Procedure M12-3002 - Procedure for Securing an Agency Letter of Support from DOE Leadership

Procedure M12-3002: Procedure for Securing an Agency Letter of Support from DOE Leadership

PART – KB0015539

1.  Parent Policy and Related Policies/Procedures

Fermilab Policy on International Engagement

M12-3000 International Agreements Procedure Series[1]

2.  Purpose

An Agency Letter of Support (ALOS) is defined as any formal communication to representatives of another country’s government, including but not limited to a funding agency or ministry office in another country’s government.  An ALOS can be an important document for Fermi National Accelerator Laboratory’s (Fermilab) international partners who support the lab’s major projects such as LBNF/DUNE, PIP-II, and other science or technology programs or projects.  An ALOS communicates that the U.S. Department of Energy (DOE) recognizes the importance of the international partnership, values the partner’s potential contributions, and appreciates the partner’s support for Fermilab’s projects and science programs.  An ALOS can only be signed by a senior executive at DOE.  All requests for an ALOS must be coordinated through Fermilab’s Office of International Engagements (OIE) and approved for submission to DOE by the Laboratory Director.  This procedure describes the steps for requesting and securing a signed ALOS.

It is to be understood that an ALOS, or any effort described therein, does not create any legally binding obligations between Fermilab and the international partner entity. Each entity’s participation in an effort contemplated in the ALOS is subject to the availability of appropriated funds, personnel, and other resources. Should a legally binding arrangement be warranted between FermiForward or Fermilab, on one hand, and the international partner entity, on the other hand, Fermilab OIE should discuss such an arrangement with the relevant DOE program office prior to proceeding.

3.  Applicability

This procedure applies to Fermi Forward Discovery Group, LLC (FermiForward) employees, users, and affiliates.

4.  Effective Date and Date Reviewed/Updated

This procedure went into effect on June 18, 2025.

5.  Procedure – list procedure steps and guidelines

a.      If a FermiForward employee, user, or affiliate receives a request from an international partner for a letter that would be addressed to a funding agency or ministry, the FermiForward employee, users, or affiliates must immediately forward the request via email to the Associate Lab Director (ALD) or Project Director (PD) who is responsible for the relevant experiment, collaboration, or project affiliation for consideration.

b.      If the ALD or PD concurs that requesting an ALOS is appropriate, the ALD or PD must forward the request with any supporting documentation to the OIE Director with copies to the Chief Research Officer (CRO) and the Laboratory Director.

c.      The OIE Director coordinates with the ALD or PD and designated representatives to draft the ALOS.  The ALD or PD may use the ALOS template provided by OIE or prepare a few key points to be included in an ALOS that will be drafted by DOE. Given the non-binding letter of the ALOS, any draft should not include financial amounts or obligations nor the use of binding language.”

d.      The OIE conducts an editorial review, prepares the final draft of the ALOS or key points, and shares the final draft with the Laboratory Director for review and approval before sharing it with DOE.  The Laboratory Director may discuss the request the DOE Associate Director of Science for High Energy Physics and/or the Deputy Director for Science Programs in the Office of Science before granting approval.

e.      Once a provisional approval by DOE to the approval from the Laboratory Director is received for the relevant ALOS request, the OIE Director discusses the ALOS at the weekly FNAL-DOE international call with the Office of High Energy Physics (HEP), Fermi Site Office (FSO), and the Office of Science International Activities, Research and Security, and Interagency Coordination (SC-IRIC). (SC-IA). Discussions typically include the scope of the letter, the timeline including the urgency of the ALOS, and guidance on the appropriate signatory for the ALOS.

f.    The OIE Director formally shares either a draft ALOS or key points from the letter with DOE, including DOE’s Program Manager for HEP International Cooperation, and the HEP International Agreement Coordinator, with copies to the FSO Manager, Laboratory Director, and the responsible ALD or PD.

 i.   Since DOE leadership signs the ALOS, the HEP International Cooperation Program Manager takes the lead in finalizing the letter and initiating necessary agency approvals and signature process at DOE. It is understood by the Laboratory that the associated agency approvals can take a few weeks prior to any DOE signature.

ii.   The OIE Director serves as a resource to provide or obtain additional information from other Fermilab personnel that may be requested by DOE.

g.   DOE sends a signed copy of the ALOS to the international partner at the funding agency or the ministerial level.

i.   OIE Director requests DOE to share a copy of the signed letter for its archive.

ii. OIE shares the signed copy of the ALOS with the Laboratory Director, Office of Partnerships and Technology Transfer (OPTT), and the ALD or PD for situational awareness.  The letter should not be shared with other entities or stakeholders without written approval from DOE.

ii. OIE retains a copy of the signed ALOS in the OIE document repository.

6.  Definitions

Fermi Forward Discovery Group, LLC (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 – 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 U.S. citizen or national.

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

7.  Owner and Subject Matter Experts

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

8.  Review Cycle

This procedure shall be reviewed 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 DOE HEP, and online in the Fermilab policy database.

10.  References

Policy on Policies

Policy on Memoranda of Understanding

Policy on International Engagements

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

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

Revision History