ESFRI European Strategy Forum on Research …...Forum on Research Infrastructures (ESFRI) on 10th...

PUBLICROADMAP2018GUIDEFinalversiondated9thDecember2016

European Strategy Forum

on Research Infrastructures ESFRI

FOREWORD

AfterthecompletionoftheRoadmap2006andthe2008and2010updates,theEuropeanStrategyForumonResearchInfrastructures(ESFRI)on10thMarch2016publisheditsRoadmap2016basedonathoroughlyupdatedevaluationandselectionprocedure.ThereinitintroducedtheESFRILandmarks-successfullyimplementedResearchInfrastructures(RI)-alongwiththeESFRIProjectstobeguidedtowardsimplementationinlessthanadecade.

FollowingthemandateoftheCounciloftheEuropeanUnion(EU),ESFRIlauncheditsRoadmap2018update during the 3rd International Conference on Research Infrastructures (ICRI) on 4th October2016inCapeTown(SouthAfrica)tostresstheopennessofEuropeanRItointernationaluseandtoconsiderthepossibilitiestoenforcetheconceptofGlobalResearchInfrastructures(GRI).

WeofferthisPublicRoadmap2018GuideassupporttoproposerspreparingasubmissionandtotheProjects and Landmarks involved in the update procedure. It contains the definitions, models,methods anddescribes theprocedures applied for this update. It represents ESFRI’s best effort inroad-mappingmethodologyandmaythusserveasreferencetocomplementarynationalexercises.

Welookforwardtotheengagementoftheresearchandinnovationcommunities,aswellasofthestakeholdersfromEuropeandbeyond,toidentifypotentialnewProjectsandthewaystostrengthenthe running ones, and to maximise the return from the pan-European RI investment in terms ofscience,internationalcollaborationandinnovation.

GiorgioRossi

ESFRIChair

TABLEOFCONTENTS

Foreword.................................................................................................................................................2

Strategicrole...........................................................................................................................................4

Definitions...............................................................................................................................................6

ResearchInfrastructure(RI).................................................................................................................6

Single-SiteRI........................................................................................................................................6

DistributedRI.......................................................................................................................................7

GlobalResearchInfrastructure(GRI)...................................................................................................7

Majorupgrade.....................................................................................................................................8

Projects................................................................................................................................................8

Landmarks...........................................................................................................................................8

Estimatedandrealcosts......................................................................................................................9

Modelsandmethods............................................................................................................................10

Lifecycle.............................................................................................................................................10

Evaluationofscientificcase...............................................................................................................12

Assessmentofimplementation.........................................................................................................12

Minimalkeyrequirementsalongdimensionsandlifecycle..............................................................13

Scoring...............................................................................................................................................13

Principles,ConflictofInterest(CoI)andconfidentiality....................................................................13

Roadmap2018update..........................................................................................................................14

LandscapeAnalysis............................................................................................................................15

Monitoring2008and2010Projects..................................................................................................15

PilotperiodicreviewLandmarks.......................................................................................................16

Submissionandevaluationofproposals...........................................................................................18

ANNEXI:Listofabbreviations...............................................................................................................21

ANNEXII:Listofminimalkeyrequirementsforscientificcase.............................................................22

ANNEXIII:Listofminimalkeyrequirementsforimplementation........................................................24

PUBLICROADMAP2018GUIDEDATED9THDECEMBER2016

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STRATEGICROLEESFRIwasset-upfollowingarecommendationoftheCounciloftheEU1andhasthefollowingscope:

- tosupportacoherentandstrategy-ledapproachtopolicymakingonRIinEurope;

- to facilitatemultilateral initiatives leading to a better use and development of RI acting as anincubatorforpan-EuropeanRIandGRI;

- toestablishaEuropeanroadmapforRI(newandmajorupgrades,pan-Europeaninterest)forthecoming ten to twenty year, stimulate the implementation of these facilities and update theRoadmapastheneedarises2;

- to ensure the follow-up of implementation of already on-going Projects after comprehensiveassessment,aswellastheprioritisationoftheRIlistedintheRoadmap3.

The effective investment in and use of RI became one of the priorities in realising the EuropeanResearchArea(ERA).TheessentialelementsoftheRIpriorityintheERAareto:

- ensurenationalcommitmentstotheimplementationoftheRoadmap;- completeorlaunchconstructionby2015of60%ofthepriorityRIontheRoadmap;- encourage EU Member States (MS) or Associated Countries (AC) to the EU Framework

ProgrammeforResearchandInnovationtolinktheirnationalRIroadmapstotheESFRIRoadmapandsmartspecialisationstrategiesintheEuropeanStructuralandInvestmentFunds(ESIF);

- set priorities for implementing the Roadmap and to provide advice and guidance to MS onovercominglegal,financialortechnicalobstaclestoimplementation;

- define common evaluation principles, impact-assessment criteria and monitoring tools to beappliedinregional,nationalandEUprogrammestohelpcombinefundsfromdifferentsources.

In2014, theECconcluded4 that “the importanceofexcellentRI forachievingexcellent research iswidely acknowledged, […] (but that) doubts were raised regarding whether some national (RI)roadmaps can really be considered roadmaps, as no specific plans were incorporated on how toachieve the targets set and coherent harmonised approaches are missing.” The CompetitivenessCouncil5“recognisedthegreateffortsmadebyMStostrategicallyplantheirinvestmentsinRI,notedtheneedforfurthercoordinationofcountryspecificandEuropeanroadmapsonRIandofnationalfunding decisions for the development and operation of RI, including those identified by ESFRI.”Similarly,theCouncilalsoemphasisedtheneedandimportanceofe-infrastructures.ESFRIthusisnotonlyoneof the sevenERA-relatedexpertgroups,but it alsoprovides forauniquecombinationofscientificexpertiseandpolitical competence to fulfil a strategic roleatEuropeanand internationallevelandhasbeenadrivingforceforthealignmentofnationalRIroadmaps.

1InJune2001,theResearchCouncilinvited"theEC-inclosecollaborationwiththeMS-toexploretheestablishmentofnewarrangementstosupportpoliciesrelatedtoRI”.ThefirstmeetingofESFRItookplaceon25thApril2002inBrussels.2ConclusionsoftheCompetitivenessCouncil,25th-26thNovember2004and21st-22ndMay20073ConclusionsoftheCompetitivenessCouncil,11thDecember20124EC(2014)AnalysisofthestateofplayoftheEuropeanResearchAreainMemberStatesandAssociatedCountries:focusonpriorityareasathttp://ec.europa.eu/research/era/pdf/era-communication/analysis_of_the_state_of_play_of_era_vf20140826.pdf5Councilconclusionsdated5thDecember2014athttp://www.consilium.europa.eu/uedocs/cms_data/docs/pressdata/en/intm/146063.pdf


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ESFRIsince2002playstheleadingroleinthedevelopmentofpan-EuropeanRIthatprovidetoolstosciencetoexplorethefrontiersofknowledge.ThestrategicroleofESFRIpresentsitselfasfollows:

- ByregularlycarryingoutanalysisofRIlandscapesinfivereferencescientificdomains,inadditionto e-infrastructures6. ESFRI captures and describes the key RI defining the entire landscape,identifiesgapsandenablesstakeholdersatinstitutional,regional,national,Europeanandgloballevel to position their RI initiatives within a broader context and identifies synergies andcomplementaritieswithexistingRItorefinetheirstrategicprioritysetting.

