Sanctions and export controls policy

1.Overview

1.1 It is the policy of the University of Dundee to conduct its business in an honest and ethical manner consistent with applicable laws and regulations.

1.2 The University is committed to complying with the strategic sanctions and export control laws, regulations and procedures of the United Kingdom (“UK Trade Controls”).

1.3 As part of this policy, the University has no tolerance for breaches of the UK Trade Controls 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 mitigate any breaches of UK Trade Controls.

2.Purpose

2.1 The University will comply with applicable UK Trade Controls which are relevant to its business.

2.2 The University is committed to maintaining an effective system of export control compliance that is designed to avoid violations, detect them promptly if they occur, and provide timely investigations and appropriate remedial actions.

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 who carry out any activity or are considering carrying out any activity related to UK Trade Controls (collectively referred to as Staff in this policy).

4.What are UK Trade Controls?

4.1 UK Trade Controls are export controls, sanctions and other trade restrictions which are administered by the UK Government and other official agencies to protect national security and foreign policy interests of the UK and they govern how, with whom and where the University does business.

4.2 Export controls can include trade restrictions on:

• the physical transfer of goods,
• software and technology,
• the electronic transfer of technology, know-how and other forms of intellectual property,
• the provision of technical assistance and maintenance services, and
• transactions or other dealings with foreign or foreign affiliated Third Parties.

4.3 The purpose of UK Trade Controls is to protect national security and foreign policy by ensuring that military and dual use exports are not used for unauthorised purposes and are not diverted to unauthorised users or to violate human rights laws.

5.When UK Trade Controls apply

5.1 UK Trade Controls apply:

• to goods, software and technology appearing on control lists;
• when there are concerns about end-use or end-user; and/or
• when destinations are subject to sanction or other restrictions.

5.2 Clause 5.1 includes computer-based services and activities that take place online, in the cloud or through distributed computing, which could include:

• virtual learning environments (VLEs)
• e-Research; and
• e-Science

5A. High Risk Activities for the University under UK Trade Controls

5A.1 Applied Research

5A.1.1 Certain fields have been deemed by the UK Government as being particularly high risk for Universities in respect of applied research and UK Trade Controls.

These fields are deemed as high risk as they could potentially be misused for military purposes. These areas are usually but not always in the science, technology, engineering and mathematics (STEM) subjects.
Action for Staff: If you are involved in such fields and are in any doubt as to whether your applied research may be deemed “high risk” for UK trade controls, you should consult with RIS or Legal.

5A.2 Transnational education (TNE)

5A.2.1 UK Trade Controls may apply when the University offers STEM-based courses:

• through an overseas campus; or
• to overseas-based students by electronic means.

5A.2.2 When providing these STEM-based courses the University must ensure any training, advanced study, continued professional development, or individual research projects:

• comply with UK Trade Controls.
• are not undertaken in support of a WMD programme.

5A.2.3 Care must also be taken if research is:

• undertaken as part of an applied or work-based programme;
• through a split-site programme of study involving a non-UK based component.

Action for Staff: If you are involved in such fields and are in any doubt as to whether your applied research may be deemed “high risk” for UK trade controls, you should consult with RIS or Legal.
Exemptions may apply to both 5A1 and/or 5A2 in respect of export controls only.

6. Responsibilities

6.1 The management and compliance with UK Trade Controls is the responsibility of all those Staff conducting such applicable business on behalf of the University which is subject to UK Trade Controls.

6.2 All Staff are required to avoid any activity that might lead to a breach of this policy.

7. Consequences for breach of this policy

7.1 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.

8. Monitoring and review

8.1 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 compliance with UK Trade Controls.

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