Calendar 2013/14

E - Disciplinary Procedure – Non-academic Misconduct

1	Preface
1.1	The University of Exeter is a community, and as members of this community students are expected to adhere to University rules and regulations, to show respect for persons and property, and to behave in a way that does not interfere with normal operations of the University. Where there is reason to believe that rules and regulations have been broken, and/or when the behaviour of a student falls below the expected standards outlined in section 6 below, the Disciplinary Procedures will be instigated by authorised staff acting as Disciplinary Officers, (see section 4 below).
1.2	The maintenance of discipline and good conduct is the responsibility of Senate, and these procedures outline the means by which disciplinary matters involving non-academic misconduct will be managed, and the sanctions that may be imposed.
1.3	The Disciplinary Procedures define misconduct as either minor or major depending on the seriousness of the alleged misconduct, and the specific procedures for each are outlined below.
1.4	Where misconduct has occurred, the intention will be to focus on a corrective response rather than one which is solely punitive.
1.5	In cases where the alleged offence may pose a risk to staff and students, the procedures should be used to assess and manage such risk. Where risk is judged to be serious a recommendation may be made to a Deputy Vice Chancellor to temporarily suspend or exclude the student from all or parts of the University grounds and facilities. The authority to permanently expel a student from the University is granted exclusively to Senate.
2	Scope of the Disciplinary Procedures
2.1	The Disciplinary Procedures apply to all undergraduate, postgraduate taught and postgraduate research students registered at the University of Exeter, including those registered at Cornwall campus and those registered on INTO programmes.
2.2	Where disciplinary action relates to incidents occurring in Cornwall student residences, or directly affects services / facilities managed by Tremough Campus Services (TCS) at Cornwall campus, the TCS regulations may take precedence.
3	Relationship and interface with other policies and procedures
3.1	The Disciplinary Procedures relate to matters of non-academic misconduct.
3.2	Where the alleged misconduct relates to academic matters, it should be referred for action under the Student Academic Misconduct Procedures. http://as.exeter.ac.uk/support/admin/taught/complaintsandappeals/academicmisconductprocedure/
3.3	Where a complaint or allegation is made against the behaviour of a student it may be referred for action under the Disciplinary Procedures. http://as.exeter.ac.uk/support/admin/taught/complaintsandappeals/studentcomplaintsprocedure/
3.4	Procedures for managing instances of harassment, bullying and intimidation are outlined in the Harassment Procedures, under the Dignity and Respect Policy, which may result in referral for action under the Disciplinary Procedures. http://www.exeter.ac.uk/staff/equality/dignity/takingaction/
3.5	Students registered on programmes leading to membership of a professional body should demonstrate appropriate behaviour and standards required for entry into that profession. Alleged misconduct which may be judged to fall short of the professional codes of conduct should be considered under the Fitness to Practise Procedures. Details of the programmes of study covered by these regulations can be found in Annex 1 of the Fitness to Practise Procedures. http://as.exeter.ac.uk/support/admin/taught/complaintsandappeals/fitnesstopractice/
3.6	Where there is concern that mental health, illness or disability may have directly impacted on behaviour and/or conduct, the matter will be considered by the Head of Student Support Services for referral to the Health, Wellbeing and Fitness to Study Procedures as an alternative to disciplinary action. Where necessary, reasonable adjustments will be made to the Health, Wellbeing and Fitness to Study or Disciplinary Procedures in respect of any illness or disability experienced by the student. http://as.exeter.ac.uk/support/admin/taught/complaintsandappeals/fitnesstostudyexeter/ (Exeter campus) http://as.exeter.ac.uk/support/admin/taught/complaintsandappeals/fitnesstostudycornwall/ (Cornwall campus)
