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APPENDIX 1 TO ESTEC/ITT AO/1-6929/11/NL/MH

ANNOUNCEMENT OF OPPORTUNITY

Appendix 1 to ESTEC/ITT AO/1-6929/11/NL/MH Ref: Startiger2011, Issue 1 Page 1

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STARTIGER ANNOUNCEMENT OF OPPORTUNITY (AO)

1. PURPOSE OF THE ANNOUNCEMENT OF OPPORTUNITY (AO) OBJECTIVE This AO solicits proposals for the fast development of advanced technology according to the StarTiger (for details see chapter 2) concept. This shall be implemented in two steps: Step 1: Outline proposals to be submitted in response to this call, evaluation and preselection of candidate proposals; Step-2: Full proposals to be submitted afterwards by the pre-selected bidders, evaluation and final selection;

Followed by negotiation and, if successful, by contract award.

ADDRESSEES This initiative is addressed to groups of researchers of ESA Member States and Canada. When justified, the groups may include researchers from other countries provided their participation does not imply any restriction to the use by ESA of any results and the underlying research. The proposal shall be submitted by a lead organisation (the host entity) from ESA Member States, which will interface with ESA.

PROGRAMMATIC CONSTRAINTS The total cost to ESA for each proposal shall not exceed 800 K and the actual technical work shall be completed within 6 months, excluding any possible preparatory and/or preliminary administrative activities.

LOCATION The selected group of researchers shall work concurrently and co-located for the entire duration of the technical work in a facility equipped with all the required means. Please note that a clear justification for the choice of the facility shall be part of the proposal. ESTEC can be considered as a candidate location and a list of ESTEC facilities is therefore included in ANNEX 1 for convenience.

Appendix 1 to ESTEC/ITT AO/1-6929/11/NL/MH Ref: Startiger2011, Issue 1 Page 2

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CONTACT POINT Outline proposals shall be submitted not later than the 3rd of October to the responsible Contracts Officer: Mr Marnix Houten (PFL-PTE) Procurement Service for Electrical and System Engineering Using the following address: EUROPEAN SPACE RESEARCH AND TECHNOLOGY CENTRE Keplerlaan 1 NL-2201 AZ Noordwijk The Netherlands Attn.: Mr. M. Houten (PFL-PTE) Ref.: AO/1-6929/11/NL/MH StarTiger Announcement of Opportunity Questions may be addressed to the responsible Contracts Officer (fax number +31 71 565 5773). Relevant questions of general interest will be published on EMITS with the answers.

2. STARTIGER BACKGROUND AND PRINCIPLES BACKGROUND StarTiger stands for Space Technology Advancements by Resourceful, Targeted & Innovative Groups of Experts & Researchers) Startiger is conceived as an ESA initiative within the Basic Technology Research Program (TRP) aiming at facilitating innovative and breakthrough research. StarTiger is proposed as a pillar of innovation addressing not only the technology itself but also the way R&D (Research and Development) is conducted and implemented. Moreover, the StarTiger development scheme shall facilitate technology spin-in where joint work of space and non-space experts is required in short time so as to ascertain the feasibility of a non-space technology to cover space needs.

The primary concept is for the host entity to select a multi-disciplinary team of highly motivated scientists and engineers from several institutions. An international team, composed of experts coming from different institutions would be preferable. The team shall be granted priority access to state of the art equipment, facilities for the entire duration of the technical work. The core team is to be collocated to minimize formal interfaces and foster the flow of information within the team. The first StarTiger Pilot Project was conducted in 2002 with the following objectives: To explore a new way of performing technology R&D in general To demonstrate the concept as a framework for future implementations of the initiative

Appendix 1 to ESTEC/ITT AO/1-6929/11/NL/MH Ref: Startiger2011, Issue 1 Page 3

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The pilot projects led to the development of a prototype of high frequency camera in the 100s of GHz range. Such camera could have applications in space and has already found application in non-space domains and a company was founded based on its results. So, the pilot project was considered very successful, meeting the above objectives and proving the validity of the concept. The second StarTiger Announcement of Opportunity was issued in 2008 with the objective to select two projects, building on the lessons learned with the first pilot project. 10 Proposals for projects were received out of which 4 were selected for detailed evaluation. Resulting in one contract being placed to demonstrate a New Generation of Formation Flying Solar Coronographs, led by LAM (F) together with CSL (B), INAF (I), IASA (GR) and RAL (UK).

