Risk assessment and precautionary measures
Regular evaluation of risk
114When providers receive disclosures or reports about harassment and/or sexual misconduct, including anonymous disclosures, they should take proportionate steps to consider whether there is sufficient information to identify any immediate safeguarding or welfare concerns. Where the information available allows, providers should carry out an appropriate risk assessment to determine whether any immediate action is required to safeguard the welfare of the reporting student, the responding student or member of staff, the wider provider community, or the public.
115Where reports are anonymous or otherwise contain limited information, providers should use their professional judgment to determine what steps are reasonably practicable, which may include recording the information, monitoring for patterns or repeat concerns, or taking broader preventative measures, rather than conducting a full individualised risk assessment.
116Providers may use a risk assessment methodology that best suits their context and the issues raised by the disclosure or report. Some useful models are included in the Universities UK Guidance For Higher Education Institutions: How To Handle Alleged Student Misconduct Which May Also Constitute A Criminal Offence. Other models and templates have been developed by specialists in gender-based violence and safeguarding, some of which draw upon vulnerability-related risk models developed by police forces in the UK. (See the useful resources section for alternative or additional models).
117It is good practice to identify the factors that may alter the provider’s assessment of the risk in a particular case and make a plan to revisit the assessment and identification of mitigating actions accordingly. The frequency that is appropriate in revisiting a risk assessment will vary depending on the specific risks identified, the steps taken to manage the risks, and other factors that may change the risks, such as changes to students’ wellbeing, students completing their studies, or action by other agencies.
Precautionary measures
118Precautionary measures may be appropriate in response to any disclosure or report about harassment and/or sexual misconduct, regardless of whether the report is about a student or member of staff, and regardless of whether there is also a police investigation. Paragraphs 115–122 of our Good Practice Framework: Disciplinary procedures set out more information about applying precautionary measures in student disciplinary cases.
119The purpose of precautionary measures is to mitigate the risks that have been identified. Precautionary measures are often considered when a provider receives a disclosure or report, and/or when it begins an investigation under a disciplinary process, but providers may consider precautionary measures at any point when it identifies a risk that could be effectively managed in this way. The measures are not intended to be punitive. It is good practice to identify and take the least disruptive precautionary measure that will manage the risks identified effectively. Where a responding student is prevented from accessing some physical spaces or facilities, or their studies are interrupted, it is good practice to document the reasons why a less disruptive approach was not considered appropriate. Where a precautionary measure might interfere with a student or member of staff’s rights under the European Convention on Human Rights, (for example the right to freedom of expression) providers should document the reasons for considering that the action is proportionate.
120Some precautionary measures may have a disproportionate or unintended impact on some students. For example, requiring a student to study remotely may be incompatible with a disabled student’s reasonable adjustments, or may be difficult to align with the attendance requirements required by a PSRB or linked to an international student’s visa. It is good practice to try to identify the consequences of a precautionary measure and to document reasons for considering whether the measure is proportionate.
121Providers should be flexible in identifying an approach that is appropriate to the specific circumstances. Precautionary measures may be applied to either or both the reporting student and responding student or responding member of staff. In some circumstances measures might also be applied to witnesses or wider groups of students, such as clubs, societies or cohorts. Some examples of precautionary measures include:
a. Ensuring reporting and responding students or responding members of staff are not required to work closely together, for example by rearranging seminar groups, project groups, or work placements.
b. Adding a third-party observer, for example, in supervisory sessions.
c. Putting in place a non-contact arrangement.
d. Limiting access to specified physical spaces at certain times of day or on certain days.
e. Restricting or prohibiting access to specified physical spaces or online spaces for a defined period.
f. Prohibiting access to all physical spaces but enabling a responding student to continue their studies remotely for a defined period.
g. Interrupting a responding student’s studies completely for a defined period.
122Where relevant, providers may take into account any bail conditions or civil orders such as restraining orders or non-molestation orders, when putting precautionary measures in place.
Limitations on precautionary measures
123A provider can usually limit access to physical and online spaces that it owns or manages but is unlikely to have any authority to impose restrictions on access to public spaces or spaces owned by independent third parties. Restricting the access of a responding student or member of staff to a public space (such as a bar or other leisure facility) may be agreed on a voluntary basis. Providers should explain when they are unable to impose restrictions on use of physical or online spaces.
