Create and Submit Applications

Every REB Application starts with creating a project in EthOS.  Projects can have different forms. As your research study progresses, you may also need to add subforms to your project, which are also available in EthOS (see Post-Approval Forms for more information).

Note: Please ensure you have read the Getting Started and Basic Navigation materials before creating your first application.   

Completion Guidance Before You Begin

To submit an application, users navigate through the EthOS dynamic form, answering all the question prompts in each required field. As you complete the form, please keep in mind the following:

• We strongly suggest that you regularly check the News & Tips section of the application form; Research Ethics keeps it up to date with key need-to-know information for researchers (although all major announcements are always available via Research Alerts and the EthOS Hub)   
• The questions asked are drawn from the Tri-Council Policy Statement: Ethical Conduct of Research Involving Humans, 2^nd Edition
• U of G and UofGH students must submit an appropriate CORE training certificate and training is highly recommended for the entire research team
• Leverage the information buttons (where you see an ) as you navigate the form; Research Ethics has added specific and helpful guidance for applicants
• Read the instructions carefully for each question on the application, ensuring that answers are specific and relevant to the questions
• All fields are required unless indicated by [Optional] at the start of a question or prompt
• Tip: Each section has been designed to request specific information, so there will be no need to repeat the same information in multiple places

Creating a Project

To submit an application for review and approval, start by creating a project.

1. Click on the Create Project button
2. Type in a Project Title

• Note: If you are creating a Statement of Intent, add SOI at the beginning of your project title. EthOS does not allow the same project title in two forms, so differentiating your SOI title now will be helpful later when you create your Main REB Application.

3. Select the appropriate form

• Disregard the option for Legacy form
• Select Main REB Application Form for standard REB applications
• If you are creating a Statement of Intent, see Statement of Intent for more information

4. Click on the Create button

• Note: Creating a project can take some time, and you will see a moving circle graphic while the dynamic form is being created. Do not close your browser while the project is being created.

Once your project is created, EthOS creates a unique Project ID number in the top right of the form area. This number is visible throughout the screens in the application form and in all email notifications. The Project ID number will now be used as the REB number.

If you have created a Statement of Intent (SOI), EthOS will open the SOI form upon creation. See Statement of Intent for more information.

Otherwise, EthOS displays the landing page of the Main REB Application form. From here, you must first enter some additional details to generate your customized form, as outlined below. 

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Entering Initial Details for the Main REB Application

EthOS dynamically generates the appropriate form sections required for your project based on the initial details provided in the Application Overview. To begin this process:

1. Always check the News & Tips link first, after which click on the Application Overview link

   

2. Select the type of application you are creating
   • Note: Refer to the built-in guidance for detailed descriptions of the three options of Standard REB Application, Multi-jurisdictional Research, and REB Exemption.​
3. Scroll down the page to enter the requested details and answer the various question prompts; when you reach the bottom of the first page, enter the Project Start date and click on the Save tile.
4. Now you can continue your form entry in one of two ways:

• Use the Previous and Next tiles (or buttons at the bottom of the page) to continue answering questions as the form dynamically adapts based on your answers, or
• From the Actions Pane, click on the Navigate tile to see what form sections EthOS has enabled for your project. Most users prefer this option, but you must still complete the sections in their sequential order (i.e., do not enter information in a later section of the form before its previous section)

Reminder: You can use the Navigate button at any point while you are completing your application. The Navigate button will always bring you back to the Main REB Application Form overview where you can jump to other tabs or forms sections, or return to your previous section.

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Layout of the Main REB Application Form

From the Main REB Application Form landing page, you can easily navigate to different parts of the form as you complete your application.

1. REB Application Form tabs

Each tab corresponds to certain areas or components of the form and will contain or trigger different functionality.

