esfri roadmap2021 public guide 20092019...public roadmap 2021 guide follows the launch of roadmap...

Public Guide

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Public Guide 25th September 2019

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Public Guide

FOREWORD

ESFRI, theEuropeanStrategyForumonResearch Infrastructures, is a strategicbodyestablished in

2002bytheCounciloftheEuropeanUniontosupportacoherentandstrategy-ledapproachtopolicy

makingonResearch Infrastructures inEurope.SincethenESFRIhascompletedtheESFRIRoadmap

2006, 2008, 2010, 2016, 2018while the further one is foreseen for 2021. The Roadmap contains

probably the best European science facilities based on a thorough evaluation and selection

procedure. The Roadmap combines ESFRI Projects, which are new Research Infrastructures in

progress towards implementation, and ESFRI Landmarks, successfully implemented Research

Infrastructures.ThedocumentalsodescribesthebroaderLandscapeofresearchinEuropewhichis

animportantcomponenttoESFRImethodology.

AllpreviousESFRIRoadmapsproved tobevery influential andprovide truly strategic guidance for

Member States and Associated countries investments, which goes even beyond the Research

Infrastructuredomain.ThefocusisonclusteringofResearchInfrastructures,theirhorizontallinkages

andtheprojectionoftheOpenScienceconcept.Therearegrowingdemandstoaddresssocialand

globalchallengesthatarereflectedintheSustainableDevelopmentGoals.

PublicRoadmap2021Guide follows the launchofRoadmap2021updateduring theResearchand

InnovationDaysonthe25thSeptember2019inBrussels. Itofferssupporttoproposerspreparinga

new submission and to the Projects and Landmarks involved in the update procedure. This Guide

containsthedefinitions,models,methodsanddescribestheproceduresappliedfortheupdate.

WebelievethatoneofthekeyingredientsofESFRIconsistinensuringthatexcellentscientistshave

accesstoEurope’sbestResearchInfrastructures,irrespectiveofborders.Theseactionsrequiretruly

pan-European collaboration and global outlook. ESFRI has acquired immense and valuable

experience since its foundation. It is our privilege to be able to share this experience across the

countriesandResearchInfrastructureprojects.

WehopethatESFRIcanprovidetheEuropeanResearchInfrastructures’stakeholderswithguidance

thatwillhelpthemtoachievethemostoftheirenvisagedgoals.

JanHrušák

ESFRIChair

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Public Guide

TABLEOFCONTENTS

STRATEGICROLE............................................................................................................................1

DEFINITIONS..................................................................................................................................4RESEARCHINFRASTRUCTURE..................................................................................................................4

SINGLE-SITEDRI...................................................................................................................................4

DISTRIBUTEDRI...................................................................................................................................5

GLOBALRESEARCHINFRASTRUCTURE....................................................................................................6

MAJORUPGRADE....................................................................................................................................6

NEWPROPOSALS.....................................................................................................................................6

ESFRIPROJECTS.......................................................................................................................................7

ESFRILANDMARKS..................................................................................................................................7

ESTIMATEDANDREALCOSTS..................................................................................................................8

TOTALINVESTMENTCOSTS.................................................................................................................8

DESIGNCOSTS.....................................................................................................................................8

PREPARATIONCOSTS..........................................................................................................................8

IMPLEMENTATIONCOSTS...................................................................................................................9

TERMINATIONCOSTS..........................................................................................................................9

AVERAGEANNUALOPERATIONCOSTS...............................................................................................9

MODELSANDMETHODS.............................................................................................................10LIFECYCLEAPPROACH...........................................................................................................................10

EVALUATIONOFSCIENTIFICCASE.........................................................................................................12

EVALUATIONOFIMPLEMENTATIONCASE............................................................................................12

MINIMALKEYREQUIREMENTSALONGDIMENSIONSANDLIFECYCLE..................................................13

SCORING................................................................................................................................................13

PRINCIPLES,CONFLICTOFINTEREST(CoI)ANDCONFIDENTIALITY.......................................................13

ROADMAP2021UPDATE............................................................................................................15LANDSCAPEANALYSIS...........................................................................................................................15

MONITORINGOFESFRIPROJECTS2010AND2016..............................................................................16

PERIODICUPDATEOFESFRILANDMARKS.............................................................................................17

SUBMISSION&SELECTIONOFNEWPROPOSALS.................................................................................19

ELIGIBILITYCRITERIA.........................................................................................................................19

ELECTRONICSUBMISSION:THEESFRIMoS+.....................................................................................19

ELIGIBILITYCHECKANDASSIGNMENTTOSWG................................................................................20

EVALUATIONOFSCIENTIFICCASEANDIMPLEMENTATIONCASE.....................................................20

HARMONISATION..............................................................................................................................20

RECOMMENDATIONTOPLENARYFORUMANDFINALDECISION.....................................................20

PLANNING....................................................................................................................................22NEWPROPOSALS...................................................................................................................................22

MONITORINGOFPROJECTS2016.........................................................................................................22

MONITORINGOFPROJECTS2010.........................................................................................................22

ANNEXI:LISTOFABBREVIATIONS...............................................................................................23

ANNEXII:LISTOFMINIMALKEYREQUIREMENTSFORSCIENTIFICCASE...................................24

ANNEXIII:LISTOFMINIMALKEYREQUIREMENTSFORTHEIMPLEMENTATIONCASE.............26


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STRATEGICROLETheEuropeanStrategyForumonResearchInfrastructures(ESFRI)wasset-upin2002asaninformal

Forum – composed of representatives of national authorities of the Member States (MS) and

AssociatedCountries(AC)oftheEuropeanUnionandtheEuropeanCommission(EC)–followingthe

original mandate1 of the Competitiveness Council of the European Union of June 2001 – and

reaffirmed inNovember2004,May2007,December2012,May2014,December2015,May2016,

May2018,November2018–inorderto:

– support a coherent and strategy-led approach to policymaking on Research Infrastructures in

Europe;

– facilitate multilateral initiatives leading to a better use and development of Research

Infrastructuresactingasanincubatorforpan-EuropeanandGlobalResearchInfrastructures;

– establishaEuropeanRoadmap forResearch Infrastructures–newandmajorupgrades,ofpan-

Europeaninterest–forthecoming10-20years,stimulatetheimplementationofthesefacilities,

andupdatetheRoadmapastheneedarises2;

– ensurethefollow-upofimplementationofalreadyongoingESFRIProjectsafteracomprehensive

assessment, as well as the prioritisation of the infrastructure projects listed in the ESFRI

Roadmap3;

– implementtheERAPriority2b:ResearchInfrastructures4.

In this context, the EU Council asked to closely monitor the implementation of the listed ESFRI

ProjectsandtoperiodicallyupdatethescientificstatusofESFRILandmarks5.Recently,theEUCouncil

hasinvitedESFRItodevelopwithMemberStatesandtheEuropeanCommissionacommonapproach

formonitoringResearchInfrastructures6aswellastopreparetheESFRIRoadmapupdatein2021

7.

1ConclusionsoftheCounciloftheEuropeanUnionof27June2001”The Council is expected to approve conclusions recognising the need to promote optimal use of infrastructures on a

EuropeanscaleandtoinvitetheCommissionincollaborationwithMemberStatesandAssociatedandCandidateCountries

(asappropriate)tostudythebestmeansofprovidingindependentscientificadviceaswellastoexplorenewarrangements

tosupportpoliciesonresearchinfrastructures”.

