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Suggested Citation:"Front Matter." National Research Council. 2011. Evaluation of U.S. Air Force Preacquisition Technology Development. Washington, DC: The National Academies Press. doi: 10.17226/13030.
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Evaluation of U.S. Air Force Preacquisition Technology Development

Committee on Evaluation of U.S. Air Force Preacquisition Technology Development

Air Force Studies Board

Division on Engineering and Physical Sciences

NATIONAL RESEARCH COUNCIL
OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS

Washington D.C.
www.nap.edu

Suggested Citation:"Front Matter." National Research Council. 2011. Evaluation of U.S. Air Force Preacquisition Technology Development. Washington, DC: The National Academies Press. doi: 10.17226/13030.
×

THE NATIONAL ACADEMIES PRESS
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NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance.

This is a report of work supported by Grant FA9550-09-1-0653 between the U.S. Air Force and the National Academy of Sciences. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the view of the organizations or agencies that provided support for the project.

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Suggested Citation:"Front Matter." National Research Council. 2011. Evaluation of U.S. Air Force Preacquisition Technology Development. Washington, DC: The National Academies Press. doi: 10.17226/13030.
×

THE NATIONAL ACADEMIES

Advisers to the Nation on Science, Engineering, and Medicine


The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences.


The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering.


The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine.


The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council.


www.national-academies.org

Suggested Citation:"Front Matter." National Research Council. 2011. Evaluation of U.S. Air Force Preacquisition Technology Development. Washington, DC: The National Academies Press. doi: 10.17226/13030.
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COMMITTEE ON EVALUATION OF U.S. AIR FORCE PREACQUISITION TECHNOLOGY DEVELOPMENT

RICHARD V. REYNOLDS,

The VanFleet Group, LLC,

Chair

DONALD C. FRASER,

Charles Stark Draper Laboratory (retired),

Vice Chair

CHARLES E. ADOLPH,

Albuquerque, New Mexico

BRIAN A. ARNOLD,

Raytheon Company

FRANCIS J. BAKER,

Wright State University

THOMAS W. BLAKELY,

Lockheed Martin Aeronautics Company

CLAUDE M. BOLTON,

Defense Acquisition University

THOMAS J. BURNS,

SET Corporation

LLEWELLYN S. DOUGHERTY,

Raytheon Company

RICHARD B.H. LEWIS,

Lockheed Martin Corporation

ELLEN M. LORD,

AAI Corporation

CHRISTOPHER E. MANUEL,

Sierra Nevada Corporation

MATT L. MLEZIVA,

Wildwood Strategic Concepts

RONALD E. MUTZELBURG,

Alexandria, Virginia

RICHARD L. RUMPF,

Rumpf Associates International, Inc.

Staff

CARTER W. FORD, Program Officer and Study Director

SARAH M. CAPOTE, Research Associate

ZEIDA PATMON, Program Associate

Suggested Citation:"Front Matter." National Research Council. 2011. Evaluation of U.S. Air Force Preacquisition Technology Development. Washington, DC: The National Academies Press. doi: 10.17226/13030.
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AIR FORCE STUDIES BOARD

GREGORY S. MARTIN,

GS Martin Consulting,

Chair

PAMELA A. DREW,

TASC, Inc.,

Vice Chair

MARSHA J. BERGER,

New York University

THOMAS J. BURNS,

SET Corporation

THOMAS DARCY,

EADS North America Defense Company

KENNETH E. EICKMANN,

U.S. Air Force (retired)

JOHN V. FARR,

Stevens Institute of Technology

RAND H. FISHER,

Aerospace Corporation

MICHAEL J. GIANELLI,

Boeing Company (retired)

JACQUELINE GISH,

Northrop Grumman Corporation

LESLIE GREENGARD,

New York University

KENNETH C. HALL,

Duke University

WESLEY L. HARRIS,

Massachusetts Institute of Technology

PAUL G. KAMINSKI,

Technovation, Inc.