• Navigation shows the summary of all the form sections and pages that need to be completed, based on the type of study
• Documents houses and lists all supporting documents that are attached throughout the form completion process (in response to an “upload document” prompt)
• Signatures show the signature data for the application; this will be blank until the signature attestation has been completed at the end of the application form (requests for signatures also appear in this section)
• Collaborators summarize anyone added to the study and their permission levels (which can be edited from here also); by default, the person who created the form will always be shown in this list
• Correspondence provides the ability to contact the Research Ethics Office, with all correspondence contained thereafter within the project file
• Submission summarizes submission status and details of the form
• History updates at each major step of the application submission process as the form moves through the workflow

The functionality of each of these tabs is further explained in the remainder of the create and submission guidance below. 

2. Main Application Form Sections and Question Pages

No more guesswork! EthOS adjusts depending on your application scenario and ensures that you are completing all the required details for your study.  

• The main form’s sections are displayed on the left and questions for that section are organized into pages on the right
• If a page text is blue, the questions on that page will be relevant for your application; click on the blue text to navigate to that page directly
• If a page text is black, the section is relevant for your application, but that page is not

3. Show Inactive Sections

• The default view shows only relevant sections 
• However, to see all possible sections of the main REB application form (including ones that don’t apply to your study), click on the Show Inactive Sections checkbox

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Adding Study Personnel and Granting Permissions

The Study Personnel training video provides a complete overview (including all the steps documented below) on how to list your study team members and assign them access to your REB application.

Important Guidance Before you Begin

After completing the Application overview, your next step is to identify and add Study Personnel. In this section, you will list the members of the study team (including yourself).  

• Note: naming someone in the Study Personnel section does not automatically grant access. You must also complete a second step to assign the correct permissions at this point in the application.  

After entering the PI information, you’ll move on to identify the study team members affiliated with U of G/UofGH. After this section, you’ll then identify the study team members who are not affiliated with U of G/GH (i.e. external collaborators).  

You will be able to grant internal or external collaborators access to the application, but everyone must have an active account in EthOS first. Please make sure that your study team members have activated their account by either logging on using their U of G or UofGH credentials or requesting an external account if required.  

You will also have the opportunity to enter the names of collaborators who are part of the study but who do not have an EthOS account and do not need to access the application.

Assigning Roles vs Individual Form Sharing

Before you assign permissions in this section, let’s take a moment to review the difference between assigning a role or simply sharing the form.  

A role is a pre-configured set of permissions to ensure that the correct access is applied and all relevant system notifications are received. Role-based access applies to the initial application and all future amendments or subforms (renewals, event reports, closure). Roles have been configured for Principal and Co-Investigators. When you assign a role, the Principal or Co-Investigator receives an email notification confirming the role assignment and a link to the application.

Sharing a form allows you to set different access levels per collaborator. The access you provide only applies to the form you are sharing (unless you give permissions to create all subforms). Sharing is typically used for study team members who may be less formally involved in the application process or for any ad-hoc sharing needs.  

Applications shared via roles or shared-form permissions appear in the Shared Tile and the Project List of the collaborator who has been given access. 

Use the following table to inform your permission choice.

 

Study Team Member	Permission Guidance
Principal Investigator	PI’s must be assigned the Principal Investigator role. Otherwise, they will not receive the correct notifications.   The PI role grants the following permissions: read, write, submit, share, create all subforms, receive all notifications.
Co-Investigator (who should receive notifications)	For Co-Investigators, you have an option to use either role-based or shared-form permissions. Your choice will likely depend on whether you want the Co-Investigator to receive notifications.   Use the CI role when you want to grant the following permissions: read, write, share, create all subforms, receive notifications. (Similar access to the PI with the exception of signing ability).   Alternatively, you can use the Share feature and select one or a combination of those permissions for the CI. See below for more guidance on sharing.
Co-Investigator (who does not need notifications), and all other study collaborators	Sharing is another option for Co-Investigators and is the only option for all other collaborators. Use the Share form feature to select one or a combination of the following permissions:   Read Write (edit the contents) Submit (submit and request a PI’s signature) Share (share the form with others) Create all subforms (create future renewals, incident reports, or closure forms) Receive notifications – see important note below Note: do not select the notifications option even though it appears in the list. The receipt of notifications is currently only configured to work with a role. If you need your study collaborator to receive notifications, contact RAIMSsupport@uoguelph.ca who can help you configure an email forwarding rule.

