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PAM 715-9

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PAM 715-9

    FORCES COMMAND

    CONTRACTING

    MANAGEMENT

    REVIEWS

    “A GUIDE FOR SUCCESS”

    FORSCOM Pamphlet 715-9

    FORCES COMMAND

    CONTRACTING DIVISION - DCSLOG

    FORT MCPHERSON, GA 30330-1062

    31 January 1999 (Sixth Edition)

Department of the Army *FORSCOM Pamphlet 715-9

    Headquarters, United States Army Forces Command

    1777 Hardee Avenue, SW.

    Fort McPherson, Georgia 30330-1062

    31 January 1999

     Procurement

    CONTRACTING MANAGEMENT REVIEW (CMR) GUIDE

    Users are invited to send comments/suggested History. This pamphlet was last printed in February

    improvements on DA Form 2028 (Recommended 1992. This edition updates the 31 January 1998

    changes to Publications and Blank Forms) to DCS for electronic version and also supersedes the February

    Logistics, FORSCOM, 1777 Hardee Avenue, SW., 1992 printed edition.

    Fort McPherson, GA 30330-1062. Summary. This pamphlet provides guidance for

     efficient and effective conduct of Contracting

    FOR THE COMMANDER: Management Reviews (CMRs) within Forces

     Command (FORSCOM).

    OFFICIAL: JOHN M. PICKLER Applicability. This pamphlet is for use by HQ

     Lieutenant General, USA FORSCOM for review of FORSCOM contracting

     Chief of Staff offices and FORSCOM Installation Directorate of

     Contracting (DOC) personnel to prepare for

     FORSCOM CMRs.

    SIGNED Changes. Changes to this publication are not official

    DALE E. PEYTON unless they are authenticated by the DCSC4,

    Colonel, GS FORSCOM, 1777 Hardee Avenue, SW., Fort

    Assistant Deputy Chief of Staff for McPherson, GA 30330-1062. Users will destroy

    Command, Control, Communications changes on their expiration dates unless sooner

     and Computers superseded or rescinded. Suggested improvements. The proponent agency of this pamphlet is the Deputy Chief of Staff for

    Logistics (DCSLOG), FORSCOM, 1777 Hardee

    Avenue, SW., Fort McPherson, GA 30330-1062.

DISTRIBUTION is C and E. Pass to Directorate of Contracting Personnel.

    Copy furnished: HQ FORSCOM (AFCI-A) (record copy)

* This pamphlet supersedes FORSCOM Pamphlet 715-9, dated 31 January 1998.

    FOREWORD

FORSCOM Pamphlet 715-9

     The purpose of this guide is to standardize Command procedures for efficient conduct of CMRs. It provides a

    “ready reference” for CMR teams to use while conducting reviews and measuring performance. It is also an

    excellent tool for DOCs to use for internal reviews; however, users are cautioned that this pamphlet should not be

    used as a source in lieu of appropriate regulations. These procedures establish standards and provide uniformity and

    consistency in reviews and reports, to assure that all FORSCOM contracting organizations are measured in the same

    manner.

     The objectives of the CMR are to ensure that contracting is accomplished in compliance with established laws,

    regulations, policies, procedures and directives; to assess the organization's condition, capability to perform assigned

    mission and customer support; and to assist managers in the development of suitable approaches to resolve problems.

    TABLE OF CONTENTS 2

    Contract Management Review (CMR) CHAPTER 1 4

    FORSCOM Pamphlet 715-9 Process 4 APPENDIX B-1 44 1-1. General 4 Instructions for Completion of Rating 1-2. Introduction 4 Form 44 1-3. Responsibilities 4

    1-4. Notification to the Contracting Organiza-tionAPPENDIX B-2 45 5 FORSCOM Contracting Management 1-5. In-Briefs 5 Review 45 1-6. In-Process Reviews 5

    1-7. Out-Briefs 5 APPENDIX C-1 46 1-8. Lessons Learned 5 Contracting Management Review (CMR)

    In-Brief for Garrison Commander 46 CHAPTER 2 6 APPENDIX C-2 47 Standards and Report Format 6 Contracting Management Review 2-1. General 6 In-Brief for Directorate of Contracting 2-2. Purpose 6

