1. WPC Status Report KM3NeT General Assembly, Catania, 22/2/2011 Paschal Coyle, CPPMarseille legal, governance, financial engineering and site issues of the KM3NeT Infrastructure Co-Coordinated by: France (P. Coyle) and Greece (I. Siotis)

2. Deliverables The last two remaining deliverables are covered by: The agreement to proceed towards an ERIC The agreement on an MOU to define the Collaboration organisation and commitments for the future

3. What is an ERIC ERIC=European Research Infrastructure Consortium An ERIC is a way of organising the management of an infrastructure, including the funds provided by the members of the infrastructure consortium. It therefore is not a source of European money. The ERIC is in fact a management bureau located in a single host country. It enjoys international status in the host country and therefore is exempt from VAT. The management bureau consists of at least a manager and a bank account. It is a legal entity and as such can sign contracts etc. A board of delegates from the member countries oversees the management. There are in principle no rules governing the precise structure of the management or the board. The management must be defined beforehand the board can be negotiated afterwards. Major advantages: – VAT exemption – Standardisation of financial transactions (orders for equipment etc.), – Funding agencies are “part owner” of the ERIC.

4. Setting Up an ERIC The procedure starts with the technical and scientific definition of the infrastructure, including statutes in which the responsibilities of parties and the planning are in principle laid out. This is followed by the MoU process. These MoUs are between countries and the infrastructure. They are simple statements of commitment in the production of the infrastructure. They are not multiparty agreements. This is because they will finally form the basis of the countries commitment to the ERIC, produced for the infrastructure. At this point an application to set up an ERIC is sent to the European Commission. This is not the formal application but a pre‐application that gives the commission an opportunity to verify the compliance with the ERIC regulations (is the infrastructure technically sound, is the funding sufficiently in place, is the host defined, is the management defined) This is followed by the submission of a signed request for the setting up of an ERIC. This means ministers have to sign the request. At this point it helps if they have already signed the MoUs. then follows a formal consultation by the European DG of Research and Innovation with the other European DGs. The submission is then discussed in the ERIC committee and the commission makes a decision following the proposal of the ERIC committee. The Decision is published in the Official Journal of the European commission. If all goes well, the full process takes about nine months after the MoUs have been signed.

5. Other ERIC Issues Without an ERIC, the EU would never directly fund construction. Countries from outside EU can join an ERIC, however legal issues are covered by the European Court for EU countries. This must be organised separately either by having the country acknowledge the European court’s jurisdiction (Norway) or by separate agreement {Switzerland). In order to ease the financing there is the possibility for funding agencies of ESFRI projects to borrow money via the Risk Sharing Finance Facility of the European Investment Bank. This allows for a more spread out funding profile while providing finances when they are needed for writing out contracts for very large orders. The loan is of course paid back over the course of the experiment. ESFRIs are automatically accepted. (This was brought in to alleviate the problem caused by the EU not funding construction anymore.) Use of this programme is highly recommended by the EU commission.

6. Netherlands Proposal to Host the ERIC Headquarters We propose to establish the headquarters of KM3NeT in the Netherlands with its place of residence in the Amsterdam Science Park. This has also been selected as the residence for the European Grid Infrastructure headquarters. The Science Park is an internationally renowned centre for scientific research, education and knowledge related business activities. Amsterdam as the gateway to Europe is well connected internationally by plane (Amsterdam Schiphol airport is one of Europe’s largest airports and has direct flights to cities of many institutes inside the consortium) and train (with high-speed trains to Paris, Brussels and Berlin). Many local people speak English, German and French making life convenient for foreigners. The Science Park offers a modern and well equipped location for the KM3NeT headquarters. It boasts one of the fastest and most powerful internet nodes in the world. The instatement of the KM3NeT headquarters requires a budget of 1.0 M€ for the first three years. This includes the costs for setting up the office space, the professional fees for administrative, legal and organisational assistance, and the funding of the chief administrative officer for three years. We propose to provide this start up capital investment from the Netherlands budget. After the initial three years the costs of 0.25 M€/year should be covered via the regular common fund contributions of the members of KM3NeT ERIC.

