GAO-17-582, Accessible Version, OPERATIONAL SUPPORT AIRLIFT

48 Pages·2017·2.2 MB·English

United States Government Accountability Office

Report to Congressional Addressees 

June 2017
OPERATIONAL 
SUPPORT AIRLIFT  
Fleet Sufficiency is 
Assessed Annually  
Accessible Version

GAO-17-582
June 2017
OPERATIONAL SUPPORT AIRLIFT
Fleet Sufficiency is Assessed Annually

Highlights of GAO-17-582, a report to
congressional addressees
Why GAO Did This Study What GAO Found
OSA missions support the movement In calendar years 2014 and 2015, government officials took thousands of flights
of a limited number of high-priority on Operational Support Airlift (OSA) executive aircraft, and our review of a
passengers and cargo with time, place, nongeneralizable sample of 53 flight packages found that those trips generally
or mission-sensitive requirements. followed Department of Defense (DOD) guidance for requesting the use of
DOD’s OSA aircraft are variants of
government aircraft. DOD requires its officials in certain positions to fly on
commercial aircraft. OSA aircraft are
military aircraft, including OSA executive aircraft. It also authorizes, but does not
categorized as either executive (used
require, officials in other government positions to fly on OSA executive aircraft.
to transport DOD, congressional, and
We analyzed the use of OSA executive aircraft during 2014 and 2015—the latest
cabinet officials) or non-executive
years for which data were available—and found that of the 19,752 executive
(used to fulfill wartime or contingency
flights conducted, 31 percent supported required users and 69 percent supported
needs). As of May 2017, DOD had 287
other authorized users. The Vice President, the First Lady, and other cabinet-
OSA aircraft—44 executive and 243
level officials on White House support mission trips accounted for about 12
non-executive—about 6 percent of
percent of the flights, and members of congress and congressional employees
DOD’s airlift/cargo/utility aircraft.
accounted for about 5 percent of the flights. DOD guidance requires
House Report 114-537 and Senate documentation for each flight request including the rank or position of the
Report 114-255 included provisions for
traveler, itinerary, and in some cases, cost data. While not generalizable beyond
GAO to review the use and size of the
these flights, our review of 53 flight request packages found that the packages
OSA fleet. This report examines the
generally contained most required documentation. Although some packages
extent to which DOD (1) used OSA
were missing items, we discussed those items with DOD officials, and we did not
executive aircraft in 2014 and 2015,
find evidence to suggest the requested flight should have been disapproved.
and if this usage complied with
guidance; and (2) has a process to
Figure: C-20 Operational Support Airlift
validate its OSA fleet size. GAO
reviewed DOD guidance for approving
the use of OSA aircraft, analyzed the
most current executive aircraft flight
data available—calendar years 2014
and 2015—and compared the approval
documentation from a sample of those
flights to DOD’s guidance. GAO also
reviewed documentation and
interviewed officials to assess DOD’s
OSA validation process and results.
What GAO Recommends
GAO is not making any
recommendations in this report. DOD
provided technical comments on a
draft of this report, which GAO
In recent years, DOD has implemented a consistent process to validate the size
incorporated as appropriate.
of its OSA fleet and to have a risk assessment of the fleet’s ability to meet
requirements all 365 days per year. In 2016, for example, the executive fleet’s
risk-to-mission accomplishment was assessed as moderate, and the non-
executive fleet’s risk-to-mission was assessed as low. The services do not
generally use the validation process determinations as a basis for OSA aircraft
procurement and divestment decisions. According to service officials, those
View GAO-17-582. For more information, decisions are based on separate, independent evaluations of their force structure
contact Zina D. Merritt at [phone] or
needs, which evaluate the age and maintenance conditions of their aircraft, and
[email protected].
the need to balance OSA aircraft requirements against other service priorities.
United States Government Accountability Office
Contents 
Letter 1
Background 3
Executive Aircraft Supported Thousands of Annual Flights for a
Variety of Users and for Select Flights DOD Generally Followed
Its Guidance for Approving Use 10
DOD Recently Implemented an Annual OSA Validation Process 16
