NASA's Office of Space Science and

Applications: Process, Priorities and Goals

January 1992

NTIS order #PB92-152503
Office of Technology Assessment

Congressional Board of the 102d Congress

GEORGE E. BROWN, JR., California, Chairman

TED STEVENS, Alaska, Vice Chairman

Senate House

EDWARD M. KENNEDY JOHN 0. DINGELL

Massachusetts Michigan

ERNEST F. HOLLINGS CLARENCE E. MILLER

South Carolina Ohio

CLAIBORNE PELL DON SUNDQUIST

Rhode Island Tennessee

ORRIN G. HATCH AMO HOUGHTON

Utah New York

CHARLES E. GRASSLEY (Vacancy)

Iowa

JOHN H. GIBB0NS

(Nonvoting)

Advisory Council

CHASE N. PETERSON, Chairman

University of Utah

Salt Lake City, Utah

JOSHUA LEDERBERG, Vice Chairman -

Professor

Rockefeller University

New York, New York

CHARLES A. BOWSHER

Comptroller General of

the United States

Washington, D.C.

LEWIS M. BRANSCOMB

Director of Science, Technology &

Public Policy Program

Albert Pratt Public Service Professor

Harvard JFK School of Government

Cambridge, Massachusetts

MICHEL T. HALBOUTY

Chairman of the Board &

Chief Executive Officer

Michel T Halbouty Energy Co.

Houston, Texas

NEIL E. HARL

Professor

Department of Economics

Iowa State University

Ames, Iowa .

JAMES C. HUNT

Chancellor

Health Sciences Center

University of Tennessee

Memphis, Tennessee

HENRY KOFFLER

President Emeritus

University of Arizona

Tucson, Arizona

MAX LENNON

President

Clemson University

Clemson, South Carolina

JOSEPH E. ROSS

Director

Congressional Research Service

The Library of Congress

Washington, D.C.

JOHN F.M. SIMS

Vice President Marketing

Usibelli Coal Mine, Inc.

Fairbanks, Alaska

MARINA v.N. WHITMAN

Vice President & Group Executive

Public Affairs Staffs Group

General Motors Corporation

Detroit, Michigan

Director

JOHN H. GIBBONS

The views expressed in this background paper are not necessarily those of the Board,

OTA Advisory Council, or individual members thereof
BACKGROUND PAPER

NASA% Office of Space Science and Applications: Process, Priorities and Goals

Office of Technology Assessment

January 1992

Congress of the United States Office of Technology Assessment
Workshop on NASA's Office of Space Science and Applications:

Process, Priorities and Goals

John McElroy, Chair

Dean of Engineering

The University of Texas at Arlington

Arlington, TX

John Bahcall

Professor of Astrophysics

institute for Advanced Studies

Princeton, NJ

D. James Baker

President

Joint Oceanographic institute

Washington, DC

David Black

Director

Lunar & Planetary institute

Houston, TX

Ronald Brunner

Professor

Department of Political Science

University of Colorado

Boulder, CO

Claude R. Canizares

Professor

Center for Space Research

Massachusetts institute of Technology

Cambridge, MA

Harry C. Holloway

Deputy Dean

Health Science

Uniformed Services University

Bethesda, MD

Noel Hinners

Chief Scientist

Martin Marietta Civil

Space and Communications

Denver, CO

Louis J. Lanzerotti

DMTS

Bell Laboratories

Murray Hill, NJ

John Logsdon

Director

Space Policy institute

George Washington University

Washington, DC

Glenn Mason

Professor

Department of Physics

University of Maryland - College Park

Collage Park, MD

Marsha Neugebauer

Senior Scientist

Jet Propulsion Laboratory

Pasadena, CA

Simon Ostrach

Professor

Department of Mechanical Engineering

Case-Western Reserve University

Cleveland, OH

Eugene Parker

S. Chandrasekhar Dist. Service Professor

Departments of Physics, Astronomy

and Astrophysics

University of Chicago

Chicago, IL

Robert Smith

Historian

Department of Space History

National Air and Space Museum

Washington, DC

NOTE: OTAappreciates thevaiuabie assistance and thoughtful critiques provided bythe workshop

participants. The views expressed in this OTA background paper, however, are the sde responsibiiityof

the Office of Technology ltssessment. Participation in theworkshop does not imply endorsement of the

background paper.
NASA9

S Office of Space Science and Applications: Process, Priorities and Goals

Lionel S. Johns, Assistant Director, OTA

Energy, Materials, and International Security Division

Alan Shaw, Intenational Security and Commerce Program Manager

Ray A. Williamson, Project Director

Contractor

Ronald Konkel

Administrative Staff

Jacqueline Robinson Boykin

Madeline Gross

Louise Staley
Acknowledgments

This background paper has benefited from the advice of individuals from the Government and the

private sector. OTA especially would like to thank the following individuals for their assistance and support.

The views expressed in this paper, however, are the sole responsibility of the Office of Technology

Assessment.

Joseph Alexander

Assistant Associate Administrator

Space Science and Applications

NASA Headquarters

Washington, D.C.

Peter Banks

Dean

College of Engineering

University of Michigan

Ann Arbor, Ml

Daryl Chubin

Senior Associate

Office of Technology Assessment

Washington, D.C.

Thomas Moss

Dean of Graduate Studies and Research

Case Western Reserve University

Cleveland, OH

Joseph Kerwln

Program Manager

Manned Systems Programs

Lockheed Missiles and Space Company, Inc.

Houston, TX

Mark Settle

Manager of Exploration Resources

ARCO Exploration and

Production Technology

Piano, TX

George Siscoe

Professor

Department of Atmospheric Science

UCLA

Los Angeles, CA
NASA's Office of Space Science and Applications:

Process, Priorities and Goals

INTRODUCTION

This Background Paper summarizes a one-day workshop convened to assess the

effectiveness of the planning and priority-setting mechanisms used by NASA’s Office of

Space Science and Applications (OSSA) in carrying out its diverse scientific program. The

workshop was requested by the House Committee on Science, Space, and Technology, and

was structured to provide input to a study by the Committee’s Task Force on the Health of

U.S. Research. This examination of the NASA Space Science and Applications program is

one of several case studies by the task force.l

Workshop participants included a representative group of practicing scientists,

research administrators, and policy analysts who discussed how OSSA sets its goals, plans

its programs, and evaluates progress toward achieving goals and objectives. They also

discussed how OSSA responds to changes in the external environment that require

modification to its ongoing programs and to its long-term strategic planning. In addition ,

the workshop deliberations provided insight into current issues of OSSA program

management and of the difficulties facing NASA as it adjusts to an era of fiscal stringency

following a significant five-year expansion of the OSSA budget.

In preparation for the workshop, OTA developed a detailed set of issues pertaining

to OSSA’s planning, priority-setting, and performance assessment procedures for purposes

of focusing the workshop discussions. The issues were drafted to meet the general needs of

the broader House Task Force study while reflecting the specific characteristics of OSSA’s

scientific program. These issues were discussed by telephone with all of the invited

participants and modified to reflect suggestions for clarifications and additional topics

1 The Task Force is also examining, among others, fusion and mathematics research.
page 2 NASA’s Office of Space Science and Applications

(App. A). The agenda for the workshop followed the broad groupings of the issues list.

