ANNEX I

INDIVIDUAL CONDITIONS, COLLECTIVE CONDITIONS AND ORGANISATION OF MEMBER STATES’ PARTICIPATION, REFERRED TO IN ARTICLES 4 AND 5

1. INDIVIDUAL CONDITIONS

1.1. Ownership of, or access to, an adequate SST sensor available for the SST sub-component and human resources to operate it:

1.1.1. Ownership of, or access to, the SST sensor

1.1.1.1. For the purposes of Article 57(1), point (a), of Regulation (EU) 2021/696 of the European Parliament and of the Council ( 1 ) , a Member State shall be considered to have ownership of a SST sensor when it has the adequate legal title and possession, according to its national law, in relation to the sensor and the data it produces.

1.1.1.2. For the purposes of Article 57(1), point (a), of Regulation (EU) 2021/696, a Member State shall be considered to have access to an SST sensor if the necessary data produced by that sensor cannot be denied by a third party and, in the case of a tracking sensor, the Member State or the Constituting National Entity can order a tasking request.

1.1.2. Adequate SST sensor

1.1.2.1. For the purposes of Article 57(1), point (a), of Regulation (EU) 2021/696, a SST Sensor shall be considered to be adequate operationally if the sensor is in category A (as defined in 2.2.1.1).

1.1.2.2. For the purposes of Article 57(1), point (a), of Regulation (EU) 2021/696, a SST Sensor shall be considered to be adequate non-operationally if it is included in category B or C, as defined in 2.2.1.1).

1.1.3. Sensor available for SST

For the purposes of Article 57(1), point (a), of Regulation (EU) 2021/696:

1.1.3.1. A SST sensor shall be considered available for SST operationally: when that sensor is in category A, as defined in 2.2.1.1 and at least one of the following conditions is met: (a) the sensor shall be at least 20 % dedicated to the SST Partnership’s tasks, but a lower percentage for tracking sensors can be accepted if justified by the architecture studies; (b) the SST related task of the sensor has priority over any other missions of that sensor;

1.1.3.2. A SST sensor shall be considered available for SST non-operationally when the following conditions are met: (a) the sensor is listed in category B or C (as defined in 2.2.1.1); (b) the Member State can prove that the technology risks and operational risks are mastered.

1.1.4. Technical and human resources to operate the sensor

Information, to demonstrate that the technical and human resources are and will be available to operate the sensor, shall be part of the proposal.

1.1.5. Security of the SST sensors

1.1.5.1. The Member State shall be responsible for the security aspects of the proposed SST sensor.

1.1.5.2. The Member State shall perform and provide an initial risk assessment for the proposed SST sensor. The risk assessment shall include: — the capacity of the sensor to deal with classified information, — the technical, contractual and operational measures in place to ensure that data produced by that sensor cannot be denied by a third party and in the case of a tracking sensor the sensor is able to receive a tasking request, execute and disseminate the results, — the associated residual risks.

1.2. Ownership of, or access to, an adequate operational analysis capability and data processing capability specifically designed for SST purposes and available for SST:

1.2.1. Ownership of, or access to, the SST operational analysis and data processing capability

1.2.1.1. For the purposes of Article 57(1), point (a), of Regulation (EU) 2021/696, a Member State shall be considered to have ownership of an SST operational analysis capability and data processing capability when it has the adequate legal title and possession, according to its domestic law, in relation to the capability and the data and information it produces.

1.2.1.2. For the purposes of Article 57(1), point (a), of Regulation (EU) 2021/696, a Member State shall be considered to have access to an SST capability if the data and information produced by that capability cannot be denied by a third party.

1.2.1.3. A SST capability shall be considered under development in the context of contributing to the SST Partnership when the following conditions are met: — the date of entry in operation of the capability is known and is prior to the delivery of SST services by the SST Partnership and no later than 30 June 2023, — the Member State can prove that the technology risks are mastered and that investments have been committed at the national level to develop that capability.

1.2.2. Adequate SST operational analysis and data processing capability

1.2.2.1. Data processing capability shall be considered ‘adequate’ if it includes the necessary hardware and software solutions to process SST data and produce the relevant SST information and/or deliver SST services. It shall include the necessary features to operate at any time.

1.2.2.2. Operational analysiscapability shall be considered ‘adequate’ if it comprises both the hardware and software solutions and trained analysts in order to generate SST information and deliver SST services.

