University Calendar 2012/13
Section IV : General Regulations
Student Discipline Procedures


PREFACE
CONTENTS
SEMESTERS
SECTION I
SECTION II
SECTION III
SECTION IV
SECTION V
SECTION VI
SECTION VII
SECTION VIII
SECTION IX
SECTION X
SECTION XI
SECTION XII
SECTION XIII
SECTION XIV
 
ARCHIVE 2006/7
ARCHIVE 2007/8
ARCHIVE 2008/9
ARCHIVE 2009/10
ARCHIVE 2010/11
ARCHIVE 2011/12
1. Power of Staff to Check Disorder
  All members of staff, ie: a person with a contract of employment with the University, have the authority to check disorder or any breach of regulations by students occurring in any part of the University.
     
2. Preliminary Steps
  (1) Any behaviour constituting a breach of the Discipline Regulations shall be reported to the Dean of the Faculty in which the student is enrolled. The Dean of the Faculty or his/her nominee shall undertake a preliminary assessment to determine the seriousness of the case and the level of procedures to be followed. Where an incident involves an allegation of misconduct made by a student in another Faculty, the Dean should consult the Dean of the Faculty in which the complainant is based. The Dean may seek general and procedural advice from the Secretary of the Committee of Discipline before reaching one of the following conclusions based on the available evidence.
  1. That there is no case to answer or that the issue is not appropriate to be handled under the Regulations for Student Discipline.

  2. That the breach may be regarded as a minor incident and be dealt with under the Minor Breaches - Informal Action stage of the procedures below.

  3. That the case should be referred to the Chair of the Committee of Discipline.
  (2) In any case where it is suspected that a student who is alleged to have committed a breach of disciplinary regulations may be suffering from a mental health difficulty, then the advice of the Deputy Director of Student Services or his/her nominee will be sought. Where appropriate, any disciplinary action may be adjourned for the preparation of a medical report. If there is medical evidence that a student has a mental health difficulty which may have contributed to the behaviour against which disciplinary action is sought, the disciplinary process may be suspended or ended if it is felt appropriate to do so. It may be made a condition of the suspension or ending of the proceedings that the student seeks medical treatment. If the student does not co-operate with the University in relation to investigation of health matters (for example, by refusing to obtain medical reports or to see the Deputy Director of Student Services or his/her nominee) then the matter may be referred for consideration under the normal Regulations for Student Discipline. Such a decision shall be made by the Chair following consultation with the Deputy Director of Student Services or his/her nominee. However the University reserves the right to continue proceedings under these regulations.
  (3) Any action which constitutes a breach of the rules or regulations of the Library, iSolutions, the Halls of Residence, the Students' Union and any other such regulations as the University may from time to time approve will be dealt with in the manner which those regulations or rules specify, or by action under the Student Discipline Regulations by the Head of the relevant Service where the Chair of the Committee of Discipline considers that appropriate.
     
3. Minor Breaches - Informal Action
  (1) Should the Dean of the Faculty conclude, after preliminary assessment, that there is a case to answer but that the breach may be regarded as a minor incident, he/she or his/her nominee will investigate the facts of the case; this investigation will normally include an opportunity for the student to make representations. Where these representations are made in person, the student shall have the right to be accompanied by a friend or adviser who is a member of the University of Southampton Students' Union. On the basis of this investigation, the Dean may take the the following action(s).
  1. Issue the student with a verbal reprimand.

  2. Issue the student with a written warning.

  3. Require the student to provide a written apology to those affected by their behaviour.

  4. Where appropriate, require the student to make good any loss or damage to the University's premises or property or to the premises or property of affected staff, students or visitors.

  5. Conclude that the incident may be more serious than initially appeared and refer the matter to the Chair of the Committee of Discipline.

  6. Conclude that, while the facts are not in dispute and the student has admitted the breach of disciplinary regulations, it may be appropriate to impose a higher penalty than is available to the Dean and that the case should therefore be referred to the Chair of the Committee of Discipline.
  (2) The decision shall be notified to the student in writing, normally with ten working days of the completion of the preliminary assessment. A record of the incident and the action taken shall be kept on the student's file.
     
