INSTITUTIONAL ARRANGEMENTS FOR SPACE STATION RESEARCH

Task Group to Review Alternative Institutional Arrangements for Space Station Research

Space Studies Board

Commission on Physical Sciences, Mathematics, and Applications and

Aeronautics and Space Engineering Board

Commission on Engineering and Technical Systems

National Research Council

NATIONAL ACADEMY PRESS
Washington, D.C.



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INSTITUTIONAL ARRANGEMENTS FOR SPACE STATION RESEARCH INSTITUTIONAL ARRANGEMENTS FOR SPACE STATION RESEARCH Task Group to Review Alternative Institutional Arrangements for Space Station Research Space Studies Board Commission on Physical Sciences, Mathematics, and Applications and Aeronautics and Space Engineering Board Commission on Engineering and Technical Systems National Research Council NATIONAL ACADEMY PRESS Washington, D.C.

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INSTITUTIONAL ARRANGEMENTS FOR SPACE STATION RESEARCH NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the task group responsible for the report were chosen for their special competences and with regard for appropriate balance. Support for this project was provided by Contract NASW 96013 between the National Academy of Sciences and the National Aeronautics and Space Administration. Any opinions, findings, conclusions, or recommendations expressed in this material are those of the authors and do not necessarily reflect the views of the sponsor. Copies of this report are available free of charge from: Space Studies Board National Research Council 2101 Constitution Avenue, NW Washington, DC 20418 Copyright 1999 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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INSTITUTIONAL ARRANGEMENTS FOR SPACE STATION RESEARCH THE NATIONAL ACADEMIES National Academy of Sciences National Academy of Engineering Institute of Medicine National Research Council The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. William A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth I. Shine is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chairman and vice chairman, respectively, of the National Research Council.

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INSTITUTIONAL ARRANGEMENTS FOR SPACE STATION RESEARCH TASK GROUP TO REVIEW ALTERNATIVE INSTITUTIONAL ARRANGEMENTS FOR SPACE STATION RESEARCH CORNELIUS J. PINGS, American Association of Universities (retired), Chair JUDITH H. AMBRUS, Space Technology Management Services ROBERT J. BAYUZICK, Vanderbilt University ANTHONY W. ENGLAND, University of Michigan CHARLES A. FULLER, University of California at Davis RICHARD H. HOPKINS, Northrop Grumman Corp. (retired) ERNEST G. JAWORSKI, Monsanto Co. (retired) MICHAEL J. KATOVICH, University of Florida SAMUEL KRAMER, Kramer Associates G. PAUL NEITZEL, Georgia Institute of Technology LYLE H. SCHWARTZ, Air Force Office of Scientific Research JOHN G. STEWART, Stewart, Wright and Associates JOHN C. TOOLE, National Center for Supercomputing Applications, University of Illinois at Urbana-Champaign Ex Officio Member NORMA M. ALLEWELL, Harvard University Staff JOSEPH K. ALEXANDER, Study Director TOM ALBERT, Senior Program Officer, Aeronautics and Space Engineering Board SUSAN GARBINI, Senior Program Officer CLAUDETTE K. BAYLOR-FLEMING, Senior Program Assistant EDMUND M. REEVES, Consultant

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INSTITUTIONAL ARRANGEMENTS FOR SPACE STATION RESEARCH SPACE STUDIES BOARD CLAUDE R. CANIZARES, Massachusetts Institute of Technology, Chair MARK R. ABBOTT, Oregon State University FRAN BAGENAL, University of Colorado DANIEL N. BAKER, University of Colorado ROBERT E. CLELAND, University of Washington GERARD W. ELVERUM, JR., TRW Space and Technology Group (retired)* MARILYN L. FOGEL, Carnegie Institution of Washington BILL GREEN, former member, U.S. House of Representatives JOHN H. HOPPS, JR., Rozewell, Georgia CHRIS J. JOHANNSEN, Purdue University ANDREW H. KNOLL, Harvard University* RICHARD G. KRON, University of Chicago JONATHAN I. LUNINE, University of Arizona ROBERTA BALSTAD MILLER, Columbia University GARY J. OLSEN, University of Illinois at Urbana-Champaign MARY JANE OSBORN, University of Connecticut Health Center GEORGE A. PAULIKAS, The Aerospace Corporation JOYCE E. PENNER, University of Michigan THOMAS A. PRINCE, California Institute of Technology PEDRO L. RUSTAN, JR., U.S. Air Force (retired) GEORGE L. SISCOE, Boston University EUGENE B. SKOLNIKOFF, Massachusetts Institute of Technology MITCHELL SOGIN, Marine Biological Laboratory NORMAN E. THAGARD, Florida State University ALAN M. TITLE, Lockheed Martin Advanced Technology Center RAYMOND VISKANTA, Purdue University PETER W. VOORHEES, Northwestern University JOHN A. WOOD, Harvard-Smithsonian Center for Astrophysics JOSEPH K. ALEXANDER, Director *Former member.

