TREATIES AND OTHER INTERNATIONAL ACTS SERIES 15-1218

________________________________________________________________________

SCIENTIFIC AND TECHNICAL COOPERATION

Neutrino Program

Protocol I 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

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(80 Stat. 271; 1 U.S.C. 113)—

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or authentication thereof.”
 EUROPEAN ORGANIZATION FOR 

 NUCLEAR RESEARCH

 Scientific and Technical Cooperation:

 Neutrino Program

 Protocol I to agreement of May 7, 2015.

 Signed at Geneva December 18, 2015;

 Entered into force December 18, 2015.

 
NEUTRINO PROTOCOL I 

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 
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The Department of Energy of the United States of America ("DOE"), 

and 

The European Organization for Nuclear Research ("CERN"), an 

Intergovernmental Organization having its seat at Geneva, Switzerland, 

(hereafter collectively referred to as "the Parties"): 

CONSIDERING: 

That the Parties continue to collaborate to their mutual benefit under the 

Co-Operation Agreement Concerning Scientific and Technical Co-Operation 

in Nuclear and Particle Physics signed May 7, 2015 (hereinafter the "2015 

Co-Operation Agreement''); 

That the Parties have already demonstrated successful collaboration in the 

design, fabrication and operation of two major high energy physics detector 

facilities at CERN's Larg~ Hadron Collider; 

That the Parties, on the basis of reciprocity, have expressed their intent to 

further develop their scientific and technical co-operation; 

That the 2015 Co-Operation Agreement expresses CERN's interest in 

participating in scientific programs of DOE; 

That definitive measurements of neutrino properties that may explain our 

fundamental understanding of the presence of matter and the absence of 

antimatter in the universe, the dynamics of the supernovae, and the 

possibility of proton decay are to greatly enhance the research program at 

the "intensity frontier" of elementary particle physics; and 

That it is in the mutual interest of the Parties to co-operate on an international 

neutrino program under this Neutrino Protocol I (hereinafter "Protocol"), 

HAVE AGREED AS FOLLOWS: 
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Article 1 

Purpose 

1.1 The purpose of this Protocol is to define the framework under which 

the Parties will co-operate in the field of neutrino physics, including 

enabling technologies for neutrino detectors and particle beams. Each 

Party shall provide contributions to co-operative projects hosted by the 

other Party. 

1.2 The largest co-operative activity covered by this Protocol is the Long 

Baseline Neutrino Program (hereinafter "LBNP"), located in the United 

States and hosted by DOE. It is comprised of the Long Baseline 

Neutrino Facility (hereinafter "LBNF") and the Deep Underground 

Neutrino Experiment (hereinafter "DUNE"). The former is a multi-site 

facility that enables a neutrino beam to illuminate a deep underground 

science laboratory that houses DUNE as well as provides the 

experiment with the required infrastructure and services. 

1.3 This Protocol also establishes the framework under which the Parties 

may collaborate in the Short Baseline Neutrino program (hereinafter 

"SBN") located in the United States at the Fermi National Accelerator 

Laboratory (hereinafter "Fermilab") and in the CERN Neutrino 

Platform project to be hosted by CERN. 

Article 2 

Scientific Goals 

2.1 The scientific goals of the Parties' co-operative activities in neutrino 

physics include, but are not limited to, the following: 

(a) A comprehensive )nvestigation of neutrino oscillations to test 

charge-parity violation in the lepton sector which could explain the 

absence of antimatter in the universe; 

(b) A determination of the ordering of the neutrino masses; 

(c) Testing of the three-neutrino paradigm; 

(d) Measurement of neutrino scattering cross sections with various 

nuclei; 

(e) A search for nucleon decay; and 
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(f) Measurement of astrophysical neutrinos, particularly those from 

core-collapse supernovae. 

Article 3 

Scope 

3.1 The Parties plan to co-operate in the following projects of mutual 

interest: 

(a) Research and development of experimental techniques related to 

neutrino detectors and neutrino beam lines; 

(b) Scientific research activities related to co-operative projects in 

neutrino physics; 

(c) A CERN Neutrino Platform project that is designed as a test 

facility for large detector prototypes and demonstrators. As host 

laboratory for this project, CERN shall establish the facility, and 

DOE shall provide scientific support and in-kind contributions 

through Memoranda of Understanding ("MOUs") in accordance 

with Article 7 of this Protocol and/or implementing arrangements 

in the form of Addenda to this Protocol in accordance with 

Article 8 of this Protocol; 

