Military Space Operations
Planning, Funding, and Acquisition Challenges Facing Efforts to Strengthen Space Control Gao ID: GAO-02-738 September 23, 2002The United States is increasingly dependent on space for its security and well being. The Department of Defense's (DOD) space systems collect information on capabilities and intentions of potential adversaries. They enable military forces to be warned of a missile attack and to communicate and navigate while avoiding hostile action. DOD's efforts to strengthen space control are targeted at seeking to promote better coordination among DOD components, prioritization of projects, visibility and accountability over funding, and interoperability among systems. Among other things, DOD is drafting a space control strategy that is to outline objectives, tasks, and capabilities for the next 20 years. It has also aggregated funding for space programs so that it can compare space funding, including space control funding, to its total budget, make decisions about priorities, and conduct future-trend analyses. In addition, DOD has changed its acquisition policy to include separating technology development from product development and encouraging an evolutionary, or phased, approach to development. There are, however, substantial challenges to making DOD's space control efforts successful. One challenge is putting needed plans in place to provide direction and hold the services accountable for implementing departmentwide priorities for space control. Further, DOD's draft space control strategy has been completed and does not yet define roles and responsibilities among the services, departmentwide priorities and end states, and concrete milestones. Finally DOD's aggregation of space funding is not a plan that targets investments at priority areas for DOD overall.
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Director: Team: Phone:GAO-02-738, Military Space Operations: Planning, Funding, and Acquisition Challenges Facing Efforts to Strengthen Space Control
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United States General Accounting Office:
GAO:
Report to the Secretary of Defense:
September 2002:
Military Space Operations:
Planning, Funding, and Acquisition Challenges Facing Efforts to
Strengthen Space Control:
GAO-02-738:
Contents:
Letter:
Results in Brief:
Background:
DOD Is Undertaking Efforts to Strengthen Space Control:
Substantial Challenges Still Face DOD in Strengthening Space Control:
Conclusions:
Recommendations for Executive Action:
Agency Comments and Our Evaluation:
Scope and Methodology:
Appendix I: Comments from the Department of Defense:
Appendix II: Staff Acknowledgments:
Tables:
Table 1: Space Missions, Operational Functions, and Examples of Related
Assets/Programs:
Table 2: DOD Actions Related to Improving Space Control:
Abbreviations:
DOD: Department of Defense:
GPS: Global Positioning System:
NSSA: National Security Space Architect:
NSSI: National Security Space Integration:
POM: Program Objective Memorandum:
SBIRS: Space-Based Infrared System:
[End of section]
United States General Accounting Office:
Washington, DC 20548:
September 23, 2002:
The Honorable Donald H. Rumsfeld:
The Secretary of Defense:
Dear Mr. Secretary:
The United States is increasingly dependent on space for its security
and well being. The Department of Defense‘s (DOD) space systems collect
information on capabilities and intentions of potential adversaries.
They enable military forces to be warned of a missile attack and to
communicate and navigate while avoiding hostile action. And they provide
information that allows forces to precisely attack targets in ways to
minimize collateral damage and loss of life. DOD‘s satellites also
enable global communications, television broadcasts, weather
forecasting; navigation of ships, planes, trucks, and cars; and
synchronization of computers, communications, and electric power grids.
This growing dependence, however, is also making commercial and
military space systems attractive targets for adversarial attacks.
According to DOD, our adversaries are exploring such capabilities as
directed energy weapons, space object tracking systems, physical
attacks on satellite ground stations, and signals jamming. Moreover,
our adversaries are gaining access to space-based information as well
as acquiring new space-based capabilities. In view of this growing
threat, DOD is taking on efforts to strengthen its ability to protect
and defend space-based assets, also known as ’space control.“ [Footnote
1] Given the importance and potential costs of its acquisitions related
to space, we identified DOD‘s efforts to strengthen its ability to
protect and defend its space assets and the challenges facing DOD in
making those space control efforts successful.
Results in Brief:
DOD‘s efforts to strengthen space control are targeted at seeking to
promote better coordination among DOD components, prioritization of
projects, visibility and accountability over funding, and
interoperability among systems. Among other things, DOD is drafting a
space control strategy that is to outline objectives, tasks, and
capabilities for the next 20 years. It has also aggregated funding for
space programs so that it can compare space funding, including space
control funding, to its total budget, make decisions about priorities,
and conduct future trend analyses. In addition, DOD has changed its
acquisition policy to include separating technology development from
product development and encouraging an evolutionary, or phased,
approach to development. These changes are based on practices that have
been proven in the commercial sector to curb incentives to overpromise
the capabilities of a new system and to rely on immature technologies.
