University of Southampton Calendar 2016/17


University Calendar 2016/17 Section IV : General Regulations Regulations Governing Student Discipline

Introduction
The aim of these Regulations is to provide a framework within which staff can work with students to maintain satisfactory standards of conduct and bring about improvement in conduct where necessary.
The Regulations are divided into two sections:
	Section A: The Policy sets out the scope and application of these Regulations and the principles to be applied in all cases.
	Section B: outlines The Procedure to be followed in handling disciplinary cases.
Each case will be treated with fairness and will be considered on its own merits on the evidence and circumstances presented. Where the University finds that misconduct has occurred, it is the University's aim to recommend a corrective course of action (where appropriate); although other sanctions may also apply.
The Regulations outline the usual timescales in disciplinary matters. Please note that where 'working days' are referred to, this excludes weekends, bank holidays and University closure days.
Students may obtain free, independent and confidential advice throughout a disciplinary case from the Students' Union Advice Centre, while additional information and guidance can be found on the Student Discipline website.
For students based overseas, localised arrangements may need to be applied.
These Regulations are made subject to the Charter, Statutes and Ordinances of the University.

Mediation - An alternative informal method of dispute resolution
Where an allegation of misconduct has been raised by a member of the University that a student's conduct should be investigated under these Regulations and that conduct has affected him/her personally, the individuals involved may choose to explore mediation as a means to resolving the dispute instead of proceeding under these Regulations. Information about the Mediation Service and how to access it can be found at https://www.soton.ac.uk/corporateservices/mediation/studentpage.html.

Section A : The Policy
1.	Whose conduct may be investigated under these Regulations?
1.1	These Regulations apply to allegations of misconduct committed by students enrolled at the University; including students in nominal registration and studying off-campus for any reason.
1.2	These Regulations may also apply (in the University's discretion) to:
	1.2.1	students enrolled at another institution but who are studying at or otherwise visiting the University at the time the alleged misconduct took place. This is subject to the terms of the agreement entered into between the University and the other institution and these students may also be referred to their institution to initiate disciplinary proceedings under their regulations.
	1.2.2	students who are also staff members (guidance should be sought from the Secretary of the Committee of Discipline who will consult with Human Resources).
1.3	All staff have the authority to deal with misconduct pursuant to these Regulations.

2.	What is misconduct for the purposes of these Regulations?
2.1	Misconduct is an act or failure to act by a student which is unlawful or otherwise judged to be inappropriate or unacceptable behaviour; and that behaviour does or could negatively affect the University in any way, or any person or entity associated with the University.
2.2	Major misconduct is misconduct which appears in the reasonable opinion of the University to be significant due to its impact on the University, the person or the property affected by the misconduct.
2.3	Examples of major and minor misconduct can be found on the Student Discipline website in Document A which is a guide and is not exhaustive and may be updated from time to time by the University.
2.4	Misconduct that is also a criminal offence
	Where a student's conduct is the subject of a criminal investigation, no disciplinary action will be taken under these Regulations, but the University will take those decisions set out in regulation 4 below and proceed with its own investigation provided that this does not jeopardise the criminal investigations. If the University decides to proceed under these Regulations and a student is unable to or has been advised not to attend a disciplinary hearing or say anything about a pending criminal matter, the University will take a decision based on the available evidence. Guidance for staff on handling matters of this nature can be found on the Staff Information webpage of the Student Discipline website.

3.	Other University Regulations relevant to disciplinary matters:
3.1	The following matters are not covered by these Regulations:
	3.1.1	Academic Integrity: Breaches of academic integrity (academic misconduct) are dealt with by separate Academic Integrity Regulations.
3.2	Allegations of misconduct arising in the circumstances set out below may be considered under these Regulations where the University deems it appropriate but will be considered in the first instance as follows:
	3.2.1	Fitness to Practise: A student's fitness to practise may be challenged when their behaviour, health and/or professional conduct gives cause for concern. See Fitness to Practise Policy and Procedure.
	3.2.2	Fitness to Study: The University's Fitness to Study Procedure outlines how the University will respond to situations where signs of illness, mental health difficulties or disorders are thought to have directly impacted on the conduct or behaviour of the student concerned.
	3.2.3	Discipline within University Halls of Residence Regulations will be handled in accordance with the Regulations Governing Halls of Residence.
	3.2.4	The Students' Union: Misconduct which is alleged to have occurred within premises occupied or managed by the Students' Union or during a student union activity or event will be dealt with in the first instance by the Students' Union.