LESLIE KENNE,

LK Associates

LESTER L. LYLES,

The Lyles Group

DEBASIS MITRA,

Bell Laboratories

MATT L. MLEZIVA,

Wildwood Strategic Concepts

GERALD F. PERRYMAN, JR.,

Raytheon Company

GENE W. RAY,

GMT Ventures

MARVIN R. SAMBUR,

Headquarters, U.S. Air Force (retired)

J. DANIEL STEWART,

University of Tennessee

Staff

MICHAEL A. CLARKE, Director

JESSICA R. BROKENBURR, Financial Assistant

KAMARA E. BROWN, Research Associate

SARAH M. CAPOTE, Research Associate

GREGORY EYRING, Senior Program Officer

CARTER W. FORD, Program Officer

CHRIS JONES, Financial Manager

ZEIDA PATMON, Program Associate

MARGUERITE E. SCHNEIDER, Administrative Coordinator

DANIEL E.J. TALMAGE, JR., Program Officer

SHANNON C. THOMAS, Program Associate

Suggested Citation:"Front Matter." National Research Council. 2011. Evaluation of U.S. Air Force Preacquisition Technology Development. Washington, DC: The National Academies Press. doi: 10.17226/13030.
×

Preface

The enactment of the Weapon Systems Acquisition Reform Act of 2009 (Public Law 111-23) and the recent revision of Department of Defense Instruction 5000.02 have served to highlight the complexity of the Department of Defense acquisition process.1 This report serves as a follow-on study to the 2008 National Research Council (NRC) report Pre-Milestone A and Early-Phase Systems Engineering: A Retrospective Review and Benefits for Future Air Force Systems Acquisition, which emphasized the role of systems engineering in the acquisition life cycle.2 This complementary report focuses specifically on the role of maturing technologies and inserting them at the appropriate time in the acquisition cycle.

Leaders in the Air Force responsible for science and technology and acquisition are trying to determine the optimal way to utilize existing policies, processes, and resources to properly document and execute pre-program of record technology development efforts, including opportunities to facilitate the rapid acquisition of revolutionary capabilities and the more deliberate acquisition of evolutionary capabilities.

The Committee on Evaluation of U.S. Air Force Preacquisition Technology Development (see Appendix A for biographical sketches), appointed by the NRC to conduct this study, acknowledges and appreciates the contribution of the mem-

1

For additional information, see http://www.dtic.mil/whs/directives/corres/pdf/500002p.pdf. Accessed January 14, 2011.

2

NRC. 2008. Pre-Milestone A and Early-Phase Systems Engineering: A Retrospective Review and Benefits for Future Air Force Systems Acquisition. Washington, D.C.: The National Academies Press.

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Suggested Citation:"Front Matter." National Research Council. 2011. Evaluation of U.S. Air Force Preacquisition Technology Development. Washington, DC: The National Academies Press. doi: 10.17226/13030.
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bers of the Air Force Studies Board (AFSB) of the NRC in developing the study’s statement of task (see Box 1-1 in Chapter 1) in concert with the Air Force sponsor.

The AFSB was established in 1996 as a unit of the NRC at the request of the United States Air Force. The AFSB brings to bear broad military, industrial, and academic scientific, engineering, and management expertise on Air Force technical challenges and other issues of importance to senior Air Force leaders. The board discusses potential studies of interest, develops and frames study tasks, ensures proper project planning, suggests potential committee members and reviewers for reports produced by fully independent ad hoc study committees, and convenes meetings to examine strategic issues. The board members were not asked to endorse the committee’s conclusions or recommendations, nor did they review the final draft of this report before its release, although board members with appropriate expertise may be nominated to serve as formal members of study committees or as report reviewers.

The committee thanks the many people who provided information to the committee, including the guest speakers shown in Appendix B, their organizations, and supporting staff members; and others, including the study sponsor Dr. Steven Walker, Deputy Assistant Secretary of the Air Force for Science, Technology, and Engineering, Office of the Assistant Secretary of the Air Force for Acquisition, and his staff members. The committee is also grateful to the NRC staff members who provided their dedicated support throughout the study.


