JMR-014A(E)GeneralPlanetary Protection Program Standard

This standard is quoted and translated from ESSB standard ESSBST-U-001 Issue 1 with special permission from ESA and reflects
the latest COSPAR Planetary Protection Policy.

March. 22, 2024

Japan Aerospace Exploration Agency

JMR-014A(E)This is an English translation of JMR-014A, “Planetary Protection Program Standard”, and does notconstitute itself.
Whenever this document conflicts with the original document in Japanese, the original document
takes precedence.

Disclaimer
The information contained herein is for general informational purposes only. JAXA makes no warranty,
express or implied, including as to the accuracy, usefulness or timeliness of any information herein.
JAXA will not be liable for any losses relating to the use of the information.

Published by
Japan Aerospace Exploration Agency
Safety and Mission Assurance Department
2-1-1 Sengen Tsukuba-shi, Ibaraki 305-8505, JapanJMR-014A(E)Contents
Disclaimer ........................................................................................................................................ ii
1 GENERAL ..................................................................................................................................... 1
1.1 Introduction ................................................................................................................................ 1
1.2 Scope of Application ................................................................................................................... 2
2 RELATED DOCUMENTS .............................................................................................................. 3
2.1 Applicable documents ............................................................................................................ 3
2.2 Reference Documents ........................................................................................................... 3
3 DEFINITION OF TERMS ............................................................................................................... 4
3.1 Terms ..................................................................................................................................... 4
3.2 Abbreviation ........................................................................................................................... 8
4 MANAGEMENT REQUEST ........................................................................................................... 9
4.1 Planetary protection roles and responsibilities ....................................................................... 9
4.1.1 Corporate level ................................................................................................................... 9
4.1.2 Project level ........................................................................................................................ 9
4.2 Planetary protection category definitions ............................................................................. 10
4.2.1 Category I ......................................................................................................................... 10
4.2.2 Category II ........................................................................................................................ 10
4.2.3 Category III ....................................................................................................................... 11
4.2.4 Category IV....................................................................................................................... 11
4.2.5 Category V........................................................................................................................ 125

TECHNICAL REQUIREMENTS ............................................................................................... 14
5.1 General requirements for all missions ................................................................................. 14
5.2 Generic technical requirements ........................................................................................... 15
5.2.1 Material management of flight hardware assembly and manufacturing parts, etc. .......... 15
5.2.2 Right of access ............................................................................................................... 15
5.2.3 Impact probability on a protected Solar system body ..................................................... 16
5.2.4 Contamination probability on a protected Solar system body ......................................... 16
5.2.5 Organic materials inventory ............................................................................................ 17
5.3 Requirements for specific missions ..................................................................................... 17
5.3.1 Requirements for Moon missions ................................................................................... 17
5.3.2 Requirements for Mars missions .................................................................................... 18
5.3.3 Requirements for missions to Europa, Enceladus, and other Solar system bodies in theouter Solar system .................................................................................................................. 21
5.3.4. Requirements for missions to small Solar system bodies .............................................. 23

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5.4 Requirements for planetary protection procedures .............................................................. 25
5.4.1 Bioburden controlled environment .................................................................................. 25
5.4.2 Bioburden assessment ................................................................................................... 25
5.4.3 Biodiversity assessment ................................................................................................. 27
5.4.4 Bioburden reduction ....................................................................................................... 27
5.5 Requirement for documentation ........................................................................................... 27
5.6 Requirement for reviews ...................................................................................................... 29
5.7 Nonconformances and waivers ............................................................................................ 31
Annex A (normative) Project planetary protection requirements - DRD .......................................... 32
A.1. DRD identification .............................................................................................................. 32
A.1.1 Requirement identification and source document ........................................................... 32
A.1.2 Purpose and objective .................................................................................................... 32
A.2 Expected response .............................................................................................................. 32
A.2.1 Content .......................................................................................................................... 32
A.2.2 Special remarks ............................................................................................................. 32
Annex B (normative) Planetary protection plan – DRD ................................................................... 33
B.1 DRD identification ............................................................................................................... 33
B.1.1 Requirement identification and source document ........................................................... 33
B.1.2 Purpose and objective .................................................................................................... 33
B.2 Expected response .............................................................................................................. 33
B.2.1 Content .......................................................................................................................... 33
Annex C (normative) Planetary protection implementation plan - DRD .......................................... 35
C.1 DRD identification ............................................................................................................... 35
C.1.1 Requirement identification and source document........................................................... 35
C.1.2 Purpose and objective ................................................................................................... 35
C.2. Expected response ............................................................................................................ 35
C.2.1 Content .......................................................................................................................... 35
C.2.2 Special remarks ............................................................................................................. 37
Annex D (normative) Pre-launch planetary protection report - DRD ............................................... 38
D.1 DRD identification ............................................................................................................... 38
D.1.1 Requirement identification and source document........................................................... 38
D.1.2 Purpose and objective ................................................................................................... 38
D.2 Expected response ............................................................................................................. 38
D.2.1 Content .......................................................................................................................... 38
D.2.2 Special remarks ............................................................................................................. 38

JMR-014A(E)Annex E (normative) Post-launch planetary protection report - DRD.............................................. 39
E.1 DRD identification ............................................................................................................... 39
E.1.1 Requirement identification and source document ........................................................... 39
E.1.2 Purpose and objective .................................................................................................... 39
E.2 Expected Response ............................................................................................................ 39
E.2.1 Content .......................................................................................................................... 39
E.2.2 Special remarks ............................................................................................................. 39
Annex F (normative) Extended mission planetary protection report-DRD....................................... 40
F.1 DRD identification ................................................................................................................ 40
F.1.1 Requirement identification and source document ........................................................... 40
F.1.2 Purpose and objective .................................................................................................... 40
F.2 Expected Response ............................................................................................................. 40
F.2.1 Content ........................................................................................................................... 40
F.2.2 Special remarks .............................................................................................................. 40
Annex G (normative) End-of-mission planetary protection report - DRD ........................................ 41
G.1 DRD identification ............................................................................................................... 41
G.1.1 Requirement identification and source document .......................................................... 41
G.1.2 Purpose and objective ................................................................................................... 41
G.2 Expected Response ............................................................................................................ 41
G.2.1 Content .......................................................................................................................... 41
G.2.2 Special remarks ............................................................................................................. 41
Annex H (normative) Organic Materials inventory - DRD ............................................................... 42
H.1 DRD identification ............................................................................................................... 42
H.1.1 Requirement identification and source document........................................................... 42
H.1.2 Purpose and objective ................................................................................................... 42
H.2 Expected Response ............................................................................................................ 42
H.2.1 Content .......................................................................................................................... 42
H.2.2 Special remarks ............................................................................................................. 42
Annex I (informative) Guidelines for human Mars missions ............................................................ 43
Annex J (Informative) Category Selection Flow Chart/ List of Planetary Protection Requirements by
Category ........................................................................................................................................ 45
Annex K (Informative) Task examples by category ........................................................................... 2
K.1 Task examples of categories I and II ..................................................................................... 2
K.1.1 Confirmation of planetary protection requirements for the project .................................... 2
K.1.2 Task contents ................................................................................................................... 2

JMR-014A(E)K.1.3 Schedule example ............................................................................................................ 1
K.2 Task examples of category III ................................................................................................ 1
K.2.1 Confirmation of planetary protection requirements for the project .................................... 1
K.2.2 Task contents ................................................................................................................... 1
K.2.3 Schedule example ............................................................................................................ 3
Bibliography ..................................................................................................................................... 4

JMR-014A(E)

1 GENERAL
1.1 Introduction
In 1958, the year after Sputnik, the National Research Council (NRC) of the US National Academyof Sciences (NAS) expressed its deep concern that initial exploration of the Moon and othercelestial bodies might compromise future scientific exploration. The Council recommended to planand conduct Solar system exploration so as to prevent their contamination. The resolution of the
NRC was communicated to the Bureau of the International Council of Scientific Unions (ICSU).
The ICSU formed an ad-hoc Committee on Contamination by Extraterrestrial Exploration (CETEX)
and issued the first code of conduct for planetary protection in the autumn of 1958. The report wasendorsed by the NAS Space Studies Board (SSB) and contained the recommendation that the
newly established Committee On Space Research (COSPAR) of the ICSU should assume
responsibility for matters of planetary protection. The first spaceflight missions to use planetary
protection requirements were the Ranger missions in 1961. Since then, all planetary missions had
to implement planetary protection measures at different degrees – ranging from simple
documentation to terminal sterilization of entire flight systems. 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 basic goals of planetary protection have remained unchanged:
・to preserve planetary conditions for future biological exploration, and・to protect Earth and its biosphere (including the Moon) from potential harmful extraterrestrial
sources of contamination.
To meet these goals, spaceflight missions have to manage
・forward contamination, contamination of celestial bodies other than the Earth by terrestrial life
forms in the course of spaceflight missions (See Section 3.1.21), and・backward contamination, contamination of the terrestrial biosphere by extraterrestrial
life forms in the course of spaceflight missions (See Section 3.1.22).
Today 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 andrequirements in this area to guide compliance with the wording of the Outer Space Treaty.
In Japan, deep space exploration projects, mainly scientific satellites, have been conducted byadopting design standards that conform to the Planetary Protection Policy stipulated by COSPAR
for individual projects, and by forming an international consensus at the COSPAR PlanetaryProtection Panel. In the past, individual projects have been implemented by adopting design
standards that conform to the Planetary Protection Policy stipulated by COSPAR and by forming
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JMR-014A(E)an international agreement at the COSPAR Planetary Protection Panel. However, since there is apossibility that Japan will implement multiple projects that require planetary protection design, suchas the Mars Sample Return (MMX), lunar exploration, and Mars exploration, JAXA will establish
the Planetary Protection Program Standard as a JAXA standard, with the aim of centralizing thereview process for planetary protection for JAXA as a whole. The purpose of this standard is tounify the review process for planetary protection in JAXA as a whole.

1.2 Scope of Application
This standard describes JAXA’s planetary protection requirements. The contents are as follows
 The overall planetary protection management requirements (Chapter 4);
 The technical planetary protection requirements for robotic and human missions (forward andbackward contamination) (Sections 5.1 – 5.3);
 The planetary protection requirements related to procedures (Sections 5.4);
The Document Requirement Descriptions (DRD) and their relation to the respective reviews(Sections 5.5 – 5.7).
This standard applies to Spaceflight missions conducted by JAXA: JAXA’s participation in spaceflight missions conducted by JAXA:JAXA’s participation in spaceflight missions conducted by organizations other than JAXA.
Participation here refers to the provision and operation of spacecraft, provision and operation ofobservation equipment, provision of elemental components, and provision of services (launchservices, communication services, and relay functions, etc.) for the main spaceflight mission. For
example, when a spacecraft or observation equipment provided by an organization other than
JAXA is installed in a spaceflight mission conducted by JAXA, the spacecraft or observationequipment is subject to this standard.
The standard also applies to the provision of JAXA's launch services and communication services
to spaceflight missions conducted by organizations other than JAXA, and JAXA may not provide
services to spaceflight missions that do not conform to this standard. In the case of JAXA’sparticipation in spaceflight missions conducted by organizations other than JAXA, priority shall begiven to compliance with the planetary protection regulations established by organizations otherthan JAXA, and the method of implementing planetary protection shall be determined throughconsultation between JAXA and the other organization.
Spaceflight missions that do not reach Earth orbit or spaceflight missions that only target Earthorbit are, in principle, excluded from the scope because the probability of the flight instruments
reaching solar-system celestial bodies including the Moon is extremely small. However, if there is aconcern that the possibility of the flight instruments reaching solar-system celestial bodies
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JMR-014A(E)including the Moon beyond Earth orbit cannot be eliminated due to the large propulsion systemcapability of the launch vehicle or spacecraft, the Planetary Protection Officer or a person
designated by the Planetary Protection Officer shall conduct an individual interview with the person
in charge of the project to determine whether the flight instruments can reach solar-systemcelestial bodies including the Moon. The Planetary Protection Officer or a person designated by
the Planetary Protection Officer shall conduct a hearing with the person in charge of the project
individually and provide advice on the applicability of this standard.
The requirements described in this standard should be organized into those that apply to individual
projects and those that do not, and tailored so that general and mission-specific requirements are
retained and those that are unnecessary are omitted. (See the Mission Category Flowchart in
Annex J for details on the scope of application.