- ESFRIaddressestheentirelifecycleofRIwiththeaimofsafeguardinglong-termsustainabilityoftheESFRIRIportfolioandtheeffectiveandefficientuseof-atoftentimes-limitedprivateandpublic funds. It therebyplaysan important role in the reductionofbarriers tomultilateralandmulti-organisationalco-operationanddevelopmentofoptionsforjointfundingofRI.

- ESFRIorganisesopencallsforproposals,selectsproposalsbasedonstricteligibilitycriteriaandreviewstheminaclearandtransparentmannerthroughindependent,internationalpeerreview;thus contributing to a balance within the ERA between the bottom-up design of RI and thesubsequent strategic top-down prioritisation of a limited portfolio of pan-European RI. ESFRIreportsdirectlytotheCouncilwheretheministershaveacknowledgedESFRI`sroleandvalue.

- ESFRI has developed and applies distinct and transparent evaluation, assessment, monitoringandperiodicreviewmechanismsbasedontwoindependentprocesses, i.e.1)theevaluationofthe scientific case through the Strategy Workings Groups (SWG) and 2) the assessment ofimplementation through the Implementation Group (IG) – both processes being conducted inclose cooperation with experts from the e-Infrastructure Reflections Group (e-IRG). In bothcases, international and independent Reviewers are involved to provide advice, but ESFRI issolelyandentirelyresponsibleoftheevaluationandassessmentproceduresandoutcomes.

- ESFRI has also become an important point of reference for funding strategy for RI concerningnational and EU funding instruments. It contributes to the alignment of RI decisionmaking atregional, national and global level – particularlywith a view on smart specialisation strategiesandwithnationalRIroadmapdevelopment.

- ESFRI has contributed to the creation of the European Charter for Access to ResearchInfrastructures7andiscommittedtoimprovethisreferencedocumentinthefuture.

- Through regular and periodic monitoring of its entire RI portfolio, by providing constructiverecommendationswith distinct attention for the business case of its RI and by facilitating theexchange of information and the identification of best practice, ESFRI supports its RI tomovetowardsimplementationandpromotessynergiesandintegrationamongstthem.

- By collaborating with the e-Infrastructure Reflection Group (e-IRG) on issues related to datamanagement, data communication and other related matters, ESFRI ensures that theopportunitiesprovidedbythedigitisationofresearcharefullyincludedinitsprocesses.

- Byofferingnon-financialsupporttoitsRIportfolio,ESFRIfacilitatestheimplementationofpan-EuropeanRI.

- ESFRI operates at the forefront of European and global science policy and contributes to itsdevelopmenttranslatingpoliticalobjectivesintoconcreteadviceforRIinEurope.

6I.e.servicesfordatacommunication,datastorageandmanagement,computinganddataanalysis,includingimplementationsusinge.g.communicationnetworks,resourcesandhighperformancecomputingsystems.7EC(2016)EuropeanCharterforAccesstoResearchInfrastructuresathttps://ec.europa.eu/research/infrastructures/pdf/2016_charterforaccessto-ris.pdf


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DEFINITIONSESFRIengagesinafullytransparentroadmappingprocesswithclearlystatedrulesandprocedures.Thedefinitions,modelsandmethodsdescribedhereinapplytoRoadmap2018update.

RESEARCHINFRASTRUCTURE(RI)

ThefollowingdefinitionforRIfromArticle2(6)oftheRegulation(EU)No1291/2013of11December2013: `EstablishingHorizon2020 - the FrameworkProgramme forResearchand Innovation (2014-2020)`applies:

“RI are facilities, resources and services that are used by the research communities to conductresearch and foster innovation in their fields. They include:major scientific equipment (or sets ofinstruments), knowledge-based resources such as collections, archives and scientific data, e-infrastructures, such as data and computing systems and communication networks and any othertoolsthatareessentialtoachieveexcellenceinresearchandinnovation.”

Accordingly,RIareimplementedalongdifferentorganisationalmodels,includingcentralsourcesandlaboratories for experiments and measurement sessions, coordination and management ofgeographically distributed observatories or laboratories, remotely accessible resources forcomputing, data banks, physical sample repositories, surveys and longitudinal studies. While theabovedefinitioncapturesthecommonfeaturesofRI,thereareatleastthreetypesofRI,asdefinedbelow.

SINGLE-SITERI

A single-site RI is a geographically localised central facility designed for user access whosegovernance-inthecaseofESFRI-isEuropeanorinternational.Asingle-siteRIneedsto:

- have a legal status and governance structure with clear responsibilities and reporting lines,includinginternationalsupervisoryandrelevantexternaladvisorybodies;

- haveanaccesspolicy8andaccesspointforexternalusersfacilitatingthesubmissionofproposalsthroughauserprogrammedesignedtoabsorbaconsiderablepartofthetotalcapacityoftheRI;

- haveauser support structure inplace tooptimiseaccess, suchasuser’soffice space,ancillarylaboratories,accommodationarrangementsandlogistics;

- have a data management system allowing for easy storage, retrieval of data and on-line/in-situ/remotedatareductionandanalysis;

- identify and agreeupon relevant andmeasurable Key Performance Indicators (KPI) addressingbothexcellenceofscientificservicesandsustainabilityissues;

- demonstrateahuman resourcespolicy togather thenecessarycompetences for itsoperation,hiring,equalopportunities,educationandtraining.

8Whendraftinganddecidinguponanaccesspolicy,pleaseconsiderEC(2016)EuropeanCharterforAccesstoResearchInfrastructuresathttps://ec.europa.eu/research/infrastructures/pdf/2016_charterforaccessto-ris.pdf


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DISTRIBUTEDRI

AdistributedRIconsistsofaCentralHubandinterlinkedNationalNodesandneedsto:

- haveauniquespecificnameandlegalstatusandgovernancestructurewithclearresponsibilitiesandreportinglines,includinginternationalsupervisoryandappropriateexternaladvisorybodies;

- havelegallybindingattributionsofcoordinationcompetencesandresourcestotheCentralHub;- haveacommonaccesspolicy9andprovideforasinglepointofaccessforalluserswithasupport

structurededicatedtooptimisetheaccessfortheproposedresearch;- haveauserprogrammedesignedtoabsorbaconsiderablepartofthetotalcapacityoftheRI;- identify and agree upon relevant andmeasurable Key Performance Indicators (KPI) addressing

bothexcellenceofscientificservicesandsustainabilityofoperation;- haveahumanresourcespolicyadequatetowarrantthenecessarycompetencesfortheeffective

operationof theCentralHub and to support the user’s programme, and to encompass hiring,equalopportunities,secondments,educationandtraining;

- define a joint investment strategy aimed at strengthening the RI through the Nodes andcommon/sharedfacilities.

These features characterise a distributed-RI and thus mark the difference with respect tocoordinated research networks (international collaborations). The Nodes may be only partiallyabsorbed by the distributed RI maintaining their national or institutional programmes, but thecapacity and amount of resources devoted to the RI must be clearly identified, coordinated andmanagedbytheCentralHubaccordingtoagreedstatutesandcommonrulesandproceduresoftheRIconsortium.

Importantly, distributed RImust demonstrate a capability to attribute optimal personnel capacityandcoordinatingpowertotheCentralHub,thereforedisplaying:

1) a high level of integration of the National Nodes (such as a unique portal with thoroughexplanationandguidance towards the commonaccesspolicy,harmonisedandcoherent IPR&data policies; adequate central resources; procurement and upgrading of technologicalinfrastructure;humanresourcespolicyallowingforstaffexchangeandsecondment);

2) addedvaluecomparedwiththemeritsofaresearchcooperationnetworkopentoexternaluse.TheCentralHubthereforemustrepresentatrulyinternationalorganisationcapableofoperatingwithahighlevelofefficiencyandmediatingacrossdifferentscientificcultures.

