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The NASA Presidential Transition Binder

Table of Contents NASA Presidential Transition Binder Executive Summary ...... 10 1.0 The Space Act, Relevant Space Policies, and Other Applicable Laws ...... 13 Introduction ...... 13 1.1 Policies ...... 13 1.1.1 U.S. National Space Policy – June 28, 2010 ...... 14 1.1.2 U.S. Space Transportation Policy – December 21, 2004 ...... 15 1.1.3 National Aeronautics Research and Development Policy – December 20, 2006 ...... 15 1.1.4 U.S. Space-Based Positioning, Navigation, and Timing Policy – December 8, 2004 ...... 15 1.1.5 U.S. Commercial Remote Sensing Space Policy – April 25, 2003 ...... 16 1.2 Other Applicable Laws ...... 16 1.2.1 The Environment ...... 16 1.2.2 Ethics/Standards of Conduct ...... 17 1.2.3 Personnel ...... 18 1.2.4 International Law and Cooperation ...... 19 1.2.5 Export Control ...... 19 1.2.6 Inventions/Patents ...... 20 1.2.7 Patent Licensing ...... 21 1.2.8 Trademarks ...... 22 1.2.9 Contracts, Grants and Agreements ...... 23 1.2.10 Commercialization of Space Activities ...... 23 2.0 NASA 2011 Strategic Plan Summary ...... 27 Introduction ...... 27 2.1 Background ...... 27 2.2 2011 Strategic Plan ...... 27 2.3 NASA’s Vision, Mission, and Values ...... 27 2.4 NASA’s Strategic Goals ...... 28 2.5 New Law and Policy ...... 29 2.6 Implementing the 2011 Strategic Plan ...... 29 2.7 2014 Strategic Plan Development ...... 29 3.0 NASA Governance and Strategic ...... 31 Introduction ...... 31 3.1 Organizational Balance ...... 32 3.2 Programmatic and Institutional Checks and Balances ...... 34 3.3 Roles and Separation of Authorities ...... 34 3.3.1 Programmatic Authority ...... 35 3.3.2 Institutional—Technical Authority ...... 35 3.3.3 Institutional—Mission Support Authority ...... 35 3.4 Authority Roles Regarding Risk ...... 36 3.5 Process-Related Checks and Balances ...... 36 3.5.1 Independent Life-Cycle Review Process ...... 36 3.5.2 Requirements Tailoring Process ...... 37 3.5.3 Dissenting Opinion Process ...... 37 3.6 Authority and Accountability ...... 38 3.7 Agency Management Councils ...... 38 4.0 NASA and Roles ...... 40

• 1 • The NASA Presidential Transition Binder

Introduction ...... 40 4.1 Overview of the NASA Organization ...... 40 4.1.1 NASA Office of the Administrator ...... 41 4.1.2 Administrator ...... 42 4.1.3 Deputy Administrator ...... 44 4.1.4 Associate Administrator ...... 46 4.1.5 Chief of Staff ...... 48 4.1.6 Associate Deputy Administrator ...... 50 4.1.7 Associate Deputy Administrator for Strategy and Policy ...... 51 4.1.8 Assistant Associate Administrator ...... 53 4.1.9 Director, Office of Evaluation ...... 54 4.2 Office of Inspector General (OIG) ...... 55 4.3 Staff Offices ...... 60 4.3.1 Office of the (OCFO) ...... 61 4.3.2 Office of the Chief Information Officer (OCIO) ...... 68 4.3.3 Office of the Chief Scientist (OCS) ...... 76 4.3.4 Office of the Chief Technologist (OCT) ...... 80 4.3.5 Office of the Chief Engineer (OCE) ...... 83 4.3.6 Office of the Chief And Medical Officer (OCHMO) ...... 88 4.3.7 Office of Safety and Mission Assurance ...... 91 4.3.8 Office of Diversity and Equal (ODEO) ...... 97 4.3.9 Office of Education ...... 101 4.3.10 Office of International and Interagency Relations (OIIR)...... 105 4.3.11 Office of the General Counsel (OGC) ...... 110 4.3.12 Office of Legislative & Intergovernmental Affairs (OLIA) ...... 113 4.3.13 Office of Communications ...... 116 4.3.14 Office of Small Programs (OSBP) ...... 121 4.4 Aeronautics Research Mission Directorate ...... 123 4.5 Exploration & Operations Mission Directorate (HEOMD) ...... 130 4.6 Science Mission Directorate ...... 138 4.7 Space Mission Directorate ...... 153 4.8 Mission Support Directorate ...... 161 4.9 NASA Centers ...... 170 4.9.1 (ARC) ...... 171 4.9.2 Dryden Flight Research Center (DFRC) ...... 179 4.9.3 John H. (GRC) ...... 183 4.9.4 Goddard Space Flight Center (GSFC) ...... 191 4.9.5 Jet Propulsion Laboratory (JPL) ...... 198 4.9.6 (JSC) ...... 204 4.9.7 John F. (KSC) ...... 211 4.9.8 (LaRC) ...... 218 4.9.9 Marshall Space Flight Center (MSFC) ...... 224 4.9.10 John . (SSC) ...... 230 5.0 NASA Budget and History Overview ...... 235 Introduction ...... 235 5.1 Current Account Appropriations Structure ...... 239 6.0 NASA Major Missions ...... 241 Introduction ...... 241 6.1 Human Exploration and Operations Mission Directorate (HEOMD) ...... 242

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6.1.1 International Space Station (ISS) ...... 242 6.1.2 Commercial Development...... 246 6.1.3 Exploration Systems Development ...... 250 6.1.4 / Tracking and Data Relay System ...... 260 6.2 Aeronautics Research Mission Directorate (ARMD) ...... 263 6.2.1 Enabling Full NextGen Capability ...... 263 6.2.2 Enabling High Efficiency and Low Environmental Impact Aircraft ...... 265 6.2.3 Enabling Safe Integration of New, Advanced Vehicles into the NAS ...... 267 6.3 Space Technology Mission Directorate (STMD) ...... 270 6.3.1 Technology Demonstration Missions ...... 270 6.3.2 Earth Sciences ...... 273 6.3.3 Landsat Data Continuity Mission (LDCM ) ...... 273 6.3.4 Orbiting Carbon Observatory-2 (OCO-2) ...... 275 6.3.5 Global Precipitation Measurement (GPM) Description ...... 276 6.3.6 Earth Venture Program ...... 277 6.3.7 Status ...... 279 6.4 Planetary Science ...... 280 6.4.1 (MSL) ...... 280 6.4.2 ...... 281 6.4.3 Origins-Spectral Interpretation-Resource Identification-Security-Regolith Explorer (OSIRIS- REx) ...... 283 6.4.4 Mars Atmosphere and Volatile EvolutioN (MAVEN) ...... 285 6.5 Heliophysics ...... 288 6.5.1 Magnetospheric Multiscale Project (MMS) ...... 288 6.5.2 Solar Probe Plus (SPP) ...... 289 6.6 Astrophysics ...... 291 6.6.1 Stratospheric Observatory for Infrared Astronomy (SOFIA) ...... 291 6.6.2 Kepler ...... 292 6.6.3 James Webb Space Telescope (JWST) ...... 294 6.7 Joint Agency Satellite Division ...... 295 6.7.1 Geostationary Operational Environmental Satellite-R (GOES-R) Series ...... 295 6.7.2 Joint Polar Satellite System (JPSS) ...... 297 7.7.2.2 Issues ...... 298 7.0 Mishap Investigations and Contingency Plans ...... 299 Introduction ...... 299 7.1 Overview ...... 299 7.2 Basic Terminology of Mishaps ...... 299 7.2.1 Mishap ...... 299 7.2.2 Close Call ...... 299 7.3 Classification of Mishaps ...... 300 7.4 Overview of the Mishap Investigation Process ...... 301 7.5 Center Mishap Preparedness and Contingency Plans ...... 303 7.6 Program Mishap Preparedness and Contingency Plans ...... 304 7.7 Summary of NASA’s Type A Mishaps ...... 304 8.0 The NASA Workforce ...... 308 Introduction ...... 308 8.1 Current Staffing: Demographics of NASA’s Civil Servant Workforce ...... 308 8.1.1 Types of Employees [total of 18,210 civil servants] ...... 308 8.1.2 Employment Types ...... 309

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8.1.3 Demographics ...... 309 8.2 Workforce Trends ...... 311 8.2.1 Historical Workforce Size ...... 311 8.2.2 Historical Workforce Age Demographics ...... 313 8.2.3 Workforce Forecasts...... 314 8.2.4 Size Of Civil Service Workforce FY 2013-19 ...... 314 8.2.5 PPBE Data Call To Assess Skill Gaps And Surpluses At Centers ...... 315 8.3 Workforce Strategy And Integrated Management Systems ...... 317 8.3.1 Workforce Strategy ...... 317 8.4 Executive Resources ...... 318 8.4.1 Political Appointees with Senate Confirmation ...... 318 8.4.2 Senior Executive Service (SES) ...... 318 8.4.3 Senior Scientific and Professional (ST) and Senior Level (SL) Positions ...... 320 8.5 Political Appointees and Other Discretionary Hiring ...... 320 8.6 General Workforce Information ...... 322 8.6.1 Staffing and Position Classification ...... 322 8.6.2 Compensation ...... 322 8.6.3 Employee Relations/Labor Relations ...... 322 8.6.4 Training and Leader Development ...... 323 9.0 NASA Interaction with Executive Office Of The President ...... 325 Introduction ...... 325 9.1 Office of Management and Budget ...... 325 9.2 Office of Science and Technology Policy ...... 325 9.3 National Security Council ...... 326 10.0 Congressional Committee Leadership as of October 10, 2012, and General Accountability Office Interaction ...... 328 Introduction ...... 328 10.1 NASA Congressional Oversight Committees ...... 328 10.2 Committee Descriptions...... 329 10.2.1 Appropriations Committees ...... 329 10.2.2 Authorization Committees ...... 329 11.0 NASA Interaction with Federal Departments and Agencies ...... 332 Introduction ...... 332 11.1 Department Of State ...... 332 11.2 Department Of Defense ...... 332 11.3 Department Of Commerce ...... 333 11.4 Regulatory Efforts with Other Agencies...... 333 11.5 Programmatic Cooperation with Individual Agencies ...... 333 11.6 Interagency Programs ...... 334 12.0 NASA Interaction with Foreign Entities...... 335 Introduction ...... 335 12.1 Overview ...... 335 12.2 Canada, Europe, Japan, and Russia ...... 337 12.3 Latin America ...... 338 12.4 Africa and the Middle East ...... 338 12.5 Asia and the Pacific ...... 339 12.6 United Nations ...... 339 13.0 How NASA’s Work is Done: In-House, Industry, Academia ...... 340

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Introduction ...... 340 13.1 Overview ...... 340 13.2 NASA’s In-House Workforce ...... 341 13.2.1 Roles of NASA Workforce ...... 341 13.2.2 NASA’s Approach to Performing Its Work ...... 341 13.3 Industry’s Involvement in NASA’s Work ...... 342 13.3.1 Awards By Type of Contractor ...... 342 13.3.2 Awards by Contract Type ...... 343 13.3.3 Role of Competition ...... 344 13.3.4 Contract Selection Process from Acquisition Strategy Planning to Award ...... 345 13.3.5 Characterization of Our Current Principal Contractors (Business Firms) ...... 346 13.4 Academia’s Involvement in NASA’s Work ...... 348 13.4.1 Role of Academia ...... 348 13.4.2 Science and Aeronautics Program Acquisition Processes ...... 349 13.4.3 Characterization of Our Current Grants ...... 349 14.0 NASA Federal Advisory Committees and The National Academies ...... 350 Introduction ...... 350 14.1 NASA Federal Advisory Committees ...... 350 14.1.1 Historical Background ...... 350 14.2 Aerospace Safety Advisory Panel ...... 351 14.3 NASA Advisory Council ...... 352 14.4 National Space-Based Positioning, Navigation and Timing ...... 353 14.5 International Space Station Advisory Committee ...... 354 14.6 International Space Station National Laboratory Advisory Committee ...... 355 14.7 National Academies ...... 356 15.0 Timeline of Major Milestones and Events in the Budget Process ...... 357 Introduction ...... 357 15.1 Budget Milestones and Status of Budget Documents ...... 357 15.2 Draft Detail Budget Rollout Plan ...... 361 15.3 Other Milestones (11/2012- 4/2013) ...... 363

List of Figures Figure 2.7-1: NASA Strategic Plan Development Process ...... 30 Figure 3.1-1: NASA Structure - Center functional office directors report to agency functional AA; Deputy and below report to center leadership ...... 32 Figure 3.1-2: Separation of Programmatic and Institutional Authority ...... 34 Figure 3.7-1: NASA’s Management Councils ...... 39 Figure 4.1-1: NASA ...... 40 Figure 4.1.1-1: NASA Organizational Chart ...... 41 Figure 4.2-1: of OIG ...... 56 Figure 4.3.1-1: Office of the Chief Financial Officer Organizational Structure ...... 61 Figure 4.3.2-1: High-Level Organizational Structure of the Office of the CIO ...... 68 Figure 4.3.3-1: OCS Organizational Structure Workforce ...... 76 Figure 4.3.5-1: OCE Organizational Structure ...... 83 Figure 4.3.7-1: OSMA Organizational Structure ...... 91

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Figure 4.3.8-1: Organizational Structure ...... 97 Figure 4.3.10-1: The Organizational Structure ...... 105 Figure 4.3.11-1: Organizational Structure ...... 110 Figure 4.3.12-1: Organizational Chart for the Office of Legislative and Intergovernmental Affairs ...... 113 Figure 4.4-1: Organizational Structure of ARMD ...... 123 Figure 4.5-1: HEOMD Organizational Structure...... 130 Figure 4.6-1: SMD Organizational Structure ...... 138 Figure 4.7-1: Organizational Structure of STMD ...... 154 Figure 4.8-1: Mission Support Directorate Organizational Chart ...... 161 Figure 4.9.1-1: Ames Research Center Organizational Chart ...... 172 Figure 4.9.2-1: DFRC Organizational Structure ...... 179 Figure 4.9.3-1: GRC Organizational Structure ...... 183 Figure 4.9.4-1: GSFC Organizational Chart ...... 191 Figure 4.9.5-1: JPL’s Organizational Structure ...... 199 Figure 4.9.6-1: JSC Organizational Structure ...... 204 Figure 4.9.7-1: KSC Organizational Structure ...... 211 Figure 4.9.8-1: LaRC’s Organizational Structure ...... 218 Figure 4.9.9-1: MSFC Organizational Structure...... 224 Figure 4.9.10-1: SSC Organizational Structure ...... 230 Figure 5-1: NASA Budget History in Real Year $ ...... 235 Figure 5-2: NASA History in Constant Year 2005 $ ...... 236 Figure 5-3: NASA History in Percentages Based on Constant Fiscal Year 2005$ ...... 237 Figure 5-4: Constant Year 2005 $ View of Allocations to the Various Major Accounts ...... 238 Figure 6.1-1: The International Space Station...... 243 Figure 6.1-2: SpaceX Dragon at ISS (top) and Orbital Sciences ’s on Its Launch Pad (bottom) ...... 246 Figure 6.1-3: Space Launch ...... 250 Figure 6.1-4: Illustration of ...... 251 Figure 6.1-5: Orion: Expanded View ...... 252 Figure 6.1-6: Illustration of Orion High Velocity Return ...... 253 Figure 6.1-7: Illustration of SLS Leaving Earth Orbit ...... 254 Figure 6.1-8: 70 metric-ton Initial Lift Capability in Crew Configuration and 130 metric-ton Evolved Lift Capability in Cargo Configuration...... 255 Figure 6.1-9: Initial (SLS) configuration (70mT to low Earth orbit), also referred to as SLS Block 1...... 256 Figure 6.1-10: Kennedy Space Center Processing of Next Generation Spacecraft ...... 257 Figure 6.1-11: Mobile Launcher Leaving the Vehicle Assembly Building ...... 258 Figure 6.1-12: Illustration of SLS and Orion on the Mobile Launcher at Pad 39B ...... 259 Figure 6.1-13: Artist’s Rendering of TDRSS-K, Planned for Launch in December 2012...... 262 Figure 6.2-1: ARMD and its partners are developing advanced automation tools that provide more real-time information to pilots and controllers ...... 265 Figure 6.2-2: NASA’s DC-8 aircraft will be used in flights to characterize emissions from alternative fuels ...... 267 Figure 6.2-3: ARMD uses its Ikhana unmanned aircraft to flight-test that could enable safe integration into the national airspace ...... 269

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Figure 6.3-1: Laser Communications Relay Demonstration mission successfully completed its Mission Concept Review in September ...... 272 Figure 6.3-1: LDCM Spacecraft ...... 273 Figure 6.3-2: OCO-2 Spacecraft ...... 275 Figure 6.3-3: GPM Core Observatory ...... 277 Figure 6.3-1: CYGNSS - First Earth Venture Small Mission ...... 278 Figure 6.4-1: Curiosity image shows evidence of ancient streambed on Mars ...... 280 Figure 6.4-2: Artist’s concept of Juno at ...... 282 Figure 6.4-3: OSIRIS-REx at RQ36 ...... 284 Figure 6.4-4: MAVEN at Mars ...... 286 Figure 6.5-1: MMS Spacecraft (Instrument Suite Deck View) ...... 288 Figure 6.5-2: Image of the Solar Plus Project ...... 290 Figure 6.6-1: SOFIA in Flight with Telescope Door Open ...... 291 Figure 6.6-2: Kepler Field of View (Portrait) ...... 293 Figure 6.6-1: JWST Full-Scale Test Membrane ...... 294 Figure 6.7-1: GOES-R Spacecraft ...... 296 Figure 7.4-1: NASA Mishap Investigation Process Notional Timeline ...... 302 Figure 8.1-1: NASA Civil Servant Employees by Age (FY2012) ...... 309 Figure 8.1-2: NASA Civil Servant Employees by Age (FY2012) ...... 310 Figure 8.1-3: NASA Civil Servant Employees by Occupation Type (FY2012) ...... 310 Figure 8.2-1: Civil Servant and On- or Near-site WYE Trends (FY2007-FY2012) ...... 311 Figure 8.2-2: Number of Civil Servants and NASA Budget ...... 312 Figure 8.2-3: Average Age of NASA Workforce ...... 313 Figure 8.2-4: NASA Civil Servant Employees by Age ...... 314 Figure 13.1-1: NASA Facilities in the U.S...... 340 Figure 13.3-1: The NASA Acquisition Process ...... 346

List of Tables Table 4.2-1: Office of Inspector General’s Budget Runout ...... 56 Table 4.3.1-1: Office of the Chief Financial Officer’s Budget Runout ...... 61 Table 4.3.2-1: NASA Agency IT Services (AITS) Budget Runout ...... 68 Table 4.3.3-1: Office of the Chief Scientist’s Budget Runout ...... 77 Table 4.3.5-1: Office of the Chief Engineer’s Budget Runout ...... 83 Table 4.3.6-1: Office of the Chief Health & Medical Officer’s Budget Runout ...... 88 Table 4.3.7-1: Office of Safety and Mission Assurance’s and the Independent Verification and Validation Program Budgets ...... 91 Table 4.3.8-1: Office of Diversity and Equal Opportunity’s Budget Runout ...... 98 Table 4.3.9-1: The Office of Education’s Budget Runout ...... 101 Table 4.3.10-1: Office of International and Interagency Relations Budget Runout ...... 106 Table 4.3.11-1: Office of the General Counsel’s Budget Runout ...... 110 Table 4.3.12-1: Office of Legislative & Intergovernmental Affairs Budget Runout ...... 113 Table 4.3.13-1: The Office of Communications Budget Runout ...... 116 Table 4.3.14-1: Office of Small Business Program’s Budget Runout ...... 121 Table 4.4-1: ARMD HQ Budget Runout ...... 123 Table 4.5-1: HEOMD HQ Budget Runout ...... 130

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Table 4.6-1: SMD HQ Budget Runout ...... 139 Table 4.6-2: Earth Science Budget Runout ...... 141 Table 4.6-3: Important Activities ...... 142 Table 4.6-4: Planetary Science Budget Runout ...... 143 Table 4.6-5: Important Activities ...... 144 Table 4.6-6: Heliophysics Budget Runout ...... 145 Table 4.6-7: Important Activities ...... 146 Table 4.6-8: Total Astrophysics Budget Runout ...... 147 Table 4.6-9: Important Activities ...... 149 Table 4.6-10: James Webb Space Telescope (JWST) Budget Runout (not including cost of facilities) ...... 150 Table 4.6-11: Important Activities ...... 151 Table 4.9.1-1: Ames Research Center Budget ...... 172 Table 4.9.2-1: Dryden Flight Research Center’s Budget Runout Estimates ...... 180 Table 4.9.3-1: Glenn Research Center’s Budget Runout Estimates ...... 184 Table 4.9.4-1: Goddard Space Flight Center’s Budget Runout Estimates ...... 192 Table 4.9.5-1: Jet Propulsion Laboratory’s Budget Runout Estimates ...... 199 Table 4.9.6-1: Johnson Space Center’s Budget Runout Estimates ...... 205 Table 4.9.7-1: Kennedy Space Center’s Budget Runout Estimates ...... 212 Table 4.9.8-1: Langley Research Center’s Budget Runout Estimates ...... 219 Table 4.9.9-1: Marshall Space Flight Center Budget Runouts ...... 225 Table 4.9.10-1: Stennis Space Center’s Budget Runout Estimates ...... 231 Table 5.1-1: FY12 Appropriations Structure and FY 2013 CR Levels ...... 240 Table 6.1-1: Budget Request for ISS Program ...... 245 Table 6.1-2: Budget Request for Commercial Spaceflight Development ...... 249 Table 6.1-3: Budget Request for Orion ...... 253 Table 6.1-4: Budget Request for Space Launch System ...... 256 Table 6.1-5: Budget Request for Ground Systems Development and Operations ...... 259 Table 6.1-6: Budget Request for Space Communications and Navigation/TDRSS ...... 260 Table 6.3-1: Budget Request for Technology Demonstration Missions ...... 272 Table 6.3-1: Budget Request for LDCM ...... 274 Table 6.3-2: Budget Request for OCO-2 ...... 275 Table 6.3-3: Budget Request for GPM ...... 277 Table 6.3-1: Budget Request for Venture Class Missions ...... 279 Table 6.4-1: Budget Request for MSL ...... 281 Table 6.4-2: Budget Request for Juno ...... 283 Table 6.4-3: Budget Request for OSIRIS-REx ...... 285 Table 6.4-4: Budget Request for MAVEN ...... 287 Table 6.5-1: Budget Request for MMS ...... 289 Table 6.5-2: Budget Request for SPP ...... 290 Table 6.6-1: Budget Request for SOFIA ...... 292 Table 6.6-2: Budget Request for Kepler ...... 293 Table 6.6-1: JWST Budget Runout ...... 295 Table 7.3-1: NASA Classification of Mishaps and Close Calls ...... 301 Table 7.7-1: Summary of NASA’s Major Mishaps - January 2004 to June 2008 ...... 307 Table 8.2-1: NASA Headcount Comparison (FY1997 vs. FY2012) ...... 311

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Table 8.2-2: Center FTE Ceilings FY2007-FY2019 ...... 315 Table 8.2-3: Top Skills Centers Will Shrink ...... 316 Table 8.2-4: Top Skill Centers Will Maintain/Grow ...... 316 Table 8.4-1: NASA SES Distributions ...... 319 Table 8.6-1: Unions at NASA Centers ...... 323 Table 10.1-1: NASA Oversight Committees and Leadership ...... 328 Table 13.1-1: NASA Headcount and Contractor Work Year Equivalent at the End of FY12 .. 341 Table 13.3-1: Trends in Awards by Type of Contractor ...... 343 Table 13.3-2: Trends in Awards to Business Firms by Contract Type ...... 344 Table 13.3-3: Trends in Awards by Extent of Competition - Fiscal years –2008-2011 ...... 345 Table 13.3-4: NASA Direct Awards to Business Firms during FY2011 ...... 347 Table 13.4-1: NASA Grants from 2008-2011 ...... 349 Table 15.1-1: Overview of NASA’s Planning, Programming, Budgeting and Execution ...... 357 Table 15.1-2: NASA Steps in Budget Formulation (B + 4 Years) ...... 358 Table 15.1-3: NASA/OMB Steps in Federal Budget Formulation ...... 359 Table 15.1-4: Major Steps in Congressional Action ...... 360 Table 15.2-1: Draft Detail Budget Rollout Plan ...... 363 Table 15.3-1: Other Milestones (11/2012 – 04/2013) ...... 364

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NASA PRESIDENTIAL TRANSITION BINDER EXECUTIVE SUMMARY

The NASA Presidential Transition Binder is 2.0 NASA 2011 STRATEGIC PLAN one of three parts of the NASA documentation SUMMARY assembled for the benefit of the Presidential Transition Team. The first part is the NASA is currently operating under its 2011 Transition Library, which contains reports, Strategic Plan with the next Strategic Plan due documents, and other publications related to in February of 2014. The main elements of the NASA. The second part is the Transition Strategic Plan are goals for NASA’s major Binder, this document, which contains functions and operations, and a description of information specifically generated for the how these goals are to be achieved. This Transition Team by NASA. The third part is section describes the primary aspects of the the Critical Issues book, which contains a 2011 Strategic Plan, a copy of which can be description of major issues facing the Agency found in the Transition Library. that will need to be addressed at some point in the near future. This executive summary 3.0 NASA GOVERNANCE AND STRATEGIC presents an overview of the information MANAGEMENT contained in the Transition Binder. The purpose of NASA’s governance structure 1.0 THE SPACE ACT, RELEVANT SPACE is to promote mission success by fostering an POLICIES, AND OTHER APPLICABLE LAWS integrated working relationship between programmatic and institutional managers as NASA was established by the National they fulfill their separate responsibilities. This Aeronautics and Space Act of 1958. Title 51, section describes NASA’s governance Code, National and Commercial structure and rationale. Space Programs (Public Law 111-314), revises and restates certain laws relating to 4.0 NASA ORGANIZATION AND ROLES national and commercial space programs as a new positive law title of the United States NASA consists of the Office of the Code. Title 51 provides a complete Administrator, Mission Directorates, Mission compilation, restatement, and revision of the Support Offices with sub-offices, and NASA general and permanent laws related to NASA. centers. This section describes each of the offices and centers. Over the past five decades, a substantial amount of legislation was enacted relating to 5.0 NASA BUDGET AND HISTORY national and commercial space programs. In OVERVIEW the United States Code, some of these provisions appeared in Title 15 (Commerce The NASA budget has fluctuated since its and ), some in Title 42 (The Public inception in 1959. This section provides Health and Welfare), and some in Title 49 historical context to NASA’s budget and its (Transportation). No distinct title for national changes over time. and commercial space programs existed in the United States Code because the organizational 6.0 NASA MAJOR MISSIONS scheme for the Code was originally established in 1926, before such programs NASA currently has numerous major missions were contemplated. underway or planned. This section provides

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an overview of some of the missions in terms 10.0 CONGRESSIONAL COMMITTEE of budget and/or visibility. These flight LEADERSHIP AS OF OCTOBER 10, 2012, missions are organized by the Mission AND GENERAL ACCOUNTABILITY OFFICE Directorate. INTERACTION

7.0 MISHAP INVESTIGATIONS AND NASA is subject to oversight by numerous CONTINGENCY PLANS Senate and House committees, as well as by the Government Accountability Office NASA conducts mishap investigations in (GAO). This section lists all of these accordance with NASA Procedural oversight entities. Requirements for Mishap Reporting, Investigating, and Recordkeeping. The 11.0 NASA INTERACTION WITH FEDERAL objective is to improve safety by identifying DEPARTMENTS AND AGENCIES what happened, where it happened, when it happened, why it happened, and what should NASA routinely interacts with numerous be done to prevent recurrence and reduce the federal departments and agencies. The Office number and severity of mishaps. of International and Interagency Relations at NASA Headquarters coordinates Agency- 8.0 THE NASA WORKFORCE level policy interactions with U.S. executive branch departments and agencies. This NASA’s workforce consists of almost 18,000 section discusses NASA interaction with the civil servants. This workforce is supported by Department of State, the Department of nearly 40,000 contractor personnel that are Defense, the Department of Commerce, located on or near NASA-managed locations. regulatory efforts with other agencies, and This section breaks down and describes provides examples of programmatic NASA’s workforce in several categories. In cooperation with individual federal agencies. addition, this section provides an overview of It is important to note that interactions NASA’s long-term workforce strategy. between NASA and other federal departments and agencies occur at multiple levels at the 9.0 NASA INTERACTION WITH EXECUTIVE Agency, across all centers and Headquarters. OFFICE OF THE PRESIDENT 12.0 NASA INTERACTION WITH FOREIGN NASA interacts with the Executive Office of ENTITIES the President via three primary bodies: the Office of Management and Budget, the Office NASA has well-established cooperative of Science and Technology Policy, and the with other foreign government National Security Council. This section space agencies. NASA currently has over 500 describes NASA’s interactions with these active international agreements in 120 . countries. These partnerships include the International Space Station, , James Webb Space Telescope, and numerous Earth science and space science missions. It also seeks new opportunities for mutually beneficial cooperation with current partners, with emerging space programs, and with appropriate government agencies in

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nations that do not have space agencies. This 14.0 NASA FEDERAL ADVISORY section describes how NASA interacts with COMMITTEES AND THE NATIONAL these other organizations. ACADEMIES

13.0 HOW NASA’S WORK IS DONE: IN- NASA, and its predecessor, the National HOUSE, INDUSTRY, ACADEMIA Advisory Committee for Aeronautics (NACA), have always sought the independent NASA performs its mission using civil judgment and guidance from scientific and servants, contractors, and academic technical experts in academia, industry, and researchers, as well as international and other other government agencies. Agency partnerships. Work is performed at NASA Headquarters in Washington, DC, and 15.0 TIMELINE OF MAJOR MILESTONES AND in Mission Centers and facilities around the EVENTS IN THE BUDGET PROCESS United States. NASA draws upon extensive support from the private sector and academia This section provides a six-month timeline of to accomplish its mission. This section major milestones and events spanning provides an overview of how each of the November 2012 until April 2013. It includes facets of NASA’s extended workforce gets its such information as budget milestones, work done. mission launch dates, and major procurement milestones

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1.0 THE SPACE ACT, RELEVANT SPACE POLICIES, AND OTHER APPLICABLE LAWS

INTRODUCTION 2010 NASA AUTHORIZATION ACT

NASA was established by the National The Congress passed and the President signed Aeronautics and Space Act. Title 51, United the 2010 NASA Authorization Act to provide States Code, National and Commercial Space direction to NASA along with authorization Programs (Public Law 111-314), revises and for appropriations at specified levels for Fiscal restates certain laws relating to national and Years 2011-2013. This bi-partisan legislation commercial space programs as a new positive provided policy goals and objectives for law title of the United States Code. Title 51 NASA’s major programs. In particular, it provides a complete compilation, restatement, directed NASA to develop the Space Launch and revision of the general and permanent System with an initial lift capability of 70 to laws related to NASA. 100 tons to low Earth orbit, with the capability to carry and upper stage that will bring the Over the past five decades, a substantial total lift capability to 130 tons. The Act amount of legislation was enacted relating to further directed the development of a Multi- national and commercial space programs. In Purpose Crew Vehicle based on the Orion the United States Code, some of these project. These provisions, along with others provisions appeared in Title 15 (Commerce on commercial crew and cargo, continuation and Trade), some in Title 42 (The Public of ISS through at least 2020, and on science, Health and Welfare), and some in Title 49 aeronautics, and space technology are being (Transportation). No distinct title for national implemented by the Agency as rapidly as and commercial space programs existed in the appropriations allow. United States Code because the organizational scheme for the Code was originally 1.1 POLICIES established in 1926, before such programs were contemplated. There are several Administration policies that collectively define current U.S. National Public Law 111-314 gathers provisions Space Policy. The most recent National Space relating to national and commercial space Policy was released by President Barack programs, and restates the provisions as title Obama on June 28, 2010. It supersedes the 51, United States Code, ‘‘National and policy issued by President George W. Bush in Commercial Space Programs.’’ 2006. This June 2010 U.S. National Space Policy is the Administration’s umbrella Title 51 does not provide for any new policy, under which all U.S. space activities programs, nor does it modify or repeal any (national security, civil, commercial, and existing programs. Title 51 restates existing international) are governed. The discussion law in a manner adhering to the policy, intent, below further clarifies specific aspects of and purpose of the original enactments, while aeronautics and space policy related to NASA. improving the organizational structure of the A summary of the key policies are as follows: law and removing ambiguities, contradictions, and other imperfections.

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1.1.1 U.S. NATIONAL SPACE POLICY –  Increase assurance and resilience of JUNE 28, 2010 mission-essential functions enabled by commercial, civil, scientific, and national This is the overarching national policy that security spacecraft and supporting governs the conduct of U.S. space activities infrastructure against disruption, and supersedes the 2006 National Space degradation, and destruction, whether Policy. The U.S. National Space Policy from environmental, mechanical, expresses the President’s direction for the electronic, or hostile causes. Nation’s space activities, and articulates the President’s commitment to reinvigorating U.S.  Pursue human and robotic initiatives to leadership in space for the purposes of develop innovative technologies, foster maintaining space as a stable and productive new industries, strengthen international environment for the peaceful use of all partnerships, inspire our Nation and the nations. world, increase humanity’s understanding of the Earth, enhance scientific discovery, The goals of the 2010 National Space Policy and explore our solar system and the are: universe beyond.  Improve space-based Earth and solar  Energize competitive domestic industries observation capabilities needed to to participate in global markets and conduct science, forecast terrestrial and advance the development of: satellite near-Earth space weather, monitor manufacturing; satellite-based services; climate and global change, manage space launch; terrestrial applications; and natural resources, and support disaster increased entrepreneurship. response and recovery. And, of particular  Expand international cooperation on interest to NASA: mutually beneficial space activities to:  Direction for NASA to begin crewed broaden and extend the benefits of space; missions beyond the , including further the peaceful use of space; and sending to an asteroid, by 2025. enhance collection and in By the mid-2030s, send humans to orbit sharing of space-derived information. Mars and return them safely to Earth;  Strengthen stability in space through:  Continue the operation of the domestic and international measures to International Space Station (ISS), in promote safe and responsible operations cooperation with its international in space; improved information collection partners, likely to 2020 or beyond, and and sharing for space object collision expand efforts to: utilize the ISS for avoidance; protection of critical space scientific, technological, commercial, systems and supporting infrastructures, diplomatic, and educational purposes; with special attention to the critical support activities requiring the unique interdependence of space and information attributes of humans in space; serve as a systems; and strengthening measures to continuous human presence in Earth mitigate orbital debris. orbit; and support future objectives in human space exploration;

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 Seek partnerships with the private sector 1.1.2 U.S. SPACE TRANSPORTATION to enable safe, reliable, and cost-effective POLICY – DECEMBER 21, 2004 commercial spaceflight capabilities and services for the transport of crew and The 2004 U.S. Space Transportation Policy is cargo to and from the ISS; approaching the final stages of being revised by the current Administration. In general, the  Implement a new space technology National Space Transportation Policy development and test program, working establishes goals, guidelines, and with industry, academia, and international implementation actions for the full-range of partners to build, fly, and test several key U.S. space transportation-related capabilities technologies that can increase the and activities to ensure the Nation’s ability to capabilities, decrease the costs, and maintain access to and use of space for U.S. expand the opportunities for future space national and homeland security, and civil, activities; scientific, and commercial purposes.  Conduct research and development in support of next-generation launch 1.1.3 NATIONAL AERONAUTICS systems, including new U.S.rocket engine RESEARCH AND DEVELOPMENT technologies; POLICY – DECEMBER 20, 2006  Maintain a sustained robotic presence in This policy and its corresponding Executive the solar system to: conduct scientific Order provide guidance for U.S. aeronautics investigations of other planetary bodies; research and development (R&D) programs demonstrate new technologies; and scout through 2020. The fundamental goal of the locations for future human missions; policy is to advance U.S. technological leadership in aeronautics by fostering a  Continue a strong program of space vibrant and dynamic aeronautics R&D science for observations, research, and community that includes government, analysis of our sun, solar system, and industry, and academia. NASA’s role under universe to enhance knowledge of the this policy includes maintaining a broad cosmos, further our understanding of foundational research effort aimed at fundamental natural and physical preserving the intellectual stewardship and sciences, understand the conditions that mastery of aeronautics core competencies, so may support the development of life, and that the Nation’s world-class aeronautics search for planetary bodies and Earth-like expertise is retained. These core planets in orbit around other stars; and competencies also include key aeronautical  Pursue capabilities, in cooperation with capabilities that support NASA’s human and other departments, agencies, and robotic space activities. commercial partners, to detect, track, catalog, and characterize near-Earth 1.1.4 U.S. SPACE-BASED objects to reduce the risk of harm to POSITIONING, NAVIGATION, AND humans. TIMING POLICY – DECEMBER 8, 2004

In December 2004, the President issued an important new directive for the future of the Global Positioning System (GPS), which

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reflects a renewed U.S. government maximum practical extent on U.S. commercial commitment to maintaining GPS as a global remote sensing space capabilities for filling leader in satellite navigation. The policy imagery and geospatial needs for military, confirms the government’s intention to intelligence, foreign policy, homeland security continue providing an uninterrupted basic and civil users and focus U.S. government service free to all on a global basis for remote sensing space systems on meeting peaceful civil and commercial use. It also needs that cannot be effectively, affordably, acknowledges that GPS has become a global and reliably satisfied by commercial providers utility integral not only to our Nation’s because of economic factors, civil mission security, but also to our economic activity. needs, national security concerns, or foreign Appropriately, the policy covers not just GPS, policy concerns.” but all systems that utilize satellite-based technologies to provide enhanced positioning, 1.2 OTHER APPLICABLE LAWS navigation, or timing (PNT) services, such as the augmentation systems maintained by the The National Aeronautics and Space Act is Department of Transportation. NASA NASA’s legal charter. In addition, there are participates in realization of the policy numerous other laws that affect NASA through membership on the PNT Executive operations. Some primary laws in selected Committee, as well as activities such as areas are discussed below. development of requirements for the use of GPS to support civil space systems, and 1.2.1 THE ENVIRONMENT identifying solutions to preserve existing and  The National Environmental Policy Act of evolving uses of space-based PNT services. 1969, as amended, 42 U.S.C. § 4331, et In addition, NASA has sponsored the National Space-Based Positioning, Navigation and seq, This Act is the “basic national Timing Advisory Board since its inception in charter” for protecting the environment. It 2007, a federal advisory committee comprised establishes the policies and goals for of national and international PNT experts that enhancing the environment and requires provide guidance and recommendations to the Federal officials to consider, in planning PNT Executive Committee. anddecision-making, the environmental consequences of proposed actions. 1.1.5 U.S. COMMERCIAL REMOTE  The Clean Air Act, as amended, 42 U.S.C. SENSING SPACE POLICY – § 7401 et seq. The Clean Air Act is a APRIL 25, 2003 national comprehensive law governing Federal and State activities having any This policy calls for the advancement and effect on the air quality. It imposes strict protection of U.S. national security and criteria for use oflisted hazardous air foreign policy interests by maintaining the pollutants; requires phase-out of ozone- Nation’s leadership in remote sensing space depleting chemicals, by group or class, on activities, and by sustaining and enhancing the a specified timetable; and it includes both U.S. remote sensing industry. The purpose of civil andcriminal fines and penalties for this policy is to foster economic growth, violations. contribute to environmental stewardship, and enable scientific and technological excellence.  The Comprehensive Environmental, The policy sets forth that NASA and other Response, Compensation and Liability government agencies should “rely to the Act, as amended, 42 U.S.C. § 9601, et seq., This Act mandates compliance with

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procedural and substantive requirements . Section 207: post-employment for hazardous waste cleanups; and restrictions; after retirement / provides forassessment, ranking, and resignation, prohibits communications evaluating facilities for listing on the with the government on behalf of third National Priorities List as “superfund” parties, such as subsequent employer sites for cleanup. or private client. In the case of the  The Solid Waste Disposal Act (SWDA), Administrator, it will likely prohibit as amended particularly by the Resource communications with: Conservation and Recovery Act (RCRA), . NASA on any matter for one 42 U.S.C. § 6901, et seq. SWDA/RCRA year, because of pay rate; mandates that all Federal agencies comply . The entire government for two with solid and hazardous wastes handling years with respect to any and disposal requirements; obtain permits NASA matter in existence at for releases; andproperly identify, treat, the time of the Administrator’s and store such wastes. The law impacts all separation; NASA facilities. The Federal Facilities Compliance Act of 1992 provided for a . The entire government on any waiver of sovereign immunity with matter the Administrator was respect to federal, state, and local personally and substantially procedural and substantive requirements involved in, for the lifetime of relating to RCRA. the matter. . Section 208: Prohibits personal and All federal, state, and local environmental substantial involvement in any matter laws apply to NASA either directly or through in which the civil servant, spouse, Executive Orders. minor child, partner, or outside employer has a financial interest. 1.2.2 ETHICS/STANDARDS OF Includes, among other things, conflicts CONDUCT arising from investments, as well as conflicts from employment This area includes the following legislation: negotiations, arrangements, or relationships.  Criminal statutes in Title 18, United States Code: . Section 209: prohibits supplementation of salary as . Section 201: prohibits bribery and/or compensation for government service gifts for or because of an official act. from a source other than the United States. . Sections 203/205: prohibit communications on behalf of third  Ethics in Government Act of 1978/Ethics parties before the government. Reform Act of 1989 (Pub. L. 95-521 / Pub. L. 101-194)

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. Requires public financial disclosure . Restricts all OGE 278 filers from for all Executive Schedule and buying stock through initial public SES/SL/ST employees, and offerings (IPO’s) “in ways other than confidential financial disclosure for available to members of the public many General Schedule employees. generally.” . Limits outside earned income of . Hatch Political Activity Act, as senior, non-career employees. amended. . Requires annual ethics training. . The Administrator and Deputy Administrator may engage in political . Requires the Office of Government activity while on duty, while in Ethics to make ethics regulations for government offices and in government the entire government. OGE’s vehicles. However, costs associated regulations include conflicts of with that activity may not be paid with interest, gifts, seeking other appropriated funds. employment, outside activities, and other areas. . Authorizes certain off-duty political activities by General Schedule . Stop Trading on Congressional employees. Knowledge (STOCK) Act, Pub. L. 112-105. Requires internet access to . Prohibits career SES members from Public Financial Disclosure forms engaging in most political activity. (OGE Form 278s), which are filed by PAS, SES, ST, SL, Schedule C, and  Trade Secrets Act, as amended, 18 U.S.C. certain other employees effective § 1905. The Trade Secrets Act requires December 8, 2012, with further study Federal Government employees to protect of the requirement. proprietary/trade secret data or confidential commercial information . Requires public financial disclosure received in the course of their filers to file ongoing periodic employment from unauthorized release. transaction reports for securities Under the Trade Secrets Act, NASA transactions exceeding $1000. employees are subject to criminal . Requires public financial disclosure prosecution and removal from office for filers to notify their ethics office that wrongful disclosure of such information. they are negotiating for employment Conviction under this statute can result in with an outside entity within three fines, imprisonment, or both. days of beginning negotiations and to recuse themselves in writing if a 1.2.3 PERSONNEL potential conflict exists. The following laws apply in the area of . Requires Senate confirmed presidential personnel. For more information, contact appointees to report mortgage Veronica Marshall, Office of Human Capital information for personal residences. Management, at (202) 358-0857.

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 The Civil Service Reform Act of 1978  Iran Nonproliferation Act of 2000 – (Pub. L. 95-454), as amended. The Civil P.L.106-178, 50 U.S.C. § 1701: Service Reform Act is the legal authority Effectively prohibits payments to the for all federal personnel activities and Russian Space Agency and entities under practices. It established the Senior jurisdiction or control of the Russian Executive Service, the Merit Systems government for work on the ISS or for Protection Board, the Office of Special . Counsel, the Federal Labor Relations (http://www.nasa.gov/offices/ogc/ Authority, and a government-wide commercial/18usc1905.html) performance appraisal system.  Special Maritime & Territorial  NASA Flexibility Act of 2004, 5 U.S.C. Jurisdiction of US – 18 U.S.C. § 7: 9804. The Act’s provisions afford NASA Extends U.S jurisdiction to U.S. new flexibility with respect to registered vehicles designed for flight or recruitment, relocation, and redesignation navigation in space. bonuses. (http://www.nasa.gov/offices/ogc/comme rcial/18usc7.html)  NASA Authorization & Appropriation Acts. NASA’s authorization and 1.2.5 EXPORT CONTROL appropriation acts frequently include specific restrictions on personnel actions, Export control legislation includes the including prohibitions against reductions following: in force, or shifting of projects away from NASA field centers.  The Arms Export Control Act of 1976, 22 U.S.C. § 2778. The Arms Export Control 1.2.4 INTERNATIONAL LAW AND Act is the foundational statute for COOPERATION regulating trade and transfers of munitions and defense articles. The International law and cooperation are covered International Traffic in Arms Regulations by the following legislation: (ITAR), 22 CFR 120.1, et seq., issued by the Department of State under the  Case-Zablocki Act, 1 U.S.C. § 1126 and authority of the Arms Export Control Act the State Department’s Circular 175 controls the export by NASA of items on procedure, 22 CFR Part 181. The Act the U.S. Munitions List (USML). The requires periodic reporting to Congress of USML covers launch vehicles, advanced “significant” international agreements aircraft, spacecraft, space electronics, and entered into by executive branch related equipment, including ground agencies. The State Department’s support equipment specifically designed Circular 175 procedure is an internal or modified for spacecraft or space process through which agencies are electronics. required to obtain State’s authorization to negotiate and to conclude such agreements and involves consultation with other affected agencies—including the Office of Management and Budget.

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NASA has been pursuing an recommendations of a joint DOD and appropriately circumscribed ITAR State Department national security exemption, modeled on the Arms Export assessment submitted to the Congress in Control Act’s Foreign Military Sales April 2012. exemption enjoyed by the Department of Defense (DOD) and its contractors, and 1.2.6 INVENTIONS/PATENTS has engaged with the State Department and other agencies on an acceptable Invention patents come under the jurisdiction legislative proposal to address the ITAR- of the following legislation: related concerns of the Agency and its contractors.  The Bayh-Dole Act (Pub. L. 96-517, § 6(a), 1980), as amended, 35 U.S.C. §§  The Export Administration Act of 1979, 200-212. Nonprofit organizations 50 U.S.C. App. 2401, et seq. The Export (includes colleges and universities) and Administration Act is the basic statute small business firms are granted the right that underlies the regulation of dual-use to elect to retain title to an invention (i.e., civil/commercial and military) made under a “funding agreement,” i.e., exports. The Export Administration any contract, grant, or cooperative Regulations (EAR), 15 CFR 730, et seq., agreement for the performance of are issued by the Department of experimental, developmental, or research Commerce under the authority of the work funded in whole or in part by the Export Administration Act. The broad Federal Government. The government spectrum of dual-use items controlled on retains a nonexclusive, nontransferable, the EAR’s Commerce Control List irrevocable, paid-up license to practice includes such items of importance to the invention or have it practiced for or NASA as the International Space Station, on behalf of the United States throughout developmental aircraft, navigation the world. equipment, and sensors.  Section 20135 of the National The Administration has been consulting Aeronautics and Space Act (“Space with Congress as it publishes a series of Act”), 51 U.S.C. § 20135. Section 20135 proposed rules to solicit public input on is subject to the Bayh-Dole Act. revised export control lists, following a Therefore, under Section 20135, DOD-chaired review, in which NASA inventions by other than nonprofit has been participating, that is the organizations or small business firms that cornerstone of the President’s on-going the Administrator determines were made Export Control Reform Initiative. in the manner specified by the Space Act However, the Administration will be are the exclusive property of the unable to complete this process for the government. However, upon request, the category of the USML that includes Administrator may waive all or any part commercial , since those items of the government’s rights in such are controlled on the USML by statute. inventions, subject to the reservation by Consequently, the Administration has the Administrator of government-purpose been working to support legislation in rights in the invention, if the both the House and Senate, which would Administrator determines the interests of facilitate this transfer and implement the the U.S. will be served thereby.

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 Executive Order 12591 issued by the  15 U.S.C. § 3710c, Distribution of President of April 10, 1987, requires royalties received by federal agencies. executive departments and agencies, to This requires that each year the first the extent permitted by law, to adopt and $2,000, and thereafter at least 15 percent, implement the same or substantially the of the royalties or other income received same policies for all research and from licensing of federally owned development contractors as are set forth inventions be distributed to the employee- in 35 U.S.C. § 200 et seq., (Pub. L. 96- inventors and any other inventors that 517). As a result, NASA, if requested, have assigned their rights to the United usually waives title to inventions made States. Remaining royalties (within under Section 20135 of the Space Act certain limits and under certain under essentially the same circumstances, guidelines) are to be distributed to the and subject to the same or similar laboratory where the invention was made conditions, as found in 35 U.S.C. § 200 et to support activities directed to promoting seq. the licensing of inventions.

1.2.7 PATENT LICENSING

Patent licensing activities are regulated by the following laws:

 The Bayh-Dole Act, (Pub. L. 96-517, § 6(a), 1980) as amended, 35 U.S.C. §§ 207-209. This act authorizes each federal agency to (a) obtain and maintain patents or other forms of protection in the United States and foreign countries on inventions in which the Federal Government owns a right, title, or interest and (b) grant nonexclusive, exclusive, or partially exclusive licenses, royalty-free or for royalties or other consideration, and on such terms and conditions, including the grant to the licensee of the right of enforcement, as determined appropriate in the public interest. Provides the requirements a federal agency must meet to grant an exclusive or partially exclusive license on a federally owned invention under Section 207, and prescribes certain terms and conditions that must be included in such licenses.

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 51 U.S.C. § 20113(e). Under NASA’s  51 U.S.C. § 50116, National and “other transactions” authority, NASA Commercial Space Programs. This enters into reimbursable, non- requires NASA to execute a commercial reimbursable, and funded agreements technology transfer program with the goal (Space Act agreements) with diverse of facilitating the exchange of services, groups of people and organizations. products, and intellectual property Reimbursable Agreements are between NASA and the private sector. Agreements wherein NASA’s costs This program shall place at least as much associated with the undertaking are emphasis on encouraging the transfer of reimbursed by the Agreement Partner. NASA technology to the private sector NASA undertakes Reimbursable (“spinning out”) as on encouraging use of Agreements when it has unique goods, private sector technology by NASA and services, and facilities not being fully shall be maintained in a manner that utilized to accomplish mission needs, provides clear benefits for the agency, the which it can make available to others on a domestic economy, and the research noninterference basis, consistent with the community. Agency’s missions. All Reimbursable Agreements are subject to the provisions  Executive Order 12591 of April 10, 1987, of NASA’s policy. requires agencies to take various steps to Nonreimbursable Agreements involve ensure that federal agencies and NASA and one or more Agreement laboratories assist universities and the Partner(s) in a mutually beneficial private sector in broadening the U.S. activity that furthers the Agency’s technology base by moving new missions, wherein each party bears the knowledge from the research laboratory cost of its participation, and there is no into the development of new products and exchange of funds between the parties. processes. Since Nonreimbursable Agreements  15 U.S.C. § 3710a, Cooperative research involve the commitment of NASA and development agreements. This resources, the respective contributions of authorizes federal agencies to enter into each Agreement Partner must be fair and Cooperative Research and Development reasonable under the circumstances. Agreements (CRADAs) with public and Funded Agreements are Agreements private entities to transfer commercially under which appropriated funds are useful technology from federal transferred to a domestic Agreement laboratories into the private sector. Partner to accomplish an Agency mission. Funded Agreements may be 1.2.8 TRADEMARKS used only when the Agency’s objective cannot be accomplished through the use Trademarks and NASA Emblems are of a procurement contract, grant, or governed by the following laws and cooperative agreement. regulations:

 15 U.S.C. Chapter 22, U.S. Trademark Law. Though NASA’s name, initials, NASA Seal, Insignia, Logotype, mission patches, and other Program Identifiers are

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not, technically, trademarks, their use is  Armed Services Procurement Act governed and protected by law. (ASPA) of 1947, as amended. Notable statutes amending the ASPA are the Section 20141 of the Space Act (51 U.S.C. § Competition in Contracting Act of 1984 20141) prohibits misuse of the Agency name and the Federal Acquisition Streamlining and initials. 14 CFR Part 1221.1 sets forth Act of 1994. The provisions of this NASA’s policy and procedures on use of the statute are codified for NASA at 10 NASA Seal, Insignia, Logotype, and Program U.S.C. § 2301, et seq., and govern the Identifiers. procurement of supplies and services by the Agency. The competition requirement 1.2.9 PROCUREMENT CONTRACTS, found at 12 U.S.C. § 2304 is one of the GRANTS AND COOPERATIVE more significant provisions in the Armed AGREEMENTS Services Procurement Act. With certain defined exceptions, section 2304 of the 51 U.S.C. § 20113(e) authorizes NASA to Act requires that NASA’s award grants and cooperative agreements. The provide for full and open competition; following legislation governs procurement that is, all responsible sources must be contracts, grants and cooperative agreements: permitted to submit bids or proposals on procurement. The Act also provides for  Federal Grant and Cooperative the increased use of commercially Agreement Act of 1977. The provisions available items, and places more of this statute are codified at 31 U.S.C. § emphasis on past contractor performance 6301, et seq., and prescribe criteria for and best value solicitations. Although selecting appropriate legal instruments NASA derives its procurement authority between federal agencies and other from the ASPA, that does not modify its entities in acquiring property and services civilian agency role as established by the and in providing U.S. government Space Act assistance. This Act is also referred to as the “Chiles Act” after the late Senator 1.2.10 COMMERCIALIZATION OF SPACE Chiles (FL) who sponsored it. If the ACTIVITIES principal purpose of the parties is not the acquisition of property or services, but The commercialization of space is governed the transfer of a thing of value to a by the following legislation: The Commercial recipient to carry out a public purpose of Space Launch Act, as amended, codified in 51 support or stimulation authorized by law, U.S.C. § 50901 et seq. promotes commercial an agency must use a grant or cooperative space launches by the private sector, through agreement, rather than a procurement the Federal Aviation Administration (FAA) contract. licensing of all commercial launches and reentries, including those involving space  NASA’s procurement of goods and flight participants. The Act also provides FAA services is governed by the following: licensing authority for the operation of commercial launch and reentry sites. Other government agencies, including NASA, are encouraged to make facilities and services available to licensees on a direct cost reimbursable basis. In addition, the Act requires licensees to obtain or

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demonstrate financial responsibility to  Section 50111 declares that a priority compensate third parties or the United States goal of constructing the International for possible damage resulting from their Space Station is the economic activities; and provides an indemnification development of Earth orbital space, mechanism for the payment by the United which should be governed by free market States of third party claims against licensees principles. It directs NASA to enter into above the required insurance amounts. a funded Space Act Agreement with commercial entities for a Commercial  The Commercial Space Competitiveness Orbital Transportation Services crewed Act, codified at 51 U.S.C. §§ 50501-506, vehicle demonstration program, enter into authorizes NASA to allow non-federal an International Space Station (ISS) crew entities to use NASA’s space-related transfer and crew rescue services contract facilities on a reimbursable direct cost with a commercial provider who basis provided, among other things, that demonstrates the capability to provide no equivalent commercial services are such services, and generally make use of available on reasonable terms. In U.S. commercially provided ISS crew addition, the Act establishes a launch transfer and crew rescue services to the voucher demonstration program; maximum extent practicable. (51 U.S.C. multiyear anchor tenancy contracts for § 50111.) goods or services under certain conditions; and termination liability for  Section 50113 requires NASA to acquire the anchor tenancy contracts. space and Earth science data from commercial providers to the extent  The Commercial Space Act of 1998, possible and, when doing so, to treat codified as Chapter 501, Space space science data as a commercial item. Commerce, of United States Code Title (51 U.S.C. § 50113.) 51, National and Commercial Space Programs encourages the development of  Section 50115 requires NASA to acquire a commercial space industry through a Earth science data from commercial variety of mechanisms. providers to the extent possible and, when doing so, to treat Earth science data as a commercial item. (51 U.S.C. § 50115.)  Section 50116 requires NASA to execute a commercial technology transfer program with the goal of facilitating the exchange of services, products, and intellectual property between NASA and the private sector. (51 U.S.C. § 50116.)  Section 50131 mandates that the Federal Government acquire space transportation services from commercial providers, subject to certain exceptions. (51 U.S.C. § 50131.)

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 Section 50132 states that the Federal  42 U.S.C. § 18354 directs the Government is to treat space Administrator to enter into a cooperative transportation services as commercial agreement with a not-for-profit entity to items when acquiring them. (51 U.S.C. § manage the activities of the ISS national 50132.) laboratory. The Administrator is to provide initial financial assistance to the  Section 50134 authorizes the Federal organization. In managing the ISS Government to use excess national laboratory, the organization is to, intercontinental ballistic missiles as space inter alia, plan and coordinate ISS launch vehicles only under certain national laboratory research activities; conditions. (51 U.S.C. § 50134.) develop guidelines for non-NASA  The 2003 DoD Appropriations Act of scientific utilization of ISS research 2003, codified at 51 U.S.C. §§ 50301- capabilities and facilities in U.S.-owned 302, provides loan guarantee authority, modules; and cooperate with various through the Secretary of Defense, for entities to ensure the enhancement and commercial reusable in-space sustained operations of non-exploration- transportation systems as a means of related research payload ground support encouraging their production and facilities. NASA, however, retains its operation by the private sector. The Act roles and responsibilities in providing states that commercial reusable in-space payload integration. With respect to ISS transportation systems can enhance and research capacity, ISS national laboratory enable U.S. space exploration by managed experiments are to be providing lower cost trajectory injection guaranteed access to, and utilization of, from earth orbit, transit trajectory control, not less than fifty percent (50 percent) of and planet arrival deceleration to support the U.S. research capacity allocation. NASA’s missions to Mars, Pluto, and  51 U.S.C. § 20301 requires the other planets. Administrator to carry out a balanced set  51 U.S.C. § 70905 designates the U.S. of programs as delineated in the Act. segment of the ISS as a national NASA must also contract with the private laboratory; directs the Administrator to sector for crew and cargo services, seek to increase the utilization of the ISS including to the ISS, to the extent by other federal entities and the private practicable; use commercially available sector through partnerships, cost-sharing products (including software) and agreements, and other arrangements that services to the extent practicable to would supplement Administration support all NASA activities; and funding of the ISS; and authorizes NASA encourage commercial use and to enter into a contract with a non- development of space. governmental entity to operate the ISS  Land Remote Sensing Policy – 51 U.S.C. national laboratory. § 60101: Continuity of Landsat data acquisition.

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 Title IV, “Development and Use of  The America COMPETES Commercial Crew and Cargo Reauthorization Act of 2010 (Pub. L. Transportation Capabilities,” of the 2010 111-358) directs NASA and other Federal NASA Authorization Act (Pub. L. 111- Government entities to carry out 267) addresses the ongoing commercial education programs that are designed to crew and cargo program. increase the student interest and participation in STEM, improve the  Section 401, codified at 42 U.S.C. § literacy in STEM, and provide curriculum 18341, directs NASA to continue to support and materials. This Act also gave support the Commercial Orbital all federal agencies, including NASA, the Transportation Services program, and authority to carry out programs to award authorizes NASA to apply funds to prizes competitively to stimulate support efforts to conduct a flight test, innovation that has the potential to accelerate development, and develop the advance the mission of the respective ground infrastructure needed for agency. commercial cargo capability.  Section 403, codified at 42 U.S.C. § 18342, authorizes NASA, starting in fiscal year 2012, to support follow-on commercially developed crew transportation systems, provided that specified requirements are satisfied.

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2.0 NASA 2011 STRATEGIC PLAN SUMMARY

INTRODUCTION The strategic plan is the cornerstone of an agency’s performance framework. The NASA is operating under the 2011 Strategic strategic plan should provide the context for Plan. Previously, NASA published Strategic decisions about performance goals, priorities, Plans in 1995, 1996, 1998 (with an interim and budget planning. It should provide the adjustment in 1999), 2000, 2003, and 2006.1 framework for the detail published in Agency This guiding document will be updated on a Annual Performance Plans and Annual four-year cycle, starting with 2014, to better Performance Reports. align with the beginning of each new term of an Administration. 2.2 2011 STRATEGIC PLAN

This section discusses NASA’s 2011 Strategic NASA published the 2011 Strategic Plan on Plan by first presenting the plan’s background February 14, 2011. It reflects the laws and and an overview. It then discusses the key policies relevant to the Agency, such as the components of the plan: the vision, mission, 2010 U.S. National Space Policy and the values, and strategic goals. The 2011 Strategic NASA Authorization Act of 2010. Plan can be found at http://www.nasa.gov/pdf/516579main_NASA NASA’s strategic goals and outcomes are the 2011StrategicPlan.pdf. It also provides some basis of its performance framework.2 They are preliminary information on the new law and in turn supported by objectives, performance policy for agency strategic plans and NASA’s goals, Agency Priority Goals, and annual forthcoming plan in development. performance goals. The objectives identify actions within a 10-year time frame that 2.1 BACKGROUND support progress toward their respective outcome. Performance goals, written to The law and policy determining the support the objectives, are published in development and delivery of NASA’s 2011 NASA’s Congressional Justification as the Strategic Plan are the Government annual performance plan. They describe Performance and Results Act (GPRA), 1993 Agency activities that span the next five years (Section 3), and OMB Circular A-11, Part 6, and include a set of specific, measurable, Section 210, respectively. The strategic plan annual performance goals that must align with defines an agency’s mission, long-term goals, the budget. strategies planned, and the approaches it will use to monitor its progress in addressing 2.3 NASA’S VISION, MISSION, AND specific national problems, needs, challenges, VALUES and opportunities related to its mission. NASA’s Vision, Mission, and Values were updated in the 2011 Strategic Plan.

1 Plans prior to 2003 are archived at: http://www.hq.nasa.gov/office/codez/plans/archivemen u.html. Recent Budgets, Strategic Plans, and Accountability Reports are published at 2 An illustration of NASA’s performance framework is http://www.nasa.gov/news/budget/index.html. at the end of this document.

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NASA’s Vision: To reach for new heights and support equal opportunity, collaboration, reveal the unknown, so that what we do and continuous learning, and openness to learn will benefit all humankind. innovation and new ideas.

NASA’s Mission: Drive advances in science,  Excellence: To achieve the highest technology, and exploration to enhance standards in , research, knowledge, education, innovation, economic operations, and management in support of vitality, and stewardship of Earth. mission success, NASA is committed to nurturing an in NASA’s Values: NASA’s 2011 Strategic which individuals make full use of their Plan presents the agency’s four core values. time, talent, and opportunities in pursuit of excellence in both the ordinary and the extraordinary.  Safety: NASA’s constant attention to safety is the cornerstone upon which we 2.4 NASA’S STRATEGIC GOALS build mission success. We are committed, individually and as a team, to protecting Congress enacted the National Aeronautics the safety and health of the public, our and Space Act of 1958 to provide for research team members, and those assets that the into problems of flight within and outside Nation entrusts to the Agency. Earth’s atmosphere and to ensure that the  Integrity: NASA is committed to United States conducts activities in space maintaining an environment of trust, built devoted to peaceful purposes for the benefit of upon honesty, ethical behavior, respect, humankind. Over 50 years later, NASA and candor. Our leaders enable this continues its work in research and exploration environment by encouraging and through its unique resources and competencies rewarding a vigorous, open flow of in science and engineering. The current communication on all issues, in all strategic goals reflect NASA’s major missions directions, and among all employees and research. without fear of reprisal. Building trust through ethical conduct as individuals Within the Strategic Plan, each goal is and as an organization is a necessary supported by narrative to elaborate on the component of mission success. goal’s relevance to the public, strategies for achievement, risks, and projections for the  Teamwork: NASA’s most powerful tool future. NASA’s six strategic goals are listed for achieving mission success is a immediately below. multidisciplinary team of diverse competent people across all NASA  Strategic Goal 1: Extend and sustain centers. Our approach to teamwork is human activities across the solar system. based on a philosophy that each team member brings unique experience and  Strategic Goal 2: Expand scientific important expertise to project issues. understanding of the Earth and the Recognition of, and openness to, that universe in which we live. improves the likelihood of  Strategic Goal 3: Create the innovative identifying and resolving challenges to new space technologies for our safety and mission success. We are exploration, science, and economic committed to creating an environment future. that fosters teamwork and processes that

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 Strategic Goal 4: Advance aeronautics 2.6 IMPLEMENTING THE 2011 research for societal benefit. STRATEGIC PLAN

 Strategic Goal 5: Enable program and NASA has been implementing the 2011 institutional capabilities to conduct Strategic Plan in a changing policy NASA’s aeronautics and space activities. environment. The current strategic plan was  Strategic Goal 6: Share NASA with the published about the same time that the GPRA public, educators, and students to provide Modernization Act was passed. While opportunities to participate in our NASA’s current strategic plan was not Mission, foster innovation, and contribute developed under the Modernization Act, it to a strong national economy. complies with the requirements in A-11 (2011), including Federal Priority Goals, 2.5 NEW LAW AND POLICY where applicable, Agency Priority Goals, where applicable, and congressional The law and policy determining the consultation. Therefore, NASA did not have development and delivery of federal strategic to update its strategic plan prior to 2014. plans were overhauled in early 2011. Congress passed the Government Performance and OMB guidance for strategic plans has evolved Results Act (GPRA) Modernization Act of over the 2011 and 2012 versions of A-11 2010 (GPRAMA) on January 4, 2011. OMB towards a standard strategic plan framework revised Circular A-11 in both 2011 and 2012 of strategic goals and strategic objectives. to reflect this new direction. NASA’s current framework has strategic goals, outcomes, and objectives, but has GPRAMA, (Section 2), and A-11 (2012), Part placed more emphasis on strategic goals and 6, Section 230, discuss several key elements outcomes, as they align most closely with the required in a strategic plan. They include OMB standard. Objectives are still in the agency and mission information, strategic strategic plan, but receive less emphasis in goals, strategic objectives, and Agency annual performance reporting. Priority Goals. Agencies must establish general, outcome-oriented, long-term strategic In February 2012, NASA and OMB agreed on goals for the major functions and operations of two-year Agency Priority Goals for the the agency. Strategic goals should identify the FY12-13 period. A-11 directed that the goals problem or opportunity being addressed and be incorporated into the strategic plan. The rationale for the selection of the goals, as well 2011 Strategic Plan was amended in February as a description of consultations with 2012 to incorporate the Agency’s FY12-13 Congress and other stakeholders. Strategic Priority Goals. The Priority Goals emphasize objectives break broader strategic goals down the International Space Station, Human to a level that reflects the outcome or impact Exploration and Operations, Mars Science the agency is trying to achieve, as well as the Laboratory, and Space Technology. specific results of an agency’s contributing programs. Agency Priority Goals are selected 2.7 2014 STRATEGIC PLAN every two years, and reflect the top DEVELOPMENT implementation-focused, performance- improvement priorities of agency leadership NASA is required to publish a new strategic and the Administration. plan in February 2014. As part of this timeline, OMB requests a draft strategic plan

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by June 3, 2013. After a four-week review (2012). Draft strategic goals will be provided period, Agencies will incorporate OMB to Control Account Managers as part of the feedback and request input from external Strategic Programming Guidance, so they can stakeholders. The final draft strategic plan is begin preparing their FY15 budgets and no later than December 20, 2013, for final performance plans to align with the new plan. clearance. The plan will be published in February 2014 concurrent with the FY15 Congressional NASA began development of its 2014 Justification. Strategic Plan in spring 2012. Its development is based on the guidance in the GPRA Modernization Act and OMB Circular A-11 NASA’s Performance Framework due to OMB

Figure 2.7-1: NASA Strategic Plan Development Process

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3.0 NASA GOVERNANCE AND

INTRODUCTION their roles and responsibilities vary greatly as they pursue the common goals of mission NASA’s primary focus is mission success for safety and success. The NASA governance the full breadth of operational, developmental, structure is designed to provide a system of and planned programs and projects. checks and balances among these entities and Institutional facilities and capabilities are their respective Authorities. maintained only because they are necessary to achieve mission success for this range of To enable Agency-wide success, NASA’s programs and projects. Similarly, Agency and governance framework is founded on the center policies, requirements, standards, following tenets: procedures, and practices exist only to  Everyone in NASA has a responsibility to facilitate mission success for the spectrum of support the goals of its programs and programs and projects. At the same time, projects. there is a necessary and constructive tension  Clear roles, responsibilities, and decision between organizational practices, which making creates organizational promote mission success in the near term and effectiveness and efficiency. those which enable mission success in the  For major system developments, NASA future. generally establishes the overall architecture and manages the interfaces. NASA’s success is dependent upon a proper Additionally, NASA must retain smart balance between those authorities vested in buyer/customer experience. Thus, for program and project managers intended to institutional long-term health, NASA must promote programmatic efficiency, and those maintain center systems engineering, authorities vested in institutional managers program and intended to assure resource availability, capabilities, and essential mission support compliance with external requirements, capabilities. compliance with applicable standards of  Programmatic and institutional professional practice, and efficiency across perspectives can naturally differ. This NASA’s total program portfolio. The purpose creative tension must be managed of NASA’s governance structure is to promote constructively to provide the appropriate mission success by fostering an integrated balance between short-term efficiency and working relationship between programmatic long-term sustainability. and institutional managers as they fulfill their  While maintaining the chain of authority, separate responsibilities. information must be available to appropriate levels of management for The Office of the Administrator, Mission visibility into programs, projects, and Directorate Associate Administrators (AAs), institutions. Mission Support Directorate Associate and  Each team member brings unique Assistant Administrators, Center Directors, experience and important expertise to and program and institutional managers each issues. Diversity and inclusion are integral have key roles and assigned authority in to mission success. executing successful missions. However, in  Independent reviews by respected experts view of their differing constraints, time frames are held to provide an objective measure of interest, and organizational points of view, of progress.

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SOURCE: NASA Governance and Strategic Directorate AAs are responsible for managing Management Handbook (NPD 1000.0B draft) the directorate’s program portfolio and are accountable for mission safety and success for 3.1 ORGANIZATIONAL BALANCE the programs and projects assigned to them. Mission Directorate AAs define, fund, NASA’s mission focus is reflected in its evaluate, and oversee the implementation of structure. Figure 3.1-1 is a notional NASA programs and projects to ensure their representation of the NASA organization that outcomes meet schedule and cost constraints. will serve as the reference for the discussion They establish and maintain the directorate’s of organizational balance. The Office of the strategy to meet Agency goals, mission Administrator is accountable for all Agency architecture, top-level requirements, activities, both programmatic and institutional, schedules, and budgets. Mission Directorate and has responsibility for policy, strategic AAs and program and project managers have planning, budgetary resources, and oversight ultimate responsibility for mission success in of NASA’s overall mission. Mission accordance with governing requirements.

Figure 3.1-1: NASA Structure - Center functional office directors report to agency functional AA; Deputy and below report to center leadership

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The Mission Support Directorate (MSD), in and maintaining ongoing processes and forums coordination with other Mission Support to monitor the status and progress of programs Offices, provides Agency policy and oversight and projects, and performing periodic reviews and assures compliance with external and to assess technical and programmatic progress. internal Agency requirements. They contribute to the decisions on strategic balance Center Directors also serve as an important between current and future program and link in the Technical Authority line. By means project needs, while ensuring the needed of the Institutional (Technical and Mission institutional and asset base for programs over Support) Authority vested in them, Center time. Directors are responsible and accountable for assuring that activities at their centers are The MSD provides effective and efficient implemented in accordance with accepted institutional support to enable the Agency to standards of professional practice and successfully accomplish its missions. The applicable NASA requirements (see Figure MSD focuses on reducing institutional risk to 3.1-2). They facilitate the activities of the NASA’s current and future missions by program and project Technical Authorities as improving processes, stimulating efficiency, well as Mission Support Authorities. and providing consistency and uniformity across institutional capabilities and services. A Mission Directorate AAs and Center Directors key institutional role of the Mission Support must balance the specific needs of individual Directorate AA is that of service across programs and projects alongside thoughtful Mission Directorates. compliance with applicable priorities, policies, procedures, and practices. To achieve this Center Directors are responsible for the care of balance, Center Directors and Mission institutional assets, for establishing and Directorate AAs report organizationally to the maintaining the staff and their competencies, NASA Associate Administrator. Mission and for the facilities required by current and Directorate AAs do not have institutional future programs and projects. To achieve oversight of centers. Center Directors do not Agency program and project objectives, provide programmatic direction but they do Mission Directorate AAs depend on the Center provide oversight of the programs and projects Directors to execute programs in accordance at their centers and they provide with Agency priorities, and to communicate recommendations to the Decision Authority at any issues to Mission Support Directorate and key decision points throughout the life cycle Mission Directorate AAs, and higher through of a program or project. Mission Directorate the Agency governance process (See Figure AAs and Center Directors all have a strong 3.1-1). Center Directors are responsible and and vested interest in the mission of the accountable for the proper planning and Agency. They continually exchange execution of programs and projects assigned to information to ensure the appropriate balance the center. Center Directors provide resources, and to ensure that issues and concerns are oversee the assignment of workforce and properly elevated to the AA for resolution facilities, and manage center operations to when appropriate. ensure the center is capable of accomplishing the programs, projects, and other activities assigned to it in accordance with Agency policy and the center’s best practices and institutional policies. This includes establishing

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Figure 3.1-2: Separation of Programmatic and Institutional Authority

3.2 PROGRAMMATIC AND experience and the existence of open INSTITUTIONAL CHECKS AND communications. Figure 3.1-2 illustrates the BALANCES separation of the Programmatic and Institutional Authorities, which is a An important element supporting the cornerstone of NASA’s system of checks and achievement of mission success is a balances. management system that incorporates a robust system of checks and balances. Such a system 3.3 ROLES AND SEPARATION OF maintains balance between organizations, AUTHORITIES promotes open communication, incorporates processes to ensure decisions benefit from NASA’s separation of the roles for different points of view, and achieves a proper Programmatic and Institutional Authorities balance between flexibility and formality. provides an organizational structure that promotes success while taking advantage of The existence of a comprehensive system of the different perspectives each Authority checks and balances is not an expression of a brings to issues. lack of confidence in any organization or individual. It is recognition that NASA fulfills The Office of the Administrator assigns its overall mission through implementation of specific responsibility and authority to the important, complex, and high-risk programs Programmatic and Institutional Authorities and projects for which there typically does not who report to the Administrator, Deputy exist a prescribed solution or in many cases a Administrator, or Associate Administrator. single solution. The proper resolution of These Authorities, who are the “official challenges to safety and mission success, and voices” for their respective areas, set, oversee, the reduction of risk to its minimum, depends and assure conformance to applicable on the work of teams strengthened by diverse institutional and programmatic requirements.

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The Programmatic Authority resides with the 3.1-2); the Institutional Authority Mission Directorates and their respective encompasses all those Headquarters and programs and projects. The Institutional center organizations not in the Programmatic Authority includes respective Headquarters Authority. The Engineering, Safety and and center organizations. This Authority Mission Assurance, and Health and Medical includes the Technical Authorities organizations are unique. They support (individuals with specifically delegated programs and projects in two ways. They authority in Engineering, Safety and Mission provide, support, and oversee the technical Assurance, and Health and Medical), the work of matrix personnel with necessary Mission Support Authorities consisting of technical expertise. In addition, these MSD and remaining Headquarters Mission organizations provide individuals who have a Support Offices, the center organizations that formally delegated Technical Authority role are aligned with these offices, and the Center traceable to the Administrator and Directors. independent of Programmatic Authority. The Technical Authorities are a key part of 3.3.1 PROGRAMMATIC AUTHORITY NASA’s overall system of checks and balances and provide independent oversight of The Mission Directorates and their program programs and projects in support of safety and and project managers are the Programmatic mission success. The individuals fulfilling Authorities. Technical Authority roles have independent reporting paths from the program or project. The Mission Directorate: The responsibilities of a program or project  Creates the high-level implementation manager have not been diminished by the strategies for program formulation based implementation of a Technical Authority. The upon the NASA Strategic Plan. program or project manager is still ultimately responsible for the safe conduct and  Defines the corresponding programmatic successful outcome of the program or project requirements and objectives. in accordance with governing requirements.  Evaluates program/project performance, provides guidance to the strategic 3.3.3 INSTITUTIONAL—MISSION acquisition process, and oversees SUPPORT AUTHORITY implementation of decisions from the strategic acquisition process. Mission Support Authorities are the designated “official voices” of their Program and project managers are responsible institutional areas and the associated and accountable for the safe conduct and requirements established by NASA policy, successful outcome of their program or project law, or other external mandate. in conformance with governing Programmatic and Institutional Authority requirements. These authorities are asserted horizontally (across Headquarters) and vertically (Headquarters to centers, and within centers) 3.3.2 INSTITUTIONAL—TECHNICAL through leadership where there is not a direct AUTHORITY line relationship. The delegated In the separation of Programmatic and responsibilities of Mission Support Institutional Authority roles (see Figure Authorities vary depending on their functional

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areas, such as , procurement, 3.4 Authority Roles Regarding Risk information technology, legal, facilities engineering, and environmental. The unifying Decisions related to technical and operational organization for the Mission Support matters involving safety and mission success Authorities is the Office of the MSD AA. risk require formal concurrence by the Common responsibilities of Mission Support cognizant Technical Authorities (Engineering, Authorities are to: Safety and Mission Assurance, and Health and Medical). This concurrence is based on the  Oversee management of the functional technical merits of the case and includes areas of the Offices of Human Capital agreement that the risk is acceptable. For Management, Strategic Infrastructure, matters involving human safety risk, the actual Procurement, Protective Services, risk taker(s) (or official spokesperson[s] and Internal Controls and Management his/her/their supervisory chain) must formally Systems, Headquarters Operations, the consent to taking the risk; and the responsible NASA Shared Services Center, and the program, project, or operations manager must NASA Management Office. formally accept the risk.

 Oversee the preparation, presentation, 3.5 PROCESS-RELATED CHECKS AND and execution of the mission support BALANCES budget, which includes all Cross Agency Support (CAS) accounts, including There are many process-related checks and Agency and Center Management and balances built into NASA’s way of doing Operations (AMO, CMO), and business. These range from governance Construction of Facilities and oversight, reviews and decision making by the Environmental Compliance and Agency Management Councils (see Section Restoration (CoF and ECR, or CECR.). 3.7) to peer reviews conducted at the lowest  In concurrence with Center Directors, level to oversight reviews conducted by the approves the assignment, promotion, Agency’s Program Management Council. discipline, and relief of the principal Three checks and balances of particular mission support official at each center. importance at the program or project level are: the independent life-cycle review process, the  Ensures that personnel competencies and requirements tailoring process, and the facility capabilities required to meet dissenting opinion process. NASA’s strategic needs are identified and provided. 3.5.1 INDEPENDENT LIFE-CYCLE REVIEW PROCESS  Provides an integrated projection of functional activities with associated costs The independent life-cycle review process and workload implications across the provides a comprehensive review of programs Agency. and projects at each life-cycle milestone by  Ensures integration and alignment of competent individuals who are not dependent mission support activities in support of on or affiliated with the program or project. Agency strategic needs. The purpose of these reviews is to provide:

 The program/project with a credible, objective assessment.

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 NASA senior management with an 3.5.3 DISSENTING OPINION PROCESS independent view of program/project performance according to plan, and NASA supports the full and open airing of whether externally-imposed impediments issues of any nature (e.g., programmatic, to the program/project’s success are institutional), including alternative and being removed. divergent views. Diverse views are to be fostered and respected in an environment of  A credible basis for a decision to proceed integrity and trust with no suppression or into the next phase. retribution. In the team environment in which NASA operates, team members often have to The independent review also provides vital determine where they stand on a decision. In assurance to external stakeholders that assessing a decision or action, a member has NASA’s basis for proceeding is sound. three choices: agree, disagree but be willing to fully support the decision, or disagree and 3.5.2 REQUIREMENTS TAILORING raise a Dissenting Opinion. For disagreements PROCESS that rise to the level of importance that warrant a specific review and decision by a Good requirements that are properly managed higher level of management, NASA has are essential to any successful undertaking. formalized the Dissenting Opinion process. Part of establishing the proper set of requirements is the adjustment of prescribed A “Dissenting Opinion” is a substantive requirements to the specific task (e.g., a disagreement with a decision or action that an program or project). All authorizations are individual judges is not in the best interest of approved and concurred by the appropriate NASA and is of sufficient importance that it Programmatic and Institutional Authorities. warrants a timely review and decision by higher level management. A Dissenting Principles that govern the process of tailoring Opinion must be supportable and based on a requirements are: sound rationale (not on unyielding opposition). The individual must specifically 1. The organization at the level that request that the dissent be recorded and established the requirement must approve resolved by the Dissenting Opinion process. the request for tailoring of that requirement unless this authority has been Key steps of the Dissenting Opinion formally delegated elsewhere. The resolution process are: organization approving the tailoring disposition consults with the other 1. Disagreeing parties must jointly establish organizations that were involved in the the facts agreed upon and their respective establishment of the specific requirement positions, rationale, and recommendations; and obtains the concurrence of those organizations having a material interest. 2. The parties jointly present to the next higher level of the involved Authorities 2. The involved management at the next (e.g., the Programmatic and Technical higher level is to be informed in a timely Authority); and manner of the request for tailoring of the prescribed requirement. 3. If the dissenter is not satisfied with the process or outcome, the dissenter may appeal to the next higher level of management. The dissenter has the right

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to take the issue upward through the governance management system. This system organization, even to the NASA is multi-pronged and utilizes a collaborative Administrator, if necessary. governance process.

3.6 AUTHORITY AND ACCOUNTABILITY NASA governs with three Agency-level councils with distinct charters and The strategic importance of ethics and values responsibilities: the Executive Council (EC), in top management cascades throughout and the Mission Support Council (MSC), and the supports a NASA culture of accountability Program Management Council (PMC). In and transparency. Authority and addition, the Strategic Management Council accountability for any work within the Agency (SMC) may be convened by the must be in alignment. Where there are Administrator, allowing broader organization overlaps or competing interests between a engagement on key issues and specific topics. program or project and the institution, special attention is required. If authority and Governance by council is used where topics accountability are not directly aligned, require high levels of integration, visibility, consideration should be given to reassigning and approval. Governance by council also affected Agency components to the provides high-level oversight, sets appropriate authority. Missions, programs, and requirements and strategic priorities, and projects are discouraged from creating guides key assessments of the Agency. As duplicative institutional capabilities. indicated by Figure 3.7-1, the governance structure affects all major processes. Note: A complete copy of NASA Policy Directive 1000.0A, from which this section Regardless of organizational position, senior was excerpted, can be found in the NASA managers are accountable to the appropriate Presidential Transition Library. council chair with respect to topics addressed by that council. These councils are essential The Agency maintains active system-wide components of governance; no other Agency- accountability processes and reporting through wide chartered governing councils are the Agency Office of Internal Management required. All internal, Agency-level sub- Control Systems and its work with each councils or boards report directly to the Chair Agency organization. The governance of one of the three governance councils. oversight function is performed by the Senior Functional support for the three Agency level Assessment Team (SAT), which is the councils is provided by the Office of Agency Agency’s Internal Control Board and reports Council Staff (OACS), which reports to the to the Mission Support Council (MSC). The Chief of Staff. The Office of Strategy SAT provides leadership in the definition, Formulation, with support of the OACS, implementation, and assessment of the provides functional support to the SMC. Agency’s internal control program and all associated activities. NOTE: NASA Policy Directive (NPD) 1000.0B (in Draft as of September 2012) will 3.7 AGENCY MANAGEMENT COUNCILS describe the purpose, responsibilities, and authority of NASA’s three governance NASA resolves authority and accountability councils. That text is included here until issues through an active, integrated publication of NPD 1000.0B.

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Figure 3.7-1: NASA’s Management Councils

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4.0 NASA ORGANIZATION AND ROLES

INTRODUCTION 4.1 OVERVIEW OF THE NASA ORGANIZATION NASA’s organizational structure reflects the wide range of goals and missions that NASA NASA’s organization is shown in Figure 4.1-1 supports. This section discusses how NASA is below, and consists of NASA Headquarters in organized, and the role of each of NASA’s Washington, DC, nine centers located around component units. An organizational chart is the country, and the Jet Propulsion presented with lines of authority and Laboratory, a federally funded research and responsibility among NASA’s units. In development center operated under a contract addition, biographical information is provided with the California Institute of Technology. on each component unit’s Official in Charge The Headquarters is organized into an Office (OIC), as well as the Directors of the NASA of the Administrator, Administrative Staff centers. Offices, three Mission Directorates, and the Mission Support Directorate. Note: at the time this document was created, the Agency was in the process of restructuring the Office of the Chief Technologist and setting up a separate Space Technology Mission Directorate.

Figure 4.1-1: NASA Organizational Chart

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4.1.1 NASA OFFICE OF THE ADMINISTRATOR

This office provides overall leadership, This section discusses the structure of planning, policy direction, management, and NASA’s Office of the Administrator. For each coordination for all NASA activities. component, we present its mission statement and biographical information on the Official in Charge of that department.

Figure 4.1.1-1: NASA Organizational Chart

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4.1.2 ADMINISTRATOR

MISSION STATEMENT and manages its resources to advance the agency’s missions and goals. The Administrator leads the Agency and is accountable to the President for all aspects Bolden’s confirmation marks the beginning of the Agency’s mission, including of his second stint with the nation’s space establishing and articulating the Agency’s agency. His 34-year career with the Marine vision and strategic priorities, ensuring Corps included 14 years as a member of successful implementation of supporting NASA’s Office. After joining the policies, programs, and performance office in 1980, he traveled to orbit four assessments. The Administrator performs all times aboard the between 1986 necessary functions to govern NASA and 1994, commanding two of the missions. operations and exercises the powers vested His flights included deployment of the in NASA by law. Hubble Space Telescope and the first joint U.S.-Russian shuttle mission, which OFFICIAL IN CHARGE featured a cosmonaut as a member of his crew. Prior to Bolden’s nomination for the NASA Administrator, Charles F. Bolden, Jr. NASA Administrator’s job, he was employed as the of JACKandPANTHER LLC, a small business enterprise providing leadership, military and aerospace consulting, and motivational speaking.

A resident of , Bolden was born Aug. 19, 1946, in Columbia, S.C. He graduated from C. A. Johnson High School in 1964 and received an appointment to the U.S. Naval Academy. Bolden earned a Bachelor of Science degree in electrical science in 1968 and was commissioned as a second lieutenant in the Marine Corps. After completing flight training in 1970, he became a naval aviator. Bolden flew more than 100 combat missions in North and South Vietnam, Laos, and Cambodia, while stationed in Namphong, Thailand, from Nominated by President and 1972-1973. confirmed by the U.S. Senate, retired Marine Corps Maj. Gen. Charles Frank After returning to the U.S., Bolden served in Bolden, Jr., began his duties as the twelfth a variety of positions in the Marine Corps in Administrator of the National Aeronautics California and earned a Master of Science and Space Administration on July 17, 2009. degree in from the As Administrator, he leads the NASA team University of Southern California in 1977. Following graduation, he was assigned to

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the Naval Test Pilot School at Patuxent During the first half of 1998, he served as River, MD, and completed his training in Commanding General of the 1st Marine 1979. While working at the Naval Air Test Expeditionary Force Forward in support of Center’s Systems Engineering and Strike Operation Desert Thunder in Kuwait. Aircraft Test Directorates, he tested a Bolden was promoted to his final rank of variety of ground attack aircraft until his Major General in July 1998 and named selection as an astronaut candidate in 1980. Deputy Commander of U.S. Forces in Japan. He later served as the Commanding General Bolden’s NASA astronaut career included of the 3rd Marine Aircraft Wing at Marine technical assignments as the Astronaut Corps Air Station Miramar in San Diego, Office Safety Officer; Technical Assistant to CA, from 2000 until 2002, before retiring the Director of Flight Crew Operations; from the Marine Corps in 2003. Bolden’s Special Assistant to the Director of the many military decorations include the Johnson Space Center; Chief of the Safety Defense Superior Service Medal and the Division at Johnson (overseeing safety Distinguished Flying Cross. He was efforts for the return to flight after the 1986 inducted into the U.S. Astronaut Hall of Challenger accident); Lead Astronaut for Fame in May 2006. vehicle test and checkout at the Kennedy Space Center; and Assistant Deputy Bolden is married to the former Alexis Administrator at NASA Headquarters. After (Jackie) Walker of Columbia, S.C. The his final space shuttle flight in 1994, he left couple has two children: Anthony Che, a the agency to return to active duty with the lieutenant colonel in the Marine Corps who operating forces in the Marine Corps as the is married to the former Penelope McDougal Deputy Commandant of Midshipmen at the of Sydney, Australia, and Kelly Michelle, a U.S. Naval Academy. medical doctor now serving a fellowship in plastic surgery. Bolden was assigned as the Deputy Commanding General of the 1st Marine Expeditionary Force in the Pacific in 1997.