    2-3. Standards 6 (DOC) 47 2-4. Report Format 6

    APPENDIX D-1 48 2-5. Responsibilities 8

    2-6. Completion of the Contracting Manage- Contracting Management Review (CMR) ment Review 8 Out-Brief for Directorate of Contracting (DOC)2-7. Follow-Up Review 8 48

    APPENDIX D-2 49 CHAPTER 3 8

    Contracting Management Review (CMR) Reviewing The Contracting Organization 8

    3-1. General 9 Out-Brief for Garrison Commander 49 3-2. Review of Categories 9 APPENDIX E 50 3-3. Management and Administration 9

    3-4. Organizational Structure/Manpower CMR Milestones 50 Management 9

    3-5. Career Program Management 9 APPENDIX F 51

    3-6. Office Policy and Procedure 11 Blue Print For A High Performance 3-7. DOC Special Programs 14 DOC 51 3-8. Evaluation 16

    3-9. Acquisition 17 APPENDIX G 52 3-10. FACNET 18 Centurion and the DOC 52 3-11. Simplified Acquisitions 18

    3-12. Formal Contracts 23 APPENDIX H 54 3-13. Contract Administration 30 Legal Support 54 3-14. Commercial Items 38

    APPENDIX I 57

    Areas of Special Interest for FYs 98 APPENDIX A 41 and 99 57 Sample Notification Letter 41

    3

    FORSCOM Pamphlet 715-9 Chapter 1 (4) Determine the size and composition of the

    teams. Contract Management Review (CMR) Process (5) In coordination with other Team Leaders, assign specific duties to team members. 1-1. General (6) Acquire necessary subject matter experts The purpose of the CMR is to determine the from outside the PARC office if needed. efficiency and effectiveness with which the DOC (7) Appoint a member of the Management Team executes its responsibilities and to assess compliance as the Logistical Support Coordinator to handle the with established laws, regulations, policies, following: procedures, and directives. The review will assist the (a) Prepare DOC notification letter. DOC and its customers in recognizing and acting on (b) Prepare TDY orders. problems in contracting and contract administration. (c) Make airline/lodging reservations. Emphasis will be on development and improvement (d) Prepare CMR packets for team members; of managerial controls and approaches as well as include a copy of the previous CMR report, rating determination of compliance with existing regulations, sheet, any applicable audit reports, logistical infor-directives and procedures. This assessment can then mation, and any other pertinent DOC information. be used to improve the contracting process by (8) Review and provide the final CMR report to ensuring that all elements work together to provide the PARC for approval not later than (NLT) 30 the best contracting support to the customer. The calendar days following a review. overall objective is to maximize contract mission (9) No later than 30 July, provide the PARC a performance. complete listing of proposed CMRs for the upcoming fiscal year for review and approval. The list will be 1-2. Introduction reviewed quarterly. Comprehensive pre-CMR planning is indispensable (10) Review this guide annually for additions, to the success of the review. If planning is done deletions and general changes as appropriate. properly, the review team will know about the Prepare and distribute supplements as needed. organization to be reviewed, its mission, workload, c. Team Chief. The Team Chief is responsible staffing, and known strengths and weaknesses before for the following: the review begins. This reduces the need for (1) Arrange for working space and clerical extensive on-site briefings, interviews, and study of assistance for the team. internal and external directives or instructions. The (2) Meet with the PARC at least one week prior adequacy of pre-CMR planning and preparation will to the review for any special issues/concerns. be reflected during the conduct of the review and in (3) Meet with team members and discuss work the quality of the review report. Planning should assignments. include use of other reports, e.g., Inspector General, (4) Conduct in-process reviews with the Director Internal Review, Army Audit Agency and General of Contracting and team members. Accounting Office. (5) Conduct in and out-briefings with Director- ate of Contracting personnel and Garrison Comman-1-3. Responsibilities der. a. PARC. The FORSCOM Principal Assistant (6) Appoint a team member to prepare the CMR Responsible for Contracting (PARC) is responsible report. for the conduct of all FORSCOM CMRs. The PARC (7) Prepare and transmit the final CMR report to delegates the primary responsibility for the CMR the installation. Program to the Team Leader, Management Team. d. Team Members. Team members are respon- b. Management Team. The Team Leader, sible for the following: Management Team, will: (1) Assess documents sent to the Headquarters (1) Oversee the efficient, effective operation of (J&As, POMs/PNMs, reports, etc.) all CMRs. (2) Perform the review in accordance with this (2) In coordination with the PARC, Chief, pamphlet and the instructions from the Team Chief. PARC Operations, and other Team Leaders, appoint (3) Report on efficiencies as well as areas the CMR Team Chief. needing improvement. (3) Coordinate with the DOCs to see what

    assistance is needed before review.

