Communication during a report / investigation

Initial disclosure / Report and Support

When an indentifiable student ("Reporting Party") first discloses their concerns about another party at the University, these will initially be treated in confidence. An Advice and Response Caseworker will liaise with the Reporting Party to understand more about their report, to provide support and guidance and advise them of options, including to formalise their report.

Formal report

When a formal report is made, this will initiate the University considering the report further. This will first be looked at from a triage perspective, then precautionary and possibly then further investigation.

The Reporting Party will be engaged with throughout this process and can retain their Advice and Response Caseworker.

When the Formal Report does need to be actioned, this will mean the University contacts the Respondent (the person who is alleged to have committed misconduct). At this point the University will need to be able to share the nature of the Formal Report and who has made it.

The Reporting Party too will be engaged with throughout the process and will be allocated their own Advice and Response Caseworker.

Investigations can take some time for complex and sensitive cases and may require various meetings and correspondence. It should be expected that any information generated during an investigated could be with the Respondent, if not during the investigation, but at least if they are later referred to a disciplinary panel. This is because of transparency and them being able to comment on the issues being alleged. Only very sensitive information may be withheld e.g. medical information, contact details.

At the end of an investigation both parties can choose to receive the full investigation report. This will be attached to a cover letter. Usual practice is that each party is offered a meeting where they can receive a summary of the outcome, but some parties may wish to receive it electronically only, or before or after a meeting, or not at all. The outcome report and cover letter are shared securely and in confidence, meaning they're not for further circulation or publication, with the allowance that a student may discuss the outcome with a genuine Supporter who has accompanied them during the process, such as their Advice and Response Caseworker or Student's Union Advisor.

Communication during the disciplinary process

Overview

When a case is referred to a disciplinary panel, the case will be allocated to the Conduct and Discipline Team. A new Caseworker will manage the arrangements around the case and become the Respondent's main point of contact.

Communication with a Reporting Party will remain via their Advice and Response Caseworker. A Reporting Party's Advice and Response Caseworker will be asked to have a discussion with them to manage their expectations about the process, asking whether they (1) wish to be invited to a disciplinary hearing as a witness and (2) if they wish to submit an impact statement. A Reporting Party may do both, one or neither. In relation to the hearing, if a Reporting Party declines to attend, the University will need to ask why, and relay this to the disciplinary panel; however, they'll not be required to attend. With an impact statement, this is only read at a disciplinary hearing if the disciplinary panel reach a finding of misconduct. An impact statement is needed a few days before a hearing.

Cases of a sexual misconduct, gender-based violence or dignity at work and student nature, often require hearings of significant length and so finding both a date and appropriate panel members can take some time to arrange. This is part of the reason why the Conduct and Discipline Team need to know the Reporting Party's intentions.

The Respondent receives an invite to a hearing on at least 10 working days notice. They'll receive all the information about the case at this stage, as will the disciplinary panel. If a Reporting Party request to attend has been accepted, then they will also receive an formal invite to the hearing.

A disciplinary panel aims to make a decision on the day of the hearing. This is communicated directly to the Respondent on the day and they are sent a summary email afterwards. The notes are then written up and a detailed outcome letter sent to them 10-15 working days later providing the reasons for any finding and penalty (if applied). Respondents have 10 working days from their letter to decide whether they wish to appeal. Appeals are handled by a separate team (Teaching and Learning Delivery, Division of Students and Academic Services).

To keep the Reporting Party informed, the Conduct and Discipline Team will advise their Advice and Response Caseworker that the case has concluded and of any immediate safety messaging. The Conduct and Discipline Team will prepare a summary outcome letter for the Reporting Party which will set out key procedure followed, the high level findings and of any penalties applied that they may need to be alerted to. The letter is intended to assist with closure but is less detailed around the rationale for the outcome as this is personal to the Respondent. The Reporting Party does not have a right of appeal but can speak to their Advice and Response Caseworker if they have feedback.

Notable policy / procedure

Paragraph 3.10 of Regulation XVII (Conduct and Discipline of Students) 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."

Paragraph 4.8 of the Procedure for Summary Disciplinary Panels and Procedure for the University Disciplinary Panel state:

"If the disciplinary action arose following a formal complaint by another person who has a substantial involvement in the case, the SDP may inform the reporting person of the overall finding against the student but they should not be provided with any sensitive information pertaining to the student."

Communication summary

Respondent	Reporting Party
At the conclusion of an investigation, the Respondent will receive investigation report, cover letter and opportunity for meeting.	At the conclusion of an investigation, the Respondent will receive investigation report, cover letter and opportunity for meeting.
Respondent will be advised when a referral to a disciplinary panel has been accepted by the Conduct and Discipline Caseworker. Their Advice and Response Caseworker remains allocated to them during the disciplinary process.	A Reporting Party has a discussion with their Advice and Response Caseworker about possible attendance at a hearing submission of an Impact statement. This will be relayed to the Conduct and Discipline Caseworker.
A hearing will be arranged and scheduled, taking account of expected attendances. The Respondent will receive an invitation to the hearing on at least 10 working days notice. The Respondent’s invitation will highlight the expectation of Reporting Party receiving an outcome and what this will include (procedure, high level findings, relevant penalties)	A hearing will be arranged and scheduled, taking account of expected attendances. If the Reporting Party is attending, they’ll receive an invitation to the hearing on close to 10 working days notice. If the Reporting Party is not attending, the Conduct and Discipline Caseworker will confirm the hearing date to the Advice and Response Caseworker to relay to Reporting Party.
Respondent receives UDP invite on 10 working days notice.	Invite now to highlight the expectation of Reporting Party receiving an outcome and what this will include (procedure, high level findings, relevant penalties)
Hearing takes place. Respondent attends in full and receives outcome during the hearing.	Hearing takes place. If Reporting Party in attendance, this will be for a segment of the meeting as a witness, after which they will leave. They will not receive the outcome of the case at the hearing.
Respondent receives an email after the hearing summarising the outcome and advising the Reporting Party will be updated.	Conduct and Discipline will relay to Reporting Party, via Advice and Response Caseworker, that the hearing took place, the outcome is being finalised and of any immediate safety related penalties e.g. non-contact.
Outcome letter issued to Respondent after approx. 10 working days. Sometimes this may take longer for lengthy cases. The letter will often be of sizeable length and include a summary of what was discussed at the meeting, what was decided and why, support signposting and appeal options (if applicable). Letter will highlight that we expect to confirm outcome to Reporting Party.	The Reporting Party will receive a letter from Conduct and Discipline, via their Advice and Response Caseworker, soon after the Respondent’s letter. The information contained will be formal and will set out key aspects of procedure, the high level findings and of any penalties applied that the Reporting Party has a legitimate interest in being made aware of e.g. for safety purposes. The letter will not include the same level of detail or rationale as the Respondent’s letter.