Disciplinary Procedure for Students

Introduction

Purpose

1. The Disciplinary Procedure for Students (DPS) provides a framework for the behaviour of students at the Northeastern University London (the University) and defines misconduct in Annex A.

Scope

2. This Policy and Procedure applies to all registered students on the following programmes and may be accessed without concern that they may be treated less favourably as a result of an appeal:
   1. Mobility courses
   2. Undergraduate double degrees programmes
   3. Postgraduate taught programmes (from 2023-24)
   4. Degree apprenticeship programmes (from 2023-24).
   5. Postgraduate research programmes
3. For students registered on other programmes being delivered by the University, please refer to the policy on Canvas.
4. The DPS extends to alleged misconduct by a student occurring on or off University premises (including via social media) where the alleged victim is the University itself, a student or employee of the University or others visiting, working or studying at the University and to alleged misconduct occurring during University activities (including on placements and field trips).

Definitions

5. For the purposes of this policy:
   1. The person alleging the breach of University policies and procedures will be known as the Reporter.
   2. The person who is being accused of breaching University policies and procedures will be known as the Respondent.

Responsibilities

6. The University has a duty to protect its reputation and is committed to maintaining the standards and values that are at the heart of the University.
7. Students will be responsible for their own conduct and for the conduct of those they may invite onto University premises. The University will therefore assume the right to take disciplinary action against a student for an act of misconduct by a ‘non-student’ that could reasonably have been anticipated by the student who invited them onto the premises.
8. On accepting the University’s terms and conditions, all students confirm that they accept the University’s policies and procedures, which includes the Disciplinary Procedure for Students.

General Principles

9. Students at the University are part of a community, which expects its members to show courtesy and consideration at all times, to respect persons, including visiting lecturers and Professors, and property, and observe the University’s rules and regulations. It is hoped, therefore, that the need for disciplinary action will be rare.
10. Where disciplinary offences take place, they will be dealt with in accordance with their seriousness.
11. Any student who does not comply with relevant policies, or who breaks the law, may be accused of disciplinary offences.
12. This DPS has been written following guidance from the Office of the Independent Adjudicator on procedural fairness.
13. In the interest of fairness, no single incident of misconduct for any individual student shall be considered under more than one set of University regulations.

Illness

14. In cases where illness of whatever nature is perceived to be the cause of the misconduct which would normally warrant the DPS to be invoked, the proceedings may be adjourned pending preparation of a medical report.
15. The University has the right to temporarily suspend the Respondent until such time as they can prove they are fit to resume attendance at the University. It may be a condition of suspension that they seek medical treatment. The University reserves the right to continue the disciplinary process.
16. In these cases, the student may be referred to the Support to Study Policy.

Misconduct That Is Also a Criminal Offence

17. Students are required to declare to the Registrar, at the earliest possible opportunity, with details of any criminal arrests, charges or cautions that they are subject to, convictions they receive, and of any bail conditions imposed on them.
18. Where appropriate, the University will consider referring incidents of alleged misconduct to the Police or, if necessary, UK Visa and Immigration or the Home Office.^{1 2}
19. Where the disciplinary offence in question is also a criminal offence, a decision will not normally be made under this procedure until the criminal investigations/legal proceedings concerned have been concluded. Instead, the case will be referred to as ‘deferred pending the outcome of the criminal investigations/legal proceedings.’
20. Being mindful of the University’s duty of care to others, this deferral may, depending on the gravity of the offence, be subject to certain conditions such as a partial or full suspension from the University and its premises. Such decisions will be judged by the Dean of Northeastern University London (the Dean) and the Registrar following a risk assessment.
21. The case shall be reviewed on developments in the criminal investigations/legal proceedings. The University will keep in touch with the parties involved during the process.
22. Where criminal investigations have been concluded, and should the Respondent have been found guilty, the Dean and the Registrar shall decide whether disciplinary action under this procedure should continue to be taken or whether a Declaration of Criminal Convictions Risk Assessment is sufficient.
23. Where the Respondent is acquitted of a criminal offence, or where the criminal investigations have been dropped, the University may choose to investigate misconduct, as the behaviours may still be regarded as those not expected or accepted by the University.
24. Where a finding of misconduct is made and the Respondent has also been sentenced by a criminal court in respect of the same facts, the court’s penalty shall be taken into consideration in determining the penalty under this procedure.
25. The Respondent on whom a custodial sentence has been imposed shall normally be required to suspend studies for the duration of the custodial sentence or beyond.
26. Where the custodial sentence is more than 12 months or longer than the remainder of the duration of the Respondent’s registration period, the Registrar, on behalf of the Dean, will normally require the accused to withdraw from the University. The Registrar shall confirm this decision in writing. The Respondent may, however, appeal against this decision to the Dean under the Disciplinary Appeals Board (DAB), within 14 calendar days of the date of the decision.
27. In any case where the Respondent has been suspended due to a custodial sentence, the Respondent’s return to the University would normally be conditional upon the satisfactory outcome of the Declaration of a Criminal Conviction Risk Assessment. Conditions and restrictions may be imposed governing the Respondent’s movements and conduct if they are allowed to resume studies.

