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 Sd BN na ne comment Hicnoe tomato ete re Tưng 512480157 nam Gimefer SPACE RESEARCH
Content and Coordination of Space Science and ‘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
Trang 3
Contents
Lauter 1
Background 4
Summary Space S&T Strategy Addresses Most Statutory Requirements but 7
Lacks Robust Detail 1
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 Conclusions 18 [Recommendations for Executive Action "g Ageney Comments H
Appendix Scope and Methodoleay 2
‘Appendix I ‘Comments from the Department of Defense %
“Appendix {GAO Contact and Stall Acknowledgments 26 Table ‘Tablet: Assessment of Space Sclenee and Technology Strategy Compared to Statutory Requirements 8 Figure
Figure DOD $87 Budget Categories within RDT&E Appropriations 5
Trang 4
‘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
Trang 5United 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
Trang 6
first strategy 1o Congress on the date the President submits the budget for fscal year 2012 fo Congress." Additionally, the strategy is required to be submited to Congress biennially onthe date the President submits the budget to Congress forthe next fiscal year and is 1 address short and long-term goals of the space S87 programs of DOD; a process for achieving those goals, including an implementation plan; a process for ‘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 2011 The rat pace eclones ana technatogy slog vos cuore te Congres Ap 25L Te sary tequrament et sao eshte tothe Congeesone detanee anmitereAdstonay, House of Regresrtatves Crtrenee Report No 13-298 {2000 forthe NGHÀ ar eal Vea 2090 futer provides hath step tb ‘Shmted ote Senate Carmieeonlraigence ans the Heute Permanent See,
‘Commie on tienes
“Gn, Bes Prices: Stronger Pacicos Needed fo Improve OOD Tectnolay Transtion /Seeeese GAO 0286) |(NRongen DC Sep tế 200)
"GRO, Tecmatoy Development New DOO Spsce Sconce and TectnaogySrateoy ‘ronda Sane or Qpiming Ieuan bu Fate Verne Need tao Moe Pont ‘GRO 185 Washing, D.C dan 28, 2005)
* GRO, Datense Space Athos: Natona Secunty Space Srtesy Needed o Gude ‘tre DOD Space Eats GAC OE aor (Weshngln OC Mat 272008),
Trang 7
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
¥ GA0, BOD Figh Rik Aveaa.Gbeenvaions on 000) Pages and Ghatenges Sap Pant Suny Chan Haron AS 0 Nưngon BC shiv 27201
caotnstonpocare equred under TOUS § 227210) ofueh pone thal crying ‘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 ‘he panned budge na panned schol or secung ose project
"ee statutry grvisions lind ne Amy Renate Laboratay a8 8000 nisbortay we rot mest wh ool rom albert Beene amy oid thay de noicondicte sợnfcảr amu espace SAT work
Trang 8
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
F.'Ố.Ẽ` ."
Trang 9
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)
Trang 10
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."
‘Our review of DOD's 2004 space S&T strategy found tha it provided a foundation for coordination among space S&T efforts but lacked detail in key areas needed to achieve the strategy’s goals.” We found that DOD hhad taken an inal postive step in optimizing investments in space S&T projects by establishing shor- and long-term goals However, we also ‘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
‘ha aeiegy was estedto be reieed nnus "e9 appropiate” Pub L Wo 105-196 431%) DOD offcae to ue he stony nae avowed 2006, but a Geormned Sn past wae st necasay
Trang 11Summary Space S&T Strategy Addresses Most Statutory Requirements, but 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,
Trang 12GUEEGGHHGHDUừWWừằĂĂ
Su rsqulemenE Feauirement met? GRO observations
‘ates tat ap oem Qua aT DGD apace Yes ‘Sategy derioe gals bit Sa a nize wt Set poss S008 are te ronse em,
“ses the roses or aneing he saa,_—Yoe Satay seis wusngpocnees bố de ra: itgaa on metmontan ane scien he sorts nprate a seis acter Healy oa KT =- Yeo CN eo gan ove ede ane
toparaachenngie goa Dosistin space £8 ut ce ni Feta petarmarce mesures‘ be vet wrt te nam Echovoment ofthe aetepre ren exalted gals a Te Fee Yee Site sens may ro peer
posane ‘uaa Warton ont meaeute wenstan PeesehnresutetensihDSDmearh —— -Yep - na labraton feceaeh componente, and cet 2a 7 marvbilImiwa nan leo tpng SEptovisE egArrdenx arty oa
Fre O00 sangorenis and S&T arn Yea Stipa Dobe sonar eran a its) tion aa wats ben canted Sheng suategy wll ba ported on DOD webate Trsategysrlemertaten, DOD esearch Ta ‘Wie these dae nl dol axguiaatns Ineoattes ana researc canenorsshalierty “spectsly does, 0O0 ofan amin tne FT ti -