Nevertheless, there are substantial challenges to making DOD‘s space
control efforts successful. One challenge is putting needed plans in
place to provide direction and hold the services accountable for
implementing departmentwide priorities for space control. DOD‘s draft
space control strategy has not been completed and does not yet define
roles and responsibilities among the services, departmentwide
priorities and end states, [Footnote 2] and concrete milestones. Also,
DOD‘s aggregation of space funding is not a plan that targets
investments at priority areas for DOD overall. Achieving agreement on a
strategy and investment plan for space control will be difficult given
the varying interests of the services. Another challenge is
implementing knowledge-based practices that characterize successful
acquisition programs. Unless DOD adopts knowledge-based practices,
space control acquisitions, such as the Space-Based Surveillance
System, may well face higher cost and schedule risks.
We are making recommendations that are intended to enhance the planning
of space control efforts. In commenting on a draft of this report, DOD
concurred with our findings and recommendations.
Background:
DOD‘s current space network is comprised of constellations of
satellites, ground-based systems, and associated terminals and
receivers. Among other things, these assets are used to perform
surveillance and intelligence functions; detect and warn of attacks;
provide communication services to DOD and other government users;
provide positioning and precise timing data to U.S. forces as well as
other national security, civil, and commercial users; and counter
elements of an adversary‘s space system. DOD categorizes these assets
into four space mission areas”each with specific operational functions.
(See table 1 for a description of space mission areas, operational
functions, and related examples of systems and activities.)
Table 1: Space Missions, Operational Functions, and Examples of Related
Assets/Programs:
Missions: Space control;
Operational functions: Space surveillance, protection, prevention, and
negation;
Examples of assets/programs: Space surveillance network;
Description: This space control asset is a network that provides space
object cataloging and identification, satellite attack warning, timely
notification to U.S. forces of satellite flyover, space treaty
monitoring, and scientific and technical intelligence gathering.
Missions: Force enhancement;
Operational functions: Navigation, satellite communications,
environmental monitoring, surveillance and threat warning, command and
control, and information operations;
Examples of assets/programs: Global Positioning System (GPS);
Description: This network of satellites and supporting ground stations
provides all-weather, day/night, three-dimensional positioning
information and precise timing data to land-based, seaborne, and
airborne U.S. and allied forces, as well as other national security,
civil, and commercial users. GPS enhances force coordination, command
and control, target mapping, target acquisition, flexible routing,
and weapon accuracy, especially at night and in adverse weather.
Missions: Space support;
Operational functions: Launch operations, satellite operations,
modeling, simulation, and analysis/force development evaluation;
Examples of assets/programs: Air Force satellite control network;
Description: This is the primary command, control, and communications
support capability for DOD space systems. As a network of systems, it
performs a multitude of functions, including data processing, tracking,
telemetry, satellite commanding, communications, and scheduling. The
network has 15 worldwide fixed antennas, one transportable system, and
two mission critical nodes.
Missions: Force applications;
Operational functions: Intercontinental ballistic missile sustainment,
conventional strike;
Examples of assets/programs: Minuteman III Sustainment;
Description: This program sustains the U.S. strategic ballistic missile
system.
Source: GAO analysis.
[End of table]
The Air Force is the primary procurer and operator of space systems.
For fiscal years 2002 through 2007, the Air Force is expected to spend
about 86 percent of total programmed space funding of about $165
billion, whereas the Navy, the Army, and other Defense agencies are
expected to spend about 8 percent, 3 percent, and 3 percent,
respectively.
The space surveillance network and other space control systems, some
of which are classified, are currently helping to protect and defend
space assets or are under development. For example, the Space-Based
Surveillance System is being developed to provide a constellation of
satellites and other initiatives that will improve the timeliness and
fidelity of space situational awareness information. The Rapid Attack
Identification and Reporting System, also under development, is expected
to ultimately provide notification to Air Force Space Command of threats
(radio frequency and laser) impinging upon the right of friendly forces
to use space.
DOD‘s space control mission, which endeavors to protect and defend U.S.
space assets, is becoming increasingly important. This importance was
recognized by the Space Commission that was established by Congress in
the National Defense Authorization Act for Fiscal Year 2000 [Footnote
3] to assess a variety of management and organizational issues relating
to space activities in support of U.S. national security. [Footnote 4]
Principally:
* While the commission recognized that organization and management are
important, the critical need is national leadership to elevate U.S.
national security space interests on the national security agenda.
* A number of disparate space activities should be merged, organizations
realigned, lines of communication opened, and policies modified to
achieve greater responsibility and accountability.
* The relationship between the officials primarily responsible for
national security space programs is critical to the development and
deployment of space capabilities. Therefore, they should work closely
and effectively together to set and maintain the course for national
security space programs.
* Finally, the United States will require superior space capabilities
and a cadre of military and civilian talent in science, engineering,
and systems operations to remain the world‘s leading space-faring
nation.
