, Community Development Committees, NGOs, tribal leadership, college and

university officials, agricultural cooperatives, business development centers, and any other formal or

informal entity supportive of efforts with sufficient outreach in their community. Final selection of grant

recipients, however, will remain with the commander. Regardless of the source of the applicant and

recommendations for approval, only those applications proposing viable business ideas should be approved.

A-9. The application and selection process shall be made clear to all applicants. For every applicant selected, there may be numerous disappointed non-selected applicants. By publicizing the objective criteria upon

which the selection was made, it may lessen the perception that the process was pre-determined or otherwise

unfair. While Commanders retain full discretion to deny grants to any party not deemed an appropriate

recipient, for whatever reason, they should strive to ensure the perception of fairness so that the granting of

CERP funds does not de-stabilize the area and have an effect opposite to the counter-insurgency goals of

CERP.

A-10. Grants provided should generally be nominal. Resources provided are not repaid or returned to the USG. In-kind deliveries of equipment, tools, and other material support, when practical, are preferred over

cash payments. In-kind distributions help to ensure that grants are used for intended purposes and limit the

ability of criminal elements and other corrupt individuals from gaining profits from grant proceeds. In certain

circumstances, however, one or more cash payments to be used for working capital may be provided to a

grant recipient.

Commander and Civil Affairs Staff Officer Considerations

22 May 2017 ATP 1-06.2 A-3

Note: Since in-kind contributions are not payments in cash, procurement of in-kind items must

follow the individually or bulk-funded requirements techniques mentioned in Chapter 3, Section

I and II, respectively.

A-11. Commanders are encouraged to be creative and adapt the micro-grant program to local conditions in order to achieve the best local results. The application guidance below provides general criteria to be used in

evaluating grant requests. Ultimately, however, the judgment of individual commanders based on local

circumstances will determine the relative merit of each grant request. The objective is to provide high-quality

grants which have a positive impact in a community, not merely to make a large number of grants. Grant-

making activities should be focused in areas underserved by other microcredit and assistance programs.

 In areas where micro-lending programs are available, applicants may propose to combine program

resources in order to leverage capabilities. However, under no circumstances shall grants be

provided to repay existing microloans or other business support programs.

 If a micro-lending institution is present in a community, grants should be made to leverage the

aggregate economic benefit of such activities. For example, an engine repair shop might receive a

piece of equipment under the micro-grant program and a loan from a micro-finance institution to

use as working capital to hire one or more new employees to operate that machine. This grant

should include a reasonable contribution from the person/entity that has requested this engine

repair shop.

A-12. Commanders are encouraged to use the micro-grant program in conjunction with other CERP projects and other Multinational Forces and USG initiatives. For example, it may be appropriate, in certain

circumstances, to require a grant applicant to employ vocational education graduates or students as a

condition for receipt of a grant. While an expected collateral benefit of the micro-grant program is increased

employment opportunities at small businesses, the program may not be used as a general purpose job creation

program.

A-13. Units will develop standard operating procedures for grant solicitation, approval, implementation, and progress monitoring, including a written application to be completed for each grant application. Procedures

will incorporate the guidance and restrictions contained in local policy.

A-14. Support to individuals without prior business experience may be considered on a case-by-case basis, particularly with respect to recent college, university, or professional graduates who desire to start a business.

Only applicants with strong business concepts should be considered for grants in this latter category.

A-15. Micro-grants are prohibited to enterprises which are in the following lines of business:

 Entertainment.

 Equipping or training.

 Military Information Support Operations or information operations.

 Weapons sales or service.

A-16. Micro-grants may not be used to obtain goods or services directly for U.S., multinational, or other supporting military forces. The business activities supported can have a relationship to reconstruction or HA

activities, but it is not required. Questions regarding whether a proposed grant is sufficiently related to these

efforts should be directed to the local legal office or CA staff officer. Example activities which have a

sufficient connection to reconstruction and humanitarian assistance activities include:

 Construction.

 Equipment and electronic repair.

 Agribusiness, including production, processing, and distribution.

 Textiles, including production and alterations.

 Educational services.

 Reconstruction material supply.

 Heavy equipment.

 Transportation.

 Conflict resolution and mediation services.

Appendix A

A-4 ATP 1-06.2 22 May 2017

 Legal services related to furthering rule of law.

 Medical services.

EVALUATION

A-17. Applications will be evaluated on the basis of the following criteria:

 The applicant has the necessary knowledge, skills, and experience required to undertake the

proposed activity.

 The applicant has an understanding of the market for his/her proposed activity, to include where

the product or service will be sold, for what cost, and the current level of competition.

 The resources required for the proposed activity are available to the applicant and realistic to the

business concept.

 How the business will re-invest incomes derived from the grant back into the business.

A-18. The applicant’s proposed plan should state:

 How the assistance provided will be used.

 How he will manage the activity, including the use and maintenance of resources.

 If the applicant has alternative resources.

 How the business will re-invest incomes derived from the grant back into the business.

A-19. Assess if:

 The applicant’s business has been negatively impacted by military operations or extremist

violence.

 The applicant has character references from trusted sources in the community.

 There will be measurable increases in production, trade, or business activity.

 The proposed activity will have a positive impact on the community.

 The proposed activity will create additional jobs for the local populace and if so, how many.

 The applicant is willing to contribute resources to the proposed activity, including in-kind

contributions and “sweat equity” (e.g., time and personal resources).

A-20. Customary background checks of recipients of U.S. funds will be conducted on all approved applicants prior to disbursement of grant proceeds. Consult your local operational area security or Task Force

Biometrics Office for more information.

ASSIGNMENT TO PPO OR PM

A-21. Once identification and coordination of CERP requirements by the commander and CA staff officer is complete, the CERP Manager assigns the project to the PPO or PM. The individual who accepts goods or

services will be responsible for vetting the requirement to the unit staff.

FACILITATE REVIEW BOARD

A-22. Once the requirement has been vetted through the unit staff by the PPO or PM, the CA staff officer ideally facilitates a Review Board. This board ensures the projects under consideration deliver the desired

effects of the command. The CA staff officer facilitates the board and the commander or his executive

officer/Chief of Staff chairs it. Recommended attendees include but are not limited to the commander, the

SJA, the Engineer, CA staff officer, the CERP Manager, the PPO, the PA, subordinate commanders, and

other partnering entities operating within the area of operations that have a stake in project selection.

A-23. The board is also used to:

 Review the status of the unit CERP fund account.

 Recommend projects or payments to be approved based on their potential contribution to the unit’s

overall plan and their support to decisive points and end states for each line of operation.