1.2.3. Security of the capabilities

In order to comply with the obligation related to Article 57 (1), point (b) of Regulation (EU) 2021/696, the following elements shall be justified in the proposal.

1.2.3.1. An applicant Member State shall be responsible for the security aspects of the proposed SST capabilities.

1.2.3.2. An applicant Member State shall perform and provide the initial risk assessment of the proposed SST capabilities. The initial risk assessment shall include in particular: — the ability of the capability to deal with classified information, — the technical, contractual and operational measures in place to ensure the capability is not denied to the Constituting National Entity of the Member State, — the associated residual risks.

2. COLLECTIVE CONDITIONS AND DETAILED RULES ON THE FUNCTIONING OF THE ORGANISATIONAL FRAMEWORK OF THE PARTICIPATION OF MEMBER STATES IN SST

In order to comply with the obligation related to the action plan of Article 57(1), point (c) of Regulation (EU) 2021/696, the following elements shall be provided in the proposal.

2.1. Architecture of the Union system

2.1.1. The delivery of a technical and functional architecture

The SST Partnership shall deliver a proposal containing a technical architecture and a functional architecture of the SST system.

The proposed technical architecture shall be based on and justified by architecture studies.

2.1.1.1. Architecture studies

The SST Partnership shall propose a SST system based on and justified by architecture studies.

For the architecture of the Operational SST System, it shall deliver the architecture study including the sensors listed in category A (as defined in 2.2.1.1).

For the architecture of the ‘Planned evolution of the SST System’, it shall deliver the architecture study including the sensors listed in category A and categories B and/or C, (as defined in 2.2.1.1), as far as the necessary data on the planned sensors are available.

Architecture studies shall be performed at least every three years in order to take into consideration potential development of the SST system, users’ needs, technical evolution, adding of new sensors (while taking into account the SST budget envelope), and de-scoping of sensors.

2.1.1.2. The general technical architecture

The general technical architecture shall present the detailed elements composing the SST System:

— Sensor function,

— Processing function, including: data and information, data base and catalogue,

— Service function, in order to ensure the delivery of SST services listed in Article 55 (1) of Regulation (EU) 2021/696.

The general technical architecture shall include security aspects, including at least the following elements:

— Protection of the infrastructures and of the provision of services

— The protection of classified data and information

— Asset management and vulnerability identification

— Protection against physical, cyber-attacks, and tampering of data streams

— Intrusion detection, management and business continuity

— Adequacy to comply with instructions issued in accordance with Council Decision (CFSP) 2021/698 (2).

2.1.1.3. The general functional architecture

A functional architecture is based on a Functional Analysis (as defined in Annex IV) and a Functional Description.

The general functional architecture shall also comprise the repartition of activities among the different Experts’ Teams aiming to ensure the repartition of activities between the different members of the SST Partnership, in order to ensure the delivery of SST services listed in Article 55(1) of Regulation (EU) 2021/696 and the decision-making mechanisms.

The general functional architecture shall include the following security aspects:

— Definition of the security responsibilities, including decision making process for establishment of policies, and controls,

— Operational organisation for incident handling including communication towards user communities for incidents impacting the service provision.

The technical and functional architectures shall be revised at least every three years in order to take into account the potential development of the SST system, user needs, technical evolution of new sensors, and de-scoping of sensors.

2.1.2. The principle of unnecessary duplication

The proposed SST system shall be based on the principle of avoiding unnecessary duplication. Avoiding unnecessary duplication shall be understood as to include all the necessary elements in order to ensure and enhance the performance and autonomy of SST capabilities at Union level, while refraining from adding assets that result in system redundancy above the level necessary for the timely and reliably delivery of SST services.

2.1.3. Performance demonstration of the SST system

The SST system performance shall be collectively demonstrated according to the following criteria/ domains:

— Number of objects the network of sensors is capable of detecting in each orbital regime,

— Cataloguing of space objects,

— Collision Avoidance service,

— Re-entry service,

— Fragmentation service, and

— Ability to develop new services (mitigation and remediation).

The list of Union SST sensors of the different Very Large Areas (VLA) and associated value-added shall be demonstrated by architecture studies and ensured by the technical architecture.

The quality of the compromise between the performance (quality of services; Union catalogue size …) and the cost achieved for the resulting SST system shall be demonstrated.

