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GAO-10-315R: 

United States Government Accountability Office: 
Washington, DC 20548: 

January 14, 2009: 

The Honorable John Murtha:
Chairman:
Subcommittee on Defense:
Committee on Appropriations:
House of Representatives: 

Subject: Briefing on Commercial and Department of Defense Space System 
Requirements and Acquisition Practices: 

Dear Mr. Chairman: 

The Department of Defense (DOD) has had long-standing difficulties 
developing and delivering space systems on time and within budget. 
Some programs have been delayed by years and cost billions of dollars 
more than their initial estimates. Attempts to reform DOD space 
acquisitions in the past have sought to leverage commercial approaches 
or rely more on the commercial sector to meet DOD needs. These efforts 
have not been successful and, in some cases, have exacerbated 
problems, particularly with respect to oversight. 

In view of past challenges with adopting commercial approaches, you 
requested we examine the following questions: (1) What are the 
differences between commercial and national security space system 
missions, requirements, and technology development? (2) What 
acquisition practices adopted by commercial companies could be used 
for national security space system acquisitions? (3) Which acquisition 
practices adopted by commercial companies may not be readily adaptable 
for national security space system acquisitions? The attached briefing 
provides the results of our review. This letter provides a brief 
summary of how we conducted our work and the results of our review. 

Scope and Methodology: 

To conduct our review, we interviewed officials and reviewed and 
analyzed documentation on missions, requirements, and technology 
development from all major U.S. commercial satellite manufacturers and 
selected service providers, the two major space industry associations, 
a major space insurance broker, and from DOD--Office of the Secretary 
of Defense, Air Force Headquarters and Space and Missile Systems 
Center, and other organizations responsible for acquisition oversight, 
cost analysis, and program analysis of national security space 
programs. We interviewed officials from commercial and DOD 
organizations and reviewed documentation of their space acquisition 
practices, and compared and contrasted these practices to best 
practices GAO has previously reported on. Based on interviews and GAO 
reports on space system acquisitions and best practices, we determined 
whether specific commercial practices--such as requirements 
definition, technology maturity, contracting, and cost estimating--may 
or may not be readily adaptable and beneficial to national security 
space acquisition programs. It should be noted that the commercial 
companies we interviewed are not formally recognized as "best 
practices" companies; however, many of these practices align with best 
practices we have previously reported on. 

It should also be noted that our assessment of the applicability of 
space acquisition practices adopted by U.S. commercial companies is 
focused primarily on unclassified DOD acquisitions and may not be 
applicable to classified National Reconnaissance Office (NRO) 
acquisitions because we have not reviewed NRO systems and 
requirements. However, under this review, we met with and obtained 
perspectives on acquisition practices from NRO officials, which we 
incorporated as appropriate. 

We conducted this performance audit from November 2008 to August 2009, 
in accordance with generally accepted government auditing standards. 
Those standards require that we plan and perform the audit to obtain 
sufficient, appropriate evidence to provide a reasonable basis for our 
findings and conclusions based on our audit objectives. We believe 
that the evidence obtained provides a reasonable basis for our 
findings and conclusions based on our audit objectives. We provided a 
draft of the enclosed briefing to DOD officials for their review and 
comment. In an August 25, 2009 response, DOD generally agreed with the 
information presented and provided technical comments. 

Summary: 

We found that although DOD and the commercial sector both use 
satellites for missions such as communications and imagery, DOD's 
requirements are often more demanding. Consequently, while the 
commercial sector prefers to utilize only mature technologies in 
satellite development, DOD satellite development typically involves 
the development of new technologies to meet its more stringent needs. 
Additionally, DOD--in mission areas such as missile warning and space 
surveillance--has requirements that do not exist in the commercial 
sector. In these areas, DOD funds technology development and acquires 
specific capabilities because they are not commercially available. 
Overall, the commercial satellite sector delivers satellites faster 
than the DOD space sector and it typically does so within estimated 
costs. In many cases, there is no commercial market that DOD can turn 
to for innovations in space systems--it must either assume leadership 
in technology invention or partner with other space development 
agencies such as NASA. Moreover, the missions and requirements DOD is 
pursuing, along with the need to serve a variety of highly specialized 
users, have significant implications on the size, complexity, and risk 
of its space programs. 

While commercial and DOD space system missions, requirements, and 
technology development differ in key ways, the commercial sector has 
adopted practices that could be applied to DOD space system 
acquisitions to improve cost, schedule, and performance outcomes. For 
instance, commercial firms define their requirements before initiating 
development programs, which helps to close resource gaps prior to 
program start and limit requirements growth. They tie contractor award 
and incentive fees to acquisition outcomes. They follow evolutionary 
product development approaches that enable them to achieve gradual 
gains in capability in relatively short periods while limiting the 
extent of technology risk they take on in any one increment. The 
commercial approach, overall, emphasizes gaining critical knowledge 
before making long-term commitments. GAO has already recommended these 
practices for DOD adoption. DOD, in fact, has recognized a need to 
adopt several of these practices and initiated efforts to do so. 

At the same time, some acquisition practices adopted by the commercial 
sector, including exclusive use of firm, fixed-price contracts and 
developing highly accurate cost estimates, may not be successfully 
applied to DOD in its current acquisition environment because of 
factors such as unique requirements and immature technologies at 
program start. For instance, the use of firm, fixed-price contracts 
for procuring satellites would require a change in paradigm for DOD 
space programs--a much higher level of knowledge, including mature 
technologies and mature design--prior to the start of a program. 
Currently, however, DOD accepts greater technology and development 
risks and typically uses cost-reimbursement contracts for the first 
two satellites to be developed and produced. Some programs use fixed-
price contracts for any additional satellites. Using fixed-price 
contracts for the development phase of a program has not worked well, 
partly due to the high level of unknowns accepted at program start. In 
addition, other factors, such as launch delays, program funding 
instability, changing needs, and the diverse array of organizations 
involved in DOD space programs pose additional challenges to the use 
of firm, fixed-price contracts. 

In our briefing, we concluded that given the magnitude of 
unanticipated cost and schedule growth on DOD space system acquisition 
programs over the last decade, there is a clear need to adopt 
practices that emphasize attaining knowledge up front, minimize 
requirements changes late in programs, and provide the right support 
and accountability to both program managers and contractors. The 
commercial companies we studied were consistent in their adoption of 
such approaches and the belief that knowledge-based development has 
enabled them to shorten delivery time frames and limit cost growth. 
While DOD programs have more inherent risks, DOD has recognized that 
its programs can greatly benefit from adopting similar practices and 
has initiated actions to do so. 

Previous GAO reports and testimonies have identified potential 
obstacles to making these improvements as well as areas that still 
need to be addressed. We have also stressed that adopting commercial 
approaches should not equate to relaxed oversight and decreased 
government technical expertise, as has been the case in the past. 
Rather, we have recommended how DOD can make trade-offs to reduce 
risks earlier and better manage those risks that it does accept. DOD 
has generally concurred with these recommendations and has taken 
measures to address them, including changes to acquisition policies 
and acquisition practices. 

