Harassment and Sexual Misconduct Policy and Procedure

This document contains information about harassment and sexual misconduct, which may be distressing for some individuals.

The content includes descriptions of inappropriate sexual behaviour, reporting procedures, and support resources. Please proceed with warning. Please remember you can access free support to help you manage your wellbeing and welfare. For more information visit the Wellbeing and Welfare webpages.

Jump to a section of this page:

1. Purpose
2. Scope
3. Definitions
4. General principles
5. Support and advice
6. Reporting inappropriate behaviour
7. Risk assessment
8. Suspension
9. Investigation
10. Investigation outcome
11. Staff Disciplinary Hearing
12. Disciplinary sanctions
13. Outcome
14. Appeal
15. Confidentiality
16. Completion of the University Disciplinary Procedure
17. Appendix 1: Involvement of police and criminal courts
18. Version control statement

1 - Purpose

1.1.  This policy aims to create a clear and fair process to prevent, report, and address harassment and misconduct against students by staff, visitors and contractors.

1.2.  The University is committed to condemning and promptly addressing harassment and misconduct, creating a safe environment for all community members.

1.3.  We recognise that anyone within the University community can be affected by these issues but that individuals with certain protected characteristics are more at risk of being impacted. We prioritise a comprehensive response to anyone affected by these issues. 

1.4.  This Policy seeks to provide individuals with clarity and assurance regarding the University's response, outlining procedures for handling reports and available support mechanisms.

2 - Scope

2.1.  Harassment and misconduct can affect anyone, irrespective of sex, gender, orientation, status, age, ability, faith, ethnicity, nationality, or economic status. Everyone deserves to work and live in a safe environment.

2.2.  This Policy applies to staff, visitors, contractors.

2.3.  Every reported case will be thoroughly investigated and addressed to promote safety for all.

2.4.  This Policy should be reviewed in conjunction with existing staff policies, regulations, codes of conduct, and procedures, including, but not limited to; Code of Practice on Freedom of Speech and Academic Freedom Dignity and Respect at Work; Staff Grievance; Dignity at Work Policy; Intimate and Close Personal Relationships Policy.

2.5.  It covers incidents during an individual's period of work or study at the University, including those occurring off-campus, outside of official working/teaching hours, or electronically.

2.6.  In cases where harassment and sexual misconduct intersects with other forms of discrimination, this Policy applies.

2.7.  Action taken under this Policy will take precedence over any action taken under all other University Policies and Regulations.

2.8.  If a student makes a complaint during disciplinary proceedings, the Disciplinary Officer and Complaints Officer will decide if the complaint should be addressed immediately, paused until the disciplinary proceedings are over, or reviewed after the disciplinary proceedings. They will consult with relevant staff before deciding. If a member of staff makes a complaint during disciplinary proceedings the Head of HR will consider appropriate action.

2.9.  In cases involving the Complaints Officer or Disciplinary Officer, the University Secretary and Registrar will assess the complaint and provide guidance on subsequent actions. In cases involving the Head of HR, the Director of HR will assess the complaint. 

2.10.  If further allegations or counter allegations come to light during the disciplinary process, the HROD consultant, Casework and the Disciplinary Officer will liaise regarding these. The Disciplinary Officer or HROD Consultant (as appropriate) will determine if they are included as part of the current case or if another case will handle the allegations. Individuals will be informed accordingly.  

2.11.  Where a member of staff resigns during the course of a University investigation or during provisional action, the investigation may proceed where possible for findings to be reached on the balance of probabilities. These findings can note the absence of evidence from the member of staff, but their absence should not preclude a finding being made.

2.12.  The University expects all members of the University community to treat others at the University with dignity and respect. The University reserves the right to suspend investigation of a disciplinary matter if there is a breach of expected standards, including where those investigating a case are subject to harassment, physical or verbal abuse. In these circumstances the individual will be notified of the suspension and the reasons for it. If a student or staff member is judged to be in breach of University expectations of behaviour, they might be subject to disciplinary procedures.