Prior to the workshop, OTA invited each participant to write a short (3 -5 pages)

response to selected issues. This brief summary of the workshop proceedings incorporates

material from the discussions at the workshop, from the participants’ issues papers, and

from the background materials provided to OTA by the Office of Space Science and

Applications. OTA has sought to make this summary useful for those who may not have

detailed specialized knowledge of the programs, plans and organization of NASA’s Office

of Space Science and Applications. OTA prepared an initial draft of this paper, which was

then sent to workshop participants and other knowledgeable individuals for review.
NASA’s Office of Space Science and Applications page 3

FINDINGS

Finding 1: The OSSA strategic planning process has proved effective in garnering

improved funding for space science projects because it has successfully involved a

broad cross section of the space science community in setting science priorities within

the scientific disciplines. Yet, in its planning for future projects, OSSA often fails to

be realistic about probable future budgets. OSSA also needs to find better

mechanisms for containing cost and schedule growth after projects are underway.

OSSA committees, composed of discipline specialists, set scientific priorities for

each discipline OSSA supports. OSSA has used the priority-setting process, in which

proposed projects are closely scrutinized by teams of scientists, to build a strong

constituency for its projects within the Administration and within Congress. As currently

structured, the process is geared to steady increases in funding, but has difficulty

responding to funding decreases. However, the Appropriations Committees’ Conference

Report for fiscal year 1992 limits NASA’s 1993 funding allocations to increases of no more

than 5 percent,2 which is much less than the increases OSSA has recently experienced.3

Hence, OSSA will have to adjust its planning and priority-setting processes accordingly.

OSSA could improve its priority-setting process by developing improved methods

for establishing priorities across disciplinary boundaries. This will not be easy because it

involves making judgments about the relative value of projects from widely different

fields. A report from the Space Studies Board of the National Academy of Sciences on

setting priorities in space research provides some guidance for such an effort.4 OSSA may

2 “The conferees concur in the Senate language enumerating a series of principles designed to adjust

NASA’s expectations and strategic planning to leaner budget allocations in the coming years.”

Conference Report on the 1992 Appropriations for the Veteran’s Administration, Housing and Urban

Development, and Independent Agencies, House of Representatives Report 102-226 (to accompany H.R.

2519), Sept. 27, 1991, p.54. The Senate language directs that “the agency should assume no more than 5

percent actual growth in fiscal year 1993”: Senate Report 102-107, July 11, 1991 (to accompany H.R.

2519), p. 130.

3 OSSA’s budget has doubled in real terms since fiscal year 1982.

4 National Academy of Sciences Space Studies Board, Task Group on Priorities in Space Research, Phase

1, Setting Priorities for Space Research: Opportunities and imperatives (Washington, DC: National

Academy Press, 1992).
page 4 NASA’s Office of Space Science and Applications

have to develop mechanisms for canceling or drastically reprogramming projects that show

signs of greatly overrunning their budgets, in order to maintain the scientific viability of

other projects in its portfolio.

OSSA may also wish to examine the experience of industry in organizing strategic

planning processes and in managing research and development assets. Although few

industrial methods would be directly applicable to NASA’s case, an examination of OSSA’s

processes by groups possessing expertise in “work process redesigns might prove beneficial

in leading OSSA to new approaches for more effectively managing OSSA’s considerable

fiscal and intellectual assets.

Finding 2: The OSSA process could benefit from improved mechanisms to provide more

systematic feedback to OSSA concerning the realism, flexibility, and success of

previous plans.

Each strategic plan could formally include information regarding the key

assumptions about resources available to OSSA and the amount of flexibility available if

budgets do not meet expectations. However, improvements in OSSA’s priority-setting

process and in its management of the space science budget might still be undercut by

instabilities caused by changes in the expected yearly NASA budgets, both within the

Administration and within Congress.

Because the available budget is such a key factor in the successful conclusion of a

project, Congress may wish to ask an independent institution to examine the historic

impacts on OSSA’s program of the annual fluctuations that result from changing

congressional appropriations and from internal NASA rebudgeting. Such a study could

also examine the consequences of launch delays, cost overruns, and under estimates for

spacecraft systems development, and provide guidance for future OSSA planning.

5 Methods used to analyze how a business practice is currently conducted, that also examine the

charactistics of the customers for the output of the process, and determines which steps in the process

add value or not.
NASA’s Office of Space Science and Applications page 5

Finding 3: The lack of flight opportunities for science missions is a major impediment to

maintaining high quality space science.

With the limited projected budget increases, more frequent access to space would

require funding more smaller missions. The smaller missions could

access to space for experimenters because they would not take as

expensive missions to execute. They could also be much more

allow more frequent

long as larger, more

effective in training

graduate students because, among other things, they might allow a student to follow a

project through from start to finish. Yet, in the yearly budget process, new starts for small

missions tend to receive as close scrutiny as the large missions. Hence, NASA tends to

expend nearly as much effort on them as on the larger ones. If Congress were to continue

to encourage the proposal of smaller missions, NASA would find it easier to include a

higher proportion of smaller missions in its mix of projects.6

Finding 4: Multidisciplinary projects, and those which serve both scientific and

engineering goals, face especially difficult hurdles in the competition for funding

within OSSA.

OSSA is responsible for microgravity research. It is also responsible for all of the

research and medical

scientific research are

applications to support human presence in space. Both areas of

multidisciplinary “laboratory sciences” and both depend upon, and

provide information and other support for, the space shuttle and space station programs.

Yet despite the fact that they serve both research and operational needs, these two

disciplines have difficulty competing with more traditional disciplines such as astronomy

and astrophysics, space physics, and planetary science. If NASA wishes to encourage these

6 In directing that NASA submit a strategic plan to the Senate Commitee on Appropriations, the

Committee directed that the plan “should emphasize a mix of small-, medium-, and large-sized missions”:

Senate Committee on Appropriations, Report 102-107 (to accompany H.R. 2519), July 11, 1991, p. 131.
page 6 NASA’S Office of Space Science and Applications

two multidisciplinary

adequately funded.

efforts, it will have to devote more effort to ensuring that they are

Finding 5: Congressional "earmarking" of funds for specific space science programs

projects undercuts scientists efforts to prioritize proposed space science projects,

adds to the skepticism scientists have developed regarding the authorization

appropriations processes within Congress.

and

and

and

Congressional earmarking for projects related to space science and space

applications is part of recent trends7 in federal funding of science and technology projects.

Several workshop participants expressed dismay about the practice, which they see as

counterproductive, since most earmarked projects have not undergone the intensive

scrutiny of projects that are part of the OSSA priority-setting process.

