Hosting and EscortingForeign Nationals

TQ-SEC-FN

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FVA Program

Driven by DOE Order 142.3, Unclassified Foreign Visits and Assignments Program

Part of the BNL/BSA Contract Audit’s by DOE, Inspector General and Congress Responsibility resides with the Lab Director

– Presidential Decision Directive – 61– Secretary of Energy’s CI Implementation Plan

Host training is mandatory for individuals hosting foreign visits or assignments

Definitions

ASSIGNMENT - Foreign national access for more than 30 consecutive days, but less than 2 full, consecutive years. Approval for assignments will be suspended any time a foreign national cannot prove they are legally in the U.S.

DUAL CITIZENSHIP - Recognition as a citizen by more than one country.

EXPORT CONTROLLED INFORMATION - Certain unclassified Government information for which DOE is accountable and responsible, and which requires a license or authorization to export and must be protected consistent with U.S. laws and regulations. Unrestricted dissemination of this information could reasonably be expected to adversely affect the U.S. national security and non-proliferation objectives.

FOREIGN NATIONAL - An alien. For the purposes of DOE Order 142.3, an alien is a person who was born outside the jurisdiction of the United States, is a citizen of a foreign government, and has not been naturalized under U.S. law. (Does not include U.S. citizens.)

Definitions

HOST - An employee of DOE or a DOE contractor who is responsible for the day-to-day activities associated with the successful accomplishment of the visit or asignment. A sensitive country foreign national cannot host another foreign national.

SECURITY AREA - A facility/area containing classified matter or identified as a security facility/area.

SECURITY PLANS - The generic security plan of procedures for foreign visits and assignments at BNL is SPI 5-09, “Foreign Visits and Assignments Program.” Specific Security Plans are required for any visits or assignments involving sensitive country foreign nationals, security area or having access to sensitive unclassified information.

SENSITIVE COUNTRY NATIONAL - An individual who was born in, is a citizen of, or employed by a government, employer, institution or organization of a sensitive country (includes the State sponsors of terrorism).

SENSITIVE INFORMATION - Information categorized as Business Sensitive, Proprietary, Protected, or Export Controlled Information.

Sensitive Country ListAlgeriaArmeniaAzerbaijanBelarusChina (PRC)Cuba*GeorgiaIndiaIran *IraqIsraelKazakhstan

* Dept. of State identified sponsorsof terrorism - requires Secretary of Energy Management Panel approval.

Korea (North) *

Kyrgyzstan

Libya *

Moldova

Pakistan

Russia

Sudan*

Syria *

Taiwan

Tajikistan

Turkmenistan

Ukraine

Uzbekistan

Required Information

Name of foreign national Country of residence Country of birth Gender VISA type/expiration Employer/home institution Date of birth

Accompanying family member(s)

Start-end dates of visit Facilities/areas to be visited Purpose of visit Justification of visit Length of visit Passport number and

expiration

The Host needs to obtain the following information to place a visit request:

Guest Information System Registration is Required

FORM BNL-473 (See SPI 5-09 for Guidance)

Used for all Foreign National visits and assignments, and all foreign national current and prospective employees.

Requests are completed via the GIS. They must be reviewed by the host and department, and submitted to the FVA Office at least 30 days in advance (90 days for State Sponsors of Terrorism).

Submit a specific security plan, as required by SPI 5-09 (GIS Auto-Generates).

After coordination and approval, the host, department, and requestor will be notified by the FVA Office via the GIS.

Specific Security Plan Used with requests involving

visitors born in, from, or affiliated with sensitive countries.

Used for visitors going to “Security” areas.

Used when accessing or discussing sensitive unclassified subject matter.

See details contained in SPI 5-09.

Contact the FVA Office for assistance (State Sponsors of Terrorism).

SPECIFICSPECIFIC

SECURITYSECURITY

PLANPLAN

Host Responsibilities

Reviews the request for the visit/assignment and Specific Security Plan, if applicable.• If a foreign national is attending an approved, open-to-the-

public event, but staying on-site, then the FVA procedures apply.

Ensures FVA processing procedures and approvals are completed for the visit/assignment prior to arrival.• Foreign nationals may not access the site without prior

approval and must check-in at the appropriate administrative office to provide passport, visa, or other INS documentation.

Responsible for the day-to-day activities for the visitor or assignee. Maintains control of the visitor/assignee and ensures that limitations on access/information are observed so that there are no negative effects on national security or the U.S. economy due to the DOE information disclosed.

Host Responsibilities

Ensure access to DOE cyber systems complies with the requirements of BNL Cyber Security procedures as indicated in the Standards Based Management System (SBMS).

Obtains document/information release approval prior to the visit.

Notify the Department/Division Administrator on the status, i.e., cancelled, completion or renewal, of the visit or assignment.

