Safeguarding protocol

See Annex 1 for definitions used in this protocol.

Introduction

1. The University has a duty of care to provide a safe and supportive environment for all members of its Community.
2. This protocol has been created to ensure that all Safeguarding Concerns, including Serious Issues, are dealt with in a fair and reasonable manner with the best interests of the University Community at the heart of decision making.

Purpose of the protocol

3. The purpose of this protocol is to help the University to:

• promote an environment in which members of the University Community can feel safe, respected and protected from harm and abuse regardless of race, gender, disability, religion, sexual orientation, age or social background; and
• respond to any Safeguarding Concerns raised about a member of the University Community.

University Community

4. For the purposes of this Protocol, the University Community means staff, students, associate staff, associate students, visitors, contractors, research participants and other members of the public who come into contact with the University and its work. 

Safeguarding Concern

5. A Safeguarding Concern could arise when:

   • an individual is being subject to or is at risk of abuse, neglect or harm;
   • an individual is or is at risk of being radicalised;
   • an individual has abused, neglected or caused harm to someone else; or
   • an individual’s behaviour is considered to be a Serious Issue.

   A “Serious Issue” is defined as an issue, whether actual or alleged, which in the judgement of the University (i) has or could result in serious or significant harm to students, staff or other members of the University Community or the public who come into contact with the University, such as a criminal offence, serious damage to property and/or significant harm to the University’s work or reputation; and/or (ii) is likely to result in a breach of the University’s policies and procedures.

Safeguarding Advisory Group (“the SAG”)

What is the SAG?

6. The remit of the SAG is to:

• administer this protocol and to carry out its stated purpose;
• consider and respond to External Speaker Requests; (refer to the External Speakers and Events Protocol) and
• to make decisions in respect of the University’s legal and statutory obligations in terms of its duty of care.

How is the SAG authorised by the University?

7. The University Secretary has delegated authority to the SAG to:

• consider and respond to Safeguarding Concerns raised about a student, member of staff or other member of the University Community, in terms of this protocol;
• consider and respond to External Speaker Requests; and
• to make decisions under the Student Discipline Procedure and the Disciplinary Procedure for staff.

Who are the members of the SAG?

8. The SAG includes the following members:

• Chair, Director of Legal
• Director of Student Services
• Assistant Director of Student Services
• Student Support and Experience Manager
• Director of DTS
• Deputy Director of People
• Deputy Director, Equality, Diversity and Inclusion
• Director of Future Students
• Director of Registry
• Head of Campus Security
• President of DUSA*
• Head of Operations (Student Experience) at DUSA*
• DUSA Advice and Support Coordinator*
• Convener, University Ethics and Research Committee
• Head of Safety Services
• Compliance Manager (Student)

The membership of SAG may change from time to time depending on changes to staff roles. Each named member of the SAG (including the Chair) may nominate a nominee or proxy from their department to attend on their behalf.

*As an observer only and not as an authorised officer in terms of the University’s Student Discipline Procedure.

How often will the SAG meet?

General

9. The SAG as a whole are expected to meet at least four times per year to discuss and ensure compliance with the University’s statutory, regulatory and legal responsibilities in terms of its safeguarding.

Serious Issues

10. A sub-group of the SAG will meet at least twice per month if there are any Serious Issues to be reviewed or assessed. Students, members of staff or other members of the University Community may be invited to attend one of these meetings to discuss a particular Safeguarding Concern and allow the SAG to find out more about it so that, if necessary, they can carry out a risk assessment.
11. In addition, the sub-group of SAG may have extra meetings when a Safeguarding Concern is referred to them that that requires more immediate attention and cannot wait until the next planned meeting.

What is the Quorum of the SAG?

General

12. A minimum of five members of the SAG shall meet to discuss and ensure compliance with the University’s statutory, regulatory and legal duties. This must always include the Chair (or their nominee).

Safeguarding Concerns

13. A minimum of three members of the SAG (to include nominees/proxy) shall meet as a sub-group as regularly as necessary to consider and respond to a Safeguarding Concern.

