SPACE

and
DEFENSE
Volume Nine Number One Spring 2016

Attack on the Brain: Neurowars and Neurowarfare

Armin Krishnan
Volume Five Number One
Brazil Space: SGDC Satellite Sum
mer 2011 Gills Vilar Lopes
Mexico Aerospace: The Querétaro Cluster
Mónica Casalet

CoalitionsREVIEW:
in Space: Crowded
Where
Deron Jackson
Orbits
Networks are
Power
Publisher’s Corner: Space Policy’s SALT Moment
by James
Ambassador Roger G. Clay
HarrisonMoltz

The 2010 National Space Policy: Down

to Earth?
by Joan Johnson-Freese
Space & Defense
Journal of the United States Air Force Academy
Eisenhower Center for Space and Defense Studies
Publisher
Ambassador Roger Harrison, [email protected]
Inaugural Director and Co-founder, Eisenhower Center for Space and Defense Studies

Editor

Dr. Damon Coletta

U.S. Air Force Academy, USA

Associate Editors

Mr. Deron Jackson Dr. Peter Hays

Director, Eisenhower Center George Washington University, USA
U.S. Air Force Academy, USA
Ms. Jonty Kasku-Jackson
Dr. Schuyler Foerster National Security Space Institute, USA
U.S. Air Force Academy, USA

Thank You to Our Reviewers

Andrew Aldrin Joanne Gabrynowicz

United Launch Alliance, USA University of Mississippi, USA

James Armor Jason Healey

ATK, USA Atlantic Council, USA

William Barry Theresa Hitchens

NASA Headquarters, USA United Nations, Switzerland

Daniel Blinder Wade Huntley

UNSAM-CONICET, Argentina Independent Researcher, USA

Dean Cheng Ram Jakhu

Heritage Foundation, USA McGill University, Canada, USA

Robert Callahan Dana Johnson

NORAD-NORTHCOM, USA Department of State, USA

Robert Carriedo Roger Launius

U.S. Air Force Academy, USA National Air and Space Museum

Frans von der Dunk John Logsdon

University of Nebraska, USA George Washington University, USA

Paul Eckart Agnieszka Lukaszczyk

Boeing, USA Secure World Foundation, Belgium

Andrew Erickson Molly Macauley

Naval War College, USA Resources for the Future, USA
Laura Delgado Lopez Dimitrios Stroikos
Secure World Foundation, USA London School of Economics, United Kingdom

Adam Lowther Brent Talbot

SANDS, Kirtland AFB, USA U.S. Air Force Academy, USA

Clay Moltz Scott Trimboli

Naval Postgraduate School, USA University of Colorado, Colorado Springs, USA

Scott Pace James Vedda

George Washington University, USA Aerospace Corporation, USA

Xavier Pasco Rick Walker

Foundation for Strategic Research, France Digital Consulting Services, USA

Elliot Pulham Annalisa Weigel

Space Foundation, USA Massachusetts Institute of Technology, USA

Wolfgang Rathbeger David Whalen

European Space Policy Institute, Austria University of North Dakota, USA

John Riley George Whitesides

U.S. Air Force Academy, USA NASA Headquarters, USA

Victoria Samson Ray Williamson

Secure World Foundation, USA Secure Word Foundation (retired), USA

Jaganath Sankaran
Los Alamos National Laboratory, USA

Matthew Schaefer
University of Nebraska, Lincoln, USA

Benjamin Shearn
George Mason University, USA

Rouven Steeves
U.S. Air Force Academy, USA

*This is the authoritative Eisenhower Center for Space and Defense Studies/U.S. Air Force Academy edition of Space & Defense.
Space & Defense should be acknowledged whenever material is quoted from or based on its content. The opinions, conclusions, and
recommendations expressed or implied within are those of the contributors and, unless otherwise specified, do not reflect official views
of the U.S. Government or the U.S. Air Force Academy.
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Space & Defense
Journal of the United States Air Force Academy
Eisenhower Center for Space and Defense Studies
Volume Nine ▪ Number One ▪ Spring 2016

Editor’s Note
Damon Coletta

Articles

Attack on the Brain: Neurowars and Neurowarfare 04

Armin Krishnan

Brazil Space: Military Dependency and the Case of the

Geostationary Satellite of Defense and Strategic Communications 22
Gills Vilar Lopes

Meeting Growth Challenges of Mexico Aerospace:

The Querétaro Cluster 39
Mónica Casalet

Essays

Book Review – Crowded Orbits: Conflict and Cooperation

In Space 54
Deron Jackson

Publisher’s Corner – Space Policy’s SALT Moment 56

Ambassador Roger G. Harrison
Editor’s Note
this rising power enters a period of political
This issue of Space & Defense builds on turbulence and stagnant economic growth. Lopes
our initiative to explore broader questions of explores as a critical case Brazil’s Geostationary
political economy on the technological frontier of Satellite for Defense and Strategic
defense policy. The lead feature by Armin Communications (SGDC). For him, space
Krishnan, “Attack on the Brain: Neurowars and becomes something of a political football as
Neurowarfare,” lays the groundwork for a new Brazil’s civilian space agency (AEB) and its
specialty field of defense studies. In the world of Ministry of Science and Technology (MCT)
engineering and technology, advances in brain cannot muster the necessary fiscal or intellectual
mapping, information science, and capacity to establish autonomy from Brazil
nanotechnology have prompted a convergence of space’s Air Force (FAB) heritage. Certainly,
traditional research programs in biology, military and civilian agencies must work together
chemistry, materials science, and electrical to move forward, but he notes that the “Strategic”
engineering. This synthesis creates a crisis in the qualifier of SGDC’s satellite communications has
sense that investments we make now might bring as much to do with Brazil’s national development
a rich harvest of new products that spur economic as it does with strategic launchers for national
development, revolutionize health care, and play defense. Brazil itself will survive current
an important role in expanding the quotient of presidential scandals and eventually restore its
human happiness during the twenty-first century; growth in export revenues, but neither SGDC nor
at the same time, as in the prominent cases of efforts to recover from the Alcântara launcher
nuclear, cyber, and space technologies, devices disaster of 2003 will amount to much until the
for mastering a new domain, in this case the government finds a way to reform its civil-
collective mind of an army or its sponsoring military legacy on space.
society, could lead to catastrophic conflict.
Krishnan argues we have already reached the Mónica Casalet’s feature contribution takes us
point where many staple concepts from from Brazil to Latin America’s other rising power,
International Security—offense, defense, Mexico, in particular the fast growing, centrally
deterrence, civil-military relations, crisis, and located state of Querétaro, north of Mexico City.
war—are quite relevant to neurowarfare. He “Meeting Growth Challenges of Mexico
urges us to apply our strategic reasoning now and Aerospace: The Queretaro Cluster” expertly
with great care if the international community as a dissects Mexico’s effort at the regional level of
whole is to successfully manage challenges and analysis, working with Mexico’s federal system of
reap the benefits of expanding neuro-technology. governance and drawing strength from high-level
national support as well as city-based
Our second and third features continue our series concentrations of talent. In a political context
of articles on the significance of space for almost the obverse of Brazil’s, Mexico’s
developing countries. The previous issue of commercial sector seeks entry into the global
Space and Defense included a discussion of aerospace market with only a very faint presence
Argentina space, remarking on the steadfastness of home military demand for space products and
of that country’s technological effort to build services. At this time, Mexico’s maturing
indigenous launch capability in spite of dramatic democracy also wrestles with fast rising societal
swings across elections in ideology of political demand emerging from conditions of stark
leadership as well as Argentina’s economic inequality (the “two Mexicos” thesis). Casalet
fortunes. In this volume, Gills Vilar Lopes, argues that under sharp material constraints,
“Brazil Space: Military Dependency and the Case institutional networking and soft connections
of the Geostationary Satellite for Defense and among businesses, civil associations, multiple
Strategic Communications,” is not so sanguine levels of government, and universities—anchored
about the future of Brazil’s space program while at the regional level—are far from epiphenomenal.
Indeed, they merit greater attention from analysts conjured the term “planetary politics” to remind
as a critical factor in international political us of how moves made as far away as
economy & development, especially for multi-use geostationary orbit, at an altitude of some 23,000
industrial sectors on the frontier of knowledge & miles, can have large-scale political effects here
technology. on earth. Rather than politics in a new domain,
Deudney conjured us to think in terms of a
In addition to our peer-reviewed feature articles, tightly-coupled, highly interactive system of
readers of this issue will enjoy topical essays from global actors on the surface expanding their menu
the leadership of the Eisenhower Center at of political options out to geostationary range. In
USAFA. Director Deron Jackson reviews a addition to inviting readers to correspond with us
popular new primer on the international politics of regarding controversies raised by our articles, we
space, Crowded Orbits: Conflict and Cooperation at Space & Defense renew our call for papers that
in Space (Columbia University Press, 2014), by refine our perspective on planetary politics. If our
Professor Clay Moltz of the Naval Postgraduate readers are working new submissions that address
School, Monterey, California, and in the latest space arms control, commercial-military alliances
edition of Publisher’s Corner, Ambassador Roger for national security, hypersonics, missile defense,
Harrison asks whether diplomats confronting cyber deterrence, and preventive commercial-
today’s challenges from rising powers can find military regimes for cyber security, we encourage
positive inspiration for a SALT moment in space them to send their contributions for peer review to
arms control. the Eisenhower Center for Space and Defense
Studies, U.S. Air Force Academy.
Following our recent space panel at ISA-Atlanta,
“Prospects for Peace on the Final Frontier,” it is
clear our journal, Space & Defense, is not alone
calling for new thinking in anticipation of greater Damon Coletta
political and economic interaction, among both USAFA
state and non-state actors, in increasingly crowded ` April 2016
orbits. Professor Daniel Deudney, in Atlanta,
 Article

Attack on the Brain: Neurowars and Neurowarfare

Armin Krishnan

Is neurotechnology leading nation-states toward a new domain of war?

Neuroscience is on the verge of resort to open violence and conflicts could be

deciphering the human brain.1 As a result, brains suppressed before they can ever break out. At the
will become a part of the battlefield against which same time, neurotechnologies and sophisticated
attacks will be directed.2 As neuroscientist James methods of psychological influencing could also
Giordano argued: “the brain is the next be used offensively against enemy societies with
battlespace.”3 It is foreseeable that this will have the goal of “collapsing the enemy internally rather
tremendous implications for warfare and could than physically destroying him.”6 In the worst
amount to a true military revolution in the sense case, neuroscience and neurotechnolgies (neuro
of military historian Williamson Murray: it would S/T) could be abused for torture, genocide, and
completely change the characteristics of conflict, high-tech repression. The ethical implications of
as well as transform state and society.4 brain and mind manipulation are inescapable and
would require a wider debate.
Neuroscience will lead to the development of
‘neuroweapons,’ which can remotely manipulate However, the purpose of this paper is to introduce
mental states, emotions, perceptions, thinking, and the concept of neurowarfare in its two basic
behavior of adversaries. As argued by Vladimir meanings: 1) the application of neuro S/T to
Putin, “[s]uch high-tech weapons systems will be warfare and security and 2) neurowarfare as war
comparable in effect to nuclear weapons, but will in ‘neurospace’, an emerging and distinctive
be more acceptable in terms of political and domain of war, where combat may take place and
military ideology.”5 In a coming age of victory may be achieved. The paper will therefore
neurowarfare traditional military conflict may no outline some of the neuro S/T applications
longer take place or may become ancillary to the relevant to war and conflict. Secondly it will
goal of psychologically manipulating or sketch and define the new emerging domain of
subverting enemy leaders and even entire societies. war. Finally, it is argued that a neurowarfare
States and other actors could be coerced with no strategy is needed for coming to terms with issues
relating to targeting, deterrence, and threshold to
1
Armin Krishnan is Assistant Professor for Security war, before neuroweapons are introduced.
Studies, East Carolina University, Greenville, NC.
2
Laura Sanders, “Brains May Be War’s MILITARY NEUROSCIENCE
Battlegrounds,” Science News 180 (2011): 14. Military brain and behavioral research
3
Tim Requarth, “This Is Your Brain. This Is Your goes back to at least the 1920s and dramatically
Brain as a Weapon,” Foreign Policy (September/ expanded in the U.S. in the 1950s because of the
October), http://foreignpolicy.com/2015/09/14/this-is-
desire to understand Communist brainwashing
your-brain-this-is-your-brain-as-a-weapon-darpa-dual-
use-neuroscience/ (accessed September 18, 2015). and to develop methods that surpassed those of
4
Williamson Murray, “Thinking about Revolutions in the Communist mind programmers. The
Military Affairs,” Joint Forces Quarterly (Summer Artichoke/ MK ULTRA documents of the early
1997): 71. 1950s to the early 1960s leave no doubt that the
5
Christopher Leake and Will Stewart, “Putin Targets CIA and the U.S. military aimed for the hypnotic
Foes with ‘Zombie’ Gun Which Attacks Victim’s
Central Nervous System,” The Daily Mail, March 31,
6
2012, http://www.dailymail.co.uk/news/article- William S. Lind, Keith Nightengale, John F. Schmitt,
2123415/Putin-targets-foes-zombie-gun-attack- Joseph W. Sutton, and Gary I. Wilson, “The Changing
victims-central-nervous-system.html (accessed Face of War: Into the Fourth Generation,” Marine
September 8, 2015). Corps Gazette 73 (1989): 23.
5 Space & Defense

and physical control of enemy minds, both in the which did not go ahead because of the controversy
context of intelligence operations as well as in over using neuroscience research for interrogation
‘psychochemical’ warfare operations directed and the ‘ethical risks’ inherent to such research.11
against entire societies.7 Although these efforts
were apparently not particularly successful, there However, it is mostly civilian academic and
has been since 2001 in the aftermath of 9/11 a commercial research that is currently driving the
renewed interest by DARPA and other agencies to advancement of neuroscience. President Obama
develop and leverage brain research for the announced the American BRAIN Initiative in
national security sector. This was also encouraged April 2013 that aims to revolutionize our
by new brain imaging technology developed and understanding of the brain. The President
perfected in the 1990s, such as fMRIs, that have explained that it will be a long-term scientific
given neuroscientists unprecedented insights into effort comparable to the human genome project
the processes occurring inside a living human and that it could impact “the lives of not millions,
brain. but billions of people on this planet.”12 The plan is
to spend $100 million dollars in federal money
Bioethicist Jonathan Moreno drew attention to the and $200 million dollars in private sector money
topic of military neuroscience through his 2006 on neuroscience research for ten years. The
book Mind Wars, which also discussed some of project will be led by the National Institutes of
the related ethical issues.8 Since then the DIA Health, the National Science Foundation, and
commissioned a National Research Council study DARPA in conjunction with private sector
on military applications of neuroscience research partners such as the Allen Institute for Brain
in 2008 and the U.S. Army commissioned another Science, the Howard Hughes Medical Institute,
study on neuroscience opportunities for the Army the Kavli Foundation, and the Salk Institute for
in 2009.9 This was followed by a Royal Society Biological Studies.13 According to the White
study on Neuroscience, Conflict and Security House:
published in 2012.10 These studies mostly The BRAIN Initiative will
highlighted potential contributions of neuro S/T to accelerate the development and
human enhancement, strategic intelligence, application of new technologies
security and interrogation, and neuroscientific that will enable researchers to
methods of influencing an adversary. In 2013 produce dynamic pictures of the
Special Operations Command (SOCOM) brain that show how individual
announced the creation of a Center for Excellence brain cells and complex neural
in Operational Neuroscience at Yale University, circuits interact at the speed of
thought. These technologies will
7
open new doors to explore how
U.S. Congress, “Project MKULTRA, the CIA’s the brain records, processes, uses,
Program of Research in Behavioral Modification,” stores, and retrieves vast
Joint Hearing Before the Select Committee on quantities of information, and
Intelligence and the Subcommittee on Health and
Scientific Research of the Committee on Human
shed light on the complex links
Resources, United States Senate, Ninety-Fifth
Congress, August 3, 1977, Appendices, pp. 65-171.
8 11
Jonathan Moreno, Mind Wars: Brain Research and Roy Eidelson, “Neuroscience, Special Forces and
National Defense (New York: Dana Press, 2006). Yale,” Counterpunch, March 6, 2013,
9
National Research Council, Emerging Cognitive http://www.counterpunch.org/2013/03/06/neuroscience
Neuroscience and Related Technologies (Washington, -special-forces-and-yale/ (accessed August 28, 2015).
12
DC: National Academies Press, 2008); National White House, “Fact Sheet: BRAIN Initiative,” Press
Research Council, Opportunities in Neuroscience for Release, April 2, 2013,
Future Army Applications (Washington, DC: National https://www.whitehouse.gov/the-press-
Academies Press, 2009). office/2013/04/02/fact-sheet-brain-initiative (accessed
10
; Royal Society, Brain Waves Module 3: August 28, 2015).
13
Neuroscience, Conflict and Security (London: The T.R. Insel, S.C. Landis, and F.S. Collins, “The
Royal Society, 2012). BRAIN Initiative,” Science 340 (2013): 687-688.
 Krishnan / Neurowars 6

between brain function and public and private sector neuro S/T investment is
behavior.14 around $150 billion annually worldwide.19 Most
This neuroscience funding comes on top of the worryingly, it is projected that Asia and South
normal research funding in related disciplines and America will outspend the United States and its
commercial research funded by major western allies by 2020.20 Neuro S/T could
corporations in the health and IT/ communications proliferate to nonstate actors, including criminal
sectors. The great importance of private sector organizations, terrorist groups, and even
research is indicated by the tremendous growth in individuals, and may result in novel security and
neuroscience patents that are mostly filed by criminal threats.21
corporations. In 2010 alone 800 neurotechnology
patents have been filed – a doubling of patents per What follows is an overview of some of the
year from the previous decade. Interestingly, most applications and technologies that have the
patents were filed by the marketing research greatest potential for usage in war and conflict. It
company Nielsen (100) and by software giant is important to keep in mind that neuro S/T has
Microsoft (89), which shows that neurotechnology numerous civilian applications, ranging from
has already gone beyond medical applications and medical/ health applications to recreation and
is poised to proliferate across society.15 enhancement to name a few. The technology will
spread quickly across societies and create like the
Similar efforts of ‘unlocking the brain’ are Internet a new arena or battleground where
underway across the world. For example, the conflict will take place. The Royal Society report
European Union has inaugurated a similar suggested dividing military applications of neuro
neuroscience research effort called the Human S/T into two primary types: performance
Brain Project (HBP) in October 2013. The EU enhancement and performance degradation, which
pledged to spend €1 billion euros over ten years to will be used, here, as a basic structure.22 Of course,
“gain fundamental insights into what it means to all enhancement technologies can be in principle
be human, develop new treatments for brain also used for degradation.
diseases, and build revolutionary new Information
and Communications Technologies (ICT).”16 ENHANCEMENT TECHNOLOGIES
Canada has joined the race with an announcement
of dedicating $100 million dollars over five years A major UK Ministry of Defence
to brain research.17 In 2014 Japan launched the assessment of global trends speculated that “A
Brain/ MINDS Initiative, which also seeks to map range of technological enhancements have the
the brain.18 Overall, it has been estimated that potential to transform human identity by
improving sensory perception, physical
14
performance and perhaps even giving us the
White House, “Fact Sheet.” ability to control fear and other emotional
15
A. Griffin, “Patents for Technology to Read People’s
Minds Hugely Increasing,” The Independent, May 8,
2015, http://www.independent.co.uk/life-style/gadgets-
19
and-tech/news/patents-for-technology-to-read-peoples- Sarah Canna, “Leveraging Neuroscientific and
minds-hugely-increasing-10236211.html (accessed Neurotechnological Developments with a Focus on
August 28, 2015). Influence and Deterrence in a Networked World,”
16
Henry Markram, “The Human Brain Project: A Carnegie Endowment Neurodeterrence Workshop,
Report to the European Commission,” Human Brain October 18, 2013,
Project, April 2012, http://carnegieendowment.org/files/U_NeuroDeterrenc
https://www.humanbrainproject.eu/documents/10180/1 e_Workshop_Approved_for_Public_Release_31Jan14v
7648/TheHBPReport_LR.pdf/18e5747e-10af-4bec- 2.pdf (accessed November 6, 2014).
20
9806-d03aead57655 (accessed August 28, 2015). Ibid.
17 21
“Ontario Leading Brain Research,” Office of the M. Goodman, Future Crimes: Everything Is
Prime Minister, Press Release, March 5, 2013, Connected, Everything Is Vulnerable and What We
http://news.ontario.ca/opo/en/2013/03/ontario-leading- Can Do About It (New York: DoubleDay, 2015), pp.
brain-research.html (accessed December 12, 2014). 261-288.
18 22
Requart, “This Is Your Brain.” Royal Society, Brainwaves Module 3: III.
7 Space & Defense