GLOBALRESEARCHINFRASTRUCTURE(GRI)

The GSO has defined GRI upon mandate by the G8+510 and recognises the vital role of GRI inaddressing worldwide science and technology challenges and the benefits of coordinatinginvestmentsinGRItoefficientlyusetheavailableresourcesandfullyrealisetheirpotentialbenefits.GRImaybesingle-siteordistributedRIandshouldfollowthe‘GSOFrameworkforGlobalResearchInfrastructures’10 approved by the GSO in 2014. The GSO updated a list11 of potential GRI iscontinuouslyofferingopportunitiesformatchmakingexercises.TheGSOmemberscanproposeGRI

9https://ec.europa.eu/research/infrastructures/pdf/2016_charterforaccessto-ris.pdf10https://ec.europa.eu/research/infrastructures/pdf/gso_framework_for_global_ris.pdf11https://www.bmbf.de/files/151109_G7_Broschere.pdf


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candidates seeking for international partnership. GSOmembers, including the EC, can propose anESFRIRIaspotentialGRI.

MAJORUPGRADE

AmajorupgradeisanupgradetoanoperationalRIwiththegoalofdeliveringatransformativeeffectto its scientific outputs, or a substantial changeof technical approach anddoesnotmean routinemaintenanceorincrementalgains.Tothatend,anyapplicationstotheRoadmap,whichcomeunderthe category of upgrade, will be required to include robust justification describing the degree ofupgrade.AnexistingRIplanningamajorupgradecansubmitaproposaltobecomeaProject.

PROJECTS

Projects are RI in their preparation phase, which have been selected for the excellence of theirscientific case and for theirmaturity, according to a sound expectation that the Projectwill reachimplementation phase within the ten-year term. They are included in the Roadmap in order tounderline their strategic importance to the ERA and to support their timely implementation. TheProjectscanbeatdifferentstagesoftheirdevelopmenttowardsimplementation,accordingtotheirrespectivedateofinclusionintheRoadmap.ESFRIdifferentiatesbetweenthefollowingparticipants:

- LEADCOUNTRY/ENTITY:MS,ACorEIROforummember,whichleadsthepreparationoftheRI.- PROSPECTIVEMEMBERCOUNTRIES/ENTITIES:MS,ACandthirdcountries,whichhavesubmitted

ExpressionsofpoliticalSupport(EoS)signedbythenationalministriesresponsibleforRI,orotherentitiessuchasEIROforummembersofwhichthemandatedauthoritieshaveexpressedinteresttojointheRIthroughaCouncilresolution.

- PARTICIPANTS: MS, AC and third countries neither being the lead country nor (prospective)membercountries,butwhichhostresearchinstitutionsandinternationalorganisationsformallyinvolvedintheconsortium.SuchcountriesmaybeobserverstotheRI.

LANDMARKS

LandmarksareRIthatwereimplementedorreachedtheimplementationphaseundertheRoadmapand that are established as major elements of competitiveness of the ERA. The Landmarks canalreadydeliverscienceservicesandgrantaccess,orcanbeinadvancedstageofconstructionwithaclear schedule for the start of operation. Landmarks need continuous support and advice forsuccessfulcompletion,operationand-whennecessary-upgradetoensuretheprovisionofstate-of-the-art services,optimalmanagementandmaximumreturn from the investment. To thisend, thecontinuity,scopeandeffectivenessoftheLandmarksareperiodicallyreviewed.ESFRIdifferentiatesbetweenthefollowingparticipants:

- LEAD COUNTRY/ENTITY: MS, AC or an EIROforum member, which leads theimplementation/operationoftheRI.

- MEMBERCOUNTRIES/ENTITIES:MS,AC,thirdcountriesandotherentity(-ies)suchasEIROforummembers,whicharemembersofthelegalentitybyanyformalagreement.

- PROSPECTIVEMEMBERCOUNTRIES/ENTITIES:MS,ACandthirdcountries,whichhavesubmittedEoS signed by the national ministries responsible for RI, or other entities such as EIROforummembers ofwhich themandated authorities have expressed interest to join the RI through aCouncilresolution.


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- PARTICIPANTS: MS, AC and third countries neither being the lead country nor (prospective)membercountries,butwhichhostresearchinstitutionsandinternationalorganisationsformallyinvolvedintheconsortium.SuchcountriesmaybeobserverstotheRI.

ESTIMATEDANDREALCOSTS

CAPITALVALUE(CV)

TheCapitalValue(CV)ofaRIconcernsthetotalassetsofaRIorvalueoftheinvestmentforrealisingit. Sometimes a ReplacementValue (RV) is quoted as the value of the RI, i.e. the amount that anentitywouldhavetopaytoreplacethatRIatthepresenttime,accordingtoitscurrentworth.Theactual depreciationof RI is typically compensatedby constant upgrade so that a CV-RV should becalculatedasastablefigureasfarasamedium-longtermperspectiveofoperationoftheRI,atstateoftheartperformances,isforeseen.TheCV-RVcalculationshouldbereasonablystraightforwardforsingle-site RI. The CV-RV for distributed RI has to be evaluated taking into account the CV of theCentralHubaswellastheCV-RVoftheNodesasperquotaofparticipationinthedistributedRI.SoifaCV-RVisdefinedforagivennode(nationalnode,institutionalnode)andiftheNodeiscontributingX% to the distributed RI then this X% of the node’s CV-RV is added to the total CV-RV of thedistributedRI.Specialcasesexistforwhichtheabovedefinitionsmaynoteasilyapply:surveys,databanksorsamplecollectionsforexampleareneverthelessrepresentingaCVassoonastheirresultsbecomeassetsavailabletousersandcanbedefinedbyaRVaccordingtotheircurrentworth.

DESIGNCOSTS

Thedesigncostscoverallcosts(in-kindandcash)investedintheconceptualdesignandthedesigntofeasibility, including the costs for drafting the proposal. They include specific budgets obtained todevelop the project from institutional, national, European and international funds (such asDesignStudies and Integration Actions of the EU Framework Programmes for Research and Innovation);labourof scientific, technicalandmanagerialpersonneldedicated to theproject;prototypedesignanddevelopment;coordinationofpotentialusers,etc.At the timeofsubmissionofaproposal fortheRoadmap,thesecostsactuallyallconcernrealcosts.

PREPARATIONCOSTS

ThepreparationcostscoverallrealorestimatedcostsforthepreparationphaseofanRI, includingthefundingfromaPreparatoryPhaseundertheFrameworkProgrammesandallother in-kindandcashthirdpartycontributions.Importantly,thepreparationcostsalsocoverallcostsfromapossibleinterim-phasefollowingaPreparatoryPhaseproject.

IMPLEMENTATIONCOSTS

TheimplementationcostscoverthevalueinvestedintheimplementationoftheRI,includinghiringpersonnel, acquiring the site and goods, construction costs, legal costs, coordination of users’communities,datamanagementinfrastructurecosts,commissioningandpre-operationcosts.

AVERAGEANNUALOPERATIONCOSTS

Theaverageannualoperationcostscoverall costsof running theRI foroneyear,operatingusers’accessanddeliveringscientificservicesasdescribedbytheproject.TheyincludeallRI’scosts(suchaspersonnel,power, rents/mortgages, taxes,maintenanceandcontinuousupgrade,userssupport,in-housescientificprogramme).SomeoperationcostmaybecomeCV(suchasresultsofsurveysororganisedobservationaldata).


