NextSTEP-2_App_D_ISRU_BAA.pdf

National Aeronautics and Space Administration

Advanced Exploration Systems Division Human Exploration and Operations Mission Directorate NASA Headquarters

300 E ST SW

Washington, D.C. 20546-0001

Next Space Technologies for Exploration Partnerships -2

(NextSTEP-2)

Appendix D: In-Situ Resource Utilization (ISRU) Technology

Broad Agency Announcement NNH16ZCQ001K-ISRU

Originally Issued: December 4, 2017 Proposals Due: March 5, 2018 by 5:00 PM Eastern Time

NextSTEP-2 Appendix D: In-Situ Resource Utilization Technology

NextSTEP-2 Appendix D: ISRU Technology Change Log

Version Description of Changes Date

Original Release ------- December 4, 2017

Table of Contents

1 Introduction

1.1 Background

1.2 In-Situ Resource Utilization

1.3 Objective and Acquisition Strategy

2 Funding Opportunity Description of Solicitation Topic

2.1 Description of Solicitation Topic

2.1.1 Trade Study Specific Objectives

2.1.2 Component and Subsystem Technology Development Specific Objectives

2.2 Target Capabilities

2.3 Availability of NASA Facilities

2.4 General Information for Participants

3 Eligibility Information

3.1 Eligibility of Applicants

3.2 Corporate Resources

4 Proposal Submission Information

4.1 Instructions for Proposals

4.1.1 Proposal Format and Contents

4.2 Additional Proposal Guidance

4.2.1 Contract Structure

4.2.2 Deliverables

4.2.3 Government-Contributed Resources

4.2.4 Access to Research Results/Data Management Plan

5 Proposal Review Information

5.1 Proposals Reviews Information

5.2 Relevance Criteria

5.3 Scientific/Technical Merit Criteria

5.4 Weighting Factors

6 Award Information

6.1 Funding Availability

6.2 Period of Performance

6.3 Award Date

6.4 Funding Allocation

7 Attachments & References

1 Introduction

1.1 Background

NASA supports public-private partnerships for achieving its strategic goals and objectives for expanding the frontiers of knowledge, capability, and opportunities in space. The next step for human spaceflight beyond low Earth orbit (LEO) is into cislunar space and destinations to planetary bodies. An important part of NASA’s strategy is to stimulate the commercial space industry and engage related terrestrial industries while leveraging those commercial capabilities through public-private partnerships and potentially through future contracts to deliver mission capabilities at lower costs.

NASA’s Journey to Mars: Pioneering Next Steps in Space Exploration (ref. 1) released in October of 2015 states that NASA is working toward the capability to work, operate, and sustainably live safely beyond Earth. To progress from our current “Earth-Reliant” approach to exploration and eventually become “Earth Independent”, we need to first identify resources in space and then learn to use and harvest them to minimize logistics from Earth, reduce costs, and enable sustainable and affordable space transportation and surface operations. NASA’s recent plans for human exploration, the Evolvable Mars Campaign (EMC), calls for crewed missions to cislunar space in the 2020’s, and in the vicinity of Mars by the mid 2030’s, which could include missions to Phobos or Deimos before exploring the Mars surface. The last detailed NASA mission architecture that was released to the public, the Mars Design Reference Architecture 5.0 (ref. 2 & 3), identified the production of oxygen (O2) from Mars resources for Mars ascent propulsion as enabling for human exploration of Mars, and production of methane (CH4) as enhancing. External studies have also been performed that highlight the importance of lunar derived propellants for enabling and expanding human exploration and commercial industry into cislunar space (ref. 4 & 5).

Unlike other exploration elements, in-situ resource utilization (ISRU) has no flight precedent. To advance ISRU capabilities, and to engage private industry, NASA issues this appendix for trade studies, components, and subsystem development to support the goals of the NextSTEP-2 Omnibus Broad Agency Announcement (BAA) supporting basic and applied research and technology for human space exploration and robotic precursor activities.

1.2 In-Situ Resource Utilization

In-Situ Resource Utilization (ISRU) involves collecting and converting local resources into products that can reduce mission mass, cost, and/or risk of human exploration and lead to Earth independence. While NASA has analyzed and developed ISRU component and subsystem technologies for several decades, many of the technologies and systems are still immature, do not meet collection and processing rates needed for sustained human exploration, and/or have not been operated for long durations under relevant mission environmental conditions. Specifically, technologies are needed to increase scale and efficiency, decrease mass, power, and volume envelope, improve thermal and operational integration, and operate for expected mission durations under mission environmental conditions. Major technical challenges for In-Situ Resource Utilization relevant to this BAA are described in NASA Technology Roadmap TA7

(ref. 6), specifically TA7.1.2 Resource Acquisition, TA7.1.3 Processing and Production, and TA4.3.6 Sample Acquisition and Handling.

The initial interest for ISRU in human exploration is use of carbon dioxide (CO2) from the Mars atmosphere, and water and other volatiles from extra-terrestrial soils for production of mission critical consumables. These resources may be processed individually, such as processing atmospheric CO2 to extract oxygen, or processed together to produce oxygen and fuels such as methane for propulsion, regenerative power, and life support system applications.

For human Mars surface missions, approximately 30 metric tons of oxygen and methane propellant are required for ascent propulsion in the crewed Mars Ascent Vehicle or MAV (ref.

