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Prepublication Copy – Subject to Further Editorial Correction       Planetary Protection Classification of Sample-Return Missions from the Martian Moons Committee on Planetary Protection Requirements for Sample-Return Missions from Martian Moons Space Studies Board Division on Engineering and Physical Sciences A Consensus Study Report of and European Space Sciences Committee European Science Foundation Strasbourg, France PREPUBLICATION COPY – SUBJECT TO FURTHER EDITORIAL CORRECTION

THE NATIONAL ACADEMIES PRESS 500 Fifth Street, NW Washington, DC 20001 This study is based on work supported by Contract XXX between the National Academy of Sciences and the National Aeronautics and Space Administration and work supported by Contract XXX between the European Science Foundation and the European Space Agency. Any opinions, findings, conclusions, or recommendations expressed in this publication do not necessarily reflect the views of any organization or agency that provided support for the project. International Standard Book Number-13: 978-0-309-XXXXX-X International Standard Book Number-10: 0-309-XXXXX-X Digital Object Identifier: https://doi.org/10.17226/25357 Limited copies of this and other ESSC reports are available free of charge from: European Science Foundation Dr Emmanouil Detsis B.P. 90015 67080 Strasbourg Cedex France Phone: +33 388 767154 essc@esf.org Limited copies of this and other SSB reports are available free of charge from: Space Studies Board Keck Center of the National Academies of Sciences, Engineering, and Medicine 500 Fifth Street, NW, Washington, DC 20001 (202) 334-3477/ssb@nas.edu www.nationalacademies.org/ssb/ssb.html Additional copies of this publication are available for sale from the National Academies Press, 500 Fifth Street, NW, Keck 360, Washington, DC 20001; (800) 624-6242 or (202) 334-3313; http://www.nap.edu. Copyright 2019 is administered by the National Academy of Sciences on behalf of the co-publishers, the National Academies Press in the United States and the European Science Foundation in Europe. All rights reserved. Printed in the United States of America Suggested citation: National Academies of Sciences, Engineering, and Medicine and the European Science Foundation. 2019. Planetary Protection Classification of Sample-Return Missions from the Martian Moons. Washington, DC: The National Academies Press. doi: https:// doi.org/10.17226/25357. PREPUBLICATION COPY – SUBJECT TO FURTHER EDITORIAL CORRECTION

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, nongovernmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. PREPUBLICATION COPY – SUBJECT TO FURTHER EDITORIAL CORRECTION

Consensus Study Reports published by the National Academies of Sciences, Engineering, and Medicine document the evidence-based consensus on the study’s statement of task by an authoring committee of experts. Reports typically include findings, conclusions, and recommendations based on information gathered by the committee and the committee’s deliberations. Each report has been subjected to a rigorous and independent peer-review process and it represents the position of the National Academies on the statement of task. Proceedings published by the National Academies of Sciences, Engineering, and Medicine chronicle the presentations and discussions at a workshop, symposium, or other event convened by the National Academies. The statements and opinions contained in proceedings are those of the participants and are not endorsed by other participants, the planning committee, or the National Academies. For information about other products and activities of the National Academies, please visit www.nationalacademies.org/about/whatwedo. PREPUBLICATION COPY – SUBJECT TO FURTHER EDITORIAL CORRECTION

Based in Strasbourg, France, the European Science Foundation (ESF) was established in 1974 as an independent, non-governmental, non-profit organisation to help its Member Organisations collaborate internationally on research programmes. ESF helps meet this objective by providing administrative, management and coordination services to independent scientific boards/committees and collaborative scientific projects, whilst harnessing in-depth knowledge of the European landscape and associated research communities. Currently the ESF’s focus lies in activities designed to support and sustain the funding and conduct of scientific research across Europe. This is a natural evolution of its traditional role, since the aim remains to promote scientific developments through collaborative actions, but with the emphasis shifting to helping research funding organisations carry out their decision- making processes. ESF’s aim is to serve and strengthen science by exploiting its assets to build and develop an organisation that is self-financing and independent, but at the same time non-profit and customer-service oriented. To this end it will be working alongside leading science funding institutions as well as national funding bodies. The European Space Sciences Committee (ESSC) is an Expert Board of the European Science Foundation (ESF). The ESSC aims to underpin the role of space sciences and technology as pillars of the European space venture, support European visibility and enhance the position of Europe in global space initiatives, and asses the status and perspectives of European space activities on a regular basis. Following the creation of the “Provisional Space Science Board for Europe” under the auspices of the UK Royal Society in 1974, the ESSC turned into a Standing Committee of the newly created European Science Foundation (ESF) in 1975. The ESSC had grown out of the need for a collaborative effort that would ensure European space scientists made their voices heard on the other side of the Atlantic, in an era when successive Apollo and space science missions had thrust the idea of space exploration into the collective conscious for the first time. The ESSC’s mission is to provide an independent voice on European space research and policy, and it remains just as relevant today as it acts as an interface with the European Space Agency (ESA), the European Commission, national space agencies, and ESF Member Organisations on space-related aspects. PREPUBLICATION COPY – SUBJECT TO FURTHER EDITORIAL CORRECTION

