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E - University of Exeter Policy and Procedures for Fitness to Practise (FtP)

Please click the following link to view the Fitness to Practise Policy and Procedures for 2022-23

Part I: Introduction

PART I: INTRODUCTION

THE UNIVERSITY’S FITNESS TO PRACTISE POLICY
1.1

The University offers a number of programmes which require students to undertake practical training in a professional role as part of the programme, and/or upon completion;
1.1.1

lead to a right to practise as a member of a profession;
1.1.2

permit membership of, and/or require registration with, a relevant professional or statutory regulator; and/or
1.1.3

result in acceptance into a profession.
 

A non-exhaustive list of such programmes can be found in Appendix 1 - Programmes and Appendix 1 - PGCEs‌.
1.2

The University has a duty to ensure that students on any programme of study which falls within the description outlined in section 1.1, meet academic, behavioural and health competencies relevant to that profession in order to:
1.2.1

safeguard present or future patients, clients and/or service-users, staff, the Student, other students and/or members of the public;
1.2.2

protect the health and wellbeing of the Student;
1.2.3

comply with the requirements of the relevant professional regulator; and
1.2.4

uphold the reputation of the profession.
1.3

It is also appropriate for the University, having regard to the public interest considerations identified in section 1.2.1 to 1.2.4 above, to notify any relevant professional regulator where there is a concern about a student who is:
1.3.1

enrolled on any programme of study at the University (including those which fall within the description outlined in section 1.1); and/or
1.3.2

already registered with a relevant professional regulator, and does not meet academic, behavioural and health competencies relevant to their profession.

PURPOSE
1.4 The purpose of any application of this procedure is to protect students and those around them (including patients, clients and/or service users, staff and/or members of the public) from those whose fitness to practise is currently impaired.
1.5 Any sanction imposed under this procedure is not intended to be solely punitive and, in many cases, should instead give students an opportunity to learn from their previous action(s) and/or inaction(s).

SCOPE
1.6

This procedure applies where the health and/or conduct of;
1.6.1

any student registered on any programme of study within the scope of section 1.1 of this procedure, including those who have interrupted their studies or who have taken an intercalated programme; and
1.6.2

a registrant on any programme;
 

gives rise to concern about the student’s fitness to practise, professional behaviour and/or suitability in connection with that programme and/or registration with the relevant professional regulator (referred to in this procedure as “a concern” or “concerns”).
1.7

Any reference to “the Student” in this procedure is a reference to any person registered with the University as a student (whether on an undergraduate, postgraduate or post-registration programme), including those who are already registrants with a professional regulator.

APPENDICES
1.8 A non-exhaustive list of such programmes can be found in Appendix 1 - Programmesand Appendix 1 - PGCEs‌.
1.9 A non-exhaustive list of concerns which fall within the scope of this procedure is set out at Appendix 2‌.
1.10 A flowchart outlining the stages under this procedure is shown at Appendix 3‌.

1.11

 A glossary of key terms used in this procedure is included at Appendix 4‌.

SUPPORT FOR STUDENTS
1.12

A range of support is available (within and outside the University) to students who may be affected by this procedure:
1.12.1

this includes support from the University’s Wellbeing Service, the Penryn Welfare Service, the Occupational Health Service, the Disability Advice and Support Service, Exeter Students’ Guild, Falmouth & Exeter Student’s Union, the Medical School Race Equality Advisor, (the relevant) Academic Lead for Student Support (Racial Equality and Inclusion), additional support teams relevant to the Student’s programme, together with any other relevant external support;
1.12.2

the University will be mindful of equality and diversity matters when signposting students to the appropriate support.
1.13

The Student may, and is encouraged to, be accompanied to any meeting held under this Procedure by a Student Supporter who may support and/or assist the Student but shall not make any statement, answer questions or question witnesses on behalf of the Student.
1.14

The Student should write to the Policy Advisor at least one working day before a meeting takes place under this Procedure to provide notice of the Supporter due to attend.
1.15

In addition to, or in the role of Student Supporter, a representative from the University’s Wellbeing Service may be present at meetings held under this procedure. This can be at the request of the Student, and/or the Fitness to Practise Lead, Investigating Officer or Policy Advisor. 

RELATIONSHIP WITH OTHER REGULATIONS AND PROCEDURES
1.20

Intheeventthataconcernraisedunderthisprocedureissubsequentlyreferred for consideration under any other University regulation, code, policy and/or procedure (for example, under the Disciplinary Procedure – Non-academic Misconduct, or to the police:

 
1.20.1

any application of this procedure will normally be put on hold pending the outcome of that process; and
1.20.2

precautionary measures, such as temporary suspension of studies under section 4 of this procedure, may be taken as appropriate.
1.21

Where a student has been found to have acted in breach of any other regulation, code, policy and/or procedure and that finding gives rise to a concern(s), the matter may be considered under thisprocedure.

DISCLOSURE TO THE RELECANT PROFESSIONAL REGULATOR
1.22

Itisthe Student’sresponsibilitytocheckwhethertheymustdeclaretotherelevant professional regulator that they have been subject to any application of this procedure.
1.23

If the Student has any queriesregarding:
1.23.1

whether they should declare to the relevant professional regulator that they have been subject to any application of this procedure;and/or
1.23.2

the impact of any application of this procedure more generally, they should contact the relevantSchool/Department and/or the Policy Advisor for Fitness to Practise.
1.24 The University may disclose, or be required to disclose, any application of this procedure to third parties, includingthepolice,aplacementprovider,therelevantprofessionalregulator,the relevant safeguarding authority and/or other universities, subject to sections 1.26. and 1.27.

