TREATIES AND OTHER INTERNATIONAL ACTS SERIES 15-1218.3

________________________________________________________________________

SCIENTIFIC AND TECHNICAL COOPERATION

Accelerator

Protocol III Between the 

UNITED STATES OF AMERICA

and the EUROPEAN ORGANIZATION FOR 

NUCLEAR RESEARCH

To Agreement of May 7, 2015

Signed at Geneva December 18, 2015

 
 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

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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 ORGANIZATION FOR 

 NUCLEAR RESEARCH

 Scientific and Technical Cooperation:

 Accelerator

 Protocol III to agreement of May 7, 2015.

 Signed at Geneva December 18, 2015;

 Entered into force December 18, 2015.

 
ACCELERATOR PROTOCOL III 

between 

THE DEPARTMENT OF ENERGY 

OF THE UNITED STATES OF AMERICA (DOE) 

and 

THE EUROPEAN ORGANIZATION 

FOR NUCLEAR RESEARCH (CERN) 

to 

THE CO-OPERATION AGREEMENT 

concerning 

SCIENTIFIC AND TECHNICAL CO-OPERATION 

IN NUCLEAR AND PARTICLE PHYSICS 

2015 
2 

The Department of Energy of the United St~tes of America (

11DOE"), 

and 

The European Organization for Nuclear Research (

11CERN"), an 

Intergovernmental Organization having its seat at Geneva, Switzerland, 

(hereafter collectively referred to as lithe Parties"): 

CONSIDERING: 

That the Parties collaborated to their mutual benefit under the International 

Co-Operation Agreement Concerning Scientific and Technical Co-Operation 

on Large Hadron Collider (LHC) Activities signed December 8, 1997; 

That the Parties successfully participated in the original construction activities 

of the LHC accelerator and in the exploitation of the LHC under an 

Accelerator Protocol I signed December 19, 1997; 

That the Parties renewed their collaboration by participating in the 

commissioning of the LHC through its consolidation to its nominal energy 

and performance under an Accelerator Protocol II signed July 11, 2014; 

. That the Parties renewed their collaboration under the Co-Operation 

Agreement Concerning Scientific and Technical Co-Operation in Nuclear and 

Particle Physics signed May 7, 2015 (hereinafter the 112015 Co-Operation 

Agreement''); 

That DOE has successfully participated in the design, research and 

development, and construction of the LHC, and that United States 

universities, national laboratories, and other organizations (hereinafter 11U.S. 

Participating Organizations11) play a major role in the accelerator system 

activities of the LHC; 

That at the same time the participation of U.S. scientists, engineers, and 

technicians benefits the CERN program by providing intellectual and 

financial resources that allow substantial improvement in the capabilities of 

LHC accelerator, and therefore a greatly enhanced research program in 

elementary particle physics and nuclear physics; 

That the excellent LHC results obtained thus far strongly support extending 

the LHC performance reach and continuing design studies and research and 

development for increasing the nominal accelerator luminosity by a factor of 

ten; 
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That research and development (R&D) for key technologies for the study and 

subsequent upgrade to the LHC Accelerator is being conducted in the 

framework of the United States' LHC Accelerator Research Program (LARP); 

and 

That it is in the mutual interest of the Parties to continue and to extend their 

co-operation on the LHC accelerator consolidation plan and the LHC upgrade 

program, under this Accelerator Protocol III (hereinafter "Protocol"), 

HAVE AGREED AS FOLLOWS: 

Article 1 

Purpose 

1.1 The purpose of this Protocol is to create a framework for DOE's 

contribution, through U.S. Participating Organizations, to the 

implementation of ongoing LHC accelerator activities to reach its 

nominal energy and performance, and to the LHC upgrade program, 

based on the R&D conducted in the framework of LARP, that is 

planned to increase the LHC accelerator's nominal luminosity by a 

factor of ten. The resulting increase of the LHC luminosity aims at 

extending significantly the physics reach of the LHC to the benefit of 

the large United States experimental physics community engaged in 

activities at the LHC and enables their continued participation during 

the High-Luminosity LHC (hereinafter "HL-LHC") running period. 

