University for the Creative Arts Key QAE Summary of Recommendation to Leadership Team:

Section J Red – high risk

Yellow – medium risk

Green – Low risk

FORM J3

QUALITY ASSURANCE HANDBOOK

COLLABORATIVE PARTNERSHIP
DUE DILIGENCE REPORT TEMPLATE
(QAE Form)
For initial approval

QAE should choose the appropriate template and co-ordinate completion. Columns 1 & 2 of this template mirror Form J2 which the Faculty will have completed and submitted with accompanying evidence. Consequently QAE should be able to copy and paste across Column 2 of the Faculty submitted form J2.

J3.1 UK PUBLICLY FUNDED INITIAL DUE DILIGENCE

Institution Name
Institution Address
Proposed type of collaboration
(dual, validated, franchised)
Institution Type
(UK publicly funded, UK privately funded, International) / UK Publicly Funded
Date Form J1 approved by Leadership team (and any relevant commentary)
Outcome of Leadership Team consideration / [ ] Recommend to Academic Board partner proceeds to Institutional Approval & Course Validation (may be held on same day by delegating authority to the Chair of the Institutional Approval event to confirm the outcome on behalf of Academic Board)
[ ] Recommend to Academic Board partner proceeds to Institutional Approval
[ ] Defer decision pending further information
[ ] Decline prospective partner and cease consideration of collaborative partnership
Due diligence evidence Required / Document received from partner / Check conducted for / Comments / Comments provided by
Copies of most recent quality / inspection reports (i.e. Institutional, OFSTED,IQER, awarding bodies, professional and statutory bodies) / QAE Summary of Recommendation to LT / QAE
Details of existing or historic partnerships with other HEI’s (UK and international).
References from each partner should be provided (UCA may subsequently contact these institutions).
Where these collaborative partners have been subject to QAA Institutional Review / Higher Education Review / OFSTED please include the sections of the report relating to collaborative provision with the institution / QAE Summary of Recommendation to LT / QAE
Evidence of the secure financial standing of the partner institution (the audited accounts or equivalent records for the last 3 years) / QAE Summary of Recommendation to LT / Finance
Mission Statement or equivalent / QAE Summary of Recommendation to LT / Executive Dean (proposing Faculty)
Strategic Plan or equivalent / QAE Summary of Recommendation to LT / Executive Dean (proposing Faculty)
Organisational structure
Staffing structure
Physical resources of the Institution / QAE Summary of Recommendation to LT / Executive Dean (proposing Faculty)
Copies of Quality Assurance policies and procedures in place at the Institution / QAE Summary of Recommendation to LT / QAE
Confirmation that the Institution owns all intellectual property rights in work done by its staff under their contracts of employment
And
Clarification as to who owns the intellectual property rights in work done by its students / QAE Summary of Recommendation to LT / University Secretary
Bribery Act 2010
The Institution’s written policy that prohibits bribery (including facilitation payments), and an outline of the disciplinary or other mechanisms the institution would undertake to address suspected cases of bribery/fraud
(UCA requires this evidence to ensure that UCA complies fully with the UK Bribery Act 2010) / QAE Summary of Recommendation to LT / University Secretary
For Dual Awards Only:
Evidence that the Institution has the legal authority to establish dual award arrangements and that dual awards will be recognised in the Institutions country / QAE Summary of Recommendation to LT / University Secretary
Evidence that the Institution holds Highly Trusted Sponsor Status (HTS) – Immigration Tier 4 Licence (required for admitting international students) / QAE Summary of Recommendation to LT / Director of Internationalisation

FORM J3

QUALITY ASSURANCE HANDBOOK

COLLABORATIVE PARTNERSHIP
DUE DILIGENCE REPORT TEMPLATE
(QAE Form)
For initial approval

QAE should choose the appropriate template and co-ordinate completion. Columns 1 & 2 of this template mirror Form J2 which the Faculty will have completed and submitted with accompanying evidence. Consequently QAE should be able to copy and paste across Column 2 of the Faculty submitted form J2.

