Unclassified Foreign National Access Program

AVAILABLE ONLINE AT: INITIATED BY:

www.directives.doe.gov Office of Environment, Health, Safety and Security

U.S. Department of Energy ORDER

Washington, DC

Approved: 1-15-2021

SUBJECT: UNCLASSIFIED FOREIGN NATIONAL ACCESS PROGRAM

1. PURPOSE. The Department of Energy (DOE) unclassified mission focuses on the critical

challenges of our time, for both the country and the world. Much of this work is

performed in collaboration with the international community. At the same time, the

federal government has a responsibility to protect its assets and ensure that unauthorized

access to sites, information, or technologies is denied. With this in mind, this program

defines the requirements for unclassified foreign national access to DOE sites,

information, or technologies by establishing requirements for the following:

a. A risk-based review and approval process for foreign national access consistent

with United States (U.S.) law; national and economic security; and DOE

program-specific policies, requirements, and objectives.

b. A process for documenting and tracking access by foreign nationals to DOE sites

or involving access to DOE information or technologies.

2. CANCELLATIONS. DOE O 142.3A Chg 2 (Ltd Chg), Unclassified Foreign Visits and

Assignments Program, dated 12-13-19.

Cancellation of a directive does not, by itself, modify or otherwise affect any contractual

or regulatory obligation to comply with the directive. Contractor Requirements

Documents (CRDs) that have been incorporated into a contract remain in effect

throughout the term of the contract unless and until the contract or regulatory

commitment is modified to either eliminate requirements that are no longer applicable

or substitute a new set of requirements.

3. APPLICABILITY.

a. Departmental Applicability. Except for the equivalencies/exemptions in paragraph

3.c., this Order applies to all Departmental elements.

The Administrator of the National Nuclear Security Administration (NNSA) must

assure that NNSA employees comply with their responsibilities under this

directive. Nothing in this directive will be construed to interfere with the NNSA

Administrator’s authority under section 3212(d) of Public Law (P.L.) 106-65 to

establish Administration-specific policies, unless disapproved by the Secretary.

b. DOE Contractors. Except for the equivalencies/exemptions in paragraph 3.c., the

CRD (Attachment 1) sets forth requirements of this Order that will apply to

contracts that include the CRD. The CRD must be included in contracts involving

foreign national access to DOE sites, information, or technologies.

DOE O 142.3B

2 DOE O 142.3B

1-15-2021

c. Equivalencies/Exemptions for DOE O 142.3B. Equivalencies and

exemptions to this Order are processed in accordance with DOE O 251.1,

Departmental Directives Program, current version.

Equivalency. In accordance with the responsibilities and authorities

assigned by Executive Order 12344, codified at Title 50 United States

Code (U.S.C.) sections 2406 and 2511 and to ensure consistency through

the joint Navy/DOE Naval Nuclear Propulsion Program, the Deputy

Administrator for Naval Reactors (Director) will implement and oversee

requirements and practices pertaining to this Directive for activities under

the Director's cognizance, as deemed appropriate.

Exemptions.

(a) Unclassified events and activities outside the U.S. or its territories.

(b) Dual citizens, only if one citizenship is U.S.

domain in accordance with applicable procedures. [NOTE:

Physical access to a site will follow normal site security

procedures, including the applicable requirements of this Order.]

(d) Requests for access to information (e.g., technical specifications,

project data, research results) by foreign nationals from countries

that are formally part of a specific DOE program-sponsored

international collaboration project under a DOE or U.S.

Government-level bilateral or multilateral international agreement

(e.g., Deep Underground Neutrino Experiment at Long-Baseline

Neutrino Facility , Proton Improvement Plan-II, Vera Rubin (Large

Synoptic Survey Telescope) Dark Energy Search Collaboration).

This applies only to information generated under these projects and

agreed to be shared among the participants. [NOTE: Physical

access to a site will follow normal site security procedures,

including the applicable requirements of this Order.]

(e) Public events held on or off DOE sites.

(f) Certain activities within General Access Areas (GAA):

1 Personal visits.

2 Third-party events (i.e., not related to the DOE mission)

hosted at the site.

3 Access by foreign national delivery, service, and vendor

personnel (NOTE: Also exempt in other areas outside of a

DOE O 142.3B 3

1-15-2021

GAA if fully escorted and compliant with other relevant

security requirements.).

