Pursuant to the Charter and Bye-Laws, Council has adopted the Regulations listed below:
Regulation 1. Numbers of Fellows (other than Corresponding and Honorary Fellows)
The number of Fellows (other than Corresponding and Honorary Fellows) elected in any one year shall not exceed 52.
Regulation 2. Emeritus Fellows
The age relevant to eligibility for Emeritus Fellowship is 70.
Regulation 3. Subscription
The annual subscription shall be due on 1 January in each year. The age after which a 50% discount applies is 65, and no subscription is payable after age 70.
Regulation 4. Duties of Fellowship
The duties of Fellows are:
(i) To attend, unless reasonably prevented, all meetings of the Council (if a member) and all meetings of any Section or Committee of which he or she is a member
(ii) To participate in any ballot; and
(iii) When he or she cannot attend a Section meeting, to communicate to the Chairman his or her views on the principal items of business
(iv) To contribute as best he or she may be able to the work of the Academy, eg in the assessment of applications for funding support
Regulation 5. Corresponding Fellows
Not more than 20 Corresponding Fellows may be elected in any one year.
Regulation 6. Honorary Fellows
Not more than four Honorary Fellows may be elected in any one year.
Regulation 7. Officers
In addition to (i) the President and (ii) the Treasurer, the Officers of the Academy are the following:
(iii) Foreign Secretary
The Foreign Secretary shall have overall responsibility for international engagement, and negotiate with foreign academies and other institutions for academic visits and exchanges and such other forms of international collaboration as may promote the objects of the Academy. The Foreign Secretary shall bear the title of Vice-President for as long as he or she shall hold that office.
(iv) Vice-President (Publications)
The Vice-President (Publications) shall, in conjunction with the Treasurer on financial questions, be responsible for all matters appertaining to publication by, or with the authority of, the Academy.
(v) Vice-President (Research and Higher Education Policy)
The Vice-President (Research and HE Policy) shall have overall responsibility for the conduct and development of the Academy’s research policy and programmes, and for the Academy’s positions on matters of higher education policy.
(vi) Vice-President (British International Research Institutes)
The Vice-President (British International Research Institutes) shall be responsible for the distribution of funding to and overseeing the work and development of the institutions sponsored by the Academy, with particular regard to those activities supported with funding from the Academy.
(vii) Vice-President (Public Engagement)
The Vice-President (Public Engagement) shall have overall responsibility for the Academy’s communications, external relations and activities contributing to the public appreciation and understanding of scholarship and research.
(viii) Vice-President (Public Policy)
The Vice-President (Public Policy) shall have overall responsibility for the work and positions taken by the Academy on matters of public policy.
(ix) Vice-President (Humanities)
The Vice-President (Humanities) shall provide leadership for and within the Academy on behalf of humanities disciplines and have overall responsibility for ensuring effective representation of humanities scholarship within the Academy.
(x) Vice-President (Social Sciences)
The Vice-President (Social Sciences) shall provide leadership for and within the Academy on behalf of social science disciplines and have overall responsibility for ensuring effective representation of social science expertise within the Academy.
Regulation 8. Chief Executive and Secretary
The Chief Executive and Secretary has the following duties and powers: The Chief Executive and Secretary:
(i) Shall, unless unavoidably prevented or dispensed by the President for good cause, attend all meetings of the Council and such other meetings of committees or other bodies of the Academy as the Council decides
(ii) Shall in conjunction with the Treasurer conduct and manage the Academy’s business in accordance with the policies and procedures from time to time prescribed by the Council, and
(iii) May with the approval of the Council and the Treasurer engage staff to assist in the conduct and management of the Academy’s business
Regulation 9. Committees
Council will annually publish the remits and membership of Council Committees. The remits of the following three Committees are as follows:
(i) Standing Committee of Council
The Standing Committee of Council, chaired by the President, meets regularly and advises Council on the Academy’s strategic objectives and progress, takes responsibility for public statements in the name of the Academy, consulting with Council and the Fellowship as appropriate, and advises the Treasurer and Chief Executive and Secretary on the management of the Academy’s business and resources.
