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**NASA Headquarters**

**Office of Space Science (OSS)**

## **Office Work Instruction**

## Program Pre-Formulation

Approved by: [(Original signed by Christopher J. Scolese)]{.underline}
Date: [(06/23/2003)]{.underline}

Christopher J. Scolese

Deputy Associate Administrator for Space Science

DOCUMENT HISTORY LOG

+---------+--------+---------+----------------------------------------+
| **S     | **DOCU | **EFFE  | **DESCRIPTION**                        |
| TATUS** | MENT** | CTIVE** |                                        |
|         |        |         |                                        |
| **(BASE | **REVI | *       |                                        |
| LINE/** | SION** | *DATE** |                                        |
|         |        |         |                                        |
| **REVI  |        |         |                                        |
| SION/** |        |         |                                        |
|         |        |         |                                        |
| **CANC  |        |         |                                        |
| ELED)** |        |         |                                        |
+---------+--------+---------+----------------------------------------+
| B       |        | 06/     | • Initial "baseline" version of the    |
| aseline |        | 23/2003 | OWI.                                   |
+---------+--------+---------+----------------------------------------+

**1. PURPOSE**

> The purpose of this Office Work Instruction (OWI) is to define the
> process by which the Office of Space Science (OSS) performs
> Pre-Formulation activities for programs that are not yet mature enough
> to have an approved Formulation Authorization Document.

**2. SCOPE AND APPLICABILITY**

2.1 NPG 7120.5 specifies that the Formulation subprocess for a new
program begins with the approval of a Formulation Authorization Document
(FAD). However, significant work must be performed in developing the
content of a candidate program prior to FAD approval during a period
known as Program Pre-Formulation.

2.2 The scope of this OWI is confined to the following Program
Pre-Formulation activities: (a) Advanced Concept Studies, (b)
Pre-Concept Definition, and (c) Technology Development.

2.3 This OWI is applicable to all OSS flight programs, although each of
the Program Pre-Formulation activities identified in Paragraph 2.2 may
not be required for all programs.

**3. DEFINITIONS**

3.1 [AA]{.underline}. Associate Administrator for Space Science.

3.2 [Announcement of Opportunity (AO)]{.underline}. A specific research
opportunity for which relatively well-defined science investigations are
solicited, usually in association with a specific NASA space mission
that may (but does not always) involve the provision and operation of
experiment hardware and that is typically funded by a unique Federal
budget appropriation.

3.3 [Formulation subprocess.]{.underline} This first subprocess in
program management or project management defines a program or project
concept and plan for implementation to meet mission objectives or
technology goals specified in either the NASA Strategic Plan or an
Enterprise's Strategic Plan and results in a Program Commitment
Agreement (PCA) and a Program Plan or Project Plan.

**3. DEFINITIONS *(continued)***

3.4 [Governing Program Management Council (GPMC)]{.underline}. The
highest-level PMC that regularly reviews the program or project. The
determination of whether a cognizant Center's PMC, an Enterprise's PMC,
or NASA's agency-wide PMC is "governing" for a specific program or
project is made by the NASA agency-wide PMC.

3.5 [NASA Research Announcement (NRA).]{.underline} A general research
opportunity that solicits relatively non-specific laboratory theoretical
research, technology, data analysis, or education investigations that
are funded by NASA's yearly, ongoing budgets.

3.6 [Program]{.underline}. An activity within an Enterprise having
defined goals, objectives, requirements, and funding and consisting of
one or more projects. It reports to its designated GPMC.

3.7 [Program Executive]{.underline}. In accordance with delegation
authority from the Associate Administrator for Space Science,
responsible for: (a) providing program policy, strategy, and standards
that support OSS goals and standards; (b) determining program
objectives, goals, and requirements; (c) approving principal program
documents; (d) allocating funds to ensure successful implementation of
the program; and (e) assessing program performance.

3.8 [Program-Level Requirements Appendix]{.underline}. The document that
establishes the baseline for project implementation, including the Level
1 requirements as well as the agreements among the Program Executive,
Program Scientist, cognizant OSS Division Director, managing Center
Director, implementing Center Director, and Program Manager. This
document is an appendix to the Program Plan under whose management
authority it reports at the NASA Center.

3.9 [Program Plan]{.underline}. The document that establishes the
baseline for program implementation, including Program-Level
Requirements, as well as the agreements among the Enterprise Associate
Administrators, the managing Center Director, the implementing Center
Director, and the Program Manager.