Tnstateywrlenertaten DOD esearch Ya Wiehe satay eae nl at egaaatans te Inkratros and reesarchcarpeneisshairorm ae ng phe Red sai ‘chia dae an parte ne in bust Space of annod budget ona lannad seedle
Srerecuig ho ered peck nse ah
Tle = pate be an Na Sana ays af re aye beaded pat Space Pat ator! Seer Space Plan
‘Sut mena eth engienonaldeense Planned Fiore ate re aay be sted Henao
Trang 13
“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,
Trang 14
‘hose projecis, However, officials explained thal research components land research laboraforias would co these activi as part of the normal DOD budgetary process 000 strategy developers also fold us that ther ‘entire S&T portfolio, including space S&T, is managed using the existing Reiance 2 process, including implementation planning, execution, coordination, and review They furhar explained tha the Reliance 21 [SBT Strategie Overview process fosters awareness an joint planning ‘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 In space 8&7,
"The Applied Technology Counc proves senior eaership anon and the forum to ansure bat appropiate crganizatns assodated wth the A Free, “Beat Laboratory «Applied Technology Demorataans (ATD) are bought ‘ogeter te ermaly sommt tegqueas Io taraton ohnologes to supp the
nhe, The products of Atise ar tocanology epoch ean be farther developed, hregrate, tested, and geqared Te ene products a weapon System supporter invastuciu's aplcaton
Trang 15
Fundamental Challenges Facing the Space S&T Community and Best Practices Not ‘Addressed
‘While the content ofthe space S&T strategy meets statulony
requirements, it does not address fundamental challenges facing the ‘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 ”
` SST ty Rsteng Seunty DOD sponsored apart wien by MITRE Com (2008) ana US Hew et Rpieseritven Rapa ot haengen and Recenrrerietere thi) Stes Overhead Arniecum.Repa Ne 110914209) " GAO Bos Pacts: Stongey Pacis Needed 0 Improve DOD Technabay ‘Danson Teeensen DAO Gể S3(Raragin, ĐC Set t4 2009)
Trang 16
In our assessment, we dentifed some strategic planning best practice ‘elements tha, while not require for he strategy, should be part of wel ‘structured goals in strategic plans Most ofthese strategic planning best practices are contained in the Government Performance and Results Act (of 1893," designed to provide a basis forthe establishment of
{goverment strategic planning and performance management, as well a, the Office of Management and Budget (OMB) guidance” designed to provide specifc information to government agencies onthe preparation {nd submission of strategic plans, We have also discussed DOD strategic planning best practices in our prior reports." ITincerporated, these best practice elements could improve the usefulness of future strategy Versions and position DOD to better address fundamental challenges in space S&T In the absence ofthese more detailed best practice
laments, the usefulness ofthe strategy for decision making may be limited Adopting these best practice elements in future versions of the Salegy isnot required under the curent statutory cequirements, but we believe that incorporating them wil ulimately improve the foundation the stategy provides for space S&T
4+ Identify Required Human Capital: Both the U.S, government and Industry face substantial shortages of scientists and engineers and difficulty in recruiting new personnel because the space industry is, ‘one of many sectors competing forthe limited numberof these professionals A recent U.S, House of Representatives study
‘concluded thatthe space workforce is facing significant loss of talent ‘and expertise and the challenge exists to smoothly ransiion(o a new Space workforce,” Also, a recent study done for DOD on S&T
‘observed that while the DOD S&T laboratory infrastructure was once ‘world leading, the flow of research ecienca, technology development, {and engineering experts isnot as robust as it once was and, forthe ‘most par, has dectined tothe point where mos! DOD S&T people ‘are project managers who monitor research being done by others
hab Ute 03
* OM Gireugr No At), Fart6, Popaajin and Submision Partrmance Pas, ond Annual Program Portomnares Report 10, of Sati Plans Arua * GA0, 000% High Fisk Aras: Oosrvatons on BOD Progress and Chaongss C3 QC Fe t Sepy ChenNvweenex GIÓ 1485) Mielnge ĐỂ
“US House of Reprcentabves, Repo on Chalonges and Recommendations for Una Stoes vomneag tcc, Report No 10314 2000)
Trang 17
‘outside of DOD.” While the dlecussion of human capital needs le considered a strategic planning best practice, the strategy does not Include a discussion ofthe human capital curently engaged in space ‘SBT or the human captal requted fo achieve the strategy’s goals + Identity Required Funding: Our prior work has shown that in (general, lack of investment information can adversely affect the