2.2. General rules regarding the selection of the sensors participating to the SST system

2.2.1. Lists and categories of sensors

The list of national sensors selected by the SST Partnership in order to provide the SST services listed in Article 55 of Regulation (EU) 2021/696 shall be provided.

The sensors shall be assigned to a category A, B or C.

The categorisation procedure for sensors might be updated to be kept in line with the latest needs of the SST sensor network. In case of changes, they have to be:

— justified according to architecture studies,

— approved by a vote of the SST Partnership,

— accepted by the Commission.

2.2.1.1. The sensors shall be presented in the following categories:

— Category A: Operational sensors delivering operational data: Member States’ adequate operationally (as defined in 1.1.2.1) sensors participating to the delivery of the SST services whether financed partially by the Commission, or not financed by Commission. For the operational sensors, listed in category A, the Member State shall commit for each sensor on the percentage of dedication for SST activities. In case the exact dedication is not known due to pending budget negotiations, an expected dedication should be indicated. However, the exact dedication will have to be specified in the grant proposal. The declared dedication shall be expressed in a minimum number of days per month, or number of hours per day, or number of available tasking requests and shall be valid for any month all along the grants attributed under the Regulation (EU) 2021/696 establishing the Union Space Programme.

— Category B: Pre-Operational sensors delivering test data: Member States’ adequate non-operationally (as defined in 1.1.2.2) sensors not participating yet to the delivery of SST services and awaiting to successfully go through the assessment campaigns (as described in 2.3) before being able to participate to the delivery of SST services. The sensors included in category B shall not receive funding for operational activities but they may receive funding for preparing the assessment campaigns.

— Category C: Under-development sensors: Member States’ adequate non-operationally (as defined in 1.1.2.2) sensors which might be used for SST Services in the future once they will be finalised, operational and passed the assessment campaign. The sensors included in category C shall not receive funding for operational activities but might receive funding from research and development activities based on justifications provided by architecture studies.

2.2.1.2. The change of categories

The passage from category A to B shall be triggered by the failure to pass:

— a calibration campaign, or

— two operational campaigns in a row.

It shall be accompanied by:

— an approval by a vote of the SST Partnership,

— information to the Commission.

The passage from category B to A shall be triggered by:

— the success of an assessment campaign (calibration campaign and operational campaign).

It shall be accompanied by:

— an approval by a vote of the SST Partnership,

— an approval of the Commission.

— the analysis of the added-value of the sensor according to the architecture studies.

The passage from category B to C shall be triggered by the failure to pass:

— a calibration campaign or

— two operational campaigns in a row, except if the sensor had been demoted from category A to category B due to a failure to pass two operational campaigns in a row, in which case the failure of one operational campaign shall trigger the downgrading of the sensor from category B to C.

It shall be accompanied by:

— an approval by the SST Partnership,

— information to the Commission.

The passage from category C to B shall be:

— justified according to architecture studies by the added-value to the overall SST system.

— approved by a vote of the SST Partnership,

— accepted by the Commission.

2.2.2. Selection of the sensors

The sensors selected to participate to the delivery of SST services (Category A) shall be chosen using objective criteria, such as: technical parameters, performance, location and the successful regular participation to assessment campaigns according to the periodicity requested in 2.3.

No Member State can derive any right to be considered in SST with its existing assets or those being nationally developed, except in exceptional cases that need to be duly:

— justified according to architecture studies by the added-value to the overall SST system,

— approved by a vote of the SST Partnership,

— accepted by the Commission.

Nationally operated Union sensors will not have a right to be considered as sensors contributing to the SST Partnership unless they are:

— justified according to architecture studies by the added-value to the overall SST system,

— approved by a vote of the SST Partnership,

— accepted by the Commission.

2.3. Regular check of the sensors selected by Assessment campaign

The assessment campaign shall be composed of two elements:

— Assessment of the technical performance (‘calibration campaign’)

— Assessment of the operational performance (‘operational performance analysis’).

2.3.1. Assessment of the technical performance: calibration campaigns

2.3.1.1. Calibration campaign: general rules

Each sensor selected to be part of the SST system shall have the obligation to participate to calibration campaigns conducted by the SST Partnership in order to ensure the quality of the data produced.