7). To make this much propellant approximately 20 metric tons of CO2 and 16 metric tons of water (H2O) is required. The actual production rate to make the MAV ascent propellant depends on a variety of mission assumptions, including trajectory timelines for the cargo and crew vehicle arrival and landing at Mars, type of surface power available, and mission risk postures, that influence how much time and energy is available to create the propellant or product needed (ref. 8). Current ISRU guidelines call for three independent modules, each capable of producing 50 percent of the total propellant needed, thereby providing capability to recover from a complete failure of one module. Based on module redundancy, mission assumptions, and ascent propellant amounts needed, per module production rates are 1.1 kg O2/hr for O2 only from the atmosphere, and 1.35 kg O2/hr and 0.34 kg CH4/hr for O2 and CH4 from the atmosphere and soil water.

Resources at the Moon, asteroids, and Phobos or Deimos may also be important for human exploration of the Moon and Mars. During NASA’s Constellation Program, oxygen extracted from regolith for life support (1000 kg per year) and possibly used to provide propellant for the lunar ascent stage (~3500 to 4000 kg per mission) was incorporated into mission studies (ref. 9).

While previous lunar ISRU research and development was focused on oxygen extraction from mineral oxides in the regolith, this BAA is requesting technology for extraction of water from the ice that exists at the lunar poles in permanently, or near-permanently, shadowed regions. As previously mentioned (ref. 4 & 5), use of lunar water can be used to support lunar landers/ascent vehicles, provide propellants for reusable cislunar exploration, or even support human Mars missions (ref. 10). The amount of water needed to be converted to oxygen (O2) and hydrogen (H2) propellant varies as a function of lander/ascent payload capability and delivery orbit destination (low lunar orbit vs Lagrange point) but is on the order of 14 to 50 metric tons of O2/H2 per mission. Water and other resources on asteroids and the moons of Mars have also been considered for production of life support and propulsion consumables. However, until more is known about these destinations, the emphasis in this BAA for asteroids and Phobos or Deimos ISRU is only on trade studies that address technical feasibility and identify critical architecture and technology gaps.

This BAA seeks proposals for trade studies and design, fabrication, and testing of critical components and subsystems for acquisition and processing of extraterrestrial resources into water, oxygen, and fuel, using technologies and processes that leverage and support space or terrestrial commercial activities.

1.3 Objective and Acquisition Strategy

Recent NASA plans call for crewed missions to cislunar space in the 2020’s and in the vicinity of Mars by the mid 2030’s. Technologies incorporated into these missions must be proven viable for use well in advance of the mission, especially if they are used in a mission critical application. The Human Exploration and Operations Mission Directorate (HEOMD) Advanced Exploration Systems (AES) Division and the Space Technology Mission Directorate (STMD) Game Changing Development (GCD) program are working together on an integrated technology maturation plan (ref. 11) to advance ISRU capabilities to system Technology Readiness Level (TRL) 6 (ref. 12). The ISRU development plan will follow a phased approach, progressing from development of critical components and closing technology gaps (3 years), to design and testing of key subsystems (2 years), to integrated end-to-end system tests (3 years), all under relevant environmental conditions. Reference 11 provides additional description of the definition of components, subsystems, and systems used in this project. Timely infusion of technologies from space and terrestrial commercial industries from this BAA is a critical component of the NASA ISRU strategy.

Another important objective of this BAA is to stimulate the commercial space industry and engage related terrestrial industries through public-private partnerships, especially to leverage existing commercial capabilities. Therefore, it is important to understand how terrestrial technologies and capabilities can be spun-in to space ISRU needs and how components and subsystems developed under this BAA can be commercialized or spun-back into terrestrial markets.

This BAA will follow a three-Track approach, with key features summarized in Table 1. Tracks 2 and 3 will be implemented as multi-year efforts with a base Period of Performance (PoP) for the initial phase and succeeding phases of development implemented as contractual options that can be exercised based on the results assessed from continuation reviews.

Track 1 - Trade Studies: NASA is interested in funding a limited number of trade studies to help identify critical architecture and technology gaps and to further define the benefits of ISRU for various destinations and mission profiles. While some scientific and experimental work may be proposed in this Track, the emphasis should be on comparing and contrasting different options (e.g., a mission with and without ISRU, comparing one ISRU option to another ISRU option for a given mission, etc.).

Track 2 - Component Development: Development and testing, in a relevant environment, critical components whose operation within an ISRU system requires unique capabilities not available in state-of-the-art hardware. Some examples of what is considered a ‘component’ are high-temperature gas species or phase separators, variable-condition heat exchangers, gas and fluid recirculation pumps, renewable digging edges, soil transfer mechanisms, etc. Note: This list provides examples of what constitutes a ‘component’ for purposes of this appendix; proposers are not limited to these example components.

Track 3 – Component and Subsystem Development: Fast-paced development of a critical component(s), followed by development and testing of the subsystem in which the critical component(s) resides. Subsystems of interest include atmosphere collection, oxygen or fuel production, excavation, and soil processing. Testing in a relevant environment of the component(s) and especially the subsystem is required for this track.

Table 1. ISRU BAA Track Summary

Track 1

Trade Studies Track 2

Component Track 3

Component/Subsystem Description

Trade study to identify critical architecture and technology gaps, and to further define benefits of

ISRU

Component development and test in relevant environment.