 Prioritize unfunded CERP projects across the command or recommend deletion of projects based

on commander’s guidance and other available funding.

Commander and Civil Affairs Staff Officer Considerations

22 May 2017 ATP 1-06.2 A-5

 Coordinate and synchronize the use of other available funds and resources (e.g., from other

government officials or NGOs and Foreign Claims) (e.g., if the commander deems it advantageous

to build a road through his AO for the local populace, USAID may already have plans to do so,

thereby avoiding this cost).

 Notify the commander of projects that require additional funding or cancellation.

 Update the commander on the progress of previously approved projects.

 Disseminate command guidance.

 Review and de-conflict project proposals from subordinate units, local authorities, and other

agencies.

 Share CERP- or project-related lessons learned throughout the command

 Share successes of CERP projects to local leaders for communication to national leaders.

A-24. At a minimum, discuss the following items when reviewing a project for approval:

 Foundation

 How does this project satisfy an urgent humanitarian or reconstructive need in the short and

long-term? In other words, how does this project alleviate a chronic absence of essential goods or

services in your AO?

 Does the project violate any of the CERP prohibitions identified in DOD FMR 7000.14-R,

Volume 12, Chapter 27?

 Is there a capacity within the area to maintain and operate this requirement (e.g., staffing,

funding for recurring operational costs, funding for equipment and supplies)?

 Local - Is this project on the Provincial Development Plan? If not, has the local, provincial, or

national government endorsed or requested this project?

 Regional - What is significant about this project and area to operational strategy?

 National - Which of the goals does this project align with and how will it support the operational

strategy?

 Metrics

 Was a preliminary assessment done to find metrics by which to measure this project’s

success?

 When and how will these results be measured?

 What is the target goal for the results? What end-state is this project trying to achieve?

 Funding - Is another funding source already available?

A-25. Approved requirements should be ranked from most important to least important based on the above criteria. The unit funds as many requirements as possible through individual and bulk-funding. The remaining

requirements become the CERP unfunded requirements list. The CERP unfunded requirements should be

updated as often as possible, so that when funding becomes available, the most important projects (as viewed

by the commander) are funded first.

APPROVAL

A-26. The commander approves requirements, depending on the approval thresholds in place, by signing the following documents:

 Individually-funded CERP Projects:

 Block 35 of the DA Form 3953, PR&C.

 Development Report (if required).

 Letter of justification (if required).

 Bulk-funded Projects:

 Block 35 of the bulk-fund DA Form 3953 (when initially requesting bulk funds).

 Approval MFR or Development Report for each project (during project clearance).

 Special payments:

 Block 35 of the bulk-fund DA Form 3953 (when initially requesting bulk funds).

Appendix A

A-6 ATP 1-06.2 22 May 2017

 MFR for each payment (multiple payments may be approved on the same MFR).

 Micro grants:

 Block 35 of the DA Form 3953.

 “Approval” block of each application.

A-27. For requirements that require a higher level of approval, the CERP Manager must submit the following to the next higher-level CERP Manager for review, coordination and/or approval. This process is mirrored at

each level until the proper approval authority has approved or disapproved the requirement:

 Individually-funded CERP Projects:

 Copy of nomination packet (maintain original).

 Memorandum from commander to approval authority recommending approval.

 DA Form 3953, PR&C (approval authority will sign block 35).

 Special payments:

 Memorandum from commander to approval authority recommending approval of payment(s).

 MFR for each payment (multiple payments may be approved on the same MFR; approval

authority signs MFR).

 Micro grants:

 Memorandum from commander to approval authority recommending approval of payment(s).

 Application (approval authority will sign “Approval” block).

 Previously approved CERP Projects requiring additional funding whose total amount exceeds

current commander’s approval authority:

 Copy of nomination packet (maintain original).

 Request for Additional Funds signed by requesting commander to approval authority.

MONITOR ENTERPRISE (MICRO-GRANT)

A-28. Once a grant is distributed, the progress of the supported enterprise will be monitored to ensure the grant funds have been fully expended on the approved initiative. The intent is to assess the effectiveness of

the grant, not to provide mentoring or other support for the enterprise. The effectiveness of prior grants should

be used as a guide in subsequent grant making activities.

22 May 2017 ATP 1-06.2 B-1

Appendix B

Project Purchasing Officer Techniques

This appendix outlines specific tasks that the PPO executes upon the unit’s generation

of a requirement and ends when PPO clears with the contracting officer. It includes all

tasks in sequence and is meant to be the most frequently referenced chapter for the

PPO. This appendix assists the PPO by demonstrating how he performs specific

transactions from start to finish.

COORDINATE WITH FUNCTIONAL STAFF/NOMINATE PROJECT

B-1. Once the project has been identified and coordinated by the commander and CA staff officer, the CERP Manager may assign the PPO to coordinate with other functional staff to nominate the project. If the PPO is

the acceptor of goods or services for a particular project, the PPO will manage the project’s documentation

and input into the CIM system of record. Otherwise, with the exception of interfacing with the G-8, the PM

manages this.

 CERP Manager is responsible for producing a sustainment MOA and letter of justification, if

required.

 PM must be appointed in writing, signed by the contracting officer and is responsible for

providing independent government cost estimates, SOW, and other documents as required

(blueprints, drawings, maps, photos, land use agreements).

 SJA provides legal reviews as required for certain CERP projects. Legal reviews can be

documented by a SJA’s signature, duty position, and date, on the report in the CIM system of

record or in a memorandum format and uploaded to the CIM system of record. Legal counsel can

be provided via phone to the commander in the field; however, a formal review must be

accomplished at the earliest date possible. All claims must be reviewed by a U.S. DOD attorney

in order to determine whether CERP, Solatia, or Foreign Claims funds will be used for payment.

 PPO/contracting officer (whoever executes the contract) must be appointed on order signed by the

contracting officer. The PPO will draft contracts using the technical information produced by the

PM to develop the contract. He/she will use the DA Form 3953, using the estimates from the PM’s

independent government cost estimates. He can obtain the development report printout from the

CIM system of record.

 Paying agent must have a DD Form 577 signed by the commander on record.

B-2. The PPO enters all project data into the CIM system of record and submits the project nomination packet to the CERP Manager, who prepares it for the Commander’s approval via the CERP Review Board

SUBMIT FUNDING PACKET

B-3. Once the project has been approved by the commander, the PPO submits the funding packet to the G- 8. Because the PPO cannot execute a contract without the commitment of funds, and the G-8 cannot

eventually obligate (or de-obligate) the funds without the contract, the PPO is responsible for submitting the

funding packet to the G-8. At a minimum, the following documents are needed to receive funding from the

G-8:

 Individually-Funded Requirements (general):

 Completed and approved DA Form 3953, (see appendix E, figure E-1).