ThefirstmeetingofESFRItookplaceon25April2002inBrussels.2Conclusionsof theCouncilof theEuropeanUnionof25-26November2004,21-22May2007,11December2012,26May2014,1December2015,27May2016,29May2018,30November20183ConclusionsoftheCompetitivenessCouncilof11December20124ConclusionsoftheCompetitivenessCouncilof1December20155ConclusionsoftheCounciloftheEuropeanUnionof27May2016onFP7andFutureOutlook:Researchandinnovationinvestmentsforgrowth,jobsandsolutionstosocietalchallenges.Doc.9527/16

http://data.consilium.europa.eu/doc/document/ST-9527-2016-INIT/en/pdf6ConclusionsoftheCounciloftheEuropeanUnionof29May2018onAcceleratingknowledgecirculationintheEU.Doc9507/18

http://data.consilium.europa.eu/doc/document/ST-9507-2018-INIT/en/pdf7ConclusionsoftheCounciloftheEuropeanUnionof30November2018onGovernanceoftheEuropeanResearchArea.Doc.14989/18

https://data.consilium.europa.eu/doc/document/ST-14989-2018-INIT/en/pdf


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The effective investment in and use of RI became one of the priorities in realising the European

ResearchArea(ERA).TheessentialelementsoftheRIpriorityintheERAareto:

– ensurenationalcommitmentstotheimplementationoftheRoadmap;

– completeorlaunchconstructionby2015of60%ofthepriorityRIontheRoadmap;

– encourage EU Member States (MS) or Associated Countries (AC) to the EU Framework

ProgrammeforResearchandInnovationtolinktheirnationalRIroadmapstotheESFRIRoadmap

andsmartspecialisationstrategiesintheEuropeanStructuralandInvestmentFunds(ESIF);

– setprioritiesforimplementingtheRoadmapandtoprovideadviceandguidancetoMS&ACon

overcominglegal,financialortechnicalobstaclestoimplementation;

– define common evaluation principles, impact-assessment criteria and monitoring tools to be

appliedinregional,nationalandEUprogrammestohelpcombinefundsfromdifferentsources.

In2014,theECconcluded8that“[…]theimportanceofexcellentRIforachievingexcellentresearchis

widely 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 to

achievethetargetssetandcoherentharmonisedapproachesaremissing”.

TheCompetitivenessCouncil9“[…]recognisedthegreateffortsmadebyMStostrategicallyplantheir

investments in RI, noted the need for further coordination of country specific and European

roadmapsonRIandofnationalfundingdecisionsforthedevelopmentandoperationofRI,including

those identified by ESFRI”. Similarly, the Council also emphasised the need and importance of e-

Infrastructures. ESFRI thus is not only one of the seven ERA-related expert groups, but it also

providesforauniquecombinationofscientificexpertiseandpoliticalcompetencetofulfilastrategic

roleatEuropeanandinternationallevelandhasbeenadrivingforceforthealignmentofnationalRI

roadmaps.

ESFRIsince2002playstheleadingroleinthedevelopmentofpan-EuropeanRIthatprovidetoolsto

science to explore the frontiers of knowledge. The strategic role of ESFRI is represented by the

followingactions.

– ESFRI regularly carries out analysis of RI landscapes in six reference scientific domains. ESFRI

captures and describes the key RI defining the entire landscape, identifies gaps and enables

stakeholders at institutional, regional, national, European and global level to position their RI

initiativeswithinabroadercontextand identifiessynergiesandcomplementaritieswithexisting

RItorefinetheirstrategicprioritysetting.

8Analysis of the state of play of the European Research Area inMember States and Associated Countries: focus onpriorityareas,EuropeanCommission(2014)

https://www.researchgate.net/publication/266399729_Analysis_of_the_state_of_play_of_the_European_Research_Era_in

_Member_States_and_Associated_Countries_focus_on_priority_areas9ConclusionsoftheCounciloftheEuropeanUnionof5December2014onEuropeanresearchareaProgressReport2014http://www.consilium.europa.eu/uedocs/cms_data/docs/pressdata/en/intm/146063.pdf


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– ESFRIaddressestheentirelifecycleofRIwiththeaimofsafeguardinglong-termsustainabilityof

theESFRIRIportfolioandtheeffectiveandefficientuseof–atoftentimes–limitedprivateand

public funds. It therebyplays an important role in the reductionof barriers tomultilateral and

multi-organisationalco-operationanddevelopmentofoptionsforjointfundingofRI.

– ESFRIorganisesopencalls forproposals, selectsproposalsbasedonstricteligibility criteriaand

reviews them in a clear and transparent manner through independent and international peer

review,thuscontributingtoabalancewithintheERAbetweenthebottom-updesignofRIandthe

subsequent strategic top-down prioritisation of a limited portfolio of pan-European RI. ESFRI

reportsdirectlytotheCouncilwheretheministershaveacknowledgedESFRI’sroleandvalue.

– ESFRI has developed and applies distinct and transparent evaluation, monitoring and periodic

reviewmechanismsbasedon two independentprocesses, i.e. i) theevaluationof theSCIENTIFIC

CASEthroughtheStrategyWorkingsGroups(SWG)and ii) theevaluationofthe IMPLEMENTATION

CASE through the Implementation Group (IG). In both cases, international and independent

externalExpertsareinvolvedtoprovideadvice,butESFRIissolelyandentirelyresponsibleofthe

evaluationproceduresandoutcomes.

– ESFRI has also become an important point of reference for funding strategy for RI concerning

national and EU funding instruments. It contributes to the alignment of RI decisionmaking at

regional,nationalandgloballevel–particularlywithaviewonsmartspecialisationstrategiesand

withnationalRIroadmapdevelopment.

– ESFRI has contributed to the creation of the European Charter for Access to Research

Infrastructures10andiscommittedtoimprovethisreferencedocumentinthefuture.

– ESFRIsupports itsRIstomovetowards implementationandpromotessynergiesand integration

amongst them, through regular and periodicmonitoring of its entire RI portfolio, by providing

constructive recommendations with distinct attention for the business case of its RI and by

facilitatingtheexchangeofinformationandtheidentificationofbestpractice.

– ESFRIensuresthattheopportunitiesprovidedbythedigitisationofresearcharefullyincludedin

its processes by collaborating with other European initiatives, such as the e-Infrastructure

ReflectionGroup (e-IRG)or theEuropeanOpenScienceCloud (EOSC),on issues related todata

management,datacommunicationandotherrelatedmatters.

– ESFRIfacilitatestheimplementationofpan-EuropeanRI,byofferingnon-financialsupporttoitsRI

portfolio.

– ESFRI operates at the forefront of European and global science policy and contributes to its

developmenttranslatingpoliticalobjectivesintoconcreteadviceforRIinEurope.

10EuropeanCharterforAccesstoResearchInfrastructures,EuropeanCommission(2016)

https://ec.europa.eu/research/infrastructures/pdf/2016_charterforaccessto-ris.pdf


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DEFINITIONSESFRIengagesinafullytransparentroadmappingprocesswithclearlystatedrulesandprocedures.

Thedefinitions,modelsandmethodsdescribedhereinapplytoRoadmap2021update.

RESEARCHINFRASTRUCTURE

The following definition for RI from Article 2 (6) of the Regulation (EU) No 1291/2013 of 11th

December 2013 on Establishing Horizon 2020 - the Framework Programme for Research and

Innovation(2014-2020)applies:

“RI are facilities, resources and services that are used by the research communities to conduct

research and foster innovation in their fields. They include:major scientific equipment (or sets of

instruments), knowledge-based resources such as collections, archives and scientific data, e-

Infrastructures, such as data and computing systems and communication networks and any other

toolsthatareessentialtoachieveexcellenceinresearchandinnovation”.

Accordingly,RIareimplementedalongdifferentorganisationalmodels,includingcentralsourcesand

laboratories for experiments and measurement sessions, coordination and management of

geographically distributed observatories or laboratories, remotely accessible resources for

computing, data banks, physical sample repositories, surveys and longitudinal studies. While the

abovedefinitioncapturesthecommonfeaturesofRI,thereareatleastthreetypesofRI,asdefined

below.

SINGLE-SITEDRISingle-sited RIs are central facilities geographically localised in a single site or in a few dedicated

complementary sites designed for user access, whose governance is European or international. A

single-sitedRIneedsto:

– have a legal status and a governance structure with clear responsibilities and reporting lines,

includinginternationalsupervisoryandrelevantexternaladvisorybodies;

– haveanaccesspolicy10andaccesspointforexternalusersfacilitatingthesubmissionofproposals

andauserprogrammeabsorbingaconsiderablefractionofthetotalcapacityoftheRI;

– have a user support structure to optimise access to the relevant site, such as users’ office,

ancillarylaboratories,accommodationarrangementsandlogistics;

– have a datamanagement systemprovidingmetadata and data storage, retrieval tools and on-

line/insitu/remotedatareductionandanalysis;

– identifyrelevantandmeasurableKeyPerformanceIndicators(KPI)addressingbothexcellenceof

scientificservicesandsustainability;

– enforce a human resources policy guaranteeing the necessary competences for its operation,

userssupport,educationandtrainingbyequalopportunityhiringandsecondments.


