Disciplinary procedure

Jump to a section of this page:

• Informal resolution of disciplinary matters
• Provisional action prior to disciplinary action
• Formal disciplinary process - level 1
• Formal disciplinary process - level 2
• Disciplinary hearings for student misconduct
• Completion of the University Disciplinary Procedure

Informal resolution of disciplinary matters

Students are encouraged to resolve concerns early and in the spirit of trust and co-operation. If a student believes they have been treated inappropriately, and if they feel safe and able to do so, they should tell the person their behaviour is unacceptable. They may not realise their actions are causing harm and should be given an opportunity to rectify their behaviour.

Where a student feels unable to resolve the matter by themselves, they are strongly encouraged to seek advice and support. Details of support services are available on our Dignity and respect page.

For issues related to societies, clubs, or committees, mediation through the Students’ Union may be helpful. To consider this contact su.advice@yorksj.ac.uk.

If informal resolution is not appropriate or does not resolve the matter, reports regarding misconduct can be emailed to casework@yorksj.ac.uk or can be made via Report and Support.

Anonymous reports will not usually lead to disciplinary action against individuals, due to the need for procedural fairness. However, if clear and corroborated evidence of serious misconduct emerges, the University may consider taking proportionate steps.

If formal procedures aren't initiated, staff may still remind students about appropriate behaviour and the University's expectations.

After reviewing a case, the Disciplinary Officer can decide to:

• Dismiss the report as false, malicious, trivial, or lacking evidence.
• Refer the issue for consideration under other procedures (for example, Students' Union, Accommodation, or Fitness to Study/Practise).
• Treat the case under the formal disciplinary process – level 1 or level 2.

The University reserves the right not to proceed with any investigation following a report against a student if it is considered there are insufficient grounds or evidence to do so. An investigation may not take place if we cannot meet the threshold to do so; this decision will include a consideration of the student status of those involved, time elapsed since the date(s) of the reported behaviour(s), the evidence that is or may be available, and any other relevant information. If an investigation does not happen, this is not the same as saying that misconduct did not occur, but rather that there is not sufficient information, evidence, or available lines of enquiry to progress the case further.

If multiple different reports are received relating to a student, the Disciplinary Officer will determine whether the report should be investigated as one case or as multiple cases.

Provisional action prior to disciplinary action

If students are subject to a criminal charge or to a police investigation, or if the University believes that their behaviour is likely to pose a risk to the wellbeing and safety of themselves or others, it may take provisional action to limit the student's interaction with the University community.

Provisional actions are not penalties. They are implemented to:

• Protect individuals and property.
• Ensure the safety and wellbeing of the University community.
• Safeguard the responding student from further reports during the investigation.

Provisional action could include:

• Moving students to alternative accommodation (if they live in University housing).
• Excluding students from specific University activities, buildings, or the entire campus (exclusions may be partial or full). Students may be excluded from specific university and/or Students’ Union or Sport Union activities.
• Restricting access to certain areas at specific times.
• Prohibiting contact with specific individuals. Breaching this condition will be treated as misconduct.
• Suspending students from university premises and activities entirely (exceptions may be made – for example, for exams).
• Restrictions on University IT access.

If a criminal case or police investigation delays the resolution, and the student exceeds the allowed study period, they may be withdrawn. Re-applications may be considered after the criminal case concludes, but students may be required to share its outcome for a fresh assessment. If the student is a visa holder, due to UKVI regulations, it may be necessary to withdraw students’ enrolment and sponsorship due to the University being unable to keep sponsorship active indefinitely. See the Involvement of police and criminal courts section for further details on the process once outcomes from investigations are known.

The Disciplinary Officer decides if provisional action is needed based on an evidence-based risk assessment. The decision considers the balance between protecting others and minimising harm or disadvantage to the responding student.

Provisional actions may apply to students who have completed their studies but are due to attend graduation.

A student will not usually be granted an award or obtain certification of an award, while a case of reported misconduct is in the process of being dealt with under the University’s disciplinary processes. Requests for this principle to be waived must be submitted by the student for consideration by the Disciplinary Officer in consultation with the Academic Registrar. The decision will depend on the type and seriousness of the misconduct. Risk assessments will be conducted to balance responsibilities to both parties and ensure compliance with Competition and Markets Authority guidance.