3.10 [Program Scientist]{.underline}. In accordance with delegation
authority from the Associate Administrator for Space Science,
responsible for: (a) providing science policy, strategy, and standards
that support OSS goals and standards; (b) determining science
objectives, goals, and requirements; (c) approving principal program
documents; (d) providing science leadership for the program; and (e)
assessing science performance.

**3. DEFINITIONS *(concluded)***

3.11 [Project]{.underline}. An activity designated by a program and
characterized as having defined goals, objectives, requirements,
life-cycle costs, a beginning, and an end.

3.12 [Roadmaps]{.underline}. Documents assembled by representatives of
the research community that describe alternative future flight,
research, and technology-development programs within their areas of
competence.

3.13 [Science and Technology Definition Team (STDT)]{.underline}. A
panel of scientists and technologists appointed by the Director of an
OSS Science Division for the purpose of maturing a mission advanced
concept into a pre-concept. The STDT coordinates its activities with the
science community and produces a report containing science objectives,
operations concepts, mission design architectures, spacecraft concepts,
cost, schedule, risk assessment, and identification of required new
technology.

3.14 [Technology Readiness Levels (TRL's)]{.underline}. A systematic
metric/measurement system that supports assessments of the maturity of a
particular technology and the consistent comparison of maturity between
different types of technology.

> TRL 1: Basic principles observed and reported
>
> TRL 2: Technology concept and/or application formulated
>
> TRL 3: Analytical and experimental critical function and/or
> characteristic proof-of-concept
>
> TRL 4: Component and/or breadboard validation in laboratory
> environment
>
> TRL 5: Component and/or breadboard validation in relevant environment
>
> TRL 6: System/subsystem model or prototype demonstration in a relevant
> environment (ground or space)
>
> TRL 7: System prototype demonstration in a space environment
>
> TRL 8: Actual system completed and "flight qualified" through test and
> demonstration (ground or space)
>
> TRL 9: Actual system "flight proven" through successful mission
> operations

**4. REFERENCES**

4.1 NPG 1441.1 NASA Records Retention Schedules (NRRS)

*\[<http://nodis3.gsfc.nasa.gov/library/lib_docs.cfm?range=1___>\]*

4.2 NPG 7120.5 Program and Project Management Processes and

Requirements

*\[<http://nodis3.gsfc.nasa.gov/library/lib_docs.cfm?range=7___>\]*

4.3 SSE MH2002 Space Science Enterprise Management Handbook

*\[<http://spacescience.nasa.gov/admin/pubs/handbook/OSSHandbook.pdf>\]*

**5.** **FLOWCHART**

> *\[NOTE #1: Process steps are numbered in accordance with their
> corresponding step numbers in Section 6.\]*
>
> *\[NOTE #2: "Quality records" are identified via bold-text titles and
> shadowing of the border of their symbols.\]*

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height="7.1930555555555555in"}

**5. FLOWCHART *(continued)***

![](media/image3.wmf){width="5.839583333333334in"
height="7.649305555555555in"}

**5. FLOWCHART *(concluded)***

![](media/image4.wmf){width="5.793055555555555in"
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**6. PROCEDURE**

+-------+----------------+---------------------------------------------+
| *     | *[ACTION       | *[DESCRIPTION]{.underline}*                 |
| [STEP | ]{.underline}* |                                             |
| \     |                |                                             |
| #]{.u | ## OFFICERS    |                                             |
| nderl |                |                                             |
| ine}* |                |                                             |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
|       |                | *\[The process is initiated to support the  |
|       |                | introduction of future missions and         |
|       |                | associated technology requirements into the |
|       |                | OSS roadmaps.\]*                            |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
| 1     | Program        | The Program Executive and Program Scientist |
|       | Executive      | support the OSS science themes in the       |
|       |                | grouping and advocacy of sets of mission    |
|       | Program        | concepts into new budget initiatives,       |
|       | Scientist      | which, if successful, transition into new   |
|       |                | programs. The Program Executive and Program |
|       |                | Scientist work together to develop mission  |
|       |                | concepts that are consistent with the       |
|       |                | science and technology roadmaps.            |
|       |                | Advanced-concept studies may be initiated   |
|       |                | to define new missions and to determine     |
|       |                | their feasibility and desirability. OSS     |
|       |                | science and technology roadmaps (see        |
|       |                | HQOWI7020-S001) are an input into this      |
|       |                | process.                                    |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
| 2     |                | Advanced concepts for future space-science  |
|       |                | investigation are derived from three        |
|       |                | distinct sources: (a) independently-funded  |
|       |                | publications in peer-reviewed journals and  |
|       |                | presentations at science conferences; (b)   |
|       |                | NASA-funded Research Announcements; and (c) |
|       |                | OSS management direction to a NASA Center.  |
|       |                | Sources from (b) and (c) are funded by OSS, |
|       |                | while sources from (a) are not. If an       |
|       |                | advanced-concept study will be funded by    |
|       |                | OSS, proceed to Step #4. If it will not be  |
|       |                | funded by OSS, proceed to Step #3.          |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
| 3     | Program        | If the advanced-concept studies are funded  |
|       | Executive      | outside of OSS funding authority, no        |
|       |                | Program Executive action is required other  |
|       |                | than to remain cognizant of the study       |
|       |                | results for synergy and to avoid            |
|       |                | duplication of effort. Proceed to Step #8.  |
+-------+----------------+---------------------------------------------+