blity © avoid unnecessary duplication, contol costs, ensure basic ‘accountability, anticipate future costs, and measure performance.” Funding required to implement and achieve the goals was not ‘complied or included in the strategy Strategy developers told s that ‘singe they were not required to repor funding information, they dd not collect funding information from the various DOD research oratories and components invalved in space S&T and they did not Impose funcing constrains in developing officials tld us there was no attempt fo incorporate information on the strategy In ad4iion, DNI
Space S&T funding amounts associated with he intaligence
community in the strategy Furthermore, strategy developers tld us thal achieving top-level visbilty for DOD space SAT funding isnot a ‘simple task and would require substantial effort However when asked about the biggest challenge to achieving the goals, strategy developers tld us it was maintaining consistent funding in a funding Constrained environment, In alton to funding information, neither an ‘analysis of past ends nor future funding needs were included inthe ‘Stategy, both of which could have established a recommended level (of consistent funding These efforts could potentially help mitigate risk to space SAT agains the backdrop of growing national government, fiscal imbalance and budget deficits that are straining all federal agencies’ resources
+ Prioritize Initiatives: The federal government faces real fiscal limitations and will nave to make difficult choices about upcoming proties, but he strategy does not go beyond what was required and Drottize the goals in a more definitive way than classifying them as ‘ther shot- or long-term We have reported that pririzing initiatives ‘enables evaluation in terms of overall importance tothe portolo and 5 SAT fe NatonalSocnty DOD sponsored repr wien by MITRE Cơp 200) `2 GAO, Dưenge Acgisfone Opportntis Exi Improve DOD's Oversight of Power Sours inesinents, GAD T¥-1a iMeshngion D C Bee 0, 2010)
Trang 18
‘can help decision makers when allocating resources.” Strategy developers told us erteia were not developed to ether accept or reject goals for inclusion in the strategy orto prioritize a goal as either short or long-term Instead, they told us that meetings were convened to discuss and review draft goals and thal the categorization of goals 25 either short- or long-term was based upon the professional Judgment of the meeting paricipants with respectto the current state fof technology an potential fo achieve capabilities within nominal time frames The strategy current ists 20 short-term and 24 long-term
‘goals—22 more goals than were identified in the 2004 strategy—and ‘ives no indication which ones are more important than the others Strategy developers also added that more specific ime frames or goal proviization were not included in the strategy because that would require the assignment of resource (1 funcing) commitments, which ‘was not required Since strategy goals were not priotized, i wil be ‘ficult to determine which space S&T goals are the most important to the space S&T communiy if trade-off decisions are necessary
+ Establish Ways to Measure Progress: Performance measures can be used to assess the value of projects relative to goals, demonstrate ‘results and provide useful information for decision makers The ‘Srategy did nat develop new metrics or performance measures that Could be used to assess whether the strategy’s goals are being ‘achieved, Rather, the strategy incicates that varous periodic ‘Structured, and informal, programmatic and technical reviews are Used fo evaluate the effectiveness and quality of space S&T
Investments and assess progress toward achievement of objectives ‘and goals tis unclear how these reviews ean help assess the larger ‘Sategic goals developed inthe strategy that are meant to apply to DOD and the inteigence community is also unclear how the
Reliance 21 program helps to specifically assess the progress of, and provide inkage fo, the goals established inthe strategy Further, Reliance 21 reviews do not involve an examination of space S&T within the infaligence community Without established ways to ‘measure progress toward strategy goals, it will be more aiffcul to ‘measure the progress and achievement of space SBT goals and implement corrective actons if needed
5 Cho, Bea Praslees An negated Porale Management Appreach io Weapon Sysom investments Cot prove DOD Acqueuon Gựeomer.TÀO i7 TP {Washington Mar 30,2007)
