Definition of research conducted “under the auspices” of the University of Waterloo.

Indefinite term appointments

Definite term appointments

Unaffiliated with uWaterloo

Indefinite 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
uWaterloo 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., Principal investigator (PI), collaborator, or co-investigator)

Sponsors may have specific definitions of each of these roles

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

uWaterloo active regular staff member 18

Indefinite term appointment

Paid by institution

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

Chair/Dean/Department head to indicate if 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/Department Head

uWaterloo active regular staff member 18

Indefinite term appointment

Paid by institution

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

Not under the auspices of Waterloo then not reviewed

 
uWaterloo professor emeritus or distinguished professor emeritus  

Assumes no other uWaterloo attachment category

Department has confirmed that eligible to supervise students, conduct research, or provided 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
uWaterloo extra university appointments for active regular faculty or staff 49, 54, 47, 76

Extra appointment does include research expectation

Appointment must be approved by uWaterloo

Requires separate document to be countersigned by uWaterloo

Extra university appointment letter must explicitly include research

Normally cannot exceed one day per week

Staff appointed per adjunct appointment category in policy 76

Chairs and Dean to determine if appropriate and sufficient risk/benefit ratio for uWaterloo

Chairs and Deans to determine if incumbent capable of fulfilling appointment in order to be approved 

Faculty members should be aware that the Board of Governors Bylaw 1 stipulates that a university employee will be indemnified by the university when acting “in or about the execution of duties of his/her office or employment provided he or she acted honestly and in good faith with a view to the best interests of the University.”  Whether a particular activity is within the scope of employment may be difficult to determine in advance; the traditional legal definition is that this scope includes “activities that fairly and reasonably may be said to be incident to the employment or logically and naturally connected to it” (Black’s Law Dictionary, Sixth Edition and uWaterloo Policy 49).

Depends on degree of affiliation with organization for which conducting the research with uWaterloo  (i.e.,  whether senate approved organization or not)

If a uWaterloo Senate approved centre/institute/partnership then reviewed

If not a uWaterloo Senate approved centre/institute/partnership then not reviewed unless funding is held at uWaterloo to pay for the research

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

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

uWaterloo extra university appointments for active regular faculty or staff involving consulting or work for another organization for which the employee is paid separately from uWaterloo 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 uWaterloo (Policy 49)

Depends

If uWaterloo is a signatory to the contract then reviewed

If uWaterloo not a signatory to the contract then not reviewed

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

n/a

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

Extra appointment does not include research

Appointment must be approved by uWaterloo

Requires separate document to be countersigned by uWaterloo

Normally cannot exceed one day per week

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

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

Under the auspices of uWaterloo 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

Dean to ensure competency to conduct research
Under the auspices of uWaterloo 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

Dean to ensure competency to conduct research

If research included under the auspices of uWaterloo then reviewed

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

If adjunct is expected to conduct research (or supervise student research) adjunct may serve as PI; however a local uWaterloo contact person needs to be named on the application form in the collaborator section. A local contact is required for  ongoing ORE contact (e.g., annual renewals or study closure) in the event  the adjunct’s definite term ends before research/course based research is completed/file closed.

Adjunct faculty may serve as faculty supervisor for student course based research.

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

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

Requires uWaterloo 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 uWaterloo 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

Dean or Department Chair to ensure competency to conduct research

If research included under the auspices of uWaterloo then reviewed

If no research included under the auspices of uWaterloo 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 uWaterloo then reviewed

If no research included under the auspices of uWaterloo 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 uWaterloo  but may have a definite term appointment (e.g., sabbaticant or Fullbright scholar)

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

No uWaterloo collaborator or co-investigators involved with research

Research will use  uWaterloo facilities or resources

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

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

15, 2, 64, 22, 12

Need to include name of uWaterloo contact/gatekeeper in recruitment section and specifically identify uWaterloo resources to be used/requested in application Under the auspices of uWaterloo then reviewed

Require uWaterloo gatekeeper or contact named within application

Role of contact to ensure resources used per uWaterloo policies

Institutional Analysis and Planning (IAP) contacted as required 

Appropriate internal processes and approvals are received

External 

No employment attachment to uWaterloo

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

No uWaterloo collaborator or co-investigators involved

No use of uWaterloo facilities or resources

Only use publicly available data for recruitment

Only use publicly available resources to make recruitment overtures
 

TCPS Interpretation letter dated January 28, 2009 concerning recruitment and duty to review specifically exempted this category of research

Not under the auspices of uWaterloo then not reviewed

n/a

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