DoDI_4500-57_-_Attachment_5.pdf

DOD INSTRUCTION 4500.57

TRANSPORTATION AND TRAFFIC MANAGEMENT

Originating Component: Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics

Effective: March 7, 2017

Releasability: Cleared for public release. Available on the DoD Issuances Website at http://www.dtic.mil/whs/directives.

Reissues and Cancels: DoD Instruction 4500.57, “Transportation and Traffic Management,”

March 18, 2008

Incorporates and Cancels: DoD Instruction 4500.17, “Proceedings Before Transportation Regulatory

Bodies,” January 16, 1969, as amended DoD Instruction 4500.34, “DoD Personal Property Shipment and Storage

Program,” July 10, 2006 DoD 4140.50-R, “Management and Standards of DoD Locomotives,”

June 19, 1985

Approved by: James A. MacStravic, Performing the Duties of the Under Secretary of

Defense for Acquisition, Technology, and Logistics

Purpose: This issuance:

• In accordance with DoD Directive (DoDD) 5134.01, establishes policy, assigns responsibilities, and provides procedures for various modes, methods, and programs for transportation and traffic management.

• Establishes transportation programs and DoD Component responsibilities to support DoD supply chain materiel management objectives in DoD Instruction (DoDI) 4140.01.

DoDI 4500.57, March 7, 2017

TABLE OF CONTENTS 2

TABLE OF CONTENTS

SECTION 1: GENERAL ISSUANCE INFORMATION

1.1. Applicability

1.2. Policy

1.3. Specific Policy Sources

SECTION 2: RESPONSIBILITIES

2.1. Assistant Secretary of Defense for Logistics and Materiel Readiness (ASD(L&MR)). .. 6

2.2. Director, Defense Logistics Agency

2.3. Under Secretary of Defense (Comptroller)/Chief Financial Officer of the Department of

Defense

2.4. Director, Defense Security Cooperation Agency

2.5. DoD Component Heads

2.6. Secretary of the Army

2.7. Secretary of the Navy

2.8. Chairman of the Joint Chiefs of Staff

2.9. CCDRS

2.10. CDRUSTRANSCOM

SECTION 3: TRANSPORTATION SERVICES

3.1. Acquisition of Services

3.2. Deviation Authority

3.3. Transportation Services in Supply Contracts

3.4. Critical Infrastructure

3.5. Foreign Sources

3.6. Airlift and Sealift Charters

3.7. Cross-Servicing and Cooperative Military Airlift Agreements

SECTION 4: AIR TRANSPORTATION

4.1. General

4.2. Operational and Training Requirements

4.3. Unused Passenger Space

4.4. Priorities for Movement of Passenger and Cargo Airlift

4.5. Use of CRAF Carriers

4.6. Foreign Air Transportation

4.7. DoD Passenger Manifesting

4.8. Use of DoD-Approved Air Carriers

SECTION 5: INTERMODAL CONTAINERS, RAIL, MOTOR AND ARMS, AMMUNITION AND EXPLOSIVES

AND TRANSPORTATION ENGINEERING

5.1. General

5.2. Intermodal Containers and Systems

5.3. Use of Intermodal Containers During Contingency Operations

5.4. Railroad Equipment and Transportation

5.5. Motor Transportation

5.6. Arms, Ammunition, and Explosives (AA&E)

5.7. Transportation Engineering Analysis

SECTION 6: SEA TRANSPORTATION

TABLE OF CONTENTS 3

6.1. General

6.2. Sizing the Fleet

6.3. Use of VISA Carriers

6.4. Commercial Priorities

6.5. Organic Sealift

6.6. Intra-Theater Sealift

6.7. Maritime Security Program

6.8. Sealift Passenger Manifesting

SECTION 7: PERSONAL PROPERTY AND POV SHIPMENT AND STORAGE PROGRAMS

7.1. General

7.2. Consolidation and Standardization of Personal Property Shipping Offices

7.3. Shipment and Storage of POVs

7.4. TSP and Contractor Performance

7.5. Program Reviews

7.6. Strategic Plans

SECTION 8: REPRESENTATION BEFORE REGULATORY BODIES

8.1. General

8.2. Procedures

8.3. Initiation of Regulatory Proceedings

8.4. Notice of Subpoena

8.5. Procedures

8.6. Presentation of Information and Testimony

GLOSSARY

G.1. Acronyms G.2. Definitions

REFERENCES

SECTION 1: GENERAL ISSUANCE INFORMATION 4

SECTION 1: GENERAL ISSUANCE INFORMATION

1.1. APPLICABILITY. This issuance applies to OSD, the Military Departments (including the Coast Guard at all times, including when it is a Service in the Department of Homeland Security by agreement with that Department), the Office of the Chairman of the Joint Chiefs of Staff and the Joint Staff, the Combatant Commands (CCMDs), the Office of the Inspector General of the Department of Defense, the Defense Agencies, the DoD Field Activities, and all other organizational entities within the DoD (referred to collectively in this issuance as the “DoD Components”).