Richard V. Reynolds, Chair

Donald C. Fraser, Vice Chair

Committee on Evaluation of U.S. Air Force Preacquisition Technology Development

Suggested Citation:"Front Matter." National Research Council. 2011. Evaluation of U.S. Air Force Preacquisition Technology Development. Washington, DC: The National Academies Press. doi: 10.17226/13030.
×

Acknowledgment of Reviewers

This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report:

Vinton G. Cerf, Google, Inc.,

Pamela A. Drew, TASC, Inc.,

Charles B. Duke, Xerox Corporation (retired),

Annette J. Krygiel, Great Falls, Virginia,

Paul E. Nielsen, Maj Gen, USAF (retired), Carnegie Mellon University,

Robert E. Schafrik, GE Aircraft Engines, and

Larry D. Welch, Gen, USAF (retired), Institute for Defense Analyses.

Although the reviewers listed above provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review of this report was overseen by Lawrence T. Papay, PQR, LLC, and Lawrence J. Delaney, Titan Corporation (retired). Appointed by the National Research Council, they were

Suggested Citation:"Front Matter." National Research Council. 2011. Evaluation of U.S. Air Force Preacquisition Technology Development. Washington, DC: The National Academies Press. doi: 10.17226/13030.
×

responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution.

Suggested Citation:"Front Matter." National Research Council. 2011. Evaluation of U.S. Air Force Preacquisition Technology Development. Washington, DC: The National Academies Press. doi: 10.17226/13030.
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Suggested Citation:"Front Matter." National Research Council. 2011. Evaluation of U.S. Air Force Preacquisition Technology Development. Washington, DC: The National Academies Press. doi: 10.17226/13030.
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 Department of Defense Instruction 5000.02,

 

34

   

 Air Force Acquisition Improvement Plan,

 

37

   

 Joint Capabilities Integration and Development System,

 

37

   

 Competitive Prototyping,

 

37

   

 Historical Governance Related to Technology Development,

 

38

   

 The Trust “Death Spiral,”

 

38

   

 The “Three R” Framework,

 

44

   

 Requirements,

 

44

   

 Resources,

 

54

   

 The Right People,

 

58

   

 Concluding Thoughts,

 

60

3

 

GOVERNMENT AND INDUSTRY BEST PRACTICES

 

62

   

 Best Practices,

 

62

   

 Examples of Government Best Practices,

 

63

   

 Joint Improvised Explosive Device Defeat Organization,

 

63

   

 Capabilities Development for Rapid Transition,

 

65

   

 Big Safari,

 

66

   

 Future Naval Capabilities Process,

 

67

   

 Army S&T Objective Process,

 

70

   

 Dragon Eye,

 

73

   

 Examples of Joint Government and Industry Cooperation,

 

76

   

 The Rapid Reaction Technology Office and the VADER System,

 

76

   

 DARPA’s Adaptive Execution Office,

 

78

   

 Ground Robotics Consortium,

 

79

   

 The National Small Arms Center,

 

80

   

 Sierra Nevada Corporation and the Commercial Space Sector,

 

81

   

 The Naval Center for Space Technology,

 

82

   

 Examples of Industry Best Practices,

 

83

   

 High Technological/Manufacturing/Integration Readiness Levels Pay Off: Ford, Jaguar, and Adaptive Cruise Control,

 

83

   

 The Innovation Culture at 3M,

 

84

   

 Technology Networks at Raytheon,

 

86

   

 Concluding Thoughts,

 

87

4

 

THE RECOMMENDED PATH FORWARD

 

89

   

 Key Issue 1,

 

91

   

 Freezing Requirements Too Early or Too Late in the Technology Development Phase Can Lead to a Mismatch Between Technology-Enabled Capabilities and Requirement Expectations That Significantly Reduces the Probability of Successful Technology Transitions,