The majority of the awards will be in this Track.

Component development and test in relevant environment, followed by subsystem development and test in relevant environment

Duration < 1 year 3 years (2-year base, 1-year option)

3.5 years (18-month base, 2-year option)

Anticipated Award Value

$50K $250 - $500K per year $250 – 750K per year

Milestones Final report

(Base PoP, 2-years):

Phase I (12 months):

TRL 4 minimum;

design PDR for TRL 5 hardware

Phase I (Base PoP, 18 months): Component TRL 5 demonstration;

subsystem design PDR

Phase II (12 months):

Initial TRL 5 demonstration

Phase II (Contract Option 1, 24 months):

Subsystem TRL 6 demonstration (Contract Option 1,12 months):

Phase III: 2nd generation TRL 5 hardware demonstration

Follow-on Potential (SOW to be developed near end of performance period)

Potential follow-on contract modification for study enhancements

Potential follow-on contract modification to incorporate promising components into subsystem-level demonstration

Potential follow-on contract modification to incorporate subsystem into NASA system-level testbed

2 Funding Opportunity Description of Solicitation Topic

2.1 Description of Solicitation Topic

This research and development BAA seeks milestone achievement-based firm fixed price contracts focused on furthering the development of ISRU components and subsystems to extract and process resources from the Mars atmosphere and from the regolith/soil on the Moon and Mars. Primary products of interest are water from lunar and Mars regolith-based sources; oxygen from Mars atmosphere carbon dioxide; and oxygen and methane from Mars atmosphere carbon dioxide and extracted water, or from volatiles extracted from lunar regolith. Trade studies are also sought that address critical architecture and technology gaps at a variety of destinations including the Moon, Mars, asteroids, and the moons of Mars.

2.1.1 Trade Study Specific Objectives (Track 1)

The incorporation of using extraterrestrial resources for human exploration and commercial expansion beyond Earth’s orbit introduces a number of fundamental questions about the resources available, the infrastructure needed to extract and process the resources, and the impact and changes on architectures required to maximize the benefits of in-situ derived consumables and products compared to architectures with everything launched from Earth. NASA is interested in trade studies that can provide guidance and rationale on critical open questions that need to be addressed for ISRU development and incorporation into mission architecture plans.

Examples of trade studies of interest include, but are not limited to the following:

• What level of resource information is required to adequately design ISRU hardware and select landing sites for the extraction and processing of the resource? If the information does not currently exist, what is still needed and how should the information be obtained?

What resolution (e.g., with depth, with area) and level of fidelity (e.g., number of samples, range of concentration) is recommended?

• What resource, including the location and form in which it is found, optimizes the infrastructure (ISRU hardware, power, and storage) and mission risk for generation of oxygen, oxygen and fuel, and/or water for propulsion, life support, and fuel cell power applications?

• What ISRU technology, processes, and/or concept of operations will minimize the infrastructure mass, power, and volume for oxygen, oxygen and fuel, and/or water production, while also providing low mission risk due to life, reliability, and environmental factors?

• What extra infrastructure or changes in architecture elements (such as landers, in-space transportation, surface or orbital propellant depots) are needed to utilize and/or transfer ISRU derived commodities from the Moon, Mars, moons of Mars, and asteroids for use in mission architectures for exploration beyond Earth’s orbit?

2.1.2 Component and Subsystem Technology Development Specific Objectives (Tracks 2 and 3) Proposals are sought for the design, fabrication, and testing of ISRU components and subsystems for resource acquisition and production of oxygen, water, and methane on the Moon and Mars.

Proposals can address components for either the Moon or Mars, or both, and can focus on either regolith-based resources or Mars atmospheric-based resources. Proposals for these tracks should address the rates and operation durations specified in Table 2 and the environments and locations specified in Section 2.2. The impact of both continuous long-duration operation and daily or periodic startup/shutdown operations should be addressed, as well as the scalability of the proposed component(s) and subsystem(s) to increases or decreases from the values specified in Table 2. Specific objectives, based on resource type, for the component and subsystem technology development portion of this BAA are described below.

2.1.2.1 Regolith/Soil Acquisition and Processing Specific Objectives Regolith/soil acquisition systems of interest include excavation of compacted hydrated soils on Mars and excavation of icy soils at the Moon and Mars, as well as the transfer of the raw resource after excavation. Technologies for accessing deep ice deposits that may exist at Mars are also of interest. Regolith processing systems of interest include processing to extract water from all regolith/soil types, including granular soils (bound water or hydrated minerals), compacted hydrated minerals, icy soils, and nearly-pure deep ice deposits. The specific objectives below involve the components and functions that are high-priority in this BAA due to considerable technical challenges that still exist. Proposals for development of other components in regolith/soil acquisition and processing systems are also acceptable as long as they represent a significant advancement in technology capability. Proposals for excavation, transfer, and processing technologies that are viable at more than one mission destination should be emphasized.

• Regolith/soil acquisition and transfer technologies should address the form of the water resource, the physical and mineral properties of the regolith/soil, how near the surface the resource is, and the environmental conditions of the resource location.