The responding student will be informed, usually with at least 24 hours notice (Monday to Friday) of any meetings relating to provisional action. Students can present their case before a decision is made unless the situation requires immediate action (for example, due to safety risks). Immediate action may be taken without prior input, but students will receive written details of the decision and guidance on how to appeal. If there are known wellbeing concerns, a Wellbeing Adviser may attend meetings or provide support. The University will take reasonable steps to minimise the impact of provisional action on students’ studies and access to essential services.

Meetings related to provisional actions will be minuted but not audio recorded. Recording without consent may lead to disciplinary action and will not be accepted as evidence.

Provisional action will be automatically reviewed after 4 weeks by the Disciplinary Officer and may remain in place until investigations or legal proceedings conclude.

Both parties will be informed of the provisional action taken.

Responding students can appeal provisional actions at any time by emailing the Student Casework team at casework@yorksj.ac.uk. The reporting student cannot appeal provisional action because the provisional measures are designed to protect the wellbeing and safety of the University community, and the focus is on managing risks rather than resolving the underlying report.

Appeals are reviewed by the Vice Chancellor or their nominee, with responses typically provided within 5 working days.

Failure to comply with provisional actions or the final decision may lead to further disciplinary measures.

Formal disciplinary process - level 1

This process is used for less serious or minor misconduct cases, such as minor damage to property, or minor disruptive behaviour. It aims to resolve issues as close as possible to where they happened.

The Disciplinary Officer delegates to a 'Responsible Person' (for example, Programme leads and professional services staff in management positions) to investigate. For franchise and validated partners, disciplinary matters follow their own procedures, but the University may provide guidance and support to ensure consistency with its own policies.

The Responsible Person reviews the evidence and makes any further enquiries, including meeting with both parties to review all the evidence presented and allow both parties to give their version of events. Initial evidence will be shared with the responding student at the initial meeting. The methodology aligns with the Principles on Effective Interviewing for Investigations and Information Gathering and with Rachlew, A., Fahsing, I., Bergestuen, S. and Myklebust, T. (2022) A Guide to the Professional Interview: A Research-Based Interview Methodology for People Who Ask Questions. London: Anthem Press.

If further information or evidence comes to light during the course of the Responsible Person's investigation that results in the matter being more appropriately handled under the level 2 procedure, the Responsible Person should discuss this with the Disciplinary Officer. Where the Disciplinary Officer determines this is appropriate, the parties involved will be notified and the process will transition into the Level 2 process. This may include a change of investigator.

Engaging in the disciplinary process is strongly recommended. The responding student will be offered at least 2 opportunities to attend a meeting. If the responding student does not attend, the Responsible Person will still make a decision.

Any meetings held will not usually be audio recorded but may be minuted. A summary of the meeting will be provided to the reporting party and responding party to confirm after the meeting. They should not be recorded without the express consent of those involved. If the student does record any meetings without the consent of others, this may amount to a disciplinary offence. Any recording will not be permitted to be used as evidence.

The Responsible Person may recommend to:

1. Dismiss the case.
2. Issue a Level 1 sanction.
   1. Verbal warning.
   2. Written warning/reprimand (a copy will be retained on file for the remainder of your studies).
   3. Restitution of any damage caused by way of payment.
   4. Other such action appropriate to the circumstances.
3. Refer the case to level 2.

More than 1 sanction may apply, and past misconduct may be considered.

The Responsible Person will send a report to the Disciplinary Officer, who reviews and confirms the decision.

Where the Responsible Person concludes their investigation and recommends the matter is referred to level 2, the Disciplinary Officer will review the Responsible Person’s report and determine if further investigation is required under the level 2 procedure or if the matter should proceed straight to a disciplinary hearing. Where further investigation is required under the level 2 procedure, the Disciplinary Officer will determine next appropriate steps for the process to ensure a full investigation but to avoid repetition of any meetings which have already taken place. Where the matter is referred to a disciplinary hearing, the report compiled will be shared with the responding party. The reporting party will receive documentation relevant to their involvement in the case.

All parties will be informed of the decision as soon as possible, with updates if delays occur.

Where a sanction is imposed, students studying on programmes with Professional, Statutory and Regulatory Body requirements or Study Abroad elements may need to discuss the outcome and any implications for their studies, placement eligibility, professional accreditation, visa status, or continuation on the programme with their Course Lead or relevant academic department. The University may also be required to report outcomes to relevant professional, regulatory, placement, sponsoring, or partner organisations where appropriate.