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    FORSCOM Pamphlet 715-9

     (4) Maintain objectivity; verify information. the office and enable the office to take timely action

     e. Directorate of Contracting (DOC). The DOC concerning deficiencies identified during the review. should have the information requested in the Matters of fact are determined at this time (i.e., a notification letter available for the review team upon document is either in the file or not). The Director arrival. should not be surprised at the out-brief with problems

     and criticisms that should have been revealed and

    discussed during the review. 1-4. Notification to the Contracting Organiza-tion

     a. The CMR schedule will be published in a a. At the close of business each review day, the Contracting Information Letter (CIL) prior to 15 Team Chief will assemble team members and assess August of each fiscal year. The PARC will notify the the results of the review for that period. Team DOC at least 60 calendar days prior to the date the members should relay information relative to their review is to begin. A sample notification letter is at specific areas of responsibility and of use to the other Appendix A. members of the team.

     b. The letter will give the nature, date, and b. Prior to completion of the review and the out-expected duration of the review; request sufficient briefing, the Team Chief should conduct a final administrative work space to support the team meeting with the team to review the significant members, a point of contact, and documents findings and recommendations to be included in the necessary to conduct the review be made available. report. During this meeting, evaluations and overall Information needed may include: rating should be determined based on guidance

     (1) Organization Charts. contained in Chapter 2.

     (2) Mission Statement.

     (3) Advance Acquisition Plan. 1-7. Out-Briefs

     (4) Source of Work (Customers). Two separate out-briefs will be conducted, first with

     (5) Policies & Procedures (i.e., local regulation the Director and supervisory staff and second with the or SOP). Director and the Garrison Commander. The Director

     (6) Manpower (Required, Authorized, On-board). has the option of extending the first out-brief to all

     (7) Training Status. DOC personnel.

     c. The notification letter to the DOC should also a. The Director of Contracting, along with the request an orientation briefing be presented to the supervisory staff, will be briefed on the findings, review team on arrival. Subjects should include observations and recommendations by the Team organization, mission and functions, nature and scope Chief and the full review team. The format at of contracting operations, staffing, and Appendix D-1 will be used. acquisition/contracting problem , and results of the b. The out-brief with the Garrison Commander self-assessment. will be conducted by the Team Chief. Selected team

     d. The letter will advise the DOC if the members may accompany at the discretion of the FORSCOM NAF Analyst will accompany the team to Team Chief. perform a CMR of Non-appropriated Fund (NAF) c. The out-brief should be carefully planned. Contracting. Non-appropriated Fund procurement The format for the out-brief is at Appendix D-2. The

    performed by the Directorate of Personnel and Commander is given a completed rating sheet Community Activities is covered in FORSCOM (Appendix B-2). Pamphlet 215-4. d. The Team Chief should thank the

     Commander, his staff, and all others who contributed 1-5. In-Briefs to the review. The chief should advise that the final If requested, the Team Chief and the Director will report will be prepared within 30 calendar days and brief the Garrison Commander on the purpose of the that the command’s response is due within 60 days CMR and give him a blank rating form (Appendix B-after receipt. Corrective action taken or planned for 2). The format at Appendix C-1 will be used for the noted findings is expected in the command's response. briefing. The Team Chief will also brief the DOC on Comments on observa-tions and recommendations the CMR review process and procedures to be used are optional. by the team. The format at Appendix C-2 will be e. It should be stressed in the out-briefs that all used for the DOC briefing. evaluations are tentative and subject to change. 1-6. In-Process Reviews During the review, the Team Chief will keep the 1-8. Lessons Learned Director informed of progress and findings. Such a. Information obtained from CMRs that should meetings assure understanding between the team and be shared with other contracting offices will be

