“Meeting an advanced civilization could be like Native Americans encountering Columbus. That didn't turn out so well for the Native Americans.” Footnote 1
In recent years, international lawyers have helped nations establish cooperative arrangements regarding a variety of nontraditional challenges, such as human activities in Antarctica and outer space, the proliferation of nuclear weapons, climate change, and regulation of the internet. Scientific and technological advances—including developments in artificial intelligence, genetic engineering, and nanotechnology—have raised new concerns potentially calling for collective international approaches and responses. This Comment calls attention to another emerging issue that deserves the involvement of international lawyers—the possibility that humanity might make contact with intelligent and technologically advanced life elsewhere in the galaxy and universe. This Comment also considers whether we need a UN treaty or other international measures establishing protocols and international oversight regarding current efforts to search for, contact, and communicate with intelligent extraterrestrial beings and civilizations.
I. Some Background
In 1960, Cornell astronomer Frank Drake trained the radio telescope at the National Radio Observatory at Greenbank, West Virginia, on several nearby stars, hoping to detect interstellar radio transmissions indicating the presence of intelligent life and civilizations (“ETs” or “aliens”) on other planets in our “Milky Way” galaxy.Footnote 2 While Drake's “Project Ozma” failed to detect any such transmissions, it pioneered what has since become a multinational and broad-based Search for Extraterrestrial Intelligence (SETI)Footnote 3 involving not only astronomers and other space-interested scientists, scientific institutes, and associations, but also national governments, international organizations, and many private individuals.Footnote 4
These SETI-related activities reflect the current surge of interest in the perennial question, “Are we alone in the universe?” Is life—in particular, intelligent and technologically advanced beings such as our human species—unique to planet Earth, or might intelligent and technologically advanced beings and civilizations exist on other planets in our galaxy or other galaxies in the universe? If so, might we contact such extraterrestrial beings and civilizations, what might they be like, and what might be the consequences of such a contact or encounter? Might humanity's contact with an alien civilization offer us enormous benefits from acquiring its advanced knowledge and technology? Or instead, might our attempts to discover, contact, and possibly encounter extraterrestrial civilizations pose grave risks—perhaps existential dangers—for our human species and, if so, should we seek or facilitate such contacts? Finally, in view of the risks and probable global impact of humanity's contact with any extraterrestrial beings and their civilization, should there be greater collective international oversight and regulation of SETI and SETI-related activities and decisions and, indeed, more involvement in such matters by international lawyers?
While as yet we have no evidence of the existence of life—more particularly, intelligent life—elsewhere in the universe, a number of astronomers and other scientists and commentators believe that we are but one among many intelligent and technologically advanced species in the cosmos.Footnote 5 Scientists estimate that there are hundreds of billions of stars in our galaxy, as well as billions of other galaxies in the universe; that, as NASA's Kepler space telescope and new Transiting Exoplanet Survey Satellite have established, many, if not most, stars host one or more planets, suggesting many billions of planets in our own galaxy alone; and that some of these exoplanets are similar to Earth—rocky and in so-called “Goldilocks” orbits relative to their host star, possibly having liquid water, and with other conditions favorable to the emergence and evolution of life.Footnote 6 While we are not yet sure how life emerged on Earth, SETI proponents argue it is unlikely that life, including intelligent life, would have appeared only on Earth but not on some of these Earth-like exoplanets as well. Moreover, the Earth is only about four billion years old and our human species, civilizations, and technology have emerged only within the last 200,000 years or so—very recently as compared with the formation of the universe some fourteen billion years ago. Consequently, intelligent alien life and civilizations may have appeared on at least some of these Earth-like exoplanets thousands or even millions of years before us and to have developed knowledge, cultures, and technology now far in advance of our own.