 

91

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Suggested Citation:"Front Matter." National Research Council. 2011. Evaluation of U.S. Air Force Preacquisition Technology Development. Washington, DC: The National Academies Press. doi: 10.17226/13030.
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 Key Issue 2,

 

92

   

 The Lack of an Air Force-Level Science and Technology Strategy Leads to AFRL Efforts That May Not Support Desired Strategic Air Force Capabilities, and to the Fragmented Prioritization and Allocation of 6.4 Technology Transition Funds,

 

92

   

 Key Issue 3,

 

96

   

 Current Air Force Funding and Business Practices for Pre-Milestone B Activities Are Inconsistent with Department of Defense Instruction 5000.02,

 

96

   

 Key Issue 4,

 

97

   

 Technology Readiness Levels Must Be Accurately Assessed to Prevent Programs from Entering the Engineering and Manufacturing Development Phase with Immature Technology,

 

97

   

 Key Issue 5,

 

98

   

 Developing Technologies and Weapon Systems in Parallel Almost Inevitably Causes Cost Overruns, Schedule Slippage, and/or the Eventual Reduction in Planned Capabilities,

 

98

   

 Key Issue 6,

 

99

   

 Weak Ties and Lack of Collaboration Within and Between Government and Industry Lead to Lack of Awareness of Government Priorities and of Industry’s Technology Breakthroughs,

 

99

   

 Key Issue 7,

 

100

   

 A Much Reduced and Inexperienced Development Planning Workforce Has Weakened the Technology Transition Bridge Between Laboratories, Product Centers, and Major Commands,

 

100

   

 Conclusion,

 

101

 

 

APPENDIXES

 

 

   

 A  Biographical Sketches of Committee Members

 

105

   

 B  Meetings and Participating Organizations

 

115

   

 C  Background Information on Policies and Processes Related to Technology Development

 

123

   

 D  Background Information on the Vanguard Process and Applied Technology Councils

 

132

Suggested Citation:"Front Matter." National Research Council. 2011. Evaluation of U.S. Air Force Preacquisition Technology Development. Washington, DC: The National Academies Press. doi: 10.17226/13030.
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Acronyms

A&AS advisory and assistance services

ACC adaptive cruise control

ACD&P Advanced Component Development and Prototypes

AEO Adaptive Execution Office

AFI Air Force Instruction

AFMC Air Force Materiel Command

AFRL Air Force Research Laboratory

AFSB Air Force Studies Board

AFSC Air Force Systems Command

AFSPC Air Force Space Command

AIP Acquisition Improvement Plan

AoA Analysis of Alternatives

ARDEC Armament Research, Development, and Engineering Center

ATC Applied Technology Council

ATO Army Technology Office

CDRT Capabilities Development for Rapid Transition

CJCS (J8) Chairman of the Joint Chiefs of Staff (Force Structure, Resources, and Assessment Directorate)

COCOM (United States) Combatant Command

CP competitive prototyping

CPM Critical Path Method

CSAF Chief of Staff of the Air Force

Suggested Citation:"Front Matter." National Research Council. 2011. Evaluation of U.S. Air Force Preacquisition Technology Development. Washington, DC: The National Academies Press. doi: 10.17226/13030.
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C/SCSC Cost/Schedule Control System Criteria

CTE critical technology element

DAG Defense Acquisition Guidebook

DAPA Defense Acquisition Performance Assessment

DARPA Defense Advanced Research Projects Agency

DDR&E Director, Defense Research and Engineering

DMEA Defense Microelectronics Activity

DoD Department of Defense

DP Development Planning

EFP explosively formed penetrator

EMD Engineering and Manufacturing Development (phase)