Agency Comments: 

We provided draft copies of this letter and briefing to DOD for review 
and comment. DOD concurred with the content and message presented and 
had no written comments. 

We are sending copies of this letter and briefing to Department of 
Defense and other interested congressional committees. In addition, 
these documents will be available at no charge on GAO's Web site at 
[hyperlink, http://www.gao.gov]. 

If you or your staff have any questions, please contact me at (202) 
512-4841 or chaplainc@gao.gov. Contact points for our Offices of 
Congressional Relations and Public Affairs may be found on the last 
page of this letter. Principal contributors to this project were 
Arthur Gallegos, Assistant Director; Martin G. Campbell; Kristine R. 
Heuwinkel; Laura T. Holliday; Richard Y. Horiuchi; Sylvia Schatz; and 
Peter E. Zwanzig. 

Sincerely yours, 

Signed by: 

Cristina T. Chaplain:
Director, Acquisition and Sourcing Management: 

Enclosures - 1: 

[End of section] 

Enclosure I: Briefing Slides: 

Briefing to Staff of the Subcommittee on Defense, House Appropriations 
Committee: 

August 2009: 

Commercial and Department of Defense Space System Requirements and
Acquisition Practices: 

Contents: 
* Introduction: 
* Results in Brief: 
* Background: 
* Scope and Methodology: 
* Findings: 
* Concluding Observations:
* Backup Slides: 

Introduction: 

The Department of Defense (DOD) has had long-standing difficulties 
developing and delivering space systems on time and within budget. 
Some programs have been delayed by years and cost billions of dollars 
more than their initial estimates. Attempts to reform DOD space 
acquisitions in the past have sought to leverage commercial approaches 
or rely more on the commercial sector to meet DOD needs. These efforts 
have not been successful and, in some cases, have exacerbated 
problems, particularly with respect to oversight. In view of past 
challenges with adopting commercial approaches, this briefing 
addresses the following objectives: 

1. What are the differences between commercial and national security 
space system missions, requirements, and technology development? 

2. What acquisition practices adopted by commercial companies could be 
used for national security space system acquisitions? 

3. Which acquisition practices adopted by commercial companies may not 
be readily adaptable for national security space system acquisitions? 

Results in Brief: 

Although DOD and the commercial sector both use satellites for 
missions such as communications and imagery, DOD's requirements are 
often more demanding. Consequently, while the commercial sector 
prefers to utilize only mature technologies in satellite development, 
DOD satellite development typically involves the development of new 
technologies to meet its more stringent needs. Additionally, DOD—in 
mission areas such as missile warning and space surveillance—has 
requirements that do not exist in the commercial sector. In these 
areas, DOD funds technology development and acquires specific 
capabilities because they are not commercially available. 

While commercial and DOD space system missions, requirements, and 
technology development differ in key ways, the commercial sector has 
adopted practices that could be applied to DOD space system 
acquisitions to improve cost, schedule, and performance outcomes. Many 
of these are practices GAO has already recommended for DOD adoption. 
They emphasize gaining critical knowledge before making long-term 
commitments. DOD, in fact, has recognized a need to adopt several of 
these practices and initiated efforts to do so. 

At the same time, some acquisition practices adopted by the commercial 
sector, including exclusive use of firm, fixed-price contracts and 
developing highly accurate cost estimates, may not be successfully 
applied to DOD in its current acquisition environment because of 
factors such as unique requirements and immature technologies at 
program start. 

Background: Commercial Satellite Industry Overview: 

* Global revenues from commercial satellite activity in 2008 totaled 
$7.2 billion—$5.2 billion manufacturing; $2.0 billion launch. 

* U.S. revenues from commercial satellite activity in 2008 totaled 
$2.0 billion ($1.8 billion manufacturing; $0.2 billion launch). 

Table: 
					
Revenues from U.S. satellite manufacturing and launch activity: 

Total U.S. satellite manufacturing (government & commercial): 
2004: $3.9 billion; 
2005: $3.2 billion; 
2006: $5.0 billion; 
2007: $4.8 billion; 
2008: $3.1 billion. 

U.S. commercial satellite manufacturing (% US total): 
2004: $1.4 billion; (35.9%); 
2005: $1.3 billion; (40.6%); 
2006: $1.9 billion; (38.0%); 
2007: $2.2 billion; (45.8%); 
2008: $1.8 billion; (58.1%). 

U.S. commercial launch: 
2004: $0.4 billion; 
2005: $0.1 billion; 
2006: $0.1 billion; 
2007: $0.2 billion; 
2008: $0.2 billion. 

Total U.S. commercial satellite activity (rows 2+3): 
2004: $1.8 billion; 
2005: $1.4 billion; 
2006: $2.0 billion; 
2007: $2.4 billion; 
2008: $2.0 billion. 

Sources: GAO analysis of Satellite Industry Association, Futron 
Corporation, and Federal Aviation Administration FAA) data. 

Note: All satellite manufacturing revenues are recognized in the year 
of satellite launch, and geographically determined by location of 
manufacturers' headquarters. 

[End of table] 

* Primary U.S. commercial satellite manufacturers: six: 
- Ball Aerospace, Boeing, General Dynamics, Lockheed Martin Commercial 
Space Systems, Orbital Sciences, Space Systems/Loral. 

Table: Commercial U.S.-manufactured satellites launched per year 2004 
through 2008: 

Year: 2004; 
Satellites launched: 12. 

Year: 2005	
Satellites launched: 10. 

Year: 2006	
Satellites launched: 12. 

Year: 2007	
Satellites launched: 19. 

Year: 2008
Satellites launched: 10. 

Source: GAO analysis of FAA data. 

Note: Only satellites intended for operational use are included in 
this count, and not those intended solely for test, development, or
scientific research. Commercial satellites are defined as those 
serving a commercial function or operated by a commercial entity. 

[End of table] 

* Typical cost of commercial satellites: $75 million—$300 million. 

* Typical commercial program length: about 2-3 years. 

Background: DOD Satellite Acquisition Overview: 

* DOD investment in major space programs in 2008 totaled $6.1 billion--
$3.2 billion for research, development, test and evaluation (RDT&E); 
$1.2 billion for procurement; $1.6 billion for launch (Evolved 
Expendable Launch Vehicle). 

* Primary U.S. defense satellite manufacturers: three: 
- Boeing, Lockheed Martin, Northrop Grumman. 

Table: DOD satellites launched per year, 2004 through 2008: 

Year: 2004; 
Satellites launched: 5. 

Year: 2005	
Satellites launched: 4. 

Year: 2006	
Satellites launched: 5. 

Year: 2007	
Satellites launched: 6. 

Year: 2008
Satellites launched: 2. 

Source: GAO analysis of FAA data. 

Note: Only satellites intended for operational use are included in 
this count, and not those intended solely for test, development, or 
scientific research. DOD satellites are defined as those manufactured 
for DOD or any of its military services, or for service-related 
entities such as the National Reconnaissance Office and Defense 
Advanced Research Projects Agency. 