 PPO Appointment Order signed by the contracting officer (see appendix E, figure E-2).

 Contracting officer’s representative memorandum signed by the contracting officer (see

appendix E, figure E-3).

 PA DD Form 577 signed by the commander (see appendix E, Figure E-4).

Appendix B

B-2 ATP 1-06.2 22 May 2017

 Justification for CERP memorandum (if required) (see appendix E, figure E-5).

 Sustainment MOA (if required) (see appendix E, figure E-6).

 Land Use MOA (if required) (see appendix E, figure E-7).

 Legal Review.

 Independent government cost estimates.

 SOW

 Development Report signed by commander (if required).

 Blueprints (if required).

 Drawings (if required).

 Maps (if required).

 Photos (if required).

 Other documents as local policies and procedures require.

Note: The PA’s DD Form 577 is not necessary for payment if the DDO/DA will make the payment.

 Bulk-funded requirements (General):

 Completed and approved DA Form 3953, (see appendix E, figure E-1).

 PPO Appointment Order signed by the contracting officer (see Appendix E, figure E-2).

 PA DD Form 577 signed by the Unit Commander (see appendix E, figure E-4).

 Bulk-funded special payments:

 Completed and approved DA Form 3953, (see appendix E, figure E-1).

 PPO Appointment Order signed by the contracting officer (see appendix E, figure E-2).

 PA DD Form 577 signed by the Unit Commander (see appendix E, figure E-4).

 PPO Certifying Officer DD Form 577 signed by the Unit Commander (see appendix E, figure

E-9).

 Micro-grants:

 Completed and approved DA Form 3953, (see appendix E, figure E-1).

 PPO Appointment Order signed by the contracting officer (see appendix E, figure E-2).

 PA DD Form 577 signed by the Unit Commander (see appendix E, figure E-4).

 PPO Certifying Officer DD Form 577 signed by the Unit Commander (see appendix E, figure

E-9).

 Copy of micro-grant applications.

 Development Report for each grant.

Note: If awarding multiple grants, list each grant, its project number, and its amount. The DA

Form 3953, PR&C’s total amount will cover all grants.

SELECT VENDOR AND EXECUTE CONTRACT

B-4. Once the PPO receives a certified DA Form 3953, PR&C from the G-8, he updates the CIM system of record with the 14-digit document reference number assigned by the G-8 on the PR&C, changes the project’s

status in the CIM system of record from “nominated” to “in progress,” and forwards the PR&C to the PA so

that the PA may draw funds from the DDO/DA. With a funded requirements packet and a project that falls

within the authority of the PPO to contract, the PPO begins the process of seeking bids and awarding the

contract. Based on gathered information and market research, the PPO selects the vendor ensuring that the

price is fair and reasonable and drafts or finalizes the contract.

B-5. Forms commonly used for contract award include (non-inclusive):

 Standard form (SF) 44, (Purchase Order - Invoice – Voucher).

 SF 26, (Award/Contract).

 SF 33, (Solicitation, Offer and Award).

Project Purchasing Officer Techniques

22 May 2017 ATP 1-06.2 B-3

 SF 1449, (Solicitation/Contract/Order for Commercial Items).

 DD Form 1155, (Order for Supplies or Services)

 Optional Form 307, (Contract Award)

B-6. Once the contract is awarded, the PPO sends a copy of the final contract to the G-8 for obligation of funds, begins a ledger for each PR&C (similar to the PA Ledger that starts with the amount certified on the

PR&C) and annotates a running balance after each payment (see the ATP 1-06.1, Appendix A, Figure A-10).

This ledger is slightly different from the PAs ledger. The PPO is primarily concerned with the total available

funding on the PR&C, while the PA is primarily concerned with individual cash balances (both U.S. and

foreign currency). Even so, the PPO should reconcile with the PA after every payment to ensure

synchronization of total funding available on the PR&C and total cash on hand.

MONITOR PROGRESS

B-7. The PPO monitors the financial and programmatic progress of the project, including how the financial and program data display in the CRRT, until completion in accordance with the timeline specified. The PPO

consolidates all documents generated during the project. All required documents listed on the CERP project

file checklist must be included in the official project file and uploaded to the CIM system of record.

B-8. During the delivery of certain contracts, it may be necessary to modify the contract in the following situations:

REQUESTS FOR ADDITIONAL FUNDING

B-9. Sometimes the costs of a project are understated and discovered during the performance of a project. If this is the case, the PPO will direct the vendor to cease performance and the PPO will submit a request for

additional funding to the G-8 (see appendix E, figure E-12).

Note: If the additional funding causes the total cost of the requirement to exceed an approval

threshold, the PPO must first seek approval from the appropriate-level commander before

submitting a request for additional funding. The vendor must not continue work until receipt of

additional funding.

B-10. If a project incurs additional costs that exceed the amount on the DA Form 3953, PR&C, the PPO notifies the CERP Manager, who recommends to the approving commander either suspension of work on the

project or the submission of a request for additional funding prepared by the PPO for the difference. The

commander approving the funds increase must have approval authority high enough for the total cost of the

project. If not, then the request for additional funding must be submitted to the appropriate level commander

for review and approval.

Note: All request for additional funding must be routed through the G-8 for funds certification

after the cost increase has been approved, prior to any contracting modifications or disbursements

being made.

RATIFICATION

B-11. Ratification is the process of approving an improper procurement or an unauthorized commitment.

 An improper procurement is making a prohibited purchase or obligating funds in excess of the

available amount (potential Anti-Deficiency Act violation).

 An unauthorized commitment is any agreement that is not binding solely because the USG

representative who made the commitment lacked the authority to enter into that agreement on

behalf of the government (i.e., if the PPO exceeds his authority or if a non-PPO enters into a

contractual agreement with a vendor).

B-12. Ratification is a long, complicated process, and not all ratifications result in approval (which means the PPO and/or paying agent (PA) may have to personally pay for the purchase). Prohibited purchases cannot

Appendix B

B-4 ATP 1-06.2 22 May 2017

be ratified, because there is no legal authority authorizing the purchase. If you believe a ratification action is

required, contact the contracting officer immediately.

PROJECT CANCELLATIONS

B-13. If a situation with a vendor arises that hinders the progress of a project, the PPO will notify the CERP Manager. If eventually the project is cancelled or suspended, and funds had been previously obligated, the

PPO or contracting officer will immediately notify the G-8 and initiate actions required for cancelled or

suspended projects. This will be also recorded immediately within the CIM system of record in order to

catalogue lessons learned (i.e., change status to “terminated”; do not overwrite the CIM system of record data

on a terminated project when starting a new project. Make sure to provide a brief explanation for the

cancellation of any project).

