Operational considerations

Commercialization

Mandatory/key compliance obligations	Report Intellectual Property created with the intent to commercialize
Waterloo policy, procedure or guideline	Disclosure: Members of the University who have developed IP and intend to pursue commercialization or other opportunities, must inform the Vice-President, University Research or delegate, in advance and in writing, of the nature of the IP, and the intentions of the researcher(s) for it, so that he/she is aware of the activity and can respond to inquiries from external sources. Section 3A of Policy 73 – Intellectual Property Rights
Who can help?	Waterloo Commercialization Office (WatCo)
Best practices	Continuously update your Policy 73 reporting profile every time you are involved in creating IP (e.g. patents, software) where the intent is to commercialize through an industry sponsor or independently by the Waterloo creators
Who can help?	Waterloo Commercialization Office (WatCo)

Confidentiality and Privacy Protection

Mandatory/key compliance obligations	Ensure you have a research agreement if research involves personal information held by any institution subject to the Freedom of Information and Protection of Privacy Act (FIPPA)
Waterloo policy, procedure or guideline	Policy 46 - Information Management Data Management Plans for Research Guideline for Data Sharing Agreements Guideline - Securing research participants’ data
External policy/requirements	The requirements for a research agreement are described in Section 10(1) of R.R.O. 1990, Regulation 460 of FIPPA. Also see “Form 1” at the bottom of the link. Registration 460 also identifies institutions which are subject to FIPPA; see “schedule.” Data Use and Disclosure Standard (Cancer Care Ontario) Data sharing guidelines (NIH) Data sharing agreements (PCO)
Who can help?	Privacy Office, Secretariat & Office of General Counsel fippa@uwaterloo.ca Associate Director, FANS, Office of Research
Mandatory/key compliance obligations	Ensure you have a research agreement if research involves personal information held by any municipality subject to the Municipal Freedom of Information and Protection of Privacy Act (MFIPPA)
External policy/requirements	The requirements for a research agreement are described in Section 10(1) of R.R.O. 1990, Regulation 823 of MFIPPA. Also see “Form 1” at the bottom of the link. Institutions which are subject to MFIPPA are identified in Section 2(1) of MFIPPA:
Who can help?	Privacy Office, Secretariat & Office of General Counsel fippa@uwaterloo.ca Associate Director, FANS, Office of Research
Mandatory/key compliance obligations	Review by Research Ethics Board and Research agreement if research involves personal health information held by any person or organization subject to the Personal Health Information Protection Act (PHIPA)
Waterloo policy, procedure or guideline	Data Management Plans for Research Guideline for Data Sharing Agreements Guideline - Securing research participants’ data
External policy/requirements	Review by a Research Ethics Board in line with PHIPA, 2004, Chapter 3, Schedule A, section 44(1-10) at and PHIPA, 2004, Ontario Regulation 329/04, Section 16
Who can help?	Privacy Office, Secretariat & Office of General Counsel fippa@uwaterloo.ca Associate Director, FANS, Office of Research
Mandatory/key compliance obligations	Consider and identify other legislation requirements in other jurisdictions. Research involving data from other jurisdictions may be subject to local, provincial/state or national privacy protection laws.
External policy/requirements	Will be dependent upon source of data and native privacy protection legislation
Who can help?	fippa@uwaterloo.ca Associate Director, FANS, Office of Research
Best practices	Consider data minimization; only seek information which is really needed to undertake the research. Segregate the data set or anonymize the data set as soon as possible after collection.
Waterloo policy, procedure or guideline	Policy 46 - Information Management Data Management Plans for Research Guideline for Data Sharing Agreements Guideline - Securing research participants’ data
External policy/requirements	Information from the Information and Privacy Commissioner of Ontario re: data minimization can be found here.
Who can help?	Director, Information Security Service, IST
Best practices	Anonymize the data and store the master key in a separate, secure area
Waterloo policy, procedure or guideline	Policy 46 - Information Management Data Management Plans for Research Guideline for Data Sharing Agreements Guideline - Securing research participants’ data
External policy/requirements	Information from the Information and Privacy Commissioner of Ontario re: data de-identification can be found here.
Who can help?	Director, Information Security Service, IST