4.	Decisions and Actions before starting the Disciplinary Procedure
4.1	Once an allegation has been raised, the Dean of the Faculty in which the student is registered (if raised in the Faculty) or the Chair of the Committee of Discipline (if raised centrally) or their respective nominees will:
	4.1.1	determine whether the matter falls within the scope of these Regulations and which procedure in Section B (i.e. for minor misconduct or major misconduct) to follow. If a matter falls outside of these Regulations, the person raising the allegation should be referred to other regulations that apply;
	4.1.2	advise the student(s) concerned in writing of the allegation providing sufficient detail and an opportunity for student(s) to admit or not admit the allegation; the student(s) shall respond within five (5) working days;
	4.1.3	where they deem it necessary:
		4.1.3.1	recommend that the Vice-Chancellor temporarily suspend a student from the University (i.e. a total prohibition from the University), temporarily restrict a student's access or attendance at the University or to University services (i.e. an exclusion) after a student has been heard as set out in 4.2; or
		4.1.3.2	subject to 4.3 below, determine whether to forbid the student from making contact with certain individuals. The arrangements and the reasons for the decision will be conveyed to the student in writing.
4.2	Before taking a decision in 4.1.3.1, the student shall be given an opportunity to be heard in person before a member of the Committee of Discipline. Due consideration should be taken of any imminent examination, assessment or other deadlines which are scheduled for the student in question and to hear any representations put forward by the student concerning the proposed temporary action. The arrangements and the reasons for the decision will be conveyed to the student in writing.
4.3	The actions in 4.1.3.are not disciplinary sanctions and do not imply that any decision has already been made about the allegations; will be for no longer than the University deems it necessary to complete the investigations into the allegations and/or to hold a hearing and will be reviewed by the Chair of the Committee of Discipline or his/her nominee(s) every twenty (20) working days whilst in force to take into account any developments or representations made by the student.
4.4	If a student admits an allegation at this stage, he/she may submit written evidence in mitigation to be taken into account when determining the sanction to be imposed. Students should refer to regulation 6.5 below.
4.5	Matters not disposed of under 4.5 above, will follow the procedure in Section B.

5.	Confidentiality
5.1	The University will process all personal information in accordance with its Data Protection Policy.
5.2	The University will disclose information to: inform the student of the allegations made and give him/her an opportunity to respond as required by natural justice, to allow an investigation to be carried out properly, for the discharge of its duties or as required by law.
5.3	There may be exceptional cases where it is appropriate to preserve confidentiality in relation to the identity of witnesses where there is reasonably perceived to be a need to protect any student or staff from the risk of intimidation or retribution.
5.4	The University may also adapt the procedures in Section B where it is considered undesirable for any one person to give evidence in the presence of another.
5.5	Where a person against whom allegations have been made is not aware of the identity of all those who have given evidence, due weight to this factor must be given and the individuals' responses to the allegations must be seen in this context. Natural justice must be observed, meaning that such an individual has the right to fully understand the case made against him/her.
5.6	Audio and/or visual recording of meetings and disciplinary hearings is not permitted. If, due to exceptional circumstances it is agreed in advance that recordings are permitted, the recording is confidential and must not be copied, shared with any third party, published or disseminated in any way. A true and complete copy of the recording of the meeting must be provided to the other party as soon as possible after the recording was made.

6.	Disciplinary Sanctions
6.1	The usual sanctions for misconduct are set out below. Examples of disciplinary sanctions aligned to minor and major forms of misconduct for illustrative purposes only can be found on the Student Discipline website in Document B which is a guide and is not exhaustive and may be updated from time to time by the University. Each case will be assessed on its own merits.
6.2	Regardless of whether misconduct is initially classed as minor or major, after a hearing (see Section B) this classification may change and the range of sanctions available will likewise change. Sanctions for major misconduct should only be implemented after discussion with the Secretary of Discipline or his/her nominee. For the avoidance of doubt, findings of misconduct are made on a balance of probabilities.
6.3	The sanctions the University may levy are one or more of the following: A written apology including a piece which reflects on the student's behaviour to be provided to an aggrieved party; A written reprimand; Fines ranging from £100 to a maximum of £300; To require that a student provides compensation; To require the student to undertake unpaid community services to the University community up to a maximum of 40 hours (advice is to be obtained from the Secretary of the Committee of Discipline before issuing this sanction); To impose a No Contact Order with specified persons for a period of time to be agreed; To require the student to attend rehabilitation programmes; To exclude or restrict a student from access to parts of the University or University services (action taken by the Vice-Chancellor or his/her appropriate nominee); To suspend a student from the University (action taken by the Vice-Chancellor or his/her appropriate nominee); To expel a student from the University with a consequent loss of rights and privileges of University membership (action taken by the Vice-Chancellor or his/her appropriate nominee); To recommend that Senate consider withholding an award from the University where it would otherwise withdraw or cancel same if made pursuant to part 7: Admission, Examinations and Awards of the Ordinances of the University.

