![](media/image1.wmf){width="3.0in" height="2.4479166666666665in"}

**NASA Headquarters**

**Office of Space Science (OSS)**

## Office Work Instruction

## Formulation Authorization

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) authorizes entry of
> a new program or project into the Formulation subprocess of its life
> cycle, in accordance with the requirements of NPG 7120.5.

**2. SCOPE AND APPLICABILITY**

2.1 The purpose of the Formulation subprocess is to refine mission
concepts in order to define an affordable program and plan to meet
mission objectives or technology goals specified in the NASA and Space
Science Enterprise (SSE) Strategic Plans. The Formulation subprocess
includes developing advanced concepts, conducting trade studies,
defining technology-development goals, exploring implementation options,
establishing internal management-control functions, performing cost and
performance analyses on concepts deemed to have a high degree of
technical and operational feasibility, and identifying reserves
associated with program risk management and other estimated project
reserves.

2.2 Formulation authorization entails placing the definition of a newly
formed program, including objectives and how it supports the SSE
Strategic Plan, into a Formulation Authorization Document (FAD). Program
and project assignments are made to the designated NASA Centers via
either a Program Delegation Letter or a Project Authorization Letter.

**3. DEFINITIONS**

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

3.2 [Code SE]{.underline}. Solar System Exploration Division of the NASA
Headquarters Office of Space Science.

3.3 [Code SM]{.underline}. Mars Exploration Program Office of the NASA
Headquarters Office of Space Science.

3.4 [Code SS]{.underline}. Sun-Earth Connection Division of the NASA
Headquarters Office of Space Science.

3.5 [Code SZ]{.underline}. Astronomy and Physics Division of the NASA
Headquarters Office of Space Science.

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

3.6 [DAA/P]{.underline}. Deputy Associate Administrator for Programs,
Office of Space Science.

3.7 [EDS]{.underline}. OSS Executive Director for Science.

3.8 [Formulation Authorization Document (FAD)]{.underline}. The FAD
documents the purpose of an OSS program (that is traceable to the SSE
Strategic Plan), the terms of reference, the funding, and the
participants. It may be required for a new OSS project, if the project's
Program Plan so states. The authorization is independent of any
particular design solution for science or technology and is stated in
terms of functional capabilities.

3.9 [Governing Program Management Council (GPMC)]{.underline}. The
highest-level PMC that regularly reviews a 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.

3.10 [OSS]{.underline}. NASA Headquarters Office of Space Science.

3.11 [Phase A]{.underline}. Phase A of the Formulation subprocess
concentrates on defining mission and system concepts, parameters,
constraints, and requirements that will allow the program or project to
be developed on a schedule to meet established goals and within a
realistic cost. It is accomplished through conduct of studies that
examine the trade space permitted within identified constraints and
through continued development of enabling technology toward achieving an
acceptable Technology Readiness Level.

3.12 [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.

3.13 [Program Delegation Letter (PDL)]{.underline}. For a new OSS
program, the signed Formulation Authorization Document is sent to a
designated NASA Center Director, under cover of a Program Delegation
Letter, assigning program-management responsibility. In response to this
delegation, the designated NASA Center is instructed to respond with a
proposed Program Plan for executing this responsibility, describing how
the Center proposes to manage and implement the program. The PDL also
provides authority for establishment of a Program Office at the
designated NASA Center.

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

3.14 [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.

3.15 [Program Management Council (PMC)]{.underline}. Forum composed of
NASA Headquarters, NASA Center, and/or NASA Federally Funded Research
and Development Center (FFRDC) senior management that is responsible for
reviewing and recommending approval of proposed programs and projects
and overseeing their implementation according to NASA commitments,
priorities, and policies.

3.16 [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.

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

3.18 [Project Authorization Letter (PAL)]{.underline}. For new projects
within existing OSS programs, a PAL is issued to the designated NASA
Center Director for the project and to the Program Manager at this
Center, authorizing Phase A work on the new project to commence.

3.19 [SSE]{.underline}. NASA Space Science Enterprise.