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DISTRIBUTEDRIAdistributedRIconsistsofaCentralHubandinterlinkedNationalNodes.AdistributedRIparticularly

needsto:

– haveaunique specificname, legal statusandagovernance structurewith clear responsibilities

andreportinglines,includinginternationalsupervisoryandrelevantexternaladvisorybodies;

– havelegallybindingattributionsofcoordinationcompetencesandresourcestotheCentralHub;

– haveauniqueaccesspolicy10andprovideforasinglepointofaccessforalluserswithasupport

structurededicatedtooptimisetheaccessfortheproposedresearch;

– haveauserprogrammeabsorbingarelevantfractionofthetotalcapacityoftheRI;

– identify and adopt measurable Key Performance Indicators addressing both excellence of

scientificservicesandsustainability;

– haveahumanresourcespolicyadequatetoguaranteetheeffectiveoperationoftheCentralHub

supporting the research, users programme, education and training by equal opportunity hiring

andsecondments;

– define a joint investment strategy aimed at strengthening the RI through the Nodes and the

common/sharedfacilities.

ThesefeaturescharacteriseadistributedRIandthusmarkthedifferencewithrespecttocoordinated

research networks (international collaborations of fully independent research performing

organizations). The Nodes may be only partially absorbed by the distributed RI maintaining their

nationalor institutionalprogrammes,but the capacityandamountof resourcesdevoted to theRI

mustbeclearlyidentified,coordinatedandmanagedbytheCentralHubaccordingtoagreedstatutes

andcommonrulesandproceduresoftheRIConsortium.

Importantly, distributed RImust demonstrate a capability to attribute optimal personnel capacity

andcoordinatingpowertotheCentralHub,thereforedisplaying:

1. a high level of integration of the National Nodes (such as a unique portal with thoroughexplanation and guidance towards the common access policy, harmonised and coherent IPR&

data policies; adequate central resources; procurement and upgrading of technological

infrastructure;humanresourcespolicyallowingforstaffexchangeandsecondment);

2. addedvaluecomparedwiththemeritsofaresearchcooperationnetworkopentoexternaluse.

TheCentralHubthereforemustrepresentatrulyinternationalorganisationcapableofoperating

withahighlevelofefficiencyandmediatingacrossdifferentscientificcultures.


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GLOBALRESEARCHINFRASTRUCTURE

GlobalResearchInfrastructures(GRIs),asdefinedbytheGroupofSeniorOfficials(GSO)11,represent

those Research Infrastructureswith a full international dimension to serve common needs of the

world scientific community, or the advanced collaboration among existing RIs that share common

needsandeffortstopursuechallengingupgradesneededfortopresearch.GRImaybesingle-sitedor

distributedRIandshouldfollowtheGSOFrameworkforGlobalResearchInfrastructuresapprovedby

theGSOin2014andupdatedin201712.

MAJORUPGRADE

AmajorupgradeisanupgradetoanoperationalRIwiththegoalofdeliveringatransformativeeffect

to its scientific outputs, or a substantial changeof technical approach anddoesnotmean routine

maintenanceorincrementalgains.Tothatend,anyapplicationstotheRoadmap,whichcomeunder

the category of upgrade, will be required to include robust justification describing the degree of

upgrade.AnexistingRIplanningamajorupgradecansubmitaproposaltobecomeaProject.

NEWPROPOSALS

New Proposals of RI are candidate projects for the Roadmap 2021 that undergone the selection

procedurebasedontheevaluationoftheSCIENTIFICCASEandfortheIMPLEMENTATIONCASE,according

to a sound expectation that the Proposal – if selected as ESFRI Project – will reach the

Implementation Phase within the ten-year term. Member States, Associated Countries and

EIROforumMembersareeligibletosubmitproposals for theESFRIRoadmap2021.SinceRoadmap

2016, in order to identify a limited number of projects with a high degree ofmaturity to ensure

maximum likelihood to reach implementation within the ten-year deadline, ESFRI introduced

important eligibility conditions: the proof of political support by the lead Member State or

AssociatedCountryoraresolutionoftheCouncilforEIROforumMemberandatleasttwoadditional

MS/ACorEIROforumMember;theexpressionoffundingcommitmentbytheleadMemberStateor

AssociatedCountryoraresolutionoftheCouncilforEIROforumMember;andtheinter-institutionalandmulti-lateralagreementsignedbythecorepartnersformallyinvolvedintheconsortium.These

requirements strengthened both links with the Governments involved and the research

communities,encouragedacloserdialogueamongthemandsupportfromtheverybeginningofthe

RIprojectresultinginincreasedlikelihoodofsuccessfulimplementation.

11GroupofSeniorOfficial(GSO)

https://ec.europa.eu/info/research-and-innovation/strategy/european-research-infrastructures/group-senior-officials-

gso_en12GSOProgressReport2017

https://ec.europa.eu/research/infrastructures/pdf/gso_progress_report_2017.pdf


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ESFRIdifferentiatesbetweenthefollowingcategories:

– LEADCOUNTRY/ENTITY:MS,ACorEIROforumMember,whichleadsthepreparationoftheRI.

– PROSPECTIVE MEMBER COUNTRY/ENTITY: MS, AC and third country, which have submitted

ExpressionsofpoliticalSupport (EoS)signedbythenationalministriesresponsiblefortheRI,or

otherentity–suchasEIROforumMember–whosemandatedauthoritieshaveexpressedinterest

tojointheRIthroughaCouncilresolution.

– PARTICIPANTS:ResearchinstitutionsandotherentitieswhicharepartnersintheRIConsortium.

ESFRIPROJECTS

Projects are RI in their Preparation Phase, which have been selected for the excellence of their

SCIENTIFICCASEandIMPLEMENTATIONCASE,accordingtoasoundexpectationthattheProjectwillreach

the ImplementationPhasewithintheten-yearterm.Theyare included intheRoadmapinorderto

underline their strategic importance to the ERA and to support their timely implementation. The

Projectscanbeatdifferentstagesoftheirdevelopmenttowardsimplementation,accordingtotheir

respectivedateofinclusionintheRoadmap.


– LEADCOUNTRY/ENTITY:MS,ACorEIROforumMember,whichleadsthePreparatoryPhaseofthe

RI.

– MEMBERCOUNTRY/ENTITY:MS,AC,thirdcountryorotherentity–suchasEIROforumMember

–which isMemberof the legalentitybyany formalagreement,orapplied toERICStep2or to

otherinternationallegalform.

– OBSERVER: MS, AC, third country or other entity – such as EIROforum Member – which is

Observer of the legal entity by any formal agreement or applied to ERIC Step2 or to other

internationallegalform.

– PROSPECTIVE MEMBER COUNTRY/ENTITY: MS, AC and third country, which has submitted





ESFRILANDMARKS

LandmarksareRIthatwereimplementedorreachedtheImplementationPhaseundertheRoadmap

and that are established as major elements of competitiveness of the ERA. The Landmarks can

alreadydeliverscienceservicesandgrantaccess,orcanbeinadvancedstageofconstructionwitha

clear schedule for the start of operation. Landmarks need continuous support and advice for

successfulcompletion,operationand-whennecessary-upgradetoensuretheprovisionofstate-of-

the-art services,optimalmanagementandmaximumreturn from the investment. To thisend, the

continuity,scopeandeffectivenessoftheLandmarksareperiodicallyreviewed.


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– LEAD COUNTRY/ENTITY: MS, AC or EIROforum Member, which leads the

Implementation/OperationPhasesoftheRI.

– MEMBERCOUNTRY/ENTITY:MS,AC,thirdcountryorotherentity–suchasEIROforumMember

–which isMemberof the legal entityby any formal agreementor applied to ERIC Step2or to

otherinternationallegalform.