[End of table] 

* Program acquisition unit cost of current major DOD satellite 
acquisition programs: $216.3 million—$3.1 billion; 
- For satellite communications programs—Advanced Extremely High 
Frequency, Mobile User Objective System, and Wideband Global SATCOM—
the range is $414.6 million—$2.6 billion. 

* Schedule from program start to first launch of current major DOD 
satellite acquisition programs: about 5 to 14 years. 

Table: DOD Investment in Major Space Programs (Fiscal year 2009 
dollars in millions[A]): 

RDT&E: 
Year: 2008: $3,204.4; 
Year: 2009: $2,996.2; 
Year: 2010: $2,751.2; 
Year: 2011: $2,452.9; 
Year: 2012: $1,933.9; 
Year: 2013: $1,836.1. 

Procurement: 
Year: 2008: $2,859.7; 
Year: 2009: $4,185.0; 
Year: 2010: $4,369.6; 
Year: 2011: $3,115.2; 
Year: 2012: $3,276.7; 
Year: 2013: $2,829.2. 

Other[B]: 
Year: 2008: $22.5; 
Year: 2009: $17.5; 
Year: 2010: $18.1; 
Year: 2011: $10.5; 
Year: 2012: $12.2; 
Year: 2013: $0.0. 

Total: 
Year: 2008: $6,086.6; 
Year: 2009: $7,198.7; 
Year: 2010: $7,138.8; 
Year: 2011: $5,578.6; 
Year: 2012: $5,222.7; 
Year: 2013: $4,665.3. 

Source: GAO analysis of fiscal year 2009 DOD data. Note: Numbers may 
not add due to rounding. 

[A] Includes the following programs: Advanced Extremely High 
Frequency, Evolved Expendable Launch Vehicle, Global Broadcast 
Service, Naystar Global Positioning System, Global Positioning System 
IIIA, Mobile User Objective System, National Polar-orbiting 
Operational Environmental System, Space Based Infrared System High, 
Space Based Space Surveillance Block 10, Space Tracking and 
Surveillance System, and Wideband Global SATCOM. Does not include 
development efforts that have yet to formally initiate acquisitions, 
including Third Generation Infrared Surveillance, Infrared 
Augmentation Satellite, and Transformational Satellite Communications 
System. 

[B] Other includes military construction and acquisition operations 
and maintenance costs. 

[End of table] 

Some of DOD's Past Attempts to Leverage Commercial Practices Were 
Unsuccessful: 

One of DOD's attempts to leverage commercial practices was Total 
System Performance Responsibility (TSPR)[A], which: 

* Aimed to streamline DOD's acquisition process and leverage 
innovation and management expertise from the private sector; 

* Gave contractor total responsibility for the integration of a weapon 
system and for meeting DOD's requirements; 

* Reduced government oversight and shifted key decision-making 
responsibilities onto contractors; 

* Magnified problems on a number of satellite acquisition programs 
because it was implemented in a manner that enabled requirements creep 
and poor contractor performance; 

* For some programs, TSPR resulted in relaxed specifications and 
inspections of the contractor, loss of quality in the manufacturing 
process, and poor-quality parts that caused test failures, unexpected 
redesigns, and late delivery of parts. 

[A] See GAO-07-96 and GAO-09-325. Full citations are provided on 
slides 46 and 47. 

DOD Has Made Erroneous Assumptions in the Past About Leveraging the 
Commercial Sector: 

Wideband Global SATCOM[A]: 

* DOD attempted to leverage commercial demand for satellites with 
similar technologies, but the commercial demand did not materialize; 

* Initial operational capability took twice as long as planned due 
largely to manufacturing problems. 

Evolved Expendable Launch Vehicle[B]: 

* DOD attempted to leverage commercial launch demand but the 
commercial demand did not materialize; 

* The government had to bear most of the cost burden and total program 
costs nearly doubled (increased by about 96 percent) from first to 
latest cost baseline. 

[A] See GAO-07-96, GAO-05-301, and GAO-06-391. 

[B] See GAO-08-1039. 

Scope and Methodology: 

We interviewed officials and reviewed and analyzed documentation on 
missions, requirements, and technology development from all major U.S. 
commercial satellite manufacturers and selected service providers, the 
two major space industry associations, a major space insurance broker, 
and from DOD--Office of the Secretary of Defense, Air Force 
Headquarters and Space and Missile Systems Center, and other 
organizations responsible for acquisition oversight, cost analysis, 
and program analysis of national security space programs. 

We interviewed officials from commercial and DOD organizations and 
reviewed documentation of their space acquisition practices, and 
compared and contrasted these practices to best practices GAO has 
previously reported on. 

Based on interviews and GAO reports on space system acquisitions and 
best practices, we determined whether specific commercial practices —
such as requirements definition, technology maturity, contracting and 
cost estimating — may or may not be readily adaptable and beneficial 
to national security space acquisition programs. 

Limitations: 

* Our assessment of the applicability of space acquisition practices 
adopted by U.S. commercial companies is focused primarily on 
unclassified DOD acquisitions and may not be applicable to classified 
National Reconnaissance Office (NRO) acquisitions because we have not 
reviewed NRO systems and requirements. However, under this review, we 
met with and obtained perspectives on acquisition practices from NRO 
officials, which we incorporated as appropriate. 

* The commercial companies we interviewed are not formally recognized 
as "best practices" companies; however, we identified practices that 
company officials told us helped their programs succeed, and many of 
these practices align with best practices we have previously reported 
on. 

We conducted this performance audit from November 2008 to August 2009, 
in accordance with generally accepted government auditing standards. 
Those standards require that we plan and perform the audit to obtain 
sufficient, appropriate evidence to provide a reasonable basis for our 
findings and conclusions based on our audit objectives. We believe 
that the evidence obtained provides a reasonable basis for our 
findings and conclusions based on our audit objectives. 

Defense Offices Visited: 

Air Force: 

* Under Secretary of the Air Force, Directorate of Space Acquisitions, 
Washington, DC: 

* Space and Missile Systems Center, Los Angeles Air Force Base, CA: 

* Office of the Assistant Secretary for Financial Management and 
Comptroller, Washington, DC: 

Other Defense: 

* Office of the Director, Program Analysis and Evaluation, Washington, 
DC: 

* Office of the Under Secretary of Defense for Acquisition, 
Technology, and Logistics, Washington, DC: 

* Office of the Secretary of Defense, Cost Analysis Improvement Group, 
Washington, DC: 

* National Reconnaissance Office, Chantilly, VA: 

* National Security Space Office, Washington, DC: 

Commercial and Other Organizations Visited: 

Commercial satellite manufacturers: 

* Ball Aerospace & Technologies Corp., Boulder, CO: 

* Boeing Satellite Systems International, El Segundo, CA: 

* Lockheed Martin Commercial Space Systems, Newtown, PA: 

* Orbital Sciences Corp., Dulles, VA: 

* Space Systems/Loral, Palo Alto, CA: 

Other commercial satellite industry: 

* DigitalGlobe, Longmont, CO: 

* Iridium Satellite, LLC, Bethesda, MD: 

* Americom Government Services, McLean, VA: 

* Intelsat, Washington, DC: 

* International Space Brokers, Rosslyn, VA: 

Other: 

* Aerospace Corp., El Segundo, CA: 

* Former Under Secretary of the Air Force, Denver, CO: 

* Futron Corporation, Bethesda, MD: 

* Satellite Industry Association, Washington, DC: 

* Space Foundation, Washington, DC: 

Key Documents Analyzed: 

* DOD acquisition policies. 