4. Minor Breaches - Right of Appeal
  (1) The student may appeal the decision of the Dean to a Dean of a different Faculty, in writing, normally within ten working days of the notification of the decision. The following constitute grounds for appeal.
  1. New evidence that could not have reasonably been made available as part of the initial investigation.

  2. A material procedural irregularity which, if it had not occurred, might have impacted significantly on the original judgement and/or the penalty imposed.

  3. That the penalty imposed was too severe given the nature of the offence and/or in comparison with penalties imposed on other students in similar positions.
However, dissatisfaction with the outcome of the proceedings does not itself constitute grounds for appeal.
  (2) Should an appeal be made the Dean shall review the allegation, the evidence, the decision and the reason for the appeal normally based on documentary submissions. The student shall have the right to make representations, either in writing or in person. Where the student attends a meeting with the Dean, the student shall have the right to be accompanied by a friend or adviser (who may not be a legally qualified person acting in a paid capacity). The Dean may seek general and procedural advice from the Secretary of the Committee of Discipline and/or heads of relevant services as appropriate to reach one of the following outcomes:
  1. that a lesser penalty be imposed;
  2. that the original decision be confirmed;
  3. that the case be referred to the Chair of the Committee of Discipline.
  (3) The Dean's decision will be presented to the student in writing normally within ten working days of the appeal being lodged.
     
5. Referral of a case to the Chair of the Committee of Discipline
  (1) Should the Dean assess that the alleged offence is more serious, he/she shall refer the case to the Chair of the Committee of Discipline.
  (2) The Dean shall provide to the Chair, in writing, a detailed summary of the case with all the available supporting evidence and, where appropriate, a recommendation for action. On the basis of the information provided, the Chair shall reach one of the following determinations.
  1. That the case should not be the subject of further action under the Student Discipline Regulations.

  2. That the case should be referred back to the Faculty for determination.

  3. That the Committee of Discipline should be convened to consider the case.

  4. That the nature of the offence makes it appropriate that the case should be dealt with on Chair's authority. In this instance the Chair may, after due consideration, reprimand, fine or exclude the student from any University activity or from all or any parts of the University for up to three months, and/or require the student to make appropriate restitution to the parties affected by his/her behaviour. Any exclusion imposed by the Chair under this regulation shall be reported to the Vice-Chancellor and to Senate at its next meeting. The student will be given the opportunity to make representations to the Chair.
  (3) The student will be informed of the Chair's decision in writing, normally within fifteen working days of the case being referred to the Chair. Should this not be possible, the student will be kept informed of progress and given a deadline for the decision to be conveyed as soon as possible.
  (4) If action is taken under 5(2)(d), the student may appeal the penalty to the Committee of Discipline and request that the Commitee of Discipline be convened. An appeal should be submitted in writing to the Secretary of the Committee of Discipline, normally within ten working days of the notification of the decision. The student's request must be acknowledged in writing. The student should be advised that the Committee of Discipline would have the power, if judged appropriate, to impose a more severe penalty than that imposed by the Dean.
     
6. Convening the Committee of Discipline
  (1) Where a case is referred to the Committee of Discipline, a meeting of the committee will be called as soon as possible and normally within twenty-five working days of the case being formally referred to the Chair. At certain times of the year (ie: out of term time) it may not be possible to adhere to this timescale but in such circumstances the student will be kept informed of progress and given a firm date for the meeting as quickly as possible.
  (2) In cases where two or more students are accused of related offences, the Committee of Discipline may address all the cases together. Where cases are held together, each student shall be given an individual opportunity to address the committee on his/her own behalf.
  (3) The Dean of the relevant Faculty (or his/her nominee), the Head of Service (or his/her nominee), ie: Library, iSolutions, Halls of Residence, or the President of the Students' Union (or his/her nominee) where the offence relates to the activities of the Students' Union, shall be appointed as the Presenting Officer. The role of the Presenting Officer is to put together and present all the evidence pertinent to the alleged breach of regulations. He/she may call witnesses in support of the allegations. The Presenting Officer should prepare the written case.
  (4) The student shall normally be given no less than ten working days' notice of the date of the committee meeting (except where, with the agreement of all parties, it is deemed appropriate to proceed on a shorter timescale), and shall be advised in writing of the following.
  1. The date, time and place of the meeting.

