The British Academy

PROCEDURES FOR PENALTY-LISTING

BACK

1. The Academy has adopted the principle of penalty-listing a person or an institution for failing to comply with the conditions of award.
2. The procedures to be followed before penalty-listing are set out below,

   • End of grant report due

     1. Report submitted - Sent for assessment - If deemed satisfactory - File closed
        If deemed unsatisfactory - Further information sought
        If further information satisfactory - Close file
        If further information unsatisfactory - Pre-sanction

     2. Report not submitted - Reminder(s) sent - If report then submitted - Follow (a) above
        If no report submitted - Letter from Secretary to Vice-Chancellor (where relevant)
        If report then submitted - Follow (a) above
        If no report submitted in response to Letter to Vice-Chancellor (or award-holder independent) - Pre-sanction

     3. Pre-sanction

        Matter placed before awarding Committee to decide whether sanction appropriate

     4. Sanction options

        If award-holder at institution - Request refund of grant
        If refunded - Close file.
        No further sanction

        If no refund received - PENALTY-LISTED: all members of staff at that institution disbarred from applying to the Academy for two years. Individual disbarred from applying to the Academy sine die
        If value of grant over £500, report to Secretary of State

     5. If award-holder independent - Request refund of grant
        If refunded - Close file.
        No further sanction

        If no refund received - PENALTY-LISTED: individual disbarred from applying to the Academy sine die
        If value of grant over £500, report to Secretary of State

3. Failure to deposit digital resources with a Data Service or to obtain a waiver (where relevant) also constitutes non-compliance with the conditions of award. Such cases will automatically go to the ‘pre-sanction’ stage of the process outlined above.

4. Cross-Committee sanction

   The sanction of disbarring an individual or institution from applying for Academy support applies across the board, that is, to all grant-funding streams, including those that flow through BASIS and the IPC. It is proposed that a central list be kept on a file that is accessible to relevant staff within Carlton House Terrace, and circulated to Schools and Institutes outside the London office as necessary. Assistant Secretaries, including staff at BASIS institutions, will be responsible for ensuring information is shared and made available to awarding Committees as appropriate.

5. Removal from Penalty-list

   Removal from the penalty-list can be achieved at any time through submission of a satisfactory report, or the refund of the grant awarded. If an individual or institution wishes to appeal against the sanction, they may submit a written case, for evaluation by the relevant awarding Committee.

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