How an allegation is raised

28. Students and staff can raise a concern about the behaviour of a student via the following methods:

• through contacting Hallam Help
• via the Hallam Help Portal
• through a Student Support Adviser
• contacting the Student Policy and Compliance team by emailing StudentConduct@shu.ac.uk
• via Report and Support

29. You can raise a concern about another student, another student can raise a concern about you. Members of staff, members of the public, placement providers, the police can raise concerns about you.

Investigation stage

30. An initial assessment of the case may mean that specific procedures could be instigated. This could be as follows:-

• If the allegation constitutes a criminal offence – see Annex A
• If the incident occurred on placement – see Annex B
• If the incident occurred in the University Library – see Annex B
• And/or whether we have evidence that you are experiencing mental health difficulties - see Annex C

31. It could be that immediate precautionary action needs to be taken at the point that an incident is reported to us. See Annex D for details of this procedure.

32. The University Student Policy and Compliance Team will appoint an Investigating Officer to review or investigate any allegations received. The Investigating Officer will consider information provided and decide whether further investigation is required, and if so the details of such investigation. Where there appears to be a clear case of misconduct the matter may be referred directly to either the Formal Stage 1 or Stage 2 without an initial investigation.

33. As part of an investigation, you may be invited to an investigatory meeting. This will not be a formal disciplinary meeting but may be part of the process for deciding whether disciplinary action is warranted. The interview notes of such a meeting may be used in a formal disciplinary meeting. You will be given two working days' notice of the interview, be given a written specification of the allegations, and be told that you have the right to be accompanied at the meeting. If the matter is urgent and must be expedited, we reserve the right to schedule a meeting in less than two working days. You will be notified of the reasons for this in writing.

34. Either based on an initial assessment on receiving an allegation, or based on the information collected during the investigation, the Investigating Officer will select one of the following options:

(i) there is no case to answer and no action should be taken.
(ii) that some form of internal resolution is appropriate – see Annex E
(iii) the case should be referred to the Formal Stage 1
(iv) the case should be referred to the Formal Stage 2

35. Should the Investigating Officer conclude that some form of internal resolution is required, you may be invited to attend an informal meeting with a member of staff to discuss the matter, if such a meeting has not already been conducted as part of the investigation. The outcome of this meeting will be recorded in an email to you. The outcome may be referred to only if there are further concerns subsequently about your conduct. Allegations that are dealt with through such an informal meeting would not normally then be referred to a disciplinary meeting or hearing unless further information arises which leads to the misconduct to be considered more serious.

Formal Stage 1

36. You will be invited to a Formal Stage 1 meeting with a manager from the University Student Policy and Compliance Team to discuss the allegation. The manager could have been the Investigating Officer. You will be notified in writing what the alleged misconduct is and what evidence there is. At the meeting you will be able to give your account of events and provide any evidence relating to the allegation. Upon reviewing all the information, the manager will decide whether there has been a breach of the Student Code of Conduct and will make a recommendation to the Director of Registry Services (or nominee) on a sanction where appropriate.

37. One or more of the following sanctions may be set as an outcome from the Formal Stage 1:

(i) A written warning advising of the likely consequences of a further breach of the Student Code of Conduct
(ii) A behavioural contract
(iii) A requirement for you to pay reasonable costs in respect of any identified and quantified damages and/or losses suffered by the University and/or third parties as a result of your actions.
(iv) Withdrawal of specified services and/or exclusion from specified areas of the University
(v) Restorative justice, e.g. letter of apology, voluntary work (where relevant opportunities are available)
(vi) A requirement to participate in a programme to educate students about misconduct and its consequences.
(vii) A temporary restriction on access to facilities or buildings, or contact with staff and/or other students, for a period not exceeding the remainder of the current academic session, providing that this does not prevent your academic progress.
(viii) Suspension or temporary suspension from a University Sports team, and/or prohibited from participating in/ representing Sheffield Hallam at University Sporting events.
(ix) Any sanction available under a related procedure as referred to in point 8.

38. You will be notified of the decision within five working days.

39. The member of staff may also decide that the offence should be considered under the Formal Stage 2. The member of staff will refer the case to the Director of Registry Services (or nominee) for consideration.

Review of Formal Stage 1 decision

40. You may request a review of the decision that misconduct occurred, and/or a review of the sanction set, by writing to appealsandcomplaints@shu.ac.uk within 10 working days of the written decision being sent to you.