1.2 This Protocol provides a framework for U.S. Participating 

Organizations to contribute their intellectual resources in a design 

study towards future global collider activities that include substantial 

increases and improvements to the energy and luminosity after the 

HL-LHC running period. 

Article 2 

Scope 

2.1 DOE's contribution to the activities conducted under this Protocol, 

through U.S. Participating Organizations, may be in any form as may 

be jointly agreed by the Parties, and in particular may consist of: 

(a) Accelerator science studies in view of reaching the nominal LHC 

performance and participation in the related machine studies; 
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(b) Accelerator science studies, research and development, and 

fabrication of accelerator components in view of the planned HLLHC upgrade. This covers accelerator physics studies, modeling 

and simulation, high-field magnet, crab cavity and collimation 

activities, both from a system and technology point of view; 

(c) Accelerator science studies and related research and development 

in view of assessing the feasibility of future LHC energy and 

luminosity upgrades; 

(d) Accelerator science studies on the LHC injector complex, in view 

of meeting the requirements of the LHC main ring upgrade; 

(e) Accelerator science studies related to the heavy ion nuclear 

physics program at the LHC and the Relativistic Heavy Ion 

Collider at Brookhaven National Laboratory; 

(f) Providing equipment, specialized material, components and 

software to CERN, in accordance with the provisions of Article 5 

below; and 

(g) Any other accelerator science studies relevant to the LHC or to 

future CERN accelerator initiatives. 

Any such contributions shall be addressed in implementing 

arrangements in the form of Addenda to this Protocol in accordance 

with Article 7 of this Protocol. 

2.2 Subject to availability of appropriated funds, DOE's total contribution 

to the HL-LHC upgrade program shall be specified and incorporated 

under separate implementing arrangements in the form of Addenda to 

this Protocol in accordance with Article 7 of this Protocol. The 

application of any funds specified in these Addenda to the LHC 

accelerator upgrade costs will follow standard DOE accounting 

practices. 

Article 3 

. Memoranda of Understanding 

3.1 DOE and/ or its national laboratories shall conclude Memoranda of 

Understanding ("MOUs") with CERN that specify planned 

responsibilities for research and development, design, and prototyping 

of accelerator components for the HL-LHC upgrade. 

3.2 The detailed planned responsibilities towards the construction of 

accelerator components for the HL-LHC upgrade and their installation 
5 

in the accelerator facility at CERN shall be specified through MOUs 

between DOE and/ or its national laboratories and CERN. 

3.3 The detailed planned responsibilities assigned to all U.S. Participating 

Organizations towards future accelerator system studies beyond the 

HL-LHC upgrade, including design, modeling and simulation, and 

research and development, shall be specified in MOUs that are 

separate from those specified in paragraphs 3.1 and 3.2 of this Article. 

3.4 Except as otherwise agreed, understandings specified in MOUs in 

accordance with this Article shall not be legally binding, and shall be 

subject to corresponding implementing arrangements in the form of 

Addenda to this Protocol concluded in accordance with Articles 2 and 

7 of this Protocol. 

Article 4 

Management Structures 

4.1 For the purpose of implementing this Protocol, any work by DOE or its 

U.S. Participating Organizations on the HL-LHC upgrade shall be 

accomplished through a nationally co-ordinated program managed by 

DOE. Further, DOE and CERN shall each designate a Project Manager 

to ensure effective co-ordination and performance of all technical, 

financial and procurement activities related to the implementation of 

this Protocol. The DOE-designated Project Manager, in consultation 

with CERN, shall prepare a Project Management Plan, which shall 

describe the organization and distribution of management and other 

responsibilities among U.S. Participating Organizations regarding the 

U.S. HL-LHC Accelerator Upgrade Project. 

4.2 Each Party's Project Manager shall provide regular reports to the Joint 

Cooperation Committee created under Article 9 of the 2015 

Co-Operation Agreement. 

