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--> U.S.-European Collaboration In Space Science Committee on International Space Programs Space Studies Board Commission on Physical Sciences, Mathematics, and Applications National Research Council Washington, D.C., United States of America European Space Science Committee European Science Foundation Strasbourg, France NATIONAL ACADEMY PRESS Washington, D.C. 1998
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--> 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. The members of the joint committee responsible for the report were chosen for their special competencies and with regard for appropriate balance. 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. Bruce Alberts 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. William A. Wulf 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. Kenneth I. Shine 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. Bruce Alberts and Dr. William A. Wulf are chairman and vice chairman, respectively, of the National Research Council. Support for this project was provided by Contract NASW 96013 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(s) and do not necessarily reflect the view of the organizations or agencies that provided support for this project. The cover was designed by Penny Margolskee. Back cover: Hubbell Space Telescope image courtesy of the Space Telescope Science Institute. Library of Congress Catalog Card Number 97-80595 International Standard Book Number 0-309-05984-4 In the United States and outside of Europe, copies of this report are available from: Space Studies Board National Research Council 2101 Constitution Avenue, NW Washington, D.C. 20418 National Academy Press 2101 Constitution Ave., NW Box 285 Washington, D.C. 20055 800-624-6242 202-334-3313 (in the Washington metropolitan area) http://www.nap.edu Copyright 1998 is administered by the National Academy of Sciences on behalf of the copublishers, the National Academy Press in the United States and the European Science Foundation in Europe. All rights reserved. Printed in the United States of America
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--> NOTICE: The European Space Science Committee (ESSC) is an associated committee of the European Science Foundation (ESF). It aims to promote space science related activities, to facilitate the definition and the organization of space research programs in Europe, and to encourage the coordination of space research in concert with the European Space Agency, the European Commission and European Union, European scientific associations, national space agencies, and scientific organizations of other countries concerned with space-related research. The European Science Foundation is an association of 62 major national funding agencies devoted to basic scientific research in 21 countries. It acts as a catalyst for the development of science by bringing together leading scientists and funding agencies to debate, plan, and implement pan-European scientific and science policy initiatives. The ESSC aims to act as one of the pan-European representative bodies on issues concerning space research and related activities. It is a place for reflections and proposals made independently from agencies and governments. ESSC members are chosen pro nomine among experts active in space-related research. Financial support for the work of the ESSC, ESSC panels, and ESSC work groups was provided in 1997 by the Fonds zur Förderung der Wissenschaftlichen Forschung in Österreich (Austria) the National Fonds voor Wetenschappelijk Onderzoek/Fonds National de la Recherche Scientifique (Belgium), the Schweizerischer National fonds zur Förderung der Wissenschaftlichen Forschung (Switzerland), the