October 2023 to March 2024
This report includes data relating to REC audits conducted and action plans completed in the period October 2023 to March 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 21 audits were completed and 16 action plans reviewed and verified as completed.
1. REC audits and accreditation status awarded
| Name of REC | Audit period | Accreditation status awarded |
| Yorkshire & The Humber - Sheffield | Jun 2022 - May 2023 | Provisional accreditation |
| East of Scotland REC 2 | Jul 2022 - Jun 2023 | Full accreditation |
| London - South East | Jul 2022 - Jun 2023 | Accreditation with conditions |
| Yorkshire & The Humber - Leeds East | Jul 2022 - Jun 2023 | Accreditation with conditions |
| London - Riverside | Jul 2022 - Jun 2023 | Provisional accreditation |
| East Midlands - Leicester South | Aug 2022 - Jul 2023 | Full accreditation |
| South Central - Hampshire A | Aug 2022 - Jul 2023 | Provisional accreditation |
| South Central - Oxford C | Aug 2022 - Jul 2023 | Provisional accreditation |
| North West – GM Central | Sep 2022 - Aug 2023 | Provisional accreditation |
| London - Central | Sep 2022 - Aug 2023 | Provisional accreditation |
| East Midlands - Leicester Central | Sep 2022 - Aug 2023 | Accreditation with conditions |
| East Midlands - Derby | Oct 2022 - Sep 2023 | Full accreditation |
| London – Surrey Borders | Oct 2022 - Sep 2023 | Provisional accreditation |
| North East - Newcastle & North Tyneside 2 | Oct 2022 - Sep 2023 | Provisional accreditation |
| London – Chelsea | Oct 2022 - Sep 2023 | Full accreditation |
| West Midlands - Coventry and Warwickshire | Nov 2022 - Oct 2023 | Full accreditation |
| London - Westminster | Nov 2022 - Oct 2023 | Full accreditation |
| Wales REC 2 | Nov 2022 - Oct 2023 | Full accreditation |
| Wales REC 4 | Nov 2022 - Oct 2023 | Provisional accreditation |
| Wales REC 3 | Dec 2022 - Nov 2023 | Full accreditation |
| North East - Tyne & Wear South | Dec 2022 - Nov 2023 | Provisional accreditation |
REC Audit Decisions October 2023 to March 2024
Figure 1 shows the breakdown of REC audit decisions made during the reporting period October 2023 to March 2024.
The graph shows that out of the 21 RECs audited, 48% were given a provisional accreditation, 38% were given full accreditation and 14% 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 | Extension due to Incomplete action plan | Date action plan re-submitted | Date full accreditation received |
| South East Scotland 2 | 06-Oct-23 | 25-Sep-23 | 11-Oct-23 | ||
| East of England - Cambridge Central | 11-Oct-23 | 11-Oct-23 | 19-Oct-23 | ||
| East Midlands – Nottingham 1 | 24-Oct-23 | 19-Oct-23 | 20-Oct-23 | ||
| London – West London & GTAC* | 11-Nov-23 | 07-Nov-23 | 15-Nov-23 | ||
| London – City & East | 01-Dec-23 | 01-Dec-23 | 06-Dec-23 | ||
| East Midlands - Nottingham 2 | 15-Dec-23 | 15-Dec-23 | 19-Dec-23 | ||
| North West – Haydock | 20-Jan-24 | 19-Jan-24 | 24-Jan-24 | ||
| London - Fulham | 20-Jan-24 | 23-Jan-24 | Agreed | 24-Jan-24 | 25-Jan-24 |
| London – Bloomsbury** | 04-Feb-24 | 05-Feb-24 | Agreed | 20-Feb-24 | 20-Feb-24 |
| South Central - Berkshire | 04-Feb-24 | 25-Jan-24 | 26-Jan-24 | ||
| North East - York | 17-Feb-24 | 12-Feb-24 | 14-Feb-24 | ||
| London - Brent | 07-Oct-23 | 11-Oct-23 | Agreed | 12-Oct-23 | 19-Oct-23 |
| London – London Bridge | 07-Mar-24 | 07-Mar-24 | Agreed | 21-Mar-24 | 22-Mar-24 |
| North East - Newcastle & North Tyneside 1*** | 21-Mar-24 | 21-Mar-24 | 22-Mar-24 | ||
| North West – GM Central | 29-Feb-24 | 28-Feb-24 | 29-Feb-24 | ||
| London - Central | 13-Mar-24 | 18-Mar-24 | 20-Mar-24 |
*Full accreditation on condition that approvals management monitor the uploading and signing of sub-committee minutes, in line with SOPs and guidance, over the next 6 months to ensure that compliance is ongoing.
**REC given accreditation for 3 months when a review will take place (of training, attendance and management of Sub Committee minutes) to confirm full accreditation.