* DOD space program-specific documentation, such as Selected 
Acquisition Reports, acquisition decision memoranda, and acquisition 
strategies. 

* Report to Congress of the Independent Assessment Panel on the 
Organization and Management of National Security Space, July 2008. 

* Report of the Defense Science Board/Air Force Scientific Advisory 
Board Joint Task Force on Acquisition of National Security Space 
Programs, May 2003, and update, July 2004. 

* Report of the Commission to Assess United States National Security 
Space Management and Organization, January 2001. 

* GAO reports on space and nonspace acquisitions, best acquisition 
practices, cost estimating, program management, contracting, and 
personnel management. 

Objective 1 Overview: 

Commercial and DOD Missions, Requirements, and Technology Development 
Differ in Key Ways: 

* Missions and Requirements; 

* Technology Development and Maturity. 

Missions and Requirements: 

DOD Satellite Missions and Requirements Differ from Those of the 
Commercial Sector: 

DOD space system acquisitions meet warfighter and intelligence 
community requirements, while commercial space system acquisitions 
meet market demands. 

In some areas, DOD and commercial needs are similar: 
* Communications; 
* Imagery. 

In some areas, DOD and commercial needs converge, but the commercial 
sector relies on government satellites: 
* Position, navigation, and timing; 
* Weather, climate, and environmental monitoring. 

In other areas, DOD has needs that do not apply to the commercial 
sector: 
* Missile warning; 
* Space surveillance; 
* Nuclear detonation detection. 

DOD Uses Commercially Available Satellite Services to Fulfill Some 
Missions: 

When DOD needs have aligned with commercially available satellite 
products, DOD has purchased services from commercial providers: 

* Communications: 
- DOD uses commercial fixed satellite services to augment its own 
satellite communications capabilities; 
- Nevertheless, DOD in some cases tailors these services to meet its 
unique needs. For example, DOD established a government gateway, which 
includes ground-based systems that, among other things, enable users 
to directly access DOD-specific communications systems. 

* Imagery: 
- DOD is the largest purchaser of U.S. commercial satellite imagery; 
- DOD helped fund the development of commercial imagery satellites and 
purchases satellite imagery from DigitalGlobe and GeoEye. 

DOD Requirements Are Often More Stringent Than Those of the Commercial 
Sector: 

For mission areas that apply to both DOD and the commercial sector, 
such as communications and imagery, DOD's requirements often call for 
the delivery of more robust capabilities. 

DOD Communications Satellite Requirements Frequently Differ from Those 
of the Commercial Sector: 

Coverage and availability: DOD typically has more demanding 
requirements for coverage and availability, such as for communications 
using radio frequencies resistant to atmospheric scintillation in 
polar regions and under challenging conditions such as in dense 
foliage and adverse weather. 

Survivability: DOD typically has more demanding standards for 
radiation hardened parts, such as microelectronics, which are: 

* designed and fabricated with the specific goal of enduring the 
harshest space radiation environments, including nuclear events; 

* time consuming to obtain—companies typically need to create separate 
production lines and in some cases special facilities; only small 
volumes are typically produced. 

Jam resistance: DOD has demanding requirements for jam resistance, 
addressed via: 

* frequency hopping in which the transmission codes "hop" across the 
bandwidth at a very rapid rate; 

* nulling antennas that cancel out the impact of jamming emitters 
designed to disrupt U.S. warfighter communications. 

Secure communications: DOD has requirements for sophisticated 
encryption to enable communications at varying security levels. 

DOD Uses Higher Resolution Imagery Than the Commercial Sector: 

U.S. commercial companies are allowed to sell imagery with a maximum 
of 50 centimeters resolution in black-and-white mode and about 2 
meters in color to non-U.S. government entities. 

GeoEye can provide optical imagery of 41 centimeters black-and-white 
resolution to DOD and other agencies in the intelligence community. 

U.S. government-developed surveillance satellites yield even higher 
resolution. 

Many DOD Requirements Do Not Align with Commercial Needs, Call for 
Technology Invention: 

Many DOD space system acquisitions are designed to meet warfighter and 
intelligence community requirements that do not align with commercial 
needs and often require leading edge technologies. For example: 

* Missile warning and defense: 
- highly sensitive infrared sensors to detect missile heat signatures; 
- cryocoolers that cool focal plane arrays to cryogenic temperatures, 
in some cases down to 10 degrees Kelvin, create minimal vibration, and 
have sufficiently long lifespans. 

* Position, navigation, and timing: 
- several synchronized atomic clocks per satellite to enable accurate 
time signal triangulation; 
- advanced anti-jam capabilities to improve system security, accuracy, 
and reliability. 

* Weather, climate, and environmental monitoring: 
- advanced technology microwave sounder to produce daily global 
atmospheric temperature, humidity, and pressure profiles; 
- cross-tracked infrared sounder to collect measurements of the 
earth's radiation to determine vertical distribution of temperature, 
moisture, and pressure in the atmosphere; 
- visible infrared imager radiometer suite to collect images and 
radiometric data used to provide data on the earth's clouds, 
atmosphere, ocean, and land surfaces. 

* Nuclear detonation detection: 
- technologies to measure neutron time-of-flight spectrum, prompt 
gamma rays from a nuclear detonation, and delayed gamma rays from a 
nuclear detonation debris cloud. 

DOD Frequently Attempts to Meet the Needs of Multiple Customers: 

DOD often attempts to meet the needs of multiple users on one 
satellite, resulting in more missions and/or payloads per satellite, 
for example: 

* The National Polar-orbiting Operational Environmental Satellite 
System (NPOESS) is managed by a tri-agency program office, 
representing the DOD/United States Air Force, the Department of 
Commerce's National Oceanic and Atmospheric Administration, and the 
National Aeronautics and Space Administration. Its original plans 
called for 13 instruments, including 10 environmental sensors and 3 
subsystems to meet the needs of weather forecasters, climatologists, 
and the military. 

* The Space Based Infrared System (SBIRS) is intended to meet 
requirements of various parts of DOD and the intelligence community 
for multiple missions, including missile warning, missile defense, 
technical intelligence, and battlespace awareness. 

Commercial companies frequently attempt to meet the needs of one 
customer per satellite, often resulting in single-mission satellites. 

Technology Development And Maturity: 

Companies That Purchase Commercial Satellites Prefer Mature 
Technologies: 

Companies prefer mature technologies, ideally at technology readiness 
level (TRL) 9 (see slide 48 for definitions of TRLs), so that risks, 
costs, and schedules are known at program start. 

