Skip to page content
Office of the Assistant Secretary for Administration and Management
Bookmark and Share

Office of the Assistant Secretary for Administration and
Management (OASAM)

U. S. DEPARTMENT OF LABOR MANUAL SERIES

DLMS 3 - MANAGEMENT OPERATIONS

DATE: March 30, 2006

DEPARTMENTAL ___

OASAM    X   

MANUAL TRANSMITTAL ___

Chapter Reference: Chapter 1700 — Memorandum of Understanding

Nature of Revisions: This chapter establishes guidelines, describes procedures and assigns responsibilities for the centralized clearance and tracking of Department of Labor (DOL) agreements with other governmental agencies and private section entities. This chapter replaces the previous DLMS-3 chapter titled, "Intergovernmental Coordination and Cooperation."

Approval for Issuance and Distribution:

PATRICK PIZZELLA
Assistant Secretary for Administration and Management

PARAGRAPH

CONTENTS

1700

Memoranda of Understanding

 

 

1710

Introduction

1711

Purpose

1712

Scope

1713

Authorities and References

1714

Definitions

1715

Background

1716

Policy

1717

Responsibilities

1718

General Procedures

1719

Alternative Procedures

1720

Additional Procedures


1700 Memoranda of Understanding

(including memoranda or letters of understanding, inter- and intra-agency agreements, joint policy statements, co-sponsorship agreements, and similar written agreements)

1710 Introduction

1711 Purpose. To establish policy and procedures governing memoranda of understanding (MOUs) between Department of Labor (DOL) agencies, between DOL agencies and other government agencies, and between DOL agencies and non-government individuals or entities.

1712 Scope. The provisions of this Chapter apply to all DOL agencies and to all MOUs (as defined in Section 1714E), with the exception of Office of the Inspector General MOUs involving law enforcement or otherwise requiring confidentiality. Agencies are not required to renegotiate or re-clear existing MOUs unless they are renewing or amending them. Agencies should, however, ensure that they have provided the Office of the Assistant Secretary for Administration and Management (OASAM) with copies of all existing MOUs, as required by the August 2002 Joint Memorandum from the Solicitor of Labor and the Assistant Secretary for Administration and Management.

More formal arrangements — contracts, grants, and cooperative agreements — are acquisition or assistance instruments covered by Department of Labor Manual Series (DLMS) 2-800 and 2-900 (Grant and Procurement Management), rather than this Chapter. In addition, intra- or inter-agency acquisitions under the Economy Act (31 U.S.C. §1535) or similar authority are procurements covered by DLMS 2-800 and 2-900; see also Federal Acquisition Regulation (FAR) Subpart 17.5; Department of Labor Acquisition Regulation (DOLAR) Subpart 2917.5. Sometimes agencies create MOUs which combine such intra-agency or inter-agency acquisitions with other non-procurement arrangements. Such agreements are covered by both this Chapter and DLMS 2-800-900. See Section 1714E for further discussion.

1713 Authorities and References

  1. Title 18 of the United States Code, "Crimes and Criminal Procedures," Sections 201, 203, 205, 208, and 209 (criminal conflict of interest statutes) and 1913 (anti-lobbying statute).
  2. Public Law 91-648, Intergovernmental Personnel Act of 1970 (42 U.S.C. §§ 4701-4702, 4721-28, 4741-46, 4761- 72).
  3. Public Law 95-521, Ethics in Government Act of 1978 (5 U.S.C. §§ 7301 et seq.)
  4. Public Law 103-62, Government Performance and Results Act of 1993 (5 U.S.C. § 306; 31 U.S.C. §§ 1115-19, 9703-04).
  5. The Federal Grant and Cooperative Agreement Act of 1977, 31 U.S.C. §§ 6301-6308.
  6. Standards of Ethical Conduct for Employees of the Executive Branch, 5 C.F.R. Part 2635.
  7. Federal Acquisition Regulation, 48 C.F.R. Chapter 1.
  8. Federal Management Regulation, 41 C.F.R. Chapter 102.
  9. Department of Labor Acquisition Regulation, 48 C.F.R. Chapter 29.
  10. Secretary's Order 9-89, "Establishment of Data Integrity Board within the Department of Labor."
  11. Secretary's Order 06-2006, "Authority and Responsibilities for the Regional Executive Committees."
  12. Secretary's Order 5-2001, "Management Review Board."
  13. Secretary's Order 3-2002, "Establishment of the Policy Planning Board."
  14. Department of Labor Manual Series 2-100, "Property Management."
  15. Department of Labor Manual Series 2-800 and 2-900, "Grant and Procurement Management."
  16. Department of Labor Manual Series 6-200, "Budget Formulation and Justification."
  17. Department of Labor Manual Series 10-400, "Office of the Assistant Secretary for Administration and Management/Chief Information Officer."