  2. A clear specification of the alleged offence together with a copy of the documentation which will be made available to the committee by the Presenting Officer.

  3. The right to be accompanied by a friend or adviser, and that the student is encouraged to contact the Students' Union Advice and Information Centre for support. (It is the student's responsibility to provide copies of documentation to his/her friend/adviser.)

  4. That the student is required to be present but that the Committee reserves the right to proceed in his/her absence.

  5. That the student has the right to provide written evidence which should be submitted at least five working days before the meeting.

  6. That the student has the right to bring witnesses but that it is the student's responsibility to contact such persons and arrange for them to be present at the meeting.

  7. That the student and/or his/her adviser may question witnesses at the meeting.

  8. That the names of the person accompanying the student, and any witnesses, shall be notified to the Secretary of the Committee in writing in advance of the meeting.
  (5) Full copies of all documentation should be sent to both the student and members of the committee at least five working days before the meeting.
  (6) The Committee has absolute discretion, through the Chair, to regulate its own procedures as appropriate in each case before it but will normally conduct its meeting as follows.
  1. The Committee may meet privately before the formal proceedings begin. During the formal proceedings the student, his/her adviser and the Presenting Officer should be present throughout the proceedings while evidence is being presented and questioning takes place. Witnesses will be called into the meeting as required but will not remain in the meeting room once their part in the proceedings has been completed other than with the special permission of the Chair.

  2. The Chair will welcome everyone to the meeting and advise the student of the allegations under consideration. The student will be asked if he/she admits the allegations.

  3. If the student admits the allegations he/she will be permitted to offer evidence and witness statements in mitigation with regard to the penalty to be imposed. If the student does not admit the allegations, the Committee will proceed to consider the case based on the documentary and oral evidence.

  4. The Presenting Officer shall present the case and call and question any witnesses in support of the allegation. Committee members may then question the witnesses and the Presenting Officer. The student will have the opportunity to raise questions of any witness called. The manner in which such questions are to be raised is at the discretion of the Chair.

  5. The student or his/her adviser shall present his/her evidence and call any witnesses in support of his/her case. The student and his/her witnesses may be questioned by the Presenting Officer and by the Committee members.

  6. The Presenting Officer, and then the student, shall be invited to make a final summary statement.

  7. Everyone other than the members of the Committee and the Secretary shall then withdraw and the Committee shall deliberate.
  (7) The Committee shall have the power to adjourn a meeting to another date as it thinks fit. If appropriate, the Committee may ask for additional witnesses to be called or existing witnesses recalled for clarification, or for additional written evidence to be submitted.
  (8) If any person involved in the proceedings has a disability or additional needs, the process may be adjusted to accommodate their needs in discussion with the Chair in advance of the meeting.
  (9) The Committee of Discipline is not a criminal court. Therefore allegations of breaches of regulations need not be proved 'beyond a reasonable doubt'. The standard proof which should be applied is the 'balance of probabilities' which means that, when assessing the evidence objectively, the Committee's view is that it is more likely than not that the allegation is correct.
  (10) The Committee may reach one or more of the following conclusions.
  1. That the allegation should be dismissed and no further action taken.

  2. To formally reprimand the student in writing.

  3. To impose a fine.

  4. To require the student to make apology and/or restitution to parties affected by the breach of regulations.

  5. To impose a good conduct penalty which shall come into effect if the student breaches the Student Discipline Regulations again in the future. The period of good behaviour will be determined when the penalty is agreed.