2 RELATED DOCUMENTS
2.1 Applicable documents
The following documents form part of this Standard within the scope specified in this Standard,
and unless otherwise specified, are the latest versions available at the time of application of thisStandard. If there is any discrepancy between this Standard and the documents listed below, thediscrepancy shall be reported to the Director of the Safety and Reliability Division and appropriate
action shall be taken.
(1) JMR-005 Quality Assurance Program Standard(2) JMR-006 Configuration Management Standard(3) JMR-013 Quality Assurance Program Standard (Basic Requirements JIS Q 9100)
2.2 Reference Documents
2.2 Reference Documents
The following documents are provided as references to supplement the descriptions in this standard.
Document (2) is a reference for evaluating the assembly environment and outgassing of flightequipment. Document (3) is a handbook that provides specific examples of crash probability analysis
and contamination probability analysis described in this standard, and Documents (9)-(11) arereferences for performing such analyses. Documents (4) through (8) are references for sterilization(Section 3.1.15) and bioburden control (Section 3.1.2). Document (12) is the ESA standard
document referred to in preparing this standard.
(1) JMR-001 System Safety Standard(2) JMR-010 Contamination Control Standard
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JMR-014A(E)(3) JERG-0-057-HB001 Handbook for Probability of Impact Analysis for Planetary Protection(4) JERG-0-057-HB002 Sterilization Handbook for Flight Instruments (in preparation for publication)(5) JERG-0-057-HB003 Sterilization Handbook for Clean Rooms (in preparation for publication)(6) JERG-0-057-HB004 Microbiological Inspection Handbook for Flight Instruments and Cleanrooms(in preparation for publication)(7) JERG-0-057-HB005 Compatibility Testing Handbook for Materials and Components for
Sterilization Processes (in preparation for publication)(8) JERG-0-057-HB006 Handbook for Ultra-Cleaning of Flight Instruments (in preparation for
publication)(9) JERG-2-000 Spacecraft (Satellite and Spacecraft) Design Standard(10) JERG-2-120 Single Failure and Ripple Failure Prevention Design Standard(11) JERG-2-151 Mission and Orbit Design Standard(12) ESSB-ST-U-001 Issue 1 Rev0 ESA planetary protection requirements

3 DEFINITION OF TERMS
3.1 Terms
3.1.1 assay
Collection and analysis of biological contamination with a specified procedure
3.1.2 bioburden
Number of microorganisms in the sample. The degree of biocontamination. or bioburden test (a test
to test the degree of biocontamination), and the numerical value of the bioburden test result.
3.1.3 encapsulated bioburden
Bioburden encapsulated in non-metallic material (e.g., potting, FRP, etc.)
3.1.4 JAXA services
Launch services, communication services and relay functions provided by JAXA
3.1.5 exposed surfaces
Internal and external surfaces free for gas exchange
3.1.6 extant life
Form of life, or signatures thereof, whether metabolically active or dormant
3.1.7 extinct life
Form of life, or signatures thereof, that is unambiguously no longer metabolically active or dormant
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3.1.8 inbound leg
In the frame of Earth-return missions (See section 3.1.20), part of the mission returning to Earth
3.1.9 mated surface
Surfaces joined by fasteners rather than by adhesives
3.1.10 outbound leg
In the frame of Earth-return missions (See section 3.1.20), part of the mission leaving Earth
Note: Used as an antonym for inbound leg and includes all activities on the way to and around theobject3.1.11 planetary protection category
Category of planetary protection assigned in consideration of the scientific importance of a target
object with respect to chemical evolutionary processes and the origin of life, and the significance ofcontamination of the target object that could adversely affect future research. The categories vary
according to the target object and mission type, and different requirements are set for each category.
3.1.12 protected Solar system body
(In the frame of impact probability analysis) Solar system bodies, including planets and moons, forwhich there is significant scientific interest relative to the process of chemical evolution and theorigins of life and for which scientific opinion provides a significant chance that contamination by aspacecraft can compromise future investigations.
Note: In accordance with this definition and the categories defined in 4.2, protected Solar systembodies are assigned to planetary protection category III and IV.
3.1.13 restricted earth return
Planetary protection sub-category V for Earth-return missions (See section 3.1.20) from Solarsystem bodies deemed by scientific opinion to have a chance of harbouring indigenous life forms
3.1.14 single landing event
Pre-launch prediction of the individual spacecraft system landing/impact locations that cannot bedemonstrated to be outside each other’s 3σ level.
Note: For example, if a lander separates the aeroshell and lands, the landing of the lander and thefall of the aeroshell are treated as a single landing event if the center of the dispersion region of thepredicted landing site of the lander is included in the 3σ dispersion region of the predicted fall of theaeroshell.

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3.1.15 sterilization
In this standard, methods and processes that have been approved as effective for eliminating viablemicroorganisms from products
3.1.16 unrestricted earth return
Planetary protection sub-category V for Earth-return missions (See section 3.1.20) from Solarsystem bodies deemed by scientific opinion to have no indigenous life forms
3.1.17 launch vehicle
Systems for transporting spacecraft, such as rockets, out of the Earth’s gravitational sphere3.1.18 flight hardware
All instruments to be transported outside the Earth’s gravity zone, including launch vehicles andspacecraft.
3.1.19 noncompliance
A condition of an item or facility in which one or more of its characteristics do not match therequirements or are abnormal and cannot be made to satisfy the requirements by repair or othermeans. A waiver application should be filed.
3.1.20 Earth-return mission
All missions in which a spacecraft, a part of a spacecraft, or a sample of a spacecraft affected bysolar system bodies other than the Earth and the Moon return to and affect the Earth’s atmosphere(including the Moon). All missions in which a spacecraft, part of a spacecraft, or a sample of aspacecraft affected by the Moon returns to the Earth and has an affected impact. Here, “affected”
refers to any event that cannot exclude the possibility of material transport from the target object tothe spacecraft, including landing, atmospheric entry, and flyby, and “influenced” refers to any eventthat cannot exclude the possibility of material transport from the spacecraft to the target object,including landing, atmospheric entry, and flyby. Whether the spacecraft was affected by the target
object or affected by the target object shall be determined on a case-by-case basis based on
scientific knowledge.
3.1.21 forward contamination
Contamination of celestial bodies other than the Earth by terrestrial life forms in the course of
spaceflight missions
3.1.22 backward contamination,
Contamination of the terrestrial biosphere by extraterrestrial life forms in the course of spaceflight6

JMR-014A(E)missions
3.1.23 Mars special region
Area or volume within which sufficient water activity AND sufficiently warm temperatures to permit
the replication of Earth organismsa) The physical parameters that specify the Mars special region are:
1. Lower limit for water activity: 0.5; upper limit: 1.0.
2. Lower limit for temperature: -28 °C; no upper limit defined.
3. Timescale within which limits can be identified: 500 years.
b) Areas where the following features are observed will be treated as Mars special regions until
proven to be exempt
1. Gullies (Classification Nos. 2-4), and bright streaks associated with gullies (Reference [7])2. Underground cavities
3. Deeper than 5m underground
4. Confirmed or partially confirmed Recurrent Slope Lineae (RSL). Observational evidence of
RSL, taken from reference [8], are:

Confirmed: Simultaneous growth and decay of flows on warmer slopes observed, with thissequence repeated in multiple Martian years.

Partially confirmed: growth or recurrence observed.

Candidate: Streak patterns on slopes that resemble RSLs but currently lack theobservations necessary for partial confirmation.

c) If any of the following features are discovered in the future, treat the area as a Mars Special Area
until proven inapplicable.
1. Groundwater
2. Methane sources
3. Geothermal activity
4. Traces of recent spillsd) Areas where the following features are observed should be evaluated individually before beingclassified as Mars Special Regions.
1. Dark striations
2. Paste-like landforms
3. Candidates for RSL (Section 3.1.23 b) b) 3)
Note: In the absence of specific information, no special regions are currently identified on the basisof possible Martian life forms.
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JMR-014A(E)Note: Special areas induced by spacecraft are determined individually based on the above
conditions and characteristics.
3.1.24 D-value
Time or dose required to achieve inactivation of 90 % of a population of the test microorganisms
under stated conditions.
3.1.25 life detection investigation
Scientific investigations that can detect signatures of extant life.
3.1.26 Permanently Shadowed Regions; PSRs
An area permanently out of direct sunlight on the Moon.

3.2 Abbreviation
COSPAR

Committee on Space Research

CDR

Critical Design Review

DRD

Document Requirement Descriptions

ISO

International Organization for Standardization

LRR

Launch Readiness Review

MDR

Mission Definition Review

NAC

NASA Advisory Council

PDR

Preliminary Design Review

PPOSS

Planetary Protection of Outer Solar System

PPO

Planetary Protection Officer

PPS

Planetary Protection Subcommittee

PSR

Pre-Ship Review

SDR

System Definition Review

SRR

System Requirements Review

VTL

Verification Tracking Log

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JMR-014A(E)
4 MANAGEMENT REQUEST
4.1 Planetary protection roles and responsibilities
4.1.1 Corporate level
JAXA is responsible for overseeing the correct implementation of our Planetary Protection Policy
under the Safety Review Board. The Chairperson of the Safety Review Board shall appoint thePlanetary Protection Review Board and its Chairperson. The Senior Chief Officer of the Safety andMission Assurance Department shall appoint the Planetary Protection Officer (PPO) with the
Chairperson of the Planetary Protection Review Board. The Planetary Protection Review Panelshall consist of experts within and outside JAXA who are involved in planetary protection. The
Planetary Protection Officer (PPO) is responsible to: Establish and maintain standards for planetary protection, including the JAXA PlanetaryProtection Program Standard (this Standard):
 Act as JAXA’s point of contact for matters of planetary protection with other Agencies andInternational Organizations; Act as JAXA’s representative at COSPAR for planetary protection issues, including reporting to
COSPAR on the planetary protection compliance of JAXA’ s spaceflight missions;
Advise and support relevant JAXA’s programs and projects on matters of planetary protection.
In addition, the Planetary Protection Officer, as the Chairperson of the Planetary Protection
Review Board, is responsible to: Approve planetary protection categorization and requirements for flight projects.
 Conduct inspections and reviews of facilities, equipment, procedures, and practices incoordination with ongoing projects to assess their adequacy for compliance with planetary
protection requirements and make corrective recommendations as necessary.
Review planetary protection compliance during the spaceflight mission, prior to launch, prior totransition to the return phase of the mission if the spacecraft is returning, prior to atmospheric reentry, and prior to unpacking the returned samples.

4.1.2 Project level
The Project Manager (PM) is responsible for the correct identification and implementation ofplanetary protection requirements at the project level. The Project Manager designates a PlanetaryProtection Manager (PPM) (who may also be the PM). The Planetary Protection Manager is
responsible to:

Identify the planetary protection requirements specific to the project by tailoring thisstandard and relevant planetary protection standards in in JAXA approved design
standards.

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JMR-014A(E)Define the planetary protection implementation and management approach.

Define the planetary protection implementation structure within the project.



Develop project-level planetary protection documentation.

Consider implementation of the recommendations in the review regarding planetary
protection.

4.2 Planetary protection category definitions
The different planetary protection categories reflect the level of interest and concern that
contamination can compromise future investigations. The categories and associated requirements
depend on the target body and mission type combinations. In some missions, more than one
category may be selected.
The following description is based on the COSPAR classification at the time of issuing this document.
The latest and/or applicable classification and associated requirements are provided, for eachparticular case, by the Planetary Protection Officer.
The mission category flowchart in Annex J can be used to determine which planetary protection
category each mission fits into.

4.2.1 Category I
See Annex K.1 for an example of Category I task.
Description
All types of missions to a target body for which there is no significant scientific interest relative tothe process of chemical evolution and the origins of life.
Applicability
S-type asteroids, Io, Mercury.
Requirements
None.