7. Currently Available Investment Funds France 8 M€+8 M€ for new MEUST centre building Italy21 M€ Netherlands 8.8 M€ Romania 2.5 M€once MoU signed ----------- Total40.3 M€ Spain 1 M€ Greece25% of total up to 50 M€ France/Italy/Greece funds to be committed by end 2014

8. MoU (a work in progress) MOU drafting committee: P. Coyle, E. de Wolf, P. Piatelli, I.Siotis (E. Migneco) Scope: How to organise ourselves to spend coherently and efficiently the funds currently available i.e. does go beyond the 40M€ (but clearly there is the intention to do so the a future) Signed by: at a first step- the institutes involved in the project at a second step (ERIC) the ministries/funding agencies Commitments: funds, deliverables

9. Being worked on: Implement ASC recommendations Implement SSC recommendations Major changes to previous version: Definition of purpose Annex 7: Milestones Annex 4: Contributions Annex 5: Organisation

10. ASC about MoU  Change text in Preamble  Install management structure  Define institutes to sign  Define Milestones and Contributions  Pre-ordering permitted

11. ASC about MoU  Install STAC asap  Produce staged Technical Proposal to facilitate early tendering where necessary

12. SSC report: management/governance  Establish management  Define MoU

13. SSC: external review  Establish scientific and technical advisory committee

14. Changes w.r.t. to previous version MoU

15. Change in Preamble  Symmetry in regional funding Start of construction  start of first phase of construction

16. Purpose  Annex 7-milestones: staged Technical Proposal to allow early tendering  Annex 7-milestones: two project stages: 1 Preparation (d), 2 Construction (e)

17. Annex 4 - Contributions

18. Investment Cost Need verification, in particular for seafloor network/sea operations/shore station For now: – Prices for DU x 1.5 (to correct for test setups, VAT, lower bulk-price-reduction, …) – Prices for seafloor network and shore station infrastructure: extrapolated from KM3NeT-Toulon proposal  approx. 40 DUs for 40 M€

19. Annex 4 - Contributions Prelim list made Also detailed list ItemInstituteTotal investment 2012-2017 Total fte year 2012-2017 Shore station infrastructure Seafloor network Deployment vessels ROVs Sea operations DOM assembly sites DU integration sites Data centres PMTs Readout/DAQ Optical network Calibration Test setups Simulations Reconstructions Operational services

20. Annex 7 - Milestones

21. Two stages: – Preparation (2012-2013) Simulations  detector geometry  Review Evaluation PPM  PM description  Technical Proposal  Review Seafloor networks at C-P and Toulon available 2DUs connected  production readiness review – Construction (2014-2015) 27 DUs in C-P 2 DUs in Toulon 9 to increase science performance for Gal. Sources More DUs if costs reductions realised or additional funding forthcoming DateTDR 3Q2012Optical module Detection unit mechanics Calibration system 4Q2012Backbone cable system Readout/DAQ system Shore station infrastructure ??Seafloor network system Staged Technical Proposals

22. Annex 6 Organisation

23. Science and Technology Advisory Committee QA/QC Manager Physics Coordinator (elected) Technical coordinator (elected) Earth & Sea Sciences (appointed) Logistics Manager (appointed) Install. Site Managers (appointed) Deputy spokesperson (elected) Spokesperson (chair) (elected) Institute Board (chair elected) Executive Management Team Coordinators of Software and Physics activities Publication Committee Conference and Outreach Committee Safety Manager Resource Manager Coordinators DOM assembly sites Coordinators DU integration sites Coordinator readout/DAQ Technical Steering Committee Physics and Software Steering Committee Management local infrastructures Local shore station Local seafloor network Local sea operations Coordinators R&D projects International Resource Board Local Seabed Infrastructure coordinators

24. Management Elections Search committee nominated: P. Coyle, E. de Wolf, I Siotis, M. Tauiti Define the members of the IB which vote Define the election rules Consult with the Collaboration, encourage candidates to put themselves forward Date for candidates to be declared - 1 st April Date of the election - 15 th April