Second Project Periodic Report

FAIR-Preparatory Phase - Second Project Perioduc Report – October 2010

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PROJECT PERIODIC REPORT

Grant Agreement number: 211382

Project acronym: FAIR-PP

Project title: FAIR Preparatory Phase

Funding Scheme: CP & CSA

Date of latest version of Annex I against which the assessment will be made: 10 Dec 2009

Periodic report: 1st □ 2nd □ 3rd □

Period covered: from 01 Feb 2009 to 31 July 2010

Name, title and organisation of t he scientific representative of the project's coordinator: Dr. Florian Weissbach

Tel: +49.6159.71-1426

Fax: +49.6159.71-3916

E-mail: [email protected]

Project website address: http://fp7.fair-center.eu (as of 2011)

http://fair-center.eu/EU-Project.263.0.html?&L=0

FAIR-Preparatory Phase - Second Project Periodic Report – October 2010

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Declaration by the scientific representative of the project coordinator I, as scientific representative of the coordinator of this project and in line with the obligations as stated in Article II.2.3 of the Grant Agreement declare that: The attached periodic report represents an accurate description of the work carried out in

this project for this reporting period;

The project (tick as appropriate):

□ has fully achieved its objectives and technical goals for the period;

□ has achieved most of its objectives and technical goals for the period with relatively minor deviations;

□ has failed to achieve critical objectives and/or is not at all on schedule. The public website is up to date, if applicable.

To my best knowledge, the financial statements which are being submitted as part of this report are in line with the actual work carried out and are consistent with the report on the resources used for the project (section 6) and if applicable with the certificate on financial statement.

All beneficiaries, in particular non-profit public bodies, secondary and higher education establishments, research organisations and SMEs, have declared to have verified their legal status. Any changes have been reported under section 5 (Project Management) in accordance with Article II.3.f of the Grant Agreement.

Name of scientific representative of the Coordinator: Dr. Florian Weissbach

Date: 31 October 2010

Signature of scientific representative of the Coordinator: ................................................................


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1. Publishable summary Project acronym: FAIR-PP Project title: Fair Preparatory Phase Grant agreement No.: 211382 Project start: 01 August 2007 Project end: 31 January 2012 Website: http://fp7.fair-center.eu (as of 2011) Introduction FAIR, the "Facility for Antiproton and Ion Research" is a particle accelerator complex which will be set up in Darmstadt, Germany, as a joint effort of 16 countries. FAIR will give up to 3,000 physicists and other scientists from Europe and from across the world the possibility to conduct cutting-edge research in five fields: physics of the structure of atomic nuclei, physics of antimatter, physics of nuclear matter under extreme conditions, plasma physics, physics of the atomic shell, as well as in related applications. FAIR is the largest research infrastructure on the ESFRI Road Map (European Strategy Forum for Research Infrastructures) and, together with the ESRF upgrade, the ILL upgrade, SPIRAL-2, and XFEL, one of the pioneering projects from the Road Map. The primary goal of the "FAIR Preparatory Phase" project presented here is the implementation of the project. The work plan aims at legal and financial matters, at governance and management structures, and at research and accelerator coordination. One of the most important milestones within the "FAIR Preparatory Phase" will be the incorporation of FAIR GmbH, the future project owner entity, a limited liability company under German law with international shareholders. This incorporation is planned for 04 October 2010, the date when the FAIR Convention will be signed in Wiesbaden, Germany. The FAIR project The facility: FAIR is an integrated system of particle accelerators which will provide high -energy and high-intensity beams of atoms of all stable and unstable chemical elements (from hydrogen to uranium) with unprecedented quality. Moreover derived beams of short-lived atoms and antiproton beams will be available. FAIR will enable its user communities to carry out forefront research. Background: The concept for FAIR, planned for construction adjacent to the GSI site in Darmstadt, Germany, has been collaboratively developed by an international research community. Under the leadership of the GSI Helmholtzzentrum für Schwerionenforschung, this community presented a Conceptual Design Report (CDR) in the year 2001. Following an in-depth evaluation by the German Scientific Advisory Committee, in the year 2003 the German Federal Government announced approval of the project, with Germany providing up to 75% of the projected funding. 15 further countries expressed their commitment for FAIR through a Memorandum of Understanding and through individual Declarations. About 2,600 scientists and engineers from 44 countries participated in the consolidation of the project which led to a scientific baseline programme that will make FAIR a leading research centre in several disciplines of fundamental and applied physics research. The resulting design of the accelerator complex will guarantee the competitiveness and discovery potential of FAIR for decades to come. In March 2006, all aspects of FAIR were defined by the "FAIR Baseline Technical Report" (FBTR), consisting of 3,600 pages. In the preparatory phase many R&D projects have been carried out and a detailed design has been developed. Many


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of these projects received significant funding by the European Commission under the Sixth and Seventh Framework Programmes (FP6 and FP7). What’s new? FAIR has a broad scientific scope allowing frontier research in different fields of physics:

► Physics of the structure of atomic nuclei: The atomic nucleus is a manifestation of the strong interaction. But also the other interactions, the weak, the electromagnetic interaction and gravitation (in neutron stars), are present in nuclei. That makes the nucleus a unique physics "laboratory". Despite gravity being very weak, together with the strong interaction it dominates the evolution of the universe. FAIR will deliver high-luminosity rare-isotope (secondary) beams for these studies. These beams are produced by directing a primary ion beam on a production target. A fragment separator subsequently selects the desired isotopes from the reaction products.

► Physics with antimatter (antiprotons): Collisions of protons with anti-protons, performed at FAIR's high-energy storage ring, provide an excellent "microscope" to study the strong interaction. The strong interaction predicts a number of so far undiscovered particles which will be quested by FAIR's PANDA detector. This detector will measure masses and lifetimes of these and other particles consisting of strange and charm quarks with unprecedented precision.

► Basic research on nuclear matter under extreme conditions: The fundamental constituents of the strong interaction, quarks and gluons, always come in "confined" configurations. But when temperatures rise and particle densities increase confinement can be overcome and a new state of matter arises: the quark gluon plasma (QGP, a state of the early universe just after the big bang).

► Matter under extreme conditions - classical dense plasmas: Another kind of plasma is produced when ordinary matter undergoes extreme pressures. The resulting plasma (a mixture of free electrons and the free-floating ions) might e.g. be found inside giant planets like Jupiter. Further opportunities for plasma physics arise in connection with inertial confinement fusion. FAIR will study these plasmas by means of a unique and unmatched combination of highly-bunched particle beams and high-duty lasers.

► Physics of the atomic shell: FAIR will test the most accurate field theories under extreme conditions in highly-charged heavy ions. Moreover the relationship between ordinary matter and antimatter will be studied by producing e.g. antimatter-molecules.

In addition to the basic science research, applications like radiobiological risk assessments for manned space missions will be studied at FAIR. For energy production based on inertial confinement fusion, the plasma physics studies will provide insight into the fundamental physics questions of this method. FAIR project status: The current planning foresees that FAIR GmbH will be incorporated inOctober 2010 . FAIR project duration: Construction is projected to begin in the year 2011/12. The facility1 shall be set up by the year 2018. FAIR budget: The FAIR construction costs (capital expenditures including in-kind contributions) are 1,020 M€ in 2005 price levels. In addition manpower equivalent to 1,950 person-years will be required. FAIR partner countries: Austria, China, Finland, France, Germany, Greece, India, Italy, Poland, Romania, Russia, Slovakia, Slovenia, Spain, Sweden, United Kingdom2

1 “Facility” refers to the Modularised Start Version as defined through a Green Paper adopted by the FAIR International Steering Committee.


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Partner institutions: More than 250 research institutions from 44 countries The FAIR Preparatory Phase project The FAIR Preparatory Phase projects aims at the implementation of the project. While the most important milestone within FAIR-PP will be the incorporation of FAIR GmbH, this project also aims beyond. Within FAIR-PP, currently the project team for FAIR, the "FAIR Joint Core Team", prepares the incorporation of FAIR GmbH and, together with the representatives of the FAIR partner countries, works towards the finalisation of the legal documents. FAIR-PP Consortium:

► GSI Helmholtzzentrum für Schwerionenforschung (Germany)

► Forschungszentrum Jülich (Germany)

► Bundesministerium für Bildung und Forschung (Germany)

► Istituto Nazionale di Fisica Nucleare for the Ministry of Research and University of Italy (Italy)

► Österreichische Akademie der Wissenschaften (Austria)

► Bundesministerium für Wissenschaft und Forschung (Austria)

► University of Jyväskylä, Department of Physics (Finland)

► Helsinki Institute of Physics for the Ministry of Education of Finland (Finland)

► Uppsala University, Department of Nuclear and Particle Physics (Sweden)

► Swedish Research Council (Sweden)

► Consejo Superior de Investigacines Científicas (Spain)

► Ministry of Education and Science (Spain)

► National Institute of Physics and Nuclear Engineering (Romania)

► Autoritatea Nationala Pentru Cercetare Stiintifica (Romania)

► State Scientific Center of the Russian Federation (Russia)

► Commissariat à l'Energie Atomique, Direction Sciences de la Matiere (France)

► Ministère Délégué à la Recherche(France)

► Uniwersytet Jagiellonski (Poland)

► Swietokrzyska Academy, Institute of Physics (Poland)

► Ministry of Science and Higher Education (Poland)

► Queen's University, Department of Physics and Astronomy (UK)

► Science and Technology Facilities Council (UK)

► Variable Energy Cyclotron Center, Department of Atomic Energy (India)

► Department of Science and Technology, Government of India (India)

2 The first batch of countries that will sign the FAIR Convention on 04 October 2010 will be Finland, France, Germany, India, Poland, Romania, Russia, Slovenia, Spain, and Sweden.


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Figure – The FAIR accelerator structure. The existing GSI facility (shown in blue) will serve as an injector for the planned FAIR facility (shown in red). The existing UNILAC and the SIS18 will be upgraded in order to produce high intensity primary ion beams. SIS100 and SIS300 will further accelerate these beams. Because of its multi-purpose structure FAIR allows for a broad range of research projects (see project description), e.g. the so-called CBM experiment. CBM will study the physics of nuclear matter at highest densities (QGP). Towards the "Super Fragment Separator" (Super-FRS), the high intensity secondary beams will be produced by directing the primary beams on a production target. The Super-FRS then selects the ions for the secondary beam. In the High Energy Storage Ring (HESR) physics with antiprotons will be carried out.


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2. Project objectives for the period Under the supervision of the FAIR International Steering Committee (FAIR-ISC) and accompanied by the working group on Scientific and Technical Issues (STI), the scientific and technical preparations of the project have been evaluated and completed. They are compiled in the comprehensive "FAIR Baseline Technical Report" (http://www.gsi.de/fair/reports/btr.html). The administrative preparations for FAIR have been advanced by the working group for Administrative and Funding Issues (AFI) and by the members of the FAIR Joint Core Team. This comprises the preparation of all necessary legal and contractual documents for the establishment of FAIR GmbH, owned by international shareholders representing the FAIR Member States. AFI has prepared final draft versions of the Convention, the Articles of Association and the Final Act. Other relevant legal documents still have to be finalized once the FAIR GmbH and Council as its highest decision making board is established.3 The goal of this EU project is the "implementation of the FAIR project". For reaching this goal, important preparations for the successful construction and the later operation of the FAIR facility were performed. Clearly,the most important milestone of this EU project is the signing of the Final Act and of the Convention, the intergovernmental agreement, which will be implemented with the incorporation of a limited liability company, FAIR GmbH.4 With the funding of the personnel of the FAIR Joint Core Team by the EC, it is possible to build up promptly the international project team which carries out all activities, which still have to be successfully completed for the implementation of the FAIR project. This includes also important activities within the start-up phase of the FAIR GmbH, such as completion of basic legal documents of FAIR GmbH and follow-ups (financial statutes, general conditions), implementation of by-laws, development of the contract management for FAIR GmbH and the business management contract with GSI, support to FAIR council, international in-kind management, project financial planning, implementation of line-management structure of FAIR GmbH, implementation of FAIR project management, financial management and controlling, and the coordination of experiments and accelerator projects. No technical work packages are included in this project. The ministries or funding agencies of twelve FAIR MoU signatory countries are contractors of this EU project. The ministries express with their participation that they actively work on the goals of the work packages. This demonstrates the governmental interest in the final objective of this EU project, which is the realisation of the FAIR project. The ministries of Italy and Finland have nominated research organisations (INFN, UH) to participate on their behalf.

3 Please take not that the FAIR Convention has been signed in Wiesbaden (Schloss Biebrich) on 04 October 2010 by nine countries. On the same day FAIR GmbH has been incorporated with five initial shareholders representing six countries. Since this Project Periodic Report covers only the period from February 2009 to July 2010 this significant progress cannot fully be reflected in this report. 4 As stated in the footnote above this important milestone has been reached on 04 October 2010.


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The activities, subject to this EU project, are performed by the FAIR Joint Core Team (FJCT) which includes international members from the 14 participating research institutions. Members of FAIR Joint Core Team will pass over into FAIR GmbH upon its formal establishment. There are no recommendations from previous reviews.


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3. Work progress and achievements during the period 3.1 – WP2: Legal Issues Contractual settlements during the pre-formation phase This task includes contracts with third parties' services supporting the FAIR project management and controlling (steering) as well as contracts related to technical work packages. Project manager and project planner for civil engineering project controller The respective organisational units at GSI, e.g. the purchasing department and FAIR civil construction, have investigated the necessary steps and developed the contract for the project manager and project planner for civil construction and for the project controller. The purchasing department of GSI issued an invitation to tender. GSI accepted the tender of Drees & Sommer GmbH. Since October 2007 Drees & Sommer is the responsible project manager and project planner for FAIR civil engineering as well as the project controlling. Drees & Sommer is responsible for the project managing for both aboveground and underground buildings and the technical infrastructure of buildings. Dress & Sommer is furthermore responsible for the coordination with all involved parties. As a project controller Dress & Sommer is in authority to monitor the construction progress versus the goals as well as deadlines and cost targets. Consultancy contracts GSI has issued a job advertisement for a legal adviser for FAIR GmbH. The legal adviser shall support the Head of Administration of FAIR GmbH with the timely advice on all legal matters including contracts, commercial issues, governance and regulation. The legal adviser will act as an advisor to the Head of Administration and other members of the Management Board in all legal matters including, but not limited to, contracts. The legal adviser will analyse and prepare documents to be submitted to the Management for decision; review and propose updates to the FAIR corporate documents as needed; work with the Management on special projects such as policies and procedures; handle specific legal issues for the Management as required as well as oversee FAIR's consult-ants and attorneys and establish and administer the contract management system. GSI has also issued an invitation to tender to find an appropriate law firm that shall sup-port FAIR GmbH in the future. It is planned to conclude a framework contract for three to five years. The law firm shall offer legal support on an individual basis in cases which are not appropriate for the FAIR legal adviser. Service contracts related to technical work packages of FAIR project A business management contract between FAIR GmbH and GSI has been drafted. Through this contract FAIR GmbH will entrust GSI with measures and transactions concerning the business of the construction, the commissioning and the operation of the


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FAIR accelerator facility, administrative business and technical support business. This includes that GSI will perform several different services for FAIR GmbH for example services concerning purchase or human resources. This draft has been presented for approval on the 30th Meeting of the AFI-Working Group for FAIR on 24 August 2010.


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3.2 – WP3: Financing and in-kind management Within the period covered by this report considerable progress was achieved in (a) preparing the financial management and reporting and the necessary tools; and (b) in defining and rendering more precisely the Expressions of Interests (EoIs) for the FAIR accelerators as defined in the Green Paper in autumn 20095. Financial management FAIR GmbH will be embedded into a complex project structure. The financial activities at FAIR GmbH will be carried out by the finance division and by the controlling and resource planning6 division. In addition FAIR GmbH will need an internal audit7 unit. The finance division will be assigned mostly with the reporting within the framework of the German Commercial Code (HGB). The actual booking will be done by the finance division (FA) at GSI. More details can be found below. Management accounting will be carried out by the controlling and resource planning (CRP) division. In addition to management accounting CRP will be assigned with financial planning, and with financial analysis, and will frame, monitor, and steer the financial management processes and elaborate a number of the financial reports. More details can be found below. The internal audit unit will carry out financial and operational audits, system and compliance audits. Details are given below. Finance division (F) The following activities will be carried out by the FAIR finance division, together with GSI’s finance division. F.0 – General: The finance division will build up and maintain all financial instruments. These financial instruments comprise the chart of accounts, the statement of financial condition / balance sheet, and the income statement / profit and loss account. F.1 – Treasury: In view of its large user communities FAIR GmbH may need a cash point. F.2 – Financial accounting: Accounting, year-end accounts, and reports. F.2.1 – Financial accounting – cash flow reporting F.2.1.1 – Payment transaction clearing (Abwicklung Zahlungsverkehr) F.2.1.2 – Raising of credit (Kreditaufnahme) F.2.1.3 – Loan repayment (Kreditrückzahlung) F.2.1.4 – Liquidity monitoring (Liquiditätsüberwachung) F.2.1.5 – Preparation of cash budget (Aufstellen des Liquiditätsplans) F.2.2 – Asset accounting – Fixed assets reporting F.2.2.1 – Inventory of all fixed assets (Inventarisierung sämtlicher Anlagen) F.2.2.2 – Separate inventory of contributions in kind (Inventarisierung der Sachbeiträge) F.2.2.3 – Buildup and maintenance of asset master F.2.2.4 – Determination of depreciation (Bestimmung der Ist-AfA) 5 The so called Green Paper defines the Modularise d Start Version of the FAIR project. The layout of the modules is described in details in Sec. 3.6. 6 Including monitoring and reporting for funding from third parties as e.g. European Commission. 7 Including compliance functions.


