Space sustainability - Planetary protection

This standard contains planetary protection requirements, including:
-   Planetary protection management requirements;
-   Technical planetary protection requirements for robotic and human missions (forward and backward contamination);
-   Planetary protection requirements related to procedures;
-   Document Requirements Descriptions (DRD) and their relation to the respective reviews.
This standard may be tailored for the specific characteristic and constraints of a space project in conformance with ECSS-S-ST-00.

Nachhaltigkeit im Weltraum - Planetarer Schutz

Durabilité des activités spatiales - Protection planétaire

La présente norme contient les exigences de protection planétaire, y compris :
- les exigences de management de protection planétaire ;
-  les exigences techniques de protection planétaire pour les missions robotiques et habitées (contamination terrestre et extraterrestre) ;
- les exigences de protection planétaire relatives aux procédures ;
- les définitions des exigences documentaires (DRD) et leur relation avec les revues respectives.
La présente norme peut être adaptée aux caractéristiques et contraintes spécifiques d’un projet spatial, conformément à l’ECSS-S-ST-00.

Vesoljska vzdržljivost - Planetarna zaščita

Ta standard vsebuje zahteve za planetarno zaščito, vključno z naslednjim:
– zahteve za upravljanje planetarne zaščite;
– tehnične zahteve planetarne zaščite za robotske in človeške misije (kontaminacija v smeri naprej in nazaj);
– zahteve za planetarno zaščito, povezane s postopki;
– opisi zahtev glede dokumentov (DRD) in njihova povezanost z zadevnimi pregledi.
Ta standard se lahko prilagodi posameznim lastnostim in omejitvam vesoljskega projekta v skladu s standardom ECSS-S-ST-00.

General Information

Status
Published
Publication Date
21-Jan-2020
Current Stage
6060 - Definitive text made available (DAV) - Publishing
Due Date
22-Jan-2020
Completion Date
22-Jan-2020

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SLOVENSKI STANDARD
SIST EN 16604-20:2020
01-marec-2020
Vesoljska vzdržljivost - Planetarna zaščita
Space sustainability - Planetary protection
Nachhaltigkeit im Weltraum - Planetarer Schutz
Développement durabel de l'espace - Protection planétaire
Ta slovenski standard je istoveten z: EN 16604-20:2020
ICS:
49.140 Vesoljski sistemi in operacije Space systems and
operations
SIST EN 16604-20:2020 en,fr,de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST EN 16604-20:2020
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SIST EN 16604-20:2020
EUROPEAN STANDARD
EN 16604-20
NORME EUROPÉENNE
EUROPÄISCHE NORM
January 2020
ICS 49.140
English version
Space sustainability - Planetary protection

Durabilité des activités spatiales - Protection Nachhaltigkeit im Weltraum - Planetarer Schutz

planétaire
This European Standard was approved by CEN on 25 November 2019.

CEN and CENELEC members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for

giving this European Standard the status of a national standard without any alteration. Up-to-date lists and bibliographical

references concerning such national standards may be obtained on application to the CEN-CENELEC Management Centre or to

any CEN and CENELEC member.

This European Standard exists in three official versions (English, French, German). A version in any other language made by

translation under the responsibility of a CEN and CENELEC member into its own language and notified to the CEN-CENELEC

Management Centre has the same status as the official versions.

CEN and CENELEC members are the national standards bodies and national electrotechnical committees of Austria, Belgium,

Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy,

Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Republic of North Macedonia, Romania, Serbia,

Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom.
CEN-CENELEC Management Centre:
Rue de la Science 23, B-1040 Brussels

© 2020 CEN/CENELEC All rights of exploitation in any form and by any means Ref. No. EN 16604-20:2020 E

reserved worldwide for CEN national Members and for
CENELEC Members.
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SIST EN 16604-20:2020
EN 16604-20:2020 (E)
Table of contents

European Foreword ................................................................................................... 4

Introduction ................................................................................................................ 5

1 Scope ....................................................................................................................... 6