4.2.2 Category II
See Annex K.1 for an example of Category II task.
Description
All types of missions to a target body for which there is significant scientific interest relative to theprocess of chemical evolution and the origins of life but for which scientific opinion provides only aremote chance that contamination by a spacecraft can compromise future investigations.
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Applicability 1
Venus, Comets, P, D, and C-type asteroids, Jupiter, Jovian moons (except Io, Europa, andGanymede), Saturn, Saturnian moons (except Titan and Enceladus), Uranus, Uranian moons,
Neptune, Neptunian moons (except Triton), Kuiper Belt Objects less than 1/2 the size of Pluto
Applicability 2
Moon (Classified as Cat. II，IIa，or IIb. see Section 5.3.1)
Applicability 3
Ganymede, Titan, Triton, Pluto, Charon, Kuiper Belt objects larger than 1/2 the size of Pluto.
Requirements
Simplified documentation tailoring the planetary protection documentation requirements. For
Applicability 2 (Moon), an organic materials inventory may be required (see Section 5.3.1).
Applicability 3 may be classified as Category II if there is less than a 1x10-4 chance that the liquidwater environment that may exist beneath the surface of the target object will be contaminated (i.e.,reach even one organism capable of propagating on Earth) during the mission in question. In thiscase, both the presence of such an environment and the likelihood of contact should be analyzed.

4.2.3 Category III
See Annex K.2 for an example of Category III task.
Description
Flyby and orbital missions to protected Solar System bodies (see section 3.1.12).
Applicability
Mars, Europa, Enceladus.
Requirements
Detailed documentation in accordance with the Planetary Protection Documentation
Requirements. Organic materials inventory, Impact probability analysis, and Contamination
probability analysis.

4.2.4 Category IV
Description
Surface to protected Solar System bodies (see section 3.1.12).
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JMR-014A(E)
Applicability
Mars, Europa, Enceladus.
Requirements
Detailed documentation in accordance with the Planetary Protection Documentation
Requirements. Organic materials inventory. Storage of organic samples. Bioburden control andsterilization of materials, parts, assemblies, and equipment.

4.2.5 Category V
Description
All Earth-return missions (see section 3.1.20). For Solar system bodies deemed by scientificopinion to have no indigenous life forms, a subcategory a) “unrestricted Earth return” (see section
3.1.16) is defined. For all other Category V missions, a subcategory b) “restricted Earth return”(see section 3.1.13) is defined.
Applicabilitya)Unrestricted Earth return
Venus, Moon, B-, C-, and S-type asteroids, Io, Mercury, etc. However, in principle, thedecision on these asteroids will be determined on a case-by-case basis.

b)

Restricted Earth returnMars, Europa, Enceladus. However, in principle, this will be determined on a case-by-casebasis.

Requirementsa)Unrestricted Earth return
Corresponding to the category of the outbound phase (typically Category I or II), it has only
the planetary protection requirements for this phase.

b)Restricted Earth return

Containment shall be performed during the entire return phase for all spacecraft, parts ofspacecraft, or samples that have been affected by the target object and that have notbeen sterilized. The term “returning” here refers to leaving the target celestial body andreturning to the Earth’s biosphere (including the Moon) and being on an impact trajectory(see Section 3.1.20). And “containment” means that the following microbiologicalcontamination probability requirements are satisfied:
The probability of leakage of a single unsterilized particle larger than 10 nm to the outside
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JMR-014A(E)world during the first 100 years after departure of the target object shall be less than 10-6
(Reference [9]).
Note 1: The rationale for the microbial contamination probability requirement is to “break the
chain of contact” between the protected solar-system bodies and the Earth’s
atmosphere.
Note 2: See Reference [10] for the rationale for this value.
Note 3: The term “particle” as it appears in the above requirement includes material from thetarget object, as well as spacecraft and parts of spacecraft affected by the target
object.
Note 4: The minimum size of 10 nm shall tentatively follow the ESA standard at this time, butshall be discussed and re-established based on the latest scientific knowledge, if
necessary, when a case arises in the future in which this provision is applied.
Conducting timely analyses of any unsterilized sample
collected and returned to Earth, under strict containment, and using the most sensitivetechniques. If any sign of the existence of a non- terrestrial replicating entity is found,containment of the returned sample, unless treated by an effective sterilizing procedure.
Here, “strict containment” means that the probability of leakage of a single unsterilized
particle larger than 10 nm to the outside world during the first 100 years after departure of
the object is less than 10-6 (see “Microbial Contamination Probability Requirement” in theprevious section).

The requirement for the outbound phase is generally Category IV.
Note: The Earth’s Moon is considered to be part of the Earth-Moon system, and the samelevel of protection from backward contamination is provided to the Moon as to the Earth.
For Category V missions, changes in circumstances that occur during the mission period may
result in a category change or mission failure.
In these cases, the sample that was to be brought back shall be abandoned and, if alreadycollected, the spacecraft carrying the sample shall not be allowed to return to and impact the
Earth’s biosphere (including the Moon) (see Section 3.1.20). Such examples include the following:When new data or scientific findings change the category from unconstrained Earth return(see Section 3.1.16) to constrained Earth return (see Section 3.1.13) and safe return of
the sample cannot be guaranteedIn the case of a constrained Earth return (see section 3.1.13) mission, the sample
containment environment is no longer reliable, and sterilization of the sample is notpossible.

13

JMR-014A(E)
5TECHNICAL REQUIREMENTS

5.1 General requirements for all missionsa)

The head of the working group proposing a JAXA project shall develop a preliminary projectplanetary protection requirement document in compliance with the DRD in Annex A as part ofthe draft mission requirement document for review by the Chairperson of Planetary Protection
Review Board during the Mission Definition Phase, by the Mission Definition Review (MDR).

Note 1: In the ESA standard, only described as the project manager, but in the JAXA ProjectManagement Implementation Guideline, the project manager is the head of the working group in
the above phase.
Note 2: The ESA standard requires that the project planetary protection requirements be preparedby the Preliminary Requirements Review (PRR), but the JAXA Project Management
Implementation Guideline does not specify a PRR, and the MDR or the Project Readiness Review
shall take the place of the PRR. Therefore, a preliminary project planetary protection requirements
document shall be prepared by the MDR.
b)

For missions that target or encounter multiple Solar system bodies, all applicable planetary
protection requirements for all relevant protected Solar system bodies (see section 3.1.12)
shall be described in the preliminary project planetary protection requirements document.

c)

The Chairperson of Planetary Protection Review Board shall review compliance with therequirements in the Preliminary Project Planetary Protection Requirements Document, basedon this Standard, the COSPAR Planetary Protection Policy and Requirements, and any
planetary protection-related obligations requested by the relevant external planetary
protection authorities.

d)

The preliminary project planetary protection requirements approved by the Chairperson ofPlanetary Protection Review Board and authorized by the head of the working groupproposing the project shall be baselined as part of the mission requirements document andreleased by the System Requirements Review (SRR) at the latest.

e)

The Planetary Protection Officer, in cooperation with the head of the working group proposing
the project, shall report to the COSPAR Planetary Protection Panel on the planetary protection
categories to be established and the planetary protection plan as early in the project phase as
possible (preferably before the preliminary design review) to build international consensus.
Note 1: Since the COSPAR Planetary Protection Panel will be held every other year, there is arisk that consensus building in COSPAR will not be consistent with the project schedule. If theplanetary protection category is changed after the project has made considerable progress
due to lack of international consensus, it will not only be a major setback, but also make it
difficult to continue the project in some cases. To avoid such risks, it is recommended that thePlanetary Protection Officer, in cooperation with the head of the working group proposing the
project, coordinate with the COSPAR Planetary Protection Panel as early in the project as
14

JMR-014A(E)possible.
f)

JAXA flight hardware and JAXA services delivered to non-JAXA mission subject to planetary
protection constraints shall be reviewed in principle in accordance with the documentation
requirements in section 5.5 and the review requirements in section 5.6 to ensure that theysatisfy JAXA’s planetary protection requirements.
Note: The mission lead of the non-JAXA mission bears the overall planetary protection
responsibility at mission level, including assigning, monitoring, reviewing and approving
planetary protection categories and associated requirements.

g)

If a significant change in the mission baseline occurs, the Project Manager shall evaluate theimpact of this change on the planetary protection requirements and planetary protection
implementation methods, propose countermeasures, and obtain approval from the PlanetaryProtection Review Board Chairperson. If the Planetary Protection Review Board Chairperson
determines that there will be a significant change in the planetary protection requirements andplanetary protection practices, the Planetary Protection Review Board and the Safety Review
Board shall review the adequacy of the countermeasures.

5.2 Generic technical requirements
5.2.1 Material management of flight hardware assembly and manufacturing parts, etc.
a)

Except as specified in paragraph 5.2.3 b), all flight hardware subject to planetary protection
constraints shall be assembled and maintained in a permanently operating ISO Class 8 clean
room or better air cleanliness-controlled environment at all times as specified in theContamination Control Standard (JMR-010).

b)

Except as specified in 5.2.3 b), all flight hardware subject to planetary protection constraints
shall be properly cleaned as specified in the Contamination Control Standard (JMR-010) for
materials such as manufactured parts processed in an environment less clean than that of apermanently operating ISO Class 8 clean room.
Note: The clean room in storage is in operation, and the cleanliness of the air must be equal
to or better than that of an ISO Class 8 clean room in continuous operation.

5.2.2 Right of accessa)

Chairperson of the Planet Protection Review Division or designee shall conduct independent
verification assays on flight hardware and controlled environments, including launch site,
during the course of the project at times and intervals planned and agreed with the ProjectManager.
Note: This requirement applies to projects where cleanliness control is a concern or where
bioburden control is required.
15

JMR-014A(E)
5.2.3 Impact probability on a protected Solar system bodya)

For missions that target or have the potential to encounter protected solar system bodies (seesection 3.1.12), the following probability of impact requirements shall be satisfied for all
relevant protected solar system bodies. It shall also be verified by an impact probability
analysis.

b)

For any configurations of the spacecraft that is not assembled or maintained under controlled
conditions in a permanently operating ISO Class 8 clean room or cleaner air, the probability of
impact on a protected solar system object shall be less than 1x10-4 over the first 50 years
after launch.
Note: Examples of these configurations are the upper stage of the launch vehicle, the kick motor,
and other parts that are transported outside the Earth’ s gravity sphere.

c)

One of the following conditions shall be satisfied:
1. For any component of a spacecraft assembled and maintained under controlled conditions
in a permanently operating ISO Class 8 clean room or cleaner air, the probability of impact
with a protected solar system object shall be less than 1x10-2 for the first 20 years after
launch. Also, the probability of impact with a solar system object shall be less than 5x10-2 for aperiod of 20 to 50 years after launch.
2. The entire spacecraft, including surfaces, bonded surfaces, and encased objects, shallhave a bioburden of 5x105 spores or less.
Note: This requirement also applies to flybys and gravity-assisted maneuvers to protected
Solar System bodies.

d)Impact probability analysis as specified in clause 5.2.3 a) shall include the following:
1. Single/multiple pass analysis;
2. Spacecraft reliability;
3. Meteoroid impacts;
4. Knowledge of spacecraft state (location, velocity vector);
5. Maneuver and planet/moon ephemeris uncertainty;
6. Stochastic variability of the atmospheric density with the amplitude of the Solar cycle
estimated for the mission/sun epoch as variable.

5.2.4 Contamination probability on a protected Solar system bodya)

For missions that target or may encounter protected solar system bodies (see Section 3.1.12),
all relevant protected Solar System bodies shall have a contamination probability by Earthderived viable microorganisms of less than 1x10-3 or less for 50 years after arrival at the target
object, except as otherwise required by this Standard.
16

JMR-014A(E)
5.2.5 Organic materials inventory
If the spaceflight mission corresponds to the following, the DRD in Annex H shall be complied withand an organic materials inventory shall be developed based on the individual mission
requirements (see Section 5.3).
a)Be one of the following:
1. Moon landing mission (see section 5.3.1).
2. Missions classified as Category III or Category IV. However, an organic materials inventory is
not required for spacecraft or spacecraft elements (e.g., the orbiter portion of a combined
orbiter and lander) that meet the Probability of Impact requirements for protected Solar System
Objects (see Section 3.1.12) in Section 5.2.3b) and c)1.

b)

If the total amount of the total accumulated items used on the spacecraft exceeds the upper
limit (normally 1 kg) agreed upon with the Chairperson of the Planetary Protection Review
Board.

