Procedure M12-3001: Preparing & Reviewing PPDs Including MOUs between CERN & Fermilab

Procedure M12-3001

Preparing and Reviewing Project Planning Documents including Memoranda of Understanding between CERN and Fermilab

PART – KB0015565

1. Parent Policy and Related Policies/Procedures

Fermilab Policy on International Engagement

M12-3000 International Agreements Procedure Series[1]

2. Purpose

The Project Planning Documents (PPDs) with any international partner is prepared to facilitate project execution and reviews under the United States Department of Energy (DOE) Order 413.3B[2].  Project Planning Documents (PPDs) and CERN Memoranda of Understandings (CERN MOUs) are subject to a formal review process in accordance with DOE Policy 485.1A[3], which requires securing the necessary authorizations from DOE headquarters for Fermi National Accelerator Laboratory (Fermilab) to sign.

The purpose of this procedure is to communicate the process to follow for the preparation and review of any PPDs[4] between Fermilab and an international partner, including a CERN MOU, under the Co-operation Agreement between CERN, the DOE, and the National Science Foundation (NSF).

3. Applicability

This procedure applies to Fermi Forward Discover Group, LLC (FermiForward) and all its employees, affiliates, and users. In consultation with the DOE Office of High Energy Physics (DOE/HEP), the Fermi Site Office (DOE/FSO), the DOE Office of Science (DOE/SC), the DOE Office of General Counsel (DOE/GC), the SC Office of Laboratory Policy, the Fermilab Office of the General Counsel (OGC), and the Fermilab Office of Partnerships and Technology Transfer (OPTT), this procedure was developed by the Fermilab Office of International Engagements (OIE).

4. Effective Date and Date Reviewed/Updated

This procedure went into effect on July 9, 2025.

5. Procedure

a. Requirements

DOE requires a legally binding international agreement to be in place for accepting hardware contributions from international partners for all DOE/SC projects. There are two general types of legal instruments: 1) a written instrument that is signed at the institutional level, such as an International Basic Science Cooperative Research and Development Agreement (I-CRADA) and 2) a U.S. government-wide or agency-level written instrument between governments. Each of these typically defines intellectual property rights, exchange of information, details of ownership, the disposition of the contributed equipment at the end of its useful life, and any other details necessary to form a cooperative partnership. Such instruments may also provide the general framework for the scope of work and associated in-kind contributions agreed upon between the partners. I-CRADAs and other institutional-level agreements are negotiated by the lead national laboratory in consultation with DOE headquarters and the local site office. Legally binding instruments in the second category are negotiated by officials within the U.S. government. The overarching bilateral agreements at the U.S. government or DOE levels or laboratory level, provide a framework for cooperation, a summary of deliverables, and associated in-kind contributions. These agreements reference the need for a non-binding written instrument, such as MOUs or PPDs that detail information, including, but not limited to, requirements and specifications of deliverables, performance and/or personnel to be exchanged, definition of task responsibilities within a specific area of the project, schedules and milestones, project review processes, risk management, coordination, standards for safety, and adjustments of organizational structure as needed.

For any matters related to PPDs, CERN MOUs or other written instruments, the Director of the OIE is to be included in all communications to DOE, including those with the DOE/FSO, the DOE/HEP, and other partners.

b. Project Planning Documents

A PPD is intended to be a non-binding document and serves as the primary instrument for specifying details related to deliverables from an international partner to a Fermilab-hosted facility or infrastructure project.  

PPDs shall be developed in advance of the DOE baseline Critical Decision-2 (CD-2) Independent Project Review (IPR). Ideally, the PPD should be signed before the DOE Energy Systems Acquisition Advisory Board (ESAAB) approves CD-2.

i. The Project Lead (PL), Project Director, Project Manager, or Technical Lead, and the OIE shall develop the draft PPD in coordination with the DOE/FSO and the DOE/HEP.

(1) Since PPDs are non-binding instruments, the language used for all provisions should reflect an intention not to be legally bound.

(2) Further, since multiple international partners in a specific project may enter into a PPD with Fermilab, the PPD typically gets divided into two parts:

Part 1 — Project Management: This document clarifies roles and responsibilities between the host laboratory and international partners, discusses how partners interface with project management systems, expectations for project reviews, etc. Some of the more unique aspects of this document include how to deal with non-conforming or late-delivered components, change management, dispute resolution, component acceptance, and title transfer based on an assumption that all contributions are to become DOE property after delivery and acceptance.  The contents of Part 1 are largely general to all contributing partners. 