Procedures

Initiating the Disciplinary Procedure for Students

28. Any member of staff or any student may initiate the Disciplinary Procedure for Students against a student.
29. If two or more students are thought to be involved in the same incident of alleged misconduct, the decision may be taken to hear their cases together.
30. The Reporter will not suffer any disadvantage or recrimination as the result of reporting the offence in good faith. Disciplinary issues could only arise in relation to the Reporter if a report of a disciplinary offence is judged to have been made frivolously, vexatiously, or with malice.
31. The burden of proof (duty of proving the allegation) shall rest with the University and the standard of proof shall be on the balance of probabilities.
32. All conclusions at any level of investigation will find an allegation of misconduct proven if it is considered that the evidence presented identifies, on the balance of probabilities, that the Respondent is blameworthy of the misconduct.
33. All procedures comply with the Human Rights Act 1998 and the Equality Act 2010.
34. The Respondent (where the Respondent is a student) and the Reporter shall be reminded that Student Support and Development (SSD) as well as the Residence Life Team for mobility students may be able to assist or offer advice in confidence, and that the Student Union (SU) is also available to support them and can accompany them to meetings. They will be informed that the University is not normally permitted to contact SSD or SU on their behalf and that it is their responsibility to contact them if they require support.
35. The University reserves the right to temporarily suspend a student, pending investigation, where the allegation may put members of the University community at risk. Such cases should be referred to the Dean or the CEO as soon as the allegation is reported and, in consultation with another member of senior management, the suspension can be implemented.
36. At any stage in the disciplinary procedures, the University reserves the right to recover any damages from the Respondent that the University has incurred as a result of their action.

Reporting Matters of Alleged Misconduct

37. All matters of alleged misconduct shall be reported by staff or students to the Head of Registry in writing as soon as possible after they occur by completing a Reporting an Incident Form.
38. Alleged misconduct will not normally be investigated if a period of three months has elapsed since the alleged action, which is the basis of the alleged misconduct, although the Dean or CEO may exceptionally allow such an allegation to proceed.

Initial Review

39. The Head of Registry will appoint a Student Disciplinary Case Officer within seven calendar days of the incident being reported who will review the incident form and evidence. The Student Disciplinary Case Officer will be a senior member of staff, defined as a Head of Faculty or a member of the Senior Management Team.
40.  The Student Disciplinary Case Officer will take the following actions:
    1. Contact the Reporter to confirm that they have understood the matter correctly.
    2. Contact the Respondent to notify them of the allegations made against them and obtain their version of the incident.
    3. Contact any witnesses and request statements.
    4. Any other actions considered necessary to establish the facts of the case.
41. The Student Disciplinary Case Officer will only provide regular information to the Reporter and Respondent about the progress of the investigation until such time that it has been concluded.
42. Once the investigation has concluded, the Student Disciplinary Case Officer will either:
    1. Dismiss the allegation if deemed there are no grounds for a case to proceed.
    2. Progress the case to Stage 1: Early Resolution, providing both parties are in agreement.
    3. Escalate the case to Stage 2: Student Disciplinary Panel if the allegation of misconduct is complex (e.g., multiple events and multiple parties involved), serious (e.g., University services breaching the Equality, Diversity, and Inclusion Policy), or either the Reporter or the Respondent do not agree to be part of Stage 1.