Unless specifically exempted, the organic materials inventory shall list all items used on thespacecraft that have a total integrated weight greater than 1 kg. The organic materials inventory
shall include organic products that spacecraft with propulsion and life support systems may
release into the moon’s surface and the environment of the Solar System bodies to be protected,
including a quantitative and qualitative description of the major chemical constituents, andintegrated quantities of trace chemical constituents present.

5.3 Requirements for specific missions
5.3.1 Requirements for Moon missions
5.3.1.1 Moon orbit and fly-by mission
Moon orbit and fly-by missions are classified as Category II, to which the general requirements in
Section 5.1, the technical requirements in Section 5.2, the documentation requirements in Section
5.5, the requirements for reviews in Section 5.6, and Section 5.7 shall be applied. However, it is
not necessary to submit an Organic materials inventory (Annex H).
5.3.1.2 Moon Landing Missions
Moon landing missions are classified as Category IIa or IIb. All those that are not in Category IIb
are in IIa. For Category IIa Moon landing missions, in addition to the requirements of Section
5.3.1.1, an organic materials inventory shall be submitted for organic products that may bereleased into the Moon’s environment by the propulsion system, in conformance with DRD on
Section H.2.1 in Annex H.
5.3.1.3 Surface missions to Permanently Shadowed Regions (PSR) and polar regions
17

JMR-014A(E)Moon landing missions that reach the Permanent Shadow Region (PSR) or the polar regions(especially south of 79°S latitude and north of 86°N latitude) in nominal operations are classified as
Category IIb. For these missions, the DRD in Annex H shall be complied with and an Organic
materials inventory shall be submitted for any organic material whose total amount on thespacecraft, exceeds the upper limit (normally 1 kg) agreed with the Chairperson of the PlanetaryProtection Review Board.
Note: For Moon missions, it is common practice to tailor the document requirements and provide a“Planetary Protection Plan” that integrates the Project Planetary Protection Requirements,
Planetary Protection Plan, and Planetary Protection Implementation Plan into a single document,
which is subject to planetary protection review before the CDR.
5.3.2 Requirements for Mars missions
5.3.2.1 General requirements for Mars missionsa)An organic materials inventory in conformance with Section 5.2.5 shall be provided by the
project. However, an organic materials inventory is not required for a spacecraft or spacecraft
element (e.g., orbiter element of an orbiter-lander spacecraft stack) meeting the probability of
impact requirement for Mars described in Sections 5.2.3b) and c)1.

b)

For all organic materials used as elements of a spacecraft weighing 25 kg or more, a 50 g
sample of each shall be stored for 50 years after launch in a clean room of ISO Class 8 underoperation, or under controlled conditions with air cleanliness better than that of a clean room.
However, for a spacecraft or spacecraft element (e.g., orbiter element of an orbiter-lander
spacecraft stack) meeting the probability of impact requirement for Mars described in 5.2.3b)
and c)1, organic materials inventory is not required.
Note: Samples can be either at the raw material level or at the product’s material level.

c)

All bioburden constraints shall be verified pre-launch.
Note: This verification is usually performed on final physical access to the flight hardware or
flight hardware elements, i.e., at delivery of flight hardware to next level contractor, delivery tolaunch site, and at the launch site prior to fairing closure.

d)

In this standard, all bioburden constraints shall be defined based on the number of aerobic
microorganisms (hereafter referred to as spores) that can withstand a heat shock of 15
minutes at 80°C and have been incubated for 72 hours at 32°C on TSA (Tryptic Case Soy
Agar).
5.3.2.2 Requirements for Mars surface missions
5.3.2.2.1 Overview

Mars surface missions are classified as among Categories IVa, IVb, and IVc. All missions that are
not in categories IVb and IVc are IVa. Requirements in 5.3.2.2.2 are applicable to all Mars surface
missions. Additional requirements apply depending on the mission objective (5.3.2.2.3) and18

JMR-014A(E)location on Mars (5.3.2.2.4)
5.3.2.2.2 General requirements
The bioburden of the landed system shall be ≤ 3x105 bacterial spores on exposed internal anda)external surfaces.
b)

The average bioburden of the landed system shall be ≤ 300 spores/m2 on exposed internal andexternal surfaces.
The project shall provide an analysis whether the spacecraft in nominal and off-nominal
conditions has the potential to locally alter the Martian environment in a way that can create aMars special region as defined in Section 3.1.23.
Note: Such an analysis is especially important for spacecrafts using radioisotope heat sources
targeting areas with surface or sub-surface water ice.
5.3.2.2.3 Requirements for surface missions with life detection

Surface missions with life detection s are defined as Planetary Protection Category IVb.
a) One of the following conditions shall be met:
1. The bioburden of the entire surface system shall be ≤ 30 bacterial spores on exposedinternal and external surfaces, or at or below a contamination level driven by the nature andsensitivityof the particular life detection investigation.
2. The average bioburden of the subsystems that are involved in the acquisition, delivery, andanalysis of samples used for life-detection investigations is either:(a) a spore density ≤ 0.03 bacterial spores/m2, or(b) at or below a contamination level driven by the nature and sensitivity of the particular
life-detection investigation. In addition, recontamination prevention of these subsystems
and the samples to be analyzed is in place until the end of the life-detection
investigations.
5.3.2.2.4 Requirements for surface missions accessing Mars special regions
Surface missions accessing Mars special regions are defined as Planetary Protection Category
IVc.
a)

If the landing site is within a Mars special region as defined in 3.1.23, the bioburden of theentire surface system shall be ≤ 30 bacterial spores on exposed internal and externalsurfaces.

b)

If a Mars special region as defined in 3.1.23 is accessed through horizontal or vertical mobility,
one of the following conditions shall be met:
1. The bioburden of the entire surface system is ≤ 30 bacterial spores on exposed internal and19

JMR-014A(E)external surfaces.
2. The subsystems which directly contact the Mars special region are sterilized to theselevels, and a method of preventing their recontamination prior to accessing the Mars special
region is in place.
NOTE Example of accessing Mars special regions are by roving (horizontal mobility) or flying(horizontal mobility) or by drilling (vertical mobility).
NOTE Item 1 for a case with the entire surface system accessing, and item 2 for a case withthe subsystems only accessing.
c)

If an off-nominal condition can cause a high probability of inadvertent biological contaminationof a Mars special region by the spacecraft, the bioburden of the entire surface system shall be≤ 30 bacterial spores on exposed internal and external surfaces, and the total mated andencapsulated bioburden level shall be ≤ 2.0 x 105 bacterial spores.
Note: Example for off-nominal condition is a hard landing.
Note: This bioburden level takes into account robust microbial outbreaks against sterilization
methods. This specification assumes that the surface cleanliness reaches Category IVa andthat the number of viable bacteria is reduced by at least four orders of magnitude afterwards.
The validation of the bioburden level is based on a pre-sterilization assessment of the
bioburden and knowledge of the reduction rate due to the sterilization methods.
5.3.2.3 Requirements for Mars sample return missionsa)Mars sample return missions are classified as Category V “Constrained Earth Return (seeSection 3.1.13”. Unless specifically exempted, the Category IVb requirements specified in
section 5.3.2.2.3 shall be applied to the outbound leg of a Mars sample return mission.
Note: This provision is intended to avoid “false positive” in life detection and hazard
determination procedures, or in the search for life in samples after their return. “False
positives” could prevent the distribution of samples from under containment and lead to
unnecessarily stringent requirements for all subsequent Mars missions.

b)

Unless the samples to be returned from Mars are subjected to an approved sterilization
process, the canisters containing the samples returned from Mars shall be sealed by anappropriate verification process and the samples shall remain contained during all mission
phases through transport to a receiving facility where they can be opened under containment.

c)

The mission and spacecraft design shall provide a method to “break the chain of contact” with
Mars. No uncontained hardware that contacted Mars, directly or indirectly, shall be returned to
the Earth’s biosphere or the Moon. Isolation of such hardware from the Martian environment
shall be provided during sample container loading into the containment system, launch from
Mars, and any in-flight transfer operations required by the mission.

d)

In order to continue the mission, the mission must be reviewed by the Planetary Protection
Review Board and approved by the Safety Review Board at the following three stages:
20

JMR-014A(E)
1. prior to launch from Earth
2. prior to leaving Mars for return to the Earth’s atmosphere
3. prior to commitment to Earth re-entry (must be avoidable)e)

For unsterilized samples returned to Earth, a program of life detection and biohazard testing,or a proven sterilization process, shall be undertaken as an absolute prerequisite for thecontrolled distribution of any portion of the sample. No distribution shall be made until the
results have been reviewed by the Planetary Protection Review Board and approved by the
Safety Review Board.
Note: As a result of the above, the probability of leakage of single unsterilized 10 nm or larger
particle into the Earth biosphere (including the Moon) during the first 100 years after departurefrom Mars must be ≤ 10-6 (see Section 4.2.5, requirement b),"Microbial contamination
probability requirement”).

f)Materials returning from Mars, including spacecraft surfaces exposed to the Martianenvironment, shall be treated as Hazard Level I (catastrophic) as specified in the System
Safety Standard (JMR-001) until the hazard level is identified.
5.3.2.4 Guidelines for human Mars missions

No specific requirements have yet been established for manned Mars missions. General
implementation guidelines for human Mars missions for planetary protection are described in
Annex I.
5.3.3 Requirements for missions to Europa, Enceladus, and other Solar system bodies in
the outer Solar system
5.3.3.1 Applicability for Solar system bodies in the outer Solar Systema)

Missions to Europa, Enceladus, Ganymede, Titan, Triton, Pluto, Charon, and Kuiper Belt
Objects bigger than ½ size of Pluto, shall comply with requirements in Section 5.3.3.
Note: The Planetary Protection Officer can provide the most recent and applicable set of
requirements.
5.3.3.2 General requirementsa)

The period of biological exploration for Europa and Enceladus is defined to be 1,000 years.
This period should start at the beginning of the 21st century. Requirements for Europa andEnceladus fly-bys, orbiters, and landers (including bioburden reduction) shall be applied toreduce the probability of inadvertent contamination of Europan and Enceladan subsurface
liquid water to less than 1x10-4 per mission. The 1x10-4 probability of inadvertentcontamination of a Europan or Enceladan oceans shall apply to all mission phases, including
the duration that spacecraft introduced Earth-derived life may remain viable and could reach a
sub-surface liquid water environment.
21

JMR-014A(E)b)

In calculating the probability of inadvertent contamination as specified in 5.3.3.2 a), at
minimum the following factors shall be taken into account and a conservative estimate shallbe adopted for any poorly known parameters.
1. Total amount of bioburden at launch
2. Probability of bioburden reduction during interplanetary flight (survival probability ofremaining life forms on the spacecraft)
3. Probability of bioburden reduction in each radiation environment
4. Probability of spacecraft landing on the surface of a celestial body
5. The mechanisms and time scales of transport to a sub-surface liquid water environment
6. Probability of survival and proliferation of organism before, during, and after sub-surface
transferc)

Probability calculations of inadvertent contamination will likely result in requirement of
bioburden reduction even for Europa and Enceladus orbiters (Category III) as well as forlanders (Category IV). The use of clean room technology, the cleanliness of all components
prior to assembly, and the monitoring of spacecraft assembly facilities will be required to
conduct a bioburden and biodiversity assessments, including specific relevant organisms.
Relevant organisms are terrestrial organisms potentially present on the spacecraft that cansurvive the spaceflight environment and the icy moon environment, and replicate in icy moons
sub-surface liquid water. Specific methods should be developed to identify, enumerate, anderadicate problematic species.
5.3.3.3 Requirements for Europa・Enceladus sample return missiona)Europa・Enceladus sample return missions are classified as Category V “restricted earth
return (see Section 3.1.13)”. Unless specifically exempted, the Category IVb requirements
specified in Section 5.3.2.2.3 shall be applied to the outbound leg of the Europa andEnceladus sample return mission.
Note: This provision is intended to avoid “false positive” in a life detection and hazarddetermination protocol, or in the search for life in the samples after their return. The “false
positive” could prevent distribution of the samples from under containment and lead to
unnecessarily stringent requirements for all subsequent Europa and Enceladus missions.