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4.1.3 DEPUTY ADMINISTRATOR

MISSION STATEMENT Nominated by President Barack Obama and confirmed by the U.S. Senate, Lori Beth The Deputy Administrator is responsible to Garver began her duties as the Deputy the Administrator for providing overall Administrator of the National Aeronautics and leadership, planning, and policy direction for Space Administration on July 17, 2009. the Agency. The Deputy Administrator performs the duties and exercises the powers As Deputy Administrator, Garver is NASA’s delegated by the Administrator, assists the second in command. She works closely with Administrator in making final Agency the administrator to provide overall decisions, and acts for the Administrator in his leadership, planning, and policy direction for or her absence by performing all necessary the Agency. Together with the NASA functions to govern NASA operations and administrator, Garver represents NASA to the exercise the powers vested in the Agency by Executive Office of the President, Congress, law. heads of government agencies, international organizations, and external organizations and The Deputy Administrator articulates the communities. She also oversees the work of Agency’s vision and represents NASA to the NASA’s functional offices. Executive Office of the President, Congress, heads of federal and other appropriate Garver’s confirmation as Deputy government agencies, international Administrator marks the second time she has organizations, and external organizations and worked for NASA. Her first period of service communities. to the agency was from 1996 to 2001. She first served as a special assistant to the NASA OFFICIAL IN CHARGE Administrator and senior policy analyst for the Office of Policy and Plans, before becoming NASA Deputy Administrator, Lori B. Garver Associate Administrator for the Office of Policy and Plans. Reporting to the NASA administrator, she oversaw the analysis, development and integration of policies and long-range plans, the NASA Strategic Management System, and the NASA Advisory Council.

A native of Michigan, Garver graduated from Haslett High School in Haslett, Michigan, in 1979 and four years later, in 1983, she earned a bachelor’s degree in political science and from Colorado College. Her focus turned to space when she accepted a job working for Sen. from 1983 to 1984. She since has served in a variety of senior roles in the nonprofit, government, and commercial sectors.

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Garver worked at the newly formed National strategic alliance support, to financial Space Society from 1984 to 1996, becoming institutions and Fortune 500 companies. its second executive director in 1987. She served as the society’s primary spokesperson, Garver was the lead civil space policy advisor making frequent appearances on national for the 2008 Obama presidential campaign television and regularly testifying on Capitol and led the agency review team for NASA Hill. She also earned a Master’s degree in during the post-election transition. Previously, Science, Technology and Public Policy from she served as the lead space policy advisor for George Washington University in 1989. the Hillary Clinton and John Kerry campaigns for president and represented them at various After working at NASA from 1996 to 2001, events and conferences. Garver has held Garver was employed as the Vice President of numerous senior positions in space policy. She DFI Corporate Services from 2001 to 2003. was a member of the NASA Advisory From January 2001 until her nomination as Council, a guest lecturer at the International NASA’s Deputy Administrator, she was a Space University, President and board full-time consultant as the president of Capital member of Women in Aerospace, and Space, LLC, and Senior Advisor for space at President of the American Astronautical the Avascent Group. In these roles, she Society. She lives in with her provided strategic planning, technology husband, David Brandt, and their sons Wesley feasibility research, and and Mitchell. assistance, as well as merger, acquisition, and

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4.1.4 ASSOCIATE ADMINISTRATOR

MISSION STATEMENT OFFICIAL IN CHARGE

The Associate Administrator reports to the NASA Associate Administrator, Robert M. Deputy Administrator and the Administrator, Lightfoot, Jr. and is responsible for integrating the technical and programmatic elements of the Agency. The Associate Administrator oversees the Agency’s programs through the Mission Directorates, Field Centers, and Headquarters technical mission support offices, to include the Office of Safety and Mission Assurance and the Office of the Chief Engineer.

The Associate Administrator performs the duties and exercises the powers delegated by the Administrator and acts for the Administrator in the absence of the Administrator and Deputy Administrator.

The Associate Administrator oversees the planning, directing, organization, and control of the day-to-day Agency technical and programmatic operations, including establishing controls over Agency activities, providing a means for evaluating mission accomplishments, and correcting deficiencies. In addition, the Associate Administrator Robert M. Lightfoot Jr. became Associate provides institutional management, Administrator for NASA, the agency’s programmatic oversight, and performance highest-ranking civil servant position, evaluation of the Mission Directorates, Field effective Sept. 25, 2012. Centers, and Technical Mission Support Offices. He previously was director of NASA’s Marshall Space Flight Center in Huntsville, AL. Named to the position in August 2009, he headed one of NASA’s largest field installations, which played a critical role in NASA’s space operations, exploration, and science missions. Lightfoot managed a broad range of propulsion, scientific, and space transportation activities contributing to the nation’s space program. He served as acting director of the center from March 2009 until his appointment as Director.

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From 2007 to 2009, Lightfoot was Deputy University of Alabama. In October 2007, he Director of the Marshall Center. Lightfoot was named Distinguished Departmental served as manager of the Space Shuttle Fellow for the University of Alabama, Propulsion Office at Marshall from 2005 to Department of Mechanical Engineering. He 2007, where he was responsible for overseeing was selected as a University of Alabama the manufacture, assembly, and operation of College of Engineering fellow in 2009. the primary shuttle propulsion elements: the Lightfoot serves on the University of Alabama main engines, external tank, solid rocket Mechanical Engineering Advisory Board. In boosters, and reusable solid rocket motors. 2010, he was inducted into the State of Alabama Engineering Hall of Fame. From 2003 to 2005, he served as Assistant Associate Administrator for the Space Shuttle Lightfoot has received numerous awards Program in the Office of Space Operations at during his NASA career, including a NASA NASA Headquarters in Washington, DC. His Outstanding Leadership medal in 2007 for responsibilities included space shuttle return exemplary leadership of the Shuttle to flight activities following the Columbia Propulsion Office, assuring safety for the tragedy, technical and budgetary oversight of return to flight of the space shuttle. In 2006, the $3 billion annual budget, and initial he was awarded the Presidential Rank Award transition and retirement efforts for shuttle for Meritorious Executives, and in 2010 he infrastructure. received the Presidential Rank Award for Distinguished Executives — the highest In 2002, Lightfoot was named Director of the honors attainable for federal government Propulsion Test Directorate at NASA’s work. In 2000, Lightfoot received a Stennis Space Center. He served as Deputy Spaceflight Leadership Recognition Award, Director of the organization beginning in which recognizes leaders who exemplify 2001, until his appointment as director. characteristics necessary for success. In 1999, NASA’s astronaut corps presented him with a Lightfoot began his NASA career at the Silver Snoopy Award, which honors Marshall Center in 1989 as a test engineer and individuals who have made key contributions program manager for the Space Shuttle Main to the success of human spaceflight missions. Engine Technology Test Bed Program and the He also received the NASA Exceptional Russian RD-180 Engine Testing Program for Achievement Medal in 1996 for significant the Atlas Launch Vehicle Program. contributions to NASA’s mission.

Lightfoot received a Bachelor’s degree in Mechanical Engineering in 1986 from the

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4.1.5 CHIEF OF STAFF

MISSION STATEMENT ensures the effective flow of communications The Chief of Staff directs the Office of the regarding the Administrator’s priorities, Administrator, and oversees the Office of messages, and directives. He directs the daily Evaluation and the Office of the Agency execution of NASA Headquarters’ functions Council Staff. The Chief of Staff coordinates including the Office of Evaluation and the the management of initiatives, programs, and Office of Agency Council Staff. policies in critical areas of concern to the Administrator and Deputy Administrator, and Prior to this appointment as Chief of Staff, he also serves as the liaison to White House staff. was the Deputy Associate Administrator for Program Integration for the Space Operations OFFICIAL IN CHARGE Mission Directorate, where he had oversight responsibility for the administrative functions Chief of Staff, David Radzanowski of the Directorate as well as Space Shuttle Transition and Retirement activities.

In February 2006, he joined NASA as Assistant Associate Administrator for the Resources Management and Analysis Office within Space Operations.

Radzanowski’s NASA career included supporting the Review of U.S. Human Spaceflight Plans Committee, otherwise known as the , which conducted a comprehensive review of NASA’s human spaceflight plans. He provided assistance and guidance primarily in the areas of budget and program costing. He received a Meritorious Presidential Rank Award in 1999 and NASA’s Outstanding Leadership Medal in 2011.

Before coming to the Agency, Radzanowski served eight years at the White House Office of Management and Budget (OMB) as Deputy Associate Director for Appropriations, Office of Legislative Affairs (October 2005 – David Radzanowski serves as Chief of Staff February 2006); Chief, Science and Space and principal advisor to NASA Administrator Programs Branch (October 2002 – October Charles F. Bolden, Jr., a position he has held 2005); and Program Examiner for the National since May 2010. Science Foundation, Science and Space Programs Branch (June 1998 – October 2002). As Chief of Staff, he facilitates the management of actions in critical areas and

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Prior to joining OMB, Radzanowski served NASA Administrator Charles F. Bolden, Jr. eight years as an analyst in aerospace policy and Chief of Staff David Radzanowski on for the Congressional Research Service on agency activities, a position he has held since Capitol Hill. In this position, he wrote over 30 August 2011. In this position, he facilitates the reports on space issues and testified twice expeditious consideration and management of before Congress on NASA issues. actions in critical areas with which the administrator is concerned and ensures the Radzanowski earned his bachelor’s degree in effective flow of communications regarding Astronomy-Physics from the University of the administrator’s priorities and directives. Wisconsin-Madison in 1988. He earned a master’s degree in Public Policy and Prior to this appointment, French served as Management from Carnegie Mellon senior advisor to the Secretary of the Interior, University’s Heinz School of Public Policy in as Deputy Director of Cabinet Affairs at the 1990. He is married to Jennifer Kron of New White House, and as Counsel to the Chairman Jersey. They reside in Washington, DC. of the Federal Election Commission. Prior to working in the federal government, French OFFICIAL IN CHARGE practiced law in the defense-aerospace sector as an attorney in Los Angeles. In 2008, French Deputy Chief of Staff, Michael French served as an in-house counsel to the Obama for America campaign and as an attorney to the Obama-Biden Presidential Transition Team.

French earned his bachelor’s degree in from the Haas School of Business at the University of California, Berkeley. He also holds a J.D. from Harvard Law School. He lives with his wife and two children in Alexandria, VA.

Michael French serves as NASA’s Deputy Chief of Staff and as a senior advisor to

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4.1.6 ASSOCIATE DEPUTY ADMINISTRATOR

MISSION STATEMENT The Associate Deputy Administrator is Richard Keegan was appointed as NASA’s responsible for integrating the mission support Associate Deputy Administrator on Dec. 16, elements of the Agency. The Associate 2010. The associate deputy administrator Deputy Administrator oversees the Agency’s assists and supports NASA’s deputy mission support functions through the Mission administrator and administrator during day-to- day Agency operations, across the broad scope Support Directorate, centers, and appropriate of institutional and workforce issues, as well staff offices. as with with contingency and continuity of operations planning. Previously, Keegan OFFICIAL IN CHARGE served as Deputy Associate Administrator of the Mission Support Directorate at its creation NASA Associate Deputy Administrator, in April 2010. For the prior four years he was Richard Keegan director of NASA’s Office of Program and Institutional Integration. In those roles, he served as the focal point for balancing priorities for mission directorates, mission support offices, and Agency field centers.

Since coming to NASA Headquarters in 2002, Keegan has served in senior business management positions in mission directorate and mission support offices. He also worked in a variety of jobs during 21 years at NASA’s Goddard Space Flight Center in Greenbelt, MD, NASA Headquarters, and the Department of Energy. He began his federal service in June, 1980. Prior to that, he was a junior high school science teacher for two years. He has degrees in Biological Sciences and Secondary Education from the University of Maryland.

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4.1.7 ASSOCIATE DEPUTY ADMINISTRATOR FOR STRATEGY AND POLICY

duties and portfolio, which began when she MISSION STATEMENT was named as the NASA associate deputy administrator for policy integration in The Associate Deputy Administrator for August 2010. In this position, Keiser reports Strategy and Policy directs the Office of directly to Deputy Administrator Lori Strategy Formulation and serves as the Garver as the primary coordinator for primary coordinator for Agency-level policy Agency-level policy and strategy efforts. and strategy efforts. She helps implement a She helps implement a wide range of wide range of initiatives in support of initiatives in support of NASA’s goals, and NASA’s goals, and integrates the efforts of integrates the efforts of the Agency’s the Agency’s various strategic planning various strategic planning offices to ensure offices to ensure consistency with the White consistency with the White House and House and legislative direction, while legislative direction, while supervising an supervising an analytic staff in the Office of analytic staff in the Office of Strategy Strategy Formulation. Formulation.

OFFICIAL IN CHARGE Keiser previously served as the executive officer for the deputy administrator since Associate Deputy Administrator for Strategy 2009, a role in which she managed the and Policy, Rebecca Spyke Keiser office’s staff, provided policy analysis and advice, and facilitated communication Rebecca Spyke Keiser was named NASA’s across the Agency. Prior to that, Keiser was chief-of-staff for the Exploration Systems Mission Directorate at NASA Headquarters, where she led the front office team responsible for communications and cross- directorate policy formulation. She also was the executive officer for former NASA Deputy Administrator Shana Dale from 2005 to 2008.

Keiser’s career includes extensive international relations experience. She has served in NASA’s Office of International and Interagency Relations as the lead for France, Spain, and Portugal, and the human spaceflight lead for Asia. She also was the assistant to the director for International Relations in the Office of Science and Technology Policy, where she made policy recommendations and represented the agency at U.S. and international meetings. Associate Deputy Administrator for Strategy and Policy in June 2012, an expansion of her

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Keiser earned a Bachelor of Arts degree in Japanese Studies from Wellesley College, a system. Master of Science degree in Politics of the o Planning senior leadership World Economy from the London School of meetings with a strategic Economics, and a doctorate in International agenda as determined by the Studies from the University of South Administrator. Carolina. She has received numerous NASA o Facilitating the Strategic awards for exceptional service. Management Council.

The Office of Strategy Formulation Overview supports the Associate Deputy The Office of Strategy Formulation Administrator for Strategy and (OSF) supports the Administrator, Policy’s efforts by: Deputy Administrator, Associate Administrator, Associate Deputy o Performing analysis to Administrator and Chief of Staff. inform the development of The Office of Strategy Formulation the Agency’s overall strategy. is responsible for providing, refining, o Formulating and, as needed, and revising, when necessary, the iterating NASA’s strategy framework to inform strategic options to align with national decision making. goals and the Agency’s vision and mission. Mission o Assessing changes in the The Office of Strategy Formulation NASA internal and external coordinates the long term strategy environment. efforts for the Agency by working o Identifying key trade-off with mission directorates and other decisions regarding goals and key offices. It supports the objectives for the Agency. Administrator in setting NASA’s o Developing a strategic strategic goals and objectives. It also management process that conducts studies and analysis that aligns with the Agency’s inform Agency-wide strategic issues and decisions.

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4.1.8 ASSISTANT ASSOCIATE ADMINISTRATOR

Arthur Maples serves as NASA’s Assistant MISSION STATEMENT Associate Administrator. In this role, he assists the Associate Administrator in the The Assistant Associate Administrator oversight and integration of NASA’s supports the Associate Administrator in programmatic and technical efforts to ensure integrating the technical and programmatic the successful accomplishment of the agency’s elements of the Agency in order to ensure overall mission. accomplishment of the Agency’s mission. In doing so, the AAA performs oversight of the Agency’s programs through the mission Prior to coming to the Office of the directorates and field centers, and Administrator, Maples was detailed to the headquarters technical functional support United States Senate. There he served as the offices, to include the Office of Safety & principle space advisor to Senator , Mission Assurance and Office of the Chief Chairman of the Science and Space Engineer. The AAA assists in planning, Subcommittee. directing, organizing, and controlling the day- to-day Agency technical and programmatic Before his work in the U.S. Senate, Maples operations, including establishing controls spent 5-years at Goddard Space Flight Center over Agency activities, providing a means for as an information technology manager. He evaluating mission accomplishments, and began his career with NASA in 1985 at the correcting deficiencies. Kennedy Space Center, where he served as a biomedical engineer and technical manager. He served on the prime launch team for 19 OFFICIAL IN CHARGE Space Shuttle missions. He was also a project manager and technical lead for life science Assistant Associate Administrator, Art Maples and ecological science projects. (Acting) Maples is the recipient of NASA’s prestigious Silver Snoopy Award as well as many other commendations. He holds a Bachelor’s degree in Biomedical Engineering from Tulane University and a Master’s degree in Business Administration from the R.H. Smith School of Business at the University of Maryland.

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4.1.9 DIRECTOR, OFFICE OF EVALUATION

Petro is on detail to the Office of the MISSION STATEMENT Administrator from her position as the deputy director of NASA’s John F. Kennedy Space The Office of Evaluation was established on Center in Florida. Appointed to that position December 4, 2011. It evolved from the Office in April 2007, she shares responsibility with of Independent Program and Cost Evaluation. the director in managing the Kennedy team of It provides objective, transparent, and approximately 8,600 civil service and multidisciplinary analysis of NASA programs contractor employees, determining and and projects to inform Agency decision- implementing center policy and managing and making. executing Kennedy missions and Agency program responsibilities. OFFICIAL IN CHARGE Prior to joining NASA, Petro served in Director Office of Evaluation, Janet E. Petro various management positions for Science (Acting) Applications International Corp., also known as SAIC, and McDonnell Douglas Aerospace. At SAIC, Petro held a number of positions, including program/project manager, division manager, and deputy operations manager for several entities within the corporation’s operations. She interfaced with NASA, the U.S. Air Force, the U.S. Navy, and commercial entities on numerous programs. As the interface to senior-level government customers, Petro was responsible for overseeing program and project managers and providing operational guidance on various technical programs.

At McDonnell Douglas Aerospace, Petro advanced from Mechanical Engineer and

Cargo Manager for processing classified Janet E. Petro began her professional career as payloads for space shuttle and expendable a commissioned officer in the U.S. Army after vehicles; to program manager for executing a graduating in 1981 from the U.S. Military classified, multimillion-dollar U.S. Academy at West Point, NY, with a Bachelor Department of Defense program, integrating of Science in Engineering. She served in the payloads onto various space vehicles at U.S. U.S. Army’s aviation branch with various Air Force and NASA facilities; to senior assignments overseas in Germany. She also manager in Advance Products Division; to holds a Master of Science in Business Senior Manager for Communications and Data Administration from Boston University’s Systems Division. Metropolitan College. Originally from Detroit, MI, she now resides with her family in Indian Harbour Beach, FL.

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4.2 OFFICE OF INSPECTOR GENERAL (OIG)

MISSION STATEMENT General (IG) is nominated by the President and confirmed by the Senate to conduct The Office of Inspector General (OIG) objective oversight of NASA programs and conducts independent and objective audits and operations and independently report to the investigations of NASA programs and Administrator, Congress, and the public. operations; promotes economy, effectiveness, and efficiency within the Agency; prevents The OIG targets its resources to address and detects crime, fraud, waste, and abuse; NASA’s most important challenges, including reviews and makes recommendations those identified in the annual report produced regarding existing and proposed legislation by the OIG entitled, “NASA’s Top and regulations; and keeps the Administrator Management and Performance Challenges” and Congress fully and currently informed of and the U.S. Government Accountability problems in Agency programs and operations. Office’s High Risk List. For 2012, the OIG identified the following five issues as Top ORGANIZATIONAL STRUCTURE Challenges facing NASA:

As depicted in Figure 4.2-1 below, the OIG  Future of U.S. Human Spaceflight consists of an immediate office comprised of the Inspector General, the Deputy Inspector  Project Management General, the Executive Officer, and the  Infrastructure and Facilities Management Investigative Counsel and four component offices – Audits, Investigations, Management  Acquisition and Contract Management and Planning, and Counsel. The OIG employs auditors, analysts, investigators, attorneys, and  Information Technology Security and support staff at NASA Headquarters in Governance Washington, D.C. and at 12 other locations on or near NASA centers. In accordance with the IG Act, the OIG prepares Semiannual Reports to Congress The Inspector General Act of 1978 (IG Act) summarizing our audit and investigative established Offices of Inspectors General at activities for each 6-month period. These agencies throughout the Federal Government reports are available on the OIG’s website at to promote economy, efficiency, and http://oig.nasa.gov/sar.html. effectiveness and to detect fraud, waste, and abuse in federal programs and operations. In accordance with the Act, the NASA Inspector

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Figure 4.2-1: Organizational Structure of OIG

WORKFORCE AND BUDGET

OIG’s workforce consists of approximately 200 full time permanent civil servants. The OIG’s fiscal year (FY) 2012 budget was $38.8 million.3 For FY 2013, the President’s budget submission requests $37 million for the OIG.

BUDGET EST. ($M)

President’s FY13 Budget FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Request Office of Inspector General $38.8 $37.0 $37.0 $37.0 $37.0 $37.0 Table 4.2-1: Office of Inspector General’s Budget Runout

3 This amount included a $1 million transfer from NASA to the OIG to “commission a comprehensive independent assessment of NASA’s strategic direction and agency management” (Public Law 112-55). The OIG contracted with the National Research Council to conduct this study.

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effectiveness of NASA programs, projects, FUNCTIONS operations, and contractor activities. In addition, OA oversees the work of the The Inspector General provides policy independent public firm that is direction and leadership for the OIG and under contract by the OIG to conduct the serves as an independent voice to the annual audit of NASA’s financial Administrator and Congress by identifying statements. Jim Morrison serves as opportunities and promoting solutions for Assistant Inspector General for Audits. improving the Agency’s performance. Through reports and other means, the IG keeps the NASA Administrator and The Office of Investigations (OI) Congress informed of fraud and other investigates allegations of crime, serious problems, abuses, and deficiencies cybercrime, fraud, waste, abuse, and relating to the administration of NASA misconduct that could have an impact on programs and operations; recommends NASA programs, projects, operations, and corrective action concerning such problems, resources. The OI refers its findings either to abuses, and deficiencies; and reports on the the Department of Justice for criminal progress made in implementing such prosecution and civil litigation or to NASA corrective action. Paul Martin currently management for administrative action. Through its investigations, the OI identifies serves as Inspector General. crime indicators and recommends measures for NASA management that are designed to The Deputy Inspector General provides reduce NASA’s vulnerability to criminal overall direction to the Assistant Inspectors activity. Kevin Winters serves as Assistant General and Counsel to the Inspector Inspector General for Investigations. General in the development and implementation of diverse audit, investigative, legal, and support operations The Office of Counsel to the Inspector of the OIG. Gail Robinson serves as General provides advice and assistance on a variety of legal issues and on matters Deputy Inspector General. relating to OIG review of NASA’s programs and operations. Frank LaRocca serves as The Executive Officer serves as the OIG NASA OIG Counsel. liaison to Congress and other government entities, conducts OIG outreach both within and outside of NASA, and manages special The Office of Management and Planning projects. Renee Juhans serves as Executive (OMP) provides financial, procurement, , administrative, and Officer. information technology services support to the OIG staff. Hugh Hurwitz serves as The Investigative Counsel serves as senior Assistant Inspector General for Management advisor for OIG investigative activities and and Planning. conducts special reviews of NASA programs and personnel. James Mitzelfeld serves as IMPORTANT ACTIVITIES Investigative Counsel.

The Office of Audits (OA) is responsible for Over the past several years, the OIG’s audit conducting independent and objective and investigative resources have been focused on the major challenges facing audits, reviews, and other examinations to improve the economy, efficiency, and NASA.

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At any one time, the OIG has approximately improvements to NASA management; and 7 25 audits in process. Some of these audits suspensions or debarments. In addition, are required by statute or by the Office of more than $22 million was recovered on Management and Budget, such as the audit behalf of the government ($10.4 million of NASA’s financial statements and the went directly to NASA). audit of NASA’s compliance with the Federal Information KEY PERSONNEL Act. However, most of our audits are self- Paul K. Martin was confirmed by the initiated, in that we select the areas we United States Senate as NASA Inspector believe are of the greatest importance to the General on Nov. 20, 2009. Agency, Congress, and the public and will most help improve economy and efficiency Prior to his NASA appointment, Martin at NASA. For example, this past year we served as the Deputy Inspector General at released reports examining the challenges the U.S. Department of Justice, Office of the NASA managers face in meeting the cost Inspector General. In that capacity, he and schedule goals of their projects, assisted the Inspector General in managing NASA’s leasing practices for its underused the audit, inspection, and investigative facilities, and whether costs associated with activities of the office’s 425 employees. various NASA grants and contracts were From 2001 to 2003, he served as Counselor allowable and properly supported. to the Inspector General, and from 1998 to 2001 he served as Special Counsel to the Copies of completed audit reports and Inspector General. information about ongoing audits are available on our website. Before joining the Department of Justice OIG, Martin spent 13 years at the U.S. Sentencing Commission in a variety of  For ongoing audits, see: positions, including 6 years as the http://www.hq.nasa.gov/office/oig/hq/a Commission’s Deputy Staff Director. udits/activeProjects.html; Martin was one of the Sentencing  For reports on completed audits, see: Commission’s first employees when the http://www.hq.nasa.gov/office/oig/hq/a agency was created in 1985, and helped udits/reports/FY12/index.html. develop the first set of federal sentencing guidelines. As of September 30, 2012, the Office of Martin began his professional career as a Investigations had 230 open investigations. reporter with the Greenville News, a daily Investigative resources are focused on newspaper in Greenville, S.C. He holds a matters involving mission safety, B.A. in Journalism from the Pennsylvania procurement fraud, and misconduct and State University and a Juris Doctor from the mismanagement by high-level Agency Law Center. employees. During FY 2012, OI’s investigative efforts resulted in 36 Gail A. Robinson has served as the Deputy indictments or criminal informations; 22 Inspector General since June 2010. convictions; 26 sentencings or pretrial diversions; 4 civil settlements or judgments; Prior to her appointment, Robinson served 118 referrals to the Department of Justice; as General Counsel for the U.S. Department 39 recommendations for disciplinary action of Justice OIG. In that position, she was and 9 recommendations for program

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responsible for providing advice to the State Court of Appeals for the District of Inspector General and OIG senior managers Columbia. on a wide variety of legal matters. Ms. Robinson holds a Bachelor of Arts in Prior to joining the OIG community, Political Science and English from Rutgers Robinson worked at a private law firm and University and a Juris Doctor from the as an attorney for a non-profit organization. University of Pennsylvania Law School. She also served as a law clerk on the United

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4.3 STAFF OFFICES

ADMINISTRATOR STAFF OFFICES

 Chief Financial Officer: Elizabeth Robinson  Chief Information Officer: Linda Cureton  Chief Scientist: Waleed Abdalati  Chief Technologist: Mason Peck  Chief Engineer: Michael Ryschkewitsch  Chief Health and Medical Officer: Richard Williams  Chief, Safety and Mission Assurance: Terrence W. Wilcutt  Diversity and Equal Opportunity:  Associate Administrator: Brenda Manuel  Education:  Associate Administrator: Leland Melvin  International and Interagency Relations:  Associate Administrator: Michael F. O’Brien  General Counsel: Michael Wholley  Legislative and Intergovernmental Affairs:  Associate Administrator: L. Seth Statler  Office of Communications  Associate Administrator: David Weaver  Small Business Programs:  Associate Administrator: Glenn Delgado

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4.3.1 OFFICE OF THE CHIEF FINANCIAL OFFICER(OCFO)

reporting of all Agency fiscal resources; leads MISSION STATEMENT the Agency’s planning, programming, budgeting, and execution process; oversees all The Office of the Chief Financial Officer, financial management activities relating to the established in accordance with the Chief programs and operations of the Agency; Financial Officers Act of 1990 (Public Law develops the Agency’s detailed strategic plan 101-576) (CFO Act), provides leadership for and performance reports, as well as the annual strategic planning, performance reporting, budget request; and monitors and reports the budget analysis, justification, control, and financial execution of the Agency budget.

ORGANIZATIONAL STRUCTURE

Figure 4.3.1-1: Office of the Chief Financial Officer Organizational Structure

WORKFORCE

The OCFO has a workforce allocation of 105 Full Time Equivalent (FTE) Civil Servants.

BUDGET EST. ($M)

President’s FY13 Budget FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Request Office of Chief Financial Officer* $9.4 $9.2 $9.2 $9.2 $9.2 $9.2 Table 4.3.1-1: Office of the Chief Financial Officer’s Budget Runout

*Does not include Civil Service Labor

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FUNCTIONS Policy Division. The Policy Division develops, integrates, coordinates and Office of the Chief Financial Officer. The maintains Agency financial management Office of the Chief Financial Officer provides policy and requirements (FMRs, NPDs, leadership for the planning, analysis, NPRs) and coordinates the development of justification, control, and reporting of all Agency Financial Management Operating Agency fiscal resources. The Office, as Procedures (FMOPs). The Division provides required under the provisions of the CFO Act, policy interpretation, analysis, and guidance also oversees all financial management on all financial management subject matter policies and activities relating to the programs areas; reviews and comments on all Agency and operations of the Agency. Through the Policy Directives and Procedural operations presently within the Office itself, as Requirements; and coordinates on establishing well as through the OCFO Divisions and the and improving Agency Center Chief Financial Officers, the Office activities. leads the Planning, Programming, Budgeting, and Execution (PPBE) process; develops the Quality Assurance Division. The Quality Agency’s strategic plan and performance Assurance Division coordinates the Agency’s reports; drives financial and program annual audit, implements performance improvement actions throughout the Comprehensive Compliance Strategy the Agency; monitors and reports the financial (CCS) by establishing and maintaining an execution of the Agency budget; and internal control framework and executing publishes monthly, quarterly, and annual internal control testing, and manages the agency performance and financial statements. Agency’s OMB Circular A-123-A Internal Control over Financial Reporting Assessment Financial Management Division. The Program. The Division conducts the Agency’s Financial Management Division oversees the Improper Payment Information Act (IPIA) Agency’s compliance with assessment, tests for improper payments, regulations and reporting requirements. The performs the Recovery Audit to ensure Division implements the Agency’s overpayments made are recovered, and Continuous Monitoring Program (CMP) for performs assessment assurance and advisory financial operations, ensuring funding is made services for financial management available in a timely manner and monitoring improvement within NASA. The Division funding alignment, balances, and that works with responsible parties to develop accounting practices are consistent with corrective action plans to address financial federal accounting guidelines. The Division audit recommendations, and monitors progress ensures adequate controls over NASA assets, of the corrective actions. The Division also compliance with the Federal Accounting monitors compliance with policies, Standards Advisory Board (FASAB) procedures, regulations, laws, etc.; areas of standards and principles, and implementation high risk or sensitivity, such as segregation of of environmental liability standards. The duties, contract closeout, etc.; and documents Division also coordinates and executes and provides recommendations to affected consolidated financial reporting, data integrity parties. analysis, and financial system improvement requirements. Financial & Budget Systems Management Division. The Financial & Budget Systems Management Division represents the OCFO

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on all IT-related matters, both internally and processes, and providing a variety of analyses externally to the Agency. The division is during each phase of the annual Planning, responsible for coordinating with the NASA Programming, Budgeting and Execution Enterprise Application Competency Center (PPBE) process. The division is responsible (NEACC) to assess and implement systems for NASA’s performance management requirements for effective and accurate system, assessing trends, cross-cutting issues, collection, processing, and reporting of risks, and program progress; and providing financial and budgetary information recommendations and input for planning and responding to direction from the budgetary decisions. SID provides support to Administration and Congress. The division the Budget Division in developing the promotes operational efficiency by assessing Congressional Justification, and responds to the benefits and costs of updating agency- inquiries and the program reporting required wide financial systems and expanding by Congress, the Office of Science and capabilities; establishes internal reporting Technology Policy, Office of Management capabilities and standardized financial and Budget, Government Accountability management systems practices; ensures timely Office, and others. The division is also guidance for key Agency and center financial responsible for implementing strategy and systems matters; and ensures integration of performance management requirements information systems, business processes, and contained in the Government Performance and data with other Agency information systems, Results Act Modernization Act of 2010 in coordination with all appropriate (GPRAMA), Office of Management and stakeholders. Budget Bulletin A-11, and other federal guidelines. Budget Division. The Budget Division manages the Agency’s annual budget process Mission Support Office. The Mission and coordinates the development of all Support Office (MSO) provides support across scheduled and ad hoc budget data deliveries to CFO Divisions in all areas of organizational OMB (including the President’s budget). The and managerial activities. The MSO collects, Division operates the Agency’s budget integrates, reports, and executes internal systems (e-Budget), maintains the Agency budget, procurement, travel, and training Execution Plan, and controls the Agency work activities across the Headquarters OCFO. The breakdown structure within NASA’s office is responsible for managing human accounting system. The Division develops resource and personnel actions and for Congressional operating plans for execution; coordinating organizational change and is responsible for Apportionments/ Warrants/ performance initiatives. The MSO provides Allotments (working with the Financial executive support to the OCFO front office as Management Division); briefs and defends well as correspondence and administrative annual budget requests to OMB, support to all OCFO divisions. Congressional committees, and external stakeholders; and analyzes and sets Center Chief Financial Officers. Reporting requirements for budget execution directly to Headquarters OCFO, the Center performance. Chief Financial Officers, physically located at NASA centers, formulate and execute the Strategic Investments Division. The center budgets and resources in close Strategic Investments Division (SID) provides coordination with center and program key support in developing guidance, managing management. The Center Chief Financial

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Officers oversee the day-to-day financial Enhancement of Agency Financial Controls activities needed to execute and account for and Oversight. Operating in conjunction with operations and carryout fiscal responsibilities, the CCS, the Continuous Monitoring Program including Continuous Monitoring Program (CMP) provides the overall framework for (CMP) responsibilities and financial reporting NASA financial management controls. requirements. The Center Chief Financial Headquarters OCFO, in conjunction with the Officers coordinate with the NASA Shared Center CFO communities, completed a Services Center (NSSC) for travel, accounts thorough evaluation of the CMP effectiveness payable, accounts receivable, and payroll and will be implementing improvements for processing. the FY 2013 reporting periods, including automation of key parts of the CMP process. IMPORTANT ACTIVITIES Moreover, OCFO will increase its monitoring of compliance in several new areas, including Improvements in NASA’s Strategic incremental funding actions. Planning and Performance Reporting. The Government Performance and Results Act Enhancement of Agency Budget and (GPRA) Modernization Act of 2010 Financial Systems. NASA’s OCFO (GPRAMA) requires agencies to adjust their community strives to provide a positive processes and data collection to meet new customer experience while meeting the myriad requirements and deliverables for greater of federal requirements applicable to budget agency accountability and transparency. and financial management processes. System NASA is updating its Strategic Plan, enhancements in the areas of program/project objectives and performance goals to respond financial and performance reporting, travel to GPRAMA, as well as assessing areas for processing, and budget formulation are a improvement in processes, documentation, priority focus for the Headquarters OCFO in and reporting. FY 2013. In addition, improvements will be made to address Information Technology (IT) Implementation of Agency Financial deficiencies related to segregation of duties, Compliance Strategy. NASA achieved an access controls, and system logging. unqualified opinion for FY 2010, the first such opinion in seven years. In Reimbursable Policy and Process. NASA’s 2008, NASA implemented a Comprehensive mission requires increased partnering with Compliance Strategy (CCS) that focuses on commercial entities. To facilitate this increase ensuring compliance with Generally Accepted in reimbursable activity, the OCFO Accounting Principles (GAAP) and other community developed a comprehensive financial reporting requirements. The CCS pricing policy to ensure compliant and provides the basis for implementing consistent pricing based on the various types comprehensive proactive corrective actions of agreements utilized to accomplish the required to achieve federal GAAP and mission of the Agency. In addition, an auditability; and it provides the guiding Agency-wide team was formed to capture principles for executing effective financial process improvement opportunities for management functions and activities with managing reimbursable activity across the internal control and compliance solutions Agency. The efforts of this team will result in inherently embedded in the Agency processes. more consistent and effective reimbursable processes with improved management of reimbursable funds.

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Development of the FY 2014 Budget systems. We anticipate significant Request. NASA has not yet received improvement in this area in the FY passback guidance from the Office of 2012 audit report with lower and Budget (OMB) concerning deficiencies to be worked in FY 2013 the FY 2014 Budget Request. OCFO has in partnership with the NEACC and nevertheless continued work on development GSFC for the Agency’s Contractor of non-controversial parts of the request and Held Asset Tracking System stands ready to complete the request as the (CHATS). resolution of issues occurs. Implementation of New Conference MAJOR ISSUES Requirements. Pursuant to OMB directives that required new conference approval and Financial Audit Opinion. NASA received an reporting procedures and an internal analysis unqualified audit opinion for FY 2011. of existing NASA conference policies, the However, two significant deficiencies remain, Agency recently updated its official agency pending the results of the FY 2012 audit: policies concerning the conduct and reporting of NASA sponsored conferences and  Unfunded Environmental Liabilities attendance by NASA personnel at conferences (UEL): The FY 2011 annual financial sponsored by other entities. These new audit identified deficiencies in the requirements necessitated the enhancement of effectiveness of controls associated NASA’s conference attendance tracking tools, with the remediation liability which are set to be deployed in the estimation process, the interpretation Fall/Winter of FY 2013. In addition, several of accounting standards and other large data collections concerning conference guidance related to the recording of sponsorship and attendance that have been environmental liabilities, and with requested by Members of Congress are due to NASA’s evaluation of future be complete in the same timeframe. Environmental Liabilities associated with Property, Plant and Equipment KEY PERSONNEL (PP&E). Significant improvements have been made in FY 2012 to address Dr. Elizabeth “Beth” Robinson was these items, but we anticipate this confirmed by the U.S. Senate on November 5, significant deficiency to remain in our 2009, and sworn into office on November 9th FY 2012 audit report. Additional as the Chief Financial Officer for NASA. effort will be required in FY 2013 to Through her leadership, Dr. Robinson ensures remediate these deficiencies and also the financial health of the organization, address new requirements associated including responsibility for ensuring that with Asbestos liabilities. NASA resources are effectively employed  Information Technology: The FY toward the achievement of NASA’s strategic 2011 annual financial audit identified plan. She manages the organization’s budget excessive, privileged access and financial operations, directs the weaknesses and inadequate logging preparation and submission of annual financial and monitoring that, when aggregated, and budgetary reports, and coordinates agency increase the risk that unauthorized, financial and performance management undetected modifications could be policies and activities with other federal made to NASA’s financial data and agencies.

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Prior to joining NASA, Dr. Robinson was the She holds an undergraduate degree in physics senior-most Office of Management and from Reed College. Budget career official, responsible for supporting the OMB Director in developing, Andrew J. Hunter was named Deputy Chief publishing, and enacting the President’s Financial Officer for Strategy, Budget, and Budget request. As Assistant Director for Performance in 2010. As Deputy CFO for Budget, she provided leadership in the Strategy, Budget, and Performance, Hunter is preparation of budget proposals, database, and responsible for the Agency Planning, documents; development and review of budget Programming, Budgeting and Execution estimates; and development of budget (PPBE) process including the requisite procedures and budget accounting concepts. policies, controls, analyses and presentation for NASA’s budget, strategic planning, Before becoming Assistant Director for performance management system, and reports. Budget in September 2005, Dr. Robinson served as the Deputy Director for the From 2005 to 2010, Hunter served as Director Congressional Budget Office, where she of Resources for NASA’s Exploration assisted the Director in the overall Systems Mission Directorate. Prior to that management of the organization and position, he was Budget Director for the Earth represented CBO on the Federal Accounting Science Program for 7 years. Hunter spent Standards Advisory Board. Previously, she three years working in the independent served as OMB’s Deputy Assistant Director assessment group within NASA’s Office of for Budget Review and Concepts. Her primary the Comptroller where he co-led several responsibilities included overseeing the Independent Annual Reviews of major agency development of the President’s discretionary programs whose status was briefed annually to budget request and associated budget the Deputy Administrator. Hunter also served documents; revisions to agency guidance and as an analyst in the Office of Human Space congressional scoring rules; issues arising in Flight for several years and started with the execution of the budget; proposals for and NASA as a Presidential Management Intern Congressional action on appropriation bills; with the . During this and policy analysis projects. Prior to joining period, he also spent a year detail at the OMB’s Budget Review Division, she worked Executive Office of the President’s Office of as the OMB program examiner for energy Management and Budget, and 6 months issues, including the defense, intelligence, working with the Spacelab project office at fossil energy, and science programs at the Marshall Space Flight Center. Hunter joined Department of Energy. NASA in 1988.

From 1994 to 1998, Dr. Robinson was a staff Hunter graduated with a Bachelor of Arts in member on the Committee on Science in the Anthropology from the University of House of Representatives. From 1989 to Colorado at Boulder. He served two years as 1994, she worked at the Congress’s Office of a Peace Corps Volunteer and an additional Technology Assessment. Before that, she was year with the U.S. Agency for International an assistant professor of geophysics at Development, training new volunteers in West Stanford University, having graduated from Africa. After returning to the U.S., he earned a the Massachusetts Institute of Technology Masters degree in Public Administration from (MIT) with a Ph.D. in geophysics in 1987. in Washington, DC. While getting his Masters degree, he worked

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at the Government Accountability Office and ensures accountability of funds and other at the Department of the Treasury. resources.

Pamela D. Hanes was named Deputy Chief From 1991 to 2007, Hanes served in several Financial Officer for Finance in July 2012. As leadership positions at MSFC and NASA Deputy CFO for Finance, Hanes is responsible Headquarters, supervising a wide variety of for Agency Financial Operations including the financial and budget operational activities and requisite policies, controls, analyses, and special initiatives, including an agency-wide presentation for NASA’s financial data, effort to modernize NASA’s financial and systems, and reports. administrative systems by introducing new software systems and business processes. Prior to this, she served as CFO for NASA’s Marshall Space Flight Center (MSFC) in Hanes joined NASA as an operating Huntsville, AL, managing an annual budget of accountant at MSFC in 1982, and earned a approximately $2.6 billion for one of NASA’s Bachelor’s degree in accounting in 1985 from largest field installations. Hanes was the University of Alabama in Huntsville. responsible for development, implementation, Throughout her NASA career she has been and administration of integrated resources recognized by many performance and at MSFC, including all aspects of awards, including the NASA Outstanding planning, programming, and budgeting Leadership Medal and the NASA Exceptional processes, along with guidelines for Service Medal. In 2007, she was honored distributing funds. She was also responsible with a Presidential Rank Award for for the MSFC’s factual, legal, and integrated Meritorious Executives, one of the highest financial reporting and control system that honors given for government service, for her outstanding achievements at NASA.

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4.3.2 OFFICE OF THE CHIEF INFORMATION OFFICER (OCIO)

MISSION STATEMENT Reduction Act of 1995, the E-Government Act of 2002, the Federal Information Security The Office of the Chief Information Officer Management Act of 2002, and the Privacy Act provides leadership, planning, policy of 1974. The Chief Information Officer (CIO) direction, and oversight for the management is the principal advisor to the Administrator of NASA information and all NASA and other senior officials on matters pertaining information technology (IT) in accordance to information technology, the NASA with the responsibilities required by the Enterprise Architecture, IT security, records Clinger-Cohen Act of 1996, the Paperwork management, and privacy.

ORGANIZATIONAL STRUCTURE

Figure 4.3.2-1: High-Level Organizational Structure of the Office of the CIO

WORKFORCE

The OCIO workforce consists of 52 Full Time Equivalent (FTE) Civil Servants and 30 contractors.

BUDGET EST. ($M)

President’s FY13 FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Budget Request Office of Chief $159.1 $152.0 $152.0 $152.0 $152.0 $152.0 Information Officer Table 4.3.2-1: NASA Agency IT Services (AITS) Budget Runout

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FUNCTIONS TECHNOLOGY AND INNOVATION (T&I)

INFORMATION TECHNOLOGY SECURITY (ITS) Led by the for IT (CTO-IT), the Technology and Innovation The overall objective of the Information Division (T&I) fosters IT innovation, and Technology (IT) Security Division provides creativity to address the IT requirements and requirements and direction to ensure that needs of the NASA working environment. safeguards for IT resources (i.e., data, The CTO manages an IT Chief Technology information, applications, and systems) are Working Group comprised of Center and integrated into and support NASA’s Mission Directorate CTOs; provides missions and functional lines of business. oversight to IT Enterprise Architecture Adherence to and compliance with construction and management; coordinates regulatory requirements and daily security the Agency’s Open Government defense of the IT environment is the requirements; and manages the Open responsibility of the Chief Information Innovation and IT Lab Programs. The CTO Security Officer (CISO). Security function brings new IT innovations for architectures, security designs, analysis by the extended T&I team. These implementation plans, and deployments are technical pilots and evaluations determine accomplished and then followed by the suitability for incorporation of new services, combinations of operational auditing and systems, and products into the NASA enforcements of processes. Reporting of environment. The Enterprise Architecture NASA security performance in meeting functions to provide both the architectural regulatory requirements is a responsibility of vision for NASA’s IT and the oversight this office. protection for the IT environment regarding the diverse set of technologies in use across CAPITAL PLANNING & GOVERNANCE the Agency. They ensure new technologies (CP&G) are appropriately integrated into the on- going operational environment and work Capital Planning and Governance Division strategically with the Chief Technologist. is the central policy and business management division within the Office of ENTERPRISE SERVICE AND INTEGRATION the CIO. The Division develops and (ES&I) implements uniform and consistent information resources management policies; Enterprise services provides two integrated oversees the OCIO budget, oversees the functions: first is program and project development and use of information management for bringing new or updated management principles, standards, and information technology products, systems, guidelines; evaluates agency information and services to the operational environment; resources management practices; determines and second is the agency-wide maintenance compliance with policies, principles, and operations services for the NASA IT standards, and guidelines; and supports IT environment. The program and project project governance at the Agency and center management functions take innovation levels. concepts from the T&I Division and provide the necessary Agency consolidation support for planning, development, and deployment of those new or updated developments to the

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Agency environment. The ES&I division on improving business and ensures a robust set of infrastructure services management practices. and business applications tailored to the 5. Enhance mission success by operational environment to enable the providing efficient and effective NASA mission. The operational functions access to enterprise information and of enterprise service management are collaborative functionality. delivered via Enterprise Service Executives and their service teams residing in the IT FINANCE AND GOVERNANCE centers. They are responsible for the The entire NASA IT budget reported to integration, delivery, and management of OMB is $1.4 billion, of which just 10 NASA’s IT infrastructure services, inclusive percent is under the NASA CIO’s authority. of: networks, data centers, cloud computing, Our goal is to increase visibility into IT web services, desktop computers, and other budgeting and spending through improved end-user tools, such as e-mail and management controls and provide funding calendaring, enterprise service desk, and for enterprise base IT services. IT Finance collaboration services. In order to integrate, and Governance provides greater efficiently manage, monitor and track all transparency into IT investments and enterprise service provisioning, the NASA includes business owners and stakeholders Shared Service Center provides a in the IT decision-making process to ensure coordinated and centralized Enterprise that the Agency’s most important IT Service Desk and automated Request requirements are being funded. System. IT LABS AND OPEN INNOVATION IMPORTANT ACTIVITIES IT Labs identifies promising technologies INFRASTRUCTURE TRANSFORMATION and challenging problems to which IT can be applied. It does this via soliciting ideas Goal 1 of the NASA Information Resources with quick turnaround on ideation, proof of Management Strategic Plan is to: concept, prototyping, and pilots for “Transform NASA’s IT infrastructure and innovation. At present, 25 such application services to better meet evolving technologies are under evaluation and in stakeholder needs and support mission various stages of the innovation life cycle. success.” Objectives under this goal are: Open Innovation challenges NASA and

1. Ensure a positive end-to-end external collaborators to identify problems computing experience for of mutual interest and explore new ways of stakeholders. addressing them, primarily through crowd

2. Achieve efficiencies in providing IT sourcing and open source usage with global services, e.g., data center reach. Seven NASA-identified challenges consolidation, help desk were collaborated on in early 2012 via consolidation, cloud computing, etc. International Space Application Challenge 3. Empower the mobile workforce and other engagements. (anytime, anywhere, securely). 4. Provide enterprise applications that MATURING A PORTFOLIO MANAGEMENT support the Agency’s business and APPROACH TO MANAGING IT INVESTMENTS information needs, with new initiatives and enhancements focused A great number of NASA’s IT investment

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decisions are made on an organization-by- Under the IT Infrastructure Integration organization basis, outside of any Agency- Program (I3P), NASA has undertaken an wide organized or disciplined processes. The extensive consolidation effort involving new result is a number of inefficiencies, contracts for (1) End-User Services, (2) including a lack of tool standardization and Communications Services, (3) Web difficulty collaborating among like functions Services, and (4) Enterprise Applications, (e.g., ), an supported by an Enterprise Service Desk and inability to leverage Agency-wide contracts Service Request System and I3P Business that could potentially reduce costs (e.g., Office at NSSC. These new contracts are enterprise software licensing), and increased the cornerstone for the program but the and duplicative manpower for supporting program also offers a comprehensive plan to multiple instances of like software. To manage Agency enterprise services. mitigate this, the NASA CIO has instituted However, transitioning to these new several changes, including (1) a new contracts and the enterprise service model governance structure at both the Agency and has been very challenging. center level, coupled with new processes that ensure greater visibility and decision Specifically, there have been service authority over the Agency’s IT investments; delivery shortcomings with some of the (2) a business application portfolio service providers, integration issues between management function which maintains some of the service providers, and some inventories of the Agency’s applications degree of resistance from customers and, working with application owners, seeks transitioning to new service models and opportunities for driving efficiencies and service request processes. With limited reducing redundancies; and (3) the resources available to support the planning procurement, provision of services, and and to fund the costs of transition, the management of NASA’s IT infrastructure transition has been problematic at many through the implementation of more robust centers. Currently, approximately one year enterprise contracts entitled I3P. into the transition, our I3P team is identifying ways to improve performance MAJOR ISSUES and hold the service providers accountable to their service level agreements. Another MANAGING NASA’S IT INFRASTRUCTURE key element to improve the integration CONSOLIDATION aspect of the I3P Program is utilizing ITIL processes (such as enhanced configuration Previously, NASA’s decentralized approach management, , problem lacked any cohesive strategy that ensured we management, etc) and to improve the received the best value from our IT customer experience with infrastructure investment. This was particularly evident in delivery and services. To mitigate these the management of much of its IT challenges, NASA’s CIO has prioritized infrastructure, particularly for local area resources to address service integration networks, data centers, IT security services, issues and to improve surveillance of and Web services. Business cases prepared services under the Agency Consolidated in 2008-2009 suggested there were End-User Services contract. significant savings to be gained through consolidation and central management of Another major issue for NASA’s IT is aging NASA’s IT infrastructure. infrastructure. As the telephone system has

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the most likelihood of immediate failures KEY LEGISLATION and serious impact, it is one of the first being addressed by the department. Privacy Act of 1974 – The Privacy Act sets forth extensive requirements for the IT SECURITY management of personal information Cyber threats to federal information systems maintained in any format on individuals and cyber-based critical infrastructures are where such information is routinely evolving and growing. Cyber Security is the retrieved by a name or personal identifier driving force that protects the intellectual unique to the individual. property, power of invention, and natural that is the heart and soul of Electronic-Government Act of 2002 – The NASA. In response to these intractable electronic-Gov Act reinforces existing challenges, we have developed a strategy statutory privacy provisions and adds new that continues to transform our cyber requirements to ensure sufficient protections security program – moving to a proactive for the privacy of personal information as security posture based on detection, agencies implement electronic government. prevention, and prediction. The NASA Security Operations Center (SOC) provides Title III of the e-Gov Act, or the Federal centralized enterprise capabilities that Information Security Management Act immediately detect and react to threats and (FISMA), provides for development and attacks. The NASA SOC is currently maintenance of minimum controls required enhancing our mission assurance (systems, to protect federal information and applications, and networks) posture via information systems (including privacy protection, detection, continuous monitoring information). and reaction mechanisms that drive adaptive that support Section 208 of the e-Gov Act requires critical mission and . NASA to complete Privacy Impact Assessments (PIAs) for new or modified Information security is an integral element information systems that collect, maintain, of sound management. The United States or disseminate any Information in an Congress has instituted laws, regulations, Identifiable Form (IIF) from or about and directives that govern creation and members of the public. implementation of federal information security practices. These laws and Paperwork Reduction Act of 1995 – The regulations place responsibility and Paperwork Reduction Act (PRA) regulates accountability for information security at all the burden that agencies place on members levels within federal agencies, from the of the public when collecting information agency head to system users. These laws from them. OMB authorization shall be and regulations provide a framework for obtained when NASA collects information overseeing implementation of required from 10 or more members of the public practices: the Privacy Act of 1974, the through standardized fields, whether via Paperwork Reduction Act (PRA) of 1995, survey (in paper or electronic form), web- the Clinger-Cohen Act of 1996, the E- enabled forms, or any method of Government (E-Gov.) Act of 2002, and the information provisioning, regardless of Federal Information Security Management format or whether the provisioning of the Act (FISMA) of 2002. information is voluntary. For this NASA

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Procedural Requirement (NPR), the PRA is Technology as Deputy Assistant Director. The applicable only when NASA seeks Office of Science and Technology is collection of IIF from members of the responsible for providing leadership in the public. innovative and efficient application of science and technology used to collect, clarify, and KEY PERSONNEL communicate information needed to reduce violent crime, collect revenue, and protect the Linda Cureton is the Chief Information public. As the ATF Deputy CIO, she was Officer (CIO) and provides the requisite responsible for ensuring that the use of leadership to transform the management of Information Technology for the Bureau’s information technology (IT) capabilities and mission and business requirements fulfill services to support and enable NASA’s customer and stakeholder needs. Previously, mission. Cureton was appointed as the Cureton served in executive positions at the NASA CIO in September 2009. Department of Energy and the Department of Justice. She ensures that the Agency’s Information (IRM) strategy is in She is a strong advocate for the practical alignment with NASA’s vision, mission, and application of technology and some of her strategic goals. Accordingly, Cureton ensures professional affiliations include the Armed the development of integrated IRM strategies, Forces Communications and Electronics including standards, policies, NASA Association, the Gartner Group Information Enterprise Architecture, IT security, Technology Executive Program, and the management, and operations. She has the Society for Information Management, responsibility, authority, and accountability Advanced Practices Council. for ensuring that NASA’s information assets are selected, controlled, and evaluated She has also received prestigious awards consistent with federal policies, procedures, including: and legislation.  2008 IT Service Management Forum Prior to this appointment, Cureton served as (ITSMF) Heritage Award the Chief Information Officer (CIO) of the  2009 InformationWeek Government NASA Goddard Space Flight Center (GSFC) CIO 50 and led the Information Technology and  2009 Washington Business Journal Communications Directorate. As the GSFC Women Who Mean Business CIO, Cureton was responsible for ensuring  2011 Minority Enterprise Executive that GSFC’s information assets are acquired Council 50 Women of Influence and and managed consistent with Agency and Power Award Federal Government policies. She was  2011 Federal Computer Week Fed responsible for ensuring that the Center’s 100 Information Technology strategy aligns with  2011 Washingtonian Magazine Tech NASA’s vision, mission, and strategic goals. Titans  2011 Womensphere Global Prior to her arrival at GSFC, Cureton was the Leadership Award for Innovation Deputy Chief Information Officer of the  2012 National Urban League of Bureau of Alcohol, Tobacco, and Firearms Northern Virginia for Leadership in (ATF) and led the Office of Science and

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Science, Technology, Engineering, infrastructure program created to and Mathematics consolidate the Agency’s IT and big data  2012 Business Insider 25 Powerful services. Women Engineers  2012 Government Computer News Prior to NASA, as the CIO for Department Civilian Executive of the Year of Homeland Security’s Science and Technology Directorate, she developed and She is a published author. In addition, her implemented $1.2 billion of high-profile, work has been published in the Journal of ground-breaking scientific programs and IT Sound and Vibration and The IT infrastructure. As she served to provide new Professional. She has also had several Op- and effective ways to fight the war on Ed pieces published in leading government terrorism, she also served as the senior IT media outlets. advisor on IT interoperability, biometrics, geospatial, and wireless technologies. As Cureton earned a Bachelor of Science Deputy CIO at the U.S. Patent and Degree from Howard University in 1980 Trademark Office (USPTO), she helped graduating magna cum laude with a major in transform USPTO electronic commerce and Mathematics and a minor in Latin. She also managed complex IT initiatives to received a Master of Science Degree in modernize business process and data Applied Mathematics from Johns Hopkins exchange systems. As Deputy Associate University in 1994, and a Post-Master’s Administrator of Citizen Services at General Advanced Certificate in Applied Services Agency, she developed the Mathematics from Johns Hopkins University government’s first electronic government- in 1996. She performed extensive research wide citizen portal and shepherded many in numerical analysis and has been public-private partnerships from concept to published in the Journal of Sound and delivery. She was a pioneer creating many Vibration. She currently resides in Maryland of the first e-Government initiatives such as with her husband and mother. USA.gov (FirstGov) and USA Services. Diaz also helped blaze a trail to sub-Saharan Deborah Diaz is NASA’s Deputy Chief Africa and Asia, negotiating private sector Information Officer, providing leadership to joint ventures as an international consultant manage information technology services and and with the U.S. Agency for International enhance capabilities to support and enable Development. NASA’s mission since 2009. As an experienced information technology Diaz has received numerous prestigious executive, she is recognized as a top agent awards, including being a three-time of change who has provided innovative recipient of the Federal Computer Week business solutions and developed strong “Fed 100” award, eGov Pioneer, Gracie partnerships between industry and Award, March of Dimes Heroines in government. Diaz’s strong collaborative Technology, Washington Business Journal leadership in NASA’s Open Government Women Who Mean Business, and Harvard’s Initiative Plan garnered a number one “Best Innovation in Government. She received in Government” vote for NASA for the last her Master’s of Science in International two years. She revitalized the planning, Business from Colorado State University development, and operations of the new IT and Bachelor of Business Administration from Stonehill College.

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CENTER CIOS:

Ames Research Center CIO (Acting): Ray O’Brien Dryden Flight Research Center CIO: Larry Freudinger Glenn Research Center CIO: Randy Humphries Goddard Space Flight Center CIO: Adrian Gardner Headquarters CIO: Kelly Carter Jet Propulsion Laboratory CIO: James Rinaldi Johnson Space Center CIO: Larry Sweet Kennedy Space Center CIO: Michael Bolger Langley Research Center CIO: Jeff Seaton Marshall Space Flight CenterCIO: Jonathan Pettus NASA Shared Services Center (NSSC) CIO: Bruce O’Dell Stennis Space Center CIO: Dinna Cottrell

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4.3.3 OFFICE OF THE CHIEF SCIENTIST (OCS)

closely with the White House Office of MISSION STATEMENT Science and Technology Policy and the Office of Management and Budget. OCS The Chief Scientist serves as principal also coordinates with representatives of the advisor to the NASA Administrator and NASA mission directorates, field centers, other senior officials on agency science and advisory committees on the content and programs, strategic planning, and the objectives of the agency’s science research evaluation of related investments. The and exploration portfolio. The Chief Office of the Chief Scientist (OCS) Scientist represents the agency’s strategic represents all of the scientific endeavors in science objectives and accomplishments to the agency, ensuring they are aligned with the national and international science and fulfill the administration’s science community, including other government objectives. The OCS advocates for NASA agencies, scientific organizations, industry, science in the context of broader academia, and the public. government science agendas and works

ORGANIZATIONAL STRUCTURE

Figure 4.3.3-1: OCS Organizational Structure Workforce

WORKFORCE

OCS has a workforce allocation of 5 Full Time Equivalent (FTE) Civil Servants

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BUDGET EST. ($M)

President’s FY13 FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Budget Request Office of the Chief $0.4 $0.5 $0.5 $0.5 $0.5 $0.5 Scientist Table 4.3.3-1: Office of the Chief Scientist’s Budget Runout

FUNCTIONS Chief Scientist seeks to understand the needs, interests, and scientific goals of the The Office of the Chief Scientist provides science community, and works to ensure scientific leadership for the Agency. Its that those interests are appropriately major functions are described below: considered in NASA’s scientific planning and pursuits. Provides Independent Assessments and Advice to the Administrator on Science The Chief Scientist serves as NASA’s senior Matters. The OCS serves as an independent science representative to the Office of advisor on all matters pertaining to NASA Science and Technology Policy, the Office science. It performs scientific, technical, of Management and Budget, and the United programmatic, and/or policy reviews to States Congress. He represents the assure that NASA science programs are of Administrator to the National Advisory the highest scientific and technologic merit Council (NAC) Science Committee, the and integrity. OCS provides independent National Academy of Sciences, and other budgetary assessment and concurrence for science advisory bodies, as well as the all NASA activities associated with the international community. conduct of science. Finally, OCS leads the development of Agency science strategy and Promotes a Vital, Healthy NASA Science ensures that NASA’s overarching Strategic Community to Maximize Innovation and Plan properly incorporates science issues Productivity in NASA Research. OCS and direction. The Chief Scientist serves as a encourages and fosters science integration member of NASA’s Executive Council, and cooperation across the Agency, Strategic Management Council, Program including the Mission Directorates and the Management Council, and as an extended centers. One way that it carries out this member of the Mission Support Council. function is through chairmanship of a Science Council, comprising NASA HQ and Serves as an External Interface center science leaders from across the Regarding Science Activities and Issues. Agency. The Science Council provides a OCS promotes, communicates, and forum for discussion of cross-cutting advocates for NASA’s science portfolio and strategic science issues, direction, and strategy to the broad external community. opportunities, as well as for discussing The Chief Scientist also represents NASA in NASA-wide science policy and workforce promoting and maintaining good public and issues. community relations and providing for the widest practical and appropriate OCS provides support and guidance to dissemination of information concerning NASA science organizations in their science and space activities. In addition, the development and implementation of plans to

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address science policy, goals, objectives, Due to the close relationship between the metrics, and actions needed to execute the research division and the International Space strategic goals and outcomes in the NASA Station, the platform that the majority of Strategic Plan. research is performed on, it was determined that this was the best “fit” in the agency. To OCS works with the Center Directors to ensure that the science priorities are not over promote vitality and innovation of NASA’s shadowed by the development and scientific workforce. In particular, it directs operations commitments, the Office of the and oversees a Science Innovation Fund to Chief Scientist serves as a liaison to the promote the conduct of highly innovative, NASA HEOMD to ensure alignment of exploratory, and high-risk/high return agency priorities and to increase the scientific research at NASA centers. visibility of the HEOMD research portfolio at the agency level. OCS directs and oversees the Agency nomination process for Agency-wide Science Workforce Vitality. The OCS has external and internal scientific awards, several ongoing activities to enhance vitality including the Presidential Early Career and innovation of the scientific workforce at Awards for Scientists and Engineers. NASA centers. Among these is the Science Innovation Fund, which was successfully IMPORTANT ACTIVITIES piloted at 2 centers in FY12 and has been broadened to 5 centers in FY13. This small Annual Budget Review. The Chief investment provides seed funding for Scientist conducts a review of the science exploratory and high risk/high return investments prior to submission of the scientific research. Additionally, OCS has NASA budget to the Office of Management led the Science Council in an effort to and Budget during the annual budget cycle. develop options for improving the current This analysis provides a review of the funding model for NASA scientists. As part amounts of these investments, the rationale of this effort, OCS is facilitating behind them, and their consistency with communication and understanding between science community and Administration center and headquarters science leaders. priorities. Following this review, the Chief Scientist makes recommendations to the Mars Program Planning. The Chief Executive Council on science portfolio Scientist has been heavily involved in the identifying areas of new or increased assessment of the Mars program investments, and areas in which to reduce or reformulation, including reviewing the input eliminate investments. This was issued in from the Mars Program Planning Group. In 2012 as an action in support of the FY14 view of the fact that the Associate budget preparation, and should be continued Administrator and the Chief Technologist annually. have assumed their positions since the development of the President’s FY13 Space Exploration Research. The Space budget, the Chief Scientist provided Life and Physical Sciences Division, a institutional memory in the development of fundamental and applied research program, this program, ensuring that the challenges it resides in the Human Exploration and faced in the previous year were addressed in Operations Mission Directorate (HEOMD), the current year. a development and operations organization.

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KEY PERSONNEL University of Colorado in 1991, and a Ph.D. from University of Colorado in 1996. In the Dr. Waleed Abdalati, Chief Scientist. Dr. mid 1980s, before returning to graduate Waleed Abdalati serves as the principal school, he worked as an engineer in the adviser to NASA Administrator Charles aerospace industry, designing, analyzing, Bolden, Jr., on NASA science programs, and testing components of various strategic planning, and the evaluation of spacecraft and submarine systems. related investments. In that capacity, he works to ensure that NASA’s science activities are Dr. Gale Allen, Associate Chief Scientist for aligned with the goals and objectives of the Life and Physical Sciences. Gale J. Allen, scientific community and the White House. PhD, serves as the Associate Chief Scientist He also communicates value and rationale of for Life and Physical Sciences Research and is these investments to Congress and the science responsible for the oversight of all aspects of community in order to secure broad support. microgravity research. She ensures He is currently on leave from his position as investment strategies and portfolio content are director of the University of Colorado’s Earth aligned with the life and physical sciences Science and Observation Center, which carries decadal survey. She has over fifteen years of out research and education activities on the experience in fundamental space biology and use of remote sensing observations to physical sciences, and served as program understand the Earth. Dr. Abdalati is also a manager for the Human Research Program. fellow of the Cooperative Institute for Dr. Allen provides leadership and advice to Research in Environmental Sciences at the the Chief Scientist on matters pertaining to University. His research has focused on the research in these areas and serves as interface use of satellites and aircraft to understand how to external agencies. and why Earth’s ice cover is changing, and what those changes mean for life on our Dr. Teresa Fryberger, Associate Chief planet. He also has served as leader of the Ice, Scientist for Planning and Evaluation. Dr. Cloud, and land Elevation Satellite-2 (ICESat- Fryberger is responsible for planning and 2) Science Definition Team and has led or execution of both the day-to-day and longer- participated in nine field and airborne term functions of the OCS. She plans and campaigns in the Arctic and Antarctic. manages the Science Innovation Fund and Science Council activities, and leads studies His appointment as chief scientist marks a and reviews of science programs, issues, and return to NASA for Dr. Abdalati, where he policies. Dr. Fryberger provides leadership worked from 1996-2008. From 1996-2000, he and advice to the Chief Scientist in the areas was a researcher at Goddard in the Oceans and of research management and policy. Ice Branch. From 2004-2008, he was head of Additionally, she oversees the the Cryospheric Sciences Branch at NASA’s organizational, financial, and administrative Goddard Space Flight Center, and from 2000- aspects of the office. She is an accomplished 2004, he managed NASA’s Cryospheric research program and policy executive in the Sciences Program at NASA Headquarters. Earth and physical sciences, with over 20 years of experience at NASA, the White Dr. Abdalati received a Bachelor of Science House Office of Science and Technology degree from Syracuse University in 1986, a Policy, and the Department of Energy. Master of Science degree from the

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4.3.4 OFFICE OF THE CHIEF TECHNOLOGIST (OCT)

MISSION STATEMENT Executive Council (NTEC) and the Center Technology Council (CTC), and documenting The Office of the Chief Technologist (OCT) and evaluating the Agency technology coordinates NASA’s technology investments portfolio to facilitate coordination and across the Agency through technology understanding of all Agency technology portfolio tracking and technology investments. NASA’s technology investments roadmapping. OCT seeks out and initiates are guided by the Strategic Space Technology technology partnerships with private- and Investment Plan (SSTIP). OCT coordinates public-sector entities, manages NASA’s the Agency’s overall technology portfolio to commercialization and technology-transfer identify development needs and reduce processes, houses the Emerging Space Office, duplication. By coordinating technology and provides strategic guidance for the programs within NASA, OCT facilitates agency’s incentive prize activities. The office integration of available and new technology is managed by NASA’s Chief Technologist, into operational systems that support specific who serves as the Administrator’s principal human-exploration missions, science advisor and advocate on matters concerning missions, and aeronautics. OCT also engages technology policy and programs. Through the larger aerospace community including OCT, NASA documents and communicates other government agencies, and, where there the societal benefits of the Agency’s are mutual interests, develops partnerships to technology efforts. efficiently develop breakthrough capabilities and help address significant national needs. OCT facilitates the transfer of technology developed by NASA for commercial OCT implements its mission by cultivating application and other benefits to the Nation. In and maintaining a creative and innovative this leadership role, OCT supports all Mission culture particularly as it relates to training and Directorates and has Chief Technologists and workforce development. Central to this Innovative Partnership staff at each of the implementation is OCT’s advocacy for centers. In addition to leveraged technology adopting innovative technological solutions, investments, dual-use technology-related including new paradigms for exploration and partnerships, and technology solutions for science motivated by both technology push NASA, OCT coordinates the strategic use of and mission pull. This role facilitates prizes and challenges as a means for connection to emerging technologies in innovation. OCT also encourages and external communities, enables targeted facilitates the pursuit of appropriate positioning of NASA’s technology portfolio in partnerships and dialogues with the emerging selected areas, and secures NASA’s commercial space sector. intellectual property to provide fair access and to support NASA’s strategic goals. The office oversees Agency technology Technology transfer through dual-use strategic planning activities, including partnerships and licensing also creates many management of the NASA Technology important socio-economic benefits for the Nation.

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WORKFORCE

The OCT has a workforce allocation of 9 Full Time Equivalent (FTE) Civil Servants. OCT also funds Chief Technologists and Technology Transfer workforce at all 10 field centers.

FUNCTIONS The Office of the Chief Technologist (OCT) property management, promoting the provides technology leadership for NASA. availability of NASA technologies for use OCT advises the Administrator and by the U.S. public and private sectors, advocates for NASA’s research and promoting the utilization of technological technology programs. Its functions are assets, and creating and communicating the designed to meet the needs of NASA’s societal benefits of NASA’s technology Mission Directorates, to provide strategic transfer activities. direction for and coordination of Agency technology development efforts and to STRATEGIC PARTNERSHIPS ensure that NASA technologies are transferred and commercialized for the Strategic Partnerships are designed to benefit of the Nation. NASA’s technology expand and strengthen NASA’s ability to investments are guided by the Strategic execute its mission, and range from non- Space Technology Investment Plan (SSTIP), traditional partnerships to systematic an actionable plan that lays out the strategy engagements with regional, state, and local for developing technologies essential to the partners that accelerate technology transfer pursuit of NASA’s mission and national and commercialization in support of goals. The SSTIP prescribes a framework regional economic innovation and growth. for NASA space technology investment and Also included in this function is the a focused approach to guide that investment coordination of NASA’s participation in over the next four years, within the context national technology initiatives in advanced of a 20-year horizon. This plan assures manufacturing, nanotechnology, robotics, NASA investments will optimize the and materials. benefits of key stakeholders, including NASA Mission Directorates, other U.S. PRIZES AND CHALLENGES government agencies, the private sector, and the Nation. This function provides agency-level leadership, coordination, and guidance for TECHNOLOGY TRANSFER NASA’s use of incentive prizes to spur innovation, diversify the pool of solvers The NASA technology transfer program is addressing NASA problems, advance focused on creating benefits for society technology development in a flexible, “on through transferring the Agency’s inventions demand” way, and lower mission design and innovative knowledge to outside costs to leverage government dollars for organizations. Managed out of NASA technological breakthroughs. This function Headquarters, but consisting of a program also seeks to identify potential topics for office at each of the Agency’s 10 centers, its NASA-led Grand Challenges, ambitious yet activities are governed by U.S. laws and achievable national targets that harness and regulations as well as by NASA policies. advance science, technology, and Primary activities include intellectual

• 81 • The NASA Presidential Transition Binder innovation, in coordination with the Office and academia, Dr. Peck has worked as an of Strategy Formulation. engineer and consultant to NASA and in the private sector on a variety of programs, EMERGING SPACE OFFICE including the Tracking and Data Relay Satellite System and Geostationary The Emerging Space Office serves as the Operational Environmental Satellites. He agency’s principal advisory and advocacy has authored 90 academic articles and holds function for encouraging engagement with 17 patents in the U.S. and European Union. the U.S. emerging commercial space Peck earned a doctorate in Aerospace community. With a Level 2 office managed Engineering from the University of out of ARC, this function conducts California, Los Angeles as a Howard economic analysis and emerging trends Hughes Fellow and a Master’s degree in assessments, and produces public reports English Literature from the University of and studies, on matters related to emerging Chicago. Dr. Peck serves as the agency’s commercial space activities including the principal advisor and advocate on matters assessment of NASA options for concerning technology policy and programs. encouraging increased commercial space development. W. James Adams, Deputy Chief Technologist. With over 30 years in STRATEGIC INTEGRATION industry and government, Jim Adams came to the Office of the Chief Technologist from This function oversees Agency technology NASA’s Science Mission Directorate, where strategic planning activities including he served as the Deputy Director of the coordination of activities related to the Planetary Science Division. Adams has been SSTIP, management of the NASA responsible for the development of several Technology Executive Council (NTEC), key technologies, including Ion Propulsion, coordinating the Center Technology Council Radioisotope Power Systems, and Pu-238 (CTC), and documenting and evaluating the production strategies. Adams earned his Agency technology portfolio to identify and Bachelor of Science in Physics from address technology gaps. Westminster College in New Wilmington, PA and his Master of Science degree in KEY PERSONNEL Electrical Engineering from Villanova University. Mason Peck, Chief Technologist. With more than 20 years of experience in industry

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4.3.5 OFFICE OF THE CHIEF ENGINEER (OCE)

MISSION STATEMENT advisor to the Administrator and other senior officials on matters pertaining to technical The Office of the Chief Engineer provides readiness in execution of NASA programs and policy direction, oversight, and assessment for projects. Also, it is responsible for Agency- NASA engineering and program/project level standards and policies as applied to management. It serves as the principal engineering and program management.

ORGANIZATIONAL STRUCTURE

Figure 4.3.5-1: OCE Organizational Structure

WORKFORCE

OCE has a workforce allocation of 24 Full Time Equivalent (FTE) Civil Servants.

BUDGET EST. ($M)

President’s FY13 FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Budget Request Office of the Chief $105.2 $98.6 $98.6 $98.6 $98.6 $98.6 Engineer Table 4.3.5-1: Office of the Chief Engineer’s Budget Runout

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FUNCTIONS future of NASA. The APPEL Director also serves as NASA’s Chief Knowledge Officer, NASA ENGINEERING AND SAFETY CENTER the agency’s focal point for developing the (NESC) policies and requirements necessary to integrate knowledge capture across programs, The NASA Engineering and Safety Center, projects, and centers. established in 2003 in response to the Columbia accident, is responsible for rapid, ADVANCED PLANNING AND ANALYSIS DIVISION cross-Agency response to mission critical engineering issues, and for improving the state The division has four main functions: of the practice in critical engineering areas. The NESC performs value-added independent 4. Coordinate the application of technical testing, analyses, and technical assessments of resources to support engineering work, NASA’s projects and technical activities to including lessons learned, technical enhance safety and mission success. The standards, trend evaluation, access to NESC also works proactively to help NASA technical information, technical support avoid problem recurrence and to prevent for specific disciplines and problems, and future problems. The core NESC organization coordination among engineering work is comprised of senior engineering experts groups; from across the Agency, including the NASA Technical Fellows and their Technical 5. Provide leadership to define the tools, Discipline Teams composed of experts from processes, facilities, and engineering NASA, industry, and academia. resources needed to improve the Agency’s technical excellence; ACADEMY OF PROGRAM, PROJECT, AND 6. Establish and maintain Agency-wide ENGINEERING LEADERSHIP (APPEL) processes, technical standards, requirements, and policies for the conduct APPEL provides leadership of, and policy for, of discipline-area engineering and systems the Agency’s engineering and program/project engineering; and management training. APPEL implements and 7. Provide leadership and oversight for the manages an Agency-wide curriculum that Agency’s Inventions and Contributions enhances the requisite competencies for Board. program/project managers, systems engineers, and discipline engineers, facilitates the ENGINEERING AND PROGRAM MANAGEMENT agency’s project management certification DIVISION process per Office of Management and Budget requirements, and offers knowledge sharing This division provides leadership, policy activities to enhance mission success. This direction, functional oversight, assessment, includes providing and managing curriculum and coordination for two major, closely at NASA centers, and offering knowledge related areas: services such as Principal Investigator Forums that are mandatory for Principal Investigator 8. Engineering and related technical teams selected through the Science Mission disciplines, including systems engineering, Directorate’s Announcement of Opportunity software engineering, and technical process. The Office of the Chief Engineer integration; and works to ensure proper alignment of curriculum with needed competencies for the

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9. Program and project management, recognizes that growing the talent pool takes including earned value management, time, and skill availability outside of NASA program integration, and program makes hiring difficult. A number of OCE planning and control. activities have begun to ensure a strong systems engineering capability. This division also establishes and maintains the Agency-wide process and requirements for ENGINEERING SCIENCE program and project management and facilitates Agency coordination to understand The Office of the Chief Engineer is the risk associated with protection of NASA’s responsible for leading NASA’s approach to space assets (ground and on-orbit) against solving the engineering problems that arise natural or man made activity that reduces our throughout a flight system’s lifecycle, with capacity to perform our missions. This responsibility for technical processes and what includes maintenance and update of Policy is often called engineering science. NASA’s and Requirements Documents (NPDs and programs and projects and technology NPRs) for Program and Project Management development require a solid foundation in and Engineering. basic engineering science research relevant to the Agency’s work. A technology is a IMPORTANT ACTIVITIES solution that arises from applying the disciplines of engineering science to TECHNICAL EXCELLENCE synthesize a device, process or subsystem, with the purpose of enabling a specific It is critical that OCE develop new policies capability. In contrast, basic engineering across a broad range of engineering topics that science research is informed by explorations have the potential to take the agency in new of the unknown or least understood areas of directions. Focused on current and future foundational science and engineering, which missions, the OCE identifies critical near-, clearly distinguishes it from technology — it mid-, and long-term cross-cutting technical is the pacesetter for technology and the raw issues, any gaps/overlaps, and develops material for inventions and discoveries. A findings and recommendations for strategic NASA-relevant example of basic engineering considerations by the Agency to achieve its science is to provide predictive methods in goals. OCE has identified several initiatives to fluid dynamics, structural mechanics, and address some of the high priority mid- to long- spacecraft charging. Engineering science term cross-cutting technical issues driving described here is done for the sake of enabling technical readiness. Included in this list are future technologies and improving the initiatives for: Space Weather and prediction and analysis of engineered systems. Climatology; Entry, Descent and Landing; NASA continues to rely on tried and proven Advanced Propulsion Concepts; Optical engineering capabilities such as NASA Communications; and Radioisotope Power structural analysis and Finite Element Systems. Analysis (FEA) tools — NASTRAN and PATRAN, which are products of engineering SYSTEM ENGINEERING science research investments made over 40 years ago. The Office of the Chief Engineer Office of the Chief Engineer is working with in collaboration with the Office of the Chief the NASA centers to develop an Agency plan Technologist and the Office of the Chief to resolve the shortage of systems engineering Scientist is in the process of formulating an skills for NASA’s major programs. The OCE

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Agency strategy that will provide coordination KEY PERSONNEL and direction in basic engineering science research in a way that is analogous to how the Dr. Michael Ryschewitsch, Chief Engineer. Chief Technologist currently leads and Since August 2007, Dr. Ryschkewitsch has provides strategic direction for technology. served as the NASA’s Chief Engineer after serving as the Deputy Center Director for PROGRAM PLANNING AND CONTROL NASA’s Goddard Space Flight Center since 2005. He joined NASA in 1982 as a Over the past two decades, NASA’s Program cryogenics engineer to work on the Cosmic Planning and Control (PP&C) capability and Background Explorer mission, held a number skills have been diminishing due to attrition, of management positions and supported many out-sourcing, and budget cuts. In response, projects such as the Hubble Space Telescope OCE has implemented a number of actions to Servicing Missions and the Wilkinson address the Agency’s performance challenge. Microwave Anisotropy Probe. He earned his Over the past year, OCE has led a concerted Bachelor’s degree in Physics from the effort to coordinate the revitalization of PP&C University of Florida, Gainesville, in 1973 and capability across the Agency under the a doctorate from Duke University, Durham, guidance of an Agency PP&C Steering NC, in 1978. He was awarded the NASA Committee and an Agencywide working Exceptional Service Medal, the NASA Medal group. Progress has been made at all centers for Outstanding Leadership, the Robert but more work is required to develop a robust Baumann Award for contributions to mission Agency PP&C capability. success, and the NASA Engineering and Safety Center Leadership Award. MAJOR ISSUES Gregory Robinson, Deputy Chief Engineer. FUNDING SHORTFALL FOR MISSION SUPPORT Robinson was appointed NASA Deputy Chief Engineer in November 2005. He was OCE’s reduced baseline budget is barely previously Deputy Chief Engineer, and in that sufficient to cover statutory regulations, role was the primary liaison with the centers required policy development, maintenance of engineering organizations and the four technical standards, and essential services to Mission Directorates at Headquarters. Prior to engineers working on programs and projects coming to NASA Headquarters in 1999, he and core agency training in support of the spent 11 years in various leadership posts at Office of Management and Budget (OMB) NASA’s Goddard Space Flight Center in certification requirements but without the Greenbelt, MD. In addition to his other ability to reasonably address any capability leadership roles, he served as Systems shortfalls or emerging issues. This leads to a Assurance Manager for the Earth Observing reduction in the NASA Engineering and Space System (Aqua) Project and the Aura Center (NESC) proactive work, knowledge spacecraft, as well as the Global Geospace sharing, the number of Tech Fellows, and Science project, which included the Wind and discipline enhancing work. Other impacts Polar spacecraft. Robinson earned his dual include reduced OCE Tech Excellence Bachelor’s degrees in 1983 in Math from Initiatives, APPEL course and knowledge Virginia Union University, Electrical sharing content, JPL TA, and several other Engineering from Howard University, and an critical areas. The challenge is to protect MBA from Averett College in 1993. He also NASA engineering and other technical and attended Harvard University, Kennedy School programmatic capabilities.

• 86 • The NASA Presidential Transition Binder of Government, Senior Executive Fellows 1985 as a Presidential Management Intern in Program; and the Federal Executive Institute the Office of Space Science, where she held a (Leadership for a Democratic Society). He has number of management positions and received numerous individual and group supported many programs, including Solar Performance Awards, and the Presidential System Exploration, Sun-Earth Connections, Rank, Meritorious Senior Professionals and and Physics and Astronomy. She earned her Executives Award. Bachelor’s degree in Political Science from Tech University in 1983, and a Carrie Sorrels, Deputy for Management. Master’s degree in Public Policy from Texas Since 2005, Sorrels has served as the Deputy Tech in 1985. She was awarded the NASA for Management, Office of the Chief Engineer Exceptional Service Medal and many after serving as Director of the Policy and performance and achievement awards Business Management Division in the Science throughout her career. Mission Directorate. She joined NASA in

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4.3.6 OFFICE OF THE CHIEF HEALTH AND MEDICAL OFFICER (OCHMO)

MISSION STATEMENT oversight, and management of all NASA health and medical matters in all The Office of the Chief Health and Medical environments, and medical emergency Officer (OCHMO) serves as the focal point preparedness and contingency operations and for policy formulation, coordination, response.

WORKFORCE

The OCHMO has a workforce allocation of 10 Full Time Equivalent (FTE) Civil Servants.

BUDGET EST. ($M)

President’s FY13 FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Budget Request Office of the Chief Health $4.5 $4.3 $4.3 $4.3 $4.3 $4.3 and Medical Officer Table 4.3.6-1: Office of the Chief Health & Medical Officer’s Budget Runout

FUNCTIONS policy for NASA missions, with a primary focus on human space flight. MEE is also OCCUPATIONAL HEALTH DIVISION responsible for oversight of the Civilian Aerospace Medicine Residencies, and for The Occupational Health (OH) Division has the functions of the NASA Medical Policy Agency-wide oversight for occupational Board and the Multilateral Medical Policy medicine, environmental health (including Board. The Division also maintains NASA’s industrial hygiene, health physics, and food relationship with the Institute of Medicine’s sanitation), federal workers’ compensation, Committee on Aerospace Medicine and employee assistance, physical fitness Medicine of Extreme Environments. programs, and primary prevention efforts. The OH Division also represents NASA on MEDICAL POLICY AND ETHICS DIVISION various federal interagency panels and working groups that include the The Medical Policy and Ethics Division is Environmental Protection Agency, responsible for formulating and Department of Labor, Federal Aviation implementing NASA health and medical Administration, the Office of Personnel policy pertaining to human space flight and Management, and the Department of Health bioethics. This includes policies, and Human Services. requirements, and standards related to the health and medical care of space flight and MEDICINE OF EXTREME ENVIRONMENTS aviation crews, regulatory oversight of the DIVISION use of animal and human research subjects in NASA-sponsored biomedical research, The Medicine of Extreme Environments and translation of research findings into (MEE) Division is responsible for oversight NASA medical practice. of implementation of operational medical

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IMPORTANT ACTIVITIES formulation and implementation, impacting astronaut healthcare before, during, and after Electronic Health Record System space flight. The Multilateral Medical Policy (EHRS) Board (MMPB), co-chaired by the NASA and the Russian Space Agency Chief The NASA EHRS, a project in alignment Medical Officers, establishes policies and with the Federal e-Government initiative, provides oversight for International Space was fully implemented in September 2012 to Station medical operations. enhance the efficacy of Agency healthcare information management. The EHRS will HEALTH AND MEDICAL TECHNICAL enable OCHMO to track and trend health AUTHORITY data for refinement of health programs demonstrating the highest return on NASA has established the technical investment. authority process as part of its system of checks and balances to provide independent HEALTH AND MEDICAL REVIEW oversight of programs and projects in support of safety and mission success. The The Chief Health and Medical Office CHMO serves as the Agency’s independent conducts onsite occupational health reviews of Health and Medical Technical Authority all NASA centers and facilities every three (HMTA) and delegates HMTA years to ensure compliance with applicable responsibilities to the Chief Medical internal and external policies and regulations, Officers at the NASA centers. The HMTA and to assure the highest quality of care, ensures that Agency health and medical support, and protection for NASA employees. policy, procedural requirements, and standards are addressed in program/project RESIDENCIES, COMMITTEE, AND BOARDS management when applicable and appropriate. HMTA provides independent The University of Texas Medical Branch oversight of all human health, medical, and (UTMB) and Wright State University human performance matters that either arise aerospace medicine residencies train in association with the execution of NASA physicians for the clinical care of NASA programs or projects, or are embedded in and aviation crews. The UTMB NASA programs or projects. also provides clinical currency training for NASA physicians who are trained to MAJOR ISSUES become NASA flight surgeons on a regular basis, as well as access to aerospace A significant challenge for which OCHMO medicine continuing education. The has been apprised by NASA Center Committee on Aerospace Medicine and Occupational Health representatives Medicine of Extreme Environments of the continues to be workforce stress. Agency Institute of Medicine, sponsored by budget reductions, workforce reductions, OCHMO, holds regular meetings on medical workforce reorganizations, and associated issues critical to maintaining the health of increases to employee workloads have been NASA astronauts on missions in analog, air, identified as primary contributors to the and space environments. The NASA workforce’s mental and physical well-being. Medical Policy Board (MPB) and Aerospace The Chief Health and Medical Officer Medicine Board (AMB) are responsible for (CHMO), the Office of Human Capital, guidance on aerospace medicine policy

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NASA Employee Assistance Program Officer. He is certified by the American Clinicians, the Office of Security and Board of Preventive Medicine (Aerospace Protective Services, and the Office of and Occupational Medicine). He has over 20 General Counsel coordinate, as needed, to years experience in a wide variety of clinical assess and discuss potential stress and leadership positions in aerospace and remediation methods for implementation by occupational medicine. NASA centers. The levels of workforce stress are monitored closely to identify Catherine M. Angotti, RD, serves as the noteworthy trends requiring immediate Director of Occupational Health and as the attention and periodic anecdotal and Administrative Deputy to the Chief Health utilization feedback is collected from NASA and Medical Officer. She has over 30 years centers for analysis by the CHMO and experience in the management of NASA’s NASA subject matter experts. occupational healthcare system and has served in numerous dietetic positions at the Key Personnel local, state, and national levels, including election as President of the local and state Richard S. Williams, MD, FACS, serves as dietetic associations. NASA’s Chief Health and Medical Officer and is responsible for the oversight of all David R. Liskowsky, Ph.D., serves as the medical aspects of all national and Director of the Medical Policy and Ethics international NASA missions involving Division. He served on the faculty at the humans. He is certified by both the University of Miami from 1984-1988. In American Board of Surgery and the 1988, he joined the Office of Technology American Board of Preventive Medicine, Assessment of the U.S. Congress as a Senior and has extensive medical management Policy Analyst. In 1992, he joined NASA’s experience in both military and civilian Life Sciences Division and was involved settings. with the management of NASA’s medical and biological, ground and flight research Vincent J. Michaud, MD, serves as the programs. In 2003, he joined the Office of deputy to the Chief Health and Medical the Chief Medical Officer.