ACCEPT GOODS OR SERVICES

B-14. Once the vendor has delivered the goods or services, the PPO must ensure it is in compliance with the contract. The PPO can accept goods or services on the following forms:

 SF 44, (Purchase Order – Invoice – Voucher)

 If the PA is making the payment, the PPO initiates the SF 44, (Purchase Order – Invoice –

Voucher), using a continuation sheet if necessary (see the ATP 1-06.1, Appendix A, Figure A-9).

The PPO completes everything above the “Purchaser” portion of the SF 44 using the information

in block 19 of the PR&C to fill the “Purpose and Accounting Data” block. The PPO will annotate

the 14-digit document reference number (DRN) from the PR&C on each SF 44. If PR&C covered

multiple projects (e.g., for a bulk fund), the PPO will change the last 2 digits of the 14-digit DRN

such that each project (not each SF 44) has a unique DRN (the first 12 digits will be consistent

with the DRN in Block 2 of the PR&C; the last 2 digits will be unique for each project of the bulk

fund, beginning with 01). If the PPO is the receiver of the goods or services, he will also complete

and sign the “Received By” block on the SF 44. The SF 44 may serve as the vendor’s invoice

when signed by the vendor, however it is always recommended to obtain a vendor’s invoice. The

PA will complete the rest of the SF 44, and pay the vendor.

 DD Form 250, (Material Inspection and Receiving Report)

 If the DDO/DA is making the payment, a DD Form 250 must be used as the receiving report.

The PPO inspects the work that is done and if acceptable, completes the document. Although the

DD Form 250 also serves as an invoice, it is recommended to obtain an invoice from the vendor.

 Other forms commonly used for receiving reports include (non-inclusive):

 Department of Defense (DD) Form 1155, (Order for Supplies or Services).

 Bill of Lading.

 Theater specific forms (consult with the contracting officer).

REQUEST PAYMENT FROM DDO/DA

B-15. The PPO will submit the following to request an EFT, limited depository checking account, or cash payment by the DDO/DA:

 The DA Form 200, Transmittal Record, requesting EFT Payment.

 DA Form 3953, PR&C.

 The basic contract and all modifications.

 PPO appointment orders (if PPO executed contract or accepted goods or services).

 PM appointment memorandum signed by the contracting officer (if PM accepted goods or

services).

 Contracting officer warrant (if he executed the contract).

 Vendor’s invoice.

 Signed DD Form 250, (Material Inspection and Receiving Report).

Project Purchasing Officer Techniques

22 May 2017 ATP 1-06.2 B-5

B-16. The DDO/DA will return the DA Form 200 to acknowledge receipt of the payment request. The DDO/DA will make the payment by producing an SF 1034, (Public Voucher for Purchases and Services

other than Personal), (see the ATP 1-06.1, Appendix A, Figure A-14). The DDO/DA will send a copy of the

SF 1034 to the PPO or contracting officer once the payment has been sent to International Treasury Services.

The PPO uploads all documents into the CIM system of record and enters project information into the CRRT.

CERTIFY PAYMENT (SPECIAL PAYMENTS AND MICRO-GRANTS)

B-17. Payments made from appropriated funds (e.g., CERP) to individuals and commercial activities require certification IAW DODFMR 7000.14-R, Volume 5, Chapter 11. By signing a voucher as a certifying officer,

the PPO certifies that the items listed are correct and proper for payment from the appropriation(s) or other

funds designated thereon or on supporting vouchers, and that the proposed payment is legal, proper, and

correct. Because of this, certifying officers are pecuniary liable (personally responsible) for payments that

they certify. The PPO certifies special payments by doing the following:

 Before each payment:

 Verifying that the approval MFR or approved Micro-grant application has been signed by the

commander.

 Verifying that the “Payee Identification” (blocks 5a-d) and “Amount” (block 5f) of the PAs

DD Form 1351-6 are consistent with the information in the Approval memorandum(s).

 Verifying that CERP funds are proper for the proposed special payment (i.e., not a Foreign

Claims or Solatium payment).

 Certifying that the payment is proper by initialing next to the “Payee identification” block for

each payment.

 When it is time for the PA to clear the DDO/DA of all payments on the respective DA Form 3953,

PR&C:

 Ensuring that all payments on the DD Form 1351-6 have been certified previously (i.e., the

PA has not made any payments without the PPO’s signature) by completing block 7a and signing

in block 7b.

 If the PA has made any payment that the PPO has not certified (i.e., PA made an unlawful

payment), the PPO must contact the G-8 and DDO/DA to resolve the matter.

CLEAR COMMANDER’S ACCOUNT

B-18. Upon project closure, the PPO will submit all project documents to the CERP Manager, who will obtain a clearance memorandum from the commander. Commanders are required to review the project file,

all disbursement vouchers, and sign the following documents:

 Project clearance memorandum.

 Development report which shows the project status as “Completed” and has a completed “Project

Closure” section.

B-19. The PPO adds the commander’s clearance memorandum and the signed development report to the project file and uploads it to the CIM system of record.

CLEAR G-8

B-20. The PPO then submits the completed project file to the G-for review and reconciliation. The PPO is responsible for making corrections or providing memorandums explaining lost or illegible documents

(endorsed by the approving commander). In addition to the documents previously submitted for funding, the

PPO submits the following upon closure of a CERP requirement to the G-8:

 Individually-Funded Requirements (General):

 Bids (if required).

 Finalized contract.

 Contract modifications (if applicable).

 SF 1034, (Public Voucher for Purchases and Services Other Than Personal).

Appendix B

B-6 ATP 1-06.2 22 May 2017

 SF 44 or DD Form 250, (Material Inspection and Receiving Report).

 Vendor’s invoice(s) (recommended for payments made by the PA, mandatory for payments

made by the DDO/DA).

 Commander’s clearance memorandum (upon closure) (see Appendix E, figure E-10).

 Bulk-Funded CERP Requirements (General):

 Bids (if required).

 Finalized contract.

 Contract modifications (if applicable).

 SF 1034, (Public Voucher for Purchases and Services Other Than Personal).

 SF 44, (Purchase Order – Invoice – Voucher).

 Vendor’s invoices (if possible).

 Commander’s clearance memorandum.

 Justification for CERP memorandum (if required). (See Appendix E, figure E-5).

 Sustainment MOA (if required).

 Land Use MOA (if required). (See Appendix E, figure E-7).

