4 Power and Robotic Systems for Space Mining Operations

Space Mining and Its Regulation

Ram S. Jakhu Joseph N. Pelton Yaw O.M. Nyampong Astronautical Engineering

Series Editor Scott Madry More information about this series at http://www.springer.com/series/5495 New Space Ventures

Ram S. Jakhu • Joseph N. Pelton Yaw Otu Mankata Nyampong

Space Mining and Its Regulation Ram S. Jakhu Joseph N. Pelton Institute of Air and Space Law Executive Board, International Association McGill University for the Advancement of Space Safety, Montreal, QC, Canada Arlington, VA, USA

Yaw Otu Mankata Nyampong Pan African University African Union Commission Addis Ababa, Ethiopia

ISSN 2365-9599 ISSN 2365-9602 (electronic) Springer Praxis Books ISBN 978-3-319-39245-5 ISBN 978-3-319-39246-2 (eBook) DOI 10.1007/978-3-319-39246-2

Library of Congress Control Number: 2016943086

© Springer International Publishing Switzerland 2017 This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, express or implied, with respect to the material contained herein or for any errors or omissions that may have been made.

Cover illustration: Courtesy of Deep Space Industries.

Printed on acid-free paper

This Springer imprint is published by Springer Nature The registered company is Springer International Publishing AG Switzerland Foreword

Simply put, the authors of Space Mining and Its Regulation provide in this rather concise book a comprehensive view of the history, technical challenges, current status, and future probabilities of mining off-Earth space resources. This they do in breadth, depth, and in very accessible detail. They discuss the evolution toward space mining as a natural flow of the human use of space. As presented, the accurate history and analysis makes the author’s views and presentations invaluable. It thus provides critical information both to those responsible for formulating space resource mining policies and those formulating and following laws designed and intended to implement the policies in a relatively global-interest context. The book is thus an extraordinarily useful—perhaps even rare—resource, not just for the daily practitioner of space law relating to the mining of space resources but also to the broad spectrum of relevant policy makers, programmers, and project implementers. In many respects, the subject matter of the book is presented in an intriguingly simplistic as well as highly professional fashion that will attract an average interested and nontechnically oriented reader. The subject matters addressed specifically and in detail cover issues and positions that need to be taken regarding the present and long-term importance of off-Earth natural resources, i.e., exactly why they are needed for the current and future challenges of the world population. Included in the discussions are the various transportation systems and locations for mining a variety of usable space resources; the use of robotic systems for mining purposes; the role of governmental activities and applicable policies in current and future resource mining; the involvement of private sector initiatives, principally by emerging US companies seeking to take advantage of the unfolding accessibility to a variety of different space and space-related resources; the past and current activities of the USA, the former Soviet Union, and now Russia in exploring and developing space resource mining capabilities, as well as those practices and planning pursuits in Japan, China, India, and also in Europe, Canada, and certain other nations located in the western hemisphere. All of these activities are explored by the authors in the context of the existing and potential international and various national regulatory environments. A close look is taken by the authors at existing and potential national space laws relating to resource exploitation. Normally, daily or otherwise routine adoption of laws for domestic and even international purposes is simply the implementing of underlying policies already formulated and either existing or soon to come into effect. There has to be a

v vi Foreword reasonable understanding of the underlying philosophic construct driving all components of human space migration before the mining of space resources can be carried out in a responsible fashion. Otherwise, the sporadic and disparate mining of space resources will affect that migration in perhaps an irretrievably negative fashion. The mining and underlying costs must be for globally shared purposes and conducted with that overall aim or construct as a constant guiding principle. The cost effect of off-Earth mining may well be prohibitive without the broader objective of species migration and survival serving as a significant motivating factor. The book’s authors have shown clearly, carefully, and unmistakably that the absence of pressingly definitive policies regarding the use of off-Earth space resources has forced the traditional law makers and space-related law practitioners to assume much responsibility normally left to the policy formulators. Bringing people together globally for a pressingly common, but little understood, objective is one of the greatest challenges historically faced by constantly evolving cultures, societies, and civilizations. The authors bring much of the global population together in a very pragmatic fashion to focus on the details of mining space resources for the benefit of humans living and working in space, as well as on Earth’s surface. The authors have identified a number of the different start-up, evolving, and established companies across the globe with programs or dedicated activities to explore usable space resources and exploit them financially to the greatest reasonable extent practicable. In addition to describing the flight potential objectives of these companies, the applicability of current space-related mining laws to these objectives is set forth. But some of the real issues emphasized by the authors with respect to identifying potentially usable space resources are the applicability of existing laws and the need to develop and fine-tune not only these laws and regulations but address the need for potentially unique laws as resource identification and usability unfold. In this context, and as relevant dependency on rapidly developing technologies necessary for space resource extraction and practical applications becomes clear and available, the need for an overall jurisprudence underlying resource extraction and applications, both on Earth and off, will become clear. This book presents the underlying policies and available technologies, present and future, necessary for supporting migration off Earth. This is particularly clear in the context of learning how to use space resources, once they are mined successfully, for space habitation to support those mining efforts in situ. With respect to mining lunar resources, the authors are keenly aware of the need to know for what purposes the resources are being mined, and indeed have as thorough a knowledge as possible, for example, of the Moon’s origin and composition, and whether and under what circumstances expanding mining undertakings might or will disturb its physical relationship with Earth and, indeed, orbiting habitats such as the current International Space Station (ISS). The flow of information set forth in the book is orderly, logical, and historically accurate, particularly with respect to the variety of space systems that have existed and currently exist for the retrieval, transportation, and delivery of mined space resources. Again, the book carefully sets forth the underlying policies and technologies necessary for migration off Earth and learning Foreword vii how to use space resources, once mined successfully, for space habitation and production of resources usable on Earth as well as in space. In the context of space resources available, or becoming available, for commercial mining purposes, the authors address the rise of new companies resulting, often uniquely, by contracting and partnering with established companies, such as Northrop Grumman and the birth of commercial space industries over the past 15 or so years. These companies rely primarily on relatively modest start-up capital and bottom-up decision making using constantly evolving technology based on software development that is transforming the way space business is and will be conducted. In a revealing and fascinating fashion, the authors address the issues raised by these new companies and their management style, e.g., flatter and more flexible organizations that are consumer focused, innovative, and with owner-management willingness toward risk-taking. The companies by-and-large are organized in a way that focuses on new technology-oriented problem solving. The authors document a zealous management impatience among all the new space mining companies with restrictive regulations. They are constantly pressing to move ahead rapidly. The authors focus primarily on the United States as the principal source of these new types of business formats and operational infrastructures that reflect activities emphasizing private sector pursuits in addressing space resources mining. They also present a marvelous hint of currently existing companies that could clearly identify and exploit usable resources offered by “potentially mineable” asteroids and Earth’s moon. Finally, the authors bravely tackle how they believe the national, international, and global communities will react to the developing manner of the evolving variety of interests, technologies, and methodologies for capturing and using space resources. In addition to presenting excellent and very readable histories of pursuits to capture and use space resources through often unique methodologies, the authors pose and address the final question for the moment, i.e., “How Is the World Likely to React to these Developments?” The book serves both as a fascinating read and particularly as a very usable text to which space lawyers and policy makers can easily resort for accurate and relevant information in furtherance of their respective professional responsibilities.

Dr. George S. Robinson Preface

This book is designed as a “one-stop shopping” guide to the newly emerging field of space mining. The chapters that follow seek to provide a review of the past, current, and planned activities of various national space agencies of the world—as well as new commercial enterprises—in their relevant efforts to explore and exploit the resources of the Solar System. This review covers the Moon, Mercury, Venus, Mars, Jupiter and its Moon as well as asteroids and even comets. It includes an overview of the exploratory and scientific activities of the United States, USSR/Russia, Europe, Japan, China, India, Canada, and others in terms of space initiatives of national space agencies. This book also provides a review of the current activities of the new space mining ventures, including Planetary Resources, Deep Space Industries, Moon Express, and Shackleton Energy. The book describes the international and national legal and regulatory frameworks (or the absence thereof) within which space mining is being and will be developed or undertaken. Special attention is paid to the legal issues related to existing and evolving international liabilities, property rights, and national licensing systems applicable to private entities aspiring to engage in space mining. Clearly there are great technological, ecological, and legal and policy challenges to be met and resolved before space mining can make the transition from aspiration to reality. This book attempts to provide useful background as to past and current activities as well as to offer a guide to that future as well.

Montreal, QC, Canada Ram S. Jakhu Arlington, VA, USA Joseph N. Pelton Addis Ababa, Ethiopia Yaw Otu Mankata Nyampong

ix Acknowledgements

This book is a significantly expanded and updated version of a study that was carried out in 2013 by Ram S. Jakhu and Yaw O. M. Nyampong for the Canadian Space Agency (CSA). The CSA, which holds copyright to the original study, has authorized and encouraged the authors to publish the study under their names. We are indebted to the CSA for its generosity and support. Tanveer Ahmed helped us in the collection of data for some chapters of this book. We express our gratitude to Tanveer. Dr. Joseph Pelton, the former dean of the International Space University, has added a significant amount of new text with regard to the technical challenges that space mining faces in the years ahead and has participated fully in the complete rewriting of the original study and providing updated materials throughout.

However, as always and notwithstanding the above-mentioned invaluable help and support, the authors remain exclusively responsible for any errors contained in this book.

xi The Arthur C. Clarke Foundation was established in 1983 in Washington, D.C., as part of World Communications Year celebrations at the United Nations, an international event sponsored by the United Nation’s International Telecommunication Union (ITU). The Foundation was created to recognize and promote the extraordi- nary contributions of Arthur C. Clarke to the world and to promote the use of space and telecommunications technology for the benefit of humankind. The Foundation is dedicated to enhancing Sir Arthur Clarke’s legacy and to share that opportunity with like-minded institutions and especially sister organizations such as the Arthur C. Clarke Center for the Human Imagination and the Arthur C. Clarke Institute for Space Education. The Foundation draws its inspiration from an individual whose range of creativity is unimaginably wide. At one extreme is Clarke the physicist who, at age 28, envisioned a time wherein geosynchronous platforms—extraterrestrial relays—could be used for global communication. At the other is Clarke as the most inspiring science fiction writer of his age, and his relentless and profound faith in humanity’s ability to meet, even to elevate, its moral obligations to the planet upon which we live. To the world, Arthur C. Clarke was a visionary, known not only for his science fiction novels such as Childhood’s End, Rendezvous with Rama, and 2001: A Space Odyssey, but also for his scientific publications on space, energy, and the oceans. He is perhaps most famous for envisioning a global network of geosynchronous telecommunications satellite in 1945, as well as conceptualizing the “space elevator”—an elevator from Earth’s surface to orbit, and ocean thermal energy conversion (OTEC).

xiii The Arthur C. Clarke Foundation regards Sir Arthur’s work as an unparalleled synthesis of science, literature, and social concern. History will list him among the few whose insights ranged most broadly in our comprehension of the universe we live in, the way we live in it, and the responsibility we have to improve our world. The scope of his vision is presented in the book The Oracle of Colombo: How Arthur C. Clarke Revealed the Future. The Foundation exists to • Stimulate creative use of communications technologies and social resources to improve health, education, and the quality of life for people everywhere, with emphasis on the needs of developing countries. • Integrate science and technology with literature, film, and other means of outreach to enhance recognition of our increasingly complex, interconnected world. • Deepen public understanding of science and technology and their impact on humanity and our world. To carry out its mission, the Foundation has created and oversees annual awards, educational programs, video productions, lectures, fellowships, travel grants, and endowments to commemorate the life and works of Arthur C. Clarke who died in 2008. The Global Space Institute was formed in 2014 and has offices in the United States and Canada, but is organized and committed to support the outer space community worldwide. It has served a growing list of clients in Europe, Mexico, South Africa, the Middle East, Israel, India, Canada, and the United States with training, research, and educational projects and has provided specialized courses in space development for the International Astronautical Congress. • GSI is an international education and research institute dedicated to the future development of space and especially new applications serving humankind. • GSI was founded by space professionals with decades of international experience within national and regional space programs, the private sector, and world-class universities. • GSI is designed to provide a wide range of services to the international space community whether in the form of on-site training, targeted research and development of space-related products or services, or consulting support. • GSI is available to assist with specialized space training and especially “new space” entrepreneurial initiative training, education, and analysis needs.

xv The International Association for the Advancement of Space Safety (IAASS) was legally established on April 16, 2004, in the Netherlands, as a nonprofit organization dedicated to furthering international cooperation and scientific advancement in the field of space systems safety. In 2004 IAASS became a member of the International Astronautical Federation (IAF). In 2010 IAASS was granted Observer status at the United Nations COPUOS (Committee on the Peaceful Uses of Outer Space). In accordance with the Association charter, the IAASS membership is open to any- one having a professional interest in space safety. Members can be physical persons, corporations, agencies, universities, institutions, and other professional associations. The Association exists to help shape and advance an international culture of space safety (technical, organizational, and socio-political), which would contribute to make space missions, vehicles, stations, extraterrestrial habitats, equipment, and payloads safer for the general public, ground personnel, crews, and flight participants. The Association also pursues the safeguarding and sustainability of the on-orbit environment to allow unimpeded access to space by future generations as well as to address cosmic hazards of all types—including asteroids, comets, and solar storms.

xvii The mission of the IAASS is to advance all forms of space safety study, research, and practical implementation. The association is committed, through the knowledge and dedication of its members, to advance space safety internationally. Goals include: • Avoiding risk badly measured or willingly underestimated; • Providing education and training in the field and providing necessary knowledge concerning space safety especially that not made available by others; • Avoiding and preventing a lack of management commitment and attention to all aspects of space safety; • Seeking to avoid a lack of personal accountability in the field of space safety, which can make people negligent; • Advancing the science and application of space safety; • Improving the communication, dissemination of knowledge, and cooperation between interested groups and individuals in this and related fields; • Improving understanding and awareness of the Space Safety discipline; • Promoting and improving the development of Space Safety professionals and standards; • Advocating the establishment of safety laws, rules, and regulatory bodies at national and international levels for the civil use of space. At its central campus in Strasbourg, France, and at various locations around the world, the ISU provides graduate-level training to the future leaders of the global space community. The university offers a 2-month Space Studies Program, a 5-week Southern Hemisphere Program, and a 1-year Masters program related to space science, space engineering, systems engineering, space policy and law, business and management, and space and society. These programs give international graduate students and young space professionals the opportunity to learn while solving complex problems in an intercultural environment. Since its founding in 1987, the International Space University has graduated more than 3000 students from 100 countries (as noted in red in the map below), creating an international network of professionals and leaders. ISU faculty and lecturers from around the world have published hundreds of books and articles on space exploration, applications, science, and development.

xix Contents

1 Introduction...... 1 Scope...... 1 New Space Industries and Space Mining Ventures...... 2 What Natural Resources Are Found in Space and Where Are They?...... 3 The Technology...... 5 New Space and the Key Space Actors...... 5 The Legal and Regulatory Context: Today and Tomorrow...... 6 The Longer Term Perspective...... 7 Structure and Purpose of This Book...... 8 2 The Importance of Natural Resources from Space and Key Challenges...... 11 Gauging the Future...... 13 Coping with the Scale and Complexity Problem...... 15 Coping with Legal, Regulatory and Standards Problems...... 19 Conclusions...... 21 3 Transportation Systems and Targeting Locations for Space Mining...... 23 New and Improved Transportation Technologies to Support Space Mining...... 27 Chemical Fueled Launchers...... 27 Ion Propulsion...... 28 Nuclear Fueled Propulsion...... 29 Mass-Driver Systems on the Moon...... 31 Space Elevator Systems...... 31 Conclusions...... 32 4 Power and Robotic Systems for Space Mining Operations...... 33 Power Systems...... 34 Photovoltaic and Battery Systems...... 34 Space-Based Thermocouple Energy Systems...... 34 Nuclear or Radioactive Isotope Power System...... 35 Thermoionic Power Source...... 36 Explosives as a Substitute for Mining-Related Energy Needs...... 37

xxi xxii Contents

Space Robotic Mining Systems...... 37 Innovative New Space Mining Concepts...... 38 Conclusions...... 40 5 U. S. Space Exploration and Planetary Resources...... 41 Space Telescope Missions...... 41 The Apollo Lunar Exploration Program...... 42 The Mariners, MESSENGER, the Voyagers, Galileo, the Pioneers, Juno, Huygens-Cassini, Magellan and New Horizons...... 42 Lunar Missions...... 45 Mars Missions...... 47 NASA Asteroid Mission...... 50 Assessing the Broad Impact of U. S. Space Missions Over the Past Half Century...... 51 Space Telescope Findings...... 51 Useful Information about the Moon...... 52 Findings Related to Planetary Bodies...... 53 Mars Exploratory Programs...... 54 Missions to Comets and Asteroids...... 56 The Future of Space Exploration Technology Related to Space Mining...... 57 Conclusions...... 57 6 Private Sector Space Mining Initiatives and Policies in the United States...... 59 The Rapid Growth of New Space Activities in the United States...... 60 Planetary Resources...... 64 Deep Space Industries...... 65 Golden Spike Company...... 66 Shackleton Energy Company...... 68 Moon Express...... 69 The B612 Foundation...... 69 Policies Concerning Space Mining, Resource Extraction and Space Colonies...... 70 Conclusions...... 71 7 Space Enterprises in Russia and the Former Soviet Union...... 73 Conclusions...... 83 8 Activities in Europe, Canada and Other Western Countries...... 85 Herschel Space Observatory...... 85 Mars Express...... 86 Venus Express...... 88 Mercury Mission...... 88 Jupiter Exploratory Mission...... 88 European Mission to the Moon...... 89 ESA’s Deep Space Missions: Giotto, Rosetta, and PLATO...... 90 Contents xxiii

Summary of European Initiatives...... 92 Canada and Other National Initiatives...... 92 Conclusions...... 97 9 Asian Space Programs: Japan, China and India...... 99 Japanese Space Exploration and Scientific Missions...... 100 China’s Planetary Research and Exploration Programs...... 105 The Indian Space Program...... 107 Conclusions...... 110 10 The International Legal Framework...... 113 The 1967 Outer Space Treaty...... 116 The Common Interest Principle and Freedom of Exploration and Use of Outer Space...... 116 Prohibition of Appropriation of Outer Space and Celestial Bodies...... 120 Prohibition of Appropriation of Space Natural Resources...... 123 The 1979 Moon Agreement...... 127 Conclusion...... 129 11 National Space Laws and the Exploitation of Natural Resources from Space...... 131 The United States...... 134 The United Kingdom...... 138 The Russian Federation...... 140 Australia...... 141 Canada...... 142 India...... 143 Conclusions...... 143 12 Conclusions and the Way Forward...... 145

Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law...... 153 Treaty on Principles Governing the Activities of States in the Exploration and Use of Outer Space, Including the Moon and Other Celestial Bodies (1967)...... 153 Agreement on the Rescue of Astronauts, the Return of Astronauts and the Return of Objects Launched into Outer Space (1968)...... 157 Convention on International Liability for Damage Caused by Space Objects (1972)...... 159 Convention on Registration of Objects Launched into Outer Space (1975)...... 162 Agreement Governing the Activities of States on the Moon and Other Celestial Bodies (1979)...... 165 The United States: Space Resource Exploration and Utilization Act of 2015...... 172 xxiv Contents

Title IV: Space Resource Exploration and Utilization...... 172 “Chapter 513: Space Resource Commercial Exploration and Utilization...... 173 SEC. 403. Disclaimer of Extraterritorial Sovereignty...... 174

Glossary...... 175

Index...... 179 About the Authors

Ram S. Jakhu is Director of the Institute of Air and Space Law, Faculty of Law, McGill University, Montreal, Canada, where he teaches and conducts research in international space law, law of space applications, law of space commercialization, government regulation of space activities, law of telecommunications and Canadian communications law, and public international law. He manages and directs a multi- million-dollar research and outreach program for space law and policy. He is a member of the Space Council of the World Economic Forum and a “Fellow” as well as the chairman of the Legal and Regulatory Committee of the International Association for the Advancement of Space Safety. In 2007, he received a “Distinguished Service Award” from the International Institute of Space Law for significant contributions to the development of space law. In 2016, the International Association for the Advancement of Space Safety awarded him the “Leonardo da Vinci Life-long Achievement Award.” He is managing editor of the Space Regulations Library Series and member of the editorial boards of the Annals of Air and Space Law and of the German Journal of Air & Space Law. He served as a member of the board of directors of the International Institute of Space Law, 1999–2013, and as director, Centre for the Study of Regulated Industries, McGill University, 1999–2004, and as the First Director of the Master’s Program of the International Space University, Strasbourg, France, 1995–1998. He is a widely published author and the editor of an award winning book on National Regulation of Space Activities. His academic degrees include B.A., LL.B. and LL.M. in International Law from Panjab University; LL.M. in Air & Space Law and Doctor of Civil Law in Law of Outer Space & Telecommunications (on Dean’s Honor’s List) from McGill University.

xxv xxvi About the Authors

Joseph N. Pelton, Ph.D. is the former Chairman of the Board of Trustees and Vice President and Dean of the International Space University as well as the Director Emeritus of the Space and Advanced Communications Research Institute (SACRI) at the George Washington University. He is a member of the Executive Board of the International Association for the Advancement of Space Safety and former president of the International Space Safety Foundation. Dr. Pelton also served as director of the Accelerated Masters of Science Program in Telecommunications and Computers at the George Washington University from 1998 to 2005. Dr. Pelton was the founder of the Arthur C. Clarke Foundation and has served on its board of directors for several decades. He was also the founding president of the Society of Satellite Professional International (SSPI) and a member of the SSPI Hall of Fame. Dr. Pelton is a widely published and award winning author with over 40 books written or coauthored or coedited with colleagues. His book Global Talk was nomi- nated for a Pulitzer and won the Eugene Emme literature award. Dr. Pelton is a full member of the International Academy of Astronautics, an Associate Fellow of the American Institute of Aeronautics and Astronautics (AIAA), and a Fellow of the International Association for the Advancement of Space Safety (IAASS). He received his degrees as follows: B.S. from the University of Tulsa, M.S. from New York University, and a doctorate from Georgetown University.

Yaw O.M. Nyampong is working as Senior Legal Officer, Pan African University, African Union Commission, in Addis Ababa, Ethiopia. He also served as the Executive Director (Academic Associate) of the Centre for Research in Air and Space Law, McGill University, Montreal, Canada. From 2010 to 2013, he was a postdoctoral research fellow at the Faculty of Law, where his research focuses on the environmental aspects of space exploration and use, particularly how to address the problem of space debris. Aside from his academic laurels and research experience, Dr. Nyampong has extensive practical experience in the field of air and space law, having worked as an international consultant on a number of air law-related assignments for the International Civil Aviation Organization and the World Bank Group. Dr. Nyampong has attended and spoken at numerous air and space law workshops and conferences around the world and has written and published several scholarly articles and book chapters on issues of contemporary relevance in the field. About the Authors xxvii

He holds both a Doctor of Civil Law (DCL) degree and a Master of Laws (LL.M) degree in Air and Space Law from the Institute of Air and Space Law, McGill University, Montreal, Canada. He also holds a Qualifying Certificate in Professional Law from the Ghana School of Law (2000) and a Bachelor of Laws (LL.B) degree from the Faculty of Law, University of Ghana, Legon (1998). He is a member in good standing of the Ghana Bar Association and the Law Society of Upper Canada (Ontario). Introduction 1

doing the bidding of the giant planet Scope Jupiter.1 Today the practical uses of satellites This book explores the exciting poten- have grown and grown. First there were tial of mining space to obtain needed telecommunications satellites (which natural resources. It also examines the now include broadcasting satellites, international and national legal and reg- mobile communications satellites, ulatory processes that would apply to search and rescue and data relay satel- this new and exotic endeavor. For almost lites, and so on). Shortly after the first 50 years—from virtually the start of the communications satellites were Space Age in October 1957—there have deployed, there were also remote- been practical applications of space sensing satellites, weather satellites, and technology. Today we have many pro- navigation and timing satellites. We grams that explore space via astronautic may soon have robotic repair and refuel- and robotic missions, and scientific ing satellites, solar power satellites, as probes to understand the chemistry, well as increasingly sophisticated satel- physics and workings of the universe, lites for various types of defense and but from a practical perspective we also security operations. have application satellites. It is the However, something entirely new is application satellites that constitute our on the horizon for space applications. various tools and mechanical servants in the skies. In fact, the very name given by 1 Galileo to the satellites he discovered Joseph N. Pelton and Scott Madry, Chapter 6, “Satellites Serving Humankind,” in Joseph circling Jupiter was satelles, the ancient N. Pelton’s and Angelina Bukley, The Farthest Latin word for “servant.” He chose this Shore, 2010, Apogee Books, Burlington, because he envisioned these satellites Canada.

This next major commercial space Jeff Bezos, Robert Bigelow, Elon Musk application may redefine the future of and other “space billionaires” created space activities to include major off- new space companies to compete with world activities. It would constitute a well-established aerospace giants, and serious attempt to reclaim natural open new space markets (Fig. 1.1). resources from space, and is called, The advent of “new space” indus- quite simply, space mining. Some of tries has already accelerated the devel- those engaged in this activity also envi- opment of space planes, space tourism sion the processing of materials in space industries, lower cost commercial vehi- and even space manufacturing. cles for access to the International Space Station, and space servicing robotic systems. The question for the New Space Industries next decade is whether new space ven- and Space Mining Ventures tures will be able to successfully launch commercially viable space mining The field of space applications and companies. The business model, of transportation has seen, particularly in course, is just one of the issues. the United States, the evolution of the Technology, regulatory frameworks, term “new space.” This term has been and other factors could also dictate the used in the space industry since the outcome. 1980s, when there were new entrepre- As a Tauri Group paper on the topic neurial entries into the aerospace indus- of new space industry has stated: “These try, which included Orbital Sciences companies believed that flat hierarchies, (now known as Orbital ATK) and compensation schemes developed to SpaceHab. Recent variations on the enable bottom-up decision making, and theme occurred just after the dot-com evolutionary technology development boom, when Internet technology and models, based on experiences in soft- wealthy entrepreneurs such Paul Allen, ware development, would transform

Fig. 1.1 Some of the space billionaires leading the current new space revolution. From left to right: Robert Bigelow, Jeff Bezos, and Paul Allen What Natural Resources Are Found in Space and Where Are They? 3 space business.”2 The last 15 years in natural resources from outer space are particular have seen the birth of a host of clearly new space enterprises. These new commercial space industries. This organizations, along the way, may con- has been significantly stimulated by the tract with and involve conventional and XPrize competition and a number of well-established aerospace companies in enterprising space entrepreneurs who their ventures—just as Deep Space see the challenges of creating entirely Industries has contracted with Northrop new space technology and businesses as Grumman for engineering and design exciting and personally rewarding. studies. But clearly it is the small, flexi- Space X, Scaled Composites, Virgin ble, risk-taking and unconventional com- Galatic, Sierra Nevada, the XPrize and panies that have to date taken the lead in many other new space enterprises have space mining efforts. These organiza- truly changed the landscape of today’s tions as described in the chapters that fol- space industry. Often these new compa- low do indeed tend to have small and nies and their modern entrepreneurial flexible organizations, the inclination to approach to space, particularly as exhib- take risks and to focus on entirely new ited in the United States, have given new space technology, to have modest capital- prominence to the term new space, ization, and are impatient with restrictive which is usually “intended to differenti- regulations and legal constraints, result- ate developing businesses in the space ing from a desire to move ahead quickly. industry from the traditional business In the spacefaring nations outside the structures and norms established during United States the situation is for the the space race.” The Tauri Group analy- most part much different. In the rest of sis of this phenomenon has proposed that the world it is usually the governmen- the typical characteristics of “new space tally backed and funded space agencies companies” included the following: that are developing the technology and undertaking the research that might lead • flatter and more flexible organizations to future space exploration and natural • entities that are consumer-focused, resource extraction. Nevertheless there innovative, and willing to take risks are indications that private initiatives • organizations that are focused on concerning new space activities are new technology solutions.3 beginning to spread around the world. In Chaps. 6–9 the status of relevant space The significant rise of “new space” activities related to possible future space companies is particularly relevant to this mining activities are discussed. book in that the few companies that have now been formed to pursue space mining and which are now planning to extract What Natural Resources Are Found in Space and Where Are They? 2 Jason Hay*, Paul Guthrie†, Carie Mullins‡, Elaine Gresham§, and Carissa Christensen* Global Space Industry: Refining the Definition There are many asteroids that have a of New Space http://enu.kz/repository/2009/ high metallic content, and some of them AIAA-2009-6400.pdf contain precious metals and rare earth 3 Ibid. minerals. One of the new space mining 4 1 Introduction companies has estimated that the There is underway a concerted effort resource content of just a single asteroid to document the orbits of NEOs that to be nearly $200 billion. Other aster- could both be a threat and a boon to oids and the Moon have water, and the Planet Earth. Involved in that effort are Moon contains not only water but a NASA, the Safe Guard Foundation in valuable isotope known as helium 3 that Italy, and the now the U. N. International could be used as a fuel for a nuclear Asteroid Warning Network (IAWN). fusion reactor. One of the new space The truth is that spotting potential can- mining companies has made helium 3 didates for space mining is not an easy mining on the Moon one of its prime task. There are literally millions of objectives. NEOs, and finding them, cataloging The problem with asteroid mining is their orbits, assessing their mineral con- that there are truly so many different pos- tent, and determining if they could eas- sible candidates. And, in fact, the termi- ily be approached and exploited for nology can be a bit confusing. First of all mining is a very large job indeed. NASA near Earth objects (NEOs) are also some- has been tasked by the U. S. Congress times referred to as near Earth asteroids, with locating all potentially hazardous (i.e., they come within 0.03 astronomical asteroids that are 140 m in diameter or units of Earth’s orbit or within about 4.5 larger.5 Despite the use of very capable million km). These NEOs are also in-orbit resources and drawing on a referred to as PHAs, or potentially haz- large number of ground observatories ardous asteroids. Comets are also poten- NASA has not been able to complete tially hazardous objects that can fly close this mission in over a decade. There are to Earth. But their speeds within the inner tens of thousands of NEOs that are Solar System are so fast that they are not larger than 140 m in diameter, but per- candidates for space mining and are far haps a million that are 30 m in diameter more dangerous that asteroids because of and tens of millions that are 10 m or their accelerated velocities. more in diameter. The NEOWISE (Near Within this book there will be refer- Earth Object Wide-range Surveyor ences to NEOs, NEAs, and PHAs, but Explorer) satellite, the planned Sentinel they are essentially one and the same. project by the B612 Foundation, the Those interested in space mining are proposed NASA NEOCAM infrared interested in tracking the orbits of these telescope, plus computer-optimized NEOs, NEAs, or PHAs as targets of ground observatories can contribute to opportunity. Space scientists, astrono- the inventory of NEO asteroids. And mers, and others concerned with cosmic many of these objects might potentially hazards and planetary defense are inter- prove to be candidates for mining. It is ested in these asteroids to prevent a likely, however, that only small satellite major disaster because these space rocks explorers can identify the size, charac- could create (and indeed have created) teristics, and chemical content of major damage by crashing into Earth.4

5 Section 321 of the NASA Authorization Act of 4 Joseph N. Pelton and Firooz Alidadi, editors, 2005 (Public Law No. 109-155), also known as Chapter One: Introduction, Handbook of the George E. Brown, Jr., Near-Earth Object Cosmic Hazards and Planetary Defense, Survey Act, neo.jpl.nasa.gov/neo/report2007. (2015) Springer Publishing, N.Y. htm. New Space and the Key Space Actors 5

Fig. 1.2 Deep space industries concept of a nano-satellite to conduct exploratory missions (Graphic courtesy of deep space industries.)

potential candidates for space mining develop new, more cost effective ways rather than the tools now in orbit or to carry out remote surveillance with planned for deployment in the next few their nano-satellite explorers. years. At this point both Planetary These and other unconventional Resources Inc. and Deep Space approaches are briefly discussed in the Industries are planning to deploy such chapter that reviews U. S. initiatives. remote satellite explorers to find the Some of the proposed innovative tech- prime candidates for space mining. nical approaches are currently being envisioned and in some cases even being developed. Figure 1.2 shows the The Technology concept for a “fire fly” nano satellite that could seek to obtain close up views This book contains two chapters that of NEOs to determine if they are suit- examine some of the key technologies able candidates for natural resource needed for those seeking to engage in extraction. asteroid mining. These technologies involve more cost effective space transportation systems and precision naviga- New Space and the Key tion, remotely operated power systems Space Actors and a variety of robotic capabilities that would be needed to carry out a variety of Today there are only a few actors that specialized operations associated with are explicitly organized with the goal of remote mining and natural resource engaging in space mining activities. recovery from outer space. In addition These are Planetary Resources Inc., some of the new ventures are seeking to Deep Space Industries, and Shackleton 6 1 Introduction

Energy. But beyond these commercial erally referred to as the “Outer Space organizations there are many others Treaty,” or OST); involved in commercial transportation • Convention on International Liability systems, precision space navigation, for Damage Caused by Space Objects space robotics operations, and space- (October 9, 1973; this treaty is gener- based power systems that are develop- ally referred to as the “Liability ing technology and systems that are Convention”); relevant to the ultimate success of space • Convention on Registration of mining ventures. In addition there are Objects Launched into Outer Space many space agencies as well as private (September 15, 1976; this treaty is foundations (i.e., B612 Foundation and generally referred to as the Safeguard Foundation) land-based “Registration Convention”); observatories and universities and • Convention on Early Notification of research centers that are carrying out a Nuclear Accident (October 27, important work that are of considerable 1986; this treaty will be referred to as value to those planning to engage in the “Notification Convention”); space mining activities. Some of the • Convention on Assistance in the more important agencies, research cen- Case of a Nuclear Accident or ters, observatories and universities con- Radiological Emergency (February ducting work in this field are listed in 26, 1987; this convention will be the appendices. referred to as the “Assistance Convention”). • Principles on the Use of Nuclear The Legal and Regulatory Power Sources in Space. Context: Today and Tomorrow These and other efforts at setting up international law as well as so-called There are a number of international trea- “soft law” and areas of “transparency ties, conventions and international regu- and confidence building measures” will lations that are relevant to efforts to be discussed in the later chapters. A part undertake a space mining operation in of this discussion is whether special the future. Those that are most germane international rules and treaty consider- include the following, as identified by ations apply to the Moon and other their full titles below. 6 “celestial bodies” and whether these substantial cosmic bodies are different • Treaty on Principles Governing the from asteroids and space rocks. Activities of States in the Exploration Beyond this fundamental issue there and Use of Outer Space, Including are nevertheless a number of procedures the Moon and Other Celestial Bodies and guidelines regarding the registration (October 10, 1967; this treaty is gen- and licensing of launched objects, the use of nuclear power sources and iso- topes in space, liability consideration, 6 Gary L. Bennett, “Proposed Principles on the Use of Nuclear Power Sources in Space,” http:// and considerations that any government fas.org/nuke/space/propprin.pdf. or commercial entity would need to The Longer Term Perspective 7 comply with if it were to proceed with Earth orbit, it might be possible to create space mining operations. reasonable and proactive rules and regu- The discussion in this book of rele- lations with regard to space mining so vant outer space treaties, conventions that the economic and even social bene- and guidelines is certainly not intended fits of space mining can be realized, to be definitive, but this analysis does with future dangers and negative aspects seek to identify the most important and avoided. salient international legal and policy Arthur C. Clarke in his book issues. In short book this tries to set Rendezvous with Rama anticipated the forth the main issues and indicates the possible future dangers of a catastrophic international provisions that are now in impact on Earth by a rogue asteroid. In place and pertinent pending proposals this novel, set in 2077, he discussed the either within the U. N. Committee on formation of a global “Project the Peaceful Uses of Outer Space Safeguard” against an asteroid strike.7 (COPUOS) or other relevant forums that However, the United Nations in have begun to consider these issues. December 2013 agreed to the formation of an International Asteroid Warning Network (IAWN) as well as a Space The Longer Term Perspective Mission Planning Advisory Group (SMPAG).8 The United Nations, under The tendency in almost any institution intense lobbying by astronauts, astro- that creates new laws, conventions and physicist and members of Team 14 from especially international treaties is: COPUOS was able to take on this issue “Let’s wait until there is a clear problem 64 years ahead of Clarke’s schedule in to be addressed and then we will address his science fiction novel. In an area as it.” The major issues associated with forward looking as space exploration atmospheric and oceanic pollution, cli- and applications, it would be a hopeful mate change, orbital space debris, sign if we were to be able to anticipate destruction of the rain forests, etc., are problems that might emerge from space some cases in point. These are now mining activities and seek to address major contentious issues where an effec- those problems proactively, rather than tive international response to these prob- in the usual fashion—i.e., after the fact. lems has proved to be very difficult and It would seem prudent for the U. N. expensive to address. Such problems Committee on the Peaceful Uses of can become severe over time. Outer Space and its Working Group on Ameliorative action can result in major the Long Term Sustainability of Space restrictions on industries and even gov- Activities to seek to develop practical ernmental programs. Severe economic penalties, fines or limits on usage can be 7 Rendezvous with Rama, http://www. imposed to limit such programs. If these goodreads.com/book/show/112,537. issues had been addressed decades ago, Rendezvous_with_Rama. 8 the economic and political costs could Leonard David, “Dealing with Asteroid Threats: UN Completes First Planning Phase” have been substantially minimized. Space.com http://www.space.com/28,755-dan- Although opportunities have been lost gerous-asteroids-united-nations-team.html with issues such as orbital debris in (Accessed: August 22, 2015). 8 1 Introduction safety guidelines to avoid dangers to world. Although there is currently the Earth and to allow space mining to most activity in the United States, there proceed while minimizing future prob- are significant efforts to create new lems of an environmental or other space transportation systems and key nature. Organizations such as the new space technologies being developed Secure World Foundation (SWF), in other parts of the world. If U. S.-based the International Association for the activities move ahead, clearly other ini- Advancement of Space Safety tiatives will closely follow from around (IAASS), and structured meetings the world. The analysis of space-based among space agencies might be solic- activities around the world will seek to ited to help provide advice and counsel consider not only technical, operational, on useful guidelines and procedures business, economic, and financial capa- that everyone engaged in this type of bilities and opportunities but also the activity might usefully follow. relevant legal and policy framework Although it may seem quite uncon- issues as well. ventional, and even quite exotic, this This book will examine the existing book has indeed looked ahead through international treaties, conventions, and the eyes of science fiction writers to other “soft law” instruments or “codes envision a future where there is actually of conduct” that might apply to efforts space mining and astro-engineering and to engage in space mining in future manufacturing at space colonies in order days. The issue of space mining is com- to see what future problems—and solu- plicated by the fact that this is an impor- tions—can be anticipated so that action tant issue of “degree.” If one were to go can be taken now to anticipate and avoid to the Moon and set up mining opera- future problems. tions, the activity would seem to be clearly covered by the Outer Space Treaty and the Moon Agreement. On the Structure and Purpose other hand many tons of “space dust” of This Book falls to Earth every day. An organized effort to reclaim this resource would not This book, although brief in its presenta- be thought to come under the heading of tion, seeks to be comprehensive in space mining. In short one of the diffi- scope. Thus it examines the types of culties seems to be considering what technologies that space mining ventures size of NEO might legitimately be con- will need to develop and reliably operate sidered a “celestial object” and perhaps if they are to succeed in actually creat- subject to some sort of international ing a “new space” venture that is viable. regulatory process and what might be It analyzes the various relevant govern- considered so small that it is “space mental and commercial programs that junk.” are now being carried out that are ante- Also there are the other issues of cos- cedent to future space mining opera- mic hazards and planetary defense. On tions. It examines programs in the one hand an NEO might be considered a United States, in Europe, Canada and candidate for reclaiming for space min- Australia, in Asia (China, Japan and ing, but on the other it might be consid- India), in Russia and in the rest of the ered a potential danger to the planet. Structure and Purpose of This Book 9

Thus those that propose to engage in resource extraction around the world, space mining could either endanger the and then to explore the legal and regula- world or alternatively rescue it from a tory issues surrounding such efforts. deadly impact. This is a separate policy To assist this effort there is a glossary and regulatory issue from the one of of terms provided at the end of the book who “owns” NEOs and becomes one of that explains acronyms and key terms who might be permitted to engage in and phrases. Also key legal, regulatory, “protective” actions. and official policy materials that are rel- Thus the goal of this book is to evant to activities involving the harvest- examine the technologies, the various ing of natural resources from outer incipient efforts to engage in space space are provided as useful references resources identification and natural in the appendices as well. The Importance of Natural Resources 2 from Space and Key Challenges

Earth is a 6 sextillion-ton globe that will have to significantly change, or it contains a wealth of resources. These will no longer be sustainable.1 natural resources can be extracted from Some of the most significant changes the atmosphere, the oceans and the that will have occurred by the time of ground. If these resources are used the twenty-second century are the wisely and in a sustainable fashion they following: should be able to be recycled and used over and over again. However, as the • Human population stabilization. The global population has increased from exponential growth of human popu- 800 million in 1800 to 1.8 billion in lation that has characterized the eigh- 1900 to 6.3 billion in 2000 and to well teenth, nineteenth, and twentieth over 7 billion today, the demand for fos- centuries will likely give way to a sil fuels for transportation and energy zero population growth profile in the needs has expanded greatly, as well as twenty-first century at a level the need for various metals and other between 10 and 12 billion people. rare earth materials. Modern civilization Even at this level demands on natural with its complex infrastructure, bur- resources, climate change issues, and geoning population, and surging urban food and energy needs will be chal- complexes that will within three decades lenging. Continued growth within the contain 70 % of all humanity, is in need energy, food and natural resource of significant re-engineering to adjust to limits is not sustainable. This new twenty-first century realities. In a world world that is 70 % or more urban will with perhaps a 100 megacities of more than 10 million people each, significant 1 Joseph N. Pelton and Peter Marshall, elements of climate change, major envi- Megacrunch: Ten Survival Strategies for 21st ronmental shifts, and natural resource Century Challenges (2010) PMA Associates, needs, the world as we know it today London, United Kingdom.

© Springer International Publishing Switzerland 2017 11 R.S. Jakhu et al., Space Mining and Its Regulation, Astronautical Engineering, DOI 10.1007/978-3-319-39246-2_2 12 2 The Importance of Natural Resources from Space and Key Challenges

be far more vulnerable to the loss of vice economy, the current patterns of critical infrastructure.2 super-urbanization are no longer nec- • Shift to sustainable sources of essary and indeed are dangerous in energy. Twenty-first century energy terms of over concentration of popu- systems will be weaned off of fossil lations. Increasingly, there will be fuels, and there will be a gradual shifts in patterns of urbanizations. shift to solar, wind, geothermal, New “meta cities” that are geared to hydroelectric, tidal, and nuclear twenty-first century telecommunica- fusion-based energy systems. In tions, networking, energy and trans- making this transition, efforts to portation systems will serve to relieve decentralize power supplies can add pressures on megacities of 10 million to sustainability and survivability of or more people. Telework can help urban communities. ease the problems of super urbaniza- • Climate change stabilization. The tion and over concentration of efforts to stabilize Earth’s climate population.3 and slow down natural and human- • Space systems for planetary defense. fueled climatic shifts will increase. It Over the next few decades planetary may be recognized in coming defenses will shift from threat detec- decades that space-based solutions— tion to threat protection. Space sys- such as a space-based shield at tems can be developed to alleviate Lagrange Point One or space-based threats from solar storms, a weaken- heat pipes or other mega-engineering ing geomagnetosphere, potentially projects may be needed to provide hazardous asteroids and comets, and ultimate answers. This is not only an even threats from runaway orbital issue of human avoidance of mass debris. Ultimately space programs extinction but also an issue of the and systems will be recognized not as preservation of a wide range of ani- luxuries but rather as essential capa- mal and plant life. bilities to preserve the human race • New patterns and forms of urbaniza- against mass extinction. Capabilities tion. The last two centuries has developed to support space mining brought about a vast shift in global will contribute vital technologies to patterns of urbanization. The shift achieve effective planetary defense from less than 5 % urban to over 70 % as well as provide vital resources for urban will have occurred in less than the future. 200 years. This change has been • Exhaustion of planetary natural driven first and foremost by jobs and resources and a new extra-terrestrial employment. In an age of optical and based economy. Secretary of State electronic computer and telecommu- John Hay once famously said: “The nications networks, increasing super Mediterranean is the ocean of the past, automation and robotics, and a ser- the Atlantic is the ocean of the present, and the Pacific is the ocean of the

2 Indu Singh and Joseph N. Pelton, The Safe City: Living Free in a Dangerous World (2013), The Emerald Planet, Washington, D. C., pp. 193-198. 3 Ibid., pp. 215-233. Gauging the Future 13

future.”4 And over time the global Gauging the Future economy has expanded to make this prediction a reality. Soon the econo- The future is most often viewed through mies of China, India, Indonesia, and a rearview window. And for millions of Japan plus the smaller countries of years of biological evolution the past Singapore, Taiwan, Republic of was indeed often prologue to the future. Korea, Thailand, etc., will outstrip With the advent of technology, com- those of the United States and puter and communications networks, Europe. As these developing econo- artificial intelligence, robotics, and the mies grow more prosperous and ability to go into space, the rate of demand for natural resources con- change in human civilization has tinue to grow the availability of natu- increased exponentially. In Fig. 2.1 the ral resources will become an “Super Month” graphic compresses the increasing problem. In looking to the time since the age of the Southern Ape future it might be well to consider the Man into a 30-day period where every predictions of Ray Kurzweil and his second represents 2 years. In Super forecast of the coming “Singularity.”5 Month time the age of farming and per- Or perhaps to consider the vision of manent settlements represents the last Peter Diamandis in forecasting a hour and a half of the last day of the future that is increasingly based on month, the Renaissance is the last 4 min, an extra-terrestrial and space-based and the Industrial Age is 2 min until economy. The value of platinum-rich midnight. The age of computers, cell asteroids has been estimated at levels phones, television, bio-engineering, ranging from $200 billion up to even megacities, space launches and span- a trillion dollars. Of course the future dex—all the elements of modern life we of our energy needs rest with the Sun. take for granted—represent only the last With ever growing space-based capa- 20 s of “Super Month” time. bilities and the cost of going into This graphic serves to demonstrate space ever decreasing, the reality of a that judging future societal needs on space-based economy becomes more past experience is a seriously flawed realistic every year.6 concept. The future needs of human civilization in terms of energy, housing, 4 John Hay quote on the Pacific as the ocean of transportation, water, natural resources, the future https://books.google.com/books?id= jobs and employment, and security are 5P9bgGxfYKUC&pg=PA118&lpg=PA118&d dramatically different that they were q=John+Hay+quote+on+Pacific+ocean&sourc e=bl&ots=8Tb4vBEDMm&sig=k6wOGDKz ever before. As an illustrative example, mnb3DHqVonBrhSE9AVA&hl=en&sa=X&ve it has been artfully noted that it would d=0CDMQ6AEwA2oVChMI35rYq8q_xwIV be far easier for Moses to come and live U4MNCh1YgAjL#v=onepage&q=John%20 in the times of Napoleon and Thomas Hay%20quote%20on%20Pacific%20 Jefferson than for someone living in the ocean&f=false eighteenth century to come forward and 5 Ray Kurzweil, How to Create a Mind (2012), Penguin Group, London, U.K. live in today’s world of advanced 6 Peter Diamandis, Abundance: The Future is technology. Better than You Think, (2012) Free Press, When Peter Diamandis talks of New York. “abundance” and Ray Kurzweil talks of 14 2 The Importance of Natural Resources from Space and Key Challenges

Fig. 2.1 This figure shows future compression and accelerating innovation (Illustration courtesy of the author.)