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F.2.2.5 – Recording of asset acquisitions and disposals F.2.2.6 – Preparation of summary of fixed assets (Anlagenspiegel) and asset history sheet F.2.2.7 – Preparation of inventory file (Inventarbestandsübersicht) F.2.3 – Accounts receivable accounting – Reporting of receivables F.2.3.1 – Invoice processing (Fakturierung) F.2.3.2 – Booking of outgoing invoices (Buchung Ausgangsrechnungen) F.2.3.3 – Tracing of debt claims (Verfolgung der Forderungsentwicklung) F.2.3.4 – Tracing of payment receipts (Verfolgung der Zahlungseingänge) F.2.3.5 – Dunning process (Mahnwesen) F.2.3.6 – Buildup and maintenance of client base (Debitorenstamm) F.2.3.7 – Troubleshooting with clients F.2.4 – Accounts payable accounting – Reporting of liabilities / accounts payable F.2.4.1 – Verification and booking of incoming invoices F.2.4.2 – Tracing of liabilities (Verfolgung Verbindlichkeiten) F.2.4.3 – Tracing of outgoing payments (Verfolgung Zahlungsausgänge) F.2.4.4 – Buildup and maintenance of supplier base (Kreditorenstamm) F.2.4.5 – Troubleshooting with suppliers F.2.5 – Reconciliation of German Commercial Code accounting with public budget legislation (Überleitung von HGB auf Haushaltsrecht) – cameralistic accountancy report F.2.6 – Year-end accounts and reports (Jahresabschluss) F.2.6.1 – Preparation of financial statement / statement of financial condition (Bilanz) F.2.6.2 – Preparation of income statement (GuV) F.2.6.3 – Preparation of annual report according to public budget legislation (Haushaltsrechtlicher Jahresbericht) Controlling and resource planning division (CRP) Based on input from the finance division as well as on external input CRP carries out the following activities: C.0 – General: Conception and buildup of controlling tools and development of ERP system requirements. C.1 – Planning: Forecast and budget C.1.1 – Short-, medium-, and long-term resource planning (Forecast) C.1.1.1 – Resource evaluation of the FAIR scientific programme for next five years covering experiments, accelerators, site and buildings, other infrastructure, and technology transfer (MTFE) C.1.1.2 – Evaluation of financial prospects for long-term future scientific programmes (MTFE plus other reports) C.1.1.3 – Third-party funding (e.g. EC contributions) C.1.1.4 – Cost indices (Inflationsindizes) C.1.1.5 – Calculation of Member State contributions (construction and operation) C.1.2 – Planning and budget C.1.2.1 – Ensure internal budget allocations and budget controlling by organic unit, by nature, by programme, project, and activity. C.1.2.2 – Budget coordination C.1.2.3 – Define, implement, and harmonise planning process through the Organisation and the project via planning tools C.1.2.4 – Tangible means planning (Sachmittelplanung) C.1.2.5 – Investment planning (Investitionsplanung) C.1.2.6 – Budget planning for human resources (Budgetplanung für Personal)


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C.1.2.7 – Income planning (Einnahmenplanung) C.1.2.8 – Liquidity planning as default for liquidity monitoring in the finance division C.1.2.9 – Budget preparation for cost objects (e.g. cost centres) (Budgeterstellung) C.1.2.10 – Budget adjustments (Budgetanpassungen) C.2 – Management accounting: Cost centres, cost units, and tools. C.2.1 – Ensure maintenance of the financial structure in the financial systems in close collaboration with the IT services and the departments. C.2.2 – Cost-type accounting (Kostenartenrechnung) C.2.2.1 – Buildup and maintenance of cost account list (Kostenartenplan) C.2.2.2 – Aggregation of cost types (Kostenartengruppen) C.2.2.3 – Statistical accounts, accruals (Statistische Konten, Abgrenzungen) C.2.2.4 – Virtual bookings for expected commitments (“pipeline” with high probability of becoming commitments) C.2.3 – Cost-centre accounting (Kostenstellenrechnung) C.2.3.1 – Buildup and maintenance of cost centres along organisational units C.2.3.2 – Definition of cost-centre managers C.2.3.3 – Representation of costs along cost centres C.2.4 – Cost-unit accounting (Kostenträgerrechnung) C.2.4.1 – Definition and maintenance of cost units C.2.4.2 – Aggregation of cost units (Auftragsgruppen) C.3 – Information and services: Management and steering information C.3.1 – Reporting (Berichtswesen) C.3.1.1 – Project budget reports and budget status reports for Departments and partners C.3.1.2 – Project cost reports for Departments and partners C.3.1.3 – Project progress reports (OFE and other reports) C.3.1.4 – Cost centre reports C.3.1.5 – Determination of cost-accounting depreciation C.3.1.6 – Reporting on contributions from Member States (construction and operation) C.3.1.7 – Year-end results, input for Management Report C.3.1.8 – Preparation of MTFE, updates, indexation C.3.1.9 – (Draft) Budget Proposals (part of MTFE) C.3.1.10 – Provisional Out-turn Forecast C.3.1.11 – Report on Cost Indexation and Contributions C3.1.12 – Information on and Justification of Transfers and other Budget Changes C.3.1.13 – EVM reports C.3.1.14 – Active participation in FAIR governance and project committees C3.2 – Performance figures and analyses C3.2.1 – Conception, implementation, and maintenance of project-wide earned-value management (tools and data taking) C3.2.2 – Conception, implementation, and maintenance of project-oriented performance figures (e.g. adherence to delivery dates), also project-wide C3.2.3 – Project-wide target-performance comparison C3.2.4 – Project-wide deviation analyses (Abweichungsanalysen) C3.2.5 – Project-wide weak-point analyses (Schwachstellenanalysen) C3.2.6 – Project-wide risk analyses coverning financial and non-financial aspects (e.g. SWOT analyses) C3.2.7 – Project-wide ad-hoc analyses to Directors C.3.3 – Year-end reports C.3.3.1 – Master summary sheet (Betriebsabrechnung) C.3.3.2 – Contributions to year-end report


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C.3.3.3 – Participation in the reconciliation of German Commercial Code accounting to public budget legislation (Überleitung von HGB auf Haushaltsrecht) C.3.3.4 – Quarterly target-performance comparison (Quartalsabschluss) Reporting This section provides some details on the reporting provided by the controlling group described in the previous section under the last heading “C.3 – Information and Services”. The following reports are planned / mandatory : Year-End Results (n – 1) Medium-Term Financial Estimates covering years (n + 1) to (n + 5) Provisional Out-Turn Forecast n Report on Cost Indexation and Contributions Information on and justification of transfers and other budget changes Overall Financial Estimates Budget Status Reports for Departments and partners Earned Value Analyses Council may in the future decide to shift the reporting towards results-based reporting. In this framework the reporting is focused rather on activities (and goals) and results than on departments and projects which are less strategic than activities. Moreover the department structure can be changed by Management (possibly implying changes in the headings of the financial reports) while the overall activities and goals are set by Council and are more strategic. Templates and data models are available for all the reports mentioned above. Internal audit (IA) A draft audit plan of FAIR GmbH will be elaborated by the internal audit unit each year in January and will be submitted to the Director for approval (by February). Mandatory audits shall be those annual audit certificates required (i) by the German Commercial Code, (ii) by the German regulations for legal entities owned by the public hand, and (iii) the mandatory audit certificates as demanded by the FAIR Financial Rules. The Director may assign additional mandatory audits. The internal audit unit is free to suggest – in addition to the mandatory audits – any additional topics, projects (including technical projects), functions, and or units of FAIR GmbH for audit inspection. Suggestions for additional audits from the internal audit unit to the Director shall be based on an annual risk analysis (see Annex P for a template and a suggestion of a list of additional audits). Ad hoc audits in addition to the activities put down in the audit plan may be carried out as required and approved by the Director. The annual audit plan may comprise the following activities but is certainly not limited to them: I.0 – General: I.0.1 – Consulting covering business, management, technical, and organisational issues I.0.2 – Corruption prevention I.0.3 – Risk assessment


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I.0.4 – Conception, build-up, and maintenance of an internal auditing system (IKS) The IKS consists of systematic organisational measures and checks within the Organisation to ensure compliance with regulations and to prevent the Organisation from harm inflicted both from inside and from outside the Organisation. The basic principles are:

• Transparency: The Organisation needs concepts for all processes such that compliance with these processes can be checked by auditors.

• Four-eyes principle: All significant processes are double checked. • Functional separation: For each significant process executive tasks, accounting

tasks, and administrative tasks shall be carried out by different people in different units.

• Minimal information: Access to data is granted only on a need-to-know basis. I.1. – Audits I.1.1 – Audits on behalf of Director: I.1.1.1 – Allowances and travel costs settlements of the management I.1.1.2 – Audit certificates for projects funded by Third Parties (e.g. FP6, FP7) I.1.1.3 – Inspection of activities under the Business Management Contract I.1.2 – Controlling and accounting: I.1.2.1 – Inspection of master data (Visakontrolle) I.1.2.2 – Cash audit I.1.2.3 – Inspection of royalty statements (Honorarabrechnungen) I.1.2.4 – Balance confirmation of creditors and debitors I.1.2.5 – Inspection of outgoing payments (correctness, timeliness, discounts, booking of taxes, signing-off) I.1.2.6 – Budget monitoring and controlling I.1.3 – Purchasing: I.1.3.1 – Contract review, delivery dates I.1.3.2 – Follow-up on tendering and procurement I.1.3.3 – Inspection of awards to employees’ businesses I.1.4 – Personnel issues: I.1.4.1 – Travel costs including taxation I.1.4.2 – Pay-scale classification (Eingruppierung) I.1.5 – Site and buildings, accelerator, experiments: I.1.5.1 – Construction projects I.1.5.2 – Contributions in kind I.1.5.3 – Contract review I.1.5.4 – Compliance with rules and regulations I.1.5.5 – In-kind contribution committees and review boards I.1.5.6 – Inspection of acceptance procedures (both for in-kind contributions and for acquisitions) Some of these activities will imply access to financial data at GSI and / or Third Parties. Access issues concerning GSI should be included in the Business Management Contract between FAIR GmbH and GSI. External audits The internal audit unit shall support external auditors auditing FAIR GmbH as defined in the Charter. External auditors for FAIR GmbH shall include at least an external auditing


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firm (Wirtschaftsprüfer) appointed by FAIR GmbH, the German Federal Court of Audit (BRH – Bundesrechnungshof), the European Court of Auditors (ECA) in case EU projects are carried out by FAIR GmbH, and external auditing firms mandated by said institutions.

• The external auditing firm appointed by FAIR GmbH shall audit the Year-End Accounts and Report and the Cameralistic Accountancy Report .

• External audits by the German Federal Court of Audit may cover all issues of the Organisation.

• The European Court of Auditors (ECA) or external auditors mandated by the ECA shall audit the Organisation’s financial statements from EU projects in which FAIR GmbH may have entered as a beneficiary.

The support to the external auditors (including BRH and ECA) by the internal audit unit shall comprise the provision of all necessary documents and audit certificates issued by the internal auditor and support concerning the cameralistic accountancy rules. The internal audit unit shall coordinate its work with the external auditors. Via its internal time reporting system the internal audit unit shall keep track of its support to external auditors, for the purpose of reporting to the Director.


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WP3-Deliverables D3.1 List of shareholders of FAIR GmbH Shareholder Country / countriesGSI Helmholtzzentrum für Schwerionenforschung GmbH Germany ROSATOM Russia Swedish Research Council Finland, Sweden Republic of Slovenia, Represented by the Government of the Republic of Slovenia Slovenia

National Authority for Scientific Research (Autoritatea Nationala pentru Cercetare Stiintifica) Romania

More countries plan acceding FAIR within the next twelve months.


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D3.2: Mid- and long-term financial planning The FAIR Convention and the FAIR Financial Rules define the international reporting for FAIR Council. Apart from budgets two main reports are foreseen: The Medium-Term Financial Estimates (MTFE) and the Overall Financial Estimates (OFE). The MTFE covers a governance window ranging from year (n – 1) to (n + 4) and is first due four years before the end of the construction period. The OFE covers the entire construction period. The following tables show the up-to-date financial data and estimates.

Overview of Expenses and RevenuesEscalated pricesk€

Commit. Paym. Commit. Paym. Commit. Paym. Commit. Paym. Commit. Paym.

Accelerator 8.901 8.901 6.950 6.950 14.213 14.213 91.308 16.280 35.726 20.965Personnel* 1 8.901 8.901 6.830 6.830 13.968 13.968 12.494 12.494 12.821 12.821Recurrent 2 0 0 120 120 245 245 470 470 864 864

Operating costs 0 0 0 0 0 0 0 0 0 0Other recurrent costs 0 0 120 120 245 245 470 470 864 864

Capital 3 0 0 0 0 0 0 78.344 3.316 22.041 7.280Construction (Accelerator) 0 0 0 0 0 0 78.344 3.316 22.041 7.280

thereof in cash 0 0 0 0 0 0 78.344 3.316 22.041 7.280thereof in kind (without personnel in-kind) 0 0 0 0 0 0 0 0 0 0

Development 0 0 0 0 0 0 0 0 0 0

Experiments and scientific programme 4.579 4.579 143 143 661 661 1.039 1.039 1.111 1.111Personnel 4 0 0 118 118 561 561 817 817 833 833Recurrent 5 0 0 25 25 100 100 222 222 277 277


Capital 6 4.579 4.579 0 0 0 0 0 0 0 0Construction (Experiments) 4.579 4.579 0 0 0 0 0 0 0 0

thereof in cash 4.579 4.579 0 0 0 0 0 0 0 0thereof in kind 0 0 0 0 0 0 0 0 0 0

Development 0 0 0 0 0 0 0 0 0 0

Technical infrastructure 17.756 8.515 598 4.127 66.151 18.585 128.220 22.616 124.978 67.418Personnel 7 0 0 196 196 821 821 960 960 1.000 1.000Recurrent 8 0 0 41 41 171 171 271 271 339 339


Capital 9 17.756 8.515 360 3.889 65.159 17.593 126.988 21.385 123.639 66.079

Construction 17.756 8.515 360 3.889 65.159 17.593 126.988 21.385 123.639 66.079Development 0 0 0 0 0 0 0 0 0 0

Management and administration 0 0 640 640 2.863 2.863 3.198 3.198 3.514 3.514Personnel 10 0 0 491 491 2.043 2.043 2.329 2.329 2.417 2.417Recurrent 11 0 0 120 120 545 545 769 769 997 997Capital 12 0 0 29 29 275 275 100 100 100 100

Total personnel 8.901 8.901 7.635 7.635 17.393 17.393 16.600 16.600 17.072 17.072

Total recurrent 0 0 306 306 1.061 1.061 1.732 1.732 2.477 2.477Operating costs 0 0 0 0 0 0 0 0 0 0Representation costs 0 0 0 0 0 0 0 0 0 0Other recurrent costs 0 0 306 306 1.061 1.061 1.732 1.732 2.477 2.477

Total capital 22.335 13.094 389 3.918 65.434 17.868 205.432 24.801 145.780 73.459Invest < 2.5 M€ 0 0 29 29 275 275 100 100 100 100Invest > 2.5 M€ 22.335 13.094 360 3.889 65.159 17.593 205.332 24.701 145.680 73.359

Grand total 31.236 21.995 8.330 11.859 83.887 36.321 223.764 43.132 165.329 93.007

By t

itle

s

Spent on behalf

Oct 2010

By m

ajo

r a

cti

vit

ies

See f

act

sh

eets Budget

proposal2011

Budgetproposal

2010 (as of Oct)of FAIR before

Estimatesfor

2012

Estimatesfor

2013


19

D3.3: Accelerator EoIs Overview of accelerator EoIs. The components that will not be provided in kind (“white spots”) will have to be acquired by FAIR GmbH. Currently the “white spots” sum up to 60M€, plus the items covered by EoIs from Russia. However, this amount will decrease as soon as all the necessary information from the Shareholders and / or In‐Kind Providers (IKPs) is available.

Commit. Paym. Commit. Paym. Commit. Paym. Commit. Paym. Commit. Paym.

Shareholders' contributions 13 31.236 21.995 8.330 11.859 83.887 36.321 223.764 43.132 165.329 93.007Carry-forwards 0 0 0 0 0 0 0 0 0 0New (in cash) 22.335 13.094 1.654 5.183 70.536 22.969 212.002 31.370 153.566 81.245New (in kind) 8.901 8.901 6.676 6.676 13.352 13.352 11.762 11.762 11.762 11.762

Other contributions (Convention Art. 8) 14 0 0 0 0 0 0 0 0 0 0

Other revenues 15 0 0 0 0 0 0 0 0 0 0Sales, licences 0 0 0 0 0 0 0 0 0 0Scientific collaboration 0 0 0 0 0 0 0 0 0 0

EU Framework Programmes 0 0 0 0 0 0 0 0 0 0Other third-party funding 0 0 0 0 0 0 0 0 0 0

Miscellaneous 0 0 0 0 0 0 0 0 0 0

Grand total 31.236 21.995 8.330 11.859 83.887 36.321 223.764 43.132 165.329 93.007

Spent on behalf Budget Budget Estimates Estimatesproposal for for

2008/9 2010 2011 2012 2013

See f

act

sh

eets

of FAIR proposal


20

3.3 – WP4: Governance Overview During the second reporting period significant progress towards the signing of the FAIR Convention and the establishment of the FAIR GmbH has been made. The legal documents (Convention with all annexes and the Final Act) have been finalized and are now being translated into five languages.8 The second reporting period saw a refinement of the legal documents and the consolidation of the design of the facility and the budget for its construction. This consolidation is described in the so called Green Paper which is described further in Sec. 3.6 (WP7). The most important milestones from this work package have been achieved just after the end of the second reporting period and will be reported with the next (third) Project Periodic Report. Committee support Since February 2004 more than 120 meeting of the different FAIR governance-committees and its sub committees and advisory committees have been supported by the FAIR joint core team. The minutes, documents and presentations of the FAIR International Steering Committee (ISC) are archived at: https://www.gsi.de/documents/FOLDER-1080211303.html . FAIR Joint Core Team has organized ten ISC meetings in the reporting period of this EU project. This work included the preparation of draft documents, draft decisions, presentations at the ISC meetings and the preparations of the minutes. Shareholders The issue, who will be the shareholder in the council of the FAIR GmbH once it has been incorporated as a German GmbH ("Limited Liability Company") has been finalised just after the end of the second reporting period and will be reported with the next (third) Project Periodic Report. Legal documents The FAIR Convention and the Final Act have been signed just after the end of the second reporting period. The respective milestones will be reported with the next (third) Project Periodic Report

8 Please note that the translation was successfully finished in August 2010 and the FAIR Convention and the Final Act were signed in October 2010.


21

Liaison This task comprises all liaison activities (administrative, organisational, legal, and official) to the signatory countries of the FAIR MoU, and to the FAIR Member countries. This liaison has been provided by BMBF towards the research ministries of all other countries, by the ISC secretary towards the ISC delegates and by liaison officers in the FAIR JCT toward the scientist and ministries in their countries. FAIR satellite centres The main goals within this task have been achieved already. The FAIR Russia Research Centre (FRRC) has been established in September 2007 in Moscow and the Indo-FAIR Research Centre (IFRC) was founded in February 2009 in Kolkata. WP4-Deliverables No deliverables are due within the second reporting period within this work package. For information only: The important deliverables D4.1 and D4.2 (both due by month 48) have been achieved just after the end of this (second) reporting period.


22

3.4 – WP5: FAIR Organisational and Management Structures Summary During the second reporting period a lot of processes towards the formation of the line-management structure and the project management structure for the FAIR GmbH were finalised and many position were published. Line-management at FAIR GmbH The line-management structure for FAIR GmbH has been finalised and a pproved by the Management Board of FAIR GmbH i.G..

Fig.: Line-management structure of FAIR GmbH. Colour code: Yellow: Management Board and units reporting to the Management Board. Red: Scientific Director and divisions reporting to Scientific Director. Green: Administrative Director and divisions reporting to the Administrative Director. Blue: Units reporting to the respective Heads of Divisions. No deliverables are due within the second reporting period within this work package.


23

Project-management structure The project management structure for FAIR has been defined.


24

The overall FAIR project is managed operationally by the FAIR project manager, see two Figures above. The project manager coordinates the operational implementation of the three FAIR subprojects

• FAIR Site & Buildings (SAB) • FAIR Experiments (EXP) and • FAIR Accelerators (ACC)

For this purpose the project manager organizes a regular project meeting. The subproject managers of the three individual projects report on the status and progress of the subprojects to the FAIR project manager. The ACC, EXP and SAB subprojects establish their own project structures and each appoint a subproject manager.


25

3.5 – WP6: Experiment coordination Summary A study and preparation of the Modularized Start Version9 (MSV) to the realisation of the FAIR project were the crucial tasks which have been undertaken by FJCT and the Scientific and Technical Issues Working Group (STI) during the reporting period of the 2nd Annual Report. The Start Version as defined in 2007 is now structured along six modules:

• Module 0: Heavy-Ion Synchrotron SIS100, basis and core of FAIR, required for all physics programmes

• Module 1: CBM/HADES cave, experimental hall for APPA and detector calibrations • Module 2: Super-FRS for NuSTAR. • Module 3: Antiproton facility for PANDA, providing further options also for NuSTAR • Module 4: Second cave for NuSTAR, NESR storage ring for NuSTAR and APPA,

building for antimatter programme FLAIR • Module 5: RESR storage ring for higher beam intensity for PANDA and parallel

operation with NuSTAR Based on recent cost estimates and the firm funding commitments of the future FAIR Member States the new Start Version is comprised of Modules 0 to 3, in the following referred to as the “Modularized Start Version” (MSV). This MSV provides for outstanding and world-leading research programmes in all four scientific areas. They will push the frontiers of our knowledge in hadron, nuclear, atomic and applied physics far ahead, with important implications also for other fields in science such as cosmology, astro and particle physics, and technology. The realization of the WP6 tasks was strongly connected with the preparation of the MSV. FAIR experiment coordination A study and preparation of the MSV were carried out in close cooperation with the FAIR experiment collaborations. The FAIR Experiment Spokesperson Meetings and other dedicated meetings were organize to deal with current issues of the FAIR research programme.

