Due diligence - know your partner

What is the purpose of a due diligence investigation of a partner and a partner institution?

The purpose of due diligence is to get to know your partner as thoroughly as possible. This forms an important foundation for trustworthy, mutually beneficial and responsible collaborative relationships. Conducting “due diligence” on a partner also enables you to identify possible risk factors at an early stage, so they can be addressed and potential harm avoided.

What does a due diligence investigation involve?

In knowledge collaboration, “due diligence” refers to the mapping and analysis of the collaboration (partner/partner institution and thematic area) in relation to goals, strategies, ethics, etc. The aim of due diligence is therefore not to hinder or complicate cooperation, but to strengthen the planning and organisation of international knowledge collaboration. Such mapping should be carried out based on the institution’s and research field’s values and risk profile. Risk assessments are thus an important part of due diligence, but this investigation also provides a better basis for exploring opportunities in international collaboration.

What are the basic steps in a risk assessment in knowledge collaboration?

The EU Commission has published a brief guide highlighting the following basic steps in risk assessment of international research collaboration :

• Your organisation’s profile (strengths and weaknesses)
• The research field involved
• Risk profile regarding the country of collaboration and partner institution
• The profile of the partner institution (strengths and weaknesses)

The Research Council has provided an overview of the basic steps in a risk assessment (in Norwegian) related to research security. This includes knowledge bases and risk assessments concerning sensitive technologies (KVAST) (in Norwegian).

What should be mapped and assessed in due diligence of individuals?

In due diligence at the individual level, it is relevant to map political, ideological and commercial agendas, board positions, and other connections to military activity or companies with unclear profiles. As part of the mapping, it may be useful to check previous relationships with foreign partners to see if there have been any issues or incidents that have caused problems.

For background checks of researchers, visiting researchers and collaborators, the guide “Due Diligence in Science. Manual for an assessment process: safeguarding science and scientific cooperation”, developed by DLR Projektträger, suggests the following mapping:

• Is the person on sanction or embargo lists?
• What education, skills and research results do the person have?
• Who does the person currently work for, and who have they worked for previously?
• Has the person received research funding or participated in projects?
• Which research environments and knowledge institutions has the person collaborated with?
• Does the person have contact with the private sector or military organisations?
• Is the person connected to groups or institutions with terrorist purposes?
• Does the person have a criminal record?
• From which sources do the person receive research funding or scholarships?
• Are there any potential conflicts of interest?

Use Web of Science as an information source

Some of this information can be mapped using databases such as Web of Science or Scopus . Gunnar Sivertsen (NIFU) has created guidance on how relevant information can be extracted from these databases regarding people’s institutional affiliation, previous collaborations and funding sources.

What should be mapped and assessed in due diligence of institutions?

• Is the institution on sanction or embargo lists?
• Is the institution on other important lists?
• What is the institution’s background, reputation and academic results?
• Who are the main funders, and has the institution received substantial support?
• Is the institution a member of associations?
• Does the institution have contact with military institutions or organisations?
• Has the institution worked with sensitive or high-risk topics?
• Is the institution involved in private business?
• Does the institution have active collaborations with other institutions in Norway or abroad?
• Is the institution involved in national or international committees?
• Does the institution participate in work with standards nationally or internationally?

Source:“Due Diligence in Science. Manual for an assessment process: safeguarding science and scientific cooperation”.

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