states.”23 In the future, military commanders may

have the ability to monitor and control the mental The hope is that neuroscience will develop new
states of their soldiers, who may be able through drugs that are both far more effective and also
enhancements to perform well without rest for safer than the ones that currently exist, which
days, to manage their emotions under stress, and would also make the medication of soldiers with
to respond faster and smarter to emerging threats. psychotropic drugs more acceptable.
There are three basic approaches to enhancement Neuroscientists have gained over the last decades
that seem to be particularly promising: an excellent understanding of brain chemistry,
neuropharmacology, brain stimulation, and brain- which has already led to the development of many
computer interfaces. It seems a foregone new psychotropic drugs such as Prozac, first
conclusion that enhancement technologies would approved by the FDA in 1987. Researchers hope
spread quickly beyond the military and across to not only cure depression, PTSD, and other
societies that emphasize competitiveness and mental disorders but to ultimately enhance mental
individual achievement. capabilities through so-called nootropic drugs and
special nutrition that can improve memory,
Neuropharmacology cognitive functions, motivation, and attention.26
Throughout history, militaries have drugged their Better computer models based on new methods of
soldiers to keep them happy, to master their fear, neuroimaging could enable researchers to better
to keep them awake, and to make them better able predict the effects of certain drugs on the brain.
to endure gruesome conditions. Most militaries Greater precision of drug delivery to specific
used alcohol, caffeine, and nicotine, Yemeni and areas of the brain could also produce very precise
Somali tribesmen chewed khat, and Prussian psychological and behavioral effects.
soldiers were given cocaine in the late 19th century. Nanotechnologies could deliver drugs across the
The Nazis infamously put amphetamine under the blood-brain barrier and make drugs more
brand name Pervitin into chocolate and handed effective.27
them out to soldiers to make them fearless and
more energetic, while Nazi leaders such as Hitler One particular cognitive enhancement drug that is
and Goering took amphetamines for better coping currently being reviewed by several militaries
with the stress of decision-making in war.24 The around the world is modafinil. The drug has
U.S. Air Force has handed out ‘go pills’ (e.g. already been approved by the FDA for treating
Dexedrine) to pilots since World War II. The narcolepsy and sleep disorders (known under the
concept of military drug use for performance brand name Provigil). What makes modafinil
enhancement is therefore nothing new, but it has especially interesting for armed forces is its
certainly become more controversial. In recent feature of improving alertness and wakefulness
times there has been growing concern over the instead of merely suppressing tiredness.28 Other
routine non-treatment medication of U.S. soldiers, drugs could reduce stress or anxiety and make it
which has already resulted in some tragic lapses thereby also less likely that soldiers will suffer
of judgment, apart from the other obvious from PTSD at some later point. Roger Pitman
problems associated with the long-term use of from Harvard University uses the beta-blocker
pharmaceuticals such as addiction and permanent propranolol for suppressing the formation of
damage to the soldiers’ health.25 painful memories of veterans.29 Soldiers could be
23 26
“Global Strategic Trends – Out to 2045,” London, Kenneth Ford and Clark Glymour, “The Enhanced
UK Ministry of Defence, 2014, p. 83. Warfighter,” The Bulletin of Atomic Scientists 1
24
Mick Farren, Speed-Speed-Speedfreak: A Fast (2014): 43-53.
27
History of Amphetamine (Port Townsend, WA: Feral National Research Council, Emerging Cognitive
House, 2010), pp. 22-51. Neuroscience and Related Technologies, p. 5.
25 28
Kim Murphy, “A Fog of Drugs and War,” Los Richard Martin, “It’s Wake-Up Time,” Wired 11.11,
Angeles Times, April 7, 2012, November 2003,
http://articles.latimes.com/2012/apr/07/nation/la-na- http://archive.wired.com/wired/archive/11.11/sleep_pr.
army-medication-20120408 (accessed December 29, html (accessed December 12, 2014).
29
2014). Moreno, Mind Wars, p. 152.
 Krishnan / Neurowars 8

medicated through implanted chips that release a Morse code directly into the brain.34 The
variety of drugs directly into the brain and the downside of TMS is that it requires a large coil
drug release could be activated in response to a and power source, which are difficult to
measured brain state or through a wireless remote miniaturize and to make portable. TMS can also
signal. A Massachusetts company has already not reach deeper areas of the brain and may
patented such a drug release chip that can be therefore only have some limited medical
inserted through a tiny whole in the skull via a applications.
syringe.30
Other brain stimulation methods include
Brain Stimulation transcranial Direct Current Stimulation (tDCS)
The idea of electrical brain stimulation for and Transcranial Pulsed Ultrasound Stimulation:
therapeutic purposes is also not new. Medical both might be suitable for integration into a
doctors and psychiatrists have used the electrical soldier’s combat helmet and are therefore of
stimulation of the brain for treating mental particular interest to the military. tDCS applies a
illnesses since the 18th century, with weak current through electrodes to the scalp,
electrotherapy becoming popular in psychiatry in which has shown to significantly increase
the late 19th century.31 The modern concentration and cognitive capabilities in test
electroconvulsive therapy, in which an electrical subjects.35 The U.S. Air Force has already tested
current is applied to the brain through electrodes, “external stimulant technology to enable the
has been widely used since the 1940s and 1950s. airman to maintain focus on aerospace tasks and
Despite its frequent portrayal as a cruel form of to receive and process greater amounts of
treatment in popular culture, the American operationally relevant information” and has found
Psychiatric Association considers it safe and that “it can help pilots better pick out targets from
effective for treating major depression, radar images.”36
schizophrenia, and bipolar disorders.32 Since the
early 1980s psychiatrists have developed newer Researchers from Arizona State University are
methods for electrically stimulating the brain. already working on a Transcranial Pulsed
Ultrasound device that can be fitted into a helmet
The Transcranial Magnetic Stimulation (TMS) and that could be used for controlling the mental
method applies strong electromagnetic fields of
thousands of volts through a helmet-like device 34
R. Rao, A. Stocco, M. Bryan, D. Sarma, T.M.
above the brain to activate specific brain regions. Youngquist, J. Wu and C.S. Prat, “A Direct Brain-to-
TMS has shown promise in terms of treating Brain Interface in Humans,” PLOS One 10.137 (2014);
depression and other mental disorders, but there C. Grau, R. Ginhoux, A. Riera, T.L. Nguyen, H.
are still some concerns for the safety of the Chauvat, M. Berg, J.L. Amengual, A. Pascual-Leone
treatment.33 TMS might improve cognitive and G. Ruffini, “Conscious Brain-to-Brain
functions, alleviate pain, and reduce the need for Communication in Humans Using Non-Invasive
sleep. TMS has been demonstrated to enable Technologies,” PLOS One 10.1371 (2014).
35
Gary E. Marchant and Lyn M. Gaudet,
external control of a person’s hand movements by “Neuroscience, National Security, and the Reverse
stimulating the motor cortex and to enable the Dual-Use Dilemma,” in James Giordano,
transmission of simple information encoded in Neurotechnology in National Security and Defense
(Boca Raton, FL: CRC Press 2014), p. 172.
30 36
Rob Matheson, “Deal Reached to Commercialize Noah Shachtman, “Air Force Wants Neuroweapons
Microchip Drug-Delivery Implant,” Tech Swarm, June to Overwhelm Enemy Minds,” Wired Blog, November
29, 2015, http://www.techswarm.com/2015/06/deal- 2, 2010, http://www.wired.com/2010/11/air-force-
reached-to-commercialize-microchip.html (accessed looks-to-artificially-overwhelm-enemy-cognitive-
August 28, 2015). capabilities/ (accessed December 29, 2014); “Brain
31
Adam Keiper, “The New Age of Neuroelectrics,” Hacking Is Having Incredible Effects and It Is Just
The New Atlantis, 2006 (Winter): 6. Getting Started,” Business Insider, August 16, 2014,
32
Robert H. Blank, Intervention in the Brain: Politics, https://www.yahoo.com/tech/brain-hacking-is-having-
Policy, and Ethics (Cambridge, MA: MIT Press), p. 27. incredible-effects-and-its-94844111639.html (accessed
33
Ibid.: 30. December 29, 2014).
9 Space & Defense

states of soldiers, boosting alertness, and relieving invasive BCIs can currently only be considered
pain from injuries.37 The pulsed ultrasound would for purely therapeutical purposes that treat an
be also able to reach deeper regions of the brain. existing medical condition. For example, currently
Brain stimulation methods could have numerous under development by DARPA is Deep Brain
benefits in terms of treatment and enhancement Stimulation (DBS) based on implanted microchips
for people across society, and the technology that function as pacemakers for the brain of
could spread very quickly as indicated by the Parkinson’s disease patients and for individuals
great commercial success of a tDCS device called suffering from PTSD. About 100,000 patients
Foc.us that is being marketed as a ‘gaming have up to now received DBS implants, and
device.’38 DARPA has recently made $70 million dollars
available for further research into DBS.40 Another
Brain-Computer Interfaces example is neuroprosthetics, in particular those
The ultimate goal in the development of neural implants that restore lost sensory abilities such as
devices is to build a brain-computer interface that cochlea and retinal implants or that enable neural
enables a person to receive information from a control over robotic prostheses.
computer or device, as well as transmit
information from the brain to a computer either as The current focus of BCI research is on non-
a computer input device or for controlling invasive BCIs that are small, transportable, and
machinery. Primitive BCIs already exist. They low-cost. In particular, two approaches seem most
come in two varieties: invasive BCIs that require promising in this respect: Functional Near-
implanting an electrode or chip into the brain and Infrared Spectroscopy (FNIRS), which measures
non-invasive BCIs that rely on measurements changes in brain tissue associated with neuronal
taken from outside the head. activity, and Electroencephalography (EEG),
which measures fluctuations of voltage on the
The great pioneer of BCIs was Yale scientist Jose scalp. EEGs are more popular with researchers,
Delgado, who implanted animals and also some who have used them in a variety of ways. It has
humans with a device he called ‘stimoceiver’ in already been demonstrated that equipped with an
the late 1960s. The stimoceiver enabled Delgado EEG a paralyzed person can move a cursor on a
to very reliably trigger behaviors bypassing screen by simply imagining the movement
conscious decision-making by electrically beforehand.41 For example, a monkey could
stimulating a particular area of the brain, although operate a robotic arm through a BCI to get food.42
he admitted that the method was generally There are many applications for this technology.
incapable of programming new behaviors.39 Of Major IT companies such as Google and Intel are
course, invasive methods as used by Delgado are working on BCIs as new computer input devices,
ethically highly controversial: they could making mouse and keyboard obsolete as early as
permanently affect human personality and require
medically risky procedures. For this reason 40
James Gorman, “Agency Initiative Will Focus on
Advancing Deep Brain Stimulation,” The New York
37
Clay Dillow, “DARPA Wants to Install Ultrasound Times, October 24, 2013,
Mind Control Devices in Soldiers’ Helmets,” Popular http://www.nytimes.com/2013/10/25/science/pentagon-
Science, September 9, 2010, agency-to-spend-70-million-on-brain-
http://www.popsci.com/technology/article/2010- research.html?_r=0 (accessed December 29, 2014).
41
09/darpa-wants-mind-control-keep-soldiers-sharp- Jeremiah D. Wander et al., “Distributed Cortical
smart-and-safe (accessed November 6, 2014). Adaptation during Learning of a Brain-Computer
38
Kate Murphy, “Jump-Starter Kits for the Mind,” The Interface Task,” Proceedings of the National Academy
New York Times, October 28, 2013, of Sciences 110 (2013): 10818-10823.
42
http://www.nytimes.com/2013/10/29/science/jump- Ian Sample, “Monkeys Use Mind Control to Move a
starter-kits-for-the-mind.html?_r=0 (accessed Virtual Arm and Experience Touch,” The Guardian,
December 12, 2014). October 5, 2011,
39
This is described in his book: Jose Delgado, Physical http://www.theguardian.com/science/2011/oct/05/mon
Control of the Mind (New York: Harper & Row keys-mind-control-virtual-arm (accessed January 2,
Publishers, 1969). 2015).
 Krishnan / Neurowars 10

2020.43 An Air University dissertation claims “[i]t some concerns about the prospect of new weapons
is likely that BCI technology will dominate systems with direct neurological control.47
military systems in 2032.”44
The potential advantage of BCI-controlled
A much more ambitious goal is to build a mind weapons is that they could immerse soldiers better
reading device that can translate actual thoughts in in the battlespace when remotely controlling an
a manner that a computer can understand them. unmanned system for better situational awareness.
For example, one could measure and catalogue BCIs could also significantly improve threat
EEG responses to specific words and simply detection and identification accuracy, as well as
match brain activity to thoughts. Such research is substantially reduce human response times.48 In
indeed undertaken by scientists at the University particular, DARPA is developing the ‘Cognitive
of California, Irvine. Researcher Mike D’Zmura Technology Threat Warning System’ (CT2WS),
believes that it would take 15 to 20 years to which uses an EEG that detects unconscious brain
develop thought-based communication.45 Special responses to potential threats appearing on a
Operations Forces soldiers use the technology to monitor and flags them to the operator. Via BCI,
silently and efficiently communicate with each soldiers will be better able to control complex
other just by thinking (hence the project name machinery such as robotic exoskeletons or
‘synthetic telepathy’). Neuroscientist Thomas unmanned systems. This kind of research has
Naselaris opined that “[t]he potential to do already stimulated a heated debate on the legality
something like mind reading is going to be of ‘neuroweapons’ based on using a soldier’s
available sooner rather than later…It’s going to be brain processes as input for detecting a threat and
possible in our lifetimes.”46 Although the Royal activating a weapon without requiring a conscious
Society report claims that “[t]here are very limited decision on the part of the soldier whose brain has
prospects for a universal thought reading machine,” been wired to the weapons.49
because of the uniqueness of each brain and the
brain’s general plasticity (tendency to change over DEGRADATION TECHNOLOGIES
time), the technology does at the very least raise
While enhancement seems to offer
exciting opportunities for gaining an advantage by
making soldiers smarter, they are also more
43
Nick Bilton, “Disruptions: Brain-Computer speculative. As a rule of thumb, enhancement
Interfaces Inch Closer to Mainstream,” The New York tends to be much more difficult than degradation.
Times, April 6, 2013, However, enhancement is at the focus of the
http://bits.blogs.nytimes.com/2013/04/28/disruptions- academic literature since much of it is developed
no-words-no-gestures-just-your-brain-as-a-control- more or less openly while degradation methods
pad/?_r=0 (accessed December 29, 2014); Sharon such as more exotic nonlethal weaponry are often
Gaudin, “Intel: Chips in Brains Will Control portrayed as fictional or aspirational. FAS
Computers by 2020,” ComputerWorld, November 19, researcher Steven Aftergood has mocked the
2009,
http://www.computerworld.com/article/2521888/app-
Pentagon over its excessive secrecy in this
development/intel--chips-in-brains-will-control- respect, suggesting that it could allow little more
computers-by-2020.html (accessed December 29,
2014).
44 47
Brian E. Moore, “The Brain-Computer Interface Royal Society, Brain Waves Module 3, pp. 16, 20.
48
Future: Time for a Strategy,” Research Report, Air “Weapons of Perception: Neuroscience and Mind-
University, February 14, 2013. Controlled Weapons,” Army-Technology.com, May 22,
45
Eric Bland, “Army Developing ‘Synthetic 2012, http://www.army-
Telepathy,’ ” NBC News, October 13, 2008, technology.com/features/featureweapons-of-
http://www.nbcnews.com/id/27162401/ns/technology_ perception-neuroscience-mind-controlled-weapons-
and_science-science/t/army-developing-synthetic- and-the-military/ (accessed November 6, 2014).
49
telepathy/#.VEF0x2es_8U (accessed November 6, Stephen White, “Brave New World: Neurowarfare
2014). and the Limits of International Humanitarian Law,”
46
Requarth, “This Is Your Brain.” Cornell International Law Journal 41 (2008): 194-196.
11 Space & Defense

than mumbo jumbo to prosper in the closed off 2002. The chemicals were intended to put the
world of black projects.50 Chechen terrorists to sleep, which also
accidentally killed 128 hostages (out of over eight
The reality of secret nonlethal weapons is hundred) because of a delayed and wrong medical
probably more complex. Regardless of what may emergency response.52
or may not exist at the present time, there is
clearly a potential for future neuroscience-based Nevertheless, researchers have made the claim
nonlethal weapons that could be best described as that biochemical calmatives and malodorants
‘neuroweapons’ (sometimes referred to as ‘RF could play an important role in future conflicts as
weapons’, ‘psychotronic weapons’, or ‘influence a nonlethal technique and could provide a
weapons’). Robert McCreight suggests the humanitarian alternative to the use of lethal
following definition: “Neuroweapons are intended force.53 Militaries around the world have shown
to influence, direct, weaken, suppress, or interest in biochemical incapacitating agents for
neutralize human thought, brainwave functions, counter-insurgency and counterterrorism
perception, interpretation, and behaviors to the operations.54 Biochemical incapacitants could be
extent that the target of such weaponry is either dispersed from the air or covertly introduced into
temporarily or permanently disabled, mentally the water and food supply to assist in winning ‘the
compromised, or unable to function normally.”51 hearts and minds’ and in neutralizing various
These weapons generally target the human brain threats within a population. This is in principle a
and the central nervous system; they can impact very old idea that goes back at least to 1949 when
on mental and emotional states, mental capacity ‘psychochemical warfare’ was proposed by Army
and response times, and potentially higher Chemical Center scientist L. Wilson Greene.55
cognitive functions supporting thought, There could be a range of new
perception, memory, and learning. These effects neuropharmaceuticals under development that
could be achieved through a variety of means: could produce relatively predictable behavioral
biochemical agents, directed energy weapons effects and could prove suitable even for large
(DEW), and even information/software (going area psychochemical warfare attacks.
beyond normal PSYOPS).
One biochemical agent that seems to have caught
Biochemical Agents the interest of the military is the neurohormone
Most of the publicly available information about oxytocin, which is naturally produced by the brain
offensive neuroweapons currently relates to the and stimulates love or trust. Oxytocin could be
potential use of biochemical agents as used for manipulating adversaries into
incapacitants and potentially for otherwise (temporarily) trusting us and thereby reduce the
influencing the behavior of an adversary. While
chemical and biological warfare are 52
internationally outlawed, there are several legal David A. Koplow, Non-lethal Weapons: The Law
gaps that could allow the usage of biochemical and Policies of Revolutionary Technologies for the
Military and Law Enforcement (Cambridge:
neuroweapons in specific contexts. A frequently Cambridge University Press, 2006), pp. 100-112.
cited case is the use of the opioid fentanyl by the 53
Martin Furmanski, “Historical Military Interest in
FSB during the Moscow theater siege in October Low-Lethality Biochemical Agents: Avoiding and
Augmenting Lethal Force,” in Alan M. Pearson, Marie
Isabelle Chevrier and Mark Wheelis, Incapacitating
50
Steven Aftergood, “The Soft-Kill Fallacy,” The Biochemical Weapons (Plymouth, UK, Lexington
Bulletin of Atomic Scientists (September-October Books, 2007), pp. 35-66.
54
1994): 40-45. Alan Pearson, “Incapacitating Biochemical Agents:
51
Robert McCreight, “Brain Brinksmanship: Devising Science, Technology, and Policy for the 21 st Century,”
Neuroweapons Looking at Battlespace, Doctrine, and Nonproliferation Review 13 (2006): 151-188.
55
Strategy”, in: James Giordano (ed.), Neurotechnology Raffi Khatchadourian, “Operation Delirium,” The
in National Security and Defense: Practical New Yorker, December 17, 2012,
Considerations, Neuroethical Concerns (Boca Raton, http://www.newyorker.com/magazine/2012/12/17/oper
FL: CRC Press, 2014), pp. 117-118. ation-delirium (accessed December 29, 2014).
 Krishnan / Neurowars 12

occurrence of resistance.56 Oxytocin is

commercially marketed as ‘Liquid Trust’. The Although much of DEW research is secret,
U.S. military even investigated the possibility of a especially when it comes to antipersonnel DEWs,
‘gay bomb’, which was meant to distract enemy there are a couple of weapons systems that have
forces by inducing sexual arousal and disrupt been presented to the public and that are
morale.57 Even a ‘zombie bomb’ is imaginable: operational. For example, it is documented that it
the alkaloid drug scopolamine (also known by its is possible to induce motion sickness, nausea,
street name burundanga) can put people exposed disorientation, and seizures through stroboscopic
to it in a highly suggestible state, in which they dazzling lights (‘Bucha effect’), or to produce
lose their free will.58 Bioethicist Jonathan Moreno similar effects using certain acoustic or radio
seems to be also concerned about future ‘brain frequencies.61 The Department of Defense (DoD)
targeted bioweapons’ that could alter behavior. has developed various laser dazzlers that
Genetic bioweapons have been a concern for temporarily blind adversaries. Recently a
some time, but a new nonlethal twist could be company has patented a new type of stun gun that
added to them. Microbiologists have recently overstimulates the brain with bursts of lights and
discovered mind-controlling parasites that can thereby disorients people for up to 20 minutes.62
manipulate the behavior of their hosts according DoD has also developed acoustic weapons such as
to their needs by switching genes on or off.59 the Long Range Acoustic Device (LRAD) that
Since human behavior is at least partially can produce sounds that are still painful at
influenced by their genetics, nonlethal behavior distance of a hundred meters.63 Another example
modifying genetic bioweapons that spread is the Active Denial System (ADS), which uses
through a highly contagious virus could thus be, microwaves of 95 GHz to create a burning
in principle, possible. sensation on the skin over a distance of at least
300 meters and which can force hostile crowds to
Directed Energy Weapons (DEWs) disperse.64
DEWs are no longer the stuff of science fiction,
but have already been gradually transitioned to the Other antipersonnel DEWs are up to now more
battlefield.60 They form a very broad class of hypothetical. A frequently cited declassified Army
weaponry, which includes any type of weapon document that summarizes some research into
that uses energy for producing a weapons effect, biological effects of nonlethal weapons indicates
most importantly lasers, high-powered that microwaves could be used for transmitting
microwaves (non-nuclear EMP), high energy sounds directly into brains (the so-called ‘Frey-
radio-frequency weapons, and also sound or effect’) or for causing pain or death when the
acoustic weapons. brain is targeted due to the thermal effect of
microwaves.65 Jonathan Moreno also claims:
56
“Electromagnetic waves may be used to disrupt an
Giordano and Wurzman, “Neurotechnologies as
Weapons in National Security and Defense,” p. 59.
57 61
“U.S. Military Pondered Love Not War,” BBC News Timothy Thomas, “The Mind Has No Firewall,”
Online, January 15, 2005, Parameters (Spring 1998): 84-92.
62
http://news.bbc.co.uk/2/hi/4174519.stm (accessed Valerie Ross, “‘StunRay,’ a Light Weapon that
October 25, 2014). Overstimulates the Brain,” Discover Magazine, April
58
Jose de Cordoba, “In Colombia, the Drug 5, 2011,
Burundanga Is Street Thugs’ Weapon of Choice,” Wall http://blogs.discovermagazine.com/sciencenotfiction/2
Street Journal (July 7, 1995): 1. 011/04/05/stunray-a-light-weapon-that-overstimulates-
59
Carl Zimmer, “Parasites Practicing Mind Control,” the-brain/#.VKQxQ3stFZ4 (accessed December 29,
The New York Times (August 28, 2014), 2014).
63
http://www.nytimes.com/2014/08/28/science/parasites- Juliette Volcler, Extremely Loud: Sound as a
practicing-mind-control.html (accessed December 29, Weapon (New York: The New Press, 2013), p. 104.
64
2014). Moreno, Mind Wars, p. 176.
60 65
John Antal, “Phasers on Stun: A Status Report on U.S. Army, “Bioeffects of Selected Nonlethal
Directed Energy Weapons Programmes,” Military Weapons,” http://www.metatexte.net/docs/index-
Technology 7 (2011): 66-73. 6.html (accessed January 2, 2015).
13 Space & Defense

