Guidance Document - Foreign National Process for the Department of Energy (DOE)

Background:

Department of Energy made a change to DOE Order 142.3a in December of 2019.
https://www.directives.doe.gov/directives-documents/100-series/0142.3-BOrder-A-chg2-ltdchg

The Order has always been applicable to DOE contractors when the contract may involve foreign national access to DOE sites, information, technologies and equipment, it now requires prior approval by DOE before a foreign national can participate in a DOE funded project. (Note: it refers to foreign national and not foreign person, which means prior approval is needed for permanent residents as well as those on non-immigrant visas).

In December of 2019, DOE removed a waiver that applied to university research, which means the Order is now fully applicable to any project we receive.

New Awards

• SPS Contracting will review the Terms & Conditions for new Department of Energy (DOE) awards.
  • For awards with other terms that would require an Export Controls Office (ECO) review ¹, that ECO should happen first. If the project requires a Technology Control Plan (TCP), ECO will manage the FN approval process as a part of the TCP development.
    • The Funding Administrator will flag the foreign national restriction on the regulatory tab in SAP when setting up the new DOE award with no further action.
    • The Special Review tab in the Institute Proposal (IP) record will be updated to include Foreign National Restriction.
• If awards do not require an ECO review, or for those that ECO determined a TCP was not required, SPS Contracting will review per standard process and route to Post Award.
  • The Funding Administrator will flag the foreign national restriction on the regulatory tab in SAP and email the PI to confirm all foreign nationals working on the project, including subs (if applicable), have been provided to the sponsor’s contract specialist (include the DOE 142-1-1-A Process Instructions and blank CV timeline).
  • The Funding Administrator will file the PI’s confirmation in Perceptive Content.
  • The Special Review tab in the Institute Proposal (IP) record will be updated to include Foreign National Restriction.
• The Funding Administrator will review the monthly foreign national payroll expense report and email the PI to confirm any/all listed foreign national(s) have been approved prior to beginning work and file the PI’s confirmation in Perceptive Content.
• PI confirmation must be received so a follow up will be completed weekly until confirmation is received. Upon receipt it will be filed in Perceptive Content.
• The Funding Administrator will send the new award email after the foreign national review has been addressed.

Amendments

• If EC is managing a TCP, the Funding Administrator will flag the foreign national restriction on the regulatory tab in SAP and on the Special Review tab of the IP record for the amendment if applicable with no further action.
• If fundamental research, the Funding Administrator will
  • Flag the foreign national restriction on the regulatory tab in SAP and on the Special Review tab of the IP record
  • Email the PI to confirm all foreign nationals working on the project, including subs (if applicable), have been provided to the sponsor’s contract specialist (include the DOE 142-1-1-A Process Instructions and blank CV timeline).
  • The Funding Administrator will file the PI’s confirmation in Perceptive Content.
• The Funding Administrator will review the monthly foreign national payroll expense report and email the PI to confirm any/all listed foreign national(s) have been approved prior to beginning work and file the PI’s confirmation in Perceptive Content.
• PI confirmation must be received so a follow up will be completed weekly until confirmation is received. Upon receipt it will be filed in Perceptive Content.
• The Funding Administrator will release additional funds or time, if applicable to the modification, once the foreign national review had been addressed.

Email to PI:

DOE will send an email requesting the list of foreign nationals working on your award including subs. Please DO NOT email any of the requested documents. You will be the point of contact (POC) for this award to ensure each foreign national’s required documents are uploaded in a secured link in a secure manner.
If any foreign national working on the award has an F-1 or J-1 student visa type, the foreign national will also provide:

• a letter from the Responsible Officer or Designated School Official stating the student is enrolled full-time (12 hrs per week minimum) prior to access start date

And

• a copy (pages 1 and 2) of the USCIS Form I-20 A-B/ID (Certificate of Eligibility for Nonimmigrant (F-1) Student Status - for Academic and Language Students) or Form DS-2019 (Certificate of Eligibility for Exchange Visitor (J-1) Status).

NETL has indicated that foreign national(s) will not be permitted to work on the project until they receive approval from the NETL foreign national processing center. Going forward, any new foreign nationals working on this award will have to undergo this screening process before they can begin work.