space research content and coordination of space science and technology pot

While the content ofthe strategy addresses statutory cequrement, it doesnot ‘8ess fundemental challenges facing the space S&T community.. Contents Summary Space S&T Strategy Addresses

GAO United States Government Accountability Office Report to Congressional Committees

Content and

Coordination of Space Science and

Technology Strategy

Need to Be More Robust

GAO-11-722

Why GAO Did This Study

ach year, the Usted States sper

billons of la on space-bared

‘Sjstems ta support national secuty

‘tives Tha Nstonal tense

‘uth At or Fal Year 2010

‘requires he Depariment of Defense (000) rane Deca of Netonal

Iitetigence (ON) to develop and ue

space slence ac technology (S87)

‘Sategy every 2 years adressing ST

Goals ad a process for achcwng

these goals, among aher

requirements As GAO i required to

3zSesethe siategy th rope

‘eresses (1) the exon own the

Srategy meets the stator,

resurement, 2} other apercaches

‘ou be ured to nance te

\ietlness ofthe satay, and (3) he

ferent of coordination flats ved in

Sevelopng he strategy GAO reviewed

the atopy for sufclehcy vi

Sanaoryrquremens and met weh

1800 and DN ois to acs he

analyses ad coordnation used to

Sippod he contant afte tsteay

{GAO als compared he strategy to

‘atic planing best rates to see

i here aro ways cou bo improved

What GAO Recommends

{GAO recommend hat BOD and ON

.dereep a moe speci

Impemeniaton plan: nude adsona

Intoraton and pertzston ways

measure progress, and processes for

‘evan nen estaleing satogie

Plannin gels and enhance

ooranaton among the DOD S&T

community nelnle5genes,

‘ommunty, NASA and NORA DOD

‘onaumed the recommendations

‘Technology Strategy Need to Be More Robust

What GAO Found

‘The space science and tchnolony strategy addresses sight statutory {equrements, and DOD plans to address the two remaining requirements While

‘he statutory requrements were adessed, adabonalinormation that could have enhanced the stategy was at aways Included For example, lain to the salegy s goals a newly developed implementation plan forthe achievement

‘tthe goals was nl estabienod Instead the sateqy describes a plan for Implementation where DOD components implement the strategy asa routine loment of thelr existing budgetary process Also, the stategy's new goals were {stabished without any pratizaton, and while this was not required given the breadth and scope of space SET development actives, tis important that goals

‘be prized For tho statuory requirements invelvingsratogy Implmeniatio, feats explained that while the requirements fo ently S&T projects wih

‘ssocited funding and schedule information were not aderessed inthe stay, Components and research laboratories conduc thees actives as pat othe

‘otmal DOD budgetary proces

While the content ofthe strategy addresses statutory cequrement, it doesnot

‘8ess fundemental challenges facing the space S&T community These

‘challenges have been identifed in high evel tudes and pios GAO reports and Include human capital shrtages growing fiscal pressures, and the dial in ttanstoning space S87 to acqulston programs In this assossment, GAO Idented some statole panning best practices tha, f used, cou improve

‘uture strategy versions by adaressing these fundamental challenges an

‘hereby potentially enhancing the usefulness ofthe strategy Those practices include tenttyng required human capita identifying routed funding,

‘rotizing inatves;estabshing ways to measure pogress and estabishing processes for celsing goals in the ttre

‘Organizations voted in dovelopment ofthe strategy paripated in eroating its

‘hort and longterm goals; however, tei patipatin in developing other

‘pects of he stategy was mote lmied OOD ahd DN! ofa tok GAO that

‘hair interpretaton of the 2009 statute arecing development of the strategy was

‘hati id not equ tha! the intelligence community be invoWved tothe fullxtent

in some aspects ofthe strategy Movoover the National Aeronautics and Space

‘dmnistation (NASA) and the National Ocoanic and Atmospheric Administration {NOAA} together wih the teligence community, conduct significant amen of Space S&T although NASA and NOAA palpation fs not requred, DOD may

‘have missed an opportunty to loverage these agencies’ acites and optimize

is own SAT spending by invohing them in stategy davelopment GAO was also

‘egret evaluat the eflecveness ofthe coordination macharisms planned 1 Implement he strategy However, because the strategy has only recently been Issued, sto eat make such an evaluation