• 2nd Meeting of FAIR Experiment Spokespersons, 25 February 2009 Two main topics were discussed: Reports on the FAIR experiments status Limits of the guaranteed contributions to FAIR experiments from the FAIR Partner countries.

• 3rd Meeting of FAIR Experiment Spokespersons, 23 July 2009 The meeting focused on the preparation of the MSV and was concluded with following statements:

9 See Green Paper described in Sec. 3.6 (WP7).


26

1. FAIR Experiment Spokespersons (FES) assembly akes note of the new cost estimate of the FAIR project (given by FJCT in the Green Paper ”The Modularized FAIR Start Version 2009 - A stepwise approach to the realization of FAIR”).

2. FES agrees with a modular approach in the spirit presented in the White Paper. 3. FES shall participate in development of a well balanced scenario which will include

modules 0, 1, 2 and 3 within the available funding (the latest end of August,. 2009) . 4. 4. FES shall participate in development of complete FAIR project when additional

resources become available. 5. FES shall cooperate in preparation of documents/presentation for an independent

assessment of a scientific/technical goals which can be achieve with the modular approach of FAIR project realization (the latest end of August, 2009).

• 4th Meeting of FAIR Experiment Spokespersons, 25 February 2010

The meeting focused on the roadmap to the incorporation of FAIR GmbH. Preparation of the MSV to the realisation of the FAIR project caused a necessity to review the experimental areas dedicated to the APPA community. A several meetings of the APPA experiment representatives with FAIR Research and Civil Construction managements were organized. The representatives of the APPA collaboration agreed to sign off the APPA physics experimental area design. Technical Design Reports. The preparation and evaluation of the FAIR experiment Technical Design Reports is finalised. The summary on this issue is attached as the deliverable D6.2. Support to experiment collaborations The FAIR experiment collaborations are looking forward to including new groups in the FAIR research programme. In order to encourage new groups to participate in FAIR experiments several meetings with potential partners were organised: • CBM China Meeting, Tsinghua University, Beijing, 2-4 November 2009 • Physics with FAIR: Indian Perspective, VECC Kolkata, 8-10 March 2010 • FAIR Workshop in Brazil, Institute of Physics, University of Sao Paulo, 16-17 August 2010 All these meetings caused that new groups from these countries declared interest in FAIR research programme. Moreover, FAIR communities in these countries were established. In order to strengthen information flow between the FAIR Joint Core Team and the FAIR experiment collaborations the representatives of the FAIR Joint Core Team participated in the FAIR experiment collaboration meetings delivering talks on the current FAIR related issues (two meetings per collaboration per year).


27

Review FAIR research programme In order to update the information on the status of the FAIR experiments the 2nd Meeting of FAIR Experiment Spokespersons was organized on 25 February 2009. More recently, as a result of a bilateral exchange of information between the Head of Research and the FAIR experiment spokespersons, a document entitled “status of FAIR experiments” was prepared (attached as deliverable D6.3) The data base on FAIR experiment Collaborations organization is in a finals phase of approval. The Head of Research reported on the FAIR experiments status to the FAIR AFI, STI Working Groups and to the FAIR International Steering Committee. Experiment conditions Based on the Green Paper, new experiment conditions have been elaborated. On 16 October 2009 the International Evaluation Board recommended approval of these rules. The FAIR International Steering Committee approved the Modularized Start Version for construction. The FAIR research is described in the deliverable D6.3 document WP6-Deliverables D6.1 FAIR research programme - Report See Annex. D6.2 Summary of the FAIR experiment TDRs preparations and evaluations – Report See Annex. D6.3 Status of the FAIR experiments - Report See Annex.


28

3.6 – WP7: Accelerator coordination Introduction The work within this work package very much focussed on the finalization of the detailled technical descriptions of the accelerators as well as on the definition of the FAIR Modularized Start Version as defined in the Green Paper. In summer 2009 an increase of the civil construction cost had to be realized, thus a staged approach for the construction of the FAIR facility had to be agreed upon. This situation lead to significant changes within the accelerators for the FAIR facility. As documented in the Green Paper some of the accelerators will be realized in a later stage of the project and some of the accelerators such as the HESR will work in a different set up. In the same way, the planned in-kind contributions of the FAIR partner institutions had to be adopted to the new situation and technical discussions with the partners took place to assure a high level of coverage for the in-kind components for the accelerators and beamlines. To provide a sound basis for those discussions the compilation of the specifications of the components was pushed forward. A constant monitoring of the progress of the establishing of the specifications was formally set-up between the FAIR Joint Core Team and the GSI.


29

Tasks

• Task 7.1 The master schedule for the overall project including data from all three subprojects civil construction, accelerators and experiments was further elaborated. As the data for the civil construction is giving the lead times for the organisation of installations and commissioning of the accelerator components and experimental installations. To arrange a planning for all sub-system it has been defined that the “ready-to-move-in” date, is the point, where the individual schedules of the sub-projects synchronize. The “ready-to-move-in” is defined as this point in time where a building or a machine tunnel can be equipped with accelerator or experiment components. Roughly nine month after this date the installations and site acceptance tests without beam for the accelerator should be finished and commissioning of the machines can start.

D7.3 – Master schedule (also available on the DVD attached to this report)


30

• Task 7.2

The Technical Design Reports have been presented and revised by FAIR Machine Advisory Committee. Especially the adoptions to FAIR Modularized Start Version have been scrutinized by the MAC. Here major work focussed on the anti-proton production/ accumulation line – the RESR as accumulation ring for the antiprotons has been shifted to a later module. Some of the critical items such as the dipole magnets for the SIS100 have been investigated further. D7.1 – Technical Design Reports (TDRs) Available on the DVD attached to this report.

• Task 7.3 Within task 7.3 the implementation of the QAP focused on the compilation of the Technical Guidelines for the accelerator construction. Here and in the Common Specifications (expected to be ready end of 2010) the major quality requirements are defined, that every in-kind contributor as well as any other supplier to the facility has to comply with. For the FAIR Integration Platform it was decided that the call for tender for implementation is delayed. Due to the late establishment of FAIR GmbH, the first in-kind contracts and call for tenders for accelerator components will not become active before spring 2011. Thus the milestone M7.2 was not met. It has to be shifted to May 2011. All preparations to launch the call for tender are finalized, but the call itself was not issued, as the decision was made not to generate cost for licences during a period of time where the platform is not used.

• Task 7.4

The EDMS is up and running. All relevant documentation is transferred in EDMS and a repository of project Documentation is constantly built-up.

• Task 7.5 The FAIR Machine Advisory Committee (MAC) had its regular meetings in March, July 2009 as well as in February 2010. Due to the high complexity of the accelerator complex and with its interfacing to the FAIR civil construction, dedicated meetings have been called: - February and March 2009, April 2010: on the Super-FRS multi-plets - December 2009: on the radiation safety at FAIR - July 2010: Workshop on soil conditions at FAIR


31

D7.9 – MAC TDR reviews Available on the DVD attached to this report.


32

4. Deliverables and milestones tables Deliverables (excluding the periodic and final reports)

TABLE 1. DELIVERABLES

Del. no.

Deliverable name WP no.

Lead benef.

Nature Dissem.

level

Delivery date from Annex I

Delivered Yes/No

Actual / Forecast del. date

Comments

D2.1 Final versions of all documents mentioned in task 2.1 2 1 O CO Month 14 Yes Month 14 See First Project Periodic Report

D2.2 Non-profit certificate for FAIR GmbH 2 1 O CO Month 48 Yes Month 36

Preparation with local authorities completed; so called “verbindliche Auskunft” received. See Annex to this document for a copy.

D2.3 All contracts with service providers as under task 3 2 1 O CO Month 36 Yes Month 36 See Annex for a copy of the draft business

management contract D3.1 List of shares of FAIR GmbH 3 1 O CO Month 48 Yes Month 36 See Sec. 3.2

D3.2 Mid- and long-term financial planning for FAIR GmbH 3 1 O CO Month 36 Yes Month 36 See Sec. 3.2

D3.3 Expressions of Interest (EoI) for accelerator contributions in kind 3 1 O CO Month 36 Yes Month 36 See Sec. 3.2

D4.1 List of shareholders of FAIR GmbH 4 1 O CO Month 48 Yes Month 36 See Sec. 3.3

D4.2 Copy of signed Final Act 4 1 O CO Month 48 Yes Month 39 See Annex

D4.3 Articles of Association of FAIR Russia Research Centre 4 1 O CO Month 8 Yes Month 2 See First Project Periodic Report

D5.1 Draft organisational chart of FAIR GmbH 5 1 O CO Month 10 Yes Month 10 See First Project Periodic Report

D5.2 Final organisational chart of FAIR GmbH 5 1 O CO Month 48 No Month 39 See Sec 3.4.

D5.3 List of personnel of FAIR Joint Core Team 5 1 O CO Month 7 Yes Month 10 See First Project Periodic Report

D6.1 FAIR Research Programme Report 6 1 R CO Month 24 Yes Month 36 See Annex to this document

D6.2 Report on experiment TDR evaluation programme 6 1 R CO Month 36 Yes Month 36 See Annex to this document

D6.3 Master plan FAIR experiment construction 6 1 R CO Month36 Yes Month 36 See Annex to this document

D7.1 Accelerator Technical Design Reports (TDR) for many sub- 7 1 R CO Month 24 Yes Month 36 See DVD attached to this report


33

systems

D7.3 Report on adoption of master schedule due to finalization of civil construction planning

7 1 R CO Month 24 Yes Month 36 See DVD attached to this report

D7.4 Quality assurance plan 7 1 R CO Month 16 Yes Month 16 See First Project Periodic Report

D7.5 Functional specifications for main accelerator components (including Super-FRS)

7 1 R CO Month 17 Yes Month 17 See First Project Periodic Report

D7.8 Report on rules, roles, and right for users of EDMS, and approval strategies for documents

7 1 R CO Month 10 Yes Month 18 See First Project Periodic Report

D7.9 Machine Advisory Committee TDR review for FAIR modularised start version

7 1 R CO Month 36 Yes Month 36 See DVD attached to this report

Milestones

TABLE 2. MILESTONES

Milestone no.

Milestone name WP no

Lead beneficiary

Delivery date from Annex I

Achieved Yes/No

Actual / Forecast achievement date

Comments

M1.2 General Assembly 1 1 Month 36 Yes Month 37

M4.1 Decision to formally set up FAIR GmbH

4 1 Month 12 Yes Month 37 FAIR GmbH exists since 04 October 2010. The decision for its incorporation was taken by FAIR-ISC in Aug 2010.

M5.1 Purchase and HR 5 1 Month 36 Yes Month 36 FAIR GmbH will use GSI resources for Purchasing and HR via the Business Management Contract

M7.2 FAIR integration platform 7 1 Month 18 No Month 45 Not yet installed – See Sec. 3.6


34

5. Project management Objectives This work package covers the management of the FAIR preparatory phase project. Given the immanent change in the FAIR governance structure once the FAIR Convention will be signed this project needs its own management structure, providing steering, coordination and support to the Consortium. Details on the management structure of the FAIR preparatory phase can be found in the DoW in Sec. B2.1. It comprises a Governing Board, a Coordinator, a Steering Committee, Advisory Bodies, a Management Office, and Work Package and Task Leaders. Key dates of the EC contract

► Signature of the Coordinator (GSI, Germany): 30 June 2008 ► Signature of the Commission: 29 July 2008 ► First prefinancing:

o Money transfer to GSI: September 2008 o Distribution of the Community Financial Contribution: September 2008

► Duration of the project: 01 August 2007 to 31 January 2012 (54 months)

Consortium management activities

The management activities for the FAIR Preparatory Phase are coordinated by the FAIR EU Management team at GSI. The following main management activities have been carried out during the reporting period:

► Organisation of meetings ► Support to the managerial bodies of the consortium ► Preparation of decisions ► Distribution of EC Financial Contribution to all beneficiaries ► Implementation of management software tools ► Preparation and compilation of reports ► Distribution of the guidelines and general information ► Guidance of all beneficiaries regarding the completion of the required cost

statements. ► Advice to work package leaders regarding the activity reports ► Preparation of meetings ► Communication with Commission; in particular with the Scientific Officer and the

Financial Officer regarding administrative questions and the management of the consortium.

► Reporting in the FAIR International Steering Committee (FAIR-ISC) on the progress within this EU project

► Consultancy of FAIR-ISC as Advisory Body of this EU project ► Participation with an exhibition on the FAIR project at the ECRI conference in

Barcelona in March 2010


35

Amendments of Grant Agreements

Second amendment of Grant Agreement A request for Amendment to FP7 Grant Agreement No. 211382 - "FAIR Preparatory Phase" asking for

• an extension of the Grant Agreement from 36 months to 54 months • a budget shift from GSI to JU

was submitted in December 2009 and agreed upon by Commission in March 2010. The valid version of the DoW is now dated 10 December 2009. Milestones in this WP during the reporting period:

TABLE 2. MILESTONES

Mil. no.

Mil. name Due achievement date from Annex I

Achieved Yes / No

Actual / Forecast achievement date

Comments

M1.2 General assembly Month 36 Yes Month 37

P2 Meeting

Date Title/subject of meeting Location Number of attendees

Website address

August 2010

Second General Assembly and report meeting

GSI 10 -


36

6. Explanation of the use of the resources

TABLE 3.1 PERSONNEL, SUBCONTRACTING AND OTHER MAJOR COST ITEMS FOR

BENEFICIARY 1 (GSI) FOR THE PERIOD

Work package Item description Amount Explanations

1

Personnel costs 68.515,04

Salaries: Eschke Hofmann, S. Lemm Weissbach

Subcontracting 0,00 -

Travel and subsistence 23.543,76

Travel expenses: Bär Becker –de Mos Hinkelmann Lemm Weissbach Wenninger

Remaining direct costs 964,16

Annual report meeting Books Office supplies (consumables) Postage

2

Personnel costs 60.139,73 Salaries: Lambert

Subcontracting 1.320,00 Translation of FAIR legal documents Travel and subsistence 1.220,22 Weissbach Remaining direct costs 0,00 -

3

Personnel costs 78.836,93 Salaries: Weissbach Hofman, S.


Travel and subsistence 10.324,49 Travel expenses: Richter Weissbach

Remaining direct costs 459,83 Haufe.de subscription “finance and controlling”

Table continues next page…


37


4


Salaries: Augustin Beier Hinkelmann Hofmann, S. Maas Richter Sharkov Weissbach

Subcontracting 0,00


Travel expenses: Al Saud, Prince Turki Augustin Beier Gierlinksi Griesmayer Güclü Gutbrod Hinkelmann Höhne Krämer Lockyer Majka Müller, A. C. Nazarewicz Peters Ramamurthy Richter Rosner, R. Schäfer Sharkov Skeppstedt Thoma Varentsov, V. Vierkorn-Rudolph Weissbach Wenninger

Remaining direct costs 1.541,34 Rent IBZ Office supplies (consumables)

Table continues next page…


38


5


Salaries: Augustin Becker-de Mos Beier Hinkelmann Hofmann, S. Richter Sharkov Weissbach



Travel expenses: Augustin Bär Becker-de Mos Beier Gutbrod Varentsov, V. Wenninger Schwickert Sharkov

Remaining direct costs 221,84 Consumables: computer accessoris

6


Salaries: Becker-de Mos Beyer Bräuning Bräuning-Demian Eschke Liesen Müller, W. Peters Scheidenberger Schmitt, L. Stöhlker Stroth Weissbach Zimbelius



Travel expenses: Bhattacharjee Bhaduri Chattopadhyay Dubey Eschke Gutbrod Majka Müller, W. Schmitt, L. Voss, B. Zeyrek, Meh.

Remaining direct costs 117,50 Postage Table continues next page…


39


7


Salaries: Azzara Karampougiouki Kolb Lautenschläger Richter Städter, R. Steck

Subcontracting 1.867,50 Translation services


Travel expenses: Dimopoulou Evans Felden Garcia-Tabares Jacoby Koulberg Lessard Mirall Schnizer Steck

Remaining direct costs 1.496,94 Consumables, postage, books, meetings (Super-FRS, HESR, radiation safety)

Total direct costs as claimed on Form C 1.845.796,28


BENEFICIARY 2 (FZJ) FOR THE PERIOD P2.


7 Personnel costs 210.030,52

5 persons working part time on HESR integration into the FAIR accelerator complex and on administrative implementation into the forthcoming FAIR GmbH.

- Subcontracting 0,00 - Remaining direct costs 0,00

Total direct costs as claimed on Form C 210.030,52 According to a special clause in the core contract beneficiary 3 (BMBF) does not have to submit financial statements.


40

TABLE 3.3 PERSONNEL, SUBCONTRACTING AND OTHER MAJOR COST ITEMS FOR BENEFICIARY 4 (INFN) FOR THE PERIOD P2.



Paola Gianotti – Contract from 01/02/2009 to 31/07/2010 (20% FTE equal to 3,5 m/m) € 21.548,41; Renzo Parodi – Contract from 01/02/2009 to 31/07/2010 (5% FTE equal to 1 m/m) € 8.793,63; Andrea Bersani – Contract from 02/02/2009 to 31/07/2010 (100% FTE equal to 19,1 m/m) € 66.631,58.

6 Subcontracting 0,00 6 Remaining direct costs 67.449,00 See text below*Total direct costs as claimed on Form C 164.422,62

*) Andrea Bersani – JCT Research Coordination Monthly Meeting – Darmstadt (DE) 16/18.03.2009 – € 1.588,56; Andrea Bersani – JCT Research Coordination Monthly Meeting – Darmstadt (DE) 20/23.04.2009 - € 1.264,68; Andrea Bersani – PANDA Target TDR Editorial Meeting and FP7 Future Jet Kick-off Event – Darmstadt (DE) 13/16.05.2009 -€ 1.443,09; Gianluigi Boca – FAIR Joint CARE Team Support Activity – Darmstadt (DE) 03/14.06.2009 - € 2.602,83; Gianluigi Boca - FAIR Joint CARE Team Support Activity – Darmstadt (DE) 21/06-11/07.2209; 15/07-02/08.2009; 05/08-01/09.2009 - € 12.887,53; Paola Gianotti – FAIR Joint CARE Team Meeting – Darmstadt (DE) 22/23.07.2009 - € 711,97; Gianluigi Boca – FAIR Joint CARE Team Support Activity – Darmstadt (DE) 01/02-21/04.2009 - € 14.836,80; Gianluigi Boca – FAIR Joint CARE Team Support Acitivity and XXXI PANDA Collaboration Meeting - Darmstadt (DE) 01/10-16/11.2009; 26.11.2009; 06/22.12.2009 - € 12.360,56; Andrea Bersani – Tests on Jet Target System – Darmstadt (DE) 24/28.08.2009 - € 1.578,76; Andrea Bersani – Test on Jet Target System in Darmstadt and Editorial Board Meeting on Jet Target System Technical Design Report in Muenster – Darmstadt 16/19.11.2009 and Muenster 20/21.11.2009 - € 1.644,46; Gianluigi Boca – FAIR Joint CARE Team Support Activity – Darmstadt (DE) 24/01-24/02.2010 - € 6.084,64; Gianluigi Boca – FAIR Joint CARE Team Support Activity – Darmstadt (DE) 28/02-24/04.2010 - € 10.445,12.