Trang 19Coordination Efforts in Strategy Development Were Limited and Implementation Efforts Are too Early to Assess
‘+ Establish Process for Revising Goals in the Future: Criteria to ‘slablish and revise goals couls help to improve performance and resus, The strategy, however, does not articulate the process to be used fo revise tne goals in te future forthe next version of the ‘ralegy Strategy developers told us theve were no criteria {estabiched to intially hal formulate goals and tha the general ‘consensus of tha offeiaisinvolveg determinad which goals ware Included in he strategy While this same process cauls be used to ‘ake revisions te the goals, the absence of crteria wil likely make ‘ture revisions more dificult to track and understand, and catainly mote ad hoe,
‘though most organizations involved withthe space S&T sWategy participated signifianty in developing is shor and long-term goal, Participation among some organizations in davalaping other aspects of {he strategy was more limited, DOD and DN officals tld GAO that thei Imerpretation of the 2009 statute directing development ofthe strategy ‘was that tid not requie thatthe intelligence community be invoved to {he full extent in some aspacts of te strategy Moreover, although ther Involvement was not required by tne statute, ether agencies wth Investments mn space S87, such as NASA and NOAA, were not involved in the strategy’s development Together, the intelligence community and these other agencies conduct a significant amount of space S&T
velopment limiting te involvement, DOD may have missed an ‘opportunity to leverage these acfviies and optimize ts own S&T
spending Also, since the strategy has only recently been issued, is too early to evaluale the effeciweness of the coordination mechanisms planned te implement the strategy Strategy Development Coordination within DOD ‘Was Limited
‘According to an ASD (REE) ofcial, his ofice served as tne lead in ovelopment ofthe stalegy and explained that the methodology began ‘with identifying OOD, DNI, ang ather space S&T stakeholders As Fequired, strategy developers consulted withthe directors of DOD research aboratones ana ather DOD research components, as well as the heads of ether DOD organizations that have interests in space S&T Officials from most of the DOD laboratories and camponents Said thal they had participated in establishing the strategy goals Seven of sight organizations we interviewed reported they were tasked to compile and ‘submit thei goals related fo space S&T Goals included inthe nai ‘ralegy were based on consensus agreement Strategy developers organized the strategy goals under te space functional areas Used inthe
Trang 20
National Secuniy Space Plan, Goals ware categorized as ether short or long-term, based on the professional judgment ofthe strategy developers ‘wih spect tote eurzent state of technology and the potertal te acheve the desired capabilies wthin nominal ime frames,
‘While itis clear that OOD research laboratories and components were ‘consulted, and most assisteg in te development ofthe strategy it also ‘lear fom our discussions with these organizations thal their involvement was typically mite to contrbuting tothe establishment of shor- and Jong-erm space SST goals Although workgroups were estabished to develop each of te stategy’s sections, respanses varied conceming the level of involvement Some organizations’ parteipation in the development ofthe siategy's sections that discuss the implementation, ‘assessment, and tansiion of space SAT was limited Some research laboraterias and components reported playing larger roles in the ‘workgroups than others,
DOD strategy developers told us that, in developing the strategy they did ‘ot direct DOD research laboratories ar components to identity and provide @ compilation of ter space S&T projects being worked on or planned On tne basis ofthe slate, they were nol specifically required to do so They also were not required to, nor dd they ask these research laboratories and components lo, provide planned budget formation ‘associated not believe this was necessary or would provide valve fo the development with their space SET projects Oficias explained that they did ‘ofthe strategy and sai¢ they have processes in place, such asthe Reliance 21 program, to helo faciate te coordination of space S&T ‘rojects within DOD, Reliance 21, hawever, is a DOD pragram ane dos Dot involve reviows of space S&T projects within the intellgence community Strategy Development Coordination between DOD and the Intelligence Community Was Limited