2.13.  Allegations about staff harassment and sexual misconduct towards other staff members made by staff will be managed under the Dignity at Work Policy and Staff Disciplinary Policy and Procedure. This is when the reporting party is not a student.

3 - Definitions

Expand the drop-down below to view definitions of each term.

4 - General principles

4.1.  The University upholds principles of dignity and respect for all members and visitors, ensuring protection from harassment and misconduct without exception. The University does not subscribe to Non-Disclosure Agreements in matters relating to harassment and/or sexual misconduct.

4.2.  The University believes that the professional relationship of trust and confidence that exists between students and employees is a central and essential part of a student's educational development and pastoral care. Those who work for, or represent, the University must not abuse their position in any way. The University has a separate Close and Intimate Personal Relationship policy. All staff are expected to comply with this policy, and this policy is available on the intranet.

4.3.  The reporting party may be a third party who has witnessed or who is aware of harassment and sexual misconduct towards students.

4.4.  There is no time limit for reporting incidents, although delayed reporting may pose challenges. When a disciplinary matter is raised regarding an incident that occurred prior to changes in university policies the disciplinary matter will be dealt with under the policy in place at the time the report is made.

4.5.  Anonymous reports are considered on a case by case basis, although anonymity may hinder investigations. Reporting students, even if they report anonymously are able to access support through Report and Support.

4.6.  Collaborating with the Students' Union and Trade Unions, the University emphasises zero tolerance for such behaviours through awareness raising campaigns and education throughout the academic year.

4.7.  Consent training, including bystander training, for staff and students (to be delivered within the academic year 2024-25), along with other initiatives such as promoting national campaigns, for example, Sexual Violence Awareness Week and 16 Days of Action, promotes a preventive culture.

4.8.  The University abides by the principles of natural justice. This means that if a disciplinary allegation is made, the University will ensure that the Responding Party: 

1. Are made fully aware of the nature of the report(s) made against them.
2. Have an opportunity to reply to any report(s).
3. Have a fair and unbiased hearing at which all relevant circumstances are taken into account. 
4. Have the right to appeal against a disciplinary finding or sanction.

University investigations focus solely on potential breaches of University Policy, distinct from criminal determinations.

All staff involved in investigating allegations will maintain impartiality and discretion while offering support to all parties.

General principles for staff as the responding party

4.9.  Any allegations of harassment or sexual misconduct made by a student against a member of staff, visitor or contractor, will be dealt with in accordance with this Policy. Any allegation made by a staff member against another staff member will be dealt with under the Dignity at Work Policy and Procedure.

4.10.  Reports of harassment and sexual misconduct by students against a staff member may be made through various means, including: a report through Report and Support, making a disclosure to a staff member, or a report through the Welfare and Wellbeing team.

4.11.  Any investigation will be undertaken by an investigator who is trained in trauma informed approaches to handling reports.

4.12.  Reports will be investigated to determine whether, on the balance of probability, the evidence presented means there is a case to answer.

4.13.  Where a member of staff has declared a disability, appropriate reasonable adjustments will be made to the investigation process and disciplinary process. These will be determined by the needs of the individual parties.

4.14.  A staff member as the responding party will have the right of appeal against the outcome of any disciplinary hearing.

4.15.  A disciplinary panel will consist of 2 managers who are more senior than the member of staff. Every effort will be made to ensure diverse representation of panel members and the consideration of diverse perspectives. Panel members will be independent from the investigatory process and the specific case being considered. At least one panel member is expected to have been trained in trauma informed approaches. Panel members will be independent from the investigatory process and the specific case being considered.

4.16.  A clear timeline will be drawn up at the start of the process and be given to both parties recognising that time limits may need to be amended depending on the circumstances of the case. Both parties will be kept informed of progress/and or delays in the investigation and the reasons for this. It is anticipated that the report would be fully investigated within 30 working days but this could be extended, if necessary, depending on the case. A member of staff would be given 10 working days in which to submit an appeal and an outcome of appeal will normally be given within 5 working days.

