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Administrative Manual - 600 Outreach Programs

604 Memorandum of Agreement / Memorandum of Understanding (MOA/MOU)

  1. POLICY
    1. Definition
      1. An MOU is a written agreement broadly stating basic understandings and the associated responsibilities for coordinating collaborative activities to be engaged in by Jefferson Lab investigator(s) and other institutions.  It establishes policy and procedures for any Memorandum of Understanding between DOE National Laboratories and any entity whether governmental, private or foreign.
      2. Such agreements are not intended to be binding contracts and should not be used to embody enforceable agreements; nor are they used to obligate or commit funds or as the basis for the transfer of funds from one party to another.  These agreements are not appropriate for contractual instruments such as Work for Others (WFO) contracts or Cooperative Research and Development Agreements (CRADA).  If within the collaborative agreement, the transfer of funds or property is anticipated, the agreement will note that a separate contractual or other reimbursable instrument must be developed between Jefferson Lab and the participating organization.
      3. Before an agreement is fully executed, Jefferson Lab reserves the right to revise the draft document as needed.
      4. Such agreements must meet all Department of Energy regulations, policies and procedures for a MOU between the Lab and a foreign entity, whether government or private.
    2. Components
      1. The MOU must begin with an introductory statement that incorporates background, purpose, and a policy statement which defines support for specified elements of the Lab’s mission and as it relates to foreign entities, aligns with the strategic interest and polices of the United States.
      2. The MOU must also include management and program guidelines that encompass the collaborative efforts and/or responsibilities of the parties, planned funding, and reporting on research/ collaboration results.
      3. The MOU may include an administrative component that incorporates (as necessary) intellectual property rights (patents and technical data), publication rights, equipment ownership, export control requirements, term and termination, amendment and modification clause, and the effective date of the agreement. Unless otherwise required by a treaty or international agreement, rights in intellectual property shall be in accordance with the Jefferson Lab Prime Contract.
  2. PROCEDURE
    1. APPROVAL PROCESS
      1. The principal investigator must obtain preliminary verbal approval from the cognizant Associate Director, Chief Scientist, CFO, CIO, or CTO (or CXO) prior to developing a draft agreement.
      2. After developing a preliminary draft agreement, the Jefferson Lab principal investigator shall coordinate an internal Lab review of the draft agreement utilizing the MOU Coordination and Review Sheet. The Lab reviewers will determine if the agreement is legally sound and properly ensures there is no commitment of funds under the MOU, loan of equipment, whether intellectual property rights conform to contractual requirements, avoids conflicts of interest and ensures due diligence is performed to address counterintelligence considerations and will provide comments as necessary.
      3. Coordination and Review will include approval by the Chief Technology Officer, Chief Financial Officer, Security/Export Control Officer, ESH&Q Manager, Legal Counsel, Procurement Manager, and the respective Associate Director and if participation includes a foreign entity, DOE review by the Senior Counterintelligence Officer for the Lab, DOE Site Office Counsel and the SC Advisor for International Programs before execution.
      4. After review and coordination within the Lab, the principal investigator shall coordinate the preliminary draft agreement with the other institution(s). Any changes to the Lab approved draft, by the other institution(s), will be reviewed by JLab Legal Counsel. Once the terms and conditions have been agreed upon by all parties, the principal investigator shall forward the agreement to the appropriate Signature Authority for final review and approval.
      5. After obtaining a fully executed agreement from the Signature Authority, the principal investigator is responsible for distributing copies to the appropriate division office. The principal investigator is also responsible for ensuring that the fully executed original is provided to JLab Legal Counsel.
      6. JLab Legal Counsel shall maintain an official copy of all fully executed agreements and within 20 days of execution provide a pdf copy of MOU’s with foreign partner to the Office Director for International Cooperative Activities in the DOE Office of Policy and International Affairs at labagreements@hq.doe.gov and to the SC Advisor for International Programs.
    2. SIGNATORY AUTHORITY
      1. Associate Director, Chief Scientist, CFO, CIO, CTO (CXO) – signatory authority to execute MOUs provided the agreement involves a staff member within his/her division/department, does not involve a foreign partner, does not anticipate the transfer of export controlled equipment, does not involve a significant contribution by the Laboratory and does not designate the AD, CS or CXO as a team member in the collaboration. (A significant contribution is defined as a pecuniary and/or material commitment greater than $100,000.)
      2. Laboratory Director – Signatory authority required if MOU involves foreign partner, export controlled equipment, anticipates a significant pecuniary or material contribution of the Laboratory greater than $100,000, or if an AD, CS or CXO.

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MOU


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