1.2. POLICY.

a. The National Defense Strategy of the United States of America requires a strong Defense Transportation System (DTS), operating within a national transportation system that is fully responsive and globally capable of meeting personnel and materiel movement requirements of the DoD across the range of military operations. This strategy requires that an optimum mix be achieved that matches defense requirements with the various modes and methods of transportation, both military and commercial. A robust DTS is agile, flexible, and capable of supporting the projection of military power anywhere in the world. To achieve this capability, the DoD will integrate military, commercial, alliance, host-nation, and additional resources to the maximum extent possible.

b. Transportation operational readiness is critical for the global mobility of DoD Component personnel, materiel, and equipment in support of national security. Transportation operational readiness enables and supports DoD Component readiness in meeting operation plan requirements. Commercial transportation service providers (TSP) contribute to transportation operational readiness by providing, for example, proven capability for ground and air lines of communication in overseas contingency locations; worldwide transportation networks; robust cyber security management; and business relationships with industry and partner nations to support continuity of transportation movements. To that end, when procuring commercial transportation services, DoD will apply the following criteria in order of importance:

(1) Readiness and responsiveness.

(2) Performance.

(3) Cost.

c. In accordance with National Security Decision Directive 280 and National Security Directive 28, DoD Components will use the transportation services of U.S. commercial sources to the maximum extent practicable. DoD Components are required to use the DTS for common-user transportation services for the movement of passengers, cargo, and human remains unless there is a documented negative critical mission impact. This requirement does not apply when transportation is incidental to the procurement, such as when weapon system procurements and supplies are procured with a Government Purchase Card.

SECTION 1: GENERAL ISSUANCE INFORMATION 5

d. In peacetime, the DoD generally maintains and operates only those owned or controlled transportation resources needed to meet approved emergency and wartime requirements and anticipated exercise or other peacetime forecast requirements that may not reasonably be met from commercial transportation resources. DoD-owned or -controlled transportation resources will be used during peacetime as efficiently as practicable, to provide essential training for operational personnel, and to ensure the capability to meet approved requirements for military capacity in wartime, contingencies, and emergencies.

e. All applicable U.S. laws concerning customs, agriculture, immigration border clearance, the transportation of hazardous material, and requirements outlined in DoDI 2040.02 will be observed without unnecessarily delaying the movement of DoD personnel and materiel. The federal inspection services will have authority over DoD cargo and personnel moving into and out of the customs territory of the United States.

f. Unless urgent circumstances prohibit, cargo, passengers, and personal property must be manifested on-board all DoD-owned, -controlled, or -chartered conveyances. Procedures for manifesting are contained in the Defense Transportation Regulation (DTR).

g. When an individual’s use of DTS involves maintaining personally identifiable information (PII) in a passenger manifesting system or personal property or privately-owned vehicle (POV) shipment and storage programs and is accounted for in a Privacy Act system of records, all records maintained in these systems will be maintained pursuant to Section 552a of Title 5, United States Code (U.S.C.), also known as the “Privacy Act of 1974,” DoDD 5400.11, and DoD 5400.11-R; all records in a mixed system of records and should be maintained in accordance with DoDD 5400.11. All records should be maintained consistent with DoDI

5015.02. All PII should be safeguarded consistent with DoDD 5400.11.

1.3. SPECIFIC POLICY SOURCES. Specific policies for operational support airlift are in DoDI 4500.43. Policies on the use of DoD aircraft and air travel are in DoDD 4500.56. Policies on administrative use of motor vehicles are in DoDI 4500.36. Policies on air passenger management and safety and quality control of civil air carriers are in DoDI 4500.53. Policy on air transportation eligibility for the DoD is prescribed in DoDI 4515.13.

SECTION 2: RESPONSIBILITIES 6

SECTION 2: RESPONSIBILITIES

2.1. ASSISTANT SECRETARY OF DEFENSE FOR LOGISTICS AND MATERIEL

READINESS (ASD(L&MR)). Under the authority, direction, and control of the Under Secretary of Defense for Acquisition, Technology, and Logistics, and in accordance with DoDD 5134.12, the ASD(L&MR):

a. Develops DoD transportation and traffic management policies; provides guidance and policy interpretations to the DoD Components concerning the effective and efficient acquisition and use of all modes of DoD and commercial transportation resources and services; and grants exceptions to programs covered in this instruction.

b. Through the Deputy Assistant Secretary of Defense for Transportation Policy (DASD(TP)), maintains liaison and fosters collaborative working relationships with other federal agencies and the commercial industry in carrying out assigned responsibilities and functions.

c. Prescribes policies and provides guidance to DoD Components concerning automatic identification technology and in-transit visibility (ITV).

2.2. DIRECTOR, DEFENSE LOGISTICS AGENCY. Under the authority, direction, and control of the ASD(L&MR) and in addition to the responsibilities in Paragraph 2.5., the Director, Defense Logistics Agency, is responsible for the acquisition of intermodal containers.

2.3. UNDER SECRETARY OF DEFENSE (COMPTROLLER)/CHIEF FINANCIAL

OFFICER OF THE DEPARTMENT OF DEFENSE. The Under Secretary of Defense (Comptroller)/Chief Financial Officer of the Department of Defense establishes overall policy governing transportation working capital funds and the transportation financial processes in DoD 7000.14-R.

2.4. DIRECTOR, DEFENSE SECURITY COOPERATION AGENCY. Under the authority, direction, and control of the Under Secretary of Defense for Policy and in addition to the responsibilities in Paragraph 2.5., the Director, Defense Security Cooperation Agency, coordinates with the DASD(TP) for transportation guidance associated with the movement of security assistance and security cooperation cargoes and humanitarian assistance programs.

2.5. DOD COMPONENT HEADS. The DoD Component heads:

a. Oversee the safe, secure, effective, and efficient use of DoD and commercial resources in carrying out assigned missions.

b. Ensure that regulations and implementing procedures reflect full compliance with this instruction.

