Policy on International Engagement
1. Purpose
This policy outlines Fermi Research Alliance, LLC (FRA) implementation of Department of Energy (DOE) Policy 485.1, as well as expectations of the DOE Office of Science (SC-1, SC-2, and SC-3), DOE International Affairs, and the DOE General Counsel with respect to how the laboratory presents itself and interacts with government entities outside the United States. This policy is in alignment with the DOE Office of Science (DOE/SC) Science and Technology (S&T) Risk Matrix Guidance, dated December 13, 2019
2. Scope
This policy addresses all formal, pre-arranged interactions with leaders of foreign entities subject to several caveats and exclusions below. The fundamental principle is to have FRA representatives cognizant of their roles with respect to Fermilab, DOE, and the U.S. government.
3. Applicability
This policy applies to all FRA employees.
4. Effective Date and Date Reviewed/Updated
This policy went into effect on May 15, 2016, and its update was effective on May 10, 2022.
5. Policy
a. In any approved interaction with a foreign entity, FRA employees shall not represent the DOE or the U.S. government and shall not appear or imply that they do so.
b. Any formal engagement by FRA employees with a foreign entity must be cleared by the Fermilab Director, prior to formalizing the partnership with a foreign entity.
· Meetings with foreign-government entities such as embassies, particularly interactions with an ambassador of a foreign country, may only be executed by FRA employees at the direction of the Fermilab Director. FRA employees must have an international team member and a member from the DOE Office of High Energy Physics (DOE/HEP) or a member of DOE International Affairs present.
· In professional meetings where incidental interactions with foreign representatives naturally occur and topics of engagement informally arise, and prior to obtaining clearance from the Fermilab Director, FRA employees must clearly state that they do not formally represent FRA, DOE, or the U.S. government in this matter and do not have the authority to make or execute a formal engagement.
· After obtaining clearance from the Fermilab Director and under his or her direction, FRA employees l may execute a DOE-approved foreign engagement strategy.
· FRA must exercise good judgment and communicate clearly with the Fermilab Director in cases where Fermilab employees serve as spokespersons for international scientific collaborations with expectations to interact with foreign scientific communities and/or funding agencies.
c. Peer-to-peer discussions regarding the Fermilab science program are welcomed and are not restricted, subject to Item d below.
d. FRA employees may not contact foreign country scientific communities or entities for the purpose of recruiting participation in the Deep Underground Neutrino Experiment (DUNE) without both prior notification to and clearance from DUNE management. For purposes of providing notification and obtaining clearance, DUNE management includes the DUNE co-Spokesperson(s) and the DUNE Resource Coordinator. All scientific recruitment efforts for DUNE are handled by the DUNE co-Spokesperson(s), not the Fermilab international team.
e. DOE may initiate discussions with foreign governments of nations that lack neutrino physics communities.
f. On discussions related to the accelerator program, the Fermilab Director is the lead. DOE/HEP should be informed in advance.
g. All FRA expenses associated with international activities, including the student program, must be pre-approved by the FRA Chief Financial Officer and Chief of Staff.
h. If members of Fermilab hear any concerns from the DOE/HEP community, in the U.S. or abroad, about the development of international partnerships, these concerns must be brought to the attention of the Fermilab Director and DOE/HEP. Moreover, any concerns particularly from the Large Hadron Collider (LHC) community should also be brought to the attention of the Compact Muon Solenoid (CMS) National Contact Physicist for the DOE and the Fermilab Director.
· Key conversations with senior management at CERN must be shared with the Fermilab Director, who will communicate to DOE/HEP.
Note that CERN is a special case: as an intergovernmental organization, it exists outside of conventional political structures and does not have separate funding agency oversight except through the CERN Council. For purposes of international agreements, CERN is a government-like entity, and the CERN Director General is equivalent to the Secretary of Energy or the National Science Foundation Director. However, for scientific matters, the CERN Director General is more equivalent to the Fermilab Director, so (unlike other governments) FRA management can have regular direct contact with CERN management.