Stage 1: Early Resolution

43. It is recommended that, where possible and appropriate, mediation is used in an attempt to resolve disputes at an early stage. The Early Resolution stage is voluntary and if either the Reporter or Respondent do not agree to the Early Resolution stage, the procedure will progress to Stage 2: Student Disciplinary Panel.
44. A meeting, either in person or virtually, will be held in order to discuss the reported incident. The Student Disciplinary Case Officer will act as a facilitator and work alongside the Reporter and Respondent in an attempt to resolve the Reporter’s concerns before the report is escalated to Stage 2. Where a meeting is not practicable, the Student Disciplinary Case Officer can facilitate a resolution between parties.
45. The Student Disciplinary Case Officer may suggest actions to either or both parties to resolve the report which may include, but is not limited to:
    1. Providing more information or a more detailed explanation of the Reporter’s concerns.
    2. Providing additional information uncovered in the course of the review.
    3. Proposing suggestions for enhancements or changes to practices, services, or processes.
    4. Proposing possible solutions or resolutions.
46. Both parties may be accompanied by a friend, colleague, or a Student Union representative to any meetings at this stage.
47. The Student Disciplinary Case Officer will write a record of any meetings and any agreed outcomes. 
48. The timeline for the review and conciliation/mediation process will normally be within 14 calendar days. Additional time of seven calendar days will be available for exceptional circumstances where the Student Disciplinary Case Officer requires more time to speak to key individuals and gather additional information. If this additional time is required, the Student Disciplinary Case Officer will write to the Reporter and Respondent to inform them of the additional time required to make sure all the relevant information is collected.
49. The Student Disciplinary Case Officer will be responsible for submitting the report to the Head of Registry within seven calendar days of completing the Early Resolution stage.
50. The Head of Registry will securely store the Student Disciplinary Case Officer’s report. The Student Disciplinary Case Officer will be responsible for following up any actions and updating the Head of Registry of progression and completion of actions. 
51. If an agreement is reached, the Student Disciplinary Case Officer prepares an email which details resolution and both parties are asked to confirm agreement by return within 14 calendar days. 
52. Agreed actions will be limited to things within the power of the Reporter or Respondent to change. University regulation and/or policy, change of marks, awards, or deferrals/referral are not included.
53. If both parties are satisfied with the outcome of the Early Resolution stage, Registry will issue a Completion of Procedures (COP) letter to the Reporter.