enemy soldier’s nervous system, to cause epileptic of internal organs, control behaviour or even drive
seizures, or to warm their body fluids as though victims to suicide.”71 In the future it might be
they were inside a microwave oven.”66 In the possible to influence moods and mental capacity
1980s animal experiments with directed energy of people in a larger geographic area using the
weapons have shown promise in terms of electromagnetic spectrum, and thus induce
affecting mental states (changing EEGs) and passive, peaceful, riotous, or any other desirable
behavior.67 The possibility of radio frequency behavior.
(RF) weapons that target the brain has been
discussed more openly back in the 1980s. Information/ Software Based Neuroweapons
References to them still appear in a few military Not all neuroweapons need to be of a physical
publications and declassified documents, which nature – some might just consist of information
suggests that research into this technology that is designed to manipulate behavior or there
continues.68 Analyst James Dunnigan claimed that could be software that hacks neural devices or
there “are radio transmitters that jam and short- implanted chips. DARPA has within its Biological
circuit the human nervous system. This Technologies Office a neuroscience-based project
temporarily disables people the radio beams are called Narrative Networks, which aims “to
aimed at.”69 understand how narratives influence human
cognition and behavior, and apply those findings
Microwaves could also be used for inducing in international security contexts.”72 The context
sensory hallucinations over distance. For example, for national security is to understand why certain
a ‘voice-of-good weapon’ that projects voices narratives are believed and others not and how
directly into the heads of individuals in support of narratives can support terrorism. The methods
PSYOPS could be possible and has been referred include research into how the brain responds to
to on a U.S. Army website.70 It has been reported certain narratives and the development of
in the press that “previous research has shown that computer models of how narratives affect
low-frequency waves or beams can affect brain individuals and social networks.
cells, alter psychological states and make it
possible to transmit suggestions and commands A related effort is the Minerva Initiative, which
directly into someone’s thought processes. High “seeks to build deeper understanding of the social,
doses of microwaves can damage the functioning cultural, and political dynamics that shape regions
of strategic interest around the world.”73 Another
66
Jonathan Moreno, Undue Risk: Secret State project is the Sentient World Simulation, which
Experiments on Humans (New York: W.H. Freeman & can simulate the behavior of entire societies and
Co., 2000), p. 289. thereby enable wargaming of PSYOPS.74 DARPA
67
Douglas Pasternak, “Wonder Weapons: The
Pentagon’s Quest for Nonlethal Arms is Amazing,”
U.S. News and World Affairs (June 29, 1997): 38-46.
68 71
E.g., Paul E. Tyler, “The Electromagnetic Spectrum Christopher Leake and Will Stewart, “Putin Targets
in Low-Intensity Conflict,” in David J. Dean (ed.), Foes with ‘Zombie’ Gun Which Attacks Victims’
Low- Intensity Conflict and Modern Technology Central Nervous System,” Daily Mail Online, March
(Montgomery, AL: Air University Press, 1986), pp. 31, 2012, http://www.dailymail.co.uk/news/article-
249-260; Thomas, “The Mind Has No Firewall”; 2123415/Putin-targets-foes-zombie-gun-attack-
Dennis M. Bushnell, “Future Strategic Issues/ Future victims-central-nervous-
Warfare [Circa 2025],” NASA Langley Research system.html#ixzz2DPaQUNBO (accessed January 2,
Center, 2001, pp. 49-50. 2015).
69 72
James F. Dunnigan, Digital Soldiers: The Evolution DARPA, “Narrative Networks,” Biological
of High-Tech Weaponry and Tomorrow’s Brave New Technologies Office/ DARPA,
Battlefield (New York: St. Martin’s Press, 1996), p. http://www.darpa.mil/Our_Work/BTO/Programs/Narra
223. tive_Networks.aspx (accessed October 21, 2014).
70 73
Sharon Weinberger, ‘The Voice-of-God Weapon “The Minerva Initiative,” http://minerva.dtic.mil/
Returns’, Wired Blog, December 21, 2007, (accessed 28 August 2015).
74
http://www.wired.com/2007/12/the-voice-of-go/ T. Cerry and A. Chaturvedi, “Sentient World
(accessed November 6, 2014). Simulation: A Continuously Running Model of the
 Krishnan / Neurowars 14

also funded research in the context of its Social Military Information Support Operations already
Media in Strategic Communications project, intersect heavily with cyber security and cyber
exploring how emotions of users can be operations because of the possibility of
manipulated through social media.75 Ultimately, conducting PSYOPS on and via the Internet. Once
the various information/software initiatives focus neural devices are more commonly used as
on social and behavioral research for computer input and brain stimulation devices
understanding “cultural and political directly connected to computers, they could be
environments…where threats develop.”76 Such hacked just like any other piece of electronics, the
research can potentially be used for the political difference being that it is not just the normal
and psychological subversion of other societies or functioning of an external device that is at stake
for social engineering, which was a concern for but the functioning of a user’s brain. A hacker of a
the older and similar Project Camelot.77 neural device could alter brain waves, moods,
mental state and capacity of the user, and might
A further extension of PSYOPS is the use of even take control of a user’s body through a BCI
sophisticated battlefield illusions to directly to perform an unintended action.80 Such neural
manipulate enemy perceptions. For example, hacking could even permanently ‘rewire’ the brain
DARPA has made $4 million dollars available for of the user or ‘brainwash’ them.
research into how the brain processes sensory
perception information so that perceptions can be Less technologically sophisticated methods of
managed to “confuse, delay, inhibit, or misdirect ‘mind hacking’ are imaginable. Malicious
[the enemy’s] actions.”78 Around the world software might attack the minds of users by
defense establishments are also working on manipulating the flicker rate of the monitor and by
invisibility cloaks and holograms that can make displaying subliminal messages on the screen that
an object disappear or to create a convincing cannot be consciously perceived.81 Although the
illusion of a non-existent object. Enemies might effectiveness of subliminal messages has been
be easily manipulated into surrendering if they often dismissed, neuroscientists have found
saw endless columns of holographically projected indications that subliminals do work in the sense
soldiers marching towards them or divine of somewhat affecting the behavior of people who
apparitions (a ‘Face-of-Allah’ weapon).79 have been exposed to them – at least sometimes.82
It is uncontroversial that the advertising industry
has experimented with subliminals as described in
Real World,” W. Lafayette, IN: Purdue University, Vance Packard’s 1957 book The Hidden
August 22, 2006. Persuaders.83 Subliminal advertising has sparked
75
Ben Quinn and James Ball, “US Military Studied enough concerns to prohibit them in many
How to Influence Twitter Users in Darpa-funded countries, including the United States. The
Research,” The Guardian, July 18, 2014, Russian government has even decided to
http://www.theguardian.com/world/2014/jul/08/darpa- automatically scan media for subliminal messages
social-networks-research-twitter-influence-studies after it was reported in 2002 that a Russian TV
(accessed December 29, 2014).
76
“The Minerva Initiative,” U.S. Department of
station included subliminals in their programming
Defense, http://minerva.dtic.mil/ (accessed September
8, 2015).
77 80
Robert A. Nisbet. “Project Camelot: An Autopsy,” Hedley Leggett, “The Next Hacking Frontier: Your
The Public Interest (Fall 1966): 45-69. Brain?” Wired.com, July 9, 2009,
78
Noah Shachtman, “Darpa’s Magic Plan: ‘Battlefield http://www.wired.com/2009/07/neurosecurity/
Illusions’ to Mess with Enemy Minds,” Wired Blog, (accessed 4 November 2014).
81
February 14, 2012, Thomas, “The Mind Has No Firewall.”
82
http://www.wired.com/2012/02/darpa-magic/ (accessed Gráinne Fitzsimons, Tanya L. Chartrand and Gavan
December 29, 2014). Fitzsimons, “Automatic Effects of Brand Exposure on
79
Sharon Weinberger, “The face of Allah Weapon Motivated Behavior: How Apple Makes You ‘Think
Returns,” Wired.com, May 13, 2008, Different’,” Journal of Consumer Research 35: 21-35.
83
http://www.wired.com/2008/05/the-face-of-all/ Vance Packard, The Hidden Persuaders (New York:
(accessed September 8, 2015). D. McKay Co., 1957).
15 Space & Defense

to manipulate their viewers to keep watching it.84 of society, in order to gain a decisive advantage in
Research has shown that people can emotionally a conflict.
respond to subliminal cues and that this can affect
attitudes and behaviors.85 The danger in Neocortical Warfare
subliminals may not lie in directly causing action, RAND analyst Richard Szafranski proposed in
but in their capability of slowly shifting 1997 the term ‘neocortical warfare’ to describe a
perceptions, attitudes, and beliefs after an new paradigm of war. Szafranski criticized the
extended period of exposure to them. Clausewitzian paradigm for being overly focused
on the need for violence as the main instrument of
THE MIND AS A NEW DOMAIN OF coercion. Szafranski suggests “the intellectual
WARFARE energy consumed by devising newer and better
ways to kill and destroy distracts us from the real
There is little doubt that neuro S/T has object of war: subduing hostile will. Lopping the
numerous military and security applications, but limbs off an enemy’s body, or even precisely
does this amount to any revolutionary change or excising muscles from it, undoubtedly sends a
create a new domain of war? Is neurowarfare just message to the enemy’s brain. Might there not be
an evolution of existing methods of war and other ways to communicate with hostile brains?”89
technologies, or does it actually introduce a new He goes on to further delineate neocortical
quality? Some may argue that psychological warfare from the older paradigm:
warfare goes back to Ancient times and was
already advocated by military theorist Sun Tzu, Neocortical warfare is warfare
who counseled in The Art of War that “[t]o subdue that strives to control or shape the
the enemy without fighting is the acme of skill.”86 behavior of enemy organisms, but
Neurowarfare might be just a refinement of without destroying the organisms.
PSYOPS with some marginal improvements in It does this by influencing, even
this area. However, modern PSYOPS still remains to the point of regulating, the
limited to using communications for influencing consciousness, perceptions and
the “emotions, motives, objective reasoning, and will of the adversary’s leadership:
behavior” of a target audience,87 while the enemy’s neocortical system.
neurowarfare promises something different: direct In simple ways, neocortical
external control of human consciousness through warfare attempts to penetrate
targeted manipulation of the brain. As Robert adversaries’ recurring and
McCreight has argued, “[t]houghts, beliefs, simultaneous cycles of
perceptions, ideas, and behaviors could be made ‘observation, orientation, decision
directly vulnerable to external threat and control and action.’ In complex ways, it
for the first time in human history.”88 If it can be strives to present the adversary’s
achieved, states and other actors will aim to leaders—its collective brain—
dominate ‘neurospace’, bypassing conventional with perceptions, sensory and
military capability and other traditional defenses cognitive data designed to result
in a narrow and controlled (or an
84
Robyn Dixon, “Abusing the Power of Suggestion in overwhelmingly large and
Russian Ads,” Los Angeles Times, August 25, 2002, disorienting) range of calculations
http://articles.latimes.com/2002/aug/25/world/fg- and evaluations. The product of
russtv25 (accessed December 29, 2014). these evaluations and calculations
85
A. Sharma, “Subliminal Perception: Conceptional are adversary choices that
Analysis and Its Rampant Usage in Advertisements and correspond to our desired choices
Music Industry,” Indian Journal of Health and
Wellbeing 6 (2015): 640-643.
86 89
Sun Tzu, The Art of War, Chapter 3. Richard Szafranski, “Neocortical Warfare: The
87
U.S. Army, “Psychological Operations, Tactics, Acme of Skill,” in David Ronfeldt and John Arquilla,
Techniques, and Procedures,” FM-3-05.301: 1.2. In Athena’s Camp: Warfare in the Information Age
88
McCreight, “Brain Brinkmanship,” p. 117. (Santa Monica, CA: RAND, 1997), p. 398.
 Krishnan / Neurowars 16

and the outcomes we desire. A 2012 DoD white paper on ‘Strategic

Influencing leaders to not fight is Landpower’ declared the central importance of the
paramount.90 human domain to all warfare and argued “[w]hat
What Szafranski is calling neocortical warfare is we know and project about the future operating
referred herein as neurowarfare: the manipulation environment tells us that the significance of the
of enemy brains for the goal of subduing their will. ‘human domain’ in future conflict is growing, not
Similarly, Australian defense analysts Chloe diminished.”93 The paper emphasizes the
Diggins and Clint Arizmendi have argued that continued importance of landpower and the
neurowarfare is “about involuntarily penetrating, growing importance of conflicts short of war,
shaping, and coercing the mind in the ultimate where lethal power may not be the most effective
realization of Clausewitz’s definition of war: way to meet U.S. strategic goals. It clearly hints at
compelling an adversary to submit to one’s possibly covert methods of influencing other
will.”91 This goes clearly beyond PSYOPS and societies so that actual warfare becomes
can be aimed at degrading mental capacity, unnecessary.
altering mental states, altering emotions, and
potentially impacting higher cognitive functions A subsection of the human domain that could
of perception, thinking, memory, and learning emerge in the future could be called ‘neurospace’:
(Fig. 1). Neurowarfare is also culturally agnostic the technical interface at which brains and minds
in the sense that people can be influenced at a interact with their environment. Chloe Diggins
level of the brain, potentially bypassing cultural and Clint Arizmendi have argued that neural
factors and peculiarities. interfaces such as neural devices and BCIs could
become ubiquitous and that they could therefore
The Human Domain become targets of cyber attacks:
In recent years the U.S. military adopted the “The possibilities for damage,
concept ‘human domain’, which is added as a destruction, and chaos are very
sixth domain of war apart from land, sea, air, real. This could include
outer space, and cyberspace. The human domain manipulating a soldier’s BCI
comprises ‘human factors’ and the ‘human during conflict so that s/he were
terrain’. Human factors deal with aspects of forced to pull the gun trigger on
human nature and human capability that are friendlies, install malicious code
difficult to measure but that are critically in his own secure computer
important in war and its conduct, namely, culture, system, call in inaccurate
motivation, morale, emotions, training, leadership, coordinates for an air strike, or
and so on. The ‘human terrain’ is “the human divulge state secrets to the enemy
population in the operational environment ... as seemingly voluntarily.”94
defined and characterized by sociocultural, In light of the rapid advances in neuro S/T it no
anthropologic and ethnographic data and other longer seems far-fetched that militaries will seek
non-geographical information.”92 The U.S. Army to dominate neurospace by hacking the human
continues to develop HTS by combining it better brain and by devising new technologies that
with geographic information systems so that harden own personnel against neurowarfare
everybody and all activities can be tracked and attacks. In many respects neurowarfare would be
referenced to a geographic location for better fairly similar to cyber warfare with the exception
situational awareness in the human domain. that attacks are not directed against technical
systems and networks, but against biological
cognitive systems, which may occur through some
90
neuro-cyber interface or BCI and which would
Ibid.: 404. aim to steer consciousness. Some researchers have
91
Diggins and Arizmendi, “Hacking the Brain.”
92
J. Kipp, L. Grau, K. Prinslow, and D. Smith, “The
Human Terrain System: A CORDS for the 21st 93
U.S. DoD, “Strategic Landpower: Winning the Clash
Century,” Military Review (September-October 2006): of Wills,” White Paper, November 2012, p. 5.
94
9. Diggins and Arizmendi, “Hacking the Brain.”
17 Space & Defense

even suggested the creation of an ‘Internet for or otherwise neutered.98 This obviously creates the
minds,’ thereby creating a ‘noosphere’ that could possibility of creating a system of high-tech
one day form a super-intelligent hive mind.95 repression, where in the words of writer Aldous
Combat in neurospace would become a struggle Huxley “a method of control [could be
over the formation and direction of collective established] by which a people can be made to
consciousness. What follows in the final section is enjoy a state of affairs by which any decent
brief discussion of key strategic problems related standard they ought not to enjoy.”99
to neurowarfare.
Offensive neurowarfare would be aimed at
Approaches to Neurowarfare manipulating the political and social situation in
In principle, neurowarfare can be waged another state. It could alter social values, culture,
defensively and offensively. In a defensive popular beliefs, and collective behaviors or
function neurowarfare may be used to suppress change political directions, for example, by way
conflicts before they can break out. A potentially of regime change through ‘democratizing’ other
hostile society may be calmed and hostile societies – a complaint that is frequently heard
attitudes or perceptions adjusted accordingly. For from Russia.100 A Special Operations Command
example, defense analyst Henrik Friman has White Paper claims “Russia, China, and Iran
pointed out, perceptions of winning and losing are currently conduct political warfare activities to
central to all forms of warfare. So if one could further their individual goals” and suggests a
somehow manipulate enemy leaders into “strategy enabling the U.S. to influence local
believing that they have won, they would struggles in a positive direction” should be
terminate hostilities before they have actually developed.101 However, offensive neurowarfare
gained the advantage they originally sought or could also mean collapsing adversarial states by
they may never see the need for resistance in the creating conditions of lawlessness, insurrection,
first place.96 In an operational environment, where and revolution, for example, by inducing fear,
“[t]he most compelling future defense-relevant confusion, or anger. Adversarial states could be
shocks are likely to be unconventional,” the destabilized using advanced techniques of
importance of managing perceptions of potentially subversion, sabotage, environmental modification,
hostile populations grows.97 and ‘gray’ terrorism, followed by a direct military
attack.102 As a result, the adversarial state would
Occupied populations could be more easily not have the capacity to resist the policies of a
pacified and incipient insurgencies could be more covert aggressor. Neurowarfare could take down a
easily suppressed before they gain any traction.
Calmatives could be put into the drinking water or
populations could be sprayed with oxytocin to 98
make them more trusting. Potential terrorists may Sharon Weinberger, “Mind Games,” The Washington
be detected using brain scans and then chemically Post, January 14, 2007,
http://www.washingtonpost.com/wp-
dyn/content/article/2007/01/10/AR2007011001399.htm
l (accessed September 8, 2015).
99
Aldous Huxley, “Interview with Aldous Huxley,”
95
George Dvorsky, “How Much Longer Until Berkeley Language Center, March 20, 1962,
Humanity Becomes a Hive-Mind?” IO9 Magazine, http://www.informationclearinghouse.info/article31319
March 15, 2013, http://io9.com/how-much-longer- .htm (accessed September 8, 2015).
100
until-humanity-becomes-a-hive-mind-453848055 Andrew Korybko, Hybrid Wars: The Indirect
(accessed August 29, 2015). Approach to Regime Change (Moscow: Institute for
96
Henrik Friman, “Perception Warfare,” Swedish Strategic Studies and Predictions, 2015).
101
National Defense College: Stockholm, Discussion U.S. Special Operations Command, Counter-
Paper. Unconventional Warfare, White Paper, September 26,
97
Nathan Freier, Known Unknowns: Unconventional 2014, p. 12.
102
‘Strategic Shocks’ in Defense Strategy Development S.G. Chekinov and S.A. Bogdanov, “The Nature
(Carlisle Barracks, PA: US Army War College and Content of a New-Generation War,” Military
Strategic Studies Institute, 2008), p. 14. Thought 4 (2013): 19-20.
 Krishnan / Neurowars 18

strategic competitor permanently without nuclear one can argue that covert mental coercion would
war and the risk of devastating nuclear retaliation. violate human dignity and by extension human
rights.106
Targeting
Like cyber warfare bypasses the battlefield, Deterrence
neurowarfare bypasses the state altogether and How can we deter neurowarfare attacks?
might target individual civilians (political leaders), Deterrence can be defined as “the use of threats to
societal subgroups, or entire societies. As a result, dissuade an adversary from initiating an
the traditional distinction between combatants and undesirable act.”107 Its success depends on two
noncombatants may become meaningless. There factors: the threat needs to be clearly
is already a legal debate over the question whether communicated to the adversary and secondly, the
and under what conditions civilians can be threat needs to be credible. The credibility of the
targeted with nonlethal weapons, for example, in threat again depends on two factors, namely, the
the context of counterterrorism and capability of the coercer to carry out the threat and
counterinsurgency operations.103 This debate is the likelihood that the threat will actually be
bound to intensify once neuroweapons mature. carried out when the undesirable act occurs.

