Procedure

Purpose

This document details a procedure which will facilitate the appointment of REC Chairs and Vice-Chairs. The aim of the document is to ensure that the appointment process is fair and transparent.

The HRA recognises and actively promotes the benefits of a diverse workforce and is committed to treating all employees and volunteers with dignity and respect regardless of race, gender, disability, age, sexual orientation, religion or belief. The HRA has an Equality and Diversity Policy. This requires the fair and equal treatment of all staff and those individuals in non-paid membership roles. The HRA wishes to ensure that all individuals are recruited, trained and promoted based on ability and the requirements of the role and those principles extend to the appointment of individuals who give freely of their time to serve voluntarily on RECs.

This document describes the approach to appointing REC Chairs and Vice-Chairs in a way that is free from bias and describes how monitoring will be carried out.

Scope

The procedures set out in this document are designed to provide a ‘bank’ of individuals who have been identified as suitable for future Chairing roles as well as appointing to immediate vacancies should they arise. This will aid in making timely appointments to REC Chair or Vice-Chair vacancies. The mechanism differs from the process for appointing Chairs and Vice-Chairs following a merger of RECs which is set out in the document: Management of Change - Closure or Merger of Research Ethics Committees and will continue to apply.

The procedures in this document will apply to RECs in England but maybe adopted by other Appointing Authorities for RECs in the UK.

The procedures in this document may also be followed when appointing a Chair and / or Vice Chair for the Confidentiality Advisory Group.

Reference Documents

• UK REC Policy Document
• Standard Operating Procedures for Research Ethics Committees
• Interview questions and scoring for Chair and Vice Chair Interviews
• Community Payment Policy
• Management of Change Guidance for the Closure or Merger of Research Ethics Committees

Responsibilities

Head of Approvals Support and Improvement

The Head of Approvals Support and Improvement is the Appointing Authority Lead (AAL) and will be responsible for the appointment of REC Chairs and Vice Chairs.

Member Engagement and Development Manager

The Member Engagement and Development Manager is responsible for overseeing the recruitment process of REC Chairs and Vice Chairs and participating in interviews for REC Chairs and Vice Chairs.

Member Management and Development Specialist

The Member Recruitment and Support Team will consult with the Member Management and Development Specialist to ensure that the REC member applying for the role of Chair and / or Vice Chair has not been managed via the Supporting and Managing REC Members and Officers, Dealing with Member Management Issues and Serious Concerns policy and procedure. The Member Management and Development Specialist will be responsible for managing the REC member if it is found that they are adhering to the volunteer agreement for REC members.

Member Recruitment and Support Officer

The Member Recruitment and Support Officer is responsible for managing vacancies and coordinating the recruitment of Chairs and Vice Chairs and storing / maintaining the relevant documents relating to the recruitment process.

Member Recruitment and Support Team

The Member Recruitment and Support Team, under the supervision of the Member Recruitment and Support Officer, is responsible for implementing the recruitment process including the monitoring of appointments and vacancies, the setting up of interviews and recruitment panels, communicating with candidates, obtaining supporting statements and maintaining the register of appointable REC Chairs and Vice Chairs.

REC Chairs

REC Chairs will sit on interview panels with the relevant members of HRA staff, to appoint new REC Chairs and Vice Chairs. The REC Chairs may also agree to act as mentors to newly appointed REC Chairs when required.

Process for Appointing Chairs and Vice Chairs to the Bank

The Member Recruitment and Support Team, under the supervision of the Member Recruitment and Support Officer, will establish and maintain a bank of appointable Chairs and Vice Chairs to ensure that vacancies are filled as quickly as possible with minimal disruption to the REC.

Advertisement of Vacancies

Whenever possible, REC members will be notified of any planned Chair or Vice Chair vacancies within their REC along with details as to how to apply for the role.