Most SETI-related activities have been essentially “passive,” using powerful radio telescopes in a number of countries to try to detect radio or other electromagnetic signals from distant stars indicating the presence of technologically advanced ET civilizations.Footnote 7 The likelihood of more such SETI radio telescope searches has recently received several boosts. In 2015, Russian billionaire Yuri Milner, together with astrophysicist Stephen Hawking, established a $100 million “Breakthrough Listen” program which will fund a major expansion of such efforts.Footnote 8 And in 2019, the Chinese government completed and began operating its new “FAST” radio telescope, one of the world's largest, which has a scientific mission specifically including searching for interstellar messages and perhaps making China the first nation to contact an interstellar alien civilization.Footnote 9
However, some SETI-related programs—so-called “Active SETI” or Messaging Extraterrestrial Intelligence (METI)—involve not simply passively listening for interstellar messages, but deliberately trying to announce to possible ET civilizations humanity's presence on Earth and inform them about Earth and our civilization. Since Drake's 1960 “Ozma” project, a number of such messages have been sent from radio telescopes in various countries to distant stars, in hopes that an alien civilization may detect and decipher them.Footnote 10 The “Arecibo Message,” composed by Frank Drake and Cornell physicist Carl Sagan and sent from the Arecibo radio telescope in Puerto Rico toward the star M13 some 25,000 light years from Earth, is a widely reported example.Footnote 11 In addition, the U.S. National Aeronautics and Space Agency (NASA) placed plaques on its 1972 Pioneer 10 and 1973 Pioneer 11 space probes as well as a “golden record” on its 1977 Voyager I and II space probes similarly describing humanity's existence on Earth to any ET civilization that might intercept them.Footnote 12 More recently, in 2015 a group of prominent scientists formed a new association, METI International, to advocate and support additional METI efforts and programs.Footnote 13
These efforts have their critics. Some question SETI's broad justification—whether the costs of “Passive SETI”—including the diversion of scientific resources such as radio telescopes or space probes to SETI rather than more traditional scientific purposes—are worthwhile, considering the remote chance of detecting any interstellar communications or making contact with an ET civilization. However, the major controversy concerns METI.
METI critics, who include well-respected scientists and other prominent individuals, argue that, in view of what they believe are the significant, perhaps existential, risks involved, we should not do anything—such as either sending or replying to any interstellar messages—that might alert or reveal humanity's existence on Earth to any extraterrestrial civilizations.Footnote 14 They warn that, while we may hope an advanced alien civilization will be benign and altruistic, it may instead be malign, predatory, or indifferent, intent only on exploiting, colonizing, or even destroying our human species, and have advanced technologies and weapons we cannot resist. As the distinguished English theoretical physicist Stephen Hawking and other critics have stressed, human history and experience strongly suggest that, when a more-technologically advanced and less-technologically advanced civilization come into contact, the less technologically-advanced is usually the loser. Moreover, contact with an alien civilization could have profound—perhaps disruptive—religious, cultural, and other impacts on human societies. Consequently, they urge that our safest and wisest course is to “lie low,” hoping that an advanced and possibly aggressive alien civilization will simply not notice or bother us.
METI proponents answer that these critics’ concerns are overblown and, in any case, moot.Footnote 15 They point out that, for more than a century, we have been leaking radio, TV, and other electromagnetic signals from Earth out into space and that NASA's “New Horizon” and other deep-space probes have already left our solar system on journeys far into our galaxy. Consequently, advanced ET civilizations may already be aware of our existence, and it is now too late for us to hide. They also argue that, in view of the vast interstellar distances involved and inherent physical limits on the speed of interstellar communication and travel, it is unlikely that any alien civilization will be able to detect and receive any of our messages, much less travel to Earth and actually threaten us, if at all, for a very long time. The Arecibo message will not even reach M13 for almost 25,000 years!