Naming the PI and Assigning the PI Role

The first collaborator you will name is the PI. (Even if you are the PI – and will have answered this question in the previous section - you still need to enter your contact details; however, you will not need to assign yourself form access).  

At the top of the Study Personnel section in Question 2.1:  

1. Type in the name of the PI in the Search User field
   • Note: If the name does not appear as an autofill option, contact the PI and ask them to log in to EthOS to activate their account before completing this step
   • If you are the PI, after entering your details you can proceed to Step 4

2. If you are not the PI, after adding the PI’s name, click on the Assign Role button – do not use the blue Share button

   

3. In the Share Roles pop-up window, select Principal Investigator from the drop-down list and click on the green Share Role button

   

   • EthOS displays a green banner message to indicate the form was shared successfully  
4. After entering the PI and assigning the role (if you are not the PI), upload the PI’s TCPS CORE certificate (optional but highly recommended)
5. Enter an emergency name and telephone number (usually the PI)

Adding U of G/UofGH Study Team Members

Now you will be prompted to add other U of G/UofGH collaborators and assign their level of desired access. Consult the above guidance and the info buttons in this section for a reminder on the difference between assigning a role and sharing the form. (You will also have an option to identify study team members who do not need any access to the application.)  

Reminder: If you are not the PI, you must also add yourself as an ‘additional’ study team member in this step.  

1. In the U of G/UofGH Study Team Members/Collaborators panel, answer Yes and briefly describe their roles 

   

2. If you are not the PI, start by naming yourself as a study team member
   • Enter your name in the Search User field (you do not need to share or assign the role to yourself)  

   • Click on the green Add Another button to open another contact data-entry area

     

3. Enter the contact information and permissions for each additional U of G/UofGH collaborator
   • First enter their contact information in the Search User field

   • Then choose either the blue Share or Assign Role option for each person; refer to the info button for a reminder on which one to choose

     

   • If you have added a Co-Investigator, and wish to assign the Co-Investigator role, choose the blue Assign Role button

   • In the Share Roles pop-up window, select the Co-Investigator role from the drop-down list and click on the green Share Role button

     

   • If you have added a Co-Investigator and don’t need (or want) to assign the corresponding role, or for all other collaborators, choose the blue Share button

   • In the Share pop-up window, specify the desired level of permissions for this individual and click on the green Share button

     

4. For each additional U of G/UofGH study collaborator, click on the green Add Another button and repeat Step 3 until all names have been entered

   

5. At the bottom of the panel there is a separate area to add any U of G/UofGH study members who should be named but who do not have an EthOS account and also do not need to access the application; enter their names if applicable

   

6. Upload the TCPS CORE certificates for all additional U of G/UofGH study team members who are students and post-doctoral fellows, an optional but highly recommended for all other Co-Investigators/collaborators

Team Members/Collaborators Not Formally Affiliated with U of G or UofGH

These steps are exactly the same as the previous panel with the exception that individuals listed here will not have an affiliation with the U of G or UofGH and you do not need to upload their TCPS CORE training certificate.  

As always, ensure that anyone with whom you are sharing the application has activated their account first. Otherwise, they will not appear in the Search User field for you to add.

Proceed as with the previous panel by naming additional study members and granting the appropriate access to the application.

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Permission Confirmation

At the bottom of the Adding Study Personnel page, you will be reminded to check that all collaborators have been named and have the correct permissions. Take a moment to review all your assigned roles and permissions.

Note: also see the related Changing Previously Assigned Permissions training video for a reminder on how to make any adjustments to shared or role-based access.  

Suggested Process for Reviewing & Adjusting Permissions

Remember that adding the study team names and managing permissions are two distinct steps in EthOS. If you add a new study team member, you will also need to ensure they have the correct permissions. Or, if you remove access you may also need to remove that person’s name from the study team list. Making a change to one aspect does not automatically flow through to the other.