1714 Definitions.

  1. "Procurement Contract," consistent with Federal Acquisition Regulation § 2.101, means a mutually binding legal relationship obligating the seller (contractor) to furnish supplies or services and the buyer (DOL) to pay for them. It includes all types of procurement and acquisition commitments that obligate DOL to an expenditure of appropriated funds and that, except as otherwise authorized by law, are in writing. "Procurement contracts" do not include grants or cooperative agreements.
  2. "Cooperative Agreement," consistent with the Federal Grant and Cooperative Agreement Act (see 31 U.S.C. §§6302(2) and 6305), means a binding legal agreement reflecting a relationship between DOL and a State, local government, or other recipient when —
    1. the principal purpose of the relationship is to transfer a thing of value to the recipient to carry out a public purpose of support or stimulation authorized by law instead of acquiring (by purchase, lease, or barter) property or services for the direct benefit or use of the United States Government; and
    2. substantial involvement is expected between DOL and the recipient when carrying out the activity contemplated in the agreement.

      "Cooperative agreements" do not include informal cooperative arrangements, or agreements which provide only for: direct cash assistance to an individual; a subsidy; a loan; a loan guarantee; or insurance.

  3. "Grant," consistent with the Federal Grant and Cooperative Agreement Act (see 31 U.S.C. §§ 6302(2) and 6305), means a binding legal agreement reflecting a relationship between DOL and a State, a local government, or other recipient when —
    1. the principal purpose of the relationship is to transfer a thing of value to the recipient to carry out a public purpose of support or stimulation authorized by law of the United States instead of acquiring (by purchase, lease, or barter) property or services for the direct benefit or use of the United States Government; and
    2. substantial involvement is not expected between DOL and the recipient when carrying out the activity contemplated in the agreement

      "Grants" do not include agreements which provide only for: direct cash assistance to an individual; a subsidy; a loan; a loan guarantee; or insurance.

  4. An "Inter-Agency Acquisition" is a procedure by which DOL or a DOL agency needing supplies or services obtains them from another government agency. An "Intra-Agency Acquisition" is a procedure by which one DOL agency obtains needed supplies or services from another DOL agency. Both types of acquisitions may be authorized by the Economy Act (31 U.S.C. § 1535) or other statutory authority (for example, section632 of the Foreign Assistance Act or section 902(b)(1)(C) of the Chief Financial Officers Act of 1990). Examples include agreements through which DOL obtains health care services from other Federal agencies. Agreements involving inter-agency or intra-agency acquisitions must be signed by a DOL official with statutory or delegated contracting authority or by a warranted DOL contracting officer. These agreements also are subject to all requirements of the legal authority authorizing the agreement. See also FAR Subpart 17.5; DOLAR Subpart 2917.5.
  5. "Memorandum of Understanding" refers, with the limitations discussed below, to any written agreement (including modifications or extensions of existing agreements), regardless of how the agreement is denominated, between —
    1. DOL agencies;
    2. DOL or DOL agencies and other government agencies (Federal, State, local, or foreign); or

      DOL or DOL agencies and non-government entities or persons.

      MOUs include, but are not limited to, memoranda or letters of understanding, joint policy statements, co- sponsorship agreements (including, for example, those relating to events, web sites, and initiatives), agreements relating to employee details, agreements relating to jurisdictional issues, agreements relating to property disposition, or other agreements signed by a DOL official in an official capacity, on behalf of DOL or one of its component agencies.

