Section 2: Responsibilities/Obligations of Tutors

2.1 Reports on Students

Annual Reports: Detailed annual reports on undergraduate students are not required unless their progress has been unsatisfactory or unless other unusual circumstances arise (e.g. change of course). A brief formal report is, however, made each year on every undergraduate in receipt of an award from a public authority. In the case of undergraduates receiving support from a Local Education Authority (LEA) or the Student Loans Company (SLC) these brief reports are prepared as a matter of routine in the Schools. Tutors may be consulted if additional details are required in respect of students whose progress has been unsatisfactory or who are not progressing normally. Supervisors are consulted when an awarding body requires an annual report on a research student. It is therefore essential that tutors and supervisors document on students' personal files in the School Office all interviews held with students in difficulty.
Interim Reports: The appropriate School Office must be notified immediately of any exceptional circumstances which might affect a student's progress. In particular, a tutor should send an interim report on any student whose progress is not adequate to the appropriate School Office. If making an adverse report, a tutor should at the same time give the student notice in writing that their progress is not satisfactory.
Final Reports: These may be required by some School from tutors in respect of undergraduate students at the end of their course of study. These reports are retained on the student's file as a basis on which subsequent reports and references may be compiled. They are not sent to LEA's or the SLC. Where the completion of these reports is School policy, the necessary report forms are sent to tutors and supervisors towards the end of the summer term, and tutors must give a full report (on personal qualities and academic ability). This document is especially important when references for students are requested after a tutor has left the University.
Other Reports: Many external bodies supporting students at the University (e.g. foreign embassies sponsoring international students) frequently ask for reports on a student's progress. These enquiries are dealt with by School Offices (in consultation with the tutor or supervisor as necessary) and any tutor receiving such a request direct is asked to pass it to their School Office for reply.
Note: When tutors are away from the University for a period they should always arrange for mail relating to students to be dealt with by another member of the School. This is particularly important when a reference is required by a prospective employer (see further section 2.7 below).

2.2 Medical Registration and Illness

It is important that all students have access to medical advice if they need it. It would be of great assistance if tutors would remind students, especially first year and international students, of the available sources of such advice and that they should register either with Highfield Health or the University Health Service (which will accept registration from all students under the National Health Service provided that they live within reasonable distance of the University), or with a local general practitioner.

Tutors may find it helpful to know the practices with whom their students are registered; this information is normally given at registration and should appear on the University Registration Form, a copy of which may be consulted in the relevant School Office.

A self-catering suite of three rooms is set aside in the Wessex Lane Halls for use by any sick or seriously disturbed student, and their carer. Initial contact should be made through the Warden, Tel: 023 8059 8015.

Students who are absent for more than five days on account of illness must report this absence to their tutor or supervisor who may require a medical certificate. Periods of absence owing to illness for up to five days, or short-term illness during an examination, should be reported to tutors using forms for self-certification of illness available from School Offices and the University Health Service. Only in cases of serious illness, longer periods of absence, or absence from an examination should a certificate signed by a medical practitioner be requested, and students should inform their School Office as well as their tutor. Where an illness or medical condition persists for some time and affects the student's ability to study, the student may qualify for additional assistance with their academic activities, and should be referred to the Disability Service, ext 25644.

Students holding awards from public funds who are absent through illness for 28 days or more must arrange for the submission of medical certificate/s to the School Office.

With the student's permission, the doctors in the University Health Service and Highfield Health are always willing to discuss with a tutor the medical problems of a student, especially where ill-health is interfering with study or the stress of academic work may be affecting health. Tutors are asked to inform the Health Service through School Offices of students who propose to withdraw, who request suspension of course because of ill-health, or who are returning after such suspension. It is then possible to arrange help, plan medical care for the period of absence, and offer subsequent supervision in an attempt to prevent problems recurring.