In addition to the above, on a regular basis, depending on expected vacancies and when the Head of Approvals Support and Improvement deems necessary, interested REC members across the Research Ethics Service will be invited to apply to interview to become a Chair or Vice Chair. The Member Engagement and Development Manager will manage this process on behalf of the Appointing Authority Lead.

Candidates

REC members who have complied with the volunteer agreement for REC members, acted as a Lead Reviewer, and participated in the review of modifications and proportionate review will be invited to apply for an interview to become a Chair or Vice Chair.

Individual REC members will be invited to provide a written statement indicating why they wish to stand as a Chair / Vice Chair and what they would bring to the role, alongside a CV.

Upon receipt of the statement and the CV, the Member Recruitment and Support Team will:

• request a reference from the current Chair or Vice Chair, that may include the collective views of the committee. If this is not possible, a reference from the Approvals Specialist will be obtained
• conduct a check on HARP to ensure that the REC member has fulfilled their volunteer agreement for REC membership for the previous year and there are no issues regarding these aspects for the current year
• obtain confirmation from the REC’s Approval Specialist or Administrator that the member has successfully participated as a Lead Reviewer and reviewed modifications and proportionate review applications, responding within the required timeframes and acting within the remit of a REC member
• ensure that the REC Member has not been managed via the Supporting and Managing REC Members and Officers, Dealing with Member Management Issues and Serious Concerns policy and procedure

Only when the above has been completed to a satisfactory standard will the REC Member be invited to interview.

Any issue raised prior to interview will be addressed by the Member Management and Development Specialist with the support of the Member Engagement and Development Manager. This may result in the candidate’s statement being withdrawn.

Interview

All interviews will be conducted online at a time which is convenient for the majority.

If a REC member declines three separate invitations to an interview, the REC member’s statement will be withdrawn and the REC member notified.

The selection panel should comprise of:

The membership of the Panel may be adjusted, with the agreement of the Head of Approvals Support and Improvement where panel availability is a problem. At least one member of the panel should have attended recruitment and selection training.

A robust scoring mechanism is in place. Candidates achieving an overall rating of 15 and above are normally deemed appointable as a Vice Chair. Candidates who achieve an overall rating of 20 and above may be considered as a Chair. Candidates achieving an overall rating of 14 or below would not normally be considered as suitable for either post.

The interview panel will have some flexibility in making any decisions which may differ from the above scoring mechanism. For example, the panel may decide a candidate with a score of 21 is suitable to be appointed as a Vice-Chair but not suitable as a Chair at this point in time with more experience as Vice-Chair required. Or alternatively a candidate who scored 17 may still be deemed not appointable if the panel had serious concerns regarding an answer to a particular question. The panel will make this decision on a case-by-case basis and detail any reasons for the decision taken.

The Interview Questions and Scoring for REC Chair and Vice Chair Interviews will provide the interview panel with further information regarding the interview procedure itself and the scoring of answers.

After the interview

The Head of Approvals Support and Improvement or Member Engagement and Development Manager will email each of the candidates as soon as possible, and no later than five working days, to convey the outcome of the interview. An option to receive feedback will be provided when the applicant is unsuccessful. When feedback is requested the Head of Approvals Support and Improvement will schedule an online meeting or a telephone call depending on the preference of the REC member.

The email to successful candidates will confirm whether they are appointable as a REC Chair / Vice Chair and specify whether they will be added to the bank of appointable Chairs and Vice Chairs or whether they can be appointed straight away (depending on whether a suitable vacancy is available).

The Head of Approvals Support and Improvement will confirm to the Member Recruitment and Support Team the scores from the interview, any provisos to certain appointments such as mentorship requirements, and confirmation that the candidate has been contacted and informed of the outcome.

If the REC member is appointable straight away, the member Recruitment and Support Team will liaise with the successful REC member regarding a start date (usually the first day the role is vacant following interview) and issue the relevant appointment letter. The Member Recruitment and Support Team will also signpost the newly appointed Chair / Vice Chair to the relevant training.

