University of Southampton Calendar 2015/16


University Calendar 2015/16 Section IV : Fitness to Practise Policy and Procedures

Any student subject to Fitnesss to Practise procedures should be advised to make contact with the Advice Centre in SUSU as soon as possible, so that they can receive independent, confidential advice and arrange for support .

Introduction
Any programme of study which has a practice component, which will lead to a professional registration will be governed by a requirement that students demonstrate their 'Fitness to Practise'.
Behaviour, health and/or professional conduct that adversely affect a student's Fitness to Practise may result in their Professional Statutory Regulatory Body (PSRB) refusing to record the student's award and entitlement to practise. Faculties determine standards and criteria for students to ensure their fitness for practice. Standards of Education and/or Standards of Proficiency are published by PSRBs.
This document identifies policy and procedure to determine outcomes in situations where a student's Fitness to Practise is a cause for concern.
They have been developed with regard to equal opportunities legislation which ensures that the rights of students are protected and judgments are free from prejudice on the basis of Age, Disability, Gender reassignment, Marriage and civil partnership, Pregnancy and maternity, Race, Gender, Sexual orientation and Religion and Belief.
This document is divided into two sections: Section A sets out the the Fitness to Practise Policy; the scope, application and principles to be applied in all cases. Section B outlines the procedure to be followed in all cases where Fitness to Practise concerns are raised.
These Regulations outline the usual timescales. Please note that when 'working days' are referred to, this excludes weekends, bank holidays and University closure days.

Section A
1.	What is Fitness to Practise
1.1	A student's Fitness to Practise may be challenged when their behaviour, health and/or professional conduct gives cause for concern. In these circumstances, a student should be considered within Fitness to Practise procedures at a Faculty level.
1.2	In accordance with University procedures for academic progression and student discipline, professional body requirements and Faculty procedures the University must endeavour to ensure that the behaviour, health and professional conduct of students does not constitute a risk to themselves or others.
1.3	Professional Behaviour, Conduct, Discipline Any student breaching University disciplinary regulations may be reviewed under the 'Fitness to Practise' policy to determine if there are implications for their continuation on their programme. This includes any student who breaks the law. Students found guilty of violent behaviour, drug dealing or who engage in repeated episodes of intoxication will automatically be referred to a Fitness to Practise panel. More guidance in Professional Behaviour/Conduct/Discipline can be found in appendix X.
1.4	Health Related Concerns The majority of students who become ill during their programme of study regain their health with support from their GP and/or other health care professional(s). This may entail a period of suspension from study, and such situations will be dealt with under the Fitness to Study policy. Faculties have health procedures designed to protect patients and service users and the public including other students whilst, at the same time, helping the student access the most appropriate care and supervision. In some instances the Fitness to Practise Policy is used to reduce the potential of risk to others.
1.5	Students are required to take responsibility for their own health. Students applying for programmes leading to registration with a regulated profession must declare any health problems which could pose a risk to themselves or others on application. Health problems that could pose a risk to themselves or others and which arise after the commencement of the programme must be declared and managed. Students may not rely on their own risk assessment but must be guided by the advice of a relevant healthcare professional who will assess and make recommendations to the Faculty regarding the student's Fitness to Practise, and required reasonable adjustments, whilst maintaining medical confidentiality.
1.6	The University initiates Fitness for Practise procedures if a student has been identified as having a health problem that has affected or has the potential to affect their performance or when a student wishes to return from a period of suspension from a programme following a period of ill health. Where the suspension to studies was dealt with under the University's Fitness to Study policy for students causing significant concern and/or presenting risk, the Fitness to Study policy should be followed in conjunction with this policy where Fitness to Practise concerns arise.
1.7	Duties of Student in Relation to Health In order to demonstrate that they are fit to practise, students:
	(a)	must be aware that their health problem(s) may put themselves or others at risk;
	(b)	must seek medical or occupational health advice, or both, if there is a concern about their health, including their mental health. Students must register with a GP so that they have access to independent and objective medical care;
	(c)	must accept that they may not be able to assess their own health accurately, and be willing to be referred for treatment and to engage in any recommended treatment programmes;
	(d)	must protect themselves and others by being immunised against common serious communicable diseases if vaccines are available and are recommended by the Department of Health or relevant devolved department;
	(e)	must not rely on their own or another student's assessment of the risk their health problem(s) poses to themselves or others and should seek advice from a healthcare professional;
	(f)	must be aware that when they graduate they are responsible for informing their employer or other appropriate person if their health poses a risk to themselves or others and to declare any health problem(s);
	(g)	For medical students only: should be aware that they are not required to perform exposure prone procedures (EPPs) in order to achieve the expectations set out in Tomorrow's Doctors; students with blood-borne viruses (BBVs) can study medicine but they should not perform EPPs; they may have restrictions on their clinical placements; they must complete the recommended health screening before undertaking EPPs; and they must declare their health condition so that their practice is adjusted in light of the declaration made when they graduate.