“the singularity,” they are suggesting a robots that are as smart as humans and world that is far different than we ever possess sophisticated “thinking” skills, experienced before. They envision a space probes that can be used to bring us world in which we cohabitate with new resources and clean energy from Coping with the Scale and Complexity Problem 15

Fig. 2.2 The volume of Earth’s accessible water in comparison to the volume of the world (Graphic courtesy of the Sierra Club.) space and also protect our critical infra- population and shrinking land areas and structure from cosmic hazards. exhaustion of many types of natural resources—especially potable water— will be a growing problem.7 Figure 2.2 Coping with the Scale shows the volume of water in the world and Complexity Problem in comparison to the total volume of Earth. This graphic helps us to realize The land area of the entire world is just how small the amount of potable 148.94 million sq. km (or 57.506 mil- water that is truly accessible today in lion sq. miles), and its water area is comparison to a rising global population 361.132 million sq. km (or 139.434 mil- actually is. lion sq. miles). About half of that land Figure 2.2 underscores the issue of area is truly viable for year- round habi- just how difficult it will be to continue to tation when one eliminates most parts of provide key resources especially to Antarctica, the Arctic north, Siberia, the major urban centers as global popula- most dangerous mountain ranges and tion continues to grow. And this is not the most arid desert regions. Rising sea levels will further decrease available 7 land areas. When one divides about 75 A profile of the world https://www.google. com/search?sourceid=navclient&ie=UTF- million sq. km by 10 billion people (or 8&rlz=1T4VSND_enUS583US595&q=What+ about 133 people people/sq. km) it is+the+Land+area+for+the+world%3f (accessed becomes clear that rising global August 24, 2015). 16 2 The Importance of Natural Resources from Space and Key Challenges

Fig. 2.3 Rise of extinction levels of species vs. human population growth (Graphic courtesy of the U. S. Geological Survey.) just a question of sustaining human The graphs in Fig. 2.3 that come needs for water and natural resources. It from the U. S. Geological Survey seem is also a matter of sustaining endangered to show a relationship between the rapid species of flora and fauna. The United growth of the global human population Nations had done an analysis that shows in recent times and the increasing rate of the loss of species since 1800 and pro- extinction on species. jections for the future show a very dis- The future availability of petroleum turbing trend.8 products and water is most often mentioned in studies of future resource scarcity, but broader studies have shown that the world by the mid twenty-first cen- 8 Gail Tverberg, “A Look at the Latest UN tury will have many shortages. The fol- Predictions on Natural Resource Consumption, http://oilprice.com/Energy/Energy-General/ lowing results from a detailed Global A-Look-At-The-Latest-United-Nations-Predictions- Nonrenewal Natural Resources (NNR) On-Natural-Resource-Consumption.html. study came up with the following Coping with the Scale and Complexity Problem 17

Fig. 2.4 Projected shortages of economically accessible minerals (Graphic courtesy of Shackleton Energy Company.) results, as shown in Fig. 2.1.9 Although identified as a problem by many that these results might vary somewhat from have researched this problem. The pro- year to year based on economic down- jections of shortages in the future are turns or upturns, the overall trend toward presented in Fig. 2.4 and in even greater increasing shortages is clear. The detail in Fig. 2.5 are certainly of con- upward mobility of the populations in cern. As Chris Clugston’s detailed anal- China, India, Indonesia, and other newly ysis of this subject has concluded: industrialized companies suggest that “Global Non Renewable Natural up to three times more consumer Resource (NNR) scarcity will intensify demand for products and energy will be going forward, as global economic present by the middle of the twenty-first activity levels, economic growth rates, century. Only recycling and new energy and corresponding NNR demand return sources can meet the great bulk of this to their pre-recession levels; and global burgeoning demand. Meeting the NNR supply levels continue to approach demand for natural resources has been and reach their geological limits.” Yet the prospect of space mining can provide new options. A modest near- 9 Chris Clugston, “Increasing Global Earth asteroid rich in platinum, approxi- Nonrenewable Natural Resource Scarcity—An Analysis http://www.resilience.org/stories/ mately spherical in shape and 30 m in 2010-04-06/increasing-global-nonrenewable- diameter would constitute a volume of natural-resource-scarcity%E2%80 %94-analysis. 4500 cu. m and represent a mass of 18 2 The Importance of Natural Resources from Space and Key Challenges

Fig. 2.5 An analysis of non-renewable natural resources reaching their geographic limits (Note: This chart is derived from information included in an article by Chris Clugston entitled “Increasing Global Nonrenewable Natural Resources—An Analysis,” The Oil Drum, April 6, 2010.) perhaps 5000 metric tons. If one contrast, the economics would be much assumed that this asteroid was 50 % more difficult in the case of PHAs with platinum, then its value at current world less valuable natural resource contents. market prices would be on the order of An asteroid with 70 % nickel and molyb- $90 billion. Even if the asteroid recov- denum content and 50 m in diameter ery mission and refinement costs ran to would have something like a market $5 billion and even if some of the pro- value of only about $200 million based ceeds were to go into some sort of global on current market prices of $13,000 a commons development or ecological metric ton for molybdenum and $10,000 fund, just a single such mission would a metric ton for nickel. This much lower produce many billions of dollars in prof- valuation would call for space mining its. This may represent an extreme transport equipment of the longer term example, but there are over a million future that could be used over and over PHAs that are on the order of 30 m. The again. It would also likely mean systems key in the early days of space mining that ran off of solar and electric propul- would be to identify high-value targets. sion systems. A 50-m PHA would be over 4.6 times It is important to note that space min- more massive in volume and content ing activities can be cost effective for and would be incredibly valuable if it recovering at least rare metals, but it is contained precious metals or rare earth also noteworthy that even hydrogen, materials such as iridium, rhodium, oxygen or water or other volatiles in ruthenium, palladium, or osmium. In space can also be valuable. The Coping with Legal, Regulatory and Standards Problems 19

Planetary Resources website states: “In Resources is now developing, this could orbit, spacecraft propellant is a multi- be quite significant. Such techniques billion dollar industry with each pound could also find application in communi- of fuel worth more than an equivalent cations, precision satellite navigation, pound of gold on Earth. Certain aster- and remote sensing constellations and oids are loaded with hydrogen and oxy- on other space missions. Clearly low gen, the components of rocket fuel. cost remote surveying and reconnais- These asteroids can provide a fuel sance satellites are currently the top pri- source that is 100 times closer energeti- ority for space mining ventures, and cally to Earth orbit, and thus far less Fig. 2.6 shows the prototype small satel- expensive, than the Apollo-Era “bring- lite that Planetary Resources Inc. everything-with-you” propellant used together with 3D Systems is currently today.”10 developing. This Arkyd-300[3] satellite But the space mining industry can bus configuration as pictured below also aid in producing and perfecting new with its efficient torus shape holds the technologies that could assist with other propellant and provides the structure for types of space missions, or produce the satellite. The fact that the satellite innovations that can find useful imple- can be “manufactured” via 3D printing, mentation right here on Earth. Space of course, greatly reduces its production mining activities will be seeking to cost. One of the characteristics of the develop new and more cost effective new space mining companies is that robotics missions, advanced navigation they have typically recruited partners and precision maneuvering in space, that can help them develop these new improved space situational systems, types of technology. They have also lower cost satellite manufacturing tech- been skillful in winning contracts from niques, and improved power systems, NASA for research and development including higher efficiency photovoltaic work.11 cells and quantum dot technology. Of course the most important contribution could well be more cost effective Coping with Legal, space transportation systems such as Regulatory and Standards solar-powered electric propulsion sys- Problems tems. If one could develop transport systems that are largely multi-use that can The current state of the space mining be used over and over again, they could incipient industry is that they have been also be employed to boost cost effective far more adept at identifying the scien- solar power satellites into orbit. tific, engineering and technological Likewise if space mining enterprises challenges to be faced and pursuing sys- can develop low cost satellites that could tems solutions than they have been at produce at lower cost and in high volume via 3-D printing, such as Planetary 11 3D Systems and Planetary Resources Announce Investment and Collaboration, June 10 Planetary Resources overview, http://www. 26, 2013. http://www.planetaryresources.com/ planetaryresources.com/company/overview/ 2013/06/3d-systems-and-planetary-resources- #why-asteroids (accessed August 24, 2015). announce-investment-and-collaboration/. 20 2 The Importance of Natural Resources from Space and Key Challenges

Fig. 2.6 (Left to right) Peter Diamandis, Chris Lewicki, and Steve Jurvetson of Planetary Resources unveiling the Planetary Resources 3D-printed satellite in February 2014 (Image courtesy of Planetary Resources.) addressing what might be called the Liability Convention is also relevant as legal, regulatory, and standards prob- well as various efforts to define provi- lems that this new type of enterprise sions regarding the use of nuclear sys- entails. tems in space. The most relevant parts of The only “established” international the Outer Space Treaty are Articles 1 law that has widespread acceptance is and 2 that state: the Outer Space Treaty.12 The so-called Moon Treaty has only a few signatories Article I The exploration and use of outer space, and has not been signed by many space including the moon and other celestial powers. Other provisions such as the bodies, shall be carried out for the benefit and in the interests of all countries, irrespective of their degree of economic 12 Treaty on Principles Governing the Activities or scientific development, and shall be of States in the Exploration and Use of Outer the province of all mankind. Space, including the Moon and Other Celestial Outer space, including the moon and Bodies http://www.unoosa.org/oosa/en/our- other celestial bodies, shall be free for work/spacelaw/treaties/outerspacetreaty.html. exploration and use by all States without Conclusions 21

discrimination of any kind, on a basis of Governance Study” that devotes a equality and in accordance with inter- chapter to this topic. From a practical national law, and there shall be free access to all areas of celestial bodies. rather than a legal viewpoint it would There shall be freedom of scientific seem that the projects by Planetary investigation in outer space, including Resources and Deep Space Industries the moon and other celestial bodies, and seem to have less of a legal, regulatory States shall facilitate and encourage or standards challenge to their proposed international co-operation in such investigation. efforts than Shackleton Energy, which is focused on mining on the Moon. Article II Outer space, including the moon and other celestial bodies, is not subject to national appropriation by claim of sov- Conclusions ereignty, by means of use or occupation, or by any other means. The website of Planetary Resources contains the grand statement that inhab- Despite these provisions there are at itants of Earth are currently limited to least three private entities seeking to the finite resources found on our planet, engage in space mining activities. One but that we do not have to be limited to of the key questions discussed in the this fate over the longer term future. book is exactly what the definition of a There indeed may be a need to create celestial body is and whether a small structures in space to defend our planet asteroid of which there are millions against extreme solar storms and new constitutes a celestial body. Clearly types of space infrastructure to beam such asteroid mining of small and new forms of clean energy down to the potentially hazardous bodies would ground. The future is clearly not what it seem much more permissible under the used to be. New space industries could Outer Space Treaty than efforts to indeed change our future—perhaps for establish national or private colonies on the better or perhaps for worse. The the Moon or to undertake mining opera- “future compression” innovations that tions on the Moon. are bringing future realities to the fore at There are currently a number of an ever more rapid pace in “Super efforts underway to seek to clarify the Month Time” are ever more apparent future prospects for space mining each day. These changes will require activities—whether they might be gov- institutional and legal responses in a ernmental or private ventures—and to more proactive manner. The ever grow- address the future legal and regulatory ing innovations that include a wide status of such undertakings. This effort range of new space initiatives will con- includes the McGill University Air and tinue to bring the future into our lives Space Law Institute “Global Space with an urgent necessity. Transportation Systems and Targeting 3 Locations for Space Mining

Just as there a number of different The various types of NEAs are approaches to the robotics systems for divided according to their various types space mining there are different of orbits. Some travel near Earth entirely approaches to space transportation sys- inside its orbit. Some travel near Earth tems for space mining. entirely outside its orbit, and others (the The first key to developing space most dangerous) intersect with Earth’s transportation systems for space mining orbit twice a year. Some of these are involves determining the intended loca- quite elliptical, but the ones that are most tions for such operations. At this time circular are in many cases prime candi- there are, in a generic sense, two prime dates for space mining since these are candidates for nearer term space min- often easiest to reach and easiest from ing. First and most obviously are the which to bring mined materials back to Moon and Earth’s “other Moon,” Earth. The following, chart prepared by namely the 5-km diameter asteroid 3753 Jet Propulsion Lab scientists, explains Cruithne.1 Second, there of course the taxonomy of the major types of NEA selected near-Earth asteroids that are orbits. Fortunately the Apollo-type located in suitable orbits and that also NEAs that are often prime candidates for have mineral and metal contents that are space mining are also the most numer- attractive for mining. Clearly the Moon ous. Unfortunately these type NEAs can is a celestial body, and space dust, of also be identified as candidates to be which many tons fall to Earth, is not. Earth impactors. One might argue in this Exactly what constitutes a celestial body sense that mining Apollo NEAs could is open to discussion. help to eliminate the threat of asteroids that could one day cause a major catas- 2 1 “Duncan Forgan, The ‘Second Moon’ You trophe on Earth (Fig. 3.1). Didn’t Know Earth Had,” Discover Magazine, March 2, 2015. http://blogs.discovermagazine. 2 “What are Atira, Atens, Apollos, Amors,” JPL com/crux/2015/03/02/earth-second-moon/#. Frequently Asked Questions eo.jpl.nasa.gov/ VV9I8U9VhHw. faq/#aten.

© Springer International Publishing Switzerland 2017 23 R.S. Jakhu et al., Space Mining and Its Regulation, Astronautical Engineering, DOI 10.1007/978-3-319-39246-2_3 24 3 Transportation Systems and Targeting Locations for Space Mining

Fig. 3.1 Various types of near Earth asteroids in relation to Earth orbit (Graphic courtesy of NASA-JPL.)

The AUs in the chart above stand for is the Jet Propulsion Laboratory (JPL) astronomical units, which is the distance small-body database browser that pro- between the Sun and Earth and is pre- vides a much larger inventory of small cisely defined as 149,597,870,700 m or bodies that have been detected and some 93,000,000 miles. The reference might become future candidates for to 0.02 AU, for instance, would signify a asteroid mining.4 distance very close to 3 million km. Planetary Resources and Zooniverse, The current listing of possible candi- which is a citizen-based space project dates for NEAs that might be considered founded in June 2014, has devised a for space mining has been compiled by web-based activity known as Asteroid Planetary Resources and is shown on its Zoo (www.asteroidzoo.org).5 website. These NEAs are at this stage This activity is keyed toward allow- only provided as possible examples and ing students, citizen scientists and space are based primarily upon the modest enthusiasts to search for previously increase in velocity (i.e., 4–5.5 km/s) undiscovered asteroids and report them that would be needed to reach such can- on the web for further investigation. The didate asteroids from low Earth orbit. project uses observations from the What is perhaps most interesting about Catalina ground observatory to seek out the NEAs listed is that some of these the orbits of NEAs. This innovative pro- have been discovered as recently as in gram championed by Planetary 2014 and 2015 (Table 3.1).3 Beyond this modest list of candidate 4 NEAs for space mining, however, there JPL Small Body Database Browser: http:// www.planetaryresources.com/asteriods/# asteroids-targets. 3 Asteroid targets of interest: http://www.plane- 5 Asteroid Zoom: Hunt for Resource-Rich taryresources.com/asteriods/#asteroids-targets. Asteroids http://www.asteroidzoo.org/. 3 Transportation Systems and Targeting Locations for Space Mining 25

Table 3.1 Candidate asteroids for space mining as identified by planetary resources Possible candidate asteroids for space mining Name Diameter Delta velocity Time to reach/ Type of Arkyd space from LEO to mission cadence orbit mission to reach examine 2014EJ24 About 4–4.5 km/s 9 months/1 year Apollo Yes-Sept 100 m? 2016 (60–135 miles) 2014 About Too small and Aten or SC324 60 m? too elliptical elliptical (40–90 orbit to be of miles) interest. Narrowly missed Earth in 2014 1999JU3 840–900 m 4.5–5.0 km/s 11 months/4 years Apollo Japanese Hayabusa-2 explored- carboneous 2002TC70 About 4.5–5.0 km/s 6 months/3 years Apollo 300 m? (188–420 miles) 2011 CG2 About 5–5.5 km/s 10 months/4.5 years Apollo 225 m? (136–305 miles) 2001 About 5–5.5 km/s 6.0 months/5.9 years Apollo Stony QC134 300 m (270–330 miles) 2013 PA7 85–190 m 4.5–5.0 km/s 1.8 months/5 years Amor 2008 HU4 About 10 m 4.5–4.0 km/s 2 months Apollo Too small to (6–13 m) be of commercial interest

Resources allows the public to join the In time this project will likely expand search for NEAs of interest to scientists, to work from data obtained by the MIT space agencies and, of course potential Linear System, NEAT, Spacewatch, asteroid mining companies. It is also LONEOS, and other ground observato- designed to help to develop better com- ries. Efforts to generate new technology puter-based search efforts that can more such as quantum computers might in quickly train computer analysts and arti- time allow for a much more efficient ficially intelligent programs to spot NEA means to search for the detection of pre- motion against the fixed pattern of stars. viously unidentified NEAs. 26 3 Transportation Systems and Targeting Locations for Space Mining

Many of the NEAs detected in recent $2.4 trillion. Actually what is more years have come from NASA’s likely is that the asteroid might consist NEOWISE infrared telescope observa- of 1 % of so-called PGMs (or platinum- tions in space. The newly planned initia- group metals). This would be a com- tives such as the B612 Foundation’s bined group of metals that includes Sentinel space telescope and NASA’s platinum, palladium rhodium, osidium NEOCAM will be able to detect much ruthenium and iridium. smaller NEAs that are closer at hand, In terms of technology needed to since these devices having higher sensi- identify candidates for such mining tivity and better orbits for such detec- operations, all of the key elements either tion. There is sufficient capability now seem to be in place, or will be in place planned with more IR space telescopes, well before the mining operations are improved ground observation capabili- actually begun for real. There is one ties, and improved computer software interesting initiative that has begun for NEA detection to provide assurance under crowd-sourced “Kickstarter” that a number of suitable candidates for funding by Planetary Resources, and future space mining can and will be this is the so-called Arkyd platform, identified. which contains a small telescope that The current efforts by emerging can be sent as a “scout” to review the space mining enterprises seem to be viability of candidate NEAs in terms of aimed at identifying candidates for min- size, mineral and metal content, etc. A ing that meet the following criteria: (1) test satellite named Arkyd 3 Reflight reasonably large size, i.e., over 100 m in (A3R) was launched and successfully diameter; (2) approachable orbits that transported to Earth orbit on April 17, do not require additional velocity accel- 2015, and was deployed from the eration from low Earth orbit much in International Space Station via the excess of 5 km/s, can be reached in NanoRacks cubesat deployer on July under a year and also have a so called 16, 2015. mission cadence (i.e., orbit that would Deep Space Industries has similar allow start to finish return of valuable ambitions and plans to that of Planetary resources to Earth in less than around Resources. Their concept is also to 4–5 years) and (3) a high percentage of launch probes similar to Arkyd space- valuable resources such as valuable craft platforms. These probes would metals (i.e., platinum) or water. seek to examine possible candidate Not a large number of asteroids asteroids for mining in space. These would be needed to make such an opera- smaller explorer craft are currently tion viable. If one were to confirm that based on cost-effective cubesat technol- an NEA such as 2011 CG2 was com- ogy and include “FireFly” (a 25-kg sat- posed of something like 1 % platinum ellite) and “Dragon Fly.” The plan is for this would translate into something like these small probes to be launched as 60,000,000 kg of platinum. The current ancillary missions to much larger com- market value of platinum is $40,000 per munications satellite launches. In kg. Such a massive supply of platinum December 2014, DSI also announced would obviously affect prices, but at plans for a larger 150-kg “mothership” current values this would translate into spacecraft that would be designed to New and Improved Transportation Technologies to Support Space Mining 27 deliver up to a dozen nanosats to trajec- used to achieve the 4.0–5.5 km/s tories that are beyond Earth orbit, for increased velocity required to send quite exploring distant asteroids and possibly small cubesat-type probes out to inspect other applications.6 The problem with asteroids to see if they are large enough such ventures is that there is quite a bit and rich enough in metals and minerals of up front capital needed and much and water to move to actual space min- uncertainty for this type of high risk ing operations. The larger technological space venture, and thus obtaining the question would involve how the “mined funds and long-term commitments to ore” would be returned to Earth in a safe such ventures remain a real challenge. and cost effective way. As yet, none of these probes has flown This transport of mined ore to Earth, in space.7 in terms of a shorter term proposition, For years interplanetary probes probably most likely involves the issue designed by space agencies were very of mining the Moon for minerals. complex and massive, but today probes Conventional solid rocket or liquid- with considerable scientific capability fueled chemical rockets could lift can involve payloads of a only a few robotic mining equipment to the Moon, kilograms.8 As noted above Planetary but several new and “unconventional” Resources and Deep Space Industries transport means could be used to return are already developing exploration the results of mining to the Earth. One of probes of the cubesat size and mass, such these could indeed become a two way as the Arkyd platform and the Dragon system that could lift robotic mining Fly or even having a “mothership” where material and other payload to the Moon a single spacecraft might include some- and also provide for material to be thing like ten micro-probes. returned to Earth as well. Thus, in terms of transportation technology, the mining of asteroids does not require any breakthrough development, New and Improved as least for the exploration stage. Low Transportation Technologies cost chemical rockets can easily provide to Support Space Mining lift to low Earth orbit (LEO). After the launch to LEO either chemical or elec- Chemical Fueled Launchers trical ion propulsion systems can be Chemical fueled rockets—both solid and liquid fueled systems—could sup- 6 Woo, Marcus (2014-12-20). “Designing a port space mining operations, but these Mothership to Deliver Swarms of Spacecraft to Asteroids,” Wired. Retrieved 2014-12-17. involve expensive consumables, and 7 Boyle, Alan (January 22, 2012). “Deep Space most systems today involve expend- Industries’ lofty asteroid ambitions face high able launcher systems. New systems financial hurdles,” Cosmic Log. National are coming on line all the time. These Broadcasting Corporation. Retrieved January new systems include: Space X’s Falcon 23, 2013. 9 and Falcon 9 heavy, upgraded Indian 8 “The ‘CAPEd’ Crusader: Goddard Technologist and Chinese launch systems, Launcher Advances CubeSat Concept for Planetary Exploration” Satnews Daily, May 21, 2015. http:// One, the heavy lift Stratolaunch upper www.satnews.com/story.php?number=71626023. altitude launch system, Russian 28 3 Transportation Systems and Targeting Locations for Space Mining

Angara, Ariane 6, Japanese H-3, systems provide a great deal of high Orbital Taurus II and ATK’s Liberty. impulse thrust for short periods of time For lower mass asteroid reconnais- such as are needed to boost payloads sance missions there are also systems into LEO. In contrast, electrical propul- that can launch 200 kg and higher mission provides a greater amount of total sions to LEO such as Launcher One impulse but only over a long period of and S-3 spaceplane systems All of operation. This produces a higher level these systems and more are all showing of impulse thrust per kg of fuel over the ongoing progress toward improved entire period of operation. launcher systems that might support Thus small, low mass surveyor space mining operations with new probes that are launched to LEO by launcher economies. (See Joseph chemical rockets could then be spiraled N. Pelton’s and Peter Marshall’s, out by low thrust ion propulsion systems Launching into Commercial Space to eventually reach a desired rendezvous (2015), AIAA, Reston, Virginia.) orbit with targeted candidate asteroids. Space X, Blue Origin, S-3 and Today ion propulsion systems are pri- Stratolancher, in particular, are seeking marily being developed for stabilization to develop commercially efficient re- of large telecommunications or other useable launcher systems using conven- application satellites. As this electrical tional chemical propulsion launchers. ion thruster technology evolves it could There is reasonable hope that within a find applications to move modules from 5-year time horizon such commercially the Moon, from asteroid mining opera- developed chemically fueled vehicles tions, or to send small probes to candi- will allow further significant launch cost date asteroids for possible future mining reduction. It would also be hoped that operations. several of these systems can also pro- Ion thrusters operate through the use duce fewer pollutants The number one of either an electrostatic or electromag- concern in this regard are particulates netic force. Electrostatic ion thrusters from such systems as Launcher One or use the so-called Coulomb force. This the ATK Liberty that tend to use some of means that the ions accelerate to very the dirtiest solid fuels, such as hydroxyl- high velocities in the direction of the terminated polybutadiene (HTPB) and electric field that is created within the aluminum polyamide. Particulates from electrical grid created within thruster solid-fueled rockets thus are of particu- device. There are alternatively what are lar concern in terms of upper altitude called electromagnetic ion thrusters that pollution. employ the Lorentz force to accelerate the ions within what are commonly called plasma thrusters. These plasma Ion Propulsion thrusters do not typically use high voltage grids or positively charged anodes The longer term future for space propul- and negatively charged cathodes to sion systems operating from the Moon, accelerate the charged particles within asteroids, and low gravity environments the plasma. The electromagnetic ion may be heavily influenced by electric or thruster uses currents and potentials ion propulsion systems. Chemical thrust generated internally in the plasma that New and Improved Transportation Technologies to Support Space Mining 29 in turn serves to accelerate the plasma millinewtons and with a remarkably ions. This approach results in lower high efficiency of up to 80 %.10 exhaust velocities due to the lack of high The Deep Space 1 spacecraft as accelerating voltages but nevertheless designed by JPL and powered by an ion has the advantage of longer life for the thruster as pictured below, was able to thruster. generate a delta-velocity increase of The lack of high voltage grids that over nearly 4.5 km/s and did so by con- are found in electrostatic ion thrusters suming less than 75 kg of xenon fuel. removes the problem of grid ion erosion This is a much higher efficiency than a over time. The plasma exhaust due to chemically fueled rocket, but the low the lack of an electrical grid can be thrust levels required an extended period “quasi- neutral,” which means that ion of time to achieve the velocity increase and electrons exist in equal number. (Fig. 3.2). This results in ion-electron recombina- The Dawn spacecraft that was pow- tion in the exhaust to neutralize the ered by an ion thruster has the current exhaust plume and eliminates the need record of achieving a delta-velocity for an electron gun or a hollow cathode. increase of some 10 km per second. This Also, the electrostatic ion thruster is type of delta v is much greater than any limited to the use of noble gases, which candidate NEA would require that has is most typically xenon. The plasma been identified as a possible asteroid thruster allows a much broader range of mining target. Considerable progress propellants that can include argon, car- has been made in the United States, bon dioxide and other gases and liquids. Russia, Europe, (Unfinished sentence?) The plasma ion thrusters, because of the elimination of the electrical grid that can erode under the plasma stream, are per- Nuclear Fueled Propulsion haps best suited for longer distance missions. In either case, with the electrostatic There are a number of spacecraft that ion or pure plasma thruster, the thrust is have derived power from a nuclear created from the ion’s kinetic energy. power source. These have usually Still other ion thrusters utilize radio involved long duration missions with waves rather than an electrical field grid relatively high power level require- to generate the plasma that accelerates ments. Nuclear generators called (SNAP spacecraft.9 generators) and nuclear isotope power Ion thrusters as of the year 2015 typi- sources have been used for many years cally have an input power spanning the in cases where conventional solar and 1–7 kW range of power. These thrusters battery power systems were inadequate. also typically produce exhaust veloci- More recently, however, there have been ties that range from 20 to 50 km/s, with efforts to develop nuclear powered a thrust level that can be as high as 250 thrusters for various types of possible applications. Nuclear fissile material as a power source for rocket propulsion presents 9 Choueiri, Edgar Y “New dawn of electric rocket”. Scientific American (2009). Issue 300: pp. 58-65. 10 Ibid. 30 3 Transportation Systems and Targeting Locations for Space Mining

Fig. 3.2 The xenon ion thruster used on the Deep Space 1 spacecraft (Graphic courtesy of NASA.) lots of options. The least ambitious are options might become viable in a much nuclear isotope powered low level shorter time horizon (i.e., another thrusters that might serve as the power decade) than previously thought possi- source for ion thrusters. Such nuclear ble. Under such a scenario it might be a powered thrusters have been proposed rocket directly powered by a small for long-term maintenance of the fusion reactor or perhaps it might be International Space Station in LEO. possible to use heat from a fusion reac- Other more ambitious options tor to provide the continuous power include a nuclear thermal rocket (i.e., source for a rocket propulsion system or the energy is used to heat the liquid perhaps to power a lunar colony or hydrogen propellant on a larger scale), remote space mining operation. direct nuclear (fission products from a Helium-3 propulsion would use the nuclear reaction directly propel the fusion of helium-3 atoms as a power rocket), nuclear pulse propulsion source for spacecraft. An isotope of (nuclear explosions propel the rocket), helium with two protons and one neu- or, in the longer term future, some form tron, helium-3 could be fused with deu- of actual nuclear fusion could be devel- terium in a reactor. The resulting energy oped. The recent breakthroughs in release could be used to expel propellant nuclear propulsion by the Lockheed out the back of the spacecraft. In recent Martin Skunkworks suggest that such years helium-3 has been proposed as a New and Improved Transportation Technologies to Support Space Mining 31 power source for spacecraft mainly continental United States, but the Moon because of its abundance on the Moon. is not so easily exploited under existing Currently, scientists estimate that there international law. are one million tons of helium-3 present on the Moon. This buildup of helium 3 is thought to be mainly due to the solar Mass-Driver Systems wind, containing helium-3, colliding on the Moon with the Moon’s surface and depositing it, among other elements, into the soil. There are many other options that might Others are thinking more near-term. provide key new transportation capabil- Shackleton Energy has announced its ities for space mining that are easier and plans, not so much the mining of safer to use to support space mining. helium-3 to provide fuel for nuclear One of the most discussed and analyzed fusion but rather simply mining for is the idea called “mass drivers,” which water to create hydrogen and oxygen for was popularized by Dr. Gerard chemical propulsion. The Shackleton K. O’Neill, author of the well-known Energy website opens with the follow- book The High Frontier. ing declaration: “We Are Going Back to O’Neill’s concept was to create a the Moon to Get Water. There are bil- mass driver on the surface of the Moon lions of tons of water ice on the poles of that could launch mass off the surface at the Moon. We are going to extract it, rates such as 2 kg every 30 s or 240 kg an turn it into rocket fuel and create fuel hour, or about 3 metric tons a day.12 This stations in Earth’s orbit. Just like on would clearly be something that could Earth you won’t get far on a single tank also be accomplished on a large asteroid, of gas, what we can do in space today is assuming that sufficient power was straight-jacketed by how much fuel we available to support this type of trans- can bring along from the Earth’s sur- port. Because the gravitational pull of an face. Our fuel stations will change how asteroid would be much less than that of we do business in space and jump-start a the Moon, such a mass driver would be multi-trillion dollar industry. Much like able to send a much higher volume into gold opened the West, lunar water will space from the NEA. The key question is open space like never before.”11 what would be the collection point for The problem with many of these con- such a stream of mined ore from either cepts is that whether one is mining the the Moon or an asteroid. Moon for helium-3 or frozen water, the Space Treaty of 1965 declared that the “Moon and Other Celestial Bodies” Space Elevator Systems were a part of the global commons, and it certainly did not allow for the removal If one thinks even longer term there of resources from the Moon. The Gold have been various proposals and studies Rush of 1849 was carried out inside the of a possible space elevator from Earth

11 Shackleton Energy Overview: http://www. 12 Gerard O’Neill, The High Frontier: Human shackletonenergy.com/overview/# Colonies in Space, (2000) Apogee Books, goingbacktothemoon. Burlington, Canada. 32 3 Transportation Systems and Targeting Locations for Space Mining to geostationary orbit and even a cable mining systems have evolved in the last transportation system between Earth 20 years, since the time John Lewis and the Moon. The design of such a wrote one of the more popular books on space elevator or space funicular with this subject entitled Mining the Sky. solar-powered robotic climbers, a cable Certainly we have come much further of sufficient tensile strength and radia- than 60 years ago, when science fiction tion hardening is currently beyond thrillers such as Rip Foster Rides the human engineering capabilities and may Gray Planet were first inspiring young in the end not to be economically viable entrepreneurs to think that space mining to build, deploy and operate. If such sys- might indeed be possible. 14 tems ultimately do prove to be possible, Despite significant technological though, this could provide a significant progress on essential engineering skills, breakthrough for higher volume space and also a much greater need due to mining activities.13 depletion of Earth’s vital ores, there remains much more to be done. This chapter only provides an introduction to Conclusions some of the key transportation systems that will need to be developed further to The technologies associated with space make space mining possible—when and mining continue to improve. Many new if the legal, regulatory and standards ideas with regard to space transporta- issues can be resolved to make such tion, space power systems, and robotic enterprises possible.

14 John Lewis, Mining the Sky: Untold Riches 13 Bradley C. Edwards and Eric Westling, The from the Asteroids, Comets and Planets (1997) Space Elevator (2003) Praxis Books, NY. Perseus books, NY. Power and Robotic Systems for Space 4 Mining Operations

The essential elements for space mining Any technical aspects and the design, operations include robotic systems that manufacture, and operation of techno- can carry out the mining operations, a logical systems could be subject to legal, sustaining power source that can allow regulatory, or standards at a future date. the robotic systems to operate, the sens- Some of these constraints, for instance, ing ability to locate valuable ores, water might relate to pollution, i.e., the use of or minerals on the Moon or asteroids for nuclear or radioactive materials or par- possible recovery, and transportation ticulates from solid fuel rockets or systems to and from the sites for the thrusters; to safety standards, i.e., the use mining operations. The previous chapter of nuclear or radioactive materials, or discussed the process of sending sur- intellectual property rights; or to the veyor probes out to identify likely proper use of patented inventions. For sources for space mining and transpor- the most part these technological sys- tation systems, while this chapter dis- tems do not seem to raise major legal, cusses the robotic mining and sustaining regulatory or standards issues that could power systems. This is not to say that not be fairly easily resolved in a national there are no other technologies and sys- court and legal justice system, but clearly tems that might need to be developed, become complicated if these operations but these are the primary technical are carried out on the Moon or asteroids, needs. It is possible that in the future 3D where no national laws, regulations or printing systems armed with the right safety standards are in affect. The prec- software and raw materials could imple- edents established with regard to ment the infrastructure for an entirely Antarctica and national research and functional space colony or other sophis- exploration stations are perhaps the most ticated tasks, but for near-term space useful guidance that might apply to mining activities, advanced survey and space mining of the Moon or asteroids. prospecting, transportation systems, Clearly the “elephant in the room” is robotic mining systems and sustaining whether space mining by a private power systems represent the true core entity, consortium, or governmental technologies. body for its own advantage—rather than

© Springer International Publishing Switzerland 2017 33 R.S. Jakhu et al., Space Mining and Its Regulation, Astronautical Engineering, DOI 10.1007/978-3-319-39246-2_4 34 4 Power and Robotic Systems for Space Mining Operations on behalf of the “global commons”—is support higher energy storage densities allowable. This is the fundamental issue, and longer life. and the choice of technologies for space The solar-cell-plus-battery-power mining operations is secondary to this system makes sense in that no fuel needs key issue. All these legal and regulatory to be provided to operate such systems. issues are considered in later chapters. It is likely that solar energy will the prime power source to support telecommunications, data networking, and ini- Power Systems tial space mining operations. Fairly large solar arrays, however, will likely In order to support the telecommunica- be needed to support drilling operations. tions and data networking needs to the It is thus likely that the arrays will also robotic mining equipment, local trans- be designed with solar concentrators so portation of the mined materials, and the that the photovoltaics will be able to actual mining operations, there clearly absorb the equivalent of several Suns. must be sustainable power systems. Likewise there is likely to be a tracking Fortunately there are a number of pos- system so that maximum illumination sible options. from the Sun will be constantly available. There will also likely be some glass coating on the solar cells to main- Photovoltaic and Battery tain and prolong their lifetime. Systems Even so, if the mining operation were to be sustained for a period of longer Some time ago solar (photovoltaic) cells than 15 years, it might be necessary to were developed that can generate elec- replace the worn out solar cells and bat- trical power from the Sun’s radiation, teries. It is possible to design the solar and battery systems were developed for cell power system in the first place so as times when solar illumination is to provide replacement components that blocked. This is clearly an available could be robotically installed as needed. technology that is well proven. Higher efficiency photovoltaics, such as so- called “multi-junction violet” cells, gal- Space-Based Thermocouple lium arsenide cells1 or quantum dot Energy Systems technology are being developed and can provide higher efficiency power conver- Another possibility might be the use of sion.2 Lithium ion batteries can also as space-based thermocouple. Neil Ruzik patented the idea of using the 1 “Silicon vs. Gallium Arsenide Which extreme temperature gradients on the Photovoltaic Material Performs Best,” NASA Moon between the Sun’s illuminated Tech Briefs, January 1, 2014. http://www.tech- side and the dark side. The principle of a briefs.com/component/content/article/27-ntb/ thermocouple involves two plates, each features/application-briefs/18946. made of a different metal that conducts 2 Quantum Dot Solar Cells Break Conversion electricity. Joining these two plates to Efficiency Record http://spectrum.ieee.org/ nanoclast/green-tech/solar/quantum-dot-solar- form a closed electrical circuit while cells-break-conversion-efficiency-record. keeping the two junctions at different Power Systems 35 temperatures produces an electric cur- by NASA for space exploration missions rent. Each pair of junctions can be used for a total combined time of over 300 to form an individual thermocouple. years, and within each of nearly 20 Thus it would be possible to create a RTGs there has never been a failure of large number of thermocouples across the thermocouple (see Fig. 4.1). the sunlight “discriminator” to generate Within the RTG, the radioisotope a significant amount of electricity. It fuel heats one of these junctions while would be possible to use a solar lens the other junction remains unheated and concentrator to heat one end of a space- is cooled by the space environment or a based thermocouple and place the other planetary atmosphere. end on the cold side of an asteroid or the The current RTG model in use by Moon to generate electricity. The ther- NASA is the so-called multi-mission mocouple would not likely be as effi- radioisotope thermoelectric generator, cient as solar cells, but it could have a or MMRTG. The design is closely based longer life and be less expensive to build on the type of RTG flown previously on and install.3 the two Viking landers and Pioneers 10 and 11. The MMRTG produces electricity at Nuclear or Radioactive an operational efficiency of only 6–7 %. Isotope Power System Multiple MMRTGs could be combined to provide higher levels of electrical power A nuclear or radioactive isotope power for a mining mission. Each MMRTG con- system could provide a reliable longer- tains just under 5 kg of plutonium-238 term source of power that would not dioxide as its nuclear fuel, using eight require solar illumination. For a mining general purpose heat source (GPHS) operation where extensive deep drilling modules to produce about 110 W of elec- to obtain the ores was needed, this use of trical power in total. Thus five such units nuclear energy might be considered as would be needed to produce 550 W of an option from the outset. Radioisotope electrical output. The excess heat from an thermoelectric generators, or RTGs, RTG could be used to maintain the tem- provide electrical power for spacecraft perature of a robotic drilling and process- by converting the heat generated by the ing unit at a desired operating thermal decay of an isotope. In the case of the level. There is the additional complication current RTG the radioisotope power that such RTG power systems are subject source is plutonium-238 (pu-238). to close governmental supervision and Electricity is generated via thermocou- control in relation to who might legally ples as discussed above. Since there are use them. In addition there are separate no moving parts that could wear out, and quite strict controls on who and under RTGs have historically been viewed what regulatory authority can launch such as a highly reliable power option. systems into space. A commercial opera- Thermocouples have been used in RTGs tor might find it difficult to obtain licenses to own and operate such a power source 3 Thermocouple in outer space: www.physics- and even more difficult to get approval to edu.org/tech/thermo_electricity_in_outer_ launch one or more of these RTG’s into space.htm. orbit. 36 4 Power and Robotic Systems for Space Mining Operations

Fig. 4.1 The radioisotope thermal-electric generator now in use for the Curiosity rover on Mars (Image courtesy of NASA.)

It is possible that a space mining inserted in the gap between the heated operation, for the purposes of flexibility, and non-heated metal plates. reliability, and efficiency, might con- This approach has been known for ceivably want to combine all three types some time, but it operates at a low effi- of power sources, namely solar cell/bat- ciency. Only recently researchers at the teries, a space-based solar discrimina- Max Planck Institute for Solid State tory thermocouple, and a radioisotope Research in Stuttgart, the University of thermal generator.4 Augsburg and at Stanford University have come up with a new way of creating an electric field in the space between Thermoionic Power Source the plates to solve what is called the space-charge problem. This field works There is at least one more possible to accelerate the electrons leaving the power source technology that might be hot plate and then again slows them of use to space mining operations. This down as they approach the cold plate. is quite similar to a thermocouple device This thus allows a continuous flow of in terms of how electricity is generated, current to be established. The field that except in this case both light and/or heat allows this continuous flow is created by could be converted into electricity. In a honeycomb-patterned gate with hex- the latest designs an electrical grid is agonal holes in it. The electrons are guided through the holes by applying a magnetic field between the plates. 4 Radioisotope power system: https://solarsystem.nasa.gov/rps/rtg.cfm. Although current systems using this Space Robotic Mining Systems 37 design are only about 10 % efficient it is deposits have all but disappeared from now thought that up to 40 % efficiency Planet Earth. The resources of tomorrow might ultimately be achieved.5 are now thought to be located in most remote parts of the globe, many hundreds of meters beneath the surface, or Explosives as a Substitute perhaps on the Moon or on NEAs. for Mining-Related Energy Robotic mining equipment developed Needs for extremely deep excavation could provide prototype concepts for robotic min- Just as is the case of conventional mining in space. The Osiris mission by ing, it is of course possible to use con- NASA is intended to provide new infor- ventional explosives to assist with mation about practical space mining mining operations. There are significant operations on an asteroid (see Fig. 4.2). special issues, though, that make explo- There have already been several sives difficult to use in the low gravita- detailed designs for engineering devices tional environment of outer space. A that could be used in developing a whole new field of research will be robotic mining system for NEAs. The needed to devise shaped explosions graphic below provides just one illustra- within protected or shielded explosion tion of such a device.6 containment areas so as to recover min- Serious studies of the challenges to erals or metals without indiscriminately be overcome have identified a number blasting materials into space. of potential problems. At a high level of By way of example, the orbital abstraction the challenges include the escape speed for the moons of Mars, following: Phobos and Deimos, is just about 50 km/h, or about 14 m/s. Any uncon- 1. Finding ways to conduct mining trolled explosion for an asteroid would with lower levels of energy typically send all of the fragments off consumption. into space with no easy way to recover 2. Minimizing the shape, size and them, unless the entire asteroid was con- mass of robotic mining equipment. tained within a very strong netting. 3. Improved software and artificial intelligence to allow tele-operation and automation. Space Robotic Mining 4. Reduction of complexity, improved Systems ease of operation, and reduced need for lubrication and machinery that As noted earlier in this book, many key needs frequent maintenance and metals and rare earth minerals are now human attention. depleted from Earth’s easily accessible reserves. In short, large, easy to get at

6 NeoMiner—Robotic Asteroid Mining Equipment used for extracting metals from 5 http://physicsworld.com/cws/article/news/ Near Earth Objects and further distant asteroids 2013/dec/09/new-generator-creates-electricity- Asteroid Mining Equipment https://www.google. directly-from-heat. com/search?q=robotic+mining+equipment. 38 4 Power and Robotic Systems for Space Mining Operations

Fig. 4.2 NASA Osiris spacecraft depicted in space (Graphic courtesy of NASA.)

5. Ease of assembly or fabrication in developed for deep Earth robotic min- space via “smart” 3D printers. ing. In short, the equipment that has 6. Possible manufacture from locally been developed for Earth-based opera- acquired materials (see 5 above). tions is too large, too massive, too com- 7. High level of durability and reduce plex, too energy intensive, too geared to the need for maintenance and repair a one-g environment, and too in need of (see 4 above). frequent maintenance and repair to be 7 8. Limited need for resupply of any used effectively in space. consumables. 9. Compatibility with local gravity, vacuum, solar illumination, radia- Innovative New Space Mining tion, dust generated by mining and Concepts thermal environment. (Coping with the harsh space environment, for The challenges associated with robotic example, with no human repair or space mining equipment is such a large maintenance personnel on hand is a challenge, it may well be that totally new huge challenge.) techniques that might be uniquely 10. Upgradability of systems and mod- applied to NEA mining might be essen- ularity of design so that improved tial to future progress in this area. Nikola technology or broken or obsolete Tesla speculated that high-powered parts can be replaced. 7 Peter Chamberlain, Lawrence Taylor, Egons These challenges are so basic that it Podnieks, and Russell Miller, “A Review of Possible Mining Applications in Space,” is clear that this is a much more difficult University of Arizona Press. http://www. design and engineering feat to achieve uapress.arizona.edu/onlinebks/ResourcesNear than simply adapting equipment EarthSpace/resources03.pdf Space Robotic Mining Systems 39

Fig. 4.3 Force chains (shown in red) that reveal fault lines subject to sonic intensification (Image courtesy of U. S. Los Alamos Department of Energy Laboratory.) electromagnetic weapons systems might researcher and his colleagues have be developed in the future. Techniques shown that seismic waves—the sounds that are potentially dangerous if applied radiated from earthquakes—can induce on Earth might be applied to mining earthquake aftershocks, often long after operations on NEAs to create chunks of a quake has subsided. The research pro- asteroids. It is possible that once the vides insight into how earthquakes may “space rocks” are more reasonably sized, be triggered and how they recur.”9 (see they could then be returned to Earth or Fig. 4.3) put in lunar orbit. At this time, however, It also might be noted that an NEA or current plans by space mining compa- a sizable chuck of an asteroid could be nies are focused on what would be called put into Earth or lunar orbit or perhaps conventional mining techniques.8 L-1 (Lagrange point) as a potential pro- Researchers as the U. S. Los Alamos tective device to be positioned defen- laboratories have reported on their sively against the impact of a city-killing research in this area as follows: “Using a asteroid on a path to bring destruction to novel device that simulates earthquakes Earth. in a laboratory setting, a Los Alamos

8 “Listening to the 9.0-magnitude Japanese 9 “Sound Waves Can Trigger Earthquake earthquake: Seismic waves converted to audio Aftershocks” Research report from the to study quake”s traits”, Science News. http:// U.S. Department of Energy Los Alamos www.sciencedaily.com/releases/2012/03/ Laboratories http://www.sciencedaily.com/ 120306142506.htm. releases/2008/01/080103124649.htm. 40 4 Power and Robotic Systems for Space Mining Operations

The development of these new tech- Conclusions niques and capabilities involve more than technical innovation, and could raise sig- The technical challenges of space min- nificant issues of international space law. ing, either on the Moon or on NEAs, The development of large amplitude are considerable. The development of sonic frequency generators for space min- a consistent and sufficient power sup- ing systems might also be considered the ply and the development of mining equivalent of developing a space weapon. equipment that can overcome the ten Further, the deployment of a new asteroid major constraints identified earlier are or parts of asteroids into any new near- truly epic. It may very well be that very Earth orbit also leads to new process different and innovative techniques issues as well. There would be questions would need to be developed to make as to whether the movement of such “sig- off-Earth mining viable. These new nificant space objects” either into or out approaches and redeployment of “sig- of Earth orbit would need to be approved nificant space objects” could well by the United Nations’ sanctioned Space present not only new technical but also Mission Planning Group or some other new legal and regulatory challenges as international approval process. well. U. S. Space Exploration and Planetary Resources 5

The United States has been carrying out a time the Hubble has provided an enor- vigorous space exploration program mous amount of useful information since the inception of NASA nearly 60 about the Moon, asteroids and the plan- years ago. This has included space tele- ets and their moons in addition to its scopes, scientific sensing and data collec- deep space observations.1 The Hubble tion missions. It has included orbiters, Space Telescope is international in landers and rovers. NASA has also sup- scope, and although the program has ported the development of space applica- been led by NASA there has been sub- tions in communications, remote sensing, stantial scientific involvement by the and navigation, and has most recently European Space Agency (ESA).2 undertaken prize competitions related to NASA launched the Kepler spacecraft space mining technologies and commer- on March 2009. The primary objective of cial space transportation development. the Kepler mission was “to survey … . [a NASA has indeed awarded developmen- specifically targeted portion] of the Milky tal and research contracts to some of the Way galaxy to discover hundreds of Earth- commercial space mining ventures dis- size and smaller planets in or near the cussed in the previous chapter. Because habitable zone and determine the fraction NASA has carried out many hundreds of of the hundreds of billions of stars in our missions over its existence it is not pos- galaxy that might have such planets.” The sible to cover every one of its activities. scientific objective of the mission contin- This chapter, however, seeks to highlight ues to be “to explore the structure and the most relevant of its planetary and diversity of planetary systems by resource exploration missions over time.