7 See the general discussion of the results of earmarking for science projects in Eliot Marshall, “Pork:

Washington’s Growth Industry,” Science, vol. 254, pp. 640-61, 1991.
NASA’S Office of Space Science and Applications page 7

WORKSHOP SUMMARY

Goal-Setting and Planning Process

OSSA has developed a well-structured process for generating its scientific program

that extends across the whole range of technical disciplines for which the office is

responsible (including astrophysics, earth sciences, planetary exploration, space physics,

microgravity research and life sciences). The OSSA system for establishing goals and

priorities has evolved over the life of NASA8 and involves both external scientific advisory

committees (e.g., the Space Studies Board (SSB) of the National Academy of Sciences

(NAS)) and internal advisory committees organized under the Space Sciences and

Applications Advisory Committee (SSAAC) of the NASA Advisory Council. OSSA has

established internal advisory groups to resolve scientific and programmatic issues at the

level of sub- disciplines of the major programs. OSSA also maintains working groups of

scientists involved in particular space flight missions. The NAS/SSB generally establishes

long-range strategies for the space science disciplines, while the internal advisory groups

participate more closely with OSSA’s near-term programmatic planning, including dealing

with the details of OSSA’s annual budget priorities and advising the Associate

Administrator on the conduct of the ongoing program. The SSB also makes retrospective

assessments of the performance of the major space science disciplines in relation to

previously established goals and objectives for the program.9

The workshop discussed a wide range of issues related to OSSA planning and

priority-setting. In general, the group agreed that the advisory committee process (both

member selection and involvement with OSSA) is effective in representing the interests of

8 For an account of the early days of selecting space science experiments at NASA, see John E. Naugle,

First Among Equals: The Selection of NASA Space Science Experiments, The NASA History Series

(Washington, D.C.: Government Printing Office 1991).

9 The Space Studies Board has recently completed a set of four such assessments. (See p. 26).
page 8 NASA’s Office of Space Science and Applications

those practicing most of the scientific disciplines. However, participants observed that

advisory committees tend to include relatively few younger scientists, that scientists who are

most successful in competing for flight opportunities and grants are those who get picked

for participation, which lends a certain degree of conservatism to these groups. On the

other hand, they also noted that the many OSSA science working groups provide

opportunities for younger investigators to become involved in the process and to establish

reputations at the subdisciplinary levels of the program.

The discussion returned repeatedly to the “diversity” of the OSSA scientific program

in several contexts. One participant remarked that the breadth and diversity of OSSA’s

scientific mission is not unlike that of the National Science Foundation. Several

participants also observed that the disciplines vary significantly in the maturity of the

specific fields of study and in terms of the broader national scientific communities in which

space science is embedded. To illustrate: OSSA is essentially the sole Federal supporter

for planetary research, a field that has grown substantially since NASA came into

existence.l0 It is also the sole supporter of microgravity research. In contrast, both NASA

and the NSF have significant programs in astronomy and astrophysics. In even greater

contrast, OSSA’s life science program is minuscule relative to the overall national effort in

biomedical research. This

significant implications for

disciplines.

programmatic diversity and difference in emphasis can have

science and mission planning for the various space science

Representatives of both the life science and microgravity programs expressed

concerns that their fields were presented with particularly difficult planning,program, and

funding issues because of the multi-faceted character of these programs, the relatively

incomplete understanding of these programs by representatives of the “traditional” space

10 The ability to make obsewations in situ or from close proximity has revolutionized pianetary research.

As a resuit, the field is much larger and has a much different character than it had prior to 1957 when the

Soviet Union iaunched the first spacecraft into orbit.
NASA’s Office of Space Science and Applications page 9

science disciplines, and the need to consider a range of engineering issues as well as basic

scientific considerations. For example, the life sciences must support space shuttle

operations and space station planning11 in addition to carrying out basic and applied

research in space. Microgravity research is not only directed to understanding how fluid

and physical-chemical transport phenomena are influenced by the unique low-gravity

environment of orbiting spacecraft, but also must provide assistance in developing

technologies crucial to operating in space and for industrial applications. Life sciences and

microgravity research are basically “laboratory” sciences that require quite different

protocols for their execution than do the traditional “observational” sciences. The close

coupling of these two disciplines with the operational needs of the space shuttle and space

station programs adds additional complexity to their planning for scientific objectives.

OSSA faces many complex choices in seeking to develop an integrated space science

program across its varied science disciplines. In general, scientists have been reluctant to

attempt to set priorities, within much less across, fields of science. One participant with

extensive experience in dealing with broad science policy issues commented that he had yet

to encounter a set of systematic scientific criteria for setting priorities for programs across

disciplinary boundaries, or for interdisciplinary research.12 Yet participants recognized that

each fiscal year OSSA must make priority and

another. 13

The discussions noted the difference

funding decisions that chose one area over

between “scientific” and “programmatic”

priorities. That is, OSSA must include in its deliberations a much broader set of issues and

concerns beyond scientific merit and must consider such factors as available funding,

11 It will also have to support space station operations in the future.

12 See Nationai Academy of Sciences Space Studies Board, Setting Priorities for Space Research:

Opportunities and Imperatives, op. cit.

13 One reviewer with experience in the private sector noted that strategic planning within a company is

focused on the management of assets the company is iikeiy to have at its disposai, whereas within OSSA,

strategic planning is more focused on external marketing. OSSA uses its strategic pianning process to

determine how and when to present proposed missions to the Office of Management and Budget and to
page 10 NASA's Office of Space Science and Applications

mission costs, technology readiness, possible Congressional interest, and the need to

maintain “vitality” across all of the supported disciplines. Even recognizing the difficulties,

some participants expressed concern that scientific priorities are not given enough weight

in OSSA’s current priority-setting process for new missions. A reviewer later commented

that OSSA places undue emphasis on giving each discipline its

independent of the comparative merit of the proposed research.

A related issue concerns how OSSA priorities and strategic

“turn” for a new start

plans are (or ought to

be) integrated into the broader strategic planning for NASA for the overall civilian space

program, and for the national science and technology effort as a whole. One participant

asked how closely coupled is priority setting for space science to priority setting for science

funding as a whole? Do the funds allocated to science done in space accurately reflect the

priority within the research enterprise overall?14 Several participants observed that in

principle it is highly desirable to raise such questions and to seek an integration of space

science priorities first within NASA and second, within the whole of federally supported

research. Because NASA has developed no overall strategic plan, the workshop felt that

offering suggestions about how to accomplish such an integration would be premature.15

OSSA's Annual Strategic Plans

Since 1988, OSSA has published an annual Strategic Plan that covers the full range

of science and applications programs for which the office has responsibility. The OSSA

Strategic Plan is worthy of close inspection for several reasons. First, the plan is unusually

Congress. Hence, the process tends not to be used to control the rate and size of the resources to

different disciplines, as it would in industry. In other words, the mission planning activities within the

disciplines determine the framework and priorities of the strategic planning process.

14 In fiscal year 1991, for example, NASA was the fourth largest Federal patron of basic research, after the

National Institutes of Health, the National Science Foundation, and the Department of Energy.

15 Congress has asked NASA to submit a strategic plan to Congress concurrently with the fiscal year 1993

budget submission.
NASA’s Office of Space Science and Applications page 11

explicit about the criteria, or decision rules, that OSSA will use in establishing priorities in

the actual budgetary implementation of the strategic directions defined in the planning

process (Box A). At the initiation of the strategic planning process in 1988, OSSA’s

Associate Administrator made it clear to the division directors who represent the

competing science disciplines that “...if it isn’t in the plan it won’t be in the budget.”16 The

effect of this approach has been to reinforce the importance of lower-level strategic

planning throughout the OSSA organization. Second, OSSA’s strategic planning is tightly

coupled with the programming and budgetary cycles that determine what projects are

finally approved as the result of the external budget review process involving the NASA

Administrator, the Office of Management and Budget, and the four Congressional

Committees with cognizance over OSSA programs. The extent of this “coupling” to the

ongoing decision processes of OSSA can be seen in Figure 1. Third, the OSSA Strategic

Plan can be interpreted as an attempt to bring rational decisionmaking to the highly

complex and disorderly resource allocation mechanisms of the Federal budgetary process.

