1 DoD 4140.1-R, May 23, 2003 2 FOREWORD DoD 4140.1-R, May 23, 2003 TABLE OF CONTENTS Page FOREWORD 2 TABLE OF CONTENTS 3 TABLES 6 REFERENCES 7 ABBREVIATIONS AND/OR ACRONYMS 10 CHAPTER 1 - GUIDING PRINCIPLES 16 C1.1. PURPOSE 16 C1.2. DoD SUPPLY CHAIN 16 C1.3. DoD SUPPLY CHAIN MATERIEL MANAGEMENT GOALS 17 C1.4. SUPPLY CHAIN PROCESSES 19 C1.5. SUPPLY CHAIN METRICS 21 CHAPTER 2 - PLAN 23 C2.1. DEMAND/SUPPLY PLANNING 23 C2.2. PROVISIONING 25 C2.3. ITEM CLASSIFICATION AND CODING FOR STOCKAGE REQUIREMENTS 30 C2.4. ITEM SUPPORT GOALS 32 C2.5. FORECASTING CUSTOMER DEMAND 34 C2.6. MATERIEL STOCKAGE COMPUTATIONS 37 C2.7. SECONDARY ITEM WAR RESERVE REQUIREMENTS 54 C2.8. MATERIEL RETENTION 55 C2.9. ITEM REDUCTION 58 CHAPTER 3 - SOURCE 60 C3.1. SOURCING AND MATERIEL ACQUISITION 60 C3.2. MATERIEL SUPPORT ALTERNATIVES 61 C3.3. ACQUISITION INTERFACES 69 C3.4. INTEGRATED MATERIEL MANAGEMENT 72 C3.5. QUALITY PROGRAMS 73 C3.6. DIMINISHING MANUFACTURING SOURCES AND MATERIEL SHORTAGES 75 (DMSMS) C3.7. MANAGEMENT OF ON-ORDER ASSETS 79 C3.8. RECEIPT PROCESSING 81 3 TABLE OF CONTENTS DoD 4140.1-R, May 23, 2003 TABLE OF CONTENTS, Continued CHAPTER 4 - MAKE/MAINTAIN 83 C4.1. MAKE/MAINTAIN MATERIEL 83 C4.2. MAINTENANCE INTERFACES 84 C4.3. BUYING FROM SUPPLIERS 86 C4.4. CLS AND DVD INTERFACES 87 C4.5. SETS, KITS, AND OUTFITS 89 CHAPTER 5 - DELIVER 90 C5.1. END-TO-END DISTRIBUTION 90 C5.2. STOCK POSITIONING 91 C5.3. REQUISITIONING 94 C5.4. MATERIEL ISSUE PROCESSING 100 C5.5. LATERAL REDISTRIBUTION OF ASSETS 101 C5.6. DISTRIBUTION OPERATIONS 104 C5.7. ITEM ACCOUNTABILITY/CONTROL AND STEWARDSHIP 105 C5.8. INTRANSIT ASSET VISIBILITY 124 C5.9. HAZARDOUS MATERIALS 126 C5.10. MATERIEL DISPOSITION 128 C5.11. CONTROL OF ACCESS TO DoD MATERIEL INVENTORIES REQUIRED 130 BY DEFENSE CONTRACTS CHAPTER 6 - RETURN 133 C6.1. MATERIEL RETURNS 133 C6.2. RETURN OF DEFECTIVE MATERIEL 135 C6.3. RETURN OF MATERIEL FOR MAINTENANCE, REPAIR, OR OVERHAUL 136 C6.4. MATERIEL RETURNS PROGRAM FOR RETAIL ASSETS 138 CHAPTER 7 - SUPPORTING TECHNOLOGIES 140 C7.1. SUPPLY CHAIN MATERIEL MANAGEMENT SYSTEMS 140 C7.2. AUTOMATED IDENTIFI ATION TECHNOLOGY (AIT) 142 C7.3. SUPPLY CHAIN ANALYTICAL CAPABILITIES 143 C7.4. PRODUCT SUPPORT DATA 144 4 TABLE OF CONTENTS DoD 4140.1-R, May 23, 2003 TABLE OF CONTENTS, Continued CHAPTER 8 - LOGISTICS PROGRAMS AND SYSTEMS 147 C8.1. CATALOGING 147 C8.2. NEW CLOTHING AND TEXTILE ITEMS 150 C8.3. SPARE PARTS BREAKOUT PROGRAM 153 C8.4. PRICE CHALLENGE AND PROCE VERIFICATION PROGRAM 154 C8.5. DoD AVIATION CRITICAL SAFETY ITEM (CSI)/FLIGHT SAFETY CRITICAL 156 AIRCRAFT PART (FSCAP) PROGRAM C8.6. MANAGEMENT SYSTEM OF LOGISTICS STANDARD SYSTEMS 161 AND DATA C8.7. PACKAGING 168 C8.8. UNIFORM MATERIEL MOVEMENT AND ISSUE PRIORITY SYSTEM 173 (UMMIPS) CHAPTER 9 - SPECIAL REQUIREMENTS 176 C9.1. STRATIFICATION 176 C9.2. SUPPLY SYSTEM INVENTORY REPORT (SSIR) 177 C9.3. AMMUNITION STRATIFICATION, REPORTING, AND CROSS 181 LEVELING C9.4. LOGISTICS SUPPORT OF U.S. NON-DoD OR NON-GOVERNMENT, 186 AGENCIES, AND INDIVIDUALS IN OVERSEAS MILITARY COMMANDS C9.5. EXCHANGE OR SALE OF NONEXCESS PERSONAL PROPERTY 187 APPENDICES AP1. DEFINITIONS 190 FREQUENTLY USED IN DoD ISSUANCES AP2. PROVISIONING DATA AND