The Member Recruitment and Support Team will update the bank of appointable Chairs and Vice Chairs following each interview day.

Appointment to a REC

As a part of their role in managing the membership of the RECs, the Member Support and Recruitment Administrators will proactively monitor the appointments on HARP to identify upcoming Chair and Vice / Alternate Vice Chair vacancies and raise these with the Member Engagement and Development Manager.

Vacancies may arise at the end of the permitted maximum term of appointment or as a result of a change in personal circumstances or resignation. The Member Engagement and Development Manager, following consultation with the Head of Approvals Support and Improvement, will liaise with the outgoing Chair regarding the end of their appointment.

When a specific vacancy for a REC Chair/Vice-Chair is identified, this will be brought to the attention of the Member Engagement and Development Manager who will consult with the Head of Approvals Support and Improvement to identify a suitable candidate from the bank of appointable members. The HRA’s favoured position is normally to appoint to vacant Chair or Vice Chair positions from a member within the REC. If a suitable candidate is not available on the bank from within the REC, vacancies should generally be offered in line, with highest scoring candidate first, however some discretion is allowed to ensure the constitution of the REC is not compromised and to provide expertise where it is required.

The Member Engagement and Development Manager will agree the appointments with the Head of Approvals Support and Improvement. The REC member identified will be contacted by the Member Engagement and Development Manager or Head of Approvals Support and Improvement to confirm their interest and availability. The REC member should be offered the opportunity to discuss the vacancy.

When the role is accepted, the REC member will, time permitting, be offered the opportunity to attend a meeting of the REC as an observer and to meet with the current Chair and HRA staff, if attending from outside of the REC. The Member Engagement and Development Manager or Head of Approvals Support and Improvement will liaise with the Member Recruitment and Support Team to issue the appointment letter.

The Member Support and Recruitment Administrator will ascertain whether the REC member would like to opt to receive the Chairs Honorarium and if so, follow the Chairs honorarium Payment Policy and Procedure.

The Member Recruitment and Support Team will notify the outgoing Chair and the REC Approvals Team of the new appointment. If time permits, the outgoing Chair will announce the successor at the next available full REC meeting. Alternatively, the Approvals Specialist will notify the REC members via email.

Instances when appointment via the bank is not possible

There may be instances when an appointment using the bank of appointable Chairs and Vice Chairs is not possible; for instance, a sudden resignation where there are no suitable Chairs / Vice Chairs on the bank.

Also, whilst there will be regular invitations to REC members to apply for an interview, sometimes REC members may have missed the opportunity to apply or changed their decision.

Upon identifying that there are no suitable candidates on the bank, an urgent invitation will be sent by the Approvals Specialist to the REC Committee members of the REC with the vacancy. This will ask any interested members who fulfil the role requirements to apply for interview with an urgent interview to be arranged.

In the event no REC members apply for the role the Head of Approvals Support and Improvement will consider the next steps. These may include in the interim seeking a REC Chair from another REC or committee to act as Chair, appointing an acting Chair from within the Committee on a short-term basis whilst an alternative is identified or potentially suspending the REC.

Reappointment process for Chairs and Vice Chairs

The standard term of a Chair or Vice-Chair appointed under this process will be five years from the date of appointment. Where a member is appointed as a Chair or Vice Chair during their second term, their membership may be extended until the completion of their term as a Chair or Vice Chair.

A Chair or Vice Chair may serve a second term of appointment, and their membership maybe extended until the completion of their second term as a Chair or Vice Chair. This application will be considered by the Member Engagement and Development Manager, and if necessary, in consultation with the Head of Approvals Support and Improvement. Issues which will be taken into account may include meeting attendance; conduct; meeting the training requirements; the performance of the REC in terms of meeting timelines, REC membership (for example, number of new members and expected turnover) and the accreditation process. Subject to agreement, the Member Engagement and Development Manager will liaise with the Member Recruitment and Support Team to arrange the issue of reappointment documentation. Any decision to reappoint a Chair or Vice- Chair will be confirmed by e-mail. A copy of that e-mail will be sent to the REC email address and uploaded to HARP.

