Section 11: Disciplinary Procedures
11.1 Introduction
What constitutes student misconduct under University Statutes and regulations is described in section 10 of this booklet (also in section 9.5 concerning examinations). This section explains the University’s disciplinary procedures, along with students’ rights as safeguarded under the Statutes.11.2 Proctors' Powers
The Proctors’ duty to ‘generally ensure that the statutes, regulations, customs and privileges of the University are observed’ means that as well as overseeing the conduct of university examinations and investigating complaints about matters outside colleges’ jurisdiction, they act as the officers who ensure that disciplinary regulations are enforced. This duty is laid down in Statute IX and is reinforced in the Statute concerning University Discipline (Statute XI) which says that the Proctors shall take such steps as they consider necessary to enforce [specified] sections of this statute and to prevent any breach of them. The Proctors also investigate any complaint that a member of the University … has committed a breach of the Statute; and identify the person responsible for any such breach.
Except in the case of less serious matters where the student is prepared to have the case heard by the Proctors (subject to a right of appeal), disciplinary hearings take place before the Student Disciplinary Panel of the University, as explained in section 11.3 below.
The Proctors’ investigations are carried out under codified procedures, defined in regulations. Copies of these may be obtained from the Clerk to the Proctors (tel. (2)70090) or viewed on the University’s web-site (go to www.admin.ox.ac.uk/statutes/regulations and see University Discipline. Further information about the Proctors’ complaints and disciplinary case-work is available on their web-site: www.admin.ox.ac.uk/proctors.
11.3 Disciplinary Procedures
Where an offence of misconduct is alleged, the Proctors investigate and decide whether there is a case for the student or students concerned to answer. (For alleged offences involving clubs or publications, the Proctors may hold all or some of the relevant officers responsible.) The Proctors have the power to summon any member of the University to appear before them to assist with their enquiries. The process of investigation and evidence-gathering may involve interviewing suspects and witnesses. A student who is the subject of an investigation has the right to be informed what breach of regulations he or she is suspected of having committed and to be accompanied by a member of Congregation during any interview. He or she has the right not to answer any question (however, such silence will be reported in any subsequent disciplinary hearing).
When their investigation is complete, if the Proctors decide that there is no case to answer, the student will be informed in writing and that is the end of the matter. But if they come to the view that a breach of regulations has occurred and they have identified the student(s) responsible, the Proctors will then summon each student to a disciplinary hearing.
The body responsible for adjudicating disciplinary cases differs according to the nature and seriouness of the alleged breach. The student always has the following statutory rights
- to know what Statute or regulation he or she is accused of breaching, when and where
- to know the full evidence against him or her
- to be accompanied or represented
- to call witnesses in defence
- to ask for an adjournment
- to appeal against the outcome of proceedings.
The procedures for the disciplinary bodies are defined in regulations: go to www.admin.ox.ac.uk/statutes/regulations and see University Discipline or contact the Clerk to the Proctors for the printed material (tel. (2)70090 or e-mail proctors.office@proctors.ox.ac.uk). All cases are decided on the ‘civil standard’ of proof (i.e. the balance of probabilities).
Proctors’ Disciplinary Hearing
Unless an alleged breach of regulations involves harassment, serious injury to a person, serious damage to property, or a significant element of dishonesty, the Proctors can offer the student concerned the option to have the matter dealt with by the Proctors themselves. In that case, Pro-Proctors would usually preside so as to ensure that individuals hearing the case would be different from those responsible for investigating and prosecuting it. If the student exercises this option, he or she will be formally notified what regulations he or she is thought to have breached, and will be sent a notice to attend a Proctors’ Disciplinary Hearing (at which he or she may be accompanied or represented by a member of Congregation). At this hearing, the evidence will be presented and the student has the right to make a defence against the allegations or else to admit the breach(es) of regulations and to present evidence to explain his or her behaviour. Witnesses may be called to attend, either by the Proctors or the student.
If the student admits the alleged breach of regulations, or is found guilty, the only penalties which the Proctors may impose are a fine (or fine plus compensation) of up to £300 or a written warning about future conduct.
There is a right of appeal against the Proctors’ decision and/or penalty to the Student Disciplinary Panel (see below).
Student Disciplinary Panel
The chair and vice-chairs of this Panel are appointed by the University’s High Steward from among members of Congregation who are legally qualified. The other Panel members, who are also members of Congregation, are appointed by Council. The Panel holds hearings in term-time or vacation as necessary. At each hearing, the chair or one of the vice-chairs will sit together with two other members of the Panel (selected to make sure that they are independent of the colleges and academic departments of the students appearing before them).
The Student Disciplinary Panel deals with the cases of a more serious nature referred to it by the Proctors; hears appeals against decisions made in a Proctors’ Disciplinary Hearing; and deals with certain other business (e.g. applications and appeals in connection with students’ suspension from access to university premises and facilities). The Proctors normally have to bring a case within six months of first interviewing the student concerned.
A student who has been referred to the Student Disciplinary Panel will be sent a formal notice detailing the breaches of regulations alleged, and notifying him or her about a hearing to deal with the case. Before the hearing, the student will be given a copy of all the evidence collected by the Proctors and will have the opportunity to submit evidence of his or her own. The student may be accompanied or represented during the hearing by any person of his or her choice (including a professional lawyer). Witnesses may be called.