Hermann-von-Helmholtz-Gemeinschaft Deutscher Forschungszentren (Germany), the Forskningsradene (Denmark), the European Space Agency, the Centre National d'Études Spatiales (France), the Nederlandse Organisatie voor Wetenschappelijk Onderzoek (the Netherlands), the Naturvetenskapliga forskningsrådet (Sweden), and the Particle Physics and Astronomy Research Council (United Kingdom). The ESSC comprises three permanent discipline-oriented panels: the European Space Physical Science Panel (ESPSP), the European Earth Observation Panel (EEOP), and the European Microgravity Panel (EMP). Information on the committee's activities and publications can be found on the ESSC Web site at <http://www.esf.org/essc>. In Europe, copies of this report are available from: European Space Science Committee Dr. J.-C. Worms c/o ENSPS—Parc d'Innovation Boulevard Sébastien Brandt F-67400 ILLKIRCH, France email@example.com Andrew J.A. Smith Communications Unit European Science Foundation 1 quai Lezay-Marnésia 67080 Strasbourg Cedex, France firstname.lastname@example.org
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--> MEMBERS OF THE JOINT COMMITTEE European Members FRANÇOIS BECKER, International Space University (formerly with École Nationale Supérieure de Physique, Université L. Pasteur), Strasbourg, France, Chair MICHEL BIGNIER, La Réunion Spatiale, Paris, France A. MIKE CRUISE, University of Birmingham, Birmingham, United Kingdom ALVARO GIMÉNEZ, L.A.E.F.F., Madrid, Spain ROBERT J. GURNEY, University of Reading, Reading, United Kingdom GERHARD HAERENDEL, Max-Palanck-Institut für extraterrestrische Physik, Garching, Germany MANFRED H. KELLER, Deutsche Forschungsanstalt für Luft und Raumfahrt, Köln, Germany JEAN-CLAUDE LEGROS, Microgravity Research Center—Free University of Brussels, Brussels, Belgium DAG LINNARSSON, Karolinska Institutet, Stockholm, Sweden HERBERT W. SCHNOPPER, Smithsonian Astrophysical Observatory, Cambridge, Massachusetts (from May 1, 1997; formerly with Danish Space Research Institute, Copenhagen, Denmark) FRED W. TAYLOR, Clarendon Laboratory, Oxford, United Kingdom Experts and Consultants HANS BALSIGER, University of Bern, Switzerland MARCELLO CORADINI, European Space Agency GUY DUCHOSSOIS, European Space Agency JOHANNES GEISS, International Space Science Institute, Bern, Switzerland VITTORIO MANNO, International Space Science Institute, Bern, Switzerland SERGIO VOLONTÉ, European Space Agency Staff JEAN-CLAUDE WORMS, ESSC Executive Secretary U.S. Members (Committee on International Space Programs) BERRIEN MOORE III, University of New Hampshire, Chair ROBERT J. BAYUZICK, Vanderbilt University ROBERT E. CLELAND, University of Washington BILL GREEN, former member, U.S. House of Representatives JONATHAN E. GRINDLAY, Harvard University JOAN JOHNSON-FREESE, Air War College, Maxwell Air Force Base VICTOR V. KLEMAS, University of Delaware DONALD G. MITCHELL, Johns Hopkins University JAMES R. MORRISON, BDM, Inc. (retired) S. ICHTIAQUE RASOOL, University of New Hampshire; International Geosphere-Biosphere Program, Paris JOHN A. SIMPSON, University of Chicago DARRELL F. STROBEL, Johns Hopkins University LOUIS J. LANZEROTTI, Lucent Technologies (ex officio) Staff PAMELA L. WHITNEY, Study Director CARMELA J. CHAMBERLAIN, Senior Program Assistant