SECTION 2: RESPONSIBILITIES 7

c. Coordinate with the Commander, United States Transportation Command (CDRUSTRANSCOM), to implement and execute of the DoD Customs and Border Clearance Program (CBCP), DoD personal property shipment and storage and POV programs, and other programs for the movement of DoD and other authorized passengers and materiel.

d. Notify the ASD(L&MR) and CDRUSTRANSCOM of any request by a transportation regulatory body or notice of subpoena to testify before or produce documents for a transportation regulatory body on matters relating to the DTS, DoD distribution operations, or DoD use of commercial transportation services.

e. Establish, operate, staff, and support transportation, traffic management, and personal property shipment offices.

f. Synchronize transportation and financial business areas to comply with transportation financial auditability and transportation payment initiatives. Provide a representative for these initiatives to implement standard policy, processes, procedures, and business rules codified in the DoD 7000.14-R, the DTR, and this instruction.

g. Provide a representative to the Joint Deployment and Distribution Enterprise Working Groups, in accordance with DoDI 5158.06.

h. Assist and cooperate with the Federal Inspection Services and foreign countries to stop the flow of contraband into the United States and foreign countries through military channels.

i. Ensure that DoD contracts involving export-controlled items or data include the clause “Export Controlled Items” in accordance with Part 252 of the Defense Federal Acquisition Regulation Supplement, which places responsibility on the contractor to comply with U.S.

export-control laws and regulations.

j. Coordinate with United States Transportation Command (USTRANSCOM) to integrate and synchronize a distribution system to meet customer requirements in accordance with the DoD materiel management procedures in DoD Manual 4140.01.

k. Provide transportation requirements, including those that support transportation operational readiness, to USTRANSCOM with sufficient lead time and detail to enable the efficient acquisition or arrangement of transportation services.

l. Apply continuous process improvement to transportation and traffic management programs.

2.6. SECRETARY OF THE ARMY. In addition to the responsibilities in Paragraph 2.5., the Secretary of the Army serves as the single manager for procurement of railcars and locomotives and for the operation of a national inventory control point for railroad equipment, including the Defense Freight Railway Interchange Fleet (DFRIF).

SECTION 2: RESPONSIBILITIES 8

2.7. SECRETARY OF THE NAVY. In addition to the responsibilities in Paragraph 2.5., the Secretary of the Navy, in accordance with the delegation of authority in DoDD 4500.09E, will act for the Secretary of Defense and exercise powers of the Secretary of Defense on matters relating to the waiver of the prohibition on cabotage law pursuant to Section 55102 of Title 46, U.S.C., also known and referred to in this issuance as the “Merchant Marine Act of 1920,” for the carriage of DoD cargo in the DTS. This authority may be delegated to only the Commander, Military Sealift Command. All other requests for waiver of cabotage laws will be referred to the Under Secretary of Defense for Acquisition, Technology, and Logistics for further coordination with the Secretary of Homeland Security.

2.8. CHAIRMAN OF THE JOINT CHIEFS OF STAFF. In addition to the responsibilities in Paragraph 2.5., the Chairman of the Joint Chiefs of Staff:

a. Prescribes a transportation movement priority system that will assure responsiveness to the requirements of supported Combatant Commanders (CCDRs).

b. Identifies DoD Component transportation requirements to USTRANSCOM and maintains cognizance over those requirements.

c. Analyzes courses of action and provides recommendations, via the Global Force Management process, when requirements exceed transportation system capability or when transportation assets are also required for combat and combat support missions (e.g., tanker aircraft used in strike missions). If required, meets with the Joint Transportation Board, in accordance with Joint Publication 4-0, to settle competing lift requirements of the CCMDs.

d. Coordinates with the Military Departments and USTRANSCOM to ensure that continuity of operations, CCDR, and transportation operational readiness requirements are established and met.

2.9. CCDRS. In addition to the responsibilities in Paragraph 2.5., the CCDRs:

a. Plan, arrange, manage, and monitor transportation services for intratheater movements.

b. Coordinate with USTRANSCOM for security requirements at sea and aerial ports of embarkation and debarkation for movements that originate, transit, or terminate within their area of responsibility (AOR).

c. Coordinate customs clearance procedures, in accordance with the DoD CBCP, with host nations within their AOR.

d. Appoint a theater container manager with overall responsibility for container control functions within their AOR.

e. In coordination with USTRANSCOM, establish a comprehensive process within their AOR to manage, monitor, and track all containers moving into, within, and out of their AOR.

This responsibility includes assisting with validation of detention, port storage, refrigerated

SECTION 2: RESPONSIBILITIES 9

container maintenance claims, and invoices submitted by commercial TSP, and a process to identify, control, and manage DoD-owned containers authorized for non-transportation purposes.

For the United States Northern Command AOR, DoD Components are responsible for container management operations.

f. Advise USTRANSCOM as soon as practicable of all instances in which containers are used for other than transportation purposes.

g. Establish plans to return containers to the TSP as soon as practicable after expeditious unloading of contents. Plans must include procedures to avoid detention fees.

