Risks associated with defined partners

We need to understand who we are partnering with and assess any financial, reputation and operational risks. The risk is likely to be low when working with public sector and government bodies and could be higher with private sector organisations and international partners.

The risks associated with engaging with partners are described within the Research and Enterprise Due Diligence Process. They fall into three categories:

Reputational

‘Association with a funder, an individual with significant control or project that could damage Lancaster University’s reputation or the research community as a whole. Receipt of funding from one partner that could unduly damage the University’s relationship with another.’

This could include partners with links to the military and in a hostile state for example.

Consider whether a potential partner's values align with those of the University. For example, the University has a Climate Emergency Carbon Reduction Plan. Do the partners' values align with this plan?

Financial

‘Understanding the financial standing of partners/funders and that there are robust financial management and record keeping processes in place to enable the University and its partners to claim from funders against auditable expenditure.’

This risk can arise when carrying out enterprise activities, such as consultancy, and collaborative and contract research.

The organisational legal status is one of the assessments that can be used to help assess this risk – with a high risk associated with private sector organisations without audited accounts and when working with international partners with high country, business and corruption risks.

Operational

‘Consideration of how effective safeguarding and health and safety issues are addressed. Country constraints such as corruption risks and transferring funds and/or know-how, particularly research that involves the export of controlled knowledge, technology or physical items to a partner outside of the UK.’

UK Export control law should be considered if engaging with international partners. This applies when items, including physical exports, technology, intellectual property, and know-how for example, are transferred out of the UK – this could be physically or electronically. The UK Strategic Export Control List is a consolidated list of both military and dual-use items and technology subject to UK export controls. Dual-use items refer to goods, software and technology that are being used for civilian purposes but could also have military applications. Further information is available on the Export Controls section of the website.

Safeguarding means protecting someone’s health, wellbeing and human rights; enabling them to live free from harm, abuse and neglect. If you are organising or delivering research and engagement activities, you must ensure that you have considered any safeguarding risks and are following the University guidance on safeguarding. The University has a 'Safeguarding at Lancaster University' online course with practical steps you can take to anticpate, mitigate and address the risks of exploitation, abuse and harm in your engagement activities. You are encouraged to complete the course prior to undertaking engagement activities.

Health and Safety must be considered for any engagement activity. A risk assessment needs to be done using the Record of Risk Assessment form. More guidance for university staff is available on the Health and Safety section of the intranet.

The university is committed to creating a fairer and more inclusive environment for all staff, students, visitors and the wider university community. You will need to consider how Equality, Diversity and Inclusion (EDI) considerations can be integrated into your engagement activities. Further guidance is available in the <Accessibility and Inclusion section of the Portal and available through contacting the EDI team: edi@lancaster.ac.uk.

Conducting a Due Diligence First Check

A light-touch check should be undertaken during the initial stages of establishing a partnership. Guidance on the checks to be carried out is on the Due Diligence Procedure. Whilst this applies to funding applications, much of the guidance is equally applicable to an engagement project with external partners.

More support and guidance is available through the Trusted Research and Innovation webpages.

Support for staff receiving adverse attention when carrying out media engagement

This may occur when taking part in media engagement, including social media. Whilst the instances of reported cases to the University are very low, if adverse attention does occur it can impact your mental health, wellbeing and personal safety. Firstly, there is no pressure on any member of staff to undertake media engagement, but if you do support is available to you so that you have a positive experience

You are encouraged to seek advice from the Press or Social Media team before undertaking media engagement. This allows you to explore the risks - important if your communication has the likelihood of being contentious.

If adverse attention does occur, then the Press or Social Media team are at hand to provide advice. This can include out-of-office hours support if needed.