II. Existing Legal Framework
At present, there are no legally binding international agreements specifically addressing SETI or METI activities and issues. The 1967 UN Outer Space Treaty at least makes clear that all human activities relating to outer space are of international concern, and expressly mandates freedom of scientific investigation and international cooperation in outer space investigations and activities.Footnote 16 But none of the other present UN space treaties applies or speaks directly to these issues.Footnote 17
Responding to these concerns, the SETI community has developed several protocols or declarations setting out principles and procedures that scientists, institutes, researchers, and other participants in SETI-related activities ought to observe.Footnote 18 The Declaration of Principles for Activities Following the Detection of Extraterrestrial Intelligence—the so-called “First Protocol”—was developed and adopted in 1989 and revised in 2010 by the SETI Permanent Committee of the International Academy of Aeronautics (IAA) and has been endorsed or approved by many leading space-involved associations and most SETI researchers and institutions.Footnote 19 It establishes principles and procedures regarding the confirmation and dissemination of information relating to a detection of ET intelligence and provides in substance, that: (1) all SETI experiments should be conducted transparently; (2) discoverers should make all efforts to verify the authenticity of a supposed detection of ET intelligence; (3) if a detection's authenticity is confirmed, discoverers should openly disclose the detection to the public, scientific community, and UN Security Council and make any data available to the scientific community; and (4) if a detection is confirmed, a Post-Detection Task Group should be established under the auspices of the International Academy of Astronautics’ SETI Permanent Study Group to assist in any matter that might arise and its subsequent scientific and public analyses. While the First Protocol primarily addresses “passive” SETI concerns, its Principle 8 provides: “Response to Signals: in the case of a confirmed detection of a signal, signatories to this Declaration will not respond without first seeking guidance and consent of a broadly representative body, such as the United Nations.”
A proposed second Protocol, the Declaration of Principles Concerning Sending Communications to Extraterrestrial Intelligence, has also been prepared under the auspices of the SETI Committee of the IAA, in consultation with Committee 51 of the International Astronautical Union, by a special subcommittee under the leadership of Michael Michaud.Footnote 20 It has been endorsed by the Academy, the International Institute of Space Law, and a number of other space and astronomy organizations, and sent to a number of UN member states with a request to bring it to the attention of the UN Committee on the Peaceful Use of Outer Space (COPUOS) for its further study and action. However, the Declaration has not yet been opened for acceptance or endorsement by the individual scientists, institutions, or researchers engaged in SETI-related or METI activities.
Addressing METI issues more directly, the Draft Communications Declaration proposes an international process for deciding whether and how “Humankind” (its term) should send communications to an extraterrestrial civilization. The Declaration includes the following general principles: (1) the decision on whether or not to send a message to extraterrestrial intelligence should be made by an appropriate international body, broadly representative of Humankind; (2) if a decision is made to send a message to an extraterrestrial intelligence, it should be sent on behalf of all Humankind, rather than from individual states or groups; and (3) the content of such a message should be developed through an appropriate international process, reflecting a broad consensus. Principle VIII of the proposed Draft Declaration provides expressly that: “No communication to extraterrestrial intelligence should be sent by any state until all appropriate consultations have taken place. States shall not cooperate with attempts to communicate with extraterrestrial intelligence that do not conform to the principles of this Declaration.”
While these protocols provide very useful guidelines, neither of them is legally binding; they are, in international lawyers’ parlance, at best, soft law. Nation-states are not parties to the Protocols, and they are intended to apply only to those SETI-involved scientists, institutes, and researchers voluntarily accepting or endorsing them. Since neither protocol is legally binding and enforcement mechanisms are lacking, compliance with their principles is uncertain. While in most cases considerations of personal and professional responsibility can be expected to bring about observance, special situations may arise where strong governmental or other pressures lead to noncompliance.
