An International Legal Framework to Govern Space Natural Resources Exploitation by Isabelle Bouvet INSTITUTE OF AIR AND SPACE LAW, FACULTY OF LAW, MCGILL UNIVERSITY MONTREAL July 2012 A thesis submitted to McGill University in partial fulfillment of the requirements of the degree of Doctor of Civil Law (DCL) © Isabelle Bouvet, 2012 TABLE OF CONTENTS TABLE OF CONTENTS ..................................................................................................1 ABSTRACT........................................................................................................................6 RÉSUMÉ ............................................................................................................................7 ACKNOWLEDGEMENTS ..............................................................................................8 LIST OF ACRONYMS .....................................................................................................9 CHAPTER I - GENERAL INTRODUCTION ...............................................................1 I. THE EXPLOITATION OF SPACE NATURAL RESOURCES AND THE INTERNATIONAL LEGAL FRAMEWORK 1 II. RELEVANCE OF THE TOPIC 4 III. WHAT ARE MAIN ISSUES TO BE TACKLED? 10 IV. WHAT ARE THE POSSIBLE SOLUTIONS? 11 V. OBJECT, APPROACH AND STRUCTURE OF THE THESIS 12 PART I - THE POLITICAL NEED FOR A LEGAL FRAMEWORK DEDICATED TO THE EXPLOITATION OF SPACE NATURAL RESOURCES ...................................................................................................................16 CHAPTER II – THE POLITICAL DIMENSION OF SPACE NATURAL RESOURCES EXPLOITATION...................................................................................17 I. INTRODUCTION 17 II. THE RELEVANCE OF SPACE NATURAL RESOURCES TO FUTURE SPACE EXPLORATION ACTIVITIES 19 1. What are the potential space natural resources? ..............................................19 2. The exploitation of space natural resources is inevitable ................................24 2.1 In-situ utilization of resources ...................................................................24 2.2 Space natural resources: the long-term perspective - science fiction? .......................................................................................................27 2.3 The technology for the exploitation of space natural resources is presently mature.........................................................................................29 3. New trends in space exploration and impact on the study...............................31 3.1 Emergence of new actors in space exploration activities ..........................31 3.2 The impact of the new trend of public-private partnerships on the exploitation of space natural resources ......................................................35 III. THE EXPLOITATION OF SPACE NATURAL RESOURCES IS ON THE VERGE OF BECOMING FEASIBLE 37 1. Historical overview of space exploration programmes and the relevance of space natural resources................................................................38 2. The exploitation of space natural resources will soon become inevitable..........................................................................................................41 IV. CONCLUSION 50 CHAPTER III – THE APPLICABILITY AND RELEVANCE OF EXISTING INTERNATIONAL SPACE LAW TO THE EXPLOITATION OF SPACE NATURAL RESOURCES..........................................................................51 I. INTRODUCTION 51 II. A GLOBAL COMPARISON BETWEEN THE OUTER SPACE TREATY AND THE MOON AGREEMENT 54 1. Differing degrees of support by the international community:........................55 1 1.1 The Outer Space Treaty, widely accepted by the international community .................................................................................................55 1.2 The Moon Agreement, subject of controversy since its elaboration..........56 2. Historical context of the negotiations leading to the adoption of the Moon Agreement .............................................................................................58 III. THE MOON AGREEMENT REINFORCES THE PRINCIPLES OF THE OUTER SPACE TREATY 64 1. The scope of the Moon Agreement..................................................................65 2. Peaceful purposes, the cornerstone of international space law........................66 3. Subject to adaptation, the benefit clause is required for the future framework on the exploitation of resources.....................................................70 3.1 A typical principle of international space law - the subject of extensive discussion...................................................................................70 3.2 Historical context of the benefit clause......................................................71 3.3 Views expressed by authors on the benefit clause.....................................74 3.4 What the benefits sharing provisions of the existing regime imply for the study ...............................................................................................76 4. A more elaborate freedom of exploration and use principle............................76 5. The fundamental freedom of scientific investigation principle .......................79 6. Non Contamination and creation of the international scientific preserves ..........................................................................................................80 7. Legal mechanisms dealing with state responsibility and liability offer additional possibilities .....................................................................................82 8. The principle of cooperation and mutual assistance also offers additional possibilities .....................................................................................87 9. Respect of international law.............................................................................89 10. Settlement of disputes ......................................................................................90 11. Obligation of information is strongly reinforced .............................................92 IV. PROVISIONS OF PARTICULAR RELEVANCE FOR A LEGAL FRAMEWORK GOVERNING THE EXPLOITATION OF SPACE NATURAL RESOURCES 97 1. The non-appropriation principle is reinforced .................................................97 1.1 Historical context .......................................................................................97 1.2 Applicability ..............................................................................................99 1.3 Non-appropriation in an international area does not amount to absence of sovereignty.............................................................................100 1.4 The non-appropriation principle cohabits with the exercise of jurisdiction in space .................................................................................100 1.5 Scope of the non-appropriation principle ................................................102 1.5.1 Casual or temporary use..................................................................102 1.5.2 Prohibition based on the type of resources, their location or availability.......................................................................................104 1.6 Non-appropriation and the Moon Agreement..........................................107 2. The Common Heritage of Mankind does not prevent further commercial activities on the Moon................................................................109 2.1 Historical context .....................................................................................109 2 2.2 Common heritage of mankind and common but differientiated responsibility…………………………………………………………….114 3. Space Natural Resources Exploitation requires – as foreseen in the text – a dedicated framework................................................................................120 3.1 The establishment of an international regime on Space Natural Resources was planned ............................................................................120 3.1.1 Prerequisites: what is meant by the words "exploration", "use" and "exploitation"? ................................................................120 3.1.2 Legal meanings of use ....................................................................120 3.1.3 Are "exploitation" and "extraction," a "use"? .................................122 3.1.4 Moon Agreement provision in 1979 ...............................................125 V. CONCLUSION 126 PART II – THE SEARCH FOR A LEGAL FRAMEWORK TO GOVERN THE EXPLOITATION OF SPACE NATURAL RESOURCES – A "STEP BY STEP APPROACH" ...............................................................................................129 CHAPTER IV – THE FRAMEWORK AND THE POLITICAL DIMENSION..................................................................................................................130 I. INTRODUCTION 130 II. THE FORMATION OF INTERNATIONAL LAW: LEGAL THEORIES AND SOURCES 130 1. The legal theories...........................................................................................131 2. The legal sources............................................................................................138 2.1 Conventional formation of international law: International conventions ..............................................................................................140 2.1.1 General international law and international conventions:...............140 2.1.2 Space law and conventional law:....................................................144