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Risk reviews

In order to understand and mitigate potential risks on research projects it is a University requirement that either a risk review dashboard, RRD, or a risk review declaration, DEC, is completed before an application for external research grant/contract funding is submitted and before an award is accepted. These are not required for Outline Applications or Donations (because they have been through the donation process). This process underpins our financial delegation and approvals process.

The risk review dashboard or declaration will be initiated by your Faculty Research Office and sent to the PI for completion. The completed dashboard or declaration will be used in the approvals process by the Primary, Secondary and Central Approvers, in conjunction with the contracts review process and a review of project finances in KRISTAL to support their decision to approve an application or award.

For each application and award the Faculty Research Office will determine whether a risk review dashboard is required or whether it is possible that a risk review declaration could be used instead. The declaration can be used for certain types of low risk projects and requires the PI to confirm that a number of other risk related University processes will be followed where required (for example ethical review and health & safety risk assessment), and that there are no high risk issues (for example conflicts of interest). Where a declaration is permissible in place of a dashboard the PI must determine whether they can agree to the declaration. If the PI cannot agree to the declaration then a risk review dashboard must be completed.

All completed risk review dashboards and declarations and any supporting documents must be stored in the relevant faculty folder which is managed by the FRIO. Documentation for FRIOs around this can be found here.

Other considerations

As part of your risk assessment, you may also need to consider the following:

Guidance on Trusted Research

Guidance on Export Controls