2.	Timescales
2.1	The time between initial reporting of the Fitness for Practise concern and the student receiving written details of the outcome will normally be no longer than 45 working days. Delays over and above the 30 working days noted above will be notified to the student.
3.	Preliminary Review Meeting (PRM)
3.1	The role of the Preliminary Review meeting is to review and assess the Fitness to Practise Investigator's report and all available evidence. The review meeting will balance public safety with the interests of the student, and the need to maintain trust in the particular profession. Due regard will be given to the sanctions that can be imposed by the PRM.
3.2	Outcomes
	The PRM will decide on one of the following outcomes:
	(a)	The matter is not sufficiently serious to warrant any action.
	(b)	The matter is of concern but not sufficiently serious to warrant any ongoing action. The student will be expected to reflect on their behaviour to improve their performance in the future. In this case, a copy of the outcome will be added to the student's file.
	(c)	The matter is of concern but it is deemed to be reversible with additional training (eg communication skills or equality and diversity training). If this course of action is taken, the student will be informed that they will remain under regular review by the Personal Academic Tutor until there is clear evidence that the problem has been resolved. In this case, a copy of the outcome and resulting documentation will be added to the student's file.
	(d)	The matter is of serious concern. This is referred to the 'Fitness to Practise' panel.
3.3	The outcome and reasoning of the PRM will be communicated, in writing, to the student, the relevant Programme Lead, the relevant Director of Programmes, Personal Academic Tutor and the Chair of the PRM normally within 5 working days.
4.	Fitness to Practise Panel
4.1	The role of the 'Fitness to Practise' panel is to consider whether a student's behaviour, health and/or professional conduct raises a serious or persistent cause for concern regarding their ability to continue on their programme or practise after graduation. The Panel will balance public safety with the interests of the student, and the need to maintain trust in the particular profession.
4.2	The Panel will review the accumulated evidence related to the case and will consider this in the context of any pattern of behaviour, health and/or professional conduct problems over the duration of the student's programme together with any earlier history of relevant problems.
4.3	Outcomes
	Having considered the evidence, the Panel will recommend either:
	(a)	that the student's fitness to practise is not impaired, the student receives no warning or sanction; a copy of the panel report and decision are placed in the student's file.
	(b)	the student receives a warning that there is evidence of misconduct but the student's Fitness to Practise is not impaired; the purpose of a warning is to give a formal indication to a student that their conduct has deviated from the standards expected of students on professional/regulated programmes and if repeated, sanctions will be imposed;
	(c)	the student receives a sanction as their Fitness to Practise is judged to be impaired. The sanctions are as follows:
		(c1)	Conditions are imposed. The purpose of a sanction is not to punish the student but to protect them and others. Conditions / undertakings will only be applied if the Panel agrees that the student has shown insight into their problem(s) and is likely to respond positively to the sanction imposed.
		(c2)	Suspension from the programme. Suspension prevents a student from continuing with their registration on the programme for a set period and from graduating at the expected time. When a student is suspended, then conditions will also be set for their return to the programme.
		(c3)	Termination of the student's place on the programme. Termination of a student's studies will occur when the Panel believes that this is the only way to protect them and others. Termination of studies (ie expulsion) is applied if the student's behaviour, health and professional conduct is considered to be incompatible with their continuation on the programme.
4.4	Normally proceedings of the Panel will remain confidential in accordance with paragraph 6.2 below, with the exception of its decision.
4.5	A student who receives a sanction/warning (short of expulsion from the programme) will be supervised or monitored in a manner that is appropriate to the sanction / warning given.
4.6	The Panel must not make a recommendation outside of their scope that conflicts with other university regulations or PSRB requirements.
4.7	The decision of the Panel will be communicated in in writing, to the student, the relevant Programme Lead, the relevant Director of Programmes, the Personal Academic Tutor and the Chair of the Fitness to Practise Panel normally within 5 working days.
5.	Student Advice
5.1	Students are advised to contact the Students' Union Advice Centre for appropriate advice and support on the Fitness to Practise policy and procedure.
5.2	Students are advised to make contact in good time during busy periods.
6.	Sharing of Information
6.1	The University will process all personal information in accordance with its Data Protection Policy.
6.2	The University will disclose all information related to a case:
	(a)	to inform the student of the allegations made and give him/her an opportunity to respond;
	(b)	to allow an investigation to be conducted;
	(c)	to disclose information about an outcome under these Regulations;
	(d)	for the discharge of its duties (including contractual obligations owed to third parties);
	(e)	or as required by law.