1 Hubble Space Telescope: NASA.gov http:// Space Telescope Missions www.nasa.gov/mission_pages/hubble/story/ index.html#.VOE0yfnF-Sq (Accessed August 27, 2015) NASA launched the Hubble Space 2 Hubble Overview, Space Science, ESA http:// Telescope observatory in April 1990 to www.esa.int/Our_Activities/Space_Science/ observe stars, planets and galaxies. Over Hubble_overview (Accessed August 27, 2015)

© Springer International Publishing Switzerland 2017 41 R.S. Jakhu et al., Space Mining and Its Regulation, Astronautical Engineering, DOI 10.1007/978-3-319-39246-2_5 42 5 U. S. Space Exploration and Planetary Resources surveying a large sample of stars to …. . returning them safely to Earth. With [d]etermine the properties of those stars success of the Apollo 11 mission that that harbor planetary systems.”3 met the initial objective, the goals of the NASA, in collaboration with ESA Apollo program were broadened to and the Canadian Space Agency [CSA], include carrying out scientific explora- is currently scheduled to launch the tion of the Moon. As part of this explo- James Webb Space Telescope in October ration, astronauts collected various 2018. This exceptionally large and samples from the Moon through the last sophisticated telescope “will be the pre- mission of the program, the Apollo 17 mier observatory of the next decade” and mission, in December 1972. The exten- “will study every phase in the history of sive sample collection from the Apollo our Universe, ranging from the first program serves as one of the most exten- luminous glows after the Big Bang, to sive databases concerning the chemical the formation of solar systems capable of composition of the Moon.6 supporting life on planets like Earth, to the evolution of our own Solar System.”4 NASA has selected the Transiting The Mariners, MESSENGER, Exoplanet Survey Satellite (TESS) mis- the Voyagers, Galileo, sion for launch in 2017 to “find exoplan- the Pioneers, Juno, Huygens- ets transiting nearby, bright stars.” The Cassini, Magellan and New TESS mission is considered the best Horizons way to identify targets for follow-up characterization with large ground tele- NASA’s Mariner series of missions were scopes, the Hubble Telescope, and the planned to be the “first U. S. spacecraft Webb Telescope.5 to other planets, specifically Venus and Mars.” The successful Mariner missions were: Mariner 2 (launched August 1962 The Apollo Lunar to Venus), Mariner 4 (launched Exploration Program November 1964 to Mars), Mariner 5 (launched June 1967 to Venus), Mariner The Apollo program was originally 6 (launched February 1969 to Mars), launched with the specific objective to Mariner 7 (launched March 1969 to land Americans on the Moon and Mars), Mariner 9 (launched May 1971 to Mars), and Mariner 10 (launched November 1973 to Venus and Mercury).7 3 Kepler Overview, Kepler:NASA.gov http:// www.nasa.gov/mission_pages/kepler/over- The mission objective of Mariner 2 view/index.html#.VOkYSvnF-So (Accessed was to study Venus and to make close up August 27, 2015). scientific observations. The Mariner 4 4 About the James Webb Space Telescope, Explore James Webb Space Telescope, NASA http://jwst.nasa.gov/about.html. 6 Apollo Program, NASA http://www.nasa.gov/ 5 NASA Facts: TESS: Transiting Exoplanet mission_pages/apollo/missions/index.html#. Survey Satellite, FS-2014-1-120-GSFC VM1iz2jF-Sr. (October 2014), online: TESS, NASA http:// 7 Mariner Missions, NASA http://science1. tess.gsfc.nasa.gov/documents/TESS_ nasa.gov/missions/mariner-missions (Accessed FactSheet_Oct2014.pdf August 27, 2015). The Mariners, MESSENGER, the Voyagers, Galileo, the Pioneers,… 43 mission was essentially to make parallel Japanese Space agency (JAXA), is observations of the planet Mars: “to described in the chapter on European conduct [close-up] scientific observa- activities. tions of Mars.” The more detailed objec- NASA launched its Voyager twin tives for the Mariner 5 mission were to spacecraft mission to explore Jupiter “collect data on [the Venusian] atmo- and Saturn in the summer of 1977. sphere, radiation and magnetic field.” Voyager 1 was actually the second of the The chief objectives for Mariners 6 and two and was launched on September 5, 7 were to make finer grain observations 1977, while Voyager 2 had lift-off 2 for Mars than had been possible with weeks before on August 20, 1977. earlier Mars missions. The objectives of Originally, the mission was designed to the Mariner 9 mission were to map 70 % study only Jupiter and Saturn. The two- of the Martian surface and study “tem- spacecraft mission was targeted to con- poral changes in the Martian atmosphere duct “close-up studies of Jupiter and and on the Martian surface.” The pri- Saturn, Saturn’s rings, and the larger mary scientific objectives of the Mariner moons of the two planets.” The mission 10 mission were “to measure Mercury’s was later renamed Voyager Neptune environment, atmosphere, surface, and Interstellar Mission after NASA autho- body characteristics and to make similar rized a further Neptune leg of the investigations of Venus.”8 Voyager mission.10 Currently, the mis- Another mission involving Mercury sion is known as the Voyager Interstellar was NASA’s MESSENGER spacecraft. Mission. Under this current mission, the The MESSENGER mission was two spacecraft have been further pro- launched on August 2004 with the grammed to continue to explore ultravi- objective of providing the first detailed olet sources among the stars, and the observations of Mercury.9 The latest fields and particles instruments aboard European Space Agency exploratory the Voyagers will continue to explore mission to Mercury, “BepiColombo,” to the boundary between the Sun’s influ- be carried out in cooperation with the ence and interstellar space. NASA launched the Galileo spacecraft on October 18, 1989, to make a 8 Mariner 2, NASA http://www.jpl.nasa.gov/ missions/mariner-2/. detailed study of Jupiter and its moons Mariner 4, NASA http://nssdc.gsfc.nasa. and magnetosphere from orbit. On gov/nmc/spacecraftDisplay.do?id=1964-077A. September 21, 2003, “Galileo plunged Mariner 5, NASA http://www.jpl.nasa. into Jupiter’s crushing atmosphere” and gov/missions/mariner-5/. was destroyed. One of the most impor- Mariner 6 & 7, Mars Exploration, NASA http://mars.jpl.nasa.gov/programmissions/mis- tant discoveries of the Galileo mission sions/past/mariner6/7/. before the spacecraft was destroyed was Mariner 9, NASA http://nssdc.gsfc.nasa. that there might possibly be an ocean gov/nmc/spacecraftDisplay.do?id=1971-051A. beneath the icy crust of the moon Mariner Missions, NASA http://sci- ence1.nasa.gov/missions/mariner-missions/ (All accessed on August 27, 2015) 10 NASA Facts: Voyager to the Outer Planets 9 Launch Coverage, MESSENGER, NASA and Into Interstellar Space, JPL 400-1538 http://www.nasa.gov/mission_pages/messen- 09/13 (Accessed September 2013). http://www. ger/launch/index.html. jpl.nasa.gov/news/fact_sheets/voyager.pdf 44 5 U. S. Space Exploration and Planetary Resources

Europa.” The upcoming ESA mission to • Map Jupiter’s magnetic and gravity explore Jupiter and three of its moons of fields, and thus help to reveal the Ganymede, Europa and Callisto in 2022 planet’s deep structure. will try to determine if possibly all three • Explore and study Jupiter’s magneto- might have underground oceans.11 sphere near the planet’s poles, espe- Even before the Galileo mission, cially the auroras—Jupiter’s northern NASA launched Pioneer 10 and Pioneer and southern lights—thus providing 11 spacecraft on March 1972 and April new insights about how the planet’s 1973, respectively, to fly to Jupiter, enormous magnetic force field affects Saturn, and ultimately other parts of the its atmosphere. If Juno survives long Milky Way Galaxy. The science mission enough it might coordinate its mea- of Pioneer 10 ended on March 1997 and surements with the ESA JUICE the Pioneer 11 mission ended on project.13 September 1995.12 Another mission of NASA involving NASA, jointly with the ESA and the Jupiter is the Juno mission that is cur- Italian space agency, Agenzia Spaziale rently underway. The Juno spacecraft Italiana [ASI], launched the Cassini- was launched on August 2011, and the Huygens mission in October 1997 to stated mission objective is to “improve carry out in-depth studies of Saturn and our understanding of the Solar System’s its moons, rings and magnetic environ- beginnings by revealing the origin and ment. Onboard the Cassini spacecraft evolution of Jupiter.” Juno is expected to was a scientific probe called Huygens enter Jupiter’s orbit on July 2016. that was released from the main space- Specifically, Juno will carry out the fol- craft “to parachute through the atmo- lowing tasks: sphere to the surface of Saturn’s largest and perhaps most interesting moon, • Determine how much water is in Titan.” Cassini arrived at Saturn in 2004, Jupiter’s atmosphere, which would and the ESA’s Huygens probe was help to determine which planet for- released on December 24, 2004, and mation theory is correct (or if new landed on Titan’s surface on January 14, theories are needed). 2005. Cassini’s initial 4-year mission • Look deep into Jupiter’s atmosphere ended in June 2008 but continued with to measure composition, tempera- the “first extended mission, called ture, cloud motions and other Cassini Equinox Mission, in September properties. 2010.” The second extended mission, called the Cassini Solstice Mission, will 11 Galileo, Solar System Exploration, NASA continue until September 2017. It is http://solarsystem.nasa.gov/missions/profile. hoped that this mission will help to cfm?Sort=Chron&StartYear=1980&EndYear= determine “the physical state, 1989&MCode=Galileo 12 “Pioneer-10 and Pioneer-11” (26 March 2007), online: Mission Archives, NASA http:// www.nasa.gov/centers/ames/missions/archive/ 13 “Unlocking Jupiter’s Secrets” (24 August pioneer10-11.html Also see Pioneer, Program, 2011), online: Overview, Juno, NASA http:// Jet Propulsion Laboratory http://space.jpl.nasa. www.nasa.gov/mission_pages/juno/overview/ gov/msl/Programs/pioneer.html. index.html#.VOkGuPnF-So. Lunar Missions 45 topography and composition of Titan’s Horizon spacecraft had its closest surface and characterize its internal approach to Pluto and its moons. Pluto structure.” and its largest moon, Charon, belong to This spacecraft’s observations of the a third category of planetary bodies icy moons of Saturn are seeking to known as “ice dwarfs.” They have solid reveal “the compositions and distribu- surfaces but, unlike the terrestrial plan- tions of surface materials,” and also help ets, a significant portion of their mass is reveal “the bulk compositions and inter- icy material. Using images from the nal structures of the moons.”14 Hubble Space Telescope images, New The Pioneer Venus Orbiter that is Horizons team members have now dis- also known as the Pioneer 12 mission covered four previously unknown was “designed to perform long-term moons of Pluto: Nix, Hydra, Styx and observations of the Venusian atmo- Kerberos that are also composed of icy sphere and surface features.” This space- material.17 craft was launched by NASA in May of A close-up look at these worlds as 1978. Pioneer 12 continued operation produced from New Horizons data is until October 1992. Pioneer Venus expected to reveal more information Multiprobe, or the Pioneer 13 mission, about the origins of Pluto and objects on was designed to perform detailed atmo- the outskirts of our Solar System and the spheric measurements of Venus. It was Kuiper Belt, from which comets origi- launched on August 1978 and burned up nate. New Horizons is exploring—for in Venus’s atmosphere on December the first time—useful information about 1978.15 the origin of ice dwarf planets such as In May 1989, NASA launched the Pluto and Kuiper Belt bodies and how Magellan spacecraft to develop an they may have evolved over time (see understanding of the geological struc- Fig. 5.1). ture of the planet Venus, including Venus’s density distribution and dynamics. The mission ended on October 11, Lunar Missions 1994, when the spacecraft was “com- manded to plunge into [the Venusian] NASA launched the Clementine probe dense atmosphere.”16 on January 25, 1994, which was a joint NASA launched the New Horizons project between the Strategic Defense mission on January 2006 to study for the Initiative Organization and NASA. The first time the Pluto system and the objective of the Clementine mission was Kuiper Belt. On July 14, 2015, the New to “test sensors and spacecraft components under extended exposure to the 14 NASA, Press Kit: Cassini-Huygens Saturn space environment and to make scien- Arrival (June 2004) http://www.nasa.gov/ tific observations of the Moon and the pdf/60116main_cassini-arrival.pdf. 15 Pioneer 12, Quicklook, Jet Propulsion Laboratory http://space.jpl.nasa.gov/msl/Quick 17 New Horizons: The First Mission to the Pluto Looks/pioneer12QL.html. System and the Kuiper Belt (August 2014), 16 “Magellan Mission at a Glance,” http:// online: NASA http://www.nasa.gov/sites/ www2.jpl.nasa.gov/magellan/fact.html default/files/files/NHMissionFS082114HiPrint. (Accessed August 27, 2015). pdf (Accessed Aug. 2014). 46 5 U. S. Space Exploration and Planetary Resources

Fig. 5.1 The New Horizons spacecraft that flew by Pluto on July14, 2015 (Graphic courtesy of NASA.) near-Earth asteroid 1620 Geographos.” There are several other missions that The observations to be made from the concern the Moon, namely, the Lunar Clementine were “originally for the pur- Prospector (LP) mission, the Lunar poses of assessing the surface mineral- Reconnaissance Orbiter (LRO) mission, ogy of the Moon and Geographos, the Lunar CRater Observing and obtaining lunar altimetry from 60N to Sensing Satellite (LCROSS) mission 60S latitude, and determining the size, and the Lunar Atmosphere and Dust shape, rotational characteristics, surface Environment Explorer (LADEE) mis- properties, and cratering statistics of sion. The LP mission was launched in Geographos.” Most significantlyJanuary 1998 “for a one-year, polar Clementine also confirmed a significant orbit, primary mission dedicated to amount of water (ice) on the Moon and globally mapping lunar resources, grav- was able to complete its mission at a ity, and magnetic fields, and even out- small cost compared with other NASA gassing events.” The LRO and LCROSS exploratory projects. Due to malfunc- were launched together on June 2009. tion in one of the on-board computers on LRO’s mission was “to map the moon’s May 7, 1994, the planned continuation surface and, after a year of exploration of the mission became impossible.18 was extended” to continue mapping. The principal mission objective of LCROSS mission, which is a compan- 18 Clementine Project Information, NASA ion mission to LRO, is “to confirm the http://nssdc.gsfc.nasa.gov/planetary/clemen- presence or absence of water ice in a tine.html. permanently shadowed crater near a Mars Missions 47 lunar polar region.” The CLROSS mis- 200th Independence Day in the United sion thus used information learned from States.20 the Clementine and LP missions. The NASA launched the Mars Global LADEE mission was launched on Surveyor mission, a global mapping September 2013 and impacted the lunar mission, in November 1996, which surface in April 2014. The object of the examined the entire planet. The mission mission was to “orbit the moon in order “contributed to meeting the four main to gather detailed information about the science goals of the Mars Exploration lunar atmosphere, conditions near the Program,” namely, determine whether surface and environmental influences on life ever arose on Mars, characterize the lunar dust.”19 Martian climate, characterize the Martian geology, and prepare for human exploration. The spacecraft went silent Mars Missions on November 2006.21 NASA’s second mission under its NASA has devoted a tremendous Discovery Program is the Mars amount of resources to the study of Pathfinder mission. which was launched MARS going back over 40 years. The in December 1996 and ended in following are highlights from the vari- September 1998. The mission was ous scientific and exploratory missions. “designed to be a demonstration of the NASA’s first successful mission to technology necessary to deliver a lander land on Mars was its Viking mission. and a free-ranging robotic rover to the Launched in August 1975, the mission surface of Mars in a cost-effective and was composed of two pairs of space- efficient manner.”22 craft, namely Viking 1 and Viking 2, and In April 2001, NASA launched the was “designed to take high-resolution 2001 Mars Odyssey mission, which is a images of the Martian surface, charac- part of NASA’s Mars exploration pro- terize the structure and composition of gram. To contribute to the four main sci- the atmosphere and surface, and search ence goals of the Mars exploration for evidence of life.” With some careful program, noted above, and meet the planning this spacecraft alighted on mission’s specific goal of determining Mars on July 4, 1976, to celebrate the the habitability of Mars, Odyssey has five science objectives: globally map the elemental composition of the surface, 19 Lunar Prospector Mission, LCROSS, NASA determine the abundance of hydrogen in http://www.nasa.gov/mission_pages/LCROSS/ the shallow subsurface, acquire high searchforwater/lunar_prospector.html.

LRO Overview, Lunar Reconnaissance 20 Orbiter, NASA http://www.nasa.gov/mission_ Viking 01, Solar System Exploration, NASA pages/LRO/overview/index.html. http://solarsystem.nasa.gov/missions/profile. LCROSS Overview, LCROSS, NASA cfm?Sort=Alpha&Letter=V&Alias=Vik http://www.nasa.gov/mission_pages/LCROSS/ ing%2001. overview/index.html. 21 Overview, Mars Global Surveyor, NASA LADEE, NASA http://www.nasa.gov/mis- http://mars.jpl.nasa.gov/mgs/overview/. sion_pages/ladee/main/index.html and http:// 22 Overview, Mars Pathfinder, NASA http:// www.nasa.gov/mission_pages/ladee/launch/ www.nasa.gov/mission_pages/mars-path- index.html#.VOkwr_nF-So. finder/index.html. 48 5 U. S. Space Exploration and Planetary Resources spatial and spectral resolution images of ice-soil boundary.” The Phoenix Mars the surface mineralogy, provide infor- Lander ended operation in May 2010.26 mation on the morphology of the NASA launched the Mars Martian surface, and characterize the Atmosphere and Volatile EvolutioN Martian near-space radiation (MAVEN) mission in November 2013 environment.23 to explore Mars’s “upper atmosphere, NASA’s twin robot geologists, the ionosphere and interactions with the sun Mars exploration rovers (MER), namely and solar wind.”27 Spirit and Opportunity, were “launched The Mars Science Laboratory space- toward Mars on June 10 and July 7, craft, with the Mars rover Curiosity, was 2003, respectively, in search of answers launched on November 26, 2011, and about the history of water on Mars.” One landed successfully on 6 August 6, of the primary scientific objectives of 2012. The mission of Curiosity is to the MER mission was “to search for and investigate “whether conditions have characterize a wide range of rocks and been favorable for microbial life and for soils that hold clues to past water activ- preserving clues in the rocks about pos- ity on Mars.” The MER mission is part sible past life.”28 of NASA’s Mars exploration program. NASA most current Mars mission is These small rovers with their various called InSight. This acronym stands for revelations of the landscapes of Mars, “Interior exploration using Seismic their miraculous recoveries and restarts, Investigations, Geodesy and Heat and other accomplishments have cap- Transport.” (see Fig. 5.2) This mission is tured public attention and stirred interest a part of NASA’s 2016 Discovery pro- in Mars in remarkable ways.24 gram. The venture intends to place a In August 2005, NASA launched the single geophysical lander on Mars to Mars Reconnaissance Orbiter mission study its deep interior.” InSight is “a ter- “on a search for evidence that water per- restrial planet explorer that will open a sisted on the surface of Mars for a long window into the processes that shaped period of time.”25 the rocky planets of the inner Solar NASA’s Phoenix mission was System (including Earth) more than 4 launched in August 2007 as part of the billion years ago.” The mission has Mars exploration program with two two science goals and objectives: objectives: “(1) study the history of water in the Martian arctic and (2) 26 search for evidence of a habitable zone Phoenix Mars Mission, University of Arizona http://phoenix.lpl.arizona.edu/index.php. and assess the biological potential of the 27 MAVEN: Answers About Mars’ Climate History, MAVEN, NASA http://www.nasa.gov/ mission_pages/maven/overview/index.html#. 23 Objectives, 2001 Mars Odyssey, NASA VO5p9i6sjEY. http://mars.jpl.nasa.gov/odyssey/mission/sci- 28 The rover’s primary mission is to find out if ence/objectives. Mars is, or was, suitable for life. Another objec- 24 Summary, Mars Exploration Rovers, NASA tive is to learn more about the red planet’s envi- http://mars.nasa.gov/mer/overview. ronment.” Elizabeth Howell, “Mars Curiosity: 25 Mission Overview, MRO, NASA http://www. Facts and Information”, Space.com (16 nasa.gov/mission_pages/MRO/mission/index. December 2014), online: Space.com http:// html#.VO5ZcS6sjEY. www.space.com/17963-mars-curiosity.html. Mars Missions 49

Fig. 5.2 InSight, the mars lander, shown in final assembly (Image courtesy of NASA.) understanding “the formation and evo- exploration rovers, Spirit and lution of terrestrial planets through Opportunity, by taking the next key investigation of the interior structure steps in our understanding of Mars’ and processes of Mars” and determining potential as a habitat for past or present “the present level of tectonic activity life.” The new Mars 2020 rover “would and meteorite impact rate on Mars.” The be designed to seek signs of past life on primary mission will end in September Mars, collect and store a set of soil and 2018.29 rock samples that could be returned to NASA has proposed a Mars 2020 Earth in the future, and test new technol- mission, which is a part of NASA’s Mars ogy to benefit future robotic and human exploration program, that “would build exploration of Mars.” These functions upon many discoveries from the could also support future efforts that Curiosity Mars rover and the two Mars might involve plans to create a habitat or to undertake mining operations.30 29 NASA Facts: InSight…into the Early Evolu- tion of Terrestrial Planets, JPL 400-1513, Rev 2 6/13 (Pasadena, Cal: Jet Propulsion Laboratory, California Institute of Technology) at 1, 30 NASA, NASA Facts: Mission Concept: Mars online: NASA http://insight.jpl.nasa.gov//docs/ 2020 (October 2013) at 1, online: NASA http:// InSight_NASA_fact_sheet_rev3_June_2013_ mars.jpl.nasa.gov/mars2020/files/mars2020/ FC.pdf. FINAL_Mars_2020_handout_10-7-13.pdf. 50 5 U. S. Space Exploration and Planetary Resources

NASA Asteroid Mission NASA launched the combined Deep Impact spacecraft in January 2005 that The first mission to orbit an asteroid as was also directed toward comet Tempel well as the first to touch down on the 1.34 The Deep Impact mission was “the surface of an asteroid is known as first space mission to probe beneath the NASA’s Near Earth Asteroid surface of a comet and reveal the secrets Rendezvous—the Shoemaker (NEAR) of its interior.” The supplemental mis- mission. The NEAR mission was sion to explore other celestial targets by launched on February 1996 to study the the Deep Impact spacecraft was dubbed NEA 433 Eros. The primary scientific EPOXI. On November 1, 2007, the objectives of the mission were “to return spacecraft was directed toward another data on the bulk properties, composi- comet, Hartley 2. The spacecraft was tion, mineralogy, morphology, internal also used as a test platform for a delay- mass distribution and magnetic field of tolerant networking transmission while Eros.” The mission ended on February at a distance of 20 million miles from 2001.31 Earth. Experimentation with long NASA also has plans to launch the latency transmissions is one of the key Origins Spectral Interpretation Resource technologies that will eventually be cru- Identification Security—Regolithcial for mining of asteroids. Explorer (OSIRIS-REx) mission in late The mission ended on September 19, 2016. The OSIRIS-REx spacecraft will 2013, due to a computer failure that “travel to a near-Earth asteroid, called doomed the spacecraft. At one point it Bennu (formerly 1999 RQ36), and bring had been intended for this spacecraft to at least a 2.1-ounce sample back to Earth fire its thrusters to target (163249) 2002 for study.”32 GT, an NEA, in hopes of intercepting it NASA launched the Stardust mission for study in 2020. Stardust-NExT mis- in February 1999. This was the first sion extended the investigation of comet U. S. mission “dedicated solely to a Tempel 1 by the Deep Impact mission, comet.” Stardust was directed toward but the NEA intercept was not comet Wild-2 with the principal objec- accomplished.35 tive to capture a sample from that comet. The Submillimeter Wave Astronomy The Stardust mission was extended to Satellite (SWAS) mission was launched fly by comet Tempel 1 in February 2011 in December 1998 by NASA with the with a new mission title, namely primary objective “to survey water, Stardust-NExT (Stardust-New molecular oxygen, carbon, and isotopic Exploration of Tempel), following the carbon monoxide emission in a variety sample return from comet Wild-2.33 of galactic star forming regions.” The

31 NEAR-Shoemaker, NASA Science, NASA http://science.nasa.gov/missions/near. 32 OSIRIS-REx, NASA http://www.nasa.gov/ 34 Deep Impact: Mission to a Comet, NASA mission_pages/osiris-rex/index.html#. http://www.nasa.gov/mission_pages/deepim- VO-Ujy6sjEY. pact/mission/index.html#.VN_aHfnF-So. 33 Mission Overview, Stardust-NExT, NASA 35 Deep Impact: Mission to a Comet, NASA http://www.nasa.gov/mission_pages/stardust/ http://www.nasa.gov/mission_pages/deepim- mission/index.html. pact/mission/index.html#.VN_aHfnF-So. Space Telescope Findings 51

SWAS mission supported the Deep Deep Space Industries, Shackleton Impact mission.36 Energy Company, Moon Express and other similar ventures that may spring up around the world in the form of either Assessing the Broad Impact new commercial space enterprises or of U. S. Space Missions governmental space activities and mis- Over the Past Half Century sions. As will be seen in following chapters, a tremendous amount of information The U. S. space missions over the past has also been contributed by the space half century have contributed a great programs of many spacefaring nations, deal of understanding concerning the but the U. S. space program has pro- nature of the universe. Some of these vided unparalleled data and scientific have been in partnership with the findings. Department of Defense or other agen- The following section seeks to assess cies such as the National Science the significance of some of these Foundation. These activities has activities. revealed a wealth of information on the Moon, all of the planets and some of the moons, asteroids and comets as well as Space Telescope Findings more remote star systems and exoplanets. Along the way U. S. space activities The Hubble Space Telescope was the have aided in the development of space first instrument to glimpse the atmo- launcher and thruster systems and sphere of a planet outside the Solar spaceplanes, satellite communications, System. It also confirmed that the atmo- remote sensing, space navigation and sphere of a particular exoplanet con- stabilization and guidance systems. tained sodium, hydrogen, oxygen, U. S. space missions have revealed carbon, silicon, water vapor, methane important findings on space radiation, and carbon dioxide. Hubble “made the coronal mass ejections, the magnetic first detection ever of an organic mole- characteristics of planets and moons, cule in the atmosphere of a Jupiter- and the chemistry, soil composition, sized” exoplanet. It has also confirmed internal physics and biochemistry of the the present of water vapor in four other Solar System. All of the technologies exoplanets, namely WASP-17b, WASP- and research findings are widely avail- 12b, WASP-19b and XO-1b. In the able around the world, on websites, to atmosphere of extrasolar planet WASP- industry, which can indeed provide use- 12b, Hubble identified a wide variety of ful pathways to the future for many new ingredients: aluminum, tin, magnesium, space ventures. In short, a diverse range sodium, manganese, ytterbium, scan- of U. S. governmental space activities— dium and vanadium.37 Within the Solar especially those of NASA—has created System it has allowed us to make a wide a vital knowledge foundation for new enterprises such Planetary Resources, 37 Discovering Planets Beyond, Hubble Discoveries, Hubblesite http://hubblesite.org/ 36 SWAS, Harvard University https://www.cfa. hubble_discoveries/discovering_planets_ harvard.edu/swas/swas.html. beyond/alien-atmospheres. 52 5 U. S. Space Exploration and Planetary Resources ranging number of discoveries such as water was in the form of mostly pure ice four new moons of Pluto, and with the crystals in some places. It was deter- deployment of the James Webb Space mined that “as much as 20 % of the Telescope in the near future we could material kicked up by the LCROSS observe objects such as NEAs with a impact represented volatiles, including precision and resolution never before methane, ammonia, hydrogen gas, car- possible. bon dioxide and carbon monoxide.” The Kepler spacecraft has discovered These missions also confirmed that large on the order of 10,000 actual confirmed amounts of metals such as sodium, mer- planets, candidate planets or eclipsing cury and possibly even silver were also binary stars that could yield planets, and present. 40 opened the door to a finding a record The LRO and LCROSS missions led number of exoplanets.38 to the conclusion that “Lunar geology can be roughly broken down into two categories—the anorthositic highlands,” Useful Information about which are “rich in calcium and alumi- the Moon num and the basaltic “maria.” These maria, or giant impact basins, are filled Data derived from Clementine mission with solidified lava flows, which are enabled “the global mapping of the rock plentiful in iron and magnesium. The types of the lunar crust and the first LRO mission further confirmed that detailed investigation of the geology of “most lunar terrains have signatures the lunar polar regions and the lunar far consistent with compositions in these side.” It also provided significant evi- two broad categories. Highly silicic dence of the existence of frozen water in minerals such as quartz, potassium-rich the Moon’s craters. Analyses of neutron and sodium-rich feldspar, were detected data from the LP mission demonstrated in several locations around the Moon.41 the existence of hydrogen, at both poles Finally NASA’s LADEE mission of the Moon and that “at least some of confirmed that there is a more or less the enhanced hydrogen deposits … are steady rain of micrometeoroid particles most likely in the form of water onto the lunar surface,” and that “the molecules.”39 major gas species in the thin lunar atmo- The LRO and LCROSS missions dis- sphere are … helium, neon and argon,” covered evidence for water and hydro- particularly argon-40, which “comes gen in certain places on the Moon. The from the decay of naturally occurring two missions “found evidence that the radioactive potassium-40, found in the lunar soil within shadowy craters is rich rocks of all the terrestrial planets as a in useful materials, and the Moon is leftover from formation.” Two minor chemically active and has a water cycle.” species, namely sodium and potassium, These missions also confirmed that the were also monitored. Further the

38 Kepler Discoveries, Kepler, NASA http:// kepler.nasa.gov/Mission/discoveries. 40 Ice on the Moon http://nssdc.gsfc.nasa.gov/ 39 The Clementine Mission, http://www.lpi. planetary/ice/ice_moon.html. usra.edu/lunar/missions/clementine/. 41 Ibid. Findings Related to Planetary Bodies 53 presence of the rare and valuable it was likely that “more complex hydro- helium-3 was confirmed.42 carbons form the haze particles.” The Cassini-Huygens mission to Saturn discovered a significant number of facts Findings Related about Saturn and its two moons, Titan to Planetary Bodies and Enceladus. According to the Cassini spacecraft, Enceladus has an under- The Pioneer 10 mission “established ground sea of liquid water. Previously, that Jupiter is predominantly a liquid the Cassini-Huygens mission “directly planet.” It also measured Jupiter’s “mag- sampled the water plumes jetting into netosphere, radiation belts, magnetic space from … Enceladus,” which was field, atmosphere, and interior.” The the strongest evidence yet for the exis- Voyager mission discovered active vol- tence of large-scale saltwater reservoirs canoes on one of the Jupiter’s moon, beneath Enceladus’s icy crust.44 Perhaps namely lo. Apparently, sulfur, oxygen most spectacularly, the Cassini space- and sodium were emitted by those vol- craft sensors observed “what appears to canoes. Another moon, namely Europa, be a miniature extraterrestrial version of is “thought to have a thin crust … of the Nile River.” This seemed to be a water ice.” Notable discoveries related river valley on Saturn’s moon Titan that to natural resources of NASA’s Galileo stretched more than 400 km from its mission include some evidence for a liq- ‘headwaters’ to a large sea.” Earlier, evi- uid water ocean under Jupiter’s moon dence for seas likely filled with liquid Europa’s icy surface, and organic com- methane and ethane, lakes filled with pounds on Jupiter’s moons Callisto, liquid methane, and large tides were Ganymede, Europa and lo.43 found on Titan. The large tide findings With respect to Saturn, the Voyager pointed to “a liquid ocean—most likely mission discovered that, in Saturn’s water—swirling around below the sur- moon Titan, photochemistry “converts face.” It was also found that Titan has some atmospheric methane to other “hundreds of times more liquid hydro- organic molecules, such as ethane, that carbons than all the known oil and natu- is thought to accumulate in lakes or ral gas reserves on Earth.”45 oceans.” It was also found that, in Titan, Mariner 2, the first U. S. mission to Venus, revealed that this planet “has cool clouds and an extremely hot sur- 42 LADEE Project Scientist Update: The Legacy face.” Mariner 5 revealed “new infor- Lives On! https://www.nasa.gov/ames/ladee- mation about Venus’ atmosphere, project-scientist-update-the-legacy-lives-on/. 43 Pioneer-10 and Pioneer-11” (26 March 2007), online: Mission Archives, NASA http://www. 44 ESA, News, “Cassini Samples the Icy Spray nasa.gov/centers/ames/missions/archive/pio- of Enceladus’ Water Plumes” (22 June 2011), neer10-11.html Also see Pioneer, Program, Jet ESA http://www.esa.int/Our_Activities/Space_ Propulsion Laboratory http://space.jpl.nasa. Science/Cassini-. gov/msl/Programs/pioneer.html. Also 45 ESA, News, “Cassini Spots Mini Nile River see:Galileo, Solar System Exploration, NASA on Saturn Moon” (12 December 2012), online: http://solarsystem.nasa.gov/missions/profile. ESA http://www.esa.int/Our_Activities/ cfm?Sort=Chron&MCode=Galileo&StartYear Space_Science/Cassini_spots_mini_Nile_ =1980&EndYear=1989&Display=ReadMore. River_on_Saturn_moon. 54 5 U. S. Space Exploration and Planetary Resources including its composition of 85–99 % nitrogen ice particles may form thin carbon dioxide.” Mariner 10, which was clouds a few km above the surface.” the first spacecraft to visit two planets and the first to visit Mercury, collected important scientific data on Venus. The Mars Exploratory Programs results of Mariner 10 demonstrated, inter alia, that “a Hadley-type circula- Mariner 4, which was the first U. S. tion existed in Venus’ atmosphere.” The spacecraft to get a close look at Mars, Pioneer 12 spacecraft returned global revealed that it has “a cratered, rust-col- maps of clouds, atmosphere and the ion- ored surface, with signs on some parts osphere of Venus, “measurements of the of the planet that liquid water had once atmosphere-solar wind interaction, and etched its way into the soil.” Mariners 6 radar maps of 93 % of the planet’s sur- and 7 revealed “cratered deserts, as well face.” The Pioneer 13 mission studied, as depressions with no craters, huge inter alia, the atmospheric composition, concentrically terraced impact regions, composition of the upper atmosphere, and collapsed ridges.” The images from and cloud particles of Venus. Among Mariner 9 revealed “river beds, craters, others, one of the key scientific findings massive extinct volcanoes, canyons.” It of the Magellan mission was that planet also found “evidence of wind and water Venus’s surface is “mostly covered by erosion and deposition, weather fronts, volcanic materials. Volcanic surface fea- fogs, and more.” These findings “laid tures, such as vast lava plains, fields of the groundwork for the Viking small lava domes, and large shield vol- program.”47 canoes are common.” NASA’s Viking mission “provided The Mariner 10 mission “confirmed numerous new insights into the nature that Mercury had no atmosphere and a and history of Mars.” It produced “a cratered, dormant Moon-like surface vivid overall picture of a cold weathered was shown in the images. Mercury was surface with reddish volcanic soil under shown to have … a relatively large iron- a thin, dry carbon dioxide atmosphere, rich core.” The ongoing MESSENGER clear evidence for the existence of mission found evidence for “water ice ancient river beds and vast floods, and and other frozen volatile materials in no detectable seismic activity.” The mis- [Mercury’s] permanently shadowed sion did not find any traces of life on polar craters.”46 Mars but found carbon, nitrogen, hydro- Images from the Voyager 2 space- gen, oxygen and phosphorus, which are craft showed active geyser-like erup- essential to life on Earth.48 tions on Neptune’s largest moon Triton, NASA’s Mars Global Surveyor mis- “spewing invisible nitrogen gas and sion “contributed a multitude of dark dust particles several miles (km) into the tenuous atmosphere.” In Triton 47 Mariner Missions, NASA http://science1. nasa.gov/missions/mariner-missions. 46 Mariner 10, Solar System Exploration, 48 Viking 01, Solar System Exploration, NASA NASA http://solarsystem.nasa.gov/missions/ http://solarsystem.nasa.gov/missions/profile. profile.cfm?MCode=Mariner_10&Display=Re cfm?Sort=Alpha&Letter=V&Alias=Vik adMore. ing%2001. Mars Exploratory Programs 55 findings, including signs of past, persis- finding “the most compelling signs of a tent water such as an ancient delta and watery past on Mars in the form clay currently active water features in the minerals formed in neutral-pH water.”52 gullies of canyon walls.”49 Significant findings of the Mars Findings from the Mars Pathfinder Reconnaissance Orbiter mission include mission “suggest that Mars was at one signs of ancient Martian lakes and time in its past warm and wet, with quakes, clues to possible water flows, water existing in its liquid state and a evidence for carbonate forming within a thicker atmosphere.”50 lake environment, and evidence of car- The 2001 Mars Odyssey mission bon dioxide snowfalls on Mars.53 “mapped the amount and distribution of The Phoenix Mars lander uncovered chemical elements and minerals that a shallow ice table, and it was discov- make up the [Martian] surface. Maps of ered that H2O ice and vapor relentlessly hydrogen distribution led scientists to interacted with the soil, which was alka- discover vast amounts of water ice in the line, containing CaCO3, aqueous miner- Polar Regions just beneath the surface.”51 als, and salts. Calcium carbonate,

There were many new discoveries perchlorate (ClO4), chloride, bicarbon- from the Mars exploration twin rovers— ate and sulfate were also detected.54 Spirit and Opportunity. Some of these The Mars rover Curiosity “met its results include finding the mineral major objective of finding evidence of a hematite that typically forms in water, past environment well suited to support- finding “rocks ten times richer in key ing microbial life.” “In the first few chemicals (magnesium and iron carbon- weeks after landing, images from the ates) than any other Martian rocks stud- rover showed that Curiosity touched ied before,” finding 90 % pure silica, down right in an area where water once which, on Earth, “exists in hot springs or coursed vigorously over the surface hot steam vents,” finding “bright-col- (Fig. 5.3).” During the rover’s “approach ored veins of gypsum in the rocks … to the base of Mount Sharp, the rover [which] likely formed when water found sedimentary rocks fitting [the] flowed through underground fractures in pattern of successive delta deposits, the rocks, leaving calcium behind,” and with the ones farther south (toward the mountain) higher in elevation.” This finding “suggests that where the moun- 49 Overview, Mars Global Surveyor, NASA tain stands now was formerly a lake or http://mars.jpl.nasa.gov/mgs/overview/. To learn more about the top discoveries of Mars Global Surveyor mission, also see NASA, 52 Science Highlights, Mars Exploration, NASA “NASA—Mars Global Surveyor Mission http://mars.jpl.nasa.gov/mer10/sciencehighlights. Highlights” (13 April 2007), Mars Global 53 “NASA Orbiter Observations Point to ‘Dry Surveyor, NASA http://www.nasa.gov/mis- Ice’ Snowfall on Mars” (11 September 2012), sion_pages/mgs/mgs-20070413a.html#. online: Mars Reconnaissance Orbiter, NASA VO0VgS6sjEY. http://www.nasa.gov/mission_pages/MRO/ 50 Overview, Mars Pathfinder, NASA http:// news/mro20120911.html. www.nasa.gov/mission_pages/mars-path- 54 MH Hecht et al, “Detection of Perchlorate finder/index.html. and the Soluble Chemistry of Martian Soil at 51 Science, 2001 Mars Odyssey, NASA http:// the Phoenix Lander Site” (2009) 325:5936 mars.jpl.nasa.gov/odyssey/mission/science/. Science 64. 56 5 U. S. Space Exploration and Planetary Resources

Fig. 5.3 The mars curiosity rover (Image courtesy of NASA.) series of lakes.” The rover found evidence of an ancient streambed. The first Missions to Comets drilled sample from a rock target called and Asteroids “John Klein” was analyzed, and it “provided the evidence of conditions favor- The NEAR-Shoemaker mission enabled able for life in Mars’ early history: scientists to determine that the asteroid geological and mineralogical evidence Eros “is not a “rubble pile” of loosely for sustained liquid water, other key bound pieces, but rather a consolidated elemental ingredients for life, a chemi- object.”56 cal energy source, and water not too The Stardust spacecraft was “the first acidic or too salty.” Later, analysis of a to return extraterrestrial material from sample from another rock target called outside the orbit of the Moon.” Glycine, “Cumberland” “yielded the first defini- a fundamental building block of life, tive detection of any Martian organic was discovered in samples of comet chemicals in material on the surface of Wild 2. High-temperature minerals rich Mars.” Organic chemicals “are molecu- in magnesium, calcium, aluminum and lar building blocks of life,” containing titanium were also found.57 carbon and usually hydrogen.55

56 NEAR-Shoemaker, NASA Science, NASA http://science.nasa.gov/missions/near/. 55 Mike Wall, “Wow! Ancient Mars Could Have 57 NASA, News Release, 06-091, “NASA’s Supported Primitive Life, NASA Says”, Space. Stardust Findings May Alter View of Comet com (12 March 2013), Also see: Space.com Formation” (13 March 2006), online: http://www.space.com/20182-ancient-mars- Newsroom, NASA http://stardust.jpl.nasa.gov/ microbes-curiosity-rover.htm. news/status/060313.html. Conclusions 57

With respect to natural resources, The Future of Space one of the key findings of the Deep Exploration Technology Impact mission, which includes the Related to Space Mining EPOXI mission, is that “comet tails contain dry ice and water.” The largest future contribution that The recent NASA Dawn mission to might be made by the U. S. space pro- explore Ceres and Vesta was designed to gram to future space mining activities understand better the formation, compo- would be more and better information sition, and nature of asteroids. During about NEAs in terms of their detection its nearly decade-long mission, Dawn and orbital mapping as well as more will study in some detail both the aster- information about the chemical and oid Vesta and dwarf planet Ceres. These physical attributes of these objects. asteroid bodies are believed to have Growing concerns about the cosmic accreted early in the history of the Solar hazards constituted by PHAs could System. The mission will characterize accelerate efforts in this respect. The the early Solar System and the processes Sentinel project by the B612 Foundation, that led to its formation. the NASA proposed NEOCAM project, The current theory is that in the earli- the expanded capabilities represented by est epochs of our Solar System, the the James Webb Space Telescope as materials in the solar nebula varied con- well as other capabilities such as siderably as a function of their distance Canadian infrared telescope for finding from the Sun. As this distance increased, PHAs could all support future space the temperature dropped, with terrestrial activities aimed at mining asteroids. bodies forming closer to the Sun, and icy bodies forming farther away. The asteroid Vesta and the recently Conclusions categorized dwarf planet Ceres were selected because they developed into Clearly the U. S. governmental space two different kinds of bodies even program as led by NASA for over 50 though similar distances from the Sun. years has created a large and systematic Vesta is a dry, differentiated object with base of information about the chemical a surface that shows signs of resurfac- and physical composition of the Moon, ing. It resembles the rocky bodies of the asteroids, comets and planetary bodies. inner Solar System, including Earth. This information substantiates that there Ceres, by contrast, has a primitive sur- is out in space a wealth of volatiles, preface containing water-bearing minerals, cious and rare earth metals that are and may possess a weak atmosphere. It becoming more and more difficult to appears to have many similarities to the locate and economically mine here on large icy moons of the outer Solar Planet Earth. The wealth of information System. The results of the Dawn mis- that has been amassed in hundreds of sion should help explain these signifi- different NASA and other U. S. agencies cant differences and why they may have over a half century has now established occurred.58 a base from which new entrepreneurial efforts targeted toward space mining can 58 Dawn Mission Overview http://www.nasa. effectively draw. NASA efforts via gov/mission_pages/dawn/mission/index.html. Space Act Agreements, mechanisms 58 5 U. S. Space Exploration and Planetary Resources such as the Lunar Catalyst, design and engineering, research and technical engineering contests related to robotic efforts to develop the needed capabili- mining, tele-robotics, remote and high ties will continue to move forward with latency communications and network- support from the U. S. space program ing systems, and precision space navi- and that of other space agencies such as gation and guidance systems can also Roscosmos in Russia, ESA, CNES, help provide critical new information. DLV and so on in Europe, JAXA in A number of legal, regulatory and Japan, the Chinese National Space policy issues have yet to be addressed Agency, the Indian Space Research and resolved before such activities can Organization, the Canadian Space commence. As these issues are resolved Agency and other space programs in in the next decade, the scientific, other parts of the world. Private Sector Space Mining Initiatives 6 and Policies in the United States

The development of a dynamic commer- (FAA-AST) serves a dual role of regula- cial so-called “new space” industry in tor of commercial space safety as well the United States over the past 15 years as encourager of new space enterprises. has redefined the respective roles of pri- Today NASA also relies on commer- vate versus publicly funded space pro- cial vehicles to access the International grams. The initiatives of private entities Space Station and have awarded con- have created new perspectives on what tracts for new vehicles and capsules to types of space services can be offered by take astronauts into and return from commercial space enterprises and space. Commercial ventures have devel- opened eyes to fresh new technilogical oped spaceplanes to provide suborbital and operational approaches to space ser- tourist experiences. Commercial vehi- vices and systems. In addition to a wide cles are now being developed to place range of new commercial space ventures satellites and even people into space as new organizational arrangements have well as to deploy private space habitats. emerged. Prime among these new insti- Robotic systems are being developed to tutions is the Commercial Spaceflight refuel and service spacecraft and even Federation (CSF) that has a wide mem- actively deorbit space debris. Some of bership among commercial spaceflight these systems could even be deployed as companies, spaceports, and others seek- anti-satellite weapons. Also, the U. S. ing to develop new space activities. Department of Defense and especially These new space initiatives have also its Defense Advanced Research Projects served to change U. S. regulators views Agency (DARPA) plays a key role in on how to control, license and encour- developing new capabilities in space, age commercial space innovation. frequently in partnership with private Various “space acts” passed by Congress space ventures. and signed into law have by and large This dramatic shift in the division served to encourage new commercial between private and public space pro- space enterprise. Today the U. S. Federal grams and the rapid rise of private space Aviation Administration Office of systems to carry out activities that are Commercial Space Transportation sometimes called new space activities

© Springer International Publishing Switzerland 2017 59 R.S. Jakhu et al., Space Mining and Its Regulation, Astronautical Engineering, DOI 10.1007/978-3-319-39246-2_6 60 6 Private Sector Space Mining Initiatives and Policies in the United States has been driven first and foremost in the space and “protospace” ventures have United States. This chapter explores the included such activities as zero g flights, many new space programs that have suborbital “space tourism” flights, been started—largely by entrepreneurial stratospheric balloon flights, high alti- and startup aerospace companies in the tude platform systems for various appli- United States in the last 15 years. It then cations, and private astronaut flights to proceeds to examine the various new space habitats and the International space enterprises that are being formed Space Station. Their latest initiatives to to pursue space mining and the recovery pursue private ventures aimed at the of natural resources from space. Finally exploitation of space’s natural resources this analysis covers the planned course is very much a logical thought extension of action plus the ambitious goals and of their earlier efforts to “privatize” objectives of new U. S. space ventures. space activities. It covers their efforts to create a flexible In the short to medium term, those partnership with U. S. governmental private actors may not be able to mount space agencies as well as to forge an a completely comprehensive effort to open and permissive regulatory struc- provide all the needed space exploration ture for their operations. Their plans and exploitation technologies to cover seek for them to be able to proceed with all aspects of a space mining enterprise. a minimum of regulatory oversight, with They have therefore sought to get the few restrictions other than for the safety U. S. government to help them develop of their operations and with very liberal new capabilities. They have first worked interpretation of existing space law, to create new mechanisms such as the treaties and conventions. Commercial Spaceflight Federation (CSF) to strengthen their voice. They have encouraged NASA and the FAA- The Rapid Growth of New AST to sponsor contests and put up Space Activities prize money to stimulate new commer- in the United States cial space competency. Their aspiration is to do as much of these new space Several U. S. entrepreneurs are develop- activities—such as space mining and ing new space ventures with the goal of space transportation—as soon as possi- carrying out space mining as soon as ble via commercial mechanisms and within another decade. These American with the minimum amount of govern- space entrepreneurs strongly believe mental involvement and regulation. that the private sector will play a major Despite these aspirations there is role in new space initiatives, and they some recognition on their part that coop- are intent on being the pioneers that erative relationships with governmental make this actually happen. They are space agencies, research agencies, and advocating private enterprise take the national and international regulatory lead and are correspondingly advocat- bodies may still be necessary. They ing a limited role for government. A understand that the substantial costs, the number of these individuals and their need for certain technilogical capabili- companies have in the past strongly sup- ties, risk management, and international ported active involvement of the private regulatory controls may ultimately sector in other space activities. These require governmental cooperation at the The Rapid Growth of New Space Activities in the United States 61 national level as well as in the interna- could become the space habitat of the tional space governance arena. future).3 However, in the United States—and And NASA and the FAA have been the phenomenon is currently largely increasingly supportive of new private limited to this country—the role and space initiatives. NASA, for instance, voice of these new space entrepreneurs created a venture with RedPlanet Capital and their various space mining ventures (with an investment of $75 million) at are increasing heard within Congress the end of 2006 to develop technology and the U. S. federal government—at that could help the agency to send mis- least when it comes to governmental sions to Mars. The aim was to find com- space policy. These individuals and panies whose technologies could also associated new space businesses often represent significant breakthroughs on have access to substantial amounts of Earth, as well as in the heavens.4 NASA financial capital and in various ways has also embarked on a series of prize have had a remarkable impact on recent competitions to develop new technolo- space policies adopted by the govern- gies for Moon and Mars landings and ment. In short they have impacted the even to develop the capabilities to design mind set of congressional legislators and build space elevators.5 NASA has and staff as well as various Executive sought in the past decade to develop new Branch and even local state officials. commercial rockets to resupply the Just a few of the most recent privately International Space Station. The first led initiatives are the X-Prize (to build a step was to develop commercial resup- private, reusable spaceship that will her- ply vehicles. The first commercial com- ald a new era in commercial space- petition started in 2006 with awards to flight); 1 the Google Lunar X Prize (to SpaceX and Kistler Aerospace. When send a robot to the Moon and perform a Kistler was not able to meet perfor- series of tasks; the SpaceX project (to mance deadlines NASA shifted the develop the first private sector launcher)2; and, the Bigelow Aerospace project (which has deployed an inflat- 3 George Knapp, “The ultimate public-private able module in low Earth orbit that partnership” The Las Vegas Mercury (July 8 2004) online: The Las Vegas Mercury http:// www.lasvegasmercury.com/2004/MERC-Jul- 1 The X-Prize was modeled on the Orteig Prize 08-Thu-2004/24250261.html (Date accessed: offered in 1919 to the first pilot who could cross March 13, 2013). the Atlantic in a non-stop flight. Charles 4 Stephen Foley, “NASA seeks private investor Lindbergh won the price in 1927. See The backing for mission to Mars” The Independent X-Prize Foundation online: http://www.xprize. [UK] (October 4 2006) online: The Independent org/ (Date accessed: 13 March 2013). “Virgin http://www.independent.co.uk/news/business/ Galactic unveils SpaceShipTwo, the world’s news/nasa-seeks-private-investor-backing-for- first manned commercial spaceship” (December mission-to-mars-418648.html (Date accessed: 7, 2009) online: Virgin Galactic: http://www. March 13, 2013). virgingalactic.com/news/item/virgin-galactic- 5 Graham Templeton, “60,000 miles up: Space unveils-spaceshiptwo-the-worlds-first-com- Elevator could be built by 2035” Extreme Tech, mercial-manned-spaceship/ (Date accessed: March 6, 2014: http://www.extremetech.com/ March 13, 2013). extreme/176625-60000-miles-up-geostation- 2 For an overview of the SpaceX company, see ary-space-elevator-could-be-built-by- online: SpaceX http://www.spacex.com/com- 2035-says-new-study (Date accessed: August pany.php (Date accessed: March 13, 2013). 16, 2015). 62 6 Private Sector Space Mining Initiatives and Policies in the United States

Fig. 6.1 FAA-licensed and pending commercial spaceports in the United States (Graphic courtesy of the U. S. Federal Aviation Administration.) award to Orbital Sciences (now Orbital approval) far outnumber the commercial ATK). This effort to develop a commer- spaceports in the rest of the world by a cial orbital transportation service wide margin. Figure 6.1 shows in blue evolved into a NASA program to create dots the commercial spaceports fully a commercial capsule and launchers that licensed plus indicates the states where are being developed by SpaceX and about a dozen spaceports are pending Boeing under two multi-billion-dollar license approvals.7 contracts.6 The number of commercial launches The FAA Office of Commercial that have been approved under experi- Space Transport has created under con- mental licenses by the FAA is now quite gressional guidance regulatory processes significant and also rapidly increasing. for granting experimental licenses for Thus not only are there many more com- commercial suborbital flights that has mercial spaceports, but there have been been in many ways quite flexible. Even far more commercial launches in the more significant is that FAA-AST has United States than anywhere else in the licensed a growing number of commer- world. Table 6.1 below provides a listing cial spaceports in the United States. The of experimental licenses given to com- number of commercial spaceports that mercial launch developers between 2008 have been licensed in the United States and 2015. Beyond this list of actual (plus those currently pending license launches under experimental licenses there are more than a dozen other U. S.

6 NASA, Boeing, SpaceX Discuss Plan for Launching American Astronauts from U.S. in 7 FAA chart of licensed US commercial space- 2017: http://www.nasa.gov/centers/kennedy/ ports https://www.faa.gov/about/office_org/ news/release-20150121.html (Date accessed: headquarters_offices/ast/industry/media/ August 17, 2015). Spaceport_Map_Feb_2013.pdf. The Rapid Growth of New Space Activities in the United States 63

Table 6.1 Experimental U. S. launches during the 2008–2015 period (Information courtesy of the FAA.) Date Payload Vehicle Company Site 4-29-2015 None New Shepard System Blue Origin Texas 10-31-2014 None SpaceShipTwo Scaled Composites CA 8-22-2014 N/A Falcon 9-R Space X Texas 8-21-2014 None Falcon 9-R Space X Texas 6-17-2014 None Falcon 9-R Space X Texas 5-1-2014 N/A Falcon 9-R Space X Texas 4-17-2014 N/A Falcon 9-R Space X Texas 1-10-2014 Flight PF03 SpaceShipTwo Scaled Composites CA 10-7-2013 750 M Grasshopper Space X Texas 9-5-2013 Flight PF02 SpaceShipTwo Scaled Composites CA 8-13-2013 N/A Grasshopper Space X Texas 6-14-2013 N/A Grasshopper Space X Texas 4-29-2013 Flight PF01 SpaceShipTwo Scaled Composites CA 4-19-2013 N/A Grasshopper Space X Texas 3-7-2013 N/A Grasshopper Space X Texas 12-17-2012 N/A Grasshopper Space X Texas 11-1-2012 No Payload Grasshopper Space X Texas 8-24-2011 N/A PM 2 Blue Origin Texas 6-6-2011 N/A PM 2 Blue Origin Texas 10-25-2008 N/A QUAD (Pixel) Armadillo Aerospace New Mexico 10-24-2008 N/A MOD-1 Armadillo Aerospace New Mexico 10-24-2008 N/A MOD-1 Armadillo Aerospace New Mexico 10-24-2008 N/A Ignignokt ScottZeeb d/b/a True New Mexico ZerO companies that are at various stages of telecommunications, remote sensing, developing commercial launchers or and satellite navigation. Today there are spaceplanes. Thus there may be a large emerging new commercial space indus- increase in commercial launches under tries such as on-orbit servicing, on-orbit experimental licenses in the 2016–2018 refueling and retrofitting of satellites, timeframe. and even commercial monitoring and The wide range of U. S. commercial active removal of space debris that are space activities since 2000 has included also predominately U. S.-based efforts development of high-altitude platform as well. These latest efforts have been systems, stratospheric balloon systems, supported not only by NASA and the spaceplanes for suborbital flights, and FAA-AST, but very prominently pro- commercial launchers capable of moted by the Defense Advanced achieving low Earth orbit and beyond. Research Projects Agency (DARPA). These new space ventures are an exten- DARPA projects, such as Orbital sion of commercial space activities in 64 6 Private Sector Space Mining Initiatives and Policies in the United States

Express8 and Project Phoenix9, as well Earth’s GDP.”11 The company wants to as joint development projects with develop a low-cost robotic spacecraft to NASA are heavily dependent on aero- explore the estimated 9000 NEAs for space contractors. potential resource extraction and utiliza- These initiatives to develop private and tion.12 According to Peter Diamandis, more cost effective commercial launchers, the founder and co-chairman of to develop in-orbit robotic capabilities to Planetary Resources, “Many of the refuel and service satellites, as well as scarce metals and minerals on Earth are other new commercial systems to maneu- in near-infinite quantities in space. As ver remotely and precisely in space are all access to these materials increases, not useful precursor technologies that could only will the cost of everything from lead the way to future commercial space microelectronics to energy storage be mining activities. Already several reduced, but new applications for these U. S.-based space mining activities and abundant elements will result in impor- private asteroid tracking activities have tant and novel applications.”13 Eric been organized. Anderson, co-founder and co-chairman of the company, has also indicated that the first targets for exploration will be Planetary Resources water-containing asteroids. “Water is perhaps the most valuable resource in On April 24, 2012, Planetary Resources10 space. Accessing a water-rich asteroid became the first private enterprise to will greatly enable the large-scale explo- enter into the realm of private space ration of the Solar System. In addition to business directly dealing with the quest supporting life, water will also be sepa- for natural resources in of space. The rated into oxygen and hydrogen for vision of the company is as follows: breathable air and rocket propellant.”14 “Planetary Resources is bringing the The company has begun a detailed exer- natural resources of space within cise to identify potential candidate humanity’s economic sphere of influence, propelling our future into the 11 Planetary Resources, online: http://www. twenty-first century and beyond. Water planetaryresources.com/mission/. from asteroids will fuel the in-space 12 Planetary Resources, “Asteroid mining plans economy, and rare metals will increase revealed by Planetary Resources, Inc.: Expanding the resource base of humanity to include the solar system”, Planetary Resources, April 24, 2012, online: http://www.planetaryre- 8 DARPA Orbital Express Fact Sheet, http:// sources.com/2012/04/asteroid-mining- archive.darpa.mil/orbitalexpress/pdf/oe_fact_ plans-revealed-by-planetary-resources-inc/. sheet_final.pdf (Date accessed: August 19, 13 Planetary Resources, “Asteroid mining plans 2015). revealed by Planetary Resources, Inc.: 9 Mike Wall, “US Military’s Bold Phoenix Expanding the resource base of humanity to Satellite-Recycling Project Enters New Phase” include the solar system”, Planetary Resources, Space.com April 25, 2014. 24 April 2012, online: http://www.planetaryre- 10 Planetary Resources, Inc. Press Conference, sources.com/2012/04/asteroid-mining-plans- April 24, 2012. Link to the official announce- revealed-by-planetary-resources-inc/ (Last ment available from the company website, accessed: March 13, 2013). online: http://www.planetaryresources.com/. 14 Ibid. Deep Space Industries 65

Fig. 6.2 Image of stony Eros 433—possible candidate for space mining? (Image courtesy of NASA.)