      The term "memorandum of understanding" encompasses a wide range of documents. The following is an overview, but should not be considered an exhaustive list of the types of documents that are considered MOUs. Some MOUs are informal and not legally enforceable (non-binding); they serve only to memorialize the intent and purpose of the parties' working relationship. For example, a DOL agency might agree with another Federal agency to occasionally meet to share information about issues of interest to both agencies, and generally discuss potential joint activities. In such a case, the relationship is casual and neither agency is making a significant commitment of funds or other resources. Other MOUs may be more formal and/or binding (legally enforceable) on the parties. For example, an agreement between the Secretary of Labor and another Cabinet-level Head would likely be formal, but without binding effect; confidentiality agreements signed when DOL agencies and other parties share certain kinds of information are both formal and binding.

      MOUs, however, do not include -- and must not be used in lieu of -- procurement contracts, grants, or cooperative agreements. In addition, a letter of understanding between DOL and another country which simply references the terms of an existing procurement contract, grant, or cooperative agreement relating to that country is not an MOU, nor is a litigation settlement agreement. Finally, in general, inter- or intra-agency acquisitions under the Economy Act or similar authority are not MOUs, unless such agreements include other non-procurement arrangements. For example, a conference co-sponsorship agreement between DOL and another Federal agency might contemplate both a transfer of funds for conference expenses (a procurement) and express a more general understanding of how the agencies will work together to plan the conference (non-procurement arrangements). Agreements which combine both of these elements must be signed by a DOL official with statutory or delegated contracting authority, or by a warranted DOL contracting officer, and are subject to the requirements of both this Chapter and DLMS 2-800-900. See also FAR Subpart 17.5; DOLAR Subpart 2917.5.

  6. "Vet" or "Vetting" means that the agency proposing the MOU determines, in accordance with DOL policy, whether a proposed outside party has other relationships with the Department and whether their participation in an MOU could affect other Departmental interests (for example, ongoing litigation involving the same outside party).
  7. "Agency" or "DOL agency" means all DOL component entities, including agencies, bureaus, and offices, unless otherwise specifically exempted.

1715 Background

DOL uses MOUs to memorialize agreements between —

  • DOL agencies;
  • DOL or DOL agencies and other government agencies (Federal, State, local, or foreign); or
  • DOL or DOL agencies and non-government individuals or entities.

MOUs can be useful, but they also can raise significant legal, policy, and resource issues. Section 1716 outlines the types of issues that may arise, as well as the basic principles affecting MOUs. Identifying and resolving these issues as early as possible can help to expedite the approval of the MOU (or the crafting of a new approach if an MOU is inappropriate).

On August 5, 2002, the Department established a clearance process to assure that all MOUs are reviewed and the parties vetted before an MOU is signed. This Chapter describes the clearance process, and updates it to reflect the Department's experience since August 2002.

1716 Policy. It is DOL policy to ensure that all MOUs involving DOL agencies are appropriate, consistent with Departmental policy and applicable laws, in the best interests of the Federal Government, and are timely submitted for DOL clearance. It also is DOL policy to ensure that the Department has a centralized Archive of DOL MOUs and the related official DOL clearances.

Except for MOUs which become subject to "Alternative Procedures" developed under Section 1719, all new MOUs (including renewals of, or amendments to, existing MOUs) must be cleared through the MOU clearance process outlined in Section 1718. In addition, certain MOUs are subject to the additional procedures outlined in Section 1720.

More specifically, it is the Department's policy that:

  • Agency activities and expenses under an MOU must be legally authorized, consistent with Departmental policy and, to the extent funds are to be transferred, provided for in applicable appropriations. MOUs must include a section identifying the legal authority (statute, regulation, or executive order) authorizing the agency's activities under the MOU.
  • Agencies which make binding commitments to apply appropriated funds in advance of, or in excess of, available appropriations risk violations of the Anti-Deficiency Act, which provides for criminal penalties and adverse personnel actions. In addition, in some situations, individual employees may face personal liability. Agencies must consider whether they have sufficient resources (both personnel and funds) to support the activities contemplated under the MOU. When considering an MOU that involves an acquisition under the Economy Act or similar law, agencies must ensure that their resources (including personnel and funds) are sufficient to support the activities contemplated under such an MOU and that all other requirements for such transactions are met. Fiscal year or program year funds generally are not available for obligation beyond the last day of a fiscal year or program year.
  • Except in cases where agencies are using an MOU to both make an acquisition under the Economy Act (or similar authority) and to make other non-procurement arrangements (see Section 1714E for further discussion):
    • MOUs must not make a binding commitment of resources and must preserve agency discretion with respect to resources. MOUs that contemplate the use of DOL resources must specifically state that they are not to be construed as obligating funds and are subject to available funds. They should further state that any obligation of funds will be accomplished through other appropriate documents.
    • Agencies may not use MOUs to purchase goods, procure services, make grants, or enter into other binding acquisition or assistance agreements. Binding acquisition or assistance arrangements must only be established through legally recognizable instruments such as contracts, grants, cooperative agreements, or other instruments specifically authorized by law.
  • Agencies must ensure that all MOUs include a disclaimer stating that the Department is not limiting its right to act in a manner it deems advisable to carry out its programs. With limited exceptions (agencies should consult the Office of the Solicitor (SOL) for advice), MOUs also should state that they create no legally enforceable rights.
  • MOUs involving the receipt or dissemination of information potentially raise a number of difficult issues. In some cases, promises of confidentiality may be inappropriate and/or not legally binding. The disclosure of Government information pursuant to an MOU may prevent the Department from withholding the information if it receives a later request for the information under the Freedom of Information Act. Any promises of confidentiality for information to be received by DOL under an MOU should be qualified with the phrase "to the extent permitted by law." Agencies also must be aware that Paperwork Reduction Act provisions may apply, such as when an MOU contemplates collection of information from those invited to, or participating in, a conference.
  • Significant ethics issues are presented by MOUs with non-government individuals or entities. Unless agencies can demonstrate that they would offer similarly situated individuals or entities an equal opportunity, an MOU could be seen as an improper endorsement of a particular individual or entity, or as the use of DOL authority to further private commercial interests or give preferential treatment to a party. An agency may not enter into an MOU with a non-government individual or entity if the MOU could be seen as an improper endorsement of that entity, or as the use of DOL authority to further private commercial interests or to afford preferential treatment to a party.
  • MOUs with non-government individuals or entities may raise issues under the Federal Advisory Committee Act, which must be carefully reviewed before an MOU is signed.
  • Proposed allocations of shared expenses may violate a variety of appropriation restrictions and prohibitions. Agencies must ensure that any proposal to allocate expenses between the Department and another party is consistent with the Department's legal authority, policy, and appropriations language.
  • Legal and judicial opinions have indicated that, in some circumstances, an MOU may be a substantive regulation, requiring notice and comment, within the meaning of the Administrative Procedure Act (APA). This may occur, for example, when an MOU has the potential to affect individuals or organizations not party to the MOU. Agencies must ensure that their MOUs do not violate the APA or similar requirements.
  • Some MOUs between DOL and non-government individuals or entities have raised antitrust issues, particularly where they may encourage non-government parties to adopt anti-competitive practices with respect to issues such as rates and profits. Agencies must ensure that their MOUs do not violate anti-trust laws.
  • Agencies must consider both appearance and timing issues in developing MOUs. To that end, agencies must vet all proposed outside parties to the MOU to determine whether their participation in an MOU could affect other Departmental interests. Agencies must disclose during clearance other matters involving outside parties that may be pending, as well as any existing or past relationships between the entity, its management, its agents, or its representatives and the agency or its current or recent officials that may be relevant.
  • Both appropriations restrictions and statute prohibit agencies from financing interagency commissions, boards, councils, or similar groups unless such interagency groups are specifically authorized by statute. Agencies must ensure that they do not use MOUs to establish interagency groups in violation of these restrictions.
  • The appropriate level of signature for an MOU should be carefully considered. Agencies have significant discretion in this respect, but should take into account the nature and potential effects of the agreement, the authority of the individual signers, and any other relevant considerations. An MOU which involves an acquisition under the Economy Act must be signed by a DOL official with statutory or delegated contracting authority or by a warranted DOL contracting officer; another DOL official may sign as well.
  • Agencies should consult with SOL to determine the appropriate duration for MOUs, particularly those involving acquisitions under the Economy Act or similar laws. MOUs involving acquisitions under the Economy Act should not extend beyond the end of the fiscal year. Most other MOUs should not extend beyond three years.

Agencies must be proactive in identifying possible issues and should timely and affirmatively seek counsel from SOL as appropriate.