• 90 • The NASA Presidential Transition Binder

4.3.7 OFFICE OF SAFETY AND MISSION ASSURANCE

MISSION STATEMENT engineering and assurance activities and serves as a principal advisory resource for the The Office of Safety and Mission Assurance Administrator and other senior officials on provides policy direction, functional matters pertaining to safety and mission oversight, and assessment for all Agency success. safety, reliability, maintainability, and quality ORGANIZATIONAL STRUCTURE

Figure 4.3.7-1: OSMA Organizational Structure

WORKFORCE

OSMA’s workforce consists of 35 Full Time Equivalent (FTE) Civil Service employees. This includes the NASA Safety Center (NSC) and the NASA Independent Verification and Validation (IV&V) Facility Director positions.

BUDGET EST. ($M)

President’s FY13 FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Budget Request S&MA $49.4 $47.8 $47.8 $47.8 $47.8 $47.8 IV&V $39.1 $31.7 $31.7 $31.7 $31.7 $31.7 Table 4.3.7-1: Office of Safety and Mission Assurance’s and the Independent Verification and Validation Program Budgets

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FUNCTIONS comprehensive safety program. The major responsibilities of the Division include (1) OSMA provides the framework and guidance providing Agency leadership in the to assist NASA programs, projects, and development and implementation of NASA’s centers in meeting their responsibilities to safety, reliability, maintainability, quality, and protect the public, the NASA workforce, and risk management/assessment policies, high value equipment and property. procedures, standards, training, tools, and techniques; (2) working with NASA centers MISSION SUPPORT DIVISION and industry to resolve technical and assurance problems that pose a threat to safety The Mission Support Division provides and/or mission success; (3) overseeing and oversight, assists with the flow of policy and supporting operational, institutional, aviation, procedural guidance, and provides technical and range safety and safety for nuclear Safety and Mission Assurance (SMA) support materials for space payloads and space craft; to NASA Mission Directorates and to the and (4) ensuring the proper reporting, Center SMA organizations. The major investigating, recordkeeping, and contingency responsibilities of the Division include (1) planning for mishaps and close calls. monitoring the compliance of Mission Directorate SMA processes with NASA NASA SAFETY CENTER (NSC) policies and guidance, assuring that Mission Directorates and centers achieve their safety The NSC (Cleveland, OH) serves as an and mission success objectives; (2) executing Agency-wide resource for strengthening SMA the process for the approval of annual capabilities and enabling more uniform and agreements between the Center SMA effective SMA support for the safe and organization and the Center Director (called successful execution of all NASA programs SMA Annual Operating Agreements) – these and institutions. The major responsibilities of agreements drive center safety, reliability, and the NSC include: (1) promoting technical quality assurance implementation planning excellence through a balanced program for and help to identify gaps and resolve shortfalls leadership development, education, training, in SMA processes; and (3) continuously communication, and information management overseeing, from the Headquarters-level, the in the SMA disciplines; (2) managing the development and operation of major NASA audit, review, and assessment process for missions and programs including the evaluating and assuring conformance with International Space Station, the Exploration Agency SMA requirements; (3) providing a System Development Programs, the wide range of support for mishap Commercial Cargo and Crew Programs, and investigations and mishap data analysis and aeronautics and science missions and trending; and (4) capturing and disseminating programs. information of importance and usefulness to the SMA community. SAFETY AND ASSURANCE REQUIREMENTS DIVISION

The Safety and Assurance Requirements Division defines and manages the Agency’s

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NASA INDEPENDENT VERIFICATION AND procedures that ensure clarity and VALIDATION (IV&V) FACILITY accountability in responsibilities for safety and mission assurance requirements and for The NASA IV&V Facility (Fairmont, WV) approving waivers to requirements that belong serves as the Agency’s sole agent for to the SMA technical authorities. The providing Agency-level prescribed technical authority activities are still relatively independent system software validation and new at NASA, and the challenge remains to verification services to NASA projects. The assure that technical authority is understood major responsibilities of the NASA IV&V and that its application is established and Facility include: (1) applying software proficient for all the mission activities being engineering best practices to evaluate the pursued by the four Mission Directorates. correctness and quality of critical and complex NASA software systems; (2) providing the Oversight of the Space Shuttle Program Agency with a method for the early Close-out and Transition Process to identification of software risk elements on Exploration Systems – OSMA is carefully critical and complex system software; and (3) monitoring the remaining two years of Shuttle performing leading-edge research that operations to assure that the focus of the work improves IV&V and software assurance force and the integrity of the critical decision methods, practices, and tools. processes are maintained at a level that will assure safe fly-out of the program. OSMA is IMPORTANT ACTIVITIES also monitoring transition activities to identify transactions that might create hazards for our In addition to the work that OSMA performs current and future programs or the public. on a daily basis as described in our function summary statements above, OSMA is Establishing a Fully Functional and Staffed presently working the following important NASA Safety Center (NSC) – In October activities: 2006, NASA re-designated the NASA Assurance Technology Center as the NSC. Definition/Negotiation of Agency SMA The change was made after an extensive Requirements Applicable to the New review of NASA’s SMA capabilities and Human Exploration and Operations personal competencies in place and able to Programs and Associated Projects – Early support the Vision for Space Exploration. The identification and integration of SMA OSMA declared the NSC as a strategic requirements are essential elements of a element of the Agency’s safety and mission program that is safe and successful. Working success strategy with a responsibility to focus with the Programs, OSMA completed a on supporting the development of personnel, mapping of Agency SMA requirements to processes, and tools needed for the safe and Program-level requirements, identifying those successful achievement of NASA’s strategic SMA requirements that needed to be goals. OSMA is continuing to stand up the incorporated throughout the Programs. NSC with a fully supported staffing plan designed to fully achieve its function. Institutionalization of Safety and Mission Assurance Technical Authority Roles, MAJOR ISSUES Responsibilities, and Requirements – OSMA continues to refine, communicate, and Assuring the Right Selection and Focus of implement technical authority policy and IV&V Funding – A recent decision by the

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Agency has resulted in the reinforcement of Wilcutt is responsible for the development, philosophy that software independent implementation, and oversight of all safety verification and validation will be “level and mission assurance policies and procedures funded” and thus not necessarily applied to all for all NASA programs. mission critical software. This has necessitated a different approach where the Wilcutt joined NASA in 1990 as an astronaut software is assessed for its criticality and candidate and was accepted into the corps in IV&V applied very selectively to the mission 1991. He logged more than 1,007 hours in software requiring the most attention. This is a space as the pilot on two shuttle missions, new approach, and there will be some STS-68 in 1994 and STS-79 in 1996, and transition concerns. Some software that might commander of two others, STS-89 in 1998 require IV&V may not receive Agency-funded and STS-106 in 2000. His technical coverage due to the shortage of resources. assignments as an astronaut included work on space shuttle main engine and external tank Establishing and Maintaining a Level of issues; supporting shuttle launches and Excellence in the SMA Disciplines for the landings as a member of the astronaut support Long Term Support of the Agency – OSMA personnel team at NASA’s Kennedy Space is continuing to best determine how to Center in Florida; and technical issues for the implement the initiative to engage senior level Astronaut Office Operations Development Agency SMA Technical Discipline Fellows in Branch at Johnson. the four SMA disciplines of system safety, reliability and maintainability, quality Wilcutt also served as NASA Director of engineering, and software assurance. The Operations at the Yuri Gagarin Cosmonaut positions, by virtue of the seniority of the Training Center in Star City, Russia; and at individuals, parity with other NASA Johnson as chief of the Astronaut Office engineering peers, and the selection of the Shuttle Operations Branch, manager of safety “best of the best,” would be part of the Safety and mission assurance for the Space Shuttle Center strategy for reviewing, approving, and Program, and deputy director of safety and elevating the SMA discipline curricula and mission assurance. testing/boarding criteria, positively influencing the NASA culture relative to the A native of Louisville, KY, Wilcutt earned a quality of SMA engineering and technical Bachelor of Arts degree in Math from Western excellence. Kentucky University in 1974. He taught high school math for two years before entering the KEY PERSONNEL Marine Corps in 1976 and earned his naval aviator wings in 1978. Terrence W. Wilcutt, Chief of Safety and Mission Assurance. Wilcutt is a retired From 1980 until 1983, he was stationed in Marine colonel and veteran astronaut who had Kaneohe, Hawaii, and flew F-4 Phantoms served as director of safety and mission during two overseas deployments to Japan, assurance at NASA’s Johnson Space Center Korea, and the Philippines. For the next three (JSC) in Houston since 2008. In that position years, he served as an F/A-18 fighter weapons Wilcutt was tasked with the Safety Technical and air combat maneuvering instructor while Authority of the programs and projects at JSC assigned to Squadron VFA-125 at Lemoore as well as JSC’s Institutional Safety program. Naval Air Station in California. From 1986 As chief of Safety and Mission Assurance, until his selection by NASA, Wilcutt attended

• 94 • The NASA Presidential Transition Binder the United States Naval Test Pilot School and the Deputy Assistant Associate Administrator served as a test pilot and project officer for the for the Space Shuttle Program in the Space Strike Aircraft Test Directorate of the Naval Operations Mission Directorate. Earlier in his Aircraft Test Center in Patuxent River, MD, career, he was the NASA Quality Program flying the F/A-18 Hornet, the A-7 Corsair II, Manager within the Office of Safety and the F-4 Phantom and other aircraft. He has Mission Assurance. more than 6,600 flight hours in more than 30 different aircraft. Whitmeyer has more than 25 years of experience in aerospace engineering and Wilcutt has received numerous special honors, implementation of safety, mission assurance, including NASA’s Outstanding Leadership and systems engineering disciplines in a broad Medal, Distinguished Service Medal, range of Department of Defense and NASA Exceptional Service Medal, and four robotics and human space flight systems. He spaceflight medals; the Distinguished Flying has a Bachelor of Science degree in Cross; the Defense Superior Service and mechanical engineering from Boston Meritorious Service medals; and the Navy University, and a Master of Science degree in Commendation Medal. He also has received mechanical engineering from George the American Astronautical Society Flight Washington University. Achievement Award; the V.M. Komarov Diploma, Federation Aeronautique Alan H. Phillips, Director, NASA Safety Internationale space award for outstanding Center. Phillips is responsible for the overall achievements in space exploration; and management of the NASA Safety Center, distinguished alumnus recognition and an which was established in 2006 to serve as an honorary doctorate degree from Western Agency-wide resource for strengthening Kentucky University. safety and mission assurance capabilities. He began his career as a test engineer in the Wilcutt maintains offices in Houston and commercial nuclear power industry. He joined Washington. NASA in 1987 as a facility systems safety engineer. Phillips managed LaRC’s Thomas D. Whitmeyer, Deputy Chief, certification (and recertification) as the first Safety and Mission Assurance. Whitmeyer is federal work-site in the nation to be responsible for executive leadership, policy recognized in OSHA’s Voluntary Protection direction, functional management, and Program as a STAR participant, OSHA’s coordination for Agency-wide program and highest level of recognition for exemplary institutional Safety and Mission Assurance safety and health programs. activities. Gregory D. Blaney, Director, NASA Prior to being appointed to his current Independent Verification and Validation position, Whitmeyer was the Director, (IV&V) Program. Blaney is responsible for Mission Support Division, Office of Safety the overall management of the NASA IV&V and Mission Assurance, where he orchestrated Program, which was established in 1993 as policy direction, oversight, and coordination part of an Agency-wide strategy to provide the for safety and mission assurance activities for highest achievable levels of safety and cost- human-rated spacecraft, payloads, expendable effectiveness for mission critical software. launch vehicles, commercial crew programs, Blaney started his civil service career as an and aeronautics programs. Before this, he was Air Traffic Controller for the Federal Aviation

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Administration prior to joining NASA at the responsible for classified operations prior to Goddard Space Flight Center in the Tracking transferring to the NASA IV&V Program and Data Relay Satellite (TDRS) Network. where he served in many capacities prior to Blaney served as the TDRS Network Director becoming the Director of the IV&V Program.

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4.3.8 OFFICE OF DIVERSITY AND EQUAL OPPORTUNITY (ODEO)

MISSION STATEMENT and defines strategies, program objectives, and top-level requirements; ensures statutory, The Office of Diversity and Equal regulatory, and fiduciary compliance with Opportunity (ODEO) is responsible for internal and external equal opportunity laws; developing and aligning NASA equal provides technical assistance, training, and opportunity (EO), civil rights compliance, and advocacy to promote an open and inclusive diversity strategies, programs, policies, and workplace; ensures consistency of approach processes consistent with the Agency’s to improve functional performance across the mission, strategic goals, and performance Agency; and monitors diversity and equal outcomes. ODEO establishes Agency-wide opportunity program performance. policies on diversity and equal opportunity

ORGANIZATIONAL STRUCTURE

Figure 4.3.8-1: Organizational Structure

WORKFORCE

ODEO’s workforce consists of 18 Full Time Permanent Civil Servants.

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BUDGET EST. ($M)

President’s FY13 FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Budget Request Office of Diversity and $1.1 $1.8 $1.8 $1.8 $1.8 $1.8 Equal Opportunity Table 4.3.8-1: Office of Diversity and Equal Opportunity’s Budget Runout

FUNCTIONS conducted at the NASA centers and the Agency Alternative Dispute Resolution ODEO is comprised of the Office of the (ADR) program for EEO. Associate Administrator (AA) and two Divisions: the Program Planning and IMPORTANT ACTIVITIES Evaluation (PPE) Division, and the Complaints Management (CM) Division. MODEL EEO AGENCY PLAN

Office of the Associate Administrator. The Consistent with EEOC Management Directive Office of the AA provides executive (MD) 715, ODEO prepares multi-year plans leadership and oversight for the effective for achieving a model EEO agency, with management of all ODEO programs, annual updates and progress reports. The resources, Agency-wide initiatives, and intention of the Model EEO Agency Plan is to external requirements for ODEO. The Office ensure nondiscrimination in personnel actions of the AA accomplishes its goals and such as hires, promotions, awards, and contributes to Agency strategic goals by performance ratings. ODEO conducts an ensuring that the NASA workforce and annual self-assessment to identify deficiencies grantee programs are meeting EO in NASA’s EEO infrastructure. Workforce requirements, and engaging in diversity and and qualitative data gathered through inclusion (D&I) efforts to enhance surveys and focus groups are used to identify organizational effectiveness. barriers and potential barriers to EEO in the NASA workforce. ODEO, in collaboration Program Planning and Evaluation (PPE) with other Agency offices, develops action Division. PPE manages and directs a wide plans to eliminate each of the identified range of EEO, as well as grant-related and deficiencies and barriers. NASA-conducted program EO requirements, through policy and program development, EEO COMPLAINTS/ADR analysis and evaluation, outreach, and monitoring. To ensure that the Agency more effectively meets all equal opportunity (EO) Complaints Management (CM) Division. requirements, ODEO is implementing CM manages and implements Agency-wide enhancements to increase the operational policies and systems for processing, efficiency of the EEO complaints process. For adjudicating, and resolving individual and example, ODEO has established Agency-wide class discrimination complaints, including procedural requirements and standards for oversight of the informal complaints process Alternative Dispute Resolution (ADR)

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implementation, designed to better ensure PROGRAM efficient and consistent ADR programs. In addition, ODEO has successfully sought to Consistent with ODEO’s focus on result- increase ADR utilization rates through well- driven, customer-focused proactive initiatives, disseminated communications materials and ODEO continues to implement the Agency- both online and classroom education and wide Conflict Management Program (CMP). awareness opportunities. CMP has been recognized by OPM as the most innovative and proactive program In FY 2012, ODEO established an Agency government-wide in improving complaints policy for processing discrimination and civil rights programs. It is a complaints based on sexual orientation. This comprehensive program to more effectively process is parallel to the EEO complaints deal with workplace conflict, reduce the process, to the extent permitted by law. number of EEO complaints and alleviate the stress on NASA organizations. CMP provides AGENCY DIVERSITY AND INCLUSION practical tools to more successfully address STRATEGIC IMPLEMENTATION PLAN conflict as early as possible, helping organizations to maintain focus on the ODEO is also engaged in a proactive mission. activity to enhance organizational effectiveness through a new Agency-wide CONSISTENT AND EFFECTIVE AGENCY Diversity and Inclusion Strategic ANTI-HARASSMENT PROCEDURES Implementation Plan (DISIP), a strategic approach to promoting a more open and inclusive workplace. This plan is NASA’s NASA issued Agency Anti-Harassment blueprint for fully leveraging our diversity. Procedures (NPR 3713.3) in 2009 based on As such, it provides innovative Agency the Agency’s longstanding Anti-Harassment guidelines and strategies consciously Policy Statement. These procedures brought designed to enhance the inclusiveness of our NASA into line with EEOC enforcement and work environments and further broaden the other guidance urging employers to establish a reach of our education, recruitment, and clear set of procedures to address harassment small business efforts. allegations. As recommended by EEOC, these procedures are separate and apart from Plan implementation is currently focused on the Agency’s EEO complaints process. The Agency-wide D&I communications and Agency anti-harassment procedures are center technical assistance. The Agency is designed to ensure that prompt, impartial, and also moving forward with other strategic effective action is taken in response to D&I efforts, such as developing guidance on allegations of harassment. This includes utilizing employee resource groups (ERGs) establishing a reporting mechanism both in to enhance D&I efforts at the local level, and out of the supervisory chain and allowing conducting center briefings for the Agency’s for disciplinary action up to and including lesbian, gay, bisexual, and transgender removal. In addition, NASA anti-harassment communities (LGBT) on new NASA policy and procedures now cover not only procedures for addressing sexual orientation those classifications protected under EEO law, discrimination complaints, and but other classifications protected under implementing the Pathways Program to Executive policy, namely, sexual orientation, broaden the diversity of the NASA pipeline status as a parent, and gender identity. Overall, the procedures allow the Agency to and new hires.

• 99 • The NASA Presidential Transition Binder more effectively address allegations of communication between and among our grant harassment when they arise and to better recipient institutions and stakeholders. To this ensure against legal liability. end, the Web site will showcase best practices and help to address common challenges. It EO FUNCTIONAL REVIEW PROGRAM will provide a variety of educational information and interactive opportunities such Another means of more effectively meeting as webinars with institutional partners, EO requirements is ODEO’s Functional videotaped panel presentations, and Q&A Review Program (FRP), a multi-year, Agency- sessions between grant recipients and federal wide program involving comprehensive center civil rights officials. by center reviews of center EO operations. The reviews are resulting in identification of NASA’s external civil rights program “opportunity areas” for improvement and continues to be recognized as a leader in the “best practices” sharing for centers to field by the Department of Justice Civil Rights facilitate more productive, diverse workplaces Division and external stakeholder and better-managed EO resources. organizations, such as the Society of Women Engineers and the Association of Women in EXTERNAL CIVIL RIGHTS COMPLIANCE Science. ACTIVITIES MAJOR ISSUES An additional effort to more effectively meet EO requirements concerns educational and STRATEGIC INTEGRATION OF EO AND D&I other institutions, which promote mission- related research. NASA grants $750 million From a strategic standpoint, the biggest to $1.2 billion annually to approximately 650 concern is fully integrating EO and D&I into such institutions. ODEO has developed a fully the key decision-making processes and realized civil rights compliance infrastructure operations of the Agency. While we have to ensure institutions receiving NASA funds made progress, with the Administrator making are not discriminating against their the Associate Administrator for DEO a direct beneficiaries, and to otherwise advance EO in report in 2010, and the Agency’s current these programs. This includes conducting Strategic Plan incorporating specific, onsite and desk-audit compliance reviews measurable EO and D&I performance goals, under the relevant statutes and regulations, there is still much work to be done in fully and providing technical assistance to grantees institutionalizing D&I and EO at NASA. through detailed compliance reports and negotiations to promote voluntary compliance. KEY PERSONNEL

In addition, NASA provides technical Brenda R. Manuel, Associate assistance and education and awareness Administrator. Brenda Manuel assumed the opportunities through publications and role of Associate Administrator for Diversity brochures. We are currently taking our and Equal Opportunity in October 2006. technical assistance efforts to the next level Manuel is an attorney, manager, and trainer with a new Web site, MissionSTEM, designed with over 35 years experience in the field, to serve as a vehicle for fostering active including 33 at NASA.

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4.3.9 OFFICE OF EDUCATION

MISSION STATEMENT Technology, Engineering, and Mathematics (STEM) education using NASA’s unique The Associate Administrator for Education capabilities. provides Agency leadership and programmatic oversight for NASA’s external education WORKFORCE programs. The Associate Administrator for Education has the responsibility to leverage The Headquarters Office of Education has a NASA’s unique mission content, facilities, workforce allocation of 18 Full Time and workforce. Education is a cross-cutting Equivalent (FTE) Civil Servants. Offices of process that engages the public in shaping and Education are established at all NASA centers sharing the experience of exploration and with functional accountability to the Associate discovery. The vision of NASA’s education Administrator for Education. community is to advance high quality Science,

BUDGET EST. ($M)

President’s FY13 FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Budget Request Office of Education $136.1 $100 $100 $100 $100 $100 Table 4.3.9-1: The Office of Education’s Budget Runout

FUNCTIONS Educator Professional Development; STEM Engagement; and Institutional Engagement. Key educational functions by Division The division provides coordination and include the following: integration of NASA’s education programs and activities with other organizations and The Planning, Policy, and Evaluation includes NASA centers, mission Division provides the overall management directorates, and external partners. and infrastructure for planning, policy development, budget and evaluation efforts IMPORTANT ACTIVITIES to support NASA’s education projects and programs. It develops and implements plans PORTFOLIO MANAGEMENT to improve efficiencies and accountability across the Agency’s education programs and The NASA Education portfolio provides guidance to NASA education encompasses two programs, four national centers. This division oversees the projects, and numerous activities within the formulation and execution of the education Mission Directorates and centers. Education budget and the integration of performance has developed a structured approach, measurement and accountability tools. focused on objectives, to balance and manage the Education portfolio. The The Integration Division provides Education Coordinating Council (ECC), oversight and guidance for the Agency’s chaired by the Associate Administrator for lines of business and investments in NASA Education, provides recommendations on Internships, Fellowships, and Scholarships; the process for balancing NASA’s education

• 101 • The NASA Presidential Transition Binder investments, i.e., reducing activities, through programs conducted at NASA merging projects with cross-cutting visitor centers, museums, science centers, purposes, identifying content gaps within the and afterschool organizations such as scouts. portfolio, and new models for projects. The ECC includes Center Education Directors, MAJOR ISSUES education leads from the Mission Directorates, and representatives from the Major issues facing NASA Education Mission Support Offices. include the following:

EVALUATION NATIONAL INTEREST IN STEM ISSUES

NASA Education has made evaluation, NASA is a major partner in federal STEM performance metrics and reporting data on initiatives and makes significant use of the programs a priority. All education Agency’s unique facilities, resources, and investments support the education annual people to support education programming performance goals, and collect data through throughout the Nation. External reviews the Office of Education Performance have validated NASA’s role and importance Monitoring (OEPM) system. Ongoing in improving national STEM efforts. evaluations of NASA investments and Requests for NASA Education to participate conducted by internal and external in programs at the federal, state, university, evaluators. Through formative and and school levels, and with community summative evaluations, the ECC is able to partners exceed the Office staffing and better manage, improve and make decisions budgetary resources. Decisions are therefore about its projects and programs. based on maximizing resources and partners.

PROGRAMMATIC DIRECTION DECENTRALIZED STRUCTURE OF EDUCATION AT NASA Education efforts throughout NASA are focused on four lines of business: a) Education is comprised of funding from all attracting and preparing students in STEM mission directorates, centers, and the Office disciplines, through internships, of Education. While this decentralized scholarships, and fellowships; b) approach allows direct access to center and strengthening the academic preparation of mission directorate expertise, it creates educators to teach STEM subjects relevant challenges for coordination and to NASA’s mission; c) engaging educators accountability. Risk is managed by the and youth in authentic, hands-on Associate Administrator for Education, who experiences with NASA people, resources chairs the Education Coordination Council, and facilities; and d) enhancing the capacity an Agency-wide collaborative structure that of institutions to participate in NASA’s maximizes NASA’s ability to manage and mission or to engage the Nation in implement its education portfolio. educational experiences. Multiple solicitations are scheduled for FY13, and The ECC works to ensure that the agency’s several activities specifically strengthen the education investments are focused on research capabilities of jurisdictions and supporting the nation’s education efforts to Minority Serving Institutions. These efforts develop the skilled workforce necessary to also engage students outside of school, achieve the agency’s goals and objectives.

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PORTFOLIO MANAGEMENT NASA, the Canadian Space Agency, the European Space Agency, the Japan Accountability and analysis of a Aerospace Exploration Agency, and the decentralized portfolio is a significant Centre National d’Études Spatiales. Melvin challenge to documenting progress toward began his NASA career in 1989 as an achieving Agency education goals. Risk is aerospace research engineer at the agency’s managed through utilization of a single Langley Research Center in Hampton, Va. agency-wide performance management He entered NASA’s astronaut corps in 1998 database, and consistent portfolio/project and served as a operating measurement procedures deployed across all the robotic arm on two space shuttle centers, mission directorates, and Office of missions to the International Space Station: Education. STS-122 in 2008 and STS-129 in 2009. Melvin earned a Bachelor of Science degree KEY PERSONNEL in Chemistry from the University of Richmond, and a Master of Science degree Leland D. Melvin is NASA’s Associate in Materials Science Engineering from the Administrator for the Office of Education University of Virginia in Charlottesville. He and leads the development and holds honorary doctorates from Centre implementation of the Agency’s education College, St Paul’s College, and programs. As associate administrator for Campbellsville University. education, Melvin chairs the Education Coordinating Committee, or ECC, an Dr. Roosevelt Y. Johnson is the Deputy Agency-wide collaborative structure that Associate Administrator for Education. He maximizes NASA’s ability to manage and is responsible for infrastructure planning, implement its education portfolio. The ECC budget, legislative affairs coordination, works to ensure that the Agency’s education policy development, program and projects investments are focused on supporting the evaluation, and data collection systems. In nation’s education efforts to develop the addition to serving on the Education skilled workforce necessary to achieve Coordinating Committee (ECC), an Agency- NASA’s goals and objectives. wide collaborative structure that maximizes Melvin currently serves on the White House NASA’s ability to manage and implement National Science and Technology Council’s its education portfolio, Johnson serves as Committee on Science, Technology, one of NASA’s representatives on the Cross Engineering, and Mathematics Education, or Agency Priority (CAP) Goal team working CoSTEM. CoSTEM coordinates the STEM in conjunction with the White House education activities and programs for all National Science and Technology Council’s federal agencies, encourages the teaching of Committee on Science, Technology, innovation and entrepreneurship as part of Engineering, and Mathematics Education STEM education, reviews STEM education (CoSTEM). For more than 20 years he activities and programs to ensure they are served as a Program Director for the not duplicative within the federal National Science Foundation (NSF). government, and develops and implements a Johnson earned a Bachelor of Science five-year STEM education strategy for all degree in Zoology from Howard University federal agencies. He is the United States and earned his doctoral degree in representative on the International Space Microbiology from Indiana University. Education Board (ISEB), a global collaboration in space education between

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James L. Stofan is the Deputy Associate Federation. He was on the faculty of the Administrator for Integration. He provides Johns Hopkins University School of Public coordination and integration of NASA’s Health as Director of the Distance Education education programs. He previously served as Division, and as Director of Education for acting associate administrator for education; SeaWorld Orlando. He holds a Master of deputy associate administrator for planning, Arts in Instructional Systems Design and policy and evaluation; and director of Instructional Technology from the informal education. Prior to joining NASA, University of Central Florida, College of he was Senior Vice President for Education Education. Programs at the National Wildlife

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4.3.10 OFFICE OF INTERNATIONAL AND INTERAGENCY RELATIONS (OIIR)

MISSION STATEMENT the Department of Defense, and other agencies. OIIR also directs NASA’s The Office of International and Interagency international relations; negotiates Relations (OIIR) provides executive cooperative and reimbursable agreements leadership and coordination for all NASA with foreign space partners; provides international activities and partnerships and management oversight and staff support of for policy interactions between NASA and NASA’s advisory committees, commissions other U.S. Executive Branch offices and and panels; and manages the NASA Export agencies. OIIR serves as the principal Control Program and policy regarding Agency liaison with the National Security foreign travel by NASA employees. Council, the Office of Science and Technology Policy, the Department of State,

Figure 4.3.10-1: The Organizational Structure

NASA Mission Directorates and for specific ORGANIZATIONAL STRUCTURE country or regional issues of interest to the Agency. In addition to its personnel at OIIR is organized into six divisions: Human NASA Headquarters, OIIR has overseas Exploration and Operations; Aeronautics representatives located at the U.S. and Cross-Agency Support; Science; Export Embassies in Moscow, Paris, and Tokyo, Control and Interagency Liaison; Advisory who provide support on a regional basis for Committee Management; and Resources NASA’s overseas activities. OIIR also Management. maintains a liaison position with the Department of Defense (Air Force Space A matrix approach within the office allows Command) in Colorado Springs, CO. for provision of support to each of the three

WORKFORCE

The OIIR has a workforce allocation of 51 Full Time Equivalent (FTE) Civil Servants.

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BUDGET EST. ($M)

President’s FY13 FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Budget Request Office of International and $3.8 $4.0 $4.0 $4.0 $4.0 $4.0 Interagency Relations Table 4.3.10-1: Office of International and Interagency Relations Budget Runout

FUNCTIONS requires significant international coordination of policy and program matters. HUMAN EXPLORATION AND OPERATIONS This is the lead division within OIIR for DIVISION NASA’s relations with Russia and countries of the former Soviet Union. This division supports the international activities of NASA’s Human Exploration AERONAUTICS AND CROSS-AGENCY and Operations Mission Directorate SUPPORT DIVISION (HEOMD), providing policy guidance and program support for human exploration This division supports the international capabilities, systems development and activities of NASA’s Aeronautics Research operations of the International Space Station Mission Directorate, the Office of the Chief (ISS) program, space communications and Technologist, the Office of the Chief navigation, launch services, human Scientist, and the Office of Education, spaceflight, space life and physical sciences fostering NASA’s international engagement research, commercial spaceflight, and crew in aeronautics research as well as a wide issues. It also supports the Office of Safety range of activities in support of the and Mission Assurance (SMA) and the Agency’s mission, including the Chief Health and Medical Officer on development of new space technologies and international safety and health and medical educational activities. The division oversees matters. This support includes providing a diverse assortment of cooperative policy guidance and recommendations on activities, from research aimed at improving international issues and relationships with the safety and efficiency of global aviation, current and prospective foreign partners, to complementing U.S. space technology drafting and negotiating international investments with research activities in other agreements for new space cooperation, and countries to help meet NASA goals. This is supporting ongoing interaction with the lead division within OIIR for NASA’s international partners for existing relations with Canada and Europe, and for cooperative missions. The ISS program, for coordinating all Agency interactions with example, is a partnership of 15 nations international bodies such as the International implemented under the leadership of NASA, Astronautical Federation and the the European Space Agency (ESA), the International Academy of Astronautics. Japan Ministry of Education, Culture, Sports, Science and Technology SCIENCE DIVISION (MEXT)/Japan Aerospace Exploration Agency (JAXA), the Canadian Space This division supports the international Agency (CSA), and the Russian Federal activities of NASA’s Science Mission Space Agency (), and Directorate, and develops and implements

• 106 • The NASA Presidential Transition Binder policies for carrying out those activities. The complex Memoranda of Understanding Science Division works primarily in for major space programs, to simple cooperation related to Earth science, solar letter agreements for more focused system exploration, heliophysics (the study activities. OIIR prepares significant of the sun and its interactions with the other agreements for the NASA planets in the solar system, including its Administrator’s signature, and is effect on human activities), and authorized to sign all other agreements astrophysics. In addition, it is the lead with foreign entities. division for various regions, including Asia, the Middle East, Africa, and Latin America.  International Support: OIIR provides The division’s work includes developing policy advice and staff support for and negotiating international agreements meetings by NASA senior management with many different countries and with foreign officials, assists the intergovernmental organizations, and entails Mission Directorates in developing new working with NASA’s traditional partners in international cooperative activities, Europe, Asia, and Canada, as well as with serves as executive secretary for a non-traditional partners. variety of NASA multilateral groups, and monitors foreign developments and seeks opportunities for new partnership EXPORT CONTROL AND INTERAGENCY to meet Mission Directorate LIAISON DIVISION requirements. This division provides Agency-wide support  Foreign Visits: OIIR provides overall for the administration of the NASA Export policy guidance for visits to NASA Control Program, the NASA J-1 Exchange centers by foreign nationals or foreign Researcher Program, and the oversight of representatives and manages the review certain NASA foreign travel. In addition, and approval of requests for visits of this division coordinates Agency-level foreign nationals from Designated policy interactions with U.S. Executive Areas. Branch departments and agencies, and is the principal Agency liaison with the National ADVISORY COMMITTEE MANAGEMENT Security Council, the Office of Science and DIVISION Technology Policy, the Department of State, the Department of Defense, the Department This division is responsible for providing of Energy, the Department of Commerce, management oversight of NASA’s five and other agencies. external federal advisory committees, and ensuring that they operate in full compliance Note: International Relations is under the with the Federal Advisory Committee Act, purview of the four OIIR Divisions the Government in the Sunshine Act, and mentioned above. related federal statutes, regulations, and policies. These five federal advisory  Agreements: OIIR maintains over 50 committees are: NASA Advisory Council; active international agreements from Aerospace Safety Advisory Panel; National organizations in over 120 countries and Space-Based Positioning, Navigation, and is drafting and negotiating about 100 Timing Advisory Board; International Space international agreements at any given Station Advisory Committee; and time. These agreements range from International Space Station National

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Laboratory Advisory Committee. The in the NASA Transition Strategic Issues division provides direct staff and Book. administrative support for the two longstanding senior advisory committees to KEY PERSONNEL the NASA Administrator: the NASA Advisory Council and the Aerospace Safety Michael F. O’Brien, Associate Advisory Panel. It also serves as the Administrator. As Associate Administrator designated Agency liaison with the for International and Interagency Relations, Committee Management Secretariat of the O’Brien is responsible for NASA’s U.S. General Services Administration interaction with Executive Branch offices (GSA). In addition, the division ensures that and agencies; international relations for each NASA advisory committee members and NASA Mission Directorate; administration staff receive FACA training and that of export control and international mandatory annual reports on NASA’s technology transfer programs; and NASA advisory committee operations are submitted advisory councils and commissions. O’Brien to GSA. previously served as Deputy Assistant Administrator for External Relations (Space RESOURCES MANAGEMENT DIVISION Flight). He was responsible for the international aspects of NASA’s human This division is responsible for OIIR’s spaceflight activities. He led the team that internal operations, including budget, negotiated the agreements for the personnel, space planning, and International Space Station with the space administrative support for NASA’s overseas agencies of Europe, Japan, Canada, and representatives and Department of Defense Russia. O’Brien also was responsible for liaisons. This division also manages the agreements related to space shuttle flights Agency-wide translation service and visa for international astronauts and NASA processing contract, and is the Department relations with over twenty other of State liaison for issues pertaining to international space agencies. overseas staffing, security, facilities, the International Cooperative Administrative O’Brien came to NASA from the United Support Services interagency groups, and to States Navy. He served as a naval aviator in the Capital Security Cost Sharing group. command positions and in Washington on the staffs of the Chief of Naval Operations IMPORTANT ACTIVITIES and the Chairman of the Joint Chiefs of Staff. As an advisor to the Chairman Important OIIR activities are very issue- concerning political-military policy in the oriented. They are contained in the NASA Middle East, Africa, and Southwest Asia, he Transition Strategic Issues Book, under the traveled widely in the Persian Gulf area for following two topics: International bilateral discussions with the defense forces Cooperation and Export Control. of Saudi Arabia, Kuwait, Bahrain, and other nations in the region. He also served as the MAJOR ISSUES Deputy Director for Research at the Institute for National Strategic Studies in The two major issues for OIIR are: Washington. O’Brien was Commanding International Cooperation and Export Officer of U.S. Naval Station Roosevelt Control. These issues are described in detail Roads, Puerto Rico, where he designed and

• 108 • The NASA Presidential Transition Binder executed the $350 million repair and Programs Office where he was responsible reconstruction program after the station was for assisting in the development, nearly destroyed by Hurricane Hugo. As a coordination, and implementation of Navy combat pilot, he commanded a Navy NASA’s international policy objectives. In carrier-based attack squadron, and proved 1993, during the U.S. Space Station program that the average naval aviator has at least redesign, Condes served as one of NASA’s nine lives by surviving over 950 aircraft primary liaisons with the U.S. Department carrier landings in high-performance jet of State and the White House Office of aircraft. O’Brien has also served as a Science and Technology Policy and directly physicist for the Department of the Navy. supported NASA’s activities related to the initial involvement of the government of the O’Brien graduated with high distinction Russian Federation in the International from the University of Virginia. He holds a Space Station (ISS) program. In June 1994, Master of Science in Physics from Cornell Condes was assigned to the position of University and a Master of Science in International Agreements Manager, focusing Aeronautical Systems from the University of primarily on the development of appropriate West Florida. As an Olmsted Scholar, he legal instruments to facilitate Russian performed research in International involvement in the Shuttle-Mir and ISS Relations and Strategic Studies at the programs. During this period, Condes Graduate Institute of International Relations served as one of the lead negotiators and a in Geneva, Switzerland. O’Brien is also a principal author of NASA’s agreements with graduate of the French Ecole Militaire in Russia, Japan, Canada, and the European Paris, France. He speaks fluent French, Space Agency for their respective some Spanish, and terrible Russian. participation in the ISS program.

His awards include the Presidential Rank of In January 1999, Condes assumed the Meritorious Executive, the NASA responsibility of Director for Earth Science Exceptional Service Medal, the Defense in the Office of External Relations. In Superior Service Medal, two Legions of August 2002, Condes moved to Director for Merit and two Air Medals for aerial combat. Human Space Flight and Research and in He is a member of Phi Beta Kappa. March 2004, Condes was selected as the Deputy Assistant Administrator for External Al Condes, Deputy Associate Relations. Administrator. Condes began his career at NASA in January 1984, in the NASA Condes is a member of the U.S. Headquarters Office of Procurement, as a government’s Senior Executive Service and Grants Specialist through NASA’s has received numerous awards, including the Cooperative Education Student Program. In Presidential Rank of Meritorious Senior January 1985, he was assigned to the Executive, the NASA Exceptional position of Contracting Officer conducting Achievement Medal, the NASA Exceptional all major NASA foreign contract activity Service Medal, the NASA Outstanding and assisting NASA’s field centers with Leadership Medal. Condes has a Bachelor resolution of foreign procurement issues. of Arts in Government and Politics from George Mason University and a Masters In December 1987, Condes moved to degree in Science, Technology, and Public NASA’s International Planning and Policy from George Washington University.

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4.3.11 OFFICE OF THE GENERAL COUNSEL (OGC)

MISSION STATEMENT The General Counsel establishes Agency-wide General Counsel further ensures consistency legal policy, provides legal advice, assistance, of approach, eliminates duplication of and Agency-wide functional guidance, ensures functional support activities through the appropriateness of all legal actions and collaboration, centralization, and/or activities Agency-wide, and provides binding consolidation of functions between and within formal legal opinions on Agency matters. Headquarters, the centers, and separate NASA With respect to legal matters and issues, the entities.

ORGANIZATIONAL STRUCTURE

Figure 4.3.11-1: Organizational Structure

WORKFORCE

OGC’s workforce consists of 41 Full Time Permanent Civil Servants.

BUDGET EST. ($M)

President’s FY13 FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Budget Request Office of the General $38.3 $37.0 $37.0 $37.0 $37.0 $37.0 Counsel Table 4.3.11-1: Office of the General Counsel’s Budget Runout

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FUNCTIONS education and training of the NASA workforce as well as for supporting the The Office of the General Counsel is investigation and prosecution of fraud and organized into a front office (General Counsel corruption related to the acquisition process. and Deputy), four legal practice groups, each headed by an Associate General Counsel, and IMPORTANT ACTIVITIES one legal program. OGC has functional responsibility for the Commercial & Intellectual Property: This Acquisition Integrity Program, the NASA Practice Group has primary responsibility for Ethics Program, and the NASA patent intellectual property issues in domestic and program. In addition, OGC is the Agency’s international agreements, technical data representative before courts and issues, patent and copyright licensing, and the administrative bodies. It is also the principal distribution of computer software, as well as Agency liaison with the following non-procurement (Space Act) agreements with organizations: Department of Justice (except commercial and international entities. for those matters under the purview of the Inspector General or the Office of Security Contracts & Procurement: This Practice and Program Protection), the Office of Group has primary responsibility for Government Ethics, the Office of Special contracts, grants, and cooperative agreements. Counsel, and, for coordination of Executive They also coordinate the defense of Orders, the Executive Office of the President. acquisition protests filed at GAO, the The General Counsel personally serves as the ASBCA, or federal court. statutory Designated Agency Ethics Official.

General Law: This Practice Group has MAJOR ISSUES primary responsibility for a myriad of areas, including ethics, employment and labor law, INDEMNIFICATION FOR UNUSUALLY fiscal and appropriations law, environmental HAZARDOUS AND NUCLEAR RISK and real property, safety and security law, legislation and other areas not specifically NASA is seeking limited authority to assigned to one of the other divisions. indemnify companies for unusually hazardous risks associated with their participation in International Law: This Practice Group has NASA programs. Although there are existing primary responsibility over legal issues indemnification authorities, they are either regarding export control, Freedom of inapplicable to foreseeable missions or are Information Act appeals, and general matters inadequate. Companies have expressed of international law. concerns to NASA that involvement in these activities as developers or operators will Acquisition Integrity Program: The expose them to risks of liability and loss that Acquisition Integrity Program (AIP) has are uninsurable or, at best, insurable only at an primary responsibility for legal issues exorbitant cost to NASA. In the absence of regarding procurement fraud and other related suitable financial protection, these companies irregularities, remedies coordination, and will decline to support these programs, suspension and debarment. The Program is jeopardizing the accomplishment of the responsible for preventing, detecting, and program objectives. Indemnification would deterring procurement fraud through only be available where the risks of liability

• 111 • The NASA Presidential Transition Binder cannot be covered by reasonably obtainable under the Federal Acquisition Regulations and commercial insurance. technical requirements when using SAAs. This has raised concerns as to whether NASA STANDING REVIEW BOARDS is accepting unwarranted risk by foregoing its traditional oversight role and whether NASA NASA relies on independent life-cycle review is misusing its “other transactions” authority teams called Standing Review Boards (SRBs) to avoid legal requirements that would to ensure that programs, projects, and other otherwise be applicable to development efforts agency officials benefit from consistent, of this type. efficient, and value-added independent life- cycle reviews and products. An OIG review of KEY PERSONNEL the SRB process revealed a number of vulnerabilities in the implementation of the General Counsel Michael Wholley came to SRB process, including compliance with the NASA in June 2004, after a distinguished Federal Advisory Committee Act, personal career of public service in the Marine Corps. conflict of interest screening for external He was commissioned through the Naval members, and organizational conflicts of ROTC program at Harvard University, after interest for contractors supporting the SRBs. It receiving his Bachelor of Arts degree, magna is imperative that a solution to these problems cum laude, in History and Literature. He holds be found that ensures compliance with legal a Juris Doctorate degree from the University requirements, freedom from bias, and the of Virginia Law School, an LL.M degree from continued delivery of technically competent George Washington University in external reviews of NASA programs and Environmental Law and Land Use, and a projects. master’s degree in National Security and Strategic Studies from the College of Naval SUPPORT FOR DEVELOPMENT OF CREW Warfare. Wholley was designated a Naval TRANSPORTATION SYSTEMS Aviator in June 1968 and flew combat missions in Vietnam. NASA is working to ensure an end to its reliance on foreign crew transportation and Deputy General Counsel Sumara M. that it utilizes safe, cost-effective U.S. crew Thompson-King has more than 28 years of transportation capabilities. NASA is using a government and legal experience in the two-fold strategy to support the development Government Procurement and Contract area. of commercial crew transportation systems. Thompson-King began her NASA career in First, NASA is using Space Act Agreements 1986, when she joined the Office of Chief (SAAs) under its “other transaction” authority Counsel at NASA’s Goddard Space Flight under the Space Act to support the Center in Greenbelt, MD. development of commercial crew transportation capabilities that NASA could Thompson-King received a Bachelor’s degree eventually buy. Second, NASA will use FAR- in Government from Smith College in based contracts for the certification of those Northampton, MA, and she earned a Juris capabilities and for the procurement of crew Doctorate from Georgetown University Law transportation services to and from the ISS. Center in Washington, DC. Thompson-King Significant legal issues are presented by the is a member of the Pennsylvania Bar. use of these two distinct authorities. NASA is limited in its ability to impose requirements

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4.3.12 OFFICE OF LEGISLATIVE & INTERGOVERNMENTAL AFFAIRS (OLIA)

MISSION STATEMENT legislative issues between NASA and the U.S. Congress, state and local government, as well The office provides executive leadership, as industry, space-related associations, and direction, and coordination of all citizen’s groups. communications and relationships related to ORGANIZATIONAL STRUCTURE

Figure 4.3.12-1: Organizational Chart for the Office of Legislative and Intergovernmental Affairs

WORKFORCE

The Office of Legislative & Intergovernmental Affairs has a workforce allocation of 25 Full Time Equivalent (FTE) Civil Servants. In addition, each center has legislative affairs staff that report directly to the Associate Administrator for Legislative and Intergovernmental Affairs.

BUDGET EST. ($M)

President’s FY13 FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Budget Request Office of Legislative & $0.1 $0.1 $0.1 $0.1 $0.1 $0.1 Intergovernmental Affairs Table 4.3.12-1: Office of Legislative & Intergovernmental Affairs Budget Runout

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FUNCTIONS Committees on Appropriations and Committees on Budget, and with state and The Office is comprised of three Divisions local governments. The Division manages a with the following roles and responsibilities. variety of Agency-level legislative outreach events, including Congressional requests for The Legislative Liaison Division is the the Administrator and astronaut speaking primary liaison to the Members and staff of engagements, and serves as the principal NASA’s House and Senate Authorization liaison within OLIA with industry, non- Committees, House and Senate leadership government organizations, trade associations, offices, as well as the Congressional Budget interest groups, think tanks, and coalitions. Office and the Congressional Research This Division also has the lead within OLIA Service. LLD is responsible for arranging for NASA contract and grant notifications to NASA representation at Congressional the Congress. hearings, briefings, and/or meetings. This includes briefing Agency officials on the IMPORTANT ACTIVITIES legislative aspects of their appearances, as well as reviewing and clearing statements and  Strengthen existing Congressional other materials to be presented to Congress. relationships. This Division also serves as the primary  Reach every Member of Congress. liaison within OLIA to the Mission  Work with Mission Directorates and Directorates and Mission Support Offices and Mission Support Offices to ensure is responsible for managing the accurate, complete, and timely communication of Agency program and responses to key Congressional activity status to the Congress. inquiries and Congressionally directed reporting requirements. The Legislative Reference and Analysis Division is responsible for monitoring and MAJOR ISSUES analyzing legislation of interest to NASA, including Committee markups and monitoring  Enactment of FY 2013 floor activity of key legislation. LRAD is appropriation to secure optimal responsible for development of NASA’s funding of the President’s request and legislative proposals to Congress. This a balanced overall NASA program, Division manages the Congressional hearing including funding for key priorities, record process, including questions for the including development of the Space record and transcripts, as well as Office of Launch System and Orion Management and Budget legislative referrals. Multipurpose Crew Vehicle to carry They also are the principal day-to-day American astronauts beyond low-Earth interface with OLIA staff at the NASA orbit and into deep space within the centers. The Division also manages OLIA’s next decade; sustainment of the process. International Space Station at least through 2020 as a National resource The Outreach and Appropriations Division available to the broader scientific and is responsible for legislative outreach with commercial research community; “rank and file” (i.e., no committee or center establishment of a U.S. commercial interest in NASA) Members of Congress, crew and cargo delivery capability as Members of the House and Senate soon as possible; continued

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development of the James Webb Space former Senator Paul Sarbanes of Maryland. Telescope, the world’s most advanced Statler earned a Bachelor’s degree from telescope, for launch in 2018; and Gettysburg College and a Masters in Business continued advances in new space Administration from the University of technologies needed for future U.S. Maryland, where he serves as an Adjunct leadership in space. Assistant Professor. He has completed the  Reinforce with Congress that NASA Program for Senior Managers in Government has a comprehensive vision for a at Harvard’s Kennedy School and the Duke bright future and a plan to reach Leadership Program, and serves as treasurer multiple destinations on the way to our and as a director of the National Fallen ultimate destination, Mars. Firefighters Foundation.  Enactment of other NASA legislative priorities. Mary D. Kerwin has served as Deputy Associate Administrator for Legislative and KEY PERSONNEL Intergovernmental Affairs continuously since 1999, except as Deputy Comptroller for L. Seth Statler was appointed as Associate Appropriations from 2004 to 2005. During Administrator for Legislative and her career, Kerwin has served a total of 12 Intergovernmental Affairs in September 2009. NASA Administrators. Prior to her Statler manages relations with the United appointment as Deputy Associate States Senate, the U.S. House of Administrator for Legislative and Representatives, governors, state legislatures, Intergovernmental Affairs, she served as and local governments for NASA with Deputy Associate Administrator for approximately 18,400 federal employees and Legislative Affairs (Programs) and as 40,000 contractors. In this capacity, he Director, Congressional Liaison Division. As provides executive leadership, direction, and the senior career official in the Office, she has coordination of communications between served as Acting Associate Administrator for NASA and all of these important officials. Legislative and Intergovernmental Affairs on Prior to this appointment, Statler was a career three occasions during Presidential transitions. civil servant who served as Deputy Assistant Kerwin has been recognized with a Commissioner for Congressional Affairs at Presidential Rank Award for Distinguished U.S. Customs and Border Protection (CBP), Service in 2009 and three Presidential Rank the nation’s largest law enforcement agency. Awards for Meritorious Service, in 2006, He played a key role in winning 2003, and 1993. She has been awarded Congressional support for the 2003 creation of NASA Medals for Exceptional Achievement, CBP and the Department of Homeland Exceptional Service, and Outstanding Security following the attacks of 9/11. Prior Leadership. She completed the Senior to the merger, Statler managed Executive Fellowship Program at the Kennedy communications for the legacy U.S. Customs School of Government, Harvard University. Service, Department of Treasury, as Assistant Kerwin attended the University of , Commissioner for Congressional and Public and is a graduate of Georgia State University, Affairs. He previously worked for the House with a Bachelor’s degree, with honors, in Committee on Appropriations as associate Political Science. She is a member of Phi staff for Congressman Steny Hoyer of Kappa Phi honor society. She also completed Maryland and as a senior legislative aide to two years of graduate study in Political Theory at the University of Chicago.

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4.3.13 OFFICE OF COMMUNICATIONS

MISSION STATEMENT The Office of Communications engages offices across NASA to better create a The Office works to promote effective internal dialogue that helps shape and share the and external NASA communications by Agency’s missions of exploration and working to create strategic focus among the discovery. various offices that disseminate and provide information regarding the Agency’s projects WORKFORCE and programs. The office provides for the widest practicable and appropriate The Office of Communications has a dissemination of information to news media, workforce allocation of 51 Full Time the general public, and other appropriate Equivalent (FTE) Civil Servants. external and internal constituents concerning the objectives, methods, and results of NASA programs.

BUDGET EST. ($M)

President’s FY13 FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Budget Request Office of Communications $5.8 $5.1 $5.1 $5.1 $5.1 $5.1 Table 4.3.13-1: The Office of Communications Budget Runout

FUNCTIONS Act Agreement with National Air and Space Museum, managing NASA external exhibits, Key communications functions by Division serving as custodian of the exhibits website, include the following: managing the Agency’s aerospace artifacts program, working to identify additional PUBLIC OUTREACH outreach activities, and managing the consortium of NASA visitor centers. This division is primarily responsible for those Agency programs and activities that engage Speakers Bureau provides leadership and the general public and other targeted internal direction for the Agency’s Speakers Bureau and external audiences. These programs Program, including all field centers and include special events, NASA launch and mission directorates. It serves as custodian of landing activities, guest operations, astronaut the Speakers Bureau website and web-based appearances, and public communications. The toolkit, which provides information for all Public Outreach Division is responsible for individuals who publicly represent the managing and administering the following Agency. It also functions as property programs: management custodian for visual aids, such as space suits, and other material that could be Exhibits provides the overall management used to help illustrate NASA’s missions and and infrastructure for planning and executing activities. exhibits across the Agency. Primary activities include management of the cooperative Space

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Guest Operations provides management and journalists, and students. While most NASA oversight of Guest Operations for launches History Division products are scholarly in and other activities at the Kennedy Space nature, they are also largely accessible to Center, , and for interested audiences. Agency missions at Vandenberg Air Force Base. It is also responsible for the Public Inquiries responds to all external management and execution of special events, inquiries to NASA about its activities and such as anniversaries, receptions, memorial programs, including those received by email, services, etc. This office also serves as the telephone calls, and letters. It prepares primary contact for NASA protocol. educational materials for public dissemination and manages the system that tracks and Astronaut Appearances provides the responds to inquiries to the Office of direction and coordination for astronaut post- Administrator. It also manages a special flight tours, speaking engagements, Capitol program that provides certificates of Hill visits, and other external and internal acknowledgement to Boy Scouts and Girl outreach activities. The office also maintains Scouts: the Eagle and Gold awards. and manages Agency events and activities that involve former astronauts. Industry Affairs serves as the Agency’s primary contact and interface with public and Strategic Alliances provides the direction and private aerospace companies and individuals. serves as the subject-matter experts for collaborations between NASA and other Participatory Engagement provides organizations at low or no cost to the Agency. oversight, management, and active It also acts as program manager for individual involvement of individuals as contributors to and organizational Space Act Agreements, and collaborators in NASA’s research, and negotiates partnerships with both science, and exploration activities. domestic and international stakeholders in Participatory exploration embodies far more coordination with the Office of International than simply exposing people to or educating and Interagency Relations. them about NASA’s discoveries and exploration activities. It encourages History Office serves two key functions: (1) individuals to contribute their creativity and Fulfilling the mandate of the 1958 National capabilities to NASA’s mission of discovery Aeronautics and Space Act calling for NASA and invites them to share in the excitement of to disseminate aerospace information as building our future. widely as possible; and (2) Helping NASA managers understand and thus benefit from NEWS AND MULTIMEDIA the study of past accomplishment and difficulties. The NASA History Program was This division is responsible for planning, first established in 1959 (a year after NASA organizing, directing, and coordinating the itself was formed) and has continued to release of programmatic information on document and preserve the Agency’s NASA missions, activities, and functions to remarkable history through a variety of the media and the public. Public Affairs products. In addition to serving internal Officers develop and implement plans to NASA customers, the NASA History Program communicate NASA’s activities in a manner is of great interest to a variety of people who that supports the Agency’s communications follow aerospace activities, including scholars, goals. The division directs and coordinates

• 117 • The NASA Presidential Transition Binder the production of an integrated suite of news NASA Headquarters and NASA Field products, including print, video, Internet, Installations with agency spokespersons and imagery, animation, audio, and background television stations around the country. information intended to capture and communicate NASA’s activities to a variety Internet/New Media directs and manages the of news media, readers, and viewers through Internet portal for NASA on the World Wide the following offices: Web (www.nasa.gov). It develops and maintains highly interactive content regarding Newsroom coordinates the flow of national- the Agency’s missions and policies and level news releases through the review and provides links to all major NASA programs editing cycle in the Headquarters Newsroom. and organizations from this main address. It It works with responsible Headquarters public provides frequent updates on NASA activities affairs officers to set a date and time of and programs and advocates new technologies releases, and coordinates the release of for reaching the general public through the accompanying video, photographs, or Internet Internet. It uses social media platforms offerings. The Newsroom also coordinates including and to engage the other forms of information release, including public in a dialogue and disseminate Notes-to-Editors and Video Advisories. It information on NASA’s activities. assists public affairs officers in editing and producing mission press kits, and coordinates Multimedia serves as the liaison for film and reproduction of hard copies and posts television communities, providing unique electronic versions to the NASA Home Page. expertise and guidance for NASA’s It maintains extensive electronic mail and participation in all entertainment-oriented film Internet lists for reaching news media and the and television projects, including major general public. These include media motion picture and television productions and electronic-mail lists for text and television documentaries. It plans and directs the artistic products and a large general public subscriber documentation of significant NASA projects list. It also maintains a comprehensive Internet and activities. This involves identifying and distribution capability for national and local commissioning qualified artists to record their media organized by region for specific impressions of agency events. delivery of news and information. Freedom of Information Act (FOIA) NASA Television provides overall policy manages and directs agency responses to guidance and direction for content and public requests for access to NASA records, operation of NASA TV. It maintains close and ensures that any person has a right, interaction with public affairs offices at enforceable in court, to obtain access to agency field center installations and with federal agency records, except to the extent coordinating bodies such as the NASA TV that such records (or portions of them) are Working Group and the NASA Digital TV protected from public disclosure by one of Working Group. It provides overall direction nine exemptions or by one of three special law and scheduling for airing Video File – b-roll enforcement record exclusions. packages and provides Agency guidance on production values and contemporary broadcast KEY PERSONNEL techniques. It also provides overall direction and scheduling of live shots – live satellite David Weaver is NASA’s Assistant interviews on NASA TV originating from Administrator for the Office of

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Communications and is a senior public intergovernmental relations operations, and administration professional with 25 years of the comptroller’s personal staff. experience in government, politics, media relations and public policy. For 12 years, Weaver served as the director of the Office of Public Information for At NASA, Weaver directs internal and Maryland’s most populous jurisdiction, external communications for the agency and Montgomery County. He was the principal serves as a senior advisor to NASA spokesman for County Executive Douglas M. leadership. He is responsible for managing an Duncan and two dozen departments and agency-wide staff of 350 that implements all agencies. He also was responsible for the aspects of NASA’s external and internal development and implementation of the communications. county’s overall communications strategy.

The Office of Communications organizes Weaver also served as press secretary to news conferences and other media briefings, former U.S. Rep. Robert Torricelli. He public ceremonies, and special exhibits, and worked for former White House Press oversees the activities of NASA’s speaker’s Secretary James S. Brady and his wife Sarah bureau, Public Inquiries Management Office, at the Brady Center to Prevent Gun Violence Freedom of Information Act Office, fine arts (formerly Handgun Control, Inc.), where he program, public tours, and visitor centers. served as the assistant director for state legislation. Weaver also served as a legislative Under Weaver’s direction, NASA’s Office of aide for Vice President Joseph R. Biden, Jr., Communications also produces content for the when Biden served as a U.S. Senator. He also agency’s Internet homepage, www.nasa.gov, worked with the polling firm of Garin-Hart and NASA Television; prepares and Research. distributes print and broadcast news releases, brochures, and speeches for the NASA Alan Ladwig is the Deputy Associate administrator and deputy administrator; makes Administrator for Public Outreach. His office video and photographic records of NASA manages Industry Affairs, Strategic Alliances, mission activities and special events; and Participatory Engagement, Speakers Bureau, drafts internal publications. Exhibits, Guest Operations, the History Program, and Public Inquiries. Immediately prior to coming to NASA, Weaver was the chief of staff to U.S. Rep. Prior to returning to NASA Ladwig was the Chris Van Hollen, D-MD, where he oversaw Manager of Space Systems for Whitney, the office’s legislative, communications, Bradley and Brown, Inc. (WBB Consulting) scheduling and constituent services operations and had been Sector Lead Executive for and served as a senior adviser to Van Hollen, NASA business development at Northrop who was a member of the House’s leadership. Grumman Integrated Systems. He served as during the start-up Previously, Weaver served as the chief of staff phase of the Zero Gravity Corporation, a to Maryland Comptroller Peter Franchot, privately held space tourism and entertainment helping to manage a 1,100 person, $120 company. As Vice President of Washington million agency, and serving as a senior adviser Operations and Assistant to the Chairman of and was responsible for the office’s the Board, he established and managed the communications, personnel, scheduling, and Space.com’s Washington Bureau and was

• 119 • The NASA Presidential Transition Binder responsible for business development, NASA Achievement medals, he has served as a relations, and strategic planning. communications advisor, strategist, writer, and emerging technology consultant for the Ladwig completed two previous tours at Agency’s top leadership. Jacobs has been NASA. As a political appointee of the Clinton recognized for his crisis communications Administration from 1993 to 1994, Ladwig leadership and is a strong advocate for established and was the Associate incorporating emerging communications Administrator of the Office of Policy and technologies into the Agency’s public Plans at NASA Headquarters. From 1981 to outreach activities He initiated and moderates 1989 he was a civil servant at NASA many of NASA’s social media activities, Headquarters and managed a variety of many of which have been recognized as the programs for the Office of Education, the best in federal government. Office of Space Flight, and the Office of Exploration. Jacobs directed the digital conversion of NASA’s multimedia assets, including NASA NASA awarded Ladwig the Distinguished Television and two major redesigns of Service Medal, the Exceptional Achievement www.nasa.gov, both of which have been Medal, and two Exceptional Service Medals. honored with national Emmy and Webby He is a Fellow of the American Astronautical awards. He developed and co-authored books Society. commemorating NASA’s 50th anniversary, the lunar landings, and the Hubble Ladwig served in the U.S. Army with the Space Telescope. 558th USA Artillery Corps in Athens, Greece. He received his Master of Science degree in Before joining NASA, Jacobs was projects Higher Education and a Bachelor of Science manager for the Broadcast Technology in Speech from Southern Illinois University. Division of The Associated Press, responsible for the development and implementation of Bob Jacobs is the Deputy Associate news and information multimedia technology Administrator for News and Multimedia for major broadcast news organizations offices. He has served in this capacity since around the world. He began his career as a January 2007. Jacobs joined NASA in July broadcast journalist, working his way through 2000 as news chief, and was selected into the the ranks of several radio and television federal government’s Senior Executive stations as announcer, reporter, producer, and Service in July 2002 as the Agency’s news eventually news director. and multimedia director.

Awarded NASA’s Outstanding Leadership, Exceptional Service and Exceptional

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4.3.14 OFFICE OF SMALL BUSINESS PROGRAMS (OSBP)

MISSION STATEMENT opportunities to participate in NASA prime contracts and subcontracts. The office provides advice to the Administrator on all matters related to small WORKFORCE business; promotes the development of all categories of small business and provides The OSBP has a workforce allocation of five small the maximum practicable Full Time Equivalent (FTE) Civil Servants.

BUDGET EST. ($M)

President’s FY13 FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Budget Request Office of Small Business $0.8 $0.9 $0.9 $0.9 $0.9 $0.9 Programs Table 4.3.14-1: Office of Small Business Program’s Budget Runout

FUNCTIONS the centers’ small business programs as well as to the overarching Agency program. The The Small Business Act requires all federal meetings provide a forum for exchanging agencies with contracting authority to information and sharing best practices and establish an Office of Small and lessons learned. Disadvantaged Business Utilization (OSDBU). At NASA, the OSDBU has been SMALL BUSINESS IMPROVEMENT PLAN re-named the Office of Small Business Programs (OSBP) to reflect the inclusion of OSBP holds bi-annual Small Business all categories of small business in the Improvement Plan meetings, the objective of Agency’s activities. Headed by the which is to involve center, mission Associate Administrator, OSBP develops directorate, and procurement representatives and implements NASA’s small business in a joint effort to strengthen NASA’s small initiatives in compliance with federal laws, business program. At each meeting, regulations, and policies. participants develop three cross-cutting initiatives to be implemented at the center IMPORTANT ACTIVITIES level throughout the following fiscal years. Implementation is monitored in the centers’ The following are three cross-cutting semiannual Small Business Program Report. initiatives that are in process: PROCUREMENT MANAGEMENT REVIEWS SMALL BUSINESS SPECIALISTS COUNCIL OSBP works with the NASA Office of NASA’s Small Business Specialists Council Procurement in conducting procurement is comprised of the centers’ small business management surveys at the various centers. specialists and small business technical The purpose of the reviews is to ensure that advisors. The council meets quarterly to procurement regulations are followed and discuss issues and initiatives that pertain to are properly documented. OSBP is

• 121 • The NASA Presidential Transition Binder responsible for evaluating each center’s Developing small business set-aside small business program, which entails contracts as well as determining small conducting interviews with NASA personnel business subcontracting goals on large full- (e.g., the center Procurement Director) and and-open contracts is a major challenge. personnel external to the Agency (e.g., the OSBP is addressing these challenges by SBA Procurement Center Representative), requiring that the center small business examining documents, reviewing each technical advisor assist the small business center’s subcontracting program, and specialists and contracting specialists in collecting metrics on the centers’ determining aspects of the statements of achievements in meeting its small business work that could be performed by small goals. businesses. OSBP also requires that NPD 5000.2C, Small Business Subcontracting MAJOR ISSUES Goals, be used to ascertain small business subcontracting goals on large procurements. MEETING MANDATED SOCIOECONOMIC GOALS KEY PERSONNEL

NASA was able to meet or exceed its Glenn A. Delgado, Associate negotiated FY-11 and FY-12 small business Administrator. Glenn Delgado provides and the small disadvantaged business (SDB) executive leadership and policy direction for goal. This was possible due to several developing and implementing policies and Agency initiatives implemented during this initiatives throughout NASA to ensure all timeframe such as the ones listed above and categories of small business are provided the a robust training program that targets the maximum practicable opportunities to Agency’s acquisition community, which participate in NASA prime contracts and includes the small business specialists, subcontracts Since Delgado’s arrival at procurement personnel, and technical staff. NASA in fiscal year 2007, the dollars However, NASA did not meet the mandated awarded to small businesses have increased goals in three of the five categories, which every year. In fiscal year 2006, NASA are women-owned, service-disabled veteran awarded $1.94 billion directly to small owned, and HubZone small business. In businesses. At the end of fiscal year 2012, order to improve in these categories OSBP NASA awarded $2.5 billion directly to small is conducting focused outreach at various businesses without comprising NASA’s centers to locate small businesses in these mission. That amounts to approximately a categories. 29 percent increase in direct awards made to small businesses, which equates to DETERMINING PROCUREMENTS approximately $560 million. Delgado APPROPRIATE FOR SMALL BUSINESSES received his MBA from Marymount University and he is Level III certified in the The nature of NASA’s “business” is a major Acquisition Professional field of consideration in the Agency’s acquisition Contracting. He is a member of the strategy. With objectives like building the Acquisition Professional Community. In next crew exploration vehicle, procurements May 2010, Delgado was awarded the NASA tend to be very large, and with large Outstanding Leadership Medal for his contractors already engaged in the exceptional leadership of the NASA Small preliminary design and development work, Business Programs Office. procurements tend to be non-competitive.

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4.4 AERONAUTICS RESEARCH MISSION DIRECTORATE

growth and jobs. ARMD addresses these MISSION STATEMENT challenges by conducting fundamental and integrated systems research to significantly The Aeronautics Research Mission increase efficiency, performance, and safety Directorate (ARMD) conducts research and while substantially reducing fuel technology development activities to solve consumption, emissions, and noise, which critical national level challenges for are all critically important to enable Next increasing the capacity, efficiency, and Generation Air Transportation System flexibility of our national air spaceeconomic (NextGen).

ORGANIZATIONAL STRUCTURE

Figure 4.4-1: Organizational Structure of ARMD

WORKFORCE

ARMD has an allocation of 38 Full Time Equivalent (FTE) Civil Servants at Headquarters.

BUDGET EST. ($M)

President’s FY13 Budget Request FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Aeronautics $569.4 $551.5 $551.5 $551.5 $551.5 $551.5 Table 4.4-1: ARMD HQ Budget Runout

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This budget represents the Aeronautics Research Mission Directorate portion of the Headquarters Agency Management and Operations budget. It includes all of the salaries and travel budgets for Headquarters employees, as well as procurement funding for any Headquarters support contractors. ARMD Mission Budget Runout: This budget supports the Aeronautics Research Mission Directorate portfolio of programs and mission activities.

The Aeronautics Test Program (ATP) FUNCTIONS Office is responsible for management oversight of the Aeronautics Test Program. The Fundamental Aeronautics Program The ATP preserves and promotes the testing (FAP) Office is responsible for management capabilities of one of the United States’ oversight of the Fundamental Aeronautics largest, most versatile and comprehensive Program. The FAP conducts fundamental set of flight and ground-based testing research to generate innovative concepts, facilities. tools, technologies, and knowledge to enable revolutionary advances for a wide range of air vehicles. The Strategy, Architecture, and Analysis (SAA) Office provides executive support to the ARMD Associate Administrator through The Aviation Safety Program (AvSP) the development of analytically sound Office is responsible for management Mission Directorate strategies and oversight of the Aviation Safety Program. maintaining configuration management of The AvSP conducts cutting-edge research to key enterprise information, such as program produce innovative concepts, tools, and goals, metrics, interdependencies, technical technologies to improve the intrinsic safety challenges, and risks. SAA focuses on attributes of current and future aircraft and portfolio analysis of current program air traffic management systems. investments, cross-program strategic integration, and the development and The Airspace Systems Program (ASP) execution of cross-cutting transportation Office is responsible for the management architecture and systems analyses. oversight of the Airspace Systems Program. The ASP directly addresses the fundamental The Resources Management Office air traffic management research needs for (RMO) focuses on resources management, the NextGen by developing revolutionary program and budget integration, and is concepts, capabilities, and technologies that responsible for all Aeronautics Program will enable significant increases in the resources planning, authorization, and capacity, efficiency, and flexibility of the review. Resources management includes national airspace. budget formulation and execution, financial management, program resources status The Integrated Systems Research analysis, Office of Management and Budget Program (ISRP) Office is responsible for (OMB) and Congressional budget management oversight of the Integrated preparation, quality control over all budget Systems Research Program. The ISRP submittals, and independent budget cost conducts research at an integrated system- estimate and profile validation. level on promising concepts and technologies, and explores, assesses, and The Integration and Management Office demonstrates the benefits in a relevant (IMO) is responsible for key directorate environment. processes and activities, including strategic communications, education and outreach,

• 124 • The NASA Presidential Transition Binder integration of ARMD and agency strategic Project research includes exploring and planning and performance reporting, internal developing tools, technologies, and program review execution, and ARMD knowledge to enable radical improvements policy development. in rotary wing vehicles that can greatly enhance the air transportation system. The IMPORTANT ACTIVITIES research efforts advance technologies that increase rotorcraft speed, range, and Each of the NASA Aeronautics Programs payload, and decrease noise, vibration, and will be treated in a separate section below. emissions. This research will enable improved computer-based prediction Fundamental Aeronautics Program methods and technologies for designing (FAP): NASA’s Fundamental Aeronautics future high-speed, efficient rotorcraft of Program (FAP) conducts long-term, cutting- various sizes and configurations that will be edge research in all flight regimes to address viable as commercial vehicles operating in the major challenges of modern air the National Airspace System (NAS). High- transportation: public concern over noise speed vehicle research includes developing and emissions, the affordability of air travel advanced computer-based prediction given concerns about jet fuel supplies and methods for supersonic aircraft shape and costs, the need for increasing mobility to performance and developing technologies meet the growth of air transportation, and that will aim to eliminate today’s technical the need for progress toward faster barriers preventing practical, commercial transportation. FAP focuses on tools and supersonic flight. These barriers include technologies to enable revolutionary sonic boom, supersonic aircraft fuel changes for vehicles. From the most basic efficiency, prediction of vehicle control, knowledge of underlying phenomena operation and performance, and the ability through experimentation into advanced to design future vehicles in an integrated, concepts and technologies at the component multidisciplinary manner. The high-speed and systems level, new technological research also includes expansion of capabilities are being developed. foundational knowledge necessary for pushing the capabilities for controlled, air- The FAP is comprised of four projects. The breathing hypersonic flight. The Fixed Wing Project research includes Aeronautical Sciences Project will start to exploring and developing tools, develop computer-based tools and models as technologies, and concepts for vastly well as scientific knowledge that will lead to improved energy efficiency and significant advances in our ability to environmental compatibility necessary for understand and predict flight performance the sustained growth of commercial aviation for a wide variety of air vehicles. Examples vital to the U.S. economy and quality of life. of this research include the development of The objective is to develop concepts and new computational tools that are used to technologies for dramatic improvements in predict the flow around vehicles. Another the noise, emissions, and performance of area of research that is pervasive across a transport aircraft. The resulting scientific number of vehicle types is improving the knowledge, in the form of experiments, data, understanding and development of new calculations, and analyses, is critical for types of strong and lightweight materials conceiving and designing future generations that are important for aviation. of transport aircraft. The Rotary Wing

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Aviation Safety Program (AvSP): Public recover from hazardous flight conditions, benefits derived from continued growth in and to maintain vehicle airworthiness and the transport of passengers and cargo are health. Project research focuses on the study dependent on the improvement of the of safety improvements related to vehicle intrinsic safety attributes of current and systems, including guidance-and-control future air vehicles that will operate in capabilities and appropriate crew response NextGen. AvSP’s contributions to meeting that can detect, avoid, prevent, and recover this challenge range from providing from hazards experienced in flight or within fundamental research and technologies on the vehicle itself. The goal of Atmospheric known or emerging safety concerns, to Environment Safety Technologies Project working with partners in addressing new research is to investigate sources of risk and safety challenges for NextGen. The program provide technology needed to help ensure has three primary objectives: continue to safe flight in and around atmospheric improve aviation system-wide safety, hazards. A substantial portion of research advance the state-of-the-art of aircraft within the project focuses on how icing systems and flight crew operations, and affects both airframes and propulsion address the inherent presence of atmospheric systems, and investigates potential risks to aviation. Research in all areas technologies for ice detection and icing emphasizes innovative methods and uses a reduction or elimination. The project also systems analysis approach for identifying performs research on how to sense and key issues and maintaining a research mitigate risks associated with other portfolio that addresses national aviation atmospheric hazards that pose serious safety needs. threats to aviation (such as lightning strikes).

The AvSP is comprised of three projects. Airspace Systems Program (ASP): The The goal of the System-Wide Safety and Airspace Systems Program (ASP) performs Assurance Technologies Project is to foundational research to enable the provide knowledge, concepts and methods development of revolutionary improvements to proactively manage increasing complexity to, and modernization of, the National in the design and operation of vehicles and Airspace System. A major goal of the air transportation systems, including Airspace Systems Program is to transition advanced approaches to enable improved key technologies from the laboratory to the and cost-effective verification and validation field by integrating surface, terminal, of flight-critical systems. The project transitional airspace, and en route addresses challenges in the areas of capabilities to enable operational assurance of flight critical systems, enhancements envisioned by NextGen. The discovery of safety incidents, automation Program is comprised of two projects: design tools, and prognostic algorithm NextGen Concepts and Technology design for safety assurance. Each of these Development Project; and NextGen Systems areas supports the project goal of ensuring Analysis, Integration & Evaluation Project. system safety and developing proactive Both projects are, much like the airspace technologies to enable a successful system itself, highly integrated, and pay transition to NextGen. The Vehicle Systems close attention to information management Safety Technologies Project research at critical transition interfaces in the identifies risks and provides knowledge National Airspace System. needed to avoid, detect, mitigate, and

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The NextGen Concepts and Technology Integrated Systems Research Program Development Project will develop and (ISRP): The Integrated Systems Research explore fundamental concepts and integrated Program (ISRP) conducts integrated system- solutions that can improve the efficiency of level research on promising concepts and all stages of air travel, from gate to gate. technologies to explore, assess, and Researchers are developing advances in the demonstrate their benefits in an science and applications of flight trajectories operationally relevant environment. The while taking into account weather and research in this program is coordinated with forecast uncertainties across the entire flight ongoing, long-term fundamental research path. The project also conducts research into within the other three research programs, as efficient ways to dynamically modify flight well as efforts of other government paths in real time to allow for the constantly agencies. This helps to ensure the most changing environment within NAS. To be promising research is transitioned between successful, the project must develop the programs and avoid duplicative efforts. technologies that achieve the maximum ISRP’s focus on system-level research possible productivity out of the entire differentiates it from other NASA airspace system, including the use of gates, aeronautics fundamental research programs, taxiways, runways, terminal and en route as its goals are to demonstrate integrated airspace, and other airport services. concepts and technologies to a level sufficient to reduce risk of implementation The high-level goal of the NextGen Systems for stakeholders in the aviation community. Analysis, Integration, and Evaluation Project research is to identify, mature, and test key The ISRP is comprised of two projects. The concepts and technologies based on their Environmentally Responsible Aviation potential benefit towards increasing system Project is addressing vehicle related efficiency. One of the challenges to environmental concerns through system- achieving NextGen is the difficulty of level research and experiments of promising introducing new concepts into a complex vehicle concepts and technologies that NAS. ASP verifies the relevance of its simultaneously reduce fuel burn, noise, and research and implications when included in emissions. Research and development a complex system by investigating not only efforts are focused on understanding how the benefits achievable by single concepts, advanced environmental technologies can but taking this research one step further to best work in an integrated vehicle/aviation study the implications and improvements operations system. Through system-level achievable when multiple new concepts are analysis, promising advanced vehicle and integrated into the NAS. These propulsion concepts and technologies can be investigations mature in concept and fidelity down-selected based on their potential from fast time modeling and simulation benefit towards the stated national goals. through human-in-the-loop simulations and, The Unmanned Aircraft Systems (UAS) for the most promising areas of research, to Project also focuses on technologies to demonstrations using field trials. These most enable routine civil operations for UAS of promising areas are those that enable all sizes and capabilities in NAS. Current increases in capacity and efficiency while Federal Aviation Regulations are built upon maintaining safety and environmental the condition of a pilot being in the aircraft; conditions. therefore few of those regulations specifically address UAS. To date, the

• 127 • The NASA Presidential Transition Binder primary user of UAS has been the military. and/or for which there are present or future Because of this, the technologies and requirements by other government agencies procedures to enable seamless operation and or the U.S. aerospace industry. In addition, integration of UAS in NAS need to be for those assets that are considered to be developed, validated, and employed by FAA unique, but for which there is no projected through rule making and policy current or future usage, the ATP provides development. Specifically, NASA is funds to mothball these facilities. Significant addressing technology development in maintenance activities, beyond routine several areas to reduce the technical barriers maintenance, are performed to improve related to the safety and operational productivity and reduce operational cost. challenges. The Program also invests in test technology and facility upgrades (new capabilities). Aeronautics Test Program (ATP): The Aeronautics Test Program (ATP) was MAJOR ISSUES created to set the strategic direction for NASA’s versatile and comprehensive NASA’s Role in the Nation’s Hypersonics portfolio of ground and flight test Research and Development Effort: This aeronautics research capabilities. ATP issue is described in more detail in the makes targeted investments in its NASA Transition Strategic Issues Book. capabilities so that the nation’s aeronautics community has the tools to deliver the KEY PERSONNEL technology innovations and breakthroughs necessary to address the increasingly Dr. Jaiwon Shin is the Associate complex research and development Administrator for the Aeronautics challenges associated with safe and effective Research Mission Directorate at NASA real-world flight. The ATP is a long-term, Headquarters. He manages NASA’s funded commitment by NASA to retain and aeronautics research portfolio, guiding its invest in test capabilities that are utilized by strategic direction including research in the all three Mission Directorates and the fundamental aeronautics of flight, aviation Nation. The ATP reviews the status of its safety, and the nation’s airspace system. Dr. assets annually and ensures that decisions Shin co-chairs the National Science & are considered from a national point of view. Technology Council’s Aeronautics Science & Technology Subcommittee, which wrote ATP is responsible for the major wind the nation’s first presidential policy for tunnels/ground test facilities at Ames, aeronautics Research and Development Glenn, and Langley Research Centers, the (R&D). Between May 2004 and January Western Aeronautical Test Range (WATR), 2008, he served as deputy associate Support Aircraft, Test Bed Aircraft, and the administrator for the directorate, where he Simulation and Loads Laboratories at was instrumental in restructuring NASA’s Dryden Flight Research Center. In order to Aeronautics Program to focus on meet its objectives, the ATP provides for fundamental research and better align with partial to full funding of the fixed costs for the nation’s Next Generation Air those ATP facilities that have significant Transportation System (NextGen). Prior to projected NASA program usage, are coming to work at NASA Headquarters, he considered to be national assets for which served as chief of the Aeronautics Projects NASA accepts stewardship responsibilities, Office at NASA’s Glenn Research Center. Shin received his doctorate in mechanical

• 128 • The NASA Presidential Transition Binder engineering from the Virginia Polytechnic 2004, he was the chief of the Facility Institute and State University, Blacksburg, Management and Planning Office at VA. He has a Bachelor’s degree from NASA’s Glenn Research Center, where he Yonsei University in Korea and a Master’s was responsible for strategic planning, degree in Mechanical Engineering from improvements and upgrades, and test project California State University, Long Beach. scheduling and planning of all of the center’s major ground test facilities. In 1982, Thomas Irvine is the Deputy Associate he joined the staff of the then NASA Lewis Administrator for the Aeronautics Research Center, where he held Research Mission Directorate at NASA management, program management and Headquarters. Previously, Irvine was research engineering positions in the director of the mission support office. He Engineering and Technical Services also served as the deputy director of the Directorate, in the Space Station Program directorate’s Aeronautics Test Program. Office and in the Aeronautics Directorate. Irvine came to NASA Headquarters in 2004 Irvine has a Bachelor of Science degree in to head the Aeronautics Research Mission Civil Engineering and a Master’s of Science Support Division, where he was responsible degree in Engineering Mechanics, both from for ensuring the availability of mission State University. support-related capabilities. From 1999 to

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4.5 HUMAN EXPLORATION & OPERATIONS MISSION DIRECTORATE (HEOMD)

exploration in low Earth orbit and beyond, MISSION STATEMENT and to provide launch and communication support services that enhance space The mission of the Human Exploration and operations for all users. Operations Mission Directorate (HEOMD) is to ensure the success of human space

ORGANIZATIONAL STRUCTURE

Figure 4.5-1: HEOMD Organizational Structure

WORKFORCE

HEOMD has an allocation of 151 Full Time Equivalent (FTE) Civil Servants.

BUDGET EST. ($M)

President’s FY13 Budget Request FY2012 FY2013 FY2014 FY2015 FY2016 FY2017

Human Exploration & Operations MD (HQ) $7.9 $7.7 7.7 7.7 7.7 7.7 Human Exploration & Operations (Mission) $7891.9 $7938.3 $8103.9 $8103.9 $8103.9 $8103.9 Table 4.5-1: HEOMD HQ Budget Runout

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This budget represents the Human Exploration and Operations Mission Directorate portion of the Headquarters Agency Management and Operations budget. It includes all of the salaries and travel budgets for Headquarters employees, as well as procurement funding for any Headquarters support contractors. The HEOMD Mission Budget Runout supports the HEOMD portfolio of programs and mission activities.