NEAs that could be reached without access and mine, then Planetary excessively high thrust impulse and Resources intends to launch its first would potentially contain natural asteroid-hunting spacecraft on a recon- resources of significant value. Its web- naissance mission (Fig. 6.2). Currently site includes a listing of dozens of the company is concentrating on the potential target asteroids. It has also cre- idea of creating small 3D-printed low- ated a process where amateur astrono- cost spacecraft to serve as the explorer- mers and scientists can add information prospecting units that could fly close to their database. enough to an NEA to assess whether it is To the uninitiated this might seem indeed a prime candidate for space like a straightforward and not too com- mining.15 plicated exercise, but in fact it is a major challenge. It is estimated that there may be a million NEAs that are Deep Space Industries 30 m or more in diameter. In Chap. 4 the many types of orbits that these On January 22, 2013, a second U. S.-based NEAs travel in and the difficulty company, Deep Space Industries (DSI), in locating and assessing their resource entered the race of asteroid surveying and content was discussed. However, this asteroid identification process is now actively underway by PRI. When the best “goldilocks” NEA 15 M. H., “Fool’s platinum?” The Economist, 1 candidate is identified—i.e., an asteroid February 2013, online: http://www.economist. that has the best resource content and in com/blogs/babbage/2013/01/asteroid-mining an orbit that would be not too difficult to (Last accessed: March 13, 2013). 66 6 Private Sector Space Mining Initiatives and Policies in the United States resource extraction.16 The company Mothership™. This refers to the concept intends to develop a fleet of three space- of a larger carrier spacecraft designed to craft using off-the-shelf technology to sur- aid in the delivery of nano satellites to vey small NEAs.17 It hopes to attract $13 deep space targets. After deploying the million in capital over the next few years.18 nanosats, the spacecraft remains as a high The Deep Space Industries website pro- bandwidth communication relay between claims: Our mission is a daring one. We the deployed craft and Earth. One of the are journeying to unknown frontiers, and elements needing clarification is whether pushing the limits of technology to pro- DSI sees its mission as mining asteroids or vide a brighter future for all mankind.” whether it also has aspirations to carry out Essentially, DSI is suggesting that there is mining on the Moon (Fig. 6.3).19 great wealth in our Solar System and that DSI has suggested that a spacecraft their vision is to help bring that wealth might capture an asteroid and reposition back to Earth. They anticipate the follow- it in an orbit near Earth for potential har- ing progression. After prospecting mis- vesting of resources. In this concept sions have identified asteroids with there is significant reliance on solar concentrated volatiles (such as water and power systems, but in other more con- hydrocarbons) and other materials of ventional concepts, more proven chemi- interest, Deep Space will begin collection cal propulsion is envisioned. with specialized robotic spacecraft. Deep In press statements DSI has indicated Space thus describes its activities as a that even a small asteroid might ulti- four-step progression that begins with mately be valued at up to $195 billion. prospecting, moves on to harvesting, then This would represent, however, an processing, and finally manufacturing. extreme case of an NEA that is almost The aspirations of the company are far pure platinum. 20 from small in scope. It has proclaimed that this will be the biggest industrial transfor- mation in human history. (See https:// Golden Spike Company deepspaceindustries.com/business/.) To commence its activities, the com- On December 6, 2012, Golden Spike pany plans to send “asteroid-prospecting Company released its vision regarding spacecraft” into outer space with the the future of commercial lunar space launch of the first of its 25-kg “FireFlies” travel.21 It stated that it intends to achieve spacecraft. This will be followed by the heavier “DragonFlies” that will go on mis- 19 sion and bring back samples. Deep Space http://deepspaceindustries.com/mothership/. 20 Industries has trademarked the name “Deep Space Industry Asteroid Mining Plan,” Business Insider: http://www.businessinsider. com/deep-space-industry-asteroid-mining- 16 “US company aims to ‘harvest’ asteroids”, 22 plan-2013-2 (Date accessed: August 20, 2015). January 2013, online: http://www.spacedaily. 21 Golden Spike Company Vision: “The Golden com/reports/US_company_aims_to_harvest_ Spike Company has been formed to monetize asteroids_999.html (Last accessed: March 13, the exploration of the Moon through sales of 2013). expeditions and their surrounding media and 17 Deep Space Industries website: http://deep- merchandizing revenues.” See the company spaceindustries.com (Date accessed: August vision on the website: http://goldenspikecom- 2015). pany.com/about-us/golden-spike-history/ (Last 18 Ibid. accessed: March 13, 2013). Golden Spike Company 67

Fig. 6.3 Artist’s conception from deep space industries of spacecraft carrying out an asteroid capture (Illustration courtesy of deep space industries.)

“affordable, reliable, and frequent human regional space agency could actually expeditions to the Moon.”22 Unlike other contract with such a private enterprise to space tourism projects that involve short initiate a new lunar exploration effort that suborbital trips or possibly trips to low might include the start of a lunar colony Earth orbit, this corporate venture, based or even a lunar mining effort. in Colorado, envisions an actual trip to In January 2013, Golden Spike con- the Moon for two passengers at a cost of tracted with Northrop Grumman for the $750,000 per traveler. Its stated ambition design of a new lunar lander, as one is to be able to do this by 2020. This pri- component of its initial commercial vate space transportation capability could lunar transportation system. Contracted be used for prospecting the lunar surface tasks include “reviewing requirements or even as a prelude to setting up of a and synthesizing a set of study ground lunar colony. Although $1.5 billion per rules and assumptions emphasizing sys- flight is a large amount of money it is a tem reliability, automated/ground com- small expense in comparison to the mand operability, and affordability, Apollo lunar landing programs by the establishing velocity (Δv) budgets from United States during the 1960s and early and to low lunar orbit for pragmatic 1970s or even the $140 billion lunar landing sites, exploring a wide International Space Station project. It variety of lunar lander concept options, could be possible that a national or including staging, propellants, engines, reusability, autonomy, systems capabilities for exploration, as well as landing 22 http://goldenspikecompany.com/our-business/business-objectives/ (Date accessed: April site flexibility, and establishing the 2, 2013). design trade space and pragmatic limits 68 6 Private Sector Space Mining Initiatives and Policies in the United States for future more detailed analysis and this opportunity now to provide low cost development.”23 propellants in space as a means to jump- On the occasion of the contract award start the new space economy.”27 to Northrop Grumman, Golden Spike This effort is in several ways the most officials revealed a list of partners on the controversial of the various U. S. com- Lunar Lander Systems (LLS) hardware mercial space ventures. The other ven- elements. This included Armadillo tures are focused on near Earth orbits Aerospace (now dissolved), International that could be potential future threats to Lunar Observatory Association, Masten the world if they were to crash down Space Systems, Moon Express, Paragon from space. Further, the status of these Space Development Corp, Southwest small bodies as “celestial objects” have Research Institute, Space Florida, United not yet been clearly defined. The Moon, Launch Alliance, and Zero Point as discussed later, is clearly addressed in Frontiers Corporation.24 the Outer Space Treaty and is considered to be a global commons resource by most countries of the world. Finally Shackleton Energy Company the resources that SEC would seek to remove from the Moon are considered The Shackleton Energy Company,25 quite valuable and irreplaceable. which was founded in 2007 in Del Valle, In the past, fraudulent efforts have Texas, has indicated that it has plans to been undertaken involving the “owner- be the first operational lunar mining ship” of elements of Moon. These have enterprise and to do so by 2020.26 included not very serious and bogus According to Bill Stone, SEC’s chair- efforts such as “selling titles” to tiny man, “[A]fter a phase of robotic pros- parcels on the Moon. This has been rec- pecting, our crews will establish the ognized as a sort of whimsical prank infrastructure in space and base camps that had no real legal consequences in the lunar polar crater regions to super- other than people getting a piece of vise industrial machinery for mining, paper that could be shown to people as a processing and transporting lunar prod- lark. The Shackleton Energy Company, ucts to market in low Earth orbit (LEO) however, has very serious financial capi- and beyond. It is essential that we seize tal behind it from Texas energy concerns and have begun to move forward with actual plans to mine and “expropriate 23 Chris Bergin, “Golden Spike Contract Northrop Grumman for Lunar Lander” NASA resources” from the Moon. Spaceflight.com (January 3, 2013): http://www. This private initiative that aspires to nasaspaceflight.com/2013/01/golden-spike- the future of exploration and mining of northrop-grumman-lunar-lander/ (Date accessed: the Moon poses real policy, legal and August 20, 2015). 24 Ibid . 27 Doug Messier, “Exclusive: Shackleton 25 http://www.shackletonenergy.com/ (Date Energy Company Launches Plan for First accessed: April 2, 2013). Lunar Mining Operation,” November 9, 2011: 26 “Energy company wants to be first to mine http://www.parabolicarc.com/2011/11/09/ the moon,” http://www.networkworld.com/ exclusive-shackleton-energy-company- community/blog/energy-company-wants-be- launches-plan-for-first-lunar-mining-opera- first-mine-moon (Date accessed: April 2, 2013). tion/ (Date accessed: April 2, 2013). The B612 Foundation 69 regulatory issues concerning what activ- Observatory Association (ILOA) to put ities might be conducted on the Moon a small astronomical telescope on the and could also pose space security issues Moon. Additional details were released and concerns as well. The section that in July 2013, stating that there would be follows on U. S. governmental policy two telescopes: a 2-m radio telescope as and regulatory issues is most relevant to well as an optical telescope. The cur- consider in terms of the plans of rently preferred location is the 5-km Shackleton Energy Company. (3.1-mile) in diameter Malapert Crater, with a possible launch date in 2018.29 On April 30, 2014, NASA also Moon Express announced that Moon Express was one of the three companies selected for the Moon Express is a privately funded Lunar Cargo Transportation and U. S. commercial space company cre- Landing by Soft Touchdown (Lunar ated to develop the resources of the CATALYST) program. NASA has now Moon. The stated aim of this startup agreed to a 3-year no-funds- exchanged company is to “send a series of robotic Space Act Agreement (SAA) with Moon spacecraft to the Moon for ongoing Express.30 exploration and commercial development.” 28 Moon Express was founded in The B612 Foundation August 2010 by Naveen Jain, Barney Pell and Robert D. Richards in Mountain The B612 Foundation is a non-profit View, California, near NASA Ames charitable organization based in Research Center. The company seeks to Mountain View, California. The goal of offer commercial lunar robotic transpor- the private foundation is to “build, tation and data services with a long-term launch, and operate an infrared space goal of mining the Moon for rare earth telescope.” This telescope is to be metals such as yttrium, dysprosium and launched into orbit around the Sun in an niobium as well as such elements as orbit similar to that of Venus. The prime helium-3. objective is to find and track threatening On June 30, 2011, the company held asteroids that could crash into Earth.31 its first successful test flight of a proto- The foundation has signed a contract type lunar lander system called the with Ball Aerospace for its Sentinel Lander Test Vehicle (LTV) that was developed in partnership with NASA. Later in 2011, Moon Express also announced that it had set up a robot- 29 Moon Express Announces First Successful ics lab for a lunar probe named the Flight Test of Lunar Lander System Developed “Moon Express Robotics Lab for with NASA Partnership: http://www.spaceref. com/news/viewpr.html?pid=33991 (Date INnovation” (MERLIN). In mid-2012, accessed: August 28, 2015). Moon Express announced that it will 30 About Lunar Catalyst http://www.nasa.gov/ work with the International Lunar lunarcatalyst/#.U2RcWaIXJDy. 31 http://b612foundation.org/about-us/ (Date 28 http://www.moonexpress.com/#missions. accessed: April 2, 2013). 70 6 Private Sector Space Mining Initiatives and Policies in the United States

Space Telescope,32 which will possibly possible protection of U. S. assets that be launched by 2018, for mapping and might be deployed on the Moon in the discovery of asteroids. “Mapping the form of private space habitats/colonies. great unknown of the inner Solar System In a December letter in response to is the first step in protecting Earth from Bigelow’s query, the FAA said it could asteroid impacts and in opening up this act through its licensing procedures to next frontier.” The cost of this program protect private lunar operations from is on the order of $750 million with being interfered with by others. So, if about 40 % of the funds raised to sup- Bigelow had a base on the Moon, other port this ambitious private undertaking. companies licensed by the FAA couldn’t This project is significant in that it could set up operations at the same site with- track and detect NEAs down to 30 m in out permission. In response to that size and help to create a detailed map- George Nield, associate administrator ping of potentially hazardous asteroids for Commercial Space Transportation at projecting possible impact orbits a hun- the FAA (FAA-AST) in his December dred years into the future. This asteroid 2014 statement seemed to be saying that mapping would identify bodies much the U. S. government would provide smaller than the current guidelines pro- some form of official protection for such vided to NASA by the U. S. Congress of assets deployed on the Moon. mapping all potentially hazardous aster- In subsequent statements in February oids down to 140 m in size. It is signifi- 2015 at the 18th Annual Commercial cant in that asteroids of 30 m in size are Space Transportation Conference that is potential city killers, and the smaller sponsored by the FAA, Nield stated: “.I asteroids are orders of magnitude more want to make clear that the FAA today numerous than asteroids that are 140 m has responsibility to license launches in diameter or larger. Although this is and reentry and nothing in between…. not a commercial project its ability to We are allowed to do something called identify and track a large number of pre- halo review – called a payload review….. viously identified NEAs could be of sig- We share the proposal with other gov- nificant value to space mining ventures. ernment agencies, NASA, Department of Defense, Department of Commerce, to see if there are concerns or issues that Policies Concerning Space the other agencies might have. Mining, Resource Extraction “We came to the realization that the and Space Colonies federal government probably needs to take a look at its overall regulatory The U. S. government and the FAA in framework,” he added when it comes to particular were asked by Bigelow payloads that might be deployed on the Aerospace in December 2014 about Moon. We need to consider if we “are living up to the Outer Space Treaty obli- 32 See “Ball Aerospace/B612 Foundation Sign gations we have in terms of overseeing Contract for Sentinel Mission,” Oct. 30, 2012: and authorizing the private sector activi- http://b612foundation.org/newsroom/press- ties of our citizens.” He went on to clar- releases/ball-aerospaceb612-foundation-sign- contract-for-sentinel-mission/ (Date accessed: ify: “We are not talking about property April 2, 2013). rights. What we are talking about is Conclusions 71 having the U. S. government have a space initiatives as outlined in this chap- framework that provides some regula- ter. Likewise, the FAA, by means of its tory certainty for industry.”33 congressional authorized mandate under The issues involving the legal status its various authorization acts is seeking of space habitats located on the Moon are to promote new commercial space clearly different from commercial proj- industries in parallel with NASA. ects that would propose to set up mining operations, but it clearly is a step along the way. The Commercial Spaceflight Conclusions Federation (CSF) has endorsed the statements Nield has made, but clearly such Undoubtedly, in the near future, several statements currently have no specific private sector entities both within and legal status, and until a specific lunar outside the United States can be project is proposed it is far from clear expected to join these pioneering enter- exactly how the U. S. government will prises.34 They will do their own explora- respond and how the various agencies tion and prospecting for valuable natural that are involved (i.e., the FAA, NASA, resources in space, but will also be tak- Commerce, DOD, the State Department ing advantage of the findings, research and the EPA) will officially respond. and surveys carried out by their respec- NASA, by means of Space Act tive government space agencies. The Agreements with new space mining description and analysis of the strategies startups, new flexible mechanisms such and policies followed by other spacefar- as Lunar Catalyst, and various developing nations in the next chapter will show mental contract awards are encouraging that exploitation of the resources will the various types of new commercial soon become inevitable.

34 Adam Mann, “Tech Billionaires Plan 33 http://www.parabolicarc.com/2015/02/07/ Audacious Mission to Mine Asteroid,” 23 April faa-moves-establish-framework-commercial- 2012, online: http://www.wired.com/wired- lunar-operations/#sthash.08s3icfr.dpuf (Date science/2012/04/planetary-resources-asteroid- accessed: August 20, 2015). mining/ (Last accessed: March 13, 2013). Space Enterprises in Russia and the 7 Former Soviet Union

The former Soviet Union, now Russia, program seemingly began with the has been one of the most active coun- Venera 1 space probe launched by the tries involved in the exploration of U.S.S.R. on February 12, 1961.1 space, scientific investigation and prac- The Venera series of missions were tical applications of space. There is a the first to make a survey of Venus, and long tradition of making practical appli- overall this series of satellites has pro- cations of space there by deploying duced the most systematic information communications and broadcasting satel- about Venus. Overall these missions, lites, launching remote sensing and particularly Venera 4 through Venera 16, meteorological satellites, and precision conducted between 1967 and 1985, have navigation and timing satellites to pro- largely confirmed that this very hot and vide these vital services to one of the high pressure planet would not likely be most geographical diverse and difficult a candidate for space mining due to its to serve regions on the planet. This extreme heat and the intense pressure in chapter thus covers the many relevant its atmosphere. past activities of the U.S.S.R. in terms of The first three Venera missions were how they might lead to future space unsuccessful, but eventually Venera 4 mining activities. was able to send detailed data back to Soviet space activities have involved Earth. The launch of Venera 12 on exploration of the Moon, Venus, Mars February 12, 1961, was followed by and other planets of the Solar System Venera 2 on November 12, 1965,3 and via satellites equipped to examine the atmosphere and soil contents of the 1 NASA.gov Venera 1 NASA.gov. http://nssdc. planets as well as to investigate the gsfc.nasa.gov/nmc/masterCatalog.do? physics of the Sun. This intensive pro- sc=1961-002=A (Accessed August 24, 2015). 2 gram has positioned present-day Russia Venera 1, Venera 1, NASA.gov http://nssdc. gsfc.nasa.gov/nmc/masterCatalog.do?sc=1961- to become one of the leading countries 003A. (Accessed August 24, 2015). in the area of natural resource harvesting 3 NASA.gov Venera 2 http://nssdc.gsfc.nasa. in future years, should this type of activ- gov/nmc/masterCatalog.do?sc=1965-091A ity be sanctioned and encouraged. The (Accessed on August 24, 2015).

© Springer International Publishing Switzerland 2017 73 R.S. Jakhu et al., Space Mining and Its Regulation, Astronautical Engineering, DOI 10.1007/978-3-319-39246-2_7 74 7 Space Enterprises in Russia and the Former Soviet Union

Fig. 7.1 The Venera 1 space probe that made an early flight to Venus (Graphic courtesy of the Russian Space Agency, Roscomosos.) then Venera 3 on November 16, 19654 and 95 %). Atomic hydrogen at a (see Fig. 7.1). 9900 km altitude was found as well.6 The first successful mission came in Venera 5 and Venera 6 missions were June 1967 with the Venera 4 mission launched in January 1969 “to make par- that had the “scientific objective of in- allel measurements as they descended situ studies of the atmosphere of Venus through the Venusian atmosphere.”7. down to the surface.”5 Thus Venera 4 These missions confirmed “the high was “the first probe to transmit data temperatures, pressures, and carbon from the atmosphere of another planet.” dioxide composition of the atmosphere This mission discovered that the originally found by Venera 4.”8 Venusian atmosphere is mainly composed of carbon dioxide (between 90 6 Ibid. 4 NASA.gov Venera 3, NASA http://nssdc.gsfc. 7 NASA.gov Venera 5, NASA http://nssdc.gsfc. nasa.gov/nmc/masterCatalog.do?sc=1965- nasa.gov/nmc/masterCatalog.do?sc=1969- 092A (Accessed August 24, 2015. 001A. See also Venera 6, NASA http://nssdc. 5 NASA.gov Venera 4, http://nssdc.gsfc.nasa. gsfc.nasa.gov/nmc/masterCatalog.do? gov/nmc/masterCatalog.do?sc=1967-058A sc=1969-002A (Accessed August 24, 2015). (Accessed on August 24, 2015). 8 Ibid. 7 Space Enterprises in Russia and the Former Soviet Union 75

The first spacecraft to return data Venera 11 and Venera 12 were after landing on another planet was identical spacecraft. These were Venera 7 launched in August 1970 with launched in September 1978 “to study the objectives “to return data from the the detailed chemical composition of the Venus atmosphere, make a landing on atmosphere, the nature of the clouds, the the surface, and continue to return data thermal balance of the atmosphere, and after landing.”9 Data from Venera 7 the composition and mechanical proper- confirmed that the surface temperature ties of the surface.”11 The two missions of Venus was 237–246 ° C. Venera 8 discovered, among other things, that was launched in March 1972 “to make there was sulfur and chlorine in the a more sophisticated set of scientific cloud layers and carbon monoxide at measurements at the Venus surface, low altitudes. Venera 13 and Venera 14, including studies of the Venus rego- also identical spacecraft, were launched lith.” The Venera 8 mission confirmed in October and November of 1981, “the earlier data on the high Venus sur- respectively, and were also funded by face temperature and pressure (470 ° C, the Soviet Academy of Sciences to make 90 atmospheres) returned by Venera 7.” “studies of the Venus atmosphere and Venera 8 returned the “first measure- surface.” Venera 13 revealed through the ments of the surface regolith of Venus” first color images of the surface of Venus and made “a profile of the cloud layer, that the planet has “an orange-brown flat including detection of sulfuric acid.” bedrock surface covered with loose The Venera 9 descent craft/lander was regolith and small flat thin angular launched in June 1975 with the scien- rocks.”12 The composition of the sample tific objectives to make “measurements was classified as “weakly differentiated in the Venus atmosphere and on the melanocratic alkaline gabbroids, similar surface.” The Venera 10 spacecraft was to terrestrial leucitic basalt, with a high identical Venera 9 and launched in the potassium content.” In addition to that, same month, with the scientific objec- the Venera 14 mission “identified three tives to “make in-situ measurements of distinct cloud layers.”13 The final two the Venus atmosphere and surface.” satellites in the initial Venera series were Venera 9 was the first spacecraft to launched in June 1983. The Venera 15 send back images from the surface of another planet. Preliminary results 11 NASA.gov Venera 11 Descent Craft, NASA from the Venera 9 mission indicated http://nssdc.gsfc.nasa.gov/nmc/masterCatalog. atmospheric constituents including do?sc=1978-084D (Accessed on August 24, HCl, HF, Br, and I.10 2015). 12 NASA.gov: Venera 13 Descent Craft, NASA http://nssdc.gsfc.nasa.gov/nmc/masterCatalog. do?sc=1981-106D(Accessed on August 24, 2015) Also see: Venera 14 Descent Craft, 9 NASA.gov Venera 7, http://nssdc.gsfc.nasa. NASA http://nssdc.gsfc.nasa.gov/nmc/master- gov/nmc/masterCatalog.do?sc=1970-060A. Catalog.do?sc=1981-110D. (Accessed on (Accessed on August 24, 2015). August 24, 2015). 10 NASA.gov Venera 9 Descent Craft, NASA 13 NASA.gov Venera 14 Descent Craft, NASA http://nssdc.gsfc.nasa.gov/nmc/masterCatalog. http://nssdc.gsfc.nasa.gov/nmc/masterCatalog. do?sc=1975-050D (Accessed on August 24, do?sc=1981-110D. (Accessed on August 24, 2015). 2015). 76 7 Space Enterprises in Russia and the Former Soviet Union and 16 mission objective was “to study The former Soviet Union also had the the surface properties of Venus.” Venera Vega 1 and 2 projects in addition to the 15 and Venera 16 “produced a map of Venera 1 through 16. These Vega proj- the northern hemisphere [of Venus] ects were carried out in cooperation from the pole to 30°N.” This map with Austria, Bulgaria, Hungary, former enabled scientists to find “several hot East Germany, former West Germany, spots, possibly caused by volcanic activ- Poland, former Czechoslovakia, and ity,” on the surface of Venus.14 France. The spacecraft were launched in Future missions under the Venera December 1984, Vega 1 on December series are the Venera-D and the Venera- 15 and Vega 2 on December 21. The Glob projects that are planned for a Vega mission had “three major goals: to 2021–2024 landing. Venera-D and place advanced lander modules on the Venera-Glob's funding and development surface of Venus, to deploy balloons was not expected to start until the whole (two each) in the Venusian atmosphere, new revision of the Russian space pro- and, by using Venusian gravity, to fly the gram is approved by the Russian gov- remaining buses past the Comet Halley.” ernment for the 2016–2025 period. Although the “Vega 1 soil experiment These projects could include a failed,” the Vega 2 lander collected and radar-carrying orbiter, several small investigated “a soil sample; the experi- surface landers and aerial vehicles. One ment identified an anorthosite-troctolite of the landers could be designed to rock—rarely found on Earth but present extend the survival time on the surface in the lunar highlands.”16 achieved by its predecessors. Scientists The former Soviet Union also under- also are considering deploying atmo- took a number of exploratory missions spheric balloons at various altitudes in to gather data on Mars. In July 1988 it the atmosphere of Venus for more than launched the Phobos mission, named a month-long mission. In turn, balloons after one of Mars’s two small moons. could release their own mini-probes. The purpose of this Mars mission was to Finally, a special wind-flying aircraft “characterize the plasma environment in or a glider, originally considered for the Martian vicinity,” “conduct surface the Venera-D project, could finally fly and atmospheric studies….and to study with Venera-Glob. Project planners the surface composition of Phobos as also considered a real-time interaction well.” The mission involved two probes: between the Venera-Glob and Venera-D Phobos 1 (launched on July 7) and projects.15 Phobos 2 (launched on July 12). Although Phobos 1 failed to reach Mars, Phobos 2 succeeded and collected “data 14 NASA.gov Venera 15, NASA http://nssdc. gsfc.nasa.gov/nmc/masterCatalog.do? on Sun irradiation, the interplanetary sc=1983-053A. (Accessed on August 24, medium between Earth and Mars, as 2015). well as some data on both Mars, and 15 Zasova, L., Venera: Izuchenie prodolozhaet- sya, 10.03.2011, Accessed on June 15, 2011, at: http://www.venera-d.cosmos.ru/index. 16 NASA.gov Vega 1, Solar System Exploration, php?id=692&tx_ttnews%5btt_news%5d=1288 http://solarsystem.nasa.gov/missions/profile. &cHash=f9bfd2c6e7616171412b316d206d cfm?MCode=Vega_01&Display=ReadMore 73a4 (Accessed August 25, 2015). (Accessed August 25, 2015). 7 Space Enterprises in Russia and the Former Soviet Union 77

Phobos.” The Phobos 2 mission ended compounds.” However, the closest after 8 months on March 27, 1989.17 approach of Mars 1 to Mars occurred on Russia’s follow-up Phobos mission June 19, 1963, at a distance of approxi- to Mars, named the Phobos-Grunt mis- mately 193,000 km. It was nevertheless sion, failed. The objective of the mission able to send back useful data. The Mars was to obtain soil samples from the 2 and Mars 3 missions were identical Martian satellite Phobos and return craft and launched to study Mars from them to Earth.” Following the failure of the surface. Although the Mars 2 lander the Phobos-Grunt mission, a new mis- crashed, it was “the first human-made sion with the same objective, named the object to make contact with Mars.” The Phobos-Grunt 2 mission, is pending Mars 3 lander made the “first survivable approval in the 10-year plan for the landing on Mars.” The two probes “sent 2016–2025 period. The Russian Federal back a total of 60 pictures.” Images and Space Agency [Roscosmos] and the data obtained from these two probes Russian Academy of Sciences have revealed: “atomic hydrogen and oxygen already approved the project, and if in the upper atmosphere, [and]… water funded it would fly in 2025.18 vapor concentrations 5000 times less In addition to the Phobos mission, than in Earth’s atmosphere.”20 the former Soviet Union launched a Mars 4, 5, 6 and 7 “comprised an number of additional Mars probes. Of associated group of Soviet spacecraft these launches, the successful or par- launched towards Mars in July and tially successful missions included Mars August of 1973. These spacecraft were 1 (launched November 1, 1962), Mars 2 designed to “orbit Mars and return infor- (launched May 19, 1971), Mars 3 mation on the composition, structure, (launched May 28, 1971), Mars 5 and properties of the Martian atmo- (launched July 25, 1973) and Mars 6 sphere and surface.” The Mars 5 mis- (launched August 5, 1973). The other sion discovered “U, Th, and K missions experienced launch or other composition similar to terrestrial mafic types of failure.19 rocks.” Mars 6, however, was designed The Mars 1 mission was launched as a lander. Key findings from these mis- “with the intent of flying by the planet sions included the following: “[a] high [Mars] at a distance of about 11,000 km.” water vapor content (100 precipitable It was designed to “image the surface μm)” was present south of Tharsis and send back data on…atmospheric region, plus an ozone layer…at 40 km structure, and possible organic altitude with about one-thousandth the concentration of Earth's.” Images of the 17 Phobos (1988–1989), Journey through the Martian surface suggested “erosion Galaxy, Department of Astronomy, Case caused by flowing water.” TheMars 6 Western Reserve University http://burro.astr. craft that was a lander revealed “several cwru.edu/stu/advanced/20th_soviet_phobos. html. (Accessed August 25, 2015) 18 Phobos-Grunt-2, RussianSpaceWeb.com 20 Mars (1960–1974), Journey through the http://www.russianspaceweb.com/phobos_ Galaxy, Department of Astronomy, Case grunt2.html (Accessed August 25, 2015). Western Reserve University http://burro.astr. 19 Mars 3 Lander, NASA http://nssdc.gsfc.nasa. cwru.edu/stu/advanced/20th_soviet_mars. gov/nmc/spacecraftDisplay.do?id=1971-049 F. html. 78 7 Space Enterprises in Russia and the Former Soviet Union

Fig. 7.2 Flight profile of the mission to Ganymede with a separate lander (Graphic courtesy of the Russian Space Agency, Roscosmos.) times more atmospheric water vapor mission re-envisioned is now planned to than previously reported” and “an esti- go to Jupiter as an orbiter and then have mate of argon abundance in the atmo- a separate lander that would touch down sphere of 25–45 %.”21 on Ganymede. This mission is currently Until recently, there had not been any planned for 2023 and is to be launched Russian or Soviet mission beyond Mars. by either a Proton or an Angara The first mission that would go beyond launcher.23 Mars would be the Laplas-P mission. The Soviet Union space exploration This planned future mission would program has concentrated on Venus, study Jupiter’s moon Ganymede.22 (see Mars and the Moon. Of the three, the Fig. 7.2). greatest amount of effort has been In the original conception of 2009 directed at the Moon with the Luna this was to have been an exploratory series 1–24 returning a great deal of mission to Jupiter’s moon Europa. The information. There are additional missions now planned as described below.

21 Mars 6, Solar System Exploration, NASA https://solarsystem.nasa.gov/missions/profile. cfm?Sort=Alpha&Letter=M&Alias=Mars%206. 23 Russian Funds a Proposal to Land on Jupiter’s 22 Russia funds a proposal to land on Jupiter’s Moon Ganymede, http://www.russianspace- moon Ganymede, RussianSpaceWeb.com web.com/laplas.html (Accessed August 25, http://russianspaceweb.com/laplas.html. 2015). 7 Space Enterprises in Russia and the Former Soviet Union 79

To date 24 lunar missions have been of dust.”25 The first spacecraft to orbit launched by the Soviet Union and the Moon was the Luna 10 spacecraft, Russia under the Luna series of mis- and it was able to provide a continuous sions. The following reports give high- study of the lunar surface. The space- lights from these various missions. The craft conducted “extensive research in Soviet Union’s first successful lunar lunar orbit, gathering important data on mission was the Luna 1 mission. Luna 1 the nature of lunar rocks (which were was the first spacecraft to escape Earth’s found to be comparable to terrestrial gravity, to enter into orbit around the basalt rocks).”,26 Sun, and to fly past the Moon. Luna 1 The Luna 11 mission was launched in was launched in January 1959 to impact August 1966, and it was “designed to take the Moon. The mission was partially the Soviet Union’s first detailed pictures successful in that it failed to impact the of the surface of the Moon from lunar Moon but, instead, flew past the Moon. orbit and to obtain data on the Moon’s Luna 2 was launched in September 1959 composition and confirm the mass con- and accomplished what Luna 1 had centrations first detected by Luna 10.” intended—namely it became the first Although the orbiter successfully entered spacecraft to reach the surface of the lunar orbit, the failure of the TV system to Moon. The sensors of the Luna 2 space- return usable images resulted in limited craft did not find any evidence of a lunar success of the mission. The Luna 12 mis- magnetic field or radiation belt.24 sion was launched in October 1966 “to The Luna 3 mission was launched in complete the mission that Luna 11 had October 1959. Its objective was “to take failed to accomplish. This was to take the first photographs of the far side of high-resolution photos of the Moon’s sur- the Moon.” The images returned by the face from lunar orbit.” The spacecraft Luna 3 spacecraft covered some 70 % of successfully photographed “part of the surface of the lunar far side. This data lunar surface at a resolution down to 15– was “used to create the first rudimentary 20 m, the best to date.”27 atlas of the previously unrevealed lunar surface.” The Luna 9 spacecraft made 25 “the first survivable landing on the Luna 9, Solar System Exploration, NASA (Accessed August 25, 2015) https://solarsys- Moon” and was “the first to send back tem.nasa.gov/missions/profile.cfm?Sort=Targe images from the surface of another t&Target=Moon&MCode=Luna_09. world.” The mission discovered that “a 26 Luna 10, Solar System Exploration, NASA. lander would not sink into a thick layer gov (Accessed August 25, 2015) https://solarsystem.nasa.gov/missions/profile.cfm?Sort=Ta rget&Target=Moon&MCode=Luna_10&Displ ay=ReadMore. 27 Luna 11, Solar System Exploration, NASA. 24 Luna 1, Solar System Exploration, NASA. gov (Accessed August 25, 2015) https://solar- gov https://solarsystem.nasa.gov/missions/pro- system.nasa.gov/missions/profile.cfm?Sort=Tar file.cfm?Sort=Target&Target=Moon&MCode get&Target=Moon&MCode=Luna_11. Also see =Luna_01. Also see Luna 12, Solar System Exploration, NASA. Luna 2, Solar System Exploration, NASA. gov (Accessed August 25, 2015) https://solar- gov https://solarsystem.nasa.gov/missions/pro- system.nasa.gov/missions/profile.cfm?Sort=Ta file.cfm?Sort=Target&Target=Moon&MCode rget&Target=Moon&MCode=Luna_12&Displ =Luna_02 (Accessed August 25, 2015). ay=ReadMore. 80 7 Space Enterprises in Russia and the Former Soviet Union

Luna 13 was launched in December November 1970 to “deliver a robotic 1966 to “land on the Moon and charac- rover called ‘Lunokhod 1’ to the lunar terize the lunar surface.” The lander surface.” The mission of the rover was probe returned “5 panoramic photos of to “travel to various locations under the the landscape at different Sun angles” real-time control of operators on Earth and measured the lunar “soil’s physical and conduct tests on the lunar soil.” The and mechanical properties.” Luna 14 Lunokhod 1 rover was the first wheeled was launched in April 1968 with the pri- unmanned robotic spacecraft to drive on mary objective to “test communications another world.” This mission was able systems in support of the Soviet effort to to perform 25 soil analyses and tested send cosmonauts to the Moon.” The the “soil’s mechanical characteristics at mission met its primary objective and, more than 500 locations.”30 additionally, provided “data for studies Luna 18 was a failure, but in of the lunar gravitational field, the solar September 1971 the Luna 19 mission wind, cosmic rays, lunar motion, and the was successfully placed in orbit around interaction of the Earth and lunar the Moon and began collecting data masses.”28 about the Moon and its terrain and The Luna 16 mission was launched composition. The Luna 19 spacecraft in September 1970 “to drill out a sam- “orbited the Moon for one year, trans- ple core from the Moon’s surface and mitting photos of the Moon and data return it to Earth.” The spacecraft suc- on the composition of the lunar cessfully returned samples to Earth and surface.” became “the first fully robotic sample The Luna 20 mission was launched return of any nation.” It was found that in February 1972 “to conduct the mis- the dark, powdery basalt material was sion that Luna 18 was unable to com- “very similar to that obtained from plete. The objective was to obtain a another mare site by Apollo 12” but soil sample from the lunar highlands “differed slightly from Apollo 11’s sam- and bring it back to Earth for compari- ples in the levels of titanium and zirco- son with Luna 16’s sample from a mare nium oxide.”29 site.” The mission successfully Luna 17 was also known as the returned a 55-g soil sample and discov- Lunokhod 1 mission. It was launched in ered pure iron. It was revealed that the returned “sample differed from that collected by Luna 16 in that the major- 28 Luna 13, Solar System Exploration, NASA. ity (50–60 %) of the rock particles in gov (Accessed August 25, 2015) https://solar- the newer sample were ancient anor- system.nasa.gov/missions/profile.cfm?Sort=Ta thosite (which consists largely of feld- rget&Target=Moon&MCode=Luna_13. Also see: spar) rather than the basalt of the Luna 14, Solar System Exploration, NASA. gov (Accessed August 25, 2015) https://solarsystem.nasa.gov/missions/profile.cfm?Sort=Ta rget&Target=Moon&MCode=Luna_14. 30 Luna17/Lunokhod 1, Solar System 29 Luna 16, Solar System Exploration, NASA. Exploration, NASA.gov (Accessed August 25, gov (Accessed August 25, 2015) https://solar- 2015) https://solarsystem.nasa.gov/missions/ system.nasa.gov/missions/profile.cfm?Sort=Ta profile.cfm?Sort=Target&Target=Moon&MCo rget&Target=Moon&MCode=Luna_16. de=Luna_17. 7 Space Enterprises in Russia and the Former Soviet Union 81 earlier one (which contained about recovered from the probe. Subsequent 1–2 % of anorthosite).” 31 study of the sample indicated “a lami- The Luna 21/Lunokhod 2 mission nated type structure, as if laid down in was launched in January 1973. Its objec- successive deposits”33 (see Fig. 7.3). tive was to deliver safely the second Future lunar missions under the Luna Soviet lunar rover, the Lunokhod 2, to series were considered by Roscosmos the Moon. On this mission the objective and are now firmly planned albeit with a was to “collect images of the lunar sur- new almost 3-year delay. This new face…and study mechanical properties Russian exploration program will of the lunar soil.” Among others accom- include five probes and are:Luna-25 , or plishments, the rover “covered 37 km of the Luna-Glob lander (lander mission, terrain…and conducted at least 740 with an expected launch date of 2017), mechanical tests of the soil.”32 Luna-26, or Luna-Glob orbiter (orbiter The Luna 22 mission was launched mission, expected launch date 2018), in May 1974 with the goal of “orbiting Luna-27, or Luna-Resurs lander (lander the Moon, imaging the surface and con- mission, expected launch date 2019), ducting remote-sensing measurements.” Luna-28, or the Luna-Grunt rover (lunar It was also going to “study the chemical sample return mission, expected launch composition of the lunar surface, record date 2025), and Luna-29, or the Luna- meteoroid activity, search for a lunar Grunt sample return vehicle (lunar sam- magnetic field, measure solar and cos- ple return mission, expected launch date mic radiation flux, and continue seeking 2025).34 These missions will provide evidence of an irregular magnetic field.” specific data on the mineral content of The last Soviet or Russian probe to the the Moon and could provide useful data Moon was the Luna 24 spacecraft, to any enterprise that would contem- which was launched in August 1976. plate mining on the lunar surface. The goal of Luna 24 was to “land at the The first of these missions is now site of a large mass concentration on the scheduled for 2017, as is depicted in Moon, obtain a soil sample down to Fig. 7.4. This will be the first lander about 2 m beneath the lunar surface, and mission since Luna 24, which that took return it to Earth.” On this mission place in 1976.35 170.1 g of soil was successfully In addition to the extensive Luna exploratory missions to the Moon, there was also 31 Luna 19, Solar System Exploration, NASA. the Zond program, which included eight gov (Accessed August 25, 2015) https://solarsystem.nasa.gov/missions/profile.cfm?Sort=Ta rget&Target=Moon&MCode=Luna_19. Also 33 Luna 22, Solar System Exploration, NASA. see: gov (Accessed August 25, 2015) https://solar- Luna 20, Solar System Exploration, NASA. system.nasa.gov/missions/profile.cfm?Sort=Ta gov (Accessed August 25, 2015) https://solar- rget&Target=Moon&MCode=Luna_22. system.nasa.gov/missions/profile.cfm?Sort=Ta 34 Russian Moon missions face three-year delay, rget&Target=Moon&MCode=Luna_20. RussianSpaceWeb.com http://www.russians- 32 Luna 21/Lunokhod 2, Solar System paceweb.com/spacecraft_planetary_2014.html. Exploration, NASA.gov (Accessed August 25, 35 Luna Glob Mission (Accessed August 25, 2015) https://solarsystem.nasa.gov/missions/ 2015) http://www.russianspaceweb.com/ profile.cfm?Sort=Target&Target=Moon&MCo images/spacecraft/planetary/moon/luna_glob/ de=Luna_21. lg_lander_2011_1.jpg. 82 7 Space Enterprises in Russia and the Former Soviet Union

Fig. 7.3 The 1976 Soviet Lunar 24 Moon mission that provided a soil sample return (Graphic courtesy of the Russian Space Agency, Roscosmos.)

Zond probes that were launched in the mid- and returned to Earth” while taking 1960–1970. These spacecraft also went to high-quality of photos of the Moon and Venus and Mars as well as the Moon; the conducting measurements of the lunar missions were largely flyby and orbital environment. However, none of the missions that took high resolution images. Zond missions were designed to search The most significant part of the Zond mis- for lunar natural resources and, conse- sions to the Moon was their ability to com- quently, discovered little that was of sig- plete the other 30 % mapping of the far side nificance as to the possible location of of the Moon. natural resources in space.36 The first fully successful Soviet mis- Currently it is not clear whether there sion to fly around the Moon and land are any specific plans for the Russian safely back on Earth was the Zond 7 mission that took color photographs of 36 the Moon. With similar objectives like Zond 7, Solar System Exploration, NASA. gov (Accessed August 25, 2015) https://solar- its predecessors, the Zond 8 spacecraft system.nasa.gov/missions/profile.cfm?Sort=Ta “successfully looped around the Moon rget&Target=Moon&MCode=Zond_07. Conclusions 83

Fig. 7.4 Russian Luna 25 (or Luna-Glob) lander that will provide updated soil analysis (Graphic courtesy of the Russian Space Agency, Roscosmos.) government or any Russian entity to metals, whose production is controlled engage in space mining, but in terms of by China. Shevchenko has suggested experience and demonstrated past capa- that deliveries from space could poten- bilities, it seems clear that there is very tially be more cost-effective than min- extensive Russian capability and the ing for metals at home. planned Luna 25 through Luna 29 missions suggests a continued strong interest in the Moon and its mineral content. Conclusions One of the partners in the Russian Luna missions, namely the Sternberg Institute, The Russian government is, however, has indicated that there is particular initiating a new rare earth’s metals min- interest in exploring the lunar surface to ing operation in the Urals as perhaps a see if it is rich in rare earth metals. The more relevant and nearer term response head of the Department of Lunar and to the immediate needs for these pre- Planetary Research at the Sternberg cious metals. Clearly Russia’s proposed Institute, Vladislav Shevchenko, says investment in five new space probes Moon exploration could be the solution going to the Moon that involves an esti- to the current shortage of rare earth mated cost of $2.5 billion represents a 84 7 Space Enterprises in Russia and the Former Soviet Union clear interest in the Moon that may go interest in space mining. This interest beyond just scientific inquiry.37 could be manifested in a variety of ways The U. S. Congress now has under in the future. These countries, or compa- consideration the so-called “Asteroid nies from these countries, might not Act” that would serve to protect the min- engage in a complete space mining mis- ing claims of U. S. entities that might sion themselves but might seek partner- engage in space mining, and it includes a ships with those planning such “reciprocity clause” that would allow initiatives. Planetary Resources and countries such as the United States and Deep Space Industries, in particular, Russia, the United States and China, or have been active in seeking partners the United States and Europe to mutually with special expertise in key accept the claims of other countries in technologies. exchange for recognition of U. S. claims. Some of the countries that are quite Today only a relatively small number of experienced in mining and mining tech- countries (less than ten)—or their nation- nology and systems such as Australia, ally regulated businesses—could possi- Canada, and Brazil have also developed bly take on an enterprise as daunting as some expertise in the space systems and space mining. Thus reciprocity might be commercial space transportation. one way to address this issue. This does Currently the leading developers of not, however, address the prohibition in automated mining are in western the Outer Space Treaty of “appropriat- Australia mines, where virtually every ing” the Moon or other celestial element of mining operations are auto- objects.38, 39 mated or involve remote tele-operation A number of other countries, as we shall of robotic and transport systems. see in later chapters, might have an Russian interest in space mining, along with many other countries, clearly 37 Cecilia Jasasmie, “Russia Pushes Forward has reason to be strong. Yet until the Plans to Mine the Moon”, Mining.com http:// regulatory issues surrounding this field www.mining.com/wp-content/uploads/ are resolved the way forward remains 2014/10/russia-is-seriously-advancing-plans- to-mine-the-moon.jpg. clouded. Clearly Russia will monitor 38 Adam Minter, “The Asteroid-Ming Race relevant efforts around the world and Begins” Bloomberg View, September 8, 2014, note progress in related space technol- http://www.bloombergview.com/articles/ ogy, remote mining and more pending 2014-09-08/the-asteroid-mining-race-begins. efforts to clarify how space mining 39 Adam Minter, “The Asteroid-Ming Race might be accomplished and under what Begins” Bloomberg View, September 8, 2014, regulatory regime. http://www.bloombergview.com/articles/ 2014-09-08/the-asteroid-mining-race-begins. Activities in Europe, Canada and Other 8 Western Countries

Europe has been engaged in a number of It detected the equivalent more than exploratory space missions to study not “2000 Earth oceans-worth of water only planetary objects within the Solar vapor … liberated from icy dust grains System but also the chemical and physi- by high-energy cosmic rays passing cal composition of the broader universe, through the cloud.”2 especially with initiatives that have The Herschel space observatory also started within the last 15 years. These has made a number of other significant activities have been driven by many and even startling findings. These concerns, which include a basic interest included finding “the first robust evi- in astrophysics, a better understanding dence of molecular oxygen in the Orion of cosmic threats and potential planetary Nebula.” It was particularly noteworthy defense, and even practical future appli- that the observed profusion was “ten cations that might in the time involve times larger than indicated by previous such activities as planetary mining. observations of other molecular clouds.”3 The space observatory also identified the first comet (Comet 103P/Hartley 2) that Herschel Space Observatory actually contains “⋯water that is similar in isotopic composition to that in Earth’s On May 14, 2009, ESA launched the Herschel space observatory “to study the formation of stars and galaxies, and to investigate the relationship between 2 1 ESA, News, “Large Water Reservoirs at the the two.” This space observatory is the Dawn of Stellar Birth” (October 9, 2012), first to detect water vapor in “a molecu- online: ESA http://sci.esa.int/herschel/50907- lar cloud on the verge of star formation.” large-water-reservoirs-at-the-dawn-of-stellar- birth. 3 ESA, News, “Herschel uncovers “hidden” 1 ESA, Fact Sheet: Herschel, at 1–2, online: ESA Oxygen in Orion” (August 1, 2011), online: http://esamultimedia.esa.int/docs/herschel/ ESA http://sci.esa.int/herschel/49008-herschel- Herschel-Factsheet.pdf. uncovers-hidden-oxygen-in-orion/.

© Springer International Publishing Switzerland 2017 85 R.S. Jakhu et al., Space Mining and Its Regulation, Astronautical Engineering, DOI 10.1007/978-3-319-39246-2_8 86 8 Activities in Europe, Canada and Other Western Countries oceans.”4 The observatory also discov- [Martian] environment.” The mission ered water vapor around Ceres, the larg- objective was to “study the [Martian] est object in the Asteroid Belt that lies atmosphere and climate, the planet’s between the orbits of Mars and Jupiter. structure, its mineralogy and its geol- Further the observatory “discovered that ogy, and to search for traces of water.”6 a molecule vital for creating water exists The European Space Agency’s Mars in the burning embers of dying Sun-like Express mission has been closely coor- stars.” Overall these survey results from dinated with NASA’s Mars missions in the Herschel observatory “revealed that order to leverage the findings of both the reservoir of molecular gas [and water exploratory efforts. As part of this coor- vapor] in the Milky Way is hugely dinative effort is the possibility of underestimated—almost by one third— extending the mission for an additional when it is traced with traditional year.7 methods.”5 Mars Express discovered “a family of minerals that form only in the presence of water that are known as phyllo- Mars Express silicates.” In addition certain sulfates and iron-based minerals that form in Mars Express, the first European mis- dry conditions without water were iden- sion to another planet, was launched in tified. Mars Express was able to observe June 2003 to monitor “all aspects of the the north and south polar ice caps of the Red Planet in great detail. These signifi- 4 ESA, News, “Herschel finds First Evidence of cant observations confirmed that the Earth-like Water in a Comet” (5 October 2011), composition of the polar caps was online: ESA http://sci.esa.int/herschel/49386- mostly water-ice and the amount of ice herschel-finds-first-evidence-of-earth-like- at the south pole could “cover the entire water-in-a-comet/. planet with a layer of water 11 m deep.” 5 “Herschel finds First Evidence of Earth-like Water in a Comet” (5 October 2011), online: The mission found methane on Mars ESA http://sci.esa.int/herschel/49386-herschel- and high-altitude carbon dioxide ice finds-first-evidence-of-earth-like-water-in-a- clouds in the atmosphere of Mars. It comet/. revealed that hydrogen and oxygen ions Also see: ESA News, “New Molecules dominate the escape from the atmo- around Old Stars” (June 17, 2014), online: ESA http://sci.esa.int/herschel/54158-new- sphere of Mars, while the escape of car- molecules-around-old-stars/. bon oxides are small and that the Also see: ESA News, “There is more Gas atmosphere is supersaturated with water in the Galaxy than is dreamt of by Astronomers” vapor.8 (June 11, 2013), online: ESA http://sci.esa.int/ herschel/51909-there-is-more-gas-in-the-galaxy-than-is-dreamt-of-by-astronomers/. “In the Milky Way, as well as in other galaxies, stars are born from the collapse of the densest 6 and coldest clumps of matter in a molecular ESA, Mars Express: a Decade of Observing cloud. These clouds are gigantic star-forming the Red Planet (Berlin: European Space complexes consisting mainly of molecular Agency, 2013), online: ESA http://esamultimedia.esa.int/multimedia/publications/BR-312/. hydrogen (H2), a gas that does not emit any light at the low temperatures found in molecu- 7 ESA, Mars Express, supra note 330. lar clouds. 8 Ibid. Mars Express 87

Fig. 8.1 ESA’s Mars Express depicted above Mars (Graphic courtesy of ESA.)