4.17.  Where a potential outcome of the disciplinary hearing is dismissal the panel will be chaired by a member of Executive Board.

4.18.  An annual report is submitted to the People Committee for monitoring purposes.

5 - Support and advice

Expand the drop-down below to view different support and advice resources and contacts.

6 - Reporting inappropriate behaviour

6.1.  Anyone can report inappropriate behaviour or seek support, whether they have experienced it themselves, witnessed it, or are reporting on behalf of someone else. Reports can be made in the following ways:

• Report and Support: Available 24/7, this online tool provides a safe and private space to report incidents, explore options, and access support services. Reports are monitored during University working hours (Monday to Friday, 9.00am to 5.00pm). It is not for emergencies. See the Need help now page  for urgent support.
• Wellbeing and welfare support: Specialist staff offer emotional and mental health support. More information can be found on our Wellbeing and welfare pages.  Some team members are trained Sexual Violence Liaison Officers (SVLOs) who provide support to students who have experienced sexual violence.
• Single Point of Contact (SPOC): A North Yorkshire Police representative accepts anonymous reports of sexual assault, which contribute to police intelligence. Students can book a welfare appointment with the SPOC.
• Students Union (SU): SU staff, including the Presidents and Advice Service, can provide guidance on making a report and accessing support. They can be contacted by email or found in the SU building.
• Security team: The Security team can talk through how to make a report and what support is available. 
• Tutors and supervisors: Tutors and supervisors will be able to signpost to the reporting options and what support is available. 

7 - Risk assessment

7.1.  Upon receiving a report of an incident regarding a member of staff, the HROD team along with the relevant Head of School, Associate Head, Heads of Service or line manager(s) will review the responding party's work or academic programme area in discussion with the relevant department/programme to assess what arrangements need to be put in place. This will include the arrangements in place for students, (counselling sessions and academic adjustments) and consideration of any measures that need to be put in place to protect the investigation and/or the reporting party, as well as the responding party.

7.2.  The assessment will consider the potential risks to all members of the University community but in particular to the reporting party, the responding party and any witnesses.

7.3.  The assessment will be recorded on the Risk Assessment form by HR and the relevant Head of School, Department, Associate Head, or Heads of Service. The risk assessment must be kept updated and should be reviewed if circumstances regarding the case change.

8 - Suspension

8.1.  When an allegation of harassment or sexual misconduct is reported, suspension of the member of staff may be appropriate:

• To allow an investigation which might be inhibited by the presence of the individual.
• If the employee is subject to potential criminal investigation and/or proceedings which may affect their job.
• Where the presence of the member of staff on site is unacceptable to others and/or may increase the likelihood of further misconduct during the course of the disciplinary investigation.
• Where it is deemed to be in the employee's or the University's best interest to be removed from the workplace.

8.2.  Suspension is not a disciplinary penalty and should not be viewed as such. Suspension is undertaken without influence or prejudice regarding the investigation.

8.3.  The authority to suspend an employee lies with a member if the Executive Board (EB) and their decision must be received prior to suspending. The approval from EB to suspend should be recorded on the Risk Assessment form: Harassment and Sexual Misconduct Policy Risk Assessment Form (docx, 42KB)

8.4.  For the duration of the suspension the employee will receive their normal pay.

8.5.  Whilst suspended the responding party should refrain from work related contact with students and other colleagues from their substantive school/department. The responding party may approach their trade union representative, or a workplace colleague not involved in the matter under investigation to support them at any investigatory meetings or hearing. It is the responsibility of the line manager to maintain regular contact with the employee during the investigation and keep them advised of progress/developments.

9 - Investigation

9.1.  Where students are also staff members and are the responding party, then the Head of HR along with the Disciplinary Officer (Head of Governance and Compliance) will decide whether this staff procedure or the student part of this procedure will be followed depending on the circumstances of the allegation and the most appropriate way of managing the investigation whilst ensuring appropriate safeguarding and risk management. The rationale for the decision will be documented.

