TREATIES AND OTHER INTERNATIONAL ACTS SERIES 03-225

________________________________________________________________________

SPACE

Agreement between the

UNITED STATES OF AMERICA

and the EUROPEAN SOUTHERN 

OBSERVATORY

Agreement Signed at Arlington February 7

 and 25, 2003 

 with

Annexes
 NOTE BY THE DEPARTMENT OF STATE

 Pursuant to Public Law 89—497, approved July 8, 1966

(80 Stat. 271; 1 U.S.C. 113)—

“. . .the Treaties and Other International Acts Series issued

under the authority of the Secretary of State shall be competent

evidence . . . of the treaties, international agreements other than

treaties, and proclamations by the President of such treaties and

international agreements other than treaties, as the case may be, 

therein contained, in all the courts of law and equity and of maritime

jurisdiction, and in all the tribunals and public offices of the

United States, and of the several States, without any further proof

or authentication thereof.”
EUROPEAN SOUTHERN OBSERVATORY

Space

Agreement signed at Arlington February 7 and 25, 2003;

 Entered into force February 25, 2003;

 With annexes.
AGREEMENT

CONCERNING THE JOINT CONSTRUCTION AND OPERATION

OF THE

ATACAMA LARGE MILLIMETER ARRAY

(ALMA)

BY

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The National Science Foundation of the United States

hereinafter referred to as "NSF",

and

The European Organisation for Astronomical Research in the Southern Hemisphere,

hereinafter referred to as "ESO" or "The European Southern Observatory"
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TABLE OF CONTENTS

PREAMBLE 3

ARTICLE 1: DEFINITIONS 4

ARTICLE 2: CONTRIBUTIONS 5

ARTICLE 3: OBJECTIVE 5

ARTICLE 4: SCOPE 6

ARTICLE 5: VALUATION 6

ARTICLE 6: AMENDMENT 6

ARTICLE 7: DURATION AND TERMINATION 6

ARTICLE 8: WITHDRAWAL 7

ARTICLE 9: PRECEDENCE 8

ARTICLE 10: OWNERSHIP 8

ARTICLE 11: NEW PARTICIPANTS IN ALMA 8

ARTICLE 12: BOARD 9

ARTICLE 13: EXECUTIVES 11

ARTICLE 14: JOINT ALMA OFFICE 11

ARTICLE 15: KEY PERSONNEL 12

ARTICLE 16: ALMA MANAGEMENT ADVISORY COMMITTEE 13

ARTICLE 17: ALMA SCIENCE ADVISORY COMMITTEE 13

ARTICLE 18: CHILE 14

ARTICLE 19: FINANCIAL PROVISIONS - GENERAL 14

ARTICLE 20: DEFAULT 16

ARTICLE 21: OBSERVING TIME AND DATA RIGHTS 16

ARTICLE 22: ACCESS TO OBSERVING TIME BY OTHERS 17

ARTICLE 23: INTELLECTUAL PROPERTY 17

ARTICLE 24: LIABILITY 18

ARTICLE 25: NOTICE 19

ARTICLE 26: DISPUTES 19

ARTICLE 27: ANNEXES 19
PREAMBLE

NSF and ESO (hereinafter referred to as the Parties'), desiring to

• contribute to global advances in understanding the physics of the Universe;

• ensure a continuing active program of astronomical research in Europe and the United

States and Canada;

• encourage further scientific collaboration between the Parties, and other organizations

with an interest in millimeter astronomy; and

• achieve full intellectual and economic benefits to all organizations and institutes

participating in ALMA, with a fair and equitable division of responsibilities and

benefits among them, consistent with their contributions and the cost-effective and

timely execution of this project;

and recognizing

• the potential of large interferometric arrays operating at millimeter and submillimeter

wavelengths to contribute to the study of a wide range of astronomical problems;

• the interest of the astronomical communities of Europe, the United States and Canada

in developing such an array;

• the interest of other astronomical communities in participating in a large millimeter

and submillimeter interferometric array project;

• the advantages of combining these aspirations in a single global project;

• the necessity to locate such an instrument at a dry, high altitude site;

• the identification of a suitable site in a region of the Altiplano in northern Chile

knoWn as Zona Chajnantor—Cerro Chascon; and

• that, by virtue of a Memorandum of Understanding (MoU) dated 10 June 1999, as

amended, between NSF, the National Research Council of Canada (NRC), and ESO,

with the Centre National de la Recherche Scientifique (CNRS) of France, the MaxPlanck-Gesellschaft (MPG) of Germany, the Netherlands Foundation for Research in

Astronomy/Nederlandse Onderzoekschool voor Astronomie (NFRA/NOVA), the

Particle Physics and Astronomy Research Council (PPARC) of the United Kingdom,

the Swedish Natural Science Research Council (NFR), and the Officina de Ciencia y

Tecnologia and the Institute Geografico of Spain (OCYT/IGN), an extensive joint

Design and Development program has been carried out in preparation for the

construction and operation of the Atacama Large Millimeter Array project,

agree as follows:
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ARTICLE 1: DEFINITIONS

"This Agreement" means the following Articles and Annexes.

"Assessment Point" means the time(s) at which the Parties must decide whether or not to

continue their collaboration.

"ALMA" means the collaborative project involving the joint Construction, Commissioning, and

Operation of the Atacama Large Millimeter Array by the Parties.

"Board" means the Board established under Article 12.

"Budget" means an estimate of income, commitment and expenditure on ALMA within a

specified Financial Year.

"Commissioning" means those activities by which the antennas and instrument systems are

integrated and tested with instrumentation then available and brought into proper operation.

"Construction" means the planning, design, construction, and installation of antennas,

infrastructure, and instrumentation.

"Deliverables" means the components of ALMA which have been assigned Value as set out in

Annex D of this Agreement.

"Early Operations" refers to the scientific use of ALMA prior to the installation of the full

complement of antennas and their associated instrumentation.

"Engineering" means the activities necessary for both the maintenance and improvement of

ALMA and its instrumentation.

"Executives" means the entities designated under Article 13 of this Agreement to carry out the

specific tasks required to construct and operate ALMA.

"Financial Year" means the 12-month period beginning January 1 and ending December 31.

"Intellectual Property" means intellectual and industrial property produced or generated during

the performance of the Work which is capable of protection by patents, trademarks or copyright,

and industrial design, technical information, inventions, prototypes and specifications produced

or generated in the performance of the Work, which are capable of being licensed.

"Joint ALMA Office" means the entity established and described in Article 14 to be responsible

for the overall management of ALMA Construction, Commissioning and Operations.

"Key Personnel" are the individuals in the positions described in Article 15, who play a central

role in the Construction, Commissioning and Operation of ALMA.

"Long Range Plan" means the document submitted annually by the Director to the Board that

summarizes future plans and financial projections for ALMA. The Long Range Plan will

summarize the current project scope, scientific requirements, Work Breakdown Structure, and

schedule, as well as the management and operations plans. During Construction the Long Range
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Plan shall cover the entire Construction period. During Early Operations and Operations, the

period covered by the Long Range Plan shall become five years, or to the end of the Construction

period, whichever is the greater.

"Observing Time" means the time scheduled for the observing of astronomical objects for

scientific purposes, excluding the time required for Engineering and Commissioning.

"Operations" means the stage after all ALMA antennas and their associated instrumentation as

specified in Annex A have been fully commissioned, tested and accepted, and are operational.

"Party" means any signatory to this Agreement.

"Program Plan" means the document submitted annually by the Director to the.Board that

summarizes the Work to be conducted by the Executives in the upcoming Financial Year.

"Value" means the agreed worth of a Deliverable, expressed according to the model agreed

upon by the Parties under the provisions of Article 5 of this Agreement, and as set forth in Annex

D.

"Work" means any activity approved by the Board relating to ALMA according to the Project

Description attached as Annex A, and the Work Breakdown Structure attached as Annex D.

ARTICLE 2: CONTRIBUTIONS

2.1 NSF and ESO will each make equal Value contributions to ALMA. To the maximum

extent practicable, Work shall be fairly and equitably shared between NSF's designated

executive and ESO.

2.2 The Parties, including their organizations and institutes, shall obtain intellectual and

economic benefit from ALMA in all its phases in proportion to the Value of their

contributions and consistent with the execution of assigned tasks on time and within

budget.

2.3 Wherever practicable, ALMA will utilize existing institutions. Where necessary,

personnel will be supplied by secondment from existing institutions. To the maximum

extent possible, there shall be no exchange of funds between the Parties.

ARTICLE 3: OBJECTIVE

3.1 The objective of the Parties is to jointly carry out ALMA as a bilateral project between

NSF and ESO in accordance with this Agreement and the Project Description; Science

Requirements; Project Time Schedule; Work Breakdown Structure, Assignment of

Deliverables, and Schedule of Values, as specified in Annexes A, B, C, and D,

respectively.
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3.2 NSF shall carry out its obligations under this Agreement subject to its applicable national

laws and regulations, and ESO shall carry out its obligations under this Agreement within

the framework of its Convention and statutes.