1717 Responsibilities.

  1. The Solicitor of Labor (the Solicitor) is responsible for —
    1. providing legal advice and assistance to
      all officials of the Department who are responsible for activities under this Chapter.
    2. timely reviewing and, as appropriate, providing comments on and clarifications to all MOUs to ensure legal sufficiency.
  2. The Assistant Secretary for Policy is responsible for timely reviewing and, as appropriate, providing comments on and clarifications to all MOUs to ensure that they are consistent with Departmental policy.
  3. The Assistant Secretary for Administration and Management (ASAM) is responsible for —
    1. timely reviewing and, as appropriate, providing comments on and clarifications to all MOUs to ensure that they comport with the Department's strategic and management goals, budget requirements, human resources requirements, and civil rights and equal employment objectives.
    2. timely reviewing and, as appropriate, providing comments on and clarifications to all MOUs to ensure that adequate funding is available.
    3. developing and maintaining the DOL MOU clearance process, including adopting electronic methods for clearance as the necessary tools become available and practicable.
    4. establishing, maintaining and ensuring the completeness, searchability, and accuracy of an Archive of DOL MOUs, and the related clearances.
      1. For MOUs signed since August 5, 2002, the Archive will include all MOUs, whether current or expired.
      2. For MOUs signed before August 5, 2002, the Archive will include MOUs current as of August 5, 2002.
    5. consulting as necessary with other DOL agencies, including the Office of the Chief Financial Officer.
  4. The Chief Acquisition Officer (CAO) is responsible for —
    1. timely reviewing and, as appropriate, providing comments on and clarifications to all MOUs to ensure that they conform as necessary to all laws, regulations, or other requirements or policies relating to acquisitions or assistance instruments.
    2. ensuring that MOUs which involve an acquisition under the Economy Act (or similar authority) are signed by a DOL official with statutory or delegated contracting authority, or by a warranted DOL contracting officer, and otherwise conform to all acquisition requirements and policies.
  5. The Chief Information Officer (CIO) is responsible for timely reviewing and, as appropriate, providing comments on and clarifications to all MOUs to ensure that they conform as necessary to all laws, regulations, or other requirements or policies relating to information resources management.
  6. DOL Agency Heads are responsible for —
    1. complying with the policies and requirements of this Chapter.
    2. ensuring that their agencies' MOUs are within their legal authority, and are timely drafted, well-written, and consistent with all of the requirements and restrictions referenced in this Chapter.
    3. reviewing their agencies' MOUs to ensure that they comport with all Department policies and requirements, including those relating to strategic and management goals, acquisitions and assistance, budget, human resources, and civil rights and equal opportunity objectives.
    4. timely reviewing and assessing the need for, appropriateness of, and adequacy of funding for their agencies' participation or continued participation in MOUs.
    5. ensuring that all parties to their agencies' MOUs are timely and appropriately vetted.
    6. ensuring that their agencies' proposed MOUs are submitted to the ASAM for clearance or are cleared through appropriate alternative procedures developed under Section 1719.
    7. ensuring that copies of all of their agencies' signed MOUs are timely submitted within 14 days of signature to CPPR for the Archive of DOL MOUs.
    8. ensuring that the ASAM is timely notified of the expiration or other termination of all of their agencies' MOUs.
    9. timely reviewing all MOUs circulated to their agencies by OASAM for clearance and, as appropriate, proposing clarifications.

1718 General Procedures. The following procedures must be used for clearing all MOUs, except for MOUs to which alternative procedures (see Section 1719) apply.

  1. The DOL Agency initiating the MOU (the initiating agency) must submit both paper and electronic versions of the proposed MOU, along with a clearance form (see Attachment 1), to the OASAM Center for Program Planning and Results (CPPR) in sufficient time to permit clearance as outlined in Subsection D below. The Agency Head or (when appropriate) a deputy must sign the clearance form to indicate approval for his/her agency. Agencies submitting an MOU for clearance also must include the name of a knowledgeable informal contact who can respond to questions from reviewers. Agencies also must include copies of prior related MOUs with their submission.
  2. If more than one DOL agency is a party to the MOU, the agency submitting the MOU to CPPR for clearance must obtain and provide the concurrence of the Agency Head (or, when appropriate, a deputy) of the other involved DOL agency on a clearance form to CPPR.
  3. At a minimum, CPPR will circulate every proposed MOU concurrently to the Solicitor, the Assistant Secretary for Policy, and the Assistant Secretary for Administration and Management, requesting their review, and clearance or comments (including proposed clarifications). CPPR will also determine whether wider distribution and clearance of a particular MOU is warranted and, if so, forward the package to additional affected or interested agencies for review. CPPR's clearance request will identify all agencies/offices whose reviews were sought.
  4. The CPPR will set a reasonable deadline for final clearance of the MOU (generally at least two weeks), taking into consideration the nature and complexity of the MOU and any exigencies that may apply in particular cases.