3.7	The University’s Community Liaison Officer (Living Support Adviser in Cornwall) holds responsibility the Anti-Social Behaviour Policy, and acts as the channel for complaints regarding student behaviour in the local community, particularly where there is evidence of anti-social behaviour which may damage community relations and/or the reputation of the University. Where possible and appropriate he/she will attempt to resolve complaints locally, working in partnership with police and other statutory authorities if necessary. Persistent cases or cases which cannot be resolved locally may be referred to the Student Conduct Office for disciplinary action. The Anti Social Behaviour Policy can be found: http://www.exeter.ac.uk/businessandcommunity/university/students/issues/
4	Authorised Disciplinary Officers (Minor Offences)
4.1	Where alleged offences are classified as minor in line with the guidance in section 6, disciplinary proceedings may be instigated locally by relevant staff within the University (Exeter and Cornwall campuses), INTO, the Students’ Guild, FXU, and Athletics Union (AU)
4.2	Senate has authorised the following staff to investigate and impose penalties for minor disciplinary offences: The Chief Operating Officer The Director of Academic Services and Deputy Chief Operating Officer (or nominated representative) The Deputy Director of Academic Services and Head of Student Services (or nominated representative) The Head of Student Support Services The Policy Advisor (Student Conduct) Head of Library (offences related to use of the Library) Director of Campus Services (or nominated representative) Assistant Director of Campus Services (Residences) Residence Managers (or their designated deputies) Residence Life Advisers (offences related to residences) Residence Life Team Leaders Head of Security Students’ Guild / FXU Chief Executive (or nominated representative) Students’ Guild / FXU Licensed Trade Managers and Deputy Bar Managers AU President AU Manager Director of Sport INTO Centre Director (or nominated relevant INTO staff) Head of Academic Services (Cornwall) Student Support Officer (Cornwall)
4.3	Where alleged misconduct is deemed to be major, a Disciplinary Board (Major Offences) will be convened with membership as outlined in section 13 below)
5	General Principles
5.1	Students involved in disciplinary procedures shall have the right to be accompanied to any investigative meeting or hearing by a fellow student or member of staff from the University, Students’ Guild or FXU. This person must not be a witness. If the student wishes to be accompanied by a person who is external to the University, he or she may make a request to the Disciplinary Officer or the Chair of the Disciplinary or Appeal Board, who will use his/her discretion to decide whether to grant this request.
5.2	The University will wherever possible seek to adhere to the time limits outlined within these procedures, but in cases where there are special circumstances which require variance from specified time limits, students will be advised of the reasons for this by the Disciplinary Officer handling the investigation or hearing.
5.3	Where possible and practical, students will be given the opportunity to attend disciplinary hearings to defend themselves in person. However, the University reserves the right to proceed with any investigative or disciplinary hearing in the absence of a student, subject to the student having been properly notified of the date and time of the hearing, or in cases where criminal proceedings do not allow the student to attend in person.
5.4	The University reserves the right not to proceed with any investigation following an allegation against the behaviour of a student if it is considered that there is insufficient grounds or evidence to do so.
5.5	During the application of these Disciplinary Procedures the University reserves the right to adjourn any disciplinary investigation or hearing and reconvene at a later date.
6	Definition of disciplinary offences
6.1	In general terms, disciplinary offences are likely to fall into one of the categories below: Actions which cause actual or potential distress or harm to others Actions which cause actual or potential damage to property of others Actions which may cause reputational damage to the University, particularly instances where this may prevent or disrupt the normal functioning of the University Actions which impede or interfere with the pursuance of work/ study of University members, or impact on normal operations of the University.