• Proposals addressing transfer technologies should address whether the raw resource should be modified (e.g., crushed) to facilitate the transfer. Technologies that can extract water from conditions at more than one mission destination should be emphasized:

• Water extraction technologies from any Mars- and lunar- regolith/soil resource, whether continuous or batch method, should demonstrate methods to minimize loss of any process gases (non in-situ), and minimize mass and power, especially through effective thermal management designs.

• Water collection, clean-up, and storage technologies should address separation of H2O from other volatiles released from the regolith, removal of expected contaminants from the water extracted from the different potential resources (type and location), and regeneration of any filters, membranes, and/or sorption beds used for separation if needed.

• Soil transfer technologies should demonstrate the ability to operate continuously or with repeated start/stop cycles over the duration of operation.

• Soil storage technologies should address storage of excavated and possibly crushed regolith for up to 2 days before processing, with minimal loss of water and other volatiles and without settling/solidification that would preclude easy soil removal and transfer.

While each objective addresses a step in the end-to-end process of acquiring and processing extraterrestrial materials to obtain water and other volatiles, proposals may propose concepts and technologies that can combine two or more of these objectives.

NASA recognizes there can be significant differences among terrestrial materials used to simulate extraterrestrial soils, minerals, and resources. For the final TRL 5 (Track 2, Phase III) and TRL 6 (Track 3, Phase II) demonstrations, NASA will provide as Government Furnished Property up to 800 kg of an appropriate simulant, selected from the best standardized simulants at that time and based on the objectives of the tests. Required simulant properties and quantities will be discussed between NASA and the awardee during preparation for the final demonstration.

For tests performed during the base period of performance, proposals should identify what terrestrial material(s) they plan to use for development testing, and how these materials provide the relevant physical or chemical properties compared to current knowledge of the extraterrestrial resource at the location and environment of interest. References 13-18 provide some information on existing or previously used simulants, but this is not an exhaustive list, and it is incumbent upon the proposer to demonstrate an understanding of how to select the appropriate material. NASA may provide further guidance on extraterrestrial simulant selection and usage after award.

2.1.2.2 Mars Atmosphere Collection & Processing Specific Objectives Mars atmosphere processing systems of interest include collection, pressurization, and possible separation of CO2 from the Mars atmosphere, production of O2 from CO2 through electrolysis or the reverse water gas shift processes, and production of O2 and CH4 through the Sabatier process, though other innovative processes can also be proposed. The specific objectives below involve the components and functions that are high-priority in this BAA due to considerable technical challenges that still exist. Proposals for development of other components in Mars atmosphere collection and processing systems are also acceptable as long as they represent a significant advancement in technology capability.

• Carbon dioxide (CO2) cryofreezers collect and compress the CO2 by freezing it on a cold-head and then later warming in a closed vessel. High-efficiency cryocoolers are required to freeze out the CO2 at 150 °C. Proposals should address how the cryocooler efficiency is affected by the daily and seasonal variations in the local environmental conditions (dust, temperature, and pressure).

• Solid oxide electrolyzer technology to produce oxygen from CO2 should address the percent of compressed CO2 reduced to O2 and CO, the required operating temperature and pressure, any sensitivities to operating with pure, hot CO2, and the ability to operate continuously or with repeated start/stop cycles over the duration of operation. Specific emphasis should be placed on methods to increase scale, and proposals should address limitations on the active area per cell and the maximum number of cells in a stack.

Expected performance as measured by area specific resistance or power efficiency should be discussed.

• Technologies for reactant/product recirculation and separation should address separations under relevant conditions, regeneration of filters, membranes, and/or sorption beds, integration of thermal control systems to enable operation in the Mars environment, the pressure difference caused by the separation process, and the effects of low gravity.

Specific examples of separation and recirculation needs are:

o CO2/CO separation from 350 °C (reverse water gas shift subsystem) up to 900 °C (solid oxide electrolysis) stream of mixed gases with recycling of the CO2 o H2O separation from >250 °C exhaust H2 and CH4 (Sabatier subsystem) or from CO2 and CO (reverse water gas shift subsystem) o H2/CH4 separation post water separation with recycling of the H2 o Removal of H2O from saturated O2 and CH4 product streams before liquefaction of the products o Recirculation pumps and compressors that can operate continuously exposed to the Mars environment.

2.2 Target Capabilities

Proposers to Tracks 2 or 3 are encouraged to focus on one or more objectives that provide key advances in critical technologies and not propose an entire end-to-end system. Proposals should explain the system schematic and context in which the proposed component(s) or subsystem would operate.

Relevant processing quantities, key metrics, and assumptions and goals are listed in Table 2.

While the scale requirements in Table 2 are listed in rate-per-hour, technology solutions that perform in an intermittent fashion are also acceptable, as long as they achieve the same total production quantities on a daily, weekly, or monthly basis. It should be noted that ISRU operations on the Moon and Mars may be performed before crew arrive or in the absence of crew nearby. While communication time delays may allow teleoperation of ISRU systems on the Moon, operations on Mars will most likely need to be performed autonomously with human oversight before the crew arrives. Proposers should consider instrumentation and sensors needed for control and monitoring of ISRU subsystems for Track 3 for these operating conditions.

Because ISRU hardware on the Moon and Mars is required to operate for up to years in duration, proposals need to address both the duration and change in operating environments, such as pressure and temperature, on a daily and yearly basis as a function of possible surface location.

