The HRA is committed to working collaboratively and constructively with REC members.
Concerns may be raised internally (e.g., by a Chair, REC member, or HRA staff) or externally (e.g., by researchers, sponsors, or members of the public). Concerns may be conveyed verbally or submitted in writing.
The HRA will acknowledge the concern with the individual who raised it and, if requested, confirm whether the concern has been upheld. However, the HRA will not share details of any actions taken regarding individual REC members.
Where possible, issues should be resolved informally and quickly, with minimal disruption. HRA staff are encouraged to use their professional judgement to handle concerns proportionately, balancing the needs of individual members and the wider Research Ethics Service.
Concerns will be escalated only when informal resolution is not possible or when the issue is too serious for local handling. Serious conduct issues are managed in accordance with section five of this policy.
If concerns cannot be resolved, or are serious in nature, the matter will be referred to the Head of Approvals support and Improvement as the Appointing Authority Lead. In rare cases, this may result in the REC member’s appointment being terminated. If the member has been appointed to more than one REC, this decision may apply to all the member’s REC appointments across the Research Ethics Service.
Correspondence relating to the procedures detailed in section 5 will be stored for audit purposes:
- on HARP / Plan and Manage Health and Care Research when a concern is being managed by the REC Approvals Team or the Member Support Team
- on an access restricted folder in SharePoint when a concern is being managed by the Member Support Management Team
Outcomes will be communicated to the REC member in writing and retained in line with the HRA Records Retention Schedule. This information may be considered when reviewing second terms, extensions to second term, transfers, multiple REC member appointments, chairing appointments, or future concerns.
Attendance and training
There are some requirements and expectations associated with being a REC member as set out in the volunteer agreement. The requirements and expectations help the REC members carry out their role and ensure that RECs function in line with the UK REC Policy Document, Standard Operating Procedures for RECs and meet legal requirements.
REC members are required to complete:
- induction training and / or attend mentor sessions within the first six months of appointment to the REC service
- equality and diversity training within the first 12 months of each term of appointment
The HRA recognises that NHS employees are required to complete Equality and Diversity training regularly as part of their NHS work and therefore do not have to provide evidence of this training. Likewise, the HRA recognises Equality and Diversity training completed via other organisations but evidence of completion, such as an email, screenshot or a certificate, should be provided by the REC member.
After their first year of appointment, REC members are expected each year to:
- complete four hours of learning relevant to their REC role
- attend at least six out of ten meetings full REC meetings (or the equivalent number of sub-committee meetings)
Failure to meet these requirements and expectations may result in the REC member’s appointment being terminated.
To support REC members in their role, the HRA provides a comprehensive learning and development portfolio but also recognises:
- training provided via other organisations and self-directed learning relevant to their REC role
- continued professional development (CPD) as part of a healthcare or social care professional registration
The HRA recognises that whilst attendance and training is important, volunteers may occasionally experience periods when participation is difficult. Concurrently, the member may be fulfilling their REC role in line with the REC policy and REC SOPs, and there is no impact on the Research Ethics Service. It is therefore important that performance as a REC member and any impact on the Research Ethics Service is taken into consideration along with the requirements and expectations set out above.
Where attendance or training expectations are not met:
HRA staff will do their best to understand the difficulties, and support where possible. For example, offer flexibility, such as temporarily adjustment of expectations or exploring alternative arrangements.
In cases where all options have been explored and a solution cannot be found to support attendance, it may be appropriate for the REC member to have a break in membership, transfer to another REC with a different meeting day and time or step down from their volunteer role.
When reviewing training, staff will take into consideration the level of training completed within the 12-month period, the member’s training history throughout their membership, and whether the members is fulfilling their role in line with the REC policy document and the REC SOPS without compromising the Research Ethics Service. If the member is fulfilling their role and there is no impact to Research Ethics Service, the training requirement may be waived for the reporting period.
Where it becomes clear that a member is unable to fulfil the REC member role and no viable solution is available the outcome maybe to process the member as a leaver.
These conversations can occur via informal channels (e.g. email exchanges, Teams or Zoom meetings), and do not require formal meetings unless mutually agreed. Notes and outcomes from these communications are required and will be stored in line with section 3.
Conduct and performance
The HRA expects REC members, staff and other people that may join REC meetings and events to feel safe, included and valued. To maintain a safe, inclusive environment the HRA expects everyone to show equal regard for feelings, viewpoints, dignity and rights of others, whether face to face, online, or on social media.
REC Members are required to work in line the REC Policy document, the SOPs for RECs and the volunteer agreement.
The HRA is also committed to ensuring that the services it provides are trusted by its volunteers, the public and the research community. REC Members are required to act independently, declare conflicts of interest, maintain confidentiality and declare any changes in their registration, if they are a health or social care professional, as set out in the volunteer agreement.
Where there are concerns about conduct or performance of a REC member, unless the concern could pose a serious concern, the following will apply:
In the first instance, an informal discussion with the member may be sufficient to resolve concerns by clarifying expectations or providing support.
A period of monitoring may be adopted to help the member address the issue.
HRA staff may use discretion to waive monitoring processes where the concern is clear, ongoing, or affects REC dynamics
Where issues cannot be resolved, the member may be asked to step down from their role temporarily, immediately and/or permanently, depending on the situation.
Records of discussions and outcomes will be created and stored in line with section 3.
This approach seeks to minimise procedural burden and provide the member with the support required, while ensuring the continued effectiveness and integrity of the RECs.
Serious concerns
Serious concerns may include but are not limited to:
- breaches of confidentiality
- discriminatory conduct (as defined in relevant HRA policies)
- aggressive behaviour, including abusive language
- reputational risk to the HRA (as confirmed by the Director / Deputy Director of Approvals)
Where a REC member’s behaviour or conduct pose a serious concern, the HRA will take steps to resolve the issue swiftly.
Efforts will be made to resolve serious issues with the member concerned, prioritising the delivery of a professional, safe and effective Research Ethics Service.
Serious concerns will be managed by the Head of Approvals Support and Improvement (or in their absence, the Director / Deputy Director of Approvals) with the support of the Member Engagement and Development Manager.
Depending on the seriousness of the concern and the need for action, the Head of Approvals Support and Improvement can:
- outline the serious concern and the behaviour expected going forward to the member concerned with a warning that failure to comply will result in the immediate termination of their appointment as a REC member
- terminate the REC member’s appointment immediately without discussion
When more information is required, this will be authorised by the Head of Approvals Support and Improvement and overseen by the Member Engagement and Development Manager. Depending on the seriousness of the concern raised, the member’s appointment as a REC member maybe suspended whilst information gathering takes place.
The HRA values open and constructive dialogue. Where members are unwilling to engage meaningfully with the process decided by the Head of Approvals Support and Improvement, it may be necessary to consider terminating the member’s appointment without discussion.
The outcome will be confirmed in writing to the REC member concerned.
If members have concerns about the process followed or any subsequent outcome, they will be referred to the HRA’s complaints process.
All correspondence relating to this process will be stored in line with section 3.
Reference and supporting documents
- Standard operating procedures for Research Ethics Committees
- REC policy document
- REC Member appointment letters
- REC Member volunteer agreement
- Policy and procedure for the recruitment and selection of members of Research Ethics Committees including reappointment, break in service, probationary periods, leavers and transfers
- Policy and procedure for the appointment of Chairs and Vice Chairs
- HRA equality and diversity policy
- HRA social media policy
- Working instructions and templates for the Member Recruitment and Support Team and the Approvals Operations Team (pending)