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The Policy Formation Process: A Conceptual Framework for Analysis

A conceptual framework for analysis which is intended to assist both the policy analyst and the policy researcher in their empirical investigations into policy phenomena is developed. It is meant to facilitate understanding of the policy formation process by focusing attention on the basic forces shaping the main features of policy formation as a dynamic social-political-organizational process. The primary contribution of the framework lies in its capability to suggest useful ways of looking at policy formation reality. It provides the analyst and the researcher with a group of indicators which suggest where to look and what to look for when attempting to analyze and understand the mix of forces which energize, maintain, and direct the operation of strategic level policy systems. The framework also highlights interconnections, linkage, and relational patterns between and among important variables. The framework offers an integrated set of conceptual tools which facilitate understanding of and research on the complex and dynamic set of variables which interact in any major strategic level policy formation process.

Fuchs, E. F.

Development and Deployment of NASA's Budget Execution Dashboard

This paper discusses the successful implementation of a highly visible company-wide management system and its potential to change managerial and accounting policies, processes and practices in support of organizational goals. Applying the conceptual framework of innovation in organizations, this paper describes the development and deployment process of the NASA Budget Execution Dashboard and the first two fiscal years of its use. It discusses the positive organizational changes triggered by the dashboard, like higher visibility of financial goals and variances between plans and actuals, increased involvement of all management levels in tracking and correcting of plan deviations, establishing comparable data standards across a strongly diversified organization, and enhanced communication between line organizations (NASA Centers) and product organizations (Mission Directorates). The paper also discusses the critical success factors experienced in this project: Strong leadership and division of management roles, rapid and responsive technology development, and frequent communication among stakeholders.

Putz, Peter

Graduating to Postdoc: Information-Sharing in Support of Organizational Structures and Needs

The deployment of information-sharing systems in large organizations can significantly impact existing policies and procedures with regard to authority and control over information. Unless information-sharing systems explicitly support organizational structures and needs, these systems will be rejected summarily. The Postdoc system is a deployed Web-based information-sharing system created specifically to address organizational needs. Postdoc contains various organizational support features including a shared, globally navigable document space, as well as specialized access control, distributed administration, and mailing list features built around the key notion of hierarchical group structures. We review successes and difficulties in supporting organizational needs with Postdoc

Keller, Richard M.

The Case of Ozone Depletion

While the National Aeronautics and Space Administration (NASA) is widely perceived as a space agency, since its inception NASA has had a mission dedicated to the home planet. Initially, this mission involved using space to better observe and predict weather and to enable worldwide communication. Meteorological and communication satellites showed the value of space for earthly endeavors in the 1960s. In 1972, NASA launched Landsat, and the era of earth-resource monitoring began. At the same time, in the late 1960s and early 1970s, the environmental movement swept throughout the United States and most industrialized countries. The first Earth Day event took place in 1970, and the government generally began to pay much more attention to issues of environmental quality. Mitigating pollution became an overriding objective for many agencies. NASA's existing mission to observe planet Earth was augmented in these years and directed more toward environmental quality. In the 1980s, NASA sought to plan and establish a new environmental effort that eventuated in the 1990s with the Earth Observing System (EOS). The Agency was able to make its initial mark via atmospheric monitoring, specifically ozone depletion. An important policy stimulus in many respects, ozone depletion spawned the Montreal Protocol of 1987 (the most significant international environmental treaty then in existence). It also was an issue critical to NASA's history that served as a bridge linking NASA's weather and land-resource satellites to NASA s concern for the global changes affecting the home planet. Significantly, as a global environmental problem, ozone depletion underscored the importance of NASA's ability to observe Earth from space. Moreover, the NASA management team's ability to apply large-scale research efforts and mobilize the talents of other agencies and the private sector illuminated its role as a lead agency capable of crossing organizational boundaries as well as the science-policy divide.

Lambright, W. Henry

Public science policy and administration

Science, the overwhelming concern of our time, is no longer a matter of private research and development but one of public policy and administration, in which government, industry, foundations, and educational institutions must all work together as never before. Few other single tasks are of such decisive importance to the collective and individual welfare of American citizens as the formulation of public science policy and the administration of scientific programs. Eleven national authorities of varied background in science, education, and government administration contribute their experience and their judgment in an effort to deal with the major aspects of the subject. Their focus is on the meeting of actual problems; they consider the decision making process in both public and public-private organizations. Topics are grouped in three general categories: personnel needs and resources, organizational problems and techniques, and the administrative role in policy leadership.