4 Foreign nationals performing construction activities.

(g) Foreign national emergency response and medical personnel who

require access for emergencies.

(h) Access by foreign nationals 17 years of age or younger who are

involved in non-work-related activities.

(i) International Atomic Energy Agency (IAEA) inspections, as

defined in the “Agreement between the United States and the

IAEA for the Application of Safeguards in the U.S.”

4. REQUIREMENTS. Foreign national requests for access to DOE sites, information, or

technologies will be reviewed based on all the information provided and any potential

impacts on site or program operations. A determination of access approval is required

before each access request is granted and must ensure that any identified risk to the

Government associated with the access granted has been appropriately evaluated and

mitigated, including a review against the Science and Technology (S&T) Risk Matrix

(see paragraph 4.g.). All access approvals must be made by U.S. citizens, are valid for the

duration of the access request, and must be documented in the Foreign Access Central

Tracking System (FACTS) no later than the first day of access.

a. The Curriculum Vitae (CV). A CV must be provided for each foreign national

conducting research at laboratories and entered into the FACTS database. CVs

must include all employment activities, since the age of 18 years, and provide all

of the foreign national’s science and technology specialties. CVs must also

include the current/accurate name of all academic institutions attended, and all

degree/diplomas earned. There should be no lapses in time over the past 10 years.

b. Site Security Plan (SSP). The SSP must include the requirements and procedures

used to process foreign national access requests at the site. The SSP, as approved

by the Officially Designated Federal Security Authority (ODFSA), must include

requirements to ensure:

appropriate documentation describing the process for application of the

exemptions listed in this Order;

appropriate delegation of approval authority to the site management

official or laboratory director, and any related procedures;

that appropriate export control and technology transfer reviews, and

determinations of export license requirements, are conducted;

4 DOE O 142.3B

1-15-2021

that nationals of state sponsors of terrorism (SST) do not host other

foreign nationals;

coordination with designated Counterintelligence (CI) and Intelligence

(IN) elements; and

site-specific subject matter expert (SME) reviews, escort, and host

requirements.

c. Access Request. Each foreign national access request must include, at a

minimum, the following items:

Country(ies) of Affiliation. If multiple affiliations exist, the requirements

are applied based on the country presenting the greatest risk.

Identification of the information or technology(ies) to be accessed, and

whether considered a sensitive subject as defined by this Order or a

restricted technology under the S&T Risk Matrix.

Identification of areas (e.g. GAA, PPA) to be accessed for all physical

access requests

Justification for the requested access, including specific activities or

involvement.

Identification of the DOE/NNSA program or sub-element and its mission

advanced by the access request

Proposed start and end date of access request which cannot exceed four

years [NOTE: Access requests can only be valid for the duration of the

lawful immigration status of the foreign national regardless of the length

of the access request].

d. Sensitive Subjects List. Each foreign national access request must identify

whether it involves a sensitive subject and must be processed accordingly based

on the requirements of this Order. This list will be updated at least annually and

applies to all foreign national access requests. Any additions to the list made by a

Cognizant Secretarial Officer (CSO) will be reviewed as part of the annual

update.

e. Lawful Immigration Status, Citizenship, and Identity. Sufficient documentation of

immigrant or nonimmigrant status, citizenship, and identity is required for all

foreign nationals at DOE sites, facilities and laboratories to verify identity and

authority to work (when applicable for the activities involved) and to ensure that

the foreign national is eligible (in lawful immigration status including those who

have received Delayed Action for Childhood Arrivals (DACA) status) to be in the

U.S. The lawful immigration status of foreign nationals must be valid for the

DOE O 142.3B 5

1-15-2021

duration of the access request. There is an exception for intermittent periods by

foreign nationals entering the U.S. under the State Department Visa Waiver

Program, temporarily for business or pleasure, or for Canadian citizens who do

not require entrance visas.

f. Assignment of Approval Authority. Approvals for foreign national access must be

consistent with line management accountability requirements.

Headquarters Elements. Approval authority for foreign national access to

HQ activities and/or offices within HQ sites/organizations is the head of

the cognizant HQ departmental element. Heads of HQ departmental

elements may make final approval determinations for access requests

involving sensitive country nationals, non-sensitive country nationals, and

nationals of SSTs who are lawful permanent residents (LPR) of the United

States. The head of a HQ departmental element may reassign his or her

approval as appropriate. Further reassignment of approval authority is not

allowed. All reassignments of approval authority must be in writing, and a

copy must be provided to the Office of Environment, Health, Safety and

Security. Heads of HQ program, staff and support offices will be held

accountable for all decisions made by themselves or by those to whom

they reassign approval authority.

