Specifications attached to the Invitation to Tender

13.R&T.OP.624

Maritime Sense and Avoid Systems and Technologies for Unmanned Maritime Systems (MAST)

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Introduction to EDA ................................................................................................................ 3

1 Overview of this tender .................................................................................................. 4 1.1 Description of the contract ........................................................................................................ 4 1.2 Timetable ..................................................................................................................................... 4 1.3 Participation in the tender procedure ...................................................................................... 4 1.4 Participation of consortia ........................................................................................................... 4 1.5 Sub-contracting .......................................................................................................................... 5 1.6 Presentation of the tenders....................................................................................................... 6 1.7 Period during which the tenders are binding ......................................................................... 7 1.8 Contacts between the EDA and tenderers ............................................................................. 7 1.9 Visits to EDA premises .............................................................................................................. 8 1.10 Division into lots .......................................................................................................................... 8 1.11 Variants ........................................................................................................................................ 8 1.12 Scope for additional services ................................................................................................... 8 1.13 Security standards ..................................................................................................................... 8 1.14 Contract provisions .................................................................................................................... 8

2 Terms of Reference ......................................................................................................... 9 2.1 Introduction: background of the invitation to tender .............................................................. 9 2.2 Description of the subject and scope of the contract ............................................................ 9 2.3 Outline of the services required ............................................................................................. 10 2.4 Volume of the contract ............................................................................................................ 12 2.5 Duration of the contract ........................................................................................................... 12 2.6 Place of delivery ....................................................................................................................... 12 2.7 Variant solutions ....................................................................................................................... 12 2.8 Reporting ................................................................................................................................... 12

3 Exclusion and selection criteria ................................................................................ 13 3.1 Exclusion criteria ...................................................................................................................... 13 3.2 Selection criteria ....................................................................................................................... 14

4 Award of the contract ................................................................................................... 16 4.1 Technical evaluation ................................................................................................................ 16 4.2 Technical proposal ................................................................................................................... 17 4.3 Technical quality threshold ..................................................................................................... 17 4.4 Financial evaluation ................................................................................................................. 17 4.5 Financial proposal .................................................................................................................... 17 4.6 Choice of the selected tender................................................................................................. 17

ANNEX I - DRAFT CONTRACT ........................................................................................... 18

ANNEX II - MODEL FINANCIAL OFFER ............................................................................ 19

ANNEX III - CURRICULUM VITAE ...................................................................................... 20

ANNEX IV - DECLARATION ON EXCLUSION CRITERIA ............................................. 21

ANNEX V - LEGAL ENTITY FORM ..................................................................................... 23

ANNEX VI - FINANCIAL IDENTIFICATION FORM .......................................................... 24

ANNEX VII - TENDER SUBMISSION FORM ..................................................................... 25

ANNEX VIII - FINANCIAL STATEMENT FORM ................................................................ 28

ANNEX IX - DRAFT GUIDELINES TO UNMANNED MARITIME SYSTEMS SENSE AND AVOID SYSTEMS .......................................................................................................... 29

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ANNEX X - EXAMPLE OF STANDARD SPECIFICATIONS FOR SENSE-AND-AVOID SYSTEM ...................................................................................................................... 35

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Introduction to EDA

Pursuant to Council Decision 2011/411/CFSP of 12 July 2011 defining the statute, seat and operational rules of the European Defence Agency and repealing Joint Action 2004/551/CFSP, the mission of the European Defence Agency (hereinafter ―EDA‖ or ―the Agency‖) is "to support the Council and the Member States in their effort to improve the EU’s defence capabilities in the field of crisis management and to sustain the CSDP as it stands now and develops in the future.‖

Functions and tasks

The European Defence Agency, within the overall mission set out in the Agency’s constituent act, is ascribed four functions, covering:

developing defence capabilities; promoting Defence Research and Technology (R&T); promoting armaments co-operation; creating a competitive European Defence Equipment Market and strengthening the European

Defence, Technological and Industrial Base.

All these functions relate to improving Europe's defence performance, by promoting coherence. A more integrated approach to capability development will contribute to better-defined future requirements on which collaborations - in armaments or R&T or the operational domain - can be built. More collaboration will, in turn, provide opportunities for industrial restructuring and progress towards the continental-scale demand and market, which industry needs.

Further information can be found on the Agency’s web site at http://www.eda.europa.eu

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1 Overview of this tender

1.1 Description of the contract

The services required by EDA are described in the terms of reference in part 2 of the present tender specifications.

1.2 Timetable

Summary timetable Date Comments

Launch date 16/7/2013

Deadline for request of clarifications from EDA

30/9/2013

Site visit or clarification meeting (if any) Not applicable

Last date on which clarifications are issued by EDA

8/10/2013

Deadline for submission of tenders 15/10/2013 Tenders delivered by hand shall be submitted not later than 17:00h Local Time

Opening session 16/10/2013 10:00

Interviews Not applicable

Completion date for evaluation of tenders 29/10/2013 Estimate

Signature of contract(s) 26/11/2013 Estimate

1.3 Participation in the tender procedure

Tenderers must not be in any of the exclusion criteria indicated in section 3.1 of these tender specifications and must have the legal capacity to allow them to participate in this tender procedure (see section 3.2.1). Please note that any attempt by a tenderer to obtain confidential information, enter into unlawful agreements with competitors or influence the evaluation committee or the EDA during the process of examining, clarifying, evaluating and comparing tenders will lead to the rejection of his tender and may result in administrative penalties.

1.4 Participation of consortia

Consortia, may submit a tender on condition that it complies with the rules of competition. A consortium may be a permanent, legally-established grouping or a grouping which has been constituted informally for a specific tender procedure.

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Such grouping (or consortia) must specify the company or person heading the project (the leader) and must also submit a copy of the document authorising this company or person to submit a tender. All members of a consortium (i.e., the leader and all other members) are jointly and severally liable to the Contracting Authority. In addition, each member of the consortium must provide the required evidence for the exclusion and selection criteria (see Section 3 of these tender specifications). The participation of an ineligible person will result in the automatic exclusion of that person. In particular, if that ineligible person belongs to a consortium, the whole consortium will be excluded.