As one participant in the OTA workshop expressed it, “Based on the rarity of good strategic

planning and management across government, industry and academia, my guess is that one

is looking at the zenith of strategic planning in government.”

16 On the other hand, the presence of a project in the OSSA plan does not necessarily guarantee that it

will be funded.
page 12 NASA’s Office of Space Science and Applications

L

20

3.

4.

50

Box A. -- Decision Rules for OSSA Programs (1989-$91 Strategic Plans)

Complete the ongoing program. Completing the ongoing program always

has the highest priority; resources allocated to those programs already underway

will not be sacrificed or postponed in order to pursue new starts.

Initiate a major or moderate mission each year. Major missions preserve

and enhance U.S. leadership in key areas of space science and applications, and

we will pursue major missions whenever available resources allow us to do so. If

an assessment of foreseeable expenditures for candidate missions, over both the

near term and the lifetime of the program, indicates that our resources do not

permit a major mission, we will seek to pursue a moderate mission.

Initiate small missions in addition to major or moderate missions.

We endeavor to start a small mission or a small mission program every year, in

conjunction with either a major or moderate mission.

Move aggressively, but sensibly, to build science instruments for

Space Station Freedom. S.S. Freedom initiatives are determined by the pace

and balance of the scientific disciplines involved, relevance to and compatibility

with Freedom Station capabilities and schedule, and technological maturity of the

initiative. We will move forward systematically to provide a complete set of fully

developed facilities and instrumentation for Space Station Freedom.

Research base augmentations will be sought whenever they are

warranted. They are determined by the impact of b&h the external environment

and other elements of the OSSA program on discipline stability, progress, and

future needs. Provisions for meeting the long-term requirements for an adequate

scientific work force and assuring access to the scientific data base from past

missions are particularly critical.

SOURCE: National Aeronautics and Space Administration, Office of Space Science and

Applications, Strategic Plan 1991 (Washington, DC: National Aeronautics and

Space Administration, 1991).

How did OTA workshop participants assess the annual OSSA strategic plans? One

participant suggested that the appropriate criteria for making such an assessment should

include: (1) the realism of the plan within the probable available funding and competing

external priorities; (2) the flexibility of the plan to adjust to changes in the environment
Figure I.--Annual Strategic Planning and Budgeting Cycle

(Winter)

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Rogtammalk I N

Rectmrnendabne h$dine Plan

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NASA Offiis Requeat .

and Plioritks I

(Fall)

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(Summer)

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SOURCE: National Aeronautics and Space Administration
NASA’s Office of Space Science and Applications page 13

external to OSSA (either within NASA or within other parts of the Federal Government);

and (3) the effectiveness of the feedback mechanisms to assure that planning takes account

of what has already happened. This workshop summary touches briefly on each of these

considerations:

o Successes of the OSSA Strategic Plan -- How successful is the OSSA plan? Workshop

participants expressed broad agreement that the plans had been instrumental in

increasing the space science budget, which has doubled in real terms since FY1982.

At the same time, they felt that large budgets do not alone assure an effective

program of scientific research. In particular, workshop participants expressed

concerns about the internal balance of the OSSA program with respect to “research

and analysis” and “flight project” support, as well as the balance between large space

flight projects and smaller missions. Some participants particularly decried the

movement toward funding a higher percentage of large-scale, long-duration

missions, with the concomitant shift in the role of science investigators from being

directly involved in instrument design and experimentation toward data analysis and

interpretation. 17 Others, however, viewed this trend as a consequence of increased

maturity and knowledge in several space science fields. This shift was seen as

particularly harmful in its effects on educating future space scientists who now have

fewer opportunities for direct involvement in the design and fabrication of

spacecraft instrumentation, and the development of experiments.18 Furthermore,

the larger, more complex spacecraft may favor scientists at NASA centers over those

employed in academic institutions.

17 This shift parallels a similar shift in the science community as a whole. See, for example, Herbert

Friedman, “Big Science vs. Little Science: The Controversy Mounts,” Cosmos, vol. 1, no. 1, 1991, pp. 8-

14.

18 The shift to ever-larger projects, with the “’piling on’ of research objectives, as well as researchers, in

order to strengthen fiscal justification” was aiso noted in: Adviso~ Committee on the Future of the U.S.

Space Program, Report of the Advisory Committee on the Future of the U.S. Space Program

(Washington, DC: U.S. Government Printing Office, December 1990), p. 26.
page 14 NASA’s Office of Space Science and Applications

Workshop participants differed in their interpretations of the realism of OSSA’s

strategic planning in terms of overall funding expectations. Some considered that

OSSA’s past funding expectations have been unrealistic and that the commitment to

so many large-scale missions in recent years was highly risky given the overall

outlook for the Federal budget and the relatively great impact that cost escalation of

large projects would have on the OSSA budget.

require large on-going budgets for operations.19

supportive view of OSSA’s approach, suggesting

In addition, large projects often

Other participants took a more

in effect that instituting a more

conservative plan would lead inevitably to fewer resources for OSSA. To

paraphrase one participant, in the real world the predictable outcome of a

“restrained” budget request is a “more-restrained” program.

Several participants challenged OSSA’s current stance of giving highest priority

to “completing the ongoing program,” on grounds that those projects that vastly

exceed their costs and schedules adversely affect the progress of other OSSA

projects. In their view, such projects should be canceled to enforce cost-discipline

on hardware contractors and project management teams. Other participants noted

the impacts that these actions would have on the affected science teams and the

practical political and other difficulties NASA would face in canceling ongoing large

projects with large “sunk costs.”2° This discussion reflects the considerable

frustration workshop participants face in dealing with delays caused by problems in

other projects. No one had a clear solution to the dilemma cost overruns cause, but

noted that cancellation must occur relatively early in the program if it is to be

effective in reducing the adverse effects on other projects.

19 For example, operating the Hubble space telescope requires about $200 million per year.

20 In this regard, one reviewer noted the “conservative feedback pressure of contractors and their political

support,” which tends to keep funded programs in place regardless of cost overruns.
NASA’s Office of Space Science and Applications page 15

One participant indicated that he accepted the invitation to the workshop to carry

a single message: “OSSA’s planning queue is too long.” To state simply his concerns,

and those of other participants, the long planning queue sets up the potential for

waste, not only of scarce financial resources, but also of scientists’ time (in preparing

and reviewing proposals). Dragging out projects interminably also lowers the

morale of science investigators and extracts an opportunity cost by distracting them

from seeking other career alternatives. This is especially debilitating if new missions

have a low probability of being implemented. Participants offered no explicit

suggestions of how OSSA should address this specific concern nor of the implicit

problem of whether entire fields or subdiscipline in the program might have to be

abandoned if the prospects for near-term missions become unfavorable.

o Flexibility and Feedback -- The recent shifts in the long-term funding assumptions for

NASA and OSSA as a result of the Congressional decisions on the FY1992 budget

present an opportunity to consider both the flexibility implicit in prior-year planning

and budgeting for OSSA and the ability of OSSA’s longer-term strategic planning to

accommodate drastic changes in the external environment affecting the space

science program. The material provided for the workshop participants by OSSA

included briefing charts on the outcome of OSSA’s August 1991 Woods Hole

Planning Workshop, convened to reconsider the assumptions of the previous three

strategic plans and to develop the basis for the 1992 Strategic Plan (App. B).21

The Woods Hole Workshop provided an opportunity for selected members of the

scientific community to reassess the fundamental program and planning directions

OSSA had been following during the first three years of strategic planning.22 The