ARTICLE 4: SCOPE

4.1 This Agreement covers Construction, Commissioning, Early Operations, and Operations.

ARTICLE 5: VALUATION

5.1 The Parties shall use a single, mutually accepted costing model, as described in Annex D,

to determine the Value of their contributions to ALMA. The Schedule of Values and

Assignment of Deliverables for Construction are specified in Annex D.

5.2 Schedules of Values for Early Operations and Operations shall be determined by the

Board prior to the start of those phases of the project and shall be incorporated in Annex

D.

5.3 The components provided to ALMA shall be subject to common specifications and

acceptance criteria. Defining, maintaining, and implementing ALMA specifications and

acceptance criteria shall be the responsibility of the Joint ALMA Office.

ARTICLE 6: AMENDMENT

6.1 The Articles to this Agreement may be amended at any time An amendment must

specifically state the intention to amend this Agreement, and takes effect when signed and

dated by the Parties.

6.2 The Annexes to this Agreement may be amended by the unanimous approval of the Board

provided such amendment does not significantly alter the purpose of this Agreement and

is consistent with the costing model agreed to by the Parties.

ARTICLE 7: DURATION AND TERMINATION

7.1 This Agreement shall enter into force on the date on which the last Party signs and shall

expire on December 31, 2021 unless extended under Articles 7.2 and 7.3.

7.2 At pre-agreed Assessment Points, the Parties shall decide whether to extend this

Agreement for a further period, normally of at least 5 years. In the absence of such a

decision, this Agreement shall terminate on the last expiration date set.

7.3 The first Assessment Point shall be January 5, 2018. Subsequent Assessment Points shall

be on the 5th of January at succeeding 5-year intervals unless otherwise agreed to in

writing by the Parties.
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7.4 In the event that this Agreement is terminated during Construction, Commissioning, or

Operations, property shall revert to the owners as defined in Article 10.1 of this

Agreement. Any additional costs or benefits shall be shared by the Parties in proportion to

the Value of their contributions to ALMA up to the time at which this Agreement is

terminated.

7.5 Before this Agreement is terminated, the Parties shall make best efforts to agree on the

date and the manner in which the assets and obligations of ALMA shall be disposed of.

Unless otherwise agreed, the owners of property shall be responsible for the disposal of

that property. The costs or benefits arising from the disposal of jointly owned assets,

including the net proceeds that may arise from the sale of such assets, shall be divided

between the Parties in proportion to their contributions to those assets.

ARTICLE 8: WITHDRAWAL

8.1 'A Party wishing to withdraw from this Agreement shall provide written notice to the

other Party. If a Party gives notice of withdrawal from this Agreement, the Parties, with a

view toward ensuring the continuation of the overall program, shall endeavor to reach

agreement concerning the terms and conditions of the withdrawal prior to the effective

date of the withdrawal.

8.2 The extent to which Work already completed and delivered and, where relevant, funds

already paid, entitle a withdrawing Party to Observing Time after withdrawal shall be

determined by the Parties prior to the effective date of the withdrawal. A withdrawing

Party may not transfer any rights to Observing Time without the prior agreement of the

other Party.

8.3 The withdrawing Party shall, at the request of the other Party, transfer, to the extent

necessary for the continuation of ALMA, its right, title, and interest in any property,

contracts (to the extent allowed under those contracts) or work in progress funded out of

money contributed to ALMA under this Agreement to such other persons or bodies as the

other Party directs and shall otherwise cooperate in order to facilitate the continuation of

ALMA by the other Party.

8.4 The withdrawing Party shall not transfer any right, title, or interest in any property,

contracts (to the extent allowed under those contracts) or work in progress funded out of

money contributed to ALMA under this Agreement without the prior agreement of the

other Party.

8.5 Notwithstanding Articles 8.2 and 8.3, a withdrawing Party shall retain its rights in

Intellectual Property acquired as at the effective date of withdrawal.

8.6 Except as provided in Articles 8.2, 8.3, and 8.4 of this Agreement or as otherwise agreed

by the Parties, all rights and benefits conferred on a Party under this Agreement shall be

forfeited at the effective date of withdrawal.
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ARTICLE 9: PRECEDENCE

9.1 This Agreement shall take precedence over all prior communications, negotiations and

agreements between the Parties concerning ALMA.

9.2 The Articles of this Agreement shall take precedence over the Annexes.

9.3 Neither Party shall enter into agreements concerning ALMA with third parties that

conflict with the terms of this Agreement.

ARTICLE 10: OWNERSHIP

10.1 Deliverables supplied by NSF shall be the property of the Government of the United

States. Deliverables supplied by ESO shall be the property of ESO. Intellectual property

shall be subject to the provisions of Articles 8.6 and 23 of this Agreement. Material

property delivered to, or developed for, ALMA shall not be disposed of, in whole or in

part, during the duration of this Agreement without the written consent of all the Parties,

except as allowed for in Articles 10.3 and 10.4 of this Agreement.

10.2 The Parties acknowledge that exports from the United States and Europe will be subject

to the requirements of applicable export regulations. Such controlled exports may

involve either material or intellectual property transferred from the United States or

Europe to foreign countries, foreign entities or foreign nationals for the purpose of

Construction, Commissioning, Early Operations, or Operations.

10.3 The Executives may dispose of equipment, the value of which does not exceed a limit set

from time to time by the Board, subject to the said equipment being either surplus to the

future requirements of ALMA or unserviceable and beyond economical repair. Initially,

that limit shall be 0.1% of the total Value of ALMA as defined in Annex D. Surplus

equipment shall be offered for sale to the Parties before being offered for sale elsewhere.

The Executives shall use their best efforts to ensure that all proceeds realized from such

sales shall be reinvested in ALMA in a manner approved by the Board.

10.4 Where the value of equipment identified for disposal exceeds the limit referred to in

Article 10.3 of this Agreement, the Executives shall seek the approval of the Board before

disposing of the equipment.

10.5 The Executives shall maintain a system tracking the ownership, location and, if

applicable, the disposition of delivered equipment.

ARTICLE 11: NEW PARTICIPANTS IN ALMA

11.1 The Parties shall agree upon the terms and conditions through which organizations not

covered by this Agreement may participate in ALMA, and shall conclude appropriate

formal arrangements with such organizations before they can benefit from participation.
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ARTICLE 12: BOARD

12.1 A Board shall be established by the Parties as a supervisory and regulatory body for

ALMA, and to be the primary forum for interactions among, and decisions of, the Parties

to this Agreement.

12.2 All decisions of the Board shall be consistent with this Agreement and with the governing

laws, regulations and contractual obligations of the Parties and the Executives.

12.3 The Board shall not be a legal entity and shall not employ staff or hold assets.

12.4 The Board shall ensure that Construction, Commissioning, Early Operations, and

Operations are carried out jointly in accordance with the terms and provisions of this

Agreement. The Board shall exercise budgetary oversight and policy control over ALMA

in accordance with the provisions of this Agreement.

12.5 The Board shall, inter alia,

(a) report at least once per year in writing to the Parties to this Agreement on the

status of ALMA, including the financial situation, progress on Construction and

Commissioning, and projected timescales, estimated cost to completion, and the

status of Early Operations and Operations;

(b) determine the dates of completion of Construction and of Commissioning ,

the date of the start of Early Operations, and any reapportionment of Value

between Construction and Commissioning and Early Operations where those

periods may overlap;

(c) determine the policy and manner in which Early Operations and Operations

will be carried out;

(d) determine the policy and procedures for the allocation of Observing Time;

(e) determine the policy and procedures for data rights and the proprietary period;

(f) approve a Budget and Program Plan for the following year and endorse a Long

Range Plan; and

(g) undertake such other duties and responsibilities to facilitate implementation

this Agreement.

12.6 NSF and ESO shall each appoint four members to the Board. One member appointed by

NSF shall represent the U.S. Executive, and one ESO Board member shall represent the

European Executive. ESO shall designate one of its appointees to speak on behalf of

ESO and NSF shall designate one of its appointees to speak on behalf of NSF on matters

before the Board.

12.7 The Board shall meet not less than two times per year.

12.8 Such other persons may be invited to attend meetings of the Board as the Board from

time to time determines.
1 0

12.9 The Board shall designate one of its members as a Chairperson. The Chairperson shall

rotate every 2 years between a Board member appointed by NSF and a Board member

appointed by ESO, with the member designated by ESO serving as Chairperson from the

date upon which this Agreement shall enter into force. In the event that a Board member

cannot complete a full 2-year term as Chairperson, a successor appointed by the Party that

appointed the outgoing Chairperson, shall be designated for the remainder of the outgoing

Chairperson's term.

12.10 The Board shall designate one of its members as Vice Chairperson. The Vice

Chairperson shall rotate every 2 years between a Board member appointed by ESO and a

Board member appointed by NSF, with the member designated by NSF serving as Vice

Chairperson from the date upon which this Agreement shall enter into force. In the event

that a Board member cannot complete a full 2-year term as Vice Chairperson, a successor

appointed by the Party that appointed the outgoing Vice Chairperson, shall be designated

for the remainder of the outgoing Vice Chairperson's term.

12.11 Neither the Chairperson nor the Vice Chairperson may be an employee of either

Executive.