For lunar ISRU, this involves permanently shadowed craters near the lunar poles for water/ice and other volatiles (ref. 19) with nearby areas of long-duration sunlight. For Mars ISRU, regions of interest include equatorial (ex. Gale crater) and low-mid latitude (ex. Jezero crater) locations for hydrated granular soils (ref 20) and hydrated consolidated minerals, and mid to upper latitude

(ex. Utopia Planitia) locations for subsurface ice.

If designing a technology solution that will accomplish the required process throughput using multiple units, the proposer should include a description of the expected operating sequence that supports how the proposed solution meets the top-level objectives. For example, if proposing a

Table 2. Scale, Metrics, and Assumptions for regolith/soil acquisition and processing and Mars atmosphere collection and processing (refs 4,5,7,8,9,21,22).

Component/Subsystem Scale Key Metrics Assumptions, Goals, and Objectives

Soil Acquisition / transfer See water extraction

Hydrated granular soils (Mars) 50 to 100 kg/hr

W / (kg/hr) Peak power

- 1 to 3 %wt (by mass) water in soils Surface/Near surface based on Rocknest sample

Hydrated consolidated mineral (Mars) 12.5 to 30 kg/hr

- 5 to 12 %wt (by mass) water in soils Surface/Near surface

Subsurface Icy soils (Mars) 1.7 to 15 kg/hr

- 10 to 90 %wt (by mass) water ice in soil Layer starts below 1 to 10 m depth

Subsurface Icy soils (Moon)

11.25 to 22.5 kg/hr (ascent only:

5 & 10 wt%)

55 to 372 kg/hr (reusable: 5 & 10 wt%)

W / (kg/hr) Peak power

Water captured / water available

- 1 to 5 %wt water; 0 - 1 m depth based on orbital neutron spectrometer data ~5% ice to depth of several meters based on LCROSS impact 10%+ water; 0 -2 m depth est. based on radar data

Water extraction

Mars water extraction 0.75 kg / hr

W / (kg/hr) Peak power

Water captured / water available

Loss of any process gas

- Based on methane production rate

Lunar water extraction

1.1 kg / hr (ascent only)

5.5 to 18.6 kg / hr (reusable)

- Based on O2 needed for non-reusable crew ascent vehicle; 2 times/year

- Based on 14 to 47 mt of propellant for single stage reusable lander; 2 times/year Both lunar rates assume only 70% of the year for continuous operations

Component/Subsystem Scale Key Metrics Assumptions, Goals, and Objectives

Mars atmosphere collection and processing

CO2 collection and compression

- O2 Only Production

3.0 to 6.0 kg/hr CO2 W / (kg CO2 / hr)

Mars atmosphere:

95.3 % CO2, 2.7 % N2,

1.6 % Ar

- Rate Based O2 Only rate and on 0 to 100% recycling of unreacted

CO2

- O2/CH4 Production 0.97 kg/hr CO2 - Rate Based CH4 Rate

Dust filtration and mitigation

See O2 Only and

O2/CH4

Production

% efficiency of removing dust particles from stream (e.g., 99% removal of particles > 0.3 microns)

Dust:

size range, radius: 0.05 to 10 microns weighted mean radius:

1.5 microns number density, standard: 2 to 5 particles/cm3 for optical depth of 0.6

O2 Production

- O2 Only Production 1.1 kg/hr O2 W / (kg O2 / hr)

- Rate based on production of 1/2 total of 22,728 kg of O2 over 435 days for MAV

- O2/CH4 Production 1.35 kg/hr O2 - Rate based on methane production

CH4 Production 0.33 kg/hr CH4 W / (kg CH4 / hr)

- Rate based on 1/2 total of 6,978 kg of CH4 over 435 days for MAV

CO2/CO separation

1.3 to 7 kg CO2 / hr

1.9 kg CO / hr

W / (kg CO2 / hr) Size / volume pressure drop

% CO2 recovered

Inlet Temperature: 900 °C max.

- Rate based on O2 Only Production rate and 30% to 70% conversion efficiency of SOE or RWGS reactions

CH4/H2O/H2 separation

0.33 kg / hr CH4

1.50 kg / hr H2O

0.04 kg /hr H2

W / (kg CH4 / hr) Size / volume pressure drop

% CH4 recovered % H2O recovered

Inlet Temperature: ~200 °C max

- Rates based on methane production rate and H2 rich Sabatier reaction soil dryer technology to extract water that requires long heat-up and cool-down times such that it would be beneficial to run two units in parallel, it is acceptable to propose to build and test one unit sized to achieve half of the total processing requirement, as long as the overall subsystem design and concept of operations is clearly explained.

When proposing to develop a component technology, the proposed effort should encompass sufficient supporting components that are integral to proving the efficient functions of the technology. For example, if proposing to develop excavation and transfer of hydrated Mars soils to a central processing plant, the excavation and transfer into the mobile collection bin and method for transferring the soil out of the mobile bin should be included, but the actual mobility that would be provided by a rover-excavator can be simulated for the TRL5 demonstration.

2.3 Availability of NASA Facilities

For many of the efforts awarded under this BAA, TRL 5/6 demonstration will require testing in a vacuum/environmental simulation chamber with regolith simulant. NASA will not fund the construction or fabrication of such a specialized facility at the awardee’s site under this BAA;

however, investment in development or fair market value for utilization of such a facility capability can be included as part of the corporate contribution as described in Section 3.2.5 of the NextSTEP-2 Omnibus BAA and Section 3.2 of this Appendix.