**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**

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

# ![](media/image2.wmf){width="5.778472222222222in" height="7.625in"}  {#section .unnumbered}

# 6. PROCEDURE

+------+-----------+--------------------------------------------------+
| *[   | *[AC      | *[DESCRIPTION]{.underline}*                      |
| STEP | TION]{.un |                                                  |
| \#]{ | derline}* |                                                  |
| .und |           |                                                  |
| erli | *[OFFI    |                                                  |
| ne}* | CERS]{.un |                                                  |
|      | derline}* |                                                  |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| 1    | Program   | In accordance with the format contained in       |
|      | Executive | Appendix E.1 of NPG 7120.5, an OSS Program       |
|      |           | Executive creates a draft version of the         |
|      |           | Formulation Authorization Document (FAD) for the |
|      |           | identified OSS program or project, using inputs  |
|      |           | from advanced-concept study reports,             |
|      |           | space-science roadmaps, mission objectives,      |
|      |           | technology requirements, and estimated cost and  |
|      |           | schedule.                                        |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| 2    | Program   | The OSS Program Executive coordinates the draft  |
|      | Executive | FAD with OSS Program Analysts and Program        |
|      |           | Scientists and with pre-project study Centers.   |
|      | Program   |                                                  |
|      | Analyst   |                                                  |
|      |           |                                                  |
|      | Program   |                                                  |
|      | Scientist |                                                  |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| 3    | Program   | The OSS Program Executive incorporates           |
|      | Executive | information from study reports submitted by      |
|      |           | pre-project Centers into a revised draft FAD.    |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| 4    | Program   | The OSS Program Executive obtains concurrence    |
|      | Executive | upon the revised draft FAD by the OSS Directors  |
|      |           | for Codes SE, SM, SS, and SZ, the OSS Executive  |
|      | Code SE   | Director for Science, and the OSS Deputy         |
|      | Director  | Associate Administrator for Programs.            |
|      |           |                                                  |
|      | Code SM   |                                                  |
|      | Director  |                                                  |
|      |           |                                                  |
|      | Code SS   |                                                  |
|      | Director  |                                                  |
|      |           |                                                  |
|      | Code SZ   |                                                  |
|      | Director  |                                                  |
|      |           |                                                  |
|      | EDS       |                                                  |
|      |           |                                                  |
|      | DAA/P     |                                                  |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| 5    | Program   | The OSS Program Executive incorporates the       |
|      | Executive | results of the concurrence activity in Step #4   |
|      |           | into the FAD and submits it to the Associate     |
|      |           | Administrator for Space Science for review and   |
|      |           | approval.                                        |
+------+-----------+--------------------------------------------------+

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

+------+-----------+--------------------------------------------------+
| *[   | *[AC      | *[DESCRIPTION]{.underline}*                      |
| STEP | TION]{.un |                                                  |
| \#]{ | derline}* |                                                  |
| .und |           |                                                  |
| erli | *[OFFI    |                                                  |
| ne}* | CERS]{.un |                                                  |
|      | derline}* |                                                  |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| 6    |           | If the Associate Administrator for Space Science |
|      |           | approves the FAD (via signature on its cover),   |
|      |           | proceed to Step #8. If not, proceed to Step #7.  |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| 7    | Program   | The OSS Program Executive modifies the FAD to    |
|      | Executive | address issues identified by the Associate       |
|      |           | Administrator for Space Science and resubmits it |
|      |           | for approval at Step #6.                         |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| 8    |           | If the mission initiative is an approved OSS     |
|      |           | [program]{.underline}, proceed to Step #9. If    |
|      |           | the mission initiative is an approved OSS        |
|      |           | [project]{.underline} portion of an OSS program, |
|      |           | proceed to Step #13.                             |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| #    |           |                                                  |
| ## P |           |                                                  |
| rogr |           |                                                  |
| am D |           |                                                  |
| eleg |           |                                                  |
| atio |           |                                                  |
| n Su |           |                                                  |
| bpro |           |                                                  |
| cess |           |                                                  |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| 9    | Program   | The OSS Program Executive prepares a Program     |
|      | Executive | Delegation Letter (PDL) and submits it to the    |
|      |           | Associate Administrator for Space Science for    |
|      |           | review and approval.                             |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| 10   |           | If the Associate Administrator for Space Science |
|      |           | approves and signs the PDL, proceed to Step #12. |
|      |           | If not, proceed to Step #11.                     |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| 11   | Program   | The OSS Program Executive modifies the PDL to    |
|      | Executive | satisfy issues identified by the Associate       |
|      |           | Administrator for Space Science and resubmits    |
|      |           | the modified PDL at Step #10.                    |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| 12   | Program   | The OSS Program Executive sends the approved FAD |
|      | Executive | and the approved PDL to the Director of the      |
|      |           | designated NASA Center associated with the       |
|      |           | program.                                         |
+------+-----------+--------------------------------------------------+

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

+------+-----------+--------------------------------------------------+
| ###  |           |                                                  |
| Proj |           |                                                  |
| ect  |           |                                                  |
| Auth |           |                                                  |
| oriz |           |                                                  |
| atio |           |                                                  |
| n Su |           |                                                  |
| bpro |           |                                                  |
| cess |           |                                                  |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| 13   | Program   | The OSS Program Executive prepares a Project     |
|      | Executive | Authorization Letter (PAL) and submits it to the |
|      |           | Associate Administrator for Space Science for    |
|      |           | review and approval.                             |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| 14   |           | If the Associate Administrator for Space Science |
|      |           | approves and signs the PAL, proceed to Step #16. |
|      |           | If not, proceed to Step #15.                     |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| 15   | Program   | The OSS Program Executive modifies the PAL to    |
|      | Executive | satisfy issues identified by the Associate       |
|      |           | Administrator for Space Science and resubmits    |
|      |           | the modified PAL at Step #14.                    |
+------+-----------+--------------------------------------------------+
|      |           |                                                  |
+------+-----------+--------------------------------------------------+
| 16   | Program   | The OSS Program Executive sends the approved FAD |
|      | Executive | and the approved PAL to the Director of the      |
|      |           | designated NASA Center associated with the       |
|      |           | project.                                         |
+------+-----------+--------------------------------------------------+