J3.2 UK PRIVATELY FUNDED INITIAL DUE DILIGENCE

Institution Name
Institution Address
Proposed type of collaboration
(dual, validated, franchised)
Institution Type
(UK publicly funded, UK privately funded, International) / UK Privately Funded
Date Form J1 approved by Leadership team (and any relevant commentary)
Outcome of Leadership Team consideration / [ ] Recommend to Academic Board partner proceeds to Institutional Approval & Course Validation (may be held on same day by delegating authority to the Chair of the Institutional Approval event to confirm the outcome on behalf of Academic Board)
[ ] Recommend to Academic Board partner proceeds to Institutional Approval
[ ] Defer decision pending further information
[ ] Decline prospective partner and cease consideration of collaborative partnership
Due diligence evidence Required / Document received from partner / Check conducted for / Comments / Comments provided by
Copies of most recent quality / inspection reports (i.e. Institutional, OFSTED,IQER, awarding bodies, professional and statutory bodies) / QAE Summary of Recommendation to LT / QAE
Details of existing or historic partnerships with other HEI’s (UK and international).
References from each partner should be provided (UCA may subsequently contact these institutions).
Where these collaborative partners have been subject to QAA Institutional Review / Higher Education Review / OFSTED please include the sections of the report relating to collaborative provision with the institution / QAE Summary of Recommendation to LT / QAE
Evidence of the secure financial standing of the partner institution (the audited accounts or equivalent records for the last 3 years) / QAE Summary of Recommendation to LT / Finance
Mission Statement or equivalent / QAE Summary of Recommendation to LT / Executive Dean (proposing Faculty)
Strategic Plan or equivalent / QAE Summary of Recommendation to LT / Executive Dean (proposing Faculty)
Organisational structure
Staffing structure
Physical resources of the Institution / QAE Summary of Recommendation to LT / Executive Dean (proposing Faculty)
Copies of Quality Assurance policies and procedures in place at the Institution / QAE Summary of Recommendation to LT / QAE
Confirmation that the Institution owns all intellectual property rights in work done by its staff under their contracts of employment
And
Clarification as to who owns the intellectual property rights in work done by its students / QAE Summary of Recommendation to LT / University Secretary
Bribery Act 2010
The Institution’s written policy that prohibits bribery (including facilitation payments), and an outline of the disciplinary or other mechanisms the institution would undertake to address suspected cases of bribery/fraud
(UCA requires this evidence to ensure that UCA complies fully with the UK Bribery Act 2010) / QAE Summary of Recommendation to LT / University Secretary
For Dual Awards Only:
Evidence that the Institution has the legal authority to establish dual award arrangements and that dual awards will be recognised in the Institutions country / QAE Summary of Recommendation to LT / University Secretary
Evidence that the Institution holds Highly Trusted Sponsor Status (HTS) – Immigration Tier 4 Licence (required for admitting international students) / QAE Summary of Recommendation to LT / Director of Internationalisation
Evidence of the legal status of the institution (so that UCA can assess the institution’s legal capacity to enter into collaboration)
UCA will need:
  • Name, trade name (if different) and principal address;
  • A copy of the constitutional documents for the Institution;
  • Evidence that the Institution has power to enter into the proposed collaboration
  • Description of the ownership and governance structure of the Institution
  • Details about how the Institution is funded
/ QAE Summary of Recommendation to LT / University Secretary
Details of any of the following disputes which are current, known to be pending, in relation to the Institution:
  • Any litigation or arbitration proceedings (claimant or defendant)
  • Any prosecution
  • Any investigation or inquiry be a governmental or official body
/ QAE Summary of Recommendation to LT / University Secretary

FORM J3

QUALITY ASSURANCE HANDBOOK

COLLABORATIVE PARTNERSHIP
DUE DILIGENCE REPORT TEMPLATE
(QAE Form)
For initial approval

QAE should choose the appropriate template and co-ordinate completion. Columns 1 & 2 of this template mirror Form J2 which the Faculty will have completed and submitted with accompanying evidence. Consequently QAE should be able to copy and paste across Column 2 of the Faculty submitted form J2.