Stage 2: Student Disciplinary Panel

54. If the Early Resolution stage does not resolve the matter, or if the case is deemed too complex or serious by the Student Disciplinary Case Officer, or if either party chooses not to pursue the Early Resolution stage, the Student Disciplinary Case Officer will escalate the case to Stage 2: Student Disciplinary Panel.
55. At this point, the Head of Registry may appoint a new Student Disciplinary Case Officer, if needed.
56. The composition of each Student Disciplinary Panel (SPP) is determined by the course or programme the student is registered on. For panel membership information, please see Annex B. The Registrar shall appoint the Chair of the Student Disciplinary Panel.
57. The Registrar will consider the composition of the Student Disciplinary Procedure Panel with the information available at the time. The panel members must be:
    1. From outside the area(s) complained about and have no previous knowledge of the allegation of misconduct.
    2. Free of any bias or any reasonable perception of bias.
    3. Able to participate in the whole process for the final decision to be valid.
58. A member of professional staff will act as Secretary.
59. The Student Disciplinary Panel will review the submitted incident form, additional evidence supplied by the Reporter at the time of submitting the form and the Student Disciplinary Case Officer’s report and supporting evidence, including any proposed or completed solutions.
60. The Student Disciplinary Panel will only hear cases that have been referred by the Student Disciplinary Case Officer. In this case, the procedure is as follows:
    1. The Secretary to the Student Disciplinary Panel will schedule a panel meeting, which may be in person or online, as determined by the Student Disciplinary Panel Chair, and invite the Reporter and Respondent to attend. Each party will be given a full set of documentation (reported incident form, supporting evidence, and the Student Disciplinary Case Officer report and additional evidence) and the list of panel members.
    2. Both parties can raise objections of the panel members, on grounds of bias or reasonable perception of bias. The objection is to be submitted to the Secretary, to be reviewed by the Student Disciplinary Panel Chair.
    3. Either party may be accompanied by a friend, colleague, or a Student Union representative.
    4. If either party is unable to attend the panel meeting for good reason, the meeting can be rearranged. The rescheduling of the panel meeting requires approval from the Student Disciplinary Panel Chair. The request will need to be made in writing outlining the reason for the rearrangement of the panel meeting.
    5. The Chair will decide the order of events and which party, including the Student Disciplinary Case Officer, will present their case first.
    6. Both parties will have an opportunity to separately present their case and be questioned by the panel.
    7. Each party can call existing witnesses and question them in front of the panel.
    8. The panel can question the witnesses without either party present.
    9. The panel will meet in private to reach its decision.
61. On completion of the review, the Student Disciplinary Panel will do one of the following:
    1. Declare the case justified.
    2. Declare the case partly justified.
    3. Declare that there is no case.
    4. Suspend the panel meeting and request further evidence.
62. The Panel will find the allegation of misconduct justified or partially justified if it is considered that the evidence presented identifies, on the balance of probabilities, that the Reporter has proved their case. The decision of the Panel shall be that as agreed to by the majority of its members.
63. The decision of the Panel, including the reason(s) for the decision, shall be communicated to both parties in writing by the Secretary, normally within seven calendar days of the meeting. 
64. The Secretary of the Panel will provide the Registrar (or nominee) with all panel documentation to store in accordance with the requirements of the GDPR.

Student Disciplinary Panel Deliberation

65. The Student Disciplinary Panel has the power to dismiss the allegation of misconduct, in which case the matter is closed, and no record is retained.
66. The Student Disciplinary Panel will find the allegation of misconduct proven if it is considered that the evidence presented identifies, on the balance of probabilities, that the Respondent is blameworthy of the misconduct. The verdict of the panel shall be that of the majority of its members.
67. In the case of proven misconduct, the Student Disciplinary Panel may impose one, or a combination of, the penalties available as set out in Annex A.
68. When determining the penalty to be applied in cases of proven misconduct, consideration will be given to:
    1. The seriousness of the misconduct.
    2. The Respondent’s previous disciplinary record.
    3. The conduct of the Respondent following the misconduct.
    4. Whether the Respondent has expressed remorse.
    5. If the misconduct has been admitted.
    6. Whether the Respondent has tried to amend, correct, or make up for a wrongdoing or unfair situation.
    7. Whether the Respondent admitted the offence at the earliest opportunity.
    8. Whether the Respondent has compelling personal circumstances that affected their judgment.
    9. Any other mitigating factors as applicable.
69. Upon completion of the deliberations, the Secretary shall write, normally within seven calendar days, to the Respondent notifying them of the outcome, the reason(s) for any penalties imposed, and the right of appeal.
70. Students who are subject to the Disciplinary Procedure for Students due to failure to comply with a previously imposed penalty under this Disciplinary Procedure for Students may face the consequence of a more severe penalty being imposed by the Disciplinary Procedure for Students, which may result in permanent exclusion.
71. Unpaid fines and/or costs for repair, replacement, and/or cleaning are considered by the University to be student debt and failure to make full payment of such debt may prevent the student from continuing their programme or from graduating.
72. Where fraud has occurred, the University will take all necessary steps to recover any monies obtained fraudulently by offending students.
73. If no appeal against the decision is received within 14 calendar days, Registry will issue a Completion of Procedures letter (COP) advising that the disciplinary process has been completed and of their right to refer the case to the Office of the Independent Adjudicator.