As an alternative, NASA has available several unique open air and vacuum/environmental simulation facilities specifically designed for operation with regolith simulant, and these can be made available for testing under awards in this BAA. If the proposer chooses to include testing in a NASA facility, the cost of participation of federally funded government participants and facilities will be included in the proposal’s total cost to the government. NASA will use the total cost of government resources for purposes of evaluating proposals and calculating corporate contribution percentages (see section 3.2.5 of the NextSTEP-2 Omnibus BAA). Attachment A lists NASA’s unique surface simulation facilities. Other smaller lunar and Mars regolith test facilities also exist at multiple NASA Centers. Interested proposers can get additional information by contacting the appropriate Center point-of-contact and specific facility contact listed in Attachment A.

2.4 General Information for Participants

• Agency: National Aeronautics and Space Administration

• Announcement Title: NextSTEP-2 BAA, Appendix D: In-Situ Resource Utilization (ISRU) Technology

• Responsible Office: Advanced Exploration Systems Division

Human Exploration and Operations Mission Directorate NASA Headquarters Washington, DC 20546

• Point of Contact: Nantel Suzuki ISRU Program Executive, Advanced Exploration Systems Human Exploration and Operations Mission Directorate

NASA Headquarters E-mail: HQ-NextSTEP-BAA@mail.nasa.gov

Notice of Intent: Due January 22, 2018 5:00 pm Eastern Time. To assist in the planning of the proposal evaluation process, NASA strongly encourages the submission of a Notice of Intent (NOI) to propose by all prospective offerors. The NOI should contain the following information:

name, address, telephone number, e-mail address, and institutional affiliation of the offeror, and the solicitation topic in which you intend to propose (NextSTEP-2, Appendix D: ISRU Technology). NOIs shall be submitted electronically to the Point of Contact e-mail address above. Please note that NOIs are strongly encouraged, but are not required. Not submitting an NOI will not impact the selection process.

• Inquiries: Due January 18, 2018 5:00 pm Eastern Time. There will be an opportunity to submit written questions about this Appendix. The questions shall not contain proprietary information nor require proprietary information in the response. NASA will not provide evaluations, opinions, or recommendations regarding any suggested approaches or concepts. All questions shall be directed to the NextSTEP e-mail box HQ-NextSTEP-BAA@mail.nasa.gov no later than the date specified above. Inquiries shall identify the BAA number and this Appendix in the email subject field.

• Industry Forum: A NextSTEP-2 Partnership virtual forum will be held for this Appendix and proposers will have a chance to ask questions about this particular solicitation. The date for the forum is December 11, 2017 1:00 pm Eastern Time. The virtual meeting agenda and related teleconference information will be posted to the NextSTEP website (www.nasa.gov/nextstep).

Proposals Due: Proposals must be submitted electronically in accordance with instructions no later than March 5, 2018, 5:00 pm Eastern Time to the NextSTEP e-mail box HQ-NextSTEP- BAA@mail.nasa.gov. The e-mail submission shall include the BAA number and “Appendix D – ISRU Technology Proposal” in the email subject field.

3 Eligibility Information

3.1 Eligibility of Applicants

This solicitation topic is open to non-Government U.S. institutions (companies, universities, nonprofit organizations) and foreign institutions. NASA civil servants, Jet Propulsion Laboratory (JPL) employees, national laboratories, and Federally Funded Research and development Centers (FFRDCs) shall not be proposed as a Prime Contractor on any effort associated with this announcement but may participate as a team member. Proposals from foreign organizations must comply with Section 3.2, Guidelines for International Participation, of the omnibus portion of this BAA. Other eligibility information is also included in the omnibus portion of this BAA.

Respondents are asked to select and consolidate their best concepts and submit no more than three proposals to any combination of Tracks per lead team member.

3.2 Corporate Resources

Offerors are required to show a minimum corporate contribution as follows: 20% of the “overall effort” as defined in Section 3.2.5 of the Omnibus BAA (10% for a Small Business as defined by the SBIR small business eligibility, as posted here: http://sbir.nasa.gov/content/nasa-sbirsttr-program-definitions). Up to 50% of the corporate contribution can come from work performed within the last five years that is directly relevant to the proposed effort. A minimum of 50% of the corporate contribution must be invested coincident with the period of performance of this effort. No more than 50% of the required minimum corporate contribution may be from foreign partners.

Corporate contribution may be in the form of direct labor, consumables, or other in-kind contributions. Also, other reasonable forms of corporate contribution including travel directly related to achieving proposed objectives during the period of performance, investments in special facilities or equipment, tooling or other prior private investment, and internally funded technology maturation such as Independent Research and Development (IRAD) are deemed acceptable for this effort. For this Appendix, state and local government contributions may be included with private corporate resources.

The value of participation by federally funded participants and/or the use of federal government facilities shall be added to the price to the government for determining whether the 20% required corporate contribution has been met.

Criteria and procedures for the allowability and allocability of cash and non-cash contributions shall be governed by FAR Parts 30 and 31, and NFS Parts 1830 and 1831. NASA reserves the right to hold due diligence discussions to make reasonable determinations regarding corporate contributions.