LESSONS LEARNED AND CURRENT SETUP Currently the TRP is based on tenders issued by the Agency with requirements generally driven by the needs of future ESA missions. It has to be taken into account that candidate ESA missions have already gone through some filters in terms of technical maturity and financial feasibility. This implies that such ESA missions, although challenging, may be constrained in their scientific/application ambitions. Therefore, there is a need to increase the level of innovation for technology R&D that gives wider opportunities for the generation of ideas for enabling technologies, including from outside the space segment. STARTIGER aims at accelerating the normal R&D development time, producing tangible results in a short timeframe. Based on the encouraging results of the previous StarTiger projects, the initiative has been put on a permanent footing, and for three years it will encompass one AO per year, leading nominally to the selection of one project per semester. The proposed projects shall be based on the investigation of novel non-conventional ideas, aiming at achieving technology breakthroughs with the maximum likelihood of success in the shortest period of time. Ideally, the innovations proposed would have the potential to becoming mission enabling technologies. ESA contribution shall be limited to 800 Keuro. The Permanent Startiger Initiative started in 2010 for an initial period of three years. The present AO shall cover the second year (2011) of the permanent Startiger Initiative.

Appendix 1 to ESTEC/ITT AO/1-6929/11/NL/MH Ref: Startiger2011, Issue 1 Page 4

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SUMMARY: STARTIGER GOALS AND SUCCESS INDICATORS The end goals, key features and guiding principles of the StarTiger concept are summarised in the below: The end goals: This is to be achieved by: ensure a regular pace and a continuous contact with academy and industry

to provide a scheme for Breakthrough R&D advancement and exchange of experience among experts and researchers to provide significant advancement with respect to the present state of the art of the technology selected for development to provide significant reduction in the turnaround time for the initial steps of technology development

selecting a multi-disciplinary team of highly motivated scientists and engineers in all necessary aspects of the selected domain granting the research team priority access to state of the art equipment, facilities (e.g. testing, production, etc.), computing power providing the research team with necessary technical support to avoid unnecessary interruptions providing the research team with all necessary back-ups for critical equipment. co-locating the core of the team in a centre that has all the necessary facilities for conducting the research, bearing in mind the above objectives providing an environment that assures that the core research team can work focused on the project for an intense period, no longer than 6 months, free from administrative burden and everyday day concerns.

General Success Indicators: A demonstrator shall be identified, as end product so as to be able to set up measurable success criteria and milestones. Such demonstrator will form the spine of the programme, and will act as a roadmap to guide researchers. It will be essential that fast dynamic assessment criteria are outlined and applied, and a decision process is established to rapidly progress with the evaluation of alternatives.

Appendix 1 to ESTEC/ITT AO/1-6929/11/NL/MH Ref: Startiger2011, Issue 1 Page 5

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3. PROPOSAL CONTENT GENERAL The process will be implemented in two major steps, reflected by the requirement for the preparation of the proposal for each step as detailed further on: Step 1: Outline Proposal submission, which can also include a round of clarifications, followed by selection of candidate proposals. Step 2: Full Proposal submission, evaluation and final selection

The proposal shall be in line with the requirements specified in the following. OUTLINE PROPOSALS The outline proposals, due as response to this AO, should be short, 10 15 pages, summarily addressing the contents of the full proposals (see below). These outlines shall identify the area of research, current status and research targets, proposed methodology, key technology areas to be covered by the team, IPR issues, identification of the co-location facility and estimated duration and cost.

FULL PROPOSAL CONTENT The full proposals, when required, should address the following points Objectives The proposal shall establish the objectives of the research exercise. It shall identify the technology domain and the expected utilization in space projects. It shall include a hardware demonstrator of the key technology at least at TRL-4 (see Annex 2). When relevant, potential spin-off (i.e. technology transfer) should be indicated. Statement of the Problem The proposal shall include a summary description of the status of the technology, of the need for progress and of the factors preventing progress. The proposal shall also include indications of the market needs / targeted applications and an analysis of potential competing solutions or teams pursuing the same solution. Goals and deliverables The proposal shall identify the goals to be achieved at the end of the exercise and the deliverables to be produced. Deliverables shall, as a minimum, include the demonstrator and the supporting reports. Documentation shall include public relation material. The team shall also provide a compilation of lessons learned and recommendations for future exercises. Technical Concept and Methodology The proposal shall include a preliminary concept and rough design of the targeted solution, so as to derive the initial specifications. It shall outline the concept of the demonstrator, which may serve as the lead for the project. The trade-off leading to the definition of the selected demonstrator concept shall be traced and duly justified.
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An outline statement of work shall be provided with descriptions of the tasks to be performed to meet the objectives and a list of deliverables shall be provided. The proposal shall identify the methodology to be followed. This may include theoretical and experimental work and be phased when major uncertainties exist. Success / failure criteria shall be identified for intermediate milestones and end results. Team and Facilities The proposal shall identify the team members and their respective roles and confirm their availability for the execution of the project. When so required, a call for specific experts can be issued inside the project. The proposal shall identify the co-location facility and demonstrate that it provides the means required to conduct the work (e.g. measurement, production, computing power, etc) and that such means are available without restrictions to the team for the execution of the work. In case the facility is not an ESA facility, ESA representatives shall have unrestricted access to the facility in the same conditions as the host and team leader. Programmatics The proposal shall include a realistic schedule with milestones and criteria to assess their achievement. The maximum duration of the technical work shall not exceed six months. The proposal shall include a cost estimate: manpower, travel, laboratory(ies) cost, consumables, etc . Critical areas, risks factors as well as the way to address them shall be specifically identified. Intellectual Property Rights (IPR) A detailed strategy on how to deal with IPR generated during the activity shall be submitted as part of the full proposal.