2 Normative references ............................................................................................. 7

3 Terms, definitions and abbreviated terms ............................................................ 8

3.1 Terms from other standards ...................................................................................... 8

3.2 Terms specific to the present standard ..................................................................... 8

3.3 Abbreviated terms................................................................................................... 11

3.4 Nomenclature ......................................................................................................... 12

4 Principles .............................................................................................................. 13

4.1 Planetary protection roles, responsibilities, and accountabilities ............................. 13

4.1.1 COSPAR ................................................................................................... 13

4.1.2 Customer level .......................................................................................... 13

4.1.3 Supplier level ............................................................................................ 14

4.2 Planetary protection category definitions ................................................................ 14

4.2.1 Overview ................................................................................................... 14

4.2.2 Category I ................................................................................................. 14

4.2.3 Category II ................................................................................................ 15

4.2.4 Category III ............................................................................................... 15

4.2.5 Category IV ............................................................................................... 15

4.2.6 Category V ................................................................................................ 16

4.3 Mars special regions ............................................................................................... 17

4.3.1 Introduction ............................................................................................... 17

4.3.2 Parameter and features definition for Mars special region definitions ........ 17

5 Requirements ........................................................................................................ 19

5.1 Management requirements for all missions ............................................................. 19

5.2 Generic technical requirements .............................................................................. 19

5.2.1 Flight hardware assembly ......................................................................... 19

5.2.2 Probability of impact .................................................................................. 20

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1 August 2019

5.2.3 Probability of contamination ...................................................................... 20

5.3 Technical requirements for specific missions .......................................................... 21

5.3.1 Moon missions .......................................................................................... 21

5.3.2 Mars missions ........................................................................................... 21

5.3.3 Europa and Enceladus missions ............................................................... 25

5.3.4 Missions to small Solar system bodies ...................................................... 26

5.4 Planetary protection procedures ............................................................................. 27

5.4.1 Bioburden controlled environments ........................................................... 27

5.4.2 Bioburden assessment .............................................................................. 27

5.4.3 Biodiversity assessment ............................................................................ 29

5.4.4 Bioburden reduction .................................................................................. 29

5.5 Documentation ....................................................................................................... 29

5.6 Reviews .................................................................................................................. 30

5.7 Nonconformances and waivers ............................................................................... 31

Annex A (normative) Planetary protection requirements - DRD ......................... 32

Annex B (normative) Planetary protection plan - DRD ......................................... 34

Annex C (normative) Planetary protection implementation plan - DRD ............. 36

Annex D (normative) Pre-launch planetary protection report - DRD .................. 39

Annex E (normative) Post-launch planetary protection report - DRD ................. 41

Annex F (normative) Extended mission planetary protection report - DRD ....... 42

Annex G (normative) End-of-mission planetary protection report - DRD ........... 43

Annex H (normative) Organic materials inventory - DRD .................................... 44

Annex I (informative) Guidelines for human Mars missions ............................... 45

Bibliography ............................................................................................................. 46

Tables

Table 5-1: Bioburden estimation ........................................................................................... 28

Table 5-2: Planetary protection documentation .................................................................... 30

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SIST EN 16604-20:2020
EN 16604-20:2020 (E)
European Foreword

This document (EN 16604-20:2020) has been prepared by Technical Committee CEN/CLC/TC 5

“Space”, the secretariat of which is held by DIN (Germany).

This European Standard shall be given the status of a national standard, either by publication of an

identical text or by endorsement, at the latest by July 2020, and conflicting national standards shall be

withdrawn at the latest by July 2020.

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. CEN shall not be held responsible for identifying any or all such patent rights.

This document (EN 16604-20:2020) originates from ECSS-U-ST-20C.

This document has been developed to cover specifically space systems and will therefore have

precedence over any EN covering the same scope but with a wider domain of applicability (e.g. :

aerospace).