 Independent government cost estimate (IGCE).

 SOW.

 Development Report signed by commander (if required).

 Blueprints (if required).

 Drawings (if required).

 Maps (if required).

 Photos (if required).

 Legal Review.

 Other documents as local policies and procedures require.

Note: The SF 1034 covers all payments within the bulk fund. All other documents listed are

required for each project

 Bulk-Funded Special Payments:

 SF 1034, (Public Voucher for Purchases and Services Other Than Personal).

 DD Form 1351-6, (multiple payments list). (See appendix E, figure E-13).

 Special payment approval memorandums (see appendix E, figure E-11).

 Micro Grants:

 Approved micro-grant applications.

 Legal review.

22 May 2017 ATP 1-06.2 C-1

Appendix C

Project Manager Techniques

This appendix outlines specific tasks that the PM executes upon the unit’s generation

of a requirement and ends when he accepts the goods or services in his capacity as a

contracting officer representative (COR). It includes all tasks in sequence and is meant

to be the most frequently referenced chapter for the PM. This chapter assists the PM

by demonstrating how he performs specific transactions from start to finish.

COORDINATE WITH FUNCTIONAL STAFF/NOMINATE PROJECT

C-1. Once the project has been identified and coordinated by the commander and CA staff officer, the CERP Manager may assign the PPO to coordinate with other functional staff to nominate the project. If the PPO is

the acceptor of goods or services for a particular project, the PPO will manage the project’s documentation

and input into the CIM system of record. Otherwise, with the exception of interfacing with the G-8, the PM

manages this.

 CERP Manager is responsible for producing a sustainment MOA and letter of justification, if

required.

 PM must be appointed in writing, signed by the contracting officer and is responsible for providing

independent government cost estimates, SOW, and other documents as required (e.g., blueprints,

drawings, maps, photos, land use agreements.

 SJA provides legal reviews as required for certain CERP projects. Legal reviews can be

documented by a SJA’s signature, duty position, and date, on the report in the CIM system of

record or in a memorandum format and uploaded to the CIM system of record. Legal counsel can

be provided via phone to the commander in the field; however, a formal review must be

accomplished, at the earliest date possible. All claims must be reviewed by a U.S. DOD attorney

in order to determine whether CERP, Solatia, or Foreign Claims funds will be used for payment.

 PPO/contracting officer (whoever executes the contract) must be appointed on order signed by the

contracting officer. The PPO will draft contracts using the technical information produced by the

PM to develop the contract. The PPO enters all project data into the CIM system of record and

submits the project nomination packet to the CERP Manager, who will prepare it for the

commander’s approval via the CERP Review Board. He/she will use the DA Form 3953,

(Purchase, Request and Commitment) using the estimates from the PM’s independent government

cost estimates. He can obtain the development report printout from the CIM system of record.

 Paying agent must have a DD Form 577 signed by the commander on record.

SCOPE PROJECT

C-2. During the staffing phase, the PM scopes the proposed project and develops a project proposal that describes what the project is and what it will do. This is called the performance work statement. Units provide

this information to the PM to identify it as a planned project in the CIM system of record. The PM is

responsible for developing the IGCE and SOW, in cooperation with subject matter experts.

C-3. The SOW should be sufficiently detailed to allow the contractor to know what needs to be done and the standards which must be met. At the end of the project, if there is a disagreement as to what work should

have been done, the SOW will be used to determine who is correct. If the work is not spelled out in the SOW,

the contractor is not obligated to perform the work. The SOW will contain:

 A detailed list of the material/services being provided will be included with the SOW. This list

(along with their associated costs) should be reflected in the IGCE.

Appendix C

C-2 ATP 1-06.2 22 May 2017

 For all construction projects, blueprints, drawings and/or maps will be provided as attachments to

the SOW. To the greatest extent possible, the PM should use the standard blueprints/drawings

provided by the responsible Ministry.

 Any costs associated with another organization (e.g., host country Engineer District – US Army

Corps of Engineers, USAID) performing contracting and/or project oversight will be included

within the estimated project cost.

 Clearly defined benchmarks and criteria for monitoring progress.

C-4. During the project nomination process, document the project cost and unavailability of other appropriate funds or inability to execute, and list the various sustainment or operating requirements identified.

MONITOR PROGRESS

C-5. The list below are the project manager’s duties and responsibilities:

 Monitor the progress of the project until completion and turnover to the host nation government.

Update the project data and the CIM system of record as changes occur (e.g., funds disbursed,

percentage complete) and monitor the CRRT to ensure it accurately reflects project and financial

data.

 Conduct periodic QA inspections and document the results in the CIM system of record database.

PMs should be capable of conducting regular site visits and planning operations to accommodate

regular site visits.

 Maintain the project file to ensure all required documentation is accounted for and uploaded to the

Development Report in the CIM system of record, to include periodic QA reports for construction

projects. Files are required to be retained for five years after the project has been completed.

 Monthly and quarterly, respond to requests for information on selected projects in the CRRT, as

requested by U.S. Army Central, U.S. Central Command, Army Budget Officer, Joint Staff, and/or

OSD.

 The PM will consolidate all documents generated during the project. All required documents listed

on the CERP project file checklist must be included in the official project file and uploaded to the

CIM system of record.

C-6. PMs must accomplish the following general duties:

 Conduct a thorough QA assessment.

 Determine if the project components were adequately designed before construction or installation.

 Determine if the construction or rehabilitation meets the standards of the design.

 Determine if the contractor and the USG’s QA plan are adequate.

 Determine the adequacy of the sustainment plan.

 Determine if the project results are consistent with the original objective.

C-7. The QA Assessment will be conducted and documented in the CIM system of record either by the PM or the project engineer. Each QA assessment will be added to the Development Report as a new “Update” in

the CIM system of record. The QA assessment will document periodic visits to the construction site and

include:

 Date and weather.

 Determination of percent complete.

 Number of employees on the site.

 Brief description and photographic evidence of work underway.

 Brief description of quality problems encountered, resolution plan, and follow up.

ACCEPT GOODS OR SERVICES

C-8. Once the vendor has delivered the goods or services, the PM must ensure they are in compliance with the terms in the contract. The following are the most commonly used forms:

Project Manager Techniques

22 May 2017 ATP 1-06.2 C-3

 If an SF 44, (Purchase Order – Invoice – Voucher) is used as the receiving report, the PM inspects

the work that is done and if acceptable, signs in the “Received By” block of the SF 44. Though

the SF 44 serves as the vendor’s invoice, it is recommended to obtain an invoice from the vendor.

