ESTABLISHING UK COLLABORATIVE PARTNERSHIPS:
Academic, financial and legal due diligence report for
[Insert name of proposed collaborative partner]
Confidential
EXPLANATORY NOTE
This document should be read in conjunction with the University’s Code of practice for
approval and management of collaborative provision.
In accordance with the Quality Assurance Agency UK Quality Code, Indicator 6, the
University is required to ensure 'appropriate and proportionate due diligence procedures are
determined for each proposed arrangement for delivering learning opportunities with an
organisation other than the degree-awarding body. . . to check the capacity of the other
organisation to continue to fulfil its designated role in the arrangement’.
In order to comply with the above Indicator, all new proposals for collaborative provisions are
subjected to a rigorous approval and due diligence procedures. The information and
documentation supplied in the proposal form for collaborative provision forms the basis of
the due diligence review activities.
Please refer to paragraph 38 of the Code of practice for further details on the purpose of
each type of due diligence (academic, financial and legal).
Guidance notes for completion of due diligence report
Guidelines for completion
1.
For all proposed collaborative provision, proportionate due diligence must undertake
by the appropriate University staff otherwise the proposal cannot proceed.
2.
Please note that in order to establish whether financial due diligence is required to
be undertaken for the proposal collaborative arrangements, please refer to the
determination matrix below which cross references the level of collaboration against
the perceived associated risk of the collaboration. The level of collaboration and risk
information will be provided by the proposer in the Business Case, Section 2A and
2B.
Risk
Level of collaboration
High
Medium
Low
University-wide
Faculty
School/Department
Which sections to complete
1.
Faculties are required to complete Part A of the due diligence report and submit to
the Directorate of Quality Enhancement and Standards (QES) together with the
completed business case form. Please ensure the Risk Assessment Tool (business
case form) has been completed first in order to establish the level of risk identified for
the proposed collaboration.
2.
The academic due diligence (Part B) will be carried out by QES on the basis on the
information supplied in the business case form, but may request further information if
necessary. Financial Services will carry out financial due diligence (Part C), to be
considered by the Head of Financial Accounting, by liaising direct with the contact
named in Section C5/D11 of the business case form. Part D will be completed by the
Secretariat.
Part A - Proposed Partner Details
Faculty to complete and return to QES (collaborative@surrey.ac.uk) with completed business case form
For all levels of risk proposals, please complete questions A1 to A7
A1
Proposing Faculty and Department/School:
Type your answer here
Proposer (name):
A2
Name of proposed Collaborative
Type your answer here
partner/organisation (trade name)(include
weblink) and principal address:
A3
Nature of proposed collaborative arrangement
Type your answer here
(e.g. dual, module, programme):
A4
Note any PSRB involvement:
Type your answer here
If not appropriate, please state N/A
A5
Awarding Body:
Type your answer here
A6
Is there a clear rationale for the proposed
Type your answer here
programme(s)?
A7
Reputation of proposed collaborative partner:
Type your answer here
Note confirmation of the partner’s position in
league tables such as Times Good University
Guide, Guardian University Guide
For medium to high-risk proposals, please complete questions A8 to A10
A8
Provide a brief on the strategic reasoning for the
Type your answer here
University of Surrey establishing and maintaining
a partnership with the proposed collaborative
partner:
A9
Details of any collaborations with third parties
Type your answer here
which the proposed collaborative partner is
currently involved with and if any collaborations
have recently terminated, an explanation of the
reasons for such termination:
A10 Academic governance and regulations issues –
Type your answer here
how will the proposed programme conform to the
regulations and codes of practice of the University
of Surrey:
I hereby certify that the statements and information in Name:
this form are true and correct, and I authorize the Position:
Directorate of Quality Enhancement and Standards to Date:
investigate all statements or other information contained
in this form and any attachments submitted with it, unless
I have stated in writing to the contrary.
Part B - Proposed Partner Details – academic considerations
QES to complete
For all levels of risk proposals, please complete questions B1 to B4
B1 Does the partnership satisfy the agreed criteria for
Type your answer here
collaborative partnerships?