FUNCTIONS Space Biology, Physical Sciences, and Human Research – seek to advance The International Space Station (ISS) Division provides insight and oversight of breakthroughs and discoveries in the ISS program as it transitions from fundamental life sciences, physical sciences, assembly to long-term operations. A and biomedical sciences that leverage the collaborative product of five space agencies unique qualities of the space environment. representing 15 nations, the ISS has been The programs also ensure that ISS is used continuously inhabited since November for high priority research and applications 2000 and is a world-class laboratory for that reduce risks for long-duration human research in an array of disciplines. The ISS space exploration, and current and former also provides a test bed for learning how to crew health and medical data is available for live and work in space over extended research and application purposes. periods of time, and a stable destination to facilitate the growth and evolution of new The Exploration Systems Development commercial opportunities, including crew (ESD) Division is responsible for and cargo transportation to low Earth orbit. controlling and managing the interfaces The ISS Division is responsible for across the Orion Multi-Purpose Crew providing ongoing situational awareness Vehicle (Orion MPCV), the Space Launch products to agency leadership regarding ISS System (SLS), and the Ground Systems operations, research, and technology Development and Operations (GSDO) development activities. Headquarters ISS Programs. ESD performs cross-program personnel manage the HEOMD Space systems and programmatic integration Operations Center (SOC), where they functions to successfully deliver the monitor critical events (e.g., visiting vehicle capabilities required for human spaceflight launches, dockings, landings, spacewalks), beyond low Earth orbit (LEO). ESD in real-time from the Space Operations leadership establishes requirements and Center (SOC). develops portfolio plans for governance, configuration management, reserve strategy, The Space Life and Physical Sciences risk management, program performance Research and Applications (SLPSRA) reporting, schedule, and milestone control. Division manages NASA’s fundamental The ESD Implementation Plan (ESD 10001) science activities that realize the benefits of provides the details about how ESD the space environment for research and that manages the Programs and the cross- promote advanced, long-duration human program integration. exploration. This includes all ground based and spaceflight based science programs. The Commercial Spaceflight SLPSRA oversees basic research in the life Development (CSD) Division oversees and physical sciences as well as mission- NASA’s financial investments and technical driven scientific research in support of resources dedicated to the development of human spaceflight and crew health and safe, reliable, and cost-effective U.S. safety. SLPSRA programs – Fundamental commercial space transportation systems. During development and demonstration

• 131 • The NASA Presidential Transition Binder phases, NASA partners with U.S. industry, organizations that coordinate space providing technical and financial support. In communication requirements and standards, services phases, NASA becomes a customer, enabling compatibility and interoperability. purchasing transportation for the U.S. and SCaN also provides policy guidance and U.S.-designated crew and cargo to ISS. It is advocacy for all positioning, navigation, and envisioned that CSD activities stimulate timing (PNT) issues, both domestically and development of new industries that will be internationally. This primarily involves available to all potential customers, ensuring that NASA’s Global Positioning including the U.S. government. A secondary System (GPS) requirements are protected goal of these efforts is to help the United for its missions, as well as developing new States expand into new markets and become capabilities, such as Satellite Laser more globally competitive. Retroreflectors, for NASA’s science and exploration programs. The Launch Services Office (LSO) oversees the The Human Spaceflight Capabilities (LSP) based at Kennedy Space Center (HSC) Division provides oversight and (KSC) in Florida. The LSO is the NASA resource allocation for HEOMD capability Headquarters Interface to NASA’s programs and supports the integration of expendable launch service customers, strategies and capabilities that fulfill HEO including the Science Mission Directorate program objectives and mission (SMD), HEOMD, and STMD. The LSO requirements. The HSC Program Executives also partners with other government manage and conduct integrated assessments agencies and the commercial launch on a portfolio of HEOMD-funded technical industry regarding expendable launch policy capabilities, including rocket propulsion and acquisition matters in addition to the testing and crew health and safety. By expendable launch of unmanned robotic defining and implementing a strategic payload missions. capability management framework, HSC provides the agency with comprehensive The Space Communications and technical capability planning and ensures Navigation (SCaN) Division provides that technical issues are coordinated across communications and navigation services for the NASA centers and relevant headquarters all of NASA’s spaceflight missions, and stakeholders, including Microgravity represents the agency in global forums that Science Division (MSD) and the Office of coordinate space communication the Chief Engineer (OCE). The HSC also requirements and standards. SCaN operates provides comprehensive facility and upgrades NASA’s Space Network, Deep management support and analysis, in Space Network, and . addition to processes and products for HEO As NASA’s spectrum manager, SCaN programmatic Construction of Facilities coordinates closely with the U.S. (CoF) projects and HEO program-related government and international space environmental issues. communications community to ensure that the critical radiofrequency spectrum The Advanced Exploration Systems allocations are protected and new (AES) Division is pioneering new assignments are obtained through long-term approaches for rapidly developing prototype studies and negotiation. SCaN also leads systems, demonstrating key capabilities, and NASA’s participation in multinational validating operational concepts for future

• 132 • The NASA Presidential Transition Binder human missions beyond Earth orbit. AES The Resources Management Office activities focus on crew safety and mission (RMO) ensures efficient and productive use operations in deep space, and are strongly of agency resources necessary to achieve coupled with future vehicle development. HEO’s mission, goals, and objectives. The The AES portfolio consists of small, focused RMO provides this support by advocating activities that target high-priority HEOMD programs and budgets to internal capabilities needed for human exploration and external stakeholders; analyzing such as advanced life support, deep space program status, progress, and crosscutting habitation, crew mobility, and extra- issues; responsibly managing program vehicular activity (EVA) systems. Early resources; developing and promulgating integration and testing of prototype systems HEOMD, Agency, Administration, and reduces risk and improves affordability of Congressional policy; and assuring exploration mission elements. The compliance with federal laws and prototype systems developed in the AES regulations. The RMO carries out its portfolio are demonstrated in ground-based mission with three teams that provide test beds, field tests, underwater tests, and crosscutting support to HEO, with focus on ISS flight experiments. AES is the primary independent analysis and assessment; budget HEOMD interface to NASA’s Space formulation, including management of Technology Mission Directorate, and NASA’s Program Planning Budgeting and coordinates with SMD on the Joint Robotic Execution (PPBE) process, and all Precursor Activities. associated deliverables; and daily financial operations, including funds control and The Strategic Analysis and Integration distribution, policies and processes, Division (SAID) provides the agency and phasing/operating plans. In addition, four HEOMD leadership with strategic analysis RMO teams provide direct support to HEO across the human spaceflight architecture technical divisions with a program/project framework. SAID also leads the focus. directorate’s efforts in enterprise security, integrated risk and , IMPORTANT ACTIVITIES industrial base/, science coordination, and partnership The NASA Authorization Act of 2010 development. directs the NASA Administrator to achieve the following for which HEOMD is The Mission Support Services Office responsible: (MSSO) is responsible for management of HEO human resources, education and public  Develop a Space Launch System with outreach, management processes and an initial capability of lifting payloads internal controls, information technology, weighing between 70 and 100 tons into and administrative support activities. MSSO low Earth orbit in preparation for transit develops and implements approaches for beyond low Earth orbit, and develop the education and outreach that align HEO capability to carry an integrated upper requirements and direction with Agency Earth departure stage bringing the total strategy. MSSO also ensures Directorate lift capability of the SLS to 130 tons; information technology needs are met both tactically and strategically.

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 Develop a multi-purpose crew vehicle delivery to the ISS, with the Dragon capsule to serve as the primary crew vehicle for docking to the ISS on October 10. Orbital mission beyond low Earth orbit and to Science Corporation erected its Antares serve as an alternate means to deliver launch vehicle on a commercial pad at crew and cargo to the ISS in the event NASA’s Wallops Flight Facility in that other vehicles are unable to perform same month of October, and is working that function; toward a test flight of its rocket and then a demonstration flight of its Cygnus capsule to  Continue commercial crew and cargo the ISS in the months ahead. development programs as guided by the Act; NASA has a two-fold strategy to end the  Operate and utilize the ISS through at United States’ sole reliance on foreign crew least 2020. transportation to the ISS and utilize a safe, cost-effective U.S. Crew Transportation Specifically, HEOMD is focusing on the System (CTS) as soon as the agency is able following: to certify those systems to carry NASA astronauts. First, NASA is using SAAs under the Commercial Crew Integrated BUILDING TOWARD THE FIRST CREWED Capability (CCiCap) phase to support the FLIGHTS OF ORION-MPCV/SLS design and development of commercial crew NASA plans a first engineering flight test transportation capabilities, as outlined (EFT-1) of the Orion-Multi-Purpose Crew above. Second, NASA will use Federal Vehicle (MPCV) in 2014. This will be an Acquisition Regulation (FAR)-based uncrewed flight and will provide orbital contracts for the certification of systems and re-entry test data needed to commercially developed capabilities and for finalize the MPCV design. The first flight of the procurement of crew transportation the combined MPCV/SLS system, services to and from the ISS to meet NASA Exploration Mission-1 (EM-1) is planned requirements. NASA has already secured for 2017. This uncrewed mission will be the SAAs for the first step, and has issued the first deep space voyage of the Orion-MPCV certification contracts that begin the second and will include a lunar fly-by. These lead step. up to the first crewed flight of MPCV/SLS, EFFECTIVE USE OF THE ISS FOR EM-2, in 2021. EM-2 will send humans RESEARCH AND ENABLING OF FUTURE around the moon and back to Earth for the EXPLORATION first time since Apollo. The ISS has now entered its intensive PARTNERSHIPS WITH THE EMERGING research utilization phase, and will continue COMMERCIAL SPACE SECTOR FOR CARGO in this mode through at least 2020. The AND CREW TRANSPORATION SERVICES 2005 NASA Authorization Act designated NASA engaged with two companies in their the U.S. segment of the ISS as a National development of systems to provide cargo Laboratory. The 2010 NASA Authorization delivery systems for the ISS. SpaceX Act directed NASA to enter into a successfully completed its Space Act cooperative agreement with a not-for-profit Agreement (SAA) for development of organization to manage this National /Dragon lab delivery system, and in Laboratory’s activities. On August 31, 2011, October 2012 launched its first contracted NASA finalized a cooperative agreement

• 134 • The NASA Presidential Transition Binder with the Center for the Advancement of Space Launch System and Orion spacecraft, Science in Space (CASIS) to manage these and development and operation of Space activities. CASIS will help ensure the ISS’s Communications and Navigation unique capabilities are available to the capabilities. He provides strategic guidance broadest possible cross-section of U.S. and direction for the commercial crew and scientific, technological, and industrial cargo programs that will provide logistics communities. and crew transportation for the ISS. Previously, Gerstenmaier was Associate ISS will continue to meet NASA’s objective Administrator for the Space Operations to prepare for the next steps in human Mission Directorate. Prior to this exploration beyond low Earth orbit. The assignment, he was the Space Station ISS is NASA’s only long-duration flight Program Manager, and before that, the analog for future human deep space Space Shuttle Integration Manager at the exploration, and it provides an invaluable Johnson Space Center. Gerstenmaier began laboratory for research with direct his NASA career at the then-Lewis Research application to the requirements that address Center, performing aeronautical research. human risks associated with deep space He received a Bachelor of Science in missions. In October 2012, NASA and its aeronautical engineering from Purdue ISS partners announced that one NASA University in 1977 and a Master of Science astronaut and one Russian cosmonaut will degree in mechanical engineering from the be selected to serve together in a one-year in 1981. In 1992 and duration stay (increment) on the ISS to 1993, he completed course work for a further these ends. doctorate in dynamics and control with emphasis in propulsion at Purdue MAJOR ISSUES University.

The issues that significantly impact SMD Gregory J. Williams, Deputy Associate are included in the NASA Presidential Administrator for Policy and Plans. As Transition Strategic Issues Book. the DAA for Policy and Plans, Williams provides advice and counsel on a wide KEY PERSONNEL variety of crosscutting issues affecting HEOMD. With the AA, the Deputy for William H. Gerstenmaier, Associate Policy and Plans manages HEOMD’s Administrator. Gerstenmaier is the relations with external groups Associate Administrator for the Human (Congressional, educational, Exploration and Operations Mission intergovernmental, international, advisory- Directorate at NASA Headquarters in based, and industry based) in consultation Washington, DC. In this position, and coordination with relevant Headquarters Gerstenmaier provides strategic direction for Mission Support Offices. Williams all aspects of NASA’s human exploration of previously served as the Deputy Director for space and cross-agency space support Strategic Integration and Management in the functions of space communications and Science Mission Directorate. Prior to that space launch vehicles. He provides assignment, he was the Senior Policy programmatic direction for the continued Advisor to the Associate Administrator for operation and utilization of the International Earth Science. Williams began his NASA Space Station (ISS), development of the career as a Presidential Management Intern

• 135 • The NASA Presidential Transition Binder in the NASA Office of Space Station in formulation and execution, systems 1985. He holds a Master of Science in management, and program analysis Public Administration and Policy Analysis consistent with Administration policies and from Carnegie-Mellon University in 1985 guidance, Agency strategic plans, and and a Bachelor of Science in Economics Congressional authorizations and from the University of Washington in 1981. appropriations. She provides critical strategic leadership in establishing program Daniel L. Dumbacher, Deputy Associate controls, integrating and developing the Administrator for Exploration Systems budget perspective for the HEOMD Development Division. Dumbacher Associate Administrator (AA). Previously, provides leadership and management for the Mumford was Assistant Associate HEOMD with a special focus as the Administrator for RMO, Space Operations Program Director for Exploration Systems Mission Directorate. She has worked in the Development encompassing SLS, Orion, federal government for 34-plus years and and Ground Systems Development and with NASA for over 32 of those years. Operations (GSDO) development and Mumford has 26-plus years of professional integration efforts. Prior to his current experience and specialized training in assignment, Dumbacher served as the resources management, program analysis, Director of the Engineering Directorate at procurement, financial controls, budgeting, NASA’s Marshall Space Flight Center. leadership, and is a graduate of the Federal Previously, he was Deputy Director of the Executive Institute. Ares Projects Office and, prior to that, was Deputy Director for Product Assurance in Badri A. Younes, Deputy Associate the Safety and Mission Assurance Office, Administrator for Space Communications focusing on space shuttle return-to-flight and Navigation (SCaN). Younes is efforts. Other assignments included responsible for NASA’s space Manager of the X-37 Flight Demonstrator, communications and navigation Deputy Manager of the Space Launch infrastructure and services, as well as data Initiative Program, and Program Manager of standards and spectrum. He manages the the Second Generation Reusable Launch SCaN Program at NASA Headquarters and Vehicle Program. Dumbacher joined NASA oversees all NASA telecommunications and in 1979. navigation projects and networks, including NASA’s Space Network (SN), Near-Earth He earned a bachelor’s degree in Network (NEN), and Deep Space Network Mechanical Engineering from Purdue (DSN). Mr. Younes is also responsible for University in 1981 and a Master’s in the development of enabling technology and Business Administration from the University capabilities critical to meeting the Agency’s of Alabama in Huntsville in 1984. He has vision for an integrated SCaN architecture completed the Senior Managers in aligned with NASA’s future space Government study program at Harvard exploration needs. Prior to returning to University. NASA in 2007, Mr. Younes was the Department of Defense (DoD) Director for Altonell L. Mumford, Director for Spectrum Management with responsibility Resources Management Office (RMO). In for spectrum policy and strategic planning her role as Director for RMO, for the and implementation for the DoD. Under his HEOMD, Mumford provides budget leadership, the Department has successfully

• 136 • The NASA Presidential Transition Binder negotiated major win-win agreements with systems engineering and technology. He the Federal Communications Commission holds a Masters in Electronics Engineering (FCC), National Telecommunications & from Catholic University of America, and in Information Administration (NTIA), and US 1995, he completed all his PhD private sector. Younes’ experience spans 28 requirements except for the dissertation. years of leadership in microwave and RF

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4.6 SCIENCE MISSION DIRECTORATE

MISSION STATEMENT space and time, as well as practical information about changes on our home The Science Mission Directorate (SMD) planet. SMD also has responsibility for carries out the scientific exploration of Earth developing, on a reimbursable basis, the and space to expand the frontiers of Earth nation’s next generation of polar-orbiting science, heliophysics, planetary science, and operation environmental satellites for the astrophysics. Through a variety of robotic National Oceanic and Atmospheric observatory and explorer craft and through Administration (NOAA) and for developing sponsored research, the Directorate provides the James Webb Space Telescope (JWST). virtual human access to the farthest reaches of ORGANIZATIONAL STRUCTURE

Figure 4.6-1: SMD Organizational Structure

Across SMD’s four research divisions, over extend their scientific utility, and provide 95 space missions are in the portfolio, with opportunities to test new measurement more than 70 in operation and over 25 in approaches and train young scientists and development. Within these divisions, each has engineers. supporting Research and Technology programs to enable missions, and Data The four research divisions represent four Analysis programs and Interdisciplinary major space-based research endeavors, each cSience programs to exploit their data to with a sub-goal in the NASA Strategic Plan. generate new scientific results. Collectively, these additional elements are termed Research  Earth Science: Advance Earth system and Analysis (R&A) programs. Suborbital science to meet the challenges of climate flight programs, including sounding rockets, and environmental change. aircraft, and balloon programs, make scientific measurements complementary to the space- based measurements to calibrate, validate, and

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 Planetary Science: Ascertain the starting point for NASA’s strategic planning content, origin, and evolution of the solar process in the arenas of Earth and space system and the potential for life sciences. NASA now has decadal surveys in elsewhere. hand for each of its four major science areas.

 Heliophysics: Understand the sun and its SMD enhances its scientific return on the interactions with Earth and the solar nation’s investment through productive system. partnerships with other federal agencies and  Astrophysics: Discover how the universe with the space agencies of other nations. works, explore how it began and evolved, These partnerships range from basic data and search for Earth-like planets. sharing agreements to collaboration on flight missions where each partner may provide In planning its science programs, NASA is scientific instruments, spacecraft, or launch guided by the priorities defined by the U.S. services. SMD also collaborates with other scientific community as presented by the NASA Directorates and Offices to further National Research Council (NRC) in its shared goals. decadal surveys and other reports. These reports represent the broad consensus of the WORKFORCE Nation’s scientific communities in their respective areas. As such, NRC decadal SMD has an allocation of 150 Full Time surveys and related reports provide the Equivalent (FTE) Civil Servants.

BUDGET EST. ($M)

President’s FY13 Budget Request FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Science Mission Directorate (HQ) $23.9 $26.6 $27.7 $29.0 $30.6 $32.2 Science (Mission Budget) $5049.1 $4884.6 $4886.7 $4885.4 $4884.1 $4882.2 Table 4.6-1: SMD HQ Budget Runout

This budget represents the Science Mission Directorate portion of the Headquarters Agency Management and Operations budget. It includes all of the salaries and travel budgets for Headquarters employees, as well as procurement funding for any Headquarters support contractors. SMD Mission Budget Runout: This budget supports the Science Mission Directorate portfolio of programs and mission activities.

MAJOR ISSUES IMPORTANT ACTIVITIES

Each of the science divisions, the JWST The issues that significantly impact SMD are Program Office, and the Joint Agency Satellite included in the NASA Presidential Transition Division for weather satellites will be treated Strategic Issues Book. in a separate section below. EARTH SCIENCE DESCRIPTION

The overarching objective of NASA’s Earth science program is to observe and understand the processes that shape the environment in which we live, learn how they are changing,

• 139 • The NASA Presidential Transition Binder and use that information to improve the May, 2012 Mid-Term Assessment, the NRC quality of life on Earth. To achieve this found that “NASA responded favorably and objective, NASA’s Earth Science program aggressively to the 2007 decadal survey, advances scientific knowledge of the Earth as embracing its overall recommendations… As a complex integrated system, and provides a consequence, the science and applications direct societal benefit by developing and communities have made significant progress testing new user-driven applications that over the past 5 years.” combine satellite data with research-based understanding. The Earth Science program Advancing knowledge of the integrated Earth designs, builds, and operates a constellation of system requires comprehensive, global, research satellites (many developed in sustained observations of many important collaboration with other U.S. and international quantities, which can best be accomplished agencies); conducts a broad program of through satellite missions. SMD’s Earth competitively selected research covering the Science research constellation is presently oceans, atmosphere, land, and cryosphere and composed of 16 satellites; five satellites (four their interactions; creates and demonstrates NASA research missions, with international new, science-based application products that contributions) are flying in close formation – are then used by other federal mission called the “A-Train” – creating a virtual agencies; develops enabling technology and observatory far more capable than any the next generation of space-borne instruments individual spacecraft. The program has an through a dedicated Earth Science Technology additional 11 missions in formulation or program; and plays key roles in interagency development to launch before the end of 2020 and international research, capacity building, (five of these missions will launch before the and disaster monitoring/response coordination end of 2014). efforts . Measurements from piloted and unmanned In addition to supporting NASA’s Earth aircraft, as well as from surface-based system science research objectives, NASA’s networks, are acquired by NASA and used Earth science and observations activities help both to advance the research and to help inform and support operational programs calibrate the satellite sensors. The Earth carried out by other national agencies. Science program also supports the world’s Therefore, the overall balance, science and most extensive, searchable Earth observation applications foci, and flight mission portfolio data system, archiving and freely distributing for the program combines recommendations virtually all historical and contemporary from the research communities presented in NASA and sister-agency satellite the National Research Council’s inaugural measurements and related information 2007 “Earth Science and Applications from products. NASA observations, computing Space” Decadal Survey, with non-research facilities, and research findings contribute inputs related to national needs and realistic directly to improved Earth-system models. budget constraints. The overall program is These models codify our scientific knowledge specified and guided by the interagency- and – when coupled with global satellite approved 2010 “NASA Climate-Centric measurements – can be used to predict future Architecture for Earth Observations.” In its evolution on many time scales.

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BUDGET EST. ($M)

President’s FY13 Budget Request FY2012 FY2013 FY2014 FY2015 FY2016 FY2017

Earth Science (Mission) $1760.5 $1784.9 $1775.5 $1835.6 $1826.2 $1772.8 Table 4.6-2: Earth Science Budget Runout

This budget supports the Earth Science portfolio of programs and mission activities. It is a subset of the total Science Mission Directorate budget.

 Research and Analysis: Competitively FUNCTIONS selected research to broadly advance Within SMD, the Earth Science Division is Earth system science in NASA’s responsible for strategic planning and identified Science Focus Areas implementation of NASA’s wide range of (Atmospheric Composition, Water and Earth-focused strategic/systematic and Energy Cycle, Climate Variability and innovative/competed mission, research, Change, Carbon Cycle and Ecosystem, applications, technology development, data Weather and Meteorology, and Solid system/ modeling activities, and programs. Earth) and their component disciplinary programs. This includes necessary science-based airborne and in-situ data  Earth Science Strategic Missions: acquisition activities. Facility (NASA-led) satellite missions to acquire key measurements required for  Applied Science Program: This advancement of Earth system science, program addresses development and applications development, and provision testing of new applications of Earth of direct societal benefit. Mission science research and missions and objectives and capabilities are guided by provision of direct societal benefits the NRC’s 2007 Earth Decadal Survey (including interagency and international and the 2010 NASA Climate Architecture capacity-building) — primarily via documents. partnerships with other federal and non- federal agencies — to extend the utility  Earth System Science Pathfinder and benefit of NASA observations and (ESSP)/Venture Class Missions: Low- science results by incorporating them into cost, rapidly developed, competitively those agencies’ decision support systems. selected, research and applications missions to foster revolutionary  Earth Science Technology Program: A innovation and train future leaders of focused program of competed technology space-based Earth science and research and development projects that applications. Venture class includes advances Earth observing instrumentation small satellite, instrument (for orbital and data management to make future flight on missions of opportunity), and missions feasible and affordable. suborbital investigations.

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IMPORTANT ACTIVITIES (expected launch dates in parentheses): Landsat Data Continuity Continue the 40-year, global, moderate (15 m – 120 m, depending on wavelength) Mission (2013) resolution time series of multispectral land cover used by researchers, state and local Strategic mission governments, and the private sector. Also acquires thermal infrared data used extensively by crop monitoring and water management. Joint mission with USGS. Global Precipitation Provide accurate, extensive (near-global), frequent (every 4 hours) measurements of Measurement (2014) precipitation via a core satellite and a constellation of smaller satellites. International Strategic mission collaboration with JAXA. Stratospheric Aerosol and From its position on the International Space Station, extend the time series of precision, Gas Experiment III - near-global measurements of atmospheric ozone, water vapor, and aerosol profiles for International Space Station research and operational prediction uses. Joint with NASA/HEOMD and the European (2014) Space Agency. Continuity mission Orbiting Carbon Provide first-ever global measurements of atmospheric carbon dioxide with accuracy and Observatory-2 (2014) precision necessary to determine the roles of extended natural oceanic and terrestrial Competed mission sources/sinks in the global carbon cycle. Recovery for 2009 mission lost due to a launch vehicle failure. Soil Moisture Active- Soil moisture and freeze-thaw for weather and hydrological cycle research; SMAP soil Passive (2014) moisture measurements will improve weather forecasts as well. Strategic mission Ice, Cloud and land Precision, extensive, frequent, satellite laser measurements of polar ice topography/extent, Elevation Satellite-2 (2016) and mid-latitude vegetation heights for land carbon standing stock research. Strategic mission Cyclone Global Navigation First Venture-class competitive orbital mission to use a constellation of small satellites Satellite System (2017) measuring GPS signals reflected from the ocean surface to make first-ever, frequent Venture class competed measurements of winds and air-sea dynamics under extreme and dynamic small satellite hurricane/tropical cyclone conditions. CYGNSS data will advance research and improve hurricane intensity forecast accuracy. Gravity Recovery and Precision gravity measurements to extend the ongoing GRACE time series; data used to Climate Experiment Follow- monitor polar ice mass changes, and continental water resources including sub-surface on (2017) aquifers. Joint with with Germany’s Research Centre for Geosciences (GFZ). Continuity mission Operation Ice Bridge (2009- Innovative, semi-annual, sustained airborne campaigns in both the Arctic and the Antarctic, 2018) utilizing advanced instrumentation to measure ice topography and dynamics, bridging Airborne Campaigns between the ICESat-1 mission (which ended in 2009) and the 2016 launch of ICESat-2. Table 4.6-3: Important Activities

PLANETARY SCIENCE DESCRIPTION cover an entire planet) to harbor life, be it life arising on that planet or visiting from Earth, Solar system exploration is a grand human including identifying the hazards and enterprise that seeks to discover the nature, resources present as humans explore space. origin, and history of the celestial bodies The Planetary Science program pursues a among which we live, and to explore whether strategy of surveying planetary bodies of life exists beyond Earth. Underlying this interest, and targeting for return visits to those science element is the theme of habitability— most likely to enable greatest progress toward the capacity of an environment (which could the National Research Council’s (NRC)

• 142 • The NASA Presidential Transition Binder decadal survey. The current scientific  Outer planets: Jupiter and its satellites, foundation is described in the NRC’s “Visions especially Europa; and its and Voyages for Planetary Science 2013 – satellites, especially Titan and Enceladus; 2022” publication. The Planetary Science Uranus and its satellites; Neptune and its Division lays out its programs along three satellites, including Triton; Pluto and its major classes of destinations: satellites; and Kuiper Belt Objects

 Inner planets: Earth’s moon, Mars and its  Small bodies: Comets and asteroids satellites, , and Mercury

BUDGET EST. ($M)

President’s FY13 Budget Request FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Planetary Science (Mission) 1501.4 1192.3 1133.7 1102.0 1119.4 1198.8 Table 4.6-4: Planetary Science Budget Runout

This budget supports the Planetary Science portfolio of programs and mission activities. It is a subset of the total Science Mission Directorate budget.

 The : FUNCTIONS SMD, working with the Human The Planetary Science Division is responsible Exploration and Operations Directorate for strategic planning and implementation of (HEOMD), the NASA Chief its portfolio of missions and programs. Technologist (OCT), the Space Technology Mission Directorate, and the NASA Chief Scientist (OCS), is leading  : a series of small efforts to reformulate NASA’s Mars Principal Investigator (PI)-led planetary program activities. Our goal is to design missions solicited from the community a cross-Directorate Mars Exploration as complete scientific investigations via Program that is consistent with both an open, competitive Announcement of available resources and the science Opportunity. objectives contained in the National  : a series of PI- Research Council’s decadal surveys. led medium planetary missions solicited from the community as complete scientific investigations via an open, competitive Announcement of Opportunity.

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 Operational Missions: The Planetary Surface, Space Environment, Science Division’s highly successful Geochemistry, and Ranging or operating missions are providing a MESSENGER mission is completing its steady stream of exciting and extended mission orbiting Mercury. The scientifically vital results. Cassini is in spacecraft is scheduled to an extended mission around Saturn. The provide the first close flyby of Pluto in spacecraft has completed its study July 2015, and the Juno spacecraft will of the asteroid Vesta and is on its way to begin polar orbiting Jupiter in August its next target, Ceres. The Opportunity 2016, opening new vistas on our solar and Curiosity rovers are alive and well system. on the surface of Mars, with the Mars Reconnaissance Orbiter, Odyssey, and  Research & Analysis: Discoveries and Mars Express orbiting above. The Lunar concepts in the R&A program are the Reconnaissance Orbiter is in its genesis of scientific priorities, new extended science mission at the moon, mission concepts and science while the twin Gravity Recovery and instruments, and scientific investigations Interior Laboratory spacecraft are exploiting mission data. completing their extended mission to study the lunar interior. The Mercury

IMPORTANT ACTIVITIES (expected launch dates in parentheses) Lunar Atmosphere and Dust Environment Implements one of the eight science goals in the NRC’s Scientific Explorer or LADEE (2013) Context for Exploration of the Moon report. Strategic Mission Mars Atmosphere and Volatile Evolution A medium-sized Mars aeronomy mission to capitalize on new science, Mission (MAVEN) (2013) and to address science objectives from the previous planetary science Competed decadal survey. Discovery Program (2015) Opportunity for a small planetary mission; more than one mission may Competed be selected. Interior Exploration using Seismic A geophysical lander on Mars to study its deep interior and help Investigations, Geodesy and Heat Transport understand the processes that shaped the rocky planets of the inner or InSight (2016) solar system (including Earth). Competed OSIRIS-REx (2016) An asteroid rendezvous and sample return mission that will provide a Competed wealth of knowledge about C-type asteroids and early solar system materials.

New Frontiers (2016) Opportunity for a medium planetary mission; more than one mission Competed may be selected. Table 4.6-5: Important Activities

HELIOPHYSICS DESCRIPTION solar system present us with a complex, We now know that the sun, the solar system, interacting set of physical processes. It is the and the region of the galaxy just outside the one part of the cosmos accessible to in situ scientific investigation, our only hands-on

• 144 • The NASA Presidential Transition Binder astrophysical laboratory. The NRC decadal  Safeguard the Journey of Exploration: survey, Solar and Space Physics: A Science Maximize the safety and productivity of for a Technological Society (NRC, 2012), human and robotic explorers by enabling articulated the scientific challenges of this the capability to predict the extreme and field and recommended missions and research dynamic conditions in space. programs to meet them to culminate in the achievement of a space weather predictive The Heliophysics spaceflight strategy is to capability to aid endeavors on Earth and in deploy modest-sized missions as frequently as space. possible to form a small fleet of spacecraft that operate simultaneously to understand the As reflected in the 2009 NASA Heliophysics sun, heliosphere, and planetary environments Roadmap (Note: The Roadmap is in the process as a single connected system. Heliophysics of being updated to account for the 2012 Decadal spacecraft are used collectively as a single Survey), three Heliophysics science and observatory (the Heliophysics System exploration objectives guide the selection of Observatory), which provides measurements mission concepts and related investigations: across distributed spatial scales that can be linked with a variety of models to enable  Open the Frontier to Space predictions of tomorrow’s space environment. Environment Prediction: Understand Continuing and evolving this distributed asset the fundamental physical processes of the allows Heliophysics to better understand the space environment from the sun to Earth, space environment, safeguard the journey of to other planets, and beyond to the exploration, and meet national needs for interstellar medium. predicting space weather and its impact on Earth.  Understand the Nature of Our Home in Space: Understand how human society, technological systems, and the habitability of planets are affected by solar variability and planetary magnetic fields.

BUDGET EST. ($M)

President’s FY13 Budget Request FY2012 FY2013 FY2014 FY2015 FY2016 FY2017

Heliophysics (Mission) 620.5 647.0 643.0 636.7 638.3 661.6 Table 4.6-6: Heliophysics Budget Runout

This budget supports the Heliophysics portfolio of programs and mission activities. It is a subset of the total Science Mission Directorate budget.

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 Sounding Rockets and Management of FUNCTIONS the Wallops Rocket Range: The Heliophysics Division is responsible for Opportunities to test instruments prior to strategic planning and implementation of its flight on orbital missions, to provide portfolio of missions and programs. scientific and mission management experience to new investigators, to provide training for graduate students,  Solar Terrestrial Probes provide and to make measurements that enhance understanding of the fundamental plasma the total scientific return. Heliophysics processes inherent in all astrophysical also manages the Wallops range for the systems. benefit of NASA and other agencies.  consists of missions  Partnerships with the Department of targeted toward those aspects of the sun Defense, NOAA, Department of and space environment that most directly Energy, and National Science affect life and society. Foundation to provide science payloads  Explorer program complements the two on missions that fulfill objectives of strategic mission programs described participating government agencies and to above through smaller, competitive PI-led conduct collaborative research projects missions. that advance the understanding and mitigation of the space environment and  Heliophysics Research Program: its effects on national assets. Physics-based modeling has played an increasingly important role both in defining the missions and in interpreting their observations. Working with universities, other government facilities, and industrial labs, the research program conducts several competitive grant programs for theory, modeling, and research and analysis efforts.

IMPORTANT ACTIVITIES. (expected launch dates in parentheses): Interface Region Imaging Spectrograph Trace the flow of energy and plasma into the corona and heliosphere. (IRIS)(2013) Competed, PI-led Magnetospheric Multiscale (MMS) (2015) Study microphysics of fundamental plasma processes. Strategic Mission Explorer (NET 2016) PI-led mission, and potentially a mission of opportunity to be selected in Competed, PI-led Spring 2013. Solar Orbiter (2017) Partnership with ESA to measure properties and dynamics of solar Strategic Collaboration wind. Solar Probe Plus (2018) Study the processes controlling heating of the solar corona. Strategic Mission Table 4.6-7: Important Activities

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We are discovering how planetary systems ASTROPHYSICS DESCRIPTION form and how environments hospitable for life develop. And we will search for the signatures The Astrophysics Division science spans the of life on other worlds, perhaps to learn that vast reaches of the cosmos throughout space we are not alone. This is the broad sweep of and time, from exploration of the beginning of science articulated in the NRC decadal survey time in the universe, through the development New Worlds, New Horizons in Astronomy and of galaxies and stars, to the search for life on Astrophysics (NRC, 2010). The decadal planets outside our solar system. The science survey identifies national scientific goals in goals of astrophysics are breathtaking. We are this arena and identifies priority missions for starting to investigate the very moment of both NASA and the National Science creation of the universe and are working to Foundation, which has the lead for ground- construct the full history of stars and galaxies. based astronomy.

BUDGET EST. ($M)

President’s FY13 Budget FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Request

Astrophysics 672.7 659.4 703.0 693.7 708.9 710.2 Table 4.6-8: Total Astrophysics Budget Runout

FUNCTIONS  Cosmic Origins Program: This program comprises projects that enable the study The Astrophysics Division is responsible for of how stars and galaxies came into strategic planning and implementation of its being, how they evolve, and ultimately portfolio of missions and programs. This is how they end their lives. carried out through three focused and two cross-cutting programs. In addition, the James  Physics of the Cosmo: This program Webb Space Telescope (JWST) is managed explores the most extreme physical through implementation under a special conditions of the universe, from black programs office in SMD that reports to the holes to dark energy. This involves NASA Associate Administrator. After launch studying the building blocks of our own and commissioning, the responsibility for existence at the most basic level: the managing and operating JWST returns to the matter, energy, space, and time that create Astrophysics Division. the living universe.  Exoplanet Exploration: This program The three focused programs are based on aims to advance our understanding of science areas that together span the range of planets and planetary systems around NASA’s astronomy and astrophysics research, other stars (“extrasolar planets” or simply and provide an intellectual framework for “exoplanets”). The ultimate goal of this advancing science and strategic planning. program is to extend this exploration to the detection of habitable, Earth-like planets around other stars, to determine how common such planets are, and to search for indicators that they might harbor life.

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The two cross-cutting programs complement  Research and Analysis (R&A): the focused programs by developing and Sponsored research programs prepare for launching smaller missions through the the next generation of missions, through Astrophysics and by theoretical research, technology supporting the basic and applied research development, data analysis, and activities through the Astrophysics Research suborbital investigations. These Program. programs are essential for pioneering new approaches to advancing the science  Explorer Program: Explorers are objectives, maximizing scientific return smaller, focused, PI-led missions that of future and operating missions, and provide opportunities for innovative training the workforce required to ensure science with relatively moderate future competitiveness. investments. They provide a means for responding rapidly to new scientific and technical breakthroughs. The latest NRC decadal survey New Worlds, New Horizons in Astronomy and Astrophysics recommended an increased number of Explorer missions throughout the decade, to enable rapid response to science opportunities.

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IMPORTANT ACTIVITIES (Launched dates in parentheses): Stratospheric Observatory for Infrared Observations of stellar and planet-forming environments. Astronomy (SOFIA) (ongoing) Strategic Explorer (EX) mission (final selection PI-led mission; exoplanet science. expected early 2013, with launch 2017) Competed Mission of Opportunity (MoO) (selection PI-led missions; science depends on final selection. One MoO expected expected 2013, with launch 2017-2018) to launch in 2017, another in 2018. Competed James Webb Space Telescope (JWST) In development 2013; successor to HST and Spitzer, JWST will answer (launch planned for 2018) fundamental astrophysical questions, ranging from the formation and Strategic Mission structure of the universe to the origin of planetary systems. Small Explorer (SMEX) (solicitation PI-led mission; science depends on final selection. expected late 2013/early 2014) Competed Explorer (solicitation planned for 2015 or PI-led mission; science depends on final selection. later) Competed Wide field infrared survey telescope (early Medium- to large-class mission, designed to settle essential questions in next decade) both exoplanet and dark energy research, and to answer key questions Strategic Mission about the formation, growth, and structure of galaxies.

Table 4.6-9: Important Activities

JAMES WEBB SPACE TELESCOPE and spectroscopic observations in the wavelength range 0.6 to 27 um. JWST will In 2010, the James Webb Space Telescope study galaxies across cosmic time and unlike (JWST) mission became a separate Program Hubble, will see the earliest stars and galaxies Office within SMD. JWST is a strategic formed in the universe shortly after the Big astrophysics mission centered on a 6.5-meter Bang. This is done in large part by having a larger mirror (6.5 meters in diameter versus infrared telescope and designed to study and answer fundamental astrophysical questions, 2.4 meters for HST) with a collecting area ranging from the formation and structure of seven times greater than HST. Also, JWST the universe to the origin of planetary will remotely examine the atmospheres of systems. A scientific successor to the Hubble exoplanets. It is currently scheduled for and Spitzer Space Telescopes, the JWST will launch in the 2018 time frame. be used by astronomers to conduct imaging

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BUDGET EST. ($M)

President’s FY13 Budget FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Request JWST 518.6 627.6 659.1 646.6 621.6 571.1 Table 4.6-10: James Webb Space Telescope (JWST) Budget Runout (not including cost of facilities)

JOINT AGENCY SATELLITE DIVISION Full Time Employees (FTEs) who staff the DESCRIPTION JASD division.

The Joint Agency Satellite Division (JASD) BUDGET ($M) helps move forward the National Academy of Sciences’ recommendations on Earth science JASD programs are fully reimbursable, and as observations. The Academy stated in its 2007 such, the budgets lie with our partner Earth Science decadal survey that “[s]ustained agencies. measurements of . . . key climate and weather variables are part of the committee’s strategy FUNCTIONS to achieve its vision for an Earth observation and information system in the next decade.” JASD is responsible for managing Earth- (p. 33). JASD advances this effort by working observation satellite development work for our with other agencies to obtain these agency partners. measurements.  Acquisition and Development: Carry SMD established JASD in April 2010 out procurement for and development of following the former Administration’s reimbursable satellite systems for partner decision to replace the National Polar-orbiting agencies. Operational Satellite System (NPOESS) with the NOAA/NASA Joint Polar Satellite System  Project Management: Apply standard (JPSS) and the DOD Defense Weather NASA program and project management Satellite System (DWSS). JASD builds on processes to ensure mission success for NASA’s history of successfully executing our partners with a focus on efficiently reimbursable satellite programs on behalf of managing operational satellite other agencies. The requirements and budget acquisitions. flow from the partner agencies, namely  Partner-Agency Interface: Engage NOAA, and NASA is responsible for the partner agencies early in the Federal space, and often ground, systems development Government planning process, support and acquisition. those agencies in their engagements with OSTP, OMB, and Congress, and offer the JASD program funding is fully reimbursable; agencies a single interface for the only JASD-related expense NASA incurs development and management of their is the employment of the NASA Headquarters satellite projects.

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IMPORTANT ACTIVITIES (expected launch dates in parentheses): Suomi-NPOESS Preparatory Technology demonstration for NPOESS (now JPSS); provide data continuity between Project (2011) key elements of the NASA (EOS) satellites and the first JPSS Ongoing mission satellite. NOAA partnership. Joint Polar Satellite System-1 Provide data continuity for global environmental data used in numerical weather (2016) prediction models, climate modeling, and space weather observations. NOAA Strategic mission partnership, which has partnered with EUMETSAT and JAXA. JPSS Freeflyer-1 (2016) Provide continuation of global environmental change observations. Complementary Strategic mission mission to JPSS-I that will fly additional instruments. NOAA partnership. Joint Polar Satellite Strategic Provide data continuity for global environmental data used in numerical weather System-2 (2021) prediction models, climate modeling, and space weather observations. NOAA Strategic mission partnership, which has partnered with EUMETSAT and JAXA. JPSS Freeflyer-2 (2021) Provide continuation of global environmental change observations. Complementary Strategic mission mission to JPSS-2 that will fly additional instruments. NOAA partnership. Jason 3 (2014) Provides ocean topography measurements for determining ocean circulation, climate Strategic mission change, and sea level rise used in ocean weather-operational oceanography, surface wave forecasting and evaluation, and hurricane intensity forecasting. NOAA partnership, which has partnered with EUMETSAT and CNES. Geostationary Operational Provide geosynchronous environmental monitoring with greater resolution and coverage, Environmental Satellite-R the first geo-orbiting lightning mapper, and increased capability to detect space weather Series (2015, 2017, 2019 & and solar events. NOAA partnership. GOES-S, GOES-T, and GOES-U, which will have 2024) the same purpose as GOES-R, are set to follow in two-year intervals. Strategic mission MetOp (2006, 2012, 2016) EUMETSAT satellites that provide weather data services to monitor climate and improve Ongoing mission weather forecasts worldwide. NOAA partnership. Climate Sensors (2016) Measure the Earth’s overall thermal radiation balance. Provides for restoration of a suite Strategic mission of sensors originally demanifested from NPOESS. NOAA partnership that will fly aboard JPSS-I and JPSS Freeflyer-I. Deep Space Climate Provide an early warning of solar storms to enhance the nation’s space weather Observatory (2014) prediction capabilities. NOAA partnership, with the launch vehicle provided by DOD. Strategic mission Table 4.6-11: Important Activities

KEY PERSONNEL including three to service the Hubble Space Telescope. Grunsfeld’s background includes Dr. John M. Grunsfeld, Associate research in high energy astrophysics, cosmic Administrator, was appointed in January ray physics, and in the emerging field of 2012. He previously served as the Deputy exoplanet studies with specific interest in Director of the Space Telescope Science future astronomical instrumentation Institute in Baltimore, MD, managing the science program for the Hubble Space Charles J. Gay, Deputy Associate Telescope and the forthcoming James Webb Administrator, has served NASA in senior Space Telescope. In 2008, he was NASA’s management positions for over ten years. He Chief Scientist. Selected as an astronaut in was previously Deputy Director of the Office 1992, he flew on five space shuttle missions, of System Safety and Mission Assurance at

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Goddard Space Flight Center. He also served and Space Station programs. Since 1988, he as Deputy Director of the Heliophysics has held a series of progressively responsible Division at NASA Headquarters where he was management positions in the Space Shuttle, responsible for programmatic development Space Station, Earth Science, and Space and implementation of NASA’s solar physics Science programs. When the Space Science and geospace science program. In addition to and Earth Science programs merged in 2004 his experience at NASA, Gay has over 20 to become the Science Mission Directorate, years experience in the aerospace industry, Maizel became Director of the Business including Vice President of a division of Management Division. In 2005, Maizel Litton Advanced Systems. became Director of the Management and Policy Division, a position he held until his Michael R. Luther, Deputy Associate appointment to his present position in June Administrator for Programs, has over 42 2008. years of industry and government experience in the development and management of space Dr. Marc S. Allen Deputy Associate based scientific remote sensing systems. He Administrator for Research (Acting), joined NASA’s Langley Research Center in manages Directorate-level science activities 1981 for the development, launch and early including the solicitation, evaluation, and mission operations of a series of Earth remote selection process for SMD, the SMD Science sensing instruments. Since joining NASA Management Council, and SMD’s research Headquarters in 1987, Luther has held a series policies and procedures. He is the Directorate of positions with increasing responsibilities lead for Agency-wide science activities including Upper Atmosphere Research including grants activities, peer review Satellite Program Manager, Earth Science services, and postdoctoral and graduate Division Flight Program Director, Deputy student fellowship programs. Before coming Associate Administrator in the Office of Earth to NASA in late 1997, he served for seven Science, and Deputy Associate Administrator years as Director of the National Research for Programs in the Science Mission Council’s Space Studies Board. Previously, he Directorate (SMD). held management positions at CTA Incorporated and Computer Sciences Roy A. Maizel, Deputy Associate Corporation, working at NASA’s Langley Administrator for Management, joined Research Center and Goddard Space Flight NASA in 1981 as a Presidential Management Center in the areas of space systems analysis Intern, and acquired extensive experience as a and applications software development. Program Analyst on both the Space Shuttle

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4.7 SPACE TECHNOLOGY MISSION DIRECTORATE

discipline areas and technology readiness MISSION STATEMENT levels (TRL) from concept study to flight demonstration. By funding a mixture of early Space technology enables future human and stage conceptual studies (TRL 1-3), ground- scientific exploration, just as current and past based and laboratory testing aimed at mission successes were supported by previous demonstrating technical feasibility (TRL 3-5), technology investments. and relevant environment flight demonstrations (TRL 5-7), Space Technology Space Technology Mission Directorate helps NASA attain a balance between (STMD)-developed technologies have high mission-driven technology investments and potential for offsetting mission risk, reducing the long-range, transformational technology cost, and advancing existing capabilities, and capability investments required to meet thereby enabling more challenging missions. our Nation’s far-reaching goals. STMD NASA identifies target technologies through facilitates infusion of available and new the Strategic Space Technology Investment technology into operational systems that Plan (managed by the Office of the Chief support specific human-exploration missions, Technologist) and through regular science missions, and aeronautics. coordination with HEOMD and SMD. Progress is ensured through a steady cadence Significant progress in technology areas such of solicitations and ground and flight as space power systems, entry, descent, and demonstrations. landing systems, propulsion, radiation protection, and cryogenic fluid handling are This approach provides NASA and the essential for human exploration beyond low aerospace industry with a sustainable pipeline Earth orbit. By investing in high-payoff of technology advances. In addition, Space transformative technology, Space Technology Technology develops the technology matures the capabilities required for NASA’s workforce through research fellowships and future, provides new capabilities, and lowers early career faculty and center innovation the cost for other government agencies and grants. Space Technology spurs innovation private industry. The development of through small businesses, prizes and advanced and innovative aerospace challenges, and through providing suborbital technologies is critical for our nation to meet flights for technology demonstrations. its goals to explore and understand the Earth, our solar system, and the universe. In managing its investments, STMD employs a portfolio approach that spans a range of

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ORGANIZATIONAL STRUCTURE

Figure 4.7-1: Organizational Structure of STMD

WORKFORCE

STMD has an allocation of 25 Full Time Equivalent (FTE) Civil Servants.

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FUNCTIONS and core knowledge are by-products of the GCD program, the objective is to rapidly Technology Demonstration Missions (TDM) matures and demonstrates mature transformational innovations for crosscutting technologies, preparing them follow-on system-level flight demonstrations. GCD invests in for rapid infusion into future human exploration and science missions. The goal transformative space technologies that lead of this program is to bridge the gap between to advances in terrestrial capabilities as well early technology development and mission as serve as a stimulus to the U.S. economy infusion by maturing revolutionary, system- while providing inspiration and opportunity level space technologies and demonstrating to our nation’s youth. these technologies in a relevant operational environment (ground, air, suborbital, or NASA’s Small Business Innovative orbital regime). STMD flight projects reduce Research (SBIR) and Small Business risk and enhance capabilities for NASA’s Technology Transfer (STTR). Congress Exploration and Science missions by established the Small Business Innovation demonstrating advanced technologies Research (SBIR) Program in 1982 and the allowing for mission infusion. TDM similar, but smaller, Small Business provides frequent opportunities for Technology Transfer (STTR) Program in demonstration through competitive 1992. All federal agencies with extramural solicitations. TDM is working with NASA R/R&D budgets exceeding $100 million are centers and Mission Directorates, aerospace required to administer an SBIR Program. industry providers, and other domestic and Five of these agencies with R/R&D budgets international partners to demonstrate exceeding $1 billion are also required to technologies that have the potential to administer an STTR Program. The Program’s specific objectives are to benefit multiple NASA missions, other government agencies, and the space stimulate U.S. technological innovation, use industry. small businesses to meet federal R/R&D needs, increase private-sector commercialization of innovations derived Game Changing Development (GCD) seeks to identify and rapidly mature from federal R/R&D, and to foster and innovative/high impact capabilities and encourage the participation of socially technologies that may lead to novel ideas disadvantaged and women-owned and new approaches for the Agency’s future businesses. The STTR Program has the missions. The most promising ideas are additional intent of encouraging formal advanced from the early design phase linkages between small businesses and non- through significant ground-based and/or profit research institutions. For NASA, the laboratory testing. SBIR and STTR Programs have the dual objectives of providing the small business Project teams are held accountable for sector with an opportunity to develop ensuring that discoveries move rapidly from technology for NASA and commercializing the laboratory to application. GCD projects that technology to spur economic growth. produce both subsystem and system-level NASA’s SBIR/STTR Programs support multidisciplinary innovations. Component early-stage research and development by and discipline innovations are developed small businesses through competitively when needed to enable system and advanced awarded contracts. Space Technology capabilities. While advances in discipline works with NASA Mission Directorates and

• 155 • The NASA Presidential Transition Binder centers to ensure solicitations include broad significant promise for future application research topics consistent with the technical toward NASA missions and strategic goals. challenges and opportunities for the Agency. By funding annual research announcements, STMD is able to accelerate emerging space Small Spacecraft Technology develops and technologies, foster innovation, and build demonstrates technologies to enable new skills in future technological leaders. small spacecraft capabilities for NASA’s missions in science, exploration, and NASA Innovative Advanced Concepts operations. Small spacecraft can provide a (NIAC) solicits low Technology Readiness low-cost platform for rapid in-space testing Level (TRL) research in support of NASA of new technologies and operational and Space Technology programs. In the innovations. Small spacecraft can also of the original NIAC, the program perform unique missions that would not be seeks innovative, technically credible possible with conventional spacecraft, such advanced concepts that could one day as simultaneous space weather observations change what is possible in aeronautics and from dozens of small satellites distributed space. NIAC efforts improve the Nation’s around the globe. Development and leadership in key research areas, enable far- demonstration projects now underway with term capabilities, and spawn disruptive NASA small spacecraft include high- innovations that make aeronautics, science, capacity radio communications, laser space travel, and exploration more effective, communications and navigation, rendezvous affordable, and sustainable. The NIAC core and docking, and demonstration of a program is managed from NASA HQ and communications network among ten supports innovative research through two separate spacecraft using one ground station. phases of study. Phase I awards are typically Another innovative project demonstrates the nine-month efforts (up to $100 thousand) to use of Smartphone electronics as the explore the overall viability and advance the computer and navigation system for a Technology Readiness Level (TRL) of satellite. Technology development in the visionary concepts. A follow-on Phase II is coming year is expected to focus on available to eligible recipients of Phase I propulsion to enable new mission awards in order to develop the most capabilities in Earth orbit and deep space. promising Phase I concepts for up to two The results of the program’s development years (about $500 thousand) and explore and demonstration missions will be shared infusion paths within NASA and beyond. with the national space community to Candidate studies may be selected from provide opportunities for infusion into multiple sources: educational institution, ongoing or planned missions. commercial or not-for-profit organization, research laboratory, federal agency, or Space Technology Research Grants NASA centers (including the Jet Propulsion promotes research in technology fields Laboratory). Any one study may have a through two competitive opportunities. First, team with a mix from all of these entities. NASA provides award funds for competitive grants to university-based researchers Center Innovation Fund stimulates and conducting foundational research in space encourages creativity and innovation at the technology. Second, NASA competitively NASA centers. Distributed among the awards fellowships for graduate student NASA centers, this program provides seed research (Masters and Doctorate) that shows funding for new technologies, innovations,

• 156 • The NASA Presidential Transition Binder and creative ideas that stem from the development of the commercial reusable Agency’s talented workforce. The funds are suborbital transportation industry. The distributed among the NASA centers to project also procures commercial parabolic allow them to support early stage innovative flights to test technologies in environments technology initiatives that leverage center that simulate microgravity and the reduced talent and capability. The activities are gravity environments. By facilitating access envisioned to fall within the scope of NASA to these relevant flight environments, STMD space technology roadmaps or technology provides the science and aerospace addressing a significant national need. community an opportunity to work with STRG supports 128 student research fellows NASA and other industry and government from 50 universities across 26 states and 1 partners, to ensure that technologies are territory. developed to further the Nation’s interests.

Through the Center Chief Technologist, STMD Mission Support Functions at NASA field centers conduct competitions to Headquarters include resource management, select ideas and projects and provide communications, outreach and educational appropriate oversight. Detailed feedback activities, and strategic integration, for the describing the innovation pursued and mission directorate. These functions include progress made help determine the potential budget formulation and execution, financial for follow-on funding. management, program resources status analysis, OMB and Congressional budget Centennial Challenges: The Centennial preparation, quality control over all budget Challenge program is designed to directly submittals, and independent budget cost engage the public at large in the process of estimate and profile validation. advanced technology development that is of value to NASA’s missions and to the IMPORTANT ACTIVITIES aerospace community. This is done through the offering of Congressional authorized Low Density Supersonic Decelerators prize purses and associated challenges demonstrates new technologies capable of developed by NASA and the aerospace safely landing high-mass payloads on community and set up as a competition planetary surfaces. This project element awarding the prize money to the first designs, develops, and tests ring sail individual or team to achieve the specified parachutes and supersonic inflatable braking technology challenge. The program goal is systems. to stimulate development of innovative solutions for technical problems that are Laser Communications Relay impeding growth in areas of interest to Demonstration flies and validates a NASA. Through these challenges, NASA reliable, capable, and cost-effective optical encourages the participation of independent communications technology. Optical teams, individual inventors, student groups communications technology provides data and private companies of all sizes in rates up to 100-times higher than today’s aerospace research and development. radio communication systems. These higher bandwidth capabilities are necessary for Flight Opportunities matures technologies future human and robotic space missions. by providing affordable access to space The technology is directly applicable to the environments while also facilitating the next generation of NASA’s space communications network. After the

• 157 • The NASA Presidential Transition Binder demonstration, the developed space and science observations and other applications. ground assets will be qualified for use by Each satellite carries an instrument for near-Earth and deep space missions measuring the space radiation environment requiring high bandwidth and a small and the information from all satellites will ground station reception area. be collected through a single ground station.

Deep Space Atomic Clock validates a Cryogenic Propellant Storage and miniaturized mercury-ion atomic clock that Transfer demonstrates the capability of in- is 10 times more accurate than today’s space long-term storage and the ground based navigation systems. This microgravity transfer of cryogenic project element will demonstrate ultra- propellants (liquid oxygen and hydrogen), precision timing in space and its benefits for essential for transportation on deep-space one-way radio-based navigation. Precision exploration missions. Cryogenic propellant timing and navigation is critical to the storage and transfer is the most critical performance of a wide range of deep space Space Technology demonstration for human missions and has the potential to improve exploration. Beyond the initial development the Nation’s next generation GPS system. of Space Launch System and the Orion Multi-Purpose Crew Vehicle (Orion MPCV) Solar Sail Demonstration deploys and currently underway, the next essential operates a solar sail with an area seven times architecture element to extend human larger than ever flown in space. It is presence beyond low Earth orbit is the potentially applicable to a wide range of development of a long-duration cryogenic future space missions, including serving as propulsion stage. The cryogenic propulsion an advanced space weather warning system stage must be capable of performing long- to provide more timely and accurate notice term storage (greater than six months) and of solar flare activity. This technology also transferring cryogenic propellants such as could allow for propellant-less deep space liquid oxygen and liquid hydrogen. Creating exploration missions. NOAA is this capability relies on the successful collaborating with NASA and L’Garde Inc. demonstration of the Cryogenic Propellant on the demonstration. Storage and Transfer project element.

Robotic Satellite Servicing conducts Human-Robotic Systems develops demonstrations, such as the active Robotic advanced robotics technology to amplify Refueling mission on ISS, and formulates human productivity and reduce mission risks the architecture options and technology by improving human-robot interaction, needs for future robotic servicing missions. robotic assistance, and providing in-space The project element intends to spur the and surface servicing, manipulation, and growth of a new commercial satellite- mobility systems. This effort also supports servicing industry. This is an important the Agency’s role in the National Robotics technology development effort for future initiative and Human Exploration Earth orbital and deep space exploration Telerobotics demonstrates continued and missions and is managed by the HEOMD. progressively challenging operations for 2, as well as remote robotic Edison Demonstration of Smallsat operations using ISS, planetary rovers, and Networks (EDSN) will fly a group of 10 other human robotic systems efforts matured small satellites to demonstrate their utility as for demonstration. low-cost platforms for coordinated space

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Composite Cryogenic Propellant Tanks resources to deliver flight hardware for uses advanced composite materials to numerous flight programs, and led the develop very large, lightweight propellant formulation of a variety of programs in tanks applicable to future NASA human aeronautics, exploration and science. He has exploration architecture elements including served as the project manager for the Mars the Space Launch System and its cryogenic Science Laboratory entry, descent and propulsive stage. landing instrumentation project during the formulation and design phases. He led MAJOR ISSUES formulation of an advanced laser-based rendezvous and docking sensor system. FY 2014 Budget Limitations for Space Gazarik led Langley’s formulation of the Technology based on projected flat budget Autonomous Landing and Hazard profile: Avoidance (ALHAT) project that has  Statutory requirements for SBIR and developed advanced senor systems for STTR mandate increase over next planetary landings. Prior to joining NASA, several years, while NASA and Gazarik served as project manager for the STMD’s budgets remain flat; Geosynchronous Imaging Fourier Transform  STMD is managing multiple projects Spectrometer (GIFTS) project at the through key life cycle milestones, Massachusetts Institute of Technology’s which require increased resource Lincoln Laboratory. Gazarik also worked in demands; and the private sector on software and firmware  Identified technology needs are development for commercial and greater than available funding, government applications. Gazarik earned reducing flexibility to pursue high his Bachelor of Science in Electrical priorities including: solar electric Engineering from the University of propulsion demonstration (strong Pittsburgh in 1987. He earned a Masters of Congressional interest); entry, Science in 1989 and Ph.D. in 1997, both in descent, and landing demonstrations; Electrical Engineering, from the Georgia radiation mitigation; and high- Institute of Technology. Gazarik has performance spaceflight computing. received numerous awards, including NASA’s Outstanding Leadership Medal and KEY PERSONNEL the Silver Snoopy Award. He has authored or co-authored more than 20 peer-reviewed Dr. Michael Gazarik, Associate publications. Administrator, has over 25 years of experience in the design, development, and Dr. James Reuther, Deputy Associate deployment of spaceflight systems. He has Administrator for STMD, oversees contributed to the development of operations of Space Technology’s nine technology with application to NASA’s development programs. Prior to his time at Exploration Systems, Space Operations and NASA Headquarters, Reuther served as the Science missions. Gazarik came to NASA Lead of the Test and Verification (T&V) Headquarters from NASA’s Langley Office for the Orion spacecraft development. Research Center (LaRC) in Hampton, VA, After graduating from the University of where he was the deputy director for California, Davis with a Bachelors, Masters, programs in the Engineering Directorate. In and Ph.D. in mechanical and aeronautical this role, he focused the directorate’s engineering, Reuther performed

• 159 • The NASA Presidential Transition Binder foundational research in Aerodynamic recognition for his contribution in ESAS, he Shape Optimization. He served as the earned the NASA Exceptional Service computation aerothermal sub-team lead for Medal. Reuther became the Project Manager the Columbia Accident Investigation Board for the Orion, Thermal Protection System (CAIB) and NASA’s Return to Flight (RTF) (TPS), Advanced Development Project efforts under the Space Shuttle Program. (ADP), where he lead a team to successfully Reuther also served on the 15 Member deliver two integrated heat shield designs for NASA Exploration Systems Architecture the Crew Exploration Vehicle (CEV) Study (ESAS) core team where they team preliminary Design Review. Reuther has led a multi-center team of hundreds of received numerous awards, including NASA engineers and scientists to develop NASA’s Exceptional Achievement Medal, the architectural roadmap for NASA’s future the Silver Snoopy Award, and the NASA human space exploration systems. In Outstanding Leadership Medal.

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4.8 MISSION SUPPORT DIRECTORATE

MISSION STATEMENT reducing institutional risk to NASA’s current and future missions by improving The Mission Support Directorate (MSD) processes, stimulating efficiency, and provides effective and efficient institutional providing consistency and uniformity across support to enable the Agency to successfully institutional capabilities and services. accomplish its missions. It focuses on

ORGANIZATIONAL STRUCTURE

Figure 4.8-1: Mission Support Directorate Organizational Chart

OVERALL RESPONSIBILITIES Specifically, the Associate Administrator for MSD: The Associate Administrator (AA) for MSD reports to the NASA Deputy Administrator.  Oversees management and assesses individual mission statements for the functional areas of the Offices of

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Human Capital Management, (CAS) accounts, Agency and Center Strategic Infrastructure, Management and Operations (AMO, Procurement, Protective Services, CMO), and Construction of Facilities Internal Controls and Management and Environmental Compliance and Systems, Headquarters Operations, Restoration (CoF and ECR, or the NASA Shared Services Center, CECR). and the NASA Management Office.  Oversees the management of CAS  Develops and implements plans that funds at Headquarters and centers, include the organization’s goals, including establishing consistent objectives, metrics, and actions practices and reporting across the needed to execute the strategic goals Agency. and outcomes in the NASA Strategic  Ensures that personnel competencies Plan. and facility capabilities required to  In concurrence with Center meet NASA’s strategic needs are Directors, approves the assignment, identified and provided. promotion, discipline, and relief of  Ensures that NASA Headquarters is the principal mission support official provided the institutional services at each center and assesses their and products necessary to support performance. Provides a written effective operations. evaluation of the principal mission  Ensures that the procurement, support official at each center, which security, counter-terrorism/counter- shall be attached to that individual’s intelligence, internal control and annual performance appraisal. management activities are effectively  Ensures integration and alignment of provided in support of NASA’s mission support activities in support mission and strategic needs. of Agency strategic needs and  Provides oversight of NMO interfaces with the NASA Deputy responsibilities and activities related Administrator, the Associate to contract management and Administrator, and the Chief of Staff oversight of the Jet Propulsion to support integration and alignment laboratory (JPL) and the Applied of these activities. Physics Laboratory (APL).  Achieves consistency of approach to  Manages the Headquarters Corporate improve functional performance Management and Operations budget across the Agency. processes.  Monitors MSD functional programs’  Ensures statutory, regulatory, and performance, as well as the fiduciary compliance. effectiveness and efficiency of  Serves as a liaison to external programs and processes. organizations performing similar  Provides an integrated projection of functions and to stakeholders who functional activities with associated establish government-wide policies costs and workload implications and requirements. across the Agency.  Oversees reporting as required by  Oversees the preparation, Congress, the Office of Management presentation, and execution of the and Budget, and other external mission support budget. This bodies. includes all Cross Agency Support

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SPECIAL RELATIONSHIPS responsible for managing an annual budget of approximately $750 million, and The Associate Administrator for MSD overseeing a workforce of approximately serves as a core member of NASA’s 1,680 civil service employees that is Mission Support Council and member of the supported by approximately 1,580 Program Management Council. The contractors. The center has 24 major Associate Administrator for MSD serves as facilities and over 500 specialized research Chair of the NASA Shared Services and the facilities located at the 350-acre Cleveland Chair of the Senior Assessment Team site and the 6,400-acre Plum Brook Station (SAT). site in Sandusky, Ohio. At Glenn, Whitlow led research and development efforts in the LINE OF SUCCESSION areas of aero-propulsion, in-space propulsion, aerospace power and energy In the following order: Deputy Associate conversion, communications technology, Administrator for Mission Support; and human research. From September 2003 Executive Director for Headquarters through December 2005, Whitlow served as Operations; Assistant Administrator for the Deputy Director of the NASA John F. Human Capital Management; Assistant Kennedy Space Center. There his duties Administrator for Strategic Infrastructure. included assisting the director in determining and implementing center policy KEY PERSONNEL and in managing and implementing the center's missions and agency program Mission Support Directorate responsibilities in the areas of processing, Associate Administrator: Woodrow launch, and recovery of launch vehicles; Whitlow, Jr. processing of spacecraft; and acquisition of launch services. Prior to this appointment as Woodrow Whitlow, Jr. is the Associate Deputy Director, he served as the Director Administrator for Mission Support of Research and Technology at the Glenn Directorate at NASA Headquarters. He was Research Center. Whitlow began his appointed to that position by Administrator professional career in 1979 as a researcher at Charles F. Bolden on Feb. 3, 2010. the NASA Langley Research Center, Hampton, Va. He assumed various positions The Mission Support Directorate enables of increasing responsibility before moving program and institutional capabilities to to the Glenn Research Center in 1998. In conduct NASA’s aeronautics and space 1994, he served as Director of the Critical activities. As the directorate’s associate Technologies Division, Office of administrator, Whitlow is responsible for Aeronautics, at NASA Headquarters. most NASA management operations, Whitlow earned his bachelor of science, including human capital management, master of science and doctor of philosophy headquarters operations, agency operations, degrees in Aeronautics and Astronautics the NASA Shared Services Center, strategic from the Massachusetts Institute of infrastructure, cross-agency support, and Technology. He also holds an honorary construction and environmental compliance doctor of engineering degree from Cranfield and restoration. Prior to being appointed to University. He has written more than 40 his current position, he was director of the technical papers, most in the areas of Glenn Research Center. There, he was unsteady transonic flow, aeroelasticity and

• 163 • The NASA Presidential Transition Binder propulsion. Whitlow has received Corps Volunteer in Zaire, now the numerous awards, including the Presidential Democratic Republic of the Congo. She also Rank of Distinguished Executive, has served as the Chief Human Capital Presidential Rank of Meritorious Executive, Officer at the Department of Health and U.S. Black Engineer of the Year in Human Services' Office of Inspector Government, NASA Exceptional Service General, as well as the U.S. International Honor Medal, NASA Equal Opportunity Trade Commission. In addition, she has held Honor Medal, the (British) Institution of positions at the Office of Federal Housing Mechanical Engineers William Sweet Smith Enterprise Oversight, the National Imagery Prize, Minorities in Research Science and Mapping Agency, the Defense Scientist-of-the-Year Award, and National Intelligence Agency, the U.S. Information Society of Black Engineers Distinguished Agency and the U.S. Engineer of the Year Award. The American Institute of Aeronautics and Astronautics Strategic Infrastructure elected him as a Fellow in 2010. Assistant Administrator: Olga Dominguez

Human Capital Management Olga M. Dominguez became the Assistant Assistant Administrator: Jeri Buchholz Administrator for NASA’s Office of Strategic Infrastructure on June 26, 2006. Jeri L. Buchholz became NASA's Chief She leads the agency infrastructure policy Human Capital Officer and Assistant efforts and the integration of infrastructure Administrator for Human Capital issues in support of accomplishing NASA’s Management on Aug. 1, 2011. Science, Aeronautics, Space Operations and Exploration Missions. As the Assistant Administrator for Human Capital Management and NASA's Chief Previously, Dominguez served as the Human Capital Officer, Buchholz has Deputy Assistant Administrator for the stewardship responsibility for NASA's Office of Infrastructure and Administration. workforce. She advises and assists the Prior to that assignment, she served as the Administrator by carrying out Director of NASA’s Environmental responsibilities in accordance with the Chief Management Division, where she was Human Capital Officers Act of 2002. Her responsible for agency environmental policy responsibilities include setting the agency's and guidance, agency environmental workforce development strategy, assessing budgets and support to the NASA workforce characteristics and future needs Administrator on environmental issues. She based on the agency's mission and strategic joined NASA Headquarters in 1990 and plan; aligning the agency's human resources became a member of the United States of policies and programs with organizational America Senior Executive Service in 1998. mission, strategic goals, and performance Earlier in her career, Dominguez directed outcomes; and, serving as a member of the the environmental program for the Navy's Office of Personnel Management-led Chief David Taylor Research Laboratories and Human Capital Officers Council. Buchholz was a lead enforcement inspector for the served as the Associate Director for Human State of Maryland's Department of the Resources Operations and Policy at the U.S. Environment and the Prince George’s Nuclear Regulatory Commission. She began County Health Department. The recipient of her public service career in 1981 as a Peace numerous awards, Dominguez has received

• 164 • The NASA Presidential Transition Binder the Presidential Rank Award of Management, Mr. Henn served as Acting Distinguished Executive for 2007; the Assistant Administrator for Internal Controls Presidential Rank Award of Meritorious and Management Systems. In that position, Executive; the Presidential Award for Mr. Henn was responsible for restructuring Leadership in Energy Management; Stennis the Office and for designing and Space Center’s Frontline Award; NASA’s implementing an integrated Agency Cooperative External Achievement Award; approach to meet NASA’s internal control and, NASA’s Medal for Outstanding responsibilities. The Office also provided a Leadership. She was named one of “The 80 range of related administrative support to the Elite Hispanic Women” by the Hispanic Agency in areas such as audit liaison, Business magazine in April directives management, and management 2002. Dominguez's educational background systems. Previously, Mr. Henn served as includes a Bachelor of Science degree in Assistant Associate Administrator for Fish and Wildlife Management, with Enterprise Operations in the Aeronautics emphasis in Zoology. She brings over Enterprise; as Director for Management twenty-five years of experience in Programs in the Office of Aeronautics and leadership and management spanning local, Space Transportation Technology; and as state and federal governments. She and her Director for Strategy and Policy in the family reside in Annapolis, MD. Office of Aeronautics. From June 2000 to April 2001, Mr. Henn was on detail to the Headquarters Operations Smithsonian Institution’s National Air and Executive Director: Jay M. Henn Space Museum (NASM). At NASM, Mr. Henn served as Executive Officer to the Mr. Jay M. Henn is the Executive Director Director and worked on issues of joint for Headquarters Operations. NASA/NASM interest, including the U.S. Centennial of Flight Commission. In In this capacity, Mr. Henn provides the recognition of his multiple contributions to executive leadership and oversight for the the Agency, Mr. Henn has been awarded the services and products required to support the NASA Outstanding Leadership Medal, the effective operations of NASA Headquarters, NASA Exceptional Service Medal (two including facilities services, information times) and the Aeronautics Peer Excellence technology, human resources, logistics, Award (two times), and was the recipient of acquisition management, and business a NASA Graduate Fellowship. In 2004, Mr. management. Immediately prior to his Henn received the Presidential Rank Award current position, Mr. Henn was the Deputy of Meritorious Senior Professional. Prior to Assistant Administrator for Human Capital joining NASA in 1988, Mr. Henn was a Management, and served as NASA’s Deputy management consultant with Temple, Chief Human Capital Officer (CHCO). As Barker & Sloane, Inc., in Lexington, the Deputy CHCO, Mr. Henn supported the Massachusetts. While at TBS he developed, Agency and the Office of Human Capital managed, and conducted international Management in developing and projects in strategic planning, industry and implementing the human resources policies, financial analysis, organization design, and procedures, and systems needed by the management development for Fortune 100 NASA workforce to successfully carry out clients in the transportation, the Agency’s mission. In 2007, while on telecommunications, automotive, and detail from the Office of Human Capital natural resources industries. Mr. Henn holds

• 165 • The NASA Presidential Transition Binder a Bachelor of Arts degree with Honors in During his tenure with CCE, Mr. Smith held Anthropology and Mathematics from the numerous positions in the United States and University of Arizona and a Master of Arts Western Europe, including CFO of Coca- degree in archaeology from Harvard Cola Beverages in Brussels, Belgium; University. While at Harvard he conducted director, Project Europe in London, fieldwork in France, Yugoslavia, and England; and director of CCE’s Shared Central America. He also holds an MBA Services Center in Tampa, Fla. Mr. Smith from the Harvard Business School, and is a received a Bachelor of Business Distinguished Graduate of the Industrial Administration degree in Accounting from College of the Armed Forces, where he was Kennesaw State University near Atlanta, awarded a Master of Science degree in Ga., and is a Certified Public Accountant. National Resource Strategy in 1997. Internal Controls and Management NASA Shared Services Center Systems Executive Director: Michael Smith Director: Nancy Anne Baugher

Michael J. Smith serves as the executive Nancy Anne Baugher came to NASA in director of the NASA Shared Services June, 2012 to serve as NASA’s Director of Center (NSSC) in Hancock County, Miss., Internal Controls and Management Systems. where he leads a team of more than 550 civil In this role, she is responsible for providing service and service provider employees. Mr. executive and functional leadership, policy Smith joined the NSSC as deputy director development, technical expertise, and on January 18, 2011, and has served as the oversight of NASA’s integrated internal NSSC’s executive director since November control program. OICMS also establishes 6, 2011. As executive director of a multi- and maintains the requirements for the function shared services center, which documentation and promulgation of internal includes financial management, information NASA policies, requirements, and external technology, human resources, procurement regulations codified in the Code of Federal services, and business support services, Mr. Regulations, as well as manage NASA’s Smith provides agency services to NASA External Audit Program. employees, contractors, grantees, and vendors. Additionally, he manages the Ms. Baugher holds a Bachelor’s degree in NSSC’s operating budget of $320 million in Technology and Management and a the Fund (WCF), Master’s degree in Management, HCA from approximately $100 million in non-WCF, the University of Maryland University and supports total payments of $18 billion a College. She is a Certified Public year for labor, travel, accounts payable and Accountant (CPA), Certified Government grants across NASA. Prior to joining the Financial Manager (CGFM), Chartered NSSC, Mr. Smith most recently served as a Global Management Accountant (CGMA), consultant to the Coca-Cola Company, Registered School Business Official providing support to executive management (RSBO), Certified Government Performance for a global shared services center strategy, Manager, and Lean Six Sigma Greenbelt, including initial implementation of the SAP among other credentials. model in China. In previous roles, Mr. Smith had an impressive 17-year career Prior to Federal service, Ms Baugher served working for Coca-Cola Enterprises (CCE). in senior finance and administration roles in

• 166 • The NASA Presidential Transition Binder public and private entities including service of the directorate's portfolio, which included organizations, manufacturing organizations, the development of the Ares and Orion wholesale distributorships, not-for-profits, vehicles. universities, and state and local government. Formerly Assistant Dean at the University of McNally was with the Air Force until he Maryland College of Life and Chemical retired in 2003 at which time he joined Sciences she began a Federal career at the industry. Most recently, he provided Department of Homeland Security (DHS) consulting advice to NASA as part of the and stood up the Agency’s first controller’s Exploration Systems Architecture Study. He shop for the management of over $20 billion was a senior acquisition manager at two in program dollars. With this and other companies where he provided consulting contributions and ground breaking advice and training to Federal agencies on endeavors she received a DHS CFO Medal Performance Based Acquisition and of Excellence. acquisition advice to the Pentagon Renovation Program. During his 26 year Ms Baugher is also a recipient of the military career, McNally was involved in International Eagle Award from the many facets of acquisition. These included Association of School Business Officials for positions as a contract administrator and her contributions to Schools, Community industrial specialist for the Atlas Space and Profession, and the Certificate of Program, as a contracting officer and Excellence Award in Comprehensive manager for the Tomahawk Cruise Missile, Annual Financial Reporting. and as the Director of Technology Contracts at the Strategic Defense Initiative Office. As Procurement a Commander of a Defense Plant Office he Assistant Administrator: Bill McNally oversaw the contract performance and business operations of a major defense Bill McNally is the Assistant Administrator company. He was the Chief of Air Force for Procurement and Deputy Chief Contracting Policy and the Military Deputy Acquisition Officer at NASA. He directs in the Secretary of Defense’s Acquisition NASA's procurement functions throughout Reform Office. Mr. McNally shared his the Agency, providing strategic policy, procurement expertise as a professor at the leadership, and direction. He guides and Defense Systems Management College and oversees NASA’s procurement activities in as the Air Force Element Commander at the every area from programs studying the Earth Defense Acquisition University. McNally to missions going into our solar system. He holds a Level III certification in Contracting. represents NASA procurement to the He is both a Certified Professional Contracts Executive and Legislative branches of the Manager and a Fellow in the National Federal Government, industry, and Contract Management Association. His international organizations. McNally was decorations include the NASA Exceptional appointed as the Assistant Administrator for Service medal, the Air Force Legion of Procurement in September 2007. McNally Merit, the Defense Meritorious Service joined NASA in October 2005 as special Medal, the Defense Superior Service Medal, procurement advisor in the Exploration and numerous Joint and Air Force Systems Mission Directorate. In this Commendations Medals. position, he provided strategic direction and contract management advice for all elements

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Protective Services Officer at Day and Zimmerman, then Vice Assistant Administrator: Joseph S. President and General Manager, Integrated Mahaley Security Solutions, at DRS Technologies. Mr. Mahaley also founded Security Joe Mahaley is the Assistant Administrator Strategies LLC, a consulting company, and (AA) for Protective Services at NASA. He was the Senior Vice President and Division leads the Office of Protective Services Manager of the Applied Systems Division at (OPS) and is the focal point for policy Parsons Corporation. After leaving Parsons formulation, oversight, coordination, and in 2009, he worked as an independent management of the Agency’s protective consultant and advisor to numerous services. As the AA for OPS, he oversees companies, including, among others, the NASA’s security management, intelligence Abraham Group, Watermark Risk analysis, counter-intelligence/counter- Management International, ManTech terrorism (CI/CT) services, national security International Corporation, InfoZen, Logan systems, handling of sensitive and classified Research, and SRC Incorporated. He is a information, identity, credential, and recipient of the DOE’s highest honorary systems management, emergency award, the Secretary of Energy’s Gold management, and continuity of operations Award with medallion and rosette, the DOE functions. Mr. Mahaley is the former Distinguished Career Service Award, the Director of Security and Emergency National Nuclear Security Administration Operations at the U.S. Department of Award for Exceptional Contributions to Energy (DOE) and has over 35 years of National Security Programs, the 2003 experience in the government, military and Nuclear Security Information Exchange private sectors. At DOE, he managed Certificate of Excellence and the 2001 department-wide security policy, continuity Presidential Rank Award, Meritorious of operations, continuity of government, the Senior Executive. He also served as a National Training Center and the security of Charter Member of the U.S. Federal Law DOE’s Headquarters operations in the Enforcement Training Accreditation National Capital region, with responsibility Board. Mr. Mahaley graduated with merit for 240 federal staff and a $250 million from the United States Naval Academy and annual operating budget. When he retired received his Juris Doctor degree with honors from DOE in 2003, he was the DOE’s from George Washington University. In longest serving senior security official. Prior 2010, he was named a Fellow and Affiliate to his appointment as DOE’s security Faculty Member of the nationally and director, he served as the Assistant General internationally recognized Center for Counsel for Defense Programs and National Infrastructure Protection and Homeland Security, the senior legal advisor to DOE’s Security at George Mason University Law nuclear weapons, nonproliferation and School. Mr. Mahaley is also a retired U.S. security programs. Following his service at Navy Captain. DOE, Mr. Mahaley served as a security advisor to the Sandia Corporation Board of NASA Management Office Directors, overseeing Sandia National Director: Eugene H. Trinh Laboratories; a government-owned, contractor operated U.S. National Eugene H. Trinh is currently the Director Laboratory. He was also Vice President, of the NASA Management Office (NMO) Government Strategies and Chief Security located at the Jet Propulsion Laboratory,

• 168 • The NASA Presidential Transition Binder

California Institute of Technology. NMO is (USML-1) Space Shuttle flight. This an element of the NASA Headquarters Columbia/Spacelab mission was launched Mission Support Directorate. Before coming on June 25 1992, and lasted a record- to the NMO, Dr. Trinh has held NASA breaking 14 days. Headquarters positions of Manager of the Human System Research and Technology Dr. Trinh graduated with a BS in development program in the former Mechanical Engineering from Columbia Exploration Systems Mission Directorate, University and with a PhD degree in and of Director of the Physical Sciences Engineering Science from Yale University. Research division in the former Office of He has authored over sixty peer-reviewed Biological and Physical Research (OBPR). technical papers, holds six patents, and is the recipient of the NASA Space Flight Medal, To join NASA Headquarters in 1999, Dr. the NASA Distinguished Achievement Trinh left his position as a Senior Research Medal, and the NASA Headquarters’ Scientist at the Jet Propulsion Laboratory Creative Management Award. Dr. Trinh was where he had conducted experimental and a Fellow of the Acoustical Society of theoretical research in Fluid Dynamics, America, a member of the American Fundamental Materials Science, and Physical Society and of the American Levitation Technology. Dr. Trinh was one of Association for the Advancement of two science payload specialists on the first Science. United States Microgravity Laboratory

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4.9 NASA CENTERS

This section discusses NASA’s 10 Centers:

 Ames Research Center: Simon P. Worden

 Dryden Flight Research Center: David D. McBride

 Glenn Research Center: Ramon (Ray) Lugo III

 Goddard Space Flight Center: Chris Scolese

 Jet Propulsion Laboratory: Charles Elachi

 Johnson Space Center: Michael L. Coats

 Kennedy Space Center: Robert Cabana

 Langley Research Center: Lesa B. Roe

 Marshall Space Flight Center: Patrick Scheuermann

 Stennis Space Center: Richard Gilbrech

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4.9.1 AMES RESEARCH CENTER (ARC)

MISSION STATEMENT Jose Bay Area alone. In addition, the highly successful Ames-based NASA Research Ames Research Center, located in Park (NRP) has over 70 on-site partners California’s , enables projected to add 33,800 jobs nationally and exploration through selected development, $5.8 billion in annual economic output upon innovative technologies, small affordable full build-out over the next decade. missions, and interdisciplinary scientific Combined, NASA Ames and the NRP discovery. Ames provides leadership in represent the potential to deliver up to ; the search for habitable 42,000 jobs nationally and $7.1 billion in planets, airborne astronomy, small satellites, annual economic impact. Ames also leads advanced thermal protection, intelligent / the agency in proactively pursuing, in adaptive systems, robotic lunar exploration, coordination with the Headquarters Office supercomputing, and air traffic management. of International and Interagency Relations, Ames develops tools for a safer, more international collaborations and is efficient national airspace and unique spearheading the agency’s efforts in small, partnerships benefiting NASA’s mission. inexpensive satellites. As a leader in information technology research with a Ames is located at the core of the research focus on supercomputing, networking, and cluster of high-tech companies, universities, intelligent systems, Ames also conducts the and laboratories that define the region’s critical R&D and develops the enabling character. With about 2,500 employees, and technologies that make NASA missions approximately $890 million total annual possible. Ames is at the forefront in entry, budget, Ames’ economic impact is descent, and landing systems, significant, and its location makes it a nanotechnology, synthetic and fundamental natural lead for innovative public/private space biology, biotechnology, aerospace, partnerships, such as those with , and human factors research. Ames is home Sun, Microsoft, the University of California, to three virtual institutes and works and Carnegie-Mellon University. In collaboratively with the FAA, conducting addition, Ames hosts more than 600 national research in air traffic management to make and international students annually. NASA safer, cheaper, and more efficient air travel a Ames currently generates $1.3 billion in reality. Ames engages in information and annual economic output, supporting over education outreach, and fosters commercial 8,400 jobs nationally, with 70 percent of application of NASA technologies. those jobs remaining in California and more than 5,300 jobs and $877 million in annual economic impact in the San Francisco/San

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ORGANIZATIONAL STRUCTURE

Figure 4.9.1-1: Ames Research Center Organizational Chart

WORKFORCE

ARC has an allocation of 1230 Full Time Equivalent (FTE) Civil Servants.