CONFIDENTIALITY, DATA PROTECTION AND INFORMATION SHARING
1.25

The University collects and holds Personal Sensitive Data and Information about students who have registered to follow a Programme that is linked to a Registration or Regulatory Body and who are subject to the University's Regulation. Personal Sensitive Data and Information is held by the University in accordance with its approved policies and procedures for data protection under the General Data Protection Regulation. For the purposes of implementing this procedure, the University may be required to:
1.25.1

disclose the Student’s personal data (and in some cases, special category data);and/or
1.25.2

disclose information and evidence provided by other individuals (for example, witnesses), bothwithintheUniversity(forexample,aspartoftheinitialreviewstage,inrelation to an Investigation, in connection with a Committee or appeal process, etc.) and, in some cases, externally (for example, to the police, a placement provider, the relevant professional regulator or the relevant safeguarding authority). The University will ensure that all personal data is processed and disclosed in accordance with individuals’ data protectionrights.
1.26

Students who are subject to this Procedure are required to observe the requirements of the relevant Registration or Regulatory Body and/or placement provider and the University with respect to confidentiality and the non-disclosure of Personal Sensitive Data and Information about pupils, clients, patients, fellow students and staff, vulnerable adults, members of the public and others including when using social media.

GENERAL
1.27

The fact and outcome of any application of this procedure shall be recorded on the Student’srecord.
1.28

A student who is the subject of any ongoing application of this procedure will not normally be permitted to receive their final award pending the conclusion of thisprocedure.
1.29

In the event that the Student who is the subject of any ongoing application of this procedure withdraws from, or is not permitted to continue with, their programme of study at the University for any reason, the University maystill:
1.29.1

continue to deal with the matter under this procedure; and/or
1.29.2

make a disclosure to the relevant professional regulator as appropriate,
 

and, where section 1.29.1.applies, the University shall invite the Student to participate in the application of this procedure.

 

Part II: Raising Concerns and the Concern Review Stage

PART II: RAISING CONCERNS AND THE CONCERN REVIEW STAGE

RAISING CONCERNS
2.1

This procedure may be initiated as a result of any concern(s) falling within the scope of sections 1.6. and 1.7. being raised by a member of University staff, another student, a member of staff from a placement provider or a member of the public.
2.2

Upon receipt of any concern(s), the concern(s) shall be referred to the appropriate Fitness to Practise Lead, where possible by using the appropriate referral form.

COMPOSITION OF THE CONCERNS REVIEW PANEL
2.3

The composition of the Concerns Review Panel shall be determined by the appropriate Fitness to Practise Lead, on an individual student basis.
2.4

Where the Concern Review Panel consists of more than one person, its members may meet virtually or in person.
2.5

A determination of outcome from the Concerns Review Panel will be recorded.

INITIAL CONCERN REVIEW
2.6

Upon receipt (and normally within 10 working days) of a referral under this procedure, the Concerns Review Panel will undertake an initial review of the concern(s) and determine what further action (if any) is appropriate under section 2.8.
2.7

The Concerns Review Panel may (but is not required to) seek clarification from the Student and/or other relevant individuals and/or consider any relevant evidence as it considers appropriate, in order to assist it to determine the most appropriate course of action under section 2.8.
2.8

Having completed an initial review of the concern(s), the Concerns Review Panel may determine which one or more of the following is appropriate:
2.8.1

no further action shall be taken in connection with the concern(s);
2.8.2

the concern(s) shall be addressed further by way of education, training, monitoring, supervision and/or support for the Student (or by any other method considered appropriate in the circumstances);
2.8.3

the concern(s) shall be referred for ongoing oversight and consideration by the relevant Health and Conduct Committee, Clinical Practice Review Group or equivalent committee;
2.8.4

for concern(s) to be referred for consideration under an alternative University regulation, code, policy and/or procedure such as the Disciplinary Procedure – Non-academic Misconduct or the Health Wellbeing and Support for Study Procedures (HWSSP) where the Concerns Review Panel considers that, having regard to the nature of the concern(s), the concern(s) fall(s) within the scope of that regulation, code, policy and/or procedure. The Concerns Review Panel may seek advice to assist in its determination in this regard;
2.8.5 referral onto the Investigation stage is necessary before the Fitness to Practise Lead can determine whether a Faculty Level Review is required. See section 5;
2.8.6 the concern(s) do not require further investigation due to the information already known resulting in an immediate referral onto a Faculty Level Review. This will apply where:
2.8.6.1 a student has been found to have acted in breach of any other regulation, code, policy and/or procedure and that finding gives rise to any concern(s) under sections 1.19. and 1.20.
2.8.6.2 a student is referred for consideration under this Procedure following a criminal conviction which gives rise to a concern, and no other concern exists; and/or
2.8.6.3 clear evidence exists to support a concern and the Concerns Review Panel is satisfied that no further investigation is required.
2.9 The Concerns Review Panel will also determine if one or more of the following are appropriate;
2.9.1 the circumstances are such that a period of temporary suspension from studies is appropriate under section 4; and/or
2.9.2 where appropriate, the concern(s) shall be referred to the relevant professional regulator; and or
2.9.3 any other measure/s which the Concerns Review Panel considers appropriate in the circumstances.

NOTIFICATION TO STUDENT
2.10

Should further action be agreed upon by The Concerns Review Panel and appropriate Fitness to Practise Lead, the Policy Advisor will, where possible, inform the Student in writing of their decision and any relevant next steps within 10 working days of the Panel being convened.
2.11

The Policy Advisor will:
2.11.1

inform the Student of the fact of the Investigation and provide a summary of the concern(s) which will be considered;
2.11.2

provide a copy of this procedure and the relevant Professional Statutory Regulatory Bodies (PSRB) guidance;
2.11.3

give their name, role and contact details and those of the appointed Investigating Officer;
2.11.4

outline the anticipated next steps and, where possible, the expected timescales for completion of the Investigation; and
2.11.5

provide information about accessing support; and
2.11.6

where relevant, highlight that a referral to Occupational Health will follow the Notice of Investigation, requesting the Student’s approval for the resultant report to be shared with the Investigating Officer for the purpose of their investigation.

Part III: Investigation

PART III: INVESTIGATION

GENERAL
3.1

Where the Concerns Review Panel and appropriate Fitness to Practise Lead consider under section 2.6. that an investigation is appropriate, the Fitness to Practise Lead shall appoint an impartial Investigating Officer with no prior involvement in the matter to investigate the concern(s).
3.2

The purpose of the Investigation is to gather information and evidence, including relevant documentation, specific to the concern(s) raised to enable the Fitness to Practise Lead to determine what further action is appropriate.
3.3

The Fitness to Practise Lead shall determine the nature and scope of the Investigation, while the Investigating Officer is responsible for the manner in which it is conducted, having regard to the nature and complexity of the concern(s) and the potential consequences for the Student.
3.4

As part of the Investigation, the Investigating Officer will usually meet with the Student and may also meet with other relevant witnesses (such as academic staff, those in Professional Services and/or placement providers).