41. The grounds for requesting a review are:

• evidence of a procedural irregularity.
• evidence of further material circumstances which could not reasonably have been expected to have been submitted for consideration at the time of the Formal Stage 1 meeting.
• the penalty imposed was disproportionate to the offence.

42. The Chief Operating Officer (or nominee) will review the papers but will not re-hear the case. The decision is final, and you will have no further right of review. The following are possible outcomes from the review:

• uphold the original decision.
• uphold the original decision but reduce the sanction.
• overturn the original decision and remove the sanction.

43. The Chief Operating Officer may reject a request for review if in their view, it is out of time or not made on the allowable grounds. You will be notified of this decision and issued with a Completion of Procedures letter.

Formal Stage 2

44. If it is decided that the alleged misconduct should be considered under Formal Stage 2, a report will be made to the Vice-Chancellor, who will either:

(i) agree that there is a case to answer at Formal Stage 2; or
(ii) refer your case back for action under the Formal Stage 1; or
(iii) request further investigation before taking a decision; or
(iv) decide that no further action should be taken.

45. The Student Disciplinary Panel will comprise of three members of the University community. One member will be appointed as the Chair and will be a senior member of University staff. The two other members will be a member of staff and a sabbatical officer from the Students’ Union or nominee. No member of the Student Disciplinary Panel will have had any previous involvement with your case.

46. In attendance at the meeting will be a Case Presenter who will present the allegation of misconduct against you. A Secretary will also be present who will produce a written record of the proceedings. Neither the Case Presenter nor the Secretary will be members of the Student Disciplinary Panel.

47. The meeting will be arranged as promptly as possible. You will be sent:
• written notice of the date and time of the meeting.
• a written statement of the alleged misconduct.
• the evidence; and
• names of any witnesses whom the Case Presenter will call.

48. We will normally send this information so that you receive it 10 working days before the meeting, unless the matter is urgent and must be expedited, the reasons for which will be explained to you in writing.

49. At least 48 hours before the meeting you may submit to the Secretary:

• your written statement in response to the alleged misconduct
• any other relevant documentation; and
• names of any witnesses whom you will call.

50. If you do not attend the meeting without valid reason, the Student Disciplinary Panel will consider your case and set a sanction if appropriate in your absence without further notice.

51. The Student Disciplinary Panel will operate in accordance with the procedure outlined in Annex F.

52. The Student Disciplinary Panel will only consider evidence presented before or during the meeting. This will normally be written evidence presented before the meeting, but exceptionally may be oral evidence presented during the meeting by witnesses appearing in person.

53. The Student Disciplinary Panel will decide initially whether the Student Code of Conduct has been breached, i.e. to uphold the allegation of misconduct.

54. If the Student Disciplinary Panel decides that misconduct occurred for which you are responsible, it will impose one or more of the sanctions listed in section 32 and in addition can consider:

(i) suspension from the University for a specified period, up to and including three academic terms or an equivalent period.
(ii) exclusion from specified areas of the University, or University activities, for the duration of the student's enrolment at the University.
(iii) the withdrawal of an award already made.
(iv) the non-conferment of an award
(v) no admission to a further course at the University for a fixed period or indefinitely.
(vi) recommendation to the Vice-Chancellor for expulsion from the University.
Expulsion means that you permanently and immediately cease to be a student at the University and are withdrawn from any programme of study or modules taught by or validated by the University. You cannot apply or be admitted to any programme of study or module taught by or validated by the University now or in the future.

55. If the Student Disciplinary Panel rejects the allegation of misconduct it will dismiss the case. You will be notified of this in writing and no record will be kept on your file.

56. The Student Disciplinary Panel will inform you of the decision in writing within five working days of the meeting date and, where the allegation is upheld, will provide you with a report setting out its reasons for upholding the allegation and the factors taken into account in deciding the sanction or sanctions.

Review of Formal Stage 2 decision

57. You have the right to request a review of the finding imposed by the Student Disciplinary Panel, on one or more of the following grounds:

• evidence of further material circumstances which could not reasonably have been expected to have been submitted for consideration by the Student Disciplinary Panel;
• that the original meeting was not conducted in accordance with the procedure as set out in Annex F;
• that the sanction imposed by the Student Disciplinary Panel was disproportionate to the offence committed.

58. Requests for reviews must be submitted to the University Secretary in writing within 10 working days of the date of the written notification of the Panel decision. Your request for a review must include:

• the grounds on which your request for review is based; and
• any new evidence which was unavailable to the original Student Disciplinary Panel and upon which you intend to rely; and
• the names of any witnesses you wish to call in relation to the new evidence.