BUDGET EST. ($M)

President’s FY13 Budget Request FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 Ames Research Center $690.6 $710.6 $670.8 $648.0 $668.9 $773.9 Table 4.9.1-1: Ames Research Center Budget

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CORE CAPABILITIES intelligent systems to predict, detect, and diagnose hazards to aviation. To ensure the success of NASA’s missions, NASA Ames applies core competencies in The Science Directorate conducts world- the following: class space science, astrobiology, earth  Entry, Descent, and Landing science, and biological research to achieve Systems the strategic science goals of the Agency  Advanced Computing and IT and performs technology development Systems necessary to enable NASA’s goals for long duration human exploration beyond low  Intelligent Human and Robotic Earth orbit. The Exploration Technology Systems Directorate’s mission is to be world-class creators and facilitators of innovative,  Air Traffic Management intelligent, high-performance, and reliable exploration technologies that will enable  Aerosciences current and future NASA missions in space  Astrobiology and aeronautics. The work focuses on advanced supercomputing (Ames has one of  Space, Earth, and Life Science the fastest in the world), human systems integration, intelligent  End-to-End Execution of Low- systems, and entry systems. Cost Aerospace Missions The Programs and Projects Directorate  Synthetic Biology designs and builds unique spacecraft and FUNCTIONS manages a diverse series of advanced projects. The focus is on technologies, Ames Research Center is organized into two subsystems, methodologies, and concepts major groups of directorates: technical and for advanced space missions to lower the mission support. overall cost of scientific exploration, reduce the risks, reduce the time from commitment NASA Ames promotes NASA’s objectives to flight, and provide test beds for advanced, in Aeronautics by providing concepts and new technologies and flight “heritage” for technologies that make national impact on new spacecraft, launch systems, instruments, the efficiency and safety of flight. Ames and components. Ames current and recently enables NextGen through the development completed manifest includes: LCROSS of air traffic control automation technology. (2009 mission identifying water ice at the Ames fosters the development of south pole of the moon) and Kepler, as well revolutionary aviation concepts such as as the major programs/projects listed below. electric aircraft and airships. Ames also provides national R&D capabilities in In addition, Ames hosts the NASA wind tunnel testing and flight simulation, Astrobiology, Lunar Science, and and promotes aviation safety by developing Aeronautics Research Institutes—”virtual”

• 173 • The NASA Presidential Transition Binder organizations created to establish (or re- beyond our solar system include: the first establish) strong science and technology unquestionably rocky planet, the first communities in their respective areas. The multiple-transiting planet system, the first small planet in the habitable zone, and the Institutes are pioneering new ways of confirmation of a new class of double-star connecting people separated by distance as planetary systems. In April 2012, the well as disciplinary, organizational, and mission was approved to continue the search national boundaries in a cost-effective through FY16. manner. SOFIA: The Stratospheric Observatory for NASA Ames pioneers innovative tools, Infrared Astronomy, a joint venture of the methods, and partnerships to bring NASA to U.S. and German aerospace agencies, is the more people, and specifically to engage largest airborne observatory in the world. students to pursue Science, Techonolgy, SOFIA studies the universe at infrared wavelengths, capable of making Engineering, and Mathematics [STEM] observations that are impossible for even the disciplines and careers. Ames uses social largest and highest ground-based telescopes. networking, internships, summer student programs, and special events and programs LADEE: The Lunar Atmosphere and Dust such as Yuri’s Night, International Space Environment Explorer will orbit the moon to University, the Mars Curiosity Landing, the characterize its atmosphere and lunar dust transit of Venus, and The International environment. LADEE is scheduled to launch Space Orchestra, for creative, high-impact in 2013. experiences. In terms of outreach, Ames has undertaken a number of initiatives to engage IRIS: The Interface Region Imaging new, diverse communities in NASA’s Spectrograph will explore the solar exploration mission. Ames also supports chromospheres to provide greater understanding of energy transport into the educational excellence throughout 11 solar wind. Led by the western states, and encourages students to Advanced Technology Center, Ames will engage in hands-on activities like robotics. manage mission operations, flight More high school and college students operations, and ground systems activities. choose to study at Ames than at any other Ames’ Multi-Mission Operations Center NASA center. facility will be used for mission control. Launch is planned for February 2013. CURRENT MAJOR PROGRAMS/PROJECTS RAVB: Rigid Airship Variable Buoyancy is Kepler: Launched in March 2009, the a Department of Defense (DOD) project to Kepler mission—NASA’s first mission demonstrate the concept and technology of capable of finding Earth-size and smaller airship buoyancy control through the planets orbiting their parent stars—has compression of helium. This revolutionary identified more than 2,500 planet approach, the first rigid airframe airship candidates. Of these, approximately 70 have constructed in 80 years, has the potential to been confirmed as planets by the Kepler transform air transportation of cargo. Ames science team and the broader science provides project management, systems community. The mission’s discoveries engineering, structures, computational fluid

• 174 • The NASA Presidential Transition Binder dynamics, and test support to DOD on this (NRP) at NASA Ames is a world-class, effort. The project is scheduled to be shared-use Research and Development completed by the end of 2012. (R&D) and education campus for industry, academia, non-profits, and government. The PhoneSat: Ames has initiated the use of many universities located in the NRP, Smartphone technologies and components as especially Carnegie Mellon University and the basis to construct and demonstrate the Singularity University, not only have onsite lowest cost and highest performance degree programs, but are involved in spacecraft ever flown. Ames has assembled assisting graduate students to develop new and launched Phonesats which have the startups. potential to transform the use of space from The NRP, with over 30 startup companies, a hardware environment to a software continues to bring in new startups and (App)-based environment, just as the universities into current facilities, while personal computer, Smartphone, and tablet awaiting the construction of two large-scale have transformed mobile computing. This campuses. In 2008, two separate leases were revolution promises to open up space completed: the Google lease for their weather, remote sensing, and space construction of 1.2 million square feet of communications to new opportunities that new R&D and office facilities on 42 acres will transform space debris management, (to be built in 2013), and a consortium of Earth science and environmental universities called University Associates, led monitoring, and space internet-based by the University of California for nearly computational development. three-million square feet of new R&D labs, classrooms, and onsite dormitory housing. IMPORTANT ACTIVITIES These two new distinct campuses in the NRP will bring in thousands of International Collaborations: Ames leads predominantly young Google employees the agency in proactively seeking (with 20 percent of their time for their own international partners for cooperation and research). The University Associates leveraging precious resources for space Campus is expected to dramatically expand exploration. Ames currently also has the number of students and R&D employees technical collaboration agreements with onsite. Belgium, Canada, France, Italy, Japan, the Netherlands, Saudi Arabia, and the United PREMIERE TEST AND EVALUATION Kingdom, and are in discussion with CAPABILITIES Sweden, Germany, and South Korea regarding additional collaboration efforts. Arc Jets: In FY 2011, the Agency made the Ames is currently exploring potential decision to consolidate the entry, descent, collaborations with the following 17 and landing testing activities from two Arc countries: Ireland, Poland, Lithuania, Jet facilities to one Arc Jet at Ames. Switzerland, Czech Republic, Denmark, Australia, Bahamas, Trinidad and Tobago, High-end Supercomputing: NASA’s Colombia, Ecuador, Peru, Mexico, Brazil, flagship Pleiades is critical Argentina, Norway, and Belgium. for the modeling, simulation, and analysis of a diverse set of agency projects in aeronautics research, Earth and space NASA Research Park: In its ninth year, sciences, and the design and operation of with over 90 partners, NASA Research Park future space-exploration vehicles. The

• 175 • The NASA Presidential Transition Binder supercomputer is located at the NASA the individual technologies required, and Advanced Supercomputing facility at Ames. integrating these pieces into autonomous Pleiades also plays a key role in producing systems for flight missions and terrestrial high-fidelity simulations used for possible demonstrations. Areas of research and vehicle designs such as NASA’s upcoming development include adaptive control Space Launch System. technologies, control agent architectures, embedded decision systems, evolvable Wind Tunnels: Ames is home to the systems, intelligent robotics, adjustable Unitary Plan Wind Tunnel Complex and the autonomy, distributed and multi-agent National Full-Scale Aerodynamics Complex systems, goal-level commanding, and (NFAC). The wind tunnel facilities offer a planning and scheduling. broad range of proven testing capabilities to customers from industry, DOD, other Aerosciences: In Aeronautics research, government agencies, and academia. Ames continues to advance concepts and technologies for efficient national airspace Vertical Motion Simulator: This facility operations, tools to analyze aviation data for provides researchers with exceptional tools safety, methodologies to improve human to explore, define, and solve issues in both performance in the aviation system, and aircraft and spacecraft design. It offers fast technologies to enable quieter and more and cost-effective solutions using real-time capable rotorcraft. piloted simulation, realistic sensory cues, and the greatest motion range of any flight Atmospheric Airborne Research: Ames simulator in the world. leads the Agency in conducting scientific research on important environmental and Affordable Small Spacecraft: Ames climatic issues in stratospheric chemistry continues to build upon its success in and ozone depletion, climatic changes due developing architecture for low-cost to clouds, aerosols, and greenhouse gases, missions with space platforms ranging from stratosphere-troposphere exchange, and pico to micro satellites. The Ames approach perturbations in the chemical composition combines using in-house resources and of the troposphere. The center develops commercial off-the-shelf components and and deploys highly sensitive, state-of-the- strategic partnerships to efficiently cover art instruments to ground sites and on a full mission life cycles, from proposal variety of platforms including aircraft, development to science data analysis. balloons, unmanned aerial systems (UAS), and ships to make observations. Ames Intelligent Robotics: NASA’s exploration develops unique models of clouds, vision calls for closer cooperation between chemistry, dynamics, and radiative transfer humans and robots than ever before. processes to understand controlling Creating robust robotic assistants, as well as mechanisms and performs experiments to making key spacecraft systems self advance and understand the detailed sufficient, requires building systems that can dynamic chemical interactions in the adapt their behavior to environments that are stratosphere. complex, rapidly changing, and incompletely understood. Ames has unique NASA’s Sustainability Base is unlike any expertise and agency leadership in applying other government building ever created. autonomy to NASA missions, developing Dedicated in 2012, and using NASA

• 176 • The NASA Presidential Transition Binder innovations originally engineered for NASA and space issues; Staff officer for the space travel and exploration, the 50,000- President’s National Space Council. Worden square-foot, lunar-shaped Sustainability spearheaded efforts to revitalize U.S. civil Base at Ames is simultaneously a working space exploration and earth monitoring office space, a showcase for NASA systems. He has authored or co-authored technology, and an evolving exemplar for more than 150 scientific technical papers in the future of buildings. Sustainability Base astrophysics, space sciences, and strategic was awarded LEED platinum certification studies, served as a scientific co-investigator in April 2012. for two NASA space science missions and is a recognized expert on space issues – both MAJOR ISSUES civil and military. Worden retired in 2004 after 29 years of active service in the United Aging Workforce: Ames has been targeted States Air Force. with civil servant reductions for the past 20 years. Currently, 52 is the average age of an Lewis S.G. Braxton III is the Deputy Ames civil servant. The average age at other Director of NASA Ames Research Center. He holds a Bachelor of Science degree in NASA centers is 47 to 49. Ames is known accounting from California State University, for innovation, but the inability to have a Fresno, a degree in general management blended demographic makes it more from the Harvard Graduate School of difficult for the center to address complex Business, and has been recognized by problems and enact innovative solutions. NASA for his management and service excellence. He also has a Meritorious Facilities: There is a limited budget to Presidential Rank Award (2007). Braxton perform a managed replacement program for has served as the NASA Ames’ Chief the aging/beyond service life equipment Financial Officer and the Director for Center throughout the infrastructure systems at Operations. He has also qualified as a Certified Government Financial Manager Ames. The annual planned repair budget of (CGFM) through the Association of $750,000 is insufficient to replace all of the Government Accountants and maintains the presently obsolete systems. certification. Awards Braxton has received include NASA’s Exceptional Service Award KEY PERSONNEL in 1998 and a NASA Group Achievement Award for his involvement with the Dryden Dr. Simon P. Worden (Brig. Gen., USAF, Separation Team in 1996. In 1995, Braxton ret.) is the Director of NASA Ames received the NASA CFO Award for Research Center. Prior positions for Worden development and presentation of the include: Research Professor of Astronomy, Agency’s Financial Management Optical Sciences and Planetary Sciences at Crosscutting Report. He has been the University of Arizona; Director of recognized in numerous group achievement Development and Transformation, Space awards and for his contributions to the Ames and Missile Systems Center, Air Force African-American Advisory Group. In 2011, Space Command; Consultant to the Defense he served as acting Associate Administrator Advanced Research Projects Agency for the Mission Support Directorate at (DARPA) on space related issues; NASA Headquarters before returning to Congressional Fellow with the Office of Ames as Center Deputy Director. Senator Sam Brownback as advisor on

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Dr. Steven F. Zornetzer is the Associate Center Director, Technical, at NASA Ames Jack Boyd serves as Senior Advisor to the Research Center. He is an internationally Center Director, the Senior Advisor for recognized leader in neuroscience and History and the Center Ombuds. Jack started revolutionary, information technology-based at Ames in 1947, when it was the Ames applications to aerospace and space Aeronautical Laboratory and still part of the exploration missions. The breadth of his National Advisory Committee for expertise ranges from basic research in Aeronautics (NACA). He has served as cognitive, perceptual, and neural sciences to Executive Assistant to the Ames Center applied research in integrative biology, Director, Deputy Director of Dryden Flight biological information processing, molecular Research Center, Deputy and Associate biology, genetic engineering, and Director of Ames Research Center, and biomedical science. He plans, directs, and Associate Administrator for Management at coordinates the technology, science, NASA Headquarters. Additionally, he has development, and operational activities for served as Chancellor for Research for the research and advanced technology across a University of Texas System. His many broad spectrum of research and development awards include the Stanford Sloan including information technology. Zornetzer Fellowship, the NASA Exceptional Service was recognized for his contributions to Award, the NASA Outstanding Leadership NASA by receiving the Presidential Award, the Presidential Rank of Meritorious Meritorious Rank Award in 2001 from Executive, the NASA Distinguished Service President Bush. He has over 80 journal Medal, the Army Command Medal, and the publications and has published three books. NASA Headquarters History Award. He is also a Fellow of the American Institute of Deborah F. Feng is the Associate Director Aeronautics and Astronautics (AIAA) and is for Mission Support. Feng has over 20 years a member of the Academy of Engineering of experience in various critical positions at Excellence at Virginia Tech. Ames, including Center Operations Director, Deputy Director of New Ventures and In 2003, Boyd retired from the Ames Communications, Deputy Chief Financial Director’s Office to two full-time jobs. As Officer, and Associate Director for Research Center Ombuds, he hears privately about and Development Services. She has a vast problems and tries to illuminate how the amount of technical and operational problem can be solved within the Ames experience and spent the majority of the first culture. As Senior Advisor for History, he part of her career as a financial analyst, both continues to lecture frequently about the for Ames and the private sector. Feng has a Ames culture and how its leadership has Bachelor of Science degree in Mass evolved to fit the needs of the time. He Communications from the University of returned to the Director’s Office as Senior California, Berkeley and earned her Masters Advisor in 2006 and is currently a Principal of Science degree in Business Scientist at University of California Santa Administration from San Jose State Cruz with an IPA to NASA Ames. University.

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4.9.2 DRYDEN FLIGHT RESEARCH CENTER (DFRC)

MISSION STATEMENT airborne remote sensing and science missions; enables airborne astrophysics observation Advancing technology and science through missions to discover the origin, structure, flight. The Dryden Flight Research Center evolution, and destiny of the universe; and (DFRC), located at Edwards Air Force Base, supports operations of the Space Shuttle and California, performs flight research and the International Space Station for NASA and technology integration to revolutionize the Nation. Dryden supports activities in all aviation and pioneer aerospace technology; four of NASA’s Mission Directorates. validates space exploration concepts; conducts

ORGANIZATIONAL STRUCTURE

Figure 4.9.2-1: DFRC Organizational Structure

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The Dryden Flight Research Center is the vast, clear desert skies over Dryden. NASA’s primary center for atmospheric flight Dryden Flight Research Center plays a vital research and operations. Dryden is critical in role in advancing technology and science carrying out the Agency’s missions of space through flight. Here, we demonstrate exploration, space operations, scientific America’s leadership in aeronautics and space discovery, and aeronautical research and technology as we continue to push the development. Located at Edwards, California, envelope to revolutionize aviation and pioneer in the western Mojave Desert, Dryden is aerospace technology. uniquely situated to take advantage of the excellent year-round flying weather, remote WORKFORCE area with the country’s only overland supersonic corridor, and visibility to test some DFRC’s workforce distribution: of the nation’s most advanced and high-risk air vehicles.  Allocation of Full Time Equivalent (FTE) Civil Servants = 555.0 For over 60 years, projects at Dryden have led to major advancements in the design and  Contractors (Work Year Equivalents) = capabilities of many state-of-the-art civilian 620 and military aircraft. The newest, the fastest, and the highest – from human powered to rocket powered – all have made their debut in BUDGET EST. ($M)

President’s FY14 Budget Request FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Dryden Flight Research Center $260.8 $256.1 $241.6 $263.7 $245.7 $241.8

Table 4.9.2-1: Dryden Flight Research Center’s Budget Runout Estimates

science platforms, range and aircraft test CORE CAPABILITIES facilities. Dryden Flight Research Center maintains a core competency for the Agency of FUNCTIONS atmospheric flight research and test. The conduct of atmospheric flight research and test Dryden Flight Research Center has been requires expertise in 1) flight safety and risk NASA’s primary installation for flight management; 2) flight project and mission research for more than six decades. Dryden is management; 3) flight research technology; 4) chartered to conceive and conduct flight test operations; and 5) experimental experimental flight research and test for aircraft - piloted and unpiloted. advanced aeronautical and aerospace configurations. The center also provides a To maintain atmospheric flight research and very flexible and efficient science platform test as an Agency competency, the center capability. utilizes a system-of-systems approach to flight test with experienced flight operations and engineering staff, experimental and testbed aircraft, unmanned aircraft systems, airborne

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IMPORTANT ACTIVITIES — a flying observatory with a telescope onboard a 747 aircraft — completing In support of NASA’s Aeronautics Research modifications for initial science capability Mission Directorate (ARMD) and in science mission operations. New galactic partnership with the FAA, DOD, and industry, discoveries have already been accomplished Dryden is managing the technology with this new capability. development for Unmanned Aeronautical Systems integration into the National Airspace In support of NASA’s Science Mission System (UAS in the NAS), is managing Directorate (SMD), Dryden Flight Research research aircraft in the development of new Center is managing a fleet of Earth Science environmentally responsible technologies, and platforms (including Global Hawks, DC-8, supporting the demonstration of new Aviation ER-2s, C-20, and others) to provide in-situ Safety technologies. atmospheric measurements in support of atmospheric sensor developments, support for In support of the commercialization of space new large scale atmospheric process studies, services and human exploration in NASA’s and support for advanced use of satellite data. Human Exploration and Operations Directorate (HEOMD), Dryden Flight MAJOR ISSUES Research Center supports the development of U.S. commercial space developers and is Long-term Dryden roles have not been well supporting the atmospheric flight test for the defined in support of NASA’s efforts toward Dreamchaser vehicle. Also, in partnership space exploration. Dryden Center with Johnson Space Center, Dryden supports management is working with each mission the development and atmospheric testing of directorate management to address future NASA’s Multi-purpose Crew Exploration center roles. Vehicle (MPCV). Lack of systems level flight demonstration In support of NASA’s Space Technology activity in Aeronautics Research Mission Program and Office of Chief Technologist, Directorate (ARMD) is a challenge for Dryden manages the Flight Opportunities NASA’s atmospheric flight research and test Program designed to create multiple paths competency. Alternative aeronautics research through which innovative space technologies management models have been proposed to may be matured from concept to flight. The ARMD. program supports the evolving entrepreneurial commercial space industry in the development Center management and operations burden is of commercial vehicles and also facilitates a continuing challenge for small center access to a simulated space environment for operations. technology development. KEY PERSONNEL In support of NASA’s Science Mission Directorate (SMD), astrophysics, and space David McBride is Director of NASA Dryden science discovery, Dryden Flight Research Flight Research Center. Prior management Center, in partnership with Ames Research assignments include: Deputy Center Director, Center and the German Aerospace Center Flight Research Center Associate Director for (DLR), is managing the SOFIA (Stratospheric Programs and Mission Director for Planning Observatory for Infrared Astronomy) program and Business Development; Project Manager

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The NASA Presidential Transition Binder of the Agency’s Vehicle System Program, chair of the X-43 and X-38 flight readiness Flight & Systems Demonstration project; and reviews. Stoliker earned a Bachelor of Science Program Manager for the Agency’s Flight degree in Aerospace Engineering from the Research Program. McBride’s prior technical University of Southern California in 1978 and assignments include Chief Engineer for the X- a Master of Science in Aeronautics and 33 Extended Test Range, and lead Flight Astronautics from Stanford University in Systems engineer for the X-31 and X-29 1979. Programs. McBride received a Bachelor of Science degree in Electrical Engineering from Vince Chacon is Associate Director of NASA the University of New Mexico in 1985 and an Dryden Flight Research Center. Prior Executive Master of Business Administration assignments include: Director of Safety and from the University of New Mexico in 1998. Mission Assurance, Associate Director for Business Systems, Deputy Director for Patrick Stoliker is the Deputy Director of Research Systems, Chief of the Systems NASA Dryden Flight Research Center. Prior Engineering Branch, and Chief of the Flight assignments include: Acting Associate Systems Branch. Chacon’s prior technical Director for Operations, Deputy Associate assignments include: Chief Engineer for the Director for Operations, Director for Research Landing Systems Research Aircraft and Lead and Engineering, Assistant Director for Systems Integration Engineer for the High Programs and Projects, Associate Director of Alpha Research Vehicle and the X-29 Research Engineering, Project Manager of the Forward Swept Wing Vehicle. Chacon earned Dryden implementation of the Integrated a Bachelor of Science degree in Electrical Financial Management Program, and Chief of Engineering from the University of New the Controls and Dynamics Branch. Stoliker’s Mexico in 1970 and a Master of Science in prior technical assignments include Chief Systems Design and Management from the Engineer for the Digital Flight Control System Massachusetts Institute of Technology in upgrade for F-16XL, principal investigator for 2003. flight testing the JAS 39 control stick, and

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4.9.3 JOHN H. GLENN RESEARCH CENTER (GRC)

MISSION STATEMENT technologies to advance the exploration of our solar system and beyond while maintaining In support of the Agency’s mission, the leadership in aeronautics. In partnership with NASA Glenn Research Center (GRC) drives U.S. industries, universities, and other research, technology, and systems to advance government institutions, research and aviation, enable exploration of the universe, development efforts focus on advancements in and improve life on Earth. The NASA Glenn propulsion, power, communications, nuclear, Research Center (GRC) at Lewis Field and human-related aerospace systems. develops critical space flight systems and ORGANIZATIONAL STRUCTURE

Figure 4.9.3-1: GRC Organizational Structure

The John H. Glenn Research Center (GRC) at scientists and engineers pioneered the use of Lewis Field was established in 1941 as the liquid hydrogen for aircraft and rocket Aircraft Engine Research Laboratory of the propulsion in the 1940s and 1950s, which National Advisory Committee for Aeronautics eventually led to U.S. leadership in the (NACA). It was later renamed the Lewis development of the highly successful Centaur Research Center in honor of the late George upper stage with its liquid-hydrogen-fueled Lewis, NACA’s Director of Aeronautical RL–10 engines. Centaur, the Nation’s highest Research. The name was then changed in performing and most used upper stage, has 1999 to honor Ohio Senator John H. Glenn, launched spacecraft to Earth orbit, the moon, the first American to orbit the Earth. The GRC the planets (Voyager, Pioneer, Viking, and

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Cassini missions), and beyond for over 40 GRC’s work enabled the development of the years. In addition, GRC designed the largest GE90 jet engine, the world’s most powerful power system ever deployed in space. The aircraft engine, which powers the Boeing 777. technology was transferred to industry and Over the last 35 years, the maximum thrust of built for the International Space Station (ISS). commercial aircraft engines has been For aeronautics, GRC develops advanced increased from 40,000 lbf to over 100,000 lbf, technologies such as ultra-low-emission while specific fuel consumption at cruise has combustors, chevron nozzles, and aspirated been significantly decreased. The GRC fans to improve the performance of and reduce research and development has played an emissions and noise from aircraft engines. The important role in these advancements.

WORKFORCE

GRC’s workforce distribution:

 Allocation of Full Time Equivalent (FTE) Civil Servants = 1,652.0  Contractors (Work Year Equivalents) = 1,632

BUDGET EST. ($M)

President’s FY13 Budget Request FY 2013 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Glenn Research Center $641.3 $658.4 $668.3 $661.2 $649.9 $622.5 Table 4.9.3-1: Glenn Research Center’s Budget Runout Estimates

CORE CAPABILITIES Communications Technology and The GRC has many technical and institutional Development includes research, development, competencies. The six core competencies demonstration, and infusion for advanced approved by the center and described in this communications to enable order-of-magnitude section are critical to the health and future of increases in mission data transfer and the center. Glenn’s core competencies and continuous, cost-effective, and secure high- mission-enabling capabilities are integral parts data-rate communications. of the Agency capability portfolio that supports NASA’s strategic plan and missions. In-Space Propulsion and Cryogenic Fluids

Management includes the research, Air-Breathing Propulsion includes revolutionary concepts, technologies, and new technology development, technology systems aimed at significantly advancing air- demonstration, and flight development of breathing propulsion for aerospace vehicles components, subsystems, and systems for that enable reduced energy consumption, use spacecraft propulsion systems, propulsion of alternative energy sources, reduced noise stages, and cryogenic fluid flight systems to and emissions, increased versatility, improved enable new mission capability; increased safety of operations, faster modes of air reliability, safety, and affordability; and transportation, and reduced costs for aerospace travel. reduced trip times.

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Power, Energy Storage, and Conversion the Center Director to implement NASA includes the research, development, governance engineering checks and balances. demonstration, and application of new FACILITIES AND TEST DIRECTORATE technologies, subsystems, and systems for power generation; energy conversion and The Facilities and Test Directorate provides storage; and power management and management of all institutional and test distribution from concept to flight. facilities, systems, and infrastructure for NASA, the Glenn community, and outside Materials and Structures for Extreme industry. Services include engineering and Environments includes the research, design, systems operation, project development, demonstration, and application management, technician support, construction of advanced materials, structures, and management, and quality assurance mechanisms to enable high-performance, PLUM BROOK MANAGEMENT OFFICE long-life aerospace systems subjected to the extreme environments encountered in aircraft The Plum Brook Management Office provides engines, space propulsion systems, planetary unique world-class test facilities, which are reentry, planetary surface operations, and available for use by NASA, other long-duration space travel. governmental agencies, and the private sector. In addition, they provide full service facility Physical Sciences and Biomedical and test system preparation for complex and Technologies in Space includes the research, innovative research and flight programs. development, demonstration, and flight of Facilities can simulate the conditions of the advanced physical and biomedical systems to upper atmosphere, deep space, planetary and lunar environments, and cryogenics. enable sustainable exploration of space with enhanced safety, extended mission duration, SPACE FLIGHT DIRECTORATE and reduced deleterious effects of space. The Space Flight Directorate manages the FUNCTIONS planning, formulation, and implementation of flight systems, ground systems, and the ENGINEERING DIRECTORATE development of technologies in support of NASA’s space flight missions. In addition, The Engineering Directorate provides a full negotiates program, project, and task range of integrated engineering services, commitments with the appropriate mission including concept exploration and directorates and program/ project offices, and requirements development, preliminary manages the implementation of those design, detailed design, development, commitments via other GRC organizations, manufacturing, test, verification, certification, other NASA centers, and contractors. flight/ mission sustainment, and disposal. The directorate also provides full engineering AERONAUTICS RESEARCH OFFICE support through teams or individuals for Research, Technology, Facility, and Test The Aeronautics Research Office serves as the needs. The Director of Engineering serves as focal point for aeronautics research at NASA the engineering technical authority agent for Glenn Research Center and provides project

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The NASA Presidential Transition Binder management, leadership, and oversight in NASA management team, and NASA support of the Aeronautics Research Mission employees in four key areas: Technical Directorate (ARMD). It has responsibility for Excellence for the SMA Community; integrating requirements, representing Knowledge Management, Capture, and aeronautics research, advocating, negotiating Dissemination; Audits and Assessments; and for support, and communications across the Mishap Investigation Support. center and between the center and customers. Also, the office serves as the formal Center The center plans, organizes, and directs the Point of Contact (POC) between NASA activities required to strategically manage the Headquarters’ Aeronautics Mission services provided in most efficient, effective, Directorate and the Glenn Research Center. and user-friendly way possible. In addition, it utilizes in-house expertise and partnerships The office ensures successful execution of the with industry, universities, and other agencies aeronautics research projects by working to advance NASA’s safety mission. closely with other Directorates and Offices at NASA Glenn Research Center, other NASA IMPORTANT ACTIVITIES centers, academia, other government agencies, and industry. The GRC has roles in all of NASA’s missions:

SAFETY AND MISSION ASSURANCE HUMAN EXPLORATION & OPERATIONS DIRECTORATE  Co-manage, with Johnson Space Center, The Safety and Mission Assurance (SMA) the Crew & Service Module for the Orion Directorate ensures a safe, healthful, and Multi-Purpose Crew Vehicle and protective environment for the GRC International cooperation on European community and enables the mission success of Service Module our programs and projects.  Environmental testing at Plum Brook RESEARCH AND TECHNOLOGY DIRECTORATE Station for Orion and Commercial Space Program The Research and Technology Directorate  Lead payload shroud/fairing element of contains, directs, and maintains the core Space Launch System research and technology capabilities at the center. In addition, executes research and  Develop and operate microgravity fluids technology development activities in support and combustion experiments on the Space of NASA missions as well as project Station management for aeronautics research programs. Research and development  Space Station electrical power system; activities are conducted using in-house sustainment and upgrade facilities and in partnership with industry,  Agency lead for radio frequency (RF) universities, other NASA centers, and other spectrum management government agencies.  Development of advanced RF space NASA SAFETY CENTER communication system technologies

The NASA Safety Center provides Agency-  Operation of the Space Communication wide services to the SMA community, the and Navigation Testbed on Space Station

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 Human Research Program: Human AERONAUTICS Health and Exploration Medical Capability  Provides technical and project management leadership in propulsion and  Lead advanced modular power system high temperature materials, technology development instrumentation and dynamic controls,  Lead Spacecraft Fire Safety acoustic research, revolutionary demonstration project technologies, and aircraft concepts for the Fundamental Aeronautics Program. SCIENCE Serves as Host Center for the Fixed Wing Project.  Lead Radioisotope Power Systems  Provides project management leadership program and center researchers for tools, methods,  Lead Advanced Power System concepts, and technologies to improve development for solar system exploration overall aircraft safety of current and future aircraft Aviation Safety Program.  Management of the In-Space Propulsion Serves as the Host Center for the Technology Program Atmospheric Environment Safety Technologies Project.  Extreme environment testing facilities for solar system exploration  Provides technical and project management leadership to conduct SPACE TECHNOLOGY research at an integrated system level on promising propulsion and communication  Lead cryogenic propellant storage and concepts and technologies and transfer technology flight demonstration demonstrate the benefits in a relevant project environment for the Integrated Systems Research Program. Manages the  Lead high performance Solar Electric propulsion element under the Propulsion capability development Environmentally Responsible Aviation Project and the communication element  Lead fission power technology project for the Unmanned Aircraft Systems Integration in the National Airspace  Lead in-space propulsion technology System Project. development  Under the Aeronautics Test Program  Lead space power systems project investment, ensures GRC’s facilities are strategically aligned to critical needs for  Lead Manufacturing Innovation project national priorities. Develops innovative test methods.

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TECHNOLOGY CENTER MANAGEMENT AND OPERATIONS BUDGET (CM&O)  Lead seven technology research, The various services funded by the CM&O development, and demonstration areas, budget are critical to sustain a viable including cryogenic propellant storage and infrastructure and ensure the institutional transfer, solar electric propulsion, capabilities are available to support the nanotechnology, and energy storage Aeronautics, Science, Space Flight, and Space systems. Technology programs that are a part of GRC’s  Lead the new NASA Space Technology roles/ mission. This has become increasingly Research Grants Program, which includes difficult during this planning, programming, fellowships for over 100 graduate students budget, and execution (PPBE) cycle as the performing aerospace technology research. requirements for CM&O services remains steady in a declining budget environment. MAJOR ISSUES The CM&O budget has been reduced by over UNRESOLVABLE REQUIREMENTS 19 percent since 2009, either during the formulation or execution phases of the budget NASA’s workforce must increase the number process. Every year, the center scrutinizes of people with experienced and critical skills each functional area and has continually to meet the challenge of the center’s reduced services attempting to retain the responsibilities within NASA, specifically to services required for programs (with minimum fill skill gaps in areas like systems engineering risk) and safely operate the center. However, and software. At the same time, the center in order to stay within the PPBE14 guidelines, needs to increase the number of early career drastic reductions will have to be implemented, incorporating significant risk to hires to assure succession plans can be met. the center’s infrastructure and ability to Unfortunately, the size of the Glenn workforce support the programs. is capped, thus limiting the ability to achieve these increases. CURRENT MITIGATION STRATEGIES

CURRENT MITIGATION STRATEGIES A flat CM&O budget profile results in increasing reductions to the non-labor funding The GRC is giving priority to meeting near- as civil servant salaries grow with inflation. term milestones while the Agency constrains The FTE reduction proposed for CM&O was its overall hiring. It is also considering re-directed to procurements but is not buyouts to increase attrition. Finally, GRC is sufficient to offset the magnitude of the slightly reducing the number of co-op students reductions. A large portion of the CM&O in our pipeline so as to make room for early budget is contractor workforce and to get career (recent graduate) hires. The GRC is within the guidelines will require significant also managing all hiring decisions at the contractor layoffs. Center Director level, using dynamic prioritization processes. The CM&O reductions taken in FY11 (10 percent of the contractor workforce and 8 percent of purchases) were assumed to

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The NASA Presidential Transition Binder continue in the out years. The center continues Services, manager of Facilities and Support to pursue alternative ways to deliver services Equipment Division in the Space Station in order to reduce operating costs and looks Project Office, and chief of the Business for opportunities to find more efficient and Office of the Joint Performance Management less costly ways to operate. The reductions Office. He earned a Bachelor of Science necessary to stay within guideline may also degree in Engineering in 1979 from the result in operating savings, which will University of Central Florida and a Master of continue to be reviewed every year. Science degree in Engineering Management in 1982 from the Florida Institute of Technology. KEY PERSONNEL James M. Free, Deputy Director, shares Ramon (Ray) Lugo III, Director, manages a with the center director the responsibility for workforce of approximately 1,628 civil planning, organizing, and directing the service employees that are supported by 1,632 activities required in accomplishing the contractors, and a complex with 24 major missions assigned to GRC. Prior to becoming facilities and over 500 specialized research the deputy director, Free served as the director facilities located at the 350-acre Cleveland site of Space Flight Systems Directorate at GRC and the 6,500-acre Plum Brook Station site in and was responsible for overseeing the Sandusky, OH. Prior to this position, Lugo management of GRC’s activities that included served as the deputy center director for GRC significant roles in the Agency’s where he shared with the center director Constellation, Space Shuttle, International responsibility for planning, organizing, and Space Station, Space Communications, directing the activities required in Human Research and Science Programs. He accomplishing the missions assigned to GRC. served as chief of GRC’s Orion Projects Prior to coming to GRC, he served as the Office, where he had responsibility for all deputy program manager of the Launch Orion-related work at GRC. This included Services Program at Kennedy Space Center Orion service module design and development (KSC) and was principally responsible for requirements management, Space managing, directing, and evaluating the Environmental Test Project for Orion progress of all ongoing launch operations and qualification testing, and low-impact docking activities including Expendable Launch system seal development. His technical Vehicles engineering and analysis, payload expertise and leadership capabilities were integration, launch site support, and further demonstrated as the Orion test and campaigns. He began his NASA career at verification manager at NASA Johnson Space KSC in 1975 as a co-operative education Center in Houston, TX, where he was student, and his first assignment was in the responsible for the planning and execution of Construction and Modifications Branch as an all verification activities supporting the engineer responsible for construction development of NASA’s next-generation modifications to Launch Complex 39A in human space vehicle. He also served as the preparation for the first space shuttle launch. Orion service module manager at GRC and Since becoming a member of the Senior was responsible for the technical, cost, and Executive Service in 2001, Lugo served as the schedule performance for the development, executive director of the Cape Canaveral production, test, and flight operations of the Spaceport Management Office. Other Orion Service Module. Free joined GRC in leadership positions include director and 1999; his first assignment was as the ISS deputy director of Expendable Launch Vehicle liaison for the Fluids and Combustion Facility.

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He also led the development of electric the coordination and integration of actuation technologies for NASA’s Next institutional activities which cross directorate Generation Launch Technology Project. Free organizations. She serves as GRC’s focal then served as the launch vehicle manager and point for all institutional functions and autonomous rendezvous and docking manager coordinates the consideration and evaluation for the Prometheus spacecraft and as the Lox of means to improve the efficiency and methane project manager. effectiveness of the services provided by the institutional organizations at the center. Prior Free began his career at NASA’s Goddard to coming to GRC, Watkins served as the Space Flight Center in Greenbelt, MD as a technical expert/in-sourcing and acting deputy propulsion engineer and later as a systems director, Manpower, Personnel and Services at engineer on NASA’s Tracking and Data Relay Wright Patterson Air Force Base in Dayton, Satellites. He worked on the first in-house OH, and as the organization division chief of spacecraft propulsion system built for the Manpower, Personnel and Resources Tropical Rainfall Measuring Mission. Directorate, (USAF) Headquarters at the Pentagon. Watkins held a Free earned his Bachelor’s degree in number of increasingly responsible Aeronautics from in management positions for the USAF. Watkins Oxford, OH and his Master’s degree in Space holds a Bachelor’s degree in Business Systems Engineering from Delft University of Administration and Management from Wright Technology in the Netherlands. State University in Fairborn, OH, and a Master’s degree in Public Administration from Janet L. Watkins, Associate Director, is Central Michigan University. responsible for the overall management of the institutional operations for GRC and provides

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4.9.4 GODDARD SPACE FLIGHT CENTER (GSFC)

MISSION STATEMENT analyzing observations from space. The center also conducts scientific investigations, The people of Goddard Space Flight Center develops and operates space systems, (GSFC), located in Greenbelt, MD, expand the maintains the networks that support space and knowledge of Earth and its environment, the ground communications, and advances solar system, and the universe by enabling and essential technologies.

ORGANIZATIONAL STRUCTURE

Figure 4.9.4-1: GSFC Organizational Chart

WORKFORCE

GSFC’s workforce distribution:

 Total Allocation of Full Time Equivalent (FTE) Civil Servants = 3,392.0  Contractors (Work Year Equivalents) = 6,515.0

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BUDGET EST. ($M)

President’s Budget Request FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Goddard Space Flight Center $3246.2 $2963.6 $2832.3 $2671.2 $2377.5 $2179.0 Table 4.9.4-1: Goddard Space Flight Center’s Budget Runout Estimates

CORE CAPABILITIES major in-house built missions: the Global Precipitation Measurement (GPM) mission, Core capabilities are in the areas of Earth which will provide next-generation and space science, engineering and observations of rain and snow worldwide technology development, and project and every three hours; and the Magnetospheric program management. The center’s work Multiscale (MMS) mission, comprised of entails design, development and four identically instrumented spacecraft that implementation of sensors, instruments and will study the microphysics of three flight missions investigating phenomena fundamental plasma processes: magnetic across the electromagnetic spectrum and reconnection, energetic particle acceleration, inclusive of other planets, as well as and turbulence. astronomical phenomena. Goddard has supplied more instruments for the study of Goddard is also managing the Agency’s Mars than any other institution in the world. flagship Astrophysics mission, the James Goddard is the only NASA center whose Webb Space Telescope, which will build on work and employees garnered a Nobel Prize the legacy of the Hubble Space Telescope in Physics. and allow scientists to peer back to the very beginning of the universe. In Earth Science, The center also oversees studies of the in early 2013, Goddard will launch the Earth’s atmospheric, oceanographic, Landsat Data Continuity Mission (LDCM). cryospheric, hydrological, geologic, and The provides repetitive biogeochemical cycles to understand the acquisition of high-resolution multispectral Earth as a system, and application of this data of Earth’s surface on a global basis. understanding to the study of the nature and The data from the Landsat spacecraft evolution of other planets, as well as constitute the longest record of Earth’s application of discoveries from this study of continental surfaces as seen from space, and other planets to an improved understanding LDCM will continue to obtain this valuable of Earth. Theoretical research, analysis, data and imagery used in agriculture, modeling, and simulations are performed to education, business, science, and develop and test theories and synthesize data government. Goddard will also expand on from space missions and ground-based the record of the changing polar ice sheets observations. The center’s assigned roles with the Ice, Cloud, and land Elevation include management of NASA’s spaceflight Satellite-2 (ICESat-2) mission, a second- tracking, data acquisition, communications, generation orbiting laser altimeter designed and data handling networks in support of to gather the multi-year elevation data NASA and other spacecraft. needed to determine ice sheet mass balance, scheduled for launch in 2016. Within the next two years, Goddard’s expertise in end-to-end systems will be In Planetary Science, Goddard’s Sample demonstrated through the launch of two Analysis at Mars (SAM) instrument suite on

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The NASA Presidential Transition Binder the Mars Science Laboratory Curiosity is the owned and operated launch range, serves as most complex instrument ever sent to the Agency’s premier site for suborbital another planet and promises to make sounding rockets and balloons. WFF is also amazing discoveries as Curiosity’s mission the home to Orbital Sciences Corporation’s continues. Meanwhile, Goddard is leading (OSC) Antares vehicle through NASA’s the next mission to Mars, the Mars Commercial Orbital Transportation Services Atmosphere and Volatile Evolution (COTS) contract to resupply the (MAVEN) mission, to explore the planet’s International Space Station (ISS). A test upper atmosphere, ionosphere, and flight of Antares is planned in the late interactions with the sun and solar wind. 2012/early 2013 timeframe and positions Goddard’s groundbreaking Origins-Spectral Wallops to be a leader in orbital flights to Interpretation-Resource Identification- the ISS in the post-Shuttle era. Security-Regolith Explorer (OSIRIS-REx) will be the first U.S. mission to carry In addition to its primary site in Greenbelt, samples from an asteroid back to Earth. The MD and WFF, Goddard is comprised of the center is also collaborating with Ames Goddard Institute for Space Studies (GISS) Research Center and Marshall Space Flight in New York, a world leader in the study of Center to launch the Lunar Atmosphere and climate change, the Independent Validation Dust Environment Explorer (LADEE) and Verification (IV&V) facility in mission to orbit the moon, scheduled to Fairmont, WV, dedicated to the highest level launch this coming year. of safety and cost effectiveness for mission critical software, and ground stations at the Goddard is continuing its more than 40-year White Sands Complex in New Mexico that history of successfully working with the enable space-to-ground communications for National Oceanic and Atmospheric NASA missions. Administration (NOAA) to develop the Nation’s weather satellites through the Joint FUNCTIONS Polar Satellite System (JPSS) and GOES-R programs. Goddard is also collaborating The Office of the Director sets overall with NOAA in the area of space weather strategic direction for the center to ensure with the Deep Space Climate Observatory that capabilities are aligned to meet Agency (DSCOVR). goals and is ultimately responsible for executing the Independent Technical Goddard will maintain its unique role in Authority function for center Programs and providing space communications for human Projects. The Office of the Director houses: exploration since its inception with launch the New Opportunities Office; the Offices of and operations of the next-generation the Chief Counsel, Communications, Tracking and Data Relay Satellites (TDRS) Education, Government and Community and through the development of a Relations, and Equal Opportunity programs; groundbreaking, long-duration optical and the center’s Diversity, Knowledge, communications mission, the Laser Alternative Dispute Resolution, and Communications Relay Demonstration Ombuds programs. (LCRD). The Office of Human Capital Goddard’s Wallops Flight Facility (WFF) on Management provides human capital Virginia’s Eastern Shore, NASA’s only strategies, solutions and services to achieve

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The NASA Presidential Transition Binder mission success. The Office’s initiatives are operations projects; and an advanced to continue transformation from concepts and formulation rapid spacecraft transactional business to human capital, to development project. become more strategic/outcome-focused, to implement organizational performance The Applied Engineering and Technology assessment, and to implement redesigned Directorate provides engineering expertise academic training. for development of cutting-edge science and exploration systems and develops The Office of Chief Financial Officer technologies in support of future missions. provides financial services to Goddard, NASA Headquarters and the NASA The Sciences and Exploration Directorate Management Office/Jet Propulsion provides scientific leadership to enable Laboratory. It is responsible for the internal space-based studies of Earth, the sun and control program, audit activities and policy heliosphere, the solar system, and the documentation; oversees budget planning, universe. It provides project scientists to process, and execution activities, work with the science community to develop independent assessments for research and mission requirements and ensure these development and institutional programs; requirements are met during mission financial system training, financial development and operations. Goddard information reporting, and customer support scientists are also instrument and mission for NASA financial systems; and cost principal investigators, lead research and modeling policy guidance and support for analysis programs typically awarded through new business proposals. peer-reviewed competitions, lead modeling and science data center activities for the The Management Operations Directorate science community, and work to widely provides support in procurement, facilities communicate NASA’s scientific results. design, construction and operations maintenance, multi-media services, logistics, The Information Technology and protective services, health, environmental Communications Directorate is led by management, and NASA Headquarters Goddard’s Chief Information Officer and institutional support (procurement, grants enables the center’s mission by leading the management, logistics, and conference development and implementation of a broad support). range of Agency and center information technology (IT) services and The Safety and Mission Assurance products. ITCD establishes and provides: Directorate provides an independent voice assistance and guidance on the delivery of and perspective for implementing safety and mission IT communications operations, mission assurance to enable mission success. to include launch support; IT governance and investment analysis; performance and The Flight Projects Directorate currently ; policies to provide manages nine Level 2 NASA programs, four improved management of information in-house and eleven out-of-house projects in resources and technology; IT strategy development; 20 projects in pre- development and application of information formulation/formulation; nine Space systems and infrastructure, innovation, and Network, one Ground Network, eight earth technology infusion required to improve science, and 17 space science mission mission delivery; security, resiliency, and

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The NASA Presidential Transition Binder reliability of the center’s and NASA’s and formation flying, optical mission and corporate communications communications, high-end data processing, infrastructure; and better, more efficient, and cryogenics and propulsion, coatings, and scalable IT services to our employees. composite structures. Goddard also establishes partnerships with other The Suborbital and Special Projects government agencies to develop mutually Directorate, located primarily at Goddard’s beneficial technologies. Wallops Flight Facility, conducts the Sounding Rocket Program, Scientific As previously noted, Goddard’s Wallops Balloons Program, Aircraft Sciences Flight Facility is playing a key role in the Program (P-3 aircraft operations and implementation of the Agency’s COTS management of contract aircraft carrying program for commercial resupply of the ISS, instruments); operates a research range for serving as the launch site for OSC’s Antares suborbital and orbital rocket launches, UAV rocket. operations, and reimbursable activities; plans Advanced Projects; and operates a MAJOR ISSUES safety program for range and institutional safety. Large unplanned workforce balances in FY14 – FY18 threaten Goddard’s ability to IMPORTANT ACTIVITIES maintain critical skills and expertise. Mitigation includes pursuit of additional The most critical NASA Goddard activity is work opportunities with the Mission the development, design, implementation Directorates and looking for opportunities to and management of successful missions in bring contractor-performed work in-house support of the Agency’s priorities. Goddard for civil service performance. As referenced collaborates with the scientific and above, Goddard will launch both of its aerospace communities, U.S. and current in-house missions within the next international, to define science requirements two years, so the capture of the next major for upcoming missions, develop mission in-house build is a top Goddard priority. concepts through scientific/technical trade studies, and ensure scientific productivity of Buying power impact of Center NASA’s science missions during Management & Operations (CM&O) development and flight. Goddard has a guidelines over the next five years is lead-center role in Earth Science, inadequate to address aging infrastructure. Astrophysics and Heliophysics, as well as a Agency funding guidelines for CM&O supporting role in Planetary Science. since FY09 have not kept pace with rapidly increasing civil servant salary costs and have Development of enabling technologies to reduced available funds to address serious support NASA missions is also an important infrastructure issues. Mitigation includes role. With funding from NASA technology increased use of landfill gases, reduced development programs as well as a small electricity usage, and significant institutional internal research and development program, service cuts to address highest priority needs Goddard aligns technology investments with in facilities, Information Technology upcoming science and mission needs. Areas security, and center services. However, of key technology expertise are: advanced over-guideline requirements remain in three detectors and instruments, flight dynamics major areas: (1) underfunding for

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The NASA Presidential Transition Binder institutional Construction of Facilities Deputy Associate Administrator in the (CofF); (2) required investments in IT Office of Space Science at NASA Security; and (3) continued erosion of Headquarters. Scolese started his career at funding for laboratory equipment and Goddard in 1987, serving as the Earth engineering facilities. Orbiting Satellite (EOS) Program Manager and the Deputy Director of Flight Programs Goddard remains vigilant in meeting our and Projects for Earth Science at Goddard. commitments on all of our missions. For instance, the JWST project is on track to Arthur F. Obenschain (Rick), Deputy meet the rebaselined cost and schedule Director, Goddard Space Flight Center, milestones established in 2011. The center shares responsibility with the director for also recognizes the vital importance of the executive leadership and overall direction JPSS program to the Nation’s weather and management of Goddard and its forecasting capabilities and continues to assigned programs and projects. He served work with NOAA to deliver these critical as Director of Flight Projects Directorate satellites on-time and on-budget. from September 2004 to 2007, before which he served as Director of the Applied Looming gaps in Earth observation data will Engineering and Technology Directorate be detrimental to developing the scientific beginning June 2000. He has served as understanding and predictive capability Deputy Project Manager for Goddard’s needed to understand our changing climate Space Station Freedom Development and help inform decisions on adaptation Project, Project Manager for the EOS strategies. We continue to work to extend Platforms Project, GOES Project Manager, the life of current missions and to implement Project Manager of the Earth Science Data new missions in as timely and cost effective and Information System, and head of the ways as possible. Electrical Systems Center.

KEY PERSONNEL Dr. Christyl Johnson, Deputy Director for Technology and Research Investments, Chris Scolese, Director, Goddard Space manages the center’s future science and Flight Center, previously served as the technology goals and leads an integrated NASA Associate Administrator at NASA program of investments aligned to meet Headquarters in Washington, DC. In this those goals. Before coming to GSFC in position, he was responsible for leading the 2010, she was on a detail to the White development, design, and implementation of House Office of Science and Technology the nation’s civil space program. Before Policy, where she served as the Executive becoming Associate Administrator, Scolese Director of the National Science and served as NASA’s Chief Engineer, where he Technology Council (NSTC). Prior to that, was responsible for ensuring that Johnson served as the NASA Assistant development efforts and mission operations Associate Administrator, where she within the Agency were planned and provided the oversight of the agency’s conducted on a sound engineering basis, as technical mission areas and field center well as for the long-term health of the operations. She also served as the Deputy NASA engineering workforce. Previously, Chief Engineer for Program Integration and Scolese was the Deputy Director of Goddard Operations for the Office of the Chief Space Flight Center and also served as the Engineer. Johnson began her career at

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Langley Research Center in 1985 in the Nancy Abell, Associate Director, Goddard Remote Sensing Technology Branch where Space Flight Center, exercises oversight she designed and built laser systems for responsibility for all human capital, advanced remote sensing of the atmosphere. institutional, and business management activities at Goddard. She is the Center lead Dr. Colleen Hartman, Deputy Director for institutional budget accounts and for Science, Operations and Program processes, providing a safe and secure Performance, Goddard Space Flight infrastructure, and providing critical Center, assists in overall management of the planning and regulatory compliance. She center’s assigned science programs and served as Goddard’s Chief Financial Officer activities, since July 2012. Prior to coming from July 1998 to September 2007 and was to GSFC, Hartman served as the Assistant responsible for development, Associate Administrator in the Science implementation, and administration of Mission Directorate at NASA Headquarters. Goddard’s system of resources management She is a Professor of Space Policy and and financial control. In 1995, she was International Affairs at the George named the Center’s Deputy Comptroller, Washington University’s Elliott School of where she consolidated functions in the International Affairs in Washington, DC. finance arena and streamlined NASA Before joining the faculty at George business practices by successfully leading a Washington University, she served as the major consolidation of the Goddard, NASA Deputy Associate Administrator at NASA’s Headquarters, and NASA Management Science Mission Directorate and as the Office/Jet Propulsion Laboratory financial Deputy Assistant Administrator at the organizations, resulting in the Agency’s first National Oceanic and Atmospheric and only Regional Finance Office. Abell has Administration. Hartman also worked on held positions in Goddard’s Office of Chief Capitol Hill, as an engineer at NASA Financial Officer, as well as serving for five Goddard, as a Senior Policy Analyst at the years as Chief, Administration and White House Office of Science and Resources Management Office, Space Technology Policy, and as Deputy Division Sciences Directorate. Director for Technology and Deputy Division Director for Science at NASA Headquarters.

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4.9.5 JET PROPULSION LABORATORY (JPL)

presence at Mars to discover its history and MISSION STATEMENT habitability — past, present, or future — and The Jet Propulsion Laboratory (JPL) is a prepare for human exploration; (3) make Federally Funded Research and Development critical measurements to better understand Center (FFRDC) managed for NASA through global and regional climate change, including a contract with the California Institute of studies of the solid surface, subsurface, Technology (Caltech). The FFRDC is a oceans, and atmosphere of our home planet; unique non-government entity sponsored and (4) conduct observations to search for funded by NASA to meet specific long-term neighboring solar systems and Earth-like technical needs that cannot be met by any planets, and help understand formation, other single organization within NASA. The evolution, and composition of the universe; Contract between NASA and Caltech is the (5) conduct communications and navigation sponsoring document for JPL as a FFRDC. for missions beyond Earth orbit; (6) provide JPL develops and maintains technical and support, particularly in robotic infrastructures managerial competencies specified in the and robotic precursors that enables human contract to perform the following current exploration of the moon, Mars and beyond; mission in support of NASA’s strategic goals: and (7) under Caltech’s initiative, apply our (1) explore our solar system to fully capabilities to collaborate with other federal understand its formation and evolution — and state government agencies and physical, chemical, and biological; (2) commercial endeavors in areas synergistic establish continuous permanent robotic with our work performed for NASA.

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ORGANIZATIONAL STRUCTURE

Figure 4.9.5-1: JPL’s Organizational Structure

WORKFORCE

JPL’s on-site workforce includes approximately 4,700 Caltech standard employees (WYE) plus 300 on-site support contractors. The workforce is organized in a matrix organization with Program Offices forming project teams that draw engineering and science expertise from the technical divisions.

BUDGET EST. ($M)

President’s FY13 Budget Request FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Jet Propulsion Laboratory $1232.1 $1090.4 $854.4 $794.8 $708.1 $595.1

Table 4.9.5-1: Jet Propulsion Laboratory’s Budget Runout Estimates

CORE COMPETENCIES This competency is accomplished by: (1) Developing and integrating world-class JPL’s overarching core competency is the capabilities in Science, Engineering, and End-to-End Implementation of Unprecedented Technology; and (2) Using our hands-on, in- Robotic Space and Earth Science Missions. house, experienced workforce in collaborating

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with industry, other NASA centers, academia Engineering and Science Directorate, which and — in coordination with the Headquarters provides the technical workforce to execute Office of International and Interagency missions; the Office of Safety and Mission Relations — international partners. In addition Success, which independently assesses risk to these human capital core competencies, JPL and safety; the Office of Communication and maintain key national facilities, including: Education, which supports NASA’s goals in environmental test facilities (such as the 25- strategic communication, public affairs, and foot space simulator), spacecraft and education; the Office of the Chief Information instrument assembly facilities, Micro-devices Officer, which provides the information Laboratory, and Space Flight Operations technology applications and services to JPL Facility. JPL also manages the Deep Space employees, contractors, and partners; and the Network facilities on behalf of NASA. JPL Office of the Chief Scientist and Chief applies these core competencies and key Technologist, which leads the scientific and facilities to lead roles for NASA in the Mars advanced technology research at JPL. Program, Planetary Exploration, Search for Exo-solar planets, the Deep Space Network, IMPORTANT ACTIVITIES and Oceanography and Solid Earth observations. JPL applies its core competencies, advanced technologies, and key facilities in support of FUNCTIONS lead roles for NASA in the Mars Program, Planetary Exploration, Search for Exo-solar JPL has five “program” directorates, which planets, and other astrophysical missions, the are responsible for the planning, formulation, Deep Space Communications Network, and implementation, and operation of NASA Oceanography, Solid Earth observations, and missions within their respective disciplines Earth environmental missions. Thus, JPL corresponding to the first five elements in places great importance on investing in these JPL’s mission statement: Solar System three cornerstones of JPL’s value to NASA Exploration Directorate, Mars Exploration programs and projects. Directorate, Earth Science & Technology Directorate, Astronomy, Physics, and Space People: In the area of staff capabilities, the Technology Directorate, and the Engineering and Science Directorate is Interplanetary Network Directorate. The final engaged in a “Raise the Bar” initiative to two elements in the JPL mission statement are ensure the technical capability of the implemented within the Human/Robotic workforce is at world-class levels through Mission Systems Office (part of Solar System strategically targeted collaborations with Exploration) and the National Space faculty and students on student projects, Technology Office (part of Earth Science & curriculum development, and research Technology), respectively. activities. In addition, each year JPL hires a large number of “early career hires” to replace Cross-cutting functions in support of the retirees and other voluntary departures, again Program Directorates are provided by the with the strategic emphasis on those

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disciplines that contribute to end-to-end technology needs of NASA’s mission implementation of unprecedented robotic directorates and to ensure that all of NASA’s space and Earth science missions. technology investments are coordinated and mutually supportive, this new program Technology: JPL has developed a strategic provides the mechanism to bring high-priority technology plan, which identifies those areas technology advances to the level of of technology that are critical to JPL’s ability technological maturity needed for their ready to contribute to NASA’s future success and infusion into future robotic and human space developed with JPL leadership. Currently, exploration missions. With its increasing this plan focuses investments in large-aperture commitment to programs like Small Business systems, precision flying, detectors and Innovation Research (SBIR) and Small sensors, cryogenic systems, in-situ planetary Business Technology Transfer (STTR), the exploration systems, planetary protection, Space Technology Program is not yet funded survivable systems for extreme environments, to the level needed to satisfy its objectives. As deep space communication, deep space the resources available to it grow to the level navigation, engineering systems, mission envisioned at its inception, this program will system computing and avionics, and allow NASA to achieve worldwide utilization of high-capability computing. technological leadership.

Facilities: JPL continually invests in its key Technologies today are not being adequately facilities, which are also critical to supporting matured prior to a mission Preliminary Design NASA’s programs, including: project design Review (PDR) such that they can be center, spacecraft assembly facility, MARS developed at a predictable cost during the Yard mobility testbed, computer vision lab, project’s implementation phase. With robotics lab, pyro-devices lab, environmental emphasis on space technology development, test labs, micro-devices lab, space flight NASA can provide the means to mature these operations facility, cryo-cooler R&D facility, high-priority technologies from laboratory observational instruments laboratory, testing to first use on a mission. The guidance/navigation/control lab, formation investments made within the TMD in interferometer testbed lab, GPS lab, Table maturing and validating technology advances Mountain Telescope facility, MESA antenna is substantially less than the investment test facility, and the airborne radar testbed. required to accomplish the same result in the high-pressure flight project environment. MAJOR ISSUES Consequently, the costs avoided by a project failure return a savings to NASA many times TECHNOLOGY greater than the TMD investment. Though the NASA created the Space Technology Mission TMD currently does have the full resources Directorate (TMD) to provide the guidance needed to accomplish the above goal, the and resources necessary to invest anticipated fully funded program will yield meaningfully in advanced technologies. With this result. the responsibility to address the advanced

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CORE CAPABILITIES of the National Academy of Engineering and the International Academy of Astronautics. Constrained budgets in the Science Mission Directorate (SMD) at NASA is resulting in Eugene L. Tattini, Deputy Director of the few launch opportunities for JPL early to mid Jet Propulsion Laboratory, was appointed next decade, with a corresponding workforce in July 2001. He is the Laboratory’s chief impact to JPL that started in 2010. Critical operating officer responsible to the director capabilities and skills nurtured over the past for the day-to-day management of JPL’s many years are at risk with a net loss to resources and activities, including NASA. Capabilities such as Entry, Descent management of the Laboratory’s and Landing on extraterrestrial bodies, deep Programmatic Directorates as well as all space mission capability, Solar Electric business operations. Before his retirement Propulsion, Optical Communications, from the Air Force as a lieutenant general, Advanced Astronomical Observation and Tattini was commander of the Space and several other capabilities are in danger of Missile Systems Center, Los Angeles Air falling below critical mass. Once lost, it will Force Base, California, where he was be hard to reprise this talent. responsible for managing the research, design, development, and acquisition of space launch, KEY PERSONNEL command and control, and satellite systems.

Dr. Charles Elachi, Director of the Jet Born in Madison, WI, Tattini was a Propulsion Laboratory, is vice president of distinguished graduate of the Reserve Officer the California Institute of Technology. Elachi Training Corps program at the University of received a Bachelor’s degree (1968) in Illinois and entered the Air Force as a second physics from University of Grenoble, France; lieutenant in 1965. He also holds a Masters in the Diplome Ingenieur (1968) in engineering Business Administration from Oklahoma City from the Polytechnic Institute, Grenoble; and University, and certificates from both the Air a Master’s degree (1969) and Doctorate War College and Industrial College of the (1971) in Electrical Sciences from the Armed Forces. California Institute of Technology, Pasadena. He also has a Master’s degree (1983) in Christopher P. Jones, Associate Director, Geology from the University of California, Flight Projects & Mission Success of the Jet Los Angeles, and a Masters of Business Propulsion Laboratory, was appointed in March 2009. He also chairs the Project and Administration (1979) from the University of Engineering Council Management Council Southern California. He joined JPL in 1970. (PEMC). The PEMC’s role is to assure the He is professor of electrical engineering and success of JPL missions through the planetary science at Caltech. He is a fellow of deployment of effective institutional policies, the Institute of Electrical and Electronics practices, and infrastructure. Previously, Jones Engineers and the American Institute of was the Director for Solar System Aeronautics and Astronautics, and a member Exploration. He came to this position from the Space Science Flight Projects Directorate,

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where he was Deputy Director. From 1991 to managed the Radar Science and Engineering 1998, he was the Spacecraft Development Section, the Earth Science Flight Missions and Manager for the Cassini Program and Experiments Office, and the Focused Physical subsequently managed the Space Oceanography and Solid Earth Program Interferometry Mission. Since joining JPL in Office. He was appointed deputy director for 1969, Jones has contributed to the design, test, the Astronomy and Physics Directorate in and flight operations of numerous planetary 2002. He has been an adjunct faculty member spacecraft including Mariner 9, Voyager, and in the Mechanical and Aerospace Engineering Galileo, and has managed the Laboratory’s Department, University of Southern Spacecraft Systems Engineering, and California, where he taught the class “Remote Guidance and Control sections. Sensing Systems from Space” from 1997 to 2001. Since 2002, he has been teaching the Jones graduated with a Bachelor of Science class “Physics and Techniques of Remote degree in 1968 and a Master of Sciencedegree Sensing” at Caltech. in 1969, both in Aerospace Engineering, from the University of Southern California. He Stephen L. Proia, Chief Financial Officer received numerous NASA awards and and Director for Business Operations of the citations, including NASA’s Exceptional Jet Propulsion Laboratory, was appointed in Service Medal for his work on Voyager, the February 2011. Proia also chairs the JPL Outstanding Leadership Medal for Cassini, Council, a standing and the Distinguished Service Medal for his Laboratory committee that provides policy contribution to deep space exploration guidance and management overview of all institutional and business activities.The Jakob van Zyl, Associate Director, Project Business Operations Directorate has Formulation & Strategy of the Jet management and leadership responsibility for Propulsion Laboratory was appointed in accounting, finance, institutional business August 2011. Van Zyl also chairs the systems and tools, contracts, program and Strategic Planning Management Council project resources, acquisition, materiel (SPMC). The SPMC’s role is the management and logistics, technical development of JPL strategic plans and the information, facilities, and protective services. selection of investments that support those plans. Proia has held increasingly responsible positions in contracts management and finance Previously, van Zyl was the director for JPL’s during a 37-year career, 27 years of which Astronomy and Physics Directorate. He have been spent at JPL. He has received received an honors Bachelor’s degree cum NASA Leadership and Exceptional laude in Electronics Engineering from the Achievement Medals, serves on the Board of University of Stellenbosch, Stellenbosch, Directors for the Caltech Employees Federal South Africa. He received both his Master’s Credit Union. and his Doctorate in Electrical Engineering from Caltech. Born in Washington, D.C., Proia received his Bachelor of Science degree and his Masters of Van Zyl joined JPL in 1986 and held positions Business Administration from the University of increasing responsibility in the synthetic of Maryland. aperture radar program. In addition, he

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4.9.6 JOHNSON SPACE CENTER (JSC)

MISSION STATEMENT on human physiology. It also requires that we develop technology to sustain and preserve The Johnson Space Center (JSC) mission life; maintain a supply chain to design, within NASA is human spaceflight. JSC hosts manufacture, and test flight products; select, and staffs program and project offices; selects train, and provide medical care to those people and trains astronauts; manages and conducts who fly space missions; and continue to projects that build, test, and integrate human- provide administrative mission support rated systems for transportation, habitation, services. JSC is currently hosting, staffing, and working in space; and plans and operates and supporting the International Space Station human spaceflight missions. The work Program, the Multi-Purpose Crew Vehicle requires a comprehensive understanding of Program, the Human Research Program space and planetary environments, as well as (HRP) Program, and the Commercial Crew research into the effects of those environments and Cargo Program.

ORGANIZATIONAL STRUCTURE

Figure 4.9.6-1: JSC Organizational Structure

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WORKFORCE

JSC’s workforce distribution:

 Allocation of Full Time Equivalent (FTE) Civil Servants = 3,219.4 (includes 39.5 at White Sands Test Facility)  Contractors (Work Year Equivalents) = 11,100 (includes 470 at White Sands Test Facility)

BUDGET ESTIMATES ($M)

President’s FY13 Budget Request FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Johnson Space Center $4910.4 $4463.1 $4644.9 $4666.4 $4692.3 $4714.7 Table 4.9.6-1: Johnson Space Center’s Budget Runout Estimates

CORE CAPABILITIES and testing of certain government-furnished equipment, including crew support equipment The Johnson Space Center (JSC) provides a and various flight experiments. Engineering variety of capabilities for the Agency’s discipline expertise includes: guidance, Human Spaceflight Programs, including: navigation, and control; electrical power generation, storage, and distribution; all other Program Management: JSC has a history of avionic systems including data management, managing large-scale human spaceflight display and control, and instrumentation; programs. Currently, Program Management telemetry and communications; structures and for the International Space Station, and Multi- materials; thermal protection and control; Purpose Crew Vehicle Programs reside at mechanical systems; propulsion, fluid JSC. The Center provides staff to the management, and pyrotechnics; environmental programs who have the skills, expertise, and control and life support; spacesuits and experience required for significant spaceflight extravehicular equipment; aerodynamics, programs. aerothermodynamics, and aeroelasticity; flight software; mission planning and analysis; Flight Crew: NASA’s Astronauts—the robotics and advanced automation systems; cornerstone of human spaceflight—are and overall systems engineering and selected and trained at the Johnson Space simulation. Center. The spacecraft crew today is assigned as the Commander or Flight Engineer for the JSC maintains expertise in manufacturing and International Space Station. test facilities and computational complexes that support these core engineering Engineering: JSC Engineering provides capabilities. engineering design, development, and test support for spaceflight programs assigned to Operations: JSC specializes in ensuring JSC, such as the Space Station and Multi- successful operations in high-risk Purpose Crew Vehicle and advanced environments. JSC provides a variety of spacecraft. Engineers perform complete in- capabilities to fly human vehicles in space, house design, development, manufacturing, including: preflight planning/integration;

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facility development and training; real-time performance evaluation tests; hazards/failure operations, which includes failure analyses analyses of materials, components, and and responses to protect crew and vehicle complete systems; system design evaluation safety and successfully achieve mission and recommendations; and safety training objectives; integration of operational courses and manuals. requirements into vehicle design and development, which reduces a program’s life- Astromaterials Research and Exploration cycle costs; and sustaining engineering to Sciences (ARES): JSC’s capabilities and support vehicles in space. JSC’s Operations facilities in Astromaterials Research and capabilities provide “mission insurance” – 49 Exploration Sciences (ARES) involve basic years of corporate knowledge in the conduct research in earth, planetary, and space and execution of human spaceflight sciences and the curatorial responsibility for operations. all NASA-held extraterrestrial samples. ARES scientists and engineers also provide support Extravehicular Activity (EVA) - JSC to the human and robotic spaceflight programs provides the full range of responsibilities for with expertise in orbital debris modeling, Extravehicular Activity (EVA) or analysis of micrometeoroid/orbital debris risks “spacewalking,” which involves safe EVA to spacecraft, image analysis, and earth execution, training, integration, and observations. operations, development for suits, systems, and support equipment, and all EVA-related Safety and Mission Assurance (SMA): advanced technology. JSC’s core capabilities enable Safety and Mission Assurance (SMA) that insures Human Health and Performance: JSC has a successful spaceflight. JSC has a long history long history of effective human spaceflight of integrated SMA, as the safety, reliability, medicine and research. Our scientists and and quality functions were consolidated into a medical doctors enable mission success, single organization following the Apollo fire. optimizing human health and productivity in JSC’s SMA capabilities reduce risk by space before, during, and after the actual providing technical evaluations, assessments, spaceflight experience of our flight crews, and and analytical services through the life cycle include support for ground-based functions. of NASA’s human spaceflight programs and projects. White Sands Test Facility (WSTF): The White Sands Test Facility (WSTF), located in FUNCTIONS Las Cruces, NM, provides unique capabilities for JSC. Specifically, WSTF conducts JSC functions include the following: simulated mission duty cycle testing to develop numerous full-scale propulsion Chief Technologist Office: Working closely systems; and WSTF is formally certified to with the Headquarters Chief Technologist and perform precision cleaning and depot-level Chief Engineer, the Chief Technologist Office refurbishment of flight-critical propulsion provides guidance and advice to center systems components. WSTF is a center of leadership on research and technology technical excellence in the fields of high- matters. pressure oxygen systems/materials and rocket propellant safety. WSTF offers NASA and External Relations Office: The Extermal commercial customers: functional and Relations Office offers strategic

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communications planning and operations in reasonable price using the best methods and the areas of education, public affairs, tools while ensuring adherence to high spaceflight awareness, university research, standards and professional integrity. and community and government affairs. Flight Crew Operations Directorate: Strategic Opportunities and Partnership Provides trained crew members for all human Development Office (SOPD): Collaborates spaceflight endeavors and expertise to help with JSC organizations to establish strategic, resolve operations and development issues beneficial partnerships with external entities, within the human spaceflight programs. develop center implementation plans that Responsible for all JSC aircraft operations, support Agency strategies, facilitate the including aircrew training. transfer of technology and intellectual property for commercial development, and Mission Operations Directorate: Provides manage the space act agreement process. the planning and training required for flight crews and flight controllers in support of all Performance Management and Integration human spaceflight. Conducts mission Office: Develops and sustains Program operations for the programs in conjunction Planning & Control (PP&C) capabilities by with commercial and international partners. providing cost estimating, scheduling and cost assessment skills, training, tools, and Engineering Directorate: Provides expertise techniques. It is responsible for providing in aerodynamics, mechanical, electrical, strategic, integrated analysis to center biomedical, industrial, propulsion, chemical, management, Headquarters, and programs. and computer engineering to produce, test, and certify aerospace systems and concepts to Human Resources Office: Provides meet human spaceflight objectives. guidance, tools, and services to recruit, develop, and retain a capable, committed, and Center Operations Directorate: Operates the diverse workforce. Center’s infrastructure and supports the employees through facilities management, Office of Equal Opportunity and Diversity: environment services, logistics, and protective Ensures equal opportunities for all employees services. and applicants for employment, protects against discrimination, and promotes a Astromaterials Research and Exploration working environment that respects and values Science Directorate: Conducts research in the expertise of the entire workforce. earth, planetary, and space sciences. The Directorate bears curatorial responsibility for Office of Chief Counsel: Provides in-depth all NASA-held extraterrestrial samples. It legal support in the areas of ethics and general provides micrometeoroid/orbital debris risk legal services, procurements, and contracts, assessments. and providing guidance in the resolution of center managerial issues within the framework Safety and Mission Assurance Directorate: of law and NASA administrative practices. Provides technical evaluations, assessments, and analytical services through the life cycle Office of Procurement: Conducts of NASA programs and projects to assure acquisitions and manages contracts to ensure successful spaceflight and to promote a safe the center obtains what it needs at a fair and and healthy work environment.

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White Sands Test Facility: Provides for key to ISS success and serve as a model for testing and evaluating potentially hazardous future space exploration with ISS having over materials, spaceflight components, and rocket 100,000 people of 5 space agencies in 15 propulsions systems. Also provides countries and 500 US contractor facilities in infrastructure support for two Goddard 37 states. ISS serves as a key component of Tracking and Data Relay Satellite System commercialization activities and a test bed for ground stations. exploration, research, and technology development. : JSC hosts the Deputy Program Manager. This Program Multi-Purpose Crew Vehicle (MPCV): JSC is facilitates the development of a U.S. home to MPCV (Orion), the new human commercial crew space transportation spacecraft for exploration beyond low Earth capability with the goal of achieving safe, orbit and leads Orion’s design, development, reliable, and cost-effective access to and from and mission operations. Orion uses the the International Space Station and low Earth experience from JSC’s safety and mission orbit. This office assists the program manager assurance, engineering, life support, human at the Kennedy Space Center. health and performance, , as well as programmatic expertise. JSC works Human Health and Performance closely with the Marshall Space Flight Center Directorate: Provides human health and (MSFC) and the Kennedy Space Center countermeasures research, medical operations, (KSC), integrating Orion with the exploration habitability and environmental factors architecture. activities geared toward optimizing human health and productivity before, during, and Support to Commercialization of Low after spaceflight experience. Earth Orbit (LEO): As commercial partnerships assume an increasing role in Extravehicular Activity Office: Provides spaceflight development and operations, JSC final review and approval for all areas of is leveraging our national investments and Extravehicular Activity (EVA), including safe capabilities to ensure mission success. The EVA execution, training, integration and expertise at JSC, which ensures success operations, development of suits, systems and includes: human rating and protecting crew support equipment, and all EVA-related health during particularly during launch and advanced technology. landing and assuring successful docking with repairs as required prior to re-entry and Human Exploration Development Support mitigating orbital debris risk. Office: Provides expertise in systems engineering, architecture and mission design Research and Technology for Exploration: for planning and integrating NASA human JSC is focused on research and technology spaceflight exploration missions beyond low required for future space exploration using earth orbit. the Human Research Performance (HRP), Advanced Exploration Systems (AES), and IMPORTANT ACTIVITIES Space Technology Mission Directorate initiatives. International Space Station (ISS): JSC is the host center for ISS and is leading operations on a 24/7 basis. Partnerships are

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MAJOR ISSUES KEY PERSONNEL International Space Station (ISS) Funding Michael L. Coats, Director of the Johnson Uncertainty: Several JSC organizations have Space Center, was named in November 2005. tasks identified as unfunded, including the In 1978, he was selected as an Astronaut after International Space Station (ISS) serving as a Navy pilot and flight instructor. requirements, which means key institutional He is a veteran of three space shuttle missions, resources for program and mission support are serving as the Commander for two of these at risk of insufficient or no funding for FY15 missions. Prior to becoming the JSC Center Director, he spent 14 years in the corporate and beyond. In addition, further uncertainty arena serving in three Vice President positions due to pending reductions to the overall ISS for Loral Space Information Systems and the budget will exacerbate the Program’s ability Lockheed Martin companies. He received a to mitigate the institutional risks. An Bachelor of Science degree from the United additional element of risk is contained in flight States Naval Academy in 1968, a Master of seats to ISS. The potential for having to pay Science in Administration of Science and for extra seats on Soyuz exists if commercial Technology from George Washington University in 1977, and a Master of Science in space vehicles are delayed, as most new Aeronautical Engineering from the U.S. Naval vehicles are initially. Postgraduate School in 1979. Health of the Center Infrastructure: , Deputy Director, has served Reductions in the past and continued since November 2007, having previously downward pressure on future Center served as the Deputy Director and Director of Management Operations (CMO) budgets are Flight Crew Operations. She is a veteran of resulting in a trend of reduced capacity for four space shuttle missions, serving as a center services, less redundancy of facilities Mission Specialist, Payload Commander, and and expertise while impacting availability of Flight Engineer. She received a Bachelor of Science degree in Physics from San Diego facilities and services to programs and State University in 1980 and a Masters of projects at JSC. JSC’s preventive to corrective Science degree and doctorate in Electrical maintenance ratios are well below industry Engineering from Stanford University in 1981 standards. In fact, JSC has been doing as and 1985, respectively. much repair as maintenance [PM/CM ratio is currently 58 / 42 percent, while industry Melanie Saunders, Associate Director (Management), Johnson Space Center, was standard is 70 / 30 percent). Further budget named to the post in January 2009. Previously, reductions will negate improvements JSC has she served as the Associate Program Manager made since 2004 to increase maintenance and for the International Space Station Program. improve the infrastructure health with She received a Bachelor of Arts degree in response time to respond, repair, and address History from the University of California, customer organization’s concerns and Santa Barbara, in 1984 and a Juris Doctor problems pushed to longer times to complete degree from the University of California, Davis, in 1987. work.

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J. Milt Heflin, Associate Director of the Constellation System Engineering and (Technical), has served in this position since Integration Office, Project Manager for the March 2007. Previously, he was Deputy Lunar Lander Project, and Director of the Director of Mission Operations and Chief of Constellation Safety, Reliability and Quality the Flight Director Office. He has served as a Assurance Office. She has previously served Flight Director in Mission Control for twenty as the Deputy Director of the JSC Safety and space shuttle missions and as the Lead Flight Mission Assurance Office, the Deputy Director for six of these flights. He received a Director of the JSC Engineering Directorate, Bachelor of Science in Physics and Math from the Manager of the JSC Engineering Project the University of Central Oklahoma in 1966. Management Office, and Deputy Manager of the ISS Vehicle Office. She received a Lauri N. Hansen, Center Director’s Chief Bachelor of Science Degree in Aerospace of Staff, has served in this position since Engineering from the University of Michigan January 2011. Prior to this assignment, she has in 1985. served the as Director

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4.9.7 JOHN F. KENNEDY SPACE CENTER (KSC)

MISSION STATEMENT reliable, and cost-effective space transportation capabilities; and the acquisition The Kennedy Space Center (KSC) is and management of Expendable Launch responsible for the preflight processing, Vehicles (ELV) for other Agency spacecraft. launch, landing, and recovery of the Agency’s KSC leads the development of ground systems human-rated spacecraft and launch vehicles; supporting human-rated spacecraft and launch the integration and processing of International vehicle and lunar In-Situ Resource Utilization Space Station (ISS) research and flight hardware elements. KSC also hosts the experiments; efforts to stimulate the private manufacturing of the Orion Multi-Purpose sector to develop and demonstrate safe, Crew Vehicles.

ORGANIZATIONAL STRUCTURE

Figure 4.9.7-1: KSC Organizational Structure

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The Kennedy Space Center (KSC) is located with a current replacement value of $6.06 on the east coast of Florida, about half way billion. KSC represents a unique blend of between Miami and Jacksonville, in an area technology and nature, as nearly half of the affectionately known as the Space Coast. It center is part of the Merritt Island National occupies 140,000 acres with over 900 Wildlife Refuge. facilities totaling 25.36 million square feet

WORKFORCE

KSC’s workforce distribution:

 Allocation of Full Time Equivalent (FTE) Civil Servants = 2,098.2

 Contractors (Work Year Equivalents) = 3,490

BUDGET EST. ($M)

President’s FY13 Budget FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Request Kennedy Space Center $1812.8 $2136.3 $2035.7 $1899.2 $2077.0 $1812.7 Table 4.9.7-1: Kennedy Space Center’s Budget Runout Estimates

CORE CAPABILITIES Launch Vehicle Processing, Launching, Landing and Recovery, Operations, and Since 1967, the Kennedy Space Center Sustaining Engineering: Over the last 50 (KSC) has been America’s spaceport. Over years, KSC has led and performed the the years, KSC has learned to adapt and preflight processing, launch, landing, and adjust its focus due to shifting recovery of the Agency’s human-rated circumstances. Where once only NASA or spacecraft and launch vehicles. The military launches occurred, soon there will capability began with the Redstone and be launches from commercial partners. It’s a Atlas vehicles for Mercury, matured through new way of doing business for a new Titan for Gemini and Saturn for Apollo, and generation of explorers. KSC prides itself on continued with the space shuttle. KSC’s expertise in several core capabilities: capability is evolving once again to move the NASA mission forward by preparing for Acquisition and Management of Launch the Space Launch System (SLS) and Services and Commercial Crew commercial launch vehicles. KSC also has Development: The ability to successfully led the preflight processing and launch of acquire and manage commercial launch Expendable Launch Vehicles (ELVs) since services for human and science-related the 1960s. In 1998 the management of ELV missions is critical to expanding the United activities across the Agency was States aerospace markets as we continue to consolidated at KSC in the formation of the live, learn, and explore in space. Launch Services Program (LSP). The LSP acquires commercial launch services for

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NASA science missions and other applied technologies and systems required to government-sponsored missions. improve processing and launch systems. KSC also designs, operates, and maintains Spacecraft, Payload, and Flight Science the facilities, systems, support equipment, Experiment Processing, Integration, and and test equipment necessary for launch Testing: KSC continues to lead the launch vehicle and spacecraft processing. KSC is site assembly, integration, and processing of leading the development of ground systems spacecraft as well as their payloads and supporting human-rated spacecraft and flight experiments. KSC also leads the launch vehicles and lunar In-Situ Resource integrating and processing of International Utilization hardware elements. Space Station (ISS) research and flight experiments. KSC is preparing to do the The backbone of KSC’s future will be the same for the Orion Multi-Purpose Crew Launch Services, Commercial Crew, and Vehicles (MPCVs) in addition to hosting the Ground Systems Development and manufacturing of the Orion MPCVs. KSC’s Operations Programs, along with ongoing ability to develop, integrate, and test a support to the ISS research community. variety of different payloads and research These will provide safe, reliable, cost- experiments, provide controlled effective transportation to low Earth orbit environments to sustain critical science and beyond for humans, cargo, and NASA’s cargo, offer contamination control services, science and ; develop and consistently deliver time critical partnerships to transform KSC into a launch/landing site payload customer multiuser site; and enable full utilization of a services has earned KSC recognition within world-class platform for research discovery the NASA community. and technology demonstration. All of KSC’s resources (e.g., workforce, infrastructure, Designing, Developing, Operating, and facilities, contracts, budget, and strategic Sustaining Flight and Ground Systems relationships) are focused on supporting and Supporting Infrastructure: KSC’s these capabilities to ensure mission safety engineers are skilled in electrical systems, and success. avionics, mechanical accessories, fluids and propulsion, information technology, and FUNCTIONS pyrotechnics. KSC is organized to provide program, Development, Test, and Demonstration of technical, and institutional support to Advanced Flight Systems and successfully accomplish mission objectives. Transformational Technologies: KSC’s The organizations directly responsible for staff is adept in using real-time prototypes to Ground Systems Development and construct hardware, thus enabling rapid Operations, Launch Services, Commercial solutions to complex problems. The center Crew, and ISS programs at KSC are also partners with industry to resolve described below. Via the remaining technical problems, with results that lead to directorates, KSC provides technical and dual-use products or spinoffs. institutional resources to satisfy program requirements and schedules (e.g., Developing Applied Technology to engineering and safety and mission Advance Exploration and Surface assurance) and ensures that human, Systems: KSC leads the development of financial, infrastructure, and other

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supporting resources are properly applied to effectively journey to and return from the programs. Brief biographies for the center ISS and other low Earth orbit destinations. key leaders are also provided at the end of The program also manages the crew this section. transportation system design, development, demonstration and certification process, and The Ground Systems Development and the supporting technical and programmatic Operations Program is responsible for Partner Integration/oversight functions. processing and launching the next generation of launch vehicles and spacecraft The International Space Station and in support of NASA’s exploration Ground Processing Research Project objectives, and developing the ground Office is responsible for the implementation systems, infrastructure, and operational of technical, cost, and schedule requirements approaches to sustainably enable that of the ISS Program at KSC as well as the mission. In support of the SLS, KSC ISS research requirements from the Space facilities and infrastructure are being Life and Physical Sciences Research and modified and refurbished for future use. A Applications Division (SLPSRA) from key aspect of the program’s approach to NASA Headquarters. The project office long-term sustainability and affordability is leads KSC planning and implementation of to make processing and launch infrastructure all ground processing and research available to commercial and other requirements and is the interface between government entities, thereby distributing the the Center, the ISS program, and SLPSRA. fixed cost burden among multiple users and reducing the cost of access to space for the The Center Planning and Development United States. Directorate serves as the front door for internal and external partnerships with The Launch Services Program provides Kennedy Space Center, facilitating future leadership, expertise, and cost-effective center development strategies that maximize commercial launch services to satisfy use of underutilized infrastructure, both for Agency-wide space transportation NASA missions as well as commercial and requirements and maximizes the opportunity non-NASA customers. for mission success. The program is responsible for NASA oversight of the The Engineering and Technology launch service, including launch vehicle Directorate provides leadership, engineering and manufacturing, launch capabilities, and expertise to make operations and countdown management, and significant contributions in engineering, providing added quality and mission research, and technology development assurance in lieu of the requirement for the across the entire life cycle of government launch service provider to obtain a and commercial launch vehicles, spacecraft commercial launch license. and their associated ground and surface systems, and equipment for current and The Commercial Crew Program, in future spaceflight customer needs. cooperation with the Johnson Space Center, is responsible for managing the investment IMPORTANT ACTIVITIES in the development of U.S. commercial end- to-end transportation systems so the United Kennedy Space Center has set the stage for States can safely, reliably, and cost America’s space programs for fifty years.

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By retrofitting its world-class ground MAJOR ISSUES systems and facilities for both government and commercial users, and infusing Enabling Commercial Space: KSC innovative ideas into on-going and forward- continues the transformation from a 30-year looking programs such as Launch Services, Space Shuttle program that represented a International Space Station, Commercial large part of KSC’s budget to a more diverse Crew, Orion, and Space Launch Systems, portfolio with new or smaller government the center helps NASA reach America’s programs and commercial operations. space exploration goals. NASA has many authorities highlighting our key role in enabling commercial space. In the coming decade, KSC will support the However, legislation, policies, processes, final construction and integration of the first and practices often were developed under a test flight of Orion, scheduled for 2014. This different operating model (only government will be followed by the first unmanned test use of NASA capabilities as opposed to flight of the new Space Launch System government and commercial use of NASA (SLS) in 2017, with the first manned flight capabilities). scheduled for 2021. Starting in 2012 KSC began the processing of ISS payloads for our Transforming Our Infrastructure to commercial partners, like SpaceX, who Support the Launch Systems of the through an agreement with NASA will Future: KSC is modernizing the center and provide commercial resupply capabilities to the to enhance existing the space station. capabilities and further transform KSC into a spaceport for the nation’s 21st-century In August of 2012, the Commercial Crew space programs, including future NASA Program, located at KSC, announced the programs and other potential government, selection of three companies that will Department of Defense, and commercial receive funding during the Commercial users. We are balancing the need to develop Crew Integrated Capability (CCiCap). and upgrade our aging heritage CCiCap has an expected initial capability by infrastructure before requirements are fully the year 2017 and includes the spacecraft, matured from various potential users with launch vehicle, ground operations, and flight long lead times for designing and operations – the entire life cycle. constructing unique launch and processing infrastructure. KSC’s Center Planning and Development Directorate will continue to pursue and Maintaining Critical Capabilities: KSC is develop partnerships with external approaching the first year without space organizations and bring new business to the shuttle activities, since Transition and center. Recent successes have included Retirement ends in FY 2013. In this post- agreements with Space Florida, allowing shuttle era, the center has many challenges them the use of KSC facilities like the with capabilities once funded by the shuttle Orbiter Processing Facility, the Space program, such as divesting of capabilities no Shuttle Main Engine Processing Facility, longer needed or funded and sustaining and the Processing Control Center. those capabilities deemed to be needed in the future.

Fiscally Constrained Environment: Since KSC’s institutional budget, Center

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Management Operations (CMO), has Discovery on STS-41 1990, pilot of already experienced several budget Discovery on STS-53 in 1992, commander reductions over the past few years, there is of Columbia on STS-65 in 1994, and no flexibility to fund capabilities not funded commander of Endeavour on STS-88, the by other entities. The center has already first International Space Station assembly implemented a minimal baseline approach mission, in 1998. In addition to his duties as that reduced $37 million in content over the an astronaut, Cabana’s NASA experience last two fiscal years. As CMO evaluates the includes assignments as Deputy Chief, impacts of additional reductions this budget Aircraft Operations Division; Chief, NASA cycle (ranging from FY 2014 - $24 million, Astronaut Office; manager, International or a 6 percent reduction, to FY 2018 - $68 Operations, International Space Station million, or a 16 percent reduction with an Program; Director, NASA Human Space over-10 percent average reduction), serious Flight Program in Russia; Deputy, questions about the viability of the International Space Station Program; and institutional service model arise. It is not Director, Flight Crew Operations. Cabana clear how routine institutional services and a graduated from the U.S. Naval Academy in facility maintenance program for the 1971, with a Bachelor of Science degree in protection and operation of facilities, Mathematics and was commissioned as an infrastructure, and equipment can be officer in the U.S. Marine Corps. He is a maintained with the proposed funding levels distinguished graduate of the U.S. Naval identified. The lack of funding escalation Test Pilot School and has logged more than for procurement requirements, utility costs, 7,000 hours in 45 different aircraft. and civil service salaries directly leads to a progressive gap that leaves few options for Janet Petro, Deputy Director, has served resolution. as Deputy Director of KSC since April 2007. Prior to joining NASA, she served in Summary: We face significant challenges various management positions for Science ahead. In these austere budget times, we Applications International Corporation, also must continue to become more efficient and known as SAIC, where she provided affordable, including partnering to share extensive program management and capabilities and enable commercial space. technical leadership since December 2000. KSC’s workforce and infrastructure are She also held various senior management transitioning, and we are focusing on positions with McDonnell Douglas maintaining critical skills with limited Aerospace, including program manager of a resources. classified $13 million U.S. Department of Defense program. She holds a Bachelor’s KEY PERSONNEL degree in Engineering from the U.S. Military Academy at West Point, NY, and a Robert D. Cabana, Kennedy Space Master of Science degree in Business Center Director, is the tenth Director of Administration from Boston University NASA KSC. Prior to this appointment, he Metropolitan College. served as director of NASA’s John C. Stennis Space Center. Cabana also served as Kelvin M. Manning, Associate Director, deputy director of the Johnson Space Center began his career at Kennedy in 1992 and has in Houston, TX. Cabana was selected as an served in a number of positions within the astronaut candidate in 1985 and has flown former Shuttle Processing Directorate four space shuttle missions: pilot of

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including Flow Director for Space Shuttle was a Systems Engineer with General Atlantis, Chief Engineer (acting) for Shuttle Electric Aerospace, Military and Data Upgrades, Vehicle Manager for Space Systems Operations and McDonnell Shuttle Columbia, and NASA Test Director. Douglas Space Systems Company. More recently, Manning was the Orion Division Chief in the Kennedy Constellation Manning obtained his Bachelor of Science Project Office. As an Air Force officer, degree from the U.S. Air Force Academy Manning served six years as a Space and has a Master of Science degree in Operations Analyst. Following his military Engineering Management from the service and prior to joining NASA, Manning University of Central Florida.

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4.9.8 LANGLEY RESEARCH CENTER (LARC)

MISSION STATEMENT expanding air mobility, exploring space, and definitively characterizing the Earth’s The Langley Research Center (LaRC) is a changing climate. Our work spans research, science, technology, and fundamental research to mission development development center that provides game- and operations with an eye toward the next changing innovations to enable NASA to generation of cutting-edge ideas that provide make significant contributions to the nation. new capabilities or significantly improve We are leaders in systems innovation for performance or cost.

ORGANIZATIONAL STRUCTURE

Figure 4.9.8-1: LaRC’s Organizational Structure

Located in Hampton, VA, NASA Langley and continues to be a vital contributor to Research Center was founded in 1917 as the aeronautics, space, and science programs, nation’s first civilian aeronautics laboratory. advancing how we fly within and outside our Langley has pioneered aviation breakthroughs atmosphere. Langley was home to the first

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Space Task Group for , leader Peace Prize, and notable aviation and space of the Viking Mission to Mars, has had more contributions that resulted in seven Collier than 20 successful space flight instruments for Trophies, over 1,400 patents, and numerous studying the Earth’s Atmosphere, a Nobel R&D 100 awards.

WORKFORCE

LaRC’s workforce distribution:

 Allocation of Full Time Equivalent (FTE) Civil Servants (including students) = 1,928.0  Contractors (Work Year Equivalents) = 1,700

BUDGET EST. ($M)

LaRC’s budget runout is presented below in Table 4.9.8-1.