COMMITTEE ON PLANETARY PROTECTION REQUIREMENTS FOR SAMPLE-RETURN MISSIONS FROM MARTIAN MOONS DAVID PEARCE, Northumbria University, United Kingdom Chair ANDRE ANTUNES, Edge Hill University, United Kingdom ATHENA COUSTENIS, LESIA-Observatoire de Paris-Meudon, France MICHAEL J. DALY, Uniformed Services University of the Health Sciences, United States ABIGAIL A. FRAEMAN, Jet Propulsion Laboratory, United States ANSGAR GRESHAKE, Museum für Naturkunde, Germany GUY LIBOUREL, Observatoire de la Côte d’Azur, France AKIKO NAKAMURA, Kobe University, Japan FRANÇOIS POULET, Institute of Space Astrophysics, France ROBIN PUTZAR, Fraunhofer Institute for High-Speed Dynamics, Germany KALIAT T. RAMESH, Johns Hopkins University, United States NORMAN H. SLEEP (NAS), Stanford University, United States SHINO SUZUKI, Japan Agency for Marine Earth Science and Technology, Japan MEGAN BRUCK SYAL, Lawrence Livermore National Laboratory, United States ERIN L. WALTON, MacEwan University, Canada Staff EMMANOUIL DETSIS, Science Officer, European Science Foundation DAVID H. SMITH, Study Director, Space Studies Board MIA BROWN, Research Associate, Space Studies Board ANDREA REBHOLZ, Program Coordinator, Space Studies Board JONATHAN LUTZ, Lloyd V. Berkner Space Policy Intern, Space Studies Board PREPUBLICATION COPY – SUBJECT TO FURTHER EDITORIAL CORRECTION vii

EUROPEAN SPACE SCIENCE COMMITTEE ATHENA COUSTENIS, LESIA-Observatoire de Paris-Meudon, France, Chair CONNY AERTS, Katholieke Universiteit Leuven, Belgium NABILA AGHANIM, Université Paris-Sud, France MAHESH ANAND, Open University, United Kingdom ESTHER ANTONUCCI, Torino Observatory of Astronomy, Italy SARAH BAATOUT, SCK-CEN, Belgian Nuclear Research Center, Belgium IAN BROWN, University of Stockholm, Sweden ALEXANDER CHOUKER, Hospital of the Ludwig Maximilian University (LMU), Munich, Germany BERNDT FEUERBACHER, DLR, Germany HELEN FRASER, Open University, United Kingdom MARC HEPPENER, France ANDREAS KÄÄB, Oslo University, Norway MAARTEN KROL, Wageningen University, Netherlands DOMINIQUE LANGEVIN, University Paris Sud, France LUISA LARA, Instituto de Astrofisica de Andalucia, CSIC, Spain ROSEMARY MORROW, LEGOS, France HERMANN OPGENOORTH, Swedish Institute of Space Physics, Sweden GERHARD PAAR, Joanneum Research, Austria ANNE PAVY-LE-TRAON, University Hospital of Toulouse, France MICHAEL PERRYMAN, University College Dublin, Ireland ROBERTO PIAZZA, Milano Politecnico, Italy MANOLIS PLIONIS, National Observatory of Athens, Greece PETER PREU, DLR, Germany PETRA RETTBERG, DLR, Germany SINDY STERCKX, VITO, Belgium HUBERTUS THOMAS, DLR, Germany ALEXANDER TIELENS, Leiden University, Netherlands STÉPHANE UDRY, University of Geneva, Switzerland PEPIJN VEEFKIND, Royal Netherlands Meteorological Institute, Netherlands ROBERT WIMMER-SCHWEINGRUBER, University of Kiel, Germany Staff JEAN-CLAUDE WORMS, Chief Executive Officer NICOLAS WALTER, Senior Science Officer EMMANOUIL DETSIS, Science Officer CAMELIA STEINMETZ, Administrative Coordinator PREPUBLICATION COPY – SUBJECT TO FURTHER EDITORIAL CORRECTION viii