6.3	Information will be shared with appropriate other parties in circumstances where there may be a risk to others if information were withheld. Unless a case has been dismissed, referral to Fitness to Practise procedures will be made in all exiting student references.
6.4	Audio and/or visual recordings of meetings are not normally permitted. If, due to exceptional circumstances, it is agreed in advance that a recording is permitted, it is on condition that the recording is confidential and must not be copied/shared with any third 6 party, published or disseminated in any way. A true and complete record of the meeting must be provided to the other party as soon as possible after the recording is made.
7.	Staff Development
7.1	Chairs of Fitness to Practise Panels should receive training for the role. It is the responsibility of the chair to ensure that panel members are aware of their role and responsibilites.
8.	Appeals
8.1	A student may appeal against the decision of a Fitness to Practise Panel as soon as possible and within 10 working days of the date of the letter conveying the Panel outcome.
8.2	The notice must be made in writing using the Fitness to Practise Appeal Form at Appendix * to be sent to the Curriculum and Quality Assurance (CQA) Team in the relevant Faculty in which the student is registered (see Appendix * for contact information).
8.3	The student may appeal against the decision of the Fitness to Practise Panel on the grounds:
	8.3.1	that they possess new substantive information supported by evidence which was not known by the student and/or the evidence could not reasonably have been obtained by the student in time to the Fitness to Practise Panel; and/or
	8.3.2	that there has been significant failure of due process in the making of the original decision (including but not limited to irregularity in the procedures of the University or significant computational or administrative errors of fact in results published), which the student believes affected the University's original decision;
	8.3.3	that the nature of the penalty is disproportionate to the case.
8.4	Outcomes Possible outcomes of the Fitness to Practise Appeals Committee:
	(a)	In the case of an appeal under 8.3.1 that the new information warrants a different outcome to that of the original Fitness to Practise Panel; or
	(b)	In the case of an appeal under 8.3.2 that the failure in due process was so substantial as to have affected the outcome of the original Fitness to Practise Panel; or
	(c)	In the case of an appeal under 8.3.3 that the penalty imposed by the panel is disproportionate to the case: or
	(d)	Dismiss the student's appeal.
	(e)	In the case of a, b or c the Fitness to Practise Appeals Committee may apply any of the outcomes in 4.3 above.
8.5	The decision of the Fitness to Practise Appeals Committee is final. At this point the internal appeal mechanisms of the University of Southampton have been completed and a Completion of Procedures letter will be issued by the Vice-Chancellor.
External Review - Office of the Independent Adjudicator for Higher Education
8.6	A Completion of Procedures letter signifies to the student that the University's internal procedure for appeals has been completed and should be sent to the student normally within 30 working days of the University's final decision. The letter will provide information about complaining to the OIA.
8.7	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 SUSU Advice Centre. Students wishing to make a case to the OIA must normally do so within 3 months of the date of the Completion of Procedures letter, in writing using the Scheme Application Form.
8.8	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
9.	Recording, Monitoring and Reporting
9.1	All records related to the procedure, meetings and ruling of any Panels will be held on the student's file for a period of ten years after the date the award is made.
9.2	Fitness to Practise Preliminary Review Meetings and Fitness to Practise panels will be monitored in each Faculty by the Faculty Programmes Committee. All reports will be anonymised. The University will record and monitor Fitness to Practise cases and an annual report will be made to the Academic Standards and Quality Committee. The outcome of such monitoring may identify trends, inform other University practices, procedures or activities and enable the sharing of information across faculties as may be required from time to time.
9.3	Where there is an opportunity for the enhancement of care delivery, anonymised feedback will be given to the department, academic unit or external agency concerned and relevant stakeholders.
10.	Relationship with Other Regulations
10.1	The decision to proceed to a Fitness to Practise review or panel may also involve other University regulations or policies: Advice should be sought from the Head of Academic Appeals and Student Complaints about how to proceed, if at all. The progress of a matter through any stage of the Procedure in Section B may be suspended for a reasonable period of time to deal with the above matter.