Access by foreign press to HQ sites are conducted through the Office of

Public Affairs and involve official press interviews. Access by press

representatives from non-sensitive countries must be documented in

FACTS within two working days of access. Press representatives from

sensitive countries or representing press services of sensitive countries

require full pre-access reviews and approvals documented in FACTS

before access.

High-level protocol access is limited to meetings between the Secretary of

Energy, the Deputy Secretary, the Under Secretaries, Program Secretarial

Officers (PSOs) or other senior Departmental officials, and foreign

national representatives of foreign governments or organizations of

foreign governments in HQ buildings. The Secretary, Deputy Secretary,

Under Secretaries, and PSOs will determine which senior Departmental

officials within their organizations are authorized to conduct this access.

Advance approval reviews may be suspended if requested by these senior

Departmental managers subject to compliance with the security plans and

procedures developed for high-level protocol access to HQ sites. The

duration of high-level protocol access is limited to one day.

Documentation of these visitors in FACTS is required within one working

day of the access. Justification for this access must address the protocol

nature of the access.

Field Sites. Approval authority and accountability for foreign national

access to a Departmental site and associated information and/or

6 DOE O 142.3B

1-15-2021

technology is the head of the cognizant DOE field element for that site.

The head of the cognizant field element may make final approval

determinations for access requests involving sensitive country nationals,

non-sensitive country nationals, and nationals of SSTs that are LPRs.

The head of the cognizant field element may delegate approval authority

to the site management official or laboratory director after demonstration

of adequate procedures to handle these access requests. When the site

management official or laboratory official is not a U.S. citizen, the head of

the cognizant DOE field element may delegate approval authority and

accountability to only an individual who is a U.S. citizen. All site approval

authorities must be defined in the SSP. A site management official or

laboratory director may reassign approval authority to other U.S. citizen

employees within their organization. Further reassignment or delegation of

approval authority is not allowed. A site management official or

laboratory director must reassign or delegate approval authority in writing

and document this action in the SSP. Site management officials and

laboratory directors are accountable for all access approval decisions made

by themselves or by those to whom they have delegated or reassigned

approval authority.

g. Countries of Risk. Country of Risk foreign nationals may be restricted from

accessing technology or information as identified in the S&T Risk Matrix.

Requests for access to conduct research under a User Agreement at an Office of

Science, Energy Efficiency Renewable Energy, or Nuclear Energy User Facility

at a non-NNSA DOE laboratory are exempt from the review requirements related

to the S&T Risk Matrix discussed below. All other requirements of this Order

apply to these access requests.

S&T Risk Matrix. The DOE maintains the S&T Risk Matrix and restricts

Country of Risk foreign nationals from accessing certain areas identified

in the S&T Risk Matrix, unless DOE grants an exemption. All proposed

access requests in areas that are not identified as restricted in the current

S&T Risk Matrix can proceed with the normal access request review and

approval process. Requests for exemptions can be made by the Head of

the cognizant DOE Field Element, in coordination with the site, as

described below.

(a) A request for access is reviewed by the site, in coordination with

the Head of the cognizant DOE Field Element, to determine if the

access request is in an area identified as restricted in the current

S&T Risk Matrix before submitting the proposed access request

A new review, based on the additional S&T Risk Matrix requirements, for individuals with existing access

approvals at the time of publication of this Order is not required. These individuals will be assessed against the new

S&T Risk Matrix requirements at the time of their next access authorization renewal.

DOE O 142.3B 7

1-15-2021

through the standard access request review and approval process

promulgated by this Order. When an access request is in an area

identified as restricted in the current S&T Risk Matrix, the

cognizant DOE Field Element must agree if a request for an

exemption is warranted. Absent agreement to request an

exemption, the proposed access request is not pursued any further.

(b) When the Head of the cognizant DOE Field Element agrees to

request an exemption, a justification and clear description of why

the access request benefits the U.S. must be prepared. The

exemption request must then be submitted through the appropriate

PSO and CSO, with a copy provided to DOE’s Federal Oversight

Advisory Body (FOAB), with final approval/disapproval being

provided by the cognizant Under Secretary or their designee.