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MODELSANDMETHODS

LIFECYCLE

ESFRIappliesalifecycleapproachcoherentandconsistentwithRIfundingundertheEUFrameworkProgrammeforResearchandInnovation(FP)andtheGSOconcerningGRI.Moreover,thelifecycleofaRIisareferencetounderstandtheneedsandtargetsofRIatagiventimeandatvariouslevels.

TheconceptdevelopmentofaRI typicallyemergesbottom-upwheresciencecommunitiesclusteraroundwell-identifiedscientificneedsanddevelopastrategytoattractusersandstakeholders.Suchconcept can originate from completely novel approaches to answering scientific questions, clearneedsof enhanced capacity at pan-European level aswell as fromnew insights in existingRI, e.g.resultinginamajorupgradeormerger.

Thedesigncoverstheproofofthescientificconceptandthetestingofitsfeasibility,theanalysisofthepotentialusercommunity(bothscienceandinnovationoriented),theoutlineofabusinesscaseandtheformationoftheconsortiumthroughanationalorinternationaladhoccompetitiveproject(e.g. Design and Feasibility Studies). The design also includes an initial analysis of the relations toother RI as critical success factors. Such an analysis includes a discussion on e-infrastructurerequirementsof theRIandthepotentialneedofexternale-infrastructureresources.Also,apolicyregardingtheRI requiredandgenerateddata isoutlined. Importantly, theconsortiumalsogathersthe financial and political support from governments and funding agencies necessary for thepreparationphase.

Thepreparation -carriedoutat institutional,national,Europeanor international level - isdirectedtowardsdevelopingtheRIasafully-fledgedorganisation.ThecompletionofthepreparationoftheRIintheRoadmapisusuallycarriedoutthrougha`PreparatoryPhase`contractunderFPresultingina business plan, a legal entity, an agreed role for the RI also in the context of the landscape ofexistingRIatEuropeanandgloballevel,andsecuredfundingsafeguardingthefinancialsustainabilityfor the implementationandextendingalso for theoperation. SomeProjects faceagapof fundingbetween the end of their Preparatory Phase and the final decisions for implementation (legal,fundingandconstruction).Therefore,thesignatorypartiessometimesestablishadhocinterimlegalentitiesandgovernanceallowingtojointheRIoveraperiodoftime.Suchaninterimphase-aimedatreachingfullimplementation-requiresappropriatefunding.

The implementationofRIdiffersbetweensingle-siteanddistributedRI. Incaseofsingle-siteRI, itcorresponds to an intense investment period of construction lasting several years during whichhumanresourcesaredevotedtotheimplementationandfinancialresourcesarelargelytransferredto the market (suppliers of goods and technologies). Longer-term benefits are generated to thehosting territory: employment, upgrade of services, internationalisation and up-skilling of thepopulation, increaseddemandonhighlevelservices(schools,communication,financialservicesforinternational employees) and joint development of novel technologies that remain as acompetitivenesslegacytotheprocuringfirms.InthecaseofdistributedRI,theaboveaspectsmayalsoapplyconcerningthesettingupofaCentralHubortheconstructionorupgradeofoneormorenationalnodes,butoftentheinvestmentislessintensetheninthecaseofsinglesitefacilities.Thedevelopment of a successful governance andmanagement structuremay be of higher complexitythanforsingle-siteRI.


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Duringitsoperation,aRIdeliversadvancedservicesforexcellentsciencesatisfyingasteadydemandand-wherenecessary-upgradingitsinstrumentationandmethods.TheRIhascontinuousdemandforearlycareerscientists, facilitatingtheirtraininganddevelopmentandbooststherankingoftheconnectedacademicinstitutions.TheRIcangeneratespin-offsandstart-upsandattractscorporatepartnersgeneratingahighpotentialforinnovationasaneffectoftheconcentrationofhighlytrainedindividuals around theRI. These socio-economiceffects alsomanifest for theCentralHub and theNational Nodes of distributed RI enhancing the specialisation and effectiveness of multipleproductionsites.Theoperationalcostsof traditional single-siteRIare typicallyaround8 to12%ofthe initial capital investment per year - depending on the RI’s energy consumption and level ofdependenceonmanpower.MobileRI,suchasvessels,andmanydistributedRIande-infrastructures-oftenhavemuchhigheroperationalcost,whichiswhysustainabilityduringoperationisarealissueformanyofthem.TheoperationalcostsofdistributedRIincludethoserelatedtotheCentralHubaswellasthoseincrementalcostsoftheNationalNodeswhichformthedistributedRI.Forsingle-siteRI,typicallyatwenty-yearcycleappliesbeforemajorupgradesareneeded,requiringnewinvestmentamountingtoasignificantfractionofthefirstcapitalinvestment.Aspecialcaseregardscomputing,data storage and networking equipment and software: their upgrade cycles are much shorterbecause of rapid improvement in capability, energy efficiency, and market constraints. This isparticularlyimportantforthesustainabilityofe-infrastructures.

TheterminationdiffersgreatlydependingonthetypesofRIandtheirscope.Itmayencompassthedissolutionoftheorganisation,thedismantlingoffacilitiesandtheresurrectionoftheoriginalstateofthesite.SuchdecommissiondoesnotapplytoallareasanddependsstronglyonthetypeofRIasfar as safety is concerned. The economic impact of decommission also depends on the type of RIconcerninghazardandsafetyaspects.Thisterminalphasemayalsoresultinamergerofoperationsandorganisations,reuse,amajorupgradeorre-orientationoftheRI.Re-orientationofRIsiteshasalready occurred, e.g. in nuclear research or high-energy physics, where outdated RI have beentransformed into analytical facilities with new scientific missions built upon the presence of atechnologicalinfrastructure,logistics,humanresourcesandorganisation.

CONCEPTDEVELOPMENT

conceptscreening,consortiumformation,

accesspolicyandfundingconcept,scientificandprojectleadership

DESIGN

designstudy,businesscase,politicalandfinancialsupportobtained,common

accesspolicy,top-levelbreakdownofcosts,governanceandHR

policy

PREPARATION

preparatoryphase,business&constructionplan,politicalandfinancialsupportsecured,

datapolicy&datamanagementplan,costbook,legalentity

IMPLEMENTATION

siteconstructionanddeploymentoforganisation,recruitment,IPR&innovation

policies,perennialoperationsandupgradeplan,securefundingforoperation

OPERATION

frontierresearchresults,servicestoscientificcommunity,outreach,continuousupgradeofinstrumentationand

methods,planandobtainpoliticalandfinancialsupport

forfollowup

TERMINATION

e.g.dissolution,dismantlingoffacilitiesandresurrectionofsite,reuse,mergerofoperationsand

organisationand(major)


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EVALUATIONOFSCIENTIFICCASE

The goals of the scientific evaluation of proposals for the Roadmap (ex ante) and of Projects andLandmarksontheRoadmap(expost)areto:

- evaluatewhichminimal key requirements along the four dimensions of the scientific case aremet;

- assessfuturescientificplans;- adviseESFRIonthestrategicvalueoftheproposals,ProjectsandLandmarkswithinthebroader

RIecosystem;- evaluatethepotentialoftheproposals,ProjectsandLandmarksforfurther internationalisation

asGRIinthecontextofthe‘GSOFrameworkforGlobalResearchInfrastructures’12;- identifylinksandcomplementaritiesamongRIandthepotentialofintegration;- recognisee-infrastructureneeds,includingtheintegrationofRIinopene-networks.