A further complication with respect to ‘Neurodeterrence’ can have two meanings: 1)

noncombatant targeting arises from the tendency deterrence based on insights gained from neuro
that neuroweapons may be employed covertly S/T and 2) deterrence with neuroweapons or
without the target of the attack ever being aware against neurowarfare. In the first meaning,
of the attack.104 A neurowarfare attack may not neurodeterrence is clearly possible: neuroscience
even cause any physical harm to a person can gain great insights into foreign cultures and
subjected to it and may in this respect be akin to how S/T affects brain functions and decision
targeting civilians with propaganda, however, making as pointed out by the NRC study.108 In this
with more drastic and immediate effects. Enemy sense, neuroscience can help understand the true
leaders could be targeted to degrade their ability motivations of an opponent in order to find a
to make sound decisions or to steer their decisions punitive strategy that would most strongly
into a particular direction. Individuals may be influence an adversary’s behavior.109 Secondly,
driven insane and manipulated into random acts of nations will want to deter the use of neurowarfare
violence. Societal subgroups may be manipulated against them, or they might use neuroweapons for
into rising against their government, and whole deterrence more generally as part of their defense
societies may be thrown into political turmoil and posture.
chaos.
Currently, there are some key problems with
While such methods of war seem intuitively deterring a possible neurowarfare attack by an
objectionable from an ethical point of view, they adversarial state. A threat may be communicated
increasingly represent the current reality of in secret using diplomatic channels saying that if
‘hybrid warfare’, ‘political warfare’, and other neuroweapons are used by the adversarial state it
forms of societal destabilization that are being will produce a certain unfavorable response. The
employed with great effectiveness by several
major nations.105 There is currently no legal 106
J.C. Bublitz and R. Merkel, “Crimes against Minds:
protection against mind manipulation, although On Mental Manipulations, Harms and a Human Right
to Mental Self-Determination,” Criminal Law and
Philosophy 8 (2014): 51-77.
103 107
John W. Lango, “Nonlethal Weapons, L. Freedman and S. Raghavan, “Coercion,” in P.D.
Noncombatant Immunity, and Combatant Williams, Security Studies: An Introduction (London:
Nonimmunity: A Just War Theory,” Philosophia 38 Routledge, 2008), p. 217.
108
(2010): 475-497. NRC, Emerging Cognitive Neuroscience and
104
McCreight, “Brain Brinkmanship,” p. 117. Related Technologies, p. 9.
105 109
U.S. Special Operations Command, Counter- Canna, “Leveraging Neuroscientific and
Unconventional Warfare, p. 3. Neurotechnological Developments,” pp. 3-4.
19 Space & Defense

problem is that unless the public is made aware difficult to define and regulate since both methods
that an invisible or indirect attack with of war could be generally conducted covertly, are
neuroweapons against a state’s leader or difficult to attribute, and often cause no visible
population has occurred, it will not support any effect or damage. Up to now cyber war has only
open punitive action against the aggressor. The been able to produce a limited degree of societal
response would therefore have to be limited to disruption by making targeted web services
some covert action, possibly a response in kind, temporarily unavailable and by causing financial
attacking the minds of the adversary’s leaders and damage.
population, which risks escalation. Furthermore,
secret weapons would unlikely deter an aggressor However, cyber warfare is still seen as being
for the simple reason that capabilities have to be potentially able to bring a nation to its knees
demonstrated in order to make a threat credible. through sophisticated attacks against critical
Secret military capabilities have little deterrence infrastructure such as the electricity grid, mass
value. transportation systems, and stock markets. For this
reason an emergency conference-call system that
Unfortunately, there are few incentives for any includes all key cyber war decision-makers has
nation that succeed in developing neuroweapons been set up for the event of a major cyber attack
to openly declare that they have them and might on the nation, including a dedicated emergency
use them. Such a declaration would be communications line from Washington to
counterproductive for several reasons: the Moscow.112 The authority for engaging in
declaration might spark a neuroscience arms race offensive cyber operations outside of an armed
as more powers would seek these capabilities, the conflict rests with the President, which again
advantage of surprise would be lost, and other indicates that cyber warfare activities are indeed
states may find effective countermeasures. Not considered ‘war’ and not merely an extension of
surprisingly, many states have kept their research espionage that does not require such
into potentially revolutionary nonlethal weapons authorization.113 The rationale for these
secret from the public for decades.110 The result restrictions for offensive cyber operations is based
may be that governments adopt by default an on the risk of unwanted escalation and the risk of
opaque posture with respect to their neurowarfare unintended large-scale collateral damage, which
capabilities, which could potentially result in a would also apply to neurowarfare and other
failure of deterrence and subsequent disaster. methods of subversion.
Some nations may be able to use a perceived
capacity for developing neuroweapons as leverage Currently, arms control agreements do not cover
in international relations, getting concessions from neuroweapons, as the technology could fall in
much more powerful states.111 between the CTC and BWC.114 The use of
neuroweapons might be treated similarly to cyber
Threshold to War warfare activities and could be correspondingly
There is a common problem with respect to all restricted, both domestically and internationally.
nonlethal approaches to warfare, be it cyber A ‘no first use’ doctrine might make sense with
warfare, economic warfare, financial warfare, or respect to offensive neurowarfare. Governments
ideological subversion, and that is the question
under what circumstances the threshold to war has 112
Shane Harris, @War: The Rise of the Military-
been crossed and when a kinetic response to the Internet Complex (Boston, MA: Houghlin Mifflin
nonlethal attack could be justified. Neurowarfare Harcourt, 2014), p. 60.
113
directed against enemy leaders, enemy forces, and David E. Sanger and Thom Shanker, “Broad Powers
an enemy’s society could be conducted in Seen for Obama in Cyberstrikes,” The New York
peacetime or outside a declared armed conflict. Times, February 3, 2013,
Just like cyber warfare, neurowarfare is inherently http://www.nytimes.com/2013/02/04/us/broad-powers-
seen-for-obama-in-
cyberstrikes.html?pagewanted=all&_r=0 (accessed
110
Pasternak, “Wonder Weapons.” December 12, 2014).
111 114
McCreight, “Brain Brinkmanship,” p. 121. Requart, “This Is Your Brain.”
 Krishnan / Neurowars 20

and other organizations also would be well-

advised to think about effective ‘neuro-defenses’
that can protect leaders, personnel, and society at
large from sophisticated attacks on their minds,
including their perception, emotions, and
consciousness. Unfortunately, the great secrecy
surrounding neuroweapons can be detrimental, as
it could lead to underestimating a very real and
growing threat. So one can ask the question,
“Should we risk waiting until the tangible first
evidence of neuroweapons research has landed on
the front page of our major newspapers and CNN
[before we start thinking about the threat]?”115
Governments need to make it clear under what
conditions they would use neuroweapons and how
a neuroweapons attack by a foreign power would
be answered. In short, a neurowarfare doctrine is
needed and should be developed before
neurowarfare becomes a reality and a tangible
threat.

CONCLUSION

Neuroscience research will have a substantial

impact on warfare and security in numerous ways,
ranging from the enhancement of personnel, the
improvement of strategic intelligence, new
screening devices that can detect hostile intentions
or guilty knowledge, thought-controlled weapons,
and offensive neuroweapons that can directly
influence mental capability, perception, emotions,
and thoughts of people. The sum total of the
military applications of neuro S/T can be called
neurowarfare, and it may become a distinctive
domain of warfare in its own right. Ultimately,
there is no higher valuation in war than subversion
of the enemy’s mind. If this can be achieved
through targeting the enemy’s brain directly, it
would be the most powerful weapon that has ever
been devised by humanity. Considering the
dangers of neuroweapons and the prospect of
governments and terrorist groups secretly
wielding neuroweapons against individuals,
groups, or society in pursuit of strategic goals
within a decade or so, it is time to think seriously
about how to protect leaders, government
personnel, and society at large – and about how
neurowarfare can be governed.

115
McCreight, “Brain Brinksmanship,” p. 125.
21 Space & Defense

Figure 1 (Source: Author).

The Spectrum of Neurowarfare

Technique Target Objectives

Neurowarfare Manipulation of the Attack on consciousness  Directly control human

brain behaviour
 Insert/ manipulate thoughts,
perceptions, dreams
 Manipulate emotions
Attack on mental  Degrade cognitive functions
capacity  Interfere with perception
 Alter mental states
Predictive Brain functions/  Steer society at large
algorithms, consciousness  Influence individual or
simulations, brain collective behaviour
imaging  Predict threats/
developments/ behaviours
 Access memory
 Deception detection

PSYOPS Communication Attack on perception  Influence behaviour

(mass media,  Influence beliefs
Internet)  Influence perceptions
 Influence emotions
 Article

Brazil Space: Military Dependency and the Case of the Geostationary

Satellite of Defense and Strategic Communications

Gills Vilar Lopes

In Brazil, there has been no transition model of space capabilities promoted by the military sphere
(especially the Brazilian Air Force) for nurturing the civil one (Brazilian Space Agency). Drawing upon
official documents and legislation as primary sources, the case study of the Geostationary Satellite of
Defense and Strategic Communications (SGDC) is analyzed in light of the space strategic sector. Main
factors that impede the PEB are related to military-technological dependence and poor resource
management, with draconian budget cuts and projects canceled before having achieved realistic
milestones.
the Brazilian Air Force (FAB) – continued to play
Brazil is the largest economic power in a central role in Brazil’s space activities.
South America and has one of the world’s best
places to launch rockets, the Alcântara Launching With the Brazilian Space Agency’s (AEB’s)
Center (CLA).1 But when it comes to space creation in 1994, it was also expected that PEB
operations via own satellites, it is Argentina that civil programs would gradually become more
2
leads in the subcontinent. Why, then, does the autonomous, and expertise in space accumulated
Brazilian Space Program (PEB) not take off? 3 during the military regime would transfer to the
Answering that question is the main goal of this Agency. In practice, however, PEB languished in
article. a comprehensively dependent relationship – in
Many believed that, after Brazilian military rule technological, operational, and human resource
(1964-1985) and the end of the Cold War, the terms – with respect to FAB. The Brazilian logic
PEB would be demilitarized, as had happened of refusing to ween and strengthen their civil
with other important programs and organs of the space activities goes against the current world
regime such as the Brazilian secret service. trend: main counterexamples are the National
However, over the years, the military – especially Aeronautics and Space Administration (NASA),
the European Space Agency (ESA), and
Argentina’s National Commission for Space
1
Gills Vilar Lopes is finishing his Ph.D. at the Federal Research (CONAE) here in South America.
University of Pernambuco (UFPE), Brazil. He
currently serves as a Pró-Estratégia research fellow Furthermore, an oft-made assertion, both by the
(CAPES & Presidency of the Republic’s Secretariat of National Policy for Development of Space
Strategic Affairs, Brazil). Earlier versions of this article Activities (PNDAE) and the PEB itself, is of the
– in Portuguese and English – were published in the
Brazilian Army’s Meira Mattos Collection: Military
need to synchronously array and connect private,
Science Review, available at academic, and governmental sectors in order to
http://www.eceme.ensino.eb.br/meiramattos/index.php/ attain space excellence. But, as this article shows,
RMM/article/view/505. The author thanks journalist that is the theory, or, in legal terms, only the
Kaiser David Konrad for his interview. programmatic norm. The reality is that one of the
2
Alejandro G. Belluscio, “ARSAT-2: Argentina major problems hindering the development of
consolidates as Latin American satellite leader”, NASA Brazilian space activities is precisely the fact that
SpaceFlight, 21 September 2015, state policy to boost important variables such as
http://www.nasaspaceflight.com/2015/09/arsat-2- domestic industry for this sector practically does
argentina-consolidates-latin-american-satellite-leader not exist. Despite some tax exemptions, which are
(accessed 22 September 2015).
3
Formally and legally, the PEB is called National
directed to the very few private Brazilian
Program of Space Activities (PNAE). See: Brazil, companies operating in the space sector, the
National Program of Space Activities (PNAE) current political and economic crisis facing the
(Brasília: Ministry of Science, Technology and country can bring devastating consequences for
Inovation, 2012), 9. PEB.
23 Space & Defense

international environment, guiding documents of

This work examines the claim that even after the Brazilian defense and space policies lack, at many
end of both the Cold War and military rule, as junctures, a sufficiently Hobbesian view of
well as a broadening of the security concept in international relations.6 A strong hint of liberal
Brazil, there is still no transition model of space institutionalist aspirations lies in the fact that the
capabilities from the military sphere (FAB) to the two main END (National Defense Strategy)
civil one (AEB).4 While the PEB, officially, is promoters were the former Minister of Defense
supposed to synthesize public policy (civil and Nelson Jobim (a non-military politician who was
military), there is no professional esprit de corps congressman, minister of justice, and minister of
that can underwrite the development of the Brazilian Supreme Court) and the then
independent civil space activities. Minister of the Presidency of the Republic’s
Secretariat of Strategic Affairs (SAE) Mangabeira
To corroborate such a thesis, a history of the Unger (a professor of Law at Harvard University).
AEB’s public documents demonstrates strong Indeed, PEB’s directive explicitly encourages a
military dependence for development of Brazil’s space culture in Brazil, and END asserts that
space activities, with a crucial nexus being national defense must not be military-restricted
creation of the strategic space industry – by the subject matter.7
Ministry of Defense. This paper also analyzes the
case of Brazil’s first geostationary satellite. Once THE BRAZILIAN SPACE PROGRAM (PEB)
live, the satellite will produce vital information for & AGENCY (AEB)
both the civil and military fields, providing on the
one hand, Internet access for all Brazilian territory, In order to analyze the Brazilian space
and the other, safer ways to exchange strategic program’s (PEB’s) strengths and weaknesses,
and meteorological information.5 But for all that today, it is essential to understand how the
to happen, the Geostationary Satellite of Defense Brazilian Space Agency (AEB) was created and
and Strategic Communications (SGDC) must the distribution of space competences with other
arrive in space. That is where the AEB comes in. agencies and institutions, mostly military. Eyeing
previous professional schools of the Brazilian
With respect to the Brazilian military sector, it is Navy and Army (1910s), as well as the Brazilian
worth emphasizing that important documents of Air Force’s school for Military Aviation (1941),
the Brazilian Ministry of Defense (MD) – the the PEB has its beginnings in the mid-1950s, with
National Defense Policy (PND), National Defense the creation of the Aeronautics Institute of
Strategy (END), and Defense White Paper Technology (ITA) and the Aeronautics and Space
(LBDN) – rank the space sector as a strategic Institute (IAE), both belonging to Aeronautics
sector for national development. As to the civil Command’s (COMAER’s) Aerospace Science
field, Brazilian legal documents spell out the role and Technology Department (DCTA).8 Still, it
of space activities for development. This paper,
then, illuminates the dialog between civilians and 6
Everett C. Dolman and Henry F. Cooper Jr,
the military and how this relation shaped and “Increasing the military uses of space,” in Toward a
ultimately hindered the Brazilian space program. Theory of Spacepower: Select Essays, edited by
Charles D. Lutes et al. (Washington, DC: NDU Press),
Despite the international context of Brazil space 99-101; Robert L. Pfaltzgraff, “International Relations
and the lingering likelihood of using force in the Theory and Spacepower,” in Toward a Theory of
Spacepower: Select Essays, Edited by Charles D. Lutes
et al. (Washington, DC: NDU Press), 47.
4 7
Barry Buzan, Ole Wæver and Jaap de Wilde, Brazil, PNAE, 8; Brazil, PND e END, 7.
8
Security: a New Framework for Analysis (Boulder: Hermelindo Lopes Filho, Nas asas da história da
Lynne Rienner, 1998), 239; Brazil, Política Nacional Força Aérea Brasileira (Higienópolis: FAAP, [s/d]),
de Defesa (PND) e Estratégia Nacional de Defesa http://faap.br/hotsites/asas-da-
(END) (Brasília: Ministry of Defense, 2012), 13. historia/livreto%20Nas%20Asas%20da%20Hist%C3%
5
Brazil. Defense White Paper (Brasília: Ministry of B3ria%20Da%20For%C3%A7a%20A%C3%A9rea%2
Defense, 2012), 208. 0Brasileira.pdf (accessed 22 September 2015), 20.
 Vilar Lopes / Brazil Space 24

was only with NASA-FAB cooperation in the among other things, national space policy.14
early 1960s that Brazil began to explore space in
earnest.9 Under military rule in Brazil, the PEB As a comparison, Argentina’s space activities
received the ambitious challenge of mastering the followed a quite similar path: Argentina’s
full access-to-space cycle through the Brazilian National Commission for Space Research
Complete Space Mission (MECB) although the (CONAE) was also created in the early 1960s and
initiative was subsequently abandoned without incorporated into the armed forces, and at the
reaching its main goal.10 beginning of the 1990s was recreated as a civilian
body.15 The difference was that CONAE received
Returning to democracy in the late-1980s and growing financial and political investments during
1990s, Brazil tried to deconstruct the whole the 2000s16.
repressive apparatus erected by military rule.
Accordingly, Fernando Collor de Mello’s first Like Argentinian CONAE, Brazil’s space agency
presidential act was extinguishing the main has the overall task of promoting development of
repressive organ of the old regime, the National space activities in the national interest.17 Despite
Information Service (SNI). And his successor, having its head office and forum located in
Itamar Franco, tried to give civilian airs to the Brasilia’s Federal District, AEB is better known
militarized PEB. for using the world famous Alcântara Launching
Center (CLA), which is tied to the COMAER
According to the Brazilian Constitution (1988), it (Aeronautics Command) in the state of Maranhão,
is solely for the Union to legislate over in Brazil’s Northeast Region.18 This base’s
Aerial/Space Law11. On 10 February 1994, using overarching function is to ensure satellite-
this legal premise, President Itamar Franco launching vehicles (SLVs) can be safely sent to
created the AEB, which succeeded the Brazilian space.
Commission for Spatial Activities (COBAE),
which in turn had been linked to the Armed The Agency’s most important project in the SLV
Forces General Staff (EMFA).12 Unlike its area is the Projeto VLS-1, which conveys the
predecessor, AEB sat as a federal, civil, and strategic import of producing a national vehicle of
independent body.13 Originally reporting directly such kind – though for pacific ends.19 Figuring as
to the Presidency of the Republic, within less than one of FAB’s leading projects, it nevertheless
a decade, that institutional bond was transferred to aims to strengthen the national aerospace defense
the Ministry of Science, Technology and
Innovation (MCTI), which was formed to oversee,

14
Ivanil E. Barbosa, Carta aberta do SindCT ao Ministro Brazil, “Law nº 8.854/1994.” Brazil, “Decree nº
Aldo Rebelo (São José dos Campos: SindCT, 4 4.718/2003.” Brazil, “Decre nº 5.886/2006” (Brasília:
September 2015), Presidency, 6 September 2006).
15
http://www.sindct.org.br/files/Carta%20Aberta%20Ald Daniel Blinder, “Argentina Space: Ready for
o%20Rebelo.pdf (accessed 22 September 2015), 1. Launch,” Space & Defense, Vol. 8, No. 1 (Spring
9
Lopes Filho, Nas asas da história, 23. 2015), 34-46.
10 16
Barbosa, Carta aberta, 1. Blinder, “Argentina Space,” 36.
11 17
Brazil, “Federal Constitution” (Brasília: Presidency, Brazil, “Law nº 8.854/1994”; Brazil, “Decree nº
1988). Going further in the juridical field, Space Law is 4.718/2003.”
18
not a novel theme in Brazil; it is listed in the exhaustive Brasil, “Decree nº 4.718/2003.”
19
hall of the traditional Brazilian Universal Decimal The technicians that died in the CLA accident in
Classification of Law. Vide: Doris de Q. Carvalho. 2003 were working exactly at this project. For more
Classificação Decimal de Direito, 4th Ed (Brasília: details: “Acidente em Alcântara começou com
Presidency, 2002), 10, 46. incêndio, diz Comandante”, Folha Online, 23 August
12
Brazil, “Law nº 8.854/1994” (Brasília: Presidency, 2013,
10 February 1994). http://www1.folha.uol.com.br/folha/ciencia/ult306u990
13
Brazil, “Law nº 8.854/1994”; Brazil, “Decree nº 6.shtml (accessed 22 September 2015). Brazil, PNAE,
4.718/2003” (Brasília: Presidency, 4 July 2003). 11.
25 Space & Defense

industry.20 Through VLS-1, the civil and military Command’s DCTA.

spheres coalesce more and more towards a single
purpose: make a satellite and successfully place it There are examples showing how SINDAE
in geostationary orbit, so it can provide across components relate to each other. Although the
Brazil’s regions broadband Internet access and space and defense industries are suffering with
secure military communications.21 Even so, due to high budget cuts, one of the Brazilian projects
sizeable budget cuts in the PEB during 2015, with potential for commercial use is the
VLS-1 runs the risk of being paralyzed. Microsatellite Launch Vehicle (VLM) project, as
a result of the successful partnership between IAE
It is worth noting that AEB is the central body in and the German Aerospace Center (DLR).25
the National System of Space Activities Currently VLM seeks, in the national aerospace
Development (SINDAE)22, being a coordinator of industry, companies able to manufacture the
it and its titular leader.23 This system exists to rocket to put it on the international market and
allow military and private institutions to increase the pace of production. As part of the
participate actively in the development of Academy, the AEB sponsors some programs to
Brazilian space activities. SINDAE comprises encourage relevant space research, including
three formal classes of organs: central, sectoral, scholarships and guided tours.26
and participant.24 Concerning the composition of
that second class – responsible for sector As shown in Figure 1, AEB is SINDAE’s central
coordination and execution of actions contained in organ, and because of that it has in its basic
the PEB – a strong demand for greater dialogue structure a Superior Council, which is the
between the civil and military spheres can be deliberative organ responsible for approving the
perceived in national legislation, the military entry of participants in the system.27 The relation
sphere being represented by DCTA (Aerospace between civil and military spheres is nominally
S&T Department under the Brazilian Air Force). strengthened here. However, despite the fact that
SINDAE’s central organ is an independent civil
Figure 1 presents SINDAE’s composition, by agency, the system’s functioning depends on
which it can be observed that both launching partnership with the military. In this vein, of
centers – at Alcântara and Barreira do Inferno – nineteen representatives who are below the
and the IAE are organs attached to the Air Force President of AEB on the Advisory Board, only
two come from Universities and Industry, and five
20
are related to the military sector. The Ministry of
Luiz Guilherme Sá da Silva, “Indústria de defesa Defense (MD), the former Presidency of the
aeroespacial e os projetos da Força Aérea Brasileira”, Republic’s Institutional Security Cabinet (GSI) –
Revista ADESG, Vol. 267, No. 2 (2012): 4-5.
21 now called Casa Militar – and the commands of
Brazil, Estratégia Nacional de Ciência, Tecnologia e
Inovação (ENCTI): 2012-2015 (Brasília: MCTI, 2012),
Navy, Army and Air Force are also present in
16. SINDAE.28
22
By the 4th article of the Law no 8.854/1994, the
former President Fernando Henrique Cardoso instituted
– by Decree no 1.953/1996 – the Brazilian space system, 25
Sergio Vieira, and Sylvio Guedes, “Crise pode
whose incumbency is to organize the execution of causar perdas irreversíveis na Defesa, dizem
activities aiming at space development in the national especialistas,” Senado Notícias, Brasília, 17 September
interest. See: Adilson da S. Lemos Junior, Implantação 2015,
do Programa Estratégico dos Sistemas Espaciais http://www12.senado.leg.br/noticias/materias/2015/09/
Brasileiro (Rio de Janeiro: ESG, 2014), 16; Brazil, 17/crise-pode-causar-perdas-irreversiveis-na-defesa-
“Law nº 8.854/1994”; Brazil, “Decree nº 1.953/1996” dizem-especialistas (accessed 22 September 2015).
(Brasília: Presidency, 10 July 1996), 26
AEB, “Programas da AEB”,
http://www.planalto.gov.br/ccivil_03/decreto/19 http://www.aeb.gov.br/programas-da-aeb (accessed 22
96/D1953.htm (accessed 22 Setember 2015); Brazil, September 2015).
27
“Decree nº 4.718/2003.” Brazil, “Decree nº 4.718/2003.” Brazil, “Decree nº
23
Brazil, ENCTI, 120. Brazil, PNAE, 7. 1.953/1996.”
24 28
Brazil, “Decree nº 1.953/1996.” Brazil, “Decree nº 4.718/2003.”
 Vilar Lopes / Brazil Space 26