– OBSERVER: MS, AC, third country or other entity – such as EIROforum Member – which is

Observer of the legal entity by any formal agreement or applied to ERIC Step2 or to other

internationallegalform.

– PROSPECTIVE MEMBER COUNTRY/ENTITY: MS, AC and third country, which has submitted





ESTIMATEDANDREALCOSTS

TOTALINVESTMENTCOSTSTotal investment costs represent all investments necessary to fully implement a Research

Infrastructure from the beginning of a Design Phase until the Operation Phase, and including

Terminations costs13. In distributed RIs, these costs also include investments needed at national

nodes to enable theestablishmentof a EuropeanRI. In some cases, they can include investments

necessaryalreadyduringtheOperationPhaseaswellascostsrelatedtoTerminationofaRI.

DESIGNCOSTSThedesigncostscoverallcosts(in-kindandcash)investedintheconceptualdesign,technicaldesign

and feasibility study, including the costs for drafting the proposal. They include specific budgets

obtainedtodeveloptheprojectfrominstitutional,national,Europeanandinternationalfunds(such

as Design Studies and Integration Actions of the EU Framework Programmes for Research and

Innovation); labour of scientific, technical and managerial personnel dedicated to the project;

prototypedesignanddevelopment;coordinationofpotentialusers,etc.Atthetimeofsubmissionof

aproposalfortheRoadmap,thesecostsactuallyallconcernalreadyincurredcosts.

PREPARATIONCOSTSThepreparationcostscoverallrealorestimatedcostsforthePreparationPhaseofanRI, including

thefundingfromaPreparatoryPhaseundertheFrameworkProgrammesandallother in-kindand

cash third party contributions. Importantly, the preparation costs also cover all costs following a

PreparatoryPhaseprojectuntiltheImplementationPhase.

13 Total investment costs are the sum of Design costs, Preparation costs, Implementation costs and Termination costs,

representingtheinvestmentsneededacrosstheentirelifecycleofaRI.


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IMPLEMENTATIONCOSTSTheimplementationcostscoverthevalueinvestedintheImplementationPhaseoftheRI,including

hiringpersonnel,acquiringthesiteandgoods,constructioncosts,legalcosts,coordinationofusers’

communities, datamanagement infrastructure costs, commissioning as well as pre-operation and

start-up costs. For some RI (ex. cyclical surveys) implementation costsmay occur periodically also

during theOperation Phase. In the caseswheremajor upgrades to the infrastructure are planned

alreadyattheproposalstage,theseshouldalsobeincludedintheimplementationcosts.

TERMINATIONCOSTSTerminationcosts relate toanydecommissioningcostsand/orenvironmentalmitigationcosts that

may be necessary at the end of the lifecycle of an RI. Major items are for example the costs of

dismantling,disposal,landreclamationbutalsocostsrelatedtodatapreservationorpersonnel.

AVERAGEANNUALOPERATIONCOSTSTheaverageannualoperationcostscoverall costsof running theRI foroneyear,operatingusers’

accessanddeliveringscientificservicesasdescribedbytheproject.TheyincludeallRI’scosts(such

as personnel, power, rents/mortgages, taxes, maintenance, continuous upgrade and replacement

costs,userssupport,in-housescientificprogramme).

Proposalsandprojectsareaskedtospecifyamethodologybasedonwhichthedifferentcategories

of costs have been calculated. One example of such a methodology is the model described in

GuidelinesoncostestimationofResearchInfrastructures14availableattheESFRIWebsite.

14GuidelinesoncostestimationofResearchInfrastructures,StR-ESFRIStudy,June2019

https://www.esfri.eu/sites/default/files/StR-ESFRI2_STUDY_RIs_COST_ESTIMATION.pdf


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MODELSANDMETHODS

LIFECYCLEAPPROACH

ESFRIappliesaLIFECYCLEAPPROACHcoherentandconsistentwithRIfundingundertheEUFramework

ProgrammeforResearchandInnovation(FP)andtheGSOconcerningGRI.Moreover,thelifecycleof

aRIisareferencetounderstandtheneedsandtargetsofRIatagiventimeandatvariouslevels.

The CONCEPT of a new RI typically emerges bottom-up from the scientific communities clustering

aroundwellidentifiedscientificneedsandgoals.Suchaconceptcanoriginatefromcompletelynovel

approaches toanswer scientificquestionsor to respond to theneedofenhancedcapacityatpan-

EuropeanlevelaswellasfromnewinsightsinexistingRI–e.g.resultinginaplanformajorupgrade

ormerger.

TheDESIGNcoverstheproofofthescientificconceptandtechnicalfeasibilityoftheRI,theanalysisof

thepotentialusercommunity–bothscienceandinnovationoriented;theoutlineofabusinesscase

and the rationale for the international consortium. The feasibility study can be carried out with

institutional, national or international support – e.g. Framework Programme (FP) Design Study

grants.ThedesignalsoincludesaninitialanalysisofitspositionintheRIlandscape,e-Infrastructure

requirementsand(open)-datamanagementandpolicy.Importantly,theRIalsoforeseesthefinancial

andpoliticalsupportfromgovernmentsandfundingagenciesnecessaryforthePreparatoryPhase.

ThePREPARATION–carriedoutatinstitutional,national,Europeanorinternationallevel–isdirected

towardsdevelopingtheRIasafully-edgedorganisation.CompletionofpreparationfortheRIsinthe

RoadmapisoftencarriedoutthroughaPreparatoryPhasecontractunderFPresultinginabusiness

plan,a legalentity,anagreedrole for theRIalso in thecontextof the landscapeofexistingRIsat

European and global level, and secured funding safeguarding the financial sustainability for the

Implementation Phase and extending also for the Operation Phase. Some projects face a gap of

funding between the end of their Preparatory Phase contract and the final decisions for

implementation– legal, fundingandconstruction–whichcan lead to theestablishmentofadhoc

interimlegalentitiesandgovernancetoassureappropriatefundingtocompletethepreparationand

startconstruction.

TheIMPLEMENTATIONisdifferentforsingle-sitedanddistributedRIs.Inthefirstcaseitcorrespondsto

an intense investment period of several years for construction engaging human and financial

resourceswithbigimpactonthemarket–suppliersofgoodsandtechnologies.Longer-termbenefits

aregeneratedtothehostingterritory:employment,upgradeofservices,internationalisationandup-

skilling of the population, increased demand on high level services – schools, communication,

financial services for international employees – and joint development of novel technologies that

remain as a competitiveness legacy to the procuring firms. In case of distributed RIs, the

implementationimpliesintensenegotiationsasboththeCentralHubandthenationalnodesrequire

specificcommitments.Thedevelopmentofasuccessfulgovernanceandmanagementstructuremay

beofhighercomplexitythanforsingle-sitedRIs.Nevertheless, inseveralcasesdistributedRIshave

beenquiteefficientatestablishingtheirlegalentitiesandlaunchingservicestotheusercommunity.


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During their OPERATION, RIs produce frontier research and deliver advanced services for excellent

science satisfying the users’ demand, boosting brain circulation of early career scientists and

trainees,thereforeimprovingtherankingoftheiracademicandresearchinstitutions.RIscancreate

spin-offsandstart-upsandattractcorporatepartnersgeneratingahighpotentialforinnovation.The

operationalcostsofRIsrangefrom8to12%oftheinitialcapitalinvestmentperyear.Atwenty-year

operation cyclemaydevelopbeforemajorupgrades, requiringnewsubstantial capital investment,

areneeded.Theupgradecyclesincaseofe-Infrastructuresaretypicallymuchshorter.

TheTERMINATIONmayencompassdissolutionoftheorganisation,dismantlingoffacilitiesandrelated

safetyaspectsandresurrectionoftheoriginalsitebutitdoesnotapplyintheseidenticaltermsinall

researchdomains.TheTerminationPhasecouldalsoresult inanewinfrastructuredevelopmentas

part of the evolution of the field. Re-orientation of RI sites has already occurred, e.g. in nuclear

researchorhigh-energyphysics,whereoutdatedRIhavebeentransformed intoanalytical facilities

withnewsciencemissionsbuiltuponthepresenceoftechnological infrastructure, logistics,human

resourcesandorganisation.