Commercial companies sometimes conduct technology development. When 
they do, development is typically incremental and is conducted prior 
to program start. In addition, more time is allotted to manufacture 
satellites that incorporate a new technology due to the need for 
additional integration work. 

Although companies prefer to use mature technologies for commercial 
satellites, they sometimes employ fairly sophisticated technologies, 
such as: 

* Large unfurlable antenna reflectors to reduce satellite launch 
volume; 

* Lithium-ion batteries for reduced satellite weight; 

* Ion propulsion for reduced satellite weight; 

* Phased array antennas for agile coverage. 

DOD Funds Technology Development When Needed Technologies Are Not 
Commercially Available: 

To meet requirements that are unique to DOD, the government has 
supported development of many leading-edge technologies (such as those 
shown on slide 24). For these technologies, the industrial base is 
supported in large part by DOD, the intelligence community, and NASA. 

However, rather than maturing technologies in a robust science and 
technology (S&T) environment prior to program start, DOD has 
frequently allowed immature technologies into space programs. For 
example, we have identified several DOD satellite programs in which 
multiple technologies were below TRL 6 at program start, such as 
Advanced Extremely High Frequency, NPOESS, SBIRS High, and SBIRS Low. 

Development Risk Increases with the Number of New Technologies in a 
Program: 

According to a 2007 National Research Council Space Studies Board 
report: 

* Cost growth is closely related to development risk, which increases 
nonlinearly with the number of new technologies. As more immature 
technologies are included in a program, the likelihood of cost and 
schedule problems increases substantially. 

[End of Objective 1] 

Objective 2 Overview: 

Some Commercially Adopted Practices Could Be Applied to DOD Space 
System Acquisitions: 

* Mature critical technologies prior to program start; 

* Use evolutionary product development; 

* Define requirements to close resource gaps prior to program start 
and limit requirements growth; 

* Tie contractor award/incentive fees to acquisition outcomes; 

* Empower program managers and hold them accountable; 

* Obtain independent oversight. 

Ensure Technologies Are Mature Prior to Beginning an Acquisition 
Program: 

Commercial practice: Use only mature technologies: 
* Companies typically look to the government to push and prove 
technologies first. 
* Technologies included are typically at TRL 9, in order to foster 
program stability, ensure reliability, and to obtain favorable 
insurance rates. 
* When technology discovery is conducted, it is done so prior to 
system development. 

Prevailing DOD practice: Historically, has used immature technologies: 
* Unique nature of missions require technology invention/discovery, 
but it is frequently not finished prior to system development. 
* Many technologies below TRL 6 at program start. 
* DOD acquisition policies and congressional legislation reflect 
preference for maturing technologies prior to program start. 
* Recent efforts (e.g., GPS IIIA and Operationally Responsive Space 
efforts) have demonstrated a change to the practice. 

Potential benefit to DOD and obstacles to implementation: Reduce cost 
and schedule inefficiencies: 
* Achieving a high level of technology maturity prior to program 
initiation helps (1) ensure resources and requirements match, and (2) 
avoid concurrently developing technologies, finalizing designs, and 
demonstrating manufacturing processes, which can lead to cost and 
schedule inefficiencies. 
Potential obstacle: 
* There is a long-standing disconnect between the research 
laboratories and acquisition programs; DOD lacks an S&T strategy for 
space; and the funding process favors acquisitions over S&T programs. 

Unless Revolutionary Technologies Are Required, Use Evolutionary 
Product Development: 

Commercial practice: Development is evolutionary: 
* To achieve stability, reduce risk, and enable short program 
schedules: (1) new design elements and new parts are minimized, and 
(2) standardized designs and parts are tailored as needed for 
customers. This enables companies to focus attention on critical 
design, development, and integration.
* Design elements not achievable in the initial development are 
planned for future generations of the product, which allows time for 
technologies to mature. 

Prevailing DOD practice: Historically, has promised revolutionary 
advances in capabilities: 
* In some cases, revolutionary advances in capabilities may be sought, 
such as for first-time or one-of-a-kind efforts to satisfy a new 
urgent requirement. However, most programs have attempted to satisfy 
all requirements in a single step, regardless of design or technology 
challenges. 
* DOD frequently adopts extensive new designs and custom-made 
spacecraft buses and payloads to meet the needs of multiple users. 
* Recent efforts have adopted a more evolutionary strategy. 

Potential benefit to DOD and obstacles to implementation: Offers an 
initial product quickly and at lower cost while technologies are 
matured for the next increment: 
* While the user may not initially receive the ultimate capability 
under this approach, the initial product is available sooner and at a 
lower, more predictable cost. 
* Exceptions would involve efforts, such as the first GPS, that 
introduce a new capability or programs focused on countering new 
threats.
Potential obstacle: 
* Competition for funding incentivizes programs to promise 
revolutionary advances based on optimistic assumptions. 

Define Requirements to Close Resource Gaps Prior to Program Start and 
Limit Requirements Growth: 

Commercial practice: Ensure requirements are well defined prior to 
program start and remain stable: 
* Requirements are well defined prior to program start so that costs 
and feasibility are understood and trade-offs can be made if needed. 
* Requirements are negotiated during the contract proposal process to 
align with the developer’s capabilities and strengths. The percent “new”
 in the design may range from 5-20 percent—for those new aspects, 
robust systems engineering is applied prior to program start to 
minimize unknowns. Afterward, systems engineering is focused on 
integrating mature technologies onto a platform. 

Prevailing DOD practice: Requirements are typically not well defined 
by program start but largely remain stable: 
* Poorly defined requirements have had significant consequences for 
funding, time, and technology development. While in the past, some 
programs experienced requirements creep resulting in large cost and 
schedule increases, DOD has made improvements in this area. 
* Systems engineering is conducted after programs have been funded and 
launched—too late to identify resource gaps, shape requirements, and 
inform estimates. Early focus is on defining requirements and maturing 
new technologies. 

Potential benefit to DOD and obstacles to implementation: Helps reduce 
program cost, schedule, and performance risks: 
* Early systems engineering knowledge helps identify and address gaps, 
such as overly optimistic requirements that cannot be met with current 
resources. 
Potential obstacles: 
* DOD lacks a robust systems engineering functionality. 
* Agreement on requirements for space systems is difficult because a 
diverse array of organizations are involved in setting requirements. 
Once agreement is achieved, it is difficult to change requirements. 

Tie Contractor Award and Incentive Fees to Acquisition Outcomes: 

Commercial practice: Incentives and penalties that emphasize on-time 
delivery and on-orbit performance motivate satellite developers: 
* Satellite customers typically tie about 10 to 20 percent of the 
contract value to successful on-orbit performance of the satellite 
over its expected life, which is frequently 15 years. 
* This performance-based payment is key to developers’ profitability 
and is reduced or eliminated accordingly if there are on-orbit 
problems. 