7	Specific examples of minor offences
7.1	The following list provides examples of alleged offences which may be classified as minor. This list is intended to be illustrative and is not exhaustive. Verbal abuse or intimidation Failure to comply with explicit rules or regulations; for example unauthorised parties in residences, smoking in non-designated areas, causing a disturbance in examinations Infringement of University Health and Safety rules; for example failure to vacate during fire alarms, lighting fires or barbecues in unauthorised areas, or tampering with safety equipment Refusal to respond to reasonable requests by relevant University staff; for example refusing to confirm identity when requested during the normal course of their duties, failure to attend a disciplinary meeting without good reason Causing distress to others through excessive and unacceptable levels of noise Causing minor damage to property Anti social behaviour which causes distress to others and/or reputational harm and/or damage to the University’s relationship with the local community
8	Specific Examples of Major Offences
8.1	The following list provides examples of alleged offences which may be classified as major. This list is intended to be illustrative and is not exhaustive. Assault or causing physical harm Threatening, offensive or indecent behaviour Serious or persistent acts of bullying, harassment or intimidation Serious infringement of University Health and Safety rules Theft, fraud, or deliberate falsification of records Causing serious and deliberate damage to property Possession and/or intent to supply controlled drugs Actions which are likely to bring the University into disrepute and/or cause interference to the normal operations of the University, particularly when the student is acting in connection with University business; for example, as a member of a Students’ Guild, FXU or AU club or society, or participating in a field trip Multiple or repeated minor offences Persistent refusal to pay a fine or observe another penalty imposed following a disciplinary hearing
9	Disciplinary offences which are also subject to criminal investigation
9.1	Where a disciplinary offence is also subject to a criminal investigation, the University may suspend the disciplinary process until the criminal investigation and legal proceedings have concluded. However, the fact that the police are unable, unwilling or not yet able to proceed does not automatically preclude the University from progressing its own disciplinary action.
9.2	The student should be reminded that whilst criminal investigations are underway he/she will be obliged to keep the University informed of any progress and/or change in status regarding his/her case. The Disciplinary Officer will review the case on a monthly basis and will make recommendations to the Head of Student Services (or nominee) if any action is required during this review period.
9.3	When the criminal proceedings have concluded, the Head of Student Services will decide whether the University should instigate disciplinary action, taking into account the following guidance:
9.3.1	Where the student has been convicted of a criminal offence, the University may seek to take action if there are outstanding matters of concern to the University that have not been addressed through criminal proceedings. In this case the conviction in a criminal court shall be taken as conclusive evidence that the alleged offence has occurred, and no further investigation shall be required by the University.
9.3.2	Where a criminal conviction has been made, the focus of University disciplinary proceedings may include an assessment of the risk posed to staff or students. It may also include assessment of the material impact caused by reputational damage to the University, particularly when this impedes or interferes with the normal operations of the University, or when it affects important relationships between the University and key individuals, agencies and stakeholders. If disciplinary action is taken, the penalty imposed by the court shall be taken into account when determining any further penalty.
9.3.3	In the case of a criminal conviction, where criminal proceedings (including bail conditions, period of time spent on remand, period of time served in custody following conviction) result in a student being absent from his/her study for a period of less than 12 months it will normally be the case that his/her studies will be interrupted for this period. In such circumstances it will be the responsibility of the student to notify the Student Conduct Office regarding the date of release from custody. The Head of Student Services (or nominee) will then assess whether the nature of the offence committed poses an ongoing risk to the University community, and whether there are any outstanding matters of concern that have not been addressed by the criminal proceedings. In the case of either the University may instigate disciplinary proceedings.
9.3.4	In the case of a criminal conviction where criminal proceedings (including bail conditions, period of time spent on remand, period of time served in custody following conviction) result in a student being absent from his/her study for a period in excess of 12 months, the student will be deemed withdrawn from the University. The student may then reapply for admission to the University, and as part of the standard admissions process will be required to declare criminal convictions to be considered prior to a decision regarding an offer of a place. For further information on admissions procedures in respect of criminal convictions see http://www.exeter.ac.uk/crb/
9.3.5	Where the student has been acquitted the University will take into account the decision of the court. However, it may be the case that it is reasonable and within the University’s interests to pursue outstanding matters of concern to the University that have not been addressed through criminal proceedings.
9.3.6	Where, following initial investigation, a decision has been taken not to proceed to a criminal trial, this does not preclude the University from conducting further investigations and/or instigating disciplinary proceedings in respect of outstanding matters of concern to the University that have not been addressed through criminal proceedings.
10	Precautionary action in advance of a disciplinary hearing
10.1	Where the nature of the alleged disciplinary offence suggests that there may be risk to the safety of others, or where the student accused of the offense may be at risk of harm, the Head of Student Services (or nominee) will undertake a risk assessment, This may result in action as follows:
10.1.1	As a first step he/she may require the student to comply with specific conditions, for example agreeing not to contact another student or students. The consequence of any breach of these conditions may result in escalation to the steps outlined below.
