Anti-bribery policy

1. Overview

1.1 It is the policy of the University of Dundee to conduct business in an honest and ethical manner consistent with the University Values and the Nine Principles of Public Life in Scotland.

1.2 As part of this policy, the University takes a zero-tolerance approach to bribery and corruption and is committed to acting professionally, fairly and with integrity in all its business dealings and relationships, wherever it operates, and implementing and enforcing adequate procedures to prevent and counter bribery.

2. Purpose

2.1 The University will uphold all laws relevant to countering bribery and corruption in all the jurisdictions in which it conducts business, including, in the UK, the Bribery Act 2010 (the Act), which applies to conduct both in the UK and abroad.

3. Who does this policy apply to?

3.1 This policy applies to all individuals working for, or on behalf of, the University at all levels and grades, whether permanent, fixed-term or temporary, and wherever located, including students, consultants, contractors, seconded staff, casual staff, agency staff, volunteers, agents, sponsors and any other person who performs services for or on behalf of the University (collectively referred to as Staff in this policy).

3.2 In this policy, Third Party means any individual or organisation that Staff come into contact with during the course of their work and the running of the University’s business, and includes actual and potential students, intermediaries, referrers of students, staff, work, grants, suppliers, distributors, contractors, business contacts, agents, advisers, government, funding councils, regulators and public bodies (including their advisers, representatives and officials), politicians and political parties.

4. What is bribery?

4.1 A bribe is an inducement or reward offered, promised or provided in order to improperly gain any commercial, contractual, regulatory or personal advantage, which may constitute an offence under the Act, namely:

• giving or offering a bribe
• receiving or requesting a bribe; or
• bribing a foreign public official

4.2 The University may also be liable under the Act if it fails to prevent bribery by an associated person (including, but not limited to Staff) for the University’s benefit.

5. Gifts and hospitality

5.1 This policy does not prohibit normal and appropriate gifts and hospitality (given and received) to or from Third Parties unless otherwise specifically stated.

5.2 However, we have specific internal policies and procedures which provide guidance to Staff as to what are to be regarded as normal and appropriate gifts and hospitality in terms of financial limits, subject to the principles set out below, namely that any gift or hospitality:

• must not be made with the intention of improperly influencing a Third Party or member of Staff to obtain or retain business or a business advantage, or to reward the provision or retention of business or a business advantage, or in explicit or implicit exchange for favours or benefits
• must comply with local law in all relevant countries
• must be given in the name of the organisation, not in an individual’s name
• must not include cash or a cash equivalent
• must be appropriate in the circumstances
• must be of an appropriate type and value and given at an appropriate time taking into account the reason for the gift
• must be given openly, not secretly
• in the case of gifts, they must not be offered to, or accepted from, government officials or representatives, politicians or political parties, without the prior approval of either (i) the University Secretary; (ii) Director of Finance; (iii) Director of Academic and Corporate Governance; and/or (iv) the Director of Legal; and
• must be declared, in line with the terms of the internal policies and procedures referred to above, if it is not of an appropriate type and value and/or is given at an inappropriate time

5.3 The University appreciates that the practice of giving business gifts varies between countries and regions and what may be normal and acceptable in one region may not be in another.

5.4 The test to be applied is whether in all the circumstances the gift or hospitality is reasonable and justifiable both in the UK and any other relevant country. The intention behind the gift should always be considered.

6. What is not acceptable?

6.1 It is not acceptable for any member of Staff (or someone on their behalf) to:

• give, promise to give, or offer, a payment, gift or hospitality with the expectation or hope that they or the University will improperly be given a business advantage, or as a reward for a business advantage already improperly given
• give, promise to give, or offer, a payment, gift or hospitality to a government official, agent or representative to facilitate or expedite a routine procedure
• accept payment from a Third Party where it is known or suspected that it is offered or given with the expectation that the Third Party will improperly obtain a business advantage
• accept a gift or hospitality from a Third Party where it is known or suspected that it is offered or provided with an expectation that a business advantage will be improperly provided by the University in return
• threaten or retaliate against another member of Staff who has refused to commit a bribery offence or who has raised concerns under this policy; or
• engage in any activity that might lead to a breach of this policy or bring the University into disrepute.

7. Facilitation payments

7.1 The University does not make, and will not accept, facilitation payments of any kind, such as small, unofficial payments made to secure or expedite a routine government action by a government official, or payments made in return for a business favour or advantage.

8. Charitable donations and sponsorship

8.1 The University only makes and receives charitable donations and sponsorship that are legal and ethical under local laws and practices and which are in accordance with the University’s internal policies and procedures.

9. Record keeping

9.1 The University shall keep appropriate financial records and have appropriate internal controls in place which evidence the business reason for gifts, hospitality and payments made and received.

10. Responsibilities

10.1 The prevention, detection and reporting of bribery and other forms of corruption are the responsibility of all those working within the University community or under our control.

10.2 All Staff are required to avoid any activity that might lead to, or suggest, a breach of this policy.

11. Reporting

11.1 Staff

11.1.1 Staff are required to notify (i) their line manager in the first instance who will then escalate in the usual way up to the Nominated University Representatives; or (ii) if there are circumstances where Staff feel that is not appropriate directly to the Nominated University Representatives as soon as possible if:

• it is believed or suspected that a conflict with this policy has occurred, or may occur in the future
• they are offered a bribe, are asked to make one, suspect that this may happen in the future, or
• they believe that they are a victim of another form of unlawful activity

11.1.2 Any disclosure under this policy shall be treated as “whistleblowing” by the University under its existing whistleblowing policy.

11.2 Third Parties

11.2.1 If any Third Party is aware of any activity by any member of Staff which might lead to, or suggest, a breach of this policy, they should raise their concerns with the Nominated University Representatives.

11.3 Nominated University Representatives

• University Secretary and Chief Operating Officer, Dr Jim McGeorge
• Director of Academic and Corporate Governance, Dr Neale Laker
• Director of Legal, Umran Sarwar

12. Consequences for breach of this policy

12.1 Any member of Staff who breaches this policy (which includes a failure to notify) may face disciplinary action, which could result in dismissal for gross misconduct. We reserve our right to terminate our contractual relationship with non-employee Staff if they breach this policy.

13. Communication

13.1 Our zero-tolerance approach to bribery and corruption will, where appropriate, be communicated to clients, suppliers, contractors and business partners.

14. Monitoring and review

14.1 The Audit Committee has a general responsibility for monitoring the operation and effectiveness of anti-bribery arrangements and will receive appropriate reports on any bribery activity.

14.2 The University Executive Group has a responsibility to ensure that internal control systems and procedures are monitored and also subject to regular review to provide assurance that they are effective in countering any risks of bribery and corruption.

14.3 All Staff are aware that they are responsible for the success of this policy and should ensure they use it to disclose any suspected danger or wrongdoing.

Document information

Document Name

Anti-Bribery Policy

Status

Approved by Cou

Responsible officer/department/school

Academic and Corporate Governance

Policy owner

Audit Committee

Date last approved

5/09/19

Due for renewal

2021

Information classification: public/internal

Public

Location in repository

Court

Approval route and history

Court

Audit Committee

Code

CRT_160606_AB_v003