Failure to comply with any action required following the outcome could result in further disciplinary action.

Students cannot appeal solely because they disagree with the outcome.

Students have the right to appeal the decision if: 

1. There was a procedural issue, or
2. New evidence has emerged, or
3. The outcome was not reasonably supported by the evidence (this does not mean simply disagreeing with the decision or being dissatisfied with the outcome. It means that, when the evidence is reviewed objectively, the decision appears inconsistent or unsupported).

If other reasons are cited for an appeal, the Disciplinary Officer will determine whether the matter will be referred to the Vice Chancellor. Reasons for appeal must be explained by email to casework@yorksj.ac.uk within 10 working days of notification of the outcome.

The Vice Chancellor, or nominee, will review the case and may:

1. Dismiss the case.
2. Enforce or adjust the sanction.
3. Refer the case for further investigation or a disciplinary hearing.

A final decision will be given in writing, normally within 10 working days. If the appeal is rejected, a Completion of Procedures Letter will be issued.

In cases where an outcome is changed through an appeal, an update will be provided to the other party to inform them of the new outcome.

Notes of any investigation, interview and action taken at Level 1, and copies of correspondence relating to Level 1 disciplinary procedure, will be retained by the Disciplinary Officer.

Formal disciplinary process - level 2

Level 2 is used for:

• Repeated minor misconduct.
• Cases where Level 1 actions were not effective or inappropriate.
• Serious misconduct reports, including harassment or sexual misconduct.
• Referrals from the Level 1 procedure, including following an appeal.

The Disciplinary Officer will assign an impartial Investigating Officer, who is trained to undertake casework investigations. Associate Heads, Heads of School, members of the Senior Leadership Team, Heads of Service, Operations Managers and professional services staff in management positions may be appointed as an Investigating Officer as well as the Student Casework Investigators. For franchise and validated partners, disciplinary matters follow their own procedures, but the University may provide guidance and support to ensure consistency with its own policies.

The responding student will be informed of the reports made against them, expected timeline, and process for investigation and decision making.

The Investigating Officer will review evidence and may meet with the reporting party.

The Investigating Officer will invite the responding party to discuss the report.

The student will receive clear details of the report(s), the incident(s)/behaviour(s) being investigated, and reasonable notice for meetings. 

Initial evidence will be shared during this meeting. The methodology aligns with the Principles on Effective Interviewing for Investigations and Information Gathering and with Rachlew, A., Fahsing, I., Bergestuen, S. and Myklebust, T. (2022) A Guide to the Professional Interview: A Research-Based Interview Methodology for People Who Ask Questions. London: Anthem Press.

The Investigating Officer may collect evidence and/or statements from witnesses within the University. The Investigating Officer may consider external witness reports.  

Meetings are not audio recorded but are minuted. A summary of the meeting will be provided to the reporting party and responding party to confirm after the meeting. Meetings should not be recorded without the consent of those involved. If any meetings are recorded without consent this may amount to a disciplinary offence. Any recording will not be permitted to be used as evidence. 

Both parties can bring a supporter (see section 5.5 for more details) to investigatory meetings.

Support services are available for both the reporting and responding student, upon request and where possible. The support from Sexual Violence Liaison Officer trained staff is also available to students who have experienced sexual violence, upon request and where possible.

The responding student will be offered at least 2 opportunities to attend a meeting. If the responding student does not attend, the Investigating Officer proceed without their input in the investigation and come to a decision. Engaging in the disciplinary process is strongly recommended.

At the outcome of the investigation, the Investigating Officer will submit a report and recommendations to the Disciplinary Officer.

The Disciplinary Officer may:

1. Dismiss the case with no further action.
2. Apply a Level 1 sanction.
3. Refer the case to a disciplinary panel.

Relevant parties will be notified of the outcome and the report will be shared with the reporting and responding students.

If reports are dismissed or not upheld in harassment or sexual misconduct cases, the Investigating Officer will meet with the reporting student to explain the reasoning and to discuss next steps. 

Where a sanction is imposed, students studying on programmes with Professional, Statutory and Regulatory Body requirements or Study Abroad elements will be required to discuss the outcome and any implications for their programme with their Course Lead.