The law responsible for AEB’s creation also (defense) and civil (communications) uses, to be
foresaw the updating of the 1994 National Policy launched in Earth orbit (geostationary) by a space
for Development of Space Activities (PNDAE).29 infrastructure – specifically an SLV launching-
PNDAE incentivizes public-private partnership, center – in order to develop space activities of
including closer exchanges with the military. As strategic value to the Brazilian state and society.
proof, primary directives of PNDAE are rather
interesting: three of them address capacity training By promoting the development of space systems
for strategic technology of dual usage – they and ground infrastructure, PNDAE endeavors to
emphasize employment of space technology in the implement Brazilian space activities like SGDC
solution of problems like security and defense of that can only be put into practice via a national
national territory.30 Also, by accentuating that space program such as PEB, a long-term approach
space activities must necessarily promote national with projects spanning nearly a decade (2012-
development, PNDAE reinforces ambitions laid 2021).33 In order to support ambitions of PEB,
out in documents representing high political Brazil invested an average of R$ 385 million
consensus – the National Defense Policy (PND) (about U$ 96 million) per year in space activities
and the National Defense Strategy (END).31 thru 2012.34 Planned investment over the next ten
years is approximately R$ 900 million (about
PNDAE establishes the following US$ 225 million) per year, an increase of nearly
conceptualizations that are indispensable to 250 percent.35 The SGDC alone is anticipated to
understanding development of PEB: cost R$ 716 million (about US$ 179 million)36.

space systems: devices meant either to In 2012, the fourth version of PEB was
operate in space or to permit space operating of prematurely cast due to the fact that its authors
equipment that will grant access to information or understood the federal government at the time
services; provided salient opportunities to rethink the space
program.37 Among these opportunities was the
space infrastructure: installations, SGDC project. Of course, PEB reality is quite
systems or surface equipment, plus associated different from that provided by laws and official
systems that provide necessary support to documents. PEB maintains very strong
effective operations and usage of space systems; dependence on the military sector to pay for major
projects in space. PEB still suffers from poor
space activities: systematic efforts to
develop and operate space systems, as well as
33
related infrastructure, to grant mankind expansion Brazil, “Decree nº 1.332/1994.”
34
of knowledge about the universe; especially planet As a result of currency fluctuation which is currently
Earth and its atmosphere; and exploring, for in Brazil, the Real-Dollar parity reached in September
employable ends, the availability of these new 2015 the highest rate in its history (1: 4). Because of
devices32 [Emphasis in original, our translation]. this unpredictable variation, it is reported the original
amount in Reais (R$). Brazil, PNAE, 16.
35
Brazil, PNAE, 17.
Figure 2 shows how concepts elaborated by 36
Brazil’s Federal Senate, Em Discussão, Year 3, No.
PNDAE recognize AEB’s role in supporting the 10 (2014),
military space strategic sector. Putting concepts http://www.senado.gov.br/noticias/jornal/emdiscussao/
in Figure 2 to work, the Geostationary Satellite of Upload/201201%20-
Defense and Strategic Communications (SGDC) %20marco/pdf/em%20discuss%C3%A3o!_marco_201
can be defined as a space system of both military 2_internet.pdf (accessed 22 September 2015), 64.
37
The other three are from 1996, 1998 and 2005
(Brazil, PNDAE), 4, 7. Brazil, PNAE, 3. Such
29
Brazil, “Decree nº 1.332/1994” (Brasília: Presidency: statements are echoed by the Brazilian Minister of
8 December 1994). S&T: “the current stage of the country’s development
30
Brazil, “Decree nº 1.332/1994.” has demands for space applications that only a bolder
31
Brazil, “Decree nº 1.332/1994.” set of projects can attend” (Brazil, ENCTI, 66 [our
32
Brazil, “Decree nº 1.332/1994.” translation]).
27 Space & Defense

management and heavy budget cuts.38 Regarding moreover, transcend the partition between civil
the lack of civilian technicians and bureaucrats and military boundaries.42 When the strategy
dedicated to the space program, consider that the documents combine nuclear, cyber, and space
first AEB-sponsored public competition only sectors, then “visualizing the country itself not
occurred in late-2014, i.e., a full twenty years after [any longer] depending on foreign technology is
its creation.39 possible – and having the three forces working in
synthesis, coordinated through monitoring that is
One could hope that the more military space done, too, from space” [emphasis added, our
projects were boosted, the more AEB and PEB translation].43
would also be boosted. But the Brazilian armed
forces have their own Strategic Space Systems Another example of synergy between strategic
Program (PESE), of which AEB is not a part.40 objectives and different actors is the making of the
While implementation of the so-called space Geostationary Satellite of Defense and Strategic
strategic sector engendered by PND and END has Communications (SGDC). Besides this project,
indeed helped PEB and AEB, it also increased the Brazilian airspace control entails dialogue
civil agency’s dependency on the military sector, between space and cyberspace, especially for the
as the next section seeks to demonstrate. modernization of the Air Defense Operations
Center (CODA) and for aircraft upgrades to the
THE (MILITARY) SPACE STRATEGIC new Communication, Navigation and
SECTOR: FAIR WINDS FOR THE Surveillance/Air Traffic Management (CNS/ATM)
BRAZILIAN (CIVIL) SPACE PROGRAM? control system and satellite navigation.44
Although these tasks have special significance for
National Defense was never a pulsating the Brazilian Air Force (FAB), END sets specific
theme in Brazilian political discussions because, goals and milestones for each service in the
as the saying goes, “Defense does not generate Armed Forces.
vote” (“Defesa não dá voto”). In 2005, the first
National Defense Policy (PND) was published, For example, the Brazilian Army must modernize
followed in 2008 by the first National Defense its brigade modules, which requires a broad
Strategy (END) in Brazil’s history. It was the first spectrum of technological means, from the least
time the Brazilian state – not only its government sophisticated to the most advanced means of
– thought in a formal, public, and strategic way communication between land operations and
about defense in the medium and long term. space monitoring.45 This is the first indicator that
the SGDC will serve not only purposes of the
The 2012 versions of PND and END designated FAB, but the other armed forces, too, reinforcing
three sectors as “strategic” to the national defense interdependency of the strategic sectors. The
and development of Brazil: nuclear, cyber, and Brazilian Ministry of Defense, through END,
space.41 These three interlinked strategic sectors, establishes four strategic goals and three strategic
directives to FAB. For space as a strategic sector,
38
For an idea of AEB's annual budget, view the
the first objective and the third directive are
expected and settled values per year in: relevant, respectively, prioritizing aerial
http://www.aeb.gov.br/programa-
espacial/investimentos. Check also a criticism of this (Brasília: Ministry of Defense, 2011),
subject in: Barbosa, Carta aberta. http://www.defesa.gov.br/projetosweb/livrobranco/arqu
39
AEB, “Concurso AEB”, 2014, ivos/apresentacao-trabalhos/artigo-gills-lopes.pdf
http://www.aeb.gov.br/concurso-aeb (accessed 12 (accessed 22 September 2015).
42
September 2015). Brazil, PND e END, 49; Carlos Newton, “Três
40
Lemos Junior, Implantação, 69. setores estratégicos: cibernético, espacial e nuclear,”
41
Brazil, PND e END, 93-7; Gills Lopes, “A Revista ADESG, Vol. 273, No. 2 (December 2012), 6-7.
43
emergência do tema ciberguerra: contextualizando a Brazil, PND e END, 49; Newton, “Três setores
criação do Centro de Defesa Cibernética à luz da estratégicos,” 6.
44
Estratégia Nacional de Defesa.” In: Concurso de Brazil, White Paper, 203.
45
Artigos sobre o Livro Branco de Defesa Nacional Brazil, PND e END, 77.
 Vilar Lopes / Brazil Space 28

surveillance and integrating space activities in remains a crucial factor in international relations,
FAB operations.46 sharply altering the calculus for national defense
and security.52 With this presumption, developing
With respect to the first strategic goal, END SLVs can cause a spillover effect in other policy
counts space as a domain – like its marine, areas as well as branches of the armed forces. This,
terrestrial, and aerial predecessors – so Brazil, in indeed, makes the Brazilian Army’s case; the
order to surveil its national territory and Army is already developing the missile and rocket
jurisdictional waters, will have to rely on its own system ASTROS 2020, costing R$ 1.1 billion
platforms and systems for monitoring.47 Among (about U$ 277 million).53
other projects, here is where the SGDC enters the
picture; in the absence of a one hundred percent Now, since PND and END assign implementation
national geostationary satellite, it is nearly of the strategic space sector to FAB, nothing is
impossible to exert effective surveillance. more logical than having information and
technology sharing among sectors. But in
Besides satellites, END anticipates other kinds of proposing three strategic sectors (nuclear, cyber,
monitoring technologies such as satellite and space) for both defense and national
launching vehicles (SLVs) and intelligence development, the Ministry of Defense assigned
aircraft.48 These strategic tools form a “monitoring each of the three armed services responsibilities
complex” by layers, called the Brazilian for boosting them.54 There are historical and
Aerospace Defense System (SISDABRA), logistical reasons behind this distribution of
administered under the Brazilian Aerospace competencies. For example, the Brazilian Navy
Command (COMDABRA), with the mission of has been developing the nuclear-powered
assuring sovereignty over Brazil’s national submarine project since 1979.55 So nothing is
airspace.49 The development and refinement of more reasonable than having the nuclear strategic
SISDABRA will mark Brazil’s bid for national sector borne by the Navy while the space strategic
autonomy, specifically as it relates to foreign sector goes to the FAB’s stewardship. Residually,
systems such as the U.S. Global Positioning then, the cyber strategic sector was awarded to the
System (GPS).50 Once operative, the SGDC Brazilian Army, which in any case already
should be a key element in SISDABRA. possessed expertise with electronic warfare.

As to its third strategic directive, END states that Figure 3 presents this distribution of roles and
FAB’s organic functions ineluctably depend on missions, identifying the three strategic sectors
monitoring via space. In this sense, development according to END. In implementing the national
of national SLVs shall serve as a broad instrument, defense strategy, however, there were two major
not only to support foreign space programs but to surprises, namely, the economic crisis and the
develop national technology for the design and relative lack of civil or business interest in the
manufacturing of missiles.51 space area.56

In geopolitical terms, the Ministry of Defense 52

Brazil, White Paper, 38.
accepts that the possession of long-range missiles 53
Brazil, White Paper, 200. For more information
– derived from the use of rockets, for example – about ASTROS 2020, visit:
http://www.epex.eb.mil.br/index.php/projetos/astros-
2020.html.
46 54
Brazil, PND e END, 85-91. Brasil, White Paper, 68-9; Newton, “Três setores
47
Brazil, PND e END, 85. estratégicos”, 7.
48 55
Newton, “Três setores estratégicos”, 7. “Submarino nuclear brasileiro: Quo Vadis?”, Poder
49
Brazil, PND e END, 86. Brazil, “Decreto-Lei nº Naval, 29 December 2008,
1.778/1980” (Brasília: Presidency: 18 March 1980), http://naval.com.br/blog/destaque/submarinos/submari
http://www.planalto.gov.br/ccivil_03/decreto-lei/1965- no-nuclear-brasileiro-quo-vadis (accessed 22
1988/Del1778.htm (accessed 22 September 2015). September 2015).
50 56
Brazil, PND e END, 86. There are some rare exceptions, such as Embraer, the
51
Brazil, PND e END, 91. Grande ABC Local Productive Arrangement (APL) of
29 Space & Defense

With regard to the political and economic crisis, it CASE STUDY: THE MAKING OF THE
can be said that its harbinger occurred in late 2014 GEOSTATIONARY SATELLITE OF
– an election year in Brazil – with serious DEFENSE AND STRATEGIC
budgetary consequences in mid-2015. This caused COMMUNICATIONS (SGDC)
many investment losses and subsequent
cancellation of governmental programs and This case study of the making of Brazil’s
projects, including strategic ones. first geostationary satellite has two main
objectives, namely: i) to demonstrate the need for
For example, budget cuts in the Defense Ministry a fully national satellite for Brazilian strategic
were 25%.57 Specifically in regard to PEB, the communications; and ii) to support the main
most important sign of the economic crisis hypothesis that there is no functioning transition
appeared in July 2015, when the Federal model of space capabilities from the military to
Administration waivered a ten-year agreement civil sphere in Brazil.
with Ukraine, extinguishing thereby the binational
company Alcântara Cyclone Space (ACS), which Brazil decided to manufacture the Geostationary
was intended “to launch satellites aboard Satellite of Defense and Strategic
Ukrainian Cyclone-4 rockets from Brazil’s Communications (SGDC) in 2011 in order to
Alcântara spaceport...”58 It is noteworthy that the address the national security demand for strategic
Brazilian-Ukraine partnership had already – civil and military – communications.61 As its
consumed R$ 1 billion (about U$ 250 million).59 name foretells, it is a geostationary satellite, that
is to say, its operating orbit – navigating above
Besides its own organizational budget cuts, PEB Earth’s equator – is almost 36,000 km.62 This kind
had to adjust to space strategic sector cuts because, of satellite contrasts with the so-called low earth
as seen, the interrelationship is very close. orbit ones on altitudes between 500km and
However, among space strategic sector priority 800km.63
projects – SLVs; satellites; satellite-based
communications, command and control According to France and Sellers, a general rule for
technologies; and satellite-driven geographic this type of satellite is that geostationary
information systems – if there is one that should constellations employ three or more satellites with
not be canceled amid the crisis, it is precisely the ground infrastructure and cross-linking to
SGDC. This is justified by reasons analyzed in the accomplish global coverage.64 This is not the case
following section.60 for SGDC as it is only one satellite that can map a
portion of the globe (across the longitudinal range
of Brazil) without the process of triangulating.
This ends up being one of the SGDC’s best
Defense (http://www.industriadefesaabc.com.br) and advantages: provision of independent strategic
the Brazilian Association of Defense and Security and civil communications for Brazil without the
Industries Materials – Abimde cost of a full constellation borne by other space
(http://www.abimde.org.br).
57
Roberto Godoy, “Corte na Defesa é a metade do
powers.
previsto,” O Estado de S. Paulo, 6 July 2015,
http://politica.estadao.com.br/noticias/geral,corte-no- In light of PEB, the SGDC was a structuring and
ministerio-da-defesa-e-a-metade-do-previsto,1701021 mobilizing project the implementation of which
(accessed 22 September 2015). was on schedule until the last day of 2014 when it
58
Brazil, “Decree nº 8.494/2015” (Brasília: Presidency:
24 July 2015). “Brazil’s space programme: ten, nine,
61
tem,” The Economist, São José dos Campos, 8 Aug. Brazil, PNAE, 9.
62
2015, Federal Senate, Discussão, 64.
63
http://www.economist.com/news/americas/21660572- Newton, “Três setores estratégicos,” 7.
64
rocket-science-hard-rocket-diplomacy-harder-ten-nine- Martin E. B. France and Jerry Jon Sellers, “Real
ten (accessed 22 September 2015). constraints on spacepower.” In: Toward a theory of
59
Barbosa, Carta aberta, 1. spacepower: select essays, Edited by Charles D. Lutes
60
Brazil, PND e END, 93. et al. (Washington, DC: NDU Press, 2011), 91.
 Vilar Lopes / Brazil Space 30

was postponed to 31 December 2016.65 In 2012, entities: Telebras, MD, MC, AEB, and the
all forty geostationary satellites operating in National Institute for Space Research (INPE).71
Brazil were actually foreign. Brazilian enterprises Telebras, beyond presiding over the executive
were limited to supplying ground equipment and group, is also responsible for running, jointly with
antennas for control stations serving television, MD, the SGDC operation after its launch while
telephony, tracking, and broadband Internet, as AEB – specifically its Satellite Directorate,
well as military activities and image generation.66 Applications and Development – will retain
The independent creation of a satellite with intellectual property rights on the satellite’s
strategic attributes – combined with the custom technology transfer.72
that international technological cooperation is
usually not marked by bountiful sharing of For SGDC’s manufacturing per se, a new
valuable information – would benefit Brazil, enterprise called Visiona Tecnologia Espacial
granting it autonomy in monitoring its sovereign emerged in 2012 from the cooperation between
territory.67 Telebras and Embraer Defense and Security.73
Once again, the civil-military component is
Though the Brazilian Space Agency (AEB) highlighted here in order to demonstrate how
foresees the possibility of international Brazilian space aspirations are indeed dependent
cooperation, it is only plausible by means of upon high profile projects connected to the
working through the Ministry of Foreign Affairs military and national defense.
and taking into account MCTI (Ministry of
Science, Technology & Innovation).68 For As shown in Figure 4, the public/government
example, one of the main AEB initiatives for sector – represented by Telebras – oversees
international cooperation was the Brazilian- arrangements with private enterprise to implement
Ukranian enterprise ACS, demonstrating that SGDC’s manufacturing. The present idea is that
international cooperation is – or was until July Brazil’s Defense Industrial Base (BID) will be
2015 – vital to the development of PEB, with or stimulated and rewarded in the production of
without SGDC.69 defense products (PRODE).74 Indeed, it is a

As to management, the SGDC project deals with 71

Attached to MC, the “new” Brazilian
two organs: the steering committee and the Telecommunications S.A. (Telebras) is a mixed
executive group. The former is led by Brazil’s economic society reinstated in 2010, after being
Ministry of Communications (MC) and includes privatized in 1998. INPE “is fit to do scientific
the Ministry of Defense (MD) as well as MCTI.70 researches, technological development, operational
The executive group is comprised of the following activities and the training of human resources in the
fields of Space and Atmosphere Sciences, Earth
Observing, Weather Forecast and Climate Studies, and
65
Brazil, ENCTI, 119; Brazil, PNAE, 12. Brazil, Space Technology and Engineering.” See: Brazil,
“Decreto nº 7.769/2012” (Brasília: Presidency, 28 June “Decree nº 5.886/2006,” (Brasília: Presidency, 2006),
2012), http://www.planalto.gov.br/ccivil_03/_Ato2011- Art. 21 [Our translation]).
72
2014/2012/Decreto/D7769.htm (accessed 22 Brazil, ENCTI, 67-68. Brazil, “Decree nº
September 2015); Brazil, “Law nº 12.598/2012” 4.718/2003”, Art. 13, II.
73
(Brasília: Presidency, 21 March 2012); Brazil, ENCTI, Embraer Defense and Security is a segment of
68; Federal Senate, Discussão, 64. Brazil, “Decree nº Embraer S.A. – former Brazilian Aeronautic Enterprise
8.153/2013” (Brasília: Presidency, 12 December 2013), S.A. – privatized in the Itamar Franco administration. It
http://www.planalto.gov.br/ccivil_03/_Ato2011- is “the only national enterprise amongst the hundred
2014/2013/Decreto/D8153.htm (accessed 22 greatest in the industry of defense ranking” (Federal
September 2015). Senate, Discussão, 72 [Our translation]). Brazil,
66
Brazil, PNAE, 9. Federal Senate, Discussão, 63. PNDAE, 10; Federal Senate, Discussão, 64; Visiona
67
Brazil, “Decree nº 1.332/1994.” Espacial, “Quem somos,”
68
Brazil, PNDAE, 11. Brazil, “Decree nº 4.718/2003.” http://www.visionaespacial.com.br/sobre.html
Brazil, ENCTI, 12. (accessed 22 September 2015).
69 74
Brazil, ENCTI, 66. PRODE is “every good, service, work or
70
Brazil, “Decree nº 7.769/2012.” information, including weaponry, ammunition,
31 Space & Defense