    In exceptional circumstances, an initiating agency head may request expedited review of an MOU. Such a request must be fully explained, state why the MOU could not be submitted for timely clearance, and include compelling reasons for the request and an assurance that the agency will take the necessary administrative actions to minimize its need to request expedited review in the future.

    Agencies are advised to coordinate with the SOL division serving their program as they begin contemplating potential MOUs (that is, well before submitting an MOU to CPPR for clearance) to learn about and address potential legal issues. SOL clearance of an MOU will, of necessity, require SOL review and clearance of the underlying activity or transaction. Agencies should be aware that some MOUs raise novel and significant legal issues requiring a substantial commitment of time by both SOL and the DOL agencies involved. Early coordination with SOL can help to mitigate delays in the regular CPPR clearance process. Moreover, without preliminary discussion and clearance with SOL, expedited review may be impossible in some cases.

  5. The reviewing agencies will provide their concurrence, comment, clarifications, or other recommendation to CPPR on the clearance form provided. Reviewing agencies may request additional time for their review from CPPR; CPPR will approve such requests when necessary and will keep the initiating agency apprised of any delays in the clearance process.
  6. If the proposed MOU is cleared by all reviewing DOL agencies, the Director of CPPR will complete the form granting clearance. The original of the form, along with the proposed MOU, will be returned to the initiating agency. If other DOL agencies will be signing the MOU, the initiating agency must provide copies of the clearance form and approved MOU to those agencies.
  7. If the proposed MOU is not approved, the Director of CPPR will, through written memo, note the disapproval on the clearance form and return the clearance package, including the reviewers' reasons for disapproval, to the initiating agency. The initiating agency must provide copies of this disapproval to other DOL parties to the proposed MOU. When non-DOL parties are involved, the initiating agency (consulting with SOL as appropriate) is responsible for taking appropriate steps to inform the non-DOL party of the Department's decision. In some circumstances, disapproved MOUs may be revised and resubmitted for clearance.
  8. If the proposed MOU is approved subject to specific clarifications or conditions provided by one or more of the reviewers, the Director of CPPR will, through written memo, return the clearance package to the initiating agency with any stipulations. The initiating agency may proceed to complete the MOU only if the terms of the approval are satisfied. If the initiating agency disagrees with the stipulations, it must notify CPPR and resolve the disagreement directly with the reviewing agency making the comments.
  9. If a reviewing agency requests the opportunity to review the MOU after the initiating agency has made changes, the initiating agency must provide a copy of the revised MOU to the reviewing agency before proceeding. CPPR also may require full re-clearance of a revised MOU when appropriate.
  10. If an MOU is changed following CPPR clearance, re-clearance may be necessary. The initiating agency should consult with CPPR and SOL in such a case.
  11. Once the initiating agency has finalized the MOU, it may arrange for its signing. Once all parties (including non-DOL parties) to the MOU have signed it, the initiating DOL agency must provide a copy of the fully executed MOU to CPPR.
  12. CPPR will deposit a copy of the signed and dated MOU in a file to be designated as the Archive of DOL MOUs.
  13. If an MOU is not finalized and signed following clearance, the initiating DOL agency must inform CPPR.
  14. The initiating agency must inform CPPR after an MOU expires or otherwise terminates. CPPR will then indicate in the Archive that the MOU is no longer

1719 Alternative Procedures. Upon the request of an agency head or on their own initiative, the Solicitor, the ASAM, the Chief Financial Officer, the CAO, the CIO and the Assistant Secretary for Policy may jointly agree upon and implement alternative procedures for certain MOUs or types of MOUs, including (but not limited to) renewals of previously-cleared routine MOUs and MOUs which follow a previously-cleared template.

Alternative procedures may include exempting appropriate MOUs from all or part of the clearance process set forth in Section 1718, in appropriate circumstances. Copies of signed MOUs processed under alternative procedures must still be provided by the initiating agency to OASAM CPPR as required by Section 1718K.