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INSTITUTIONAL ARRANGEMENTS FOR SPACE STATION RESEARCH AERONAUTICS AND SPACE ENGINEERING BOARD WILLIAM HOOVER, U.S. Air Force (retired), Chair A. DWIGHT ABBOTT, The Aerospace Corporation RUZENA K. BAJCSY, National Science Foundation WILLIAM F. BALLHAUS, JR., Lockheed Martin Corporation ANTHONY J. BRODERICK, Aviation Safety Consultant AARON COHEN, Texas A&M University DONALD L. CROMER, U.S. Air Force (retired) HOYT DAVIDSON, Donaldson, Lufkin and Jenrette ROBERT A. DAVIS, The Boeing Company DONALD C. FRASER, Boston University JOSEPH FULLER, JR., Futron Corporation ROBERT C. GOETZ, Lockheed Martin Skunk Works RICHARD GOLASZEWSKI, GRA Incorporated JAMES M. GUYETTE, Rolls-Royce, North America FREDERICK H. HAUCK, AXA Space JOHN K. LAUBER, Airbus Industrie of North America, Inc. GEORGE K. MUELLNER, The Boeing Company DAVA J. NEWMAN, Massachusetts Institute of Technology JAMES G. O'CONNOR, Embry–Riddle Aeronautical University WINSTON E. SCOTT, Florida State University KATHRYN C. THORNTON, University of Virginia DIANNE S. WILEY, Northrop Grumman RAY A. WILLIAMSON, George Washington University GEORGE M. LEVIN, Director

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INSTITUTIONAL ARRANGEMENTS FOR SPACE STATION RESEARCH COMMISSION ON PHYSICAL SCIENCES, MATHEMATICS, AND APPLICATIONS PETER M. BANKS, Veridian ERIM International, Inc., Co-Chair W. CARL LINEBERGER, University of Colorado, Co-Chair WILLIAM F. BALLHAUS, JR., Lockheed Martin Corporation SHIRLEY CHIANG, University of California at Davis MARSHALL H. COHEN, California Institute of Technology RONALD G. DOUGLAS, Texas A&M University SAMUEL H. FULLER, Analog Devices, Inc. JERRY P. GOLLUB, Haverford College MICHAEL F. GOODCHILD, University of California at Santa Barbara MARTHA P. HAYNES, Cornell University WESLEY T. HUNTRESS, JR., Carnegie Institution CAROL M. JANTZEN, Westinghouse Savannah River Company PAUL G. KAMINSKI, Technovation, Inc. KENNETH H. KELLER, University of Minnesota JOHN R. KREICK, Sanders, a Lockheed Martin Company (retired) MARSHA I. LESTER, University of Pennsylvania DUSA M. McDUFF, State University of New York at Stony Brook JANET L. NORWOOD, U.S. Commissioner of Labor Statistics (retired) M. ELISABETH PATÉ-CORNELL, Stanford University NICHOLAS P. SAMIOS, Brookhaven National Laboratory ROBERT J. SPINRAD, Xerox PARC (retired) MYRON F. UMAN, Acting Executive Director

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INSTITUTIONAL ARRANGEMENTS FOR SPACE STATION RESEARCH COMMISSION ON ENGINEERING AND TECHNICAL SYSTEMS W. DALE COMPTON, Purdue University, Chair ELEANOR BAUM, The Cooper Union for the Advancement of Science and Art RUTH M. DAVIS, Pymatuning Group, Inc. E. GAIL DE PLANQUE, Consultant, Potomac, Maryland NORMAN A. GJOSTEIN, University of Michigan at Dearborn HENRY J. HATCH, American Society of Civil Engineers STUART L. KNOOP, Oudens and Knoop, Architects, PC NANCY G. LEVESON, Massachusetts Institute of Technology CORA B. MARRETT, University of Massachusetts at Amherst ROBERT M. NEREM, Georgia Institute of Technology LAWRENCE T. PAPAY, Bechtel Technology and Consulting BRADFORD W. PARKINSON, Stanford University BARRY M. TROST, Stanford University JAMES C. WILLIAMS, Ohio State University RONALD W. YATES, U.S. Air Force (retired) DOUGLAS BAUER, Executive Director

