1. Tanja Masson-Zwaan, Dep. Director IIASL 28 April 2015
Legal aspects of small satellites Guest lecture University of Luxembourg
Tanja Masson-Zwaan, Dep. Director IIASL 28 April 2015

2. Benefits & Concerns Benefits of small satellites (<1000 kg)
Low Cost: accessible to all, incl. developing countries
Platform for scientific research/education
Technology demonstration
Standardization allows international cooperation
Concerns
Collision risk in LEO, debris
Considerable risk: non-manoeuvrable once in orbit
Damage upon re-entry
Very low probability, will burn up
New actors, lack of experience

3. International space law
UN Committee on the Peaceful Uses of Outer Space
2 sub-committees
Scientific/Technical
Legal
5 Treaties, sets of principles, resolutions
Works by consensus
Membership now 70+

4. Legal instruments Outer Space Treaty 1967 (OST)* Rescue Agreement 1968
Liability Convention 1972*
Registration Convention 1975*
Moon Agreement 1979
+ UNGA resolutions (e.g. launching state*, registration*) + sets of principles & guidelines (e.g. debris mitigation*)
* of main relevance for small satellite regulation

5. Relevant provisions
OST Art. VI: international responsibility for national activities in space, also covers private enterprises and individuals
Appropriate state to authorize/supervise
Do many national laws regulate small satellites?
OST Art. VII & LIAB: liability of the launching state for damage caused by its space object
Interpretation of ‘procure the launch’
Are small satellites space objects?
If damage in space: can fault be proven?

6. Relevant provisions (2)
OST Art. VIII & REG: state of registry retains jurisdiction & control over object/personnel
Do states register small satellites?
OST Art. IX: International cooperation / due regard for interests of other states, avoid harmful interference
Do small satellites create more or less risk of debris? Can they be de-orbited at end-of-life?

7. Relevant provisions (3)
Also: UN Debris mitigation guidelines 2007
Limit debris released during normal operations
Minimize potential for breakups during operational phase
Limit probability of accidental collision in orbit
Avoid intentional destruction /other harmful activities
Minimize potential for post-mission break-ups resulting from stored energy
Limit long-term presence in LEO after end of mission
Limit long-term interference with GEO after end of mission
Based on IADC guidelines, not legally binding
Implemented in national laws

8. Implementation: national law
Private commercial space activity growing
Must be authorized & supervised
e.g. via national legislation (not obligatory)
More and more states have national space legislation with licensing system:
In Europe: Sweden (very basic), UK, Belgium, Netherlands, France, Austria
Also in North America, Asia Pacific etc.
States without legislation must also authorize & supervise

9. UN work on national legislation
: Working Group on NSL
Set of recommendations for states
A/RES/68/74 of 11 Dec. 2013
Schematic overview:
Database of NSL:
 Please add the Indonesian law!

10. UN recommendations 1-4
Scope: launch/return, operation of sites, in orbit operation,…
Establish jurisdiction over activities on territory, & authorize/supervise activities elsewhere of nationals, avoid duplication
Clarity about entity, conditions & procedures for authorization
Consistent with treaty obligations
May reflect nat’l security & foreign policy interests;
Ensure safety,
Consider experience/expertise of applicant;
Take into account debris mitigation guidelines

11. UN recommendations 5-8 Procedures for supervision
e.g. on-site inspection, penalties, revocation etc.
National registry, request info on becoming non-functional
Recourse in case of liability, insurance requirements, indemnification procedures
Require authorization for transfer of ownership in orbit, info on change of status

12. Small satellites & space treaties
The treaties make no distinction in size
They speak about ‘space objects’…
More or less risk than larger satellites?
They will mostly burn up upon re-entry
They may collide in orbit, but fault liability
Operators are not familiar with regulations
There is no affordable insurance product
Need to be authorized & supervised by appropriate state
Need to be registered, follow ITU procedures

