APPROACHES TO FUTURE SPACE COOPERATION AND COMPETITION IN A GLOBALIZING WORLD

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APPROACHES TO FUTURE SPACE COOPERATION AND COMPETITION IN A GLOBALIZING WORLD SUMMARY OF A WORKSHOP James V. Zimmerman, Rapporteur Space Studies Board and Aeronautics and Space Engineering Board Division on Engineering and Physical Sciences THE NATIONAL ACADEMIES PRESS Washington, D.C. www.nap.edu

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THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. This study was supported by Contract NNH06CE15B between the National Academy of Sciences and the National Aeronautics and Space Administration. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author and do not necessarily reflect the views of the agency that provided support for the project. International Standard Book Number-13: 978-0-309-13996-0 International Standard Book Number-10: 0-309-13996-1 Copies of this report are available free of charge from: Space Studies Board National Research Council 500 Fifth Street, N.W. Washington, DC 20001 Additional copies of this report are available from the National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, DC 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu. Copyright 2009 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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

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Other Recent Reports of the Space Studies Board and the Aeronautics and Space Engineering Board A Performance Assessment of NASA’s Heliophysics Program (Space Studies Board [SSB], 2009) Assessment of Planetary Protection Requirements for Mars Sample Return Missions (SSB, 2009) Assessing the Research and Development Plan for the Next Generation Air Transportation System: Summary of a Workshop (Aeronautics and Space Engineering Board [ASEB], 2008) A Constrained Space Exploration Technology Program: A Review of NASA’s Exploration Technology Development Program (ASEB, 2008) Ensuring the Climate Record from the NPOESS and GOES-R Spacecraft: Elements of a Strategy to Recover Measurement Capabilities Lost in Program Restructuring (SSB, 2008) Final Report of the Committee the Review of Proposals to the 2008 Engineering Research and Commercialization Program of the Ohio Third Frontier Program (ASEB, 2008) Final Report of the Committee to Review Proposals to the 2008 Ohio Research Scholars Program of the State of Ohio (ASEB, 2008) Launching Science: Science Opportunities Provided by NASA’s Constellation System (SSB with ASEB, 2008) Managing Space Radiation Risk in the New Era of Space Exploration (ASEB, 2008) NASA Aeronautics Research: An Assessment (ASEB, 2008) Opening New Frontiers in Space: Choices for the Next New Frontiers Announcement of Opportunity (SSB, 2008) Review of NASA’s Exploration Technology Development Program: An Interim Report (ASEB, 2008) Science Opportunities Enabled by NASA’s Constellation System: Interim Report (SSB with ASEB, 2008) Severe Space Weather Events⎯Understanding Societal and Economic Impacts: A Workshop Report (SSB, 2008) Space Science and the International Traffic in Arms Regulations: Summary of a Workshop (SSB, 2008) United States Civil Space Policy: Summary of a Workshop (SSB with ASEB, 2008) Wake Turbulence: An Obstacle to Increased Air Traffic Capacity (ASEB, 2008) Assessment of the NASA Astrobiology Institute (SSB, 2007) An Astrobiology Strategy for the Exploration of Mars (SSB with the Board on Life Sciences [BLS], 2007) Building a Better NASA Workforce: Meeting the Workforce Needs for the National Vision for Space Exploration (SSB with ASEB, 2007) Decadal Science Strategy Surveys: Report of a Workshop (SSB, 2007) Earth Science and Applications from Space: National Imperatives for the Next Decade and Beyond (SSB, 2007) Exploring Organic Environments in the Solar System (SSB with the Board on Chemical Sciences and Technology, 2007) Grading NASA’s Solar System Exploration Program: A Midterm Review (SSB, 2007) The Limits of Organic Life in Planetary Systems (SSB with BLS, 2007) NASA’s Beyond Einstein Program: An Architecture for Implementation (SSB with the Board on Physics and Astronomy [BPA], 2007) Options to Ensure the Climate Record from the NPOESS and GOES-R Spacecraft: A Workshop Report (SSB, 2007) A Performance Assessment of NASA’s Astrophysics Program (SSB with BPA, 2007) Portals to the Universe: The NASA Astronomy Science Centers (SSB, 2007) The Scientific Context for Exploration of the Moon (SSB, 2007) Limited copies of SSB reports are available free of charge from Space Studies Board National Research Council The Keck Center of the National Academies 500 Fifth Street, N.W., Washington, DC 20001 (202) 334-3477/ssb@nas.edu www.nationalacademies.org/ssb/ssb.html

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PLANNING COMMITTEE FOR THE WORKSHOP ON U.S. CIVIL SPACE POLICY CHARLES F. KENNEL, Scripps Institution of Oceanography, University of California, San Diego, Chair A. THOMAS YOUNG, Lockheed Martin Corporation (retired), Vice Chair DANIEL N. BAKER, University of Colorado DAVID GOLDSTON, Princeton University JOAN JOHNSON-FREESE, Naval War College RICHARD KOHRS, Independent Consultant MOLLY K. MACAULEY, Resources for the Future BERRIEN MOORE III, University of New Hampshire JOAN VERNIKOS, Thirdage LLC WARREN M. WASHINGTON, National Center for Atmospheric Research RAPPORTEUR JAMES V. ZIMMERMAN, International Space Services, Inc. Staff IAN PRYKE, Senior Program Officer, Space Studies Board (Study Director) JOSEPH K. ALEXANDER, Senior Program Officer, Space Studies Board CARMELA J. CHAMBERLAIN, Program Associate, Space Studies Board CATHERINE A. GRUBER, Editor, Space Studies Board v