10.1.2	A request may be made to a Deputy Vice Chancellor to exercise the authority granted under University Statutes to suspend the student from any class or classes and/or to exclude the student from any part or all of the University facilities, grounds and premises, until such a time as any criminal proceedings and/or University disciplinary proceedings have concluded. A precautionary suspension or exclusion should not be regarded as a penalty, and does not indicate that the student is presumed guilty of any offence.
10.1.3	The decision to temporarily suspend and/or exclude the student from all or part of the University, and the reasons why this action is being taken may be communicated verbally in the first instance. Where this is the case, written confirmation outlining the reasons for this decision and notice of the right of appeal should be provided within two working days.
10.2	The student may appeal against the decision to suspend and/or exclude him or herself from all or part of the University, by submitting a written request stating the reason for the appeal to the office of the Vice Chancellor within five working days of the date issued on the notice of the exclusion.
10.3	The Vice Chancellor will consider the appeal and may take action as follows: Uphold the original decision and confirm the terms of the suspension and/or exclusion Uphold the original decision but reduce or restrict the terms of the suspension and/or exclusion Overturn the original decision and remove the suspension and/or exclusion In cases where additional information presented as part of the appeal suggests that the level of risk is higher than previously assessed the Vice Chancellor may increase or extend the terms of the suspension and/or exclusion
10.4	The student will be notified of the decision within ten working days of the receipt of the letter requesting an appeal.
10.5	Whilst the precautionary suspension and/or exclusion is in place, the student may request a review if there is a relevant change to his/her circumstances. This request should be made in writing to the Vice Chancellor, who will respond within ten days of the receipt of the letter.
11	Procedure for Hearings – Minor Offences
11.1	Where possible and appropriate, action in respect of minor disciplinary offences should be taken locally and close to the source of the alleged offence by staff authorised to act as Disciplinary Officers, as outlined in section 4.
11.2	At all times the Disciplinary Officer should be mindful of any ongoing risk posed to students and staff relating to the alleged offence. In cases where a risk assessment suggests this may be the case, the Disciplinary Officer may seek to consult the Head of Student Support Services (or nominee) in relation to the management of risk, and where appropriate may take precautionary action as outlined in Section 9. It is unlikely that any offence classified as minor would require temporary suspension and/or exclusion from the University, although it may be necessary to agree a behavioural contract or a limited exclusion from a specific facility or service.
11.3	Depending on the circumstances and the amount of information available, it may be necessary for the Disciplinary Officer to undertake an initial investigation. In this case the student should receive an invitation to an investigative meeting, and should be advised of the nature of the alleged offence. Where possible this invitation should be written and should give the student at least two working days notice of the meeting. However, there may be circumstances where an urgent investigation is required and in this case a verbal invitation with less than two days notice will be given.
11.4	The Disciplinary Officer investigating the alleged offence will advise the student, either following the examination of the information and evidence, or following an investigative meeting, whether they intend to instigate disciplinary action, and whether the offence will be considered minor or major.
11.5	If during an initial investigative meeting the Disciplinary Officer decides the alleged offence should be considered as minor, and where there is enough information to proceed directly to a hearing, the meeting will be interrupted to allow the student to decide whether they wish the matter to be dealt with immediately, or whether they wish to return to have the case heard at a later date.
11.6	Where it is not clear whether the alleged offence should be classified as a minor or major offence, the Disciplinary Officer will refer the case to the Head of Student Support Services (or nominee), providing details of the alleged incident and its investigation, in order for a decision regarding classification to be made.
11.7	Prior to the hearing into the alleged minor offence, the Disciplinary Officer will advise the student in writing of the allegation and all information and evidence will be disclosed. The student will be given an opportunity at the hearing to explain his/her behaviour and offer information in defence.