Note: The PPO must first complete everything above the “Received By” block and sign in the

“Ordered By” block.

 If a DD Form 250, is used as the receiving report, the PM inspects the work that is done and if

acceptable, may complete a DD Form 250. Although the DD Form 250 also serves as an invoice,

it is recommended to obtain an invoice from the vendor.

 Other forms commonly used for receiving reports include (non-inclusive):

 Department of Defense (DD) Form 1155, (Order for Supplies or Services.

 Bill of Lading).

 Theater specific forms (consult with the contracting officer).

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22 May 2017 ATP 1-06.2 D-1

Appendix D

Paying Agent Techniques

The PA should refer to chapter 5 of ATP 1-06.1, Field Ordering Officer and Pay Agent

Operations for specific PA techniques (e.g., drawing funds, making a payment,

clearing account). This appendix explains the techniques for making special payments,

which is not found in the above manual. Both this appendix and the above manual

contain specific tasks that the PA will execute upon receipt of a funded DA Form 3953,

PR&C, and ends when the PA clears with the DDO/DA. They include tasks in sequence

and are meant to be the most frequently referenced items for the PA. These references

assist the PA by demonstrating how he performs specific transactions from start to

finish.

SPECIAL PAYMENTS

D-1. The PA will initiate a DD Form 1351-6 by filling out blocks 1-4 and the “Paid By” section, and annotate the type of special payment in block 1 “Other” (see Appendix E, figure E-13). The PA must ensure

that all payments from any given PR&C are recorded on the same DD Form 1351-6 (or series of DD Forms

1351-6) (i.e., do not intermingle payments from different PR&Cs on any given DD Form 1351-6).

D-2. The PA will receive a memorandum from the commander authorizing the special payment (see Appendix E, figure E-11). Some payments are automatic (e.g., Former Detainee Payments) unless prohibited

by the commander. The PA may receive a vocal approval from the commander before making the payment

but must also remember to obtain a formal copy of the approval memorandum before clearing the DDO/DA.

D-3. The PA will take the following steps on the DD Form 1351-6:

 Have the payee fill out blocks 5a-d (to fullest extent possible).

 Annotate the amount on block 5f.

 Have the payee sign in block 5g of the DD Form 1351-6.

Note: If the payee refuses to sign the DD Form 1351-6, the PA must annotate “payee refused to

sign” in that block and document the circumstances on a MFR (see ATP 1-06.1, appendix A, figure

A-12), which he files with the purchase records. The PA continues to finalize the payment with

the payee (an E-7 or above (or PPO) serves as a witness on the memorandum).

 Count the money three times to ensure the correct amount of payment and disburse the funds.

 Repeat these steps for every payment approved by the commander for each PR&C.

 Assign a unique 14-digit DRN for each payment, starting with the first 12 digits from the DRN in

Block 2 of the PR&C, then assign the last 2 digits in sequence, starting with 01. This will allow

each payment to match up with the specific project data in the CIM system of record and show up

as a separate project line in the CRRT (and ultimately to be reported to Congress).

D-4. The PA maintains accountability of the voucher(s) and uses a system to manage the cash (i.e., a manual or electronic ledger; see ATP 1-06.1, appendix A, figure A-11). The PA furnishes a copy of the DD Form

1351-6 to the PPO in order for the PPO to enter a description for each payment in the CIM system of record

and to consolidate supporting documentation for clearance. A completed DD Form 1351-6 is a voucher and

is equivalent to the monetary value of the cash it represents. The loss of a DD Form 1351-6 may equate to a

personal loss.

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22 May 2017 ATP 1-06.2 E-1

Appendix E

Sample Forms and Documents

The following list contains common forms and documents commonly used during the

CERP process:

 Figure E-1 on page E-2. Sample DA Form 3953, (Purchase Request and Commitment)

 Figure E-2 on page E-3. Sample appointment of project purchasing officer memoradum for record

 Figure E-3 on page E-7. Sample contracting officer’s representative memorandum

 Figure E-4 on page E-10. Sample paying agent DD Form 577, (Appointment/Termination Record-

Authorized Signature)

 Figure E-5 on page E-11. Sample justifcation for CERP memorandum

 Figure E-6 on page E-13. Sample sustainment memorandum of agreement

 Figure E-7 on page E-14. Sample land use memorandum of agreement

 Figure E-8 on page E-16. Sample CERP transfer of authority memorandum of record

 Figure E-9 on page E-17. Sample project purchasing officer certifying officer DD Form 577,

(Appointment/TerminationRecord-Authorized Signature)

 Figure E-10 on page E-18. Sample commanders clearance of CERP memorandum for record

 Figure E-11 on page E-19. Sample special payments approval memorandum for record

 Figure E-12 on page E-20. Sample request for additional funding memorandum

 Figure E-13 on page E-22. Sample DD Form 1351-6, (Multiple Payment List)

Appendix E

E-2 ATP 1-06.2 22 May 2017

Figure E-1. Sample DA Form 3953, (Purchase Request and Commitment)

Sample Forms and Documents

22 May 2017 ATP 1-06.2 E-3

Figure E-2. Sample appointment of project purchasing officer memorandum for record

Appendix E

E-4 ATP 1-06.2 22 May 2017

Figure E-2. Sample appointment of project purchasing officer memorandum for record (continued)

Sample Forms and Documents

22 May 2017 ATP 1-06.2 E-5

Figure E-2. Sample appointment of project purchasing officer memorandum for record (continued)

Appendix E

E-6 ATP 1-06.2 22 May 2017

Figure E-2. Sample appointment of project purchasing officer memorandum for record (continued)

Sample Forms and Documents

22 May 2017 ATP 1-06.2 E-7

Figure E-3. Sample contracting officer’s representative appointment memorandum

Appendix E

E-8 ATP 1-06.2 22 May 2017

Figure E-3. Sample contract officer’s representative appointment memorandum(continued)

Sample Forms and Documents

22 May 2017 ATP 1-06.2 E-9

Figure E-3. Sample contract officer’s representative appointment memorandum (continued)

Appendix E

E-10 ATP 1-06.2 22 May 2017

Figure E-4. Sample paying agent DD Form 577, (Appointment/Termination Record – Authorized Signature)

Sample Forms and Documents

22 May 2017 ATP 1-06.2 E-11

Figure E-5. Sample justification for CERP memorandum

Appendix E

E-12 ATP 1-06.2 22 May 2017

Figure E-5. Sample justification for CERP memorandum (continued)