Appointment of Alternate Vice Chairs

Alternate Vice Chairs are optional for RECs.

When the appointment of an Alternate Vice Chair is deemed necessary, the appointment will be undertaken with the REC. The Member Recruitment and Support Specialist will guide the Approvals Specialist through the process which will advocate the vacancy being announced at the next available full REC meeting, time permitting, along with details of the process for applying for the role. Alternatively, members may be notified about the vacancy via email.

Any REC member wishing to apply for the Alternate Vice Chair position should inform the Chair and the Approvals Specialist and the checks for candidate carried out. If more than one candidate applies and the checks are successfully completed, the applicants should be invited to interview. The interview panel should comprise of the:

a) Chair of the REC

b) The Member Engagement and Development Manager or another manager identified by the Head of Approvals Support and Improvement.

If there is only one interested applicant, the appointment can be agreed by the Chair and members at a REC meeting, and the decision recorded in the minutes.

Monitoring of activities covered by the procedure

The Member Recruitment and Support Team will keep the membership of RECs, including the terms of Chair and Vice Chair, under ongoing review to ensure continuity, the REC is constituted correctly and that a quorum can be maintained. Where upcoming vacancies can be anticipated well in advance (Chairs / Vice Chairs approaching the end of their terms of appointment), the Member Recruitment and Support Administrators will alert the Member Engagement and Development Manager and the Head of Approvals Support and Improvement.

The Member Recruitment and Support Officer will maintain a central record in respect of the bank of appointable Chairs and Vice Chairs to ensure that the numbers of those on the list is appropriate to the pattern of anticipated vacancies.

Quality Control checks and internal audits will be undertaken regularly to monitor the activities covered in this process.

How lessons are learnt and incorporated into the procedure

Member Recruitment and Support staff may submit comments on their experience of the application of this process to the Head of Approvals Support and Improvement to highlight any issues that may arise.

Interview panel members will be encouraged to feedback any comments on the process to the Head of Approvals support with the procedure updated regularly.

Findings from Quality Control checks and internal audits will be incorporated into this process.

Flowchart setting out the activities covered by the procedure

Management of Documents and Records

Records for all recruitment processes will be kept by the Member Recruitment and Support Team for a period of five years after the interview following data protection requirements for the storing of confidential and personal information.

Any individual on the bank who is no longer a member of a REC will be removed from the list.

The Member Recruitment and Support Administrator will keep a file for the appointed Chair/Vice-Chair which follows data protection requirements. Documents in respect of applications described in this policy and procedure will be retained on that file as follows:

• *application form - 3 years following termination of membership
• statement - 3 years following termination of membership
• letters of appointment - 6 years after membership has terminated
• record of agreement to serving 2nd term of office from Head of Approvals Support - 3 years following termination of membership

*Where an application form is not held for the original REC membership, this must be submitted at the time of application for the role of Chair/Vice Chair.

Supporting paperwork/forms

A set of suggested interview questions and a scoring mechanism is held by the Member Recruitment Administrator to facilitate the setting up of interview panels and interviews and will be provided to the interview panel in advance of the interview.

Documents

Invitation to interview

Successful at interview / Appoint to Bank

Unsuccessful at interview

Chair / Vice Chair / Alternate Vice Chair appointment letters

Interview questions

Scoring sheet

Bank of Appointable Chairs and Vice Chairs

Email to REC Approvals Team

Email to Current / Outgoing Chair

Dissemination and publication of the document

This document will be stored on the Approvals Support and Improvement folder on SharePoint. A copy will be made available on the HRA website for transparency.

The updated process will be explained at the Chairs Meeting in April / May 2025 and notified to all members via the REC Member Information Exchange.