ORGANIC REQUIREMENTS PROCEDURES 213 AP3. RETAIL REASON FOR STOCKAGE CATEGORY CODES 217 AP4. ESSENTIALITY MATRIX 219 AP5. COST ESTIMATING 222 AP6. REPAIR CYCLE TIME 226 AP7. AGREEMENT BETWEEN THE DEPARTMENT OF DEFENSE AND THE GENERAL 230 SERVICES ADMINISTRATION GOVERNING SUPPLY MANAGEMENT RELATIONSHIPS UNDER THE NATIONAL SUPPLY SYSTEM AP8. TIME DEFINITE DELIVERY STANDARDS 242 AP9. UMMIPS RESPONSIBILITIES 249 AP10. CHARTER FOR THE DoD UNIQUE ITEM TRACKING COMMITTEE (UITC) 258 AP11. CHARTER FOR THE DoD JOINT SMALL ARMS COORDINATING GROUP (JSACG) 261 AP12. CHARTER FOR THE DoD JOINT PHYSICAL INVENTORY WORKING GROUP 264 (JPIWG) AP13. DLMS AND DLSS RESPONSIBILITIES 266 AP14. LEVELS OF PROTECTION 274 AP15. CHARTER FOR THE DEFENSE PACKAGING POLICY GROUP (DPPG) 276 AP16. INSTRUCTIONS FOR ELECTRONIC SSIR REPORTING 284 AP17. INDEX 286 5 TABLE OF CONTENTS DoD 4140.1-R, May 23, 2003 TABLES Table Title Page AP8.T1. UMMIPS Time Standards for Transportation Priority 1 245 AP8.T2. UMMIPS Time Standards for Transportation Priority 2 247 AP8.T3. UMMIPS Time Standards for Transportation Priority 3 248 AP16.T1. SSIR Spreadsheet Header Data 284 AP16.T2. SSIR Spreadsheet Line Item Data 285 6 TABLE OF CONTENTS DoD 4140.1-R, May 23, 2003 REFERENCES (a) DoD Directive 4140.1, "Materiel Management Policy," January 4, 1993 (b) Sections 2451 through 2458, 2572, and 2576 of title 10, United States Code (c) DoD 4100.38-M, "Department of Defense Provisioning and Other Preprocurement Screening Manual," November 1983 (d) MIL-PRF-49506, "Performance Specification Logistics Management Information," November 11, 1996, located at website: http://131.82.253.19/docimages/0001/67/51/49506.PD5 (e) MIL-HDBK-502, "Department of Defense Handbook Acquisition Logistics," May 30, 1997 (f) DoD 4140.27-M, "Shelf-Life Item Management Manual," September 26, 1997 (g) DoD 4000.25-2-M, "Military Standard Transaction Reporting and Accounting Procedures (MILSTRAP)," September 19, 2001 (h) DoD 7000.14-R, "Department of Defense Financial Management Regulations (FMRs)," dates vary (i) DoD Directive 3110.6, "War Reserve Materiel Policy," November 9, 2000 (j) DoD 4120.24-M, "DoD Standardization Program (DSP) Policies and Procedures," March 2000 (k) DoD 4140.32-M, "Defense Inactive Item Program," August 1992 (l) Defense FAR Supplement, Part 208, "Required Sources of Supplies and Services," current edition (m) DoD Directive 5000.1, "The Defense Acquisition System," October 23, 2000 (n) DoD 4140.26-M, "Defense Integrated Materiel Management Manual for Consumable Items," May 1997 (o) Federal Acquisition Regulation, Part 46, "Quality Assurance," current edition (p) Defense FAR Supplement, Part 246, "Quality Assurance, current edition (q) DoD 4500.9-R "Defense Transportation Regulation," Part II, "Cargo Movement," April 1996 (r) DoD 4000.25-1-M, "Military Standard Requisitioning and Issue Procedures (MILSTRIP)," November 2000 (s) Sections 287 and 2318 of title 22, United States Code (t) DoD 4000.25-6-M, "Department of Defense Activity Address Directory (DoDAAD), Part I," "Activity Address Code Sequence," April 1996 (u) DoD 4000.25-6-M, "Department of Defense Activity Address Directory (DoDAAD), Part II," "Zip Code