12.12 A Secretary to the Board shall be employed by the Executives to be responsible for the

support of the Board including keeping records of the meetings and decisions of the

Board.

12.13 The Parties shall advise the Secretary, in writing, of the members they have appointed to

the Board and of the duration of the appointments. The Secretary shall be responsible for

notifying the Chairperson, Board members, and the Parties.

12.14 The Parties may change their appointed members by notifying in writing the Secretary,

who shall be responsible for notifying the Chairperson, Board members, and the Parties.

12.15 The Parties may appoint alternate members to attend and vote at specific Board meetings

in place of regular members, by notifying in writing the Secretary, who shall be

responsible for notifying the Chairperson, Board members, and the Parties. Alternates

may not serve as either Chairperson or Vice Chairperson.

12.16 The Board may adopt common oversight and management activities chargeable to

ALMA, and may request the Executives to arrange for the employment of staff to assist in

such tasks. Expenses related to such oversight functions as may be required by an

individual Party to this Agreement shall be the responsibility of that Party. Expenses for

oversight and management activities undertaken at the request of the Board shall be

equitably shared by the Parties.

12.17 The Rules of Procedure of the Board shall be drawn up by the Secretary and shall be

subject to the unanimous agreement of the Board.

12.18 English shall be the working language of the Board and of ALMA.

12.19 The Parties are responsible for their own expenses incurred in pursuit of Board business

by their appointees to the Board.
ARTICLE 13: EXECUTIVES

13.1 Two Executives shall carry out jointly the Construction, Commissioning, Early

Operations, and Operations of ALMA on behalf of their respective Parties. The European

Executive shall be ESO and the NSF Executive shall be Associated Universities Inc.

(AUI), in its capacity as manager of the National Radio Astronomy Observatory (NRAO).

NSF and ESO may change their Executives, and will notify the Board in writing of such

changes.

13.2 Funding and Deliverables for ALMA shall be provided by the Parties through the

Executives.

13.3 The Executives shall, inter alia:

(a) receive, track, and maintain records of contributions from the Parties;

(b) forward such records with appropriate evaluations to the Joint ALMA Office

to enable it to fulfill all reporting requirements to the Board;

(c) ensure that all contributions for ALMA can be examined by the Parties upon

reasonable request;

(d) carry out the decisions of the Board and the Director;

(e) employ the Key Personnel and staff to carry out Work and related activities,

and to issue contracts for goods and services;

(f) ensure that at all reasonable times representatives of the Parties have access to

all Work and associated documents related to ALMA on the premises of the

Executives, and to all Work at the Joint ALMA Office and its subsidiaries and at

all ALMA sites within Chile; and

(g) report regularly to the Board as required by this Agreement, and at other times

when in the judgment of the Executives such reporting is warranted.

13.4 When leadership and responsibility for a task are assigned to a particular Executive, they

shall be exercised in cooperation with the other Executive.

ARTICLE 14: JOINT ALMA OFFICE

14.1 The Board shall establish a Joint ALMA Office and shall provide through the Executives

the necessary funding, infrastructure and personnel support to operate the Joint ALMA

Office through the Executives.

14.2 The Joint ALMA Office shall be headed by the Director and shall be comprised of the

Key Personnel plus such other staff as are required to carry out the functions of the Joint

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ALMA Office. The Executives shall employ, or arrange for the employment of the staff

of the Joint ALMA Office, including the Key Personnel.

14.3 The Joint ALMA Office shall inter alia, through the Director,

(a) be responsible for the overall leadership and management of joint Construction,

Commissioning, Early Operations, and Operations, which shall be carried out in

accordance with the terms and provisions of this Agreement;

(b) define, maintain, and apply specifications and acceptance criteria for Deliverables. In

the event that Deliverables fail to meet acceptance criteria, the Joint ALMA Office

shall notify the responsible Party and the Board, and shall devise a recovery plan for

the approval of the Board.

(c) propose to the Board by September 30 of each year a draft Budget and Program Plan

for the following year and a long range plan, including long-range financial estimates

encompassing anticipated project needs for a period no less than 5 years in the future;

and

(d) provide for the Board quarterly reports of the status of ALMA.

ARTICLE 15: KEY PERSONNEL

15.1 The organizational structure of ALMA shall be subject to the review and approval of the

Board, and Key Personnel shall be designated from time to time by the Board. Initially,

the Key Personnel shall include:

(a) The Director: responsible for leading ALMA. He/she reports to the Board.

(b) The Project Manager: responsible for the overall coordination of

Construction and Commissioning. He/she reports to the Director.

(c) The Project Scientist: responsible for ensuring that ALMA Construction,

Commissioning and Operations are carried out in such a manner as to meet the

scientific requirements of Annex B. He/she reports to the Director.

(d) The Project Engineer: responsible for ensuring that the technical

specifications of ALMA are fulfilled and that the instrument is maintained in such

a way as to ensure its full operational capabilities. He/she reports to the Director.

15.2 Key Personnel shall be selected through an open, world-wide search carried out jointly by

the Executives in a manner approved by the Board. The job descriptions and appointment

of all Key Personnel shall be subject to the unanimous approval of the Board.

15.3 The Director shall be responsible for the efficient and effective operation, and for the

discharge of the responsibilities of, the Joint ALMA Office. The Director shall be

responsible for the Project Time Schedule and Work Breakdown Structure, and for the
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maintenance of the Schedule of Values and Assignment of Deliverables as set out in

Annexes C and D.

15.4 In consultation with the Executives, and with Board approval if the Value concerned

exceeds $1 million or El million, the Director may change the Project Time Schedule and

Work Breakdown Structure, and the Schedule of Values and Assignment of Deliverables

while maintaining parity of Value in the contributions of the Parties. The Director's

approval shall be required for such staff appointments as shall be defined by the Director

in consultation with the Executives, and for the placing of any contracts above $500,000

or €500,000. The approval of the Director, and Board approval if the total amount

concerned exceeds $1 million or El million, shall be required for the use of contingency

in excess of $500,000 or €500,000 by the Executives.

15.5 The Director shall allocate Observing Time during Early Operations and Operations in

.accordance with policies and procedures determined by the Board.

15.6 The job performance of all Key Personnel shall be reviewed annually by the Board in

consultation with the Director and the Executives. Board approval will be required for

the continued appointment of all Key Personnel.

ARTICLE 16: ALMA MANAGEMENT ADVISORY COMMITTEE

16.1 The Board shall establish an ALMA Management Advisory Committee (AMAC) to

provide advice on those major issues presented to the AMAC by the Board regarding the

technical program, cost, and management of the ALMA Project, including the

management of specific tasks and resources. The Parties shall each appoint up to five

members to the AMAC; such appointments require the concurrence of the Board.

Members shall serve for a term of 3 years, but may be reappointed for a second term.

16.2 The AMAC shall be kept informed of progress and developments in ALMA through

periodic reports and briefings provided by the Joint ALMA Office, and will normally

meet at least twice a year. Reports of the AMAC's deliberations shall be made in writing

to the Board by the Chairperson of the AMAC following each Committee meeting, on a

schedule specified in advance by the Board.

16.3 At each meeting, the AMAC shall select a Chairperson for its next meeting. At

successive meetings, the Chairperson shall alternate between a representative appointed

by ESO and a representative appointed by NSF. The selection of the Chairperson shall be

subject to the concurrence of the Board.

ARTICLE 17: ALMA SCIENCE ADVISORY COMMITTEE

17.1 The Board shall establish an ALMA Science Advisory Committee (ASAC) to advise the

Board on those major issues presented to the ASAC by the Project Scientist or the Board

that affect the science capabilities of ALMA and require decisions to be made or
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priorities to be set regarding project tasks and resources. ESO shall appoint up to five

ASAC members and NSF shall appoint up to five ASAC members; such appointments

require the concurrence of the Board. Each member shall serve a term of 3 years.

Members may be reappointed for a second term.

17.2 The ASAC shall be kept informed of progress and developments in ALMA through

periodic reports and briefings provided by the Joint ALMA Office and shall meet at least

twice a year. Reports of the ASAC's deliberations shall be made in writing to the Board

by the Chairperson of the ASAC following each Committee meeting, on a schedule

specified in advance by the Project Scientist. The Project Scientist shall serve on the

Committee ex officio.

17.3 The Chairperson of the ASAC shall be selected by the members of the ASAC, and the

selection shall be subject to the concurrence of the Board. At successive meetings, the

Chair shall alternate between an ASAC member selected by NSF and an ASAC member

selected by Europe.

ARTICLE 18: CHILE

18.1 AUI and ESO shall jointly negotiate the terms and conditions under which the

Government of Chile grants access to the land required for ALMA and permits

Construction, Commissioning and Operation. AUI and ESO shall jointly negotiate with

the Government of Chile the fraction of Observing Time made available to the Chilean

astronomical community.

ARTICLE 19: FINANCIAL PROVISIONS - GENERAL

19.1 The Parties intend that the funds that they will set aside and obligate from time-to-time to

ALMA will meet their obligations under this Agreement. However, it is recognized that

the Parties must operate within the constraints of the funding made available by national

governments and funding agencies. Therefore, the obligations under this Agreement are

subject to the availability of appropriated funds.