124Providers may be able to explore restrictions to some spaces owned by independent third parties where there is an existing partnership arrangement, for example student representative bodies, student accommodation providers, placement or work-based learning providers. Providers may find it helpful to explore hypothetical options with regular partners, or partners where existing data suggests that issues commonly arise, to reach a baseline understanding of what may be possible, in advance of a specific incident.
125Some targeted precautionary measures can only be implemented by disclosing the identity of the reporting student to the responding student or responding member of staff. Providers should explain this clearly to reporting students. It is important to respect the confidentiality of reporting students where this is requested, and to recognise where revealing their identity may place them at increased risk. However, providers should ensure that this does not lead to disproportionate precautionary measures being put in place as a default.
Considering impact and effectiveness of precautionary measures
126It may be necessary to consult staff in different roles at the provider or in partners about the practicality of some precautionary measures. For example, it may be necessary to explore with academic staff whether a student can access some teaching online rather than in person, or whether it is appropriate for a student to continue to work on academic submissions but not be in attendance on a work placement. Providers should be mindful of the confidentiality of both reporting students and responding students. Providers will need to exercise judgment in providing sufficient information to enable those being consulted to give a response that is informed by the context, without sharing unnecessary details. Providers should be clear on who will take the final decision about what precautionary measures to apply.
127It is good practice to consider the views of the reporting student about the effectiveness and impact of precautionary measures. Providers can take a proportionate and trauma-informed approach when considering how often it should seek input from reporting students about how well any precautionary measures are working. It may not always be possible to seek the views of the reporting student, for example, where it is necessary to act rapidly. It is important to explain clearly to reporting students that whilst their views are being considered, the final decision about what, if any, measures to impose is for the provider to make.
128Providers should also explain to reporting students how to raise any concerns about the operation of any precautionary measures, for example if a responding student is continuing to make contact despite being asked not to do so. Information about non-compliance with a precautionary measure is likely to prompt a re-evaluation of risk.
129Even though no disciplinary findings have been made, it is reasonable for providers to expect students to comply with precautionary measures it has imposed. A provider may consider a failure to comply with precautionary measures as a separate disciplinary matter. It will often be proportionate to consider this potential breach within the same investigatory process rather than begin an entirely separate disciplinary investigation.
130It is good practice to provide the responding student with an opportunity to make representations about the impact of a precautionary measure, and to document the reasons for either maintaining the precautionary measure or altering it. When a responding student does not challenge the precautionary measures, it is still good practice to review these regularly. Providers will wish to be particularly alert to the welfare of students that may become isolated from their peer group.
Duration of precautionary measures
131Precautionary measures are usually intended to be of relatively short duration, until the completion of an investigatory process. However, in some cases, the continuation of precautionary measures may be a satisfactory response to a report (see paragraphs 145 – 154).
132If precautionary measures cause significant disruption to the responding student’s ability to engage in their studies and benefit from the full range of facilities usually available at the provider, and/or the responding student does not agree to the measures, they should not be applied indefinitely. The greater the impact on the responding student, the more important it is to establish whether there has been a breach of the provider’s rules and regulations, such that precautionary measures may be replaced by penalties. Moving forward with a formal disciplinary process at the earliest opportunity is usually the most appropriate way to apply ongoing restrictions to a student.
133Sometimes providers are prevented from moving forward with a disciplinary process, for example because a police investigation is taking place. If this happens, it is good practice to keep reporting students and responding students updated as to any progress or indicative timeframes where these are known, taking into account any wishes expressed by each student about the frequency of such updates. Where there is an extended period of uncertainty it is important that both reporting and responding students are supported. If a partial suspension of access to facilities is prolonged, this may have a negative effect on a student’s academic progress as well as on their enjoyment of their studies. Some responding students may prefer a full interruption, enabling them to take time away with a planned return date that fits with their programme of study. Responding students may benefit from access to independent advice about issues including future module offerings, student finance, visa issues, and accommodation in these circumstances.