ForaschematicrepresentationoftheLIFECYCLEAPPROACHOFARESEARCHINFRASTRUCTUREseeFIGURE1.

FIGURE1:LIFECYCLEAPPROACHOFARESEARCHINFRASTRUCTURE


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EVALUATIONOFSCIENTIFICCASE

ThegoalsoftheevaluationoftheSCIENTIFICCASEofNewProposalsfortheRoadmap(exante)andof

ESFRIProjectsandESFRILandmarksontheRoadmap(expost)areto:

– evaluate whichminimal key requirements along the five dimensions of the SCIENTIFIC CASE are

met;

– assessfuturescientificplans;

– adviseESFRIonthestrategicvalueoftheproposals,ProjectsandLandmarkswithinthebroaderRI

ecosystem;

– evaluate thepotential of theproposals, Projects and Landmarks for further internationalisation

andglobalization;

– identifylinksandcomplementaritiesamongRIandthepotentialofintegration;

– recognisee-needs, includingthe integrationofRI inopene-networks,thecompliancewithFAIR

principlesandthelinktoEOSC.

TheSWGsevaluatetheSCIENTIFICCASEalongfivedimensions:

1. scientificexcellence

2. pan-Europeanrelevance

3. socio-economicimpact

4. userstrategyandaccesspolicy

5. e-needs

WhenevaluatingtheSCIENTIFICCASE,theSWGstakethedimensionsoftheIMPLEMENTATIONCASEinto

account.

EVALUATIONOFIMPLEMENTATIONCASE

ThegoalsoftheevaluationoftheIMPLEMENTATIONCASEofNewProposalsfortheRoadmap(exante)

andofESFRIProjectsandESFRILandmarksontheRoadmap(expost)areto:

– assesswhichminimalkeyrequirementsalongthefivedimensionsoftheIMPLEMENTATIONCASEare

met;

– assessfutureimplementationplans;

– enablespecificandtargetedfollow-upbyESFRIandsupporttotheprojectstomovetowardsfull

implementationwithintheten-yearrule.

TheImplementationGroup(IG)evaluatestheIMPLEMENTATIONCASEalongfivedimensions:

1. stakeholdercommitment

2. preparatoryworkandplanning


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3. governance,management&humanresources

4. finances

5. risks

Whenevaluating the IMPLEMENTATION CASE, the IG takes thedimensionsof the SCIENTIFIC CASE into

account.

MINIMALKEYREQUIREMENTSALONGDIMENSIONSANDLIFECYCLE

ESFRIappliesminimalkeyrequirementsonalldimensionsdescribedaboveandalongtheRIlifecycle.

FortheSCIENTIFICCASE,thesearedescribedinANNEXIIandfortheIMPLEMENTATIONCASEinANNEXIII.

These minimal key requirements serve as the basis for the scoring in the evaluations. Meeting

minimalrequirementsisnecessary,butnotsufficienttobeautomaticallylistedintheRoadmap.

SCORING

The following scoring values are attributed to each dimension following the minimal key

requirementsdescribedintheannexesIIandIII:

– Veryhigh,i.e.thekeyrequirementsareoutstandinglymet.

– High,i.e.thekeyrequirementsarecomprehensivelymet.

– Medium, i.e. the key requirements are partly met, 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.thekeyrequirementsareinsufficientlymetandtheevidenceforfuturesuccessoftheRI

isnotconvincing.

In order to be considered as a Project, a proposal must meet the key requirements for the

Preparation Phase and score a grading of at least ‘High’ for both the SCIENTIFIC CASE and the

IMPLEMENTATION CASE. In order to be considered as a Landmark, a Project must meet the key

requirements forat least ImplementationPhaseandscoreagradingofat least ‘High’ forboth the

SCIENTIFIC CASE and the IMPLEMENTATION CASE. The status of each RI on the Roadmap is a strategic

decisionofthePlenaryForumthattakesintoaccounttheoutcomesoftheevaluations.

PRINCIPLES,CONFLICTOFINTEREST(CoI)ANDCONFIDENTIALITY

Allevaluationsmustcomplywiththefollowingfourprinciples:

– Independence, i.e. involved persons carry out the evaluations in a personal capacity and theyrepresentneithertheiremployernortheircountry.

– Impartiality, i.e.personsmust treatallproposals,ProjectsandLandmarksequallyandevaluate

themimpartiallyontheirmerits, irrespectiveoftheiroriginortheidentityoftheapplicantsand

coordinators.


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– Objectivity,i.e.involvedpersonsevaluateeachproposalorquestionnaireassubmitted;meaning

onitsownmerit,notitspotentialifcertainchangesweretobemade.

– Accuracy, i.e. involvedpersonsmaketheirjudgmentsolelyagainsttheformalevaluationcriteria

andtherelevantESFRIdocumentation.

ESFRI checks any CoI with all SWG and IGMembers andwith all external Reviewers, whichmust

declarenon-conflictofinterestandconfidentialityontheproposals,ProjectsorLandmarkstheyare

evaluating. A CoI may arise, in particular, due to science competition, scientific and economic

interests,politicalornationalaffinities,familyoremotionalties,oranyotherrelevantconnectionor

sharedinterest.Strictrulesforconfidentialityapply.


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ROADMAP2021UPDATEWiththeRoadmap2021,ESFRIwillupdatethestrategyonEuropeanRI.Itwillcover:

– landscapeofRIinEuropeandglobally;

– gapsintheEuropeanRIecosystem;

– newpan-EuropeanRIProjects;

– synergieswithregional,national,EuropeanandinternationalRIandstrategiesforoptimaluse;

– linksbetweenandintegrationofRI;

– e-InfrastructureneedsandintegrationofRIinopene-networks;

– continuousupgrade(ifnecessary),long-termsustainabilityandendoflifeperspectives;

– innovationpotentialandsocio-economicbenefitanalysis;

– globalopportunitiesandsciencediplomacyaspects–whereappropriate.

ThefollowinggenericconsiderationsandrulesapplyfortheRoadmap2021:

– ESFRIwillcontinuetostrengthenitsstrategicrole;

– ESFRIwillvalidateallinformationonpoliticalsupportandfinancialcommitments–includingthe

inclusioninnationalRIroadmaps–withtheactiveroleoftheESFRIDelegationsandtheCouncil

ChairsoftheEIROforumMembers.

InordertorealisetheRoadmap2021,ESFRIwill:

a. updatetheLandscapeAnalysis;

b. monitorallProjects2010andProjects2016;

c. evaluateNewProposalsanddecideuponnewProjects2021;

d. monitor and evaluate and the effectiveness and efficiency of its methods and procedures,

includingdefinitionsandmodels.

LANDSCAPEANALYSIS

The Landscape Analysis is a key ingredient of the Roadmap 2021. It provides an overview of the

European RI ecosystem by identifying themain RI operating transnational access in Europe, in all

fieldsofresearch,andmajorneworongoingprojects,aswellasanoutlooktothegloballandscape

of relevance. This includes national, regional, international facilities and consortia that offer

integrated services and transnational access to state-of-the-art resources for research. The

Landscape Analysis is a reference document and does not imply a prioritisation by ESFRI nor any

nationalfinancialandpoliticalcommitments.TheSWGdrafttheLandscapeAnalysisbroadeningthe

viewofESFRIbeyondtheRIinitsRoadmap.ThethoroughknowledgeoftheRILandscapeandofits

dynamicsisaprerequisitefordevelopingoptimalstrategiesinthefieldofRIaimedatstrengthening

the competitiveness and value (excellence and impact) of European research. The goals of the

LandscapeAnalysisareto:


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– provide a survey on major transnational RI offering open access to researchers, students,

teachers, support staff, education and research institutions, business, industries and public

servicesinalldomains;

– keeptrackofthedevelopmentsandtrendsfromthematicroadmapsandstrategypapers;

– identify the strategic role of the RIs in view of policy developments such as Sustainable

DevelopmentGoals(SDGs)andHorizonEuropemissions;

– 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;

– highlighttheinterconnectionsbetweendomains,visionandperspectivesacrossthematicareas;

– describe transversalaspects (i.e.educationandtraining, innovation, socio-economic impact,big

dataande-infrastructureneeds,regionalimpact,pan-Europeandimension,globaldimension).