B2 Evidence to show partner is able to meet the
Type your answer here
University’s responsibilities for the quality and
standards of University awards
B3 What is the overall academic standing of the
Type your answer here
proposed partner based on advice from
organisations such as NARIC etc
B4 Any professional accreditation proposed or sought: Type your answer here
For medium to high-risk proposals, please complete questions B5 to B6
B5
Experience of delivering HE education and
Type your answer here
evidence of its QA framework being compatible
with that of the University:
B6 Any published reports of external quality
Type your answer here
assurance agencies relating to the proposed
collaborative partner:
Note any areas of concerns (details of any known
failure to comply with any relevant applicable
statutory requirements)
Upon review of above section, please confirm whether
there
are
any
areas
that
warrant
further
investigation/clarification:
Quality Due Diligence – confirmation information
Name:
provided is satisfactory and warrants no further
Position:
investigations/clarification at this stage in the proposal
Date:
process:
Part C - Proposed Partner Details – Financial considerations
Finance Department to complete and return to QES (collaborative@surrey.ac.uk)
C1
Is there a high turnover of senior staff?
Type your answer here
C2
Type your answer here
C5
Have there been any audit report qualifications in
the last 2 years?
Has the entity been profitable and is it forecast to
continue to be so?
If there is a P&L forecast, does this look
reasonable compared to historical numbers?
If the current year is a loss, what is the ratio of
reserves to this loss?
Is turnover declining?
C6
Are there any concerns over cash levels?
Type your answer here
C7a
Type your answer here
C7b
If there is a cashflow forecast, does it roughly tie
in with the P&L forecast?
Does this forecast cash to decline?
C8a
Are there any tangible fixed assets?
Type your answer here
C8b
Is the level appropriate for the size and nature of
the business?
Does the entity have net current assets or
liabilities? Are there any other concerns over
ability to meet liabilities (e.g. short term creditors
high compared to cash and debtors)?
Do the statutory accounts (figures, notes or
directors’ report) highlight an other areas of
concern? E.g. consider staff size, unusual or
increasing expenditure, borrowing levels, any
contingent liabilities, capital or other
commitments, over-reliance on single/few
customers.
Does the credit report indicate any other risks not
highlighted above such as legal charges on the
company’s assets?
Type your answer here
C3
C4
C4b
C9
C10
C11
Type your answer here
Type your answer here
Type your answer here
Type your answer here
Type your answer here
Type your answer here
Type your answer here
Type your answer here
Upon review of financial evidence supplied and section
above, please confirm whether there are any areas that
warrant further investigation/clarification:
Financial due diligence – confirmation information
Name:
provided is satisfactory and warrants no further
Position:
investigations/clarification at this stage in the proposal
Date:
process:
Part D - Proposed Partner Details – Legal considerations
Secretariat to complete and return to QES (collaborative@surrey.ac.uk)
For all levels of risk proposals, please complete questions D1 to D4
D1 Evidence that the partner follows both the
Type your answer here
University’s and relevant national legal
requirements (as per the Strategic Statement
criteria):
D2 Review of the constitutional documents for the
Type your answer here
proposed collaborative partner, highlighting any
issues for the University and its fulfilment of the
UK Quality Code:
D3 Please provide evidence that the proposed
Type your answer here
collaborative partner has power to enter into the
partnership:
D4 Provide details of the legal framework for the
Type your answer here
jurisdiction applying to the proposed party:
For medium to high-risk proposals, please complete questions D5 to D7
D5 Any recent legal judgements against the proposed Type your answer here
collaborative partner or any impending legal action
against it:
 Any litigation or arbitration proceedings
(whether as claimant or defendant);
 Any prosecution
 Any investigation or inquiry by a
government or official body
D6 Review of statutory or regulatory conditions of
Type your answer here
central or regional authorities:
Note any specific Data Protection requirements
appropriate to the proposal
D7 Detail any pertinent intellectual property
Type your answer here
rights/data protection requirements relevant to the
proposed collaborative partner or partnership:
Upon review of section above, please confirm whether
there
are
any
areas
that
warrant
further
investigation/clarification:
Legal due diligence – confirmation information provided Name:
is satisfactory and warrants no further
Position:
investigations/clarification at this stage in the proposal
Date:
process: