Allocation of funds and performance objectives

• Maintain and enhance state of the art facilities for research
• Ensure appropriate levels of technical support are available to run Waterloo's research facilities

• Total area of newly renovated research facility space
• Number of individuals providing technical support for research facilities

Target

• Increase in newly renovated research facility space
• Increased availability of technical support  to run research facilities

• Maintain and enhance state of the art facilities for research
• Ensure appropriate levels of technical support are available to run Waterloo's research facilities

• Total area of newly renovated research facility space
• Number of individuals providing technical support for research facilities

Target

• Increase in newly renovated research facility space
• Increased availability of technical support to run research facilities

• Maintain and enhance state of the art facilities for research

• Ensure appropriate levels of technical support are available to run Waterloo's research facilities

• Total area of newly renovated research facility space

• Number of individuals providing technical support for research facilities

Target

• Increase in newly renovated research facility space
• Increased availability of technical support to run research facilities

Actual

• 2238.47 square metres of newly renovated research facility space
• 55.9 FTE (full time equivalent) of technical support for research facilities

• Maintain and enhance state of the art facilities for research

• Ensure appropriate levels of technical support are available to run Waterloo's research facilities

• Total area of newly renovated research facility space

• Number of individuals providing technical support for research facilities

Target

• Increase in newly renovated research facility space
• Increased availability of technical support to run research facilities

Actual

• 1685.64 m² of newly renovated research facility space
• 54.1 FTE (full time equivalent) of technical support for research facilities

• Maintain and enhance state-of-the-art facilities for research

• Ensure appropriate levels of technical support are available to run Waterloo's research facilities

• Total area of newly renovated research facility space

• Number of individuals providing technical support for research facilities

Target

• Increase in newly renovated research facility space
• Increased availability of technical support to run research facilities

Actual

• 2079 square meters of newly renovated facility space
• 53.3 FTE of technical support for research facilities

• Maintain and enhance state-of-the-art facilities for research

• Ensure appropriate levels of technical support are available to run Waterloo's research facilities

• Total area of newly renovated research facility space

• Number of individuals providing technical support for research facilities

Target

• Increase in newly renovated research facility space
• Increased availability of technical support to run research facilities

Actual

• 2515m² of newly renovated research facility space
• 54.2 fte of technical support for research facilities

• Maintain and enhance state-of-the-art facilities for research

• Ensure appropriate levels of technical support are available to run Waterloo's research facilities

• Total area of newly renovated research facility space

• Number of individuals providing technical support for research facilities

Target

• Increase in newly renovated research facility space
• Increased availability of technical support to run research facilities

Actual

• 5463m² of newly renovated research facility space
• 42 fte of technical support for research facilities

• Maintain and enhance state of the art facilities for research

• Ensure appropriate levels of technical support are available to run Waterloo's research faciltiies

• Total area of newly renovated research facility space

• Number of individuals providing technical support for research facilities

Target

• Increase in newly renovated research facility space
• Increased availability of technical support  to run research facilities

Actual

• 3061
• 49

• Maintain and enhance state of the art facilities for research

• Ensure appropriate levels of technical support are available to run Waterloo's research faciltiies

• Total area of newly renovated research facility space

• Number of individuals providing technical support for research facilities

Target

• Increase in newly renovated research facility space
• Increased availability of technical support  to run research facilities

Actual

• 2031
• 31

Institutional performance objective

• Provide researchers with a comprehensive access to self serve research opportunities

• Number of researchers using the access

Target

• 33% of researchers are using the self serve access software

Institutional performance objective

• Provide researchers with a comprehensive access to self serve research opportunities

• Number of researchers using the access

Target

• 33% of researchers are using the self serve access software

Actual

• Based upon search counts, we are at approximately 31% of total faculty (which will include teaching faculty) using self-serve access.  The user reports also show a steady increase over time (up about 14% over the year), with spikes occurring around training sessions. Steady growth of increased usage from approximately 1,250/month to 1,430/month over the year.