1720 Additional Procedures. Agencies should be aware that additional procedures may apply to some MOUs, and are responsible for ensuring that all applicable procedures are followed. The following are examples of applicable additional procedures:

  1. Proposed MOUs for the signature of the Secretary or Deputy Secretary must also be cleared through the Office of the Executive Secretariat (ExecSec). In these cases, clearance by CPPR constitutes approval only to submit the proposed MOU to ExecSec. Agencies should include a copy of CPPR's clearance with their submission to ExecSec, and should ensure that CPPR receives a copy of ExecSec's final clearance.
  2. MOUs sometimes involve significant policy issues, which should be addressed by the Department's Policy Planning Board before a proposed MOU is submitted to CPPR for clearance. See Secretary's Order 3-2002.
  3. MOUs sometimes involve significant management and/or information technology issues, which should be addressed by the Department's Management Review Board and/or Technical Review Board before a proposed MOU is submitted to CPPR for clearance. See Secretary's Order 5-2001.
  4. Proposed MOUs involving one or more DOL regions must be cleared through the Department's Regional Executive Committees before submission to CPPR. See Secretary's Order 06-2006.
  5. Proposed MOUs involving computer matching programs must be cleared through the Department's Data Integrity Board before submission to CPPR. See Secretary's Order 9-89.
  6. Proposed MOUs involving foreign governments or activities outside the United States must be coordinated with the Bureau of International Labor Affairs and may have to be cleared through the Department of State. See U. S. Department of State Circular 175 (11 FAM 720). Agencies should consult SOL for advice about MOUs involving foreign governments. (As noted in Section 1714E, however, a letter of understanding between DOL and another country which simply references the terms of an existing procurement contract, grant, or cooperative agreement relating to that country is not an MOU for purposes of this, or the Department of State, clearance process.)

Agencies should contact CPPR if they need assistance in determining whether additional procedures apply to their MOUs.


MOU Clearance and Approval Form — U.S. Department of Labor

Note: Please review DLMS 3-1700 to ensure that your proposed MOU is in compliance with DOL requirements and policy. MOU clearance generally requires at least two weeks. If your agency needs expedited clearance, you must complete the request below (see Initiating DOL Agency Section of Form). If you need assistance in completing this form or in understanding the DLMS requirements, please contact the Office of the Assistant Secretary for Administration and Management's Center for Program Planning and Results. Initiating agencies are responsible for ensuring that the first three pages of this form are completed; the final two pages are for OASAM/CPPR use.

I. PRELIMINARY INFORMATION

  1. MOU Title/Subject:
  2. Is this proposed MOU a renewal of a previously-approved MOU? Yes No (circle one)
    Is this proposed MOU based upon a previously-approved template? Yes No (circle one)
    If yes to either question, how does this proposed MOU differ from the previously-approved MOU or template?
  3. Legal Authority for DOL activities to be undertaken pursuant to the MOU (include citation to specific provision(s) of the relevant statute, regulation, or executive order – contact SOL if you need assistance):
  4. Does this MOU involve significant policy issues? Yes No (circle one)
    If yes, provide basic information and state whether (and when) the policy issues have been presented to the Policy Planning Board (PPB), or state why PPB consideration is not required (see DLMS 3-1720B):
  5. Does this MOU involve significant management or information technology issues?Yes No (circle one)
    If yes, provide basic information and state whether (and when) these issues have been presented to the Management Review Board (MRB) or Technical Review Board (TRB), or state why MRB/TRB consideration is not required (see DLMS 3-1720C):
  6. Does this MOU involve DOL regional offices? Yes No (circle one)
    If yes, provide basic information and state whether (and when) these issues have been presented to a Regional Executive Committee, or state why Committee consideration is not required (see DLMS
    3-1720D):
  7. Does this MOU involve DOL computer matching programs? Yes No (circle one)
    If yes, provide basic information and state whether (and when) the MOU has been presented to the Data Integrity Board (DIB), or state why DIB consideration is not required (see DLMS 3-1720E):

II. INITIATING DOL AGENCY

A. Name of Initiating DOL Agency: _________________________________________

Proposed Signature Level for MOU _________________________________________

Principal Informal Contact:

Name: _________________________________

Phone: ________________

Please identify DOL program agencies which should clear this propose MOU: _____________________________________________________________________

Approved for DOL-wide Clearance:

Date: ______________ (Agency Head or Deputy Signature)

Is Agency requesting expedited clearance? Yes No (circle one)

If yes, please provide all information required by DLMS 3-1718D (attach additional sheets if necessary):

As Agency Head, by this request for expedited clearance, I am indicating that I have taken necessary administrative actions to minimize such requests in the future.

