BUSINESS CASE FORM FOR COLLABORATIVE
PROVISION for
[Insert name of proposed collaborative partner]
Confidential
EXPLANATORY NOTE
This form is used to gather accurate information as part of the University’s rigorous approval,
risk assessment and due diligence procedures. It will form part of the first stage of the
approval process. The information provides the basis for the due diligence and risk
assessment procedures and if necessary an Information gathering visit to potential
collaborative partners by a representative of the Directorate of Quality Enhancement and
Standards/International Relations Office/Faculty.
As such, it is important that the information contained within this form is both accurate and
verifiable (including information on the proposed institution’s legal and financial status).
Please note that this information will be submitted to the University’s Legal and Financial
departments for consideration.
All information contained in this form must be in the English language, where applicable
documents in another language must be accompanied by an independent translation.
Please complete the form in Word (i.e. type, do not handwrite).
Please refer to the guidance notes for completion of the business case form and ensure all
relevant sections are completed fully and do not leave any blank sections. If you consider
that a section of the form does not apply please mark as not appropriate.
We suggest that you retain photocopies of the documents you send us. Please provide us
with a full set of documents labelled to correspond with the numbering in the sections
overleaf.
You are required to complete Section A of the appropriate due diligence report and submit
both report and form to collaborative@surrey.ac.uk.
Please note that incomplete or false information will lead to the termination of the process
and will result in the University not being able to progress the collaborative provision
proposal.
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Guidance notes for completion of business case form
(refer to the Code of Practice for the approval and management of collaborative provision)
Guidelines for completion
1.
2.
3.
4.
5.
It is acknowledged that before completing the business case form there may be a
requirement for discussions to take place with the potential collaborative partner. It is
fundamental that it is made clear to the potential partner that the discussions
constitute initial sharing information only and do not constitute any form of contractual
negotiations.
Before completing the business case form, Faculties should have contacted the
Faculty Business Manager and the Marketing Department to ensure the financial
business case and the marketing insight have been prepared and approved through
the Faculty management approval process, if relevant.
Please note that not all the questions in the business case form will be relevant to all
forms of collaborative provision. Provide answers to the applicable questions only
and state not applicable to those questions that are not relevant.
It is essential for the proposer to evidence that due diligence and risk assessment
activities have been considered and undertaken appropriate to the nature of the
proposed collaboration (evidenced by the completion of the due diligence report).
Information on the potential collaborative partner’s existing or previous collaborations
may be available from the partner’s web pages and the current QAA pages.
Which sections to complete
1.
2.
3.
4.
For proposed collaborations involving supervision of research students leading to a
single award (collaborative supervision, split-site and off-site collaboration), please
complete Parts A, B and E.
For undergraduate and postgraduate taught proposals that are low-risk in all three
measures (as indicated in the risk assessment tool), please complete parts A, C and
E.
Undergraduate/postgraduate/postgraduate research proposals that are medium to
high-risk in any of the three measures, please complete Parts A, D and E. Following
Executive-level approval, you will be asked to submit the appropriate approval form
for academic consideration. Further investigation or monitoring arrangements or
production of an action plan maybe requested.
If the proposal is not covered by those activities stipulated in the Process Flowcharts
and detailed in the taxonomy or you require further guidance on completion of the
business case form, please contact Directorate of Quality Enhancement and
Standards for advice on how to proceed.
Key
Guidance text in red / Section titles in black
Please note: Proposals for new Study abroad or Erasmus placements should be directed to
the International Relations Office.
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Part A: General information
Part A should be completed for all proposals by the proposing School/Department/Faculty and
should not be sent to the proposed partner.
1. Contact details
Proposer (name of individual):
Type your answer here
It is expected that the proposer will take responsibility for the subsequent development of the proposal and,
if the collaboration is approved, take on the role of Programme Leader (if relevant) for the duration of the
Programme, liaising closely with the partner and with Directorate of Quality Enhancement and Standards
in this respect.
Faculty:
School/Department:
Name of collaborative partner:
Name of contact:
Job title:
Correspondence address:
Postcode:
Email:
Direct line:
Website:
Full title of proposed collaborative
proposal or programme (with pathways if
appropriate):
To your knowledge, are there any existing
links between the University and the
proposed partner? Please specify the
nature of these links:
Type your answer here
Type your answer here
Type your answer here
Proposed start date of
agreement/collaboration/programme:
Type your answer here
Professional, Statutory and Regulatory
Body (PSRB) approval (if relevant):
If PSRB involvement, please complete Question
C10.
Type your answer here
Type your answer here
2A. Type of collaboration
Please tick all that apply
Low risk
Medium risk
High risk
 Progression
arrangement
 Placement/work Visiting student
based learning
collaborative element
 Postgraduate research
 Postgraduate
 Postgraduate
collaborative coresearch split-site
research off-site
supervision
collaboration
collaboration
 Articulation arrangement
 Partnership delivery
 Dual undergraduate
 Dual postgraduate
 Dual postgraduate
taught
research
If the type of collaboration proposed is not
listed above, please specify:
Type your answer here
2B. Level of collaboration
Please tick all that apply