**6. PROCEDURE *(continued)***

+-------+----------------+---------------------------------------------+
| *     | *[ACTION       | *[DESCRIPTION]{.underline}*                 |
| [STEP | ]{.underline}* |                                             |
| \     |                |                                             |
| #]{.u | ## OFFICERS    |                                             |
| nderl |                |                                             |
| ine}* |                |                                             |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
| 4     |                | If an OSS-funded advanced-concept study     |
|       |                | will be competed via a NASA Research        |
|       |                | Announcement, proceed to Step #5. If the    |
|       |                | Associate Administrator for Space Science   |
|       |                | or the NASA Administrator determines that a |
|       |                | NASA Center should perform the study,       |
|       |                | proceed to Step #6.                         |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
| 5     | Program        | If a NASA Research Announcement is to be    |
|       | Executive      | used to solicit advanced-concept studies,   |
|       |                | the Program Executive and Program Scientist |
|       | Program        | work together to prepare it. *(See          |
|       | Scientist      | HQOWI8310-S018 for instructions on          |
|       |                | preparation and release of a NASA Research  |
|       |                | Announcement.)*                             |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
| 6     | Program        | For an advanced-concept study performed by  |
|       | Executive      | a NASA Center, the Program Executive        |
|       |                | prepares a letter of direction and a task   |
|       |                | statement and facilitates funding of the    |
|       |                | task using funds indicated by the Associate |
|       |                | Administrator for Space Science or the      |
|       |                | cognizant OSS Science Division Director.    |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
| 7     | Associate      | The Associate Administrator for Space       |
|       | Administrator  | Science or the cognizant OSS Science        |
|       | for Space      | Division Director approves and signs the    |
|       | Science        | letter of direction.                        |
|       |                |                                             |
|       | *or*           |                                             |
|       |                |                                             |
|       | Science        |                                             |
|       | Division       |                                             |
|       | Director       |                                             |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
| 8     | Program        | The Program Scientist and cognizant OSS     |
|       | Scientist      | Science Division Director interact with the |
|       |                | science community to seek agreement on a    |
|       | Science        | consensus concept via workshops supporting  |
|       | Division       | the development of the science roadmap.     |
|       | Director       |                                             |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
| 9     |                | If a consensus concept is identified and    |
|       |                | accepted as a new roadmap mission, proceed  |
|       |                | to Step #10. If not, end the process.       |
+-------+----------------+---------------------------------------------+