Contents

Summary Space S&T Strategy Addresses Most Statutory Requirements but 7

Fundamental Challenges Facing the Space S&T Community and Best Practices Not Addressed " Coordination Etfors in Strategy Development Were Limited and Inmplementation Eforts Are too Early ¢o Assess

‘Appendix I ‘Comments from the Department of Defense %

Figure DOD $87 Budget Categories within RDT&E Appropriations 5

‘Abbreviations ASD Assistant Secrotar of Defense Doo DOE Department of Defense Bepartment of Eneray

DNL NAGA Director of National Ineligence National Aeronautics and Space Administration NOAA National Defensa Authorization Act

NOAA National Cceanie ana Atmospheric Administration NRO National Reconnaissance Ofice

owe RDTBE Office of Management and Budget research, devalopmnent test and evaluation

aT Science and technology

“nia a work he US gverrant and snot ute ocapyintrtaceon nthe Une Sais The pubteted preact mo be eeroaiced and dette’ ne nity

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United States Government Accountability Office

Washington, 06 20548

duy 19, 2041 Congressional Commit

Each year, he United States spends bilions of dollars to acquice space systems to suppor current military ané other government operations,

‘These assels suppor the national securty activites of the Department of Defense (20D) and the inteligence community.” as well as civil and commercial atviies Specifically, space assets are used to support a

‘wide range of military mssions inlucing, but not limit lo, batfefeld Survellance ans maregement global command, contol, and

‘communications; missile warning, aavigation assistance ommurieatons, navigation, timing, and postiening, weather and

‘imaloiogy: and intelhgence collection Given the crea role that space

‘capabilties play it is imperative that unique and related space science

‘and technology (S&T) efor are suicent lo provide the short- and long {erm advanced space technology base, or foundation & strong

foundation n space S&T should help DOD and the intelligence community address the most challenging national security problems, reduce risk in major acquisition programs, maintain technological

‘superorty over adversaries, maintain iniigate vuinerabilties to space systems, a healthy industial base, and

“The National Defense Authorization Act for Fiscal Year 2010 (NDAA for Fiscal Year 2010), buling on existing statutory requicements,”

‘establishes requirements forthe Secretary of Defense and the Diracior of [Natenal intaligence (ONI} to jainty develop a space science ana

technology strategy (nereater refered 1 as the strategy) and submit he

"Treinaligence carvan nce arganators and aces fom bat OOD whe atonal iehgenceconmoty tv aaten othe eb gence branches ot lly

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‘assessing progress made toward achieving those goals; and a process for transitioning space S&T programs to new or existing space acquisition programs Coordination with DOD research laboratories and research

‘Components is also required in he development and implementation of the strategy

Ín he past, we have had concems about DOD strategic planning

inadequate funding visibly, and the degree to which DOD and DNI have Collaborates on space strategie planning In 2008, we reported that 00D

‘generally faced problems with deficiencies in strategic planning for critical {echnologies, processes for technology development and transiton, and tools that suppor transition * We have also identified significant

challenges or bares for DOD in implementing a previous space S&T

‘Sategy, one of which was inadequate funding visibly.” In 2008, we teported to Congress that we were concerned there was no overarching strategic guidance in place to link the defense and iteligence

‘communities future space programs, plans, and new space concepts.” (Our prior work has also shown that strategic planning isthe foundation for defining what an agency seeks to accomplish, identiying the strategies i

The Presiaunte Buda or fecal yar 2072 was aublodia Canon on Febuny 14

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"GRO, Tecmatoy Development New DOO Spsce Sconce and TectnaogySrateoy

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* GRO, Datense Space Athos: Natona Secunty Space Srtesy Needed o Gude ‘tre DOD Space Eats GAC OE aor (Weshngln OC Mat 272008),

Will use to achieve desired results, and then determining how well

‘Succeeds in reaching results-oriented goals and achieving objectives.”