Conflict of interest

Mandatory/key compliance obligations	Transparently declare any potential Conflict of Interest whether financial, role based or other, and develop appropriate mechanisms to mitigate the real, perceived or potential conflict of interest
Waterloo policy, procedure or guideline	Policy 69 – Conflict of Interest Policy 62 – Conflict of Interest in the Employment and Supervision of Personnel Policy 49 – Extra University Activity The mere presence of a conflict of interest (or conflict of commitment) does not imply wrongdoing. What is key is ensuring that this potential conflict has been transparently declared and that appropriate mitigation mechanisms are implemented and reviewed to decrease any real, perceived or potential conflict of interest of commitment with respect to discharging any Waterloo duties. Conflict of interest training and flowcharts
External policy/requirements	Mismanagement of Conflict of Interest: Failure to appropriately manage any real, potential or perceived conflict of interest, in accordance with the Institution's policy on conflict of interest in research, preventing one or more of the objectives of the Framework (Section 1.3) from being met. Tri-Agency Framework: Responsible Conduct of Research also requires researchers to declare any situation where a real, potential or perceived conflict of interest exists with respect to research. This could be either a financial conflict of interest or a conflict of commitment. Examples include: You or a family member could potentially benefit financially from the project Any member of your family would be employed as part of the project A company in which you have a role or an ownership stake is involved in the project Situations in which the use of University resources will further objectives that are not in the best interest of the University or may impede the fulfilment of University responsibilities.
Who can help?	Your supervisor Director, Research Partnerships - Office of Research Research integrity - Need Help?
Best practices	Report any situation where conflict of interest or conflict of commitment exists or could be perceived to exist by someone external to the project
Waterloo policy, procedure or guideline	Complete declaration forms as appropriate and indicate specific mitigation mechanisms proposed. Note that human participant research requires its own declaration form which identifies some of the most common mitigation mechanisms for various types of conflict of interest.
External policy/requirements	A declaration that a conflict of interest or perceived conflict of interest exists does not mean a project cannot proceed. However, special steps may need to be taken to manage the conflict. For example, in cases where students are involved in projects related to a supervisor’s startup company, co-supervision could be a solution.Each case of potential conflict of interest is different and must be looked at to manage and mitigate (not necessarily completely remove) any real or perceived conflict of interest.
Who can help?	Director, Research Partnerships - Office of Research Chief Ethics Officer - Office of Research Ethics

Conflict management

Best practices	In support of early resolution, develop an awareness of indicators, informal intervention strategies and/or campus resources to assist with early intervention of emerging relationship problems with, and among, staff and students. Consider the use of alternative dispute resolution techniques as appropriate. Note that the application of internal policy, procedures or guidelines dependent upon the nature of the problems or difficulties.
Waterloo policy, procedure or guideline	The University of Waterloo strives to create an environment that supports, nurtures, and rewards its members on the basis of such relevant factors as work performance and achievement. Discrimination and harassment are not conducive to this environment. Policy 33
Who can help?	Case Consultant, CMAHRO

Best practices

In support of early resolution, develop an awareness of indicators, informal intervention strategies and/or campus resources to assist with early intervention of emerging relationship problems with, and among, staff and students.

Consider the use of alternative dispute resolution techniques as appropriate. Note that the application of internal policy, procedures or guidelines dependent upon the nature of the problems or difficulties.

Waterloo policy, procedure or guideline

The University of Waterloo strives to create an environment that supports, nurtures, and rewards its members on the basis of such relevant factors as work performance and achievement. Discrimination and harassment are not conducive to this environment. Policy 33

Who can help?

Case Consultant, CMAHRO

Equity

Mandatory/key compliance obligations	Ensure equality in all forms of employment. Ensure you fulfil your duty to accommodate based on the prohibited grounds of discrimination. Ensure equitable recruitment and selection which avoids any prohibited ground of discrimination. Avoid creating a hostile working environment.
Waterloo policy/procedure	Ethical Behaviour Policy 33 Equality in Employment Policy 65 Faculty Appointments Policy 76 Strategic Plan 2013, HeForShe goal
External policy/requirements	Ontario Human Rights Code Accessibility for Ontarians with Disabilities Act Federal Contractors Program
Who can help?	Equity Office
Best practices	Create an equitable workplace. Clarify rights and responsibilities. Discuss strategies to be proactive in establishing a climate conducive for equity/equality.
Waterloo policy, procedure or guideline	Waterloo Strategic Plan
Who can help?	Equity Office
Best practices	Ensure equitable recruitment and selection training prior to the beginning of the hiring process
Waterloo policy, procedure or guideline	Waterloo Strategic Plan
External policy/requirements	Canada Research Chairs Guideline on Hiring Bias

Intellectual property

Mandatory/key compliance obligations	Specify and clarify IP and commercialization rights in collaboration agreements
Waterloo policy, procedure or guideline	Section 3B –Collaborative Relationships Collaborators should specify, in advance and in writing, how the process by which the rights to IP arising from the collaboration will be determined. The determination of rights should be based on the extent and nature of the contribution, and not on differences in power. Any waiver or modification of rights requires informed consent. Policy 73 – Intellectual Property Rights
External policy/requirements	Tri-Agency IP policies should be consulted regarding IP rights and restrictions arising from funded projects NSERC SSHRC CIHR
Who can help?	Research Partnerships - Office of Research
Mandatory/key compliance obligations	Ensure that you have obtained informed consent of all researchers for research projects granting IP and commercialization rights to research funding partners or collaborators.
Waterloo policy, procedure or guideline	Section 3.A - Sharing of Proceeds In the event of commercial exploitation of a scholarly work, all intellectual contributors to that work should be entitled to share in the proceeds in proportion to their contributions, unless the entitlement to share has been willingly waived through informed consent. A share in the proceeds could also be granted to other parties such as the University or financial sponsors, at the discretion of the intellectual contributors. Policy 73 – Intellectual Property Rights Negotiating Authorship with Integrity
Who can help?	Research Partnerships - Office of Research
Mandatory/key compliance obligations	Ensure that a Research Participants Acknowledgment is signed by all researchers in a collaborative project that grants IP or commercialization rights to the funding partner(s) or collaborator(s)
Waterloo policy, procedure or guideline	Policy 41- Contract Research
Who can help?	Research Partnerships - Office of Research
Mandatory/key compliance obligations	Public disclosure of research ideas and outcomes can seriously impair potential patenting opportunities. Consider securing IP protection or secure confidentiality agreements prior to disclosing research ideas and results. Any IP developed that is the subject of commercialization activities (i.e. patent filing, licensing, startup companies) should be reported, as per the requirements of Policy 73, via the online disclosure form.
Who can help?	Research Partnerships - Office of Research