2.3 Guidelines on Consensual Relationships

The University of Southampton regards relationships between staff and students for whom they have some specific academic or other professional responsibility as an important professional issue. This is particularly so where relationships are romantic or sexual in nature. It is recognised that there can be no absolutes in defining whether a relationship is romantic; however it might conjure words such as emotional, close, deep, passionate, tender, affectionate or intimate. An overriding issue in determining if a relationship has crossed the professional boundary is whether the member of staff concerned would like other staff and students to know about the relationship. There are other types of relationships which are covered by these guidelines, including marital or established partnerships, parental or sibling.

For the purposes of these guidelines, the term 'staff' also encompasses postgraduate students who have supervision, teaching, or assessment responsibilities.

All such consensual relationships raise serious questions of conflict of interest and equal treatment in teaching and assessments, selection and research. They can also be damaging to trust, confidence and dependency as well as potentially having a harmful effect on working relationships with other students and colleagues. There can be no objection in principle or, if matters are properly handled, in practice to personal relationships between staff and students, but the list below details some services and functions where particular care is required.

For the protection of both staff and students, the boundaries of the professional role of staff must be fully recognised and respected. Staff should recognise their professional and ethical responsibility to protect the interests of students, to respect the trust involved in the staff-student relationship, and to accept the constraints and obligations inherent in that responsibility.

Consequently, a personal relationship between a member of staff and a student, particularly where it is a romantic or sexual one, will always involve serious risks rooted in unequal power as well as real problems in maintaining the boundaries of professional and personal life. In such circumstances, staff are strongly advised to terminate any supervisory, assessment or other direct professional responsibility in connection with the student and to make alternative arrangements for the discharge of those responsibilities.

It should be noted that there are some services and functions whose work requires particular care where they are dealing with vulnerable adults as detailed in the Home Office Guidance 'Caring for Young People and the Vulnerable'. There is no strict definition of a vulnerable adult given in the Guidance. The relationship, however, would normally be based on authority and trust and the potential for exploitation so strong that any romantic or sexual relationship would be unacceptable whilst the member of staff continues in their professional capacity with that vulnerable adult. It can also cover people who go through periods of vulnerability, for example after having a nervous breakdown and subsequently recovering. Such services where particular care is required include, but not exhaustively:
Accommodation
Chaplaincy
Counselling Service
Disability Services
Dyslexia Services
Equal Opportunities Office
Staff employed within Halls or performing personal care services for students
Student Advice and Information Centre
Wardens and Hall staff (all such relationships must be discussed with their line manager)
Some of the services will have their own policies on relationships and these should be adhered to in addition to any guidance given within this guideline.

There are also some functions within Schools where such care is similarly necessary and this includes personal tutor roles.

2.4 Insurance for Students Abroad

Tutors and supervisors are asked to make clear to students travelling abroad as part of their University course that the University does not arrange insurance cover for them. In the case of medical expenses in particular, such students should be advised to take out personal insurance cover. The University offers a comprehensive insurance package which students can purchase. Further details are available from Ruth McFadyen (hrm@soton.ac.uk). Students may be eligible for free medical services when travelling to a country which has reciprocal Health Service arrangements with the United Kingdom. Please note, however, that membership of the European Union (EU) does not necessarily mean that reciprocal Health Service arrangements exist. To be eligible for free medical services where they are available within the EU, students should be advised to obtain an E128 form from the UK National Insurance Contributions Office (0191 225 4811) prior to their departure. This would entitle a UK student studying in France, for example, the same medical benefits a French student would receive. Students seeking advice on other insurance matters should be referred to the Advice and Information Centre in the Students' Union.

2.5 Changes in University Enrolment

Students admitted to the University must enrol formally on first arrival and at the start of each session. Arrangements are co-ordinated by their School Office. Enrolment ensures that students receive a student card, which is required when using the Library, Information Systems Services and Students' Union facilities.

Tutors should inform their School Office, by completing a Change of Course form, of all changes in a student's enrolment particulars, some of which may have to be approved by School Boards. It is essential that students complete this form for any change of unit course within the first three weeks of the semester. Where this involves a change of School or degree programme for an undergraduate, a School transfer form, available in all School Offices, must be completed. If the student is supported by a LEA and/or the SLC, and a longer period of study is entailed, this support will normally be extended for the full duration of the new course only if the change is notified to the LEA/SLC (by School staff) before the second year of study begins.