Office of Intelligence (IN) is required prior to final approval of an

exemption. A copy of the exemption request, along with the

required additional information, must be submitted to the

cognizant local CI office to support the review. Indices checks

will be conducted as part of the specialized enhanced vetting

process, therefore, it is recommended the exemption request be

submitted 45 days prior to the start date of the access request.

(d) If the exemption is granted, then the access request may be

submitted for the standard access request review and approval

process.

DOE may consider broad exemptions for specific categories of access

requests, such as those supported under government-to-government

agreements and in line with National Security Council policy guidance, to

ensure existing priorities are not unduly impeded. These broad exemptions

will be handled as determined by the cognizant Under Secretary or their

designee in consultation with the FOAB and the cognizant DOE Program

Office.

h. Nationals of State Sponsors of Terrorism. Access requests for nationals of SSTs

who are not LPRs require approval by the HQ Departmental element or site

approval authority before final approval determination. Final approval authority is

held by the Secretary of Energy and can only be assigned to the Deputy Secretary,

Under Secretary for Nuclear Security/Administrator of the National Nuclear

Security Administration, Under Secretary of Energy, or Under Secretary for

Science. The Deputy Secretary or appropriate Under Secretary, in consultation

with the Office of Intelligence and Counterintelligence, will make the final

approval determination for these access requests. Subsequent access requests

extending currently approved and on-going access to a HQ or contractor site or

laboratory may be approved by the HQ Departmental element or contractor site or

8 DOE O 142.3B

1-15-2021

laboratory approval authority. For nationals of SST that are LPRs, final approval

determination is at the HQ Departmental element or site approval authority level.

i. Indices Checks. Indices checks are coordinated by the Office of Intelligence and

Counterintelligence, and shall be requested through the process of documenting

access requests in FACTS. Indices checks are valid for a period of two years from

the indices completion date, as documented in FACTS by the Office of

Intelligence and Counterintelligence. If the approved access request exceeds this

two-year period, updated indices checks are automatically requested through

FACTS prior to the current expiration date.

The following access requests require completed indices checks prior to

the start of the foreign national’s access:

(a) All access requests by nationals of SSTs.

(b) All access requests to a physical security area more restrictive than

a Property Protection Area (PPA).

national laboratories sites, information or technologies.

(d) All access requests for sensitive subjects. [NOTE: The indices

check for access requests by non-sensitive nationals for sensitive

subjects at sites with no classified work can be completed after

access is granted.]

Access requests for sensitive country nationals to non-sensitive subjects

require indices checks, but they do not have to be completed prior to the

start of the foreign national access.

Indices checks are not required for non-sensitive country national’s access

to non-sensitive subjects in a PPA or less restrictive areas.

For access requests that require completion of indices checks prior to the start of

foreign national access, the request must be documented in FACTS in sufficient

time to complete the indices checks. It is recommended that the request be entered

into FACTS at least 45 days prior to the start date of the request to ensure

adequate time for completion of indices checks. If there is insufficient time to

complete indices checks before the first day of access, the approval authority may

request a counterintelligence consultation in lieu of completion of the indices

50 U.S.C. 2652(a), as amended by Public Law 112-239 – January 2, 2013, National Defense Authorization Act for

Fiscal Year 2012, states that a background review (indices check) must be completed prior to access to any facility

of a national security laboratory by an individual who is a citizen or agent of a nation on the sensitive countries list.

This provision does not preclude access to areas accessible to the general public, at Lawrence Livermore National

Laboratory; Los Alamos National Laboratory; and Sandia National Laboratories in Albuquerque, New Mexico, and

Livermore, California.

DOE O 142.3B 9

1-15-2021

checks. For requests involving nationals of SSTs, counterintelligence

consultations may not be utilized until 60 days after requests are documented in

FACTS. Counterintelligence consultations may not be employed as a standard

alternative to indices checks.

If there are valid indices checks for the foreign national documented in FACTS,

the indices checks will be considered completed upon documentation of the

request in FACTS using the existing FACTS biographical record for that foreign

national.

j. Documentation. FACTS is the Department’s official national database on

unclassified foreign national access requests. Access to FACTS is limited to U.S.

citizens. All required information regarding access requests that require

documentation, as detailed in this Order, must be entered in FACTS.

Closeout Information. Information documenting the final status of access

requests must be entered into FACTS within 15 days after the last day of

access. This information includes the closeout status, closeout comments,

and actual start and end dates for access that has taken place. Closeout

statuses include: Completed, Canceled Before or After Approval, Denied,

or No Show.

