University of Southampton Calendar 2009/10


University Calendar 2009/10 Section IV : General Regulations Procedures for Handling Applications from Students with Previous Criminal Convictions

1. Aims
1.1	The aim of the admissions process is to select students who have the ability and motivation to benefit from the courses they intend to follow, and who will make a contribution to the life of the University.
1.2	The process takes place within the context of the University's Equal Opportunities policy which expresses the University's commitment to a comprehensive policy of equal opportunities in employment and for students in which individuals are selected and treated on the basis of their relevant merits and abilities and are given equal opportunities within the University. The aim of the policy is to ensure that no job applicant or employee, prospective student or student should receive less favourable treatment on any grounds which are not relevant to good employment practice for staff or to academic ability and attainment for students.
1.3	It is important that these aims are achieved without prejudice to the safety and well-being of other members of the university community and, indeed, there may be occasions where this has to be placed ahead of all other considerations.
1.4	These procedures are intended as a mechanism to ensure that decisions regarding the admission of an applicant with criminal convictions are taken only after the implications have been fully explored.

2. Scope of Guidelines
2.1	These guidelines should be followed in relation to applications from any student declaring (or discovered to have) a criminal conviction which has not been spent under the terms of the Rehabilitation of Offenders Act. (Under the terms of this Act, sentences of 30 months imprisonment or more are never spent while those of lesser duration do not have to be declared once spent. In practice, this means that the more serious offences must always be declared). Additionally, some health-related courses have special course-specific procedures which should also be applied.

3. Declaration of Criminal Convictions
3.1	Applicants applying through UCAS are asked, as part of the UCAS application, to read the following text and tick a box if they have a relevant criminal conviction. Criminal Convictions To help the universities and colleges reduce the risk of harm or injury to their students caused by the criminal behaviour of other students, they must know about any relevant criminal convictions that an applicant may have. If you have a relevant criminal conviction, please tick the box. Relevant criminal convictions are only those convictions for offences against the person, whether of a violent or sexual nature, and convictions for offences involving unlawfully supplying controlled drugs or substances where the conviction concerns commencial drug dealing or trafficking. Convictions that are spent (as defined by the Rehabilitation of Offenders Act [1974]) are not considered to be relevant and need not be disclosed except in the circumstances set out below. You must tick the box if either of the following statements applies to you: You have a relevant criminal conviction that is not spent. You are serving a prison sentence for a relevant criminal conviction If you enter a tick in the box you will not be automatically excluded from the application process. However, the university or college concerned may want to consider the application further or ask for more information before making a decision. You should be aware that, for courses in teaching, health, social work, veterinary medicine, veterinary science or courses involving work with children or vulnerable adults, any criminal convictions, cautions (including verbal cautions), reprimands, final warnings and bind-over orders are exempt from the Rehabilitation of Offenders Act [1974]. If you are applying for these courses, the universities and colleges will ask you to agree to have a criminal record check. You may also need an enhanced disclosure document from the Criminal Records Bureau or the Scottish Criminal Record Office Disclosure Service. The means that, if the criminal record check identifies that you have had a conviction, caution, reprimand, final warning or bind-over, this information will be made available to the university or college considering your application. The university or college will send you the appropriate documents to fill in. For institutions in England and Wales forms should be sent to the Criminal Records Bureau, while for Scottish universities and colleges details would be sought from the Scottish Criminal Record Office Disclosure Service. If you are convicted of a relevant criminal offence after you have applied you must tell us and any university or college that you have applied to, or may apply to, during the application cycle. Do not send details of the offence; simply tell us and the universities and colleges that you have a relevant criminal conviction. The universities and colleges may then ask you for more details.
3.2	Applicants to postgraduate programmes are asked, as part of their application; "If you have a criminal conviction which you required to delare please tick the box." When signing or submitting their application, all applicants agree to the following declaration: "By submitting this application, I declare that the information I have provided is accurate and no material information has been omitted. Any work submitted in support of this application is entirely my own. I consent to the University processing my application. I agree to abide by the University's rules and regulations if accepted on a programme of study." Guidance notes are provided which state: The University has special procedures for handling applications from people with criminal convictions. The information that you provide will not affect the academic assessment of your application. However, it will enable us to ensure that the interests and safety of all members of the University community are safeguarded. Relevant criminal convictions include offences against an individual, whether of a violent or sexual nature, and convictions for offences involving unlawfully supplying controlled drugs or substances where the conviction concerns commencial drug dealing or trafficking. Spent convictions (as defined by the Rehabilitation of Offenders Act 1974) are not considered to be relevant and you should not reveal them. If you are convicted of a relevant criminal offence after you have applied for a postgraduate programme of study, you must tell us. We will then ask you for further details. Programmes in teaching, health, social work or those involving work with children or adults You must tick the box if any of the following statements apply to you: I have a criminal conviction I have a spent criminal conviction I have a caution (including a verbal caution) I have a bind-over order I am serving a prison sentence for a criminal conviction You may need an 'enhanced disclosure document' from the Criminal Records Bureau or Scottish Criminal Record Office Disclosure Service. The University will send you the appropriate forms to complete. If statement 'e' applies to you, then you must also give the prison address as your correspondence address and a senior prison officer must support you application (eg: as a referee). All other programmes For all other programmes, you must tick the box if either of the following statements apply to you: I have a relevant criminal conviction that is not spent I am serving a prison sentence for a relevant criminal conviction If statement 'b' applies, then you must also give the prison address as your correspondence address and a senior prison officer must support you application (eg: as a referee).