2.6 Withdrawal from Course and Suspension

Attendance

No paid or unpaid work should be undertaken by students during a period of full-time study which would conflict with a student's studies and the obligation to attend all required classes. Persistent absence from required classes may constitute grounds for termination of course. Students must also abide by any condition of their studentships which include a restriction on part-time work as a condition of their award. Furthermore, in the event of poor academic or clinical performance, no student may cite as an extenuating circumstance that their study was adversely affected by any period of paid or unpaid work. The University has the right to terminate at any time the course of a student whose academic work proves unsatisfactory, or whose level of attendance is unacceptable.

Withdrawal

Students who withdraw from the University are required to notify the School Office (see Calendar, Section IV, General Regulations for Students, Regulation 9), but as a safeguard tutors also should notify the School Office at the earliest possible time. Tutors are asked to identify the cause of withdrawal and inform School Offices of the reason which grant-awarding authorities will wish to know. This information is also required for the Higher Education Statistics Agency (HESA): tutors should remind any student (including any postgraduate student) withdrawing from the University to comply with this regulation immediately, and to include a brief statement of the reasons for and the effective date of leaving.

When an undergraduate seeks to transfer to another institution, the School Office should be informed of the position at the time of transfer, since steps have to be taken to ensure the continuation of the student's LEA/SLC support. Students who are withdrawing from a course and are not transferring to another course, should do so within 20 weeks of the date of first attendance (vacations are not counted in the 20 weeks); since otherwise they will not be eligible for LEA/SLC support at any time in the future, unless there are exceptional grounds for withdrawal, such as health problems. Students do not have to repay their grant/loan for any weeks for which they have received instruction, but they do have to repay the grant/loan for any other weeks of term and the Christmas and Easter vacations, where applicable. Students who are transferring to another course can normally continue to receive an award if arrangements are made within 16 months of the start of the course.

Students who are withdrawing from a course can be referred to the Student Advice & Information Centre for further advice on their financial position. Students may also find it helpful to contact the Counselling Service and/or Careers Advisory Service to discuss their decision and future plans.

Suspension

Requests for suspension of registration (as distinct from permanent withdrawal) should similarly be made to the School Office. Where suspension is on grounds of ill-health, the student should be informed that return to the University will be conditional upon the provision of a medical certificate. Degree programmes with professional accreditation may have additional requirements regarding student health, and students registered on such programmes are asked to seek advice from the relevant School Office. Students who suspend their registration will not be eligible to claim benefits and will normally have their award suspended also. Students who are likely to be in financial difficulty should be referred to the Student Advice & Information Centre for further advice. Where an illness or medical condition persists for some time and affects the student's ability to study, the student may qualify for additional assistance with their academic activities, and should be referred to the Disability Service, ext 25644.

2.7 Preparing References for Students

Background

Writing references may appear to be a straightforward matter, and indeed many apparent problems can be solved simply by common sense. However, it is important to protect both the reference-writer and the University from legal claims, and the advice in this section is offered for that purpose.

Content of References
  1. The guiding principles are that a high degree of care should be taken in providing the reference and that it should be fair, truthful and not malicious. It is important to bear in mind that a duty of care is owed to both the subject of the reference and the recipient.

  2. While it is an obvious point that confirmation of facts and expressions of opinion should be distinguished, it is worth emphasizing and checking to ensure that it will be absolutely clear to the recipient of the reference which is which. The facts contained in references should, so far as possible, be verifiable from documents on the subject's file and opinions given should be consistent with the achievement of the individual. It is also important to check that the facts given are complete. The School Office may be the best place to check student records, and Human Resources for staff records if information is not available in School files.

  3. To avoid mistakes and/or malice creeping into the writing of references, it is good practice to check anything other than a standard good reference with another member of staff who has had dealings with the subject of the reference and record their agreement to it. References should contain language which is neither discriminatory nor capable of being so interpreted; and subjects of references should be dealt with even-handedly in every respect, for example to avoid any comparison between references giving rise to claims of discrimination on grounds of sex or race.