The membership may vary depending on the nature of the Safeguarding Concern and/or the individual the concern relates to.

14. When a Safeguarding Concern relates to a student, at least one member from Student Services must be included in the quorum.
15. When a Safeguarding Concern relates to a member of staff, the Deputy Director of People or Deputy Director, Equality, Diversity and Inclusion will be invited to the meeting of the sub-group.
16. When a Safeguarding Concern relates to academic issues such as academic freedom, the Chair will consult with a relevant member of the University’s Academic Community such as the Vice Principal of Education or the Assistant Vice Principal, Equality Diversity and Inclusion.
17. When a Safeguarding Concern relates to an issue involving a DUSA society, the DUSA Advice and Support Coordinator (or their nominee) the Chair may consult DUSA.

The Protocol: raising a concern

Who can raise a Concern?

18. Anyone can raise a Concern about a student, member of staff or another member of the University Community.

How can a Concern be raised?

19. The recommended way to raise a concern, to ensure that it is dealt with quickly, is by filling in the Raising a Concern Form which can be found on the University’s website.
20. If an individual would like to Raise a Concern but would prefer not to fill in a form then they can send details of that Concern in an email to [email protected] or simply speak to anyone at the Enquiry Centre or another member of staff that they trust who can pass the Concern on to Safeguarding.
21. If an individual has been the victim of a crime or thinks they have witnessed one, they are encouraged to report the matter to the police.
22. In an emergency, or if the matter is urgent, a Concern should be reported to the police (if it is a criminal matter) or any member of staff who is trusted by the person raising the Concern.
23. If a Concern arises when a member of our Community is not in the UK, for example, if they are carrying out research overseas, then they should carefully consider who the matter should be reported to. If in doubt and appropriate to do so email [email protected].

What information should a person raising a Concern provide?

24. A person raising a Concern should provide a full and accurate description of the incident(s) to enable the University to consider the allegations or concerning issues thoroughly. If you use the Raising a Concern Form we should have adequate information to begin assessing the Concern.

Anonymous reports

25. Concerns that are reported anonymously can limit the University’s ability to take action as it will be more difficult to investigate and gather evidence. The University always encourages anyone reporting Concerns to be made known. The University will treat such matters seriously and sensitively.

Information and support

26. Anyone who wishes to raise a Concern but is not sure what to do or would like to discuss it first, should contact Student Services via the Enquiry Centre for further information and support or alternatively email [email protected].

Information from Police Scotland

27. Sometimes the University receives information from Police Scotland to the effect that a student or member of staff is subject to an investigation or has been charged with a criminal offence. When information like this is received it should be passed on to [email protected] for consideration by Safeguarding without delay.

Concerns raised about students

Stage 1 – Initial assessment

What will Student Services do when a Concern is raised?

28. When a Concern is raised, the SAG sub-group will carry out an initial assessment to decide upon what actions, if any, require to be taken. Part of that initial assessment will be to decide whether the Concern constitutes a Serious Issue.
29. The SAG sub-group will make one of the following decisions:

• to take no further action
• to take informal action
• to speak to the student(s) involved to get more information and/or offer support
• to determine that the Concern raised is a Serious Issue.

30. If Student Services determine that the concern raised is a Serious Issue then the matter should be referred to Stage 2 – SAG assessment.
31. If the SAG sub-group feels unable to reach an outcome for whatever reason, they can escalate the matter to the Chair of SAG.

Stage 2 – SAG assessment

Review of information

32. When a Concern is assessed as a Serious Issue under Stage 1, the SAG sub-group will carry out a review of the information referred to them to determine what actions, if any, require to be taken.

    A review can be carried out at a face-to-face meeting, by informal electronic means (such as email or using MS Teams) or by telephone conference.

33. Details of what evidence the SAG sub-group need to properly consider a Serious Issue can be found at Annex 2.
34. A review will include consideration of the following factors:
    • the nature of the Serious Issue
    • the time that has passed since the Serious Issue occurred
    • any relevant evidence
    • any on-going criminal process
    • the level of risk of harm to the University Community and members of the public including children and vulnerable adults.