21 The OTA Workshop Chairman and several other participants attended the Woods Hole meeting.

22 The conference was billed as the ‘First Triennial Review of OSSA Division Strategies and Proposed

Mission Queues.”
page 16 NASA’s Office of Space Science and Applications

workshop also reexamined the structural elements of OSSA’s “core” science

program and updated the “decision rules” used to establish priorities across the

OSSA program (Box B). Finally, the workshop made a first cut at developing a

revised set of priorities and a new mission queue. This final objective resulted

directly from reduced expectations for growth of the OSSA budget. As a result of

congressional decisions as reflected in the fiscal year 1992 appropriation,23 OSSA

revised its long-term budgetary growth assumptions downward from the previous 10

percent real growth to 5 percent real growth beyond FY1992. The outcome of this

process resulted in shifting the emphasis of the strategic plan in the near-term

toward moderate and small missions and in reordering the long-term queue for

more ambitious missions, now relabeled as “Flagship” missions (see App. B).

23 Senate Committee on Appropriations, Subcommittee on Veteran’s Administration, Housing and Urban

Development, and independent Agencies Committees, Appropriations, Report 102-107, July 11, 1991, p.

130.
NASA’s Office of Space Science and Applications page 17

Box B. -- Decision Rules for OSSA Programs (Decision Rules Discussed At

Woods Hole for 1992 Strategic Plan)

Recommended Decision Rules

In Priority Order:

o Complete the Ongoing Program

o Provide Frequent Access to Space for Each Discipline Through New and

Expanded Programs of “Small Innovative Missions”

o Initiate Mix of “intermediate/Modeiate Profile” Missions to Ensure a

Continuous and Balanced Stream of Scientific Results

o Initiate “Flagship” Missions that Provide Scientific Leadership and have

Broad Public Appeal

o Invest in the Future by Increasing the Research Base to Improve Program

Vitality and by Developing Needed Future Technologies

o Build and Utilize Scientific Instrumentation for Space Station Freedom and

Conduct a Spacelab Flight Program in a Manner Consistent with the

Space Station Freedom Development Schedule

SOURCE: National Aeronautics and Space Administration, Office of Space Science and

Applications, “The Basis for the Plan.” Briefing charts to explain the process and

outcomes of the Space Science and Applications Advisory Committee Strategic

Planning Workshop, Woods Hole, July 29- August 2, 1991.

The OTA Workshop’s discussion of the outcome of the Woods Hole Workshop

raised a number of issues concerning OSSA’s planning and its responsiveness to the

changed budgetary environment. One participant who had attended the Woods

Hole meeting noted that it followed from a major shift in external conditions that

required a careful reconsideration of OSSA’s overall strategies. Participants in the

OTA Workshop, however, disagreed whether such a basic reorientation of the

program had in fact occurred. One commented that the revised mission queue --
page18 NASA’s Office of Space Science and Applications

while reordering and delaying the major missions - appeared fully as ambitious as

the queue it replaced.24 Several observers expressed concern over the reordering of

the mission queue and over the means used to establish revised mission priorities

within specific science disciplines. They stressed the point that the revised priorities

were not based on an assessment of “scientific merit” but rather a general

assessment of programmatic and other nonscientific concerns. Others countered

that SSAAC was attempting to assess cross-disciplinary program priorities,

necessitating a broader range of considerations beyond scientific merit. In the latter

view, the “process” at Woods Hole had a successful conclusion.

However, one could argue about particular “outcomes.” The only general

conclusions one might readily draw from this discussion were: (1) that OSSA had

initiated a process of consultation with the affected scientific communities in

response to congressional cuts to the President’s proposed budget; (2) that

establishing priorities for backing off (e.g., budget, scope, and timetable) from the

previous “growth-oriented” plan is inherently difficult, in part because of the

expectations built up in previous successful planning efforts; (3) that maintaining

“consensus” among OSSA’s diverse community will be much more difficult in a

constrained budgetary environment; and (4) that OSSA made a deliberate, yet not

totally convincing, effort to scale back its assumptions regarding budget growth in

formulating its new strategic plan.

Assessment of Process and Program Outcomes

Workshop participants generally agreed that OSSA has an effective process for

involving its diverse communities in goal-setting, strategic planning and priority-setting

24 Several participants also commented that the Woods Hole plan dropped the Orbiting Solar Laboratory,

which had been on the priority list, and added a new mission - one to the planet Pluto -- which had not

been part of the earlier OSSA planning efforts.
NASA’s Off/cc of Space Science and Applications page 19

within disparate scientific disciplines. There was a weaker consensus on whether the

overall process is successful and, indeed, on how such success should be measured. To pick

up on the point made in the previous section, the process may be successfull in terms of

involving the space science community, but the outcomes in terms of program performance

are much less successful. A recurring theme in many of the participants’ discussion was the

perceived past emphasis of OSSA planning on large complex flight projects25 with the

attendant potential problems of cost overruns, budgetary uncertainties, schedule delays,

and consequent disruptions of other ongoing OSSA activities, including the conduct of

scientific research.

Participants were especially outspoken about the “wasteful” effects of long delayed

flight missions and of NASA’S inability to assure access to space on a predictable basis.

The lack of flight opportunities leads to a serious loss of scientific productivity among

researchers who find that their space experiments take a decade or more to accomplish.26

In the university community, it also impedes the training of graduate students. These

concerns have been pointed out in a number of previous studies.27 Several participants also

pointed out that as a result of the length of time it takes to complete most NASA science

missions, timely followup of scientific results becomes extremely difficult. In addition,

some of the technologies used in the spacecraft become obsolete before the spacecraft is

able to fly. The delays in the Advanced X-Ray Astrophysics Facility (AXAF) and in the

initiation of the Space Infra Red Telescope Facility (SIRTF) were cited as examples of

failures to provide for timely followup to earlier space achievements.28

25 Most of the large projects now under development date from initial pJanning carried out in the 1970s.

26 Researchers may spend as much as a decade on a project only to have their mission canceiied.

Participants cited the U.S. satellite for the International Solar Polar Mission (now renamed Ulysses) and

the Orbiting Solar Laboratory as examples.

27 See, for example, NASA Advisory Council, The Crkls h Space and Earth Science: A Thne for a New

Commitment (Washington, D.C.: National Aeronautics and Space Administration, November 1986).