Agency Comments 22
Appendix I: Operational Support Airlift (OSA) Mishap Data 24
Appendix II: Information on Maintenance of Operational Support Airlift (OSA) 26
Appendix III: Scope and Methodology 29
Appendix IV: Description and Pictures of Operational Support Airlift (OSA) Aircraft 32
Appendix V: GAO Contact and Staff Acknowledgements 41
Tables
Table 1: Department of Defense Operational Support Airlift (as of
May 2017) 4
Table 2: Department of Defense Executive Aircraft Home Bases
(as of May 2017) 4
Table 3: Government Aircraft Approval Authorities 6
Table 4: Users of the Department of Defense (DOD) Aircraft 7
Table 5: Number of Executive Flights Operated by the Department
of Defense (DOD), Calendar Years 2014-2015 11
Table 6: Service Secretary Controlled Executive Aircraft Use,
Calendar Years 2014-2015 13
Table 7: Operational Support Airlift (OSA) Validation
Memorandums, 2013-2016 19
Table 8: Operational Support Airlift Risk Matrix (Number of days
when the department expects to be able to fill all required
missions) 20
Table 9: Operational Support Airlift Mishaps (Fiscal Years 2007-
2016)25
Page i GAO-17-582 Operational Support Airlift
Table 10: Air Force Operational Support Airlift Availability and
Age, Fiscal Year 2016 27
Table 11: Army Operational Support Airlift Availability and Age,
Fiscal Year 2016 27
Table 12: Navy Operational Support Airlift Mission Capable Rates
and Age, Fiscal Year 2016 28
Table 13: Population of Flights for GAO’s Initial Sample Selection
and Initial Sample Allocation 30
Table 14: C-9 Aircraft 32
Table 15: C-12 Aircraft 33
Table 16: C-20 B/H Aircraft 34
Table 17: C-21Aircraft 35
Table 18: C-26 Aircraft 36
Table 19: C-32 37
Table 20: C-37A/B Aircraft 38
Table 21: C-40B/C Aircraft 39
Table 22: UC-35 Aircraft 40
Figures
Figure 1: Checklist for Approving the Use of Operational Support
Airlift Executive Flightsa 15
Figure 2: Department of Defense Operational Support Airlift
Validation Process 18
Figure 3: C-9 Aircraft 32
Figure 4: C-12 Aircraft 33
Figure 5: C-20 B/H Aircraft 34
Figure 6: C-21Aircraft 35
Figure 7: C-26 Aircraft 36
Figure 8: C-32 Aircraft 37
Figure 9: C-37A/B Aircraft 38
Figure 10: C-40B/C Aircraft 39
Figure 11: UC-35 Aircraft 40
Abbreviations
CCDRs Combatant Commanders
DOD Department of Defense
OSA Operational Support Airlift
GAO U.S. Government Accountability Office
Page ii GAO-17-582 Operational Support Airlift
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Page iii GAO-17-582 Operational Support Airlift
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Washington, DC 20548
Letter
June 28, 2017
Congressional Addressees:
The Department of Defense (DOD) describes Operational Support Airlift
(OSA) missions as a special category of airlift missions that involve the
movement of a limited number of high-priority passengers and cargo with
time, place, or mission-sensitive requirements.1 OSA missions can be
performed by a wide variety of aircraft, but DOD generally describes its
OSA aircraft fleet in terms of two groups, its executive aircraft and its
nonexecutive aircraft. Executive aircraft provide air transportation for
federal and DOD-approved senior leaders, and are configured to support
travel when other aircraft do not provide the timeliness, security,
communications capability, or workspace required. Executive aircraft
missions include transporting the Vice President, senior DOD officials
such as the Secretary of Defense and the Chairman of the Joint Chiefs of
Staff, cabinet, other high-ranking executive branch officials, and members
of Congress.2 Nonexecutive aircraft are used to fulfill wartime
requirements, contingency operations, domestic support missions, and
day-to-day activities. As of May 2017, DOD had 287 OSA aircraft—44
executive and 243 nonexecutive aircraft, which is a small portion of
DOD’s overall aircraft inventory. In fiscal year 2017, DOD operated 4,517
total aircraft in the airlift/cargo/utility category, which includes OSA aircraft
according to DOD’s Annual Aviation Inventory and Funding Plan. In fiscal
year 2016, DOD had allocated more than $890 million to operate and
maintain its OSA aircraft, according to budget documents.
House Report 114-537 and Senate Report 114-255 accompanying
proposed bills for the National Defense Authorization Act for Fiscal Year
2017 included provisions for us to review aspects of DOD’s management
of OSA aircraft, including the utilization of the aircraft and the validation of
its fleet size.3 This report examines the extent to which: (1) DOD used
OSA executive aircraft in 2014 and 2015 and the usage for select flights