INVITATION TO AN INVESTIGATION MEETING
3.5

Prior to any meeting between the Investigating Officer and the Student as part of the Investigation, the Policy Advisor shall write to the Student, normally at least 5 working days before the meeting, to provide:
3.5.1

the date, time and location of the meeting;
3.5.2

Guidance on appointing a Student Supporter in line with section 1.14 of this Procedure; and
3.5.3

any information or document required by section 2.11. which the Policy Officer has not previously provided to the Student.

THE INVESTIGATION MEETING
3.6

At the outset of the meeting, the Investigating Officer will outline the concern(s) that have been raised and provide the Student with an opportunity to respond.
3.7

The meeting will be recorded for the purpose of obtaining a transcript. This record is to be kept on the Student’s file. The Policy Advisor (or nominee) may be present at the meeting for the purpose of notetaking.
3.8

In the event that additional concerns emerge following the Investigation meeting and prior to the finalisation of the Investigation Summary, the Policy Advisor will:
3.8.1

present (either orally or in writing) the concern(s) to the Student; and
3.8.2

give the Student a reasonable opportunity (at least 5 working days) to respond to those concerns.

THE INVESTIGATING OFFICER'S REPORT
3.9

Within 30 days of completing the Investigation, the Investigating Officer will provide to their Fitness to Practise Lead the Report which sets out:
3.9.1

a summary of the concern(s) raised;
3.9.2

the porcess followed as part of the investigation;
3.9.3

a summary of the information and evidence considered; and
3.9.4

the Investigating Officer's findings.
3.10

The level of detail to be included in the Investigating Officer’s Report shall be a matter for the Investigating Officer to determine having regard to the nature and complexity of the concern(s) considered.

OUTCOME OF THE INVESTIGATION
3.11

Following their review of the Investigating Officer’s Report, the Fitness to Practise Lead will assess the weight of any supporting evidence and the potential impact upon the Student, determining which one or more of the options under sections 2.8.1. to 2.8.4 and 2.9. are appropriate.
3.12

Here the Fitness to Practise Lead will consider the actual or potential impact upon present or future patients, clients and/or service-users, staff, students and/or members of the public.
3.13

The Policy Advisor will notify the Student of the decision from the Fitness to Practise Lead and subsequent outcome of the Investigation in relation to the appropriate next steps, normally within 10 working days of the Report’s completion.

Part IV: Temporary Suspension of Studies

PART IV: TEMPORARY SUSPENSION OF STUDIES

CIRCUMSTANCES IN WHICH A STUDENT MAY BE SUSPENDED
4.1

A Faculty (or delegated School) may temporarily suspend a Student in full or in part where satisfied that suspension is a necessary precaution to protect the interests of present or future patients, clients and/or service-users, staff, the Student, other students and/or members of the public, pending consideration of the concern(s) under this procedure and/or any associated University regulation, code, policy and/or procedure.
4.2 The circumstances in which suspension may be appropriate  include (but are not limited to) where:
4.2.1 a Student has been directly implicated in an incident with a patient, client and/or service user that either led, or may have led, to harm to that patient, client and/or service user;
4.2.2 a Student has been convicted of a crime, or is being investigated in relation to alleged criminal activity;
4.2.3 conduct or behaviour was pursued for, or resulted in, financial gain;
4.2.4 a Student has been directly implicated in an incident with a patient, client and/or service-user, member of staff, another student and/or member of the public that gives rise to more serious concerns and amounts to an abuse of a position of trust;
4.2.5 a Student’s health and/or behaviour is a cause for concern in terms of its actual or potential impact upon:
4.2.5.1 the care of patients, clients and/or service-users; and/or
4.2.5.2 relationships with patients, clients and/or service-users, staff, other students and/or members of the public; and/or
4.2.6 a concern of a safeguarding nature is raised, including by an external organisation or provider.
4.3 Where the appropriate Fitness to Practise Lead and/or Investigating Officer comes to the view that it is necessary to suspend a Student on a temporary basis the Fitness to Practise Lead must seek the approval from the relevant Faculty Pro-Vice Chancellor (or nominee) under powers conferred by the Senate in approving this Procedure.
4.4 In circumstances where the appropriate Faculty Pro-Vice Chancellor (or their nominee) deems there to be an immediate and serious concern, they may suspend the Student with immediate effect.

A STUDENT'S RIGHT TO MAKE REPRESENTATIONS
4.5 A Student who has been served with a notice of temporary suspension may appeal to the  Deputy Vice Chancellor (Education and Student Experience) (or nominee) against the suspension or its terms by writing to the relevant Faculty Cases mailbox within ten working days of receiving the notice, stating why the suspension or specific terms in it should be lifted.
4.6 The grounds on which an appeal can be made against a temporary suspension are the following:
4.6.1 That procedural irregularities occurred in reaching the decision to request a temporary suspension;
4.6.2 That prejudice or of bias on the part of one or more persons considering the concerns took place, and can be proven, or there are reasonable grounds to support the perception of prejudice or bias;
4.6.3 That the decision to impose a temporary suspension of the Student, or its terms, is one that no reasonable body (properly directing itself and, taking into account all relevant factors) could have arrived at.

TERMS OF SUSPENSION
4.7

The Deputy Vice Chancellor (Education and Student Experience) (or nominee) shall determine the appropriate scope and terms of any suspension. This may include:
4.7.1 restricting the Student’s access to the University or a specified part of the University;
4.7.2 restricting (whether in total or in part) the Student’s access to University services (e.g. academic, residential, social or sporting facilities provided by the University);
4.7.3 restricting (whether in total or in part) the Student’s participation in their programme, placement and/or University activities;
4.7.4 prohibiting the Student from exercising the functions or duties of any office or committee membership in the University or the Students’ Union; and/or
4.7.5 prohibiting the Student from contacting any named person(s).