b)

Unless the samples to be returned from Europa (or Enceladus) are subjected to an approved
sterilization process, the canister containing the samples returned from Europa (or Enceladus)
shall be sealed with an appropriate verification process and the samples shall remain sealed
at all mission stages through transport to a receiving facility where they can be opened undercontainment.

c)

The mission and spacecraft design must provide a method to “break the chain of contact” with
Europa (or Enceladus). No uncontained hardware that contacted material from Europa (or22

JMR-014A(E)
Enceladus) or its plumes shall be returned to the Earth’s biosphere (including the Moon).
Such hardware must be isolated from the Europa (or Enceladus) environment during thesample container loading into the containment system, launch from Europa (or Enceladus),
and any in-flight transfer operations required by the mission.
d)

In order to continue the mission, the mission must be reviewed by the Planetary Protection
Review Board and approved by the Safety Review Board at the following three stages:
1. prior to launch from Earth
2. prior to leaving Europa (or Enceladus) to Earth’s biosphere
3. prior to commitment to Earth re-entry (must be avoidable)e)

For unsterilized samples returned to Earth, a program of life detection and biohazard testing,or a proven sterilization process, shall be undertaken as an absolute prerequisite for thecontrolled distribution of any portion of the sample. No distribution shall be made until the
results have been reviewed by the Planetary Protection Review Board and approved by the
Safety Review Board.
Note: As a result of the above, the probability of leakage of a single unsterilized 10 nm orlarger particle into the Earth's biosphere (including the Moon) during the first 100 years after
departure from Europa (or Enceladus) must be ≤ 10-6 (see Section 4.2.5, requirement b),"Microbial contamination probability requirement").

f)

Materials returning from Europa (or Enceladus), including spacecraft surfaces exposed to theEuropa (or Enceladus) environment, shall be treated as Hazard Level I (catastrophic) as
specified in the System Safety Standard (JMR-001) until a hazard level is identified.
5.3.4. Requirements for missions to small Solar system bodies
5.3.4.1 General requirementsa)Categorization of missions to small Solar system bodies shall be evaluated on a case-by-casebasis.
Note: There are a great many small bodies in the Solar system that are not listed in thisStandard. Most small body missions are classified as Category I or II for forward
contamination and Category V "a) unrestricted earth return (see Section 3.1.16)" for backward
contamination.
Note: Planetary protection categories specified by the project shall be reviewed by thePlanetary Protection Review Board, approved by the Safety Review Board, and then reported
to the COSPAR Planetary Protection Panel to reach an international consensus on theirvalidity.

b)

For Planetary Protection Category V, if the answers to the following six questions are all "no"or "uncertain", the mission shall be classified as "b) restricted earth return (see Section
3.1.13)", otherwise (even one "yes") it shall be classified as "a) unrestricted earth return (see23

JMR-014A(E)Section 3.1.16)".
1. Does the preponderance of scientific evidence indicate that there was never liquid water inor on the target body?
2. Does the preponderance of scientific evidence indicate that metabolically useful energy
sources were neverpresent?
3. Does the preponderance of scientific evidence indicate that there was never sufficientorganic matter (or CO2 or carbonates and an appropriate source of reducing equivalents) inor on the target body to support life?
4. Does the preponderance of scientific evidence indicate that subsequent to thedisappearance of liquid water, the target body has been subjected to extreme temperatures(i.e., ≥ 160 °C)?
5. Does the preponderance of scientific evidence indicate that there is or was sufficientradiation for biological sterilization of terrestrial life forms?
6. Does the preponderance of scientific evidence indicate that there has been a natural influx toEarth, e.g., via meteorites, of material equivalent to a sample returned from the target body?
c)

If a mission is categorized as “restricted earth return (see section 3.1.13)” in accordance withsection 5.3.4.1b, containment procedures shall be applied to the mission as described in
section 5.3.4.2.
5.3.4.2 Requirements for restricted earth return missionsa)Unless specifically exempted, the requirements of Category IVb specified in section 5.3.2.2.3
shall be applied to the outbound leg of a mission classified as restricted earth return (seesection 3.1.13).
Note: This requirement is intended to avoid "false positives" in a life detection and hazarddetermination protocol or in any search for life in the samples after their return. The "false
positives" could prevent distribution of the samples from under containment and could lead to
unnecessarily stringent requirements for all subsequent missions to similar bodiesb)Unless the samples to be returned from the target body are subjected to an approved
sterilization process, the canisters containing the samples returned from the target body shallbe sealed with an appropriate verification process and the samples shall remain contained
during all mission phases through transport to a receiving facility where they can be opened
under containment.

c)

The mission and spacecraft design shall provide a method to "break the chain of contact" withthe target celestial body. No uncontained hardware that contacted Mars, directly or indirectly,
24

JMR-014A(E)shall be returned to the Earth’s biosphere or the Moon. Isolation of such hardware from thetarget environment shall be provided during sample container loading into the containment
system, launch from the target, and any in-flight transfer operations required by the mission.
d)

In order to continue the mission, the mission must be reviewed by the Planetary Protection
Review Board and approved by the Safety Review Board at the following three stages:
1. prior to launch from Earth
2. prior to leaving the target body for return to Earth's biosphere
3. prior to commitment to Earth re-entry (must be avoidable)e)

For unsterilized samples returned to Earth, a program of life detection and biohazard testing,or a proven sterilization process, shall be undertaken as an absolute prerequisite for thecontrolled distribution of any portion of the sample. No distribution shall be made until the
results have been reviewed by the Planetary Protection Review Board and approved by the
Safety Review Board.
Note: As a result of the above, the probability of leakage of a single unsterilized 10 nm orlarger particle into the Earth biosphere (including the Moon) during the first 100 years after
departure from the target body must be ≤ 10-6 (see Section 4.2.5, requirement b), "Microbial
contamination probability requirement").

f)

Material returning from a target body, including spacecraft surfaces exposed to the target
body environment, shall be treated as Hazard Level I (catastrophic) as specified in the System
Safety Standard (JMR-001) until a hazard level is identified.

5.4 Requirements for planetary protection procedures
5.4.1 Bioburden controlled environment
For the bioburden control in the spacecraft development environment, the sterilization handbook
for clean rooms (JERG-0-057-HB003) shall be applied.

5.4.2 Bioburden assessmenta)Bioburden assessment on flight hardware shall be performed, using procedures "Swab assay
1 (standard swab assay)" or "Wipe assay 1 (standard wipe assay) "described in Annex of
Microbial Inspection Handbook for Flight Instruments and Clean Room (JERG-0-057-HB004).

b)

If direct assays are not possible, estimation of the flight hardware bioburden using the worst
value in the respective category of Table 5.4-1 shall be used.
25

JMR-014A(E)

Table 5.4-1: Bioburden estimation
Bioburden type
Average encapsulated

Bioburden value

Specific environment

130 spores/cm3

Non-metallic parts of the spacecraft(i.e. in the material)
spores density
Source specificencapsulated spore
density

Electronic piece parts(3 – 150) spores/cm3

Other non-metallic materials(1 – 30) spores/cm3

Source specific enclosed ISO class 8 cleanroom, highly
surface spore density,

controlled:e.g. a box closed in the

ISO class 8 cleanroom, normallyspecific environment

controlled:(500 – 5000) spores/m2(5000 - 105) spores/m2

Uncontrolled environment:
Average surface spore

ISO class 7 cleanroom or better, highly

density for cleanroom

controlled:classes “in operation”

ISO class 7 cleanroom or better,(exposed and mated but

normally controlled:

non-encapsulated)

ISO class 8 cleanroom, highly(105 - 106) spores/m2
50 spores/m2
500 spores/m2
1000 spores/m2

controlled:
ISO class 8 cleanroom, normally

10000 spores/m2

controlled:
Uncontrolled environment:

105 spores/m2

NOTE 1: Highly controlled: bioburden control with full-body coveralls, hoods, face masks, gloves, andboots installed, access control with appropriate access/exit protocols, and dedicatedcleanliness controls (e.g., HEPA filters and dedicated cleaning).
NOTE 2: Normally controlled: use of the dust-free gowns and equipment equivalent to a specificclean room class and control of cleanliness.

c)

When using an assay procedure not described in the Handbook for Microbiological Inspectionof Flight Instruments and Cleanrooms (JERG-0-057-HB004), a review by the Chairperson ofPlanetary Protection Review Board or a person designated by the Chairperson of PlanetaryProtection Review Board shall be conducted and approval shall be obtained. If the
Chairperson of Planetary Protection Review Board deems it necessary, a further review shallbe conducted by the Planetary Protection Review Board and approval shall be obtained fromthe Safety Review Board.

d)

The number of samples required to estimate the bioburden for the flight hardware shall at
least satisfy the following conditions and shall be agreed upon by the Chairperson ofPlanetary Protection Review Board.
1. At least one wipe sampling per 5 m2 shall be performed on each surface of the flighthardware that is greater than 1 m2.
2. At least one wipe sampling shall be performed on each surface of the flight hardware that is26

JMR-014A(E)greater than 0.1 m2 but not greater than 1 m2.
3. At least one swab sampling per 0.02 m2 of each surface of flight hardware not exceeding 0.1
m2 shall be performed.
4. At least one swab sampling of each surface of the flight hardware not exceeding 0.02 m2
shall be performed.
e)

The method(s) for calculating surface bioburden and bioburden densities shall be agreed with
the Chairperson of Planetary Protection Review Board.

f)

Prior to applying the bioburden reduction procedures in Section 5.4.4, establish a procedure
for evaluating bioburden using the procedures specified in Section 5.4.2a) or 5.4.2b).

5.4.3 Biodiversity assessmenta)Biodiversity assessment on flight hardware and bioburden controlled environment(s) shall be
performed using procedures D.3 to D.6 for Swab assays and procedures E.3 to E.6 for Wipe
assays described in the Annex of Microbial Inspection Handbook for Flight Instruments andClean Room (JERG-0-057-HB004).

5.4.4 Bioburden reductiona)

For reduction of bioburden by dry heat sterilization, the provisions of the Sterilization
Handbook for Flight Instruments (JERG-0-057-HB002) should be applied.

b)

For the reduction of bioburden by hydrogen peroxide sterilization, the provisions of theSterilization Handbook for Flight Instruments (JERG-0-057-HB002) should be applied.

c)

The use of other methods of reducing bioburden shall be reviewed and approved by the
Chairperson of the Planetary Protection Review Group or a person designated by the
Chairperson of the Planetary Protection Review Group. If deemed necessary by the
Chairperson of the Planetary Protection Review Committee, a further review shall be
conducted by the Planetary Protection Review Committee and approved by the Safety Review
Board.

d)

The provisions of the Compatibility Test Handbook for Materials and Components for
Sterilization Processes (JERG-0-057-HB005) shall be applied to the evaluation of thecompatibility of materials and equipment for the implementation of the bioburden reduction
process.

5.5 Requirement for documentationa)

In the case of a project subject to planetary protection, the planetary protection27

JMR-014A(E)implementation activities shall be addressed in the relevant project documentation
NOTE: For example, mission requirement, conceptual study report, procurement
management plan, conceptual design
reports, system requirement, project plan (development policy and the development plan),development implementation organization, WBS, risk identification and the implementation
plan, assumptions and constraints, quality management plan), systems engineering
management plan, and their sub-documents, such as, verification management document,
assembly, integration, test plans and verification plans, etc.