SME reviews, when conducted in compliance with SSP requirements,

must be documented in FACTS.

5. RESPONSIBILITIES.

a. Secretary of Energy.

(1) Establishes DOE policies, procedures, and requirements for foreign

national access to DOE sites, information or technologies.

(2) Assigns access approval authority to the Deputy Secretary and Under

Secretaries for requests for access by nationals of SSTs, consistent with

the policies and requirements of this Order.

b. Under Secretaries.

Approve/disapprove foreign national access exemption requests based on

the current S&T Risk Matrix or delegate this authority per paragraph

4.g.(1)(b).

Determine when a broad exemption applies to foreign national access

requests as discussed in section 4.g.(2).

10 DOE O 142.3B

1-15-2021

c. Under Secretary for Science.

(1) Develops, maintains and approves the Department-wide sensitive subjects

list, in consultation with the Under Secretary of Energy and the Under

Secretary for Nuclear Security.

(2) Convenes a working group consisting of representation from each of the

Cognizant Secretarial Officers that will coordinate the development of the

list of sensitive subjects for approval and conduct an annual update of the

list.

d. DOE Federal Oversight Advisory Body (FOAB). Reviews foreign national access

exemption requests based on the current S&T Risk Matrix.

e. Cognizant Secretarial Officers (CSOs).

(1) Ensure that facilities under their cognizance have implemented this

Order.

(2) Notify contracting officers of affected site/facility management

contractors to incorporate the CRD of this Order into their contracts.

(3) Ensure that procurement requests for new non-site/non-facility

management contracts require inclusion of the CRD to this Order in the

resulting contracts, if appropriate.

(4) Ensure systematic review of field and local site approvals for which the

CSO has responsibility to ensure that program-specific guidance is

followed, corrective action is taken as appropriate, and line management

responsibilities associated with the presence of foreign nationals are met.

(5) Review and concur/non-concur on foreign national access exemption

requests based on the current S&T Risk Matrix.

(6) Add items to the sensitive subjects list for laboratories/sites under their

cognizance.

f. Program Secretarial Officers (PSOs). Review and concur/non-concur on foreign

national access exemption requests based on the current S&T Risk Matrix

Country of Risk.

g. Heads of Headquarters Departmental Elements.

(1) Review procurement requests for new non-site/non-facility management

contracts and, if appropriate, ensure that the CRD of this Directive is

included in the contracts.

DOE O 142.3B 11

1-15-2021

(2) Serve as foreign national access requests approval authorities for

Headquarters activities and/or offices within their organizations, and

reassignment approval authority to other U.S. citizen employees, as

appropriate.

(3) Develop and implement operating procedures for approving foreign

national access to Headquarters program and contractor personnel, sites,

information and organizations in compliance with the requirements of

this Order.

(4) Designate points of contact (POCs) for foreign national access, and

provide contact information to the Office of Environment, Health, Safety

and Security.

(5) Provide guidance to Headquarters program managers and field elements

regarding foreign national access to potentially sensitive subjects,

technologies, and information in unclassified program activities.

(6) Ensure a systematic and effective process to provide managers, planners,

and hosts with appropriate guidance regarding technologies and

information that could lead into sensitive or export controlled areas, and

to ensure that sensitive or export controlled technologies and information

are properly identified.

(7) Direct contracting officers in their organizations to incorporate the CRD

to this Order into all contracts that may involve foreign national access.

(8) Determine if proposed Headquarters foreign national access requests

require an exemption based on the current S&T Risk Matrix and request

such exemptions as appropriate.

h. Heads of Field Elements.

(1) Review procurement requests for new non-site/non-facility management

contracts and, if appropriate, ensure that the requirements of the CRD of

this Order are included in the contracts.

(2) Serve as approval authorities for foreign national access requests to the

DOE field element, and reassign approval authority to other U.S. citizen

employees, as appropriate.

(3) Serve as the approval authority for foreign national access to sites under

their cognizance, and delegate, where appropriate, such approval

authority to site management officials and laboratory directors under

their cognizance.

12 DOE O 142.3B

1-15-2021

(4) Designate POCs for foreign national access and provide contact

information to the Office of Environment, Health, Safety and Security.

(5) Incorporate all CSO guidance into local management processes for

approving foreign national access to field element sites, information, and

organizations.