NOTIFICATION OF DECISION TO SUSPEND
4.8 Where the Deputy Vice Chancellor (Education and Student Experience) (or nominee) approves the request from a Fitness to Practise Lead to suspend a Student the Policy Advisor shall:
4.8.1 request that where the decision is made during a meeting with the Student, an appropriate staff member informs the Student orally of the decision to suspend, the reasons for it and any terms which apply;
4.8.2 in any event, confirm in writing to the Student as soon as reasonably practicable the decision, the reasons for it and any terms which apply;
4.8.3 inform the relevant Professional Services, Academic staff and/or Wellbeing Services of any suspension as soon as reasonably practicable; and
4.8.4 inform the Investigating Officer as soon as reasonably practicable.

FACULTY REVIEW OF THE SUSPENSION
4.9 Where the Deputy Vice Chancellor (Education and Student Experience) (or nominee) determines to suspend a Student under this section 4, the appropriate Fitness to Practise Lead shall review the suspension at each point in the Fitness to Practise procedure where a decision on how and whether to proceed is required.

Part V: General Provisions Relating to Referral to a Faculty Level Review

PART V: GENERAL PROVISIONS RELATING TO REFERRAL TO A FACULTY LEVEL REVIEW

PROGRESSION ONTO A FACULTY LEVEL REVIEW
5.1

A concern(s) shall not normally progress onto a Faculty Level review unless either:
5.1.1 an Investigation has been carried out under section 3 of this procedure;
5.1.2

the conduct giving rise to the concern(s) has previously been investigated either under an alternative University regulation, code, policy and/or procedure or by a third party (such as the relevant professional regulator or the police), as set out at section 5.3, or;
5.1.3 clear evidence exists to support a concern and the Fitness to Practise Lead is satisfied that no further investigation is required.
5.2 Where a decision is made to progress any concern(s) to the Faculty Level Review, the Policy Advisor will within 10 working days of the referral, inform the Student in writing of:
5.2.1 the Investigating Officer’s final Report and accompanying evidence bundle (as described in section 5.8)
5.2.2 any expansion on/refinement of the initial concern(s) raised within the Notice of Investigation required to more appropriately reflect the nature of the health concern or professional conduct as revealed by Occupational Health or the Report of the Investigating Officer;
5.2.3 relevant information in relation to next steps (including a copy of this procedure if not previously provided); and
5.2.4 further information about accessing support.

WHERE A STUDENT HAS BEEN FOUND TO HAVE ACTED IN BREACH OF ANY OTHER REGULATION, CODE, POLICY AND/OR PROCEDURE AND THAT FINDING GIVES RISE TO ANY CONCERN(S)
5.3 In circumstances where section 2.8.6.1. applies (i.e. a Student has been found to have acted in breach of any other regulation, code, policy and/or procedure and that finding gives rise to a concern(s)) and the Concerns Review Panel refers such concern(s) to a Faculty L.evel Review, the Fitness to Practise Lead:
5.3.1 will not conduct a re-hearing of the evidence but will instead focus on determining whether or not the Student’s fitness to practise is currently impaired and, if so, consider the appropriate outcome(s); and
5.3.2 may consider the evidence presented and/or outcome reached in that separate process; and/or
5.3.3 may appoint an Investigating Officer to seek evidence from any relevant individual involved in that process.

INVITATION TO ATTEND A FACULTY LEVEL REVIEW
5.4

The Policy Advisor shall, in writing and not less than 10 working days before the date of the Review, provide the Student with:
5.4.1 the date, time and location of the Faculty Level Review;
5.4.2 the names and roles of those who will be attending;
5.4.3 an outline of the concern(s) to be considered (linked to the relevant professional standards or University regulation, code, policy and/or procedure as appropriate);
5.4.4 a copy of this procedure and (links to) any associated relevant guidance;
5.4.5 confirmation that the Student may:
5.4.5.1 submit a written statement, as described in section 5.7.
5.4.5.2 decide to be accompanied to the Review by a Supporter of their choosing in line with section 1.15.
5.4.6 information about accessing support.

THE FACULTY LEVEL REVIEW ATTENDEES
5.5

The Fitness to Practise Lead will be joined by the Student, the Investigating Officer, the Fitness to Practise Policy Advisor (or nominee) and where appropriate and/or requested, representatives from Welfare and/or the Student’s Supporter.

STUDENT'S FITNESS TO ATTEND THE FACULTY LEVEL REVIEW AND SUPPORT AND ADJUSTMENTS
5.6

The Fitness to Practise Lead shall again (2.11.6.) consider whether it is appropriate to seek advice and guidance (for example, from the University’s Occupational Health Service and/or the Disability Support Service) in relation to:
5.6.1 the Student’s fitness to attend and engage in the Review; and/or
5.6.2 any additional support and/or adjustments which may be put in place to assist the Student.

A STUDENT'S RIGHT TO PROVIDE A WRITTEN STATEMENT AND EVIDENCE
5.7 The Student may provide:
5.7.1 a written statement in connection with the concern(s); and/or
5.7.2 any relevant evidence to which they wish to refer during the Faculty Level Review subject to any such document(s) being provided to the Policy Advisor at least 5 working days before the Review.

THE BUNDLE OF DOCUMENTS
5.8 Any additional documents submitted beyond those included in the evidence bundle accompanying the Investigating Officer’s Report, will be collated by the Policy Advisor and shared with those listed as attending, 5 working days prior to the Review. This does not include the Student Supporter. The Student should;
5.8.1 have access to the Investigating Officer’s Report, accompanying evidence bundle, relevant PSRB guidance, Regulation E and any additional documents included in the bundle, for the purpose of the Faculty Level Review; and
5.8.2 arrange for a copy of all relevant information to be made available to the Student Supporter (if desired).

STUDENT ATTNDANCE AT A FACULTY LEVEL REVIEW
5.9 The Student is required to attend the Review
5.10 The Student may be accompanied to the Faculty Level Review by a Supporter, providing that the student gives prior written notice to the Policy Advisor as described in 1.15.
5.11 If a Student fails to attend the Review or does not engage with this process without reasonable explanation (to be determined by the Fitness to Practise Lead, whose decision shall be final), the Review may proceed in the Student‘s absence.

