Overview

Disciplinary processes may arise at any point and from different sources.  For example, an examiner may refer a case of academic malpractice into the disciplinary process, or another individual may submit a complaint about the behaviour of a student.  The disciplinary process does not require the student subject to an allegation i.e. Respondent, to agree to the process being instigated; disciplinary action is taken at the discretion of the University.

To appropriately consider a case, information about a student subject to an allegation will need to be shared across a range of staff and areas of the University.  The disciplinary process is mindful of confidentiality but needs to be able to share information of both a personal and sensitive nature so that a disciplinary matter can be appropriately handled.  

Commonly, this will includes details of the allegation, a student's name, contact details, academic profile, previous offences, welfare information.  This will be shared on a need-to-know basis, both proportionately and appropriately.

Regulation XVII (Conduct and Discipline of Students)

Paragraph 3.10 states:

"The University will have due regard towards maintaining confidentiality in relation to any disciplinary allegation and subsequent finding.  However, in order for a case to be considered and handled fully, the content of the allegation and end decision will need to be disclosed, on a need-to-know basis, to members of staff and students who are involved in putting the Regulation into effect.  This includes staff whose input may otherwise be required to ascertain information relevant to a case, such as witness statements, requests for mitigation, previous offences, CCTV footage etc.; this principle may extend to external organisations where those organisations hold relevant information.  A copy of the disciplinary casefile will be retained in accordance with the University’s Records Retention Schedule.  University staff may also refer to serious behavioural issues in references provided for students and similarly may disclose them to a professional body."

Investigations

Within Advice and Response, where an investigation is undertaken, if a Reporting Party, Respondent or witness provide information about a case, they should expect this to be relied upon for the investigation and with the potential that this information is then disclosed (as managed by the investigator) to other parties, including onwards referral to a disciplinary panel.  It remains at the discretion of the Investigator what they consider necessary to disclose during an investigation, balancing individuals knowing what concerns have been raised against them whilst maintaining the integrity of the investigation. 

Disciplinary panels

Prior to a disciplinary panel, a student's School/Faculty may be advised that a student has been subject to a referral.  Sometimes they will already know about a case from being involved previously.  Where a case comes from outside a School/Faculty, it is more likely to be in serious cases, and where there may be information that is needed for a panel to reach a decision, when a School/Faculty will be advised of a referral which they have not been informed of before.  However, it may be that only essential details are shared.  In less serious cases, usually at summary level, or where the panel does not need any information from a School/Faculty, they may only be advised of a case at the conclusion of a hearing.  

Disciplinary panels do not know what cases will be referred to them, and they tend only to receive case information when notified of a hearing.  The individuals that make up the disciplinary panel could come from various areas of the University.  The panel will receive the information for the purpose of considering a case at a hearing and will delete information afterwards, save the Chair who may retain the information for longer until their role in the case has reached an appropriate end point.  At a hearing, only essential redactions of information will be considered; transparency is key to ensuring individuals have the opportunity to respond to a case and a fair and appropriate decision can be reached. Some information may, however, be withheld until an appropriate stage of a hearing e.g. mitigating circumstances, previous offences.

A hearing will have a record made, usually in the way of notes and an outcome letter.  The notes are retained within Advice and Response, though a Respondent may request a copy of these when they are finalised.  The outcome letter automatically goes to the Respondent.  The notes will either have been from handwritten notes or a recording that is then transcribed. 

Where a meeting is audio/visually recorded, this is not for personal use; it is for the purpose of ensuring the written notes are accurate and is not for onwards disclosure to a Respondent, particularly the parts of a meeting where they are not present.  Recordings are made only with the consent of everyone in attendance.  Recordings should be deleted when no longer required.  

The outcome report or letter from an investigation or hearing will be made available to the Respondent.  Reporting Parties have the right to see any investigation report, but the outcome from a disciplinary hearing (if agreed to be shared) will be limited to the essential details a Reporting Party might need to be made aware of.  Respondents will have the option to challenge disclosure of their hearing outcome, and in the event of a dispute, guidance will be sought from the Information Governance Office.

The outcome letter will be shared with a Respondent's School to individuals who need to be made aware of the outcome.  This may, for example, be Professional Service staff who need to action the outcome e.g. apply a mark of zero, provide welfare support, or academic colleagues who have presented a case or are in a position of responsibility in relation to the student and their studies e.g. Programme Director, Head of School, Academic Advisor, Supervisor etc.  Where the case has come from an area outside the School e.g. ResLife, they too will be provided with a copy of the outcome letter.  Any other disclosure identified as necessary, will be done so proportionately and confidentially.   

Outcomes from serious cases, whether from an investigation or a hearing, can be disclosed in references; see section 6 of the Guidance on Applying Student Disciplinary Penalties.  The University is under an obligation to provide an honest and accurate reference and so, if an individual is asked about, and they are aware of, a disciplinary matter, they may need to disclose this in a reference.  Similarly, if a student is, or likely to be, registering with a professional body, the University may need to make a proactive disclosure to those bodies.  If the case has identified issues of potential risk, such as the safeguarding of individuals outside the University e.g. where the University is made aware of a role they hold elsewhere, the University may need to take advice on onwards disclosure from the Information Governance Office prior to disclosure.

Students and confidentiality

Please see the 'Breach of Confidentiality' dropdown, on the Types of Unacceptable Behaviour page.