UCR Policies and Procedures

Campus Policy Number: 550-36

Policy Title: International Agreements-Academic

Policy Owner: Office of the Executive Vice Chancellor and Provost

Effective Date: 10/01/09

I. BACKGROUND AND SCOPE

The Office of the Executive Vice Chancellor and Provost (EVC/Provost) is responsible for the execution and administration of academic exchange and linkage agreements between UCR and foreign universities, governments, or non-profit institutions. The UCR Extension Dean's Office facilitates and maintains all formal written agreements between UCR and foreign entities. The Office of Technology Commercialization and Sponsored Programs Administration, in collaboration with the Office of the EVC/Provost, ensures that related intellectual property rights, such as university publication rights, reserving appropriate rights for faculty to conduct research and commercialize technology, are specified in agreements and agreements are properly administered. Final agreements are reviewed by the Office of Campus Counsel.

This policy is applicable to all faculty members who initiate a proposal for an international agreement and if such a proposal is approved, to the appropriate Dean. We acknowledge the assistance and documents provided by the UCLA International Institute in developing this policy.

II. DEFINITIONS

The following terms and definitions are for use in the context of this policy:

An International Exchange or Linkage Agreement (IE Agreement) means a written agreement between UCR and a foreign university, government, or non-profit institution that entails a commitment of one or more University Resources for academic and research purposes and has been approved by designated signatories.

Memorandum of Understanding (MOU) means a written statement of understanding between UCR and a foreign university or a non-profit institution expressing a mutual intention to engage in a cooperative academic or research effort which does not involve a commitment of University Resources.

University Resources means labor, materials, or assets, both monetary and non-monetary, under the control and management of the University including University funds, facilities, office space, research materials, tools, databases, library services, equipment, or the time or effort of University personnel. University assets include the University's names or marks, and all University intellectual property, including copyrighted materials and resources.

III. STATEMENT REGARDING INTERNATIONAL INSTITUTIONAL AGREEMENTS

No UCR faculty member or official of any unit or program may commit or agree to commit University Resources to a foreign university, non-profit institution or entity for any academic or research purpose except in accordance with the terms of a duly approved and executed IE Agreement as prescribed below. Designated officials may enter into an MOU type of agreement provided the proposed arrangement does not entail a commitment of University Resources. This does not preclude individual visits by visiting researchers who have signed the appropriate UCR Visitor Agreement and UC Patent Acknowledgement Forms.

A. Types of Agreements

International Exchange or Linkage Agreement (IE Agreement)

An IE Agreement shall be used in any situation involving a commitment of University Resources by UCR to a foreign university or non-profit institution, or in any situation that will involve an agreement with a foreign government, whether or not a commitment of University Resources is involved. Examples of IE Agreements include, but are not limited to exchange visits of scholars, researchers and/or administrators of UCR and the foreign entity, exchange of academic or other research information and materials by the parties, or the organization of joint conferences and/or symposia. The approval process will begin when IE Agreements are submitted to the UCR Extension Dean's Office. The UCR Extension Dean's Office will forward the Agreement to relevant campus offices that might be affected by commitment of University Resources. Initiators are encouraged to send a draft of the IE Agreement to offices for preliminary review prior to submission to the UCR Extension Dean's office. The Campus Counsel and EVC/Provost will review all proposals and give final approval.

Memorandum of Understanding (MOU)

An MOU type of agreement may be used with a foreign entity provided the arrangement will not involve a commitment of University Resources and provided further that the arrangement is not with a foreign government. Deans are authorized to approve and sign proposed MOUs that comply with the approved MOU form of agreement. An approved MOU template may be accessed online. MOUs that do not use the template must be routed through the approval process. A copy of each signed MOU must be sent to the UCR Extension Dean's Office following receipt of all appropriate signatures.