(d) Support for activities related to the construction and operation of 

the Fermilab SBN program. CERN, in co-operation with its 

European partner agencies, shall provide portions of detector 

subsystems and part of the cryogenic infrastructure. As host 

laboratory for the program, Fermilab shall provide needed 

infrastructures including laboratory complexes and general 

utilities. The Parties plan to develop Fermilab SBN program 

contribution criteria, which will be documented in an 

implementing arrangement in the form of an Addendum to this 

Protocol in accordance with Article 8 of this Protocol. In-kind 

contributions consistent with such criteria will be documented 

through MOUs in accordance with Article 7 of this Protocol 

and/or implementing arrangements in the form of Addenda to 

this Protocol in accordance with Article 8 of this Protocol; 
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(e) LBNF, which will provide infrastructure in the form of a deep 

underground scientific laboratory located at the Sanford 

Underground Research Facility (hereinafter "SURF") and a 

Fermilab accelerator complex that will deliver high-intensity 

neutrino beams for DUNE. 

i. The underground laboratory will have sufficient size and 

infrastructure to support detectors containing tens of 

kilotons of liquid argon target mass. 

ii. Infrastructure will be provided for detector components 

located at Fermilab. 

iii. The Fermilab accelerator complex is expected to provide 

megawatts of beam power for the production of its neutrino 

beam. 

(f) The design, construction, and operation of DUNE, which will be 

guided by an international collaboration (hereinafter the "DUNE 

Collaboration") and to which the Parties shall contribute 

resources; and 

(g) Exchanges between the Parties through visits of scientists and 

specialists in activities related to this Protocol. 

Article 4 

Organization and Management 

4.1 An International Neutrino Council for LBNP shall be composed of 

representatives from regional funding agencies and CERN that make 

major contributions to the LBNP infrastructure. It shall be chaired by a 

representative from DOE and shall act as a consulting body to DOE 

concerning LBNP. 

4.2 The Fermilab LBNP Resources Review Boards for LBNF and the DUNE 

Collaboration, composed of representatives of each participating 

funding agency and chaired by the Fermilab Directorate, shall monitor 

and oversee resource-related matters concerning LBNF and DUNE, 

respectively, and provide advice to the Fermilab Directorate on these 
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issues. CERN shall be a member of these LBNP Resources Review 

Boards. 

4.3 The organization of DUNE shall be determined by the Executive 

Committee of the DUNE Collaboration in consultation with the 

International Neutrino Council for LBNP, the Fermilab Directorate, 

and such other institutions as the Executive Committee of the DUNE 

Collaboration finds appropriate. The upper-management level of the 

DUNE Collaboration shall consist of the following: 

(a) Spokespeople, selected by the DUNE Collaboration, shall act as 

the principal representatives of the DUNE Collaboration and are 

responsible to the constituent funding agencies for meeting the 

scientific, technical, cost and schedule goals of the project. 

(b) The Technical Co-ordinator of the DUNE Collaboration shall be a 

Fermilab staff member, and shall have overall responsibilities for 

technical aspects of detector construction. In particular, the 

responsibilities shall include project planning, fabrication, 

installation, integration, support services and safety for DUNE. 

(c) The Resource Co-ordinator of the DUNE Collaboration shall be a 

Fermilab staff member, and shall have overall responsibility for 

monitoring the financial aspects of the DUNE detector project, 

including budget and resource planning. The Resource 

Co-ordinator shall also have managerial responsibility for 

Common Projects as well as for corresponding Common Funds 

that support these Common Projects. 

4.4 The organization of LBNF shall be determined by the Fermilab 

Directorate. The upper-management level of the LBNF Project shall 

consist of the following: 

(a) The Project Director of LBNF shall be a Fermilab staff member, 

and shall have overall responsibilities for technical aspects of 

construction of LBNF. In particular, the responsibilities shall 

include project planning, construction, installation, integration, 

support services and safety for the LBNF Project. 
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(b) The Project Director of LBNF shall be assisted by a Management 

Board whose composition shall be defined by the Fermilab 

Directorate and shall at all times include a CERN representative. 

4.5 An Experiment-Facility Interface Group shall be established to monitor 

all relevant issues that cut across the boundaries of DUNE and LBNF 

and provide appropriate guidance to the Fermilab Directorate. Its 

members shall be appointed by the Fermilab Directorate and shall at all 

times include a CERN representative. 

Article 5 

CERN Contributions to LBNP 

5.1 Contributions to DUNE shall conform to the following: 

(a) CERN, in co-operation with its European partner institutions, 

shall contribute, in whole or in part, to the provision of items for 

DUNE considered as part of common projects which are the 

responsibility of the overall DUNE Collaboration (hereinafter 

"Common Projects"). Such items shall be funded directly or 

indirectly by all participants in the Collaboration, and their 

provision shall be subject to approval by the Fermilab Resources 

Review Boards in accordance with Article 5.2 of this Protocol. 