necessary action, considering that according to the future autonomy of Brazil.79

Brazilian Senate, “since Embratel’s privatization,
satellite services used by the Armed Forces are CONCLUSION
supplied by private enterprises”.75 Visiona’s
creation directly addresses three of PEB’s Brazil is part of a select group of nations
strategic lines of action, namely, commit industry in possession of a strategic space program, but
at all stages of space project development; there are several factors that limit this program
encourage the creation of integrator enterprises; short of a viable strategic space capability, which
and stimulate critical technologies.76 Nevertheless, comprises satellite operations, manufacture, and
the joint venture, Visiona, is being widely launch.80 Among the obstacles, this article
criticized – especially by the Brazilian Union of highlighted the following: strong technological
Federal Civil Servants in Aerospace Sector and logistical dependence in relation to the
Science and Technology (SindCT) – in the sense military sector and consequent deficiencies in
that it “is acting only as an intermediary in the human capital, particularly among Brazilian Space
acquisition, entirely abroad, of SGDC, throwing Agency (AEB) personnel; PEB mismanagement
out of its development not only INPE, but the of resources, especially those dedicated by law to
whole domestic industry which serves PEB.”77 development of the national space industry;
premature project cancellations before an
Unlike most Brazilian space programs, the SGDC endeavor can reach useful milestones; and
project might yet survive threats of cancelation substantial recurring budget cuts. Added to this
and reach its goals. However, negotiations for are deficiencies in regional cooperation – even
acquisition of both components and satellite interest – for pooling resources to advance space
launch are in train with foreign powers: Franco- programs during times of economic crisis in South
Italian Alenia Space (TAS) and the French America.81
enterprise Arianespace.78 If the SGDC project was
designed, among other purposes, to strengthen the After the demise of the ACS agreement with
incipient Brazilian space industry, in practice it is Ukraine, Brazil should consider a medium-term
doing the opposite: strengthening foreign defense strategic partnership with any country at a more
companies by providing stimulative contracts at advanced stage in the space strategic sector. One
the expense of national enterprises central to the possible candidate is Argentina, which, while
facing political and economic crises for years,
transport means, uniforms, and materials of individual nevertheless shepherds a more organized space
or collective usage for activities intended for defense, program than Brazil’s and already operates its
with a caveat for those of administrative usage”
(Brazil, “Decree nº 7.769/2012”).
75 79
Federal Senate, Discussão, 63. Isso se torna ainda mais notório ao analisar o recém-
76
Brazil, PNDAE, 11. In the realm of PEB, the so publicado Edital de Seleção Pública encabeçado pelo
called critical technologies are split in: leveling, being MCTI e pela AEB, que prevê a contratação de
the ones already dominated by the nations, and hence empresas brasileiras para apoiar projetos referentes à
easily obtained; the advanced, being currently transferência das tecnologias previstas no Acordo de
developed by nations and thus hardly obtained; and Transferência de Tecnologia Espacial firmado entre a
disruptive, being those sprung from revolutionized AEB e a TAS. Cf.: “Edital de Seleção Pública
technological innovations, yet to be pursued by the MCTI/AEB/FINEP/FNDCT – Subvenção Econômica à
PEB (Brazil, PNDAE, 12), under AEB’s coordination Inovação – Transferência de Tecnologia do SGDC –
(Brazil, ENCTI, 66). 01/2015” (Brasília: FINEP, 15 September 2015).
77 80
Barbosa, Carta aberta, 2 [Our translation]. Lopes Filho, Nas asas da história, 24.
78 81
Embraer, “Geostationary satellite will ensure the To get an idea of this lack of South American
security of Brazilian communications”, 28 November interest, just remember that the UNASUR considered
2013, http://www.embraer.com.br/en- the creation of a regional space agency, but the project
us/imprensaeventos/press- was not even drafted. See:
releases/noticias/pages/satelite-geoestacionario-vai- http://www.infoespacial.com/latam/2011/11/13/noticia-
garantir-a-seguranca-das-comunicacoes- los-ministros-de-defensa-de-unasur-plantean-crear-
brasileiras.aspx (accessed 22 September 2015). una-agencia-espacial-conjunta.html.
 Vilar Lopes / Brazil Space 32

own geostationary satellite. of the national budget. Only after these

accomplishments can it be said that there is
Major powers are working behind the scenes to genuine geopolitical and strategic enthusiasm for
fill the vacuum left by Ukraine. For example, augmenting Brazilian autonomy through space
Russia has been angling to launch its new Angará exploration.83 Building Brazil’s first geostationary
rocket from the Alcântara Launch Center (CLA). satellite (SGDC) coheres with this sympathetic
Similarly, China wants to expand its ongoing interpretation of PEB and also with the National
partnership with Brazil through the China-Brazil Defense Policy (PND) and the National Defense
Earth Resources Satellite (CBERS), in order to Strategy’s (END’s) convergence on the Brazilian
build a binational partnership for its Longa space strategic sector. Ironically, reducing space
Marcha family of launchers. Despite good dependency on Brazil’s own military programs, as
intentions toward PEB as well as the desire to well as foreign corporate champions, can go a
launch satellites from Brazil, a regulatory long way toward supporting Brazil’s national
agreement on technological cooperation with the autonomy through independent strategic
United States remains to be signed so that monitoring and communications.
satellites with U.S. components may be launched
from Brazilian soil; without agreement, there is no As SINDAE’s central organ, AEB endeavors,
hope of a commercial joint project in the space through space activities, to integrate and
sector. coordinate civil and military interests. In practice,
authentic coordination is hampered by AEB’s near
Now, with the Brazilian Complete Space Mission total dependence on the military. SGDC
(MECB) abandoned, it is expected that the SLV-1 exemplifies Brazil’s imbalanced civil-military
Project is on a slower development path than relations when it comes to the strategic space
SGDC. In the midst of the current economic crisis, sector – crucial for national development as well
the German-Brazilian Microsatellite Launch as national defense. The space program is codified
Vehicle (VLM) can be considered the design with in official documents under both priorities of the
the greatest commercial potential. Aspirations of Brazilian government, but SGDC, like other large
stimulating a Defense Industrial Base (IDB), and projects in technological and budgetary terms, is
specifically a robust space industry, conflict with spearheaded by a defense company.84 In addition,
economic demands now facing the country. But AEB presides over Brazil’s space complex by
this financial reality is not exactly new, as “It is contracting with foreign companies for acquisition
easy to see that the Brazilian government does not and, more ominously, for the very launch of
have available funds for years when compared SGDC.
with other major centers of space programs.”82
Space is indispensable for Brazil; it “is, and will
Given the current crisis and lack of public continue to be, a critical environment for both
investment, academic-university partnerships civilian and military operations.”85 In Brazil’s
present an excellent opportunity, not only to case, however, the strategic space sector is out of
reduce research and development (R&D) costs but balance. Given the current state of affairs, the
to create a space culture among future Brazilian perplexing underperformance of Brazil space is
scientists and produce homegrown technology. Of likely to continue beyond the economic crisis, that
course, this is not a solution to the PEB barriers, is, until lawmakers can address the political-
but it is a medium-to-long-term alternative that institutional causes of its arrested development.
Brazil needs to seriously consider.

As seen, two major initiatives of PEB concerned 83

(i) launching satellites from national soil and (ii) Brazil, PNDAE, 10.
84
aligning the National Policy for Development of Brazil, ENCTI, 65.
85
Brazil, PNDAE, 9. Stephen Shea, Mathew Johnson,
Space Activities (PNDAE) with broader priorities and Alfredo Zurita, “Terror on High: Deterring
ASAT,” Space & Defense, Vol. 8, No. 1 (Spring 2015):
82
Lemos Junior, Implantação, 23 (our translation). 60-8.
33 Space & Defense

Figure 1 – SINDAE’s composition

Source: http://www.aeb.gov.br/wp-content/uploads/2013/03/manual_identidade.jpg (with adaption).

Figure 2 – Arch concepts held by PNDAE

Source: Vilar Lopes, “To Infinity and Beyond”, 183.1
Legend: SLV = satellite-launching vehicle.

1
Gills Vilar Lopes, “To Infinity and Beyond! AEB and the Case of Geostationary Satellite in Light of the Space
Strategic Sector,” Coleção Meira Mattos – Revista das Ciências Militares, Rio de Janeiro, Vol. 9, No. 34 (Jan./Apr.
2015): 177-88.
 Vilar Lopes / Brazil Space 34

Figure 3 – Strategic Sector (END)

Source: Vilar Lopes, “To Infinity and Beyond,” 181 (with adaptation).2
Legend: BID = Defense Industrial Base; AF =Armed Forces.

2
Gills Vilar Lopes, “To infinity and beyond,” 177-88.
35 Space & Defense

Figure 4 – Project and attribution structure on the SGDC Program

Source: Brazil, ENCTI, 206.
 Vilar Lopes / Brazil Space 36

APPENDIX A - Acronyms and Abbreviations

Acronym/abbreviation Meaning (in English) Translation (if applied) Nature

Brazilian Association of Associação Brasileira das
Abimde Defense and Security Indústrias de Materiais de civil
Industries Materials Defesa e Segurança
ACS Alcântara Cyclone Space civil
Agência Espacial
AEB Brazilian Space Agency Civil
Brasileira
BID Defense Industrial Base Base Industrial de Defesa military
China-Brazil Earth Satélite Sino-Brasileiro de
CBERS Civil
Resources Satellite Recursos Terrestres
Alcântara Launching Centro de Lançamento de
CLA military
Center Alcântara
Communication,
Navigation and
CNS/ATM military
Surveillance/Air Traffic
Management
Brazilian Commission for Comissão Brasileira de
Cobae military
Spatial Activities Atividades Espaciais
Air Defense Operations Centro de Operações de
CODA military
Center Defesa Aeroespacial
COMAER Aeronautics Command Comando da Aeronáutica military
Brazilian Aerospace Comando de Defesa
COMDABRA military
Command Aeroespacial Brasileiro
Comisión Nacional de
National Commission for
CONAE Actividades Espaciales Civil
Space Research
(Argentina)
Aerospace Science and Departamento de Ciência
DCTA military
Technology Department e Tecnologia Aeroespacial
Deutsches Zentrum für
DLR German Aerospace Center Civil
Luft- und Raumfahrt
Major-State of Armed Estado-Maior das Forças
EMFA military
Forces Armadas
Estratégia Nacional de
END National Defense Strategy military
Defesa
ESA European Space Agency civil
FAB Brazilian Air Force Força Aérea Brasileira military
GPS Global Positioning System civil
37 Space & Defense

Presidency of the Gabinete de Segurança civil-

Republic’s Institutional Institucional da military
GSI
Security Cabinet Presidência da República
Aeronautics and Space Instituto de Aeronáutica e
IAE military
Institute Espaço
National Institute for Instituto Nacional de
INPE civil
Space Research Pesquisas Espaciais
Aeronautics Institute of Instituto Tecnológico de
ITA military
Technology Aeronáutica
Livro Branco da Defesa
LBDN Defense White Paper military
Nacional
Ministry of Ministério das
MC civil
Communications Comunicações
Ministry of Science,
Ministério da Ciência,
MCTI Technology and civil
Tecnologia e Inovação
Innovation
MD Ministry of Defense Ministério da Defesa military
Complete Brazilian Space Missão Espacial Completa
MECB military
Mission Brasileira
National Aeronautics and
NASA civil
Space Administration
Programa Espacial
PEB Brazilian Space Program civil
Brasileiro
Strategic Space Systems Programa Estratégico de
PESE military
Program Sistemas Espaciais
National Program of Space Programa Nacional de
PNAE civil
Activities Atividades Espaciais
Política Nacional de
PND National Defense Policy military
Defesa
National Policy for Política Nacional de
PNDAE Development of Space Desenvolvimento das civil
Activities Atividades Espaciais
Secretariat of Strategic Secretaria de Assuntos
SAE Affairs of the Presidency Estratégicos da civil
of the Republic Presidência da República
civil-
S&D search and development
military
Geostationary Satellite of Satélite Geoestacionário
civil-
SGDC Defense and Strategic de Defesa e Comunicações
military
Communications Estratégicas
 Vilar Lopes / Brazil Space 38

National System of Space Sistema Nacional de civil-

SINDAE Activities Development Desenvolvimento das military
Atividades Espaciais
Sindicato Nacional dos
Union of Federal Civil
Servidores Públicos
Servants in Aerospace
SindCT Federais na Área de civil
Sector Science and
Ciência e Tecnologia do
Technology
Setor Aeroespacial
Brazilian Aerospace Sistema de Defesa
SISDABRA military
Defense System Aeroespacial Brasileiro
civil-
SLV satellite-launching vehicle
military
National Information Serviço Nacional de
SNI military
Service Informações
TAS Thales Alenia Space civil
Brazilian Telecomunicações
Telebras Civil
Telecommunications S.A. Brasileiras S.A.
Microsatellite Launch Veículo Lançador de civil-
VLM
Vehicle Microssatélite military
 Article

Meeting Growth Challenges of Mexico Aerospace:

The Querétaro Cluster

Mónica Casalet

Growing the Aerospace sector in Mexico requires multilevel agreement between original equipment
manufacturers (OEMs), including foreign companies, and national and sub-national governments to
stimulate programs and instruments for sector growth. In addition, space for local learning must be
cultivated within a process of production organized hierarchically and highly regulated on the
international level. The case of the Queretaro cluster is important due to the density of networks created,
extensive public-private collaboration, and the emergence of specialized institutions to train and shape
highly skilled (professionals and technicians) in the aerospace industry. Ultimately, there remains an
important vacuum to fill in the future, in particular, integration of Mexican small and medium-size
enterprises (SMEs) in the international value chain of the sector.

chain. Evolution of the global aerospace industry

High technology in the design and has become a kind of microcosm for
manufacture of products within the aerospace understanding the national politics behind
industry (AI), combined with international strategic international development. In emerging
certification, encourages centralized management markets as well as industrialized countries, the
and close business-government relationships for aerospace sector is supported by government
companies looking to compete in the global strategies, which have nurtured strong commercial
economy.1 Domestic concentration of the industry support (on quality, price, and service) to sustain
is very high; in every subsector there are but few this industry.
competitors. Aeronautics and astronautics demand
heavy investment up front and are characterized Expanding attention towards emerging markets
by exceptionally long production cycles. for both aerospace products and services
Financing product development is a critical factor represents a growth opportunity for the sector
for companies’ success, which affects not only globally as well as emerging countries. New
small suppliers but also the big contractors, national players in the sector have become
although the latter have more possibilities to share conversant in specialized production processes
risks and costs. involving multidisciplinary discoveries; an
accelerated innovation process facilitated by novel
From the beginning, AI has been considered management methods; and multisector spillover
strategic by national governments, especially with applications available in general platforms.2
frequent and close interdependence between the Advanced manufacturing within industrialized
industry’s civil and defense markets, where state countries contributed to a global paradigm for AI
support and market protection have functioned as in the organization of production and institutional
instruments for organization and financing. structure. This triggered multiple political
Widespread national efforts to maintain strategies oriented towards the development of
technological development and the role of high R+D programs and reinforcing approval of public
salaries for attracting specialized human capital funds to stimulate research—in close
lead to globalization of the sector: new emerging collaboration with productive sectors—all while
countries line up to make an incursion as increasing industrial competitiveness.
manufacturers or as assemblers along the AI value

1 2
Mónica Casalet is a member of the Facultad Roco, M., W. S. Bainbridge, and B. Whitesides,
Latinoamericana de Ciencias Sociales – FLACSO, “Convergence of Knowledge, Technology and
México. Society,” Science Policy Reports, 2013.
 Casalet / Mexico Aerospace 40

Among other things, aerospace research drove for the sector conceals differences in growth and
applications of new models with a high consolidation among industries, including how
percentage of composite materials for fuel close each has approached international
efficiency and lower maintenance costs, and technological standards and concentration of sales
engine innovation to diminish noise, fuel around a single product or platform. The structure
consumption, and carbon emissions. At the same of knowledge networks, for example, prevailing in
time, institutional structure became dynamic with the aeronautics versus space sub-sectors is quite
new modes of professional and technical training distinct, the space industry being linked more with
to guarantee the acquisition of better skilled labor, knowledge based on science while aeronautics
which raised qualifications across a broad range tends toward knowledge in engineering and new
of workers and managers, as well as tapped into materials.5 In spite of these differences, the rapid
professional experience from retired professional growth of the aeronautical industry in Mexico
personnel in developed countries with an contributed to sophistication of the demand for
aerospace tradition. commercial space products and services, boosting
the growth and institutionalization of the space
Construction of complex multilevel networks sector.6 The goal of this essay is to identify the
intertwined domestic technology in emerging advantages that AI clusters operating at the
regions like Latin America with the global sectoral and regional level generate for Mexico’s
production chain. As these networks continue to development.
expand and deepen, emerging countries are
playing an increasingly important economic role In 2003, the Ministry of Economy decided to
because of the opportunities they offer AI with invest in the development of the aerospace sector
respect to established companies, at home and in Mexico, launching a strategy to attract
abroad, as well as a growing number of small, international companies and to facilitate their
highly innovative enterprises.3 location in Mexican regions with productive and
entrepreneurial maturity. The National Program
DEVELOPMENT OF THE AEROSPACE for Trailblazing Companies boosted by
SECTOR IN MEXICO ProMexico sought in conjunction with the
Ministry’s outreach to develop productive clusters
In various policy studies completed by
public and private institutions within Mexico such
Aerospace Education) and Fundación Mexico-Estados
as the “road maps,” which arose to orient growth
Unidos para la Ciencia (FUMEC) (U.S.-Mexico
of the sector, the name, aerospace industry, was Foundation for Science). Casalet, Mónica, "Chapter III-
adopted even prior to growth of Mexico’s Actores Y Redes Públicas Y Privadas En El Desarrollo
aerospace production or sales.4 The single label Del Sector Aeroespacial Internacional Y Nacional: el
Clúster De Querétaro, Una Oportunidad Regional
3 (Public and Private Actors and Networks in the
In much of Latin America PME stands for pequeña y Development of the National and International
mediana empresa (small and medium enterprise); as in Aerospace Sector: the Queretaro Cluster)." La
the United States, it represents a business sector with Industria Aeroespacial. Complejidad Productiva E
high potential for job growth and innovation, Institucional (The Aerospace Industry. Productive and
contingent upon effective public policies. Institutional Complexity) (D.F., Mexico: FLACSO and
4
The map for the technological route of AI in Mexico, Conacyt, April 2013), p. 105.
was elaborated by a group of public and private 5
Broekel, Tom, and Ron Boschma, “Aviation, Space
organizations—ProMéxico, Consejo Nacional de or Aerospace? Exploring the Knowledge Networks of
Ciencia y Técnologia (Conacyt) (National Council for Two Industries in the Netherlands,” European
Science and Technology), Secretaria de Economia (SE) Planning Studies Vol. 19, No. 7 (December 2010):
(Ministry of Economy), Dirección General de Aviación 1205-1227.
Civil (DGAC) (General Direction of Aviation), 6
In 2010 the Agencia Espacial Mexicana (AEM)
Federación Mexicana de la Industria Aeroespacial
(Mexican Space Agency) was created to guide the
(FEMIA) (Mexican Federation of the Aerospace
Industry), Consejo Mexicano de Educación formation and research of the sector, and orient the
Aeroespacial (COMEA) (Mexican Council of formation of public-private consortiums.
41 Space & Defense

of aerospace firms specifically at the state level income barrier. At the same time, Mexico
within (federal) Mexico and linked to the world subscribed to international agreements such as the
market. The arrival of investments from Canada, Bilateral Air Security Agreement (BASA) and
France, and Spain created opportunities for Wassenaar Arrangement in order to guarantee
Mexican businesses to raise revenue and ascend certification, confirm security of processes, and
the sector production chain, stimulating the reduce expenses of local companies in the
income of Mexican companies. The installation in certification of products and labor.8
the country of world class companies such as
Honeywell, Bombardier, Grupo Safran, EADS, The hope was that participation in these club-like
and ITP complemented aerospace sector groups would attract new investments, open
development policies of the national and state access to the latest technology, and increase
governments; this was especially true with respect exports. National and entrepreneurial agencies
to industrial groupings in central and northern estimated the number of jobs generated at more
regions. The modern Mexico Aerospace sector is than 31,000 professionals. The level of Mexico’s
now formed by companies dedicated to exports in 2012 rose to 5.04 billion USD, with
manufacturing, maintenance, engineering repair, 76% of production exported to the United States.
design, and auxiliary services.7 In the most recent According to data from the U.S. Department of
data by ProMexico (2013), the sector registered a Commerce, in 2009 Mexico supplied products for
growth of 17.2% per year since 2004. Nowadays the Aerospace sector in the value of 604 million
there are 287 companies. 28% are big companies; USD, marking 127% growth compared to 2006.9
43% correspond to medium-sized companies; and Secondary destinations for exports mapped to
29% to small and micro-businesses. Germany and France, then Canada and the United

Although there is interest from companies in

8
acquiring certification (according to international The accepted worldwide standard for the aerospace
standards such as the 9100 Series), which is industry is the 9100 Series. Its application is decisive
necessary to access the global chain of production, for entering the supply chain of parts and components.
not all companies have this seal for quality The 9100 Series is a model for quality management
systems in the Aerospace sector based on the standard
management of systems in the aerospace sector. ISO 9001:2000 guideline. Its implementation is under
The AS9100 standard includes addendums for the International Aerospace Quality Group (IAQG),
approval and handling of suppliers. The which is under the Society of Automotive Engineers
NADCAP norms managed by the Performance (SAE). This guideline emphasizes quality, security, and
Review Institute (PRI) control special processes technology in all stages of the supply chain and is
and products, besides promoting continuous applied in all aspects both military and civilian. SE-
improvement in industries like automobiles and DGIPAT, 2012 (Economy Ministry – Heavy Industry
aerospace. Not all Mexican companies with and High Technology General Directorate).
possibilities of participating in the chain of In the case of the Aerospace sector, NADCAP
production have the conditions or interest, or find (National Aerospace & Defense Contractors
Accreditation Program) certification is required by the
a viable niche in the aerospace sector, even if they main manufacturers of motors and planes for the entire
have acquired manufacturing experience in the network of suppliers. Obtaining NADCAP certification
automobile industry. exempts the company from other audits by
manufacturers that recognize it (SE-DGIPAT, 2012).
Entry into the Aerospace sector requires favorable In 2012 Mexico joined the Wassenaar Arrangement
technical and production conditions for (WA). This has two fundamental implications. One is
reconversion, and certification demands expenses that Mexico adheres to the non-proliferation of
up front for local companies to be part of the conventional arms; the other is it joins the club of high
chain of suppliers, which presents an important technology countries, which allows it access to new
markets and technology. WA membership improves
7 competitiveness and attracts investment from different
Secretaría de Economía (Ministry of Economy),
sectors.
Sector Aeroespacial Mexicano (Mexican Aerospace 8
SE, 2011. U.S. Department of Commerce, Bureau of
Sector), 2011. the Census, 2009.
 Casalet / Mexico Aerospace 42