1.5 Sub-contracting

The tenderer must indicate clearly, which parts of the work will be sub-contracted. Sub-contractors must satisfy the eligibility criteria applicable to the award of the contract. If the identity of the intended sub-contractor(s) is already known at the time of submitting the tender, all sub-contractors must provide the required evidence for the exclusion and selection criteria as detailed in Section 3 of these tender specifications. If the identity of the sub-contractor is not known at the time of submitting the tender, the tenderer who is awarded the contract will have to seek the EDA’s prior written authorisation before entering into a sub-contract. Where no sub-contractor is given, the work will be assumed to be carried out directly by the bidder.

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1.6 Presentation of the tenders

The tenders must comply with the following conditions:

1.6.1 Tenders must be submitted in accordance with the double envelope system:

The outer envelope or parcel should be sealed with adhesive tape and signed across the seal and carry the following information:

the reference number of the invitation to tender 13.R&T.OP.624

the project title Maritime Sense and Avoid Systems and Technologies for Unmanned Maritime Systems (MAST)

the name of the Tenderer

the indication ―Tender - Not to be opened by the internal mail service”

the address for submission of tenders (as indicated in the letter of invitation to tender)

the date of posting (if applicable) should be legible on the outer envelope.

The outer envelope must contain three inner envelopes, namely, Envelope A, B and C.

The content of each of these three envelopes must be as follows:

Envelope A – Administrative documents

the Tender Submission Form found in Annex VII

the duly filled in, signed and dated Exclusion Criteria Declaration(s) as requested in section 3.1 and using the standard template in Annex IV

the duly filled in, signed and dated Legal Entity Form(s) as requested in section 3.2 and using the standard template in Annex V

the duly filled in, signed and dated Financial Identification Form1 using the

template in Annex VI

The Economic & Financial Capacity criteria documents as requested in section 3.2

The Technical & Professional Capacity criteria documents as requested in section 3.2

Duly authorised signature, i.e. an official document (e.g. statutes, power of attorney, notary statement, etc.) proving that the person who signs on behalf of the tenderer is duly authorised to do so

In case of consortia, the consortium agreement or a duly signed and dated consortium statement by each of the consortium members specifying the company or person heading the project and authorised to submit a tender on behalf of the consortium (please see Section Error! Reference source not found. of the Tender Specifications)

Envelope B – Technical proposal

1 in case of consortia, only one Financial Identification Form for the whole consortium shall be

submitted, nominating the bank account into which payments are to be made under the contract in the event that the respective tender is successful

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One signed original and 3 (three) photocopies of the technical proposal providing all information requested in point 1.1.

Envelope C – Financial proposal

One signed original, 3 (three) photocopies and an electronic version of the financial proposal based on the format found in Annex II

1.6.2 The original tender must be marked “ORIGINAL”, and the copies signed in the same way as the original and marked ―COPY”.

1.6.3 Tenders should be drafted in one of the official languages of the European Union, preferably English. Requested documents not available in English must be accompanied by an English courtesy translation. The contract shall be entered into in English.

It is extremely important that tenders be presented in the correct format and include all documents necessary to enable the evaluation committee to assess them. Failure to respect these requirements will constitute a formal error and may result in the rejection of the tender.

1.7 Period during which the tenders are binding

Period of validity of the tenders, during which tenderers may not modify the terms of their tenders in any respect is 120 days after the deadline for the submission of tenders. In exceptional cases, before the period of validity expires, the EDA may ask tenderers to extend the period for a specific number of days, which may not exceed 40. The selected tenderer must maintain its tender for a further 60 days from the date of notification that his tender has been recommended for the award of the contract. The further period of 60 days is added to the validity period irrespective of the date of notification.

1.8 Contacts between the EDA and tenderers

Contacts between the EDA and tenderers are prohibited throughout the procedure save in exceptional circumstances and under the following conditions only:

A. Before the final date for submission of tenders:

At the request of the tenderer, the EDA may provide additional information solely for the purpose of clarifying the nature of the contract. Any request for additional information must be made in writing by e-mail at procurement@eda.europa.eu or at the Fax no.: +32 (0)2 504 29 75 and should indicate the reference number and the title of the tender.

Requests for additional information received after the deadline for request of clarifications from the EDA as specified in point 1.2 – Timetable will not be processed.

The EDA may, on its own initiative, inform interested parties of any error, inaccuracy, omission or any other clerical error in the text of the call for tender.

Any additional information including that referred to above will be published on the EDA’s website. Please ensure that you visit regularly the site for updates.

B. After the opening of tenders:

If, after the tenders have been opened, some clarification is required in connection with a tender, or if obvious clerical errors in the submitted tender must be corrected, the EDA may contact the tenderer, although such contact may not lead to any alternation of the terms of the submitted tender.

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1.9 Visits to EDA premises

No site visit/information meeting at EDA’s premises is deemed necessary for this procedure.

1.10 Division into lots

This tender is not divided into lots. The tenderer must be in a position to be able to provide all the services requested.

1.11 Variants

In the absence of any such indication in the terms of reference your tender should not deviate from the services requested.

1.12 Scope for additional services

In accordance with Article 31 of the Council decision 2007/643/CFSP of 18 September 2007 on the financial rules of the European defence Agency and on the procurement rules and rules on financial contributions from the operational budget of the European defence Agency, the EDA may have recourse to the negotiated procedure without prior publication of a contract notice for additional contracts involving services similar to those assigned to the party that was awarded this contract.Security standards

In the general implementation of its activities and for the processing of tendering procedures in particular, the EDA observes the Council’s security regulations set out in Council Decision 2011/292/EU of 31 March 2011 on the security rules for protecting EU classified information.

1.13 Contract provisions

In drawing up your tender, you should bear in mind the provisions of the draft contract (see Annex I to the present tender specifications). In particular, the draft contract indicates the method and the conditions for payments to the contractor.

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2 Terms of Reference

The Terms of Reference will become part of the contract that may be awarded as a result of the tender.

2.1 Introduction: background of the invitation to tender

Sense and avoid is obviously a critical capability to all UMS (Unmanned Maritime Systems). They need to achieve an adequate and continuous awareness of other water users or obstacles in their vicinity. The situation needs to be either evaluated on board or transferred to an operator in the case of remotely operated UMS and analysed on board for (semi)autonomous UMS.

The result of the study is important since the maritime community may need to convince stakeholders that unmanned maritime systems operations with nobody on board are possible. There may be a need to demonstrate to IMO or other organizations that situation awareness capability is sufficient and ideally almost independent on environment conditions.