(6) In coordination with the hosting site, determine if proposed foreign

national access requests require an exemption based on the current S&T

Risk Matrix and, where appropriate, request such exemptions.

i. Heads of Hosting Sites.

(1) Consistent with the assignment of approval authority through the line

management chain, serve as approval authorities for foreign national

access activities and programs at their sites.

(2) Implement the foreign national access activities consistent with guidance

and direction from the appropriate DOE element with direct responsibility

for program performance.

(3) Designate POCs for foreign national access activities, and provide contact

information to the Office of Environment, Health, Safety and Security.

(4) Ensure that guidance is issued and followed, corrective actions are

implemented as appropriate, and responsibilities associated with the

presence of foreign nationals are met.

(5) Ensure systematic, effective processes to provide managers, planners, and

hosts with appropriate guidance regarding technologies and information

that could lead into sensitive or export controlled areas, and to ensure that

sensitive or export controlled technologies and information are identified.

j. Hosts for Foreign National Access. DOE Federal representatives are responsible

for the activities associated with the successful accomplishment of foreign

national access. For a foreign national to host another foreign national, the host

must first be a DOE employee. Nationals of SSTs may not host other foreign

nationals. The host must be identified to the foreign national as his/her POC, and

has the following responsibilities:

(1) Ensure compliance with all requirements for access approval and conduct,

including complete and accurate information for FACTS documentation,

compliance with SSP and sponsorship requirements, and notification to

workers regarding these requirements as appropriate.

(2) Serve as the individual responsible for the conduct and activities of the

foreign nationals for which he/she is identified as host.

DOE O 142.3B 13

1-15-2021

(3) Report suspicious activities in accordance with reporting requirements.

(4) Provide the following information to the foreign nationals for whom they

have been identified as hosts:

(a) The terms and conditions of access approval, including restrictions

and requirements to notify the host of changes in name,

immigrant/nonimmigrant status, and other information as required.

(b) The requirement to notify the responsible host of any civil or

criminal issues that could affect their status in association with

DOE.

or providing fraudulent documentation will result in suspension of

access approval, removal from the site, and possible cancellation

of future access.

k. Escorts.

Ensure that foreign nationals working or traveling within a site are

escorted when required, as identified by the SSP, to ensure that there is no

unauthorized access.

Comply with all requirements for escorts as identified in the SSP.

l. Associate Under Secretary for Environment, Health, Safety and Security.

Develops the policy baseline and incorporates operational requirements

into DOE-wide guidance for foreign national access activities.

Establishes and chairs foreign national access working groups as required.

Ensures that HQ program, staff, and Secretarial Office policy

requirements for foreign national access approvals are incorporated into

the foreign national access policy.

Defines, develops, and manages FACTS capabilities to provide

operational and analytical support and accountability.

Develops and implements user training for FACTS.

Provides policy and technical assistance and support to Headquarters and

field elements.

Develops and coordinates testimony, internal and external reporting, and

responses to requests for information regarding the DOE foreign national

access activities.

14 DOE O 142.3B

1-15-2021

Develops security policy for the foreign national access approval process

consistent with U.S. and DOE national security policies and objectives.

Provides information on the requirements of foreign national access policy

for inclusion in the Security Survey Program.

m. Director, Office of Intelligence and Counterintelligence.

Supports the unclassified foreign national access approval process by

analyzing and coordinating issues of field intelligence with other Federal

agencies, and provides general and specific advice on potential risks

associated with foreign national access requests to DOE elements.

Coordinates with the Office of Defense Nuclear Nonproliferation on the

maintenance of the sensitive country list related to nonproliferation and

technology transfer.

As appropriate, consults with the Heads of Field Elements and other

cognizant Departmental Elements on the review of an exemption request

for foreign national access.

n. Deputy Director, Office of Counterintelligence, Office of Intelligence and

Counterintelligence.

Identifies counterintelligence requirements applicable to the management

of unclassified access approval for foreign nationals to DOE sites,

information or technologies.

Provides advice to Headquarters approval authorities and supports field

counterintelligence officers with guidance on foreign national access

issues.

Ensures that local capability and expertise are available to provide

effective counterintelligence advice to local approval authorities regarding

access approval requests.

Coordinates the external indices checks process with the appropriate U.S.

Government agencies.

Documents and maintains DOE-wide information on requests for and

completion of indices checks.

Develops requirements and processes for specialized enhanced vetting for

the review of certain foreign national access requests based on the current

S&T Risk Matrix.