(ii) Audit Committee
The Audit Committee monitors the Academy’s financial statements, corporate governance, financial and risk management and related matters, oversees a programme of internal audit and advises Council on the appointment of external auditors and other relevant matters.
(iii) Fellowship and Structures Committee
The Fellowship and Structures Committee:
(a) Reviews the representation within the Fellowship of the subjects that make up the humanities and social sciences, and recommends to Council any structural changes
(b) Monitors the process of election to the Fellowship, and reports to Council, together with any recommendations for change
(c) Considers the claims of persons whose work does not fall sufficiently within the purview of any one Section, and makes recommendations for election, directly to Council
Regulation 10. Recommendations by Sections
Council will annually publish guidance on elections, to be followed by Fellows, Sections, Groups and the Fellowship and Structures Committee.
Regulation 11. Procedures concerning allegations of misconduct
- This Regulation contains procedures designed to be implemented in the event of an allegation of misconduct against a Fellow or Fellows.
- This Regulation supplements Bye-Law 12, and supplies the procedures that will be followed in the event of concerns about misconduct by a Fellow.
- The Academy has no statutory authority over its Fellows, nor is it their employer. Nevertheless it is a nationally recognised body with a royal charter and it receives substantial public resources and private endowments. Its commitment to excellence implies a responsibility to maintain the highest standards of scholarly conduct among its Fellows and to have procedures in place in the event of any allegations of misconduct.
- Bye-Law 12 refers to each Fellow being a ‘fit and proper person’. These procedures are based on the view, traditional within the Academy, that the wording in the Bye-Laws is to be interpreted primarily in terms of scholarly fitness, and they focus on misconduct liable to be injurious to the character or interests of the Academy.
- These procedures concern allegations of misconduct by Fellows. They do not cover ‘statements of dissatisfaction with the level of service provided’ by the Academy (the Cabinet Office definition of complaints), nor concerns about an Academy policy position (eg that a policy position is discriminatory), nor alleged misconduct of staff or of funded academics or organisations, save where alleged misconduct of a Fellow is involved. Other mechanisms exist to address these matters.
- The Academy’s Council has responsibility for disciplinary matters and the duty to ensure that fair procedures are followed. The Council delegates its powers to the persons and bodies named in this Regulation. Where any such person has a conflict of interest, the President will appoint an alternative. Where the President is the object of a complaint or is conflicted, the Vice-President (Humanities or Social Sciences, as relevant) will act in his/her place.
Standards of conduct expected
7. Fellows are elected for distinction in, or for their commitment to, research and scholarship and, upon their election, are expected to obey the Academy’s regulations and to maintain the highest standards of scholarly and professional conduct. For example, this includes refraining from the following:
i) Abuse of office as an elected Officer or chair or member of a Committee
ii) Interference with the due process for the distribution of grants, selection of lecturers, award of prizes etc.
iii) Interference with the due process for election of Fellows
iv) Failure to declare a material conflict of interest
v) Causing damage or loss to Academy property or resource
vi) Making a public statement, without authorisation, purporting to be in the name of the Academy
vii) Inappropriate behaviour (eg bullying, discrimination or sexual harassment)
viii) Financial impropriety.
8. Public values: The Nolan principles were established for those involved in public service
or members of public bodies. The Academy is not in this sense a public body, but it is
entrusted with public funds and functions for the public good, and endeavours to act in
accordance with the highest standards. The Nolan principles (selflessness, integrity,
objectivity, accountability, openness, honesty and leadership) frame the responsibilities
of Fellows’ work for the Academy and the Academy expects Fellows to display
adherence to them:
- Selflessness: Fellows should take decisions solely in furtherance of the Academy’s objectives. They should not do so in order to gain financial or other material benefits for themselves, their family, or their friends.
- Integrity: Fellows should not place themselves under any financial or other obligation to outside individuals or organisations that might influence them in the performance of their Academy responsibilities.
- Objectivity: In carrying out Academy business, including making appointments, awarding contracts, or recommending individuals for appointments, awards, prizes, etc, Fellows should make choices on merit.