If the Student Disciplinary Panel is satisfied that the student has committed the breaches of regulations alleged, it may issue a written warning about future conduct or else do one or more of the following:
- impose a fine of any size
- order the student to pay compensation to any person or body suffering injury, damage or loss as a result of his or her conduct
- ban the student from specified university premises or facilities for whatever period of time, or on whatever terms, it thinks fit
- rusticate the student for whatever period of time it thinks fit
- expel the student from membership of the University.
In relation to breaches of examination regulations, the Panel may also instruct the examiners to do one or more of the following:
- reduce a mark awarded to any piece of work
- award no mark to, or disregard, any piece of work
- substitute an alternative mark for any piece of work
- reduce by one or more classes any degree classification
- permit the student to re-sit an examination or re-submit a piece of work on such conditions as it thinks fit
- award a pass degree instead of an honours degree
- fail the student in the examination or part of the examination concerned
- recommend to Council that the student should be de-graded (i.e. have the degree to which the proceedings relate taken away).
Student Appeal Panel
A student who wishes to contest the finding or penalty imposed by the Student Disciplinary Panel has the right to ask for permission to make an appeal to the Student Appeal Panel. This body consists of three people with suitable legal experience appointed from outside the University by the High Steward. The members of the Panel take it in turns to conduct appeal hearings. There is also provision for the Panel to be assisted in individual cases by two ‘assessors’ (members of Congregation appointed by the High Steward, who have ‘knowledge and experience of the practice of this University relevant to the issues raised in the appeal’).
The first step is for the presiding member of the Panel to decide whether or not to grant the student’s request for permission to appeal. The application will be considered on the basis of the documents and information submitted; there is also provision for the Panel to hold a hearing if it so decides. A reasoned decision will be given. If permission to appeal is not granted, that is the end of the internal university process (see section 13.6 of this booklet on the Office of the Independent Adjudicator). If permission to appeal is granted, the next step is for a hearing of the Panel to be arranged. During this appeal hearing, the evidence on which the Student Disciplinary Panel previously made its decisions will be reviewed, together with any new evidence that the Appeal Panel agrees to consider. At the end of this process, the Appeal Panel will decide whether to set aside or confirm the decisions of the Student Disciplinary Panel (or it may decide to substitute a different penalty of the kind that the Disciplinary Panel itself could have imposed).
Definitions
Statute XI includes the following definitions.
- ‘ban’ means withdraw the right of access to specified land, buildings, facilities or services of the University for a fixed period or pending the fulfilment of specified conditions;
- ‘expel’ means deprive a member permanently of his or her membership of the University;
- ‘rusticate’ means withdraw the right of access to all of the land, buildings and facilities of the University including teaching, examinations and all related academic services for a fixed period or until the fulfilment of specified conditions;
- ‘suspend’ means withdraw the right of access referred to above for a fixed or in-determinate period or until the fulfilment of specified conditions where action is taken as an interim measure pending further investigation, or where action is taken under the statutes or regulations for non-disciplinary reasons.
- a penalty of suspension or rustication imposed by a college on one of its members shall also apply to university land, buildings facilities or services (subject to a right of appeal to the Student Disciplinary Panel).
A member of the University who has been expelled loses his or her entitlement to use university land, buildings, facilities or services (including entry for university examinations). A student expelled from membership of the University may retain membership of his or her college (depending on the college’s by-laws); but a student expelled from membership of a college automatically loses his or her university membership.
Criminal Proceedings
As explained in the introduction to section 10 of this booklet, Statute XI also allows the Proctors to take action within the University when students are involved in criminal proceedings.
If a student member of the University is alleged to have committed a breach of section 2 or 3 for which he or she will be or is likely to be prosecuted in a court of law, the Proctors shall not proceed, if at all, unless they are satisfied either that any criminal proceedings in respect of that breach have been completed, whether by conviction or acquittal or discontinuance of the proceedings, or that the member is unlikely to be prosecuted in a court of law in respect of that alleged breach.
If a student member is the subject of criminal proceedings in respect of an alleged offence of such seriousness that an immediate term of imprisonment may be imposed on conviction, or if a student member has been convicted of a criminal offence of such seriousness that an immediate term of imprisonment might have been imposed (and whether or no such a sentence was in fact imposed on the student member), he or she shall promptly inform the Proctors in writing.
If a student acquires a criminal conviction of this seriousness, the Proctors may refer him or her to the Student Disciplinary Panel (which has powers to expel the student from membership of the University or impose a lesser penalty or other conditions on the student). As an interim step the Proctors may suspend the student while criminal proceedings are taking place or may ban him or her from access to specified university land, buildings, facilities, or services. There is a right of appeal against such interim action.
Banning from University premises and facilities
Under Statute XI, the Proctors can ban a student from the use of or access to university land, buildings, facilities or services for up to 42 days as an urgent measure. This would be an interim step while a case against the student was being referred to the Student Disciplinary Panel.
Further information
For further information about disciplinary procedures, please contact the Clerk to the Proctors (tel. Oxford (2)80190).