President’s FY13 Budget Request FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Grand Total $766.4 $737.5 $791.1 $768.4 $750.2 $731.0 Table 4.9.8-1: Langley Research Center’s Budget Runout Estimates

CORE CAPABILITIES  Supporting the Orion Multi-Purpose Crew Vehicle (MPCV) and Space Langley Research Center’s core capabilities Launch System (SLS) Programs; provide expertise to the nation in: aerosciences; structures and materials;  Supporting Human Exploration and atmospheric characterization; entry, descent, Operations Mission Directorate and landing; and systems analysis. In support (HEOMD) exploration architectures of the research, technology, and flight definition, assessments, and concepts development activities that these capabilities development; enable, Langley maintains the nation’s largest  Providing engineering analysis and and most comprehensive set of civilian test expertise in support of aeronautics test facilities. These include major Commercial Space; research facilities that cover all flight regimes from subsonic to hypersonic, as well as  Developing new innovative several unique specialized facilities, technologies to enable the next laboratories, and simulators. generation of space and science missions; Langley’s core capabilities combined with its facilities are applied to solve some of the most  Leading critical Science climate challenging problems across the full spectrum change research, instrument of NASA missions, from the concept stage to development, and missions; flight, and include:

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 Providing entry, descent, and landing Langley’s Mission directorates consist of (EDL) expertise for planetary Product Units and Core Resource Units. The missions, including the recent and Product Units (Aeronautics Research, Space very successful Mars Science Lab Technology and Exploration, and Science (MSL)/Curiosity robotic mission to Directorates) are the primary customer Mars; and interface for center work, having overall budget integration and business execution  Leading and/or contributing to all of responsibility. The Flight Projects Directorate NASA Aeronautics programs across has focused responsibility on all Langley Fundamental Aeronautics, Aviation Research Center flight projects’ processes, Safety, Airspace Systems, and implementation, and execution. The Core Integrated Systems Research. Resource Units provide the science, research, technology, and engineering capabilities and Additionally, Langley and the NESC provide have lead responsibility for technical 911 support to other government Agencies, execution, including the discipline expertise such as the National Transportation Safety and facilities that comprise the previously Board, the Federal Aviation Administration, identified core capabilities. and Department of Defense, to solve challenging national problems. As an The Mission Support directorates provide the example, in FY2012 we supported the F-22 business support and services required to hypoxia concern, the V-22 envelop expansion, accomplish center work including: safety; and the KIOWA warrior helicopter procurement; legal; human resources and aerodynamic stability. equal opportunity programs; information and financial management; education and strategic FUNCTIONS analysis, communications, and business development. Langley Research Center’s organizational structure and functions align with the IMPORTANT ACTIVITIES Agency’s mission and mission support construct. The Office of Director provides Langley Programmatic Roles Tied to strategic direction and center leadership to Strategic Goals: Langley is focused on accomplish the Agency’s mission. Langley mission success in Human Exploration and hosts several Agency Functions and Agency Operations, Science, Space Technology, and Programs: the NASA Engineering and Safety Aeronautics research and development. Center, the Independent Program Assessment Specific activities include: Office, the Science Office for Mission Assessments, the Space Technology Game Human Exploration and Operations – Changing Development Program (GCDP) Langley supports the Orion Multi-purpose Office, Aeronautics Test Program Office, and Crew Exploration Vehicle (MPCV) the Earth System Science Pathfinder Program development, including leadership of the (ESSPP) Office. These organizations perform Launch Abort System (LAS); landing systems Agency roles ranging from independent development, including testing and analysis testing, analysis, and assessments for Agency (Langley’s Hydro Impact Basin tests); and decision makers, to developing new game- aerosciences across ascent (nominal and abort) changing technologies for future space and reentry. This aerosciences support missions, to supporting mission assessments includes aerodynamics, aerothermodynamics, for the Science Mission Directorate.

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and guidance navigation and control (GN&C) Space Technology - Langley is making analysis and wind tunnel testing. The same significant contributions across the full suite of aerosciences support is also applied to spectrum of Space Technology programs and the SLS development. At the strategic level, projects. Langley leads several GCDP Langley supports mission/architecture design projects, including: Lightweight Materials and and analysis, vehicle conceptual design, and Structures, Advanced Radiation Protection, technology and analyses. For and Hypersonic Inflatable Aerodynamic Commercial Space, Langley provides Decelerator (HIAD) [Langley led the very engineering and management support to the successful technology demonstration flight Commercial Cargo and Crew Program project, Inflatable Reentry Vehicle Offices, as well as engineering analysis and Experiment - 3 (IRVE-3), which launched test support to several commercial space during the summer of 2012]. Langley is companies via reimbursable Space Act developing concepts for a HIAD Atmospheric Agreements (SAAs). Langley serves as the Reentry Test (HEART) that would be the first deputy of the Space Radiation element of the spaceflight test of a large-scale, hypersonic Human Research Program (HRP) using inflatable aerodynamic decelerator, making unique expertise in radiation transport code the benefits of this technology available for a development and analysis, and supports the wide range of future science and exploration Advanced Exploration Systems (AES) activity missions. Langley is also leading the in radiation protection, Multi-Mission Space formulation of the Materials International Exploration Vehicle, and Deep Space Habitat, Space Station Experiment-X (MISSE-X) Common Avionics, and Autonomous Hazard project for the Technology Demonstration Avoidance and Landing Technology Missions (TDM) program in support of the (ALHAT) development. Space Technology Mission Directorate.

Science – Langley will continue to obtain and Aeronautics – Langley is actively involved in analyze critical data from Cloud-Aerosol aeronautics research projects within the Lidar and Infrared Pathfinder Satellite Fundamental Aeronautics, Aviation Safety, Observation (CALIPSO), Clouds and Earth’s Airspace Systems, and Integrated Systems Radiant Energy System (CERES) instruments Research Programs, and contributes to the operating on the Terra and Aqua spacecrafts, advancement of ground and airborne testing and CERES Flight Model - 5 (FM-5) on capabilities within the Aeronautics Test Suomi National Polar-orbiting Partnership Program. Langley is developing innovative (NPP) spacecraft. Langley is preparing the solutions and advanced technologies required Stratospheric Aerosol and Gas Experiment III for the next generation of air transportation (SAGE III) instrument on International Space known as NextGen, and supports decision Station (ISS) for launch in 2015 and the analysis through vehicle conceptual design, follow-on CERES FM-6 instrument. Langley technology trades, and assessments. NASA’s provides system engineering leadership to the foundational and systems-level research Committee on Earth Observing Satellites across all flight regimes, including expertise in (CEOS). Langley will lead the airborne aerosciences, structures and materials, DISCOVER-AQ mission under Earth Venture airspace modeling and simulation, combined (EV-1) of ESSPP, and Langley will continue with its related test infrastructure are essential to provide EDL analysis supporting future to tackling the aviation safety, energy planetary missions. efficiency, and environmental challenges that must be addressed to make NextGen a reality.

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Addressing these challenges will enable: Equivalent (FTE) Civil Servant ceilings simultaneous reduction in fuel burn, noise and through FY15. This limits hiring and the emissions; routine operation of unmanned ability to acquire skills in new emerging areas. aerial vehicles in the National Airspace Training can help with this issue, but ever System; enhance aviation’s ability to diagnose tightening Center Management and and respond to problems or system failures; Operations (CM&O) budgets limit the funding and improve the flow and efficiency of the air available for this training. transportation system while maintaining safety and security. Langley is planning a new Hypersonics - The FY13 NASA budget proposed Advanced Composites Initiative to reduction within hypersonics research places accelerate the timeline to bring innovative NASA’s — and thus the nation’s — air- composite materials/structures products to breathing hypersonic capabilities at risk. market – moving from a 10-20 year template Given that the cost of access to space is for development and certification to a 3-5 year extremely high, NASA needs to look at cycle. options for the generation after next access to space launch system that hold the potential for Revitalization of the Center’s reduced cost. NASA studies (c. 2002) Infrastructure and Workforce to Meet conducted under the Next Generation Launch Future Mission Needs and Emerging Technology Program identified hypersonic Technologies - Langley’s physical air-breathing propulsion as one such option infrastructure revitalization strategy (ViTAL) that reduced cost, and in certain vehicle includes six new, state-of-the-art facilities, architectures, also greatly improved safety and renovation of critical infrastructure, and operational flexibility compared to rocket- demolition of non-essential assets, all of powered launch vehicles. It is in NASA’s which enable Langley to respond to the long-term interest to mature these hypersonic strategic and infrastructure challenges of the air-breathing propulsion-powered vehicle Agency while making the center more technologies to higher technology readiness efficient to operate. Execution of this 20-year levels, allowing well-informed decisions when revitalization strategy reduces the operations NASA requires the generation after next space and maintenance burden of the aging campus, launch system. Given the current budget while enabling future mission success. In scenario, hypersonic airbreathing propulsion addition to the physical infrastructure, technology research will be restricted to Langley initiated new studies to develop primarily near and mid-term Department of comprehensive, multi-year transformation Defense (DOD) applications. plans that are strategically aligned with future mission priorities and emerging new skills, KEY PERSONNEL such as modeling and simulation, that include both workforce and computational tools, and Lesa B. Roe, Center Director. In October of methods and infrastructure. 2005, Roe was named Director of NASA’s Langley Research Center. She is responsible MAJOR ISSUES for the center’s technical implementation of aeronautical, space, and science programs and Workforce Reshaping - The center’s ability overall management of the center’s facilities, to reshape the workforce skill mix to align personnel, and administration. She started her with current and future mission requirements NASA career in 1985 and has over 25 years in is limited due to workforce age demographics engineering, technical, and managerial and continually reduced center Full Time

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positions in government and private industry, Bachelor of Science and Master of Science including NASA center leadership, degrees in electrical engineering from the International Space Station program University of Virginia in 1984 and 1987, management, technical management, and respectively. He is a recipient of the NASA project engineering experience. She has Outstanding Leadership Medal and the worked at three NASA centers, including Presidential Rank Award of Meritorious Johnson Space Center and Kennedy Space Executive. Center. She holds a Bachelor of Science degree in Electrical Engineering from the David E Bowles, Center Associate Director. University of Florida and a Master of Science As Associate Director, Bowles is responsible degree in Electrical Engineering from the for day-to-day operations of the center and is University of Central Florida. Roe has senior advisor to the Center Director. Bowles received numerous honors, including the began his NASA career in 1980 and has Presidential Rank Award, Exceptional Service served Langley as Director of Exploration and Medal, and is an Associate Fellow in AIAA. Space Operations; Project Manager in NASA’s Next Generation Launch Technology Stephen G. Jurczyk, Center Deputy Program and in NASA’s Advanced Subsonic Director. As Deputy Director, Jurczyk assists Technology Program; and as Assistant Head in general management and helps plan, of the Applied Materials Research Branch. organize and direct center and inter-center Bowles completed a Senior Executive Service activities to advance research significant to developmental assignment at Marshall Space national aerospace programs and objectives. Flight Center, and has served on several He began his NASA career at Langley in Agency-wide teams. He earned Bachelor of 1988, has worked at Headquarters and Science, Master of Science, and Ph.D. degrees Goddard Space Flight Center, and has served in Engineering Mechanics from Virginia Langley as Deputy Director for Flight Polytechnic Institute and State University in Systems; Director of the Systems Engineering 1978, 1980, and 1990, respectively, and is a Competency; and Director of the Research recipient of NASA’s Outstanding Leadership and Technology Directorate. Jurczyk earned Medal.

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4.9.9 MARSHALL SPACE FLIGHT CENTER (MSFC)

MISSION required for space operations, exploration, and science. The center also manages the The Marshall Space Flight Center (MSFC) Michoud Assembly Facility, which supports performs systems engineering and integration the unique manufacturing and assembly needs for both human and robotic space missions. of current and future NASA programs, and Marshall performs engineering design, provides critical telecommunications and development, and integration of the systems business systems for the Agency.

ORGANIZATIONAL STRUCTURE

Figure 4.9.9-1: MSFC Organizational Structure

WORKFORCE

MSFC’s workforce distribution:

 Allocation of Full Time Equivalent (FTE) Civil Servants = 2,489.6  Contractors (Work Year Equivalents) = 2,913

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BUDGET EST. ($M)

President’s FY13 Budget FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Request Marshall Space Flight Center $2280.9 $2170.9 $2230.0 $2281.9 $2307.6 $2255.8 Table 4.9.9-1: Marshall Space Flight Center Budget Runouts

CORE CAPABILITIES develop, test, and evaluate materials, processes, designs, and systems for space Marshall provides the Agency with mission transportation, as well as full-up vehicles. The critical design, development, and integration development of complex space transportation of the propulsion, transportation, and space systems, including a national heavy-lift systems required for space operations, capability, is critically important to enhance exploration, and scientific missions. The U.S. aerospace competitiveness. Under Center is also responsible for management of NASA’s Human Exploration and Operations critical mission support efforts that provide Mission Directorate’s Exploration Systems telecommunications and business systems for Development Division, the center oversees the the Agency. Marshall is one of NASA’s design, development, and delivery of the largest field centers, occupying more than Space Launch System (SLS), the nation’s new 1,800 acres on the U.S. Army’s Redstone heavy-lift launch vehicle. Marshall also Arsenal. Marshall Space Flight Center’s provides solid rocket booster engineering and unique capabilities support sustaining expertise to the Orion Multi-Purpose Crew engineering for today’s challenging missions, Vehicle’s launch abort system. The center is a while pioneering future U.S. journeys of leader in space transportation system design, discovery beyond Earth orbit. analysis and testing of structural, avionics, and flight mechanics systems. Propulsion Systems: Marshall researches, develops, tests, and matures propulsion Space Systems: Marshall develops and systems and technologies for both Earth-to- manages human space systems that not only orbit launch and in-space missions. The center sustain humans in space, but also enable managed key propulsion hardware and scientific observations, instrument technologies required to maintain the space deployment, and resource exploration. Many shuttle’s safe operation until it was retired. of Marshall’s space systems are currently Marshall has significant expertise in chemical, operational on the International Space Station, nuclear, and propellant-free propulsion including logistics modules and connecting systems, as well as new green energy sources, nodes, the Environmental Control and Life such as space solar power and high-energy Support System (ECLSS), the Materials electric propulsion. Marshall has also Science Research Rack (MSRR), and the developed new propulsion technologies such Microgravity Science Glovebox (MSG). As as the Fastrac engine system, which was home to the Payload Operations Center, developed in only three years and is the NASA’s primary International Space Station foundation for the SpaceX Merlin engine. (ISS) science command post, Marshall plays a key role in coordinating and supporting U.S. Space Transportation: Marshall capabilities and international experiment activities on the and expertise support every stage of spacecraft station. Marshall’s space systems capabilities and vehicle development. Teams at the center and expertise applied to space systems

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technology demonstrations, scientific stage engines, boosters, and stages); the spacecraft and advanced concepts for future cryogenic propulsion stage; and spacecraft and habitats is helping to lay the foundation for a payload integration. The SLS Program Office new era of space exploration. includes a Ground Operations liaison and an Advanced Development Office with the Scientific Research: Marshall’s expertise responsibility to identify and prioritize opens the door to new scientific discoveries. upgrades to evolve the launch vehicle as Since the early days of the space program, the required by future exploration missions. center has expanded human understanding through scientific exploration of Earth, the The Science and Technology Office is solar system, and the universe. The center’s responsible for managing programs and expertise in scientific specialties of projects outside of traditional transportation planetary/lunar, Earth sciences, and high- elements like the shuttle and the Space Launch energy sciences has enabled programs such as System (SLS). As such, it performs the Chandra X-ray Telescope, Gamma-ray researches, conceives, develops, integrates, Large Area Space Telescope (GLAST) Burst operates, and manages activities for NASA Monitor, Hinode solar research satellite, science and exploration missions. The office Hurricane Imaging Radiometer (HIRAD), and also manages and develops new technologies Discovery and New Frontiers solar system for exploration. The office has made key exploration programs. The Short-term contributions to the state of the art in Earth Prediction Research and Transition (SPoRT) science (including weather prediction and Center translates high-resolution scientific climate change), space science, and human data for use by the National Weather Service exploration. The office manages the and the SERVIR project integrates satellite operations and data analysis of the Chandra X- information about natural or man-made ray Observatory Program and the Fermi disasters to provide real-time information to Gamma Ray Burst Monitor. Advanced public health agencies and relief workers. exploration-focused technology projects, include but are not limited to: development of FUNCTIONS lightweight materials and structures, advanced propulsion systems, nuclear fission surface The Space Launch System Program Office power and nuclear propulsion technologies, is responsible for developing the heavy-lift cryogenic propellant storage and transfer, and launch vehicle that will expand human advanced in-space propulsion systems. presence to destinations beyond Earth orbit. This new rocket will be capable of lifting the The Flight Programs and Partnerships Orion Multi-Purpose Crew Vehicle (MPCV) Office manages the implementation of the to asteroids, Lagrange Points and ultimately center’s work in the areas of Human for missions to Mars. It will also serve as a Exploration projects and tasks, flight mission backup launch system for supplying and programs, and external partnerships. The supporting the International Space Station office performs program management of cargo and crew requirements not met by other MSFC-hosted science and technology flight available launch vehicles. SLS Program mission programs and project or program Office responsibilities involve activities management of MSFC-led medium to large associated with launch system hardware science missions – from Discovery and larger development and integration, including: to flagship class robotic spacecraft missions. propulsion systems (core stage and upper The ISS office manages and operates human

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spaceflight payloads and facilities, including encompass the Space Shuttle Main Engine, the Environmental Control Life Support External Tank, Reusable Solid Rocket System. The office provides project and Booster, and Constellation Ares projects. engineering support for the Launch Abort Systems for the Orion MPCV. The office also The Safety and Mission Assurance manages STMD Technology Demonstration Directorate plans, establishes, implements, Missions, with responsibility for each project and directs all safety and mission assurance development, launch, on-orbit checkout, activities for Marshall in-house and contracted mission operations, and data analysis. The activities to ensure compliance with program Partnerships Office identifies opportunities to and project requirements and controls, and develop and maintain partnerships external to provides support and independent evaluations the Agency, including commercial, other of projects and programs for compliance with government agencies, academia and, in and implementation of NASA requirements. coordination with the Headquarters Office of International and Interagency Relations, The Michoud Assembly Facility in New international partners. Orleans is an Agency-owned manufacturing facility that is managed by Marshall to provide The Engineering Directorate provides the vital support to NASA exploration and highly skilled technical workforce that discovery missions. The Facility’s capabilities sustains space propulsion systems and include the manufacture and assembly of supports the range of science missions under critical hardware components for the space Marshall’s purview. The Directorate conducts shuttle and exploration vehicles under research and development activities related to development at Marshall and other NASA engineering design, system integration, field centers. material and process engineering, test and evaluation, data analysis, space systems, IMPORTANT ACTIVITIES payload operations, and system simulation. The Directorate’s broad expertise in The NASA Enterprise Applications propulsion, materials, electrical, mechanical, Competency Center (NEACC), located at thermal, software, and systems engineering Marshall, is designed to lead and sustain the makes it the focal point for technical transformation of NASA’s administrative and excellence across the range of products business processes using enabling technology Marshall delivers to further NASA’s strategic and proven industry best practices. The goals and in working with a variety of partners NEACC manages the majority of business and implementing industry best practices. systems that enable the major financial, procurement, logistics, human capital, and Shuttle-Ares Transition Office was security processes for the Agency. This established pursuant to the agency’s transition approach is consistent with the overall Federal plan. The office is responsible for Government strategy to consolidate, identification and disposition of all areas standardize, and modernize internal business associated with the transitioning and close-out processes to improve efficiencies and of the space shuttle and Constellation streamline Agency business functions. Program’s Ares Projects Office, including real Marshall is responsible for the overall and personal property, capabilities, hardware, management of NASA’s IT communication records, and associated workforce as they networks. The NASA Communications affect Marshall. These responsibilities Service Office (CSO) is led out of MSFC and

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is responsible for the implementation, MAJOR ISSUES evolution, and operations of NASA’s wide- area-networks and local networks at each Marshall’s strategic transition from a post- NASA center. The CSO’s mission is to shuttle environment to one that strengthens provide high quality, cost-effective and aligns its core competencies with the telecommunications systems and services. exploration mission of the agency is ongoing The centrally controlled resources that and affects the entire center’s workforce, comprise the NASA Integrated Space facilities, and infrastructure. The center Network (NISN) Wide Area Network (WAN) provides mission-critical expertise for space services provide an effective means for NASA operations, exploration, and scientific centers and facilities distributed across the missions. Where appropriate, the center is United States and abroad to communicate on pursuing partnerships with the aerospace NASA internal planning and operations of community to make available its unique NASA aeronautic and space missions. facilities, capabilities, and expertise.

The Agency Consolidated End-User KEY PERSONNEL Services (ACES) activity, managed by the Marshall Center, is one of five contracts under Patrick E. Scheuermann, Center Director. NASA’s Information Technology Scheuermann was named director of Marshall Infrastructure Integration Program (I3P). in September 2012. From 2010 to 2012, he ACES is a consolidated solution for delivering served as director of NASA’s Stennis Space end-user IT services across the Agency to Center where he implemented the Agency’s achieve increased efficiencies and reduced mission in the area of rocket propulsion costs through standardization. Services testing; developed and maintained NASA’s include: purchasing, management, and support world-class rocket propulsion test facilities; of computers, printers, cellular devices, office and ensured Stennis continued to serve as the software, and NASA Operational Messaging systems engineering center for the Agency’s and Directory Services (NOMAD) email and applied science activities. Scheuermann was calendar. HP Enterprise Services is NASA’s deputy director at Stennis from 2008 to 2010, end-user IT service provider. and served as associate director from 2007 to 2008. From 2005 to 2007, he was the chief The Earned Value Management (EVM), a operating officer of NASA’s Michoud NASA initiative supported by Marshall, was Assembly Facility in New Orleans, LA. From implemented across the Agency. The center 1998 to 2000, Scheuermann served in serves as the NASA Earned Value Washington, DC as a legislative fellow for Management (EVM) Program Executive, U.S. Senate Majority Leader Trent Lott of which oversees Agency policy, strategic Mississippi. Scheuermann joined NASA in planning, and implementation of performance 1988 as a propulsion test engineer at Stennis. management processes and tools. Marshall A native of New Orleans, Scheuermann also helps improve the Agency’s project received a Bachelor’s degree in Mechanical management processes by providing subject Engineering in 1986 from the University of matter expertise in developing Agency New Orleans. handbooks for program control topics, and serves as the functional manager and database Vacant, Deputy Director. administrator for the Agency-wide EVM data analysis tool, wInsight, and Cobra.

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Robin N. Henderson, Associate Director. 2002). Henderson began her career at NASA Henderson was named associate director of in 1983 as a technical analyst and Marshall in 2004. She previously served as subsequently served in a progressive series of chief operating officer of the National Space roles leading to her current appointment. She Science and Technology Center (2002-2004) earned a Bachelor’s degree in Industrial and as deputy manager of Marshall’s Engineering from the University of Alabama Microgravity Research Program Office (1998- in Tuscaloosa.

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4.9.10 JOHN C. STENNIS SPACE CENTER (SSC)

MISSION STATEMENT Exploration and Operations Mission Directorate. It serves as Systems Engineering Center for and The John C. Stennis Space Center (SSC) manages assigned Applied Sciences program implements NASA’s mission in areas assigned by activities for the Science Mission Directorate. SSC two Agency Mission Directorates. The center serves as the federal manager and host Agency of a manages and operates Rocket Propulsion Test major government multi-agency center. facilities and support infrastructure for the Human ORGANIZATIONAL STRUCTURE

Figure 4.9.10-1: SSC Organizational Structure

WORKFORCE

SSC’s workforce distribution:

 Allocation of Full Time Equivalent (FTE) Civil Servants = 307.0

 Contractors (Work Year Equivalents) = 1,070

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BUDGET EST. ($M)

President’s FY13 Budget Request FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Stennis Space Center $179.1 $152.1 $125.8 $137.0 $140.7 $141.8 Table 4.9.10-1: Stennis Space Center’s Budget Runout Estimates

 Project Directorate (PA00), CORE CAPABILITIES  Center Operations Directorate (RA00), Stennis is NASA’s premier center for liquid and rocket propulsion testing, providing a full range of capability, including component,  The Rocket Propulsion Test Program subsystem, engine system, and integrated Office (TA00). stage testing. The four large-engine test stands, canal system, and 125,000-acre acoustical buffer zone are considered These organizations perform the following national assets. Stennis is also host to the activities: Navy, NOAA, NASA Shared Services Center, a number of state universities, and  Execute the center’s major lines of several commercial companies for a total of business in rocket propulsion testing; 5,131 personnel and an annual economic impact of $682 million within a 50-mile  Manage propulsion test projects for radius of the center. NASA, commercial customers, and other government agencies; MAJOR PROGRAMS/PROJECTS  Perform advanced planning for NASA The two major programs currently supported programs to ensure Stennis is aligned by Stennis are the Space Launch System with the Agency’s strategic plan and Program (SLS) and the Commercial initiatives; Spaceflight Program. This includes the SLS Core Engine (RS-25), Upper Stage Engine  Extend the benefits of NASA’s (J-2X), integrated core stage test, Orbital investment in Earth system science to Science’s flight certification of their AJ-26 demonstrate the value of advanced first stage engine, and ’s engine Earth observations, models, and component development testing. research for the nation;

FUNCTIONS  Provide a comprehensive, integrated program of institutional services for the SSC’s major functions are discussed immediately below. center;  Provide leadership for NASA’s rocket Mission Directorates at Stennis Space Center include: propulsion testing assets, activities, and resources; and  The Engineering and Test Directorate (EA00),

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 Manage the center’s day-to-day  Reliable safety, risk, independent operations. assessment, configuration management and quality assurance expertise for all Mission Support Offices include: programs, facilities, and support infrastructure.  Office of the Chief Financial Officer (BA00), IMPORTANT ACTIVITIES

 Office of the Chief Counsel (CA00), Stennis currently operates 11 major test positions ranging from a small rocket engine  Office of Procurement (DA00), component test capability to large rocket  Office of Education (UA00), engine and stage test. SSC is currently supporting the Space Launch System (SLS)  Office of Public Affairs (IA00), by testing the J-2X upper stage engine. SSC is also conducting planning to test the SLS  Office of Human Capital (LA00), and core stage engine (RS-25). Early facility restoration work has begun to enable testing  Office of Safety and Mission Assurance of the SLS core stage prior to its first flight. (QA00). The A-1 Test Ttand is currently being These offices carry out the following utilized for development testing of the turbo functions: machinery subsystem of the J-2X engine system. By the first quarter of the year it  Business and financial support to center will be transitioned to J-2X engine system programs, institutions, and resident development testing. agencies; The A-2 Test Stand is currently being  Legal counsel and assistance to all utilized for the development and organizational elements; certification of the J-2X engine system.

 Sound acquisition management and Construction of the A-3 Test Stand is on capabilities consistent with federal schedule to be completed in 2013. acquisition regulations and NASA Activation planning is in work and activation testing is anticipated to begin Policy Directive (NPD) 5101.32; midyear.  Effective communications with all constituencies; The B-1 Test Stand is currently used by Pratt Whitney Rocketdyne, pursuant to a  Strategic human capital management; Space Act Agreement, for development, and certification, and acceptance testing of the RS-68 engine for the Delta IV launch vehicle for the U.S. Air Force.

The B-2 Test Stand restoration work is underway to prepare for integrated stage level testing for the core stage of the SLS

• 232 • The NASA Presidential Transition Binder launch vehicle. Restoration of primary test NASA rocket and untethered propulsion stand systems and design and construction system testing and tenant related activities, of unique test article interface systems are such as unmanned aerial vehicle (UAV) required. This facility was last utilized to research and development programs, and the support the Boeing Company’s Delta IV Department of Defense (DOD) training Common Booster Core stage in 2001. missions, will be achieved more effectively and efficiently. The E-Complex has three test stands (seven positions) that provide development rocket MAJOR ISSUES component, subsystem, and engine testing for NASA, Department of Defense (DOD), The Aging Infrastructure and cuts in and commercial customers. The E-1 test preventive maintenance on 45 year old facility is currently being utilized to support facilities is a concern. A number of facilities flight acceptance testing for the AJ-26 are showing fatigue and are in need of engine for Orbital Science’s Antares launch repair, renovation, and modification. The vehicle in support of the Commercial problem is being resolved through repair and Resupply Services Program as well as mitigation funding and construction of providing development testing to Blue facility resources. One major project Origin in support of the Commercial Crew underway is to upgrade the High Pressure Development Program. The E-2 facility is Industrial Water pipeline to the A-1, A-2, conducting testing to mitigate operations and B-1/B-2 Test Stands. This project will risks for the new A-3 test facility. The E-3 reset the age of this system back to a “new” facility is conducting tests on the main status, providing a critical capability to the engine of the Johnson Space Center (JSC) test stands that will be supporting the Morpheus Lander in support of the Agency’s future testing needs. In addition, Advanced Exploration Systems Program. the B-2 Test Stand is scheduled for a major The E-1 facility is slated for future testing in overhaul in anticipation of future testing support of the SLS Advanced Booster requirements with initial funding received in Development Risk Reduction Program. FY12.

In addition to rocket propulsion activities, The Funding Profile for Rocket Stennis has evolved into a multi-disciplinary Propulsion Test Program (funded in Space laboratory compromised of other resident Operations) is a concern since it will not federal and state agencies, engaged in space, cover increases in the cost of required goods environmental, and national defense and services resulting from annual inflation programs. To meet the increasing NASA (escalation). This will lead to a reduction in requirements as well as those of our resident critical workforce and facility maintenance agencies, NASA is well on the way to required to sustain test support. completing its request to the Federal Aviation Administration (FAA) to expand KEY PERSONNEL the current restricted air space and establish military operating areas (MOAs) over and Richard J. Gilbrech, Director of NASA’s around Stennis control lands. The expanded John C. Stennis Space Center, serving restricted air space and MOAs, coupled with near Bay St. Louis, MSI. Prior to this our unique buffer zone of approximately appointment, he served as Deputy Director 125,000 acres, the operational needs of of Stennis. Dr. Gilbrech began his NASA

• 233 • The NASA Presidential Transition Binder career in 1991 at Stennis in the area of Science and Ph.D. degrees in Aeronautics propulsion test technology. In 1995, he from the California Institute of Technology. became Stennis National Aerospace Plane project manager, responsible for Kenneth Human, Associate Director of construction, activation, and operation of a NASA’s John C. Stennis Space Center. facility to test actively cooled structures. Dr. Prior to assuming his current position, Gilbrech accepted a six-month detail at the Human served as Deputy Manager, External Johnson Space Center in Houston in late Integration Office, International Space 2000, where he served as Technical Station Program, and was responsible for Assistant to the Space Shuttle Program managing the Program’s external interfaces Manager. He then returned to Stennis as and relations with customers, both within Deputy Director of Propulsion Testing. In the U.S. and abroad. Human began his 2003, Dr. Gilbrech was named manager of career with NASA as an attorney at Stennis the Propulsion Integration Office, Space Center in 1978, shortly after receiving responsible for managing NASA’s rocket his Juris Doctor degree from the Franklin propulsion test facilities. In late 2003, he Pierce Law Center and being admitted to the relocated to Langley Research Center in bar in Virginia. Human served as Chief Hampton, VA, to serve as a principal Counsel at Stennis for 21 years. Human has engineer in the NASA Engineering and also been admitted to the bar in Louisiana Safety Center. He later served as Deputy of and Texas, and is a member of the American the NASA Engineering and Safety Center at and Federal Bar Associations. He received Langley and as Deputy Director of the his Bachelor of Arts degree in English Center. In February 2006, Dr. Gilbrech was literature from George Washington named Director of Stennis Space Center, University in 1973. Human graduated from serving in that role until joining NASA’s the Senior Executive Fellows fellowship Exploration Systems Mission Directorate at program at the John F. Kennedy School of Headquarters in October 2007. He left Government at Harvard University in April NASA in November 2008 to work in of 2005, and he also graduated from the industry and returned to NASA Stennis as Federal Executive Institute “Leadership for Associate Director in April 2009. Gilbrech a Democratic Society” in March 1995. He received a Bachelor of Science degree from completed the Senior Executive Service Mississippi State University, and Master of Leadership Program in 2004.

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5.0 NASA BUDGET AND HISTORY OVERVIEW

by the OCFO. Until the OCFO completes its INTRODUCTION validation effort with the Department of Treasury, this “roughly right” reconstruction The Agency’s budget history displayed below remains the most detailed reconstruction has been assembled drawing on data contained currently available. in the NASA History Volumes and Agency Operating Plans from the last decade. Unfortunately, records maintained by the Figure 5-1 reflects NASA’s entire budget Office of the Chief Financial Officer (OCFO) history in real Year $ TQ or “Transition have been misplaced or lost as a result of Quarter,” reflecting the change in the personnel and systems changes and the NASA definition of the fiscal year that occurred History Volumes have proven to be less than between 1976 and 1977. Although the graph reliable data sources. There are discrepancies below depicts a continual rise in resources, between the data taken from those volumes when comparing all years with FY2005, there and selected records subsequently assembled is actually a considerable decrease in buying power from NASA’s earlier Apollo years. NASA Budget History $s in Millions

Figure 5-1: NASA Budget History in Real Year $

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NASA Budget History CY2005 $M

Figure 5-2: NASA History in Constant Year 2005 $

Figure 5-2 displays the same history in 2009, there is a steady decline in our annual constant year 2005 dollars. The average budget due to the need to restrain federal annual budget from FY1959 to FY2012 in spending. It should be noted that NASA constant year 2005 dollars is $14.8B. Figure appropriations have not kept pace with the 5-3 displays the same budget in constant inflation presented in the historical tables FY2005 dollars; we can see the fiscal stress included in each of the President’s Budgets points over the years. More importantly, since since the early 1990s.

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NASA Budget History: Account Percentage of Total in Constant FY 2005 $s

Manned Space Flight Science Aeronautics Space Technology Research (fr Code R) Tracking Other/Cross Agency Programs IG

Figure 5-3: NASA History in Percentages Based on Constant Fiscal Year 2005$

Figure 5-3 shows each account over time as a each year. Both Science and Human percentage distribution to major accounts in Exploration Operations combined investments Constant Year 2005 dollars. The dotted red constitute between 70 - 94 percent of NASA’s vertical line shows the point in 2005 that budget in any given year, except in 1959 and serves as the baseline year for the budget in 1960.

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NASA Budget History CY2005 $M Deflated with OMB Chained GDP FY13 President's Budget

Science Aeronautics Space Technology Research (fr Code R)

Figure 5-4: Constant Year 2005 $ View of Allocations to the Various Major Accounts

Figure 5-4 displays NASA’s Budget history in both Science and Human Exploration based on the nation’s gross domestic product Operations. Additionally, this also reflects and deflators used to convert current dollar when NASA began aggregating from other outlays to constant year 2005 dollars. The accounts such as the Cross Agency (CAS) and constant dollar deflators are based on chain- Headquarters Support, which includes weighted (FY 2005 chained-dollars) price Education (beginning in 2008). From indices derived from the National Income and FY2005, which serves as the base year, to the Product Accounts data. This graph is completion of FY12, NASA’s average budget consistent with the previous graph, which authority has experienced modest a decrease shows the preponderance of our investments from $16.2B to $16.1B.

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controls for operating under the “Continuing 5.1 CURRENT ACCOUNT Appropriations Resolution 2013” dated APPROPRIATIONS STRUCTURE September 10, 2012 and is in effect from The current appropriations structure for FY October 1, 2012 through March 27, 2013. The 2012 is shown in Figure 5-4 and reflects a terms of the FY2013 CR includes obligating at total budget of $17.77B for the year. 100.6 percent of the FY2012 appropriation Highlighted in yellow are the Appropriation level; NASA chose to take a conservative account names which sums to NASA’s total approach in calculating our CR levels and did budget authority. Beneath the accounts and not include the above the board increase indented are the respective themes. The (ATBI) of 0.621 percent. NASA’s planned FY2013 CR totals to $16.864B and is shown Science Appropriation includes five themes: rd James Webb Space Telescope (JWST), Earth in the 3 column of Table 5.1-1. NASA still Science, Planetary Science, Astrophysics, and retains transfer authority subject to Heliophysics. Space Technology is a reprogramming and NASA will not terminate relatively new account that began in FY2012. or initiate new programs under the period of Currently, the Exploration and Space the CR. As a result of the uncertainty, NASA Operations combined make up the Human has chosen to run conservatively under the CR Exploration Operations (HEO) Mission given the lean fiscal landscape. Typically, Directorate. The remaining appropriations NASA only obligates three-quarters of the include Aeronautics, Education, Cross Agency resources under the CR, which would equate Support, Construction and Environmental to an annual rate of $13-14B. For the FY13 Compliance and Restoration, and the CR, NASA established account level controls Inspector General. by selecting the lower of the FY12 level, the FY13 request, and the House and Senate The FY2013 continuing resolution (CR) levels marks for FY 13, with a few exceptions (e.g., in the 3rd column display the proposed NASA funding JWST at FY13 levels to maintain schedule).

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Agency ($m) FY 2012 FY2013 CR Levels Science* $5,085 $4,862 Earth Science $1,761 $1,761 Planetary Science $1,500 $1,192 Astrophysics $672 $659 JWST $530 $628 Heliophysics $622 $622 Aeronautics $569 $569 Space Technology $575 $575 Exploration $3,767 $3,767 MPCV $1,200 $1,200 SLS + EGS $1,860 $1,860 Commercial Spaceflight $406 $406 Exploration Research & Development $302 $302 Space Operations* $4,222 $3,723 Space Shuttle $570 $71 International Space Station $2,830 $2,830 Space and Flight Support $822 $822 Education $136 $100 Cross-Agency Support* $2,994 $2,848 Center Management & Operations $2,204 $2,093 Agency Management & Operations $790 $754 Construction & Env Compliance & Remediation* $385 $384 Construction of Facilities $340 $340 Environmental Compliance & Restoration $45 $45 Inspector General $38 $37 NASA FY 2013* $17,770 $16,864 *The total for FY 2012 is post-rescission, and does not include Above the Board Increase (ATBI=0.621%, as included in the House Bill). Totals may not add due to rounding Table 5.1-1: FY12 Appropriations Structure and FY 2013 CR Levels

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6.0 NASA MAJOR MISSIONS

Space Technology Mission Directorate INTRODUCTION (STMD) – Note: at the time this document NASA currently has more than two dozen was created the Agency was in the process of major missions underway or planned among restructuring the Office of Chief Technologist its four Mission Directorates, listed below: and setting up a separate Space Technology Mission Directorate Human Exploration and Operations Mission Directorate (HEOMD) This section profiles some of NASA’s major missions. These missions are large-budget Science Mission Directorate (SMD) missions and/or high visibility. A description of these missions is provided, along with Aeronautics Research Mission Directorate issues associated with the missions. (ARMD)

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6.1 HUMAN EXPLORATION AND OPERATIONS MISSION DIRECTORATE (HEOMD)

The Human Exploration and Operations Commercial Space Transportation, Human Mission Directorate (HEOMD) provides the Space Flight Capabilities, Advanced Agency with leadership and management of Exploration Systems, and Space Life Sciences NASA space operations related to human Research & Applications. exploration in and beyond low Earth orbit The directorate is similarly responsible for (LEO). HEOMD also oversees low-level Agency leadership and management of NASA requirements development, policy, and space operations related to Launch Services, programmatic oversight. The International Space Transportation, and Space Space Station, currently orbiting the Earth Communications and Navigation in support of with a crew of six, represents the NASA both human and robotic exploration programs. exploration activities in LEO. Exploration activities beyond LEO include The following describes some of HEOMD’s managing Exploration Systems Development, major flight missions.

6.1.1 INTERNATIONAL SPACE STATION (ISS) ISS is critical in order to accomplish the DESCRIPTION following: The International Space Station (ISS) is a complex of research laboratories in low Earth  Understand the effects of space orbit in which NASA and international environments on the human body; astronauts conduct scientific and technological  Develop techniques for mitigating these investigations in a space environment. The hazards; objective of the ISS is to support scientific research for human space exploration and  Minimize the logistical burden of other activities requiring the unique attributes supporting humans far from Earth; of the space environment. ISS research is  Address remote medical emergencies; focused on science and technology and development that will prepare human explorers to travel beyond LEO. The ISS  Demonstrate enabling technologies for serves as a platform for research activities that human exploration. help achieve this goal. Research aboard the

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Figure 6.1-1: The International Space Station.

The ISS Program represents an unprecedented extending ISS utilization and operations to its level of international cooperation. The ISS original design life of 2028 through engaging International Partnership is composed of our U.S. stakeholders and international NASA, the Russian Federal Space Agency partners. (Roskosmos), the Canadian Space Agency (CSA), the European Space Agency (ESA), The ISS represents an unparalleled capability and the Japan Aerospace Exploration Agency for human space-based research that cannot be (JAXA). International participation in the pursued on Earth, as well as a platform for the program has significantly enhanced the development of exploration technologies capabilities of the ISS. critical to NASA’s future missions of exploration beyond LEO. It is a place to learn The ISS has completed assembly and has how to live and work in space over a long entered an intensive research phase through at period of time, foster new markets for least 2020. As an international partnership, commercial products and services, and the ISS is driving technological breakthroughs provide unique benefits to the citizens of the and scientific discoveries that enable future U.S. and the world. space exploration and realize benefits to our global societies. The strategic challenge now The ISS supports research across a diverse is to explore the benefits and opportunities of array of disciplines, including high-energy

• 243 • T h e N A SA Presidential Transition Binder particle physics, Earth remote sensing and interest in using the national lab for research geophysics experiments, molecular and and technology demonstrations. During its cellular biotechnology experiments, human first year of operations, CASIS released three physiology research, radiation research, plant requests for proposals in the areas of and cultivation experiments, combustion Advancing Protein Crystallization Using research, fluid research, materials science Microgravity, Materials Testing in the experiments, and biological investigations. It Extreme Environment of Space, and is NASA’s only long-duration flight analog Hyperspectral Imaging for Commercial for future human deep space missions, and Product Development. CASIS is finalizing its provides an invaluable laboratory for research permanent and pursuing a with direct application to the exploration new Executive Director. requirements that address human risks associated with deep space missions. It is the In order to realize the full potential of the only space-based multinational research and Station’s capabilities, the platform is serviced technology testbed available to identify and by a fleet of operational international vehicles quantify risks to human health and provided by Japan, Europe, and Russia. performance, identify and validate potential However, NASA is committed to launching risk mitigation techniques, and develop cargo and crew on spacecraft built by countermeasures for future human American companies as soon as possible. exploration. Research and development NASA is very pleased with the progress our conducted aboard the ISS holds the promise of commercial space industry partners have made next-generation technologies, not only in areas and continue to make in the development of directly related to NASA’s exploration efforts, crew and cargo transportation systems. Space but in fields that have numerous terrestrial Exploration Technologies (SpaceX), the first applications, as well. The ISS is critical to U.S. commercial cargo vehicle, successfully NASA’s future missions of exploration launched and berthed with the ISS on October beyond LEO. 7, 2012, and Orbital Sciences Corporation (Orbital), the second U.S. commercial cargo On August 31, 2011, NASA finalized a vehicle, is in its final stages of development cooperative agreement with the Center for the and testing, preparing for its first Advancement of Science in Space (CASIS) to demonstration launch in the coming months. manage the portion of the ISS that operates as Our partners in the commercial crew program a U.S. National Laboratory. CASIS, located are meeting planned milestones and vehicles in the Space Life Sciences Laboratory at are under development to ensure continued Kennedy Space Center in Florida, serves as an robust operations of the ISS. American independent, nonprofit research management commercial crew transportation and organization responsible for ensuring the emergency return services will enable the U.S. Station’s unique capabilities are available to to fly its own astronauts to and from the ISS, the broadest possible cross-section of U.S. end our sole reliance on foreign governments, scientific, technological, and industrial increase the ISS crew complement to seven communities. CASIS is developing and from six, enable increased ISS research managing a varied R&D portfolio based on utilization, and allow NASA to focus on deep U.S. national needs for basic and applied space exploration. research; establishing a marketplace to facilitate matching research pathways with The ISS continues to be a very healthy system, qualified funding sources; and stimulating operating well within prudent technical

• 244 • T h e N A SA Presidential Transition Binder margins, and consistently demonstrating Review Board process. At this point in the outstanding steady-state performance that program and into the future, transportation meets or exceeds prior engineering estimates. costs for crew and cargo exceed operations While systems were originally specified to be costs. both reliable and maintainable, the operational experience NASA and its partners are gaining The ISS represents two extraordinary assets is providing invaluable information on that have never before existed in the history of reliability and maintainability standards for human space exploration: an experienced future application to spacecraft design and international partnership encompassing mission planning. As in any complex system Canada, Europe, Japan, Russia, and the U.S., deployed in an extreme environment, and a permanently crewed, full-service space occasional component outages or failures are station in LEO. Our ability to continue to be expected and are replaced or repaired working together as a global team while under a rigorous maintainability program. making the best applied use of our assets will pace the future progress of space exploration The ISS operations are financially lean and and expansion of benefits on Earth. efficient. Operations costs are monitored constantly to ensure a safe and functional spacecraft and are independently reviewed and critiqued by the agency through the Standing

FY 2013 BUDGET REQUEST

Budget Authority ($ millions) FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Actual International Space Station Program 2,713.6 2,829.9 3,007.6 3,177.6 3,170.9 3,212.8 3,234.3 Table 6.1-1: Budget Request for ISS Program

ISSUES NASA faces strategic challenges and  ISS is relying on U.S. industry to opportunities ahead as we continue to provide cargo resupply, return, and sustain and productively utilize the ISS. disposal services, as well as crew transportation and emergency return  Current NASA research budgets and services. While there are still commercial funding via CASIS will challenges ahead, the recent success only allow development of a small of the SpaceX flight is a harbinger of fraction of the high priority items in the potential for procuring the recent NRC Decadal Studies. transportation services from private entities.  Major technology demonstrations require significant cooperative Commitment to extend the ISS beyond 2020 funding that cross organizational to 2028 requires engagement during the management and funding lines. upcoming PPBE 2015 process and discussions within the international partnership.

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6.1.2 COMMERCIAL SPACEFLIGHT DEVELOPMENT

DESCRIPTION NASA is committed to launching cargo and Station (ISS), end our sole reliance on crew on spacecraft built by American foreign governments, potentially increase companies as soon as possible. These the ISS crew complement to seven from six, efforts are good for NASA, the American enable increased ISS research utilization, taxpayer, and the U.S. economy. American enable U.S. global competitiveness in the commercial transportation systems will commercial space launch industry, and enable the United States to fly cargo and allow NASA to focus on deep space crew to and from the International Space exploration.

Figure 6.1-2: SpaceX Dragon at ISS (top) and Orbital Sciences Corporation’s Antares on Its Launch Pad (bottom)

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To facilitate the development and On May 31, 2012, SpaceX completed its final demonstration of commercial space COTS demonstration mission, accomplishing transportation systems, NASA is partnering all objectives and clearing SpaceX to begin with U.S. industry in a non-traditional commercial resupply service missions to the approach, providing technical and financial International Space Station in October 2012. resources for the development of commercial SpaceX conducted the historic flight within 11 space transportation systems that private months of the final space shuttle flight, industry will own and operate. Once the minimizing the gap in the U.S. space station systems are demonstrated and available for cargo transportation capability. This purchase, NASA becomes a customer, partnership between NASA and SpaceX contracting for transportation services for successfully demonstrated the ability of a crew and cargo to the ISS. commercial partner team to develop complicated space systems that help NASA In 2006, NASA implemented the Commercial meet its needs while strengthening U.S. Orbital Transportation Services (COTS) industrial capability and competitiveness. initiative to enable development and Orbital Sciences is following close behind demonstration of U.S. cargo transportation with their development and demonstration capabilities. activities, with test flight of its Antares launch vehicle and demonstration mission to ISS with NASA used its Space Act Authority to enter their Cygnus spacecraft planned in the months into partnership agreements. With this ahead. approach, NASA supported the emerging providers by providing financial investment In 2009, NASA began commercial crew and technical support. Commercial partners initiatives to stimulate the private sector to were responsible for a portion of the funding develop and demonstrate human spaceflight necessary to demonstrate the capabilities and capabilities that could ultimately lead to the were allowed to keep intellectual property availability of commercial human spaceflight rights to their designs. NASA was not services for both commercial and government required to pay for any milestone until the customers. Those initiatives focused on milestone was successfully completed and maturing designs of elements of a crew approved by NASA. transportation system. Partners matured their subsystems and spacecraft designs during two In August 2006, NASA selected two Commercial Crew Development (CCDev) commercial partners to demonstrate their efforts beginning in 2010 and projected to be transportation capabilities: SpaceX and complete by the end of 2012. RocketPlane Kistler. RpK missed several technical and financial milestones, leading On August 3rd, 2012, NASA announced three NASA to terminate the agreement in October new agreements with American commercial 2007. NASA conducted a second competition companies to design and develop the next for the remaining funds and selected Orbital generation of U.S. human spaceflight Sciences in February 2008. In a separate capabilities. Known as Commercial Crew competitive procurement for cargo Integrated Capability, or “CCiCap,” these transportation services to the ISS, NASA newly signed agreements will enable advances awarded two contracts to SpaceX and Orbital that are intended to ultimately lead to the procuring in total 20 missions to the ISS availability of commercial human spaceflight through 2015. services for government and commercial customers. Under CCiCap, industry partners

• 247 • T h e N A SA Presidential Transition Binder will mature their crew transportation NASA were to delay certification activities, capabilities as fully integrated systems, the development of industry’s capabilities including the crew spacecraft, launch vehicle, could eventually reach the point where any ground systems, and mission control changes necessary to meet NASA capabilities. The agreements commence with requirements would not be technically feasible a 21-month base period that will run from or affordable, potentially extending our August 2012 through May 2014, which reliance on foreign systems. includes completing major design efforts and risk reduction demonstrations, propulsion To mitigate these risks, NASA is moving testing, abort tests, and landing tests. This 21- forward immediately with plans to compete month period will lead to a critical design and award two to four FAR-based fixed-price review level of maturity for two of these contracts in Certification Phase 1 that will companies. The agreements also include begin early NASA-managed certification proposed optional milestones beyond the base activities. These contracts are referred to as period, which NASA may fund incrementally, Certification Products Contract(s) (CPCs). as needed. Current CCiCap partners include The deliverables will include early life-cycle The Sierra Nevada Corporation, SpaceX, and certification products (alternate standards, The Boeing Company. hazards analysis, and verification, validation, and certification plans). The period of NASA is committed to ensuring that the performance will be approximately 15 requirements, standards, and processes for months, with an expected award date in crew transportation system certification for February 2013. CPC awards will not exceed missions to the ISS are held to the same or $10 million per award. equivalent safety standards as other government human spaceflight initiatives. At the conclusion of the CPC, NASA NASA certification will cover all aspects of a anticipates that more than one commercial crew transportation system, including: provider will have achieved the technical development, test, evaluation, and maturity of an integrated critical design state verification; program management and to enable a Phase 2 competition for the control; flight readiness certification; launch, Certification Contract. A separate, formal landing, recovery, and mission operations; solicitation (RFP) will be released for the sustaining engineering, and Phase 2 Certification Contract. Under maintenance/upgrades. To ensure NASA NASA’s planned strategy, the Phase 2 crew safety, NASA certification will validate Certification Contract will include technical and performance requirements, development, test, evaluation, and certification verify compliance with requirements at the activities enabling NASA to assess the system subsystem, process, and safety levels, validate capability for performing ISS missions in that the crew transportation system operates in compliance with NASA requirements to the appropriate environments, and quantify ensure NASA CCP mission and safety residual risks. objectives are achieved. To provide an incentive to any commercial provider who is NASA has determined that FAR-based successful in achieving Certification, the contracts are needed for ISS service missions Phase 2 contract will include, as options, a and has decided to begin the initial nominal number of crewed missions to the ISS certification efforts immediately to enable the following successful Certification. NASA earliest possible crew transportation. If believes that having more than one contractor

• 248 • T h e N A SA Presidential Transition Binder through Phase 2 would provide significant contracted for commercial cargo services. advantages for ensuring safety and cost Based on the information the Agency has effectiveness. The ultimate number of awards received to date and assuming reasonable will be driven by technical maturity, funding budget levels and technical progress, we availability, and mission needs. believe that this acquisition strategy can enable services beginning in the 2017 Phase 2 Certification activities will then lead timeframe. This estimate takes into to a competitive acquisition for the provision consideration not only the schedule plans of of commercial ISS transportation services our current industry partners, but also the using FAR-based, fixed-price contracts, NASA certification work described above. similar to the manner in which NASA has

FY 2013 BUDGET REQUEST

Budget Authority ($ millions) FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Actual Commercial Spaceflight Development 606.8 406.0 829.7 829.7 829.7 829.7 829.7 Table 6.1-2: Budget Request for Commercial Spaceflight Development

have been consistently reduced. Compared ISSUES to the original Commercial Crew Program FY11 President’s Budget Request, While U.S. private industry and NASA have appropriations have been reduced by over 50 made tremendous strides in the area of percent. This has forced the Agency to commercial cargo, most notably in SpaceX’s delay the projected readiness level of successful demonstration flight to the commercial crew transportation systems by International Space Station (ISS) in May two years and reduce the number of 2012, there is not a consensus among competitors that NASA would have NASA’s stakeholders that public-private preferred to maintain in the early phases. partnerships are appropriate for development The current operating lifetime for the ISS is of crew transportation systems to LEO. 2020 and further budget cuts to the Questions linger regarding the business case Commercial Crew Program could delay the for commercial crew transportation, safety, operational date to close to the ISS end of NASA oversight, and cost. Consequently, life, unless the ISS lifetime is extended the budget requests put forward by NASA beyond 2020.

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6.1.3 EXPLORATION SYSTEMS DEVELOPMENT

DESCRIPTION Exploration Systems Development (ESD) is a management approaches, and procurement division within the HEO Mission Directorate strategies. To that end, ESD is pursuing “light that has been charged to manage the touch” integration and employs a lean staff at development and integration of the nation’s HQ with strategic reach back to centers, next generation of human exploration systems. including a small number of FTEs at HEOMD to lead critical activities. The majority of The programs within ESD that will provide workforce is drawn from within Orion, SLS, the initial capability for crewed exploration and GSDO Programs, and, as appropriate, missions beyond low Earth orbit (LEO) are some center assets are used to directly support Orion Multi-Purpose Crew Vehicle (MPCV) ESD level activities. program, Space Launch System (SLS) program, and Ground Systems Development and Operations (GSDO) program.

 The Orion program is developing the vehicle that will carry a four-person crew beyond LEO, provide emergency abort capability, sustain the crew while in space, and provide safe re-entry from deep space return velocities.  The Space Launch System (SLS) program is developing the heavy-lift vehicle that will launch the crew vehicle, other modules, and cargo for these missions. Figure 6.1-3: Space Launch  The Ground Systems Development and The flight test milestones driving the ESD Operations (GSDO) program is schedule include: developing the necessary launch site infrastructure to prepare, assemble, test,  Exploration Flight Test-1 (EFT-1) in launch, and recover the SLS and Orion 2014; an uncrewed, two-orbit, high- flight systems. energy-entry test mission that will obtain critical vehicle performance data needed ESD’s responsibilities are to provide insight to confirm detailed design of the Orion and oversight of the programs to the HEOMD, spacecraft. to manage interfaces between programs, and track cross-program risks, as well as ensure  Exploration Mission-1 (EM-1) in 2017; cross-program integration is occurring. the first uncrewed launch of Orion on the SLS heavy-lift rocket. ESD maintains a sharp focus on affordability and seeks to address cost savings measures  Exploration Mission-2 (EM-2) in 2021; through strategic requirements development, the first crewed launch of Orion and SLS.

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6.1.3.1 ORION MULTI-PURPOSE CREW VEHICLE (MPCV) Orion was designated as NASA’s Multi- subsystem and component design. It Purpose Crew Vehicle (MPCV) in May includes both crew and service modules, a 2011. While Orion’s shape resembles its spacecraft adaptor, and a revolutionary Apollo-era predecessors, its capabilities are launch abort system that will significantly far more advanced. It will be the safest, increase crew safety. Orion’s unique life most sophisticated spacecraft ever built, and support, propulsion, thermal protection, and it will be flexible enough to take us to a avionics systems, in combination with other variety of destinations. elements, will enable extended duration deep space missions. These systems have Orion features dozens of technology been developed to facilitate integration of advancements and innovations that have new technical innovations as they become been incorporated into the spacecraft’s available in the future.

Figure 6.1-4: Illustration of Orion

Orion has been rigorously tested as withstand the harsh environments of launch, engineers prepare it for a journey beyond abort, re-entry, and spaceflight. LEO. A successful test launch at the White Sands Missile Range in New Mexico of the In order to simulate the final phases of vehicle’s launch abort system was landing, the spacecraft’s parachutes have completed to verify the escape capability of been proven reliable through a series of tests Orion in the event of emergency on the at the Yuma Army Proving Grounds. In launch pad. A series of rigorous acoustic and order to simulate Orion’s landing conditions, modal tests on the Orion ground test vehicle tests in both the ocean and at NASA’s at Lockheed Martin’s test facilities in Hydro Impact Basin have recreated how Denver validated Orion’s ability to Orion will behave during its final splashdown in the Pacific Ocean. All of

• 251 • T h e N A SA Presidential Transition Binder these will play a role in the upcoming flight 1. The Launch Abort System (LAS) - test of Orion. propels the Orion Crew Module to safety in an emergency during launch or ascent. Exploration Flight Test-1 (EFT-1) 2. The Orion Crew Module (CM) - houses Exploration Flight Test-1, an uncrewed and transports NASA’s astronauts during mission planned for 2014, will see Orion spaceflight missions. travel farther into space than any human 3. The Service Module (SM) - contains spacecraft has gone in more than 40 years. Orion’s propulsion, power, and life EFT-1 data will influence design decisions, support systems. validate existing computer models, and 4. The Spacecraft Adaptor and Fairings - innovate new approaches to space systems connects Orion to the launch vehicle development, as well as reduce overall 5. The Multi-Purpose Crew Vehicle to mission risks and costs. Stage Adaptor (MSA) – connects the entire vehicle structure to the kick stage The Orion flight test vehicle is comprised of of the rocket. five primary elements, which will be operated and evaluated during the test flight.

Figure 6.1-5: Orion: Expanded View

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The uncrewed EFT-1 flight will take Orion to an altitude of approximately 3,600 miles above Earth’s surface, more than 15 times farther than the International Space Station’s orbital position. By flying Orion out to those distances, NASA will be able to see how Orion performs in and returns from deep space journeys.

The first Orion spaceflight vehicle will be integrated with the Delta IV Heavy, a rocket built and operated by . While this launch vehicle will provide sufficient lift for the EFT-1 flight plan, a much larger, human-rated rocket will Figure 6.1-6: Illustration of Orion High Velocity Return be needed for the vast distances of future exploration missions beyond LEO.

Summary After the test flight, Orion will reenter the Orion will utilize advances in propulsion, atmosphere at a speed of over 20,000 miles communications, life support, structural per hour, returning to Earth faster than any design, navigation, and power, drawing current human spacecraft. As Orion reenters upon more than 50 years of extensive the atmosphere, it will endure temperatures spaceflight experience of NASA and its up to 4,000º F — higher than any human industry partners. With destinations spacecraft since astronauts returned from the including near-Earth asteroids, our own moon. Orion will land in the water and be moon, the of Mars and eventually recovered. This test will provide engineers Mars itself, the Orion spacecraft is designed with invaluable data on Orion’s performance to meet the evolving needs of our nation’s in every phase of launch, re-entry, and deep space exploration program for decades landing. to come.

FY 2013 BUDGET REQUEST FOR ORION

FY 2013 President’s Budget FY 2012 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Request ($ Millions) Actual Enacted The Orion Spacecraft 1,200 1,200 1,028.2 1,028.2 1,028.2 1,028.2 1,028.2 Table 6.1-3: Budget Request for Orion

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individual mission requirements, increasing 6.1.3.3 SPACE LAUNCH SYSTEM capability with each configuration. (SLS)

NASA’s Space Launch System, or SLS, is an In 2017, the first SLS mission, Exploration advanced, heavy-lift launch vehicle, which Mission 1 (EM-1), will launch an uncrewed will provide an entirely new capability for Orion spacecraft to demonstrate the integrated science and human exploration beyond Earth’s system performance of the SLS rocket and orbit. The Space Launch System will give the spacecraft prior to a crewed flight. nation a safe, affordable, and sustainable means of reaching beyond our current limits The second SLS mission, Exploration Mission of discovery. The Space Launch System 2 (EM-2), is targeted for 2021 and will launch vehicle configuration was announced in Orion and a crew of up to four American September 2011. astronauts.

As NASA’s commercial partners create an The SLS will use proven hardware and American supply line to the International cutting-edge tooling and manufacturing Space Station, SLS will provide the technology from the space shuttle and other transportation needed for NASA to reach exploration programs. This will significantly further into our solar system. The SLS will reduce development and operations costs. It carry the Orion Multi-Purpose Crew Vehicle, will use a liquid hydrogen and liquid oxygen as well as important cargo, equipment, and propulsion system, which will include the RS- science experiments to deep space. However, 25 engine from the Space Shuttle Program for if needed, SLS will support backup trans- the core stage and the J-2X engine for the portation to the International Space Station. upper stage. The SLS also will use solid rocket boosters for the initial development flights, while industry will compete to design advanced boosters based on performance requirements and affordability considerations.

Initial 70-metric-ton Rocket Development The 70-metric-ton SLS will stand 321 feet tall, provide 8.4 million pounds of thrust at liftoff, weigh 5.5 million pounds, and carry 154,000 pounds of payload.

Towering over 200 feet tall with a diameter of Figure 6.1-7: Illustration of SLS Leaving Earth 27.5 feet, the core stage will store cryogenic Orbit liquid hydrogen and liquid oxygen that will feed the RS-25 engines for the SLS. The SLS Capabilities and Missions core stage will get its power from four RS-25 SLS is designed to be flexible and evolvable engines — former space shuttle main engines, to meet a variety of crew and cargo mission which operated with 100 percent mission needs. Providing an evolvable architecture success during 135 space shuttle missions. allows customization of the SLS to fit Flight computer hardware and battery unit development are under way.

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Two five-segment solid rocket boosters will The 130-metric-ton SLS will include an upper be used for the first two 70-metric-ton flights stage to provide additional power needed to of the SLS. The prime contractor for the travel to deep space. The upper stage, built by boosters — ATK of Brigham City, Utah — Boeing, will share common attributes with the has begun processing its first SLS hardware core stage, such as its outer diameter, material components in preparation for the initial composition, subsystem components, and qualification test planned for spring 2013. tooling, to save cost and design time.

The spacecraft and payload integration team is Two J-2X engines being developed by Pratt & responsible for integrating the Orion Whitney Rocketdyne will power the upper spacecraft and payload with the SLS vehicle stage. The J-2X is a highly efficient and using structural adapters. The team also will versatile rocket engine — the first liquid procure and integrate an interim cryogenic oxygen and liquid hydrogen rocket engine to propulsion stage to power the first two flights be developed in 40 years that will be certified of the SLS, based on Boeing’s Delta to transport humans. Cryogenic Second Stage used on the Delta IV family of launch vehicles. The interim Summary cryogenic propulsion stage will boost the Orion spacecraft to the correct altitude and trajectory needed to send the spacecraft around the moon in order to check out vital systems during the initial test flights.

While work progresses on the initial 70- metric-ton SLS, the advanced development team is working on improving affordability, increasing reliability, and increasing performance needed to evolve the initial vehicle to configurations that can provide even greater lift capacity. This evolved, flexible approach can meet a variety of missions needed to carry crew and cargo of varying sizes. Configurations over 100 metric tons up to 130 metric tons are currently being Figure 6.1-8: 70 metric-ton Initial Lift Capability in studied. Crew Configuration and 130 metric-ton Evolved Lift Capability in Cargo Configuration 130-metric-ton Rocket Development The massive 130-metric-ton configuration will be the most capable, powerful launch vehicle The SLS will be NASA’s first exploration- in history. Towering a staggering 384 feet tall, class vehicle since the took it will provide 9.2 million pounds of thrust at American astronauts to the moon over 40 liftoff and weigh 6.5 million pounds. It will be years ago. With its superior lift capability, the able to carry payloads weighing 286,000 SLS will expand our reach in the solar system, pounds to orbit. This configuration will use the same core stage, with four RS-25 engines, as previous configurations.

• 255 • T h e N A SA Presidential Transition Binder allowing astronauts aboard the Orion Lagrange points, the moon, and ultimately spacecraft to explore multiple, deep space Mars. destinations, including near-Earth asteroids,

Figure 6.1-9: Initial Space Launch System (SLS) configuration (70mT to low Earth orbit), also referred to as SLS Block 1

FY 2013 BUDGET REQUEST

FY 2013 President’s Budget FY 2012 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Request ($ Millions) Actual Enacted Space Launch System 1,543.5 1,543.5 1,429.3 1,429.3 1,429.3 1,429.3 1,429.3 Table 6.1-4: Budget Request for Space Launch System

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6.1.3.4 GROUND SYSTEMS DEVELOPMENT AND OPERATIONS PROGRAM (GSDO)

The Ground Systems Development and program’s 30 years, but its shuttle-specific Operations Program (GSDO) was established facilities have been removed to allow four or to develop and use the complex equipment more different kinds of rockets to lift off from required to safely handle rockets and the pad, including the SLS. spacecraft during assembly, transport, and launch.

The program’s mission is to prepare the Kennedy Space Center (KSC) to process and launch the next generation of rockets and spacecraft in support of NASA’s exploration objectives by developing the necessary ground systems, infrastructure, and operational approaches.

Unlike previous work focusing on a single kind of launch vehicle, such as the Saturn V rocket or space shuttle, engineers and managers in GSDO are preparing infrastructure to support several different kinds of spacecraft and rockets that are in Figure 6.1-10: Kennedy Space Center Processing of Next Generation Spacecraft development. Products and systems devised at KSC could be used at other launch sites as Also in support of the SLS, the crawler- well. transporter, Vehicle Assembly Building, the ’s Young-Crippen A key aspect of the program’s approach to Firing Room 1, and the new mobile launcher long-term sustainability and affordability is to are undergoing modifications for their new make processing and launch infrastructure roles. available to commercial and other government customers, thereby distributing the cost among The Orion Multi-Purpose Crew Vehicle, multiple users and reducing the cost of access which will carry the astronauts who will be to space for NASA. launched into space on the SLS, will be processed in Kennedy’s refurbished Working closely with those developmental Operations and Checkout (O&C) building. projects, GSDO is overseeing efforts to use a The state of Florida previously provided $35 catalog of spaceflight facilities at Kennedy. million for refurbishment of the O&C high Some of the facilities already are being bay, and the facility is fully operational and refurbished and modified for future use, most certified for its transition to Orion final noticeably Launch Pad 39B. The launch pad assembly and checkout. hosted space shuttle launches throughout that

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Three Teams The crawler-transporters that carried the The GSDO Program focuses on three areas: Saturn V rockets and space shuttle to the  Vehicle Integration and Launch launch pad for more than 40 years also will  Offline Processing and Integration carry the next generation of launch vehicles  Command, Control, Communications, and spacecraft to the launch pads. One of the and Range transporters is being strengthened to support the large SLS, as well.

The Vehicle Integration and Launch team The Offline Processing and Integration team focuses on the equipment, management, and will develop ways to handle the Orion operations required to safely connect a spacecraft, rocket stages, and launch abort spacecraft with a rocket, move the launch system before they are all assembled into one vehicle to the launch pad, and successfully vehicle. The work will take place in several send it into space. The work entails use of facilities in Kennedy’s industrial area, many of the facilities unique to Kennedy including the O&C Building, the Multi- Space Center, such as the 52-story Vehicle Payload Processing Facility, the Launch Abort Assembly Building, the dual launch pads 39A System Processing Facility, and others. The and B, and the 3-mile-long runway at the buildings were built specifically for the Shuttle Landing Facility. demanding processing work involved with preparing spacecraft for flight. Such The group already is at work on the mobile preparations can include software loading, launcher (ML), which recently was built and final assembly, and the loading of chemicals will be modified for the Space Launch and propellants, depending on the spacecraft. System. The ML is a platform and tower designed to support the rocket and Orion and Another team is modernizing the Command position connectors to the spacecraft, Control Communications and Range systems including a walkway astronauts will use to involved in launching astronauts into space. In board Orion. addition to bringing computers, tracking systems, and other networks up to date, the team is creating systems that can handle several different kinds of spacecraft and rockets. The computers, antennas, and software are expected to reduce the need for a large launch team.

Kennedy has a 50-year history of serving as our nation’s gateway to exploring the universe. Taking the knowledge and assets of NASA’s successful space past, the Ground Systems Development and Operations Program is determined to build a successful and diverse future in spaceflight.

Figure 6.1-11: Mobile Launcher Leaving the Vehicle Assembly Building

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Figure 6.1-12: Illustration of SLS and Orion on the Mobile Launcher at Pad 39B

FY 2013 BUDGET REQUEST

FY 2013 President’s Budget FY 2012 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Request ($ Millions) Actual Enacted Ground Systems Development and 484.5 484.5 445.6 445.6 445.6 445.6 445.6 Operations Table 6.1-5: Budget Request for Ground Systems Development and Operations

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6.1.4 SPACE NETWORK / TRACKING AND DATA RELAY SATELLITE SYSTEM

DESCRIPTION The Tracking and Data Relay Satellite TDRS spacecraft located in three nodes System (TDRSS) Network is designed as a around the Earth (the Atlantic Ocean region, highly automated user-driven and controlled the Pacific Ocean region, and the Indian system for supporting customer spacecraft Ocean region), customer spacecraft can tracking and data acquisition. Each TDRS attain coverage of 100 percent of their orbit. can simultaneously provide up to two S- Currently, the geosynchronous constellation Band Single Access (SSA) Forward (SSAF) includes both first and second generation and Return (SSAR) services, two Ku-Band satellites, which will eventually be replaced Single Access (KSA) Forward (KSAF) and with later generation spacecraft. TDRSS and Return (KSAR) services (with TDRS-8, 9, the associated ground stations located at and 10 providing Ka-Band services as well), White Sands and Guam comprise the space one Multiple Access (MA) Forward service, network, which provides communications MA Return services, one-way Doppler and services for near-Earth customer satellites. two-way Doppler and range services. With FY 2013 BUDGET REQUEST

Budget Authority ($ millions) FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Actual Space Communications and Navigation 456.7 445.5 655.6 570.7 577.3 535.4 513.9 Table 6.1-6: Budget Request for Space Communications and Navigation/TDRSS

order to meet National and Civil space The TDRS replenishment effort is a major mission need. component of maintaining NASA’s space network capabilities. The Agency is The TDRS fleet supports tracking, data, purchasing three third-generation TDRS (K, command, voice, and video services to the L, and M) to replace aging first-generation ISS, space science and Earth science satellites that are 17 to 24 years old, well missions, and other government agency beyond their designed lifetimes. By early users. The total mission load is predicted to FY 2012, three spacecraft either failed or increase, which will require additional have been retired, and the remaining three satellites to be added to the fleet. Reliability first-generation spacecraft are increasingly analyses predict that the existing fleet may showing signs of age-related failure. The be unable to support NASA and other U.S. three third-generation spacecraft will ensure government customer missions by FY 2016. adequate space network services to Some national customers began a customers into the 2020s. TDRS formulation program called replenishment includes limited Transformational Satellites (TSAT) to meet modifications to network ground facilities to their planned need. This would have support the new third-generation satellites. reduced this community’s need for TDRSS Total commitments require seven spacecraft support. Due to funding and other (six operational and one on-orbit spare) in constraints, this program was canceled, leading to an agreement with NASA to build

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additional TDRS spacecraft as a stopgap ISSUE DESCRIPTION bridge from TSAT to meet projected national mission needs. NASA began Several issues exist for the TDRSS and are acquiring two third-generation spacecraft, listed below. TDRS-K and TDRS-L, in FY 2007. TDRS- K is scheduled for launch in December 1. NASA has not identified funding for 2012; TDRS-L is scheduled for launch in launch services for TDRS-M. This will February 2014. Adding these two spacecraft not be an issue for NASA missions until to the TDRSS fleet will ensure continuity of 2018 if partner migration is complete. It service for NASA and other U.S. is not apparent that a plan for such a government customer missions through at migration has been drafted – no such least FY 2016. Maintaining capacity beyond plan has been shared with NASA. If FY 2016 required initiating the TDRS-M migration is not completed, the need for acquisition early in FY 2012 for launch TDRS-M on orbit is projected to occur opportunity in FY 2016; adding TDRS-M in 2016. Our partner has indicated an will extend capacity into the 2020s. NASA intention to migrate from TDRSS, but also has a fixed-price option to purchase their projected use of the system at the TDRS-N, but has not yet exercised that mission level shows no upcoming option. decline. 2. Funding for the TDRS-N spacecraft and The major contract for TDRS replenishment launch vehicle has not been identified. was competitively awarded to Boeing Space Again, if partner migration is completed, Systems, Inc. in El Segundo, CA, December then NASA has no immediate need for 2007. It is a fixed-price-plus-incentive-fee TDRS-N. Replenishment would not be contract for TDRS-K and -L, and includes needed until the 2022 timeframe, by modifications to TDRSS ground systems at which time NASA plans to begin White Sands, NM to support these third- deployment of a successor system. If generation spacecraft. The contract also partner need continues, then the existing includes fixed-price options for TDRS-M contract option with Boeing must be and N. In November 2011, NASA exercised exercised by November 2012. the fixed-price-plus-incentive-fee option on Continuously updated reliability the Boeing contract for TDRS-M. TDRS-K estimates incorporating spacecraft and -L completed their Systems Integration performance and health data are Review, and are on track for launch in performed to assist in this analysis. December 2012 and February 2014, Current known requirements for the respectively. existing and planned mission set clearly show a need for the procurement of The principal near-term risk for TDRSS is TDRS-N. The current contract option that the remaining first-generation spacecraft offers this spacecraft at a cost to the may cease to operate before TDRS-K, -L, government that will never be matched and -M are launched. This would result in a in a new, competitive procurement. capacity shortfall that would have some impact on the space missions that rely on 3. TDRSS provides mission-critical TDRSS for space network services. This communications services to NASA as risk begins to lessen in December with the well as other U.S. government missions. launch of TDRS-K. Operations costs are covered by NASA for FY 2012-2014 despite significant

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reduction in partner reimbursable communications/alternative frequencies, funding. Partner funding has covered Delay Tolerant Networking or other about 95 percent of TDRSS operations types of networking protocols, satellite costs in recent years. Per agreement, cross-links, and higher data rates. major partner funding ends in 2013 even though the partner will continue to use Figure 6.1-13 below summarizes projected TDRSS. Operations and maintenance TDRSS Single Access service capacity. As costs are largely insensitive to partner mentioned above, mission commitments (for demand; costs do not decrease both NASA and partners) require seven significantly if a customer leaves. The spacecraft (six operational and one on-orbit TDRSS funding reduction defers current spare) in order to meet mission need. maintenance and terminates all sustainment activities on the ground infrastructure. This is manageable because a new ground segment sustainment activity has been approved and funded to replace obsolete and unsustainable equipment. Operations costs for FY 2015 and out have not been resolved; NASA will work them as part of the PPBE 2015 budget cycle. 4. NASA has begun formulation activities for TDRS follow-on capability with a goal of reducing cost by at least half by leveraging promising new technologies (e.g., optical communications, software defined radios, and advanced communications protocols). NASA will initiate a next generation communication relay satellites study to identify alternatives (e.g., hosted payloads, commercial services, distributed apertures, other orbits). Potential new Figure 6.1-13: Artist’s Rendering of TDRSS- services may include: optical K, Planned for Launch in December 2012.

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6.2 AERONAUTICS RESEARCH MISSION DIRECTORATE (ARMD)

The Aeronautics Research Mission three major mission thrusts: 1) enabling full Directorate (ARMD) works to solve critical Next Generation Air Transportation System challenges that still exist in the nation’s air (NextGen) capability, 2) enabling high transportation system: air traffic congestion, efficiency and low environmental impact safety, and environmental impacts. aircraft, and 3) enabling safe integration of new, advanced vehicles into the NAS. All With world-class federal, industry, and ARMD’s research is planned and conducted academic partners, ARMD conducts research with the ultimate purpose of meeting system- and technology development activities that level goals answering questions of how the increase the capacity, efficiency, and technology will perform in a real-world, flexibility of the national airspace, and that relevant environment, i.e, the national air support growth of the economy and jobs. transportation system. ARMD’s major missions will enable game-changing Nearly every aircraft today has NASA- advancements in aviation that benefit the supported technology on board that helps the nation. vehicle fly more safely and efficiently. This work continues with new near-, mid- and far- 6.2.1 ENABLING FULL NEXTGEN term goals for substantially reducing fuel CAPABILITY consumption, emissions, and noise, which are all critically important to enabling the Next 6.2.1.1 DESCRIPTION Generation Air Transportation System. The Next Generation Air Transportation ARMD’s research goals and objectives are System (NextGen) is a transformation of the aligned with the National Aeronautics nation’s air traffic control system to support Research and Development Policy and Plan. continued growth, higher efficiency, and reduce the environmental impact of aviation ARMD’s research portfolio includes the operations. NextGen is being implemented via Fundamental Aeronautics Program, for a multi-agency, public-private partnership led improving aircraft performance and by the Federal Aviation Administration efficiency; the Airspace Systems Program, for (FAA). NASA’s Aeronautics Research improving air traffic management from gate to Mission Directorate (ARMD) supports this gate; the Aviation Safety Program, for partnership by enabling the ultimate improving aircraft and system-wide safety; the realization of NextGen through pioneering Integrated Systems Research Program, for research and advanced technologies that allow maturing technologies and assessing the much higher levels of air traffic system integrated benefits of promising technologies automation to overcome fundamental human at the systems level; and the Aeronautics Test performance limitations. Automation provides Program, for ensuring availability of state-of- air traffic controllers, pilots, and other the-art aeronautics research capabilities airspace users with more accurate real-time through the strategic management of NASA’s information about the nation’s airspace, aeronautical ground and flight test facilities weather, and routing, and allows aircraft to and skills. For more detail on the activities safely fly closer together on more fuel- conducted within each ARMD program, refer efficient routes to increase capacity, reduce to Section 4.4. delay, and minimize fuel burn, noise, and The ARMD’s major research activities greenhouse gas emissions. ARMD is also described in this section are organized within

• 263 • The NASA Presidential Transition Binder pursuing advanced methods for verifying and validating the safety of these new, complex In 2013, NASA will collaborate with the FAA automation systems and the human– to select the site for the ATD-1 flight trials, as automation interfaces that are involved. well as generate the integrated cross-agency demonstration plan and development of a ARMD works in close partnership with the more robust ATD-1 integrated system based FAA and other partners to ensure its research on experiments already conducted. To plan for results are useful, relevant, and adaptable as a full-fledged ATD-1 field demonstration in today’s air traffic system transitions to the 2016-2017 timeframe, NASA is pursuing NextGen. ARMD and the FAA utilize partnerships with industry in order to Research Transition Teams to ensure this determine operational, scheduling, and traffic- adaptation is well planned and managed. flow parameters and requirements. ARMD also brings key technologies into Advanced Technology Demonstrations (ATD) Automation such as that developed for ATD-1 to prove out complex new capabilities in involves complex, flight-critical systems, partnership with the FAA, the airlines, and which must be certified for safety. Therefore, other key stakeholders. ARMD is developing automated capabilities that can be applied early in the system ATD-1 is an integrated set of software-based lifecycle for validation and verification technologies to manage arriving aircraft from (V&V). As part of the System-wide Safety descent through runway landing. Multiple Assurance Technologies Project, we integrated ATD-1 simulations were conducted completed an early prototype of a static code successfully in 2012 using the Dallas/Ft. analyzer that can methodically review a large, Worth and Los Angeles airport data sets with complex software system for errors without active FAA controllers and airline pilots, needing to run the code. Future work will providing additional information about ATD-1 scale this capability so that it can handle much efficiency and its impact on aviation larger software systems (over one million operations. Results from these studies are lines of code), such as those typically found being used to plan additional ATD-1 on today’s aircraft. experiments in 2013.

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aviation is a top concern facing industry and federal agencies. Through in-house research and partnerships, ARMD is working on the fundamental understanding and new concepts needed to not only reduce fuel consumption, but to simultaneously reduce the emissions from the fuel that is used and minimize aircraft noise near increasingly busy airports. Translated into numbers, the challenge is to develop technology by 2020 that cuts fuel consumption in half, reduces the area of objectionable noise around airports to one- sixth of what it is today, and reduces nitrous oxide emissions to half that of the newest Figure 6.2-1: ARMD and its partners are aircraft flying today. This will require not only developing advanced automation tools that advanced energy-efficient aircraft and provide more real-time information to pilots operations, but also affordable renewable fuels and controllers or alternative energy propulsion systems. From both risk and timeframe perspectives, 6.2.1.2 ISSUES these technologies are well beyond typical The successful implementation of NextGen is industry investment horizons. crucial to the modernization of our nation’s air transportation system and to the long-term ARMD is planning a flight test campaign to health of our aviation industry. ATD-1 is a obtain detailed measurements of the chemical highly visible NASA effort supporting this exhaust components from large jet engines modernization. Conducting a successful operating on alternative jet fuels. The ATD-1 flight demonstration requires close ACCESS, or “Alternative Fuel Effects on coordination with a broad collection of Contrails and Cruise EmiSSions” tests, will stakeholders, including multiple program consist of a highly instrumented research chase organizations in the FAA, air carriers, airport plane being flown in close proximity behind a authorities, and the aviation industry. NASA DC-8 aircraft with engines running on Synchronizing ATD-1 with the FAA’s several different alternative fuels. fielding of NextGen capabilities is important to the successful demonstration of the The data obtained will help characterize the operational benefit of ATD-1 technologies and effects of alternative fuels on engine particle so requires active risk management and and gas emissions at cruise altitudes. The data mitigation. will also examine the evolution (growth and changes in composition/microphysical 6.2.2 ENABLING HIGH EFFICIENCY AND properties) of exhaust and contrail particles as LOW ENVIRONMENTAL IMPACT the plume ages and becomes mixed with AIRCRAFT background air (measurements both close to and far away from the engine). Further, this 6.2.2.1 DESCRIPTION test has a goal to investigate the role of soot (black carbon) concentrations/ properties, fuel Achieving industry-endorsed national-level sulfur, and gas emissions in regulating contrail goals to reduce the environmental footprint of formation and the microphysical properties of

• 265 • The NASA Presidential Transition Binder ice particles. This investigation will be done because of technology maturity. During the using data from the DC-8 flight and by taking first phase of ERA, the capability of AFC to data in air traffic corridors where commercial increase the effectiveness of the rudder on a aircraft cruise. vertical tail by up to 50 percent was demonstrated in sub-scale experiments. This ARMD is also exploring ways to meet effect can be projected to enable future aircraft efficiency challenges in aircraft 20 to 30 years designs to have smaller tails to reduce fuel from now. Researchers in our Environmentally consumption due to smaller and lighter Responsible Aviation (ERA) Project are components. Furthermore, the Boeing/NASA exploring advanced design options for large team concluded through integration analysis civil transport aircraft, new propulsion of the projected benefit, manufacturing costs, concepts, and other technologies worth and maintenance requirements that the pursuing due to their potential for dramatically integrated technology solution provides reducing noise, fuel consumption, and substantial economic and environmental emissions. The project has focused on value. technologies that have been proven in the laboratory setting and are ready to be During the second phase of ERA, the integrated into more complex systems to Boeing/NASA team will demonstrate system demonstrate the true value to aircraft designs. maturity by conducting a flight test on a Boeing 757 aircraft as part of the One of these demonstrations has been ecoDemonstrator program. This will be a developed in cooperation with Boeing to demonstration of an AFC system integrated demonstrate a collection of technologies into a into the vertical tail. Flight test conditions will system referred to in the aerodynamics be flown and completed by 2015 to community as Active Flow Control (AFC). demonstrate the capability of the system in This concept uses small devices located at the flight. To prepare for the flight tests, a full- aircraft skin to produce favorable scale vertical tail was removed from a 757 to perturbations to the air flowing past the be tested in the National Full-scale aerodynamic surface. In the laboratory Aerodynamics Complex (NFAC) in California environment, the concept can be used for during 2013 to assess the full-scale various applications, but it has not been characteristics of the system prior to flight. integrated into a commercial aircraft yet

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Figure 6.2-2: NASA’s DC-8 aircraft will be used in flights to characterize emissions from alternative fuels

The issues of scaling the AFC system to full- 6.2.2.2 ISSUES scale operational size and capability will be National research goals to achieve emissions addressed via parametric investigation during and efficiency improvements are aggressive full-scale vertical tail testing in the NFAC and represent a significant challenge. A major wind tunnel in 2013. A challenge remains in issue to achieving these goals is managing risk integrating the AFC system and its power as we transition from laboratory and ground- source with other aircraft systems, such as the based results to large-scale experiments flight control system in a relevant flight test needed to successfully transition these very environment. complex technologies. Partnerships with other federal agencies and industry are a 6.2.3 ENABLING SAFE INTEGRATION critical aspect of this research. OF NEW, ADVANCED VEHICLES INTO THE NAS The ACCESS flight test is expected to occur in two phases over the course of FY13 and 6.2.3.1 DESCRIPTION FY14; however, the test schedule may be affected by other Agency missions and The nature of aviation continues to change as priorities that require use of the Agency newer, more advanced aircraft are designed aircraft. In addition, the complexity of the and built. Unmanned aircraft systems (UAS) integration of the required advanced and low boom supersonic aircraft are just two instrumentation adds complexity which examples of advanced vehicles that are at the threatens fully meeting the test objectives as forefront of aviation technology and a focus of well as test schedules. ARMD research. However, in order for these technologies to reach full market potential,

• 267 • The NASA Presidential Transition Binder they must be safely integrated into the Virtual, Constructive – Distributed National Airspace System (NAS). Environment (LVC-DE) capability that ties together existing Air Traffic Control (ATC) Before integration can occur, existing rules, simulation tools with live flight assets, regulations and standards must be developed allowing for concepts to be tested in an or modified by the Federal Aviation integrated but safe and efficient manner. A Administration (FAA). Extensive safety key feature of the LVC-DE is its distributed studies, simulations and test flights to generate nature, which will allow NASA facilities to reliability data are just a few of the tools the connect to FAA, DOD, and industry partners. FAA must have to modify and develop those The ability to connect to assets across the regulations and standards. ARMD works very nation reduces the costs of running closely with the FAA to understand their simulations and flight tests by removing the requirements for enabling safe integration of need for all components to be co-located and advanced vehicles and then works to develop providing access to components from partner the high-confidence technical concepts and organizations, such as high fidelity ATC data that can support decision making. workstations and UAS ground control stations. ARMD’s UAS Integration into the NAS Project is helping to enable safe integration of A prototype of the LVC-DE was successfully new, advanced vehicles into the NAS. The tested during a joint FAA, DOD, NASA, and change of paradigm from a pilot in the aircraft industry demonstration during August 2012. to a pilot on the ground has generated The FAA supplied the ATC environment and significant challenges to the FAA for each of the participants provided manned and integration. Working in close partnership with unmanned aircraft position updates each from the FAA, the Department of Defense (DOD) different facilities across the nation. Further and industry, the UAS Project has identified tests are planned for FY2013 to integrate five major research areas that address the aircraft with prototype communication technical barriers preventing UAS access: equipment into the LVC-DE in anticipation of communications between the aircraft and its data gathering simulations in FY2014. ground control station as well as the pilot and air traffic controller; the interface between the The other types of aircraft seeking a new human (e.g., pilot) and the machine (e.g., market are those that fly faster than sound ground control station); interoperability of air over land. The key barrier to achieving traffic control separation assurance procedures commercially viable supersonic flight over with sense and avoid technology; certification land is a sonic boom quiet enough to be of the vehicles for airworthiness and safety of acceptable to communities on the ground. flight; and developing an integrated testing Such aircraft would enable large reductions in environment. Data and recommendations travel time that add value to business generated by the project will be provided travelers, cargo shippers, National Security, directly to the FAA. With this kind of and the traveling public. Opening this new information, the FAA will be able to make market will lead to maintaining or increasing informed decisions about the regulations and aviation’s impact on U.S. Gross Domestic rules required for safe integration. Product (GDP) and will contribute to high value employment in a technology area that is To provide the relevant integrated seeing rising competition on global scale. environment, NASA is developing a Live,

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ARMD’s High Speed Project has successfully supersonic aircraft with sonic boom noise low developed design and analysis tools that enough to allow overland flight with minimal integrate multiple design disciplines at higher community impact. fidelities to investigate aircraft configurations that simultaneously achieve low sonic boom Results expected by 2015 include the and high efficiency flight. These completion of large-scale wind tunnel accomplishments provide the critical building validation tests providing data on complex block upon which larger-scale, integrated aircraft configurations with propulsion system systems testing could be based. Such system- effects. These results will be compared to level testing using a specially designed predictions of aircraft boom levels and flight demonstrator aircraft could show efficiency. unequivocally the possibility for efficient

Figure 6.2-3: ARMD uses its Ikhana unmanned aircraft to flight-test technologies that could enable safe integration into the national airspace

6.2.3.2 ISSUES understanding their requirements is necessary Carefully planned and vetted policy, for success. standards, and certification criteria are necessary to support the introduction of In addition, scaling up the results of testing is advanced vehicles into the NAS. Because the an issue for further implementation of FAA is the ultimate decision maker on advanced vehicles. Having the ability to whether a new vehicle can be integrated, it is demonstrate, at relevant scale, the real crucial that work conducted on advance possibility of efficient, supersonic, low sonic vehicle designs by ARMD is closely boom aircraft design will provide a basis for coordinated with the FAA. In the case of the development of a noise-based standard for UAS Project, because the FAA is the ultimate overland flight. This will, in turn, open customer of the research results, market opportunities for U.S. industry.