Outcomes at this stage

35. Once the above factors have been considered, the SAG sub-group may do one or more of the following:
    • take no further action
    • obtain all such information or opinions as it may consider desirable
    • speak to the student(s) involved to obtain further information and/or offer support
    • carry out a risk assessment – see below.
    • to refer the matter to DUSA or the Sports Union
    • refer the matter to the police or a local authority
    • recommend further action be under another University process such as the University’s Student Discipline Procedure, Fitness to Practise Procedure, Fitness to Study Procedure or Dignity at Work and Study Policy

Risk assessment

36. The SAG sub-group may decide that a risk assessment requires to be carried out to assist them to determine:

    • whether there is enough evidence in support of the Serious Issue for a decision to be made under paragraph 36
    • the level of risk the student(s) complained about present to themselves and the University Community; and
    • whether any appropriate action requires to be taken to safeguard the University Community.

    Part of this risk assessment may involve inviting the student(s) raising the Concern and the student(s) complained about to a meeting with the SAG sub-group to discuss the nature of the Serious Issue and the other factors listed in Annex 2.

37. Once the meeting has taken place, the SAG sub-group will consider all of the information it has before it and complete its risk assessment by considering the factors listed in Annex 2.

Outcomes following a risk assessment

38. Once a risk assessment has been completed, the SAG sub-group will decide upon one or more of the following outcomes:
    • to take no further action
    • to obtain additional information or opinions as it may consider desirable
    • to recommend and/or arrange for supportive measures to be put in place for the student
    • to decide that the matter requires on-going review
    • to take precautionary action
    • refer the matter to the police or a local authority
    • to signpost the matter to another University process (Stage 3)
    • to refer the matter to DUSA or the Sports Union
    • to recommend to the Director of ACG that disciplinary action should be taken in terms of the Student Discipline Procedure (Stage 3).
39. If the SAG feels unable to reach an outcome for whatever reason, they can escalate the matter to the Director of ACG (Stage 3).

Precautionary Action

40. Without prejudice to Stage 3 of this Protocol, the SAG sub-group may decide that precautionary action is necessary to protect and safeguard:
    • the complainer and/or the student subject of a Concern;
    • the University Community;
    • an ongoing investigation; and/or
    • any other relevant or interested party.
41. Further details for the SAG to consider when taking precautionary action can be found at Annex 2.
42. If it is deemed necessary and proportionate that precautionary action under paragraph 41 include suspension or exclusion of a student from all or part of campus under statute 5 of the University Statues, SAG will make a recommendation to the University Secretary or the Deputy University Secretary so that they can consider the matter and if they agree with the recommendation take action as required.

Stage 3 – Other University process or procedure

Student Discipline Procedure

43. If the SAG sub-group decide that disciplinary action should be taken then they can recommend to the Deputy University Secretary (or their nominee) that the matter should be progressed by them (or their nominee) under the Student Discipline Procedure (SDP).
44. The Deputy University Secretary (or their nominee) will consider the recommendation from the SAG sub-group and, if they agree with the SAG sub-group’s recommendation, they should initiate the Student Discipline Procedure. If the Deputy University Secretary (or their nominee) does not agree with the recommendation they should provide feedback to the SAG sub-group explaining the reasons why and what action, if any, they have decided to take.
45. Alternatively, the SAG sub-group may decide that it is appropriate for the Concerns to be referred to the relevant School to consider and address under the SDP.

Signposting to another University process

46. In some instances, the SAG sub-group may feel it is appropriate to signpost the matter to another University process. If that is the case then the SAG sub-group will make a recommendation to the relevant School or Directorate so that they can take the matter forward.

Referring the matter to DUSA or the Sports Union

47. If the matter relates to an issue involving a DUSA Society or a Sports Union club, the SAG sub-group may feel it is appropriate to refer the matter to DUSA or the Sports Union to be taken forward under their own processes and procedures.