The outcome will have a significant impact on European collaborative initiatives with Maritime Mines Counter Measures being a first possible example. It should contribute to the interoperability of different European systems. It could also pave the way for the achievement of a common understanding on a future European family of SA systems for UMS.

Last but not least, the result is expected to contribute to the Best Practice Guide for Unmanned Maritime Systems Handling, Operations, Design and Regulations being developed by the SARUMS group.

2.2 Description of the subject and scope of the contract

The aim of this study will be to provide the EU Maritime community with a rigorous informed view of SA system and their potential to ensure safe UMS operations. The study shall attempt to present an overview of the relevant technologies, group and assess them in accordance with a Sense and Avoid Policy defining a the safety level for UMS, type of technology, sensors or usage for the benefit of future standardization as well as to take into account needs for different types of UMS.

Sense and avoid may be viewed as being part of situation awareness. Situation awareness is the perception of environmental elements with respect to time and/or space, the comprehension of their meaning, and the projection of their status after some variable has changed, such as time

Situation awareness involves being aware of what is happening in the vicinity to understand how information, events, and one's own actions will impact goals and objectives, both immediately and in the near future. Lack of, or inadequate situation awareness is obviously an issue for UMS. A situation awareness system also includes the means to be able to decide on how to act, normally to achieve a safe state. Avoid may be a typical action, but several other options could exist.

It is understood that situation awareness may also be derived as part of a broad capability that extends into sophisticated mission and task specific operational needs, such as the ability to classify objects as threat or friendly. However, for the scope of this study the awareness shall be focused primarily on sense and avoid function understood as systems to satisfy safety and navigational needs.

Situational awareness is often illustrated as part of the OODA loop which includes the sequential event loop of Observe – Orient – Decide – Act. The focus of this study shall be around systems capable of Observe-Orient-Decide. The Act, to act, is important enough but whatever action is needed would be taken care of by other functions and systems outside of the scope of this study. Orient-Decide is of particular importance for the higher autonomy control level systems (autonomous control). An operator is assumed to be capable to cover Orient-Decide for lower control levels (remote control).

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A capable UMS Sense and Avoid system should fulfil the following:

• Observe: Detect objects within a required awareness zone with no limitations due sea state or reduced visibility. Separate objects of different size. Determine if objects are stationary or moving. USV needs to cover water surface as well as underwater to some extent. UUV needs to cover the water volume. COLREG requires both seeing and hearing.

• Orient: Capability to conduct a proper analysis of the situation. Analysis to determine if there is a risk for collision. Capability to present options on how to act.

• Decide: Capability to take optimum decision for the current situation.

Unmanned Air Vehicles (UAV) may also be part of UMS, but for the purpose of this study UMS shall be limited to include Unmanned Surface Vehicles (USV) and Unmanned Underwater Vehicles (UUV).

2.3 Outline of the services required

The study shall include the following five tasks:

1) Define and gather relevant information of SA system technology.

This task shall include identification and definition of relevant SA technologies. For the scope of this study the awareness shall be focused primarily on sense and avoid function understood as systems to satisfy safety and navigational needs.

This task shall also consist of a stock taking of the capabilities of the EU Maritime Defence industry as well as other European organisations regarding situation awareness systems for UMS that would cover the needs for both USV and UUV.

The stocktaking would include existing products as well as next generation or planned systems, identification of key technologies, opportunities, challenges and for which areas research and development is needed. The stocktaking will cover both hardware and software.

This task may take into account similar systems and concepts used for Unmanned Air Vehicles and take note of possible re-use or adaption of these or technologies implemented in them for the maritime domain.

Deliverable will be included in the task 3 report.

2) Development of a Policy.

An initial proposal for a sense and avoid policy titled Draft Guidelines to Unmanned Maritime Systems Sense and Avoid Systems at Annex IX has been prepared for the purpose of this study. The tenderer shall review the document and draft a new policy as needed.

The aim of the policy document is to create a starting point towards a European common view and possibly regulatory view on sense and avoid systems requirement for UMS. It will also assist the UMS industry to find solutions to achieve a capability and level of safety which is equivalent to the existing 'see and avoid' concept.

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The aim is to include the new document as a suggested policy document in the Best Practice Guide for Unmanned Maritime Systems Handling, Operations, Design and Regulations being developed by the SARUMS group

Deliverable: A reviewed draft sense and avoid policy.

3) Assessment of SA technologies

This task shall evaluate and organize SA technologies according to a logical scheme, taking into account e.g. the type of technology, sensor type, UMS type, size, mission etc.

This logical scheme should include at least the following elements:

1. The level of involvement of the operator

Remote control. Sense information is conveyed to an operator that will perform the avoid function.

Autonomous control. No operator is involved. Sense and avoid must be fully self- contained in the UV.

2. Type of UMS

Potential different needs for type of system e.g. USV, submerged UUV and surfaced UUV.

3. Operating conditions

Operational area (coastal waters - open sea, shallow - deep waters, areas with high currents, environmental impacts like storms, waves etc. - parameters and risks have to be defined for each area.

This shall include information about operating limits regarding environmental conditions such as night/day, sea state, fog, rain etc. These operating limits will have a strong impact on the abilities for safe UMS operations, even when weather conditions are changing during a mission.

4. Type of obstacles that can be encountered like

fixed obstacles (for example with a specified size and height above the water surface for USV and emerged UUV)

moving obstacles with a relative speed to the vehicle

ability to differentiate between two objects that a moving more or less in parallel with a minimum space of x meters

5. Integration of SA systems in overall UMS

6. Contribution of SA technology to SA policy

The categorization scheme shall also take into account a mapping of the SA technology against the UMS Sense and Avoid policy document whether systems fulfil the policy in full, partly or not

Deliverable: Report with SA systems and related technologies evaluated and organized.

4) Development of specifications.

This task shall develop outline standard specifications of SA systems compliant with the UMS Sense and Avoid policy and suitable for different types of UMS e.g. taking into account vehicle type, size, mission etc. The specifications shall include suitable reference performance parameters.

The specifications shall also indicate appropriate methods for verification.

An example of a Standard Specifications for Sense-and-Avoid System is given at Annex X.

Deliverable: Report with outline specifications of SA systems.

5) Demonstration.