13. Registration: relevant instruments
Res B (XVI) 1961
Res (XVIII) 1963
Outer Space Treaty 1967
Registration Convention 1975
Res. 62/
UN registration form
UN online index
Res. 68/
National legislation/regulations

14. Res. 1721B & Res. 1962
Res. 1721B
States launching objects may provide information to COPUOS
UNSG to create public registry
Still used as basis for providing information!
Res. 1962
Principle 7: state of registry retains jurisdiction & control; ownership not affected; objects to be returned when found; info to be provided upon request

15. Outer Space Treaty 1967 103 parties, 25 signatories (1/1/2014)
Art. VIII:
State of registry retains jurisdiction & control over object/personnel; ownership not affected; objects to be returned when found; provide info upon request
Art. XI:
States may provide info on nature, conduct, locations, result of space activities
But also Art. VI :
International responsibility for national activities in space, also covers private entities
Appropriate state to authorize/supervise
Basis for national legislation

16. Registration Convention 1975
60 parties; 4 signatories; 2 declarations
Defines launching state, space object, state of registry
Compulsory national registration & compulsory international registration
Additional information, end of life
States to assist in identifying object causing damage
IGO may declare acceptance

17. Issues & problems States provide different information
States register different objects
Vague obligations
States register under different instruments
Several states register
No state registers
Only for objects that reach orbit
Re-entry
Change of ownership

18. Resolution 62/101, 2007
States to ratify REG (or use Res.1721B); IGO to declare acceptance
Rec’s for harmonization of practices:
Uniform info; additional info; point of contact
Rec’s to achieve most complete registration:
Clarify IGO cases if no decl. of acceptance
State whose territory/facility is used to contact launching states to agree which one will register, if no prior agreement (!!)
Separate registration for each object in joint launches
States to encourage their launch providers to advise owner/operator contact appropriate state about registration (!!)

19. Cont’d Rec’s in case of transfer of supervision
Requests OOSA to provide model form, provide a website
Recommends states and IGO’s to report on new developments

20. Notifications to OOSA States may provide information under:
REG: ST/SG/SER.E
Res.1721B: A/AC.105/INF
Other (e.g. Art. V or XI OST): A/AC.105
Notifications of establishment of national registries
± 25 states + ESA + Eumetsat

21. OOSA On-line Index
OOSA On-line Index of Objects Launched into Outer Space (under REG & Res. 1721B
Uses names & international designators in the public domain
Names /designators not registered with UN are in [ ] and in green

22. UN registration form Part A: Information under REG/ Res.1721B
Part B: additional info, Res. 62/101
e.g. change of status: non-functional, disposal orbit…
Part C: change of supervision, Res. 62/101
Part D: additional voluntary information
e.g. owner, launch vehicle,…
Annex: instructions, definitions

23. Resolution 68/74, 2013 Recommends elements for national legislation:
(6) A national registry should be maintained, and operators/owners of objects for which the state is considered the launching state or the responsible state should be asked to provide information to facilitate registration with UN, and ask info on change of status (end of life)

24. Small satellites & registration
Do states register small satellites?
Case: The Netherlands
Has a register with 2 sub-registries:
UN part: objects for which NL is state of registry (Art. II REG) (=empty)
National part: objects for which NL is responsible (Art. VI), has jurisdiction & control (Art. VIII), but is not launching State

25. Cont’d
NL does not consider itself the launching state of small satellites of private entities (e.g. Isis, TU Delft) as procuring state
Only applies to state procurement
So, small satellites of Isis, TU Delft will only be registered in the national part, not the UN part of the registry (art. VI VIII)
NL does consider itself as the responsible state, jurisdiction & control (licenses!)

26. Clarification
The Netherlands is not trying to escape its obligations, but believes bilateral agreements should be concluded to determine which state should be considered the launching state for which part of a launch operation
Discussions are currently underway for the first such agreement

27. Registration: practice of launchers
Launch service providers increasingly require registration as condition for launch
Remember Res. 62/101: Launch providers to contact appropriate state about registration
Case: The Netherlands
NL will provide a letter saying the object will be registered in the national part
Will this be enough?
Who will register such objects with the UN?

