April to September 2024
This report includes data relating to REC audits conducted and action plans completed in the period April to September 2024.
The report is reviewed by the UK wide Delivery and Support teams in order to review trends and to take forward any actions in order to improve the service provided by the Research Ethics Service (RES).
During the current reporting period 27 audits were completed and 13 action plans reviewed and verified as completed.
1. REC audits and accreditation status awarded
| Name of REC | Audit period | Accreditation status awarded |
| West Midlands - South Birmingham | Dec 2022 - Nov 2023 | Full accreditation |
| Wales REC 1 | Dec 2022 - Nov 2023 | Provisional accreditation |
| London – Stanmore | Dec 2022 - Nov 2023 | Provisional accreditation |
| Wales REC 5 | Jan 2023 - Dec 2023 | Provisional accreditation |
| London - Bromley | Jan 2023 - Dec 2023 | Full accreditation |
| North West – GM West | Jan 2023 - Dec 2023 | Provisional accreditation |
| East of England – Cambridgeshire & Hertfordshire | Feb 2023 - Jan 2024 | Provisional accreditation |
| London – Queen Square | Feb 2023 - Jan 2024 | Full accreditation |
| North West – GM East | Feb 2023 - Jan 2024 | Accreditation with conditions |
| HSC A | Feb 2023 - Jan 2024 | Provisional accreditation |
| South West – Cornwall & Plymouth | Mar 2023 - Feb 2024 | Full accreditation |
| London – Camden & Kings Cross | Mar 2023 - Feb 2024 | Full accreditation |
| South West – Central Bristol | Mar 2023 - Feb 2024 | Accreditation with conditions |
| Seasonal REC | Apr 2023 - Mar 2024 | Provisional accreditation |
| London – Brighton & Sussex | Apr 2023 - Mar 2024 | Full accreditation |
| HSC B | Apr 2023 - Mar 2024 | Full accreditation |
| North West – GM South | Apr 2023 - Mar 2024 | Accreditation with conditions |
| West of Scotland 1 | May 2023 - Apr 2024 | Full accreditation |
| West Midlands – Edgbaston | May 2023 - Apr 2024 | Accreditation with conditions |
| Social Care REC | Jun 2023 – May 2024 | Full accreditation |
| Yorkshire & The Humber - South Yorkshire | Jun 2023 – May 2024 | Accreditation with Conditions |
| North West – Preston | Jun 2023 – May 2024 | Full accreditation |
| East of England - Cambridge South | Jul 2023 – Jun 2024 | Provisional accreditation |
| East of England - Essex | Jul 2023 – Jun 2024 | Accreditation with Conditions |
| London - Dulwich | Jul 2023 – Jun 2024 | Accreditation with Conditions |
| West Midlands – Solihull | Jul 2023 – Jun 2024 | Provisional accreditation |
| Yorkshire & the Humber – Bradford Leeds | Aug 2023 – Jul 2024 | Accreditation with Conditions |
REC Audit Decisions April to September 2024
Figure 1 shows the breakdown of REC audit decisions made during the reporting period April to September 2024.
The graph shows that out of the 27 RECs audited, 33% were given a provisional accreditation, 37% were given full accreditation and 30% were given accreditation with conditions.
2. RECs achieving Full Accreditation after completion of an action plan
| Name of REC | Latest date action plan should be completed | Date completed action plan received | Date full accreditation received |
| Yorkshire & the Humber – Sheffield* | 05-Apr-24 | 05-Apr-24 | 12-Apr-24 |
| Yorkshire & the Humber – Leeds East | 18-Apr-24 | 18-Apr-24 | 22-Apr-24 |
| London – South East | 26-Apr-24 | 23-Apr-24 | 23-Apr-24 |
| London – Riverside | 06-May-24 | 28-May-24 | 31-May-24 |
| South Central – Hampshire A | 15-May-24 | 14-May-24 | 15-May-24 |
| South Central – Oxford C | 06-Jun-24 | 04-Jun-24 | 05-Jun-24 |
| East Midlands – Leicester Central | 22-Jun-24 | 24-Jun024 | 24-Jun-24 |
| Wales REC 1 | 02-Jul-24 | 24-Jun-24 | 25-Jun-24 |
| London – Surrey Borders | 17-Jul-24 | 17-Ar-24 | 18-Apr-24 |
| North East – Newcastle & North Tyneside 2 | 24-Jul-24 | 24-Jul-24 | 26-Jul-24 |
| Wales REC 4 | 13-Sep-24 | 11-Sep-24 | 12-Sep-24 |
| North East – Tyne & Wear South | 21-Sep-24 | 20-Sep-24 | 25-Sep-24 |
| South West – Central Bristol | 24-Sep-24 | 06-Aug-24 | 07-Aug-24 |
*REC given accreditation for 6 months when a review will take place, of REC member training and attendance, to confirm full accreditation.
