The ‘Consolidated Approach to Assurance and Due Diligence’ Project

Project Overview

In November 2019, a consortium led by ARMA was awarded £25,000 from UKRI and Research England to explore how a national service for due diligence in international research could deliver benefits for UK higher education institutions and partners overseas. The project aims to assess the feasibility of a national service in UK-funded research projects and partnerships, with a particular focus on Global Challenges Research Fund (GCRF) initiatives.

The project responds to feedback from the research management community, predominantly through ARMA Good Practice Exchange events on the subject of due diligence and post award assurance, which overwhelmingly said that there should be a better way of managing due diligence in order to understand, mitigate and manage risk in an efficient way which supports both UK research organisations and overseas partners rather than increasing their burden.

The objectives of the project are to deliver: 

• A core questionnaire for gathering due diligence information
• Recommendations regarding the feasibility and operation of a ‘clearing house’ for due diligence questionnaire responses, which would enable UK research organisations to share questionnaire responses and information provided by partner organisations
• Recommendations regarding the feasibility and operation of a ‘national service for due diligence in UK funded research projects and partnerships’. Such a service would offer a range of services and expertise to UK research organisations and their overseas partners aimed at mitigating risk in a number of different ways.

First Output – Standard Due Diligence Questionnaire

The output is a standard questionnaire for the purpose of informing the assurance and due diligence process. This is the first iteration of the questionnaire and we will continue to seek further feedback for future versions.

Due Diligence Questionnaire


Due Diligence Questionnaire Guidance


Watch the ‘Introduction to the Consolidated Due Diligence Questionnaire’ Webinar (12 Jan 2021)

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.ac.uk

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)