19.2 Financial matters before the Board as set out in this Article shall require the agreement of

six Board members, including both the ESO and NSF designated members of the Board.

Accounting and Audits

19.3 Where cash accounting is required, records shall be kept of costs in both US dollars and

Euros. Costs in these currencies shall be determined using the exchange rates obtaining

at the time of the expenditures.

19.4 The Financial Year of ALMA shall be the calendar year (January 1 through December

31).
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19.5 On or before November 30 each year, the Board shall approve a Budget and Program Plan

for the following year and endorse a Long Range Plan.

19.6 Within two months of the end of each Financial Year, the Executives shall provide the

Joint ALMA Office with reports for monies spent and/or Value earned during that

Financial Year. The Joint ALMA Office shall in turn provide to the Board a final

summary report for the Financial Year in question no later than three months after the

conclusion of the Financial Year. The Executives shall certify the accuracy of their

annual reports.

19.7 For each Financial Year the amount and timing of the contributions to ALMA from NSF

and ESO shall be agreed at the Board meeting that considers the Budget..

19.8 Funds provided to the. Executives for ALMA shall be subject to an annual external

review, the results of which shall be made available to the Parties via the Board.

19.9 NSF and ESO shall arrange for an external review of their respective Executive activities

at intervals of not less than three years, and shall make the results of these reviews

available to the Parties through the Board.

ALMA Board expenses 

19.10 A Party hosting a meeting of the Board shall be responsible for the local costs of

arranging the meeting.

Contracts 

19.11 The Executives shall, to the maximum extent practicable, make sub awards on the basis

of competitive international tender in a manner which shall enable competitive bidding by

companies within the respective Parties' countries on terms which are not selectively to

the disadvantage of the companies of any of those countries. Such awards shall be

subject to external audit, the results of which shall be reported to the Board.

19.12 The Executives shall notify the Board in advance through the Director of the intention to

place any contract valued above $1,000,000 or €1,000,000. The Executives shall notify

the Board in advance through the Director of the intention to issue an invitation to tender

for a contract provisionally valued above $10,000,000 or €10,000,000. The placing of

any contract above $10,000,000 or above €10,000,000 shall require the recommendation

of the Director and the concurrence of the Board.

Observing

19.13 Funding of the travel and subsistence costs of observers or others wishing to use ALMA

is outside the scope of this Agreement.
ARTICLE 20: DEFAULT

20.1 An Executive which expects to default on an obligation for a Deliverable, either through

late delivery, failure to meet specification, or any other cause, shall immediately inform

the Director and the Board through the Secretary in writing, together with an explanation

of the causes and proposed actions to be taken. The Director shall provide the Board

through the Secretary with an evaluation of the likely consequences of such default, and

advise the Board of the actions the Director intends to take to minimize the impact on

ALMA. The Secretary shall also pass this information to the Executives and the Parties.

In consultation with the Parties, the Chairperson shall decide whether Board approval for

such actions is required, and how such approval should be obtained.

20.2 The Director may recommend to the Chairperson that the Board establish a mechanism to

revise the Value of the Deliverable, and may propose any compensatory action, including

cash payments and a readjustment of Observing Time, taking into account the proposed

remedial action and its impact on the Executives, the Parties and on ALMA, so that the

Board may take such steps as are necessary to ensure that the terms of Article 2 of this

Agreement are maintained.

20.3 The Director shall immediately implement such steps as shall be agreed by the Board.

20.4 An Executive which is in default for more than 360 calendar days during Operations shall

be considered as having signaled the intent of the corresponding Party to withdraw from

ALMA and the relevant provisions of Article 8 of this Agreement shall apply.

ARTICLE 21: OBSERVING TIME AND DATA RIGHTS

21.1 The Director may propose incentives for enhanced performance by the Executives to the

Board for approval. The award of Observing Time during Early Operations may be used

as such an incentive.

21.2 The Observing Time available to the Parties during Operations shall be divided between

them in equal shares, and distributed equitably according to the seasons of the year.

21.3 The Executives shall arrange for the maintenance of a log and an archive copy of each

observation and its relevant calibration data in a single, uniform data format accessible to

qualified researchers as approved by the Board. For this purpose, the Executives may

choose to employ mirrored data sites for the convenience of their respective user

communities.

21.4 The Board shall set policies for proprietary time, data storage, archiving, access, and

subsequent use by the astronomical community. The rules relating to Observing Time and

data rights shall be reviewed periodically by the Board.

16
17

21.5 Any observer who takes data with ALMA shall have exclusive use of that data for 18

months after the collection of the data has been completed. Thereafter, the data shall

become available to any qualified researcher in accord with a policy approved by the

Board.

ARTICLE 22: ACCESS TO OBSERVING TIME BY OTHERS

22.1 Either Party may, with the written agreement of the other, assign its Observing Time, in

whole or in part, for a fixed period of time, to another entity not a Party to this

Agreement. Agreement to such assignments, which must be in accordance with this

Agreement, shall not be unreasonably withheld, delayed or denied.

22.2 Third parties receiving the assignment of Observing Time under Article 22.1 of this

'Agreement shall be expected to abide by all rules pertaining to ALMA Operations and

data release.

ARTICLE 23: INTELLECTUAL PROPERTY

23.1 Except as provided in Articles 21.3 through 21.5 of this Agreement concerning data

acquired with ALMA, the inventor or creator of Intellectual Property or his or her

assignee or employer shall own or have the option to own all Intellectual Property arising

out of the Work done pursuant to this Agreement.

23.2 Subject to Article 23.6 of this Agreement, for all Intellectual Property created during

Work under this Agreement, the appropriate Executive shall provide and obtain a nonexclusive, non-transferable, irrevocable, paid-up license (1) for use in ALMA and (2) for

each of the Parties to use or have used on their behalf throughout the world for noncommercial research purposes of any such Intellectual Property.

23.3 The provisions of any NSF Award in connection with this Agreement, to AUI or any

successor organization supporting the operations of the NRAO will, if applicable, contain

the patent right provisions required by relevant U.S laws such as Chapter 18 of Title 35,

United States Code, including a requirement as authorized by 35 USC 202 (c) (4) that the

organization managing the NRAO provide or obtain, in addition to the license rights of

the United States, a non-exclusive, nontransferable, irrevocable, paid-up license for ESO

to practice or have practiced on their behalf throughout the world for research purposes

any subject inventions. The license rights which the organization managing the NRAO

will obtain for the United States under sub awards or other arrangements with persons or

organizations from the ESO countries shall be limited to a non-exclusive,

nontransferable, irrevocable, paid-up license for NSF to practice or have practiced on its

behalf for research purposes any subject inventions created during Work under this

Agreement. NSF or its appointed Executive shall provide corresponding license rights to

ESO.
18

23.4 Arrangements made by the Executives for the undertaking of research or development

work for ALMA may involve funding agreements that are not subject to Article 23.3 of

this Agreement. The provisions of the NSF Award to AUI or any successor organization

managing the NRAO, or provisions applied by ESO, will contain terms and conditions

designed to assure the identification and reporting of inventions on a basis comparable to

that contemplated under Article 23.3 of this Agreement and the granting of licenses to all

affected Parties by the owner of the inventions that are substantially the same as those

required for non-US Parties under Article 23.3 of this Agreement. When arrangements

involving its employees are made that are subject to this Article, the Party will have to

enter into appropriate arrangements with the appropriate Executive to accomplish the

intent of this Article.

23.5 In the case of scientific or technical papers, reports, books or similar materials (whether

in print or electronic form) prepared by the Executives or their sub awardees and provided

to the Parties or the Board, each Party shall be free to translate, reproduce and publicly

distribute such materials, subject to any restrictions which may be placed on the

document pursuant to Article 23.6 of this Agreement, or restrictions which are necessary

to obtain appropriate protection of intellectual property rights in particular patents.

23.6 The Parties recognize that in some cases the Executives or their sub awardees may have

to obtain goods or services from organizations that limit the uses made of certain

technical data, software, know-how, or other information provided to the Executives or

their sub awardees because the organization providing the data, software, know-how or

other information treats it as proprietary or trade secret or otherwise restricts its use. This

is likely to be particularly true where pre-existing technical data or software is involved.

In such cases, the Parties recognize that it may not be cost-effective or possible for the

Executives or their sub awardees to obtain license rights for the Parties of the type

contemplated by Articles 23.2 and 23.5 of this Agreement and do not expect the

Executives or their sub awardees to obtain such rights in such cases, provided that

whatever license rights are obtained should be the same for both the Parties.

ARTICLE 24: LIABILITY

24.1 The Parties will ensure that the Executives procure and maintain for their own benefit,

and at their own cost, comprehensive general liability insurance, as appropriate.