INFORMATION TO BE PROVIDED BY THE STUDENT PRIOR TO A FACULTY LEVEL REVIEW
5.12 The Student shall, not less than 5 working days prior to the Review, provide to the Policy Advisor in writing:
5.12.1 a copy of any written statement or supporting evidence that they wish to rely on, under section 5.7.
5.12.2 the name of any Supporter who will accompany the Student to the Review, together with an explanation of their relationship to the Student.

THE FACULTY LEVEL REVIEW
5.13 The Faculty Level Reviewprovides the Fitness to Practise Lead with an opportunity to assure themself that the investigation has been thorough, appropriate and has afforded the Student with sufficient opportunity to present mitigating evidence.
5.14 This enables the Fitness to Practise Lead to assess whether the Student 's health or wellbeing or professional conduct is such that a University Level Panel should be convened to determine their Fitness to Practise.
5.15 The Fitness to Practise Lead will Chair the Faculty Level Review.
5.16 The Fitness to Practise Lead shall begin by covering preliminary matters, to include:
5.16.1 an introduction of those present and explanation of their roles;
5.16.2 confirmation that the Student consents to a recording being made and a written record of the meeting subsequently produced, which will be:
5.16.2.1 used in evidence should the case proceed to a University Level Panel;
5.16.2.2 retained by the Faculty (or delegated School) for reference in any future Fitness to Practise investigation and/or hearing;
5.16.2.3 available for review, if requested, by relevant committees;
5.16.3 confirmation that the Student is:
5.16.3.1 well enough to attend;
5.16.3.2 has received a copy of the Report, a copy of this Procedure, relevant guidance from the Registration or Regulatory Body and understands the nature of Fitness to Practise and the threshold;
5.16.3.3 did or did not wish to be accompanied by a supporter.
5.16.4 an opportunity for the Student to ask any questions about this Procedure or the guidance of the Registration or Regulatory Body;
5.16.5 an explanation of the purpose of the Review and possible outcomes;
5.16.6 a summary of the concerns investigated;
5.16.7 a summary of the contents of the Investigating Officer and/or OH Professional’s Report.
5.17 The Student should then be given the opportunity to make a statement or ask questions in response to the Report(s), to include the presentation of evidence not available during the investigation.
5.18 Witnesses may not be called.
5.19 Questions may then be posed by  to the Student, Investigating Officer and/or the OH Professional.

THE DECISION OF THE FITNESS TO PRACTISE LEAD
5.20 The Fitness to Practise Lead will normally make a decision on the day of the Faculty Level Review. However, they may adjourn the Review to consider the decision.
5.21 The Policy Advisor will inform the student of the decision as soon as reasonably practicable.

RECORD OF THE FACULTY LEVEL REVIEW
5.22 The Faculty Level Review will be recorded and the recording will be stored securely on the Student file, in accordance with the University’s records retention policy.

OUTCOMES OF THE FACULTY LEVEL REVIEW
5.23 Having considered the nature of the concern(s) and the weight of any supporting evidence, the Fitness to Practise Lead shall determine whether or not the student’s fitness to practise is currently impaired (not whether it was impaired at the time of the circumstances giving rise to the concern(s)) and, if so, which outcome is appropriate in the circumstances.
5.24 The range of outcomes available to a Fitness to Practise Lead following a Faculty Level Review are as follows;
5.24.1 The range of outcomes available to a Fitness to Practise Lead following a Faculty Level Review are as follows;
5.24.2 a referral to the support mechanisms within the Student’s Faculty (or delegated School) shall be made.
5.24.3 a referral to the support mechanisms with the University (for example, to the Occupational Health Service, Disability Advisory Service and/or the University’s Wellbeing Service) shall be made for support, advice, assessment, guidance, review and/or monitoring purposes.
5.24.4 a written warning shall be issued (a copy of which shall be kept on the Student’s file), identifying the concern(s) which have given rise to the warning, any expectations in relation to future conduct (and the potential consequences if such expectations are not met), and any other appropriate measures.
5.24.5 a referral shall be made to the relevant professional regulator (as appropriate).
5.24.6 any other measure which the Fitness to Practise Lead considers appropriate in the circumstances.
5.24.7 if, following the Faculty Level Review the Fitness to Practise Lead considers that the Student’s fitness to practise is not currently impaired, they may nevertheless determine that the concern(s) shall be addressed further by way of education training, monitoring, supervision and/or support for the Student (or by any other method considered appropriate in the circumstances).
5.25 In more severe cases where the Fitness to Practise Lead determines that the concern(s) are sufficiently serious to merit consideration by a University Level Panel, they may;
5.25.1 refer the concerns onto a University Level Panel for consideration; [or]
5.25.2 request the Concerns Review Panel reconvenes for further deliberation before proceeding onto the University Level Panel.

Part VI: The Fitness to Practise University Level Panel

PART VI: THE FITNESS TO PRACTISE UNIVERSITY LEVEL PANEL

GENERAL
6.1

University Level Panels are convened on the authority of the Pro-Vice Chancellor (or nominee), as conferred by Senate through this Procedure. Preparations for University Level Panels are overseen by the appropriate Fitness to Practise Lead.
6.2 The findings and recommendations of a University Level Panel may be shared with the Registration or Regulatory body and other third parties in addition to being reported to the University through the relevant Pro-Vice Chancellor (or nominee(s)).
6.3 The University aims to constitute a Panel and convene a University Level Panel Hearing within 60 working days of the Fitness to Practise Lead’s decision to proceed.
6.4 Before the Hearing, the Panel members will meet to confirm and clarify;
6.4.1 the procedure;
6.4.2 whether the Student and any witnesses have confirmed their attendance;
6.4.3 whether the Student has sought legal representation and the University’s response to this;
6.4.4 the order in which witnesses will appear and who has called them.
6.5 Where Fitness to Practise investigations involve multiple Students, a single University Level Panel Hearing will be convened, but will consider the impairment of each Student separately. Note that here;
6.5.1 it may be necessary to redact Documentation Bundles, to protect personal and sensitive data and information, however redaction must not restrict the ability of any Student to understand the case against them in order prepare an adequate defence;
6.5.2 each Student will receive the opportunity to make opening and closing statements, to receive questions and to question witnesses;
6.5.3 all students under consideration will remain present throughout the hearing and will have the opportunity to hear all testimony provided.