- Accountability: Fellows are accountable for their decisions and actions to the Academy and must submit themselves to whatever scrutiny is appropriate to their role or office.
- Openness: Subject to the duty to observe confidentiality, Fellows should be as open as possible about the decisions and actions that they take. They should give reasons for their decisions and restrict information only when the interests of the Academy so require.
- Honesty: Fellows have a duty to declare any private interests relating to their Academy responsibilities and to take steps to resolve any conflicts arising in a way that protects the Academy’s interests and promotes public confidence.
- Leadership: Fellows should promote and support these principles by leadership and example.
9. Research and scholarly conduct: The Academy is a signatory to the code of the UK Research Integrity Office, and expects Fellows to comply with the code. The UKRIO code summarises research misconduct thus (3.16.1):
Research misconduct includes, but is not limited to:
a) Fabrication
b) Falsification
c) Misrepresentation of data and/or interests and/or involvement
d) Plagiarism, and
e) Failures to follow accepted procedures or to exercise due care in carrying out responsibilities for:
i) Avoiding unreasonable risk or harm to humans, animals used in research, and the environment, and
ii) The proper handling of privileged or private information on individuals collected during research
10. Activities related to scholarship: Fellows in the Academy’s disciplines often publish or broadcast materials (e.g. journalism) or engage in other communications (e.g. blog posts) which often draw on their scholarly expertise. They also from time to time engage in consultancy or contribute advice or expert opinion. Some are engaged in professional practice. The Academy expects Fellows to act in a way consistent with scholarly values in these activities as well as in strictly research activity.
12. Teaching: Fellows are also often teachers, supervisors or mentors, drawing on their scholarly standing. The Academy expects Fellows to conduct themselves in these activities with respect, integrity and honesty.
Process
13. Once it is brought to the Academy’s notice that there may exist a case of conduct inconsistent with the standards of conduct referred to in paragraphs 7–11 above, the following procedures will apply.
14. Allegations, which may be made by non-Fellows or Fellows, must be made in writing and addressed to the Chief Executive and must present sufficient evidence of the alleged misconduct for a prima facie case to be determined. The Chief Executive will acknowledge receipt of the allegation, and for this purpose a name and contact details must be provided. The Academy seeks to protect complainants and Fellows from publicity, victimisation or harassment as a result of an allegation of misconduct being lodged. The Academy will aim, so far as possible, to investigate allegations in confidence and protect the identity of Fellows and complainants during the course of consideration of allegations. Communications with parties involved will be via the Chief Executive.
15. The Academy aims to deal with allegations of misconduct against Fellows in an expeditious manner, but it may determine that it is appropriate to await the outcome of an external process (e.g. investigation or hearing by another organisation, or a court case).
16. For the purpose of dealing with allegations of misconduct against Fellows, the Council will appoint an Investigating Officer (IO). The IO will be a Fellow who is not a member of Council. The Investigating Officer, with the support of the CES and Fellowship Manager, will take the lead in handling issues that call for consideration. This will include determination of whether it is appropriate to await the outcome of any external process and whether there is a prima facie case to answer. If there is a prima facie case which it is timely to address, the IO will proceed as specified below.
17. The IO will be responsible for handling allegations in accordance with principles of fair procedure, seeking to conclude investigations effectively and in due time. The IO will exercise judgment, on a case by case basis, as to whether the matter under investigation is likely, if upheld, to warrant a modest or a serious sanction, and will ensure that all interested parties have the opportunity to be heard and to present their case, including representations on the proposed sanction.
18. Initial assessment: Is there a prima facie case to answer? On receipt of an allegation, or where a relevant matter is identified (eg as a result of action taken by others, such as a university, professional association or the courts), the Chief Executive will ask the IO to examine the matter, supported by the Chief Executive and Fellowship Officer. The Chief Executive will inform the Fellow in question that a complaint has been received and the process of investigation established. The IO will gather evidence and interview relevant parties, including any Fellow who is the subject of an allegation of misconduct. The IO
will normally provide a report to the President within two months of receipt of the Allegation. If the IO’s finding is that there is no prima facie case to answer, or that the allegation of misconduct is frivolous or vexatious and not in the interests of the Academy to pursue, the President will report the outcome to Council and the Chief Executive will communicate accordingly to the parties concerned.