9.2.  An HROD Consultant will support the case. Investigating Officers will be either an Associate Head, Heads of School, Members of the Senior Leadership Team or Heads of Service.

9.3.  The Head of HR will appoint the Investigating Officer, who is trained in trauma informed investigations and will use trauma informed approaches and be independent of the reporting or responding party. The Investigating Officer will determine the scope of the investigation, and this will depend on the complexity of the case.

9.4.  The Investigating Officer will normally have an initial meeting with the reporting party at the earliest opportunity. Within this meeting, the reporting party will have the following options available to them (more than one option can be taken):

• Request the University formally investigates the incident. Informal resolution of allegations of this nature are not normally appropriate and will not normally be recommended.
• Report the incident to the Police, if not already done so (guidance on reporting to the police is set out on the Report and Support website and at section 6.9.)
• Initiate support from internal or external agencies. Guidance on how to do this is set out under Section 5.
• Take no further action at this time.

9.5.  Where it is decided to proceed to a formal investigation, the role of the Investigating Officer will be:

• To ensure that where practicable all relevant facts and witness statements are obtained in relation to the alleged misconduct.
• Assess the impact of the alleged misconduct on the reporting party considering the power imbalance.
• Ensure the terms of reference for the investigation reasonably reflect concerns and risks expressly or implicitly raised by the disclosure or complaint, including the breach of policy implicated.
• Decide which witnesses are necessary to interview and accordingly invite them to an investigatory interview. Such witnesses will have the right to be accompanied by a work colleague or Trade Union representative should they so wish. If the witness is a student, then they may be accompanied by another student.
• To conduct the investigation in a confidential manner and complete the investigation without undue delay wherever possible. Additional confidentiality over some aspects of the investigation may be imposed to preserve the integrity and fairness of the investigation.
• Carry out a proportionate investigation which may include interviewing staff and/or students. The Investigating officer will try to minimise the number of interviews or communications with each witness (including the complainant) in order to minimise the impact on those involved, subject to seeking the most complete evidence available.
• Provide a written report outlining the findings of the investigation.

9.6.  The Investigating Officer will contact the responding party, inviting them separately to discuss the case and review initial evidence, so they have the opportunity to respond to the report(/s).

9.7.  The responding party will be provided with:

• Clear, specific information about the report(s), the incident(s) or behaviour being investigated, and the type of offence being considered.
• Reasonable notice of any disciplinary meetings to which they are invited.

9.8.  Initial evidence will be made available to the responding party at the meeting with the Investigating Officer.

9.9.  During the investigation meeting the procedure will be explained and the details of the allegation will be confirmed. The responding party will be given a fair opportunity to explain or present their version of events in response to the allegation.

9.10.  A clear timeline will be given to both parties at the start of the investigation process, recognising that time limits may need to be amended depending on the circumstances of the case. Throughout the investigation both parties will be kept informed of progress/and or delays and the reasons for this.

9.11.  The Investigating Officer will collect further evidence from relevant parties, for example witnesses within the University community (and on a case by case basis witnesses external to the University community), and make any further enquiries that they deem necessary for the investigation. The purpose of an investigation is to seek out, identify and collate evidence. The evidence available will depend on the allegation and may include, for example, CCTV or social media posts in addition to witness evidence and the testimony of the parties.

9.12.  All parties including witnesses will be offered support including advice and guidance on policy and procedure. They will also be signposted to other external support that is available.

9.13.  The reporting party is able to bring a supporter to investigation meetings. The responding party as the staff member can be accompanied by a work colleague or Trade Union representative. Investigatory meetings are not audio recorded but will be minuted. Audio recording by any party without the consent of those involved is not permitted. If meetings are recorded without the consent of others, this may amount to a disciplinary offence. Any recording will not be permitted to be used as evidence.

9.14.  If the responding party does not take up the opportunity to speak to the Investigating Officer, the disciplinary process will still proceed. It is strongly recommended that the staff member engages with the Investigating Officer and the disciplinary hearing.

10 - Investigation outcome

10.1.  The Investigating Officer will produce a report summarising the investigation undertaken, facts established, conclusion (s) reached and recommendations for future action, if any.