TheSWGevaluatethescientificcasealongfourdimensions:

1. scientificexcellence;2. pan-Europeanrelevance;3. socio-economicimpact;4. e-needs.

TheSWGevaluatethescientificcase-takingintoaccountaspectsrelatedtoUserStrategy&AccessPolicy, Preparatory Work and other dimensions as described under the assessment ofimplementation.

ASSESSMENTOFIMPLEMENTATION

Thegoalsoftheassessmentofimplementationofproposals,theProjectsandLandmarksareto:

- assesswhichminimal key requirements along theeightdimensionsof the implementationaremet;

- assessfutureimplementationplans;- enablespecificandtargetedfollow-upbyESFRIandsupporttotheprojectstomovetowardsfull

implementationwithintheten-yearrule.

TheImplementationGroup(IG)assessestheimplementationalongeightdimensions:

1. stakeholdercommitment;2. userstrategy&accesspolicy;3. preparatorywork;4. planning;5. governance&management;6. humanresourcespolicy;7. finances;8. risks.

Whenassessingtheimplementation,theIGtakesthedimensionsofthescientificcaseintoaccount. 12GSOFrameworkforGlobalResearchInfrastructuresathttps://ec.europa.eu/research/infrastructures/pdf/gso_framework_for_global_ris.pdf


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MINIMALKEYREQUIREMENTSALONGDIMENSIONSANDLIFECYCLE

ESFRIappliesminimalkeyrequirementsonalldimensionsdescribedaboveandalongtheRIlifecycle.Forthescientificcase,thesearedescribedinannexIIandfortheimplementationinannexIII.Theseminimal key requirements serve as the basis for the scoring in the evaluation and assessment.Meeting minimal requirements is mandatory, but not sufficient to be automatically listed in theRoadmap.

SCORING

The following scoring values are attributed to each dimension following the minimal keyrequirementsdescribedintheannexesIIandIII:

- Veryhigh,i.e.thekeyrequirementsareoutstandinglymet.- High,i.e.thekeyrequirementsarecomprehensivelymet.- Medium, i.e. the key requirements are partlymet, but the proposal/Project/Landmark shows

weaknesses with regard to specific requirements. Enhancing the RI’s future success requires(significant)changesto(specificpartsof)theproposal/plans.

- Low,i.e.thekeyrequirementsareinsufficientlymetandtheevidenceforfuturesuccessoftheRIisnotconvincing.

InordertobeconsideredasaProject,aproposalmustmeetthekeyrequirementsfor`preparation`andscoreagradingofatleast`High`forboththescientificcaseandtheimplementation.Inordertobe considered as a Landmark, a Project must meet the key requirements for at least`implementation` and score a grading of at least `High` for both the scientific case and theimplementation.ThestatusofeachRIontheRoadmapisastrategicdecisionofthePlenaryForumthattakesintoaccounttheoutcomesoftheevaluationsandassessments.

PRINCIPLES,CONFLICTOFINTEREST(COI)ANDCONFIDENTIALITY

Allevaluationsandassessmentsmustcomplywiththefollowingfourprinciples:

1. Independence, i.e. involved persons carry out the evaluations and assessments in a personalcapacityandtheyrepresentneithertheiremployernortheircountry.

2. Impartiality, i.e.personsmusttreatallproposals,ProjectsandLandmarksequallyandevaluateand assess them impartially on their merits, irrespective of their origin or the identity of theapplicantsandcoordinators.

3. Objectivity, i.e. involved persons evaluate and assess each proposal or questionnaire assubmitted;meaningonitsownmerit,notitspotentialifcertainchangesweretobemade.

4. Accuracy, i.e. involved personsmake their judgment solely against the formal evaluation andassessmentcriteriaandtherelevantESFRIdocumentation.

ESFRI checks any CoI with all SWG and IGMembers andwith all external Reviewers, whichmustdeclarenon-conflictofinterestandconfidentialityontheproposals,ProjectsorLandmarkstheyareevaluating and assessing. A CoImay arise, in particular, due to science competition, scientific andeconomic interests, political or national affinities, family or emotional ties, or any other relevantconnectionorsharedinterest.Strictrulesforconfidentialityapply.


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ROADMAP2018UPDATEWiththeRoadmap2018,ESFRIwillupdatethestrategyonEuropeanRI.Itwillcover:

- landscapeofRIinEuropeandglobally;- gapsintheEuropeanRIecosystem;- newpan-EuropeanRIProjects;- synergieswithregional,national,EuropeanandinternationalRIandstrategiesforoptimaluse;- linksbetweenandintegrationofRI;- e-infrastructureneedsandintegrationofRIinopene-networks;- continuousupgrade(ifnecessary),long-termsustainabilityandendoflifeperspectives;- innovationpotentialandsocio-economicbenefitanalysis;- GRIopportunitiesandsciencediplomacyaspects–whereappropriate.

ThefollowinggenericconsiderationsandrulesapplyfortheRoadmap2018:

- ESFRIwillcontinuetostrengthenitsstrategicrole.- TheRoadmapwillcontainupto25Projects.- ESFRIwillvalidateallinformationonstakeholdersupportandfinancialcommitments-including

the inclusion in national RI roadmaps - with the active role of the ESFRI Delegations and theCouncilChairsoftheEIROforummembers.

InordertorealisetheRoadmap2018,ESFRIwill:

a. updatetheLandscapeAnalysis;b. monitorall2008and2010Projects;c. pilottheperiodicreviewofalimitednumberofLandmarks;d. evaluateproposalsanddecideuponnewProjects;e. monitor and evaluate and the effectiveness and efficiency of its methods and procedures,

includingdefinitionsandmodels

Thefollowingoverallplanningapplies:


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LANDSCAPEANALYSIS

The Landscape Analysis is a key ingredient of the Roadmap 2018. It provides an overview of theEuropean RI ecosystem by identifying themain RI operating transnational access in Europe, in allfieldsofresearch,andmajorneworongoingprojects,aswellasanoutlooktothegloballandscapeof relevance. This includes national, regional, international facilities and consortia that offerintegrated services and transnational access to state-of-the-art resources for research. TheLandscape Analysis is a reference document and does not imply a prioritisation by ESFRI nor anynationalfinancialandpoliticalcommitments.TheSWGdrafttheLandscapeAnalysisbroadeningtheviewofESFRIbeyondtheRIinitsRoadmap.ThethoroughknowledgeoftheRILandscapeandofitsdynamicsisaprerequisitefordevelopingoptimalstrategiesinthefieldofRIaimedatstrengtheningthe competitiveness and value (excellence and impact) of European research. The goals of theLandscapeAnalysisareto:

- provide a survey on major transnational RI offering open access to researchers, students,teachers, support staff, education and research institutions, business, industries and publicservicesinalldomains;

- keeptrackofthedevelopmentsandtrendsfromthematicroadmapsandstrategypapers;- understandthecomplementarityandeffectivenessofinterfacesbetweenRI,alsoacrossareas;- provide an overview of the European RI ecosystem enabling ESFRI to fulfil its strategic and

incubatorroles;- enable ESFRI to identify gaps in the European RI landscape and promote inter- and cross-

disciplinaryaspects;- helptheinvolvedgovernmentstopositiontheirRIintheglobalRIlandscapes;- updateevidenceontheoverallvalueandsustainabilityissuesoftheoperationalRI.