**6. PROCEDURE *(continued)***

+-------+----------------+---------------------------------------------+
| *     | *[ACTION       | *[DESCRIPTION]{.underline}*                 |
| [STEP | ]{.underline}* |                                             |
| \     |                |                                             |
| #]{.u | ## OFFICERS    |                                             |
| nderl |                |                                             |
| ine}* |                |                                             |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
| 10    | Science        | If the consensus concept is accepted, the   |
|       | Division       | cognizant OSS Science Division Director     |
|       | Director       | appoints the science participants for       |
|       |                | Science and Technology Definition Teams     |
|       |                | (STDT's) to mature the advanced concept     |
|       |                | into a pre-concept.                         |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
| 11    | Program        | The Program Executive and the NASA Centers  |
|       | Executive      | involved in theme activity support the STDT |
|       |                | with spacecraft-concept studies, costing,   |
|       |                | engineering analysis, and technology        |
|       |                | support. The STDT product is a report that  |
|       |                | is coordinated with the science community   |
|       |                | using the science advisory bodies. The      |
|       |                | report contains, as a minimum, science      |
|       |                | objectives, operations concepts,            |
|       |                | mission-design architectures, spacecraft    |
|       |                | concepts, cost, schedule, risk, and         |
|       |                | identification of required new technology.  |
|       |                | Several STDT's may be constituted to update |
|       |                | or mature the pre-concept before an         |
|       |                | Announcement of Opportunity for mission     |
|       |                | investigations or instruments is released.  |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
| 12    | Program        | The Program Executive and Program Scientist |
|       | Executive      | work together to develop an Announcement of |
|       |                | Opportunity for mission investigations      |
|       | Program        | and/or science instruments. *(See           |
|       | Scientist      | HQOWI8310-S019 for instructions on          |
|       |                | preparation and release of an OSS           |
|       |                | Announcement of Opportunity.)* All STDT's   |
|       |                | are dissolved prior to the issuance of an   |
|       |                | Announcement of Opportunity for instruments |
|       |                | to prevent any unfair competitive           |
|       |                | advantage. The Program Executive ensures    |
|       |                | that the applicable program or project for  |
|       |                | the mission supports the proposal           |
|       |                | evaluations, led by the Program Scientist.  |
|       |                | This allows the Program Office or Project   |
|       |                | Office to gain an understanding of the      |
|       |                | cost, schedule, and technical assumptions   |
|       |                | associated with the mission. Program        |
|       |                | Executive participation enables him/her to  |
|       |                | assess the technology readiness of the      |
|       |                | mission elements.                           |
+-------+----------------+---------------------------------------------+

**6. PROCEDURE *(continued)***

+-------+----------------+---------------------------------------------+
| *     | *[ACTION       | *[DESCRIPTION]{.underline}*                 |
| [STEP | ]{.underline}* |                                             |
| \     |                |                                             |
| #]{.u | ## OFFICERS    |                                             |
| nderl |                |                                             |
| ine}* |                |                                             |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
| 13    | Program        | The Program Executive works with the        |
|       | Executive      | Program Scientist, cognizant Science        |
|       |                | Division Director, and Technology Director  |
|       | Program        | to determine if the spacecraft and          |
|       | Scientist      | instrument technology is sufficiently       |
|       |                | mature (e.g., typically required to be at   |
|       | Science        | Technology Readiness Level (TRL) of 6 or    |
|       | Division       | higher at time of selection) to allow       |
|       | Director       | transition of the pre-concept to the        |
|       |                | Concept Definition (Phase A) aspect of the  |
|       | Technology     | Formulation subprocess.                     |
|       | Director       |                                             |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
| 14    |                | If the technology is sufficiently mature,   |
|       |                | end the process. If the spacecraft or       |
|       |                | instrument technology is not sufficiently   |
|       |                | mature, proceed to Step #15.                |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
| 15    | Program        | The Program Executive leads the development |
|       | Executive      | and coordination of an integrated           |
|       |                | technical, cost, and schedule approach to   |
|       |                | attain maturity of the spacecraft or        |
|       |                | instrument technology. This technology      |
|       |                | maturation or development activity may      |
|       |                | include one or more of the following OSS    |
|       |                | technology elements: (a) focused-technology |
|       |                | development dedicated to high-priority      |
|       |                | technologies needed for specific science    |
|       |                | missions; (b) core-technology development   |
|       |                | of fundamental capabilities that support    |
|       |                | multiple applications; and (c) flight       |
|       |                | validation of key mission-enabling or       |
|       |                | enhancing technologies.                     |
|       |                |                                             |
|       |                | "Focused" technologies are mission-specific |
|       |                | and are managed by the program requiring    |
|       |                | their use. Accordingly, any technology      |
|       |                | developed in this manner is authorized by   |
|       |                | the using program's Formulation             |
|       |                | Authorization Document *(see                |
|       |                | HQOWI7120-S022)*.                           |
|       |                |                                             |
|       |                | ***\[continued\]***                         |
+-------+----------------+---------------------------------------------+