6.4	Where appropriate, the University may choose to suspend the implementation of one/more sanctions if the student has shown remorse or undertakes to significantly improve their conduct and takes positive action to achieve this.
6.5	If a student admits an allegation at any stage of the procedure the University may levy the appropriate sanction for that level of misconduct in accordance with the indicative sanctions (found on the Student Discipline website in Document B without progressing through the next stage of the disciplinary procedure. If a student wishes certain facts to be taken into account before a sanction is imposed they should submit a written statement (with evidence where appropriate) together with their admission and the University will consider this in deciding the sanction. The University may also look favourably on students making early admissions.

7.	Appeal
7.1	A student wishing to appeal a decision by the University under these Regulations must do so within ten (10) working days of the date of the Outcome Letter (see Section B) by sending a copy of the completed Notice of Appeal form (found on the Student Discipline website in Document C) to the Secretary of the Committee of Discipline, together with a copy of the Outcome Letter. Students may only appeal a decision reached by the University on the following grounds:
	7.1.1	There is significant or additional new evidence not previously available, explaining a particular behaviour or outcome. (This additional evidence must be sent in with the written notice of appeal); and/or
	7.1.2	That there has been significant failure of due process in the making of the original decision i.e. a material procedural irregularity or administrative errors which, if it had not occurred, might have impacted significantly on the original judgement and/or the sanction imposed.
7.2	Dissatisfaction with the outcome of a matter or sanction does not itself constitute grounds for appeal.
7.3	The Secretary of the Committee of Discipline and the Head of Academic Complaints and Appeals or their respective nominees will consider the notice of appeal within ten (10) working days of it being received on the written evidence only. They may decide:
	7.3.1	That no grounds for appeal have been met and may refuse the appeal. In such a case the student should be notified within 5 working days of this decision and a student may request a Completion of Procedures letter; or
	7.3.2	That one or both grounds for appeal appear to have been met and an Appeals Panel be convened to decide the appeal. The student will be notified within five (5) working days of this decision.
7.4	An appeal will only be considered on the documentary evidence placed before the Appeal Panel and there will be no appeal hearings.
7.5	The Appeals Panel for:
	7.5.1	all matters except those set out in regulation 7.5.2 below will comprise two members of staff from a list of staff who have been trained and with appropriate seniority who have not had any dealings with the case previously.
	7.5.2	an appeal against a sanction of expulsion, suspension or exclusion will be Council .
7.6	An Appeal Panel may decide to:
	7.6.1	Uphold the student's appeal in whole or in part and refer the matter back for re-hearing before a new Chair;
	7.6.2	Still find misconduct but impose a lower sanction;
	7.6.3	Dismiss the student's appeal in its entirety.
7.7	The decision of the Appeals Panel is final and will be given to the student in writing within five (5) working days of the appeal panel reaching a decision. A Completion of Procedures Letter will follow within thirty (30) working days of the appeal panel reaching a decision.

8.	Recording and Monitoring of Disciplinary Matters
8.1	Records of disciplinary matters under these Regulations which have resulted in sanction(s) shall be taken into account when imposing sanctions in any subsequent misconduct involving that student and kept on student files as indicated below:
		Sanctions for Minor Misconduct: a maximum period of 12 months from the later of, the date of the Outcome Letter or Completion of Procedures Letter;
		Sanctions for Major Misconduct: for the duration of the student's enrolment at the University.
8.2	Subject to regulation 5.1 above, the University will record and monitor discipline cases to identify trends and inform University practices, procedures and activities.
8.3	Faculties and the Central Discipline Team will monitor the number of discipline cases considered annually and submit a composite report to the Secretary of the Committee of Discipline on request.
8.4	The Secretary of the Committee of Discipline shall:
	8.4.1	monitor the number of discipline cases considered annually under the central Chair's Action and those heard by the Committee of Discipline; and
	8.4.2	submit a summary, anonymised report annually to Senate based on the outputs from the monitoring exercises above.
8.5	The Vice-Chancellor shall report such matters to Senate as required under the University's Statutes and Ordinances.