‘The NDAA for Fiscal Year 2010 requires that we review and assess the {rs strategy no later than 80 days afer ts submission to Congress," In response, this report addresses (1) the extent to which the strategy meets the statutory requirements, (2) other approaches or methods that could

‘be used Coordination sfforts used in developing the strategy and the effectiveness to enhance the usefulness ofthe strategy, and (3) the extent of

‘of coordination mechanisms planned to implement the strategy To

‘address these areas, we reviewed the siategy fr its sufficiency with Statutory requirements and met with DOD and ON officials to ciscuss and Collect information on the methods, approaches, and analyses used to

‘support the content of the strategy” We compared the suategy s contents

to best practices in strategic planning and existing challenges in space

‘SBT to determine if there are ways to improve it We also discussed, or received writen responses to questions on, the methods used to Coordinate tne development, as well as planned implementation, of the

‘ategy with officials from the Office of Assistant Secretary of Defense, Research and Engineering (formerly he Director, Defense Research and Engineering); Offee ofthe Director of National Iteligence (including National Reconnaissance Office officials); Defense Advanced Research Projects Agency; Missile Defense Agency Army Materiel Command: Office ofthe Assistant Secretary ofthe Army for Acquisition, Logistics, and Technology; Army Space and Missile Defense Command, Naval Research Laboratory; Office of Naval Research; Ofce ofthe Assistant Secretary of the Air Force for Acquistion; Ar Force Research Laboratory;

‘and Depariment of Energy.” However, since the strategy has only

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‘utha avotepedepace SAT stag Ue decor of DOD reset abetaiesanơ let DOD research components, a wl athe heads of tet epfepiseerpinzalee,

ha ison research pests in aupeat oe stay tat corre Seay ane

“nue tothe evelopment of spae twchneopy ana 2 itor canan DOD ofa ot

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Background

recently been issued, and given the time constraints of our eview, was {0 early to assess whether the mechanisms and processes outined in

‘he strategy for implementation wil be effecive in supporting ana

‘guiding future space S&T efforts

We conducted his performance aust from April 2011 to July 2017 in accordance with generally accepted government auditing standards

“Those standards require thal we plan and perform the aut to obtain suticient, approprata evidence to provide a reasonable basis for our findings and conclusions based on our audit abjectives, We believe that

‘he evidence obtained provides a reascnable basis for our findings and Conclusions based on our audit objectives See appendix | for more

‘information on our scope and methodology

Ih general, the S&T community nclides government research laboratones” and testing facities as well as contractors and academic institutions that suppor these facites, This community conducts

research and development to suppat military or inteligence agpicatons such se space or weapon systems Whe inellgence community funding level for S27 are classified, DOD uses Research, Development Test

‘and Evaluation (ROTSE) funds for S&T work, including space S&T work, some of whichis classified Space S87 efforts aro undertken by many goverment organizations While 00D and the intligance community comprise tne vast majority of organizations involved in space S&T, several cvlian government

organizations are also involved, inelucing the National Aeronautis and

‘Space Administration (NASA), the National Oceanic and Atmospheric

‘Agmiristration (NOAA), ane the Department of Energy (DOE) NASA's Space S&T effons are significant and arive advances in space science,

‘technology, and exploration an often can valve technology transtes to DOD and oiher agencies NOAA, which provides space weather information to ner government organizations and the pubic, conducts research in te development of new satelite sensors, crastes new _pplcaions for using satelite data, and develops innovative approaches

‘or handing increased data rates as well as increases in compiling ower and data storage DOE develons sonsors nat callet space

weather data, ands laboratories often collaborate on space S&T efforts thal are sponsored by the Defense Advanced Research Projects Agency, the Air Force Research Laboratory, or the Naval Research Laboratories

‘Strategy developers told us that NASA and NOAA were not consulted in the development ofthe strategy because there was no statutory

requirement fo do so, According to strategy developers, DOE was Involved in the development ofthe sategy even though thelr involvement was not required,

DOD RDT&E investment is separated into seven discrete investment categories known as budget activities, Within the DOD S&T community, the frst three categories—ahich represent basic research, applied

‘esearch, and advanced technology development activites, ané are collectively known as S&T activities —use RDTAE funds Figure † describes the tree categories of OOD ST investment

Figure OOD Sa Bucper calagorss wihin ROTEE Appropriations

Congress required DOD to develop and implement a space SST strategy

in 2004." DOD was not required to collaborate with DN in developing tne

ha malay a equed tobe ncuded a prot We annul National Scuny Space

‘in and prooa to 0D components and SAT ores to surper te sma, [roganmng and budget proves f 000 Adascnaly, te sayy waa egured io be [Salo for even by te congensionadelene crmitees Te Raonal Oxfenee