SPACE STUDIES BOARD FIONA HARRISON, NAS, California Institute of Technology, Chair JAMES H. CROCKER, NAE, Lockheed Martin Space Systems Company (retired), Vice Chair GREGORY P. ASNER, NAS, Carnegie Institution for Science JEFF M. BINGHAM, Consultant ADAM BURROWS, NAS, Princeton University MARY LYNNE DITTMAR, Dittmar Associates JEFF DOZIER, University of California, Santa Barbara JOSEPH FULLER JR., Futron Corporation (retired) SARAH GIBSON, National Center for Atmospheric Research VICTORIA HAMILTON, Southwest Research Institute CHRYSSA KOUVELIOTOU, NAS, George Washington University DENNIS P. LETTENMAIER, NAE, University of California, Los Angeles ROSALY M. LOPES, Jet Propulsion Laboratory STEPHEN J. MACKWELL, Universities Space Research Association DAVID J. MCCOMAS, Princeton University LARRY PAXTON, Johns Hopkins University, Applied Physics Laboratory ELIOT QUATAERT, University of California, Berkeley BARBARA SHERWOOD LOLLAR, University of Toronto HARLAN E. SPENCE, University of New Hampshire MARK H. THIEMENS, NAS, University of California, San Diego ERIKA WAGNER, Blue Origin PAUL WOOSTER, Space Exploration Technologies EDWARD L. WRIGHT, NAS, University of California, Los Angeles Staff MICHAEL H. MOLONEY, Director (through March 1, 2018) RICHARD ROWBERG, Acting Director (March 1 through August 6, 2018) COLLEEN HARTMAN, Director (beginning August 6, 2018) CARMELA J. CHAMBERLAIN, Administrative Coordinator (through June 30, 2018) TANJA PILZAK, Manager, Program Operations CELESTE A. NAYLOR, Information Management Associate MARGARET KNEMEYER, Financial Officer PREPUBLICATION COPY – SUBJECT TO FURTHER EDITORIAL CORRECTION ix

Preface COSPAR PLANETARY PROTECTION POLICY FOR THE MARTIAN MOONS An international consensus policy to prevent the biological cross-contamination of planetary bodies exists and is maintained by the Committee on Space Research (COSPAR) of the International Council for Science, which is consultative to the United Nations Committee on the Peaceful Uses of Outer Space. Currently, COSPAR’s planetary protection policy does not specify the status of sample- return missions from Phobos or Deimos, the moons of Mars. Although the moons themselves are not considered potential habitats for life or of intrinsic relevance to prebiotic chemical evolution, recent studies indicate that a significant amount of material recently ejected from Mars could be present on the surface of Phobos and, to a lesser extent, Deimos. Such interplanetary ejecta might mediate the transfer of viable organisms from one body to another. Such a process is sometimes referred to as lithopanspermia; a variant of the Arrhenius’ Panspermia Hypothesis. Multiple space agencies, including National Aeronautics and Space Administration (NASA), European Space Agency (ESA), and the Japan Aerospace Exploration Agency (JAXA) are interested in plans for bringing samples of material from Phobos and/or Deimos, which need to receive a planetary protection categorization of either restricted or unrestricted Earth return. A designation of restricted Earth return, per current NASA, ESA, JAXA, and COSPAR policy, would require samples to be maintained in high containment and undergo a biohazard test protocol after return. In addition, the moons of Mars are possible targets for future human exploration. Therefore, an understanding of the potential for life from Mars to persist on Phobos and/or Deimos is relevant to assuring astronaut safety on those missions. NASA and ESA rely on the independent scientific advice from, respectively, the National Academies and the European Science Foundation (ESF) when faced with planetary protection questions not codified in current COSPAR policy. The National Academies and ESF have the ability to synthesize input from a wide spectrum of the scientific and technical communities and provide expert recommendations. CREATION OF THE JOINT COMMITTEE To lessen the scientific uncertainties concerning the planetary protection status of the martian moons, NASA and ESA commissioned research to perform modeling and experimental activities to assess the extent to which material from Mars might be deposited on the planet’s moons and to assess the post-ejection environmental conditions that might inactivate potential martian life transported to Phobos and Deimos. The tests included hypervelocity impact sterilization of relevant Earth organisms, as well as ionizing radiation and heat. To provide an independent assessment of the results of experimental activities, NASA and ESA issued parallel requests in 2016 to the National Academies’ Space Studies Board and ESF’s European Space Science Committee (ESSC), respectively (Appendix A). Both NASA and ESA specifically requested that “the National Academies of Sciences, Engineering, and Medicine and the European Science Foundation will establish an ad hoc committee to review and assess recent research sponsored by NASA and the European Space Agency relating to the planetary protection concern that hypothetical martian life might exist on the surfaces of the martian moons, Phobos and Deimos, consequent to their PREPUBLICATION COPY – SUBJECT TO FURTHER EDITORIAL CORRECTION xi