J3.3 INTERNATIONAL INITIAL DUE DILIGENCE

Institution Name
Institution Address
Proposed type of collaboration
(dual, validated, franchised)
Institution Type
(UK publicly funded, UK privately funded, International) / International
Date Form J1 approved by Leadership team (and any relevant commentary)
Outcome of Leadership Team consideration / [ ] Recommend to Academic Board partner proceeds to Institutional Approval & Course Validation (may be held on same day by delegating authority to the Chair of the Institutional Approval event to confirm the outcome on behalf of Academic Board)
[ ] Recommend to Academic Board partner proceeds to Institutional Approval
[ ] Defer decision pending further information
[ ] Decline prospective partner and cease consideration of collaborative partnership
Due diligence evidence Required / Document received from partner / Check conducted for / Comments / Comments provided by
Copies of most recent quality / inspection reports (i.e. Institutional, OFSTED,IQER, awarding bodies, professional and statutory bodies) / QAE Summary of Recommendation to LT / QAE
Details of existing or historic partnerships with other HEI’s (UK and international).
References from each partner should be provided (UCA may subsequently contact these institutions).
Where these collaborative partners have been subject to QAA Institutional Review / Higher Education Review / OFSTED please include the sections of the report relating to collaborative provision with the institution / QAE Summary of Recommendation to LT / QAE
Evidence of the secure financial standing of the partner institution (the audited accounts or equivalent records for the last 3 years) / QAE Summary of Recommendation to LT / Finance
Mission Statement or equivalent / QAE Summary of Recommendation to LT / Executive Dean (proposing Faculty)
Strategic Plan or equivalent / QAE Summary of Recommendation to LT / Executive Dean (proposing Faculty)
Organisational structure
Staffing structure
Physical resources of the Institution / QAE Summary of Recommendation to LT / Executive Dean (proposing Faculty)
Copies of Quality Assurance policies and procedures in place at the Institution / QAE Summary of Recommendation to LT / QAE
Confirmation that the Institution owns all intellectual property rights in work done by its staff under their contracts of employment
And
Clarification as to who owns the intellectual property rights in work done by its students / QAE Summary of Recommendation to LT / University Secretary
Bribery Act 2010
The Institution’s written policy that prohibits bribery (including facilitation payments), and an outline of the disciplinary or other mechanisms the institution would undertake to address suspected cases of bribery/fraud
(UCA requires this evidence to ensure that UCA complies fully with the UK Bribery Act 2010) / QAE Summary of Recommendation to LT / University Secretary
For Dual Awards Only:
Evidence that the Institution has the legal authority to establish dual award arrangements and that dual awards will be recognised in the Institutions country / QAE Summary of Recommendation to LT / University Secretary
Evidence of the educational system, awards and governmental agency requirements for approval / QAE Summary of Recommendation to LT / University Secretary
Evidence of the legal status of the institution (so that UCA can assess the institution’s legal capacity to enter into collaboration)
UCA will need:
  • Name, trade name (if different) and principal address;
  • A copy of the constitutional documents for the Institution;
  • Evidence that the Institution has power to enter into the proposed collaboration
  • Description of the ownership and governance structure of the Institution
  • Details about how the Institution is funded
/ QAE Summary of Recommendation to LT / University Secretary
Details of any of the following disputes which are current, known to be pending, in relation to the Institution:
  • Any litigation or arbitration proceedings (claimant or defendant)
  • Any prosecution
  • Any investigation or inquiry be a governmental or official body
/ QAE Summary of Recommendation to LT / University Secretary

Quality Assurance Handbook 2015/16