Among other things, the Space Commission emphasized the importance
of increasing the visibility and accountability of space funding. It
also recommended that DOD pursue modernization of aging space systems,
enhance its command and control structure, and evolve the surveillance
system from cataloging and tracking to a system that could provide space
situational awareness.
We recently reported on the status of implementation of the Space
Commission recommendations. [Footnote 5] We found that DOD has decided
to take actions related to 10 of the commission‘s 13 recommendations,
including organizational changes aimed at consolidating some
activities, changing chains of command, and modifying policies to
achieve greater responsibility and accountability. In addition, we have
reported that:
* Over the years, DOD‘s space acquisition management approach has
resulted in each of the services pursuing its own needs and priorities
for space. This, in turn, has increased the risk that acquisitions will
be redundant and not interoperable. Also, under this approach, there
has also been no assurance that the services as a whole are satisfying
the requirements of the U.S. Space Command [Footnote 6] to the maximum
extent practicable. [Footnote 7]
* DOD continues to face cost and schedule growth for some of its larger,
more complex space system acquisitions primarily as a result of not
having knowledge on the maturity of necessary technology before entering
product development. [Footnote 8]
DOD Is Undertaking Efforts to Strengthen Space Control:
DOD is now undertaking a wide range of efforts to strengthen its
ability to protect and defend space-based assets. Some of these are
focused solely on the space control mission while others are broader
efforts aimed at strengthening space-related capabilities. The changes
are intended to elevate the importance of space within the department;
promote greater coordination on space-related activities both within
and outside the department, particularly within the intelligence
community; reduce redundant systems and capabilities while promoting
interoperability; and enable the department to better prioritize space-
related activities. At the same time, DOD is making changes to its
acquisition and oversight policies that will affect how space programs
are developed and managed.
Specifically, the U.S. Space Command is developing a space control
strategy that is to outline objectives for space control over the next
20 years. Concurrently, DOD is developing a national security space plan
that will lay down broader objectives and priorities for space-based
programs. As the future executive agent [Footnote 9] for space, the Air
Force created an office to develop and implement the national security
space plan and has yet to finalize plans for the organizational
realignment of the office of the National Security Space Architect. The
National Security Space Architect is responsible for developing
architectures”frameworks that identify sets of capabilities”across the
full range of DOD and intelligence community space mission areas.
In addition, DOD is making changes to its budgeting process to gain
greater visibility over space-related spending and has created a
’virtual“ space major force program for the purpose of identifying what
funding is specifically directed toward space efforts. The virtual
major force program identifies spending on space activities within
other major force programs. This does not change the current process
that the military services use to fund their own space programs, but it
does aggregate space funding so that the department will be able to
compare space funding to DOD‘s total budget and conduct future trend
analyses. Moreover, DOD will be able to identify space control funding
from other space-related activities.
Lastly, DOD has made changes to its acquisition policy that will affect
how space systems are acquired and managed. These changes focus on
making sure technologies are demonstrated at a high level of maturity
before beginning product development as well as taking an evolutionary,
or phased, approach for producing a system. The Air Force is also
implementing a new acquisition oversight mechanism for space intended
to streamline the time it takes to review and approve a program before
moving onto a subsequent stage of development. Table 2 describes some
of DOD‘s efforts related to strengthening space control in more detail.
Table 2: DOD Actions Related to Improving Space Control:
Action policy/directives: DOD Instruction on Space Control;
Status: Issued in Jan. 2001;
Description: This instruction, developed by the Assistant Secretary of
Defense for Command, Control, Communications and Intelligence, directed
that an integrated space control strategy be developed and implemented
to meet the needs of decisionmakers across the entire chain of command.
The instruction specified that capabilities necessary to conduct the
space control mission be integrated into an operational force structure
that is sufficiently robust, ready, secure, survivable, resilient, and
interoperable to meet the needs of decisionmakers.
Action policy/directives: Planning: National Security Space Plan;
Status: In process;
Description: This is to set overall objectives related to space and
provide a high-level 10- to 15-year road map for the direction of space
programs. It is intended to drive more detailed program objective
memorandums (POM) and budget estimate submission processes for national
security space programs across DOD. The plan is not expected to be
completed until sometime in fiscal year 2003.
Action policy/directives: Space Control Strategy;
Status: In process;
Description: In response to the 2001 DOD instruction, the U.S. Space
Command drafted a space control strategy, with a 20-year time frame,
which outlines objectives, tasks, and capabilities of the four space
control components: surveillance, protection, prevention, and negation.
The strategy is aligned with the U.S. Space Command‘s March 1998 Long
Range Plan for pursuing space activities. The draft outlines threats to
space systems and describes the importance of shaping a space
environment that strengthens national security.