  6. To exclude the student from the University for a suitable period.

  7. To suspend the student from the University for a suitable period.

  8. To recommend to the Vice-Chancellor, on behalf of Senate, the student's expulsion from the University.

  9. In the case of (h) to also consider if a recommendation should be made to withhold or withdraw any award, final or interim, from the University.
In determining the appropriate penalty due account will be taken of any penalty imposed by a Court of Law.
  (11) The student shall be informed as soon as possible and in writing of the Committee's decision on the case, normally within five working days of the date of the meeting. At the same time, the student shall be advised:
  1. that they may, within ten working days of receipt of the letter setting out the Committee's decision, request a review of the penalty imposed by the Committee on the grounds that the penalty is too severe given the nature of the offence and/or in comparison with penalties imposed on other students in similar positions and/or may submit evidence in mitigation of the penalty; and

  2. that he/she has the right to appeal to Council against the Committee's decision.
7. Appeal against the Decision of the Committee of Discipline
  (1) A request for a review of the penalty should be submitted in writing to the Secretary of the Committee of Discipline, within twenty working days of receipt of the decision of the Committee, setting out in detail the reasons for the request and submitting documentary evidence to support any claims for mitigation. The review shall be conducted by the Committee of Discipline, by correspondence, on the basis of the information presented in writing by the student. The Presenting Officer will be given the opportunity to comment in writing before the Committee reaches its decision. As a result of this appeal process, the Committee may either impose a reduced penalty or reaffirm its original decision.
  (2) At the completion of the proceedings of the Committee, the Secretary shall write a short report. A copy of the report will be sent to the student, the Chair of the Committee and the Vice-Chancellor. Where the case is found against the student, a copy of the report will also be retained on the student's file and a summary report submitted to Senate.
  (3) The Presenting Office and the Dean (where different) shall be advised of the outcome.
  (4) A student may appeal to Council against the findings of the Committee of Discipline under Statute 18(21). An appeal must be submitted in writing to the Registrar and Chief Operating Officer, as Secretary to the Council, setting out the grounds on which the appeal is based, within twenty working days of receipt of the decision of the committee or the decision on any review of the penalty whichever is later. An appeal must be lodged by the student - it cannot be lodged by a parent or representative. The following constitute grounds for appeal.
  1. New evidence that could not reasonably have been made available as part of the initial investigation.

  2. A material procedural irregularity which, if it had not occurred, might have impacted significantly on the original judgement and/or the penalty imposed.

  3. That the penalty imposed was too severe given the nature of the offence and/or in comparison with penalties imposed on other students in similar positions.
  (5) Dissatisfaction with the outcome of the proceedings does not itself constitute grounds for appeal.
     
8. Misconduct that is also a Criminal Offence
  (1) The following procedures apply where the alleged breach of the Discipline Regulations may also constitute an offence under the criminal law if proved in a Court of Law.
  (2) Where the offence under the criminal law is considered not to be serious and a criminal prosecution to be unlikely, the University shall carry out its own investigation. Action under the Discipline Regulations may continue but will normally be deferred pending any police investigation or prosecution.
  (3) In the case of all other offences under the criminal law, no action other than suspension or exclusion may be taken under the Discipline Regulations unless the matter has been repolrted to the police and either resulted in prosecution or a decision not to prosecute. The Chair may then recommend to the Vice-Chancellor whether disciplinary action under the Discipline Regulations should continue to be taken.
  (4) The University has the right to refer any criminal offence to the police. However, if a person claims to have been the victim of a serious offence committed by a student but does not wish the police to be involved, the Vice-Chancellor may agree not to report the matter to the police except where this is required in law (for example, offences regarding children or vulnerable adults).
  (5) Students imprisoned for a period of 28 days or greater but for less than twenty-four months shall be suspended from the University for the duration of their sentence. Students imprisoned for periods greater than twenty-four months will be recommended for termination of programme. Where the sentence is for less than two years and the student requests to resume his/her studies, the Vice-Chancellor shall decide whether they may be re-admitted on the advice of the Chair of the Committee of Discipline and the Dean of the relevant Faculty, following representations from the student or his/her legal adviser. If the decision is that the student should not be re-admitted, the student will be recommended for termination of programme. A student whose programme is terminated under this regulation has the right of appeal to the Vice-Chancellor who will determine the case following representations by the student and/or his/her legal adviser. In determining the case due attention will be paid both to the needs of the student and the wider University community, including any victims in the case.
  (6) Where a finding of misbehaviour is made and the student has also been sentenced by a criminal court in respect of the same facts, the Court's penalty may be taken into consideration in determining the penalty.
Reviewed in July 2011; no changes made.
Reviewed in July 2012; no changes made.

Submitted by Corporate Services
Last reviewed: 31-Aug-2012
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