24.2 An Executive or Party sending information, materials, or supplies to another Executive,

Party or Parties under this Agreement shall not be liable for damages of any nature, direct

or indirect, to property of the Executive, Party or Parties receiving the information,

materials, or supplies, or to any third party resulting from the use by the Executive, Party

or Parties of the information, materials, or supplies received.
ARTICLE 25: NOTICE

25.1 Any notice contemplated by this Agreement, unless a different address is subsequently

notified by one Party to the others in writing, must be sent to the addresses stated in

Annex E to this Agreement, and copied to the Secretary to the Board, by either

(a) certified mail or courier, and then it is considered to have been received ten days after

it is sent; or

(b) electronic mail or facsimile, and then it is considered to have been received Only when

acknowledged by letter or facsimile.

ARTICLE 26: DISPUTES

26.1 The resolution of any disputes regarding the interpretation, implementation or application

of this Agreement shall be sought by consultation between the Parties. Should such

consultation fail, the matter shall be put to the Director of the National Science

Foundation and the President of the ESO Council for resolution.

ARTICLE 27: ANNEXES

27.1 The following Annexes shall form an integral part of this Agreement:

(a) Annex A: Project Description

(b) Annex B: Scientific Requirements

(c) Annex C: Project Time Schedule

(d) Annex D: Work Breakdown Structure, Assignment of Deliverables and

Schedule of Values

(e) Annex E: Addresses of Parties and Board Members

19
For the National

Science Foundation

of the United States:

For the European

Organisation for

Astronomical Research in

the Southern Hemisphere:

20

e. cu.avA d

Rita Colwell, Director Catherine Cesarsky

National Science Director General, ESO

Foundation

i

drvauvr Z003

Date

Fs110,0kauj 25, ze.0 3

Date

ant-otk A Et-.0;-11-AA, VA

Place Place

I certify that this is a true copy of the signed original.

Robert L. Dickman

ALMA Staff Associate

National Sdience Foundation
ANNEX A: PROJECT DESCRIPTION

Technical Overview

The Atacama Large Millimeter Array (ALMA) will be built and operated by a bilateral

North-American European partnership. It is a millimeter-submillimeter wave

interferometer consisting of 64 12m diameter antennas located on the Chajnantor

Altiplano in the Atacama Desert of northern Chile. ALMA will be equipped with dualpolarization receivers covering 4 atmospheric windows: 84 - 116 GHz, 211 - 275 GHz,

275 - 370 GHz, and 602 - 720 GHz.

A tabular summary of the instrument's basic characteristics is shown in Table 1.

Additional details are as follows:

Site: The site is in a region of the Altiplano in northern Chile known as Zona

Chajnantor-LCerro Chascon with approximate coordinates 67.75° W, 23.02° S at an

elevation of approximately 5000 m. The site land is administered by the Chilean

Ministry of National Assets (Bienes Nacionales) and set aside by Presidential decree as a

protected region for science. Measurements of the atmospheric transparency and stability

made in situ continuously since 1995 confirm that the site has superior conditions for

millimeter-wave and submillimeter-wave astronomy and that it will meet the

requirements of the ALMA Project.

Antennas and Antenna Configurations: The antennas are 12 meter-diameter Cassegrainfed paraboloids, with an aggregate rms surface error < 25p.m. Each antenna is fully

steerable and designed for rapid position-switching (up to 1.5 degrees in 1.5 seconds);

more than 85 percent of the celestial sphere is visible from the Chajnantor site.

The antennas are all movable using a specially designed antenna transporter among 250

prepared antenna stations. Each station has a concrete foundation to support the antenna

and provision for electrical power and data communications. Array configurations range

from —150 meters in diameter (for the study of large or low brightness objects) to —14 km

in extent (for the study of small, high brightness objects).

Front End Electronics: Each antenna will be equipped with four receiver cartridges — one

for each frequency band — housed in a common 4K cryostat. All detectors are coherent,

and rely upon a local oscillator signal phase-locked to an array frequency reference

standard. Each receiver cartridge includes two receivers, operating in orthogonal senses

of linear polarization. Off-axis from the Cassegrain focus of each antenna, a radiometer

tuned to the 183 GHz atmospheric water vapor line will measure the column density of

water above the antenna and enable the distorting effects of the water to be removed.
Table 1: ALMA Technical Summary

Array

Number of Antennas (N)

Total Collecting Area (ItND2/4)

Total Collecting Length (ND)

Angular Resolution

Array Configurations

Compact: Filled

Continuous Zoom

Highest Resolution

Total Number of Antenna Stations

Antennas'

Diameter (D)

Surface Accuracy

Pointing

Path Length Error

Fast Switch

Total Power

Transportable

Front Ends2

84 - 116 GHz

211 - 275 GHz

275 - 370 GHz

602 - 720 GHz

Water Vapor Radiometer

Intermediate Frequency (IF)

Bandwidth

IF Transmission

Correlator

Correlated baselines

Bandwidth

Spectral Channels

Data Rate

Data Transmission from Antennas

Signal Processing at the Correlator

64

7238 m2

768 m

0.2" A(mm)/baseline (km)

(dimension of filled area)

150 m

200-5000 m

14.0 km

250

12 m

25 micrometers RMS

0.6" RSS in 9 m/s wind

< 15 ;Am during sidereal track

1.5 degrees in 1.5 seconds

Instrumented and gain stabilized

By vehicle with rubber tires

(All frequency bands)

-Dual polarization

-Noise performance limited

by atmosphere

-SiS

183 GHz

8 GHz, each polarization

Digital

2016 (.64 * 63/2)

16 GHz per antenna

4096 per IF

120 Gb/s per antenna, continuous

1.6 x 10 16 multiply/add per second

1The antenna specifications are detailed in Request for Proposals for a Prototype Antenna for the Millimeter

Array/Large Southern Array, dated March 30, 1999.

2These four frequency bands are those required on the first-light ALMA as specified by the ALMA Science Advisory

Committee at the committee meeting of March 11, 2000. Receivers in six additional atmospheric windows are deferred

to future development.

A-2
Back End Electronics: Signals from each front end receiver will be converted to a

common intermediate frequency (IF), amplified, and digitized at the antenna by the

backend electronics. In order to process the 8 GHz bandwidth of the IF, the backend

electronics will subdivide the IF into four 2 GHz sub-bands for transmission to the

correlator.

Correlator: The correlator combines the digitized IF signals from each pair of antennas in

the array, and creates astronomical images by Fourier transforming the complex phase

and amplitude of the correlated signals. There are up to 2016 possible pairs of antennas

in ALMA.

Organization: The system engineering, scientific oversight, and management necessary

to coordinate the task activities of the ALMA technical team responsible for production

of the ALMA technical system noted above are integral deliverables of the ALMA

Project as well. The project safety office is included in the management function and

reports directly to the ALMA Director.

kd

Facilities and Infrastructure

ALMA will minimize the number of staff at the 5000m Array Operations Site (AOS), by

relying as much as possible upon remote operations. Physical infrastructure at the AOS

will consist of a central electronics and control building, an emergency refuge, and a

meteorological building.

Other operating staff will be located at a lower altitude Operations Support Facility

(OSF). Infrastructure at the OSF will consist of the antenna service building, array

control building, electronic laboratories, and office, administrative and residential

facilities. The OSF will be connected to the AOS by a road constructed to transport the

antennas and the operations/maintenance staff, and a communications line of buried

optical fibers through which the astronomical data and the instrument monitor data will

be carried in real-time at high bandwidth.
ANNEX B: SCIENCE REQUIREMENTS

ALMA has three level-1 science requirements:

1) The ability to detect spectral line emission from CO or C+ in a normal galaxy like

the Milky Way at a redshift of z = 3, in less than 24 hours of observation.

2) The ability to image the gas kinematics in a solar-mass protostellar/

protoplanetary disk at a distance of 150 pc (roughly, the distance of the starforming clouds in Ophiuchus or Corona Australis), enabling one to study the

physical, chemical, and magnetic field structure of the disk and to detect the tidal

gaps created by planets undergoing formation.

3) The ability to provide precise images at an angular resolution of 0.1". Here the

term precise image means accurately representing the sky brightness at all points

where the brightness is greater than 0.1% of the peak image brightness. This

requirement applies to all sources visible to ALMA that transit at an elevation

greater than 20 degrees.

These requirements drive the technical specifications of ALMA. A highly simplified

flow-down of science requirements into technical specifications can be given as follows:

1) High-redshift Galaxy Detection: The sensitivity of an array is primarily controlled

by three major factors: total collecting area, the noise performance of the

receivers, and atmospheric transparency and phase stability. The detection

requirement for high-redshift galaxies, therefore has a direct impact on ALMA's

collecting area, polarization and frequency requirements, and site.

Contemporary millimeter arrays have collecting areas between 500 and 1000 m2

and can detect CO emission from the brightest high-redshift galaxies (which are

amplified by gravitational lensing), in one to two days of observations; signals

from normal, unlensed objects, will be typically 20-30 times fainter. Current

millimeter-wave receiver technology has approached fundamental quantum

limits, and the noise level of ALMA's detectors cannot be reduced beyond this

point by much more than a factor of 2; an important additional factor of -V2 in

sensitivity is gained by requiring that ALMA support front-end instrumentation

capable of measuring both states of polarization. The proposed ALMA site will

minimize the noise contributions of the atmosphere, so that the remaining factor

of 7-10 in sensitivity can only be gained by increasing the collecting area of the

area by a similar amount. Hence, ALMA must have at least 7000 m2 in collecting

area.

