BRIEF

Policy Summary

Memoranda of Understanding (MOUs) are aspirational statements of intent that outline a framework for cooperation and collaboration between Berkeley Lab and one or more external entities. MOUs are not legally binding agreements and cannot be used to obligate funds. All MOUs must be signed by the Laboratory Director unless signature authority has been delegated. Delegations of signature authority may be informally communicated by the Chief of Staff, who will notify the Office of Laboratory Counsel (OLC) via email of the Laboratory Director's decision to delegate. MOUs with external entities must be reviewed by the OLC to ensure compliance with legal requirements, content standards, and Laboratory policies. If an MOU involves a foreign entity, it must undergo a due diligence process to address counterintelligence, foreign engagement, and export control considerations. This policy outlines the requirements and processes for the use, review, and approval of MOUs at Berkeley Lab.

Who Should Read This Policy

Any Berkeley Lab employee involved in drafting, negotiating, or submitting MOUs for review, approval, or execution should review this policy. For further guidance, please refer to the MOU Reference Guide.

To Read the Full Policy, Go To:

The POLICY tab on this wiki page

Contact Information

Office of Laboratory Counsel

POLICY

A. Purpose

This policy outlines the requirements and processes for Memoranda of Understanding (MOUs) with external entities involving Lawrence Berkeley National Laboratory (Berkeley Lab).

B. Persons Affected

This policy applies to any Berkeley Lab employee who drafts, negotiates, or submits MOUs with non-Berkeley Lab entities for review, approval, and execution.

C. Exceptions

None

D. Policy Statement

1. Overview and Essential Criteria

Memoranda of Understanding (MOUs) are aspirational statements of intent that outline a framework for cooperation and collaboration between Berkeley Lab and one or more external entities. MOUs are not legally binding agreements and cannot be used to obligate funds. All MOUs must be signed by the Laboratory Director unless signature authority has been delegated. Delegations of signature authority may be informally communicated by the Chief of Staff, who will notify the Office of Laboratory Counsel (OLC) via email of the Laboratory Director's decision to delegate.

For guidance on internal projects and MOUs, please refer to the Project Management Policy.

For MOUs with external entities, please refer to this guide, also available on our Resources for Employees.

MOUs with external entities must be reviewed by the OLC to ensure compliance with legal requirements, content standards, and Laboratory policies. If an MOU involves a foreign entity, it must undergo a due diligence process to address counterintelligence, export control, and other DOE Office of Science and foreign engagement considerations. This policy outlines the requirements and processes for the use, review, and approval of MOUs at Berkeley Lab.