Sample Forms and Documents

22 May 2017 ATP 1-06.2 E-13

Figure E-6. Sample sustainment memorandum of agreement

Appendix E

E-14 ATP 1-06.2 22 May 2017

Figure E-7. Sample land use memorandum of agreement

Sample Forms and Documents

22 May 2017 ATP 1-06.2 E-15

Figure E-7. Sample land use memorandum of agreement (continued)

Appendix E

E-16 ATP 1-06.2 22 May 2017

Figure E-8. Sample CERP transfer of authority memorandum for record

Sample Forms and Documents

22 May 2017 ATP 1-06.2 E-17

Figure E-9. Sample project purchasing officer certifying officer DD Form 577, (Appointment/Termination Record)

Appendix E

E-18 ATP 1-06.2 22 May 2017

Figure E-10. Sample commander’s clearance of CERP memorandum for record

Sample Forms and Documents

22 May 2017 ATP 1-06.2 E-19

Figure E-11. Sample special payments approval memorandum for record

Appendix E

E-20 ATP 1-06.2 22 May 2017

Figure E-12. Sample request for additional funding memorandum

Sample Forms and Documents

22 May 2017 ATP 1-06.2 E-21

Figure E-12. Sample request for additional funding memorandum (continued)

Appendix E

E-22 ATP 1-06.2 22 May 2017

Figure E-13. Sample DD Form 1351-6, (Multiple Payments List)

22 May 2017 ATP 1-06.2 Glossary-1

Glossary

SECTION I – ACRONYMS AND ABBREVIATIONS

ATP Army techniques publication

CA civil affairs

CAO civil affairs operations

CERP Commanders’ Emergency Response Program

CIM civil information management

COR contracting officer representative

CRRT CERP Reviewing/Reporting Tracker

DA Disbursing Agent

DDO Deputy Disbursing Officer

DOD Deparment of Defense

DODFMR Department of Defense Financial Management Regulation

DRN document reference number

EFT electronic funds transfer

G-8 assistant chief of staff, financial management

G-9 assistant chief of staff, civil affairs operations

GFEBS General Funds Enterprise Business System

HA humanitarian assistance

IGCE independent government cost estimate

LOA line of accounting

MFR memorandum for record

MOA memorandum of agreement

NGO nongovernmental organization

OF Optional Form

OSD Office of the Secretary of Defense

PA paying agent

PM project manager

PPO project purchasing officer

QA quality assurance

S-9 battalion or brigade civil affairs operations staff officer

SF standard form

SJA staff judge advocate

SOW statement of work

TOA transfer of authority

U.S. United States

USAID United States Agency for International Development

USG United States Government

Glossary

Glossary-2 ATP 1-06.2 22 May 2017

SECTION II – TERMS

Antideficiency Act violations

(joint) The incurring of obligations or the making of expenditure (outlays) in violation of appropriation

law as to purpose, time, and amounts as specified in the defense appropriation or appropriations of

funds. (JP 1-06)

civil affairs operations

Actions planned, executed, and accessed by civil affairs forces that enhanced awareness of and manage

the interactions with the civil components of the operational environment; indetify and mitigate

underlying causes of instability within civil society; or involve the application of fuctional specialty

skills normally the resposibility of civil governement. Also called CAO. (JP 3-57)

contracting officer

(joint) A Service member or Department of Defense civilian with the legal authority to enter into,

administer, modify, and/or terminate contracts. (JP 4-10)

Deputy Disbursing Officer

A person appointed as deputy to a Disbursing Officer to act in the name of and for that Disbursing

Officer to perform any and all acts relating to the receipt, disbursement, custody, and accounting for

public funds. The appointing Disbursing Officer may restrict the acts a deputy is authorized to

perform. Deputy Disbursing Officers must be U.S. citizens. Also called DDO. (DODFMR 7000-14.R,

Volume 5)

Disbursing Agent

An agent of a DO, not appointed as a DDO, who generally operates a permanently-located disbursing

office that is often geographically separated from the disbursing office. (DODFMR 7000-14.R,

Volume 5)

Disbursing Officer

An officer or employee of a Federal Department, Agency or Corporation designated to disburse money

and render accounts according to laws and regulations governing the disbursement of public money.

Disbursing Officers must be U. S. citizens. Also called DO. (DODFMR 7000-14.R, Volume 5)

interagency

(joint) Of or pertaining to United States Government agencies and departments, including the

Department of Defense. (JP 3-08)

paying agent

A military member or DoD civilian employee appointed by a commander to act as an agent of a

Disbursing Officer to make specific payments, currency conversions, or check cashing transactions

from cash the Disbursing Officer temporarily advances to the agent. An individual whose regular

duties do not involve disbursing functions and who is not organizationally located in the disbursing

office. Appointed to the position of paying agent as an additional duty, is under the exclusive

supervision of the Disbursing Officer in all matters concerning custody and disposition of cash

advanced, and complies with all instructions and regulations pertaining to their paying agent duties

issued by the Disbursing Officer . All payments or currency conversions a paying agent makes are for

and in the name of the Disbursing Officer to whom the paying agent is appointed. A paying agent

holds the advanced cash at personal risk, and must account for them to the Disbursing Officer

immediately upon completion of the transaction(s) for which advanced. Also called PA. (DODFMR

7000-14.R, Volume 5)

performance work statement

(joint) A statement of work for performance based acquisitions that describe the results in clear,

specific, and objective terms with measurable outcomes. Also called PWS. (JP 4-10)

22 May 2017 ATP 1-06.2 References-1

References

All URLs were accessed on 20 March 2017.

REQUIRED PUBLICATIONS These documents must be available to intended users of this publication.

ADRP 1-02. Terms and Military Symbols. 16 November 2016.

DOD Dictionary of Military and Associated Terms. March 2017.

RELATED PUBLICATIONS AFARS 1.602-2-90. Contracting Officer’s Representative. June 1996.

http://farsite.hill.af.mil/archive/AFARS/96-1/AFAR1.htm#P614_26920

AFARS 5101.602-2-91. Contracting Officer’s representative appointments. October 2014.

http://farsite.hill.af.mil/reghtml/regs/other/afars/5101.htm#P220_20544

Anti-Deficiency Act. http://www.gao.gov/legal/anti-deficiency-act/about

DFARS 201.602-2. Responsibilities. October 2015.

http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/dfars/dfars201.htm#P307_18070

DOD 7000.14-R. Department of Defense Financial Management Regulations. June 2011.

http://comptroller.defense.gov/FMR/fmrvolumes.aspx

DODI 4500.57. Transportation and Traffic Management. 7 March 2017.

http://www.dtic.mil/whs/directives/corres/pdf/450057p.pdf

National Defense Authorization Act. https://armedservices.house.gov/hearings-and-legislation/ndaa-

national-defense-authorization-act

UNITED STATES CODE

22 USC 2151-1. Foreign Assistance Act of 1961.

http://uscode.house.gov/view.xhtml?req=foreign+assistance+act+of+1961&f=treesort&fq=tru

e&num=117&hl=true&edition=prelim&granuleId=USC-prelim-title22-section2151-1

DEPARTMENT OF DEFENSE PUBLICATIONS

Most DOD publications are available online: https://www.defense.gov/Resources

Department of Defense Law of War Manual. June 2015

DOD 7000.14-R. Department of Defense Financial Management Regulation. June 2011.