Approved:
Agency Head Only

III. OTHER DOL AGENCY PARTIES

Check if there are no other DOL Agency Parties: _____

A. Name of DOL Agency: _________________________________________________

Proposed Signature Level for MOU __________________________________________

Principal Informal Contact: _________________________________________________

Approved for DOL-Wide Clearance ____________________________________

Date:______________ Agency Head or Deputy Signature

B. Name of DOL Agency: _________________________________________________

Proposed Signature Level for MOU __________________________________________

Principal Informal Contact: _________________________________________________

Approved for DOL-Wide Clearance ____________________________________

Date: ____________

Agency Head or Deputy Signature

(Attach additional pages if necessary.)

Note: Initiating DOL Agency must obtain other DOL Agency Party approvals prior to submitting an MOU for clearance.

IV. NON-DOL FEDERAL AGENCY PARTIES

Check if there are no Non-DOL Federal Agency Parties: _____

A. Name of Non-DOL Federal Agency: ______________________________________

Federal Agency's Proposed Signature Level for MOU: ____________________________

Principal Informal Contact: _________________________________________________

Phone:_____________________

Email __________________________

Address ________________________________________________________________

B. Name of Non-DOL Federal Agency: ________________________________________

Federal Agency's Proposed Signature Level for MOU: _____________________________

Principal Informal Contact: __________________________________________________

Phone:_____________________

Email __________________________

Address _________________________________________________________________

(Attach additional pages if necessary.)

V. NON-FEDERAL PARTIES

Check if there are no Non-Federal Agency Parties: _____

Otherwise, attach a List of Non-Federal Agencies, individuals or organizations who will be parties to the MOU. For each proposed party, indicate:

Name, Address, Telephone

Name, Telephone, Email for informal contact

Nature of Non-Federal Party (business, union, other)

For Profit; Non-profit (If non-profit, specify 501(c)(3), 501(c)(4) etc. (contact entity if you are not sure))

Vetted within involved agency(ies) ____________

Vetted DOL-wide _________ By Whom ______________________________ Date _________

Results of Vetting:

FOR OASAM/CPPR USE ONLY

CLEARANCES

OASAM: Clearance Granted: Yes No N/A (circle one)
Director, Office of Financial Management Operations:

___________________(Signature/Date)

Comments:

CAO: Clearance Granted: Yes No N/A (circle one)
Director, Office of Procurement Services:

___________________(Signature/Date)

Comments:

CIO: Clearance Granted: Yes No N/A (circle one)
Director, Information Technology Center:

___________________(Signature/Date)

Comments:

Name: _________________________________________ Date: ___________________

Authorized Signature Only

OASP: Clearance Granted : Yes No (circle one)
Comments:

Name: _________________________________________ Date: ___________________

Authorized Signature Only

SOL: Clearance Granted: Yes No (circle one)
Comments:

Name: _________________________________________ Date: ___________________

Authorized Signature

Other Clearing DOL Agency: Agency Name ____________________________________________

Clearance Granted: Yes No (circle one)
Comments:

Name: _________________________________________ Date: ___________________

Authorized Signature

FOR OASAM/CPPR USE ONLY

OASAM Approval of Proposed MOU (No further revisions permitted without re-clearance)

__________________________________________(Authorized Signature Date)

 

Approval Expires _________________(Date/Authorized Approval)

Extension of Approval __________________(Date/Authorized Approval)

REMINDERS:

When a proposed MOU requires the Secretary's or Deputy Secretary's signature, OASAM approval constitutes only approval to submit the MOU to the Office of the Executive Secretariat (ExecSec). The Initiating Agency is responsible for coordinating final clearance with ExecSec. See DLMS 3-1720A.

Proposed MOUs involving foreign governments must be coordinated with the Bureau of International Labor Affairs and cleared through the Department of State. See DLMS 1720F.