Action policy/directives: Organizational: Air Force as Executive Agent
for Space;
Status: Draft Directive March 2002– not yet approved;
Description: In response to the Space Commission‘s recommendation, the
Secretary of Defense issued a memorandum directing that the Air Force be
designated as the executive agent for space within DOD, with
departmentwide responsibility for planning, programming, and acquiring
space systems. Formal designation and corresponding DOD Directive
outlining roles and responsibilities have yet to be finalized.
Action policy/directives: Organizational: Milestone Decision Authority
Status: February 2002;
Description: The Under Secretary of Defense for Acquisition,
Technology, and Logistics gave the Secretary of the Air Force milestone
decision authority for acquiring DOD space systems. The Secretary
redelegated this authority to the Under Secretary of the Air
Force/Director, National Reconnaissance Office.
Action policy/directives: Organizational: National Security Space
Integration (NSSI);
Status: April 2002;
Description: The office was established to guide and coordinate
implementation of the Space Commission‘s recommendations. It is charged
with providing program, plans, policy integration, and acquisition
support among other activities. It will also be responsible for leading,
developing, maintaining, and coordinating the national security space
plan. NSSI is located within the Air Force, reporting to the Under
Secretary of the Air Force/Director, National Reconnaissance Office.
Action policy/directives: Organizational: National Security Space
Architect (NSSA);
Status: In process;
Description: A plan to relocate this office, previously under the
Office of Secretary of Defense, has yet to be finalized. The office is
responsible for developing architectures to guide new systems
acquisitions and ensure that they can work effectively together. It will
also be responsible for ensuring that Air Force and National
Reconnaissance Office funding for space is consistent with policy,
planning guidance, and architectural decisions and preparing an annual
National Security Space Program Assessment.
Action policy/directives: Funding: Funding request for promising space
control initiatives;
Status: Requested;
Description: DOD‘s fiscal year 2003 funding request includes about $300
million strictly for space control. The request includes about $40
million for continuing what DOD has termed as promising space control
initiatives: about $24 million for the Counter Surveillance
Reconnaissance System, $9 million for the Counter Satellite
Communications System, and $7 million for the Rapid Attack
Identification and Reporting System. Other than the space surveillance
program, the fiscal year 2003 budget is the first time that DOD funded
a multiyear acquisition program for space control, which continued
work that began in the space control technology program.
Action policy/directives: Funding: Space is designated as a ’virtual“
major force program;
Status: October 2001;
Description: The Space Commission recommended that a ’major force
program“ for space be established to improve management and oversight
of space programs. A major force program is a DOD budgeting mechanism
that aggregates related budget items into a single program in order to
track program resources independent of the appropriation process and
contains the resources needed to achieve an objective or plan. Instead
of creating a separate major force program for space, DOD established a
’virtual“ major force program to increase visibility of resources
allocated for space activities. The virtual major force program
identifies spending on space activities within the other major force
programs and provides information by functional area, including space
control.
Action policy/directives: Acquisition Management and Oversight: Best
practices incorporated into DOD acquisition policy;
Status: 2000 and 2001;
Description: DOD changed its acquisition policy (DOD 5000 series for
acquisition) to embrace acquisition practices that characterize
successful programs for acquiring and developing systems. These focused
primarily on (1) making sure technologies are demonstrated to a high
level of maturity before beginning product development and (2) taking
an evolutionary, or phased, approach for producing a system. The
changes represent substantially different ways of doing business for
DOD in that they would essentially separate technology development from
a weapon system or space system development program and deliver
capabilities in phases versus one ’big bang.“ This was done in order to
curb incentives to overpromise the capabilities of a new system and to
rely on immature technologies and also to make sure that technologies
and funds are available to make good on promises.
Action policy/directives: Acquisition Management and Oversight: Defense
Space Acquisition Board;
Status: In process;
Description: In an attempt to reduce oversight time for space programs,
DOD plans to set up a special Defense Space Acquisition Board modeled
after one employed by the National Reconnaissance Office, which will
have one layer of review at each major milestone throughout the
acquisition process. Under this new oversight process, the team would
spend about 8 weeks, or more if required, on-site working full-time
with program officials and would conclude this work with
recommendations to the board on whether or not to allow the program to
proceed. DOD anticipates that the new process will decrease milestone
decision cycle time from about 8 to 12 months to about 8 to 12 weeks.
The latest generation of Global Positioning System satellite vehicles
is the initial system going through this process. Other programs being
recommended for the Defense Space Acquisition Board process are the
Space-Based Radar and the National Polar-orbiting Operational
Environmental Satellite System. In contrast, under DOD‘s current
oversight process, the Defense Acquisition Board holds formal meetings
at each milestone to review accomplishments and assess readiness for
proceeding to the next phase. There are two oversight teams that advise
the Under Secretary of Defense for Acquisition, Technology, and
Logistics on whether or not programs should proceed. One is an
overarching integrated product team and the other is a working level
integrated product team. Sometimes, a third team comprised of
membership from both may be involved.
