Policy on Memoranda of Understanding

Policy on Memoranda of Understanding

PART – KB0013483

1. Purpose

The purpose of this policy is to provide guidance for proposing and securing approval of a Memorandum of Understanding (MOU) between Fermi Forward Discovery Group, LLC (FermiForward), as operator of Fermi National Accelerator Laboratory (Fermilab), and external entities. 

This policy is not a contract and is not intended to create any obligations on FermiForward. This Policy may be terminated or changed by FermiForward at any time, with or without notice.

2. Scope

The scope of this policy includes all proposed MOUs between Fermi Forward Discovery Group, LLC and other U.S. or foreign based institutions, except for MOUs that fall under the International Cooperation Agreement with the European Organization for Nuclear Research (CERN)[1].

3. Applicability

This policy applies to all FermiForward employees and other personnel who hold formal Joint Appointment at the laboratory.

4. Effective Date and Date Reviewed/Updated

This policy went into effect on May 1, 2012, and its update was effective on December 6, 2024.

5. Policy

a. All memoranda of understanding (MOUs) must comply with Fermilab’s Policy on Partnerships in addition to the requirements contained in this policy.

b. An MOU must be drafted as a general statement of intent which cannot contain specific financial commitments or research deliverables.

c. An MOU should only be used for informal, non-legally binding understandings where a simple statement of intent for future collaboration is sufficient.

d. Even when an MOU is permitted, a legally binding agreement is generally preferred.

e. An MOU is most appropriate in situations that involve:

i. A new research Partner who has not previously been engaged with Fermilab.

ii. A new research direction that has not previously been authorized by the Department of Energy.

iii. Multi-institutional understandings for new or evolving collaborations.

iv. An intent to establish new Joint Appointments with a foreign institution; or;

v. Documenting understandings with domestic entities, including other national laboratories, for mutual aid or operational support services.

f. The planned cooperative efforts may include, but are not limited to, the following:

i. Exchange of scientific and technical personnel, including students.

ii. Planning collaborative research opportunities, with any specific future research and development collaboration to be implemented through the appropriate legally binding agreements.

iii. Holding workshops, joint lectures, symposia, and meetings.

iv. Exchanging publicly available scientific and technical information.

v. Exchanging equipment, materials, or samples for evaluation purposes, subject to Policy on Export Control and Fermilab’s Property Management System.

g. All other activities, including long-term loans of equipment, require a Purchase Order (PO), a Cooperative Research and Development Agreement (CRADA), a Strategic Partnership Project (SPP) agreement, a Non-Proprietary User Agreement (NPUA), a Project Annex under a legally binding International Agreement, or any other legally binding agreement that may be authorized by the Department of Energy for use at the laboratory.

h. An MOU must comply with the Terms and Conditions of the FermiForward Management and Operating (M&O) contract. In addition, and MOU must comply with all Department of Energy policies and guidance related to engagement with a foreign entity, including Department of Energy Policy 485.1A “Foreign Engagements with DOE National Laboratories” and supplemental guidance issued by the Deputy Secretary of Energy (listed in 8. Authorities below)

i. All proposed MOUs, both domestic and foreign, must be coordinated with the Office of General Counsel and the Office of Partnerships and Technology Transfer.

j. Proposed MOUs for collaboration with foreign entities must be authorized by DOE and the Directorate BEFORE the start of negotiations. (See Policy on International Engagement)

k. MOUs may only be signed by the Laboratory Director, unless authority to sign is otherwise delegated in writing by the Laboratory Director.

6. Definitions

Foreign Entity means (1) any foreign government or foreign government agency or instrumentality thereof; (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 United States or its territories; (4) any form of business enterprise organized or incorporated under the laws of the United States or a State or other jurisdiction within the United States which is owned, controlled or influenced by a foreign government, agency, firm, corporation, or a person who is not a citizen or national of the United States; and (5) any person who is not a citizen or national of the United States.

Memorandum of Understanding (MOU) refers to any contractually non-binding agreement between Fermi Forward Discovery Group, LLC and one or more external entities, including Memorandum of Agreement, Letter of Intent, Statement of Intent, Declaration of Principles, or other similar document, whatever its title.

Partner is the term used to refer to all institutions who participate in a formal, collaborative relationship with Fermi Forward Discovery Group, LLC, including but not limited to Sponsors of Strategic Partnership Projects (SPP) Agreements, Participants in CRADAs, sub awardees under a Research Subcontract, User institutions under Non-Proprietary User Facility Agreement, or Fermilab Affiliates under another type of agreement.

Senior Leader (SL) is defined as a member of the laboratory’s senior leadership team and includes Associate Lab Directors, Senior Directors, Project Directors, Center Directors, Chief Research Officer, Chief Operating Officer, Laboratory Director, and any other organizational head reporting directly to the Lab Director.

7. Responsibilities

The Laboratory Director is responsible for authorizing or delegating authority for establishing MOUs with domestic and foreign entities.

The Head, Office of Partnerships and Technology Transfer (OPTT) has overall responsibility for administering the Partnership Management System for the Laboratory, including the administration of this policy and associated procedures.

The Head, Office of International Engagements (OIE) serves as the single point of contact for all international matters within the Laboratory and DOE, including MOUs with foreign entities. In support of the Partnership Management System, the Head, OIE also develops and administers procedures for CERN MOUs and Project Planning Documents (PPDs)[2] with foreign entities.

The Office of General Counsel (OGC) is responsible for reviewing all Partnership Agreements, including MOUs, for legal compliance with the prime contract and statutes, including export control matters.

8. Authorities

Department of Energy Policy 485.1A regarding “Foreign Engagements with DOE National Laboratories

Deputy Secretary of Energy Memorandum regarding “Department of Energy International Science and Technology Engagement Policy” (Issued: 12/14/2018)

Secretary of Energy Memorandum regarding “Science and Technology Risk Matrix Guidance” (EXEC-2019-007234; Issued: 12/13/2019)

Deputy Secretary of Energy Memorandum regarding “Update to the Science and Technology Risk Matrix” (Issued: 6/27/2023)

Fermilab Policy on International Engagement

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

9. Owner

Responsibility for reviewing, updating, and communicating changes to this policy rests with the Partnerships Management System Owner, presently the Head, Office of Partnerships and Technology Transfer.

10. Review Cycle

This policy shall be reviewed every three years.

11. Communication Plan

The requirements of this policy shall be communicated to all employees, and periodic training shall be provided to Senior Leaders. This policy shall be available online in the Fermilab policy database. The Head, Office of Partnerships and Technology Transfer is responsible for the communication of this Policy.

Revision History