Agreement Proposed by a Foreign Entity

Any form of exchange or linkage agreement proposed to a faculty member or academic official by a foreign entity, whether it entails a commitment of University Resources or not, should be forwarded to the UCR Extension Dean's Office. The Campus Counsel will determine whether the agreement meets the criteria as an IE Agreement or an MOU and the agreement will be routed accordingly. The UCR Extension Dean's Office will advise the faculty member or academic official of the status of the review. All documents will be in the English language or accompanied by a verified English language translation.

The following Types of Proposed Agreements are not Covered Under This Policy:

A proposal for a research contract or grant submitted jointly with a foreign entity to an agency for funding. For more information, contact the Office of Sponsored Programs Administration.
A proposal for the purchase or sale of services or products. For more information, contact Campus Purchasing.
A proposal to affiliate with an educational institution, governmental agency, hospital or similar organization to provide for the training of enrolled students in furtherance of the UCR mission. For further information, contact the Office of the EVC/Provost.

B. Initiating a Proposal for an IE Agreement

Faculty members seeking to enter into an IE Agreement may initiate the process by submitting a proposal to be reviewed and approved (signature required) by the appropriate Dean. The proposal must include the following information:

Identification of the campus unit that will be responsible for administering and implementing the IE Agreement;
Assurance of consultation with the appropriate Dean;
Description of the activity to take place under the proposed IE Agreement;
Identification of University Resources to be utilized; and
Description of any other University commitments required.

C. Required Approvals

Once a proposal for an IE Agreement has been endorsed by the appropriate Dean, the proposal will be reviewed the appropriate campus units, Campus Counsel, and finally the EVC/Provost. The UCR Extension Dean's Office will facilitate the routing and approval process. Sufficient lead time should be included in the request process to allow for adequate review by the appropriate campus units. While a proposed IE Agreement is under review, departments or units may not make any informal or formal, oral or written commitment of University Resources or other form of agreement with the foreign university, non-profit institution or entity.

The final approved documents will be executed in duplicate by the EVC & Provost, and one executed original document will be sent to the foreign entity, and the other executed original document will be retained by the UCR Extension Dean's Office, on behalf of the Office of the EVC/Provost.

The additional signature of the EVC/Provost or the Chancellor may be required for specific IE Agreements. The approving signature requirements are applicable both to the IE Agreement and to any subsequent protocols to such an IE Agreement. Regents' approval will be required for agreements involving any contractually binding commitment to expend Regents' funds in support of an academic program, or commitments to programs not previously approved (reference Regents' Standing Order 100.4(dd)(5)).

No University Resources shall be committed in support of any IE Agreement until the IE Agreement has been authorized by the signature of the EVC/Provost or the Chancellor.

D. Duration of IE Agreements

The duration of the term of an IE Agreement and its related protocols will be limited to not more than five years. Prior to the end of the term of the Agreement, upon request of the responsible department or unit, the IE Agreement or protocol will be reviewed for reauthorization. This review will be facilitated by the UCR Extension Dean's Office on behalf of the EVC/Provost or Chancellor, as appropriate. Requests for such reauthorization should be made well in advance of the expiration of the term of the agreement.

E. Responsibilities

All IE Agreement proposals shall be prepared and, if approved, IE Agreements shall be administered by appropriate units including schools, departments, colleges, and other campus programs. The Office of the EVC/Provost will not assume responsibility for the administration or implementation of IE Agreements, nor will those offices be responsible for the allocation of any resources in support of IE Agreements.

The UCR Extension Dean's Office will be the Office of Record for all IE Agreements and MOUs, on behalf of the EVC/Provost.

Executed agreements will be listed on the UCR International Agreements website.

Faculty Members (or Deans, Directors) Initiating Proposals are Responsible for:

Preparing an IE Agreement proposal, confirming any commitment of University Resources with the appropriate departmental administrators, and submitting the proposal to the respective Dean for consideration and approval. Once an approved IE Agreement has been executed, the sponsoring faculty member, Director, or Dean shall be responsible for administering the IE Agreement in accordance with its terms.

Faculty members should consult with and gain approval from their Department Chair (in colleges with departments) before submitting a proposal to their respective Dean.