4.3 In addition to continuous contact between the responsible technical 

personnel of the Parties, DOE shall designate its representative on 

formal governance panels for the CERN projects concerned. These 

arrangements are without prejudice to the operation of the Joint 

Cooperation Committee identified in Article 9 of the 2015 

Co-Operation Agreement. 
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Article 5 

Transfer of Goods and Technical Data 

The Parties are obligated to transfer only those technical data and goods, 

including software, to fulfill their respective responsibilities under this 

Protocol and implementing instruments, in accordance with the Annex to the 

2015 Co-Operation Agreement and the following provisions: 

5.1 Each Party's activities under this Protocol shall be carried out in 

accordance with the applicable laws, regulations, and procedures to 

which it is subject. 

5.2 The transfer of technical data for the purpose of discharging the 

Parties' responsibilities with regard to interface, integration, and safety 

shall normally be made without restriction, except as required by 

paragraphs 5.3, 5.4, and 5.5 of this Article. 

5.3 All transfers of good~ and proprietary data are subject to the following 

provisions: 

(a) In the event a Party determines it necessary to protect such goods 

or data against unauthorized disclosure, such goods shall be 

specifically identified and such data will be marked. 

(b) The identification of such goods and the marking of such data 

shall indicate that the goods and data may be used by the 

personnel of the receiving Party (including, in the case of DOE, 

authorized U.S. Participating Organizations) only for the purpose 

of this Protocol, and that such goods and data may not be 

transferred or disclosed to any other entity without the prior 

written permission of the furnishing Party. 

(c) The receiving Party shall abide by the terms of the notice and 

protect any such goods and data from unauthorized use, transfer 

and disclosure, in accordance with applicable laws, regulations, 

and administrative practices. 

5.4 All goods and data exchanged in the execution of this Protocol shall be 

used by the receiving Party exclusively for the purposes of the 

Protocol. Upon completion of activities under this Protocol where 

goods and data are marked proprietary, the receiving Party shall 

return or otherwise dispose of such goods and data, as directed by the 

furnishing Party. · 

5.5 In the event that information identified in a timely fashion as businessconfidential is furnished or created under this Protocol, each Party and 

its participants shall protect such information in accordance with 

applicable laws, rules, regulations, and administrative practices. 

Information may be identified as "business-confidential" if a person 

having the information may derive an economic benefit from it or may 
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obtain a competitive advantage over those who do not have it, and the 

information is not generally known or publically available from other 

sources, and the owner has not previously made the information 

available without imposing in a timely manner an obligation to keep it 

confidential. 

Article 6 

Entry into Force, Duration, and Termination 

This Protocol shall enter into force upon signature by both Parties. This 

Protocol shall remain in force for an initial period of five years and shall 

thereafter be renewed automatically, each time for a period of five years, 

unless a written notice of termination is given by one Party to the other Party, 

or the Parties have agreed on its renewal for a different period, at least. six 

months prior to the renewal date, so long as the 2015 Co-Operation 

Agreement remains in-force. 

Article 7 

Amendment 

The Parties may amend this Protocol at any time by mutual written consent, 

so long as the 2015 Co-Operation Agreement remains in force. Implementing 

arrangements in the form of Addenda to this Protocol, which shall be subject 

to formal review by the Government of the United States and by CERN, are 

the preferred vehicles for legally-binding alterations or additions. 

Article 8 

Final Provisions 

8.1 Each Party's participation in the activities contemplated by this 

Protocol is subject to the availability of appropriated funds, personnel, 

and other resources. 
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8.2 This Protocol is subject to and governed by the terms of the 2015 

Co-Operation Agreement. 

DONE at Geneva, Switzerland, in duplicate in the English language, on 

18 December 2015 

FOR THE DEPARTMENT 

OF ENERGY OF THE UNITED 

STATES OF AMERICA: 

Pamela Hamamoto 

Permanent Representative of the 

United States of America to the 

United Nations and Other 

International Organizations in 

Geneva 

FOR THE EUROPEAN 

ORGANIZATION FOR NUCLEAR 

RESEARCH: 

Rolf Heuer 

Director-General