Prevailing DOD practice: DOD typically uses award and incentive fee 
provisions in its contracts and has withheld fees for poor performance: 
* DOD’s guidance states that award fees must be linked to desired 
outcomes and prohibits payment of award fees to contractors for 
unsatisfactory performance. 
* Almost all current major space acquisitions use award and incentive 
fee provisions in contracts for development of initial satellites. We 
reported that DOD does not consistently evaluate contractors based on 
award-fee criteria related to key acquisition outcomes.[A] 

Potential benefit to DOD and obstacles to implementation: If aligned 
with acquisition outcomes, award and incentive fees might motivate 
good contractor performance: 
* We recently reported that DOD has achieved savings on some programs 
by limiting the opportunities for earning unearned fees in subsequent 
periods and tying award fee criteria to acquisition outcomes.[A] 
Potential obstacle: 
* Because DOD has not developed methods to evaluate the effectiveness 
of award fees, it is unaware of whether these contracts are being used 
effectively, poor practices go unnoticed, and positive practices are 
isolated. 

[A] See GAO-06-66 and GAO-09-630. 

Empower Program Managers to Execute Their Programs and Hold Them 
Accountable for Outcomes: 

Commercial practice: Give program managers decision-making authority 
and hold them accountable for acquisition outcomes: 
* Program managers are given direct responsibility for the direction, 
planning, assessment, and resource control of their programs, which 
are fully funded at outset. 
* Program managers are held accountable for their decisions and their 
performance evaluation is based on how well they meet cost, schedule, 
and performance elements. 
* Program managers are not held accountable for matters beyond their 
control. 

Prevailing DOD practice: Program managers lack strong authority and 
are generally not held accountable for executing programs within 
targets: 
* Program managers: have little control over funding stability of 
incrementally funded programs and shifting funds within programs; 
cannot veto new program requirements, which may overly stretch their 
programs; and have little authority over staffing. 
* Because there are so many aspects of programs outside the program 
manager’s control, DOD is unable to hold them accountable. 
* In the past, DOD program managers had more authority. 

Potential benefit to DOD and obstacles to implementation: Improve 
performance, cost, and schedule outcomes: 
* Empowers program managers and holds them accountable for delivering 
new products when needed within quality, cost, and performance targets. 
Potential obstacle: 
* Measures to empower program managers and hold them accountable will 
not be as effective as they could until DOD ensures that acquisition 
programs are executable, i.e., the needs can best be met with the 
chosen concept and the concept can be developed and produced within 
existing resources. 

Obtain Independent Oversight of Satellite Developers: 

Commercial practice: Insurers provide independent oversight of 
satellite developers: 
* The insurance industry plays a significant role in overseeing 
satellite acquisitions and ensuring quality. 
* Insurance underwriters consider factors such as favorable on-orbit 
performance records and use of reliable and flight-proven technology 
when determining insurance terms. 
* In order for customers to obtain favorable insurance terms, 
developers adhere to strict quality standards. 

Prevailing DOD practice: Some independent oversight is applied: 
* While DOD does not obtain insurance for its satellite programs, some 
independent oversight is currently being applied. 
* Defense Contract Management Agency (DCMA) and Defense Contract Audit 
Agency (DCAA) provide independent oversight of developers’ activities. 

Potential benefit to DOD and obstacles to implementation: Helps to 
ensure quality program outcomes: 
* Provides independent perspectives on program cost, schedule, and 
performance risks. 
Potential obstacle: 
* DOD’s quality assurance workforce, and the amount of oversight it 
can provide, has decreased. 

[End of Objective 2] 

Objective 3 Overview: 

In the Current Acquisition Environment, Some Commercially Adopted 
Practices May Not Be Readily Adaptable to DOD Space System 
Acquisitions: 

* Exclusive use of firm, fixed-price contracts; 
* Highly accurate satellite cost estimates; 
* Maintenance of long-term relationships with suppliers. 

Contract Type: While Commercial Firms Exclusively Use Firm, Fixed-
Price Contracts, DOD Varies Contract Types: 

Commercial practice: Exclusive use of firm, fixed-price contracts: 
* Commercial customers are risk averse and use firm, fixed-price 
contracts to better ensure cost, schedule, and performance parameters 
are well understood. 

Prevailing DOD practice: Typically uses cost-reimbursement contracts: 
* DOD accepts greater technology and development risks. Costs 
associated with technology invention are difficult to estimate. 
* Our work has found that fixed-price contracting generally has not 
worked for DOD space systems due to the high level of unknowns 
accepted at program start. 
* Almost all current major satellite programs use cost-reimbursement 
contracts for the first two satellites to be developed and produced. 
Some programs use fixed-price contracts for any additional satellites. 

Reasons why practice may not be readily adaptable to DOD in current 
acquisition environment: Higher DOD risk levels may require multiple 
contracting options: 
* There is ongoing debate regarding whether firm, fixed-price 
contracting could be applied to DOD space systems. 
* Use of firm, fixed-price contracting for the first two satellites 
would require a change in paradigm for DOD space programs—a much 
higher level of knowledge, including mature technologies and mature 
design, would be required prior to program start. 
* Other factors, such as launch delays, funding instability, and 
changing needs pose additional challenges to the use of firm, fixed-
price contracts. 

Cost Estimating: Commercial Satellite Cost Estimates Are More Accurate 
Than DOD Cost Estimates: 

Commercial practice: Costs are estimated at an 80 to 90 percent 
confidence level and accurately capture program content and risk: 
* Firm, fixed-price contracting motivates developers to fully 
understand costs, which in turn makes cost estimates at the 80 to 90 
percent confidence level more feasible. 
* Cost estimates accurately capture program content and risk because 
developers minimize design changes, rely on mature technologies, and 
use multiple information sources to build and cross-check estimates. 

Prevailing DOD practice: Now aims to estimate costs at the 80 percent 
confidence level, but significant unknowns remain about program 
content and risk: 
* Back-to-basics policy calls for space acquisition cost estimates at 
the 80 percent confidence level. Recent legislation requires 
justification of lower confidence level estimates. 
* Costs for DOD space acquisitions in recent decades have been 
consistently underestimated, exacerbating acquisition problems. 
* Recent legislation elevates the role of DOD’s independent cost 
estimating function. 

Reasons why practice may not be readily adaptable to DOD in current 
acquisition environment: Significant unknowns at program initiation 
make it difficult to develop more accurate cost estimates: 
* DOD officials stated that the requirement to estimate at the 80 
percent confidence level would render the space portfolio unaffordable 
due to the significant unknowns at the time programs are initiated. 
* In order to develop substantially more accurate estimates,risks 
related to factors such as unique requirements and first time use of a 
technology limit DOD’s ability to develop realistic cost estimates and 
would need to be retired prior to program initiation. 

Supply Chain Relationships: Commercial Firms Foster Long-Term 
Relationships with Suppliers While DOD Fosters Competition: 

Commercial practice: Strive to maintain long-term relationships with 
suppliers: 
* Commercial satellite manufacturers often have long-term 
relationships with suppliers. 
- Some companies’ sufficiently large and steady manufacturing volume 
of satellites that are somewhat standardized enables them to provide 
their subcontractors with steady business and to have more than one 
supplier for a given part. 