Action policy/directives: Acquisition Management and Oversight: Other
practices being considered for improving space program acquisition;
Status: In process;
Description: The DOD is also looking to apply other practices
considered by the Air Force and Army as best practices for inclusion on
space program acquisitions. For example, the National Reconnaissance
Office will be evaluating the possibility of using a best commercial
practice for project selection, approval, and funding, referred to as
the Warfighter Rapid Acquisition Process, that is to facilitate rapid
deployment of new technology and capabilities. The Warfighter Rapid
Acquisition Process is currently evolving from a new program start
process to a technology insertion program. Another practice under study
is strategic supplier alliances that would establish long-term
comprehensive supplier partnerships to leverage the purchases of
material, products, and services in a more effective and efficient
manner.
Source: GAO analysis.
[End of table]
Substantial Challenges Still Face DOD in Strengthening Space Control:
DOD‘s efforts to strengthen its management and organization of space
activities, including space control, are a good step forward,
particularly because they seek to promote better coordination among the
services involved in space, prioritization of space-related projects,
visibility over funding, and interoperability. But there are
substantial planning and acquisition challenges involved in making
DOD‘s current space control efforts successful.
Preparation of Plans to Provide Overall Direction and Hold Services
Accountable:
The Space Commission recognized that stronger DOD-wide leadership and
increased accountability were essential to developing a coherent space
program. As noted above, one effort to provide stronger leadership and
accountability is the development of a space control strategy.
Completion of this strategy is a considerable challenge for DOD because
it has not yet been aligned with other strategies still being revised
and because agreement among the military services on specific roles,
responsibilities, priorities, milestones, and end states may prove
difficult to achieve.
In February 2001, a draft of the space control strategy, prepared by
U.S. Space Command, was submitted to the Chairman of the Joint Chiefs
of Staff for review, refinement, and submission to the Secretary of
Defense. In June 2001, the Chairman stated that it was important that
the space control strategy be put on hold until it could be aligned
with the national security and national military strategies that were
being updated before official submission to the Secretary of Defense.
Also, the space control strategy was drafted initially without the
benefit of the broader national security space plan to use as a
foundation for setting priorities, objectives, and goals. The National
Security Space Integration Office expects to complete the space plan in
the summer of 2002; however, there are indications that the plan may
not be completed until 2003. Whenever the plan is completed, DOD would
then have to reexamine the draft space control strategy to ensure
alignment with the broader plan.
Currently, the services are not satisfied with the draft strategy. Army,
Navy, and Air Force officials told us that the draft was not specific
enough in terms of what their own responsibilities are going to be and
what DOD‘s priorities are going to be. They also pointed out that there
were no specific milestones, only a rough 20-year time frame for
achieving a ’robust and wholly integrated suite of capabilities in
space.“ Without more specifics in this area, DOD would not be able to
measure its progress in achieving goals. According to a U.S. Space
Command official, although a final date for issuing the strategy is
unknown, comments from the services have been incorporated where
appropriate and additional detail has been added to reflect changes in
DOD terminology.
Without knowing more details, service officials said that they would
continue pursuing their own space control programs as they have been. In
fact, two services”the Air Force and the Army”have already set their
own priorities for space control. For example, Air Force Space Command,
in its Strategic Master Plan, lists its first priority under space
control as improving space surveillance capability to achieve real-time
space situational awareness and provide this information to the
warfighter. The Army‘s Space Master Plan recognized shortfalls in the
space control area and identified future operational capabilities for
space control that include space-based laser, airborne laser and the
congressionally-directed Kinetic Energy Anti-Satellite capability.
Another issue that could affect accountability for space control is the
lack of a DOD-wide investment plan for space control to guide the
development of the services‘ budget submissions. The Space Commission
recognized that increasing funding visibility and accountability is
essential to developing a coherent space program. According to the
commission, for example, the current decentralized approach of funding
satellites from one service‘s budget and terminals from another‘s can
result in program disconnects and duplication. The newly implemented
virtual major force program for space addresses the need for visibility
into space funding across the services by aggregating most space
funding by service and function. DOD officials stated that the first
iteration of the virtual major force program captured a high percentage
of space funding and it will be fine tuned in the future years. The
virtual major force program for space was designed to include program
elements that represent space activities only. Funding for non-space-
weapon systems that may have some space related components (such as a
Global Positioning System receiver in the bomb hardware of the Joint
Direct Attack Munition bombs) are not included in the virtual major
force program.