11.8	The Disciplinary Officer will advise the student in writing of the outcome, within five working days, and will confirm the imposition of any sanction, including: A written reprimand A behavioural contract A suspended fine of not less than £50 but not exceeding £200 (in the case of a suspended fine the Disciplinary Officer will advise the student of the circumstances in which the fine would become payable) A fine of not less than £50 but not exceeding £200 Compulsory attendance at an appropriate workshop Restitution of damage Restorative justice, including voluntary work or community service Temporary or permanent exclusion from the use of specific University facilities or services Reclassification of the offence as major and referral to a Disciplinary Board (Major Offences)
12	Right of appeal for minor offences
12.1	A student may exercise the right to appeal against the outcome of a minor disciplinary hearing by completing the Disciplinary Offences Appeal Form and submitting it to the Disciplinary Officer at studentconductmail@exeter.ac.uk within ten working days of the date of the letter notifying the outcome of the disciplinary hearing.
12.2	The request for the right to appeal will be considered by the Head of Student Support Services (or nominee). The right to appeal will only be granted if there is prima facie evidence of the following: Procedural irregularity Bias, or failure to reach a reasonable decision in handling the process Evidence of further material circumstances which could not reasonably have been expected to have been submitted for consideration at the time of the investigation/hearing. The penalty imposed was disproportionate to the offence
12.3	If there are prima facie grounds for appeal, the Head of Student Support Services (or nominee) will undertake a review of the papers, but will not re-hear the case or interview the student. He/she may then decide to take action as follows: Uphold the original decision Uphold the original decision but reduce the penalty Overturn the original decision and remove the penalty
12.4	The student will be notified of the decision within ten working days of the receipt of the letter requesting the right to appeal.
13	Procedure for Hearings – Major Offences
13.1	Where there is reason to believe that the alleged offence may be classified as major in line with the guidance provided in section 8 above, the Policy Advisor (Student Conduct), acting as the relevant Disciplinary Officer, shall conduct an initial investigation and refer the case to the Head of Student Support Services (or nominee), with a detailed written report of the nature of the offence and information and evidence obtained, in order to make a decision regarding classification.
13.2	If the alleged offence is confirmed as major, the Head of Student Support Services will refer the matter to a (non-standing) Disciplinary Board (Major Offence).
13.3	The membership of this Disciplinary Board shall comprise the following; Deputy Director of Academic Services and Head of Student Services/ Assistant Director of Academic Services (Cornwall) (or his/her nominee) as Chair One other senior University manager from the University Professional Services Management Group An officer of the Students’ Guild The proceedings will be recorded by a person acting as secretary to the Board
13.4	In cases which involve alleged reputational damage to the University, the Board will also include an additional member who is independent from the University, whose role will be to ensure the Board adheres to the principle of impartiality in consideration of the alleged offence.
13.5	The student will be advised in writing of the nature of the alleged offence and the date of the hearing. This written notification will usually be provided at least ten working days in advance of the meeting. Where the Chair deems there are special circumstances which require a shorter period of notice to be given, the reasons for this will be explained to the student.
13.6	The Disciplinary Officer or the student may wish to invite witnesses to appear before the board or to provide written statements. If this is the case the student should advise the secretary of the Board at least seven working days before the hearing, to allow the Secretary to advise the potential witnesses, collect statements, and circulate to both the Board and the student.
13.7	Statements and other documentation will be circulated to the Board and the student not less than five working days in advance of the meeting, although later circulation may be allowed at the discretion of the Chair.