Research agreements

Mandatory/key compliance obligations	Non-Disclosure Agreements, Material Transfer Agreements, Data Sharing Agreements and Research Contracts must be reviewed, negotiated and signed by the VP Research or designate within the Office of Research
Waterloo policy, procedure or guideline	Policy 41 – Contract Research Financial support for research is provided by grants and contracts as well as normal university budgets. A contract is an agreement providing financial support for an investigator working in a specific field under specific stipulations and conditions as specified in the contract. These stipulations and specifications may specifically outline the scope and nature of the research to be carried out, together with such matters as patent and publication rights, timing, student participation and confidentiality. Procedure 1A - Contracts, Agreements and Licences - Research
Who can help?	Corporate Research Partnerships Research Partnerships
Mandatory/key compliance obligations	Overhead for indirect costs must be applied at a rate of 30% on all industry contracts. Do not provide research partners with draft budgets that do not include overhead as it will be uncomfortable and difficult to add it later.
Waterloo policy, procedure or guideline	Researcher Guidebook
Best practices	When initiating discussions with a company, consult with a Corporate Research Partnerships Manager before you approach the sponsor or when you need to negotiate a contract. If a non-disclosure agreement is requested by the company to enable discussions, contact the Research Partnerships group in the Office of Research.
Who can help?	Research Partnerships - Office of Research Corporate Research Partnerships - Office of Research
Best practices	If a project outline has been agreed to and a company/partner is willing to sponsor a research project, contact a Corporate Research Partnerships Manager or one of the Office of Research Contract Administrators for next steps. Use the Term Sheet for research contract negotiation. Consult with Corporate Research Partnerships before making commitments on issues such as granting IP ownership or reducing overhead. Discuss leverage opportunities (i.e. the ability to extend this relationship or enhance the contract) with Corporate Research Partnerships.
Who can help?	Corporate Research Partnerships

Workplace human rights [conflict management and human rights]

Mandatory/key compliance obligations	Maintain employment and academic environments free from harassment and discrimination. Ensure research participants are not excluded from participation in research due to discriminatory factors unrelated to the research objective(s).
Waterloo policy, procedure or guideline	The University of Waterloo is committed to providing an environment that supports and rewards its members on the basis of such relevant factors as work performance and achievement. Harassment, discrimination, and the abuse of supervisory authority, for example, are incompatible to this environment. Further, as required by the Ontario Human Rights Code and the Occupational Health and Safety Act, the University has a responsibility to provide an environment that is free from harassment and discrimination, and accordingly must deal effectively, quickly, and fairly with any situation involving claims of harassment or discrimination that come to its attention. Policy #33 Ethical Behaviour Section 1. General Principles
External policy/requirements	Support the principle of justice in research participation TCPS (2) Protected grounds are: Age Ancestry, colour, race Citizenship Ethnic origin Place of origin Creed Disability Family status Marital status (including single status) Gender identity, gender expression Receipt of public assistance (in housing only) Record of offences (in employment only) Sex (including pregnancy and breastfeeding) Sexual orientation Protected social areas are: Accommodation (housing) Contracts Employment Goods, services, and facilities Membership in unions, trade or professional associations Ontario Human Rights Code
Who can help?	Case Consultant, CMAHRO
Mandatory/key compliance obligations	Respond effectively to complaints of harassment or discrimination from those reporting to you in the employment or academic context
Waterloo policy, procedure or guideline	Policy 33 Ethical Behaviour: Section 1: General principles (2^nd bullet) Section 3: Violations, redress
External policy/requirements	Ontario Human Rights Code
Who can help?	Case Consultant, CMAHRO
Best practices	Develop an understanding of your responsibilities as an employment and academic supervisor to maintain an environment free from harassment and/or discrimination
Waterloo policy, procedure or guideline	Policy 33 Supervisory Responsibilities
External policy/requirements	Multiple Ontario Human Rights Commission policies and guidelines set out the responsibilities of employers and service providers
Who can help?	Case Consultant, CMAHRO
Best practices	Develop an understanding of your responsibilities in responding to complaints of harassment and/or discrimination from those reporting to you in an employment or academic context
Waterloo policy, procedure or guideline	University Guideline on Initial Response to Complaints of Harassment and Discrimination for Supervisors
External policy/requirements	Multiple Ontario Human Rights Commission policies and guidelines set out the responsibilities of line management to take violations seriously and respond effectively
Who can help?	Case Consultant, CMAHRO