Rosenthal, A. H.

System safety as applied to Skylab

Procedural and organizational guidelines used in accordance with NASA safety policy for the Skylab missions are outlined. The basic areas examined in the safety program for Skylab were the crew interface, extra-vehicular activity (EVA), energy sources, spacecraft interface, and hardware complexity. Fire prevention was a primary goal, with firefighting as backup. Studies of the vectorcardiogram and sleep monitoring experiments exemplify special efforts to prevent fire and shock. The final fire control study included material review, fire detection capability, and fire extinguishing capability. Contractors had major responsibility for system safety. Failure mode and effects analysis (FMEA) and equipment criticality categories are outlined. Redundancy was provided on systems that were critical to crew survival (category I). The five key checkpoints in Skylab hardware development are explained. Skylab rescue capability was demonstrated by preparations to rescue the Skylab 3 crew after their spacecraft developed attitude control problems.

Kleinknecht, K. S.

Industry liaison section implementation plan

The Industry Liaison Section is a new function of the Army/NASA Aircrew-Aircraft Integration (AAAI) Program that is intended to bridge an existing gap between Government developers (including contractors) and outside organizations who are potential users of products and services developed by the AAAI Program. Currently in its sixth year, the Program is experiencing considerable pull from industry and other government organizations to disseminate products. Since the AAAI Program's charter is exploratory and research in nature, and satisfying proper dissemination requirements is in conflict with the rapid prototyping approach utilized by the design team, the AAAI Program has elected to create an Industry Liaison Section (ILS) to serve as the Program's technology transfer focal point. The process by which the ILS may be established, organized and managed is described, including the baseline organizational structure, duties, functions, authority, responsibilities, relations and policies and procedures relevant to the conduct of the ILS.

Lakowske, Stephen

Aligning for Innovation - Alignment Strategy to Drive Innovation

With the sudden need for innovation that will help the country achieve its long-term space exploration objectives, the question of whether NASA is aligned effectively to drive the innovation that it so desperately needs to take space exploration to the next level should be entertained. Authors such as Robert Kaplan and David North have noted that companies that use a formal system for implementing strategy consistently outperform their peers. They have outlined a six-stage management systems model for implementing strategy, which includes the aligning of the organization towards its objectives. This involves the alignment of the organization from the top down. This presentation will explore the impacts of existing U.S. industrial policy on technological innovation; assess the current NASA organizational alignment and its impacts on driving technological innovation; and finally suggest an alternative approach that may drive the innovation needed to take the world to the next level of space exploration, with NASA truly leading the way.

Johnson, Hurel

2004 Space Report: Environment and Strategy for Space Research at NATO's Research and Technology Organisation (RTO)

This report describes the motivation for and a strategy to enhance the NATO Research and Technology Organisation's (RTO) current space research effort to reflect NATO's growing military dependence on space systems. Such systems and services provided by these systems are critical elements of military operations. NATO uses space systems for operational planning and support, communication, radio navigation, multi-sensor and multi-domain demonstrations. Such systems are also used to promote regional stability. A quantitative analysis of work related to space in the NATO RTO showed that during the period of 1998 - 2004, 5% of the research pursued in the NATO RTO has been clearly focused on space applications. Challenging environmental and organizational barriers for increasing RTO space research were identified. In part, these include lack of sufficient space expertise representation on panels, the military sensitivity of space, current panel work loads and the need for specific technical recommendations from peers. A strategy for enhancing space research in the RTO is to create a limited-life Space Advisory Group (SAG) composed of Space Expert Consultants who are panel members with appropriate expertise and additional expertise from the nations. The SAG will recommend and find support in the nations for specific technical activities related to space in the areas of Space Science, Remote Sensing Data Analysis, Spacecraft Systems, Surveillance and Early Warning, Training and Simulation and Policy. An RTO Space Advisory Group will provide an organizational mechanism to gain recognition of RTO as a forum for trans-Atlantic defence space research and to enhance space research activities.

Woods-Vedeler, Jessica A.