Kingdom. Meanwhile, imports for the same year take advantage of positive externalities cultivated
were a healthy 4.36 billion USD. In 2012, by government. Again, from the mid-2000s,
investment in the sector rose to 1.3 billion USD, public institutions, entrepreneurial partnerships,
totaling more than 4 billion USD over the last four and state governments promoted technology
years.10 development and constructive competition,
looking to combine relationships of cooperative
Of the strategic pillars of development for the partnership and market incentives to support the
Mexican Aerospace sector, the northeast region Aerospace sector. In this context, the needs of
(Baja California, Sonora, Chihuahua) stands out: state and local companies are served when they
It includes more than half of the national industry acquire new knowledge and become part of a
specialized in electric-electronic systems and high-technology system of production;
boasts a regional niche in avionics. Meanwhile the international companies meanwhile seek new
central-northern region (Mexico City, Queretaro, investment opportunities with lower costs of
and Nuevo Leon) specializes in the assembly of production and competent labor, not to mention
value-added components, located near the main the incentive of having the American market close
airports of the country, as well as repairs and by.
maintenance of aircraft.11 More detailed
information on aerospace clusters forming in The line of action of public policies since 2003
Mexico after the government’s economic policy has been oriented towards mobilizing new
initiatives of 2003 is displayed in Table I, below. instruments created and executed by the
‘Secretaria de Economía’ (SE) (Ministry of
MEXICO AEROSPACE: TOWARD A NEW Economy); Conacyt; NAFIN; and Pro Mexico.
MODEL OF GOVERNANCE BASED ON Meanwhile, international organizations such as
INTER-INSTITUTIONAL BID (Inter-American Development Bank); the
COLLABORATION OCDE (Organization for Economic Cooperation
and Development); and PNUD (UN Development
In the creation of productive aerospace Program) promoted upgrades in production
clusters across different industrialized countries, a standards, supported decentralization and
distinct geographic space draws companies, competition among financial sources for creation
suppliers, research centers, and professional and of aerospace clusters, and stimulated training of
technical training institutes, together with support specialized engineers in the sector.
undertaken by national and sub-national
governments. Intermediary organizations link the The foresight, at both public and private levels, to
various elements of an aerospace cluster, building plan the growth of a sector, rather than a single
a mutual field of influence, the strength of which firm anointed as aerospace champion for Mexico,
depends upon the density of established links was remarkable, perhaps unprecedented in the
connecting production, research, and training of country’s development strategy. Apart from
specialized labor. In Mexico’s case, despite a sparking collaboration on framing challenges and
decade of policy efforts to develop the Aerospace determining priorities for the regions among
sector, the public-private framework is still public and private actors, universities, and public
incipient. Strong microeconomic differences place research centers, a new, dynamic market for
barriers to learning among companies; some do intermediary organizations was created.12 On the
not have the minimum competitive thresholds to state and sectoral levels this new breed of firm
thrived in the interstices between traditional
9
companies, supplying communication channels
Secretaría de Economía (Ministry of Economy), and negotiating structures to new-style members
Industria Aeronáutica en México (Aeronautical of the aerospace network-cluster: universities,
Industry in Mexico), 2012.
10
FEMIA, Secretaría de Economía (Ministry of
12
Economy), Pro-Aéreo 2012-2020 Programa Examples include business chambers such as
Estratégico de la Industria Aeroespacial (Strategic FEMIA, CANIETI, and other linking institutions such
Program of the Aerospace Industry), 2012, pp. 99. as FUMEC.
43 Space & Defense

technology centers, and government officials. In production do not get easier as one scales down to
linking the scientific community with the public subcontractors or even divisions within firms. The
and private sectors, they performed relationship- need for appropriate state intervention to develop
building functions that substituted and in some synergies and organize priorities around a vision
cases surpassed the old efforts of government of educational, relational, and productive growth
offices for knowledge transfer. has been greater than it first appeared from a
macro perspective. An example of this complexity
Table II (below) flows from the Mexican would be the sectoral change contingent on
government’s strategic decision to construct a transformations in the management of universities
structure of governance at the Aerospace sector to adapt to challenges of knowledge transfer, such
level that would nurture fundamental networks of as incentivizing progress of research groups
collaboration, research, training, and investment. toward commercialization of new technology in
Subsequent public policies mobilized private the Aerospace sector once there is an integrated
sector investment across several dimensions overall vision linking ICT policies with industrial,
(connectivity, collaboration for training and educational, and research activity.
research, financial resources, specialization of
small and medium enterprises in supplier AN AEROSPACE CLUSTER WITH HIGH-
development programs) to sustain creation of DENSITY INSTITUTIONAL NETWORKS
productive groupings within the sector.
In the state of Queretaro, which has
Governmental attention shifted toward collective experienced robust industrial growth, traditional
strategies of intervention that could exploit certain sectors like the manufacture of parts and metal
advantages for sector growth: improved standards components coexist with sectors that have greater
for competition, targets for critical mass within a technological intensity like automobile and
cluster, increased R&D to consolidate investment electronics manufacturing, specialized chemicals,
on regional priorities, and preferential tariffs for and food biotechnology.13
importing and exporting of goods. Assembly
thereby encouraged in Mexico included aircraft,
components, machinery, and equipment. The
structure of incentives also influenced the location 13
The state of Queretaro, located in the center of the
of OEMs and foreign direct investment (industrial country, has a total population of 1,827,937, of which
parks, improved airport runways to receive heavy 70% reside in urban areas; in 2012-13 it had an
airplanes, a loading and passenger terminal, an education average of 9.2, above the national average of
interior customs house, and the fiscal precinct). 8.9, and a low rate of illiteracy (5.5%) compared to the
national total (6.1%), according to figures from the
Application of these incentives was sustained by Instituto Nacional de Estadística y Geografía (INEGI)
public resources and the contribution of large (National Institute of Statistics and Geography). The
international integrating companies anchoring the value of Queretaro’s exports reached an amount of 7.4
billion USD, which represented 2.3% of national GDP;
clusters. “Brick and mortar” articulation of sector the manufacturing industry stood out as the main
infrastructure indirectly affected mainstream activity, and the subsector with the most participation
operations. New paradigms of knowledge, was manufacturing of transport equipment, which
advanced manufacturing, and diffusion of represented 54% of manufactured exports (Ministry of
information technologies revealed the next rung of Economy, 2012). See also, Daniel Villavicencio, Juana
novel challenges in processes of production and in Hernández, and Leonardo Souza, "Capacidades y
cognitive abilities for workers as well as oportunidades para el desarrollo de la industria
managers: these are non-trivial problems to aeronáutica en Querétaro- (Capacities and
resolve in order to expand complex production opportunities for development of the aeronautical
environments with multidisciplinary platforms. industry in Queretaro), in Casalet M, La Industria
Aeroespacial. Complejidad Productiva e Institucional
(The Aerospace Industry. Productive and Institutional
In general, macro-, meso- and micro-complexity Complexity) (DF, Mexico: FLACSO and Conacyt,
will increase in a fractal pattern so that barriers to April 2013), pp. 49-92.
 Casalet / Mexico Aerospace 44

The Queretaro State Development Plan, as well as integration of local companies into development
its S&T program established the Aerospace sector programs of global suppliers. Most local
as a priority for state development together with companies first enter AI at a competitive
the automobile sector. Both sectors received disadvantage in terms of investment capital,
government support through productivity and infrastructure, and a critical mass of skilled labor
financial incentives. The prior establishment and to attend the demands of this high-tech market;
high performance record of the Mexican these deficits present formidable obstacles to
automobile industry provided a solid foundation fulfilling production deadlines according to
for development of the Aerospace sector, for it international demand and to the new entrants’
trained engineers and accelerated the pace of long-term survival.
industrial production.14
Thickening of innovation networks manifests in
Queretaro concentrates production on products frequent collaboration between universities,
and machining processes of complex components, public research centers (PRCs), and companies of
manufacturing of aero-structures, manufacturing the Aerospace sector, which gradually strengthens
of components for engines, manufacturing of bonds of trust – building social capital and
brake systems, MRO (maintenance, repair and facilitating acquisition and transfer of new
overhaul) for propulsion engines, manufacturing knowledge (Table III, below). The use of diverse
of landing gear and MRO, and technical treatment channels for knowledge transfer presents
and manufacturing of components for complex peculiarities and, again, added complexity.
materials.
Among the most significant challenges are the
In order to stimulate high-tech entrepreneurship, sheer number of component parts and the
the State of Queretaro set aside the Fund for technology level of tools for design and assembly.
Competitiveness of SMEs (Ministry of Intriguingly, financial consulting; worker training;
Sustainable Development, 2009); sponsored information technology; and commercialization
programs previously mentioned, including ISO support – all with integration of local suppliers –
9000 certification, that fostered development of plus linkages of research groups and experienced
small and medium enterprises; and granted international partners in exchanges with industry,
specialized consulting and coaching for business. these opportunities have evolved in some cases
To maintain the ISO 9000 standards, for example, from informal relationships based on academic
Queretaro state government still covers 33% of interest of researchers to formal agreements that
the financial cost; the federal administration resolve incentives for long-term, institutionalized
contributes another 33%; and the rest is paid by transactions.15
the company that wishes to obtain certification
(Council of Science and Technology of the State Market entry of Mexican systems and subsystems
of Queretaro, 2010). supply for transnational AI companies has
occurred, and these phenomena are tied to
Relationships with educational institutions are dynamic global value chains on an international
another pillar for consolidation of the aerospace scale. Where the geographic proximity of the
cluster in Queretaro, for those understandings American market plays a determining role,
result in a reliable and less expensive supply of transport and time costs are reduced; benefits
qualified labor (technicians, engineers, IT provided by NAFTA and innumerable incentives
personnel), essential for foreign investors, offered by state and national governments for
especially companies that initially demanded sector growth also have an impact.
coaching or training of Mexico’s technicians
outside the country. Diversity is manifest in the Engineering and manufacturing companies that
make up the aerospace cluster in Queretaro
14
This was included among the top ten best producers
actively participate and receive counseling in state
in the world, putting together 2,261,000 vehicles from
15
January to December 2010. Casalet, 2013, p. 94.
45 Space & Defense

programs. They also maintain good elaborating this complex web of interests and
communication with local research centers (e.g., dynamics among participating actors, two basic
Ciateq, Cidesi, Cideteq and especially with claims have been made:
UNAQ), and most of them have asked for support 1) On one hand, the process of production and
from national innovation programs within organizational management in AI, which
Conacyt (National S&T Council). determines the level of international
competitiveness reached, has been characterized
The development structure for suppliers has not by mergers, new acquisitions, and continuous
had the same success however. On one hand, there international engagement to maintain competitive
are not enough trained personnel. Despite having advantages. In the Aerospace sector, the local
multiple institutions working on it, many potential entrepreneurial network of suppliers links through
supply companies from the aerospace value chain an assembler that operates as leading company
do not have appropriate certification, due to the and establishes vital connections to the outside
investment costs and trained personnel required world. This sector leader organization in Mexico
up front. In this sense, Mexico is still remote from allowed companies to enter the aerospace business
the market interactions of competitive countries. at multiple access points along the global value
chain.
Brazilian aerospace companies, for example,
receive à la carte credits from the Banca de 2) On the other hand, the case of Mexico,
Desarrollo (BNDES) (Development Bank) while especially in the state of Queretaro, shows how
smaller companies from Mexico do not have the national and state policies combine with the
technological, financial, or managerial capacities efforts of small companies and larger businesses
to qualify for loans as viable risk partners.16 to create favorable conditions for development
Figure 1, below, depicts the ecology of an and growth of the Aerospace sector, articulating
important support network created with a effective networks to link with research and
governmental eye toward specialized worker specialized training that can meet international
training, research, and knowledge transfer. This standards.
AI network, with its potential for cultivating
information exchanges and new products, is a sign ProMexico and the Ministry of Economy played
of commitment from both state and private actors. an important role as trailblazers of specialized
It carries the hopes in some sense for future demand, promoting the insertion of anchor
foreign investment and consolidation of the companies in a sector of strategic importance for
Aerospace sector in Queretaro, Mexico. the country. Conacyt, through various national
programs, has strived to strengthen the demand
FINAL REFLECTIONS for knowledge, together with state-level
institutions (UNAQ, CEDIA) and Public Research
In this work, the efforts of different agents Centers (Cidesi, Ciateq, Cideteq,CIAT ) that, in
to incorporate and expand the Aerospace sector addition to supporting joint public-private
(AI) in Mexico have been identified. In research projects, provided training for highly
qualified personnel in AI.
16
Flor Brown and Lilia Dominguez-Villalobos,
“¿Tiene la industria aeronáutica mexicana las Changes in the design of public policies can
condiciones para integrarse a la cadena de valor support new strategies to promote priority sectors.
internacional de alto valor agregado? (Does the In the case of Aerospace, ProMexico’s studies
Mexican aeronautical industry have the conditions to transcended the macroeconomic dimension, for
become part of the international value chain of high they included programs and proactive incentives
added value?).” In Casalet Monica, La Industria to generate changes in the structural nature of
Aeroespacial. Complejidad Productiva E Institucional institutions, in the behavior of companies, and in
(The Aerospace Industry. Productive and Institutional
the scientific community. This expanded scope of
Complexity). (DF, Mexico: FLACSO and Conacyt,
April 2013), pp. 135-162.
activity for public policy was nevertheless
anchored around strategic objectives:
 Casalet / Mexico Aerospace 46

information-intensive strategy could prove

1) Establishing growth priorities in productive indispensable to diverse actors within the AI
sectors. support network for resolving specific problems
2) Promoting the proliferation of public-private posed by the Aerospace sector in Mexico – and
networks of collaboration on a regional and for capturing any lessons beneficial to the cause of
sectoral level, stimulating the formation of international development in general.
industrial clusters.

3) Favoring the mobility of post-graduate students

and researchers in companies within priority Selected References:
sectors such as Aerospace. Broekel, Tom and Ron Boschma. “Aviation, Space or
Aerospace? Exploring the Knowledge
4) Generating public support to increase capacity Networks of Two Industries in the
of companies to innovate, improve productivity Netherlands.” European Planning Studies Vol.
19, No. 7 (December 2010): 1205-1227.
and quality, and restructure networks for
Brown Flor and Lilia Dominguez-Villalobos, “¿Tiene
transforming educational institutions, public la industria aeronáutica mexicana las
research centers, and technology institutes. condiciones para integrarse a la cadena de
valor internacional de alto valor agregado?
The preliminary success of these initiatives (Does the Mexican aeronautical industry have
indicates that across-the-board, broad brush the conditions to become part of the
policies are not sufficient. Selective policies are international value chain of high added
necessary, oriented towards defining a value?).” In Casalet Monica, La Industria
specialization profile, or niche, across the global Aeroespacial. Complejidad Productiva E
value chain of a high-tech industrial sector. Institucional (The Aerospace Industry.
Productive and Institutional Complexity). DF,
Despite progress in the creation of public
Mexico: FLACSO and Conacyt, April 2013,
programs to support Mexico Aerospace, obstacles pp. 135-162.
persist in systematization of information on results Chapter III- Actores Y Redes Públicas Y Privadas En
(“sector assessment”), and on the effectiveness of El Desarrollo Del Sector Aeroespacial
communication and collaboration initiated Internacional Y Nacional: el Clúster De
between companies and specialized researchers. Querétaro, Una Oportunidad Regional (Public
and Private Actors and Networks In the
Improved coordination implies strategic action for Development of the National and International
the future growth of Mexico Aerospace that goes Aerospace Sector: the Queretaro Cluster)." La
beyond current innovations in government policy. Industria Aeroespacial. Complejidad
Productiva E Institucional (The Aerospace
In this vein, two policy objectives are
Industry. Productive and Institutional
fundamental: ensuring financial resources for Complexity). DF, Mexico: FLACSO and
incorporation of local suppliers, and strengthening Conacyt, April 2013, p. 105.
management of specialized knowledge. For these, FEMIA, Secretaría de Economía (Ministry of
it is necessary to have more information to track Economy), Pro-Aéreo 2012-2020 Programa
the different stages of various regional Estratégico de la Industria Aeroespacial
concentrations in AI; the needs for leading (Strategic Program of the Aerospace Industry),
companies in each region; and the coincidence 2012, pp. 99.
among national and regional policies for Roco, M., W. S. Bainbridge, B. Whitesides,
integrating local suppliers into the global value “Convergence of Knowledge, Technology and
Society,” Science Policy Reports, 2013.
chain.
SE, 2011. U.S. Department of Commerce, Bureau of
the Census, 2009.
Systematized data is lacking to design a Secretaría de Economía (Ministry of Economy),
comprehensive strategy that fully integrates Industria Aeronáutica en México
private companies; the public sector; linked (Aeronautical Industry in Mexico), 2012.
intermediate institutions; educational institutions;
and public-private research centers. Such an
47 Space & Defense

Secretaría de Economía (Ministry of Economy), Sector Aeroespacial. Complejidad Productiva E

Aeroespacial Mexicano (Mexican Aerospace Institucional (The Aerospace Industry.
Sector), 2011. Productive and Institutional Complexity). DF,
Villavicencio Daniel, Juana Hernández and Leonardo Mexico: FLACSO and Conacyt, April 2013,
Souza, "Capacidades y oportunidades para el pp. 49-92.
desarrollo de la industria aeronáutica en
Querétaro (Capacities and opportunities for
development of the aeronautical industry in
Queretaro.” In Casalet, Monica, La Industria
 Casalet / Mexico Aerospace 48

TABLE I: Main Aerospace Clusters in Mexico1

SPECIALTY MAIN PLAYERS

MAIN CLUSTERS
In Baja California Electric-Electronic 51 companies among which these
 Mexicali Parts manufacturing. stand out:
 Tecate  Honeywell
 Tijuana  Gulfstream Interiores Aéreos
(Air Interiors)
In Chihuahua: Manufacturing of parts and 28 companies among which these
 Chihuahua fuselages, electric-electronic, stand out:
 Ciudad Juarez mechanized interiors.  Labinal, de Grupo Safran
 Cessna Aircraft
 Textron International
 Grupo American Industries
In Queretaro Manufacturing of motor 32 companies among which these
 Queretaro components and landing gear. stand out:
Assembly of components and  Bombardier
airplane fuselages, MRO.  ITP Ingeniería y Fabricación.
 SNECMA, from Grupo Safran
 GE-IQ
 Aernova
In Sonora Manufacturing of components 43 companies among which these
 Hermosillo for motors and turbines, stand out:
 Guaymas fuselage and composite  Goodrich Aerostructures of
 Ciudad Obregon materials. Mexico
 ESCO
In Nuevo Leon Forging and machining, 29 companies among which these
 Apodaca manufacturing of components, stand out:
 Monterrey assembly of fuselages for  Frisa Forjados
 Santa Catarina helicopters.  MD Helicopters.

1
Secretaría de Economía (Ministry of Economy), Dirección General de Industrias Pesadas y de Alta Tecnología
(General Management of Heavy Industries and High Technology), Industria Aeronáutica en México (Aeronautical
Industry in Mexico), June 2011, pp. 54.
49 Space & Defense

TABLE II: Institutional Framework for Strengthening Mexico Aerospace2

PUBLIC AGENTS PROGRAM PRINCIPAL ACTIONS

Formation of productive chains;
Company partnerships; Supply
National/Civil Bodies
Sectoral program 2007-2012 creation; Technological export and
Ministry of Economy
reconversion of sectors; Company
boosting; Factors
Financing.
Company management.
Technological innovation.
Training.
SME (small and medium Commercialization.
sized companies) fund. Strengthen value chains in Mexico.
Link suppliers with supplies in
global chains.
Increase national supply and
exports.
Productive linking program.
Applied in multiple automobile and
National Program for
aeronautical companies.
ProMexico. Trailblazing Companies.
Initiatives to generate prospective
Alliance model with
studies of industrial sectors.
transnational companies.
Aeronautical authority.
1950 first regulations for civil Verify aeronautical and airport
Dirección General de aircraft; Regulation for security measures (Safety and
Aviación Civil (DGAC) Aeronautical Security).
(General Management Telecommunications and Guard airports, issue permits,
of Civil Aviation), Radio Asst.; Regulation for authorizations, licenses and
assigned to the Ministry Search and Salvage. certificates to air transport
of Communication and 1952 Mexico signed an companies.
Transport. agreement with the ICAO. Compile information and statistics
Supervises daily operations of about air transport.
the sector.
Financial support programs for big
Programa Estímulos a la
companies, SMEs and
innovación (PEI) (Innovation
C.P.I.(Engineering Preparatory
Conacyt. (National Stimulus Program).
Courses) to generate jobs linked to
S&T Council). Innova SME programs.
innovation.
Pro Innova.
Support for aerospace and
Innovatec.
aeronautical sectors.