10.2	Normally, the Academic Integrity procedure will precede the progress of the Fitness to Practise procedure.
11.	References and External Documents
11.1	This policy and procedural document has been developed with reference to the following key documents:
	Equality Act 2010, HMSO, London
	University of Southampton, Regulations governing Reviews and Appeals by students on taught programmes
	Health Professions Council: Standards of Conduct, Performance and Ethics, 2008. London Nursing and Midwifery Council 2008, Good health and good character guidance. November 2010, NMC, London
	General Medical Council, Concerns about Doctors, Fitness to Practise Panels (accessed March 2011)
	Medical Student: professional values and fitness to practise document (2009) produced by the General Medical Council and the Medical Schools Council
	General Social Care Council, Codes of Practice for Social Care Workers, (2010)
	Fitness to Teach
	Code of Conduct and Practice for Registered Teachers (accessed November 2011)
	National College for Teaching and Leadership (disciplinary)
	Office of the Independent Adjudicator

Section B : The Procedure
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 (e.g. Skype), telephone conferencing or other appropriate means.
All administration relating to the investigation and subsequent communications with the student are undertaken by a member of the Faculty's administrative team, as determined by the Faculty Academic Registrar.
Standard templates are provided for communications with students, and for notes of meetings (Appendix xx).
1.	Support and Representation
1.1	During all stages described in this procedure, students may be accompanied to meetings or hearings by a companion (e.g. by a member of the University), or by an Advisor from the Students' Union Advice Centre. 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.
2.	Notification of Fitness to Practise Concern and Initial Review
Notification of Fitness to Practise Concern
2.1	Anyone concerned about the behaviour, health and/or professional conduct of a student has the right to raise their concern.
2.2	It is important to review all concerns as soon as they arise and to keep clear and accurate records.
	(a)	Concerns should be reported, in writing, in the first instance to a member of academic staff who will then notify the Programme Lead.
	(b)	It is anticipated that all concerns will be processed through defined routes within each Faculty within two working days to enable review to commence.
	(c)	Faculties will determine the management of process in accordance with Fitness to Practise procedure.
2.3	If a student enters the Fitness to Practise process, they must be informed of this, including the reasons for it, in writing, and normally within 5 working days. They must also receive a copy of the Fitness to Practise policy and procedure.
	Suspension
2.4	If the concern identified is regarded as potentially constituting serious professional misconduct, or potentially constituting a risk to others, the student may be suspended from the practice/programme by the Dean of Faculty or nominee without prejudice and pending further investigation.
2.5	The decision to suspend a student from practice or programme under 2.4 should be determined on a case by case basis, and as a result of a robust risk assessment. This should be a proportionate response to the possible risk to themselves or others. If the student remains in practice whilst awaiting the outcome of an investigation, conditions of practice may be imposed.
2.6	The student will be informed about the suspension and reasons for it, in writing, normally within 5 working days and will receive a copy of the Fitness to Practise policy and procedure.
2.7	Whenever the student is suspended from practice, the Faculty is required to inform the practice supervisor/educator. The student and the practice supervisors/educator will be advised of this in person or by telephone at the earliest opportunity.
	Wellbeing
2.8	Whenever there is significant concern about a student's wellbeing or there is a perceived risk to self or others regarding Fitness to Practise the student should be referred to Enabling Services and/or SUSU Advice Centre for immediate emotional support and intervention.
2.9	In all cases, other than where the student is suspended under 1.6 above, the decision to proceed to a Fitness to Practise investigation is made by the Associate Dean for Education and Student Experience or nominee.
Initial Review by Fitness to Practise Investigator
Appointment of an Investigator
2.10	The appointment of an Investigator for a specific case will be made by the Associate Dean (Education and the Student Experience) or nominee. The Faculty will have a number of suitably trained investigators from amongst experienced members of staff.
2.11	The Investigator for any case will not be, nor have ever been, the student's Personal Academic Tutor and will not have a personal relationship with the student, nor have been in previous discussion with the student about the concern.
2.12	The role of the Investigator is to gather further evidence on the concern for consideration by a Preliminary Review Meeting (PRM).
Documentation
2.13	Following the completion of the investigation, the Investigator will write a report to be considered by a Preliminary Review Meeting. The report includes the Investigator's findings on the behaviour, health and/or professional conduct of the student. He/she should assemble the evidence proportionately and relative to the balance of probability that the student's Fitness to Practise is impaired.
2.14	The evidence collected and included in the Investigator's report should substantiate the case being made.
2.15	The Investigator may require the student to provide a statement. If this is the case, the student must be advised that support is available. Students will be encouraged to approach the Students' Union Advice Centre for advice and guidance on statement writing.
2.16	Evidence of past conduct (e.g. Academic Integrity breaches or previous Fitness to Practise investigations) will be included only where they were found against the student and support the case being presented. These will be attached as an addendum that will only be provided to the full Fitness to Practise panel (where it is decided that one is required). This will be collated by the CQA team and not involve the Fitness to Practise Investigator.
2.17	It is the responsibility of the Fitness to Practise Investigator to ensure that the evidence presented substantiates the report being presented, at least two working days in advance of the PRM.
3.	Preliminary Review Meeting