BENEFICIARY 5 (SMI-ÖAW) FOR THE PERIOD P2.


6 Personnel costs 40.207,35 Permanent staff (Dr. Olaf Hartmann 1198,50 hours, coordination, preparation of meetings

6 Subcontracting 0,00

6 Travel and subsistence 2.112,50 Project-related travel costs (FAIR Meetings and Coordination at GSI Darmstadt and other Institutes)

Total direct costs as claimed on Form C 42.319,85 According to a special clause in the core contract beneficiary 6 (BMWF) does not have to submit financial statements.


41

TABLE 3.5 PERSONNEL, SUBCONTRACTING AND OTHER MAJOR COST ITEMS FOR BENEFICIARY 7 (JYFL) FOR THE PERIOD P2.


6 Personnel costs 34346,8 Salaries of Heikki Penttilä 1.2.2009-14.7.2009

6 Subcontracting 0,00

6 Travel and subsistence 10.029,11 Travel between Jyväskylä and GSI and to project-related meetings elsewhere

Total direct costs as claimed on Form C 44375,91 According to a special clause in the core contract beneficiary 8 (UH) does not have to submit financial statements.


BENEFICIARY 9 (UU) FOR THE PERIOD P2.


6 Personnel costs 54.951,97 Personnel costs for one researcher in 10 months

6 Travel and subsistence 2.283,6 Travel to meetings at GSI, and HESR Consortium Meetings

6 Remaining direct costs 157,9 Consumables Total direct costs as claimed on Form C 57393,47

According to a special clause in the core contract beneficiary 10 (SRC) does not have to submit financial statements.


BENEFICIARY 11 (CSIC) FOR THE PERIOD P2.

Work package Item description Amount Explanations 6 Personnel costs 108.849,90 Berta Rubio Barroso, Ivan Mukha

6 Travel and subsistence 30,992,08 Rubio, Algora, Tain, Agramunt, Mukha,

6 Remaining direct costs 0,00 Total direct costs as claimed on Form C 139.841,98

According to a special clause in the core contract beneficiary 12 (MEC) does not have to submit financial statements.


BENEFICIARY 13 (IFIN-HH) FOR THE PERIOD P2.



Personnel costs: Zamfir, Borcea, Marginean, Mihai, Dan Ghita, Dan Filipescu, Raluca Marginean, Dorel Bucurescu, Gheorghe Cata, Doru Delion

Total direct costs as claimed on Form C 35.651,47


42

According to a special clause in the core contract beneficiary 14 (NASR) does not have to submit financial statements.


BENEFICIARY 15 (ITEP) FOR THE PERIOD P2.


6 Personnel costs 69.246,00 Secondment of V. Varentsov to FJCT in Darmstadt, Germany

6 Travel and subsistence 6 Remaining direct costs Total direct costs as claimed on Form C 69.246,00

There is no beneficiary number 16.


BENEFICIARY 17 (CEA-DSM) FOR THE PERIOD P2.


6 Personnel costs 53.138,68 Permanent staff : Wolfram KORTEN (4,79 p/m) + Bijan SAGHAI (1,17 p/m)

6 Travel and subsistence 12.877,29 13 travels Wolfram KORTEN (Darmstadt)

Total direct costs as claimed on Form C 66.015,97 According to a special clause in the core contract beneficiary 18 (MinRech) does not have to submit financial statements.


BENEFICIARY 19 (JU) FOR THE PERIOD P2.


6 Personnel costs 142 .639,37 Salaries of Head of Research at FAIR Joint Core Team, 18 months

6 Travel and subsistence 6 Remaining direct costs Total direct costs as claimed on Form C

TABLE 3.12 PERSONNEL, SUBCONTRACTING AND OTHER MAJOR COST ITEMS FOR BENEFICIARY 20 (S-Academy) FOR THE PERIOD P2.

Work package Item description Amount Explanations 6 Personnel costs 0,00 6 Travel and subsistence 0,00 6 Remaining direct costs 0,00 Total direct costs as claimed on Form C 0,00

According to a special clause in the core contract beneficiary 21 (MNISW) does not have to submit financial statements.


43

TABLE 3.13 PERSONNEL, SUBCONTRACTING AND OTHER MAJOR COST ITEMS FOR BENEFICIARY 22 (QUB) FOR THE PERIOD P2.


6 Personnel costs 26.174,47 Research coordination

6 Remaining direct costs 28.528,45

Travel: O’Rourke, Currel: travels Belfast – GSI Consumables for testing of development of infrastructure

Total direct costs as claimed on Form C 54.701,92 According to a special clause in the core contract beneficiary 24 (STFC) does not have to submit financial statements.


BENEFICIARY 24 (VECC) FOR THE PERIOD P2.


6 Personnel costs 823,85 Salaries of office staff for last five months

6 Travel and subsistence 17.113,28 FAIR-India meeting, CBM collaboration meeting, other FAIR related meeting

6 Remaining direct costs 2.471,51 ConsumablesTotal direct costs as claimed on Form C 20.408,64


44

7. Financial statements – Form C and Summary financial report

FP7 - Grant Agreement - Annex VI - Combination of CP & CSA

Form C - Financial Statement (to be filled in by each beneficiary)

Project nr. 211382 Funding scheme Combination of CP & CSAProject Acronym FAIR

Period from 01/02/2009 Is this an adjustment to a previous statement? NoTo 31/07/2010

Legal NameGSI HELMHOLTZZENTRUM FUER

SCHWERIONENFORSCHUNG Gmbh Participant Identity Code 999995214

Organisation short Name GSI Beneficiary nr. 1Funding % for RTD activities (A) 75.00 If flat rate for indirect costs, specify % N/A

1. Declaration of eligible costs/lump sum/flat rate/scale of unit (in €)

Type of ActivityRTD(A)

Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)

Personnel costs 0.00 1,624,663.93 0.00 68,515.04 0.00 1,693,178.97Subcontracting 0.00 3,187.50 0.00 0.00 0.00 3,187.50Other direct costs 0.00 124,921.89 0.00 24,507.92 0.00 149,429.81Indirect costs * 0.00 228,622.09 0.00 10,767.06 0.00 239,389.15Access costs 0.00 0.00Lump sums/flat rate/scale ofunit declared

0.00 0.00 0.00 0.00 0.00 0.00

Total 0.00 1,981,395.41 0.00 103,790.02 0.00 2,085,185.43Maximum EC contribution 0.00 1,875,244.33 0.00 103,790.02 0.00 1,979,034.35Requested EC contribution 1,979,034.35* Indirect costs relating to:- "Coordination" and "Support" activities are reimbursed up to a maximum of 7% of the direct eligible costs relating to these activities excluding the direct eligible costs for subcontracting and the costs of resources made available by third

parties which are not used on the premises of the beneficiary,- "RTD", "Management" and "other" activities are reimbursed in accordance with the various options foreseen in Article II.15.2 a), b) and c) of the grant agreement.

2. Declaration of receipts

Did you receive any financial transfers or contributions in kind, free of charge from third parties or did the projectgenerate any income which could be considered a receipt according to Art.II.17 of the grant agreement?

No

If yes, please mention the amount (in €)

3. Declaration of interest yielded by the pre-financing(to be completed only by the coordinator)

Did the pre-financing you received generate any interest according to Art.II.19? NoIf yes, please mention the amount (in €)

4. Certificate on the methodology

Do you declare average personnel costs according to Art.II.14.1? NoIs there a certificate on the methodology provided by an independent auditor and accepted by the Commissionaccording to Art.II.4.4?

No

Name of the auditorCost of the certificate (in €),if charged under this project

5. Certificate on the financial statements

Is there a certificate on the financial statements provided by an independent auditor attached to this financial statementaccording to Art.II.4.4?

Yes

Name of the auditor Internal Audit Cost of the certificate (in €) 4,538.766. Beneficiary's declaration on their honour

We declare on our honour that:

- the costs declared above are directly related to the resources used to attain the objectives of the project and fall within the definition ofeligible costs specified in Articles II.14 and II.15 of the grant agreement, and, if relevant, Annex III and article 7 (special clauses) of thegrant agreement;

- the receipts declared above are the only financial transfers or contributions in kind, free of charge, from third parties and the only incomegenerated by the project which could be considered as receipts according to Art.II.17 of the grant agreement;

- the interest declared above is the only interest yielded by the pre-financing which falls within the definition of Art.II.19 of the grantagreement;

- there is full supporting documentation to justify the information hereby declared. It will be made available at the request of the Commissionand in the event of an audit by the Commission and/or by the Court of Auditors and/or their authorised representatives.

Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementJohannes Heilmann, Florian Weissbach

Date & signature30/09/2010





Legal NameFORSCHUNGSZENTRUM

JUELICH GMBH Participant Identity Code 999980470

Organisation short Name FZJ Beneficiary nr. 2Funding % for RTD activities (A) 75.00 If flat rate for indirect costs, specify % N/A



Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)

Personnel costs 0.00 210,030.52 0.00 0.00 0.00 210,030.52Subcontracting 0.00 0.00 0.00 0.00 0.00 0.00Other direct costs 0.00 0.00 0.00 0.00 0.00 0.00Indirect costs * 0.00 14,702.14 0.00 0.00 0.00 14,702.14Access costs 0.00 0.00Lump sums/flat rate/scale ofunit declared

0.00 0.00 0.00 0.00 0.00 0.00

Total 0.00 224,732.66 0.00 0.00 0.00 224,732.66Maximum EC contribution 0.00 224,732.66 0.00 0.00 0.00 224,732.66Requested EC contribution 224,732.66* Indirect costs relating to:- "Coordination" and "Support" activities are reimbursed up to a maximum of 7% of the direct eligible costs relating to these activities excluding the direct eligible costs for subcontracting and the costs of resources made available by third




No






No




No

Name of the auditor Cost of the certificate (in €)

6. Beneficiary's declaration on their honour






Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementDr. R. Tölle i. A. R. Henschke i. A. J. Stier





Period from 01/02/2009 Is this an adjustment to a previous statement? Yes (for period 1)To 31/07/2010

Legal NameFORSCHUNGSZENTRUM

JUELICH GMBH Participant Identity Code 999980470

Organisation short Name FZJ Beneficiary nr. 2Funding % for RTD activities (A) 75.00 If flat rate for indirect costs, specify % N/A



Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)

Personnel costs 0.00 -4,940.74 0.00 0.00 0.00 -4,940.74Subcontracting 0.00 0.00 0.00 0.00 0.00 0.00Other direct costs 0.00 -345.85 0.00 0.00 0.00 -345.85Indirect costs * 0.00 0.00 0.00 0.00 0.00 0.00Access costs 0.00 0.00Lump sums/flat rate/scale ofunit declared

0.00 0.00 0.00 0.00 0.00 0.00

Total 0.00 -5,286.59 0.00 0.00 0.00 -5,286.59Maximum EC contribution 0.00 -5,286.59 0.00 0.00 0.00 -5,286.59Requested EC contribution -5,286.59* Indirect costs relating to:- "Coordination" and "Support" activities are reimbursed up to a maximum of 7% of the direct eligible costs relating to these activities excluding the direct eligible costs for subcontracting and the costs of resources made available by third




No






No




No








Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementDr. R. Tölle i. A. R. Henschke i. A. J. Stier






Legal NameISTITUTO NAZIONALEDI FISICA NUCLEARE Participant Identity Code 999992789

Organisation short Name INFN Beneficiary nr. 4Funding % for RTD activities (A) 75.00 If flat rate for indirect costs, specify % 60.00



Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)

Personnel costs 0.00 0.00 96,973.62 0.00 0.00 96,973.62Subcontracting 0.00 0.00 0.00 0.00 0.00 0.00Other direct costs 0.00 0.00 67,449.00 0.00 0.00 67,449.00Indirect costs * 0.00 0.00 98,653.57 0.00 0.00 98,653.57Access costs 0.00 0.00Lump sums/flat rate/scale ofunit declared

0.00 0.00 0.00 0.00 0.00 0.00

Total 0.00 0.00 263,076.19 0.00 0.00 263,076.19Maximum EC contribution 0.00 0.00 175,932.20 0.00 0.00 175,932.20Requested EC contribution 175,932.20* Indirect costs relating to:- "Coordination" and "Support" activities are reimbursed up to a maximum of 7% of the direct eligible costs relating to these activities excluding the direct eligible costs for subcontracting and the costs of resources made available by third




No






No




No








Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementMaria Teresa Ghirelli/Paola Gianotti






Legal NameISTITUTO NAZIONALEDI FISICA NUCLEARE Participant Identity Code 999992789

Organisation short Name INFN Beneficiary nr. 4Funding % for RTD activities (A) 75.00 If flat rate for indirect costs, specify % 60.00



Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)

Personnel costs 0.00 0.00 9,114.79 0.00 0.00 9,114.79Subcontracting 0.00 0.00 0.00 0.00 0.00 0.00Other direct costs 0.00 0.00 0.00 0.00 0.00 0.00Indirect costs * 0.00 0.00 5,468.87 0.00 0.00 5,468.87Access costs 0.00 0.00Lump sums/flat rate/scale ofunit declared

0.00 0.00 0.00 0.00 0.00 0.00

Total 0.00 0.00 14,583.66 0.00 0.00 14,583.66Maximum EC contribution 0.00 0.00 9,752.83 0.00 0.00 9,752.83Requested EC contribution 9,752.83* Indirect costs relating to:- "Coordination" and "Support" activities are reimbursed up to a maximum of 7% of the direct eligible costs relating to these activities excluding the direct eligible costs for subcontracting and the costs of resources made available by third




No






No




No








Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementMaria Teresa Ghirelli/Paola Gianotti






Legal NameOESTERREICHISCHE AKADEMIE

DER WISSENSCHAFTEN Participant Identity Code 999823912

Organisation short Name SMI-OEAW Beneficiary nr. 5Funding % for RTD activities (A) 75.00 If flat rate for indirect costs, specify % N/A



Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)

Personnel costs 0.00 40,207.35 0.00 0.00 0.00 40,207.35Subcontracting 0.00 0.00 0.00 0.00 0.00 0.00Other direct costs 0.00 2,112.50 0.00 0.00 0.00 2,112.50Indirect costs * 0.00 2,962.39 0.00 0.00 0.00 2,962.39Access costs 0.00 0.00Lump sums/flat rate/scale ofunit declared

0.00 0.00 0.00 0.00 0.00 0.00





No






No




No








Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementProf.Arnold Suppan, Secretary General and Prof. Eberhard Widmann, Project Leader






Legal Name JYVASKYLAN YLIOPISTO Participant Identity Code 999842245Organisation short Name JYFL Beneficiary nr. 7

Funding % for RTD activities (A) 75.00 If flat rate for indirect costs, specify % 60.001. Declaration of eligible costs/lump sum/flat rate/scale of unit (in €)


Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)


0.00 0.00 0.00 0.00 0.00 0.00





No






No




No








Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementJuha Äystö, scientist in charge Soli Leskinen, Departmental Administrator






Legal Name UPPSALA UNIVERSITET Participant Identity Code 999985029Organisation short Name UU Beneficiary nr. 9



Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)


0.00 0.00 0.00 0.00 0.00 0.00





No






No




No








Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementMargareta Uvhagen Antoni






Legal NameAGENCIA ESTATAL

CONSEJO SUPERIOR DEINVESTIGACIONES CIENTIFICAS

Participant Identity Code 999991722

Organisation short Name CSIC Beneficiary nr. 11Funding % for RTD activities (A) 75.00 If flat rate for indirect costs, specify % N/A



Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)


0.00 0.00 0.00 0.00 0.00 0.00





No






No




No








Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementEUSEBIO JIMENEZ ARROYO






Legal Name

INSTITUTUL NATIONAL DECERCETARE -DEZVOLTARE PENTRU

FIZICA SI INGINERIE NUCLEARA"HORIA HULUBEI" (IFIN-HH)

Participant Identity Code 999488777

Organisation short Name IFIN – HH (NIPNE) Beneficiary nr. 13Funding % for RTD activities (A) 75.00 If flat rate for indirect costs, specify % 20.00



Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)


0.00 0.00 0.00 0.00 0.00 0.00





No






No




No








Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementAlexandru Popescu






Legal NameINSTITUT TEORETICHESKOI I

EKSPERIME NTALNOI FIZIKI ITEP Participant Identity Code 999427667

Organisation short Name ITEP Beneficiary nr. 15Funding % for RTD activities (A) 75.00 If flat rate for indirect costs, specify % 20.00



Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)


0.00 0.00 0.00 0.00 0.00 0.00





No






No




No








Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementAlexander Fertman






Legal NameCOMMISSARIAT A L'ENERGIE ATOMIQUE Participant Identity Code 999992401

Organisation short Name CEA-DSM Beneficiary nr. 17Funding % for RTD activities (A) 75.00 If flat rate for indirect costs, specify % N/A



Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)


0.00 0.00 0.00 0.00 0.00 0.00





No





Do you declare average personnel costs according to Art.II.14.1? YesIs there a certificate on the methodology provided by an independent auditor and accepted by the Commissionaccording to Art.II.4.4?

Yes

Name of the auditor KPMG Cost of the certificate (in €),if charged under this project

0.00



No








Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementNathalie JUDAS






Legal NameCOMMISSARIAT A L'ENERGIE ATOMIQUE Participant Identity Code 999992401

Organisation short Name CEA-DSM Beneficiary nr. 17Funding % for RTD activities (A) 75.00 If flat rate for indirect costs, specify % N/A



Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)

Personnel costs 0.00 42.17 0.00 0.00 0.00 42.17Subcontracting 0.00 0.00 0.00 0.00 0.00 0.00Other direct costs 0.00 2.95 0.00 0.00 0.00 2.95Indirect costs * 0.00 0.00 0.00 0.00 0.00 0.00Access costs 0.00 0.00Lump sums/flat rate/scale ofunit declared

0.00 0.00 0.00 0.00 0.00 0.00

Total 0.00 45.12 0.00 0.00 0.00 45.12Maximum EC contribution 0.00 45.12 0.00 0.00 0.00 45.12Requested EC contribution 45.12* Indirect costs relating to:- "Coordination" and "Support" activities are reimbursed up to a maximum of 7% of the direct eligible costs relating to these activities excluding the direct eligible costs for subcontracting and the costs of resources made available by third




No





Do you declare average personnel costs according to Art.II.14.1? YesIs there a certificate on the methodology provided by an independent auditor and accepted by the Commissionaccording to Art.II.4.4?