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INSTITUTIONAL ARRANGEMENTS FOR SPACE STATION RESEARCH Foreword The International Space Station (ISS) is one of the largest and most complex international research programs ever attempted. Up to now, the task of designing, building, and assembling this intricate space facility has dominated the attention of NASA and its international partners. Even before the ISS has been fully assembled, however, the agency is facing the problem of establishing an organizational infrastructure that will ensure its most effective utilization for scientific and engineering research. The diversity of the investigations —which will encompass fundamental physics and biology, materials science, biomedical research, remote sensing, and space technology experiments, to name just a few—means there will be an extraordinarily broad range of participants in addition to those associated with the operation of the space facility itself. This report responds to a request from NASA to assess alternative approaches to the management of ISS research. Options range from an office composed largely of government employees and embedded within the agency, through a completely separate institution under contract to NASA, to a separate, quasi-governmental agency. In the intermediate case, there are further options for the levels of authority and responsibility that a nongovernment organization (NGO) would assume and the scope of its task. NASA has had positive experiences with NGOs in the operation of the Hubble Space Telescope and the space shuttles, among others, and has for this reason been contemplating the idea of an NGO for ISS research. The NRC task group concludes that NASA should establish an NGO to manage all aspects of research on the ISS and that the NGO should have sufficient authority to carry out its assigned responsibilities. These responsibilities would encompass all ISS research activities, but not the maintenance or upkeep of the facility itself. The report also elucidates some general principles that should govern NASA' s specification and selection of the NGO and proposes an implementation plan for a progressive transfer of responsibility to the new entity.

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INSTITUTIONAL ARRANGEMENTS FOR SPACE STATION RESEARCH The ISS represents a major financial investment by the United States and its partner nations. It is incumbent on the responsible agencies and on those communities that will make use of it to conduct the highest quality basic and applied research possible. The organizational approach outlined in these pages is a step toward achieving that goal. Claude R. Canizares, Chair Space Studies Board

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INSTITUTIONAL ARRANGEMENTS FOR SPACE STATION RESEARCH Preface This report was prepared by the Task Group to Review Alternative Institutional Arrangements for Space Station Research, which was formed under the auspices of the Space Studies Board (SSB) and the Aeronautics and Space Engineering Board (ASEB) of the National Research Council in response to a request from NASA. The charge to the task group called for it to address general principles, major roles and functions, organizational character, and other relevant aspects of alternative institutional arrangements for facilitating the conduct of research on the International Space Station (ISS). One option to be considered was the creation of a nongovernment organization (NGO) to manage research on the ISS. (The complete statement of task for the study is presented in Appendix A; the letter of request from NASA is reproduced in Appendix B.) A task group of 13 members was appointed with expertise in basic and applied science and engineering research from both the academic and commercial sector research communities. In addition to having members with science and engineering expertise, the task group included a number of members who have experience in planning, integrating, and conducting experiments in space laboratories and in the management of large research facilities. (Brief biographies of the task group members are provided in Appendix C.) The task group held three meetings over the course of the study—the first at the Lunar and Planetary Institute in Houston, Texas, May 18-20, 1999, and the second and third at the National Academies in Washington, D.C., July 26-28, 1999, and September 28-29, 1999 —and heard presentations from NASA officials involved in the management of the ISS program, staff from NASA field centers, directors of NASA commercial space centers, representatives of private companies supporting commercial research in space-based facilities, and representatives from international partner space agencies. The task group members also met with the director of the Space Telescope Science Institute and several individuals associated with other research facilities from outside the space station community who could offer fresh perspectives on research management. (Meeting agendas are given in Appendix D.) The following report presents the findings, conclusions, and recommendations of the task group. Chapter 1 relates the background of the ISS program and describes the general

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INSTITUTIONAL ARRANGEMENTS FOR SPACE STATION RESEARCH conceptual approach employed by the task group. Chapter 2 presents a set of guiding principles and basic attributes for an organizational framework for managing research activities on the ISS. Chapter 3 discusses a number of alternative organizational approaches, including a NASA reference model presented to the task group by NASA (and reprinted as Appendix E). Chapter 4 describes the organizational approach recommended by the task group and addresses implementation actions and milestones. The task group 's findings, conclusions, and recommendations are summarized in Chapter 5. This report does not address staffing details or define a specific internal structure for an NGO, nor does it address details of operational logistics or of anticipated cost reductions that might be expected under an NGO. Furthermore, the task group has not examined corollary research management considerations on behalf of the international partners in the ISS. Finally, overall priorities for ISS research and operations are not included in the task group's recommendations. ACKNOWLEDGMENTS The task group wishes to thank the many individuals who contributed their time and effort to this project by presenting material at task group meetings and by contributing written material or participating in interviews. Representatives of NASA's headquarters and field program offices provided invaluable assistance to the task group and staff. This report has been reviewed by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council's (NRC) Report Review Committee. The purpose of an independent review is to provide candid and critical comments that will assist the authors and the NRC in making the published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The content of the review comments and draft manuscript remains confidential to protect the integrity of the deliberative process. The task group wishes to thank the following individuals for their participation in the review of this report: David C. Black, Lunar and Planetary Institute, Steven H. Flajser, Loral Space and Communications Ltd., Harold K. Forsen, Bechtel Corporation (retired), Martin E. Glicksman, Rensselaer Polytechnic Institute, William J. Rutter, Chiron Corporation, Roland W. Schmitt, Rensselaer Polytechnic Institute (president emeritus), Roy Schwitters, University of Texas at Austin, and Thomas E. Utsman, National Aeronautics and Space Administration (retired). While the individuals listed above have provided many constructive comments and suggestions, responsibility for the final content of this report rests solely with the authoring task group and the NRC.