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--> EUROPEAN SPACE SCIENCE COMMITTEE FRANÇOIS BECKER, International Space University (formerly with École Nationale Supérieure de Physique, Université L. Pasteur), Strasbourg, France, Chair (through November 1997) JOHN LEONARD CULHANE, Mullard Space Science Laboratory, London, United Kingdom, Chair (December 1997 to present) European Earth Observation Panel (EEOP) ROBERT J. GURNEY, University of Reading, Reading, United Kingdom, Chair, EEOP WERNER ALPERS, Institut für Meereskunde, Universität Hamburg, Hamburg, Germany FRANÇOIS BECKER, International Space University (formerly with École Nationale Supérieure de Physique, Université L. Pasteur), Strasbourg, France ANNY CAZENAVE, Laboratoire en Géophysique et Océanographie Spatiale (LEGOS), Groupe de Recherche de Géodésie Spatiale, Centre National d'Études Spatiales, Toulouse, France* MARIE-LISE CHANIN, Stratospheric Processes and Their Role in Climate (SPARC) Office, Verrières, France* GÉRARD MÉGIE, Institut Pierre-Simon Laplace, Paris, France (through December 1997) HANS SÜNKEL, Technische Universität Graz, Graz, Austria European Space Physical Science Panel (ESPSP) JOHAN A.M. BLEEKER, Space Research Laboratory, Space Research Organization Netherlands, Utrecht, The Netherlands, Chair, ESPSP* MAURIZIO CANDIDI, Instituto di Fisica dello Spazio Interplanetario, Frascati, Italy (through December 1997) A. MIKE CRUISE, Physics and Space Science, University of Birmingham, Birmingham, United Kingdom ALVARO GIMÉNEZ, L.A.E.F.F., Madrid, Spain GERHARD HAERENDEL, Max-Planck-Institut für extraterrestrische Physik, Garching, Germany NAZZARENO MANDOLESI, I.TE.S.R.E., Bologna, Italy PHILIPPE MASSON, Université de Paris Sud, Orsay, France FRED W. TAYLOR, Clarendon Laboratory, Oxford, United Kingdom (through December 1997) GILBERT VÉDRENNE, Centre d'Études Spatiales des Rayonnements, Toulouse, France JOHN C. ZARNECKI, University of Kent, Canterbury, United Kingdom* ANDRZEJ A. ZDZIARSKI, Copernicus Astronomical Centre, Warsaw, Poland European Microgravity Panel (EMP) JEAN-CLAUDE LEGROS, Microgravity Research Center—Free University of Brussels, Brussels, Belgium, Chair, EMP JEAN-JACQUES FAVIER, Commissariat à l'Energie Atomique, Grenoble, France GERDA HORNECK, Institut für Luft und Raumfahrt, DLR, Köln, Germany* NORBERT KIEHNE, Deutsche Forschungsanstalt für Luft und Raumfahrt, Köln, Germany (through December 1997) DAG LINNARSSON, Karolinska Institutet, Stockholm, Sweden JEAN-CLAUDE WORMS, ESSC Executive Secretary, ENSPS, Strasbourg, France HANS U. KAROW, ESF Scientific Secretary, Strasbourg, France * Appointed May 1998.
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--> SPACE STUDIES BOARD CLAUDE R. CANIZARES, Massachusetts Institute of Technology, Chair MARK R. ABBOTT, Oregon State University JAMES P. BAGIAN,* Environmental Protection Agency DANIEL N. BAKER, University of Colorado LAWRENCE BOGORAD, Harvard University DONALD E. BROWNLEE, University of Washington JOHN J. DONEGAN,* John Donegan Associates, Inc. GERARD W. ELVERUM, JR., TRW Space and Technology Group ANTHONY W. ENGLAND, University of Michigan MARILYN L. FOGEL, Carnegie Institution of Washington MARTIN E. GLICKSMAN,* Rensselaer Polytechnic Institute RONALD GREELEY, Arizona State University BILL GREEN, former member, U.S. House of Representatives ANDREW H. KNOLL, Harvard University JANET G. LUHMANN,* University of California, Berkeley ROBERTA BALSTAD MILLER, CIESIN BERRIEN MOORE III, University of New Hampshire KENNETH H. NEALSON,* University of Wisconsin MARY JANE OSBORN, University of Connecticut Health Center SIMON OSTRACH, Case Western Reserve University MORTON B. PANISH, AT&T Bell Laboratories (retired) CARLÉ M. PIETERS, Brown University THOMAS A. PRINCE, California Institute of Technology MARCIA J. RIEKE,* University of Arizona PEDRO L. RUSTAN, JR., U.S. Air Force (retired) JOHN A. SIMPSON, University of Chicago GEORGE L. SISCOE, Boston University EDWARD M. STOLPER, California Institute of Technology RAYMOND VISKANTA, Purdue University ROBERT E. WILLIAMS, Space Telescope Science Institute JOSEPH K. ALEXANDER, Director (as of February 17, 1998) MARC S. ALLEN, Director (through December 12, 1997) * Former member.