Failure to comply with any action required following the outcome could result in further disciplinary action.

Students cannot appeal solely because they disagree with the outcome. 

Students have the right to appeal the decision if:

1. There was a procedural issue, or
2. New evidence has emerged, or
3. The outcome was not reasonably supported by the evidence (this does not mean simply disagreeing with the decision or being dissatisfied with the outcome. It means that, when the evidence is reviewed objectively, the decision appears inconsistent or unsupported).

If other reasons are cited for an appeal, the Disciplinary Officer will determine whether the matter will be referred to the Vice Chancellor. Reasons for appeal must be explained by email to casework@yorksj.ac.uk within 10 working days of notification of the outcome.

The Vice Chancellor, or nominee, will review the case and may:

1. Dismiss the case.
2. Enforce or adjust the sanction.
3. Refer the case for a new investigation with a different Investigating Officer.
4. Refer the case to a disciplinary panel.

The Student Casework team will communicate the appeal decision within 10 working days. 

In cases where an outcome is changed through an appeal, an update will be provided to the other party to inform them of the new outcome.

If the appeal is not upheld, the individual will be sent a 'Completion of Procedures Letter'. More information about this can be found in section 14. 

Notes of any investigation, interview and action taken at Level 2, and copies of correspondence relating to Level 2 disciplinary procedure, will be retained by the Disciplinary Officer. 

Disciplinary hearings for student misconduct

a) General disciplinary hearings (see below for some additional considerations for harassment and sexual misconduct hearings)

If a case is referred to a disciplinary panel, the process follows these key steps:

• A neutral panel is assembled, including at least 2 members of the Appeals and Conduct Committee and a Students' Union representative. Panel members receive training and will have had no prior involvement in the case. The panel's diversity aims to reflect the University community, including with regards to sex and gender identity. We recognise that, in some cases, reporting students may have particular concerns or needs related to the composition of the panel. Where such concerns are raised, the University will make reasonable efforts to accommodate them, subject to the availability of trained panel members and the need to maintain procedural fairness and impartiality.
• The notification of the hearing will detail if it will be in person or online. This can be altered at the request of either student.
• The responding party receives all relevant documents at least 5 working days before the hearing. They can submit additional evidence including written representations by email to casework@yorksj.ac.uk up to 3 working days before the hearing.
• The reporting party will receive documentation relevant to their involvement in the case.
• Relevant witnesses may be invited. If either party wishes to invite a witness to the hearing, reasons for this request must be discussed with the Casework team.
• If a witness does not attend a panel hearing, the panel will consider written statements and any other available evidence. The responding student will have the opportunity to submit questions for the witness through the Chair, who will decide if they are appropriate.
• The University will tell the responding party if the reporting student and/or witnesses will be at the hearing.
• All students may bring a supporter. All students must notify the Casework team about who will be supporting them at least 3 working days before the hearing.
• The responding student will be invited to respond to the reports made against them. They may be asked questions by panel members. They will have the opportunity to make any points they believe relevant to the decision of the panel.
• A formal record of the hearing will be kept by the Casework team. Generally, minutes from the hearing will be shared with both parties. However, in some cases it may be more appropriate to share a summary of the relevant sections.
• Panel documentation will be shared in line with UK 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. Transfers of the data will be made securely with access restricted to relevant parties only.

Attendance

All parties are required to attend a hearing. Where there are concerns about safety, the hearing may be coordinated so the responding student and reporting student/witnesses are not in attendance at the same time.

If the responding student has a good reason for being unable to attend, they must inform the University, who will make a reasonable attempt to rearrange it.

If the meeting has been arranged to be held in person, and the responding student is unable to attend the meeting physically, the responding student may request that it be held remotely.

If either party chooses not to appear before the panel, the panel has the right to hear the case in their absence, drawing such conclusions including any sanctions, as it deems appropriate.

Hearing procedure

The Investigating Officer presents their report.

The reporting student can make their case.

The responding student can make their case.

Panel members can ask questions.

The responding student may submit questions for the reporting student and/or witnesses via the Chair.

Decision and outcome

The panel will deliberate privately and issue a decision based on the available evidence.

If the panel agrees that a disciplinary offence was committed, a sanction will be imposed.