Although the virtual major force program provides greater visibility
into space funding, it is not intended to provide an investment plan
for space. However, the space control systems and funding identified in
the virtual major force program, along with priorities outlined in the
space control strategy, could be used as a basis for developing an
investment plan that would prioritize space control capabilities that
DOD needs to develop. Such a plan would benefit DOD by:
* setting DOD-wide priorities and helping the services make decisions on
meeting those priorities;
* including short-, mid-, and long-range time frames to make sure space
control activities were carried out as envisioned in DOD‘s overall goals
and the national security space plan;
* establishing accountability mechanisms to make sure funding is
targeted at priority areas; [Footnote 10] and;
* providing the level of detail needed to avoid program disconnects and
duplications.
Developing such an investment plan for space control will be a
considerable challenge because it will require the services to forgo
some of their authority to set priorities. Secondly, DOD will need to
identify space capabilities that are scattered across programs and
services, and in many instances, are even embedded in non-space-weapon
systems. Finally, development of an investment plan for space control
will require leadership on the part of the Air Force, as the executive
agent for space, because such a plan will have to balance the needs and
priorities of all of the services.
Implementation of Best Acquisition Practices to Reduce Risks:
The changes DOD has made to its acquisition policy embracing practices
that characterize successful programs are a positive step that could be
applied to the acquisition of space control systems. By separating
technology development from product development (system integration
and system demonstration) and encouraging an evolutionary approach, for
example, the new policy would help to curb incentives to over promise
the capabilities of a new system and to rely on immature technologies.
Moreover, decisionmakers would also have the means for deciding not to
initiate a program if a match between requirements and available
resources (time, technology, and funding) was not made.
But, so far, DOD has been challenged in terms of successfully
implementing acquisition practices that would reduce risks and result in
better outcomes”particularly in some of its larger and more complex
programs. For example, in 1996, DOD designated the Space-Based Infrared
System (SBIRS), consisting of a Low and High program, a Flagship
program for incorporating a key acquisition reform initiative aimed at
adopting successful practices that would develop systems that are
generally simpler, easier to build, and more reliable, and that meet DOD
needs. In 2001, we reported that the SBIRS Low program, in an attempt to
deploy the system starting in fiscal year 2006 to support a missile
defense capability for protecting the United States, was at high-risk
of not delivering the system on time or at cost or with expected
performance. [Footnote 11] In particular, we reported that five of six
critical satellite technologies had been judged to be immature and
would not be available when needed. As stressed in previous GAO
reports, failure to make sure technologies are sufficiently mature
before product development often results in increases in both product
and long-term ownership costs, schedules delays, and compromised
performance. The SBIRS Low program has recently undergone restructuring
in an attempt to control escalating costs and get back on schedule.
In 2001, we reported that the SBIRS High program was in jeopardy
because (1) ground processing software might not be developed in time to
support the first SBIRS High satellite, and (2) sensors and satellites
might not be ready for launch as scheduled due to technical development
problems. [Footnote 12] These difficulties increased the risk that the
first launches of SBIRS High sensors and satellites would not occur on
time and that mission requirements would not be met. The Under
Secretary of the Air Force recently acknowledged that the SBIRS High
program was allowed to move through programmatic milestones before the
technology was ready. In addition, the Under Secretary of Defense for
Acquisition, Technology and Logistics recommended modifications to the
SBIRS High requirements to meet realistic cost and performance goals.
[Footnote 13]
As we recently testified, there are actions DOD can take to make sure
that new acquisition policies produce better outcomes for acquisitions
of space control systems (or any other space systems). [Footnote 14]
These include:
* structuring programs so that requirements will not outstrip available
resources;
* establishing measures for success for each stage of the development
process so that decisionmakers can be assured that sufficient knowledge
exists about critical facets of a product before investing more time and
money, and;
* placing responsibility for making decisions squarely in those with
authority to adhere to best practices and to make informed trade-off
decisions.
Our prior reports have recommended actions that DOD could take in these
and other areas. [Footnote 15]
Conclusions:
DOD recognizes that space systems are playing an increasingly important
role in DOD‘s overall warfighting capability as well as the economy and
the nation‘s critical infrastructure. Its recent actions are intended
to help elevate the importance of space within the Department, and also
improve coordination, priority setting, and interoperability. But there
are substantial challenges facing DOD‘s efforts to achieve its
objectives for space control. Principally, the services and the U.S.
Space Command have not agreed to the specifics of a strategy,
especially in terms of roles and responsibilities. DOD still lacks an
investment plan that reflects DOD-wide space control priorities and can
guide the development of the services budget submissions for space
control systems and operations. Moreover, it is still questionable
whether DOD can successfully apply best practices to its space control
acquisitions. Clearly, success for space control will depend largely on
the support of top leaders to set goals and priorities, ensure an
overall investment plan meets those goals and priorities, as well as
encourage implementation of best practices.