9.	External Review - Office of the Independent Adjudicator for Higher Education
9.1	A Completion of Procedures letter signifies to the student that the University's internal procedure for reviewing and resolving discipline has been completed and should be sent to the student normally within 28 days of the University's final decision. The letter will provide information about complaining to the OIA.
9.2	Information about the OIA's procedures may be found at http://www.oiahe.org.uk or in the OIA leaflet 'An Introduction to the Student Complaints Scheme' which is available from the Students' Union Advice Centre. Students wishing to submit a complaint to the OIA must do so within the timeframe set down in the Rules of the Student Complaints Scheme, which is normally within 12 months from the date of the Completion of Procedures letter, unless the Completion of Procedures letter was issued before 9 July 2015, when the complaint must be submitted within 3 months from the date of the Completion of Procedures letter. A complaint must be made in writing using the Scheme Application Form.
9.3	Contact details for the Office of the Independent Adjudicator are: Office of the Independent Adjudicator 2nd Floor Abbey Gate 57-75 Kings Road READING Berks RG1 3AB Tel: 01189 599813 Email: enquiries@oiahe.org.uk

Section B : The Procedure
A simple summary of this procedure can be found on the Student Discipline website in Document D. Reasonable adjustments to this procedure may be made, when appropriate, for students with additional needs or to allow for other factors that would otherwise place a student at a disadvantage. This may include holding meetings by videoconferencing (eg: Skype), telephone conferencing or other appropriate means.
1.	Support
1.1	During all stages of the procedure, students may be accompanied to meetings or hearings by a member of the University- either a member of staff or a fellow student, or by an advisor from the Students' Union Advice Centre. Other than as set out herein, otherwise only in exceptional circumstances, and by prior agreement, may a student be accompanied by someone who is neither a member of the University nor a Students' Union advisor.
1.2	The role of the companion is not to offer formal representation, but to offer support and advice to the student conducting their case.

2.	Student advised of Allegation
2.1	A student will be advised of the allegation in accordance with Section A.4.2.3. If a student does not admit the allegation, the matter will progress as set out below.

3.	Investigations
3.1	The purpose of an investigation is for the University to gather the facts and evidence relating to any disciplinary allegations against the student to determine if there are sufficient grounds or evidence to proceed to a hearing.
3.2	The amount of investigation required will depend on the nature of the allegations and will vary from case to case. It may involve interviewing and taking statements from the student, the person making the allegations, witnesses, and/or reviewing relevant documents. The investigator will prepare a brief case report and attach this to the relevant SharePoint record.
3.3	For minor misconduct: The faculty CQA team will co-ordinate and assist in managing the case. The Dean of the Faculty or his/her nominee will appoint an investigator from the Faculty who will conduct an investigation.
3.4	For major misconduct: The central discipline team will co-ordinate and assist in managing the case. The Chair of the Committee of Discipline or his/her nominee will appoint an investigator to conduct an investigation.
3.5	During an investigation, if a student admits to the allegation, the University will not - unless deemed necessary by the Chair of the Committee of Discipline - proceed with a disciplinary hearing and the student may still submit evidence in mitigation to be taken into account when determining the sanction to be imposed. See Section A.6.5 above.

4.	Notification of a Hearing
4.1	Following any investigation as set out above, if the University considers there are grounds to proceed to a hearing, the student will be required to attend a disciplinary hearing.
4.2	The University will give the student written notice of the date, time and place of the disciplinary hearing and will inform the student in writing of the allegations against him/her, the basis for those allegations, and what the likely range of consequences will be if the University decides after the hearing that the allegations are true. The hearing will be held as soon as reasonably practicable and normally within twenty (20) working days of completion of the investigation.
4.3	At least five (5) working days in advance of the hearing, both the student and the University will supply to one another where appropriate:
	(a)	a summary of relevant information each intends to rely on at the hearing;
	(b)	a copy of any relevant documents which each party intends to rely on at the disciplinary hearing;
	(c)	a copy of any relevant witness statements, except where a witness's identity is to be kept confidential, in which case the party will give the other as much information as possible while maintaining confidentiality;
	(d)	the names of any witnesses each party intends to call.