University wide
 Faculty
 School/Department
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2C. Principles of collaboration compliance
Please confirm the proposal meets the specified key principles which underpins all of the University’s
collaborative activity (please tick all that apply)
According to the
Supports the achievement of the University’s aims and objectives
Strategic Statement
(Code of practice
Able to effectively meet the University’s responsibilities for the quality
for the approval
and standards of University awards
and management
Able to uphold the University’s academic standards
of collaborative
provision, Appendix
Follows both the University’s and relevant legal requirements
1), the University
will only enter into
collaborations with
Meets the University’s financial requirements
proposal partners
in conjunction with
Meets or exceeds the University’s aims for an excellent student
the following
experience
principles:






3. Risk assessment
The proposing School/Department/Faculty for national collaborative arrangements, or in conjunction with
the International Relations Office (International Relations Office) for international arrangements, should
complete a risk assessment for each collaborative partner. This section should not be sent to the
proposed collaborative partner.
Please insert the relevant numerical value in the statement below which best describes the level of risk of
the proposed collaboration. Please note that the greyed out boxes cannot be selected.
Context – related measures
Low
risk
1 point
Medium
risk 2
points
Socio-political context:
Politically stable
Politically unstable
Unstable (open conflict or disorder)
Economic context:
Major economic power (GB or equivalent)
Developed world/emergent economy
Developing world
Partner’s quality assurance systems:
Defined and robust
Adequate/developing
Minimal/none
National stance on overseas collaboration (for international proposals only):
Wholly permissive
Unclear/potentially changeable
Collaboration arrangements are not encouraged
Low
Medium
Partner – related measures
risk
1 point
risk 2
points
High risk
3 points
High risk
3 points
Partner’s status:
Publicly funded HEI / Publicly funded FE College
Private HEI
Private FE – level College / Other organisation
Partner’s financial status:
Well/reasonably funded by state/regional authorities
Profitable, private organisation on basis of two 2 years accounts
Poor/barely adequate funded by state/regional authorities or
poorly funded private organisation or with fluctuating or
incomplete financial record
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Partner’s capacity:
Large (broad range of provision) and well resourced
Medium/small (limited range or specialist) and resourced
Limited/poorly resourced
Partner’s experience and expertise in collaboration with UK HE (for international
proposals only):
Very experienced at this level
Programmes at this level in other fields or at a lower level in this
field
No other programmes in this field or no experience of UK HE
programmes in collaboration
Low
Medium
Collaboration – related measures
risk
1 point
risk 2
points
High risk
3 points
Language of instruction and assessment:
All instruction and assessment in English
All assessment in English but some instruction in local language
All instruction and all assessment in local language
Type of collaboration:
Low-risk
Medium-risk
High-risk
Overall total:
Commentary/further information
Type your answer here
Please provide any further
information or rationale determining
the completion of the risk
assessment:
Score and status - The overall total score of any proposal will lie between 10 (min) and 30 (max)
with a status range and associated implication of:
Score
Score implication
Please
status
tick risk
level
10-15 as
proposals will be allowed to proceed

low risk
15-20 as
proposals will normally be allowed to proceed with possible additional

medium
monitoring arrangements or detailed action plan may be put in place
risk
depending on the context of the proposal
20-30 as
proposals will normally not be allowed to proceed