According to the CEN-CENELEC Internal Regulations, the national standards organisations of the

following countries are bound to implement this European Standard: Austria, Belgium, Bulgaria,

Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary,

Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal,

Republic of North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland,

Turkey and the United Kingdom.
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EN 16604-20:2020 (E)
1 August 2019
Introduction
Sustainability in the context of space activities is a concept that becomes more
relevant. Planetary protection regulations have applied this concept at the
international scale already for over half a century.
The legal basis for planetary protection was established in Article IX of the
United Nations Treaty on Principles Governing the Activities of States in the
Exploration and Use of Outer Space, including the Moon and other Celestial
Bodies (Outer Space Treaty).
The Committee on Space Research (COSPAR) provides a forum for
international consultation and has formulated a planetary protection policy
with associated requirements as an international standard to guide compliance
with Article IX of the Outer Space Treaty.
COSPAR’s planetary protection policy and associated requirements are based
on two rationales:

1. The Earth must be protected from the potential hazard posed by extraterrestrial

matter carried by a spacecraft returning from an interplanetary mission
(backward planetary protection).

2. The conduct of scientific investigations of possible extraterrestrial life forms,

precursors, and remnants must not be jeopardized (forward planetary
protection).
This standard describes the planetary protection requirements for spaceflight
missions based on the COSPAR planetary protection policy and requirements.
The content of this document has been coordinated with the already existing
ESA and NASA standards to ensure that requirements, documentation and
reviews cover the needs and obligations of international partners for joint
missions or contributions to a third party mission.
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SIST EN 16604-20:2020
EN 16604-20:2020 (E)
Scope
This standard contains planetary protection requirements, including:
• Planetary protection management requirements;
• Technical planetary protection requirements for robotic and human
missions (forward and backward contamination);
• Planetary protection requirements related to procedures;
• Document Requirements Descriptions (DRD) and their relation to the
respective reviews.

This standard may be tailored for the specific characteristic and constraints of a

space project in conformance with ECSS-S-ST-00.
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SIST EN 16604-20:2020
EN 16604-20:2020 (E)
1 August 2019
Normative references
The following normative documents contain provisions which, through
reference in this text, constitute provisions of this ECSS Standard. For dated
references, subsequent amendments to, or revision of any of these publications
do not apply. However, parties to agreements based on this ECSS Standard are

encouraged to investigate the possibility of applying the more recent editions of

the normative documents indicated below. For undated references, the latest
edition of the publication referred to applies.
EN reference Reference in text Title
EN 16601-00-01 ECSS-S-ST-00-01 ECSS System – Glossary of terms
EN 16602-10-09 ECSS-Q-ST-10-09 Space product assurance – Nonconformance control
system
EN 16602-40 ECSS-Q-ST-40 Space product assurance - Safety
EN 16602-70-01 ECSS-Q-ST-70-01 Space product assurance – Cleanliness and
contamination control
EN 16602-70-53 ECSS-Q-ST-70-53 Space product assurance – Materials and hardware
compatibility tests for sterilization processes

EN 16602-70-55 ECSS-Q-ST-70-55 Space product assurance – Microbial examination of