Yes

Name of the auditor KPMG Cost of the certificate (in €),if charged under this project

0.00



No








Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementNathalie JUDAS






Legal Name UNIWERSYTET JAGIELLONSKI Participant Identity Code 999642716Organisation short Name JU Beneficiary nr. 19



Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)


0.00 0.00 0.00 0.00 0.00 0.00





No






No




No








Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementDr. Maria Hulicka






Legal NameSWIETOKRZYSKA ACADEMY,

INSTITUTE OF PHYSICS Participant Identity Code 998781162

Organisation short Name S-Academy Beneficiary nr. 20Funding % for RTD activities (A) 75.00 If flat rate for indirect costs, specify % N/A



Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)

Personnel costs 0.00 0.00 0.00 0.00 0.00 0.00Subcontracting 0.00 0.00 0.00 0.00 0.00 0.00Other direct costs 0.00 0.00 0.00 0.00 0.00 0.00Indirect costs * 0.00 0.00 0.00 0.00 0.00 0.00Access costs 0.00 0.00Lump sums/flat rate/scale ofunit declared

0.00 0.00 0.00 0.00 0.00 0.00

Total 0.00 0.00 0.00 0.00 0.00 0.00Maximum EC contribution 0.00 0.00 0.00 0.00 0.00 0.00Requested EC contribution 0.00* Indirect costs relating to:- "Coordination" and "Support" activities are reimbursed up to a maximum of 7% of the direct eligible costs relating to these activities excluding the direct eligible costs for subcontracting and the costs of resources made available by third




No






No




No








Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementDr Aleksandra Pisarska






Legal Name QUEEN'S UNIVERSITY BELFAST Participant Identity Code 999992013Organisation short Name QUB Beneficiary nr. 22



Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)


0.00 0.00 0.00 0.00 0.00 0.00





No






No




No








Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementPauline McCann






Legal Name QUEEN'S UNIVERSITY BELFAST Participant Identity Code 999992013Organisation short Name QUB Beneficiary nr. 22



Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)

Personnel costs 0.00 4,016.04 0.00 0.00 0.00 4,016.04Subcontracting 0.00 0.00 0.00 0.00 0.00 0.00Other direct costs 0.00 -4,128.24 0.00 0.00 0.00 -4,128.24Indirect costs * 0.00 -67.32 0.00 0.00 0.00 -67.32Access costs 0.00 0.00Lump sums/flat rate/scale ofunit declared

0.00 0.00 0.00 0.00 0.00 0.00

Total 0.00 -179.52 0.00 0.00 0.00 -179.52Maximum EC contribution 0.00 -120.05 0.00 0.00 0.00 -120.05Requested EC contribution -120.05* Indirect costs relating to:- "Coordination" and "Support" activities are reimbursed up to a maximum of 7% of the direct eligible costs relating to these activities excluding the direct eligible costs for subcontracting and the costs of resources made available by third




No






No




No








Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementPauline McCann






Legal NameVARIABLE ENERGY

CYCLOTRON CENTER Participant Identity Code 998782714

Organisation short Name VECC Beneficiary nr. 24Funding % for RTD activities (A) 75.00 If flat rate for indirect costs, specify % N/A



Coordination(B)

Support(C)

Management(D)

Other(E)

Total(A+B+C+D+E)

Personnel costs 0.00 823.85 0.00 0.00 0.00 823.85Subcontracting 0.00 0.00 0.00 0.00 0.00 0.00Other direct costs 0.00 0.00 2,471.57 0.00 0.00 2,471.57Indirect costs * 0.00 16,289.43 823.85 0.00 0.00 17,113.28Access costs 0.00 0.00Lump sums/flat rate/scale ofunit declared

0.00 0.00 0.00 0.00 0.00 0.00

Total 0.00 17,113.28 3,295.42 0.00 0.00 20,408.70Maximum EC contribution 0.00 881.52 2,644.58 0.00 0.00 3,526.10Requested EC contribution 3,526.10* Indirect costs relating to:- "Coordination" and "Support" activities are reimbursed up to a maximum of 7% of the direct eligible costs relating to these activities excluding the direct eligible costs for subcontracting and the costs of resources made available by third




No






No




No








Beneficiary's Stamp Name of the Person(s) Authorised to sign this Financial StatementSubhasis Chattopadhyay



45

8. Certificates List of Certificates which are due for this period, in accordance with Article II.4.4 of the Grant Agreement.

Beneficiary Organisation

short name Certificate on the financial statements provided? yes / no

Any useful comment, in particular if a certificate is not provided

1 GSI Yes


46

Annex Deliverable D2.2 The non-profit certificate was obtained by the auditing company “Ebner Stolz Mönning Bachem” in Stuttgart, Germany, on behalf of FAIR. The certificate was issued by the Darmstadt Tax Authority and is written in German.


47


48


49

Deliverable D2.3

Draft

Business Management Contract

(Geschäftsbesorgungsvertrag, §§ 675, 611 BGB)

The Facility for Antiproton and Ion Research in Europe GmbH, located at Planckstr. 1, 64291 Darmstadt. Germany represented by its Managing Directors,

hereinafter referred to as “FAIR"

on the one hand

and

The GSI Helmholtzzentrum für Schwerionenforschung GmbH, located at Planckstr. 1, 64291 Darmstadt, Germany represented by its Managing Directors,

hereinafter referred to as “GSI”

on the other hand

hereinafter collectively referred to as “the Parties”

Preamble The Parties enter into this contract with a view to the joint achievement of the scientific success of the Facility for Antiproton and Ion Research.

GSI intends to make a long-term commitment to the success of the FAIR project.

FAIR recognises the expertise of GSI in the field of heavy ion accelerators and GSI’s proven practice of close international collaboration with other research establishments in the construction of particle accelerators. Therefore, the Parties enter into a close collaboration in the construction, the commissioning and the operation of the FAIR facility.

The Parties agree that the construction, the commissioning, the operation, and the further development of the accelerator complex should comply with the implementation of the scientific programme as much as possible. In order to achieve this, the Parties arrange for effective communication, consultation and partnership at all levels with due regard to their autonomy and expertise in their respective fields.

The Parties agree to reconsider this contract in respect with operation in due course.


50

Article 1 – Legal basis

The basis of this contract is, in order of priority,

- The Convention concerning the Construction and Operation of a Facility for Antiproton and Ion Research in Europe (FAIR), dated as of [ date of signature] and the Final Act dated as of [ date of signature]

- The Articles of Association of FAIR (Annex 2 to the Convention), dated as of [ date of signature ] and the Articles of Association of GSI, dated as of [ date of signature ], and

- Dispositive substantive German law.

Article 2 – Subject Matter of the Contract

(1) FAIR manages the project and is responsible for the successful design, construction, commissioning and operation of the FAIR facility. FAIR controls the strategy, the policy and the implementation of the project, and draws up and executes its scientific programme.

(2) This contract defines the relation between the Parties and lays down their respective roles and responsibilities with regard to the construction, commissioning and operation of the FAIR facility.

(3) In consideration of the terms and conditions set out under this contract, FAIR shall act as the principal, and GSI shall act as an agent with operative tasks.

(4) The Parties agree upon further services provided by GSI to FAIR on the basis of separate contracts.

Article 3 – Power of Agency

(1) FAIR confers on GSI the authority to carry out measures and transactions concerning the business specified in Article 5 below in the name and for the account of FAIR. The FAIR Managing Directors grant to GSI, as far as legally admissible, the general agency and full power to carry out all transactions and legal acts involved in the construction, commissioning, and operation of the FAIR facility. GSI shall act upon this power within the limits of its mandate as laid down in this contract.

(2) Within the scope of mandate, GSI is entitled to represent FAIR in all relevant business affairs. GSI may appoint subagents for general or specific transactions.

Article 4 – Instructions, Approval

(1) During the performance of this contact FAIR may at any time issue guidelines and give instructions to GSI. GSI is not entitled to deviate from the instructions of FAIR, unless it can be assumed in the circumstances that FAIR would approve of such deviation if it were aware of the factual situation. GSI must make notification to FAIR prior to such deviation and must wait for the decision of the latter unless postponement entails a significant risk.

(2) The following matters shall require the prior explicit instruction/approval of FAIR:

- Measures and transactions which according to the Articles of Association of FAIR or the


51

Convention are subject to approval of the FAIR Council;

- Entering into an agreement with an economic value exceeding 50,000.00 €;

- Measures and transactions which might presumably result in the deviation from the investment planning approved by FAIR;

- Measures and transactions which might presumably result in a budget overrun;

- Deviation from planning intervals, quality standards and cost objectives which had been agreed upon by the Parties;

- Appointment of subagents/subcontractors for general or specific transactions explicitly exempt from Art. 3 (2) of this contract by FAIR.

FAIR may decide about further measures and transactions to be subject to their prior approval by addendum to this contract.

Article 5 – Obligations of GSI

(1) FAIR entrusts GSI with measures and transactions concerning

a The business of the construction, the commissioning and the operation of the FAIR accelerator facility as laid down in Annex 1,

b The administrative business as laid down in Annex 2,

c The technical support business as laid down in Annex 3.

(2) Other administrative services and project management tasks may be added on the basis of an addendum to this contract according to Articles 2 (3), 18 (1) of this contract.

(3) Specific descriptions and specifications of the services listed above under this Article, deliverables and the service level (where applicable) form part of the annexes. The annexes form part of this contract.

Article 6 – Obligations of FAIR

(1) FAIR shall make available to GSI all information needed by GSI for it to fulfil duly and timely its obligations under this contract. With respect to the delivery of its obligations, GSI is responsible for project management, and, when necessary, for presenting recommendations for decisions to FAIR. GSI is also responsible for coordinating other parties involved in the project.

(2) FAIR shall make sure that the financing of the project be on schedule and thus, the implementation of the project be secured.

(3) FAIR shall implement a controlling system enabling it to monitor financial status, project progress and schedule to act as a foundation for future planning of the project objectives.


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Article 7 – Consideration, Payment Arrangements (1) FAIR shall compensate for the business carried out by GSI under the performance of

this contract on a full cost basis. Full costs comprise of all direct and indirect costs related to the service unit or executive organisational unit.

(2) Direct costs contain

- in the case of personnel the salaries itself including taxes as well as all contributions to social security and old-age pensions;

- all items necessary for the operation of an organisational unit such as materials and consumables, business trips, external support services etc.;

- depreciation of assets.

(3) Indirect costs (overhead) arise from the use of services or infrastructure. These include costs for office rooms, IT-services, technical support and so forth.

(4) The full costs of an organisational unit are represented by the sum of all direct and

indirect costs accrued within a given period of time (year, month). (5) From full cost accounting data the costs of business may be calculated in three

different manners:

- Costs pro rata: Pro rata shall mean the proportion of number of FAIR staff utilising personnel services to the number of GSI staff utilising personnel services. The full costs of the personnel department will be divided by the number of persons service is provided for. This fraction represents the costs per individual and period of time. The FAIR Company will be charged with these costs for any contractor (staff member).

- Costs per business transaction: Full costs of an organisational unit are divided by the number of business transactions performed per year. This rate is then charged for the number of transactions executed for FAIR.

- At cost: a number of measures and business transactions are characterised by a high

range of complexity and effort necessary. These will be charged at cost. The full costs of the organisational unit are divided by the productive hours of the personnel in this unit. This scale of charge is then applied to the hours recorded by the staff members to perform a given task for FAIR.

(6) GSI will issue invoices on a quarterly basis. Invoicing will be regularly scheduled before

the 30th of January, April, July, and October of a fiscal year for the past quarter. All invoices will be structured in comprehensive detail. A detailed calculation provided by GSI will be stated in adequate detail together with the invoice scheduled in January. On request, the details of the cost calculation will be disclosed and clarified to FAIR. Beyond that, invoices will be structured according to legal provisions.

(7) Payments should be made by FAIR within 15 working days after receipt of invoice to

the bank account given on the invoice.

Article 8 – Joint Committee

(1) For the coordination of the cooperation of the Parties under this contract and for the settlement of disputes a joint committee shall be set up on the basis of the principle of parity. Each Party may delegate to this joint committee two members, one of whom should be a Managing Director of the delegating Party.


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(2) The joint committee will meet regularly, at least once per month, to exchange information, to discuss all issues of common interest, to assess all forthcoming decisions of one Party affecting the other Party, to reach consensus in all matters which require decisions, to solve all possible interferences and to prevent conflicts between their various activities.

(3) Decisions of the joint committee based on consensus are understood to be recommendations to the Parties. Decisions can be made in meetings, verbally or in writing. Verbal decisions must be recorded in writing.

(4) If the members of the joint committee are not able to solve conflicts, they may present the issue to their supervising bodies, i.e. the GSI Supervisory Board and the FAIR Council.

(5) Based on a half-yearly rotation, the meetings are convened and chaired alternatively by the Chairperson of the Managing Directors of GSI and the Chairperson of the Managing Directors of FAIR. Extraordinary meetings may be requested by each of the Parties.

(6) Any matters addressed at meetings of the joint committee and resolutions adopted therein shall be recorded in minutes of the meeting, to be furnished to all members of the committee.

(7) As far as Shareholders of FAIR are affected by decisions taken at meetings of the joint committee, they shall be informed in writing.

Article 9 – Cooperation, Information

(1) GSI shall submit written progress reports to FAIR on a regular basis, normally quarterly, detailing technical progress including reports on milestones, highlights and special occurrences.

(2) In the frame of its obligations under this contract GSI shall submit to FAIR scheduling and costing information at an appropriate level of detail for consideration for approval. GSI shall implement planning intervals, quality standards and cost objectives which have been previously agreed upon by the Parties.

(3) FAIR shall be responsible for establishing the documentation and reporting system, determine the requirements of the reporting system for GSI and inform GSI in a timely manner on financial planning and financial control.

Article 10 – Confidentiality

(1) The Parties agree that the open exchange of information shall honour the following principles:

- The Parties shall treat any information as strictly confidential, which is appropriately designated as such, for the duration of this contract and for a period of five years thereafter, unless otherwise agreed in writing.

- The Parties shall take all appropriate steps to safeguard the confidential information. Accordingly, the receiving Party shall not use any such information for any purpose other than in accordance with the terms of this contract. At the same time, the receiving Party shall not disclose any such confidential information to any third party, and such information shall neither be reproduced nor duplicated in any form.

(2) The aforementioned shall not apply to information for which the receiving Party can prove that it

- had a public nature prior to its communication by the disclosing Party;

- fell within the public domain after such communication, but not through the receiving Party's


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own fault;

- was already in the receiving Party's possession at the time of receiving this information;

- was received from a third party without any obligation to keep it confidential;

- was developed by the receiving Party independently, outside the scope of this contract;

- was required to be disclosed according to mandatory national legislation or by a Court decision.

Article 11 – Exchange of Knowledge, Intellectual Property Rights

(1) The Parties shall make available to each other, free of charge and without any restriction, the background of which they can legally dispose and which is needed for the purposes of the cooperation required by this contract.

(2) The Parties shall also make available to each other, free of charge and without any restriction, all foreground and further improvements, of which they can legally dispose, generated in the framework of the cooperation based on this contract.

(3) Any title in intellectual property as regards to foreground, developed by a Party in the framework of this contract, shall be vested in that Party.

(4) The Parties shall grant to each other a free, non-exclusive licence to such intellectual property for the exclusive use in the framework of this contract, as well as for the receiving Party's internal research purposes. They shall have the right to grant non-exclusive licences to third parties.

(5) Where foreground is jointly developed by the Parties in the framework of this contract, they shall jointly hold the intellectual property title and agree on ways of protecting, and of making available to third parties, such intellectual property.

(6) The providing Party grants no warranty including but not limited to fitness for purpose and non-infringement of intellectual property rights held by third parties, in respect of intellectual property made available to the other Party(ies) under this contract. The receiving Party(ies) shall hold the providing Party free and harmless from any liability arising from the use (including, if permitted, any sublicensing) of such intellectual property.

Article 12 – Publications

(1) In the event that details or results of their collaboration are to be published, the Parties strive to publish them jointly.

(2) In so far as the Parties do not together publish details or results of their collaboration, publications by one Party, involving results developed by the other Party, shall be subject to the latter’s prior written consent. Such consent shall not unreasonably be withheld.

(3) All publications shall acknowledge the collaboration between the Parties, including, if so requested by a Party, the persons having taken part in the development of the results, which form the object of the publication.

Article 13 – Exchange of Personnel


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Subject to detailed agreements, each Party may make personnel available to the other Party, if so required for collaboration and if not in conflict with statutory law and the internal requirements of the sending Party. Such personnel shall, during their secondment to the receiving Party, remain employed by the sending Party.

Article 14 – Insurance, Liability

(1) Save in case of gross negligence or wilful misconduct neither Party shall be liable to the other for any damage caused by the performance of this contract.

(2) The general project risk, in particular any cost overrun, which is not caused intentionally or by gross negligence by GSI, lies with FAIR as the principal of the project.

(3) Any profit resulting from the performance of this contract shall be to the benefit of FAIR; any loss resulting from the performance of this contract shall be at the expense of FAIR.

(4) Each Party shall be solely liable for any material damage or personal injuries through its actions to a third party.

(5) Each Party shall hold the other Party free and harmless from any liability for loss or damage caused by the former Party to a third party.

(6) Neither Party shall be liable for any indirect or consequential losses or damages incurred by the other Party.

(7) Notwithstanding the principle of self-insurance GSI shall take out necessary third party liability insurances (to be specified).

(8) Except in case of gross negligence, GSI shall be liable for failure to fulfil its obligations under this contract only up to a maximum amount equal to the contractual amount covered by the insurance laid down in paragraph (7).

Article 15 – Force Majeure

(1) If either Party is prevented, wholly or in part, from performing its obligations under this contract as a result of force majeure, then that Party shall be relieved from all liability in respect of any delay or failure in the performance of such obligations during the continuance of the force majeure insofar as the same are affected by the force majeure.

(2) Force majeure means any circumstance beyond the reasonable control of the Party claiming relief such as, but not limited to, acts of nature, fire or war. A default of a supplier or a strike other than a nation wide strike is not considered as cases of force majeure.

(3) The Party whose obligations are affected by a case of force majeure shall notify the other Party without delay and give reasonably full particulars and an indication of the probable duration of the force majeure. It shall notify the other Party immediately when the force majeure situation has ceased.

(4) The time for the performance of the contractual obligations affected by force majeure shall be extended for the duration of force majeure it being understood that the Party whose performance is affected shall use all reasonable efforts to minimize the consequences of such failure.

(5) Should the force majeure situation continue for more than 6 months, either Party shall have the


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right to terminate the contract by giving one month notice to the other Party.

Article 16 – Governing law, Settlement of Disputes

(1) This contract shall be governed exclusively by German law. The United Nations Convention on Contracts for the International Sale of Goods shall not apply.

(2) The Parties will do their utmost to settle amicably any differences and difficulties which may arise during their cooperation.

(3) Any dispute shall be brought to the attention of the Parties' respective supervisory bodies in order to settle this dispute amicably. Any dispute between the Parties or any claim by one Party against the other, which cannot be settled by the Parties amicably, shall be settled according to the Mediation/Conciliation Rules of the German Institution of Arbitration (DIS).

(4) If the Parties do not agree upon mediation or if the dispute cannot be settled by the procedure under paragraph (3) of this Article, it shall be settled by an administrated arbitral procedure according to the Arbitration Rules of the German Institution of Arbitration (DIS), jurisdiction of a court excluded.

Article 17 – Limitation of Actions

Claims based on this contract shall be subject of a limitation period of 2 years, unless statute of limitation provides for a shorter period. The limitation period begins to run when the cause of action accrues.

Article 18 – Amendments, Language

(1) Any amendment and supplementary stipulations to this contract or its annexes shall be the subject of a further written agreement.

(2) The Parties agree that in the course of the implementation of this contract supplementary contractual agreements may be needed. They undertake to take part in such agreements with due regard being paid to the interests of both Parties.

(3) All documents relating to this contract shall be in English.

Article 19 – Duration of the Contract

(1) This contract takes effect on [ date ] and shall last until the 31 December 20[ ]. During this term of contract it can only be terminated for good cause.

(2) After the expiration of the contract according to paragraph (1) of this Article, the contract shall be subject to tacit renewal each year, unless one of the Parties has terminated it by giving a six month's notice.

The Parties agree to enter into negotiations about renewal of this contact for the operation as the case may be.


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Article 20 – Final provisions

(1) If any provisions of this contract are or become invalid, or in case of a loophole in this contract, the remaining provisions shall remain effective. The invalid provisions or loopholes shall be replaced by provisions which best match the spirit and purpose of this contract.

(2) Place of fulfilment and exclusive place of jurisdiction shall be Darmstadt.


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Established in Darmstadt on …(date), in … copies.