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--> COMMISSION ON PHYSICAL SCIENCES, MATHEMATICS, AND APPLICATIONS ROBERT J. HERMANN, United Technologies Corporation, Co-chair W. CARL LINEBERGER, University of Colorado, Co-chair PETER M. BANKS, Environmental Research Institute of Michigan WILLIAM BROWDER, Princeton University LAWRENCE D. BROWN, University of Pennsylvania RONALD G. DOUGLAS, Texas A&M University JOHN E. ESTES, University of California at Santa Barbara MARTHA P. HAYNES, Cornell University L. LOUIS HEGEDUS, Elf Atochem North America, Inc. JOHN E. HOPCROFT, Cornell University CAROL M. JANTZEN, Westinghouse Savannah River Company PAUL G. KAMINSKI, Technovation, Inc. KENNETH H. KELLER, University of Minnesota KENNETH I. KELLERMANN, National Radio Astronomy Observatory MARGARET G. KIVELSON, University of California at Los Angeles DANIEL KLEPPNER, Massachusetts Institute of Technology JOHN KREICK, Sanders, a Lockheed Martin Company MARSHA I. LESTER, University of Pennsylvania NICHOLAS P. SAMIOS, Brookhaven National Laboratory CHANG-LIN TIEN, University of California at Berkeley NORMAN METZGER, Executive Director
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--> Foreword Photographs of Earth from space show no political boundaries, reminding us that national distinctions are manmade. But the agencies responsible for those pictures, other missions to Earth orbit, and probes to deep space are inevitably national or multinational. Each has its own set of constituencies, procedures, capabilities, and limitations. There are great benefits from finding ways those entities and their respective research and industrial communities can act cooperatively, as has been amply demonstrated by many successful examples of international cooperation in the space sciences. Beyond the cultural enrichment that comes when people of different nations work together for a common goal, those benefits include the potentially richer scientific yield from shared expertise and broader political and financial support. Joint activities between the National Aeronautics and Space Administration in the United States and the European Space Agency or individual European national space agencies have resulted in some of the world's most successful space science missions, and more joint efforts are being planned. But inevitably, some attempts at transatlantic cooperation are more successful than others. Sometimes difficulties arise as they would in any large, complex technical undertaking, whether national or multinational. At other times, however, the additional complications of internationalism itself can cause or exacerbate those difficulties. We believe that improving the likelihood of successful U.S.-European cooperation is a worthy goal that can enhance the space programs and benefit the peoples of all participating nations. This benefit is clearest in the case of the International Space Station, the largest multinational undertaking of its kind. Its success depends entirely on the cooperation of the United States, Europe, and the other major partners. We think improving international cooperation can also enhance more modest space missions that study Earth, explore the solar system, or probe the cosmos. This joint report is itself an exercise in international cooperation. The Space Studies Board of the U.S. National Research Council and the European Space Science Committee of the European Science Foundation are charged with advising their respective space enterprises. Our charters, procedures, and operating styles are not identical. Yet we have a long history of fruitful interchange and a shared vision of science as a global activity, and this understanding provided a natural context for this study. It is our hope that this report will help make future cooperative ventures in space science more successful than ever. Some of the conclusions may be relevant for those planning international ventures in other areas as well. We
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--> plan to continue our joint dialogue and hope to extend our deliberations to include colleagues in other major space-faring nations. We are confident that the spirit of shared human inquiry that has characterized science throughout history will continue and grow stronger on the high frontier of space research. Claude R. Canizares Chair, Space Studies Board FranÇois Becker Chair, European Space Science Committee (through November 1997) J. Leonard Culhane Chair, European Space Science Committee (from December 1997)
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--> Acknowledgment of Reviewers This report has been reviewed by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council (NRC) Report Review Committee and agreed to by the European Science Foundation. The purpose of this independent review is to provide candid and critical comments that will assist the authors, NRC, and ESF in making the 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 contents of 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: J. Iwan Alexander, University of Alabama, Huntsville James Burch, Southwest Research Institute Jeff Dozier, University of California, Santa Barbara Thérèse Encrenaz, Observatoire de Paris, Meudon Robert A. Frosch, Harvard University Roy Gibson, Montpellier, France Jay Goldberg, University of Chicago Gerda Horneck, Institut für Luft und Raumfahrt, DLR, Köln, Germany* John Huchra, Harvard-Smithsonian Center for Astrophysics William Kaula, University of California, Los Angeles Kenneth I. Kellerman, Radio Astronomy Observatory Brian McBreen, University College Dublin Rodolfo Monti, Università degli Studi di Napoli Federico II * This reviewer, currently a member of the European Space Science Committee (ESSC), had no connection with the committee at the time of the review.