2.10. CDRUSTRANSCOM. In addition to the responsibilities in Paragraph 2.5 and 2.9., the

CDRUSTRANSCOM:

a. Ensures effective and efficient use of DoD and commercial resources in carrying out USTRANSCOM-assigned missions pursuant to DoDD 5158.04.

b. Develops, publishes, maintains, and implements transportation procedures for common-use transportation, intermodal containers and container systems, and the DoD CBCP in the DTR.

c. Serves as the DoD Distribution Process Owner and the lead functional proponent for radio frequency identification and related automatic identification technology implementation in accordance with DoDI 5158.06.

d. Develops and provides the DoD Components with Transportation Working Capital Fund rates with sufficient lead-time to inform Service-level Program Objective Memorandum development.

e. Serves as the single port manager for common-user air and ocean terminals.

f. Serves as the DoD single manager for transportation other than Service-unique or theater-assigned assets and provides common-user and commercial air, land, and sea transportation.

Manages and maintains the railroads for National Defense and Strategic Railroad Corridor Network programs; the highways for National Defense and the Strategic Highway Network programs; the ports for the National Defense Program; and common-user readiness programs, to include the civil reserve air fleet (CRAF), voluntary intermodal sealift agreement (VISA), and the DFRIF programs.

g. Synchronizes planning for global distribution operations in coordination with DoD Components and federal agencies, and in cooperation with allied nations and industry. Develops optimized transportation and distribution plans that balance cost and performance levels.

h. Administers the personal property and POV shipment and storage programs.

i. Develops performance and cost metrics in consultation with the DoD Components and DASD(TP), for the programs identified in Sections 4 through 7. Metrics will be focused on

SECTION 2: RESPONSIBILITIES 10

those that contribute to precision, reliability, efficiency, cost effectiveness, and information visibility and include an assessment for each DoD Component served.

j. Archives transportation data elements for future analysis.

k. Chairs the Joint Intermodal Working Group and, in coordination with the DoD Components, provides oversight and approval authority for the Joint Standardization Board for Intermodal Equipment regarding intermodal equipment recommendations for DoD standards in accordance with the June 8, 2006 Under Secretary of Defense for Acquisition, Technology, and Logistics Memorandum.

l. Manages the intermodal container program, to include developing processes and procedures for the disposition of all containers, including DoD-owned and commercially-owned and -leased containers, and recommending development of global container technology investments and tracking systems for containers moving in the DTS.

m. Represents the DoD before regulatory bodies in the United States in proceedings relating to or that may have an impact on the DTS.

n. Serves as DoD Executive Agent for the DoD CBCP in accordance with DoDD 4500.09E and in that role:

(1) Facilitates continuity and cooperation among DoD Components and coordinates DoD requirements with the CBCP.

(2) Serves as the DoD liaison with the Department of Homeland Security, U.S. Customs and Border Protection, the U.S. Department of Agriculture, and other U.S. agencies in customs and border clearance matters.

(3) Coordinates efforts of DoD Components in the development of common automated customs clearance systems, interfaces, and processes.

(4) Develops, publishes, and maintains implementation plans and procedures for the

CBCP.

o. Supports the Defense Business Council/Investment Review Board, in accordance with Section 2222 of Title 10, U.S.C., through the budget certification process for information technology investments.

p. Serves as the lead proponent for ITV, developing a centralized approach for achieving ITV from the point of origin to the point of need, as identified by the supported CCDR. In coordination with the DoD Components, ensure policies prescribed by the ASD(L&MR), business processes, procedures, systems, data elements, and technologies are synchronized and integrated to allow ITV throughout deployment, redeployment, distribution, and retrograde processes.

q. Provides to DoD Components the capability to track shipments, and provides in-transit safety and security monitoring, and capabilities to receive emergency response notifications.

SECTION 2: RESPONSIBILITIES 11

r. Provides transportation and related services to other Executive agencies of the U.S.

Government in accordance with Section 1535 of Title 31, U.S.C. and to partner nations in accordance with acquisition and cross-servicing agreements or other agreements.

s. Serves as the DoD authority to request Maritime Administration activation of Ready Reserve Force (RRF) vessels pursuant to Section 4405 of Title 50, U.S.C., which may be used for contingency operations, exercises, training and testing, and other defense purposes for which scheduled or chartered commercial sealift assets are not available or suitable. All other requests for RRF activation must be submitted by the Commander, USTRANSCOM, through the Chairman of the Joint Chiefs of Staff, for approval by the Secretary of Defense.

t. Serves as the procuring authority for small package delivery services for federal executive agencies and eligible non-federal entities.

SECTION 3: TRANSPORTATION SERVICES 12

SECTION 3: TRANSPORTATION SERVICES

3.1. ACQUISITION OF SERVICES.

a. USTRANSCOM will acquire common-user transportation and related services to meet DoD transportation requirements in accordance with DoDD 5158.04 and DoDI 5000.74, and will apply the following criteria in order of importance: readiness and responsiveness, performance, and cost.

b. The acquisition of transportation and related services will be obtained using guidance contained in the Federal Acquisition Regulation (FAR) and the Defense Federal Acquisition Regulation Supplement, unless a deviation is necessary to meet mission needs.

(1) To the maximum extent practicable, define transportation requirements using performance-based, mode-neutral, time-definite parameters; best value acquisition processes; full and open competition; and transportation preference laws.

(2) In accordance with the procedures in DoD Manual 4140.01, transportation procurements should fulfill the customer’s movement requirements from origin to destination, require electronic transactions to the maximum extent possible to include the use of electronic billing and payment systems, and require service providers to provide ITV data.