Volume 5. Disbursing Policy. February 2016.

[Note: The volume is available online at < http://comptroller.defense.gov

Volume 12. Special Accounts, Funds, and Programs. June 2009.

DOD Use of Solatia and Condolence Payments, dated May 2007.

http://www.gao.gov/new.items/d07699.pdf

DEPARTMENT OF DEFENSE DIRECTIVES

DOD Directive 5101.1, DOD Executive Agent, dated 3 September 2002.

http://www.acq.osd.mil/dpap/ccap/cc/jcchb/Files/FormsPubsRegs/Pubs/510101p.pdf

JOINT PUBLICATIONS

Most joint publications are available online: http://www.dtic.mil/doctrine/new_pubs/jointpub.htm

JP 1-06, Financial Management Support to Joint Operations. 11 January 2016.

JP 3-08, Interorganizational Cooperation. 12 October 2016.

References

References-2 ATP 1-06.2 22 May 2017

JP 3-57, Civil-Military Operations. 11 September 2013.

JP 4-10, Operational Contract Support. 16 July 2014.

ARMY PUBLICATIONS

Most Army doctrinal publications are available online: www.apd.army.mil

ATP 1-06.1, Field Ordering Officer (FOO) and Pay Agent (PA) Operations. 10 May 2013.

FM 3-57, Civil Affairs Operations. 31 October 2011.

FM 27-10, The Law of Land Warfare. 18 July 1956.

DEPARTMENT OF THE ARMY EXECUTIVE ORDERS

HQDA Executive Order 048-10, Pre-Deployment Training for Contracting Officers. 5 December

2009.

http://www.acq.osd.mil/dpap/ccap/cc/corhb/Files/Training_and_Guidance/Pre-

Deployment%20Training%20for%20CORs%20HQDA%20EXORD%20048-10.pdf

RECOMMENDED READINGS DFAS-IN Manual 37-100. The Army Management Structure, Fiscal Year 2017. August 2016.

https://www.asafm.army.mil/dfas.aspx?doc=37-100

DOD 5500.07-R, The Joint Ethics Regulations. August 1993.

http://www.dtic.mil/whs/directives/corres/pdf/550007r.pdf

DOD 7000.14-R. Department of Defense Financial Management Regulations. June 2011. Including

the following volumes:

[Note: These volumes are available online at < http://comptroller.defense.gov

Volume 4. Accounting Policy. January 2016.

Volume 11a. Reimbursable Operations, Policy. November 2014.

Volume 11b. Reimbursable Operation Policy —Working Capital Funds (WCF). April 2013.

Volume 14. Administrative Control of Funds and Antideficiency Act Violations. May 2015.

Volume 15. Security Cooperation Policy. August 2015.

FM 1-06, Financial Management Operations. 15 April 2014. www.apd.army.mil

FM 3-94. Theater Army, Corps, and Division Operations. 21 April 2014. www.apd.army.mil.

JP 3-29, Foreign Humanitarian Assistance. 3 January 2014.

http://www.dtic.mil/doctrine/new_pubs/jointpub.htm

PRESCRIBED FORMS None.

REFERENCED FORMS These forms must be available to the intended users of this publication.

Unless otherwise indicated, DA Forms are available on the Army Publishing Directorate website:

www.apd.army.mil

DA Form 200, Transmittal Record

DA Form 2028, Recommended Changes to Publications and Blank Forms

DA Form 3953, Purchase Request and Commitment

DOD Forms are available on the Office of the Secretary of Defense website:

www.dtic.mil/whs/directives/forms/index.htm

DD Form 250, Material Inspection and Receiving Report

References

22 May 2017 ATP 1-06.2 References-3

DD Form 577, Appointment/Termination Record – Authorized Signature

DD Form 1155, Order for Supplies or Services

DD Form 1351-6, Multiple Payments List

Optional Forms (OF) and Standard Forms (SF) are available on the U.S. General Services

Administration (GSA) web site: www.gsa.gov/portal/forms/type/TOP

OF 307, Contract Award

SF 26, Award/Contract

SF 33, Solicitation Offer and Award

SF 44, U.S. Governemnt Purchase Order – Invoice – Voucher

SF 1034, Public Voucher for Purchases and Services other than Personal

SF 1449, Solicitation/Contract/Order for Commercial Items

WEBSITES United States Government Accountability Office. http://www.gao.gov

Army Federal Acquisition Regulation Supplement. http://farsite.hill.af.mil/Vfafar1.htm

USFOR-A Publication 1-06.

http://www.usma.edu/cnrcd/SiteAssets/SitePages/Government%20Publications/MAAWS-

A,%20USFOR-A%20CERP%20SOP%20(Dec%2009).pdf

DFARS 201.602-2.

http://farsite.hill.af.mil/archive/dfars/dcn20080812/PGI%20201_6.htm

Army Federal Acquisition Regulation Supplement. 5101.602-2-90.

http://farsite.hill.af.mil/reghtml/regs/other/afars/5101.htm#P214_19063

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22 May 2017 ATP 1-06.2 Index-1

Index

Entries are listed by paragraph number unless indicated otherwise.

B

bulk funded, 3-17

C

CERP manager, 2-6, 2-17, 3-18

condolence payment, 1-12

G

G-8, 2-7 G-9, 1-32, 2-5

H

hero payment, 1-19

M

micro-grants, A-8, 3-36

P

paying agent, 2-15, 2-20 project manager, 2-13, 2-18

project purchasing officer, 2-14, 2-19

R

review board, 3-4, 3-21, 3-31, 3-38

S

special payments, 3-29 staff judge advocate, 2-12

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By Order of the Secretary of the Army:

MARK A. MILLEY General, United States Army

Chief of Staff

Official:

GERALD B. O’KEEFE Administrative Assistant to the

Secretary of the Army 1713109

DISTRIBUTION: Active Army, Army National Guard, and United States Army Reserve: Distributed in electronic media only (EMO).

ATP 1-06.2 22 May 2017

PIN: 103079-000