This task shall be a final study activity and include a demonstration of one or more SA systems. The demonstration could take the form of a real sea trial but could also

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(pending resources etc.) be of laboratory type, simulation or a mere presentation/visualisation of concepts.

2.4 Volume of the contract

The Maximum budget is 200.000 euros(VAT Excluded). An interim payment of at most 30% of the contract value can be made after the acceptance of the progress report.

2.5 Duration of the contract

Eight months.

2.6 Place of delivery

EDA premises

2.7 Variant solutions

Not applicable.

2.8 Reporting

a) Project management

o A progress review with EDA and pMS representatives every two months required.

b) Deliverables

The reports are to be submitted to the Project Manager identified in the contract who is responsible for approving them.

o Progress Report T0+4

Management report and status report of the five tasks

Detailed planning of the demonstration

o Final Report and presentation T0+8

Final results of all 5 tasks

o Demonstration

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3 Exclusion and selection criteria

3.1 Exclusion criteria

Participation to this tender is only open to tenderers who are not in one of the situations listed below:

a) bankrupt or being wound up, are having their affairs administered by the courts, have entered into an arrangement with creditors, have suspended business activities, are the subject of proceedings concerning those matters, or are in any analogous situation arising from a similar procedure provided for in national legislation or regulations;

b) have been convicted of an offence concerning their professional conduct by a judgement which has the force of res judicata;

c) have been guilty of grave professional misconduct proven by any means which the contracting authority can justify;

d) have not fulfilled obligations relating to the payment of social security contributions or the payment of taxes in accordance with the legal provisions of the country in which they are established or with those of the country of the contracting authority or those of the country where the contract is to be performed;

e) have been the subject of a judgement which has the force of res judicata for fraud, corruption, involvement in a criminal organization or any other illegal activity detrimental to the Communities’ financial interests;

f) following another procurement procedure or grant award procedure financed by the Community budget, they have been declared to be in a serious breach of contract for failure to comply with their contractual obligations.

In addition to the above, contracts may not be awarded to tenderers who, during the procurement procedure:

are subject to a conflict of interest;

are guilty of misrepresentation in supplying the information required by the contracting authority as a condition of participation in the contract procedure or fail to supply this information.

Means of proof required Tenderers, including all consortium members and all sub-contractors where applicable, shall provide a declaration on their honour (see model in Annex IV), duly signed and dated, stating that they are not in one of the situations referred to above. Nota bene: The tenderer to whom the contract is to be awarded shall provide, within 15 days following notification of award and preceding the signature of the contract, the following documentary proofs to confirm the declaration referred to above:

For points a), b) and e) a recent extract from the judicial record or, failing that, an equivalent document recently issued by a judicial or administrative authority in the country of origin or provenance showing that those requirements are satisfied.

For point d) a recent certificate issued by the competent authority of the State concerned.

Where the document or certificate referred to above is not issued in the country concerned, it may be replaced by a sworn or, failing that, a solemn statement made by

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the interested party before a judicial or administrative authority, a notary or a qualified professional body in his country of origin or provenance.

3.2 Selection criteria

The tenderers must submit evidence of their legal, economic, financial, technical and professional capacity to perform the contract.

3.2.1 Legal capacity

Requirement

The tenderers, including all consortium members and all sub-contractors where applicable, are asked to prove that they are authorised to perform the contract under their national law as evidenced by inclusion in a trade or professional register, or a sworn declaration or certificate, membership of a specific organisation, express authorisation or entry in the VAT register.

Evidence required

Each tenderer, including every consortium member and every sub-contractor where applicable, shall provide a duly filled in and signed Legal Entity Form (see Annex V) accompanied by the documents requested therein.

3.2.2 Economic & Financial capacity

Requirement The tenderer must have the following economic and financial capacity to perform the contract:

The tenderer must be in a stable financial position. Evidence on compliance with the economic and financial capacity requirement must be provided by the following document:

Evidence required

The tenderer which according to the law of the country in which it is established is required to publish the balance sheet shall complete and include in the offer a financial statement form as in Annex VIII to these tender specifications. Please observe the following aspects in completing this financial statement:

1. It should be certified by means of a signature of the chief accounting officer of tendering organisation

2. EDA has the right during the tendering process and before awarding the contract to request further evidence on the tenderer’s compliance with the economic & financial capacity requirement, in which case balance sheets and profit & loss accounts for the past financial years may be requested.

3. In the case of a consortium submitting an offer, or in case of subcontracting, the financial statement as is Annex VIII should be included in the offer for all consortium partners and subcontractors.

4. In the case of a physical person the financial statement as in Annex VIII should be included in the offer for where only the lines 16 and 17 need to be filled in and the financial statement can be signed by the physical person only.

The tenderer, which according to the law of the country in which it is established is not required to publish the balance sheet, shall provide the extract from its budget (2010, 2011 and 2012).

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3.2.3 Technical and professional capacity

Requirement(s)

The tenderer shall demonstrate that they can successfully conduct the study by:

1. Demonstrating at least 10 years’ experience in the field of maritime sense and avoid technology. In particular the candidate should demonstrate: a. In-depth knowledge of unmanned maritime systems design, internal and external

functionality/components, construction, manufacturing, integration (both of internal UMS sub-systems and of the UMS to the base station).

b. Significant understanding of the use of UMS for defence and civil applications. c. In-depth knowledge of the global UMS sector and stakeholders (market, industrial

actors, other stakeholders) which may have an impact on the scope and outputs of the study.

2. Demonstrating in-depth knowledge of the European naval tasks and missions especially with respect to the use of unmanned maritime systems including current but also future tactical and operational issues.

3. Demonstrating good level of English and report writing (to be judged through the quality of the inputs provided).

Evidence required

Evidence on compliance with the technical capacity requirement must be provided by the tenderer. The following documents or information must be presented as evidence of compliance with the technical and professional criteria:

A list of the principal services (contracts, studies) corresponding in terms of scope and complexity to the services of the present call for tenders provided in the past five years;

CVs of the consortium expert team members; and

Any other document which could demonstrate tenderer’s technical and professional capacity according to the requirements set above.

The technical and professional capacity will be assessed in relation to the combined capacities of all the Consortium members and the subcontractor(s), if any, as a whole.

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4 Award of the contract

Only the tenders meeting the requirements of the exclusion and selection criteria will be evaluated in terms of quality and price. The contract shall be awarded to the tenderer submitting the tender offering the best-value-for-money (best quality-price ratio).