(3) Non-FAR procurement instruments, such as tenders of service and bills of lading, will not compete with FAR procurements and will only be used in limited circumstances when FAR procurements cannot meet customer requirements.

c. The DoD may join with other federal agencies to use transportation services procurement instruments negotiated by those agencies when it is beneficial. DoD procurement instruments also may be drafted to include similar transportation requirements of other federal agencies.

DoD shippers will use existing procurement instruments for transportation services, unless there is a documented negative critical mission impact.

d. DoD acquisition activities and the Defense Security Cooperation Agency (for security assistance) will ensure that all contracts include provisions for complying with U.S. and foreign import and export requirements and DoD customs and border clearance policy and procedures.

This includes contracts that require direct vendor delivery or distribution processes under an original equipment manufacturer such as performance based logistics or routine security cooperation deliveries.

3.2. DEVIATION AUTHORITY. The CDRUSTRANSCOM (or in the absence of the CDRUSTRANSCOM, the Deputy Commander, USTRANSCOM) may deviate from the requirement to use commercial transportation resources and implement guidance pertaining to use of organic and chartered capacity when transportation requirements necessitate movement by alternate means. When such events occur, USTRANSCOM will inform the DASD(TP) of the circumstances supporting the decision.

SECTION 3: TRANSPORTATION SERVICES 13

3.3. TRANSPORTATION SERVICES IN SUPPLY CONTRACTS. Provisions of Subpart 247.301-71 and 247.5 of the Defense Federal Acquisition Regulation Supplement apply where DoD supply contracts contain a significant requirement for transportation outside of the continental United States and allow the vendor or non-DoD contractors to arrange transportation of items. In these situations, the source selection evaluation criteria for award of the DoD supply contract will include an evaluation factor or subfactor that favors suppliers, third-party logistics providers, and integrated logistics managers that commit to using CRAF and VISA carriers.

3.4. CRITICAL INFRASTRUCTURE. Transportation critical infrastructure protection, which includes DoD and non-DoD domestic and foreign infrastructures, is essential to planning, mobilizing, deploying, and sustaining U.S. military and coalition operations on a global basis.

The identification, prioritization, assessment, and assurance of transportation critical infrastructure will be managed under the overall Defense Critical Infrastructure Protection program, as described in DoDD 3020.40. Coordination on remediation and mitigation will be accomplished with other federal agencies, State and local governments, the private sector, and equivalent foreign entities, as appropriate.

3.5. FOREIGN SOURCES. When using commercial transportation resources or TSPs, DoD Components will transport cargo and passengers by air on U.S.-flag air carriers in accordance with Sections 40118 and 41106 of Title 49, U.S.C., Section 9516 of Title 10, U.S.C., and DoDI 4500.53; and by sea, in vessels of or belonging to the United States, in accordance with DoDD 4500.09E; the Merchant Marine Acts of 1920 and 1936; and Sections 2342-2350 and 2631 of Title 10, U.S.C. Foreign sources may be used to the extent permitted by these statutes and policy.

3.6. AIRLIFT AND SEALIFT CHARTERS. USTRANSCOM may use airlift or sealift charters to meet mission requirements when scheduled TSP commercial airline or ocean liner service will not cost-effectively meet DoD requirements or when dedicated assets would best fulfill operational requirements. Once chartered, aircraft and vessels will be used to move DoD traffic to the maximum extent practicable, including traffic eligible for scheduled commercial service, consistent with the terms of the charters and operational requirements.

3.7. CROSS-SERVICING AND COOPERATIVE MILITARY AIRLIFT AGREEMENTS.

DoD Components may use foreign military transportation resources to transport DoD personnel and cargo under an Acquisition and Cross-Servicing Agreement concluded pursuant to Section 2341 et. seq. of Title 10, U.S.C.; a Cooperative Military Airlift Agreement concluded pursuant to Section 2350c of Title 10, U.S.C.; or other properly concluded international agreement or arrangement. Foreign military aircraft used to transport DoD personnel are subject to the airworthiness requirements of DoDD 5030.61.

SECTION 4: AIR TRANSPORTATION 14

SECTION 4: AIR TRANSPORTATION

4.1. GENERAL. Pursuant to National Security Decision Directive 280, the U.S. national airlift capability is provided from military and U.S. commercial air carrier resources. The national defense airlift objective is to ensure military and civil air transportation resources will be able to meet defense mobilization deployment and redeployment requirements in support of U.S.

defense and foreign policies. DoD requirements may mandate that DoD maintain a global air mobility readiness posture that includes operating organic airlift aircraft during peacetime.

4.2. OPERATIONAL AND TRAINING REQUIREMENTS. Organic military airlift resources will be manned, equipped, trained, and operated to ensure the capability to meet approved requirements for military airlift across a range of military operations is maintained.

Flying and training program rates will be established to provide for levels of operation, readiness and training sufficient to realize this goal.

a. USTRANSCOM will conduct training operations at the level necessary to meet operational and training requirements.

b. DoD Components will use commercial sources, to the maximum extent practicable, once operational and training requirements are met.

c. USTRANSCOM, in consultation with the DoD Components, will determine which airlift requirements must move in military airlift because of special military considerations. These considerations include, but are not limited to, security, training (e.g., training specific to the requirement to be airlifted) and physical characteristics, such as size, density, or hazardous properties of the material being transported.