4. Scope of Criminal Records Bureau Checks
4.1	The University is required to undertake Criminal Records checks on potential and/or enrolled students via the Criminal Records Bureau in the following circumstances: Students working with children and vulnerable adults, alone and unsupervised, for significant periods of time as part of the programme of study. This could be during placements, as part of the practical work or as part of a research project. Students involved in voluntary (unpaid) activities, that do not form part of the programme of study, which bring them into contact with children and vulnerable adults. Students undertaking a programme of study that leads towards professional registration where the professional body requires a check as a pre-condition to entry and practice (eg: Medicine, Nursing, Education courses leading to Qualified Teacher Status).
4.2	In these circumstances, the University is required to seek a criminal record disclosure in respect of all applicants/students regardless of whether any criminal record has been declared. The University is registered with the Criminal Records Bureau (CRB) for this purpose. Further details of our responsibilities in respect of disclosure applications are contained in paragraph 7.

5.	Action to be taken on receipt of an Application which includes a Declaration of a Criminal Conviction
5.1	Initially Admissions Tutors should assess applications on academic and motivational merit alone. If there are no academic grounds for making an offer to the applicant, the application can be rejected in the normal way.
5.2	If, from an academic viewpoint, the applicant is felt to merit an offer of a place, the Admissions Tutor should obtain as much information as possible about the nature of the criminal conviction. In particular, where the applicant has been convicted, the Admission Tutor should ask the applicant to provide references from his/her Probation Officer and/or prison authorities; (applicants who are serving prisoners at the time of application will be required by UCAS to submit their application via the prison authorities who are expected to indicate the suitability of the applicant to undertake a course of study, and whether the applicant would be available to commence a course if an offer was made and accepted). In the case of undergraduate applicants, further information may also be available from the UCAS Verification Unit who should be approached through the Head of Registry Services. The Head of Registry Services should, in any case, be informed and all correspondence should be copied to him/her.
5.3	In the case of convictions which have resulted in a sentence of imprisonment (including a suspended sentence), Admissions Tutors should, in discussion with the relevant Head of School, Deputy Dean (Academic) and Dean of Faculty, prepare a case recommending and objectively justifying either acceptance of the applicant or rejection on grounds related to their criminal record. Such cases should include an assessment of the risk to other members of the Faculty (and the wider university community). Where possible this assessment should be supported by documentary evidence. Consideration should also be given, in the case, to the need to alert other parties (eg: the Accommodation Service, Faculty Office, placement providers) to the circumstances, and/or set up appropriate supervision arrangements prior to the applicant's registration as a student. The case should then be sent to the Head of Registry Services who will convene a panel consisting of a former or serving Dean or Deputy Vice Chancellor and two Admissions Tutors who will jointly take responsibility for deciding whether or not an offer should be made.
5.4	In the case of convictions which have resulted in a sentence not involving imprisonment, Admissions Tutors should normally reach a decision in consultation with the relevant Deputy Dean (Academic). Objective reasons for the decision should be recorded. If an Admissions Tutor is concerned that the nature of the offence in question warrants more extensive investigation, he or she may choose to follow the more thorough procedures described in paragraph 5.3.
5.5	Written confirmation of all decisions to proceed with an offer or a rejection must be made available to the appropriate School admissions staff together with a copy of the case justifying the decision before an offer is issued. School admissions staff should monitor such cases carefully to ensure that this occurs.