The calibration campaign periodicity may vary according to the typeof sensor, as follows:

— radars selected to be part of the SST system shall go through, at least, a calibration campaign every 12 months,

— telescopes selected to be part of the SST system shall go through, at least, a calibration campaign every 6 months,

— lasers selected to be part of the SST system shall go through, at least, a calibration campaign every 12 months.

2.3.1.2. Criteria for calibration campaign

The calibration campaigns shall follow specific objective criteria in order to ensure the fairness of the results and the overall efficiency of the SST system.

The criteria shall be the following:

Technical performance [N] – Noise Survey Radars Range ≤100m Range Rate ≤4m/s Tracking Radars Range ≤50m Range Rate ≤2m/s Survey telescopes (MEO/GEO) Angular accuracy ≤2 arcsec Tracking telescopes MEO/GEO Angular accuracy ≤2 arcsec Tracking telescopes LEO Angular accuracy ≤7,2 arsec Lasers Range accuracy ≤5m

Threshold to be applied for the participation of sensors are subject to evolution based on performance monitoring process and values in this Annex could be updated to be kept in line with the latest needs of the SST sensor network. In case of changes, they have to be presented and justified at the Yearly Operational Review.

2.3.2. Assessment of the operational performance: Operational performance analysis

2.3.2.1. Operational performance analysis: general rules

Each sensor selected to be part of the SST system shall have the obligation to share data in order to allow the SST Partnership to perform operational performance analysis for ensuring the operational performance of the data produced.

Sensors included in the category A shall transmit data to their Constituting National Entity, or to the Constituting National Entity of another Member States with whom the State has a specific agreement. The Constituting National Entity shall send the data with adequate timeliness and regularity to the database via electronic means with the appropriate security measures.

The operational performance analysis periodicity may vary according to the type of assets, as follows:

— Radars selected to be part of the SST system shall go through, at least, an operational performance analysis every 12 months.

— Telescopes selected to be part of the SST system shall go through, at least, an operational performance analysis every 6 months.

— Lasers selected to be part of the SST system shall go through, at least, an operational performance analysis every 12 months.

A sensor, which has failed an operational performance analysis, is entitled to remain in category A while waiting for the next operational performance analysis.

A sensor failing two operational performance analysis in a row shall be removed from category A, and included in category B, except in exceptional cases that need to be duly:

— justified according to architecture studies by the added-value to the overall SST system,

— approved by a vote of the SST Partnership,

— accepted by the Commission.

2.3.2.2. Criteria for operational performance analysis

Operational performance Objects/operational hour Measurements/effective hour Timeliness (of data sharing) Survey Radars ≥65 ≥250 meas/hour >90 % of tracks in less than 48h AND >75 % of tracks in less than 24h (*1) Tracking Radars N/A ≥12 meas/hour Survey telescopes ≥7 ≥24 meas/hour Tracking telescopes N/A ≥21 meas/hour Lasers N/A ≥19 meas/hour

Threshold to be applied for the participation of sensors are subject to evolution based on performance monitoring process and values in this annex could be updated to be kept in line with the latest needs of the SST sensor network. In case of changes, they have to be presented and justified at the Yearly Operational Review.

Effective time means a declarative value communicated every month by the Member State responsible of the sensor. It is used for the computation of the Measurement Rate.

Operational time means time when sensor shared measurements is computed as the total duration of the tracks shared through the SST Database.

2.4. Specific rules for telescopes, radars, lasers and others types of sensors

2.4.1. Telescopes

The SST Partnership shall ensure, as far as possible, an ideal geographical distribution of the telescopes based on the needs for providing coverage, cataloguing and SST services, while respecting the principle of unnecessary duplication.

The geographical repartition of telescopes and the best value for money shall be justified and validated by architecture studies.

The overall number of telescopes (surveillance and tracking) shall be assessed according to the need demonstrated by the architecture studies and the needs for each VLA. The architecture study shall demonstrate the value-added of each asset and indicate how the principle of non-duplication has been respected.

2.4.1.1. For surveillance telescopes

The number of surveillance optical sensors in Europe VLA shall be restricted to one Full Time Equivalent (3) per Member State.

The number of surveillance optical sensors worldwide (including Europe VLA) shall be restricted to two Full Time Equivalent per Member State.

In case there is the necessity to have more telescopes’ resources in one Member State, it has to be:

— justified by architecture studies,

— approved by a vote of the SST Partnership,

— accepted by the Commission.

