60.21 - Affiliation Agreements, Memoranda of Understanding, and Agreements Establishing Relationships

Last updated August 24, 2005

A. General. These procedures pertain to all affiliation agreements, memoranda of understanding and agreements establishing relationships. In addition, developing and securing approval of international agreements are also governed by policy and procedures specified in the Faculty-Staff Handbook [FSH] 4230. Pursuant to the FSH 1420 B-1, any agreement which obligates the university to provide services or facilities, expend funds or convey property requires the approval of the Vice President for Finance and Administration.

A-1. Delegation of Authority. The Vice President for Finance and Administration may and does delegate authority to approve specific types of agreements. For example, review and approval of research agreements has been delegated to the Grants and Contracts Office (GAC).

B. Board of Regents Approval Is Required. For those agreements which require UI to dedicate funds or facilities, or will obligate UI or the state to dedicate future funding or significant facilities must be approved by the Board of Regents. In some cases, approval may be granted by the Executive Director of the Board.

C. Board of Regents Approval Generally Not Required. Board of Regents approval is generally not required in the following situations:

C-1. Previously Approved Renewals and/or Minor Revisions. The agreement is a substantially-unchanged renewal of a previously approved agreement and the prior agreement contained a provision authorizing renewal.

C-2. Expanded Approved Agreement. The agreement expands a previously approved agreement to apply to an additional academic program.

D. Standard Agreement Form. Drafting agreements in a standardized format ensures that important provisions are included and expedites the approval process. Guidance as to form of affiliation agreements, memoranda of understanding and agreements establishing relationships is as follows:

D-1. Model Educational Affiliation Agreements. Model educational affiliation agreement forms have been developed for use by academic departments and have been reviewed by counsel, [See 60.21 (I)] for sample agreement. These forms may be modified to suit program conditions, so long as modifications are not substantive with respect to material terms or conditions.

D-2. Memoranda of Understanding and Agreements Establishing Relationships. Because memoranda of understanding and agreements establishing relationships result in institutional alliances upon which other parties may rely, and because they may indicate a future intention to enter into agreements, task orders, or work plans with more specific obligations, programmatic approval by academic administrators is appropriate and necessary. In some situations at the discretion of the Provost, Board of Regents or Executive Director approval will be sought before such an agreement is concluded.

D-3. International Agreements. Following the process applicable to International Agreements, FSH 4230, will ensure timely and appropriate programmatic review before the university enters into any memorandum of understanding or agreement to establish any relationship with any institution, agency or organization. Such procedures will also ensure that necessary steps have been followed at the preliminary stages if the decision is subsequently made to seek Board of Regents approval.

D-4. Other Agreement Types. The FSH 4230 provides a guide for procedures for concluding memoranda of understanding or agreements establishing relationships which do not oblige the university or the state to provide services or facilities, expend funds or convey property.

E. Legal Review Required. Legal review is always necessary prior to seeking Board approval of any agreement. As a matter of institutional policy, legal review is generally obtained for contractual documents where signature of the vice president for finance and administration is required. Legal review is greatly expedited by use of a standard agreement form.

E-1. Board of Regents Approval Required. Where Board approval is required, the prerequisite legal review will be greatly expedited when a model affiliation agreement is used.

E-2. Legal Review Not Required. Legal review is not needed for multiple use of model educational affiliation agreements where Board of Regents approval is not required unless the agreement contains substantive modification. Determination of whether a modification is substantive is made by the Office of Risk Management and/or legal counsel.

F. Signatures. All affiliation agreements, memoranda of understanding and agreements establishing relationships are signed for the university by:

  • the departmental designee responsible for the academic program;
  • the dean of the college where the academic program is located;
  • the provost as the chief institutional academic officer, and;
  • the vice president for finance and administration if the agreement obligates the university to provide services or facilities, expend funds or convey property.

G. Procedures for Completing Agreements. Procedures for concluding affiliation agreements, memoranda of understanding and agreements establishing relationships are as follows:

G-1. Develop Agreement. In consultation with and upon approval of the appropriate dean, the departmental administrator in charge of the program develops the text of the proposed agreement; use of the Model Educational Affiliation Agreement [See 60.21 (I)] is recommended when the agreement obligates the university to provide services or facilities, expend funds or convey property.

G-2. Complete Approval Form. The departmental administrator in charge of the program completes and attaches the Approval Form [See 60.21 (H)] to the agreement, obtains all departmental and college signatures on the agreement and on the approval form and forwards both to the Provost via the college dean for programmatic approval.

G-3. Obtain Authorization of Provost. The Provost signs the approval form and the agreement to indicate programmatic approval. If (a) the agreement does not obligate the university to provide services or facilities, expend funds or convey property, (b) the agreement is not an international agreement, and (c) in the judgment of the Provost, Board of Regents approval is not required for substantive reasons, the approval process is complete with the signature of the Provost. The Provost retains the original and the approval form, returning copies of the agreement to the appropriate dean.

G-4. Obtain Approval of Vice President for Finance and Administration. If the agreement (a) obligates the university to provide services or facilities, expend funds or convey property, or (b) if Board of Regents approval is required, the Provost forwards the agreement and the approval form to the Division of Finance and Administration where the agreement will be reviewed as to form and legal review obtained if necessary.

i) Vice President for Finance and Administration Approval Without Board of Regents Approval. If Board of Regents approval is not required, the Vice President for Finance and Administration will sign the agreement and the approval form. The original of the agreement, and the approval form, are filed in the Office of the Vice President for Finance and Administration. Copies of the agreement are distributed to the Provost and the appropriate dean.

ii) Vice President for Finance and Administration Approval With Board of Regents Approval. If Board of Regents approval is required, the agreement will be submitted in the next available Board of Regents agenda. Upon receiving Board of Regents approval, the agreement will be signed by the Vice President for Finance and Administration. The original of the agreement, and the approval form, are filed in the Office of the Vice President for Finance and Administration. Copies of the agreement are distributed to the Provost and the appropriate dean.

H. Sample Approval Form. [To be provided]

I. Sample Model Educational Affiliation Agreement.