28 These delays are in large part the resuit of the size and complexity of these spacecraft. Europe and

Japan are able to follow up now with Astro-A and Roengten satellites because they are much simpier

spacecraft in less costiy programs.
page 20 NASA's Office of Space Science and Applications

Although the discussion of the issue of large projects was never sharply focused,

several participants suggested that this problem might be systemic in the current program

approval process, which places such heavy emphasis on the justification and approval of

“new starts.” One participant commented that one of the most satisfying results of the

recent OSSA strategic planning process was that it had avoided the earlier process of

annual “shoot-outs” among new flight projects vying for approval as OSSA’s highest priority

for a new start. In effect the Associate Administrator and his staff themselves generated a

Strategic Plan on the basis of the highest priority objectives that had risen to the top of

each discipline through the advisory process. However, that same workshop participant

also voiced concern that the “shoot-out” phenomenon returned at Woods Hole, as the

result in part of the constrained future budgets under which the program now has to

operate. Another participant suggested that the tendency toward very large flight projects

derives-in part from the approval procedures of OMB and the Congress, which make it

nearly as difficult to obtain approval of a small or moderate mission as to gain approval for

what are now being called flagship opportunities. He described the situation as a “big

mission trap.” In review, a workshop participant noted that large missions maybe easier to

sell within the Administration and in Congress because they engage a larger group of

interests and so can mobilize greater political support.29 The OTA workshop neither

reached a strong consensus that this was a correct diagnosis of “the problem” nor made

specific suggestions as to how those incentives that now encourage the initiation of large

missions might be overcome.

The workshop did not distinguish whether the problems of project delays and

inefficiencies result from a failure of the planning process or from ineffective program

29 Note, for example, the broad range of interests represented in the Hubble Space Telescope. See the

discussion in Robert Smith, The Space ~e/escope (Baltimore, MD: Johns Hopkins University Press,

1989).
NASA’s Office of Space Science and Applications page 21

management and the disruptions caused by instabilities and uncertainties in the annual

budget process. Participants also expressed the view that Congressional

“micromanagement” of NASA’s science program and the resulting “fits and starts” were

undesirable; they override or derail stable strategic planning efforts. One reviewer later

suggested that both factors contributed to project delays, and pointed out that a lack of

attention to technology development across the agency may make new spacecraft more

risky and more expensive to develop than they should be.30 The Woods Hole Planning

Workshop placed highest priority over the next several years on completing the approved

program, providing frequent access to space for each discipline through new and expanded

programs of “small innovative missions,” and initiating small and intermediate missions. 

Issues, Concerns and Suggestions for Improvements

The workshop canvassed a wide range of issues and concerns about the effectiveness

of the current OSSA program. The following paragraphs highlight a number of the

recurring themes heard in the discussions.

o The OSSA Plan and the Federal Budget Process -- There was clearly a concern among

many participants about a perceived “mismatch” or “disjuncture” between the carefully

constructed strategic plans developed for the space science disciplines and the actual

outcomes of the program. Some of these themes have been noted in earlier sections of

this report. The Federal budgeting process is a major source of concern. On the one

hand, scientists are encouraged to pursue a systematic process of developing rational

plans for achieving scientific objectives and to seek better techniques for setting

priorities across scientific disciplines. On the other hand, the current budgeting system

30 The recent problems NASA has experienced in building the GOES-Next satellite for NOAA illustrates the

negative effects of too little attention to technology development. NASA had “decided to forgo normal

design definition studies and move directly from concept to hardware design and development”: James

R. Asker, Aviation Week and Space Technology, July 15, 1991, p. 23.
page 22 NASA's Office of Space Science and Applications

does not provide the long-term funding stability required to carry out efficiently a

program of scientific investigations that must necessarily extend over many years. The

time-frames of OSSA projects may extend to a decade or more. One participant,

reflecting his extensive experience on Capitol Hill, commented wryly that “...the budget

process gets redone every year, but takes three years; each year it is done over; NASA

is not unique.” No one suggested that the situation on the budget would improve any

time soon. In fact, the record deficit of fiscal year 1992 has underscored the likelihood

that funding for the discretionary part of the Federal budget will remain highly

constrained for years.

o Earmarking of funds -- A related issue is that of “earmarking” of funds for specific

programs and projects in the appropriations process. Several participants observed

that such practices run counter to Congress’s own stated objectives of improving the

effectiveness and efficiency of science programs. Earmarking also tends to foster

cynicism and unhealthy rivalry within and among scientific disciplines, and suggests to

scientists that their efforts to rank the importance of projects go unrecognized. One

observer noted that scientists share in the responsibility for the increases in earmarking

of science-related programs by exerting political pressure for their specific projects and

activities. 31

o Program Management -- Throughout the workshop, participants reflected on

NASA’s program management practices and their effects on the productivity and

effectiveness of the scientific program. As noted previously, one area of great concern

is related to “access to space” and the tendency for space flight missions to be

stretched-out and delayed.32 One participant observed that he had been involved in

31 For a broader perspective of earmarking, see the discussion in U.S. Congress, Office of Technology

Assessment, OTA-SET-490, Federalfy Funded Research: Decisions fora Decade (Washington, D. C.: U.S.

Government Ptinting Office, 1991) pp. 86-93.

32 This concern was also noted in the report prepared by the NASA Advisory Council: The Crisis in Space

and Earfh Science: A Time for a New Cmmnitmmt (VVashinatnn. DC: National Atwnnaltiim and Snare
NASA’s Office of Space Science and Applications page 23

the program since the 1960’s and that he has now adopted the motto “fly before I die.”

The concern over stretch-outs is not only related to its effects on the science

productivity of the directly-involved investigators. Of equal concern is what might be

called the “domino effect” in which projects experiencing cost overruns (sometimes

concurrently with budget cuts) cause the schedules of other projects to slip in order to

maintain overall budget ceilings. Scientists are particularly indignant when such effects

extend to reprogramming of funding for data analysis from past and on-going missions

.

and for ground-based research, which are seen as particularly vulnerable to such

disruptions and sensitive in terms of overall scientific productivity. Although not

explicitly discussed at the workshop, one contributed paper from a university research

administrator (who could not attend but sent comments for the workshop) described a

“portfolio approach” to research management that might be used as one means of

shielding the smaller non-project-related research from the disruptions caused by flight

project overruns. With this approach, the emerging, interdisciplinary, or smaller

projects would not have to compete directly with large-scale projects, but, instead

would be provided for in a separate allocation that is set aside specifically for them

either as a percentage of the total program or as a dollar level that cannot be raided to

support large programs.=

o Technical and Program Risks -- Some participants expressed concerns that NASA’s

program management practices have become more conservative and risk-averse in

recent years. The Challenger accident was cited to explain the shift, but some

participants noted that a desire for “risk-free” approaches has also permeated OSSA’s

quality control procedures for projects that do not require “crew-rated” levels of quality

Administration, November 1986).

33 See %deralfy Funded Research: Decisions for a Decade, op. cit., ch. 5, for a broader discussion of

this approach.
page 24 NASA’s Office of Space Science and Alpplications

assurance. The implementation of such procedures were described as overlybureaucratic, inflexible, and even counterproductive at times. One participant cited

the example of a small satellite project in which individual electronic components were

given detailed laboratory testing but could not be properly tested on a systems level

because of schedule delays and increased costs incurred at the component level. One

participant summed up the general concern very succinctly as follows: “we need to

separate the desire for ‘no risk’ from the issue of whether present approaches can

.

deliver it.” The workshop offered few specific suggestions on what might be done to

reverse a drift toward more conservative program management, since it is deeply

embedded in the NASA organizational culture. NASA project managers

professional risk in making serious technical errors but relatively little reward

time or money in the conduct of a complex and inherently risky project.

see high

in saving

Several

participants offered the view that shifting toward the launch of smaller, more focused

scientific projects should make project managers somewhat less risk-averse because

there would be less riding on any one mission. One workshop member stressed that

NASA’s problems of program/project management are not unique; other Federal

agencies with high technology programs experience similar problems of overpromising,

underperformance, and turmoil resulting from the Federal budget process. Finally, it

was observed that the recommendations of the “Hearth Report”34 on NASA

program/project management still apply and should be heeded.