  4. Each School should clarify which members of staff may provide references - and for whom - on its behalf. No member of staff should express opinions in a reference if they are not qualified to give such opinions on that particular person. There are also occasions on which you are asked to express an opinion on which you have no knowledge or limited knowledge, e.g., honesty and integrity. Here you may have to say, for example, 'I know of nothing that would lead me to question this student's honesty' or 'there is nothing in our records to suggest...'.

  5. It is the normal expectation that references will be provided for both staff and students. As the careers of academic staff are in many instances dependent upon external references, refusing to provide a reference may in itself be seen as a detriment and it may be best in cases of difficulty to give a simple factual reference rather than to decline. In preparation for students' references, it is sensible for tutors to collect relevant information to make their subsequent composition a relatively easy task.

  6. Avoid using ambiguous or coded language. For example, 'X has studied here for three years during which time he has done his work entirely to his own satisfaction' or 'Z's work was original but not in a meritorious way' are unhelpful. Ambiguity is only likely in the end to heighten the danger that a case may lead to litigation.

  7. In giving a reference you owe some duty of care to the person who has requested it. For this reason it is advisable to include any relevant facts in the reference which the person requesting it should need and would expect you to pass on. Remaining silent or omitting such relevant facts in your knowledge may cause a claim: for example, if a driver is dismissed for being found drunk in charge of a vehicle and you fail to tell the future employer of this driver about the occurrence, this may be found to be negligent.
An unsolicited reference, i.e. where the subject of the reference has not to your knowledge cited your name as a referee, should not be given. Care should be taken to avoid giving information about a student or colleague in the course of answering any such enquiry. As indicated in the recent circular on confidentiality of information about students, requests for brief references or confirmation of student status will sometimes be received for casual employment where it is not immediately apparent whether the student has nominated you as a referee. In such cases, if you are in any doubt that the student would wish you to provide the reference, you should consult him or her.

Telephone References

References should not be given over the telephone except in exceptional circumstances (you do not know how the information will be filtered as it passes through the various stages of what the enquirer understood you to say, what s/he jotted down, what s/he reported orally to the panel). If references are given over the telephone, a note should be made of the information given and a follow-up written reference should be sent.

When a written reference is provided and this is followed up by a phone call, the same advice applies.

Access, Confidentiality and Sensitive Information

The Data Protection Act 1998 gives subjects the right, in principle and under certain conditions, to see any information kept about them in either computerised or paper form, and also places conditions on the release of sensitive information. This clearly has implications for references. There has been no case law so far, and so it is not clear how the Act will work in practice, but the following is our best advice at present.
  1. Subjects of references provided by the University on their behalf do not have the right to obtain these references from us; this is a specific exclusion in the Act. They may of course ask the recipient - see below.

  2. Subjects may ask to see references provided to the University which we hold. It is not wholly clear yet in what circumstances we must comply with any such request. We are obliged to consider the position of the provider of the reference, and we should not comply unless that person has consented to it or it is reasonable in all circumstances to do so. We should certainly respect any refusal of consent by the provider.

  3. If you provide a reference about a colleague or student, and do not want them to be given access to it by the recipient, you would be advised to write on the reference 'I expressly refuse to give my consent to this reference being shown to the person it concerns'.

  4. In providing a reference to a prospective employer for a candidate who suffers from a disability, the referee's duty of care to provide a report which is fair, truthful and not malicious should be borne in mind. Exactly what is written in any particular case will be a matter for personal judgment only, but a useful guiding principle might be that a disability should only be mentioned when it seems likely that it will have a material effect on the individual's capacity to undertake the employed work in question. However, the additional implication of the Data Protection Act, which requires subjects' agreement to the release of sensitive information, is that specific consent should be obtained from the person who is the subject of the reference before any such information is included in it.
Liability
  1. It is advisable to make a disclaimer when writing a reference, which may give some protection from legal action by the recipient of the reference. The words: 'This reference is provided in good faith but is given on the understanding that the University does not accept any liability in respect of the accuracy or completeness of the statements which it contains' may be used. Reference writers should be aware, however, that the use of this disclaimer does not provide absolute protection from legal liability.

