DUE DILIGENCE REQUEST FORM

Requested by: ...... Date:

Requested for (if different): ...... Priority:...HIGH MEDIUM LOW

Contact details: ...... Deadline:

Report required:

Basic Due Diligence...... 

EnhancedDue Diligence...... 

PLEASE NOTE THAT THIS REPORT MAY BE DISCLOSABLE TO ITS SUBJECT, ON RECEIPT OF A SUBJECT ACCESS REQUEST.

The form below outlines the key areas and topics that the Prospect Researcher will consider when completing a Due Diligence Report.

In the Due Diligence Report, the Prospect Researcher will detail conflicts of interests and/or other potentially sensitive information relating to the researched person or organisation, where they can be reasonably sourced. However, one of the most important aspects of the due diligence audit trail is that known conflicts of interests and other known sensitive information are declared by the requesting person. Please therefore provide any information that may aid the Prospect Researcher. Where not known, or not applicable, please indicate this.

All information provided in this form will be treated confidentially and stored securely within OPPA at all times.

Area / Points to consider / Notes
What is to be researched? / •Person, organisation, or other
•Name and address
•Job title
•Company
•Link to profile (if possible)
•Does the donor wish to be anonymous (if so, why [if known]?)
•RE Constituent ID number (if available)
•Other
Reason for check? / •If proposed gift:
  • Amount to be funded
  • Source of funds, including country (if known)
  • Activities to be funded
  • Lead Faculty/Department
  • Lead academic
  • Duration of gift
•If other relationship:
  • Intended purpose of relationship: for example, strategic partnership or potential donation
•Other
Any potential influence? / Is there any involvement in, or influence on, University/academic decision-making as a result of the gift or relationship?
•For example:
  • Does the gift agreement/gift negotiation include any conditions in respect of the donor’s membership of an advisory board, an appointment panel, etc.?
  • Does the gift agreement/gift negotiation include any gift termination clauses that could influence University decision-making?
  • Does the gift agreement/gift negotiation include any constraints on academic activity (for example, donor approval of publications, relationships with academics)?
  • Does the gift agreement/gift negotiation include any constraints on student activity, student selection, or student privacy?
•Other
Financial / Do you – the requesting person – know of any particular financial concerns to which you wish to draw the Researcher’s attention?
For example:
•Any association with the defence industries (particularly the manufacture and sale of armaments to military regimes)
•Any association with activities which may infringe privacy (for example, the design or manufacture of surveillance equipment)
•Any association with activities which may contravene animal welfare standards
•Any association with activities which may contravene environmental standards
•Any association with the manufacture and sale of tobacco
•Any association with the manufacture and sale of pornography
•Any association with the manufacture and sale of alcohol
•Any association with gambling
•For sources originating from outside the UK: any financial risks associated with this country, particularly the rigour of financial and legal frameworks in this area
•Other
Legal / Do you – the requesting person – know of any particular legal concerns to which you wish to draw the Researcher’s attention?
For example:
•Tax evasion
•Fraud
•Bribery
•Corruption
•Violation of international conventions on human rights
•Environmental damage
•Sanctions or warnings
•Previous court actions/ judgments/convictions/
investigations/inquiries
•Discrimination against individuals in any shape or form
•Other
Reputational / Do you – the requesting person – know of any particular reputational concerns to which you wish to draw the Researcher’s attention?
For example:
•Any controversies/allegations/negative news articles relating to that individual or company, even by association, such as country, government, political views?
•Other
Relationship / Please outline any known existing links between the individual or company and the University of York.
•Nature of any previous/current relationships with the University of York, its staff and students
•Any potential conflict(s) of interest
•Other

The ProspectResearcher will endeavour to complete Reports by the deadline you have specified. If for any reason this is not possible you will be informed in advance of the specified deadline. We ask in return that research requests are submitted with reasonable notice of AT LEAST THREE WEEKS.

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