‘eanoreaton Actor Fac! Year 2004 Po L No 09135 89 200)

2004 strategy, DOD's 2004 strategy described six specific investment

‘areas: assured access to space; responsive space capability, assured

‘space operations; spacecraft technology information superiority, and the

‘SBT workforce The most significant space SBT goals were identified

‘within each area, withthe exception of S&T workforce The strategy Stated it would be necessary to successfully develop and demonstrate the

‘requisite technologies in a relevant environment within the short-term, defined tobe within the next § years, and the long-term, defined to be in the year 2020 or beyond The 2004 strategy also discussed

Implementation mechanisms forthe strategy the importance of

‘ransitioning new technology to fielded capability, and an approach to

488088 progress toward achieving the goals Though there are many diverse organizations carying out SAT efforts related to space and a Considerable amount being invested, OOD did not update its space S&T

‘stategy between 2004 and 2011."

‘dante significant chalenges or barirs for DOD in implementing the

‘Srategy such as inadequate funding visibly, decreased testing resources, workloree deficiencies, and long-standing incentives that

‘encourage technology development to take place within acquisition programs rather than the S&T communiy We recommended thatthe

‘Stalegy contain stronger inkages to DOD's requirements-seting process, ideniy additional measures for assessing progress in achieving

‘ategic goals, address barriers to achievement, and include all efforts

‘lated to space SAT In addition, we recommended establishing protocols and mechanisms for ennancing coordination and knowledge

‘Sharing among the DOD S&T community, acquisition programs invalved

in space, and DOD inteligence agencies OOD agreed with our recommendations

Lacks Robust Detail

‘The content afthe strategy addresses, or plans to adress, the statulory requirements, but tai net establish = newly developed implementation plan forthe achievement of the strategy's goals Strategy developers aacknowiedge that in implementing the strategy they di¢ not đieet DOD

‘esearch aboratories and components to dently esearch projects in suppor of the strategy, or in suppart ofthe planned bucget end schedule {or executing those projects Instead, the strategy indicates that each DOD companent wil implement the sralegy a8 part of ts routine program planning and budgeting procedures Moreover, while the content ofthe strategy addresses siaiutory requirements, it does not address fundamental changes facing the space SST cornmuniy, These Callenges have been identified in high-level studies ana prior GAO ‘egoris and include human eapilal shorlages, growing fiscal pressures,

‘and the difficulty in transtioning space S&T t9 acquistion programs lo this assessment, we identiied some stretegic planning best practices

‘ha, usee, could improve future strategy versions by addressing nese

‘fundamental chalenges and thereby potentialy enhancing the usefulness

‘ofthe svategy Furthermore, while DOD S&T argarizations and the Intoligance communty were consulted inthe development of the

“rategy, the input from the infeligenee community and other agencies involved in space S&T was limited, Nolaaly, NASA and NOAA were nat involved inthe strategy development because the statue did not require sun iavalvement The lack of caordination and attention

implementation is a weakness given that (1) space science ang {ecnology development actives span many organizations across the federal goverment, (2) we and others have iéenttied problems with

‘coordination, prierization, and transition of technologies, and (3) lunds

‘vallabe fr such actvties are ineasingly limited

‘Our comparison ofthe strategy agains! the statutoy reporting requirements found that the strategy addresses eight statutory requirements and DOD has plans la address two other statutory requirements For two ofthe requirements involving strategy implementation, OOD has asserted that is normal budgetary process will

‘sulce While the requirements were met, acdtonal information that ould enable 00D to suecasstuly implement the stratogy was not Included, See table 1 for our assessment of tha strategy,

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“The content ofthe sirtegy acres four pemmary areas: (1) shof and long-term goals, 2) goal implementation (3) goal assessment, and (4) the transition of space S&T technology ta space acquisition programs

‘The strategy outines a total of $4 space S&T goals—30 short-term and

24 longiterm, and describes existing, routine DOD pracesses such as

‘rogram planning and budgeting procedures {o help implement the Skalegy.Italso mentions that pefede sieyctured and informal programmatic and technical eviews are used to assess progress toward achievement of DOD goals and ebjectves ane describes how thera is na distinct process for transitioning space SST products toward ulimate