10.2.  The reporting party will be sent a copy of the draft investigation report. Documentation will be shared in line with GDPR requirements to ensure transparency while protecting personal data. Information that could identify individuals or sensitive details may be redacted to maintain confidentiality and comply with data protection regulations.

Subject to considerations regarding the disclosure of personal data, the reporting party would receive a copy of the draft investigation report so that they have access to the findings and recommendations made in respect of the allegations they have made about the reported staff member. The reporting party would have an opportunity to comment on the draft report, before the final investigation report is completed and a decision reached on whether the allegations are dismissed due to insufficient evidence or the case needs to be referred to a full hearing.

10.3.  The reporting party would be invited to share an impact statement with the investigating officer.

10.4.  The Investigating Officer will recommend to the Head of HR and the Disciplinary Officer whether to:

1. Dismiss the allegations due to insufficient evidence.
2. Refer the case for a full Disciplinary Hearing (as outlined below).

10.5.  A decision will then be made by the Head of HR and the Disciplinary Officer (Head of Governance and Compliance) on how to proceed based on the recommendations of the Investigating Officer.

11 - Staff Disciplinary Hearing

11.1.  A Disciplinary panel will consist of two managers who are more senior¹ than the member of staff, at least one of whom would be trauma informed trained. The Panel will consider and respect the rights of both Parties in determining appropriate procedural adjustments. The Panel would handle the hearing under this Sexual Misconduct and Harassment policy. Panel members should be impartial and independent from the investigatory process and the specific case being considered. As outlined in section 3.3.5 of the Staff Disciplinary Policy and Procedure in cases where allegations could result in dismissal, the disciplinary panel will be chaired by a member of Executive Board.

11.2.  The names and titles of panel members/decision makers should be provided in advance to both parties, giving adequate time to raise potential conflicts of interests. Accordingly, the constitution of the panel or the decision maker may need to be changed prior to the hearing.

11.3.  It is the responsibility of the panel Chair to ensure that the questioning does not involve bullying of witnesses or disclosing identifies of any anonymous evidence, and to prevent any party bringing witnesses or evidence that is not relevant to the 
investigation.

11.4.  At the disciplinary hearing, the reporting party should not be required to be in the same room or be questioned by the responding staff member or their trade union representative. Other panel members should submit questions via the Chair who will decide if they are appropriate. If the reporting party is asked to give evidence at the staff disciplinary hearing, then care must be
taken to ensure that the student feels safe and in some cases it may be appropriate to use a video link.

11.5.  The reporting party might be asked if they would prefer to attend remotely or provide evidence in writing to the Disciplinary panel rather than attend in person.

11.6.  Arrangements will be made to meet any disability related access needs.

11.7.  The Investigating Officer will attend the hearing to present their report and findings and to respond to any questions from the panel or responding party relating to their investigation and findings.

11.8.  The responding party as the member of staff has the right to be accompanied at the disciplinary hearing by a recognised trade union representative or workplace colleague. If the representative cannot attend on the proposed date, the employee should suggest an alternative date no more than five working days after the original date. A valid reason needs to be provided when an employee cannot attend a hearing. Where they are unable or unwilling to attend without good cause, the University reserves the right to proceed with the case in their absence. Examples of 'good cause' would be illness (where a fit note will be required), delayed journey (where proof of travel can be provided), or immediate family bereavement. This is not an exhaustive list.

11.9.  The responding party will be given reasonable notice to attend any hearing.

11.10.  The panel will be advised of any previous disciplinary sanction or any type of misconduct which was live at the time the alleged misconduct took place and will take this into account. The Investigating Officer will attend the hearing to present their report and findings and to respond to any questions from the panel or staff member relating to their investigation and findings.

