Policies & Procedures


Section 1

Business and Financial Affairs

General Administration

Sec. 700-31: Procedures for International Academic MOUs and Agreements

Responsible Office: Office of Global Engagement
January 2019

References / Resources

Contact: Office of Global Engagement at (949) 824-9705 or global@uci.edu

A. Purpose and Scope

These Procedures specify how Sec. 700-30: Policy for International Academic MOUs and Agreements is implemented.

B. Definitions

Initiator The UCI employee (faculty and staff, including senior administrators such as deans and vice chancellors) representing UCI in a collaborative relationship with an International Entity.
International Agreement (IA) A formal, written, legally-binding contract approved by designated signatories that clearly defines roles and expectations for an exchange or collaboration between UCI and an International Entity, and which includes any of the following:
International Entity Any non-U.S. university, institution or government. This includes consolidated programs or initiatives organized by multiple institutions.
Memorandum of Understanding (MOU) A brief document, signed by representatives of UCI and the International Entity, which states the intention for future collaboration and development of joint academic activities. MOUs do not specify activities or commit resources.
Office of Global Engagement (OGE) The administrative office with responsibility for coordinating the execution of MOUs and IAs to protect and minimize the legal, financial, and operational risk and liability for UCI and its faculty, staff and students.
International Entity Representative(s) The individual(s) authorized by the International Entity to develop joint academic activities and negotiate MOUs and IAs on its behalf.
Reviewer Anyone asked to review a drafted MOU or IA for compliance with UCI policies and procedures and alignment with UCI's academic objectives.
University Assets and Resources The University's name and seals, campus names and seal and trademarks. The labor, materials, or assets (both monetary and non-monetary) under the control and management of the University including, but not limited to:
  • University funds
  • facilities, office space (whether owned, leased or rented)
  • research materials, tools or databases not used in the performance of research supported by extramural awards
  • library services
  • equipment
  • time or effort of University personnel.

C. Responsibilities and Authority

  1. Initiators:
    1. Are responsible, with guidance from OGE, for the drafting, negotiating, implementation, and administration of their respective MOU or IA.
    2. Must not begin or allow anyone else to begin any collaboration provided for in an MOU or IA (or any element of it) prior to the execution of the MOU or IA.
    3. Will oversee all projects, exchanges, and programs for the duration of an agreement.
  2. Reviewers of a drafted MOU or IA are expected to:
    1. Propose language that will protect The Regents with respect to the agreement and the participants in the activity described in the agreement.
    2. Consider the availability of resources needed to fulfill the agreement, including financial, personnel, space, equipment, etc., consistent with the department or unit’s mission.
    3. Recommend elements that should be included in the program sections of the agreement and provide advice on the requirements to implement the program.
  3. Office of Global Engagement (OGE)
    1. OGE assists Initiators with the agreement process by:
      • confirming the appropriateness of proposed collaborations and how to execute them contractually;
      • helping clarify the details of the proposed activities;
      • consulting with other campus offices when their input is required, such as Campus Counsel, Research, Export Control, Applied Innovation, Purchasing and Risk Services, etc.;
      • preparing a draft agreement for the Initiator’s review and review by the International Entity Representative(s);
      • managing the signature process after agreements have been finalized and approved by all interested parties; and
      • keeping signed agreements in a master file and database, consistent with the University’s record retention policies (see Section 721-10).
    2. OGE is not responsible for the administration or implementation of MOUs or IAs, nor is it responsible for allocating resources to support agreements.
  4. Approval Requirements for MOUs and IAs
    1. Provided that MOUs and IAs do not commit UCI beyond the signer’s respective unit, or involve expenditures in excess of $100,000 per annum, the following officials are authorized to sign for their respective units:
      • vice chancellor–research (for organized research units)
      • vice chancellor–health affairs
      • chief of staff–health affairs
      • vice provost–career pathways and continuing education
      • deans
      • university librarian
      • chief global affairs officer and assistant vice chancellor–global engagement
    2. The provost and executive vice chancellor is authorized to sign for UCI on an interdisciplinary multi-unit and campuswide basis.
    3. See IDA 612 for complete information regarding the delegation of authority for international academic MOUs and agreements.

D. Steps to an MOU or IA

  1. Prior to drafting an MOU or IA, the Initiator should:
    1. discuss the proposed collaboration with their department chair and dean to confirm their support; and
    2. contact OGE at global@uci.edu or (949) 824-9705 to schedule a time to discuss the proposed collaboration.
  2. OGE will:
    1. review the International Entity for satisfactory rank and status;
    2. confirm the appropriateness of the proposed collaboration;
    3. consult with other administrative offices on the Initiator’s behalf, as necessary;
    4. work with the Initiator to finalize the draft; and
    5. provide the Initiator with a final draft that the Initiator shares with the International Entity Representative(s) for review and comment.
  3. The Initiator informs OGE of changes requested by the International Entity Representative(s).
  4. OGE reviews the requested changes with other administrative offices as necessary.
  5. When the draft is agreeable to both parties, OGE facilitates the signature process. The International Entity keeps one signed original. OGE keeps the other signed original and provides the Initiator with a PDF for their records.

E. Terms of an MOU or IA

  1. MOU Template
    1. OGE has a two-page MOU template that:
      • states the parties’ intention to explore collaborating;
      • states that the parties will document in one or more subsequent IAs the parties’ expectations and obligations for any specific collaborations; and
      • includes terms that address use of name, modification, and termination.
  2. IA Template
    1. OGE has an IA template that is customizable to include the terms required by UCI for the particular type of collaboration.
    2. A description of the collaboration, including each parties’ responsibilities, is always included in the IA.
    3. Other required terms can include indemnification, non-discrimination, insurance, export control, confidentiality, intellectual property, publication, research protocol, use of name, controlling language, governing law, modification, termination, and others.
    4. Only those terms required for a particular collaboration will be included in the IA so that UCI is not asking the International Entity to review unnecessary legal terms.

F. Collaboration Proposed by an International Entity

Any faculty member or academic/administrative official who receives from an International Entity a proposed collaboration without having had any prior alliance to that International Entity, should forward the proposed collaboration to OGE (whether that proposed collaboration entails a commitment of University Assets and Resources or not) for consideration before any commitment is made to the International Entity.

Potential international collaborators should submit a brief proposal letter that can be shared with prospective UCI collaborators, such as deans, faculty and administrators. The letter should include:

  • academic or research areas of interest
  • if applicable, the names of faculty and units with whom they would like to collaborate
  • specific goals, objectives and activities of the collaboration
  • any additional information that will facilitate assessing UCI's interest in the proposed collaboration

Upon receipt of a proposal, and before developing either an MOU or an IA, OGE will contact appropriate deans, faculty and administrators to determine whether there is sufficient UCI interest in collaborating and to identify an appropriate Initiator.