1 DOD Instruction 4500.43, Operational Support Airlift (OSA) (May 18, 2011)(incorporating
change 1, June 26, 2013).
2 OSA does not include travel by the President, who travels on the VC-25A (Boeing 747)
aircraft designated as Air Force One when the President is onboard.
3 H.R. Rep. No. 114-537, at 212 (2016); S. Rep. No. 114-255, at 288 (2016). In addition,
the Chairman of the Senate Foreign Relations Committee is a co-requester for our review
in response to the Senate report provision.
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Letter

complied with guidance; and (2) DOD has a process to validate its OSA
fleet size. Additionally, we provide information on OSA aircraft mishaps in
appendix I, and maintenance-related information in appendix II.
For objective one, we identified and reviewed DOD’s and its components’
guidance related to the use of executive aircraft.4 We obtained the most
current data available—calendar year 2014 and 2015 executive aircraft
flight data—from both the Joint Staff and the military services. We then
analyzed the data to identify the portions of the total flights that supported
various categories of DOD and non-DOD travelers. We also analyzed the
calendar year 2014 and 2015 flight data by type of aircraft used. We also
selected a nongeneralizable, random sample of 53 executive OSA flights
and compared the documentation in the flight request packages to the
flight package documentation requirements listed in DOD’s OSA
guidance.5 We concluded that the data provided by the Joint Staff and the
military services were sufficiently reliable for the purposes of our reporting
objectives by interviewing each group respectively about their databases
used to enter and maintain flight data. Additionally, we interviewed
officials from the Joint Staff, U.S. Transportation Command, the military
services, the Office of the Secretary of Defense Executive Secretary, and
the Office of the Assistant Secretary of Defense for Legislative Affairs and
discussed their roles in approving the use of executive aircraft.
For objective two, we gathered documentation on DOD’s annual OSA
validation process. The documentation we reviewed included DOD
guidance, meeting minutes, briefings, and a methodology paper. We also
analyzed the results of the OSA fleet validation process. We reviewed
and analyzed the OSA fleet validation memorandums—issued annually
since 2014—from the Chairman of the Joint Chiefs of Staff to the

4 Key guidance includes: DOD Directive 4500.56, DOD Policy on the Use of Government
Aircraft (Apr. 14, 2009)(incorporating change 3, June 24, 2014); DOD Instruction 4500.43,
Operational Support Airlift (OSA) (May 18, 2011)(incorporating change 1, June 26, 2013);
and DOD Directive 4515.12, DOD Support for Travel of Members and Employees of
Congress, (Jan. 15, 2010).Since the use of executive aircraft is not tied to traditional
training or operational needs, we focused our first objective on how these aircraft were
used and the extent to which this usage complied with the guidance DOD established for
their use.
5 The randomly identified 53 flight request packages are not generalizable to the 19,752
executive flights conducted during calendar years 2014 and 2015, but instead represent
only the 53 flight packages examined. Additionally, the sample does not cover any
congressional user or Combatant Command flights, as those flight packages were
unavailable for review, and therefore not part of the scope of this sample. Please see
Appendix III for details.
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Letter