DN, while not required tain the development ofthe strategy, did not provide a compilation of space S&T projects, nor the associted planned budget information for assessment as ine strategy was being developed While the stautary provision fr the strategy was amended in 2008 6 requice DNit jointly develop the stategy wih OOD.” other pars of the atte do not specially call for DNI's involvement DOD and DN|
“Wie tee vas no eguremert ha ZG sbategy Be oy dvaared DOD and Nt Su a oqutemert ore 2011 ee ategy
Trang 21
‘officials told us they interpreted this fo mean the inteligence community 1Was not required tobe involved tothe full extent in some aspects of the ‘sralegy Specifically, DN offal told us that they inlerpret the statue to apply fo the establishment of goals for DOD in the strategy and that the |sno requirement that these goals take into consideration the goals ofthe inteligence community According lo DNI officials, only where the DOD ‘goals coincide with the already established goals of th ineligence ‘community do they plan to work joinly toward goal accomplishment Further, DN! officials fold us that wile the strategy addresses plans for Jmplementng the goals established, these plans only apply to DOD and ‘he strategy does not include implementation plans for the inteligence ‘community While coordination between DOD and DNI was limited in development af the strategy, strategy developers told us that apart from ‘he development, they do coordinate regulary wth each other on space ‘SBT projec and also use on-site lsison personnel atthe Air Force Research Laboratory and the National Reconnaissance Office Strategy developers also provided some limited information on meetings and ‘councils in which agencies within the two arganizations pactcipate,
‘Altough DOD id coordinate with DNI an the inteligence community, \we believe greater coordination among the stakeholders would allow for the formation ofa single strategic plan to guide this important area Inthe jas, we have raised concems about DOD strategie planning and the {degree fa which DOD and ON! collaborate on space strategic planning In 2008, we reported to Congress thal we were concerned there was no ‘overarching strategie guidance in place to link the defense and
Inteligence communities future space programs, plans and new space ‘concepls.” The National Reconnaissance Office (NRO), which served a3 the lead agent for DNI and the primary participant from the inteligence ‘community in the development af the strategy, typically develops sophisticated space capabiltes ands critically important to space Inteligence While the amount of money NRO spends on space S&T is Classified itis the premier space reconnaissance organization in the world and has established a prosty to improve this area of investment Further, strategy developers stated that they did not coordinate with NASA or NOAA in developing the strategy Because the statute did not direct that these agencies be involved NASA and NOAA are both GAD, Defense Space Acinios Nana! Socurty Space Satay Needed o Guise de DỢD Spse ETofa.GAG 08-4518 is ngioh D Mat 27.2003)
Trang 22
Conclusion
involved insignificant space S&T efforts with NASA's fiscal year 2012, budget request including over $1 billon for space resesren and
twcrnology NASA has a strategie alan ofits ov witha primary mission {o ciive advances in space science, technology and exploration and can be involved in iochrology transfers fo DOD and ether agencies While DOD and ON! dia not cocrdinate with NASA in the development ofthe sralegy NASA and DOD periodically coordinate on SAT projects as part, ofthe National Science ana Technology Council ” NASA's pracecural requicements aiso recommend they search research and technology iterature per to investing in new research areas to minimize duplication ‘of effort and look for opportunities to augment research and technology ‘etfs trom other agencies.” NOAA conducts research inthe
evelopment of new satelite sensors, new applications of satelite data ew approaches for hancling increases data rales, as wel as increased ‘computing power and data storage
if done wal, strategie planning provides the foundation for the most Important tings organizations Go each éay and fosters informed