2
Based on author interviews and analysis of documents from said institutions.
 Casalet / Mexico Aerospace 50

PUBLIC AGENTS PROGRAM PRINCIPAL ACTIONS

Alianzas estratégicas de redes
de innovación para la
competitividad (AERIS)
(Strategic alliances of
Interinstitutional coordination to
networks of innovation for
stimulate innovation networks.
competitiveness).This
Prospective and market studies.
program ended but it was
important to boost the
formation of aerospace
clusters.
Exchange platform between
Thematic networks. researchers, entrepreneurs and the
public sector.
Red Temática de
Competitiveness of the mexican
Conocimientos Tecnológicos
aerospace industry UNAM, IPN,
Espaciales (RTCTE)
Ciateq, Cicese, UABC, INAOE,
(Thematic Network for
Global Star Mexico, Satmex, AMC,
Technological Space
Cinvestav (Guadalajara).
Knowledge).
Construction of a work agenda with
Agencia Espacial public and private actors and
Mexicana (AEM) academics in order to elaborate a
Law created in 2010
(Mexican Space state policy in the matter of space,
Agency) for training, scientific research and
space development.
Consejo Mexicano de
Educación Aeroespacial Analysis of the aerospace industry.
(Comea) (Mexican 1st national academic Determine professional
Council of Aerospace research network linked with competitiveness.
Education), autonomous the aerospace sector. Program for joint updating and
academic body, created training (Comea and Femia).
in 2007.
Methodology to reduce the learning
International Bodies Program for supplier
curve and generate a greater impact
(PNUD) Mexico development.
in the training of human resources.
SME integration into the aerospace,
Special processes certification
automobile, electric and electronic
program.
sectors.
Collaboration agreement with Mexican SMEs and European
the Programa Integral de companies collaboration, aerospace
Apoyo a las Pymes sector jointly with Femia.
(Piapyme) (Integral Support Certification of space processes for
Program for SMEs) Mexico- SMEs.
European Union. Nadcap standards, SAE, AS9100.
- - - - - -
51 Space & Defense

PUBLIC AGENTS PROGRAM PRINCIPAL ACTIONS

Entrepreneurial
bodies with
public/private action.
Products for maintenance and
Federación Mexicana Establish a strategic national manufacture.
de la Industria aerospace plan. Support Analysis of legislative trends in the
Aeroespacial (Femia) integration of the national matter.
(Mexican Federation for aerospace industry. Diagnosis of the sector on an
the Aerospace Obtain incentives and tariffs international and national level.
Industry), non-profit for aerospace products. Lobbying to organize a sole
civil partnership (2007). Events and seminars. government agency in charge of
acquisitions in the sector.
Intermediate
organizations with
state and national
action
Support for the aerospace sector:
Diagnosis of strengths and
opportunities.
Fundación México-
Financial advice to link companies
Estados Unidos para la
Programs in emerging niches with investments.
Ciencia (Fumec)(U.S.-
with high potential. Consultancy to advice an
Mexico Foundation for
international business – ICT,
Science.
financial plans and manufacturing.
Linking with TechBa for business
units in Seattle and Montreal.
TechBa is installed in highly
TechBa – Business competitive strategic environments:
accelerator program (SE) Silicon Valley, Austria, Montreal,
(Ministry of Economy). Madrid, Michigan, Vancouver,
Seattle.
 Casalet / Mexico Aerospace 52

TABLE III: Trailblazing Companies in the State of Queretaro3

Motives for
Trailblazing Competitive opportunity in
Principal products installation in
companies Queretaro
Mexico
Precedent of commercial
Aeronautical
relations of the state of
structures: design,
Queretaro with the Basque
development, Interest in the
Country’s Autonomous
certification test, American aerospace
Community, where the
prototypes and active market.
company is from.
support. Facility in Mexico as
Aernova Training of workers; some
Manufacturing of part of FTA.
were sent to Spain.
composite and metal Interest in creating a
Active exchange with Femia.
parts. currency mix dollar,
Uses CENAN’s test
Assembly plant. euro, peso.
laboratories in Queretaro.
Metal components
Supports training programs
plant.
from the UNAQ.
Closeness of Mexico
Air transport, with the United
Industrias engineering, States’ market, Manufacturing of the first
Turborrectores manufacturing and Mexico’s static seal T900 motor in
(ITR) maintenance of gas participation in Mexico.
turbines. NAFTA, facility to
save on tariffs.
Work was moved from
Toronto to Mexico,
Reduction in
manufacturing of harnesses
production costs.
and electric systems for
Importance of
Manufacturing of Challenger 300, 605, 850, 870,
Bombardier: Mexico’s
regional aircraft, 890 models.
three plants participation in the
executive jets. Active relationship with the
integration of the
UNAQ.
FTA, with Japan and
Integrated few direct Mexican
the EU.
suppliers because of
certification problems.
Grupo Safran:
Aeronautical
eight production Interest because of
propulsion and
and maintenance Mexico’s
equipping, defense
plants in participation in Heads French-Mexican
and security.
Mexico. NAFTA. campus of aviation.
MRO landing gears
Messier Services Maintenance of Active participation in the
with machining and
Messier Dowty Airbus 320 and UNAQ.
treatment.
Sncema Boeing 737
Generation of
Sames in components.
biofuels.
Queretaro

3
From author interviews conducted with said companies.
53 Space & Defense

Figure 1: Institutional Network Supporting the Aerospace Cluster in Queretaro4

4
Information provided by Casalet, M. 2013.
The Centro de Ingeniería Avanzada en Turbomáquinas (CIAT) (Center of Advanced Engineering in Turbomachines) began its activities as an
engineering services provider for General Electric (GE), specifically assisting two companies that belong to GE—GE Power Systems and GE
Aircraft Engines—with design, drawing, engineering, and analysis activities. The CIAT evolved into the biggest and most important aviation
engineering center outside the United States, as part of a global network of development centers from GE.
El Centro de Desarrollo de la Industria Aeronáutica (CEDIA) (Development Center of the Aeronautical Industry) depends on the Tecnológico
de Monterrey, Queretaro Campus. Among its objectives are development of the aeronautical industry and training of high-level professionals.
CEDIA also offers solutions to technical problems for companies that seek to become part of the chain of production in AI.
The Universidad Nacional Aeronáutica de Querétaro (UNAQ) (The National Aeronautical University of Queretaro): Created in 2007 to
respond to the needs of highly skilled labor, it has teaching personnel from aerospace companies (OEM, Tier 1) and the support of Public
Research Centers such as the Centro de Ingeniería y Desarrollo Industrial (Cidesi) (Center of Industrial Engineering and Development). Oriented
towards electronic and advanced manufacturing, the Centro de Investigación y Asistencia Técnica del Estado de Queretaro A.C. (Ciateq)
(Technical Research and Assistance Center of the State of Queretaro) offers technical training to companies and technical assistance services
specialized in measuring systems, machinery and equipment design, monitoring and control systems, process engineering, and advanced
manufacturing. The Centro de Investigación y Desarrollo Tecnológico en Electroquímica (Cideteq) (Center for Technological Research and
Development in Electrochemistry) offers accredited services to the industry in chemical analysis, material analysis, and environmental
technologies.
Laboratorio de Pruebas y Tecnología Aeronáutica (LaBTA) (Aeronautical Testing and Technology Laboratory): Created jointly by the Cidesi,
Ciateq, and Cideteq, it has support from Conacyt and the State of Queretaro to carry out specialized services for aeronautical companies. LabTA
offers laboratory services (chemical analysis of materials and composites, physical-chemical and behavior testing in services of composite
materials, vibration diagnosis, and noise analysis) and assistance in product development, including design and manufacturing of testing
prototypes and devices (design and manufacturing of process and testing equipment; design of metal, polymers, and composite products;
design, manufacturing and activation of testing devices: hydraulics, pneumatics, mechanical, and fatigue).
Red de Investigación e Innovación Aeroespacial del Estado de Querétaro (RIIAQ) (Aerospace Research and Innovation Network of the State
of Queretaro) emerged in calls by Conacyt to stimulate the formation of alliances between public and private agents in critical areas of
knowledge, research, and creation of productive capacities. RIIAQ led to the formation of the Aerospace Cluster in Queretaro financed by OEMs
and made up of companies, public research centers, and intermediate companies in Queretaro (Casalet, 2013, op. cit.).
 Essays

Book Review
Crowded Orbits: Conflict and Cooperation in Space
by James Clay Moltz (Columbia University Press, 2014)

Deron Jackson
A popular space primer serves both the policy and academic communities.

Human beings have perceived outer space electromagnetic spectrum used to gather and
as infinite for centuries, and since the observations communicate information with satellites or the
of Edwin Hubble in the 1920s, scientists have three distinct orbits they inhabit. Moltz gives his
studied phenomena that suggest the universe itself readers just enough of an overview of the
is expanding. However, as the title of Clay scientific principles in order to make sense of the
Moltz’s most recent book points out, the region of political challenges discussed in greater detail in
space most important to the economic and the chapters that follow. Those interested in more
physical security of residents on Earth is science can consult The Physics of Space Security
increasingly viewed as far from infinite. by Wright, Grego, and Gronlund (Cambridge,
MA: American Academy of Arts and Sciences,
In Crowded Orbits, the author introduces readers 2005), which is the near perfect complement of
to the many ways in which orbital space around Moltz’s approach, beginning with one section on
the Earth is in fact distinctly limited by principles policy implications and following up with twelve
of physics as well as politics. This discussion is sections discussing technical operations in space.
of value not only to scholars and students of space
policy but to those concerned more broadly with While the description of orbital space as “crowded”
questions of international cooperation and conflict takes top billing in the title, in reality the book’s
in the early 21st Century. Our journal, Space and real emphasis is not so much on what contributes
Defense, represents the Eisenhower Center’s to that congestion but on the political implications
continuing effort to broaden scholarship on issues of that congestion as evidenced by the subtitle:
of space policy and security. With the publication Conflict and Cooperation. Both conflict and
of Crowded Orbits, Clay Moltz again cooperation are possible outcomes from operating
demonstrates his leadership as a scholar and in a space environment that the United States has
expert in this field, which has already benefitted called both “congested” and “contested” in its
from his previous books: Asia’s Space Race recent space strategy documents. The dual nature
(2011) and two editions of The Politics of Space of conflict and cooperation in space is not a new
Security: Strategic Restraint and the Pursuit of development, as outlined in Moltz’s second
National Interests (2008 and 2011). chapter which charts the politics of the space age.

The first hurdle encountered in presenting space The use of space by the United States and Soviet
security issues to a wider audience, to include Union was made possible through development of
those in the policy-making community, is dealing long-range ballistic missiles primarily intended
with a subject that requires a certain degree of for delivery of nuclear weapons. However,
understanding of abstract scientific principles. discovery of the effects of nuclear weapons on the
This challenge is addressed in the first chapter of space environment led to the first arms control
Crowded Orbits. There Moltz surveys treaty of the Cold War, the Partial Test Ban Treaty
characteristics of the orbital domain which make (PTBT) of 1963, which banned further
it intrinsically different from land, sea, or air as atmospheric testing (p. 40). Although their
venues for human activity. Understanding these terrestrial arms race and intense political strategic
principles helps explain why orbital space can be competition continued throughout the 1960s and
considered “crowded,” as the title suggests, 70s, the two superpowers were nonetheless able to
whether from the perspective of the limits of the establish the basic international legal framework
55 Space & Defense

governing activity in space, in particular the 1967 A one-kilogram picosat may be viewed as an
Outer Space Treaty (OST). innovative platform for allowing students or
emerging nations to study the uses of space for
The OST and other agreements which followed it their first time; this same satellite may be viewed
represent a high water mark in the use of formal by an established operator as “debris.” Among
treaties to regulate space activity, a practice that the questions to be answered is how to ensure the
has declined in recent decades. Although certain increasing number of small vehicles do not collide
aspects of the cooperative paradigm established with larger (and more expensive) satellites
by the OST have continued, when the Cold War operated by governments or private companies.
heated up one last time at the end of the 1970s and What degree of responsibility must be borne by
into the 1980s, the prospect for conflict in space any satellite operator to ensure their vehicle does
began to rise. Both the U.S. and U.S.S.R. not collide with another while active and is
engaged in testing anti-satellite weapons (ASATs) removed from orbit when it reaches the end of its
and debated the role of space systems in useful life? Although the United States leads the
defending against ballistic missiles (p. 50). Such international community in tracking orbital debris
weapons were never used against the other side, and providing data to avoid collisions, America is
however, and the framework for space established neither a global policeman nor an orbital garbage
in the first half of the Cold War was still intact collector. Debris mitigation and remediation
when the Berlin Wall was torn down and the remain tasks requiring a cooperative response
Soviet Union passed into the dustbin of history. from all spacefaring states, working against the
temptation to be a “free rider” and leave the
It may very well be time to consign the term consequences to other nations or future
“post-Cold War” to that same historical dustbin generations.
and search for a new label to assign the world of
today, which has seen significant changes in the As Moltz draws toward his concluding chapter on
number and nature of the actors and challenges “Trends and Future Options,” a number of
confronting leaders and citizens in the 21st questions emerge out of the preceding sections for
Century. Although the nature of the physical consideration, which may prompt individual states
environment of space is inherently the same in to work cooperatively to avoid conflict and find
2016 as it was in 1957, 1967, or 1989, the their “SALT moment,” as discussed in this issue’s
political environment is transforming rapidly. essay by our publisher. Will crowded orbits place
The number of states with the capability to launch pressure or limits on military activity as more
objects into orbit has continued to grow, and the states integrate the use of space into their armed
number that make use of space for civil, forces? Civil space activities have been one area
commercial, or military purposes has expanded of cooperation among allies and between former
far beyond the elite club of two space-faring states adversaries. However, it is possible that the civil
in the late 1950s. Compounding the problem of sector may see a trend toward re-nationalization,
crowded orbits is the advance of technology away from collaborative projects and back toward
making possible the proliferation of even smaller national space programs working alone. It is also
satellites, down to the size of “picosats” weighing possible we will see de-nationalization of space
in at only one kilogram (p. 103). While these new activities with a rise in privately funded ventures
systems make it possible to lower the cost of aiming at putting humans in orbit and eventually
exploring and using space, they simultaneously on Mars. The reality is we will probably see more
complicate the political problem of “crowded of both, making the urgency for dealing politically
orbits” by raising the number of objects in play. with Crowded Orbits even more critical.
 Essays

Publisher’s Corner
Space Policy’s SALT Moment

Roger G. Harrison

The market for a leap forward in space arms control is open. Now, who’s buying?

The United States is facing a fundamental But national satellite operators are not party to the
decision about space policy which arises from a SDA, and not governed by its provisions.
question: does our national interest in an ordered Commercial companies saw reason to be more
space environment trump our absolute insistence transparent about the location and functioning of
on a policy of freedom of action? Or is the their satellites because it was good business; like
looming threat of over-crowded orbits, frequency any frontier, including frontiers opened by new
interference and debris – of contested, congested technology, the era of the gunslinger had to yield
and competitive space – so pressing that we must to the more settled and more sustainable era of
accept some greater transparency for our national law and order; anarchy in space might have been
security space operations, even greater acceptable when the domain was still relatively
information sharing with China, Russia, and empty. But gunslingers still lurk down every ally
commercial space operators, and perhaps some in national security space. The commercial
limits as well on activities affecting satellites in example is therefore no precedent.
orbit?
Some impetus toward order nevertheless applies
A reader familiar with space operations will to national space actors. The same conditions of
immediately object that freedom of action in increasing debris, crowded orbits, and
space is more apparent than real. In fact, space is electromagnetic interference apply to them; all
a heavily regulated environment, where most swim in the same increasingly polluted stream.
operators observe a host of rules most of the time. But there are obvious inhibitions to self-restriction,
The question is, rather, whether the current, which apply particularly to national actors.
largely voluntary regulatory environment is robust Threats to profits are a minor matter compared to
or comprehensive enough to cope with an overall threats to national security. So while the SDA has
satellite population growing ever larger and more been a success and shown the way, there are other
technically and politically complex? problems that may inhibit the major national
players from joining the fold.
The crisis point has not yet been reached.
Disputes about things like assigned frequencies These begin with mutual suspicion. The eras of
and orbital position are still relatively rare and, relative progress in international space
with some exceptions, peacefully resolved. The cooperation have coincided – roughly speaking –
commercial players in particular are a great deal with eras of increased cooperation within the
more cooperative with each other than they were atmosphere. Indeed, sometimes, as in the Nixon
even ten years ago, a phenomenon exemplified by Administration, space was used as a stalking horse
the Space Data Association, an information for detente. The first high profile instance of
sharing agreement to which companies operating U.S.-Soviet scientific collaboration, emerging
90% of satellites in orbit are now party. Thanks from the depths of the Cold War, was the joint
to the agreement establishing the SDA, there are mission bringing U.S. and Soviet astronauts to the
for the first time real penalties for disruptive orbiting manned Soviet Soyuz satellite in 1972.
activities in orbit, which can amount to tens of Cooperation on the International Space Station,
millions of dollars in particularly egregious cases. which flourished after the demise of the old Soviet
The result is a much more orderly environment for Union, was a great leap forward in the same
commercial activity in space than ever existed direction, and has continued even as relations
before.
57 Space & Defense

between a resurgent Russia and a wary United The present Administration recognized this early
States have worsened. on. The word “cooperation” appears 13 times in
the first Obama Administration space policy
To this must be added the debut of a new and very document, and the word “collaboration” twice.
secretive China to the list of major actors in space. “Space Control,” on the other hand – the mantra
China’s policy has for the last decade explicitly of the neo-conservatives who tried and failed to
rejected the idea of greater transparency, not to make it a reality – appears only once, in an annex.
mention any hint of restrictions on freedom of There was hope as this new Administration took
action. “We are like a man with a knife; you are office that the other major space actors would see
like a man with a gun.” No American who has the same looming danger we did. Since we were
dealt with a Chinese interlocutor has been spared far and away the predominate power in space, and
this fatuous simile. Those Chinese having since we depended on no one except ourselves for
interaction with the West on space – which means, space situational awareness, our willingness to
those who parrot but hardly influence Chinese cooperate should have been seized on by the other
policy – use that line as an all-purpose response to actors.
any initiative from the United States for greater
information sharing about space. These smiling That didn’t happen. The United States leaned
individuals repeat to the point of exasperation that forward almost to the point of toppling over on
the Chinese cannot hold transparency discussions space with the PRC, only to be greeted with
with the United States until they achieve parity in implacability, impenetrable suspicion, and some
space, to include control of space on the nonsense about knives and guns. There might
peripheries of their country. have been a new beginning with President Xi.
Instead, the lines of communication on space –
Whatever parity means – and this is never detailed never humming – went completely dead. And so
– the goal of achieving it seems to be ever the situation remains. The EU tried to jump start
receding into the future. And control of space on a dialogue about sensible order in space by
the peripheries of the Central Kingdom means the proposing vague and entirely voluntary “rules of
capability of controlling it everywhere. In short, the road,” which were far less onerous and
Chinese policy on space is as proprietorial and restrictive than mandatory limitations of the Outer
aggressive as that of the most hardline and Space Treaty to which all major players were
paranoid of American space control advocates. It statutorily bound. Repeated offers to further
doesn’t take much to imagine that knife about empty the new “rules” of content failed to create
which they prattle slipping silently between our the barest hint of consensus.
ribs.
It is tempting – indeed, it is almost required – to
Donald Rumsfeld was once presented with a conclude that international cooperation in space
policy paper that described space as a “commons.” will not soon move beyond the stage it has
The word apparently conjured for the Defense reached. The momentum seems to be in the
Secretary an image of flower children in opposite direction. What can change? A change
communes; it is claimed by those who suffered his in Chinese attitudes would give some hope; but
wrath on that occasion that as soon as he there is no sign of that. Some grand disaster
encountered the word, their cause was lost. It affecting everyone and showing the vulnerabilities
isn’t, of course, the only thing Secretary Rumsfeld and weaknesses of the current structure may be
got wrong. Space is a commons for better or necessary. While we await that catastrophe,
worse. whatever it may be, the present, deeply flawed
system will just have to cope. RGH
 Notes for Contributors to Space & Defense
Space & Defense seeks submissions that will contribute to the intellectual foundation for the integration of space into overall security studies.

Indeed, the emergence of space as a unique and critical element in national security, economic security, homeland security, cyber security,
environmental security, and even human security has persuaded us that this line of inquiry is vital to innovation for international security.

Contributions are welcome from academic scholars and policy analysts at think tanks and research institutes; senior management and policy
officials from international and governmental agencies and departments relevant to space and security issues; senior management and policy
officials from organizations responsible for critical national and international infrastructures that rely upon space; major aerospace corporations;
scientists and engineers interested or involved in space and security policy issues; military officers and operators in relevant units, commands,
and in staff colleges and service academies.

The journal welcomes submissions of scholarly, independent research articles and viewpoint essays. There is no standard length for articles, but
7,500 to 10,000 words, including notes and references, is a useful target for research articles, and viewpoint essays should be in the range of
2,500 to 5,000 words. The opinions, conclusions, and recommendations expressed or implied within Space & Defense are those of the
contributors and do not reflect those of the Eisenhower Center for Space and Defense Studies, the Air Force Academy, the Air Force, the
Department of Defense, or any other agency of the United States Government.

Articles submitted to Space & Defense should be original contributions and not under consideration for any other publication at the same time. If
another version of the article is under consideration by another publication, or will be published elsewhere in whatever format, authors should
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describes the main arguments and conclusions of the article.

Details of the author's institutional affiliation, full address, and other contact information should be included in a separate file or cover sheet.

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Contributors should not submit PDF files. All manuscripts submitted to Space & Defense need to be double-spaced with margins of 1 inch or 2.5
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Address manuscripts and all correspondence to:

Dr. Damon Coletta, [email protected] (e-mail),
or 719-333-8214.

On the basis of peer reviews for research articles, the academic editors will make a final decision for publication. If required, the author(s) will be
required to make additional changes and corrections as a result of the external peer review.

TABLES AND FIGURES

All maps, diagrams, charts, and graphs should be referred to as figures and consecutively numbered and given appropriate captions. Captions for
each figure should be submitted on the same page as the figure to avoid confusion. Tables should be kept to a minimum and contain only
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Authors are responsible for ensuring that their manuscripts conform to the style of Space & Defense. The editors will not undertake retyping of
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Listed below are some additional style and writing guides:
• Dates in the form: 1 January 2009.
• Headings (bold, ALL CAPS, title case and centered).
• Subheadings (bold, italic, title case and centered).
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• The 24-hour clock is used for time, e.g., 0800, 1300, 1800.
• Use percent rather than % except in figures and tables.
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• Avoid policy recommendations in the analysis part of paper; leave this, if applicable, for a separate section at the end of the paper.
• Define all new terms used in paper.
• Avoid hyphenated words when possible (e.g., low Earth orbit).
• Avoid the use of passive voice when possible.
• Footnotes, numbered consecutively with a raised numeral in the text, use the Insert-Preference-Footnote function of Word.