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FORSCOM Pamphlet 715-9

    disseminated periodically using various means of management. Findings noted are severe including communication, such as the FORSCOM home page non-compliance with regulations and command on the Internet, email, newsletters, memoranda, guidance, violations of public law, disregard for conferences, and other channels. command policy, blatant mismanagement of b. Team members will submit a brief summary operations and/or repeated, recurring findings. of lessons learned along with the functional review Unsatisfactory performance will be reviewed in six results to the team chief. Management Team leader is months. responsible for disseminating information. b. The overall rating will consider all functional areas. Final results will be presented to the Director

    and his supervisory staff by the full review team and Chapter 2 to the Garrison Commander by the Team Chief. Standards and Report Format Rating, strengths and weaknesses will be discussed. c. Legal Support will be reviewed by the 2-1. General FORSCOM Staff Judge Advocate (SJA) team This guide establishes standards for the review and representative and will not be included in the DOC provides the basis for maintaining uniformity and rating. The review results will be presented to the consistency in reviews and reports. Installation SJA and the Garrison Commander by the FORSCOM legal representative. 2-2. Purpose The purpose of the CMR standards and report is 2-4. Report Format twofold: a. The report must be clear, concise, easy to a. To effectively direct and monitor the read, and as brief as possible. The following format implementation of accepted rules, practices and will be used: procedures by all field contracting activities (1) Table of Contents - Identifies location of the concerned. major subheadings and page numbers. Use the same b. To ensure reviews are conducted in general format for each report. accordance with adequate, written standards which (2) Executive Summary - The Executive Sum-will measure the qualitative aspects of performance. mary should be comprehensive enough for the reader to get an overall picture of managerial and 2-3. Standards operational efficiencies and inefficiencies. It shall be The most critical aspect of any review is the final concise, cite the purpose and authority of the review, result. The review will provide the Garrison and cover the mission and workload of the Commander a status of the contracting organization organization. The summary will identify the as assessed by the team. The status report will be a organization reviewed, when, by whom, and key subjective rating based on specific areas inspected customers contacted. It should indicate in and out and overall assessment of findings. briefings conducted and acknowledge the presence of a. Five ratings will be used to identify results: representatives of the command. As a lead-in to the (1) Outstanding - Excellent condition. Effec-tive, Summary of Findings, include a brief introductory efficient, management attention beyond normal statement to set the stage for the report and provide standards have been applied. No finding that violates the overall rating of the Directorate. Appreciation law.

     (2) Above Average - Conditions are good and exceed acceptable satisfactory standards.

     (3) Satisfactory - Conditions meet acceptable standards, IAW regulations, command guidance and

    policy. The DOC is functioning at an acceptable

    level with some deficiencies.

     (4) Marginal - Conditions reflect findings in management that impact on efficient operations.

    Findings are serious but in the opinion of the reviewer

    may be corrected with minimal oversight and are not

    severe enough to warrant an unsatisfactory rating.

    Marginal performance will be reviewed in six months.

     (5) Unsatisfactory - Conditions do not meet normal standards and reflect unacceptable

     6

    FORSCOM Pamphlet 715-9

    should be expressed to the Garrison Commander and management, office management/policy and DOC staff for courtesies and assistance rendered as procedures, and contracting management programs appropriate. follows.

     (3) Summary of Findings - Briefly describes all (6) Acquisition - This section provides an

    CMR team member findings. Corrective actions are evaluation of the contracting mission and includes addressed in subsequent sections. FACNET/Electronic Commerce, Micro-purchases,

     (4) Areas of Special Interest to the Deputy Simplified Acquisition Procedures, Formal Con-tracts, Assistant Secretary of the Army (Procurement) - Contract Administration, and Commercial Items Includes review results on DA special interest areas Acquisition.

     (7) Non-appropriated Fund - (Appendix I).

     b. The report is addressed by functional area and (5) Management and Administration - An overall

    evaluation of the Office of the Director and the each category is reviewed as outlined in Chapter 3.

    Support Function introduces this section. An in-Each section of the report will be organized as depth evaluation of the organizational follows: structure/manpower management, career program

     AFLG-PR

    Contract Management Review: Fort (installation) DOC

    DD/MM/YY

V. ACQUISITION

1. FACNET/Electronic Commerce. Reviewer(s):

2. Simplified Acquisitions. Reviewer(s):

Topics Reviewed Without Specific Comments (No significant comments warranted): Modifications, Supply

    purchases.