4.3. UNUSED PASSENGER SPACE.

a. When operations create a by-product transportation capacity on organic assets, that capacity will be used to transport DoD official airlift traffic in accordance with DoDI 4515.13 to the maximum extent practicable and consistent with the operational requirements of the DoD Component sponsoring the airlift traffic.

b. Unused passenger space on DoD-owned and -contracted passenger-carrying aircraft, on all types of missions (e.g., channel, special assignment airlift mission, operational support airlift, aeromedical evacuation) will be use to the maximum extent possible, including space-available passengers, pursuant to DoDI 4515.13.

c. Available seats will be released for space-available travel unless overriding safety (e.g., training flights) or operational concerns (e.g., hazardous cargo, customs and border protection, agriculture, or immigration considerations) or a defined need for security prohibit space-available travelers on a specific mission.

SECTION 4: AIR TRANSPORTATION 15

4.4. PRIORITIES FOR MOVEMENT OF PASSENGER AND CARGO AIRLIFT.

Subject to operational requirements of the DoD Component command sponsoring the traffic to be moved, and unless there is a documented negative critical mission impact, these priorities (in order of precedence) will be used for passenger and cargo airlift:

a. USTRANSCOM organic and contracted airlift.

b. General Services Administration arranged or contracted airlift on CRAF carriers.

c. Other U.S. CRAF carriers.

d. DoD-approved U.S. flag carriers.

e. Non-DoD-inspected or non-DoD approved U.S. flag carriers.

f. DoD-approved foreign flag carriers.

g. Non-DoD-approved carriers (for individual travel).

4.5. USE OF CRAF CARRIERS.

a. The partnership between the DoD and U.S. civil commercial air carriers is critical to mobilization, deployment, and sustainment of military forces. This alliance is embodied in the CRAF program, which affords civil air carriers the opportunity to voluntarily pledge their airlift resources to support DoD mobility requirements in times of emergency or contingency in return for a portion of DoD peacetime airlift business.

b. In accordance with Sections 40118 and 41106 of Title 49, U.S.C., Section 9516 of Title 10, U.S.C., and regulatory guidance in DoDI 4500.53, DoD Components will ensure that all DoD acquisitions of commercial air transportation services require CRAF participation as a prerequisite for award to the maximum extent possible, unless there is a documented negative critical mission impact or the requirement is not for CRAF eligible aircraft. Carriers not eligible for CRAF may be used only when CRAF participating carriers cannot meet mission requirements.

c. To ensure air transportation service is responsive to customer needs, USTRANSCOM:

(1) Performs recurring assessments of airlift policy compliance, in coordination with the DoD Components, with emphasis on identifying factors that deviate from established policies.

(2) Compiles DoD Component requirements for all passenger and cargo airlift services so that the USTRANSCOM and General Services Administration contracted airlift requirements are identified simultaneously. The simultaneous use of airlift resources achieves optimum effectiveness and efficiency for the DoD. DoD Components are responsible for reimbursement of any unused airlift services acquired on their behalf.

SECTION 4: AIR TRANSPORTATION 16

(3) Continually encourages commercial air carriers to offer more modern, fuel-efficient aircraft to the CRAF program and daily DoD contract missions.

4.6. FOREIGN AIR TRANSPORTATION.

a. In accordance with Sections 40118 and 41106 of Title 49, U.S.C., and Section 9516 of Title 10, U.S.C., the DoD must contract with U.S. CRAF carriers to provide transportation of passengers or cargo when such carriers are available (for transportation within the continental United States or between the continental United States and outside the continental United States) or reasonably available (for transportation between two points outside the continental United States). In accordance with Comptroller General Decision B-138942, this includes situations in which service by a foreign flag carrier may be less expensive or more convenient than that provided by a U.S. CRAF carrier.

b. In accordance with Comptroller General Decision B-240956, DoD travelers may use foreign flag carriers for transportation financed by the U.S. Government when such transportation is provided as part of a code-sharing arrangement with a U.S. flag carrier. To qualify, the ticket must be purchased from a U.S. flag carrier that has a code-sharing arrangement with the foreign flag carrier; if the travel is only between U.S. and foreign gateways, the travel must be on a U.S. carrier unless no U.S. carrier services the route.

c. Military Service members and DoD civilian employees may use foreign flag airlines to avoid an unreasonable safety risks, such as terrorist threats. For further information on approval procedures and conditions that warrant the use of foreign flag carriers, see DoDI 4500.53 and the Joint Travel Regulations.

d. Additional authorized exceptions to the use of U.S.-certificated air carriers can be found in DoDI 4500.53 and the Joint Travel Regulations.

4.7. DOD PASSENGER MANIFESTING.

a. Passenger manifesting systems and procedures, in accordance with the goals of section 41113 of Title 49, U.S.C. and the DTR will require the collection of certain identifying information and the emergency contact information called for in Part 243 of Title 14, Code of Federal Regulations. Specific passenger manifesting systems information and data collection requirements are contained in the DTR. In addition to manifesting military and civilian passengers traveling in accordance with DoDI 4515.13, the requirements of this section apply to all systems and procedures used:

(1) On all civil aircraft chartered by or on behalf of the DoD to provide passenger transportation, when the DoD is responsible for manifesting passengers.

(2) On DoD aircraft operated in a common-user airlift service, to include U.S. Air Force Air Mobility Command organic aircraft, operational support airlift, theater-assigned organic aircraft, and other Service-owned aircraft when operated under a common-user role.