CERN's contributions shall be specified in MOUs in accordance 

with Article 7 of this Protocol and/or implementing arrangements 

in the form of Addenda to this Protocol in accordance with Article 

8 of this Protocol. 

(b) Cash contributions from CERN, in co-operation with its European 

partner institutions, including contributions to "Common Funds" 

for costs associated with Common Projects, shall be specified in 

MOUs fu accordance with Article 7 of this Protocol and/or 

implementing arrangements in the form of Addenda to this 

Protocol in accordance with Article 8 of this Protocol. 

(c) MOUs for DUNE shall be used to cover the construction of the 

relevant detectors and their installation in the experimental areas, 

and shall include the distribution of tasks and other 
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responsibilities for all participating institutions, including those 

from CERN and its partner institutions, as well as the 

organizational, managerial, and financial guidelines to be 

followed by the DUNE Collaboration. Technical Design Reports 

on the scientific and technical aspects of DUNE shall be submitted 

by the DUNE Collaboration to Fermilab for approval and shall be 

a basis for the commitments specified in such MOUs for DUNE in 

accordance with Article 7 of this Protocol. 

5.2 Contributions to LBNF shall conform to the following: 

(a) CERN shall contribute in-kind deliverables for the detector 

infrastructure and the cryogenic infrastructure as shall be 

specified in MOUs in accordance with Article 7 of this Protocol 

and/or implementing arrangements in the form of Addenda to 

this Protocol in accordance with Article 8 of this Protocol. 

Specifications of the value of in-kind contributions by CERN shall 

follow standard CERN accounting practices. 

(b) MOUs shall cover the construction and installation of LBNF 

infrastructure and related components, and shall include the 

distribution of tasks and other responsibilities for all participating 

institutions, including those from CERN and . its partner 

institutions, as well as the organizational, managerial, and 

financial guidelines to be followed by the LBNF Project. 

Technical Design Reports on the technical aspects of LBNF shall 

be submitted by the LBNF Project to Fermilab for approval and 

shall be a basis for the commitments specified in such MOUs for 

LBNF in accordance with Article 7 of this Protocol. 

Article 6 

Responsibilities of DOE 

6.1 DOE shall represent the United States as the host nation of LBNP, and 

is ultimately responsible for the success of the entire program. In 

particular, DOE shall be responsible for the development, maintenance, 

and operation of all infrastructure and supporting equipment required 

for the successful execution of LBNP. 
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6.2 The Fermilab Directorate will have responsibility for the management 

of LBNF and the oversight of DUNE. Such responsibilities, to the 

extent they are consistent with the Fermilab Directorate's management 

and operations contract with DOE, shall include: 

(a) Responsibility for the orgaruzation and successful execution of 

LBNF; 

(b) Responsibility to co-ordinate resources and activities related to 

LBNF with its international partners. In furtherance of this 

responsibility, regular reports concerning LBNF shall be provided 

to the LBNP International Neutrino Council; and 

(c) Responsibility for approving the appointments of the Technical 

and Resource Co-ordinators for the DUNE Collaboration, and 

ensuring that they have the staff and engineering support 

required to carry out their responsibilities. It shall be Fermilab's 

overall responsibility to use reasonable efforts to ensure that there 

is a satisfactory match between the available resources (including 

funding and manpower) and the approved detector projects. 

6.3 DOE shall be responsible for maintaining safe working environments 

for LBNF, DUNE, and all SBN experiments hosted at Fermilab. DOE 

has the authority to intercede in any such co-operative activity to 

ensure that all applicable environmental, safety and health regulations 

are being observed. Periodic reviews shall be held by DOE with the 

participation of representatives from CERN. 

Article 7 

Memoranda of Understanding 

7.1 MOUs may be exchanged between the Parties or their delegated 

laboratories to memorialize specific co-operative activities to be 

conducted under this Protocol. Such MOUs may cover, but are not 

limited to, specifications of equipment or personnel to be exchanged, 

definition of task responsibilities within a specific project, 

contributions, and adjustments of organizational structure as needed. 

MOUs may be written and exchanged at the project level, subject to the 

internal policies of each Party. 
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7.2 Institutions of Member States and Associate Member States of CERN, 

and of States and International Organizations participating in CERN's 

scientific program on the basis of International Co-operation 

Agreements and similar instruments, may elect to memorialize their 

contributions in appropriate legal instruments to be concluded with 

CERN. Their contributions shall be received and integrated as 

appropriate by CERN before delivery to Fermilab, and as such shall be 

considered as contributions from CERN. 

Article 8 

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 9 

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 new 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 by another period, at least six 

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

Agreement remains in force. 
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Article 10 

Final Provisions 

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

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

and other resources. 

10.2 This Protocol is subject to and governed by the terms of the 2015 CoOperation 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