4.1 Technical evaluation

The quality of each technical offer will be evaluated in accordance with the award criteria and the associated weighting as detailed in the evaluation grid below. .

AWARD CRITERA Maximum score

Understanding of the assignment This is to asses if tenderer has understood the assignment taking into account all the aspects of the technical specifications.

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Methodology proposed for implementation This is to assess the degree to which the methodology proposed shows the capacity to resolve the questions underlying the tender in a realistic and well-structured way as well as to whether the methods proposed are in conformity with the need of EDA and technical specifications. The extent of the proposed demonstration is assessed here.

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Project management This is to assess the extent to which the team set-up is suitable for the implementation of the assignment. Attention will be drawn to project management aspects such as the distribution of responsibilities within the proposed team, the internal team communication and the communication with EDA.

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Liaison with UMS stakeholders This is to assess the tenderer’s capacity to work and liaise with UMS stakeholders including pMS, industry, EDA, the European Commission and international and multi-professional organizations

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Interviews

The Evaluation Committee does not expect to conduct any interviews.

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4.2 Technical proposal

The assessment of the technical quality will be based on the ability of the tenderer to meet the purpose of the contract as described in the terms of reference. The tenderer shall present a project plan explaining in detail the implementation of the study including work package structure. A Gant diagram can be used to visualize the timely planning of different work packages and their dependencies. The tenderer shall also demonstrate that it has access to all information needed to the study.

The tenderer shall describe the quality control measures put in place to guarantee the high quality of deliverables.

The technical proposal should not exceed 15 pages excluding the evidence required in point 3.2.3.

.In addition to the above the tenderer must provide the information concerning sub-contracting as requested in point 1.5.

4.3 Technical quality threshold

Only tenders scoring 70 points or more (of a maximum of 100) points against the technical award criteria will have their financial proposal evaluated.

4.4 Financial evaluation

The evaluation will be made on the basis of the price offered. Where a maximum budget is mentioned in these tender specifications, any tenderer submitting a financial proposal exceeding this budget will be rejected.

4.5 Financial proposal

The financial proposal should be presented in the format found in Annex II.

Prices must be quoted in EURO and include all expenses necessary to perform the contract.

The price quoted is fixed and is subject to NO revision.

Prices must be quoted free of all duties, taxes and other charges (including VAT) as the EDA is exempt from such charges under Article 3 of the Protocol on the Privileges and Immunities of the European Union.

Costs incurred in preparing and submitting tenders are borne by the tenderer and shall not be reimbursed.

4.6 Choice of the selected tender

The most economically advantageous tender is established by weighing technical quality against price on an 80/20 basis.

The consolidated score for each candidate shall be calculated as follows:

Consolidated score= Technical Score*0,8+Financial Score*0,2

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ANNEX I - DRAFT CONTRACT

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ANNEX II - MODEL FINANCIAL OFFER

Prices should be all-inclusive; the Agency will not pay expenses for any additional costs incurred from the execution of the contract. Financial proposals exceeding the amount indicated in Section 2.4 shall be excluded outright.

TOTAL COST OF ASSIGNMENT,

INCLUDING ALL ASSOCIATED EXPENSES

AND EXCLUDING VAT :

€

Name of Tenderer:

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ANNEX III - CURRICULUM VITAE

To be downloaded from the following URL address: http://europass.cedefop.europa.eu/en/documents/curriculum-vitae/templates-instructions

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ANNEX IV - DECLARATION ON EXCLUSION CRITERIA

(To be completed and signed by each Consortium member and by each Sub-contractor, where applicable) The undersigned:

Name of the individual/company/organisation:

Legal address:

Registration number/ID Card No.:

VAT number:

Declares on oath that the individual/company/organisation mentioned above is not in any of the situations mentioned below:

a) they are bankrupt or being wound up, are having their affairs administered by the courts, have entered into an arrangement with creditors, have suspended business activities, are the subject of proceedings concerning those matters, or are in any analogous situation arising from a similar procedure provided for in national legislation or regulations;

b) they have been convicted of an offence concerning their professional conduct by a judgement which has the force of res judicata;

c) they have been guilty of grave professional misconduct proven by any means which the EDA can justify;

d) they have not fulfilled obligations relating to the payment of social security contributions or the payment of taxes in accordance with the legal provisions of the country in which they are established or with those of the country of the contracting authority or those of the country where the contract is to be performed;

e) they have been the subject of a judgement which has the force of res judicata for fraud, corruption, involvement in a criminal organisation or any other illegal activity detrimental to the Communities’ financial interests;

f) following another procurement procedure or grant award procedure financed by the European Union or the Agency’s general budget, they have been declared to be in serious breach of contract for failure to comply with their contractual obligations.

g) they are subject to a conflict of interest;

h) they are guilty of misrepresentation in supplying the information required by the contracting authority as a condition of participation in the contract procedure or fail to supply this information

Full name: Date & Signature:

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ANNEX V - LEGAL ENTITY FORM

To be downloaded from the following URL address: http://ec.europa.eu/budget/info_contract/legal_entities_en.htm

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ANNEX VI - FINANCIAL IDENTIFICATION FORM

To be downloaded from the following URL address: http://ec.europa.eu/budget/info_contract/legal_entities_en.htm

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ANNEX VII - TENDER SUBMISSION FORM

13.R&T.OP.624

One signed original of this tender submission form must be supplied, together with three copies.

1. SUBMITTED by (i.e. the identity of the Tenderer)

Name(s) of legal entity or entities submitting this tender Nationality2

Leader

Member 2

Etc … 3

2. SUBCONTRACTORS (if applicable)

Name(s) of the legal entity or entities identified as sub-contractor(s)

Nationality

Sub-contractor 1

Etc … 4

2 Country in which the legal entity is registered

3 If this tender is being submitted by an individual legal entity, the name of the legal entity should be entered as ―Leader‖ (and all other lines should be deleted)

4 Add / delete additional lines for sub-contractors as appropriate

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3. CONTACT PERSON for this tender (to act as focal point for all communication which may take place between the EDA and the Tenderer)

Name and position

Organisation

Address

Telephone

Fax

e-mail

4. STATEMENT

I, the undersigned, being the authorised signatory of the above Tenderer (including all consortium members, in the case of a consortium), hereby declare that we have examined and accept without reserve or restriction the entire contents of the tender specifications for the tender procedure referred to above.

