PlanetaryScienceR&AProgramUpdate
JonathanA.R.RallCommitteeontheReviewofNASA’sPlanetaryScience
Division’sRestructuredResearchandAnalysisPrograms
August17,2016
FundingforNASA-relatedresearchanddevelopmentprojectsisaprivilegeaffordedtoqualifiedscience,engineering,andeducationalpersonnelbyNASAactingonbehalfofthecitizensoftheUnitedStatesthroughCongressionalandExecutiveaction
NASA’sproposalandselectionproceduresworkonlybecausethevariousresearchcommunitiesandNASAProgramOfficestogethermaintainthehighestlevelofintegrityatallstagesoftheprocess.(Guidebookforproposers)
• WedidtheR&ArestructuringtoenhancetransparencytoourstakeholdersintheAdministrationandCongress• ThechargetothecommitteeistoevaluatewhetherthenewstructureencompassestherangeandscopeofactivitiesneededtosupporttheNASAStrategicObjectiveforPlanetaryScienceandaretheelementsappropriatelystructuredtodevelopthebroadbaseofknowledgeandbroadrangeofactivitiesneededbothtoenablenewspaceflightmissionsandtointerpretandmaximizethescientificreturnfromexistingmission
$34.6M $32.5M $32.8M $29.5M$40.1M
$10.2M $10.6M $10.7M $14.8M
$12.7M$4.9M $5.3M $5.3M$10.M
$14.3M$14.3M $15.M $14.9M
$13.3M
$12.2M
$3.1M $3.4M $4.3M$2.8M
$3.7M
$3.5M $2.9M $3.3M $3.5M
$3.7M$28.7M $26.M$29.3M $24.4M
$26.6M
$15.5M$16.3M
$16.7M $18.6M
$17.5M$18.9M$14.9M
$11.8M $15.2M
$22.4M
$
$10.M
$20.M
$30.M
$40.M
$50.M
$60.M
$70.M
$80.M
$90.M
$100.M
$110.M
$120.M
$130.M
$140.M
$150.M
$160.M
FY2011 FY2012 FY2013 FY2014 FY2015
R&AINVESTMENT– TARGETOBJECTOVERVIEW
Other
SmallBodies
OuterPlanets
Mercury
Venus
EarlySolarSystem
Moon
Earth&EarlyEarth
MarsSystem
Keyword – TargetObject,General FY2011 FY2012 FY2013 FY2014 FY2015
MarsSystem $34.6M $32.5M $32.8M $29.5M $40.1M
Earth&EarlyEarth $10.2M $10.6M $10.7M $14.8M $12.7M
Moon $4.9M $5.3M $5.3M $10.M $14.3M
EarlySolarSystem $14.3M $15.M $14.9M $13.3M $12.2M
Venus $3.1M $3.4M $4.3M $2.8M $3.7M
Mercury $3.5M $2.9M $3.3M $3.5M $3.7M
OuterPlanets $28.7M $26.M $29.3M $24.4M $26.6M
SmallBodies $15.5M $16.3M $16.7M $18.6M $17.5M
Other $18.9M $14.9M $11.8M $15.2M $22.4M
$8.4M $7.4M
$11.4M
$7.6M$9.1M
$12.9M$13.3M
$13.2M
$13.5M
$14.5M
$426K$351K
$781K
$639K
$734K
$4.1M$3.9M
$3.6M
$3.4M
$3.8M
$
$5.M
$10.M
$15.M
$20.M
$25.M
$30.M
$35.M
FY2011 FY2012 FY2013 FY2014 FY2015
OUTERPLANETS(BYFY)
Nonespecified
Non-specific IcyBodies
Non-specific Rings
Non-specific Planets
UranusSystem
NeptuneSystem
SaturnSystem
JupiterSystem
Keyword– TargetBody,OuterPlanets FY2011 FY2012 FY2013 FY2014 FY2015
JupiterSystem $8.4M $7.4M $11.4M $7.6M $9.1M
SaturnSystem $12.9M $13.3M $13.2M $13.5M $14.5M
NeptuneSystem $521K $450K $673K $523K $528K
UranusSystem $426K $351K $781K $639K $734K
Non-specificPlanets $1.8M $1.3M $1.3M $796K $355K
Non-specificRings $378K $400K $169K $48K $26K
Non-specificIcyBodies $4.1M $3.9M $3.6M $3.4M $3.8M
Nonespecified $501K $652K $340K $202K $147K
$7.1M$7.9M $7.8M $7.7M $7.7M
$6.2M$6.M $6.8M
$8.1M $7.8M
$2.2M$2.4M
$2.1M
$2.8M$2.M
$
$2.M
$4.M
$6.M
$8.M
$10.M
$12.M
$14.M
$16.M
$18.M
$20.M
FY2011 FY2012 FY2013 FY2014 FY2015
SMALLBODIESBYFISCALYEAR
KBOs/TNOs
Comets
Asteroids
Keyword– TargetBody,SmallBodies FY2011 FY2012 FY2013 FY2014 FY2015
Asteroids $7.1M $7.9M $7.8M $7.7M $7.7M
