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 activity.
Who needs to complete an ethics application to conduct research?
- Faculty with a regular research appointment
- Staff conducting research as part of their position/appointment, excluding quality assurance and quality improvement projects
- Post-doctoral students/fellows
- Undergraduate and graduate students for research-based course projects, thesis, dissertations, or major research papers
- Any person not affiliated with the University of Waterloo who wishes to conduct research on campus with faculty, students and/or staff as participants
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.
Responsibilities of the Principal Investigator
Principal Investigators (PI) must ensure that all aspects of a research project are conducted responsibly.
Who May Serve as PI
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 research 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:
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) |
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 |