  2. A copy of the reference should be placed on the relevant departmental staff or student file.
Rehabilitation of Offenders Act

Under the Rehabilitation of Offenders Act 1974, it is unlawful for employers, or prospective employers, to take into account offences in relation to which the person is deemed to be rehabilitated, unless for example they are involved in the care or supervision of children as part of their duties. This means that after a certain period of time, which will depend upon the seriousness of the offences and the length and severity of the punishment, the person concerned should be assessed as if the conviction had never occurred; ie: the conviction is considered to be 'spent'. The individual may omit to give details of a 'spent' conviction to a prospective employer and this must not be counted against him/her in selection. Where a request for a reference seeks information regarding previous convictions, offences or conduct, the question should be treated as not relating to 'spent' convictions and the answer framed accordingly. There are, however, certain professions, offices and employment where individuals must disclose all previous offences. Human Resources can provide more information on these exemptions and when a conviction is considered to be 'spent'.

Insurance

The University has insurance which covers both itself and individual members of staff (as employees) against claims arising from a reference. This includes references written by a member of staff while employed by the University, and as an employee on University business - so including references on behalf of current and former students or employees - but excluding references written in a private capacity, for example on behalf of a friend or neighbour. The cover extends beyond the period of the referee's employment by the University, but only for references written while in employment here. If you are challenged over a reference, you should immediately refer the matter to the Director of Student Services (for references on students) or on the Director of Human Resources (for references on staff).

2.8 Research Students

The University places great emphasis on the importance of good supervision. The responsibilities of supervisors and students are set out in the University's Code of Practice on Research Candidature and Supervision (in the Calendar, Section V). Individual Schools require supervisors to monitor closely the progress of research students with a view to ensuring submission of a thesis within the prescribed time limit. This will involve both supervisor and student in producing progress reports at least annually.

The maximum and minimum periods of candidature for research degrees are also set out in the Regulations for Higher Degrees. Students who have completed the minimum period of candidature must continue in registration, and pay the appropriate fee, until they submit their thesis or withdraw, otherwise their candidature lapses.

School Boards may allow students to transfer to nominal registration when they have completed the minimum period of candidature, ceased to require supervision, and planned their thesis in detail after discussing it in draft with their supervisor. Nominal registration lasts one year initially, and candidates must apply in writing to their School Office for any extension. A nominal registration fee will be charged at the time of transfer. Before contemplating transfer to nominal registration, students holding studentships should carefully check upon the effect of any change of status on their studentships.

It is helpful if any changes to candidature are recommended to the School Board during the summer vacation, or at least that the position of every research candidate is reviewed, so that the students' status is clear at the start of the next session when they come to enrol and to be charged fees.

Supervisors should be aware that additional support may be available for research students who have a specific learning difficulty (e.g. dyslexia), or disability. Please contact Deb Viney, the Disability Co-ordinator, Ext 25644.

2.9 Academic Appeals

Copies of the full Regulations governing Appeals by Undergraduate or Postgraduate Instructional Students, or by Postgraduate Research Students, are available from School Offices or from the Student Support Manager, Student Services Department (Ext 23062). Students requiring assistance in requesting a review or making an appeal may wish to contact the Student Advice & Information Centre for advice and representation as appropriate. The Regulations are published in full in the Calendar at www.calendar.soton.ac.uk/sectionIV

2.10 Student Complaints Procedures

Copies of the full Regulations Governing Student Complaints, as approved by Senate in March 2001, are available from School Offices or from the Student Support Manager, Student Services Department (Ext 23062). Students requiring assistance in making a complaint may wish to contact the Student Advice and Information Centre for advice and representation as appropriate. . The Regulations are published in full in the Calendar at www.calendar.soton.ac.uk/sectionIV