‘pplication in acquisition pragrams, while also describing several

‘examples considered “success stories in the iransiion of space SBT Wile DOD addresses, or plans to address, the statutory requirements, in some instances, the idusion of mare detailed information cous have alowed an opportunity for more successtul implementation ofthe

‘Skategy Spectically, in elaion to tne strategy’s goals, does not establish a newiy developed implementation plan for the achievement of the goals Instead, the strategy desenbes a plan far implementation where OOD components essantaly implement the strategy as 2 routine

‘lament oftheir existing program planning and budgeting procedures

‘while employing processes that are spectcallytalored to each

‘component's mission function Assistant Secretary of Defense, Research land Engineering (ASD (REE)) officals, whe served as leads in

developing the strategy (strategy developers) also cited a program called Reliance 21" as helping to manage and implomnt its entre S&T pontolia,inclucing space SAT While creation ofa newly developed Implementation plan was nota spectic statuary requirement, it potentially Could have provided a more delineated, exacting process for successfully achieving the srategy's goals

‘Also, DOD strategy developers fold us that, as pat of implementing the tentie steategy, they dé not speciicaly direct DOD components and research laboratones to meet the statutory cequirements to (3) identity

‘her research projects in supporto he strategy that contribute directly

‘and uniquely tothe development af space technology, or (2) inform top DOD officials oftheir planned budget and planned scredule for executing

‘ating by rSgalnbafd codrdneirg DOD ST uesemertidetnaich ad rcowagigahepatcyacons sỉ DỰD sonesnee by ng econgisheneie Pa < {Stormo and condo wl coraneted esate ogra,

‘among senior S&T leadership ang enhances coordination among DOD's

‘SAT investment managers In adaiton, the ASD(RSE), in conjunction wit the S&T Exeoutva Commitee, conducts an annual view of all DOD

‘SBT invasiments, and Space-elated Advanced Technoloay Demonstrations are reviewed yearly athe Air Force Applied Technology

‘Counc: held as part of he Air Foros Space Command Space S&T Council Svategy developers frther added that cooperation,

Callaboration, and partnerships among the S&T organizations ae also 2chleved through a variety of mechanisms such as techralogy forums, Workshops, canferences, project and program reviews, international greements, parnerships, and on-site liaisons,

‘Anothor example whore key details wore not present inthe strategy isthe

‘establishment of 54 otal goals without any prartzation, Though Drorizaio isnot a statutory requirement, givan the breadfn and scape 0f space SBT development actwties and issues we have Kentified in te past wih respec fo lack of coordination and paortization tis

Important, and indeed a best aractice, that goals be prizes We have also identified saveral,accitiona strategic planning best practices in the

‘ext section ofthis report that were no followed inthe development ofthe Stalegy Ifthe strategy had more elosely followed these best practices, i potently could have alowed for the development of more robust and Useful space SBT stalogy that addresses some of the major challenges

‘space S8T community, These challenges include human capital shortages, growing fiscal pressures, and the dificult in transitioning

‘space S&T lo acquisition programs While adopting best practices in ‘Srategic planning fr future versions of the strategy is not required under the current statutory requirements, we identilied some best practice elements thal could be used fo develop well-structured goals in any strategic lan Recent DOD-sponsored and congressional studies have addressed

‘concerns over the DOD S&T laboratory personnel and the fss of talent in the space workforce." In adaion, our pior reports have identiieg

challenges facing the space S&T communiy We have also consistently reported on today's challenging budgetary environment and that many of DOD's problems with poor cost and schedule outcomes on acquisition programs can be atbuted to deficiencies (1) in strategic planning for {ilieal technologies such as SET investments, and (2)1n processes for technology development and transition to acquisition programs." Infact,

in S&T areas across DOD, we have found challenges in ansivoning new technology from the laboratory to acquisition programs.” The new space SBT stalagy acknowedges there is no single process for transitioning space S&T products, and that ransion stalled tothe nature of the technology being developed and the ulimate application, Strategy developers told us they recognize thal having many diferent processes for technology transiton to acquisition programs isa fact of fe and they

do not endorse a one-size-fts-all approach However, ae we have previously reported, DOD does not use a process with ertria that would

‘alow [ab and program managers to know when a technology is ready to transition ”

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