Topics Not Reviewed: Construction purchases, Federal Supply Schedules.

     a. Evaluation. (Brief summary of Functional Area Review).

     b. Micro-purchases:

Finding: Cardholders are splitting requirements to remain within the micro-purchase threshold and control the

    acquisition (identify two or more instances).

Corrective Action: Take appropriate action (e.g., suspend cards) to ensure cardholders comply with FAR 13.602(c).

    Invite legal counsel to address this area in local training classes. Include article in newsletter.

Observation: DOC exceeds the FORSCOM goal of micro-purchases made with the purchase card.

     c. Sequence all categories as they are shown in conducted on the spot with the team member and

    Division Chief and the Director of Contracting as Chapter 3. Address all categories. Cite regulatory

    necessary. references for findings noted. Findings should be

     e. Focus on mission-related work. Avoid noted for systemic problems and statutory violations.

    comments on file neatness and organization unless it Single deficiencies do not indicate systemic problems.

    Team members should advise the DOC of single

    deficiencies and write findings on two or more

    occurrences of a deficiency.

     d. Brevity is essential. Provide the finding and

    identify the corrective action. Discussions will be

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FORSCOM Pamphlet 715-9

    is having an exceptionally positive or negative impact d. Team Members: on compliance. (1) Provide required input (report and lessons

     learned) to the CMR Team Chief through their Team

    Leader on all areas reviewed NLT l2 calendar days 2-5. Responsibilities

    The report officially transmits the review findings, after completion of the review. corrective actions and final assessment through (2) Ensure comments comply with the proce-command channels to the installation. The dures prescribed herein. responsibilities associated with producing the report (3) Edit as appropriate. are: (4) Review DOC's reply and provide concurrence

     a. The PARC: or comments to Team Chief.

     (1) Approves the report and forwards it through command channels, as appropriate. 2-6. Completion of the Contracting Management

     (a) When the overall rating is “outstanding”, the Review

    The DOC's response to the CMR report will be Commanding General of FORSCOM may be asked to

    reviewed for adequacy of corrective action by the sign a memorandum to the Garrison Commander

    team members. congratulating the DOC for achieving the rating. The

     a. If the CMR response is determined adequate, memorandum to the Garrison Commander

    no action is required. Issues requiring clarification, transmitting the report will be signed by the PARC.

    non-concurrence of findings, and challenges to policy (b) When the overall rating is “marginal” or

    and procedures will be researched by the team below, the Chief of Staff may be asked to sign a

    member who noted the finding. A written reclama memorandum to the Garrison Commander advising of

    addressing identified issues will be prepared by the the DOC's rating and the need for a six month follow-

    team member and given to the CMR Team Chief up.

    within 10 calendar days. (c) The PARC will sign all other transmittal

     b. The CMR Team Chief will prepare a final letters and reports.

    memorandum to the DOC within 20 calendar days (2) Briefs the Commanding General, Chief of

    after receipt of the DOC's response. The Staff and DCSLOG as necessary.

    memorandum will identify any issues and/or provide b. Management Team Leader:

    the appropriate Command guidance. The CMR Team (1) Coordinates staffing and preparation of the

    Chief will coordinate the response through the final report.

    Management Team Leader, who will review and (2) Ensures final report is in the proper format

    forward it to the PARC for signature. and provided to the PARC within 30 calendar days

     c. The HQ FORSCOM response to the DOC on after completion of the review. A detailed milestone

    identified issues is the final Command position. This chart for preparation of the CMR report is at

    action officially closes the review process. Appendix E.

     d. Where appropriate, the PARC will issue (3) Files final report, tracks receipt of DOC

    policy through Contracting Information Letters response; and coordinates reclama as needed. c.

    (CILs). c. The CMR Team Chief:

     (1) Receives all CMR input from the team

    2-7. Follow-Up Review members after review and approval by the Team

    The purpose of the six month follow-up review is to Leaders.

    ensure the Directorate took appropriate action to (2) Ensures team members' comments are edited

    correct findings noted on a marginal review, and is and in proper format.

    effectively instituting measures to improve contract- (3) Assembles report, proofreads and edits.

    ing operations. Team members will validate that all (4) Provides report to Management Team Leader

    recommended corrective actions were implemented. IAW milestones.