19. Consideration and determination: If the IO reports that there is a prima facie case to
answer, then:
i) Where the matter appears to the IO to raise the possibility of a modest sanction only, then the IO will inform the President of the proposed sanction, who will report to Council
ii) Where the matter appears to raise the possibility of a serious sanction, the President will appoint the chair and members of a Misconduct Panel to consider the matter, and will report to Council that a Panel has been appointed
20. Determination by Misconduct Panel: The Misconduct Panel will comprise three members, including an independent member, e.g. drawn from another academy or learned body. The IO will have responsibility for presenting the case to the Misconduct Panel, which may seek such evidence and hear from such persons as it thinks appropriate, including any complainants and Fellow/s against whom an allegation has been made. Secretariat to the Misconduct Panel will be supplied by the Chief Executive and Fellowship Officer. The Chief Executive will communicate to the Fellow and parties involved the nature of proceedings, evidence to be provided and the opportunity to be heard. A Fellow under investigation may be accompanied at a meeting of the Misconduct Panel by a third party, but the meeting may be held in the absence of the Fellow if, having been given reasonable notice, he or she fails to attend. The Misconduct Panel will be expected to make a report to the President on the outcome of the case on the balance of probabilities within three months of referral of a matter. Before issuing a finding on the proposed sanction the Panel may give the Fellow the right to make representations on that matter.
21. Sanction: If the IO or the panel upholds the complaint or finds against the Fellow in question in any respect, an appropriate sanction will be proposed. Sanctions may include one or more of the following:
i) Censure
ii) Requirement of action (eg retraction, apology, counselling)
iii) Monetary compensation for damage or loss to Academy property or resource iv) Suspension of membership (or rights to participate in certain activities, eg holding office or taking part in elections) for a period
v) Such other actions as may seem appropriate, including communication of actions to relevant parties (eg employing university, professional associations)
vi) Expulsion from the Fellowship
22. Findings and recommended sanctions will be reported to Council by the President. Any recommendation of expulsion or other serious sanction will be brought to Council for confirmation.
23. Appeal: Any finding or sanction may be appealed by the Fellow in question. An appeal must be lodged with the Chief Executive within 30 days of communication of finding or sanction.
i) An appeal against a modest sanction will trigger referral to the Misconduct Panel as outlined above.
ii) The President may accept a request for an appeal hearing from the determination of the misconduct panel if the Fellow provides fresh evidence that could not have been, or for good reason was not, made available at the time of the hearing, or evidence of significant procedural error on the part of the Investigating Officer or the panel before or during the hearing or on the part of Council following the hearing. The President has the discretion to take into account any other relevant grounds when deciding whether or not to accept a request for an appeal hearing.
24.Where a request for an appeal is accepted, the President will appoint a Misconduct Appeal Panel with new chair and members, including at least one independent member. The Chief Executive will communicate to the Fellow and parties involved information about the nature of the appeal proceedings, evidence to be provided and the opportunity to be heard. The IO will present the case to the Appeal Panel. The Appeal Panel will consider the matter within three months, determining whether the appeal is upheld, and if so whether any changes to sanctions are recommended. Before issuing a finding on the proposed sanction the Panel may give the Fellow the right to make representations on that matter. The Panel will issue a report to the President, who will report its findings to Council, which will consider whether to accept the recommendation of the Appeal Panel. There is no further appeal beyond the decision of Council, save where the sanction recommended is expulsion.
25.Where the proposed sanction is expulsion, the Fellow in question may, under Bye-Law 12, opt to appeal to the full Council and also to a General Meeting of the Fellowship. At the General Meeting the IO will present the case, and the Fellow will respond. The General Meeting will come to a view on the matter and the President will carry out the wishes of the General Meeting.