The specific objectives of Mars The Beagle 2 lander was planned to Express (see Fig. 8.1) and the associated obtain more detailed information on the Beagle 2 lander were as follows: surface of Mars such as:

• Image the entire surface at high reso- • Determine the geology and the min- lution (10 m/pixel) and selected areas eral and chemical composition of the at super resolution (2 m/pixel). landing site. • Produce a map of the mineral compo- • Search for life signatures sition of the surface at 100-m (exobiology). resolution. • Study the weather and climate. • Map the composition of the atmosphere and determine its global As a follow up to the Mars Express circulation. detailed data collection ESA has now • Determine the structure of the sub- “established the ExoMars program to surface to a depth of a few km. investigate more closely the Martian • Determine the effect of the atmo- environment as a prelude to a future sphere on the surface. Mars sample return mission in the • Determine the interaction of the 2020’s.” Within this future cooperative atmosphere with the solar wind. program with Russia, two missions are 88 8 Activities in Europe, Canada and Other Western Countries foreseen to be carried out with Mercury Mission Roscosmos: “one consisting of an Orbiter plus an Entry, Descent and Europe’s first mission to Mercury is Landing Demonstrator Module, to be known as BepiColombo and is named launched in 2016, and the other, featur- after Professor Bepi Colombo who was ing a rover, with a launch date of 2018.”9 a mathematician and scientist at the University of Padua and an expert in the study of Mercury. This mission is now Venus Express planned to be launched in January 2017, which is a slippage from the original Venus Express was Europe’s first space- launch date of July 2016. It is not craft to visit Venus. It was launched by expected to arrive at Mercury until mid- ESA in November 2005 to explore the year 2024. This is a joint mission Venusian atmosphere. The science between ESA and the Japanese objectives of the mission were formally Aerospace Exploration Agency (JAXA). stated to be “to study the atmosphere, The mission is designed to “provide the plasma environment, and the surface the measurements necessary to study of Venus in great detail.” Top discover- and understand the composition, geo- ies of the mission include “a surpris- physics, atmosphere, magnetosphere ingly cold region high in the planet’s and history of Mercury.” BepiColombo atmosphere, where conditions may be is an ambitious mission comprising frigid enough for carbon dioxide to two separate orbiters, the ESA-led freeze out as ice or snow.” Venus Express Mercury Planetary Orbiter (MPO) and also detected a thin layer of ozone and the JAXA-led Mercury Magnetospheric evidence that a significant amount of Orbiter (MMO), as well as a carrier water had been released into space as spacecraft, known as the Mercury water vapor over eons of time. Finally Transfer Module (MTM). In addition Venus Express detected that “deuterium, to carrying out experiments with a heavy form of hydrogen, is progres- regard to Einstein’s theory of relativity sively enriched and also exists in the it is intended to investigate polar upper regions of Venus's atmosphere, as deposits, including their composition well as a layer of [sulfur] dioxide that and origin.11 lies above the main cloud layer.”10 Proposals for a new Venus mission are currently pending at ESA but not yet Jupiter Exploratory Mission formally approved. ESA has planned to launch JUpiter ICy moons Explorer (JUICE) mission in 2022 to make detailed observations of 9 Online: The ExoMars Programme 2016-2018, Robotic Exploration of Mars, ESA http:// exploration.esa.int/mars/46048-programme- 11 Fact Sheet, BepiColombo, ESA http://sci.esa. overview/. int/bepicolombo/47346-fact-sheet/. 10 Venus Express: Mission Overview, Venus Also see: BepiColombo Launch Moved to Express, ESA http://sci.esa.int/venus-express/ 2017/http://sci.esa.int/bepicolombo/55693- 33010-summary/. bepicolombo-launch-moved-to-2017/. European Mission to the Moon 89

Jupiter and three of its largest moons: All of this will be useful scientifi- Ganymede, Callisto and Europa. This is cally, but the impulse levels required to a major technical challenge not only to reach Jupiter are such that the Jovian deploy an observatory so as to make moons are not likely candidates for these observations, but to withstand the commercial space mining. heavy radiation that is found at the closest moon, Europa. JUICE is the first large-scale endeavor European Mission selected as a prime mission for ESA’s to the Moon Cosmic Vision 2015–2025 program. It will be launched from Europe’s space- The first European mission to the Moon port in Kourou, French Guiana, on an was the Small Missions for Advanced Ariane 5 rocket with the objective of get- Research and Technology-1 (SMART- ting to Jupiter in 2030. It will then spend 1), launched in September 2003 and at least 3 years making detailed observa- ended in September 2006 (see Fig. 8.2). tions of Jupiter and especially of Jupiter’s The mission objective was to test and diverse Galilean moons, icy Europa and prove “an ion drive and miniaturized rock-ice Ganymede and Callisto. These instruments, along with investigations moons make the Jovian system a minia- of the lunar geochemistry and a search ture solar system in its own right.12 for ice at the south lunar pole.” The The reason that Europa, Ganymede SMART-1 mission studied the Moon and Callisto were selected is because all and gathered data “about the morphol- three are thought to host internal oceans ogy and mineralogical composition of and as such are potential habitats for life. the surface in visible, infrared and X-ray JUICE will continuously observe light.” Although this was important Jupiter’s atmosphere and magneto- from a scientific viewpoint it also pro- sphere, and the interaction of the vided useful data with regard to possible Galilean moons with the gas giant mining activities on the lunar surface as planet. It will survey and obtain mea- well as excavation below.14 surements of Callisto, the most heavily Over a 16-month period the cratered object in the Solar System. It SMART-1 sensors accumulated a large will twice swing by Europa and make amount of data that was analyzed after the first measurements of the thickness the project ended by being deliberately of Europa’s icy crust and will identify crashed into the lunar surface. Bernard candidate sites for future exploration Foing, ESA SMART-1 Project Scientist, and possible landing. Finally the space- has said that the data collected by craft will enter orbit around Ganymede SMART-1. “call into question the theo- in 2032, where it will study the icy sur- ries concerning the Moon’s violent ori- face and internal structure of the moon.13 gin and evolution.” He noted that the data suggested that the Moon may have 12 ESA News, JUICE, ESA http://sci.esa.int/ formed from the impact of a Mars-size juice/. asteroid with Earth 4500 million years 13 “JUICE is Europe’s next large science mission,” ESA Science and Technology, May 2, 2012. http://sci.esa.int/cosmic-vision/50321- 14 Fact Sheet, Smart-1, ESA http://sci.esa.int/ juice-is-europe-s-next-large-science-mission/ smart-1/47367-fact-sheet/. 90 8 Activities in Europe, Canada and Other Western Countries

Fig. 8.2 SMART-1 trajectory around the Moon up until it crashed (Graphic courtesy of ESA.) ago. “SMART-1 has mapped large and autonomous spacecraft navigation, and small impact craters, studied the volca- miniaturized scientific instruments, used nic and tectonic processes that shaped for the first time around the Moon.15 the Moon, unveiled the mysterious poles, and investigated sites for future exploration.” ESA’s Deep Space Missions: “ESA’s decision to extend the Giotto, Rosetta, and PLATO SMART-1 scientific mission for a full 16 months—or 10 months more than Europe’s first deep space mission, first planned—allowed the instrument Giotto, was launched in July 1985 to scientists to extensively use a number of study Comet P/Halley. In addition to innovative observing modes. The initial visiting its target comet, Giotto visited major goal of the mission was to test an Comet P/Grigg-Skjellerup. Officially, ion engine (solar electric propulsion) in the Giotto mission was terminated on space for the first time for interplanetary July 23, 1992. In Comet P/Halley, the travel, and to allow the capture of a mission discovered hydrogen ions, spacecraft and to put it into orbit around water (which accounted for about 80 % another celestial body, in combination by volume of all of the material thrown with gravity assist maneuvers. SMART-1 also tested future deep- 15 SMART-1http://www.esa.int/spaceinimages/ space communication techniques for Images/2006/07/SMART-1_trajectory_up_ spacecraft, techniques to achieve to_impact. ESA’s Deep Space Missions: Giotto, Rosetta, and PLATO 91

Fig. 8.3 Philae lander of the Rosetta mission (Graphic courtesy of ESA.) out by the comet), carbon monoxide, from Comet 67P/Churyumov- carbon dioxide, methane, ammonia, Gerasimenko is significantly different hydrocarbons, iron, sodium, two major from the water vapor found on Earth. classes of dust particles (one dominated The other findings were that the dust by the light “CHON” elements—carbon, particles were released first when the hydrogen, oxygen and nitrogen, and comet was “fluffy” and that the asteroid the other rich in mineral-forming contained a lot of sodium but no ice.17 elements—sodium, magnesium, silicon, ESA has active plans for yet another iron and calcium), and a layer of organic deep space mission. This is the planned (carbon-rich) material covering the launch of the PLAnetary Transits and comet’s surface.16 Oscillations of stars (PLATO) mission The subsequent deep space Rosetta to detect and characterize “terrestrial mission was launched in March 2004, to exoplanets around bright solar-type “rendezvous with Comet 67P/ stars, with emphasis on planets orbiting Churyumov-Gerasimenko” and to in the habitable zone.” The currently tar- “study the nucleus of the comet and its geted launch date is 2024.18 environment … and land a probe on its surface.” This Philae lander was the first direct contact with a comet (see Fig. 8.3). The Rosetta-Philae mission was able to discover that water vapor 17 ESA, News, “Rosetta Watches Comet Shed its Dusty Coat” (26 January 2015), online: Rosetta, ESA http://www.esa.int/Our_ 16 Fact Sheet, Giotto, ESA http://sci.esa.int/ Activities/Space_Science/Rosetta/Rosetta_ giotto/47355-fact-sheet Also see: Online: watches_comet_shed_its_dusty_coat. Giotto, NASA http://nssdc.gsfc.nasa.gov/nmc/ 18 Online: Summary, PLATO, ESA http://sci. masterCatalog.do?sc=1985-056A. esa.int/plato/42276-summary/. 92 8 Activities in Europe, Canada and Other Western Countries

Summary of European international partnerships may Initiatives ultimately prove productive. In an effort that was quite similar to The European Space Agency has Canada’s NEOSSat mission, the German engaged in an active space research Space Agency (DLR) completed pre- program to explore Venus, Mars, liminary reviews for its DLR- Mercury, the Moon, Jupiter and its AsteroidFinder mission, but this moons and deep space. These explora- mission was canceled in 2012 due to tion activities have been comprehen- excessive costs.19 South Korea is par- sive in their scientific scope and have ticipating in Japan’s SELENE-2 mis- included physical, chemical, and envision and is planning to launch a lunar ronmental measurements. The various orbiter and lander in 2023 and a sample missions have provided a large amount return mission in 2030.20 A Netherlands- of data as to the composition and rela- based not-for-profit company, Mars tive density of these various component One, is considering a mission to trans- bodies of the inner Solar System that port the first four humans to the Red could be of benefit to any future space Planet by 2023 at a cost about $6 billion. mining activities. A Phoenix-based not-for-profit organization, Astronauts4Hire, is providing training to its members as commercial Canada and Other National “professional astronaut candidates who Initiatives can assist researchers, payload developers, and spaceflight providers with mis- A number of other countries might have sion planning and operations support.” a clear or at least expressed an interest in As human history demonstrates, space mining. This interest could be other countries and private sector enti- manifested in a variety of ways in the ties—some serious and others not so future. These countries include Canada, serious—will try to follow these devel- which is discussed in some detail below, opments in an effort to search for natural but also Australia, Brazil, the Republic resources, wealth, and colonization in of Korea and South Africa as well as a outer space and on celestial bodies at number of others. There are further a least in our Solar System. number of mining, robotics, remote There are a number of countries that sensing, and even commercial space are developing commercial capabilities transportation companies from these in robotics, tele-robotics and space countries that are also of interest. These transportation systems. Some of the countries or relevant companies might not engage in a complete space mining 19 http://www.dlr.de/fa/Portaldata/17/ missions themselves but might seek Resources/dokumente/abt_17/projekte/ partnerships with those planning such Handout_Asteroid_Finder.pdf (Last accessed: initiatives. Planetary Resources and March 30, 2013). 20 Deep Space Industries in the United Srinivas Laxman, “Japan SELENE-2 Lunar Mission Planned For 2017, July 16, 2012, States, for instance, have been active in online: http://www.asianscientist.com/topnews/ seeking partners with special expertise japan-announces-selene-2-lunar-mission-2017/ in key technologies, and such (Accessed last: September 1, 2015). Canada and Other National Initiatives 93 countries that are developing capability ning to develop drilling and excavating include the Republic of Korea, Israel, capabilities to extract subsurface sam- Ukraine, and Iran. A shortage of rare ples and conduct in-situ study of earth metals, the appeal of a new space resources. In order to prepare for future industry, and the future importance of exploration missions, dedicated sites in the technology associated with artificial Canada where simulated conditions are intelligence, smart robotics systems, analogous to those existing on the Moon tele-operation, and remote power sys- and Mars are used. Canadian laborato- tems could all serve as incentives to ries are testing technologies (e.g., drill- move ahead with space mining initia- ing, rover navigation), and scientists are tives around the world. simulating water search, water-related Canada is an example of a country land forming and search for life at those that has shown considerable interest in sites. space mining and is thus discussed in Canada’s latest space exploration some detail below to illustrate a prime mission, the Near-Earth Object example of a country—plus its industry Surveillance Satellite (NEOSSat), was and academic and research community— launched on February 25, 2013, aboard that may, through partnerships with an Indian Polar Satellite Launch Vehicle others become a player in future space (PSLV). This project was jointly funded mining operations. by CSA and the Defense Research and The current strategy of the Canadian Development Canada. It is designed to Space Agency (CSA) is to better under- monitor asteroids as well orbiting space stand the Solar System and the universe; objects (including space debris) to help to seek signs of life in extraterrestrial avoid collisions in space. The NEOSSat habitats, and to prepare for a permanent will help in cataloging near-Earth aster- human presence in space and on other oids, thus “producing information that planets. In this regard, Canada is partic- will be crucial to targeting new destina- ularly interested in research focusing on tions for future space exploration the Martian atmosphere, terrestrial ana- missions.” Eventually this information logs and the search for life on Mars. could prove quite helpful in making Since Canada has extensive experience decisions about possible candidate in robotics, its goal is to maintain and asteroids for mining. 22 further develop such capabilities, CSA is believed to have spent nearly including advanced mobility and in- $110 million for the development of orbit servicing systems. Canada is par- advanced robotics and space exploration ticipating in NASA’s Mars Sample technologies. As a result, CSA is intro- Laboratory mission as well as the ducing several rover prototypes that European/Russian ExoMars mission could be used for exploration missions and the U. S. asteroid sample return mission, OSIRIS-Rex.21 Within its robotic exploration program, Canada is plan- 22 Miriam Kramer, “Suitcase-Size Satellite Launching Monday to Hunt Asteroids”, 21 See the OSIRIS-Rex mission website online: February 24, 2013, http://www.space.com/ http://osiris-rex.lpl.arizona.edu/ (Last accessed: 19930-asteroid-tracking-satellite-neossat- August 30, 2015). launch.html (last accessed: 13 March 2013). 94 8 Activities in Europe, Canada and Other Western Countries on the Moon or Mars.23 The Minister of the regular increases in space budgets in Industry, Christian Paradis, is reported countries such as China and India. to have said that “Canada’s reputation Budgetary constraints limit the ability of for excellence has been carved out the CSA to embark upon major initia- through decades of innovation and tech- tives on its own in the exploration and nological advances such as the iconic exploitation of space natural resources. Canadarm, Canadarm2 and Dextre … . In addition to the Canadian Space That legacy continues with the Next Agency, several institutions and compa- Generation Canadarm and these pioneer nies are active in several aspects of the terrestrial rovers.”24 exploration of natural resources in Undoubtedly, Canada has been, and space. continues to be, very successful in niche Canadian academic establishments areas of space activity (e.g., remote are actively engaged in the exploration sensing, robotics). However, CSA faces of these natural resources. The perennial difficulty with limited funding University of Western Ontario (UWO) and frequent budget cuts.25 For example, is the leading institution in this regard. It CSA’s budget for 2012–2013 is $388.3 hosts the Centre for Planetary Science & million, but for 2013–2014 it will go Exploration (CPSX) and is actively and down to $309.7 million, and for 2014– extensively involved in education, out- 2015 it will only be $289.1 million.26 reach and research in planetary sciences, This indicates that the Canadian govern- exploration and space system design ment is not according high priority to, using multidisciplinary perspectives. Its and investing sufficiently in, its space research themes include astrobiology, programs. This is indeed strange, par- cosmochemistry, planetary atmo- ticularly when viewed in the context of spheres, planetary dynamics, planetary interiors, planetary surfaces, space sys- 23 Megan Garber, “Curiosity’s Cousins: Meet tems, space robotics, tele-robotics, the Rover Fleet of the Canadian Space Agency – space history, exoplanets, and the moni- A fleet of vehicles ready to explore lunar and toring of Earth-space. CPSX researchers Martian terrains”, OCT 23 2012, online: http:// www.theatlantic.com/technology/ are involved in NEOSSat and Mars archive/2012/10/curiositys-cousins-meet-the- Science Laboratory space missions. rover-fleet-of-the-canadian-space-agency/ The UWO is also home to the 263965/ (Last accessed: March 13, 2103). Canadian Lunar Research Network 24 Merryl Azriel, “Canadian Space Agency (CLRN). CLRN is a group of Canadian Unveils Rover Fleet,” October 22, 2012, online: scientists, engineers, and entrepreneurs http://www.spacesafetymagazine.com/ 2012/10/22/canadian-space-agency-unveils- working collectively in order to promote rover-fleet/ (Accessed: March 13, 2013). lunar research and foster collaboration 25 The Canadian Press, “Canadian space pro- among Canadian and international grams face budget cuts, layoffs”, Apr 9, 2012, researchers. Other members of the net- online: http://www.cbc.ca/news/technology/ work are: Laurentian University, McGill story/2012/04/09/technology-csa-budget-cuts. University, Memorial University, the html (Last accessed: March 13, 2013). University of British Columbia, 26 CSA, 2012-2013 Report on Plans and Priorities, http://www.asc-csa.gc.ca/eng/publi- University of Guelph, University of cations/rpp-2012.asp (Accessed: March 13, New Brunswick, University of Toronto, 2013). the University of Winnipeg, York Canada and Other National Initiatives 95

University, MDA, Optech, Odyssey mining sciences, in which four presenta- MOON, NASA Lunar Science Institute, tions are scheduled to be delivered, and OpenLuna. According to the web- namely: “Helium 3 mining start-up site of the CLRN, the “current guiding transportation,” by Thomas Taylor of research theme at the CLRN is lunar Lunar Transportation Systems, Inc.; impacts—processes, products, and utili- “Asteroid mining methods and opportu- zation. Impact cratering is considered to nities for serving in space and terrestrial be the most important surface process markets,” by David Grump of Deep on the Moon. As a result, research at Space Industries; “Mining of PGMs in CLRN focuses on understanding all commercial space project management,” aspects of lunar impact craters … . by Christine Hansen of Hawaii Pacific Looking both into the past and to the University; and “Mining asteroid materi- future, impact craters have been, and als for manufacturing in low Earth orbit will be, key targets for the robotic and (LEO) and for valuable materials,” by human exploration of the Moon.”27 Michael Buet of Stott Space, Inc. The The Northern Centre for Advanced CIM, in collaboration with a team of five Technology (NORCAT) is a not-for- Canadian university professors, attended profit, non-share incorporated company the 23rd World Mining Congress held in located in Sudbury, Ontario, Canada. Montreal in August 2013.29 According to Chuck Black, NORCAT The Canadian Space Commerce provides specialized mine training, Association (CSCA), a non-profit indus- occupational health and safety services try organization, is making efforts to and develops mining technology for advance the economic, legal and politi- space missions.28 cal environment for Canadian space- Several Canadian professionals, related companies. On March 7, 2013, think-tanks, mining and space industry CSCA ran a conference in Toronto associations, and business lobbying- under the theme Commercial Space groups are becoming quite active in Resource Utilization. The conference deliberations concerning space and nat- featured several interesting presenta- ural resources. What follows is a very tions related to technical, entrepreneur- brief description of such individuals and ial, financial, regulatory and policy institutions and some of their recent aspects of space natural resources activities. exploration.30 The Canadian Institute of Mining, Metallurgy and Petroleum (CIM), a Westmount (Quebec)-based think tank, 29 The Canadian Institute of Mining, Metallurgy and Petroleum (CIM) “is the leading technical is organizing a convention under the society of professionals in the Canadian theme of “Global Leadership—the Minerals, Metals, Materials and Energy Courage to Change” in Toronto from Industries.” Founded in 1898, the CIM aims “to May 5–8, 2013. One of its six technical facilitate the exchange of knowledge and tech- programs will concentrate on planetary nology [and] to foster networking, professional development and fraternity” in the minerals industry. http://www.cim.org/en/About-CIM. 27 http://clrn.uwo.ca/research.htm (Accessed: aspx (Accessed: April 2, 2013). August 27, 2015). 30 Most of the presentations may be downloaded 28 E-mail from Charles Black of the Canadian from: http://spacecommerce.ca/events/2013-csca- Space Research Association. (April 2, 2013). national-conference (Accessed: April 3, 2013). 96 8 Activities in Europe, Canada and Other Western Countries

There are several Canadian private owner of JA Chapman Mining, has been companies that are involved in space- enthusiastically active in this area.33 related activities, including several The Canadian Space Agency, experts, aspects of natural resources in space. private sector, academic institutions and Canada’s largest aerospace company, professional associations are increas- McDonald, Dettwiler and Associates ingly becoming active in the idea of Ltd. (MDA), is vigorously involved in exploration of natural resources in designing, building and supplying criti- space, although nobody has taken any cal components and subsystems for sev- concrete steps or embarked upon any eral planetary mining exploratory serious and specific projects dedicated missions from various countries. In to this purpose similar to those addition, this highly experienced com- announced by some private sector enti- pany is the prime contractor for the ties in the United States. Notwithstanding Odyssey Moon mission, which is the foregoing, Canada seems to be ready “developing a sustainable commercial to embark upon such exploratory activi- transportation system to deliver payload ties once sufficient financial resources services to the Moon in support of sci- are available. Experts have expressed ence, exploration and commerce.”31 optimistic views that the exploration of MDA supplied the advanced Instrument natural resources in space will occur in Deployment Device that is used on the the near future, as the potential for gen- Mars exploration rover mission, whose erating immense profits from such activ- prime objective was to investigate the ities is becoming clearer and realistic. existence of water on Mars. “MDA’s However, within Canadian commercial heritage in autonomous, safety-critical circles, there is a general apprehension robotic systems for human and about the current legal regime governing unmanned spaceflight is directly applied outer space. It is often stated that the to rover developments across the range inability to own the land and resources of exploration classes, from small, sci- in outer space is the most serious barrier ence-class autonomous prospecting rov- for private enterprises to be fully ers to large, tele-operable utility-class engaged in planetary exploration and and manned vehicles. MDA has sup- exploitation of natural resources in ported CSA, ESA, and NASA on over space. It has also been suggested that twenty Moon and Mars rover-related since there is no mechanism for enforce- missions and system concept studies, ment of international laws that govern technology developments, and analog the exploration and exploitation of these field deployments.”32 Finally John natural resources, those laws can be Chapman, a private consultant and ignored.

33 For more about Chapman’s activities, see 31 http://www.odysseymoon.com/ (Accessed: Charles Black, “Opportunities for Mining April 2, 2013). Operations on the Moon & Mars,” http://acuri- 32 http://is.mdacorporation.com/mdais_canada/ ousguy.blogspot.ca/2012/02/opportunities-for- Offerings/Offerings_Rovers.aspx (Accessed: mining-operations-on.html?q=John+Chapman April 2, 2013). (Accessed: August 24, 2015). Conclusions 97

It is believed that, with its extensive Conclusions skills, expertise, technology and experience in terrestrial mining, Canadian It is still quite early days in the develop- industry should be able to take the lead ment of the field of space mining. There in space mining. Although such creden- are significant legal, regulatory, and stan- tials are important, one must keep in dards issues to overcome on top of the mind that the physical conditions in many technological, economic and busi- space (lack of gravity and atmosphere) ness challenges that must be faced and are quite different from those that persist overcome, before space mining becomes on Earth. Secondly, the legal status of a reality. Nevertheless, Europe, plus outer space, asteroids and planets is sig- Canada and others such as Australia, nificantly different from the legal status South Africa, the Republic of Korea, the of Canadian territory, where most of Ukraine, Israel, and relevant industries such mining activities have occurred. from these countries could become sig- These divergences pose serious chal- nificant players in the field over time. In lenges to, and must be taken into consid- short there is significant technological eration by, the Canadian mining industry knowhow at the governmental and indus- should it wish to enter the realm of trial level in these countries that could space’s natural resources. well be an important asset in the future. Asian Space Programs: Japan, China and India 9

Japan, China and India are all assuming having a direct impact on their sover- increasingly important roles in space as eignty and financial interests. in many other high tech areas. As such, For many years the Asian national exploration, exploitation and utilization space programs were dominated by the of space’s natural resources are no lon- activities of Japan that included those of ger left to the exclusive domain of the the National Air and Space Development United States, the U.S.S.R./Russian Agency (NASDA), the National Federation or the efforts of the European Aerospace Labs, and broad range of Space Agency and Europe’s various planetary research programs carried out national space agencies. The expanding by Tokyo University’s Institute of Space capabilities around the world in the and Astronautical Science (ISAS). These areas of human and robotic space explo- wide-ranging activities of Japan were ration, advanced launcher systems and merged together as of October 1, 2003, sophisticated planetary probes have cre- to form a single integrated new Japanese ated a new international context. In par- agency known as JAXA—the Japan ticular, this means that the exploitation Aerospace eXploration Agency. But of natural resources in space is no longer today there are rapidly growing and now confined to the traditional science and very significant space programs in China technology domains and is now begin- and India as well. The Chinese program ning to involve business and economic (the Chinese National Space Agency) interests and even national competition. and the Indian program (the Indian In short it is the issue of the future. And Space Research Organization) in their the future has become a truly interna- initial stages placed a great deal of tional political issue. As a consequence, emphasis on primarily developing topics dealing with common concerns— launch vehicle technology. In these ear- sharing of resources, environment pro- lier days spacecraft systems were often tection, and pollution—raise new provided by overseas suppliers. In the difficulties, as they require different last 20 years all three of these Asian States to agree on common principles space programs have blossomed to

© Springer International Publishing Switzerland 2017 99 R.S. Jakhu et al., Space Mining and Its Regulation, Astronautical Engineering, DOI 10.1007/978-3-319-39246-2_9 100 9 Asian Space Programs: Japan, China and India include the ability to design, engineer missions. Table 9.1 below provides a and oversee the domestic manufacture of selected listing of ISAS planetary and spacecraft for exploration, science mis- solar probes that were built in the 1970s sions and applications. This chapter and 1980s. The particular highlight of reviews the space exploration programs ISAS came in 1990 when its MUSES-A of these countries that now are supported probe successfully reached lunar orbit by a range of proven launch vehicles and and collected data concerning the lunar sophisticated space probe capabilities. surface (see Fig. 9.1). An even more ambitious ISAS project was the Planet B or Nozumi probe Japanese Space Exploration that was launched in 1998 to undertake and Scientific Missions observations of the Martian atmosphere. The probe instrumentation failed, how- The Institute of Space and Astronautical ever, and thus the mission failed. Science (ISAS) carried out many of The last independent mission of Japan’s early planetary research ISAS before it merged to form JAXA

Table 9.1 Missions by ISAS from 1971 to 2003 prior to merging into JAXA Name before Name after Launch date launch launch Mission Sept. 28, 1971 MS-F2 Shinsei Ionosphere/cosmic-ray/solar-radio observation Aug. 19, 1972 REXS Denpa Ionosphere/magnetosphere observation Feb. 16, 1974 MS-T2 Tansei 2 Technology experiment Feb. 24, 1975 SRATS Taiyo Thermosphere and sun Feb. 4, 1978 EXOS-A Kyokko Aurora and ionosphere Sept. 16, 1978 EXOS-B Jikiken Magnetosphere and thermosphere observation Feb. 21, 1979 CORSA-b Hakucho X-ray astronomy Feb. 21, 1981 ASTRO-A Hinotori Solar X-ray observation Feb. 20, 1983 ASTRO-B Tenma X-ray astronomy Jan. 8, 1985 MS-T5 Sakigake Technology experiment/comet observation Aug. 19, 1985 PLANET-A SuiseiS Comet observation Aug. 19, 1987 ASTRO-C Ginga X-ray astronomy Jan. 24, 1990 MUSES-A Hiten Interplanetary technology experiment Aug. 30, 1991 SOLAR-A Yohkoh Solar X-ray observation (with NASA/UK) July 24, 1992 GEOTAIL GEOTAIL Magnetosphere observation (with NASA) Feb. 20, 1993 ASTRO-D ASCA X-ray astronomy (with NASA) March18, 1995 SFU SFU Multi-purpose experiment flyer (with NASDA/NEDO and USEF) Feb. 12, 1997 MUSES-B Halca Space VLBI technology development July 4, 1998 PLANET-B Nozumi Mars atmosphere observation May 9, 2003 MUSES-C Hayabusa-1 Asteroid sample return technology development History, Institute of Space and Astronautical Science https://en.wikipedia.org/wiki/Institute_of_ Space_and_Astronautical_Science (Last accessed on August 30, 2015) Japanese Space Exploration and Scientific Missions 101

Fig. 9.1 The MUSES—a satellite designed by ISAS that Japan sent into lunar orbit (Graphic courtesy of JAXA.)

Table 9.2 Planetary research missions by ISAS after merging with JAXA Launch date Name before launch Name after launch Mission July 10, 2005 ASTRO-EII Susaku X-ray astronomy Aug. 24, 2005 INDEX Reimei Technology/Aurora research Feb. 21, 2006 ASTRO-F Akari Infrared astronomy Sept. 22, 2006 SOLAR-B Hinode Solar observation Sept. 14, 2007 Selene Kaguya Lunar orbiter May 20, 2010 PLANET-C Akatsuki Venus atmosphere observation Sept. 14, 2013 SPRINT-A Hisaki EUV observation Expected in Astro-H X-ray astronomy 2016 Expected in ERG Magnetosphere research 2016 Expected in MMO MMO Mercury exploration (part of 2016 BepiColombo, with ESA) History, Institute of Space and Astronautical Science https://en.wikipedia.org/wiki/Institute_of_ Space_and_Astronautical_Science (Last accessed: August 30, 2015) was MUSES-C, a technology develop- Even after the formation of JAXA, ment project intended to attempt a plan- ISAS continues to play the leading role etary sample return. As an independent in Japan’s planetary research programs. research institute, ISAS also developed The important planetary-related probes the M-V rocket services that launched a by ISAS since 2003 includes those mis- number of their planetary missions, sions provided in Table 9.2. including the Hayabusa 1.1 In 2005 JAXA, the Japanese national space agency, shortly after its official 1 M-V 1-8 Japanese Rocket System, http://his- formation, developed its own vision toricspacecraft.com/Rockets_Japanese.html. known as “Vision 2025.” The JAXA 102 9 Asian Space Programs: Japan, China and India vision establishes the goals for the JAXA’s Selenological and 20-year period spanning 2005–2025. Engineering Explorer mission Vision 2025 details JAXA’s longer terms (SELENE/Kaguya), launched in goals in which space exploration plays a September 2007—just before the major role. Under the Vision, Japan Chinese and Indian lunar missions were aims to turn itself into a “top science launched. Its mission was to understand center” for space science; to develop the Moon’s origin and evolution. sound technologies for the establish- SELENE/Kaguya carried 14 different ment and utilization of a lunar base; and, scientific instruments that operated quite to establish a “deep space harbor” on the successfully until June 2009.3 The mis- Moon and/or at a Lagrange point in the sion is to further investigate the Moon to future. obtain information on its composition, Under the Vision 2025 plan Japan geography, surface and sub-surface indicated its goals of: structure.4 It will also help to define whether the use of the Moon’s natural • Promoting studies for possible utili- resources is possible in the future. JAXA zation of the Moon. plans for SELENE to be the largest lunar • Developing cutting-edge technolo- mission since the Apollo program. gies such as robotic technologies, JAXA also has plans for SELENE- nanotechnologies and micro-machines. 2—a mission that will consist of an • Researching and developing power- orbiter, a lander and a rover that will providing technologies using solar conduct in-situ studies on the Moon. power. SELENE-2 was originally slated for • Preparing for the establishment of a launch in 2017 but will now likely hap- human lunar base. pen in 2018 or later. According to • Developing complementary relation- Tatsuaki Okada of JAXA, SELENE-2 is ships with other nations for effective designed “for developing … key tech- exploration of space. nologies for future human exploration. It is a multipurpose mission which is a The vision envisages that further precursor for human exploration.”5 exploration of the Moon with Moon- SELENE-2, or the Selenological and orbiting satellites will take place within Engineering Explorer 2, is a planned the first 10 years. In this timeframe, Japan will also seek a decision by the 3 government on whether to take signifi- Viorel Badescu, Foreword, Moon: prospective energy and material resources, Springer, online: cant steps toward the utilization of the http://link.springer.com/book/10.1007/978-3- Moon. After 20 years, the Vision antici- 642-27969-0/page/1 (Last accessed: March 13, pates that Japan will contribute to the 2013). international community by taking up 4 Selene project, JAXA www.jaxa.jp/missions/ roles in the implementation of interna- projects/sat/exploration/selene/index_e.html tional lunar initiatives.2 (Last accessed: August 29, 2015). 5 Srinivas Laxman, “Japan SELENE-2 Lunar Mission Planned For 2017”, July 16, 2012, 2 JAXA2025 Plan, http://gidicoded.com/site_ online: http://www.asianscientist.com/topnews/ video-download.xhtml?get-id=jgs8G_EScz4& japan-announces-selene-2-lunar-mission-2017/ title=JAXA-2025-JAXA-Longterm-Vision. (Last accessed: March 13, 2013). Japanese Space Exploration and Scientific Missions 103

Fig. 9.2 SELENE-2 shown lowering to lunar surface (Graphic courtesy of JAXA.)

Japanese robotic lunar spacecraft that mineral prospecting spacecraft that suc- will include an orbiter, a lander and a cessfully completed its mission in June rover. It is expected to be launched in 2010 and returned to Earth with a sam- 2017 as a successor to the 2007 SELENE ple.6 In January 2012, JAXA made its (Kaguya) lunar orbiter. This is a quite first international announcement of expensive but also prestigious program opportunity relating to the study of the that is considered key to Japanese future samples,7 and a second announcement plans to establish a lunar colony and of opportunity was issued on January 9, perhaps to use robotic systems for 2013.8 engaging in space mining in the future As a follow-up to Hayabusa-1, JAXA (see Fig. 9.2). has planned a new $400 million asteroid While the legal and regulatory issues about whether and how planetary 6 JAXA. “Hayabusa.” http://www.jaxa.jp/proj- resources might obtained and returned ects/sat/muses_c/index_e.html http://www. to Earth are settled, the technological hayabusa.isas.jaxa.jp/e/index.html (Last development keeps moving ahead. This assessed: August 30, 2015). is not only on Japan’s future agenda, but 7 JAXA Press Release: 1st International as will be addressed later in this chapter Announcement of Opportunity for Hayabusa China and India are also pursuing rele- sample investigation (24 January 2012). JAXA website online: http://www.jaxa.jp/press/ vant space system capabilities as well. 2012/01/20120124_hayabusa_e.html (Last Japan has also been involved in aster- accessed: March 13, 2013). oid exploration with its $150 million 8 http://hayabusaao.isas.jaxa.jp/ (Last accessed: Hayabusa-1 mission—the first asteroid August 30, 2015). 104 9 Asian Space Programs: Japan, China and India

Fig. 9.3 Artist’s concept of Hayabusa-2 probe shown taking samples of Asteroid 1999 JU3 in mid-2018 (Graphic courtesy of JAXA.) mission, Hayabusa-2. JAXA anticipates the Mercury exploration mission that the spacecraft will arrive at the car- known as BepiColombo, which is bonaceous asteroid identified as 1999 planned to be launched in 2016. This JU3 in mid-2018, and that it will likely mission will conduct comprehensive return to Earth at the end of 2020. observations of the planet Mercury that Asteroid 1999 JU3, a 920-m (3010-ft) will help to determine how much it has large space rock, was chosen “because it in common with other planets and what is widely believed to contain organic elements are unique to Mercury as well matter, such as that which may have as the origin and evolution of other contributed to life on Earth”9 (see planets.10 Fig. 9.3). Japan clearly has strategic longer- Finally, as noted in the earlier chap- term objectives in space. This has been ter on European missions, Japan is a shown in the active space missions car- key participant along with the ESA in ried out by the Institute of Space and Astronautical Science (ISAS) since the 9 “JAXA Schedules New Asteroid Sampling Mission for 2014”, online: http://www.spacesafetymagazine.com/2013/01/03/jaxa-sched- 10 “Bepicolombo Mercury Mission to be ules-asteroid-sampling-mission-2014/ (last Launched in 2015”, 28 February 2012, online: accessed: 15 March 2015). http://www.isas. http://sci.esa.int/science-e/www/object/index. jaxa.jp/e/index.shtml (Last accessed: August cfm?fobjectid=50105 (Last accessed: August 30, 2015). 28, 2015). China’s Planetary Research and Exploration Programs 105 early 1970s, the ambitious JAXA 2025 China’s Planetary Research strategic plan to develop space robotic and Exploration Programs capabilities and explore the Moon, and ultimately to create a permanent space China also commenced a space program presence there. Japan’s ambitious in the 1970s. In line with the needs of SELENE-1 and 2 missions, plus its sig- the country, China developed a fleet of nificant asteroid research program, as satellites for space applications (often reflected in Hayabusa 1 and 2, all indi- using international satellite procurement cate that resource-challenged Japan to accomplish this task) and placed the sees the possibility of space mining as a greatest emphasis on perfecting reliabil- strategic goal to be pursued by an active ity and performance of the CZ and Long space research and exploration March family of launchers. Based on its program. close relationship with Russia, China Japan consolidated its launcher obtained considerable technical assis- development program with the creation tance from Russia to develop both its of JAXA and with discontinuing the space infrastructure and technology, M-V launcher program of ISAS. This including its now quite successful led to the development of the H-1, H-II, human spaceflight program. In 1976 H-IIA and HII-B program as well as the China became a member of Intelsat and H-transfer vehicle. There were with two also became more involved with Western failures with the H-II launcher in 1998 space programs as well. In the 1990s and 1999. This led to a Japanese Diet- China significantly increased the level mandated international review commit- of activity of its national space program tee that led to a series of changes in the and shifted away from placing its great- quality assurance program, which even- est emphasis on space applications to tually produced excellent results. In the developing a range of technologies to last 15 years there has been increasing support a human space exploration success with larger and higher capacity program. H-II A and H-IIB launchers and with The successful launch of a Chinese successful trips of the HTV to the taikonaut on October 15, 2003, aboard a International Space Station with resup- Long March F3, marked a major mile- ply missions.11 stone in the development of China’s space program. It became the third country in the world after the U.S.S.R./ Russia and the United States to successfully launch astronauts into space.12 11 Space Launch Vehicle Reliability http:// China plans to conduct deep-space www.ewp.rpi.edu/hartford/users/papers/engr/ ernesto/cedenc/SMRE/Project/Space%20 exploration of the Moon in a series of Shuttle%20Vehicle%20Reliability.pdf The 17 stages. According to its 2011 White member international launch reliability review committee with 9 Japanese and 8 international members from Europe and the US recom- 12 Making History: China’s First Human mended that the quality assurance and reliabil- Spaceflight, Space.com, September 28, 2005 ity review processes be separated from the line http://www.space.com/1616-making-history- management so that reliability concerns could china-human-spaceflight.html (Accessed: be independently reported. August 30, 2015). 106 9 Asian Space Programs: Japan, China and India

Paper on China’s Space Activities this China’s three-phase Moon explora- will involve first orbiting, then landing, tion program is both thorough and ambi- and finally exploring and returning sam- tious. China’s Chang’e-3 with its Yutu ples. This strategic space planning docu- Moon rover was launched in December ment states that “China’s lunar probe 2013. This Moon rover was equipped projects are based on … . orbiting, land- with “lunar exploration radar” as well as ing and returning … . In the third stage, a drilling machine to excavate Moon China will start to sample the Moon’s rocks from a depth of 2 m below the sur- surface … and return those samples face of the Moon. Despite some initial back to Earth.” Natural resources from problems it has remained operational for space will play a key role of this explo- over a year15 (see Fig. 9.4). ration strategy. According to Ouyang China’s Moon exploration program Ziyuan, chief scientist of China’s lunar includes plans “to launch … its fifth exploration program, the Moon “proba- lunar probe, Chang’e-5 in 2017 while bly holds the key to humanity’s future Chang’e-6 might be launched in 2018.16 subsistence and development.” Luan These two missions are both being Enjie, director of China’s National equipped so to send back a Moon rock Space Administration, has also men- sample to Earth.” tioned that China would be interested in China’s first Mars mission, exploiting rare resources found on the Yinghuo-1, was a joint venture in coop- Moon’s surface.13 eration with the Russian Phobos-Grunt China launched Chang'e-1 in 2007, mission. This spacecraft was designed at a cost of 1.4 billion yuan (equivalent to probe the environmental and mag- to approximately U. S. $170 million), to netic fields of Mars. With the failure of provide a map of the Moon and also to the Phobos-Grunt, China now plans to evaluate helium-3 resources on the wait until 2016 to launch a Mars probe Moon. Launched in 2010, Chang'e-2 by itself.17 carried more sophisticated instruments on board. According to the 2011 White moon landing around 2017” China News Paper on China’s Space Activities: (November 5 2005), http://news.xinhuanet. “Chang’e-2, created a full higher-reso- com/english/2005-11/05/content_3733767.htm lution map of the Moon, and a high-def- (Last accessed: August 15, 2015). inition image of Sinus Iridium, and 15 Spaceflight 101, March 9, 2015, “China’s completed several extended tests, Yutu Rover still responsive after 64 Weeks on including circling the Lagrangian Point the Moon” http://www.spaceflight101.com/ change-3-mission-updates.html (Last accessed: L2, which laid the foundation for future August 30, 2015). 14 deep-space exploration tasks.” 16 “China Expects to Launch Fifth Lunar Probe Change-5 In 2017,” Mar 3, 2011, http://www. 13 “China to launch orbiters for lunar soft land- moondaily.com/reports/China_Expects_To_ ing in next five years: white paper”, 29 Launch_Fifth_Lunar_Probe_Change5_ December 2011, http://news.xinhuanet.com/ In_2017_999.html (Last accessed: August 30, english/china/2011-12/29/c_131333253.htm 2015). (Last accessed: August 30, 2015). 17 “China’s 1st interplanetary probe hits mars 14 NASA.gov http://nssdc.gsfc.nasa.gov/nmc/ mission”, January 20, 2012, http://zeenews. spacecraftDisplay.do?id=2007-051A india.com/news/space/china-s-1st-interplane- (Accessed last: August 15, 2015); “China plans tary-probe-hits-mars-mission_753748.html The Indian Space Program 107

Fig. 9.4 The Yutu Moon rover from the Chang’e-3 mission on the surface of the Moon (Graphic courtesy of JAXA.)

China’s Moon and Mars exploration resources in space. The one constant in activities constitute an important part of the Chinese space program is that it has worldwide efforts for the exploration of always been quite pragmatic in concen- space’s natural resources. In technologi- trating first and foremost on practical cal terms, China is still behind the applications—first on telecommunica- United States, yet is constantly acceler- tions, broadcasting, remote sensing, ating its space capabilities. space navigation, and meteorological However, due to its booming econ- satellites and now with a prime focus on omy; geo-political “competition” with the Moon that might be the future source the United States, India and Japan; and of rare earth metals and energy source the insatiable global need for natural materials such as helium-3. resources, China seems determined to make a speedy and steady progress towards becoming a significant player The Indian Space Program and an active voice in international space discussions, including those In recent years, India’s space program related to the exploration of natural has undergone a major change in focus from original developmental space applications to the pursuit of space sci- (accessed last: August 30, 2015); “Will China ence and exploratory programs, includ- send its own probe to Mars?,” August 7, 2012, http://english.cntv.cn/program/newsup- ing ambitious space missions. In this date/20120807/100268.shtml (Last accessed: August 30, 2015). 108 9 Asian Space Programs: Japan, China and India regard it is a parallel to both the Indian equivalent of U. S. $590 million in 2005, and the Chinese space programs. to about $1.5 billion currently.19 India is planning to launch scientific India’s first scientific mission, missions to space on a regular basis as Chandrayaan-1, was launched by ISRO well as develop a human spaceflight in October 2008. This unmanned mis- program in the not-too-distant future. sion to the Moon was accomplished for The Indian government’s consistent only U. S. $70 million. This lunar mis- support for space activities has been par- sion was achieved for considerably less tially induced by its efforts to increase than similar missions launched by the India’s stature in the world and the Japanese and Chinese around the same largely unacknowledged competition time. Its objectives were to advance with its northern neighbor, China. Indian technological capabilities and According to James Clay Moltz of the experience; prepare India for future uses U. S. Naval Postgraduate School’s of the Moon; and develop high resolu- Department of National Security Affairs tion remote sensing images of the Moon, in Monterey, California, there is “defi- to map out the Moon in terms of ele- nitely a space race between India and ments, minerals and topography.20 China for top regional prestige and India’s first mission to Mars was influence … . Evidence shows the two accomplished on project budget of only countries are watching each other’s U. S. $90 million. The Mars orbiter mis- activities in space very carefully and sion, successfully launched in October keeping score as to who is gaining and 2013, is equipped with five highly capa- losing influence.”18 ble experimental payloads, including From its humble beginnings in 1969, “the Methane Sensor, Thermal Infrared the Indian Space Research Organization Spectrometer, Mars Color Camera, (ISRO) has achieved an enviable status Lyman alpha photometer and Mars as the world’s sixth top space organiza- Exospheric Neutral composition ana- tion. “While its first fifty missions took lyzer.” The crucial objective of the mis- twenty-seven years, the next fifty took sion, of simply putting a satellite into place in the last ten years. Under current Mars orbit, was brilliantly achieved. planning nearly 60 missions will happen Prior to the mission, industry observers within a concentrated span of five years.” expressed the view that “simply to suc- Analysts point out that though the ceed at launching a spacecraft on an ISRO’s budget is less than one-tenth of Earth-to-Mars transfer orbit, success- NASA’s, it has been increased every year fully navigate it to Mars, successfully since the early 2000s, jumping from the 19 Neeta Lal, “India’s Space Ambitions, Space race picks up even as economy flags” 08 March 2013, ASIASENTINEL, http://www.asiasentinel.com/index.php?option=com_content&task 18 Neeta Lal, “India’s Space Ambitions, Space =view&id=5238&Itemid=404 (Last accessed: race picks up even as economy flags” 08 March August 30, 2015). 2013, ASIASENTINEL, http://www.asiasenti- 20 India launches first Moon mission,“22 nel.com/index.php?option=com_content&task October 2008, http://news.bbc.co.uk/2/hi/sci- =view&id=5238&Itemid=404 (Last accessed: ence/nature/7679818.stm (Last accessed: August 30, 2015). August 30, 2015). The Indian Space Program 109

Fig. 9.5 Image of Mangala Valles region of Mars from Indian Mars orbital mission (Graphic courtesy of the Indian Space Research Organization, ISRO) enter orbit at Mars, and operate it there projected launch date of either late 2017 at all would be major achievements for or early 2018. India, regardless of any scientific data Chandrayaan-2 (in Sanskrit return (Fig. 9.5).”21 Chandrayaan means “Moon-vehicle”) The Chandrayaan-2 mission for is the follow on to Chandrayaan-1. This detailed exploration of the Moon has a mission, in its current form, was entirely projected budget of just under U. S. $80 developed by the Indian Space Research million.22 This mission was initially Organization (ISRO). The mission is planned as a joint Indian-Russian ven- planned to be launched to the Moon by a ture. It was delayed primarily due to the geosynchronous satellite launch vehicle December 2011 failure of the Russian (GSLV). It includes a lunar orbiter, a Phobos-Grunt mission. Since Russia has lander and a lunar rover, all developed pulled out from the joint venture, India by India. is going ahead alone with a currently The objective of this mission will be to study specific sites such as the far side of 21 “India’s Mars Mission Current Status” the Moon. According to ISRO, the scien- Spaceflight101, May 30, 2015 http://www. tific goals of the mission are: “to further spaceflight101.com/mars-orbiter-mission- improve the understanding of the origin updates.html (Last accessed: August 30, 2015). and evolution of the Moon using instru- 22 “Chandrayaan-2 to cost Rs 426 crore,” 9 ments onboard [the] Orbiter and in-situ April 2011, online: http://www.indianexpress. com/news/chandrayaan2-to-cost-rs- analysis of lunar samples using [the] 426-crore/773971 (Last accessed: March 13, Lander and [the] Rover.” Two of the five 2013). payloads selected for the orbiter are: “(1) 110 9 Asian Space Programs: Japan, China and India

Imaging IR Spectrometer (IIRS) for map- If these launches continue to be nomi- ping of [the] lunar surface over a wide nal and low Earth orbit manned flights wavelength range for the study of miner- continue as planned then there may be a als, water molecules and hydroxyl pres- subsequent plan to send a crew to the ent; (2) Terrain Mapping Camera-2 Moon. The status of such a mission is (TMC-2) for preparing a three-dimen- currently unclear, with no specific launch sional map essential for studying the lunar date. mineralogy and geology.”23 As human history demonstrates, Finally, India is planning for its first other countries and private sector enti- manned mission with the objective of ties—some serious and others not so launching a crew of three Indian astro- serious—will try to follow these devel- nauts into low Earth orbit with a suc- opments in an effort to search for natural cessful return to Earth.24 The Indian resources, wealth, and colonization in crew module is temporarily named outer space and on celestial bodies at Orbital Vehicle. It is currently intended least in our Solar System. to be the basis of the several “manned missions.” This space capsule (or “module”) is designed to carry three people, Conclusions and a planned upgraded version will be equipped with rendezvous and docking The foregoing discussion clearly dem- capability. In its maiden manned mis- onstrates that in the national space poli- sion, this largely autonomous 3.7-ton cies and programs of the major capsule will orbit Earth at a 400-km spacefaring countries, there is a strong (250-mile) altitude. The crew vehicle is focus on space exploration but with planned to be launched on ISRO’s geo- some clear practical intent behind many synchronous launch vehicle Mark of the missions that focus primarily on III. This Hindustan Aeronautics Limited the Moon, Mars and asteroids. A major (HAL)-manufactured crew module had common objective can be found in the its first unmanned experimental flight on desire to learn about natural resources in December 18, 2014, and the flight was space in order to determine their utility successful25 (see Fig. 9.6). and relevance for purposes of future exploitation. Exploitation of such natural resources has not yet occurred, but its 23 R. Ramachandran, “Chandrayaan-2: India to feasibility is becoming clearer as addi- go it alone” January 22, 2013, online: http:// tional space launch technology, robotic www.thehindu.com/news/national/chandray- aan2-india-to-go-it-alone/article4329844.ece mining systems, remote power systems (Last accessed: August 30, 2015). and tele-operations are developed. 24 Srinivas Laxman, “Japan SELENE-2 Lunar When exploitation of these natural Mission Planned For 2017, July 16, 2012, resources begins, it is critical that the online: http://www.asianscientist.com/topnews/ major legal, regulatory and standards japan-announces-selene-2-lunar-mission-2017/ issues be resolved—hopefully on the (Last accessed: March 13, 2013). basis of a global consensus. 25 K.S. Jayaraman (11 February 2009), Designs for India’s First Manned Spaceship Revealed, It is assumed by many that the use of Bangalore: Space.com (Last accessed: August the natural resources in space and their 30, 2005). exploitation will indeed materialize at Conclusions 111

Fig. 9.6 Indian Orbital Vehicle and GSLV Mark III launch vehicle (Graphic courtesy of the Indian Space Research Organization, ISRO.) some point—perhaps in the relatively and reasonable balance between the near future. Linked to this hypothesis, it interests of private investors and those in is also assumed that governments will the public sector with protection of the remain key actors in space while the pri- rights of all that are involved. vate sector will also continue to expand Rivalries and competition coupled its role in space. The future potential with cooperation in various forms seems exploitation and use of these natural to be the order of the day, particularly in resources will not likely be left in the space exploration missions for natural hands of the private sector, even if they resources. This certainly seems to be should ultimately play a significant true as between China and the United role in space mining operations. This States as well India and China. The pref- strongly suggests the need for a good erences and interests of a diverse group 112 9 Asian Space Programs: Japan, China and India of nations (and their respective private should be kept in mind that the new companies) that are or will be involved international political climate will pres- in such exploration are/will be different, ent a scenario different from the one that and this will make deliberations on any existed at the time of negotiations for possible international regulatory regime the 1967 Outer Space Treaty as well as much more complex and difficult. It the 1979 Moon Agreement. The International Legal Framework 10

As described in detail in the preceding sustainable exploitation, environmental chapters, beyond exploration there is protection, safety standards and proce- also a clear and sustained desire among dures, and the difficulty in achieving spacefaring nations to prospect for and consensus on the legal principles gov- eventually exploit the natural resources erning such activities, will undoubtedly found in space.1 The emergence and have a direct impact on the varied politi- increasing involvement of the private cal and commercial interests of States (i.e., non-governmental) sector in the and other stakeholders. conduct of space activities is also an There are several central issues here. important trend that is growing expo- First, there is the issue of whether or not nentially in scope. Exploration for these outer space truly constitutes a “global natural resources has become a truly commons.” Secondly, there are many international issue with far reaching pending concerns about the nature of political, commercial and strategic enforcement systems in space and implications. As a consequence, com- whether this will ultimately lead to the mon international concerns, such as the deployment of weapons or defensive freedom of exploiting space for its natu- forces in outer space. Thirdly, there is ral resources, the sharing of benefits of the question of the future size and import such exploitation, orderly and of a space economy and whether this will ultimately be a significant part of world economic interests. 1 The term ‘space exploration’ refers to all Although it has not yet occurred as of activities related to discoveries in outer space and natural resources of the planets (other than the time of this writing, the exploitation those of the Earth) by the use of robotics and of natural resources in space is becom- human space flights. The term ‘exploitation’ on ing increasingly feasible. When the the other hand means extraction and refinement exploitation of these natural resources of natural resources essentially for commercial begins in earnest, the legal issues and purposes. See: Ram Jakhu, Twenty Years of the Moon Agreement: Space Law Challenges for implications arising from them will be Returning to the Moon (2005) Zeitschrift für critical to its success. As such, it is Luft- und Weltraumrecht, 244. important to proactively anticipate and