3. Number of issues, raised in action plans, for each audited REC during the current and previous reporting periods
Figure 2 shows the number of action plan issues raised for each audited REC during the current reporting period April to September 2024 and the previous two reporting periods (October 2023 to March 2024 and April to September 2023).
The graph shows the number of RECs being issued an action plan with 1-3 actions for the current reporting period April to September 2024 (16 RECs), which has increased from the previous reporting periods October 2023 to March 2024 (9 RECs) and April to September 2013 (13 RECs).
1 REC was issued with an action plan with 4-6 issues for the current reporting period which has decreased from the previous reporting periods October 2023 to March 2024 (3 RECs) and April to September 2023 (3 RECs).
No RECs were issued with an action plan with 7 or more issues for the current reporting period which is a decrease from October 2023 to March 2024 (1 REC) and mirrors the period April to September 2023 (0 RECs).
4. Breakdown of unmet accreditation audit standards for the current and previous reporting period
Figure 3 compares the number of unmet standards relating to membership for the current reporting period (April to September 2024 - 27 RECs audited) with those unmet standards for the previous reporting periods (October 2023 to March 2024 – 21 RECs audited and April to September 2023 – 21 RECs audited).
The graph shows trends of the five audit categories relating to membership standards. There is an increase in issues relating to indemntiy for the current reporting period (2 RECs) from the previous reporting period October 2023 to March 2024 (1 REC) and mirrors the period April to September 2023 (2 RECs).
Actions relating to training shows an increase in issues with 14 action plan issues for the current reporting period compared with 8 issues for the previous reporting period October 2023 to March 2024, and 12 issues for April to September 2023.
There was an increase in non-compliance relating to attendance with 9 action plan issues raised for the current reporting period, compared with 3 issues for the previous reporting period October 2023 to March 2024, and 2 issues for April to September 2023.
Issues relating to the constitution has decreased for the current reporting period with 5 issues raised, compared with 7 issues for the previous reporting period October 2023 to March 2024, and an increase from the reporting period April to September 2023 with 4 issues.
Actions relating to other issues (eg Declarations of Interest) shows an increase with 2 issues raised for the current reporting period, compared with no issues for the previous reporting period October 2023 to March 2024 and 1 issue for April to September 2023.
Figure 4 compares the number of unmet standards relating to minutes, correspondence, and SOPs for the current reporting period (April to September 2024 - 27 RECs audited) with those unmet standards for the previous reporting periods (October 2023 to March 2024 - 21 RECs audited and April to September 2023 – 21 RECs audited).
The graph shows the number of unmet standards relating to management of minutes for the current reporting period has decreased with 3 issues raised, compared to 4 issues for the reporting period October 2023 to March 2024 and 6 issues for April to September 2023.
No issues were raised in relation to the quality of minutes for the current reporting period, which is a decrease from the previous reporting period October 2023 to March 2024 where 1 issues was raised. The current reporting period mirrors the reporting period April to September 2023 where no issues were raised.
No issues were raised in relation to the quality of correspondence for the current reporting period, which is a decrease from the previous reporting period October 2023 to March 2024 where 2 issues were raised. The current reporting period mirrors the reporting period April to September 2023 where no issues were raised.
There was a decrease in unmet standards relating to non-compliance to SOPs (for example inquorate meetings) with 4 issues raised for the current reporting period, compared to 11 issues for October 2023 to March 2024 and 5 issues for April to September 2023.
Non-compliance with SOPs and other issues
Figure 5 shows the breakdown of the 4 issues raised under SOP and other issues for the reporting period.
The graph shows that the actions, relating to non-compliance with SOPs and other issues, were quoracy of meetings (25%), unclear audit trails (25%), uploading of letters to HARP (25%) and the use of favourable opinion with conditions and response not complete (25%).
Download a CSV file showing the graph data from figure 5.
5. Analysis of recommendations detailed in audit reports
Recommendations are issues which are deemed to be low enough risk not to warrant an action plan requiring review and sign off by the HRA QA department. Compliance against recommendations are actioned by the appropriate Approvals team (Support/Operational Delivery).
Recommendations relating to Membership
Figure 6 shows the breakdown of the 75 recommendations made which related to membership.
The graph shows that the recommendations, relating to membership, were low-level non-compliance regarding training (24%), appointment/re-appointment documentation (15%), attendance (12%) and constitution (including capacity of members) (13%). Other recommendations (36%) related to inaccurate/missing membership details on HARP, missing annual DOI forms etc.
Recommendations relating to Minutes, Correspondence and SOPs
Figure 7 shows the breakdown of the 108 recommendations made relating to the management of minutes, correspondence and SOPs.
The graph shows that the recommendations, relating to minutes, correspondence and SOPs, included low-level non-compliance against SOPs (DOIs, membership list, referees, delegation and other issues) (33%), the management of minutes (ratification/uploading) (21%)*, the quality of minutes (22%) and the quality of correspondence (23%).
* to note the requirement to prepare and upload PR and sub committee minutes was removed from 1st June 2024.
6. Report Turnaround Times
All the HRA QA procedure timelines were met during the reporting period.