The molecular spectral lines which generally serve as diagnostics of the gas

content and dynamics of galaxies early in the history of the Universe have

frequencies that are fixed in the rest frame of the galaxy, but will be observed at

frequencies that depend upon redshift. Since galaxies are found at every redshift

(i.e., age) ALMA should ideally provide access to all atmospheric windows from

B-1
30-950 GHz, so that galaxies of all ages may be studied. Initially, however, the

array will support observations in the four highest-priority frequency bands.

Additional capabilities may be added in the operational phase of ALMA. Since

the redshift of the galaxies will initially be essentially unknown, the instantaneous

bandwidths of the receivers and the correlator should also be as large as possible;

this will also maximize the continuum sensitivity of the array.

2. Protoplanetary/Protostellar Disks: These requirements have impacts on

ALMA operating frequency, baseline size, frequency resolution, and

polarization.

Theoretical calculations indicate that the gaps created by Jupiter-mass objects in

protoplanetary disks will be —1 AU in extent. Combined with the distance to the

nearest star-forming regions (60-150 pc), the requirement that such gaps be

resolvable in protoplanetary disks implies an angular resolution of 0.010" or

Id better. This can be achieved by combining high frequency (v > 650 GHz)

observations with array baselines of at least 10 km. Proper study of the

kinematics of the disk images further requires that spectroscopy be carried out at

velocity resolutions finer than 0.05 km/s. As a result, the spectral resolution

provided by the ALMA correlator must be as small as a few tens of kHz. The

study of the magnetic field and its properties in disks requires that the ALMA

receiving systems are equipped with full polarization capability in order to

measure all the Stokes parameters.

3. Precise Imaging. The requirement for high fidelity imaging constrains the number

of antennas in the array, since a sufficient number of baselines to cover

adequately the uv plane (i.e., the time/frequency domain plane in which the data

are sampled) is required. Detailed studies of the imaging performance of aperture

synthesis arrays have shown that the requisite imaging performance iniplies a

minimum number of antennas, 40 or above, and accurate measurements of the

shortest baselines, as well as of the large scale emission measured by total power

from the antennas. Such accurate measurements can only be obtained with high

quality antennas, with superior pointing precision. High fidelity imaging also

requires the ability to perform calibrations to "freeze" the atmospheric turbulence

which distorts the radiation coming from celestial sources.

The combination of these three major requirements calls for a reconfigurable

zoom-lens array covering baselines from a few meters up to several kilometers,

observing over the full millimeter and submillimeter atmospheric windows. The

maximum size of the individual antennas is driven by the required pointing and

surface precision: a choice of 12-m antennas offers an excellent technological

compromise. To provide no less than 7000 m2 of total collecting area, 64 antennas

are needed, which is a large enough number to guarantee excellent imaging

performance. Dual polarization is mandatory to provide enough sensitivity in
spectral line mode. ALMA will offer a full-polarization mode to offer new

capabilities to the astronomical community

To minimize the impact of atmospheric noise, a dry site with minimal

attenuation, but also with high phase stability as been selected. The ALMA site

has been monitored for more than 7 years in order to assure that it is optimal from

both standpoints. However, because ALMA will have kilometer-long baselines,

more active measures will be required to cancel the effects of the atmospheric

disturbances. To do this, each ALMA antenna will be equipped with a Water

Vapor Radiometers (WVR) to measure atmospheric path length variations and

correct the image distortions which such phase variations create.

The final major scientific requirement affects the diverse community that will use

and benefit from the scientific capabilities that ALMA brings to extend their

research endeavors: ALMA should be "easy to use" by novices and experts alike.

Astronomers certainly should not need to be experts in aperture synthesis to use

ALMA. Automated image processing will be developed and applied to most

ALMA data, with only the more intricate experiments requiring expert

intervention.
ANNEX C: PROJECT TIME SCHEDULE — MAJOR MILESTONES

Milestone or Deliverable Date

P4

Start antenna evaluation at ALMA Test Facility

Begin Initial Phase of Civil Works in Chile

Central Back End System ready to install at Array Site

Initial Phase of Civil Works in Chile Complete

First Antenna-based Backend Subsystem ready for

installation at OSF

First Production Antenna available in Chile at OSF

Initial Front End Subsystem available at OSF

Start Early Science Observations

Completion of Construction Project

Start Full Science Operations

Q4 2002

Q4 2003

Q1 2005

Q2 2005

Q2 2005

Q4 2005

Q4 2005

Q3 2007

Q4 2011

Q1 2012
ANNEX D: WORK BREAKDOWN STRUCTURE, ASSIGNMENT OF

DELIVERABLES AND SCHEDULE OF VALUES

Work Breakdown Structure

The ALMA Work Breakdown Structure (WBS) is a detailed description of all the tasks

necessary to construct the instruments and software required for ALMA; to construct the

buildings, roads, antenna foundations, utilities and infrastructure needed for the support of

those instruments and software; to integrate the whole into a properly functioning synthesis

array telescope on the Chajnantor site in northern Chile; and to manage the construction

project on behalf of the two sponsoring ALMA Parties via work carried out through NRAO

("North America") and ESO ("Europe").

The ALMA construction project has adopted a management structure based on the Integrated

Product Team (IPT) concept. The IPT concept provides a method of managing tasks carried

out across multiple organizations and locations. Each level-1 WBS element is managed by an

IPT responsible for delivering the required products on time, within the specified cost and

meeting the project requirements. The implementation of the IPT concept is described in the

ALMA Management Plan.

The ALMA WBS was derived in three steps. First, the scientific requirements for ALMA

were specified by the ALMA Science Advisory Committee (ASAC). Second, a technical

description of an array capable of meeting those requirements was outlined by the technical

leaders of the ALMA Project in North America and Europe. Close and frequent interaction

was required between the ASAC and the technical project leadership to assure that the

planned technical capabilities met the science requirement priorities. Third, a plan for design

and fabrication, or procurement, of all the hardware modules and subsystems was established.

Costs were estimated for all tasks and subtasks. The process was informed and constrained

by the estimated resources the sponsors were intending to commit to ALMA. The resulting

project description was organized into the WBS which specifies in sufficient detail the tasks

and the resources, both personnel and financial, required to realize those tasks for the

completed project.

The WBS for the ALMA construction project down to level 3 is included in the following

pages. The WBS is organized into nine level-1 tasks:

1. Management/Administration (*)

2. Site Development

3. Antenna Subsystem

4. Front End Subsystem

5. Back End Subsystem

6. Correlator

7. Computing Subsystem

8. System Engineering and Integration

9. Science (*)

* Note: Education and Public Outreach is a functional task of the Science IPT and Safety is a task of

Management/Administration.
100%

100%

JAO

50% 50%

FE IPT

50% 50%

50% 50%

Europe

100%

Europe

100%

Atacama

Large

Millimeter

Array

WBS

ALMA Construction Plan 2002-Mar-12 ALMA-PmJect.-2°02ma'

I2rO6 rAPP

View: Import Gantt View All Tasks selected Construction Plan: Page 1 of 5

Task NA I Eur % 'Responsibility

ALMA Project Plan 2002Mar12

Management / Admin. 

Management And Administration

North American Project Office

European Project Office

Joint ALMA Office 

Joint ALMA Office (incktiting safety)

Site Development 

Site Construction Management

Site IPT 

Site Development Management 35% 65%

Site DevelopmentSite IPT 

Site Infrastructure 71% 29%

Array Site 49% 51%

Operations Support Facility (OSF) 0% 100%

Array/OSF Access Roads 33% 67%

Array/OSF Communication Links 100% 0%

Chilean Phase 2 Facilities 0% 100%

1S)1D.

1.010.0100

1.010.0120

1 015

1.015.0160

2,

2.020

2.020.0206

2.42L

2.025.0210

2.025.0220

2.025.0240

2t25.0260

2,025.0280

2.025.0300

3 Antenna Subsystem 

3,030

Antenna Management/EnoineedngAnt IPT

3.030.0320 Antenna Management Phase 2 50%

3.030.0340 Production Antenna Engineering Support 50% 50%

310 Prototype Antenna Evaluation Support

Ant IPT

3.035.0360 North Am. Post Acceptance Evaluation 100%

3.035.0380 Euro Post Acceptance Evaluation 100%

European Prototype Antenna Phase 2

Europe

3.036.0410 European Phase 2 Prototype Antenna 100%

3.045.0440

3.045.0460

3.045.0480

.1:10

3,050.0500

1.060 

3.060.0560

3.065

3.065.0580 Production Antenna Nutator

Transporter Design/Fabricate

3.070.0600 Transporter Design / Fabrication

4 Front End Subsystem 4,1417

Frontend Management/Subsystem Engineering

4.075,0620 Front End Subsystem Management

4.075.0640 Front End Subsystem Engineering

jaQ Cryostat DesioniPrototvde

4.080.0860

Cryostat Production

4.085.0680 Cryostat construction

Antenna Contract Tendering/Supervision

Final Design Mods llOeCuMentation; Prepare Bid Package

Production Antenna Contracting

Final Foundation Design

Antenna Procurement

Production Antennas

Production Antenna Acceptance at OSF

Production Antenna Acceptance at OSF

Nutator Desiart/Fabricate

Ant IPT

50% 50%

50% 50%

50% 50%

Ant IPT

49% 51%

Ant IPT

50% 50%

N. Am 

100,Y.