    The CMR Team Chief will prepare the follow-up (5) Provides copy of signed report to

    report in the form of an Executive Summary, Management Team Chief.

    identifying corrective actions taken, unresolved (6) Makes a written assessment to the PARC and

    shortcomings and describing the DOC's present status. Management Team Leader of the CMR regarding the

     need for additional guidance, policy or regulatory

    changes by the PARC office. (NOTE: This

    assessment is not part of the CMR report).

     (7) Reviews DOC's response to report and

    provides any reclama to the DOC.

    Chapter 3

    Reviewing The Contracting Organization 8

    FORSCOM Pamphlet 715-9

    customer? Does it reflect the Blueprint for a High 3-1. General

    This Chapter divides the review process into the Performance DOC? (Appendix F)

    following major sections: e. One of the most important areas of review in

     a. Management and Administration any contracting organization is staffing and career

     b. Acquisition development. No organization can function

     efficiently without adequate personnel. One problem 3-2. Review of Categories management faces on a continuous basis is securing These sections provide an explanation of how a and retaining qualified personnel and maintaining specific area should be reviewed. Team members career progression to all grade levels (e.g., gap from should not limit the review to the categories GS-12 to GS-14). addressed in the sections, but consider other f. Observations should be made on the staffing significant items of contracting interest that are level and the grade distribution pattern. Is there determined to require examination. evidence of over staffing, over segmentation of the

     function (for support of grades), or under grading of 3-3. Management and Administration personnel according to responsibilities assigned?

     a. The Office of the Director is responsible for Take care not to approach the analysis from a the overall effectiveness of the Directorate in manpower survey or job or wage analysis point of providing contracting mission support to the view. However, pertinent information from such installation. The Director also manages and develops reviews may be included, if appropriate, to augment personnel assigned to the DOC. To assess observations. To some extent, an appropriate management of the DOC and administrative support, evaluation of manpower management may result from the review team will evaluate the following: the review team's reaction to the following questions:

     - Organizational Structure/Manpower Man- (1) What is the number of professional agement contracting personnel at each level of management?

     - Career Program Management (2) How many military and civilian personnel?

     - Office Policy and Procedures (3) How many staff or clerical personnel? Are

     - DOC Special Programs there sufficient administrative/support personnel to

     b. Objective: fulfill the needs of the entire organization (e.g., To provide guidance and direction to the DOC Cost/Price Analyst, Systems Administrator, Property ensuring responsive support is provided to customers Administrator, Procurement Analyst)? through the effective, efficient implementation of (4) What are the grades or ranks? contracting practices. To provide responsive (5) Are personnel requirements handled ex-technical and administrative services to support the peditiously by the DOC, by DCP? mission of the Directorate. (6) What is the ratio of warranted contracting

     officers to total DOC size? What is Director’s 3-4. Organizational Structure/Manpower Man-rationale for requesting warrants? agement g. Analyze the causes for separation for the past

     a. What is the overall structure of the organiza-two or three fiscal years. Excessive turnover may be tion? Is it revised to keep up with changes in an indication of poor manpower management. procurement law, such as FASA? h. For installations that have migrated to the

     b. Is DOC properly organized to provide Business Center organizational structure, is DOC in adequate administration of contracts? compliance with the FORSCOM Chief of Staff

     c. Have the 1105 and 1106 series jobs been guidance issued 18 Sep 97? examined to determine the most effective way and (1) Does the DOC report no lower than the mix to meet the mission? Are the GS-1105 Deputy Garrison Commander? Purchasing Agents being converted to GS-1102 series? (2) Does the senior contracting supervisor retain Is the GS-1106 series being phased out? If yes, how functional/supervisory control over all contracting are administrative/clerical tasks handled? Are the personnel? lower graded GS-1102 personnel primarily handling (3) Are collocated cells limited to $100K in purchases under Simplified Acquisition Procedures contracting authority (the SAP threshold)? and journeyman-level 1102’s working the more complex procurements? 3-5. Career Program Management d. Does the overall organizational structure a. Professionalizing the Workforce. (DOD

    provide maximum efficiency and support to the Directives 5000.23/5000.52-M)

    9

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