Table 5.5-1: Planetary protection documentation
Documentation

Preliminary Version (Draft)

Final Version

Review Procedure

Reference DRD

Project Planetary Protection Requirements

MDR

SRR

Reviewed/approved by theAnnex A

Safety Review Board (SRB),
Planetary Protection Plan

SRR

PDR

Planetary Protection Implementation Plan

PDR

CDR

Pre-launch Planetary Protection Report

PSR

LRR

Post-launch Planetary Protection Report

after reviewed by the PlanetaryProtection Review Board (PPRB)

Annex B
Annex C
Annex Dwithin 6 months after Report to SRB after reviewed by
the launch

the chair of PPRB

Before transitioning
to the Earth return
phase
Report to SRB, after reviewed byAnnex Ethe chair of PPRB. In the case of
Before starting theatmospheric re-entry

the plan changed, reviewed by
SRB, after reviewed by PPRB.

operations
Before unpacking thesampleExtended Mission Planetary Protection Report

In case of the mission

Mission Changechanged

Review
Within 12 months
after the end of

End-of-Mission Planetary Protection ReportmissionOrganic Materials Inventory

b)

CDR

LRR

Annex F
Report to SRB, after reviewed by
PPRB
Reviewed by SRB, after reviewed
by PPRB

Annex G

Annex H

Project dedicated planetary protection documentation shall be provided in according to thematrix in Table 5.5-1:
NOTE Table 5.5-1 can be tailored to the respective project agreed upon with the chairpersonof the Planetary Protection Review Board.

c)

The Planetary Protection Officer shall prepare, in coordination with the Project Manager, theAgency level planetary protection report of a mission no later than six months of launch, in28

JMR-014A(E)addition, within 12 months after the end of the mission, and deliver it to the President of
COSPAR and the chairperson of COSPAR Planetary Protection Panel. The materials shall be
in English in principle.
NOTE: Contents of the JAXA level planetary protection report to COSPAR is described in the
COSPAR Protection Policy (see Ref. [1]).
NOTE: In addition to the planetary protection report above, if the Planetary Protection Officer
deems it necessary, the Planetary Protection Officer may report the result of each planetary
protection reviews of the project to COSPAR.

Figure 5.5-1 Planetary Protection Documentation and the review process.
5.6 Requirement for reviewsa)Planetary protection implementation activities and applicable planetary protection
documentation as described in Table 5.5-1, including any documentation to support
conclusions of the analysis, shall be reviewed at JAXA's regular review board and projectreviews, with participation of the Chairperson of Planetary Protection Review Board (seeFigure 5.5-1).
NOTE: The Chairperson of Planetary Protection Review Board, the person designated by the29

JMR-014A(E)
Chairperson of Planetary Protection Review Board, or the Planetary Protection Review Board
shall review documents through the project review process.
The project planetary protection requirement, the planetary protection plan, and the prelaunch planetary protection report are reviewed by the Planetary Protection Review Board.
The review result is reported to and obtained approval by the Safety Review Board.
NOTE: Additional reviews can be organization at the request and agreed as requested andagreed by Project Manager and the Chairperson of Planetary Protection Review Board.
b)

The Chairperson of Planetary Protection Review Board or his or her representative shallparticipate to the LRR for projects with planetary protection constraints to review the status of
the implementation of the planetary protection requirements prior to launch.
In the review, confirm the Safety Verification Tracking Log (VTL) in particular.

c)

For return missions (see Section 3.1.20), planetary protection reviews shall be held to authorize
the transition to a deferent segment of the return phase by the Chairperson of PlanetaryProtection Review Board or designated personnel assigned by the chairperson of PlanetaryProtection Review Board, prior to:
1. Leaving the target celestial body for return to Earth
2. Beginning atmospheric re-entry operations
3. Unpacking the returned sample
At the planetary protection reviews, the post-launch planetary protection report (Attachment E)
updated after the post-launch planetary protection review shall be reviewed, and after theapproval of the chairperson of the Planetary Protection Review Board, final approval of Senior
Chief Officer of Safety and Mission Assurance Department must be obtained.
If it is recognized that a change or non-conformance of the planetary protection plan has
occurred, the post-launch planetary protection report shall further be reviewed by the planetary
protection review committee, and approval of the Safety Review Board shall be obtained.
NOTE 1: The purpose of these reviews is to ensure and demonstrate that the mission continues
to meet the planetary protection requirements, and Earth safety in particular.
NOTE 2: The Planetary Protection Review is part of the regular project review.

d)Project manager and the Chairperson of Planetary Protection Review Board shall work
together to develop documentation requirements to be applied for the review.

30

JMR-014A(E)
5.7 Nonconformances and waiversa)The decision to dispose of nonconformances shall normative the defect management
requirements of the Quality Assurance Program Standard (JMR-005) or the Quality Assurance
Program Standard (Basic Requirements JIS Q 9100) (JMR-013).

b)

In determining the disposition of nonconformity, implement a waiver application in accordancewith the Configuration Management Standard (JMR-006) prior to the adoption of a disposition
that does not conform to the requirements.

c)

The approval of waivers affecting planetary protection requirements shall be subject to approvalby the Chairperson of Planetary Protection Review Board.

d)

For waiver approvals affecting system-level planetary protection requirements, shall be approveby the Planetary Protection Review Board first, then obtain approval of Senior Chief Officer of
Safety and Mission Assurance Department.

e)

Waiver approval of planetary protection requirements in the JAXA Program, in particular withthe approval of the Safety Review Board.

31

JMR-014A(E)Annex A (normative) Project planetary protection requirements - DRD
A.1. DRD identification
A.1.1 Requirement identification and source document
This DRD is based on the requirements of Sections 5.1a) and 5.5b) of this standard.
A.1.2 Purpose and objective
The purpose of the project planetary protection requirement document is to provide the set of theplanetary protection requirements, tailored to the specific project, to be applied for industrial
contracts such as manufacturers and operators.
A.2 Expected response
A.2.1 Contenta) The project planetary protection requirement document shall include at least the following items:
1. Mission description(a) Scientific objectives, spacecraft overview and payload description(b) Mission type (e.g., fly-by, orbiter, lander, Earth return)(c) Description of mission phases(d) Description of launch vehicle and launch site(e) Identification of targeted and encountered Solar system bodies(f) Identification and use of nuclear heat and power sources, and these operation plan(g) Identification and use of aerobraking and aerocapture maneuvers, and the operation plan(h) Description of entry, descend and landing phases(i) Description of intended landing site and expected landing accuracy(j) Intended final disposition of all launched hardware(k) Description of international cooperation
2. Planetary protection category
3. Planetary protection management requirements
4. Technical planetary protection requirements
5. Planetary protection methods and procedures
6. Planetary protection documentation requirement
7. Planetary protection reviews
8. Nonconformance and waiver
A.2.2 Special remarks
a. Point 1 of A.2.1a) (Mission description) may be covered by a reference to another project
document.

32

JMR-014A(E)Annex B (normative) Planetary protection plan – DRD
B.1 DRD identification
B.1.1 Requirement identification and source document
This DRD is called from the requirement 5.5b) of this standard.
B.1.2 Purpose and objective
The planetary protection plan is the primary planning document describing how the project meetsthe planetary protection requirements. The planetary protection plan contains a consolidated
planning for all mission phases involving all actors, including payload providers, launch service
provider, and international partners for the applicable system architecture down to sub-systemlevel.
B.2 Expected response
B.2.1 Contenta) The planetary protection plan shall include the following items:
1. Mission description
2. Assessment of the consequences to implement the project planetary protection requirements
w.r.t. design, development, schedule and operations
3. General implementation approach(a) Planetary protection management and organization(b) Description of bioburden control approach for all major flight hardware elements,
including payload and launch recontamination(c) Description of bioburden allocations with clearly identified margins and uncertainties for
all major flight hardware elements(d) Description of impact probability analysis, in accordance with the requirements 5.2.3,of this standard, including:(1) Impact analysis for launcher and spacecraft elements against target bodies
identified in the “Project planetary protection requirements” document, withanalysis supporting the conclusions providing evidence that the selected approachis feasible for the specific mission(2) If impact probability analysis is not possible or selected, break-up/burn-up andgeneral atmospheric entry heating analysis providing evidence that the selected
approach is feasible for the specific mission.
Based on dry heat sterilization by aerodynamic heating, etc., it should be exposedto the environment at 500 ℃ or higher for 0.5 seconds or longer.
(e) Description of contamination probability analysis, in accordance with the requirements
5.2.4 of this standard.
(f) Description of the planetary protection procedures to be implemented in the project in33

JMR-014A(E)accordance with the requirements of Section 5.4 of this Standard.
(g) Description of planned requests for using methods, procedures or values not describedin this standard, in accordance with the requirements of Section 5.7 of this standard.
4. Plan for planetary protection documentation and reviews, in accordance with therequirements of Section 5.5 and 5.6 of this standard.
5. Identify planetary protection activities and major milestone in the project schedule
6. Compliance matrix (compliance status table) against the project planetary protection
requirements
7. Analysis and conclusions of significant impact for planned non-conformances or waivers
8. Verification matrix against the project planetary protection requirements
B.2.2 Special remarks
a. Point 1 of B.2.1a) may be covered by a reference to another project document.
b. Point 2 of B.2.1a) may summarize the consequences with references to other project
documentation for detailed descriptions.
c. Points 6 and 8 of B.2.1.a) may be included in a project level compliance and verification
matrix.

34

JMR-014A(E)Annex C (normative) Planetary protection implementation plan - DRD
C.1 DRD identification
C.1.1 Requirement identification and source document

This DRD is based on the requirements in Section 5.5b) of this standard.

C.1.2 Purpose and objective

The purpose of the planetary protection implementation plan is to provide all relevant information
about the detailed implementation (e.g. analysis, procedures and activities) of the planetary
protection requirements in line with the planetary protection plan.

C.2. Expected response
C.2.1 Contenta) The planetary protection implementation plan shall include the following items, however items thatare unnecessary depending on the category can be omitted.
1. Flight system description(a) Hardware description(1) System and sub-system description, including payload(2) Planetary protection description vs. subsystem names(b) Criteria for exposed surfaces definition and planetary protection accountable volumes(c) Mission planetary protection activities as they are intended to be implemented, accounting
for the following data:(1) Impact probability analysis, in accordance with the requirements of Section 5.2.3 ofthis standard(2) Contamination probability analysis in accordance with the requirements of Section
5.2.4 of this standard(3) Spacecraft induced special regions, in accordance with requirements of Section
5.3.2.2.2c) of this Standard(4) Landing site selection(5) Draft Organic Materials Inventory (Exhibit H) in accordance with the requirements ofSection 5.2.5 of this Standard
2. Description of Facilities(a) Formal system
35

JMR-014A(E)(1) Risk assessment(2) Alert and action levels(3) Control approach(b) Commissioning(c) Operation
3. Bioburden control plan for the flight system(a) Bioburden allocation(1) Exposed surface bioburden allocation(2) Total bioburden allocation(3) Hardware exceptions(b) Sampling/ Assay plan
(1) Fraction of exposed surfaces sampled(2) Number of samples(3) Sampling site selection(4) Sampling schedule(c) Statistical treatment of the assay results(1) Case for total bioburden count of two or more
(2) Case for total bioburden count of zero or one(3) Case for treatment of bulk assay(4) Criteria for bioburden density standard deviation(5) Assay results acceptance guidelines
NOTE: In this article, it is referred Microbial assay Handbook for flight hardware and clean
rooms (JERG-0-057-HB004). The example in Annex H of the Handbook is helpful.
(d) Bioburden assessment, in accordance with the requirements of Sections 5.4.1 and 5.4.2of this Standard;(1) Procedure for calculating the surface bioburden density and bioburden number of flighthardware with assay data.
(2) Procedure for calculating the surface bioburden density and bioburden number of flighthardware without assay data.
(3) Expected surface bioburden density and bioburden number of flight hardware treatedby a bioburden reduction procedure(4) Procedure for calculating the encapsulated bioburden density and bioburden numberof flight hardware with assay data
(5) Procedure for calculating the encapsulated bioburden density and bioburden numberof flight hardware without assay data(e) Biodiversity assessment, in accordance with the requirements of Section 5.4.3 of thisStandard.
4. Bioburden reduction plan for the flight system, in accordance with the Requirements of Section36

JMR-014A(E)
5.4.4 of this Standard(a) Spacecraft hardware list subject to bioburden reduction processes(b) Process analysis(c) Process control and verification plan(d) Method for preventing recontamination(e) Approach in case of recontamination occurs
5. General implementation approach for the flight system(a) Pre-assembly, integration and testing (AIT) & launch operations(1) General approach at hardware manufacturing sites(2) General approach at prime/subcontractor/instrument provider site(b) Assembly, integration and testing (AIT) & launch operations(1) Acceptance criteria(2) General approach at prime/subcontractor/instrument provider site(3) General approach at test site(4) General approach at launch site(c) Control of inside surface of the launch vehicle fairing, launch vehicle air conditioning, andsatellite assembly building air conditioning(d) Upper stage of launch vehicle and propulsion module (kick motor)
6. Updated list of the foreseen waivers/non-conformance reports (NCRs) and the associatedimpact analysis.
C.2.2 Special remarks
None.