o Coordination Improvements - Participants raised a number of issues concerning the

need for improved coordination both within OSSA and in the outside organizations

that interact with OSSA Within OSSA “interdisciplinary” research faces very difficult

34 Donald P. Hearth, “Notes on Conclusions and Recommendations to Accompany Briefing Charts on

NASA Project Management Study,” NASA History Office, 1979; Donald P. Hearth, “Project Management

in NASA: 1980 and Today.” In Issues in NASA Program and Project Management, National Aeronautics

and Space Administration, Spring 1991, pp. 5-10.
NASA’s Office of Space Science and Applications page 25

hurdles when it crosses OSSA divisions (there is a tendency for one division to

hope/expect that the other one will provide for the effort). The same is true for

disciplinary research that does not fit within the traditional space science disciplines

(e.g., the Gravity-Probe B project35). Also cited was a concern over the efficacy of

coordination on technology development issues between OSSA and the Office of

Aeronautics and Space Technology;36 similar concerns were expressed with respect to

the coordination (and potential for duplication) with the Office of Commercial

Programs. Also mentioned were the difficulties in coordinating programs between

OSSA and other Federal agencies (especially NOAA); it was noted that such problems

have counterparts in the budget-examining divisions at OMB and in the various

Committees of the Congress. The workshop made no concrete suggestions for

overcoming these difficult and persistent issues affecting programs that cross

organizational boundaries.

o The Life Sciences Program -- One reviewer suggested that placing most life sciences

research in the Office of Exploration rather than in OSSA, as recommended by the

Advisory Committee on the Future of the U.S. Space Program,37 would remove it from

competition with other space science projects and might improve its chances for

funding. The Advisory Committee Report argues that because solving the practical

issues of supporting human life in space will be crucial to successful long-term human

spaceflight, it would fare better in the Office of Exploration. On the other hand, the

Office of Exploration might not be well-equipped to treat the basic science aspects of

the life sciences.

35 For a description of this project, see Ann Gibbons, “Putting Einstein to the Test--in Space,” Science, vol.

254, NOV. 15, 1991, pp. 239-41.

36 One reviewer pointed out that OSSA was aware of the problem and had taken steps to improve

coordination.

37 Advisory Committee on the Future of the U.S. Space Program, Repoti of the Advkoy Committee on

the Future of the U.S. Space Program (Washington, DC: U.S. Government Printing Office, December

1990), p. 32.
page 26 NASA’s Office of Space Science and Applications

o Retrospective Evaluations -- One workshop member suggested that the planning

process could be improved if OSSA encouraged formalized retrospective evaluations

of the results of previous plans. More “hard data” for participating scientists on how

well previous plans have fared would at a minimum provide a more informed basis for

debates on the content and internal balance of future OSSA strategic plans. The use of

such feedback mechanisms would inject more realism and flexibility in OSSA’s

strategic planning. 38 OSSA could contract with an independent institution for the

collection and analysis of retrospective data and the preparation of a report.

Space Studies Board Assessments

Although they were not explicitly discussed at the OTA Workshop, we briefly note

the contents of four “assessment” reports on space research activities prepared at the

request of the Chairman of the Space Studies Board of the National Research Council.

These reports are highly relevant to the work of the House Task Force on the Health of

Research. The reports focus on solar and space physics, solar system exploration, space

biology and medicine and satellite earth observations -- four major components of the .

OSSA program.39 OSSA’s Astrophysics program was not addressed in the series because it

had recently been reviewed by the National Research Council’s Astronomy and

Astrophysics Survey Committee,40 Microgravity research was also not reviewed because

the Space Studies Board is currently developing a research strategy for this discipline.

38 See FWera//y Fund~ Research: Decisions fora Decade, op. cit., ch. 8, for the general need to provide

such data for federally funded research.

39 Nationai Academy of Sciences Space Studies Board, Assessment of Programs In So/ar and Space

Physics 1991; Assessment of Solar System Exploration Programs 1991; Assessment of Programs in

Space Biology and Medicine 1991; and Assessment of Satelllte Earth Observation Programs 1991

(Washington, DC: Nationai Academy Press, 1991).

40 Nationai Research Councii, The Decade of f)iscove~in Astronomy andAs&ophysics (Washington, DC:

Nationai Academy Press, 1991).
NASA’s Office of Space Science and Applications page 27

These reports, completed during 1991, were undertaken in order to assess the

current status of each of the major space research disciplines and to “review the responses

of the National Aeronautics and Space Administration and other relevant Federal agencies

to the Board’s past recommendations.” The reports provide additional information for the

assessment of OSSA’s priority setting process. Other government-sponsored research

programs might benefit from similar independent assessments at periodic intervals. The

very existence of such reports says a

.

research community addresses the

program effectiveness.

great deal about the seriousness with which the space

major issues of goal-setting, strategic planning and

Summing Up

The procedures and institutional arrangements that OSSA uses to set goals, review

progress, and establish scientific and programmatic priorities are in many ways exemplary;

other agencies could benefit from emulating them. It is particularly notable how deeply the

OSSA \internal advisory committees are involved in the ongoing management

deliberations on agency programs and budgets. OSSA has also been highly sensitive to

recent changes in what NASA might expect in terms of budget support, as reflected in the

Woods Hole planning workshop of this past summer.

Good planning and priority systems within OSSA are,

ultimate program success. The existing planning process has

however, no guarantee of

been based on what some

workshop participants term “success-oriented planning,” i.e., planning that assumes the

ability to complete projects at a faster rate than likely, given previous experience. Planning

must anticipate the uncertainties of future OSSA budgets, available launch opportunities,

and expected stretch-outs of large projects.41 Thus, OSSA’s priority-setting process has not

41 See Eliot Marshall, ‘X-Ray Astronomy: The Unkindest Cut,” Science, vol. 254, pp. 508-510, for an

account of some of the uncertainties space scientists experience in completing a large project.
page 28 NASA’s Office of Space Science and Applications

guaranteed overall success within NASA. At the same time that the process has been

successful in garnering increased funding for OSSA’s programs, it has raised expectations

among project scientists that cannot be fulfilled. Participants in the OTA workshop were

generally concerned about the future health of OSSA The missions now in the queue as a

result of the Woods Hole workshop require greater growth in the OSSA budget than

workshop participants felt was feasible given the extraordinary pressures on the

discretionary portion of the Federal budget.42

.

The recent stresses from the budget, and the high expectations of OSSA’s diverse

science communities based on previous OSSA strategic planning and funding successes,

will continue to present a major challenge to OSSA’s managerial and intellectual resources.

Future efforts should consider how to make the planning process more resilient, and how

to enable it to take sufficient account of the variety of pressures on NASA’s budget and

other internal and external priorities.43

Several members of the workshop, as well as outside reviewers, also commented on

the fact that good planning ultimately depends on the assumption of follow-through on the

budget after Congress approves a new start. Budget stability is a very important

component of the process. One reviewer pointed out that the annual budget fluctuations

that occur in response to changing congressional appropriations or to internal NASA

rebudgeting are likely to have a major effect on the efficacy of OSSA’s planning. The

reviewer suggested that a detailed study of these effects over the last decade of OSSA plans

could provide valuable insights for the Task Force.