© Springer International Publishing Switzerland 2017 113 R.S. Jakhu et al., Space Mining and Its Regulation, Astronautical Engineering, DOI 10.1007/978-3-319-39246-2_10 114 10 The International Legal Framework address some of those legal issues in the five U. N. space law agreements.3 order to ensure that the exploitation of Its purpose was to establish general these natural resources occurs in an principles to be applied prospectively orderly fashion when it actually becomes to govern space activity. It therefore practicable. This chapter describes and creates binding legal obligations for analyzes the existing international legal the States that are party to it. Indeed, framework (and the shortcomings some of the principles contained in the thereof) that governs the exploration, 1967 Outer Space Treaty have become use and exploitation of natural resources customary international law as they in space. have been widely accepted by the International space law governs the international community, and State conduct of space activities of any kind, practice associated with those princi- including the exploration, use and ples has also been consistent.4 Such exploitation of the natural resources of principles are therefore equally appli- outer space and of celestial bodies. cable to States’ parties as well as non- Many of the principles, rules and regu- States’ parties to the 1967 Outer Space lations of international space law have Treaty. been codified in the five space law The 1979 Moon Agreement is the treaties adopted under the auspices of fifth and last international space law the United Nation’s Committee on instrument adopted under the auspices Peaceful Uses of Outer Space (UN of the UN COPUOS. It was specifically COPUOS) between 1967 and 1979.2 negotiated and adopted to set out prin- The 1967 Outer Space Treaty is the ciples and rules governing humankind’s first and the most widely accepted of exploration, use and exploitation of the natural resources of the Moon and other celestial bodies. So far, the Moon 2 These are: Treaty on Principles Governing the Agreement has been signed by four 5 Activities of States in the Exploration and Use States and ratified by 16. It entered into of Outer Space, including the Moon and Other force on July 11, 1984, but the scope of Celestial Bodies 27 January 1967 18 UST application of its provisions is limited 2410; TIAS 6347; 610 UNTS 205 [1967 Outer Space Treaty Agreement on the Rescue of ]; 3 Astronauts, the Return of Astronauts and the As of 4 April 2016, there were 104 States Return of Objects Launched into Outer Space Parties to this Treaty and 25 other States that 22 April 1968 19 UST 7570; TIAS 6599; 672 have signed but not ratified it. For the text of the UNTS 119 [1968 Rescue Agreement]; Treaty, see Appendix to this book. Convention on International Liability for 4 See Ronald L. Spencer, Jr, “International Damage Caused by Space Objects 29 March Space Law: A Basis for National Regulation” 1972 24 UST 2389; TIAS 7762; 961 UNTS in Ram S Jakhu, ed, National Regulation of 187 [1972 Liability Convention]; Convention Space Activities (Heidelberg: Springer, 2010), on Registration of Objects Launched into Outer p. 1. Space 14 January 1975 28 UST 695; TIAS 5 As of 4 April 2016, there were 16 States 8480; 1023 UNTS 15 [1975 Registration Parties to the Moon Agreement. The 4 other Convention]; and, the Agreement Governing States that have signed but not ratified it are: the Activities of States on the Moon and Other France, Guatemala, India and Romania. For the Celestial Bodies 18 December 1979 18 ILM text of the Agreement, see Appendix to this 1434; 1363 UNTS 3 [1979 Moon Agreement]. book. 10 The International Legal Framework 115 exclusively to the 16 States Parties pres- before the U. S. Senate’s Committee on ently. The 1967 Outer Space Treaty and Foreign Relations on the Outer Space the 1979 Moon Agreement are the two Treaty, Ambassador Arthur Goldberg, U. N. space law agreements that directly who had participated in the treaty nego- address the exploration, use and exploi- tiations on behalf of the United States, tation of the natural resources of the correctly identified the above-men- Moon and other celestial bodies. As tioned principles and underlined that such, this chapter only analyses the pro- “any document must be read in its visions of these two treaties. entirety, and you must take article I and For a proper understanding of the read it in reference to articles II, III, IV, applicable law in its present form (lex the whole Treaty. You cannot isolate lata), it is imperative to follow the gen- one section and read it in isolation, and eral rule for the interpretation of treaties when you read it as a whole, you get the as set out in Article 31(1) of the Vienna meaning of the Treaty.”7 In this chapter Convention on the Law of Treaties.6 we follow this approach in order to pro- The provision provides that “A treaty vide a clear understanding of the pre- shall be interpreted in good faith in cise nature and scope of the provisions accordance with the ordinary meaning of both the Outer Space Treaty and the to be given to the terms of the treaty in Moon Agreement. their context and in the light of its object International space law constitutes a and purpose.” Moreover, the law as it is specialized branch of international law. (lex lata) must not be confused with the As such, the default rule is that recourse law as it should be (lex de ferenda) or may be had to general principles of the law as it should have been. In addi- international law to resolve novel situation, it should be kept in mind that an tions that are not specifically addressed international treaty is usually a result of by the existing specialized body of compromises between the different international space law. In addition to views and perspectives held and the provisions of the five U. N. space advanced by the nations involved in the law treaties, there are many other inter- process of negotiating the treaty. These national legal principles, rules and compromises are incorporated in increasingly, guidelines (or what has various parts or articles of that treaty. been termed by some commentators as Therefore, in order to fully understand “soft law” rules) that also govern the the precise and accurate nature and conduct of space activities at the inter- scope of a treaty provision setting out a national level. To the extent that they principle or rule of law, one must not may be adapted to suit the unique envi- focus exclusively on the language of a ronment of outer space, including the single provision or article but must read celestial bodies, some of the principles the provision or article in the context of, or in relation to, the other provisions or 7 articles of the treaty. In his testimony Treaty on Outer Space, Hearings Before The Committee on Foreign Relations, United States Senate, Ninetieth Congress, First Session, 6 Vienna Convention on the Law of Treaties, 23 Executive, D, 90th Congress, First Session, May 1969, 1155 UNTS 331 [VCLT]. March 7, 13 And April 12, 1967, pp. 33 and 34. 116 10 The International Legal Framework of general international law that govern tional law and are not subject to resource exploitation and environmental national appropriation.8 protection in the terrestrial “global commons” could provide a basis for a future These stipulations were incorporated international governance regime for the with minor refinements into the opera- exploitation of the natural resources tive part of the 1963 resolution of the found in space. In resorting to these gen- U. N. General Assembly,9 as well as in eral principles, however, extreme care the binding provisions of the Outer must be taken to avoid transposing legal Space Treaty, thereby affording them regimes that have been developed spe- the status of customary international cifically to govern the conduct of terres- law. The U. N. General Assembly unani- trial activities into space on a wholesale mously adopted the Outer Space Treaty basis. Any such exercise is bound to fail, in 1967. The unanimous adoption of this since the physical environment of outer treaty highlights the agreement between space is unique and different from other States on the need to achieve broad global commons. international cooperation in the scientific as well as the legal aspects of the exploration and use of outer space for The 1967 Outer Space Treaty peaceful purposes, as well as for the development of mutual understanding In 1957, the space age ushered in a new and the strengthening of friendly rela- and unprecedented era not only in global tions between States and peoples.10 scientific and technological progress but also in international law. The international community acknowledged this The Common Interest fact in 1961 under a U. N. General Principle and Freedom Assembly resolution, which under- of Exploration and Use scored the following principles: of Outer Space

(a) the common interest of mankind in Article I of the Outer Space Treaty pro- furthering the peaceful use of outer vides in relevant part as follows: space and the urgent need to strengthen international cooperation The exploration and use of outer space, including the Moon and other celestial in this important field; bodies, shall be carried out for the ben- (b) the exploration and use of outer efit and in the interests of all countries, space should be exclusively carried irrespective of their degree of economic out for the betterment of mankind and to the benefit of all countries, 8 UN General Assembly Resolution 1721 (XVI) irrespective of the stage of their eco- of 20 December 1961. nomic or scientific development; 9 UN General Assembly, Declaration of Legal and, Principles Governing the Activities of States in (c) outer space and celestial bodies are the Exploration and Use of Outer Space, free for exploration and use by all Resolution 1962 (XVIII), adopted without vote on 13 December 1963. States in conformity with interna- 10 Outer Space Treaty, Preamble. The 1967 Outer Space Treaty 117

or scientific development, and shall be Despite the recognized need to the province of all mankind. achieve a balance of interests, there are Outer space, including the Moon and other celestial bodies, shall be free several definitional issues that require for exploration and use by all States clarification. Firstly, there is no precise without discrimination of any kind, on a definition of the term “celestial bodies.” basis of equality and in accordance with Does it include all small and large bod- international law, and there shall be free ies in space, or does it refer only to large access to all areas of celestial bodies. planetary bodies and natural satellites, such as the Moon? In the absence of an The first paragraph of Article I of the internationally agreed upon definition, Outer Space Treaty contains the so- the ordinary meaning of “celestial bod- called common interest principle. It was ies” should be used. According to proposed in the UN COPUOS by devel- Universe Today, “a celestial body is any oping countries (led by Brazil) in order natural body outside of the Earth’s to legally protect and guarantee their atmosphere.”12 Thus, any asteroid is a future right to explore and use outer celestial body irrespective of whether it space and the celestial bodies when they is known or unknown, its dimensions, eventually become economically and orbit, speed and distance from Earth. scientifically capable of doing so. It may The asteroid Ceres, with its size approx- be noted that the incorporation of this imately equal to the state of Texas, is “a principle in the binding or operative part celestial body that is by far the largest of the treaty, rather than in the non-bind- and most massive asteroid in the belt ing or aspirational preamble, was the between Mars and Jupiter … . The aster- result of one of the compromises that oid Cruithne is sort of small and indis- paved way for the final adoption of the tinct until you consider that it is locked treaty. After the completion of the draft in a 1:1 orbit with the Earth.”13 Manfred treaty in the UN COPUOS, the U. S. Lachs, who served as the chairman of delegate stated that: the Legal Sub-Committee of the UN COPUOS during the negotiation of the [the] spirit of compromise shown by the Outer Space Treaty and was the presi- space Powers and the other Powers had produced a treaty which established a dent of the International Court of Justice fair balance between the interests and (ICJ), aptly observed that there are obligations of all concerned, including “myriads of celestial bodies-from giants the countries which had as yet undertaken no space activities … [Article I para 1] like the provision prohibiting I, Paragraph 1, was not “a mere statement of the national appropriation by claim of sov- rights of States” but was designed “to guarantee ereignty, was a strong safeguard for that the interests, not only of individual States, those States which at present had no but of all countries and of the international space programme of their own.11 community as a whole, would be protected.” UN. Doc. A/A C. 1 05/C. 2/SR. 57 (20 October 11 Official Records of the General Assembly, 1966), at 12. Twenty-First Session, First Committee, 12 Jerry Coffey, “CELESTIAL BODY,” Summary Records of Meetings, 1492nd UNIVERSE TODAY, 27 December 2009, Meeting, 17 December 1966, UN Doc. A/C.1/ available online at: http://www.universetoday. SR. 1492, pp. 427- 428. (Emphasis added). com/48671/celestial-body/ Similarly, the Soviet delegate stated that Article 13 Ibid. 118 10 The International Legal Framework to micro-meteorites, yet size could not time, the international community nego- be accepted as a test for their legal sta- tiated the treaty well before space activi- tus” and submitted that for “the present, ties matured. Therefore, the treaty was the term ‘celestial bodies’ as employed designed to contain a few prohibitions, in the relevant instruments should there- but several freedoms of action and fore be viewed as the largest common numerous prescriptive obligations for denominator of all ‘land areas’ in outer States, with which all States Parties to space.”14 Any classification of celestial the treaty must comply. It must be under- bodies according to size for the purpose stood that the second paragraph of of determining whether these bodies fall Article I covers all space activities that under the scope of existing international were known or unknown at the time of space law would be arbitrary, controver- the conclusion of the Outer Space Treaty, sial and legally untenable. Thus, in sum- whether or not they are specifically and mary, all planets, comets, stars, expressly mentioned in the treaty. For asteroids, and meteorites, irrespective of example, satellite remote sensing activi- their sizes, forms and orbits, are celes- ties were known at the time but not spe- tial bodies and must be considered regu- cifically mentioned in the treaty. While lated under international space law, the operation of private space stations, including the Outer Space Treaty and active space debris removal and on-orbit the Moon Agreement. servicing of satellites were neither The second paragraph of Article I of known nor mentioned at the time of the Outer Space Treaty reflects the fun- drafting, they all fall within the ambit of damental principle of freedom of explo- the treaty, as they can all be encapsulated ration and use of outer space and is also under the term “space activities.” known as the “freedom principle.” Such Since the terms freedom for “explo- freedom was designed and has been ration” and “use” are not defined in the recognized to be broad in nature and Outer Space Treaty, they must be inter- scope since the objective of the Outer preted in good faith in accordance with Space Treaty was to create an interna- the ordinary meaning to be given to tional governance regime for all space these terms in their context and in the activities rather than to regulate any light of the object and purpose of the specific one. treaty. Thus they should be understood In general, many international treaties to mean what they convey in the normal have been reactive. They are often sense, including exploitation of space’s adopted to resolve certain existing issues natural resources with the application of and often contain prohibitions or limita- current and future space technologies. tions upon specified actions of States. Moreover, being declaratory in nature, On the contrary, the Outer Space Treaty the second paragraph of Article I recog- is proactive in nature. Although two nizes the freedoms of exploration, use States, the United States and the former and exploitation of outer space and Soviet Union, were essentially the only celestial bodies not only by States ones involved in space operations at the Parties to the Outer Space Treaty but by all States. In addition, not only the 14 Manfred Lachs, The Law of Outer Space: An States but also their public and private Experience in Contemporary Law-Making, entities (private corporations) are enti- 1972, p.46. tled to such freedoms, though the latter The 1967 Outer Space Treaty 119 can exercise the freedoms contained in the limits imposed (the parameters pre- the treaty only pursuant to (as deter- scribed or to the extent allowed) by the mined by) authorization (licensing) and Outer Space Treaty and other applicable continuous supervision of their respec- principles and rules of international law. tive States.15 In other words, private cor- The second paragraph of Article I of the porations, at least those that are under Outer Space Treaty itself contains three the jurisdiction of States that are party to main limits upon or requirements for the the Outer Space Treaty, are not permit- exercise of freedoms of exploration, use ted to carry out any space activity, and exploitation. States must exercise including the exploitation of natural their freedom (1) “without discrimina- resources in space, without the permis- tion of any kind,” (2) “on a basis of sion of their respective governments. equality” and (3) “in accordance with States may exercise the freedoms international law.” The phrase “without guaranteed under the second paragraph discrimination of any kind,” read in con- of Article I individually or in collabora- junction with the preamble and provi- tion with other States or their public or sions of the first paragraph of Article I of private entities through joint ventures or the treaty, implies that the first explor- international intergovernmental organi- ers, users and exploiters of outer space zations.16 Such international organiza- and the celestial bodies cannot use the tions are not able to become party to the lateness of other States as a basis for treaty or declare their acceptance of the jeopardizing the freedoms of the latter rights and obligations provided therein. States to explore, use and exploit outer However, in all situations the responsi- space. The phrase “on a basis of equal- bility for compliance with all the provi- ity” indicates the legal equality of the sions of Outer Space Treaty is borne by right of freedom of all States, which the concerned States, even when space implies equality in law (i.e., de jure activities are carried out by international equality) or “sovereign equality” as rec- organizations. Article VI of the Outer ognized in Article 2(1) of the Charter of Space Treaty also imposes responsibil- the United Nations.17 Finally, the phrase ity to comply with the provisions of the “in accordance with international law” treaty on the concerned international requires compliance with current and organization (in addition to the States future principles and rules of conven- Parties to the treaty participating in such tional and customary international law an organization); however, in practice, it as well as the Charter of the United could become a challenge to ensure the Nations. An interesting example of this compliance of an international organiza- is the prohibition of abuse of rights.18 tion when the organization is not party to the treaty. 17 Charter of the United Nations, 26 June 1945, It is imperative to keep in mind that, CAN TS 1945 No 7. although the freedom of exploration, use 18 According to Alexandre Kiss, under “interna- and exploitation is broad in nature and tional law, abuse of rights refers to a State exer- scope, it certainly is not unfettered and cising a right either in a way which impedes the absolute and must be exercised within enjoyment by other States of their own rights or for an end different from that for which the right was created”: Alexandre Kiss, “Abuse of 15 Outer Space Treaty, Art. VI. Rights,” 2006, available online at Oxford 16 Outer Space Treaty, Art. XIII. Public International Law: http://opil.ouplaw. 120 10 The International Legal Framework

The other provisions of the Outer Prohibition of Appropriation Space Treaty set out three specific limits of Outer Space and Celestial on the exercise of the freedoms guaran- Bodies teed in the second paragraph of Article I as follows: (a) the requirement to com- While the first and second paragraphs of ply with the common interest principle Article I contain a prescriptive provision (as discussed above); (b) the prohibition and a freedom respectively, Article II of of national appropriation under Article the Outer Space Treaty sets out one of II (as discussed below) and (b) the the few prohibitions found in the treaty. requirement to pay “due regard to the It provides that outer space, including corresponding interests of all other the Moon and other celestial bodies, is States Parties to the Treaty” as incorpo- not subject to national appropriation by rated in Article IX. Any exercise of the claim of sovereignty, by means of use or freedoms under the second paragraph of occupation, or by any other means. Article I by States, or by the entities for This article contains the so called which they are responsible, outside or “non-appropriation principle” and is contrary to the above-mentioned (and complementary to and a necessary pre- other applicable) limits or requirements requisite for, the common interest and will be unlawful from an international freedom principles. Outer space and the law perspective. Any such illegal action celestial bodies simply cannot be of a State Party to the Outer Space explored and used freely by, and for the Treaty may give rise to an international benefit of, all countries if some are conflict and thus could further put the allowed to appropriate these commons State in violation of its obligation speci- of humankind. The underlying rationale fied in Article III; i.e., duty to carry on and purpose of Article II were expressed its space activities “in the interest of in a statement made by Herbert Reis, the maintaining international peace and U. S. representative to the UN COPUOS security and promoting international during the second session of the Working co-operation and understanding.”19 Group on Direct Broadcast Satellites Violation of any international obligation meeting held on 31 July 31, 1969: entails international responsibility under international law. The negotiating history of the [Outer Space] Treaty shows that the purpose of this provision [Article II] was to prohibit a repetition of the race for the acquisition of national sovereignty over overseas territories that developed in the sixteenth, seventeenth, eighteenth and nineteenth com/view/10.1093/law:epil/9780199231690/ centuries. The Treaty makes clear that no law-9780199231690-e1371 Admitting that the user of space may lay claim to, or seek to prohibition of abuse of rights is “problematic establish, national sovereignty over outer 20 because of differences in the content of the con- space or a celestial body. cept itself” Kiss asserts that the “idea that a subject [State] of rights and competences can 20 Cited from Erik N. Valters, ‘Perspectives in misuse them seems to be inherent to legal the Emerging Law of Satellite Communications’ thinking and to have roots in all legal systems (1970) 5 Stanford Journal of International and leads to the establishment of controls on Studies 53, at 66 - 67. Also cited in Kathryn the use of recognized rights.” Ibid. M. Queeney, Direct Broadcast Satellites and 19 Outer Space Treaty, Art. III. the United Nations, BRILL, 1978, p. 54. The 1967 Outer Space Treaty 121

This statement reflects the strong ple, on August 4, 1966, the Belgian rep- desire of the negotiating States to dis- resentative to UN COPUOS noted that continue the traditional practice of the term “non-appropriation,” advanced extending national sovereignty to other by several delegations—apparently territories that on Earth and throughout without contradiction by others—cov- human history has resulted in the brutal ered both the claims of sovereignty and colonization (and deaths) of millions of “the creation of titles to property in pri- people, countless tragedies, numerous vate law.”23 Similarly, on December 17, and ferocious wars, the spread of dis- 1967, the French delegate to UN eases, degradation of the environment, COPUOS stressed that a basic principle and the reckless exploitation, and even of the 1967 Outer Space Treaty was that depletion, of natural resources. This also there was a “prohibition of any claim to clearly explains the rationale for incor- sovereignty or property rights in porating a very broad prohibitive provi- space.”24 According to Manfred Lachs, sion against appropriation in Article II. the celestial bodies “cannot be subjects Article II prohibits “national” appro- of proprietary rights.”25 Similarly, Dr. priation of outer space and celestial bod- Manfred A. Dauses is of the view that ies but is silent on the question of the “term ‘appropriation by means of appropriation by individuals or private use’ may be interpreted as the establish- entities. According to Stephen Gorove ment of exclusive rights over certain “an individual acting on his own behalf uses of particular segments of space or or on behalf of another individual or a celestial bodies, such as exclusionary private association or an international rights of way or the monopolistic exploi- organization could lawfully appropriate tation of cosmic resources.”26 any part of outer space.”21 Such interpre- It is clear that the non-appropriation tation of Article II is illogical and unten- principle prohibits the appropriation of able.22 As noted above, States are under outer space by claim of sovereignty, by obligation to ensure compliance with means of use or occupation, or by any the provisions of the Outer Space Treaty means whatsoever. This intentionally by their private entities. If private appro- designed provision is very broad and priation were permitted to appropriate makes it absolutely clear that traditional outer space and celestial bodies, it would means of acquisition of territory or any defeat the purpose of the treaty and nul- other means will not be a justification lify the common interest and freedom for appropriation of outer space, celes- principles. Moreover, the negotiating tial bodies or parts thereof. The meaning history of the Outer Space Treaty clearly of the concept of “use” that appears indicates that both public and private property rights are not allowed in outer 23 Cited in Carl Christol, Article 2 of the 1967 space and on celestial bodies. For exam- Principles Treaty Revisited, IX (1984) Annals of Air and Space Law, 217, at 236. 24 Ibid, at 218. 21 Stephen Gorove, Interpreting Article II of the 25 Manfred Lachs, supra note 14. Outer Space Treaty, 37 Fordham L. Rev. 349 26 Manfred A. Dauses, THE RELATIVE (1969), at 351. AUTONOMY OF SPACE LAW, available online 22 Ram Jakhu, “Legal Issues Relating To the at: https://opus4.kobv.de/opus4-bamberg/files/ Global Public Interest in Outer Space,” 32 6652/The_Relative_Autonomy_of_Space_ Journal of Space Law (2006) 31, at 44-46. LawOCRseA2.pdf. 122 10 The International Legal Framework within the non-appropriation principle so-called Bogota Declaration, asserted as prescribed in Article II of the Outer that “the segments of geostationary syn- Space Treaty must be considered in light chronous orbit are part of the territory of the terms of Article I, which denotes over which Equatorial states exercise the principle of the freedom of “use” their national sovereignty.”28 The inter- and must naturally encompass the national community rejected this proc- exploitation of the natural resources of lamation as being contrary to the Outer outer space and celestial bodies. It Space Treaty, particularly its Article II.29 would appear that although the “use” of It should be noted that the three branches outer space is permitted for all States, of the U. S. government (i.e., the including their governmental and non- Legislative,30 Executive31 and governmental entities, under no circumstances would any amount of such “use” ever suffice to justify a claim of sover- 28 Declaration of the First Meeting of Equatorial eignty or ownership over the whole or Countries, adopted and signed in Bogota by the Heads of Delegations on December 3, 1976. The any part of outer space, including the text of the Declaration is available online at: Moon and other celestial bodies. This https://bogotadeclaration.wordpress.com/ construction of the meaning of Articles I declaration-of-1976/ and II of the Outer Space Treaty implies 29 Ram Jakhu, “The Legal Status of the that the exploitation of the natural Geostationary Orbit“, VII Annals of Air and resources of the Moon and other celes- Space Law, 1982, pp. 333-352. 30 tial bodies constitutes a use of outer Under section 403 of the Space Resource Exploration and Utilization Act of 2015 (51 space that is contemplated by the free- USC Title IV, Pub. L. 114-90; Bill HR 2262), dom principle specified in the Outer which was signed by President Barack Obama Space Treaty … . However, for the pur- on 25th November 2015, the U.S. Congress poses of Article II of the Outer Space issued a disclaimer of extraterritorial sover- Treaty, this use does not, and can never eignty expressing that “by the enactment of this Act, the United States does not thereby assert be such as to constitute a “national sovereignty or sovereign or exclusive rights or appropriation” [of outer space] giving jurisdiction over, or the ownership of, any rise to ownership rights.27 celestial body.” Since the adoption of the Outer Space 31 On 16 February 2000, Mr. Gregory Nemitz Treaty, several attempts have been made (Chief Executive Officer of Orbital to appropriate or assert ownership rights Development of San Diego, USA) sent a claim to U.S. National Aeronautics and Space in outer space or over celestial bodies. Administration (NASA) for payment of a $20 The first attempt to appropriate a part of “parking/storage fee” for NASA’s Near Earth outer space was made in 1976. Eight Asteroid Rendezvous Shoemaker spacecraft equatorial countries (namely, Brazil, that landed on the asteroid 433 Eros on the Colombia, Congo, Ecuador, Indonesia, basis that “since March 3, 2000 Orbital Development has owned Eros by virtue of a Kenya, Uganda, and Zaire), under the property claim filed on that date with an organization called Archimedes Institute.” (See: http://www.orbdev.com/010309.html) Refuting 27 Steven Freeland and Ram S Jakhu, such a claim, Mr. Edward A. Frankle, the “Commentary on Article II of the Outer Space General Counsel with NASA, responded on 9th Treaty” in Stephan Hobe, Bernhardt Schmidt- March 2001 to Mr. Nemitz by expressing Tedd & Kai-Uwe Schrogl, eds, Cologne NASA’s position that “the Article II of the Commentary on Space Law Vol. 1 (Cologne: Outer Space Treaty of 1967, to which the Carl Heymanns Verlag, 2010) at 53. United States is a party, states: “Outer space, The 1967 Outer Space Treaty 123

Judiciary32) have declared their accep- confirmed the non-appropriative charac- tance of and respect for the non-appro- ter of outer space, the Moon and other priation principle, which applies to both celestial bodies. Freeland and Jakhu public and private entities. Similarly, aptly conclude that the prohibition of Chinese33 and Canadian courts34 have appropriation specified in Article II of the Outer Space Treaty has become a including the moon and other celestial bodies, rule of customary international law (in is not subject to national appropriation by claim the form of a jus cogens norm35) and is of sovereignty, by means of use or occupation, thus applicable to all States, whether or or by any other means.” 610 U.N.T.S. 205, 18 not they are parties to the Outer Space U.S.T. 2410. If Orbital Development or its prin- Treaty. All States are under an obliga- cipals are U.S. nationals, this treaty provision would seem to preclude any claim to own Eros. tion not only themselves to comply with Therefore, NASA respectfully declines to make the principles set out in Article II, but the requested payment at this time.” Ibid. also to ensure that their respective non- 32 Not being satisfied by NASA’s response governmental entities do not in any (Ibid.), Mr. Nemitz took his case to the Federal manner or form act contrary to this District Court in the State of Nevada, which important legal norm.36 dismissed his claim of a private property rights on an asteroid by ruling that “neither the failure [by] … the United States to ratify the … Moon Treaty, nor … the Outer Space Treaty, created Prohibition of Appropriation any rights in Nemitz to appropriate private of Space Natural Resources property rights on asteroids.” Nemitz v. U.S., Slip Copy, 2004 WL 316704, D. Nev., 26 April 2004. On appeal, the Ninth Circuit Court of The question that arises is whether the Appeals upheld the ruling of the lower court prohibition of appropriation of outer “for the reasons stated by the district court.” space and celestial bodies extends to Nemitz v. NASA, 126 Fed. Appx. 343 (9th Cir. their natural resources. In other words, (Nev.) 10 February 2005). is it legitimate for a State, or its public 33 In 2007, the Beijing First Intermediate People’s entities and private companies, to Court ruled against the Lunar Embassy in China Company, which was selling plots on the Moon, exploit, take possession or ownership of stating that no individual or State could claim natural resources in space to the ownership of the Moon. In its pronunciation the Court cited the fact that China was a party to the Outer Space Treaty, which prohibits appropria- Man sues for ownership of most of solar sys- tion of outer space and its parts. See: Court tem, QMI Agency, 1 March 2012, available Rejects Lunar Embassy’s Right of Moon Land online at: http://cnews.canoe.com/CNEWS/ Selling, Xinhua News Agency March 17, 2007, WeirdNews/2012/03/01/19445846.html available online at: http://www.china.org.cn/ 35 Principle of jus cogens, according to Article english/China/203329.htm. Also see: 53 of the VCLT is “a peremptory norm of gen- Beijing authorities suspend license of eral international law is a norm accepted and “Lunar Embassy”, November 07, 2005, avail- recognized by the international community of able online at: http://en.people.cn/200511/07/ States as a whole as a norm from which no eng20051107_219609.html derogation is permitted and which can be modi- 34 In 2012, Judge Alain Michaud declared fied only by a subsequent norm of general inter- Sylvio Langevin, a Quebec man, to be a quar- national law having the same character.” A relsome litigant barring him from filing law- treaty is void if, at the time of its conclusion, it suits claiming ownership over nine planets, conflicts with a norm of jus cogens. Ibid. four of Jupiter’s moons as well as the space 36 Steven Freeland and Ram S Jakhu, supra note between the heavenly bodies. See: Brian Daly, 27, at 63. 124 10 The International Legal Framework exclusion of all other States and their Directors of the International Institute of entities? Is the exercise of private prop- Space Law (IISL) issued a position erty rights over these natural resources paper on space resource mining on compatible with the provisions of the December 20, 2015.39 The central point Outer Space Treaty? of the IISL position is that “in view of Some space law writers37 and States, the absence of a clear prohibition of the particularly the United States, are of the taking of resources in the Outer Space view that Article II does not prohibit Treaty one can conclude that the use of exploitation of natural resources. In space resources is permitted.”40 other words, while the surfaces of the It is respectfully submitted that the Moon and celestial bodies are subject to rationale for and basis of the IISL posi- the non-appropriation provision of the tion do not seem to be fully accurate, and Outer Space Treaty, their natural thus its characterizations, conclusions resources can be appropriated. This and implications may not be supported view seems to be the rationale behind by the current lex lata. Firstly, the IISL the U. S. Space Act of 2015, pursuant to position appears to be based on the con- which U. S. citizens (including private cept that under international law “what is corporations) may be authorized to not prohibited is permitted.” The engage in commercial exploration for Permanent Court of International Justice and commercial recovery of space employed this concept obiter dictum41 in resources free from harmful interfer- the 1927 Lotus case.42 The obiter dictum ence, [but] in accordance with the inter- and the reasoning of the PCIJ on the real national obligations of the United States issue of the Lotus have been extensively and subject to authorization and con- criticized by scholars and rejected by the tinuing supervision by the federal ICJ as well as the international commu- government.38 nity.43 Moreover, several renowned The national law aspects of the Act space law scholars, including Manfred are discussed in the next chapter of this Lachs and Carl Christol, have categori- book. After analyzing the provisions of cally declared that the rationale of the this act and its compatibility with the Lotus case (including the above- Outer Space Treaty, the Board of mentioned concept) is inapplicable to outer space matters.44 37 For example, Tanja Masson-Zwaan, has been reported to be of the opinion that “existing treaties do not seem to prohibit ownership of 39 The Text of the IISL Position Paper is avail- extracted resources”; in Marcia S. Smith, able at IISL: http://www.iislweb.org/docs/ “Posey, Kilmer Introduce ASTEROIDS Act To SpaceResourceMining.pdf Grant Property Rights to Asteroid Resources”, 40 Ibid, section II.2. 10 July 2014, available online at http://www. 41 Obiter dictum” spacepolicyonline.com/news/posey- “ is only an observation which kilmer-introduce-asteroids-act-to-grant-prop- is not necessary or important in determining the erty-rights-to-asteroid-resources central issue in a case before a court of law. 42 The Case of the S.S. Lotus 38 Section 403 of the Space Resource (Fr. v. Turk.), 1927 Exploration and Utilization Act of 2015 (51 P.C.I.J. (ser. A) No. 10 (Sept. 7) USC Title IV, Pub. L. 114-90; Bill HR 2262). 43 For details, see Ram Jakhu, supra note 22, at For the text of the Act, see Appendix to this 41-42. book. 44 Ibid. The 1967 Outer Space Treaty 125

Secondly, if “the use of space “use” is considered to include the resources is permitted,” then the ques- exploitation of space’s natural resources tion of the source (legal basis) of that under Article I, it should also be encom- “permission“ arises. It is submitted that passed under Article II and in turn pro- the freedoms guaranteed in the second hibit the appropriation of these natural paragraph of Article I of the Outer Space resources. Thus, in essence, what the Treaty is the source (legal basis) for per- Outer Space Treaty allows “use” of mitting resource exploitation in outer outer space and celestial bodies but pro- space. In other words, the freedom to hibits their “appropriate by use”. exploit these natural resources is within In practice, it may be difficult and the Outer Space Treaty and not outside complex to draw a line between legiti- this international legal regime-creating mate “use” and the prohibited “appro- treaty.45 Thirdly, the Outer Space Treaty priation by use” of outer space and its uses the terms “exploration and use” but natural resources, but such complexity not “exploitation” of outer space and must not nullify the effect of both the celestial bodies and their natural legal principles of freedom and non- resources. As indicated above, the “use” appropriation. It should be noted that the of outer space as prescribed in Article I IISL position is not the firm and final of the Outer Space Treaty encompasses statement of lex lata as it aptly acknowl- “resource exploitation.” If the term edges that in the absence of a clear prohibition of the taking of resources in the Outer Space Treaty, “[T]he new United 45 Some space law writers are of the opinion that space natural resources can be exploited, States Act is a possible interpretation of without the constraints of Article II ‘appropria- the Outer Space Treaty. Whether and to tion’ based on the analogy with the law of the what extent this interpretation is shared sea. For example. Fabio Tronchetti is of the by other States remains to be seen.”46 view that, “While some authors express the The three key legal principles incor- view that the restriction in Article II [of Outer Sapce Treaty] applies equally to outer space porated in the Outer Space Treaty (i.e., and its resources, others, the majority, argue common interest, freedom and non- that by analogy with the rules regulating the appropriation), which were painstak- freedom of the high seas, the appropriation of ingly and meticulously negotiated by the space resources merely forms part of the free- international community nearly half a dom of exploration and use of outer space. This paper shares the opinion of the second group of century ago, form a three-dimensional authors”: See Fabio Tronchetti, “The Moon and foundational pillars upon which the Agreement In The 21st Century: Addressing Its entire international legal regime for Potential Role in the Era of Commercial outer space and celestial bodies has been Exploitation of the Natural Resources Of The constructed. Disregard for one of them Moon And Other Celestial Bodies”, 36 Journal of Space Law (2010) 489, at 498. (Footnotes will certainly result in the weakening of omitted and emphasis added). This sort of anal- that foundation and consequently in the ogies are appropriately refuted by Philip de collapse of the entire global space order Man, See Philip de Man, Exclusive Use in an in place today. They appear inconsistent, Inclusive Environment: The Meaning of the but with a careful examination of their Non-Appropriation Principle for Space Resource Exploitation, (2016), pp. 15-26 (Forthcoming publication in Springer: The 46 The IISL Position Paper, supra note 39, sec- Space Regulations Library Series). tion II.2. 126 10 The International Legal Framework provisions, carried out strictly in accor- with its international obligations, which dance with the internationally agreed would logically include its obligations upon rules of treaty interpretation, a fair under Articles I, II and IX of the Outer and logical balance of different provi- Space Treaty since the United States is sions, interests and perspectives can and party to that treaty. If by legislative fiat, should be understood and achieved. private U. S. corporations are entitled to It is therefore submitted that based on exclusive property rights over space nat- a combined reading of the provisions of ural resources without due regard to Articles I and II of the Outer Space these and other applicable provisions of Treaty, commercial exploitation of natu- the Outer Space Treaty, the U. S. action ral resources in space would constitute might be considered to be in violation of appropriation unless carried out in com- its international obligations. pliance with the requirements not only of It is also relevant here to discuss the Article I but also of other provisions of legal status of natural resources in space, the Outer Space Treaty. In other words, which in turn is based on whether or not the commercial exploitation of these outer space constitutes a global com- natural resources is permitted when car- mons. The term “global commons” is ried out in compliance with the require- not a legal concept but a political one ments of Article I and other provisions of that is primarily used by writers, jour- the Outer Space Treaty. Freeland and nalists and politicians for advocating Jakhu note a situation where the exploi- their respective perspectives and poli- tation of the natural resources of a celes- cies. In common parlance, the “global tial body—say, a small asteroid—is of commons” generally refers to some- such a scale that, in effect, the celestial thing that is common to all humanity body is exploited “out of existence” … and not subject to national sovereignty. could be unlawful, since it would, in all A typical example of a global commons likelihood, violate other principles of is the high seas, which, we must hasten international space law, such as the to add, is governed by a specific interna- requirement that it be “for the benefit tional legal regime.48 This broad and and in the interests” of all States’ and undefined term is without any legal ori- that due regard is to be paid to the cor- gin, basis and context, and it does not responding interests of all other States.47 precisely determine the lex lata of the It can, therefore, be concluded that status of natural resources in space, compliance of the U. S. Space Act of which should be decided exclusively on 2015 with the provisions of the Outer the basis of applicable international Space Treaty will depend upon the leg- space law, particularly the Outer Space islative and regulatory steps that the Treaty and the Moon Agreement. U. S. government would take in the Manfred Lachs’ views on this issue are implementation of this act through its quite pertinent, for he cautioned “the national regulatory system. The act ‘mechanical transfer’ of institutions requires the U. S. government to comply 48 United Nations Convention on the Law of the 47 Steven Freeland and Ram S. Jakhu, supra Sea, 10 December 1982, 1833 UNTS 3 (entered note 27, at 53. into force 16 November 1994). The 1979 Moon Agreement 127 from one environment to another is of that one of the principal objects of the little avail: it may lead to distortions and Moon Agreement is to promote the even seriously stunt the development of “exploitation” of the natural resources the new branch of law [like space of the Moon through its own provisions law].”49 However, such terms as global and provide for the eventual establish- commons may serve as models for the ment of a dedicated international regime development of new space law treaties to facilitate such exploitation.50 The (lex de ferenda). Moon Agreement is an improvement upon, and being later in time may likely prevail over, the provisions of the Outer The 1979 Moon Agreement Space Treaty for States that are parties to both these treaties. The Moon Agreement was intended to It is clear therefore that the prohibi- initiate discussions on, leading to the tion of national appropriation of outer eventual elaboration of, a detailed inter- space as prescribed in Article II of the national regime mainly for the explora- Outer Space Treaty and Article 11(2) of tion and exploitation of the natural the Moon Agreement does not in and of resources of the Moon and celestial bod- itself restrict the exploitation of the nat- ies when it is about to become feasible. ural resources of the Moon and other In this regard, the Moon Agreement celestial bodies, an activity that will builds upon the provisions of the Outer involve the removal of such resources Space Treaty insofar as they relate to the from the Moon and other celestial bod- use of the resources of the Moon and ies. Rather, the principle is directed other celestial bodies. towards preventing claims to ownership The terms of the Moon Agreement rights over outer space, celestial bodies are explicitly more conducive to the or portions thereof. Indeed, this position exploitation of the natural resources of is reinforced by the terms of Article the Moon and other celestial bodies. 11(3) of the Moon Agreement according First, Article 6(2) of the Moon to which the placement of inter alia per- Agreement explicitly grants to States’ sonnel, facilities or installations on or parties the right to collect and remove below the surface of a celestial body from the Moon samples of mineral and shall not create a right of ownership other substances during the conducting therein. In fact, similar to the provisions of scientific investigations. Further, in of Article II of the Outer Space Treaty the course of their scientific investiga- and Article 11(2) of the Moon tions, States’ parties may also use min- Agreement, the terms used in Article eral and other substances of the Moon in 11(3) of the Moon Agreement suggest quantities appropriate in support of their that the prohibition against the appro- missions. Secondly, although Article priation of outer space only extends to 11(2) of the Moon Agreement replicates natural resources while they are “in the prohibitions found in Article II of place” in outer space. Once the natural the Outer Space Treaty, it is believed 50 Steven Freeland and Ram S Jakhu, supra note 49 Manfred Lachs, supra note 14, p.21. 27, at 59. 128 10 The International Legal Framework resources have been removed or States Parties to [the Moon] Agreement extracted from their original locale on … undertake to establish an international regime, including appropriate the Moon or a celestial body, there is no procedures, to govern the exploitation of provision that prohibits the exercise of the natural resources of the Moon as ownership or property rights over them, such exploitation is about to become if however, such removal or extraction feasible. This provision shall be imple- is in compliance with the applicable mented in accordance with article 18 of [the Moon] Agreement.54 principles and rules of international space law. In this respect, the provisions of the Moon Agreement are more spe- It appears that many countries cite cific and beneficial to any country the the inclusion of the common heritage of private sector entities of which have an mankind concept within the Moon interest in commercial exploitation of Agreement as the reason why they are the resources of outer space.51 Freeland not interested in becoming parties and Jakhu therefore argue the prohibi- thereto. In support of their position, tion against appropriation would not these countries refer to the unsuccessful prevent public or private entities from application of the common heritage of receiving—under an international mankind concept in international legal regime to be established in the future— regimes governing the terrestrial envi- what might be termed “extra-terrestrial ronment and also in resource exploita- exploitative rights” in relation to the tion regimes established for Antarctica natural resources of outer space.52 and the deep seabed. Article 11(1) of the Moon Agreement However, it is significant to note that provides that “[t]he Moon and its natu- the language of Article 11(1) of the ral resources are the common heritage Moon Agreement does not indicate a of mankind which finds its expression in wholesale importation of the common the provisions of this Agreement, in par- heritage of mankind concept into inter- ticular in paragraph 5 of [Article 11]”.53 national space law. Rather, the Moon Under Article 11(5): Agreement makes an important distinc- tion as to what the concept specifically entails and how it shall be applied in the 51 It is important to note in this regard that the context of the natural resources of the Outer Space Treaty uses the terms “exploration Moon and other celestial bodies. Most and use” but not “exploitation” of outer space. importantly, the meaning and effect of As indicated above, it is generally agreed that the common heritage of mankind con- the “use” of outer space as prescribed in Article I of the Outer Space Treaty presumably encom- cept as used in the Moon Agreement is passes “resource exploitation”. However, it is that it simply requires States to develop only the Moon Agreement that specifically uses and establish a mutual international the term “exploitation”. States parties to the legal regime, including appropriate pro- Moon Agreement therefore have a more cedures, to govern the exploitation of explicit basis for asserting their right to exploit the natural resources of outer space. the natural resources of the Moon, as 52 Steven Freeland and Ram S. Jakhu, supra such exploitation is about to become note 27, at 60. feasible. The concept may be included 53 Moon Agreement, Art. 11(1) [emphasis added]. 54 Moon Agreement, Art. 11(5). Conclusion 129 in the proposed international regime, Agreement are at complete liberty to which may or may not be established, if determine which regulatory model pro- the negotiating States so wish. It is vides the best medium for managing the unfortunate that some States and many exploitation of the exhaustible natural space law writers often mistakenly over- resources of the Moon. It is therefore play the importance of the concept of submitted that those States that desire to common heritage of mankind. This con- have a say in the establishment of a cept has very little, if any, role in the regime to govern the exploitation of the regulatory regime established under the natural resources of the Moon and other Moon Agreement. celestial bodies should accede to and Although the Moon Agreement sets ratify the Moon Agreement without fur- out certain overarching objectives that ther delay. must be achieved during the development and establishment of the envisaged international regime to govern the Conclusion exploitation of the natural resources of the Moon, and arguably of other celes- As things stand now, if China, India, or tial bodies,55 it does not restrict States to Russia, for example, were successful in a specified mechanism for the fulfill- rallying several developing countries to ment of this requirement. In this regard, ratify the Moon Agreement, the result- the Moon Agreement differs signifi- ing reality would be that many of the cantly from the Antarctic Treaty or the current spacefaring nations that have not 1982 U. N. Convention on the Law of ratified the Moon Agreement (including the Sea and its 1994 agreement relating the United States) would seemingly be to the implementation of Part XI thereof. excluded from the deliberations leading As such, States’ parties to the Moon to the establishment of an international regime to govern the exploitation of space natural resources. Furthermore, 55 For instance, Article 11(7) of the Moon the parties to the agreement that end up Agreement sets out the main purposes of the international regime to be established as includ- on the Moon or any other celestial body ing the following: would have a more explicit basis (i.e., the Moon Agreement) to assert their (a) The orderly and safe development of the natural resources of the Moon; right to exploit the natural resources (b) The rational management of those present therein as compared to those resources; countries that are not yet party to the (c) The expansion of opportunities in the use of Moon Agreement. those resources; It should be noted that the Moon (d) An equitable sharing by all States Parties Agreement offers some advantages that in the benefits derived from those resources, are not available under the Outer Space whereby the interests and needs of the develop- Treaty.56 For instance, Article 3(4) of ing countries, as well as the efforts of those countries which have contributed either directly or indirectly to the exploration of the Moon, 56 For detailed discussions, see Joint Statement shall be given special consideration. on the benefits of adherence to the Agreement 130 10 The International Legal Framework the Moon Agreement expressly prohib- required for resource exploration and its the establishment of military bases exploitation ventures in space. on the Moon and other celestial bodies. Thus, for the moment, the 1979 More importantly, Article 3(2) declares Moon Agreement constitutes an impor- that any threat or use of force or any tant international legal document. The other hostile act or threat of hostile act lack of signatures ratifications of to this on the Moon is illegal. Such threat or document, and the possibility that act cannot be committed in relation to national laws might be enacted that pro- Earth, the Moon, a spacecraft, the per- vide contradictory interpretations of that sonnel of spacecraft or manmade space agreement, cast some doubt as to what objects, including those on the Moon the status of international law is with and other celestial bodies. Such an regard to space mining. It will probably unequivocal prohibition of threat or use be some years before the situation is of force on the Moon and other celes- clarified. Some of the key issues to bear tial bodies is not found in the Outer in mind and monitor are the following: Space Treaty. Thus, the Moon Agreement establishes the rule of law (a) To what extent does the current situ- in connection with the exploration of ation lead countries to ratify the the Moon and other celestial bodies Moon Agreement or, in fact, result under an exclusively peaceful and in countries explicitly indicating threat-free environment. These condi- that they will not sign on to it? tions are believed to be an important (b) To what extent do nations, and par- factor (inducement) for attracting the ticularly spacefaring nations, move necessary financial investments to enact national legislations of the type and scope of which is parallel to that adopted and signed into law Governing the Activities of States on the Moon in the United States? and Other Celestial Bodies of 1979 by States Parties to that Agreement; Committee on the (c) To what degree do UN COPUOS, Peaceful Uses of Outer Space Legal the International Space Exploration Subcommittee, Forty-seventh session; UN Doc Coordination Group (ISECG), the A/AC.105/C.2/2008/CRP.11 of 2 April 2008; International Astronautics see also Ram Jakhu and Maria Buzdugan, “The Federation, and others, provide use- Role of Private Actors: Commercial Development of the Outer Space Resources, ful and successful means to discuss Including Those of the Moon and other the future of space mining and Celestial Bodies: Economic and Legal resource utilization in outer space Implications,” 6 Astropolitics, (2008), pp. 201, and to help coordinate the activities et seq.; at 221 Vid Beldavs, “The International of countries and private enterprise Lunar Decade”, The Space Review, 13 January 2014,online: The Space Review http://www. seeking to expand their activities in thespacereview.com/article/2431/1. outer space? National Space Laws and the Exploitation 11 of Natural Resources from Space

Article VI of the 1967 Outer Space Dempsey of McGill University has pro- Treaty obliges States’ parties to bear vided one of the most recent and com- international responsibility for national prehensive reviews of national space activities in outer space, whether carried legislation around the world.2 out by governmental agencies or non- Each country enacts national space governmental entities (including private law(s) to regulate the conduct of space corporations).1 It further specifies that activities for its own specific reasons. the activities of non-governmental enti- However, the fact remains that the most ties in outer space, including the Moon important reason and the single com- and other celestial bodies, shall require mon basis for doing so is a State’s inter- authorization and continuing supervi- national responsibility for its national sion by the appropriate State party to the activities in outer space as specified in treaty. In line with these international the Outer Space Treaty and in other obligations, many countries have instruments. Typically, the national enacted national laws that require non- space laws of many countries tend to be governmental entities to obtain some reactive rather than proactive. The law form of governmental authorization tends to follow and lag significantly before they engage in space activities. behind developments in the exploration As a result, there has emerged in many and use of outer space. countries—a specific body of law that Many countries have not enacted any governs the conduct of space activities national space laws simply because by governmental and non-governmental there is no perceived need for such laws entities that may be characterized as due to the non-existence of space activi- national space law. Professor Paul ties. There are several spacefaring

1 Treaty on Principles Governing the Activities 2 See Paul Stephen Dempsey, “National of States in the Exploration and Use of Outer Legislation Governing Commercial Space Space, including the Moon and Other Celestial Activities,” Journal of Space Safety Bodies, 27 January 1967, 610 UNTS 205 Engineering, Vol 1, No 2, December 2014, [Outer Space Treaty], Article VI. 44-60.