6. Definitions
Engagement is a collaborative discussion and/or partnership opportunities between DOE, DOE laboratories and foreign entities, using any of the following mechanisms: Implementing Agreements and Project Annexes are initiated by DOE and the Office of the Director provides input; Memoranda of Understanding (MOUs) and International Cooperative Research and Development agreements (ICRADAs) are initiated by the Office of the Director in coordination with DOE and the documents are prepared by the Fermilab Office of Partnerships and Technology Transfer (OPTT).
Fermilab is the physical site and property that is the Fermi National Accelerator Laboratory.
Fermi Research Alliance, LLC is the operator and manager of the Fermi National Accelerator
Laboratory under Department of Energy Prime Contract No. DE-AC02-07CH11359 and is the principal employer of employees working at Fermilab.
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. which is owned, controlled or influenced by a foreign government, agency, firm, or corporation; and (5) any person who is not a citizen or national of the U.S.
International Team Member is a member of a team comprised of representatives from the Fermilab Directorate, Chief of Staff, Chief Research Officer, Deputy Director for Research, Chief Strategic Partnership Officer, and Theory Division Head.
International Strategy Matrix is a living document, which must be kept up to date by the Chief of Staff with input from the Fermilab international team and represents a record of actions and intentions with regard to laboratory engagement with foreign entities especially for the Neutrino and Accelerator program initiatives. The Fermilab Director is responsible for the content of the document that is passed onto DOE. The matrix shall be shared with the DOE/HEP for concurrence and subsequent transmittal to the DOE/SC Office of International Affairs.
Memorandum of Understanding (MOU) is a general statement of intent which cannot contain specific financial commitments or deliverables. An MOU should only be used for informal, non-R&D, non-legally binding collaboration where a simple statement of intent for future collaboration is sufficient. See Fermilab Memorandum of Understanding Policy.
7. Responsibilities
The Chief of Staff in the Office of the Laboratory Director is responsible for this policy. The Chief of Staff is the Fermilab point-of-contact for routine communication and conversation on the international strategy matrix with DOE/SC and the DOE/SC International Programs Office. The Chief of Staff is responsible for defining the scope of all ICRADA agreements. All ICRADA agreements shall be reviewed and approved by the Head of OPTT, the Office of the General Counsel, and the DOE/FSO Contracting Officer before being transmitted to the partner. Once officially agreed by the international partner and formally vetted by DOE, the ICRADA may be signed by the Fermilab Director.
The Fermilab Office of the General Counsel shall review all international agreements for the requirements of and compliance with export and import control requirements for property and technology controlled.
The Fermilab Director’s approval is required for all international agreements prepared by Fermilab before submitted to DOE for approval. Fermilab OPTT coordinates packages for DOE approval. DOE approval is required for all international agreements before they can be signed. The Fermilab Director has the deciding authority on establishing an MOU. The Chief of Staff is responsible for defining the scope of the MOU and works with the Head of OPTT to process and prepare the document. DOE/HEP concurrence is needed for all international MOUs. Other parts of DOE headquarters may be engaged by the DOE/FSO. Non-legally binding documents (such as an MOU) must still be sent to the DOE/FSO Contracting Officer.
The Chief of Staff in consultation with the Deputy Director for Research coordinates all international student programs.
The Department of Energy directly manages all legal agreements between government. If determined by DOE, legal agreements related to partnerships with institutions, universities, funding agencies, and research organizations may fall under special agreements.
8. Authorities
DOE Policy 485.1, Foreign Engagements with DOE National Laboratories
DOE Memorandum for S&T Risk Matrix Guidance, dated December 13, 2019
FRA Policy on Export Control
FRA Science and Technology Risk Matrix Protection Policy
9. Owner
The Chief of Staff is the owner of this policy.
10. Review Cycle
This policy shall be reviewed every 3 years.
11. Communication Plan
The requirements of this policy shall be communicated by the Chief of Staff to all employees, and periodic training shall be provided to Management System Owners and Chiefs/Division Heads/Section Heads/Project Directors. This policy shall be available in the Fermilab policy database. The Chief of Staff is responsible for the communication of this policy.