‘commurieaton between organizations and ther stakeholders, Strategic planning provides decision makers with a framewark to guide program efforts and the means fo determine f these efforts are achieving tne Gesired resis, While the sivalegy was a frst step, unfortunately wos ot a rigorous, comprehensive strategic plan Instead, hemoraces the status quo without laying out a path fr assuring effective and efficient progress The space SBT strategy could have gone beyond statutory requirements anc provided the basis for a igarous,compranensive space “S§T program, consistent with econamic ends and budgetary constraints to ensure the United States continues fo possess the advantages that space provides DOD and he iteligence community Improving Coordination and incorporating changes in future versions would help ensure tha strategy addresses space S87 challenges, and help supports ‘agency investments, Adaressing these kinds of factors would enable OD and the inteligence community to have a more effective sategy to guide this cial area of nvesiment
ssa mente win tne eesinve Ranch is cordate ssance and techlegy [erat tho avers onion tat mace op ha ear rssareh an event eres pac) ` NÀSA Procasia Reptoments, 71208, NASA Resoalh and Teohnoay Progam and Pjectianaganert Raguembores (Feb 8 2008)
Trang 23Recommendations for
Executive Action
‘Agency Comments
‘To optimize government investment in space SST and address Key challenges, we recommend thal the Secretary of Defense (who would dliect the Assistant Secretary of Defense, Research and Engineering and the DOD Executive Agent for Space) and the Director of National Inteligence make the following three improvements to enhanca the next version af the space S&T strategy:
+ Develop a specific implementation plan that provides a detailed process for achieving the strategy’s goals, « Include information on required human capital; required funding; prostization, ways to measure progress against the goals, and
process(es) for revising goals to address the challenges in space SấT,
+ Enhance coordination between the DOD space S&T community, the Inteligence space S&T community, and NASA and NOAA in the development of he strategy s0 that he space S&T area can be ‘examined strategically,
in writen comments on a daft of this repor, DOD concurred wth all three ‘of our recommendations to enhance the next version ofthe space S&T ‘ralegy ON did not offer any comments on the daft report provided fr their review
DOD's written comments are reprinted in append I
Sending copies ofthis report fo the Secretary of Defense the 3 Secretary of Defense, Research and Engineering, the DOD Executive Agent for Space, the Director of National Inteligence, ana the Director of the Ofce of Management and Budget The report also is, ‘available at no charge on the GAO Web site a itp ga0 gov
Ifyou or your staf ave any questions conceming this repor, please ‘contact me at (202) 512-4841 or chaplainc@gao gov Contac points for ‘ur Ofices of Congressional Relations and Public Affairs may be found
Trang 24
‘nthe last page ofthis report Stat members making Key contributions to this teport are listed in append Il
cristina Chaplain Director
‘Acquisiion and Sourcing Management
Trang 25
Liệt of Comnifess “The Honorable Car Levin Chaiman
“The Honorable John McCain Ranking Member Commitee on Armed Services United States Senate “Tha Honorable Dianne Feinstein Chaiman
‘The Honorable Saxoy Chambliss Vice Chairman Select Committe on inteligence United States Senate
‘The Honorable Daniel Inouye Cha man
“The Hanorable Thad Cachran Ranking Member ‘Subcommittee on Defense ‘Commitee on Appropriations United States Senate “The Honorable Howard McKeon Chaiman
“The Honerable Adam Smih Ranking Member CCommittes on Armed Services House of Representatives ‘The Honorable Mike Rogers Chaiman
“Tne Honorable GA, Dutch Ruppersberger Ranking Member Permanent Setect Commitee on Imeligence House of Representatives
Trang 26
The Honorable CW “Bl” Young Chairman
‘The Honorable Noman Dieks Ranking Member Subcommittee an Defense ‘Committee on Appropriations House of Representatives
Trang 27Appendix I: Scope and Methodology
“To determine the extent the 2071 space science and technology (SST) Srategy addressed statutory requirements, we compared the srstegy Contents to tne congressional requirements in 10 U.S.C Section 2272 and asked the Department of Defense (DOD) and Director of National Inteligence (ONI) officials for accitonal details wnen necessary, We also ‘met witn DOD ane DNI official's to discuss and collect nfermation on the methods, approaches, and analyses used to support the content ofthe sale
‘We also identified existing challenges in space S&T documented in prior goverment and GAO reports and compared these challenges to the ‘afeas covered by the srategy's contents Further, we identified best ractces in strategic planning and compared the sirategy's contents to ‘hese best practices to determine i Inere ware ways lo improve f We ‘obtained the strategic planning best pracices from the Government Performance and Results Act of 1995 Offce of Management and Budget (Ckcular No Avi, Parl 6, Preparation andl Submission of Strategie Plans, Annual Performance Plans, and Annual Program Performance Reports ‘ly 2010, and prior GAO reports