• Provide researchers with a comprehensive access to self serve research opportunities

• Number of reseachers using the access

Target

• 25% of researchers are using the self serve access software

Actual

• Since the launch of Pivot-RP in 2021, of the 1779 claimed user accounts, 495 (~28%), with 150 of those in the last year, have set up at least one saved search; and there are an average of 1978 views of funding pages per month

• Provide an institutional repository to support compliance with tri-agency Open Access (OA) policy

• Number of publications entered into the system by Waterloo researchers

Target

• Increase in number of publications in repository  

Actual

• Currently 15,812 documents in the repository - an addition of approximately 600  documents in the past year

• Provide an institutional repository to support compliance with tri-agency Open Access (OA) policy

• Number of Waterloo researchers trained on OA system; number of publications entered into the system by Waterloo researchers

Target

• Increase in number of publications in repository  

Actual

• An increase of over 1500 documents in the UWSpace repository - including PhD and masters theses, as well as publications, conference presentations, book chapters, etc. The UWSpace website continues to update to make the repository more searchable and provides resources on how to use the repository and understand the archiving process for peer-reviewed articles.

• Provide an institutional repository to support compliance with tri-agency Open Access (OA) policy

• Number of Waterloo researchers trained on OA system; number of publications entered into the system by Waterloo researchers

Target

• Increase in number of publications in repository

Actual

• AHS: 788 items
• Arts: 1413 items
• Engineering: 5659 items
• Environment: 1311 items
• Math: 2215 items
• Science: 2323 items
• Waterloo totals:
  • articles: 1448
  • books: 2
  • chapters: 10
  • conference papers/posters/presentations: 138
  • preprints: 19
  • reviews 1
  • white paper: 1.
  • 32 Bachelor theses; 7,933 Masters theses; and 4,717 Doctoral theses.

• Provide an institutional repository to support compliance with tri-agency Open Access (OA) policy

• Number of Waterloo researchers trained on OA system; number of publications entered into the system by Waterloo researchers

Target

• Increase in number of publications in repository

Actual

• There are currently 1371 research publications (including conference presentations, books and reviews), up 367 from last year. There are also 11517 masters and doctoral theses, up ~1600 from last year.

• Provide an institutional respository to support compliance with tri-agency Open Access policy

• Number of Waterloo researchers trained on OA system; number of publications entered into the system by Waterloo researchers

Target

• Increase in number of publications in repository 

Actual

• There are currently 1004 research publications (including conference presentations, books and reviews), up 504 from last year. There are also 9884 masters and doctoral theses, up 90 from last year.

• Provide an institutional respository to support compliance with tri-agency Open Access policy

• Number of Waterloo researchers trained on OA system; number of publications entered into the system by Waterloo researchers

Target

• Increase in the number of researchers trained to use OA system; increase in number of publications in repository

Actual

• There are currently 9,794  theses (up 921 from last year); and over 500 articles and conference presentations (up 463 from last year).  On-line training & Q&A are now in place

• Improve the financial compliance and eligibility awareness of the research community
• Reduce administrative burden for researchers by implementing/enhancing electronic systems that support research activity

• Number of training sessions in financial compliance and eligibility obligations
• Research systems IT projects timeline and deliverable review

Target

• Ten (10) training sessions for tri-agency financial compliance and eligibility requirements
• Power BI Reporting - Continuous Improvement; Policy 73 system - continuous improvement and Commercialization Mandate Agreement updates; Year-end process - continuous improvement. Campus-wide "proposal development platform"- Improvements to Conflict of Interest process, annual attestations, in support of Waterloo Ventures and Safeguarding Research

• Improve the financial compliance and eligibity awareness of the research community
• Reduce administrative burden for researchers by implementing/enhancing electronic systems that support research activity 

• Number of training sessions in financial compliance and eligibilty obligations
• Research systems IT projects timeline and deliverable review

Target

• Ten (10) training sessions for Tri-Agency financial compliance and eligibility requirements
• Power BI Reporting - Continuous Improvement; Policy 73 system - continuous improvement and Commercialization Mandate Agreement updates; Electronic cover sheet - Handover development to IST and investigate alternatives, create long-term roadmap; Year-end process - continuous improvement. Campus-wide "proposal development platform" - decision making. Project Management Office implementation

Actual

• 63 staff members trained in 15 training sessions
• Power BI - Continuous improvement including data processing improvements and specific features such as "no funded" reporting. Policy 73 - Engagement with system owners to plan for future enhancements allowing for expanded metric collection. Electronic Coversheet support handed over to IST - project underway to select alternatives (proposal development platform). Year-end process "lessons learned" held with improvements identified. PMO Implemented. 