Every two years, on February 1st, the UCR faculty contact will provide the EVC/Provost with a brief report summarizing the activity for the previous two years and plans for the next two years.

Deans and Directors are Responsible for:

Reviewing all IE Agreement proposals to ensure that they meet the scholarly goals and standards associated with their programs and, as deemed appropriate, confirming the review of and the concurrence in the proposal by the relevant Department Chair (in colleges with departments). The following questions will be considered:

Are University Resources being committed? If so, which resources?
Is research to be conducted at the foreign university or non-profit institution?
Is the foreign institution one with which UCR would want to engage in scholarly cooperation?
Will there be visiting scientists conducting research at UCR?
Does grant or contract funding support any research to be conducted as part of the IE Agreement?
Would a cooperative program be beneficial to both universities?

Once these and related questions have been satisfactorily addressed, the appropriate Dean may sign and approve the IE Agreement proposal and submit it and their recommendation to the UCR Extension Dean's Office that will facilitate the approval process.

If a decision is made to submit an MOU on the approved MOU template, the Dean may sign that MOU and forward a finished, signed copy to the UCR Extension Dean's Office. The UCR Extension Dean's Office will keep the original on behalf of the EVC/Provost and will forward a copy of the MOU to the Office of the EVC/Provost. The MOU will be listed on the International Agreements website.

MOUs that do not utilize the approved online template must be submitted to the UCR Extension Dean's Office for review by the Campus Counsel and final approval by the EVC/Provost.

The EVC/Provost is responsible for:

Reviewing all proposals for IE Agreements and approving or disapproving same in accordance with relevant University and campus policies, ensuring that other University officials are consulted in the process as appropriate;
Facilitating and maintaining all written IE Agreements, ensuring that all such agreements are stored electronically and made available to authorized University personnel via the International Agreements website; and
Upon request of the responsible department or unit, initiating a review of previously approved IE Agreements at the conclusion of the term of the IE Agreements, generally at the end of the fourth year.

IV. PROCEDURES

The following procedures describe how to initiate a proposal for an IE Agreement and the required review and approval process for a proposal to become an executed IE Agreement.

RESPONSIBILITY	ACTION
Faculty Member, Dean, Director (Lead Contact)	Prepares information for a proposed IE Agreement and submits to respective Department Chair.
Department Chair	Approves any commitment of Department resources and submits IE Agreement to respective Dean.
Dean	As deemed appropriate, confers with relevant Department Chair concerning the proposal and any commitment of departmental resources.
UCR Extension Dean's Office on Behalf of EVC/Provost	Facilitate routing of agreement for approval by all relevant offices. Serve as liaison between campus offices and agreement initiator. If University resources will (or might) be required for an IE Agreement or protocol, forward agreement to campus officials as appropriate for review and approval. Forward agreement to the Campus Counsel. When the Campus Counsel signs off, forward to EVC & Provost. Determine whether Regents' approval is required. If it is determined that no Regental approval is required, submit to EVC/Provost to approve or disapprove the proposed IE Agreement. With those specific IE Agreements that require authorization by the Chancellor's Office, consult with and obtain the additional signature of the Chancellor. Such IE Agreements and any subsequent protocols will be formally executed when signed by the EVC/Provost or the Chancellor. Provide two signed copies of the agreement to the lead contact (Faculty, Dean, or Director). After foreign institution signs, one original will be returned to UCR and submitted to the UCR Extension Dean's Office where it will be maintained on behalf of EVC/Provost. Distribute copy of executed IE Agreement to appropriate parties on campus responsible for administering it. The original copy of the signed IE Agreement shall be retained by the UCR Extension Dean's Office on behalf of the EVC/Provost.
Chancellor's Office	Returns signed original copy of an IE Agreement that has been forwarded to the Chancellor for signature to the UCR Extension Dean's Office

Issuing Officer

Dallas Rabenstein Date
Executive Vice Chancellor and Provost