SECTION 4: AIR TRANSPORTATION 17

(3) On any DoD aircraft when one or more passengers are civilians (e.g., DoD and non- DoD civilian employees, couriers, travelers on public affairs events, dependents, contractors, retirees) who are not part of the crew or on board the aircraft for operational support purposes.

b. The requirements of Paragraph 4.7.a. do not apply to flights involving DoD aircraft on training or operational missions, unless covered in Paragraphs 4.7.a.(1) through 4.7.a.(3).

4.8. USE OF DOD-APPROVED AIR CARRIERS. Commercial air carriers used to provide charter or group travel air transportation services to DoD must be approved for use by the DoD Commercial Airlift Review Board in accordance with DoDI 4500.53. Refer to DoDI 4500.53 for requirements relating to the use of commercial air carriers to provide air transportation services.

SECTION 5: INTERMODAL CONTAINERS, RAIL, MOTOR AND AA&E AND TRANSPORTATION

ENGINEERING 18

SECTION 5: INTERMODAL CONTAINERS, RAIL, MOTOR AND ARMS,

AMMUNITION AND EXPLOSIVES AND TRANSPORTATION

ENGINEERING

5.1. GENERAL. This section provides guidance on implementing DoD policies for surface transportation modes, including the development and management of intermodal container systems, DoD locomotives, and the DFRIF. The DoD Components will use surface transportation assets and services that the commercial TSPs provide, unless there is a documented negative critical mission impact.

5.2. INTERMODAL CONTAINERS AND SYSTEMS.

a. Use of standardized International Organization for Standardization (ISO) containers provides the DoD with a capability to deploy, sustain, and redeploy forces, equipment, and supplies cost effectively. Container management is a responsibility of all DoD Components and the use of USTRANSCOM’s Joint Container Management System is mandatory.

b. USTRANSCOM provides overall container management support to CCMDs. CCMDs provide operational support while the containers are within the AOR. Generally, DoD-owned or -leased containers are managed by the DoD Component that owns or leases them. Service-unique containers are managed by the Military Service that purchased or leased the container.

c. Transportation procurement instruments will include provisions to cap container detention costs.

d. It is critical that all containers are processed, discharged, and returned to the theater container fleet, the owning Service, or the owning TSP in an expeditious manner to avoid detention charges. This includes timely reporting of data on containers and un-stuffing of containers once they reach their final destinations.

e. Generally, containers that the TSP provides will be used to the maximum extent practicable, unless such use is not economical or practical for meeting DoD movement requirements. DoD Components will:

(1) Make every effort to avoid container detention charges by returning containers to the TSP before the end of the free time period; or

(2) Coordinate with USTRANSCOM to procure the container or modify the terms of the agreement when it becomes apparent, either due to operational conditions or lack of appropriate infrastructure or equipment, that TSP containers will remain in theater.

f. USTRANSCOM and the DoD Components will:

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(1) Maintain a container distribution system of sufficient capability to meet the CCDRs mobilization, deployment, employment, sustainment, redeployment, retrograde, and demobilization needs across the range of military operations.

(2) Provide a representative to the Joint Intermodal Working Group to support the global intermodal container program, to include funding container requirements and paying for all transportation container detention, purchase, and leased costs in contingency operations.

(3) Maintain procedures and systems to track containers moving in the DTS from origin to destination, to include containers originating at vendor locations.

(4) Develop tactics, techniques, and procedures for reception, staging, onward movement, and retrograde of ISO containers and support equipment, to include information systems in a theater of operations. For contingency operations, these procedures will be developed during the deliberate planning to the maximum extent practicable.

(5) Ensure all DoD intermodal container systems, including associated joint container management information systems, are interoperable across the DoD and with the commercial industry.

(6) At least once every 5 years, USTRANSCOM will lead an analysis of container requirements for peacetime, wartime, and mobility capability study requirements, to include:

(a) Required levels of DoD-owned containers.

(b) Number of containers required from commercial sources to augment DoD capability.

(c) Commercial industry capability to surge containers to meet emergent contingencies.

(d) Locations for staging DoD-owned containers required for contingency operations.

5.3. USE OF INTERMODAL CONTAINERS DURING CONTINGENCY

OPERATIONS.

a. When possible and before contingency operations begin, the supported geographical CCMD, in conjunction with USTRANSCOM, will evaluate and determine (based on the availability of the host nation container infrastructure and the capability of the operational forces to receive and handle containers) the appropriate size containers best suited for the initial phases of an operation. During this time, DoD Components will use intermodal containers in the order outlined in Paragraph 5.3.a.(1) through 5.3.a.(4) and subject to operational requirements of the

CCMD.

(1) DoD-owned containers already in inventory.

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(2) Containers purchased by DoD for the contingency that will be retained in theater to support CCMD requirement.

(3) Leased or DoD-controlled containers available from the USTRANSCOM.

(4) Carrier-owned containers under USTRANSCOM contracts.

b. Supported CCMDs will assess the use of containers for non-transportation purposes. This assessment will prioritize the return of TSP-owned and DoD-leased containers, followed by DoD-owned containers. The transfer of contents from one container to another container followed by additional transportation (e.g., transloading) will be avoided unless deemed essential by the supported CCMD in coordination with USTRANSCOM. Movement of TSP-provided containers beyond the initial inland destination point should be avoided unless the CCMD determines it is operationally necessary.

c. During contingencies, DoD Components will make every effort to avoid container detention charges by returning TSP-owned containers to the TSP before the end of the free time period, or coordinating with USTRANSCOM to procure the container or modify the terms of the agreement. Containers needed for non-transportation purposes will be purchased by the government as a result of operational necessity, to include retention in the AOR and a lack of appropriate infrastructure or equipment. These containers become the property of the lead Military Department, as specified by the supported CCMD.

d. Container detention charges for contingency operations will be billed separately from the ocean charges. These charges will be assessed against the lead Military Department, as specified by the supported CCMD. Upon request from the Commander, Surface Deployment and Distribution Command, the lead Military Department, as specified by the supported CCMD, will provide a line of accounting to the Surface Deployment and Distribution Command for container purchase funding to mitigate container detention costs. For non-contingency operations, detention charges will be paid by the responsible party in accordance with Title 10, U.S.C.