Eurooe

100%

Cryostat Design/Prototype
Atacama

Large

Millimeter

Array

ALMA Construction Plan 2002-Mar-I2 ALMAPropcL200214ar12,06mpp

View: Inport Gantt View All Tasks selected Construction Plan: Page 2 of 5

Was I Task I NA % I Eur % !Responsibility

4.085.0700 Cryocooler

4.090 Windows/IR/Common Ontics Desk:in/Prototype

4.090.0720 Windows/IR/Common Optics Design/Prototype

1.1211 Windows/IR/Common Ontics Production 

4.095.0740 Common Optics 100%

4.095 0760 Windows and IR Filters 100%

4.100 ElectronicslM&C Desian/Prototype

4.100 0780 FE Electronics I M&C DesigniProlotype 00%

gjat Electronics/M&C Production N. Am.

4.105 0800 Production Front End Electronics 100%

4.105.0820 Front-end IF Seleclion Switch 100%

4.105.0840 Front End Monitor and Control System 100%

4.110 FE Subreflector Calibration System Development

4.110.0860 Photonic Phase Cal Development 100%

11,1_11 FE Focal Plane Calibration System Development Euronq

4.115.0880 Calibration System Development 100%

1122 FE Subreflector Calibration System Production N. Am.

4.120.0900 Photonic Phase Cal Production 100%

4.120 0940 Subreflector Calibration System - control siw and hlw 100%

4.120 0960 Subreflector Calibration System - hardware at subreflector 100%

. . _

£125 FE Focal Plane Calibration System Production Europe

4.125.0920 Calibration System 100%

4,125.0980 Solar Filter 100%

4.140 Band 3 Cartridge Design Prototype N. Am.

4.140.1003 Band 3 Cartridge Design / Development 100%

4.145 Band 3 Cartridoe Production N. Am.

4.145.1063 Signal and LO Sources Band 3 100%

. .. . .......... .. .. .. ,

4,145.1080 Band 3 SIS Mixer 100%

4.145.1103 1.0 Production aand 3 100%

4.145.1123 515 Mixer Production Equipment Band 3 100%

4.145.1140 IF amplifier 4-12 GHz (Band 3 SIS option only) 100%

4.145.1163 Build SIS mixer fabrication equipment Band 3 100%

4.145.1180 Band 3- SIS mixer option: Other components 100%

4.145.1203 Cartridge Body construction Band 3 100%

4.145.1303 Cartridge test cryostat 13and 3 100%

. . .

4.145.1403 SIS Junctions Band 3 100%

I.=, ....

Band 6 Cartridge Desianl Prototype N. Am

4.160.1006 Band 6 Cartridge Design! Development 100%

4.165 Band 6 Cartridge Production N Am

4.165.1066 Signal and LO Souross Band 6 100%

4.165.1106 LO Production Band 6 100%

4.165.3106 LO Production Diode Multipliers Band 6 100%

4,165.1126 SIS Mixer Production Equipment Band 6 100%

4.165.1166 Build $IS mixer fabrication equipment Band 6 100%

4.165.1206 Cartridge BodyOdnitruOtioniand 6 100%

4.165.1240 Band 6 SIS Mixer 100%

4.165.1260 Production Band 6 Orthormde Transducer (OMT) 100%
Europe

100%

Europe

100%

100%

100%

100%

100%

100%

100%

100%

Europe

100%

100%

N. Am 

100%

00%

N. Am

100%

100%

N. Am.

1 00%

Atacama

Large

Millimeter

Array

ALMA Construction Plan 2002-Mar-12 ALMA_Project_2002Mar12(06.rnpp

All Tasks selected View: Import Gantt View

Construction Plan: Page 3 of 5

•

WEiS

4.185.1280 14 IF amplifier 4-12 GHz (Band 6 only)