flight hardware and cleanrooms
EN 16602-70-56 ECSS-Q-ST-70-56 Space product assurance – Vapour phase bioburden
reduction of flight hardware
EN 16602-70-57 ECSS-Q-ST-70-57 Space product assurance – Dry heat bioburden
reduction of flight hardware
EN 16602-70-58 ECSS-Q-ST-70-58 Space product assurance – Bioburden control of
cleanrooms
IADC-WD-00-03 Interagency Debris Committee Protection Manual
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EN 16604-20:2020 (E)
Terms, definitions and abbreviated terms
3.1 Terms from other standards
a. For the purpose of this Standard, the terms and definitions from ECSS-S-
ST-00-01 apply.
b. For the purpose of this Standard the following terms and definitions
from ECSS-Q-ST-70-53 apply:
1. micro-organism
c. For the purpose of this Standard the following terms and definitions
from ECSS-Q-ST-70-58 apply:
1. bioburden
2. biodiversity
3. sterilization
3.2 Terms specific to the present standard
3.2.1 assay
collection and analysis of biological contamination with a specified procedure
3.2.2 controlled condition
condition that avoids degradation of material samples and that allows
traceability of flight project hardware
3.2.3 encapsulated bioburden
bioburden inside the bulk of non-metallic materials not manufactured with
ALM
NOTE 1 Examples are bioburden inside paints,
conformal coatings, thermal coatings,
adhesives, composite materials, closed-cell
foam.
NOTE 2 The encapsulated bioburden of ALM
manufactured materials is currently unknown.
3.2.4 exposed surfaces
internal and external surfaces free for gas exchange
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3.2.5 extant life
form of life, or signatures thereof, whether metabolically active or dormant
3.2.6 extinct life
form of life, or signatures thereof, that is unambiguously no longer
metabolically active or dormant
3.2.7 highly controlled
bioburden control of cleanroom by use of full body coverall, hood, face mask,
gloves and boots, restricted access, dedicated cleaning and periodic
microbiological monitoring
3.2.8 inbound leg

part of the mission returning to Earth
3.2.9 life detection investigation
scientific investigations that can detect signatures of life
3.2.10 Mars special region
area or volume with sufficient water activity and sufficiently warm
temperatures to permit the replication of Earth organisms
[COSPAR’s Planetary Protection Policy, Space Research Today, 200, 2017 [2]]
NOTE See also parameter and feature definition in
clause 4.3.
3.2.11 mated surfaces
surfaces joined by fasteners rather than by adhesives
3.2.12 normally controlled
use of gowning equivalent to the specific cleanroom particulate class
3.2.13 organic material
material that contain either covalent C-H or C-C bonds and functional groups
NOTE Organic material can fall in several of the
material groups of a DML.
3.2.14 outbound leg

part of the mission leaving Earth
3.2.15 planetary protection approval authority

entity that specifies, for a given project, the planetary protection categorization,

detailed technical planetary protection requirements, and reviews their
implementation
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EN 16604-20:2020 (E)
NOTE Such an entity is a space agency or federal
agency, i.e. customer, under delegation by the
government signatory of the UN Outer Space
Treaty.
3.2.16 planetary protection category
category assigned to reflect the interest and concern that terrestrial
contamination can compromise future investigations and depends on the target
body and mission type
NOTE Different requirements are associated to the
various categories.
3.2.17 protected Solar system body

Solar system bodies, including planets and moons, for which there is significant

scientific interest relative to the process of chemical evolution and the origins of