4 Proposal Submission Information

4.1 Instructions for Proposals

See the Omnibus BAA for general instructions. Where instructions are different, the specific instructions in this section are in addition to or supersede the general instructions in the Omnibus

BAA.

4.1.1 Proposal Format and Contents

The proposal format and content requirements as outlined in this section below are specific to this appendix. The required sections of the proposal must be submitted as one searchable, unlocked PDF file with edit permission enabled and the requested MS Powerpoint Summary Chart. Applicants must comply with the format and page limit requirements described in the Omnibus BAA, as well as any additional requirements specified in this appendix. The provisions in this appendix will supersede any conflicting provisions in the omnibus solicitation, and apply to this appendix only.

There is no file-size limit for proposals (This is an exception to Section 3.23 of the NASA Guidebook for Proposers). Only attachments that are specifically requested in this appendix should be submitted.

http://sbir.nasa.gov/content/nasa-sbirsttr-program-definitions) http://sbir.nasa.gov/content/nasa-sbirsttr-program-definitions)

Requirements in this appendix supersede any requirements in the NASA Guidebook for Proposers or in the omnibus solicitation.

Proposal Section Page Limitations Track 1 Tracks 2 and 3

Title Page 1 1 Executive Summary 2 3 Proof of Eligibility 2 3 Technology Concept N/A 15 Technical Approach 10 Business Addendum 3 5 Capabilities 1 1 Intellectual Property 1 1 Price Proposal No Limit No Limit Attachments No Limit No Limit

A page is defined as one side of a sheet, 8 1/2" x 11" with at least one-inch margins on all sides, using not smaller than 12-point font, with the exception of tables and figures, which may use 8-point font. Pages in excess of the page limits for each section will not be evaluated.

Proposals received by the Government after the published date and time for receipt will not be accepted.

4.1.1.1 Title Page:

• Include any Notice of Restriction on Use and Disclosure of Proposal Information.

• An optional graphic image may be included.

• The Proposer’s name of the proposal or proposed project

• Date of the proposal

• The title, solicitation number, Appendix, and Track number being responded to of this Announcement

• Organization name and address.

• Proposer Point of Contact name, title, e-mail address, and phone number.

4.1.1.2 Executive Summary: Describe the proposal’s prominent and distinguishing features.

The Executive Summary should provide an overview of the proposed effort that is suitable for release through a publicly accessible archive should the proposal be selected.

4.1.1.3 Proof of Eligibility: Provide information showing that the Respondent and all team members are eligible participants as stipulated in Section 3 of the Omnibus BAA and this Appendix. Describe compliance with participation requirements as needed. Explain how the required corporate contribution resources will be satisfied.

4.1.1.4 Technology Concept (Tracks 2 and 3 only): The offeror shall describe the overall technology concept and its functions (what role it serves in an ISRU system), how it addresses the objectives and requirements in this Appendix, and its maturity (Technology Readiness Level). Proposers should describe how any of their current space or terrestrial technologies will be used as the basis or inspiration for the proposed ISRU technology development.

4.1.1.5 Technical Approach: The offeror shall describe the approach and schedule for performing the proposed work.

4.1.1.5.1 Track 1 Technical Approach: The offeror shall describe the approach and schedule for performing the proposed Trade Study and addressing the objectives described in Sections 1.3 and 2.1.1. At a minimum, the following items should be addressed:

• Objective of Trade Study and expected key results that will help identify critical architecture and technology gaps and further define the benefits of ISRU;

• Analytical tasks, if any, and approach for validation of analytical methods and results;

• Experimental tasks, if any, and reason for including as part of Trade Study effort

• Detailed work plan and schedule, including key project milestones;

• Identification of key team members, their roles in the project, and management plan to coordinate work across multiple departments and/or partners, if applicable;

• Technical Risks and corresponding mitigation approach.

4.1.1.5.2 Tracks 2 and 3 Technical Approach: The offeror shall describe the approach and schedule for designing, analyzing, and testing the proposed technology concept, including the plans to mature key technologies, in accordance with the objectives described in Sections 1.3 and 2.1.2. At a minimum, the following items should be addressed:

• Analytical tasks, if any, and approach for validation of analytical methods and results;

• Experimental tasks, including description of test facilities and test conditions, general number or length of tests, and data to be generated;

• Detailed work plan and schedule, including key project milestones;

• Technology maturation path, including specific milestones that achieve TRL advancement and justification for TRL claim. Special emphasis should be placed on describing how the environmental test conditions meet the TRL 5 & 6 definitions requiring testing in relevant environment;

• Identification of key team members, their roles in the project, and management plan to coordinate work across multiple departments and/or partners, if applicable;

• Technical Risks and corresponding mitigation approach.

4.1.1.6 Business Addendum: The offeror shall describe how this activity advances the intent of the public-private partnership concept and meets NASA’s strategy to stimulate the commercial space industry while leveraging commercial space and terrestrial capabilities through this partnership and future contracts to deliver mission capabilities, by:

• Providing a business overview

• Defining customer/partnership model

• Listing business case(s) and potential markets that are illuminated and refined by the trade study or leveraged by the hardware development

• Explaining business risks

4.1.1.7 Capabilities: The offeror shall provide evidence of capabilities for performing trade studies or designing and developing technology prototype components and subsystems applicable to the objectives of this Appendix, which could include previous experience, facilities, and equipment or processes.

