Research conducted “under the auspices” of the University of Waterloo

All research conducted under the auspices of the University of Waterloo must meet the Tri-Agency Framework on the Responsible Conduct of Research. This includes acquiring all appropriate approvals before conducting any research actitivity. 

Multi-site research that has already been given ethics clearance, or approval, at another institution may still require an ethics review at the University of Waterloo. If you are unsure if your research requires review, please contact Research Ethics

Principal Investigators (PI) must ensure that all aspects of a research project are conducted responsibly. The table below explains who may serve as PI, and other conditions that may apply.

Indefinite term appointments     Definite term appointments      Unaffiliated with the University of Waterloo

Indefinite term appointments

Researcher category Policies and/or procedures involved Appointment/employment considerations impacting ethical review process Need for review and other implications Requirements for a Waterloo principal investigator (PI) /collaborator/co-investigator
Active faculty appointment (includes overload, cross, joint, and administrative appointments) 76, 54

Indefinite term appointment

Paid by institution

Includes expectation to do research as part of job description

Under the auspices of Waterloo then reviewed

Indefinite appointment faculty member can serve in any capacity (e.g., PI,  collaborator, or co-investigator)

Sponsors may have specific definitions for each of these roles

If sponsor requirements mandate certain credentials (e.g., Health Canada for qualified investigator) may need non-Waterloo personnel named as PI on application)

Active regular staff member 18

Indefinite term appointment

Paid by institution

Research related to job requirements and approved by Chair, Dean, or Department head

Chair, Dean, or Department head to indicate if local collaborator required or if staff member able to conduct research independently

Under the auspices of Waterloo then reviewed

May serve as PI, collaborator, co-investigator as approved by Chair, Dean, or Department Head

Active regular staff member 18

Indefinite term appointment

Paid by institution

Research not related to job requirements and research not approved by Chair, Dean, or Department Head

Not under the auspices of Waterloo = not reviewed

 
Professor emeritus or distinguished professor emeritus  

Assumes no other Waterloo attachment category

Department has confirmed eligible to supervise students, conduct research, and is providing resources

Under the auspices of Waterloo then reviewed

May serve as PI, collaborator, co-investigator

Definite term appointments

Researcher category Policies involved Appointment/employment considerations impacting ethical review process Need for review and other implications Requirements for a uWaterloo principal investigator (PI) /collaborator/co-investigator
Extra university appointments for active regular faculty or staff 49, 54, 47, 76

Extra appointment includes research expectation

Appointment must be approved by Chair, Dean, or Department Head

Requires separate document to be countersigned by Waterloo

Extra university appointment letter must explicitly include research

Normally cannot exceed one day per week

Staff appointed per adjunct appointment category in policy 76

Chair, Dean, or Department Head to determine if appropriate and sufficient risk/benefit ratio for Waterloo

Chair, Dean, or Department Head to determine if incumbent capable of fulfilling appointment to be approved 

Depends on degree of affiliation with Waterloo for which the reserach is being conducted 

If Senate approved centre, institute, or partnership then reviewed

If not a Waterloo Senate approved centre, institute, or partnership then not reviewed unless research  funding is held at Waterloo 

May include Waterloo affiliations, contact information, logos in research and recruitment material since extra faculty appointment approved by Waterloo

Full time regular faculty or staff member can serve in any capacity in fulfilling extra university appointment as PI, collaborator, or co-investigator

Sponsors may have specific definitions of each of these roles

Extra university appointments for active regular faculty or staff involved in consulting or work for another organization for which the employee is paid separately from Waterloo 49, 54, 47, 76

Activities that are outside the scope of employment and not indemnified include consulting and professional services where uWaterloo is not a signatory to the contract, consulting or other services for which a faculty member receives payment personally, and activity on non-university boards and committees that is not incident to employment at Waterloo (Policy 49)

Depends

If Waterloo is a signatory to the contract, then reviewed

If Waterloo not a signatory to the contract, then not reviewed

If research being performed as part of fulfilling separate employment obligations as part of non-Waterloo paid employment, then not reviewed

n/a

Extra university appointments for active regular faculty or staff 49, 54, 47, 76

Extra appointment does not include research

Appointment must be approved by Chair, Dean, or Department Head

Requires separate document to be countersigned by Waterloo

Normally cannot exceed one day per week

Staff appointed per adjunct appointment category in Policy 76
No research has been authorized by Waterloo then not reviewed n/a
Registered student 71