·Part 2 — Deliverables: This document provides further details of the scope contributions and schedule commitments for a particular partner. It also provides details on documentation to accompany an in-kind contribution that ensures it will meet the performance criteria and can be safely integrated into DOE’s facilities and systems. Although the format and some provisions of Part 2 will be the same for each partner, the technical content is unique to each partner’s contribution.

(3) PPDs should include descriptions of supporting documentation and planned activities for the project to meet the requirements of DOE Order 413.3B.

(4) Provisions on plans for the contributed equipment to go into its maintenance and operation phase, including Fermilab’s role thereof, should conform with Fermilab policies and procedures.

(5) Since the draft requires review within DOE in which certain provisions may be modified during the process, Fermilab is not authorized to share a copy of the draft with international partners until the DOE International MOU Working Group (WG)[5] has cleared the draft to begin negotiations.

(6) Technical details, including the scope of work and itemized in-kind contributions, that are contained in the PPD can be discussed separately with international partners.

(7) The Fermilab PL is responsible for coordinating with the Export/Import Control Compliance Manager in accordance with FermiForward’s Policy On Export Control And with their budget officer if in-kind funding is received for the project.

(8) The Fermilab PL and the OIE should ensure project planning and any associated review processes are accounted for within the time needed to complete negotiations of the draft PPD as well as secure approvals at DOE to authorize Fermilab to proceed with signatures, as described in Section 5.e. below.

ii. Concurrently, the draft PPD will be shared with the Fermilab OGC for review.

iii. Once the draft PPD is ready for DOE review, the OIE should submit the copy to the DOE/FSO to coordinate with the DOE/HEP to facilitate a review by the DOE International MOU WG.

iv. The OIE will coordinate the feedback received from the MOU WG with respective PL and prepare a final draft, which will be submitted through the DOE/FSO approvals portal for formal approval and authorization.

c. CERN Memoranda of Understanding

CERN MOUs are non-binding instruments that serve to memorialize CERN and DOE contributions and responsibilities to an experiment-related program hosted by Fermilab or, in the case of a CERN-hosted program, to a CERN experimental detector or accelerator facility. While legally binding agreements are the appropriate instruments to specify the framework of cooperative activities and financial commitments for the in-kind contribution, CERN MOUs may contain general information about the planned deliverables that are consistent with the legally binding instruments.

i. In accordance with DOE Policy 485.1A, DOE may authorize a national laboratory to develop an MOU with an international partner. The Fermilab Director, after receiving authorization from DOE, will subsequently authorize a Fermilab PL to prepare a CERN MOU.

ii. Prior to the preparation of CERN MOUs related to the U.S. High-Luminosity Large Hadron Collider (HL-LHC) accelerator, the U.S. HL-LHC Compact Muon Solenoid (CMS) detector upgrade project, and the Future Circular Collider (FCC) project, the respective PLs should engage with the OIE to ensure the Fermilab Director’s Office is fully involved in the process.

iii. The Fermilab PL is to coordinate (in accordance with Section 3.1 above) with the Director of the OIE, the Head of the OPTT, the Project Manager in the DOE/HEP, and the Federal Project Director in the DOE/FSO to define the scope of the CERN MOU.

iv. For a CERN MOU, since the existing DOE-CERN agreement structure contemplates CERN, on the one hand, and DOE and its national laboratories, on the other hand, to establish CERN MOUs, the DOE/HEP and the DOE/GC are to negotiate the draft CERN MOU with CERN legal service, respectively, it being understood that the DOE/HEP will coordinate with Fermilab and the DOE/FSO throughout the entire process.

d. Integration with DOE Order 413.3B Requirements

The PPD provides information about the technical scope and includes milestones that will allow the DOE/SC to track progress. The details supporting the milestones will be evaluated by the DOE/SC IPR Committee. As necessary, the DOE/SC will hold joint technical reviews with the international partners. These will include various design reviews, production readiness reviews, and acceptance reviews.

i. The PL shall work with the designated DOE/FSO official to submit the PPDs to the CD-2 IPR Committee for review.

ii. The CD-2 IPR Committee shall review the details in the PPD to ensure that the entire project scope is covered and to identify any scope gaps that exist prior to the recommendation to proceed to CD-2.

e. DOE Authorization for Fermilab to Sign PPDs and CERN MOUs

i. An MOU Questionnaire (see attached Exhibit A) is required for each PPD or CERN MOU.  The Fermilab PL shall complete the MOU Questionnaire, in consultation with the OIE, the OPTT, the Project Manager in the DOE/HEP, and the Federal Project Director in the DOE/FSO. The OIE submits the package that includes the MOU Questionnaire and the PPD or CERN MOU for final formal review with the PD, the OGC, and the OPTT. 

ii. The OIE will submit the final draft of the PPD or CERN MOU, along with the completed MOU Questionnaire, through the DOE/FSO approvals portal for review and approval in accordance with DOE Policy 485.1A.

iii. The DOE/FSO Contracting Officer (CO) is responsible for coordinating the DOE review process and for providing formal approval to the laboratory to proceed with signing the PPD or CERN MOU.