4. PROCESS PROPOSED PROCUREMENT PROCEDURE The AO procedure will consist of two Steps, including a total bidding period of 12 (twelve) weeks: First Step (outline proposal) 4 weeks, Second Step (complete proposal) 8 weeks. Both steps will follow a formal evaluation process with a Tender Evaluation Board, involving technical experts as required. Following the final selection, the Agency will contact the author(s) of the preferred proposal(s) to enter into contract negotiations. It is envisaged to place up to two contracts for a maximum of 800K Firm Fixed Price each. FIRST STEP In the first step outline proposals will be required. These outlines shall be submitted within 4 (four) weeks of issuing the AO. They shall identify the area of research, current status and aimed research targets, proposed methodology, composition and organisation of the team, identification of the co-location facility and estimated duration and cost. In any case, total cost to ESA should not exceed 800 k.

Appendix 1 to ESTEC/ITT AO/1-6929/11/NL/MH Ref: Startiger2011, Issue 1 Page 7

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The tender evaluation board will assess the proposals and review the scientific and technological merit of the proposed project with two main objectives: Assess the proposals and the clarifications gathered to advise proposing teams on the further course, e.g. suitability to the StartTiger approach, existence of similar proposals, assessing suitability of ESTEC as facility etc. Selecting candidates for requesting of a full proposal.

SECOND STEP Based on the first round of evaluation full proposals will be requested from those groups recommended during the first step. Full proposals shall be submitted to ESA within about 8 (eight) weeks after ESA request. These full proposals will be evaluated by the Tender Evaluation Board. Following the selection, the Agency will contact the author(s) of the preferred proposal(s) to enter into contract negotiations.

PROPOSAL SELECTION CRITERIA AND WEIGHTING FACTORS For both the pre-selection and the final selection, the following evaluation criteria and weighting factors will be used: 1. a. Relevance of the technology to European space needs b. Potential of the idea to advance the relevant technology c. Feasibility (within constraints) (Weighting factor 30%) Soundness of the methodology and proposed team (Weighting factor 30%)

2. 3.

Compliance with the Startiger concept, including its programmatic constraints (colocation, duration, teams multi-disciplinary profile, priority access to facilities, etc.) (Weighting factor 30%) Spin-in and Spin-off potential, including IPR strategy (Weighting factor 10 %)

4.

6. ENVISAGED SCHEDULE Reference schedule and deadlines: -Briefing -Deadline submission outline proposal -ESA feedback to promising teams and request for full proposals -Deadline Full proposals -Notification to selected candidates -Project start 9th of September 2011 3rd of October 2011 14th of November 2011 9th of January 2012 30th of January 2012 TBD

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ANNEX 1 List of ESTEC available laboratories More details on the labs can be found on the ESA website: http://www.esa.int/techresources/index.html Material-, Process-, ComponentsLaboratories System & Software Laboratories 01. Materials & electrical components Laboratory 02. Concurrent Design Facility (CDF) Software $Simulation Data Handling 03. Avionics Systems Laboratory: Control EMC 04. Electro Magnetic Laboratory: Antenna measurement Navigation Electrical Laboratories Communication Remote Sensing Radio Frequency and High Power Power System 07. Power Laboratory: Solar Generator European Space Battery Test Centre 08. Propulsion Laboratory 09. Automation and Robotics Laboratory 10. Optics & Opto-Electronics Laboratory 11. Mechanical System Laboratory 12. Life and Physical Science Instrumentation Laboratory

05. Radio Frequency Payload and Systems Laboratory

Mechanical Laboratories

Appendix 1 to ESTEC/ITT AO/1-6929/11/NL/MH Ref: Startiger2011, Issue 1 Page 9

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ANNEX 2 Adopted Technology Readiness Level Scale Definition The Technology Readiness level (TRL) scale is used to describe the maturity of a technology. The scale goes from Level 1 to Level 9, as shown below. ESA & NASA Technology Readiness Levels(*)
System Test, Launch & Operations