4.1.1.8 Intellectual Property: The offeror shall describe the approach for data rights and inventions, and how they meet the objectives outlined under the Omnibus BAA in Section 2.7, Intellectual Property. Attachment B provides as a reference the standard FAR patent and data rights clauses used by NASA in contract awards. Offerors are advised to carefully review these clauses and provide any exceptions, with justification thereto, at the time of proposal submittal.

4.1.1.9 Price Proposal: The price proposal shall include the overall firm fixed price for the capability/technology development project. The offeror shall provide total direct labor hours by skill mix, travel, and subcontracts in accordance with the sample format set forth in Omnibus BAA Attachment A.

• For proposals exceeding $750K, fully certified cost or pricing data is required. Offerors should reference corporate resources described in Section 3 (Eligibility).

• For Track 2 and 3 proposals, pricing shall be structured such that the Phases of development are fully priced contract options with periods of performance as indicated in Table 1. Track 2 proposals shall incorporate a 24-month base PoP with an additional 12-month option for development of a 2nd generation component hardware. Track 3 proposals shall incorporate an 18-month base PoP with an additional 24-month option for advanced development.

• In the Price Forms contained in the Omnibus BAA instructions, the offeror shall add a table listing the breakout and value of corporate resources

• In the Price Forms contained in the Omnibus BAA instructions, the offeror shall add a table listing the breakout and value of government-contributed resources, including Government Furnished Property or Government Furnished equipment (GFP/GFE), and any government-funded participants. If requesting up to 800 kg of government furnished simulant for testing as described in section 2.1.2.1, proposals need only indicate the intention to request this GFP and the quantity, but are not required to provide a cost estimate.

4.1.1.10 Attachments:

• Draft Statement-of-Work: The offeror shall provide a draft statement-of-work that includes a work breakdown structure and a description of the major tasks, and products linked to the milestone achievements. The draft SOW shall also contain proposed milestones and deliverables.

o Proposed Technical and Payment Milestones: The offeror shall provide a list of proposed capability/technology development and demonstration milestones. Each milestone shall include a descriptive title, objective entrance/success criteria, and planned achievement dates (month and year). Milestones should represent significant technical and business progress in the effort. At least one milestone per calendar quarter is recommended. The proposal shall also include payment milestones with a title, associated objective success criteria/deliverables, payment amount, and planned dates for completion of the milestone. Technical and payment milestones proposed by selectees are subject to discussion/negotiation with the government prior to contract award.

o Deliverables: Describe the products to be delivered and estimated delivery dates.

Unless specified elsewhere in this Appendix, format is assumed to be contractor format with approval by the Government. Exemplar deliverables could include: routine status and/or technical reports and briefings, Technical Interchange Meeting presentations and notes, design, integration and test documentation, design reviews and test readiness reviews, final briefings, technical data and papers, and component and subsystem hardware.

• Resumes: Resumes may be included for key personnel. In general, resumes should be limited to no more than 2 pages each.

• Corporate Resources documentation (as necessary): This attachment should include documents containing verifiable evidence of the corporate contributions that are being proposed.

• Key Facilities and Equipment (as necessary): Facilities critical to the proposed effort or with unique features and/or capabilities should be identified and described here. Any critical facilities not owned by the lead company require a letter of commitment stating that the facility will be made available to the company at the time stated in the proposal schedule.

• Requested Government-Contributed Resources: For any tasks that include government-funded participants, government facilities, or GFP/GFE, include a SOW or description of tasks and a related cost estimate for those government resources and any associated letters of commitment and associated points of contact. Attachment A contains a list of the Center points-of-contact for each NASA Center should an offeror choose to inquire about relevant facilities or expertise. If requesting up to 800 kg of government furnished simulant for testing as described in section 2.1.2.1, proposals need only indicate the intention to request this GFP and the quantity, but are not required to provide a cost estimate or letter of commitment.

Requested government-contributed resources should involve only those NASA facilities, services, or other in-kind contributions that are unique or not reasonably available commercially.

• Summary Chart: The proposer shall provide a non-proprietary, publically available 1-page summary chart in MS Powerpoint format, using the template in Attachment C, describing the concept and technical approach. This chart will be used by the government to announce the awards on a publically accessible site.

4.2 Additional Proposal Guidance

4.2.1 Contract Structure

• The contract shall be structured with a base PoP with options that implement the succeeding development Phases as described in Table 1 and detailed below. Tracks 2 and 3 shall incorporate continuation review milestones at least 60 days prior to completion of the base period to demonstrate successful completion of all achievements for that period and facilitate the government’s decision to exercise the option period based on programmatic priorities and funding availability.

• Track 1-Trade Studies will consist of an effort lasting less than 12 months with a minimum of one interim review.

• Track 2 - Component Development will consist of a 36-month effort (24-month base and 12-month option) with a continuation review 60 days prior to the end of Phase II.

• Track 3 – Component and Subsystem Development will consist of a 42-month effort (18-month base and 24-month option) with a continuation review 60 days prior to the end of Phase I.

• Offerors are to propose fixed price performance based milestones. For Track 1, these milestones should reference studies or sub-studies…