Contracting Officer Technical Representative Briefing

This viewgraph presentation gives an overview of the Agency Occupational Health Program, including details on organizational and personnel changes, medical program standardization, programmatic status, policies, standards, and guides and resources, industrial hygiene and radiological health, assessment schedule and methodology, upcoming events, and the future of the program.

Gettleman, Alan

Space Shuttle operational logistics plan

The Kennedy Space Center plan for logistics to support Space Shuttle Operations and to establish the related policies, requirements, and responsibilities are described. The Directorate of Shuttle Management and Operations logistics responsibilities required by the Kennedy Organizational Manual, and the self-sufficiency contracting concept are implemented. The Space Shuttle Program Level 1 and Level 2 logistics policies and requirements applicable to KSC that are presented in HQ NASA and Johnson Space Center directives are also implemented.

Botts, J. W.

Safe Grid

The biggest users of GRID technologies came from the science and technology communities. These consist of government, industry and academia (national and international). The NASA GRID is moving into a higher technology readiness level (TRL) today; and as a joint effort among these leaders within government, academia, and industry, the NASA GRID plans to extend availability to enable scientists and engineers across these geographical boundaries collaborate to solve important problems facing the world in the 21 st century. In order to enable NASA programs and missions to use IPG resources for program and mission design, the IPG capabilities needs to be accessible from inside the NASA center networks. However, because different NASA centers maintain different security domains, the GRID penetration across different firewalls is a concern for center security people. This is the reason why some IPG resources are been separated from the NASA center network. Also, because of the center network security and ITAR concerns, the NASA IPG resource owner may not have full control over who can access remotely from outside the NASA center. In order to obtain organizational approval for secured remote access, the IPG infrastructure needs to be adapted to work with the NASA business process. Improvements need to be made before the IPG can be used for NASA program and mission development. The Secured Advanced Federated Environment (SAFE) technology is designed to provide federated security across NASA center and NASA partner's security domains. Instead of one giant center firewall which can be difficult to modify for different GRID applications, the SAFE "micro security domain" provide large number of professionally managed "micro firewalls" that can allow NASA centers to accept remote IPG access without the worry of damaging other center resources. The SAFE policy-driven capability-based federated security mechanism can enable joint organizational and resource owner approved remote access from outside of NASA centers. A SAFE enabled IPG can enable IPG capabilities to be available to NASA mission design teams across different NASA center and partner company firewalls. This paper will first discuss some of the potential security issues for IPG to work across NASA center firewalls. We will then present the SAFE federated security model. Finally we will present the concept of the architecture of a SAFE enabled IPG and how it can benefit NASA mission development.

Chow, Edward T.

NASA Planetary Protection Handbook

This handbook provides guidance to mission providers and Planetary Protection (PP) practitioners on implementing PP measures for both robotic and crewed space missions. This handbook represents major updates to PP practices since a previously drafted handbook from 2010. In 2017, NASA reorganized the Office of Planetary Protection (OPP) from the Science Mission Directorate (SMD) to a Technical Authority (TA) within the Office of Safety and Mission Assurance (OSMA). With this organizational change came a complete overhaul of NASA’s PP policy and technical standards. This handbook reflects the latest NASA PP policy updates in NPR 8715.24, Planetary Protection Provisions for Robotic Extraterrestrial Missions and technical requirements of NASA-STD-8719.27, Implementing Planetary Protection Requirements for Space Flight. This handbook is a companion document to the NPR and technical standard and provides guidance, best practices, background information, and advice for practitioners to consider when implementing PP on NASA missions and NASA-partnered missions.

Nick Benardini

Organizing for low cost space transportation

The paper describes the management concepts and organizational structure NASA is establishing to operate the Space Transportation System. Policies which would encourage public and commercial organizations and private individuals to use the new STS are discussed, and design criteria for experiments, spacecraft, and other systems elements are considered. The design criteria are intented to facilitate cost reductions for space operations. NASA plans for the transition from currently used expendable launch vehicles to Shuttle use and Shuttle pricing policies are explained in detail. Hardware development is basically complete, management functions have been defined, pricing policies have been published, and procedures for user contact and services have been places into operation.

Lee, C. M.