• Improve the financial compliance and eligibity awareness of the research community
• Reduce administrative burden for researchers by implementing/enhancing electronic systems that support research activity

• Number of training sessions in financial compliance and eligibilty obligations
• Research systems IT projects timeline and deliverable review

Target

• Ten (10) training sessions for tri-agency financial compliance and eligibility requirements
• Power BI Reporting - Continuous Improvement; Policy 73 system - continuous improvement and Commercialization Mandate Agreement updates; Electronic cover sheet - Onboard final department, investigate long-term roadmap; Year-end process - continuous improvement; Campus-wide "proposal development platform" - environmental scan

Actual

• 35 department administrative staff trained in 10 training sessions
• PowerBI Dashboards went through multiple feature releases, significant engagement work on the P73 system improvements took place via collaboration with Waterloo Ventures. Electronic coversheet is now fully implemented and we are investigating the next phase of development. Discovery, presentations and draft roadmaps have been prepared and this continues to develop. The Year-end process has seen numerous improvements including a comprehensive "lessons learned"session this year. Campus-wide PD platform has been incorporated into the roadmap, and a project has started with IST.

• Improve the financial compliance and eligibility awareness of the research community
• Reduce administrative burden for researchers by implementing/enhancing electronic systems that support research activity

• Number of training sessions in financial compliance and eligibilty obligations
• Research systems IT projects timeline and deliverable review

Target

• Ten (10) training sessions for tri-agency financial compliance and eligibility requirements
• Sharepoint Reporting - migrate awards information reports to PowerBI; Expand report features and other continuous improvements; Policy 73 system rewrite and ongoing continuous improvements; Electronic cover sheet - system is now live and rollout to be completed; system enhancements to be reviewed based on user feedback; Review and improve process for year end balancing

Actuals

• Four individual sessions were held
• SharePoint reporting was migrated to Power BI in Fall 21/Winter 22; Policy 73 was rewritten and launched successfully; Electronic Coversheet is fully operational, with one department remaining to onboard; The year-end process was improved by onboarding Data and Analytics team members into the process, developing Power BI dashboards, and by adding a Quality Improvement phase whereby directors review data and develop insights prior to publishing to the wider campus community

• Improve the financial compliance and eligibility awareness of the research community
• Reduce administrative burden for researchers by implementing/enhancing electronic systems that support research activity
• Improved representation of FDG within employee groups

• Number of training sessions in financial compliance and eligibility obligations
• Research systems IT projects timeline and deliverable review
• Number of hiring committee members trained, number of employees who received EDI training

Target

• Increase in the number of training sessions for tri-agency financial compliance and eligibility requirements
• Qualitative review of additional phases for research systems
• Increase in numbers of employees who receive equity training; increase in number of hiring committee members who receive EDI training

Actual

• 8 unique training sessions were held
• Development of electronic coversheet for campus initiated and launched in September 2020

1. Held 12 EDI training sessions to more than 365 participants
2. Faculty members on selection committees who received Equitable Recruitment and Selection Training increased by 41% in 2020/2021 from the previous fiscal year

• Improve the financial compliance and eligibility awareness of the research community

• Reduce administrative burden for researchers by implementing/enhancing electronic systems that support research activity
• Improved representation of FDG within employee groups

• Number of individuals trained in financial compliance and eligibility obligations

• Research systems IT projects timeline and deliverable review
• Number of hiring committee members trained, number of employees who receive EDI training

Target

• Increase in the number of individuals trained in tri-agency financial compliance and eligibility requirements
• Qualitative review of additional phases for research systems
• Increase in numbers of employees who receive equity training; increase in number of hiring committee members who receive EDI training

Actual

• 76 individuals trained in research financial compliance and eligibility requirements
• Over 1100 new protocols created over the past year. Technical and functional training was held leading up to and since the launch. Kuali allows students and researchers to collaborate on the protocols together and reduces the manual forms. Working with central IT to develop an effective reporting tool for Kuali. myResearch (Pure) Portal launched with ~1500 researcher profiles, populated with +81K publications, +9K activities and +16K media items and 600 prizes/honorary awards; rollout continues. Development of electronic coversheet for campus initiated and scheduled for launch in September 2020. Updates were made to Policy 73 form for better usability & to increase data integrity for reporting.