(1) The CO first secures the field-level concurrences from the DOE Patent Counsel, the DOE/GC, Office of Intelligence and Counterintelligence, and other reviewers within DOE/FSO.

(2) The CO forwards the package to the DOE/HEP for additional coordination. The designated representative in the DOE/HEP is responsible for facilitating the review and approval of the package at DOE headquarters as follows: the DOE/HEP prepares two DOE internal memos: 1) an Action Memo from the Associate Director of Science for HEP to the Director for the DOE/SC and 2) an Information Memo from the Director for the DOE/SC to the Assistant Secretary in the Office of International Affairs (IA-1). Any necessary reference material, including a copy of the final draft PPD or CERN MOU, will accompany the two memos.

(3) The CO, in coordination with the DOE/HEP, then forwards the package to other DOE headquarters offices for concurrence in accordance with DOE Policy 485.1A.

iv. Prior to the Fermilab Director signing a PPD or CERN MOU with a representative of an international partner, the OIE ensures that all authorizations are secured from DOE to grant Fermilab signature authority in accordance with processes described in DOE Policy 485.1A.

f. Modifications for PPDs and CERN MOUs

i.   As outlined in the Modification section of the executed PPD or CERN MOU, modifications may be done at any time, by mutual written decision of the participants, so long as the higher-level agreements remain in force.

ii.  The modified document will be submitted by OIE to be reviewed by DOE for authorization as outlined in Section 5.e above.

6. Definitions

CERN Memorandum of Understanding (CERN MOU) — A bi-lateral, non-binding instrument that serves to memorialize CERN and DOE contributions and responsibilities to an experiment-related program hosted by Fermilab or, in the case of a CERN-hosted program, to a CERN experimental detector or accelerator facility. The document may contain general information on the planned deliverables that are consistent with the legally binding instruments.

FermiForward – the operator and manager of the Fermi National Accelerator Laboratory under the Department of Energy Prime Contract No. 89243024CSC000002 and is the principal employer of employees working at Fermilab.

Fermilab – the physical site and property that is the Fermi National Accelerator Laboratory.

Foreign entities — Foreign entities include 1) any foreign government or foreign government agency or instrumentality thereof including laboratories; 2) any international organization; 3) any form of business enterprise or legal entity organized, chartered, or incorporated under the laws of any country other than the U.S. or its territories; 4) any form of business enterprise organized or incorporated under the laws of the U.S. or a state or other jurisdiction within the U.S. that is owned, controlled, or influenced by a foreign government, agency, firm, or corporation; and 5) any person who is not a U.S. citizen or national.

International partner — a foreign entity with which FermiForward or DOE enters an arrangement for cooperative work.

Memorandum of Understanding (MOU) — This refers to any contractually non-binding agreement between Fermi Forward Discovery Group, LLC and one or more external entities, including Memorandum of Agreement, Letter of Intent, Statement of Intent, Declaration of Principles, Project Planning Documents, or other similar document, whatever its title. MOUs may not be entered into with individuals.

Project Planning Document (PPD) — a non-binding written instrument between two or more parties outlined in a formal document that memorializes the parties’ cooperation on a program or project. 

7. Owner and Subject Matter Experts

The Director of the Office of International Engagement is the owner of this procedure and is responsible for reviewing, updating, and communicating changes to this procedure.

8. Review cycle

The procedure is to be reviewed on the same schedule as the parent policy, every three years.

9. Communication Plan

This procedure will be communicated by the OIE to all employees, affiliates, and users. This procedure will also be made available to the DOE/FSO and the DOE/HEP, and online in the Fermilab policy database.

10. References

Policy on Taxonomy & Nomenclature Matrix

Policy on Memoranda of Understanding

Policy on International Engagements

“Foreign Engagements with DOE National Laboratories,” DOE Policy Directive 485.1A

“Program and Project Management for the Acquisition of Capital Assets,” DOE Order 413.3B

“Expectations for International Contributions to DOE/SC Projects,” Memorandum from J. Siegrist, DOE Associate Director of Science for High Energy Physics, to All Project Directors of HEP-Sponsored Capital Acquisition Projects, dated April 30, 2020.

For the most recent versions of the listed DOE Policies and Orders, visit U.S Department of Energy Current Directives List.

Revision History