Prevailing DOD practice: DOD is impartial to long-term working 
relationships with suppliers: 
* Because DOD is focused on obtaining a lower cost for its space 
acquisitions, DOD has sacrificed long-term relationships to start new 
ones if it appears likely to lower costs. 

Reasons why practice may not be readily adaptable to DOD in current 
acquisition environment: Federal Acquisition Regulation (FAR) 
encourages competition in the acquisition process: 
* Promoting competition is one of the guiding principles of the FAR. 
* While some DOD officials indicated support for longer-term 
relationships with suppliers, DOD’s efforts to promote competition, 
lower satellite acquisition volume, and its custom satellite designs 
may limit opportunities for long-term relationships. 

[End of Objective 3] 

Concluding Observations: 

The commercial satellite sector delivers satellites faster than the 
DOD space sector and it typically does so within estimated costs. 
However, DOD and the commercial sector are seeking to develop very 
different capabilities. In many cases, there is no commercial market 
which DOD can turn to for innovations in space systems—it must either 
assume leadership in technology invention or partner with other space 
development agencies such as NASA. Moreover, the missions and 
requirements DOD is pursuing, along with the need to serve a variety 
of highly specialized communities, have significant implications on 
the size, complexity, and risk of its space programs. 

Nevertheless, given the magnitude of unanticipated cost and schedule 
growth on DOD space system acquisition programs over the last decade, 
there is a clear need to adopt practices that emphasize attaining 
knowledge up front, minimize requirements changes late in programs, 
and provide the right support and accountability for both program 
managers and contractors. The commercial companies we studied were 
consistent in their adoption of such approaches and their belief that 
knowledge-based development has enabled them to shorten delivery 
timeframes and limit cost growth. While DOD programs will continue to 
have more inherent risks, DOD has recognized that its programs can 
greatly benefit from adopting similar practices and has initiated 
actions to do so. 

Previous GAO reports and testimonies have identified potential 
obstacles to making these improvements as well as areas that still 
need to be addressed. We have also stressed that adopting commercial 
approaches should not equate to relaxed oversight and decreased 
government technical expertise as has been the case in the past. 
Rather, we have recommended how DOD can make tradeoffs to reduce risks 
earlier and better manage those that it does accept. DOD has generally 
concurred with these recommendations and has taken measures to address 
them, including changes to acquisition policies and acquisition 
practices. 

A list of some of our prior recommendations is provided on slides 44 
and 45. 

[End of section] 

Backup Slides: 

Prior GAO Recommendations: Actions Needed to Address Space and Weapon 
Acquisition Problems: 

Before undertaking new programs: 

* Prioritize investments so that projects can be fully funded and it 
is clear where projects stand in relation to the overall portfolio. 

* Follow an evolutionary path toward meeting mission needs rather than 
attempting to satisfy all needs in a single step. 

* Match requirements to resources—that is, time, money, technology, 
and people—before undertaking a new development effort. 

* Research and define requirements before programs are started and 
limit changes after they are started. 

* Ensure that cost estimates are complete, accurate, and updated 
regularly. 

* Commit to fully fund projects before they begin. 

* Ensure that critical technologies are proven to work as intended 
before programs are started. 

* Assign more ambitious technology development efforts to research 
departments until they are ready to be added to future generations 
(increments) of a product. 

* Use systems engineering to close gaps between resources and 
requirements before launching the development process. 

During program development: 

* Use quantifiable data and demonstrable knowledge to make go/no-go 
decisions, covering critical facets of the program such as cost, 
schedule, technology readiness, design readiness, production 
readiness, and relationships with suppliers. 

* Do not allow development to proceed until certain thresholds are met—
for example, a high proportion of engineering drawings completed or 
production processes under statistical control. 

* Empower program managers to make decisions on the direction of the 
program and to resolve problems and implement solutions. 

* Hold program managers accountable for their choices. 

* Require program managers to stay with a project to its end. 

* Hold suppliers accountable to deliver high-quality parts for their 
products through such activities as regular supplier audits and 
performance evaluations of quality and delivery, among other things. 

* Encourage program managers to share bad news, and encourage 
collaboration and communication. 

[End of section] 

Related GAO Products: 

Space Acquisitions: DOD Faces Substantial Challenges in Developing New 
Space Systems, [hyperlink, http://www.gao.gov/products/GAO-09-705T] 
(Washington, D.C.: May 20, 2009). 

Federal Contracting: Guidance on Award Fees Has Led to Better 
Practices But is Not Consistently Applied, [hyperlink, 
http://www.gao.gov/products/GAO-09-630] (Washington, D.C.: May 29, 
2009). 

Defense Acquisitions: Measuring the Value of DOD's Weapons Portfolio 
Requires Starting With Realistic Baselines, [hyperlink, 
http://www.gao.gov/products/GAO-09-543T] (Washington, D.C.: Apr. 1, 
2009). 

Global Positioning System: Significant Challenges in Sustaining and 
Upgrading Widely Used Capabilities, [hyperlink, 
http://www.gao.gov/products/GAO-09-325] (Washington, D.C.: Apr. 30, 
2009). 

Space Acquisitions: Uncertainties in the Evolved Expendable Launch 
Vehicle Program Pose Management and Oversight Challenges, [hyperlink, 
http://www.gao.gov/products/GAO-08-1039] (Washington, D.C.: Sep. 26, 
2008). 

Defense Acquisitions: A Knowledge Based Funding Approach Could Improve 
Major Weapon System Program Outcomes, [hyperlink, 
http://www.gao.gov/products/GAO-08-619] (Washington, D.C.: Jul. 2, 
2008). 

Space Acquisitions: Major Space Programs Still at Risk for Cost and 
Schedule Increases, [hyperlink, 
http://www.gao.gov/products/GAO-08552T] (Washington, D.C.: Mar. 4, 
2008). 

Best Practices: Increased Focus on Requirements and Oversight Needed 
to Improve DOD's Acquisition Environment and Weapon System Quality, 
[hyperlink, http://www.gao.gov/products/GAO-08-294] (Washington, D.C.: 
Feb. 1, 2008). 

Best Practices: An Integrated Portfolio Management Approach to Weapon 
System Investments Could Improve DOD's Acquisition Outcomes, 
[hyperlink, http://www.gao.gov/products/GAO-07-388] (Washington, D.C.: 
Mar. 30, 2007). 

Space Acquisitions: DOD Needs to Take More Action to Address 
Unrealistic Cost Estimates of Space Systems, [hyperlink, 
http://www.gao.gov/products/GAO-07-96] (Washington, D.C.: Nov. 16, 
2006). 

Defense Acquisitions: Assessments of Selected Major Weapon Programs, 
[hyperlink, http://www.gao.gov/products/GAO-06-391] (Washington, D.C.: 
Mar. 31, 2006). 

Best Practices: Better Support of Weapon System Program Managers 
Needed to Improve Outcomes, [hyperlink, 
http://www.gao.gov/products/GAO-06-110] (Washington, D.C.: Nov. 30, 
2005). 