© Springer International Publishing Switzerland 2017 131 R.S. Jakhu et al., Space Mining and Its Regulation, Astronautical Engineering, DOI 10.1007/978-3-319-39246-2_11 132 11 National Space Laws and the Exploitation of Natural Resources from Space nations that also do not have basic over- However, the exploitation of natural arching national space legislation that resources in space in the absence of governs the overall conduct of space clear international and national gover- activities. Although, in recent times, the nance and regulatory regimes might trend appears to be changing for the bet- produce counter effects including but ter, the usual situation in many spacefar- not limited to the possibility of conflict- ing countries is that space activities are ing interests among States and private nationally regulated on a piecemeal sector entities; a multiplication of claims basis, with legislation addressing spe- over the resources; the non-existence of cific sectors of space exploration and any legal assurance or guarantee for use (such as telecommunications, investors that they may be able to recoup remote sensing, global positioning and their investments in space or at least satellite navigation) as and when the seek redress via a strong legal frame- need arises. The upshot of the foregoing work; the existence of potential interna- is that, since the private sector in many tional conflicts; and, risks related to spacefaring countries has not, until pollution and safety and affecting the recently, pursued the exploitation of sustainable development of outer space. natural resources in space as a commer- Finally, it might prevent scientists from cial space activity, there has been no freely doing their work, thereby dis- perceived need among policymakers abling them from responding to issues and lawmakers at the national level to relevant to the global public interest and enact statutes and regulations to govern the right of future generations to access the conduct of such activities. Many natural resources in space. countries therefore do not have any reg- With the technological breakthroughs ulatory frameworks in place to specifi- recorded in recent years, private sector cally address the exploitation of the actors—mainly led by wealthy natural resources of outer space by the private sector. • Identification of financial and other incen- Influenced by “laissez-faire” doc- tives to motivate private industry to fulfill trine, the private sector prefers to leave such a role; • Removal of regulatory, legal, and psycho- the exploitation of “new areas” such as logical barriers to private sector efforts in outer space, the Arctic or the deep sea- space. bed to the first comers and is reluctant to The Institute is of the view that a “Lunar see the development of any rules that Land Claims Recognition Law” that would rec- may impose restrictions on resource ognize the right of private lunar settlements to exploitation in such new areas.3 claim and resell the land around their lunar bases is the necessary first step to incentivize permanent human habitation on the Moon. The 3 See for example the website of the Space Institute therefore intends to persuade the US Settlement Institute, a non-profit organization Congress to enact a Space Settlement Prize established to help promote the human coloni- Act, a draft of which appears on the Institute’s zation and settlement of outer space http:// website. See also: Alan Wasser & Douglas www.space-settlement-institute.org/. The Jobes “Space Settlements, Property Rights and Space Settlement Institute believes that private International Law: Could a Lunar Settlement industry, not government, must assume the lead Claim the Lunar Real Estate It Needs to in space settlement efforts. Accordingly, its Survive?” (2008) 73:1 Journal of Air Law and mission includes: Commerce 37. 11 National Space Laws and the Exploitation of Natural Resources from Space 133

Americans—are in the process of devel- individuals as a legal and legitimate oping and initiating commercial business. resource exploitation projects in space, As indicated above, national space as discussed in Chap. 6. The motivation law is typically reactive rather than pro- behind this is the “high frontier,” some active. Despite the recent occurrence of of them believing that they can even cre- several technological breakthroughs and ate a real business. Several actors have business developments emanating par- openly rejected the current legal frame- ticularly from the private sector that work of international space law.4 Peter strongly suggest that the exploitation of Diamandis, the creator of the X-Prize, the natural resources of outer space is for instance, is reported to have stated about to become feasible, there has not that: “ownership [of property rights on been much effort at the national level to the Moon and other celestial bodies] enact specific regulatory regimes to will be the only powerful driver to open govern the conduct of such exploitive our frontier.”5 The strongest opponent of activities. The fact remains, however, the present legal framework is Dennis that a number of countries have enacted Hope, who has created a website to comprehensive national space laws that commercialize parcels of the Moon.6 are applicable to all kind and manner of For him, the non-appropriation principle space activities. In many other coun- of the Outer Space Treaty is only appli- tries, the existing national space laws cable to governments and not to private are fragmented and address different entities. He did not hesitate to make a types of space activities and space appli- declaration to the United Nations in cations in a piecemeal fashion. Worse 1980, claiming ownership of the Moon. still, in many other countries, particu- Despite the fact that the United Nations larly non-spacefaring nations, there are simply ignored his claims as being no space laws in existence. untenable and based on a gross misap- In the absence of comprehensive/ prehension of the law, Dennis Hope all-encompassing national space laws considers his ongoing Internet-based or specific regulatory regimes dedi- business of selling plots on the Moon to cated to the governance of resource exploitation activities in outer space, it is not farfetched to presume that most 4 See for example: Rand Simberg, Homesteading countries, whether States’ parties to the the Final Frontier – A Practical Proposal for Moon Agreement7 or not, will attempt Securing Property Rights in Space (Competitive to regulate resource exploitation activi- Enterprises Institute, Issue Analysis 2012 No. 2, April 2012) online: http://cei.org/sites/default/ ties carried out in outer space on the files/Rand%20Simberg%20-%20 basis of pre-existing licensing regimes Homesteading%20the%20Final%20Frontier.pdf. for other types of space activities. This 5 See “Law Journal Article Exposes A Growing presumption is based on the terms of Scam: People Getting Rich Selling Deeds To Lunar Real Estate” 2 June 2008, online PR Web, http://www.prweb.com/releases/2008/06/ 7 Agreement Governing the Activities of States prweb982824.htm. on the Moon and Other Celestial Bodies, 18 6 “What’s It All About?” online: Lunar December 1979, 1363 UNTS 3. For the text of Embassy, http://lunarembassy.com/about. the Agreement, see Appendix to this book. 134 11 National Space Laws and the Exploitation of Natural Resources from Space above-mentioned Article VI of the subsequently amended,8the Federal Outer Space Treaty. Further, Article Communications Commission (FCC) VII of the Outer Space Treaty imposes is responsible for regulating the use of international liability upon a state that the radio frequency spectrum in the launches or procures the launching of a United States, and for granting licenses space object or uses its territory or for telecommunication satellites and facilities for the launching of a space Earth stations serving the United object that causes damage to another States. Its mandate includes assigning State or its subjects. satellite orbital locations in accordance In this chapter we take a look at the with the rules of the International national space laws of a handful of Telecommunication Union. There are spacefaring nations in an effort to deter- other pieces of legislation that address mine the existence or non-existence of other aspects of space exploration and dedicated regulatory regimes that gov- use in the United States. They have been ern the exploitation of the natural re-codified under Title 51 of the United resources of outer space. States Code.9 The Federal Aviation Administration (FAA) regulates commercial space launch The United States activities in the United States (i.e., launching and re-entry of space objects from a The United States is a State party to the U. S. territory or with U. S. facilities).10 1967 Outer Space Treaty but not to the Among other things, Title 51 authorizes 1979 Moon Agreement. It is interesting the FAA to license launch vehicles; the re- to note that in 1979, the U. S. Department entry of space objects as well as the oper- of State and the American Bar ation of launch or re-entry sites in the Association suggested that the U. S. United States. Under Title 51, the FAA Senate should consent to and approve has authority to regulate the commercial the ratification of the Moon Agreement space transportation industry, to the extent by the United States. However, many necessary, to ensure compliance with have stated categorically that the U. S. international obligations of the United government does not and will never States and to protect the public health and support the Moon Agreement. safety, safety of property, and national In any event, government regulation security and foreign policy interests of the of space activities in the United States United States. follows the piecemeal approach, with Upon the issuance or transfer of a different aspects of private sector space launch or re-entry license, the licensee is activities being regulated under differ- required by law to obtain liability ent pieces of legislation and by different U. S. government agencies, whereas governmental space activities (such as 8 Communications Act of 1934, as amended and those carried out by NASA and the U. S. updated by the Telecommunications Act of 1996, Pub L 104-104, 110 Stat 56 (1996). Department of Defense) are not subject 9 National and Commercial Space Programs, to regulation by other government agen- 51 USC (Pub. L. 111–314, § 3, 18 December cies. For instance, pursuant to the 2010, 124 Stat 3328). Communications Act of 1934 as 10 51 USC Ch 509. The United States 135 insurance or demonstrate financial government to fulfill its obligations” responsibility in amounts to compensate under the 1967 Outer Space Treaty.12 for the maximum probable loss from Interestingly, on July 20, 2011, claims by: (a) third parties for death, NASA published a document entitled: bodily injury, or property damage or “Recommendations to Space-Faring- loss resulting from an activity carried Nations: How to Preserve the Historic out under the license (limited to U. S and Scientific Value of U. S. Government $500,000,000 per launch or re-entry, Lunar Artifacts.”13 According to the adjusted for inflation); and, (b) the U. S. document, “NASA recognizes the government against a person for damage steadily increasing technological capa- or loss to government property resulting bilities of spacefaring commercial enti- from an activity carried out under the ties and nations throughout the world, license (limited to U. S. $100,000,000, and further recognizes that many are on adjusted for inflation). The specified the verge of landing spacecraft on the limits are automatically decreased to the surface of the Moon. In the 50 years maximum liability insurance available since the first lunar missions, the space- on the world market at reasonable cost flight community has not formally pro- if, at any point in time, it is impossible to vided recommendations to the next obtain liability insurance coverage up to generation of lunar explorers on how to the specified levels on the world preserve the original artifacts and pro- market. tect ongoing science from the poten- As part of the licensing process, the tially damaging effects of nearby FAA is entitled to carry out several landers.”14 Pending the development of extensive investigations and reviews, more formal guidance—perhaps including policy review, safety review, through a multilateral approach that payload review and environmental reflects the views of various nations on review. In February 2015, it was the scientific and historic value of lunar reported that the FAA would authorize artifacts—NASA has taken the lead to Bigelow Aerospace to set up an inflat- prepare these recommendations on the able station on the Moon in exercise of basis of the collective technical knowl- the former’s “payload review” authority. edge of its personnel. Some have observed that the FAA does According to NASA, the recommen- not specifically possess such power to dations do not represent mandatory authorize the conduct of space activities U. S. or international requirements; that transcend space transportation.11 rather, they are offered to inform lunar Moreover the U. S. State Department spacecraft mission planners interested has expressed the view that “the national in helping preserve and protect lunar regulatory framework, in its present historic artifacts and potential science form, is ill-equipped to enable the U. S. opportunities for future missions. The

12 Ibid. 11 Irene Klotz, “The FAA: regulating business 13 For a copy of the Recommendations, see on the moon,” 3 February, 2015, online: http:// NASA website: http://www.nasa.gov/director- mobile.reuters.com/article/idUSKBN0L715F2 ates/heo/library/reports/lunar-artifacts.html. 0150203?irpc=932. 14 Ibid, 5. 136 11 National Space Laws and the Exploitation of Natural Resources from Space recommendations are intended to apply mote the development and implementa- to U. S. government artifacts on the tion of appropriate recommendations lunar surface. By way of example, the with interested private sector entities NASA recommendations prescribe a and, as appropriate, working within the descent/landing boundary for U. S. gov- U. S. government and with foreign government heritage lunar sites, defined as ernments. Clearly, the NASA recom- the outer perimeter that establishes an mendations are unilateral and are exclusion radius for the approach path explicitly non-binding. More so, their of any lander/spacecraft toward any acceptance within the international U. S. government heritage lunar arti- community is untested, since no space- facts. For heritage lander sites (e.g., faring nation has announced plans to Apollo, Surveyor), this outer perimeter approach U. S. lunar artifacts subse- covers an area beginning at the lunar quent to their publication. At the very surface site of interest and extending to least, the publication of those recom- a 2-km radial distance from the site mendations demonstrates the fact that within which no overflight of a landed the U. S. government acknowledges the spacecraft may occur. For heritage renewed interest (particularly from the impact sites (e.g., Ranger, S-IVB), the private sector and also from States that boundary covers an area beginning at have traditionally not been active in the lunar surface site of interest and space) in the exploration and eventual extending to a 0.5-km radial distance exploitation of the natural resources of from the center of the impact site, and outer space, and its concern about the no overflight of a landed spacecraft may impact that this may have on the so occur within that radius.15 called U. S. heritage lunar artifacts. NASA insists that these recommen- In July 2014, a bill titled the dations are consistent with international “American Space Technology for law, including the 1967 Outer Space Exploring Resource Opportunities in Treaty.16 By putting them forward, Deep Space (ASTEROIDS) Act”17 was NASA claims that it is seeking to pro- • That nations be guided by the principle of 15 Ibid. cooperation and mutual assistance in lunar 16 In this regard, NASA specifically identifies exploration and use, with due regard to the the following principles contained in the Outer corresponding interests of other parties to Space Treaty as being relevant: the treaty; and • That outer space shall be free for explora- That international consultations must take tion and use by all states; place prior to the commencement of an activity • That there should be freedom of scientific that any party has reason to believe would investigation in outer space; cause potentially harmful interference with • That outer space is not subject to national activities of other parties. appropriation; 17 HR 5063. The text of this Bill is available at: • That parties to the treaty retain jurisdiction Government Publishing Office http://www.gpo. and control over objects launched into outer gov/fdsys/pkg/BILLS-113hr5063ih/pdf/ space that are listed on their registries, BILLS-113hr5063ih.pdf. For an analysis of the while they are in outer space and that own- ASTEROIDS Act, see Charles Stotler, “The ership of objects launched into outer space ASTEROIDS Act and hearing: some observa- is not affected by their presence in outer tions on international obligations”, The Space space or by their return to Earth; Review (22 September 2014), online: The The United States 137 introduced in the U. S. House of Act of 2015”)19that was passed by both Representatives. The authors of the bill houses of the U. S. Congress and signed at that time stated: by the president into law on November 25, 2015. A copy of the act is printed in Asteroids are excellent potential sources the Appendix to this book. of highly valuable resources and minerals … that include: platinum group met- The new act requires the president, als such as platinum, osmium, iridium, acting through appropriate federal agen- ruthenium, rhodium, and palladium in cies, to facilitate commercial explora- addition to nickel, iron and cobalt.18 tion for, and commercial recovery of, space resources by U. S. citizens; dis- Subsequently, the provisions of this courage government barriers to the bill were integrated into a new and much development in the United States of broader Space Act of 2015 (formally economically viable, safe, and stable known as “Spurring Private Aerospace industries for commercial exploration Competitiveness and Entrepreneurship for and commercial recovery of space resources in manners consistent with the international obligations of the United Space Review, http://www.thespacereview. com/article/2604/1. States; and, promote the right of U. S. 18 “Bipartisan Legislation Promotes Commercial citizens to engage in commercial explo- Space Ventures”, U.S. Congressman Billy ration for and commercial recovery of Posey, online: http://posey.house.gov/news/doc- space resources free from harmful inter- umentprint.aspx?DocumentID=387391. It ference, in accordance with the interna- should be noted that while several space industry tional obligations of the United States representatives and some politicians have been highly optimistic about the significantly profit- and subject to authorization and con- able space mining, there are some experts who tinuing supervision by the federal are not so sure about the economic viability of government.20 such activities in the near future. Mark Sykes, The act further mandates the presi- the Director of the Planetary Science Institute dent submit to Congress within 180 and a co-investigator on the NASA Dawn mission to Vesta and Ceres, has been reported days of its enactment a report on com- expressing his caution that, “The development of mercial exploration for and commercial an NEO ISRU infrastructure is beyond the scope recovery of space resources by U. S. of private enterprise……..All this basic science citizens that specifies the authorities and engineering is something beyond the scope necessary to meet the international obli- of reasonable investment by a commercial entity, because there would be no expectation of return gations of the United States, including in investment on a reasonable timescales. I authorization and continuing supervi- expect it would take a couple of decades to get to sion by the federal government, and rec- the point when one could answer the question of ommendations for the allocation of whether, with some level infrastructure in place, responsibilities among federal agencies the marginal cost of processing and returning water from an asteroid would be cheaper than for activities involving commercial bringing it up from the surface of the Earth.” See exploration for and commercial Mark Strauss, “Congressional Hearing Slams Feasibility Of Commercial Asteroid Mining,” 11 September 2014, online at: http://io9.gizmodo. 19 Spurring Private Aerospace Competitiveness com/and Entrepreneurship Act of 2015 (US), 51 congressional-hearing-slams-feasibility-of- USC Title IV, Pub L 114-90 (Bill HR 2262). commercial-a-1633510688. 20 Pub L 114-90 Title IV § 402. 138 11 National Space Laws and the Exploitation of Natural Resources from Space recovery of space resources by U. S. and space resources will be entitled to citizens.21 ownership of any such resources While explicitly proclaiming that the obtained. enactment of the new act does not From the U. S. national regulatory amount to an assertion of “sovereignty perspective, this act is appropriate and or sovereign or exclusive rights or juris- necessary to provide statutory and diction over, or the ownership of, any administrative bases for instituting reg- celestial body“22on the part of the United ulating mechanisms and processes. As States, the act provides nonetheless that: observed in Chap. 10, the question as to whether or not the new enactment is in [a] U. S. citizen engaged in commercial conformity with the international obli- recovery of an asteroid resource or a space resource under [the Act] shall be gations of the United States, particularly entitled to any asteroid resource or those arising from the provisions of the space resource obtained, including to 1967 Outer Space Treaty to which the possess, own, transport, use, and sell the United States is party, is unresolved. A asteroid resource or space resource likely response from other spacefaring obtained in accordance with applicable law, including the international obliga- nations could be to (a) raise this issue at tions of the United States. the international level (possibly at the UN COPUOS), and/or (b) enact national In essence, the act provides a domes- laws to provide a regulatory basis and to tic legal basis for U. S. citizens to engage protect the interests of their citizens who in commercial exploration and recovery may also wish to commercially explore of resources from asteroids, the Moon and exploit natural resources in space, and other celestial bodies. It is signifi- pursuant to both the 1967 Outer Space cant to observe that the act makes a dis- Treaty and the 1979 Moon Agreement. tinction between “asteroid resources”—defined as space resources found on or within a single asteroid— The United Kingdom and “space resources”—defined as abiotic resources including water and The United Kingdom is also a State mineral resources in situ in outer space.23 party to the 1967 Outer Space Treaty While the domestic regulatory mecha- but not to the Moon Agreement. To a nisms for licensing any such commer- certain extent, the UK’s approach cial exploration and recovery activities towards governmental regulation of will be determined following the sub- space activities follows the comprehen- mission of the report of the president to sive approach. The Outer Space Act of Congress, what is clear from the act is 1986 governs space activities carried that under U. S. law, any U. S. citizens out by organizations established in the licensed to carry on commercial explo- UK and by UK nationals wherever they ration and recovery of asteroid resources may be.24 The Secretary of State for Business, Innovation and Skills must license all such activities, a responsibil- 21 Pub L 114-90 Title IV § 402. ity that is delegated to the British 22 Pub L 114-90 Title IV§ 403. 23 Pub L 114-90 Title IV § 401. 24 Outer Space Act (UK) 1986 c. 38. The United Kingdom 139

National Space Centre (BNSC). The activity (both the launch and on-orbit application of the Outer Space Act of phases), naming the UK government 1986 has been extended to British as an additional insured; Overseas Territories, namely: Guernsey; • preserve the national security of the the Isle of Man; Jersey; and (with modi- UK; and fications) to Gibraltar, Bermuda and the • permit reasonable access to docu- Cayman Islands. The act seeks to ensure ments and inspection and testing of compliance with the UK’s international equipment and facilities by the obligations in relation to the explora- agency. tion and use of space, including liability for damage caused by space objects, the In addition to the Outer Space Act, registration of objects launched into the Communications Act of 200326 also outer space and the U. N. principles on governs the conduct of space activities remote sensing of Earth. All persons in the UK inasmuch as the activities and entities to whom the act applies concerned involve the use of the radio must indemnify the UK government frequency spectrum. In this regard, it is against any claims for damage or loss significant to note that UK laws are in arising out of licensable activities. This harmony with European Union is a mandatory statutory obligation on Directives relevant to communications. which no financial limit is set. In spite of the foregoing, the UK does A licensee under the UK Outer Space not have a statute that is exclusively Act must comply with certain terms dedicated to the commercial exploita- imposed by the license.25 These include tion of the natural resources of outer requirements that the licensee: space by UK nationals or UK entities. Clearly, since any such activities would • avoid contamination of the space fall within the broad scope of licensable environment and changes to that of space activities as defined in the Outer Earth; Space Act,27 it is not farfetched to antici- • avoid interference with the space pate that any proposed exploitive activi- activities of others; ties in space will be regulated under the • dispose of the licensed space object provisions of the act. So far, the issue appropriately at the end of the has not been put to test, as there have not licensed activity and inform the been any applications from UK nation- agency of the disposal and termina- als or entities for licenses to conduct tion of the activity; • avoid any breach of the UK’s interna- 26 Communications Act (UK) 2003 c. 21. tional obligations; 27 Outer Space Act (UK), section 1 which pro- • inform the agency of any change in the vides as follows: licensed activity and seek approval This Act applies to the following activities whether carried out in the United Kingdom or prior to that change being made; elsewhere: • obtain insurance against third-party liabilities arising from the licensed (a) launching or procuring the launch of a space object; (b) operating a space object; 25 Ibid. section 5 (2) (e). (c) any activity in outer space. 140 11 National Space Laws and the Exploitation of Natural Resources from Space exploitive activities on the Moon or • manufacturing of materials and other other celestial bodies. products in outer space; • other kinds of activity performed with the aid of space technology. The Russian Federation In any event, Article 9 of the decree The Russian Federation, a major space- establishes an authorization or licensing faring nation, is a State party to the 1967 procedure for the pursuit of all space Outer Space Treaty but not to the 1979 activities in the Russian Federation, Moon Agreement. In the Russian both for scientific and socioeconomic Federation, space activities are nation- purposes. The licensing requirements ally regulated by the federal government apply to space activities pursued by under and by virtue of a number of stat- organizations and citizens of the Russian utes.28 For our present purposes, the Federation or those pursued by foreign most important Russian statute dealing organizations and citizens but which fall with space activities is the 1993 Law of under the jurisdiction of the Russian the Russian Federation on Space Federation and involve the manufacture, Activities.29 For the purposes of this law, testing, storage, preparation for launch space activity is defined in Article 2 of or launch of space objects, or the control the Presidential Decree as any activity of spaceflights. The licensing and autho- immediately connected with operations rization requirements are further elabo- to explore and use outer space, includ- rated upon in the 1994 Statute of the ing the Moon and other celestial bodies, Russian Federation on Licensing of including: Space Operations,30 which defines types forms and periods of validity of licenses, • space research; conditions and procedures for their • remote sensing of Earth from outer issuance, withholding, suspension or space, including environmental mon- termination and other aspects of licens- itoring and meteorology; ing. Article 25 of the decree mandates • use of navigation, topographical and licensees to take out compulsory insur- geodesic satellite systems; ance against damage to the life and • piloted space missions; health of cosmonauts and personnel on the ground and other objects of space 28 For details, see Sergey P. Malkov and infrastructure, as well as against prop- Catherine Doldirina, “Regulation of Space erty damage to third parties. Activities in the Russian Federation,” in Ram S Article 4 of the decree contains an Jakhu, ed, National Regulation of Space interesting provision. After listing a Activities (Heidelberg: Springer, 2010), 315 et seq. 29 Law on Space Activities (Russian Federation) 30 Statute on Licensing Space Operations August 20, 1993 as subsequently amended (Russian Federation) February 2, 1996 (Decree (Decree No. 5663-1 of the Russian House of No. 104 of the Russian House of Soviets). Soviets). For an unofficial English translation Unofficial English translation is available of this statute, see: UN Office of Outer Space online on UN Office of Outer Space Affairs Affairs website: http://www.oosa.unvienna.org/ website: http://www.oosa.unvienna.org/oosa/ oosa/en/SpaceLaw/national/russian_federa- en/SpaceLaw/national/russian_federation/ tion/decree_5663-1_E.html. decree_104_1996E.html. Australia 141 number of space activities that are spe- Space Activities. Beyond licensing such cifically prohibited in the Russian activities, however, what remains to be Federation, Art. 4(2) continues: “other seen is the attitude the Russian govern- space activity under the jurisdiction of ment might adopt in relation to the inter- the Russian Federation, which is prohib- national legality or otherwise of such ited by international treaties of Russian exploitative activities in outer space, Federation, is not allowed as well.” particularly those of the U.S. Obviously, space activities that are inter- companies. nationally prohibited by the provisions of international treaties to which the Russian Federation is a State party are Australia also prohibited within the Russian Federation. What remains unclear is Although the Commonwealth of whether or not the Russian decree will Australia is not a major spacefaring permit the conduct of space activities nation, its national space laws are that seek to exploit the natural resources briefly discussed in this section, per- of the Moon and other celestial bodies, haps as a model worthy of consider- since there is not much clarity in the pro- ation. Australia is a State Party to all of visions of the 1967 Outer Space Treaty the U. N. Space Law treaties, including about the legality of such activities, and the 1979 Moon Agreement, and the Russia is not a State party to the 1979 government of the Commonwealth Moon Agreement, which arguably pro- regulates space activities that take vides clearer rules on the matter. Again, place in Australian territory as well as it is difficult to predict what the outcome those undertaken by Australian citi- might likely be since, to the knowledge zens outside of Australian territory. of the present authors, as yet no applica- Governmental regulation of space tions of such nature have been lodged activities in Australia occurs under and with the relevant Russian authorities. by virtue of the Space Activities Act of In light of the foregoing discussion, it 199831and the Space Activities is apparent that the Russian Federation Regulations of 2001.32 The act and the does not have a regulatory framework regulations are quite comprehensive, specifically dedicated to govern space requiring different types of licenses activities that aim for the exploitation of and permits for different space opera- the natural resources of outer space. tions. For instance, a space license Given that governmental regulation of must be obtained before any entity can space activities in the Russian Federation operate a launch facility or launch generally follows the comprehensive vehicle from within the territory of approach, and having regard to the fact Australia. Launch permits are addi- that the definition of space activities is tionally required for the launching and quite broad, it is quite likely that the federal government of the Russian 31 Federation will subject any proposed Space Activities Act of 1998 (Cth.) Act No. 123 of 1998 (as subsequently amended). natural resource exploitation activities 32 Space Activities Regulations (Cth.) SR 2001 in outer space to the licensing and autho- No. 186 (as amended, taking into account rization requirements of the Law on amendments up to SR 2004 No. 79). 142 11 National Space Laws and the Exploitation of Natural Resources from Space re-entry of space objects, including Canada those that were originally launched into space from a foreign country. In Canada does not have a comprehensive situations where Australian nationals national space law in place.33 This not- intend to undertake space activities withstanding, any person who desires to from places outside the territory of the launch an object into space using rock- Commonwealth, they must still obtain ets classified beyond a specified thresh- overseas launch certificates from the old requires a license issued by the government of Australia before they federal minister of transportation under can engage in those activities. the Canadian Aviation Regulations The provisions of the act and regula- (CARs).34 In order to operate any space tions are quite clear and comprehensive. object(s) using radio frequencies, one Unfortunately, however, they tend to requires a radio-communication license focus on the regulation of launch and re- issued by the federal minister of indus- entry activities to the neglect of other try. If the space activity intended falls equally important space operations. within the scope of application of the Although Australia is a State party to the Remote Sensing Space Systems Act and Moon Agreement, the act and the regu- Regulations, then one also requires a lations do not contain specific provi- license issued by the federal minister of sions that address space activities the Department of Global Affairs (for- involving the exploitation of the natural merly the Department of Foreign Affairs resources of the Moon and other celes- and International Trade).35 For all other tial bodies. It would seem that the focus space activities and space applications of the act and regulations was deliber- that fall outside the scope of these ately placed on launch and re-entry areas—such as any proposed resource activities given that these are the main exploitation activities on the Moon or types of space activities currently con- other celestial bodies—there are no spe- sidered important by Australia. Having cific regulatory regimes in place as yet. regard to the comprehensive nature of As such, at present, there is no legal or the provisions of the act and the regula- regulatory basis for the Canadian gov- tions, and the relative ease of amend- ernment to license any proposed space ment of the regulations in particular, it is fair to argue that they provide a legal 33 For details, see Ram S. Jakhu, “Regulation of basis for the Australian government to Space Activities in Canada”, in Ram S Jakhu, regulate any proposed space activities ed, National Regulation of Space Activities aimed at exploiting the natural resources (Heidelberg: Springer, 2010), 81 et seq. 34 of the Moon and other celestial bodies. Canadian Aviation Regulations, Section 602.43 to 604.45, online: http://laws-lois.jus- As a State party to the Moon Agreement, tice.gc.ca/eng/regulations/SOR-96-433/ the Australian government may confer FullText.html#s-602.43. explicit rights upon its licensees to col- 35 Remote Sensing Space Systems Act, S.C. lect and use the natural resources of the 2005, c. 45. For detailed analysis of the Act, see Moon and other celestial bodies as part Ram S. Jakhu, Catherine Doldirina and Yaw of its licensing process and in accor- Otu Mankata Nyampong, “Review of Canada’s Remote Sensing Space Systems Act of 2005,” dance with the provisions of the Moon Annals Of Air And Space Law (Vol. XXXVII, Agreement. 2012), 399 et seq. Conclusions 143 activities that involve the exploration or New Legislative Initiatives in exploitation of space’s natural resources. Luxembourg and the United Arab Emirates

India In the wake of the U.S. Space Act of 2015 and especially the Title 4 legisla- India is a major spacefaring nation with tion with regard to the possibility of ambitious plans for exploration and even- U.S. citizens or entities reclaiming space tually exploitation of natural resources in resources, there have now been some space. In addition to its successful mis- responses around the world. In sion to the Moon, in 2014, India’s Mars Luxembourg and the United Arab Orbiter Mission proved to be the first suc- Emirates in particular there have been cessful maiden mission of any country, legislative initiatives that are parallel to making India the first Asian country to the United States that would allow the reach Mars with a shoestring budget.36 extraction of resources by industry. In India is a State party to the first four U. N. the case of pending Luxembourg legis- space law treaties and has also signed the lation that might take effect as early as 1979 Moon Agreement. For several years in 2017, the proposed language would India has been attempting to draft its not only create a process for Luxembourg national space law. However, currently companies, but also would invite com- there is no specific legislation (except panies from other countries to seek to occasionally issued policy guidelines) engage in such resource reclamation that regulates space activities,37 including under the provisions of the Luxembourg those involving the exploitation of natural law as well. These initiatives will logi- resources in space. cally spread to other countries until there is a definitive ruling at the international level as to the limitations imposed by the Outer Space Treaty and/or the Moon Agreement.

Conclusions

36 Mike Wall, “India’s First Mars Probe Makes As demonstrated by the discussion in this Historic Red Planet Arrival,” September 23, section, many spacefaring nations do not 2014, online: http://www.space.com/27242- have specific legislative and regulatory india-mars-mission-arrival.html; India’s Mars Orbiter Mission delivers first Science Results, frameworks established at the national looks at future Challenges, 11 November 2015, level to address the issues inherent in online: http://spaceflight101.com/mom/indias- space activities that target the exploitation mars-orbiter-mission-delivers-first-science- of the natural resources in outer space. It results-looks-at-future-challenges/. appears that even where states have com- 37 For details, see Ranjana Kaul and Ram prehensive national space laws in place, S. Jakhu, “Regulation of Space Activities in Canada”, in Ram S Jakhu, ed, National the question of resource exploitation in Regulation of Space Activities (Heidelberg: space is not adequately addressed, proba- Springer, 2010), 153 et seq. bly because there have not been any 144 11 National Space Laws and the Exploitation of Natural Resources from Space applications for licenses to exploit natural parallel to that of the United States or per- resources in space. The U. S. Space Act of haps moves in different directions is still 2015 can be expected to stimulate discus- not clear. The consistency of national law sions at national level in several countries with international law and especially the for focusing on the development and Outer Space Treaty and the Moon adoption of some national legal mecha- Agreement will likely be a key issue of nisms to provide a regulatory basis for concern and discussion for the next few activities related to exploitation of such years to come—and particularly in the natural resources. Whether this leads to context of space mining. new national laws that are essentially Conclusions and the Way Forward 12

The future of space mining, space explo- that defines a new milestone for ration, space sciences and space appli- humanity. cations is a rich and exciting one. A We are now contemplating a new country-by-country review of various tomorrow where humans—and their activities involving space exploration intelligent robots—work off Earth in and use over the past half-century shows space-based enterprises. These new off- a very broad range of activities that world space enterprises will involve not include research, utilization of space only space mining but also an expand- applications, exploration by governing range of other space industries. mental agencies, and now commercial These can include operation of off- exploration of the Solar System for the world habitats, space-based processing purpose of undertaking commercial and manufacturing, and ultimately what exploitation of natural resources found could legitimately be called space colo- in space. nization and perhaps terraforming of the Commercial space is not new. Intelsat Moon and Mars. and Telesat Canada started commercial These off-world enterprises are not communications satellite operations a seen by today’s space entrepreneurs as full half-century ago. Remote sensing isolated ventures but ultimately envi- and space navigation services are now sioned as being linked together. It has well established. New commercial been suggested on a number of occa- activities such as solar power satellite sions that the purpose of space mining is services and on-orbit repairs, retrofit- not solely to bring the resources thereby ting, and satellite repositioning are next obtained back to Earth but rather to on the horizon. All of these commercial obtain off-world materials for process- activities, however, are oriented towards ing in space. Metals and other useful providing services directly back to materials obtained in space could then Earth, and all of these enterprises do not be used to create communications satel- involve a true off-world presence. lites, remote sensing spacecraft, solar Today, we are entering a truly new age power satellites and other finished

© Springer International Publishing Switzerland 2017 145 R.S. Jakhu et al., Space Mining and Its Regulation, Astronautical Engineering, DOI 10.1007/978-3-319-39246-2_12 146 12 Conclusions and the Way Forward products without ever returning to silicas and other materials obtained in Earth’s surface. Ultimately this would space to create this power station in the allow the creation of full-fledged space skies without using any Earth-based manufacturing and processing tech- natural resources. niques necessary for the establishment This book has sought to explain the of space colonies and off-world global population, urbanization and habitats. resource use trends that are pushing There are many writings on how to human civilization towards a future that obtain materials in space so as to allow involves a space economy and a new space manufacturing without the need to reliance on off-world resources. It also obtain any resources from Earth’s sur- warns that, for the future, a new approach face, but sometimes a picture is more to recycling and sustainability is needed powerful than words. Figure 12.1 below since human growth and consumption provides an illustration of what a solar cannot continue forever unchecked and power satellite system that could pro- unmoderated. Nevertheless, space vide gigawatts of power to Earth might resources can provide a lifeline and new look like. What is striking about this opportunity for the millennia ahead. “vision” is that the entire solar power Subsequent to this initial analysis, we satellite system would utilize metals, explored the technological development

Fig. 12.1 A solar power satellite fabricated in the skies from space mined materials (Graphic courtesy of NASA.) 12 Conclusions and the Way Forward 147 as well as organizational and manage- future space mining activities that ment innovations that are producing closely parallel those of the United new and lower cost space transportation States. In particular the relevant activi- systems and which, in turn, can make ties of Russia and the former Soviet space mining a reality. We also exam- Union, of Europe, Canada and Australia, ined the development of small but highly Japan, China and India were all capable remote sensing satellites that explored. These chapters not only sum- can assist in the identification of the marized the past space exploration mis- most suitable candidates for future space sions of the countries mentioned above mining operations. This was followed but also examined their variously by a discussion of the need for other expressed interests in space mining and critical technical developments. These in obtaining economic value from off- include remote power systems and world activities. robotic systems optimized for actual Finally, in the last part of the book, space mining operations. we explored the current status of the This is not to say that other capabili- international and national regulatory ties will not be required, but the technol- environment under which difficult and ogy for telecommunications, remote demanding space mining activities may sensing, human habitats, etc., are being be undertaken. It is clear that current developed for other purposes and should international space law, represented be available in the coming decades as mainly by the 1967 Outer Space Treaty and when they are needed. The bottom and the 1979 Moon Agreement, will line is that although the technological take us only so far. There is the need for developments are demanding and diffi- a clear global space governance system cult, it is quite likely that these chal- to provide the basis for orderly exploita- lenges will be overcome. The largest tion of space’s natural resources. barriers to the future success of space National regulatory initiatives such as mining are not technical but rather the U. S. Space Act of 2015 are neces- financial, organizational, legal and sary for national legal and administra- regulatory. tive purposes, but could also potentially In the next section of the book, we render the concerned states in violation sought to review space exploration and of their international obligations. Thus, development activities that have taken careful implementation of such national place around the world by spacefaring laws is important in order to maintain nations. The review showed that so far, full compliance with relevant interna- the United States has played a leading tional treaties. role in space exploration, noting that the It is clear that as the private sector four companies organized to undertake will continue to expand its role in the space mining activities (i.e., Deep Space conduct of space activities, governments Industries, Planetary Resources, Moon will not remain the only key actors in Express, and Shackleton Energy) are all space. However, just as in any other based in the United States. Nevertheless, international area of global public inter- this global review clearly indicates that est, the private sector should not be the other countries have shown a strong only stakeholder involved in determin- interest in space exploration and in ing the future potential of the 148 12 Conclusions and the Way Forward exploitation and use of natural resources presented by some States’ parties to the in space. The public sector and govern- Moon Agreement, namely: Austria, ments must continue to play a key role. Belgium, Chile, Mexico, the Preferably, there is the need to strike an Netherlands, Pakistan and the appropriate balance between the inter- Philippines.1 The proponents of the joint ests of the private sector and those of the statement hoped UN COPUOS would, public sector and of the governments. in the framework of its activities aimed Likewise there is also the issue of main- at the development and wider applica- taining a balance between the interests tion of outer space law, reflect on some of spacefaring nations and associated of the benefits of the Moon Agreement. industries on the one hand and the inter- As such, the joint statement, which was ests of non-spacefaring countries on the based on the experience of the States’ other. parties to the Moon Agreement, was not As discussed in Chap. 11, recent pol- intended to constitute an authoritative icy and regulatory developments in the interpretation of the treaties or resolu- United States that relate to the explora- tions mentioned in it, but to emphasize tion and exploitation of natural resources the benefits of certain aspects and con- in space are arousing global interest and siderations of the Moon Agreement and concerns. It is quite unlikely that estab- of being a party to it. lished spacefaring nations, emerging The joint statement stated that spacefaring nations, non-spacefaring although the Moon Agreement contains nations and international bodies such as provisions reiterating or elaborating the UN COPUOS will sit idle and do upon the principles contained in the nothing while these ventures unfold. Outer Space Treaty, some of which are What is likely to happen first of all is a directly applicable to the Moon and revitalization of discussions within vari- other celestial bodies, many of its other ous international forums as to how best provisions are unique and have real to ensure that the exploitation of the nat- added value as compared to the other ural resources of outer space (particu- outer space treaties. Some of the provi- larly led by the private sector) is carried sions unique to the Moon Agreement out in an atmosphere that is peaceful, are of interest for the implementation of that promotes international cooperation projects, activities and missions related and fosters friendly relations among the to the Moon and celestial bodies in par- States and peoples of the world. ticular since they: International discussions will also likely focus on the environmental and safety 1. clarify or complement principles, aspects of the planned and future procedures and notions found in the resource exploitation activities in space. It is significant to observe that such 1 Joint Statement on the benefits of adherence to discussions have already commenced the Agreement Governing the Activities of under the auspices of UN COPUOS. At States on the Moon and Other Celestial Bodies the 47th Session of the Legal of 1979 by States Parties to that Agreement; Committee on the Peaceful Uses of Outer Subcommittee of UN COPUOS held in Space Legal Subcommittee, Forty-seventh ses- 2008, a joint statement on the benefits of sion; UN Doc A/AC.105/C.2/2008/CRP.11 of 2 adherence to the Moon Agreement was April 2008. 12 Conclusions and the Way Forward 149

other outer space treaties that are for Co-ordination.”3 The document out- applicable to the Moon and other lined the rationale for society to explore celestial bodies; and/or space, defined the then prevailing focus 2. facilitate international scientificand process of space exploration, the cooperation. interest in returning to the Moon and exploring Mars, and proposed a frame- After identifying some specific work for the future coordination of added-value provisions and also dis- global space exploration. A key finding cussing the meaning and implications of of this framework document was the Article 11 of the Moon Agreement, the need to establish a voluntary, non-bind- joint statement concluded by emphasizing international coordination mecha- ing that a better understanding of con- nism, the International Space Exploration cepts of international space law and a Coordination Group (ISECG), through better description of pertinent concepts which individual agencies may exchange and procedures are provided by the information regarding interests, objec- Moon Agreement. Above all, the Moon tives, and plans in space exploration Agreement also represents a mutual with the goal of strengthening both indi- commitment by States to find a multilat- vidual exploration programs as well as eral framework to facilitate and ensure the collective effort. that the exploitation of the natural On April 10, 2013, the Canadian Space resources of celestial bodies is con- Agency hosted senior representatives ducted in accordance with general prin- from 11 space agencies for a meeting of ciples of outer space law. The joint the ISECG. During the meeting, the group statement therefore encouraged States, discussed the status of exploration plan- particularly those considering engaging ning, how space exploration could gener- in forthcoming missions or projects ate benefits for life on Earth and continued aimed at exploring celestial bodies, to work to be reflected in the next edition of become parties to the Moon Agreement. the Global Exploration Roadmap. The Other international efforts relate to Global Exploration Roadmap reflects the deliberations and discussions on the international effort to define, through con- exploration and eventual exploitation of tinued discussion among space agencies, natural resources found in space. For feasible and sustainable exploration instance, in 2007, 14 of the world’s lead- approaches to the Moon, near-Earth aster- ing space agencies2 revealed their com- oids, and Mars. It also takes into account mon vision for a globally coordinated innovative ideas and concepts provided space exploration to the Moon, Mars and by external stakeholders after the road- beyond in publishing the “Global map was first issued in September 2011. Exploration Strategy: The Framework The roadmap demonstrates the importance of the International Space Station as 2 These are: ASI (Italy); BNSC (UK); CNES (France); CNSA (China); CSA (Canada); CSIRO (Australia); DLR (Germany); ESA 3 See “Exploring Together: the Global (European Space Agency); ISRO (India); Exploration Strategy”, online: European Space JAXA (Japan); KARI (Republic of Korea); Agency http://www.esa.int/Our_Activities/ NASA (USA); NSAU (Ukraine); and, Human_Spaceflight/Exploration/Exploring_ Roscosmos (Russia). together_The_Global_Exploration_Strategy. 150 12 Conclusions and the Way Forward a first step and a bridge to exploration of Assembly or any other appropriate destinations beyond low-Earth orbit. The international forum, a process to seek updated version of the roadmap, pub- an Advisory Opinion of the lished in August 2013, illustrates planned International Court of Justice to clar- and conceptual near-term missions, which ify the state of current international advance human and robotic exploration space law as it concerns commercial starting in the Earth-Moon system.4 exploitation of space’s natural Aside from the discussions in the resources, particularly in view of ISECG, there is no international forum recent national regulatory initiatives. that currently addresses the question of This is necessary, as there is a possi- a legal regime for the exploration and bility of having divergent views on the exploitation of the natural resources in interpretation of the Outer Space space. It is therefore recommended that Treaty as appropriately recognized by the international community should take the IISL. Moreover, clarification of some or all of the following steps: the applicable international law would be important for avoiding interna- • Invigorate discussions in the ISECG tional conflicts and for encouraging in order to further elaborate its Global the required significant investment in Exploration Roadmap in view of enterprises undertaking exploitation recent national regulatory initiatives of space’s natural resources. regarding commercial exploitation of space natural resources; Given the current geopolitical cli- • States’ parties to the Moon Agreement mate, it is quite unlikely that an entirely should call a second meeting of the new treaty governing the exploration parties (1) to deliberate on the impli- and eventual exploitation of the natural cations of the U. S. Space Act of 2015 resources of the Moon and other celestial with respect to their rights and obliga- bodies will be negotiated and adopted tions under the Moon Agreement, (2) within the next few years. What is likely, to come up a strategy to cope with the however, is that the renewed interest in situation created by the new U. S. law space exploration and exploitation for and (3) to consider how to increase natural resources may provide the ratio- acceptance of, and adopt amendments nale and impetus for a large number of to, the Moon Agreement, if consid- emerging spacefaring nations and non- ered necessary; spacefaring nations to consider acceding • If the required consensus can be to the Moon Agreement. On the other achieved, UN COPUOS should initi- hand countries that anticipate the possi- ate consideration of the Moon bility of engaging in space mining in the Agreement, particularly its increased nearer term may take the opposite course acceptance by States; and, of abstaining from ratifying the Moon • A State or a group of States may initi- Agreement. Further they may move to ate, thorough the U. N. General enact domestic legislation that is perhaps parallel to the U. S. legislation adopted 4 The Global Exploration Roadmap, online: in November 2015 entitling exclusive NASA http://www.nasa.gov/sites/default/files/ benefits to national public or private files/GER-2013_Small.pdf. entities (corporations). This thus has the 12 Conclusions and the Way Forward 151 potential of being a divisive issue frameworks are therefore important, between those countries and private necessary and cannot be overlooked. enterprises that intent on space mining The new U. S. Space Act of 2015 moving in one direction while other represents a key step in terms of national countries that view celestial bodies and legislation and could perhaps become a especially the Moon as part of the global model for what other countries may commons moving in the opposite direc- enact in terms of their own efforts to set tion. The way forward could be the the stage for future space mining. The adherence to Moon Agreement and/or U. S. legislation is important not only in cooperative arrangement for collective terms of seeking to define some national venture(s) such as the original regulatory guidelines related to space INTELSAT or INMARSAT, to which all mining but also in terms of encouraging nations and their respective public and the development of new, more efficient private entities should be invited to par- space transportation systems, new ticipate in order to organise international approaches to liability, and other mat- public private partnerships. The last ters that are ancillary, yet important to option would be a kind of an interna- the future development of space mining tional public-private partnership for activities. This act will also likely serve exploitation of space’s natural resources. as a stimulus to new international dis- For the moment, leaving aside ques- cussions about the international legal tions as to whether the 1979 Moon rules and regulatory controls related to Agreement is the most appropriate inter- space mining. It will also likely serve to national framework for regulating such focus on the issue of whether commer- activities internationally, the fact cial entities may, going forward, be remains that the development of suitable explicitly addressed in international national legal frameworks to govern agreements in addition to nation states. such activities is imperative not only for Although the actual mounting of purposes of avoiding conflicts but also space mining activities may still be some as a means of attracting substantial years away, it seems both reasonable and financial investments that are required to prudent to address the international and fund the exploration and eventual national legal, regulatory, financial, and exploitation of the natural resources of organizational aspects of off-world space. Appropriate national regulatory activities in a proactive way. Waiting frameworks will also be important and until serious problems arise has never necessary for the purposes of (1) worked well in the past. It seems unwise national implementation of the interna- to delay enacting appropriate national tional obligation for requiring authori- and international regulatory controls zation by, and exercising continuous until after direct conflict between nations supervision over, private corporations, or commercial operations have actually and (2) the apportioning of any interna- occurred. There is the old adage that tional liability that the government of a says: “It makes no sense to bar the barn State may be saddled with as a result of doors after the horses have been stolen.” damage arising from the exploitative This applies to precious horses in the activities conducted in space by a pri- barn and to precious metals located in vate sector entity. National regulatory asteroids in space. Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law

Recognizing the common interest of Treaty on Principles all mankind in the progress of the explo- Governing the Activities ration and use of outer space for peace- of States in the Exploration ful purposes, and Use of Outer Space, Believing that the exploration and Including the Moon use of outer space should be carried on and Other Celestial Bodies for the benefit of all peoples irrespective (1967) of the degree of their economic or scientific development, (Popularly known as the Outer Space Desiring to contribute to broad inter- Treaty) national co-operation in the scientific as well as the legal aspects of the explora- Adoption by the UN General Assembly: tion and use of outer space for peaceful 19 December 1966 purposes, (Resolution: 2222 (XXI)) Believing that such co-operation will Opened for signature: 27 January 1967, contribute to the development of mutual London, Moscow, Washington understanding and to the strengthening Entry into force: 10 October 1967 of friendly relations between States and Depositary: Russian Federation, peoples, United Kingdom Recalling resolution 1962 (XVIII), United States entitled “Declaration of Legal Principles (Sources: 18 UST 2410; TIAS 6347; Governing the Activities of States in the 610 UNTS 205) Exploration and Use of Outer Space”, (As of 4 April 2016, there are 104 ratifi- which was adopted unanimously by the cations and 25 signatures) United Nations General Assembly on 13 December 1963, The States Parties to this Treaty, Recalling resolution 1884 (XVIII), Inspired by the great prospects open- calling upon States to refrain from ing up before mankind as a result of placing in orbit around the earth any man’s entry into outer space, objects carrying nuclear weapons or

© Springer International Publishing Switzerland 2017 153 R.S. Jakhu et al., Space Mining and Its Regulation, Astronautical Engineering, DOI 10.1007/978-3-319-39246-2 154 Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law any other kinds of weapons of mass Article II destruction or from installing such Outer space, including the moon and weapons on celestial bodies, which other celestial bodies, is not subject to was adopted unanimously by the national appropriation by claim of sov- United Nations General Assembly on ereignty, by means of use or occupation, 17 October 1963, or by any other means. Taking account of United Nations General Assembly resolution 110 (II) of Article III 3 November 1947, which condemned States Parties to the Treaty shall carry on propaganda designed or likely to pro- activities in the exploration and use of voke or encourage any threat to the outer space, including the moon and peace, breach of the peace or act of other celestial bodies, in accordance with aggression, and considering that the international law, including the Charter aforementioned resolution is applicable of the United Nations, in the interest of to outer space, maintaining international peace and Convinced that a Treaty on Principles security and promoting international co- Governing the Activities of States in the operation and understanding. Exploration and Use of Outer Space, including the Moon and Other Celestial Article IV Bodies, will further the Purposes and States Parties to the Treaty undertake Principles of the Charter of the United not to place in orbit around the earth any Nations, objects carrying nuclear weapons or any Have agreed on the following: other kinds of weapons of mass destruction, install such weapons on celestial Article I bodies, or station such weapons in outer The exploration and use of outer space, space in any other manner. including the moon and other celestial The moon and other celestial bodies bodies, shall be carried out for the ben- shall be used by all States Parties to the efit and in the interests of all countries, Treaty exclusively for peaceful pur- irrespective of their degree of economic poses. The establishment of military or scientific development, and shall be bases, installations and fortifications, the province of all mankind. the testing of any type of weapons and Outer space, including the moon and the conduct of military manoeuvres on other celestial bodies, shall be free for celestial bodies shall be forbidden. The exploration and use by all States without use of military personnel for scientific discrimination of any kind, on a basis of research or for any other peaceful pur- equality and in accordance with interna- poses shall not be prohibited. The use of tional law, and there shall be free access any equipment or facility necessary for to all areas of celestial bodies. peaceful exploration of the moon and There shall be freedom of scientific other celestial bodies shall also not be investigation in outer space, including prohibited. the moon and other celestial bodies, and States shall facilitate and encourage Article V international co-operation in such States Parties to the Treaty shall regard investigation. astronauts as envoys of mankind in Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law 155 outer space and shall render to them all Article VII possible assistance in the event of acci- Each State Party to the Treaty that dent, distress, or emergency landing on launches or procures the launching of an the territory of another State Party or on object into outer space, including the the high seas. When astronauts make moon and other celestial bodies, and such a landing, they shall be safely and each State Party from whose territory or promptly returned to the State of regis- facility an object is launched, is interna- try of their space vehicle. tionally liable for damage to another In carrying on activities in outer State Party to the Treaty or to its natural space and on celestial bodies, the astro- or juridical persons by such object or its nauts of one State Party shall render all component parts on the Earth, in air possible assistance to the astronauts of space or in outer space, including the other States Parties. moon and other celestial bodies. States Parties to the Treaty shall immediately inform the other States Article VIII Parties to the Treaty or the Secretary- A State Party to the Treaty on whose General of the United Nations of any registry an object launched into outer phenomena they discover in outer space, space is carried shall retain jurisdiction including the moon and other celestial and control over such object, and over bodies, which could constitute a danger any personnel thereof, while in outer to the life or health of astronauts. space or on a celestial body. Ownership of objects launched into outer space, Article VI including objects landed or constructed States Parties to the Treaty shall bear on a celestial body, and of their compo- international responsibility for national nent parts, is not affected by their pres- activities in outer space, including the ence in outer space or on a celestial moon and other celestial bodies, whether body or by their return to the Earth. such activities are carried on by govern- Such objects or component parts found mental agencies or by non-governmental beyond the limits of the State Party to entities, and for assuring that national the Treaty on whose registry they are activities are carried out in conformity carried shall be returned to that State with the provisions set forth in the pres- Party, which shall, upon request, furnish ent Treaty. The activities of non-govern- identifying data prior to their return. mental entities in outer space, including the moon and other celestial bodies, shall Article IX require authorization and continuing In the exploration and use of outer supervision by the appropriate State space, including the moon and other Party to the Treaty. When activities are celestial bodies, States Parties to the carried on in outer space, including the Treaty shall be guided by the principle moon and other celestial bodies, by an of co-operation and mutual assistance international organization, responsibility and shall conduct all their activities in for compliance with this Treaty shall be outer space, including the moon and borne both by the international organiza- other celestial bodies, with due regard to tion and by the States Parties to the Treaty the corresponding interests of all other participating in such organization. States Parties to the Treaty. States 156 Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law