1. 1. MOUs with external entities must meet the following criteria:
      1. Strategic Alignment: The MOU must align with the strategic interests and policies of the United States and Berkeley Lab. For MOUs that include a foreign-entity participant, the proposing division must notify the Office of Science Program Manager, or the pertinent DOE funder, of the proposed collaborative activity. The proposing division must notify and receive the approval of the Office of Science Program Manager, or the pertinent DOE funder, of the proposed collaborative activity.
      2. Legal Review: The Office of Laboratory Counsel (OLC) must review the MOU to ensure its compliance with legal standards, content requirements, and alignment with Laboratory policies. This review will confirm the following:
         1. The MOU has a maximum term of five years.
         2. The MOU does not include provisions for automatic renewal after the five-year term.
         3. The MOU contains no legally binding obligations.
         4. For foreign MOUs, the DOE-approved foreign MOU template is used.
         5. The MOU is subject to the availability of funding.
         6. A statement is included confirming adherence to all applicable UC policies, Laboratory policies, and DOE regulations.
         7. A statement specifies: “Each participant is responsible for the costs it incurs in participating in cooperative activities under this MOU.”
         8. Provisions addressing the exchange of information or other agreements are explicitly outlined.
      3. Due Diligence: This process may require reviews and approvals from Berkeley Lab’s Research Compliance Office (RCO) and Export Control Office (ECO), and may require obtaining approvals or concurrences from the DOE Berkeley Site Office (BSO) through its Site Office Counsel, the local DOE Counterintelligence Office, and other relevant DOE offices. To facilitate the need for research compliance and export control reviews, all MOU requesters or principal points of contact must complete the MOU Questionnaire Form and the ECO & RCO Review of MOUs Questionnaire. These forms collect the external party’s information, purpose, and nature of the proposal collaborative activity, describe the types of exchanges intended, identify the scientific area of interest, identify whether the external party is foreign or domestic, and document the DOE program manager’s approval. If the scientific area of interest is listed on the DOE Science & Technology (S&T) Matrix, further review and approvals will be required by the Berkeley Lab Research Compliance Office and the Export Control Office. Additionally, if the external party is from a DOE-designated Country of Risk (COR), further review and concurrence from DOE will also be required. Additionally, for MOUs with non-U.S. entities, DOE foreign review is required. Currently, the following DOE offices must review the agreement and provide their concurrence:
         1. General Counsel (GC)
         2. Defense Nuclear Nonproliferation (NA)
         3. Office of Science (SC)
         4. International Affairs (IA)
         5. Intelligence & Counterintelligence (IN)
   2. Review and Approval Process 
      1. A Berkeley Lab employee seeking approval of an MOU must first review the draft for the following points:
         1. Alignment with Strategic Interests: Does the MOU align with the strategic interests and policies of Berkeley Lab and the United States? Specifically, are the benefits equitable between the United States/Berkeley Lab and the other participant(s)?
         2. Involvement of Foreign Participants: Has the Cognizant DOE Program Office been notified about the proposed MOU?
         3. Language and Intent: Does the MOU use language that clearly conveys its informal and nonbinding nature?
      2. Al MOUs - whether with U.S. entities or foreign entities–must be reviewed and approved by the OLC. Additionally, the following individuals must be notified:
         1. The Division Director of the proposing division
         2. The Cognizant DOE Program Office
      3. Both domestic and foreign MOUs involving any of the following research areas must be reviewed by the Research Compliance Office:
         1. Quantum Information Science & Technology
         2. High Performance Computing
         3. Machine Learning/Artificial Intelligence Science & Technology
         4. Battery Science & Technology
         5. Bioscience & Biotechnology
         6. Accelerator Science & Technology
      4. OLC will route the MOU to the Laboratory Director or to an authorized representative for signing. The initiating employee is responsible for securing the remaining signature(s) and providing the final executed version to OLC.
      5. MOUs with external entities are subject to additional review and notification protocols, as follows:
         1. The Division Director of the proposing division
         2. The Cognizant DOE Program Office
      6. After the OLC has approved the MOU, it will be sent concurrently to Counterintelligence, the Bay Area Site Office, the Berkeley Lab Export Control Office, and the Research Compliance Office (if applicable).
      7. Next, for MOUs with non-U.S. entities, the following DOE offices must review and provide concurrence :
         1. General Counsel
         2. Defense Nuclear Nonproliferation
         3. Office of Science
         4. International Affairs
         5. Intelligence & Counterintelligence
      8. OLC will route the MOU to the Laboratory Director or to an authorized representative for signing. The initiating employee is responsible for securing the remaining signature(s) and providing the final executed version to OLC.

E. Roles and Responsibilities

F. Definitions/Acronyms

G. Recordkeeping Requirements

The Office of Laboratory Counsel will retain a fully executed version of MOUs with non-LBNL entities.

H. Implementing Documents

I. Contact Information

Office of Laboratory Counsel

J. Revision History

DOCUMENT INFORMATION

Source Requirements Documents

• 5/14/12 Memorandum from Steven Chu re: Laboratory Memoranda of Understanding (MOUs) with Foreign Partners
• Frequently Asked Questions: DOE National Laboratory MOUs with Foreign Partners