THE PANEL'S COMPOSITION
6.6 Where the composition of a University Level Panel is not prescribed by the Registration or Regulatory Body, its membership comprises at least four individuals, including its Chair and Secretary.
6.7 A University Level Panel may comprise of:
6.7.1 The Chair, who will have no prior involvement in this case and should be a Registrant of the relevant Registration or Regulatory Body. Where possible the Chair will hold previous experience of chairing Fitness to Practise Panels or other committees or panels.
6.7.1.1 The Chair may be an experienced senior member of the academic or clinical staff of the University, an experienced senior member of the academic or clinical staff of another University, or a suitably qualified independent external Chair considered to be a senior representative of their Profession.
6.7.2 An academic representative of the Programme of study on which the Student is registered.
6.7.3 An experienced member of the University's academic and/or professional staff from another Faculty (or delegated School) that works with a Registration or Regulatory Body.
6.7.4 A Student representative who may be a Sabbatical Officer of the Students' Guild or Union, or an appropriately senior Student from the same Programme.
6.7.5 A registered mental health professional.
6.7.6 A lay representative. 
6.7.7 The Fitness to Practise Policy Advisor (or Professional Services nominee) acts as the non-voting Secretary to the Fitness to Practise Panel.
6.8 The Secretary shall:
6.8.1 assist with the organisation of the Panel;
6.8.2 advise the Chair on procedure, before and after the hearing. Including those of any relevant Registration or Regulatory Body;
6.8.3 keep a record of the matters that are covered;
6.8.4 request clarification for the record during the hearing;
6.8.5 provide advice to the Chair, at their request.
6.9 The Fitness to Practise Lead, Investigating Officer and/or OH Professional attend the Fitness to Practise Panel hearing to summarise their reports for the Panel and answer any questions that the Panel or the Student (or their representative) may wish to put to them.

INVITATION TO ATTEND A UNIVERSITY LEVEL PANEL
6.10 The Policy Advisor will provide the Student with at least 20 working days’ notice of the date on which the University Level Panel will take place.
6.11 The invitation should also request that the Student;
6.11.1 report immediately whether they have previously had any material contact with a member of the proposed Panel;
6.11.2 states whether they have good cause as to why it would be deemed unreasonable for them to attend on the date specified; and
6.11.3 provide within 10 working days:
6.11.3.1 documentary evidence in support of their case (including witness testimony);
6.11.3.2 any relevant mitigating factors and the appropriate evidence;
6.11.3.3 identify any witnesses that they wish to attend to give evidence;
6.11.3.4 identify any Supporter by who they wish to be accompanied;
6.11.3.5 state whether they intend to secure legal representation;
6.11.4 and note that it will be the Chair’s discretion as to whether they choose to accept any late submissions of new evidence, including submission on the day of the Panel.

THE BUNDLE OF DOCUMENTS
6.12 The first draft Bundle should provide the Student with a sufficient overview of the case against them, to enable them to prepare accordingly. It should include;
6.12.1 procedural Matters – identification of the Registration or Regulatory Body guidance that may be referred to, or consulted, during the hearing;
6.12.2 membership of the Panel;
6.12.3 a chronology of events;
6.12.4 the allegations being considered and why they might be seen to impair Fitness to Practise;
6.12.5 who the Panel will hear from;
6.12.6 written evidence to be considered;
6.12.7 copies of the documents submitted by the Faculty (or delegated School) in support of its case.

UNIVERSITY LEVEL PANEL AGENDA
6.13 The Chair shall begin by covering preliminary matters, to include:
6.13.1 confirmation that the Student and their Supporter are to remain present throughout proceedings. The Student is expected to speak on their own behalf, there is no automatic right for a supporter to speak on the Student's behalf and it is at the Chair's discretion as to whether the supporter is permitted to address the meeting.
6.14 The Chair invites the Fitness to Practise Lead, supported by the OH Professional and/or Investigating Officer to state the concerns formalised within the initial Notice of Investigation, summarise the findings in the Investigating Officer’s Report, and explain the significance of particular items of evidence for the Student's Fitness to Practise. The Fitness to Practise Lead may also wish to bring to the Panel’s attention mitigating factors previously presented by the Student.
6.15 The Panel and Student may ask questions of the OH Professional, Investigating Officer or Fitness to Practise Lead in order to clarify of any matters that remain unclear.
6.16 The Chair will then invite the Student to make a statement in reply and to introduce previously circulated new evidence, including evidence of any extenuating or remediating circumstances that they wish to put before the Panel.
6.17 The Fitness to Practise Lead may request that questions are put to the Student, through the Chair, to seek clarification or settle a point at issue.
6.18 Witnesses are called by the Chair, with those called by the University being heard first and witnesses called by the Student heard subsequently. The Chair is to consider the following;
6.18.1 ensure those who have previously provided written statements are asked to confirm their contents
6.18.2 panel members, the Student, Fitness to Practise Lead and/or Investigating Officer can be permitted to question each witness to clarify their own understanding or settle a point at issue, with the permission of the Chair 
6.18.3 witness testimony and questions to witnesses should be confined to questions of fact
6.18.4 where a witness does not attend the hearing, the Chair is to advise the Panel how to deal with the contents of that person's witness statement since it will not be possible for the Panel or the Student to question the witness to seek any clarification.
6.19 Closing statements will be invited in turn from the Fitness to Practise Lead and the Student before the Panel retires to consider the evidence presented and to make their decision
6.19.1 Requests to deliver a closing statement to the Panel ‘behind closed doors’ will be approved at the discretion of the Chair.
6.20 Where, at any point during the Panel Hearing, a member of the Panel or the Student wishes to ask the Chair a question about procedural matters, or the conduct of the Panel Hearing, they may ask the Chair to suspend the hearing so that they can put their question to the Chair outside the Panel Hearing. Once the matter has been addressed, the Chair resumes proceedings. 
6.21 Should the Student or the University seek to put forward new evidence at a Fitness to Practise hearing that has not previously been circulated the Chair will normally consider whether to admit the evidence. Where they decide to admit the new evidence they will also decide whether to adjourn the hearing for a period (which may be several days or longer) in order to consider the evidence and allow the other parties to review it and consider any responses they wish to make.