Facility for Antiproton and Ion Research in Europe GmbH

______________________________________________

GSI Helmholtzzentrum für Schwerionenforschung GmbH

________________________________________________


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Annex 1 – Business of the construction, the commissioning and the operation of the FAIR accelerator facility

(1) According to Article 5 (1) a of this Business Management Contract, FAIR entrusts GSI with measures and transactions concerning business of the construction, the commissioning and the operation of the FAIR accelerator facility as specified below.

- The compilation and consolidation of all superordinate operating manuals including, but not limited to, assembly and installation instructions, instruction manuals, operating procedures, safety instructions, maintenance instructions, troubleshooting instructions etc.; final check of completeness and quality standards of these operating manuals.

- Executing assembly and integration of those technical components and part systems that are not contributed in-kind. This includes , but is not limited to, transport of accelerator components on site, testing, processing of preassembly and subassembly, transfer to accelerator tunnel, installation and adjustment, final performance test and technical commissioning (without beam).

(2) GSI may be mandated with further business concerning the construction, the commissioning and the operation of the FAIR accelerator facility on the basis of addenda to this annex.

(3) GSI fulfils its obligations set out in paragraph (1) in accordance with the rules, regulations and policies issued by FAIR. FAIR is responsible to inform GSI about these rules, regulations and policies and on any updates and amendments in due time and in written form. The work routine applied in matters of GSI's personnel shall be applicable accordingly. GSI shall inform FAIR about relevant work flow procedures. GSI is obliged to inform FAIR without delay on aspects which could conflict with these rules, regulations and policies. The Parties shall resolve the conflict amicably and with regard of their respective legitimate interests.

(4) GSI's contractual obligations are limited to the operational implementation of the business listed in paragraph (1). Agreements and transactions between FAIR and third parties which go beyond the rules, regulations and policies communicated by the Parties have to be agreed by the Parties on an individual basis.

(5) FAIR shall remain solely responsible for any strategic and normative decisions, such as matters of corporate planning, litigation, matters concerning the works council etc.

(6) GSI shall not be responsible for the terms and substantive accuracy of the rules, regulations and policies issued and provided to it by FAIR.

(7) GSI shall only be liable for intent and gross negligence. During the performance of this contract GSI shall employ the care that it customarily exercises in its own affairs.

(8) In accordance with Article 7 of this contract FAIR shall reimburse GSI for expenses incurred on a full cost and pro rata temporis basis.


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Annex 2 – Measures and transactions concerning Administrative Business

According to Article 5 (1) b of this Business Management Contract, FAIR entrusts GSI with measures and transactions concerning administrative business. Details are specified below in

Annex 2.1 with respect to personnel;

Annex 2.2 with respect to standard accounting procedures;

Annex 2.3 with respect to services of the GSI organisational units Controlling and Administrative IT;

Annex 2.4 with respect to purchasing including tendering and award procedures.


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Annex 2.1 – Personnel

(1) Administration of employment contracts; employer – employee relations as delegated by FAIR to GSI for the purpose of the construction and operation of the FAIR facility;

This comprises all work arising in the ordinary course of business of the personnel department of GSI, including, but not limited to

- Administration of job chart

- Advertising in appropriate journals and newspapers as requested by FAIR

- Administrative preparation and follow-up of interviews

- Informing and elucidating employment conditions according to the FAIR staff rules to applicants and staff, responding to questions related to German Employment Law and Social Security Law

- Recruitment, grading, re-grading and transfer of personnel

- Matters involving co-determination of the works council

- Preparation of employment contracts up to signature

- Administration of payroll, salary reimbursement, Pension scheme

- Reintegration measures (German Social Security Code)

- Providing access to the joint training programme; personnel development

- Preparation of secondment contracts with third organisations

- Administration of annual appraisal interviews

- Drawing of letters of reference and certificates

- Administration of personnel files

- Assistance with accommodation and relocation

- Assistance with matters concerning child care and schools

- Assistance with matters concerning right of residence

- Liaison and support of visiting scientists, guests and users


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- Information about public traffic and shuttle – as the case may be

- Administration and settlement of travelling on company business; this does not include travel booking

- Compilation of statistics and reporting on matters related to the personnel (e.g. for the Annual Report)

- Labour time management (administration of times absent, leave of absence)

- Litigation, disciplinary measures, recourse, staff liaison and support

(2) GSI fulfils its obligations set out in paragraph (1) in accordance with the rules, regulations and policies issued by FAIR. FAIR is responsible to inform GSI about these rules, regulations and policies and on any update and amendments in due time and in written form. The work routine applied in matters of GSI's personnel shall be applicable accordingly. GSI shall inform FAIR about relevant work flow procedures.

(3) GSI's contractual obligations are limited to the operational implementation of the items listed in paragraph (1). Agreements and transactions between FAIR and third parties which go beyond the rules, regulations and policies communicated by the Parties have to be agreed by the Parties on an individual basis.

(4) FAIR shall remain solely responsible for any strategic and normative decisions, such as matters of corporate planning, litigation, matters concerning the works council etc.

(5) GSI shall not be responsible for the terms and substantive accuracy of the rules, regulations and policies issued and provided to it by FAIR.


(7) In accordance with Article 7 of this contract FAIR shall reimburse GSI the expenses incurred on a full cost and pro rata basis. Pro rata shall mean the proportion of number of FAIR staff utilising personnel services to number of GSI staff utilising personnel services.


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Annex 2.2 – Standard accounting procedures

(1) Standard accounting procedures

The GSI accounting department may support FAIR with general book-keeping and archiving functionality.

This comprises all routine work arising in the ordinary course of book-keeping, including, but not limited to:

- Book keeping tasks on the creditor’s side including the handling of invoices, checking of bank accounting and address data;

- Accounting of assets and accounting of assets under construction;

- consultancy and support service within the knowledge-basis established at GSI;

- basic module-specific support in handling and operation within the book-keeping component of the Enterprise Resource Planning (ERP)-system SAP.

(2) FAIR will organise its cash management independent of GSI. All tasks to prepare the annual financial statement should be performed under the governance of FAIR.

(3) GSI fulfils its obligations set out in paragraph (1) according to the rules, regulations and policies issued by FAIR. FAIR is responsible to inform GSI about these rules, regulations and policies and on any update and amendments in due time and in written form.



(6) In accordance with Article 7 of this contract FAIR shall reimburse GSI the expenses incurred on a full cost basis. The full costs of the accounting department and the number of transactions performed by the department per year are the basis of the calculation per business transaction. The exact calculus will be reported in detail every January as described in Article 7.


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Annex 2.3 – Services of the GSI organisational units Controlling and Administrative IT

(1) Services of the GSI organisational units Controlling and Administrative IT.

This comprises all work arising in the ordinary course of business connected to the ERP-system SAP and the tailoring of procedures and processes within an internal cost accounting and controlling environment, including, but not limited to

- basic administration of the ERP-system including the administration of user accounts and licensing procedures. Availability and functionality of the service will be less or equal to the level provided to GSI itself;

- consultancy and support access concerning the general handling and the main features of the ERP-system;

- basic module-specific support in handling and operation within the ERP-system SAP.

- consultancy on the use and functionality of the controlling module of the ERP-software;

- consultancy and support service within the established standard business processes at GSI.




(5) In accordance with Article 7 of this contract FAIR shall reimburse GSI the expenses incurred on a full cost basis. The full costs of the organisational units Controlling and Administrative IT and the individual time recording data of the staff member are the basis of a calculation at cost. The exact calculus will be reported in detail every January as described in Article 7.


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Annex 2.4 – Purchasing including tendering and award procedures

(1) Purchasing including tendering and award procedures

This comprises all work arising in the ordinary course of business of the purchasing department of GSI, including, but not limited to

- Purchasing of parts and services excluding civil construction of FAIR technical buildings (FAIR Site&Buildings);

- Depository and archival storage of all procurement transactions and documents including all tender documents;

- Internal mapping and follow-up of all contracts and purchasing orders within the ERP-system SAP;

- Invoice verification of all purchasing orders supervised by the purchasing department of GSI;

- Receipt of goods and dispatch handling;

- Warehouse management and issue of goods;

- Support, preparation and realization of award / tendering procedures:

o Support in public procurement law as required for the preparation of technical specifications

o Cooperation and support in the preparation of standard tender documents

o Compilation of bidding documents and of all other documents necessary within the award procedure in coordination with FAIR

o Determination of the award procedure (national, European, and global award procedures)

o Publication of the call for public tender

o Supervision of tenders

o Opening and logging of submitted offers

o Bid appraisal (formal check and check of eligibility verifications) incl. support

o Award of contract in coordination with FAIR


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(2) GSI may prepare the award of contracts without further inquiries up to EUR 50,000. If the expected contract price exceeds EUR 50,000, GSI will call FAIR for the expression of a recommendation for the award. GSI can prepare the award of contracts without further inquiries to FAIR only if FAIR regulations and standards are respected. All contracts should be awarded by FAIR. Contracts and purchasing orders are to be signed by authorised FAIR personnel. GSI can act on behalf of FAIR without any queries up to a value of 10 % of the initial actual contract value or below the value of EUR 50,000. FAIR shall decide within two weeks how to proceed further. GSI shall inform FAIR immediately if it is unlikely or impossible to find a suitable supplier or vendor to award the contract. FAIR shall call internal advisory committees immediately to foster an alternative solution.




(6) In accordance with Article 7 of this contract FAIR shall reimburse GSI the expenses incurred on a full cost basis. The full costs of the purchasing department and the individual time recording data of the staff member are the basis of a calculation at cost. The exact calculus will be reported in detail every January as described in Article 7.


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Annex 3 – Technical support business

According to Article 5 (1) c of this Business Management Contract, FAIR entrusts GSI with the following measures and transactions.

(1) Business of the GSI organisational units IT.

This comprises work arising in the ordinary course of business connected to the basic IT infrastructure, including, but not limited to

- administration of the office related IT infrastructure such as provision and support of Microsoft Office Suite;

- administration of the Exchange Server to provide E-Mail access for FAIR;

- administration of the FAIR File-Servers and appropriate backup and restore services;

- user administration within a dedicated Windows Domain;

- administration and access to printing services;

- user support and usage of the GSI Help Desk;

- administration, consultancy on the use and functionality of the Microsoft Office SharePoint Server;

- administration of FAIR EDMS structures.

(2) The Parties agree that implementation of this Annex 3 shall begin after the Parties have assessed and confirmed in writing that the IT infrastructure made available to the FAIR Company is technically specifiable in terms of IT security issues.

(3) GSI fulfils its obligations set out in paragraph (1) according to the rules, regulations and policies issued by FAIR. FAIR is responsible to inform GSI about these rules, regulations and policies and on any updates and amendments in due time and in written form.



(6) In accordance with Article 7 of this contract FAIR shall reimburse GSI the expenses incurred on a full cost and pro rata basis. Pro rata shall mean the proportion of number of FAIR users utilising IT services to number of GSI users utilising IT services. Special services and consultancy shall be reimbursed pro rata temporis.


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Deliverable D4.2 Copy of signed Final Act


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Deliverable D6.1 FAIR research programme report

The Physics Case of the Modularized Start Version – Report (Based on the Green Paper, the Modularized Start Version)

Zbigniew Majka, Darmstadt, 20 September 2010 The FAIR core facility embraces the experiments of the 14 approved technical proposals as stated by the International Steering Committee (8th ISC Meeting, July 24, 2006, Berlin). These approved experiments form the four scientific pillars of the FAIR research programme and comprise ambitious fore-front studies in hadron, nuclear, and atomic physics and applied sciences. Already today, over two 2500 scientists and engineers are involved in the design and preparation of the FAIR experiments. They are organized in the experimental collaborations listed below. APPA - Atomic, Plasma Physics and Applications including the following research activities: BIOMAT - BIOlogy and MATerial science FLAIR - Facility for Low-energy Antiproton and Heavy Ion Research HEDgeHOB/WDM - Plasma physics experimental stations SPARC - Stored Particle Atomic Research Collaboration

CBM/HADES - Compressed Baryonic Matter NuSTAR - Nuclear Structure, Astrophysics and Reactions

including the following experiments:

R3B – Reaction with Relativistic Radioactive Beams DESPEC – DEcay SPEctroscopy HISPEC – HIgh resolution SPEctroscopy

MATS – Precision Measurements of very short-lived nuclei with Advanced Trapping System

LASPEC – LAser SPECtroscopy of short-lived nuclei ILIMA – Isomeric beams LIfetimes and MAsses PANDA - AntiProton ANnihilation in DArmstadt The following sections demonstrate how the Modularized Start Version enables the four research communities to perform a world-leading research programme at FAIR.

1. APPA - Atomic, Plasma Physics and Applications The APPA collaborations fully support all efforts to start FAIR with the proposed Modularized Start Version. In particular, it welcomes all efforts to start irradiation


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experiments earlier than originally scheduled. The APPA experimental hall built within Module 1 will allow novel and exciting experiments in the realm of bio and materials sciences as well as in atomic and plasma physics. The BIOMAT Collaboration: Biophysics The collaborations within biophysics will tackle problems related to radiation damage induced by cosmic rays and protection issues for the moon/Mars missions. FAIR will provide beams of very high energy, whose biological effectiveness was never studied in the past, but whose contribution to the dose equivalent in space is very significant. This applies to damage in human cells as well as to spacecraft microelectronics and detectors. Ground-based research simulating cosmic radiation has already been launched by the European Space Agency (ESA) and is based at the GSI accelerators, currently at SIS and in the future at FAIR. It is expected that the experimental programme, including the NASA Space Radiation Health Program, will lead to effective strategies for protection of crews of interplanetary missions. These research activities, which include operation as the ESA reference laboratory will be carried out within Module 1. Other research topics of the biophysics community will cover basic studies in cancer therapy with heavy ions at SIS18 including the treatment of moving targets (e.g. tumours in the lung and liver), the use of different ions (e.g. He or O) in oncological therapy, and the applications of heavy ions in non-cancer diseases (e.g. heart arrhythmia). The BIOMAT Collaboration: Material Sciences At present, there exist almost no experimental data on material modification with projectiles of energies above 1 GeV/u. Basic ion-matter interaction processes at FAIR energies can be investigated as soon as the dedicated APPA cave is provided with adequate beam lines and full beam control. Ions of FAIR energies have an enormous range and therefore penetrate through macroscopic sample layers and will allow irradiations of materials pressurized in-between thick anvils. Such experiments provide novel access to fundamental studies of matter under extreme conditions, complementing existing tools such as neutrons and synchrotron photons. Other investigations in this field include short-time processes e.g., the emission of electrons, electromagnetic radiation (x-rays, Cherenkov light, etc.), and atoms or atomic clusters, as well as measurements of relativistic contributions to the ion stopping process or the creation of shock waves. The FLAIR Collaboration Low-energy antiprotons will be available at FAIR with Module 4. The currently running experiments at the Antiproton Decelerator (AD) of CERN will be able to continue operation for the next few years as decided recently by the CERN management. A delay in the construction of FLAIR at FAIR will be temporarily bridged by the ELENA project at CERN. It can however not replace FLAIR in antiproton intensity and in providing slow extraction, and also lacks the synergies with highly charged ions and unstable nuclei available only at FAIR. The HEDgeHOB Collaboration The HEDgeHOB collaboration is pleased to see that High Energy Density Plasma Physics is part of Module 1 of the Modularized Start Version, which will be a very efficient tool to generate high energy-density states in macroscopic amounts. This will thus enable to study


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astrophysical processes in the laboratory under controlled and reproducible conditions. Long-standing open questions of basic equation of state (EOS) research can be addressed. The Modularized Start Version of FAIR has the outstanding potential of allowing studies of the phase diagram in the regime of strongly coupled plasma and warm dense matter where phase transitions are expected to occur. The investigation of dense plasmas is a challenging task, because most of the standard diagnostic tools, which are well known from atomic and plasma physics, fail at the high density and complex electronic properties of the plasma samples to be probed. Furthermore, these extreme states of matter are available in the laboratory only in a highly transient state. The HIHEX and LAPLAS experiments planned by the HEDgeHOB collaboration therefore require a high temporal and spatial resolution of the diagnostics, comparable with the hydrodynamic time scale for the expansion of the beam-heated target material. The dedicated APPA experimental hall will allow for the following essential components for the HIHEX and LAPLAS experiments:

• a beam line from SIS100 equipped with a strong final focusing system (FFS); • a beam-line from SIS18 perpendicular to the SIS100 beam line for high energy proton

microscopy; • the necessary space to accommodate the target chamber, adjacent diagnostic devices

and the PRIOR microscopy set-up. Proton Microscopy with a high-energy proton beam delivered from SIS18 simultaneously with the plasma-generating intense beam from SIS100 is an extremely attractive future for the new facility to the HEDgeHOB collaboration, ensuring significant progress in High Energy Density Physics due to precise investigations on the density evolution of the plasma samples. The Warm Dense Matter Collaboration The WDM collaboration endorses the new staged plan for the construction of the FAIR start version. The availability of high-energy, high-intensity ion-beams enables the investigation of High Energy Density Matter in regimes of higher temperature, density and pressure than before and will allow probing a wide area in the phase diagram. Fundamental questions of radiative properties and the atomic physics in dense environments can be addressed in this regime. An intense laser is a key diagnostic tool to probe and modify matter in these investigations. The available phase space region includes the critical point of most materials where the behaviour of matter is rich of interesting fundamental physics phenomena and the properties of many materials in this regime are unknown. For some of these materials measurements of transport properties and of the equation of state have important technical implications. The experimental hall for APPA experiments planned in Module 1 of the Modularized Start Version fulfils the prime features of the WDM experiments, which are a strong final focus system, a target chamber that allows for experiments using a high intensity laser and sufficient room to install a high energy, high power laser. The combination of this laser with the SIS100 beam will address the central part of the WDM programme, which relies on x-ray scattering in the ion beam heated matter as a main diagnostic tool. This laser is also a source for intense broadband XUV radiation for opacity measurements in the WDM regime where a theoretical description of matter is largely hampered by the complete lack of experimental data.


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The SPARC Collaboration For atomic physics with highly charged ions, the research programme proposed will concentrate on two central research themes: a) the correlated electron dynamics in strong, ultra-short electromagnetic fields including the production of electron-positron pairs and b) fundamental interactions between electrons and heavy nuclei – in particular the interactions described by Quantum Electrodynamics, QED. Here bound-state QED in the critical and super-critical fields is the focus of the research programme. In addition, atomic physics techniques will be used to determine properties of stable and unstable nuclei and to perform tests of predictions of fundamental theories besides QED. The high-energy programme of SPARC will be addressed in novel experiments at the APPA hall at SIS100, relying on a charge state separator for the ions after interactions produced in a reaction chamber. The discovery potential of this part of the SPARC programme comprises topics such as

• QED in extreme fields • correlated many-body dynamics via ultra-short and super-intense field pulses (<10-18

s) • exploration of novel electromagnetic interaction processes

At SIS100 relativistic heavy ions for strong-field collision studies will be used. In the extremely short, relativistically enhanced field pulses, the critical field limit (Schwinger limit) for lepton pair production can be surpassed by orders of magnitude and a breakdown of perturbative approximations for pair production is expected. The detection methods of reaction microscopes will measure the momentum of all fragments produced when atoms or molecules disintegrate in the strong field pulses of the ions. This allows a very detailed characterization and test of theories of multi-photon processes in regimes that are still far from being reached with high-power lasers. In addition, we investigate the correlated motion of electrons bound to atomic targets thus providing much needed benchmarks for a relativistic a-priori many-body theory. Further challenging experiments will exploit resonant coherent excitation of ions passing through crystals at relativistic velocities. In combination with the high-energy beams of SIS100, resonant coherent excitation can now be applied for precision spectroscopy of highly charged heavy ions and for the very first time to the excitation of nuclear levels with high selectivity. Beside the reaction microscope mentioned, novel instrumentations will be developed and used by the collaboration. These include micro-calorimeters and polarimeters for hard x-rays and spectrometers for electrons, positrons and ions. In addition, novel lasers and targets (gaseous, micro droplet, and superfluid targets) will be exploited. All of these developments are also of particular relevance for future prospects of the SPARC physics programme which concentrates on storage rings and traps, and will become possible with Module 4. For the realization of this programme the ESR storage ring and the HITRAP facility need to be maintained in operation at GSI until they shall be surpassed by Module 4. In summary, worldwide unique experiments in the realm of atomic physics with highly-charged ions will be addressed in the context of the Modularized Start Version.

