Academic ethics and compliance committee

Objectives

Objectives

To have oversight of the University's ethical framework for the conduct of academic activity and its supporting governance structures, including but going beyond research ethics. The AECC also oversees research-related compliance issues.

The AECC maintains oversight of the local level ethics committees and provides a first point of referral for complex issues raised by the latter.

The Committee has particular responsibilities to ensure that:

• The University’s supporting framework of regulations, strategies, policies, procedures and guidance in this area is robust and fit for purpose.
• Local Research Ethics Committees have the support required to deliver their duties fully and effectively, for example by access to training and support.

The Committee provides annual assurance to Senate via University Research Committee (URC) regarding ethical and compliance matters.

Remit

Remit

The remit of the Committee under the following core, agenda-aligned headings, is:

2a. Policy and regulatory matters

1. To recommend policies, procedures and guidance relating to ethics to University Research Committee for approval, in line with the University’s Scheme of Delegated Approvals.
2. To recommend broader policy positions to other senior committees as relevant.
3. To keep abreast of sector standards and practices, recommending changes to the Code of Practice and supporting guidance as appropriate.
4. To advise Senate and Council regarding changes to the relevant aspects of the University’s regulatory framework as appropriate.
5. To make decisions on ethical issues raised by local committees as appropriate or pass these on for further consideration where necessary (such as in the case of high risk research or risks to the university reputation), in line with an agreed framework of principles.
6. To provide advice and support to local research ethics committees.

2b. Strategic Development, Planning, Performance Monitoring and Resourcing: items for consideration and/or decision

1. To receive, consider and approve annual reports from local committees and to ensure that matters raised are resolved.
2. To have oversight of training provision for staff in relation to ethics and research-related compliance and in particular members of local committees.
3. To have oversight of the processes, operation and management of local committees and to review and audit as required.
4. To receive and consider reports from the Clinical Trials and Sponsorship Committee and Animal Welfare Ethical Review Body to ensure that relevant matters raised are resolved.
5. To receive and approve revisions to the Human Tissue Act SOP Quality Management Manual.

Authority

Authority

On behalf of University Research Committee, Academic Ethics and Compliance Committee is empowered to take decisions relating to management of research ethics and to seek assurance relating to the quality of these activities as set out above. It can also make recommendations and/or refer items to Senate, UEB, UTC, UPEC and other University committees as appropriate.

Academic Ethics and Compliance Committee has no direct budgetary control.

Reporting and frequency

Reporting and frequency

Academic Ethics and Compliance Committee reports to URC;

• Frequently: through summaries of the minutes of each of its meeting to the next URC meeting;
• Annually: via an annual assurance report for onward consideration by Senate;
• Periodically: via other policies, reports, plans and progress updates which it reviews and/or recommends for URC approval within the business cycle and its terms of reference.

Matters may also be referred to UTC and UPEC for consideration where relevant.

Reporting to the Committee:

• Animal Welfare and Ethical Review Body (AWERB)
• Archaeology Ethics Committee
• Arts and Humanities Ethics Committee
• Arts and Creative Technologies Ethics Committee
• Biology Ethics Committee
• Economics, Law, Management, Politics and Sociology Ethics Committee
• Education Ethics Committee
• Environment and Geography Ethics Committee
• Health Sciences Research Governance Committee
• HYMS Ethics Committee
• Languages and Linguistics Ethics Committee
• Physical Sciences Ethics Committee
• Professional Services Ethics Committee
• Psychology Ethics Committee
• Social Policy and Social Work Ethics Committee
• York Neuroimaging Centre Ethics Committee

Meeting frequency: a minimum of four times per year, with the facility to transact and record decisions by written resolution or, where necessary, Chair’s Action.

Usually online video conferencing

Constitution and membership

Constitution and membership

A number of the Committee’s members are appointed ex officio, including representatives of professional services.

Other membership considerations

Academic staff representatives should be drawn from each of the Faculties and should between them have sufficient experience to be able to speak to matters raised. Representatives should be currently or recently active on a Local Research Ethics Committee. Proxy or alternate members are not permitted. Individual colleagues may be invited to attend for select items as and when the need arises.

Quorum: 50% of members, or 50%+ one member where the number of members is not even.

Membership review: membership will be periodically reviewed by the Committee itself for URC approval. Membership is otherwise coterminous with the individual’s appointment term. Gender balance and wider EDI considerations should be factored into the Committee’s reflection on its own size and composition.

Membership

• Professor Keith Allen, Philosophy (Chair)

Ex officio members

• Position vacant Associate Director of Operations, Research Innovation and Knowledge Exchange or appropriate equivalent.
• Mr Richard Fuller Assistant Director of IT or appropriate equivalent.
• Dr Duncan Jackson Head of Academic Practice or appropriate equivalent.

Nine members of academic staff 

• Nine individuals with current or recent experience of sitting on a local REC drawn from the range of academic faculties.
• Professor Gareth Gaskell, Psychology
• Dr Anna Bramwell-Dicks, TFTI
• Professor Bryony Beresford, Chair, SPSW Ethics Committee
• Professor Dawn Coverley, Biology
• Professor Jon Finch, Archaeology and Deputy Director, Humanities Research Centre
• Dr Anna Einarsdottir, Management
• Professor Tony Royle, ELMPS ethics Committee
• Dr Siamak Shahandashti, Physical Sciences Ethics Committee
• Dr Nino Grillo (joins September 2023) - Language and Linguistic Science

One lay member 

• Pauline Painter

One student representative 

• Samir Belgacem, Postgraduate Student in Department of Archaeology

In attendance 

• Ms Jen Mayne Research Strategy and Policy Officer (Secretary)