ejection from the surface of Mars following a major impact event.” Three specific tasks were enumerated (see next section, tasks 1, 2, and 6). Although there was no formal Japanese involvement in the commissioning of this study, it was generally agreed by NASA, ESA, the SSB and ESSC that some participation by independent Japanese scientists was appropriate because of JAXA’s plans to launch the Martian Moons Exploration (MMX) mission in the mid-2020 to collect and return samples from Phobos (or Deimos) to Earth. The joint National Academies-ESF Committee on the Planetary Protection Requirements for Sample-Return Missions from the martian moons was formally established in mid-October and held its first and only planned meeting in London on November 6-9, 2017. In March 2018, while the joint committee was assembling its draft report, NASA (with ESA concurrence) requested that the committee do three things (Appendix B). First, delay the completion of its report. Second, plan to hold an additional meeting in the autumn of 2018 to consider new results from ESA- and JAXA-sponsored groups studying the transfer of material from Mars to its moons. Third, expand the scope of its study by addressing three additional tasks (see next section, tasks 3-5). In the autumn of 2018 five additional members were added to the committee to address the expanded scope of the study and the committee met again in London on 18-20 September 2018. The next section details the specific statements for the tasks (1-6) of the committee, in the context of their review of the ESA/NASA/JAXA research work. STATEMENT OF TASK The committee was specifically asked to address the following topics: 1. Review, in the context of current understanding of conditions relevant to inactivation of carbon- based life, recent theoretical, experimental, and modeling research on the environments and physical conditions encountered by Mars ejecta during the following processes: a. Excavation from the martian surface via crater-forming events; b. While in transit through cismartian space; c. During deposition on Phobos or Deimos; and d. After deposition on Phobos or Deimos. 2. Recommend whether missions returning samples from Phobos and/or Deimos should be classified as “restricted” or “unrestricted” Earth return in the framework of the planetary protection policy maintained by the ICSU Committee on Space Research (COSPAR); 3. In what specific ways is classification of sample return from Deimos a different case than sample return from Phobos? 4. What relevant information for classification of sample return is available from published studies of martian meteorites on Earth? 5. What are the planetary protection consequences of taking a surface sample at depths of 0–2 cm versus taking a sample extending down to depths of 2-10 cm or deeper? 6. Suggest any other refinements in planetary protection requirements that that might be required to accommodate spacecraft missions to and sample returned from Phobos and/or Deimos. REPORT REVIEW A complete draft of the joint committee’s report was assembled in October and sent to external reviewers on 30 November, 2018. Responses to reviewer comments were drafted during the final week of December and a fully revised draft was approved for public release on XX XXXXXXX, 2019. PREPUBLICATION COPY – SUBJECT TO FURTHER EDITORIAL CORRECTION xii