EPP “Enhanced” Planning Process

EUREKA European Research Cooperation Agency

EVM Earned Value Management

FAR Federal Acquisition Regulation

FFRDC Federally Funded Research and Development Center

FNC Future Naval Capabilities

GAO Government Accountability Office

GPS Global Positioning System

ICD Initial Capabilities Document

IED improvised explosive device

IPT Integrated Product Team

IR&D independent research and development

ISET Industry System Engineering Team

JCA Joint Capability Area

JCAAMP Joint IED Defeat Capability Approval and Acquisition Management Process

JCIDS Joint Capabilities Integration and Development System

JGRE Joint Ground Robotics Enterprise

JHU/APL Johns Hopkins University/Applied Physics Laboratory

JIEDD Joint Improvised Explosive Device Defeat

JIEDDO Joint Improvised Explosive Device Defeat Organization

JIPT JIEDDO Integrated Process Team

JPG Joint Programming Guidance

JR2AB JlEDDO Requirements, Resources, and Acquisition Board

Page xvii Cite
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JRAC Joint Rapid Acquisition Cell

JROC Joint Requirements Oversight Council

JSF Joint Strike Fighter

JUONS Joint Urgent Operational Needs Statement

LCC life-cycle cost

MAJCOM Major Command

MDA Milestone Decision Authority

MDAP Major Defense Acquisition Program

MDD Material Development Decision

MRL Manufacturing Readiness Level

NASA National Aeronautics and Space Administration

NDAA National Defense Authorization Act

NLOS-LS Non-Line-of-Sight Launch System

NRC National Research Council

NRL Naval Research Laboratory

NSAC National Small Arms Center

O&S operations and support

OMB Office of Management and Budget

ONR Office of Naval Research

OSD Office of the Secretary of Defense

OTA Other Transactions Agreement

OUSD (AT&L) Office of the Under Secretary of Defense (Acquisition, Technology, and Logistics)

OUSD (C) Office of the Under Secretary of Defense (Comptroller)

PDR Preliminary Design Review

PE Program Element

PERT Program Evaluation Review Technique

POM Program Objective Memorandum

PPBE Planning, Programming, Budgeting, and Execution

PPBES Planning, Programming, Budgeting, and Execution System

R&D research and development

RAM Requirements Analysis and Maturation

RDT&E Research, Development, Test, and Evaluation

ROVER Remotely Operated Video Enhanced Receiver

RRTO Rapid Reaction Technology Office

Page xviii Cite
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S&T science and technology

SAF Secretary of the Air Force

SAF/AQ Secretary of the Air Force (Acquisition)

SAF/AQX Secretary of the Air Force (Acquisition Integration)

SMC Space and Missile Systems Center

SNC Sierra Nevada Corporation

SOTVS Special Operations Tactical Video System

SPG Strategic Planning Guidance

SPO System Program Office

SRR System Requirements Review

TARDEC Tank Automotive Research, Development, and Engineering Center

TDS Technology Development Strategy

TIG technology interest group

TRA Technology Readiness Assessment

TRADOC Training and Doctrine Command

TRL Technology Readiness Level

TSPR Total System Performance Responsibility

USAF United States Air Force

USN United States Navy

VADER Vehicle and Dismount Exploitation Radar

WSARA Weapon Systems Acquisition Reform Act

XR Product Centers’ Development Planning Organization

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From the days of biplanes and open cockpits, the air forces of the United States have relied on the mastery of technology. From design to operation, a project can stretch to 20 years and more, with continuous increases in cost. Much of the delay and cost growth afflicting modern United States Air Force (USAF) programs is rooted in the incorporation of advanced technology into major systems acquisition.

Leaders in the Air Force responsible for science and technology and acquisition are trying to determine the optimal way to utilize existing policies, processes, and resources to properly document and execute pre-program of record technology development efforts, including opportunities to facilitate the rapid acquisition of revolutionary capabilities and the more deliberate acquisition of evolutionary capabilities.

Evaluation of U.S. Air Force Preacquisition Technology Development responds to this need with an examination of the current state of Air Force technology development and the environment in which technology is acquired. The book considers best practices from both government and industry to distill appropriate recommendations that can be implemented within the USAF.

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