Escalation to Deputy University Secretary (or their nominee)

48. The SAG sub-group may escalate matters to the Deputy University Secretary (or their nominee)if they are unable to reach a decision on what the outcome of Stage 2 under this Protocol should be or are unclear which of the University’s other processes should be followed.

Concerns raised about members of staff or other members of the University Community

What will happen when a Concern is raised about a member of staff or another member of the University Community?

Stage 1 – SAG assessment

49. The Concern will be assessed in the same way by the SAG sub-group as set out in paragraphs 33-43 (inclusive) above with references to student being substituted to a member of staff, unless that would be inappropriate in that context.

Stage 2 – Other University process or procedure

Discipline Procedure

50. If the SAG sub-group decide that disciplinary action should be taken then they can recommend to the Director of People that the matter should be progressed by them (or their nominee) under the Discipline Procedure (DP).
51. The Director of People (or their nominee) will consider the recommendation from the SAG sub-group and, if they agree with the SAG sub-group’s recommendation, they should initiate the Discipline Procedure. If the Director of People (or their nominee) does not agree with the recommendation they should provide feedback to the SAG sub-group explaining the reasons why and what action, if any, they have decided to take.
52. Alternatively, the SAG sub-group may decide that it is appropriate for the Concerns to be referred to an appropriate person in the relevant School or Directorate to be considered and addressed under the DP.

Signposting to another University process

53. In some instances, the SAG sub-group may feel it is appropriate to signpost the matter to another University process. If that is the case, then the SAG sub-group will make a recommendation to the relevant School or Directorate so that they can take the matter forward.

Escalation to Director of HR

54. The SAG sub-group may escalate matters to the Director of People (or their nominee) if they are unable to reach a decision on what the outcome of stage 1 should be or are unclear which of the University’s other processes should be followed.

Referrals to the Police

55. The University will usually allow the person reporting a Serious Issue to decide whether or not to report the matter to the police. If that person is a member of the University Community then the University will support them to do that. If they decide not to report the matter to the police then the University will respect that decision and will only act contrary to their wishes in exceptional circumstances.

What support is available to those who may be affected by this Protocol or a safeguarding concern?

56. Student Services have a team in the Enquiry Centre who are there to provide support and advice, and direct students to other services. Further details of the range of support services that are in place to help students can be found on the Student Services web pages. These include the University Health Service, the Counselling Service, Disability Services and support for student related Gender Based Violence issues.

Students can also seek independent legal advice at their own expense.

57. People have sources of help that are available to members of staff on their website: Staff support topics.
58. In addition, support is available from the following:
    • Occupational Health Service
    • Your School Office
    • People
    • Equality, Diversity & Inclusion Office
    • DUSA
    • Chaplaincy

Data Protection

59. All records and correspondence relating to Safeguarding Concerns or any other matter considered in terms of this Protocol will be securely stored in accordance with the University’s Data Protection Policies and Procedures.

Effective Date

60. This protocol has been approved by the University Secretary and is effective from 1 February 2020.

Annex 1

Definitions used in the Safeguarding Protocol

Annex 2

Factors for the SAG to consider when considering Safeguarding Concerns, including Serious Issues, and making decisions in terms of the Safeguarding Protocol.

Details of what evidence the SAG need to properly consider a case

Any evidence will always be considered using the civil standard of proof which is on the balance of probabilities. This means that the SAG will consider whether the occurrence of the reported matter was more likely than not.

General 

The SAG will carry out an initial assessment even if the only information available to them is that a Safeguarding Concern has arisen or that a student or member of staff or another member of the University Community (“the Individual”) is being investigated by the police. However, it will be difficult for the SAG to properly assess the matter when there is very little information about it. Ideally the following should be provided to the SAG when a Safeguarding Concern is referred to them:

• a completed “Raising a Concern” form
• a statement from the person raising the Concern (the complainer)
• a statement from any witness
• details of any criminal proceedings, including important dates
• any supporting documentary evidence.