“To determine the extent of eoeraination efforts used to develop and implement the strategy we discussed the coordination methods used in the strategy’s development with officials from the Ofice of Assistant Socretary of Defense, Research and Engineering (formerly the Director, Defense Research and Engineering); Ofce of he Director of National Inteligence (ineuding National Reconnaissance Office oficals], Defense Advanced Research Projects Agency: Missle Defense Agency, Aimy Materiel Command; Office of the Assistant Secretary of the Army for ‘Acquisition, Legistics, and Technology: Army Space ana Missile and Defense Command: Naval Research Laboratory Office of Naval
Research; Office ofthe Assistant Secretary af the Air Force for
Acquistion: Ar Foree Research Laboratory: and the Department of Energy Since the strategy has ony recenlly been issued, and given the time constraints of our review,’ st was foo early to assess the machanisms land processes outlined in the strategy forts implementation
IGS § 2277 ae apended ty he Natona OteneaAubazaion Ace Paral Your
‘onmitiows no lta shan 90 daye ar he lon is bubmited by tre Sacetary of
Saran Batra ton tigen ha hata nm sand
Trang 28
We also reviewed other relevant high level space strategic plans including the National Securty Strategy, ihe National Secunty Space ‘Stiategy, he Quacrennial Detense Review the National Space Policy, the Defense Stience and Technology Stiategy, the DOD Research and Engineering Strategic Plan, and the DOD Space Science and Technology ‘Strategy (2004),
\We conducted this performance auait from April 2011 to July 2011 ja accordance with generaly accepted government auditing standards “Those standards raquire thal we plan end perform the aucit te obtain, suticient appropriate evidence o provise @ reasonable basis for cur ‘indings and conclusions based on our audit objectives We believe that the evidence obtained provides a reasenable basis for cur findings and ‘conclusions based on our aut adjectives
Trang 29
Appendix II: Comments from the Department of Defense
Trang 30
Appendix III: GAO Contact and Staff Acknowledgments
GAO Contact ‘Sista Chaplain, (202) 5124841 or Chaplain @uso gov
TT accion one contact named above, ai Galegos Assistant Direcon,
Staff Acknowledgments ‘Tim Persons; Marie Ahearn; Don Springman; LeAnna Parkey; and Laura Greiner made key cortibutions tons report
Trang 31
GAO's Mission ‘The Goverment Accountability Offic, the audit, evaluation, and Investigative arm of Congress, exists o support Congress in meeting is Constitutional respansibiltes and to help improve the performance and {cauntabliy of he federal government forthe American people GAO ‘examines the use of public funds; evaluates federal programs and policies; and provides analyses, recommendations, and other assistance fe help Congress make informed oversight, policy, and funding decisions ‘GAO's commitment to good government is reflected in its core values of accountability, integrity, and reliability
‘Dptaining Obtaining Copies of Copies of The fastest and easiest way obtain copies of GAO c;aisuveugn GAO's Web ste wa ga gov) Each weekday afternoon, documents ano
GAO Reports and ee {GAO posts on its Web ste new released reports, testimony, and arespondence, To have GAO e-mal you a ist of new posied products,
Testimony go to www.gao.gov and select "E-mail Updates.”
Order by Phone “The price ofeach GAO publication relecis GAO's actual coat of production and distribution and depends on the number of pages inthe
‘ublcation and whether the publication is printed in color or Diack and ‘white Pricing and ordering infarmation is posted on GAO's Web site, "Hfp/iuvw gae.goviordering him
Place orders by calling (202) 512-6000, tl fee (868) 801-7077, oF TDD (202) 512-2537
‘Orders may be paid for using American Express, Discover Card
MasterCard, Visa, check, or money order Call for additional information,
‘To Report Fraud, la in Conte WebsletswwsgaogeuraudneU
Waste, and Abuse in 2 raf taudnetgee
raudnethim
Federal Programs ‘Aufomated answering syst: (200) 424-5454 or (202) 512-7470,
: Ralph Dawn, Managing Director, đanrØoso gov, (202) 512-4400
Congressional US, Government Accountabiity Offee, 441 G Street NW, Room 7125
Relations Washinglon, Be 20548
Public Affaire ‘Chuek Young, Managing Director, younget @aae gov, (202) 512-4800, U.S Government Accauntabity Office, 441 G Str
Wachinglon, DC 20548, NW, Room 7149