Due Diligence, Managing Risk and Safeguarding
Overseas projects usually involve working with research partners and other third parties. All relationships with third parties entered into by the College should be subject to due consideration at the appropriate level. Suitable due diligence checks and risk assessments are required before establishing these relationships. Researchers working overseas should also be mindful of their safeguarding responsibilities.
Due Diligence, Managing Risk and Safeguarding Accordion
1. Identifying Partners
Many research projects will involve working with new and existing external partners (UK and overseas) who are responsible for delivering aspects of the overall programme. Third party relationships should support the College's mission and strategic aims while being consistent with the College’s overall objectives. More information can be found on the Identifying Partners webpage.
All relationships with third parties should not violate any applicable UK and US sanctions laws. Those involving entities in sensitive countries will receive additional due diligence and verification under the College’s Relationship Review Policy. Sensitive countries listed in Appendix A of the Relationship Review Policy require the ‘due diligence proforma’ in Appendix B of the Policy to be completed and submitted to the Head of Department or equivalent, and is subject to further consideration by the College’s Scrutiny Committee.
2. Due Diligence checks on research Third Parties
When working with Third Parties (UK and overseas), it is important that a rigorous risk assessment is undertaken. Many of the College’s main funders require lead institutions to carry out appropriate due diligence checks on Third Parties who undertake activities funded by a research grant or contract. To support this, the Research Office has developed the Research Third Parties Framework for Managing Due Diligence. The Framework applies to all externally funded research activities and sets out the operational process and responsibilities for identifying, assessing and mitigating risks associated with Third Party relationships.
3. Managing Risks
Guidance on the key risk areas, how risk is measured and the possible mitigating actions to manage risk can be found on the Managing Risks webpage.
4. Safeguarding for Research Projects
Safeguarding is the action taken to promote the welfare of children under the age of 18 and vulnerable adults and protect them from harm. Within research projects this may include staff, students and collaborators and anyone in the UK or overseas who is directly affected by the research activities, e.g. research subjects, patients, local communities etc. Imperial has policies and procedures to support researchers in the identification, disclosure and mitigation of Safeguarding concerns. More information can be found on the Safeguarding for Research Projects webpage.
You can also download the Safeguarding Internationally (pdf) leaflet for guidance on what is expected regarding safeguarding and welfare when operating abroad.