MONITORINGOFESFRIPROJECTS2010AND2016

MonitoringisusedtodescribetheevaluationoftheSCIENTIFICCASEandoftheIMPLEMENTATIONCASE

oftheProjectsontheRoadmap.ThegoalsofthemonitoringoftheProjects2010andProjects2016

areto:

– checktheoverallprogresstowardsimplementation,i.e.towhatdegreetheyfulfiltheminimalkey

requirementsforthephasesoflifecycleandwhattheplansareforreachingfullimplementation;

– check and report on whether and how the Projects 2010 have addressed the conclusions and

followedupontherecommendationsfromthe2018evaluationofimplementationandproposal

evaluationsfortheProjects2016;

– proposeastatus,conclusionsandrecommendationsontheProjects2010tothePlenaryForum,

includingthepossibletransitionfromProjecttoLandmark;

– updateallpublicinformationonallProjectsfortheRoadmap2021.

ESFRIwillmonitortheProjectsalongthefollowingconsiderations:

– themonitoring involves an evaluationof the SCIENTIFIC CASE andof the IMPLEMENTATION CASEof

eachProject–whenrelevant–followinguponpriorconclusionsandrecommendations.SWGand

IG togetherdrafta specificquestionnaireperProjectaddressinggenericandspecificaspectsof

theSCIENTIFICCASEandoftheIMPLEMENTATIONCASE;

– the ten-year termwill expire for theProjects 2010 and theywill not appear as Projects in the

Roadmap2021;


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– thoseProjects 2010 that have successfully reached the implementationmaybe evaluatedwith

respecttotherequirementsofLandmarks;

– anyProjectthatwantstobere-consideredaftertenyearsontheESFRIProjectlist,mustre-apply,

asanewproposalclearlyovercomingthebottlenecksthatpreventeditsimplementation.Insuch

case,theProjectwillbecompeting–onequalfooting–withallothernewproposalsapplyingto

theRoadmap;

– ESFRIwillnotmonitorthesixProjects2018.

PERIODICUPDATEOFESFRILANDMARKS

ESFRIperformedapilotexerciseinordertotesttheprocessofperiodicreview.FourLandmarkstook

part to this exercise: ELIXIR, ESS ERIC, ICOS ERIC, and SPIRAL2. The lessons learnt from the pilot

exercisewerepresentedtotheEBandForum.

The Council Conclusions of 29th May 2018 on Accelerating knowledge circulation in the EU that

“Stresses the importance of human resources and training skills as key factors in the success for

ResearchInfrastructuresandACKNOWLEDGEStheneedforResearchInfrastructurestostrengthena

service-drivenapproach;invitesMembersStatesandtheCommissionwithintheframeworkofESFRI

todevelopacommonapproachformonitoringoftheirperformanceandINVITESthePan-European

ResearchInfrastructures,onavoluntarybasis,toincludeitintheirgovernanceandexploreoptions

tosupportthisthroughtheuseofKeyPerformanceIndicators”6.

Inorder to implement thismandate,ESFRIhas setupanadhocWorkingGrouponMonitoringof

Research Infrastructure Performance – MONITORING WG – and organised two workshops in

November 2018 and July 2019 respectively to collect feedback from the ESFRI Research

Infrastructuresandotherstakeholdersandtopresentthepreliminaryfindingsandrecommendations

oftheMONITORINGWG.

BasedonthefinalreportoftheMONITORINGWG, includingaproposalonthemethodologytobe

adopted for the ESFRI Landmark periodic update as well as a proposal on the monitoring

methodologyandsetofKPIstobeadopted,onvoluntarybasis,byRIsandfundingauthorities,ESFRI

will finalise itsmethodology on periodic review of Landmarks. Thismethodology and its foreseen

timelineforimplementationwillthenbecommunicatedtotheESFRIResearchInfrastructures.

ForaschematicrepresentationoftheESFRIROADMAPDYNAMICS–referredtoESFRIProjectsandESFRI

Landmark–seeFIGURE2.


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FIGURE2:ESFRIROADMAPDYNAMICS


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SUBMISSION&SELECTIONOFNEWPROPOSALS

ELIGIBILITYCRITERIATobeeligibleforevaluation,NewProposalsmust:

– provideproofofpoliticalsupport, i.e.ExpressionofpoliticalSupport(EoS)bytheLEADcountryandat leasttwoadditionalMSandACsignedbythenationalministriesresponsibleforRI

15– in

caseofanEIROforumMemberprovideaCouncilresolution;

– provide proof of financial commitment, i.e. Expression of Commitment (EoC) to financially

contribute to the Preparation and Implementation Phases by an authority16 from the LEAD

country–incaseofanEIROforumMemberthefinancialcommitmentshouldbeexplainedinthe

Councilresolution;

– provide proof of an inter-institutional and multi-lateral agreement, e.g. a Memorandum of

Understanding (MoU) signed by the core partners – being research institutions – formally

involvedintheconsortium.

ELECTRONICSUBMISSION:THEESFRIMoS+TheSubmissionofNewProposals ismanagedthroughtheESFRIMOS+.Theonlinesubmissionform

consists of three parts to be fully completed and allows for a limited number of essential

attachments:

PARTA:GENERALINFORMATIONisusedfortheeligibilitycheckbytheEB,fortheoverallevaluation

oftheorganisationandsupporttotheNewProposaland–ifselected–forthepublicdescriptionof

theProjectintheRoadmap2021.

PARTB:SCIENTIFICCASEisusedbytheSWG(s)toevaluatetheSCIENTIFICCASEoftheNewProposal.

PARTC:IMPLEMENTATIONCASEisusedbytheIGtoevaluatetheIMPLEMENTATIONCASEoftheNew

Proposal.

ThefollowingrulesandconsiderationsapplyfortheSubmissionofNewProposals:

– theESFRIDelegationsandtheEIROforumMembersarenotifiedthattheESFRIMOS+isopen;

– the ESFRI Delegation or the EIROforum Member that lead the preparation of the proposal

requests the ESFRIMOS+ to create aNew Proposal Account upon providing some information

(with reference to the Proposal Coordinator, who will receive the login details for this New

ProposalAccount);

– theESFRIMoS+providesaNewProposalAccountprotectingthedata-entryintotheMoS+online

NewProposalQuestionnairebytheProposalCoordinatorsexclusively;

– only ESFRI Delegations and EIROforum Members that lead the New Proposal have the

responsibilitytofinalizethesubmissionoftheproposalbythedeadlineon5thMay2020.

15TheESFRIDelegationwillvalidatesuchEoS.

16AnylegalentityfromaMS,ACorthirdcountrythatcantakebindingdecisionstofinanciallysupporttheRIcansubmitan

EoC. Itmayconcerna regionalornationalgovernment (agency),anumbrellaorganisationnegotiatingand redistributing

fundingonbehalfofitsmembers,aResearchFundingOrganisation(RFO)oraResearchPerformingOrganisation(RPO).


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ELIGIBILITYCHECKANDASSIGNMENTTOSWGThe EBwill checkwhether the proposals are complete, submittedwithin the deadline, written in

English and compliant with the specific eligibility criteria, i.e. proof of political support, proof offinancial commitment and proof of inter-institutional agreement. The EB then proposes to thePlenary Forum a list of eligible proposals and their assignment to the lead SWG and any other

relevantSWGs.

EVALUATIONOFSCIENTIFICCASEANDIMPLEMENTATIONCASETheSWGsperformtheevaluationoftheSCIENTIFICCASEandtheIGaccomplishestheassessmentof

the IMPLEMENTATION CASE of New Proposals. SWGs and IG work independently with regular

interactions; theydeliver joint reportsandcontribute to theharmonisationof theconclusionsand

recommendationswiththeEBatvariousstages.