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6.3 SPACE TECHNOLOGY MISSION DIRECTORATE (STMD)

Space Technology enables future human and 6.3.1 TECHNOLOGY DEMONSTRATION scientific exploration, just as current and past MISSIONS mission successes were supported by technology investments. 6.3.1.1 Description

Space Technology Mission Directorate 6.3.1.1.1 TECHNOLOGY DEMONSTRATION (STMD) technologies have high potential for MISSIONS (TDM) offsetting mission risk, reducing cost and advancing existing capabilities, thereby Technology Demonstration Missions (TMD) enabling more challenging missions. Progress matures and demonstrates crosscutting is ensured through a steady cadence of technologies, preparing them for rapid solicitations and ground and flight infusion into future human exploration and demonstrations. science missions. The goal of this program is to bridge the gap between early technology This approach provides NASA and the development and mission infusion by aerospace industry with a sustainable pipeline maturing revolutionary, system-level space of technology advances. Space Technology technologies and demonstrating these spurs innovation through small businesses, technologies in a relevant operational prizes and challenges, and through providing environment (ground, air, suborbital, or orbital suborbital flights for technology regime). STMD flight projects reduce risk and demonstrations. enhance capabilities for NASA’s Exploration and Science missions by demonstrating In managing its investments, STMD employs advanced technologies allowing for mission a portfolio approach that spans a range of infusion. discipline areas and technology readiness levels (TRL), from concept study to flight TDM provides frequent opportunities for demonstration. STMD facilitates infusion of demonstration through competitive available and new technology into operational solicitations. TDM is working with NASA systems that support specific human- Centers and Mission Directorates, aerospace exploration missions, science missions, and industry providers and other domestic and aeronautics. international partners to demonstrate technologies that have the potential to benefit Significant progress in technology areas such multiple NASA missions, other government as space power systems, entry, descent, and agencies, and the aerospace industry. landing systems, propulsion, radiation protection, and cryogenic fluid handling are 6.3.1.1.2 Laser Communications Relay essential for human exploration beyond low Demonstration (LCRD) Earth orbit. Laser Communications Relay Demonstration (LCRD) will demonstrate and validate a reliable, capable, and cost-effective optical communications technology. Optical communications technology provides data rates up to 100 times higher than today’s radio communication systems. These higher

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bandwidth capabilities are necessary for future 6.3.1.2 SOLAR SAIL DEMONSTRATION human and robotic space missions. The (SSD) technology is directly applicable to the next generation of NASA’s space communications Solar Sail Demonstration (SSD) deploys and network. After the demonstration, the operates a solar sail with an area seven times developed space and ground assets will be larger than ever flown in space. It is qualified for use by near-Earth and deep space potentially applicable to a wide range of future missions requiring high bandwidth and a small space missions, including serving as an ground station reception area. The advanced space weather warning system to demonstration will use lasers to encode and provide more timely and accurate notice of transmit data at rates 10 to 100 times faster solar flare activity. This technology also could than radio – or at the same data rate as today’s allow for propellant-less deep space fastest RF radios, but using significantly less exploration missions. The National Oceanic mass and power. The investigation will enable and Atmospheric Administration (NOAA) is a variety of robust future science and collaborating with NASA and L’Garde Inc. on exploration missions – providing a higher data the demonstration. The L’Garde Technology rate, and delivering more accurate navigation Demonstration Mission solar sail will have capabilities with reduced size, weight and seven times the area (1200m^2) of the largest power requirements. sail ever flown before in space. At just over 70 pounds, this solar sail demonstrator will weigh 6.3.1.1.3 10 times less than the largest sail ever flown in (DSAC) space. The L’Garde solar sail will produce a maximum thrust of approximately 0.01 Deep Space Atomic Clock (DSAC) validates a newton, which is roughly equivalent to the miniaturized mercury-ion atomic clock that is weight of a “pink packet” of artificial 10 times more accurate than today’s ground sweetener. Although the instantaneous thrust based clocks used for spacecraft navigation is extremely small, the continual accrual of systems. This project element will this thrust will enable the solar sail to navigate demonstrate ultra-precision timing in space to locations unreachable with current and its benefits for one-way radio-based technologies. This solar sail demonstrator is a navigation. Precision timing and navigation is truly propellant-less method of spacecraft critical to the performance of a wide range of propulsion. deep space missions and has the potential to improve the nation’s next generation GPS 6.3.1.2.1 Cryogenic Propellant Storage system. The Deep Space Atomic Clock will be and Transfer (CPST) orders of magnitude smaller, lighter and more stable than any other atomic clock flown in Cryogenic Propellant Storage and Transfer space. This NASA Technology Demonstration (CPST) demonstrates the capability of in- Mission will shift paradigms for navigating space long-term storage and the microgravity spacecraft to distant destinations, enabling the transfer of cryogenic propellants, essential for collection of more data with higher precision transportation on deep space exploration and autonomous radio navigation for time- missions. Cryogenic propellant storage and critical events such as orbit insertion or transfer is the most critical Space Technology landing. This mission will deliver the next demonstration for human exploration. Beyond generation of deep space radio science. the initial development of Space Launch System and the Orion Multi-Purpose Crew Vehicle (Orion MPCV) currently underway

• 271 • The NASA Presidential Transition Binder within the Exploration account, the next transferring cryogenic propellants, such as essential architecture element to extend human liquid oxygen and liquid hydrogen. Creating presence beyond low Earth orbit is the this capability relies on the successful development of a long-duration cryogenic demonstration of the Cryogenic Propellant propulsion stage. The cryogenic propulsion Storage and Transfer project element. stage must be capable of performing long- term storage (greater than six months) and

Figure 6.3-1: Laser Communications Relay Demonstration mission successfully completed its Mission Concept Review in September

FY 2013 BUDGET REQUEST FOR TECHNOLOGY DEMONSTRATION MISSIONS (THE FLIGHT ACTIVITY IS AN ELEMENT OF THIS PROJECT)

Budget Authority ($ FY 2011 FY 2012 FY 2013 FY 2012 FY 2013 FY 2014 FY 2015 Millions) Enacted Enacted FY 2013 Request 50 144 227 248 238 235 219 Table 6.3-1: Budget Request for Technology Demonstration Missions

6.3.1.3 ISSUES life cycle costs and launch schedules will be determined following critical design review. The flight projects funded by this program are still in varying stages of formulation so individual budgets are not final. As such,

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6.3.2 EARTH SCIENCES

6.3.3 LANDSAT DATA CONTINUITY LDCM includes evolutionary advances in MISSION (LDCM ) technology and performance. The OLI will be able to detect cirrus clouds and conduct 6.3.3.1 DESCRIPTION coastal zone observations. The TIRS will improve the capability and quality of thermal The Landsat Data Continuity Mission infrared imaging. Additionally, LDCM will (LDCM) will provide continuity with the 40- increase by nearly half the daily number of year-long Landsat land-imaging data set that scenes returned to the USGS data archive began with Landsat 1 in 1972. Data from this compared to Landsat 7, increasing the family of spacecraft represent the world’s probability of capturing cloud-free scenes for longest series of continuous space-based the global landmass. observations of Earth’s surface. For NASA, LDCM measurements will directly support research in the important areas of climate, carbon cycle, ecosystems, water cycle, biogeochemistry, and Earth surface/interior. The Landsat program, extended by LDCM, also serves the practical needs of government, industry, military, and education users in the U.S. and around the world in applications such as agriculture, land use planning and monitoring, support of disaster response, and water use monitoring. A collaboration between NASA and the U.S. Geological Survey (USGS), LDCM will provide moderate-resolution (15 m–120 m, depending on spectral wavelength) measurements of Earth’s surface in the visible, near-infrared, short wave infrared, and thermal infrared. The LDCM satellite payload consists of two science instruments—the Operational Land Imager (OLI) and the Thermal InfraRed Sensor (TIRS). These two sensors will provide seasonal coverage of the global landmass to detect and characterize multi-decadal land cover change in concert with historic Landsat data. Figure 6.3-1: LDCM Spacecraft

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FY 2013 BUDGET REQUEST FOR LDCM

Budget Prior FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 BTC LCC Authority Actual Estimate Request Total ($ Millions) FY 2013 541.2 166 159.3 54.7 2.1 2.1 2.2 2.3 1.3 931.2 Request Table 6.3-1: Budget Request for LDCM

6.3.3.2 ISSUES its five-year design life, but with a lower- LDCM – also known as – was level data quality due to a partial instrument scheduled to launch in December 2012 but failure. has been rescheduled for February 2013 due to two problems that came to light during The Administration’s National Space Policy integration testing. Both of these are now calls for Department of the Interior (DOI) to believed to have been resolved, and the assume responsibility for the Landsat spacecraft is entering the final testing phase. Program, with NASA to act as DOI’s agent It is expected that this thermal-vacuum for spacecraft procurement and launch testing will be successfully completed by the services in compliance with DOI/USGS end of November and that the spacecraft requirements and funding. will be shipped to the launch site for final processing in December. LDCM’s launch Although Congress provided $2.0 million in could be delayed by a year or more if the FY2012 to the USGS for Landsat 9 program project is unable to launch in February 2013. development, Congress also requested that the Administration re-examine how to Rescheduling LDCM to launch later in 2013 is difficult because the launch manifest for proceed with obtaining less costly Landsat 2013 is full. data in the future. Accordingly, the Office of Science and Technology Policy (OSTP) began working with USGS, NASA, and the The current operational Landsat missions National Oceanic and Atmospheric (Landsat 5 and Landsat 7) are in tenuous Administration (NOAA) to examine options shape. However, Landsat 7 is still providing and requirements for future Landsat data and current fuel reserves are sufficient missions, while addressing performance, to last to the projected launch date of cost and risk. Nominal funding is provided Landsat 8. USGS suspended imaging in FY2013 for the USGS to continue to activities of Landsat 5 in November 2011 work with OSTP, NASA, and NOAA to and is working to devise a means of examine options for providing land remote extending the mission. If these efforts fail, sensing data in a cost effective manner. We the satellite will be at the end of a expect to know more about these potential remarkable 27-year operational life. Landsat options in the coming months. 7 was launched in 1999 and continues to operate even though it is eight years beyond

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6.3.4 ORBITING CARBON OBSERVATORY-2 (OCO-2) human history. CO is temporarily removed 6.3.4.1 DESCRIPTION 2 from the atmosphere both by dissolution into the ocean and by exchanges with the terrestrial Orbiting Carbon Observatory (OCO)-2 will be biosphere. The extent of absorption by these NASA’s first dedicated Earth remote sensing processes is not well known, and may change satellite to study atmospheric carbon dioxide significantly as CO concentrations and (CO ) from space. OCO-2 will collect global 2 2 surface/ocean temperatures continue to rise. measurements of atmospheric CO with the 2 Through its observations of CO , OCO-2 is precision, resolution, and coverage needed to 2 expected to greatly improve our understanding characterize sources creating and sinks of the behavior of carbon in the ecosphere and removing CO on regional scales. OCO-2 data 2 its impact on it. will also be used to study the causes of CO2 variability with the seasons from year to year. OCO-2 will be launched in July 2014 into a near-polar orbit that enables it to view the CO is a small but critical constituent of the 2 entire Earth every 16 days. It carries a single Earth’s atmosphere that strongly absorbs heat instrument with three spectrometers that will radiation. Hence, CO is one of several gases 2 obtain the most precise measurements of CO that trap heat near the surface of the Earth. 2 ever made from space. These gases are known as greenhouse gases. Because of these fundamental physical characteristics of CO2, substantial increases in the abundance of CO2 will result in an increase in Earth’s surface temperature.

Due to the growing use of fossil fuels since the beginning of the industrial age, the concentration of CO2 has risen from about 280 parts per million to over 390 parts per million, and is continuing to increase at a rapid rate. Global ground-based measurements have

observed an increase in atmospheric CO2 concentration by almost 20 percent over the Figure 6.3-2: OCO-2 Spacecraft past 50 years - the most dramatic change in

FY 2013 BUDGET REQUEST FOR OCO-2

Budget Prior FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 BTC LCC Authority Actual Estimate Request Total ($ Millions) FY 2013 91.1 89.0 98.4 80.3 57.9 45.4 16.0 4.0 0 477.2 Request Table 6.3-2: Budget Request for OCO-2

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and disasters, and improve the accuracy and 6.3.4.2 ISSUES timeliness of precipitation information. It The launch of OCO-2 has been delayed due will also support climate studies and to the need to choose a new launch vehicle improve the quality of weather forecasting. after two successive failures of the launcher originally selected for it. The newly GPM, initiated by NASA and the Japan selected launch vehicle will be available for Aerospace Exploration Agency (JAXA), is use by July of 2014. The increased costs of an effort by a consortium of international the new vehicle and the delay associated space agencies, including the Centre with its availability have caused the National d’Études Spatiales (CNES), the mission’s cost to increase. Indian Space Research Organisation (ISRO), the National Oceanic and Atmospheric 6.3.5 GLOBAL PRECIPITATION Administration (NOAA), the European MEASUREMENT (GPM) Organisation for the Exploitation of DESCRIPTION Meteorological Satellites (EUMETSAT), and others. GPM achieves global coverage The Global Precipitation Measurement with frequent measurements by relying on (GPM) mission is an international network both existing satellite programs and new of satellites that will provide the next- mission opportunities from its partners. Each generation global observations of rain and constellation member may have its unique snow. Building upon the success of the scientific or operational objectives but each Tropical Rainfall Measuring Mission contributes microwave measurements to (TRMM), the GPM concept centers on the GPM for the generation and dissemination deployment of a Core Observatory carrying of uniform global precipitation products for an advanced radar/radiometer system to worldwide user communities. measure precipitation from space and serve as a reference standard to unify precipitation The U.S. GPM Core Observatory is measurements from a constellation of scheduled for launch in February 2014. Its research and operational satellites. Through orbit will cover equatorial and mid-latitude improved measurements of precipitation regions of Earth up to 65 degrees, where globally, the GPM mission will help to most precipitation occurs. advance our understanding of Earth’s water and energy cycle, improve forecasting of extreme events that cause natural hazards

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Figure 6.3-3: GPM Core Observatory

FY 2013 BUDGET REQUEST FOR GPM

Budget Prior FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 BTC LCC Authority Actual Estimate Request Total ($ Millions) FY 2013 Request 504.8 133.6 92.9 88.0 66.2 19.1 18.1 10.2 0 932.8 Table 6.3-3: Budget Request for GPM

6.3.5.1 STATUS any significant issues toward shipment in late At this time, the GPM Core spacecraft is 2013 to Japan for launch processing and entering testing with its instruments. This launch on a Japanese H-IIA rocket in February final development phase is proceeding without 2014. 6.3.6 EARTH VENTURE PROGRAM Earth Science decadal survey, providing 6.3.6.1 DESCRIPTION flexibility to accommodate scientific advances Earth Venture was introduced to NASA’s and new implementation approaches. Earth Science Program as part of a strategy to restore more frequent launch opportunities and Venture-Class comprises three “strands”: to facilitate the demonstration of innovative ideas and higher-risk technologies. It is a  EVS (Earth Venture Suborbital): scientifically broad-reaching program element Suborbital/airborne investigations, that regularly solicits small-scale orbital and with five-year durations from project suborbital missions, and orbital instruments. initiation. These are typically complex Venture-class investigations complement the sets of instruments flown on suitable larger systematic missions identified in the suborbital platforms to address focused

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sets of scientific questions. The first Mission of Opportunity (MoO); $90 five EVS investigations were selected million total cost for development and in FY2010. Solicitations will be operations. The first EVI instrument issued every four years. will be selected in 2012. Solicitations will be issued every 15-18 months.  EVM (Earth Venture Mission): Small complete missions; $150 million total In selecting Venture Class missions, cost. These can be small satellites or instruments and suborbital investigations, stand-alone payloads as part of a larger priority is given to cost-effective, innovative mission. The first EVM small missions rather than those with more mission, CYclone Global Navigation demanding scientific and technological Satellite System (CYGNSS), was requirements. Maintaining a steady stream of selected in 2012. CYGNSS is a opportunities for community participation in constellation of microsatellites that the development of innovative ideas is key to will study ocean surface winds. the success of Earth Venture. The selected Solicitations will be issued every four investigations will be strictly held to schedule years. and cost guidelines to ensure the long-term  EVI (Earth Venture Instrument): viability of the program. Spaceborne instruments for flight on a

Figure 6.3-1: CYGNSS - First Earth Venture Small Mission

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FY 2013 BUDGET REQUEST FOR VENTURE CLASS MISSIONS

Budget Authority Prior FY 11 FY 12 FY 13 FY 14 FY 15 FY 16 FY 17 LCC Total ($ Millions) Actual Estimate Request FY 2013 Request 6.3 32.0 53.6 106.2 173.6 190.1 167.1 188.9 Ongoing Program Table 6.3-1: Budget Request for Venture Class Missions

6.3.7 STATUS start. Affordable access to space continues to At this time, the first EVS missions are funded be a challenge for small, inexpensive and in development or operations. The first missions. EVM mission was recently selected, and the first EVI instrument is nearing selection, so this new program is on track and off to a good

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6.4 PLANETARY SCIENCE

6.4.1 MARS SCIENCE LABORATORY MSL’s Curiosity rover is making detailed (MSL) measurements of element composition, elemental isotopes and abundance, 6.4.1.1 DESCRIPTION mineralogy, and organic compounds to determine if Mars has, or has ever had, an The Mars Science Laboratory (MSL) takes a environment capable of supporting life within major step forward in Mars exploration, both the regions it will explore. technically and scientifically, using a long- duration, radioisotope-powered rover, and 10 Curiosity has four main science objectives: payload elements for definitive mineralogical and organics measurements and a new entry,  Assess the biological potential of at descent, and landing system. MSL is already least one selected site on Mars, making progress on its primary scientific  Characterize the geology and objective to explore and quantitatively assess a local region on Mars as a potential habitat geochemistry of the landing region at for past or present life. MSL will lay the all appropriate spatial scales, groundwork for future scientific missions,  Identify planetary processes relevant to including Mars Sample Return, and will past habitability, and provide key information for human  Characterize the broad spectrum of the exploration. Martian surface radiation environment.

Figure 6.4-1: Curiosity image shows evidence of ancient streambed on Mars

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FY 2013 BUDGET REQUEST FOR MSL

($ Millions) Prior Actual Enacted FY13 FY14 Total FY11 FY12 FY 2013 2,002.9 242.9 174.0 65.0 38.5 2,523.3 Request Table 6.4-1: Budget Request for MSL

6.4.1.2 STATUS the coming months to its primary target, the After launching from Cape Canaveral, FL, on central mound in Gale Crater, known as November 26, 2011, Curiosity landed in Gale Mount Sharp. Stratification on Mount Sharp Crater, as planned, on August 6, 2012, a major suggests that this mountain is a surviving success that was watched by millions of remnant of an extensive series of deposits that people around the world. The commissioning were laid down after a massive impact that of Curiosity’s systems, tools, and instruments excavated Gale Crater more than three billion continues; eight of Curiosity’s ten instruments years ago. The layers offer a history book of have been successfully tested on Mars, and the sequential chapters recording environmental final two instruments are scheduled for their conditions when each stratum was deposited. first science observations in the coming 6.4.2 JUNO weeks. We expect that all of these initial activities will be completed on time. 6.4.2.1 DESCRIPTION Curiosity is already reporting science results and making progress toward the science goals The overarching scientific goal of the Juno identified for its primary two-Earth year (one- mission is to improve our understanding of the Mars year) mission. NASA’s Curiosity rover origin and evolution of Jupiter. However, as mission has found evidence that a stream once the archetype of giant planets, Jupiter can also ran vigorously across the area on Mars where provide knowledge that will improve our the rover is driving. There is earlier evidence understanding of both the origin of our solar for the presence of water on Mars, but this system and of planetary systems being evidence — images of rocks containing discovered around other stars. The ancient streambed gravels — is the first of its investigation focuses on the following four kind. In addition, the first Martian rock science objectives: Curiosity touched presents a more varied composition than expected from previous  Origin: Determine the oxygen-to- missions; this rock also resembles some hydrogen ratio to determine water unusual rocks from Earth’s interior. The rover abundance and constrain core mass to team used two instruments on Curiosity to decide among alternative theories of study the chemical makeup of the football-size planetary origin. rock called “Jake Matijevic.” The results  Interior: Understand Jupiter’s interior support some surprising recent measurements structure and dynamic properties and provide an example of why identifying through mapping of its gravitational rocks’ composition is such a major emphasis and magnetic fields, including internal of the mission. Rock compositions tell stories convection and the size and mass of its about unseen environments and planetary core. processes. Curiosity will turn its attention in

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 Atmosphere: Map variations in birth and evolution as high priority. Juno atmospheric composition, temperature, fulfills key goals outlined in recent NASA and and cloud opacity and dynamics, to NRC studies. depths greater than 100 bars, at all latitudes. Juno achieves the science objectives by using  Magnetosphere: Characterize and a simple spinning, solar-powered spacecraft to explore the three-dimensional structure make global maps of the gravity, magnetic of Jupiter’s polar magnetosphere and fields, and atmospheric composition of Jupiter auroras. from a unique elliptical polar orbit with a close perijove. The spacecraft carries precise, These objectives have been rated very highly high-sensitivity radiometers, magnetometers, in the National Academy of Sciences’ Solar and gravity science systems. Juno’s 32 orbits System Exploration Decadal Survey and Sun- will extensively sample Jupiter’s full range of Earth Connections Decadal Survey. The latitudes and longitudes. From its polar Astrophysics Decadal Survey identified the perspective, Juno combines in-situ and remote study of star formation and their planetary sensing observations to explore the polar systems as well as giant and terrestrial planet magnetosphere and determine what drives Jupiter’s remarkable auroras.

Figure 6.4-2: Artist’s concept of Juno at Jupiter

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FY 2013 BUDGET REQUEST FOR JUNO

Budget Prior FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 FY LCC Authority Actual Enacted 2018 Total ($ Millions) FY 2013 743.1 189.2 31.2 17.8 18.1 21.8 29.9 33.4 22.3 1107.0 Request Table 6.4-2: Budget Request for Juno

6.4.2.2 STATUS samples that could better explain our solar system’s formation and how life began. The There are no major issues in the Juno project mission, called Origins-Spectral at this time. Juno launched successfully from Interpretation-Resource Identification- Cape Canaveral, FL, on August 5, 2011, Security-Regolith Explorer, or OSIRIS-REx, completing its development on time and under will be the first U.S. mission to carry samples budget. It is currently in its cruise phase, from an asteroid back to Earth. After preparing for a gravity assist speed boost from travelling two years, OSIRIS-REx will Earth via an Earth flyby in October 2013. approach the primitive, near-Earth asteroid Juno is expected to enter Jupiter orbit in July designated 1999 RQ36 in 2018. Once within 2016 to begin its one-year primary mission. three miles of the asteroid, the spacecraft will Once in orbit, the spacecraft will circle Jupiter begin six months of comprehensive surface 33 times, from pole-to-pole, and use its mapping. The science team then will pick a collection of eight science instruments to location from where the spacecraft’s arm will probe beneath the gas giant’s obscuring cloud take a sample. The spacecraft gradually will cover. Juno’s science team will learn about move closer to the site, and the arm will Jupiter’s origins, structure, atmosphere and extend to collect at least 60 grams of material magnetosphere, and look for a potential solid for return to Earth in 2023. RQ36 is roughly planetary core. the size of six football fields. The asteroid, little altered over time, is likely to represent a 6.4.3 ORIGINS-SPECTRAL snapshot of our solar system’s infancy. The INTERPRETATION-RESOURCE asteroid is also likely to be rich in carbon, a IDENTIFICATION-SECURITY- key element in the organic molecules REGOLITH EXPLORER necessary for life. Organic molecules have (OSIRIS- REX) been found in meteorite and comet samples, indicating some of life’s ingredients can be 6.4.3.1 DESCRIPTION created in space; scientists want to see if they also are present on RQ36. NASA will launch a spacecraft to an asteroid in 2016 and use a robotic arm to pluck

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Figure 6.4-3: OSIRIS-REx at RQ36

OSIRIS-REx will perform the following:  Characterize the integrated global properties of a primitive carbonaceous  Return and analyze a sample of asteroid to allow for direct pristine asteroid soil in an amount comparison with ground-based sufficient to study the nature, history, telescopic data of the entire asteroid and distribution of its constituent population. minerals and organic material; The Yarkovsky effect is a small push caused  Map the global properties, chemistry, by the sun on an asteroid as it absorbs sunlight and mineralogy of a primitive and re-emits that energy as heat. The small carbonaceous asteroid to characterize push adds up over time, but it is uneven due to its geologic and dynamic history and an asteroid’s shape, wobble, surface provide context for the returned composition and rotation. For scientists to samples; predict an Earth-approaching asteroid’s path,  Document the texture, morphology, they must understand how the effect will volatile chemistry, and spectral change its orbit. OSIRIS-REx will study the properties of the regolith at the orbit of asteroid RQ36 to ascertain its sampling site at scales down to the trajectory and devise future strategies to sub-centimeter; mitigate possible Earth impacts from celestial  Accurately measure the “Yarkovsky objects. effect” on a potentially hazardous asteroid and constrain the asteroid The planned launch date for OSIRIS-REx is in properties that contribute to this September 2016. The mission is completing effect; and its preliminary design, and will be confirmed

• 284 • The NASA Presidential Transition Binder to begin final design and fabrication in mid- provide mass and gravity field maps. This 2013. As part of the on-going preliminary information will help the mission team select design effort, the OSIRIS-REx team updated the most promising sample site, from which it the Design Reference Mission to provide will collect and return to Earth at least 60 additional operations time at the asteroid. The grams of pristine material from asteroid OSIRIS-REx launch period, asteroid departure RQ36. The sample return will use a capsule date, and Earth return date remain the same as similar to that which returned the samples of scheduled, but the OSIRIS-REx flight comet 81P/Wild on the Stardust spacecraft, dynamics team is now planning an October allowing the sample to return and land at the 15, 2018, rendezvous date at the asteroid Utah Test and Training Range in 2023. The instead of the original plan of December 16, capsule will then be transported to JSC for 2019. The mission will study the asteroid for processing by a dedicated research facility. about two years, globally mapping the surface Subsamples will be made available for from distances of 5 kilometers to 0.7 research to the world-wide science kilometers. The spacecraft cameras and community. instruments will photograph the asteroid and measure its surface topography, composition, and thermal emissions. Radio science will FY 2013 BUDGET REQUEST FOR OSIRIS-REX

($ Millions) Prior Actual Enacted FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 BTC Total FY 2011 FY 2012 FY 2013 0.0 4.9 110.2 137.5 228.7 224.2 202.1 44.9 0.0 952.7 Request Table 6.4-3: Budget Request for OSIRIS-REx

6.4.3.2 STATUS 6.4.4 MARS ATMOSPHERE AND VOLATILE EVOLUTION On August 21, 2012, the Spitzer Space (MAVEN) Telescope performed infrared observations of the OSIRIS-REx target asteroid 1999 6.4.4.1 DESCRIPTION RQ36 and on September 17 and 18, 2012, NASA will launch the Mars Atmosphere the Hubble Space Telescope Wide Field and Volatile EvolutioN, or MAVEN, Camera-3 (HST) performed complementary mission to orbit Mars. MAVEN will photometric observations. These explore how the sun may have stripped Mars observations marked two of the final of most of its atmosphere, turning a planet opportunities for OSIRIS-REx scientists to once possibly more hospitable to microbial obtain detailed information about 1999 life into a cold and barren desert world. RQ36 before the mission launches in 2016. HST will provide one more set of images MAVEN will be the first mission dedicated this coming winter. to exploring the upper atmosphere of Mars. Previous missions to Mars have shown us that the atmosphere and climate have changed over time and found evidence of abundant liquid water on the surface in

• 285 • The NASA Presidential Transition Binder ancient times, though not today. Scientists  Neutral Gas and Ion Mass want to know what happened to the water Spectrometer (NGIMS), built by and where the planet’s thick atmosphere NASA Goddard, will measure the went. The MAVEN mission will study the composition and isotopes of neutral nature of the red planet’s upper atmosphere, gases and ions. how solar activity contributes to atmospheric loss, and the role that escape of The MAVEN orbit will be elliptical. At its gas from the atmosphere to space has played closest point to the planet, it will be 150 through time. kilometers (93 miles) above the surface. At this altitude, the spacecraft will pass through MAVEN will launch from Cape Canaveral, the upper atmosphere on each orbit and can FL, during a three-week period that begins sample the gas and ion composition directly. on November 18, 2013. The trip to Mars At its highest point, it will be more than takes 10 months, and MAVEN will go into 6000 km (3728 miles) above the surface and orbit around Mars in September 2014. It will can carry out ultraviolet imaging of the take five weeks for the spacecraft to get into entire planet. This combination of detailed its final science-mapping orbit, test the point measurements and global imaging is a instruments, and test science-mapping powerful way to understand the properties of sequences. After this commissioning phase, the upper atmosphere. MAVEN has a one-Earth-year primary mission during which it will make its key The altitude in the MAVEN orbit will be measurements. Although launch lowered for five “deep-dip” campaigns opportunities exist approximately every 26 during the mission. In each deep dip, the months, MAVEN’s science is solar-cycle spacecraft will take measurements that will dependent. With the November 2013 provide information down to the top of the launch, science will be gathered around the well-mixed lower atmosphere, giving period of maximum solar activity, thus scientists a full profile of the top of the optimizing science return. atmosphere.

MAVEN will carry three instrument suites:

 Particles and Fields Package (PFP), built by the University of California at Berkeley Space Sciences Laboratory, contains six instruments that characterize the solar wind and the ionosphere of the planet.

 Remote Sensing Package, built by the University of Colorado at Boulder Laboratory for Atmospheric and Space Physics, will determine global characteristics of the upper atmosphere and ionosphere.

Figure 6.4-4: MAVEN at Mars

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FY 2013 BUDGET REQUEST FOR MAVEN

($ Millions) Prior Actual Enacted FY FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Total FY 2012 2011 FY 2013 58.4 160.6 245.7 146.4 37.6 17.3 5.3 671.2 Request Table 6.4-4: Budget Request for MAVEN

6.4.4.2 STATUS launch processing in August 2013. After MAVEN is currently in the Assembly, Test, MAVEN is installed in the fairing, it and Launch Operations (ATLO) phase. The will be mated to the rocket at the Cape spacecraft is being assembled and tested at Canaveral Air Force Station in time for the Lockheed Martin, and the science instruments opening of its launch period on November 18, and relay radio payload are being delivered 2013. The MAVEN Project is on budget and and integrated with the spacecraft. on track for completion, testing, and launch on schedule. Observatory-level testing will begin, and the assembled MAVEN observatory will be delivered to the Kennedy Space Center for

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6.5 HELIOPHYSICS

they encounter. MMS is scheduled to launch 6.5.1 MAGNETOSPHERIC MULTISCALE no later than March 2015. PROJECT (MMS)

6.5.1.1 DESCRIPTION MMS will focus on answering the following fundamental open questions: The Magnetospheric Multiscale (MMS) mission is a Solar Terrestrial Probes mission  What determines when reconnection comprising four identically instrumented starts and how fast it proceeds? spacecraft that will use Earth’s magnetosphere  What is the structure of the diffusion as a laboratory to study the microphysics of region? three fundamental plasma processes: magnetic  How do the plasmas and magnetic reconnection, energetic particle acceleration, fields disconnect and reconnect in the and turbulence. The disconnection and reconnection of the plasma and magnetic field diffusion regions? lines takes place in a narrow boundary layer  What role do the electrons play in within Earth’s magnetosphere called the facilitating reconnection? diffusion region. The four satellites will be  What is the role of turbulence in the launched on a single launch vehicle and will reconnection process? fly in a tetrahedral (pyramid) formation,  How does reconnection lead to the allowing them to capture the three- acceleration of particles to high dimensional structure of the reconnection sites energies?

Figure 6.5-1: MMS Spacecraft (Instrument Suite Deck View)

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FY 2013 BUDGET REQUEST FOR MMS

($ Prior FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 BTC LCC Millions) Actual Enacted FY 2013 356.8 150.8 170.3 168.3 157.6 42.9 20.4 12.5 2.9 1082.6 Request Table 6.5-1: Budget Request for MMS

6.5.1.2 ISSUES outer atmosphere or corona as it extends out MMS is a complex project with four into space. This Living With a Star (LWS) spacecraft, 25 instruments on each spacecraft, mission will use seven Venus flybys over and multiple international partners, including nearly seven years to gradually shrink its orbit Japan, Austria, Sweden, and France. The four around the sun, coming as close as 3.7 million spacecraft are being developed in parallel, miles (5.9 million kilometers) to the sun, well which is a management challenge. Although within the orbit of Mercury and about eight the schedule is holding and the schedule times closer than any spacecraft has come reserves remain at levels consistent with before. During its unprecedented close-up NASA mission requirements, the cost reserves study of the sun, SPP will endure 2600- have been diminished. Due to mission degrees Fahrenheit, supersonic solar particles, conflicts with use of the facilities at GSFC, the and intense radiation. This mission has been MMS thermal vacuum testing will be the top priority of the heliophysics science performed at the Naval Research Lab (NRL) community for over five decades. thermal vacuum facility. The additional costs and risks associated with testing at a different The mission has five science investigations, (http://solarprobe.jhuapl.edu/spacecraft/instru facility have been covered by releasing HQ Unallocated Future Expense (UFE) to the ments.php), which were selected project. However, HQ is now left with competitively from the scientific community. diminished UFE, and the project has Integration and Test (I&T) and observatory This mission is still in formulation and is environmental testing to complete. In scheduled to be reviewed for confirmation to addition, with current cost estimates and its start development in 2014. The mission is funding reserve liens, the project will scheduled to launch in 2018. approach its Project Management Agreement, the agreement with NASA HQ to which the SPP has three science objectives: project manages, but will still meet the Agency Baseline Commitment, the 1. Trace the flow of energy that heats and commitment to OMB and Congress. accelerates the solar corona and solar wind. 6.5.2 SOLAR PROBE PLUS (SPP) 2. Determine the structure and dynamics of the plasma and magnetic fields at 6.5.2.1 DESCRIPTION the sources of the solar wind. Solar Probe Plus (SPP) will be an 3. Explore mechanisms that accelerate extraordinary and historic mission, exploring and transport energetic particles. what is arguably the last region of the solar system to be visited by a spacecraft, the sun’s

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Figure 6.5-2: Image of the Solar Plus Project

FY 2013 BUDGET REQUEST FOR SPP

Prior FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 BTC LCC ($ Millions) Actual Enacted FY 2013 71.9 13.9 49.5 112.1 103.2 137.1 229.3 215.2 176.7 N/A Request Table 6.5-2: Budget Request for SPP

requirements. The project is working 6.5.2.2 ISSUES with vendors to identify enhancements There are no major issues in the SPP project at to meet launch energy requirements, this time, but it has some complexities that are including an upgrade to the third stage. being addressed as the design matures.  Launch Window: Due to the unique  Technology Maturity: The project mission design, the launch window in plans to bring the key technology 2018 is 21 days, with a backup development items to Technology window that is about a year later. Readiness Level (TRL)-6 by the end of Therefore, the schedule will need to be Phase B. closely managed as the project moves  Launch Vehicle Enhancements: The forward. base Atlas V 551 launch vehicle is insufficient to meet the mission

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6.6 ASTROPHYSICS

6.6.1 STRATOSPHERIC OBSERVATORY FOR INFRARED ASTRONOMY (SOFIA)

6.6.1.1 DESCRIPTION

SOFIA is a unique airborne astronomical observatory, whose primary mission is to study many different kinds of astronomical objects and phenomena. SOFIA investigates star birth and death and the formation of new solar systems; it identifies complex molecules in space; and it observes planets, comets and asteroids in our solar system, as well as nebulae and dust in galaxies. The infrared light of these objects is only partially visible Figure 6.6-1: SOFIA in Flight with Telescope from the ground due to water vapor in Earth’s Door Open atmosphere. However, at high altitudes, the influence of water vapor is negligible, The SOFIA observatory project objectives are allowing better observation of these listed below: astronomical objects. SOFIA’s reconfigurability and flexibility ensures the  Study the universe in the infrared integration of cutting edge technology and the spectrum. Flying at altitudes between ability to address emerging scientific 41,000 and 45,000 feet, SOFIA makes questions. infrared observations high above most of the infrared-absorbing water vapor NASA and the Deutches Zentrum für Luft- in the atmosphere. Its observations und Raumfahrt (DLR), Germany’s Aerospace span the full range of infrared Research Center and Space Agency, are wavelengths, from 0.3 – 1600 microns. working together to develop and operate SOFIA is used to study interstellar SOFIA, a Boeing 747SP aircraft that was clouds, star and planet formation, modified to accommodate a 2.5 meter activity in the center of the Milky reflecting telescope. Way, and the composition of planets and comets in our solar system.

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 Create an open opportunity for the SOFIA is the largest airborne observatory in entire international astronomical the world, and it makes observations that are community. During the first few years impossible for even the largest and highest of (observing cycles) of the SOFIA ground-based telescopes. The modified program, observing time will be Boeing 747SP airliner flies its missions from divided between General Investigator NASA Dryden Flight Research Center’s observations, engineering time, Aircraft Operation Facility during what is guaranteed time for the instrument expected to be a 20-year lifespan. SOFIA will teams, and Director’s Discretionary soon be NASA’s only far-infrared mission, as Time. Spitzer cryogens have been depleted and  Provide a unique and exciting platform Herschel’s cryogens will be exhausted by for Education and Public Outreach. 2013. SOFIA is capable of enabling “Great Educators from across the United Observatory” class astronomical science. States and Germany participate on- board during SOFIA science flights and thereby learn about infrared astronomy. They share this knowledge with colleagues and students in order to inspire the next generation of leaders in science, technology, engineering, and mathematics.

FY 2013 BUDGET REQUEST FOR SOFIA

($ Millions) Prior Actual Enacted FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 BTC Total

FY 2013 Request 812.4 79.9 84.2 85.5 88.0 88.0 86.0 85.9 1,593.1 3,002.9 Table 6.6-1: Budget Request for SOFIA

6.6.1.2 ISSUES for improvements, some of which have SOFIA has had a history of schedule slips already been implemented on the and cost overruns since its inception in observatory. SOFIA is currently at the 1996. In 2006, NASA completely re- beginning of its first science cycle, and the structured the program, providing NASA Program has faced many challenges in Program Managers with much greater balancing the twin goals of functioning as an control over technical decisions and operating observatory while simultaneously resource allocations. After the restructuring, completing system development. program performance against cost and 6.6.2 KEPLER schedule milestones improved dramatically. SOFIA has met all of its Level 1 6.6.2.1 DESCRIPTION requirements for observatory capability and is making progress toward its stretch goals. The Kepler mission is a Discovery Program Recently, the program has appointed a joint mission, and is the first NASA mission U.S.-German SOFIA Pointing Optimization aimed specifically at trying to find Earth- Team to study telescope pointing sized planets orbiting stars similar to our performance and to make recommendations own sun. Kepler, launched in March 2009, is

• 292 • The NASA Presidential Transition Binder specifically designed to survey the distant discoveries and the project has released a stars in this region of the Milky Way galaxy substantial data set to the astronomical to detect and characterize rocky planets in or community. The Kepler prime mission will near the “habitable zone” of their host star. be completed in November 2012. NASA The habitable zone encompasses the has accepted the recommendation of the distances from a star where liquid water can 2012 Senior Review to extend the mission exist on a planet’s surface. As time through 2016, with a further review in 2014. progresses, smaller and smaller planets with longer and longer orbital periods will begin to emerge from the data.

Kepler’s specific objectives include: determine the frequency of terrestrial and larger planets in or near the habitable zones of a wide variety of spectral types of stars; determine the distribution of planet sizes and their orbital semi-major axes (half the longest diameter of the orbit); estimate the frequency and orbital distribution of planets in multiple-stellar systems; and determine the distributions of semi-major axis, albedo, size, mass, and density of short-period giant planets.

In FY 2012, Kepler completed its third year of science operations. Kepler observations Figure 6.6-2: Kepler Field of View (Portrait) have resulted in numerous scientific FY 2013 BUDGET REQUEST FOR KEPLER

Budget Prior FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 BTC Total Authority ($ Actual Enacted Millions) FY 2013 Request 562.4 16.8 19.6 13.6 0.2 0.0 0.0 0.0 0.0 612.6 Table 6.6-2: Budget Request for Kepler

Kepler mission. Progress toward discovery of 6.6.2.2 ISSUES Earth-like planets will be monitored. Also, the reaction wheel assemblies, which maintain The Kepler science mission has been extended the orientation of the telescope, have from three years to a possible seven years. experienced episodes of anomalous friction. The Kepler Project requested the extension in One assembly has failed, and has been order to overcome the fact that stars fluctuate replaced in normal operations by a redundant in brightness somewhat more than expected, assembly. The operating conditions for the making it more difficult to discern the tiny operating reaction wheels have been modified signatures of Earth-sized planets. The in an effort to extend their lifetime. Data discovery of Earth-like planets and a statistical collection and data mining are being pursued survey of them is the prime objective of the

• 293 • The NASA Presidential Transition Binder in order to more sensitively identify signatures infrared spectrum, where the highly red- of increased friction and possibly impending shifted early universe can be better observed. failure. JWST is optimized for infrared astronomy, 6.6.3 JAMES WEBB SPACE with some capability in the visible range. It TELESCOPE (JWST) will have a 6.5-meter-diameter, segmented, adjustable primary mirror. JWST’s 6.6.3.1 DESCRIPTION instruments are:

The James Webb Space Telescope (JWST) is  Near Infrared Camera (NIRCam); a NASA strategic mission to study many  Mid Infrared Instrument (MIRI); problems in astronomy and astrophysics as  Near Infrared Spectrograph diverse as imaging the earliest stars and galaxies to form after the Big Bang to the (NIRSpec); and remote examination of the atmospheres of  Fine Guidance Sensor (FGS)/Near exoplanets. JWST was rebaselined on Infrared Imager and Slitless September 2011 following the report from the Spectrograph (NIRISS). Congressionally initiated Independent Comprehensive Review Panel that NIRSpec and MIRI are collaborations with the recommended several changes in how the European Space Agency (ESA), and Program was managed and funded. JWST is FGS/NIRISS is being provided by the expected to launch in 2018. Canadian Space Agency. The telescope is scheduled to launch in 2018. Its operational JWST is a logical successor to the Hubble location is the L2 Lagrange point. The JWST Space Telescope (HST), extending beyond Ground Operations, Science Support Center, Hubble’s capabilities by virtue of its larger and archives will be at Space Telescope mirror and by looking into the near and mid- Science Institute (STScI) in Baltimore, MD.

Figure 6.6-1: JWST Full-Scale Test Membrane

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FY 2013 BUDGET REQUEST FOR JWST

($ Prior FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 20 BTC LCC Millions) 17 FY 2013 3,013.7 515.3 530.6 627.6 659.1 646.6 621.6 571.1 1,649.5 8,835.0 Request Table 6.6-1: JWST Budget Runout

require utilization of project schedule 6.6.3.2 ISSUES reserve and could make the ISIM the pacing item for the program (the current pacing JWST is a large, highly complex mission, item is the telescope itself). The NIRCam is both technically and managerially. Two of experiencing cost overruns and schedule JWST’s instruments, MIRI and delays. To date, these overruns have been FGS/NIRISS, have been delivered to GSFC absorbed through the use of JWST for Integration and Test. The University of Unallocated Future Expenditures reserve Arizona’s Near-Infrared Camera (NIRCam) funds. In response to these conditions, and the European Space Agency’s Near- NASA has increased its onsite personnel at Infrared Spectrograph (NIRSpec) have the contractor (Lockheed-Martin) the experienced delays. The Integrated Science University of Arizona is using to develop Instrument Module (ISIM) integration and the instrument. NASA personnel have test flow has been adjusted to incorporate regular conversations with the Lockheed- the late instrument deliveries without Martin vice president-level management to reduction in ISIM schedule reserves and ensure proper attention is given to this with an acceptable level of mission risk. critical instrument’s cost and schedule Further significant delays in the delivery of performance. NIRCam or the NIRSpec instrument will

6.7 JOINT AGENCY SATELLITE DIVISION

ground segment; and operates the GOES-R 6.7.1 GEOSTATIONARY OPERATIONAL series satellites. NASA procures the ENVIRONMENTAL SATELLITE-R instruments, spacecraft and launch vehicles; (GOES-R) SERIES launches the spacecraft; and manages the 6.7.1.1 DESCRIPTION program system engineering and mission assurance activities. GOES-R will accomplish The Geostationary Operational Environment the following: Satellite – R (GOES-R) series is the next generation of National Oceanic and 1. Leverage its advanced spacecraft and Atmospheric Administration (NOAA) instrument technology to support geostationary satellites and is a collaborative expanded detection of environmental development and acquisition effort between phenomena, resulting in more timely and NOAA and NASA. NOAA defines accurate weather forecasts and warnings; requirements for the program based on user 2. Provide continuous imagery and needs; budgets and funds program resources atmospheric measurements of Earth’s and contracts; manages the integrated Western Hemisphere and space weather NOAA/NASA Program Office; procures the monitoring; and

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3. Function as the primary tool for the 5. Geostationary Lightning Mapper (GLM); detection and tracking of hurricanes and and severe weather. 6. Magnetometer (MAG). The GOES-R series will continue the two- satellite system implemented by the current In May of 2012 the GOES-R program GOES series. The GOES-R series operational conducted a successful KDP-C, thus moving lifetime extends through December 2036. the program into the implementation phase. The GOES-R program will complete its mission critical design review in November of GOES-R will fly the following instruments: 2012. All instrument flight models for the GOES-R mission are in some phase of 1. Advanced Baseline Imager (ABI); integration, assembly and testing. The 2. Space Environmental In-Situ Suite spacecraft completed its critical design review (SEISS); in April 2012. Also in April, the Atlas V 541 was selected as the launch vehicle for the 3. Solar Ultra Violet Imager (SUVI); GOES-R and GOES-S missions. 4. Extreme Ultra Violet / X-Ray Irradiance Sensors (EXIS);

Figure 6.7-1: GOES-R Spacecraft

FY 2013 BUDGET REQUEST FOR GOES-R

NASA completes work on GOES-R on a reimbursable basis, and as such, the budget lies with NOAA.

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basis, with program activities led by the 6.7.1.2 ISSUES Program Offices at the Goddard Space The GOES-R program is experiencing Flight Center. The JPSS program inherited increased programmatic risks for achieving flight and ground assets from the cancelled the October 2015 launch readiness date for National Polar-orbiting Operational the GOES-R mission. Recent information Environmental Satellite System (NPOESS) from the spacecraft vendor indicates reduced program. schedule margins below the Goddard Space Flight Center standards for the GOES-R The JPSS mission will accomplish the mission due to potential late delivery of following: reaction wheels, incorporation of  Increase the accuracy and reliability Electrostatic Discharge protection, and of weather forecasting capabilities expanded Radio Frequency (RF) especially for severe weather and compatibility testing. The GOES-R program also has limited FY12 uncosted carryover tropical cyclones; and low contingency levels that make the  Improve use of polar-orbiting program more susceptible to potential satellite data for ocean and coastal budget reductions during the FY13 applications; and appropriations process. Technically, issues  Continue and enhance our long-term continue to surface during instrument environmental data sets to facilitate assembly and test, but most have been resolved quickly with limited impact to long term climate monitoring and instrument delivery schedules. One prediction. exception is the Geostationary Lighting Mapper (GLM), which has the least slack to spacecraft need date. Issues with GLM JPSS will fly the following instruments: Electromagnetic Interference/Capability (EMI/EMC) testing, which have since been  Visible/Infrared Imaging Radiometer resolved, significantly reduced the Suite (VIIRS); instrument’s schedule slack.  Advanced Technology Microwave Sounder (ATMS); 6.7.2 JOINT POLAR SATELLITE  Cross-Track Infrared Sounder SYSTEM (JPSS) (CrlS); 6.7.2.1 DESCRIPTION  Ozone Mapping and Profiling Suite The Joint Polar Satellite System (JPSS) is (OMPS); the next generation of National Oceanic and  Clouds and Earth’s Radiant Energy Atmospheric Administration (NOAA) polar System (CERES); and orbiting environmental monitoring satellites.  Total Solar Irradiance Sensor (TSIS). JPSS is a joint mission with the NOAA. NOAA maintains overall program JPSS will fly the following user services: responsibility for developing, funding, and  Advanced Data Collection System implementing JPSS. NASA is the (ADCS); and acquisition agent for the flight and ground segments and is the systems integrator of  Search and Rescue Satellite JPSS on behalf of NOAA on a reimbursable (SARSA1).

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the NPP ATMS data in their operational JPSS is set to deploy and operate through forecast models. For the JPSS-1 satellite, FY 2028. It consists of five satellites: the the spacecraft is currently being built and Suomi National Polar-orbiting Partnership the instrument vendors continue to make (Suomi NPP), JPSS-1, JPSS-2, Free Flyer-1 progress in manufacturing and testing. and Free Flyer-2. The VIIRS, ATMS, CrIS, OMPS and CERES instruments will be FY 2013 BUDGET REQUEST FOR JPSS accommodated on JPSS-1 and -2, while the NASA’s efforts on JPSS are performed on a TSIS, A-DCS and SARSAT instruments reimbursable basis, and as such, the budget will be accommodated on the Free Flyer lies with NOAA. satellites.

The Suomi NPP satellite, formerly known as 7.7.2.2 ISSUES the NPOESS Preparatory Project (NPP), was Congress has expressed concern about the developed as a way to assure continuity of JPSS cost. JPSS-1 spacecraft delta-critical key observations from NASA’s Earth design review is scheduled for December Observing System (EOS) and to 2012, and a JPSS-1 Flight (spacecraft, demonstrate technologies for NPOESS. The instruments and launch vehicle) delta- satellite was successfully launched in critical design review is set to follow in October 2011, and NOAA will use the January to address any technical issues that satellite’s data for its operational weather may have arisen as part of the build of its forecasting models. On-orbit checkout of the sophisticated spaceflight hardware. There is Suomi NPP satellite is now complete. currently sufficient budget and schedule Calibration and validation of the sensors is margin for any anticipated issues relating to underway, and the JPSS program has the JPSS-1 mission. assumed operational control. In May 2012, the National Weather Service started to use

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7.0 MISHAP INVESTIGATIONS AND CONTINGENCY PLANS

INTRODUCTION analysis that identifies all relevant organizational factors and is used by the NASA conducts mishap investigations in investigating authority to evaluate all accordance with NPR 8621.1B, NASA applicable data in determining why a mishap Procedural Requirements for Mishap and occurred. Close Call Reporting, Investigating, and Recordkeeping in order to improve safety. A collateral mishap investigation may occur if This section provides an overview of mishap it is reasonably suspected that a mishap investigation policy and objectives, basic resulted from criminal activity, or if the terminology, and mishap classification levels. Agency wants to assess accountability to The section also describes the mishap determine if negligence was a factor. NASA investigation process, center mishap has the flexibility to exercise the option of preparedness and contingency plans, and performing more than one type of program mishap preparedness and investigation for a mishap. contingency plans. Finally, this section presents a summary of NASA’s “Type A” 7.2 BASIC TERMINOLOGY OF MISHAPS mishaps during the period January 2008 until June 2012. 7.2.1 MISHAP

7.1 OVERVIEW NASA defines a mishap as any unplanned event that results in at least one of the NPR 8621.1B describes the policy to report, following: investigate, and document mishaps, close calls, and previously unidentified serious  Injury to non-NASA personnel workplace hazards to prevent recurrence of caused by NASA operations. similar accidents. The NPR also describes the method for correctly conducting a mishap  Damage to public or private property investigation and the appropriate level of (including foreign property) caused detail and resources required for the by NASA operations or NASA- investigation. funded development or research projects. The objective of mishap and close call  Occupational injury or occupational investigations is to improve safety by illness to NASA personnel. identifying what happened, where it happened, when it happened, why it happened, and what  NASA mission failure before should be done to prevent recurrence and scheduled completion of the planned reduce the number and severity of mishaps. primary mission.  Destruction of or damage to NASA The safety investigation is not to be used to property. direct or justify disciplinary action for mishaps or close calls. These investigations 7.2.2 CLOSE CALL are focused primarily on safety aspects of the workplace and determining the root cause of A close call is an event in which there is no the mishap. Root cause analysis is a specific injury or only minor injury requiring first aid

• 299 • T h e N A S A Presidential Transition Binder and/or no equipment/property damage or of test articles that are not flight hardware, or minor equipment/property damage (less than failure during a test where the failure is a $1000), but which possesses a potential to reasonably predicted or possible outcome. cause a mishap. Although not strictly a mishap, the investigation of close calls is also Other destruction or damage to public or an important component in the mishap private property is not considered a mishap if prevention process. it is due to weather related events (hurricane, lightning, tornado, tidal wave, tsunami, water 7.3 CLASSIFICATION OF MISHAPS spout, ice/snow loads) or natural phenomenon (flood, landslide, earthquake, meteoroid NASA requires that all mishaps and close landing, or volcanic eruption). calls are investigated. The safety office at the various NASA centers has this responsibility NASA property damage or personnel injuries for ensuring that mishap data is entered into that are the result of vandalism, riots, civil the Incident Reporting and Information disorders, or felonious acts such as arson or System (IRIS). The IRIS database is the sabotage are not considered NASA mishaps. primary repository for mishap information and These incidents are reported and investigated is used for tracking and updating incident in accordance with procedures under NPD cases, including providing corrective action 9800.1, NASA Office of Inspector General summary, lessons learned, and other pertinent Programs, and NPR 1600.1, NASA Security safety incident information. Program Procedural Requirements.

The severity of the personnel injury and the There may be cases when a mishap or close direct cost of the mishap or close call call is felt to be a high-visibility event. In (property damage and/or mission failure) these cases, any one of a number of NASA determine the classification level of the officials may elevate the mishap classification mishap or close call and the corresponding level of investigation to the classification level type of investigation to be conducted. Table that he/she deems appropriate; in addition, 7.3-1 details the specifics of mishap he/she may request the appropriate appointing classification. official to form a Mishap Investigation Board. The NASA officials empowered to do this are Due to the nature of research and operations the following: the Administrator, Associate performed by the Agency, NASA does not Administrator, Mission Directorate Associate consider some test failures to be mishaps. The Administrator, Chief, Safety and Mission criteria for determining whether a test failure Assurance, the Designated Agency Safety and is a mishap are described in the NPR 8621.1B. Health Official who is the Chief Health and However, the classification of an event as a Medical Officer, Center Director, or the test failure is generally limited to failure of Assistant Administrator, Office of components that are subject to normal wear Infrastructure and Administration. with regularly scheduled maintenance, failure

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Classification Property Damage Injury Level & Type of Investigation Type A Mishap Total direct cost of mission failure and property Occupational injury and/or illness that damage is $2M or more, or resulted in: Crewed aircraft hull loss has occurred, or A fatality, or Occurrence of an unexpected aircraft departure from A permanent total disability, or controlled flight (except high performance jet/test The hospitalization for inpatient care of aircraft such as F-15, F-16, F/A-18, T-38, OV-10, and three or more people within 30 workdays of T-34, when engaged in flight test activities). the mishap.

Type B Mishap Total direct cost of mission failure and property Occupational injury and/or illness has damage of at least $500K, but less than $2M. resulted in permanent partial disability, or The hospitalization for inpatient care of one to two people within 30 workdays of the mishap. Type C Mishap Total direct cost of mission failure and property Nonfatal occupational injury or illness that damage of at least $50K, but less than $500K. caused any workdays away from work, restricted duty, or transfer to another job beyond the workday or shift on which it occurred. Type D Mishap Total direct cost of mission failure and property Any nonfatal OSHA recordable damage of at least $1K, but less than $50K. occupational injury and/or illness that does not meet the definition of a Type C mishap. Close Call An event in which there is no equipment/property An event in which there is no injury or only damage or minor equipment/property damage (less minor injury requiring first aid, but which than $100), but which possesses a potential to cause possesses a potential to cause a mishap. a mishap. Table 7.3-1: NASA Classification of Mishaps and Close Calls

NASA has precise criteria for the classification of Mishaps and Close Calls.

7.4 OVERVIEW OF THE MISHAP FIELD PHASE INVESTIGATION PROCESS  Verify mishap site is safe and secured NASA uses a well-defined process common to and evidence is preserved. many investigative bodies. Specifically, the process is divided into three phases: the Pre-  Gather physical evidence and facts. field phase, the Field phase, and the Post-Field  Interview witnesses. phase. These are described immediately below. POST-FIELD PHASE

PRE-FIELD PHASE  Review and analyze data.

 Prepare for the investigation.  Draw conclusions and document findings.  Generate recommendations.

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 Develop mishap report. Office. All mishap reports and related information are reviewed by the Office of At the inception of a Type A/B or High General Counsel, OIIR, Office of Visibility incident, a Mishap Investigation Communications, Office for International Board is appointed in accordance with NPR Traffic in Arms Regulations (ITAR) and 8621.1B requirements for the level of Export Administration Regulations (EAR) investigation necessary. Mishap Investigation requirements and other Sensitive But Boards are comprised of a , Ex- Unclassified criteria. Officio, and normally two or four additional voting members. Advisors/consultants are NPR 8621.1B Appendix C provides an outline included depending on the technical aspects of of the notional timeline (Figure 7.4-1) for a the incident, but are not considered voting mishap from the time the incident occurs until members of the board. the report is authorized for public release and corrective action plans are completed. Endorsing officials are comprised of the Generally, the full mishap process can take up Chief, Safety and Mission Assurance, the to 145 days or more. However, there are Chief Engineer, and the Chief Health and several instances where Appointing Officials Medical Officer. Mishap Boards are also have directed that boards take less time (30 required to have representatives from the days) to complete the report depending on the Office of Chief Counsel and the Public Affairs severity of the mishap.

Figure 7.4-1: NASA Mishap Investigation Process Notional Timeline

The NASA Mishap Investigation Process is thorough and comprehensive.

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NASA requires that within 24 hours of the report is endorsed, it is then authorized for incident notification is made to all authorities. public release and distribution. The Center Safety Office ensures that the event and preliminary information is recorded At any time during the investigation, if certain in the IRIS database. Notification to NASA safety critical information is required to be Headquarters, Office of Safety and Mission sent, the Mishap Investigation Board Chair Assurance is also required within the first 24 will issue a Mishap Warning Action Response hours. Within 48 hours, the formal Mishap which is distributed to NASA Safety and Investigation Board is appointed and begins Mission Assurance management and the investigation phase. personnel, Center Directors, and Agency officials. In addition, the board must provide At the onset of a mishap, the Center a 30-day status report using the template implements their Mishap Preparedness and provided in NPR 8621.1B. The status report Contingency Plan, which describes roles and will only contain factual information of the responsibilities of safety, security, and board’s progress. emergency response personnel as well as management contact information. Additional Appropriate organizations responsible for detail on the Center Mishap Preparedness and alleviating any and all safety concerns found Contingency Plan is addressed in the during the course of the investigation are following section. required to provide a Corrective Action Plan. This plan is approved by the appointing The Mishap Investigation Board completes the official and recorded in the IRIS database. investigation and written report within 75 Any Lessons Learned resulting from the days. Additional time for investigation may be investigation are developed and input to the required, in which case, an extension can be NASA Lessons Learned Information System granted from the Office of Safety and Mission (LLIS). Assurance. The Mishap Investigation Board is responsible to the Appointing Official for 7.5 CENTER MISHAP PREPAREDNESS AND disseminating timely information on mishaps CONTINGENCY PLANS and is required to issue a 30-day status report of Board activity and factual information. This NPR 8621.1B requires that the Assistant 30-day status report is also included in the Administrator, Office of Infrastructure and IRIS database. Administration and each Center Director develop a Center Mishap Preparedness and NASA uses Mishap Investigation Specialists Contingency Plan. The plan describes the from the NASA Safety Center to assist in following: facilitating the mishap process. This support includes reviewing the mishap report for  Local reporting policy and consistency and adherence to the NPR procedures, with current contact 8621.1B requirements. information.

NASA also requires that boards present their  Relationship between the Center’s findings in a formal out brief to endorsing Emergency Preparedness Plan and the officials and the appointing official of the Program Mishap Preparedness and Mishap Investigation Board. Once the mishap Contingency Plans, and which has precedence during a specific emergency situation.

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 All management responsibilities for 7.6 PROGRAM MISHAP PREPAREDNESS establishing a mishap investigation. AND CONTINGENCY PLANS

 Procedures for appointing the Interim NASA requires project/program managers to Response Team for mishaps not develop and concur in a Program Mishap covered in plans. Preparedness and Contingency Plan, which in  Procedures to appoint a Mishap many ways mirrors the Center’s Contingency Investigation Team, or single Plan. The Program Contingency Plan also investigator for Type C and D addresses information specific to the program mishaps. not covered in the Center’s Contingency Plan. Specific concerns for programs that may be  The role of the Incident Commander. encountered include:  Procedure and location for  Procedures for dealing with off-site impounding records and equipment mishaps. and release procedures.  Special handling procedures for any  List of Center Safety Office personnel hazardous materials in and other critical specialists that assist project/program hardware. in safeguarding the scene and evidence.  Special emergency response procedures that may be required.  Mishap report approval process for Type C and D mishaps and close  Procedures for dealing with multiple calls. agencies and jurisdictions, e.g., state, local, and federal.  List of contractor support and on-site specialists, which can support mishap  Procedures for collecting evidence in investigations. a foreign country.  Schedule for mishap simulations and  Transporting requirements for debris emergency response drills. and other evidence associated with program hardware.  Description of the information technology plan to provide computer 7.7 SUMMARY OF NASA’S TYPE A data retrieval and data archive support MISHAPS to the investigating authority.  Description of all necessary security The total number of Type A Mishaps suffered clearances for investigating authority by NASA over the period of January 2004 members. until June of 2008 was 13. Table 7.3-1 below provides a list of these mishaps with a brief  Description of the chain of custody description of each. process to secure and safeguard personnel effects and sensitive information related to injured or deceased individuals.  An expiration date for the Mishap Preparedness and Contingency Plan.

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Date of Responsible Mishap Type Mishap Title Mishap Organization 2008

Slip and Fall Building @N249 Shore Test Facility 3/5/08 Type B ARC during simulation

3/14/08 Type B SSC Building 1100 Fire 4/11/08 Type B GRC Fixture Flange Fall resulting in injury

Pad A Mobile Launch Platform (MLP) Ladder fall 5/20/08 Type B KSC and injury

5/31/08 Type A KSC STS-124 Pad 39A Launch Damage 6/19/08 Type B ARC T20-G Fall and injury 7/17/08 Type B JPL Duct Bank Collapse during excavation 8/2/08 Type B JPL Lemar Worker Construction Finger Injury 8/22/08 Type A ARMD Hybolt/SOAREX Launch Failure 9/9/08 Type B JPL Employee fall and injury National Transonic Facility (NTF) Fan Blade 9/18/08 Type B LaRC Damage 12/23/08 Type B SSC Landfill Cell 3 Liner Damage 2009 MSL Rover Integrated Pump Assembly (RIPA) 2/2/09 Type B JPL damage Taurus T8 Launch Vehicle Failed to Reach Orbit 2/24/09 Type A SOMD Resulting in Loss of Orbiting Carbon Observatory (OCO) 3/13/09 Type B DFRC Building 4833 inadvertent Deluge Release 4/2/09 Type B SSC Water Well Drill Rig Injury 4/23/09 Type B JSC Motorcycle/Car Crash Injury 5/2/09 Type B KSC Building K6-1193 Ladder Fall and Injury 5/15/09 Type B MSFC LN2 XRCF Vessel Damage 6/24/09 Type B KSC OV-104 Longeron Bridge Damage 8/10/09 Type B KSC Left Toe Amputation due to PPE 8/10/09 Type B KSC Overturned Seawall Construction Excavator 9/29/09 Type B KSC Contractor Employee Fall From Truck w/Injury 10/2/09 Type B GSFC Bldg 5 Broken Waterline w/Flood Damage 10/23/09 Type B DFRC F18 damage - Ingested FOD 10/30/09 Type B KSC Fall from Crane with Injuries 2010 1/12/10 Type B HQ Injury to forearm requiring surgery

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1/14/10 Type B MAF Fall into Elevator Pit w/Injury 1/19/10 Type B KSC Joy Compressor Room Trip and Injury 1/28/10 Type B KSC Launch Control Center Firex Leak w/Damage 2/8/10 Type B JSC Fall in Parking Lot w/Injury 3/5/10 Type B KSC Fall in Hallway w/Injury 4/28/10 Type B-High Visibility WFF Balloon Launch Failure (Australia)

Electrical Mishap/Injury at Building 01385 4/29/10 Type B KSC Demolition Project

6/7/10 Type B KSC Thumb Crushed between Magnets

Personnel Hearing Shift when Pressure Tubing 6/14/10 Type B JSC Burst

6/18/10 Type B MSFC Freedom Star Inury

Building 32 Chamber B Air Quality Ladder Fall 7/28/10 Type B JSC w/Injury

7/29/10 Type B JSC Finger Smash between Conduit and Wall 8/3/10 Type B GSFC Ladder Fall/Injury during Electrical Inspection 9/11/10 Type B KSC Fall/Injury 9/28/10 Type B GSFC Damaged Circuit Boards during inspection 9/29/10 Type B HQ Trip and Fall w/Injury 10/8/10 Type B JPL Fall from Scaffolding w/Injury 10/14/10 Type B SSC Fall/Injury in Building 1100 10/26/10 Type B WSTF Partial Finger Amputation on Punch Machine 10/28/10 Type B WFF Arm Injury on CNC Machine 2011 1/12/11 Type B MSFC Slip and Fall on Ice w/Injury 2/3/11 Type B MAF Hip Injury 2/7/11 Type B GRC Building 86 Parking Lot Injury 3/4/11 Type A SOMD Spacecraft Mission Failure 4/8/11 Type B MSFC Finger smashed by gearbox 5/24/11 Type B GRC 45 Foot Fall from Structure w/Injury 6/28/11 Type B GSFC Bldg 35 Construction Injury 7/11/11 Type B JPL Trip and Fall Injury 7/28/11 Close Call-High Visibility JPL MSL Instrumentation subject to unintended loads 8/10/11 Close Call-High Visibility JPL Support equipment cable close call 8/13/11 Close Call-High Visibility JPL Drill Bit Assembly Installation close call 8/29/11 Type B GSFC Electrical Shock Injury at Building 2 Demoliton Site 9/1/11 Close Call-High Visibility KSC Personnel Exposure to Nitrogen Tetroxide (N2O4) 9/22/11 Type B JPL Fall w/Injury in Bldg. 125 Basement

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10/8/11 Type B JSC SCTF Cooling Tower Hand Injury 10/17/11 Type B MAF Aerial Lift Fall w/Injury 11/16/11 Close Call-High Visibility GSFC Beam Irradiator Close Call 12/6/11 Type D-High Visibility DFRC ER-2 Oxygen Failure 2012 4/11/12 Type B JSC Building 207 Parking Lot Car Crash w/injury 4/12/12 Type B LaRC Personnel Exposure to Chemical 4/27/12 Type B LaRC Eye Injury due to Overhead work 5/3/12 Type C-High Visibility SMD LADEE spacecraft damage 9/4/12 Type B GSFC Fall from Shuttle Bus w/Injury 10/1/12 Type B GSFC Construction Fall w/Injury Table 7.7-1: Summary of NASA’s Major Mishaps - January 2004 to June 2008

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8.0 THE NASA WORKFORCE

workforce. In addition, JPL has 4,769 WYE INTRODUCTION at this time. This section is organized as follows: NASA has the following types of civil  Current Staffing: Demographics of servant employees, with details provided the Civil Service about each type later in the document:  Trends, Forecasts and Immediate Needs in Staffing: trend information over the past 15 years; forecasts for 8.1.1 TYPES OF EMPLOYEES [TOTAL the next 15 years; current staffing OF 18,210 CIVIL SERVANTS] gaps and surpluses  Senior Executive Service (SES) – 409  Workforce Strategy and Integrated employees — discussed in Executive Management Systems Resources section  Executive Resources (senior  Senior Scientist/Technologist – 82 executives, senior scientific and employees – see Executive Resources professional, and senior level) section  Political Appointees and Other  Senior Level — 46 employees – see Discretionary Hires Executive Resources section  General Staffing Data  General Schedule – 17,613 employees (compensation, employee/labor — discussed in General Staffing section relations, training, and development)  Wage Grade (blue-collar technicians) – 14 employees – see General Staffing section 8.1 CURRENT STAFFING:  NASA Excepted Service (NEX) – 10 DEMOGRAPHICS OF NASA’S employees – see General Staffing CIVIL SERVANT WORKFORCE section At the end of FY 2012, NASA employed  Other (e.g., Expert Consultants) – 36 4 18,210 civil servants, which included 520 employees (e.g. members of the NASA students. When analyzing average Advisory Council) employment levels during FY 2012, this  The Intergovernmental Personnel amounts to 17,945 Full-Time Equivalent Act (IPA) Mobility Program provides (FTE) civil servant (CS) employees for the temporary assignment of (including 267 student FTE), supported by many times that number in contractors. As personnel between the Federal of FY 2011, about 39,733 contractor Government and state and local personnel (in Work-Year Equivalents, or governments, colleges and universities, WYE) are located ‘on-site’ or ‘near-site,’ Indian tribal governments, federally meaning that they are within 50 miles of a funded research and development NASA-managed location. Together this centers, and other eligible organizations. group form what NASA calls its blended

4 Includes all employee types (e.g., full-time, part- time, students) and employees on extended leave

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8.1.2 EMPLOYMENT TYPES • 95 percent of NASA’s workforce are permanent employees; 2 percent are  Full-Time Permanent – 17,162 term or other temporary employees employees • 3 percent of NASA’s workforce are  Part-Time Permanent – 99 employees students  Term – 342 employees (discussed in • 11 percent of NASA’s workforce are Legislative Authorities) supervisors or managers; this amounts to  Other Non-Permanent (e.g., temporary) an average ratio of 7.9 staff for each – 87 employees supervisor  Students – 520 employees • 53 percent of the scientific and engineering workforce have at least a Master’s degree (35 percent MS, 18 8.1.3 DEMOGRAPHICS percent PhD) • NASA’s workforce is 65 percent male • As shown below, NASA today is (N=11,834) and 35 percent female predominated by a very experienced (N=6,376) staff (average age is 50-54 years). The • NASA’s workforce is 74 percent white; majority of civil servant employees at 12 percent African-American; 6 percent NASA fall within the GS 12-15 range, Hispanic; 7 percent Asian or Pacific which amounts to 85 percent of the total Islander, 0.70 percent Native American civil servant workforce and 0.76 percent Multiracial

*Refers to total headcount

Figure 8.1-1: NASA Civil Servant Employees by Age (FY2012)

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Figure 8.1-2: NASA Civil Servant Employees by Age (FY2012)

Figure 8.1-3: NASA Civil Servant Employees by Occupation Type (FY2012)

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8.2 WORKFORCE TRENDS

8.2.1 HISTORICAL WORKFORCE SIZE

ARC 1,544 1,225 -20.66% DFRC 575 553 -3.83% GRC 2,164 1,659 -23.34% GSFC 3,518 3,376 -4.04% JSC 3,351 3,284 -2.00% KSC 1,999 2,102 5.15% LARC 2,572 1,907 -25.86% MSFC 2,950 2,481 -15.90% SSC 247 298 20.65% HQ 1,318 1,182 -10.32% NSSC 0 143 N/A Agency 20,238 18,210 -10.02% Table 8.2-1: NASA Headcount Comparison (FY1997 vs. FY2012)

Figure 8.2-1: Civil Servant and On- or Near-site WYE Trends (FY2007-FY2012) 5

5 This chart contains data only for on- and near-site contractor WYE performing recurring tasks, and not for offsite or prime contractors. NASA does not collect data on offsite or prime contractor WYE.

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In terms of headcount, NASA civil servant (prime, support, other). After 1971, the employees have decreased by 10 percent relative proportion of contractor work has since 1997. Decreases have varied widely grown over time, but has recently started to from center to center. The greatest losses decrease (see Figure 8.2-1). The current have occurred from the research centers; budgetary environment will continue to with the exception of Marshall Space Flight influence both civil servant and WYE totals Center, the least losses have occurred from by pushing both populations in a downward the spaceflight centers. trend. More information on workforce forecasts can be found in the Workforce NASA’s civil servant workforce has always Forecast section. been heavily leveraged with contractors

Magenta = NASA Budget; Blue = Civil Servants

Figure 8.2-2: Number of Civil Servants and NASA Budget

As shown above, the number of civil with the party of the President. The two servants (blue line) tracks fairly well with major downturns in staffing were owed to a NASA’s budget (magenta line). The 1970s post-Apollo ‘reduction in force’ and a number of civil servants does not correlate 1990s hiring freeze.

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8.2.2 HISTORICAL WORKFORCE AGE DEMOGRAPHICS

Figure 8.2-3: Average Age of NASA Workforce

The growth in civil servants in the late In addition, the number of people under 40 1980s and early 1990s enabled the agency to years of age has shrunk dramatically. The mitigate and even reverse the persistent rise data below compares today’s workforce to of the average age of the civil servant 1997, illustrating the changes in age since workforce. Unfortunately, the average age that time. of NASA’s employees has increased consistently in the past 15 years.

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*Refers to civil servant headcount Figure 8.2-4: NASA Civil Servant Employees by Age

for: a. minimizing job losses… b. equitably 8.2.3 WORKFORCE FORECASTS distribut[ing] tasks and workload between The following questions often arise in the Centers…. And c. [providing] overall planning the NASA workforce: projections of future civil service...  Does each NASA organization have workforce levels.” the right number and type of workforce to perform the organization’s work in the future? 8.2.4 SIZE OF CIVIL SERVICE  If not, what is the extent of the WORKFORCE FY 2013-19 problem and what can and should we do about it? As with most organizations, it is often difficult to accurately develop long-term NASA’s workforce forecasts leverage a workforce forecasts. However, the Agency variety of tools and variables, including has developed a workforce strategy attrition projections, future budget concerning the size of the civil service projections, and FTE ceilings. Having a workforce that balances reductions in clear methodology and reporting on Agency budget and workforce demand with workforce forecasts helps to proactively the need to maintain capabilities at each plan for changes in the mission and address field center. The result is modest reductions OMB and Congress’ language in HR 2764 in the size of the civil service workforce that Appropriations: started in FY 2012 and will continue through FY 2015, stabilizing thereafter (see “NASA is encouraged to engage in long- Table 8.2-2 below). term agency-wide workforce planning.” The Administrator shall prepare a strategy

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Total Ceiling* Center FY2007 FY2008 FY2009 FY2010 FY2011 FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 FY2018 FY2019 ARC 1,193 1,221 1,229 1,213 1,243 1,230 1,218 1,200 1,182 1,182 1,182 1,182 1,182 DFRC 488 535 545 541 559 555 551.3 551.3 551.3 551.25 551.3 551.3 551 GRC 1,562 1,619 1,619 1,644 1,662 1,652 1,628 1,595 1,571 1,571 1,571 1,571 1,571 GSFC 3,223 3,151 3,143 3,265 3,413 3,392 3,366 3,331 3,292 3,292 3,292 3,292 3,292 JSC 3,262 3,266 3,265 3,279 3,314 3,219 3,151 3,098 3,045 3,045 3,045 3,045 3,045 KSC 2,107 2,131 2,106 2,124 2,161 2,098 2,050 2,025 2,001 2,001 2,001 2,001 2,001 LaRC 1,839 1,901 1,891 1,908 1,946 1,928 1,911 1,881 1,853 1,853 1,853 1,853 1,853 MSFC 2,600 2,571 2,569 2,545 2,549 2,490 2,446 2,407 2,372 2,372 2,372 2,372 2,372 SSC 284 275 265 268 298 307 318 313 313 313 313 313 313 HQ 1,397 1,261 1,224 1,229 1,238 1,213 1,190 1,155 1,133 1,133 1,133 1,133 1,133 NSSC 121 132 146 146 146 145 145 142 139 139 139 139 139 Total 18,076 18,063 18,002 18,162 18,529 18,229 17,974 17,698 17,452 17,452 17,452 17,452 17,452 *Includes Reimbursable/Working Capital Fund Table 8.2-2: Center FTE Ceilings FY2007-FY2019

Classification Code (NCC) subgroups, 8.2.5 PPBE DATA CALL TO ASSESS trends that surfaced included: SKILL GAPS AND SURPLUSES  Continuing a multi-year trend, AT CENTERS headcount levels are expected to During August-September 2012, the Office diminish for Technicians (-59) of Human Capital Management (OHCM) and Quality Assurance (-12), collected data from centers about the skills Administrative (-59), and distribution and the skills gaps and surpluses Clerical (-47) skills. that they anticipate by the end of FY  Some headcount decline is 2014/beginning of FY 2015. The data call planned for Management (-42). methodology included both quantitative and  In the science skill areas, qualitative data collection, as well as headcount growth is expected in interviews with each center. Uses of the data Space Sciences (+14) and Earth include: 1) Assessing the impact of PPBE Sciences (+7), while Life & 2014 budget formulation decisions on skills Social Sciences (-20) is expected distribution and skills gaps and surpluses to shrink. Agency-wide, 2) Informing the human  Some headcount growth is capital programs and activity at both the expected in Contract & center and Agency levels, and 3) Meeting Procurement (+12) despite high reporting requirements of the Office of attrition projections. Personnel Management. A breakdown of how the top skills centers Based on analysis of the center’s feedback will shrink or maintain/grow given the of key skills amongst various NASA planned ceilings for FY2015, can be seen in the tables below:

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TOP SKILLS CENTERS WILL SHRINK

Table 8.2-3: Top Skills Centers Will Shrink

TOP SKILLS CENTERS WILL MAINTAIN/GROW

Table 8.2-4: Top Skill Centers Will Maintain/Grow

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 Reductions in FTE are shared among all 8.3 WORKFORCE STRATEGY AND centers based upon reduced INTEGRATED MANAGEMENT replacement hiring, and also shared SYSTEMS across almost all missions. 8.3.1 WORKFORCE STRATEGY Over the last decade, NASA’s Workforce Another component of the NASA workforce Strategy has been based on the principle that strategy is full utilization of the civil service strong in-house capabilities are critical to workforce. Because NASA’s budget is in full NASA’s long-term future, and, in order for cost, with labor funding embedded within the Agency to maintain these capabilities, mission accounts, it is important that missions the civil service workforce must be plan for, and fund, all the civil service relatively stable at each field center location. employees at each center. There is no Consequently, the contractor workforce has separate labor fund to cover their salaries and absorbed most of the fluctuations in expenses. This strategy drives workforce workforce demand. In the same time period, planning activities in the PPBE6 process the Agency has followed the principle that because it generates a requirement for diversification of mission portfolios at each Programs to assign centers a sufficient amount field center provides stability to the centers of work to fully utilize the number of FTE and enables the Agency to leverage approved at each location. Furthermore, FTE workforce capabilities across mission lines. at the Agency are distributed purposefully For example, centers that historically across missions, reflecting in part their focused on aeronautics mission work have demand for workforce as well as expected been assigned work by human exploration workforce supply and capabilities. This and space technology programs. Similarly, distribution impacts strategic acquisition when the shuttle program was completed, decisions made by each mission since it centers primarily responsible for that influences the balance of civil service and program added research and development contractor effort in each program. work in the HEO, Space Technology, and Science Mission areas. Another key workforce strategy is a commitment to plan the workforce beyond In the last few years, NASA’s budget has this year’s tasks. The five-year planning been under pressure, impacting funding for horizon in the Agency PPBE process ensures and timing of major programs. As a the Agency is planning workforce resources consequence, Agency leadership has for multi-year programs that need lead time to adjusted the workforce strategy to reflect determine and implement program plans and these new realities: acquisitions. In planning across a five-year

6 Beginning in FY07, NASA formally integrated  Civil service workforce has been, and workforce planning into its annual budget will continue to, reduce slowly in size, formulation process known as PPBE (Planning, from over 18,300 FTE in FY 2011 to Programming, Budgeting & Execution). The purpose 17,400 FTE in FY 2015, but is planned of the integration was to assess how a collective set to remain level thereafter. of potential program / budget decisions could impact institutional workforce resources, so that final decisions were sound from all perspectives.

• 317 • T h e N A S A Presidential Transition Binder horizon, the Agency also gains enough lead  Providing Agency leadership in early time to reshape the skill mix of its workforce, career recruiting and hiring. This and requires its programs to improve their includes an Agency-wide university understanding of available and needed skills recruiting approach that encourages when making work assignments. hiring from a diverse mix of geographies and institutions. A final element of the Agency’s workforce strategy is preservation of long-term national  Purposefully focusing on development aerospace capability through maintenance of of leaders and supervisors as a way to robust workforce pipelines and student ensure NASA’s priorities are programs. Despite modest reductions in the demonstrated by all managers at the civil service workforce size, the Agency Agency. NASA leadership believes believes it is critical to hire talent on a that preserving and strengthening the continual basis. Refreshing the workforce management cadre is critical to leading through student programs and early career and reinforcing NASA’s principles, hiring will ensure that NASA’s capabilities achieving results, and making decisions will be transitioned from one generation to the in times when there are many next, as well as bring in fresh ideas to spur competing priorities and constraints. innovation. 8.4 EXECUTIVE Resources The Agency has developed a human capital There are four types of executive positions strategy as a complement to the workforce at NASA: strategy, focused on developing capabilities  Political Appointees with Senate and attributes within the workforce to achieve Confirmation (PAS), any mission with which the Agency is  Senior Executive Service (SES), charged. Key elements of the human capital  Senior Scientific and Professional strategy are as follows: (ST), and  Senior Level (SL).  Creating an environment that fosters innovation. Because NASA’s mission 8.4.1 POLITICAL APPOINTEES WITH success relies upon the ingenuity of its SENATE CONFIRMATION scientists, engineers, and business There are four PAS positions: the professionals, this element of the human Administrator, Deputy Administrator, Chief capital strategy is supported by human Financial Officer, and Inspector General. capital and communication programs that encourage workforce to innovate in many 8.4.2 SENIOR EXECUTIVE SERVICE different ways, including within their (SES) existing assignments, as well as in devising new applications for products The SES is a separate government-wide and services, and spearheading brand- personnel system for key managerial, new innovations. Specific human capital supervisory and policy positions classified programs supporting innovation include above GS-15. The SES is structured by two recognizing and rewarding innovation, types of positions and four types of and engaging and connecting the appointments: workforce. Position Types:

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 Career Reserved — to ensure  Limited emergency – nonrenewable 18- impartiality, these positions must be month term to meet urgent needs, filled by career (non-political) approved by the Administrator under appointment. limited delegated authority, or by OPM.  General – these high level positions Currently, NASA does not have any (e.g., Associate Administrators, executives in this category. Center Directors) may be filled by any SES appointment type. 8.4.2.1 SES PAY Appointment Types: The pay range for SES in the government is  Career – individuals, most often full- tied to the Executive Schedule (EX) pay time permanent civil servants, are rates, which generally are adjusted annually selected through a competitive process. in January. The current range is $119,554 to  Non-career — the Office of Personnel $165,300 (Executive Level III). However, Management (OPM), with White House NASA executives may be paid up to clearance, approves individual cases. Executive Level II, currently $179,700, NASA today has five positions filled by because NASA has earned Full Certification non-career appointments. of its SES appraisal system under the o Positions filled by non-career government-wide pay-for-performance SES appointment include the system. NASA has further divided the pay Administrator’s Chief of Staff, range between EX-III and EX-II into tiers, the Deputy Chief of Staff, the based on the level and impact of the Associate Administrator for position, as well as the executive’s Legislative and contributions. NASA completed a Tier Intergovernmental Affairs, the Review of all SES positions in 2012 to Associate Administrator for ensure that all SES positions were placed in Communications, and the Deputy accurate pay ranges. Associate Administrator for Public Outreach. NASA has authority under the NASA  Limited Term – time-limited SES Flexibility Act of 2004 to pay up to 10 appointments for short-term, temporary executives in critical positions salaries up to needs between one and four years. the Vice President’s rate of pay, currently These non-competitive appointments are $230,700. A total of six NASA executives approved by the Administrator. NASA currently are paid at the top rate. has four in this category today.

NASA SES DISTRIBUTION: Employees Tier Range Headquarters Centers Critical Position Pay $179,701 - $230,700 4 2 Tier 1 $175,001 - $179,700 17 9 Tier 2 $170,401 – $175,000 16 27 Tier 3 $165,301 - $170,400 8 18 Non-Tier $119,554 - $165,300 82 226 Table 8.4-1: NASA SES Distributions

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SES appointees’ pay is based on their 8.4.3 SENIOR SCIENTIFIC AND annually appraised performance. The SES PROFESSIONAL (ST) AND performance appraisal period is from SENIOR LEVEL (SL) POSITIONS October 1 to September 30. Bonuses of 5 to While the SES cover executive management 20 percent of salary may be awarded to positions, ST and SL positions are used to Career and Limited Term SES appointees in fill high level technical positions, and to December. NASA also nominates up to 9 recognize that the requirements and skills percent of the Career SES/ST/SL appointees for these positions merit pay above the GS- for government-wide Presidential Rank 15 level. Beginning in 2007, NASA Awards of 20 percent and 35 percent of established a new policy that required ST salary each year. and SL employees be appointed for up to five years rather than on a permanent basis. LIMITATIONS  OPM (with Office of Management and ST employees perform world-class research Budget concurrence) allocates the total and development in physical, biological, number of SES positions biennially. medical, engineering sciences, or closely  OPM must approve the managerial related fields. ST positions may be filled qualification of Career SES appointees. without competition. There is a requirement  Career positions filled by new SES that supervisory activities must account for appointments must be advertised at least less than 25 percent of their time. SL government wide. employees provide technical expertise and  Career SES employees may not be advice of a world-class level. SL positions reassigned involuntarily for the first 120 are filled through delegated examining, days after a new Administrator assumes merit staffing, or accretion of duties. office. ST/SL Pay. ST/SL pay is similar to SES CEILING pay. Salaries may be paid up to $158,500. OPM has allocated 476 SES positions to NASA. As of September 21, 2012, 409 of Ceiling: NASA currently has an OPM these positions were filled and 67 were allocation of 152 ST/SL positions, with 128 vacant. filled and another 24 approved for staffing. An Agency Executive Resources Board STATUS reviews requests for positions and approves In 2008, NASA reviewed all SES positions selections. to assess their criticality and whether they continue to merit SES standing. NASA 8.5 POLITICAL APPOINTEES AND manages SES slots at the Agency level, OTHER DISCRETIONARY HIRING providing maximum flexibility to the Agency. Since the 2008 review, NASA has Overall NASA currently has 17 political continuously reduced the number of SES appointees. As stated above, there are four positions. PAS positions: the Administrator, Deputy Administrator, Chief Financial Officer, and Inspector General. The other 13 political appointees are five non-career SES and eight ‘Schedule C’ appointees.