_{1. If the member of staff as the responding party was an EB member then it may not be possible to have two managers who are more senior than the member of staff. Any allegations of misconduct concerning the Vice Chancellor or University Secretary would be investigated by a Governor appointed by the Chair of Governors. Any subsequent disciplinary hearing would be heard by a panel of two Governors who have not been involved in the process, advised by a senior member of HROD. In the case of disciplinary action against the Secretary to the Governors the VC may be a member of the disciplinary panel alongside a Governor.}

12 - Disciplinary sanctions

12.1.  In accordance with the University Disciplinary Policy the following sanctions would be considered:

Expand the drop-downs below to view information on sanctions.

13 - Outcome

13.1.  The responding party will be informed of the outcome and any sanction(s) in writing and, where appropriate in person. The letter will set out the rationale for the decision and this should be sent within 5 working days. The responding party will be informed that they may appeal on specified grounds set out below.

14 - Appeal

14.1.  An employee has the right to appeal against any level of warning, sanction or dismissal. The appeal hearing is not a rehearing or the case; it is a review of the disciplinary sanction imposed, and process followed.

14.2 An appeal may be made on one or a number of the following grounds:

• A serious procedural error that resulted in significant detriment to the employee.
• New evidence that has only come to light after the disciplinary hearing.
• The decision reached at the disciplinary hearing was unfair and unreasonable in the circumstances having due regard to the severity of the allegations and any mitigating circumstances.

14.3.  The appeal should be submitted in writing to the Director of HR within 10 working days of the receipt by the employee of the written outcome of the disciplinary hearing.

14.4.  The appeal must set out the ground(s) for the appeal and the specific reasons for citing the ground(s).

14.5.  The appeal meeting should be scheduled as soon as reasonably practical. The employee will be informed in writing of the time, date and venue for the appeal. The employee should be reminded of their right to be accompanied by a trade union or work colleague at the meeting.

14.6.  Arrangements will be made to meet any disability-related access needs.

14.7.  The reporting party would be provided with a copy of the appeal in advance of the appeal being considered by the panel and be given the opportunity to submit a written statement to the Appeal Panel but would not attend the actual appeal hearing.

15 - Confidentiality

15.1.  The University handles all reports with sensitivity and confidentiality in line with its Data Protection Policy and Safeguarding responsibilities.  

15.2.  Confidentiality ensures:

• The integrity of investigations
• Protection of individual privacy
• Encouragement of reporting without fear of exposure or retribution

15.3.  Information is typically shared only with individuals or organisations directly involved in managing the case, such as: Registry staff for administration, Student Services for support (including Wellbeing, Welfare, Disability support services), witnesses providing relevant information, external agencies like Sexual Assault Referral Centres, for specialist support and advice, the police, if necessary, for legal or safety reasons.

15.4.  All personal data will be handled in compliance with GDPR to ensure the privacy and rights of the individuals involved. Documentation related to the investigation will be sent securely and only if there is a lawful basis for processing the data, ensuring transparency and confidentiality. Information that could identify individuals or sensitive details may be redacted to maintain confidentiality and comply with data protection regulations.

15.5.  In exceptional circumstances for example, to prevent harm or future crimes) the University may share information more widely. This will only happen in line with legal and ethical standards.  All parties are required to maintain confidentiality. Breaches of confidentiality may result in disciplinary action, such as suspension or withdrawal from the University. The University complies with GDPR and the Data Protection Act (2018) throughout all procedures.

16 - Completion of the University Disciplinary Procedure

Student

16.1.  If a reporting student is dissatisfied with the outcome of University disciplinary proceedings they can request a 'Completion of Procedures Letter' from the Student Casework team (casework@yorksj.ac.uk). The student will have the opportunity to apply for a review by the Office of the Independent Adjudicator for Higher Education (OIA). The OIA is an independent body which was established by the Higher Education Act 2004 to consider student complaints which have not been resolved through an institution's internal procedures. The deadline for an appeal to the OIA is 12 months from the date of the Completion of Procedures letter. This service is free to students. For further details, visit the OIA website.