HARMONISATIONHarmonisationoftheconclusionsandrecommendationsoccursatvariousstagesbetweentheSWGs,

theIGandtheEBinorderto:

– identifyproposals–ifany–whichareuncompetitiveandwillnotbeinvitedforahearingandthus

nolongerbeconsideredaspossibleProjects;

– draft and agreeon specific questions for clarificationby the applicants of the proposals during

dedicatedhearings;

– ensurecoherenceandconsistencybetweenallevaluationresults;

– achieveconsensusonproposedstatus,conclusionsandrecommendations.

RECOMMENDATIONTOPLENARYFORUMANDFINALDECISIONTheEBpresents to theForum its recommendationon theSelectionofProjects2021 basedon the

evaluationoutcomesandtakingintoaccountthestrategicrole,theaddedvalueintheRIlandscape,

the balance between the different thematic domains, the newopportunities for the ERA, and the

potentialasaglobalResearchInfrastructure.ThePlenaryForumdiscussesthestatus,theconclusions

andtherecommendationsperproposalanddecidesuponnewProjectstobeincludedintheESFRI

Roadmap2021.

ForaschematicrepresentationoftheESFRISUBMISSION&SELECTIONOFNEWPROPOSALSseeFIGURE3.


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FIGURE3:THESUBMISSION&SELECTIONOFNEWPROPOSALS


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PLANNING

NEWPROPOSALS

STEPS DATE(RANGE)INFODAY 25September2019

OPENCALLFORPROPOSALS 25September2019

SUBMISSIONOFPROPOSALS 5May2020

CRITICALQUESTIONS&INVITATION

TOHEARINGS

October2020

HEARINGS November-December2020

ESFRIFORUMDECISION June-September2021

ESFRIROADMAPLAUNCH October-November2021

MONITORINGOFPROJECTS2016


CUSTOMIZEDQUESTIONNAIRESENT

TOTHEPROJECTS

November2019

SUBMISSIONOFQUESTIONNAIRE February2020

ESFRIFORUMDECISION June2020


MONITORINGOFPROJECTS2010


CUSTOMIZEDQUESTIONNAIRESENT

TOTHEPROJECTS

January2020

SUBMISSIONOFQUESTIONNAIRE June2020

CRITICAL QUESTIONS & INVITATION

TOHEARINGS

January2021

HEARINGS February-March2021

ESFRIFORUMDECISION June2021


After the Forumdecisions on theNewProposals,Projects 2016 andProjects 2010, ESFRIwill duly

communicateitsdecisionstotheconcernedRI.


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ANNEXI:LISTOFABBREVIATIONS

ABBREVIATION MEANING

AC AssociatedCountrytoEUFrameworkProgrammeforResearchandInnovation

CoI ConflictofInterest

DMP DataManagementPlan

e-IRG e-InfrastructureReflectionGroup

EB ExecutiveBoard

EC EuropeanCommission

EoC ExpressionofCommitment

EoS Expressionof(political)Support

EOSC EuropeanOpenScienceCloud

ERA EuropeanResearchArea

ESFRI EuropeanStrategyForumonResearchInfrastructures

ESIF EuropeanStructuralandInvestmentFunds

EU EuropeanUnion

FP EUFrameworkProgrammeforResearchandInnovation

GRI GlobalResearchInfrastructure

GSO GroupofSeniorOfficials

IG ImplementationGroup

KPI KeyPerformanceIndicator

LoI LetterofIntent

MoU MemorandumofUnderstanding

MS MemberState

RFO ResearchFundingOrganisation

RI ResearchInfrastructure

RPO ResearchPerformingOrganisation

SDG SustainableDevelopmentGoal

SWG StrategyWorkingGroup

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ANNEXII:LISTOFMINIMALKEYREQUIREMENTSFORSCIENTIFICCASEThefollowingtablecontainstheminimalkeyrequirementstoaphaseinthelifecycleofRIonthefivedimensionsoftheSCIENTIFICCASE:

PHASE

DESIGN PREPARATION* IMPLEMENTATION** OPERATION TERMINATION

SCIENTIFICEXCELLENCE

− longtermscienceprogrammedefined

− scientificcommunitywell-established

− scientificleadershipdescribed

− cuttingedgescienceandtechnologyoutlined

− scientificvisionandmissionoutlined

- (multidisciplinary)scientificnewfrontieroutlined

− scientificleadershiprecruited

− scienceconcepttestedandfoundfeasible

− servicesforthescientificcommunitydescribed

− technicalmaturityandfeasibilitytestedandachieved

− cuttingedgescienceandtechnologydescribed

− availabilityofscientifichumanresourcesproven

− vision,missionandidentityfullydefined

− multidisciplinaryscientificnewfrontierestablished

− scientificleadershipconsolidated

− servicesdeliveredtoscientificcommunity

− cuttingedgescienceandtechnologyfullydefined

− vision,missionandidentityconsolidated

− leadingRIlandscapeandmultidisciplinaryscientificnewfrontierachieved

− scientificleadershipandimpactvisibleatgloballevel

− continuousupgradeplannedandundertaken-ifrelevant

− cuttingedgescienceandtechnologyconsolidated

PAN-EUROPEANRELEVANCE

− pan-Europeanapproachforscientificareaoutlined

− targetedusercommunityispan-European

− national/internationalfacilitieswithcomplementaryorsynergisticpotential

− positioningintheRIlandscapedefined

− caseforEuropeanaddedvaluedefined

− researchcapacityandcurrent/potentialgeographicaldistributiondefined

− linkstorelevantRIandotherlargepan-Europeanprogrammesidentified

− positioningintheRIlandscapefullydescribed

− casestudiesorotherevidenceofemergingEuropean-addedvalueachieved

− researchcapacityandgeographicaldistributionconsolidated

− jointstrategies,commonserviceswithrelevantRIandotherlargepan-Europeanprogrammesbeingimplemented

− Europeanaddedvalueconsistentlybeingdelivered

− researchcapacityandgeographicaldistributionconsolidated/expanding

− commonserviceswithrelevantRIandotherlargepan-EUprogrammesinplace

SOCIO-ECONOMICIMPACT

− relevancetosocietalchallengesidentifiedandpotentialeconomicimpact

- caseforimpactmade,supportinginnovation,othertypesofbenefitssuchasservicesforsociety,culturalaspectsandattractionofbusiness,industryandpublic

− socio-economicimpactcasesemerging

− capacitybuildingimpactproven

− contributingtotacklingthesocietalchallenges

− impactdemonstratedconsistently

− newcommunitiesinvolved

− innovationorientedactivities

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predictedincludinginnovationaspects

services,etc. − innovationorientedactivitiesagreed

− abilitytodevelopanopeninnovationcultureestablished

operational

− privateusersinvolved

− policiesonkeysocietalchallenges,e.g.climatechange,influenced

USERSTRATEGY&ACCESSPOLICY

− visionaboutusercommunity

− accessmodesdescribed

− identifiedusercategories

− surveyexecuteddemonstratingexpected

usercommunityanddescriptionofitin

termsoforiginandsize

− identifiedservicesbasedonaclearidentificationofuserdemandsandneeds

− singleentrypointforusersoutlined

− usercommunityintermsoforiginandsize

consolidated

− mechanismofexchange/engagementwithusers

− accommodationofuserneeds/feedbacks

− catalogueofinitialservicesforusers

− userstrategyconsolidated(includingtrainingaspects)

− commonaccesspolicy–excellentdrivenaccesstakenintoaccount/transparentprocess,internationalresearchprogrammes,etc.