Because this workshop was convened to assess the OSSA planning process, it gave

very little attention to international efforts in space science. Yet what other countries have

42 Yet several reviewers noted that it was difficult to make significant changes in the outcomes of the

process because of the entrenched interests within the scientific disciplines, which tend to be wellorganized and which have a relatively sophisticated understanding of the federal political process.

43 One participant, commenting later, wondered whether space scientists really had the will to change the

system, given that they have largely benefitted from the process as it stands.
NASA’s Office of Space Science and Applications page 29

already accomplished in space science and their future plans affect the U.S. planning

process, if only indirectly. In particular, political considerations, inherent in many

international cooperative projects, may skew the science priorities and either cause a

project to be continued despite a relatively low scientific ranking, or to be canceled even

though it ranks high scientifically. Constrained budgets for space science have led to an

increasing interest in greater international cooperation on a variety of space science

projects. How foreign space science projects and cooperative projects affect OSSA

planning should therefore be given full attention.
Appendix A. -- Assessment Issues

Workshop on NASA’s Office of Space Science and Applications:

Process, Priorities and Goals

OTA developed the following set of broad issues in order to help workshop participants focus on

process, plans, outcomes, and possible improvements. Although the issues are broadly stated, the

discussion of them necessarily focused on specific examples.

Goal-Setting and Planning Process

The Task Force is particularly interested in how OSSA establishes its long-term goals and

objectives, and the process by which OSSA assesses the current state of knowledge (and technology) with

respect to future space missions and the potential contributions of these activities to the advancement of

knowledge. It is also interested in how the results of the process are circulated among the communities

and how frequently the assessments are made.

1. How are participants in the planning process selected? Are they representative of the scientific and

technical disciplines involved? Is the process an open one in the sense that young investigators

and emerging fields of science are provided an opportunity to compete for resources and priority

with established activities and investigators?

2. To what extent are long-term goals and objectives driven by basic scientific issues and the state of

knowledge in particular fields and disciplines? To what extent do extra-scientific issues and

considerations affect the overall scope and direction of the program?

3. How do the above considerations vary across the diverse scientific disciplines that comprise the

space science program (e.g., astrophysics, planetary exploration, space physics, earth science,

microgravity)? Do all disciplines within OSSA have a structured planning process and published

long-term scientific strategies? (Cite examples of particularly good or weak areas.)

4. How are cross-disciplinary priorities and issues addressed in establishing the overall direction of

the space science program? How effectively do emerging disciplines and smaller scientific

communities (e.g., microgravity, life sciences) compete with more established traditional space

science activities (e.g., planetary, astrophysics, space physics)?

5. How effectively are results (and failures) of previous space missions and investigations factored

into the overall scientific and project planning for the program? Are "lessons learned” applied in

practice?

6. Does the planning process for space research take adequate account of scientific and technical

progress in other fields (e.g., space astrophysics vs. ground-based astronomy)?
A-2 Appendix A

Annual OSSA Strategic Plan

Since 1966, OSSA has published an annual Strategic Plan that covers the full range of science and

applications programs for which the office has responsibility. The Committee is interested in the views of

the scientific community outside NASA toward this process:

7. How successful is the OSSA strategic plan? How successful has it been in gaining support for

OSSA programs from the funding entities (OMB and the Congress) and the broader public

interested in the space program?

8. Does the strategic plan grapple with the real issues facing the space science program? How

successful has it been in dealing with the difficult tradeoffs forced by budget constraints and the

competing claims of OSSA’s diverse science disciplines?

9. Does the plan provide outside observers with adequate insight into the basis for the agency’s

decisions on program priorities and funding allocations? Is the process reported in the plan

perceived by OSSA’s scientific constituencies as being fair and even-handed?

10. Is the priority-setting process (especially the set of decision rules, pp. 16 and 21 of the 1991 plan)

perceived as being rational and appropriate to the selection of project new starts? For establishing “

the funding balance between ongoing efforts and new initiatives? Between “big science” and “little

science”?

11. Does the OSSA plan reflect an appropriate awareness of the external concerns and interests of the

Congress and the Administration, including the broader national agenda? Is the OSSA planning

process resilient in responding to changes in the external environment (e.g., the recent major shift

in long-term funding assumptions resulting from the budget agreement and Congressional funding

guidelines to NASA)?
Appendix A A-3

Program Outcomes

12. How well has OSSA succeeded in actually meeting the goals and objectives set for its programs

by the scientific community and by Administration and Congressional policies? What are

appropriate measures for success?

13. By what means does the broader scientific community assess the effectiveness of OSSA

programs? Do these assessments become factored into the decision-making process on future

planning and budgets? Is there there adequate “feedback” mechanisms?

14. Is the OSSA program as it currently exists appropriately “balanced” across disciplines and types of

activities involved in the program?

15. Will major shifts in the OSSA program planning process be required to meet the constraints of

more stringent funding guidelines now being addressed for NASA?

Suggestions for Improvements

16. What changes might improve the effectiveness of the planning and program implementation

processes used by NASA in its management of the space science program?

17. Are there substantive changes in program directions that would lead to more effective utilization of

available resources for the conduct of the OSSA program?
Appendix B.--Results of the Woodshole Strategic Planning Workshop,

July 29- August 2,1991

Table l.--Recommended Integrated Queue for Intermediate/Moderate Profile and

Flagship Missions

1994 Thermos here Ionosphere Mesosphere Energetic and Dynamics

(TIMED)- Intermediate

1995 High Energy Solar Physics (HESP) - Intermediate;

Space Infrared Telescope Facility (SIRTIF) - Flagship

1996 Pluto Flyby or Neptune Orbiter (PF/NO) - Flagship

Inner-Magnetosphere Imager (IMI) - Intermediate

1997 Mars Environmental Suxvey (MESUR) - Moderately Paced;

Grand Tour Cluster (GTC) - Intermediate

1998 Orbiting Solar Laboratory (OSL) -Flagship

Sub-Millimeter Intermediate Mission SMIM) - Intermediate

SOURCE: National Aeronautics and Space Adminstration, 1991
B-2 Appendix B

Table 2.--Recommended Implementation Process

o Initiate the following year-by-year sequence identified in the queue. Do not

move to next year until all missions in current year are approved.

o For year with more than one mission opportunity, missions are listed in

priority order

o The readiness assessment of the Non-Advocacy Review Board should be a

key element in the process of readying missions of new starts at least by the

year noted. All missions must be rigorously cost-controlled so that they do

not exceed boundaries of original structural element.

SOURCE: National Aeronautics and Space Administration, 1991.
Appendix B

B-3

Table 3.--Core Science Program -- New Activity

Research &

Technology

Enhancements

94 TOPS-O95 SOFIA

R&A Enhancements

Small Missions:

Frequent Access to Space

94 Explorer

Augmentation

[98 Lunar Scout]

[98 Integral]

I

Intemediate Flagship Missions

Leadership In Space

1994

“ 1995

1998

1997

1998

TIMED

HESP

SIRTF

PF or NO

M

MESUR

GTC

OSL

SMIM

 Pending Further Discussion by SSAAC ln November 1991

Utilization of

Space Station

Life Sci Centrifuge

●

SOURCE: National Aeronautics and Space Adminstration, 1991 .

.