life and for which scientific opinion provides a significant chance that
contamination by a spacecraft can compromise future investigations
NOTE In accordance with this definition and the
categories defined in 4.2, protected Solar
system bodies are assigned to planetary
protection category III and IV.
3.2.18 restricted Earth return
planetary protection sub-category V for sample return missions from Solar
system bodies deemed by scientific opinion to have a possibility of harbouring
indigenous life forms
3.2.19 safety critical function
function that can lead to the risk of releasing unsterilized material from a
specific solar system body and flight hardware exposed to unsterilized material
from a specific solar system body into the terrestrial environment
3.2.20 services
launch services, communication services and relay functions provided
3.2.21 swab
tool to collect biological contamination with a specific procedure
NOTE See also 3.2.1 “assay”.
3.2.22 unrestricted Earth return
planetary protection sub-category V for sample return missions from Solar
system bodies deemed by scientific opinion to have no indigenous life forms
3.2.23 water activity
ratio of the vapour pressure of water in a material to the vapour pressure of
pure water at the same temperature
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3.2.24 wipe
tool to collect biological contamination with a specific procedure
NOTE See also 3.2.1 “assay”.
3.3 Abbreviated terms
For the purpose of this Standard, the abbreviated terms from ECSS-S-ST-00-01
and the following apply:
Abbreviation Meaning
assembly, integration and test
AIT
assembly, integration and verification
AIV
additive layer manufacturing
ALM
Best Available Technique
BAT
critical design review
CDR
Committee on Space Research
COSPAR
dry heat microbial reduction
DHMR
declared material list
DML
document requirements definition
DRD
European Cooperation for Space Standardization
ECSS
European Space Agency
ESA
flight acceptance review
FAR
flight readiness review
FRR
International Organization for Standardization
ISO
launch readiness review
LRR
Mars sample return
MSR
National Aeronautics and Space Administration
NASA
planetary protection approval authority
PPAA
Probabilistic Risk Assessment
PRA
preliminary requirements review
PRR
small body
system requirements review
SRR
space studies board
SSB
standard temperature and pressure
STP
verification control document
VCD
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EN 16604-20:2020 (E)
3.4 Nomenclature
The following nomenclature applies throughout this document:
a. The word “shall” is used in this Standard to express requirements. All
the requirements are expressed with the word “shall”.
b. The word “should” is used in this Standard to express recommendations.
All the recommendations are expressed with the word “should”.
NOTE It is expected that, during tailoring,
recommendations in this document are either
converted into requirements or tailored out.
c. The words “may” and “need not” are used in this Standard to express
positive and negative permissions, respectively. All the positive
permissions are expressed with the word “may”. All the negative
permissions are expressed with the words “need not”.
d. The word “can” is used in this Standard to express capabilities or
possibilities, and therefore, if not accompanied by one of the previous
words, it implies descriptive text.
NOTE In ECSS “may” and “can” have completely
different meanings: “may” is normative
(permission), and “can” is descriptive.
e. The present and past tenses are used in this Standard to express
statements of fact, and therefore they imply descriptive text.
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EN 16604-20:2020 (E)
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Principles
4.1 Planetary protection roles, responsibilities, and
accountabilities
4.1.1 COSPAR
COSPAR maintains and promulgates a planetary protection policy for the
reference of spacefaring nations, both as an international standard on
procedures to avoid organic constituent and biological contamination in space
exploration, and to provide accepted guidelines and requirements in this area
to guide compliance with the wording of the Outer Space Treaty [1]. Content of
the Agency level planetary protection report to COSPAR is described in the
COSPAR Planetary Protection Policy (COSPAR’s Planetary Protection Policy,
Space Research Today, 200, 2017) [2].
4.1.2 Customer level
The correct implementation of the COSPAR planetary protection policy is
ensured by establishing a planetary protection organisation and management
system with a Planetary Protection Approval Authority (PPAA) function
responsible for:
• Issue or approve planetary protection categorization and requirements
for flight projects.
• Perform assessments, in coordination with the implementing project,
including inspections and reviews of facilities, equipment, procedures
and practices as appropriate to ensure compliance with the planetary
protection requirements.
• Verify the planetary protection compliance in the course of flight
projects, prior to launch, and in the case of returning spacecraft prior to
the return phase of the mission, prior to Earth entry, and again prior to
the release of returned samples.
• Report to COSPAR on the planetary protection compliance of spaceflight
missions.
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4.1.3 Supplier level
The supplier is responsible for the correct identification and implementation of
the planetary protection requirements at project level.
In particular, the supplier is responsible to:
• Propose to the customer the planetary protection requirements specific to
the project by tailoring this standard;
• Ensure the flow-down of planetary protection requirements to suppliers
down the supply chain and payload providers;
• Define the planetary protection implementation and management
approach;
• Define the planetary protection responsibilities within the project;
• Prepare project-level planetary protection documentation;
• Consider the implementation of the recommendations of reviews with
respect to planetary protection aspects.
4.2 Planetary protection category definitions
4.2.1 Overview
The different planetary protection categories reflect the level of interest and
concern that terrestrial contamination can compromise the conduct of scientific

investigations of possible extraterrestrial life forms, precursors, and remnants.

