The Proctors perform a historic role as `ombudsmen' to the University, empowered under the University's statutes to investigate complaints made to them by members of the University. In addition, members of Congregation have a right under the Statutes to ask a question in Congregation relating to any matter concerning the policy or the administration of the University (Tit. II, Sect. VII, cl. 1, Statutes, 1997, p. 15). The University also has in place a number of policies and procedures to address problems that may arise for its employees and students, including those relating to grievance, harassment, and discipline.
In many instances where there is a suspicion of improper behaviour, allegations will be such as to be dealt with directly by reference to these procedures, details of which are set out in the University Statutes and summarised in staff handbooks and in the Proctors' and Assessor's Memorandum. However, there may be occasions when an individual has concerns relating to matters in the public interest which he or she believes to merit particular investigation. The following guidance sets out the way in which the University will address such concerns.
This policy is intended to assist individuals who believe that they have discovered malpractice or impropriety. It is not designed to question financial or business decisions taken by the University; nor may it be used to reconsider any matters which have already been addressed under a harassment complaint or disciplinary procedures. Once it is in place it is reasonable to expect individuals to await the conclusion of any investigation or review instigated under its terms before seeking to air their complaints outside the institution.
The University places the greatest importance on the integrity of its operations. Individuals are encouraged to bring to the attention of the University any matters referred to below about which they are concerned.
(a) criminal activity;
(b) failure to comply with legal obligations;
(c) danger to health and safety;
(d) damage to the environment;
(e) academic or professional malpractice;
(f) failure to comply with the Statutes, Decrees, and Regulations of the University and the codes of practice contained therein;
(g) attempts to conceal any of the above.
(1) in good faith; and
(2) in the reasonable belief of the individual making the disclosure that the information disclosed, and any allegation contained in it, are substantially true.
The Registrar or Proctors as appropriate shall decide whether the concern is such as may be addressed under existing university procedures, for example in relation to harassment, grievance, or discipline, or whether further investigation is required. Reference to the Registrar shall be taken to mean a Pro-Vice-Chancellor where the disclosure involves the Registrar.
In the event that the Registrar or the Proctors are of the opinion that investigation is necessary, additional steps shall be taken as follows: (a) where the concerns relate to integrity in the conduct of research, investigation shall be carried out under the provisions of the code of guidance and procedure relating to academic integrity in research (see below);
(b) in the case of other concerns where the complaint involves Junior Members of the University or the conduct of a university examination, these shall be investigated by the Proctors under their statutory powers;
(c) in the case of other concerns, these shall be brought to the attention of the relevant head of department, or faculty board chair as appropriate, who shall conduct an investigation, or shall establish a small panel to investigate on behalf of himself or herself, drawing on appropriate expertise where necessary (for example in the event of allegations of financial irregularity).
The Registrar or the Proctors, as appropriate, shall inform the person making the disclosure of the nature of the investigation to be undertaken and the likely timescale.
Where the investigation reveals prima facie evidence of misconduct, the matter shall also be referred to the appropriate body for disciplinary action under the terms of the University's Statutes and Decrees.
In all cases, the matter shall be investigated as speedily as is consistent with thoroughness and fairness. The final outcome of the investigation shall be reported to the Staff Committee or the Appointments Committee of the General Board, as appropriate, and the committee shall bring issues of general importance to the attention of Council.
Where a disclosure is made, the person or persons against whom the disclosure is made shall be told of it and the evidence supporting it, and shall be allowed to comment before any investigation, or further action, is concluded.
(a) take steps to acquaint themselves with available guidance as to `best practice' whether in relation to matters of research policy, finance or safety relevant to their area of research; for example, the statement `safeguarding good scientific practice' published by the Director General of the Research Councils and the Chief Executives of UK Research Councils in December 1998;
(b) observe such legal and ethical requirements as are laid down by the University or such other properly appointed bodies as are involved in their field of research;
(c) take steps to secure the safety of those associated with the research;
(d) report any conflict of interest, whether actual or prospective, to the appropriate authority;
(e) observe fairness and equity in the conduct of their research.
Failure to comply with the code may give rise to an allegation of misconduct. Misconduct in research may be ground for disciplinary action, and if serious, for dismissal or expulsion.
It does not include honest error or honest differences in interpretation or judgement in evaluating research methods or results, or misconduct (including gross misconduct) unrelated to research processes.
(a) In the case of concerns regarding a person or persons other than students, information and advice may be obtained from the head of department, or in the case of non departmentally organised faculties, the chairman of the faculty board, provided that if the concerns relate to the holder of that office, advice should be sought from the Proctors.
(b) In the case of concerns regarding a student, information and advice may be obtained from the Clerk to the Proctors.
1. All members of the University, and individuals permitted to work in the University and institutions, have a responsibility to report to the Registrar or to the Proctors, in the case of complaints relating to staff or students respectively, any incident of misconduct, whether this has been witnessed, or is suspected.
2. In the event that further investigation is required, the Registrar or a person duly authorised on his or her behalf, or the Proctors, as the case may be, shall set up a small panel to enquire into the allegations. This shall normally consist of two members namely a member of the department or faculty with relevant expertise and a member of the University or a college from outside the department or faculty, again, if possible, with relevant expertise. Where it is deemed appropriate by the Registrar, or the Proctors, as the case may be, one member of the panel may be a person external to the University, but with relevant expertise. Members of the panel must have no conflict of interest in the case and must be unbiased. The purpose of the preliminary investigation is to evaluate the facts of the allegations in order to ascertain whether there is sufficient evidence amounting to a prima facie case of misconduct.
The Registrar or the person duly authorised on his or her behalf, or the Proctors as appropriate, shall require the production of such records as are necessary to enable the investigation to proceed and shall secure their safe keeping.
3. The respondent shall be informed of the decision to set up the enquiry panel and of the membership of the panel.
4. The panel may interview both the person making the allegation and the respondent, and any other persons who may be regarded as witnesses. Any person attending for interview may be accompanied by another person.
5. The panel shall prepare a report, setting out the evidence which has been evaluated, accounts of interviews, if any, and its conclusions. The respondent shall have an opportunity to comment.
6. In the event that the panel has found no evidence of misconduct, the complaint shall be dismissed. In the event that the panel concludes that prima facie evidence of misconduct exists, the report shall be referred to the appropriate person for action (whether informal or formal) under the University's relevant disciplinary procedure. In the event that the panel take the view that the allegations, if proved, would constitute good cause for dismissal, and the allegations relate to a person subject to the provisions of Title XVI of the University Statutes, the panel shall bring the report to the attention of the Registrar under the provisions of Title XVI, Clause 14(1), or if the allegations relate to a person subject to the provisions of the University disciplinary procedure for non- academic staff, the panel shall bring the report to the attention of the relevant head of department responsible for employing the person. In the event that allegations relate to a Junior Member, the Proctors may take further action under the terms of Title XIII.
7. Subject to availability of personnel and to operational demands the investigation of the panel should normally be completed within twenty working days of first notification of the allegation to the Registrar or Proctors as appropriate.
8. In cases where the complaint concerns someone who is not subject to the University's disciplinary procedure, the panel shall invite the Registrar to bring the report to the attention of the appropriate disciplinary body.
9. Where the research is funded in whole or part by an outside grant, the University shall have regard to the guidance issued by the relevant funding body and shall ensure that such body is given appropriate and timely information as to the instigation and progress of an investigation.