22 September 2021
ARMA are delighted to launch the updated v.2 Due Diligence Questionnaire and accompanying Guidance, both outputs from the ‘Consolidated approach to assurance and due diligence’ project.
This new, improved Questionnaire has been approved for use by UKRI and takes into account feedback from users across the sector, nationally and internationally.
Funded by Research England and UKRI, the project consortium
is led by the Association of Research Managers and Administrators (ARMA) and the
project Steering Group includes representatives of:
- Research England (RE)
- UK Research & Innovation (UKRI)
- British University Finance Directors Group (BUFDG)
- Universities UK International (UUKi)
- Association of Commonwealth Universities (ACU)
- National Institute for Health Research (NIHR)
- The British Academy
The output is a standard questionnaire for the purpose of informing the assurance and due diligence process. This is the second iteration of the questionnaire (launched September 2021) and we will continue to seek further feedback for future versions.
The questionnaire was developed following the ARMA Due Diligence & Post-Award Assurance Good Practice Exchange in Oct 2019 and the Research Managers Workshop in Cape Town, South Africa, Feb 2020 – this event brought together 80 delegates representing 50 African institutions from 30 countries. It is designed to help facilitate successful partnerships, because by understanding the way that each of us work, we can help support each other throughout the project. It also ensures that all parties are able to meet the funder requirements and to accept the terms and conditions of the grant.
The questionnaire, recommended by UKRI to be used widely
across the sector, will provide a consistent approach for conducting due diligence,
with the aim of reducing the administrative burden for all involved by having a
question set that requests specific information in a uniform manner and can be
utilised to suit most assurance and due diligence requirements.
The application of the questionnaire can be proportionate, taking account of the nature of the partner, the value and assessed risks of the planned research project. Institutions may decide to ask only some of the questions at times and may add additional questions that are of specific interest to the lead organisation or the project. Organisations that are subject to due diligence checks may also decide to hold a completed copy of the questionnaire to enable a speedy response to partners requests for information.
Issuing and receipt of information using this questionnaire
will be between the project lead and the collaborating partner (recipient). The
questionnaire includes a section on how this data could be shared, with the
ultimate decision on which option is appropriate left to the discretion of
project lead. We have identified the following options: limited data sharing as
required in the performance and assurance of due diligence connected with this
project; and permission to share the data with other organisations. The second
option has the potential to reduce the burden on recipient organisations where
multiple requests for completed due diligence questionnaires are received and
where a rapid process is required to respond to emergency (COVID-19) research. We
encourage lead institutions to be transparent with their partners that agreeing
to the second option may not necessarily mean their information will be shared;
they are likely to need to complete the questionnaire for most institutions
they partner with. Similarly, securing permission to share information about
the partner places no obligation on the project lead to do so, so careful
consideration should be taken to decide if this option is suitable.
We look forward to receiving your feedback at enquiries@arma.adwise-staging.com
You can find more information about the
project and the remaining planned outputs at: https://arma.adwise-staging.com/assessing-a-national-service-for-international-due-diligence/
You can also follow the project
on Twitter using the hashtag #ResearchDueDil
Core project team:
- PI: Jennifer Stergiou, ARMA Chair and Director
of Research & Innovation Services,
Northumbria University
- Co-I: Linsey Dickson, ARMA Director, Head of Research
Development & Performance, University of Stirling
- Co-I: Simon Kerridge, Director of Research Policy
& Support, University of Kent
- Co-I: Simon Newitt, Chair of Learning and
Development Group for BUFDG and Finance Director, Northumbria University
- Project Officer: Joe Timlin, Research
Development Manager, Northumbria University
Steering Group:
- UKRI International Assurance – represented by
Pam Hicks
- Research England – represented by Liz
Kebby-Jones
- Rachael Sara Kennedy – Head of Global
Partnerships, UKRI
- Sapna Marwaha – Legal Counsel, Versus Arthritis
and ARMA
- Vanessa Cuthill – Director of Research, British
Academy
- Mary Ryan – International Development
Coordinator, University of Glasgow
- Dajana Dzanovic – Head of Strategic
Partnerships, Universities UK International
Challenge Group, with representation from:
- African Academy of Sciences
- Aga Khan University
- BEIS
- University of Cambridge
- DfID
- University of Edinburgh
- Federal Demonstration Partnership
- Guild HE
- HESPA
- Human Sciences Research Council, SA
- Million Plus
- Russell Group
- Scottish Funding Council
- University of Sheffield
- Uganda Martyrs University
- UKRI China
- UKRI India
- Universities UK
- University Alliance
- Wellcome Trust (GFGP)