Each planetary protection category comes with a set of planetary protection
requirements. The planetary protection categories and associated requirements
depend on the target body and mission type combinations.
The following descriptions of Categories I to V are based on the COSPAR

classification at the time of issuing this standard [2]. The latest and applicable

classification and associated requirements are provided, for each particular
case, by the PPAA.
4.2.2 Category I
4.2.2.1 Description

All types of missions to a target body for which there is no significant scientific

interest relative to the process of chemical evolution and the origins of life.
4.2.2.2 Applicability
S-type asteroids, Io, Mercury.
4.2.2.3 Type of requirements to be considered
None.
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1 August 2019
4.2.3 Category II
4.2.3.1 Description
All types of missions to a target body for which there is significant scientific

interest relative to the process of chemical evolution and the origins of life but

for which scientific opinion provides only a remote chance that contamination
by a spacecraft can compromise future investigations.
4.2.3.2 Applicability
Venus, Moon (with organic material inventory), Comets, P, D, and C-type
asteroids, Jupiter, Jovian satellites (except Io, Europa, and Ganymede),
Ganymede (with probability of contamination analysis), Saturn, Saturnian

satellites (except Titan and Enceladus), Titan (with probability of contamination

analysis), Uranus, Uranian satellites, Neptune, Neptunian satellites (except
Triton), Triton (with probability of contamination analysis), Pluto and Charon
(with probability of contamination analysis), Kuiper Belt Objects ≤ ½ size of
Pluto, Kuiper Belt Objects > ½ size of Pluto (with probability of contamination
analysis ).
4.2.3.3 Type of requirements to be considered
Simple documentation; probability of contamination analysis that can lead to
Category III and IV requirements.
4.2.4 Category III
4.2.4.1 Description
Fly-by and orbital missions to a target body for which there is significant

scientific interest relative to the process of chemical evolution and the origins of

life and for which scientific opinion provides a significant chance that
contamination by a spacecraft can compromise future investigations.
4.2.4.2 Applicability
Mars, Europa, Enceladus.
4.2.4.3 Type of requirements to be considered
Detailed documentation, organic materials inventory, trajectory bias and orbital
lifetime, bioburden control.
4.2.5 Category IV
4.2.5.1 Description

Surface missions to a target body for which there is significant scientific interest

relative to the process of chemical evolution and the origins of life and for
which scientific opinion provides a significant chance that contamination by a
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spacecraft can compromise future investigations. Category IV for Mars is
subdivided into Category IVa (basic requirements for all Mars surface
missions), IVb (missions with life detection investigations), and IVc (missions
accessing Mars special regions).
4.2.5.2 Applicability
Mars, Europa, Enceladus.
4.2.5.3 Type of requirements to be considered
Detailed documentation, organic materials inventory, trajectory bias, orbital
lifetime, bioburden control, bioburden reduction or sterilization for a large
number of materials, parts and assemblies.
4.2.6 Category V
4.2.6.1 Description
All Earth-return missions. For Solar system bodies deemed by scientific opinion
to have no indigenous life forms, a subcategory “unrestricted Earth return” is
defined. For all other Category V missions a subcategory “restricted Earth
return” is defined.
NOTE The Earth’s Moon is considered part of the
Earth-Moon system and has the same level of
protection from backward contamination as the
Earth to avoid planetary protection
requirements for lunar missions from the Earth
to the Moon.
4.2.6.2 Applicability
Restricted Earth return – Mars, Europa, Enceladus; Unrestricted Earth return -
Venus, Moon, S-type asteroids, Io, Mercury.
4.2.6.3 Type of requirements to be considered
a. Unrestricted Earth return missions have planetary protection
requirements on the outbound phase only, corresponding to the category
of that phase (typically Category I or II).
b. For restricted Earth return missions there is a need for:
1. Containment throughout the return phase of all returned hardware
which directly contacted the target body or unsterilized material
from the body;
2. Containment of any unsterilized sample collected and returned to
Earth;
3. Conducting timely analyses of any unsterilized sample collected
and returned to Earth, under strict containment, and using the
most suitable techniques to cope with required sensitivity. If any
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