Investigation
The University has separate investigation processes for students and staff. The investigation process that is followed depends on whether the individual under investigation (often referred to as the responding party) is a student or a member of staff.
Student investigations
Investigations are conducted in accordance with the Student Disciplinary Regulations or Regulations for Fitness to Practise (for students studying regulated courses).
If a case of alleged misconduct is being considered under the Student Disciplinary Regulations, the initial investigation is conducted by an appropriate member of University staff. The member of staff who conducts the initial investigation is known as an ‘Authorised Person’.
The nature of the misconduct that has been alleged and/or where the misconduct is alleged to have occurred often determines which Authorised Person is assigned to investigate.
Members of OSCAR can also act as Authorised Persons and conduct initial investigations, particularly in circumstances where a case is identified as being complex, or if potentially major misconduct is identified from the outset.
The Senior Investigator (sexual misconduct and harassment) is based in OSCAR and normally conducts investigations into incidents involving allegations of sexual misconduct and/or harassment. The Senior Investigator for fitness to practise and complaints is also based within OSCAR.
If the enquiries made by an authorised person indicate that a more detailed investigation is required, or that the alleged misconduct might reasonably be expected to receive a major offence penalty (if proven), they will refer the matter to OSCAR for further investigation. The case will then be assigned to a member of OSCAR to continue the investigation process.
All authorised persons and members of OSCAR have received relevant training in conducting investigations.
If the responding party is a student on a course that leads to eligibility to apply for registration with a registration body (for example: nursing programmes), the case may be considered under the Regulations for Fitness to Practise.
If a case is being considered under the Regulations for Fitness to Practise, the investigation is normally conducted by the Senior Investigator for fitness to practise and complaints, or another member of OSCAR. The senior investigator/member of OSCAR works in consultation with a member of the University academic staff who is a registrant of the relevant registration body, and who is also independent of the student.
An investigation is a fact-finding exercise. During the investigation, relevant information is gathered to determine whether there is sufficient evidence of misconduct. The volume and type of evidence gathered depends on the circumstances of the case, for example: the number of incidents and parties involved, the different lines of enquiry, the availability of supporting documents/other items of evidence.
Interviews are normally conducted with the parties to the investigation, including the reporting party, responding party and any witnesses. Interviews are usually audio and video recorded and are used as evidence, which may be shared with the parties to the investigation and any members of University staff involved in the disciplinary/fitness to practise process.
The reporting party is usually given a right of reply to the responding party’s account of events, normally in the format of an additional interview.
Before an interview takes place, the responding party will be notified of the allegations that have been made, who has made them, and which University regulations may have been breached.
A friend or Students’ Union advisor may attend the reporting/responding party interviews for support purposes.
Other types of evidence that are often gathered include: Campus safety incident logs, CCTV footage, card swipe data, social media/instant messaging screenshots.
The investigation will normally be concluded within 60 University working days.
The scale of an investigation is proportionate to the seriousness and complexity of the matter under investigation. Complex cases may take longer to investigate. More straightforward cases may be concluded more quickly.
If a matter is reported to the police, the University will pause its internal investigation until the conclusion of the criminal proceedings. This is so as not to prejudice the criminal proceedings.
If the outcome of a police case is determined as ‘no further action’, this does not preclude the University from conducting its own investigation and progressing the matter through the disciplinary/fitness to practise process. The University uses a lower standard of proof (the balance of probabilities) to that of the criminal justice system, and University processes consider whether a breach of University regulations has occurred, not whether a criminal offence has been committed.
Once all evidence has been gathered, the investigator(s) will make findings based on the evidence. The findings made determine what will happen next. The possible outcomes can be found below.
Student disciplinary
The outcome of the investigation will be one of three findings:
- If insufficient evidence of misconduct has been established, no further action will be taken and the case will be closed.
- If sufficient evidence is established to prove minor misconduct, the investigator will issue a penalty(ies) from the minor range.
- If sufficient evidence is established that potentially major misconduct may have occurred, the case will proceed to consideration by a disciplinary panel. A hearing will be held, and the responding party will be invited to attend to give oral evidence and answer questions from the panel. Witnesses may also be called to give evidence. The panel will consider all the evidence gathered and determine the outcome.
Fitness to Practise
The outcome of the investigation will be one of five findings:
- That no further action is necessary and the issue is closed;
- That no further action is necessary under the regulations for fitness to practise but that a recommendation is made to a named authorised person for them to progress this under the University’s student disciplinary regulations;
- That warning(s), condition(s) or undertaking(s) are applied;
- That OSCAR is requested to convene a support to study panel under the regulations for support to study as the matter in question is not one of fitness to practise but is serious enough to warrant panel consideration;
- That OSCAR is requested to convene a Fitness to Practise Panel.
Staff investigations
Investigations are conducted in accordance with the Staff Disciplinary Procedure.
If a case of alleged misconduct is being considered under the Staff Disciplinary Procedure, the initial investigation is conducted by an appropriate member of University staff. This will normally be the appropriate line manager.
However, in complex or potentially serious cases, or cases where there is a potential or actual conflict of interest, an independent investigator will be appointed by Human Resources.
The Senior Investigator (Sexual Misconduct and Harassment) is based in OSCAR and normally conducts investigations into incidents involving allegations made by students of sexual misconduct and/or harassment.
An investigation is a fact-finding exercise. During the investigation, relevant information is gathered to determine whether there is sufficient evidence of misconduct. The volume and type of evidence gathered depends on the circumstances of the case, for example: the number of incidents and parties involved, the different lines of enquiry, the availability of supporting documents/other items of evidence.
Interviews are normally conducted with the parties to the investigation, including the reporting party, responding party and any witnesses. Interviews are sometimes audio and video recorded. The information obtained via an interview is used as evidence and may be shared with the parties to the investigation and any members of University staff involved in the disciplinary process.
The reporting party is usually given a right of reply to the responding party’s account of events, normally in the format of an additional interview.
Before an interview takes place, the responding party will be notified of the allegations that have been made, who has made them, and which University procedures may have been breached.
A responding party may be accompanied at meetings by an appropriate person to provide support where there is a disability or language issue. They do not normally have the right to bring a representative to an investigative interview, although such requests will be considered.
A friend may attend the reporting party interviews for support purposes.
Other types of evidence that are often gathered include: Campus Safety incident logs, CCTV footage, card swipe data, social media/instant messaging screenshots.
The University aims to conclude investigations as quickly as possible. However, the importance of a maintaining a thorough and fair investigation will never be compromised.
The scale of an investigation is proportionate to the seriousness and complexity of the matter under investigation. Complex cases may take longer to investigate. More straightforward cases may be concluded more quickly.
The University will not usually wait for the outcome of any prosecution before deciding what action, if any, to take.
If the outcome of a police case is determined as ‘no further action’, this does not preclude the University from conducting its own investigation and progressing the matter through the disciplinary process. The University uses a lower standard of proof (the balance of probabilities) to that of the criminal justice system, and University processes consider whether a breach of University procedures has occurred, not whether a criminal offence has been committed.
Once all evidence has been gathered, the investigator will make findings based on the evidence. The findings made determine what will happen next.
The possible outcomes can be found below.
- It is concluded that there is no case to answer and therefore no disciplinary action is taken;
- It is concluded that the matter will be dealt with informally with, if appropriate, relevant support and/or training to assist the Responding Party;
- That there is a disciplinary case to answer and that the matter should proceed to a disciplinary hearing.