Comets $6.2M $6.M $6.8M $8.1M $7.8M
KBOs/TNOs $2.2M $2.4M $2.1M $2.8M $2.M
$564K $514K $1.2M $1.4M $1.4M
$7.8M
$4.5M$2.3M $2.2M
$460K
$3.9M
$3.2M
$3.M
$7.4M$10.2M
$2.4M
$2.M
$1.M
$90K
$353K
$655K
$692K$535K
$1.8M
$2.5M
$2.5M
$2.8M
$9.2M
$
$5.M
$10.M
$15.M
$20.M
$25.M
FY2011 FY2012 FY2013 FY2014 FY2015
OTHERBODIES(BYFY)
Extra-solarPlanets
Solarwind
ProtoplanetaryDisks
Presolarnebula
PotentiallyHazardousObjects
Non-specific Planets
NoneSpecified
NearEarthObjects
Interstellargrains
HypervelocityImpacts
Dust
Keyword– TargetObject,Other FY2011 FY2012 FY2013 FY2014 FY2015
Dust $564K $514K $1.2M $1.4M $1.4M
HypervelocityImpacts $759K $729K $570K $233K $86K
Interstellargrains $558K $296K $ $126K $106K
NearEarthObjects $705K $371K $380K $279K $197K
NoneSpecified $7.8M $4.5M $2.3M $2.2M $460K
Non-specificPlanets $3.9M $3.2M $3.M $7.4M $10.2M
PotentiallyHazardousObjects $27K $76K $50K $53K $
Presolarnebula $2.4M $2.M $1.M $158K $126K
ProtoplanetaryDisks $90K $353K $655K $692K $535K
Solarwind $266K $270K $103K $22K $80K
Extra-solarPlanets $1.8M $2.5M $2.5M $2.8M $9.2M
$30.3M $29.8M $28.5M $31.9M $36.4M
$5.4M $5.4M $4.1M$6.4M
$6.7M$12.1M $12.M $11.9M$12.3M
$16.6M$15.M $17.7M $17.1M
$16.9M
$18.5M$7.1M $9.M $8.9M$9.2M
$12.8M
$12.4M$11.1M
$9.6M
$13.2M
$18.3M
$5.9M $4.2M $5.8M
$6.1M
$8.8M
$20.1M $18.3M $17.4M$9.6M
$11.4M
$1.5M $1.2M $3.1M $2.9M
$6.8M
$
$10.M
$20.M
$30.M
$40.M
$50.M
$60.M
$70.M
$80.M
$90.M
$100.M
$110.M
$120.M
$130.M
$140.M
$150.M
FY2011 FY2012 FY2013 FY2014 FY2015
R&AINVESTMENTBYFISCALYEAR- SCIENCEDISCIPLINEUnspecified
Spectroscopy
SolarSystemDynamics
PlanetaryProtection
PlanetaryDynamics
NoKeyword
MineralPhysics
Magnetospheres
Geophysics
Geology
Geochemistry
Exosphere
Cosmochemistry
Atmospheres
Astrophysics
Astronomy
Astrobiology
DRAFT– NottoShare
Keyword– ScienceDiscipline FY2011 FY2012 FY2013 FY2014 FY2015Astrobiology $30.3M $29.8M $28.5M $31.9M $36.4MAstronomy $5.4M $5.4M $4.1M $6.4M $6.7MAstrophysics $125K $57K $48K $43K $Atmospheres $12.1M $12.M $11.9M $12.3M $16.6MCosmochemistry $15.M $17.7M $17.1M $16.9M $18.5MExosphere $466K $500K $1.5M $2.4M $2.5MGeochemistry $7.1M $9.M $8.9M $9.2M $12.8MGeology $12.4M $11.1M $9.6M $13.2M $18.3MGeophysics $5.9M $4.2M $5.8M $6.1M $8.8MMagnetospheres $2.7M $2.6M $2.2M $2.6M $3.8MMineralPhysics $45K $104K $50K $130K $302KNoKeyword $20.1M $18.3M $17.4M $9.6M $11.4MPlanetaryDynamics $1.4M $1.4M $1.7M $1.5M $3.1MPlanetaryProtection $926K $597K $770K $370K $641KSolarSystemDynamics $843K $1.8M $2.4M $2.6M $3.2MSpectroscopy $1.5M $1.2M $3.1M $2.9M $6.8MUnspecified $86K $99K $102K $ $
SubpanelsforPlanetaryGeology&GeophysicsROSES2011-2013
• GeologyA&B• GeophysicsA&B• RemoteSensingA&B• Dynamics(ROSES2011,2012)• Mars(ROSES2012)• OuterPlanets(ROSES2012)• RemoteSensing&Spectroscopy(ROSES2012)• Spectro/IR(ROSES2011)
Subpanels– SolarSystemWorkings2014
• Atmospheres:Tenuous/Exosphere• ImpactProcesses• Petrology• Space-SurfaceInteractions• Spectroscopy:OuterSolarSystemandComets• Volcanism
• Atmospheres:Chemistry,Climate,Evolution&Variability• Geophysics• IcyBodies• Mineralogy• Rings/Dynamics• Spectroscopy:InnerSolarSystemandSmallBodies