28. Authorization & supervision
Initially: 100% state-oriented character
With on-going privatization, link needed between private entities & states’ treaty obligations
1967 Outer Space Treaty: authorization & continuous supervision by the appropriate state (Article VI)
Often implemented in national law

29. Authorization of whom? Activities by ‘non-governmental entities’
Private companies
Universities
Individuals
The state is responsible for their behavior

30. Authorization of what?
‘National activities in outer space’ must be authorized/supervised
National activities: e.g. on their territory, by their citizens anywhere
In outer space: e.g. launching, operating and tracking (small) satellites
The state decides

31. Authorization by whom? ‘Appropriate State’
Nationality of the entity/person
Place of incorporation, headquarters
State that exercises jurisdiction/control
So it is possible that several licenses are needed!
Delegated to e.g. Ministry of economic affairs, science, technology, agency,…
The state decides

32. Supervision Authorization is not all…
Continuous supervision required by treaty
Depending on whether a generic or specific license is issued, supervision will be more or less relevant
Generic license: regular supervision required
License per activity (e.g. launch): supervision less relevant

33. What will usually be checked?
Safety (tech docs to be provided)
Financial health (e.g. annual reports)
Compliance with debris mitigation /environmental standards
Effect on national security/foreign policy
Often a separate procedure for frequency filings, success may be condition for license
Not exhaustive; varies according to needs/customs/policies

34. What will be specified?
Liability conditions (insurance, cap, recourse)
Registration parameters to be provided
Audit procedures/processes
Fees, timing
Conditions for transfer, change of status, revocation, penalties
Not exhaustive; varies according to needs/customs/policies

35. How to apply? Check which ministry/agency is in charge
Speak with them well in advance!
Some states provide clear guidance, others have less experience in implementing their duties under the treaty
Assemble documentation to be provided
N.B. export control issues!
Submit application
Go through audits
Obtain license

36. Small satellites & authorisation
Do states authorise/supervise small satellites?
Case: The Netherlands
Market study showed use will grow, risks ± same
NL: these satellites are not launched, guided, or operated from NL (not maneuverable) so:
They were not covered by NL Act
No license required, no supervision
January 2015: Administrative measure adopted to broaden scope of Act to ‘unguided’ satellites per 1/7/2015
They will require license, must buy insurance

37. Availability of insurance?
So far no product on the market
Insurance brokers expect a product to be available if demand exists
Special prices may be needed
Sometimes launch + 1 year is covered by launch provider
If stay max 1 year, no extra insurance needed
National authorities will need insight to verify

38. Conclusions
Small satellites are space objects like any other, and must be regulated & registered
Authorize/supervise (license)
Launching states to agree who will register, State whose territory/facility is used to contact others
States to encourage launch providers to advise owner/operator to contact appropriate state
Small satellite operators should review legal issues & obligations
States should create awareness /build capacity on regulations in small satellite community

39. Capacity building examples
Owners/operators of small satellites often do not know about space law, registration, liability, licenses, insurance, etc.
There is a need to inform, educate them
Workshops, information notices, websites...
ITU Workshop March 2015, Prague Declaration
UN Guidance handout, April 2015,

40. Thank you www.iiasl.aero www.iislweb.org t.l.masson@law.leidenuniv.nl

41. Small satellites & nat. law
Do national laws regulate small satellites?
Case: The Netherlands
Was excluded, as a consequence of definition of ‘space activity’ (‘launch, flight operation or guidance of space objects in outer space’)
‘wrong’ interpretation of ‘national activities in outer space’?

42. Situation corrected Administrative measure adopted Jan.’15
‘unguided’ satellites will fall in scope of Act per 1 July 2015
Aim: encourage innovation, interaction education-industry, boost international position of NL in this field
Risk not considered smaller, so similar conditions should apply
Insurance: mention of $20M $20K in explanatory note