I Task LNA % I Eur % !Responsibility 

100%

4.185.1306 Cartridge test cryostat Band 6

4.165.1320 Band 6 Other comp -

onents

4.165.1406 SIS Junctions Band 6

4.170 Band 7 Cartridae Desianl Prototvoe

4.170.1007 Band 7 Cartridge Design / Development

4.175 Band 7 Cartridge Production 

4,175.1107 LO Production Band 7

4:175.3107 LO Production Diode Multipliers Band 7

4.175.1207 Cartridge Body construction Band 7

4.175.1307 Cartridge test cryostat Band 7 -

4.175.1340 Band 7 Internal optics, feed & polarizer baseline

4.175.1380 Band 7 SIS Mixer baseline

4.175.1407 SIS Junctions Band 7

4.175.1420 Band7 Other Components baseline

Band 9 Cartridge Design/ Prototype

4.190.1009 Band 9 Cartridge Design / Development

Band 9 Cartridae Production

4.195.1109 LO Production Band 9

4.195.3109 LO Production Diode Multipliers Band 9

4.145.1209 Cartridge Body construction Band 9

4.195.1309 Cartridge test cryostat Band 9

4.195.1409 SIS Junctions Band 9

4.195.1480 Band 9 certridge parts (excl. mixer)

4'195.1480 Band 9 fabrication equipment Part 1

4.195.1500

4.195.1520

4,210.1011

.4.215

4.215 1560

4.220.1580

4.225,1800

4.230 Frontond Integration 

4.230.1620 Front End Integration Center #1 Setup and Operation

4.230 1830 Front End Integration Center ei2 Setup and Operationi

Frontend Mechanical Chasis/Mount

4.235.1660 Front End Chassis

4.240 Front End Service Vehicle

4.240.1680 Front End Service and Exchange Vehicle

4 245 Photonic LO Development

4.245.1700 Photonic LO Development N. Am.

4.245.1705 Photo= LO Development Europe

LUQ LO Driver Development

4.250.1720 LO driver continued development section

1 00%

00

integration Test Facilities Develop/Procure

Front End Test Station Development

Integration Test Facilities Duplicate 

Front End Test Station Replication

100%

100%

100%

100%

10014

100%

100%

1 00%

100%

100%

Europe

Euroue 

N. Am.

FasrnnP

Band 9 fabrication equipment Part 2

Band 9 mixer

WVR Radiometer Design/ Prototvoe

WVR Cartridge Design! Development

WVR Radiometer Production 

183GHz WVR Production, Installation & Com ssioning 100%
BE IPT

A TOCOMO

Large

Millimeter

Array

ALMA Construction Plan 2002-Mar-12 ALMA-Pmted-2002mar1266APP

View: Import Gantt View All Tasks selected Construction Plan: Page 4 of 5

WBS I Task NA % I Eur % Responsibility

4.250.1740 Cold multiplier continued development section 100%

4.265 Multiplier/driver Production

4.255.1760 LO Multiplier Drivers fabrication and test 100%

4.255.1800 Cold multiplier fabrication and test equipment

5 Backend Subsystem

5.260 Backend Management Subsystem Enoineennq

5.260.1880 Backend kigini/Sutieysiem Engineering Phase 2 75% 25%

5.260.1840 10 Ref Engineering Field Support 100%

5.260.1860 Photonic Dist Engineering Support 100%

5.260.1900 Backend Engineering Support 67% 33%

5.265 Backend Analoa Processina Desion/Prototvoe N Am.

5.265.1920 Prototype System IF Down-converter 100%

5.270 Backend Analoa Firoce ssino Production

5.270.1940 IF Down-converter 100%

5.270.1960 Power Supply Modules 100%

5.270.1980 BE Production Test & Lab Equipment 100%

5.275- Backend Digitizer Desion/Prototvoe

5.2752000 Backend DigtizerlSampler Prototype

Backend Diaitizer Production

5.280.2020 Digitizer/Sampler

5.280.2040 DeMultiplexer for Digitizer/Sampler

LIU Backend Data Transmission Desion/Prototvoe

5.285.2060 Prototype System Digital IF Tx & Rx

5.290 Backend Data Transmission Production 

5.290.2080 Sampler Clock

5.290.2100 Digital IF Transmitters and Receivers

LO Frequency Synthesis Desion/Prototvoe

5.295.2120 LO Reference Prototype

5.295.2140 FO Transmitter, CO Fief- Low Freg 100%

5.300 LO Freouencv Synthesis Production

5.300.2160 FO Receiver, LO Reference

5.300.2180 Two-Laser generator, RF synthesizer 100%

5.300.2200 Second LO Synthesizer 70% 30%

5.300.2220 Fringe Generator 100%

5.300.2240 Central LO Reference Generator 100%

5.300.2260 H-maser Frequency Standard 100%

5.300.2280 Power Supply Modules

5.300.2300 LO Ref Production supervision & Mt.

5.300,2320 LO Ref Production test & lab equipment

5.300.2335 Photonic Diet Dist Prototype

5.300.2340 Fabricate Photonic Dist Production System

. Backend Installation/Intearation in Chile

5.305.2360 LO Reference On Site Integration and Test 50% 5(1%

5.305.2380 PtiOtonicbitOn SiteIntegration and Test 50% 50%

5.305.2400 Backend On Site Integration and Test 50% -60% --

6 Correlator 

gais, Correlator Manacternent/Subsystem Enaineerina

100%

50%

100%

100%

N. Am.

50%

Filmnn

Europe

N Am

N. AM

100%

25% 75%

100%

100%

100%

100%

100%

50% 50%

RF IPT

Corr IPT
Atacama

Large

Millimeter

Array

ALMA Construction Plan 2002-Mar-12 ALMA_Project2002Mar12106.mpp

All Tasks selected View: Import Gantt View

Construction Plan: Page 5 of 5

WBS I Task

6.310.2420

6.310.2440

6.315

6.315.2460

6.320.2480

6,320.2500

61320.2520

6.320 2540

NA % I Eur % !Responsibility

Baseline Correlator Mgmt/Subsystem Engineering Phase 2 100%

Baseline Correlate( Continued Support

Baseline Correlator Desian/Prototyne 

Prototype Correlaior Production

Baseline Correlator Production

First 1/4 correlator

Second 1/4 corelator

Third 1/4 corretator

Fourth 1/4 correl'aior

L121 Second Generation Correlator Design/PrototvDe

6.325.2570 Second Generation Correlate( Development

Europe

100%

7 Computing Subsystem

COMentind

7340.2640 Computer Subsystem Management 63% 38%

7.340.2660 Computing Hardware 50% 50%

7.340.2680 Science Software Requirements 44% 56%

7.340.2700 High Level Analysis & Design 44% 56%

7.340.2720 Software Engineering 42% 58%

71.340.2740 Common Software 43% 57%

7.39.2750 Executive Software 100%

7.340.2760 Control Software 81,31. 19%

7.340.2780 Correlator Software 100%

7.340.2800 Pipeline Software 65% 35%

7.340.2820 Archiving 24% 76%

7°340.2840 Scheduling 100%;

7.340.2860 Observing Preparation & Support 100%

7.340.2880Off-line Data Processing/Analysis 70% 30%

7.340.2890 Gala Reduction User Interface 100%

7.340.2900 Telescope Calibration 100%

7340.2920 Integration. Test & Support 53%, 47%,

8 System Eng. & integration

8.360 System Engineering Management Sys IPT

8.360.2940 SE&I Management 50% 50%

8.365 System Enaineerino Develooment SuoDort Sys IPT

8.365.2960 Phase 2 System Engineering 50% 50%

8.370 Test Interferometer Support sys IPT

8.370.2980 ALMA Prototype Antenna Evaluation 50% 50%

8.370.3000 Prototype ALMA System Integration 50% 50%

8.375 System Validation. Integration. Acceptance Sys IPT,

8.375.3020 ALMA System Integration 50% 50%

9 Science

9j28 Science Sri IPT

9.380.3040 Phase 2 Science Support 50% 505'.

9.385Education and Public Outreach Executives

9.385.3060 North American EPO 100%

9.385.3080 European EPO

9.385.3100 Chilean EPO

Corn IPT

D-6
Assignment of Deliverables

As stated in Article 2 of the Agreement, NSF and ESO will make equal value contributions to

ALMA with the work equally and equitably shared between them. Therefore, the level-3

tasks, i.e., deliverables, were divided in a manner that (a) led to an equal assignment of value

to both sides; (b) led to a division of equal risk to both sides, as measured by contingency;

and (c) respected particular institutional experience on both sides. The resulting assignment

of deliverables is presented in the WBS for each level-3 task as a percentage division

between Europe and North America.

Task responsibility is assigned at WBS level-2. This is noted for each task in the final (rightmost) column in the WBS. The level-2 tasks are referred to as work packages that the

responsible partner may wish to assign to one of its participating institutions. Each work

package is subdivided into work elements. These are the level-3 tasks to which value is

assigned. Usually the work elements are assigned wholly to one partner or , the other. In the

case of shared level-3 tasks the division of effort as 100 percent to one side or another is

made at a still lower level. This information is given on the individual ALMA Work Element

sheets that are not included here.

Schedule of Values

Costs and contingencies were developed for each subtask of the WBS and rolled up as the

summed costs of tasks; the task costs were subsequently rolled up as the summed Project

cost. The basis for the cost estimates was a bottom-up sum of the costs associated with each

subtask of the project-wide WBS. The European and North American technical leaders,

working together, developed estimates for the entire task product tree using a standard

ALMA Cost Data Sheet that asked the technical leaders to provide for each task:

• Task description;

• Task duration (or start and stop dates and predecessor tasks);

• Currency used for materials, supplies and contract expense;

• Basis of the estimate;

• Contingency;

• Staff Effort;

• List of materials and estimated cost of each;

• List of contracts and estimated cost of each;

• Cost parameterization.

Personnel costs are fully burdened costs. That is, the personnel costs include personnel

benefits and a percentage of institutional indirect costs. The institutional indirect cost is a

uniform percentage derived from the major partner institutions; this is done to make the

personnel cost independent of where the work is performed.

Contingency was separately calculated for each subtask. The contingency methodology used

was a bottom-up computation of the sum of three separately calculated contingencies. These

three contingencies correspond to three different risk factors: the technical risk (how difficult

is the task?), the cost risk (what is the uncertainty on the cost?), and the schedule risk (how

does this task affect the overall schedule?). Estimators evaluated the technical, cost and

schedule risk factors for a particular WBS task and then entered those factors in the ALMA

Cost Data Sheets.

D-7
The value of a level-3 task is the sum of the cost and contingency for that task. An ALMA

partner executing a particular level-3 task will receive for the successful delivery of that task

credit for the value assigned in the WBS. The partner has the discretion to carry out the task

in the manner the partner chooses to be in its best interest, but the value is not affected by that

choice.

A summary of costs (in thousands of FY 2000 dollars), contingencies, and values (in

thousands of FY 2002 dollars) by level-1 WBS task for the construction project is given in

the following table. The table also shows the division of values by WBS area between North

America and Europe.

Schedule of Values and Cost Summary for ALMA Phase 2 Construction (\2000 KS)

Level-1 WBS Task

Total Project

Cost Contingency Value

North Ametical Tasks

Cost 'aritingency Value

Europecrt Tasks

Cost Contingency ' Value

1. Management/Achinistraticn $16,470 5.1% $17,313 $8,440 5.0% $8,861 $8,030 5.3% $8,452

2. Site Development $61,154 14.6°A $70,049 $23,418 14.4% S26,787 $37,736 14.6% $43,262

a Antenna Subsystem $198,022 15.0% $227,739 $96,925 14.8% $111,299 $101,097 15.2% $116,440

4. Front End Subsystem $93,800 20.0% $108,982 $43,886 21.4% $53,291 $46,914 18.7% $55,691

5.'Back End Subsystem $40,777 22.0% $49,765 $24,004 18.4% $28,416 $16,773 27.3% $21,349

6. Correlator $13,204 12.5% $14,856 $12,675 12.8% $14,294 $529 6.2% $562

7. Computing Subsystem $29,843 15.5% $34,468 $15,905 14.4% $18,199 $13,938 16.7% $16,269

8. System Eng. & Integation $18,172 10.8% $20,125 $9,358 10.4% $10,335 $8,814 11.1% $9,790

9. Science $8,721 5.2% $9,173 $4,527 5.0% $4,753 $4,194 5.4% $4,420

Total $477,163 15.8% $552,470 $239,138 15.5% $276,235 $238,025 16.1% $276,235
ANNEX E: ADDRESSES OF PARTIES AND BOARD MEMBERS

Addresses of Parties: 

North America Europe

National Science Foundation European Southern Observatory

4201 Wilson Boulevard Karl-Schwarzschild-Stral3e 2

Arlington, Virginia 22230 85748 Garching bei Munchen

U.S.A. Germany

Names and Addresses of ALMA Board Members: 

North America

Dr. Robert L. Dickman

Division of Astronomical Sciences

National Science Foundation

4102 Wilson Boulevard

Arlington, VA 22230

Dr. Anneila Sargent

Astronomy Department 1-5-24

California Institute of Technology

Pasadena, CA 91125

Dr. Riccardo Giacconi

Suite 730

Associated Universities, Inc.

1400 16th Street, NW

Washington, DC 20036

Dr. James Hesser

Herzberg Institute of Astrophysics

NRC of Canada/DA0

5071 West Saanich Road

Victoria, BC V9E 2E7

Canada

Europe

Prof. Piet van der Kruit

Kapteyn Astronomical Institute

Postbus 800

Groningen, 9700 AV

The Netherlands

Prof. Richard Wade

Particle Physics and Astronomy

Research Council

Polaris House

North Star Avenue

Swindon

Wiltshire SN2 1SZ

United Kingdom

Dr. Catherine Cesarsky

European Southern Observatory

Karl-Schwarzschild-Stral3e 2

85748 Garching bei Miinchen

Germany

Prof. Roy Booth

Onsala Rymdobservatorium

S-43992 Onsala

Sweden