Here is our suggested process:  

1. First, review the contact details of the study personnel to ensure that everyone is named correctly; scroll through the Study Personnel page to review all your added names.
   • If you have forgotten to list someone, use the green Add Another button in the appropriate section

   • If you’ve listed someone incorrectly, use the red Remove button in the appropriate section

     

2. When you are happy that everyone is listed correctly, then review all the assigned permissions  

   • To see all the permissions that have been assigned, click on the Collaborators tile (names will only be listed if you have granted permissions. If you have just listed someone as a contact they appear on the Study Personnel page but not in the Collaborators list)

     

   • If someone is listed with a ‘greyed out’ permissions, you have assigned them a role; to adjust these permissions, see the Adjust Role-Based Permissions section below
   • If someone is listed with a dark grey Edit Permissions option, you have assigned them access using the Share feature; see the Adjust Shared-Form Permissions section below

Adjust Role-Based Permissions

The Roles tile allows you to remove or add role-based permissions for your collaborators.  

Remember to align whatever role adjustments you make here with the listed names on the  Study Personnel page, where appropriate. Addition or deletions using the Roles tile won’t automatically change the study team list.  

1. Click on the Roles tile in the action pane

2. In the Share Roles pop-up window, review the names listed and their associated roles

   

   • Note: The access details of role-based permissions cannot be edited; however, you can remove the permission entirely and re-assign a different role or a different level of access using the Share feature.  

3. To remove the role from the collaborator, click on the Remove button (under Remove All Permissions) beside the collaborator’s name

   

4. To re-assign a different role, first remove the role and then enter the collaborator’s email address and select the correct role  
   • Note: you can assign roles to multiple collaborators by clicking on the green + icon  

   • To update the role changes, click on the green Share Role button

     

5. To re-assign access that is not a role, first remove the role and then follow the steps in the Adjust Shared Form Permissions section  
6. Return to the Study Personnel page and correct any contact details necessitated by these role changes if required (see Step 1 in the Suggested Process for Reviewing & Adjusting Permissions section above)

Adjust Shared Form Permissions

The Share tile allows you to remove, add, or change the shared-form permissions for your collaborators.  

Remember to align whatever shared-form adjustments you make here with the study team list on the Study Personnel page, where appropriate. Addition or deletions in the Share tile won’t automatically change the study team list.  

1. Open the list of form collaborators using the Collaborators tile; if the collaborator is listed with dark grey Edit Permissions you can change their shared-form access (otherwise, see the previous section on Adjusting Role-Based Permissions to correct if needed)
   • Select Edit Permissions
   • To remove access entirely, uncheck all the previously ticked boxes; otherwise change the permissions as needed (reminder: do not use the Receive Notifications option as this only works with role-based access)

   • Click on the green Save button

     

2. Return to the Study Personnel page and correct any contact details necessitated by these access changes if required (see Step 1 in the Suggested Process for Reviewing & Adjusting Permissions section above) 

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Uploading Documents

As you complete the application you will be periodically prompted to upload documents. Some document uploads are optional and some are mandatory. Documents are uploaded from your local drive and must be uploaded one at a time.

1. Click on the Upload Document button when prompted to upload documents
2. Browse for the document, enter the Version Date and Number, and click on the Upload button

To upload multiple documents, repeat Steps 1 and 2.

Finding Uploaded Documents

Access uploaded documents via the Documents tile or under the Documents tab. Documents can be searched for (on title only), viewed or downloaded at any time.

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Collaborator Comments

At any point in the form, the Comments icon supports internal discussions between collaborators while you prepare your application. These comments are not visible to reviewers.

As you make comments, the Comments tile (in the Actions Pane) displays the total number of comments in the overall form. The Comment icon (on the page title line) displays the number of comments for a specific question in the form.

Adding a New Comment

1. Click on the Comment icon and click on the Add New Comment button
2. Enter the comment and click on the Save button

The Comment icon and Comments tile update with the new number of comments.