− organisationalstructureandprocedureforregulatingaccess–includingsingleentrypoint

forusers-decidedandapproved

− commonaccessmanagementplanincluding:

− solidmechanismofexchangewithusers

− establishedcatalogueofservicesforusers

− operationalsingleentrypointforaccessestablished

− assistancetousersfortheentireprocess(fromthe

proposaltillaftertheaccess)

− IPRpoliciesfullyestablished

− disseminationprogrammesin

place,includinginnovation

actions

− deployedIPRbeyonddecommissioning

E-NEEDS − visionone-infrastructurerequirements,includingaccesspolicyandsecuritymeasuresready

− interfacingwithcommunicationnetworksordistributedcalculationorHPC/HTC

− conceptualdesignofe-infrastructureready

− contributionsofe-infrastructureresourcesatalllevels(institutional,regional,national,international)described

− accesspolicyandDataManagementPlan(DMP)outlined

− compliancewithFAIRprinciples

− technicaldesignofe-infrastructurereadyandapproved

− draftoperationalplanningfore-infrastructureservicedelivery

− agreementswithpartiesdeliveringcoree-infrastructureservices(CentralHub)drafted

− accesspolicyandDMPapproved,includingplanforsustainabilityofdata

− securitypolicydefinedandapproved

− implementingFAIR

− operationalplanreadyandapproved

− agreementswithserviceprovisioningpartiessigned

− DMPimplementedandsecuritypolicydeployed

− operationalapplicationofFAIR

− deployedsustainabilityofdatabeyonddecommissioning

Textsinblueonlyapplytosingle-siteRI.

TextsingreenonlyapplytodistributedRI.

*ProposalsthatmeettheminimalkeyrequirementsforthePreparationPhasemaybeconsideredasProjects.

**ProjectsthatmeettheminimalkeyrequirementsfortheImplementationPhasemaybeconsideredasLandmarks.

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ANNEXIII:LISTOFMINIMALKEYREQUIREMENTSFORTHEIMPLEMENTATIONCASEThefollowingtablecontainstheminimalkeyrequirementstoaphaseinthelifecycleofRIonthefivedimensionsoftheevaluationoftheIMPLEMENTATION

CASE:

PHASE

DESIGN PREPARATION* IMPLEMENTATION OPERATION TERMINATION

STAKEHOLDERCOMMITMENT

− institutionalLettersofIntent(LoI)signed

− formalagreement

amongstpartnersfor

designstudyagreed

upon(e.g.Consortium

Agreement)

− politicalsupportprovidedbyasatisfactorynumberofprospectivemembers

− satisfactoryinter-institutionalandmulti-

lateralagreement,e.g.aMemorandumof

Understanding(MoU)signedbyallcore

partners-beingresearchinstitutions-

formallyinvolvedintheconsortium

− clearstrategyabouthowtogathernecessarycommitmentsatinstitutionaland

governmentallevel

− RIincludedinallrelevantnationalRIroadmaps

orsimilarpoliticaldocuments

− commitmentofa)MSandACandb)core

institutesandpartnerssecuredthroughsigned

legallybindingdocument(e.g.statutes)

− roleandfundingofCentraloffice(CentralHub)agreedinlegallybindingdocument(e.g.

statutes)

− budgettofinanciallysupportoperationanduseforatleast

fiveyearsbyallcountries

involvedagreed

− break-downofbudgetofnodesandrelativeresources

withrespecttotheir

(potential)doubleaccounting

asnationalRIandnodesof

internationalRI

− institutional,politicaland

financial

commitmenton

major

upgrade/decommiss

ion/merger

obtained

PREPARATORYWORK&PLANNING

− conceptscreeningsuccessfully

completedand

describedina

conceptualdesign

− overallprojectplanfordesignstudywith

majormilestonesand

deliverablesapproved

- design/feasibilitystudysuccessfullycompleted

- clearbusinesscasedeveloped

- clearstrategyabouthowtotackletechnologicalandconstructionissues

- detailedplanforpreparationandimplementationagreed,includingrelevant

investmentdecisions

- overallplanforoperationanddecommissiondefined

− preparatoryphasesuccessfullycompleted

− soundandreviewedbusinessplanagreed

− allinvestmentdecisionsforimplementation

havebeeneffectivelytakenandthosefor

operationareclearlyplanned

− communicationprogrammesareinplace

− decisiononsitetaken

− buildinglicenceobtained

− procurementstrategyclearlyidentifiedand

procurementtaskforceinplace

− tendersandcommitmentstofundconstruction

approved

− achievingresearchresultsdeliveringrelevantservicesto

scientificcommunity

− utilisationofRImonitoredand

reported

− constructioneffectivelycompleted

− mediumtermoperationsand

upgradeplanapprovedand

secured

− proceduretowindingupestablished

− detailedandvalidatedplanfor

decommission,

majorupgradeor

mergerapproved

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− decisiononhostingofcentralhubtaken

− servicestousersatnationallevelandservicesfromCentralHubtoNationalNodesdelivered

− detailedplanforscientific,technicalandorganisationalimplementationvalidated

GOVERNANCE,MANAGEMENT&HUMANRESOURCES

− projectorganisationapproved

− scientificleadership,projectmanagerand

requiredstaff

identified

− satisfactoryprojectorganisationandmanagementforpreparationand

implementationwithclearlydefinedskills

andstaffingplans,responsibilitiesand

reportinglinesapproved

− measurableandsatisfactoryKey

PerformanceIndicatorsidentified

− governanceforoperationwithclearlydefinedresponsibilitiesandreportinglines

outlined,includingSupervisoryandother

AdvisoryBoards

− humanresourcespolicyforimplementation

andoperationtogathernecessary

competences,hiring,equalopportunities

(includinggenderbalanceanddiversity),

secondments,educationandtraining

outlined

− legalentityestablished

− organisationforimplementationinplace

− robustKeyPerformanceIndicatorsfor

operation,management,administrationand

facilitationagreed

− keymanagersandstaffforimplementation

recruitedandnecessaryskillstrained

− viableorganisationforoperationwithadequatestaffingandindependentmonitoringapproved

− humanresourcespolicytogathernecessary

competencesforoperation,hiring,equal

opportunities(includinggenderbalanceand

diversity),secondments,educationandtraining

approved

− planningandreportingmechanismsinplace

− staffforoperationandmanagementrecruitedand

necessaryskillstrained

− allhumanresourcespolicies

andinstrumentsinplace

− organisationofdecommission/mer

ger/upgrade

approved

− organisationandsocialplanfor

decommission

approved

FINANCES − fundingconceptandpotentialpartners

(e.g.natureof

partnership,in-kind

versuscash)

contributionsoutlined

− budgetfordesignstudyapproved

− financialcommitmentbyleadcountryor

EIROforumMemberandpossibleother

entitiessatisfactorilycoveringthe

preparationandimplementationphases.

− top-levelbreakdownofcostelementswith

overallorderofmagnitudeestimates

(includingforCentralHub,NationalNodes

andmainupgrades)

− estimatesandconfidencelevelsavailable

foreachelement

− fundingopportunitiesidentifiedforthe

− formalcommitmentforfundingof

implementationobtained

− costbookwithcostsbasedonsupplierdiscussionsorquotesandaccountingprinciples

approved

− financialreportingsetup

− WorkPackagesandin-kindcontributionsfully

detailedandcentrallybudgeted

− validatedprojectiononoperationcostsforatleastfiveyearsandagreementonhowtocover

− fundingforoperationsecured

− auditingofaccountingandbudgetsystemsinplace

− budgetandliabilityfor

decommission/mer

ger/majorupgrade

approvedand

covered

Public Guide

28

wholelifecycle

− in-kindcontributionpolicyoutlined

them

− costsfordecommissionidentified

− fundingforCentralHubandfirmprojectionon

operationcostsforatleastfiveyears

RISKS − conceptualideasaboutscientific,

technological,political

andfinancialrisks

− clearidentificationofmajorrisksinvolved

andappropriatemitigationstrategies

described

− detailedriskinventoryestablishedandappropriatemitigationmeasuresfor

implementationinplace

− appropriateriskmanagement

andmitigationpoliciesfor

operationinplace

− risksinvolvedindecommission/upgr

ade/merger

describedand

mitigationstrategies

inplace

Textsinblueonlyapplytosingle-siteRI.

TextsingreenonlyapplytodistributedRI.

*ProposalsthatmeettheminimalkeyrequirementsforthePreparationPhasemaybeconsideredasProjects.

**ProjectsthatmeettheminimalkeyrequirementsfortheImplementationPhasemaybeconsideredasLandmarks.

esfri roadmap2021 public guide 20092019...public roadmap 2021 guide follows the launch of roadmap...

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