Recommendations for Executive Action:
To better meet the challenges facing efforts to strengthen DOD‘s space
control mission, we recommend that the Secretary of Defense align the
development of an integrated strategy with the overall goals and
objectives of the National Security Space Strategy, when issued. The
Secretary should also ensure that the following factors are considered
in finalizing the integrated space control strategy:
* roles and responsibilities of the military services and other DOD
organizations for conducting space control activities;
* priorities for meeting those space control requirements that are most
essential for the warfighter;
* milestones for meeting established priorities, and;
* end states necessary for meeting future military goals in space
control.
We further recommend that the Secretary of Defense develop an overall
investment plan that:
* supports future key goals, objectives, and capabilities that are
needed to meet space control priorities, and;
* supports the end states identified in the integrated space control
strategy, and is aligned with the overall goals and objectives of the
national security space strategy.
Agency Comments and Our Evaluation:
We received written comments on a draft of this report from the
Secretary of Defense. DOD concurred with our findings and
recommendations. It also offered additional technical comments and
suggestions to clarify our draft report, which we incorporated as
appropriate. DOD‘s comments appear in appendix I.
Scope and Methodology:
To identify DOD‘s efforts to strengthen its ability to protect and
defend its space assets and the challenges facing DOD in making those
space control efforts successful, we reviewed the DOD Instruction for
Space Control, U.S. Space Command‘s draft Space Control Strategy, U.S.
Space Command‘s Long Range Plan, military service space master plans,
DOD‘s 1999 Space Policy, the Report of the Commission to Assess United
States National Security Space Management and Organization, and the 2001
Quadrennial Defense Review. We also reviewed national and DOD space
policies and DOD‘s Future Years Defense program from fiscal year 2002
through 2007.
To understand DOD‘s efforts and challenges, we reviewed the draft
space control strategy and held discussions with officials at the U.S.
Space Command, Colorado Springs, Colorado. To gain a better
understanding of how the services regarded the draft space control
strategy and development of a corresponding investment plan, we held
discussions with and obtained documentation from officials at the Air
Force Space Command, Peterson Air Force Base, Colorado Springs,
Colorado; Air Force Headquarters, Washington, D.C.; the Army Space and
Missile Defense Command, Arlington, Virginia; the Naval Space Command
Detachment, Peterson Air Force Base, Colorado Springs, Colorado; the
Office of the Assistant Secretary of Defense for Command, Control,
Communications and Intelligence; the Joint Staff; Under Secretary of
Defense Comptroller/Chief Financial Officer and Director, Program,
Analysis and Evaluation; the Office of the National Security Space
Architect, Fairfax, Virginia; and the RAND‘s National Security and
Research Division, Washington, D.C. To identify the acquisition
challenges, we reviewed prior GAO reports on practices characterizing
successful acquisition program and held discussions with DOD officials.
Specifically, we held discussions with and obtained documentation from
representatives of the Under Secretary of Defense for Acquisition,
Technology, and Logistics and officials with the Air Force/National
Reconnaissance Office Integration Planning Group.
We performed our work from July 2001 through July 2002 in accordance
with generally accepted government auditing standards. We are sending
copies of this report to the Secretaries of the Army, the Navy, and the
Air Force; the Director of the Office of Management and Budget; and
interested congressional committees. We will also make copies available
to others on request.
The head of a federal agency is required under 31 U.S.C. 720 to submit a
written statement of actions taken on our recommendations to the Senate
Committee on Governmental Affairs and the House Committee on Government
Reform no later than 60 days after the date of the report and to the
Senate and House Committee on Appropriations with the agency‘s first
request for appropriations made more than 60 days after the date of the
report. In addition, the report will be available at no charge at the
GAO Web site at [hyperlink, http://www.gao.gov].
If you or your staff have any questions, please contact me at (202) 512-
4841 or Jim Solomon at (303) 572-7315. The key contributors to this
report are acknowledged in appendix II.
Sincerely yours,
Signed by:
R. E. Levin:
Director:
Acquisition and Sourcing Management:
[End of section]
Appendix I: Comments from the Department of Defense:
Office Of The Assistant Secretary Of Defense:
Command, Control, Communications, And Intelligence:
6000 Defense Pentagon:
Washington, DC 20301-6000:
September 12, 2002:
Mr. Robert E. Levin:
Director:
Acquisition and Sourcing Management:
U.S. General Accounting Office:
441 G Street. N.W.
Washington, D.0 20548:
Dear Mr. Levin:
This is the Department of Defense (DoD) response to the GAO draft
report, 'Military Space Operations: Planning, Funding, and Acquisition
Challenges Facing Efforts to Strengthen Space Control', dated August 2,
2002, (GAO Code 120078/GAO-02-738).
The detailed DoD comments in response to the GAO recommendations are
provided in the enclosure. Suggested technical changes for
clarification and accuracy have also been included.
The Department appreciates the opportunity to comment on the draft
report.