6.	Action to be taken where there is reason to suspect that an Applicant has a Criminal Conviction which has not been declared
6.1	This is most likely to occur where a referee refers to criminal convictions or other evidence of a criminal record (such as cautions, warnings and bind-overs, entries on the Sex Offenders Register without charges, or ongoing enquiries and suspicions) within a confidential reference. The University is also occasionally alerted to undeclared criminal convictions or records by the UCAS Verification Unit.
6.2	Admissions Tutors should notify the Head of Registry Services of their suspicions.
6.3	In the case of undergraduate applications, the Head of Registry Services will seek the advice of the UCAS Verification Unit. The Verification Unit should be able to ascertain whether or not the Admissions Tutor's suspicions are well-founded. In the event of an applicant having failed to disclose a very serious conviction, UCAS may decide to cancel the application. If the application is not cancelled, Admissions Tutors should follow the procedures detailed in paragraph 5.1. However, they should bear in mind the need to obtain the permission of the referee before discussing with an applicant any information for which the sole source is a confidential reference. Any cases submitted to the panel should include reference to the applicant's failure to declare the conviction concerned.
6.4	In the case of postgraduate applications, the Admissions Tutor will need to obtain as much information as possible about any criminal conviction from the referee. They may also wish to approach the applicant but should bear in mind the need to obtain the referee's permission before discussing with an applicant any information for which the sole source is the confidential reference. Bearing in mind the constraints which the confidentiality of the reference may impose, they should then follow the procedures detailed in paragraph 5.5 above. Any cases submitted to the panel should include reference to the applicant's failure to delare the conviction concerned.
6.5	Should information concerning criminal convictions/records come to light after an offer has been made but before the student has enrolled, the above procedures should still be followed. Both the UCAS regulations and University's own procedures make provision for an offer to be withdrawn if it is subsequently felt to be inappropriate in the light of information not available when it was first made.
6.6	If the information on criminal convictions of a serious nature (ie: involving a custodial sentence) comes to light after the student has enrolled, the matter should be referred to the Committee of Discipline and dealt with under the disciplinary procedures.

7. Clearing Applicants with Criminal Convictions
7.1	All Clearing Entry forms must be checked by School Admissions staff for evidence of criminal convictions. However, if a selector is notified of a criminal conviction or record at an earlier stage of the Clearing process, it is essential that this is flagged to the School Admissions staff as quickly as possible.
7.2	The time available during Clearing may not be sufficient for the full procedures described above to be implemented, particularly where consideration by a panel is required. In such cases it may be necessary to ask the applicant to defer their application for a year to ensure that their criminal record can be fully investigated. However, a decision on this should only be taken after discussion with the Head of Registry Services and the Deputy Vice-Chancellor responsible for admissions.
7.3	If selectors are aware of criminal convictions or records when a Clearing enquiry is first made, they should avoid making any firm commitment to an applicant until discussion with the Head of Registry Services and the Deputy Vice-Chancellor has taken place. If a firm commitment has been made to an applicant whose UCAS Clearing Application subsequently reveals a criminal conviction, it may be necessary to go back on the verbal commitment made. Again, this should only be done following a discussion with the Head of Registry Services and the Deputy Vice-Chancellor.