Reading, Editing, Deleting, and Adding More Comments

1. Click on the Comment icon to see the comment list and history
2. Edit or Delete the comments (if you are the comment owner), or Add New Comments

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Built-In Correspondence

As you complete your application, use the Correspondence feature to communicate directly with the Research Ethics office. This will conveniently keep your exchanged messages within the project file for ease of ongoing access and reference. Any collaborators on the form will be able to see and initiate correspondence which means your whole team has full visibility to any project-related messages with the REB office.

To initiate correspondence with the Research Ethics Office:

1. Click on the Correspondence tile in the Action pane, or
2. Click on the Correspondence tab in the Main Application Form
3. Click on the New Correspondence button to begin a new message
4. Enter the message in the Correspond pop-up window; upload files if desired, and click on the Send button

A green banner appears to confirm that your message has been sent. Return to the Correspondence tab at any time to access your sent messages.

• Note: Where there is an unread message, it appears in the Correspondence tab with a red number.

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Completeness Check

A Completeness Check runs automatically prior to signing or requesting a signature but can also be conducted at any time during your application. This feature allows you to quickly identify and access any missing sections or components of your application.

1. Click on the Completeness Check tile

EthOS identifies areas within the form that still require information; links within the Completeness Check take you directly to the question(s) requiring information.

• Note: If there are multiple missing items, run the Completeness Check after making each of your updates to continue linking to other incomplete sections.

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Signatures and Submitting Applications

When you are ready to submit your application, the Principal Investigator (PI) must sign the completed application. If you are the form owner and the PI, you can sign the form. If you are not the PI, you must request the PI’s signature. As soon as the form is signed, it is automatically submitted to the Research Ethics office.

Note: Signatures are completed or requested from the Signatures section in the form (they will eventually appear in, but cannot be triggered from, the Signatures tab).

Signing & Submitting as the Form Owner and Principal Investigator

When you are ready to sign the application, first ensure that you are on the Signatures page of the application form. If you are not, return to the Navigation Overview section and click on the Signatures link.

• Note: EthOS will automatically run a Completeness Check when you attempt to sign an application; complete any missing information first

1. From the Signatures page, click on the Sign button
2. Review the Signature Declaration and click on the Accept button
3. Click on the Sign button in the Sign Form pop-up window

Signing automatically submits your application and EthOS displays the Form Queued for Submission page.

The form owner receives a confirmation email.

• Note: Ensure that you receive the confirmation email to be certain that your application was submitted. If you have not received the email after 30 minutes send an email to RAIMSsupport@uoguelph.ca

Requesting Signature from the Principal Investigator

Note: the steps below outline how the form owner triggers the Principal Investigator’s signature. If you have received a signature request, consult the Principal Investigator Signature training video for how to view, reject, or sign the application.

1. Click on the Request Signature button from the Signatures page
2. Enter the PI’s email address, a message if required, and click on the Request button
3. An email notification is sent to the PI with a link to the application requiring the signature.
4. The PI can then review the Signature Declaration and sign the form.
5. Once the PI signs the application, it is automatically submitted and the form owner receives an email confirmation
6. In the form, the Signatures tab updates to show that the PI has signed the application, including the date and time, and the Submissions tab shows the status of Submitted by Applicant.

Note: EthOS processes the automatic submissions in batch cycles every ten minutes; please allow up to ten minutes for your status to change from Submission in Progress to Submitted by Applicant and to receive the confirmation email.

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View Applications as PDF

You may wish to view a completed form as one document outside of EthOS. There are various use cases for this feature:

• EthOS does not currently support full-text searches within applications; however, if you generate a PDF file, a full-text search can be completed outside of EthOS
• Scrolling through the form in a PDF view provides a holistic view of the application’s contents and which sections have been generated for your application
• Note: Contents of any uploaded documents will not appear in the PDF
• The PDF file can be printed for any hard-copy requirements

PDF generation can be triggered from various places within the form, but the most common option is from the Actions Pane.

1. Click on the View as PDF tile to generate a download Application.pdf file
2. Click on the View button

• Note: The View as PDF pop-up window appears (you do not need to select the tabular summaries checkbox)

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The PDF generates inside one of your browser window tabs and may take a minute to load fully. Download the PDF file from your browser window and open it from your computer’s download folder.

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