In addition to the Landscape Analyses provided by the five SWG, the e-IRG provides a LandscapeAnalysis for European e-infrastructures, including a description of the interaction between e-infrastructuresandotherRIandresearchefforts.

MONITORING2008AND2010PROJECTS

Monitoring is used to describe the evaluation of the scientific case and assessment ofimplementationoftheProjectsontheRoadmap.Thegoalsofthemonitoringofthe2008and2010Projectsareto:

- check theoverallprogress towards implementation, i.e. towhatdegree they fulfil theminimalkey requirements for the phases of lifecycle and what the plans are for reaching fullimplementation;

- checkandreportonwhetherandhowtheProjectshaveaddressedtheconclusionsandfollowedupontherecommendationsfromthe2015assessmentofimplementation;

- propose a status, conclusions and recommendations on the Projects to the Plenary Forum,includingthepossibletransitionfromProjecttoLandmark;

- updateallpublicinformationontheProjectsfortheRoadmap2018.


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ESFRIwillmonitortheProjectsalongthefollowingconsiderations:

- ThemonitoringinvolvesanevaluationofthescientificcaseofeachProjectandanassessmentofimplementation-whenrelevant-followinguponpriorconclusionsandrecommendations.SWGandIGtogetherdraftaspecificquestionnaireperProjectaddressinggenericandspecificaspectsofthescientificcaseandimplementation.

- The ten-year termwillexpire for the2008Projectsand theywillnotappearasProjects in theRoadmap2018.

- Those2008Projectsthathavesuccessfullyreachedthe implementationmaybeevaluatedwithrespecttotherequirementsofLandmarks.

- Any Project thatwants to be re-considered after ten years on the ESFRI Project list,must re-apply,asanewproposalclearlyovercomingthebottlenecksthatpreventeditsimplementation.In such case, the Project will be competing - on equal footing - with all other new proposalsapplyingtotheRoadmap.

- ESFRIwillnotmonitorthesix2016Projects.

PILOTPERIODICREVIEWLANDMARKS

ESFRI will perform a periodic review of four Landmarks, as a pilot exercise only and withoutconsequencefortheirLandmarkstatus.Thepurposeoftheexerciseistotesttheprocessofperiodicreview. Periodic review refers to the evaluation of the scientific case and the assessment ofimplementation of the Landmarks on the Roadmap. The goals of this pilot periodic review ofLandmarksareto:

- addresstheirscientificcaseandtheirimplementation;- identifytheirmainlong-termsustainabilitychallenges;- updateallpublicinformationontheLandmarksfortheRoadmap2018;- develop a comprehensive and robust methodology for the periodic review applicable to all

LandmarksforfutureupdatesoftheRoadmaptogetherwithclearandwellacceptedcriteria.

InordertoavoidduplicationofeffortstheESFRIwill investigatetowhatdegreetheLandmarksarewilling to share (internal and other external) evaluation and assessment results - e.g. from theirScientificAdvisoryCommitteeascomplementaryinformationofhighinterestfortheperiodicreview.ESFRIwilldecideuponthefrequencyofperiodicreviewofLandmarksinthefuture-adecisionthatwillalsobeinformedbytheoutcomeofthepilot.


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SUBMISSIONANDEVALUATIONOFPROPOSALS

Thefollowingdiagramsummarisesthesubmissionandevaluationofproposals:


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SUBMISSIONOFPROPOSALS

Thefollowingrulesandconsiderationsapplyforthesubmissionofproposals:

- The Secretariat will provide a password protecting the data-entry into the online submissionform in EU Survey to the ESFRI Delegations and the EIROforum members exclusively. ThispasswordisfortheinternaluseoftheDelegationsandEIROforummembersonly.

- OnlyESFRIDelegationsandEIROforummembersmayuploadproposalsandmaydosouptothedeadline for submission on 31st August 2017 at 18:00 CET. Proposers will act as a first filterbeforesubmissionconfirmingthenecessarystakeholdercommitment.

- National proceduresmay be in place for submissions to the Roadmap 2018, whichmay haveearlierdeadlines.

- NewProjectsmustdemonstrateanadequatematuritylevel,i.e.aproposalmust:1. havesuccessfullycompletedadesign/feasibilitystudy;2. haveplanneditsbusinesscase/deliverystrategy;3. provide proof of political support, i.e. Expression of political Support (EoS) by the lead

countryandatleasttwoadditionalMSandACsignedbythenationalministriesresponsibleforRI13(incaseofanEIROforummembercommitmentaCouncilresolution);

4. provide proof of financial commitment, i.e. Expression of Commitment (EoC) to financiallycontribute to the preparation and implementation phases by an authority14 from the leadcountry(incaseofanEIROforummemberthefinancialcommitmentshouldbeexplainedintheCouncilresolution);

5. provideproofof an inter-institutional andmulti-lateral agreement, e.g. aMemorandumofUnderstanding (MoU) signed by the core partners - being research institutions - formallyinvolvedintheconsortium.

The online submission form consists of three parts to be fully completed and allow for a limitednumberofessentialattachments:

PARTA:GENERALINFORMATIONisusedfortheeligibilitycheckbytheEBand–ifselected-forthepublicdescriptionoftheProjectintheRoadmap2018.

PARTB:SCIENTIFICCASEandPARTC: IMPLEMENTATIONareusedby theSWGtoevaluate thescientificcaseoftheproposalandbytheIGtoassessitsimplementation.

ELIGIBILITYCHECKANDASSIGNMENTTOSWG

The EBwill checkwhether the proposals are complete, submittedwithin the deadline, written inEnglish and compliant with the requested stakeholder commitment, and proposes to the PlenaryForumalistofeligibleproposalsandtheirassignmenttotheSWG.

EVALUATIONOFSCIENTIFICCASEANDASSESSMENTOFIMPLEMENTATION

TheSWGsevaluatethescientificcaseofallproposalsandtheIGassessestheirimplementationandpresenttheirconclusionsandrecommendationstotheEB.

13TheESFRIDelegationwillvalidatesuchEoS.14AnylegalentityfromaMS,ACorthirdcountrythatcantakebindingdecisionstofinanciallysupporttheRIcansubmitanEoC.Itmayconcern a regional or national government (agency), an umbrella organisation negotiating and redistributing funding on behalf of itsmembers,aResearchFundingOrganisation(RFO)oraResearchPerformingOrganisation(RPO).


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HARMONISATIONOFCONCLUSIONSANDRECOMMENDATIONS

Harmonisationoftheconclusionsandrecommendationsoccursatvariousstagesinorderto:

- identifywhichproposals-ifany-areuncompetitiveandthuswillnotbeinvitedforahearingandthusnolongerbeconsideredaspossibleProjects;

- draft and agree on specific questions for clarification by the applicants of the (remaining)proposalsduringdedicatedhearings;

- ensurecoherenceandconsistencybetweenallevaluationandassessmentresults;- achieveconsensusonproposedstatus,conclusionsandrecommendations.

RECOMMENDATIONTOPLENARYFORUMANDFINALDECISION

TheEBwillconsiderthedraftconclusionsandrecommendationswithrespecttothestrategicroleofESFRI,theaddedvalue,thebalancebetweenthedifferentthematicdomains,thenewopportunitiesfortheERA,andthepotentialasGRIs.ThePlenaryForumwilldiscussthestatus,theconclusionsandtherecommendationsperproposalandwilldecideuponnewProjectstakingtheLandscapeAnalysisandrecommendationsoftheEBintoaccount.