1. FDG representations improved across employee groups.
   1. Female:
      1. April 2019: 50% yes; 50% no
      2. April 2020: 50.3% yes, 49.7% no
      3. Increase of 0.3%
   2. Aboriginal
      1. April 2019: 0.7% yes; 99.3% no
      2. April 2020: 0.8% yes; 99.2% no
      3. Increase of 0.1%
   3. Visible Minority
      1. April 2019: 10.3% yes; 89.7% no
      2. April 2020: 10.7% yes; 89.3% no
      3. Increase of 0.4%
   4. Disabled
      1. April 2019: 2.1% yes; 97.9% no
      2. April 2020: 2.2% yes; 97.8% no
      3. Increase of 0.1%

2.  Faculty members on selection committees who received Equitable Recruitment and Selection Training increased by 41% in 2019/2020 from the previous fiscal year.

• Improve the financial compliance and eligibility awareness of the research community

• Reduce administrative burden for researchers by implementing/enhancing electronic systems that support research activity
• Improved representation of FDG within employee groups

• Number of individuals trained in financial compliance and eligibility obligations

• Research systems IT projects timeline and deliverable review
• Number of hiring committee members trained, number of employees who receive EDI training

Target

• Increase in the number of individuals trained in tri-agency financial compliance and eligibility
• Qualitative review of IT projects over the span of three year implementation cycle
• Increase in numbers of employees who receive equity training; increase in number of hiring committee members who receive EDI training

Actual

• 259 individuals trained in research financial compliance and eligibility requirements
• Over 1100 new protocols created since the ethics system (Kuali) went live in Aug 2018. Technical and functional training was held leading up to and since the launch. Kuali allows students and researchers to collaborate on the protocols together and reduces the manual forms. Working with central IT to develop an effective reporting tool for Kuali. myResearch (Pure) Portal launched with ~1500 researcher profiles, populated with +72K publications, +7K activities and +13K media items; rollout continues. Development of electronic coversheet for campus initiated and well underway. Updates were made to Policy 73 form for better usability & to increase data integrity for reporting.
• 280 employees received EDI training
• 119 hiring committee members received EDI training

• Improve the financial compliance and eligibity awareness of the research community
• Reduce administrative burden for researchers by implementing/enhancing electronic systems that support research activity.

• Number of individuals trained in financial compliance and eligibility obligations in FY 2017-18
• Research systems IT projects timeline and deliverable review

Target

• Increase in the number of individuals trained in tri-agency financial compliance and eligibility requirements
• Qualitative review of IT projects over the span of three year implementation cycle

Actual

• 187
• MyResearch is a research portal and profiling system used to promote and manage research outputs for uWaterloo faculty members. The system is populated with >70,000 publications and graphically links researchers to collaborators. Data from MyResearch is being shared with other institutional systems, reducing the burden of additional data entry points and also provides a rich bibliographic dataset.  Roll-out of the system is underway. A new Ethics management system, Kuali, will be launched in July.

• Improve the financial compliance and eligibity awareness of the research community
• Reduce administrative burden for researchers by implementing/enhancing electronic systems that support research activity

• Number of individuals trained in financial compliance and eligibilty obligations in FY 2015-16
• Research systems IT projects timeline and deliverable review

Target

• Increase in the number of individuals trained in tri-agency financial compliance and eligibility requirements
• Qualitative review of IT projects over the span of three year implementation cycle

Actual

• 125
• Four systems are included in this initiative. The Inteum commercialization management system has been upgraded successfully. The IP disclosure database has been launched and has been through the first cycle of responses. Pure is on target for a launch of Phase 1 in September 2017 and the Ethics management system, Kauli, will be launched later this year.

• Enhance the research ethics support available to faculty, staff, and student to help them better meet their compliance obligations

• Number of staff (FTE or equivalent) devoted to supporting researchers in the review of ethics applications and education initiatives

Target

• Improvements in review turnaround times and increases in education sessions delivered

• Enhance the research ethics support available to faculty, staff, and student to help them better meet their compliance obligations

• Number of staff (FTE or equivalent) devoted to supporting researchers in the review of ethics applications and education initiatives

Target

• Improvements in review turnaround times and increases in education sessions delivered

Actual

• Paid salaries for two contract Research Ethics Advisor positions to support human participant research ethics application review which has improved review timelines and allowed time for the delivery of research ethics education to graduate and undergraduate classes.