Staff

16.2.  The completion of the disciplinary process ends when the outcome of any appeal has been given in writing.

Appendix 1: Involvement of police and criminal courts

It is normally the Reporting Party's decision whether or not to report a crime to the police, although the following exceptions apply:

1. In some circumstances, it is a legal requirement for the University to report incidents to the police, for example under the Acts of Parliament relating to the protection of children or safeguarding of other vulnerable persons.
2. Circumstances may arise when failure to report a matter to the police may be against the public interest or the interest of the University community, for example, when significant violence has been used which may subsequently put the reporting party or others at risk. In such a case, the Disciplinary Officer and University Secretary will make the decision whether the matter should be reported to the police, taking into account any potential harm to the reporting party from unauthorised disclosure, including further distress to the individual and loss of trust in the University.

Once the Reporting Party has made a decision about the next step then, save in exceptional circumstances, for example, where a report to the police is necessary to protect the reporting party (or others) from harm or to prevent a further crime taking place, the University should seek to act in accordance with the reporting party's wishes.

Where a reporting party does not report or retracts a statement in relation to an alleged serious offence to the police, and the Disciplinary Officer does not intervene to do so, the disciplinary procedures may still be invoked. The University disciplinary procedures are not a substitute for the criminal justice system; the University cannot decide whether a crime has been committed. It can only decide whether, on the evidence available to it, a breach of the Student Dignity and Respect Policy and the Student Disciplinary Policy and Procedure or a breach of the Staff Code of Conduct and is more likely than not to have taken place.

The University may seek and maintain informal liaison with the police. Advice may be sought on whether a matter is considered by the police to be serious or not serious and whether there are compelling grounds for reporting a matter formally where the reporting party is opposed to such action.

A serious offence is one that is likely to attract an immediate custodial sentence if proved in a criminal court or one that can be tried as a criminal offence only at the Crown Court.

If the offence is referred to the police, the Disciplinary Officer/HROD Consultant will usually decide to postpone full disciplinary action until the police and courts have dealt with the matter. The criminal justice system takes priority, and the University will avoid taking any action that may in any way compromise criminal proceedings. For allegations made by students against staff, if the matter is referred to the police, the HROD Consultant may be asked to pause the staff investigation whilst the criminal investigation is ongoing.  The University would consider whether actions are required under the University’s Staff Disciplinary Policy and Code of Conduct.

Where a disciplinary case has been postponed pending the outcome of police investigation or judicial process, the University will normally follow the formal disciplinary procedure after a criminal case has been concluded. The judicial outcome will be taken into account by the University, although it may reach a different conclusion to that of the court as it is operating on a different standard of proof (the balance of probabilities rather than beyond reasonable doubt) and may consider different evidence. If the situation alters because of an appeal against conviction or sentence, the University reserves the right to re-consider its action once any formal legal process has been completed.

Where a criminal conviction has been made against a student the University will not re-investigate the matter. The finding would be made by the University that the individual has engaged in misconduct by committing a criminal offence. The responding party would still be given an opportunity to respond to the allegation of misconduct by committing a criminal offence.

Where a criminal conviction has been made against a member of staff, the University will not re-investigate the matter. The finding would be made by the University that the individual has engaged in misconduct by committing a criminal offence.

If, as a result of due judicial process, either party are unable to attend meetings relating to the University investigation and/or a hearing, the investigation, and where applicable, the hearing, will be conducted in their absence. Both parties will be informed of the date of the hearing and are entitled to send a representative, if they wish.

Allegation against a member of staff

An internal investigation into a harassment complaint by a student against a member of staff is focused exclusively on whether a breach of this policy has occurred. Decisions will be made on the balance of probability, and as such, the threshold for upholding a report is distinct from any criminal investigation (which requires proof beyond all reasonable doubt).

The internal process could also be considering different issues from a Police investigation or criminal prosecution. Where a criminal investigation is underway and it is inappropriate to investigate the alleged behaviour (to avoid interfering in the police investigation), the University reserves the right to instigate separate proceedings where should, for example, there be a risk to the University's reputation or the employee is unable to carry out their duties as a result of the police investigation.

Version control statement

Version history and amendments from previous versions of this policy and procedure will be available here in future.