**6. PROCEDURE *(concluded)***

+-------+----------------+---------------------------------------------+
| *     | *[ACTION       | *[DESCRIPTION]{.underline}*                 |
| [STEP | ]{.underline}* |                                             |
| \     |                |                                             |
| #]{.u | ## OFFICERS    |                                             |
| nderl |                |                                             |
| ine}* |                |                                             |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
| 15    | Program        | "Core" technologies are products of the     |
|       | Executive      | technology roadmap that have relevance      |
| ***\  |                | across multiple science themes and programs |
| [conc |                | and are managed separately from the         |
| luded |                | programs or projects that use them. Program |
| \]*** |                | Executives involved with programs requiring |
|       |                | core-technology development should conduct  |
|       |                | periodic reviews with the technology        |
|       |                | developers and stakeholders to evaluate     |
|       |                | progress against the implementation plans.  |
|       |                |                                             |
|       |                | The "flight-validation" technology element  |
|       |                | is accommodated by the New Millennium       |
|       |                | Program (NMP) which has been formulated to  |
|       |                | develop and flight-validate mid-TRL         |
|       |                | technologies in order to minimize their     |
|       |                | risk of first use. Flight-validation        |
|       |                | activities are competitively selected in    |
|       |                | accordance with the processes outlined in   |
|       |                | the NMP Program Plan.                       |
+-------+----------------+---------------------------------------------+
|       |                |                                             |
+-------+----------------+---------------------------------------------+
|       |                | *\[This program pre-formulation process     |
|       |                | ceases when Formulation Authorization is    |
|       |                | initiated per HQOWI7120-S022.\]*            |
+-------+----------------+---------------------------------------------+

**7. QUALITY RECORDS**

+-------------+--------+---------+---------+---------+--------------+
| **RECORD**  | **O    | **LOC   | **M     | **NPG   | **RETENTION/ |
|             | WNER** | ATION** | EDIA:** | 1       | D            |
| **IDENT     |        |         |         | 441.1** | ISPOSITION** |
| IFICATION** |        |         | **ELE   |         |              |
|             |        |         | CTRONIC | **S     |              |
|             |        |         | OR      | CHEDULE |              |
|             |        |         | HAR     | NUMBER  |              |
|             |        |         | DCOPY** | AND     |              |
|             |        |         |         | ITEM    |              |
|             |        |         |         | N       |              |
|             |        |         |         | UMBER** |              |
+-------------+--------+---------+---------+---------+--------------+
| Letter of   | Sec    | OSS     | H       | S       | > \*         |
| Direction   | retary | Progr   | ardcopy | chedule | >            |
|             | for    | ammatic |         | 7,      |  Permanent\* |
|             | OSS    | files   |         |         | >            |
|             | Deputy |         |         | Item    | > Retire to  |
|             | Ass    |         |         | 5A3a    | > FRC when 2 |
|             | ociate |         |         |         | > years old. |
|             | A      |         |         |         | > Transfer   |
|             | dminis |         |         |         | > to NARA    |
|             | trator |         |         |         | > when 20    |
|             | for    |         |         |         | > years old. |
|             | Pr     |         |         |         |              |
|             | ograms |         |         |         |              |
+-------------+--------+---------+---------+---------+--------------+
| Task        | Sec    | OSS     | H       | S       | > \*         |
| Statement   | retary | Progr   | ardcopy | chedule | >            |
|             | for    | ammatic |         | 7,      |  Permanent\* |
|             | OSS    | files   |         |         | >            |
|             | Deputy |         |         | Item    | > Retire to  |
|             | Ass    |         |         | 5A3a    | > FRC when 2 |
|             | ociate |         |         |         | > years old. |
|             | A      |         |         |         | > Transfer   |
|             | dminis |         |         |         | > to NARA    |
|             | trator |         |         |         | > when 20    |
|             | for    |         |         |         | > years old. |
|             | Pr     |         |         |         |              |
|             | ograms |         |         |         |              |
+-------------+--------+---------+---------+---------+--------------+

> *\[NOTE #1: These "quality records" are identified in Section 5
> ("Flowchart") of this OWI via bold-text titles and shadowing of the
> border of their symbols.\]*
>
> *\[NOTE #2: In accordance with NPG 1441.1 NASA Records Retention
> Schedules, "... installations' office of primary responsibility will
> maintain one official record copy ...; reference copies may be
> maintained for related work". Therefore, the "Retention" and
> "Disposition" aspects of quality records apply only to the one
> official record copy of each quality record.\]*