III. Developing a Treaty or Soft Law
In view of the importance of SETI and METI issues and the nonbinding and other limitations of the SETI protocols, some commentators have proposed enshrining the principles of both protocols—perhaps with provisions addressing additional SETI and METI issues—in an international agreement legally binding upon states, most likely prepared under the auspices of the UN Committee on the Peaceful Use of Outer Space (COPUOS) and its Office of Legal Affairs.Footnote 21
There are several arguments for preparing such a Treaty, including the following. First, the “Breakthrough Listen” initiative, China's new FAST radio telescope, and other recent SETI programs have increased chances for “First Contact,” which, while unlikely, still might occur at any time, and the consequent need for currently establishing a legally binding or more robust international oversight and regulation of SETI-related activities. Second, since SETI and METI could have consequences for all nations and peoples, UN and COPUOS consideration of SETI issues would ensure a broader and more inclusive nation-state and international scientific and other expert participation and involvement in these issues than the SETI community alone can now provide. Third, a treaty on this subject should be relatively easy for COPUOS to consider and prepare since much of the study, preparatory discussion, and drafting has already been done by the SETI community in developing the two Protocols previously suggested. Finally, UN and COPUOS involvement might allow and spur consideration of a broader treaty dealing more generally with additional SETI and METI issues—such as “who should speak for Earth?” and how our international community might deal with an actual encounter with ETs or an alien civilization.Footnote 22
The principal arguments against preparing such a treaty might include the following. First, it is unnecessary and untimely, since the existence of ET intelligence and civilizations is unproven and debated and the likelihood of our contact with an alien civilization, especially in the immediate future, is remote. Second, the existing SETI protocols already deal adequately with these issues and UN and COPUOS consideration and involvement may only confuse and possibly reduce their authority and effectiveness. Third, UN and COPUOS consideration of such a treaty may delay or divert the UN and COPUOS from dealing with more important and urgent matters and issues. And finally, in any event, any need for further international oversight and involvement might be better dealt with, if at all, not by a formal treaty, but instead either by COPUOS's preparation of a UN Declaration regarding these SETI issues, which might strengthen the normative influence of the existing SETI protocols, or by establishing a continuing UN committee, perhaps under the auspices of the UN Security Council and/or secretary-general, to monitor and advise them on any issues regarding SETI, METI, or “First Contact” that might arise.
In my opinion, there is no immediate need to seek a formal and legally binding UN treaty regarding SETI-related activities. As suggested, the likelihood of our soon contacting extraterrestrial beings and civilizations is speculative and remote. The issues raised by SETI and METI are of principal concern only to the relatively few countries and scientists—mostly from developed nations—currently engaged in SETI research. Moreover, the existing SETI protocols and principles—developed by experts most involved—already well address the most important of these SETI and METI issues. Even though the SETI protocols are not legally binding, they are in practice likely to be observed by the professionally responsible researchers involved. Consequently, many UN members may have little interest in participating in the development of such a treaty and may regard efforts to do so an unnecessary and wasteful diversion of UN resources from other more immediate and important problems. Indeed, if such a treaty was in fact developed but received only limited ratifications and support, its effect might be to weaken rather than buttress the normative principles set out in the protocols.
However, even if the arguments against the international community's now seeking a binding international instrument regarding SETI-related issues are persuasive, there are nevertheless good reasons why the UN and COPUOS should currently consider adopting some type of nonbinding measures concerning such issues.Footnote 23 For example, a UN General Assembly resolution or declaration of principles could serve several useful purposes—calling the international community's attention to the importance of SETI and METI issues; furnishing an occasion for broader international participation and discussion of such issues; endorsing and reinforcing the principles set out in the existing SETI protocols; providing a basis for related national legislation; establishing procedures for international oversight and monitoring of SETI and METI activities; and perhaps suggesting the study and adoption of other desirable SETI-related initiatives and measures.
As extensively discussed in the international law literature,Footnote 24 such soft law instruments and measures have helped nations to cooperate in dealing with many common issues and problems by providing norms, standards, and procedures which most countries will generally respect and observe. Moreover, since such soft law instruments are not in themselves legally binding, they might be regarded as less risky and thus easier for nations to develop, agree to, and support than formal “hard-law” treaties. As Francis Lyall and Paul B. Pearson point out in their treatise on Space Law, UN General Assembly declarations, resolutions, and other soft law measures may have a wider influence on international space law developments, including the subsequent negotiation of legally binding international agreements concerning the same subjects and the development of customary international law.Footnote 25
The chances of our contact or encounter with extraterrestrial beings or civilizations may be remote. Yet, as Stephen Hawking and others have argued, the risks and impact of such a contact for our human species could be very great—even existential. Consequently, the issues raised by SETI and METI merit the international community's, COPUOS's—and international lawyers’—timely concern and consideration.