9
TRL 9 TRL 8 TRL 7

Actual system flight proven through successful mission operations Actual system completed and flight qualified through test and demonstration (Ground or Flight) System prototype demonstration in a space environment System/subsystem model or prototype demonstration in a relevant environment (Ground or Space) Component and/or breadboard validation in relevant environment Component and/or breadboard validation in laboratory environment Analytical and experimental critical function and/or characteristic proof-of-concept Technology concept and/or application formulated Basic principles observed and reported

System/Subsystem Development

8 7

Technology Demonstration

TRL 6 TRL 5 TRL 4

Technology Development

Research to Prove Feasibility

TRL 3 TRL 2 TRL 1

5 4 3 2 1

Basic Technology Research

The following tables give the equivalence between commonly used ESA engineering terms and the corresponding TRL levels: Eng. Term BB EB EM EQM PFM/FM Representative in orbit demonstration In orbit demonstration of complete system Operational system in orbit TRL 2 3 4 5 6 7 8 9

Appendix 1 to ESTEC/ITT AO/1-6929/11/NL/MH Ref: Startiger2011, Issue 1 Page 10

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ANNEX 3 STARTIGER Frequently Asked Questions Does STARTIGER require the development of H/W for S/C? StarTiger stands for Space Technology Advancements by Resourceful, Targeted & Innovative Groups of Experts & Researchers. The emphasis is clearly on space technology in the broadest sense. This does not necessarily require space based H/W development. If the proposer decides to select a terrestrial application as a test case, the spin-in potential needs to be evidenced. However, space technology should not feature only in a purely supportive role for a selected terrestrial application. Furthermore, STAR TIGER is intended as cutting edge research; therefore a distinct advancement in terms of technology must be recognizable. How important is the demonstrator? StarTiger supports a system demonstration approach. Although, different developments can be pursued independently at component level, the integration of these components into a fully functional demonstrator of the key technology is essential. Although, the demonstrator does not need to be a full system, it will have to represent a significant, fully functional, subsystem of the full system. This subsystem will need to show the feasibility of the technological approach by covering the critical aspects and validate the operation of the full system How important is Partnering? Although, the proposal can be submitted by a single institution with expert selection at a later stage, the StarTiger approach itself requires partnering. Therefore, the proposal must identify the required expertises. The core team shall not be based on staff from a single institution; this invalidates the Startiger approach and will be considered as a normal TRP proposal. How important is the co-location principle? The co-location principle is at the heart of the StarTiger approach. ESTEC is an option, but other sites are possible. Co-location shall apply to all members of the core team. This implies physical co-location of the core team and excludes virtual co-location. Additional expertise might be added temporarily. Does the team need be fully identified in the outline proposal? No, this applies only for the institute that provides the facilities (location, computational, manufacturing and testing). Concerning individuals as part of the core team, the StarTiger approach allows for the individual team members to be selected later. A first iteration, with already identified and preferred candidates (and institutes), is preferable. However, the roles within the team and required expertise need to be identified. Is a full commitment of all partners required? It has to be understood that this AO is collecting ideas for future StarTiger activities. After the evaluation/selection, the agency may enter into a request for quotation. Therefore, the proposal does not need to contain a full commitment of all partners at this time. However, full commitment is required, as part of an eventual contract.

Appendix 1 to ESTEC/ITT AO/1-6929/11/NL/MH Ref: Startiger2011, Issue 1 Page 11

ANNEX 4 Acknowledgement of Receipt REF: AO/1-6929/11/NL/MH STARTIGER ANNOUNCEMENT OF OPPORTUNITY ESTEC, Keplerlaan 1, NL-2201 AZ Noordwijk, The Netherlands for the attention of Mr Marnix Houten (PFL-PTE) Fax no.: +31 71 565 5773

TO:

We confirm that we have received the above-referenced ITT with all attachments and we state the following (*): 0 0 We intend to submit an offer We have not yet decided whether to submit an offer but will advise you within 14 days of date of despatch of ITT We intend to participate to the open briefing session for STARTIGER potential bidder to be held at ESTEC on 09.09.2011 at 10:00 hours in room (TBD) Our representatives (maximum two persons) will be: 1) .

2) . 0 We do not intend to submit an offer:

ESA BIDDER CODE COMPANY NAME. ADDRESS.

TELEPHONE NO TELEFAX NO. NAME AND FUNCTION OF PERSON TO CONTACT: DATE SIGNATURE (*) N.B. Please delete or complete, as appropriate Please note that failure to return this form or to return it with incomplete information may result in necessary subsequent information not being received by invitees to tender. It should be returned within 5 (five) calendar days after receipt of this Announcement.

Appendix 1 to ESTEC/ITT AO/1-6929/11/NL/MH

Ref: Startiger2011, Issue 1

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