HOW THE UNIVERSITY LEVEL PANEL REACHES THEIR DECISION
6.22 The process that the Panel follows in order to reach its decision must include regard to the burden and standard of proof. The four stages are;
6.22.1 the Panel makes a determination on the facts before it
6.22.2 the Panel makes a determination on the impairment of Fitness to Practise by reason of unprofessional conduct or ill health
6.22.3 the Panel makes a determination as to whether there are any extenuating or remediating factors that should be taken into consideration. These might include training or treatment that the Student has undergone in the interim
6.22.4 finally, the Panel makes a determination as to what sanction (if any) is appropriate to the particular facts of the case and any extenuating circumstances. The Panel considers the appropriateness of the least severe sanction first. 
6.23 Where Fitness to Practise investigations involve multiple students, the process outlined in section 6.5.should be followed for each Student in turn.

THE RANGE OF OUTCOMES AVAILABLE TO A UNIVERSITY LEVEL PANEL
6.24 The findings and recommendations that a University Level Panel may make to the Faculty Pro-Vice Chancellor (or nominee) include the following:
6.24.1 that the concerns or allegations were not found proven and there is no case to answer;
6.24.2 that although concerns or allegations were found proven, fitness to practise is not impaired and conditions and undertakings should not be applied;
6.24.3 that although concerns were found proven, fitness to practise is not impaired and conditions and undertakings should be applied;
6.24.4 that concerns or allegations were found proven, fitness to practise is impaired, however the Student should be allowed to remain on the Programme with conditions and undertakings applied;
6.24.5 that concerns or allegations were found proven, Fitness to Practise is impaired, however the Student should be allowed to remain on the Programme following a suspension from their Programme for a specified period not exceeding two calendar years, with Conditions and Undertakings applied during and after suspension;
6.24.6 that concerns or allegations were found proven, Fitness to Practise is impaired to such a degree that they should be recommended for expulsion from their Programme and the University, to the Vice Chancellor as Chair of Senate. The Student shall be suspended until such time as the expulsion takes effect, following ratification by the Vice-Chancellor (or nominee) on behalf of Senate.
6.25 For recommendations 6.24.3 - 6.24.6 any sanctions imposed shall remain in force until any appeal that the Student makes has been heard, a Fitness to Practise Appeal Panel has made its findings and recommendations and has decided whether to lift the sanctions or maintain them.
6.26 For recommendations 6.24.3. - 6.24.5. the University Level Panel also specifies the actions that will follow where the Student is unable to demonstrate that they have remedied the impairment in their Fitness to Practise, which might include expulsion from the Programme.
6.27 With the agreement of the Panel, its Chair may also make recommendations to the University on the conduct of University Level Panels and improvements to this Procedure.

REPORTING THE FINDINGS AND RECOMMENDATION OF A UNIVERSITY LEVEL PANEL
6.28 The University Level Panel will endeavour to agree their findings and any recommendations in a timely manner, with consideration to the complexity of any evidence and the potential consequences for the Student.
6.29 Where a University Level Panel involves multiple students and the Panel is able to provide their determination immediately following deliberation, students will be invited to return separately to hear their individual determination.
6.30 The Chair of the Panel, when presenting its findings and recommendations, will remind the Student that these are provisional until confirmed in writing through a Record of Determination. The Chair will also remind the Student that they have the right of appeal.
6.31 In all cases, the findings of a University Level Panel are reported to the University through the Faculty Pro-Vice Chancellor (or nominee), subject to restrictions that apply in such cases to the sharing of Personal Sensitive Data and Information.
6.32 The Student will be informed of the decision through a Record of Determination within five working days. Where this is not possible the Student will be informed of the delay. Guidance on submitting an appeal and sources of advice and support, will also be provided.
6.33 Where the Panel have identified that the Student needs to observe Conditions and Undertakings in order to continue with their Programme, the Fitness to Practise Lead will be responsible for determining if any Conditions and Undertakings have been satisfied within an agreed time frame.
6.34 Should the Fitness to Practise Lead consider the Student to have not satisfied the Conditions and Undertakings issued by the University Level Panel, they will request that the Policy Advisor notify the Student that:
6.34.1 they have breached the Conditions and Undertakings issued by the Panel;
6.34.2 the breach has triggered the actions specified by the Panel in the event of non-compliance;
6.34.3 that they may appeal this finding and provide details of how to do so.

STUDENT STATUS FOLLOWING A UNIVERSITY LEVEL PANEL
6.35 Where a Student has been found to have no case to answer, they resume their studies.
6.36 The Faculty (or delegated School) will refer to the relevant Registration or Regulatory Body’s guidance in determining whether the matter may be expunged from the Student’s record.
6.37 A Student who has been suspended by the Panel and has lodged an appeal against the findings and/or recommendations, may retain limited access to their University of Exeter email services to facilitate contact with the University. All other terms and conditions of their suspension apply.
6.38 A Student who is to be expelled from their Programme and the University, shall remain suspended until the decision is confirmed by the office of the Vice Chancellor on behalf of Senate. (or nominee).

EXIT AWARDS AND ALERNATIVE COURSES
6.39 In circumstances where the Student withdraws or is withdrawn from their programme of study at the University for any reason following the application of this procedure, the University may, depending on the circumstances, be able to:
6.39.1 issue an alternative exit award; and/or
6.39.2 identify any notional credit that a Student may carry forward on an alternative programme of study.

Part VII: Appeals

 

PART VII: APPEALS

RIGHT OF APPEAL AND GROUNDS OF APPEAL
7.1 A Student may exercise the right to appeal against the outcome of a University Level Panel.
7.2 An appeal is not a re-hearing of the University Level Panel’s case. The Student will select the ground(s) on which their Appeal is being invoked, and the request for the right to appeal against the findings and/or recommendations of a University Level Panel will only be granted if there is, on the face of it, evidence of one or more of the following:
7.2.1 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; 
7.2.2 procedural irregularity;
7.2.3 bias, or failure to reach a reasonable decision in handling the process;
7.2.4 the penalty imposed was disproportionate to the offence.

7.3

 All relevant evidence which is to be considered must be submitted with the appeal application. The University will not gather evidence on a Student’s behalf.