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SPACE STUDIES BOARD CHARLES F. KENNEL, Scripps Institution of Oceanography, University of California, San Diego, Chair A. THOMAS YOUNG, Lockheed Martin Corporation (retired), Vice Chair DANIEL N. BAKER, University of Colorado STEVEN J. BATTEL, Battel Engineering CHARLES L. BENNETT, Johns Hopkins University YVONNE C. BRILL, Aerospace Consultant ELIZABETH R. CANTWELL, Oak Ridge National Laboratory ANDREW B. CHRISTENSEN, Dixie State College and Aerospace Corporation ALAN DRESSLER, The Observatories of the Carnegie Institution JACK D. FELLOWS, University Corporation for Atmospheric Research FIONA A. HARRISON, California Institute of Technology JOAN JOHNSON-FREESE, Naval War College KLAUS KEIL, University of Hawaii MOLLY K. MACAULEY, Resources for the Future BERRIEN MOORE III, University of New Hampshire ROBERT T. PAPPALARDO, Jet Propulsion Laboratory JAMES PAWELCZYK, Pennsylvania State University SOROOSH SOROOSHIAN, University of California, Irvine JOAN VERNIKOS, Thirdage LLC JOSEPH F. VEVERKA, Cornell University WARREN M. WASHINGTON, National Center for Atmospheric Research CHARLES E. WOODWARD, University of Minnesota ELLEN G. ZWEIBEL, University of Wisconsin RICHARD E. ROWBERG, Interim Director (from March 2, 2009) MARCIA S. SMITH, Director (until March 1, 2009) vi

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AERONAUTICS AND SPACE ENGINEERING BOARD RAYMOND S. COLLADAY, Lockheed Martin Astronautics (retired), Chair KYLE T. ALFRIEND, Texas A&M University CHARLES F. BOLDEN, JR., Independent Consultant AMY L. BUHRIG, Boeing Commercial Airplanes Group PIERRE CHAO, Center for Strategic and International Studies INDERJIT CHOPRA, University of Maryland, College Park JOHN-PAUL B. CLARKE, Georgia Institute of Technology RAVI B. DEO, Northrop Grumman Corporation (retired) MICA R. ENDSLEY, SA Technologies DAVID GOLDSTON, Princeton University R. JOHN HANSMAN, Massachusetts Institute of Technology JOHN B. HAYHURST, Boeing Company (retired) PRESTON HENNE, Gulfstream Aerospace Corporation RICHARD KOHRS, Independent Consultant IVETT LEYVA, Air Force Research Laboratory, Edwards Air Force Base ELAINE S. ORAN, Naval Research Laboratory ELI RESHOTKO, Case Western Reserve University (emeritus) EDMOND SOLIDAY, United Airlines (retired) RICHARD E. ROWBERG, Interim Director (from March 2, 2009) MARCIA S. SMITH, Director (through March 1, 2009) vii

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Preface The ad hoc Planning Committee for the Workshop on U.S. Civil Space Policy was set up under the auspices of the Space Studies Board, working in collaboration with the Aeronautics and Space Engineering Board, to organize a public workshop for the purpose of reviewing past and present cooperation, coordination, and competition mechanisms for space and Earth science research and space exploration; identifying significant lessons learned; and discussing how those lessons could best be applied in the future, particularly in the areas of cooperation and collaboration. (See Appendix A for the full workshop statement of task.) The workshop, held on November 18-20, 2008, at the Arnold and Mabel Beckman Center of the National Academies in Irvine, California, utilized a format involving invited presentations, panel discussions, and general discussions, both in plenary sessions and in subgroups. The workshop was attended by approximately 60 participants from government, academia, and industry, both U.S. and non-U.S., with expertise spanning the fields of civil and commercial space programs, science and technology policy, international relations, and history. (See Appendix B for the agenda and list of participants.) Presentations and initial discussion focused on past and present experiences in international cooperation and competition to identify “lessons learned.” Those lessons learned were then used as the starting point for subsequent discussions on the most effective ways for structuring future cooperation or coordination in space and Earth science research and space exploration. The goal of the workshop was not to develop a specific model for future cooperation or coordination, but rather to explore the advantages and disadvantages of various approaches and stimulate further deliberation on this important topic. This report presents a summary of the discussions at the workshop and does not represent a consensus of the views of the workshop participants, but instead captures highlights of the discussions and notes major themes that emerged. While the workshop’s mandate covered both cooperation and competition, workshop discussions tended to focus more on cooperation. ix

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Acknowledgment of Reviewers This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s (NRC’s) Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their participation in the review of this report: Ralph Braibanti, U.S. Department of State (retired), Joan Johnson-Freese, U.S. Naval War College, Eric Sterner, House Armed Services Committee (retired professional staff), and Lyn Wigbels, RWI International. Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the views summarized, nor did they see the final draft of the report before its release. The review of this report was overseen by Eugene B. Skolnikoff, Massachusetts Institute of Technology. Appointed by the NRC, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the author and the institution. x

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Contents SUMMARY 1 1 BACKGROUND 6 2 OPENING REMARKS 7 3 PERSPECTIVES ON SPACE COOPERATION AND COMPETITION 9 4 OPPORTUNITIES AND CHALLENGES 13 5 CONCLUDING OBSERVATIONS 18 APPENDIXES A Statement of Task 23 B Workshop Agenda and Participants 24 C Biographies of Planning Committee, Keynote Speakers, Moderators, and Panelists 29 D Opening Keynote: Scientific and Technological Cooperation and Competition in a Globalizing World 38 E Session 1 Keynote: Governmental Space Cooperation and Competition During and After the Cold War⎯Lessons Learned 47 xi

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