DOE O 142.3B 15

1-15-2021

Advises the Secretary, Deputy Secretary, and Under Secretaries regarding

access requests involving nationals of countries identified as SSTs, as

requested.

o. Headquarters and Field Counterintelligence Officers.

Review requests for foreign national access approval for CI and

counterterrorism implications.

At the request of the hosting site, provide CI consultations to the approval

authority, or to his or her assignee(s), to evaluate foreign national access in

the absence of completed indices checks required prior to access, and

document consultations in FACTS.

Conduct briefings and debriefings of hosts, sponsors, and escorts of

foreign nationals.

p. Deputy Administrator, Defense Nuclear Nonproliferation.

Analyzes and develops policy guidance for the foreign national access

approval process in the areas of export control, technology transfer, and

nonproliferation.

Provides advice and guidance to DOE elements on export controls,

technology transfer, and nonproliferation issues related to potential and

actual foreign national access approvals.

Performs specific subject matter export control, technology transfer, and

nonproliferation reviews of foreign national access requests, as requested,

and ensures that these reviews are documented in FACTS.

q. Assistant Secretary for Policy and International Affairs. As the DOE point of

contact with the Department of State in international organizations, provides

advice and information to the Office of Health, Safety and Security concerning

the policies and procedures promulgated in this Order.

r. General Counsel. Provides review and advice on all legal issues relating to

approval of unclassified foreign national access to DOE facilities and information.

s. NNSA Office of General Counsel. Provides review and advice on all legal issues

relating to approval of unclassified foreign national access to NNSA facilities and

information.

t. Chief Information Officer (CIO). Drafts policy for issuance by the Secretary of

Energy or Deputy Secretary regarding protective measures required for foreign

national cyber security access approval, whether onsite or by remote access.

16 DOE O 142.3B

1-15-2021

u. Deputy Administrator for Naval Reactors. In accordance with the responsibilities

and authorities assigned by Executive Order 12344, codified at Title 50 United

States Code (U.S.C.) sections 2406 and 2511, and to ensure consistency through

the joint Navy/DOE organization of the Naval Nuclear Propulsion Program,

implements and oversees requirements and practices pertaining to this Directive

for activities under the Deputy Administrator’s cognizance, as deemed

appropriate.

v. Contracting Officers.

After notification by the appropriate program official, incorporate the

CRD of this Order into affected existing contracts via the laws,

regulations, and DOE Directives clauses of the contracts.

Assist originators of procurement requests who want to incorporate the

CRD of this Directive in new non-site/non-facility management contracts,

as appropriate.

Provide notification of DOE’s determination related to exemption requests

associated with the S&T Risk Matrix.

6. INVOKED STANDARDS. This Order does not invoke any DOE technical standards or

industry standards as required methods. Note: DOE O 251.1D, Appendix J provides a

definition for “invoked technical standard.”

7. REFERENCES. Find DOE directives online at www.directives.doe.gov.

a. Title 10, Code of Federal Regulations, Nuclear Regulatory Commission, Export

and Import of Nuclear Equipment and Material, Part 110.

b. Title 10, Code of Federal Regulations, Energy, Chapter III, Assistance to Foreign

Energy Activities, Part 810.

c. Title 15, Code of Federal Regulations, Commerce and Foreign Trade, Export

Administration Regulations, Parts 730-744.

d. Title 22, Code of Federal Regulations, Chapter I, Department of State,

International Traffic in Arms Regulations, Parts 120-130.

e. Presidential Decision Directive 61, Energy Department Counterintelligence (U),

dated February, 1999. This document is classified (Confidential). For distribution,

contact Jennifer Emanuelson, 301-903-3071, [email protected].

f. Homeland Security Presidential Directive-2, Combating Terrorism Through

Immigration Policies, dated October 29, 2001.

g. National Security Decision Directive 189, National Policy on the Transfer of

Scientific, Technical and Engineering Information, dated 9-21-85.

DOE O 142.3B 17

1-15-2021

h. National Security Presidential Memorandum on Securing United States

Government-Supported Research and Development, dated January 14, 2021.

i. DOE P 485.1, Foreign Engagements with DOE National Laboratories, current

version.

j. DOE O 142.2, Voluntary Offer Safeguards Agreement and Additional Protocol

with the International Atomic Energy Agency, current version.

k. DOE O 251.1, Departmental Directives Program, current version.

l. DOE O 470.4, Safeguards and Security Program, current version.

m. DOE O 470.6, Technical Security Program, current version.

n. DOE O 473.3, Protection Program Operations, current version.

o. DOE O 475.1, Counterintelligence Program, current version.