Parties to the Treaty shall pursue studies of such activities. On receiving the said of outer space, including the moon and information, the Secretary-General of other celestial bodies, and conduct the United Nations should be prepared exploration of them so as to avoid their to disseminate it immediately and harmful contamination and also adverse effectively. changes in the environment of the Earth resulting from the introduction of extra- Article XII terrestrial matter and, where necessary, All stations, installations, equipment shall adopt appropriate measures for and space vehicles on the moon and this purpose. If a State Party to the other celestial bodies shall be open to Treaty has reason to believe that an representatives of other States Parties to activity or experiment planned by it or the Treaty on a basis of reciprocity. Such its nationals in outer space, including representatives shall give reasonable the moon and other celestial bodies, advance notice of a projected visit, in would cause potentially harmful inter- order that appropriate consultations may ference with activities of other States be held and that maximum precautions Parties in the peaceful exploration and may be taken to assure safety and to use of outer space, including the moon avoid interference with normal opera- and other celestial bodies, it shall under- tions in the facility to be visited. take appropriate international consultations before proceeding with any such Article XVI activity or experiment. A State Party to Any State Party to the Treaty may give the Treaty which has reason to believe notice of its withdrawal from the Treaty that an activity or experiment planned 1 year after its entry into force by writ- by another State Party in outer space, ten notification to the Depositary including the moon and other celestial Governments. Such withdrawal shall bodies, would cause potentially harmful take effect 1 year from the date of receipt interference with activities in the peace- of this notification. ful exploration and use of outer space, including the moon and other celestial Article XVII bodies, may request consultation con- This Treaty, of which the English, cerning the activity or experiment. Russian, French, Spanish and Chinese texts are equally authentic, shall be Article XI deposited in the archives of the In order to promote international co- Depositary Governments. Duly certified operation in the peaceful exploration copies of this Treaty shall be transmitted and use of outer space, States Parties to by the Depositary Governments to the the Treaty conducting activities in outer Governments of the signatory and space, including the moon and other acceding States. celestial bodies, agree to inform the In witness whereof the undersigned, Secretary-General of the United Nations duly authorised, have signed this Treaty. as well as the public and the interna- Done in triplicate, at the cities of tional scientific community, to the great- London, Moscow and Washington, the est extent feasible and practicable, of twenty-seventh day of January, one the nature, conduct, locations and results thousand nine hundred and sixty-seven. Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law 157

Agreement on the Rescue personnel of a spacecraft have suffered of Astronauts, the Return accident or are experiencing conditions of Astronauts of distress or have made an emergency and the Return of Objects or unintended landing in territory under Launched into Outer its jurisdiction or on the high seas or in Space (1968) any other place not under the jurisdiction of any State shall immediately: Adoption by the UN General Assembly: 19 December 1967 (a) notify the launching authority or, if (Resolution: 2345 (XXII)) it cannot identify and immediately Opened for signature: 22 April 1968, communicate with the launching London, Moscow, Washington authority, immediately make a pub- Entry into force: 3 December 1968 lic announcement by all appropriate Depositary: Russian Federation means of communication at its United Kingdom disposal; United States (b) notify the Secretary-General of the (Sources: 19 UST 7570; TIAS 6599; United Nations, who should dis- 672 UNTS 119) seminate the information without (As of 4 April 2016, there are 94 ratifica- delay by all appropriate means of tions, 24 signatures and 2 acceptances of communication at his disposal. rights and obligations) (Selected Articles) Article 2 The Contracting Parties, If, owing to accident, distress, emer- Noting the great importance of the gency or unintended landing, the per- Treaty on Principles Governing the sonnel of a spacecraft land in territory Activities of States in the Exploration under the jurisdiction of a Contracting and Use of Outer Space, including the Party, it shall immediately take all pos- Moon and Other Celestial Bodies, sible steps to rescue them and render which calls for the rendering of all pos- them all necessary assistance. It shall sible assistance to astronauts in the inform the launching authority and also event of accident, distress or emergency the Secretary-General of the United landing, the prompt and safe return of Nations of the steps it is taking and of astronauts, and the return of objects their progress. If assistance by the launched into outer space, launching authority would help to effect Desiring to develop and give further a prompt rescue or would contribute concrete expression to these duties, substantially to the effectiveness of Wishing to promote international co- search and rescue operations, the operation in the peaceful exploration launching authority shall co-operate and use of outer space, with the Contracting Party with a view Prompted by sentiments of humanity, to the effective conduct of search and Have agreed on the following: rescue operations. Such operations shall be subject to the direction and control of Article 1 the Contracting Party, which shall act in Each Contracting Party which receives close and continuing consultation with information or discovers that the the launching authority. 158 Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law

Article 3 3. Upon request of the launching If information is received or it is discov- authority, objects launched into outer ered that the personnel of a spacecraft space or their component parts found have alighted on the high seas or in any beyond the territorial limits of the other place not under the jurisdiction of launching authority shall be returned any State, those Contracting Parties to or held at the disposal of represen- which are in a position to do so shall, if tatives of the launching authority, necessary, extend assistance in search which shall, upon request, furnish and rescue operations for such person- identifying data prior to their return. nel to assure their speedy rescue. They 4. Notwithstanding paragraphs 2 and 3 shall inform the launching authority and of this Article, a Contracting Party the Secretary-General of the United which has reason to believe that a Nations of the steps they are taking and space object or its component parts of their progress. discovered in territory under its jurisdiction, or recovered by it elsewhere, Article 4 is of a hazardous or deleterious If, owing to accident, distress, emer- nature may so notify the launching gency or unintended landing, the per- authority, which shall immediately sonnel of a spacecraft land in territory take effective steps, under the direc- under the jurisdiction of a Contracting tion and control of the said Party or have been found on the high Contracting Party, to eliminate pos- seas or in any other place not under the sible danger of harm. jurisdiction of any State, they shall be 5. Expenses incurred in fulfilling obli- safely and promptly returned to repre- gations to recover and return a space sentatives of the launching authority. object or its component parts under paragraphs 2 and 3 of this Article Article 5 shall be borne by the launching 1. Each Contracting Party which authority. receives information or discovers that a space object or its component Article 6 parts has returned to Earth in terri- For the purposes of this Agreement, the tory under its jurisdiction or on the term “launching authority” shall refer to high seas or in any other place not the State responsible for launching, or, under the jurisdiction of any State, where an international intergovernmen- shall notify the launching authority tal organization is responsible for and the Secretary-General of the launching, that organization, provided United Nations. that organization declares its acceptance 2. Each Contracting Party having juris- of the rights and obligations provided diction over the territory on which a for in this Agreement and a majority of space object or its component parts the States members of that organization has been discovered shall, upon the are Contracting Parties to this request of the launching authority Agreement and to the Treaty on and with assistance from that author- Principles Governing the Activities of ity if requested, take such steps as it States in the Exploration and Use of finds practicable to recover the object Outer Space, including the Moon and or component parts. Other Celestial Bodies. Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law 159

Convention on International co-operation in the field of the explora- Liability for Damage Caused tion and use of outer space for peaceful by Space Objects (1972) purposes, Have agreed on the following: Adoption by the UN General Assembly: 29 November 1971 Article I (Resolution: 2777 (XXVI)) For the purposes of this Convention: Opened for signature: 29 March 1972, Entry into force: 1 September 1972 (a) The term “damage” means loss of Depositary: Russian Federation life, personal injury or other impair- United Kingdom ment of health; or loss of or damage United States to property of States or of persons, (Sources: 24 UST 2389; TIAS 7762; natural or juridical, or property of 961 UNTS 187) international intergovernmental (As of 4 April 2016, there are 92 ratifica- organizations; tions, 21 signatures and 3 acceptances of (b) The term “launching” includes rights and obligations) (Selected Articles) attempted launching; (c) The term “launching State” means: The States Parties to this Convention, • a state which launches or pro- Recognizing the common interest of cures the launching of a space all mankind in furthering the explora- object; tion and use of outer space for peaceful • a State from whose territory or purposes, Recalling the Treaty on facility a space object is Principles Governing the Activities of launched; States in the Exploration and Use of (d) The term “space object” includes Outer Space, including the Moon and component parts of a space object Other Celestial Bodies, as well as its launch vehicle and Taking into consideration that, not- parts thereof. withstanding the precautionary measures to be taken by States and Article II international intergovernmental organi- A launching State shall be absolutely zations involved in the launching of liable to pay compensation for damage space objects, damage may on occasion caused by its space object on the surface be caused by such objects, of the earth or to aircraft in flight. Recognizing the need to elaborate effective international rules and proce- Article III dures concerning liability for damage In the event of damage being caused caused by space objects and to ensure, elsewhere than on the surface of the in particular, the prompt payment under earth to a space object of one launching the terms of this Convention of a full State or to persons or property on board and equitable measure of compensation such a space object by a space object of to victims of such damage, another launching State, the latter shall Believing that the establishment of be liable only if the damage is due to its such rules and procedures will contrib- fault or the fault of persons for whom it ute to the strengthening of international is responsible. 160 Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law

Article IV jointly and severally liable for any 1. In the event of damage being caused damage caused. elsewhere than on the surface of the 2. A launching State which has paid earth to a space object of one launching compensation for damage shall have State or to persons or property on board the right to present a claim for indem- such a space object by a space object of nification to other participants in the another launching State, and of dam- joint launching. The participants in a age thereby being caused to a third joint launching may conclude agree- State or to its natural or juridical per- ments regarding the apportioning sons, the first two States shall be jointly among themselves of the financial and severally liable to the third State, to obligation in respect of which they are the extent indicated by the following: jointly and severally liable. Such (a) If the damage has been caused to agreements shall be without prejudice the third State on the surface of to the right of a State sustaining dam- the earth or to aircraft in flight, age to seek the entire compensation their liability to the third State due under this Convention from any shall be absolute; or all of the launching States which (b) If the damage has been caused to a are jointly and severally liable. space object of the third State or to 3. A State from whose territory or facil- persons or property on board that ity a space object is launched shall be space object elsewhere than on the regarded as a participant in a joint surface of the earth, their liability launching. to the third State shall be based on the fault of either of the first two Article VI States or on the fault of persons for 1. Subject to the provisions of para- whom either is responsible. graph 2 of this Article, exoneration 2. In all cases of joint and several liability from absolute liability shall be referred to in paragraph 1 of this granted to the extent that a launching Article, the burden of compensation State establishes that the damage has for the damage shall be apportioned resulted either wholly or partially between the first two States in accor- from gross negligence or from an act dance with the extent to which they or omission done with intent to cause were at fault; if the extent of the fault of damage on the part of a claimant each of these States cannot be estab- State or of natural or juridical per- lished, the burden of compensation sons it represents. shall be apportioned equally between 2. No exoneration whatever shall be them. Such apportionment shall be granted in cases where the damage without prejudice to the right of the has resulted from activities conducted third State to seek the entire compensa- by a launching State which are not in tion due under this Convention from conformity with international law any or all of the launching States which including, in particular, the Charter of are jointly and severally liable. the United Nations and the Treaty on Principles Governing the Activities Article V of States in the Exploration and Use 1. Whenever two or more States jointly of Outer Space, including the Moon launch a space object, they shall be and Other Celestial Bodies. Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law 161

Article VII otherwise represent its interests under The provisions of this Convention shall this Convention. It may also present its not apply to damage caused by a space claim through the Secretary-General of object of a launching State to: the United Nations, provided the claimant State and the launching State are (a) nationals of that launching State; both Members of the United Nations. (b) foreign nationals during such time as they are participating in the Article XII operation of that space object from The compensation which the launching the time of its launching or at any State shall be liable to pay for damage stage thereafter until its descent, or under this Convention shall be deter- during such time as they are in the mined in accordance with international immediate vicinity of a planned law and the principles of justice and launching or recovery area as the equity, in order to provide such repara- result of an invitation by that tion in respect of the damage as will launching State. restore the person, natural or juridical, State or international organization on Article VIII whose behalf the claim is presented to 1. A State which suffers damage, or the condition which would have existed whose natural or juridical persons if the damage had not occurred. suffer damage, may present to a launching State a claim for compen- Article XIV sation for such damage. If no settlement of a claim is arrived at 2. If the State of nationality has not pre- through diplomatic negotiations as pro- sented a claim, another State may, in vided for in Article IX, within 1 year respect of damage sustained in its from the date on which the claimant territory by any natural or juridical State notifies the launching State that it person, present a claim to a launching has submitted the documentation of its State. claim, the parties concerned shall estab- 3. If neither the State of nationality nor lish a Claims Commission at the request the State in whose territory the dam- of either party. age was sustained has presented a claim or notified its intention of pre- Article XXI senting a claim, another State may, in If the damage caused by a space object respect of damage sustained by its presents a large-scale danger to human permanent residents, present a claim life or seriously interferes with the liv- to a launching State. ing conditions of the population or the functioning of vital centres, the States Article IX Parties, and in particular the launching A claim for compensation for damage State, shall examine the possibility of shall be presented to a launching State rendering appropriate and rapid assis- through diplomatic channels. If a State tance to the State which has suffered the does not maintain diplomatic relations damage, when it so requests. However, with the launching State concerned, it nothing in this Article shall affect the may request another State to present its rights or obligations of the States Parties claim to that launching State or under this Convention. 162 Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law

Convention on Registration the territorial limits of the launching of Objects Launched authority, into Outer Space (1975) Recalling further that the Convention on international liability for damage Adoption by the UN General Assembly: caused by space objects of 29 March 12 November 1974 1972 establishes international rules and (Resolution: 3235 (XXIX)) procedures concerning the liability of Opened for signature: 14 January 1975, launching States for damage caused by New York their space objects, Entry into force: 15 September 1976 Desiring, in the light of the Treaty on Depositary: UN Secretary-General principles governing the activities of (Sources: 28 UST 695; TIAS 8480; States in the exploration and use of outer 1023 UNTS 15) space, including the moon and other celes- (As of 4 April 2016, there are 62 ratifi- tial bodies, to make provision for the cations, 4 signatures and 3 acceptances national registration by launching States of rights and obligations) (Selected of space objects launched into outer space, Articles) Desiring further that a central register of objects launched into outer space The States Parties to this Convention, be established and maintained, on a Recognizing the common interest of mandatory basis, by the Secretary- all mankind in furthering the explora- General of the United Nations, tion and use of outer space for peaceful Desiring also to provide for States purposes, Parties additional means and procedures Recalling that the Treaty on princi- to assist in the identification of space ples governing the activities of States in objects, the exploration and use of outer space, Believing that a mandatory system of including the moon and other celestial registering objects launched into outer bodies of 27 January 1967 affirms that space would, in particular, assist in their States shall bear international responsi- identification and would contribute to bility for their national activities in outer the application and development of space and refers to the State on whose international law governing the explora- registry an object launched into outer tion and use of outer space, space is carried, Have agreed on the following: Recalling also that the Agreement on the rescue of astronauts, the return of Article I astronauts and the return of objects For the purposes of this Convention: launched into outer space of 22 April 1968 provides that a launching authority (a) The term “launching State” means: shall, upon request, furnish identifying • A State which launches or pro- data prior to the return of an object it has cures the launching of a space launched into outer space found beyond object; Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law 163

• A State from whose territory or Article III facility a space object is 1. The Secretary-General of the United launched; Nations shall maintain a Register in (b) The term “space object” includes which the information furnished in component parts of a space object accordance with article IV shall be as well as its launch vehicle and recorded. parts thereof; 2. There shall be full and open access to (c) The term “State of registry” means the information in this Register. a launching State on whose registry a space object is carried in accor- Article IV dance with article II. 1. Each State of registry shall furnish to the Secretary-General of the United Article II Nations, as soon as practicable, the fol- 1. When a space object is launched into lowing information concerning each earth orbit or beyond, the launching space object carried on its registry: State shall register the space object (a) Name of launching State or by means of an entry in an appropri- States; ate registry which it shall maintain. (b) An appropriate designator of the Each launching State shall inform the space object or its registration Secretary-General of the United number; Nations of the establishment of such (c) Date and territory or location of a registry. launch; 2. Where there are two or more launch- (d) Basic orbital parameters, ing States in respect of any such including: space object, they shall jointly deter- • Nodal period mine which one of them shall regis- • Inclination ter the object in accordance with • Apogee paragraph 1 of this article, bearing in • Perigee mind the provisions of article VIII of (e) General function of the space the Treaty on principles governing object. the activities of States in the explora- 2. Each State of registry may, from time tion and use of outer space, including to time, provide the Secretary- the moon and other celestial bodies, General of the United Nations with and without prejudice to appropriate additional information concerning a agreements concluded or to be con- space object carried on its registry. cluded among the launching States 3. Each State of registry shall notify the on jurisdiction and control over the Secretary-General of the United space object and over any personnel Nations, to the greatest extent feasi- thereof. ble and as soon as practicable, of 3. The contents of each registry and the space objects concerning which it conditions under which it is main- has previously transmitted informa- tained shall be determined by the tion, and which have been but no State of registry concerned. longer are in earth orbit. 164 Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law

Article V the Convention and thereafter for each Whenever a space object launched into remaining State Party to the Convention earth orbit or beyond is marked with the on the date of acceptance by it. designator or registration number referred to in article IV, paragraph 1 (b), Article XII or both, the State of registry shall notify The original of this Convention, of the Secretary-General of this fact when which the Arabic, Chinese, English, submitting the information regarding French, Russian and Spanish texts are the space object in accordance with arti- equally authentic, shall be deposited cle IV. In such case, the Secretary- with the Secretary-General of the United General of the United Nations shall Nations, who shall send certified copies record this notification in the Register. thereof to all signatory and acceding States. Article IX In witness whereof the undersigned, Any State Party to this Convention may being duly authorized thereto by their propose amendments to the Convention. respective Governments, have signed Amendments shall enter into force for this Convention, opened for signature at each State Party to the Convention accept- New York on the fourteenth day of ing the amendments upon their accep- January one thousand nine hundred and tance by a majority of the States Parties to seventy-five. Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law 165

Agreement Governing Outer Space, the Convention on the Activities of States International Liability for Damage on the Moon and Other Caused by Space Objects, and the Celestial Bodies (1979) Convention on Registration of Objects Launched into Outer Space, (Popularly Known as the Moon Taking into account the need to Agreement) define and develop the provisions of these international instruments in rela- Adoption by the UN General Assembly: tion to the moon and other celestial bod- 5 December 1979 ies, having regard to further progress in (Resolution: 34/68) the exploration and use of outer space, Opened for signature: 18 December Have agreed on the following: 1979, New York Entry into force: 11 July 1984 Article 1 Depositary: UN Secretary-General 1. The provisions of this Agreement (Sources: 18 ILM 1434; 1363 UNTS 3) relating to the moon shall also apply (As of 4 April 2016, there are 16 ratifi- to other celestial bodies within the cations and 4 signatures) solar system, other than the earth, except in so far as specific legal The States Parties to this Agreement, norms enter into force with respect to Noting the achievements of States in any of these celestial bodies. the exploration and use of the moon and 2. For the purposes of this Agreement other celestial bodies, reference to the moon shall include Recognizing that the moon, as a nat- orbits around or other trajectories to ural satellite of the earth, has an impor- or around it. tant role to play in the exploration of 3. This Agreement does not apply to outer space, extraterrestrial materials which reach Determined to promote on the basis the surface of the earth by natural of equality the further development of means. co-operation among States in the exploration and use of the moon and other Article 2 celestial bodies, All activities on the moon, including its Desiring to prevent the moon from exploration and use, shall be carried out becoming an area of international conflict, in accordance with international law, in Bearing in mind the benefits which particular the Charter of the United may be derived from the exploitation of Nations, and taking into account the the natural resources of the moon and Declaration on Principles of other celestial bodies, International Law concerning Friendly Recalling the Treaty on Principles Relations and Co-operation Among Governing the Activities of States in the States in accordance with the Charter of Exploration and Use of Outer Space, the United Nations, adopted by the including the Moon and Other Celestial General Assembly on 24 October 1970, Bodies, the Agreement on the Rescue of in the interests of maintaining interna- Astronauts, the Return of Astronauts tional peace and security and promoting and the Return of Objects Launched into international co-operation and mutual 166 Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law understanding, and with due regard to as well as to the need to promote the corresponding interests of all other higher standards of living and condi- States Parties. tions of economic and social progress and development in accordance Article 3 with the Charter of the United 1. The moon shall be used by all States Nations. Parties exclusively for peaceful 2. States Parties shall be guided by the purposes. principle of co-operation and mutual 2. Any threat or use of force or any assistance in all their activities con- other hostile act or threat of hostile cerning the exploration and use of the act on the moon is prohibited. It is moon. International co-operation in likewise prohibited to use the moon pursuance of this Agreement should in order to commit any such act or to be as wide as possible and may take engage in any such threat in relation place on a multilateral basis, on a to the earth, the moon, spacecraft, the bilateral basis or through international personnel of spacecraft or man-made intergovernmental organizations. space objects. 3. States Parties shall not place in orbit Article 5 around or other trajectory to or 1. States Parties shall inform the around the moon objects carrying Secretary-General of the United nuclear weapons or any other kinds Nations as well as the public and the of weapons of mass destruction or international scientific community, place or use such weapons on or in to the greatest extent feasible and the moon. practicable, of their activities con- 4. The establishment of military bases, cerned with the exploration and use installations and fortifications, the of the moon. Information on the time, testing of any type of weapons and the purposes, locations, orbital parame- conduct of military manoeuvres on ters and duration shall be given in the moon shall be forbidden. The use respect of each mission to the moon of military personnel for scientific as soon as possible after launching, research or for any other peaceful pur- while information on the results of poses shall not be prohibited. The use each mission, including scientific of any equipment or facility necessary results, shall be furnished upon com- for peaceful exploration and use of pletion of the mission. In the case of the moon shall also not be prohibited. a mission lasting more than 30 days, information on conduct of the mis- Article 4 sion, including any scientific results, 1. The exploration and use of the moon shall be given periodically at 30 shall be the province of all mankind days’ intervals. For missions lasting and shall be carried out for the bene- more than 6 months, only significant fit and in the interests of all countries, additions to such information need irrespective of their degree of eco- be reported thereafter. nomic or scientific development. 2. If a State Party becomes aware that Due regard shall be paid to the inter- another State Party plans to operate ests of present and future generations simultaneously in the same area of or Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law 167

in the same orbit around or trajectory personnel on expeditions to or instal- to or around the moon, it shall lations on the moon to the greatest promptly inform the other State of extent feasible and practicable. the timing of and plans for its own operations. Article 7 3. In carrying out activities under this 1. In exploring and using the moon, Agreement, States Parties shall States Parties shall take measures to promptly inform the Secretary- prevent the disruption of the existing General, as well as the public and the balance of its environment whether international scientific community, by introducing adverse changes in of any phenomena they discover in that environment, by its harmful con- outer space, including the moon, tamination through the introduction which could endanger human life or of extra-environmental matter or oth- health, as well as of any indication of erwise. States Parties shall also take organic life. measures to avoid harmfully affecting the environment of the earth Article 6 through the introduction of extrater- 1. There shall be freedom of scientific restrial matter or otherwise. investigation on the moon by all 2. States Parties shall inform the States Parties without discrimination Secretary-General of the United of any kind, on the basis of equality Nations of the measures being and in accordance with international adopted by them in accordance with law. paragraph 1 of this article and shall 2. In carrying out scientific investiga- also, to the maximum extent feasible, tions and in furtherance of the provi- notify him in advance of all place- sions of this Agreement, the States ments by them of radio-active mate- Parties shall have the right to collect rials on the moon and of the purposes on and remove from the moon sam- of such placements. ples of its mineral and other sub- 3. States Parties shall report to other stances. Such samples shall remain States Parties and to the Secretary- at the disposal of those States Parties General concerning areas of the which caused them to be collected moon having special scientific and may be used by them for scien- interest in order that, without preju- tific purposes. States Parties shall dice to the rights of other States have regard to the desirability of Parties, consideration may be given making a portion of such samples to the designation of such areas as available to other interested States international scientific preserves for Parties and the international scien- which special protective arrange- tific community for scientific investi- ments are to be agreed upon in con- gation. States Parties may in the sultation with the competent bodies course of scientific investigations of the United Nations. also use mineral and other substances of the moon in quantities appropriate Article 8 for the support of their missions. 1. States Parties may pursue their activ- 3. States Parties agree on the desirabil- ities in the exploration and use of the ity of exchanging scientific and other moon anywhere on or below its sur- 168 Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law

face, subject to the provisions of this ing activities on the moon in Agreement. accordance with the provisions of 2. For these purposes States Parties this Agreement or of article I of the may, in particular: Treaty on Principles Governing the (a) Land their space objects on the Activities of States in the Exploration moon and launch them from the and Use of Outer Space, including moon; the Moon and Other Celestial Bodies. (b) Place their personnel, space vehicles, equipment, facilities, Article 10 stations and installations any- 1. States Parties shall adopt all practi- where on or below the surface of cable measures to safeguard the life the moon. Personnel, space vehi- and health of persons on the moon. cles, equipment, facilities, sta- For this purpose they shall regard any tions and installations may move person on the moon as an astronaut or be moved freely over or below within the meaning of article V of the the surface of the moon. Treaty on Principles Governing the 3. Activities of States Parties in accor- Activities of States in the Exploration dance with paragraphs 1 and 2 of this and Use of Outer Space, including article shall not interfere with the the Moon and Other Celestial Bodies activities of other States Parties on and as part of the personnel of a the moon. Where such interference spacecraft within the meaning of the may occur, the States Parties con- Agreement on the Rescue of cerned shall undertake consultations Astronauts, the Return of Astronauts in accordance with article 15, para- and the Return of Objects Launched graphs 2 and 3 of this Agreement. into Outer Space. 2. States Parties shall offer shelter in Article 9 their stations, installations, vehicles 1. States Parties may establish manned and other facilities to persons in dis- and unmanned stations on the moon. tress on the moon. A State Party establishing a station shall use only that area which is Article 11 required for the needs of the station 1. The moon and its natural resources and shall immediately inform the are the common heritage of mankind, Secretary-General of the United which finds its expression in the pro- Nations of the location and purposes visions of this Agreement and in par- of that station. Subsequently, at ticular in paragraph 5 or this article. annual intervals that State shall like- 2. The moon is not subject to national wise inform the Secretary-General appropriation by any claim of sover- whether the station continues in use eignty, by means of use or occupa- and whether its purposes have tion, or by any other means. changed. 3. Neither the surface nor the subsur- 2. Stations shall be installed in such a face of the moon, nor any part thereof manner that they do not impede the or natural resources in place, shall free access to all areas of the moon become property of any State, inter- by personnel, vehicles and equip- national intergovernmental or non- ment of other States Parties conduct- governmental organization, national Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law 169

organization or non-governmental (b) The rational management of entity or of any natural person. The those resources; placement of personnel, space vehi- (c) The expansion of opportunities cles, equipment, facilities, stations in the use of those resources; and installations on or below the sur- (d) An equitable sharing by all face of the moon, including struc- States Parties in the benefits tures connected with its surface or derived from those resources, subsurface, shall not create a right of whereby the interests and needs ownership over the surface or the of the developing countries, as subsurface of the moon or any areas well as the efforts of those coun- thereof. The foregoing provisions are tries which have contributed without prejudice to the international either directly or indirectly to the régime referred to in paragraph 5 of exploration of the moon, shall be this article. given special consideration. 4. States Parties have the right to explo- 8. All the activities with respect to the ration and use of the moon without natural resources of the moon shall discrimination of any kind, on a basis be carried out in a manner compati- of equality and in accordance with ble with the purposes specified in international law and the terms of paragraph 7 of this article and the this Agreement. provisions of article 6, paragraph 2, 5. States Parties to this Agreement of this Agreement. hereby undertake to establish an international régime, including appropriate Article 12 procedures, to govern the exploitation 1. States Parties shall retain jurisdiction of the natural resources of the moon as and control over their personnel, such exploitation is about to become vehicles, equipment, facilities, sta- feasible. This provision shall be imple- tions and installations on the moon. mented in accordance with article 18 The ownership of space vehicles, of this Agreement. equipment, facilities, stations and 6. In order to facilitate the establish- installations shall not be affected by ment of the international régime their presence on the moon. referred to in paragraph 5 of this arti- 2. Vehicles, installations and equip- cle, States Parties shall inform the ment or their component parts found Secretary-General of the United in places other than their intended Nations as well as the public and the location shall be dealt with in accor- international scientific community, dance with article 5 of the Agreement to the greatest extent feasible and on Rescue of Astronauts, the Return practicable, of any natural resources of Astronauts and the Return of they may discover on the moon. Objects Launched into Outer Space. 7. The main purposes of the interna- 3. In the event of an emergency involv- tional régime to be established shall ing a threat to human life, States include: Parties may use the equipment, vehi- (a) The orderly and safe develop- cles, installations, facilities or sup- ment of the natural resources of plies of other States Parties on the the moon; moon. Prompt notification of such 170 Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law

use shall be made to the Secretary- Article 15 General of the United Nations or the 1. Each State Party may assure itself State Party concerned. that the activities of other States Parties in the exploration and use of Article 13 the moon are compatible with the A State Party which learns of the crash provisions of this Agreement. To this landing, forced landing or other unin- end, all space vehicles, equipment, tended landing on the moon of a space facilities, stations and installations object, or its component parts, that were on the moon shall be open to other not launched by it, shall promptly inform States Parties. Such States Parties the launching State Party and the shall give reasonable advance notice Secretary-General of the United Nations. of a projected visit, in order that appropriate consultations may be Article 14 held and that maximum precautions 1. States Parties to this Agreement shall may be taken to assure safety and to bear international responsibility for avoid interference with normal oper- national activities on the moon, ations in the facility to be visited. In whether such activities are carried on pursuance of this article, any State by governmental agencies or by non- Party may act on its own behalf or governmental entities, and for assur- with the full or partial assistance of ing that national activities are carried any other State Party or through out in conformity with the provisions appropriate international procedures set forth in this Agreement. States within the framework of the United Parties shall ensure that non-govern- Nations and in accordance with the mental entities under their jurisdic- Charter. tion shall engage in activities on the 2. A State Party which has reason to moon only under the authority and believe that another State Party is not continuing supervision of the appro- fulfilling the obligations incumbent priate State Party. upon it pursuant to this Agreement or 2. States Parties recognize that detailed that another State Party is interfering arrangements concerning liability for with the rights which the former damage caused on the moon, in addi- State has under this Agreement may tion to the provisions of the Treaty request consultations with that State on Principles Governing the Party. A State Party receiving such a Activities of States in the Exploration request shall enter into such consul- and Use of Outer Space, including tations without delay. Any other the Moon and Other Celestial Bodies State Party which requests to do so and the Convention on International shall be entitled to take part in the Liability for Damage Caused by consultations. Each State Party par- Space Objects, may become neces- ticipating in such consultations shall sary as a result of more extensive seek a mutually acceptable resolu- activities on the moon. Any such tion of any controversy and shall arrangements shall be elaborated in bear in mind the rights and interests accordance with the procedure pro- of all States Parties. The Secretary- vided for in article 18 of this General of the United Nations shall Agreement. be informed of the results of the con- Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law 171

sultations and shall transmit the Agreement shall take all appropriate information received to all States steps to ensure that the organization Parties concerned. makes a declaration in accordance with 3. If the consultations do not lead to a the foregoing. mutually acceptable settlement which has due regard for the rights and Article 17 interests of all States Parties, the par- Any State Party to this Agreement may ties concerned shall take all measures propose amendments to the Agreement. to settle the dispute by other peaceful Amendments shall enter into force for means of their choice appropriate to each State Party to the Agreement accept- the circumstances and the nature of ing the amendments upon their accep- the dispute. If difficulties arise in tance by a majority of the States Parties connection with the opening of con- to the Agreement and thereafter for each sultations or if consultations do not remaining State Party to the Agreement lead to a mutually acceptable settle- on the date of acceptance by it. ment, any State Party may seek the assistance of the Secretary-General, Article 18 without seeking the consent of any Ten years after the entry into force of other State Party concerned, in order this Agreement, the question of the to resolve the controversy. A State review of the Agreement shall be Party which does not maintain diplo- included in the provisional agenda of matic relations with another State the General Assembly of the United Party concerned shall participate in Nations in order to consider, in the light such consultations, at its choice, of past application of the Agreement, either itself or through another State whether it requires revision. However, Party or the Secretary-General as at any time after the Agreement has intermediary. been in force for 5 years, the Secretary- General of the United Nations, as depos- Article 16 itory, shall, at the request of one third of With the exception of articles 17 to 21, the States Parties to the Agreement and references in this Agreement to States with the concurrence of the majority of shall be deemed to apply to any interna- the States Parties, convene a conference tional intergovernmental organization of the States Parties to review this which conducts space activities if the Agreement. A review conference shall organization declares its acceptance of also consider the question of the imple- the rights and obligations provided for mentation of the provisions of article 11, in this Agreement and if a majority of paragraph 5, on the basis of the principle the States members of the organization referred to in paragraph 1 of that article are States Parties to this Agreement and and taking into account in particular any to the Treaty on Principles Governing relevant technological developments. the Activities of States in the Exploration and Use of Outer Space, including the Article 19 Moon and Other Celestial Bodies. States 1. This Agreement shall be open for members of any such organization signature by all States at United which are States Parties to this Nations Headquarters in New York. 172 Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law

2. This Agreement shall be subject to who shall end certified copies thereof to ratification by signatory States. Any all signatory and acceding States. State which does not sign this In witness whereof the undersigned, Agreement before its entry into force being duly authorized thereto by their in accordance with paragraph 3 of respective Governments, have signed this article may accede to it at any this Agreement, opened for signature at time. Instruments of ratification or New York on December 18, 1979. accession shall be deposited with the Secretary-General of the United Nations. The United States: Space 3. This Agreement shall enter into force Resource Exploration on the thirtieth day following the and Utilization Act of 2015 date of deposit of the fifth instrument of ratification. Note this act is Title IV of the Space 4. For each State depositing its instru- Act of 2015 ment of ratification or accession after One Hundred Fourteenth Congress the entry into force of this Agreement, of the United States of America it shall enter into force on the thirtieth day following the date of deposit At the First Session of any such instrument. Begun and held at the City of 5. The Secretary-General shall Washington on Tuesday, the sixth day promptly inform all signatory and of January, two thousand and fifteen acceding States of the date of each signature, the date of deposit of each An Act instrument of ratification or acces- To facilitate a pro-growth environment sion to this Agreement, the date of its for the developing commercial space entry into force and other notices. industry by encouraging private sector investment and creating more stable and Article 20 predictable regulatory conditions, and Any State Party to this Agreement may for other purposes. give notice of its withdrawal from the Be it enacted by the Senate and Agreement 1 year after its entry into House of Representatives of the United force by written notification to the States of America in Congress Secretary-General of the United assembled, Nations. Such withdrawal shall take effect 1 year from the date of receipt of this notification. Title IV: Space Resource Exploration and Utilization Article 21 The original of this Agreement, of which SEC. 401. Short Title the Arabic, Chinese, English, French, Russian and Spanish texts are equally This title may be cited as the “Space authentic, shall be deposited with the Resource Exploration and Utilization Secretary-General of the United Nations, Act of 2015”. Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law 173

SEC. 402. Title 51 Amendment “(1) facilitate commercial exploration (a) IN GENERAL.—Subtitle V is for and commercial recovery of space amended by adding at the end the resources by United States citizens; following: “(2) discourage government barriers to the development in the United States of economically viable, safe, and stable “Chapter 513: Space industries for commercial exploration Resource Commercial for and commercial recovery of space Exploration and Utilization resources in manners consistent with the international obligations of the United “Sec. States; and “51301. Definitions. “(3) promote the right of United States “51302. Commercial exploration and citizens to engage in commercial explora- commercial recovery. tion for and commercial recovery of “51303. Asteroid resource and space space resources free from harmful inter- resource rights. ference, in accordance with the international obligations of the United States and “§ 51301. Definitions subject to authorization and continuing “In this chapter: supervision by the Federal Government. “(1) ASTEROID RESOURCE.— “(b) REPORT.—Not later than 180 The term ‘asteroid resource’ means a days after the date of enactment of this space resource found on or within a section, the President shall submit to single asteroid. Congress a report on commercial explo- “(2) SPACE RESOURCE.— ration for and commercial recovery of “(A) IN GENERAL.—The term space resources by United States citi- ‘space resource’ means an abiotic zens that specifies— resource in situ in outer space. “(1) the authorities necessary to meet “(B) INCLUSIONS.—The term the international obligations of the ‘space resource’ includes water and United States, including authorization minerals. and continuing supervision by the “(3) UNITED STATES CITIZEN.— Federal Government; and The term ‘United States citizen’ has the “(2) recommendations for the alloca- meaning given the term ‘citizen of the tion of responsibilities among Federal United States’ in section 50902. agencies for the activities described in paragraph (1). “§ 51302. Commercial Exploration and Commercial “§ 51303. Asteroid Resource Recovery and Space Resource Rights “(a) IN GENERAL.—The President, “A United States citizen engaged in acting through appropriate Federal commercial recovery of an asteroid agencies, shall— resource or a space resource under this 174 Appendix: Excerpts of Key International Space Treaties and Relevant U. S. Law chapter shall be entitled to any asteroid SEC. 403. Disclaimer resource or space resource obtained, of Extraterritorial including to possess, own, transport, Sovereignty use, and sell the asteroid resource or space resource obtained in accordance It is the sense of Congress that by the with applicable law, including the inter- enactment of this Act, the United States national obligations of the United does not thereby assert sovereignty or States.” sovereign or exclusive rights or jurisdic- (b) TABLE OF CHAPTERS.—The tion over, or the ownership of, any table of chapters for title 51 is amended celestial body. by adding at the end of the items for subtitle V the following: Speaker of the House of Representatives. “513. Space resource commercial Vice President of the United States and exploration and utilization ...... 0.51301”. President of the Senate. Glossary

Amor orbit NEO orbit that does not Investigation (DIXI), and the cross Earth’s orbit and is always outside Extrasolar Planet Observation and Earth’s orbit yet within 0.03 AU. Characterization (EPOCh). The Deep Impact spacecraft will conduct both Apollo orbit NEO orbit that crosses the DIXI and the Extrasolar Planet Earth’s orbit twice a year with an orbital Observation and Characterization mis- size that is larger than Earth’s orbit. sions during the cruise phase to Comet Assistance Convention Convention 103P/Hartley. The spacecraft was also on Assistance in the Case of a Nuclear used as a test platform for a delay-tol- Accident or Radiological Emergency, erant networking transmission while adopted on February 26, 1987. at a distance of 20 million miles from Earth. Aten orbit NEO orbit that crosses Earth orbit twice a year with an orbital HST The Hubble Space Telescope size that is smaller than Earth orbit. InSight This acronym for the U. S. CATALYST NASA’s developmen- Mars exploratory land mission stands tal partnership with industry partners for “Interior exploration using Seismic carried out under NASA’s Space Act Investigations, Geodesy and Heat Agreements (SAAs). The acronym Transport.” stands for Lunar CArgo Transportation IAASS International Association for And Landing bY Soft Touchdown the Advancement of Space Safety. (Lunar CATALYST). This is headquartered to Norwijk, The COPUOS (Also UN COPUOS) Netherlands near the European Space Committee on the Peaceful Uses of Agency ESTEC facility. Outer Space of the United Nations. IEOs NEOs with an inner Earth orbit. DSI Deep Space Industries NEO orbit that does not cross Earth’s orbit and is always inside Earth’s orbit EPOXI EPOXI combines two tar- yet within 0.03 AU. gets: the Deep Impact Extended

ITU The International Telecommuni View, California, at the Moon Express cation Union. headquarters. James Webb Space Telescope The Moon Agreement (Treaty) The new high performance telescope that is Agreement Governing the Activities of intended to replace the Hubble Space States on the Moon and Other Celestial Telescope. This is a NASA and ESA Bodies, adopted by the U. N. General joint project that is scheduled for launch Assembly in its resolution 34.68, opened in 2018. for signature on December 18, 1979, entered into force on July 11, 1984. LADEE The NASA Lunar Atmosphere and Dust Environment Explorer Moon Express A privately funded U. S. (LADEE) mission. commercial space company created to develop the resources of the Moon, aims LCROSS The Lunar CRater Observing to “send a series of robotic spacecraft to and Sensing Satellite (LCROSS) the Moon for ongoing exploration and mission. commercial development”: http://www. Liability Convention The Convention moonexpress.com/#missions. on International Liability for Damage MSL The acronym for the NASA Caused by Space Objects, adopted by Mars Science Laboratory spacecraft. It the U. N. General Assembly in its reso- includes the Mars rover Curiosity that lution 2777 (XXVI), opened for signa- was launched on November 26, 2011, ture on March 29, 1972, and entered and landed successfully on August 6, into force on September 1, 1972. 2012. The mission of Curiosity was to LP The NASA Lunar Prospector (LP) investigate “whether conditions have mission. been favorable for microbial life and for preserving clues in the rocks about pos- LRO The NASA Lunar Reconnaissance sible past life.” Orbiter (LRO) mission. NEA Near Earth asteroid. LTSSA UN COPUOS Working Group on the Long Term Sustainability of Near Earth Orbit Object Survey Space Activities. Act Section 321 of the NASA Authorization Act of 2005 (Public Law MAVEN The NASA Mars Atmosphere No. 109-155), also known as the George and Volatile EvolutioN (MAVEN) mis- E. Brown, Jr. Near-Earth Object Survey sion in November 2013 to explore Act. Mars’s upper atmosphere, ionosphere and interactions with the Sun and solar NEO Near Earth object. wind. NEOCAM The Near Earth Orbit MER The NASA Mars Exploration Camera spacecraft. This is a proposed Program. mission by NASA to assist in the location and orbit determination for NEOs. MERLIN This acronym is short for the Moon Express Robotics Lab for NEOWISE The Near Earth Orbit Innovation and is located in Mountain Wide-range Infra-red Surveyor Explorer. Glossary 177

New Horizons This is the Pluto and Rescue and Return Agreement The Kuiper Belt exploratory mission. Agreement on the Rescue of Astronauts, the Return of Astronauts and the Return Notification Convention Convention of Objects Launched into Outer Space on Early Notification of a Nuclear (the “Rescue Agreement”), adopted by Accident, adopted on October 27, 1986. the General Assembly in its resolution OSIRIS-REx The Origins Spectral 2345 (XXII), opened for signature on Interpretation Resource Identification April 22, 1968, entered into force on Security—Regolith Explorer (OSIRIS- December 3, 1968. REx) mission that will begin in late ROSETTA A mission of the European 2016. The OSIRIS-REx spacecraft will Space Agency (ESA) to land on a comet “travel to a near-Earth asteroid, called and determine its composition by means Bennu (formerly 1999 RQ36). The of the Philae lander. objective is to bring back to Earth at least a 2.1-oz sample for study. SSA NASA Space Act Agreement. Also, space situational awareness. Outer Space Treaty (OST) The Treaty on Principles Governing the Activities Stardust The first NASA mission, of States in the Exploration and Use launched in 1999, to obtain a sample of Outer Space, including the Moon from Comet Wild-2. and Other Celestial Bodies, adopted Stardust NeXT The extended mis- by the U. N. General Assembly in its sion of Stardust, called Stardust-New Resolution 2222 (XXI), opened for sig- Exploration of Tempel. This is designed nature on January 27, 1967, entered into to accomplish in 2011 a close flyby of force on October 10, 1967. Comet Tempel-1. PHA Potentially hazardous asteroid. SWAS Submillimeter Wave Astronomy PRI Planetary Resources. Satellite. Registration Convention The U. N. United Nations, also known as Convention on Registration of Objects the United Nations Organization, or Launched into Outer Space, adopted UNO. by the U. N. General Assembly in its WISE Wide-range Infra-red Surveyor Resolution 3235 (XXIX), opened for Explorer. Also see NEOWISE. signature on January 14, 1975, entered into force on September 15, 1976. WFS World Future Society. Index

A D Allen, P., 2 Deep Impact Extended Investigation (DIXI), Amor orbit, 23, 25 50, 57 Apollo orbit, 23, 25 Deep Space Inc., ix, 3, 5, 21, 26, 27, 51, Assistance Convention, 6 65–67, 84, 92, 95, 147 Aten orbit, 23, 25 Diamandis, P., 13, 20, 64, 133 Australia, 8, 84, 85, 92, 97, 141–142, 147, 149 3D printing in spacecraft manufacturing, 19

B E B612 Foundation, 4, 6, 26, 57, 69–70 EPOXI, 50, 57 Bezos, J., 2 European Space Agency (ESA), 41–44, 53, Bigelow Aerospace Company, 61, 70, 135 58, 85–92, 96, 99, 101, 104, 149 Bigelow, R., 2 European Union (EU), 139 Boeing Corporation, 62 Extrasolar Planet Observation and Characterization (EPOCh), 175

C Canada, ix, 1, 8, 31, 84, 85, 85–97, 142–143, F 145, 147, 149 Federal Aviation Administration (FAA), Canadian Space Agency (CSA), 42, 58, 93, 61–63, 70, 71, 134, 135 94, 96, 149 Federal Aviation Administration Office of Catalyst, 58, 69, 71 Commercial Space Transportation Celestial body, 6, 20, 21, 23, 31, 90, 92, 110, 114, (FAA-AST), 59, 60, 62, 63, 70 115–123, 125–131, 133, 138, 140–142, Fire fly small satellite, 5 148–150, 153–157, 159, 161–172 France, 76, 114, 149 China, ix, 8, 13, 17, 83, 84, 94, 99–112, 123, 129, 147, 149 Chinese National Space Agency, 58, 99 G Clarke, A.C., 7 Global commons, 18, 31, 34, 68, 113, 116, Climate change, 7, 11, 12 126, 127, 151 CNES-French National Center for Space Studies-French Space Agency, 58, 149 Commercial Space Act of 2015, 28 H Committee on Peaceful Uses of Outer Space Hayabusa Japanese spacecraft, 25, 103, 105 (UN), 7, 114, 117, 120, 121, 130, 138, Hubble Space Telescope (HST), 41, 42, 148, 150 45, 51

I Moon, ix, 4, 20, 23, 33, 41, 61, 73, 88, 102, India, ix, 8, 13, 17, 94, 99–112, 114, 129, 143, 114, 131, 145 147, 149 Moon Agreement, 8, 113–115, 118, 125–130, Indian Space Research Organization (ISRO), 133, 134, 138, 140–143, 147–151, 58, 99, 108–111, 149 164–172 Indonesia, 13, 17, 122 Moon express, ix, 51, 68, 69, 147 Inner Earth orbit (IEO) NEOs, 175 Moon Express Robotics Lab for INnovation Insight Space Probe, 48, 49 (MERLIN), 69 Institute of Space and Astronautical Science MUSES spacecraft-Japanese spacecraft, (ISAS), 99–101, 104, 105 100, 101 International Association for the Advancement Musk, E., 2 of Space Safety (IAASS), 8 International Asteroid Warning Network (IAWN), 4, 7 N International Telecommunication Union Nano satellites, 5, 66 (ITU), 134 NASA Space Act Agreement, 69, 71 National Aeronautics and Space Administration (NASA), 4, 19, 26, 35, J 41, 59, 84, 86, 100, 122, 134, 146 James Webb Space Telescope, 42, 52, 57 National Air and Space Development Agency Japan, ix, 8, 13, 58, 92, 99–112, 147, 149 (NASDA), 99, 100 Japan Aerospace eXploration Agency (JAXA), Near Earth asteroids (NEAs), 4, 17, 23–26, 29, 43, 58, 88, 99–105, 107, 149 31, 37–40, 46, 50, 57, 64–66, 70, 93, 149 Near Earth Objects (NEOs), 4, 5, 8, 37, 137 Near Earth Object Wide-range Surveyor K Explorer (NEOWISE), 4, 26 Korea, Republic of, 13, 85, 92, 93, 97, 149 Near Earth Orbit Camera spacecraft Kurzweil, R., 13 (NEOCAM), 4, 26, 57 New Horizon Space Probe, 42–46 New space enterprises, 3, 59, 60 L Non renewable natural resources (NNR), Liability Convention, 6, 20, 114, 159–162, 165 16–18 Luna-Glob Lander (Russian), 83 Nuclear power generator, 29 Lunar Atmosphere and Dust Environment Explorer (LADEE) mission, 46, 47, 52, 53 O Lunar Crater Observing and Sensing Satellite Orbital ATK, 2, 62 (LCROSS) mission, 46, 47, 52 Orbital Sciences Company, 2, 61 Lunar Excursion Module (LEM), 42, 67 OSIRIS-Rex, 50, 93 Lunar Prospector (LP) mission, 46, 47, 52 Outer Space Treaty (OST), 6–8, 20, 21, 68, 70, Lunar Reconnaissance Orbiter (LRO) mission, 84, 112, 114–129, 131, 133–136, 138, 46, 47, 52 140, 141, 143, 147, 148, 150, 153 Luna Space Probe (Russian), 81

P M Planetary defense, 4, 8, 12, 85 Mars, ix, 37, 42, 43, 47–49, 54–56, 61, 73, Planetary Resources Incorporated, ix, 5, 76–78, 82, 86–88, 92–94, 96, 100, 18–21, 24–27, 41–58, 64–65, 85, 92, 106–110, 117, 143, 145, 149 103, 147 Mars Atmosphere and Volatile EvolutioN Platinum-group metals (PGMs), 26, 95, 137 (MAVEN), 48 Population growth, 11, 16 Mars curiosity rover, 36, 48, 49, 55, 56 Potentially hazards asteroids (PHAs), 4, 12, Mars Science Laboratory (MSL) spacecraft, 18, 21, 57, 70 48, 94 Project Safeguard, 7 Index 181

R Sustainability, 12, 146 Registration Convention, 6, 114, 162–164 Sustainable energy, 12 Robotics, for mining, 23, 27, 32–40, 58, 85, 103, 110, 147 Roscosmos, 58, 77, 78, 81–83, 88, 149 T ROSETTA mission, 90, 91 Taiwan, 13 Russia, ix, 8, 29, 58, 73–85, 87, 105, 109, 129, Tauri Group, 2, 3 141, 147, 149 Tele-robotics, 58, 84, 85, 92, 94 Russian Federation, 99, 140–141, Thailand, 13 153, 157 Russian Space Agency. See Roscosmos U Ukraine, 85, 93, 97, 149 S Union of Soviet Socialist Republics (USSR). Scaled composites, 3, 63 See Russia Secure World Foundation (SWF), 8 United Kingdom, 11, 61, 100, 138–140, 149, Selene spacecraft of Japan, 92, 102, 103 153, 157 Sentinel Infrared Telescope, 26, 57, 70 United Nations, 7, 16, 40, 114, 116, 119, 133, Shackleton Energy Company, ix, 6, 17, 21, 31, 153–158, 161–165, 167–169, 171 51, 68–69, 147 United Nations Committee on the Peaceful Sierra Nevada Company, 3 Uses of Outer Space (COPUOS), 7, Singapore, 13 114, 117, 120, 121, 130, 138, 148, 150 Singularity, 13, 14 United States, ix, 2, 3, 8, 13, 29, 31, 41, 47, Soviet Lunar Lander, 67, 69, 92 59–71, 84, 92, 96, 99, 105, 107, 111, Soyuez Russian launch system, 27 115, 118, 122, 124–126, 129, 130, Space industrialization, 2–3, 21, 59, 63, 71, 132, 134–138, 141, 135, 143, 85, 93, 95, 137, 145, 172 147–149, 153, 157, 172, 173 Space manufacturing, 2, 146 Space mining, 21 Space mining, ix, 2–8, 12, 17–19, 21, 23–41, V 57, 59–71, 73, 83–85, 89, 92, 93, 97, Venera, 73, 75, 76 103, 105, 111, 130, 137, 143, 145–147, Vision 2025 of Japan, 101, 102 150, 151 Space Mission Planning Advisory Group (SMPAG), 7, 40 W Space natural resources, 1–5, 9, 11–21, 60, 64, Wide-range Infra-red Surveyor Explorer 71, 82, 94–97, 99, 106, 107, 110, 113, (WISE), 177 114, 116, 118, 122–129, 131–144, 145, Working Group on the Long Term 147–151 Sustainability of Space Activities Space processing, 2, 133, 145, 146, 149 (LTSSA), 7, 176 Space prospecting, 17, 21, 67, 71 Space situational awareness, 177 Species extinction, 16 X Stardust mission, 50 Xenon ion thruster, 29, 30 Stardust NeXT mission, 50 XPrize, 3 Stardust NeXT mission, 50 Submillimeter Wave Astronomy Satellite (SWAS), 50, 51 Y Super Month time, 13, 21 Yutu Moon Rover of China, 106, 107