5.4. RAILROAD EQUIPMENT AND TRANSPORTATION. A mix of commercial and organic fleet capacity is needed to support DoD transportation requirements. To ensure adequate rail equipment capacity is available to meet these requirements, USTRANSCOM, in collaboration with the DoD Components, will conduct assessments, at least once every 5 years, to determine if the mix of organic and commercially available assets is sufficient to meet peacetime, contingency, and wartime requirements.

a. Railroad equipment will only be acquired when commercially-available equipment is not practicable or cost effective to use. When DoD ownership is necessary, equipment will conform to standard commercial design criteria and meet all current requirements of the Association of American Railroads, unless waived. Once acquired, maximum use will be made of DoD-owned or -leased railroad equipment consistent with the reasons for which it was acquired.

b. DoD railroad equipment and assets will be maintained by trained personnel to provide support for DoD emergency and wartime logistics requirements. DoD locomotive operators, ENGINEERING 21 brakemen, and conductors will be trained and certified to Association of American Railroads standards.

c. The procedures for captive (installation) locomotives and cars are:

(1) Captive railroad equipment is under the direction of the installation manager for daily mission, emergency, and wartime requirements. Captive cars may not move in interchange service (e.g., off the installation) except during repositioning to another installation or when approved by Surface Deployment and Distribution Command.

(2) DoD Component heads will provide a DD Form 448, “Military Interdepartmental Purchase Request,” or other appropriate funding instruments to the Secretary of the Army or designee for the procurement and associated costs of locomotives and captive cars for their use.

(3) Each DoD Component will designate a manager to maintain current information about all Component locomotives and captive cars, to include requirements determination, replacement plans, and redistribution within the Component.

(4) The Secretary of the Army’s representative will establish and chair an interservice locomotive and captive car management committee that conducts annual reviews of management information and coordinates DoD Component captive railroad equipment distribution plans.

Each DoD Component will designate a representative to serve on the committee.

d. The procedures for DFRIF cars are:

(1) DFRIF cars are under the management of Surface Deployment and Distribution Command. DFRIF cars may not be kept on an installation or used in captive (e.g., installation) service, except as permitted by the manager of the DFRIF. DFRIF cars are intended to support both routine peacetime movements and improve contingency response that includes a stationing plan to maximize responsiveness. Use of these cars for reasons such as supporting peacetime exercises, avoiding maintenance or issues caused by long term railcar inactivity, or meeting military needs when suitable commercial cars are unavailable are consistent with the reasons for which the cars were acquired.

(2) The Department of the Army plans, programs, and budgets for the acquisition, modification, maintenance, and overhaul of DFRIF general purpose cars. DoD Components plan, program, and budget for the acquisition, modification, and rebuilding of DFRIF special-purpose cars. DoD Components will provide a DD Form 448 or other appropriate funding instruments to the Secretary of the Army or designee for the procurement and associated costs of special-purpose cars. DFRIF revenue and operating expenses will have a separate accounting in the transportation working capital funds.

(3) General purpose cars are flatcars for moving vehicles or containers and are available for use by any Military Department. Special-purpose cars are cars, other than flatcars, for moving vehicles, petroleum products, or containers and are available for use by any Military Department. The manager of the DFRIF must approve the specifications, bill of materials, design drawings, and first article tests of new DFRIF cars.

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(4) DFRIF cars may participate in equipment pools or otherwise be used to carry commercial traffic when doing so increases rail transportation capacity or reduces DoD costs.

e. DoD interests in the use and maintenance of civilian rail lines is exercised through the Railroads for National Defense Program consistent with DoDD 4510.11. USTRANSCOM assesses the impact of railroad abandonments, bankruptcies, mergers, or similar actions that may alter the movement of DoD materiel on or off a military installation. DoD Components will coordinate with CDRUSTRANSCOM when any change in rail operations impacts installation operations.

5.5. MOTOR TRANSPORTATION. In collaboration with the DoD Components, USTRANSCOM:

a. Develops procedures, rules, and regulations for the movement of DoD shipments by motor transportation.

b. Develops contract and transportation arrangements that maximize the use of commercial best practices, including shipment consolidation opportunities and mode neutral solution.

c. Manages TSP performance programs to ensure DoD Components receive reliable, responsive, and cost-effective transportation services.

d. Establishes standards for the approval of TSPs, to include the screening of TSPs that are debarred, proposed for debarment, or suspended. DoD Components and contracted service providers, such as third party logistics providers, will use only approved TSPs for the movement of DoD-sponsored freight shipments, unless otherwise authorized by the contracting officer.

Contracted freight transportation coordination and management services will be acquired through performance-based contracts whenever possible.

5.6. ARMS, AMMUNITION, AND EXPLOSIVES (AA&E). DoD Components will use only USTRANSCOM-approved commercial TSPs for the movement of DoD-sponsored AA&E…