Secretary of Defense. We also interviewed officials from the military
services, Joint Staff, the U.S. Transportation Command, and a private
contractor who supported the OSA validation process, to determine their
roles in the annual validation process and to identify how the process
results are used. We also discussed the basis for OSA force structure
decisions with officials from the military services. Appendix III provides a
more detailed description of our scope and methodology.
We conducted this performance audit from June 2016 to June 2017 in
accordance with generally accepted government auditing standards.
Those standards require that we plan and perform the audit to obtain
sufficient, appropriate evidence to provide a reasonable basis for our
findings and conclusions based on our audit objectives. We believe that
the evidence obtained provides a reasonable basis for our findings and
conclusions based on our audit objectives.
Background 
Overview of OSA Aircraft 
According to DOD, there were 287 aircraft in the OSA fleet as of May
2017. All OSA aircraft are military variants of commercial aircraft. (See
appendix IV for more information and images of these aircraft.) Table 1
lists the number of OSA aircraft by DOD owner/operator and type of
usage.

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Letter

Table 1: Department of Defense Operational Support Airlift (as of May 2017)
U.S. Special
Air Marine Operations
Force Army Corps Navy Command Total
Executive 32 7 0 5 0 44
Aircraft
Nonexecutive 42 121 25 33 21 243a
Aircraft
Total 74 128 25 38 21 287
Source: GAO analysis of Department of Defense documents. I GAO-17-582
aIncludes one contract aircraft for U.S. Africa Command
A majority of the executive aircraft is located at Joint Base Andrews,
Maryland, and a small number are located overseas, as shown in table 2.
Table 2: Department of Defense Executive Aircraft Home Bases (as of May 2017)
Location Air Force Army Navy Total
Joint Base 18 6 3 27
Andrews,
Maryland
Ramstein Air 5 0 0 5
Base, Germany
Scott Air Force 4 0 0 4
Base, Illinois
MacDill Air Force 3 0 0 3
Base, Florida
Joint Base Pearl 2 1 1 4
Harbor-Hickam,
Hawaii
Naval Air Station 0 0 1 1
Sigonella, Italy
Total 32 7 5 44
Source: GAO summary of Department of Defense information. I GAO-17-582
Thirteen of the 44 executive aircraft are designated as service secretary
controlled aircraft. The primary mission for these 13 aircraft is to transport
the military departments’ Secretaries, Chiefs of Staff, and other senior
officials such as the Undersecretaries and Vice Chiefs of Staff.6 Service

6 All of the Army and Navy OSA executive aircraft are service secretary controlled aircraft.
One of the Air Force’s OSA executive aircraft is a service secretary controlled aircraft.
However, unlike the other services, the Air Force also has service secretary controlled
aircraft in its OSA nonexecutive fleet—four C-21 aircraft. None of the services’ eleven,
large C-40 executive aircraft are service secretary controlled aircraft.
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Letter

secretary controlled aircraft also support travel for members of congress
and for White House support missions7, including for cabinet-level
officials. In addition, 9 of the 44 executive aircraft are designated for use
by the Commanders of the Combatant Commands.
As of May 2017, the Army owned and operated 121 of the 243
nonexecutive aircraft. U.S. Africa Command leased one aircraft, and the
remaining 121 aircraft belonged to the U.S. Special Operations
Command, Marine Corps, Navy, and Air Force, which respectively owned
21, 25, 33, and 42 aircraft. Of the Air Forces’ 42 nonexecutive aircraft, 18
were designated for Defense Intelligence Agency or Defense Security
Cooperation Agency support to overseas locations.
Approval Authorities for the Use of Government Aircraft 
and Air Travel 
Multiple officials have responsibilities for approving the use of government
aircraft and air travel. Specifically, the Secretaries of the Military
Departments, the Chairman of the Joint Chiefs of Staff, and Combatant
Commanders review and approve requests within their respective
commands. In addition, the Office of the Secretary of Defense Executive
Secretary and the Assistant Secretary of Defense for Legislative Affairs
prioritize and approve requests within their approval authorities. Table 3
summarizes the responsibilities for approving requests for use of
government aircraft.

7 White House support missions are trips provided by DOD and directed by the President
such as travel for cabinet-level officials, the Vice-President, and First Lady.
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