59. The University Secretary may reject a request for review if in their view, it is out of time or not made on the allowable grounds. You will be notified of this decision and issued with a Completion of Procedures letter.

60. The University Secretary (or nominee) will appoint a Student Disciplinary Review Panel. This Review Panel will not re-hear your original case. They will consider the information included within your review request.

61. The Student Disciplinary Review Panel will comprise three members. The Chair of the Review Panel will be an independent member of the Board of Governors. The two other members will be drawn from either the independent members of the Board of Governors or a senior member of University staff (e.g. a member of the University Leadership Team or the Chief Operating Officers Group). No member of the Review Panel will have had any previous involvement with your case.

62. The Review Panel secretary will arrange the Student Disciplinary Review Panel meeting as promptly as possible. You will be sent a written notice of the date and time of the meeting at least five working days prior to the meeting.

63. If you do not attend without valid reason, the Student Disciplinary Review Panel will consider and decide on your case in your absence.

64. You may be accompanied at the Student Disciplinary Review Panel meeting by one other person. The accompanying person may help you to present your case. You must give the name and position of any accompanying person to the University Secretary at least five working days before the meeting. You are not normally permitted to have someone from the legal profession employed to work on your behalf at the meeting. We do not seek to mimic the legal justice system and we believe that legal representation is unnecessary for both you and the University. However, if you believe that your appeal is exceptionally complex, you can submit a request to be accompanied by someone you employ from the legal profession. You must email appealsandcomplaints@shu.ac.uk, at least five working days before the meeting outlining the reasons why you believe this is necessary. The University Secretary (or nominee) will consider your request. The complexity and the possible consequences of your case will be considered. We will email our response to you within two working days of receipt of the request. If we allow you to be accompanied by someone from the legal profession you should note that:

• they may support and assist you but cannot be your spokesperson. We expect you to present your appeal and respond to the Review Panel yourself;
• you are responsible for their payment; and
• we may also choose to have someone from the legal profession at the meeting. You will be notified if this is the case no less than two working days before the meeting.

65. The Student Disciplinary Review Panel will operate in accordance with the procedure outlined in Annex G.

66. The Student Disciplinary Review Panel may reach one of the following conclusions:

a) to uphold the original decision and the sanction(s) imposed;
b) to uphold the original decision, but to lessen the sanction(s) imposed;
c) to refer the case for re-consideration to a new disciplinary panel;
d) to overturn the original decision and remove any sanction(s) imposed.

67. The decision of Student Disciplinary Review Panel shall be communicated to you in writing within three working days of the meeting date. At the same time, we will also provide a Completion of Procedures statement. This will confirm that we have finished our internal procedures, and, if you feel your complaint has not been resolved, may enable you to raise your concerns with the Office of the Independent Adjudicator if you wish to do so.

The Office of the Independent Adjudicator

68. If you are not satisfied with the Review of a Formal Stage 1 or Stage 2 decision, you have the right to take your case to the Office of the Independent Adjudicator for Higher Education (the OIA). The OIA is the independent body appointed in the higher education sector to review complaints by students against higher education providers. The OIA will not normally consider a case until the internal procedures of the University have been exhausted and a Completion of Procedures statement is issued.

69. If you have made a report about another student and are not satisfied that we have considered the case in line with this Regulation, you can request a Completion of Procedures at the conclusion of either the investigation or formal stages of the procedure. This enables you to take your case to the OIA.

70. Details of how to make a complaint and the deadlines by which such a complaint must be made can be found on the OIA's website.

Reporting and Monitoring

71. Outcomes of disciplinary cases may be shared with your College, a relevant Directorate and/or Professional, Statutory or Regulatory Body. A file copy of the outcome shall be held for the duration of your registration with the University and may be referred to in the event that a further disciplinary allegation is made against you. It should not normally be referred to in references. There may however be some limited circumstances where disclosure may be justified if the matter is directly relevant to the duty of care which is owed to the recipient of the reference, for instance, where the job applied for requires a high degree of personal integrity or involves a particular responsibility.

72. An annual report of disciplinary cases will be prepared and submitted for the consideration of key governance committees of the institution and ultimately for the Board of Governors. This report will be anonymous and will primarily focus on a statistical analysis of disciplinary cases against protected characteristics to provide assurance that the procedures have been fairly applied.