8. DEFINITIONS. Terms used for the purpose of this Order are defined in Attachment 2.

9. CONTACT. Questions concerning this Order should be addressed to the Office of

Environment, Health, Safety and Security at 301-903-5108.

BY ORDER OF THE SECRETARY OF ENERGY:

MARK W. MENEZES

Deputy Secretary

DOE O 142.3B Attachment 1 – CRD, Contractors Only

1-15-2021 Page 1-1

ATTACHMENT 1

CONTRACTOR REQUIREMENTS DOCUMENT

DOE O 142.3B, UNCLASSIFIED FOREIGN NATIONAL ACCESS PROGRAM

This Contractor Requirements Document (CRD) and Attachment 2 (Definitions) establish

requirements and provide information for Department of Energy (DOE) and National Nuclear

Security Administration (NNSA) contractors, whose contracts involve foreign national access to

DOE/NNSA- owned or leased sites, information, or technologies.

Regardless of the performer of the work, the contractor is responsible for complying with the

requirements of this CRD. The contractor is responsible for flowing down the requirements of

this CRD to subcontractors at any tier to the extent necessary to ensure the contractor’s

compliance with the requirements.

1. PURPOSE. The DOE/NNSA unclassified mission focuses on the critical challenges of

our time, for both the country and the world. Much of this work is performed in

collaboration with the international community. At the same time, the federal government

has a responsibility to protect its assets and ensure that unauthorized access to sites,

information, or technologies is denied. With this in mind, this program defines the

requirements for unclassified foreign national access to DOE/NNSA sites, information, or

technologies by establishing requirements for the following:

a. A risk-based review and approval process for foreign national access consistent

with United States (U.S.) law; national and economic security; and DOE

program-specific policies, requirements, and objectives.

b. A process for documenting and tracking access by foreign nationals to DOE sites

or involving access to DOE information, or technologies.

2. EXEMPTIONS.

a. Unclassified events and activities outside the U.S. or its territories.

b. Dual citizens, only if one citizenship is U.S.

c. Requests for access to information that is already in the public domain in

accordance with applicable procedures. [NOTE: Physical access to a site will

follow normal site security procedures, including the applicable requirements of

this Order.]

d. Requests for access to information (e.g., technical specifications, project data,

research results) by foreign nationals from countries that are formally part of a

specific DOE program-sponsored international collaboration project under a DOE

or U.S. Government-level bilateral or multilateral international agreement (e.g.,

Deep Underground Neutrino Experiment at Long-Baseline Neutrino Facility ,

Proton Improvement Plan-II, Vera Rubin (Large Synoptic Survey Telescope)

Dark Energy Search Collaboration). This applies only to information generated

under these projects and agreed to be shared among the participants. [NOTE:

Attachment 1 – CRD, Contractors Only DOE O 142.3B

Page 1-2 1-15-2021

Physical access to a site will follow normal site security procedures, including the

applicable requirements of this Order.]

e. Public events held on or off DOE sites.

f. Certain activities within General Access Areas (GAA):

Personal visits.

Third-party events (i.e., not related to the DOE mission) hosted at the site.

Access by foreign national delivery, service, and vendor personnel (Note:

Also exempt in other areas outside of GAA if fully escorted and compliant

with other relevant security requirements.).

Foreign nationals performing construction activities.

g. Foreign national emergency response and medical personnel who require access

for emergencies.

h. Access by foreign nationals 17 years of age or younger who are involved in non-

work-related activities.

i. International Atomic Energy Agency (IAEA) inspections, as defined in the

“Agreement between the United States and the IAEA for the Application of

Safeguards in the United States.”

3. REQUIREMENTS. Foreign national access requests to DOE sites, information, or

technologies will be reviewed based on all the information provided and any potential

impacts on site or program operations. A determination of access approval is required

before each access request is granted and must ensure that any identified risk to the

Government associated with the access granted has been appropriately evaluated and

mitigated, including a review against the Science and Technology (S&T) Risk Matrix

(see paragraph 3.g.). All access approvals must be made by U.S. citizens, are valid for the

duration of access request, and must be documented in the Foreign Access Central