Must be actively registered in a course(s) in which research is required to fulfil academic requirements

Under the auspices of Waterloo then reviewed

Requires active faculty or staff to serve as supervisor

Research appointments (Research Professor, Research Associate Professor, Research Assistant Professor) 76

Paid or unpaid definite term appointment

Requires appointment letter

Primarily research but may include teaching, service, and student supervision

Appointment includes research

Chair, Dean, or Department Head to ensure competency to conduct research
Under the auspices of Waterloo then reviewed May serve as PI, collaborator, co-investigator
Visiting appointment, adjunct appointment, special appointment, casual staff, temporary staff 76

Paid or unpaid definite term appointment

Requires appointment letter

Primarily teaching but may include research, service, and student supervision

Appointment to specify if includes research

Chair, Dean, or Department Head to ensure competency to conduct research

If research included under the auspices of Waterloo, then reviewed

If no research included under the auspices of Waterloo,  then not reviewed

If adjunct is expected to conduct research (or supervise student research) adjunct may serve as PI

Local Waterloo contact person to be named on the application. Local contact is required for  ongoing Research Ethics contact (e.g., annual renewals or study closure) in the event the adjunct’s definite term ends before research is completed.

Adjunct faculty may serve as faculty supervisor for student research.

Adjunct faculty who were previously indefinite term Waterloo faculty may serve as PI.

Adjunct faculty  whose current appointment includes a requirement to supervise graduate students may serve as faculty supervisor.

Requires Waterloo full time regular faculty or staff member as PI or Faculty Supervisor if:

  • the adjunct or definite term employee is not already a full-time indefinite term Waterloo employee in another capacity (e.g., staff), and
  • the appointment does not include a requirement to conduct research.

Additional person named as PI also required if adjunct not allowed to hold grant by sponsor.

Lecturer 76

Paid definite term appointment

Requires appointment letter

Primarily teaching but may include research, service, and student supervision

Appointment to specify if includes research

Chair, Dean, or Department Head to ensure competency to conduct research

If research included under the auspices of Waterloo then reviewed

If no research included under the auspices of Waterloo then not reviewed

If lecturer is expected to conduct research may serve as PI.

Post-doctoral fellow  

Paid definite term appointment

Appointment to specify if includes research

If research included under the auspices of Waterloo then reviewed

If no research included under the auspices of Waterloo then not reviewed

If post-doc is expected to conduct research may serve as PI.

Requires active faculty to be named on application.

Unaffiliated with the University of Waterloo

Researcher category Policies involved Appointment/employment considerations impacting ethical review process Need for review and other implications Requirements for a uWaterloo principal investigator (PI) /collaborator/co-investigator

External

No employment attachment to Waterloo  but may have a definite term appointment (e.g., sabbaticant or Fullbright scholar)

Not a current Waterloo student (i.e., includes former Waterloo students not currently active)

No Waterloo collaborator or co-investigators involved with research

Research will use  Waterloo facilities or resources

Research will use non-publicly available data for recruitment (e.g., e-mail lists, proprietary information)

Research will use non-publicly available resources to make recruitment overtures (e.g., use class time)

15, 2, 4664, 22

Need to include name of Waterloo contact and specifically identify Waterloo resources to be used in application Under the auspices of Waterloo then reviewed

Requires a Waterloo contact to be named

Role of local contact is to ensure resources used follow Waterloo policies

Institutional Analysis and Planning (IAP) to be notified as required for any institution-wide survey. 

Appropriate internal processes and approvals need to be received

External 

No employment attachment to Waterloo

Not a Waterloo student (includes former Waterloo students not currently active)

No Waterloo collaborator or co-investigators involved

No use of Waterloo facilities or resources

Only use publicly available data for recruitment

Only use publicly available resources to make recruitment overtures
 

Exempted from review at Waterloo 

Not under the auspices of Waterloo then not reviewed

n/a

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