April to September 2023
This report includes data relating to REC audits conducted and action plans completed in the period April to September 2023.
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 six action plans reviewed and verified as completed.
1. REC audits and accreditation status awarded
| Name of REC | Audit period | Accreditation status awarded |
| South East Scotland 2 | Dec 2021 - Nov 2022 | Accreditation with conditions |
| East of England - Cambridge Central | Jan 2022 - Dec 2022 | Provisional accreditation |
| West of Scotland 4 | Jan 2022 - Dec 2022 | Full accreditation |
| East Midlands – Nottingham 1 | Jan 2022 - Dec 2022 | Provisional accreditation |
| London – Camberwell St Giles | Jan 2022 - Dec 2022 | Full accreditation |
| London – West London & GTAC | Feb 2022 - Jan 2023 | Accreditation with conditions |
| London - Hampstead | Feb 2022 - Jan 2023 | Provisional accreditation |
| South Central – Oxford A | Feb 2022 - Jan 2023 | Provisional accreditation |
| London – City & East | Feb 2022 - Jan 2023 | Accreditation with conditions |
| South Central - Oxford B | Mar 2022 - Feb 2023 | Full accreditation |
| East Midlands - Nottingham 2 | Mar 2022 - Feb 2023 | Provisional accreditation |
| North West – Liverpool Central | Mar 2022 - Feb 2023 | Full accreditation |
| North West – Haydock | Apr 2022 - Mar 2023 | Accreditation with conditions |
| London - Fulham | Apr 2022 - Mar 2023 | Accreditation with conditions |
| London - Bloomsbury | Apr 2022 - Mar 2023 | Provisional accreditation |
| South Central - Berkshire | May 2022 - Apr 2023 | Accreditation with conditions |
| North East - York | May 2022 - Apr 2023 | Provisional accreditation |
| Yorkshire & The Humber - Leeds West | May 2022 - Apr 2023 | Full accreditation |
| London - Brent | May 2022 - Apr 2023 | Provisional accreditation |
| London – London Bridge | Jun 2022 - May 2023 | Accreditation with conditions |
| North East - Newcastle & North Tyneside 1 | Jun 2022 - May 2023 | Accreditation with conditions |
2. RECs achieving Full Accreditation after completion of an action plan
| Name of REC | Latest date action plan should be completed (including extensions) | Date completed action plan received | Date full accreditation received |
| South Central – Hampshire B | 25-Apr-23 | 19-Apr-23 | 21-Apr-23 |
| Scotland A | 17-Aug-23 | 17-Aug-23 | 05-Sep-23 |
| Scotland B | 17-Aug-23 | 17-Aug-23 | 05-Sep-23 |
| West of Scotland 5 | 06-Jun-23 | 22-Mar-23 | 04-Apr-23 |
| London - Hampstead | 23-Aug-23 | 18-Aug-23 | 23-Aug-23 |
| South Central – Oxford A | 19-Nov-23 | 16-Aug-23 | 23-Aug-23 |
3. Number of issues, raised in action plans, for each audited REC during the current and previous reporting periods
Figure 1 shows the number of action plan issues raised for each audited REC during the current reporting period (April to September 2023) and the previous two reporting periods (October 2022 to March 2023 and April to September 2022).
The graph shows the number of RECs being issued an action plan with one to three actions for the current reporting period (13 RECs) has increased from the previous reporting periods October 2022 to March 2023 (four RECs) and April to September 2022 (nine RECs).
Three RECs were issued with an action plan with four to six issues for the current reporting period which is an increase from the previous two reporting periods October 2022 to March 2023 (two RECs) and April to September 2022 (0 RECs).
No RECs were issued an action plan with seven or more issues to be addressed in the current reporting period which mirrors the two previous reporting periods (October 2022 to March 2023 and April to September 2022).
4. Breakdown of unmet accreditation audit standards for the current and previous reporting period
Figure 2 compares the number of unmet standards relating to membership for the current reporting period (April to September 2023 – 21 RECs audited) with those unmet standards for the previous reporting periods (October 2022 to March 2023 – 20 RECs audited and April to September 2022 – 22 RECs audited).
The graph shows trends of the five audit categries relating to membership standards. Issues in relation to indemnity mirror the previous reporting period (October 2022 to March 2023) with two action plan issues raised, with a decrease from the reporting period April to September 2022 with one issue raised.
Actions relating to training shows an increase in issues with 12 action plan issues for the current reporting period compared with four issues for the previous reporting period (October 2022 to March 2023) and three issues for April to September 2022.
There was an increase in non-compliance relating to attendance with two action plan issues raised for the current reporting period, compared with none for the previous reporting period (October 2022 to March 2023). Two issues were raised for April to September 2022 which mirrors the current reporting period.
There was a decrease in issues reported relating to constitution with four issues raised for the current reporting period, compared with five issues raised for both the previous reporting periods (October 2022 to March 2023 and April to September 2022).
Actions relating to other issues (eg Declarations of Interest) shows an increase with two issues raised for the current reporting period, compared with none for the previous reporting period (October 2022 to March 2023). Two issues were raised for April to September 2022 which mirrors the current reporting period.
Figure 3 compares the number of unmet standards relating to minutes and letters for the current reporting period (April to September 2023 – 21 RECs audited) with those unmet standards for the previous reporting periods (October 2022 to March 2023 – 20 RECs audited and April to September 2022 – 22 RECs audited).
The graph shows the number of unmet standards relating to management of minutes for the current reporting period has increased with six issues raised, compared to three issues for the reporting period October 2022 to March 2023 and no issues raised for April to September 2022.
No non-compliance issues were raised during this reporting period in relation to quality of minutes. This mirrors both the previous reporting periods (October 2022 to March 2023 and April to September 2022).
No non-compliance issues were raised during this reporting period in relation to the quality of letters (this mirrors reporting from the last two reporting periods).
There was an increase in unmet standards relating to other issues (non-compliance to SOPs for example inquorate meetings) with five issues raised for the current reporting period, compared to three for October 2022 to March 2023. Five issues were raised for April to September 2022 which mirrors the current reporting period.
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).
There were 56 recommendations made which related to membership. The majority of issues related to low-level non-compliance regarding training, missing annual DOI forms and appointment/reappointment documentation. Other issues related to inaccurate/missing membership details on HARP, non-compliance in relation to attendance requirements and queries relating to membership capacities.
There were 62 recommendations relating to the management of minutes and letters. Issues included low-level non-compliance against SOPs and minutes and letters (uploading/ratification).
6. Report Turnaround Times
All the HRA QA procedure timelines were met during the reporting period.