Appeals Procedure

74. A student who has had a custodial sentence of more than 12 months or longer than the remainder of the duration of their registration period may appeal against a decision of the Registrar to withdraw from the University. The appeal must be made, using the Appeal Form for Students, to the Dean within 14 calendar days.
75. The student who has had a case of proven misconduct may appeal against a finding of misconduct proven or a penalty imposed. The appeal must be made, using the Appeal Form for Students, to the Dean within 14 calendar days of the written notification of the penalty imposed.
76. The student may only appeal on one or more of the following grounds for appeal, which must be specified on the Appeal Form for Students:
    1. There has been a significant procedural flaw or irregularity that compromised the fairness of the process. (It shall be for the Disciplinary Appeals Board (DAB) to determine whether any such irregularity or failure to observe the provision of the policy brings into question the decision of the Student Disciplinary Panel.)
    2. New material evidence has been submitted, which must be supported by explanation of why it is being submitted at this late stage.
    3. That there is a bias or reasonable perception of bias during the procedure.
    4. An outcome, decision and/or penalty, being unreasonable or disproportionate.
77. Following submission of an appeal, the Dean and one other person will undertake a preliminary review of the appeal.
78. Where the preliminary review identifies that the appeal does not have substance within the accepted grounds for appeal, the appellant shall be informed of the decision in writing and Registry will issue a COP advising that the disciplinary process has been completed.
79. Where the preliminary review identifies that the grounds for appeal are accepted as valid, the appeal will be submitted to the DAB.
80. The composition of each Disciplinary Appeal Board (DAB) is determined by the course or programme the student is registered on. For panel membership information, please see Annex B.  No person shall sit on the DAB if they are directly associated with the appellant’s studies or with the disciplinary decision against which the appeal is made.
81. The DAB’s considerations will be limited to the grounds specified by the appellant in the Appeal Form for Students and should not take the form of a rehearing of the original allegation of misconduct. The DAB will be provided with the report from the Student Disciplinary Case Officer or the report from the Student Disciplinary Panel but will not at this time interview the Respondent, appellant, or witnesses.
82. If the DAB is satisfied that there is sufficient evidence of substantive defect in procedures, or new material evidence, or bias, which might have resulted in wrong finding or an excessive penalty, the appellant may be invited to a further hearing by a newly constituted Student Disciplinary Panel.
83. The proceedings of the DAB will take such form as the DAB determines appropriate to investigate the grounds for appeal stated in writing by the appellant.
84. The DAB may:
    1. Reject the appeal, in which case the original penalty imposed by the Student Disciplinary Panel will stand.
    2. Substitute such other penalty from the list of penalties available to the Student Disciplinary Panel in the table Annex A as it considers appropriate. This penalty may be either less or more severe than the original penalty.
    3. Review the decision made by the Registrar and Student Disciplinary Case Officer and confirm, amend, or dismiss the penalty imposed by them.
85. The DAB shall notify the appellant of their decision within seven calendar days.
86. The decision of the DAB shall be final, and no further appeal may be permitted. Registry will issue a COP letter advising that the Disciplinary Procedure for Students has been completed. This letter will include the contact details of the Office of the Independent Adjudicator.

Office of the Independent Adjudicator (OIA)

87. The Office of the Independent Adjudicator (OIA) is an independent body set up as a result of the Higher Education Act 2004 to run a student complaints scheme. Membership of the OIA is a requirement of The Higher Education and Research Act 2017 and the Office for Students.
88. At the end of the University procedures, the student will receive a Completion of Procedures letter. At this point if the student remains dissatisfied, they have the right to refer the decision to the OIA, within 12 months of the date of the Completion of Procedures letter. Details are available here.

Reporting, Monitoring, and Reviewing

89. The Academic Registrar will report to Academic Board statistical information relating to disciplinary cases on an annual basis.
90. Academic Board will monitor the data and make recommendations as appropriate.
91. Academic Board will review the policy and procedures for their effectiveness.

Version History

Annex A: Examples of Misconduct

Annex B: Panel/Board Composition

Student Disciplinary Panel

Disciplinary Appeal Board

Footnotes

¹ There is generally no legal requirement to report alleged or suspected crimes to the police. However, there are some exceptions. For example, in relation to suspected money laundering or suspect terrorist activity.

² Guidance for Higher Education