Sequence," April 1996 (v) DoD 4000.25-6-M, "Department of Defense Activity Address Directory (DoDAAD), Part III," "Civil Agency Addresses," April 1996 7 REFERENCES DoD 4140.1-R, May 23, 2003 (w) DoD 4000.25-8-M, "Military Assistance Program Address Directory (MAPAD) System," July, 1995 (x) DoD 4000.25-M, "Defense Logistics Management System (DLMS), February 1996 (y) DoD 4000.25-7-M, "Military Standard Billing System (MILSBILLS)," January 1985 (z) DoD Directive 5010.38, "Management Control (MC) Program," August 26, 1996 (aa) DoD 5100.76-M, "Physical Security of Sensitive Conventional Arms, Ammunition, and Explosives," August 12, 2000 (ab) NTISSI No. 4001, "Controlled Cryptographic Items," March 14, 1985 (ac) Federal Acquisition Regulation, Part 45, "Government Property," current edition (ad) FED-STD-793A, "Federal Standard Depot Storage Standards," October 15, 1998 (ae) DoD 5200.8-R, "Physical Security Program," May 13, 1991 (af) DoD Directive 5210.63, "Security of Nuclear Reactors and Special Nuclear Materials," April 6, 1990 (ag) DoD 4160.21-M, "Defense Reutilization and Marketing Manual," August 18, 1997 (ah) DoD 6055.9-STD, "DoD Ammunition and Explosives Safety Standards," July 1, 1999 (ai) FED-STD-313 D, "Material Safety Data, Transportation Data and Disposal Data for Hazardous Materials Furnished to Government Activities," April 3, 1996 (aj) Title 22, Code of Federal Regulations, Part 121, "The United States Munitions List," current edition (ak) Title 15, Code of Federal Regulations, Part 774, "Commerce Control List," current edition (al) DoD 4160.21-M-1, "Defense Demilitarization Manual," October 1991 (am) Sections 481(c), 484(j)(2), and 512(a) of title 40, United States Code (an) Section 3710(i) of title 15, United States Code (ao) DoD Instruction 5535.8, "DoD Technology Transfer (T2) Program," May 14, 1999 (ap) ISO/IEC 15434, "Information Technology -- Transfer Syntax for High Capacity ADC Media," October 1, 1999 (aq) ISO/IEC 15418, "Information Technology -- EAN/UCC Application Identifiers and Fact Data Identifiers and Maintenance," December 1, 1999 (ar) ANSI NCITS-256:2001, "Radio Frequency Identification (RFID) Technology," February 26, 2001 (as) IEEE 801-11 series, "Wireless Local Area Networks," dates vary by individual standard (at) DoD 4100.39-M, "Federal Logistics Information System (FLIS) Procedures Manual," dates vary (au) NATO Standardization Agreement (STANAG) 3150, "Codification of Equipment - Uniform System of Supply Classification," July 1989 (av) NATO Standardization Agreement (STANAG) 3151, "Codification of Equipment - Uniform System of Item Identification," July 1989 (aw) Allied Codification Publication, NATO Manual on Codification, July 1989 8 REFERENCES DoD 4140.1-R, May 23, 2003 (ax) DoD 4000.25-7-M-S-1, "Fund Code Supplement to MILSBILLS," February 1994 (ay) DoD Directive 8190.1, "DoD Logistics Use of Electronic Data Interchange (EDI) Standards," May 5, 2000 (az) DoD 4000.25-1-S1, "MILSTRIP Routing Identifier and Distribution Codes," June 1996 (ba) DoD 4000.25-5-M, "Military Standard Contract Administration Procedures (MILSCAP)," March 1993 (bb) DoD 4000.25-7-M-S-1, "Fund Code Supplement to MILSBILLS," February