Sincerely,
Signed by:
Roger E. Robb, Col, USAF:
Director, Space Programs:
ODASD(C3ISR, Space & IT Programs):
Enclosure: As Stated:
GAO Draft Report - Dated August 2, 2002:
GAO Code 120078/GAO-02-738:
"Military Space Operations: Planning, Funding, and Acquisition
Challenges Facing Efforts to Strengthen Space Control"
Department of Defense Comments:
Recommendation 1; The GAO recommended that the Secretary of Defense
ensure that following factors are considered in finalizing the
integrated space control strategy:
* roles and responsibilities of the military services and other DOD
organizations for conducting space control activities;
* priorities for meeting those space control requirements that are most
essential for the warfighter;
* milestones for meeting established priorities, and;
* end states necessary for meeting future military goals in space
control.
* Furthermore, the development of an integrated strategy should be
aligned with the overall goals and objectives of the National Security
Space Strategy, when issued.
DOD Response: Concur.
Recommendation 2: The GAO recommended that the Secretary of Defense
develop an overall investment plan that:
* supports future key goals, objectives and capabilities that are
needed to meet space control priorities;
* supports the end states identified in the integrated space control
strategy, and is aligned with the overall goals and objectives of the
national security space strategy.
DOD Response: Concur.
[End of enclosure]
[End of section]
Footnotes:
[1] DOD Directive 3100.10, Space Policy, July 9, 1999, defines space
control as ensuring freedom of action in space for the United States
and its allies and, when directed, deny an adversary freedom of action
in space. This is accomplished through surveillance, protection,
prevention, and negation.
[2] DOD defines end state as the set of required conditions that
defines achievement of objectives.
[3] Report of the Commission to Assess United States National Security
Space Management and Organization, Pursuant to Public Law 106-65,
January 11, 2001.
[4] Similar challenges were also recognized in the 2001 Quadrennial
Defense Review that serves as the overall strategic planning document
of DOD.
[5] U.S. General Accounting Office, Defense Space Activities: Status of
Reorganization, GAO-02-772R (Washington, D.C.: June 26, 2002).
[6] The U.S. Space Command is responsible for establishing operational
requirements and the services are responsible for satisfying these
requirements to the maximum extent practicable through their planning,
programming, and budgeting system.
[7] U.S. General Accounting Office, National Space Issues: Observations
on Defense Space Programs and Activities, GAO/NSIAD-94-253 (Washington,
D.C.: Aug. 1994) and Defense Acquisitions: Improvements Needed in
Military Space Systems‘ Planning and Education, GAO/NSIAD-00-81
(Washington, D.C.: May 2000).
[8] U.S. General Accounting Office, Defense Acquisitions: Space-Based
Infrared System-low at Risk of Missing Initial Deployment Date, GAO-01-
6 (Washington, D.C.: Feb. 2001).
[9] The Secretary of Defense has not yet officially designated the Air
Force as executive agent for space. An executive agent is a term used
to indicate a delegation of authority by the Secretary of Defense to a
subordinate to act on the Secretary‘s behalf.
[10] According to the Space Commission report, some priority areas
might include improved space situational awareness and attack warning
capabilities, a more robust science and technology program for
developing and deploying space-based radar, space-based laser, and
hyper-spectral sensors and reusable launch vehicle technology.
[11] U.S. General Accounting Office, Defense Acquisitions: Space-Based
Infrared System-low at Risk of Missing Initial Deployment Date, GAO-01-
6 (Washington D.C.: Feb. 28, 2001).
[12] Although the information provided here is unclassified, our SBIRS-
High report is classified.
[13] In May 2002, after experiencing unit cost increases exceeding 25
percent, the Under Secretary of Defense for Acquisition, Technology and
Logistics certified to Congress, as required by the legislative
provision known as Nunn-McCurdy, 10 U.S.C. 2433, that the program is
essential to national security, in order to permit the program to
continue. The Under Secretary of Defense for Acquisition, Technology
and Logistics was required to make this written certification before
appropriated funds could be obligated for the program.
[14] U.S. General Accounting Office, Defense Acquisitions: DOD Faces
Challenges in Implementing Best Practices, GAO-02-469T (Washington,
D.C.: Feb. 27, 2002).
[15] U.S. General Accounting Office, Best Practices: Better Matching of
Needs and Resources Will Lead to Better Weapon System Outcomes, GAO-01-
288 (Washington, D.C.: Mar. 8, 2001); U.S. General Accounting Office,
Best Practices: DOD Teaming Practices Not Achieving Potential Results,
GAO-01-510 (Washington, D.C.: Apr. 10, 2001); and U.S. General
Accounting Office, Best Practices: Capturing Design and Manufacturing
Knowledge Early Improves Acquisition Outcomes, GAO-02-701 (Washington,
D.C.: July 15, 2002).
[End of section]
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