• Enhance the research ethics support available to faculty, staff, and student to help them better meet their compliance obligations

• Number of staff (FTE or equivalent) devoted to supporting researchers in the review of ethics applications and education initiatives

Target

• Improvements in review turnaround times and increases in education sessions delivered

Actual

• Paid salaries for two contract Research Ethics Advisor positions to support human participant research ethics application review which has improved review timelines and allowed time for the delivery of research ethics education to graduate and undergraduate classes

• Enhance the research ethics support available to faculty, staff, and student to help them better meet their compliance obligations

• Number of staff (FTE or equivalent) devoted to supporting researchers in the review of ethics applications and education initiatives

Target

• Improvements in review turnaround times and increases in education sessions delivered

Actuals

• Paid salaries for two contract Research Ethics Advisor positions to support human participant research ethics application review which has improved review timelines and allowed time for delivery of research ethics education to graduate and undergraduate classes

• Enhance the IT support available to researchers to help them better meet their compliance obligations

• Percentage of project plan tasks completed

Target

• Implementation of a reporting module to report metrics beyond volume and number of approvals is under development with OR and IST 

Actual

• Due to the COVID-19 pandemic, work on the reporting module was halted as IT staff were deployed to assist with other urgent and pressing issues. New staff will be utilized on the Ethics Kuali system to review requirements and implement selected reporting enhancements

• Enhance the IT support available to researchers to help them better meet their compliance obligations

• Percentage of reporting module project  tasks completed

Target

• Implementation of a reporting module to report metrics beyond volume and number of approvals are under development with OR and IST

Actual

• 1600+ renewals approved; 1300 amendments approved; 600 protocols closed; approx 2950 approved, submitted or in progress; 20,000+ activities by ORE staff

• Enhance the IT support available to researchers to help them better meet their compliance obligations

• Percentage of project plan tasks completed

Target

• Change in number and type of revisions required

Actual

• Kuali research ethics system launched across campus in August 2018. 2200+ active records/studies were migrated from the existing research ethics system to the Kuali system prior to launch. In first 6 months of launching the system, we tracked 1000+ studies being renewed; 900+ amendments to ongoing studies were approved; 400+ studies were closed/completed; and 3300+ applications were approved, submitted, or are currently in progress. The system tracked 16000+ activities (submissions and resubmissions) during the first 6 months after launch. Creation and implementation of a reporting module to report more specific metrics such as the change in the number and type of revisions, turnaround time, and type of study by faculty/department is under development with IST.

• Enhance the IT support available to researchers to help them better meet their compliance obligations

• Percentage of project plan tasks completed

Target

• Change in number and type of revisions required

Actual

• Kuali IT project in process with ~ 90% of the project tasks complete. Laurnch is on target for July 2018. Final stages of development are being conducted with the programming and creation of new application forms with embedded links to guidelines and other compliance obligations. New application forms are currently being  pilot tested (Spring 2018).

• Enhance the IT support available to researchers to help them better meet their compliance obligations.

• Percentage of project plan tasks completed

Target

• Change in number and type of revisions required

Actual

• Kuali IT project in process with ~ 50% of the project tasks complete. Unexpected delays in 2016/17, due to product development, have been resolved. Development continues with the programming and creation of new application forms with embedded links to guidelines and other compliance obligations. New application to be pilot tested in Fall 2017.

• Sustain capacity to provide IP management and commercialization services related to research outputs
• Enhance institutions ability to support IP awareness raising to campus community

• Number of staff (FTEs or equivalent) devoted to the transfer of technology
• Number of IP\commercialization presentations and workshops developed and delivered

Target

• Number of projects initiated, patents filed, licenses and startups 
• Number of campus participants receiving educational programing

• Sustain capacity to provide IP management and commercialization services related to research outputs
• Enhance institutions ability to support IP awareness raising to campus community

• Number of staff (FTEs or equivalent) devoted to the transfer of technology
• Number of IP\commercialization presentations and workshops developed and delivered

Target

• Number of projects initiated, patents filed, licenses and startups 
• Number of campus participants receiving educational programing