***REC given accreditation for 4 months when a review of training will take place to confirm full accreditation.
Issues from incomplete action plans
Figure 2 shows the breakdown of the issues from the action plans, which were not fully compliant, and an extension was given to the REC to complete before full accreditation could be gained.
The graph shows that there were 2 issues relating to the management of minutes, 2 issues in relation to members training, 1 issue on members attendance and 1 issue relating to compliance with SOPs.
3. Number of issues, raised in action plans, for each audited REC during the current and previous reporting periods
Figure 3 shows the number of action plan issues raised for each audited REC during the current reporting period (October 2023 to March 2024) and the previous two reporting periods (April to September 2023 and October 2022 to March 2023).
The graph shows the number of RECs being issued an action plan with 1-3 actions for the current reporting period (9 RECs) has decreased from the previous reporting period April to September 2013 (13 RECs) and increased from the reporting period October 2022 to March 2023 (4 RECs).
3 RECs were issued with an action plan with 4-6 issues for the current reporting period which mirros the reporting period April to September 2023 (3 RECs) and is an increase from the reporting period October 2022 to March 2023 (2 RECs).
1 REC was issued with an action plan with 7 or more issues for the current reporting period which is an increase from the two previous reporting periods April to September 2023 (0 RECs) and October 2022 to March 2024 (0 RECs).
4. Breakdown of unmet accreditation audit standards for the current and previous reporting period
Figure 4 compares the number of unmet standards relating to membership for the current reporting period (October 2023 to March 2024 – 21 RECs audited) with those unmet standards for the previous reporting periods (April to September 2023 – 21 RECs audited and October 2022 to March 2023 – 20 RECs audited).
The graph shows trends of the five audit categories relating to membership standards. There is a decrease in issues relating to indemntiy for the current reporting period (1 REC) from the two previous reporting periods April to September 2023 (2 RECs) and October 2022 to March 2023 (2 RECs).
Actions relating to training shows a decrease in issues with 8 action plan issues for the current reporting period compared with 12 issues for the previous reporting period (April to September 2023) and an increase from the reporting period October 2022 to March 2023 where 4 issues were raised.
There was an increase in non-compliance relating to attendance with 3 action plan issues raised for the current reporting period, compared with 2 issues for the previous reporting period (April to September 2023) and none for the reporting period October 2022 to March 2023.
Issues relating to the constitution has increased for the current reporting period with 7 issues raised, compared with 4 issues for the previous reporting period (April to September 2023) and 5 issues raised for the reporting period (October 2022 to March 2023).
Actions relating to other issues (eg Declarations of Interest) shows a decrease with no issues raised for the current reporting period, compared with 2 for the previous reporting period (April to September 2023). No issues were raised for October 2022 to March 2023 which mirrors the current reporting period.
Figure 5 compares the number of unmet standards relating to minutes,correspondence, and SOPs for the current reporting period (October 2023 to March 2024 – 21 RECs audited) with those unmet standards for the previous reporting periods (April to September 2023 – 21 RECs audited and October 2022 to March 2023 – 20 RECs audited).
The graph shows the number of unmet standards relating to management of minutes for the current reporting period has decreased with 4 issues raised, compared to 6 issues for the reporting period April to September 2023 and an increase from the reporting period October 2022 to March 2023 where 3 issues were raised.
1 issue was raised in relation to the quality of minutes for the current reporting period, which is an increase from the two previous reporting periods where no issues were raised (for both April to September 2023 and October 2022 to March 2023).
There were 2 issues raised relating to the quality of correspondence for the current reporting period. This is an increase from the two previous reporting periods where no issues were raised (for both April to September 2023 and October 2022 to March 2023).
There was an increase in unmet standards relating to non-compliance to SOPs (for example inquorate meetings) with 11 issues raised for the current reporting period, compared to 5 issues for April to September 2023 and 3 issues for October 2022 to March 2023.
The graph below shows the breakdown of the 11 issues raised under SOP and other issues for the reporting period.
Non-compliance with SOPs and other issues
Figure 6 shows the breakdown of the actions relating to non-compliance with SOPs and other issues.
The graph shows that the actions, relating to non-compliance with SOPs and other issues, were quoracy of meetings (36%), unclear audit trails (27%), management of expert advice (18%), review of amendments (9%) and attributable comments included in the email trail of the Chair’s sign off email (9%).
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 7 shows the breakdown of the 59 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 (20%), attendance (8%) and constitution (including capacity of members) (7%). Other recommendations (41%) related to inaccurate/missing membership details on HARP, missing annual DOI forms, breaks in service etc.
Recommendations relating to Minutes, Correspondence and SOPs
Figure 8 shows the breakdown of the 92 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) (40%), the management of minutes (ratification/uploading) (21%), the quality of minutes (18%) and the quality of correspondence (21%).
6. Report Turnaround Times
All the HRA QA procedure timelines were met during the reporting period.