Defense Acquisitions: DOD Has Paid Billions in Award and Incentive 
Fees Regardless of Acquisition Outcomes, [hyperlink, 
http://www.gao.gov/products/GAO-06-66] (Washington, D.C.: Dec.19, 
2005). 

Briefing on DOD's Report on Commercial Communications Satellite 
Services Procurement Processes, [hyperlink, 
http://www.gao.gov/products/GAO-05-1019R] (Washington, D.C.: Sep. 27, 
2005). 

Defense Acquisitions: Incentives and Pressures that Drive Problems 
Affecting Satellite and Related Acquisitions, [hyperlink, 
http://www.gao.gov/products/GAO-05-570R] (Washington, D.C.: Jun. 23, 
2005). 

Defense Acquisitions: Assessments of Selected Major Weapon Programs, 
[hyperlink, http://www.gao.gov/products/GA0-05-301](Washington, D.C.: 
Mar. 31, 2005). 

Best Practices: Capturing Design and Manufacturing Knowledge Early 
Improves Acquisition Outcomes, [hyperlink, 
http://www.gao.gov/products/GAO-02-701] (Washington, D.C.: Jul. 15, 
2002). 

Best Practices: Better Matching of Needs and Resources Will Lead to 
Better Weapon System Outcomes, [hyperlink, 
http://www.gao.gov/products/GA0-01-288] (Washington, D.C.: Mar. 8, 
2001). 

[End of section: 

Table: Technology Readiness Level Descriptions: 

Technology readiness level: 1. Basic principles observed and reported. 	
Description: Lowest level of technology readiness. Scientific research 
begins to be translated into applied research and development. 
Examples might include paper studies of a technology's basic 
properties. 

Technology readiness level: 2. Technology concept and/or application 
formulated. 
Description: Invention begins. Once basic principles are observed, 
practical applications can be invented. The application is speculative 
and there is no proof or detailed analysis to support the assumption. 
Examples are still limited to paper studies. 

Technology readiness level: 3. Analytical and experimental critical 
function and/or characteristic proof of concept. 
Description: Active research and development is initiated. This 
includes analytical studies and laboratory studies to physically 
validate analytical predictions of separate elements of technology. 
Examples include components that are not yet integrated or 
representative. 

Technology readiness level: 4. Component and/or breadboard validation 
in laboratory environment. 
Description: Basic technological components are integrated to 
establish that the pieces will work together. This is relatively "low 
fidelity" compared to the eventual system. Examples include 
integration of "ad hoc" hardware in a laboratory. 

Technology readiness level: 5. Component and/or breadboard validation 
in relevant environment. 
Description: Fidelity of breadboard technology increases 
significantly. The basic technological components are integrated with 
reasonably realistic supporting elements so that the technology can be 
tested in a simulated environment. Examples include "high fidelity" 
laboratory integration of components. 

Technology readiness level: 6. System/subsystem model or prototype 
demonstration in a relevant environment. 
Description: Representative model or prototype system, which is well 
beyond the breadboard tested for TRL 5, is tested in a relevant 
environment. Represents a major step up in a technology's demonstrated 
readiness. Examples include testing a prototype in a high fidelity 
laboratory environment or in simulated realistic environment. 

Technology readiness level: 7. System prototype demonstration in a 
realistic environment. 
Description: Prototype near or at planned operational system. 
Represents a major step up from TRL 6, requiring the demonstration of 
an actual system prototype in a realistic environment, such as in an 
aircraft, vehicle, or space. Examples include testing the prototype in 
a test bed aircraft. 

Technology readiness level: 8. Actual system completed and "flight 
qualified" through test and demonstration. 
Description: Technology has been proven to work in its final form and 
under expected conditions. In almost all cases, this TRL represents 
the end of true system development. Examples include developmental 
test and evaluation of the system in its intended weapon system to 
determine if it meets design specifications. 

Technology readiness level: 9. Actual system "flight proven" through 
successful mission operations. 
Description: Actual application of the technology in its final form 
and under mission conditions, such as those encountered in operational 
test and evaluation. In almost all cases, this is the end of the last 
"bug fixing" aspects of true system development. Examples include 
using the system under operational mission conditions. 

Source: GAO and GAO analysis of National Aeronautics and Space 
Administration data. 

[End of table] 

Figure: TRLs Reveal the Knowledge Gap Regarding a Technology's Ability 
to Satisfy Requirements: 

[Refer to PDF for image: illustration] 

The illustration indicates risk levels depicted as downward 
stairsteps, number from 1 through 9 plotted against 
technology/readiness level. 

Knowledge gap regarding a technology's ability to satisfy requirements 
within cost and schedule constraints exists with higher risk. 

Steps 1 through 5 indicate higher risk if included in product 
development. 

Steps 6 through 9 indicate lower risk if included in product 
development. 

Source: GAO. 

[End of figure] 

Table: Commercial Satellite Industry Overview: (Dollars in billions): 

Revenues from satellite manufacturing and launch activity: 

World manufacturing (government & commercial customers): 
2003: $9.8; 
2004: $10.2; 
2005: $7.8; 
2006: $12.0; 
2007: $11.6; 
2008: $10.5. 

World commercial manufacturing (% world total): 
2003: $1.7; (17.3%); 
2004: $1.8; (17.6%); 
2005: $2.3; (29.5%); 
2006: $3.0; (25.0%); 
2007: $3.8; (32.8%); 
2008: $5.2; (49.5%). 

World commercial launch: 
2003: $1.2; 
2004: $1.0; 
2005: $1.2; 
2006: $1.4; 
2007: $1.5; 
2008: $2.0. 

Total world commercial satellite activity: 
2003: $2.9; 
2004: $2.8; 
2005: $3.5; 
2006: $4.4; 
2007: $5.3; 
2008: $7.2. 

U.S. manufacturing (government & commercial customers): 
2003: $4.6; 
2004: $3.9; 
2005: $3.2; 
2006: $5.0; 
2007: $4.8; 
2008: $3.1. 

U.S. commercial manufacturing (% U.S. total): 
2003: $1.2; (26.1%); 
2004: $1.4; (35.9%); 
2005: $1.3; (40.6%); 
2006: $1.9; (38.0%); 
2007: $2.2; (45.8%); 
2008: $1.8; (58.1%). 

U.S. commercial launch: 
2003: $0.3; 
2004: $0.4; 
2005: $0.1; 
2006: $0.1; 
2007: $0.2; 
2008: $0.2. 

Total U.S. commercial satellite activity (% world commercial satellite 
activity): 
2003: $1.5; (51.7%); 
2004: $1.8; (64.3%); 
2005: $1.4; (40.0%); 
2006: $2.0; (45.5%); 
2007: $2.4; (45.3%); 
2008: $2.0; (27.8%). 

Sources: GAO analysis of Satellite Industry Association, Futon 
Corporation, and Federal Aviation Administration data. 

Note: All satellite manufacturing revenues are recognized in the year 
of satellite launch, and geographically determined by location of 
manufacturers' headquarters. 

[End of table] 

[End of briefing slides] 

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