5.	The Hearing
5.1	The duration of a hearing will vary from case to case but must be proportionate to the misconduct alleged to have occur; the facts in dispute and the number of witnesses to be called.
5.2	A student must make every effort to attend a hearing, and failure to attend without good reason may be treated as misconduct in itself. If a student fails to attend without good reason, or is persistently unable to do so (for example for health reasons), the University may have to take a decision based on the available evidence.
5.3	Minor Misconduct Hearings: The hearing will be chaired by the Dean of the Faculty or his/her nominee. The Investigator may also be present. The Student may bring a companion to the disciplinary hearing.
5.4	Major Misconduct Hearings: The hearing will be chaired by the Chair of the Committee of Discipline or his/her nominee. The Panel will consist of a minimum of three members, one of whom will be the Chair and all of whom should be ex-officio members of Senate (from a Faculty other than that of the student). The Panel is supported by the Secretary to the Committee who will be in attendance. The President of the Students' Union will be invited to attend but attendance is not a requirement for the panel to proceed. The Investigator will present the case for the University but another individual may be appointed to do so. The Student may bring a companion to the disciplinary hearing.
5.5	At the disciplinary hearing the University will go through the allegations against the student and the evidence that has been gathered. The student will be able to respond and present any evidence of their own. The student's companion may make representations and ask questions, but should not answer questions on the student's behalf. The student may confer privately with his/her companion at any time during the hearing.
5.6	The student will be given the opportunity to respond to any information given by a witness. The University may recall witnesses as it sees fit. A student will not be permitted to cross- examine witnesses unless, in exceptional circumstances, the University decides that a fair hearing could not be held otherwise or where the likely sanction to be imposed by the University is one of suspension, exclusion or expulsion.
5.7	The University may adjourn the disciplinary hearing if further investigations need to be carried out or for additional witnesses to be called or evidence to be submitted. The student will be given a reasonable opportunity to consider any new information obtained before the hearing is reconvened.
5.8	Except as set out in 5.9 below, the University will inform the student in writing of its decision and the reasons for it within ten (10) working days of the disciplinary hearing.
5.9	Sanction of Suspension, Exclusion, Expulsion and/or Recommendation for Withholding of Award:
	5.9.1	For Major Misconduct Hearings where the outcome is that a student should be suspended, excluded or expelled from the University and/or their award from the University withheld, then before implementing that decision the matter will be referred to a hearing of the Full Committee of Discipline to decide on the level of sanction to be imposed and for the student to provide any evidence in mitigation in relation to the proposed sanction. It is not a re-hearing of the facts of the matter but an opportunity for the student to offer any evidence in mitigation of any sanctions being imposed.
	5.9.2	The University will give the student written notice of the date, time and place of the Full Committee of Disciplinary Hearing; which will take place within twenty-five (25) working days of the date of the first disciplinary hearing. The central discipline team will provide the Committee members and the student with a summary of the findings from the first hearing and the reasons for recommending these sanctions at least ten (10) working days in advance of the second hearing.
	5.9.3	The Committee of Discipline Hearing will be conducted in accordance with regulation 5, except that a student may be accompanied by an adviser of his/her own choice, who may speak on his/her behalf.
	5.9.4	Should the Committee make a unanimous decision that the misconduct warrants suspension, exclusion or expulsion from the University then the Chair, will recommend that such sanction be imposed by the Vice-Chancellor. Should the Committee make a unanimous decision that the misconduct warrants withholding an award than it shall make that recommendation to Senate where Senate would otherwise withdraw or cancel same if made pursuant to part 7: Admission, Examinations and Awards of the Ordinances of the University. If there is no unanimity in imposing any of these sanctions, the Committee may impose a lower sanction.

6.	Outcome
6.1	An Outcome Letter signifies to the student that the University's internal procedure for reviewing and resolving discipline has been completed. The letter will provide information about any sanction(s) imposed and the reasons for this. The letter will also identify the internal appeals procedures and will be sent to the student ten (10) working days after the hearing (or after an admission if one is made).

Guidance
	Additional information and guidance can be found on the Student Discipline website.

Reviewed in May 2016; amendments approved by AQSC in June 2016 and by Senate in July 2016