A statement from the person raising the Concern is helpful to provide more information to the SAG and to assist with the risk assessment. A statement should include:

• the complainer’s details such as name, course and year of study (if applicable)
• how the complainer knows the Individual
• details of the Safeguarding Concern including what happened, when, where and details of any witnesses
• who the complainer has reported the Safeguarding Concern to, for example, the police
• what impact the Safeguarding Concern has had or is having on the complainer
• whether the complainer has had contact with the Individual since
• whether the complainer feels they are at risk of harm or injury from the Individual
• what measures, if any, does the complainer feel would make them feel safer on campus
• what supports does the complainer have in place
• what outcome would the complainer like to see as a result of raising the Serious Issue.

Meetings with students or other members of the Community

Factors to be discussed at a meeting between the SAG and the Individual will include:

• the nature of the Safeguarding Concern
• details of any on-going criminal proceedings
• the Individual’s comments on the Concern raised
• whether the Individual is receiving appropriate support
• whether the Individual feels safe on campus
• how the Individual is getting on academically (if applicable)
• whether other students, staff or members of the Community are involved and the level of contact the Individual has with them
• the possible outcomes.

Risk assessments

If the matter is considered to be a Serious Issue then the SAG may carry out a risk assessment. Factors to consider when carrying out a risk assessment:

• the nature of the Serious Issue
• the time that has passed since the Serious Issue occurred
• details of any on-going criminal proceedings
• whether there are any bail conditions
• the strength of evidence in support of the Serious Issue
• the student’s comments about the Serious Issue
• any documentary evidence provided by the student
• the circumstances leading up to the Serious Issue
• whether there are concerns relating to the Individual’s welfare, safety and/or academic performance
• whether the Serious Issue relates to another student or group of students
• the likelihood of the Individual and the complainer(s) coming into contact
• the impact the Serious Issue has had or is having on others
• the likelihood of the Serious Issue being repeated
• the consequences if the behaviour is repeated
• whether the Serious Issue took place on campus
• whether the Serious Issue is an isolated matter or a pattern of behaviour
• whether the student has shown any insight, regret or apology
• whether the student has tried to conceal any wrongdoing
• whether the student has co-operated with this process
• what the level of risk is considered to be
• whether precautionary measures are necessary to safeguard the University community
• the impact that precautionary measures would have on the Individual.

How the SAG will consider different types of cases

Cases involving allegations made by one student against another student

These types of cases can be very difficult to manage because the University:

• owes a duty of care to both students
• may wish to take steps to protect both students from harm
• wishes to provide education to both students. 

This means the conflicting rights and interests of both students require to be balanced when considering what action to take. 

The SAG may have no option but to decide that, on the balance of probabilities, there is insufficient evidence to take any action. This may happen when the evidence is evenly balanced, for example, in cases where it is one student’s word against another. 

Cases where an Individual is subject to a criminal process

Any criminal process will take priority over the University’s internal disciplinary process. Save for taking precautionary action, any internal disciplinary process should be put on hold until the criminal process is at an end. 

Cases where (i) a Serious Issue could constitute a criminal offence but has not been reported to the police; and (ii) where a criminal process has concluded

Cases such as these should be dealt with on a case-by-case basis as a potential breach of discipline and not as a criminal offence. 

The SAG may consider these cases and make a recommendation to the Director of Academic and Corporate Governance after considering (i) whether the alleged facts and matters occurred on the balance of probabilities; (ii) whether the alleged facts and matters amount to a breach of discipline; and (iii) what sanction, if any, should be imposed.

In some cases, the SAG may recommend that the University’s Fitness to Practise procedure is followed if the student is in one of the Schools to which that procedure applies.

Precautionary action in the case of a student

Precautionary action under this protocol should follow the procedure as set out paragraphs 17. to 24. of the Student Discipline Procedure. Precautionary action can include immediate suspension for all or part of a student’s studies. It can also include conditions.

Precautionary action in the case of a member of staff

Precautionary action under this protocol should follow the procedure as set out in paragraph 10. of the Discipline Procedure for members of staff. Precautionary action can include a period of suspension.