2. CBM/HADES - Compressed Baryonic Matter


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The mission of high-energy nucleus-nucleus collision experiments worldwide is to investigate the properties of strongly interacting matter under extreme conditions. At very high collision energies, as available at RHIC and LHC, the measurements concentrate on the study of the properties of deconfined QCD matter at very high temperatures and almost zero net baryon densities. Complementarily, HADES and CBM at SIS100/300 will explore the QCD phase diagram in the region of very high baryon densities and moderate temperatures. This approach includes the study of the nuclear matter equation-of-state, the search for new forms of matter, the search for the predicted first order phase transition between hadronic and partonic matter, the QCD critical endpoint, and the chiral phase transition, which is related to the origin of hadron masses. While SIS300 provides the long term prospective the immediate roadmap is constituted by the unique experiments that are made with the combination of the upgraded HADES detector, an initial implementation of CBM, and SIS100 beams. The upgrade of HADES with timing RPC detectors is already in progress. The SIS100 accelerator will deliver ion beams with energies up to 11 (14) A GeV for Au (Ca) nuclei. According to microscopic transport calculations, baryon densities of up to 6 times saturation density are reached in these collisions. Moreover, proton beams with energies of up to 29 GeV will be available. Experiments at the Modularized Start Version using these beams will address the following fundamental questions:

• What is the electromagnetic structure of dense baryonic matter? • What are the properties of hadrons in dense baryonic matter? • Is chiral symmetry restored at very high baryon densities? • What is the equation-of-state of nuclear matter at neutron star core densities? • What are the relevant degrees-of-freedom in the vicinity of the deconfinement phase

transition? • Does strange matter exist in the form of heavy multi-strange objects? • How is charm produced at threshold beam energies? • How does charm propagate in nuclear matter?

Heavy-ion collisions in the SIS100 energy range have been pioneered at the AGS in Brookhaven with gold beams in the energy range from 2 – 11 A GeV. However, the experiments at AGS concentrated on the measurement of hadrons that undergo strong final state interactions, and, therefore, carry only limited information on the early and dense stage of the collision. In particular, no measurements of penetrating probes such as lepton pairs have been performed. Moreover, the investigation of strangeness production was restricted to the measurements of kaons and lambdas, since no multi-strange hyperons have been measured (except for two Xi data points). Observables like phi-mesons, K*, Xi and Omegas, however, are expected to be extremely sensitive to the properties of dense nuclear matter, and, therefore, offer the possibility to explore the early and dense fireball produced in heavy-ion collisions. The proton beams permit to perform unique experiments to investigate the production and propagation of particles with open charm at threshold energies. This has so far not been explored. The electromagnetic structure of dense baryonic matter and the in-medium properties of hadrons will be studied by measuring dilepton pairs using the HADES detector in nucleus-nucleus collisions up to about Ni+Ni. Heavier collision systems will be measured with CBM, which in this case consists of the dipole magnet, the Silicon Tracking System (STS) and lepton detectors (either RICH and TRD for electrons, or the muon detector).


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The nuclear matter equation-of-state will be studied by measuring the excitation function of multi-strange hyperon production and the collective flow of hadrons in heavy-ion collisions at energies between 2 and 11 A GeV. First data on the proton flow taken at AGS were compatible with a wide range of values for the nuclear compressibility between 170 and 380 MeV. The precise determination of the EOS requires simultaneous yield- and flow measurements of many strange and non-strange hadron species, so far not detected at all or with insufficient statistics. These experiments will be performed with a CBM detector system consisting of the dipole magnet, the STS, the RPC-TOF wall, and the Projectile Spectator Detector (PSD) for event characterization. In addition, this setup allows for the identification of short-lived composite objects with multiple units of strangeness decaying into charged particles, even at production rates as low as one single multi-strange object in 1 billion Au+Au collisions. The CBM heavy flavour programme can be started by measuring open charm and charmonium in proton-nucleus collisions at energies of up to 29 GeV. For these experiments, the CBM detector will be equipped with a micro-vertex detector (open charm) and with a start version of the muon detector system (charmonium). The feasibility of the measurements discussed above has been demonstrated in realistic simulations. The CBM/HADES cave will be reduced in size as compared to the former layout. The cave is large enough to host the full CBM set-up without HADES detector, or the HADES detector together with the initial implementation of CBM comprising the magnet, the STS, the muon detector and the PSD. For photon measurements, the muon detector will be replaced by an electromagnetic calorimeter (ECAL). The CBM setup will be equipped with high-rate and radiation hard detectors, self-triggered read-out electronics, high-speed data acquisition, and an ultra-fast online event selection performed on a PC farm consisting of many-core computers accelerated with graphics cards. In conclusion, the combination of the HADES detector with the initial CBM setup is very well suited to start an internationally competitive nuclear-matter research programme with a substantial discovery potential using beams from SIS100. Already now appears the full potential of the complete CBM set-up using SIS300 as a world-wide unique vista in the search for quark-gluon matter at ultra-high baryon densities.

3. NuSTAR - Nuclear Structure, Astrophysics and Reactions The central part of the NuSTAR programme at FAIR is the high acceptance Super‐FRS in Module 2 with its multi‐stage separation that will provide high intensity mono‐isotopic radioactive ion beams of bare and highly-ionized exotic nuclei at and close to the driplines. This separator, in conjunction with high intensity primary beams with energies up to 1.5 AGeV, is the keystone for a competitive NuSTAR physics programme. Only with the Super-FRS will it be possible to reach the r-process path in heavy nuclei and the neutron dripline in medium heavy nuclei. It should be pointed out that even before the completion of the SIS 100 the direct primary beams from SIS18 together with the Super-FRS would allow world-leading experiments, i.e. with an appropriate time line for construction it would be the first productive scientific programme at FAIR. It should also be noted that NuSTAR has already started its science programme at the current GSI facility and that investment in NuSTAR


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equipment has already begun in a number of countries. This equipment will be commissioned and exploited at the FRS and moved to the Super-FRS as soon as it becomes available. Module 2 foresees the construction of the Super-FRS together with the experimental area of the high‐energy branch (HEB). Besides the focal planes, this would be the one experimental area available to NuSTAR. Hereinafter it will be assumed that if this scenario is implemented that this experimental area can be shaped to the needs of different experiments, i.e., to accommodate all fixed target NuSTAR experiments (R3B, HISPEC/DESPEC, MATS, LASPEC) with a start version of their respective set‐ups. The R3B experiment will reach its full scientific capability in this scenario. Below, highlights of the NuSTAR research programme, which are possible with Module 2, are summarised: R3B: reaction studies at the highest energies in complete kinematics - here the full R3B programme as described in the NuSTAR LoI and TDR will be accessible.

• Investigation of few body correlations at and beyond the driplines for the study of halo nuclei, and nuclei as open quantum systems.

• Measurement of the dipole response below and above the particle threshold (Pygmy response, neutron skins, neutron matter properties, equation of state)

• Investigation of the isospin dependence of nuclear structure and the evolution of shell structure and single-particle occupancies using knock‐out and quasi‐free scattering experiments

• Investigation of nuclear dynamics in fission and the symmetry energy at supra-saturation density in fragmentation reactions

• Measurement of (γ,n) reaction rates for r-process nuclei DESPEC: decay spectroscopy using gamma-ray and neutron spectroscopy following isomeric or beta-decay of very exotic nuclei (DESPEC) with production rates between 1000 per second and 1 per hour at the Super-FRS focal point

• Measurement of absolute Gamow Teller strength values • Investigations of 100Sn and nuclei along/beyond the proton dripline • Structure of nuclei in heavy r‐process region • Measurement of g-factors of isomeric states and half lives of very short-lived isomers

HISPEC: high-resolution in-flight gamma spectroscopy (HISPEC with AGATA) by using the R3B target position or a target position in front of R3B.

• Probing the evolution of nuclear shell structure in very neutron-rich medium-heavy nuclei using Coulomb-excitation, knock-out, and secondary fragmentation

• Probing the evolution of nuclear collectivity far from stability using lifetime and g-factor measurements

MATS and LASPEC: precision masses and ground-state moment measurements of short-lived nuclei and refractory elements not available at ISOL facilities by using ion-traps and laser spectroscopy by inserting a gas-stopping cell before or behind the R3B target and delivering low-energy beams to the respective set-ups.


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Module 3 contains among other items the construction of a storage ring, the CR. A world-wide unique feature of the NuSTAR programme at FAIR is the ability to perform experiments with stored radioactive ion beams. The current successful programme of the FRS-ESR facility at the GSI underlines this fact. With the much higher production rates of the Super-FRS and the efficient injection and collection in the CR a unique and world-leading component of the NuSTAR programme, namely the ILIMA experiment can be started, allowing for direct mass measurements of hundreds of nuclei with half-lives in the millisecond region, half-life experiments on highly-charged exotic ions and studies of long-lived isomeric states. A highlight will be the measurement of r-process nuclei responsible for the A~195 abundance peak, for which no nuclear data exists so far. It should be pointed out that the NuSTAR community comprises scientists from most of the FAIR partner countries and that NuSTAR is of highest priority over other radioactive beam facilities for most scientists involved. In order to keep the NuSTAR collaboration engaged at GSI and FAIR it is of the utmost importance to keep the FRS and ESR operational up to the time when the Super-FRS becomes available. In closing, it should be reemphasized that the NuSTAR collaboration will carry out a world leading experimental programme and will achieve compelling and unique scientific results with the Modularized Start Version. The availability of the much higher intensities and purities of radioactive ion beams from the Super-FRS will enable the NuSTAR collaboration not only to be competitive with other next-generation facilities, but to generate a very high scientific impact as well.

4. PANDA - AntiProton ANnihilation in DArmstadt Physics has been very successful in identifying the fundamental building blocks of nature, but already at the first level of complexity, where these building blocks join to form real-world particles such as nucleons, our understanding falters. Hence, the big challenge in hadron physics currently is to achieve a quantitative understanding of strongly interacting complex systems at the level of quarks and gluons. Antiproton experiments have proved to be particularly promising in this respect. The PANDA experiment at FAIR will bring new fundamental knowledge in hadron physics not only through its potential for “discovering the unexpected”, but also by pushing the precision barrier towards new limits. The combination of the PANDA detector with the antiproton accelerator at FAIR is internationally unique in this respect. It opens up the possibility of exploring a large spectrum of physics with unprecedented breadth and precision. In the evolution of the universe, some microseconds after the Big Bang, a coalescence of quarks to hadrons occurred which was associated with the generation of mass. The elementary light quarks, the so-called up and down current quarks, have very small masses of order MeV. They contribute only a few percent to the mass of the nucleon of 1 GeV. Most of the nucleon’s mass, and therefore of the visible universe, comes from the QCD interaction itself. This generation of mass is associated with the spontaneous breaking of chiral symmetry, one of the fundamental symmetries of QCD in the limit of massless quarks, and the confinement of quarks in hadrons. PANDA will contribute significantly to our understanding of quark confinement by precision spectroscopy of charmonium states and detailed measurements of their electromagnetic and hadronic decay properties.


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The interaction between quarks and gluons is well described by the field theory Quantum Chromodynamics (QCD) in the high-energy, perturbative regime, where the strong interaction actually becomes weak. A pertubative description fails at distances comparable to the size of the nucleon, the characteristic dimension of our microscopic world. Because of the large coupling constant in this regime, non-perturbative methods such as Lattice-QCD, or effective field theories, need to be developed and checked by experiment to obtain a quantitative understanding of the structure of hadrons. PANDA will contribute to this enterprise very significantly already in its early stages by e.g. performing precision measurements of open charm production. One of the chief goals of PANDA is the search for exotic hadronic matter such as hybrid mesons or heavy glueballs. Recently, this field has attracted much attention with the surprise observation at electron-positron colliders of the new X, Y and Z states with masses around 4 GeV. These heavy particles show very unusual properties, whose theoretical interpretation is entirely open. Speculations range from quarks having formed tetra-quark states to quark molecules. From the experimental side, little can be contributed by current or planned experiments except PANDA. This is due to the fact that only PANDA will be capable of scanning the resonance curves of narrow states precisely, and thus determine the width or lifetime of such long-lived heavy particles. Indeed, it seems that a new door has opened in the spectroscopy of exotic particles, showing us the richness of phenomena caused by the strong interaction. The search for exotic hadrons at PANDA will start as soon as the HESR becomes operational. In more general terms, it is the physics of antiproton-proton annihilations that gives PANDA access to a much broader spectrum of states than observable at e.g. electron-positron colliders (so-called B-factories). At PANDA, the restriction to certain quantum numbers does not exist. We now know - not only from past LEAR experiments with antiprotons, but also from the observation of some of these new states at the high-energy collider experiments at Fermilab - that unusual states couple significantly to the antiproton-proton system and hence can be observed with good statistics at PANDA. Due to the successful detector R&D done for PANDA in general, and for its electromagnetic calorimeter in particular, novel high-precision studies of electromagnetic processes in the crossed channel or time-like region are now also within reach of the PANDA physics program, enabling further insight into the structure of the nucleon. Other physics pillars of PANDA like antiproton annihilation on nuclei, hypernuclear physics with antiproton beams, or baryon physics have been developed further in recent years. For instance, PANDA will be exceptionally fit for studying the interaction between strange baryons (Λ-Λ) by imbedding them in a nucleus and performing high-precision spectroscopy on the resulting doubly strange hypernucleus. Recently, two remarkable theoretical approaches hint at the possibility that hadron physics is of very fundamental character indeed. The theoretical framework of AdS/CFT makes a connection between string theory and hadron physics. The experimental observation or falsification of hadron spectra predicted in these “stringy models” would be a significant test of a theory that is otherwise hard to prove. Similarly fundamental is a second theoretical proposal, which - backed by a lattice calculation - uses the self-interaction of gauge bosons to explain that part of the mass in a galaxy that we interpret as dark matter. This ansatz could


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possibly help solve the dark energy problem, too. If true, the mass creation that are observed in strong interactions could be the prime testing ground for such non-Abelian models, and might have far-reaching cosmological implications. Over the past few years, PANDA has written a detailed physics book, thoroughly reviewing its physics programme. In addition, a Theory Advisory Group of eminent theorists has been established to react to new theoretical (and experimental) developments in a timely and efficient manner. To summarize: The PANDA physics programme has become even stronger in recent years, both experimentally and theoretically, due to the observation of new physics phenomena. Some of the open questions that have recently arisen can only be answered by antiproton studies with PANDA, making this experiment a unique tool for hadron physics. In addition, detector developments have put PANDA in the position to be confident of performing its scientific programme with unprecedented precision – a prerequisite for significant progress in physics. Cutting-edge measurements will be done by PANDA from the very beginning of the Modularized Start Version. However, the PANDA programme has the potential for an even enlarged scope given by the future upgrades of the FAIR facility.


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Deliverable D6.2 Status of the TDRs preparation and evaluation Zbigniew Majka, Darmstadt, 20 September 2010 1.1.1. CBM: Roadmap towards TDRs and construction exists. 1.2.1. LEB Super FRS (see WP7 – report) 1.2.2. HISPEC/DESPEC HI-SPEC: AGATA: TDR available although funded externally. LYCCA: Approved TDR. Funded. Plunger: TDR to be submitted 12/2010. Funded. HYDE: TDR planned for 12/2012. R&D funded. Tracking:Ongoing R&D. DE-SPEC AIDA: TDR submitted although funded externally (UK). Fast timing detector: ongoing. n-TOF: ongoing. BELEN: ongoing. Total absorption detector: ongoing Tracking:Ongoing R&D. 1.2.3. MATS: Complete TDR for MATS and LaSpec finished, approved and published. 1.2.4. LASPEC: Complete TDR for LASPEC and MATS finished, approved and published. 1.2.5. R3B: Status reports have been written concerning the detector developments of the two large detectors NeuLAND for neutron detection and the calorimeter CALIFA for proton and gamma detection. The TDRs are expected to be delivered in 2012. 1.2.6. ILIMA: A TDR on high-gain resonant Schottky pickups is being prepared. 1.2.7. – 1.2.8. ELISE - 1.2.9. EXL: The plan is to have a working document (or pre-TDR) for the major parts of EXL by the middle of 2011. 1.3.1. SPARC: Several of TDRs are presently in work. This will also be a central issue of the SPARCcollaboration meeting in Lanzhou, Aug. 24. – 27. 2010. 1.3.2. HEDgeHOB: TDR/TDRs are in progress work on the main items has started. 1.3.3. WDM: -


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1.3.4. FLAIR: We will submit a TDR later this year for one of the central components of FLAIR, the LSR, for which the Manne Siegbahn Laboratory has been modifying their CRYRING storage ring as part of the Swedish contribution to FAIR. CRYRING will be ready to be installed shortly after and will need to be put into storage as the building will not be ready. 1.3.5. BIOMAT BIO-Phy: The technical design proposal is still valid, pending the well-known reconstruction of the experimental cave under discussion. MAT-Sc: - 1.4.1. PANDA: We have provided TDRs for the EMC and the magnets. The target TDR is to follow soon. All other TDRs will be submitted once the R&D is finished.


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Deliverable D6.3 Status of FAIR experiments Zbigniew Majka, Darmstadt, 20 September 2010

FAIR experiments organisation diagram

1.1.1. CBM/ Peter Senger 1. Status of the IMoU: Draft exists, ready for signature by CBM member institutions, will be signed also by FAIR GmbH. 2. Status of the TDRs: Roadmap towards TDRs and construction exists.