NASA’s Space Sustainability Strategy: An Overview and a Conceptual Framework for Implementation

Space sustainability is crucial for the continuation of humanity's exploration and utilization of space. NASA recognizes the imperative of maintaining a sustainable space operating environment to safeguard the future of space activities. On April 9, 2024, NASA released its first part of an integrated Space Sustainability Strategy focused on the domain of earth orbit, with future volumes to address impacts of space operations on earth itself; cislunar space, including the Lagrange points and the lunar surface; and deep space, including other celestial bodies. This commitment extends to ensuring the safety of astronauts conducting operations in Low Earth Orbit (LEO), as well as enabling missions to the Moon and Mars. Moreover, sustainable space practices are essential for the uninterrupted operation of NASA's robotic science missions, which monitor Earth's changes and probe the mysteries of the universe. The strategy sets out a set of goals, the first of which is to establish a framework for assessing space sustainability at NASA, addressing the absence of a universally accepted framework with key metrics that promotes understanding of how metrics are interconnected. This framework will provide a basis for evaluating the sustainability of orbital activities, with metrics informed by input from the domestic and international space community. Objectives under this goal include defining key parameters affecting space sustainability, determining tolerable levels of risk, and annually publishing NASA's effect on space sustainability, including compliance with orbital debris mitigation standards. The subsequent goals build upon this foundation, identifying effective actions for enhancing space sustainability, incentivizing adoption of these actions through technology development and policy changes, and ensuring coordination with the global space community. An organizational change within NASA is also proposed to facilitate day-to-day coordination and accountability for space sustainability efforts. By pursuing these goals, NASA aims to strengthen the technical foundations of and continue to set an example for sustainable space operations. Regular evaluation of NASA mission performance in context with meeting sustainability objectives will ensure alignment with evolving challenges in the space operating environment.

Matt Forsbacka

Radiation Protection Handbook

A handbook which sets forth the Kennedy Space Center radiation protection policy is presented. The book also covers administrative direction and guidance on organizational and procedural requirements of the program. Only ionizing radiation is covered.

Source record

Requirements for significant problem reporting and trend analysis

This handbook supplements policies, requirements, and procedures of NMI 8070.3 to ensure that NASA management at each organizational level is: fully aware of trends affecting both the level of safety and the potential for mission success established for both NASA manned space programs and its supporting institutions; fully and independently informed of problems that represent significant risk to the safety of all personnel (including the general populace) and to the success of a mission or operation through a program mechanism herein defined as Significant Problem Reporting; and in full agreement with the level of elimination of these problems through the closed-loop accounting of corrective actions. The requirements of this handbook are supportive of the agency's safety, reliability, maintainability, and quality assurance (SRM&QA) program objectives and are applicable to all organizational elements of NASA connected with or supporting developmental or operational manned space program/projects (including associated payloads) and the related institutional facilities.

George A Rodney

A Human Factors Approach to Bridging Systems and Introducing New Technologies

The application of human factors in aviation has grown to cover a wide range of disciplines and methods capable of assessing human-systems integration at many levels. For example, at the individual level, pilot workload may be studied while at the team level, coordinated workload distribution may be the focal point. At the organizational level, the way in which individuals and teams are supported by training and standards, policies and procedures may introduce additional, relevant topics. A consideration of human factors at each level contributes to our understanding of successes and failures in pilot performance, but this system focused on the flight deck alone -- is only one part of the airspace system. In the FAA's NextGen plan to overhaul the National Airspace System (NAS), new capabilities will enhance flightdeck systems (pilots), flight operations centers (dispatchers) and air traffic control systems (controllers and air traffic managers). At a minimum, the current roles and responsibilities of these three systems are likely to change. Since increased automation will be central to many of the enhancements, the role of automation is also likely to change. Using NextGen examples, a human factors approach for bridging complex airspace systems will be the main focus of this presentation. It is still crucial to consider the human factors within each system, but the successful implementation of new technologies in the NAS requires an understanding of the collaborations that occur when these systems intersect. This human factors approach to studying collaborative systems begins with detailed task descriptions within each system to establish a baseline of the current operations. The collaborative content and context are delineated through the review of regulatory and advisory materials, letters of agreement, policies, procedures and documented practices. Field observations and interviews also help to fill out the picture. Key collaborative functions across systems are identified and placed on a phase-of-flight timeline including information requirements, decision authority and use of automation, as well as level of frequency and criticality.

Kanki, Barbara G.