37

JMR-014A(E)Annex D (normative) Pre-launch planetary protection report - DRD
D.1 DRD identification
D.1.1 Requirement identification and source document
This DRD is based on the requirements in Section 5.5b) of this standard.
D.1.2 Purpose and objective
The purpose of the pre-launch planetary protection report is to ensure whether the project
meets the planetary protection requirements, in particular bioburden allocation based on
routine and verification assay results, before the flight hardware is shipped to the launch site.
D.2 Expected response
D.2.1 Contenta) The pre-launch planetary protection report shall include the following items:
1. Deviations from planetary protection requirements and plan.
2. Deviation from the planetary protection implementation plan.
3. Results of contamination control measures, including raw and processed data of bioburden
assays for the entire product tree.
4. Update of impact probability analysis, in accordance with the requirements of Section 5.2.3of this standard.
5. Update for contamination probability analysis, in accordance with the requirements ofSection 5.2.4 of this Standard.
6. Organic materials inventory, in accordance with the requirements of Section 5.2.5 of thisStandard (Exhibit H).
7. Conclusion.
D.2.2 Special remarks
None.

38

JMR-014A(E)Annex E (normative) Post-launch planetary protection report - DRD
E.1 DRD identification
E.1.1 Requirement identification and source document
This DRD is based on the requirements in Section 5.5b) of this standard.
E.1.2 Purpose and objective
The purpose of the post-launch planetary protection report is to account for effects of eventsfrom submission of the pre-launch planetary protection report.

E.2 Expected Response
E.2.1 Contenta) The post-launch planetary protection report shall include the following items:
1. Ground processing affecting bioburden control.
2. Final verification assay results.
3. Launch events affecting bioburden control.
4. Post-launch events withing the range of deployment and commissioning in orbit.
5. Conclusion.
E.2.2 Special remarks
None.

39

JMR-014A(E)Annex F (normative) Extended mission planetary protection report-DRD
F.1 DRD identification
F.1.1 Requirement identification and source document
This DRD is based on the requirements in Section 5.5b) of this standard.
F.1.2 Purpose and objective
The purpose of the extended mission planetary protection report is to provide evidence
that demonstrates the continue compliance with planetary protection requirements, taking into
account the activities identified for extended mission phase.
F.2 Expected Response
F.2.1 Contenta) The extended mission planetary protection report shall include the following items:
1. Deviations from planetary protection requirements and plans.
2. Deviation from the planetary protection implementation plan.
3. Updates of impact probability analysis, in accordance with the requirements of Section 5.2.3of this standard.
4. Updates for contamination probability analysis, in accordance with the requirements ofSection 5.2.4 of this Standard.
5. Conclusion.
F.2.2 Special remarks
None.

40

JMR-014A(E)Annex G (normative) End-of-mission planetary protection report - DRD
G.1 DRD identification
G.1.1 Requirement identification and source document
This DRD is based on the requirements in Section 5.5b) of this standard.
G.1.2 Purpose and objective
The purpose of the end-of-mission planetary protection report is to describe the degree towhich the project has met the planetary protection requirements throughout the complete
mission.
G.2 Expected Response
G.2.1 Contenta) The end-of-mission planetary protection report shall include the following items:
1. Disposition and condition of all launched flight hardware including the launcher upper stage,either in space describing the orbital parameters or for landed/impacting elements by positionon the target body
2. Deviation from planetary protection requirements and plan.
3. Deviation from planetary protection implementation plan.
4. Update of impact probability analysis in accordance with the requirements of Section 5.2.3of this standard.
5. Update for contamination probability analysis, in accordance with the requirements ofSection 5.2.4 of this Standard.
6. Conclusion.

G.2.2 Special remarks
None.

41

JMR-014A(E)Annex H (normative) Organic Materials inventory - DRD
H.1 DRD identification
H.1.1 Requirement identification and source document

This DRD is based on the requirements of Section 5.2.5 of this standard.

H.1.2 Purpose and objective

The purpose of organic materials inventory is to document the organic material on the spacecraft.

H.2 Expected Response
H.2.1 Contenta) The Organic Materials Inventory shall include the following for each organic material present
above a specified limit:
1. Identity
2. Chemical composition.
3. Usage w.r.t. product tree.
4. Mass. estimate
5. Ratings and reference for outgassing for each item in compliance with Contamination
Management Standard (JMR-010)
6. Supplier for each itemb) For lunar landing missions, a description of the products released by the propulsion and lifesupport system, as applicable, into the lunar environment shall be provided, including:
1. A quantitative and qualitative description of the major chemical species, and
2. An indication of the minor chemical species and quantity

H.2.2 Special remarks
None.

42

JMR-014A(E)Annex I (informative) Guidelines for human Mars missions
Whether the mission to Mars is carried out by robots or humans, the intent of the PlanetaryProtection Policy is identical.
Therefore even manned missions to Mars should not be relaxed with the goal of planetary
protection.
Rather, even if the specific implementation requirements are different, all the mitigation should
not be relaxed.
The general principles are as follows:Top policy of planetary protection in Mars missions is to protect the planet from potential
backward pollution.

Contributing to astrobiological exploration on Mars can only be done if human-related
pollution can be managed and understood.

In a landing mission that performs surface activities, all processes and mission operations
related to humans cannot be completed in a fully closed system.



Crews and support systems exploring Mars will inevitably be exposed to Martian material.

In accordance with these principles, specific implementation guidelines for manned missions toMars are as follows:

Various types and quantities of microbial communities will be carried on board in manned
missions.
It is not realistic to prescribe all of the acceptable microbial communities andcontamination risks at launch.
Once the launch baseline conditions are defined and met, continuous monitoring andevaluation methods of microorganisms carried by manned missions are needed toaddress the issue of forward and backward contamination.



In preparation for the possibility of contact with life on Mars, have the ability to isolate allcrew members and individual crews during and after missions.



Develop comprehensive planetary protection protocols to address forward and backward
contamination in manned missions, which include subsurface exploration and sample
handling, and the coordinated operation of manned and unmanned exploration in the
return of samples and crews to Earth.

Neither unmanned nor manned exploration shall contaminate the special region of Mars(see Section 3.1.23).



Prior to manned exploration, a preliminary survey shall be conducted by unmanned
exploration. The preliminary survey may be a preliminary unmanned exploration mission,
43

JMR-014A(E)or a survey by a prior unmanned exploration mission within a manned mission.


Untreated samples taken from unknown or special regions on Mars or the sampling
instrument should be treated according to proper handling and testing protocols whichdeveloped based on the latest planetary protection category V, "Restricted Return toEarth (see Section 3.1.13)".

The crew of a manned mission shall have primary responsibility for the implementation ofplanetary protection that affects the crew during the mission.

The planetary protection requirements in early manned missions, as well as the crew
support system, should take a safer approach, given the insufficient knowledge of theMartian environment and the possibility of life.

The need for planetary protection in early manned missions was to have knowledge ofthe Martian environment and the potential for life. Planetary protection requirements for
subsequent missions shall not be relaxed without scientific review, legitimacy, andconsensus.

44

JMR-014A(E)Annex J (Informative) Category Selection Flow Chart/ List of Planetary Protection
Requirements by Category

The flowchart shown in Figure J-1 can be used to determine which planetary protection category
each mission falls into. Table J-1 can be used to review the target body and planetary protection
requirements for each category. However, the following points should be noted.
a) Planetary protection categories may be revised from time to time as scientific knowledge
improves, based on the latest scientific evidence. This flowchart is current as of October 2020.
b) For any bodies not listed here, or for any small bodies of any spectral type, the presence orabsence of Earth return restriction will be judged on a "case-by-case" basis for Category V.
c) For P and D type small bodies, the default is a restricted Earth return (see Section 3.1.13) "dueto lack of scientific knowledge" at present, and the decision in Section b above is then applied
to each mission.
d) The conditions for orbital arrival and ground arrival include not only the nominal case but also
the off-nominal case. In other words, if a spacecraft does not reach the orbit (ground) of thecelestial body in the nominal plan, but may reach the orbit (ground) due to a defeat or otherreason, it is treated as having reached the orbit (the ground arrival).
e) The Earth’s Moon is considered to be part of the Earth-Moon system and the return restriction
includes the Moon as well as the Earth.
f)

The rules for outbound and inbound routes to Ocean World (Europa, Enceladus, etc.) will berevised within a few years through the ongoing PPOSS activities as of November 2018, and thecurrent situation is provisional.

g) On the surface of Mars, Category IV is further subdivided according to whether or not that it isequipped with an observation device for life exploration and whether or not it has access to a
special area (see Section 3.1.23).
h) In the case of a spacecraft reaching the orbits of multiple bodies, all applicable criteria shall beapplied.

45

JMR-014A(E)
Table J-1: Planetary Protection Category and Outline of Planetary Protection Requirements
Cat.
I

II

III

Target Mission
All types of missions to a target
body that has no significant
scientific interest in the processof chemical evolution and theorigins of life.
All types of missions to a target
body that has significant
scientific interest in the processof chemical evolution and theorigins of life but for whichscientific opinion is that there is
only a remote chance that
contamination by a spacecraft
could
compromise
futureinvestigations.

Target Body
S-type asteroids, Io, Mercury.

None(II-1)Venus, Comets, asteroids (P, D, and Ctype), Jupiter, Jovian moons (except Io, Europa
and Ganymede), Saturn, Saturnian moons (except
Titan and Enceladus), Uranus, Uranian moons,
Neptune, Neptunian moons (except Triton),
Kuiper Belt Objects < ½ size of Pluto.
(II-2) Moon
II: Moon orbiting and flyby missions
IIa: Landing missions that are not IIb
IIb: Landing missions to the permanently
shadowed area or polar region(II-3) Ganymede, Titan, Triton, Pluto/Charon,
Kuiper Belt Objects > ½ size of Pluto.
Fly-by and orbiting missions to Mars, Europa, Enceladus
solar system bodies to beprotected.

IV

Surface missions to solar systembodies to be protected.

V

All Earth-return missions fromsolar system bodies deemed tohave no indigenous life forms.:
Unrestricted Earth Return
Earth-return missions other than
the above: Restricted Earth
ReturnVenus, Moon, asteroids (P, D, and C-type), Io,
Mercury. However, small objects will be judged ona case-by case basis.
Mars, Europa, Enceladus.
Other than the above will be judged on a case-by
case basis.
1

Planetary Protection Requirements

Simple documentation tailored to planetary protection
requirements

Organic materials inventory in addition to (II-1)（ However, it is not required in II, and organic
products released from the propulsion system arecovered in IIa）
Contamination probability analysis in addition to (II-1)
Detailed documentation based on planetary protection
requirements, organic materials inventory, impact
probability analysis, and contamination probability
analysis.
Detailed documentation, organic materials inventory,
storage of organic samples, sterilization and bioburden
control for a large number of materials, parts,
assemblies and facilities.
Only the planetary protection requirements that
correspond to the outbound itinerary category
Sterilization and assessment. If assessment is notpossible, complete containment.