Actual

• 38 Disclosures, 54 patents filed, 17 agreements executed, 9 startup companies supported
• 16 presentations delivered to 475 campus participants

• Sustain capacity  to provide IP management and commercialization services related to research outputs
• Enhance institutions ability to support IP awareness raising to campus community

• Number of staff (FTEs or equivalent) devoted to the transfer of technology
• Number of IP\Commercialization presentations and workshops developed and delivered

Target

• Number of projects initiated, patents filed, licenses and startups
• Number of campus participants receiving educational programing

Actual

• FTE:  8 staff
  New projects initiated = 28
  Patents filed = 39 
  New licenses = 6
  Startups in period = 5
• IP education presentations =  25
  Participants = 515 people

• Sustain capacity to provide IP management and commercialization services related to research outputs 
• Enhance institution's ability to support IP awareness raising to campus community

• Number of staff (FTEs or equivalent) devoted to the transfer of technology

• Number of IP\Commercialization presentations and workshops developed and delivered

Target

• Number of projects initiated, patents filed, licenses, and start-ups
• Number of campus participants receiving educational programing 

Actual

• 15 Projects initiated (6 pending assessment); 36 patents filed; 3 licenses; 6 startups
• 22 presentations delivered to 329 participants

• Sustain capacity to provide IP management and commercialization services related to research outputs 
• Enhance institution's ability to support IP awareness raising to campus community

• Number of staff (FTEs or equivalent) devoted to the transfer of technology

• Number of IP\Commericialization presentations and workshops developed and delivered

Target

• Number of projects initiated, patents filed, licenses, and start-ups
• Number of campus participants receiving educational programing 

Actual

• 18 projects initiated, 33 patents filed, 4 licenses, 13 startups
• 29 info session presentations to 547 campus participants

• Sustain capacity to provide IP management and commercialization services related to research outputs 
• Enhance institution's ability to support IP awareness raising to campus community

• Number of staff (FTEs or equivalent) devoted to the transfer of technology

• Number of IP/Commercialization presentations and workshops developed and delivered

Target

• Number of projects initiated, patents filed, licenses, and start-ups
• Number of campus participants receiving educational programming

Actual

• 11 Projects initiated, 10 Patents filed, 4 Licenses executed, 3 Start ups
• 28 campus IP presentations\lectures delivered with an increase in participation to approximately 1100 attendees (approx. 30% increase from the 838 participants in 2018-19). 

• Sustain capacity to provide IP management and commercialization services related to research outputs 
• Enhance institution's ability to support IP awareness raising to campus community

• Number of staff (FTEs or equivalent) devoted to the transfer of technology

• Number of IP/Commercialization presentations and workshops developed and delivered

Target

• Number of projects initiated, patents filed, licenses, and start-ups
• Number of campus participants receiving educational programming

Actual

• 9 new projects, 25 Patents filed, 6 Licenses executed, 7 Start ups
• 28 campus IP presentations\lectures to 838 participants.   Outreach to campus audiences not traditionally engaged in IP commercialization occurred, such as AHS, Environment and Arts (History).  Activity also included an IP seminar series for CBB comprised of 5 different sessions covering different IP topics.

• Sustain capacity to provide IP management and commercialization services related to research outputs 
• Enhance institutions ability to measure the economic impact of research outcomes

• Number of staff (FTEs or equivalent) devoted to the transfer of technology

• Implement a faculty commercialization disclosure reporting system

Target

• Number of projects initiated, patents filed, licenses, and startups
• Increase number of faculty IP disclosures

Actual

• 13 new projects initiated, 22 new patents filed,  9 licenses, 3 startups created
• 24 new WatCo disclosures, 90 new IP policy disclosures

• Sustain capacity to provide IP management and commercialization services related to research outputs 
• Enhance institutions ability to measure the economic impact of research outcomes

• Number of staff (FTEs or equivalent) devoted to the transfer of technology

• Implement a faculty commercialization disclosure reporting system

Target

• Number of projects initiated, patents filed, licenses, and start-ups
• Increase number of faculty IP disclosures

Actual

• 14 projects initiated, 21 patents filed, 6 licenses, 4 startups
• 32 WatCo disclosures; 140 disclosure campus wide disclosures Policy 73