Ensure the visitor understands their responsibilities and any limitations on the visit/assignment.

Host Responsibilities

Identify and protect areas of work that are classified or sensitive.

Inform the visitor/assignee to properly display the identification badge at all times while on-site.

Maintain information on the visitor/assignee's local residence, phone number, and person to be notified in the event of an emergency.

Upon completion of the visit or assignment, comply with your internal procedures and ensure the BNL ID badge is returned to the BNL Badging Office.

Notify the guest of the requirement to report any civil or criminal problems that could affect their status or association with DOE.

Hosts Need To:

Be familiar with the rules outlined in BNL SPI 5-09, “Visits and Assignments of Foreign Nationals.”

Process requests for “Open-to-the-Public” events in accordance with SPI 5-09.• Provide agenda and detailed description of the event.

Obtain approval for any presentation information.

Obtain approval for handout materials not publicly released.

Notify facility managers of the intended visit.

Inform escort of any special concerns or limitations, if not performing the escort themselves.

Don’t be Afraid to Say:

“No, you may not go there.”

“No, this information has not been approved for release.”

“That is beyond the scope of my presentation or knowledge.”

“Please give me your questions in writing.” (Allowing for a security review.)

Escorting Foreign Visitors

Escorts must be familiar with escorting responsibilities.

Escorts must control access to facilities and information.

Be familiar with the generic (SPI 5-09) or approved Specific Security Plan, as applicable.

Comply with Specific Security Plan responsibilities, as applicable.

Receive and return visitor to host upon completion of facility visit.

Hosts must make arrangements with facility manager for escorts.

BNL CI and FVA Contacts

BNL Foreign Visits & Assignments Administrator

631-344-7105

BNL Sr. Counterintelligence Officer

631-344-2234

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Industrial Espionage

Estimated 200 computer break-ins per day in DOD and Contractor systems.

One U.S. ally is known to delegate 80% of its intelligence assets against U.S. programs. From 1987 to 1989, another U.S. ally planted agents to work in the offices of IBM, Texas Instruments, and others.

The American Society for Industrial Security reported, in February 1996, that its surveys show American businesses lose an estimated $2 billion every month through industrial espionage.

United States Government and business leaders agree that friendly espionage efforts are compromising U.S. competitiveness regarding industry. An increase in government sponsored technology exchanges have increased the likelihood of foreign national access to controlled information.

Think OPSEC Operations Security (OPSEC) -

The identification & protection of classified and unclassified sensitive information from inadvertent release.

Intelligence data is needed to target information.

Unintentionally we are often the source of this data.

We can limit access by controlling the visitor.

Assumptions

Certain DOE Research & Development, Production and Testing Programs, Personnel, and Facilities are likely to be targets for intelligence activity.

Visitor may/will take anything extra we provide, for example: handouts, charts, etc.

Visitor could be a third party operative (information obtained and given at the request of a third party).

Visitor may be debriefed on return to his/her home country.• Some are required to write detailed reports listing

technology information and/or potential insiders that may be exploited.

Over familiarity by visitor. Constant questions about your professional or personal life. Specific questions beyond approved scope of visit. Technical or scientific questions that seem out-of-line. Unusual requests to meet “socially.” Questions relating to security requirements.

Possible Attempts to Obtain Sensitive Information

If Someone Wants Sensitive Information, there are Options Available

Overt

Technical reports

Speeches/articles

Freedom of Information Act

Personal contacts

Procurement

Covert

Phones/radio

Computers

Trash

Visual surveillance

Hiring interviews

Personal contact, disgruntled employee

Positive Things that You Can Do

Report below immediately to the BNL Counterintelligence Office, ext. 2493:

– Threats or intimidation– Enticements or attempts for coercion– Actions that are not part of the pre-approved visit

plan– Attempts to use hidden photographic or audio

equipment– Attempts to gather physical samples– Questionable visitor activities

You Should Report:

Requests for information or discussions not pre-approved. Requests for information not within the visitor’s area of

expertise. Invitations to become involved in personal scientific

collaborations. Unexpected or unplanned invitations to travel (personal or

business). Significant interest in other technologies, information, and/or

employees. Requests to remain in the U.S. after the visit date(s).

You Should Report:

Visitors who stay apart from other guests. Disagreements among visitors. Requests to socialize beyond the planned parameters. Undue interest in your ethnic background. Questions you are uncomfortable with. Contact by a team member apart from the official visit. Close and continuing contacts to the local CI official. (See SPI

5-14 for details.)

Remember....

DOE documents officially released to the public may be

provided to the visitor. Document requests not approved

for release must be processed through the standard

information release process.

FOIA Public

You are the First Line of Defense

Cooperation, common sense,and your awareness make the

Foreign National Visits and Assignments and Counterintelligence Programs effective.