2.4.1.2. For tracking telescopes

The number of tracking optical sensors in Europe VLA shall be limited to one Full Time Equivalent per Member State.

The number of tracking optical sensors worldwide (including Europe VLA) shall be restricted to two Full Time Equivalent per Member State.

In case there is the necessity to have more telescopes’ resources in one Member State, it has to be:

— justified by architecture studies,

— approved by the SST Partnership,

— accepted by the Commission.

2.4.1.3. For telescopes able to do surveillance and tracking

Sensors capable of working in both surveillance and tracking mode shall declare which is its main operational mode when contributing to SST. The assessment of the sensor shall be evaluated with respect to the main operational mode; notwithstanding that, the sensor would operate also in the other mode, if required.

For the technical performance and operational, the sensor shall comply with the most restrictive requirement, to ensure its compliance in the worst-case scenario. For example, a telescope capable of working as survey and tracking sensor and declaring survey as its main purpose shall be able to observe at least seven objects per hour and demonstrate an angular accuracy better than two arcsec RMS (Root Mean Square).

2.4.2. Radars

The SST Partnership shall ensure, as far as possible, an ideal geographical distribution of the radars based on the needs for providing coverage, cataloguing and SST services while respecting the principle of unnecessary duplication.

The number of radars participating in the delivery of SST services (category A) shall be limited.

The inclusion of an additional radar, in category A, shall be:

— justified by architecture studies,

— approved by the SST Partnership,

— accepted by the Commission.

The geographical repartition of radars and the best value for money shall be justified and validated by architecture studies.

2.4.3. Lasers

Laser participating to the provision of SST Services shall be able to acquire and track non-cooperative target in order to be included in category A.

The number of lasers shall be limited to five sensors worldwide.

In case there is the necessity to have more lasers’ resources or lasers capable of tracking only cooperative objects, it has to be:

— justified by architecture studies,

— approved by a vote of the SST Partnership,

— accepted by the Commission.

2.4.4. Other types of sensors

The SST Partnership may add other types of sensors (such as space based sensors, passive ranging techniques …).

The inclusion of an additional other types of sensors shall be:

— justified by architecture studies,

— approved by a vote of the SST Partnership,

— accepted by the Commission.

2.5. Financing rules for the upgrade and operation of assets

Each upgrade and development receiving Union funding shall be justified under the SST architectures developed by the SST Partnership. The justification must highlight the starting performance of the asset, the intended final performance and the corresponding added-value to the SST system performances.

The SST sub-component shall focus on the upgrading of existing national assets.

2.5.1. Capital expenditure (CAPEX)

Due to the nature of the Union activities in SST, the level of Union financing of the upgrade of each asset shall be based on the justification for total capital expenditure (CAPEX) of the sum of all the upgrades committed on that asset within the period of each SST grant with the SST Partnership, and shall be limited to 45 % of the total CAPEX. The financial proof of national investments shall be sent to the Commission by the Member States.

A higher percentage might be accepted if:

— justified according to architecture studies by the added-value to the overall SST system,

— approved by a vote of the SST Partnership,

— accepted by the Commission.

Investments below EUR 75 000 may receive a higher percentage of financing.

2.5.2. Operational expenditure (OPEX)

The percentage funded by the Union shall be consistent with the dedication to the SST sub-component and the total OPEX of the asset. For example, the OPEX cost for a sensor X % dedicated to SST cannot be greater than X % of the total (100 %) OPEX which shall be declared to the Commission.

(1) Regulation (EU) 2021/696 of the European Parliament and of the Council of 28 April 2021 establishing the Union Space Programme and the European Union Agency for the Space Programme and repealing Regulations (EU) No 912/2010, (EU) No 1285/2013 and (EU) No 377/2014 and Decision No 541/2014/EU (OJ L 170, 12.5.2021, p. 69).

(2) Council Decision (CFSP) 2021/698 of 30 April 2021 on the security of systems and services deployed, operated and used under the Union Space Programme which may affect the security of the Union, and repealing Decision 2014/496/CFSP (OJ L 170, 12.5.2021, p. 178).

(*1) additional timeliness performance criteria could be developed upon the request of the Commission by the EU SST Partnership

(3) One FTE telescope means one telescope with 100 % dedication, or N telescopes with the ‘sum of N’ dedications =100 %.