Subpanels– SolarSystemWorkings2014
• Atmospheres-SurfaceInteractions• Atmospheres:Structures/Dynamics• Geomorphology• Magnetospheric ProcessesandDynamics• Permafrost,GlaciersandRegolith
Subpanels– SolarSystemWorkings2015
• ATMSurfaceCoupling• ATM– Tenuous• Petrology• TidalDynamicsandHeating
• Asteroids• Atmosphere:Chemistry&LabStudies• Atmosphere:Structure/Dynamics• Regolith
Subpanels– SolarSystemWorkings2015
• AqueousGeochem• Chlorine,IsotopesandSulfates• Comets• Spectroscopy
• Atmospheres:Ionosphere,Mesosphere&Thermosphere• Geomorphology• Orbit/Soin Dynamics• Space-Surface
Subpanels– SolarSystemWorkings2015
• ATM-SurfaceCoupling• ATM-Tenuous• Petrology• TidalDynamics
• Geophysics• ImpactProcesses• Magnetospherics• Volcanism
PrinciplesofSMD’sResearchandAnalysis(R&A)PeerReviews
•SMDmanagesitsR&Aprogramsstrategically,increasingthereturnfrommissionsinprogressorcompleted,andlayingthegroundworkformissionsyettobeinitiated.•SMDseekstheinputofthescientificcommunity,asappropriate,inevaluatingthescientific/technicalmerit,programmaticrelevance,andcostreasonablenessandrealismofproposals.•SMDplacesthehighestvalueonfair,unbiased,unconflicted,andcompetentreviewsofallcompliantandresponsiveproposalssubmitted.•SMDprotectstheconfidentialityofproposersandreviewers,aswellasthesensitiveandproprietarycontentofproposals.•SMDstrivestoprovideclearfeedbacktoproposersinatimelyfashion,includingthedispositionoftheproposalandthemajorfactor(s)thatledtotheselectionornotoftheproposal.•SMDentrustsitsProgramOfficerswiththeresponsibilityandtheauthoritytoimplementitsprinciplesandpoliciesandtopresentwell-supportedselectionrecommendationstotheSelectionOfficial.•SMDchargesitsSelectionOfficialswithadvancingNASA’sstrategicgoalsandmaximizingthesciencereturnwithinprogrammaticconstraintsbyexecutingtheirjudgmentinmakingselectionandnonselectiondecisions.
4.Adetailedbreakdownoftheprocessfromproposalsubmissiontoassignmentofproposalstothesubpanels,notingespeciallytherolesofthecaucusmembers,thepanelchairandthegroupchiefs(understandingthatthereisvariancebetweenprogramelementsinhowthisisdone).
SMDPolicyDocumentSPD-22:ManagementofROSESPeerReviewandSelectionProcessStep-1proposalsaresubmittedbyAuthorizedOrganizationalRepresentative(AOR)totheNSPIRESsystempriortopublisheddeadline.AmasterlistisprovidedtotheDisciplineScientist(caucuslead)whoshareswithhis/hercaucus.Caucusmeetstodiscussencourage/discouragedecisionforallcompliantStep-1proposals.Encourage/discouragelettersareuploadedinNSPIRESandreleasedtoproposers.Caucusmeetstosortproposalsinto“likesubpanels”ofgenerallysimilarsize,i.e.similarnumberofproposalstypicallylessthan20butwithacommonthemeordiscipline.Sometimes,apanelchairhasalreadybeenidentifiedandparticipatesinthesorting.Caucusmembersandpanelchairidentifycandidatesforgroupchiefs(alsoreferredtoassubpanelchairs)andthenstartpopulatingpanelsandmakingreviewassignments.PanelChairtypicallyhasteleconswiththeGroupChiefsandthereissomehorsetradingofproposalsbetweensubpanels.Thesearchforpanelistsalmostalwaysyieldsexternalreviewersaspeoplewhocan’tattendinpersonbutwillreview.Thisprocessgetsiterateduntileachproposalhasatleasttwopanelreviewersand1-3externalreviewers.