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ANNEXI:LISTOFABBREVIATIONSABBREVIATION MEANING

AC AssociatedCountrytoEUFrameworkProgrammeforResearchandInnovation

CoI ConflictofInterest

CV CapitalValue

DG DraftingGroup

DMP DataManagementPlan

EB ExecutiveBoard

EC EuropeanCommission

EoC ExpressionofCommitment

EoE ExchangeofExperienceWorkshop

EoS ExpressionofSupport

EOSC EuropeanOpenScienceCloud

ERA EuropeanResearchArea

ESFRI EuropeanStrategyForumonResearchInfrastructures

ESIF EuropeanStructuralandInvestmentFunds

EU EuropeanUnion

FP EUFrameworkProgrammeforResearchandInnovation

GRI GlobalResearchInfrastructure

GSO GroupofSeniorOfficialsmandatedbyG8+5todevelopGRIconcept

GSF GlobalScienceForum

e-IRG e-InfrastructureReflectionGroup

ICRI InternationalConferenceonResearchInfrastructures

IG ImplementationGroup

I3 IntegratedInfrastructureInitiatives

KPI KeyPerformanceIndicator

LoI LetterofIntent

MS EUMemberState

MoU MemorandumofUnderstanding

OECD OrganisationforEconomicCooperationandDevelopment

RI ResearchInfrastructure

RFO ResearchFundingOrganisation

RoP RulesofProcedures

RPO ResearchPerformingOrganisation

RV ReplacementValue

SWG StrategyWorkingGroup

SWGENER StrategyWorkingGroupEnergy

SWGENV StrategyWorkingGroupEnvironment

SWGH&F StrategyWorkingGroupHealth&Food

SWGPSE StrategyWorkingGroupPhysicalSciences&Engineering

SWGS&CI StrategyWorkingGroupSocial&CulturalInnovation

ToR TermsofReference


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ANNEXII:LISTOFMINIMALKEYREQUIREMENTSFORSCIENTIFICCASE

ThefollowingtablecontainstheminimalkeyrequirementstoaphaseinthelifecycleofRIonthefourdimensionsofthescientificcase:

PHASE

DESIGN PREPARATION* IMPLEMENTATION** OPERATION TERMINATION

SCIENTIFIC

EXCELLENCE

- longtermscience

programme

defined

- scientific

communitywell-

established

- scientific

leadership

described

- scientificvisionandmissionoutlined

- (multidisciplinary)scientificnewfrontier

outlined

- scientificleadershiprecruited

- scienceconcepttestedandfound

feasible

- servicesforthescientificcommunity

described

- vision,missionandidentityfullydefined

- positioninginRIlandscapefullydescribedandmultidisciplinaryscientificnewfrontier

established

- scientificleadershipconsolidated- servicesdeliveredtoscientificcommunityby

nationalnodes

- vision,missionandidentity

consolidated

- leadingRIlandscapeandmultidisciplinaryscientific

newfrontierachieved

- scientificleadershipandimpactvisibleatgloballevel

- continuousupgradeplannedandundertaken-ifrelevant

-

PAN-EUROPEAN

RELEVANCE

- pan-European

approachfor

scientificarea

outlined

- targeteduser

communityispan-

European

- national/internatio

nalfacilitieswith

complementaryor

synergistic

potential

- caseforEuropeanaddedvaluedefined- researchcapacityandcurrent/potentialgeographicaldistributiondefined

- linkstorelevantRIandotherlargepan-Europeanprogrammesidentified

- technicalmaturityandfeasibilitytestedand

achieved

- availabilityofscientifichumanresources

proven

- distinctpan-Europeanusercommunity

involved

- casestudiesorotherevidenceofemerging

European-addedvalueachieved

- researchcapacityandgeographicaldistributionconsolidated

- jointstrategies,commonserviceswithrelevant

RIandotherlargepan-Europeanprogrammes

beingimplemented

- distinctpan-Europeanusercommunity

consolidated

- Europeanaddedvalueconsistentlybeingdelivered

- researchcapacityandgeographicaldistribution

consolidated/expanding

- commonserviceswith

relevantRIandotherlarge

pan-EUprogrammesinplace

-

SOCIO-ECONOMIC

IMPACT

- relevancetosocietalchallengesidentified

andpotential

economicimpact

predicted

- caseforimpactmade:investmentsinto

newRI,increasedefficiencybyuseof

facilitiesatpan-Europeanlevel,

employment,influxofexternal

researchersatthelocations,enabling

technologydevelopment,othertypesof

benefitssuchasservicesforsociety,

culturalaspectsandattractionof

business,industryandpublicservicesetc.

- socio-economicimpactcasesemerging

- capacitybuildingimpactproven

- contributingtotacklingthesocietal

challenges

- abilitytodevelopanopeninnovationculture

established

- impactdemonstrated

consistently

- newcommunitiesinvolved

- privateusersinvolved- policiesonkeysocietalchallenges,e.g.climate

change,influenced

-


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E-NEEDS - visionone-infrastructure

requirements,

includingaccess

policyandsecurity

measuresready

- interfacingwithcommunication

networksor

distributed

calculationor

HPC/HTC

- conceptualdesignofe-infrastructureready- contributionsofe-infrastructureresourcesatalllevels(institutional,regional,national,

international)described

- accesspolicyandDataManagementPlan

(DMP)outlined

- technicaldesignofe-infrastructurereadyandapproved

- draftoperationalplanningfore-infrastructureservicedelivery

- agreementswithpartiesdeliveringcoree-

infrastructureservices(CentralHub)drafted

- accesspolicyandDMPapproved,includingplan

forsustainabilityofdata

- securitypolicydefinedandapproved

- operationalplanningreadyandapproved

- agreementswithservice

provisioningpartiessigned

- DMPimplementedand

securitypolicydeployed

- deployedsustainabilityof

databeyond

decommissioning

Textsinblueonlyapplytosingle-siteRI.

TextsingreenonlyapplytodistributedRI.

*Proposalsthatmeettheminimalkeyrequirementsfor`preparation`fromtheperspectiveoftheevaluationofthescientificcasemaybeconsideredasProjects.

**Projectsthatthroughanevaluationofthescientificcasemeetatleasttheminimalkeyrequirementsfor`implementation`maybeconsideredasLandmarks.


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ANNEXIII:LISTOFMINIMALKEYREQUIREMENTSFORIMPLEMENTATION

ThefollowingtablecontainstheminimalkeyrequirementstoaphaseinthelifecycleofRIontheeightdimensionsoftheassessmentsofimplementation:

PHASE

DESIGN PREPARATION* IMPLEMENTATION OPERATION TERMINATION

STAKEHOLDERCOMMITMENT

- institutionalLettersofIntent(LoI)signed

- formalagreementamongstpartnersfordesignstudyagreedupon(e.g.ConsortiumAgreement)

- provideproofofpoliticalsupport,i.e.ExpressionofpoliticalSupport(EoS)bytheleadcountryandatleasttwoadditionalMSandACsignedbythenationalministriesresponsibleforRI(incaseofanEIROforummembercommitmentaCouncilresolution)

- provideproofoffinancialcommitment,i.e.ExpressionofCommitment(EoC)tofinanciallycontributetothepreparationandimplementationphasesbyanauthorityfromtheleadcountry(incaseofanEIROforummemberthefinancialcommitmentshouldbeexplainedintheCouncilresolution)

- provideproofofaninter-institutionalandmulti-lateralagreement,e.g.aMemorandumofUnderstanding(MoU)signedbythecorepartners-beingresearchinstitutions-formallyinvolvedintheconsortium