JMR-014A(E)Figure J-1: Flow chart of mission category (As of February 2022)

1

JMR-014A(E)Annex K (Informative) Task examples by category
K.1 Task examples of categories I and II
As an example of the task of Category II (same for Category I), planetary protection implementation
for C-type NEO/Ryugu exploration (* corresponding to the outbound journey of the Hayabusa2
project) is shown below.
K.1.1 Confirmation of planetary protection requirements for the project
The outbound journey of the Hayabusa2 project corresponds to Category II. The identified planetary
protection requirements for the project are as follows.
a) For any component of the spacecraft, such as the upper stage of a launch vehicle, that is notassembled or stored under controlled conditions in a constantly operating ISO Class 8 or better
cleanrooms, the probability of impact on Mars shall be less then 1x10-4 for the first 50 years after
launch (see Section 5.2.3b).
b) For any component of the spacecraft assembled and stored in constantly operating ISO Class 8
or better cleanrooms, the probability of impact on Mars shall be less than 1x10-2 for the first 20
years after launch. In addition, it shall be less than 5x10-2 for the period from 20 to 50 years after
launch (see section 5.2.3c).
K.1.2 Task contents
The tasks for the planetary protection requirements for the project in Section K.1 are impact
probability analysis and documentation (reference [5]). An example of impact probability analysis isshown below (see JERG-0-057-HB001 for details).
K.1.2.1 Example of response to planetary protection requirements for the project aa) Perform an orbital analysis using the Monte Carlo method including the following items, andachieve a 99% confidence level.
1. Perform an orbit analysis on all candidate orbits in the launch window.
2. The number of the Monte Carlo trial calculations is adjusted according to the numberof impacts detected.
b) Factors to be included in the analysis
1. Gravity perturbation by Sun, Earth, Moon, Venus, Mercury, Jupiter, Saturn
2. Solar radiation pressure (SRP) in uncontrolled attitude
3. If there is an upper stage after the spacecraft is released, the reliability of this maneuvermust be included in the overall analysis.
K.1.2.2 Example of response to planetary protection requirements for the project ba) Perform an impact probability analysis of the spacecraft during cruising from the Earth to thetarget small body will be performed including the following items.
1. Perform it in both nominal and off-nominal flight conditions and analyze the spacecraft2

JMR-014A(E)orbit including the modules to be released.
2. Achieve a 99% confidence level using Monte Carlo method.
3. Input the rocket dispersion matrix.
4. Consider gravity perturbations by the Sun, Earth, Moon, Venus, Mercury, Jupiter, andSaturn.
5. Consider the solar radiation pressure (SRP) in controlled and uncontrolled attitudes.
b) If the probability of impact exceeds the specified value, the failure probability of the spacecraft
shall be analyzed in consideration of the following items and reflected in the orbit analysis.
1. Reflect the reliability of the onboard equipment and the operational reliability required tocontrol the spacecraft.
2. Reflect the effects of meteoroid impacts.
3. Reflect the failure probability of the spacecraft in the collision trajectory probability.

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JMR-014A(E)K.1.3 Schedule example
An example of a Category II planetary protection schedule is shown in Table K-1, using Hayabusa2 as an example.
Table K-1: Example of a Category II planetary protection schedule (Hayabusa2)
Schedule
Item
Approval/ Review(Based on the launch day)
About 6 years before
Planetary protection requirements MDR
for the project (draft)
About 5 years before
Planetary
protection SRR
requirements for the project (final)- Planetary protection plan (draft)
About 5 years before- Transition to project
Review of Project Transition
Up to PDR
- Impact probability analysis
Contamination
probability
analysis
About 4 years before- Planetary protection plan (final)
PDR
About 3 years before
Report on category proposals to NAC/PPS
NAC/PPS.
About 3 years before
About 2 and half years
beforeAbout 8 months before

About 4 months before

Overview / Reference
Annex A
Annex B

Section 5.2.3 and 5.2.4 in this standard.
JERG-0-057-HB001

Conduct a review meeting forcategory proposals from JAXA at
the COSPAR Colloquium.
Approval planetary protection
requirement at the COSPAR
general meeting.
Report to NAC/PPSCOSPAR planetary protectionpanel

Annex B
Outbound category II, Inbound category
V a)(Annotation: This item is conducted due
to a joint mission with NASA.)
Outbound category II, Inbound category
V a) proposal

COSPAR planetary protection
panel

Outbound category II, Inbound category
V a) confirmed

NAC/PPS

Report on planetary protection
plan at the COSPAR.

COSPAR planetary protection
panel

Report on impact probability analysis
and implementation plan.
(Annotation: This item is conducted due
to a joint mission with NASA.)
Report on impact probability analysis
and implementation plan.

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JMR-014A(E)
Schedule(Based on the launch day)
About 1 week before
Launch day
No later than 6 months after
launchTo the end-of-the mission.
COSPAR general meeting(Every 2 years)

Until the start ofextended mission.

the

No later than 6 months after
the end-of-mission.

Item

Approval/ Review

Overview / Reference- Pre-launch planetary
protection report (final)
LaunchPost-launch planetary
protection report (final)
Planetary protection achievements
report at COSPAR general
meeting.
(Usingpre-launch/post-launchplanetary
protection
reports,
extended-mission
planetary
protection reports, end-of-mission
planetary protection report, etc.)
Planetary protection report on theextended mission. (Final)

LRR

Annex DNo later than 6 months after
launchCOSPAR planetary protectionpanel

Annex E

Extended mission review

Annex F

End-of-mission
planetary
protection report. (Final)

No later than 6 months after
the end-of-mission.

Annex G

planetaryreportprotection

achievements* Now that the Planetary Protection Officer has been established, these processes are replaced by coordination by the Planetary Protection Officer,
review by the Planetary Protection Review Board, and reporting of the review results.

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JMR-014A(E)K.2 Task examples of category III
As an example of a category III task, an example of planetary protection of ExoMars Trace Gas
Orbiter (TGO) is shown below (Reference [6]).
K.2.1 Confirmation of planetary protection requirements for the projectIn this example, which classified as Category III, the identified planetary protection requirements forthe project are as follows:a) For any component of the spacecraft, such as the upper stage of a launch vehicle, that is notassembled and stored under controlled conditions in a constantly operating ISO class 8 or better
cleanrooms, the probability of impacts on Mars shall be ≤ 1x10-4 for the first 50 years after launch(see Section 5.2.3b).
b) One of the following conditions has to be satisfied (see Section 5.2.3c).
1. For any component of the spacecraft assembled and stored in constantly operating ISO Class 8
or better cleanrooms, the probability of impact on Mars shall be less than 1x10-2 for the first 20
years after launch. In addition, it shall be less than 5x10-2 for the period from 20 to 50 years after
launch.
2. The bioburden of the entire spacecraft, including surfaces, joint surfaces, and embedded items,
should not exceed 5x10+5 spores.
K.2.2 Task contents
Here is an example of a task that satisfies 1 of the conditions in Section K.2.1b). In this case, thetasks for the planetary protection requirements for the project in Section K.2.1 are impact probability
analysis and the documentation (reference [6]).
An example of an impact probability analysis is shown below (see JERG-0-057-HB001 for details).
K.2.2.1 Example of response to planetary protection requirements for the project a(example of TGO)a) Perform an orbital analysis using Monte Carlo method, including the following items, and achieve
a 99% confidence level.
1. Perform an orbit analysis on all candidate orbits in the launch window.
2. The number of the Monte Carlo trial calculations is adjusted according to the number of impacts
detected.
b) Factors to be included in the analysis
1. Gravitational potential of Earth / Mars and gravitational perturbation by third celestial bodies(Sun, Moon, Jupiter, Saturn).
2. Solar radiation pressure (SRP) in uncontrolled attitude.
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3. Thrust discharge for the direction of travel, degassing for all directions.
4. If there is an upper stage maneuver after the spacecraft is released, the reliability of thismaneuver must be included in the overall analysis.
K.2.2.2 Example of response to planetary protection requirements for the project b.1(example of TGO)a) The final stability analysis of the orbit for scientific observation will be carried out, including thefollowing items, to clarify that the orbit will be stable for more than 50 years.
1. Numerical propagation of orbits due to atmospheric fluctuations by solar cycle activity, etc.
2. Evaluation of appropriate ballistic coefficients and parameters obtained from the atmosphericmodel.
b) Impact probability analysis of the spacecraft before the Deep Space Maneuver (DSM) is carriedout, including the following items, to clarify that the spacecraft will not collide for more than 50
years.
1. Demonstrate that the impact probability requirement is satisfied statistically using Monte
Carlo method, etc.
2. Use the rocket dispersion matrix as an input.
3. Gravitational potential of Earth and Mars and the gravitational perturbation of the thirdcelestial body (Sun, Moon, Jupiter, Saturn) are considered.
4. Solar radiation pressure (SRP) in an uncontrolled attitude is considered.
c) Impact probability analysis is performed for the orbiting target celestial body during its arrival fromthe DSM to the final orbit, including the following items. (Please refer to JERG-0-057-HB001 fordetails as it is just an example of TGO.)
1. (On the conservative side) The orbital impact probability is assumed to be 1, if the spacecraftflies straight into ballistic flight after DSM.
2. Reflect the reliability of onboard equipment and operational reliability required to control the
spacecraft is reflected. (PHW, fail)
3. Reflect atmospheric variabilities during the Mars aerobrake phase is reflected. (Ignore thepossible recovery on the conservative side.) (POP.fail)
4. Reflect meteoroid impacts and their effects are reflected (see section K.2.2.2d)).
Impact probability = PHW,fail + POP,fail + Pmet,fail ≦1 %d) Define the meteoroid model by considering the following items.
1. Selection of meteoroid flux (number of particles per unit time and unit volume) model(example: Grun model)
2. Velocity distribution (e.g., 20 km / s)
3. Meteoroid density (e.g., 2.5 g / cm3)
4. Average impact angle (e.g., 45 degrees)e) Analysis of results
1. Selection of critical equipment for spacecraft control.
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JMR-014A(E)
2. Assessment of protection by MLI, panel, honeycomb panel, etc.
3. Assessment of protection in terms of distances between different materials using appropriate
ballistic limit calculation methods (BLE, IADC).
4. Assessment of critical equipment failure mode.
5. Assessment of problem-prone equipment that is prone to problems (e.g., tanks, star trackers,
propulsion systems, UHF RFDN waveguides, etc.).
K.2.3 Schedule example
See Table K-1 for the planetary protection schedule in this case.

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JMR-014A(E)Bibliography[1] COSPAR Planetary Protection Policy, latest version.
[2] Directorate of technical and quality management, ESA/ADMIN/ORG (2008) 3.
[3] ESA planetary protection policy, ESA/C (2007) 112.
[4] Kminek, G., et al. Report of the COSPAR Mars special regions colloquium. J. Adv. Space Res.
(2010), doi: 10.1016/j.asr.2010.04.039.
[5] Kminek, G., "Case Study Planetary Protection Category II," PPOSS Tutorial, Tokyo, Japan, 2017.
[6] Kminek, G., "Case Study Planetary Protection Category III," PPOSS Tutorial, Tokyo, Japan, 2017.
[7] Rummel, J.D, Beaty, D.W., Jones, M.A, Bakermans, C., Barlow, N.G., Boston, P.J., Chevrier,
V.F., Clark, B.C., de Vera, JP.P., Gough, R.V., Hallsworth, J.E., Head, J.W., Hipkin, V.J., Kieft,
T.L., McEwen, A.S., Mellon, M.T., Mikucki, J.A., Nicholson, W.L., Omelon, C.R., Peterson, R.,
Roden, E.E., Lollar, B.S., Tanaka, K.L., Viola, D., and Wray, J.J., “A new Analysis of Mars
Special Regions: Findings of the Second MEPAG Special Regions Science Analysis,” Group (SRSAG2), Astrobiology, 14, 887-968, 2014.
[8] McEwen, A.S., Dundas, C.M., Mattson, S.S., Toigo, A.D., Ojha, L., Wray, J.J., Chojnacki, M.,
Byrne, S., Murchie, S.L., and Thomas, N., “Recurrent slope lineae in equatorial regions ofMars,” Nature Geosciences, 7, 53-58, 2014.
[9] Space sustainability: Planetary protection, ECSS-U-ST-20C, August 2019.
[10] Ammann, W., Baross, J., Bennett, A., Bridges, J., Fragola, J., Kerrest, A., Marshall-Bowman,
K., Raoul, H., Rettberg, P., Rummel, J., Salminen, M., Stackebrandt, E., and Walter, N.,“Mars sample return backward contamination – strategic advice and requirements,”
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Strasbourg, 2012.

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