Sanctions available to the Disciplinary Panel are:

• A verbal warning.
• Written warning (a copy will be retained on file for the remainder of the responding student’s studies).
• Restitution of any damage caused.
• Enforced suspension.
• Exclusion from specified University facilities or activities.
• Expulsion (enforced withdrawal).
• Other such actions as may be appropriate to the case for example, undertaking training, meeting with relevant staff, completing a reflective piece of work.

More than 1 sanction may be applied. Previous misconduct may be taken into account in deciding the appropriate sanction.

Where a sanction is imposed, students studying on programmes with Professional, Statutory and Regulatory Body requirements or Study Abroad elements will be required to discuss the disciplinary outcome and any implications for their programme with their Course Lead.

If expulsion is recommended, a representative of the Student and Academic Administration Department will confirm the credits that the student will be eligible for.

All relevant parties will receive the outcome and clear rational for the decision and sanction in writing, usually within 5 working days. Any delays will be explained.

The responding student may face further disciplinary action if they do not comply with any action required following a hearing.

Any disciplinary action resulting in expulsion (enforced withdrawal) will be reported to the Board of Governors at their next meeting.

b) Additional considerations for harassment and sexual misconduct hearings

While the core process remains the same, hearings involving harassment and sexual misconduct reports follow a trauma-informed approach to protect the wellbeing of all parties:

• The reporting student, responding student, and witnesses will not be in the hearing at the same time.
• Only the Chair may directly question the reporting party. Other panel members and attendees must submit questions through the Chair, who will decide if they are appropriate. Questions must be directly related to the report, the incident in question, or the credibility of the testimony. Irrelevant or speculative questions will not be permitted. Inquiries into unrelated personal matters or prior behaviour unrelated related to the case will not be allowed. Questions which may re-traumatise the reporting student without adding substantive value to the proceedings will be refrained or disallowed. Questions about the reporting student's past behaviour, character or unrelated personal history, would generally be deemed inadmissible unless clearly relevant to the specific reports. Questions that violate legal protections or University regulations will be excluded. The Chair retains discretion to modify, re-frame or exclude any question. Parties will be given the opportunity to rephrase or provide justification for disputed questions.
• Sexual Violence Liaison Officer (SVLO) support will be available, where requested and where possible, to the reporting student.
• All relevant parties will receive the outcome and clear rational for the decision and sanction in writing, usually within 5 working days. Any delays will be explained. The reporting party will have the opportunity, if they wish, to meet with the Chair privately to hear the panel’s decision.
• In sexual misconduct hearings, both parties can appeal the decision under the same conditions as other disciplinary cases.

c) Appealing a panel decision

Students cannot appeal solely because they disagree with the outcome.

Students have the right to appeal the decision if:

1. There was a procedural issue, or
2. New evidence has emerged, or
3. The outcome was not reasonably supported by the evidence (this does not mean simply disagreeing with the decision or being dissatisfied with the outcome. It means that, when the evidence is reviewed objectively, the decision appears inconsistent or unsupported).

If other reasons are cited for an appeal, the Disciplinary Officer will determine whether the matter will be referred to the Vice Chancellor. Reasons for appeal must be explained by email to casework@yorksj.ac.uk within 10 working days of notification of the outcome.

The Vice Chancellor, or nominee, will review the case and may:

1. Enforce the panel decision.
2. Set aside the sanction and/or substitute an alternative sanction.
3. Refer the matter back for further consideration by the disciplinary panel.

The Student Casework team will send the decision of the Vice Chancellor’s (or delegate’snominee’s) review in writing as soon as possible and normally within 10 working days.

In cases where an outcome is changed through an appeal, an update will be provided to the other party to inform them of the new outcome.

If the appeal is not upheld, the individual will be sent a 'Completion of Procedures Letter'. More information about this can be found in section 14.

For students on programmes run by a Franchise or Validated Partner

Disciplinary procedures should follow the Franchise or Validated Partner’s process first.

If the student believes the outcome was unfair or disproportionate, they may appeal to the University by emailing casework@yorksj.ac.uk within 10 working days of the final decision by the Validated Partner.

Completion of the University Disciplinary Procedure

If an appeal is rejected, the individual will be sent a 'Completion of Procedures Letter'. If the individual remains dissatisfied, they have the opportunity to apply for an independent review by the Office of the Independent Adjudicator for Higher Education (OIA). 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 and further details are available on the OIA website.