high risk
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Part B: Postgraduate research programmes collaborative activity - low risk
B1
Please explain the rationale for the proposed collaborative partnership.
Type your answer here
B2
Is it proposed to offer fee reductions?
If yes, please attach the Fees, Bursaries and Scholarships Operations Group signed fee
reduction proposal form (refer to paragraph 21 in the Code of practice for the approval
and management of collaborative provision).
Type your answer here
B3
How is it anticipated that costs relating to the collaboration (e.g. travel for joint supervision;
fee waivers), be covered and by whom?
Please specify:
Type your answer here
B4
Is funding being applied for that is contingent on this partnership?
Please specify:
Type your answer here
B5
How many School/Department staff will/might be involved (academic and administration)?
What impact will that have on the School/Department’s teaching, research and
administration? How will that impact be mitigated?
Type your answer here
B6
Please provide any further information/comments relevant to this application that have not
been documented elsewhere in this questionnaire.
Type your answer here
Next stage: Please complete Part E approval signatures
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Part C: Undergraduate and taught postgraduate collaborative activity - low-risk
C1
Please explain the rationale for the proposed collaborative partnership.
Type your answer here
C2
Confirm the legal arrangements, including the legal jurisdiction under which disputes will
be resolved (e.g. the laws of England and Wales)
Type your answer here
C3
How many School/Department staff will/might be involved (academic and administration)?
What impact will that have on the School/Department’s teaching, research and
administration?
How will that impact be mitigated?
Type your answer here
C4
Is it proposed to offer fee reductions?
If yes, please attach the Fees, Bursaries and Scholarships Operations Group signed fee
reduction proposal form (refer to paragraph 21 in the Code of practice for the approval
and management of collaborative provision).
Type your answer here
C5
In the case of overseas collaborative partner organisations, please list the contact details
for the Pro Vice-Chancellor (International Relations) (or equivalent) for any queries:
Partner contact name, job
title
Email address of person
Telephone number
C6
If applicable, what mechanisms will be in place to ensure the accuracy of all published
information (print and electronic) relating to the partnership?
Type your answer here
C7
Provide information on the mechanisms for managing the relationship with the programme
team at the partner institution.
Type your answer here
C8
Please provide any further information/comments relevant to this application that have not
been documented elsewhere in this questionnaire.
Type your answer here
Next stage: Please complete Part E approval signatures
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Part D: All medium to high-risk collaborative activities
D1
Please explain the rationale for the proposed collaborative partnership.
Type your answer here
D2
Provide a brief summary of the potential market for the programme and details of your
recruitment strategies. Highlight any market research already undertaken and the
findings of that research.
Type your answer here
D3
Specify which areas of the University’s Strategic Plan and International Strategy the
collaboration aligns with, and indicate what benefits will the collaboration bring to the
Institution and its students?
Type your answer here
D4
List the target key performance indicators for the first year of the partnership:
Type your answer below
i.
ii.
iii.
D5
Does the collaborating partner have collaborative links with any other degree
awarding bodies?
Type your answer here
If so, will the institution retain these or is the proposed collaboration intended to
replace any of these links?
Type your answer here
D6
How long is it planned to offer the partnership in the first instance (e.g. number of
initial cohorts; length of agreement)?
Type your answer here
Proposed start date: Type your answer here
D7
Provide information on the managerial structure of the partner institution and
responsibilities of key post holders, including those authorised to sign agreements for
an on behalf of the institution and any specific approval processes.
Type your answer here
D8
Evidence that the proposed collaborative partner has power legally to enter into the
proposed collaboration (e.g. permission granted in the University’s charter, statutes,
ordinances).
Type your answer here
For international collaborations, details of the legal framework for the jurisdiction
applying to the provision of higher education in respect of the proposed collaboration.
Type your answer here
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For dual degrees only please provide copies of the partner’s constitutional
documents.
Attached

D9
How many School/Department staff will/might be involved (academic and
administration)? What impact will that have on the School/Departments’s teaching,
research and administration? How will that impact be mitigated?
Type your answer here
D10
In the case of international collaborative partner organisations, please provide the
contact details for the Pro Vice-Chancellor (International Relations) (or equivalent) for
any queries:
Partner contact name, job
title
Email address of person
Telephone number
D11
In order for a financial risk assessment can be carried out please provide the contact
details for any financial queries:
Partner contact name, job
title
Email address of person
Telephone number
D12
D13
Is it proposed to offer fee reductions?
If yes, please attach the Fees, Bursaries and Scholarships Operations Group signed
fee reduction proposal form (refer to paragraph 21 in the Code of practice for the
approval and management of collaborative provision).
Type your answer here
Provide information on the mechanisms for managing the relationship with the
programme team at the partner institution (including providing a named contact, and
communication regarding procedures and timelines)?
Type your answer here
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D14
What mechanisms will be in place to ensure the accuracy of all published information
(print and electronic) relating to the partnership?
Type your answer here
D15
Details of any known failure by the institution to comply with any relevant applicable
statutory requirements in respect of the conduct of an education institution.
Type your answer here
D16
Please provide any further information/comments relevant to this application that have
not been documented elsewhere in this questionnaire.
Type your answer here
Next stage: Please complete Part E approval signatures
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Part E: Faculty- level approval
Signature of appropriate supporting Student Services and
Administration Directorate staff:
Date:
Print name:
Signature of Faculty Executive Dean or nominee
(i.e. Faculty AD(LT)/AD (International) / AD (Research) /
Postgraduate Director:
Date:
Print Name:
Confirmation
I hereby certify that the statements and information in this form are true and correct, and I
authorise the Directorate of Quality Enhancement and Standards/Secretariat/Finance to
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.
Proposer name:
Signature:
Date:
Next stage:

Submit form (with the Due Diligence Report (Part A completed) and Learning
Resources Questionnaire if applicable) to the Directorate of Quality Enhancement
and Standards at collaborative@surrey.ac.uk
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Directorate of Quality Enhancement and Standards office use
Documents to be attached for Executive Board approval:



Due diligence report
Learning resources questionnaire (if applicable)
Fee reduction proposal form (if applicable)
Date of International Relations Executive Group approval (for international
proposals only)
Outcome
Tick as
Reason
decision
appropriate
Proceed

Revise

Reject

Date of Executive Board approval to proceed (for business case approval
of high to medium-risk proposals)
Outcome
Tick as
Reason
decision
appropriate
Proceed

Revise

Reject

Date of University Learning and Teaching Committee/University Research
Degrees Committee approval (for academic case approval)
Outcome
Tick as
Reason
decision
appropriate
Proceed

Revise

Reject

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