We are fully aware that, in the case of a consortium, the composition of the consortium cannot be modified in the course of the tender procedure except with the prior written authorisation of the EDA. We are also aware that the consortium members would have joint and several liability towards the EDA concerning participation in both the above procedure and any contract awarded to us as a result of it.

Our tender is subject to acceptance within the validity period stipulated in point 1.7 of the Tender Specifications and is made up of the following documents:

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ENVELOPE A - ADMINISTRATIVE DATA:

This Tender Submission Form

The duly filled in, signed and dated Exclusion Criteria Declaration(s) by every legal entity identified under point 1 and point 2 of this Tender Submission Form

The duly filled in, signed and dated Legal Entity Form (using the standard template referred to in Annex V to the Tender Specifications) and the supporting documents requested therein, by every legal entity identified under point 1 and point 2 of this tender submission form

The duly filled in, signed and dated Financial Identification Form (using the standard template in Annex VI to the Tender Specifications) to nominate the bank account into which payments would be made in the event that our tender is successful

Documents proving the economic and financial status (as requested in point 3.2.2 of the Tender Specifications) of every legal entity identified under point 1 and point 2 of this tender submission form

Documents proving our technical and professional capacity (as requested in point 3.2.3 of the Tender Specifications)

Duly authorised signature, i.e. an official document (statutes, power of attorney, notary statement, etc.) proving that the person who signs on behalf of the Tenderer is duly authorised to do so

Our consortium agreement/ duly signed and dated consortium statement by each of the consortium members specifying the company or person heading the project and authorised to submit a tender on behalf of the, as requested in point 1.4 of the tender specifications

ENVELOPE B - TECHNICAL PROPOSAL (one signed original and three photocopies and providing all information requested in point 4.2 of these specifications).

ENVELOPE C - FINANCIAL PROPOSAL (one signed original, three photocopies using the template in Annex II), which is submitted in a separate, sealed envelope.

Signed on behalf of the Tenderer

Name

Signature

Date

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ANNEX VIII - FINANCIAL STATEMENT FORM

Please refer to the attached excel document

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ANNEX IX - DRAFT GUIDELINES TO UNMANNED MARITIME SYSTEMS SENSE AND AVOID SYSTEMS

1 Introduction

A significant increase in both civil and military Unmanned Maritime Systems (UMS) at sea operations is anticipated, most of which will require access to all water space if it is to be both operationally effective and commercially viable. To achieve this, UMS will have to be able to meet all existing safety standards applicable to equivalent manned vehicle/ship types, appropriate to the sea areas within which they are intended to be operated. The aim of this policy statement is to clarify a European regulatory view and to assist the UMS industry to find a solution to achieving a capability and level of safety which is equivalent to the existing 'see and avoid' concept. It is also recognised that Sense and Avoid is only one of a number of requirements that will need to be addressed for safe operation of UMS. 2 Policy

2.1 Sense and avoid policy

UMS operating at sea must meet at least the same safety and operational standards as manned vehicles. Thus, UMS operations must be as safe as manned vehicles insofar as they must not present or create a greater hazard to persons, property, vehicles or vessels, than that attributable to the operations of manned vehicles of equivalent class or category. An approved method of collision avoidance is required and, therefore, UMS operations will not be permitted in Europe in non-segregated sea areas, outside the direct unaided visual line-of-sight of an operator, without an acceptable Sense and Avoid system. An approved method of assuring geographical clearance is required. Standard Operating Procedures are required; these would normally be contained within an organisation’s UMS Operations Manual. Amongst other things the following procedures should be covered: • Launch and recovery procedures; • Operational and mission/tasks procedures; • Degradation or loss of control data link; and • Abort procedures following critical system failure. In the absence of an approved Sense and Avoid system, UMS operations outside segregated sea areas are to be constrained as follows: If the System does not have an approved Sense an Avoid capability, the restrictions detailed below will normally be applied to UMS operations outside segregated sea areas. The Unmanned vehicle (UV) shall not be operated: • in controlled sea area, except with the permission of the appropriate STC unit or appropriate authority; • in any sea traffic zone except with the permission of either the appropriate STC unit or appropriate authority; • at a distance beyond the visual range of the Operator of the said vehicle, or a maximum range of 500 meters, whichever is less; • over or within 150 metres of any congested area such as a harbour; or • within 50 metres of any person, vessel, vehicle or structure not under the control of the Operator;

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Additional safety requirements that will be considered under permissions and exemptions may include that the UV shall not be operated: • unless it is equipped with a mechanism that will cause the said vehicle to evoke abort procedures in the event of disruption to or a failure of any of its control systems, including the radio link, and the person in charge of the said vehicle has satisfied himself that such mechanism is in working order before the vehicle commences at sea operation; or • unless the person in charge of the said vehicle has reasonably satisfied himself that any load carried by the vehicle is properly secured, that the said vehicle is in a seaworthy condition and that an operation can safely be made. Operators and manufacturers who are in any doubt as to the safety and seaworthiness of their system should seek independent assessment from an appropriate and qualified entity. 2.2 Sense and avoid detailed requirements The overriding principle when assessing if a proposed UMS Sense and Avoid function is acceptable is that it should not introduce a greater hazard than currently exists. Any proposed function must demonstrate at least equivalence with manned vehicle/ship safety standards and, where these standards exist, the UMS must comply with the rules and obligations that apply to manned vehicles/ships including those applicable to separation and collision avoidance. 2.2.1 Separation Assurance and Collision Avoidance Elements There are two elements to a Sense and Avoid system as follows: a) Separation Assurance. This term is used to describe the routine procedures and actions that are applied to prevent vehicles getting into close proximity with each other. Any resolution manoeuvring conducted at this stage must be conducted in accordance with the COLREGS. When sailing in areas where the provision of separation is the responsibility of STC, however, the operator should only manoeuvre the vehicle after receiving STC approval to do so, in the same fashion as is done for a manned vehicle. b) Collision Avoidance. This is the final layer of conflict management and is the term used to describe any emergency manoeuvre considered necessary to avoid a collision; such a manoeuvre may contradict the COLREGS or STC instructions. An operator could be responsible for initiating a collision avoidance manoeuvre for UV operating in control levels 1-2, but an automatic function will also be required in order to cater for collision avoidance scenarios where the operator is unable to initiate the manoeuvre in sufficient time (due to C2 latency issues, lost link scenarios or other reasons). An UV operating in control levels 4-5 (highly autonomous) needs an automatic and autonomous collision avoidance system. The separation and collision avoidance capabilities must be able to:

Sense and avoid traffic in accordance with COLREGS;

Sense and avoid all waterborne objects;

Enable an operator to determine meteorological conditions;

Avoid hazardous weather;

Sense and avoid geographical and other obstacles;

Perform equivalent functions, such as maintaining separation, spacing and sequencing that would be done visually on a manned vehicle/ship.

Close quarters collision avoidance (non-COLREG algorithms)

React to audial signals (such as fog signals) and demands for information/assistance

Recognising shapes, lights and flags (e.g. keeping away from anchored vessels)

Determining safe speed and responding to other special circumstances 2.2.2 Factors for Consideration when Developing a Sense and Avoid System for UMS For the guidance of those engaged in the development of Sense and Avoid systems, some of the factors to be considered are listed below.

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• Ability to comply with the COLREGS. • Seaworthiness. • Control method, controllability and manoeuvrability. • Communications procedures and associated links. • Security. • Emergency actions, reversionary or failure modes in the event of degradation of any part of the

UV and its associated Control and/or Relay Stations. • Actions in the event of lost communications and/or failure of on-board Sense and Avoid

equipment. • Ability to determine real-time meteorological conditions and type of geographical environment

being navigated in. • Nature of task and/or payload. • Autonomy of operation and control. • Method of sensing other waterborne objects. • Operator level of competence. • Communications with STC providers, procedures and links with control station. • Means of launch and recovery. • Reaction logic to other waterborne objects. • Description of the operation and classification of the sea area in which it is planned to be

operated. • Transaction times (including delays introduced by e.g. satellite links). • Address both cooperative and non-cooperative sea traffic. This list is not exhaustive. 2.3 Sense and Avoid system further detailed outline

A Sense and Avoid (SA) system is defined as having the dual capability of a UV to remain well clear from and avoid collisions with other waterborne traffic. SA provides the intended functions of self-separation (SS) and collision avoidance (CA) as a means of compliance with regulatory requirements.

A SA capability performs the following 8 steps (overlaid with the OODA scheme):

OODA scheme SA capability

Observe 1. Detect - Determine presence of vehicle/object or other potential hazards

Orient 2. Track Estimated position and velocity (state) of intruders based on one or more surveillance reports

3. Evaluate - Assess collision risk

4. Prioritize – Determine which intruder tracks have met a collision risk threshold

Decide 5. Declare – Decide that action is needed

6. Determine – Decide on what action is required.

7. Command - Communicate determined action

Act 8. Execute – Respond to the commanded action.

Collision Avoidance is the concept of last moment maneuvering to avoid collision, or more precisely to avoid penetration of a defined Collision Volume.

The Collision Volume (CV) is a box-shaped volume centered on the vehicle and its size is a function of the vehicles dimensions

5. The CV is fixed to and travels with the UV. Any penetration

of the CV by another vehicle is considered to be a Near Collision (NC). A vehicle kept just outside the CV, although not considered an NC, may still be dangerously close and could still be affected negatively by wake and other unforeseen considerations and is labeled as a ―Threat.

5 UV size (and thereby CV) is intended to be standardized.

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Figure 1 depicts a schematic that helps to describe a description of Collision Volume (CV), Collision Avoidance Threshold (CAT), Self-Separation Threshold (SST) and the total Awareness zone (AZ).

Figure 1. Illustration of Collision Volume (CV), Collision Avoidance Threshold (CAT), Self-Separation Threshold (SST) and the total Awareness zone (AZ).

Self-Separation is a condition that will actively seek Separation Assurance and maintain a well clear distance from other vehicles and avoid the potential for a collision altogether. Self-Separation is more precisely described as the ability to avoid penetration of the Collision Avoidance Threshold, as seen in Figure 1 as well.

The Self Separation Threshold is a variable boundary that depends on time, distance, maneuverability, and other parameters. Notionally, the boundary can be thought of as representing some time (Tau 1), defined as the length of time from when the Intruder vehicle impinges upon the Self Separation Threshold to when the two vehicles will reach CPA along their trajectories. Depending on the system design, there may not be a single value of Tau 1 that applies to all situations, nor is it required that the system use Tau 1 to define the threshold. What is required is that the Self Separation Threshold be defined to provide the necessary amount of time for the UMS to perform a maneuver preventing the intruder from penetrating the Collision Avoidance Threshold, thus maintaining a well clear distance from the intruder.

The Collision Avoidance Threshold is a variable boundary that depends on time, distance, maneuverability, and other parameters of the UMS system and intruder vehicle. Simplified, the boundary can be thought of as some time (Tau 2), defined as the length of time from when the Intruder vehicle impinges upon the Collision Avoidance Threshold to when the two vehicles will reach the Closest Point of Approach (CPA) along their trajectories. There may not be a single value of Tau 2 that applies to all situations, nor is it required that the system use Tau 2 to define the threshold. However, the functionality should define the Collision Avoidance Threshold to provide the necessary amount of time to the UV to perform a maneuver preventing the intruder from penetrating the Collision Volume. In this manner a NC would be avoided with the intruder.

Because neither Self Separation nor Collision Avoidance sub-functions by themselves are sufficient to enable safe UMS operation, the combination of the Collision Avoidance and the Self Separation sub-routine must function as mutually exclusive elements. In this fashion two security

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layers work together to increase safety at sea. Therefore, the required steps of a SA system must also apply to each sub-routine. It is thought that different sensor systems may be preferential for either SS or CA sub-functions.

3 Definitions

Abort procedure – Pre-programmed sequence of actions to automatically undertake by the UV to reach a safe state in the event of control disruption, malfunctions or unexpected situations.

Awareness zone (AZ) – Total surveillance zone reach that could include information from external sensor sources (Awareness zone (AZ) will be the same as SST if no externals sources are present).

Collision Avoidance - Sense and avoid system function where the UV takes appropriate action to prevent an intruder from penetrating the collision volume. Action is expected to be initiated within a relatively short time horizon before closest point of approach. The collision avoidance function engages when all other modes of separation fail.

Collision Avoidance Threshold (CAT) – The boundary around the UV at which the collision avoidance function declares that action is necessary to avoid a collision and prevent the threat from penetrating the collision volume.

Control level – Description of level of autonomy and control in relation to operator involvement. The following five control levels shall apply: Control level 1 Human operated Control level 2 Human directed Control level 3 Human delegated Control level 4 Human monitored Control level 5 Autonomous

Intruder – Ship/Vehicle within the surveillance volume Resolution Maneuver – An intentional change in vehicle path, velocity, or depth, or a combination thereof, to avoid a collision threat. Sense and Avoid (SA) - The capability of a UV to remain well clear from and avoid collisions with other waterborne traffic. SA provides the functions of self-separation and collision avoidance to fulfill any regulatory requirement. SA System Infrastructure – A system of systems consisting of the SA system, pilot(s), or related systems, or a combination thereof, combined with the air traffic control infrastructure in place on the ground and in orbit that is intended to provide safe separation of two or more airborne objects. Self-Separation (SS) – Sense and Avoid system function where the UV maneuvers within a sufficient timeframe to prevent activation of a collision avoidance maneuver while conforming to accepted sea traffic separation standards. Any UV maneuvers will be in accordance with regulations and procedures. Self-Separation Threshold (SST) – The boundary around the UV at which the self-separation function declares that action is needed to preclude a threat vehicle from penetrating the collision avoidance threshold, thereby maintaining self-separation and keeping the vehicle ―well clear of each other. STC Sea traffic control. This is valid as applicable and in the event that a traffic control exists within an area of operation.

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UMS Unmanned Maritime System USV Unmanned Surface Vehicle UUV Unmanned Underwater Vehicle UV Unmanned Vehicle VO Velocity obstacle. Moving object such as an intruder or ship or vehicle

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ANNEX X - EXAMPLE OF STANDARD SPECIFICATIONS FOR SENSE-AND-AVOID SYSTEM

Note: This is an example of possible entries that could constitute a standard specification, but derived from a similar specification for an unmanned air vehicle and therefore not necessarily fully adequate for maritime systems but may be used as a starting point.

Sensing: Detection Distance — Detection of the collision threat shall be at a range to allow a resolution maneuver that results in a required miss distance of X m.

Field of Regard: Azimuth: It shall be demonstrated that the SA system can observe from ±X° referenced from the UV’s body frame of reference. Elevation: It shall be demonstrated that the SA system can observe from ±X° referenced from the UVs body frame of reference. Latency: It shall be demonstrated that the time between detection of a collision threat and initiation of a resolution maneuver does not compromise the required miss distance specification. This time latency may include, but is not limited to:

Communication delays,

Scan rates,

Operator in-the-loop reaction times,

Coordination with sea traffic control and/or applicable authorities, and

On-board or base station processing time for UV control and/or collision avoidance algorithms.

Avoidance: Traffıc: Resolution maneuvers shall achieve the required miss distance from all vehicles or waterborne objects that are:

Equipped with cooperative SA systems (a cooperative environment), and

Not equipped with cooperative SA systems (a non-cooperative environment). Resolution maneuvers may include one or more of the following:

Stopping

Change of course

Change of speed

Change of depth (UUV). When the potential for multiple collision threats exists, the resolution maneuver to avoid one collision threat shall be planned and executed to reduce the occurrence of subsequent or more hazardous conditions, or both. Maneuvering Throughout the operational speed range and sea conditions, it shall be shown that:

All resolution maneuvers are within the structural and dynamic performance limitations of the SA system and vehicle.

The SA platform is safely controllable and maneuverable during all phases of the resolution maneuver from initiation to its return to an original or newly assigned track or course.

All maneuvers to return to an original or newly assigned track or course comply with current right-of-way rules. This applies to both autonomous and operator-initiated maneuvers.

Non-emergency maneuvers for course or depth changes, or both, do not compromise the performance of the SA system.

Proof of Compliance:

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These requirements shall be met at the most critical and unfavorable operational profiles. To the extent that the SA system may operate in all-weather conditions, it will be evaluated in the least favorable weather conditions to include minimum visual meteorological conditions. The characteristics outlined are meant to serve as a set of minimal performance requirements for SA systems. Performance that exceeds these specifications is acceptable, but exceeding performance in one area shall not substitute for a lack of performance in another.

Power Supply: Power consumption of the SA system shall be low enough to operate from primary platform power or auxiliary power during:

The entire mission (launching, transit, operations, recovery) without compromising the safe operation of other platform subsystems, and

Regular off-line testing in support of verification, validation, and system diagnostics. The power supply for the SA system can be from a source independent of the platform’s primary power subsystem.

Communication: It shall be demonstrated for UV in control levels 1-2, that in the event of a loss of direct command, control, or communication, or a combination thereof, with the SA platform, a resolution maneuver will still be safely executed when required. The bandwidth requirement for SA systems that require downlink or uplink command and control data links, or both, shall not compromise safe operation of other platform subsystems.

Seaworthiness The UV shall demonstrate seaworthiness and endure its maximum operational conditions.

Subsystem Integration: Although presented as individual subsystems in this specification, the detection and avoidance hardware and software can be integrated into a single subsystem for cost or performance enhancements, or both. The SA system shall not impede the operation of any platform subsystem critical to safe operation. The SA system design should eliminate probable malfunctions or failures that could propagate into these systems. The SA system operation shall not be impeded by platform subsystems unrelated to sense and avoid.

Reliability and Maintenance: Accessibility: The SA system components shall be accessible for routine inspection, maintenance, repair, and replacement as needed. Environment: The SA system shall demonstrate the ability to operate in the same conditions as those intended for its platform to include:

Atmospheric conditions (for example, temperature, humidity, icing etc.),

Depth,

Daytime/nighttime

Operational area characteristics (for example, congestion, sea traffic control

requirements).

Operating Limitations: The operating limitations and related performance information of the SA system shall be established and made available to the operator and sea traffic control authorities as required to facilitate safe operation. Failure Rate: The manufacturer(s) of the SA system shall be responsible for identifying and classifying the major failure modes that can compromise the performance of the SA system or its platform. The SA system infrastructure shall have an overall critical failure rate of no more than 0.51 per million at sea hours, which is equivalent to the level of safety of manned general sea vehicles.