8. Requesting Criminal Records Disclosures from the Criminal Records Bureau
8.1	The University is registered with the Criminal Records Bureau (CRB) for the purposes of obtaining criminal records disclosures in specific circumstances. Disclosures may only be requested by individuals who are registered with the CRB as counter-signatories. Any school wishing to make use of the service should contact the University's lead signatory (Zoë Heathcote, Head of Registry Services) to make arrangements for nominated School staff to be registered as counter-signatories.
8.2	Guidelines on using the CRB disclosure service are available from the CRB website.
8.3	The University is required to comply fully with the CRB Code of Practice: a copy of this Code of Practice can be accessed via the CRB website. In particular, this Code of practice requires us to: Ensure that student recruitment material and offer letters relating to programmes of study that require a Disclosure contain reference to the requirement for the CRB check, and make a copy of the CRB Code of Practice available.. Include in student recruitment material and offer letters a statement to the effect that having a criminal record will not necessarily be a bar to obtaining a place in order to reassure applicants that Disclosure information will not be used unfairly. Ensure that, in the exceptional circumstances where the police release "additional information" to the University in a separate letter, the additional information is not released, revealed or discussed with the applicant/student. Take into account a range of factors when considering what is revealed in a Disclosure before deciding whether to admit the student/permit the student to participate in the activity, including the seriousness of the offence, the length of time elapsed since the offence, whether there is a pattern of offending behaviour, the circumstances surrounding the offence and the explanation offered by the applicant/student. Have a security policy covering the correct handling of Disclosure information (covering storage, handling, retention and disposal) - see sections 9 and 10 below.

9.	Storage, Handling, Retention and Disposal of Information relating to Criminal Records
9.1	Correspondence relating to the declaration of criminal records by an applicant (including any CRB Disclosure information) should not be kept on the applicant's personal file. It should always be kept separately and securely in lockable, non-portable storage containers with access strictly controlled and limited to those who are entitled to see it as part of their duties.
9.2	The same restrictions should apply in relation to the student file once an applicant registers as a student.

10.	Specific Restrictions in Relation to Storage, Handling, Retention and Disposal of CRB Disclosures
10.1	Retention Once a decision has been made (whether in relation to admission to a programme of study or participation in an activity), the University must not retain the Disclosure or any associated correspondence for longer than necessary for the particular purpose. Where the Disclosure is entirely satisfactory, the document should be destroyed at the earliest opportunity (typically within 48 hours of receipt), during which time the fact of the positive outcome of the check is recorded. Where the Disclosure reveals information that must be considered carefully, and a positive decision is reached (to admit or permit participation), the document should be destroyed once that decision has been made ( typically 2 - 6 weeks after receipt). Only in the rare cases where the Disclosure leads to a negative decision (ie: to reject the applicant or to deny participation) is it necessary to retain a Disclosure for a longer period in case of dispute, complaint or appeal relating to that decision. The University is permitted to retain Disclosures up to a maximum of 6 months. Should the University believe it necessary to retain a Disclosure for longer than 6 months, the prior approval of the CRB is required.
10.2	Storage and Handling Paragraphs 9.1 and 9.2 above refer. Counter-signatories are advised that, where Disclosures are retained, they should be filed in months of receipt order, then alphabetically, so that out-of-time Disclosures can be systematically disposed of each month.
10.3	In accordance with Section 124 of the Police Act 1997, Disclosure information should only be passed to those who are authorised to receive it in the course of their duties. Schools are required to maintain a record of all those to whom Disclosures or Disclosure information has been revealed, and should be aware that it is a criminal offence to pass this information to anyone who is not entitled to receive it.
10.4	Disclosure information may only be used for the specific purpose for which it was requested and for which the applicant's full consent has been given.
10.5	Record-keeping Counter-signatories need to keep a record to confirm the existence of a CRB check and the decision that followed consideration of the Disclosure documentation. The record should contain the following information: Applicant/student name and ID CRB Disclosure reference number Type of Disclosure requested (Standard or Enhanced) Progress record of movements of CRB application (date sent to CRB, date Disclosure documentation received) Date Disclosure documentation was disposed of Activity in relation to which the Disclosure was sought (eg: admission to specified programme of study, participation in specified voluntary activity) Decision outcome (ie: admit/reject, participate/reject) Who has had access to the Disclosure information (members of any review panel including anyone external to the University such as a placement provider) The record must not contain any information about the content of the Disclosure documentation.
10.6	Disposal Once the period of retention has elapsed, CRB Disclosure information must be immediately destroyed by secure means (ie: by shredding, pulping or burning). While awaiting destruction, Disclosure information must not be kept in any insecure receptacle (eg: confidential waste sack). Counter-signatories should not keep any copy or representation of the contents of a Disclosure.

Version Control Part 28 of Section IV of the University Calendar 'Applications from Students with Criminal Convictions or Records' updated by Zoë Heathcote, 10 August 2007, in light of SUMS Good Practice Guide: Applications for Criminal Records Bureau Checks.