PeerReview(FromGuidebookforProposers)
• Tobecompetitiveforselection,proposalsmustfullysatisfytheevaluationcriteriaasdeterminedbypeerreviewforscientificand/ortechnicalmerit,andbyprogrammaticevaluationforcostandrelevancebyNASA.(NASApeerreviewmembersmayalsoparticipateindeterminingtherelevanceofaproposaltoNASAprogramobjectivesandtherealismandreasonablenessofproposedcosts.
• Followingpeerevaluation,thecognizantNRAProgramCaucuswillconsiderthecompetitivelyratedproposalsinthecontextoftheprogrammaticobjectivesandfinanciallimitationsstatedintheNRA.
• TheCaucuswillpresentarecommendationforselectionbasedontheentiretyofthesefactorstotheNASASelectionOfficialidentifiedintheNRA.
5.Adetailedbreakdownofthepost-panelprocess– howdotheresultsofthesubpanel reviewsturnedintoaprioritizedlistofproposalsforfundingacrosstheentireprogramelement,andwhataretherolesofthecaucusmembers,panelchairandgroupchiefsinthisprocess?Howisprogrammaticanddisciplinebalancemaintained?SMDPolicyDocumentSPD-08:RequirementsforSelectionDecisionDocumentsforNASAResearchAnnouncementsincludingROSESWithin4weeksoftheendofthereviewpanel,thecaucusleadandcaucusmemberspreparetheSelectionRequirementsPackage(SRP),includingadraftSelectionDecisionDocument(SDD),andthecaucusleadsignstheSRPandpresentstheSRPtotheselectionofficial(SO).TheSDDmustcontain,
“AbriefrationalefortheselectionbasedupontheexpertevaluationofproposalsbeapeerreviewpanelinaccordancewiththeevaluationcriteriadefinedintheNRA,andincorporatingprogrammaticfactors;andAbriefdescriptionofthepost-paneldecisionmakingprocessusedtoarriveattheselection.Inparticular,theselectionofproposalsidentifiedbythepeerreviewashavingalowerevaluationresultthanthose notseslected mustbeexplained.”
Theselectingofficialselectsasubsetofthesubmittedproposals,fullyorpartially,anddeclinestoselecttherest,andsignstheSelectionDecisionDocumentOncethereviewpanelisdone,therolesofpanelchairandgroupchiefarecomplete,theydonot participateinthepreparationoftheSelectionRequirementsPackage.Theymayhoweverbecontactedtoparticipateinarequestforreconsiderationatthecaucuslead’sdiscretion.ProgrammaticanddisciplinebalanceisdiscussedduringtheselectionmeetingwiththeSO.TypicallyinpreparingtheSDD,thecaucusleadinconjunctionwiththecaucuswouldidentifyanyimbalanceeitherextantintheprogramoronethatwouldresultfromtheselectionrecommendationandmakeadjustments
CDAP
DDAP
EW
EXO
HW
LARS
LDAP
MDAP
PDART
PSTAR
SSO
SSW
XRP
Goal 1: Origin & Content of the Solar System
Goal 2: Processes
Goal 3: Origin of Life
Goal 4: Habitability
Goal 5: Hazards & Resources
A connecting line meansthat the caucuses share
at least one person
CaucusNetworkDiagram
Howcaucusesoverlapandinformoneanotherandaddressourstrategicgoals
ProposalsbyOrganizationType
0
200
400
600
800
1000
1200
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Num
bero
fProposals
Solicitation Year
Company
University
OtherUSGov.
NASA(inc.JPL)
Non-profit
CommunityProposalWorkload(1)
800
857 858
1013
849
918942
997
776
952
229 235 246
343
264 284 304 310
255290
0
200
400
600
800
1000
1200
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Num
bero
fIndividals
Solicitation Year
Individualssubmittingatleast oneproposal.
Individualssubmittingmorethan oneproposal.
CommunityProposalWorkload(2)
571 621 611669 584 633 637 686 524 665
165 159 156215
174 173 202 183 156 175
42 48 53 75 52 66 71 74 61 81
13 22 27 28 21 33 15 32 24 226 5 4 16 11 10 8 12 13 73 1 6 9 6 2 8 9 2 5
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
PercentageofIndividuals
Solicitation Year
>5proposals
5proposals
4proposals
3proposals
2proposals
1proposalActualnumberofindividuals
http://www.lpi.usra.edu/nuggets/