TIMESCALE FOR SUBMITTING AN APPLICATION TO APPEAL
7.4 A Student may submit their appeal by completing the Fitness to Practise Panel Outcome Appeal Form and submitting it to the Faculty Cases, Fitness to Practise Mailbox within 10 working days of the date on which they received written notification that the findings and recommendations have been confirmed.
7.5

Every effort will be made to resolve a Fitness to Practise Appeal within 30 calendar days of receipt of the appeal, or the Policy Advisor will inform the Student of the expected delay.

APPEAL REVIEW STAGE
7.6 All appeals relating to an outcome of a University Level Panel that applied a penalty (or range of penalties) or assigned conditions and undertakings other than suspension or permanent exclusion from the University, will be considered by a senior member of staff within the Student’s Discipline or Faculty and registered with the relevant regulatory body (or nominee).
7.7 The consideration of an appeal by this senior member of staff will explore if the Student has presented, on the face of it, grounds for appeal (as described in section 7.1) based on the evidence submitted as part of their appeal, alongside the full documentation originally submitted for the University Level Panel.
7.8 Should the grounds for appeal fall outside of those described in section 7.1. the Student will be informed that the grounds they have cited do not allow for further consideration and that this letter represents a ‘completion of proceedings’.
7.9 This senior member of staff shall have had no previous material involvement with the case.
7.10 The senior member of staff will undertake a review of the papers but will not re-hear the case. They may then decide to take action as follows:
7.10.1 uphold the original decision;
7.10.2 uphold the original decision but reduce the penalty and/or conditions and undertakings;
7.10.3 overturn the original decision and remove the penalty and/or conditions and undertakings.

APPEALS AGAINST SUSPENSION OR PERMANENT EXCLUSION
7.11 In cases where the decision of the University Level Panel is to recommend that Senate grant a suspension or permanent exclusion, the Student may request an appeal against this decision.
7.12 The appeal will initially be deliberated by three Senior Members of the University who have not previously been involved in the case as detailed in sections 7.18. to 7.20. 
7.13 An Appeal Board must be constituted as soon as it is reasonable to do so after the Student has submitted a valid appeal as depicted in 7.1. against the outcome of a University Level Panel that applied the penalty of permanent exclusion.
7.14 The Board’s consideration will explore if the Student has presented, on the face of it grounds for appeal (as described in section 7.1.) based on the documentation submitted as part of their appeal alongside the full documentation originally submitted as part of the University Level Panel. If the Appeal Board are agreed (by verdict of 2:1 vote or greater) that the Student has presented grounds for appeal, a Fitness to Practise Appeal Panel (“the Panel”) will be convened as stipulated in section 7.18.

APPEAL PROCEDURE
7.15 The Student will receive notification of the relevant Appeal Board and/or Panel being convened at least 10 working days before it is held.
7.16 Should the Appeal Board agree that the Student has presented, on the face of it, grounds for appeal, the Student will be invited to attend the Fitness to Practise Appeal Panel in person or by other electronic means. The Panel may also hear a case in the Student’s absence.
7.17 As stipulated in section 1.14. a Student may, and is encouraged to, be accompanied to a Panel held under this procedure by a Student Supporter who may support and/or assist the Student but shall not make any statement, answer questions or question witnesses on behalf of the Student.
7.18 The Student will be invited to present their case before receiving questions by the Fitness to Practise Appeal Panel. A member of the University Level Panel will be invited to present the case on behalf of the University and answer any questions from the Panel. Closing remarks will be invited from both the Student and University Level Panel member before the Panel retires to make its decision.

COMPOSITION OF THE FITNESS TO PRACTISE APPEAL BOARD/PANEL
7.19 An Appeal Board/Panel comprises of:
7.19.1 the Chair, who will be a Senior Member of the University and Senate;
7.19.2 an academic from, or Pro-Vice Chancellor (or nominee) of the Faculty providing the Programme(s) that are linked to Registration or Regulatory Bodies;
7.19.3 an academic from, or Pro-Vice Chancellor (or nominee) not of the Faculty providing the Programme followed by the Student;
7.19.4 the Policy Advisor (or nominated member of the University's Professional Services) acts as the non-voting Secretary to the Appeal Panel.
7.20 Members of an appeal Board/Panel will not previously have been involved in the case.
7.21 The Board/Panel should include one member from the Student’s Faculty (or delegated School) authority.

GIVING NOTICE OF AN APPEAL BOARD
7.22 The information that will be provided for a Fitness to Practise Appeal Board will include:
7.22.1 the Appeal documentation submitted by the Student
7.22.2 the Documentation Bundle presented at the University Level Panel;
7.22.3 a copy of this Fitness to Practice Procedure;
7.22.4 copies of relevant regulatory guidance;
7.22.5 the full transcript of the University Level Panel;
7.22.6 the Record of Determination produced by the University Level Panel;
7.22.7 any new additional and relevant evidence put forward by the University and/or the Student. 
7.23 Where the Student or the University has put forward fresh evidence to the Appeal Panel it should be accompanied by a statement explaining why this evidence was not previously put forward other than where the new evidence seeks to show that there was bias or prejudice on the part of the University Level Panel in reaching its decisions and recommendations.

THE APPEAL PANEL'S DECISION
7.24 The Appeal Panel has the authority to:
7.24.1 uphold the original decision;
7.24.2 uphold the original decision but reduce the penalty and/or conditions and undertakings;
7.24.3 overturn the original decision and remove the penalty and/or conditions and undertakings.
7.25 Where an Appeal Board has been convened, Students will receive a summary outcome within 5 working days of the Appeal Board, with a full report and outcome letter to follow.
7.26

Where the Student is not deemed to have presented suitable grounds for appeal, they will receive an outcome letter explaining the decision made and reasons why.
7.27 In either case, the outcome letter will explain that the Student’s case has exhausted the University’s procedures and will explain the Student’s right to request a review of their case by the Office of the Independent Adjudicator for Higher Education (OIA).
7.28

Students who believe that their case has not been dealt with properly by the University or that the outcome is unreasonable may be able to complain to the OIA, if the complaint is eligible under the OIA’s rules and once all of the University’s internal procedures have been concluded. Information about the role of the OIA and the procedure for submitting complaints can be obtained from the University of Exeter Student’s Guild or from the OIA website: https://www.oiahe.org.uk/.

Appendices