13.8	If the student does not attend the Disciplinary Board the Chair may decide to proceed in his/her absence.
13.9	The procedure of the meeting will be as follows: Board members meet without the student present to consider matters of process The student and accompanying person will join the meeting The Disciplinary Officer will join the meeting and outline the case The student will be asked to make a statement in response to the alleged offence The Board will question the student Witnesses may be called by the Disciplinary Officer Witnesses may be called by the student In each case the witnesses will be asked to make a statement or confirm the contents of a written statement, and may be questioned by the Board, the student and/or the Disciplinary Officer Witnesses will be asked to withdraw The Board will hear further statements from the student regarding evidence submitted, witness statements etc The student will be asked to make concluding remarks The Board will hear further statements and concluding remarks from the Disciplinary Officer The student (and accompanying person) and Disciplinary Officer will be asked to withdraw to allow the Board to consider its decision
13.10	Following the meeting the student will be notified of the outcome in writing within five working days of the meeting, confirming the imposition of any sanction as outlined below, (or those outlined in, section 11.8 where the Board consider the offence should be classified as minor): Written reprimand A suspended fine of not less than £50 but not exceeding £500 A fine of not less than £50 but not exceeding £500. (in the case of a suspended fine the Disciplinary Officer will advise the student of the circumstances in which the fine would become payable) Compulsory attendance at an appropriate workshop Restitution of damage Behavioural contract Restorative justice, including voluntary work or community service Exclusion from use of the use of specific University facilities or services Temporary or permanent exclusion from the University A recommendation that Senate exercise the authority granted under the University Statutes to permanently exclude the student from the University
14	Right of Appeal for Major Offences
14.1	A student may exercise the right to appeal against the outcome of a major disciplinary hearing, by completing the Disciplinary Offences Appeal Form and submitting it to the Student Conduct Office within ten working days of the date of the letter notifying the outcome.
14.2	The request for appeal will be considered by the Director of Academic Services (or nominee), or by a senior manager of similar status within Professional Services Management Group, who will respond to the request within ten working days of receipt of the written request.
14.3	The request for the right to appeal will only be granted if there is evidence of the following: Procedural irregularity Bias, or failure to reach a reasonable decision in handling the process Evidence of further material circumstances which could not reasonably have been expected to have been submitted for consideration by the Disciplinary Board. The penalty imposed is disproportionate
14.4	If the Director of Academic Services (or nominee) considers there is a prima facie case to be considered, he/she will refer the case to a Disciplinary Appeal Board (Major Offence), the membership of which shall comprise: A member of the Vice Chancellor’s Executive Group as Chair A member of the University Senior Management Group An Officer of the Guild or FXU who has not previously been involved with the case The proceedings will be recorded by a person acting as secretary to the Board.
14.5	The Appeal Board shall have the authority to: Uphold the original decision and penalty imposed Uphold the original decision but reduce the penalty imposed Overturn the original decision and remove any penalty imposed In instances where new information which is presented at the appeal stage causes the Appeal Board to conclude that the offence is more serious than was originally considered, the Board is empowered to impose a greater sanction, up to the limits outlined in section 13.10 above
14.6	In cases where the decision of the Disciplinary Board (Major Offences) is to recommend that Senate grant a permanent exclusion, the student may request an appeal against this decision. This appeal will be considered initially by three members of Senate who will not previously have been involved in the case, following similar principles and processes as outlined in sections 14.3 – 14.5 above.
14.7	If the Chair of Senate Appeal Board considers that there are prima facie grounds for an appeal (as outlined in 14.3), the Appeal Board will conduct a review of the papers and will invite the student to attend an Appeal hearing in person to present their case. A member of the Disciplinary Board (Major Offences) will also be invited in order to respond to the appeal.
14.8	In all cases of appeal the student will be notified of the decision within ten working days of the date of the hearing.
15	Reporting and Monitoring
15.1	Records relating to minor offences shall be held locally by the Disciplinary Officer responsible for instigating the procedure except where professional accrediting bodies require notification to the College concerned.
15.2	Records relating to major offences will be maintained by the Administrative Officer (Student Conduct) on a central database, and will be included in the student’s file.
15.3	Information in respect of disciplinary offences may be reported to the student’s College in the following circumstances: In cases where there is a need to alert the College and involve them in the process of assessing any potential risk, information may be shared in advance of any hearing In cases where there is judged to be no potential risk, Colleges will only be informed where the Disciplinary Board finds the student guilty of a major offence.
15.4	Disciplinary Officers holding records of minor offences will submit an annual report outlining numbers, types and outcomes of disciplinary offences to the Student Conduct Office.
15.5	The Policy Advisor for Student Conduct (or nominee) will compile an annual report of all minor and major disciplinary cases for submission to Senate annually.