The work of the committee was made easier thanks to the important help, advice, and comments provided by numerous individuals from a variety of public and private organizations. These include the following: Allan Bennett (Public Health England), Catharine Conley (NASA), David Evans (Fluid Gravity Engineering Ltd.), Masaki Fujimoto (JAXA), Kazuhisa Fujita (JAXA), Gerhard Kminek (ESA), Kosuke Kurosawa (Chiba Institute of Technology), Manish Patel (The Open University), Victoria Pearson (The Open University), Mika Salminen (National Institute for Health and Welfare, Finland), J. Andrew Spry (SETI Institute), Thomas Statler (NASA), David Summers (Thales Alenia Space), Peter Triscott (Kallisto Consultancy), Akihiko Yamagishi (Tokyo University of Pharmacy and Life Sciences), and Yasuhiro Kawakatsu (JAXA). The committee offers special thanks to Kai Finster (Aarhus University) for his services as a consultant and participant in its first meeting. The European Science Foundation elected not to conduct an independent review of this report. Rather, they agreed to abide by the report review policies and practices used by the National Academies. Therefore, 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 Report Review Committee of the National Academies of Sciences, Engineering, and Medicine. 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 review of this report: Kathrin Altwegg (University of Bern); Donna Blackmond, NAE (Scripps Research Institute); John Bridges (University of New Brunswick); Charles Cockell (University of Edinburgh); Gareth Collins (Imperial College); Dennis Discher, NAE, NAM (University of Pennsylvania); Katherine H. Freeman, NAS (Pennsylvania State University); Stephen Mackwell (Universities Space Research Association); Ajay Malshe, NAE (University of Arkansas); John Spray (University of Leicester); and Erika Wagner (Blue Origin) Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations nor did they see the final draft of the report before its release. The review of this report was overseen by Steven J. Battel (Battel Engineering, Inc.), who were 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 authoring committee and the institutions. PREPUBLICATION COPY – SUBJECT TO FURTHER EDITORIAL CORRECTION xiii

Contents SUMMARY 1 INTRODUCTION The Martian Moons, Phobos and Deimos Earth Inventory of Martian Meteorites Future Missions to the Martian Moons: The MMX Mission Planetary Protection and COSPAR Policy Studies Supporting Planetary Protection Classification of Martian Moons Sample Return 2 OVERVIEW AND ASSESSMENT OF THE STERLIM AND JAXA STUDIES Potential Microbial Density on the Martian Surface Mars Ejecta Formation and Transportation from the Martian Surface Sterilization during Mars Ejecta Formation Sterilization by Aerodynamic Heating of Mars Ejecta Sterilization during Hypervelocity Impact on Phobos/Deimos Surface Distribution of Mars Ejecta Fragments by Impacts, Recirculation, and Re-impact Sterilization by Radiation on Phobos/Deimos Surface Phobos/Deimos Surface Reformation by Natural Meteoroid Impacts 3 RESPONSES TO THE STATEMENT OF TASKS AND RECOMMENDATIONS Task 1—Review of Current Understanding Task 2—Restricted or Unrestricted Earth Return for Martian Moons Sample Return Missions Task 3—Differences between Phobos and Deimos in the Context of Planetary Protection Task 4—Relevant Information from Studies of Martian Meteorites Task 5—Planetary Protection Consequences of Sampling at Depth Task 6—Other Refinements to Planetary Protection for Martian Moons Sample Return APPENDIXES A Original Request from NASA B Revised Request from NASA C Biographies of Committee Members and Staff PREPUBLICATION COPY – SUBJECT TO FURTHER EDITORIAL CORRECTION xv

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An international consensus policy to prevent the biological cross-contamination of planetary bodies exists and is maintained by the Committee on Space Research (COSPAR) of the International Council for Science, which is consultative to the United Nations Committee on the Peaceful Uses of Outer Space. Currently, COSPAR’s planetary protection policy does not specify the status of sample-return missions from Phobos or Deimos, the moons of Mars. Although the moons themselves are not considered potential habitats for life or of intrinsic relevance to prebiotic chemical evolution, recent studies indicate that a significant amount of material recently ejected from Mars could be present on the surface of Phobos and, to a lesser extent, Deimos.

This report reviews recent theoretical, experimental, and modeling research on the environments and physical conditions encountered by Mars ejecta during certain processes. It recommends whether missions returning samples from Phobos and/or Deimos should be classified as “restricted” or “unrestricted” Earth return in the framework of the planetary protection policy maintained by COSPAR. This report also considers the specific ways the classification of sample return from Deimos is a different case than sample return from Phobos.

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