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--> John Naugle, North Falmouth, Massachusetts Tobias Owen, University of Hawaii Alain Ratier, European Organisation for the Exploitation of Meteorological Satellites (EUMETSAT) David J. Southwood, Imperial College of London* Although the individuals listed above have provided many constructive comments and suggestions, responsibility for the final content of this report rests solely with the authoring joint committee, NRC, and ESF. This report could not have been written without the contributions of many colleagues who provided the joint committee with essential unpublished information. The members of the joint committee are very grateful to them. * This reviewer, currently working at the European Space Agency, was not affiliated with the agency at the time of the review.
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--> Contents Executive Summary 1 1 Introduction 10 The Joint Committee's Task 10 Rationale for International Cooperation 10 Scope and Study Criteria 11 2 Historical Context of U.S.-European Cooperation 14 Chronology 14 1958-1973 14 1974-1982 19 1983-1992 21 The Post—Cold War Years 23 Cooperation in the Post—Cold War Era 28 The United States and Europe: Structure, Funding, Decision-Making 29 U.S. Government System and Structure 29 European Systems and Structures 33 Differences in U.S. and European Views Regarding Cooperation on Science Projects 39 3 Case Studies of U.S.-European Missions 42 Astrophysics 43 Hubble Space Telescope 44 Roentgen Satellite 48 Solar and Heliospheric Observatory 51 International Gamma-Ray Astrophysics Laboratory 53 Lessons Learned 56 Planetary Sciences 59 Cassini Mission with the Huygens Probe 60 Generic Mars Mission 64 Lessons Learned 67
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--> Space Physics 69 International Solar Polar Mission 70 Active Magnetospheric Particle Tracer Explorer 73 International Sun-Earth Explorer Mission 76 Lessons Learned 77 Earth Sciences 80 The Case for Cooperation 81 Case Mission Choice and Rationale 82 Upper Atmosphere Research Satellite 83 Ocean Topography Experiment (TOPEX-POSEIDON) 84 Earth Observing System 87 Lessons Learned 91 Microgravity Research and Life Sciences 95 International Microgravity Laboratory 95 Lessons Learned 98 4 Findings and Recommendations 101 Goals and Rationale for International Cooperation 102 Planning and Identification of Cooperative Opportunities 104 Management and Implementation 105 Personnel 106 Guidelines and Procedures 107 Conclusions 109 Appendixes 113 A Cooperative U.S.-European Space Projects 115 B Letter from the National Aeronautics and Space Administration to the Enrico Fermi Institute, University of Chicago, August 11, 1972 125 C Memorandum of Understanding Between the United States National Aeronautics and Space Administration and the European Space Agency for the International Solar Polar Mission, March 29, 1979 129 D Letter from the Office of Management and Budget to the National Aeronautics and Space Administration, June 22, 1981 139 E NASA Presentation to NRC Committee for Its Study on ''The International Solar Polar Mission (A Review and Assessment of Options)," June 1981 141 F Correspondence Between the European Space Agency and the National Aeronautics and Space Administration, October 12, 1994, to April 17, 1996 143 G Letter from the European Space Agency to the Vice President of the United States, June 13, 1994 151 H Acronyms and Abbreviations 155
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