- clearideaabouthowtogathernecessarycommitmentsatinstitutionalandgovernmentallevel

- RI(CentralHubandNationalNodes)includedinallrelevantnationalRIroadmapsorsimilarpoliticaldocuments

- commitmentofa)MSandACandb)coreinstitutesandpartnerssecuredthroughsignedlegallybindingdocument(e.g.statutes)

- roleandfundingofCentralHubagreedinlegallybindingdocument(e.g.statutes)

- budgetexpressingintentiontofinanciallysupportoperationanduseforatleastfiveyearsbyallcountriesinvolvedagreed

- break-downofbudgetofnodesandrelativeresourceswithrespecttotheir(potential)doubleaccountingasnationalRIandnodesofinternationalRI

- institutional,politicalandfinancialcommitmentonmajorupgrade/decommission/mergerobtained

USER STRATEGY&ACCESSPOLICY

- visionaboutusercommunity,accessunitsandaccessmodesdescribed

- UserStrategyagreedandpossibilitiestodevelopareasonablysizedusercommunitydescribedconsideringcostscommonaccesspolicydescribed(incl.typesofaccessunitsfordifferentusergroups,strategyforexploitationandIPR)

- surveyexecuteddemonstratingexpectedusercommunityanddescriptionofitin

- usercommunityintermsoforiginandsizeconsolidated

- plansforadvancedtrainingofprofessionalscientists,engineersanddatamanagersagreedandapproved

- commonaccesspolicy–includingembeddingininternationalresearchprogrammes,pricingpolicyandqualityassurance-agreedand

- operationalsingleentrypointforaccessestablished

- Assistancetousersforoptimisingproposals

- IPRpolicies,protocolsandorganisationfordatahandlingandaccessfullyestablished

- disseminationprogrammes

- data(policy)andIPRissuessettled


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termsoforiginandsize- andservicesbasedonaclearidentificationofdemandsandneeds

- Singleentrypointforusersoutlined

approved- organisationalstructureandprocedureforregulatingaccess–includingsingleentrypointforusers-decidedandapproved

areinplace,includingapprovedIPRandinnovationactions

- NationalNodesdisseminateandapplycommonstandardsandprotocolsforuseraccess

PREPARATORYWORK

- conceptscreeningsuccessfullycompletedanddescribedinaconceptualdesign

- designstudysuccessfullycompleted- clearbusinesscase/deliverystrategy

developed- clearideaabouthowtotackle

technologicalandconstructionissues

- preparatoryphasesuccessfullycompleted- soundandreviewedbusinessplanagreed- allinvestmentdecisionsforimplementationhavebeeneffectivelytakenandthoseforoperationareclearlyplanned

- communicationprogrammesareinplace

- decisiononsitetaken- buildinglicenceobtained- procurementstrategyclearlyidentifiedandprocurementtaskforceinplace

- tendersandcommitmentstofundconstructionapproved

- interestinrespondingtotenderforconstructionORconstructionstarted

- decisiononhostingofcentralhubtaken- servicestousersatnationallevelandservicesfromCentralHubtoNationalNodesdelivered

- achievingresearchresults- deliveringrelevantservicestoscientificcommunity

- utilisationofRImonitoredandreported

- continuousupgrade(ifnecessary)/updateplanstoimprove/reachfullcapacityinastagedprocessaredecidedandapproved

- constructioneffectivelycompleted

- provisionofplannedservicessecured

- plansfordecommission/majorupgrade/mergerdecidedandapproved

PLANNING - overallprojectplanfordesignstudywithmajormilestonesanddeliverablesapproved

- detailedplanforpreparationandimplementationapproved,includingrelevantinvestmentdecisions

- overallplanforoperationanddecommissionapproved

- detailedplanforscientific,technicalandorganisationalimplementationvalidated

- mediumtermoperationsandupgradeplanapproved

- proceduretowindingupapplied

- detailedandvalidatedplanfordecommission,majorupgradeormergerapproved

GOVERNANCE &MANAGEMENT

- projectorganisationapproved

- scientificleadershipandprojectmanageridentified

- satisfactoryprojectorganisationforpreparationandimplementationwithclearlydefinedskills,responsibilitiesandreportinglinesapproved

- measurableandsatisfactoryKeyPerformanceIndicatorsidentified

- governanceforoperationwithclearlydefinedresponsibilitiesandreportinglinesoutlined,includingSupervisoryandother

- legalentityestablished- organisationforimplementationinplace- KeyPerformanceIndicatorsforoperation,management,administrationandfacilitationagreed

- planningandreportingmechanismsinplace

- organisationofdecommission/merger/upgradeapproved


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AdvisoryBoards(includingEthicalBoardifappropriate)

HUMANRESOURCESPOLICY

- staffrequiredfordesignstudyidentifiedandavailable

- satisfactoryandtimelystaffingplanforpreparationapproved

- qualifiedprojectmanagementandclearreportingstructureforpreparationapproved

- humanresourcespolicyforimplementationandoperationtogathernecessarycompetences,hiring,equalopportunities,secondments,educationandtrainingoutlined

- keymanagersandstaffforimplementationrecruitedandnecessaryskillstrained

- viableorganisationforoperationwithadequatestaffingandindependentmonitoringapproved

- humanresourcespolicytogathernecessarycompetencesforoperation,hiring,equalopportunities,secondments,educationandtrainingapproved

- staffforoperationandmanagementrecruitedandnecessaryskillstrained

- allhumanresourcespoliciesandinstrumentsinplace

- organisationandsocialplanfordecommissionapproved

FINANCES - fundingconceptandpotentialpartners(e.g.natureofpartnership,in-kindversuscash)contributionsoutlined

- budgetfordesignstudyapproved

- top-levelbreakdownofcostelementswithoverallorderofmagnitudeestimates(includingforCentralHub,NationalNodesandmainupgrades)

- estimatesandconfidencelevelsavailableforeachelement

- fundingopportunitiesidentified- in-kindcontributionpolicyoutlined

- formalcommitmentforfundingofimplementationobtained

- costbookwithcostsbasedonsupplierdiscussionsorquotesandaccountingprinciplesapproved

- financialreportingsetup- WorkPackagesandin-kindcontributionsfullydetailedandcentrallybudgeted

- validatedprojectiononoperationcostsforatleastfiveyearsandagreementonhowtocoverthem

- costsfordecommissionidentified- fundingforCentralHubandfirmprojectiononoperationcostsforatleastfiveyears

- fundingforoperationsecured- auditingofaccountingandbudgetsystemsinplace

- budgetfordecommission/merger/majorupgradeapprovedandcovered

RISKS - conceptualideasaboutscientific,technological,politicalandfinancialrisks

- identificationofmajorrisksinvolvedandmitigationstrategiesdescribed

- detailedriskinventoryestablishedandmitigationmeasuresforimplementationinplace

- riskmanagementandmitigationpoliciesforoperationinplace

- risksinvolvedindecommission/upgrade/mergerdescribedandmitigationstrategiesinplace

Textsinblueonlyapplytosingle-siteRI.TextsingreenonlyapplytodistributedRI.*Proposalsthatmeettheminimalkeyrequirementsfor`preparation`fromtheperspectiveoftheassessmentofmaturitymaybeconsideredasProjects.**Projectsthatthroughanassessmentofimplementationmeetatleasttheminimalkeyrequirementsfor`implementation`maybeconsideredasLandmarks.

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