**7. QUALITY RECORDS**

+---------------+--------+---------+---------+---------+-------------+
| **RECORD**    | **O    | **LOC   | **M     | **NPG   | *           |
|               | WNER** | ATION** | EDIA:** | 1       | *RETENTION/ |
| **IDE         |        |         |         | 441.1** | DI          |
| NTIFICATION** |        |         | **ELE   |         | SPOSITION** |
|               |        |         | CTRONIC | **S     |             |
|               |        |         | OR      | CHEDULE |             |
|               |        |         | HAR     | NUMBER  |             |
|               |        |         | DCOPY** | AND     |             |
|               |        |         |         | ITEM    |             |
|               |        |         |         | N       |             |
|               |        |         |         | UMBER** |             |
+---------------+--------+---------+---------+---------+-------------+
| Approved      | Sec    | OSS     | H       | S       | \*          |
| Formulation   | retary | Progr   | ardcopy | chedule | Permanent\* |
| Authorization | for    | ammatic |         | 7,      |             |
| Document      | OSS    | files   |         |         | Retire      |
| (FAD)         | Deputy |         |         | Item    | files by    |
|               | Ass    |         |         | 10A     | fiscal year |
|               | ociate |         |         |         | to FRC when |
|               | A      |         |         |         | no longer   |
|               | dminis |         |         |         | needed for  |
|               | trator |         |         |         | active      |
|               | for    |         |         |         | reference   |
|               | Pr     |         |         |         | or when 8   |
|               | ograms |         |         |         | years old,  |
|               | and    |         |         |         | whichever   |
|               | OSS    |         |         |         | is sooner.  |
|               | Exe    |         |         |         | Transfer to |
|               | cutive |         |         |         | NARA when   |
|               | Di     |         |         |         | 25 years    |
|               | rector |         |         |         | old.        |
|               | for    |         |         |         |             |
|               | S      |         |         |         |             |
|               | cience |         |         |         |             |
+---------------+--------+---------+---------+---------+-------------+
| Approved      | Sec    | OSS     | H       | S       | \*          |
| Program       | retary | Progr   | ardcopy | chedule | Permanent\* |
| Delegation    | for    | ammatic |         | 7,      |             |
| Letter (PDL)  | OSS    | files   |         |         | Retire to   |
|               | Deputy |         |         | Item    | FRC when 2  |
|               | Ass    |         |         | 5A3a    | years old.  |
|               | ociate |         |         |         | Transfer to |
|               | A      |         |         |         | NARA when   |
|               | dminis |         |         |         | 20 years    |
|               | trator |         |         |         | old.        |
|               | for    |         |         |         |             |
|               | Pr     |         |         |         |             |
|               | ograms |         |         |         |             |
|               | and    |         |         |         |             |
|               | OSS    |         |         |         |             |
|               | Exe    |         |         |         |             |
|               | cutive |         |         |         |             |
|               | Di     |         |         |         |             |
|               | rector |         |         |         |             |
|               | for    |         |         |         |             |
|               | S      |         |         |         |             |
|               | cience |         |         |         |             |
+---------------+--------+---------+---------+---------+-------------+
| Approved      | Sec    | OSS     | H       | S       | \*          |
| Project       | retary | Progr   | ardcopy | chedule | Permanent\* |
| Authorization | for    | ammatic |         | 7,      |             |
| Letter (PAL)  | OSS    | files   |         |         | Retire to   |
|               | Deputy |         |         | Item    | FRC when 2  |
|               | Ass    |         |         | 5A3a    | years old.  |
|               | ociate |         |         |         | Transfer to |
|               | A      |         |         |         | NARA when   |
|               | dminis |         |         |         | 20 years    |
|               | trator |         |         |         | old.        |
|               | for    |         |         |         |             |
|               | Pr     |         |         |         |             |
|               | ograms |         |         |         |             |
|               | and    |         |         |         |             |
|               | OSS    |         |         |         |             |
|               | Exe    |         |         |         |             |
|               | cutive |         |         |         |             |
|               | Di     |         |         |         |             |
|               | rector |         |         |         |             |
|               | for    |         |         |         |             |
|               | S      |         |         |         |             |
|               | cience |         |         |         |             |
+---------------+--------+---------+---------+---------+-------------+

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