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NASA has authority for nine non-career  Paul K. Martin- Inspector SES positions, but only five are presently General filled. The Schedule C appointees are often Special Assistants, White House Liaison, or Non-Career SES (five filled of nine Legislative Affairs Specialists. They are currently authorized by the White policy-making positions below the executive House) level, and must report to another political  David Radzanowski- Chief of appointee. Staff  Michael French- Deputy Chief of Other Discretionary Hires: NASA Excepted Staff Personnel Authority (NEX): The Space Act  L. Seth Statler-Associate authorizes up to 425 positions to be filled at Administrator for Legislative & the discretion of the NASA Administrator Intergovernmental Affairs without applying normal civil service rules.  David Weaver- Associate  Currently, 11 NEX positions are Administrator for filled. Communications  Pay can be set up to the rate for  Alan Ladwig- Deputy Associate Executive Schedule III, $165,300. Administrator for Public  Appointments usually are limited to Outreach three years or less, but may be extended indefinitely at the Schedule Cs (eight on board – no discretion of the Administrator. specific allocation)  Authority may be used for scientific,  Brett Silcox – Executive Officer, engineering, or administrative Office of the Administrator, GS- positions. NEX appointments 14 – 04/12/10 cannot be used for any position  James Terry Edmonds – Senior having duties that would qualify it Advisor, Office of the for SES. Administrator, GS-15 – 08/14/11  The NASA Administrator has  William Donovan – Special delegated to the Associate Assistant, Office of the General Administrator for Institutions and Counsel, GS-11 – 10/09/11 Management the authority to  Sarah Ramsey – Special establish and approve NEX Assistant, Office of the appointments. Administrator, GS-14 – 04/05/10  Lauren Worley – Press Secretary, LIST OF CURRENT POLITICAL APPOINTEES Office of Communications, GS- AT NASA (AS OF SEPTEMBER 21, 2012): 12 – 09/28/11  Shannon Valley – Legislative PAS (four authorized in law) Affairs Specialist, GS-11 –  Charles F. Bolden, Jr.- 05/24/09 Administrator  Rashawn Mitchell – Legislative  Lori B. Garver- Deputy Affairs Specialist, GS-9 – Administrator 02/13/12  Elizabeth M. Robinson- Chief  Elise Nelson – Special Assistant, Financial Officer Office of the Administrator, GS- 9 – 07/30/12

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8.6 GENERAL WORKFORCE scale (General Schedule (GS) grades 1- INFORMATION 15), which ties pay to a position’s level of duties and responsibilities. 8.6.1 STAFFING AND POSITION o This schedule is augmented by CLASSIFICATION “locality pay,” which varies by Most NASA civil servants are career geographic area and is based on employees subject to competitive selection annual salary surveys of non- and advancement in accordance with merit Federal jobs. Locality rates for system principles established in law. NASA centers range from 14.16 to 35.15 percent, paid on top of The Agency developed the NASA base pay. Supplemental Classification System (NSCS) o NASA’s entry-level engineers and a unique Aerospace Technology (AST) (those at GS 5-12), Medical qualification standard in the early 1960’s. Officers, and certain Information The purpose was to recognize the distinctive Technology workers are covered aspects of NASA’s work – particularly by government-wide special rate aerospace work – more accurately than the schedules that authorize higher more broadly defined categories within the pay for shortage category government-wide system. positions.

NASA fills its positions through a variety of  Less than one percent of NASA’s civil sources that include: selection of current and servant workforce is in highly skilled former federal employees, external hiring of blue-collar (wage system) positions paid applicants with no federal employment on local wage schedules. status, student hires, and recent university graduates.  The NASA Flexibility Act of 2004 gives the Agency the flexibility to set the pay Many college graduates enter into NASA of a GS employee at any step within the employment through our student pipeline. pay range for the grade of the position. The new NASA Pathways Intern o NASA utilizes the full range of Employment Program (which replaces our benefits available for federal former Cooperative Education Program (Co- employees to include flexible Op)), allows students to gain work work schedules and experience while attending school. NASA telecommuting utilizing the currently has 520 such students, with 67.5 Work from Anywhere program. percent in Engineering and Science Since February of 2012, NASA occupations, and 32.5 percent in business has consistently had about 18 and clerical occupations. Some graduates percent to 19 percent of its that complete the student employment workforce teleworking. program are offered NASA employment, and converted to full time civil servant positions. 8.6.3 EMPLOYEE RELATIONS/LABOR RELATIONS 8.6.2 COMPENSATION Employee performance is evaluated by a  90 percent of the civil servant workforce five-level system focusing on strategic is paid under the government-wide pay alignment, results, credible measures, and

• 322 • T h e N A S A Presidential Transition Binder distinctions in performance. The annual Unions at eight NASA centers represent evaluation cycle ends September 30 for about 50 percent of the workforce. executives and April 30 for other employees, with a mid-year review.

UNIONS AT NASA CENTERS Center Local Chapter National Union ARC Ames Federal Employees Union (AFEU) IFPTE GRC Lewis Engineers and Scientists Association (LESA) IFPTE GSFC American Federation of Government Employees (AFGE) AFGE Goddard Engineers, Scientists and Technicians Association (GESTA) IFPTE Washington Area Metal Trades Council (WAMTC) AFL-CIO HQ NASA Headquarters Professional Association (NHPA) IFPTE JSC American Federation of Government Employees (AFGE) AFGE KSC American Federation of Government Employees (AFGE) AFGE LaRC American Federation of Government Employees (AFGE) AFGE MSFC American Federation of Government Employees (AFGE) AFGE Marshall Engineers and Scientists Association (MESA) IFPTE

Table 8.6-1: Unions at NASA Centers

The Agency must inform certain unions, of formal training that are such as AFGE and IFPTE, of any proposed divided between four change to conditions of employment and modules at various provide 30 days (generally) for review and locations throughout the comment. Agency. o The Mid-Level Leader Program 8.6.4 TRAINING AND LEADER (MLLP) is targeted to grades GS- DEVELOPMENT 13/14.  NASA has a robust technical training  This is a 16-month and leadership development program. program composed of Budget at every center is set aside to four week-long core assure adequate training can take place learning sessions at each year. various locations  Leadership training programs: throughout the Agency, a o NASA Foundations of Influence, rotation, and other Responsibility, Success and individual development Teamwork (NASA FIRST) program activities. program is targeted to grades o The Agency’s SES Candidate GS-11/12. Development Program is lauded  This one-year part time as one of the most successful in program includes on- government. going developmental  The duration of the assignments and 22 days course is between 12-24

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months and is generally offered every two years, as budget permits.  Professional development opportunities include coaching and mentoring.  Each NASA center supports local organizational development and change management.  Technical training (esp. engineering and project management) is developed, supported and provided by the Office of the Chief Engineer’s Agency Program Project Engineering Leadership (APPEL) program.

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9.0 NASA INTERACTION WITH EXECUTIVE OFFICE OF THE PRESIDENT

INTRODUCTION preparation and administration of the federal budget, and reviewing Agency reports, NASA engages in a wide range of interagency testimony, and proposed legislation to ensure cooperative and coordination activities, consistency with the President’s budget and including: Administration policies. OMB also oversees and coordinates federal procurement, financial  Administrative, management, or policy management, information, and regulatory coordination, for example with the policies and activities. NASA’s Office of the National Security Council, the Office of Chief Financial Officer is responsible for the Science and Technology Policy, the Agency’s interactions with OMB on Office of Management and Budget, and appropriations actions, budget data, financial the Department of State; reporting, budget and performance planning, programming and justification of the data.  Programmatic partnerships with individual agencies; and The precise nature of OMB’s interaction with  Multi-agency program or policy NASA depends on the operating mode of the activities, such as those under the aegis President and the Director of the Office of of the National Science and and Budget. Council. 9.2 OFFICE OF SCIENCE AND NASA’s Office of International and TECHNOLOGY POLICY Interagency Relations (OIIR) is responsible for overall interagency coordination and for The Office of Science and Technology Policy principal liaison with the Department of (OSTP) is part of the Executive Office of the Defense and the intelligence community. President. OSTP was established in 1976 to Several NASA offices interact with the Office coordinate the nation’s science and technology of Management and Budget depending on the investment and provide policy advice to the subject matter, including: the Administrator’s President. The Director of OSTP also serves Office, the Office of the Chief Financial as the President’s Science Advisor. OSTP Officer, and the Office of Legislative and provides a key mechanism for NASA to Intergovernmental Affairs. coordinate with the Executive Office of the President, primarily through the National This section discusses interaction between Security Council and OMB. NASA and NASA and three White House offices – the OSTP, with other EOP offices, regularly Office of Management and Budget (OMB), cooperate on matters of both policy and the Office of Science and Technology Policy implementation. (OSTP), and the National Security Council (NSC). OSTP also supports the National Science and Technology Council (NSTC), a Cabinet-level council established in 1993 as the President’s 9.1 OFFICE OF MANAGEMENT AND principal means for coordinating science, BUDGET space, and technology policy across federal The President’s Office of Management and agencies. The President chairs the council. Budget (OMB) is responsible for overseeing NSTC membership is comprised of the Vice

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President, Cabinet Secretaries and Agency members at the Deputy Secretary or Under Heads with significant science and technology Secretary level, including NASA. Similarly, a responsibilities (including the NASA Cabinet-level Committee on Oceans Policy Administrator), and various White House exists to oversee the work of an Interagency officials. Committee on Ocean Science and Resource Management Integration (ICOSRMI). The A primary objective of the NSTC is the interagency programs under these committees establishment of clear national goals for are described in Section 12.6. federal science and technology investments in a broad array of areas spanning virtually all of Along with the National Security Council the mission areas of the Executive Branch. (NSC), addressed below, OIIR has regular The Council prepares research and interactions with OSTP on space policy development strategies that are coordinated matters. across federal agencies to form investment packages aimed at accomplishing multiple 9.3 NATIONAL SECURITY COUNCIL national goals. The work of the NSTC is organized under five primary committees: Established by the National Security Act of 1947, the National Security Council (NSC) is  Environment, Natural Resources and the President’s principal forum for considering Sustainability, national security and foreign policy matters with his senior national security advisors and  Homeland and National Security , cabinet officials. Since its inception under  Science, President Truman, the function of the Council has been to advise and assist the President on  Science, Technology, Engineering, and national security and foreign policies. The Math Education, and NSC also serves as the President’s principal arm for coordinating these policies among  Technology various government agencies, including NASA. Each of these committees oversees subcommittees and working groups focused The NSC is chaired by the President. Its on different aspects of science and technology, regular attendees are the Vice President, the and works to coordinate across the federal Secretary of State, the Secretary of the government. NASA has participated in many Treasury, the Secretary of Defense, and the of these committees and their various projects Assistant to the President for National and reports. The Council also convenes ad hoc Security Affairs. The Chairman of the Joint Interagency Working Groups to address Chiefs of Staff is the statutory military advisor specific policy issues. to the Council, and the Director of National Intelligence is the intelligence advisor. The Parallel and related to the NSTC, the Chief of Staff to the President, Counsel to the Executive Office of the President has also President, and the Assistant to the President created the Committee on Climate Change for Economic Policy are invited to attend any Science and Technology Integration whose NSC meeting. The Attorney General and the Executive Director is the OSTP Director. Director of the Office of Management and This Committee oversees the Interagency Budget are invited to attend meetings Working Group on Climate Change Science pertaining to their responsibilities. The heads and Technology (IWGCCST) comprising

• 326 • The NASA Presidential Transition Binder of other Executive Branch departments and NASA international engagement is closely agencies, as well as other senior officials, are coordinated with the NSC and the interagency invited to attend meetings of the NSC when community. OIIR is the principal liaison with appropriate. the NSC, and coordinates regularly on matters concerning space policy, significant space- The NSC staff leads regular interagency related events such as spacecraft reentries, and meetings to discuss international space other matters of national importance. cooperation and resolve issues in dispute.

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10.0 CONGRESSIONAL COMMITTEE LEADERSHIP AS OF OCTOBER 10, 2012, AND GENERAL ACCOUNTABILITY OFFICE INTERACTION

INTRODUCTION lists the Congressional Committees with primary responsibility for oversight of NASA. NASA is subject to oversight by several The list is followed by a description of the Senate and House Committees. These Committees, and their respective Committees are supported by the Government Subcommittees, with primary oversight Accountability Office (GAO). This section responsibility for NASA.

10.1 NASA CONGRESSIONAL OVERSIGHT COMMITTEES

NASA Oversight Committees and Leadership

House of Representatives United States Senate Authorization Committee on Science, Space and Technology Committee on Commerce, Science, and Committees U.S. House of Representatives Transportation United States Senate Chairman: Ralph Hall (R-TX) Ranking Member: Eddie Bernice Johnson (D-TX) Chairman: John D. Rockefeller IV (D-WV) Ranking Member: Kay Bailey Hutchison (R-TX)* Subcommittee on Space and Aeronautics Subcommittee on Science and Space

Chairman: Steven Palazzo (R-MS) Chairman: Bill Nelson (D-FL) Ranking Member: Jerry Costello (D-IL)* Ranking Member: John Boozman (R-AR)

Appropriations Committee on Appropriations Committee on Appropriations Committees U.S. House of Representatives United States Senate

Chairman: Harold Rogers (R-KY) Chairman: Daniel K. Inouye (D-HI) Ranking Member: Norm Dicks (D-WA)* Ranking Member: Thad Cochran (R-MS)

Subcommittee on Commerce, Justice, Science and Subcommittee on Commerce, Justice, Science Related Agencies and Related Agencies

Chairman: Frank Wolf (R-VA) Chairwoman: Barbara A. Mikulski (D-MD) Ranking Member: Chaka Fattah (D-PA) Ranking Member: Kay Bailey Hutchison (R-TX)*

* Member retiring at end of 112th Congress

Table 10.1-1: NASA Oversight Committees and Leadership

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10.2 COMMITTEE DESCRIPTIONS Subcommittee on Commerce, Justice, Science, and Related Agencies – The Below is a brief description of the Subcommittee’s jurisdiction covers NASA, Appropriations and Authorization Department of Commerce, Department of Committees with primary oversight Justice, National Science Foundation, and responsibility for NASA, and their several small related agencies. The respective Subcommittees, Subcommittee reviews the President’s budget request for each agency, hears 10.2.1 APPROPRIATIONS COMMITTEES agency officials’ testimony, and drafts agency fiscal year spending plans. The The Appropriations Committees listed Subcommittee also drafts supplemental bills below perform a number of key functions for emergency expenses during a fiscal year. while taking into account the following factors and guidelines: Senate Committee on Appropriations – The Senate’s largest Committee,  An Appropriations Committee Appropriations, is responsible for writing provides budget authority to the annual bills that allocate Treasury funds agencies (how much and for what). for operations and activities of federal agencies. Within this enormous scope,  An Appropriations Committee responsibility for allocating funds to specific allows an agency to incur agencies is divided among the Committee’s obligations. 12 Subcommittees.  An appropriation originates in the House of Representatives. Subcommittee on Commerce, Justice, Science, and Related Agencies – The  A point of order can be raised on an Subcommittee’s jurisdiction covers NASA, appropriations bill containing Department of Commerce (including funding for a program that is not NOAA), Department of Justice, National authorized. Science Foundation, and several small, related agencies, e.g. the Marine Mammal  Earmarks are usually not Commission, the Legal Services authorized. Corporation, and the Commission. The Subcommittee reviews the House Committee on Appropriations – President’s budget request for each agency, Like its Senate counterpart, the House hears agency officials’ testimony, and drafts Appropriations Committee has broad agency fiscal year spending plans. The responsibility for appropriating funds for Subcommittee also drafts supplemental bills government agencies. House Rule defines for emergency expenses during a fiscal year. the Committee’s jurisdiction as “appropriation of the revenue for the support 10.2.2 AUTHORIZATION COMMITTEES of the Government” (and related powers to rescind and transfer funds). The The Authorization Committees listed below Committee’s 12 Subcommittees are aligned perform a number of key functions, taking like the Senate’s, with responsibility for into account the following: specific agencies.

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 Authorization bills establish, Sciences which, like both its House continue or modify federal counterpart (see below) and NASA itself, programs and are intended to was established in 1958 in response to precede the Appropriations process. Sputnik. However, Congress frequently enacts appropriations for a Subcommittee on Science and Space – program/agency even though there Under the leadership of Chairman Nelson, is no specific authorization for it by the Subcommittee has focused heavily on waiving rules. NASA-related issues including hearings on commercial space flight, the International  Because the constitution provides Space Station, and Mars exploration in that “No money shall be drawn 2012. In addition, the Subcommittee held from the treasury, but in hearings on the implementation of the consequence of appropriations America COMPETES Act, marketplace made by law,” an appropriation is fairness for small business, and the science required to fund the agency standards of forensics. The Subcommittee notwithstanding the existence of holds a multi-agency hearing on federal authorizing legislation. research and development budgets each Authorization Committees execute spring. Congressional oversight of agency programs and plans. House Committee on Science, Space and  Bills often include limits on the Technology – The Committee has amount that can be appropriated for jurisdiction over most federal non-defense, the authorized program/agency as scientific R&D, including programs at well as specific direction NASA, Department of Energy, concerning program content that is Environmental Protection Agency, National binding on the agency. Science Foundation, Federal Aviation Administration, National Oceanic and Senate Committee on Commerce, Science, Atmospheric Administration including the and Transportation – The Committee is National Weather Service, Federal composed of seven Subcommittees, which Emergency Management Administration, together oversee the large range of issues U.S. Geological Survey, the National Space under its jurisdiction. These issues range Council, and the White House Office of from communications, highways, aviation, Science and Technology Policy. The rail, shipping, transportation security, Committee’s strong interest in how Federal merchant marine, the Coast Guard, oceans, R&D sustains U.S. international fisheries, climate change, disasters, science, competitiveness and economic health dates space, interstate commerce, tourism, back to its creation in 1958 as a response to consumer issues, , the 1957 Sputnik launch. Initially centered technology, competitiveness, product safety, on space exploration, its jurisdiction now and insurance. The Committee oversees includes civil aviation, energy (including NASA, NSF, NOAA, and NIST within the commercial applications), the environment, Department of Commerce, and the USCG. scientific research, science scholarships, The Committee is the product of a 1977 marine research, and standardization of merger of the Commerce Committee and the weights and measures through the National Committee on Aeronautical and Space Institute of Standards and Technology.

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The Committee has five Subcommittees, one use of ; international space of which is of primary relevance to NASA. cooperation; the National Space Council; space applications, space communications Subcommittee on Space and Aeronautics and related matters; earth remote sensing – The Subcommittee on Space and policy; civil aviation research, development, Aeronautics has legislative jurisdiction and and demonstration; research, development, general oversight and investigative authority and demonstration programs of the Federal on all matters relating to astronautical and Aviation Administration; and space law. In aeronautical research and development, 2012, under Chairman Palazzo, the including: national space policy (which Subcommittee has held hearings on includes access to space); sub-orbital access commercial suboribital reusable launch and applications; NASA and its contractor vehicles, NASA-derived technologies and government-operated labs; space (“spinoffs”), launch indemnification, the commercialization, including the Aeronautics Mission Directorate, Planetary commercial space activities relating to the Science, and the International Space Station. Department of Transportation and the Department of Commerce; exploration and

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11.0 NASA INTERACTION WITH FEDERAL DEPARTMENTS AND AGENCIES

INTRODUCTION levels on sensitive issues. The NASA Administrator has most often dealt with the NASA routinely interacts with numerous Deputy Secretary of State and the federal departments and agencies. The NASA Undersecretary for Political Affairs, but has Office of International and Interagency also had periodic contacts with the Secretary Relations (OIIR) at NASA Headquarters of State and U.S. Ambassadors in countries in coordinates Agency-level policy interactions which NASA has activities. with U.S. executive branch departments and agencies, and is the principal Agency liaison Additionally, NASA provides support to the with the Department of State, the Department State Department on space matters addressed of Defense, and other federal agencies. within the United Nations structure, However, it is important to note that particularly in the United Nations Committee interactions between NASA and other federal on the Peaceful Uses of Outer Space departments and agencies occur at multiple (UNCOPUOS). NASA leads the U.S levels at the Agency, across all centers and government delegation to the UNCOPUOS Headquarters. In order to provide a strategic Scientific and Technical Subcommittee. look at interagency partnerships across the Agency, OIIR leads two recurring forums: the As the regulatory agency charged with Interagency Partnership Working Group; and administering the International Traffic in the Interagency Partnership Liaison team. Arms Regulations (ITAR), the State OIIR also reviews and provides regular Department receives all export license reporting on all active and pending applications from NASA and Agency agreements between NASA and other U.S. contractors for exports and services that are departments and agencies. This section subject to the ITAR, including most space- discusses NASA interaction with the related items and virtually all spacecraft. OIIR Department of State, the Department of works with the State Department’s Directorate Defense, the Department of Commerce, for Defense Trade Controls (DDTC) on a regulatory efforts with other agencies, and daily basis to resolve ITAR-related issues provides examples of programmatic impacting NASA programs. Efforts to obtain cooperation with individual federal agencies. ITAR relief for NASA and its contractors have met with limited success; however, 11.1 DEPARTMENT OF STATE discussions on a potential ITAR exemption for the benefit of NASA and its contractors OIIR consults the State Department on issues continue. with foreign policy ramifications. These include questions about countries of policy 11.2 DEPARTMENT OF DEFENSE concern, export control and non-proliferation issues, and establishing cooperation with new In coordination with relevant NASA Mission international partners. In accordance with law Directorates and centers, OIIR consults with and regulation, NASA obtains State the Department of Defense on a wide variety Department concurrence before concluding of program and policy issues. OIIR provides significant international agreements. In staff support to senior NASA management for addition to routine staff-level contacts, NASA meetings with DOD officials. OIIR also and State Department officials interact at top manages the process by which military

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officers, including astronauts, are assigned to 11.4 REGULATORY EFFORTS WITH NASA on a reimbursable basis. OTHER AGENCIES NASA/Department of Defense activities include jointly funded and jointly managed In addition to the coordination in which OIIR programs, reimbursable activities, and engages with the Departments of Commerce, information exchanges. OIIR additionally Defense, and State in the administration of the provides NASA’s primary policy point of NASA Export Control Program, OIIR works contact with the Intelligence Community. closely with other U.S. government regulatory Through its Liaison Officer stationed in agencies in order to facilitate necessary Colorado Springs, OIIR also maintains close licenses, permits, and approvals required to coordination with the Commander of the U.S. successfully implement NASA’s missions. and the These include cooperation with the Commander, Northern Command. Department of Homeland Security (DHS) for customs clearance, NASA duty-free import As part of the NASA Export Control Program, certifications, consultations with the NASA is among the agencies that reviews Department of Justice (DOJ) on export control aerospace-related exports and the public enforcement matters, and obtaining necessary release of technical documentation through the permits from the U.S. Department of Defense Department’s Office of Security Agriculture (USDA), the Food and Drug Review. OIIR carries out this function for Administration (FDA), and others for imports NASA, and also consults regularly with the of foreign-provided food for transport to Department’s Defense Technology Security International Partner astronauts aboard the Administration (DTSA) on export license International Space Station. OIIR also applications affecting NASA programs. represents NASA at the Treasury Department’s Committee on Foreign 11.3 DEPARTMENT OF COMMERCE Investment in the United States (CFIUS), a regulatory body that implements the The Commerce Department’s Bureau of requirements of the Exon-Florio Act for U.S. Industry and Security (BIS) administers the government review of certain foreign Export Administration Regulations (EAR), acquisitions with national security which control exports of all-dual use implications. OIIR has additionally supported and technology, including the the President’s Export Control Reform International Space Station (ISS). Initiative, and participated in interagency for a Accordingly, OIIR regularly consults with reviewing U.S. Munitions List items for BIS on dual-use export control matters and possible transfer to the Commerce Control submits export license applications for List. transfers of items subject to the EAR. 11.5 PROGRAMMATIC COOPERATION OIIR also coordinates with the Commerce WITH INDIVIDUAL AGENCIES Department’s National Oceanic and Atmospheric Administration (NOAA) on NASA cooperates extensively with other policy matters regarding remote sensing federal agencies on a wide range of joint spacecraft and other matters. NASA program efforts. For example, NASA has a additionally maintains extensive cooperation longstanding weather satellite partnership with with NOAA for Earth science-related NOAA, and works closely with the missions. Department of the Interior’s U.S. Geological

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Survey (USGS) on land-remote sensing emerging commercial human spaceflight programs, such as Landsat. NASA meets sector. regularly with the National Science Foundation (NSF) to coordinate cooperative NASA’s interagency cooperative efforts occur space science research activities, and has at all levels within the Agency. NASA several agreements with the National Institutes researchers collaborate directly with of Health (NIH) for joint projects to improve colleagues from other agencies in conferences, human health on Earth and in space. joint projects, and personnel exchanges. Program officials meet to coordinate NASA maintains a partnership with the complementary program efforts, and NASA Federal Aviation Administration (FAA) in belongs to numerous joint planning both policy and program areas through committees, ranging from working groups to participation on FAA advisory committees, senior-level management committees. Formal executive committees, aviation rulemaking documentation for such interagency committees, and safety teams, and by working cooperation includes formal interagency jointly with the FAA on Joint Planning and Memoranda of Agreement, typically signed by Development Office (JPDO) boards and the top management officials of each agency. Research Transition Teams (RTT). NASA focuses on new technology, while the FAA 11.6 INTERAGENCY PROGRAMS works to bring the technology into operational NASA is a key participant in major use and develop standards. Current interagency programs on climate change and partnership efforts include demonstrating new the environment. These include the U.S. air traffic management technologies to enable Climate Change Science Program (CCSP), to and motivate faster technology insertion and which NASA is the largest contributor. CCSP equipage rates by airline operators; reducing and its companion Climate Change technical barriers to allow routine access by Technology Program are the implementing unmanned aircraft systems to the airspace; and entities of the Interagency Working Group on finding faster, less expensive verification and Climate Change Science and Technology validation methods for highly complex identified in Section 9.2. The National systems to reduce cost, schedule and Science and Technology Council Joint implementation risks of the next generation air Committee on Ocean Science and Technology traffic control system, including certification coordinates interagency ocean research of new aircraft. NASA also works closely activities for the Interagency Committee on with the FAA to develop standards for an Ocean Science and Resource Management Integration identified in Section 9.2.

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12.0 NASA INTERACTION WITH FOREIGN ENTITIES

programmatic interest, and thus are a means INTRODUCTION to achieve the goals of NASA’s Mission. The contributions of other nations and NASA has extensive dealings with foreign international organizations add unique entities including activities with ministerial capabilities or expertise, increase mission level officials, government space agencies, flight opportunities, and provide access to international organizations, foreign industry, program critical locations outside the United and academia. NASA currently has over 500 States, or distribute the costs. In addition, active international agreements with over international civil space cooperation helps to 120 countries. These agreements provide build or reinforce positive international for significant international cooperation in relations between nations. Since its each of NASA’s Mission Directorates on a inception, NASA has concluded almost wide range of activities. This section 4,000 agreements with more than 120 presents an overview of NASA’s interaction nations and international organizations. with foreign entities, and NASA’s NASA’s programs traditionally have had a interaction with these entities according to strong international component, and the following geographic groupings: international activities continue to grow. Canada, Europe, Japan, and Russia; Latin America; Africa and the Middle East; and Asia and the Pacific. The section also briefly NASA has well-established cooperative describes NASA’s interaction with the partnerships with other foreign government space agencies, and continues to seek new United Nations. opportunities for mutually beneficial cooperation with current partners, with 12.1 OVERVIEW emerging space programs, and with appropriate government agencies in nations International cooperation is a significant that do not have space agencies. In addition component of the NASA mission. The to cooperation with other nations, NASA National Aeronautics and Space Act of 1958 cooperates with international organizations, established international cooperation as one such as the European Space Agency, the of the objectives of the civilian space United Nations and its specialized agencies. program. In carrying out this mandate, NASA operates within broad U.S. Within the past 10 years, NASA has government policies, such as economic, concluded over 900 agreements with scientific, or foreign policy, and specific organizations in 90 countries. Of these, eight space policies, most importantly, the U.S. foreign partners account for 50 percent of National Space Policy. The U.S. National these agreements: France, Germany, the Space Policy is the Administration’s European Space Agency, Japan, Italy, umbrella policy announced in June 2010, United Kingdom, Canada, and Russia. under which all U.S. space activities Additionally, in the last several years NASA (national security, civil, commercial, and has undertaken a more focused effort to international) are governed. NASA has engage non-traditional partners in support of longstanding Agency-level policy guidelines NASA’s mission objectives. This effort has on international space cooperation as well, built upon existing relationships and new including the fundamental principle that international partnerships must be of

• 335 • The NASA Presidential Transition Binder relationships with countries that have had no NASA’s Office of International and experience working with NASA. Interagency Relations has led extensive discussions on behalf of the Human The largest, most ambitious international Exploration and Operations Mission cooperative program in the history of NASA Directorate with a broad range of potential is the International Space Station (ISS) international partners. As a result, a Global program, a partnership among 15 nations Exploration Strategy and the first Global implemented under the leadership of NASA, Exploration Roadmap have been developed the European Space Agency (ESA), the by civil space organizations from 14 Japan Ministry of Education, Culture, countries in the International Space Sports, Science and Technology Exploration Coordination Group (ISECG), a (MEXT)/Japan Aerospace Exploration non-binding international exploration Agency (JAXA), the Canadian Space coordination forum. Agency (CSA), and the Russian Federal Space Agency (ROSCOSMOS). NASA’s Aeronautics Research Mission Construction began in November 1998, and Directorate (ARMD) employs international international crews have continuously cooperation on a more limited basis in order inhabited the station since November 2000. to meet distinct programmatic needs, such as Since May 2009, an international crew of six gaining access to unique foreign capabilities, has been able to live and work onboard, resources or data; leveraging NASA’s supported by a cadre of international investments with those of international vehicles, control centers, ground support partners in like areas of research on non- personnel and, very recently, U.S. competitive topics; or to inform commercial spacecraft. Astronauts from international aviation standards and each of the ISS partners serve as ISS crew practices. ARMD participates in members. multilateral forums to share information and to identify potential areas for cooperation, In science research, over half of NASA’s and currently serves as the co-chair of the operational Earth and Space science International Forum for Aviation Research missions involve significant international (IFAR), a forum established in 2011 for cooperation. Additionally, substantial exchange of views among senior leaders on international contributions are planned for national research agendas and priority topics many of NASA’s future science missions of interest to the global aviation community. currently in development, including the NASA aeronautics researchers engage with James Webb Space Telescope, the Global international partners at professional and Participation Measurement Mission, Jason- academic conferences and symposia, as well 3, and Gravity Recovery and Climate as through other multilateral forums such as Experiment Follow-On mission. In Earth the International Civil Aviation science, international cooperation is Organization. particularly important because a full understanding the Earth as a system requires data obtained from ground networks around the world, global airborne campaigns, and complementary orbiting spacecraft.

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12.2 CANADA, EUROPE, JAPAN, AND NASA also cooperates with ESA in a broad RUSSIA array of space science and Earth science projects, notably the James Webb Space NASA has a long history of successful Telescope, LISA Pathfinder, Rosetta, and a cooperation with Canada, Europe, Japan, series of solar-terrestrial physics missions. and Russia, and we expect to build upon this NASA’s cooperation with France, Germany, history in our future cooperative endeavors. and Italy is very significant, spanning all These partners have well-developed space NASA Mission Directorates and involving capabilities and continue to make significant joint activities in space science and Earth contributions to a variety of ongoing and science. NASA has cooperated with other planned NASA programs. Cooperation with European nations on small satellite missions, these partners spans the breadth of NASA’s sounding rocket campaigns, and provision of Mission Directorates, as discussed below. European scientific instruments on NASA satellites. Canada: Canada and NASA have a long history of successful cooperation, NASA cooperates with Spain on the Madrid particularly in science and human Deep Space Communications Complex spaceflight cooperation. Building on their (MDSCC). Since 1964, the MDSCC has expertise in robotic space systems, Canada been operated at Robledo (near Madrid), provided an essential element of the ISS: a Spain, under an international agreement robotic Mobile Servicing System which is between the U.S. and Spain. The MDSCC used for a variety of ISS assembly and is part of NASA’s Deep Space Network operations tasks. In addition, Canada is (DSN) and provides mission-critical cooperating with NASA on the James Webb tracking and communications support for Space Telescope, along with the European NASA’s deep space missions. Space Agency. Canada’s specific contribution is the Fine Guidance Japan: NASA has strong cooperation with Senor/Tunable Filter for the telescope. Japan in human spaceflight, space science, Other areas of current cooperation with and Earth science. Japan cooperates with NASA are in space science and Earth NASA on the International Space Station, science. wherein their primary contribution is the Japanese Experiment Module called Kibo Western Europe: The European Space (“hope”) and the H-II Transfer Vehicle Agency (ESA), headquartered in Paris, is an (HTV), an unmanned logistics resupply international organization with 20 member vehicle. Japan also cooperates with NASA states. NASA has excellent, longstanding on a broad array of Earth and space science relations both with ESA and bilaterally with missions. several of its Member States that have robust national space agencies and Russia: NASA has an extensive history of programs, most notably France, Germany, cooperation with Russia and the former and Italy. NASA cooperates with ESA on Soviet Union. High-visibility, large-scale the International Space Station, wherein the U.S./ U.S.S.R. cooperation took place on the European primary contribution is the Apollo-Soyuz Test Project flown in 1975, Columbus Research Laboratory, the followed by a period in the 1980s of Automated Transfer Vehicle, and the bilateral cooperation limited to space European Robotic Arm. science, Earth science, and space biology

• 337 • The NASA Presidential Transition Binder and medicine due to foreign policy region. Cooperation with other Latin considerations. With the collapse of the American nations has been limited to Soviet Union, new opportunities emerged modest projects to date, and include for U.S./Russia human spaceflight researcher collaboration, astrobiology cooperation, and NASA successfully analog studies, and education activities. conducted a series of joint missions With the recent establishment of a Mexican involving the U.S. space shuttle and the Space Agency and growing expressions of Russian Mir space station. Russia became a interest from Peru and Columbia, it is full partner in the International Space anticipated that cooperation in Latin Station in the late 1990’s. Its primary America will continue to grow. contributions to the program are the Soyuz crew vehicles, Progress cargo vehicles, the 12.4 AFRICA AND THE MIDDLE EAST Zvezda Service Module, the Pirs airlock/docking compartment, and the Only a few countries in Africa and the upcoming Multipurpose Laboratory Module. Middle East possess space-related Science collaboration with Russia has had capabilities, while many have advanced successes and challenges. Russia provided scientific research programs in certain instruments on NASA’s Lunar disciplines. Thus, the opportunities for Reconnaissance Orbiter, Mars Odyssey, and NASA cooperation are limited. most recently the Mars Science Laboratory. NASA is the co-chair of the Space Africa: NASA cooperates on ground-based Cooperation Working Group and a member instruments for aerosol, solar, and tectonic of the Science & Technology Working plate measurements with a small number of Group of the U.S.-Russia Bilateral African nations. Additionally, NASA Presidential Commission, created in July periodically conducts airborne science 2009. campaigns in Africa, though African nations themselves are not normally active 12.3 LATIN AMERICA participants in the science program.

NASA’s cooperation with Latin America Middle East: NASA has had past has historically been conducted primarily cooperation with Israel involving human with Argentina and Brazil. However, spaceflight, with an Israeli astronaut on the several Earth science application initiatives mission, lost in have been conducted in Central America, 2003. Exploratory dialogue is continuing most notably the SERVIR program. With with the Israel Space Agency in several Argentina, NASA has cooperated on a series areas of space and Earth science. NASA of Argentine-built satellite missions and also cooperates on ground-based education activities. Currently, NASA is instruments, such as Aeronet and Space cooperating with Argentina through flight of Geodesy, with a number of Arab countries a U.S. scientific instrument (Aquarius) on in the region. NASA continues to look for the Argentine SAC-D Earth science mission, prospective, mutually beneficial cooperation which launched in 2011. With Brazil, with Saudi Arabia, Kuwait, the United Arab NASA has had extensive cooperation in Emirates, and Qatar. Earth science for several decades, including joint analysis of satellite data and NASA aircraft measurements taken in the Amazon

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12.5 ASIA AND THE PACIFIC Mineralogy Mapper and the Miniature Synthetic Aperture Radar (Mini-SAR). Australia: Australia is a longstanding NASA recently signed two bilateral cooperative partner to NASA, significant agreements with the Indian Space Research because of its highly qualified scientific Organisation (ISRO) related to the talent and its geographic location for Oceansat-2 and Global Precipitation tracking support and science cooperation Measurement/Megha-Tropiques missions. within the region. NASA’s highest priority The principal forums for civil space with Australia is to ensure the continued cooperation are the semi-annual U.S.-India successful operation of its Deep Space Civil Space Joint Working Group (CSJWG) Tracking Network set of antennas located at and its subordinate Earth Science Working Tidbinbilla, Australian Capital Territory Group. near Canberra, one of three complexes around the world essential for two-way 12.6 UNITED NATIONS communications links with planetary and Earth orbiting spacecraft. Working in close coordination with the U.S. Department of State, NASA cooperates with China: Over the last decade, NASA has the United Nations and its specialized had very limited bilateral cooperation with agencies. The United Nations has a standing Chinese entities due to U.S. law and policy. committee on space dealing with scientific, In fact, NASA has only signed a single technical, legal and policy issues, the agreement with the Chinese Academy of Committee on Peaceful Uses of Outer Space Sciences for the exchange of data for (COPUOS). NASA actively participates in geodynamics research. Although China has the U.S. delegations to meetings of extensive space capabilities, including COPUOS and its subcommittees. Key issues indigenous human spaceflight, launch addressed include orbital debris, the use of vehicles and satellite development, recent nuclear power sources in space, and space U.S. legislation (Public Law 112-55) law. In addition, NASA works with the prohibits all bilateral cooperation between executive secretariat for COPUOS, the NASA and China. United Nations Office for Outer Space Affairs, on United Nations-sponsored India: India has extensive space activities, such as workshops with capabilities, including launch vehicles and developing countries. From a more indigenous satellite development. In recent programmatic standpoint, NASA cooperates years, NASA has increased its level of with specialized agencies of the United dialogue and cooperation with Indian civil Nations, such as the World Health space organizations. The Chandrayaan-1 Organization, the World Meteorological mission (2008-9), India’s first lunar mission, Organization and the Food and Agricultural carried two NASA instruments, the Moon Organization on satellite data analysis and other activities.

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13.0 HOW NASA’S WORK IS DONE: IN-HOUSE, INDUSTRY, ACADEMIA

INTRODUCTION contractors, and academic researchers, in addition to international and other Agency This section discusses how NASA’s work is partnerships. Civil servants are located at performed by drawing upon its own in-house NASA Headquarters, centers, and component workforce, as well as the resources of industry facilities across the United States, as indicated and academia. NASA performs its mission in Figure 13.1-1 below. with a combination of civil servants, 13.1 OVERVIEW

Figure 13.1-1: NASA Facilities in the U.S.

Contractors are located across the U.S., 18,210 and contractor work year equivalent including on or near NASA centers. Recently, (WYE) at the end of FY11 totaled 44,111. NASA characterized the actual number of on- Note: FY12 WYE information was not or near-site contractors providing recurring available at the time of this submission. The work for FY11, excluding the NASA Shared break-out of these totals by NASA center is Services Center (NSSC). The NSSC has been shown in Table 13.1-1 below, NASA excluded from this count since it performs Headcount and Contractor Work Year Agency-wide transactions and administrative Equivalent at the End of FY 2012. In addition, activities in the areas of Human Resources, NASA provides funding to academic Information Technology, Procurement, and researchers across the U.S. Note: JPL Financial Management for NASA. The civil employees are Caltech employees, not civil service headcount and contractor work year servants. Thus, they are counted in the equivalent (WYE) at the end of FY12 totaled “Contractor WYE” column.

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Center Civil Service Contractor WYE external relationships with and meeting Headcount external requirements from entities such as the ARC 1,225 1,246 Congress and the Office of Management and DFRC 553 653 Budget, and heads of other federal agencies. GRC 1,659 1,478 Center workforce is responsible for executing GSFC 3,376 6,515 programs and projects under direction from JSC 3,284 15,227 Mission Directorate management, and for KSC 2,102 6,612 developing and managing the institutional LaRC 1,907 1,756 capabilities required to execute the assigned MSFC 2,481 4,320 programs and projects. The Jet Propulsion SSC 298 904 Laboratory (JPL) is a Federally Funded HQ 1,182 631 Research and Development Center (FFDRC) that functions much like a NASA center with NSSC 143 additional workforce flexibilities. The NSSC JPL N/A 4,769 provides Agency-wide centralized business Total 18,210 44,111 and technical services in highly transactional Table 13.1-1: NASA Headcount and Contractor areas, e.g., finance accounts receivable, for Work Year Equivalent at the End of FY12 increased operational efficiency and improved customer service. 13.2 NASA’S IN-HOUSE WORKFORCE 13.2.2 NASA’S APPROACH TO 13.2.1 ROLES OF NASA WORKFORCE PERFORMING ITS WORK

NASA employs civil servants to manage the To accomplish NASA’s mission, NASA Agency, manage NASA programs and divides its work into programs and projects. projects, and manage the Agency’s NASA procedural requirements for the institutions. NASA carries out its mission by formulation, approval, implementation, and using the governance structure and strategic evaluation of NASA programs and projects management systems defined in NASA Policy are provided in the NASA Procedural Directive (NPD) 1000.0 NASA Governance Requirements (NPR) 7120 series of and Strategic Management. The civil servant documents. NPR 7120.5 describes the workforce that carries out the NASA mission procedural requirements for spaceflight is organized as described in NPD 1000.3 The programs and projects, NPR 7120.8 describes NASA Organization. Overviews of NASA’s the procedural requirements for research and governance structure and its workforce are technology programs and projects, and NPR also provided in other sections of the NASA 7120.7 describes the procedural requirements Presidential Transition Binder. for information technology and institutional infrastructure programs and projects. In general, the Headquarters workforce is responsible for Agency-level management of Although the specifics vary depending on the all aspects of the Agency’s business, including type of project, in general, program and managing Mission Directorate portfolios, and project management is based on life cycles, maintaining the institutional capabilities key decision point milestones, and evolving necessary for implementing NASA’s mission. products during each life-cycle phase. These In addition, it is responsible for maintaining are embedded in NASA’s four-part process

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The NASA Presidential Transition Binder for managing programs and projects or program. The process ensures that NASA’s consisting of the following steps: work is performed in an effective, efficient, reliable manner to maximize mission success. 1. Formulation – the identification of how the program or project supports the 13.3 INDUSTRY’S INVOLVEMENT IN Agency’s strategic needs, goals, and NASA’S WORK objectives; the assessment of feasibility, technology and concepts; risk assessment, NASA accomplishes its programs using team building, development of operations extensive support from the private sector. concepts and acquisition strategies; Contractors, when properly used, perform an establishment of high-level requirements and important role in helping NASA accomplish its success criteria; the preparation of plans, mission. Contracts are used to procure major budgets, and schedules essential to the success end items, support services, and small of a program or project; and the establishment purchases. During FY11, private sector of control systems to ensure performance to organizations in all 50 states and the District of those plans and alignment with current Columbia participated in NASA procurements. Agency strategies and schedules essential to the success of a program or project. In addition, NASA has leveraged the Space 2. Approval (for Implementation) – the Act to form agreements with industry for the acknowledgment by the Decision Authority development of our Commercial Space that the program/project has met stakeholder Transportation Program. Through this expectations and formulation requirements innovative approach to working with industry, and is ready to proceed to implementation. By NASA is able to judiciously bring to bear the approving a program/project, the Decision right combination of skills and capabilities Authority commits the budget resources from private industry, and in precisely the necessary to continue into implementation. amount needed in order to further NASA space operations. 3. Implementation – the execution of approved plans for the development and 13.3.1 AWARDS BY TYPE OF operation of the program/project, and the use CONTRACTOR of control systems to ensure performance to approved plans and continued alignment with More than 85 percent of NASA funding is the Agency’s strategic needs, goals, and obligated through procurements. The objectives. remainder includes salaries, benefits, and 4. Evaluation – the continual, travel for NASA civil service employees. independent (i.e., unbiased and outside the Table 13.3-1 below shows the distribution of advocacy chain of the program/project) NASA procurements by type of organization, evaluation of the performance of a program or both in actual dollars and by percent. In FY08, project and incorporation of the evaluation most of the contracts (73 percent) were findings to ensure adequacy of planning and awarded to business firms, followed by execution according to approved plans. awards to JPL (10 percent) and educational institutions (6 percent), with the remaining 8 This four-part process involves people from all percent of the contracts awarded to other levels of the NASA organization with all government agencies (4 percent), nonprofit competencies, and may include participation by organizations (3 percent), and awards outside industry and academia, depending on the project the U.S. (1 percent).

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TRENDS IN AWARDS BY TYPE OF CONTRACTOR FISCAL YEARS 2008 - 2011

PROCUREMENT DOLLARS (IN MILLIONS)

FY 2008 FY 2009 FY 2010 FY 2011

BUSINESS FIRMS $12,372 $12,305 $13,186 $12,530 EDUCATIONAL 1,085 1,124 1,035 941 NONPROFIT 587 620 660 602 JPL 1,768 1,708 1,619 1,605 GOV’T AGENCIES 665 504 490 526 OUTSIDE U.S. 308 466 427 496 TOTAL $16,785 $16,727 $17,417 $16,699

PERCENT OF TOTAL DOLLARS

BUSINESS FIRMS 73.7% 73.6% 75.7% 75.0% EDUCATIONAL 6.5% 6.7% 5.9% 5.6% NONPROFIT 3.5% 3.7% 3.8% 3.6% JPL 10.5% 10.2% 9.3% 9.6% GOV’T AGENCIES 4.0% 3.0% 2.8% 3.1% OUTSIDE U.S. 1.8% 2.8% 2.5% 3.0%

TOTAL 100.0% 100.0% 100.0% 100.0%

Table 13.3-1: Trends in Awards by Type of Contractor

13.3.2 AWARDS BY CONTRACT TYPE large percentage (65 percent) of procurement obligations were awarded under cost plus Different types of contracts are used to award fee contracts in FY2011. Firm Fixed perform different types of work. Firm fixed Price contracts represented 21 percent of the price contracts are low risk, and are used for contracts awarded. Only a few Cost Plus services and small purchases. When the work Fixed Fee (6 percent), Incentive Fee Contracts is less well defined, cost plus award fee (5 percent), and other award structures (3 contracts are used. Table 13.3-2 below percent) were used. depicts the trends in awards to business firms by contract type in actual dollars and by percentage. Although very few award fee contracts are used throughout the Agency, a

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TRENDS IN AWARDS TO BUSINESS FIRMS BY CONTRACT TYPE* FISCAL YEARS 2008 - 2011

PROCUREMENT DOLLARS (IN MILLIONS)

FY 2008 FY 2009 FY 2010 FY 2011

Firm Fixed Price $2,414 $2,443 $2,676 $3,074 Incentive Fee 925 1,092 806 710 Award Fee 8,131 9,834 8,985 9,552 Cost Plus Fixed Fee 370 527 713 915 Other 838 581 428 374 TOTAL BUSINESS $12,678 $14,477 $13,608 $14,625

PERCENT OF TOTAL DOLLARS

Firm Fixed Price 20% 23% 20% 21% Incentive Fee 13% 6% 6% 5% Award Fee 60% 62% 66% 65% Cost Plus Fixed Fee 3% 4% 5% 6% Other 4% 5% 3% 3% TOTAL BUSINESS 100% 100% 100% 100%

*Includes contract awards with place of performance outside the US Table 13.3-2: Trends in Awards to Business Firms by Contract Type

required to submit uniform competition 13.3.3 ROLE OF COMPETITION statistics to Congress in an annual report that summarizes past year accomplishments of the The Competition in Contracting Act (P.L. 98- agency’s competition advocacy program and 369), with limited exceptions, requires full describes proposed current year actions to and open competition within the federal increase competition and reduce government. Full and open competition means noncompetitive contract awards. As shown in that all responsible sources are permitted to Table 13.3-3, 57.4 percent of contracts were submit sealed bids or competitive proposals competed, and 42.6 percent were not on a given procurement. Contracting without competed. Beginning in FY 2011, Follow-On providing for full and open competition is Actions were included in Not Competed. allowable under certain circumstances. Written justifications are required to award Shown below in Table 13.3-3 are the trends by procurements on other than a full and open competition basis. Federal agencies are extent of competition for Fiscal Years 2008- 2011.

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TRENDS IN AWARDS BY EXTENT OF COMPETITION FISCAL YEARS 2008 - 2011 TYPE OF ACTION FY 2008 FY 2009 FY 2010 FY 2011

Total $14,967.0 $15,150.2 $16,016.5 $15,355.8

Competed $ 7,645.7 $ 8,121.4 $ 8,865.3 $ 8,806.9

Not Competed* $ 5,537.4 $ 5,487.1 $ 5,343.3 $ 6,548.9

Follow -On $ 1,783.9 $ 1,541.7 $ 1,807.9 **

Percent of Total

Total 100.0 100.0 100.0 100.0

Competed 51.1 53.6 55.4 57.4

Not Competed 37.0 36.2 33.4 42.6

Follow -On 11.9 10.2 11.3 **

* Beginning in FY 2008, Not Competed includes figures for awards that are not available for competition. ** Beginning in FY 2011, Follow-On actions are included in Not Competed. Table 13.3-3: Trends in Awards by Extent of Competition - Fiscal years –2008 -2011

13.3.4 CONTRACT SELECTION PROCESS procurements subject to review of major FROM ACQUISITION STRATEGY actions by Headquarters. The contract and PLANNING TO AWARD acquisition planning process operates under policy and oversight by the Headquarters NASA contracting is accomplished through 10 Office of Procurement. locations outside of Washington, D.C. At NASA, procurement authority flows from the The Federal Acquisition Regulations (FAR) President of the United States to the NASA and the NASA FAR Supplement (NFS) are Administrator, the Assistant Administrator for the regulations governing NASA’s acquisition Procurement, Center Directors, and Center planning process through award. The NASA Procurement Officers. The Center acquisition planning process is separated into Procurement Officers have authority to award three discrete events, leading to a

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The NASA Presidential Transition Binder procurement: Strategy Implementation about the procurement. A synopsis of the Planning (SIP), the Acquisition Strategy procurement is published, typically followed Meeting (ASM), and the Procurement by a draft request for proposal (RFP). After Strategy Meeting (PSM) (see NFS 1807.170). responding to questions, the final RFP is The procurement strategy planning process released. Proposals are received, evaluated, a through award is depicted in the flowchart selection is made, and the contract is awarded. below. The NASA Acquisition Forecast is The Source Selection Guide provides the published to alert industry of an upcoming process in detail at the following web procurement. An acquisition plan and site:http://prod.nais.nasa.gov/portals/pl/docum statement of work (SOW) is developed, and ents/Source_Selection_Guide_March_2012.pd an industry day may be held to provide f. Figure 13.3-1 below illustrates the NASA additional information and answer questions acquisition process.

Acquisition Process

NASA Business Acquisition Industry Procurement Forecast Plan and Day Strategy SYNOPSIS Published Meeting SOW (Optional )

Preproposal Respond to Draft RFP Final RFP Conference DRFP Released Released Questions

Competitive Respond to Receive Range RFP Questions Proposals Discussions Determination with Remaining Receive Request Final Offerors Award Contract Proposal FPRs Revisions (FPR)

Debriefings Post Award Pre Award Debriefings Debriefings

Figure 13.3-1: The NASA Acquisition Process

13.3.5 CHARACTERIZATION OF OUR Awards to Business Firms during FY 2011. CURRENT PRINCIPAL The awards to these contractors accounted CONTRACTORS (BUSINESS for 77.12 percent of the direct awards to FIRMS) business firms during the year. The smallest aggregate award to any contractor was in The 34 contractors that received the largest excess of $12 million. Of the top 100 dollar value of NASA direct awards to contractors, 35 were small business firms business firms during FY 2011 are shown (S) and of these 8 were disadvantaged (D) below in Table 13.3-4: NASA Direct firms at the time of award.

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TOTAL AWARDS TO BUSINESS FIRMS $13,021,919,066 77.12

1. LOCKHEED MARTIN CORP. 1,759,039,165 13.51 2. UNITED SPACE ALLIANCE LLC 1,139,946,671 8.75 3. BOEING COMPANY 1,132,695,443 8.70 4. JACOBS TECHNOLOGY INC. 662,003,379 5.08 5. ATK LAUNCH SYSTEMS INC. 454,979,843 3.49 6. RUSSIAN SPACE AGENCY 414,009,394 3.18 7. PRATT & WHITNEY ROCKETDYNE INC. 398,779,707 3.06 8. ORBITAL SCIENCES CORP. 350,564,312 2.69 9. UNITED LAUNCH SERVICES LLC 345,210,983 2.65 10. SCIENCE APPLICATIONS INTL CORP. 278,204,055 2.14 11. NORTHROP GRUMMAN SPACE & MISSION SYS 265,358,246 2.04 12. S G T INC. 259,344,435 1.99 13. RAYTHEON COMPANY 233,289,461 1.79 14. URS FEDERAL TECHNICAL SERVICES INC. 201,115,775 1.54 15. SPACE EXPLORATION TECHNOLOGIES CORP. 195,440,755 1.50 16. WYLE LABORATORIES 156,206,125 1.20 17. QINETIQ NORTH AMERICA INC. 155,367,505 1.19 18. BALL AEROSPACE & TECH. CORP. 141,427,186 1.09 19. I T T SPACE SYSTEMS LLC 135,951,146 1.04 20. HONEYWELL TECHNOLOGY SOLUTIONS INC. 132,541,347 1.02 21. I T T CORPORATION 130,784,835 1.00 22. GENERAL DYNAMICS C4 SYSTEMS INC. 124,011,069 0.95 23. COMPUTER SCIENCES CORP. 106,863,148 0.82 24. C S C APPLIED TECHNOLOGIES LLC 102,861,222 0.79 25. ABACUS TECHNOLOGY CORP. (S) 92,726,273 0.71 26. HAMILTON SUNDSTRAND CORP. 90,324,204 0.69 27. M E I TECHNOLOGIES INC. 90,246,180 0.69 A S R C RESEARCH & TECHNOLOGY 28. SOLUTIONS (S) (D) 87,821,207 0.67 29. ANALEX CORP. 83,202,605 0.64 30. MCDONNELL DOUGLAS CORP. 72,836,163 0.56 31. TELEDYNE BROWN ENGINEERING INC. 67,140,163 0.52 32. SCIENCE SYSTEMS & APPLICATIONS INC. (S) 64,971,992 0.50 33. A S R C AEROSPACE CORP. (S) 59,832,047 0.46 34. D B CONSULTING GROUP INC. (S) (D) 56,871,585 0.44

Table 13.3-4: NASA Direct Awards to Business Firms during FY2011

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13.4 ACADEMIA’S INVOLVEMENT IN  Technology development: developing NASA’S WORK critical NASA technology via grant or contract funding; This section discusses how NASA leverages academia’s capabilities to achieve the  Mission operations: supporting science NASA mission. operations on flight mission teams;  Peer review panels: critically evaluating 13.4.1 ROLE OF ACADEMIA research proposals to support the Headquarters selection process; and Scientific and technological research, from basic to applied, is a small component of the  Senior review panels: periodically exploration systems portfolio, and a large appraising operating missions for component of the science and aeronautics continuing science potential. portfolios. While scientific and technological research is supported by in- Outside scientists also play supporting roles house staff as described earlier, a majority of in science management under contract at this work is performed by academia. Outside various institutes. Examples are the Space investigators participate in the following: Telescope Science Institute and the National Space Biomedical Research Institute, bricks-  National Research Council (NRC) and-mortar organizations, and the NASA study committees: performing strategic Astrobiology Institute, a “virtual” institute goal setting and science and of dispersed investigator teams organized independent program assessments; around scientific competencies and objectives.  Advisory committees: serving on the NASA Advisory Council, its five Academia has a role in supporting NASA’s science subcommittees, and numerous education goals as well. NASA’s Higher subordinate analysis groups; Education projects attract and prepare  Science and Technology Definition students for NASA-related careers through Teams: establishing science and scholarships, internships and fellowships at technology requirements for missions in NASA centers and through the National formulation; Space Grant College and Fellowship Program, Minority University Research and  Management Operations Working Education Project (MUREP), and other Groups: assessing science program NASA activities. Student projects serve as a management; major link in the pipeline for addressing NASA’s Human Capital Strategies and the  Flight project definition: assembling President’s Management Agenda, and in FY teams and developing competitive 2011, 34,032 undergraduate and graduate proposals for flight investigations; students participated in NASA education  Supporting research: analyzing flight opportunities. Through MUREP, NASA data and conducting the underlying invested nearly $30M in support to Minority basic ground research funded by Serving Institutions including Historically NASA; Black Colleges and Universities (HBCUs), Hispanic Serving Institutions (HSIs), and Tribal Colleges and Universities (TCUs),

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The NASA Presidential Transition Binder and to organizations with a history of based research, approximately 55 annually, supporting underrepresented and are issued as program elements of the underserved students. The program also omnibus NRA “Research Opportunities in strengthens the research capabilities of Space and Earth Science” (ROSES). institutions. In FY11, the Experimental Similarly, many ARMD cooperative Program to Stimulate Competitive Research agreements, contracts and grants are issued (EPSCoR) provided approximately $23.8M as elements of the omnibus NRA “Research to universities and consortia that advance Opportunities in Aeronautics” (ROA). the research capacity and infrastructure at ARMD competitions are open to both targeted states in NASA-related areas. academia and industry. Proposals are submitted, peer reviewed, and then selected. 13.4.2 SCIENCE AND AERONAUTICS NASA’s Higher Education proposals are PROGRAM ACQUISITION selected based upon a proposer’s ability to PROCESSES foster and expand new concepts in NASA- related science and technology development; The actual procurement of science to and develop mechanisms for increased support SMD, HEO, ARMD, STMD, and participation by faculty and students in the the Office of Education goals use a variety research programs of NASA’s Mission of mechanisms. SMD generally uses the Directorates. Once proposals are selected, Announcement of Opportunity (AO) for the funding package is then transmitted to NASA flight mission opportunities, and the NASA Shared Services Center (NSSC) some programs make multiple awards to a for execution of grants to successful single solicitation. In addition, an innovative proposers. AO, the Stand-Alone Mission of Opportunity Notice (SALMON), is used for 13.4.3 CHARACTERIZATION OF OUR participation on foreign missions and CURRENT GRANTS comparable opportunities. SMD, STMD, ESMD, and ARMD use NASA Research The number and dollar amount of all grants Announcements (NRA) to solicit research awarded by NASA over the past four years supporting their programs. Nearly all SMD are shown in Table 13.4-1 below. grant opportunities for supporting ground- Fiscal Total # of $ Amount Year Awards Awarded 08 2457 $358,704,999 09 2002 $321,405,613 10 1904 $342,202,297 11 1625 $204,725,585

Table 13.4-1: NASA Grants from 2008-2011

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14.0 NASA FEDERAL ADVISORY COMMITTEES AND THE NATIONAL ACADEMIES

It is co-sponsored by the National Science INTRODUCTION Foundation, NASA, and the Department of Energy. It produces an annual report of NASA and its predecessor, the National findings and recommendations for the Advisory Committee for Aeronautics federal agencies and the Congress. The (NACA), have traditionally sought Astronomy and Astrophysics Advisory independent judgment and guidance from Committee is managed by the National scientific and technical experts in academia, Science Foundation. industry, and other government agencies. This section discusses the five federal advisory committees that NASA currently NASA also seeks independent external sponsors under the Federal Advisory scientific and technical expertise and advice from the National Academies (i.e., National Committee Act (FACA): Academy of Science, National Academy of Engineering, and Institute of Medicine)  Aerospace Safety Advisory Panel through its operating arm, the National (Congressionally mandated) Research Council (NRC). NRC boards with  NASA Advisory Council which NASA currently has contracts are:

 National Space-Based Positioning,  Space Studies Board Navigation and Timing Advisory Board  Aeronautics and Space Engineering  International Space Station Advisory Board Committee  International Space Station National These Boards coordinate the participation of Laboratory Advisory Committee other NRC boards and committees as needed (Congressionally mandated) in studies, assessments, and surveys performed for NASA. In recent years, A sixth federal advisory committee is in the Congress has mandated that several studies process of being chartered at this time: be conducted by the NRC on NASA-related topics via its authorization and appropriations bills.  Applied Sciences Advisory Committee (Congressionally mandated) 14.1 NASA FEDERAL ADVISORY COMMITTEES In addition, Public Law 107-368, the National Science Foundation Authorization 14.1.1 HISTORICAL BACKGROUND Act of 2002, mandated the establishment of the following multi-agency federal advisory NACA was established in 1915 and became committee: the United States’ premier aeronautical research organization. An advisory  Astronomy and Astrophysics Advisory committee governed it, and its members Committee were appointed by the President. The “main committee” of the advisory panel served as a board of directors, and a group of research

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The NASA Presidential Transition Binder advisory committees guided its research in 1968 set forth the statutory duties for the specific areas. With the creation of NASA is Panel. The purpose of ASAP is to advise the 1958, NACA was abolished, and its three Congress and the NASA Administrator on aeronautical research centers (Langley safety issues in NASA’s aerospace Aeronautical Laboratory, Lewis Research programs. The Congress envisioned a Center, Ames Research Center) were continuity of membership and a degree of incorporated into NASA, along with some professional technical expertise for the Panel elements of the U.S. Army and U.S. Navy- that makes it unique in NASA’s advisory sponsored rocket research. committee structure up to this day. More recently, the NASA Authorization Act of Since 1958, NASA’s tradition of seeking 2005 reauthorized the ASAP’s original independent judgment and guidance from duties, and included a requirement that scientific and technical experts in academia, ASAP evaluate “NASA’s compliance with industry and other government agencies the return-to-flight and continue-to-fly started by NACA has continued up to the recommendations of the Columbia Accident present day. For the past 54 years, NASA Investigation Board (CAIB),” as well as a has turned to highly accomplished citizens requirement to submit an annual report to and world-class experts to develop the NASA Administrator and to Congress. observations, findings and recommendations The annual report was also to include “an on major programmatic and policy issues evaluation of NASA’s management culture related to the U.S. civil space program. related to safety.” The current ASAP NASA has sponsored numerous advisory members are as follows: committees covering the breadth and depth of Agency programs and activities,  VADM Joseph Dyer (USN, Ret.), ASAP including aeronautics, commercial space, Chair, iRobot Corporation space science, Earth science, human spaceflight, and exploration.  Dr. James Bagian, University of Michigan, former NASA Astronaut NASA’s Federal advisory committees are  The Honorable Claude Bolton, Defense formally chartered under FACA, have Acquisition University specific goals, objectives, charters, appointed members, and specified durations  Capt. Robert Conway, USN (Ret.) for their work.  Mr. John Frost, Safety Engineering NASA’s current five federal advisory Services committees are described in greater detail  Dr. Donald McErlean, L-3 below. Communications

14.2 AEROSPACE SAFETY ADVISORY  Dr. George Nield, Federal Aviation PANEL Administration  Mr. Bryan O’Connor (NASA, Ret.), In 1967, the U.S. Congress directed NASA former NASA Astronaut to form the Aerospace Safety Advisory Panel (ASAP) after the Apollo-1 fire on the  Dr. Patricia Sanders, Independent launch pad that resulted in the death of three Aerospace Consultant astronauts. The NASA Authorization Act of

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The most recent annual report of the ASAP  Mr. Lars Perkins, Entrepreneur was published in January 2012 (ASAP  Mr. Richard Kohrs, NASA (Ret.) Annual Report for 2011). It is posted on the  Dr. Larry Smarr, University of NASA website and contains the panel’s California, San Diego findings and recommendations covering  Dr. Wesley Huntress, Geophysical calendar year 2011. The current charter of Laboratory, Carnegie Institute of ASAP was signed by the NASA Washington (Ret.) Administrator on October 13, 2011, and has  Dr. William Ballhaus, The a duration of two years. All ASAP formal Aerospace Corporation (Ret.) recommendations to NASA are carefully  Dr. Charles Kennel, Ex-Officio, considered and receive an Agency formal Chair, Space Studies Board, response. National Academies  Gen. Lester Lyles, USAF (Ret.), 14.3 NASA ADVISORY COUNCIL Chair, Aeronautics and Space Engineering Board, National While versions of senior-level advisory Academies groups have existed since NASA was formed in 1958, the NASA Advisory The current NAC standing committees and Council (NAC) was formally created in subcommittees are: 1977 by combining two pre-existing Agency-level advisory committees into a  Aeronautics Committee larger, more comprehensive body of experts. These were the Space Program Advisory o Unmanned Aircraft Systems Council and the Research and Technology Subcommittee Advisory Council. The NASA Advisory  Audit, Finance and Analysis Council held its first meeting in 1978. It Committee reports directly to the NASA Administrator and is the most senior body charged with  Commercial Space Committee developing findings and recommendations across the breadth and depth of NASA’s  Education and Public Outreach programs, policies and plans for Committee consideration by the NASA Administrator  Human Exploration and Operations and Agency senior leadership. Committee The NASA Advisory Council is comprised  IT Infrastructure Committee of the Council, eight standing committees, and six subcommittees. The current Council  Science Committee members are as follows: o Astrophysics Subcommittee o Earth Science Subcommittee  Dr. Steven Squyres, Council Chair, o Heliophysics Subcommittee  The Honorable Marion Blakey, o Planetary Protection Aerospace Industries Association Subcommittee  Mr. Robert Hanisee, Trust Company of the West o Planetary Science Subcommittee  Ms. Patti Grace Smith, Consultant

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 Technology and Innovation services. The PNT Advisory Board’s Committee findings and recommendations have been considered by the PNT Executive The current charter of the NASA Advisory Committee in recommending a national Council was signed by the NASA PNT strategy and in developing annual Administrator on October 25, 2011, and has updates to the Five-Year Space-Based PNT a duration of two years. All NAC formal Plan. recommendations to NASA are carefully considered and receive an Agency formal The PNT Advisory Board meets up to two response. times per year. The Board currently consists of 24 members who represent a broad 14.4 NATIONAL SPACE-BASED spectrum of GPS expertise across critical POSITIONING, NAVIGATION AND industry sectors, academia, and users. There TIMING ADVISORY BOARD are four foreign members of the Board, representing GPS interests of a national or The National Space-Based Positioning international nature. The current members Navigation and Timing (PNT) Advisory are as follows: Board was established in 2006 by the NASA Administrator to implement national space  Dr. James R. Schlesinger, Chair, policy related to the U.S. Global Positioning MITRE System (GPS), specifically, the U.S. Space- Based PNT Policy announced by the White  Dr. Bradford Parkinson, Vice Chair, House on December 8, 2004. This Stanford University Presidential policy created a permanent  Dr. Gerhard Beutler, International National Space-Based PNT Executive Association of Geodesy (Switzerland) Committee comprised of the following seven federal agencies: Department of  Mr. Dean Brenner, Qualcomm Defense, Department of Transportation,  Capt. Joseph D. Burns, United Airlines Department of State, Department of Commerce, Department of Homeland  Ms. Ann Ciganer, U.S. GPS Industry Security, the Joint Chiefs of Staff, and Council NASA. In 2007, the PNT Executive Committee was expanded to include two  Mr. Richard Dalbello, Intelsat additional federal agencies: the Department  Mr. Arve Dimmen, Norwegian Coastal of Agriculture and the Department of the Administration (Norway) Interior.  Dr. Per K. Enge, Stanford University The PNT Executive Committee is co- chaired by the Deputy Secretaries of  Mr. Martin C. Faga, MITRE (Ret.) Defense and Transportation, and the PNT  Mr. James Geringer, Environmental Advisory Board’s role is to provide expert Systems Research Institute advice to the PNT Executive Committee on U.S. space-based PNT policy, planning,  Mr. Keith R. Hall, Booz-Allen Hamilton program management, and funding profiles in relation to the current state of national and  Mr. Ronald Hatch, NavCom international reports space-based PNT Technology

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 Dr. Robert J. Hermann, Global rendezvous/docking, operations, and Technology Partners, LLC management of the Shuttle-Mir Program. The Shuttle-Mir program was a series of  Dr. Rajiv Khosla, Colorado State joint U.S./Russian missions in which the University U.S. space shuttle docked with the Russian  Gen. Lance Lord, USAF (Ret.), Former Mir space station during the mid to late Commander, Air Force Space 1990s and crews were exchanged. Command On December 15, 1994, the U.S./Russian  Mr. Peter Marquez, Orbital Sciences Joint Commission on Economic and Corporation Technological Cooperation directed NASA and the Russian Space Agency to establish a  Gen. James P. McCarthy, USAF (Ret.) process to review the Shuttle-Mir Program. Air Force Academy NASA and the Russian Space Agency  Mr. Terence J. McGurn, Private agreed that General Stafford and Consultant Academician Vladimir F. Utkin would lead this joint review committee. NASA and the  Mr. Timothy A. Murphy, The Boeing Russian Space Agency further agreed that Company the joint review committee would focus its reviews on issues of safety and reliability.  Ms. Ruth Neilan, Jet Propulsion The NASA Shuttle-Mir Task Force and the Laboratory Russian Space Agency’s Advisory Expert  Mr. Hiroshi Nishiguchi, Japan GPS Council (AEC) under Academician Utkin Council (Japan) produced its first joint report on June 7, 1995.  Dr. Refaat Rashad, Arab Institute of Navigation (Egypt) The Stafford-Utkin Joint Commission began to focus its attention on the safety and  Mr. Charles R. Trimble, U.S. GPS operational readiness of the International Industry Council Space Station (ISS) in 1998. In 1999, NASA changed the name of the Task Force to the The current charter for the PNT Advisory NASA Advisory Council Task Force on ISS Board was signed by the NASA Operational Readiness. In January 2006, Administrator on May 17, 2011, and has a NASA Administrator Michael Griffin duration of two years. formally chartered the committee as a federal advisory committee and changed its 14.5 INTERNATIONAL SPACE STATION name to the ISS Advisory Committee and ADVISORY COMMITTEE directed that it report to the NASA Associate Administrator for the Human On May 2, 1994, NASA established the Exploration and Operations. NASA Advisory Council Task Force on the Shuttle-Mir Rendezvous and Docking The ISS Advisory Committee and its Missions, with Lieutenant General Thomas predecessors have been a valuable source of P. Stafford, USAF (Ret.) as its chair. The expert opinion to the ISS program, and an purpose of the Task Force (known alternative path of open communications informally as the “Stafford Task Force”), with the Russian Federal Space Agency. It was to review the planning, training,

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The NASA Presidential Transition Binder was instrumental in assessing the cause and  Mr. Percy Baynes, Director, corrective action associated with past Technology Applications Group, Russian human spaceflight-related issues, Anteon Corporation (Ret.) such as the Progress-Mir collision, the fire onboard Mir, the Proton failures just prior to  Mr. Joseph W. Cuzzupoli, Consultant Service Module launch; visiting ISS to Kistler Aerospace Corporation/ crewmember certification requirements; and Rocketplane the cause of the off-nominal Soyuz landing  Dr. Charles C. Daniel, Engineering in 2003. The Joint Commission assessed Consultant, Valador, Inc. impacts of the Columbia accident to ISS operations, and provided advice on ISS  Dr. Daniel W. Heimerdinger, Executive assembly missions before the ISS was Vice President, Exostrategies permanently inhabited. On a regular basis, the Joint Commission assesses ISS software,  Maj. Gen. Ralph H. Jacobson, USAF visiting vehicle guidance and crew interface (Ret.), President Emeritus, Charles requirements and procedures, and overall Stark Draper Laboratory readiness for ISS expeditions. The Joint  Dr. Ronald C. Merrell, FACS, Commission reviewed and assessed the Professor of Surgery, Medical College readiness of the ISS for a six-person crew. of Virginia, Virginia Commonwealth The Joint Commission included a new task, University to assess the possibilities for using the ISS for future space exploration.  Dr. Josef F. Schmid, MD, MPH, Flight Surgeon, Medical Operations, NASA Equally important, ISS Advisory Committee Johnson Space Center members and their Russian counterparts  Mr. Thomas Whitmeyer, Deputy Chief, have developed trust and mutual respect in Office of Safety and Mission Assurance, working together over the past 18 years. NASA Headquarters This trust has provided both NASA and the Russian Federal Space Agency with  Col. Jeffrey N. Williams, U.S. Army valuable insight into each others’ space (Ret.), NASA Astronaut programs and has facilitated open and candid communications at the Center The current ISS Advisory Committee Director/Program Manager/Chief Engineer charter was signed on September 7, 2012, level. and has a duration of one year.

The current members of the ISS Advisory 14.6 INTERNATIONAL SPACE STATION Committee are as follows: NATIONAL LABORATORY ADVISORY COMMITTEE  Lt. Gen. Thomas P. Stafford, USAF The establishment of the International Space (Ret.), Chairman, President, Stafford, Station (ISS) National Laboratory Advisory Burke & Hecker Inc., technical Committee was mandated by Congressional consulting direction in the NASA Authorization Act of  Col. James C. Adamson, U.S. Army 2008. The purpose of this federal advisory (Ret.), CEO, Monarch Precision, LLC, committee is to monitor, assess and make Consulting firm recommendations regarding effective utilization of the ISS as a national laboratory

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The NASA Presidential Transition Binder and platform for research. The committee committees. The assessments, studies and was formally established by NASA in 2009 expert advice are provided by distinguished and its most recent charter was signed by the members of the U.S. scientific and NASA Administrator on October 6, 2011. engineering community and are obtained via Due to an ongoing restructuring of the NASA contracts with the operating arm of management for U.S.-sponsored ISS the National Academies, the National utilization activities, the committee is Research Council (NRC). The NRC currently dormant; no members have been manages two key independent advisory appointed and it has not met. bodies for NASA:

14.7 NATIONAL ACADEMIES  Space Studies Board In addition to its own federal advisory committees, NASA has a longstanding  Aeronautics and Space Engineering tradition of seeking external independent Board technical assessments, studies and expert advice from the National Academies: the The NRC also manages the Aeronautics National Academy of Science, the National Research and Technology Roundtable Academy of Engineering, and the Institute (ARTR) established in 2011, at NASA’s of Medicine. This takes place both at request, to provide stakeholder views on NASA’s initiative and when directed by aeronautics research and development NASA’s Congressional oversight topics.

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15.0 TIMELINE OF MAJOR MILESTONES AND EVENTS IN THE BUDGET PROCESS

15.1 BUDGET MILESTONES AND STATUS INTRODUCTION OF BUDGET DOCUMENTS This section describes the timeline of events in a “normal” NASA budget process. The The annual Planning, Programming, section begins by addressing budget Budgeting and Execution (PPBE) Steps are milestones and the status of budget highlighted in Table 15.1-1. Major budget documents. It also presents other key milestones are presented in Table 15.1-2, Table 15.1-3, and Table 15.1-4, which list the milestones over a six-month period. major steps in the federal budget formulation process, the major steps in Congressional action, and the NASA steps involved in budget formulation, respectively. .

ANNUAL PPBE PHASES AND STEPS

PLANNING PRO(PGDRMA) MMING BUDGETING EXECUTION

Internal/External Program and Programmatic Operating Plan Studies and Resource and Institutional and Analysis Guidance Guidance Reprogramming

Program NASA Strategic Funds Distribution Analysis and OMB Submit Plan and Control Alignment

Annual President’s Analysis of Performance Baseline Services Budget Performance Goals Assessment

Agency Issues Implementation Reporting Book Planning Requirements

Strategic Planning Program Decision Performance and Appropriation Guidance Memoranda Accountability Report Table 15.1-1: Overview of NASA’s Planning, Programming, Budgeting and Execution

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What Happens? When? NASA reviews open issues that need to be addressed that were either not submitted with the OMB Fall budget Submit or were disapproved by OMB during the Fall Budget process. OCFO develops the Strategic Planning Guidance (SPG) to set the budget and plans for the B+ 4 Dec - Feb year Formulation period. It is released officially in NASA’s Budget Formulation OMB MAX folder when the B+1 year President’s Budget Request is submitted to Congress. The Control Account Managers (CAMs) issue lower-level Programmatic Resources Guidance Jan - Mar (PRGs) for the programs and mission support functions to develop their budget requirements; program budget reviews are held with the CAMs. The CAMs respond with their proposed budget and issues in a report called the Programmatic April - May Analysis and Alignment (PAA) Report. Centers also have an opportunity to submit their budget requirements and issues to the CAMs. CAMs deliver their Budget and Issues to the Administrator and senior management. June

OCFO evaluates the issues, coordinates responses and brings forward options and June - July recommendations to the Senior Management Councils. Issue papers are consolidated into an Issue Book and released in the Budget Formulation OMB MAX folder. OCFO develops Program Decision Memorandum to document the outcome of the issues and August consolidates all PDMs into a PDM Book and released in the Budget Formulation OMB MAX folder. OCFO locks the budget data for the CAMs to make adjustments to their budget based on the August PDMs. A budget trace is developed to identify the changes across the Agency, thereby establishing the Program and Institutional Guidance (PaIG) budget controls. OCFO submits the Proposed Budget to OMB. ~1st Monday in Sept (date published in OMB Circular A-11) OCFO develop the Agency Budget Justification briefings and discuss with OMB. Followed with Sept - Oct detailed presentations from the various CAMs. Passback and Appeal cycle is usually after Thanksgiving and ends with the Final Settlement Nov - Dec sometime in December. OCFO completes development and production of the Congressional Budget Justification and Jan - Feb Performance Data a.k.a the Integrated Budget and Performance Document (IBPD). Copies are provided to NASA offices, OMB and OLIA for distribution to Congressional Staff on the first Monday in February. OCFO prepares Budget rollout materials (Agency Overview, detail Briefings, Fact Sheets). OLIA Jan - Feb prepares Testimony. PAO sets up Conferences. Briefings are provided to Congressional Staff and Testimony is provided for Budget Hearings. Within 6 weeks of budget transmittal Table 15.1-2: NASA Steps in Budget Formulation (B + 4 Years)

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What Happens? When? OMB issues Spring planning guidance to Executive Branch agencies for the upcoming budget. The OMB Spring Director issues a letter to the head of each agency, providing policy guidance for the agency’s budget request. Absent more specific guidance, the out year estimates included in the previous budget serve as a starting point for the next budget. This begins the process of formulating the budget the President will submit the following February. OMB and the Executive Branch agencies discuss budget issues and options. OMB works with the agencies to: Spring and Identify major issues for the upcoming budget; Develop and analyze options for the upcoming Fall review; and Summer Plan for the analysis of issues that will need decisions in the future. OMB issues Circular No. A–11 to all federal agencies. This Circular provides detailed instructions for submitting July budget data and materials. Executive Branch agencies (except those not subject to Executive Branch review) make budget submissions. Early See Section 25. September Fiscal year begins. October 1 OMB conducts its Fall review. OMB staff analyzes agency budget proposals in light of presidential priorities, October to program performance, and budget constraints. They raise issues and present options to the Director and other November OMB policy officials for their decisions. OMB briefs the President and senior advisors on proposed budget policies. After OMB has reviewed all agency Late requests and considered overall budget policies, the OMB Director recommends a complete set of budget November proposals to the President. Passback. OMB usually informs all Executive Branch agencies at the same time about the decisions on their Late budget requests. November All agencies, including those in the Legislative and Judicial Branches, enter MAX computer data and submit Late print materials and additional data. This process begins immediately after passback and continues until OMB November to locks agencies out of the database in order to meet the printing deadline. Executive Branch agencies may early appeal passback decisions to OMB and the President. An agency head may ask OMB to reverse or modify January certain decisions. In most cases, OMB and the agency head resolve such issues and, if not, work together to present them to the President for a decision. Agencies prepare and OMB reviews congressional budget justification materials. Agencies prepare the budget January justification materials they need to explain their budget requests to the responsible congressional subcommittees. CBO reports to Budget Committees on the economic and budget outlook. January Table 15.1-3: NASA/OMB Steps in Federal Budget Formulation

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What Happens? When? President submits the budget to Congress. First Monday in February CBO re-estimates the President’s Budget based on their economic and technical assumptions. March Other committees submit “views and estimates” to House and Senate Budget Committees. Within 6 weeks of Committees indicate their preferences regarding budgetary matters for which they are responsible. budget transmittal The Congress completes action on the concurrent resolution on the budget. The Congress commits April 15 itself to broad spending and revenue levels by passing a budget resolution. The Congress enacts regular appropriations bills or provides continuing resolutions for the upcoming September 30 fiscal year. Table 15.1-4: Major Steps in Congressional Action

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15.2 DRAFT DETAIL BUDGET ROLLOUT PLAN

Normal Year Date Transition Year Who Task 2nd week Jan OCFO Draft Messages OCFO Submit CBJ to OMB for Concurrence OCFO/OLIA Administrator review of Current FY initial operating plan

3rd week Jan OCFO Finalize Agency Budget Briefing OCFO Complete 1 page budget request OCFO Complete Supporting data OCFO Complete Supplemental data OCFO Draft Detail Budget Briefing OLIA Draft list of Internal Questions to MD/MSOs for responses PAO Draft PAO questions provided to OLIA OCFO CBJ submitted for Print

4th week Jan OCFO Finalize Detail Budget briefing Strat Comm Draft oral testimony for posture hearing OLIA Provide latest versions of budget prep package to Deputy admin for review PAO Final PAO questions provide to OLIA OCFO Draft MD Fact/Talking Point sheets

5th week Jan OCFO Provide and review Mission Directorate Budget Justification to DA OLIA/OCFO Draft responses to Rollout Q&A due to OCFO and OLIA from RMOs OCFO Finalize MD and Center Fact/Talking Point sheets Day 1 CFO/OLIA Prep session for Administrator & DA on budget rollout, review products (overview briefing, first draft of oral and written, testimony) OCFO Prep session for MD AA’s on budget rollout briefings PAO Issue media advisory regarding budget rollout news conf Day 2 OCFO Prep Session for RMOs on detailed budget brief OLIA Go-No-Go decision regarding inclusion of proposed auth provisions in rollout President State of the Union Speech

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Normal Year Date Transition Year Who Task

Day 4 VITS - Morning Internal Budget brief - DA, AA, CFO, MD AA’s, CD’s, Center CFOs, PAO, OLIA VITS - Afternoon Internal Budget Brief - Center PAOs & Gas, HQ PAOs, OLIA, OCFO OCFO PM email to CD - Agency summary, summary briefing, internal Q&A

Day 5 OLIA A & DA phone calls to leadership MOCs OCFO Delivery of CBJ ( IBPD) to OLIA, NASA Offices, and OMB OLIA Administrator Tag up on Budget Rollout OLIA/PAO A & DA prep session for Q&A OLIA Morning Highlights briefing to Select Committee staff by OCFO PAO Embargoed media roundtable w/ DA, OCFO OLIA/PAO Conference Call with select influential’s ( A & DA brief, OCFO brief) OLIA Detailed budget briefing for Approps subcommittee staff by OCFO

1st week Feb 3rd week April OLIA Sunday evening: Email materials to select committee staff Day 1 OLIA Deliver CBJ (IBPD) to Congressional offices OLIA Email materials to NAC. Administrator call NAC PAO OSTP press conference VITS NASA Leadership VITS on final budget OLIA Email materials to Congressional staff OLIA Final Budget prep to A & DA, AA as required, OCFO, PAO PAO Budget info posted to NASA websites PAO Budget Rollout Briefing at NASA Pres Conf, A & DA, MD AA, and OCFO PAO MD host post briefings telecons PAO Press Avail/Stakeholders briefings BY CDs at NASA Centers following Administrator’s event

Day 2 - 5 OLIA Administrator calls/meetings w/ key members of staff OLIA Detailed Budget briefing for Congressional staff OCFO

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Normal Year Date Transition Year Who Task OLIA NAC Budget briefing OCFO OLIA Stakeholders briefing DA, OCFO

2nd week Feb OLIA Administrator hearing preps Administrator meet with Congressional members Administrator House Hearing MD Brief Committees and Subcommittees

3rd week Feb OLIA Administrator Senate Hearing Table 15.2-1: Draft Detail Budget Rollout Plan

15.3 OTHER MILESTONES (11/2012- 4/2013)

This section contains a six-month period’s timeline (November 2012 to April 2013) of other major NASA milestones and events, such as shuttle launches, expendable launch vehicle launches, major procurements, and other miscellaneous milestones.

(Note: This list is not all-inclusive, since it only contains information maintained by SID/OCFO. Other offices may have additional key milestones not tracked by SID/OCFO.)

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Date Event Description 11/2/2012 Space Shuttle Atlantis Roll-Out to KSC Visitor Complex.

11/20/2012 SOFIA Cycle 1 Science Flights SOFIA begins Cycle 1 Science Flights with the GREAT instrument. Over 200 hours of competitively-selected science observations will take place over the course of Cycle 1 as additional instruments are commissioned. 11/27/2012 Ground Systems Scheduled date to enter Key Decision Point (KDP)-B. Development and Operations (GSDO) 12/4/2012 Space Network Ground Scheduled date to enter KDP-C. Systems Sustainment (SGSS) 12/8/2012 Launch of TDRS-K The next Tracking and Data Relay Satellite in NASA’s space communications network that provides communications services to NASA’s missions. 12/2012 JWST Contract Definitization Definitization of the new JWST contract with NGAS, the primary contractor, which reflects the new cost, schedule, and scope of work following the 2011 replan. 12/2012 PhoneSat Launch Demonstration of small satellite technology.

2/22/2013 Launch of IRIS mission The Interface Region Imaging Spectrograph (IRIS) – a Heliophysics Explorer mission to study the crucial interface region of the sun between the photosphere and the corona. 1/2013 Orion Multi-Purpose Crew Scheduled date to enter KDP-B. Vehicle 2/2013 JWST Instrument Delivery Delivery of the NIRCam instrument to GSFC, the third of four science instrument deliveries for JWST. 2/2013 Parabolic Flight Week Zero gravity aircraft support of microgravity science and research.

4/2013 Space Launch System PDR Readiness Assessment.

2/11/13 Launch of Landsat Data Earth science mission in the Landsat series – the oldest continuous series of Continuity Mission (LDCM) Earth science measurements, extending back to 1972. Landsat data (and LDCM data) provide high resolution images in visible, near infrared, and short wave infrared wavelengths, providing crucial data for agriculture, etc. on land usage and changes. 2/2013 Suborbital Flights Multiple experiments for microgravity science and research.

4/2013 Suborbital Flights Multiple experiments for microgravity science and research.

Table 15.3-1: Other Milestones (11/2012 – 04/2013)

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