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3. Financing of the experimental equipment construction: IMoU signatories express their intention to take over the responsibility for construction work packages for (one or more) Sub-Systems of the CBM experiment. The updated cost matrix of the CBM detector comprises intended in-kind contributions by the institutions of CBM collaboration. New estimate CBM construction costs (in 2009 prices) performed. Intended In-Kind contributions cover at present 86,5% of the construction cost. 4. Status of the experimental setup construction: Roadmap towards TDRs and construction exists. 5. Expected readiness to move in the experimental equipment into the experimental area. As soon as cave will be ready (assumption Q3 2016). 6. Recent and coming Collaboration Meetings. 16th CBM Collaboration Meeting September 27 - October 1, 2010, Mamaia, Romania Recent Meetings: Workshop for Future Challenges in Tracking and Trigger Concepts June 7-11, 2010, GSI, Darmstadt 15th CBM Collaboration Meeting April 12-16, 2010, GSI, Darmstadt Compressed Baryonic MatterPhysics Workshop April 14, 2010, GSI, Darmstadt CBM FEE/DAQ Workshop, February 22-23, 2010, GSI, Darmstadt 1st workshop on Ultra-light Silicon Tracking andVertex Detection Systems February 17 18, 2010 GSI, Darmstadt 7. Risk assessment of the experiment preparation and realization The CBM management will assess the technical risks of the cutting edge or even future technologies by organizing subsequent reviews (see roadmap) FAIR GmbH will be founded in Fall 2010, Civil Construction start end 2011, CBM installation in 2016 Schedule towards CBM TDRs and construction:

– comprehensive Sub-System Note during Q4 2010 – Design Review during Q1 2011 (CBM organized, ext. reviewers) – TDRs in Q1 2012 (external evaluation organized by FAIR management) – final steps of engineering design – production readiness review (Q1 2013) – begin installation (Q3 2016)

1.2.1. LEB Super FRS /

(see WP7 – report)

1.2.2. HISPEC/DESPEC

HI-SPEC/Dirk Rudolph


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The core devices for the HISPEC collaboration include - the AGATA segmented Ge-detector array (financed outside but along FAIR) - the LYCCA charged particle calorimeter - the Plunger Device for lifetime measurements - the HYDE charged particle spectroscopy array (slowed-down beams) - Beam Tracking detectors (slowed-down beams) - EDAQ (NUSTAR framework) 1. Status of the IMoU: HISPEC has a running IMoU in the framwork of the NUSTAR IMoU. 2. Status of the TDR/TDRs: AGATA: TDR available although funded externally. LYCCA: Approved TDR. Funded. Plunger: TDR to be submitted 12/2010. Funded. HYDE: TDR planned for 12/2012. R&D funded. Tracking:Ongoing R&D. 3. Financing of the experimental equipment construction: The money matrix of both existing and intended funds cover the planned experimental equipment. 4. Status of the experimental setup construction. AGATA: Demonstrator completed: 5 Cluster. PRESPEC version funded (~2012): 10 Cluster + 5 Doubles. Applications for more Cluster ongoing. Expected HISPEC (~2017): ~25 Cluster + 5 Doubles LYCCA: LYCCA-0 existing at GSI (~40% of LYCCA). Ready by end of 2013. Plunger: Ready by end of 2013. HYDE: Existing prototypes. Awaits in-beam testing. Tracking: Existing prototypes. Awaits in-beam testing. 5. Expected readiness to move in the experimental equipment into the experimental area: 2011-2013 foresees an in-beam PRESPEC campaign at GSI-FRS considered "HISPEC-0", including AGATA Demonstrator, LYCCA-0, and possibly a Plunger (and a hydrogen target delivered by CEA Saclay/France). This high-energy set-up has a readiness follwing the original FAIR schedule. 2016-2017 is about the time when AGATA would be available again at GSI/FAIR. Even the slowed-down beam components (HYDE, tracking detectors should be ready to move in 2017. HISPEC devices may be used for Super-FRS commissioning. 6. Recent and coming Collaboration Meetings Regular meetings about every six months, typically within the NUSTAR week(s). Regular (every 4-6 weeks) HISPEC-DESPEC telephone conferences. NUSTAR working groups on EDAQ, simulations, and detector classes. 7. Risk assessment of the experiment preparation and realization: Low. Core equipment is already existing or funded, and HISPEC is being prepared via the PRESPEC phase at GSI-FRS. DE-SPEC/Alison Bruce The core devices for the DESPEC collaboration include - the AIDA advanced implantation detector array - fast timing detector - n-TOF neutron time of flight detector


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- BELEN BEta deLayEd Neutron detector - LaBr3 and NaI Total absorption detector - Beam Tracking detectors (slowed-down beams) - EDAQ (NUSTAR framework) 1. Status of the IMoU: DESPEC has a running IMoU in the framwork of the NUSTAR IMoU. 2. Status of the TDR/TDRs: AIDA: TDR submitted although funded externally (UK). Fast timing detector: ongoing. n-TOF: ongoing. BELEN: ongoing. Total absorption detector: ongoing Tracking:Ongoing R&D. 3. Financing of the experimental equipment construction: The money matrix of both existing and intended funds cover the planned experimental equipment. 4. Status of the experimental setup construction: AIDA: PRESPEC version awaiting in-beam testing. Fast timing detector: development recently funded in the UK n-TOF: Prototype already tested in Jyvaskyla BELEN: Prototype already tested in Jyvaskyla Total absorption detector: Prototype already tested in Jyvaskyla Tracking:Existing prototypes. Awaits in-beam testing. 5. Expected readiness to move in the experimental equipment into the experimental area: 2013 foresees an in-beam PRESPEC decay campaign at GSI-FRS. This will be a pre-cursor for the move to FAIR in 2016-2017. 6. Recent and coming Collaboration Meetings: Regular meetings about every six months, typically within the NUSTAR week(s). Regular (every 4-6 weeks) HISPEC-DESPEC telephone conferences. NUSTAR working groups on EDAQ, simulations, and detector classes. 7. Risk assessment of the experiment preparation and realization: Low. Core equipment is already existing or funded, and DESPEC is being prepared via the PRESPEC phase at GSI-FRS. 1.2.3. MATS /Klaus Blaum 1. Status of the IMoU: NUSTAR IMoU: It was signed. At least a full version was prepared and submitted from MATS. 2. Status of the TDR/TDRs: Complete TDR for MATS and LaSpec finished, approved and published: MATS and LaSpec: High-precision experiments using ion traps and lasers at FAIR, D. Rodríguez, K.Blaum, W. Nörtershäuser, et al. Eur. Phys. J. Special Topics 183, 1-123 (2010) 3. Financing of the experimental equipment construction: No funding from FAIR budget yet, beyond small amounts of "Preparatory Phase Money from GSI (about 5-10t€/year). Some national BMBF funds were received for prototype developments at the Institute for Physics, University of Giessen and at the Institute for Physics at the University of Greifswald. This was used to build a prototype isobaric


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seperator and a non-destructive detector system. Groups at the University of Jyväskylä received some funds for the construction of a readiofrequency quadrupole. 4. Status of the experimental setup construction: A working prototype of the Penning trap mass spectrometer beamline is operational at the TRIGA Reactor Mainz 5. Expected readiness to move in the experimental equipment into the experimental area: The prototype could be moved for beamtimes right away. We are ready to move to FAIR as soon as the first beams are available and the gas cell for stopping of the high energy beam is available. The gas cell is under construction and first tests at the FRS are planned for next year. 6. Recent and coming Collaboration Meetings: Last collaboration meeting at the NUSTAR meeting at GSI, next collaboration meeting scheduled for the Lund meeting in October 7. Risk assessment of the experiment preparation and realization: From the collaboration side: NO RISK Other RISKS: The LEB building is not included in the first modules of FAIR, possible alternatives: Pending and subject to investigation for suitability 1.2.4. LASPEC/Wilfried Noertershaeuser

1. Status of the IMoU: NUSTAR IMoU: It was signed. 2. Status of the TDR/TDRs: Complete TDR for LASPEC and MATS finished, approved and published: MATS and LaSpec: High-precision experiments using ion traps and lasers at FAIR D. Rodríguez, K. Blaum, W. Nörtershäuser, et al. Eur. Phys. J. Special Topics 183, 1-123 (2010). 3.Financing of the experimental equipment construction: No funding from FAIR budget yet, beyond small amounts of "Preparatory Phase Money" from GSI. Some third party funds were received for prototype development at the Institute for Nuclear Chemistry at Mainz. This was used to build a prototype beamline at Mainz. No national funding yet. Funding by BMBF (Germany, Wendt, Noertershaeuser) and by STFC (Great Britain, Campbell) postponed. 4. Status of the experimental setup construction: A working prototype of the collinear atom beamline is operational at the TRIGA Reactor Mainz. 5. Expected readiness to move in the experimental equipment into the experimental area: The prototype could be moved for beamtimes right away. We are ready to move to FAIR as soon as the first beams are available and the gas cell for stopping of the high energy beam is available. The gas cell is under construction and first tests at the FRS are planned for next year. 6. Recent and coming Collaboration Meetings: Last collaboration meeting at the NUSTAR meeting at GSI, next collaboration meeting scheduled for the Lund meeting in October. 7. Risk assessment of the experiment preparation and realization: From the collaboration side: NO RISK Other RISKS: The LEB building is not included in the first modules of FAIR, possible alternatives: Pending and subject to investigation for suitability.


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1.2.5. R3B/Thomas Aumann

1. Status of the IMoU: The NuSTAR collaboration has an interim MoU, which is effective since 2008. The IMoU of the R3B collaboration is part of this NuSTAR IMoU. The R3B related matter is spelled out in Annex 3.8 of the NuSTAR IMoU. The collaboration plans to update the IMoU after the FAIR GmbH is founded. 2. Status of the TDR/TDRs: Status reports have been written concerning the detector developments of the two large detectors NeuLAND for neutron detection and the calorimeter CALIFA for proton and gamma detection. The TDRs are expected to be delivered in 2012. 3. Financing of the experimental equipment construction: The planned financing of the R3B experiment Phase 1 is described in the IMoU. The total cost amount to 14.6 MEuro (as evaluated and recommended by the CORE review committee). 5.5 MEuro of these cost are related to the construction of the superconducting dipole magnet. This budget is secured and the magnet is already being constructed. The budget for the development and construction of the target recoil detector has been allocated by UK funding agencies. The responsibility for the construction is with the Daresbury Laboratory. The remaining financing has still the status of intentions of the various participants since the funding agencies have not yet agreed on. It is expected that decisions on funding applications will be done after the FAIR GmbH has been founded. 4. Status of the experimental setup construction.: The construction of the dipole magnet is ongoing. We expect delivery of the magnet to GSI end of 2012. The dipole will be installed in Cave C at GSI and will finally be placed in the FAIR R3B hall when the FAIR halls will be ready for installation. It is planned to start construction of 20% of the big detector systems NeuLAND and CALIFA in 2012. Those will be integrated in the current R3B precursor system running in Cave C. A stepwise upgrade of this setup towards the full R3B system is being planned to happen in the years 2012 to 2016. The experiment is expected to be ready and commissioned by 2016. The complete experiment will be moved into the new hall in 2017. According to the actual planning, the experiment will be operational and able to taking beams as soon as the SuperFRS will be ready. 5. Expected readiness to move in the experimental equipment into the experimental area: The full R3B system is expected to be ready and tested in Cave C by end of 2016. Installation in the new experimental area is foreseen for 2017 (see point 4). 6. Recent and coming Collaboration Meetings: Past collaboration meeting: April 12th – 16th 2010 at GSI Next collaboration meeting: October 4th – 8th 2010 in Lund 7. Risk assessment of the experiment preparation and realization: All detector prototype tests performed so far have shown the feasibility of the concepts chosen. We do not see any risk concerning the time schedule since all subsystems will be integrated already in the coming years well before the FAIR experimental halls will be ready, provided that the budget for construction will be available starting from 2012. The biggest risk we see is due to the fact that the budget has still not been agreed on by the funding agencies. We expect that the situation becomes clear soon after the FAIR GmbH has been founded. In any case, the collaboration plans to construct the systems as far as budget wise possible and setup the experiment in the new experimental area to be ready for


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the first beams delivered by SuperFRS. In summary, the collaboration plans to install the R3B systems in the FAIR experimental area to be ready for taking beams from SuperFRS as soon as they will be available. 1.2.6. ILIMA/Phil Walker 1. Status of the IMoU: This is being done as a part of the common NuSTAR IMoU. 2. Status of the TDR/TDRs: A TDR on high-gain resonant Schottky pickups is being prepared. 3. Financing of the experimental equipment construction: Since the NESR construction is not yet approved, the equipment needs are modest and not seen as a critical issue. It is noted that ILIMA has been selected as one of the key priorities of GSI. 4. Status of the experimental setup construction: The principal issue is whether or not the present ESR will be upgraded, ahead of NESR construction. This issue is outside the FAIR project itself. 5. Expected readiness to move in the experimental equipment into the experimental area: The ILIMA equipment is strongly connected with the advance of the CR design and construction. The immediate issue (ahead of decisions about the NESR) is that there must be appropriate space available in the new CR to install appropriate ToF detectors and Schottky pickups. According to the optimal design of the CR, the corresponding ILIMA equipment will be ready for mounting into the CR ring at the time of its construction. 6. Recent and coming Collaboration Meetings: ILIMA Collaboration Board and open meetings were held on 2nd March 2010, as part of NuSTAR week. A further meeting is expected in the autumn, but has not yet been scheduled. 7. Risk assessment of the experiment preparation and realization: The risk assessment of the specific ILIMA equipment will be included with the assessments of the storage rings themselves. 1.2.7. –

1.2.8. ELISe/Haik Simon

1.2.9. EXL/Nasser Kolantor EXL is planned to be placed in the NESR which is now put in module 4 to be financed at a later stage. In the past, we have made an iMoU which is part of the total NuSTAR iMoU which has already been signed by some partners as you know. However, due to the changes in the financial picture, this iMoU needs to be updated at some point in time, as you can imagine.


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The plan is to have a working document (or pre-TDR) for the major parts of EXL by the middle of 2011. Parts of the EXL detector will then be built with the available finances from various partners. These components will be placed and tested and used for physics experiments at the ESR which will be running in the coming years. Once the funding for NESR is secured, the attempt to build the full EXL detector will be made based on the agreement amongst the EXL partners at that time (with the final MoU).

Our readiness to move into NESR depends on the funding plans for NESR but we are sure that detector parts will be ready to move into NESR by 2016 should the ring be ready.

We have regular collaboration meetings. The last technical one took place in April and the next general collaboration meeting will be in October.

We are expecting no show stoppers for our developments. 1.3.1. SPARC/Reinhold Schuch 1. Status of the IMoU: A large number of SPARC members have signed the IMoU 2. Status of the TDR/TDRs: Several of them are presently in work. This will also be a central issue of the SPARC collaboration meeting in Lanzhou, Aug. 24. – 27. 2010. 3. Financing of the experimental equipment construction: To some extend presently unclear. 4. Status of the experimental setup construction: Under consideration 5. Expected readiness to move in the experimental equipment into the experimental area: Some parts are ready within short, meaningful experiments could be started within a few years from now. 6. Recent and coming Collaboration Meetings: Last collaboration meeting was in beginning of Sept 2009 in Lisbon, next SPARC collaboration meeting will be in Lanzhou, Aug. 24. – 27. 2010. 7. Risk assessment of the experiment preparation and realization: 1.3.2. HEDgeHOB/Dieter Hoffmann

Among the scientists of the HEDgeHOB collaboration we had a lot of discussions regarding the modularized start version of FAIR. We are pleased to see that High Energy Density Plasma Physics as one of the four pillars of the FAIR research program is foreseen to be a part of Module 1 of the FAIR Start Version. We are also sure that even in the early phase, FAIR will be a very efficient tool to generate high energy density states in macroscopic amounts of matter. The experimental area that will be shared in the beginning with all APPA collaborations will enable a continuation of the High Energy Density Physics program that is now underway at GSI and due to improvements in beam intensity and bunch length we expect improved experiments. Major diagnostic tools with proton microscopy require the additional beamline from SIS 18. Also the status and location for a high power laser for Thomson scattering diagnostics is not yet clear. Nevertheless we have secured funding to build a proton microscope, which will be available for experiments in 2014. Also the design of an rf-wobbler to produce annular beam foci is in an advanced status and funding is almost secured. In


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principle we can move the experimental equipment from its present location at various institutes including GSI and start with the High Energy density program within a short time. 1. Status of the IMoU: It is in preparation and we will discuss this on an upcoming collaboration meeting 2. Status of the TDR/TDRs: TDR/TDRs are in progress work on the main items has started. 3. Financing of the experimental equipment construction: We have secured funding for the proton microscope and we are likely to secure funding for the rf-wobbler. That is we expect to finance much of the required equipment through funding by the funding agencies of the Russian and German partners. Others have promised contributions but need help and support at their respective agencies. 4. Status of the experimental setup construction: This depends in part on the availability of FAIR budget. However we will certainly be ready before the commissioning of FAIR starts. 5. Expected readiness to move in the experimental equipment into the experimental area: As stated above we could start moving tomorrow using our current equipment for high energy density physics experiments 6. Recent and coming Collaboration Meetings: We have two collaboration meetings annually. The regular annual meeting is during the International workshop on High Energy Density Physics in Hirschegg, Austria Recent meetings were January 2009 Hirschegg October 2009 Chernogolovka, Moscow region during PNP 13 conference January 2010 Hirschegg, August 2010 (upcoming), Darmstadt during Heavy Ion Fusion Workshop. 7. Risk assessment of the experiment preparation and realization: The largest risk we see is that FAIR construction will take much longer than anticipated and is formulated in official statements. In this respect there is a risk to keep the community together and interested in the subject. There are many tools for high energy density physics available elsewhere. There are high power laser facilities worldwide engaged in High Energy Density Physics and other pulsed power tools such as high explosives, intense beams, zpinches. The important progress at FAIR for this field is not only increased intensity and shorter beam bunches, but improved diagnostic tools. Here we urgently need the proton beam line from SIS 18 and in a second step the intense laser. 1.3.4. FLAIR/Eberhard Widmann

The FLAIR steering committee is very happy that the foundation of FAIR is imminent. This is something we all have been working at for many years. For FLAIR, however, it is only a partial success as our facility is in module 4 and thus does not belong to the start phase.

FLAIR now has to reassess the situation and to plan for a new time line that is at least 6-8 years beyond our previous aims. We are confident that the funding for module 4 will be found since the NESR, LEB of SFRS and FLAIR are among the core components of the FAIR project, serving two of the four communities.

To define our new strategy we are planning to hold a collaboration meeting end of this year or early next year. The iMou we developed so far will also have to be adjusted to the new situation.


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Despite of this situation, we will submit a TDR later this year for one of the central components of FLAIR, the LSR, for which the Manne Siegbahn Laboratory has been modifying their CRYRING storage ring as part of the Swedish contribution to FAIR. CRYRING will be ready to be installed shortly after and will need to be put into storage as the building will not be ready.

1.3.5. BIOMAT/Marco Durante

The BIOMAT project is slightly different from other FAIR experiments, because we do not really have to build a new collaborative experimental setup, but simply to move and update our activities to the new facility. 1. Status of the IMoU: We have no specific MoU for BIOMAT. 2. Status of the TDR/TDRs: The technical design proposal is still valid, pending the well-known reconstruction of the experimental cave under discussion. 3. Financing of the experimental equipment construction: Financing is not established, but as pointed out previously it was not expected to have it ready at this stage. 4. Status of the experimental setup construction: Same applies to the construction. 5. Expected readiness to move in the experimental equipment into the experimental area: Readiness to move in the experimental area is always good. We are flexible and for our special case the application can be quickly realized. 6. Recent and coming Collaboration Meetings: We had no collaboration meetings, and we have no urge to do it. The ESA community is currently working using SIS. 7. Risk assessment of the experiment preparation and realization: Risk is very low. Of course the final outcome will strongly depend on the final arrangement of the experimental hall. 1.4.1. PANDA/Ulrich Widmann 1. Status of the IMoU: We have approved our Governance rules for PANDA. Concerning a MoU bearing responsibilities of financial type for the hardware the individual funding agencies want to wait for the signature of the FAIR convention before discussing this issue. 2. Status of the TDR/TDRs: We have provided TDRs for the EMC and the magnets. The target TDR is to follow soon. All other TDRs will be submitted once the R&D is finished. 3. Financing of the experimental equipment construction: The funding agencies are only willing to discuss this issue after the FAIR signature 4. Status of the experimental setup construction: We plan to set-up the equipment from 2014/15 on in order to be ready for physics as early as possible e.g. from 2017 on. 5. Expected readiness to move in the experimental equipment into the experimental area. We need room to set-up the experiment from 2014/15 on. First to test the magnets and


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individual detector parts and then to put the hardware together. Therefore the availability of the PANDA hall from 2014/15 seems necessary. If this is completely impossible, we are exploring other possibilities to build up the experiment as early as possible in order to be ready for the first delivery of the first beam. 6. Recent and coming Collaboration Meetings: We have had 34 collaboration meetings in the past (usually 2/year at GSI and 2 at a place outside GSI). Our next collaboration meeting will be in Groningen end of August to be followed in December and March by collaboration meetings at GSI. 7. Risk assessment of the experiment preparation and realization: This issue we can address only after we have commitments from the individual funding agencies.

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Second Project Periodic Report

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