Weapon Systems:

Prototyping Has Benefited Acquisition Programs, but More Can Be Done to Support Innovation Initiatives

GAO-17-309: Published: Jun 27, 2017. Publicly Released: Jun 27, 2017.

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sullivanm@gao.gov

 

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DOD invests roughly $70 billion annually in weapon system research and development, including prototyping—the development and testing of a model or weapon system design.

When used effectively, prototyping reduces risk and improves the likelihood that weapon systems will be completed on time and within budget. It also keeps DOD’s technology pipeline stocked with innovative technologies that may provide a leap ahead in military capability. DOD has several new prototyping initiatives under way, but has not developed a comprehensive strategy for these efforts.

Among other things, we recommend that DOD develop such a department-wide strategy.

Army's Advanced Weapons Sight Technology Used Prototyping to Mature Technology

Photo of a soldier testing weapons sight technology.

Photo of a soldier testing weapons sight technology.

Additional Materials:

Contact:

Michael J. Sullivan
(202) 512-4841
sullivanm@gao.gov

 

Office of Public Affairs
(202) 512-4800
youngc1@gao.gov

What GAO Found

The Department of Defense (DOD) has used prototyping on its major defense acquisition programs (MDAP) primarily to reduce technical risk, investigate integration challenges, validate designs, mature technologies, and refine performance requirements. Of the 22 programs GAO reviewed, 17 used prototyping before starting system development. For many of those programs, prototyping provided information that helped introduce realism into their business cases by providing information on technology maturity, the feasibility of the design concepts, potential costs, and the achievability of planned performance requirements.

DOD has developed new initiatives that are outside of major defense acquisition programs to increase prototyping and further innovation. However, these initiatives face barriers, such as limited funding, a risk averse culture, and competing priorities. Literature on private sector innovation identifies key enablers for these types of efforts, such as developing an innovation strategy, aligning investments with innovation goals, and protecting funding for riskier projects. DOD has taken steps that are consistent with a few, but not all, of these enablers. For example, DOD does not have a department-wide strategy that communicates strategic goals and priorities and delineates roles and responsibilities to guide the prototyping initiatives. This could lead to unproductive or poorly coordinated investments later. DOD's initiatives also face competition for funding, particularly with acquisition programs. One strategy to address funding issues called “strategic buckets” involves allocating resources to different types of projects based on an organization's strategy (see figure). DOD has not set strategic funding targets for its initiatives. Failing to do so could prevent them from gaining traction and puts their long-term success at risk.

Notional Strategic Bucket Approach for Funding Different Prototyping and Innovation Efforts

Notional Strategic Bucket Approach for Funding Different Prototyping and Innovation Efforts

Notes: Incremental innovation seeks to gradually improve existing products and capabilities. Disruptive innovation attempts to shift the balance of military power by providing new capabilities, potentially unforeseen by customers, such as the military services, or adversaries.

Why GAO Did This Study

DOD invests roughly $70 billion annually in weapon system research, development, test, and evaluation, including prototyping activities. Prototyping can help reduce risk in weapon system acquisition programs by improving understanding of technologies, requirements, and proposed solutions. It can also contribute to innovation by demonstrating the value of new technologies or systems.

House Conference Report 114-102 accompanying a bill for the fiscal year 2016 National Defense Authorization Act included a provision for GAO to review how DOD's research and development funds are used and whether this approach effectively supports activities such as prototyping. This report assesses (1) how DOD has used prototyping prior to system development on major defense acquisition programs, and (2) what steps DOD has taken to increase innovation through prototyping activities outside of major defense acquisition programs. GAO examined prototyping activities for 22 MDAPs that planned to enter system development between December 2009 and February 2016 and 7 prototyping-focused initiatives with the stated purpose of promoting innovation.

What GAO Recommends

GAO is making four recommendations, including that DOD develop a department-wide innovation strategy that includes prototyping and adopt a more strategic approach for funding prototyping efforts across DOD. DOD concurred with the recommendations and is currently working on this strategy.

For more information, contact Michael J. Sullivan at (202) 512-4841 or sullivanm@gao.gov.

Recommendations for Executive Action

  1. Status: Open

    Comments: DOD concurred with our recommendation and has begun taking steps to address it. As of July 2018, the Office of the Deputy Assistant Secretary of Defense (Emerging Capability & Prototyping) had hosted a DOD prototyping forum to identify issues the strategy will need to address and the Office of the Under Secretary of Defense (Research & Engineering) had developed a draft prototyping and experimentation strategy, which was being reviewed.

    Recommendation: To help ensure DOD takes a strategic approach for its prototyping and innovation initiatives and overcomes funding and cultural barriers, the Secretary of Defense should direct the Assistant Secretary of Defense for Research and Engineering to develop a high-level DOD-wide strategy, in collaboration with the military services and other appropriate DOD components, to communicate strategic goals and priorities and delineate roles and responsibilities among DOD's prototyping and innovation initiatives.

    Agency Affected: Department of Defense

  2. Status: Open

    Comments: DOD concurred with our recommendation and has begun taking steps to address it. As of July 2018, the Office of the Under Secretary of Defense (Research & Engineering) had developed a draft prototyping and experimentation strategy, which incorporated funding objectives. The strategy is currently being reviewed.

    Recommendation: To help ensure DOD takes a strategic approach for its prototyping and innovation initiatives and overcomes funding and cultural barriers, the Secretary of Defense should direct the Assistant Secretary of Defense for Research and Engineering to take steps, such as adopting a "strategic buckets" approach, to help ensure adequate investments in innovation that align with DOD-wide strategy.

    Agency Affected: Department of Defense

  3. Status: Open

    Comments: DOD concurred with our recommendation and has begun taking steps to address it. As of July 2018, the Office of the Under Secretary of Defense (Research & Engineering) was developing strategic guidance related to prototyping and experimentation. Once that is completed, DOD plans to determine the best method to improve science and technology planning as well as the best coordination processes for budget activity 6.4-funded prototyping and innovation initiatives. DOD plans to communicate that method in implementation guidance.

    Recommendation: To help ensure DOD takes a strategic approach for its prototyping and innovation initiatives and overcomes funding and cultural barriers, the Secretary of Defense should direct the Assistant Secretary of Defense for Research and Engineering to expand the Community of Interest working groups to include budget activity 6.4-funded prototyping and innovation initiatives in their science and technology planning and coordination processes or employ a similar coordination mechanism for budget activity 6.4-funded prototyping and innovation initiatives.

    Agency Affected: Department of Defense

  4. Status: Open

    Comments: DOD concurred with our recommendation and has begun taking steps to address it. As of July 2018, the Office of the Under Secretary of Defense (Research & Engineering) was developing strategic guidance related to prototyping and experimentation. Once that is completed, DOD plans to establish communities of interest or other processes to socialize and champion budget activity 6.4-funded prototyping and innovation efforts. DOD plans to reflect this process in implementation guidance. It is not yet clear whether these actions will meet the intent of our recommendation to maintain a certain level of investment.

    Recommendation: To help ensure DOD takes a strategic approach for its prototyping and innovation initiatives and overcomes funding and cultural barriers, the Secretary of Defense should direct the Assistant Secretary of Defense for Research and Engineering to review budget activity 6.4 funding requests to help maintain a level of investment for budget activity 6.4-funded prototyping and innovation efforts that is consistent with DOD-wide strategy.

    Agency Affected: Department of Defense

 

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